Top Financial Advisors in Arizona

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TCI Wealth Advisors in Tucson is a fee-only practice that ranks as the No. 1 firm in Arizona. TCI has several advisors on staff with multiple certifications, including the Certified Financial Planner™ (CFP®) designation, as well as the certified public accountant (CPA), chartered financial analyst (CFA) and accredited investment fiduciary (AIF).

Rather than call for a specific initial investment, TCI charges a $1,000 minimum annual fee for investment advisory services and a $2,500 minimum annual fee for its ASPIRE offering for young professionals. For this reason, potential clients will want to make sure they have enough invested to justify these fees.

This fee-only firm works with both non-high-net-worth individuals and high-net-worth individuals. It also does business with pension plans, charitable organizations, trusts, estates and corporations.

TCI Wealth Advisors Background

TCI Wealth Advisors was founded in 1990 by Bob Swift. Originally known as The Conservative Investor, it operated out of Swift’s house and focused on educational classes. In 1992, it changed its name and started to take its current form. Today, the company is privately owned by individuals and trusts. In addition to its headquarters in Tucson, the firm has offices in Scottsdale; Flagstaff; Reno, Nevada; and Denver. 

TCI provides wealth management and investing services in addition to pension management advising services. 

TCI Wealth Advisors Investment Strategy

Advisors at TCI Wealth Advisors tailor their approach to each client’s needs and preferences. The biggest factors they take into account are risk tolerance, time horizon and desired rate of return. They then schedule regular meetings with clients to keep everyone on the same page regarding the investment plan.

Common investments used in client portfolios include stocks, bonds and mutual funds. The firm does use short-term investments under certain circumstances, but it typically relies on two main principles: diversification and remaining invested. 

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TFO Family Office Partners is a fee-only firm with services geared toward the ultra-wealthy. While the firm doesn't require a minimum account size or initial investment, it does charge a minimum annual fee of $20,000. As a result, the majority of its clients are high-net-worth individuals, but TFO does also serve individuals below the high-net-worth threshold, as well as dozens of charitable organizations. 

The advisory team holds multiple certifications, including the certified public accountant (CPA), Certified Financial Planner™ (CFP®), certified private wealth advisor (CPWA), chartered alternative investment analyst (CAIA) and chartered financial analyst (CFA) designations.

TFO charges an asset-based fee for investment managemetn, family office and retirement plan services, and fixed fees for consulting services. However, the firm's advisors do not sell financial products for third-party compensation. 

TFO Family Office Partners Background

Founded in Phoenix in 2011, TFO has become a massive firm in a relatively short period of time. CEO and chairman Chris Erblich established the firm and remains its principal owner to this day. However, Erblich owns TFO indirectly through TFO Partners, Inc.

In order to best serve its clients, TFO looks to provide a holistic set of financial planning and investment management offerings. Clients can utilize wealth planning, investment advisory, family milestone planning, tax consulting, estate planning, gift planning, philanthropic planning, family governance and more.

TFO Family Office Partners Investment Strategy

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There is no set account minimum at Trajan Wealth, so technically just about anyone can become a client. This has likely led to the firm's client base being dominated by non-high-net-worth individuals. The firm also works with some high-net-worth clients and investment companies.

This Scottsdale-based firm has advisors with a number of certifications. More specifically, they hold the Certified Financial Planner™ (CFP®), chartered financial analyst (CFA), certified divorce financial analyst (CDFA), accredited investment fiduciary (AIF) designations and more.

Insurance policies can be sold by certain advisors at Trajan on a commission basis, making the firm fee-based. Although this is a potential conflict of interest, the firm's fiduciary duty requires it to act in your best interest no matter what.

Trajan Wealth Background

Trajan Wealth was founded in 2010 by CEO Jeff Junior, who owns 100% of the business. Junior is a former U.S. Marine with more than 20 years of experience in financial services. In addition to its multiple Arizona offices, Trajan has locations Colorado, Florida, Georgia, Illinois, Texas and Utah.

Investment management services at Trajan are customized based on your needs. Financial planning includes retirement planning, estate planning, insurance planning and more.

Trajan Wealth Investing Strategy

As we stated above, Trajan Wealth uses the specifics of your financial situation to formulate an investment plan for you. This involves doing a deep dive in your personal risk tolerance, financial goals, time until retirement, liquidity needs and investment preferences. Based on these factors, an asset allocation that divides your assets between multiple investment types will be created.

Generally speaking, Trajan tends to invest in ETFs, mutual funds, annuities, stocks, bonds, cash and cash equivalents. When making investment decisions, the firm uses fundamental analysis, technical analysis and cyclical analysis.

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Public Safety Financial/Galloway is a fee-based firm located in Mesa. The firm is fairly unique in that its services are based entirely around providing "retirement planning and financial solutions for Police, Fire, Government Employees, their families and friends," according to the firm's website. 

Almost all of the firm's clients are non-high-net-worth individuals, with a some high-net-worth individuals rounding it out. There is no specific account minimum for new clients, but the firm recommends investing at least $100,000 in the Venture portfolio strategy, $50,000 in the All Inclusive offering and $50,000 in the ETF Active and ETF Passive strategies. 

Insurance products and securities can be sold by certain on-staff advisors here for commissions. This creates a potential conflict of interest, though the firm's fiduciary duty still requires it to act in clients' best interests.

Public Safety Financial/Galloway Background

Public Safety Financial/Galloway was founded in 2006. Public Safety Financial, LLC is the firm's principal owner.

Investment management and asset allocation services are available at this firm. Various types of financial planning, like retirement planning and pension maximization, are also available

Public Safety Financial/Galloway Investment Strategy

Public Safety Financial/Galloway uses clients' investor characteristics to create an investment portfolio plan that's suited to reach their short- and long-term financial goals. To accomplish this, the firm will work with you to determine your risk tolerance, time horizon and income needs. While the firm often builds a custom portfolio for each client, it may also recommend a model portfolio with a predecided asset allocation. Should your advisor go with the latter, a model portfolio that still meets your needs will be chosen.

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Total Investment Management is a fee-based firm in Scottsdale that caters to aviation professionals. It has more than $1 billion in assets under management (AUM) and employs several advisors. Its team holds multiple certifications as Certified Financial Planner™ (CFP®), chartered financial analyst (CFA), chartered market technician (CMT) and accredited investment fiduciary (AIF).

The firm works mostly with non-high-net-worth individuals, but it also does business with high-net-worth individuals and corporations.

There is no minimum investment required, but there is a minimum fee of $600. For this reason, potential clients will want to make sure they can invest enough to make this fee worthwhile.

Certain advisors at this firm can receive commissions for insurance sales made with clients. While this presents a potential conflict of interest, the firm's fiduciary duty requires its advisors to act in clients' best interests, no matter what.

Total Investment Management Background

Total Investment Management was founded by John E. Foster II, who still serves as the firm’s chairman, in 1998. Foster is a former military and airline pilot who created the firm to provide financial services to other aviation professionals. It still focuses on serving members of the aviation community.

The company is primarily owned Foster and his son and CEO Todd Michael Foster. It offers investment advisory services along with retirement planning.

Total Investment Management Investment Strategy

Total Investment Management has a three-pronged approach to investing: mutual fund and ETF research, fundamental research and technical analysis. The firm’s primary asset classes are bonds, alternative investments and equities. It claims to be fully independent and agnostic when it comes to which fund firms it invests in. 

The firm especially believes in using ETFs to make the most money for clients, due to the fact that ETFs bear lower fees compared to traditional mutual funds.

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Ironwood Investment Counsel is a fee-only financial advisor based in Scottsdale. The firm primarily works with individuals and high-net-worth individuals, but also serves pension and profit-sharing plans, business entities, trusts, estates and charitable organizations. Ironwood Investment Counsel generally requires a minimum investment of $500,000, although this threshold may be adjusted at the firm's discretion.

The firm charges an annual investment advisory fee based on the market value and type of assets under management. Additionally, the firm may levy separate fees for handling special projects or other matters.

As a fee-only practice, Ironwood Investment Counsel advisors do not receive additional compensation for recommending financial products and services to advisory clients. This means the firm is subject to fewer potential conflicts of interest than a fee-based firm that employs insurance agents and/or registered representatives of broker-dealers.

Advisors on staff hold a variety of professional credentials, including the Certified Financial Planner™ (CFP®), chartered financial analyst (CFA) and certified trust and financial advisor (CTFA) designations, among others.

Ironwood Investment Counsel Background

Ironwood Financial Counsel, which was founded in 2001, is solely owned and operated by Matthew J. Carter.

The firm offers a comprehensive suite of services tailored to meet the individual financial needs of its clients. These services include investment advice, pension and retirement plan consulting, as well as participant education for retirement plan accounts. Other key offerings may include financial planning, estate planning, insurance planning and related services.  

Ironwood Investment Counsel Investment Strategy

Ironwood Investment Counsel’s approach to investing includes long-term purchases where securities are held for at least a year, short-term purchases with securities sold within a year, and trading activities involving securities sold within 30 days. The firm tailors its investment strategies to align with each client's specific investment objectives and financial situation.

The firm typically invests in individual equity securities, fixed-income securities and mutual funds. The firm also may tap independent investment managers or sub-advisors to manage a portion of client assets.

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Galvin, Gaustad & Stein is a Scottsdale-based, fee-only firm. It has numerous advisors on staff, including professionals with the Certified Financial Planner™ (CFPs®), chartered financial analyst (CFA) and chartered life underwriter (CLU) designations. 

The firm works mostly with non-high-net-worth and high-net-worth individuals, as well as pension and profit-sharing plans and corporations.

There is an account minimum of $500,000.

While advisors at the firm previously sold long-term care insurance and continue to receive third-party compensation on those policies, advisors are no longer licensed insurance agents and recommend insurance products to clients. 

Galvin, Gaustad & Stein Background

Galvin, Gaustad & Stein was founded in 2010 by Stephen R. Galvin, Stephen L. Gaustad and Mark P. Stein. All three men still work at the firm as investment advisors and principals. The trio combines to own the firm in its entirety.

In addition to investment advisory services, the firm also offers retirement plan analysis and the following financial planning services: 

• Business planning
• Cash flow forecasting
• Asset allocation
• Retirement planning
• Estate planning
• Financial reporting
• Investment consulting
• Insurance needs analysis
• Charitable giving
• Risk management
• Distribution planning

Galvin, Gaustad & Stein Investment Strategy

Galvin, Gaustad & Stein uses a proprietary investment strategy that's rooted in fundamental analysis to guide its security selection process. For equities, the firm uses a three-step methodology: a stock screening process that identifies stocks with metrics like low volatility, consistent dividend growth and strong profitability; a company-specific discounted cash flow model to estimate fair value based on future cash flows; and an in-depth qualitative analysis focusing on competitive advantages, management quality, and potential red flags. Stocks passing these criteria are considered for client portfolios.

For bonds, Galvin, Gaustad & Stein emphasizes investment-grade corporate debt, evaluating issuers' financial health, debt levels and repayment ability. The firm seeks to maximize yield while managing interest rate and credit risks.

In selecting mutual funds and ETFs, Galvin, Gaustad & Stein analyzes expense ratios, performance, management teams and liquidity. The firm tailors its strategies to each client’s unique risk profile and objectives, ensuring that portfolio selections align with individual financial goals.

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Versant Capital Management, which operates on a fee-only basis, ranks No. 9 on our list of the top-rated firms in Arizona. This Phoenix-based practice caters high net-worth individuals, families and their related entities such as trusts, estates and private foundations, as well as pension and profit-sharing plans, charitable organizations, and corporations and business entities.

The firm has set a minimum asset requirement of $4 million for comprehensive and family office services, although this can be adjusted based on factors like future earning potential, expected asset additions, as well as client negotiations.

Versant operates on a fee-only basis, so its advisors do not sell securities or insurance for commissions. Versant’s fees for wealth management are based on a percentage of AUM, although it charges a minimum annual fee of $40,000 for wealth management and/or family office services. It also offers standalone financial planning and consulting services for an hourly charge or fixed fee.

The Versant team comprises several credentialed professionals, including Certified Financial Planners™ (CFPs®), chartered financial analysts (CFAs), among others.

Versant Capital Management Background

Versant, which was founded in 2004, has an office in Dallas, in addition to its headquarters in Phoenix. The firm is owned by multiple entities, including The Elizabeth M. Shabaker Revocable Trust, with Elizabeth M. Shabaker acting as trustee, and The Remington Revocable Trust, where Royce Ramey and Aimee Williams-Ramey serve as trustees.

The firm offers a comprehensive suite of services tailored to meet the diverse needs of its clients. These include:

• Investment advice
• Financial planning
• Estate planning and administration
• Succession planning
• Charitable planning
• Tax planning
• Family governance
• Next-generation education
• Insurance planning
• Non-investment related consulting

Versant Capital Management Investment Strategy

Versant Capital Management Investment Strategy

Versant takes a strategic approach to investing that includes both long-term purchases, where securities are held for at least one year, and short-term purchases, involving securities sold within a year.

The firm's typical investments encompass a broad range of options such as equity securities, corporate debt securities, commercial paper and certificates of deposit. Additionally, they invest in municipal securities, different types of mutual funds including no-load, load-waived, and front-load, as well as stocks, bonds and ETFs.

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Rovin Capital, a fee-based firm in Mesa, rounds out our list of the top-rated advisors in Arizona. Rovin Capital caters to individuals, qualified retirement plans, trusts, estates, as well as charitable organizations.

Rovin Capital does not require a minimum portfolio size or initial investment to open an account. When it comes to fees, the firm charges a fixed annual fee for financial planning and investment advisory services. Keep in mind that the firm receives compensation for managing private funds that may be recommended for certain clients. While this represents a conflict of interest, the firm is legally required to act as a fiduciary. 

Advisors on staff hold a variety of professional credentials, including the Certified Financial Planner™ (CFP®), chartered financial consultant (ChFC), chartered life underwriter (CLU) and certified wealth strategist (CWS) designations.

Rovin Capital Background

Rovin Capital was founded in 1978 in Newport Beach, California. Today, the firm is located in Mesa and managed by multiple owners, including Kimball Eric Pierce and Whitnite Pierce, who both own Blue King Momentum Inc, and Markell Staffieri, who owns Snowy River Corporation.

In addition to portfolio management, the firm's suite of financial planning services encompasses asset allocation, risk management, tax planning, retirement and estate planning, and portfolio analysis. They also provide evaluation and review of investment accounts, investment buy/sell recommendations, and advice on third-party investment advisers. 

Rovin Capital Investment Strategy

When crafting investment plans, Rovin Capital takes into account a variety of client-specific characteristics. These include the client's goals, objectives, time horizon, risk tolerance, lifestyle, cash flow, current and expected assets and liabilities, among other considerations. 

The firm typically invests in a range of assets such as stocks, bonds, ETFs and mutual funds. They also utilize options, including covered and uncovered options, as well as spreading strategies and alternative investments to enhance portfolio performance.