# Financial advisors in Waterbury, CT

> AdvisorCensus lists 33 investment advisory firms with a principal office in the Waterbury 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.

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

## At a glance

- Investment advisory firms: 33
- Registration: SEC-registered investment adviser: 20, State-registered investment adviser: 12, Exempt reporting adviser: 1
- How firms are compensated (Form ADV Item 5.E; shares of the firms that file it): Fee-only (AdvisorCensus test) 13 (41%); Percentage of assets 31 (97%); Hourly charges 15 (47%); Subscription fees (newsletter or periodical) 1 (3%); Fixed fees 19 (59%); Performance-based fees 1 (3%); Other 3 (9%); No compensation arrangements reported 1
- Regulatory assets under management (Item 5.F): Under $25 million 10 (30%); $25 million to $100 million 4 (12%); $100 million to $500 million 10 (30%); $500 million to $1 billion 3 (9%); $1 billion to $5 billion 1 (3%); Over $5 billion 3 (9%); Not reported 2 (6%)
- Years registered: Under 5 years 12 (36%); 5 to 9 years 8 (24%); 10 to 19 years 3 (9%); 20 years or more 10 (30%)

## Firms (page 1 of 1, 1 to 33 of 33, sorted by name)

| Firm | CRD | City | Registration | Assets band | Years registered | Compensation |
| --- | --- | --- | --- | --- | --- | --- |
| [AST Investment Services, Inc.](https://advisorcensus.com/firm/ast-investment-services-inc-shelton-ct-108897) ([md](https://advisorcensus.com/firm/ast-investment-services-inc-shelton-ct-108897.md)) | 108897 | Shelton, CT | SEC-registered investment adviser | Over $5 billion | 34 | % of assets |
| [Bridgelight Financial Advisors, Inc](https://advisorcensus.com/firm/bridgelight-financial-advisors-inc-shelton-ct-139518) ([md](https://advisorcensus.com/firm/bridgelight-financial-advisors-inc-shelton-ct-139518.md)) | 139518 | Shelton, CT | SEC-registered investment adviser | $100 million to $500 million | 1 | % of assets, Hourly |
| [Burne Financial Concepts, LLC](https://advisorcensus.com/firm/burne-financial-concepts-llc-watertown-ct-293013) ([md](https://advisorcensus.com/firm/burne-financial-concepts-llc-watertown-ct-293013.md)) | 293013 | Watertown, CT | SEC-registered investment adviser | $100 million to $500 million | 1 | % of assets, Hourly |
| [Charter Oak Asset Management, Inc.](https://advisorcensus.com/firm/charter-oak-asset-management-inc-cheshire-ct-27823) ([md](https://advisorcensus.com/firm/charter-oak-asset-management-inc-cheshire-ct-27823.md)) | 27823 | Cheshire, CT | State-registered investment adviser | $25 million to $100 million | 17 | % of assets, Hourly |
| [Constitution Investment Advisory and Portfolio Management](https://advisorcensus.com/firm/constitution-investment-advisory-and-portfolio-management-shelton-ct-310378) ([md](https://advisorcensus.com/firm/constitution-investment-advisory-and-portfolio-management-shelton-ct-310378.md)) | 310378 | Shelton, CT | SEC-registered investment adviser | $100 million to $500 million | 6 | % of assets |
| [Continental Nine Financial Management, LLC](https://advisorcensus.com/firm/continental-nine-financial-management-llc-waterbury-ct-125638) ([md](https://advisorcensus.com/firm/continental-nine-financial-management-llc-waterbury-ct-125638.md)) | 125638 | Waterbury, CT | State-registered investment adviser | Under $25 million | 37 | % of assets, Hourly, Fixed fee, Performance fee |
| [Cooper Financial Services, Inc.](https://advisorcensus.com/firm/cooper-financial-services-inc-shelton-ct-104671) ([md](https://advisorcensus.com/firm/cooper-financial-services-inc-shelton-ct-104671.md)) | 104671 | Shelton, CT | SEC-registered investment adviser | $100 million to $500 million | 41 | % of assets |
| [Eagle Capital Advisors, LLC](https://advisorcensus.com/firm/eagle-capital-advisors-llc-middlebury-ct-173730) ([md](https://advisorcensus.com/firm/eagle-capital-advisors-llc-middlebury-ct-173730.md)) | 173730 | Middlebury, CT | SEC-registered investment adviser | $100 million to $500 million | 0 | % of assets |
| [Farmingbury Financial Services, LLC](https://advisorcensus.com/firm/farmingbury-financial-services-llc-wolcott-ct-127323) ([md](https://advisorcensus.com/firm/farmingbury-financial-services-llc-wolcott-ct-127323.md)) | 127323 | Wolcott, CT | State-registered investment adviser | Under $25 million | 27 | % of assets, Fixed fee, Other |
| [Fortress Financial Management](https://advisorcensus.com/firm/fortress-financial-management-shelton-ct-340068) ([md](https://advisorcensus.com/firm/fortress-financial-management-shelton-ct-340068.md)) | 340068 | Shelton, CT | State-registered investment adviser | Under $25 million | 0 | % of assets, Hourly, Fixed fee |
| [Ganim Private Wealth](https://advisorcensus.com/firm/ganim-private-wealth-shelton-ct-285679) ([md](https://advisorcensus.com/firm/ganim-private-wealth-shelton-ct-285679.md)) | 285679 | Shelton, CT | SEC-registered investment adviser | $100 million to $500 million | 5 | % of assets, Hourly, Fixed fee |
| [Innovative Asset Advisors Group](https://advisorcensus.com/firm/innovative-asset-advisors-group-shelton-ct-336773) ([md](https://advisorcensus.com/firm/innovative-asset-advisors-group-shelton-ct-336773.md)) | 336773 | Shelton, CT | SEC-registered investment adviser | $100 million to $500 million | 1 | % of assets, Hourly, Fixed fee |
| [Innovative Asset Management Group, LLC](https://advisorcensus.com/firm/innovative-asset-management-group-llc-shelton-ct-340029) ([md](https://advisorcensus.com/firm/innovative-asset-management-group-llc-shelton-ct-340029.md)) | 340029 | Shelton, CT | Exempt reporting adviser | Not reported | 0 | Not reported |
| [Investmark Advisory Group LLC](https://advisorcensus.com/firm/investmark-advisory-group-llc-shelton-ct-121060) ([md](https://advisorcensus.com/firm/investmark-advisory-group-llc-shelton-ct-121060.md)) | 121060 | Shelton, CT | SEC-registered investment adviser | $500 million to $1 billion | 14 | % of assets, Hourly, Fixed fee |
| [Kennedy Wealth & Tax Management, LLC](https://advisorcensus.com/firm/kennedy-wealth-and-tax-management-llc-southbury-ct-172394) ([md](https://advisorcensus.com/firm/kennedy-wealth-and-tax-management-llc-southbury-ct-172394.md)) | 172394 | Southbury, CT | SEC-registered investment adviser | $100 million to $500 million | 8 | % of assets, Hourly, Fixed fee |
| [Myfinancialpro, LLC](https://advisorcensus.com/firm/myfinancialpro-llc-shelton-ct-136724) ([md](https://advisorcensus.com/firm/myfinancialpro-llc-shelton-ct-136724.md)) | 136724 | Shelton, CT | State-registered investment adviser | $25 million to $100 million | 21 | % of assets, Hourly |
| [New England Capital Financial Advisors LLC](https://advisorcensus.com/firm/new-england-capital-financial-advisors-llc-cheshire-ct-109203) ([md](https://advisorcensus.com/firm/new-england-capital-financial-advisors-llc-cheshire-ct-109203.md)) | 109203 | Cheshire, CT | SEC-registered investment adviser | $500 million to $1 billion | 26 | % of assets, Hourly, Fixed fee |
| [Newday](https://advisorcensus.com/firm/newday-southbury-ct-174758) ([md](https://advisorcensus.com/firm/newday-southbury-ct-174758.md)) | 174758 | Southbury, CT | SEC-registered investment adviser | Under $25 million | 8 | % of assets |
| [Pentegra Investors, Inc.](https://advisorcensus.com/firm/pentegra-investors-inc-shelton-ct-111503) ([md](https://advisorcensus.com/firm/pentegra-investors-inc-shelton-ct-111503.md)) | 111503 | Shelton, CT | SEC-registered investment adviser | Over $5 billion | 36 | % of assets, Fixed fee |
| [Procyon](https://advisorcensus.com/firm/procyon-shelton-ct-288239) ([md](https://advisorcensus.com/firm/procyon-shelton-ct-288239.md)) | 288239 | Shelton, CT | SEC-registered investment adviser | Over $5 billion | 9 | % of assets, Hourly, Fixed fee |
| [Rioux & Company, LLC](https://advisorcensus.com/firm/rioux-and-company-llc-bristol-ct-42043) ([md](https://advisorcensus.com/firm/rioux-and-company-llc-bristol-ct-42043.md)) | 42043 | Bristol, CT | State-registered investment adviser | Under $25 million | 13 | % of assets, Hourly, Fixed fee |
| [Ronald J. Iannucci CFP](https://advisorcensus.com/firm/ronald-j-iannucci-cfp-woodbury-ct-298181) ([md](https://advisorcensus.com/firm/ronald-j-iannucci-cfp-woodbury-ct-298181.md)) | 298181 | Woodbury, CT | State-registered investment adviser | Under $25 million | 7 | % of assets, Fixed fee |
| [Rosales Wealth Group LLC](https://advisorcensus.com/firm/rosales-wealth-group-llc-shelton-ct-339652) ([md](https://advisorcensus.com/firm/rosales-wealth-group-llc-shelton-ct-339652.md)) | 339652 | Shelton, CT | State-registered investment adviser | Under $25 million | 0 | % of assets, Fixed fee |
| [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 |
| [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 |
| [Springboard Asset Management LLC](https://advisorcensus.com/firm/springboard-asset-management-llc-cheshire-ct-154862) ([md](https://advisorcensus.com/firm/springboard-asset-management-llc-cheshire-ct-154862.md)) | 154862 | Cheshire, CT | SEC-registered investment adviser | $100 million to $500 million | 4 | % of assets, Fixed fee |
| [Stone Wall Money Management LLC](https://advisorcensus.com/firm/stone-wall-money-management-llc-shelton-ct-331409) ([md](https://advisorcensus.com/firm/stone-wall-money-management-llc-shelton-ct-331409.md)) | 331409 | Shelton, CT | State-registered investment adviser | Under $25 million | 2 | % of assets |
| [Sumus Financial LLC](https://advisorcensus.com/firm/sumus-financial-llc-shelton-ct-340066) ([md](https://advisorcensus.com/firm/sumus-financial-llc-shelton-ct-340066.md)) | 340066 | Shelton, CT | State-registered investment adviser | Under $25 million | 0 | % of assets, Hourly, Fixed fee |
| [Swiss Finance Private Wealth Management LLC](https://advisorcensus.com/firm/swiss-finance-private-wealth-management-llc-southbury-ct-342936) ([md](https://advisorcensus.com/firm/swiss-finance-private-wealth-management-llc-southbury-ct-342936.md)) | 342936 | Southbury, CT | SEC-registered investment adviser | $100 million to $500 million | 0 | % of assets, Fixed fee |
| [The Winthrop Corporation](https://advisorcensus.com/firm/the-winthrop-corporation-shelton-ct-105273) ([md](https://advisorcensus.com/firm/the-winthrop-corporation-shelton-ct-105273.md)) | 105273 | Shelton, CT | SEC-registered investment adviser | Not reported | 65 | Other |
| [William Joseph Capital Management, Inc.](https://advisorcensus.com/firm/william-joseph-capital-management-inc-bristol-ct-226535) ([md](https://advisorcensus.com/firm/william-joseph-capital-management-inc-bristol-ct-226535.md)) | 226535 | Bristol, CT | SEC-registered investment adviser | $500 million to $1 billion | 5 | % of assets, Hourly, Fixed fee, Other |
| [Wright Investors Service Inc](https://advisorcensus.com/firm/wright-investors-service-inc-shelton-ct-106302) ([md](https://advisorcensus.com/firm/wright-investors-service-inc-shelton-ct-106302.md)) | 106302 | Shelton, CT | SEC-registered investment adviser | $1 billion to $5 billion | 30 | % of assets, Subscription, Fixed fee |
| [Wright Private Asset Management LLC](https://advisorcensus.com/firm/wright-private-asset-management-llc-shelton-ct-139570) ([md](https://advisorcensus.com/firm/wright-private-asset-management-llc-shelton-ct-139570.md)) | 139570 | Shelton, CT | SEC-registered investment adviser | $25 million to $100 million | 20 | % of assets, Fixed fee |

## Questions people ask

**How many financial advisory firms are there in Waterbury, CT?**
AdvisorCensus lists 33 investment advisory firms with a principal office in the Waterbury metro area, from Form ADV filings as of October 2026: 20 SEC-registered, 12 state-registered, and 1 exempt reporting adviser. 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 Waterbury, CT?**
13 of the 33 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 Waterbury, CT offer financial planning?**
21 of the 32 firms in Waterbury, 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.

**Are the financial advisors in Waterbury, CT 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 13 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.

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

Cite as: AdvisorCensus. Financial advisors in Waterbury, CT: 33 firms from Form ADV filings as of October 2026.