# ST. GERMAIN INVESTMENT MANAGEMENT, INC.

ST. GERMAIN INVESTMENT MANAGEMENT, INC. of SPRINGFIELD, MA is an SEC-registered investment adviser.

## Registration

- CRD: 155186
- Type: SEC-registered investment adviser
- SEC file number: 801-12471
- Location: 1500 MAIN ST, 25TH FLOOR, SPRINGFIELD, MA, 01115-1001
- Phone: 413-733-5111
- Latest filing: 2026-03-27
- Regulatory AUM: $3.8B
- Discretionary AUM: $3.8B
- Non-discretionary AUM: $14.7M
- Clients: 42
- Accounts: 6,722

## Business model

- Compensation: % of AUM
- Clients served: Individuals, High net worth, Pooled vehicles, Corporations

## Officers, owners & control persons (10)

| Name | Role | Location |
| --- | --- | --- |
| Michael Robert Matty | PRESIDENT, DIRECTOR, SECRETARY | — |
| Timothy Wallace Suffish | DIRECTOR | — |
| Polly White Cordle | CHIEF COMPLIANCE OFFICER | — |
| John Francis Fortier | TREASURER | — |
| VALICKUS PAUL JOSEPH | CHAIRMAN; CHIEF STRATEGIST; DIRECTOR (+1 more) | — |
| MATTY MICHAEL ROBERT | CHIEF COMPLIANCE OFFICER, PRESIDENT, DIRECTOR; PRESIDENT; PRESIDENT, DIRECTOR, SECRETARY (+1 more) | — |
| SUFFISH TIMOTHY WALLACE | DIRECTOR | — |
| SCHUCK JASON MAXWELL | TREASURER | — |
| CORDLE POLLY WHITE | CHIEF COMPLIANCE OFFICER | — |
| Fortier John Francis | TREASURER | — |


## Disclosures (12)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2021-07-08 | regulatory | IN JULY OF 2021, ST. GERMAIN INVESTMENT MANAGEMENT ENTERED INTO A SETTLEMENT WITH THE SECURITIES EXCHANGE COMMISSION INVOLVING THE FIRM'S SPECIFIED DISCLOSURE OF A CONFLICT OF INTEREST ARISING FROM THE PARTICIPATION OF THE FIRM'S AFFILIATED BROKER DEALER IN A CASH SWEEP REVENUE SHARING AGREEMENT. PE… | Final | $300K |
| 2010-04-09 | regulatory | ST. GERMAIN FAILED TO FILE A "DESIGNATED PRINCIPAL FORM DPF" WITH THE STATE BY DECEMBER 31, AS REQUIRED BY ILLINOIS STATUTES. | Final | $250 |
| 2006-07-10 | regulatory | FINRA RULES 2010,7450,NASD RULES 2110,3010,6955(A)- ST. GERMAIN SECURITIES, INC FAILED TO TRANSMIT ALL OF IT'S ORDERS TO THE ORDER AUDIT TRAIL SYSTEM(OATS) THAT IT WAS REQUIRED TO TRANSMIT DURING A PARTICULAR PERIOD.THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO… | Final | $28K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/155186/brochure
- Similar advisers: https://search.stillhousedata.com/firm/155186/similar
- Related entities: https://search.stillhousedata.com/firm/155186/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/155186

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.