Haviland & Sams, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Haviland & Sams works with corporations, individuals (including high-net-worth clients), families, business owners, professionals, and corporate executives. The firm offers financial modeling and planning, wealth management, independent investment manager search and monitoring, and ad hoc consulting such as retirement-plan services and business-continuity and value-realization advice.
The firm positions itself as a strategist and advisor rather than a direct securities manager: it develops investment policy statements, recommends asset allocation and fund/ETF selections, and identifies independent managers and platform programs for implementation. Haviland & Sams does not directly manage client assets, does not recommend individual securities, and generally does not accept discretionary trading authority for client accounts.
Noteworthy aspects relative to many peers include a primary reliance on fixed or hourly engagements for core wealth-management work while using independent manager platforms and wrap programs when appropriate, rather than acting as a traditional AUM-based portfolio manager. The firm also, on a limited basis, serves as a co‑trustee/independent trustee for a client trust and provides targeted retirement-plan participant education for a small number of plan clients, arrangements that are less common among similarly sized supported firms.
Client services
Expertise
Occupation focus
Fee options
Fixed quarterly fee for retirement plan services typically ranging from $3,500 to $5,000
Hourly rates up to $500
Minimum fee: Annual fixed fee typically ranging from $3,500 to $35,000, charged quarterly in advance
Main office
30 Stanford Drive, 2nd Floor
Farmington CT 06032
Advisors at this office
3
Most active in
Connecticut · Florida · Massachusetts · New York
Also doing business as
Haviland & Sams, LLC · The Haviland Group, 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.
Forms ADV
Advisors at this firm
Benjamin S
Series 63, Series 65
Farmington, CT
Haviland & Sams, LLC
Benjamin Sams is a financial advisor at Haviland & Sams, LLC with 20 years of industry experience. He holds Series 63 and Series 65 designations and has been with Haviland & Sams since 2010. Sams is also the managing member of Sams Family Investment, LLC, a family investment vehicle. Haviland & Sams serves corporations, individuals, families, business owners, and professionals by providing financial modeling, wealth management, independent investment manager search, and consulting services. The firm acts as a strategist and advisor, focusing on investment policy development and manager identification, without directly managing client assets or accepting discretionary trading authority.
Divina M
Series 65
Farmington, CT
Haviland & Sams, LLC
Divina Marcktell is a financial advisor at Haviland & Sams, LLC with 10 years of industry experience. She holds a Series 65 designation and has been with Haviland & Sams since 2012. Haviland & Sams serves corporations, individuals including high-net-worth clients, families, business owners, professionals, and corporate executives. The firm focuses on developing investment policy statements, recommending asset allocations, and identifying independent managers, operating primarily through fixed or hourly engagements rather than discretionary asset management.
Cathleen K
CFP®, Series 66
Farmington, CT
Haviland & Sams, LLC
Cathleen Keane is a CFP® and holds a Series 66 license with four years of industry experience. She has worked at Haviland & Sams, LLC since 2026 and previously gained experience at Morgan Stanley and Fidelity Investments. Haviland & Sams, LLC serves corporations, individuals, families, business owners, and professionals, focusing on financial planning, wealth management, and consulting services. The firm acts as a strategist and advisor by developing investment policies, recommending asset allocations, and identifying independent managers, without directly managing client assets or accepting discretionary trading authority.
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