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BROWN, LISLE/CUMMINGS, INC

PROVIDENCE, RI · CRD 1331 · IAPD ↗ · 401-421-8900

$487.3MRegulatory AUM
8Advisory reps
13Employees
0Clients
0Planning clients
0Private funds
13States
4Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
March 2024 — BROWN, LISLE/CUMMINGS, INC notice-filed in GA, VT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
66
March 2024 — BROWN, LISLE/CUMMINGS, INC reported RAUM up 44% ($238.8M -> $342.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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