TOOMEY INVESTMENT MANAGEMENT, INC
Adviser information for TOOMEY INVESTMENT MANAGEMENT, INC last updated from Form ADV on January 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Connecticut, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,245 | $216.7M |
| Non-Discretionary | 2 | $4.1M |
| Total | 1,247 | $220.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,173 | $147.6M |
| HNW Individuals | 63 | $66.0M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 6 | $5.3M |
| Charitable organizations | 3 | $1.1M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 2 | $937,832 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agentAccountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-112517 |
|---|---|
| SEC ERA File Number | 801-112517 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 127346 |
| Legal Entity Identifier | None |
Principal Office
420 CENTER STREET1ST FLOOR
WALLINGFORD
CT
United States
Monday - Friday, 9:00AM - 4:30PM
Tel: 203-949-1710, Fax: 203-265-6874
Chief Compliance Officer
BRENDAN TOOMEY
PRESIDENT
420 CENTER ST
WALLINGFORD
CT
United States
Tel:
2039491710
Fax:
2032656874
B****@***************M
(Full email address available in API data)
Regulatory Contact
BRENDAN TOOMEY
PRESIDENT
420 CENTER STREET
WALLINGFORD
CT
United States
Tel:
(203) 949-1710
Fax:
(203) 265-6874
B****@***************M
(Full email address available in API data)
Industry Affiliates
| TOOMEY INVESTMENT MANAGEMENT, INC. | Other investment adviser, including financial planners |
| TOOMEY INVESTMENT MANAGEMENT, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| TOOMEY, BRENDAN, RICHARD | Individual | – | PRESIDENT | 12/2009 | > 75% |
| TOOMEY, BRENDAN, RICHARD | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2009 | > 75% |
| TOOMEY, AUSTIN, PATRICK | Individual | – | VICE-PRESIDENT | 12/2009 | < 5% |