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SEC-registered adviser

C•••••• O•• A••••••• L•

Asset manager (funds and pooled vehicles)New York, New YorkCRD 328387SEC 801-129605websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Jan 31, 2024 · 9 filings
SEC status approved since Mar 8, 2024
RAUM
$404M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$404M as of Mar 31, 2026
Apr 30, 2025$315M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 30, 20250 then
Employees (5.A)6 as of Mar 31, 2026
Apr 30, 20257 then
Private funds1 as of Mar 31, 2026
Apr 30, 20251 then
RAUM +28% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$135MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$404M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• O•• A••• M••••• F••• L•Hedge Fund$226M30Jan 31, 2024
      Owners and control persons
      Schedule A and B, latest filing
      • P••••• N••••• J••••••• · Chief Compliance Officer, Chief Operating Officercontrol
        since 07/2023 · owns less than 5%
      • W•••••• B•••••••• C• · Managing Partnercontrol
        since 09/2022 · owns less than 5%
      • W•••••• H••••• L• · Managing Partnercontrol
        since 09/2022 · owns less than 5%
      • C•••• A•••• J• · Trusteecontrol
        since 09/2022 · owns F of H•••• W••••• G•• E••••• 2••• T••••
      • W•••••• B•••••••• C• · Membercontrol
        since 09/2022 · owns 75% or more of B•• H••••• L••
      • W•••••• H••••• L• · Membercontrol
        since 09/2022 · owns 50% to 75% of H• H••••• I• L••
      Entity owners
      • B•• H••••• L•• · Limited Partner
        direct · owns 50% to 75%
      • C•••••• O•• A••••••• G• L•• · General Partner
        direct · owns less than 5%
      • H• H••••• I• L•• · Limited Partner
        direct · owns 50% to 75%
      • B•• H••••• L•• · Member
        indirect · owns 50% to 75% of C•••••• O•• A••••••• G• L••
      • H•••• W••••• G•• E••••• 2••• T•••• · Member
        indirect · owns 50% to 75% of H• H••••• I• L••
      • H• H••••• I• L•• · Member
        indirect · owns 50% to 75% of C•••••• O•• A••••••• G• L••
      Related persons
      Schedule D 7.A
      • C•••••• O•• A••• F••• G• L••
        pooled vehicle sponsory
      • C•••••• O•• C••••• F••• I• G• L••
        bankpooled vehicle sponsory
      • C•••••• O•• C••••• F••• I• G• L••
        bankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 4
        Dec 11, 2025 to Mar 31, 2026
      • Employees · 7 to 6
        Dec 11, 2025 to Mar 31, 2026
      • Discretionary RAUM · $315M to $404M
        Dec 11, 2025 to Mar 31, 2026
      • Pooled vehicle RAUM · $315M to $404M
        Dec 11, 2025 to Mar 31, 2026
      • RAUM · $315M to $404M
        Dec 11, 2025 to Mar 31, 2026
      • Financial planning clients · unset to
        May 28, 2025 to Jun 30, 2025
      • Advisory employees · 4 to 5
        Dec 5, 2024 to Apr 30, 2025
      • Discretionary RAUM · $226M to $315M
        Dec 5, 2024 to Apr 30, 2025
      • Pooled vehicle RAUM · $226M to $315M
        Dec 5, 2024 to Apr 30, 2025
      • RAUM · $226M to $315M
        Dec 5, 2024 to Apr 30, 2025
      • Accounts · unset to 3.0
        Mar 4, 2024 to Jun 28, 2024
      • Employees · 6 to 7
        Mar 4, 2024 to Jun 28, 2024
      • Discretionary RAUM · unset to 225669134.0
        Mar 4, 2024 to Jun 28, 2024
      • Non-discretionary RAUM · unset to 0.0
        Mar 4, 2024 to Jun 28, 2024
      • Pooled vehicle RAUM · $0 to $226M
        Mar 4, 2024 to Jun 28, 2024
      • RAUM · unset to 225669134.0
        Mar 4, 2024 to Jun 28, 2024
      Signals
      2 dated events
      • J A••• C••• (Trustee) appeared on Schedule A of C•••••• O•• A••••••• L•
        Mar 4, 2024 · Control person joined · fact
      • C•••••• O•• A••••••• L• filed its initial SEC registration (Form ADV)
        Jan 31, 2024 · 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
      Firm profile
      linkedin.com/company/charter-oak-advisors-lpreportedpublic record, Form ADV, Sep 21, 2026
      Website
      c•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      212-404-2500reportedpublic record, Form ADV, Mar 31, 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
      Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026