Briggs Financial Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Briggs Financial serves individual and high‑net‑worth clients, offering discretionary investment management, ongoing financial planning, and in‑house tax preparation. The firm reports roughly $52 million in assets under management and provides portfolio supervision based on each client’s stated objectives and reasonable investment restrictions.
Investment decisions are driven primarily by fundamental analysis with a long‑term orientation, and the adviser does not charge performance‑based fees or accept commissions tied to capital gains. Financial planning is provided as an ongoing service (monthly subscription for most clients and hourly billing for Washington clients), includes use of the eMoney planning platform, quarterly meetings, and an annual plan review.
A notable feature is the firm’s in‑house tax preparation practice, with a published fee schedule for a range of returns and forms (including Form 706 and Form 709) and additional hourly or complexity fees for specialized work. The brochure also discloses that the firm does not accept commissions or third‑party compensation for product sales and that it participates in Charles Schwab’s institutional program for custody and operational support.
Client services
Expertise
Fee options
Tax preparation fixed fees ranging from $30 for additional state returns up to $2,000 for Form 706 Estates; specific fees listed per tax form
$0 - $24,999: 1.50% $25,000 - $99,999: 1.45% $100,000 - $249,999: 1.35% $250,000 - $499,999: 1.25% $500,000 - $999,999: 1.15% $1,000,000 - $1,999,999: 1.0% $2,000,000 - $3,499,999: 0.9% $3,500,000 - $4,999,999: 0.8% $5,000,000+: 0.7%
$400/hour for Financial Planning (Washington State clients); $250/hour for tax preparation complexity work; $250/hour for amended returns and additional tax research
Fee-only: Financial Planning (non-WA clients): $250/month (Basic), $500/month (Intermediate), $1,000/month (Advanced); Financial Planning (WA clients): $400/hour; Tax Preparation fees vary by form, e.g., $250-$2,000 fixed fees plus hourly rates for complexity or additional work
Main office
Round Lake Beach IL
Advisors at this office
2
Most active in
California · Illinois · Michigan · Minnesota · Texas · Washington
Also doing business as
Briggs Financial · Briggs Financial Inc. · Briggs, Steven Thomas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
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.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
Forms ADV
Quick links
Advisors at this firm
Shawn B
Series 65
Round Lake Beach, IL
Briggs Financial Inc.
Shawn Block is a financial advisor at Briggs Financial Inc. with six years of industry experience and holds a Series 65 designation. Outside of finance, he has worked as a performer and emcee for Medieval Times since 2007, where his duties include acting, performing, media, marketing, and special events. Briggs Financial serves individual and high-net-worth clients with discretionary investment management, ongoing financial planning, and in-house tax preparation. The firm employs a fundamental, long-term investment approach and does not charge performance-based fees or accept commissions tied to capital gains.
Steven B
Series 66
Round Lake Beach, IL
Briggs Financial Inc.
Steven Briggs is a financial advisor at Briggs Financial Inc. with nine years of industry experience. He holds a Series 66 designation and has worked at Waddell & Reed and Wizards of the Coast prior to founding his own practice. Briggs Financial serves individual and high-net-worth clients by providing discretionary investment management, ongoing financial planning, and in-house tax preparation. The firm manages approximately $52 million in assets and focuses on fundamental analysis with a long-term investment approach.
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)