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EAGLE RIDGE INVESTMENT MANAGEMENT LLC

STAMFORD, CT · CRD 147824 · IAPD ↗ · 203-227-4515

$1.16BRegulatory AUM
7Advisory reps
13Employees
5Clients
51-100Planning clients
0Private funds
15States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
March 2025 — EAGLE RIDGE INVESTMENT MANAGEMENT LLC (STAMFORD, CT) left the SEC roster (was $1.16B RAUM, 7 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
63
April 2024 — EAGLE RIDGE INVESTMENT MANAGEMENT LLC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
85
April 2024 — EAGLE RIDGE INVESTMENT MANAGEMENT LLC crossed $1B in regulatory AUM ($989.9M -> $1.16B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.