Rawlings Wealth Management
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm is an independent, single‑advisor registered investment adviser that serves individual clients across income and experience levels. It offers comprehensive financial planning and ongoing portfolio management, including investment supervisory services and the use of pre‑screened third‑party managers, with advisory compensation charged as a percentage of assets under management that incorporates planning.
The adviser combines fundamental and technical analysis and may implement active, core‑plus‑satellite, or passive strategies, developing written investment guidelines and managing accounts on a discretionary basis (non‑discretionary arrangements are accommodated case‑by‑case). The firm routinely recommends a specific institutional custodian (SSG, with execution through Altruist) and participates in that custodian’s independent‑advisor program.
Noteworthy operational details include that the firm’s principal discloses a concurrent senior corporate finance role at an aerospace company, a role the brochure says may involve significant outside hours and that the firm manages potential conflicts by excluding certain employer‑related securities from advice. The firm operates without additional staff, may require the use of its recommended custodian for investment supervisory engagements, receives in‑kind services from that custodian, and does not vote client proxies.
Client services
Expertise
Fee options
$0 - $499,999: 1.20% (120 basis points) annually $500,000 - $999,999: 1.00% (100 basis points) annually $1,000,000 - $2,999,999: 0.90% (90 basis points) annually $3,000,000 - $4,999,999: 0.80% (80 basis points) annually $5,000,000 - Above: 0.70% (70 basis points) annually
Fee-only: All-inclusive asset-based fees; no additional fee for financial planning
Main office
Glastonbury CT
Advisors at this office
1
Most active in
Connecticut · Rhode Island
Also doing business as
Rawlings Wealth Management · Rawlings Wealth 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.
Forms ADV
Quick links
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