Overview
The Roth Financial Group is a prominent office of Northwestern Mutual located in West Hartford, Connecticut. The firm specializes in holistic financial planning, leveraging its expertise to create specialized financial strategies in insurance, retirement planning, and investment advisory. Focused on multigenerational wealth planning, the group aims to optimize assets, minimize taxes, and ensure financial security across generations. They operate as financial representatives of Northwestern Mutual Wealth Management Company (NMWMC).
Key Personnel
- Brandon James Ngai, CFP®
- Role: Investment Advisor
- Licensing: Primarily licensed in Connecticut; holds a CA License (4065850) and NPN (18509859)
- LinkedIn: [Brandon James Ngai LinkedIn](https://www.linkedin.com/in/brandonngai)
- Alexander Charles Roth, CFP®, ChFC®, RICP®
- Role: Wealth Management Advisor
- Recognition: Recognized by Forbes as a top financial security professional in Connecticut for multiple years
- Licensing: Primarily licensed in Connecticut; holds a CA License (0M11737)
- LinkedIn: [Alexander Charles Roth LinkedIn](https://www.linkedin.com/in/alexander-roth-cfp%C2%AE-chfc%C2%AE-ricp%C2%AE-b8238975)
- Robert Allan Roth
- Role: Private Wealth Advisor
- Base: Primarily licensed in Virginia
- Recognition: Similar recognitions from Forbes for contributions to the financial sector in Connecticut
- LinkedIn: [Robert Allan Roth LinkedIn](https://www.linkedin.com/in/robertrothnmfn)
- Matthew Thomas
- Role: Director of Investments
- Expertise: Oversees investment operations and strategies within the firm
- LinkedIn: [Matthew Thomas LinkedIn](https://www.linkedin.com/in/matthew-thomas-8900a7b5)
Services and Expertise
The Roth Financial Group offers comprehensive financial services, including:
- Insurance Solutions: Life, disability, and long-term care insurance.
- Retirement Planning: Tailored strategies for efficient retirement preparation.
- Investment Advisory: Management of personal and business investments.
- Estate and Succession Planning: Smooth transition of wealth across generations with strategic planning.
Achievements and Recognition
The group and its notable members have been recognized by Forbes as Best-in-State Top Financial Security Professionals in 2021, 2022, and 2024, underscoring their dedication and successful client partnerships.
Contact Information
- Office Address: 29 S Main St, Suite 201, West Hartford, CT 06107
- Phone: (860) 570-7400
- Contact Page: [Contact Page](https://rothfinancial.nm.com/contact.htm)
Online Presence
- Official Website: [Roth Financial Group Official Site](https://rothfinancial.nm.com/)
- LinkedIn Page: [The Roth Financial Group LinkedIn](https://www.linkedin.com/company/the-roth-financial-group)
Competitor Analysis
Major Competitors
1. Edward Jones: Focuses on individual investors, with over 15,000 branch offices across North America, offering investment services and prioritizing client relationships.
2. Fidelity Investments: One of the largest asset managers globally, managing $5.8 trillion in assets with expansive offerings, including asset management, retirement planning, and brokerage services.
3. LPL Financial: The largest independent broker-dealer in the U.S., supporting over 28,000 financial advisors, offering independent financial advice and a robust network of advisors.
Market Positioning and Strategies
- Edward Jones emphasizes a partnership structure to boost advisor collaboration, focusing on long-term client relationships.
- Fidelity Investments offers a broad range of services targeting individuals, businesses, and institutions, leveraging scale for comprehensive solutions.
- LPL Financial supports personalized service through its independent advisor network, posing competition with similar offerings to Roth Financial Group.
Additional Competitors
- Bois Capital, Noble Capital Markets, and FOCUS Investment Banking LLC are also notable competitors in the financial sector.
Considerations for Competitive Strategy
The Roth Financial Group may refine its approach by focusing on enhanced client relationship management, broadening financial service offerings, and leveraging technology to improve product accessibility and customer engagement to differentiate itself in the competitive landscape dominated by large, established firms with widespread recognition.
