{"url":"https://nivawealth.com/firms/millington-financial-advisors-156315","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/156315","regulatoryAum":291381313,"crd":"156315","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6231870","suffix":null,"lastName":"KRIST","firstName":"DAVID","middleName":null},{"crd":"8101032","suffix":null,"lastName":"MILLINGTON","firstName":"CARTER","middleName":"FRANCIS"},{"crd":"1032017","suffix":null,"lastName":"MILLINGTON","firstName":"CHARLES","middleName":"GLENN"},{"crd":"4683520","suffix":null,"lastName":"MILLINGTON","firstName":"CHARLES","middleName":"FRANCIS"},{"crd":"7852122","suffix":null,"lastName":"Millington","firstName":"Charles","middleName":"J"}],"total":5,"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":"2022-03-30","regulatoryAum":143300583,"clients":119,"employees":4,"offices":1},{"filedOn":"2023-03-16","regulatoryAum":126630310,"clients":139,"employees":4,"offices":1},{"filedOn":"2024-01-11","regulatoryAum":158490000,"clients":130,"employees":4,"offices":1},{"filedOn":"2025-03-18","regulatoryAum":224449461,"clients":171,"employees":7,"offices":1},{"filedOn":"2026-08-04","regulatoryAum":291381313,"clients":187,"employees":11,"offices":1}],"secFileNumber":"801-124802","legalName":"Millington Financial Advisors, LLC","displayName":"Millington Financial Advisors","slug":"millington-financial-advisors-156315","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/millington-financial-advisors-llc/","xUrl":"https://twitter.com/millingtonfa","founded":"2011","organization":"Illinois limited liability company","fiscalYearEnd":"December","headquarters":{"street":"55 Shuman BLVD, Suite 1050","city":"Naperville","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60563"},"tradeNames":[],"registration":{"secApproved":"29 April 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1558188.8395721924,"staff":{"employees":11,"advisory":5,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":291381313,"discretionary":279241603,"discretionaryAccounts":534,"nonDiscretionary":12139710,"nonDiscretionaryAccounts":20,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":145,"regulatoryAum":122934340},{"label":"High-net-worth individuals","clients":42,"regulatoryAum":168446973}],"feePrograms":[{"role":"main","program":"Investment Management Fee","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034868","versionId":1034868,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-31","documentName":"2A BROCHURE","fee_rate_low":null,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Pension Consulting Services","summary":"Retirement plan advisory fees are negotiated with the plan sponsor under a separate agreement and are typically billed quarterly.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034868","versionId":1034868,"submittedOn":"2026-03-31","documentName":"2A BROCHURE"},{"role":"other","program":"Tax Planning and Tax Return Preparation","summary":"Tax planning services carry a maximum fee of $2,500, which may be waived at the advisor's discretion; tax return preparation is billed on time spent.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034868","versionId":1034868,"submittedOn":"2026-03-31","documentName":"2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:36:11.685035+00:00","documents":[{"name":"2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034868","versionId":1034868,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":2776941323}],"custodyNote":"Millington Financial Advisors has custody of $71.6M in client assets for 91 clients.","leadership":[{"name":"Charles Millington","title":"President / CCO","crd":"4683520"},{"name":"Charles Millington","title":"CEO","crd":"1032017"}],"ownership":[{"label":"Charles Millington","detail":"President / cco in the 50% to 75% ownership band and a control person, since January 2011. 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They include 145 individual clients and 42 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 4 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Millington Financial Advisors offer?","answer":"Millington Financial Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, educational seminars, education planning, estate planning, insurance, tax planning, and tax preparation.","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 Millington Financial Advisors charge?","answer":"Millington Financial Advisors charges up to 1.00% a year for its Investment Management Fee. The fee is billed in advance and is negotiable.","source":"2A BROCHURE, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Millington Financial Advisors use?","answer":"Millington Financial Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $2.78B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Millington Financial Advisors have?","answer":"Millington Financial Advisors has 5 investment adviser representatives registered with state securities authorities, out of 11 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Millington Financial Advisors invest in?","answer":"At the end of its last fiscal year, Millington Financial Advisors’ separately managed accounts held 59% registered funds (mutual funds, ETFs, BDCs), 27% exchange-traded equities, 8% investment grade corporate bonds, 4% other and 1% cash and equivalents. The 4% other category is described as: Variable Annuity.","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 Millington Financial Advisors?","answer":"Millington Financial Advisors’ direct owner is Charles Millington (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 4 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Millington Financial Advisors get paid?","answer":"Millington Financial Advisors is paid through a percentage of assets under management and fixed fees. 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