Wealth manager, independent · Madison, CT
Warner Wealth
Warner Group LLC · SEC-registered investment adviser · CRD 334877 · SEC 801-132255
At a glance
Warner Wealth is an SEC-registered investment adviser based in Madison, Connecticut, with $458 million in regulatory assets under management as of its Form ADV filed September 29, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 739 individual clients. By Form ADV it is a wealth manager, ranked 3,104th of 8,915 wealth managers and 8,182nd of 17,210 SEC-registered advisers by assets.
Main office 203-929-2727warnerwm.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $458M
- Rank among wealth managers
- #3,104 of 8,915
- Rank among all SEC RIAs
- #8,182 of 17,210
- Rank in Connecticut
- #317 of 507
- Individual clients
- 739
- High-net-worth clients
- 330
- Accounts
- 1,332
- Discretionary
- 100% of AUM
- Employees
- 20
- Advisory staff
- 7
- Offices
- 3
Owners and executives on its Form ADV
- James A. WarnerOwner
- Lisa M. EvansChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Warner Wealth is a hybrid RIA: 7 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed September 2026) names LPL Financial as the broker-dealer its advisers are registered with.
Associated persons of Warner Wealth may also be registered representatives of LPL.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 330 | $346M | 76% |
| Individuals | 409 | $97M | 21% |
| Pension and profit sharing plans | 13 | $11M | 2% |
| Corporations or other businesses | 6 | $3M | <1% |
| Charitable organizations | – | $1M | <1% |
Disciplinary disclosures
Warner 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
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗warnerwm.com ↗
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The full record on Warner 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 5,675 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 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.
Background
Questions
How much does Warner Wealth manage?
Warner Wealth reports $458 million in regulatory assets under management across 1,332 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 29, 2026.
What kind of firm is Warner Wealth?
Warner Wealth is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Warner Wealth’s clients?
By assets, its largest client types are high-net-worth individuals ($346 million, 330 clients); individuals ($97 million, 409 clients); pension and profit sharing plans ($11 million, 13 clients).
Does Warner Wealth have any disciplinary history?
Warner Wealth reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Warner 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 (2026-09-29), 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 →