THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.
Adviser information for THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC. last updated from Form ADV on March 26th, 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 | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,209 | $259.6M |
| Non-Discretionary | 39 | $19.2M |
| Total | 1,248 | $278.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 370 | $90.5M |
| HNW Individuals | 109 | $188.1M |
| 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 | <5 | $267,307 |
| 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 | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
Principal Office
1287 POST ROADWARWICK
RI
United States
Monday - Friday, 9:30-4:00
Tel: 401-453-5558, Fax: 401-421-1451
Websites
Chief Compliance Officer
SAM PAPPAS
PORTFOLIO MANAGER
1287 POST ROAD
WARWICK
RI
United States
Tel:
401-453-5558
Fax:
401-421-1451
S**@************M
(Full email address available in API data)
Regulatory Contact
DAVID ALLAIRE
CEO & PRESIDENT
1287 POST ROAD
WARWICK
RI
United States
Tel:
401-453-5558
Fax:
401-421-1451
D***@***********************M
(Full email address available in API data)
Industry Affiliates
| MYSTIC ASSET MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ALLAIRE, DAVID, WILLIAM | Individual | – | PRESIDENT | 04/1996 | > 75% |
| PAPPAS, SOTIRIOS, MIKE | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2001 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 8th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 3M CO | COM | 591K | 6K | – |
| ABBOTT LABS | COM | 1M | 12K | – |
| ABBVIE INC | COM | 3M | 19K | – |
| AFLAC INC | COM | 686K | 8K | – |
| ALBEMARLE CORP | COM | 418K | 4K | – |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 610K | 8K | – |
| ALLY FINL INC | COM | 889K | 22K | – |
| ALPHABET INC | CAP STK CL A | 3M | 18K | – |
| ALPHABET INC | CAP STK CL C | 3M | 16K | – |
| ALPS ETF TR | MED BREAKTHGH | 247K | 7K | – |
| AMAZON COM INC | COM | 4M | 21K | – |
| AMERICAN TOWER CORP NEW | COM | 636K | 3K | – |
| AMERICAN WTR WKS CO INC NEW | COM | 427K | 3K | – |
| AMGEN INC | COM | 324K | 1K | – |
| APPLE INC | COM | 7M | 35K | – |
| ASANA INC | CL A | 175K | 12K | – |
| AT&T INC | COM | 230K | 12K | – |
| BANK AMERICA CORP | COM | 2M | 53K | – |
| BECTON DICKINSON & CO | COM | 229K | 979 | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 444K | 1K | – |
| BJS WHSL CLUB HLDGS INC | COM | 291K | 3K | – |
| BLACKSTONE INC | COM | 3M | 27K | – |
| BOEING CO | COM | 2M | 11K | – |
| BOOZ ALLEN HAMILTON HLDG COR | CL A | 204K | 1K | – |
| BP PLC | SPONSORED ADR | 221K | 6K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 442K | 11K | – |
| BROADCOM INC | COM | 3M | 2K | – |
| CARLYLE GROUP INC | COM | 407K | 10K | – |
| CATERPILLAR INC | COM | 740K | 2K | – |
| CENTRAIS ELETRICAS BRASILEIR | SPON ADR PFD B | 76K | 12K | – |
| CHEVRON CORP NEW | COM | 1M | 8K | – |
| CISCO SYS INC | COM | 358K | 8K | – |
| CITIGROUP INC | COM NEW | 611K | 10K | – |
| CLOROX CO DEL | COM | 622K | 5K | – |
| COCA COLA CO | COM | 391K | 6K | – |
| COLGATE PALMOLIVE CO | COM | 447K | 5K | – |
| CONOCOPHILLIPS | COM | 217K | 2K | – |
| CONSOLIDATED EDISON INC | COM | 224K | 3K | – |
| CONSTELLATION BRANDS INC | CL A | 484K | 2K | – |
| CONSTELLATION ENERGY CORP | COM | 298K | 1K | – |
| CROWN CASTLE INC | COM | 429K | 4K | – |
| CVS HEALTH CORP | COM | 2M | 28K | – |
| DEERE & CO | COM | 283K | 757 | – |
| DIAGEO PLC | SPON ADR NEW | 692K | 5K | – |
| DIGITAL RLTY TR INC | COM | 1M | 8K | – |
| DIREXION SHS ETF TR | DLY TECH BULL 3X | 467K | 5K | – |
| DIREXION SHS ETF TR | DLY FIN BULL NEW | 249K | 2K | – |
| DIREXION SHS ETF TR | DLY SMCAP BULL3X | 453K | 12K | – |
| DIREXION SHS ETF TR | DLY SCOND 3XBU | 385K | 7K | – |
| DIREXION SHS ETF TR | NAS100 EQL WGT | 586K | 7K | – |
| DISNEY WALT CO | COM | 357K | 4K | – |
| DOLLAR GEN CORP NEW | COM | 206K | 2K | – |
| DOW INC | COM | 639K | 12K | – |
| DUKE ENERGY CORP NEW | COM NEW | 535K | 5K | – |
| DUPONT DE NEMOURS INC | COM | 601K | 7K | – |
| E L F BEAUTY INC | COM | 485K | 2K | – |
| EATON CORP PLC | SHS | 3M | 10K | – |
| ELI LILLY & CO | COM | 2M | 2K | – |
| ELME COMMUNITIES | SH BEN INT | 200K | 13K | – |
| EXXON MOBIL CORP | COM | 3M | 30K | – |
| FEDEX CORP | COM | 242K | 808 | – |
| FIRST TR EXCHANGE TRADED FD | CLOUD COMPUTING | 434K | 5K | – |
| FIRST TR EXCHANGE-TRADED FD | NASD TECH DIV | 1M | 15K | – |
| FIRST TR EXCHNG TRADED FD VI | FT ENERGY INCOME | 2M | 133K | – |
| FISERV INC | COM | 510K | 3K | – |
| FREEPORT-MCMORAN INC | CL B | 1M | 28K | – |
| GE AEROSPACE | COM NEW | 504K | 3K | – |
| GE HEALTHCARE TECHNOLOGIES I | COMMON STOCK | 250K | 3K | – |
| GENERAC HLDGS INC | COM | 228K | 2K | – |
| GENERAL DYNAMICS CORP | COM | 430K | 1K | – |
| GENERAL MLS INC | COM | 312K | 5K | – |
| GILEAD SCIENCES INC | COM | 847K | 12K | – |
| GLOBAL X FDS | RUSSELL 2000 | 223K | 14K | – |
| GOLDMAN SACHS ETF TR | FUTURE TECH LEAD | 229K | 8K | – |
| GOLDMAN SACHS GROUP INC | COM | 1M | 3K | – |
| GRAYSCALE BITCOIN TR BTC | SHS REP COM UT | 249K | 5K | – |
| GXO LOGISTICS INCORPORATED | COMMON STOCK | 593K | 12K | – |
| HIMAX TECHNOLOGIES INC | SPONSORED ADR | 93K | 12K | – |
| HOME DEPOT INC | COM | 1M | 4K | – |
| HONEYWELL INTL INC | COM | 739K | 3K | – |
| HUMANA INC | COM | 294K | 786 | – |
| INNOVATIVE INDL PPTYS INC | COM | 325K | 3K | – |
| INSULET CORP | COM | 579K | 3K | – |
| INTEL CORP | COM | 909K | 29K | – |
| INTERCONTINENTAL EXCHANGE IN | COM | 351K | 3K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 647K | 4K | – |
| INVESCO EXCH TRADED FD TR II | NASDAQ 100 ETF | 459K | 2K | – |
| INVESCO EXCH TRADED FD TR II | NASDAQNXTGEN100 | 292K | 10K | – |
| INVESCO EXCHANGE TRADED FD T | WATER RES ETF | 650K | 10K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 406K | 2K | – |
| INVESCO LTD | SHS | 452K | 30K | – |
| INVESCO QQQ TR | UNIT SER 1 | 6M | 12K | – |
| IRON MTN INC DEL | COM | 1M | 11K | – |
| ISHARES INC | MSCI BRAZIL ETF | 201K | 7K | – |
| ISHARES TR | US TRSPRTION | 839K | 13K | – |
| ISHARES TR | GL CLEAN ENE ETF | 246K | 18K | – |
| ISHARES TR | U.S. INSRNCE ETF | 494K | 4K | – |
| ISHARES TR | US HOME CONS ETF | 920K | 9K | – |
| ISHARES TR | SELECT DIVID ETF | 1M | 10K | – |
| ISHARES TR | ISHARES BIOTECH | 261K | 2K | – |
| ISHARES TR | U.S. MED DVC ETF | 1M | 18K | – |
| ISHARES TR | MSCI EMG MKT ETF | 281K | 7K | – |
| ISHARES TR | RUSSELL 2000 ETF | 307K | 2K | – |
| ISHARES TR | S&P MC 400VL ETF | 297K | 3K | – |
| ISHARES TR | EXPND TEC SC ETF | 645K | 7K | – |
| ISHARES TR | SP SMCP600VL ETF | 482K | 5K | – |
| JOHNSON & JOHNSON | COM | 727K | 5K | – |
| JPMORGAN CHASE & CO. | COM | 862K | 4K | – |
| KB HOME | COM | 453K | 6K | – |
| KIMBERLY-CLARK CORP | COM | 768K | 6K | – |
| KINDER MORGAN INC DEL | COM | 2M | 78K | – |
| KRANESHARES TRUST | CSI CHI INTERNET | 454K | 17K | – |
| LAS VEGAS SANDS CORP | COM | 899K | 20K | – |
| LIVEPERSON INC | COM | 36K | 62K | – |
| LLOYDS BANKING GROUP PLC | SPONSORED ADR | 45K | 16K | – |
| LOCKHEED MARTIN CORP | COM | 648K | 1K | – |
| LYONDELLBASELL INDUSTRIES N | SHS - A - | 229K | 2K | – |
| MACQUARIE / FIRST TR GLOBAL | COM | 225K | 30K | – |
| MARKETAXESS HLDGS INC | COM | 314K | 2K | – |
| MASTERCARD INCORPORATED | CL A | 406K | 920 | – |
| MCDONALDS CORP | COM | 1M | 5K | – |
| MEDTRONIC PLC | SHS | 221K | 3K | – |
| MERCK & CO INC | COM | 1M | 9K | – |
| META PLATFORMS INC | CL A | 3M | 7K | – |
| MICRON TECHNOLOGY INC | COM | 327K | 2K | – |
| MICROSOFT CORP | COM | 4M | 9K | – |
| MID-AMER APT CMNTYS INC | COM | 250K | 2K | – |
| MORGAN STANLEY | COM NEW | 909K | 9K | – |
| MOTOROLA SOLUTIONS INC | COM NEW | 282K | 731 | – |
| NASDAQ INC | COM | 274K | 5K | – |
| NATIONAL GRID PLC | SPONSORED ADR NE | 984K | 17K | – |
| NETFLIX INC | COM | 1M | 2K | – |
| NEWMONT CORP | COM | 476K | 11K | – |
| NOKIA CORP | SPONSORED ADR | 47K | 12K | – |
| NOVO-NORDISK A S | ADR | 1M | 10K | – |
| NVIDIA CORPORATION | COM | 7M | 58K | – |
| PACIRA BIOSCIENCES INC | COM | 297K | 10K | – |
| PAN AMERN SILVER CORP | COM | 502K | 25K | – |
| PAYPAL HLDGS INC | COM | 283K | 5K | – |
| PEPSICO INC | COM | 933K | 6K | – |
| PETROLEO BRASILEIRO SA PETRO | SPONSORED ADR | 334K | 23K | – |
| PFIZER INC | COM | 680K | 24K | – |
| PHILIP MORRIS INTL INC | COM | 1M | 13K | – |
| PHILLIPS 66 | COM | 844K | 6K | – |
| PRICE T ROWE GROUP INC | COM | 423K | 4K | – |
| PROCTER AND GAMBLE CO | COM | 865K | 5K | – |
| PROSHARES TR | PSHS ULTRA TECH | 2M | 25K | – |
| PROSHARES TR | PSHS ULT SEMICDT | 2M | 17K | – |
| PROSHARES TR | ULTRAPRO QQQ | 2M | 30K | – |
| PROSHARES TR | S&P MDCP 400 DIV | 424K | 6K | – |
| PRUDENTIAL FINL INC | COM | 320K | 3K | – |
| PUBLIC STORAGE OPER CO | COM | 615K | 2K | – |
| QUALCOMM INC | COM | 2M | 10K | – |
| QUIPT HOME MEDICAL CORP | COM | 32K | 10K | – |
| REALTY INCOME CORP | COM | 712K | 13K | – |
| RED CAT HLDGS INC | COM | 25K | 21K | – |
| RITHM CAPITAL CORP | COM NEW | 267K | 24K | – |
| RTX CORPORATION | COM | 2M | 15K | – |
| SELECT SECTOR SPDR TR | RL EST SEL SEC | 429K | 11K | – |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 247K | 3K | – |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 421K | 6K | – |
| SHERWIN WILLIAMS CO | COM | 718K | 2K | – |
| SHIFT4 PMTS INC | CL A | 369K | 5K | – |
| SIMON PPTY GROUP INC NEW | COM | 983K | 6K | – |
| SNOWFLAKE INC | CL A | 380K | 3K | – |
| SOUTHERN CO | COM | 1M | 14K | – |
| SPDR DOW JONES INDL AVERAGE | UT SER 1 | 287K | 735 | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 378K | 707 | – |
| SPDR SER TR | PORTFOLIO S&P600 | 563K | 14K | – |
| SPDR SER TR | S&P REGL BKG | 315K | 6K | – |
| SPDR SER TR | PORTFOLIO S&P400 | 739K | 14K | – |
| SPDR SER TR | PORTFOLIO S&P500 | 763K | 12K | – |
| SPDR SER TR | S&P 400 MDCP GRW | 245K | 3K | – |
| SPDR SER TR | PRTFLO S&P500 VL | 344K | 7K | – |
| SPIRIT AEROSYSTEMS HLDGS INC | COM CL A | 2M | 55K | – |
| STARBUCKS CORP | COM | 598K | 8K | – |
| STRYKER CORPORATION | COM | 274K | 805 | – |
| SUPERNUS PHARMACEUTICALS INC | COM | 630K | 24K | – |
| SYMBOTIC INC | CLASS A COM | 687K | 20K | – |
| TARGET CORP | COM | 807K | 5K | – |
| TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADS | 268K | 16K | – |
| TEXAS INSTRS INC | COM | 458K | 2K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 408K | 738 | – |
| TJX COS INC NEW | COM | 316K | 3K | – |
| UNITED PARCEL SERVICE INC | CL B | 276K | 2K | – |
| UNITEDHEALTH GROUP INC | COM | 228K | 448 | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 835K | 2K | – |
| VANGUARD INDEX FDS | EXTEND MKT ETF | 219K | 1K | – |
| VANGUARD INDEX FDS | LARGE CAP ETF | 432K | 2K | – |
| VANGUARD INDEX FDS | GROWTH ETF | 2M | 4K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 3M | 10K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 2M | 8K | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 2M | 24K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 211K | 5K | – |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 242K | 4K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 1M | 9K | – |
| VANGUARD WORLD FD | INDUSTRIAL ETF | 276K | 1K | – |
| VANGUARD WORLD FD | CONSUM DIS ETF | 210K | 671 | – |
| VANGUARD WORLD FD | HEALTH CAR ETF | 917K | 3K | – |
| VANGUARD WORLD FD | UTILITIES ETF | 266K | 2K | – |
| VANGUARD WORLD FD | INF TECH ETF | 1M | 2K | – |
| VANGUARD WORLD FD | FINANCIALS ETF | 281K | 3K | – |
| VERIZON COMMUNICATIONS INC | COM | 761K | 18K | – |
| VISA INC | COM CL A | 2M | 9K | – |
| WALMART INC | COM | 717K | 11K | – |
| WELLS FARGO CO NEW | COM | 1M | 18K | – |
| WELLTOWER INC | COM | 587K | 6K | – |
| WEX INC | COM | 296K | 2K | – |
| WHIRLPOOL CORP | COM | 204K | 2K | – |
| WP CAREY INC | COM | 319K | 6K | – |
| YORK WTR CO | COM | 371K | 10K | – |
| ZEVRA THERAPEUTICS INC | COM NEW | 2M | 458K | – |
| ZOETIS INC | CL A | 339K | 2K | – |