SEC-registered financial advisors in Connecticut
This page lists 196 advisory firms with a main office in Connecticut that are registered with the SEC and report individual clients. It is not every advisor in Connecticut. Firms registered with Connecticut's securities regulator instead of the SEC, and some SEC-registered firms, are not shown. The firms are listed A to Z. It is a list, not a ranking and not a recommendation. Registration does not mean the SEC approves or recommends a firm, and it does not imply a certain level of skill or training.
Firms registered with the SEC in the last 12 months
City pages in Connecticut
Showing 24 of 196
- 33 Capital Management LLC$100M to $500MSEC recordPercentage of assetsFixed or flat feePerformance-basedOther
- 5th Street Advisors, LLC$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat fee
- A.G.P / Alliance Global Partners$1B or moreSEC recordPercentage of assetsHourlyOther
- Abs Global Investments$1B or moreSEC recordPercentage of assetsFixed or flat feePerformance-based
- Abundant Wealth Management LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Adviceone Advisory Services, LLC$1B or moreSEC recordPercentage of assetsFixed or flat fee
- Agilis Investment Management LLC$100M to $500MSEC recordPercentage of assets
- Ais Capital Management L.P.$100M to $500MSEC recordPercentage of assetsPerformance-based
- Alchemi Wealth, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Alexander Capital Advisors, LLC$100M to $500MSEC recordPercentage of assetsPerformance-based
- Alpine Hill Advisors LLC$100M to $500MSEC recordPercentage of assetsFixed or flat fee
- Altrinsic Global Advisors, LLC$1B or moreSEC recordPercentage of assetsPerformance-based
- Apella Wealth$1B or moreSEC recordPercentage of assetsOther
- Aqr Capital Management, LLC$1B or moreSEC recordPercentage of assetsPerformance-basedOther
- Aspetuck Financial Management LLC$100M to $500MSEC recordPercentage of assets
- Asset Management Group, Inc.$500M to $1BSEC recordPercentage of assetsHourly
- August Wealth Advisors LLC$100M to $500MSEC recordPercentage of assetsFixed or flat fee
- Avity Investment Management Inc.$1B or moreSEC recordPercentage of assets
- Avos Capital Management, LLC$100M to $500MSEC recordPercentage of assetsPerformance-based
- Ayrshire Capital Management LLC$100M to $500MSEC recordPercentage of assets
- Barron Financial Group, LLP$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Basso Capital Management, L.P.$1B or moreSEC recordPercentage of assetsFixed or flat feePerformance-based
- Baxter Investment Management$1B or moreSEC recordPercentage of assets
- Beirne.$1B or moreSEC recordPercentage of assetsFixed or flat fee
- Birinyi Associates, Inc.$100M to $500MSEC recordPercentage of assetsHourlyNewsletter subscriptionsFixed or flat fee
- Bourgeon Capital Management LLC$1B or moreSEC recordPercentage of assetsFixed or flat fee
- Bradley Foster & Sargent Inc$1B or moreSEC recordPercentage of assetsFixed or flat fee
- Bridgelight Financial Advisors, Inc$100M to $500MSEC recordPercentage of assetsHourly
- Briggs Wealth Management, Inc.$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Burne Financial Concepts, LLC$100M to $500MSEC recordPercentage of assetsHourly
- Castlekeep Investment Advisors$500M to $1BSEC recordPercentage of assetsHourly
- Catum Advisory Group, LLC.$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Charter Research & Investment Group Inc$100M to $500MSEC recordPercentage of assetsFixed or flat fee
- Chilton Investment Services, LLC$1B or moreSEC recordPercentage of assetsFixed or flat feeOther
- Cigna Investments, Inc.$1B or moreSEC recordPercentage of assetsOther
- Clear Harbor Asset Management, LLC$1B or moreSEC recordPercentage of assetsFixed or flat feePerformance-based
- Clinton Investment Management, LLC$1B or moreSEC recordPercentage of assets
- Coastal Bridge Advisors$1B or moreSEC recordPercentage of assetsHourlyFixed or flat feeOther
- Coinbase Asset Management, LLC$500M to $1BSEC recordPercentage of assets
- Colchester Investment Counsel LLC$100M to $500MSEC recordPercentage of assets
- Colter Lewis Investment Partners, LLC$1B or moreSEC recordPercentage of assetsFixed or flat feePerformance-based
- Compass Wealth Management LLC$500M to $1BSEC recordPercentage of assetsFixed or flat fee
- Conifer Investments Ltd$500M to $1BSEC recordPercentage of assetsFixed or flat fee
- Connecticut Capital Management Group, LLC$100M to $500MSEC recordPercentage of assetsFixed or flat fee
- Connecticut Wealth Management, LLC$1B or moreSEC recordPercentage of assetsFixed or flat fee
- Constitution Investment Advisory and Portfolio Management$100M to $500MSEC recordPercentage of assets
- Cook Pine Capital LLC$100M to $500MSEC recordPercentage of assetsFixed or flat feePerformance-based
- Cooper Financial Services, Inc.$100M to $500MSEC recordPercentage of assets
- Cramer Rosenthal McGlynn LLC$1B or moreSEC recordPercentage of assetsPerformance-based
- Cruiser Capital Advisors, LLC$100M to $500MSEC recordPercentage of assetsPerformance-based
- Diamant Asset Management, Inc.$100M to $500MSEC recordPercentage of assets
- Diastole Wealth Management$100M to $500MSEC recordPercentage of assets
- Drum Hill Capital, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Dunbar Associates, LLC$100M to $500MSEC recordPercentage of assets
- Dunham Lane Capital Partners LLC$100M to $500MSEC recordPercentage of assetsPerformance-based
- Eagle Capital Advisors, LLC$100M to $500MSEC recordPercentage of assets
- East Guilford Financial Services LLC$100M to $500MSEC recordPercentage of assetsHourly
- Edgewood Management LLC$1B or moreSEC recordPercentage of assetsPerformance-based
- Empower Financial Advisory, LLC$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat fee
- Energy Income Partners$1B or moreSEC recordPercentage of assetsPerformance-based
- Essex Financial Services, Inc.$1B or moreSEC recordPercentage of assetsHourlyFixed or flat fee
- Excel Wealth Management, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Fairfield, Bush & Co.$500M to $1BSEC recordPercentage of assetsFixed or flat fee
- Fcig Wealth Management, LLC$100M to $500MSEC recordPercentage of assetsFixed or flat fee
- Fierston Financial Group Inc$1B or moreSEC recordPercentage of assetsHourlyFixed or flat fee
- Fiscal Wisdom Wealth Management LLC$100M to $500MSEC recordPercentage of assetsHourlyOther
- Founders Capital Management, LLC$500M to $1BSEC recordPercentage of assets
- Freedom Investment Management, Inc.$500M to $1BSEC recordPercentage of assetsOther
- Gamco Asset Management Inc.$1B or moreSEC recordPercentage of assetsFixed or flat feePerformance-basedOther
- Ganim Private Wealth$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Gilman Hill Asset Management, LLC$1B or moreSEC recordPercentage of assets
- Granite Group Advisors, LLC$500M to $1BSEC recordPercentage of assetsFixed or flat feePerformance-based
- Granite Islands Private Wealth, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Greenhouse Wealth Management, LLC$100M to $500MSEC recordPercentage of assetsFixed or flat fee
- Greenwich Advisors, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Greenwich Wealth Management, LLC$1B or moreSEC recordPercentage of assetsHourlyFixed or flat fee
- Grey Ledge Advisors, LLC$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat fee
- Hammond Iles Wealth Advisors$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Hardman Johnston Global Advisors LLC$1B or moreSEC recordPercentage of assetsPerformance-based
- Herbert J. Sims Capital Management, Inc.$100M to $500MSEC recordPercentage of assets
- Heritage Capital, LLC$100M to $500MSEC recordPercentage of assetsHourly
- HFM Wealth Management$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat fee
- Hoya Capital Real Estate, LLC$100M to $500MSEC recordPercentage of assetsNewsletter subscriptions
- HT Partners LLC$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat fee
- HTG Investment Advisors Inc$1B or moreSEC recordPercentage of assetsFixed or flat fee
- Hudson Structured Capital Management Ltd.$1B or moreSEC recordPercentage of assetsFixed or flat feePerformance-based
- Innovative Asset Advisors Group$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Integra Global Advisors LLC$500M to $1BSEC recordPercentage of assetsPerformance-based
- Investmark Advisory Group LLC$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat fee
- Its Asset Management, L.P.$100M to $500MSEC recordPercentage of assets
- Jackson, Grant Investment Advisers, Inc.$500M to $1BSEC recordPercentage of assetsHourly
- Jeffrey N. Mehler, CFP LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- JK Private Wealth, LLC$100M to $500MSEC recordPercentage of assets
- Johnson Brunetti$1B or moreSEC recordPercentage of assetsFixed or flat feeOther
- Johnston Investment Counsel, Ltd.$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Kennedy Wealth & Tax Management, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Keynote Financial Services, LLC$100M to $500MSEC recordPercentage of assetsHourly
- Knights of Columbus Asset Advisors LLC$1B or moreSEC recordPercentage of assets
- Kreitler Financial LLC$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat fee
- Ladd Capital Management LLC$100M to $500MSEC recordPercentage of assets
- Lansdowne Wealth Management, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- LCR Wealth Management LLC$100M to $500MSEC recordPercentage of assets
- Litvak Wealth, LLC$500M to $1BSEC recordPercentage of assets
- Longwall Family Office$100M to $500MSEC recordPercentage of assetsFixed or flat fee
- Loretta Nolan Associates, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Main Street Research LLC$1B or moreSEC recordPercentage of assetsPerformance-based
- Mark Sheptoff Financial Planning LLC$100M to $500MSEC recordPercentage of assetsHourly
- Matson Financial Advisors, Inc.$500M to $1BSEC recordPercentage of assetsFixed or flat feeCommissions
- Medallion Wealth Advisors, LLC$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat fee
- Milestone Asset Management Group, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- MJP Wealth Advisors$1B or moreSEC recordPercentage of assetsHourlyFixed or flat fee
- Moneco Advisors$1B or moreSEC recordPercentage of assetsHourlyFixed or flat fee
- Monte Financial Group, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Morrissey Wealth Management LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Morse Asset Management, Inc.$500M to $1BSEC recordPercentage of assets
- Mullaney Keating & Wright Inc$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- N10° Assets$100M to $500MSEC recordPercentage of assetsPerformance-based
- N10° Wealth$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat feePerformance-based
- New Edge Wealth$1B or moreSEC recordPercentage of assetsFixed or flat feeCommissionsPerformance-based
- New England Asset Management, Inc.$1B or moreSEC recordPercentage of assetsFixed or flat fee
- New England Capital Financial Advisors LLC$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat fee
- NewdayUnder $25MSEC recordPercentage of assets
- Night Owl Capital Management, LLC$1B or moreSEC recordPercentage of assets
- Northcoast Asset Management LLC$1B or moreSEC recordPercentage of assetsOther
- O'Shaughnessy Asset Management, LLC$1B or moreSEC recordPercentage of assetsPerformance-basedOther
- Oakridge Management Group LLC$1B or moreSEC recordPercentage of assetsFixed or flat feePerformance-based
- Osaic Institutions, Inc.$1B or moreSEC recordPercentage of assetsHourlyFixed or flat fee
- P.A.W. Capital Partners, LP$100M to $500MSEC recordPercentage of assetsPerformance-based
- Pasi Investments, LLC$500M to $1BSEC recordPercentage of assetsFixed or flat fee
- Pettee Investors Inc$100M to $500MSEC recordPercentage of assets
- Phraction Management LLC$500M to $1BSEC recordPercentage of assetsFixed or flat feeOther
- Pier Capital, LLC$500M to $1BSEC recordPercentage of assetsPerformance-based
- Principle Wealth$1B or moreSEC recordPercentage of assetsFixed or flat fee
- Private Capital Advisors, Inc.$1B or moreSEC recordPercentage of assetsFixed or flat feePerformance-based
- Private Capital Asset Management LLCUnder $25MSEC recordPercentage of assetsFixed or flat feePerformance-based
- Procyon$1B or moreSEC recordPercentage of assetsHourlyFixed or flat fee
- QP Global Family Offices, LLC$1B or moreSEC recordPercentage of assetsFixed or flat fee
- Quorus Inc.$100M to $500MSEC recordPercentage of assets
- Rangeley Capital, LLC$100M to $500MSEC recordPercentage of assetsPerformance-based
- Ridgeview Asset Management Partners, LLC$100M to $500MSEC recordPercentage of assetsPerformance-based
- Riskbridge Advisors, LLC$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat fee
- Rja Asset Management LLC$500M to $1BSEC recordPercentage of assetsFixed or flat feePerformance-basedOther
- RMC Investment Advisors$1B or moreSEC recordPercentage of assets
- Rossmore Private Capital, LLC$1B or moreSEC recordPercentage of assetsFixed or flat feeOther
- Round Rock Advisors LLC$500M to $1BSEC recordPercentage of assetsFixed or flat fee
- Rpo LLC$100M to $500MSEC recordPercentage of assetsPerformance-based
- Rye Brook Capital, LLC$100M to $500MSEC recordPercentage of assets
- RZH Advisors LLC$1B or moreSEC recordPercentage of assetsHourlyFixed or flat fee
- Sagebroadview Wealth Management, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Scholtz & Company, LLC$100M to $500MSEC recordPercentage of assetsFixed or flat fee
- Searle & Co.$500M to $1BSEC recordPercentage of assetsCommissions
- Sightline Wealth Advisors, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Sky Investment Group LLC$500M to $1BSEC recordPercentage of assets
- Smith Brothers Financial, LLC$1B or moreSEC recordPercentage of assetsFixed or flat fee
- Somnio Financial Group, LLC$100M to $500MSEC recordPercentage of assetsFixed or flat fee
- Sound Portfolio Advisors, LLC$100M to $500MSEC recordPercentage of assets
- Sound Shore Management Inc$1B or moreSEC recordPercentage of assets
- Southport Station Financial Management, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Sovereign Financial Group, Inc.$1B or moreSEC recordPercentage of assetsHourlyFixed or flat fee
- Spectrum Asset Management, Inc.$1B or moreSEC recordPercentage of assets
- Spivak Asset Management, LLC$100M to $500MSEC recordPercentage of assets
- Springboard Asset Management LLC$100M to $500MSEC recordPercentage of assetsFixed or flat fee
- Sprott Asset Management USA Inc.$1B or moreSEC recordPercentage of assetsPerformance-based
- Spurstone$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Steward Partners Investment Advisory, LLC$1B or moreSEC recordPercentage of assetsHourlyFixed or flat fee
- Stonebridge Advisors LLC$1B or moreSEC recordPercentage of assets
- Stratis Capital, LLC$500M to $1BSEC recordPercentage of assets
- Sullivan Financial, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Sustainable Growth Advisers, LP$1B or moreSEC recordPercentage of assets
- Symmetry Partners$1B or moreSEC recordPercentage of assetsOther
- Talson Capital Management L.P.$1B or moreSEC recordPercentage of assetsFixed or flat feePerformance-based
- Tanaka Capital Management Inc$25M to $100MSEC recordPercentage of assetsFixed or flat fee
- Teewinot Capital Advisers, L.L.C.$1B or moreSEC recordPercentage of assetsPerformance-based
- Telos Partners LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Thames Financial Management$100M to $500MSEC recordPercentage of assetsHourly
- The Dowling Group Wealth Management$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Third View Private Wealth$1B or moreSEC recordPercentage of assetsFixed or flat feePerformance-based
- Titan Advisors, LLC$1B or moreSEC recordPercentage of assetsFixed or flat feePerformance-based
- Toomey Investment Management, Inc$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Top Private Wealth$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Trivium Point Advisory, LLC$1B or moreSEC recordPercentage of assetsHourlyFixed or flat fee
- Tumolo Wealth Management LLC$100M to $500MSEC recordPercentage of assets
- Tweedy, Browne Company LLC$1B or moreSEC recordPercentage of assets
- U.S.A. Financial & Tax Services, LLC$100M to $500MSEC recordPercentage of assets
- Virtus Fixed Income Advisers, LLC$1B or moreSEC recordPercentage of assetsPerformance-based
- Vision Investment Advisors, LLC$100M to $500MSEC recordPercentage of assetsFixed or flat feeCommissionsPerformance-based
- Voya Financial Advisors, Inc.$1B or moreSEC recordPercentage of assetsHourlyFixed or flat feeCommissions
- Warner Wealth$100M to $500MSEC recordPercentage of assets
- Wealthshape LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Wharton Midmarket Investment Advisors Inc$100M to $500MSEC recordPercentage of assetsHourly
- William Joseph Capital Management, Inc.$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat feeOther
- WJ Financial Advisors, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Wmgna$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Wright Investors Service Inc$1B or moreSEC recordPercentage of assetsNewsletter subscriptionsFixed or flat fee
- Wright Private Asset Management LLC$25M to $100MSEC recordPercentage of assetsFixed or flat fee
- Yhb Investment Advisors Inc$1B or moreSEC recordPercentage of assetsHourlyFixed or flat fee
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.