Fee-only adviser · Providence, RI
Canton Hathaway LLC
Canton Hathaway LLC is a fee-only investment adviser registered with the U.S. Securities and Exchange Commission, with its main office in Providence, Rhode Island. On its latest Form ADV, filed March 30, 2026, it reports $866M in regulatory assets under management, 84 individual clients and 5 employees who give investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | SEC-registered |
|---|---|
| Firm CRD number | 297527 · SEC file 801-113544 |
| Office | One West Exchange Street Suite 3202 Providence, RI 02903 |
| Phone | (401) 433-7800 |
| Website | cantonhathaway.com |
| Regulatory assets under management | $866M ($844M discretionary) |
| Individual clients | 17 non-high-net-worth, 67 high-net-worth |
| Financial planning clients | Not reported |
| How it charges | Percentage of assets, Fixed fee |
| Services | Portfolio management, Pension consulting, Selection of other advisers |
| Employees | 5 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | March 30, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It offers hourly or fixed-fee arrangements, so you may be able to pay for a plan without handing over your investments.
- It also charges a percentage of assets managed for ongoing investment management.
- Most of its individual clients are high-net-worth, which on Form ADV means they meet the SEC’s qualified-client or qualified-purchaser test: broadly, more than $1 million managed by the adviser or a net worth above $2 million, with the thresholds indexed for inflation.
- It reports no disciplinary history on Form ADV.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
Other fee-only advisers in Providence
- Parsons Capital Management Inc $2.4B
- Newman Dignan & Sheerar, Inc $731M
- SK Wealth Management, LLC $639M
- Eliot Rose Wealth Management, LLC $186M
- Sheeley & Partners Wealth Management, LLC $131M
- Experience Your Wealth, LLC $105M
See all 14 fee-only advisers in Providence →
Nearby
- East Providence 2 firms
- Lincoln 3 firms
- Barrington 2 firms
- Warwick 3 firms
- Attleboro 1 firm
- Warren 1 firm
- Cumberland 1 firm
- Swansea 1 firm
Comparing several firms? Tell us what you need and we will suggest fee-only advisers that fit. Work at Canton Hathaway LLC? Update this listing.