{"url":"https://nivawealth.com/firms/barrett-wealth-connection-161020","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/161020","regulatoryAum":147971168,"crd":"161020","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1459516","suffix":null,"lastName":"BARRETT","firstName":"AMY","middleName":"LISA"},{"crd":"4320867","suffix":null,"lastName":"DORGAN","firstName":"VICTORIA","middleName":"JOSEPHINE"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2024-06-21","regulatoryAum":123889739,"clients":164,"employees":2,"offices":1},{"filedOn":"2025-03-06","regulatoryAum":131998176,"clients":165,"employees":2,"offices":1},{"filedOn":"2026-02-06","regulatoryAum":147971168,"clients":177,"employees":2,"offices":1}],"secFileNumber":"801-130511","legalName":"Barrett Wealth Connection LLC","displayName":"Barrett Wealth Connection","slug":"barrett-wealth-connection-161020","website":"https://bwconnect.co/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/161020/296a4c348c0c3740-r1.webp","tone":"light","width":689,"height":200,"sourceUrl":"https://bwconnect.co/","sourceLabel":"Barrett Wealth Connection LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Illinois limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2002 Holian Drive, Suite 104","city":"Spring Grove","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60081"},"tradeNames":[],"registration":{"secApproved":"20 June 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":874012.9386503068,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":147971168,"discretionary":145132795,"discretionaryAccounts":412,"nonDiscretionary":2838373,"nonDiscretionaryAccounts":7,"wrapProgram":null,"nonUsClientsPct":2,"nonAumClients":12},"clientTypes":[{"label":"Individuals (other than HNW)","clients":104,"regulatoryAum":30934833},{"label":"High-net-worth individuals","clients":59,"regulatoryAum":111529276},{"label":"Pension and profit-sharing plans","clients":12,"regulatoryAum":2318695},{"label":"Charitable organizations","clients":2,"regulatoryAum":3188364}],"feePrograms":[{"role":"other","program":"Financial Planning","summary":"Financial planning is billed at $300 an hour, and continuing planning at a maximum monthly fee of $300.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1007207","versionId":1007207,"submittedOn":"2026-02-06","documentName":"BARRETT WEALTH CONNECTION LLC FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:28:48.2699+00:00","documents":[{"name":"BARRETT WEALTH CONNECTION LLC FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1007207","versionId":1007207,"submittedOn":"2026-02-06"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":118689638},{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":27958454}],"custodyNote":"Barrett Wealth Connection has custody of $37.3M in client assets for 68 clients.","otherCustodians":[],"leadership":[{"name":"Amy Barrett","title":"Managing Member/Chief Compliance Officer","crd":"1459516"}],"ownership":[{"label":"Amy Barrett","detail":"Managing member/chief compliance officer in the 75% or more ownership band and a control person, since February 2012."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"2002 Holian Drive, Suite 104","city":"Spring Grove","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"815-529-7527","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Educational seminars/workshops"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":4},{"label":"U.S. government/agency bonds","percent":5},{"label":"U.S. state and local bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":80},{"label":"Cash and cash equivalents","percent":7}],"privateFunds":0},"sources":{"adv1FilingDate":"6 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/161020/PDF/161020.pdf","brochureDate":"6 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1007207","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Barrett Wealth Connection have?","answer":"Barrett Wealth Connection has 177 clients and manages $148 million for them, as of February 2026. They include 104 individual clients, 59 high-net-worth individuals, and 12 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 6 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Barrett Wealth Connection offer?","answer":"Barrett Wealth Connection provides financial planning, portfolio management for individuals and small businesses, pension consulting, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Barrett Wealth Connection use?","answer":"Barrett Wealth Connection’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $119M and Fidelity Brokerage Services LLC (Smithfield, RI), with $28M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 6 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Barrett Wealth Connection have?","answer":"Barrett Wealth Connection has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Barrett Wealth Connection invest in?","answer":"At the end of its last fiscal year, Barrett Wealth Connection’s separately managed accounts held 80% registered funds (mutual funds, ETFs, BDCs), 7% cash and equivalents, 5% U.S. government and agency bonds, 4% exchange-traded equities and 4% state and local bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Barrett Wealth Connection?","answer":"Barrett Wealth Connection’s direct owner is Amy Barrett (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 6 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Barrett Wealth Connection get paid?","answer":"Barrett Wealth Connection is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Barrett Wealth Connection?","answer":"Barrett Wealth Connection’s main office is at 2002 Holian Drive, Suite 104, Spring Grove, IL 60081. Its phone number is 815-529-7527. Its website is bwconnect.co.","source":"Form ADV Part 1A, Item 1.F, filed 6 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}