{"url":"https://nivawealth.com/firms/southport-station-financial-management-146270","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/146270","regulatoryAum":192062491,"crd":"146270","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5515306","suffix":null,"lastName":"BREZINA","firstName":"DAVID","middleName":"MARK"},{"crd":"6711989","suffix":null,"lastName":"Peck","firstName":"Eric","middleName":"Carl"},{"crd":"4290177","suffix":null,"lastName":"TURIANO","firstName":"THOMAS","middleName":"ANTHONY"}],"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":"2021-04-01","regulatoryAum":159983792,"clients":172,"employees":4,"offices":3},{"filedOn":"2022-04-04","regulatoryAum":168755015,"clients":186,"employees":4,"offices":3},{"filedOn":"2023-03-23","regulatoryAum":157614374,"clients":193,"employees":3,"offices":3},{"filedOn":"2024-03-27","regulatoryAum":174537320,"clients":171,"employees":3,"offices":3},{"filedOn":"2025-03-21","regulatoryAum":183877401,"clients":215,"employees":3,"offices":3},{"filedOn":"2026-03-24","regulatoryAum":192062491,"clients":182,"employees":3,"offices":3}],"secFileNumber":"801-68863","legalName":"Southport Station Financial Management, LLC","displayName":"Southport Station Financial Management","slug":"southport-station-financial-management-146270","website":"https://southportstation.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/southport-station-financial-mangement-llc/","founded":null,"organization":"Connecticut limited liability company","fiscalYearEnd":"December","headquarters":{"street":"368 Center Street","city":"Southport","state":"CT","stateName":"Connecticut","country":"United States","postalCode":"06890"},"tradeNames":[],"registration":{"secApproved":"28 February 2008","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1022017.0054945055,"staff":{"employees":3,"advisory":3,"brokerDealerReps":1,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":192062491,"discretionary":156125047,"discretionaryAccounts":301,"nonDiscretionary":35937444,"nonDiscretionaryAccounts":25,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":98,"regulatoryAum":24463377},{"label":"High-net-worth individuals","clients":84,"regulatoryAum":161543718},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":6055396}],"feePrograms":[{"role":"main","program":"Investment advisory services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024214","versionId":1024214,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-23","documentName":"ADV PART 2A","fee_rate_low":0.75,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning and consulting","summary":"Stand-alone financial planning and consulting is negotiable: a fixed fee of $500 to $20,000, or $250 to $375 an hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024214","versionId":1024214,"submittedOn":"2026-03-23","documentName":"ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:42:20.168797+00:00","documents":[{"name":"ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024214","versionId":1024214,"submittedOn":"2026-03-23"}]},"custodians":[{"name":"Raymond James & Associates, Inc.","shortName":"Raymond James","location":"St. Petersburg, FL","smaAssets":191062491}],"custodyNote":"Southport Station Financial Management has custody of $33.9M in client assets for 7 clients.","leadership":[{"name":"Thomas Turiano","title":"Chief Compliance Officer / Managing Director","crd":"4290177"}],"ownership":[{"label":"Teck Financial, Inc.","detail":"Member in the 75% or more ownership band and a control person, since January 2015."},{"label":"Thomas Turiano","detail":"Indirect owner: a sole owner of Teck Financial, Inc. in the 75% or more band and a control person, since January 2015.","parent":"Teck Financial, Inc."}],"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Connecticut","offices":1,"addresses":[{"street":"368 Center Street","city":"Southport","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"203-254-2333","stateRegisteredReps":3,"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","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":59},{"label":"U.S. government/agency bonds","percent":2},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":20},{"label":"Cash and cash equivalents","percent":19}],"privateFunds":0},"sources":{"adv1FilingDate":"24 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/146270/PDF/146270.pdf","brochureDate":"23 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024214","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 Southport Station Financial Management have?","answer":"Southport Station Financial Management has 182 clients and manages $192 million for them, as of March 2026. They include 98 individual clients and 84 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Southport Station Financial Management offer?","answer":"Southport Station Financial Management provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Southport Station Financial Management charge?","answer":"Southport Station Financial Management charges 0.75%–1.25% a year for its Investment advisory services. The fee is billed in advance and is negotiable.","source":"ADV PART 2A, filed 23 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Southport Station Financial Management use?","answer":"Southport Station Financial Management’s separately managed account assets are held at Raymond James & Associates, Inc. (St. Petersburg, FL), with $191M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Southport Station Financial Management have?","answer":"Southport Station Financial Management has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 2 employees are 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 Southport Station Financial Management invest in?","answer":"At the end of its last fiscal year, Southport Station Financial Management’s separately managed accounts held 59% exchange-traded equities, 20% registered funds (mutual funds, ETFs, BDCs), 19% cash and equivalents, 2% U.S. government and agency bonds and 1% investment grade corporate 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 Southport Station Financial Management?","answer":"Southport Station Financial Management is owned through a holding company by Thomas Turiano. Its direct owner is Teck Financial, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Southport Station Financial Management get paid?","answer":"Southport Station Financial Management 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":"Is Southport Station Financial Management registered with the SEC?","answer":"Yes, Southport Station Financial Management has been registered with the SEC as an investment adviser since 28 February 2008. Its CRD number is 146270 and its SEC file number is 801-68863.","source":"Form ADV Part 1A, Item 1, filed 24 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Southport Station Financial Management?","answer":"Southport Station Financial Management’s main office is at 368 Center Street, Southport, CT 06890. Its phone number is 203-254-2333. Its website is southportstation.com.","source":"Form ADV Part 1A, Item 1.F, filed 24 March 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."}