BRADLEY FOSTER & SARGENT INC
Adviser information for BRADLEY FOSTER & SARGENT INC last updated from Form ADV on March 22nd, 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 | 49 |
|---|---|
| Investment Advisory/Research | 17 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 5 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4,463 | $6.8B |
| Non-Discretionary | 5 | $3.6M |
| Total | 4,468 | $6.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 586 | $355.3M |
| HNW Individuals | 944 | $5.7B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $63.8M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $50.1M |
| Pension and profit sharing plans | 6 | $19.2M |
| Charitable organizations | 49 | $285.1M |
| 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 | 30 | $322.1M |
| Other | 3 | $15.0M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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 businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-46616 |
|---|---|
| SEC ERA File Number | 801-46616 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106928 |
| Legal Entity Identifier | None |
Principal Office
185 ASYLUM STREETCITY PLACE II, 11TH FLOOR
HARTFORD
CT
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 860-527-8050, Fax: 860-527-0775
Chief Compliance Officer
ANDREW R GORDON
CCO
185 ASYLUM STREET
CITY PLACE II, 11TH FLOOR
HARTFORD
CT
United States
Tel:
860-241-4691
Fax:
860-527-0775
B************@************M
(Full email address available in API data)
Regulatory Contact
GALAN G DAUKAS
PRESIDENT & CEO
185 ASYLUM STREET,
CITYPLACE II, 11TH FLOOR
HARTFORD
CT
United States
Tel:
860-241-4646
Fax:
860-527-0775
G******@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CRYSTAL PARTNERS FUND LIMITED PARTNERSHIP | Hedge Fund | $55.7M | $0.1M | 68 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BRADLEY, ROBERT, HOLMES | Individual | – | CHAIRMAN | 07/1994 | 10-25% |
| MARSTED, JEFFREY, GILBERT | Individual | – | DIRECTOR | 10/1995 | 5-10% |
| LAROSE, KEITH, GLENN | Individual | – | DIRECTOR | 02/2000 | 10-25% |
| BURNS, CAMERON, HORATIO | Individual | – | EVP | 10/2011 | 10-25% |
| SARGENT, THOMAS, DENNEY | Individual | – | DIRECTOR | 07/2000 | 10-25% |
| MILLER, GREGORY, MICHAEL | Individual | – | EVP | 09/2013 | 5-10% |
| GORDON, ANDREW, REGINALD | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2021 | < 5% |
| RANGATCHEVA, GUERGANA | Individual | – | CHIEF FINANCIAL OFFICER | 12/2020 | < 5% |
| WALKER, JOSEPH, ANTHONY | Individual | – | CHIEF OPERATIONS OFFICER | 04/2021 | < 5% |
| DAUKAS, GALAN, GEORGE | Individual | – | PRESIDENT AND CEO | 01/2022 | 5-10% |
| KIRSCHENBAUM, PETER, JAY | Individual | – | EVP | 11/2021 | 5-10% |
| CHEN, ROSA, YII-CHING | Individual | – | DIRECTOR OF RESEARCH AND PORTFOLIO MANAGER | 03/2016 | < 5% |
| DAPONTE, EUGENE, A | Individual | – | EVP | 02/2022 | < 5% |