SOMNIO FINANCIAL GROUP, LLC
Adviser information for SOMNIO FINANCIAL GROUP, LLC last updated from Form ADV on February 21st, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Connecticut, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 398 | $116.8M |
| Non-Discretionary | 0 | $0 |
| Total | 398 | $116.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 47 | $26.8M |
| HNW Individuals | 46 | $90.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 8 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-129727 |
|---|---|
| SEC ERA File Number | 801-129727 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 174217 |
| Legal Entity Identifier | None |
Principal Office
140 GLASTONBURY BLVDSUITE 23
GLASTONBURY
CT
United States
Monday - Friday, BY APPOINTMENT
Tel: 860-430-5500, Fax: 860-430-5504
Chief Compliance Officer
ROBERT ROY
MEMBER/PARTNER/FINANCIAL PROFESSIONAL
140 GLASTONBURY BLVD.
SUITE 23
GLASTONBURY
CT
United States
Tel:
860-430-5500
Fax:
860-430-5504
R**@***********M
(Full email address available in API data)
Regulatory Contact
NICHOLAS ROY
MEMBER/PARTNER/FINANCIAL PROFESSIONAL
140 GLASTONBURY BLVD.
SUITE 23
GLASTONBURY
CT
United States
Tel:
860-430-5500
Fax:
860-430-5504
N***@***********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROY, ROBERT, NORMAN | Individual | – | MEMBER | 01/2009 | 50-75% |
| ROY, NICHOLAS, RAYMOND | Individual | – | MEMBER | 01/2009 | 50-75% |
| ROY, ROBERT, NORMAN | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2015 | 50-75% |