Haviland & Sams, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
101
79% high-net worth
Advisors
2
of 3 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Clients per advisor
51
TypicalAverage account size
$0
About
Haviland & Sams advises corporations, individuals (including high net worth clients), families, business owners, professionals and corporate executives on comprehensive financial planning, modeling, and related consulting. The firm offers three distinct services—Wealth Management, Independent Investment Manager Search and Monitoring, and Ad Hoc Consulting—while generally not directly managing client investment assets.
Rather than making securities selections, Haviland & Sams acts as a strategist: it develops investment policy statements, recommends asset allocation and screens mutual funds, and refers clients to independent investment managers and platform programs (including Schwab Institutional and BNY Mellon) while monitoring those managers’ performance. Its advisory engagements are primarily delivered through fixed or project-based fee arrangements and hourly consulting, with asset-based fees used in specific contexts such as manager-monitoring or wrap programs rather than as the sole fee model across all wealth management clients.
Distinctive features include a small, supported advisory team that tailors services to owner-managed businesses (including continuity and value-realization planning) and provides limited retirement-plan consulting and participant education for a small number of plans. The firm also disclaims discretionary trading and proxy voting, and on a limited basis serves in a trusteeship role for a client trust, a level of fiduciary involvement that is uncommon for firms of this size and model.
Client services
Expertise
Occupation focus
Fee options
Fixed fees typically ranging from $3,500 to $35,000 annually; fixed quarterly fees of $3,500 to $5,000 for retirement plan services
Hourly rates up to $500
Minimum fee: Annual fixed fee typically ranging from $3,500 to $35,000, charged quarterly in advance Fee-only: Fixed fees ranging from $3,500 to $35,000 annually; hourly fees up to $500 per hour; fixed quarterly fees of $3,500 to $5,000 for retirement plan services
Main office location
Haviland & Sams, LLC
30 Stanford Drive, 2 Nd Floor
Farmington CT 06032, United States
Number of offices
1
Most active in
Connecticut · Florida · Massachusetts · New York
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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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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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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