Data / Investment advisers / $100 million to $500 million in AUM / Rhode Island
Investment advisers in Rhode Island with $100 million to $500 million in AUM: 27 firms
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
27 SEC registered investment advisers in Rhode Island report between $100 million and $500 million in regulatory assets under management, $7 billion in all, in the SEC's Form ADV file of November 2, 2026. The largest is Brown, Lisle/Cummings, Inc with $487 million.
The request: Every investment adviser in Rhode Island with AUM in the range $100 million to $500 million, with phone and website. $10 of work on sign-up, no card.
SpecStream is the live web data engine for teams and agents. It reads the SEC's Form ADV files every month, and this page is that reading, keyed on the CRD number. Ask for the advisers you track by state, city, size, client type or private funds, and new registrations and filings arrive in your sheet, CRM, Slack or agent as the SEC publishes them.
- 27Advisers
- 27SEC registered
- $7 billionTotal AUM
- 27Advisers over $100 million
- 1Manage private funds
- November 2, 2026File date
Largest advisers by AUM
Ranked by regulatory AUM, then by private funds. Each row links to the firm page where it has one, and to its SEC record.
| Adviser | City | AUM | Accounts | Employees | Private funds | Phone | Website | Source |
|---|---|---|---|---|---|---|---|---|
| Brown, Lisle/Cummings, Inc | Providence | $487.3 million | 490 | 13 | Not listed | (401) 421-8900 | adviserinfo.sec.gov | |
| Lincoln Capital Corporation | East Greenwich | $418.3 million | 906 | 6 | Not listed | (401) 454-3040 | adviserinfo.sec.gov | |
| Hall Capital Management Company, Inc. | Barrington | $411.6 million | 1,120 | 9 | Not listed | (401) 245-0049 | hallcapitalmgmt.com | adviserinfo.sec.gov |
| The Retirement Planning Company of New England, Inc. | Warwick | $394.4 million | 1,312 | 4 | Not listed | (401) 453-5558 | retirementplanningco.com | adviserinfo.sec.gov |
| Signet Investment Advisory Group, Inc. | Providence | $394.1 million | 746 | 9 | Not listed | (401) 621-2221 | signetiag.com | adviserinfo.sec.gov |
| Wealth Management Resources, Inc. | Smithfield | $385.2 million | 1,508 | 9 | Not listed | (401) 356-1400 | wealthmanagers.com | adviserinfo.sec.gov |
| Axis Wealth Partners, LLC | East Providence | $377.4 million | 1,686 | 9 | Not listed | (401) 441-5111 | axiswp.com | adviserinfo.sec.gov |
| Arlen Capital, LLC | Warwick | $348.8 million | 690 | 6 | Not listed | (401) 854-3500 | arlencorp.com | adviserinfo.sec.gov |
| Weybosset Research & Management, LLC | Providence | $340.9 million | 225 | 3 | Not listed | (401) 421-7171 | weybosset.com | adviserinfo.sec.gov |
| Fenway Partners, LLC | Westerly | $306.8 million | 3 | 3 | 2 | (212) 698-9400 | fenwaypartners.com | adviserinfo.sec.gov |
| Financial Independence, LLC | Warwick | $288.1 million | 895 | 7 | Not listed | (401) 681-4825 | adviserinfo.sec.gov | |
| First Financial Advisory Services Inc | Westerly | $278 million | 1,071 | 7 | Not listed | (401) 596-0193 | adviserinfo.sec.gov | |
| Diversified Resources, LLC | Warwick | $268.8 million | 1,240 | 6 | Not listed | (401) 941-1500 | divres.com | adviserinfo.sec.gov |
| Forbes Financial Planning, Inc. | East Greenwich | $240.5 million | 887 | 3 | Not listed | (401) 885-7300 | adviserinfo.sec.gov | |
| Veritas Wealth Management | North Kingstown | $219.9 million | 665 | 4 | Not listed | (401) 296-3606 | veritaswealthri.com | adviserinfo.sec.gov |
| Slocum, Gordon & Co. LLP | Newport | $219.2 million | 253 | 5 | Not listed | (401) 849-4900 | slocumgordon.com | adviserinfo.sec.gov |
| D & P Investment Advisors, LTD. | Wakefield | $197.8 million | 647 | 1 | Not listed | (401) 792-0100 | adviserinfo.sec.gov | |
| Eliot Rose Wealth Management, LLC | Providence | $186.3 million | 400 | 4 | Not listed | (401) 588-5102 | eliotrose.com | adviserinfo.sec.gov |
| Breachway Investments, LLC | Charlestown | $164.9 million | 442 | 1 | Not listed | (860) 709-0909 | breachwayinvestments.com | adviserinfo.sec.gov |
| Have RIA, Inc. | Providence | $160.8 million | 1 | 9 | Not listed | (401) 865-6900 | adviserinfo.sec.gov | |
| Bountiful Investment Management LLC | Rumford | $160.5 million | 1,080 | 3 | Not listed | (401) 305-2626 | bountifulim.com | adviserinfo.sec.gov |
| Alpha Dog Advisors, Ruff | Cranston | $153.6 million | 618 | 3 | Not listed | (401) 351-4900 | adviserinfo.sec.gov | |
| Sheeley & Partners Wealth Management, LLC | Providence | $131.3 million | 82 | 3 | Not listed | (401) 455-1230 | sheeleypartners.com | adviserinfo.sec.gov |
| CB Capital LLC | North Smithfield | $124.5 million | 188 | 1 | Not listed | (401) 768-3361 | cbcapitalllc.com | adviserinfo.sec.gov |
| Ncu Investment Solutions | Smithfiled | $107.6 million | 373 | 8 | Not listed | (401) 228-0100 | adviserinfo.sec.gov | |
| Blue Chip Financial Advisors, LLC | East Providence | $104.1 million | 342 | 5 | Not listed | (401) 435-4239 | bcfa.net | adviserinfo.sec.gov |
| Balanced Wealth Management, LLC. | West Warwick | $102 million | 503 | 4 | Not listed | (401) 398-2000 | adviserinfo.sec.gov |
Also on SpecStream
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.