← Tributary

TUMOLO WEALTH MANAGEMENT LLC

EAST LYME, CT · CRD 330567 · IAPD ↗ · tumolofinancial.com · (860) 650-3005

$134.0MRegulatory AUM
4Advisory reps
7Employees
0Clients
0Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
August 2026 — TUMOLO WEALTH MANAGEMENT LLC notice-filed in NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
August 2026 — TUMOLO WEALTH MANAGEMENT LLC now reports custody of client assets ($13.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
42
April 2026 — TUMOLO WEALTH MANAGEMENT LLC notice-filed in MA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
March 2026 — TUMOLO WEALTH MANAGEMENT LLC (EAST LYME, CT) is newly SEC-registered with $134.0M RAUM and 4 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.