North Haven, CT Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Hornor, Townsend & Kent, LLC
Enterprise
Firm-wide stats for Hornor, Townsend & Kent, LLC
About
Hornor, Townsend & Kent (HTK) serves individuals (including high‑net‑worth clients), trusts, businesses, charitable organizations, and retirement plans through a network of Advisers, offering advisory programs, financial planning (one‑time and ongoing), and retirement plan consulting. The firm operates both advisory programs and broker‑dealer services, providing custody, execution, and brokerage capabilities alongside investment advice.
HTK’s advisory platform includes third‑party asset manager (TPAM) relationships structured as co‑advisory, promoter, or wrap‑fee arrangements, and it offers both discretionary and non‑discretionary account options — as of December 31, 2025 HTK reported roughly $8.37 billion in discretionary AUM and about $648 million in non‑discretionary AUM. Advisers work with clients to tailor asset allocation, diversification, and other strategies while TPAMs often perform day‑to‑day portfolio management under HTK’s due diligence and supervisory framework.
Distinctive aspects disclosed in the brochure include HTK’s dual registration as an SEC‑registered adviser and FINRA‑member broker‑dealer (a less common configuration among large enterprise firms), its ownership by Penn Mutual with affiliated insurance and underwriting relationships, and the firm’s use of various revenue arrangements — including promoter fees, 12b‑1 receipts, Pershing revenue sharing, and an FDIC‑Eligible Bank Deposit Sweep Product where HTK retains the majority of program fees — all of which are noted as potential conflicts and are addressed through disclosure and supervision.
Based on Hornor, Townsend & Kent, LLC
Location
12 Elm Street
North Haven CT 06473
Advisors at this office
2
Advisors at this office
Nathalie E
Series 63, Series 65
North Haven, CT
Hornor, Townsend & Kent, LLC
Nathalie Edeen is a financial advisor at Hornor, Townsend & Kent, LLC with nine years of industry experience. She holds Series 63 and Series 65 licenses and has been with Hornor Townsend since 2016. Nathalie also holds insurance agent positions, providing multi-line insurance services and engaging in student loan portfolio analysis. Additionally, she is involved in retail sales as a TikTok shop affiliate. Hornor, Townsend & Kent serves individuals, trusts, businesses, charitable organizations, and retirement plans, offering advisory programs, financial planning, and retirement plan consulting. The firm operates both advisory and broker-dealer services, managing approximately $8.37 billion in discretionary assets and $648 million in non-discretionary assets as of late 2025.
John C
ChFC®, Series 66
North Haven, CT
Hornor, Townsend & Kent, LLC
John Caserta is a ChFC® and holds a Series 66 license, with 20 years of experience in the financial services industry. He has been with Hornor, Townsend & Kent, LLC since 2012 and also works with Penn Mutual Life Insurance Company. Outside of his advisory role, he is the proprietor of Caserta & DeJongh, LLC, a life insurance brokerage, and runs Boola Moola, a financial education resource for the Yale community. He is also active with the Yale Club of New Haven, having served as its immediate past president and currently assisting as assistant treasurer. Hornor, Townsend & Kent serves individuals, trusts, businesses, charitable organizations, and retirement plans through a network of advisers, offering advisory programs, financial planning, and retirement plan consulting. The firm operates both advisory and broker-dealer services, providing clients with a range of investment management and execution capabilities.
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