AdvisorRanked
60
Multiple Red Flags

SEARLE & CO.

333 GREENWICH AVENUE, GREENWICH, CT 6830
commissionSEC Registered
203-869-4800 HTTP://SEARLECO.COM CRD #13035
Visit Website
$630M
Assets Managed
7
Clients
13
Employees
19
Years Active
since 2007

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46007. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: Yes

This firm is affiliated with a broker-dealer, which means they may earn commissions on product sales — creating a potential conflict between their revenue and your best interest.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: Yes

This firm has direct custody of client assets, rather than using an independent custodian. This is a higher-risk arrangement that requires additional regulatory safeguards.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint46007

5 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 5

Complaint ratio: 71.43 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameSEARLE & CO.
CRD Number#13035
SEC RegisteredYes
Registration Date2007-11-30
States RegisteredCT
Assets Under Management$630M
Number of Clients7
Employees13
Compensation Typecommission
Last ADV Filing46007

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Frequently Asked Questions

Is SEARLE & CO. a fiduciary?

No. SEARLE & CO. is not registered as an RIA and is not legally bound by the fiduciary standard.

How does SEARLE & CO. charge clients?

SEARLE & CO. uses a commission compensation model. They also earn commissions on product sales, which may create conflicts of interest. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does SEARLE & CO. have any complaints?

Yes. SEARLE & CO. has 5 complaint(s) on record. Their complaint ratio is 71.43 per 100 clients (industry average: ~0.15).

How does SEARLE & CO. compare to other advisors in GREENWICH?

SEARLE & CO. has a Red Flag Score of 60/100. There are 136 registered advisory firms in GREENWICH. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46007. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.