Hedge Fund Database

PROFESSIONAL PLANNING GROUP

NEW ENGLAND PROFESSIONAL PLANNING GROUP INC. Legal Name

Adviser information for PROFESSIONAL PLANNING GROUP last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location Rhode Island, United States

Employees

Total Number of Employees 17
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 11
Registered State Investment Advisers 8
Licensed Agents of an Insurance Company 6
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,071 $983.2M
Non-Discretionary 279 $72.1M
Total 2,350 $1.1B

Clients

Type Number RAUM
Individuals 975 $355.5M
HNW Individuals 305 $686.7M
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 10 $13.0M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1300

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Registered representative of a broker-dealerInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 991.7M
Both for Same 0
Portfolio Manager to Program Sponsor
AMBASSADOR RAYMOND JAMES & ASSOCIATES, INC.

Identifiers

SEC RIA File Number 801-15330
SEC ERA File Number 801-15330
SEC CIK Numbers 1540867
SEC CRD Numbers 108868
Legal Entity Identifier None

Principal Office

9 GRANITE STREET
WESTERLY
RI
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: (401) 596-2800, Fax: (401) 596-5980

Websites

www.ppgadvisors.com

Chief Compliance Officer

MALCOLM A. MAKIN
PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER
9 GRANITE STREET
WESTERLY
RI
United States
Tel: (401) 596-2800
Fax: (401) 596-5980
(Full email address available in API data)

Regulatory Contact

DANIEL M. MAKIN
ASSOCIATE COMPLIANCE OFFICER
9 GRANITE STREET
WESTERLY
RI
United States
Tel: (401) 596-2800
Fax: (401) 596-5980
(Full email address available in API data)

Industry Affiliates

JOANNA E. VALENTINI Accountant or accounting firm

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
MAKIN, MALCOLM, ALFRED Individual – PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER 07/1980 > 75%
VALENTINI, JOANNA, ELISE Individual – CHIEF OPERATING OFFICER 12/2017 < 5%

No. Employees, Historic

20100201920202021202220232024202515 on 4/25/201915 on 5/7/201915 on 7/8/201915 on 8/19/201915 on 10/1/201915 on 12/3/201915 on 12/12/201918 on 3/27/202018 on 5/22/202018 on 6/29/202018 on 8/17/202018 on 11/13/202018 on 3/30/202118 on 4/28/202118 on 9/10/202118 on 3/29/202218 on 4/20/202218 on 5/10/202218 on 7/18/202218 on 10/3/202218 on 10/18/202218 on 11/10/202218 on 12/16/202218 on 3/23/202318 on 8/28/202318 on 8/28/202318 on 10/17/202318 on 11/16/202317 on 3/27/2024

RAUM, Historic

2B1B02019202020212022202320242025755900945 on 4/25/2019755900945 on 5/7/2019755900945 on 7/8/2019755900945 on 8/19/2019755900945 on 10/1/2019755900945 on 12/3/2019755900945 on 12/12/2019895404224 on 3/27/2020895404224 on 5/22/2020895404224 on 6/29/2020895404224 on 8/17/2020895404224 on 11/13/2020971752262 on 3/30/2021971752262 on 4/28/2021971752262 on 9/10/20211152732109 on 3/29/20221152732109 on 4/20/20221152732109 on 5/10/20221152732109 on 7/18/20221152732109 on 10/3/20221152732109 on 10/18/20221152732109 on 11/10/20221152732109 on 12/16/2022937180405 on 3/23/2023937180405 on 8/28/2023937180405 on 8/28/2023937180405 on 10/17/2023937180405 on 11/16/20231055252906 on 3/27/2024

No. Clients, Historic

3,0001,500020192020202120222023202420252146 on 4/25/20192146 on 5/7/20192146 on 7/8/20192146 on 8/19/20192146 on 10/1/20192146 on 12/3/20192146 on 12/12/20192234 on 3/27/20202234 on 5/22/20202234 on 6/29/20202234 on 8/17/20202234 on 11/13/20201262 on 3/30/20211262 on 4/28/20211262 on 9/10/20211314 on 3/29/20221314 on 4/20/20221314 on 5/10/20221314 on 7/18/20221314 on 10/3/20221314 on 10/18/20221314 on 11/10/20221314 on 12/16/20221306 on 3/23/20231306 on 8/28/20231306 on 8/28/20231306 on 10/17/20231306 on 11/16/20231290 on 3/27/2024

Holdings

From latest 13F, filed July 31st, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 214K 1K –
ANALOG DEVICES INC COM 327K 1K –
APPLE INC COM 1M 5K –
BANK AMERICA CORP COM 381K 10K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 507K 1K –
BROADCOM INC COM 321K 200 –
CHUBB LIMITED COM 260K 1K –
CISCO SYS INC COM 348K 7K –
DEERE & CO COM 222K 593 –
EXXON MOBIL CORP COM 1M 10K –
GENERAL DYNAMICS CORP COM 446K 2K –
INVESCO EXCH TRADED FD TR II S&P 500 HB ETF 492K 6K –
INVESCO QQQ TR UNIT SER 1 425K 888 –
INVESCO SR INCOME TR COM 45K 11K –
ISHARES SILVER TR ISHARES 266K 10K –
ISHARES TR CORE MSCI TOTAL 48M 708K –
ISHARES TR CORE S&P MCP ETF 35M 598K –
ISHARES TR CORE S&P SCP ETF 16M 155K –
ISHARES TR CORE S&P500 ETF 67M 122K –
ISHARES TR CORE US AGGBD ET 305K 3K –
ISHARES TR IBOXX HI YD ETF 234K 3K –
ISHARES TR IBOXX INV CP ETF 613K 6K –
ISHARES TR MSCI ACWI EX US 456K 9K –
ISHARES TR MSCI USA QLT FCT 595K 3K –
ISHARES TR RUS 1000 ETF 202K 678 –
ISHARES TR RUS 1000 GRW ETF 213K 584 –
ISHARES TR RUS MID CAP ETF 591K 7K –
ISHARES TR RUSSELL 2000 ETF 286K 1K –
JPMORGAN CHASE & CO. COM 291K 1K –
LIFEVANTAGE CORP COM NEW 72K 11K –
MARSH & MCLENNAN COS INC COM 255K 1K –
MCDONALDS CORP COM 202K 794 –
MERCK & CO INC COM 221K 2K –
MICROSOFT CORP COM 330K 738 –
NVIDIA CORPORATION COM 439K 4K –
PFIZER INC COM 1M 41K –
QUALCOMM INC COM 259K 1K –
RAYMOND JAMES FINL INC COM 5M 43K –
RTX CORPORATION COM 211K 2K –
SPDR S&P 500 ETF TR TR UNIT 398K 731 –
SSGA ACTIVE ETF TR SPDR TR TACTIC 344K 9K –
TETRA TECH INC NEW COM 303K 1K –
TEXAS INSTRS INC COM 375K 2K –
UNION PAC CORP COM 988K 4K –
VANECK ETF TRUST SEMICONDUCTR ETF 575K 2K –
VANGUARD INDEX FDS TOTAL STK MKT 750K 3K –
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 930K 8K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 394K 3K –
VANGUARD WORLD FD INF TECH ETF 442K 766 –
WALMART INC COM 260K 4K –