Slocum Gordon & Co provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 1–10 clients last fiscal year.
Slocum Gordon & Co reports 131 clients. They include 66 individual clients, 51 high-net-worth individuals and 7 charitable organizations. Of its assets, 100.0% ($219M across 253 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 50% | 9% |
| High-net-worth individuals | 39% | 74% |
| Charitable organizations | 5% | 14% |
| State or municipal government entities | Fewer than 5 | <1% |
| Corporations and other businesses | 5% | 3% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 66 | $18.9M | 8.6% | $286K |
| High-net-worth individuals | 51 | $162M | 74.1% | $3.18M |
| Charitable organizations | 7 | $31.3M | 14.3% | $4.47M |
| State or municipal government entities | Fewer than 5 | $136K | 0.1% | — |
| Corporations and other businesses | 7 | $6.49M | 3.0% | $927K |
| Total | 131 | $219M | 100% | — |
- Clients
- 66
- Regulatory AUM
- $18.9M
- AUM share
- 8.6%
- Avg. per client
- $286K
- Clients
- 51
- Regulatory AUM
- $162M
- AUM share
- 74.1%
- Avg. per client
- $3.18M
- Clients
- 7
- Regulatory AUM
- $31.3M
- AUM share
- 14.3%
- Avg. per client
- $4.47M
- Clients
- Fewer than 5
- Regulatory AUM
- $136K
- AUM share
- 0.1%
- Avg. per client
- —
- Clients
- 7
- Regulatory AUM
- $6.49M
- AUM share
- 3.0%
- Avg. per client
- $927K
Total
- Clients
- 131
- Regulatory AUM
- $219M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Slocum Gordon & Co charges 0.50%–1.00% a year for its Individual portfolio management fees. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.
| Asset band | Annual rate |
|---|---|
| $0–$5M | 1.00% |
| $5M and above | 0.50% |
Fee details and sources
Jeffrey Gordon owns 50% to 75% of Slocum Gordon & Co. The leadership team of Slocum Gordon & Co includes Chief Compliance Officer Michael Moeller. It has 5 employees, 2 of them in advisory roles.
Leadership
Michael MoellerChief Compliance Officer / Director of Research
Barclay DouglasPartner
Jeffrey GordonPartner
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
Staff
- 5 employees
- 2 in advisory functions
- 2 state-registered reps
- Owns 50% to 75% of Slocum Gordon & Co LLP
Jeffrey Gordon
Control person · since November 1978
- Owns 25% to 50% of Slocum Gordon & Co LLP
Barclay Douglas
Control person · since January 1981
Slocum Gordon & Co’s regulatory assets fell from $236M (March 2021) to $219M (February 2026); clients fell from 178 to 131 and employees from 6 to 5.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| February 2026 | $219M | 131 | 5 | 1 |
| April 2025 | $225M | 138 | 6 | 1 |
| March 2024 | $216M | 144 | 6 | 1 |
| March 2023 | $241M | 138 | 5 | 1 |
| March 2022 | $263M | 169 | 6 | 1 |
| March 2021 | $236M | 178 | 6 | 1 |
Besides its headquarters, Slocum Gordon & Co has 0 offices, with 1 listed address in Rhode Island.
Rhode Island · 1 listed address
- 39 Mill Street, NewportHQ
Contact and registration details
- Legal name
- Slocum Gordon & Co LLP
- Headquarters
- 39 Mill Street, Newport, RI 02840
- Website
- slocumgordon.com
- Phone
- 401-849-4900
- SEC file
- 801-14301
- Structure
- Rhode Island limited liability partnership
- Fiscal year end
- December
Slocum Gordon & Co uses Fidelity ($219M) as custodian for its separately managed accounts. Slocum Gordon & Co has custody of client assets.
- FidelityFidelity Brokerage Services LLC · Boston, MA · $219M100%
At year end, Slocum Gordon & Co’s separately managed accounts were mostly in stocks (59%) and bonds (26%). Its reported 13F holdings for the quarter ended 30 June 2026 total $151M across 70 positions; the largest are Merck & CO Inc. (8.0%), Johnson & Johnson (7.2%) and Exxon Mobil Corp. (6.0%).
What the accounts hold
- Stocks59%
- Bonds26%
- U.S. government and agency bonds24%
- Investment grade corporate bonds2%
- Cash9%
- Other6%
- Reits6%
Reported 13F holdings
- $151M
- Reported 13F value
- 70
- Positions
- 50.6%
- In the 10 largest
- +2.4%
- Value vs. prior quarter
- Merck & CO Inc.8.0%
- Johnson & Johnson7.2%
- Exxon Mobil Corp.6.0%
- Nextera Energy Inc.5.9%
- American Elec Pwr CO Inc.5.8%
- Procter & Gamble CO4.7%
- Firstenergy Corp.3.4%
- Abbvie Inc.3.4%
- Verizon Communications Inc.3.3%
- iShares TR · Tips BD ETF3.1%
Together, the ten largest are 50.6% of reported value.
How many clients does Slocum Gordon & Co have?
Slocum Gordon & Co has 131 clients and manages $219 million for them, as of February 2026. They include 66 individual clients, 51 high-net-worth individuals and 7 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 5 February 2026
What services does Slocum Gordon & Co offer?
Slocum Gordon & Co provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Slocum Gordon & Co charge?
Slocum Gordon & Co charges 0.50%–1.00% a year for its Individual portfolio management fees. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.
Which custodians does Slocum Gordon & Co use?
Slocum Gordon & Co’s separately managed account assets are held at Fidelity Brokerage Services LLC (Boston, MA), with $219M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 February 2026
How many financial advisors does Slocum Gordon & Co have?
Slocum Gordon & Co has 2 investment adviser representatives registered with state securities authorities, out of 5 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Slocum Gordon & Co invest in?
At the end of its last fiscal year, Slocum Gordon & Co’s separately managed accounts held 59% exchange-traded equities, 24% U.S. government and agency bonds, 9% cash and equivalents, 6% other and 2% investment grade corporate bonds. The 6% other category is described as: Reits.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Slocum Gordon & Co?
Slocum Gordon & Co’s direct owners are Jeffrey Gordon (50% to 75%) and Barclay Douglas (25% to 50%).
Source: Form ADV Part 1A, Schedules A and B, filed 5 February 2026
How does Slocum Gordon & Co get paid?
Slocum Gordon & Co is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Slocum Gordon & Co registered with the SEC?
Yes, Slocum Gordon & Co has been registered with the SEC as an investment adviser since 11 January 1979. Its CRD number is 104929 and its SEC file number is 801-14301.
Source: Form ADV Part 1A, Item 1, filed 5 February 2026; IAPD firm record
How do I contact Slocum Gordon & Co?
Slocum Gordon & Co’s main office is at 39 Mill Street, Newport, RI 02840. Its phone number is 401-849-4900. Its website is slocumgordon.com.