Southport Station Financial Management, LLC

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Client assets under management

$186,007,095

Clients

182

46% high-net worth

Advisors

of 3 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Typical

Average account size

$1,022,017

About

Southport Station Financial Management is a small SEC-registered advisory firm with three advisors managing roughly $192 million for about 180 clients, serving individuals (including high-net-worth clients), trusts, pension and profit-sharing plans, and other entities. The firm offers both discretionary and non-discretionary portfolio management as well as stand-alone financial planning and consulting services.

Investment allocations typically include mutual funds, ETFs, individual equities and fixed income, and the firm uses a mix of long-term, short-term and trading strategies with ongoing monitoring and periodic rebalancing. It also implements options strategies (including covered call writing and long puts) and, in separately managed accounts, may utilize derivatives and allocate fixed income/preferred equity management to an unaffiliated broker-dealer for day-to-day discretion.

What sets the firm apart from many peers is its disclosed affiliation with a licensed insurance agency and the ability of certain representatives to offer commission-based insurance and brokerage products, arrangements the brochure identifies as potential conflicts of interest. The firm also provides an optional account-aggregation reporting service for excluded assets, treats cash as an explicit asset class with defined cash-sweep practices, and recommends a primary custodial relationship for client accounts.

Client services

Financial planning Portfolio management

Expertise

Options & derivatives strategies

Fee options

Fixed

Financial planning and consulting fixed fees generally range from $500 to $20,000.

Percentage

$0 - $499,999: 1.25% $500,000 - $2,999,999: 1.00% $3,000,000 - $5,999,999: 0.75% $6,000,000+: Negotiable

Commissions

Clients can engage representatives as registered representatives of PKS to implement investment recommendations on a commission basis; commissions vary.

Project-based

Financial planning and consulting hourly fees range from $250 to $375 per hour.

Other

Account minimum: $250,000 Fee-only: Financial planning and consulting fees generally range from $500 to $20,000 on a fixed fee basis or from $250 to $375 per hour.

Main office location

Southport Station Financial Management, LLC

368 Center Street

Southport CT 06890, United States

Number of offices

Most active in

Connecticut · Florida · New Hampshire · New York · Texas

Disclosures

Business activities & affiliations

Is active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

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.

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

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

LinkedIn Website 203-254-2333

Advisors at this firm

David B

CFP®, Series 65

Southport, CT

Southport Station Financial Management, LLC

David Brezina is a CFP® professional at Southport Station Financial Management, LLC with 17 years of industry experience. He has been with Southport Station since 2008 and also operates an independent insurance agency, Barth Insurance Agency. Additionally, he owns and operates a landscaping and property management business. Southport Station Financial Management provides personalized financial planning and asset management services to individuals, retirement plans, trusts, estates, charitable organizations, and business entities. The firm employs active derivatives and options strategies and offers both discretionary and non-discretionary portfolio management.

Options & derivatives strategies

Eric P

Series 65

Southport, CT

Southport Station Financial Management, LLC

Eric Peck is a financial advisor at Southport Station Financial Management, LLC, holding a Series 65 designation with five years of industry experience. His prior work includes roles at Walsh Construction Company II, LLC and J&G Group, Inc. dba JPR Mechanical, Inc. Since 2014, he has been associated with Southport Station Financial Management in various capacities. Southport Station Financial Management provides personalized financial planning, asset management, and consulting services to individuals, retirement plans, trusts, estates, charitable organizations, and businesses. The firm employs a process centered on client objectives, asset allocation, and ongoing portfolio management, with a notable use of derivatives and options strategies uncommon among similar-sized supported firms.

Options & derivatives strategies

Thomas T

CFP®, ChFC®, Series 66

Windermere, FL

Southport Station Financial Management, LLC

Thomas Turiano is a CFP® and ChFC® with 24 years of industry experience. He has been with Southport Station Financial Management, LLC since 2008 and has also worked at Purshe Kaplan Sterling Investments since 2009. Outside of financial advising, he owns Double T Sports Memorabilia, a business involved in buying and selling sports memorabilia. Southport Station Financial Management provides personalized financial planning, asset management, and consulting services to individuals, retirement plans, trusts, estates, charitable organizations, and businesses. The firm employs a process that includes asset allocation, ongoing monitoring, and options strategies, serving clients with both discretionary and non-discretionary portfolio management.

Options & derivatives strategies

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