Canton Hathaway LLC

RIASEC RegisteredEst. 2018
Total AUM
$866M
Discretionary
$844M
97% of AUM
Avg account
$3.1M
Accounts
281
Employees
5
Advisory reps
7

Firm details

Headquarters
Providence, Rhode Island
CRD number
297527
Registered since
July 6, 2018
Custodians
FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • HNWI69.51%
  • Pension & Profit Sharing Plans17.93%
  • Corporations / Businesses7.46%
  • Pooled Investment Vehicles3.07%
  • Individuals1.2%
Services
Portfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Canton Hathaway LLC is an SEC-registered investment adviser organized as an LLC and operating since 2018. The firm describes itself as a capital allocator serving both individual/family and institutional clients. Its advisory services emphasize discretionary portfolio management for individuals, small businesses and institutions, selection of other advisers, and pension consulting. Fee arrangements include both Ad Valorem (percentage of AUM) and fixed fees. Canton Hathaway does not present itself as an active ESG investor. The firm is identified as an owner-operated entity and reports roles beyond traditional advisory work: it sponsors limited partnerships and acts as a sponsor/GP or managing member of pooled investment vehicles. That sponsor role aligns with its allocations to private funds and direct alternative investments.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 61%, US Government Bonds 17%, Public Funds/Mutual Funds 8%, Cash & Cash Equivalents 7%, State & Local Bonds 3%, Private Funds 3%, Investment Grade Corp Bonds 1%61%
  • Exchange Traded Equities61%
  • US Government Bonds17%
  • Public Funds/Mutual Funds8%
  • Cash & Cash Equivalents7%
  • State & Local Bonds3%

Owners & executives

3 of 3
  • James Procaccianti

    James Procaccianti

    Founding Partner and CEOCRD 7245877

  • Candice Lightfoot

    Chief Compliance OfficerCRD 4885526

  • Robert Cusack

    Robert Cusack

    Chief Financial OfficerCRD 716107

Contacts

3 of 4
  • Anthony Marcello

    Anthony Marcello

    PartnerCRD 2844880

  • Nicholas Trotman

    Nicholas Trotman

    Partner, Head of Fixed IncomeCRD 4283142

  • Kenneth Goodreau

    Kenneth Goodreau

    Partner, Head of Equity ResearchCRD 2598273

Unlock 1 more contacts

Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

ETF holdings

1 of 88

Active vs passive

$198M in ETFs

Passive

100%

$197M

Active

<1%

$593K

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD 500 INDEX FUND (VOO)VanguardPassiveLarge Blend$30.7M44,75015.56%

Location

Primary office

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
1 W Exchange St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth