Freedom Investment Management, Inc.
SEC-registered
Wealth Manager · Small ($100M–$1B)
CRD 126052
· SEC file 801-68642
· South Windsor, CT
· www.linkedin.com
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ADV data as of Feb 04, 2026
- Regulatory AUM
- $569M
- Discretionary
- $569M
- Clients
- 520
- Avg AUM / client
- $1.1M
- Accounts
- 925
- Employees
- 9
AUM over time
$319M
$2.2B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Feb 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 409 | $92.2M | 16.2% |
| High net worth individuals | 76 | $203M | 35.8% |
| Pension and profit sharing plans | 29 | $26.7M | 4.7% |
| Charitable organizations | 6 | $11.3M | 1.99% |
| State or municipal government entities | Fewer than 5 clients | $235M | 41.3% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Monterey Peninsula Restaurant And Hotel Pension Fund Board Of Trustees, Monterey Peninsula Restaurant And | 2024 |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Bhatt, Kevin, Bhalchandra | Shareholder | Feb 2016 (11y) | 25% – 50% of Long Ridge Equity Partners, Llc (indirect) | |
| Brown, James, Gerard | Shareholder | Feb 2016 (11y) | 25% – 50% of Long Ridge Equity Partners, Llc (indirect) | |
| Scott Christopher Winters | Shareholder | Jul 2018 (8y) | ≈ 5.27% – 37.5% via Eqis Common Holdco, Llc | |
| William Robert Nelson | Shareholder | Jul 2018 (8y) | ≈ 5.27% – 37.5% via Eqis Common Holdco, Llc | |
| Cohen, Jeffrey, Max | Trustee, Eh Series A Preferred Revocable Trust | Mar 2020 (6y) | GP / trustee / elected manager of Eh Series A Preferred Revocable Trust (indirect) | |
| Herrmann, Robert, Philip | Chief Executive Officer | May 2020 (6y) | Less than 5% | |
| Daignault, Steven, Mark | Chief Financial Officer | Apr 2022 (4y) | Less than 5% | |
| Lucich, Andrew, Thomas | Chief Compliance Officer | Aug 2022 (4y) | Less than 5% | |
| John Arthur O'connor | Registered representative | Dec 2023 (3y) | ||
| Brian Edward Hawley | Registered representative | CFA | Jan 2024 (3y) | |
| Scott Kevin Hawley | Registered representative | Jan 2024 (3y) | ||
| Daniel William Snyder | Registered representative | Feb 2024 (2y) | ||
| Keith Kristan Lindberg | Registered representative | Mar 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Freedom Advisors Group Intermediate Holdings, Llc | Limited Liability Company | Jun 2022 | A | 75% or more |
| Freedom Advisors Group Llc | Shareholder | Jun 2022 | B | ≈ 56.25% – 100% via Freedom Advisors Group Intermediate Holdings, Llc |
| Eqis Holding, Inc. | Shareholder | Jun 2022 | B | ≈ 42.19% – 100% via Freedom Advisors Group Llc |
| Long Ridge Equity Partners I, L.P. | Shareholder, Series B Convertible Preferred Stock | Feb 2016 | B | ≈ 21.09% – 75% via Eqis Holding, Inc. |
| Eqis Common Holdco, Llc | Shareholder, Common Stock | Jul 2018 | B | ≈ 21.09% – 75% via Eqis Holding, Inc. |
| Eh Series A Preferred Revocable Trust | Shareholder, Series A Convertible Preferred Stock | Mar 2020 | B | ≈ 21.09% – 75% via Eqis Holding, Inc. |
| Long Ridge Equity Partners | Voter, Common Stock Through Lrech Special Member, Llc | Aug 2019 | B | GP / trustee / elected manager of Eqis Holding, Inc. (indirect) |
| Long Ridge Equity Partners, Llc | General Partner | Feb 2016 | B | GP / trustee / elected manager of Long Ridge Equity Partners I, L.P. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Scott Christopher Winters: 25% – 50% of Eqis Common Holdco, Llc × 50% – 75% of Eqis Holding, Inc. × 75% – 100% of Freedom Advisors Group Llc × 75% – 100% of Freedom Advisors Group Intermediate Holdings, Llc × 75% – 100% direct ≈ 5.27% – 37.5% of the firm
- William Robert Nelson: 25% – 50% of Eqis Common Holdco, Llc × 50% – 75% of Eqis Holding, Inc. × 75% – 100% of Freedom Advisors Group Llc × 75% – 100% of Freedom Advisors Group Intermediate Holdings, Llc × 75% – 100% direct ≈ 5.27% – 37.5% of the firm
- Freedom Advisors Group Llc: 75% – 100% of Freedom Advisors Group Intermediate Holdings, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Eqis Holding, Inc.: 75% – 100% of Freedom Advisors Group Llc × 75% – 100% of Freedom Advisors Group Intermediate Holdings, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Long Ridge Equity Partners I, L.P.: 50% – 75% of Eqis Holding, Inc. × 75% – 100% of Freedom Advisors Group Llc × 75% – 100% of Freedom Advisors Group Intermediate Holdings, Llc × 75% – 100% direct ≈ 21.09% – 75% of the firm
- Eqis Common Holdco, Llc: 50% – 75% of Eqis Holding, Inc. × 75% – 100% of Freedom Advisors Group Llc × 75% – 100% of Freedom Advisors Group Intermediate Holdings, Llc × 75% – 100% direct ≈ 21.09% – 75% of the firm
- Eh Series A Preferred Revocable Trust: 50% – 75% of Eqis Holding, Inc. × 75% – 100% of Freedom Advisors Group Llc × 75% – 100% of Freedom Advisors Group Intermediate Holdings, Llc × 75% – 100% direct ≈ 21.09% – 75% of the firm
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.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Monterey Peninsula Restaurant And Hotel Pension Fund | Board Of Trustees, Monterey Peninsula Restaurant And | 1,025 | $71.3M | 08/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/04/2026 | 1.02 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
- • Other fees
- • MINIMUM MONTHLY ACCOUNT FEE
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Folio Investments, Inc. $1.3B (59% of AUM) Mar 2025
- Charles Schwab & Co. $541M (95% of AUM) Feb 2026
- Fidelity Brokerage Services $24.7M (1% of AUM) Mar 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Feb 04, 2026.
View current Form ADV (SEC/IAPD) ↗