AdvisorRanked
92
Clean

WITT LAKE ASSET MANAGEMENT LLC

750 WASHINGTON BOULEVARD, STAMFORD, CT 6901
Fiduciaryfee-onlySEC Registered
203-487-8200 wittlakeam.com/ CRD #335523
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$1.1B
Assets Managed
1
Clients
2
Employees
1
Years Active
since 2025

Compensation Model

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

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46107. 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: No

No broker-dealer affiliation. Lower risk of commission-driven advice.

Insurance Licensed: No

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

Custody of Client Assets: No

Assets held at an independent custodian (e.g., Schwab, Fidelity, TD Ameritrade). This is the standard, lower-risk arrangement.

Proprietary Products: No

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

Regulatory & Disciplinary History

complaint46107

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

Resolved

Total complaints on record: 1

Complaint ratio: 100.00 per 100 clients

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

Firm Details

Legal NameWITT LAKE ASSET MANAGEMENT LLC
CRD Number#335523
SEC RegisteredYes
Registration Date2025-07-16
States RegisteredCT
Assets Under Management$1.1B
Number of Clients1
Employees2
Compensation Typefee-only
Last ADV Filing46107

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Frequently Asked Questions

Is WITT LAKE ASSET MANAGEMENT LLC a fiduciary?

Yes. WITT LAKE ASSET MANAGEMENT LLC is a registered investment adviser (RIA) with the SEC, which means they are legally required to act as a fiduciary — putting your interests ahead of their own.

How does WITT LAKE ASSET MANAGEMENT LLC charge clients?

WITT LAKE ASSET MANAGEMENT LLC uses a fee-only compensation model. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does WITT LAKE ASSET MANAGEMENT LLC have any complaints?

Yes. WITT LAKE ASSET MANAGEMENT LLC has 1 complaint(s) on record. Their complaint ratio is 100.00 per 100 clients (industry average: ~0.15).

How does WITT LAKE ASSET MANAGEMENT LLC compare to other advisors in STAMFORD?

WITT LAKE ASSET MANAGEMENT LLC has a Red Flag Score of 92/100. There are 114 registered advisory firms in STAMFORD. 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: 46107. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.