WARNER GROUP LLC

CRD

334877

SEC file #

801-132255

EIN

464401440

DBA names

Warner Wealth

Economics

AUM

$458.5M

AUM band

$100M-$500M

AUM trajectory

'25 · $362.8M

'26 · $458.5M

'25'26

$362.8M → $458.5M▲ +26%

sec adv history

Client mix

Individuals Other	409
Individuals High Net Worth	330
Pension Profit Sharing Plans	13
Corporations	6

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'25 · 5 advisors

'26 · 7 advisors

'25'26

5 advisors → 7 advisors▲ +40%

sec adv history

Primary office

MADISON CT

Branches

—

Custodian & Brokerage

Primary custodian

LPL Financiallow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individuals

Fee basis

% of AUM

Filings

Latest ADV filing

04/24/2026

ADV-W filed at

—

Website

warnerwealthct.com

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

WARNER, JAMES, ALAN

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

WARNER, JAMES, ALAN

SWAYZE, ASHLEIGH, COOPER

Solo Advisor Indicator

Succession Risk Solo Owner

Yes

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

WARNERWEALTHCT.COM

Rdap Domain Creation Date

2022-10-14T17:25:08Z

Rdap Firm Age Years

Rdap Firm Age Band

<5y

Rdap Registrar

GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book

form 5500

SEC EDGAR

Edgar Cik

0002073617

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2025-11-07

Edgar Last Filing Date

2026-04-29

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-04-29

Accession0002073617-26-000003

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score

0.506

Soi Zip Pct 200k Plus

0.2678

Soi Zip Returns 200k Plus

2,450

Soi Zip Total AGI

2,175,797

Fdic Zip Total Deposits

19,142,957,000

Fdic Zip Branch Count

340

Fdic Zip Top Banks

Wells Fargo Bank, National Association

Bank of America, National Association

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (27)

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

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Lpl Financial	4
E*trade	4

adv brochure

Edgar Addresses

Mailing

869 BOSTON POST ROADMADISON, CT 06443

Business

869 BOSTON POST ROADMADISON, CT 06443

Edgar EIN

464401440

Edgar Recent Filings

13F-HR2026-04-29 · 0002073617-26-000003

13F-HR2026-02-06 · 0002073617-26-000001

Fdic Zip Branches Raw

Fleet Bank, National AssociationMadison, CT

Citizens Savings BankMadison, CT

Fdic Zip HHI

702.68

Fdic Zip Top Bank Share Pct

13.05

Fdic Zip Year

2025

Firm Has Custody

Yes

Mailing Office Differs

Rdap Domain Expiration Date

2028-10-14T17:25:08Z

Rdap Domain Last Changed

2024-10-21T15:11:27Z

Rdap Nameservers

Ns75.domaincontrol.comNs76.domaincontrol.com

Rdap Secure Dns Enabled

Rdap Status

Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited

Soi Year

2022

Soi Zip Distribution

Stub 1

AGI	18,658
Returns	1,820

Stub 2

AGI	36,537
Returns	980

Stub 3

AGI	57,358
Returns	930

Soi Zip Total Business Income

94,748

Soi Zip Total Cap Gains

202,179

Soi Zip Total Dividends

91,258

Soi Zip Total Returns

9,150

Top Owner CRD

5991972

Trust Company Affiliate