# Financial advisors in Connecticut

> 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.

Source: Form ADV filings as of October 2026. Rebuilt monthly. HTML page: https://advisorcensus.com/advisors/ct/page/16

## At a glance

- Investment advisory firms: 963
- Registration: SEC-registered investment adviser: 515, State-registered investment adviser: 263, Exempt reporting adviser: 185
- How firms are compensated (Form ADV Item 5.E; shares of the firms that file it): Fee-only (AdvisorCensus test) 199 (26%); Percentage of assets 704 (90%); Hourly charges 188 (24%); Subscription fees (newsletter or periodical) 9 (1%); Fixed fees 269 (35%); Commissions 9 (1%); Performance-based fees 344 (44%); Other 133 (17%); No compensation arrangements reported 185
- Regulatory assets under management (Item 5.F): Under $25 million 143 (15%); $25 million to $100 million 79 (8%); $100 million to $500 million 187 (19%); $500 million to $1 billion 83 (9%); $1 billion to $5 billion 139 (14%); Over $5 billion 88 (9%); Not reported 244 (25%)
- Years registered: Under 5 years 376 (39%); 5 to 9 years 174 (18%); 10 to 19 years 231 (24%); 20 years or more 172 (18%); Not reported 10 (1%)

## Firms (page 16 of 20, 751 to 800 of 963, sorted by name)

| Firm | CRD | City | Registration | Assets band | Years registered | Compensation |
| --- | --- | --- | --- | --- | --- | --- |
| [Scholtz & Company, LLC](https://advisorcensus.com/firm/scholtz-and-company-llc-stamford-ct-107363) ([md](https://advisorcensus.com/firm/scholtz-and-company-llc-stamford-ct-107363.md)) | 107363 | Stamford, CT | SEC-registered investment adviser | $100 million to $500 million | 13 | % of assets, Fixed fee |
| [Science & Technology Partners, L.P.](https://advisorcensus.com/firm/science-and-technology-partners-l-p-greenwich-ct-331267) ([md](https://advisorcensus.com/firm/science-and-technology-partners-l-p-greenwich-ct-331267.md)) | 331267 | Greenwich, CT | SEC-registered investment adviser | $100 million to $500 million | 2 | % of assets, Performance fee |
| [Scott Capital Partners](https://advisorcensus.com/firm/scott-capital-partners-darien-ct-166358) ([md](https://advisorcensus.com/firm/scott-capital-partners-darien-ct-166358.md)) | 166358 | Darien, CT | State-registered investment adviser | $25 million to $100 million | 8 | Performance fee, Other |
| [Scott, Ralph Upton](https://advisorcensus.com/firm/scott-ralph-upton-128237) ([md](https://advisorcensus.com/firm/scott-ralph-upton-128237.md)) | 128237 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 9 | % of assets |
| [Searle & Co.](https://advisorcensus.com/firm/searle-and-co-greenwich-ct-13035) ([md](https://advisorcensus.com/firm/searle-and-co-greenwich-ct-13035.md)) | 13035 | Greenwich, CT | SEC-registered investment adviser | $500 million to $1 billion | 18 | % of assets, Commissions |
| [Securities Industry Management Corp.](https://advisorcensus.com/firm/securities-industry-management-corp-19789) ([md](https://advisorcensus.com/firm/securities-industry-management-corp-19789.md)) | 19789 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 29 | % of assets |
| [Seneca Wealth Advisors, LLC](https://advisorcensus.com/firm/seneca-wealth-advisors-llc-westport-ct-330699) ([md](https://advisorcensus.com/firm/seneca-wealth-advisors-llc-westport-ct-330699.md)) | 330699 | Westport, CT | State-registered investment adviser | Under $25 million | 2 | % of assets, Fixed fee |
| [Sentinel Alternative Asset Management, LLC](https://advisorcensus.com/firm/sentinel-alternative-asset-management-llc-old-greenwich-ct-162233) ([md](https://advisorcensus.com/firm/sentinel-alternative-asset-management-llc-old-greenwich-ct-162233.md)) | 162233 | Old Greenwich, CT | Exempt reporting adviser | Not reported | 0 | Not reported |
| [Sentinel Asset Management, LLC](https://advisorcensus.com/firm/sentinel-asset-management-llc-wallingford-ct-302082) ([md](https://advisorcensus.com/firm/sentinel-asset-management-llc-wallingford-ct-302082.md)) | 302082 | Wallingford, CT | State-registered investment adviser | $25 million to $100 million | 7 | % of assets, Hourly, Fixed fee |
| [Seva Funds, LLC](https://advisorcensus.com/firm/seva-funds-llc-335010) ([md](https://advisorcensus.com/firm/seva-funds-llc-335010.md)) | 335010 | Not reported, Not reported | State-registered investment adviser | $25 million to $100 million | 0 | % of assets, Performance fee |
| [Shaffer Asset Management, Inc.](https://advisorcensus.com/firm/shaffer-asset-management-inc-113383) ([md](https://advisorcensus.com/firm/shaffer-asset-management-inc-113383.md)) | 113383 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 20 | % of assets, Other |
| [Shearman, Ralston Inc.](https://advisorcensus.com/firm/shearman-ralston-inc-greenwich-ct-7320) ([md](https://advisorcensus.com/firm/shearman-ralston-inc-greenwich-ct-7320.md)) | 7320 | Greenwich, CT | State-registered investment adviser | $25 million to $100 million | 8 | % of assets |
| [Shehu Asset Management, LLC](https://advisorcensus.com/firm/shehu-asset-management-llc-southbury-ct-311138) ([md](https://advisorcensus.com/firm/shehu-asset-management-llc-southbury-ct-311138.md)) | 311138 | Southbury, CT | State-registered investment adviser | Under $25 million | 5 | % of assets |
| [Shelter Growth Capital Partners LLC](https://advisorcensus.com/firm/shelter-growth-capital-partners-llc-stamford-ct-170685) ([md](https://advisorcensus.com/firm/shelter-growth-capital-partners-llc-stamford-ct-170685.md)) | 170685 | Stamford, CT | SEC-registered investment adviser | $1 billion to $5 billion | 11 | % of assets, Performance fee |
| [Shine Financial Services, LLC](https://advisorcensus.com/firm/shine-financial-services-llc-144622) ([md](https://advisorcensus.com/firm/shine-financial-services-llc-144622.md)) | 144622 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 19 | % of assets, Hourly, Performance fee, Other |
| [Sightline Wealth Advisors, LLC](https://advisorcensus.com/firm/sightline-wealth-advisors-llc-groton-ct-176520) ([md](https://advisorcensus.com/firm/sightline-wealth-advisors-llc-groton-ct-176520.md)) | 176520 | Groton, CT | SEC-registered investment adviser | $100 million to $500 million | 11 | % of assets, Hourly, Fixed fee |
| [Signal Lake General Partner LLC](https://advisorcensus.com/firm/signal-lake-general-partner-llc-westport-ct-285438) ([md](https://advisorcensus.com/firm/signal-lake-general-partner-llc-westport-ct-285438.md)) | 285438 | Westport, CT | Exempt reporting adviser | Not reported | 0 | Not reported |
| [Silver Heights Capital LLC](https://advisorcensus.com/firm/silver-heights-capital-llc-south-norwalk-ct-321887) ([md](https://advisorcensus.com/firm/silver-heights-capital-llc-south-norwalk-ct-321887.md)) | 321887 | South Norwalk, CT | Exempt reporting adviser | Not reported | 0 | Not reported |
| [Silver Point Capital, L.P.](https://advisorcensus.com/firm/silver-point-capital-l-p-greenwich-ct-157738) ([md](https://advisorcensus.com/firm/silver-point-capital-l-p-greenwich-ct-157738.md)) | 157738 | Greenwich, CT | SEC-registered investment adviser | Over $5 billion | 14 | % of assets, Performance fee |
| [Silver Point Private Credit Fund Management, LLC](https://advisorcensus.com/firm/silver-point-private-credit-fund-management-llc-greenwich-ct-332374) ([md](https://advisorcensus.com/firm/silver-point-private-credit-fund-management-llc-greenwich-ct-332374.md)) | 332374 | Greenwich, CT | SEC-registered investment adviser | $100 million to $500 million | 0 | % of assets, Performance fee |
| [Silver Point Specialty Credit Fund Management, LLC](https://advisorcensus.com/firm/silver-point-specialty-credit-fund-management-llc-greenwich-ct-317225) ([md](https://advisorcensus.com/firm/silver-point-specialty-credit-fund-management-llc-greenwich-ct-317225.md)) | 317225 | Greenwich, CT | SEC-registered investment adviser | $1 billion to $5 billion | 4 | % of assets, Performance fee |
| [Silver Tiger Advisors](https://advisorcensus.com/firm/silver-tiger-advisors-305189) ([md](https://advisorcensus.com/firm/silver-tiger-advisors-305189.md)) | 305189 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 7 | % of assets, Fixed fee, Performance fee |
| [Silversea Capital, LLC](https://advisorcensus.com/firm/silversea-capital-llc-318331) ([md](https://advisorcensus.com/firm/silversea-capital-llc-318331.md)) | 318331 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 4 | % of assets, Fixed fee |
| [Siri Capital Advisors LLC](https://advisorcensus.com/firm/siri-capital-advisors-llc-wilton-ct-170778) ([md](https://advisorcensus.com/firm/siri-capital-advisors-llc-wilton-ct-170778.md)) | 170778 | Wilton, CT | Exempt reporting adviser | Not reported | 0 | Not reported |
| [SKM Wealth Management, LLC](https://advisorcensus.com/firm/skm-wealth-management-llc-337373) ([md](https://advisorcensus.com/firm/skm-wealth-management-llc-337373.md)) | 337373 | Not reported, Not reported | State-registered investment adviser | $25 million to $100 million | 0 | % of assets, Hourly |
| [Sky Investment Group LLC](https://advisorcensus.com/firm/sky-investment-group-llc-hartford-ct-134001) ([md](https://advisorcensus.com/firm/sky-investment-group-llc-hartford-ct-134001.md)) | 134001 | Hartford, CT | SEC-registered investment adviser | $500 million to $1 billion | 21 | % of assets |
| [Skyview SV2 Management, LLC](https://advisorcensus.com/firm/skyview-sv2-management-llc-greenwich-ct-319067) ([md](https://advisorcensus.com/firm/skyview-sv2-management-llc-greenwich-ct-319067.md)) | 319067 | Greenwich, CT | Exempt reporting adviser | Not reported | 4 | Not reported |
| [Sladek & Witek, LLP](https://advisorcensus.com/firm/sladek-and-witek-llp-trumbull-ct-127247) ([md](https://advisorcensus.com/firm/sladek-and-witek-llp-trumbull-ct-127247.md)) | 127247 | Trumbull, CT | State-registered investment adviser | $25 million to $100 million | 25 | % of assets, Hourly, Other |
| [Smarter Way Wealth](https://advisorcensus.com/firm/smarter-way-wealth-342140) ([md](https://advisorcensus.com/firm/smarter-way-wealth-342140.md)) | 342140 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 0 | Fixed fee |
| [Smith Brothers Financial, LLC](https://advisorcensus.com/firm/smith-brothers-financial-llc-glastonbury-ct-322951) ([md](https://advisorcensus.com/firm/smith-brothers-financial-llc-glastonbury-ct-322951.md)) | 322951 | Glastonbury, CT | SEC-registered investment adviser | $1 billion to $5 billion | 4 | % of assets, Fixed fee |
| [Soaring Capital Management, LLC](https://advisorcensus.com/firm/soaring-capital-management-llc-308942) ([md](https://advisorcensus.com/firm/soaring-capital-management-llc-308942.md)) | 308942 | Not reported, Not reported | State-registered investment adviser | $25 million to $100 million | 6 | % of assets |
| [Solas Capital Management, LLC](https://advisorcensus.com/firm/solas-capital-management-llc-darien-ct-159962) ([md](https://advisorcensus.com/firm/solas-capital-management-llc-darien-ct-159962.md)) | 159962 | Darien, CT | SEC-registered investment adviser | $500 million to $1 billion | 14 | % of assets, Performance fee |
| [Soleus Capital Management, L.P.](https://advisorcensus.com/firm/soleus-capital-management-l-p-greenwich-ct-294459) ([md](https://advisorcensus.com/firm/soleus-capital-management-l-p-greenwich-ct-294459.md)) | 294459 | Greenwich, CT | SEC-registered investment adviser | $1 billion to $5 billion | 6 | % of assets, Performance fee |
| [Somnio Financial Group, LLC](https://advisorcensus.com/firm/somnio-financial-group-llc-glastonbury-ct-174217) ([md](https://advisorcensus.com/firm/somnio-financial-group-llc-glastonbury-ct-174217.md)) | 174217 | Glastonbury, CT | SEC-registered investment adviser | $100 million to $500 million | 2 | % of assets, Fixed fee |
| [Sound Financial Management, LLC](https://advisorcensus.com/firm/sound-financial-management-llc-132088) ([md](https://advisorcensus.com/firm/sound-financial-management-llc-132088.md)) | 132088 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 21 | Fixed fee |
| [Sound Mark Partners, LLC](https://advisorcensus.com/firm/sound-mark-partners-llc-greenwich-ct-169037) ([md](https://advisorcensus.com/firm/sound-mark-partners-llc-greenwich-ct-169037.md)) | 169037 | Greenwich, CT | SEC-registered investment adviser | $100 million to $500 million | 13 | % of assets, Performance fee |
| [Sound Portfolio Advisors, LLC](https://advisorcensus.com/firm/sound-portfolio-advisors-llc-mystic-ct-125511) ([md](https://advisorcensus.com/firm/sound-portfolio-advisors-llc-mystic-ct-125511.md)) | 125511 | Mystic, CT | SEC-registered investment adviser | $100 million to $500 million | 5 | % of assets |
| [Sound Shore Management Inc](https://advisorcensus.com/firm/sound-shore-management-inc-greenwich-ct-112379) ([md](https://advisorcensus.com/firm/sound-shore-management-inc-greenwich-ct-112379.md)) | 112379 | Greenwich, CT | SEC-registered investment adviser | $1 billion to $5 billion | 48 | % of assets |
| [Soundview Private Wealth Advisors](https://advisorcensus.com/firm/soundview-private-wealth-advisors-cheshire-ct-340845) ([md](https://advisorcensus.com/firm/soundview-private-wealth-advisors-cheshire-ct-340845.md)) | 340845 | Cheshire, CT | State-registered investment adviser | $25 million to $100 million | 0 | % of assets |
| [Southfield Capital LP](https://advisorcensus.com/firm/southfield-capital-lp-greenwich-ct-163023) ([md](https://advisorcensus.com/firm/southfield-capital-lp-greenwich-ct-163023.md)) | 163023 | Greenwich, CT | SEC-registered investment adviser | $1 billion to $5 billion | 8 | % of assets, Performance fee |
| [Southport Station Financial Management, LLC](https://advisorcensus.com/firm/southport-station-financial-management-llc-southport-ct-146270) ([md](https://advisorcensus.com/firm/southport-station-financial-management-llc-southport-ct-146270.md)) | 146270 | Southport, CT | SEC-registered investment adviser | $100 million to $500 million | 18 | % of assets, Hourly, Fixed fee |
| [Sovereign Financial Group, Inc.](https://advisorcensus.com/firm/sovereign-financial-group-inc-stamford-ct-294314) ([md](https://advisorcensus.com/firm/sovereign-financial-group-inc-stamford-ct-294314.md)) | 294314 | Stamford, CT | SEC-registered investment adviser | $1 billion to $5 billion | 7 | % of assets, Hourly, Fixed fee |
| [Sovereign Financial Services](https://advisorcensus.com/firm/sovereign-financial-services-rocky-hill-ct-127151) ([md](https://advisorcensus.com/firm/sovereign-financial-services-rocky-hill-ct-127151.md)) | 127151 | Rocky Hill, CT | State-registered investment adviser | $25 million to $100 million | 23 | % of assets, Hourly, Fixed fee |
| [Spectrum Asset Management, Inc.](https://advisorcensus.com/firm/spectrum-asset-management-inc-stamford-ct-300463) ([md](https://advisorcensus.com/firm/spectrum-asset-management-inc-stamford-ct-300463.md)) | 300463 | Stamford, CT | SEC-registered investment adviser | Over $5 billion | 39 | % of assets |
| [Spectrum Financial Strategies Inc](https://advisorcensus.com/firm/spectrum-financial-strategies-inc-hamden-ct-106419) ([md](https://advisorcensus.com/firm/spectrum-financial-strategies-inc-hamden-ct-106419.md)) | 106419 | Hamden, CT | State-registered investment adviser | Not reported | 14 | Hourly, Fixed fee, Other |
| [Spencer Trask & Co.](https://advisorcensus.com/firm/spencer-trask-and-co-greenwich-ct-165188) ([md](https://advisorcensus.com/firm/spencer-trask-and-co-greenwich-ct-165188.md)) | 165188 | Greenwich, CT | Exempt reporting adviser | Not reported | 0 | Not reported |
| [Spice Expeditions, LP](https://advisorcensus.com/firm/spice-expeditions-lp-westport-ct-333626) ([md](https://advisorcensus.com/firm/spice-expeditions-lp-westport-ct-333626.md)) | 333626 | Westport, CT | SEC-registered investment adviser | $100 million to $500 million | 0 | % of assets, Performance fee |
| [Spivak Asset Management, LLC](https://advisorcensus.com/firm/spivak-asset-management-llc-avon-ct-125714) ([md](https://advisorcensus.com/firm/spivak-asset-management-llc-avon-ct-125714.md)) | 125714 | Avon, CT | SEC-registered investment adviser | $100 million to $500 million | 11 | % of assets |
| [Split Spectrum Management, LLC](https://advisorcensus.com/firm/split-spectrum-management-llc-greenwich-ct-288472) ([md](https://advisorcensus.com/firm/split-spectrum-management-llc-greenwich-ct-288472.md)) | 288472 | Greenwich, CT | Exempt reporting adviser | Not reported | 0 | Not reported |
| [Spree Capital Advisers](https://advisorcensus.com/firm/spree-capital-advisers-darien-ct-299067) ([md](https://advisorcensus.com/firm/spree-capital-advisers-darien-ct-299067.md)) | 299067 | Darien, CT | State-registered investment adviser | Under $25 million | 7 | % of assets, Performance fee |

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## Questions people ask

**How many financial advisory firms are there in Connecticut?**
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.

**How many fee-only financial advisors are in Connecticut?**
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.

**How many financial advisors in Connecticut offer financial planning?**
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.

**Are the financial advisors in Connecticut fiduciaries?**
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.

**How do I check whether a financial advisor has disciplinary disclosures?**
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.

**Does AdvisorCensus rate, verify, or recommend these firms?**
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.

**What does regulatory assets under management mean?**
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.

## Related pages

- [Financial advisors in Connecticut](https://advisorcensus.com/advisors/ct) (https://advisorcensus.com/advisors/ct.md)
- [Fee-only financial advisors in Connecticut](https://advisorcensus.com/advisors/ct/fee-only) (https://advisorcensus.com/advisors/ct/fee-only.md)
- [Flat-fee financial advisors in Connecticut](https://advisorcensus.com/advisors/ct/flat-fee) (https://advisorcensus.com/advisors/ct/flat-fee.md)
- [Hourly financial advisors in Connecticut](https://advisorcensus.com/advisors/ct/hourly) (https://advisorcensus.com/advisors/ct/hourly.md)

Every firm in this list as CSV: https://advisorcensus.com/advisors/ct.csv

Cite as: AdvisorCensus. Financial advisors in Connecticut: 963 firms from Form ADV filings as of October 2026.