MIDDLETON & COMPANY INC.

RIASEC RegisteredEst. 1984
Total AUM
$1.2B
Discretionary
$1.2B
100% of AUM
Avg account
$2M
Accounts
613
Employees
16
Advisory reps
7

Firm details

Headquarters
BOSTON, Massachusetts
CRD number
104549
Registered since
May 4, 1984
Website
www.middletonco.com
Custodians
FNZ TRUST/STATE STREET BANK, NATIONAL FINANCIAL SERVICES LLC, CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM
Client types
  • HNWI82.26%
  • Charitable Organizations7.61%
  • Pension & Profit Sharing Plans6.01%
  • Individuals4.12%
Services
Portfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Middleton & Company Inc. is a corporate-structured registered adviser first SEC-registered in 1984 that provides discretionary portfolio management to both individuals/families and institutional clients. The firm charges fees as a percentage of assets under management and lists portfolio management for individuals/small businesses and for businesses or institutions among its advisory activities. It is connected with a trust company and is not marked as an active ESG investor or a multi-state adviser. The firm does not identify itself as a capital allocator, which aligns with its use of third‑party managers for certain alternative exposures.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 77%, Cash & Cash Equivalents 9%, US Government Bonds 7%, Other 2%, Non-Exchange Traded Equities 1%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%, Public Funds/Mutual Funds 1%, Private Funds 1%77%
  • Exchange Traded Equities77%
  • Cash & Cash Equivalents9%
  • US Government Bonds7%
  • Other2%
  • Non-Exchange Traded Equities1%

Owners & executives

3 of 3

  • ROBERT BRUCH

    Chief Investment OfficerCRD 6699901

  • CHRISTOPHER MERKLE

    Chief Compliance OfficerCRD 4308304

  • MARIA MCCORMACK

    Chief Compliance OfficerCRD 4673957

Contacts

3 of 4

  • JOHN SARGENT

    President and Managing DirectorCRD 4306511

  • GRENVILLE ANDERSON

    Senior Portfolio ManagerCRD 830307

  • ALICE WALSH

    President and Managing DirectorCRD 2035254

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

ETF holdings

1 of 46

Active vs passive

$126M in ETFs

Passive

93%

$117M

Active

6%

$8.8M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$31.7M48,46025.06%
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Location

Primary office

BOSTON, MA

SUFFOLK

Location

BOSTON, MA

Headquartered in BOSTON, MA, anchoring the Boston-Worcester-Providence, MA-RI-NH-CT metro in the Northeast.

Metro area
Boston-Worcester-Providence, MA-RI-NH-CT
Region
Northeast
County
SUFFOLK
Address
600 Atlantic Ave
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth