Top business exit / sale strategy financial advisors working with high-net-worth individuals in San Jose, CA

Tammy Tang is a financial advisor at J.P. Morgan Securities with eight years of industry experience. She holds Series 63 and Series 66 licenses and has been with J.P. Morgan Securities and JPMorgan Chase Bank, N.A. since 2017. Prior to that, she worked for Santa Clara County Federal Credit Union for twelve years and had a brief role at Liane Hair Salon. Outside of her advisory role, she assists with personal care needs at an assisted living setting for a family member. J.P. Morgan Securities provides investment consulting and advisory services primarily to institutional clients and retirement plan sponsors, utilizing a quantitative asset-allocation approach combined with centralized due diligence. The firm delivers services on a non-discretionary basis and integrates an ESG eligibility framework in its investment recommendations.

Rajvinder Budwal is a financial advisor at OSAIC with 32 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at Sagepoint Financial, Inc. for 14 years. Outside of his advisory role, he provides notary public services and owns a living trust services business. OSAIC serves a diverse client base including individual and high-net-worth investors, pension plans, corporations, and charitable organizations. The firm offers integrated brokerage and advisory services across multiple platforms, using a range of tools and third-party solutions to construct and manage client portfolios.

Ngoc Thuy Linh Ngo is a financial advisor with Merrill based in San Jose, CA, holding a Series 66 designation and two years of industry experience. Prior to joining Merrill, Ngo held positions at Bank of America and engaged in educational roles at Evergreen Valley College and San Jose State University. Ngo has also been involved with Unidos US and Teasociety in prior years. Merrill, together with its affiliate Managed Account Advisors LLC, provides managed account services to Bank of America fiduciary clients through the Select Portfolio Solutions Program. The firm offers a range of model-based and discretionary investment strategies for individuals, high-net-worth clients, and institutional investors.

Brian Horiuchi is a financial advisor with PFG Advisors in San Jose, CA, holding Series 63 and Series 66 licenses and bringing 37 years of industry experience. His career includes long-term roles at Commonwealth Central Credit Union and Cuso Financial Services, as well as current positions with United Planners and PFG Advisors. Outside of his advisory work, he serves as trustee for the Ben and Marge Horiuchi Family Trust. PFG Advisors provides fee-based investment advisory and financial planning services to individuals, trusts, estates, charitable organizations, retirement plans, and corporate clients. The firm employs a combination of macroeconomic allocation and fundamental/technical analysis, primarily using index-based ETFs, and offers access to third-party money managers and platforms.

Lance Pieper is a CFP® professional with five years of industry experience, currently serving at Concentrum Wealth Management. He has been with the firm since 2018. Concentrum Wealth Management is a team-based registered investment adviser that serves individuals, including high-net-worth clients, as well as pension and profit-sharing plans, trusts, estates, and business entities. The firm focuses on wrap-fee asset management and employs investment strategies that include derivatives and margin, distinguishing it from many similar-sized advisory teams.

Sally Hyman is a financial advisor with Seasons of Advice Wealth Management in New York, NY. She holds Series 63 and Series 65 licenses and has 43 years of industry experience, including roles at Ameriprise Financial Services and RBC Capital Markets. Outside of her advisory work, she records and sells vocal CDs and is involved in publishing her father's book on the spiritual meaning of disease and science. Seasons of Advice Wealth Management provides financial planning and discretionary investment management to individuals, high net worth clients, trusts, small business owners, professionals, and families. The firm uses a proprietary planning process that integrates goal tracking, asset allocation, and tax planning, tailoring investment recommendations to each client’s objectives and risk tolerance.

Kristin Manna is a financial advisor at Guardian Life with one year of industry experience. She holds a Series 66 designation and has worked previously at Consolidated Planning Holdings, Inc. and Charleston County School District. Outside of her advisory role, she is an author and publisher of books including The Basketball Coach's Notebook and works as a math tutor for high school students. Guardian Life’s subsidiary, Park Avenue Securities LLC, offers brokerage and investment advisory services to individuals, corporate and retirement plan sponsors, charitable organizations, and businesses. The firm provides tailored client solutions through a combination of advisor-led discretionary management, model-based strategies, and access to proprietary and third-party platforms.

Geoffrey Tomes is a financial advisor with Sanctuary Advisors, LLC, holding a Series 66 credential and 26 years of industry experience. He has worked at Noyes Advisors LLC for 11 years and David A Noyes & Company for 26 years. His other business activities include involvement in fixed life and health insurance and fixed annuities. Sanctuary Advisors, LLC serves a diverse client base including individuals, corporations, pension and profit-sharing plans, trusts, estates, and charitable organizations through a network of over 400 independent investment adviser representatives. The firm offers a range of portfolio management and financial planning services employing various analytical approaches and maintains distinctive features such as negotiated performance-based fees for large institutional clients and affiliations with specialized asset management firms.

Amanda Quicke is a financial advisor with Wells Fargo Advisors in Richmond, VA, holding a Series 66 designation and 18 years of industry experience. She has worked within Wells Fargo entities since 2016. Outside of her advisory role, she has ownership interests in an investment-related business, Granite Wealth Management, LLC. Wells Fargo Advisors Financial Network serves individuals, trusts, and institutional clients by providing a broad range of investment and financial planning services. The firm utilizes proprietary research and planning tools to develop tailored recommendations, offering both brokerage and advisory programs.

Keith Eliou is the principal of Keith L. Eliou, CFP, an investment management firm based in Pittsburgh, PA. He holds the CFP® designation and has one year of experience as a financial advisor. In addition to his advisory role, he practices law focusing on elder law and real estate and is involved in insurance, mortgage lending, and real estate brokerage businesses. The firm primarily serves pooled vehicles and institutional accounts, offering portfolio management, retirement plan services, and financial planning. It utilizes an open-architecture investment approach with third-party money managers and employs multiple analytical methods and strategies, conducting annual account reviews.

Wesley Pool is a financial advisor at Wells Fargo Clearing with 15 years of industry experience. He holds Series 63 and Series 66 licenses and previously worked at JPMorgan Securities LLC for seven years. Outside of finance, he has been involved with #TagMeBro LLC and Fry Street Public House. Wells Fargo Advisors is a national securities firm serving individual, corporate, and institutional clients with investment advisory services, financial planning, and retirement plan consulting. The firm manages approximately $671 billion in assets and offers both brokerage and advisory solutions.

Willie Myles is a financial advisor with Equitable Advisors in Cary, NC, holding Series 63 and Series 66 licenses and bringing 16 years of industry experience. He has worked at Equitable Advisors since 2016, previously serving at Axa Advisors and MSI Financial Services. Outside of advising, he is a co-chairman of a fundraising campaign for Alpha Light Fund Inc., a nonprofit focused on renovating the House of Alpha. Equitable Advisors serves a range of clients including individuals, pension plans, corporations, and charitable organizations, providing financial planning, retirement consulting, and asset management through a network of representatives and third-party managers. The firm offers various investment vehicles and ERISA fiduciary services, relying on third-party program sponsors and an affiliation with a publicly traded parent company.

Linda Postorivo is a financial advisor at BC Advisors, LLC with 43 years of industry experience. She holds a Series 63 designation and has worked with MAFG RIA Services, Inc. since 1994 and with Mid-Atlantic Companies since 1981. BC Advisors provides investment advisory and portfolio management services primarily to high-net-worth individuals, family trusts, pension and profit-sharing plans, and other institutional clients. The firm emphasizes non-discretionary investment recommendations grounded in fundamental analysis alongside technical and cyclical reviews, employing a variety of strategies including long-term, short-term, trading, options, and alternatives.

Sally Hyman is a financial advisor with Seasons of Advice Wealth Management in New York, NY. She holds Series 63 and Series 65 licenses and has 43 years of industry experience, including roles at Ameriprise Financial Services and RBC Capital Markets. Outside of her advisory work, she records and sells vocal CDs and is involved in publishing her father's book on the spiritual meaning of disease and science. Seasons of Advice Wealth Management provides financial planning and discretionary investment management to individuals, high net worth clients, trusts, small business owners, professionals, and families. The firm uses a proprietary planning process that integrates goal tracking, asset allocation, and tax planning, tailoring investment recommendations to each client’s objectives and risk tolerance.

Ethan Siekkinen is a CFP® and holds a Series 65 license, currently serving as a financial advisor with Plante Moran Financial Advisors. He has one year of industry experience and has previously worked at J Wilson Wealth Management and operated Rizzo Lawn Care. Plante Moran Financial Advisors, LLC provides investment advisory, financial planning, and estate planning services to a diverse client base including individual households, institutional clients, and sovereign wealth funds. The firm employs a multi-disciplinary investment process and offers both discretionary and non-discretionary portfolio management, manager search, and tax-lot accounting services.