Warner Wealth

RIASEC Registered

Total AUM

$458M

Discretionary

$458M

100% of AUM

Avg account

$344K

Accounts

1,332

Employees

20

Advisory reps

12

Firm details

Headquarters: Madison, Connecticut
CRD number: 334877
Registered since: April 1, 2025
Website: www.warnerwealthct.com
Custodians: LPL FINANCIAL LLC
Fee structure: Percentage of AUM
Client types: HNWI75.53%
Individuals21.17%
Pension & Profit Sharing Plans2.37%
Corporations / Businesses0.71%
Charitable Organizations0.22%
Services: Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Warner Wealth is an independent registered investment adviser that began SEC registration in 2025. The firm operates on a percentage-of-AUM fee model and serves both individual/family and institutional clients. Its advisory services focus on financial planning and portfolio management for individuals and small businesses. Warner Wealth identifies as an active ESG investor and maintains industry relationships with accounting and insurance firms.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Public Funds/Mutual Funds49%
Non-Investment Grade Corp Bonds23%
Other14%
Exchange Traded Equities10%
Cash & Cash Equivalents4%

Owners & executives

2 of 2

James Warner
CEO and Wealth AdvisorCRD 5991972
Lisa LaFond
Chief Compliance OfficerCRD 4575679

Contacts

3 of 10

Bette Lynn Paez
Financial PlannerCRD 4377915
Nahid Noory
Licensed Client Service RepresentativeCRD 4471558
Daniel German
Financial AdvisorCRD 5929877

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 91

Active vs passive

$446M in ETFs

Passive

97%

$434M

Active

3%

$12M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
INVESCO SEMICONDUCTORS ETF (PSI)	Invesco	Passive	Technology	$65M	346,221	14.59%

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Primary office

Madison, CT

New Haven

Location

Madison, CT

Headquartered in Madison, CT, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area: New York-Newark, NY-NJ-CT-PA
Region: Northeast
County: New Haven
Address: 869 Boston Post Rd
Time zone: ET (UTC-5)
Office locations

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