# WARNER GROUP LLC

WARNER GROUP LLC of MADISON, CT is an SEC-registered investment adviser.

## Registration

- CRD: 334877
- Type: SEC-registered investment adviser
- SEC file number: 801-132255
- Location: 869 BOSTON POST ROAD, MADISON, CT, 06443
- Phone: 203-929-2727
- Latest filing: 2026-07-08
- Regulatory AUM: $458.5M
- Discretionary AUM: $458.5M
- Clients: 20
- Accounts: 1,332

## Business model

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

## Officers, owners & control persons (3)

| Name | Role | Location |
| --- | --- | --- |
| Lisa Marie Lafond | CHIEF COMPLIANCE OFFICER | — |
| Ashleigh Cooper Swayze | CHIEF COMPLIANCE OFFICER | — |
| James Alan Warner | OWNER | — |


## Disclosures (10)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2017-04-17 | regulatory | IN 2017, OUR CHIEF COMPLIANCE OFFICER, ASHLEIGH SWAYZE, SIGNED A CONSENT ORDER WITH THE CONNECTICUT DEPARTMENT OF BANKING AND INSURANCE. THE UNDERLYING MATTER INVOLVED A CLIENT OF MS. SWAYZE'S THAT FAILED TO REGISTER AS AN INVESTMENT ADVISER REPRESENTATIVE IN CONNECTICUT. THE STATE FELT THAT MS.SWAY… | Final | $10K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/334877/brochure
- Similar advisers: https://search.stillhousedata.com/firm/334877/similar
- Related entities: https://search.stillhousedata.com/firm/334877/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/334877

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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.