Diversified Resources, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$262,981,132
Clients
640
20% high-net worth
Advisors
1
of 6 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
640
Very HighAverage account size
$410,908
About
Diversified Resources, LLC provides investment management and modular financial planning primarily to individual and high-net-worth clients, and also offers broker-dealer and insurance product services outside its advisory platform, including variable annuities and 529 college savings plans. The firm reports approximately $269 million in assets under management for about 640 clients and delivers discretionary portfolio management alongside standalone planning engagements.
Investment advice is typically implemented through model-based, discretionary portfolios concentrated in mutual funds and ETFs and delivered in part through co-advisory and wrap-fee programs with SEI, with custodial services provided by SEI Private Trust Company. The firm uses proprietary onboarding tools (a Confidential Fact Finder, risk tolerance quiz, and Retirement Income Questionnaire), ongoing monitoring, and periodic rebalancing, and states it acts as a fiduciary for retirement account advice.
What is noteworthy about the firm is its dual role as a registered investment adviser and a FINRA-registered broker-dealer, and the brochure discloses that advisory personnel are also registered representatives and licensed insurance agents who may receive separate commission-based compensation for non-advisory products. The firm’s single-advisor structure combined with a high client-to-advisor ratio (roughly 640 clients per advisor) and its integration with SEI’s manager-of-managers and wrap programs are highlighted in the brochure and are likely to influence how services are delivered and how potential conflicts are managed.
Client services
Financial planning
Portfolio management
Expertise
Annuities
Fee options
Financial planning fees may be a fixed fee ranging between $250 and $3,000 depending on complexity.
$0 - $1,500,000: 1.00% annually $1,500,001 - $2,500,000: 0.75% annually $2,500,001+: 0.40% annually
Commission-based compensation is earned from non-investment advisory accounts, including sales of 529 plans, variable annuities, insurance products such as life, disability, fixed annuities, equity-indexed fixed annuities and long-term care insurance.
$225 per hour for financial planning services.
Main office location
Diversified Resources, LLC
70 Jefferson Blvd, 4 Th Floor
Warwick RI 02888, United States
Number of offices
1
Most active in
Diversified Resources, LLC has reported serving >5 clients in these states in the last 12 months.
Connecticut · Florida · Massachusetts · New Hampshire · Rhode Island · South Carolina · Texas · Virginia
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is 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.
Is not active or affiliated with:
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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