Top financial advisors in Diamond Bar, CA
We’ve curated a list of the best financial advisors in Diamond Bar, take a look at it below.
| # | Company | Assets under management | Number of advisors | |
|---|---|---|---|---|
| 1 |
Assets under management
$261,530,651
Number of advisors
5 advisors
| $261,530,651 | 5 advisors | |
| 2 |
Assets under management
$105,756,083
Number of advisors
12 advisors
| $105,756,083 | 12 advisors | |
| 3 |
Assets under management
$21,630,168
Number of advisors
2 advisors
| $21,630,168 | 2 advisors |
Commitment
We’ve gathered and simplified publicly available information about financial advisors across the U.S. to help you make informed decisions. While we don’t directly connect you with these listed advisors, we do offer a simple, reliable service to match you with trusted, pre-vetted advisors registered on our platform — saving you time and effort.
Methodology
To generate our top financial advisors list in Diamond Bar, we have carried out some rigorous research. First, we’ve analysed data in the SEC database to filter advisors by location, in this case Diamond Bar. Then we’ve filtered out any advisors that do not offer financial advice, for example if they only offer mortgage advice we have excluded them from the list. Then we’ve ranked the remainder according to the amount of assets under management.
The Advisory Group
The Advisory Group is a financial advisory firm based in Diamond Bar, California. It currently has approximately $261,530,651 of assets under management and employs about 5 people. The Advisory Group uses a fee structure of a percentage of assets under your management, hourly charges and fixed fees.
$261,530,651 under management
5 advisors
Fee structure
A percentage of assets under your management
Hourly charges
Fixed fees
Services offered
Financial Planning ServicesPortfolio Management For Individuals And/or Small BusinessesPension Consulting ServicesSelection Of Other AdvisersEducational Seminars/workshopsConsultingSyndicated Capital, Inc.
Syndicated Capital, Inc. is a registered investment advisory firm established in 2009 and privately owned by SC ADD Holdings, LLC and H Baines & L McAdams Living Trust. The firm offers money management, portfolio management, and wealth management services on a discretionary and non-discretionary basis. Clients can customize their advisory services based on individual needs and may impose restrictions on certain investments. The firm manages nearly $118 million on a discretionary basis and nearly $5 million on a non-discretionary basis as of December 31, 2024. Syndicated Capital charges a standard fee of 2%, which is negotiable, and clients pay ticket charges. The firm does not accept performance-based fees or side-by-side management. Investment strategies are tailored to clients' objectives, risk tolerance, and time horizon, focusing on publicly traded equities, ETFs, fixed income, and mutual funds. Clients should be prepared for the risk of loss associated with investing. The firm does not offer proprietary securities or hedge funds. Syndicated Capital, Inc. provides services to individuals, trusts, corporations, and 401K plans without imposing minimum balance requirements. The firm operates as a fiduciary and does not engage in proxy voting on behalf of clients. Clients have investment discretion limited to trading, and accounts are reviewed periodically to align with clients' financial profiles. The firm does not offer client referral compensation but may negotiate reduced management fees on a case-by-case basis. Clients' funds are held by Pershing LLC, with fees deducted quarterly. Additional information about the firm's financial industry activities and affiliations can be found in the brochure.
$105,756,083 under management
12 advisors
Fee structure
A percentage of assets under your management
Fixed fees
12B1; NTF MUTAL FUND SERVICE FEES
Services offered
Financial Planning ServicesPortfolio Management For Individuals And/or Small BusinessesThe Financial Group
**Summary:** **Background and Expertise:** TFG Investment Management, LLC, operating as THE FINANCIAL GROUP, is a California-based investment advisory firm established in 2014 by Robert A. Brooks. The firm specializes in providing a range of investment advisory services to individuals and various clients. **Consumer-Facing Terms:** - **Minimum Initial Investment:** $100,000 for Comprehensive Asset Management service (negotiable). - **Fee Structure:** Charged as a percentage of assets under management, ranging from 1.00% to 0.30% based on account value. - **Fiduciary Status:** Acting in the best interests of clients. - **Investment Discretion:** Clients need to sign a discretionary investment advisory agreement for account management. - **Investment Strategy:** Utilizes methods like charting, fundamental analysis, technical analysis, and cyclical analysis. - **Client Types:** Individuals, High Net Worth Individuals, Pension or Profit-Sharing Plans, Corporations, and other business entities. **Advisory Business Description:** The firm offers Comprehensive Asset Management and Financial Planning & Consulting services tailored to individual client needs. Investment strategies include long-term and short-term purchases, emphasizing risk management and diversification. Clients receive regular account reviews and reports, with a focus on maintaining alignment with investment objectives. **Code of Ethics:** The firm adheres to a Code of Ethics ensuring fair and ethical practices, with a commitment to acting in the best interests of clients. Clients are provided with full disclosure of material facts and are encouraged to seek clarification on any potential conflicts of interest. **Custody and Financial Information:** Client assets are held by a qualified custodian, and clients receive quarterly account statements directly. The firm does not require prepayment of fees exceeding $500 or take custody of client funds. Financial information is not provided as it is not required based on the firm's financial condition. **Conclusion:** THE FINANCIAL GROUP, led by Robert A. Brooks, offers personalized investment advisory services with a focus on transparency, client-centric practices, and ethical standards in line with fiduciary responsibilities. Clients benefit from tailored investment strategies, regular reviews, and a commitment to acting in their best interests.
$21,630,168 under management
2 advisors
Fee structure
A percentage of assets under your management
Hourly charges
Services offered
Financial Planning ServicesPortfolio Management For Individuals And/or Small BusinessesEducational Seminars/workshops
Commitment
We’ve gathered and simplified publicly available information about financial advisors across the U.S. to help you make informed decisions. While we don’t directly connect you with these listed advisors, we do offer a simple, reliable service to match you with trusted, pre-vetted advisors registered on our platform — saving you time and effort.
Methodology
To generate our top financial advisors list in Diamond Bar, we have carried out some rigorous research. First, we’ve analysed data in the SEC database to filter advisors by location, in this case Diamond Bar. Then we’ve filtered out any advisors that do not offer financial advice, for example if they only offer mortgage advice we have excluded them from the list. Then we’ve ranked the remainder according to the amount of assets under management.
Your first meeting is free.