# Slocum, Gordon & Co. LLP

> Slocum, Gordon & Co. LLP is an SEC-registered investment advisory firm in Newport, RI, registered since 1979, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 5, 2026.

- CRD: 104929
- Filed as: SLOCUM, GORDON & CO. LLP
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Newport, RI
- Filing period: October 2026
- Form ADV filing dated: February 5, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/104929
- AdvisorCensus page: https://advisorcensus.com/firm/slocum-gordon-and-co-llp-newport-ri-104929

## Quick answers

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

**Where is Slocum, Gordon & Co. LLP located?**
Slocum, Gordon & Co. LLP's principal office is in Newport, RI, according to its Form ADV.

**Is Slocum, Gordon & Co. LLP registered with the SEC or a state?**
Slocum, Gordon & Co. LLP is an SEC-registered investment advisory firm, registered since 1979. Status as filed: Approved. CRD 104929.

**How much does Slocum, Gordon & Co. LLP manage?**
Slocum, Gordon & Co. LLP reports $219,150,565 in regulatory assets under management in its Form ADV filing dated February 5, 2026 (100% discretionary).

**How have Slocum, Gordon & Co. LLP's assets and staff changed since 2021?**
In the Form ADV data for Slocum, Gordon & Co. LLP: Regulatory assets under management: $236,193,367 in the October 2021 data and $219,150,565 in the October 2026 data, down 7%. Total employees: 6 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 Slocum, Gordon & Co. LLP serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (66); high net worth individuals (51); charitable organizations (7).

**Which custodians does Slocum, Gordon & Co. LLP use?**
Slocum, Gordon & Co. LLP'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 Slocum, Gordon & Co. LLP 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/104929

**Does Slocum, Gordon & Co. LLP state an account minimum?**
Its Form ADV Part 2A brochure dated February 5, 2026 says: "We do not require a minimum account size."

**What changed in Slocum, Gordon & Co. LLP's recent Form ADV filings?**
In the March 2026 filing data: Updated its list of owners and control persons (Schedule A).

## 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 February 5, 2026)

- Account minimum: None

> We do not require a minimum account size.

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

### 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: $219,150,565
- Discretionary: $219,150,565
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 66 | $18,902,297 |
| High net worth individuals | 51 | $162,309,778 |
| 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 | 7 | $31,316,472 |
| State or municipal government entities (including government pension plans) | Fewer than 5 | $136,044 |
| 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 | 7 | $6,485,974 |
| Other | 0 | Not reported |

### 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

### Firm details
- Registered since: 1979 (47 years)
- Employees: 5 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT, FL, MA, NH, NY, RI, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [slocumgordon.com](https://slocumgordon.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $236,193,367 | 6 | March 29, 2021 |
| October 2022 | $263,366,404 | 6 | March 25, 2022 |
| October 2023 | $241,322,670 | 5 | March 2, 2023 |
| October 2024 | $215,832,625 | 6 | March 22, 2024 |
| October 2025 | $225,161,641 | 6 | April 30, 2025 |
| October 2026 | $219,150,565 | 5 | February 5, 2026 |

Regulatory assets under management: $236,193,367 in the October 2021 data and $219,150,565 in the October 2026 data, down 7%.
Total employees: 6 in October 2021 and 5 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Updated its list of owners and control persons (Schedule A).

### January 2026
- Updated its list of owners and control persons (Schedule A).

### December 2025
- Registered or notice-filed in FL, MA, NY.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Slocum, Gordon & Co. LLP (CRD 104929): Form ADV filing data as of October 2026.