Overview
Slocum, Gordon & Co. LLP is a SEC-registered investment adviser with its principal place of business
located in RI. Slocum, Gordon & Co. LLP began conducting business in 1978.
Listed below are the firm's principal shareholders (i.e., those individuals and/or entities controlling 25%
or more of this company).
Jeffrey L. Gordon, Managing Partner
Barclay Douglas Jr., Partner
Kenneth M.P. Lindh, Partner, CCO
Slocum, Gordon & Co. LLP offers the following advisory services to our clients:
INVESTMENT SUPERVISORY SERVICES ("ISS")
INDIVIDUAL PORTFOLIO MANAGEMENT
Our firm provides continuous advice to a client regarding the investment of client funds based on the
individual needs of the client. Through personal discussions in which goals and objectives based on a
client's particular circumstances are established, we develop a client's personal investment policy and
create and manage a portfolio based on that policy. During our data-gathering process, we determine
the client's individual objectives, time horizons, risk tolerance, and liquidity needs. As appropriate, we
also review and discuss a client's prior investment history, as well as family composition and
background.
We manage these advisory accounts on a discretionary basis. Account supervision is guided by the
client's stated objectives (i.e., maximum capital appreciation, growth, income, or growth and income),
as well as tax considerations.
Clients
may impose reasonable restrictions on investing in certain securities, types of securities, or
industry sectors.
Our investment recommendations are not limited to any specific product or service offered by a broker-
dealer or insurance company and will generally include advice regarding the following securities:
Exchange-listed securities
Securities traded over-the-counter
Foreign issuers
Municipal securities
Mutual fund shares
United States governmental securities
Interests in partnerships investing in real estate
Interests in partnerships investing in oil and gas interests
Because some types of investments involve certain additional degrees of risk, they will only be
implemented/recommended when consistent with the client's stated investment objectives, tolerance
for risk, liquidity and suitability.
PUBLICATION OF PERIODICALS
Slocum, Gordon & Co. LLP publishes a quarterly newsletter providing general information on various
financial topics including, but not limited to, estate and retirement planning, market trends, etc. No
specific investment recommendations are provided in this newsletter and the information provided
does not purport to meet the objectives or needs of any individual. This newsletter is distributed free of
charge to our advisory clients.
AMOUNT OF MANAGED ASSETS
As of 03/19/2024, we were actively managing $215,832,625 of clients' assets on a discretionary basis.