Adler Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$5,966,253
This total excludes 3 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
31
23% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
31
Average account size
$192,460
About
Adler Financial provides discretionary investment management and financial planning/consulting to a mix of individual and organizational clients. The firm’s brochure lists service to individuals, governmental entities, pension and profit‑sharing plans, charitable/non‑profit organizations, corporations, trusts and estates.
The firm applies both fundamental and quantitative analysis to construct portfolios across stocks, bonds, mutual funds, ETFs, currencies, municipal securities, options and insurance-based products, and typically manages accounts on a discretionary basis. Recommendations are tailored to each client’s time horizon, risk tolerance and liquidity needs, with at least monthly portfolio reviews and formal meetings offered no less than annually.
Compared with many single-advisor independents, Adler’s business includes institutional-style work and pension consulting for plans as well as charitable and corporate clients, and the firm facilitates sales of insurance and annuity products (disclosing a commission-sharing relationship with RetireOne). The firm also provides tax preparation services through an enrolled agent affiliated with the firm, and reports roughly $5.97 million in assets under management across 31 client relationships.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Active portfolio management
Options & derivatives strategies
Tax-loss harvesting
Fee options
0.25% to 1.50% annually depending on account size, complexity, and holdings
$150 per hour for financial planning/consulting and tax preparation, filing and representation services.
Fee-only: Investment management fees based on AUM; no commissions accepted.
Main office location
Adler Financial
Oregon WI, United States
Number of offices
2
Most active in
Adler Financial has reported serving >5 clients in these states in the last 12 months.
Wisconsin
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:
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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.
Forms ADV
Quick links
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