Slocum, Gordon & Co. LLP
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$181,212,075
This total excludes 14 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
117
44% high-net worth
Advisors
1
of 5 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
117
Very HighAverage account size
$1,548,821
About
Slocum, Gordon & Co. LLP provides discretionary portfolio management and related advisory services to individuals (including high‑net‑worth clients), pension and profit‑sharing plans, charitable organizations, corporations, and state and municipal government entities. Services include ongoing investment management, IRA rollover guidance, and, in some cases, a partner serving as trustee on client accounts.
The firm constructs customized portfolios and monitors them on a regular basis, applying asset‑allocation discipline alongside security selection using fundamental, quantitative, qualitative and technical/charting analysis. Accounts are generally managed on a discretionary basis with periodic rebalancing and a mix of long‑ and short‑term strategies across equities, ETFs, mutual funds, fixed income, and real estate vehicles as appropriate to client objectives and risk tolerances.
Distinctive features include the firm’s work with state and municipal government clients—a client type that is relatively uncommon for peers of this size—and the availability of trustee services that result in the firm being deemed to have custody and subject to surprise custody examinations, with an additional audit cost allocated to affected clients. The adviser also maintains an institutional custody and brokerage relationship that provides platform and practice‑support services, and it discloses policies on trade aggregation and mutual fund share‑class selection meant to address related conflicts.
Client services
Financial planning
Portfolio management
Expertise
Real estate investing
Active portfolio management
Fee options
Fixed fees mentioned in SEC Form ADV Part 1 but no specific amounts disclosed in brochure
$0 - $5,000,000: 1.00% per annum Over $5,000,000+: 0.50% per annum on balance of market value
Hourly charges mentioned in SEC Form ADV Part 1 but no specific rates disclosed in brochure
Account minimum: $1,500 minimum annual fee Minimum fee: Minimum annual fee is $1,500 and is negotiable
Main office location
Slocum, Gordon & Co. LLP
39 Mill Street
Newport RI 02840, United States
Number of offices
1
Most active in
Slocum, Gordon & Co. LLP has reported serving >5 clients in these states in the last 12 months.
Connecticut · Florida · Massachusetts · New Hampshire · New York · Rhode Island · Texas
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 not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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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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