Del Gallo Financial Services, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$5,813,089
Clients
12
100% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
12
LowAverage account size
$484,424
About
Del Gallo Financial Services, LLC provides portfolio management, financial planning, pension and retirement‑plan consulting, third‑party manager selection and trust‑referral services to individuals (including high‑net‑worth clients), pension and profit‑sharing plans, trusts, estates, charitable organizations, educational institutions and business entities. The firm also operates as a licensed insurance agency and offers insurance‑related products separately from its advisory engagements.
The firm delivers advice on a non‑discretionary basis, working with clients to develop written investment policy statements and typically constructing portfolios from load‑waived or no‑load mutual funds and ETFs with periodic reviews and annual rebalancing. It also serves as a solicitor for third‑party investment managers and trust companies, and provides educational seminars and participant workshops as part of its pension consulting services (these seminars do not provide individualized investment advice).
Noteworthy aspects include the combination of an RIA practice with licensed insurance activity and active real‑estate licensing/ownership, plus a stated emphasis on public and plan‑participant education—features less common among peers. The firm is small in scale (about $5.8 million in regulatory assets across roughly a dozen clients) and discloses receipt of referral/solicitor fees and other potential conflicts related to its insurance and referral arrangements.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Educational seminars or workshops
Consulting; seminars & workshops
Expertise
General retirement planning
Wealth management
Occupation focus
Educators, Teachers, and Academics
Founder/Business Owner
Fee options
Fixed fees ranging from $1,000 to $30,000 for consulting, seminars, workshops, and financial planning
$0+: 0.50% to 1.50% annually for Portfolio Management Services (tiered rate range, exact tiers not specified) $0+: 0.10% to 1.50% annually for Pension & Other Retirement Plans Consulting fees (based on plan assets)
Insurance commissions and incentive awards may be received; also solicitor fees up to 1.25% for trust company referrals
Hourly rates range from $125 to $350 per hour for consulting, seminars, workshops, financial planning
Account minimum: $150,000 Minimum fee: Minimum fee of $1,000 for consulting and financial planning services Fee-only: Financial planning and consulting fees charged on fixed fee or hourly basis, e.g., $1,000 to $30,000 fixed fees or $125 to $350 per hour
Main office location
Del Gallo Financial Services, LLC
Avon CT, United States
Number of offices
2
Most active in
Del Gallo Financial Services, LLC has reported serving >5 clients in these states in the last 12 months.
Connecticut
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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