FINANCIAL TRANSPARENCY
SEC RegisteredFinancial Transparency Because We Care
About the firm
Financial Transparency works with clients and financial advisors around the country, in various states. The firm typically custodializes assets with Axos Advisor Services or Charles Schwab, and operates as a registered investment advisory firm working with clients in a fiduciary capacity.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Assessing client goals and risk tolerance, developing tailored investment portfolios, account paperwork, trade execution, continuous account monitoring, retirement planning, life insurance analysis, market updates, quarterly reports, and supporting advisors with branding, growth, and Sell & Stay retirement plans.
Who they serve
Clients and financial advisors around the country, in various states, including new investors, active investors, and investors seeking a second opinion on their investments.
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 174 | $64M |
| High Net Worth Individuals | 53 | $233M |
| Investment Companies | 0 | — |
| Pooled Investment Vehicles | 0 | $0 |
| Pension/Profit Sharing Plans | 0 | $0 |
| Charitable Organizations | 5 | $26M |
| State/Municipal Entities | 1 | — |
| Insurance Companies | 0 | — |
| Sovereign Wealth Funds | 0 | — |
| Corporations | 0 | $0 |
0 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
16 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| Let's Get Started | 1.00% |
| Managed Investment Portfolios | 1.75% |
| Customized Managed Accounts | 2.15% |
| Pension Consulting Services | 1.50% |
Data as of March 31, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
Find an advisor that fits
Search AdvisorFinder's marketplace to compare financial advisors by specialty, location, fees, and more.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. FINANCIAL TRANSPARENCY has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.