Stock Financial and Retirement Solutions
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Stock Financial and Retirement Solutions provides portfolio management and financial planning services primarily to individual and high‑net‑worth clients, including retirement accounts. The firm also advises on a range of investment vehicles used in retirement planning, including private placements, venture capital funds, annuities, ETFs and certain insurance‑based products.
The firm documents client goals and risk tolerance in an Investment Policy Statement and, when authorized, manages accounts on a discretionary basis. Its stated methods of analysis include fundamental, quantitative, technical and modern portfolio theory approaches, and it may employ long‑term strategies as well as margin and options trading; financial planning engagements address investment, tax, insurance, retirement, college and debt planning.
Distinctive features disclosed in the brochure include offering standalone financial planning under negotiated fixed fees and maintaining affiliated insurance activities — supervised persons are licensed to sell insurance and may receive commissions for insurance product sales, a conflict the firm discloses. The firm also sponsors a private investment vehicle and accepts performance‑based arrangements for qualified clients; these relationships and potential conflicts are described in its Form ADV.
Client services
Expertise
Fee options
Fixed financial planning fees negotiated between $0 and $5,000
2.00% annually for portfolio management fees
For qualified clients: 1.50% annually of assets under management plus 20.00% performance fee based on capital appreciation calculated with a high water mark
Main office
Somers CT
Advisors at this office
1
Most active in
Connecticut
Also doing business as
Stock Aca LLC · Stock Financial And Retirement Solutions
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
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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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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
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