{ "path": "/advisors/ct/fee-only", "url": "https://advisorcensus.com/advisors/ct/fee-only/page/4", "page_type": "state_fee", "title": "Fee-only financial advisors in Connecticut", "filters": {}, "scope_total": 199, "faq": [ { "q": "How many financial advisory firms are there in Connecticut?", "a": "AdvisorCensus lists 963 investment advisory firms with a principal office in Connecticut, from Form ADV filings as of October 2026: 515 SEC-registered, 263 state-registered, and 185 exempt reporting advisers. Firms may request removal, so the count can differ slightly from the number of firms that file Form ADV." }, { "q": "How many fee-only financial advisors are in Connecticut?", "a": "199 of the 963 firms meet AdvisorCensus's fee-only test: paid only by a percentage of assets, hourly charges, fixed fees, or subscription fees on Form ADV Item 5.E (no commissions, performance-based fees, or other compensation), with no sales-related compensation ties in the same filing: no employee registered with a broker-dealer or licensed as an insurance agent (Item 5.B), no brokerage, insurance, real estate, or other product sales business (Item 6.A), no related broker-dealer, insurance company, real estate broker, or futures commission merchant (Item 7.A), and no referral fees from others or other sales interest (Item 8). Form ADV has no fee-only box, so this is derived from the filing; it is not a fee-only certification, and a firm's own page lists its compensation arrangements as filed." }, { "q": "How many financial advisors in Connecticut offer financial planning?", "a": "266 of the 778 firms in Connecticut that answer Form ADV Item 5.G, which asks what advisory services a firm provides, report financial planning services, as of October 2026. Exempt reporting advisers do not answer Item 5.G. Each firm page lists every advisory service the firm reports." }, { "q": "Are the financial advisors in Connecticut fiduciaries?", "a": "Every firm on this page is an investment adviser that files Form ADV, and an investment adviser owes its clients a fiduciary duty under federal law, made up of a duty of care and a duty of loyalty: it must act in the client's best interest and not put its own interests ahead of the client's, and must eliminate its conflicts of interest or disclose them fully and fairly. Form ADV has no fiduciary box because the duty comes with being an investment adviser. The duty covers the firm's advice; a firm or its people may also sell securities through a broker-dealer or insurance as licensed agents, roles held to other standards. The 199 firms that meet AdvisorCensus's fee-only test report none of those sales ties." }, { "q": "How do I check whether a financial advisor has disciplinary disclosures?", "a": "Each firm page shows how many Form ADV Item 11 disciplinary questions the firm answered yes and links to the firm's record on the SEC's Investment Adviser Public Disclosure site (adviserinfo.sec.gov), where the detail of each disclosure is public. Individual advisers' records are on the same site and on FINRA BrokerCheck." }, { "q": "Does AdvisorCensus rate, verify, or recommend these firms?", "a": "No. The directory shows what each firm filed, in alphabetical order unless you choose another sort, and no firm's position depends on payment. Firms that claim their page can add a description and links, marked as provided by the firm; the filed facts are never changed by that content." }, { "q": "What does regulatory assets under management mean?", "a": "Regulatory assets under management (RAUM) is the figure a firm reports on Form ADV Item 5.F: the securities portfolios it provides continuous and regular supervisory or management services for, at market value, including assets managed without discretion. It measures scale, not performance or quality." } ], "period": "2026-10-01", "answer_paragraph": "AdvisorCensus lists 199 investment advisory firms with a principal office in Connecticut that meet AdvisorCensus's fee-only test: paid only by client fees on Form ADV Item 5.E, with no employee registered with a broker-dealer or licensed as an insurance agent, no brokerage, insurance, or real estate sales business or related company, and no referral fees from others, drawn from Form ADV filings as of October 2026. Firms are listed alphabetically; sort by years registered or assets band using the controls below, and read the methodology block for how this page is derived.", "about_market": null, "citation": "AdvisorCensus. Fee-only financial advisors in Connecticut: 199 firms from Form ADV filings as of October 2026.", "total_firms": 199, "page": 4, "total_pages": 4, "sort": "name", "registration_types": { "sec": 85, "state": 114, "exempt": 0 }, "fee_model_mix": [ { "code": "fee-only", "count": 199 }, { "code": "percentage_of_aum", "count": 185 }, { "code": "hourly", "count": 78 }, { "code": "subscription", "count": 5 }, { "code": "fixed", "count": 94 }, { "code": "commissions", "count": 0 }, { "code": "performance_based", "count": 0 }, { "code": "other", "count": 0 }, { "code": "not_reported", "count": 0 } ], "years_registered_distribution": [ { "code": "under_5", "count": 68 }, { "code": "5_to_9", "count": 30 }, { "code": "10_to_19", "count": 37 }, { "code": "20_plus", "count": 63 }, { "code": "not_reported", "count": 1 } ], "raum_band_distribution": [ { "code": "under_25m", "count": 66 }, { "code": "25m_100m", "count": 37 }, { "code": "100m_500m", "count": 53 }, { "code": "500m_1b", "count": 12 }, { "code": "1b_5b", "count": 15 }, { "code": "over_5b", "count": 3 }, { "code": "not_reported", "count": 13 } ], "firms": [ { "crd_number": 306161, "name": "Riskin Wealth Management, LLC", "name_as_filed": "RISKIN WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/riskin-wealth-management-llc-newtown-ct-306161", "city": "Newtown", "state": "CT", "years_registered": 6, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 127815, "name": "RLR Capital Management, Inc.", "name_as_filed": "RLR CAPITAL MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/rlr-capital-management-inc-new-canaan-ct-127815", "city": "New Canaan", "state": "CT", "years_registered": 22, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 104674, "name": "RMC Investment Advisors", "name_as_filed": "RMC INVESTMENT ADVISORS", "url": "https://advisorcensus.com/firm/rmc-investment-advisors-west-hartford-ct-104674", "city": "West Hartford", "state": "CT", "years_registered": 42, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 288517, "name": "Rye Brook Capital, LLC", "name_as_filed": "RYE BROOK CAPITAL, LLC", "url": "https://advisorcensus.com/firm/rye-brook-capital-llc-greenwich-ct-288517", "city": "Greenwich", "state": "CT", "years_registered": 5, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 126472, "name": "Sagebroadview Wealth Management, LLC", "name_as_filed": "SAGEBROADVIEW WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/sagebroadview-wealth-management-llc-farmington-ct-126472", "city": "Farmington", "state": "CT", "years_registered": 11, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 127340, "name": "Salzman Financial Management LLC", "name_as_filed": "SALZMAN FINANCIAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/salzman-financial-management-llc-bethel-ct-127340", "city": "Bethel", "state": "CT", "years_registered": 29, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 107363, "name": "Scholtz & Company, LLC", "name_as_filed": "SCHOLTZ & COMPANY, LLC", "url": "https://advisorcensus.com/firm/scholtz-and-company-llc-stamford-ct-107363", "city": "Stamford", "state": "CT", "years_registered": 13, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 128237, "name": "Scott, Ralph Upton", "name_as_filed": "SCOTT, RALPH UPTON", "url": "https://advisorcensus.com/firm/scott-ralph-upton-128237", "city": null, "state": null, "years_registered": 9, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 330699, "name": "Seneca Wealth Advisors, LLC", "name_as_filed": "SENECA WEALTH ADVISORS, LLC", "url": "https://advisorcensus.com/firm/seneca-wealth-advisors-llc-westport-ct-330699", "city": "Westport", "state": "CT", "years_registered": 2, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 311138, "name": "Shehu Asset Management, LLC", "name_as_filed": "SHEHU ASSET MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/shehu-asset-management-llc-southbury-ct-311138", "city": "Southbury", "state": "CT", "years_registered": 5, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 318331, "name": "Silversea Capital, LLC", "name_as_filed": "SILVERSEA CAPITAL, LLC", "url": "https://advisorcensus.com/firm/silversea-capital-llc-318331", "city": null, "state": null, "years_registered": 4, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 134001, "name": "Sky Investment Group LLC", "name_as_filed": "SKY INVESTMENT GROUP LLC", "url": "https://advisorcensus.com/firm/sky-investment-group-llc-hartford-ct-134001", "city": "Hartford", "state": "CT", "years_registered": 21, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 342140, "name": "Smarter Way Wealth", "name_as_filed": "SMARTER WAY WEALTH", "url": "https://advisorcensus.com/firm/smarter-way-wealth-342140", "city": null, "state": null, "years_registered": 0, "raum_band": "under_25m", "compensation_types": [ "fixed" ], "enhanced": false }, { "crd_number": 308942, "name": "Soaring Capital Management, LLC", "name_as_filed": "SOARING CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/soaring-capital-management-llc-308942", "city": null, "state": null, "years_registered": 6, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 174217, "name": "Somnio Financial Group, LLC", "name_as_filed": "SOMNIO FINANCIAL GROUP, LLC", "url": "https://advisorcensus.com/firm/somnio-financial-group-llc-glastonbury-ct-174217", "city": "Glastonbury", "state": "CT", "years_registered": 2, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 132088, "name": "Sound Financial Management, LLC", "name_as_filed": "SOUND FINANCIAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/sound-financial-management-llc-132088", "city": null, "state": null, "years_registered": 21, "raum_band": "under_25m", "compensation_types": [ "fixed" ], "enhanced": false }, { "crd_number": 125511, "name": "Sound Portfolio Advisors, LLC", "name_as_filed": "SOUND PORTFOLIO ADVISORS, LLC", "url": "https://advisorcensus.com/firm/sound-portfolio-advisors-llc-mystic-ct-125511", "city": "Mystic", "state": "CT", "years_registered": 5, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 112379, "name": "Sound Shore Management Inc", "name_as_filed": "SOUND SHORE MANAGEMENT INC", "url": "https://advisorcensus.com/firm/sound-shore-management-inc-greenwich-ct-112379", "city": "Greenwich", "state": "CT", "years_registered": 48, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 340845, "name": "Soundview Private Wealth Advisors", "name_as_filed": "SOUNDVIEW PRIVATE WEALTH ADVISORS", "url": "https://advisorcensus.com/firm/soundview-private-wealth-advisors-cheshire-ct-340845", "city": "Cheshire", "state": "CT", "years_registered": 0, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 125714, "name": "Spivak Asset Management, LLC", "name_as_filed": "SPIVAK ASSET MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/spivak-asset-management-llc-avon-ct-125714", "city": "Avon", "state": "CT", "years_registered": 11, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 154862, "name": "Springboard Asset Management LLC", "name_as_filed": "SPRINGBOARD ASSET MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/springboard-asset-management-llc-cheshire-ct-154862", "city": "Cheshire", "state": "CT", "years_registered": 4, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 335050, "name": "Stocklift", "name_as_filed": "STOCKLIFT", "url": "https://advisorcensus.com/firm/stocklift-new-canaan-ct-335050", "city": "New Canaan", "state": "CT", "years_registered": 1, "raum_band": "not_reported", "compensation_types": [ "subscription" ], "enhanced": false }, { "crd_number": 300130, "name": "Stratis Capital, LLC", "name_as_filed": "STRATIS CAPITAL, LLC", "url": "https://advisorcensus.com/firm/stratis-capital-llc-darien-ct-300130", "city": "Darien", "state": "CT", "years_registered": 6, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 338026, "name": "Summer Family Advisors LLC", "name_as_filed": "SUMMER FAMILY ADVISORS LLC", "url": "https://advisorcensus.com/firm/summer-family-advisors-llc-stamford-ct-338026", "city": "Stamford", "state": "CT", "years_registered": null, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed" ], "enhanced": false }, { "crd_number": 289269, "name": "Summerhaven Investment Management, LLC", "name_as_filed": "SUMMERHAVEN INVESTMENT MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/summerhaven-investment-management-llc-stamford-ct-289269", "city": "Stamford", "state": "CT", "years_registered": 9, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 342936, "name": "Swiss Finance Private Wealth Management LLC", "name_as_filed": "SWISS FINANCE PRIVATE WEALTH MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/swiss-finance-private-wealth-management-llc-southbury-ct-342936", "city": "Southbury", "state": "CT", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 109888, "name": "Tanaka Capital Management Inc", "name_as_filed": "TANAKA CAPITAL MANAGEMENT INC", "url": "https://advisorcensus.com/firm/tanaka-capital-management-inc-greenwich-ct-109888", "city": "Greenwich", "state": "CT", "years_registered": 39, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 340922, "name": "Telos Partners LLC", "name_as_filed": "TELOS PARTNERS LLC", "url": "https://advisorcensus.com/firm/telos-partners-llc-avon-ct-340922", "city": "Avon", "state": "CT", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 126295, "name": "Thames Financial Management", "name_as_filed": "THAMES FINANCIAL MANAGEMENT", "url": "https://advisorcensus.com/firm/thames-financial-management-norwich-ct-126295", "city": "Norwich", "state": "CT", "years_registered": 8, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 169212, "name": "The Community Foundation for Greater New Haven, Inc.", "name_as_filed": "THE COMMUNITY FOUNDATION FOR GREATER NEW HAVEN, INC.", "url": "https://advisorcensus.com/firm/the-community-foundation-for-greater-new-haven-inc-new-haven-ct-169212", "city": "New Haven", "state": "CT", "years_registered": 12, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 330683, "name": "The Real Wealth Coterie", "name_as_filed": "THE REAL WEALTH COTERIE", "url": "https://advisorcensus.com/firm/the-real-wealth-coterie-new-haven-ct-330683", "city": "New Haven", "state": "CT", "years_registered": 2, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 166626, "name": "The WF Group, LLC", "name_as_filed": "THE WF GROUP, LLC", "url": "https://advisorcensus.com/firm/the-wf-group-llc-166626", "city": null, "state": null, "years_registered": 13, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 110103, "name": "Three Lakes Advisors, Inc.", "name_as_filed": "THREE LAKES ADVISORS, INC.", "url": "https://advisorcensus.com/firm/three-lakes-advisors-inc-110103", "city": null, "state": null, "years_registered": 2, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 115054, "name": "Tittmann & Rusch, LLC", "name_as_filed": "TITTMANN & RUSCH, LLC", "url": "https://advisorcensus.com/firm/tittmann-and-rusch-llc-avon-ct-115054", "city": "Avon", "state": "CT", "years_registered": 34, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed" ], "enhanced": false }, { "crd_number": 331000, "name": "Top Private Wealth", "name_as_filed": "TOP PRIVATE WEALTH", "url": "https://advisorcensus.com/firm/top-private-wealth-glastonbury-ct-331000", "city": "Glastonbury", "state": "CT", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 127086, "name": "Troika Investment Advisors, LLC", "name_as_filed": "TROIKA INVESTMENT ADVISORS, LLC", "url": "https://advisorcensus.com/firm/troika-investment-advisors-llc-hampton-ct-127086", "city": "Hampton", "state": "CT", "years_registered": 26, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 119439, "name": "Walbert Capital Management, LLC", "name_as_filed": "WALBERT CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/walbert-capital-management-llc-new-canaan-ct-119439", "city": "New Canaan", "state": "CT", "years_registered": 24, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 336723, "name": "Waldo.ai, Inc.", "name_as_filed": "WALDO.AI, INC.", "url": "https://advisorcensus.com/firm/waldo-ai-inc-new-haven-ct-336723", "city": "New Haven", "state": "CT", "years_registered": 1, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 167725, "name": "Wavelength Capital Management, LLC", "name_as_filed": "WAVELENGTH CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/wavelength-capital-management-llc-westport-ct-167725", "city": "Westport", "state": "CT", "years_registered": 12, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 126072, "name": "Wealth Protection Management", "name_as_filed": "WEALTH PROTECTION MANAGEMENT", "url": "https://advisorcensus.com/firm/wealth-protection-management-126072", "city": null, "state": null, "years_registered": 29, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 226733, "name": "Wealthshape LLC", "name_as_filed": "WEALTHSHAPE LLC", "url": "https://advisorcensus.com/firm/wealthshape-llc-windsor-ct-226733", "city": "Windsor", "state": "CT", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 339866, "name": "Weise Financial Wellness", "name_as_filed": "WEISE FINANCIAL WELLNESS", "url": "https://advisorcensus.com/firm/weise-financial-wellness-339866", "city": null, "state": null, "years_registered": 0, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed" ], "enhanced": false }, { "crd_number": 126955, "name": "Westcott Investment Advisors LLC", "name_as_filed": "WESTCOTT INVESTMENT ADVISORS LLC", "url": "https://advisorcensus.com/firm/westcott-investment-advisors-llc-danielson-ct-126955", "city": "Danielson", "state": "CT", "years_registered": 25, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 326972, "name": "Wiley Capital Partners", "name_as_filed": "WILEY CAPITAL PARTNERS", "url": "https://advisorcensus.com/firm/wiley-capital-partners-greenwich-ct-326972", "city": "Greenwich", "state": "CT", "years_registered": 3, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 335523, "name": "Witt Lake Asset Management LLC", "name_as_filed": "WITT LAKE ASSET MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/witt-lake-asset-management-llc-stamford-ct-335523", "city": "Stamford", "state": "CT", "years_registered": 1, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 142761, "name": "WJ Financial Advisors, LLC", "name_as_filed": "WJ FINANCIAL ADVISORS, LLC", "url": "https://advisorcensus.com/firm/wj-financial-advisors-llc-killingworth-ct-142761", "city": "Killingworth", "state": "CT", "years_registered": 5, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 332227, "name": "Wolfhound Wealth", "name_as_filed": "WOLFHOUND WEALTH", "url": "https://advisorcensus.com/firm/wolfhound-wealth-332227", "city": null, "state": null, "years_registered": 2, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 105434, "name": "YHB Investment Advisors Inc", "name_as_filed": "YHB INVESTMENT ADVISORS INC", "url": "https://advisorcensus.com/firm/yhb-investment-advisors-inc-west-hartford-ct-105434", "city": "West Hartford", 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