A complete list of active advisors currently associated with Spectrum Financial Advisors LLC

Warmer can help you find a great advisor at Spectrum Financial Advisors LLC or one who fits your needs even better.

Spectrum Financial Advisors LLC provides ongoing portfolio management and pension consulting to high-net-worth individuals and to pension and profit-sharing plans, including 401(k) plans. The firm generally recommends equities along with mutual funds, fixed income, ETFs and real estate funds, and may prepare written pension consulting plans and recommend third‑party managers and service providers. The adviser typically manages client accounts under a client-specific investment policy statement with discretionary authority and conducts monthly reviews; its methods of analysis include charting, fundamental, quantitative and technical approaches. Investment strategies can include long- and short-term trading and the use of margin, short sales and options, and the firm applies an account minimum of $5,000,000 that may be waived in its discretion. Noteworthy for an independent adviser of this size, the firm explicitly provides pension consulting services for employer retirement plans—an offering that is uncommon among peers—and charges fixed fees for plan creation in addition to asset-based consulting. The brochure also discloses that a principal is a licensed insurance agent (which can create potential conflicts when recommending commissionable products) and that a 2019 regulatory consent order involving the principal was resolved with all required terms satisfied.

To learn more about the advisors currently working at Spectrum Financial Advisors LLC, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.