NEWBURYPORT, MACRD 327402Registration Status: ApprovedEffective since May 21, 2026Latest ADV May 7, 2026
Tax & Investment Advisors is an SEC registered investment adviser organized as a limited liability company with a primary office location in Newburyport, MA. Its latest Form ADV filing, dated May 7, 2026, reports $102M in regulatory assets under management, 3 employees, and 343 accounts.
Assets Under Management
$102M
Employees
3
Offices
--
Total Clients
346
Primary office
NEWBURYPORT, MA
29 WATER STREET, SUITE 302, NEWBURYPORT, MA, United States
Portfolio management for individuals and small businesses
Publication of periodicals or newsletters
Fee models offered
1 types reported
Asset based fees
Sources checked Aug 22, 2026
Client Coverage Demographics
Top client segmentIndividuals represent 90.2% of total clients.
Top client categories% of clientsClients
1
Individuals
90.2%
312
2
HNWI
9.8%
34
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$102Mas of May 7, 2026
Discretionary100.0%
$102M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM$102M
Total Accounts343
10Y AUM Change—
Rialytix.com
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees3
Clients per Employee115:1
10Y Employee Change—
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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.
* 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.