Sarah C. Rioux

TFC FINANCIAL MANAGEMENT

BOSTON, MA 02110

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CRD#: 7634801

Professional summary

Sarah Catherine Rioux is a registered financial advisor currently at TFC FINANCIAL MANAGEMENT INC located in Boston, Massachusetts.

Sarah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Sarah has worked at 2 firms and has passed the Series 65 exam.

At a Glance

Always Fiduciary

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.

Legacy Studios, LLC; Not investment-related; 295 California Street, Newton, MA 02458; Dance Studio; Dance Teacher; 09/2025; 8 hours per month; 0 hours during securities trading hours; teaching dance to kids

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Catherine Rioux's CRS (Customer Relationship Summary).

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

July 30, 2026 - Present

TFC FINANCIAL MANAGEMENT INC

Office #1: 260 Franklin Street Suite 1888, Boston, MA 02110

RIA

CRD#: 105062

BOSTON, MA

Past

October 26, 2022 - July 8, 2026

CONNECTICUT WEALTH MANAGEMENT, LLC

RIA

CRD#: 154310

FARMINGTON, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TFC FINANCIAL MANAGEMENT INC

TFC FINANCIAL MANAGEMENT INC | TFC FINANCIAL MANAGEMENT, INC.

CRD#: 105062 / SEC#: 801-17784

RIA

Registered Investment Advisory firm - (10/12/1982 Approved)

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

Massachusetts
(7/30/2026)

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: 10/26/2022

Uniform Investment Adviser Law Examination

Current Firm

TFC FINANCIAL MANAGEMENT INC

TFC FINANCIAL MANAGEMENT INC | TFC FINANCIAL MANAGEMENT, INC.

CRD#: 105062 / SEC#: 801-17784

RIA

Registered Investment Advisory firm - (10/12/1982 Approved)

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Contact information

Main Address

260 Franklin Street Suite 1888, Boston, MA 02110

Mailing Address

Phone number

(617) 210-6700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (3/4/2026)

Regulatory assets under management

Total Number of Accounts	1,619
AUM (Assets Under Management)	$ 1,780,827,449

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/26/2026	Cover Page	Report
09/27/2024	Cover Page	Report
11/22/2023	Cover Page	Report

Red Flags

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

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Sarah C. Rioux

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Catherine Rioux's CRS (Customer Relationship Summary).

Certified licenses

Experience

TFC FINANCIAL MANAGEMENT INC

CONNECTICUT WEALTH MANAGEMENT, LLC

Primary Firm SEC Registration

TFC FINANCIAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/26/2022

Current Firm

TFC FINANCIAL MANAGEMENT INC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TFC FINANCIAL MANAGEMENT INC

TRUST BUT VERIFY

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