Battaglia Associates Wealth Advisors

What Battaglia Associates Wealth Advisors does

Battaglia Associates Wealth Advisors is a privately-held, independent financial advisory firm headquartered in State College, Pennsylvania, serving individuals and business owners across multiple U.S. states. The firm delivers individualized financial planning services spanning investment management, retirement planning, estate planning, insurance guidance, and tax planning, plus a retirement-readiness offering for business owners and their employees. Securities and advisory services are offered through the firm's core partnership with United Planners Financial Services, a FINRA/SIPC member broker-dealer, with John S. Battaglia Jr. registered in 13 states and Nicholas T. Battaglia registered in four.

The business model is a sales-led, relationship-based advisory practice. Revenue is generated through advisory fees and/or commissions structured via the United Planners partnership, with prospective clients routed to personalized consultations via phone, email, and a Calendly scheduling link. There is no public pricing; services are quote-based and tailored per client. The firm has no proprietary technology platform; its digital footprint is built on an FMG Suite-hosted website featuring an extensive content marketing layer—50-plus financial calculators, an educational video library, an article resource center, and a Social Security eBook lead magnet—integrated with standard client portal tools (AssetMark, eMoney, Go-Retire) for account servicing.

The firm operates with a small team of 1–10 employees and no disclosed revenue, funding, or AUM. Ownership appears to remain with the founding Battaglia family, with no private equity, venture capital, or institutional investment indicated. The technology stack, marketing approach, and compliance disclosures (CCPA, FINRA BrokerCheck link) reflect a conventional independent RIA operating model rather than a tech-enabled or scalable wealth platform.

Name

Battaglia Associates Wealth Advisors

Legal name

Battaglia Associates Wealth Advisors

Website

https://bawealth.net

Company type

Private

Operating status

Operating

Headcount range

1–10 employees

Short description

Battaglia Associates Wealth Advisors is a privately-held independent financial advisory firm based in State College, Pennsylvania, serving individuals and business owners with personalized investment management, retirement, estate, insurance, and tax planning through a partnership with United Planners Financial Services.

Ownership category

akta.pro rank

Product category

Wealth Management and Financial Advisory

NAICS

Portfolio Management and Investment Advice (523940)

SIC

Investment Advice (6282)

akta.pro primary industry

Broker-Dealer Affiliated Wealth Advisory (FSAEABAB)

akta.pro secondary industry

Advisory Portfolio Management (Non-Discretionary) (FSAAABAD)

Keywords

• Wealth management services
• Financial planning advisory
• Retirement planning services
• Investment advisory services
• Estate planning services

Headquarters

HQ city

Port Matilda

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2C

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D, Infrastructure

Revenue model

1. Financial Advisory Services: The firm provides comprehensive financial advisory services to individuals and business owners, including investment management, retirement planning, estate planning, insurance guidance, and tax planning. Revenue is generated through advisory fees and/or commissions structured through their partnership with United Planners Financial Services, a registered broker-dealer and investment advisory firm member FINRA/SIPC.

Pricing tiers

Go-to-market motion1 record

Distribution channels2 records

Marketing channels5 records

Core offering

Battaglia Associates Wealth Advisors is an independent financial advisory firm that provides personalized financial planning, investment management, retirement planning, estate planning, insurance guidance, and tax strategies for individuals and business owners. Securities and advisory services are offered through their broker-dealer partner United Planners Financial Services (member FINRA/SIPC).

Product overview

Battaglia Associates Wealth Advisors operates as a financial advisory firm offering a unified suite of services centered on financial planning for individuals and businesses. The core offerings include individualized financial planning and investment management for personal clients, plus business retirement readiness services. The firm provides a complementary digital ecosystem consisting of interactive financial calculators, an extensive educational video library, and an article resource center covering topics from retirement planning to tax strategies. These tools work together to support the advisory services and client education, with a free Social Security eBook as a lead generation resource. The platform is powered through integrations with client portal tools (AssetMark, eMoney, Go-Retire) for account access, and Calendly for appointment scheduling.

Differentiator

Problem solved

Functional benefit

Products and services

• Individual Financial Planning Services Professional management and coordination of personal financial planning including investment management, retirement planning, estate planning, insurance guidance, and tax strategies tailored to individual client needs, career paths, and financial goals.
• Business Financial Services Retirement readiness planning and employee benefit coordination services for business owners and their employees, including retirement plan implementation.

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration4 records

Partnerships

One partnership is on record.

• United Planners Financial ServicescoreChannel Partner/ Reseller/ DistributorSecurities and Advisory Services are offered through United Planners Financial Services, member FINRA/SIPC. This is the primary partnership through which the firm conducts its investment advisory and securities business, providing regulatory oversight and broker-dealer services.

Scale indicators1 record

Recent moves4 records

Expansion highlights4 records

Broad incumbents

• LPL Financial: Largest independent broker-dealer in the U.S., supporting independent RIAs and financial advisors with compliance, custody, and technology infrastructure. Highly comparable as the broker-dealer ecosystem peer to Battaglia's United Planners affiliation.
• Raymond James Financial Services: Large broker-dealer network supporting thousands of independent financial advisors offering investment management, retirement, and financial planning services. Same broker-dealer affiliated advisory model as Battaglia.
• Edward Jones: National broker-dealer affiliated wealth advisory firm with a large network of local branch offices serving individuals and small businesses. Closely comparable model to Battaglia: advisor-led, broker-dealer affiliated, individualized financial planning.
• Ameriprise Financial: Financial advisory firm with a large advisor network providing investment, retirement, insurance, and estate planning. Comparable offering scope and individual/business client segments as Battaglia.
• Northwestern Mutual: Provider of financial planning, investment, and insurance products through a national advisor network. Comparable multi-product financial planning model with insurance integration similar to Battaglia's service set.
• Stifel Independent Advisors: Broker-dealer and wealth management firm with a network of independent financial advisors. Comparable model of supporting independent practices with full advisory and planning services.
• Charles Schwab Wealth Advisory: Large-scale wealth advisory offering with advisor-led financial planning for individuals. Represents the scaled incumbent competitive threat to Battaglia in investment management services.

Direct peers

• Commonwealth Financial Network: Independent broker-dealer supporting mid-sized wealth advisory practices. Same broker-dealer affiliated advisory model as Battaglia with similar advisor count per branch.
• Cetera Financial Specialists: Independent broker-dealer supporting small-to-mid-sized financial advisory practices with compliance and back-office infrastructure. Closely comparable to Battaglia's scale and United Planners affiliation model.

Others

• Waddell & Reed / Edward Jones (RIA breakaway competitors): Independent financial advisors offering retirement and investment planning to individuals and small businesses; these advisors compete directly with Battaglia for the same horizontal segments in regional markets.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat2 records

Key risks5 records

Key highlights6 records

Customer concentration

Compliance2 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles2 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Battaglia Associates Wealth Advisors