Adviser Profile

As of Date 03/09/2026
Registration SEC, Approved, 04/19/1991
ADV Location EAST GREENWICH, RI, United States
Contact Info (40 xxxxxxx
Websites
AUM* 418,266,246 20%
of that, discretionary 407,686,154 17%
Number of Employees 6
of those in investment advisory functions 3
Private Fund GAV* 0
Avg Account Size 461,663 11%
% High Net Worth 42.34% 13%
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

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

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

Reported AUM

408M 349M 291M 233M 175M 116M 58M
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker78464A854 Stock NameSPDR SERIES TRUST $ Position$23,162,500 % Position8.00% $ Change39.00% # Change21.00%
Stck Ticker46432F842 Stock NameISHARES TR $ Position$20,995,201 % Position7.00% $ Change8.00% # Change1.00%
Stck Ticker594918104 Stock NameMICROSOFT CORP $ Position$15,586,459 % Position5.00% $ Change-1.00% # Change-2.00%
Stck Ticker037833100 Stock NameAPPLE INC $ Position$14,675,939 % Position5.00% $ Change6.00% # Change-7.00%
Stck Ticker381430503 Stock NameGOLDMAN SACHS ETF TR $ Position$11,443,053 % Position4.00% $ Change-14.00% # Change-24.00%
Stck Ticker464287440 Stock NameISHARES TR $ Position$11,957,842 % Position4.00% $ Change2.00% # Change3.00%
Stck Ticker808524508 Stock NameSCHWAB STRATEGIC TR $ Position$12,879,545 % Position4.00% $ Change22.00% # Change2.00%
Stck Ticker92203J407 Stock NameVANGUARD CHARLOTTE FDS $ Position$8,294,935 % Position3.00% $ Change1.00% # Change0.00%
Stck Ticker02079K305 Stock NameALPHABET INC $ Position$9,809,418 % Position3.00% $ Change23.00% # Change-1.00%
Stck Ticker023135106 Stock NameAMAZON COM INC $ Position$8,595,970 % Position3.00% $ Change12.00% # Change-3.00%

Brochure Summary