Sobel Financial LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$16,572,399
Total clients
53
6% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
53
Average account size
$312,687
About
Sobel Financial LLC provides investment advisory and financial planning services to individuals, trusts, and small businesses, delivering portfolio management and written financial plans. The firm manages client portfolios primarily on a non‑discretionary basis and also facilitates access to third‑party managers and digital advisory platforms, including Matson Money and the Betterment platform.
The firm's investment approach is grounded in modern portfolio theory and asset allocation, with portfolios constructed from ETFs and mutual funds that emphasize international diversification and value‑oriented equity exposure. Portfolios are monitored and rebalanced regularly, and Sobel obtains client approval before executing trades while supervising any delegated managers or platform services.
Noteworthy aspects disclosed in the brochure include an affiliated insurance business that consumes a portion of adviser time and may generate commission income, and prior state insurance regulatory stipulations described in the firm’s disciplinary disclosures. The combination of primarily non‑discretionary assets under management and a single‑advisor, small‑client structure differentiates the firm from many peers that operate with discretionary authority or larger advisory teams.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
Wealth management
Fee options
Financial planning services: one-time flat fee up to $5,000; ongoing financial planning fee up to $5,000 per year billed monthly in advance
$0 - $500,000: 0.99% annually $500,001 - $1,000,000: 0.89% annually $1,000,001 - $4,000,000: 0.79% annually $4,000,001+: 0.69% annually
Advisor receives commissions for insurance products and services
Main office location
Sobel Financial LLC
2000 S. Colorado Blvd., Building 1, Suite 2000
Denver CO 80222, United States
Number of offices
1
Most active in
Sobel Financial LLC has reported serving >5 clients in these states in the last 12 months.
Colorado
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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.
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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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