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GARDEN INVESTMENTS

GREENWICH, CT · CRD 330358 · IAPD ↗ · (203) 242-8370

$507.7MRegulatory AUM
8Advisory reps
8Employees
0Clients
n/aPlanning clients
2Private funds
2States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

55
April 2026 — GARDEN INVESTMENTS crossed $500M in regulatory AUM ($463.1M -> $507.7M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
April 2026 — GARDEN INVESTMENTS grew from 6 to 8 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
58
February 2026 — GARDEN INVESTMENTS's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
30
March 2025 — GARDEN INVESTMENTS notice-filed in CA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
March 2025 — GARDEN INVESTMENTS now reports 1 private fund(s) ($463.1M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
58
January 2025 — GARDEN INVESTMENTS now reports custody of client assets ($466.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
85
September 2024 — GARDEN INVESTMENTS (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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