Cranston, RI Office

Geneos Wealth Management is an SEC‑registered investment adviser that offers financial planning, portfolio management, and referrals to third‑party money managers through traditional and wrap‑fee programs (including VIP, VIP Ultra and Axiom). The firm serves individuals (including high‑net‑worth clients), trusts, estates, corporations, pension and profit‑sharing plans and other institutions, and reported $5,597,000,000 in client assets under management as of December 31, 2024.

Geneos enables representatives to provide ongoing advisory supervision—typically on a discretionary basis for non‑ERISA accounts and non‑discretionary for certain ERISA plans—using a mix of fundamental, technical, charting and cyclical analysis and strategies that include long‑term and short‑term equity positions, options, margin and tactical asset‑allocation approaches. Clients can receive customized accounts or model‑based allocations through Axiom, participate in advisor‑managed VIP platforms, or be referred to approved unaffiliated money managers where representatives act as the conduit and monitor.

The firm’s dual role as both an SEC‑registered adviser and a FINRA‑registered broker‑dealer is a distinguishing feature: Geneos conducts broker‑dealer activities that generate ticket charges and other revenue (including fees tied to Pershing sweep/Insured Deposit Program arrangements and business growth credits). Geneos also discloses relationships between related persons and law firms, real estate brokers and pension consultants, and has previously addressed an SEC enforcement matter—rebating amounts the SEC identified (at least $1,047,617.50 in 12b‑1 fees and $386,185.77 in revenue sharing) and revising policies—while also disclosing potential conflicts such as promoter/referral fees and forgivable transition notes to representatives.