{ "path": "/advisors/ct", "url": "https://advisorcensus.com/advisors/ct/page/14", "page_type": "state", "title": "Financial advisors in Connecticut", "filters": {}, "scope_total": 963, "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 963 investment advisory firms with a principal office in Connecticut, drawn from Form ADV filings as of October 2026. Metro areas in the state are listed first; firms are listed alphabetically, and you can 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": null, "citation": "AdvisorCensus. Financial advisors in Connecticut: 963 firms from Form ADV filings as of October 2026.", "total_firms": 963, "page": 14, "total_pages": 20, "sort": "name", "registration_types": { "sec": 515, "state": 263, "exempt": 185 }, "fee_model_mix": [ { "code": "fee-only", "count": 199 }, { "code": "percentage_of_aum", "count": 704 }, { "code": "hourly", "count": 188 }, { "code": "subscription", "count": 9 }, { "code": "fixed", "count": 269 }, { "code": "commissions", "count": 9 }, { "code": "performance_based", "count": 344 }, { "code": "other", "count": 133 }, { "code": "not_reported", "count": 185 } ], "years_registered_distribution": [ { "code": "under_5", "count": 376 }, { "code": "5_to_9", "count": 174 }, { "code": "10_to_19", "count": 231 }, { "code": "20_plus", "count": 172 }, { "code": "not_reported", "count": 10 } ], "raum_band_distribution": [ { "code": "under_25m", "count": 143 }, { "code": "25m_100m", "count": 79 }, { "code": "100m_500m", "count": 187 }, { "code": "500m_1b", "count": 83 }, { "code": "1b_5b", "count": 139 }, { "code": "over_5b", "count": 88 }, { "code": "not_reported", "count": 244 } ], "firms": [ { "crd_number": 301543, "name": "Peloton Equity LLC", "name_as_filed": "PELOTON EQUITY LLC", "url": "https://advisorcensus.com/firm/peloton-equity-llc-greenwich-ct-301543", "city": "Greenwich", "state": "CT", "years_registered": 7, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 149639, "name": "Pemberwick Investment Advisors, LLC", "name_as_filed": "PEMBERWICK INVESTMENT ADVISORS, LLC", "url": "https://advisorcensus.com/firm/pemberwick-investment-advisors-llc-greenwich-ct-149639", "city": "Greenwich", "state": "CT", "years_registered": 17, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 111503, "name": "Pentegra Investors, Inc.", "name_as_filed": "PENTEGRA INVESTORS, INC.", "url": "https://advisorcensus.com/firm/pentegra-investors-inc-shelton-ct-111503", "city": "Shelton", "state": "CT", "years_registered": 36, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 130289, "name": "Penwood Real Estate Investment Management, LLC", "name_as_filed": "PENWOOD REAL ESTATE INVESTMENT MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/penwood-real-estate-investment-management-llc-west-hartford-ct-130289", "city": "West Hartford", "state": "CT", "years_registered": 20, "raum_band": "1b_5b", "compensation_types": [ "performance_based", "other" ], "enhanced": false }, { "crd_number": 331781, "name": "Perryridge Capital LP", "name_as_filed": "PERRYRIDGE CAPITAL LP", "url": "https://advisorcensus.com/firm/perryridge-capital-lp-greenwich-ct-331781", "city": "Greenwich", "state": "CT", "years_registered": 2, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 105553, "name": "Pettee Investors Inc", "name_as_filed": "PETTEE INVESTORS INC", "url": "https://advisorcensus.com/firm/pettee-investors-inc-rowayton-ct-105553", "city": "Rowayton", "state": "CT", "years_registered": 37, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 342609, "name": "Pezzi Private Capital", "name_as_filed": "PEZZI PRIVATE CAPITAL", "url": "https://advisorcensus.com/firm/pezzi-private-capital-342609", "city": null, "state": null, "years_registered": 0, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 343556, "name": "Philip Equities Management LLC", "name_as_filed": "PHILIP EQUITIES MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/philip-equities-management-llc-greenwich-ct-343556", "city": "Greenwich", "state": "CT", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 162082, "name": "Philosmith Capital Corporation", "name_as_filed": "PHILOSMITH CAPITAL CORPORATION", "url": "https://advisorcensus.com/firm/philosmith-capital-corporation-stamford-ct-162082", "city": "Stamford", "state": "CT", "years_registered": 14, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 298633, "name": "Phraction Management LLC", "name_as_filed": "PHRACTION MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/phraction-management-llc-colchester-ct-298633", "city": "Colchester", "state": "CT", "years_registered": 7, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed", "other" ], "enhanced": false }, { "crd_number": 131212, "name": "Pier Capital, LLC", "name_as_filed": "PIER CAPITAL, LLC", "url": "https://advisorcensus.com/firm/pier-capital-llc-stamford-ct-131212", "city": "Stamford", "state": "CT", "years_registered": 22, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 290404, "name": "Piney Lake Capital Management LP", "name_as_filed": "PINEY LAKE CAPITAL MANAGEMENT LP", "url": "https://advisorcensus.com/firm/piney-lake-capital-management-lp-greenwich-ct-290404", "city": "Greenwich", "state": "CT", "years_registered": 8, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 342141, "name": "Pink Planning", "name_as_filed": "PINK PLANNING", "url": "https://advisorcensus.com/firm/pink-planning-342141", "city": null, "state": null, "years_registered": 0, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 226582, "name": "Platform Capital LLC", "name_as_filed": "PLATFORM CAPITAL LLC", "url": "https://advisorcensus.com/firm/platform-capital-llc-greenwich-ct-226582", "city": "Greenwich", "state": "CT", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 314583, "name": "Plootus", "name_as_filed": "PLOOTUS", "url": "https://advisorcensus.com/firm/plootus-new-haven-ct-314583", "city": "New Haven", "state": "CT", "years_registered": 3, "raum_band": "not_reported", "compensation_types": [ "other" ], "enhanced": false }, { "crd_number": 334365, "name": "Point 41 Capital Partners, L.P.", "name_as_filed": "POINT 41 CAPITAL PARTNERS, L.P.", "url": "https://advisorcensus.com/firm/point-41-capital-partners-l-p-cos-cob-ct-334365", "city": "Cos Cob", "state": "CT", "years_registered": 0, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 283077, "name": "POINT72 Asset Management, L.P.", "name_as_filed": "POINT72 ASSET MANAGEMENT, L.P.", "url": "https://advisorcensus.com/firm/point72-asset-management-l-p-stamford-ct-283077", "city": "Stamford", "state": "CT", "years_registered": 10, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 310229, "name": "Polymath Capital Advisors, LLC.", "name_as_filed": "POLYMATH CAPITAL ADVISORS, LLC.", "url": "https://advisorcensus.com/firm/polymath-capital-advisors-llc-310229", "city": null, "state": null, "years_registered": 5, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 105981, "name": "Portfolio Advisors LLC", "name_as_filed": "PORTFOLIO ADVISORS LLC", "url": "https://advisorcensus.com/firm/portfolio-advisors-llc-darien-ct-105981", "city": "Darien", "state": "CT", "years_registered": 32, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 331469, "name": "Positive Selection Investment Management, LLC", "name_as_filed": "POSITIVE SELECTION INVESTMENT MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/positive-selection-investment-management-llc-greenwich-ct-331469", "city": "Greenwich", "state": "CT", "years_registered": 2, "raum_band": "100m_500m", "compensation_types": [ "performance_based" ], "enhanced": false }, { "crd_number": 324219, "name": "Positive SUM Advisors LLC", "name_as_filed": "POSITIVE SUM ADVISORS LLC", "url": "https://advisorcensus.com/firm/positive-sum-advisors-llc-greenwich-ct-324219", "city": "Greenwich", "state": "CT", "years_registered": 3, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 288459, "name": "Post Road Group LLC", "name_as_filed": "POST ROAD GROUP LLC", "url": "https://advisorcensus.com/firm/post-road-group-llc-stamford-ct-288459", "city": "Stamford", "state": "CT", "years_registered": 9, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 287925, "name": "Prana Capital Management LP", "name_as_filed": "PRANA CAPITAL MANAGEMENT LP", "url": "https://advisorcensus.com/firm/prana-capital-management-lp-greenwich-ct-287925", "city": "Greenwich", "state": "CT", "years_registered": 9, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 226656, "name": "Precision Advisors, LLC", "name_as_filed": "PRECISION ADVISORS, LLC", "url": "https://advisorcensus.com/firm/precision-advisors-llc-stamford-ct-226656", "city": "Stamford", "state": "CT", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 157784, "name": "Precision Capital Advisors, LLC", "name_as_filed": "PRECISION CAPITAL ADVISORS, LLC", "url": "https://advisorcensus.com/firm/precision-capital-advisors-llc-greenwich-ct-157784", "city": "Greenwich", "state": "CT", "years_registered": 14, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 161178, "name": "Prentice Capital Management, LP", "name_as_filed": "PRENTICE CAPITAL MANAGEMENT, LP", "url": "https://advisorcensus.com/firm/prentice-capital-management-lp-greenwich-ct-161178", "city": "Greenwich", "state": "CT", "years_registered": 8, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 290180, "name": "Principle Wealth", "name_as_filed": "PRINCIPLE WEALTH", "url": "https://advisorcensus.com/firm/principle-wealth-madison-ct-290180", "city": "Madison", "state": "CT", "years_registered": 8, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 125771, "name": "Private Capital Advisors, Inc.", "name_as_filed": "PRIVATE CAPITAL ADVISORS, INC.", "url": "https://advisorcensus.com/firm/private-capital-advisors-inc-darien-ct-125771", "city": "Darien", "state": "CT", "years_registered": 23, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 317930, "name": "Private Capital Asset Management LLC", "name_as_filed": "PRIVATE CAPITAL ASSET MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/private-capital-asset-management-llc-darien-ct-317930", "city": "Darien", "state": "CT", "years_registered": 4, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 163569, "name": "Private Capital Strategies, LLC", "name_as_filed": "PRIVATE CAPITAL STRATEGIES, LLC", "url": "https://advisorcensus.com/firm/private-capital-strategies-llc-darien-ct-163569", "city": "Darien", "state": "CT", "years_registered": 4, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 288239, "name": "Procyon", "name_as_filed": "PROCYON", "url": "https://advisorcensus.com/firm/procyon-shelton-ct-288239", "city": "Shelton", "state": "CT", "years_registered": 9, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 111791, "name": "Prodeo Financial Services", "name_as_filed": "PRODEO FINANCIAL SERVICES", "url": "https://advisorcensus.com/firm/prodeo-financial-services-111791", "city": null, "state": null, "years_registered": 24, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed" ], "enhanced": false }, { "crd_number": 127149, "name": "Professional Alliance Associates, LLC", "name_as_filed": "PROFESSIONAL ALLIANCE ASSOCIATES, LLC", "url": "https://advisorcensus.com/firm/professional-alliance-associates-llc-madison-ct-127149", "city": "Madison", "state": "CT", "years_registered": 25, "raum_band": "not_reported", "compensation_types": [ "other" ], "enhanced": false }, { "crd_number": 330502, "name": "Promesa Capital LLC", "name_as_filed": "PROMESA CAPITAL LLC", "url": "https://advisorcensus.com/firm/promesa-capital-llc-guilford-ct-330502", "city": "Guilford", "state": "CT", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 165441, "name": "Proprium Capital Partners, L.P.", "name_as_filed": "PROPRIUM CAPITAL PARTNERS, L.P.", "url": "https://advisorcensus.com/firm/proprium-capital-partners-l-p-stamford-ct-165441", "city": "Stamford", "state": "CT", "years_registered": 13, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 328819, "name": "Prosophia Advisors, LLC", "name_as_filed": "PROSOPHIA ADVISORS, LLC", "url": "https://advisorcensus.com/firm/prosophia-advisors-llc-darien-ct-328819", "city": "Darien", "state": "CT", "years_registered": 2, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 155337, "name": "Prospect Advisors, LLC", "name_as_filed": "PROSPECT ADVISORS, LLC", "url": "https://advisorcensus.com/firm/prospect-advisors-llc-155337", "city": null, "state": null, "years_registered": 15, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 166523, "name": "Prostar Capital (US) LLC", "name_as_filed": "PROSTAR CAPITAL (US) LLC", "url": "https://advisorcensus.com/firm/prostar-capital-us-llc-greenwich-ct-166523", "city": "Greenwich", "state": "CT", "years_registered": 12, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 285568, "name": "Proyash Capital Management", "name_as_filed": "PROYASH CAPITAL MANAGEMENT", "url": "https://advisorcensus.com/firm/proyash-capital-management-285568", "city": null, "state": null, "years_registered": 9, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 333134, "name": "QA Capital LLC", "name_as_filed": "QA CAPITAL LLC", "url": "https://advisorcensus.com/firm/qa-capital-llc-westport-ct-333134", "city": "Westport", "state": "CT", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 294879, "name": "QP Global Family Offices, LLC", "name_as_filed": "QP GLOBAL FAMILY OFFICES, LLC", "url": "https://advisorcensus.com/firm/qp-global-family-offices-llc-greenwich-ct-294879", "city": "Greenwich", "state": "CT", "years_registered": 8, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 172768, "name": "Quadratic Capital Management LLC", "name_as_filed": "QUADRATIC CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/quadratic-capital-management-llc-greenwich-ct-172768", "city": "Greenwich", "state": "CT", "years_registered": 11, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 313010, "name": "Quanta Energy Management", "name_as_filed": "QUANTA ENERGY MANAGEMENT", "url": "https://advisorcensus.com/firm/quanta-energy-management-greenwich-ct-313010", "city": "Greenwich", "state": "CT", "years_registered": 2, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 317784, "name": "Quantix Commodities LP", "name_as_filed": "QUANTIX COMMODITIES LP", "url": "https://advisorcensus.com/firm/quantix-commodities-lp-greenwich-ct-317784", "city": "Greenwich", "state": "CT", "years_registered": 4, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 323719, "name": "Quantum Capital Management", "name_as_filed": "QUANTUM CAPITAL MANAGEMENT", "url": "https://advisorcensus.com/firm/quantum-capital-management-new-haven-ct-323719", "city": "New Haven", 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"firm_count": 188 } ] }, "csv": "https://advisorcensus.com/advisors/ct.csv", "source": { "name": "Form ADV", "as_of": "2026-10-01", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }