Wealth manager, wrap-program sponsor · Westerly, RI
Professional Planning Group
New England Professional Planning Group Inc. · SEC-registered investment adviser · CRD 108868 · SEC 801-15330
At a glance
Professional Planning Group is an SEC-registered investment adviser based in Westerly, Rhode Island, with $1.3 billion in regulatory assets under management as of its Form ADV filed March 26, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 1,281 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 1,191st of 8,915 wealth managers and 4,620th of 17,210 SEC-registered advisers by assets.
Main office 401-596-2800ppgadvisors.comAs filed on Form ADV
- Regulatory AUM
- $1.3B
- Rank among wealth managers
- #1,191 of 8,915
- Rank among all SEC RIAs
- #4,620 of 17,210
- Rank in Rhode Island
- #9 of 49
- Individual clients
- 1,281
- High-net-worth clients
- 378
- Accounts
- 2,395
- Discretionary
- 95% of AUM
- Employees
- 16
- Advisory staff
- 9
- Offices
- 2
Owners and executives on its Form ADV
- Malcolm A. MakinPresident, Chief Executive Officer and Chief Compliance Officer
- Joanna E. ValentiniChief Operating Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Professional Planning Group is a hybrid RIA: 10 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Raymond James Financial Services as the broker-dealer its advisers are registered with.
Certain employees are registered representatives of the broker-dealer RJFS.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 378 | $948M | 72% |
| Individuals | 903 | $354M | 27% |
| Charitable organizations | 11 | $15M | 1% |
Disciplinary disclosures
Professional Planning Group reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗ppgadvisors.com ↗
AtlasMembers
The full record on Professional Planning Group
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, ten years of filings
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- Growth over one, three and five years
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- Rank against 2,812 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 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 Professional Planning Group manage?
Professional Planning Group reports $1.3 billion in regulatory assets under management across 2,395 accounts, 95% of it on a discretionary basis, on its Form ADV filed March 26, 2026.
What kind of firm is Professional Planning Group?
Professional Planning Group 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 Professional Planning Group’s clients?
By assets, its largest client types are high-net-worth individuals ($948 million, 378 clients); individuals ($354 million, 903 clients); charitable organizations ($15 million, 11 clients).
Does Professional Planning Group have any disciplinary history?
Professional Planning Group reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Professional Planning Group’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 (2026-03-26), 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 →