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
Arlen Capital, LLC
Latest filing Feb 26, 2026
First filing on the tape Mar 27, 2012 · 28 filings
SEC status approved since Apr 14, 2004
RAUM
$349M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$345M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$87.2M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$349M as of Feb 26, 2026
Mar 27, 2012$164M then
HNW client RAUM$287M as of Feb 26, 2026
Mar 8, 2018$150M then
State-registered IARs (5.B.3)4 as of Feb 26, 2026
Mar 27, 20120 then
Employees (5.A)6 as of Feb 26, 2026
Mar 21, 20136 then
Private funds: no history
RAUM +5.3% over the last fiscal year+7.0% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 26, 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
- RAUM per advisor
- $87.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $505,537derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $10.8M, 16 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$287M82%
- Individuals$57.1M16%
- Corporations and businesses$3.4M1.0%
- Charitable organizations$844,1960.2%
- Individual clients
- 139reported
- HNW clients
- 83reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 690reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.8M for 16 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Peter Anthony Sullivan | Warwick, Ri | Jun 1, 2001 | 42 y | 0 |
| Frank Peter Mcgoff | Warwick, Ri | Jun 1, 2001 | 27 y | 0 |
| Adam Mccrystal Sullivan | Warwick, Ri | Apr 11, 2006 | 22 y | 0 |
| David A Nabb | Warwick, Ri | Nov 11, 2008 | 23 y | 1 |
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
- George Alden Greer to Sheeley & Partners Wealth Management, LLCSep 21, 2009 · Other
- Donald Jerome Clarke to Endurance Wealth Management, Inc.Sep 21, 2009 · Other
Joined, latest
- David A Nabb from Tercet Capital, LLCNov 11, 2008 · Other
- George Alden Greer from Wells Fargo AdvisorsMar 20, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Peter Frank Mcgoff · Chief Compliance Officer/Executive Vice Presidentcontrolsince 03/2001 · owns less than 5%
- Mccrystal Adam Sullivan · Executive Vice Presidentcontrolsince 06/2004 · owns less than 5%
- Anthony Peter Sullivan · President And Managercontrolsince 04/2001 · owns less than 5%
- Anthony Peter Sullivan · Ownercontrolsince 03/2001 · owns 75% or more of Arlen Corporation
Entity owners
- Arlen Corporation · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Arlen Corporationreal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Warwick, Ri · principal | 4 | 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
- custody status changedChange between filings · filing Feb 26, 2026custody of client assets (Item 9.A): no on the filing of 2025-02-25, yes on the filing of 2026-02-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 691 to 690Feb 25, 2025 to Feb 26, 2026
- Advisory employees · 5 to 4Feb 25, 2025 to Feb 26, 2026
- BD registered reps · 5 to 4Feb 25, 2025 to Feb 26, 2026
- HNW clients · 78 to 83Feb 25, 2025 to Feb 26, 2026
- Custody of client assets · false to trueFeb 25, 2025 to Feb 26, 2026
- Employees · 5 to 6Feb 25, 2025 to Feb 26, 2026
- Discretionary RAUM · $329M to $346MFeb 25, 2025 to Feb 26, 2026
- HNW RAUM · $268M to $287MFeb 25, 2025 to Feb 26, 2026
- Individual RAUM · $59.0M to $57.1MFeb 25, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $2.1M to $2.4MFeb 25, 2025 to Feb 26, 2026
- RAUM · $331M to $349MFeb 25, 2025 to Feb 26, 2026
- Accounts · 687 to 691Feb 8, 2024 to Feb 25, 2025
- HNW clients · 74 to 78Feb 8, 2024 to Feb 25, 2025
- Individual clients · 142 to 139Feb 8, 2024 to Feb 25, 2025
- Assets in custody · $10.2M to $10.8MFeb 8, 2024 to Feb 25, 2025
- Financial planning clients · unset to Feb 8, 2024 to Feb 25, 2025
- Discretionary RAUM · $299M to $329MFeb 8, 2024 to Feb 25, 2025
- HNW RAUM · $238M to $268MFeb 8, 2024 to Feb 25, 2025
- Individual RAUM · $58.9M to $59.0MFeb 8, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $8.1M to $2.1MFeb 8, 2024 to Feb 25, 2025
- RAUM · $307M to $331MFeb 8, 2024 to Feb 25, 2025
- Accounts · 686 to 687Jul 28, 2023 to Feb 8, 2024
- HNW clients · 75 to 74Jul 28, 2023 to Feb 8, 2024
- Individual clients · 143 to 142Jul 28, 2023 to Feb 8, 2024
- Assets in custody · $219M to $10.2MJul 28, 2023 to Feb 8, 2024
- Custody of client assets · true to falseJul 28, 2023 to Feb 8, 2024
- Discretionary RAUM · $278M to $299MJul 28, 2023 to Feb 8, 2024
- HNW RAUM · $221M to $238MJul 28, 2023 to Feb 8, 2024
- Individual RAUM · $55.1M to $58.9MJul 28, 2023 to Feb 8, 2024
- Non-discretionary RAUM · $7.1M to $8.1MJul 28, 2023 to Feb 8, 2024
- RAUM · $285M to $307MJul 28, 2023 to Feb 8, 2024
- Accounts · 657 to 686Mar 1, 2022 to Feb 23, 2023
- HNW clients · 83 to 75Mar 1, 2022 to Feb 23, 2023
- Individual clients · 130 to 143Mar 1, 2022 to Feb 23, 2023
- Discretionary RAUM · $318M to $278MMar 1, 2022 to Feb 23, 2023
- HNW RAUM · $263M to $221MMar 1, 2022 to Feb 23, 2023
- Individual RAUM · $52.9M to $55.1MMar 1, 2022 to Feb 23, 2023
- Non-discretionary RAUM · $5.6M to $7.1MMar 1, 2022 to Feb 23, 2023
- RAUM · $324M to $285MMar 1, 2022 to Feb 23, 2023
- Accounts · 625 to 657Mar 5, 2021 to Mar 1, 2022
Signals
1 dated events
- Mccrystal Adam Sullivan (Executive Vice President) appeared on Schedule A of Arlen Capital, LlcMar 1, 2022 · 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
- info@arlencorp.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 401-854-3500reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 401-854-3509reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ARLENCORP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 401-854-3500reportedpublic record, Form ADV, Feb 26, 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
- $87.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026