What Slocum, Gordon & Co. does

Slocum, Gordon & Co. LLP is a privately held, SEC-registered investment advisory firm founded in 1978 and headquartered at 39 Mill Street in Newport, Rhode Island. The firm provides discretionary portfolio management to high-net-worth individuals and families, trusts and estates, charitable endowments, individual retirement accounts, and corporate pension funds, with a stated emphasis on capital preservation during market declines and disciplined asset allocation across stocks, bonds, and money market instruments.

The firm's investment process relies on fundamental analysis of macroeconomic and company-specific data, computer-based security screening, industry and company analyst teleconferences, and published research, supplemented by quarterly economic commentary publications (Viewpoints) and a video series ("Our View from Mill Street"). Fidelity Investments serves as the independent custodian for client assets, with clients accessing accounts through Fidelity's platform via the firm's website. There is no proprietary technology platform, no app, no disclosed API, and no AI/ML capabilities in the operating stack.

The firm operates on a fee-based, recurring advisory revenue model, charging investment advisory fees for discretionary management services under the Investment Advisers Act of 1940. It reaches clients through direct, high-touch relationship management rather than enterprise sales or paid distribution. The firm has roughly 5-10 personnel including Managing Partner Jeffrey L. Gordon (co-founder, 50 years of investment experience), Partner Barclay Douglas Jr., Portfolio Manager and Director of Research Michael P. Moeller (CIMA), Operations Manager Kristin M. Wood, and Office Manager Kira Zannetti. Geographic focus is regional, anchored in the U.S. Northeast, with no disclosed parent company, external investors, funding rounds, subsidiaries, or M&A activity.

Name

Slocum, Gordon & Co.

Legal name

Slocum, Gordon & Co. LLP

Website

https://slocumgordon.com

Company type

Private

Founded year

1978

Operating status

Operating

Headcount range

1–10 employees

Short description

Slocum, Gordon & Co. LLP is a boutique, SEC-registered investment advisory firm founded in 1978 in Newport, Rhode Island, providing discretionary portfolio management to high-net-worth individuals, families, trusts and estates, endowments, and corporate pension funds on a fee-based recurring model.

Ownership category

akta.pro rank

Product category

Investment Advisory Services

NAICS

Portfolio Management and Investment Advice (523940), Portfolio Management and Investment Advice (52394)

SIC

Investment Advice (6282)

akta.pro primary industry

Pension Master Trusts, Superannuation & Provident Funds (FSAAAGAB)

Keywords

• Investment advisory services
• Discretionary portfolio management
• Wealth management
• Asset allocation management
• Registered investment advisor

Headquarters

HQ city

Newport

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B and B2C

Offering type

Services

Cost components

Personnel, Operations, Technology or R&D, Others, Marketing or Sales

Revenue model

1. Investment Advisory Fees: The firm generates revenue through investment advisory fees charged for discretionary investment management services. As a registered investment advisor under the Investment Advisers Act of 1940, the firm charges fees for managing individual portfolios, trusts and estates, charitable endowment funds, individual retirement accounts, and corporate pension funds. The firm provides complete portfolio management including initiation and completion of securities transactions with brokers.

Pricing tiers

Go-to-market motion1 record

Distribution channels2 records

Marketing channels4 records

Core offering

Slocum, Gordon & Co. LLP provides discretionary investment management for individual portfolios, trusts, estates, charitable endowment funds, IRAs, and corporate pension funds. The firm initiates and completes securities transactions with brokers, tracks corporate reorganizations, and delivers comprehensive account statements. Active management of asset allocation across stocks, bonds, and money market instruments is supported by fundamental analysis of macro-economic and company-specific data and computer-based security screening.

Product overview

Slocum, Gordon & Co. LLP offers a unified investment management advisory service centered on discretionary portfolio management. The core offering encompasses security selection and asset allocation across stocks, bonds, and money market instruments, supported by computer-based security screening and fundamental analysis. The firm supplements its primary service with quarterly economic commentary publications and periodic market commentary videos, providing clients with research-driven insights and regular communication on market conditions and portfolio performance.

Differentiator

Problem solved

Functional benefit

Products and services

• Discretionary Portfolio Management Discretionary investment management service for individual portfolios, trusts and estates, charitable endowment funds, IRAs, and corporate pension funds. Includes initiation and completion of securities transactions with brokers, tracking of corporate reorganizations, and provision of regular comprehensive account statements.

Segments3 records

Ideal customer profiles1 record

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration1 record

Partnerships

One partnership is on record.

• Fidelity Investments (Fidelity Institutional Brokerage Group)coreTechnology or IntegrationFidelity Investments serves as the independent custodial services provider for Slocum, Gordon & Co. LLP's client accounts. All client funds and securities are held in segregated accounts at Fidelity. The firm utilizes Fidelity's online platform for client account access, with the firm providing the investment management while Fidelity handles custody and execution. This is a foundational operational partnership essential to the firm's service delivery.

Scale indicators2 records

Recent moves6 records

Expansion highlights4 records

Direct peers

• Laird Norton: Private, multi-family office and wealth manager for HNW families and select institutions. Comparable boutique scale and structure, with discretionary portfolio management and trust/estate services overlapping Slocum Gordon's offerings.
• Pitcairn: Multi-family office and RIA serving HNW families with discretionary investment management, trust services, and estate planning. Closely matches Slocum Gordon's HNW/family focus, discretionary mandate, and emphasis on multi-generational wealth preservation.
• Cambridge Associates: Investment advisor and OCIO provider for endowments, foundations, and pension plans. Direct peer for Slocum Gordon's institutional discretionary portfolio management and asset allocation work, particularly with endowments and pension committees.
• Bessemer Trust: Private, independent wealth and investment management firm serving HNW individuals, families, foundations, and endowments. Closely matches Slocum Gordon's boutique structure, SEC-registered RIA model, and discretionary multi-asset portfolio management for institutional and private wealth clients.
• Glenmede: Independent, privately-held investment and wealth management firm serving HNW families, foundations, and endowments. Direct peer to Slocum Gordon on independence/structure, institutional asset management, and relationship-driven discretionary portfolio management.

Broad incumbents

• Brown Brothers Harriman (Wealth Management): Long-standing private partnership offering investment management, private banking, and custody to HNW families and institutions. Comparable to Slocum Gordon on partnership structure and fiduciary/independence positioning, but operates at much larger scale with a wider service menu.
• Mariner Wealth Advisors: Independent RIA platform serving HNW clients with comprehensive wealth management. Comparable business model (independent RIA, fee-based discretionary management), though broader in scale, geography, and service breadth than Slocum Gordon.
• Edelman Financial Engines: Large independent RIA providing investment advisory, financial planning, and asset management to individuals and institutional clients. Overlaps with Slocum Gordon on discretionary portfolio management but operates at national scale with technology-enabled delivery.
• Wilmington Trust (Wealth Management): Established wealth management and trust services provider serving HNW individuals, families, and institutions. Comparable on investment management for pensions, endowments, and personal trusts, though larger and part of a broader banking/trust platform.
• CIBC Private Wealth (formerly Geneva Advisors / Atlantic Trust): Private wealth manager serving HNW families and institutions with discretionary investment management, trust, and estate services. Provides a comparable service set to Slocum Gordon at a larger institutional scale.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks5 records

Key highlights6 records

Customer concentration

• YouTubevimeo.com/user83857183
• LinkedInlinkedin.com/company/slocum-and-gordon-and-co-llp

Compliance2 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles5 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Slocum, Gordon & Co.