{"url":"https://nivawealth.com/firms/bourgeon-capital-management-108054","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/108054","regulatoryAum":1277800000,"crd":"108054","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6659326","suffix":null,"lastName":"Hall","firstName":"Richard","middleName":"Estep"},{"crd":"4562250","suffix":null,"lastName":"MALLOZZI","firstName":"JOHN","middleName":"SPENCER"},{"crd":"715399","suffix":"III","lastName":"ZARO","firstName":"JOHN","middleName":"ANIBLO"}],"total":3,"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":"2021-03-31","regulatoryAum":700300000,"clients":230,"employees":6,"offices":1},{"filedOn":"2022-05-04","regulatoryAum":819300000,"clients":285,"employees":6,"offices":1},{"filedOn":"2023-03-29","regulatoryAum":760100000,"clients":283,"employees":6,"offices":1},{"filedOn":"2024-03-22","regulatoryAum":782900000,"clients":307,"employees":6,"offices":1},{"filedOn":"2025-07-16","regulatoryAum":917600000,"clients":317,"employees":8,"offices":1},{"filedOn":"2026-07-16","regulatoryAum":1277800000,"clients":315,"employees":7,"offices":1}],"secFileNumber":"801-56289","legalName":"Bourgeon Capital Management LLC","displayName":"Bourgeon Capital Management","slug":"bourgeon-capital-management-108054","website":"https://bourgeoncapital.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/108054/9f180eb0609f34e0-r1.webp","tone":"light","width":397,"height":200,"sourceUrl":"https://www.bourgeoncapital.com/","sourceLabel":"Bourgeon Capital Management LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/bourgeon-capital-management-llc-/","founded":"1999","organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"320 Post Road, Suite 220","city":"Darien","state":"CT","stateName":"Connecticut","country":"United States","postalCode":"06820"},"tradeNames":[],"registration":{"secApproved":"23 February 1999","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":4200349.6503496505,"staff":{"employees":7,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":1277800000,"discretionary":1227600000,"discretionaryAccounts":294,"nonDiscretionary":50200000,"nonDiscretionaryAccounts":21,"wrapProgram":null,"nonUsClientsPct":3,"nonAumClients":1},"clientTypes":[{"label":"Individuals (other than HNW)","clients":99,"regulatoryAum":36900000},{"label":"High-net-worth individuals","clients":187,"regulatoryAum":1164400000},{"label":"Pension and profit-sharing plans","clients":21,"regulatoryAum":50200000},{"label":"Charitable organizations","clients":3,"fewerThan5":true,"regulatoryAum":5600000},{"label":"Corporations and other businesses","clients":5,"regulatoryAum":20700000}],"feePrograms":[{"role":"main","program":"Managed Accounts","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":1,"from":0},{"to":2000000,"pct":0.9,"from":1000000},{"to":5000000,"pct":0.7,"from":2000000},{"to":10000000,"pct":0.6,"from":5000000},{"to":null,"pct":0.5,"from":10000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1051924","versionId":1051924,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-07-16","documentName":"JULY 2026 FIRM BROCHURE","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":1000000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning","summary":"Initial financial plan costs $7,000, credited against future management fees if a managed account is opened; the initial one-hour consultation is free.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1051924","versionId":1051924,"submittedOn":"2026-07-16","documentName":"JULY 2026 FIRM BROCHURE"},{"role":"other","program":"Non-Discretionary Advisory Services","summary":"Non-discretionary investment advisory services are typically charged at 0.3% per year of the account value (AMV).","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1051924","versionId":1051924,"submittedOn":"2026-07-16","documentName":"JULY 2026 FIRM BROCHURE"},{"role":"other","program":"Retirement-Plan Advice","summary":"0.3% per year of retirement plan assets (AMV) up to $5 million; above $5 million the fee is negotiated. 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They include 187 high-net-worth individuals, 99 individual clients, and 21 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Bourgeon Capital Management offer?","answer":"Bourgeon Capital Management provides financial planning, portfolio management for individuals and small businesses, estate planning, philanthropic planning, and retirement plan services.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Bourgeon Capital Management charge?","answer":"Bourgeon Capital Management charges 0.50%–1.00% a year for its Managed Accounts. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and requires an account of at least $1,000,000.","source":"JULY 2026 FIRM BROCHURE, filed 16 July 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Bourgeon Capital Management use?","answer":"Bourgeon Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $63M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Bourgeon Capital Management have?","answer":"Bourgeon Capital Management has 3 investment adviser representatives registered with state securities authorities, out of 7 employees, and 3 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 Bourgeon Capital Management invest in?","answer":"At the end of its last fiscal year, Bourgeon Capital Management’s separately managed accounts held 52% exchange-traded equities, 17% cash and equivalents, 9% U.S. government and agency bonds, 8% state and local bonds, 7% investment grade corporate bonds, 6% registered funds (mutual funds, ETFs, BDCs) and 1% other. The 1% other category is described as: Private Equity Investments.","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":"Does Bourgeon Capital Management have a minimum investment?","answer":"Yes, Bourgeon Capital Management’s minimum account size for its Managed Accounts is $1M.","source":"JULY 2026 FIRM BROCHURE, filed 16 July 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Bourgeon Capital Management?","answer":"Bourgeon Capital Management is owned through a trust by Peter Stalker. Its direct owners are John Zaro (50% to 75%) and Peter Stalker III Revocable Trust (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 16 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Bourgeon Capital Management get paid?","answer":"Bourgeon Capital Management is paid through a percentage of assets under management 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":"Is Bourgeon Capital Management registered with the SEC?","answer":"Yes, Bourgeon Capital Management has been registered with the SEC as an investment adviser since 23 February 1999. 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