Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$866,119,419
Total clients
84
80% high-net worth
Total advisors
5
of 5 employees
Firm size
Team
4-10 advisors or $500M+ in AUM
Average clients per advisor
17
Average account size
$10,310,945
Canton Hathaway provides investment advisory services primarily to individuals, family groups, trusts and charitable organizations, and also serves pension plans and other institutional clients through an outsourced CIO arrangement. The firm offers separately managed portfolios, subadvisory services to other RIAs, and manages affiliated private investment vehicles on behalf of investors.
Accounts are managed on an individualized, tax-aware basis using a combination of fundamental, technical and quantitative analysis and proprietary factor-based models to manage portfolio risk. Investment programs typically emphasize liquid equities, investment-grade fixed income built with a laddered approach, ETFs, and—where suitable for accredited investors—private placements and illiquid fund investments that are valued using listed valuation methodologies.
Distinctive elements include the firm’s role as manager and general partner of affiliated private funds structured for single-project real estate or private equity investments, a capability that is uncommon for team-sized firms. The firm discloses relationships with third-party private-placement sponsors and related conflicts of interest, has a relatively concentrated client base by assets, and does not provide standalone financial planning services; it also disclosed and addressed a prior SEC censure related to delivery of Form CRS.
Outsourced CIO services fixed fee ranges from $50,000 to $150,000 per year, may be reduced or waived.
$0 - $2,000,000: 0.90% annually $2,000,000 - $5,000,000: 0.80% annually $5,000,000 - $10,000,000: 0.70% annually $10,000,000+: 0.60% annually
Account minimum: $2,000,000
Canton Hathaway LLC
One West Exchange Street, Suite 3202
Providence RI 02903, United States
Number of offices
2
Florida · Louisiana · Rhode Island
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Series 63, Series 66
Providence, RI
Canton Hathaway LLC
Series 63, Series 65
Providence, RI
Canton Hathaway LLC
Series 63, Series 65
Providence, RI
Canton Hathaway LLC
Series 63, Series 65
Providence, RI
Canton Hathaway LLC
Series 63, Series 65
Providence, RI
Canton Hathaway LLC
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