Arlen Capital, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Arlen Capital serves individual clients (both high-net-worth and non-HNW), trusts, retirement plans, and business entities through investment management, wealth planning, and referrals to third‑party managed programs. The firm operates as a small team advisory practice managing assets on discretionary and non‑discretionary bases and tailors services based on client interviews and a suitability questionnaire.
Investment recommendations are implemented primarily through model portfolios on the Vision 2020 Wealth Management Platform, using mutual funds and ETFs and customized asset allocations based on risk tolerance and periodic rebalancing. Arlen Capital emphasizes quantitative, downside‑risk analytics in its portfolio construction and monitoring — including metrics such as Sortino ratios, Upside Potential, and Omega Excess Return — and also reviews and supervises third‑party managers (including a relationship with PCM) when those programs are selected.
Compared with many peers, Arlen Capital’s advisory representatives are dually registered with a broker‑dealer (Osaic Wealth), and the firm’s parent, Arlen Corporation, operates as a licensed insurance agency with advisory staff spending a material portion of time on insurance sales and recommendations. The firm discloses potential conflicts tied to broker‑dealer affiliations (including receipt and handling of 12b‑1 fees, use of the broker‑dealer for commissionable products), has moved new accounts onto its Vision 2020 platform while closing an older fee program to new clients, and maintains operational practices such as third‑party transfers via standing letters of authorization and custodial fee debit arrangements.
Client services
Expertise
Fee options
$0 - $1,250,000: 1.05% $1,250,000 - $2,750,000: 0.93% $2,750,001 - $5,000,000: 0.88% $5,000,001 - $10,000,000: 0.82% $10,000,001+: 0.71%
Advisory Representatives receive trail commissions (12b-1 fees) from mutual funds, and commissions from insurance sales; conflicts of interest disclosed
Minimum fee: $2,500 annually ($625 per quarter) minimum fee applicable, charged as higher of minimum fee or tiered percentage fee Fee-only: Fee based on tiered percentage of assets under management with minimum annual fee of $2,500; no commissions on advisory fees
Main office
117 Metro Center Boulevard, Suite 2006
Warwick RI 02886
Advisors at this office
4
Most active in
Connecticut · Florida · Louisiana · Massachusetts · New Hampshire · New York · North Carolina · Rhode Island · South Carolina · Texas · Virginia
Also doing business as
Arlen Capital, LLC · Rogers Financial Partners
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Frank M
Series 63, Series 65
Warwick, RI
Arlen Capital, LLC
Frank Mcgoff is an executive vice president at Arlen Capital, LLC with 38 years of industry experience. He has been with Arlen Capital since 2001 and is also affiliated with Arlen Corporation and OSAIC Wealth, Inc. Mcgoff holds Series 63 and Series 65 licenses. Arlen Capital serves individuals, trusts, estates, retirement plans, and business entities by providing investment management, wealth planning, and analysis of third-party managed programs. The firm uses a model portfolio approach based on volatility sensitivity and emphasizes downside-risk measures in its ongoing manager evaluations.
David N
Series 65
Warwick, RI
Arlen Capital, LLC
David Nabb is a financial advisor at Arlen Capital, LLC with 20 years of industry experience. He holds a Series 65 designation and has previously worked at Tercet Capital, LLC from 2005 to 2009. He has also been associated with Arlen Corporation since 2003. Arlen Capital serves individual clients, trusts, retirement plans, and business entities through investment management, wealth planning, and referrals to third-party managed programs. The firm uses a quantitative, risk-focused approach with model portfolios and customized asset allocations, combining discretionary and non-discretionary management tailored to client needs.
Peter S
Series 63, Series 65
Warwick, RI
Arlen Capital, LLC
Peter Sullivan is a financial advisor with Arlen Capital, LLC in Warwick, RI, holding Series 63 and Series 65 credentials and bringing 50 years of industry experience. He has worked at OSAIC Wealth, Inc. (formerly Royal Alliance Associates, Inc.) and Arlen Capital since 2001 and is also the owner of Arlen Corporation. Sullivan serves as co-trustee for a family trust, a role he assumed as the closest family member. Arlen Capital serves individual clients, trusts, retirement plans, and business entities through investment management, wealth planning, and access to third-party managed programs. The firm utilizes model portfolios on the Vision 2020 Wealth Management Platform and emphasizes quantitative, downside-risk analytics in portfolio construction and monitoring.
Adam S
Series 66
Warwick, RI
Arlen Capital, LLC
Adam Sullivan is a financial advisor with Arlen Capital, LLC in Warwick, RI, holding a Series 66 designation and over 20 years of industry experience. He has worked with OSAIC Wealth, Inc. (formerly Royal Alliance Associates) since 2005 and has been associated with Arlen Capital and Arlen Corporation since 2004. Outside of his advisory role, he serves as a board member for the Metro East Office Park Condominium, a nonprofit corporation. Arlen Capital serves individuals, trusts, estates, retirement plans, and business entities by providing investment management, wealth planning, and analysis of third-party managed programs. The firm employs a model portfolio approach based on volatility sensitivity and emphasizes downside-risk measures in its ongoing portfolio evaluations.
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)