Providence Financial And Insurance Services, Inc
- Regulatory AUM
- $215M
- Discretionary
- $215M
- Clients
- 624
- Avg AUM / client
- $345K
- Accounts
- 1,524
- Employees
- 16
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 582 | $151M | 70.3% |
| High net worth individuals | 42 | $63.9M | 29.7% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Anthony Alan Saccaro | President, Cco | Chartered Financial Consultant | Jul 1999 (27y) | 75% or more |
| Lorraine Ann Grossman | Registered representative | Mar 2017 (9y) | ||
| Zachary David Gunderson | Registered representative | Nov 2023 (3y) | ||
| Thuan Khai Lam | Registered representative | May 2025 (1y) | ||
| Jake Isaac Sarnoff | Registered representative | Aug 2025 (1y) | ||
| Eric K Dizon | Registered representative | Jun 2026 (0y) |
Undisclosed: 0% – 25% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/04/2026 | 1010 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
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $215M (100% of AUM) May 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: May 04, 2026.
View current Form ADV (SEC/IAPD) ↗