{ "crd_number": 111614, "slug": "adviceone-advisory-services-llc-glastonbury-ct-111614", "primary_business_name": "ADVICEONE ADVISORY SERVICES, LLC", "legal_name": "ADVICEONE ADVISORY SERVICES, LLC", "dbas": [], "city": "Glastonbury", "state": "CT", "country": "United States", "cbsa_code": "25540", "metro": { "cbsa_code": "25540", "common_name": "Hartford", "msa_name": "Hartford-West Hartford-East Hartford, CT", "path": "/advisors/ct/hartford" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2003-06-10", "years_registered": 23, "period": "2026-10-01", "filing_date": "2026-07-17", "carried_forward": false, "raum_total": 2045736720.0, "raum_discretionary": 2045736720.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 56, "advisory_employees": 14, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 4092589.0, "count": null, "fewer_than_5": true }, "individuals": { "raum": 230854539.0, "count": 666 }, "high_net_worth_individuals": { "raum": 1810789592.0, "count": 783 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "AZ", "CA", "CO", "CT", "FL", "GA", "IA", "ID", "IL", "IN", "MA", "MD", "ME", "MO", "NC", "NH", "NJ", "NV", "NY", "OH", "OR", "PA", "RI", "SC", "TX", "VA" ], "websites": [ "https://adviceoneretirement.com", "https://linkedin.com/company/adviceone-llc", "https://youtube.com/@AdviceOneRetirement" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/111614", "city_as_filed": "GLASTONBURY", "url": "https://advisorcensus.com/firm/adviceone-advisory-services-llc-glastonbury-ct-111614", "display_name": "Adviceone Advisory Services, LLC", "summary": "Adviceone Advisory Services, LLC is an SEC-registered investment advisory firm in Glastonbury, CT, registered since 2003, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated July 17, 2026.", "citation": "AdvisorCensus. Adviceone Advisory Services, LLC (CRD 111614): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Adviceone Advisory Services, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Adviceone Advisory Services, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)." }, { "q": "What does Adviceone Advisory Services, LLC's brochure say about its fees?", "a": "Its Form ADV Part 2A brochure dated March 23, 2026 states: Asset-based fee: up to 2% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is Adviceone Advisory Services, LLC located?", "a": "Adviceone Advisory Services, LLC's principal office is in Glastonbury, CT, according to its Form ADV; the August 2026 filing also lists 3 other offices (Schedule D, Section 1.F)." }, { "q": "Is Adviceone Advisory Services, LLC registered with the SEC or a state?", "a": "Adviceone Advisory Services, LLC is an SEC-registered investment advisory firm, registered since 2003. Status as filed: Approved. CRD 111614." }, { "q": "How much does Adviceone Advisory Services, LLC manage?", "a": "Adviceone Advisory Services, LLC reports $2,045,736,720 in regulatory assets under management in its Form ADV filing dated July 17, 2026 (100% discretionary)." }, { "q": "How have Adviceone Advisory Services, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Adviceone Advisory Services, LLC: Regulatory assets under management: $1,074,024,830 in the October 2021 data and $2,045,736,720 in the October 2026 data, up 90%. Total employees: 36 in October 2021 and 56 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Adviceone Advisory Services, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (783); individuals (other than high net worth individuals) (666)." }, { "q": "Which custodians does Adviceone Advisory Services, LLC use?", "a": "Adviceone Advisory Services, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Pershing LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Adviceone Advisory Services, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/111614" }, { "q": "Does Adviceone Advisory Services, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 23, 2026 says: \"We require a minimum balance of $25,000 to open an account, although some accounts of lesser size may be accepted at our discretion.\"" }, { "q": "What changed in Adviceone Advisory Services, LLC's recent Form ADV filings?", "a": "In the August 2026 filing data: Registered or notice-filed in ID." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1074024830.0, "total_employees": 36, "filing_date": "2021-09-01" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1299488224.0, "total_employees": 44, "filing_date": "2022-09-27" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1147578487.0, "total_employees": 44, "filing_date": "2023-05-03" }, { "period": "2024-10-01", "regulatory_assets_under_management": 1371176097.0, "total_employees": 46, "filing_date": "2024-03-26" }, { "period": "2025-10-01", "regulatory_assets_under_management": 1662203424.0, "total_employees": 55, "filing_date": "2025-03-25" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2045736720.0, "total_employees": 56, "filing_date": "2026-07-17" } ], "recent_changes": [ { "period": "2026-08-01", "period_label": "August 2026", "notes": [ "Registered or notice-filed in ID." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 17 to 14.", "Regulatory assets under management went from $1,662,203,424 to $2,045,736,720 (+23%).", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 23, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": "2% of assets a year", "account_minimum": "$25,000", "account_minimum_may_be_waived": true, "minimum_annual_fee": null, "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: up to 2% of assets a year (the maximum the brochure states)" ], "quotes": [ "Portfolio management services described in Item 4 above, fees charged a maximum annual fee of 2.00% based on several factors, including the level of assets to be managed, the complexity of the services to be provided, and the overall relationship with us." ] }, { "label": "Account minimum", "statements": [ "Account minimum: $25,000 (the brochure says it may be waived or negotiated)" ], "quotes": [ "We require a minimum balance of $25,000 to open an account, although some accounts of lesser size may be accepted at our discretion." ] } ], "quotes": [ "Portfolio management services described in Item 4 above, fees charged a maximum annual fee of 2.00% based on several factors, including the level of assets to be managed, the complexity of the services to be provided, and the overall relationship with us.", "We require a minimum balance of $25,000 to open an account, although some accounts of lesser size may be accepted at our discretion." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Pershing LLC", "name_as_filed": "PERSHING LLC", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/adviceone-advisory-services-llc-glastonbury-ct-111614.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 666, "fewer_than_5": false, "raum": 230854539.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 783, "fewer_than_5": false, "raum": 1810789592.0 }, { "type": "charitable", "label": "Charitable organizations", "count": null, "fewer_than_5": true, "raum": 4092589.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/111614", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }