Michael Niemczyk Associates

The firm is registered with the U.S. Securities and Exchange Commission as a Registered Investment Advisor, a status it has held since 1998. Its CRD number is 107108. The registration is active, and the firm files annual Form ADV amendments through the IARD system, disclosing its advisory business, fee schedules, and disciplinary history in compliance with the Investment Advisers Act of 1940.

No. According to SEC filings, the firm does not sponsor or manage any private funds, hedge funds, or other pooled investment vehicles. Its advisory business is limited to separately managed accounts for individuals and, in earlier periods, a small number of pension and profit-sharing plans. This structure contrasts with firms that layer private fund access onto a core wealth management practice.

The firm charges asset-based advisory fees on a quarterly or monthly basis, as detailed in its Form ADV Part 2A. Fees are negotiable and typically calculated as a percentage of assets under management, a common model for traditional discretionary wealth managers. The firm does not earn commissions from brokerage transactions, distinguishing its compensation from dual-registered broker-dealer models.

Client sourcing appears entirely organic and referral-based. SEC filings show the firm conducts no solicitation activity and has no arrangements with third-party marketers or referral agents. The client base has remained small — fewer than 50 advisory clients in most reporting periods — consistent with a word-of-mouth practice rooted in a local Connecticut network rather than a deliberate marketing or business development effort.

Public filings do not disclose any formal succession plan. Michael Niemczyk remains listed as the sole control person, director, and chief compliance officer, with no other individuals holding a 25% or greater ownership stake. The firm has not reported the addition of partners or a next-generation family member in an advisory capacity, nor has it disclosed any continuity agreements or sale arrangements in its SEC filings.