Slocum Gordon & Co Llp
- Regulatory AUM
- $219M
- Discretionary
- $219M
- Clients
- 131
- Avg AUM / client
- $1.7M
- Accounts
- 253
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 05, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 66 | $18.9M | 8.63% |
| High net worth individuals | 51 | $162M | 74.1% |
| Charitable organizations | 7 | $31.3M | 14.3% |
| State or municipal government entities | Fewer than 5 clients | $136K | 0.06% |
| Corporations and other businesses | 7 | $6.5M | 2.96% |
Nonprofit clients
Charities that reported this firm as a top-paid contractor (investment services) on Form 990.
| Charity | Location | Period |
|---|---|---|
| Naval War College Foundation Inc EIN 237063084 | Newport, RI | 12/31/2023 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jeffrey L. Gordon | Partner | Nov 1978 (48y) | 25% – 50% | |
| Douglas, Barclay | Partner | Jan 1981 (46y) | 25% – 50% | |
| Lindh, Kenneth, Morgan | Chief Compliance Officer / Partner | Sep 2004 (22y) | 10% – 25% | |
| Michael Patrick Moeller | Registered representative | Nov 2023 (3y) |
Undisclosed: 0% – 40% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Foundations & charities (1)
| Organization | Type | Assets | As of |
|---|---|---|---|
| Naval War College Foundation Inc | Public charity | $66.7M | 12/31/2023 |
From IRS Form 990 investment-management-fee disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/05/2026 | 919 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Fidelity Brokerage Services $219M (100% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 05, 2026.
View current Form ADV (SEC/IAPD) ↗