SEC-registered wealth management firm Broker-dealer affiliated
Barrett & Company
As of its Form ADV filed March 6, 2026, Barrett & Company, an SEC-registered, broker-dealer affiliated wealth management firm in Providence, Rhode Island, reported $529.7 million in regulatory assets under management across 1,091 accounts, ranking #14 among all wealth firms in Rhode Island by assets.
Registration
- Main office
- Providence, RI
- Registration
- SEC-registered, Approved
- CRD number
- 1175
- SEC file number
- 801-110786
- Registered since
- July 17, 2017
- Latest Form ADV filing
- March 6, 2026
- Legal name
- BARRETT & COMPANY, INC.
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $529.7 million
- Discretionary
- $471.3 million (89.0%)
- Non-discretionary
- $58.4 million
- Accounts
- 1,091 (979 discretionary)
- Clients
- 601, approximate as reported
- Employees
- 7
- Advisory staff
- 4 performing investment advisory functions
- Average account
- $485,502
- Asset growth, 1 year
- 16.8% (from $453.5 million a year earlier)
- Asset growth, 3-year annual rate
- 19.6% (from $309.4 million three years earlier)
- Asset growth, 5-year annual rate
- 14.1% (from $273.7 million five years earlier)
- Client growth, 1 year
- 6.2% (from 566)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 2, 2017 | $100.4 million |
| October 1, 2018 | $136.0 million |
| October 1, 2019 | $157.0 million |
| October 1, 2020 | $231.0 million |
| October 4, 2021 | $273.7 million |
| October 3, 2022 | $369.3 million |
| October 5, 2023 | $309.4 million |
| October 1, 2024 | $370.1 million |
| September 2, 2025 | $453.5 million |
| October 2, 2026 | $529.7 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 139 clients | $300.7 million | |
| Individuals (other than high net worth) 437 clients | $182.9 million | |
| Pension and profit sharing plans 15 clients | $29.9 million | |
| Corporations or other businesses 10 clients | $16.2 million | |
| Banking or thrift institutions fewer than 5 clients | $0 | |
| Charitable organizations fewer than 5 clients | $0 | |
| State or municipal government entities fewer than 5 clients | $0 | |
| Other investment advisers fewer than 5 clients | $0 | |
| Insurance companies fewer than 5 clients | $0 | |
| Sovereign wealth funds and foreign official institutions fewer than 5 clients | $0 | |
| Other fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Pension consulting
Financial planning clients (Item 5.H): 51-100.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
Financial industry affiliations (Item 7.A)
- Broker-dealer
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 4
- Also registered through a broker-dealer
- 4
- Employees who are IARs (Form ADV 5.B(3))
- 4
4 of the firm's 4 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 4 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Rhode Island
| Firm | City | RAUM |
|---|---|---|
| SK Wealth Management, LLC | Providence | $639.0 million |
| Mystic Asset Management | Warwick | $614.6 million |
| Sowa Financial Group | Lincoln | $517.0 million |
| Brown, Lisle/Cummings, Inc | Providence | $487.3 million |
| Lincoln Capital Corporation | East Greenwich | $418.3 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Barrett & Company on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.barrettandcompany.com
- Wealth management firms in Rhode Island
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.