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
Canton Hathaway LLC
Latest filing Mar 30, 2026
First filing on the tape Jun 5, 2018 · 21 filings
SEC status approved since Jul 6, 2018
RAUM
$866M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
71%
$612M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$173M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$866M as of Mar 30, 2026
Mar 19, 2019$241M then
HNW client RAUM$602M as of Mar 30, 2026
Mar 19, 2019$21.4M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
Mar 19, 20194 then
Employees (5.A)5 as of Mar 30, 2026
Mar 19, 20194 then
Private funds4 as of Mar 30, 2026
Mar 31, 20202 then
RAUM +29% over the last fiscal year+16% a year over threeIARs 5 to 5offices 0 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $173MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.0MderivedHNW RAUM over HNW clients
- Average account
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $138M, 7 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)
- 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$602M70%
- Pension and profit-sharing plans$155M18%
- Corporations and businesses$64.6M7.5%
- Pooled investment vehicles$26.6M3.1%
- Individuals$10.4M1.2%
- State and municipal entities$7.1M0.8%
- Individual clients
- 17reported
- HNW clients
- 67reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 281reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $138M for 7 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.71 fund_share=0.03 institutional_share=0.19 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Nicholas Grave Trotman | Providence, Ri | Jul 18, 2018 | 25 y | 2 |
| Kenneth Edward Goodreau | Providence, Ri | Jul 18, 2018 | 31 y | 3 |
| Malcolm Greene Chace | Providence, Ri | Aug 16, 2018 | 30 y | 3 |
| Anthony Claude Marcello | Palm Beach, Fl | Nov 30, 2020 | 29 y | 3 |
| Robert Emmet Cusack | Providence, Ri | Dec 11, 2025 | 45 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Robert Emmet Cusack from Whalerock Point Partners, LLCDec 11, 2025 · Other
- Anthony Claude Marcello from Summit Financial Group IncNov 30, 2020 · Affiliated broker-dealer or bank to independent RIA
- Malcolm Greene Chace from Whalerock Point Partners, LLCAug 16, 2018 · RIA to a newly registered adviser
- Nicholas Grave Trotman from Whalerock Point Partners, LLCJul 18, 2018 · RIA to a newly registered adviser
- Kenneth Edward Goodreau from Whalerock Point Partners, LLCJul 18, 2018 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Whalerock Point Partners, LLCJul 24, 2018 · West Palm Beach, Fl · Firm absorbed
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Ch Neon Inv., LLC | Real Estate Fund | $21.4M | 24 | Sep 27, 2024 |
| Ch Pe Investment 1, LLC | Private Equity Fund | $5.6M | 15 | Mar 9, 2021 |
| C-H Hotel Investment 2, LLC | Real Estate Fund | $4.7M | 15 | Sep 9, 2019 |
| C-H Hotel Investment I, LLC | Real Estate Fund | $3.5M | 16 | Sep 9, 2019 |
Owners and control persons
Schedule A and B, latest filing
- Greene Malcolm Chace · Managing Partnercontrolsince 06/2018 · owns 10% to 25%
- Edward Kenneth Goodreau · Managing Directorcontrolsince 06/2018 · owns 10% to 25%
- Claude Anthony Marcello · Director Of Business Developmentcontrolsince 11/2020 · owns 10% to 25%
- James Procaccianti · Directorcontrolsince 06/2018 · owns 10% to 25%
- Grave Nicholas Trotman · Managing Directorcontrolsince 06/2018 · owns 10% to 25%
- K Meghan Crudele · Chief Compliance Officersince 02/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Providence, Ri · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 109 to 281Oct 31, 2025 to Mar 30, 2026
- Corporate clients · 4 to 5Oct 31, 2025 to Mar 30, 2026
- HNW clients · 56 to 67Oct 31, 2025 to Mar 30, 2026
- Individual clients · 39 to 17Oct 31, 2025 to Mar 30, 2026
- Pension plan clients · unset to 2.0Oct 31, 2025 to Mar 30, 2026
- Assets in custody · $56.6M to $138MOct 31, 2025 to Mar 30, 2026
- Employees · 6 to 5Oct 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $628M to $844MOct 31, 2025 to Mar 30, 2026
- HNW RAUM · $424M to $602MOct 31, 2025 to Mar 30, 2026
- Individual RAUM · $22.8M to $10.4MOct 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $45.0M to $21.8MOct 31, 2025 to Mar 30, 2026
- Pension RAUM · unset to 155328390.0Oct 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $28.9M to $26.6MOct 31, 2025 to Mar 30, 2026
- RAUM · $673M to $866MOct 31, 2025 to Mar 30, 2026
- Related adviser · false to trueOct 31, 2025 to Mar 30, 2026
- BD registered reps · 0 to 1Jun 16, 2025 to Oct 31, 2025
- Other offices · 0 to 1Jun 16, 2025 to Oct 31, 2025
- Financial planning clients · unset to Mar 31, 2025 to Jun 16, 2025
- Accounts · 88 to 109Oct 30, 2024 to Mar 31, 2025
- HNW clients · 49 to 56Oct 30, 2024 to Mar 31, 2025
- Individual clients · 9 to 39Oct 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $619M to $628MOct 30, 2024 to Mar 31, 2025
- HNW RAUM · $419M to $424MOct 30, 2024 to Mar 31, 2025
- Individual RAUM · $2.9M to $22.8MOct 30, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $33.2M to $45.0MOct 30, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $33.2M to $28.9MOct 30, 2024 to Mar 31, 2025
- RAUM · $652M to $673MOct 30, 2024 to Mar 31, 2025
- Pooled vehicle clients · 24 to 4Sep 27, 2024 to Sep 30, 2024
- Accounts · 217 to 88Feb 6, 2024 to Sep 27, 2024
- HNW clients · 68 to 49Feb 6, 2024 to Sep 27, 2024
- Individual clients · 13 to 9Feb 6, 2024 to Sep 27, 2024
- Pooled vehicle clients · unset to 24.0Feb 6, 2024 to Sep 27, 2024
- Private funds · 3 to 4Feb 6, 2024 to Sep 27, 2024
- Discretionary RAUM · $560M to $619MFeb 6, 2024 to Sep 27, 2024
- HNW RAUM · $417M to $419MFeb 6, 2024 to Sep 27, 2024
- Individual RAUM · $6.1M to $2.9MFeb 6, 2024 to Sep 27, 2024
- Non-discretionary RAUM · $56.6M to $33.2MFeb 6, 2024 to Sep 27, 2024
- Pooled vehicle RAUM · unset to 33178959.0Feb 6, 2024 to Sep 27, 2024
- RAUM · $616M to $652MFeb 6, 2024 to Sep 27, 2024
- Accounts · 211 to 217Sep 28, 2023 to Feb 6, 2024
Signals
6 dated events
- Canton Hathaway Llc reported RAUM $866.1M, up 29% from $672.7M (2025-10-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Canton Hathaway Llc reported RAUM $599.1M, up 26% from $474.3M (2021-09-28 to 2022-02-17)Feb 17, 2022 · RAUM change · derived
- Claude Anthony Marcello (Director Of Business Development) appeared on Schedule A of Canton Hathaway LlcSep 28, 2021 · Control person joined · fact
- Canton Hathaway Llc reported RAUM $474.3M, up 36% from $349.2M (2020-03-31 to 2021-03-09)Mar 9, 2021 · RAUM change · derived
- James Procaccianti (Director) appeared on Schedule A of Canton Hathaway LlcMar 31, 2020 · Control person joined · fact
- Canton Hathaway Llc filed its initial SEC registration (Form ADV)Jun 5, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Canton Hathaway LLC · Independent Sponsorsshared crd · capital_provider
- Canton Hathaway LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- cantonhathaway.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 401-433-7800reportedpublic record, Form ADV, Mar 30, 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
- $173Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Canton Hathaway LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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