Susan Frois

EAGLE CAPITAL ADVISORS

Middlebury, CT 06762

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CRD#: 6461924

Professional summary

Susan Frois is a registered financial advisor currently at EAGLE CAPITAL ADVISORS, LLC located in Middlebury, Connecticut.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Susan has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Frois's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 30, 2018 - Present

EAGLE CAPITAL ADVISORS, LLC

Office #1: 121 Turnpike Drive, Middlebury, CT 06762

RIA

CRD#: 173730

Middlebury, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(11/30/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/30/2018

Uniform Investment Adviser Law Examination

Current Firm

EAGLE CAPITAL ADVISORS, LLC

EAGLE CAPITAL ADVISORS, LLC | PELOSI, MICHAEL RALPH

CRD#: 173730 / SEC#:

Connecticut

Registered Investment Advisory firm - (7/16/2015 Approved)

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Contact information

Main Address

121 Turnpike Drive, Middlebury, CT 06762

Mailing Address

Phone number

(203) 574-0069

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	158
AUM (Assets Under Management)	$ 88,019,117

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/14/2025	Cover Page	Report
12/19/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Susan Frois

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Frois's CRS (Customer Relationship Summary).

Certified licenses

Experience

EAGLE CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/30/2018

Current Firm

EAGLE CAPITAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EAGLE CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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