The Retirement Planning Company of New England, Inc.

RIASEC Registered
Total AUM
$394M
Discretionary
$371M
94% of AUM
Avg account
$301K
Accounts
1,312
Employees
4
Advisory reps
4

Firm details

Headquarters
Warwick, Rhode Island
CRD number
108705
Registered since
October 13, 1998
Website
www.retirementplanningco.com
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees, Commissions
Client types
  • HNWI66.62%
  • Individuals33.29%
  • Charitable Organizations0.08%
Services
Portfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

The Retirement Planning Company of New England, Inc. is an independently owned registered investment adviser that has been SEC-registered since 1998. The firm is owned by an individual and serves both individual and family clients as well as institutional clients. Its advisory model includes discretionary and non-discretionary portfolio management for individuals, small businesses, and institutional/business clients. Fee arrangements are mixed: the firm charges asset-based fees as well as hourly and fixed fees, and it also accepts commissions. The firm is not structured as a capital allocator and relies on third-party managers for alternative exposures. It is not an active ESG investor and is not registered as a multi-state adviser according to the snapshot data.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

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 78%, Investment Grade Corp Bonds 10%, Cash & Cash Equivalents 6%, State & Local Bonds 2%, Non-Investment Grade Corp Bonds 2%, US Government Bonds 1%, Derivatives 1%78%
  • Exchange Traded Equities78%
  • Investment Grade Corp Bonds10%
  • Cash & Cash Equivalents6%
  • State & Local Bonds2%
  • Non-Investment Grade Corp Bonds2%

Owners & executives

1 of 1
  • Sotirios Pappas

    Sotirios Pappas

    CEO and Portfolio ManagerCRD 3203303

Contacts

3 of 3

  • Edward Viar

    Financial AdvisorCRD 4575998

  • David Allaire

    Portfolio ManagerCRD 1906408

  • Scott Seidman

    Scott Seidman

    Portfolio ManagerCRD 1247353

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 96

Active vs passive

$78.5M in ETFs

Passive

86%

$67.9M

Active

5%

$10.7M

ETFProviderStyleCategoryValueShares% of portfolio
INVESCO QQQ TRUST SERIES 1 (QQQ)InvescoPassiveLarge Growth$8.2M11,14910.50%
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Location

Primary office

Warwick, RI

Kent

Location

Warwick, RI

Headquartered in Warwick, 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
Kent
Address
1287 Post Rd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth