Searle & Co

Broker-DealerFINRA MemberEst. 2007

Total AUM

$630M

Discretionary

$601M

95% of AUM

Accounts

129

Employees

13

Advisory reps

13

Brokerage reps

13

Firm details

Headquarters: Greenwich, Connecticut
CRD number: 13035
Registered since: November 30, 2007
Website: searleco.com
Custodians: PERSHING LLC
Fee structure: Percentage of AUM, Commissions
Client types: HNWI98.67%
Charitable Organizations0.76%
Individuals0.57%
Services: Portfolio Management for Individuals

Firm profile

FINTRX

Overview

Searle & Co. operates as a corporation that combines broker-dealer activity with advisory services focused on portfolio management for individuals and small businesses. The firm is SEC-registered since 2007 and is owned by an individual. Its client mix spans individual and family clients as well as institutional relationships. Compensation comes through both a percentage-of-AUM fee model and transaction-based commissions. The firm is not identified as an active ESG investor and is not listed as a capital allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities70%
US Government Bonds16%
State & Local Bonds8%
Cash & Cash Equivalents5%
Investment Grade Corp Bonds1%

Contacts

3 of 13

Nora Powell
SalesCRD 1506986
Richard Morsch
Vice PresidentCRD 5902897
Grant Kuphall
SalesCRD 860032

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 35

Active vs passive

$35.7M in ETFs

Passive

97%

$34.7M

Active

1%

$963K

ETF	Provider	Style	Category	Value	Shares	% of portfolio
INVESCO QQQ TRUST SERIES 1 (QQQ)	Invesco	Passive	Large Growth	$7M	9,466	19.54%

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Primary office

Greenwich, CT

Fairfield

Location

Greenwich, CT

Headquartered in Greenwich, CT, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area: New York-Newark, NY-NJ-CT-PA
Region: Northeast
County: Fairfield
Address: 333 Greenwich Ave
Time zone: ET (UTC-5)
Office locations

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