# Canton Hathaway LLC

> Canton Hathaway LLC is an SEC-registered investment advisory firm in Providence, RI, registered since 2018, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 297527
- Filed as: CANTON HATHAWAY LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Providence, RI
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/297527
- AdvisorCensus page: https://advisorcensus.com/firm/canton-hathaway-llc-providence-ri-297527

## Quick answers

**How is Canton Hathaway LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Canton Hathaway LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Canton Hathaway LLC located?**
Canton Hathaway LLC's principal office is in Providence, RI, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Canton Hathaway LLC registered with the SEC or a state?**
Canton Hathaway LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 297527.

**How much does Canton Hathaway LLC manage?**
Canton Hathaway LLC reports $866,119,419 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (97% discretionary).

**How have Canton Hathaway LLC's assets and staff changed since 2021?**
In the Form ADV data for Canton Hathaway LLC: Regulatory assets under management: $474,298,291 in the October 2021 data and $866,119,419 in the October 2026 data, up 83%. Total employees: 7 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Canton Hathaway LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (67); individuals (other than high net worth individuals) (17); corporations or other businesses not listed above (5).

**Which custodians does Canton Hathaway LLC use?**
Canton Hathaway LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Canton Hathaway LLC report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.C(4) (SEC or CFTC order) and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). 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/297527

**What changed in Canton Hathaway LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $672,683,658 to $866,119,419 (+29%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Fidelity Brokerage Services LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $866,119,419
- Discretionary: $844,306,495
- Non-discretionary: $21,812,924

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 17 | $10,424,204 |
| High net worth individuals | 67 | $602,039,659 |
| Pooled investment vehicles (other than investment companies and business development companies) | 4 | $26,565,904 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 2 | $155,328,390 |
| State or municipal government entities (including government pension plans) | 1 | $7,126,066 |
| Corporations or other businesses not listed above | 5 | $64,635,196 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2018 (8 years)
- Employees: 5 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, LA, RI
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/297527

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Palm Beach, FL

### Websites listed on Form ADV (Item 1.I)
- cantonhathaway.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $474,298,291 | 7 | September 28, 2021 |
| October 2022 | $599,082,339 | 7 | May 4, 2022 |
| October 2023 | $551,257,198 | 6 | September 28, 2023 |
| October 2024 | $651,793,094 | 6 | September 30, 2024 |
| October 2025 | $672,683,658 | 6 | June 16, 2025 |
| October 2026 | $866,119,419 | 5 | March 30, 2026 |

Regulatory assets under management: $474,298,291 in the October 2021 data and $866,119,419 in the October 2026 data, up 83%.
Total employees: 7 in October 2021 and 5 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $672,683,658 to $866,119,419 (+29%).

### December 2025
- Registered or notice-filed in LA.

### November 2025
- Added an office in Palm Beach, FL.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Canton Hathaway LLC (CRD 297527): Form ADV filing data as of October 2026.