SourcingSourcing

MIDDLETON & COMPANY INC.

C41
CRD 104549·SEC 801-21247·BOSTON, MA
AUM
$1.23B
$1B+
Est. Revenue
$12.3M
@ 1% on AUM
Est. EBITDA
$3.7M
@ 30% margin
Est. Deal Value
$29.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
MIDDLETON & COMPANY INC.
CRD
104549
SEC file #
801-21247
EIN
042941854
DBA names
—

Economics

AUM
$1.23B
AUM band
$1B+
AUM trajectory
'20'26
$801.1M → $1.23B▲ +54%
Client mix
Individuals High Net Worth238
Individuals Other108
Charitable Organizations17
Pension Profit Sharing Plans5

Operations

Employees (total)
16
Advisory staff (per ADV)
7
Advisory staff (5-yr trend)
'20'26
9 advisors → 7 advisors▼ -22%
Primary office
BOSTON MA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
middletonco.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MIDDLETON & COMPANY EMPLOYEE
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
5
Control Persons
MIDDLETON & COMPANY EMPLOYEE
SARGENT, JOHN, K.
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
MIDDLETONCO.COM
Rdap Domain Creation Date
1998-03-13T05:00:00Z
Rdap Firm Age Years
28
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
24
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0000919497
Edgar Registered
Yes
Edgar Filing Count
114
Edgar First Filing Date
1999-05-12
Edgar Last Filing Date
2026-05-08
Edgar 13f Count
112
Edgar 13f Latest AUM Estimate
Filing Date2026-05-08
Accession0001398344-26-008750

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
6
Bc Firm IAR Count
6
Custodian Candidates
Full
Charles Schwab6
State Street4
E*trade4
Fidelity2
Edgar Addresses
Mailing
600 ATLANTIC AVENUE, T-18BOSTON, MA 02210
Business
600 ATLANTIC AVENUE, T-18BOSTON, MA 02210
Edgar EIN
042941854
Edgar Recent Filings
13F-HR2026-05-08 · 0001398344-26-008750
13F-HR2026-01-29 · 0001398344-26-001587
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-03-12T04:00:00Z
Rdap Domain Last Changed
2024-01-12T22:18:52Z
Rdap Nameservers
Ns49.worldnic.comNs50.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (7)

7
SARGENT, JOHN, K.
IAR · Direct Owner · 7.5%
4306511
MCCORMACK, MARIA
IAR · Executive Officer · 2.5%
4673957
BRUCH, ROBERT, GUY
IAR · Executive Officer · 2.5%
6699901
CHRISTOPHER PRINZ MERKLE
Executive Officer · 2.5%
4308304
ALICE KENNEY WALSH
IAR
2035254
GRENVILLE ANDERSON
IAR
830307
Barry Lewis Hilliard
IAR
6060838