Data / Investment advisers / Serving high net worth individuals / Rhode Island
Investment advisers in Rhode Island serving high net worth individuals: 42 firms
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
42 SEC registered investment advisers with a main office in Rhode Island report high net worth individuals among their clients in Form ADV item 5.D, and together they attribute $18.1 billion of their assets under management to them, in the SEC's file of November 2, 2026. The adviser with the most is Parsons Capital Management Inc.
The request: Every investment adviser in Rhode Island that serves high net worth individuals, with AUM, phone and website. $10 of work on sign-up, no card.
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- 42Advisers
- $18.1 billionAUM from this client type
- 42Advisers over $100 million
- November 2, 2026File date
Advisers in Rhode Island serving high net worth individuals
Ranked by the AUM the adviser attributes to this client type. Each row links to the firm page where it has one, and to its SEC record.
| Adviser | City | Clients of this type | AUM from this type | Total AUM | Source |
|---|
| Parsons Capital Management Inc | Providence | 381 | $2.06 billion | $2.38 billion | adviserinfo.sec.gov |
| Unison | Providence | 57 | $1.92 billion | $2.02 billion | adviserinfo.sec.gov |
| Young Richard C & Co LTD | Newport | 505 | $1.62 billion | $1.80 billion | adviserinfo.sec.gov |
| McGuire Wealth Management | Wakefield | 175 | $977.4 million | $1.06 billion | adviserinfo.sec.gov |
| Professional Planning Group | Westerly | 378 | $948.3 million | $1.32 billion | adviserinfo.sec.gov |
| Strategicpoint Investment Advisors LLC | Providence | 305 | $738.1 million | $914.8 million | adviserinfo.sec.gov |
| Capital Wealth Management, LLC | West Warwick | 423 | $725.7 million | $1.14 billion | adviserinfo.sec.gov |
| Blue Fin Capital, Inc. | Warren | 402 | $669.8 million | $755.9 million | adviserinfo.sec.gov |
| Newman Dignan & Sheerar, Inc | Providence | 249 | $617.1 million | $731.3 million | adviserinfo.sec.gov |
| Canton Hathaway LLC | Providence | 67 | $602 million | $866.1 million | adviserinfo.sec.gov |
| SK Wealth Management, LLC | Providence | 179 | $573.8 million | $639 million | adviserinfo.sec.gov |
| Wealthcare Investment Partners LLC | Portsmouth | 461 | $559.6 million | $859.6 million | adviserinfo.sec.gov |
| Brown, Lisle/Cummings, Inc | Providence | 107 | $421.1 million | $487.3 million | adviserinfo.sec.gov |
| Mystic Asset Management | Warwick | 68 | $398.6 million | $614.6 million | adviserinfo.sec.gov |
| Citizens Securities, Inc. | Johnston | 44 | $359.4 million | $12.87 billion | adviserinfo.sec.gov |
| Signet Investment Advisory Group, Inc. | Providence | 97 | $345.7 million | $394.1 million | adviserinfo.sec.gov |
| Lincoln Capital Corporation | East Greenwich | 116 | $334.1 million | $418.3 million | adviserinfo.sec.gov |
| Sowa Financial Group | Lincoln | 153 | $328.2 million | $517 million | adviserinfo.sec.gov |
| Barrett & Company | Providence | 139 | $300.7 million | $529.7 million | adviserinfo.sec.gov |
| Hall Capital Management Company, Inc. | Barrington | 121 | $289.2 million | $411.6 million | adviserinfo.sec.gov |
| Arlen Capital, LLC | Warwick | 83 | $287.4 million | $348.8 million | adviserinfo.sec.gov |
| Fiam LLC | Smithfield | 23 | $276.3 million | $347.73 billion | adviserinfo.sec.gov |
| Weybosset Research & Management, LLC | Providence | 67 | $272.7 million | $340.9 million | adviserinfo.sec.gov |
| The Retirement Planning Company of New England, Inc. | Warwick | 136 | $262.8 million | $394.4 million | adviserinfo.sec.gov |
| Financial Independence, LLC | Warwick | 87 | $213.8 million | $288.1 million | adviserinfo.sec.gov |
| Axis Wealth Partners, LLC | East Providence | 98 | $172.9 million | $377.4 million | adviserinfo.sec.gov |
| Forbes Financial Planning, Inc. | East Greenwich | 409 | $171.8 million | $240.5 million | adviserinfo.sec.gov |
| Slocum, Gordon & Co. LLP | Newport | 51 | $162.3 million | $219.2 million | adviserinfo.sec.gov |
| Wealth Management Resources, Inc. | Smithfield | 69 | $161.1 million | $385.2 million | adviserinfo.sec.gov |
| First Financial Advisory Services Inc | Westerly | 76 | $158.8 million | $278 million | adviserinfo.sec.gov |
| Diversified Resources, LLC | Warwick | 129 | $157 million | $268.8 million | adviserinfo.sec.gov |
| Veritas Wealth Management | North Kingstown | 83 | $156.9 million | $219.9 million | adviserinfo.sec.gov |
| Eliot Rose Wealth Management, LLC | Providence | 53 | $145.6 million | $186.3 million | adviserinfo.sec.gov |
| D & P Investment Advisors, LTD. | Wakefield | 58 | $141.5 million | $197.8 million | adviserinfo.sec.gov |
| CB Capital LLC | North Smithfield | 43 | $121.1 million | $124.5 million | adviserinfo.sec.gov |
| Breachway Investments, LLC | Charlestown | 41 | $99.2 million | $164.9 million | adviserinfo.sec.gov |
| Alpha Dog Advisors, Ruff | Cranston | 75 | $95 million | $153.6 million | adviserinfo.sec.gov |
| Sheeley & Partners Wealth Management, LLC | Providence | 31 | $94.7 million | $131.3 million | adviserinfo.sec.gov |
| Ncu Investment Solutions | Smithfiled | 30 | $68.2 million | $107.6 million | adviserinfo.sec.gov |
| Blue Chip Financial Advisors, LLC | East Providence | 25 | $59.9 million | $104.1 million | adviserinfo.sec.gov |
| Bountiful Investment Management LLC | Rumford | 9 | $27.9 million | $160.5 million | adviserinfo.sec.gov |
| Balanced Wealth Management, LLC. | West Warwick | 18 | $22.6 million | $102 million | 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.