Wealth manager, independent · Stamford, CT
Northcoast Asset Management LLC
SEC-registered investment adviser · CRD 282241 · SEC 801-107054
At a glance
Northcoast Asset Management LLC is an SEC-registered investment adviser based in Stamford, Connecticut, with $5.0B in regulatory assets under management as of its Form ADV filed July 30, 2026. It reports 4,412 individual clients, 1,209 of them high-net-worth, holding an average of about $1.0 million each, and 45 employees. That ranks it 226th among the nation’s 5,657 independent wealth management RIAs and 4th of 100 in Connecticut. It reports Fidelity as the custodian for its clients’ separately managed accounts.
Main office 203-532-7000northcoastam.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $5.0B
- Rank among independent wealth managers
- #226 of 5,657
- Rank among all SEC RIAs
- #2,116 of 17,210
- Rank in Connecticut
- #4 of 100
- Individual clients
- 4,412
- High-net-worth clients
- 1,209
- Accounts
- 7,122
- Discretionary
- 100% of AUM
- Employees
- 45
- Advisory staff
- 28
- Offices
- 16
Owners and executives on its Form ADV
- Megan E. HallChief Compliance Officer
- Jacob P. WickHead of Wealth Management
- Frank J. IngarraSenior Vice President, Business & Operations Risk
- Patrick J. JaminChief Investment Officer
Custody and brokerage
Broker-dealer
Affiliated broker-dealer
It reports a broker-dealer among its affiliates on Form ADV.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 1,209 | $3.2B | 64% |
| Individuals | 3,203 | $1.4B | 29% |
| Corporations or other businesses | 48 | $177M | 4% |
| Other investment advisers | 8 | $138M | 3% |
| Pension and profit sharing plans | 18 | $27M | <1% |
| Charitable organizations | – | $2M | <1% |
Disciplinary disclosures
Northcoast Asset 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
- Portfolio management for businesses and institutions
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Other
Form ADV and brochures on the SEC’s adviser search ↗northcoastam.com ↗
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The full record on Northcoast Asset 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 811 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
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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 |
|---|---|---|
| Apella WealthWest Hartford | $11B | 8,139 |
| Bradley Foster & Sargent IncHartford | $9.1B | 1,840 |
| Coastal Bridge AdvisorsWestport | $5.0B | 1,846 |
| Connecticut Wealth Management, LLCFarmington | $4.5B | 1,303 |
| Essex Financial Services, Inc.Essex | $4.2B | 2,780 |
| Greenwich Wealth Management, LLCGreenwich | $3.5B | 589 |
Background
Questions
How much does Northcoast Asset Management LLC manage?
Northcoast Asset Management LLC reports $5.0B in regulatory assets under management across 7,122 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 30, 2026.
How many clients does Northcoast Asset Management LLC have?
It reports 4,412 individual clients: 1,209 high-net-worth individuals and 3,203 other individuals. Individuals account for about 93% of its regulatory assets.
Where is Northcoast Asset Management LLC headquartered?
Its main office is in Stamford, Connecticut. It reports 16 offices in total and 45 employees, 28 of whom perform investment advisory functions.
How does Northcoast Asset Management LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; other. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Northcoast Asset Management LLC use?
It reports Fidelity as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed July 30, 2026, it reports these amounts held: Fidelity ($4.7B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Northcoast Asset Management LLC a hybrid RIA with a broker-dealer?
It reports a broker-dealer among its affiliates on Form ADV.
Is Northcoast Asset Management LLC a fiduciary?
As an SEC-registered investment adviser, Northcoast Asset 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 Northcoast Asset 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 (2026-07-30), 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 →