Adviser Profile

As of Date 10/26/2023
Registration status Terminated
ADV Location PROVIDENCE, RI, United States
Contact Info 401 xxxxxxx
AUM* 201,724,066 -60%
of that, discretionary 201,724,066 -60%
Number of Employees 2 -33%
of those in investment advisory functions 1
Private Fund GAV* 0
Avg Account Size 1,318,458 27%
% High Net Worth 56.25% -4%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Reported AUM

500M 429M 357M 286M 214M 143M 71M
2015 2016 2017 2018 2019 2020 2021 2022 2023
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

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Brochure Summary