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Thomas H

Series 63, Series 65

Shererville, IN

LaSalle St. Investment Advisors, L.L.C.

Thomas Hivko is a financial advisor at LaSalle St. Investment Advisors, L.L.C. with 42 years of industry experience. He has been associated with La Salle St. Securities, Inc. since 1986 and has been self-employed since 1980. He holds Series 63 and Series 65 licenses. LaSalle St. Investment Advisors provides fee-based financial planning and investment supervisory services to individuals, trusts, pension plans, charitable organizations, and small businesses. The firm offers both non-discretionary and discretionary management programs, utilizing a mix of mutual funds, ETFs, equities, fixed income, and options, with a notable emphasis on non-discretionary asset management.

Active portfolio management Options & derivatives strategies Executive Founder/Business Owner
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Brock R

CFP®, Series 66

Valparaiso, IN

Northrock Partners, LLC

Brock Riggi is a CFP® with 12 years of experience in the financial industry. He is currently with NorthRock Partners, LLC and previously worked at Ameriprise and Ameriprise Financial Services, Inc. He serves on the Finance Committee Board of the Methodist Church of Coal City and coaches high school basketball at Coal City High School. NorthRock Partners provides comprehensive wealth management and advisory services to individuals, trusts, estates, retirement plans, charitable organizations, and business entities. The firm employs a tailored investment approach emphasizing broad asset allocation, diversification, and the use of independent managers, incorporating private market allocations and technology-assisted portfolio management.

Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Charitable giving & philanthropy Founder/Business Owner Retired Executive Approaching retirement Established Professionals
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Alexander M

Series 66

Munster, IN

Belpointe Asset Management LLC

Alexander Milton is a financial advisor with Belpointe Asset Management LLC in Munster, Indiana. He holds a Series 66 designation and has one year of industry experience. Milton has worked at several firms, including AFIN Family Wealth Management and Cetera Investment Services. Outside of advisory work, he is an independent insurance agent selling fixed insurance products. Belpointe Asset Management is a multi-team registered investment adviser with over 160 advisors managing more than $7.5 billion. The firm provides discretionary investment management, financial planning, and retirement-plan consulting to individuals, corporations, trusts, and other advisers, implementing customized portfolios through various strategies and model portfolios.

College savings (529s, UTMA, etc.) General retirement planning Income planning Tax-loss harvesting Active portfolio management Executive Founder/Business Owner
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Jennifer R

CFP®, Series 65

Merrillville, IN

Waverly Advisors, LLC

Jennifer Ryan is a CFP® with seven years of industry experience, currently serving as a financial advisor at Waverly Advisors, LLC since 2024. Prior to joining Waverly, she worked at StrategIQ Financial Group, LLC for six years. Waverly Advisors is a multi-team registered investment adviser managing portfolios for individuals, retirement plans, and pooled investment vehicles. The firm combines traditional equity and fixed-income strategies with alternative and private-market allocations and offers a range of financial planning, retirement consulting, and multi-family office services.

Private / alternative investments Real estate investing Options & derivatives strategies Tax-loss harvesting Multi-generational wealth transfer Founder/Business Owner Executive
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Jon L

Series 63, Series 65

Portage, IN

First Heartland Consultants, Inc.

Jon Lyons is a financial advisor with First Heartland Consultants, Inc. in Portage, Indiana, holding Series 63 and Series 65 credentials and bringing 28 years of industry experience. He has been with First Heartland Capital, Inc. since 2001. Lyons is also involved with Lyons and Bolek, LLP, which engages in the sale and distribution of insurance products. First Heartland Consultants serves a diverse client base including individual investors, retirement plan participants, charitable organizations, and corporate entities. The firm provides financial planning, model-based management for self-directed 401(k) accounts, and both non-wrap and wrap asset management, delivering advice through a network of independent investment adviser representatives.

Annuities Income planning Cash flow / budgeting
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Melvin B

Series 63, Series 65

Crown Point, IN

IP Financial Advisory Services LLC

Melvin Brooks is a financial advisor with IP Financial Advisory Services LLC, holding Series 63 and Series 65 credentials and bringing 40 years of industry experience. He has worked at IP Financial Advisory Services since 2020 and is also affiliated with Innovation Partners LLC and the Merrillville Education Foundation. Brooks has been involved with the Merrillville Education Foundation for over 20 years. IP Financial Advisory Services primarily serves individual retail clients, offering portfolio management, financial planning, and consulting services, with a focus on non-high-net-worth investors and retirement plan participants. The firm employs various analytical approaches and provides specialized advisory services, including actuarial analysis and benefits consulting.

Business succession planning Charitable giving & philanthropy Income planning Long-term care insurance Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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David B

Series 66

Valparaiso, IN

First Heartland Consultants, Inc.

David Babulic is a financial advisor with First Heartland Consultants, Inc. based in Valparaiso, IN. He holds a Series 66 designation and has 17 years of industry experience. He has been affiliated with Sikorski Wealth Management since 2006. Outside of advisory services, he owns a separate S corporation used for tax purposes. First Heartland Consultants serves a diverse client base including individual investors, retirement plan participants, charitable organizations, and corporate entities. The firm provides financial planning, model-based management for 401(k) accounts, asset management, and third-party asset management solutions through a network of independent investment adviser representatives.

Annuities Income planning Cash flow / budgeting
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Todd G

Series 63, Series 65

Schereville, IN

Prosperity Capital Advisors

Todd Gehring Gervase is a financial advisor at Prosperity Capital Advisors with three years of industry experience. He holds the Series 63 and Series 65 licenses and has previously worked with Innovation Partners LLC and Hammer Financial Group. In addition to his advisory role, he is a licensed insurance agent offering fixed insurance products. Prosperity Capital Advisors is an SEC-registered firm providing financial planning, consulting, and discretionary investment management to a diverse client base, including individuals, high-net-worth investors, corporations, and retirement plans. The firm employs model-based asset allocation strategies and ongoing portfolio supervision using investment suites from providers such as BlackRock, Dimensional, and Vanguard.

Active portfolio management Options & derivatives strategies Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive HENRY (High Earners, Not Rich Yet)
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Carolyn M

Series 63, Series 65

Merrillville, IN

Global View Capital Management LLC

Carolyn McClinton is a financial advisor with Global View Capital Management LLC, holding Series 63 and Series 65 licenses and possessing 21 years of industry experience. She has been affiliated with Global View Capital Management since 2014 and has prior experience at firms including Experior Financial Group and Transamerica Financial Advisors. McClinton serves on the board of the Miller Community Fund, a charitable organization focused on community projects in Gary, Indiana. Global View Capital Management LLC provides discretionary investment management and financial planning services to individuals, trusts, corporations, and retirement plans. The firm employs quantitative and technical investment strategies based on algorithmic research and offers a variety of managed account programs including SMAs, mutual funds, ETFs, and low-cost ETF-only options.

Active portfolio management Passive / index investing
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Anthony S

Series 66

Valparaiso, IN

First Heartland Consultants, Inc.

Anthony Sikorski is a financial advisor with First Heartland Consultants, Inc. in Valparaiso, Indiana, holding a Series 66 designation and bringing 12 years of industry experience. He has worked with First Heartland Capital Inc. and operated Sikorski Wealth Management since 2012. Sikorski is also affiliated with Purdue University since 2008. First Heartland Consultants provides investment advisory and financial planning services to individuals, businesses, and retirement plan participants, utilizing a mix of fundamental, technical, and cyclical analysis alongside strategic and tactical asset allocation. The firm supports its advisors with various program offerings, including wrap and non-wrap asset management, third-party management, and model-based self-directed brokerage accounts.

Annuities Income planning Cash flow / budgeting
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Victor S

Series 66

Valparaiso, IN

First Heartland Consultants, Inc.

Victor Sikorski is a financial advisor at First Heartland Consultants, Inc. with one year of industry experience. He holds a Series 66 credential and has previously worked at Sikorski Wealth Management, Blink Enterprises LLC, Unifirst Corp, White Lodging Brush Creek Ranch, and the West Lafayette Police Department. He is the sole member of Street Sense LLC, an entity established for business tax purposes. First Heartland Consultants provides investment advisory and financial planning services to individuals, businesses, and employer-sponsored retirement plan participants. The firm offers personalized asset management, third-party asset management services, and model-based self-directed brokerage account programs, utilizing a range of analytical approaches and custodial partnerships.

Annuities Income planning Cash flow / budgeting
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Jackson S

CFP®, Series 65

Hebron, IN

Triad Wealth Partners, LLC

Jackson Sheputis is a CFP® and holds a Series 65 license with five years of industry experience. He is currently affiliated with Triad Wealth Partners, LLC and has previously worked at Hightower Advisors, AE Wealth Management, and Rooted Wealth Advisors. Prior to his financial advisory career, he held roles at Valparaiso University and in the education sector. Triad Wealth Partners serves individual and institutional clients through a network of independent Investment Adviser Representatives and a Turnkey Asset Management Platform offering portfolio management, model portfolios, and financial planning services. The firm employs a strategic asset allocation approach overseen by an investment committee and provides diversified strategies across multiple asset types.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) General tax planning Founder/Business Owner Executive
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Victoria C

Series 65

Merrillville, IN

Waverly Advisors, LLC

Victoria Chatman is a financial advisor at Waverly Advisors, LLC with three years of industry experience. She holds a Series 65 designation and previously worked at StrategIQ Financial Group and several other non-financial roles. Waverly Advisors is a multi-team registered investment adviser managing portfolios for individuals, retirement plans, and pooled investment vehicles. The firm offers a range of services including investment management and financial planning, combining traditional equity and fixed-income strategies with alternative and private-market allocations.

Private / alternative investments Real estate investing Options & derivatives strategies Tax-loss harvesting Multi-generational wealth transfer Founder/Business Owner Executive
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Steven G

CFP®, Series 63

Merrillville, IN

Waverly Advisors, LLC

Steven Gronceski is a CFP® professional with 32 years of industry experience. He is currently with Waverly Advisors, LLC, where he has worked since 2024. Prior to joining Waverly, he spent 25 years at StrategIQ Financial Group, LLC and nine years at Sii Investments. Outside of his advisory work, he is a member of IQ Companies, LLC, which owns StrategIQ Financial Group. Waverly Advisors is a multi-team registered investment adviser serving individuals, retirement plans, and pooled investment vehicles. The firm offers a range of services including investment management, financial planning, and multi-family office services, integrating traditional strategies with alternative and private-market allocations.

Private / alternative investments Real estate investing Options & derivatives strategies Tax-loss harvesting Multi-generational wealth transfer Founder/Business Owner Executive
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Craig E

Series 65, Series 63

Crown Point, IN

Principal Advised Services

Craig Engel is a financial advisor with Principal Advised Services, holding Series 63 and Series 65 licenses and bringing 12 years of industry experience. His prior roles include positions at Allstate, Financial Engines Advisors, and Edelman Financial Services. Outside his advisory work, Engel participates as a subcontractor and performer in entertainment events and serves as an elections inspector as well as a board member for the West Porter Fire Protection District. Principal Advised Services offers investment advice and related services primarily to retirement plan participants and retail IRA clients, combining third-party tools and proprietary models with both non-discretionary recommendations and a discretionary investment management program called SimpleInvest. The firm’s affiliation with Principal Financial Group allows access to a range of proprietary products and integrated service offerings.

General retirement planning Retirement income strategy Income planning Retirement withdrawal strategies Cash flow / budgeting Retired
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Brendan S

Series 66

Valparaiso, IN

Lifemark Securities Corp.

Brendan Schafer II is a financial advisor with LifeMark Securities Corp. in Valparaiso, IN, holding a Series 66 credential and three years of industry experience. He has a background in accounting and finance, including roles at RSM US LLP and as a Certified Public Accountant since 2023. Schafer also operates an independent insurance agency, focusing on life insurance and fixed annuity products. LifeMark Securities Corp. provides fee-based investment advisory services and financial planning primarily to individual investors and sponsors of participant-directed retirement plans, utilizing tailored, suitability-driven strategies and various managed account options.

Annuities Retirement plans for business owners (SEP, solo 401k) Wealth management
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Christian R

Series 65

Merrillville, IN

Waverly Advisors, LLC

Christian Resendiz is a financial advisor at Waverly Advisors, LLC with three years of industry experience. He holds a Series 65 designation and previously worked at StrategIQ Financial Group, LLC and UPS. Waverly Advisors is a multi-team registered investment adviser managing portfolios for individuals, retirement plans, and pooled investment vehicles. The firm integrates traditional and alternative investment strategies and offers services including financial planning and multi-family office support.

Private / alternative investments Real estate investing Options & derivatives strategies Tax-loss harvesting Multi-generational wealth transfer Founder/Business Owner Executive
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Brandon R

Series 65, Series 63

Valparaiso, IN

Creativeone Wealth, LLC

Brandon Rudd is a financial advisor at CreativeOne Wealth, LLC with three years of industry experience. He holds Series 65 and Series 63 licenses and has previously held roles at Rite Path Financial, Verizon, and Urschel Development Corporation. Outside of his advisory work, he serves on the board of Family Concern Counseling, a nonprofit organization in Valparaiso, IN. CreativeOne Wealth, LLC provides fee-based asset management, financial planning, and retirement consulting to individuals, corporations, and other RIAs, managing primarily discretionary accounts through a blend of proprietary models and third-party managers that utilize modern portfolio theory and various analytical methods.

Active portfolio management ESG / Sustainable investing Concentrated stock management Options & derivatives strategies Private / alternative investments Executive Founder/Business Owner
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Ian T

Series 65

Valparaiso, IN

integrity Advisory Solutions

Ian Tyler is a Series 65 licensed advisor with Integrity Advisory Solutions in Valparaiso, Indiana, and has two years of industry experience. He also works as a paralegal at Rice and Rice Attorneys, focusing on estate planning support. Tyler is a member of the American Academy of Estate Planning Attorneys and is involved in Freedom Financial Partners, an LLC formed with partners for advisory activities. Integrity Advisory Solutions serves individuals, trusts, estates, corporations, and other business clients through a network of approximately 100 independent advisors, managing around $1.1 billion in client assets. The firm offers portfolio management, financial planning, retirement plan consulting, and model portfolio programs, combining fundamental and technical analysis with various asset-allocation strategies and ongoing portfolio oversight.

Private / alternative investments Concentrated stock management Founder/Business Owner Executive
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Brian B

Series 63, Series 65

Portage, IN

First Heartland Consultants, Inc.

Brian Bolek is a financial advisor with First Heartland Consultants, Inc. in Portage, Indiana, holding Series 63 and Series 65 licenses and bringing 30 years of industry experience. He has been with First Heartland Capital and Marquis Financial Services since 2001. Outside of advisory work, he is a partner at Lyons and Bolek LLP and has sold long-term care insurance products; he also works as a weekend crew member at Pudgy's. First Heartland Consultants provides investment advisory and financial planning services to individuals, businesses, and retirement plan participants. The firm offers personalized asset management, third-party management services, and a model-based self-directed brokerage account program, delivering advisory services through independent representatives using a variety of analytical and asset allocation techniques.

Annuities Income planning Cash flow / budgeting
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