Aspetuck Financial Management LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$156,431,957
Clients
87
Advisors
1
of 1 employees
About
Aspetuck Financial Management serves primarily individual clients with discretionary portfolio management through its Risk Managed Portfolio (RMP) program, and also accepts corporate/business clients and pension or profit‑sharing plans, including ERISA 3(38) plan‑sponsor engagements and participant education. The firm provides ongoing investment management, retirement‑account fiduciary services, and ancillary planning support such as college 529 account management and retirement planning guidance.
The RMP program uses four model strategies (Aggressive, Moderate, Conservative, Risk Averse) and a top‑down, macro‑driven asset allocation process that blends ETFs for diversification with selective individual dividend‑oriented and growth‑at‑reasonable‑price stock selections. Portfolios are managed for multi‑year horizons with active risk management and tactical adjustments; performance composites are maintained and reported through third‑party reporting systems (formerly Morningstar, now Black Diamond).
What is notable for a solo independent adviser is the combination of scale and service breadth — approximately $178 million in discretionary assets across about 87 clients — while offering institutional plan services uncommon among peers of this type. The firm also advertises and publishes net composite performance results and maintains formal ERISA 3(38) plan‑management capabilities, practices that are statistically rare for independent single‑advisor firms.
Client services
Expertise
Fee options
$0 - $1,000,000: 0.85% $1,000,001 - $4,000,000: 0.70% $4,000,001+: 0.65%
Account minimum: $50,000
Main office
Fairfield CT
Advisors at this office
1
Most active in
Connecticut · Florida · New Jersey · New York · Texas · Virginia
Also doing business as
Aspetuck · Aspetuck Financial Management LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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