Best Financial Advisory Firms in Saratoga Springs, New York
20 registered firms in Saratoga Springs. Rankings based on independent transparency scores from SEC Form ADV filings and FINRA data — no paid placements.
Financial Firms in Saratoga Springs, New York
Saratoga Springs, NY has 269 registered financial advisors across 53 firms. The average advisor has 18 years of experience. 11.9% have disclosure events on their record -- below the national average of 14.0%. The highest-scored firms are SUSTAINABLE ADVISORS ALLIANCE LLC (TransparencyScore 99), CRESCENT HILL PARTNERS LLC (TransparencyScore 98), LIFEGOAL INVESTMENTS, LLC (TransparencyScore 90).
Showing top 20 of 20 firms in Saratoga Springs
See all →Common Questions About Financial Firms in Saratoga Springs
- How many financial advisory firms are in Saratoga Springs, New York?
- There are 53 registered financial advisory firms in Saratoga Springs, New York. Fidelon tracks all of them using public data from SEC Form ADV filings.
- What does a Fidelon firm score measure?
- Firm scores (0–100) measure eight factors: disclosure record (complaints, fines), Form ADV Part 1 filing quality, Form ADV Part 2 transparency, Form CRS quality, conflict disclosure, and for BD firms, regulatory standing and supervision quality. Higher scores mean more transparent, better-documented firms.
- What's the difference between an RIA and a broker-dealer?
- A registered investment advisor (RIA) is held to a fiduciary standard and must act in your best interest. A broker-dealer follows a suitability standard and can earn commissions. About 30% of firms are dual-registered, meaning they operate under both standards.
- How do I read Form ADV?
- Form ADV Part 1 discloses a firm's basic business structure. Part 2 (the "brochure") explains services, fees, conflicts of interest, and disciplinary history in plain language. Part 3 (Form CRS) is a two-page relationship summary required for retail investors. Fidelon scores all three sections.
How we rank firms
Fidelon ranks financial advisory firms using publicly available regulatory data from the SEC and FINRA — not paid placements, advertising, or referral fees. No advisor or firm can pay to influence their ranking.
Every firm's score is built from four areas: how clearly they disclose their services and fees, whether they have customer complaints or regulatory issues, how thoroughly they file required documents, and whether their business model creates conflicts with your interests.
Firms that earn commissions on product sales score lower on conflict of interest, because that pay structure can create a gap between what's good for them and what's good for you.
What we don't do
- We don't accept payment from advisors or firms for better rankings
- We don't sell leads or route your information to advisors
- We don't rank by assets under management — managing more money doesn't mean better service
Data sources: SEC Form ADV (Parts 1, 2, 3), FINRA BrokerCheck, IAPD. Scores are updated as new filings are processed.
How firm scores work
- 0–100 score from public regulatory data
- Form ADV analysis — filings, conflicts, fees
- Disclosure history from FINRA and SEC records
- No paid placements — fully independent rankings
Also in Saratoga Springs
How firm scores work
- 0–100 score from public regulatory data
- Form ADV analysis — filings, conflicts, fees
- Disclosure history from FINRA and SEC records
- No paid placements — fully independent rankings