SLOCUM, GORDON & CO. LLP

Advisory Business

Type of Organization	Limited Liability Partnership
Fiscal Year End	DECEMBER
Legal Location	Rhode Island, United States

Employees

Total Number of Employees	6
Investment Advisory/Research	2
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	2
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	282	$215.8M
Non-Discretionary	0	$0
Total	282	$215.8M

Clients

Type	Number	RAUM
Individuals	76	$30.6M
HNW Individuals	53	$142.5M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	0	$0
Charitable organizations	7	$33.6M
State or municipal gov entities	<5	$213,421
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	7	$8.9M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	0

Services

Advisory Services	Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPublication of periodicals or newslettersVIDEO NEWSLETTERS
Compensation	% of AUMHourly charges
Other Business Activities	Lawyer or law firm

Identifiers

SEC RIA File Number	801-14301
SEC ERA File Number	801-14301
SEC CIK Numbers	1993325
SEC CRD Numbers	104929
Legal Entity Identifier	None

Principal Office

39 MILL STREET
NEWPORT
RI
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic