Warwick, RI Office
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The Retirement Planning Company of New England, Inc.
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Firm-wide stats for The Retirement Planning Company of New England, Inc.
About
The Retirement Planning Company of New England provides investment advisory and financial planning services primarily to individual clients, including high‑net‑worth households, as well as trusts, pension plans and other institutional clients. It offers discretionary and non‑discretionary portfolio management, retirement account rollover advice, and financial planning on fixed or hourly fee bases, and may advise on a broad set of investments including equities, bonds, mutual funds, ETFs, variable annuities, REITs, options and structured products.
The firm tailors advice to each client’s objectives and risk tolerance and employs a mix of fundamental, technical, charting and cyclical analysis in implementing portfolios, typically under discretionary authority when granted. It discloses a fiduciary standard for retirement advice under the Department of Labor guidance and notes that tax efficiency is not a primary consideration unless specifically agreed in writing.
What is noteworthy in the brochure is that certain representatives are also registered representatives of ISC Group and licensed insurance agents, and the firm discloses that those representatives may receive commission‑based compensation (including 12b‑1 fees) for direct brokerage or insurance sales and that the firm uses outside bond dealers that can produce additional compensation to representatives. The firm is affiliated with Mystic Asset Management and describes dual‑registration and referral arrangements; these relationships and the resulting conflicts are disclosed and addressed through written disclosure, a Code of Ethics, and periodic account reviews and oversight.
Based on The Retirement Planning Company of New England, Inc.
Expertise
Based on The Retirement Planning Company of New England, Inc.
Location
1287 Post Road
Warwick RI 02888
Advisors at this office
3
Advisors at this office
Sotirios P
Series 63, Series 65
Warwick, RI
The Retirement Planning Company of New England, Inc.
Sotirios Pappas is a financial advisor with The Retirement Planning Company of New England, Inc. in Warwick, RI, holding Series 63 and Series 65 licenses and with 26 years of industry experience. He is also CEO and President of Mystic Asset Management and Pappas Asset Management. The Retirement Planning Company of New England provides investment advisory and financial planning services primarily to individuals, high-net-worth households, trusts, pension plans, and institutional clients. The firm offers discretionary and non-discretionary portfolio management, retirement account rollover advice, and financial planning tailored to each client’s objectives and risk tolerance.
Scott S
Series 63, Series 65
Warwick, RI
The Retirement Planning Company of New England, Inc.
Scott Seidman is a financial advisor at The Retirement Planning Company of New England, Inc. with 42 years of industry experience. He holds Series 63 and Series 65 designations and has worked at his current firm since 2013, following prior roles at Seidman Investment Advisors, LLC and UBS Financial Services. The Retirement Planning Company of New England provides investment advisory and financial planning services to individuals, high-net-worth households, trusts, pension plans, and other institutional clients. The firm offers tailored portfolio management and planning services using a combination of fundamental, technical, charting, and cyclical analysis, generally operating under discretionary authority when granted.
David A
Series 63, Series 65
Warwick, RI
The Retirement Planning Company of New England, Inc.
David Allaire is a financial advisor with Mystic Asset Management in Warwick, RI, holding Series 63 and Series 65 licenses and bringing 37 years of industry experience. He has been affiliated with Mystic Asset Management since 2012 and The Retirement Planning Company of New England since 1996, and has also worked with Institutional Securities Corp since 2015. Outside of his advisory roles, he is a partner in a local real estate ownership and operations business. Mystic Asset Management provides discretionary portfolio management to individuals, including high-net-worth clients, as well as institutional clients such as trusts, pension plans, nonprofits, and banks. The firm employs a variety of analytical methods and typically operates with discretionary authority, managing over $500 million in client assets.
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