Otto & Associates, Inc.

Overview

Otto & Associates, Inc. is an SEC registered investment adviser based in Norwich, VT, registered since 1997. It reports $287M in assets under management across 629 accounts, with 6 employees. It has 3 investment adviser representatives.

Reported AUM

$287M

Discretionary

100%

Accounts

629

Average account

$456K

Employees

6

Advisory reps

3

Registered since

1997

Jurisdictions

8

As reported in the firm's March 2026 filing.

Contact

1 phone number on file

Practice

Services

• Financial Planning
• Individuals or Small Business
• Pension Consulting

Client types

• High Net Worth Individuals
• Individuals

Fee structure

Hourly Charges and Percentage of Assets

Executive officers 3 of 3

• David William Otto Chief Executive Officer CRD 4364736
• Susan Otto Goodell President and Chief Compliance Officer CRD 5895496
• Elizabeth Otto Shareholder CRD 5895505

Advisory reps 3 of 3

• Susan Otto Goodell Investment Adviser Rep CRD 5895496
• Deborah L Maher Investment Adviser Rep CRD 7429053
• David William Otto Investment Adviser Rep CRD 4364736

Location

Headquarters

16 Beaver Meadow Rd
Norwich, VT 05055

County

Windsor

Metro area

Lebanon, NH-VT

Region

Northeast

Registrations

• SEC registered
• Registered in 8 jurisdictions
• Website: ottoandassociates.com

Every state, with registration dates

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