# Brae Head, Inc.

> Brae Head, Inc. is a state-registered investment advisory firm in Essex, CT, registered since 1997, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 17, 2026.

- CRD: 129265
- Filed as: BRAE HEAD, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Essex, CT
- Filing period: October 2026
- Form ADV filing dated: March 17, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/129265
- AdvisorCensus page: https://advisorcensus.com/firm/brae-head-inc-essex-ct-129265

## Quick answers

**How is Brae Head, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Brae Head, Inc. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Brae Head, Inc. located?**
Brae Head, Inc.'s principal office is in Essex, CT, according to its Form ADV.

**Is Brae Head, Inc. registered with the SEC or a state?**
Brae Head, Inc. is a state-registered investment advisory firm, registered since 1997. Status as filed: APPROVED. CRD 129265.

**How much does Brae Head, Inc. manage?**
Brae Head, Inc. reports $90,582,780 in regulatory assets under management in its Form ADV filing dated March 17, 2026 (99% discretionary).

**What types of clients does Brae Head, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (25); high net worth individuals (22); pension and profit sharing plans (but not the plan participants or government pension plans) (2).

**Does Brae Head, Inc. report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/129265

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $90,582,780
- Discretionary: $89,320,823
- Non-discretionary: $1,261,957

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 25 | $13,127,690 |
| High net worth individuals | 22 | $69,866,224 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 2 | $7,549,744 |
| Charitable organizations | 1 | $39,122 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services

### Firm details
- Registered since: 1997 (29 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT, MA
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/129265

### Websites listed on Form ADV (Item 1.I)
- braehead.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Brae Head, Inc. (CRD 129265): Form ADV filing data as of October 2026.