Hedge Fund Database

CHARTER OAK CAPITAL MANAGEMENT

CHARTER OAK CAPITAL MANAGEMENT, LLC Legal Name

Adviser information for CHARTER OAK CAPITAL MANAGEMENT last updated from Form ADV on March 6th, 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 Delaware, United States

Employees

Total Number of Employees 21
Investment Advisory/Research 12
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 12
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 4,048 $1.1B
Non-Discretionary 0 $0
Total 4,048 $1.1B

Clients

Type Number RAUM
Individuals 919 $392.4M
HNW Individuals 312 $714.3M
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 25 $3.0M
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 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1257

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsEducational seminars/workshops
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-64808
SEC ERA File Number 801-64808
SEC CIK Numbers 1810720
SEC CRD Numbers 120870
Legal Entity Identifier None

Principal Office

TWO INTERNATIONAL DRIVE
SUITE 325
PORTSMOUTH
NH
United States
Monday - Friday, 8:30 A.M. TO 5:00 P.M.
Tel: 800-646-5720, Fax: 866-289-0903

Websites

www.charteroakcm.com www.linkedin.com/company/charter-oak-capital-management/

Chief Compliance Officer

JEFFREY S. TROIANO
MANAGING PARTNER/CCO
TWO INTERNATIONAL DRIVE
SUITE 325
PORTSMOUTH
NH
United States
Tel: 800-646-5720
Fax: 866-289-0903
(Full email address available in API data)

Regulatory Contact

SARAH SERLING
SENIOR FINANCIAL ADVISOR, PARTNER
TWO INTERNATIONAL DRIVE
SUITE 325
PORTSMOUTH
NH
United States
Tel: 800-646-5720
(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
TROIANO, JEFFREY, SCOTT Individual – MANAGING MEMBER/CHIEF COMPLIANCE OFFICER 07/2002 50-75%
CESCA, TODD, MICHAEL Individual – PARTNER 10/2011 5-10%
WYAND, LENA Individual – PARTNER 10/2011 10-25%
ZARAMBA, KAREN, LEE Individual – PARTNER 07/2015 10-25%
CLAPP, SARAH, SERLING Individual – PARTNER 01/2022 5-10%

No. Employees, Historic

30150201920202021202220232024202517 on 5/13/201917 on 3/27/202017 on 6/30/202018 on 9/11/202018 on 9/11/202018 on 9/11/202018 on 9/11/202018 on 10/19/202018 on 1/25/202118 on 3/16/202118 on 3/22/202218 on 7/1/202218 on 10/19/202218 on 12/6/202218 on 12/7/202217 on 1/20/202321 on 2/21/202321 on 2/22/202321 on 4/12/202321 on 9/1/202321 on 3/6/2024

RAUM, Historic

2B1B02019202020212022202320242025559097794 on 5/13/2019614094158 on 3/27/2020614094158 on 6/30/2020614094158 on 9/11/2020614094158 on 9/11/2020614094158 on 9/11/2020614094158 on 9/11/2020614094158 on 10/19/2020614094158 on 1/25/2021782153424 on 3/16/2021890337223 on 3/22/2022890337223 on 7/1/2022890337223 on 10/19/2022890337223 on 12/6/2022890337223 on 12/7/2022890337223 on 1/20/2023983419357 on 2/21/2023983419357 on 2/22/2023983419357 on 4/12/2023983419357 on 9/1/20231109715192 on 3/6/2024

No. Clients, Historic

2,0001,000020192020202120222023202420251125 on 5/13/20191096 on 3/27/20201096 on 6/30/20201096 on 9/11/20201096 on 9/11/20201096 on 9/11/20201096 on 9/11/20201096 on 10/19/20201096 on 1/25/20211098 on 3/16/20211180 on 3/22/20221180 on 7/1/20221180 on 10/19/20221180 on 12/6/20221180 on 12/7/20221180 on 1/20/20231292 on 2/21/20231292 on 2/22/20231292 on 4/12/20231292 on 9/1/20231256 on 3/6/2024

Holdings

From latest 13F, filed July 24th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 352K 3K –
ABBVIE INC COM 1M 8K –
ADVANCED MICRO DEVICES INC COM 236K 1K –
AFLAC INC COM 247K 3K –
ALPHABET INC CAP STK CL C 718K 4K –
ALPHABET INC CAP STK CL A 551K 3K –
AMAZON COM INC COM 1M 5K –
AMERIPRISE FINL INC COM 567K 1K –
ANALOG DEVICES INC COM 4M 18K –
APPLE INC COM 16M 78K –
APPLIED MATLS INC COM 1M 6K –
AT&T INC COM 273K 14K –
BANK AMERICA CORP COM 216K 5K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 892K 2K –
BOEING CO COM 424K 2K –
BROADCOM INC COM 381K 237 –
CARRIER GLOBAL CORPORATION COM 205K 3K –
CATERPILLAR INC COM 478K 1K –
CHEVRON CORP NEW COM 571K 4K –
CHURCH & DWIGHT CO INC COM 225K 2K –
CISCO SYS INC COM 380K 8K –
COCA COLA CO COM 459K 7K –
DEERE & CO COM 578K 2K –
DIREXION SHS ETF TR DRX S&P500BULL 1M 10K –
DIREXION SHS ETF TR DLY S&P500 BR 3X 79K 10K –
DISNEY WALT CO COM 362K 4K –
ELI LILLY & CO COM 938K 1K –
EXXON MOBIL CORP COM 2M 16K –
FIDELITY COMWLTH TR NASDAQ COMPSIT 372K 5K –
FIDELITY COVINGTON TRUST MSCI ENERGY IDX 373K 15K –
FIDELITY COVINGTON TRUST MSCI CONSM DIS 632K 8K –
FIDELITY COVINGTON TRUST MSCI COMMNTN SVC 507K 10K –
FIDELITY COVINGTON TRUST MSCI HLTH CARE I 1M 19K –
GE AEROSPACE COM NEW 212K 1K –
GENERAL MLS INC COM 291K 5K –
GRANITESHARES ETF TR 2X LONG NVDA DAI 209K 3K –
HARTFORD FINL SVCS GROUP INC COM 243K 2K –
HOME DEPOT INC COM 857K 2K –
HONEYWELL INTL INC COM 323K 2K –
IDEXX LABS INC COM 2M 3K –
INTEL CORP COM 704K 23K –
INTERNATIONAL BUSINESS MACHS COM 386K 2K –
INVESCO QQQ TR UNIT SER 1 782K 2K –
IRON MTN INC DEL COM 261K 3K –
ISHARES INC MSCI CDA ETF 426K 11K –
ISHARES INC CORE MSCI EMKT 685K 13K –
ISHARES TR ESG AWARE MSCI 2M 60K –
ISHARES TR CORE 1 5 YR USD 2M 41K –
ISHARES TR ESG AWRE USD ETF 2M 70K –
ISHARES TR CORE S&P US VLU 6M 73K –
ISHARES TR SHORT TREAS BD 306K 3K –
ISHARES TR CORE S&P MCP ETF 902K 15K –
ISHARES TR US TREAS BD ETF 342K 15K –
ISHARES TR S&P 500 GRWT ETF 7M 74K –
ISHARES TR 20 YR TR BD ETF 283K 3K –
ISHARES TR MSCI USA ESG SLC 9M 78K –
ISHARES TR GL CLEAN ENE ETF 181K 14K –
ISHARES TR S&P 500 VAL ETF 5M 25K –
ISHARES TR TIPS BD ETF 341K 3K –
ISHARES TR US CONSM STAPLES 224K 3K –
ISHARES TR U.S. MED DVC ETF 4M 70K –
ISHARES TR MSCI ACWI ETF 10M 86K –
ISHARES TR RUS 1000 VAL ETF 623K 4K –
ISHARES TR 0-5YR INVT GR CP 5M 105K –
ISHARES TR ESG AWRE 1 5 YR 3M 108K –
ISHARES TR RUSEL 2500 ETF 1M 20K –
ISHARES TR RUS 1000 GRW ETF 486K 1K –
ISHARES TR MSCI ACWI EX US 8M 153K –
ISHARES TR CORE US AGGBD ET 131K 1K –
ISHARES TR US AER DEF ETF 551K 4K –
ISHARES TR U.S. FINLS ETF 399K 4K –
ISHARES TR US INDUSTRIALS 600K 5K –
ISHARES TR CORE MSCI TOTAL 6K 88 –
ISHARES TR NATIONAL MUN ETF 560K 5K –
ISHARES TR CORE S&P SCP ETF 570K 5K –
ISHARES TR ESG AWR US AGRGT 2M 40K –
ISHARES TR ISHS 1-5YR INVS 13M 254K –
ISHARES TR RUSSELL 2000 ETF 1M 6K –
ISHARES TR CORE S&P500 ETF 276M 504K –
ISHARES TR CORE S&P TTL STK 705K 6K –
ISHARES TR GLOBAL TECH ETF 3M 38K –
ISHARES TR CORE S&P500 ETF 311K 569 –
ISHARES TR U.S. FIN SVC ETF 388K 6K –
ISHARES TR CORE MSCI EAFE 1M 16K –
ISHARES TR ESG MSCI LEADR 608K 6K –
ISHARES TR BLACKROCK ULTRA 346K 7K –
ISHARES TR PFD AND INCM SEC 220K 7K –
ISHARES TR CORE US AGGBD ET 137M 1M –
ISHARES TR CORE INTL AGGR 360K 7K –
ISHARES TR CORE MSCI TOTAL 34M 509K –
ISHARES TR ISHS 5-10YR INVT 31M 605K –
ISHARES TR ISHS 5-10YR INVT 80K 2K –
ISHARES TR ESG AWR MSCI USA 1M 11K –
ISHARES TR 1 3 YR TREAS BD 3M 33K –
ISHARES TR MSCI KLD400 SOC 2M 17K –
ISHARES TR ESG AW MSCI EAFE 2M 29K –
ISHARES TR FLTG RATE NT ETF 463K 9K –
ISHARES TR CORE MSCI EURO 544K 10K –
ISHARES TR U.S. TECH ETF 2M 10K –
ISHARES U S ETF TR BLACKROCK SH DUR 334K 7K –
JOHNSON & JOHNSON COM 1M 10K –
JPMORGAN CHASE & CO. COM 2M 8K –
LOWES COS INC COM 254K 1K –
MARRIOTT INTL INC NEW CL A 546K 2K –
MARSH & MCLENNAN COS INC COM 220K 1K –
MCDONALDS CORP COM 738K 3K –
MEDTRONIC PLC SHS 1M 18K –
MERCK & CO INC COM 1M 11K –
META PLATFORMS INC CL A 224K 445 –
MICROSOFT CORP COM 4M 8K –
NETFLIX INC COM 214K 317 –
NEXTERA ENERGY INC COM 953K 13K –
NUSHARES ETF TR NUVEEN ESG US 6M 264K –
NVIDIA CORPORATION COM 1M 9K –
ORACLE CORP COM 226K 2K –
OTIS WORLDWIDE CORP COM 222K 2K –
PEPSICO INC COM 971K 6K –
PFIZER INC COM 328K 12K –
PIMCO ETF TR 0-5 HIGH YIELD 696K 8K –
PROCTER AND GAMBLE CO COM 2M 10K –
PROSHARES TR PSHS ULT S&P 500 510K 6K –
QUALCOMM INC COM 676K 3K –
REALTY INCOME CORP COM 210K 4K –
RTX CORPORATION COM 804K 8K –
SALESFORCE INC COM 2M 8K –
SELECT SECTOR SPDR TR ENERGY 223K 2K –
SELECT SECTOR SPDR TR TECHNOLOGY 435K 2K –
SELECT SECTOR SPDR TR SBI CONS DISCR 550K 3K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 301K 2K –
SELECT SECTOR SPDR TR COMMUNICATION 468K 5K –
SELECT SECTOR SPDR TR FINANCIAL 739K 18K –
SI-BONE INC COM 310K 24K –
SPDR S&P 500 ETF TR TR UNIT 4M 7K –
SPDR SER TR PORTFLI INTRMDIT 463K 17K –
SSGA ACTIVE ETF TR SPDR TR TACTIC 236K 6K –
TE CONNECTIVITY LTD SHS 1M 8K –
THE CIGNA GROUP COM 334K 1K –
THERMO FISHER SCIENTIFIC INC COM 307K 555 –
UNION PAC CORP COM 229K 1K –
UNITEDHEALTH GROUP INC COM 553K 1K –
VANECK ETF TRUST SEMICONDUCTR ETF 280K 1K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 10M 141K –
VANGUARD BD INDEX FDS SHORT TRM BOND 37K 480 –
VANGUARD BD INDEX FDS SHORT TRM BOND 48M 631K –
VANGUARD INDEX FDS SMALL CP ETF 664K 3K –
VANGUARD INDEX FDS GROWTH ETF 3M 9K –
VANGUARD INDEX FDS S&P 500 ETF SHS 26M 53K –
VANGUARD INDEX FDS VALUE ETF 3M 19K –
VANGUARD INDEX FDS EXTEND MKT ETF 96K 569 –
VANGUARD INDEX FDS LARGE CAP ETF 453K 2K –
VANGUARD INDEX FDS TOTAL STK MKT 4M 14K –
VANGUARD INDEX FDS EXTEND MKT ETF 59M 352K –
VANGUARD INDEX FDS REAL ESTATE ETF 272K 3K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 1M 34K –
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 227K 2K –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 38M 653K –
VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 3M 46K –
VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 2M 23K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 571K 7K –
VANGUARD SCOTTSDALE FDS TOTAL WLD BD ETF 498K 7K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 217K 3K –
VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 218K 5K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 3M 18K –
VANGUARD STAR FDS VG TL INTL STK F 59M 980K –
VANGUARD STAR FDS VG TL INTL STK F 125K 2K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 2M 50K –
VANGUARD WHITEHALL FDS INTL HIGH ETF 334K 5K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 1M 9K –
VANGUARD WORLD FD CONSUM STP ETF 371K 2K –
VANGUARD WORLD FD ESG INTL STK ETF 8M 137K –
VANGUARD WORLD FD ESG US STK ETF 5M 56K –
VANGUARD WORLD FD INF TECH ETF 1M 3K –
VANGUARD WORLD FD HEALTH CAR ETF 2M 6K –
VANGUARD WORLD FD INDUSTRIAL ETF 225K 958 –
VANGUARD WORLD FD UTILITIES ETF 1M 8K –
VERIZON COMMUNICATIONS INC COM 326K 8K –
VISA INC COM CL A 318K 1K –
WALMART INC COM 568K 8K –
WATSCO INC COM 1M 3K –
WISDOMTREE TR US QTLY DIV GRT 286K 4K –
YUM BRANDS INC COM 725K 5K –
YUM CHINA HLDGS INC COM 262K 8K –