← Tributary

SLOCUM, GORDON & CO. LLP

NEWPORT, RI · CRD 104929 · IAPD ↗ · slocumgordon.com · 401-849-4900

$219.2MRegulatory AUM
2Advisory reps
5Employees
0Clients
1-10Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

58
March 2026 — SLOCUM, GORDON & CO. LLP reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
75
March 2026 — SLOCUM, GORDON & CO. LLP now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
46
December 2025 — SLOCUM, GORDON & CO. LLP notice-filed in FL, MA, NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
April 2025 — SLOCUM, GORDON & CO. LLP notice-filed in NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.