CS
Connolly Sr., Stephen W.
State-registered
Insurance-Affiliated · Boutique (under $100M)
CRD 296894
·
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ADV data as of Jan 03, 2026
- Regulatory AUM
- $3.2M
- Discretionary
- $0
- Clients
- 13
- Avg AUM / client
- $249K
- Accounts
- 42
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 13 | $3.2M | 100.0% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stephen William Connolly | Registered representative | Jun 2018 (8y) |
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) | 01/03/2026 | 1.06 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Venerable Insurance And Annuity Company $1.9M (59% of AUM) Jan 2026
- Athene Securities, Llc $455K (14% of AUM) Jan 2026
- Equitable Distributors, Llc $149K (5% of AUM) Jan 2026
- Jackson National Life Distributors Llc $63.2K (2% of AUM) Jan 2026
- Brighthouse Securities, Llc $10.8K (0% of AUM) Jan 2026
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: Jan 03, 2026.
View current Form ADV (SEC/IAPD) ↗