Fee-only adviser · Bristol, CT
Rioux & Company, LLC
Rioux & Company, LLC is a fee-only investment adviser registered with the securities regulator of Connecticut, with a mailing address in Bristol, Connecticut (its office is a private residence, so the street address is not published). On its latest Form ADV, filed March 30, 2022, it reports $20M in regulatory assets under management, 71 individual clients and 1 employee who gives 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 | State-registered: Connecticut |
|---|---|
| Firm CRD number | 42043 · SEC file 801-64933 |
| Office | Bristol, CT (mailing address; office not published) |
| Phone | (860) 589-8754 |
| Website | www.riouxcompany.com |
| Regulatory assets under management | $20M |
| Individual clients | 63 non-high-net-worth, 8 high-net-worth |
| Financial planning clients | 0 |
| How it charges | Percentage of assets, Hourly, Fixed fee |
| Services | Portfolio management |
| Employees | 1 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | March 30, 2022 |
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 offers hourly or fixed-fee arrangements, so you may be able to pay for a plan without handing over your investments.
- It also charges a percentage of assets managed for ongoing investment management.
- Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
- 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.
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