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Phil Fiore

Procyon
31 Years of Experience
Shelton, CT
6 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Phil Fiore is a registered investment advisor at Procyon, based in Shelton, CT, with 31 years of industry experience. Phil operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 3,048 clients with $9.2B in assets under management.

Procyon
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
48 advisors
Number of Clients
3,048 clients
Average Client Portfolio
$3.0M average
Assets Under Management
$9.2B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K1.50%
$500K - $1.0M1.25%
$1.0M - $5.0M1.00%
$5.0M - $10.0M0.75%
$10.0M - $20.0M0.65%
$20.0M - $50.0M0.55%
$50.0M - $100.0M0.45%
$100M+0.45%

Fees are negotiable at the sole discretion of Procyon. Accounts from related clients are typically grouped together to achieve lower fee tiers. Trust fiduciary services add an additional 0.25% to the annual rate.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1 Corporate Drive, Suite 225, Shelton, CT, 06484

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
November 2016
Regulatory
December 2015
Final
Regulatory
May 2015
Final
Customer Dispute
April 2003
Denied
Customer Dispute
November 2002
Denied
Customer Dispute
December 1995
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Phil is a member of Procyon Benefits, LLC (health insurance broker/agency), a partner at Procyon Tax, LLC, and an insurance producer. He is also the Managing Director of Procyon Risk LLC (insurance agency); these activities require minimal time.

Employment History
Current Registrations
Procyon
July 2017 - Present · 9 yrs 3 mos
Previous Registrations
Procyon Institutional Partners, LLC
November 2017 - February 2022 · 4 yrs 3 mos
UBS Financial Services INC.Broker
April 2009 - December 2016 · 7 yrs 8 mos
UBS Financial Services INC.
April 2009 - December 2016 · 7 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2005 - May 2009 · 3 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2005 - May 2009 · 3 yrs 7 mos
Wachovia Securities, LLC
July 2003 - November 2005 · 2 yrs 4 mos
Wachovia Securities, LLCBroker
July 2003 - November 2005 · 2 yrs 4 mos
Prudential Securities Incorporated
April 1995 - July 2003 · 8 yrs 3 mos
Prudential Securities IncorporatedBroker
November 1994 - July 2003 · 8 yrs 8 mos
State Registrations1 state
CT
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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