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Personalized advice for portfolio size
of 100K & above
Connecticut, known for its many picturesque landmarks, parks, and lakes, is home to a population of over 3.5 million people. With a cost of living 17% higher than the national average, Connecticut individuals, like yourself, may want to connect with an experienced and certified advisor to find high-growth financial opportunities in this state. However, there are over 6,000 financial advisors in Connecticut, and it may be extremely time-consuming to research all of them to find a trustworthy advisor that would be the best fit for your financial needs. WiserAdvisor's directory list of financial advisors and firms can help simplify the advisor search process. The directory list includes vetted and ranked advisors in and around Connecticut, so you have a more curated selection of advisors and advisory firms to research. Additionally, you may also use the FREE advisor match tool to compare 2 to 3 financial advisors matched especially to your requirements. It is simple to use. All you have to do is answer a few quick questions and get the details of the advisors. The advisors provide services in various financial matters including retirement planning, investment planning, wealth management, financial planning, estate planning, and more.
Connecticut
has
5
WiserAdvisor vetted Financial Planners and Advisors on the online list below for you to
choose from. These financial advisors in
Connecticut
have an average of
20
years of experience.
NOTE: The list of vetted financial
advisors in
Connecticut
mentioned below does not include all the advisors in our network due
to their compliance listing restrictions. More vetted advisors may
be available when you use our free match service
to compare financial advisors near you in
Connecticut.
| Financial Advisor | Experience | AUM | Minimum Assets | Fee Structure |
|---|---|---|---|---|
|
Robert Tubridy
MBA, CFP®, ChFC® CT FINANCIAL PARTNERS 180 Glastonbury Blvd., Suite 102, Glastonbury, CT 06033 |
22 Years | Not Specified | Not Specified | Fee-Based |
| 30 Years | $105,000,000 | $500,000 | Fee-Only | |
| 32 Years | Not Specified | Not Specified | Not Specified | |
| 15 Years | Not Specified | $100,000 | Fee-Only | |
|
Cody St John
LPL FINANCIAL | ARROWHEAD FINANCIAL GROUP 53 Main St S #2 Woodbury CT, Woodbury, CT 06798 |
4 Years | Not Specified | Not Specified | Fee-Only |
Qualifications
CRD# 4509256
Firm CRD# 8032
Series 7, 24, 66
Compensation/Fee Fee-Based, Flat Fee, Based on Assets
Office Location
180 Glastonbury Blvd.,
Suite 102,
Glastonbury,
CT
06033
Phone Number
860-430-9064
As a CERTIFIED FINANCIAL PLANNER™ practitioner, Bob provides comprehensive financial planning guidance and is committed to the highest standards of ethical conduct. He brings top credentials to his daily practice as a working partner and financial advisor with CT Financial Partners. He specializes in creating individually tailored retirement income plans by analyzing investment allocations, maximizing pension and Social Security benefits, and mitigating overall risk throughout retirement. Underscoring everything he does is a deep commitment to providing quality service and support throughout the relationship. Bob is a strong proponent of financial education, and has spoken to hundreds of groups regarding proper investment planning, retirement income planning, and college funding. Bob received his Bachelor of Science in Finance from Providence College in 1990, and his M.B.A. from Rensselaer Polytechnic Institute in 2000. In 2007, Bob received his CERTIFIED FINANCIAL PLANNER™ certification and his Chartered Financial Consultant (ChFC®) designation from the American College. He holds his series 7, 24, 51, and 66 Securities licenses. A devoted father of two, Bob enjoys traveling, athletics, and spending time with his son Jack, and daughter Abby.
With over 50 years of financial industry experience, CT Financial Partners was founded with a mission to provide the best possible financial advice. We pride ourselves on our ability to offer guidance on more than investments and insurance. We are comprehensive wealth consultants, focusing on everything from coordinating and managing your retirement income to estate planning. Our client-first philosophy dictates that we develop a customized plan designed to pursue your objectives. Using a team approach that grows out of strategic affiliations with legal and tax professionals, we seek to make your financial goals a reality. Our relationship with Commonwealth Financial Network®, one of the most respected independent broker/dealers in the nation, gives us invaluable back office support. Robert Tubridy is dually registered as a registered representative and investment adviser representative of Commonwealth Financial Network. In these roles, Robert Tubridy is able to offer two types of accounts: brokerage accounts and asset management accounts. When serving as your advisor on a brokerage account, Robert Tubridy is required to act in accordance with the requirements of Regulation Best Interest (Reg BI). When serving as your advisor on an asset management account, Robert Tubridy is required to act in a fiduciary capacity.
More information is available in Commonwealth’s Form CRS.Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Insurance Products & Annuities
Qualifications
CRD# 712007
Firm CRD# 152117
Series 65
Compensation/Fee Fee-Only, Based on Assets
Office Location
777 W Putnam Ave. 3rd Floor,
Greenwich,
CT
06830
Phone Number
203-987-6227
Charles Helme joined BH Asset Management as Managing Director of Investments in 2010 and leads the investment and research areas of the firm. From 2002 to 2010, Mr. Helme was Senior Portfolio Manager of Pinnacle Associates, Ltd, in New York, where he managed portfolios for corporations, endowments, universities, pensions, and high-net-worth individuals across several high-alpha investment strategies. For seven years prior to joining Pinnacle, Mr. Helme was Managing Director of Investments at Carret and Company LLC, acting as Portfolio Manager to both institutions and high-net-worth individuals. From 1988 to 1995, Mr. Helme rose to Senior Investment Officer and Chairman of the Investment Policy Committee at Republic National Bank (now HSBC, USA). At the bank and various holding company subsidiaries, Mr. Helme was responsible for all Trust and Investment Management portfolio investments for separate accounts and several mutual fund strategies. Previously, he was Vice President of Investments for Moran Asset Management, a leading investment counselor and mutual fund advisor. He began his career in 1980 at Ernst & Company, New York Stock Exchange, and American Stock Exchange Specialists. Mr. Helme graduated from New York University Stern School of Business. He is active in a variety of local charitable and community organizations.
We are a registered investment advisor, meaning we are held to a fiduciary standard and must always put your interests first. We provide unbiased advice, employ an open architecture approach, and only charge flat fees. We are transparent and maintain frequent communication with our clients. With over 30 years of fund management experience, we offer the most sophisticated investment techniques.
Advisory Services Provided:
Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Annuities, Insurance Planning
Qualifications
CRD# 2241878
Compensation/Fee Hourly, Based on Assets
Office Location
1 Bradley Road,
Suite 202,
Woodbridge,
CT
06525
Phone Number
203-389-3553
Paul Schatz, Founder, and President of Heritage Capital has a wealth of experience investing in equities, fixed income, options, and futures. While he is best known for his equity index and precious metals models, his technical driven strategies have taken him into other asset classes as well. Paul is a recognized pioneer and expert in the exchange-traded fund (ETF) field, having employed them in his work since 1994. Additionally, he has consulted for many of today's ETF purveyors on new product development and is a highly sought after speaker in the field.
Heritage Capital, LLC is an award-winning personal investment management firm dedicated to growing your portfolio and protecting your assets as we work as a team to achieve your lifetime financial goals. With a focus on long-term planning for your comfortable retirement and your family's education needs, we provide you the peace of mind that comes from entrusting your financial future to experienced, educated, and trustworthy professionals.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management
Qualifications
CRD# 5089860
Firm CRD# 155422
Series 63, 66
Compensation/Fee Fee-Only, Hourly, Flat Fee, Based on Assets
Office Location
34 Water Street,
Mystic,
CT
06355
Phone Number
860-245-5078
Robert Henderson, CFP® is the President and Advisor at LWM. Prior to founding the firm, Mr. Henderson was a financial advisor with a nationally recognized brokerage firm. His previous experience included numerous senior corporate financial positions, including Director of Finance and Accounting and Controller positions. Mr. Henderson holds a BS degree in Accounting from Bentley University, the CERTIFIED FINANCIAL PLANNER™ professional designation, earned the Accredited Asset Management Specialist (AAMS) designation from the College for Financial Planning, and is a Certified Divorce Financial Analyst (CDFA).
Lansdowne Wealth Management, LLC ("LWM") is an fiduciary, fee-only CERTIFIED FINANCIAL PLANNER™ professional firm based in Mystic, CT. Our clients depend on us to provide personalized, thoughtful service and advice. As a fee-only Registered Investment Advisor, we present you with objective, independent guidance for achieving your goals. Successful individuals and families in southeastern Connecticut, Rhode Island and throughout the United States rely on us to guide the way so they can be confident in their futures. Our goal is to provide our clients with the most complete Asset Management and Financial Planning services available. From the very beginning, our objective is to provide individual investors with the same level of sophisticated management as institutional investors. We are proud to say that the services our clients receive rival that of large institutions. In addition to providing portfolio management services, we also provide our clients with the opportunity to access our comprehensive Fee-Only Financial Planning and Wealth Management services.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Financial Advice & Consulting, Financial Planning for Individuals, Investment Advice & Management
Qualifications
CRD# 7128086
Firm CRD# 6413
Series 7, 66
Compensation/Fee Fee-Only, Based on Assets
Office Location
53 Main St S #2 Woodbury CT,
Woodbury,
CT
06798
Phone Number
203-558-1599
Cody St. John is a dedicated financial advisor passionate about assisting individuals and families in achieving their financial goals. With a commitment to delivering comprehensive financial services and investment management, he specializes in portfolio construction, asset management, investment strategies, and retirement planning. Cody's tailored approach ensures that each client's unique needs and objectives are met effectively.
LPL Financial is a leading wealth management firm that serves as an independent broker-dealer, RIA custodian, and provider of third-party services for financial professionals, RIA firms, and institutions. With a history spanning over 30 years, LPL is renowned for its commitment to financial advisor independence, rooted in the principle that the firm should work for the advisor, not vice versa. Originally founded in 1989 through the merger of Linsco and Private Ledger, LPL has grown to become the nation's leading independent broker-dealer, offering a range of business model options to support financial institutions, RIA firms, and advisors seeking varying degrees of operational support.
Advisory Services Provided:
Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Insurance Products & Annuities
The client testimonials appearing above may not necessarily be representative of all client experiences with WiserAdvisor. You may click on the number of total reviews hyperlinked above to review the entirety of the reviews WiserAdvisor has received. WiserAdvisor did not pay any compensation in consideration of such reviews.
| Firm Name | No. of Advisors | No. of Clients | AUM | Fee Structure |
|---|---|---|---|---|
| 1166 | 143 | $196,833,823,871 | A Percentage of AUM, Performance Based
|
|
| 2311 | 18 | $139,912,052,624 | A Percentage of AUM, Performance Based, Other (PERFORMANCE-BASED COMPENSATION)
|
|
| 63 | 40 | $122,238,315,019 | A Percentage of AUM
|
|
| 566 | 279 | $119,996,796,135 | A Percentage of AUM, Performance Based, Other (A PERCENTAGE OF ASSETS UNDER ADVISEMENT)
|
|
| 290 | 182 | $110,827,884,619 | A Percentage of AUM, Fixed Fees, Other (COST REIMBURSEMENT, AFFILIATE COMPENSATION (SEE PART 2A, ITEM 6))
|
|
NEW ENGLAND ASSET MANAGEMENT, INC.
74 Batterson Park Rd., Pond View Corporate Center, Farmington, CT 6032 |
100 | 880 | $100,455,084,282 | A Percentage of AUM, Fixed Fees, Performance Based
|
| 270 | 542 | $94,819,205,056 | A Percentage of AUM, Hourly charges, Subscription Fees, Fixed Fees, Performance Based, Other (NEGOTIATED FEES)
|
|
| 174 | 246 | $87,774,028,517 | A Percentage of AUM, Fixed Fees, Performance Based, Other (REAL ESTATE RELATED FEES)
|
|
| 69 | 8 | $68,176,048,738 | A Percentage of AUM
|
|
| 287 | 20 | $52,146,667,949 | A Percentage of AUM, Performance Based
|
|
| 17 | 1 | $49,512,750,895 | Other (COST REIMBURSEMENT)
|
|
| 7 | 82 | $46,245,613,255 | A Percentage of AUM
|
|
| 103 | 35 | $44,586,708,474 | A Percentage of AUM, Performance Based, Other (ADVISORY, MONITORING, AND CERTAIN OTHER RELATED FEES.)
|
|
| 324 | 23 | $44,534,718,000 | A Percentage of AUM, Performance Based, Other (EXPENSE PASS THROUGH)
|
|
| 279 | 7 | $43,630,335,052 | A Percentage of AUM, Performance Based, Other (REIMBURSEMENT OF COSTS)
|
When choosing a financial advisor in Connecticut, it is important to look for certain credentials that demonstrate their expertise and credibility. Look for advisors who hold recognized certifications such as Certified Financial Planner (CFP), Chartered Financial Analyst (CFA), or Chartered Financial Consultant (ChFC). These designations indicate that the advisor has met rigorous education, experience, and ethical standards. Additionally, check if the advisor is registered with a reputable regulatory body such as the Securities and Exchange Commission (SEC) or the Financial Industry Regulatory Authority (FINRA). For further information, you can refer to our guide on how to use BrokerCheck to evaluate a financial advisors credentials.
When choosing the right financial advisor, consider your specific financial needs, conduct thorough background checks, check for relevant credentials, and research their fee structures. By following these steps, you can make a more informed choice when selecting a financial advisor who meets your specific needs and demonstrates the necessary credentials and ethical standards. For more information, refer to this guide on choosing the best financial advisor in Connecticut.
How often you should meet with your financial advisor may depend on your specific financial situation and goals. For complex finances, you may need to meet with your financial advisor weekly or monthly, while for those with regular income and simpler investments, quarterly or annual meetings may be enough. Your advisor can assist in determining the suitable meeting frequency based on your circumstances. Read on to learn more about how often you should meet with your advisor.
To evaluate the performance of your financial advisor in Connecticut, you should start by assessing the progress of your financial goals and whether the advisor's recommendations align with your objectives. Compare your investment portfolio's performance to relevant market benchmarks, and evaluate advisor fees for reasonableness and transparency. Additionally, evaluate your advisor's communication and trustworthiness by assessing their ability to keep you informed, address concerns, and consider your overall satisfaction with their guidance. To learn more about evaluating your financial advisor, explore this guide on the things you should know to assess your financial advisor's work.
You can expect financial advisors in Connecticut to offer a wide range of financial services including retirement planning, investment management, wealth management, estate planning, and more. By understanding your individual goals and financial situation, they can assist you in crafting a personalized financial plan and provide ongoing support as your needs evolve. By clicking on the "View full profile" button of any vetted financial advisor listed on our Connecticut directory, you can access detailed information about their services, fees, credentials, and more.
There are multiple benefits to hiring a financial advisor in Connecticut. As a client, you can gain some peace of mind knowing you're making informed financial decisions due to your advisor's knowledge and years of relevant experience working with Connecticut residents. A financial advisor can also potentially minimize investment risks and lead to more returns on your investments. Additionally, an advisor will review your investments regularly and provide ongoing support to help you stay on track toward your financial goals. To learn more, read The Benefits Of Working With A Financial Advisor.
