Broker-dealer firm · Greenwich, CT
Searle & Co.
SEC-registered investment adviser · CRD 13035 · SEC 801-68574
At a glance
Searle & Co. is an SEC-registered investment adviser based in Greenwich, Connecticut, with $630 million in regulatory assets under management as of its Form ADV filed December 16, 2025. Its largest client group by assets is high-net-worth individuals, and it reports 126 individual clients. By Form ADV it is a broker-dealer firm, ranked 190th of 391 broker-dealer firms and 6,923rd of 17,210 SEC-registered advisers by assets.
Main office 203-869-4800searleco.comAs filed on Form ADV
- Regulatory AUM
- $630M
- Rank among broker-dealer firms
- #190 of 391
- Rank among all SEC RIAs
- #6,923 of 17,210
- Rank in Connecticut
- #269 of 507
- Individual clients
- 126
- High-net-worth clients
- 119
- Accounts
- 129
- Discretionary
- 95% of AUM
- Employees
- 13
- Advisory staff
- 7
- Offices
- 5
Owners and executives on its Form ADV
- Robert Southworth SearlePresident/chief Compliance Officer, CFO
- Karen Lynn PetersFin OP
- Thaddeus Sajous CookVice President
Custody and brokerage
Broker-dealer
Hybrid RIA
Searle & Co. is a hybrid RIA: 13 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed December 2025) names Securities Research as the broker-dealer its advisers are registered with.
ng investment advice on behalf of our firm are registered representatives with Securities Research, Inc., a registered securities broker-dealers, and members of the Financial Industry Regulatory Authority and the Securities Investor Protec
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 119 | $622M | 99% |
| Charitable organizations | 1 | $5M | <1% |
| Individuals | 7 | $4M | <1% |
Disciplinary disclosures
Searle & Co. answers yes to 6 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗searleco.com ↗
AtlasMembers
The full record on Searle & Co.
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 144 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- 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.
Background
Questions
How much does Searle & Co. manage?
Searle & Co. reports $630 million in regulatory assets under management across 129 accounts, 95% of it on a discretionary basis, on its Form ADV filed December 16, 2025.
What kind of firm is Searle & Co.?
Searle & Co. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Searle & Co.’s clients?
By assets, its largest client types are high-net-worth individuals ($622 million, 119 clients); charitable organizations ($5 million, 1 clients); individuals ($4 million, 7 clients).
Does Searle & Co. have any disciplinary history?
Searle & Co. answers yes to 6 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Searle & Co.’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 (2025-12-16), 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). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. 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 →