Wealth manager, independent · Darien, CT
Bourgeon Capital Management LLC
SEC-registered investment adviser · CRD 108054 · SEC 801-56289
At a glance
Bourgeon Capital Management LLC is an SEC-registered investment adviser based in Darien, Connecticut, with $1.3B in regulatory assets under management as of its Form ADV filed July 16, 2026. It reports 286 individual clients, 187 of them high-net-worth, holding an average of about $4.2 million each, and 7 employees. That ranks it 861st among the nation’s 5,657 independent wealth management RIAs and 19th of 100 in Connecticut. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Up $210M from $1.1B in its previous filing; rank 1035 → 861. This month’s movers →
Main office 203-280-1170bourgeoncapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.3B
- Rank among independent wealth managers
- #861 of 5,657
- Rank among all SEC RIAs
- #4,687 of 17,210
- Rank in Connecticut
- #19 of 100
- Individual clients
- 286
- High-net-worth clients
- 187
- Accounts
- 315
- Discretionary
- 96% of AUM
- Employees
- 7
- Advisory staff
- 3
- Offices
- 1
Owners and executives on its Form ADV
- John A. ZaroManaging Member & Chief Compliance Officer
- John S. MallozziMember
- Reilyn B. ZaroMember
- Laura S PollackMember
Custody and brokerage
Broker-dealer
No broker-dealer ties
Bourgeon Capital Management 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 | 187 | $1.2B | 91% |
| Pension and profit sharing plans | 21 | $50M | 4% |
| Individuals | 99 | $37M | 3% |
| Corporations or other businesses | 5 | $21M | 2% |
| Charitable organizations | 3 | $6M | <1% |
Disciplinary disclosures
Bourgeon Capital Management 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 ↗bourgeoncapital.com ↗
AtlasMembers
The full record on Bourgeon Capital Management LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 2,874 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Connecticut
All of Connecticut →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Trivium Point Advisory, LLCWilton | $1.6B | 786 |
| MJP Wealth AdvisorsFarmington | $1.6B | 865 |
| Oakridge Management Group LLCStamford | $1.4B | 40 |
| Gilman Hill Asset Management, LLCNew Canaan | $1.2B | 289 |
| Baxter Investment ManagementRiverside | $1.2B | 425 |
| Third View Private WealthWestport | $1.2B | 322 |
Background
Questions
How much does Bourgeon Capital Management LLC manage?
Bourgeon Capital Management LLC reports $1.3B in regulatory assets under management across 315 accounts, 96% of it on a discretionary basis, on its Form ADV filed July 16, 2026.
How many clients does Bourgeon Capital Management LLC have?
It reports 286 individual clients: 187 high-net-worth individuals and 99 other individuals. Individuals account for about 94% of its regulatory assets.
Where is Bourgeon Capital Management LLC headquartered?
Its main office is in Darien, Connecticut. It reports 1 office in total and 7 employees, 3 of whom perform investment advisory functions.
How does Bourgeon Capital Management 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 Bourgeon Capital Management LLC use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed July 16, 2026, it reports these amounts held: Charles Schwab ($63M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Bourgeon Capital Management LLC a hybrid RIA with a broker-dealer?
Bourgeon Capital Management LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Bourgeon Capital Management LLC a fiduciary?
As an SEC-registered investment adviser, Bourgeon Capital Management 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 Bourgeon Capital Management 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 (2026-07-16), 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 →