Firm profile

St. Germain Investment Management

SPRINGFIELD, MACRD 155186Registration Status: ApprovedEffective since December 30, 1976SEC # 801-12471Latest ADV March 27, 2026

St. Germain Investment Management is an SEC registered investment adviser organized as a corporation with a primary office location in Springfield, MA.

Assets Under Management
$3.8B
Employees
42
Offices
6 offices
Total Clients
6,722

Associated firm names

6 names listed
  • GAGE-WILEY
  • ST. GERMAIN WEALTH MANAGEMENT GROUP
  • ST. GERMAIN INVESTMENT MANAGEMENT, INC.
  • ST. GERMAIN INVESTMENT MANAGEMENT

Leadership

1 roles identified
CCOPolly W. Cordle

Advisory services offered

4 types reported
Financial Planning Services
Portfolio management for businesses
Portfolio management for individuals and small businesses

Fee models offered

1 types reported
Asset based fees

Offices & Contact

Primary office

SPRINGFIELD, Massachusetts, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Massachusetts

SPRINGFIELDPrimary office · PLYMOUTH · LEE · NORTHAMPTON

Mississippi

JACKSON

New Hampshire

STRATHAM

6 office records listed · 6 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$3.8Bas of March 27, 2026
Discretionary99.6%
$3.8B
100% of total RAUM99.6%
Non-discretionary0.4%
$15M
0% of total RAUM0.4%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentIndividuals represent 67.7% of total clients.
Top client categories% of clientsClients
1
Individuals
67.7%
4,552
2
HNWI
28.4%
1,909
3
Charitable
1.7%
113
4
Pension Plans
1.6%
108
5
Corporations
0.6%
37
Additional categories (<0.1%)
Government<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$3.8B
Total Accounts6,722
10Y AUM Change+$2.7B (+237.6%)

Private Funds

Private funds reported by St. Germain Investment Management

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees42
Clients per Employee160:1
10Y Employee Change+21 (+100.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Ownership information is not yet available for this profile.

Compliance & Disclosures

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

Item 11 responses have not been pulled yet for this RIA.

RIA or supervised-person involvementThe RIA’s response about whether these events involve the firm or its supervised persons is unavailable.RIA responseUnavailable
AFelonies2 Unavailable

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?Unavailable
  • A2Been charged with a felony?Unavailable
BMisdemeanors2 Unavailable

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?Unavailable
  • B2Been charged with a misdemeanor of the kind listed above?Unavailable
CSEC or CFTC actions5 Unavailable

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?Unavailable
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?Unavailable
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?Unavailable
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?Unavailable
DOther regulatory actions5 Unavailable

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?Unavailable
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?Unavailable
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?Unavailable
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?Unavailable
ESelf-regulatory organization actions4 Unavailable

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?Unavailable
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?Unavailable
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?Unavailable
FProfessional authorizations1 Unavailable
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?Unavailable
GPending regulatory proceedings1 Unavailable
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?Unavailable
HCivil judicial actions and proceedings4 Unavailable

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?Unavailable
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?Unavailable
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?Unavailable

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?Unavailable

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.