{ "crd_number": 142820, "slug": "greenwich-wealth-management-llc-greenwich-ct-142820", "primary_business_name": "GREENWICH WEALTH MANAGEMENT, LLC", "legal_name": "GREENWICH WEALTH MANAGEMENT LLC", "dbas": [], "city": "Greenwich", "state": "CT", "country": "United States", "cbsa_code": "14860", "metro": { "cbsa_code": "14860", "common_name": "Bridgeport", "msa_name": "Bridgeport-Stamford-Danbury, CT", "path": "/advisors/ct/bridgeport" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2008-03-20", "years_registered": 18, "period": "2026-10-01", "filing_date": "2026-07-28", "carried_forward": false, "raum_total": 3518612898.0, "raum_discretionary": 2884239380.0, "raum_non_discretionary": 634373518.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 13, "advisory_employees": 11, "client_count_bucket": null, "clients_by_type": { "charitable": { "raum": 73282590.0, "count": 10 }, "individuals": { "raum": 16016238.0, "count": 98 }, "pension_profit_sharing": { "raum": 35459193.0, "count": 6 }, "high_net_worth_individuals": { "raum": 2231818111.0, "count": 491 }, "corporations_other_businesses": { "raum": 1162036766.0, "count": 20 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "other", "pension_consulting", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": true, "disclosure_yes_count": 2, "states_registered": [ "CA", "CT", "FL", "MA", "NY", "PA", "TX" ], "websites": [ "https://greenwichwealth.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/142820", "disclosure_items": [ { "item": "11.D(2)", "question": "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?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" } ], "city_as_filed": "GREENWICH", "url": "https://advisorcensus.com/firm/greenwich-wealth-management-llc-greenwich-ct-142820", "display_name": "Greenwich Wealth Management, LLC", "summary": "Greenwich Wealth Management, LLC is an SEC-registered investment advisory firm in Greenwich, CT, registered since 2008, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated July 28, 2026.", "citation": "AdvisorCensus. Greenwich Wealth Management, LLC (CRD 142820): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Pension consulting services", "Selection of other advisers (including private fund managers)", "Other" ], "quick_answers": [ { "q": "How is Greenwich Wealth Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Greenwich Wealth Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "Where is Greenwich Wealth Management, LLC located?", "a": "Greenwich Wealth Management, LLC's principal office is in Greenwich, CT, according to its Form ADV; the August 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is Greenwich Wealth Management, LLC registered with the SEC or a state?", "a": "Greenwich Wealth Management, LLC is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 142820." }, { "q": "How much does Greenwich Wealth Management, LLC manage?", "a": "Greenwich Wealth Management, LLC reports $3,518,612,898 in regulatory assets under management in its Form ADV filing dated July 28, 2026 (82% discretionary)." }, { "q": "How have Greenwich Wealth Management, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Greenwich Wealth Management, LLC: Regulatory assets under management: $2,197,148,626 in the October 2021 data and $3,518,612,898 in the October 2026 data, up 60%. Total employees: 8 in October 2021 and 13 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Greenwich Wealth Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (491); individuals (other than high net worth individuals) (98); corporations or other businesses not listed above (20)." }, { "q": "Which custodians does Greenwich Wealth Management, LLC use?", "a": "Greenwich Wealth Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Interactive Brokers LLC as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Greenwich Wealth Management, LLC report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). 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 SEC record: https://adviserinfo.sec.gov/firm/summary/142820" }, { "q": "Does Greenwich Wealth Management, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated July 28, 2026 says: \"For Portfolio Management Services, GWM requires a minimum account size of $1,000,000. This account minimum may be negotiable based on the length or scope of the client relationship or the nature of the prospective relationship.\"" }, { "q": "What changed in Greenwich Wealth Management, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $2,710,651,273 to $3,518,612,898 (+30%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 2197148626.0, "total_employees": 8, "filing_date": "2021-03-31" }, { "period": "2022-10-01", "regulatory_assets_under_management": 2482104477.0, "total_employees": 11, "filing_date": "2022-03-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": 2045717324.0, "total_employees": 11, "filing_date": "2023-09-14" }, { "period": "2024-10-01", "regulatory_assets_under_management": 2186775212.0, "total_employees": 11, "filing_date": "2024-03-27" }, { "period": "2025-10-01", "regulatory_assets_under_management": 2710651273.0, "total_employees": 13, "filing_date": "2025-03-26" }, { "period": "2026-10-01", "regulatory_assets_under_management": 3518612898.0, "total_employees": 13, "filing_date": "2026-07-28" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $2,710,651,273 to $3,518,612,898 (+30%)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated July 28, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "$1,000,000", "account_minimum_may_be_waived": true, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)" ], "quotes": [ "For Portfolio Management Services, GWM requires a minimum account size of $1,000,000. This account minimum may be negotiable based on the length or scope of the client relationship or the nature of the prospective relationship." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 1000000.0, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "For Portfolio Management Services, GWM requires a minimum account size of $1,000,000. This account minimum may be negotiable based on the length or scope of the client relationship or the nature of the prospective relationship." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Interactive Brokers LLC", "name_as_filed": "INTERACTIVE BROKERS 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/greenwich-wealth-management-llc-greenwich-ct-142820.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 98, "fewer_than_5": false, "raum": 16016238.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 491, "fewer_than_5": false, "raum": 2231818111.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 6, "fewer_than_5": false, "raum": 35459193.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 10, "fewer_than_5": false, "raum": 73282590.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 20, "fewer_than_5": false, "raum": 1162036766.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "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/142820", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }