Financial Advisor FAQs:

What to Know Before You Hire

A black icon consisting of two overlapping speech bubbles, with a white question mark inside the top bubble.

  • How Do I Choose a Financial Advisor Near Me?

    Start by confirming the advisor’s regulatory status, compensation structure, and service model. Look for an SEC-registered fiduciary who clearly explains how they are paid and what services are included. Review public filings (Form CRS and Form ADV) and verify credentials. Finally, schedule a conversation to evaluate communication style and fit.

  • What Should I Ask in the First Meeting?

    Consider asking:


    • Are you a fiduciary at all times?
    • How are you compensated?
    • What services are included in your planning process?
    • Who will I work with directly?
    • How do you coordinate with CPAs or estate attorneys?
    • What does onboarding look like?

    The goal is clarity, not pressure. A strong first meeting should leave you informed and comfortable with next steps.

  • How Do I Know if an Advisor Is a Fiduciary?

    A fiduciary investment adviser is legally required to act in your best interest. You can verify this by checking the SEC’s Investment Adviser Public Disclosure (IAPD) database and reviewing the firm’s Form CRS and Form ADV. These documents explain services, fees, and conflicts in plain language.


    For more detail, visit:

    Fiduciary & Independence

  • Are You an Independent Financial Advisor?

    Yes. Lionshead Wealth Management is not affiliated with brokerage firms, insurance companies, mutual funds, or money managers. Our structure supports objective financial advice without product quotas or distribution requirements.

  • What Services Do You Provide?

    We offer:


    • Wealth management
    • Comprehensive financial planning
    • Retirement planning
    • Roth conversion planning
    • Estate and legacy planning coordination
    • Risk management and insurance review
    • Family office services
    • 401(k) plan advisory for business owners

    Explore details here:


    Our Services

  • Do You Provide Tax or Legal Advice?

    No. While we provide tax-aware planning and estate coordination, we do not prepare tax returns or draft legal documents. We collaborate with your CPA and estate attorney to align strategies and reduce gaps.

  • Who Do You Typically Serve?

    We work with:


    • Individuals and families
    • Attorneys and law firm partners
    • Physicians and medical professionals
    • Business owners and plan sponsors
    • Families with trusts and complex entity structures

    We serve clients throughout New York City, including the Upper East Side, Upper West Side, Brooklyn Heights, and Park Slope.

  • Do You Meet In Person or Virtually?

    Both. Clients may meet at our Midtown Manhattan office or via secure virtual meetings. We structure communication based on your preferences and availability.

  • What Happens After I Schedule a Meeting?

    Your first conversation is a structured 30-minute call focused on fit and clarity. We discuss your goals, outline our process, and determine whether moving forward makes sense for both sides. There is no obligation to proceed.

  • How Are You Compensated?

    Compensation details are explained clearly during the engagement process and documented in Form CRS and Form ADV. We do not receive commissions for selling insurance or investment products.

  • What Credentials Should I Look For in a Financial Planner?

    Look for recognized designations such as CFP® (Certified Financial Planner™), along with SEC registration for firms operating as RIAs. Equally important is transparency about services, fees, and regulatory history.

  • How Often Will We Review My Plan?

    Planning is ongoing. Most clients have structured check-ins at least annually, with additional meetings triggered by life events, market changes, or career transitions.

  • What Red Flags Should I Watch For When Hiring an Advisor?

    • Vague explanations of compensation
    • Pressure to purchase specific products quickly
    • Limited disclosure about regulatory status
    • Unclear service scope
    • Inability to explain recommendations plainly

    Transparency, documentation, and clarity should be standard—not optional.

Planning That Fits Your Life on the Upper East Side

You don’t need generic advice or a distant call center. You need a strategy that fits your income, family structure, and long-term goals.


Lionshead Wealth Management provides Upper East Side financial planning built around your decisions—with objective guidance and clear rationale at every step.