Adler Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$5,689,347
This total excludes 3 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
33
33% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
33
HighAverage account size
$172,404
About
Adler Financial provides discretionary and non‑discretionary investment management and financial planning/consulting to a broad set of clients, including individuals, trusts and estates, pension and profit‑sharing plans, charitable/non‑profit organizations, corporations and investment companies. Services described in the brochure include portfolio management across equities, fixed income, ETFs, options and insurance products, along with pension consulting and tax preparation/representation.
The firm’s investment process combines fundamental and quantitative analysis and uses both fundamental and technical inputs to tailor asset allocation and security selection to each client’s objectives, time horizon and risk tolerance. Accounts are reviewed on a regular basis (at least monthly) and reporting is provided through the custodian platform the firm uses for client accounts.
What is noteworthy relative to many peers is the firm’s engagement with institution‑type clients — including investment company clients, pension consulting and other portfolio management for institutional and corporate entities — and its work with charitable organizations. The brochure also discloses that the firm facilitates insurance product sales through a commission‑sharing arrangement with RetireOne and offers tax preparation services via an affiliated Enrolled Agent, both of which are potential sources of conflicts that the firm states it will disclose and manage.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Income planning
Active portfolio management
Options & derivatives strategies
Fee options
Under $10,000 - Under $50,000: 0.25% annually $10,000 - Under $50,000: 0.50% annually $50,000 - Under $100,000: 0.75% annually $100,000 - Under $250,000: 1.00% annually $250,000+: 1.25% annually
$175 per hour for financial planning/consulting services
Fee-only: Fixed hourly rate of $175 per hour
Main office location
Adler Financial
Oregon WI, United States
Number of offices
2
Most active in
Adler Financial has reported serving >5 clients in these states in the last 12 months.
Wisconsin
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Forms ADV
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