Waxman Financial
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Waxman Financial provides investment management and financial planning primarily for individual clients who are largely high-net-worth — including small business owners, self-employed professionals and corporate executives — with roughly one-fifth retired. Services include discretionary portfolio management for taxable and retirement accounts, written Personal Financial Plans, and access to insurance products through licensed representatives.
The firm follows a bottoms-up, fundamental research process to build portfolios, emphasizing equities, exchange-traded funds, mutual funds and fixed-income funds rather than frequent use of individual bonds, and seeks global diversification with position-size limits (typically no more than about 5% per holding). Portfolios are tailored to objectives documented in each client’s Personal Financial Plan, are actively rebalanced and reviewed at least weekly, and the adviser normally trades on a discretionary basis through a single custodial platform.
Distinctive features include a firm policy of requiring a recent, credible Personal Financial Plan before accepting clients for asset management and offering standalone written plans for a fixed fee or hourly consulting; this planning-first intake is less common among supported firms. The firm is small in scale (two advisers managing about $31.6 million for roughly 40 clients), is led by CFP-certified principals including one with an advanced academic degree, operates exclusively with a single institutional custodian, and discloses that associated persons may also sell insurance products and receive separate commission compensation.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
Fixed fee of $3,000 for broad based financial planning services; possible additional fees in limited cases
$0 - $350,000: 1.50% per year $350,001 - $1,000,000: 1.00% per year $1,000,001 - $2,000,000: $10,000 + 0.85% over $1 million $2,000,001 - $5,000,000: $18,500 + 0.75% over $2 million $5,000,001+: Negotiable
Insurance commissions earned by licensed insurance agents affiliated with the firm; separate and in addition to advisory fees
Hourly fee of $225 for specific financial planning or consulting services
Account minimum: No minimum dollar amount for starting or maintaining an investment account; however, very few clients have assets under management less than $350,000 Fee-only: Fixed fee of $3,000 for broad based financial planning; hourly fee of $225 for specific services or consulting
Main office
Parkland FL
Advisors at this office
2
Most active in
Florida
Also doing business as
Jeffrey B. Waxman, Inc. · Waxman Financial
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Andrew W
CFP®, Series 66
Parkland, FL
Waxman Financial
Andrew Waxman is a CFP® professional with 19 years of industry experience, operating at Waxman Financial in Parkland, FL. He has worked as a sole proprietor insurance agent since 2014 and is affiliated with Jeffrey B. Waxman, Inc. Outside of advising, he continues his insurance agency work in West Palm Beach. Waxman Financial provides investment management and financial planning primarily for high-net-worth individuals, including small business owners, self-employed professionals, and corporate executives. The firm employs a bottoms-up, fundamental research approach to build diversified portfolios tailored to clients’ documented financial plans and requires a current Personal Financial Plan before accepting clients for asset management.
Jeffrey W
CFP®, Series 65
Parkland, FL
Waxman Financial
Jeffrey Waxman is a CFP® professional with 23 years of experience in financial advising. He has been with Waxman Financial since 1999 and also works as a sole proprietor insurance agent. The firm provides investment management and financial planning primarily for high-net-worth individuals, including small business owners, self-employed professionals, and corporate executives. Waxman Financial uses a bottoms-up, fundamental research process to build globally diversified portfolios tailored to client objectives documented in Personal Financial Plans, which are required before accepting clients for asset management.
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”)