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PLUM POINTE WEALTH MANAGEMENT

PROVIDENCE, RI · CRD 332618 · IAPD ↗ · 401-228-8258

$104.7MRegulatory AUM
1Advisory reps
3Employees
0Clients
26-50Planning clients
0Private funds
6States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
October 2026 — PLUM POINTE WEALTH MANAGEMENT (PROVIDENCE, RI) left the SEC roster (was $104.7M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
45
April 2026 — PLUM POINTE WEALTH MANAGEMENT reported RAUM down 49% ($206.7M -> $104.7M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
64
April 2026 — PLUM POINTE WEALTH MANAGEMENT reports 26-50 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
48
December 2025 — PLUM POINTE WEALTH MANAGEMENT notice-filed in CT, FL, NH, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
December 2025 — PLUM POINTE WEALTH MANAGEMENT's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
50
December 2025 — PLUM POINTE WEALTH MANAGEMENT added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
50
March 2025 — PLUM POINTE WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
March 2025 — PLUM POINTE WEALTH MANAGEMENT's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
November 2024 — PLUM POINTE WEALTH MANAGEMENT (PROVIDENCE, RI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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