{ "path": "/advisors/ct/hartford", "url": "https://advisorcensus.com/advisors/ct/hartford/page/3", "page_type": "metro", "title": "Financial advisors in Hartford, CT", "filters": {}, "scope_total": 138, "faq": [ { "q": "How many financial advisory firms are there in Hartford, CT?", "a": "AdvisorCensus lists 138 investment advisory firms with a principal office in the Hartford metro area, from Form ADV filings as of October 2026: 73 SEC-registered, 56 state-registered, and 9 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 Hartford, CT?", "a": "48 of the 138 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 Hartford, CT offer financial planning?", "a": "82 of the 129 firms in Hartford, CT 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 Hartford, CT 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 48 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 138 investment advisory firms with a principal office in the Hartford metro area, drawn from Form ADV filings as of October 2026. Firms are listed alphabetically; sort by years registered or assets band using the controls below. Firms may request removal from the directory, so this count can differ from the number of firms that file Form ADV.", "about_market": "Hartford has 138 investment advisory firms with a principal office in the metro area as of October 2026: 73 SEC-registered, 56 state-registered, and 9 exempt reporting advisers. 48 of them meet AdvisorCensus's fee-only test (paid only by client fees, with no sales-related compensation ties such as an employee registered with a broker-dealer or licensed as an insurance agent), and 43 report under $100 million in regulatory assets under management. The metro area has 465,181 households, 82,673 of them with income of $200,000 or more, or 599 such households for each firm (Census Bureau, American Community Survey 2020–2024 5-year estimates).", "citation": "AdvisorCensus. Financial advisors in Hartford, CT: 138 firms from Form ADV filings as of October 2026.", "total_firms": 138, "page": 3, "total_pages": 3, "sort": "name", "registration_types": { "sec": 73, "state": 56, "exempt": 9 }, "fee_model_mix": [ { "code": "fee-only", "count": 48 }, { "code": "percentage_of_aum", "count": 115 }, { "code": "hourly", "count": 66 }, { "code": "subscription", "count": 1 }, { "code": "fixed", "count": 77 }, { "code": "commissions", "count": 3 }, { "code": "performance_based", "count": 14 }, { "code": "other", "count": 25 }, { "code": "not_reported", "count": 9 } ], "years_registered_distribution": [ { "code": "under_5", "count": 33 }, { "code": "5_to_9", "count": 19 }, { "code": "10_to_19", "count": 36 }, { "code": "20_plus", "count": 49 }, { "code": "not_reported", "count": 1 } ], "raum_band_distribution": [ { "code": "under_25m", "count": 20 }, { "code": "25m_100m", "count": 23 }, { "code": "100m_500m", "count": 25 }, { "code": "500m_1b", "count": 15 }, { "code": "1b_5b", "count": 19 }, { "code": "over_5b", "count": 11 }, { "code": "not_reported", "count": 25 } ], "firms": [ { "crd_number": 164697, "name": "RMP Investments, LLC", "name_as_filed": "RMP INVESTMENTS, LLC", "url": "https://advisorcensus.com/firm/rmp-investments-llc-vernon-ct-164697", "city": "Vernon", "state": "CT", "years_registered": 1, "raum_band": "not_reported", "compensation_types": [ "other" ], "enhanced": false }, { "crd_number": 288453, "name": "Rossmore Private Capital, LLC", "name_as_filed": "ROSSMORE PRIVATE CAPITAL, LLC", "url": "https://advisorcensus.com/firm/rossmore-private-capital-llc-glastonbury-ct-288453", "city": "Glastonbury", "state": "CT", "years_registered": 9, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed", "other" ], "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": 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": 322951, "name": "Smith Brothers Financial, LLC", "name_as_filed": "SMITH BROTHERS FINANCIAL, LLC", "url": "https://advisorcensus.com/firm/smith-brothers-financial-llc-glastonbury-ct-322951", "city": "Glastonbury", "state": "CT", "years_registered": 4, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "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": 127151, "name": "Sovereign Financial Services", "name_as_filed": "SOVEREIGN FINANCIAL SERVICES", "url": "https://advisorcensus.com/firm/sovereign-financial-services-rocky-hill-ct-127151", "city": "Rocky Hill", "state": "CT", "years_registered": 23, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "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": 284158, "name": "Spurstone", "name_as_filed": "SPURSTONE", "url": "https://advisorcensus.com/firm/spurstone-higganum-ct-284158", "city": "Higganum", "state": "CT", "years_registered": 3, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 122437, "name": "Strategic Financial, LLC", "name_as_filed": "STRATEGIC FINANCIAL, LLC", "url": "https://advisorcensus.com/firm/strategic-financial-llc-south-windsor-ct-122437", "city": "South Windsor", "state": "CT", "years_registered": 23, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 282825, "name": "Strategic Investment Planning LLC", "name_as_filed": "STRATEGIC INVESTMENT PLANNING LLC", "url": "https://advisorcensus.com/firm/strategic-investment-planning-llc-west-hartford-ct-282825", "city": "West Hartford", "state": "CT", "years_registered": 10, "raum_band": "not_reported", "compensation_types": [ "percentage_of_aum", "hourly", "other" ], "enhanced": false }, { "crd_number": 286563, "name": "Successful Wealth Strategies, LLC", "name_as_filed": "SUCCESSFUL WEALTH STRATEGIES, LLC", "url": "https://advisorcensus.com/firm/successful-wealth-strategies-llc-collinsville-ct-286563", "city": "Collinsville", "state": "CT", "years_registered": 9, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "other" ], "enhanced": false }, { "crd_number": 121371, "name": "Sullivan Financial, LLC", "name_as_filed": "SULLIVAN FINANCIAL, LLC", "url": "https://advisorcensus.com/firm/sullivan-financial-llc-essex-ct-121371", "city": "Essex", "state": "CT", "years_registered": 2, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 149793, "name": "Summit Investment Management, LLC", "name_as_filed": "SUMMIT INVESTMENT MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/summit-investment-management-llc-lyme-ct-149793", "city": "Lyme", "state": "CT", "years_registered": 17, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 317529, "name": "Sursum Financial LLC", "name_as_filed": "SURSUM FINANCIAL LLC", "url": "https://advisorcensus.com/firm/sursum-financial-llc-old-saybrook-ct-317529", "city": "Old Saybrook", "state": "CT", "years_registered": 4, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 312176, "name": "Symetra Investment Management Company", "name_as_filed": "SYMETRA INVESTMENT MANAGEMENT COMPANY", "url": "https://advisorcensus.com/firm/symetra-investment-management-company-farmington-ct-312176", "city": "Farmington", "state": "CT", "years_registered": 5, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 120982, "name": "Symmetry Partners", "name_as_filed": "SYMMETRY PARTNERS", "url": "https://advisorcensus.com/firm/symmetry-partners-glastonbury-ct-120982", "city": "Glastonbury", "state": "CT", "years_registered": 24, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "other" ], "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": 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": 105525, "name": "TSCG Investors, LLC", "name_as_filed": "TSCG INVESTORS, LLC", "url": "https://advisorcensus.com/firm/tscg-investors-llc-simsbury-ct-105525", "city": "Simsbury", "state": "CT", "years_registered": 37, "raum_band": "not_reported", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 306214, "name": "U.S.A. Financial & Tax Services, LLC", "name_as_filed": "U.S.A. FINANCIAL & TAX SERVICES, LLC", "url": "https://advisorcensus.com/firm/u-s-a-financial-and-tax-services-llc-farmington-ct-306214", "city": "Farmington", "state": "CT", "years_registered": 1, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 107754, "name": "UBS Farmland Investors LLC", "name_as_filed": "UBS FARMLAND INVESTORS LLC", "url": "https://advisorcensus.com/firm/ubs-farmland-investors-llc-hartford-ct-107754", "city": "Hartford", "state": "CT", "years_registered": 29, "raum_band": "not_reported", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 107758, "name": "UBS Realty Investors LLC", "name_as_filed": "UBS REALTY INVESTORS LLC", "url": "https://advisorcensus.com/firm/ubs-realty-investors-llc-hartford-ct-107758", "city": "Hartford", "state": "CT", "years_registered": 32, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based", "other" ], "enhanced": false }, { "crd_number": 108113, "name": "USI Advisors", "name_as_filed": "USI ADVISORS", "url": "https://advisorcensus.com/firm/usi-advisors-glastonbury-ct-108113", "city": "Glastonbury", "state": "CT", "years_registered": 27, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "commissions" ], "enhanced": false }, { "crd_number": 43793, "name": "USI Securities, Inc.", "name_as_filed": "USI SECURITIES, INC.", "url": "https://advisorcensus.com/firm/usi-securities-inc-glastonbury-ct-43793", "city": "Glastonbury", "state": "CT", "years_registered": 27, "raum_band": "not_reported", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "other" ], "enhanced": false }, { "crd_number": 168955, "name": "Virtus Advisers, LLC", "name_as_filed": "VIRTUS ADVISERS, LLC", "url": "https://advisorcensus.com/firm/virtus-advisers-llc-hartford-ct-168955", "city": "Hartford", "state": "CT", "years_registered": 12, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 143732, "name": "Virtus Alternative Investment Advisers, LLC", "name_as_filed": "VIRTUS ALTERNATIVE INVESTMENT ADVISERS, LLC", "url": "https://advisorcensus.com/firm/virtus-alternative-investment-advisers-llc-hartford-ct-143732", "city": "Hartford", "state": "CT", "years_registered": 19, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 107346, "name": "Virtus Capital Advisers, LLC", "name_as_filed": "VIRTUS CAPITAL ADVISERS, LLC", "url": "https://advisorcensus.com/firm/virtus-capital-advisers-llc-hartford-ct-107346", "city": "Hartford", "state": "CT", "years_registered": 41, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 146029, "name": "Virtus Fixed Income Advisers, LLC", "name_as_filed": "VIRTUS FIXED INCOME ADVISERS, LLC", "url": "https://advisorcensus.com/firm/virtus-fixed-income-advisers-llc-hartford-ct-146029", "city": "Hartford", "state": "CT", "years_registered": 18, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 106982, "name": "Virtus Investment Advisers, LLC", "name_as_filed": "VIRTUS INVESTMENT ADVISERS, LLC", "url": "https://advisorcensus.com/firm/virtus-investment-advisers-llc-hartford-ct-106982", "city": "Hartford", "state": "CT", "years_registered": 57, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 2882, "name": "Voya Financial Advisors, Inc.", "name_as_filed": "VOYA FINANCIAL ADVISORS, INC.", "url": "https://advisorcensus.com/firm/voya-financial-advisors-inc-windsor-ct-2882", "city": "Windsor", "state": "CT", "years_registered": 32, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "commissions" ], "enhanced": false }, { "crd_number": 3989, "name": "Voya Retirement Advisors, LLC", "name_as_filed": "VOYA RETIREMENT ADVISORS, LLC", "url": "https://advisorcensus.com/firm/voya-retirement-advisors-llc-windsor-ct-3989", "city": "Windsor", "state": "CT", "years_registered": 26, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "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": 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": [ 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