M
Moreau Investment Management Co
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$61,800,000
Clients
47
43% high-net worth
Advisors
1
of 2 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
47
HighAverage account size
$1,314,894
About
Moreau Investment Management Co provides discretionary portfolio management and investment advice primarily to individual and high-net-worth clients. The firm reports approximately $61.8 million in assets under management across a single-advisor practice serving 47 client accounts.
Its operating policies emphasize trade execution and conflict management, requiring that client transactions be completed before related-person trades and prohibiting cross transactions, commingling, joint or pooled investments, and acting as principal. These rules govern how the firm implements investment decisions and restrict related persons from transacting ahead of clients.
The brochure discloses past disclosure events and outlines controls intended to address conflicts of interest, a feature that is uncommon among similarly supported firms. Coupled with its small, concentrated client base and explicit prohibitions on pooled/private investments and principal trading, the firm’s compliance and trade-priority practices are a notable aspect of its profile.
Client services
Portfolio management
Most active in
Moreau Investment Management Co has reported serving >5 clients in these states in the last 12 months.
Connecticut · Tennessee
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 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.
Forms ADV
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