The Prime Buyer's Report

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Los Angeles Area Edition

Prime Buyers Guide Financial Advisors

How To Find the Best Financial Planners in Los Angeles County CA


Investment advisors or financial planners in Los Angeles County CA who bear The Prime Buyer's Report TOP 10 symbol are those who have exceeded the minimum California state and federal standards. They are the ones that have passed the TOP 10 requirements for competency and value, and for whom our staff has called previous clients to verify high satisfaction with them as investment advisors or financial planners in Los Angeles County CA, including for retirement planning, estate planning, cash flow management or risk management.

 

Updated December 8, 2017

 The TOP 10 Financial Advisors in Los Angeles County CA

Kauffman Wealth Management
Send an email to this Company
(626) 346-0303
140 S Lake Ave #307
Pasadena, CA 91101
State License #0749394
   Prime Buyer's Report TOP 10 FPA (Financial Planning Association) CFP (Certified Financial Planner)

Areas Served: Los Angeles County
Services: financial advisors, retirement planners, investment advisors

Raymond James & Associates
444 South Flower St, Ste 3870
Los Angeles, CA 90071

Areas Served: Century City CA, Los Angeles CA, Whittier CA, Long Beach CA, Glendale CA

Capital Intelligence Associates
1250 6th Street, Ste 300
Santa Monica, CA 90401

Areas Served: Glendale CA, Los Feliz, Long Beach CA, Whittier CA, West Los Angeles CA ...

National Planning Corporation
5000 E Spring St, Ste 340
Long Beach, CA 90815

Areas Served: Long Beach CA, Beverly Hills CA, West LA CA, Los Angeles CA, Malibu CA ...

Fraser Financial Group
8383 Wilshire Blvd, Ste 600
Beverly Hills, CA 90211

Areas Served: Beverly Hills CA, Bel Air CA, Los Angeles CA, West Hollywood CA, Los Feliz

Moran, Kimura & Heising, LLC
21250 Hawthorne Blvd, Ste 560
Torrance, CA 90503

Areas Served: Long Beach CA, Palos Verdes Estates, Malibu CA, Santa Monica CA, West LA CA

First Foundation Advisors
10850 Wilshire Blvd, 1st Floor
Los Angeles, CA 90024

Areas Served: West Hollywood CA, Beverly Hills CA, West Los Angeles CA, Long Beach CA ...

Caves & Associates, LLC
1334 Park View Ave, Ste 100
Manhattan Beach, CA 90266

Areas Served: Santa Monica CA, Culver City CA, Long Beach CA, Glendale CA, West LA CA

How To Find the Best Financial Planners in Los Angeles County CA 


The state of California does not require a state license of financial planners in Los Angeles County CA, while investment advisors may require a registration with the state or the SEC if they are performing as brokers of investments (financial products).

But even that registration is no guarantee that any particular investment advisor in Los Angeles County CA is competent, doing business ethically, providing value, or satisfying clients.

This makes it all the more significant that all investment advisors and financial planners in Los Angeles County CA bearing The Prime Buyer's Report-TOP 10 symbol have been cleared by our research staff, and have passed all the requirements for Prime Buyer's Report-TOP 10 status such as survey phone calls to previous clients to verify high satisfaction, good complaint record,  verified state registration (if doing investment product sales), sufficient time in business, best business practices, and more. 


Financial planners assess your overall life circumstances and short term and long term financial goals to formulate a written financial plan to reach them, and then give ongoing advice on decisions that can affect them.   


Many financial planners are also investment advisors. Investment advisors give advice about buying and trading securities such as stocks, bonds, and mutual funds and often are the broker/dealers of those securities. Some of these investment advisers will manage for you your entire portfolio of securities.  Not all investment advisors do financial planning however which is a more comprehensive management of all your financial goals and the items and decisions that affect them.    Because financial planners are not necessarily selling or brokering financial products to you, they don't have to be registered with the state or federal government. Investment advisers, or financial planners that also perform as investment advisors do have to be registered.  Those who manage more than $100 million in client assets must register with the SEC (Securities & Exchange Commission). Those who manage less must register with the state securities agency in their state.

Some financial planners and investment advisors are limited in their recommendations to a narrow range of investment products, including ones that aren't securities, meaning their advice may be influenced by commissions they're paid by the investment product company. So before you hire a financial planner or investment adviser ask them what limitations there are on their advice or products, what outside compensation they might be getting for brokering those financial products and how they are paid overall, including fees to you, and what their services include and don't include.

Financial planners and investment advisors are usually paid in one or more of the following ways:

• A fixed fee

• A commission on the securities they sell

• An hourly rate for the time they spend for you

• A percentage of the value of the assets they manage for you

Each of the above compensation methods have possible positives and negatives depending on your situation so ask the financial planner or investment advisor to explain the differences to you and to make a case for why their specific method of compensation is beneficial.

Some Financial Planners in Los Angeles County CA Are Much Better than Others
The Prime Buyer's Report lists these investment advisors or financial planners in Los Angeles County CA: Kauffman Wealth Management, National Planning Corporation, Capital Intelligence Associates, Fraser Financial Group, Caves & Associates, LLC, Moran, Kimura & Heising, LLC, Raymond James & Associates, First Foundation Advisors. Other financial planners in Los Angeles County CA that might still be in business include: Charles W. Mason & Associates Los Angeles CA. Didn't find what you wanted with the TOP 10 Financial Advisors in Los Angeles County? Then click here to see additional companies in this category.

 

 

Questions to Ask Investment Advisors or Financial Planners in Los Angeles County CA 


When it comes to finding investment advisors or financial planners in Los Angeles County, as these questions about their abilities, background, experience and credentials:
 

• Do the financial planners have a minimum requirement for the net worth of clients they agree to take on, and if so what is it?

• Have they done financial planning for clients with situations similar to yours (such as individual vs business, single vs married, raising children, retirement focused, high net worth vs middle class, etc.), and if so, how many and with what outcome?

• Will they show you their ADV form which shows if they've had problems with regulators or clients? (All financial planners and investment advisors in Los Angeles County CA bearing The Prime Buyer's ReportTOP 10 symbol have already had their ADV form verified by our research staff as free of such problems.)

• Will they show you proof of professional liability insurance (such as E&O insurance) which protects you from financial loss in the event of their error? (All financial planners and investment advisors in Los Angeles County CA bearing The Prime Buyer's ReportTOP 10 symbol have already shown proof of liability insurance.)

• Will they provide you with client names and numbers you can call as references? (All financial planners and investment advisors in Los Angeles County CA bearing The Prime Buyer's ReportTOP 10 symbol have already had their client references called by our researchers so you don't have to.)

• How long have they been financial planners or investment advisers in Los Angeles County CA?

• What is their employment history prior to becoming a financial planner or investment adviser?

• How do they get paid, by whom, and how is it calculated?

• What do and don't their services include? (Many investment advisers do not do overall financial planning, and they might not manage your entire investment portfolio.)

• What method will they use to formulate an overall financial plan for you (if financial planners) or before they recommend specific investments (if investment advisors) and how much time will they spend with you doing so?

• Who at their firm will be your regular point of contact and what is their experience compared to the principal or partner?

• What credentials do they hold and what was required to earn them? Examples include CFP (Certified Financial Planner) and CFA (Chartered Financial Analyst).

When you've chosen the best financial planners in Los Angeles County for your specific needs, make sure they are registered by the SEC or the state if they broker financial products.  (All financial planners and investment advisors in Los Angeles County CA bearing The Prime Buyer's ReportTOP 10 symbol have already had their registration verified by our researchers so you don't have to.)

 

 

Resources About Investment Advisors & Financial Planners in Los Angeles County CA 


The following is a list of trade associations and publications related to financial planning & investing.


Associations & Licensing for Investing & Financial Planning in Los Angeles County CA


CFA Institute (Chartered Financial Analyst)

www.cfainstitute.org

CFP Board of Standards (Certified Financial Planners)

www.cfp.net

NAPFA (National Association of Personal Financial Advisor)

www.napfa.org

NAIFA (National Association of Insurance and Financial Advisors)
www.naifa.org

AFCPE (Association for Financial Counseling and Planning Education)
www.afcpe.org

FPA (Financial Planning Association)
www.fpanet.org

NAIPFA (National Association of Independent Public Finance Advisors)
www.naipfa.com

AAAFA (Association of African American Financial Advisors)

www.aaafainc.com

IAA (Investment Adviser Association)
www.investmentadviser.org

NAAIM (National Association of Active Investment Managers)
www.naaim.org

SROIIA (Self-Regulatory Organization for Independent Investment Advisers)

www.sroiia-us.org

NOIP (National Organization of Investment Professionals)
www.noiponline.org

NASD (National Association of Securities Dealers)
www.nasd.com

NASAA (North American Securities Administrators Association)

www.nasaa.org

MFA (Managed Funds Association)

www.mfainfo.org

CFBTA (Commodity Floor Brokers and Trade Association)

www.cfbta.org

ICAA (Investment Counsel Association of America)
www.icaa.org

STA (Security Traders Association)
www.securitytraders.org

AIMSE (Association of Investment Sales Executives)

www.aimse.com






Publications for Investment & Financial Planners in Los Angeles County CA


Kiplinger's Personal Finance Magazine
www.kiplinger.com

Fortune Magazine
www.fortune.com/fortune/

Barrons
www.barrons.com

Business Finance Magazine
www.businessfinancemag.com

Capital Growth
www.capitalgrowth.com

Smart Money
www.smartmoney.com

CPI Financial
www.cpifinancial.net/v2/

Equities Magazine
www.equitiesmagazine.com

Finance Gates
www.financegates.com

Futures
www.futuresmag.com

Pensions & Investments
www.pionline.com

Trusts and Estates
www.trustsandestates.com





If you are looking for investment or financial planning services The Prime Buyer's Report provides information for the TOP 10 Financial Planners in Los Angeles County CA within the following zip codes:


90847, 90844, 90265, 90671, 90296, 90072, 90233, 90306, 90831, 90006, 91377, 90011, 90024, 90008, 90505, 90023, 90304, 90241, 90083, 90309, 90303, 90231, 90832, 90055, 90405, 90046, 90833, 90263, 90202, 90033, 90650, 90095, 90501, 90260, 90028, 90280, 90239, 90101, 90087, 90048, 90846, 90045, 90662, 90189, 90403, 90103, 90086, 90044, 90084, 90211, 90010, 90290, 90732, 90401, 90052, 90408, 90031, 90019, 91376, 90406, 90651, 90042, 90034, 90075, 90661, 90305, 90848, 90291, 90221, 90029, 90308, 90262, 90082, 90707, 90036, 90099, 90037, 90064, 90058, 90032, 90065, 90301, 90079, 90670, 90247, 90711, 90261, 90746, 90706, 90053, 90701, 90806, 90714, 90223, 90013, 90250, 90640, 90835, 90804, 90749, 90251, 90212, 90409, 90230, 90213, 90232, 90043, 90009, 90717, 90096, 90050, 90070, 90012, 90745, 90068, 90059, 90038, 90245, 90272, 90402, 90248, 90807, 90703, 90895, 91302, 90014, 90312, 90062, 90755, 90003, 90710, 90801, 90054, 90808, 90744, 90254, 90293, 90716, 90822, 90057, 90509, 90018, 90731, 90704, 90639, 90089, 90278, 90073, 90001, 90277, 90076, 90030, 90506, 90035, 90637, 90091, 90712, 90060, 90638, 90840, 91301, 90071, 90508, 90081, 90834, 90310, 90842, 90815, 90802, 90088, 90063, 90025, 90022, 90077, 90240, 90813, 90220, 90005, 90507, 90295, 90061, 90853, 90733, 90004, 90274, 90002, 90047, 90814, 90292, 90410, 90015, 90026, 90066, 90017, 90041, 90411, 90027, 90307, 90503, 90267, 90078, 90660, 90209, 90255, 90504, 90264, 90224, 90404, 90294, 90302, 90734, 90067, 90242, 90502, 90407, 90074, 90056, 90080, 90069, 90275, 90249, 90803, 90723, 90810, 90747, 90201, 90809, 90222, 90093, 90748, 90040, 90510, 90020, 90713, 90021, 90016, 90805, 90702, 90652, 90094, 90039, 90049, 90266, 90051, 90270, 90210, 90007, 90311 and 90715



The Prime Buyer's Report provides information for the TOP 10 Financial Planners in Los Angeles County CA within the following cities:

Watts, Wilmington, West Carson, Signal Hill, Lynwood, Bel Air, Norwalk, Paramount, Hancock Park, Palms, Marina del Rey, Sawtelle, Glendale, El Sereno, Brentwood, Alondra Park, Los Feliz, Pico-Union, Bellflower, Pacific Palisades, Pico Rivera, Catalina Island / Avalon, Del Rey, East Hollywood, Inglewood, Bell, West Hollywood, Rolling Hills Estates, Highland Park, Eagle Rock, Gardena, East La Mirada, Westchester, Beverly Crest, Los Angeles, West L.A., Compton, South Gate, Beverly Hills, Playa Vista, Redondo Beach, Malibu, Hollywood, Maywood, Lakewood, Culver City, Harbor Gateway, Crenshaw, Manhattan Beach, Pico-Robertson, Long Beach, Hawaiian Gardens, Lawndale, Hawthorne, Huntington Park, Hollywood Hills, Glassell Park, El Segundo, Mar Vista, Santa Monica, Venice, La Mirada, Boyle Heights, Ladera Heights, Larchmont Village, Carson, East Los Angeles, Rolling Hills, Cerritos, Torrance, Harvard Heights, Echo Park, Koreatown, Hermosa Beach, Beverlywood, South Central L.A., Mid-Wilshire, Silver Lake, Lomita, Rancho Dominguez, Whittier, Atwater Village, San Pedro, Cheviot Hills, Century City, East Whittier, Palos Verdes Estates, Montebello, Bell Gardens, Downey, Montecito Heights, North Whittier, Westlake, Westwood and Harbor City





 

 

 

 

Prime Buyers Report

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Consumers use the Prime Buyer's Report to avoid the scam, fraud, and businesses with low customer satisfaction.

Independent research conducted by Prime Buyer's Report editors includes phone call surveys with customers of local businesses, checks with state agencies on license and complaint history, verification that each business has insurance coverage to protect you as a customer, phone interviews of business owners, signed agreements that they use only legal workers, and more to determine the businesses that are safe to spend with.

See All The Research Steps

Financial Advisors in Los Angeles County serving Watts, Wilmington, West Carson, Signal Hill, Lynwood, Bel Air, Norwalk, Paramount, Hancock Park, Palms, Marina del Rey, Sawtelle, Glendale, El Sereno, Brentwood, Alondra Park, Los Feliz, Pico-Union, Bellflower, Pacific Palisades, Pico Rivera, Catalina Island / Avalon, Del Rey, East Hollywood, Inglewood, Bell, West Hollywood, Rolling Hills Estates, Highland Park, Eagle Rock, Gardena, East La Mirada, Westchester, Beverly Crest, Los Angeles, West L.A., Compton, South Gate, Beverly Hills, Playa Vista, Redondo Beach, Malibu, Hollywood, Maywood, Lakewood, Culver City, Harbor Gateway, Crenshaw, Manhattan Beach, Pico-Robertson, Long Beach, Hawaiian Gardens, Lawndale, Hawthorne, Huntington Park, Hollywood Hills, Glassell Park, El Segundo, Mar Vista, Santa Monica, Venice, La Mirada, Boyle Heights, Ladera Heights, Larchmont Village, Carson, East Los Angeles, Rolling Hills, Cerritos, Torrance, Harvard Heights, Echo Park, Koreatown, Hermosa Beach, Beverlywood, South Central L.A., Mid-Wilshire, Silver Lake, Lomita, Rancho Dominguez, Whittier, Atwater Village, San Pedro, Cheviot Hills, Century City, East Whittier, Palos Verdes Estates, Montebello, Bell Gardens, Downey, Montecito Heights, North Whittier, Westlake, Westwood and Harbor City

 

Learn:

Questions to Ask Investment Advisors or Financial Planners in Los Angeles County CA


When it comes to finding investment advisors or financial planners in Los Angeles County CA, as these questions about their abilities, background, experience and credentials. more »

 

Resources:

Resources About Investment Advisors & Financial Planners in Los Angeles County CA


The following is a list of publications, trade associations, licensing and regulatory bodies relevant to investment advisors & financial planning in Los Angeles County CA.more »

 

Learn:

more »