DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Slocum, Gordon & Co. Llp
Legal name Slocum Gordon & Co Llp
Latest filing Feb 5, 2026
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since Jan 11, 1979
RAUM
$219M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$181M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$219M as of Feb 5, 2026
Mar 30, 2012$158M then
HNW client RAUM$162M as of Feb 5, 2026
Mar 29, 2018$118M then
State-registered IARs (5.B.3)2 as of Feb 5, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Feb 5, 2026
Mar 19, 20136 then
Private funds: no history
RAUM -2.7% over the last fiscal year-3.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 5, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $866,208derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$162M74%
- Charitable organizations$31.3M14%
- Individuals$18.9M8.6%
- Corporations and businesses$6.5M3.0%
- State and municipal entities$136,0440.1%
- Individual clients
- 66reported
- HNW clients
- 51reported
- Pension plan clients
- 0reported
- Charitable clients
- 7reported
- Accounts
- 253reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jeffrey L. Gordon | Newport, Ri | Oct 18, 2005 | 47 y | 1 |
| Michael Patrick Moeller | Newport, Ri | Nov 2, 2023 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- John Bond Trevor to Parsons Capital Management IncNov 1, 2012 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Barclay Douglas · Partnercontrolsince 01/1981 · owns 25% to 50%
- L. Jeffrey Gordon · Partnercontrolsince 11/1978 · owns 25% to 50%
- Morgan Kenneth Lindh · Chief Compliance Officer / Partnersince 09/2004 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport, Ri · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Feb 5, 2026financial planning (Item 5.G.1): no on the filing of 2025-12-04, yes on the filing of 2026-02-05peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 267 to 253Dec 4, 2025 to Feb 5, 2026
- Advisory activities · 2 to 3Dec 4, 2025 to Feb 5, 2026
- HNW clients · 48 to 51Dec 4, 2025 to Feb 5, 2026
- Individual clients · 75 to 66Dec 4, 2025 to Feb 5, 2026
- Employees · 6 to 5Dec 4, 2025 to Feb 5, 2026
- Financial planning clients · 0 to 1-10Dec 4, 2025 to Feb 5, 2026
- Discretionary RAUM · $225M to $219MDec 4, 2025 to Feb 5, 2026
- HNW RAUM · $148M to $162MDec 4, 2025 to Feb 5, 2026
- Individual RAUM · $32.5M to $18.9MDec 4, 2025 to Feb 5, 2026
- RAUM · $225M to $219MDec 4, 2025 to Feb 5, 2026
- Accounts · 138 to 267Apr 30, 2025 to Oct 6, 2025
- Advisory activities · 4 to 2Apr 30, 2025 to Oct 6, 2025
- Financial planning clients · 0 to 0Apr 30, 2025 to Oct 6, 2025
- Accounts · 282 to 138Mar 22, 2024 to Apr 30, 2025
- HNW clients · 53 to 48Mar 22, 2024 to Apr 30, 2025
- Individual clients · 76 to 75Mar 22, 2024 to Apr 30, 2025
- Discretionary RAUM · $216M to $225MMar 22, 2024 to Apr 30, 2025
- HNW RAUM · $143M to $148MMar 22, 2024 to Apr 30, 2025
- Individual RAUM · $30.6M to $32.5MMar 22, 2024 to Apr 30, 2025
- RAUM · $216M to $225MMar 22, 2024 to Apr 30, 2025
- Accounts · 264 to 282Mar 2, 2023 to Mar 22, 2024
- Charity clients · 8 to 7Mar 2, 2023 to Mar 22, 2024
- Corporate clients · 6 to 7Mar 2, 2023 to Mar 22, 2024
- HNW clients · 50 to 53Mar 2, 2023 to Mar 22, 2024
- Individual clients · 73 to 76Mar 2, 2023 to Mar 22, 2024
- Employees · 5 to 6Mar 2, 2023 to Mar 22, 2024
- Discretionary RAUM · $241M to $216MMar 2, 2023 to Mar 22, 2024
- HNW RAUM · $135M to $143MMar 2, 2023 to Mar 22, 2024
- Individual RAUM · $27.4M to $30.6MMar 2, 2023 to Mar 22, 2024
- RAUM · $241M to $216MMar 2, 2023 to Mar 22, 2024
- Accounts · 270 to 264Mar 25, 2022 to Mar 2, 2023
- Advisory activities · 5 to 4Mar 25, 2022 to Mar 2, 2023
- Charity clients · 7 to 8Mar 25, 2022 to Mar 2, 2023
- HNW clients · 61 to 50Mar 25, 2022 to Mar 2, 2023
- Individual clients · 94 to 73Mar 25, 2022 to Mar 2, 2023
- Employees · 6 to 5Mar 25, 2022 to Mar 2, 2023
- Financial planning clients · 1-10 to 0Mar 25, 2022 to Mar 2, 2023
- Discretionary RAUM · $263M to $241MMar 25, 2022 to Mar 2, 2023
- HNW RAUM · $147M to $135MMar 25, 2022 to Mar 2, 2023
- Individual RAUM · $35.7M to $27.4MMar 25, 2022 to Mar 2, 2023
Signals
2 dated events
- C Peter Hatfield (Partner) no longer on Schedule A of Slocum, Gordon & Co. Llp (listed 2022-03-25, absent 2023-03-02)Mar 2, 2023 · Control person left · inference
- C Peter Hatfield (Partner) appeared on Schedule A of Slocum, Gordon & Co. LlpMar 26, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- contact@slocumgordon.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-849-4949reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 401-849-4900reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- SLOCUMGORDON.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 401-849-4900reportedpublic record, Form ADV, Feb 5, 2026
- Team page
- slocumgordon.com/partnersreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026