Wealth manager, independent · Providence, RI
Canton Hathaway LLC
SEC-registered investment adviser · CRD 297527 · SEC 801-113544
At a glance
Canton Hathaway LLC is an SEC-registered investment adviser based in Providence, Rhode Island, with $866 million in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 84 individual clients. By Form ADV it is a wealth manager, ranked 1,782nd of 8,915 wealth managers and 5,831st of 17,210 SEC-registered advisers by assets.
Main office 401-433-7800cantonhathaway.comAs filed on Form ADV
- Regulatory AUM
- $866M
- Rank among wealth managers
- #1,782 of 8,915
- Rank among all SEC RIAs
- #5,831 of 17,210
- Rank in Rhode Island
- #14 of 49
- Individual clients
- 84
- High-net-worth clients
- 67
- Accounts
- 281
- Discretionary
- 97% of AUM
- Employees
- 5
- Advisory staff
- 5
- Offices
- 2
Owners and executives on its Form ADV
- Malcolm G. ChaceManaging Partner
- Kenneth E. GoodreauManaging Director
- Nicholas G. TrotmanManaging Director
- James ProcacciantiDirector
- Anthony C. MarcelloDirector of Business Development
- Candice A. LightfootChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Canton Hathaway LLC is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 67 | $602M | 70% |
| Pension and profit sharing plans | 2 | $155M | 18% |
| Corporations or other businesses | 5 | $65M | 7% |
| Pooled investment vehicles | 4 | $27M | 3% |
| Individuals | 17 | $10M | 1% |
| State or municipal government entities | 1 | $7M | <1% |
Private funds
Canton Hathaway LLC reports 4 private funds with $27M in gross assets: private equity funds, real estate funds (Form ADV Item 7.B).
Disciplinary disclosures
Canton Hathaway LLC answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗cantonhathaway.com ↗
AtlasMembers
The full record on Canton Hathaway LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
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- Growth over one, three and five years
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- Rank against 3,886 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Canton Hathaway LLC manage?
Canton Hathaway LLC reports $866 million in regulatory assets under management across 281 accounts, 97% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is Canton Hathaway LLC?
Canton Hathaway LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Canton Hathaway LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($602 million, 67 clients); pension and profit sharing plans ($155 million, 2 clients); corporations or other businesses ($65 million, 5 clients).
Does Canton Hathaway LLC manage private funds?
Yes. It reports 4 private funds with $27 million in gross assets, including private equity funds, real estate funds.
Does Canton Hathaway LLC have any disciplinary history?
Canton Hathaway LLC answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Canton Hathaway LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →