Fee-only adviser · Stamford, CT
Clinton Investment Management, LLC
Clinton Investment Management, LLC is a fee-only investment adviser registered with the U.S. Securities and Exchange Commission, with its main office in Stamford, Connecticut. On its latest Form ADV, filed October 23, 2026, it reports $3.9B in regulatory assets under management, 2,095 individual clients and 11 employees who give investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | SEC-registered |
|---|---|
| Firm CRD number | 143599 · SEC file 801-69342 |
| Office | 333 Ludlow Street South Tower, 8th Floor Stamford, CT 06902 |
| Phone | (203) 276-6246 |
| Website | www.clintoninvestment.com |
| Regulatory assets under management | $3.9B |
| Individual clients | 1,136 non-high-net-worth, 959 high-net-worth |
| Financial planning clients | Not reported |
| How it charges | Percentage of assets |
| Services | Portfolio management |
| Employees | 14 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | October 23, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It charges only as a percentage of the assets it manages. Ask about the fee schedule and any account minimum, which Form ADV Part 1 does not record.
- Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
- It sponsors or manages a wrap fee program; ask what the bundled fee covers.
- It reports no disciplinary history on Form ADV.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
Other fee-only advisers in Stamford
- Sovereign Financial Group, Inc. $1.1B
- Clear Harbor Asset Management, LLC $2.1B
- RZH Advisors LLC $2.4B
- Scholtz & Company, LLC $341M
- JC Capital Advisors Group LLC $263M
- Oak Financial Group Inc $177M
See all 30 fee-only advisers in Stamford →
Nearby
- Old Greenwich 1 firm
- Riverside 1 firm
- Darien 17 firms
- Greenwich 22 firms
- Rowayton 2 firms
- Norwalk 4 firms
- New Canaan 6 firms
- Port Chester 1 firm
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