Rawlings Wealth Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$17,491,017
Total clients
41
12% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
41
Average account size
$426,610
About
The firm is an independent, single‑advisor registered investment adviser that serves individual clients across income and experience levels. It offers comprehensive financial planning and ongoing portfolio management, including investment supervisory services and the use of pre‑screened third‑party managers, with advisory compensation charged as a percentage of assets under management that incorporates planning.
The adviser combines fundamental and technical analysis and may implement active, core‑plus‑satellite, or passive strategies, developing written investment guidelines and managing accounts on a discretionary basis (non‑discretionary arrangements are accommodated case‑by‑case). The firm routinely recommends a specific institutional custodian (SSG, with execution through Altruist) and participates in that custodian’s independent‑advisor program.
Noteworthy operational details include that the firm’s principal discloses a concurrent senior corporate finance role at an aerospace company, a role the brochure says may involve significant outside hours and that the firm manages potential conflicts by excluding certain employer‑related securities from advice. The firm operates without additional staff, may require the use of its recommended custodian for investment supervisory engagements, receives in‑kind services from that custodian, and does not vote client proxies.
Client services
Financial planning
Portfolio management
Expertise
Cash flow / budgeting
Debt management
Tax strategies for small businesses
Fee options
$0 - $499,999: 1.20% (120 basis points) annually $500,000 - $999,999: 1.00% (100 basis points) annually $1,000,000 - $2,999,999: 0.90% (90 basis points) annually $3,000,000 - $4,999,999: 0.80% (80 basis points) annually $5,000,000 - Above: 0.70% (70 basis points) annually
Fee-only: All-inclusive asset-based fees; no additional fee for financial planning
Main office location
Rawlings Wealth Management
Glastonbury CT, United States
Number of offices
1
Most active in
Rawlings Wealth Management has reported serving >5 clients in these states in the last 12 months.
Connecticut · Rhode Island
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:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
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.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")