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Adam Sullivan

Arlen Capital, LLC
20 Years of Experience
Warwick, RI
BrokerSells Insurance
View SEC Summary
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Adam Sullivan is a registered investment advisor at Arlen Capital, LLC, based in Warwick, RI, with 20 years of industry experience. Adam is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 222 clients with $350M in assets under management.

Arlen Capital, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
4 advisors
Number of Clients
222 clients
Average Client Portfolio
$1.6M average
Assets Under Management
$348.8M

Fee Structure

Investment management only (planning not offered)
Minimum Annual Fee:$2,500
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.3M1.05%
$1.3M - $2.8M0.93%
$2.8M - $5.0M0.88%
$5.0M - $10.0M0.82%
$10M+0.71%

Fees are negotiable. Household accounts are aggregated to determine appropriate fee discounts. Other programs: Third-Party Manager Program at 0.50% to 0.775%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

117 Metro Center Boulevard, Suite 2006, Warwick, RI, 02886

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Adam is a board member for Metro East Office Park Condominium, VP of Arlen Corporation (selling non-variable life insurance), an advisor for Arlen Capital LLC, and owner of Arlen Realty. He dedicates full-time hours to Arlen Capital LLC and about 10-20% of his time to Arlen Corporation.

Employment History
Current Registrations
Arlen Capital, LLC
April 2006 - Present · 20 yrs 6 mos
Osaic Wealth, INC.Broker
December 2005 - Present · 20 yrs 10 mos
State Registrations3 states
CTMARI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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