Top 10 Financial Advisors in Pasadena, CA

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Clifford Swan Investment Counselors is the biggest firm with the most assets under management, and the oldest, founded in 1915.  

Today, the team of advisors has multiple professional accreditations, including chartered financial analyst (CFA), Certified Financial Planner™ (CFP®), certified public accountant (CPA), chartered investment counselor (CIC) and California licensed professional fiduciary (CLPF).

Clifford Swan’s team works primarily with high-net-worth clients and other individual accounts. Institutional clients include pensions and profit-sharing plans, as well as charitable organizations. The minimum investment is $1,000,000, though it may be waived. 

The firm was a pioneer in independent, fixed-fee financial counseling. Today, the firm’s investment advisory services are still charged on a fee basis.

Clifford Swan offers investment management, financial planning, family wealth services (including strategies for family governance, financial education and philanthropy) and administrative services for charitable institutions, charitable remainder trusts and more.

Using fundamental analysis, Clifford Swan focuses its equity investing on “individual companies with businesses offering the greatest opportunity for real growth in cash flow and consistent earnings that are insulated from the business cycle,” which are usually large-cap companies. When it comes to bonds, the firm primarily considers intermediate-term fixed-income issues. It may also invest in mutual funds or exchange-traded funds (ETFs). 

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In business since 2018, Pasadena Private Wealth (PPW) has hundreds of millions in assets under management. Its team holds multiple professional accreditations, including chartered retirement planning counselor (CRPC), certified plan fiduciary advisor (CPFA), certified 401(k) professional (C(k)P), chartered global management accountant (CIMA), chartered retirement plans professional specialist (CRPS) and accredited investment fiduciary (AIF).

The firm has an almost equal number of clients who are high net worth and those who aren’t. It also has retirement and profit-sharing plans and corporations. There is a minimum investment requirement of $2 million or $25 million in net worth, and accounts can be on a discretionary or non-discretionary basis.

Pasadena Private Wealth charges clients a maximum annual fee of 1% for assets under management. As a fee-based firm, advisors may collect commissions on trades or the sale of certain products. Although this may pose a conflict of interest, the firm is legally bound to act in the best interests of its clients.

In addition to portfolio management, the firm offers financial planning that can cover cash flow analysis, investment planning, retirement planning, estate planning, personal savings, educational savings, liability management, insurance assessment and more.

In constructing client portfolios, PPW primarily uses fundamental analysis methods. It generally takes a long-term investment approach but may also make short-term purchases. It primarily allocates client assets among individual debt and equity securities, options, mutual funds and exchange-traded funds (ETFs). In some circumstances, it may recommend unaffiliated money managers or investment platforms.

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Schnieders Capital Management (SCM) is a family firm with three Schnieders making up the advisory team. The practice manages over a billion in assets.  

The practice serves both high-net-worth individuals and other individual accounts, as well as institutional clients that include charitable organizations and corporations. The minimum investment is $250,000, and accounts can be on a discretionary or non-discretionary basis.

As a fee-only firm, it does not collect commissions on trades or the sale of certain products. Schnieders generally charges clients annual management fees that are assessed as a percentage of the assets, ranging from 0.25% to 1.5%.

Primarily, SCM has a long-term approach to investing but may recommend trading (securities are sold within 30 days), short sales, margin transactions or option writing. In constructing client portfolios, the firm may use individual equities; no-load, load-waived and front-load mutual funds; exchange-traded funds (ETFs); municipal and corporate bonds; Treasury obligations; and other yield-oriented investments, such as preferred stocks, both straight and convertible, master limited partnerships and real estate investment trusts (REITs).

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Vantage Wealth is a fee-only advisory firm based in Pasadena, California. The firm provides investment management and financial planning services to individuals, including high-net-worth clients, as well as trusts, estates, charitable organizations, pension plans and businesses.

The minimum account size to engage Vantage Wealth for investment management is $3 million, though the firm reserves the right to waive this requirement at its discretion. For financial planning services offered on a standalone basis, the typical fee starts at $2,000 and may range higher depending on complexity.

Vantage Wealth does not receive commissions or sell securities products, underscoring its commitment to a fee-only model. 

Vantage Wealth takes a growth-at-a-reasonable-price (GARP) approach to investing, combining bottom-up stock selection with top-down thematic insights. Portfolios typically include 20 to 30 high-quality companies with durable business models, strong financials and compelling valuations. The firm may also invest in exchange-traded funds (ETFs), mutual funds and closed-end funds to enhance diversification and access less-liquid asset classes. On the fixed-income side, the firm builds laddered bond portfolios and generally favors short- to intermediate-term securities. Client portfolios are tailored to reflect each client’s goals, risk tolerance and liquidity needs, and are monitored and rebalanced regularly.

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First Wilshire Securities Management's client base consists of individual investors, both high-net-worth and not, as well as pooled investment vehicles, pension and profit-sharing plans and businesses. You'll need $500,000 minimum to open an account here. 

On the advisor team, you'll find several chartered financial analysts (CFAs). However, as a fee-based firm, advisors may receive a commission for security recommendations. While this presents a potential conflict of interest, the firm has a fiduciary duty to act in clients’ best interests at all times.

It offers three types of advisory services: separately-managed account (SMA) investment management, custom portfolio management and financial planning. Asset management is available solely on a discretionary basis. Additionally, the firm manages two affiliated private funds. 

First Wilshire primarily uses fundamental analysis to determine which securities to buy and sell. Investment advisory account decisions are made by the firm's investment committee, headed by President and CEO Howard Lu, who partially owns each of the company's affiliated funds.

Notably, First Wilshire does not tailor its investment strategies to SMA clients' preferences; instead, the firm collects financial data that informs its overall tactical asset allocation strategy and uses that to meet the client's objectives. If a client prefers a fully-customized approach, the company offers custom portfolio management at a separate rate. 

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Stonemark Wealth Management is a fee-based firm. This means that some of its advisors are licensed to sell insurance and investment products, and could earn commissions on those transactions. Nevertheless, Stonemark has a fiduciary duty that requires its team to act in the best interests of its clients.

The firm manages assets primarily for high-net-worth individuals and other individual accounts. Institutional clients include pension and profit-sharing plans, and other investment advisors.

Stonemark generally charges clients annual management fees that are assessed as a percentage of the assets, ranging from 0.85% to 1.5%. The firm generally does not require clients to have a minimum account. However, it reserves the right to terminate the account if it is too small to manage effectively.

The core team has been working together in wealth management since 2000. Peter P. Chen and Wade S. Perry are the firm's principal owners. The firm’s advisory team includes those with the certified plan fiduciary advisor, accredited investment fiduciary, chartered financial analyst and Certified Financial Planner™ designations.

The firm offers comprehensive investment management services that are personalized for individual clients. These include financial planning, estate planning, retirement planning, investment planning, insurance services and general consulting services.  

The firm’s investment strategies are based on the client's individual circumstances, financial situation, goals and risk tolerance.

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The Sterling Group works primarily with non-high-net-worth clients and high-net-worth individuals. The minimum investment requirement for new clients is generally $1,000,000, which is also subject to a minimum annual fee of $9,500. Minimum account size also varies, depending on the investment program. Technology Enhanced Asset Management (TEAM) accounts require only $5,000, while accounts through the LPL program start at $25,000. Sterling clients also pay an annual management fee that is assessed as a percentage of their assets and ranges between 0.25% and 1.75%. 

The Sterling Group has millions in assets under management, mostly on a discretionary basis. The team includes those with the chartered financial consultant (ChFC) and Certified Financial Planner™ (CFP®) designations. Investment advisory services are charged on a fee-only basis, but advisors who are also registered representatives of broker-dealers or licensed insurance agents may receive commissions in their other capacities. While this may present a potential conflict of interest, the firm is bound by its fiduciary duty to represent the best interests of the client. 

In addition to its portfolio management programs, the firm offers financial planning and consulting that can cover investment planning, retirement planning, estate planning, charitable planning, education funding, corporate and personal tax planning, insurance analysis and more. The Sterling Group also offers a wrap fee program, where transaction and other costs are included in one fee. 

The Sterling Group believes, as it notes, that “over the long term, a consistent strategy that is meticulously followed will provide the best opportunity for the best return.” When constructing portfolios, it uses stocks, options, fixed-income securities, mutual funds, real estate investment trusts and exchange-traded funds (ETFs). In certain situations, it may turn to hedge funds, high-yield debt, managed futures and other more complex or specialized instruments. 

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Fee-only Wimmer Associates is a family shop. Its team of advisors manages a significant amount of assets, mostly on a discretionary basis. The advisor team works primarily with high-net-worth clients and non-high-net-worth individuals. Wimmer also serves charitable organizations, corporations and nondiscretionary portfolios. It generally requires a minimum investment of $750,000.

The firm's advisor team holds multiple certifications, including chartered financial analyst (CFA), certified public accountant (CPA) and master of science in financial services (MSFS). Wimmer charges an annual management fee between 0.5% and 1% as a percentage of client assets. 

The firm offers investment supervisory and management services.

Using a fundamental approach, the firm bases asset allocation on high-quality equity and fixed-income securities. It may also use index funds and exchange-traded funds (ETFs). Its research is internally generated, though it does use some external research, as well. It does not employ alternative investments, real property, illiquid limited partnerships, variable annuities or other insurance products. 

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Kondo Wealth Advisors' team holds multiple professional accreditations, including chartered life underwriter (CLU), certified public accountant (CPA), Certified Financial Planner™ (CFP®) and registered paraplanner (RP). 

Kondo Wealth works primarily with non-high-net-worth clients and high-net-worth individuals. Account minimums vary, depending on the investment program. For customized portfolios, the firm requires $500,000, but for portfolio management services through Schwab’s Institutional Intelligent Portfolios, the minimum is $25,000. The firm also charges generally a minimum fee of $4,750 for written financial plans.

As a fee-only firm, it does not collect commissions on trades or the sale of certain products.

In addition to investment management services, Kondo Wealth also offer financial planning and consulting. It can advise on investment planning, retirement planning, estate planning, charitable planning, education funding, taxes, insurance analysis and business planning. 

As part of its securities selection process, the firm uses charting, fundamental, technical and cyclical analyses. While customized portfolios may consist of individual stocks, bonds, exchange-traded funds (ETFs), options, mutual funds and other public and private securities or investments, portfolios through Schwab’s robo-advisor platform may contain mutual funds, ETFs and cash allocations. 

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Sterling Financial Group is a fee-based financial advisory firm headquartered in Pasadena, California. The firm serves a mix of clients, including individuals with and without a high net worth, trusts and estates, charitable organizations, retirement plans, and business entities. 

The minimum investment for new clients is typically $500,000, though Sterling Financial Group may waive this threshold under certain circumstances, such as referrals from existing clients or professionals. Clients may also engage the firm for financial planning or consulting services for a flat or hourly fee without meeting the investment minimum.

The advisory team includes professionals with advanced credentials such as Certified Financial Planner™ (CFP®). While Sterling Financial Group does not earn commissions for securities transactions in advisory accounts, it and its advisors may receive non-cash compensation, such as reimbursements for travel or educational events from product sponsors. As a registered investment advisor, the firm upholds a fiduciary duty to act in the best interests of clients.

Sterling Financial Group tailors its investment approach to each client’s financial goals, risk tolerance and time horizon. The firm employs strategic, dynamic and tactical asset allocation methods and may recommend a blend of individual securities, mutual funds, ETFs and alternative investments. It also partners with third-party money managers when appropriate. Portfolios are monitored and rebalanced as needed to maintain alignment with client objectives. The firm may use margin or alternative strategies when suitable but carefully discloses the associated risks.