JW Financial Advisors, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$13,688,467
Clients
24
17% 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
24
TypicalAverage account size
$570,353
About
The firm provides discretionary and non-discretionary investment management and financial planning primarily to individual clients, managing roughly $13.7 million across about two dozen client relationships. It offers ongoing portfolio management and standalone planning or consulting engagements and does not require a minimum account size.
Investment advice is tailored to each client’s stated objectives and documented in an investment policy or risk-tolerance statement, with account reviews performed at least quarterly. The firm uses a mix of fundamental, technical and cyclical analysis and may implement a range of strategies from long-term buy-and-hold to trading and option writing, including covered and uncovered option strategies.
Noteworthy features include a long-tenured, CFP‑certified principal with decades of industry experience who also maintains active insurance licensure and devotes a portion of time to offering insurance products — a relationship disclosed as a potential conflict of interest. The brochure also discloses that the firm does not vote client proxies (clients receive and vote their own proxies) and that it manages a relatively small client roster, which may result in more concentrated advisor attention compared with larger peers.
Client services
Financial planning
Portfolio management
Expertise
Equity compensation tax strategy
Fee options
Negotiable fixed fee for financial planning up to $4,000
$0 - $250,000: 2.00% annually $250,001 - $500,000: 1.75% annually $500,001 - $1,000,000: 1.50% annually $1,000,001 - $2,500,000: 1.00% annually $2,500,001 - $5,000,000: 0.75% annually $5,000,001+: 0.50% annually
$300 per hour for financial planning
Fee-only: Financial planning fixed fee up to $4,000; hourly fee $300 per hour
Main office location
JW Financial Advisors, LLC
Santa Rosa CA, United States
Number of offices
1
Most active in
JW Financial Advisors, LLC has reported serving >5 clients in these states in the last 12 months.
California
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 not active or affiliated with:
-
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.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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