# Professional Planning Group

> Professional Planning Group is an SEC-registered investment advisory firm in Westerly, RI, registered since 1980, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 26, 2026.

- CRD: 108868
- Filed as: PROFESSIONAL PLANNING GROUP
- Legal name: New England Professional Planning Group Inc.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Westerly, RI
- Filing period: October 2026
- Form ADV filing dated: March 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/108868
- AdvisorCensus page: https://advisorcensus.com/firm/professional-planning-group-westerly-ri-108868

## Quick answers

**How is Professional Planning Group compensated?**
On its Form ADV (Item 5.E, October 2026), Professional Planning Group reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**How much does Professional Planning Group charge?**
Its Form ADV Part 2A brochure dated March 26, 2026 states: Flat fee: $1,000 to $10,000 (Fixed fee engagements); Hourly rate: $250 to $500 an hour (Hourly fee engagements). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Professional Planning Group located?**
Professional Planning Group's principal office is in Westerly, RI, according to its Form ADV.

**Is Professional Planning Group registered with the SEC or a state?**
Professional Planning Group is an SEC-registered investment advisory firm, registered since 1980. Status as filed: Approved. CRD 108868.

**How much does Professional Planning Group manage?**
Professional Planning Group reports $1,316,426,626 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (95% discretionary).

**How have Professional Planning Group's assets and staff changed since 2021?**
In the Form ADV data for Professional Planning Group: Regulatory assets under management: $971,752,262 in the October 2021 data and $1,316,426,626 in the October 2026 data, up 35%. Total employees: 18 in October 2021 and 16 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Professional Planning Group serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (903); high net worth individuals (378); charitable organizations (11).

**Which custodians does Professional Planning Group use?**
Professional Planning Group's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Raymond James & Associates, Inc. and Raymond James Trust Company of NH as custodians holding 10% or more of its separately managed account assets.

**Does Professional Planning Group report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/108868

**Does Professional Planning Group state an account minimum?**
Its Form ADV Part 2A brochure dated March 26, 2026 says: "We require a minimum account of $500,000 for investment advisory services, although this may be negotiable under certain circumstances."

**What changed in Professional Planning Group's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $1,166,383,072 to $1,316,426,626 (+13%).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 26, 2026)

- Account minimum: $500,000 (the brochure says it may be waived or negotiated)

> We require a minimum account of $500,000 for investment advisory services, although this may be negotiable under certain circumstances.

- Flat fee: $1,000 to $10,000 (Fixed fee engagements)

> Fixed fee engagements range from $1,000 to $10,000 depending on the nature and complexity of the client’s circumstances, as well as the Firm advisor(s) involved in the planning process.

- Hourly rate: $250 to $500 an hour (Hourly fee engagements)

> Hourly fee engagements range from $250 to $500 per hour. An estimate for total hours is determined at the start of the advisory relationship and communicated to the client.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Raymond James & Associates, Inc.
- Raymond James Trust Company of NH

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: $1,316,426,626
- Discretionary: $1,245,123,267
- Non-discretionary: $71,303,359

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 903 | $353,608,461 |
| High net worth individuals | 378 | $948,256,298 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 11 | $14,561,867 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

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

### Firm details
- Registered since: 1980 (46 years)
- Employees: 16 total, 9 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AZ, CA, CT, FL, GA, LA, MA, ME, NC, NH, NY, PA, RI, SC, TN, TX, VA, VT
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $971,752,262 | 18 | September 10, 2021 |
| October 2022 | $1,152,732,109 | 18 | July 18, 2022 |
| October 2023 | $937,180,405 | 18 | August 28, 2023 |
| October 2024 | $1,055,252,906 | 17 | March 27, 2024 |
| October 2025 | $1,166,383,072 | 19 | March 24, 2025 |
| October 2026 | $1,316,426,626 | 16 | March 26, 2026 |

Regulatory assets under management: $971,752,262 in the October 2021 data and $1,316,426,626 in the October 2026 data, up 35%.
Total employees: 18 in October 2021 and 16 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $1,166,383,072 to $1,316,426,626 (+13%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Professional Planning Group (CRD 108868): Form ADV filing data as of October 2026.