Warner Group provides financial planning and portfolio management for individuals and small businesses. Financial planning was provided to 251–500 clients last fiscal year.
Warner Group reports 758 clients. They include 409 individual clients, 330 high-net-worth individuals, and 13 pension and profit-sharing plans. Of its assets, 100.0% ($458M across 1,332 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 54% | 21% |
| High-net-worth individuals | 44% | 76% |
| Pension and profit-sharing plans | 2% | 2% |
| Charitable organizations | Fewer than 5 | <1% |
| Corporations and other businesses | <1% | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 409 | $97.1M | 21.2% | $237K |
| High-net-worth individuals | 330 | $346M | 75.5% | $1.05M |
| Pension and profit-sharing plans | 13 | $10.9M | 2.4% | $837K |
| Charitable organizations | Fewer than 5 | $996K | 0.2% | — |
| Corporations and other businesses | 6 | $3.23M | 0.7% | $539K |
| Total | 758 | $458M | 100% | — |
- Clients
- 409
- Regulatory AUM
- $97.1M
- AUM share
- 21.2%
- Avg. per client
- $237K
- Clients
- 330
- Regulatory AUM
- $346M
- AUM share
- 75.5%
- Avg. per client
- $1.05M
- Clients
- 13
- Regulatory AUM
- $10.9M
- AUM share
- 2.4%
- Avg. per client
- $837K
- Clients
- Fewer than 5
- Regulatory AUM
- $996K
- AUM share
- 0.2%
- Avg. per client
- —
- Clients
- 6
- Regulatory AUM
- $3.23M
- AUM share
- 0.7%
- Avg. per client
- $539K
Total
- Clients
- 758
- Regulatory AUM
- $458M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Warner Group is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- One-Time Financial Plans
- One-time financial plans are billed from $1,000 to $7,500 by complexity; complex cases are billed hourly at $350 to $750.
James Warner owns 75% or more of Warner Group. The leadership team of Warner Group includes Chief Compliance Officer Lisa LaFond. It has 20 employees, 7 of them in advisory roles.
Staff
- 20 employees
- 7 in advisory functions
- 7 state-registered reps
- 7 broker-dealer reps
- 7 insurance agents
- Owns 75% or more of Warner Group LLC
James Warner
Control person · since February 2025
Warner Group’s regulatory assets grew Infinity× from $0 (June 2025) to $458M (September 2026); employees rose from 17 to 20.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Sep 2026September 2026 | $458M | 758 | 20 | 3 |
| Jun 2025June 2025 | $0 | 0 | 17 | 2 |
Besides its headquarters, Warner Group has 2 offices, with 3 listed addresses across 2 states.
Connecticut · 2 listed addresses
- 869 Boston Post Road, MadisonHQ
- 1 Enterprise Drive, Shelton
Maine · 1 listed address
- 112 Clinton Avenue, Winslow
Contact and registration details
- Legal name
- Warner Group LLC
- Headquarters
- 869 Boston Post Road, Madison, CT 06443
- Website
- warnerwm.com
- Phone
- 203-929-2727
- @warnerwealthct
- SEC file
- 801-132255
- Structure
- Connecticut LLC
- Fiscal year end
- December
Warner Group’s named custodian for separately managed accounts is LPL Financial ($458M). Warner Group has custody of client assets.
- LPL FinancialLPL Financial LLC · Fort Mill, SC · $458M100%
At year end, Warner Group’s separately managed accounts were largely in funds (49%) and bonds (23%). Its reported 13F holdings for the quarter ended 30 June 2026 total $406M across 129 positions; the largest are Invesco Exchange Traded FD T (16.0%), Invesco Qqq TR (5.8%) and Nvidia Corporation (5.4%).
What the accounts hold
- Stocks10%
- Funds49%
- Bonds23%
- Cash4%
- Other14%
- Structured products14%
How many clients does Warner Group have?
Warner Group has 758 clients and manages $458 million for them, as of September 2026. They include 409 individual clients, 330 high-net-worth individuals, and 13 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 29 September 2026
What services does Warner Group offer?
Warner Group provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Warner Group use?
Warner Group’s separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $458M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 September 2026
How many financial advisors does Warner Group have?
Warner Group has 7 investment adviser representatives registered with state securities authorities, out of 20 employees, and 7 perform investment advisory functions. 7 employees are registered representatives of a broker-dealer and 7 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
What does Warner Group invest in?
At the end of its last fiscal year, Warner Group’s separately managed accounts held 49% registered funds (mutual funds, ETFs, BDCs), 23% high-yield corporate bonds, 14% other, 10% exchange-traded equities and 4% cash and equivalents. The 14% other category is described as: Structured Products.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Warner Group?
Warner Group’s direct owner is James Warner (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 29 September 2026
How does Warner Group get paid?
Warner Group is paid through a percentage of assets under management. 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
How do I contact Warner Group?
Warner Group’s main office is at 869 Boston Post Road, Madison, CT 06443. Its phone number is 203-929-2727. Its website is warnerwm.com.
