{
  "crd_number": 1175,
  "slug": "barrett-and-company-providence-ri-1175",
  "primary_business_name": "BARRETT & COMPANY",
  "legal_name": "BARRETT & COMPANY, INC.",
  "dbas": [
    "THE FOUR SQUARE METHOD"
  ],
  "city": "Providence",
  "state": "RI",
  "country": "United States",
  "cbsa_code": "39300",
  "metro": {
    "cbsa_code": "39300",
    "common_name": "Providence",
    "msa_name": "Providence-Warwick, RI-MA",
    "path": "/advisors/ri/providence"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2017-07-17",
  "years_registered": 9,
  "period": "2026-10-01",
  "filing_date": "2026-03-06",
  "carried_forward": false,
  "raum_total": 529683081.0,
  "raum_discretionary": 471303749.0,
  "raum_non_discretionary": 58379332.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 7,
  "advisory_employees": 4,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": null,
      "count": null,
      "description": "NONE",
      "fewer_than_5": true
    },
    "charitable": {
      "raum": null,
      "count": null,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 182866639.0,
      "count": 437
    },
    "banking_thrift": {
      "raum": null,
      "count": null,
      "fewer_than_5": true
    },
    "state_municipal": {
      "raum": null,
      "count": null,
      "fewer_than_5": true
    },
    "insurance_companies": {
      "raum": null,
      "count": null,
      "fewer_than_5": true
    },
    "pension_profit_sharing": {
      "raum": 29943337.0,
      "count": 15
    },
    "other_investment_advisers": {
      "raum": null,
      "count": null,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 300680643.0,
      "count": 139
    },
    "corporations_other_businesses": {
      "raum": 16192462.0,
      "count": 10
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": null,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 4,
  "states_registered": [
    "CA",
    "CO",
    "CT",
    "FL",
    "GA",
    "MA",
    "ME",
    "NH",
    "NY",
    "RI",
    "TN",
    "TX",
    "VT",
    "WA"
  ],
  "websites": [
    "https://barrettandcompany.com",
    "https://facebook.com/BARRETTANDCOMPANY",
    "https://linkedin.com/COMPANY/BARRETT-&-COMPANY-INC.",
    "https://m.youtube.com/channel/UClk_E5Sf9F6N66mswKYw-uA"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/1175",
  "disclosure_items": [
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "PROVIDENCE",
  "url": "https://advisorcensus.com/firm/barrett-and-company-providence-ri-1175",
  "display_name": "Barrett & Company",
  "summary": "Barrett & Company is an SEC-registered investment advisory firm in Providence, RI, registered since 2017, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 6, 2026.",
  "citation": "AdvisorCensus. Barrett & Company (CRD 1175): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Barrett & Company compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Barrett & Company reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Barrett & Company located?",
      "a": "Barrett & Company's principal office is in Providence, RI, according to its Form ADV."
    },
    {
      "q": "Is Barrett & Company registered with the SEC or a state?",
      "a": "Barrett & Company is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 1175."
    },
    {
      "q": "How much does Barrett & Company manage?",
      "a": "Barrett & Company reports $529,683,081 in regulatory assets under management in its Form ADV filing dated March 6, 2026 (89% discretionary)."
    },
    {
      "q": "How have Barrett & Company's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Barrett & Company: Regulatory assets under management: $273,723,773 in the October 2021 data and $529,683,081 in the October 2026 data, up 94%. Total employees: 13 in October 2021 and 7 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Barrett & Company serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (437); high net worth individuals (139); pension and profit sharing plans (but not the plan participants or government pension plans) (15)."
    },
    {
      "q": "Which custodians does Barrett & Company use?",
      "a": "Barrett & Company's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Barrett & Company report any disciplinary disclosures?",
      "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/1175"
    },
    {
      "q": "What changed in Barrett & Company's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $453,480,963 to $529,683,081 (+17%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 273723773.0,
      "total_employees": 13,
      "filing_date": "2021-07-01"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 369284849.0,
      "total_employees": 12,
      "filing_date": "2022-04-19"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 309379208.0,
      "total_employees": 12,
      "filing_date": "2023-04-05"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 370060815.0,
      "total_employees": 10,
      "filing_date": "2024-02-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 453480963.0,
      "total_employees": 9,
      "filing_date": "2025-06-06"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 529683081.0,
      "total_employees": 7,
      "filing_date": "2026-03-06"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $453,480,963 to $529,683,081 (+17%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/barrett-and-company-providence-ri-1175.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 437,
      "fewer_than_5": false,
      "raum": 182866639.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 139,
      "fewer_than_5": false,
      "raum": 300680643.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": null,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 15,
      "fewer_than_5": false,
      "raum": 29943337.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": null,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": null,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": null,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 10,
      "fewer_than_5": false,
      "raum": 16192462.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": null,
      "fewer_than_5": true,
      "raum": null
    }
  ],
  "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/1175",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}