Adviser Profile

As of Date 03/30/2026
Registration SEC, Approved, 03/27/2003
Other registrations (1)
ADV Location GUILFORD, CT, United States
Contact Info 203 xxxxxxx
Websites
AUM* 616,042,789 14%
of that, discretionary 616,042,789 14%
Number of Employees 12 -14%
of those in investment advisory functions 4 -43%
Private Fund GAV* 0
Avg Account Size 391,138 7%
% High Net Worth 15.87% 9%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Banking or thrift institutions
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Reported AUM

616M 528M 440M 352M 264M 176M 88M
2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker464287200 Stock NameISHARES CORE S&P 500 ETF $ Position$22,911,231 % Position5.00% $ Change2.00% # Change-11.00%
Stck Ticker72201R585 Stock NamePIMCO MULTISECTOR BOND ACTIVE EXCHANGE-TRADED FUND $ Position$12,923,669 % Position3.00% $ Change5.00% # Change3.00%
Stck Ticker97717Y527 Stock NameWISDOMTREE FLOATING RATE TREASURY FUND $ Position$13,696,955 % Position3.00% $ Change1.00% # Change1.00%
Stck Ticker97717W505 Stock NameWISDOMTREE U.S. MIDCAP DIVIDEND FUND $ Position$7,844,671 % Position2.00% $ Change8.00% # Change1.00%
Stck Ticker97717X511 Stock NameWISDOMTREE YIELD ENHANCED U.S. AGGREGATE BOND FUND $ Position$12,048,095 % Position2.00% $ Change5.00% # Change7.00%
Stck Ticker808524763 Stock NameSCHWAB FUNDAMENTAL U.S. SMALL COMPANY ETF $ Position$11,987,382 % Position2.00% $ Change12.00% # Change-4.00%
Stck Ticker808524805 Stock NameSCHWAB INTERNATIONAL EQUITY ETF $ Position$10,361,243 % Position2.00% $ Change55.00% # Change39.00%
Stck Ticker78462F103 Stock NameSTATE STREET SPDR S&P 500 ETF $ Position$7,637,918 % Position2.00% $ Change15.00% # Change0.00%
Stck Ticker46434G764 Stock NameISHARES MSCI EMERGING MARKETS EX CHINA ETF $ Position$7,746,492 % Position2.00% $ Change-1.00% # Change-24.00%
Stck Ticker46429B655 Stock NameISHARES FLOATING RATE BOND ETF $ Position$7,740,375 % Position2.00% $ Change6.00% # Change6.00%

Brochure Summary