A complete list of active advisors currently associated with XML Financial Group

Warmer can help you find a great advisor at XML Financial Group or one who fits your needs even better.

XML Financial Group serves individual (including high-net-worth) and institutional clients — including ERISA plans, corporations, and charitable organizations — managing roughly $3.298 billion for about 2,890 clients with a team of 29 advisors. The firm offers discretionary and non-discretionary investment management, financial planning and advisory consulting, retirement plan consulting, and wrap-fee programs. XML implements household-level portfolio management that combines fundamental and technical analysis, oversight by an Investment Committee, and periodic monitoring by IARs; it also uses third-party managers and model platforms for certain account types. The firm supplements core strategies with access to alternative and private investments through arrangements with CAIS and affiliated pooled vehicles managed by Origin and SCS, which are offered to qualifying clients on a subscription (non-discretionary) basis. Several features in the brochure are notable relative to peers: XML is an indirect subsidiary of Focus Financial Partners and discloses multiple affiliated relationships (an affiliated broker‑dealer, XML Securities, First Clearing for wrap accounts, and joint arrangements with other Focus firms), a promoter/referral arrangement that shares advisory fees with another Focus firm, and referral/marketing relationships with SmartAsset and an insurance agency (LifestyleLife). The brochure describes these sponsorships, soft‑dollar and referral arrangements and explains the conflicts they can create as well as the firm’s disclosure, consent and supervisory practices intended to mitigate those conflicts.

To learn more about the advisors currently working at XML Financial Group, 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.