Top Financial Advisors in Middleton, WI

Find an Advisor

Though founded in 2018, Canopy Wealth Management is rated as the No. 1 financial advisory firm in Middleton on our list. The fee-only practice has staff members with various professional designations, such as chartered financial consultant (ChFC), certified financial planner (CFP),  and chartered retirement planning counselor (CRPC). (Advisors may have more than one professional accreditation.)  

The firm serves both non-high-net-worth clients and wealthier clients. The practice is also open to working with corporations and business entities, pension and profit-sharing plans, endowments, foundations, charities, investment advisors, estates and trusts. Most investment accounts are discretionary, though clients are allowed to provide written restrictions or guidelines. The minimum to open an investment management account is generally $250,000, although the firm may accept smaller accounts on a case-by-case basis.

While some advisors are also licensed insurance agents, they do not earn commissions when recommending products. As a result, all of the firm's revenue comes from client-paid fees, not third-party commissions. This makes Canopy a fee-only firm. 

Canopy Wealth Management Background

The principal owners are three entities that are in turn controlled by co-founder Chad Wing, partner Dustin Brutton, co-founder Ernest Moosherr, co-founder Eric Raether and partner David Muehl. 

Canopy offers investment advice and investment management. It also provides financial planning services, which include income tax planning, retirement planning, credit planning, insurance planning and risk management, estate planning and education planning.

Canopy Wealth Management Investment Strategy

The advisory practice primarily invests in registered investment companies (e.g., mutual funds and exchange-traded funds) and business development companies. It may also buy:

• Exchange-listed securities
• Securities traded over-the-counter  
• Closed end fund shares
• U.S. governmental securities
• Municipal securities 
• Corporate debt securities  
• Money market funds and other cash instruments  
• Certificates of deposit (CDs)
• Options  
• Variable (no-load) annuity products (not held by our custodian)  

Canopy will determine investments and allocations based on such criteria as a client's objectives, risk tolerance, time horizon, financial horizon, financial information and liquidity needs. Any client restrictions may also affect the composition of the client's portfolio. 

Find an Advisor

Milestone Investment Advisors is primarily staffed by its owners. Certain team members hold professional designations such as certified financial planner (CFP), certified divorce financial analyst (CDFA), chartered financial consultant (ChFC) and certified investment management analyst (CIMA). (Advisors may have more than one professional accreditation.)  

The fee-only firm’s clients are evenly split between individuals and high-net-worth individuals. The practice also serves charities, pension and profit sharing plans and businesses. The vast majority of accounts are discretionary. There is no minimum requirement to open an investment management account, though there is a minimum annual fee of $2,500.   

As a fee-only firm, Milestone is compensated solely by client-paid fees, not through commissions for selling third-party financial products or insurance. 

Milestone Investment Advisors Background

Milestone was founded in 2013 by Robert Armstrong, Daniel Kauper and Angel McClarey. As mentioned earlier, all three work as advisors at the boutique firm.

The firm’s website says it specializes in highly personalized portfolio management and financial consulting. The firm also offers 401(k) retirement consulting and tailored services, in which Milestone allows clients to restrict investing in certain securities or types of securities.

Milestone Investment Advisors Investment Strategy   

Milestone creates an individualized asset allocation model for each client based on his or her risk tolerance, goals and investment objectives. It then builds a portfolio, using fundamental and technical analysis. It may invest in mutual funds, exchange-traded funds (ETFs), government securities, real estate investment trusts (REITs), structured notes, annuities and separately managed accounts. 

Find an Advisor

Googins Advisors is a fee-based firm that oversees hundreds of millions of dollars in client assets. The small advisory team includes a chartered financial analyst (CFA) and chartered life underwriter (CLU).

Googins works with both individuals and high-net-worth individuals, as well as insurance companies. The fee-based firm has no minimum to open an investment account, though it recommends an investment of at least $100,000. Accounts are primarily managed on a discretionary basis, meaning advisors have full control over clients' assets and transactions. 

Googins Advisors Background

Googins began as a broker dealer in 1983. Louise Googins then registered it as an investment advisory firm in 1985. She is currently the firm's sole owner, as well as its president, treasurer, chief compliance officer and financial operations manager.

The firm offers asset management, wealth management, retirement planning, personal lifestyle and education planning, small business financial planning, insurance planning, estate planning support and tax planning support.

Googins Advisors Investment Strategy

The practice primarily invests in mutual funds. It also may trade in equity securities, as well as cash and cash equivalents. Additionally, it can manage or give advice on:

• Warrants
• Corporate debt
• Commercial paper
• Certificates of deposit (CDs)
• Municipal securities
• Investment company securities (e.g., variable life insurance and variable annuities) 
• Interests in partnership investments in real estate, oil and gas

When analyzing investments, Googins takes a “bottom-up” or fundamental approach, seeking to evaluate a company’s intrinsic value and future prospects, based on such things as its management, debt, equity and cash flow, history of financial performance and operating efficiency.

Find an Advisor

Jacobson & Schmitt Advisors (JSA) manages hundreds of millions of dollars in assets. Certain of its advisors have professional financial certifications such as the certified financial planner (CFP), certified financial analyst (CFA) and certified private wealth advisor (CPWA) designations. (Advisors may have more than one professional accreditation.)  

JSA puts an emphasis on corporate social responsibility. Its clients are both high-net-worth individuals and non-high-net-worth individuals. It also provides services to trusts, estates, retirement plans and charitable organizations. The fee-only firm generally has a $25,000 investment minimum. All accounts are discretionary.

Jacobson & Schmitt Advisors Background 

Jason Schmitt and Allen Jacobson founded their firm in 2006. In 2012, Richard Vanden Boogard joined the team. Three years later, Jacobsen stepped down into a consultative role. Today, ownership includes Adam Sweet, a senior portfolio manager at the firm.

JSA offers wealth management, which it specifies as “purposeful planning, conscious investing and thoughtful advice.” It also provides financial planning and retirement planning advisory services.

Jacobson & Schmitt Advisors Investment Strategy

As mentioned earlier, JSA invests in companies that practice corporate social responsibility. It does this, it says, so clients “can be proud of the assets that are owned.” For its clients, JSA creates “individual security portfolios,” which typically include 20 to 30 stocks and some bonds. Investments are global and all-cap (meaning that they cover a wide range of securities with no capitalization restrictions).

That said, if clients prefer, they can opt for a low-cost portfolio fund.

Find an Advisor

T. Anton Investment House has hundreds of millions of dollars in assets under management (AUM) belonging to both individual clients and high-net-worth clinets. The firm also offers services to corporations, other businesses, pension and profit-sharing plans, charitable organizations, estates and trusts. The firm generally requires a $500,000 investment, though it may lower the minimum at its discretion. 

The small firm features one advisor who holds the certified financial planner (CFP) designation. As a fee-only firm, advisors do not earn commissions for recommending certain products or services. Its revenue comes solely from the fees that clients pay for investment advice and financial planning.

T. Anton Investment House Background

Founder Tracey Anton calls the fee-only boutique firm an “investment house” because, as the firm site explains, “she wanted to create a place where people feel just as comfortable with investing as they feel in their own house.” She is a CFP.

Anton founded her firm in 2015. She is the sole owner and president. The money manager also gives advice through her weekly radio program, “Straight Talk from the House,” on Madison's WIBA 1310.

The advisory offers investment management and financial planning services. It also can provide tax planning, retirement planning, insurance advice, cash flow analysis and estate planning.

T. Anton Investment House Investment Strategy

Anton primarily focuses asset allocations across mutual funds. She can also provide advice and manage investments in:

• Equity securities
• Warrants
• Corporate debt
• Commercial paper
• Certificates of deposit
• Municipal securities
• Investment company securities (e.g., variable life insurance and variable annuities)
• U.S. government securities
• Interests in partnerships investing in real estate, oil and gas

The firm will allow for margin accounts.

Find an Advisor

This fee-only firm caters mostly to high-net-worth clients. All accounts are managed on a discretionary basis. While there is no minimum required investment, there is a minimum annual fee of $10,000, which may be waived or negotiated down.

The team at Michael A. Dubis Financial Planning includes two advisors with the certified financial planner (CFP) designation. The firm makes money solely from the fees its clients pay for advice, not from third-party commissions for selling products or services. 

Michael A. Dubis Financial Planning Background

Opened in 2002, Michael A. Dubis Financial Planning was founded and is owned by Michael Dubis, a certified financial planner (CFP). In 2014, Investment News named him one of the “Top 40 Advisors Under 40.”

Michael A. Dubis Financial Planning is a small shop. Besides Dubis, Sue Chesney (CFP) does financial planning and is the founder of Designated Planning. The firm also has an operations manager, Melanie Jocson, who is the founder of Virtual Partners Group. 

The name Dubis may sound familiar because Dubis, the owner, writes for financial publications and has often been quoted as an expert in local papers as well as Bloomberg, The Wall Street Journal and Kiplinger.

Dubis provides investment management along with financial planning services that focus on such issues as cash flow planning, retirement planning, education planning, estate and tax awareness, business influence decisions and insurance planning. 

Michael A. Dubis Financial Planning Investment Strategy

Dubis primarily invests assets in mutual funds, exchange-traded funds, municipal bonds, bond funds, cash equivalents and certificates of deposit (CDs). He uses charting, fundamental, technical and cyclical methods of analysis. Investing strategies include: 

• Long-term purchases (securities held at least a year)
• Short-term purchases (securities sold within a year)