Wealth manager, independent · Madison, CT
Principle Wealth
Principle Wealth Partners LLC · SEC-registered investment adviser · CRD 290180 · SEC 801-111911
At a glance
Principle Wealth is an SEC-registered investment adviser based in Madison, Connecticut, with $3.2B in regulatory assets under management as of its Form ADV filed August 7, 2026. It reports 1,173 individual clients, 613 of them high-net-worth, holding an average of about $2.6 million each, and 28 employees. That ranks it 336th among the nation’s 5,657 independent wealth management RIAs and 8th of 100 in Connecticut. It reports Fidelity as the custodian for its clients’ separately managed accounts.
Main office 203-318-8892principlewealthpartners.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $3.2B
- Rank among independent wealth managers
- #336 of 5,657
- Rank among all SEC RIAs
- #2,727 of 17,210
- Rank in Connecticut
- #8 of 100
- Individual clients
- 1,173
- High-net-worth clients
- 613
- Accounts
- 4,120
- Discretionary
- 100% of AUM
- Employees
- 28
- Advisory staff
- 22
- Offices
- 3
Owners and executives on its Form ADV
- Robert S. PaolucciChief Executive Officer, Managing Member
- Michael J. CastielloChief Compliance Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
Principle Wealth 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 | 613 | $2.8B | 88% |
| Individuals | 560 | $207M | 6% |
| Pension and profit sharing plans | 20 | $113M | 4% |
| Corporations or other businesses | 17 | $76M | 2% |
| Charitable organizations | – | $3M | <1% |
Disciplinary disclosures
Principle Wealth 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
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗principlewealthpartners.com ↗
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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, 8 years of filings
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- Growth over one, three and five years
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- Rank against 1,275 peers of its type and size
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- Owners and executives, with titles and stakes
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- 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 |
|---|---|---|
| Connecticut Wealth Management, LLCFarmington | $4.5B | 1,303 |
| Essex Financial Services, Inc.Essex | $4.2B | 2,780 |
| Greenwich Wealth Management, LLCGreenwich | $3.5B | 589 |
| Johnson BrunettiWethersfield | $2.8B | 6,038 |
| Main Street Research LLCLakeville | $2.7B | 1,018 |
| RZH Advisors LLCStamford | $2.4B | 451 |
Background
Questions
How much does Principle Wealth manage?
Principle Wealth reports $3.2B in regulatory assets under management across 4,120 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 7, 2026.
How many clients does Principle Wealth have?
It reports 1,173 individual clients: 613 high-net-worth individuals and 560 other individuals. Individuals account for about 94% of its regulatory assets.
Where is Principle Wealth headquartered?
Its main office is in Madison, Connecticut. It reports 3 offices in total and 28 employees, 22 of whom perform investment advisory functions.
How does Principle Wealth 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 Principle Wealth use?
It reports Fidelity as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed August 7, 2026, it reports these amounts held: Fidelity ($3.1B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Principle Wealth a hybrid RIA with a broker-dealer?
Principle Wealth reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Principle Wealth a fiduciary?
As an SEC-registered investment adviser, Principle Wealth 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 Principle Wealth’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 (2026-08-07), 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 →