DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Toomey Investment Management, Inc
Latest filing Jan 27, 2026
First filing on the tape Mar 23, 2012 · 21 filings
SEC status approved since Feb 23, 2018
RAUM
$321M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$309M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$321M as of Jan 27, 2026
Mar 23, 2012$56.1M then
HNW client RAUM$139M as of Jan 27, 2026
Jan 30, 2019$20.3M then
State-registered IARs (5.B.3)3 as of Jan 27, 2026
Mar 23, 20120 then
Employees (5.A)3 as of Jan 27, 2026
Jan 30, 20192 then
Private funds: no history
RAUM +19% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 430derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $368,570derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$170M53%
- High-net-worth individuals$139M43%
- Pension and profit-sharing plans$8.8M2.7%
- Corporations and businesses$1.6M0.5%
- Charitable organizations$1.4M0.4%
- Individual clients
- 1,215reported
- HNW clients
- 76reported
- Pension plan clients
- 6reported
- Charitable clients
- 3reported
- Accounts
- 871reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Daniel Paul Perreault | Wallingford, Ct | Feb 1, 2019 | 10 y | 0 |
| Austin Patrick Toomey | Wallingford, Ct | May 29, 2019 | 15 y | 2 |
| Brendan Richard ToomeyCertified Financial Planner | Wallingford, Ct | May 29, 2019 | 29 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Richard Brendan Toomey · Presidentcontrolsince 12/2009 · owns 75% or more
- Patrick Austin Toomey · Vice-Presidentsince 12/2009 · owns less than 5%
Related persons
Schedule D 7.A
- Austin Toomeyinvestment advisery
- Daniel Perreaultinvestment advisery
Advisers that list Toomey Investment Management, Inc as a related person
- 38751 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wallingford, Ct · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Jan 27, 2026private clients per advisor of 430.3 against a peer median of 57.3 (3076 comparable advisers, 100.0th percentile, 10.6 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 1,302 to 871Feb 11, 2025 to Jan 27, 2026
- Discretionary RAUM · $266M to $315MFeb 11, 2025 to Jan 27, 2026
- HNW RAUM · $137M to $139MFeb 11, 2025 to Jan 27, 2026
- Individual RAUM · $125M to $170MFeb 11, 2025 to Jan 27, 2026
- Non-discretionary RAUM · $4.9M to $6.0MFeb 11, 2025 to Jan 27, 2026
- Pension RAUM · $6.7M to $8.8MFeb 11, 2025 to Jan 27, 2026
- RAUM · $271M to $321MFeb 11, 2025 to Jan 27, 2026
- Accounts · 1,247 to 1,302Jan 25, 2024 to Feb 11, 2025
- HNW clients · 63 to 76Jan 25, 2024 to Feb 11, 2025
- Individual clients · 1,173 to 1,215Jan 25, 2024 to Feb 11, 2025
- Financial planning clients · 251-500 to 251-500Jan 25, 2024 to Feb 11, 2025
- Discretionary RAUM · $217M to $266MJan 25, 2024 to Feb 11, 2025
- HNW RAUM · $66.0M to $137MJan 25, 2024 to Feb 11, 2025
- Individual RAUM · $148M to $125MJan 25, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $4.1M to $4.9MJan 25, 2024 to Feb 11, 2025
- Pension RAUM · $5.3M to $6.7MJan 25, 2024 to Feb 11, 2025
- RAUM · $221M to $271MJan 25, 2024 to Feb 11, 2025
- Accounts · 1,172 to 1,247Feb 1, 2023 to Jan 25, 2024
- Charity clients · 2 to 3Feb 1, 2023 to Jan 25, 2024
- Corporate clients · 1 to 2Feb 1, 2023 to Jan 25, 2024
- HNW clients · 48 to 63Feb 1, 2023 to Jan 25, 2024
- Individual clients · 1,117 to 1,173Feb 1, 2023 to Jan 25, 2024
- Pension plan clients · 4 to 6Feb 1, 2023 to Jan 25, 2024
- Financial planning clients · 101-250 to 251-500Feb 1, 2023 to Jan 25, 2024
- Discretionary RAUM · $180M to $217MFeb 1, 2023 to Jan 25, 2024
- HNW RAUM · $65.7M to $66.0MFeb 1, 2023 to Jan 25, 2024
- Individual RAUM · $112M to $148MFeb 1, 2023 to Jan 25, 2024
- Non-discretionary RAUM · $3.5M to $4.1MFeb 1, 2023 to Jan 25, 2024
- Pension RAUM · $3.7M to $5.3MFeb 1, 2023 to Jan 25, 2024
- RAUM · $183M to $221MFeb 1, 2023 to Jan 25, 2024
- Accounts · 1,117 to 1,172Feb 4, 2022 to Feb 1, 2023
- HNW clients · 44 to 48Feb 4, 2022 to Feb 1, 2023
- Individual clients · 1,060 to 1,117Feb 4, 2022 to Feb 1, 2023
- Pension plan clients · 10 to 4Feb 4, 2022 to Feb 1, 2023
- Discretionary RAUM · $198M to $180MFeb 4, 2022 to Feb 1, 2023
- HNW RAUM · $65.0M to $65.7MFeb 4, 2022 to Feb 1, 2023
- Individual RAUM · $130M to $112MFeb 4, 2022 to Feb 1, 2023
- Non-discretionary RAUM · $4.0M to $3.5MFeb 4, 2022 to Feb 1, 2023
- Pension RAUM · $4.7M to $3.7MFeb 4, 2022 to Feb 1, 2023
- RAUM · $202M to $183MFeb 4, 2022 to Feb 1, 2023
Signals
1 dated events
- Toomey Investment Management, Inc filed its initial SEC registration (Form ADV)Jan 26, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 203-949-1710reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-518-4918reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/toomey-investment-management-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- LEARNTHELOOP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-949-1710reportedpublic record, Form ADV, Jan 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026