Tumolo Wealth Management Llc
SEC-registered
Wealth Manager · Small ($100M–$1B)
CRD 330567
· SEC file 801-135413
· East Lyme, CT
· TUMOLOFINANCIAL.COM
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ADV data as of Jul 20, 2026
- Regulatory AUM
- $134M
- Discretionary
- $134M
- Clients
- 449
- Avg AUM / client
- $298K
- Accounts
- 639
- Employees
- 7
AUM over time
$134M
$134M
Dec 2025
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 20, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 418 | $94.7M | 70.6% |
| High net worth individuals | 31 | $39.3M | 29.4% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kenneth Daniel Tumolo | Registered representative | CFP | May 2024 (2y) | |
| Nicholas Daniel Tumolo | Registered representative | May 2024 (2y) | ||
| Brittni Rehg Oxendine | Registered representative | Dec 2025 (1y) | ||
| Mark Lehman Bobruff | Registered representative | Jan 2026 (1y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (2 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/20/2026 | 972 KB | View · PDF · Source ↗ |
| Form ADV (full filing) | 03/12/2026 | 895 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $70.9M (53% of AUM) Jul 2026
- Fidelity Investments $63.1M (47% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 20, 2026.
View current Form ADV (SEC/IAPD) ↗