SEC Form ADV, by state
The largest investment adviser firms in Rhode Island
The current SEC Form ADV data lists 51 investment adviser firms headquartered in Rhode Island, of which 10 (19.6%) answered yes to at least one disciplinary or legal question on Form ADV Item 11. Below are the 50 largest by regulatory assets under management, a gross size measure each firm reports itself. Size is not a quality score, and no public record reports any firm's investment returns.
| Firm | City | Regulatory AUM | Fee methods | Item 11 disclosure |
|---|---|---|---|---|
| FIAM LLC | SMITHFIELD | $348B | % of AUMperformanceother | yes, reported |
| PROVIDENCE EQUITY PARTNERS L.L.C. | PROVIDENCE | $24B | % of AUMperformance | none reported |
| NAUTIC PARTNERS, LLC | PROVIDENCE | $14B | % of AUMperformance | none reported |
| CITIZENS SECURITIES, INC. | JOHNSTON | $13B | % of AUM | yes, reported |
| GLOBAL STRATEGIC RISK MANAGEMENT, LLC | PROVIDENCE | $2.9B | % of AUMperformance | none reported |
| PARSONS CAPITAL MANAGEMENT INC | PROVIDENCE | $2.4B | % of AUMhourlyfixed | none reported |
| UNISON | PROVIDENCE | $2.0B | % of AUM | none reported |
| YOUNG RICHARD C & CO LTD | NEWPORT | $1.8B | % of AUM | none reported |
| PROFESSIONAL PLANNING GROUP | WESTERLY | $1.3B | % of AUMhourlyfixed | none reported |
| CAPITAL WEALTH MANAGEMENT, LLC | WEST WARWICK | $1.1B | % of AUMfixed | none reported |
| UPPER90 | PROVIDENCE | $1.1B | % of AUMperformance | none reported |
| MCGUIRE WEALTH MANAGEMENT | WAKEFIELD | $1.1B | % of AUM | none reported |
| STRATEGICPOINT INVESTMENT ADVISORS LLC | PROVIDENCE | $915M | % of AUMhourlyother | none reported |
| CANTON HATHAWAY LLC | PROVIDENCE | $866M | % of AUMfixed | yes, reported |
| WEALTHCARE INVESTMENT PARTNERS LLC | PORTSMOUTH | $860M | % of AUMhourlyfixed | none reported |
| BLUE FIN CAPITAL, INC. | WARREN | $756M | % of AUM | none reported |
| NEWMAN DIGNAN & SHEERAR, INC | PROVIDENCE | $731M | % of AUMhourlyfixedother | none reported |
| SK WEALTH MANAGEMENT, LLC | PROVIDENCE | $639M | % of AUMhourlyfixed | none reported |
| MYSTIC ASSET MANAGEMENT | WARWICK | $615M | % of AUMhourlyfixedcommissions | none reported |
| BARRETT & COMPANY | PROVIDENCE | $530M | % of AUM | yes, reported |
| SOWA FINANCIAL GROUP | LINCOLN | $517M | % of AUMfixed | none reported |
| BROWN, LISLE/CUMMINGS, INC | PROVIDENCE | $487M | % of AUMfixed | yes, reported |
| LINCOLN CAPITAL CORPORATION | EAST GREENWICH | $418M | % of AUMfixed | none reported |
| HALL CAPITAL MANAGEMENT COMPANY, INC. | BARRINGTON | $412M | % of AUMhourlyfixed | none reported |
| THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC. | WARWICK | $394M | % of AUMhourlyfixedcommissions | none reported |
| SIGNET INVESTMENT ADVISORY GROUP, INC. | PROVIDENCE | $394M | % of AUM | none reported |
| WEALTH MANAGEMENT RESOURCES, INC. | SMITHFIELD | $385M | % of AUMhourlyfixedcommissions | none reported |
| AXIS WEALTH PARTNERS, LLC | EAST PROVIDENCE | $377M | % of AUMhourlyfixed | none reported |
| ARLEN CAPITAL, LLC | WARWICK | $349M | % of AUM | none reported |
| WEYBOSSET RESEARCH & MANAGEMENT, LLC | PROVIDENCE | $341M | % of AUMfixedperformance | none reported |
| FENWAY PARTNERS, LLC | WESTERLY | $307M | % of AUMother | yes, reported |
| FINANCIAL INDEPENDENCE, LLC | WARWICK | $288M | % of AUMhourlyfixed | none reported |
| FIRST FINANCIAL ADVISORY SERVICES INC | WESTERLY | $278M | % of AUMhourlyfixedcommissions | none reported |
| DIVERSIFIED RESOURCES, LLC | WARWICK | $269M | % of AUMhourlyfixed | yes, reported |
| NAPATREE CAPITAL LLC | WESTERLY | $260M | % of AUMhourlyfixed | none reported |
| FORBES FINANCIAL PLANNING, INC. | EAST GREENWICH | $241M | % of AUMhourlyfixed | none reported |
| SLOCUM, GORDON & CO. LLP | NEWPORT | $219M | % of AUMhourlyfixed | none reported |
| D & P INVESTMENT ADVISORS, LTD. | WAKEFIELD | $198M | % of AUMhourlyfixed | none reported |
| ELIOT ROSE WEALTH MANAGEMENT, LLC | PROVIDENCE | $186M | % of AUMfixed | none reported |
| BREACHWAY INVESTMENTS, LLC | CHARLESTOWN | $165M | % of AUMhourly | none reported |
| HAVE RIA, INC. | PROVIDENCE | $161M | % of AUMhourlyfixedperformanceother | none reported |
| BOUNTIFUL INVESTMENT MANAGEMENT LLC | RUMFORD | $161M | % of AUMhourlyfixed | yes, reported |
| ALPHA DOG ADVISORS, RUFF | CRANSTON | $154M | % of AUMother | yes, reported |
| SHEELEY & PARTNERS WEALTH MANAGEMENT, LLC | PROVIDENCE | $131M | % of AUMhourlyfixed | none reported |
| BALLAST EQUITY PARTNERS MANAGEMENT COMPANY, LLC | PROVIDENCE | $112M | % of AUMperformance | none reported |
| PLUM POINTE WEALTH MANAGEMENT | PROVIDENCE | $105M | % of AUM | yes, reported |
| BALANCED WEALTH MANAGEMENT, LLC. | EAST GREENWICH | $102M | % of AUM | none reported |
| TRANSWESTERN CAPITAL ADVISORS, LLC | NEWPORT | $74M | % of AUMfixed | none reported |
| MARSTONE LLC | PROVIDENCE | $2.8M | % of AUM | none reported |
| VERITAS WEALTH MANAGEMENT | NORTH KINGSTOWN | $0 | % of AUMhourlyfixed | none reported |
Source: SEC Form ADV monthly data, firms reporting a Rhode Islandheadquarters address. Fee-method chips are the compensation arrangements each firm checked on Item 5.E; the disclosure column is the firm's own answer to Item 11. Click through to any firm for the full record and a link to its SEC detail page.
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