Arlen Capital, LLC

Arlen Capital, LLC (CRD# 118113) is a financial advisory firm headquartered in Warwick, RI. They manage $161,638,000 in 523 accounts and serve the financial needs of clients across 10 states (or territories).

By the Numbers
  • Total Assets Under Management
    162
    MILLION
  • Total Number of Accounts
    523
    ACCOUNTS
  • Average Account Value
    $309,059
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

CT, FL, LA, MA, NC, NH, NY, RI, TX, VA

Financial Advisors at Arlen Capital, LLC
Showing 1 - 5 of 5 top financial advisors.
1
Thomas S. Rogers
CRD#: 2639101
2700 Coltsgate Road, Suite 201, Charlotte, NC 28211
96
Wealthminder
score

Thomas Rogers (CRD# 2639101) is an Investment Advisor Representative working at Arlen Capital, LLC in Charlotte, NC and has over 19 years of experience in the finance industry. Thomas Rogers has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

2
Frank P. McGoff
CRD#: 865966
117 Metro Center Boulevard, Suite 2006, Warwick, RI 02886
93
Wealthminder
score

Frank McGoff (CRD# 865966) is an Investment Advisor Representative working at Arlen Capital, LLC in Warwick, RI and has over 18 years of experience in the finance industry.

3
David A. Nabb
CRD#: 5174911
117 Metro Center Boulevard, Suite 2006, Warwick, RI 02886
93
Wealthminder
score

David Nabb (CRD# 5174911) is an Investment Advisor Representative working at Arlen Capital, LLC in Warwick, RI and has over 11 years of experience in the finance industry.

4
Adam M. Sullivan
CRD#: 4901150
117 Metro Center Boulevard, Suite 2006, Warwick, RI 02886
93
Wealthminder
score

Adam Sullivan (CRD# 4901150) is an Investment Advisor Representative working at Arlen Capital, LLC in Warwick, RI and has over 11 years of experience in the finance industry.

5
Peter A. Sullivan
CRD#: 828191
117 Metro Center Boulevard, Suite 2006, Warwick, RI 02886
93
Wealthminder
score

Peter Sullivan (CRD# 828191) is an Investment Advisor Representative working at Arlen Capital, LLC in Warwick, RI and has over 33 years of experience in the finance industry.

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