Brown, Lisle/Cummings, Inc
Firm details
- Headquarters
- Providence, Rhode Island
- CRD number
- 1331
- Registered since
- May 6, 2021
- Website
- www.brownlc.com
- Custodians
- NATIONAL FINANCIAL SERVICES LLC
- Fee structure
- Percentage of AUM, Fixed Fees
- Client types
- HNWI86.41%
- Individuals11.44%
- Corporations / Businesses2.15%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional Clients
Firm profile
FINTRXOverview
Brown, Lisle/Cummings, Inc. operates as an independent broker-dealer with insurance brokerage capabilities and an advisory practice focused on both individual/family and institutional clients. The firm provides financial planning and portfolio management services for individuals, small businesses, and larger business or institutional accounts. Its client fee model combines percentage-of-AUM charges with fixed fees. The organization is structured as a corporation, owned by an individual, and has been SEC-registered since 2021. The firm does not market itself as an ESG-focused allocator and is not set up as a multi-state advisor.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities70%
- Public Funds/Mutual Funds21%
- Cash & Cash Equivalents6%
- US Government Bonds2%
- Investment Grade Corp Bonds1%
Contacts
3 of 13Sarky Varadian
Financial Advisor and Registered RepresentativeCRD 4392599
David Izzi
PartnerCRD 2027961
Carrie Mello
Financial Advisor and Registered RepresentativeCRD 2788826
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 297Active vs passive
$93.2M in ETFs
90%
$83.7M
7%
$9.5M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| SPDR S&P 500 ETF TRUST (SPY) | State Street | Passive | Large Blend | $16.3M | 25,002 | 17.45% |
Location
Providence, RI
Providence
Location
Providence, RI
Headquartered in Providence, RI, anchoring the Boston-Worcester-Providence, MA-RI-NH-CT metro in the Northeast.
- Metro area
- Boston-Worcester-Providence, MA-RI-NH-CT
- Region
- Northeast
- County
- Providence
- Address
- 56 Exchange Ter
- Time zone
- ET (UTC-5)
- Office locations
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