Wealth manager, independent · Glastonbury, CT
Adviceone Advisory Services, LLC
SEC-registered investment adviser · CRD 111614 · SEC 801-62125
At a glance
Adviceone Advisory Services, LLC is an SEC-registered investment adviser based in Glastonbury, Connecticut, with $2.0B in regulatory assets under management as of its Form ADV filed July 17, 2026. It reports 1,449 individual clients, 783 of them high-net-worth, holding an average of about $1.4 million each, and 56 employees. That ranks it 540th among the nation’s 5,657 independent wealth management RIAs and 14th of 100 in Connecticut. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and BNY Pershing.
Main office 860-659-4900adviceoneretirement.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.0B
- Rank among independent wealth managers
- #540 of 5,657
- Rank among all SEC RIAs
- #3,578 of 17,210
- Rank in Connecticut
- #14 of 100
- Individual clients
- 1,449
- High-net-worth clients
- 783
- Accounts
- 4,781
- Discretionary
- 100% of AUM
- Employees
- 56
- Advisory staff
- 14
- Offices
- 4
Owners and executives on its Form ADV
- Michael P. GrossmanChief Compliance Officer
- Janna L. DrakeDirector of Finance
- Olivia K. GrossmanDirector of Operations
Custody and brokerage
Broker-dealer
No broker-dealer ties
Adviceone Advisory Services, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 783 | $1.8B | 89% |
| Individuals | 666 | $231M | 11% |
| Charitable organizations | – | $4M | <1% |
Disciplinary disclosures
Adviceone Advisory Services, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗adviceoneretirement.com ↗
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Similar-size RIAs in Connecticut
All of Connecticut →| Firm | Regulatory AUM | Clients |
|---|---|---|
| RZH Advisors LLCStamford | $2.4B | 451 |
| Moneco AdvisorsFairfield | $2.3B | 2,781 |
| Clear Harbor Asset Management, LLCStamford | $2.1B | 784 |
| Rossmore Private Capital, LLCGlastonbury | $1.9B | 253 |
| Trivium Point Advisory, LLCWilton | $1.6B | 786 |
| MJP Wealth AdvisorsFarmington | $1.6B | 865 |
Background
Questions
How much does Adviceone Advisory Services, LLC manage?
Adviceone Advisory Services, LLC reports $2.0B in regulatory assets under management across 4,781 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 17, 2026.
How many clients does Adviceone Advisory Services, LLC have?
It reports 1,449 individual clients: 783 high-net-worth individuals and 666 other individuals. Individuals account for about 100% of its regulatory assets.
Where is Adviceone Advisory Services, LLC headquartered?
Its main office is in Glastonbury, Connecticut. It reports 4 offices in total and 56 employees, 14 of whom perform investment advisory functions.
How does Adviceone Advisory Services, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Adviceone Advisory Services, LLC use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and BNY Pershing. On Schedule D of its Form ADV filed July 17, 2026, it reports these amounts held: Charles Schwab ($1.7B); BNY Pershing ($272M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Adviceone Advisory Services, LLC a hybrid RIA with a broker-dealer?
Adviceone Advisory Services, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Adviceone Advisory Services, LLC a fiduciary?
As an SEC-registered investment adviser, Adviceone Advisory Services, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Adviceone Advisory Services, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-17), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →