Middleton & Company Inc.
- Regulatory AUM
- $1.2B
- Discretionary
- $1.2B
- Clients
- 368
- Avg AUM / client
- $3.4M
- Accounts
- 613
- Employees
- 16
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 108 | $50.9M | 4.12% |
| High net worth individuals | 238 | $1.0B | 82.3% |
| Pension and profit sharing plans | 5 | $74.1M | 6.01% |
| Charitable organizations | 17 | $93.9M | 7.61% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Alice Kenney Walsh | Board Chairman; Managing Director | CFP | Jan 1996 (31y) | 5% – 10% |
| John K. Sargent | Chief Executive Officer; Managing Director | CFA | Jan 2003 (24y) | 5% – 10% |
| Maria Mccormack | Chief Compliance Officer; Managing Director | CFA | Jun 2003 (23y) | Less than 5% |
| Robert Guy Bruch | Chief Investment Officer | CFA | Sep 2016 (10y) | Less than 5% |
| Grenville Anderson | Registered representative | May 2021 (5y) | ||
| Barry Lewis Hilliard | Registered representative | CFA | Sep 2021 (5y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Middleton & Company Employee Stock Ownership Trust | Trust | Mar 2004 | A | 75% or more |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/04/2026 | 1.07 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- State Street $688M (56% of AUM) May 2026
- National Financial Services (Fidelity) $250M (20% of AUM) May 2026
- Charles Schwab & Co. $195M (16% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 04, 2026.
View current Form ADV (SEC/IAPD) ↗