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BROWN, LISLE/CUMMINGS, INC
Legal name: BROWN, LISLE/CUMMINGS, INC.
CRD 1331File 801-121156
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jun 26, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$487.3M
Above cohort median (national)
Discretionary AUM
$480.6M
Non-discretionary $6.7M
Clients
238
490 accounts
Employees
13
Above cohort median in RI
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- May 6, 2021
- Principal office
- 56 EXCHANGE TERRACE, SUITE 300, PROVIDENCE, RI, 02903-1772
- Phone
- 401-421-8900
- Website
- HTTPS://WWW.BROWNLC.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $487.3M
- Discretionary AUM
- $480.6M
- Non-discretionary AUM
- $6.7M
- Discretionary accounts
- 478
- Non-discretionary accounts
- 12
- Total accounts
- 490
- AUM per client
- $2.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 12 | $10.5M |
| High net worth individuals | 107 | $421.1M |
| Individuals (other than high net worth individuals) | 119 | $55.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11D2
- Q11D4
- Q11D5
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 12 | 13 | increased by1 |
| Apr 1, 2026 | Clients | 232 | 238 | increased by6 |
| Apr 1, 2026 | AUM | $414,675,665 | $487,318,974 | increased by$72,643,309 |
| Apr 1, 2026 | Accounts | 445 | 490 | increased by45 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 139 | 232 | increased by93 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $263,932,400 | $414,675,665 | increased by$150,743,265 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 142 | 445 | increased by303 |
| Apr 1, 2022 | Clients | 92 | 139 | increased by47 |
| Apr 1, 2022 | AUM | $180,369,945 | $263,932,400 | increased by$83,562,455 |
| Apr 1, 2022 | Accounts | 95 | 142 | increased by47 |
| Jun 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “BROWN LISLE” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“BROWN LISLE” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.