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Peter Sullivan

Arlen Capital, LLC
50 Years of Experience
Warwick, RI
BrokerSells Insurance
View SEC Summary
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Peter Sullivan is a registered investment advisor at Arlen Capital, LLC, based in Warwick, RI, with 50 years of industry experience. Peter 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

Peter is a co-trustee, owner of Arlen Capital LLC (where he works full-time as an investment advisor), Arlen Corporation (selling non-variable life insurance), and Arlen Realty (owning the office condo for Arlen Corporation). He also has power of attorney for his aunt, managing her finances.

Employment History
Current Registrations
Arlen Capital, LLC
June 2001 - Present · 25 yrs 4 mos
Osaic Wealth, INC.Broker
April 2001 - Present · 25 yrs 6 mos
Previous Registrations
MML Investors Services, INC.Broker
March 1996 - April 2001 · 5 yrs 1 mo
Cigna Financial Advisors,inc.Broker
October 1990 - December 1995 · 5 yrs 2 mos
G. R. Phelps & CO., INC.Broker
October 1976 - March 1996 · 19 yrs 5 mos
State Registrations33 states
AKARAZCACOCTDEFLGAILINKSKYLAMAMDMEMIMNNCNHNJNVNYOHORPARISCTXVAVTWA
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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