# Southport Station Financial Management, LLC

> Southport Station Financial Management, LLC is an SEC-registered investment advisory firm in Southport, CT, registered since 2008, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 24, 2026.

- CRD: 146270
- Filed as: SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Southport, CT
- Filing period: October 2026
- Form ADV filing dated: March 24, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/146270
- AdvisorCensus page: https://advisorcensus.com/firm/southport-station-financial-management-llc-southport-ct-146270

## Quick answers

**How is Southport Station Financial Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Southport Station Financial Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**How much does Southport Station Financial Management, LLC charge?**
Its Form ADV Part 2A brochure dated March 23, 2026 states: Flat fee: $500 to $20,000 (financial planning and/or consulting services…); Hourly rate: $250 to $375 an hour (financial planning or consulting service). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Southport Station Financial Management, LLC located?**
Southport Station Financial Management, LLC's principal office is in Southport, CT, according to its Form ADV.

**Is Southport Station Financial Management, LLC registered with the SEC or a state?**
Southport Station Financial Management, LLC is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 146270.

**How much does Southport Station Financial Management, LLC manage?**
Southport Station Financial Management, LLC reports $192,062,491 in regulatory assets under management in its Form ADV filing dated March 24, 2026 (81% discretionary).

**How have Southport Station Financial Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Southport Station Financial Management, LLC: Regulatory assets under management: $159,983,792 in the October 2021 data and $192,062,491 in the October 2026 data, up 20%. Total employees: 4 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Southport Station Financial Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (98); high net worth individuals (84).

**Which custodians does Southport Station Financial Management, LLC use?**
Southport Station Financial Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Raymond James & Associates, Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Southport Station Financial Management, LLC report any disciplinary disclosures?**
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/146270

**Does Southport Station Financial Management, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 23, 2026 says: "Registrant typically imposes a $250,000 minimum asset level for investment management services. However, the Registrant may, in its sole discretion, waive or reduce its minimum asset level requirement based upon certain criteria"

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 23, 2026)

- Account minimum: $250,000 (the brochure says it may be waived or negotiated)

> Registrant typically imposes a $250,000 minimum asset level for investment management services. However, the Registrant may, in its sole discretion, waive or reduce its minimum asset level requirement based upon certain criteria

- Flat fee: $500 to $20,000 (financial planning and/or consulting services…)

> Registrant’s planning and consulting fees are negotiable, but generally range from $500 to $20,000 on a fixed fee basis or from $250 to $375 per hour on an hourly basis.

- Hourly rate: $250 to $375 an hour (financial planning or consulting service)

> Registrant’s planning and consulting fees are negotiable, but generally range from $500 to $20,000 on a fixed fee basis or from $250 to $375 per hour on an hourly basis.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Raymond James & Associates, Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $192,062,491
- Discretionary: $156,125,047
- Non-discretionary: $35,937,444

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 98 | $24,463,377 |
| High net worth individuals | 84 | $161,543,718 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $6,055,396 |

### 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

### Firm details
- Registered since: 2008 (18 years)
- Employees: 3 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT, FL, NH, NY, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [southportstation.com](https://southportstation.com)
- LinkedIn @southport-station-financial-mangement-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $159,983,792 | 4 | April 1, 2021 |
| October 2022 | $168,755,015 | 4 | April 4, 2022 |
| October 2023 | $157,614,374 | 3 | March 23, 2023 |
| October 2024 | $174,537,320 | 3 | March 27, 2024 |
| October 2025 | $183,877,401 | 3 | March 21, 2025 |
| October 2026 | $192,062,491 | 3 | March 24, 2026 |

Regulatory assets under management: $159,983,792 in the October 2021 data and $192,062,491 in the October 2026 data, up 20%.
Total employees: 4 in October 2021 and 3 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Southport Station Financial Management, LLC (CRD 146270): Form ADV filing data as of October 2026.