Frank Peter Mcgoff

Employer firm

Arlen Capital, LLC CRD 118113

$349M regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2001 → Present
  Osaic Wealth, Inc. F/K/A Royal Alliance Associates, Inc.
  Providence, RI
• 06/2000 → Present
  Arlen Corporation
  Providence, RI
• 06/2001 → Present
  Arlen Capital, Llc
  Providence, RI
• 04/2006 → Present
  Arlen Methodology, Llc
  Providence, RI

Other Businesses

1. OWNER OF ARLEN REALTY, LLC - CREATED SOLELY TO PURCHASE OFFICE CONDOMINUIM AT 117 METRO CENTER BLVD. SUITE 2006 WARWICK, RI. PART OF AN M FINANCIAL GROUP MEMBER FIRM, ARLEN CORPORATION, WHICH WORKS CLOSELY WITH INSURANCE CARRIERS TO OFFER PROPRIETARY PRODUCTS. INVESTMENT ADVISORY, ARLEN CAPITAL LLC, YES, 117 METRO CENTER BLVD, SUITE 2006, WARWICK, RI. 02286,EXECUTIVE VP,06/2000,40HRA,40HRS,FUNCTION IN THE CAPACITY OF AN ADVISOR 2. ARLENCORPORATION POSITION: Officer NATURE: Corporation - INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 06/01/2000 ADDRESS: 117 Metro Center Boulevard Suite 2006 Warwick, RI 02886, Suite 2006, Warwick RI 02886, United States DESCRIPTION: Non-Variable Life Insurance Sales & Service 3. ARLEN CAPITAL, LLC POSITION: Executive Vice President NATURE: Limited Liability Company - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/01/2000 ADDRESS: 117 Metro Center Boulevard Suite 2006 Warwick, RI 02886, Suite 2006, Warwick RI 02886, United States DESCRIPTION: EVP and I function in the capacity of an advisor. 4.ARLEN REALTY POSITION: Owner - NATURE: Limited Liability Company - INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/2008 ADDRESS: 117 Metro Center Blvd, Suite 2006, Warwcik RI 02886, United States DESCRIPTION: The sole purpose of Arlen Realty is to own our office condo that Arlen Corporation resides. It does not have any other objectives.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-27
• S63 Uniform Securities Agent State Law Examination
  1999-02-13