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WARNER WEALTH

MADISON, CT · CRD 334877 · IAPD ↗ · 203-929-2727

$458.5MRegulatory AUM
7Advisory reps
20Employees
0Clients
251-500Planning clients
0Private funds
15States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
October 2026 — WARNER WEALTH notice-filed in GA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2026 — WARNER WEALTH notice-filed in VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
April 2026 — WARNER WEALTH reported RAUM up 26% ($362.8M -> $458.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
70
April 2026 — WARNER WEALTH grew from 5 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
76
April 2026 — WARNER WEALTH reports 251-500 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
47
January 2026 — WARNER WEALTH notice-filed in NC, SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
December 2025 — WARNER WEALTH added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
December 2025 — WARNER WEALTH notice-filed in CA, FL, MA, ME, NH, NJ, NY, PA, RI, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
April 2025 — WARNER WEALTH (MADISON, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 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.