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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

ST. GERMAIN INVESTMENT MANAGEMENT

ST. GERMAIN INVESTMENT MANAGEMENT, INC., CRD 155186

SPRINGFIELD, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ebb8299f-9c08-6c4e-7c42-823dc4defb4b

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 46
Dated events: 11
On other graphs: 0
Observed: Dec 15, 2011 to Mar 27, 2026
71 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.93 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $3.8BItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.8B
Private client RAUM: $3.5BderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 29
RAUM per advisor: $131Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 42
Advisory employees: 30
Offices: 5Schedule D 1.F, beyond the principal office
Accounts: 6,722
Individual clients: 4,552
High net worth clients: 1,909
Custody, client assets: $3.8B
SEC number: 801-12471
CIK: 831571
CRD: 155186
Filings on the tape: 71
First filed: Dec 15, 2011
Latest filed: Mar 27, 2026
Organised: Corporation, MA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 29

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
PAUL JOSEPH MARCHESE	n/a	SPRINGFIELD, MA	15	25	2	no
TIMOTHY WALLACE SUFFISH	Chartered Financial Analyst	SPRINGFIELD, MA	15	28	2	no
MICHAEL ROBERT MATTY	Certified Financial Planner\|Chartered Financial Consultant\|Chartered Financial Analyst	Stratham, NH	15	27	2	no
PATRICIA MAE Matty	n/a	SPRINGFIELD, MA	13	23	n/a	no
MATTHEW ROBERT FARKAS	Chartered Financial Analyst	SPRINGFIELD, MA	12	16	1	no
CHRISTINE M ANDRZEJEWSKI	n/a	SPRINGFIELD, MA	11	16	n/a	no
THADDEUS STEVENS WELCH	Chartered Financial Analyst	SPRINGFIELD, MA	10	11	n/a	no
Richard Raymond Bleser	n/a	SPRINGFIELD, MA	10	21	n/a	no
Siobhan G Matty	n/a	SPRINGFIELD, MA	10	10	n/a	no
Kelly P Selkirk	Certified Financial Planner	SPRINGFIELD, MA	7	12	n/a	no
Tatyana Shut	n/a	SPRINGFIELD, MA	7	10	n/a	no
SYLVIA MENDOZA CALLAN	Chartered Financial Analyst	Northampton, MA \| SPRINGFIELD, MA	6	27	2	no
JOSHUA DAVID BEDELL	n/a	SPRINGFIELD, MA \| Northampton, MA	6	16	2	no
Dennis C Morin	n/a	Northampton, MA \| SPRINGFIELD, MA	6	10	4	no
CHRISTOPHER BOOTH MILNE	n/a	SPRINGFIELD, MA \| Northampton, MA	6	44	2	no
Matthew Ryan Freitag	n/a	SPRINGFIELD, MA \| Lee, MA	4	10	1	no
MARY KATE FRODEMA	Certified Financial Planner	Northampton, MA	4	15	2	no
POLLY WHITE CORDLE	n/a	SPRINGFIELD, MA	4	23	5	no
Laura Ann Delmolino	Certified Financial Planner	SPRINGFIELD, MA \| Northampton, MA	4	20	n/a	no
LAURA MARIE BOVINO	n/a	SPRINGFIELD, MA \| Northampton, MA	4	16	1	no
David Francis Modzelewski	n/a	SPRINGFIELD, MA	3	10	n/a	no
Marianne Sara Fresia	Certified Financial Planner	Lee, MA	2	10	n/a	no
Brendan Roberts	n/a	SPRINGFIELD, MA	2	16	n/a	no
Angelo Samuel Fiore	n/a	SPRINGFIELD, MA	2	11	n/a	no
Steven James Tynan	n/a	SPRINGFIELD, MA	1	9	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CORDLE, POLLY, WHITE	CHIEF COMPLIANCE OFFICER	Na	yes	11/2020	Mar 27, 2026	Mar 27, 2026
Fortier, John, Francis	Treasurer	Na	yes	10/2022	Mar 27, 2026	Mar 27, 2026
MATTY, MICHAEL, ROBERT	PRESIDENT, DIRECTOR, SECRETARY	Na	yes	08/2010	Mar 27, 2026	Mar 27, 2026
SUFFISH, TIMOTHY, WALLACE	Director	Na	yes	08/2010	Mar 27, 2026	Mar 27, 2026
MATTY, MICHAEL, ROBERT	PRESIDENT, DIRECTOR, SECRETARY	D	yes	11/2008	Dec 15, 2011	Nov 18, 2024
DJ ST GERMAIN CO., INC.	CORPORATE OWNER	E	no	08/2010	Mar 27, 2026	Mar 27, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ST. GERMAIN SECURITIES, INC.	n/a	n/a	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Northampton	Ma	United States	5	yes
Lee	Ma	United States	3	no
Plymouth	Ma	United States	1	yes
Jackson	Ms	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026	$3.8B	$3.8B	42	30	5	n/a	n/a
2024	Apr 30, 2025	$3.1B	$3.1B	42	26	5	n/a	n/a
2023	Mar 29, 2024	$2.7B	$2.6B	40	23	4	n/a	n/a
2022	Mar 24, 2023	$2.3B	$2.2B	40	23	4	n/a	n/a
2021	Mar 29, 2022	$2.6B	$2.6B	41	24	4	n/a	n/a
2020	Mar 30, 2021	$2.0B	$1.9B	32	21	3	n/a	n/a
2019	Mar 30, 2020	$1.9B	$1.8B	32	21	2	n/a	n/a
2018	Feb 20, 2019	$1.4B	$1.4B	24	11	1	n/a	n/a
2017	Mar 20, 2018	$1.4B	$1.3B	21	11	1	n/a	n/a
2016	Feb 3, 2017	$1.1B	$1.1B	21	13	n/a	n/a	n/a
2015	Feb 2, 2016	$1.0B	$998M	18	11	n/a	n/a	n/a
2014	Jan 12, 2015	$1.0B	$975M	15	9	n/a	n/a	n/a
2013	Jan 8, 2014	$1.1B	$993M	17	7	n/a	n/a	n/a
2012	Jan 14, 2013	$913M	$869M	19	8	n/a	n/a	n/a
2011	Dec 15, 2011	$800M	$773M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	3	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$3.8B	$3.1B	22.3%	$2.3B	18.4%	42	42	5	5

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
NEW ENGLAND CAPITAL	4	Jan 4, 2021	Mar 16, 2020	NORTHAMPTON, MA	Firm absorbed	RIA to RIA	100.0%

Relationships

Registered with (34)

← TANYA LYNNE HAASAdvisorregistration: current employment
Jul 21, 2025 to presentfactForm ADV
← Jason IrwinAdvisorregistration: current employment
May 28, 2025 to presentfactForm ADV
← Ava Claire CariddiAdvisorregistration: current employment
May 15, 2025 to presentfactForm ADV
← MAURICE STEVEN BOWERMANAdvisorregistration: current employment
Feb 5, 2025 to presentfactForm ADV
← Steven James TynanAdvisorregistration: current employment
Jan 2, 2025 to presentfactForm ADV
← Angelo Samuel FioreAdvisorregistration: current employment
Jul 17, 2024 to presentfactForm ADV
← Brendan RobertsAdvisorregistration: current employment
Jun 18, 2024 to presentfactForm ADV
← Marianne Sara FresiaAdvisorregistration: current employment
May 30, 2024 to presentfactForm ADV
← David Francis ModzelewskiAdvisorregistration: current employment
May 2, 2023 to presentfactForm ADV
← Laura Ann DelmolinoAdvisorregistration: current employment
Jul 7, 2022 to presentfactForm ADV
← LAURA MARIE BOVINOAdvisorregistration: current employment
Jul 7, 2022 to presentfactForm ADV
← POLLY WHITE CORDLEAdvisorregistration: current employment
May 17, 2022 to presentfactForm ADV
← MARY KATE FRODEMAAdvisorregistration: current employment
May 10, 2022 to presentfactForm ADV
← Matthew Ryan FreitagAdvisorregistration: current employment
Sep 22, 2021 to presentfactForm ADV
← CHRISTOPHER BOOTH MILNEAdvisorregistration: current employment
Mar 16, 2020 to presentfactForm ADV
← SYLVIA MENDOZA CALLANAdvisorregistration: current employment
Feb 11, 2020 to presentfactForm ADV
← JOSHUA DAVID BEDELLAdvisorregistration: current employment
Feb 11, 2020 to presentfactForm ADV
← Dennis C MorinAdvisorregistration: current employment
Feb 11, 2020 to presentfactForm ADV
← Tatyana ShutAdvisorregistration: current employment
Aug 27, 2019 to presentfactForm ADV
← Kelly P SelkirkAdvisorregistration: current employment
Jan 23, 2019 to presentfactForm ADV
← Siobhan G MattyAdvisorregistration: current employment
Mar 7, 2016 to presentfactForm ADV
← Richard Raymond BleserAdvisorregistration: current employment
Nov 24, 2015 to presentfactForm ADV
← THADDEUS STEVENS WELCHAdvisorregistration: current employment
Nov 9, 2015 to presentfactForm ADV
← CHRISTINE M ANDRZEJEWSKIAdvisorregistration: current employment
Sep 22, 2014 to presentfactForm ADV
← MATTHEW ROBERT FARKASAdvisorregistration: current employment
Apr 28, 2014 to presentfactForm ADV
← PATRICIA MAE MattyAdvisorregistration: current employment
May 28, 2013 to presentfactForm ADV
← TIMOTHY WALLACE SUFFISHAdvisorregistration: previous registration
Oct 26, 2010 to Dec 31, 2010factForm ADV
← MICHAEL ROBERT MATTYAdvisorregistration: previous registration
Oct 26, 2010 to Dec 31, 2010factForm ADV
← PAUL JOSEPH MARCHESEAdvisorregistration: previous registration
Oct 26, 2010 to Dec 31, 2010factForm ADV
← Bryan Atherton GreenleafAdvisorregistration: previous registration
Sep 22, 2021 to Mar 28, 2024factForm ADV
and 4 more

Controls (4)

← SUFFISH, TIMOTHY, WALLACEOwnerDIRECTOR, ownership code NA, individual
Dec 15, 2011 to Nov 18, 2024factForm ADV
← CORDLE, POLLY, WHITEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 17, 2020 to Nov 18, 2024factForm ADV
← MATTY, MICHAEL, ROBERTOwnerPRESIDENT, DIRECTOR, SECRETARY, ownership code D, individual
Dec 15, 2011 to Nov 18, 2024factForm ADV
← Fortier, John, FrancisOwnerTREASURER, ownership code NA, individual
Dec 15, 2022 to Nov 18, 2024factForm ADV

Owns (1)

← DJ ST GERMAIN CO., INC.OwnerCORPORATE OWNER, ownership code E, domestic entity
Dec 15, 2011 to Nov 18, 2024factForm ADV

Moved with (1)

← NEW ENGLAND CAPITALRegistered adviser4 advisors, firm absorbed, same day
Jan 4, 2021 to Mar 16, 2020factForm ADV

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 28, 2024
Advisor changed firm
Bryan Atherton Greenleaf left St. Germain Investment Management for Mml Investors Services, Llc (registered 2024-03-19)
Form ADVobserved 4 days ago
Occurred
Dec 15, 2022
Control person joined
Francis John Fortier (Treasurer) appeared on Schedule A of St. Germain Investment Management
Form ADVobserved 4 days ago
Occurred
Dec 15, 2022
Control person left
Maxwell Jason Schuck (Treasurer) no longer on Schedule A of St. Germain Investment Management (listed 2022-06-22, absent 2022-12-15)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
Brian Benson left St. Germain Investment Management for Hoskin Capital (registered 2024-04-15)
Form ADVobserved 4 days ago
Occurred
Aug 30, 2022
Advisor changed firm
William Francis Walthouse left St. Germain Investment Management for Citizens Securities, Inc. (registered 2022-10-19)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2022
Regulatory AUM changed
St. Germain Investment Management reported RAUM $2.6B, up 32% from $2.0B (2021-11-17 to 2022-03-29)
Form ADVobserved 4 days ago
$630M
Occurred
Dec 17, 2020
Control person joined
White Polly Cordle (Chief Compliance Officer) appeared on Schedule A of St. Germain Investment Management
Form ADVobserved 4 days ago
Occurred
Mar 30, 2020
Regulatory AUM changed
St. Germain Investment Management reported RAUM $1.9B, up 36% from $1.4B (2020-01-13 to 2020-03-30)
Form ADVobserved 4 days ago
$496M

Show 3 bookkeeping events

Occurred
Apr 30, 2025
St. Germain Investment Management reported 29 state-registered advisory representatives, up from 13 (2024-11-18 to 2025-04-30)
Occurred
Mar 24, 2023
St. Germain Investment Management reported 13 state-registered advisory representatives, down from 24 (2023-03-02 to 2023-03-24)
Occurred
Mar 30, 2020
St. Germain Investment Management reported 21 state-registered advisory representatives, up from 11 (2020-01-13 to 2020-03-30)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ebb8299f-9c08-6c4e-7c42-823dc4defb4b
First observed: Dec 15, 2011
Last observed: Mar 27, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ST. GERMAIN INVESTMENT MANAGEMENT

ST. GERMAIN INVESTMENT MANAGEMENT, INC., CRD 155186

SPRINGFIELD, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ebb8299f-9c08-6c4e-7c42-823dc4defb4b

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:44 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PAUL JOSEPH MARCHESE

n/a

SPRINGFIELD, MA

TIMOTHY WALLACE SUFFISH

Chartered Financial Analyst

SPRINGFIELD, MA

MICHAEL ROBERT MATTY

Certified Financial Planner|Chartered Financial Consultant|Chartered Financial Analyst

Stratham, NH

PATRICIA MAE Matty

n/a

SPRINGFIELD, MA

n/a

MATTHEW ROBERT FARKAS

Chartered Financial Analyst

SPRINGFIELD, MA

CHRISTINE M ANDRZEJEWSKI

n/a

SPRINGFIELD, MA

n/a

THADDEUS STEVENS WELCH

Chartered Financial Analyst

SPRINGFIELD, MA

n/a

Richard Raymond Bleser

n/a

SPRINGFIELD, MA

n/a

Siobhan G Matty

n/a

SPRINGFIELD, MA

n/a

Kelly P Selkirk

Certified Financial Planner

SPRINGFIELD, MA

n/a

Tatyana Shut

n/a

SPRINGFIELD, MA

n/a

SYLVIA MENDOZA CALLAN

Chartered Financial Analyst

Northampton, MA | SPRINGFIELD, MA

JOSHUA DAVID BEDELL

n/a

SPRINGFIELD, MA | Northampton, MA

Dennis C Morin

n/a

Northampton, MA | SPRINGFIELD, MA

CHRISTOPHER BOOTH MILNE

n/a

SPRINGFIELD, MA | Northampton, MA

Matthew Ryan Freitag

n/a

SPRINGFIELD, MA | Lee, MA

MARY KATE FRODEMA

Certified Financial Planner

Northampton, MA

POLLY WHITE CORDLE

n/a

SPRINGFIELD, MA

Laura Ann Delmolino

Certified Financial Planner

SPRINGFIELD, MA | Northampton, MA

n/a

LAURA MARIE BOVINO

n/a

SPRINGFIELD, MA | Northampton, MA

David Francis Modzelewski

n/a

SPRINGFIELD, MA

n/a

Marianne Sara Fresia

Certified Financial Planner

Lee, MA

n/a

Brendan Roberts

n/a

SPRINGFIELD, MA

n/a

Angelo Samuel Fiore

n/a

SPRINGFIELD, MA

n/a

Steven James Tynan

n/a

SPRINGFIELD, MA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CORDLE, POLLY, WHITE

CHIEF COMPLIANCE OFFICER

yes

11/2020

Mar 27, 2026

Fortier, John, Francis

Treasurer

yes

10/2022

Mar 27, 2026

MATTY, MICHAEL, ROBERT

PRESIDENT, DIRECTOR, SECRETARY

yes

08/2010

Mar 27, 2026

SUFFISH, TIMOTHY, WALLACE

Director

yes

08/2010

Mar 27, 2026

MATTY, MICHAEL, ROBERT

PRESIDENT, DIRECTOR, SECRETARY

yes

11/2008

Dec 15, 2011

Nov 18, 2024

DJ ST GERMAIN CO., INC.

CORPORATE OWNER

08/2010

Mar 27, 2026

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ST. GERMAIN SECURITIES, INC.

n/a

City

State

Country

Employees

Also broker-dealer

Northampton

United States

yes

Lee

United States

Plymouth

United States

yes

Jackson

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$3.8B

n/a

2024

Apr 30, 2025

$3.1B

n/a

2023

Mar 29, 2024

$2.7B

$2.6B

n/a

2022

Mar 24, 2023

$2.3B

$2.2B

n/a

2021

Mar 29, 2022

$2.6B

n/a

2020

Mar 30, 2021

$2.0B

$1.9B

n/a

2019

Mar 30, 2020

$1.9B

$1.8B

n/a

2018

Feb 20, 2019

$1.4B

n/a

2017

Mar 20, 2018

$1.4B

$1.3B

n/a

2016

Feb 3, 2017

$1.1B

n/a

2015

Feb 2, 2016

$1.0B

$998M

n/a

2014

Jan 12, 2015

$1.0B

$975M

n/a

2013

Jan 8, 2014

$1.1B

$993M

n/a

2012

Jan 14, 2013

$913M

$869M

n/a

2011

Dec 15, 2011

$800M

$773M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$3.8B

$3.1B

22.3%

$2.3B

18.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

NEW ENGLAND CAPITAL

Jan 4, 2021

Mar 16, 2020

NORTHAMPTON, MA

Firm absorbed

RIA to RIA

100.0%