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MONTE FINANCIAL GROUP, LLC
CRD 150119File 801-70207
APPROVED
Retail clients
Filing as of Mar 3, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$482.4M
Above cohort median (national)
Discretionary AUM
$482.4M
Clients
434
438 accounts
Employees
12
Below cohort median in CT
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Jun 4, 2009
- Principal office
- 30 LONG HILL ROAD, GUILFORD, CT, 06437
- Phone
- 203-453-6851
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $482.4M
- Discretionary AUM
- $482.4M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 438
- Non-discretionary accounts
- 0
- Total accounts
- 438
- AUM per client
- $1.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $5.7M |
| High net worth individuals | 125 | $376.7M |
| Individuals (other than high net worth individuals) | 309 | $100.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 11 | 12 | increased by1 |
| Apr 1, 2026 | Clients | 459 | 434 | decreased by25 |
| Apr 1, 2026 | AUM | $426,568,880 | $482,388,159 | increased by$55,819,279 |
| Apr 1, 2026 | Accounts | 459 | 438 | decreased by21 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 7 | 11 | increased by4 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 338 | 459 | increased by121 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $343,515,987 | $426,568,880 | increased by$83,052,893 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 339 | 459 | increased by120 |
| Apr 1, 2022 | Clients | 309 | 338 | increased by29 |
| Apr 1, 2022 | AUM | $287,777,203 | $343,515,987 | increased by$55,738,784 |
| Apr 1, 2022 | Accounts | 309 | 339 | increased by30 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “MONTE FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“MONTE FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.