Wealth manager, independent · Westport, CT
Third View Private Wealth
Third View Private Wealth, LLC · SEC-registered investment adviser · CRD 335591 · SEC 801-132770
At a glance
Third View Private Wealth is an SEC-registered investment adviser based in Westport, Connecticut, with $1.2B in regulatory assets under management as of its Form ADV filed August 10, 2026. It reports 322 individual clients, 183 of them high-net-worth, holding an average of about $3.6 million each, and 11 employees. That ranks it 951st among the nation’s 5,657 independent wealth management RIAs and 22nd of 100 in Connecticut. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity.
Main office 860-759-0650thirdviewpw.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.2B
- Rank among independent wealth managers
- #951 of 5,657
- Rank among all SEC RIAs
- #4,953 of 17,210
- Rank in Connecticut
- #22 of 100
- Individual clients
- 322
- High-net-worth clients
- 183
- Accounts
- 1,792
- Discretionary
- 100% of AUM
- Employees
- 11
- Advisory staff
- 6
- Offices
- 1
Owners and executives on its Form ADV
- FRANCIS J. MCKIERNANManaging Member
- Jerry R. SneedManaging Member
- Zoltan PongraczManaging Member
- Christopher L. PayneCCO
Custody and brokerage
Broker-dealer
Hybrid RIA
Third View Private Wealth is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed August 2026) names The Leaders Group as the broker-dealer its advisers are registered with.
Certain Advisory Persons may also be registered representatives of The Leaders Group (“TLG”).
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 183 | $1.1B | 94% |
| Individuals | 139 | $69M | 6% |
| Charitable organizations | 2 | $2M | <1% |
Disciplinary disclosures
Third View Private 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
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗thirdviewpw.com ↗
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The full record on Third View Private Wealth
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, 1 years of filings
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- Growth over one, three and five years
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- Rank against 3,164 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 |
|---|---|---|
| Bourgeon Capital Management LLCDarien | $1.3B | 286 |
| Gilman Hill Asset Management, LLCNew Canaan | $1.2B | 289 |
| Baxter Investment ManagementRiverside | $1.2B | 425 |
| HTG Investment Advisors IncNew Canaan | $1.1B | 377 |
| Sovereign Financial Group, Inc.Stamford | $1.1B | 1,288 |
| QP Global Family Offices, LLCGreenwich | $1.0B | 10 |
Background
Questions
How much does Third View Private Wealth manage?
Third View Private Wealth reports $1.2B in regulatory assets under management across 1,792 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 10, 2026.
How many clients does Third View Private Wealth have?
It reports 322 individual clients: 183 high-net-worth individuals and 139 other individuals. Individuals account for about 100% of its regulatory assets.
Where is Third View Private Wealth headquartered?
Its main office is in Westport, Connecticut. It reports 1 office in total and 11 employees, 6 of whom perform investment advisory functions.
How does Third View Private Wealth charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees; performance-based fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Third View Private Wealth use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity. On Schedule D of its Form ADV filed August 10, 2026, it reports these amounts held: Charles Schwab ($886M); Fidelity ($156M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Third View Private Wealth a hybrid RIA with a broker-dealer?
Third View Private Wealth is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Third View Private Wealth a fiduciary?
As an SEC-registered investment adviser, Third View Private Wealth owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 1 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Third View Private 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 (2026-08-10), 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 →