Polaris Advisory
Polaris Advisory is a privately-held, boutique wealth management firm in Sunnyvale, California, founded in 2013 by Anne Mak, delivering comprehensive financial planning and investment advisory services through LPL Financial to families, business owners, executives, and individuals in the Bay Area.
- Company typePrivate
- Founded2013
- HeadquartersSunnyvale, United States
- Headcount1–10
- GTM typeB2C
- OfferingServices
What Polaris Advisory does
Polaris Advisory is a privately-held boutique wealth management firm headquartered at 710 Lakeway Drive, Suite 250, Sunnyvale, California, founded in 2013 by Yuenman Anne Mak after approximately 16 years in the financial services industry. The firm delivers comprehensive financial planning and investment advisory services — spanning investment management, tax strategy, retirement planning, estate planning, education funding, asset protection, business/employee benefit planning, and insurance — to individuals, families, business owners, executives (including Silicon Valley equity compensation holders), and single-adult households in the Sunnyvale/Palo Alto Bay Area market.
The firm operates without proprietary technology; its entire operational, custodial, research, and compliance stack is supplied by LPL Financial, under whose registered investment advisor and broker-dealer framework Polaris's representatives (notably Anne Mak and Michelle Lan Lin, an LPL Financial Advisor) deliver advice. The product surface is services-led — comprehensive financial planning as the anchor, supported by specialized practices in tax, retirement, education funding, asset protection, and employee benefits — with investment and insurance vehicles (bonds, common stock, mutual funds, variable/fixed annuities, REITs, MLCDs, market-linked CDs, life/health/LTC/disability insurance) sourced through LPL.
Polaris Advisory markets primarily through personal referrals, community presence, and educational content (a resource center plus weekly market commentary via LPL Research). It operates as a division of Kingswood Capital Partners LLC, the same parent under which a related investment-banking line of business conducts SPAC underwriting under the name 'Polaris Advisory Partners.' Revenue is generated via recurring asset-based advisory fees and subscription-style planning arrangements; pricing is not publicly disclosed. Customer segments are exclusively SMB/individual with no enterprise concentration, and the practice is geographically constrained to California.
Polaris Advisory firmographics
Firmographics- Name
- Polaris Advisory
- Legal name
- Polaris Advisory
- Website
- https://polarisadvisory.com
- Company type
- Private
- Founded year
- 2013
- Operating status
- Operating
- Headcount range
- 1–10 employees
- Short description
- Polaris Advisory is a privately-held, boutique wealth management firm in Sunnyvale, California, founded in 2013 by Anne Mak, delivering comprehensive financial planning and investment advisory services through LPL Financial to families, business owners, executives, and individuals in the Bay Area.
- Ownership category
- akta.pro rank
Polaris Advisory industry classification
Industry- Product category
- Wealth Management
- NAICS
- Portfolio Management and Investment Advice (523940), Portfolio Management and Investment Advice (52394)
- SIC
- Investment Advice (6282)
- akta.pro primary industry
- Family Office Advisory (Single/Multi-Family) (FSAEAAAI)
- akta.pro secondary industries
- Employer Retirement Plan Advisory (401(k)/Pension) (FSAEABAE), Equity Compensation & Global Share Plan Administration (BPACAHAI)
Keywords
Where Polaris Advisory is headquartered
LocationHeadquarters
- HQ city
- Sunnyvale
- HQ country
- United States
- HQ region
- North America
Offices1 record
Markets served
Polaris Advisory business model
Business model- GTM type
- B2C
- Offering type
- Services
- Cost components
- Personnel, Operations, Marketing or Sales, Technology or R&D, Infrastructure
Revenue model
- Financial Advisory and Planning Services: The firm provides comprehensive financial planning services including investment management, tax strategy, retirement planning, estate planning, insurance planning, and education funding. Services are offered to individuals, families, business owners, and executives. The firm operates through LPL Financial's registered investment advisor platform.
- Investment Management Fees: Asset-based fees for managing client investment portfolios, utilizing various investment products including bonds, stocks, mutual funds, variable annuities, REITs, and indexed annuities.
Pricing tiers
| Model | Billing | Price |
|---|---|---|
| Subscription | Annual | Individualized financial planning and advisory services |
Go-to-market motion1 record
Distribution channels1 record
Marketing channels4 records
Polaris Advisory product offering
Product offeringCore offering
Polaris Advisory is a wealth management firm that provides comprehensive financial planning and investment advisory services to individuals, families, business owners, and executives in the Bay Area. Services span investment management, tax strategy, retirement planning, estate planning, education funding, asset protection, and employee benefit planning. The firm operates as a registered representative through LPL Financial's broker-dealer and registered investment advisor platform.
Product overview
Polaris Advisory is a wealth management firm that offers a unified suite of financial planning and advisory services through its partnership with LPL Financial. The firm's offering centers on Comprehensive Financial Planning as the core service, supported by specialized capabilities in Tax Strategy Planning, Retirement Planning, Wealth Management, Education Funding Planning, Asset Protection Planning, Goal Accumulation, Business Planning, and Employee Benefit Planning. Investment and Insurance Products are offered as complementary offerings within the overall financial planning framework. The firm primarily serves individuals, families, business owners, and executives in the Sunnyvale, California area.
Differentiator
Problem solved
Functional benefit
Products and services
- Comprehensive Financial Planning
- Wealth Management / Investment Management
- Retirement Planning
- Tax Strategy Planning
- Education Funding Planning
- Asset Protection Planning
- Business Planning
- Employee Benefit Planning
Companies that use Polaris Advisory
Customer profileNamed customers4 records
Segments4 records
Ideal customer profiles4 records
Polaris Advisory technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Polaris Advisory partnerships and signals
Strategic signalPartnerships
One partnership is on record.
- LPL FinancialcorePolaris Advisory operates through LPL Financial as a registered investment advisor and broker-dealer. LPL Financial is one of the leading financial services companies and the largest independent broker-dealer in the United States. LPL provides the technology platform, operational infrastructure, and regulatory framework for advisory services.
Scale indicators1 record
Recent moves5 records
Expansion highlights3 records
Polaris Advisory competitors and assessment
Company assessmentDirect peers
- Focus Financial Partners: Partnership model for independent wealth management firms, providing capital, M&A, and operational support to RIAs — comparable to Polaris's Kingswood Capital-backed structure and an indicator of how boutique advisors scale.
- Cetera Financial Group: Independent broker-dealer supporting a network of financial advisors offering wealth management, retirement, and financial planning — analogous to Polaris's LPL-based independent advisor practice structure.
- Cambridge Investment Research: Independent broker-dealer supporting independent financial advisors with wealth management and financial planning practices — a peer through the independent-wealth-advisor business model that Polaris also operates under.
- Mariner Wealth Advisors: National wealth advisory firm offering comprehensive financial planning, investment management, and tax strategy to individuals and families — directly comparable to Polaris's full-service offering with a similar target client profile.
- Edward Jones: Large U.S. financial advisory firm offering comprehensive financial planning, retirement, and investment management to individuals and families through a branch-based advisor model — directly comparable to Polaris Advisory's holistic, relationship-led wealth advisory offering.
- Raymond James Financial Services: Independent broker-dealer and wealth advisory firm with a network of independent financial advisors offering comprehensive planning — closely aligned with Polaris's LPL-affiliated independent advisor model.
Broad incumbents
- Fidelity Wealth Management: Fidelity's wealth management division provides financial planning, investment advisory, and retirement services to individuals — overlapping directly with Polaris's service mix and target segments, with greater scale and proprietary platform.
- Charles Schwab Wealth Advisory: Schwab's advisory and wealth management offering targets individuals and families with investment management, retirement, and financial planning services — a direct competitor in the same client demographic, though with much larger scale and brand.
- Fisher Investments: Large independent RIA offering discretionary portfolio management and financial planning to high-net-worth individuals and institutions — comparable in service mix but at far greater scale and a more institutional posture.
- Merrill Lynch Wealth Management: Bank of America's wealth arm serving high-net-worth and mass-affluent clients with investment advisory, retirement, and financial planning — overlaps with Polaris's full-service planning model but at vastly greater scale.
Market position
Strengths4 records
Weaknesses4 records
Competitive moat3 records
Key risks6 records
Key highlights6 records
Customer concentration
Polaris Advisory social profiles
Digital presencePolaris Advisory financial estimates
Financial estimateRevenue estimate
Valuation estimate
Polaris Advisory leadership team
Management profileNumber of profiles
Profiles2 records
Polaris Advisory funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
Polaris Advisory M&A and investment
M&A and investmentM&A
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about Polaris Advisory
What does Polaris Advisory do?
Polaris Advisory is a wealth management firm that provides comprehensive financial planning and investment advisory services to individuals, families, business owners, and executives in the Bay Area. Services span investment management, tax strategy, retirement planning, estate planning, education funding, asset protection, and employee benefit planning. The firm operates as a registered representative through LPL Financial's broker-dealer and registered investment advisor platform.
Is Polaris Advisory a public or private company?
Polaris Advisory is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was Polaris Advisory founded?
Polaris Advisory was founded in 2013. It employs 1 to 10 people.
Where is Polaris Advisory based?
Polaris Advisory is headquartered in Sunnyvale, United States, in the North America region.
How does Polaris Advisory make money?
Two revenue lines are on record. Financial Advisory and Planning Services are the primary driver. The others are investment Management Fees.
Who are Polaris Advisory's main competitors?
Direct peers on record are Focus Financial Partners, Cetera Financial Group, Cambridge Investment Research, Mariner Wealth Advisors, Edward Jones and Raymond James Financial Services. Broad incumbents are Fidelity Wealth Management, Charles Schwab Wealth Advisory, Fisher Investments and Merrill Lynch Wealth Management.
Does Polaris Advisory have an API?
No public API is recorded for Polaris Advisory.
What industry is Polaris Advisory in?
Polaris Advisory's product category is Wealth Management. Its primary akta.pro industry code is FSAEAAAI, Family Office Advisory (Single/Multi-Family), with a secondary code of FSAEABAE, Employer Retirement Plan Advisory (401(k)/Pension). Its NAICS code is 523940 and its SIC code is 6282.