Data / Investment advisers / Serving individuals / Rhode Island
Investment advisers in Rhode Island serving individuals: 41 firms
41 SEC registered investment advisers with a main office in Rhode Island report individuals among their clients in Form ADV item 5.D, and together they attribute $15.8 billion of their assets under management to them, in the SEC's file of November 2, 2026. The adviser with the most is Citizens Securities, Inc.
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.
- 41Advisers
- $15.8 billionAUM from this client type
- 41Advisers over $100 million
- November 2, 2026File date
Advisers in Rhode Island serving 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 |
|---|
| Citizens Securities, Inc. | Johnston | 60,118 | $12.21 billion | $12.87 billion | adviserinfo.sec.gov |
| Professional Planning Group | Westerly | 903 | $353.6 million | $1.32 billion | adviserinfo.sec.gov |
| Wealthcare Investment Partners LLC | Portsmouth | 1,355 | $269.7 million | $859.6 million | adviserinfo.sec.gov |
| Axis Wealth Partners, LLC | East Providence | 683 | $204.5 million | $377.4 million | adviserinfo.sec.gov |
| Wealth Management Resources, Inc. | Smithfield | 521 | $192.9 million | $385.2 million | adviserinfo.sec.gov |
| Sowa Financial Group | Lincoln | 419 | $188.8 million | $517 million | adviserinfo.sec.gov |
| Barrett & Company | Providence | 437 | $182.9 million | $529.7 million | adviserinfo.sec.gov |
| Strategicpoint Investment Advisors LLC | Providence | 401 | $171.2 million | $914.8 million | adviserinfo.sec.gov |
| Young Richard C & Co LTD | Newport | 293 | $147.6 million | $1.80 billion | adviserinfo.sec.gov |
| Bountiful Investment Management LLC | Rumford | 551 | $132.7 million | $160.5 million | adviserinfo.sec.gov |
| The Retirement Planning Company of New England, Inc. | Warwick | 429 | $131.3 million | $394.4 million | adviserinfo.sec.gov |
| Parsons Capital Management Inc | Providence | 314 | $128.2 million | $2.38 billion | adviserinfo.sec.gov |
| First Financial Advisory Services Inc | Westerly | 440 | $117.6 million | $278 million | adviserinfo.sec.gov |
| Diversified Resources, LLC | Warwick | 511 | $106 million | $268.8 million | adviserinfo.sec.gov |
| Hall Capital Management Company, Inc. | Barrington | 398 | $88 million | $411.6 million | adviserinfo.sec.gov |
| Balanced Wealth Management, LLC. | West Warwick | 225 | $74.1 million | $102 million | adviserinfo.sec.gov |
| Lincoln Capital Corporation | East Greenwich | 149 | $72.6 million | $418.3 million | adviserinfo.sec.gov |
| Financial Independence, LLC | Warwick | 191 | $72 million | $288.1 million | adviserinfo.sec.gov |
| Forbes Financial Planning, Inc. | East Greenwich | 462 | $65.9 million | $240.5 million | adviserinfo.sec.gov |
| Newman Dignan & Sheerar, Inc | Providence | 269 | $65.1 million | $731.3 million | adviserinfo.sec.gov |
| SK Wealth Management, LLC | Providence | 140 | $64 million | $639 million | adviserinfo.sec.gov |
| Veritas Wealth Management | North Kingstown | 139 | $63 million | $219.9 million | adviserinfo.sec.gov |
| Breachway Investments, LLC | Charlestown | 201 | $61 million | $164.9 million | adviserinfo.sec.gov |
| Weybosset Research & Management, LLC | Providence | 157 | $60 million | $340.9 million | adviserinfo.sec.gov |
| Arlen Capital, LLC | Warwick | 139 | $57.1 million | $348.8 million | adviserinfo.sec.gov |
| McGuire Wealth Management | Wakefield | 127 | $57 million | $1.06 billion | adviserinfo.sec.gov |
| Blue Fin Capital, Inc. | Warren | 266 | $56.9 million | $755.9 million | adviserinfo.sec.gov |
| Brown, Lisle/Cummings, Inc | Providence | 119 | $55.7 million | $487.3 million | adviserinfo.sec.gov |
| D & P Investment Advisors, LTD. | Wakefield | 170 | $48.8 million | $197.8 million | adviserinfo.sec.gov |
| Alpha Dog Advisors, Ruff | Cranston | 246 | $47.6 million | $153.6 million | adviserinfo.sec.gov |
| Capital Wealth Management, LLC | West Warwick | 180 | $47.4 million | $1.14 billion | adviserinfo.sec.gov |
| Blue Chip Financial Advisors, LLC | East Providence | 153 | $44.2 million | $104.1 million | adviserinfo.sec.gov |
| Eliot Rose Wealth Management, LLC | Providence | 88 | $40.7 million | $186.3 million | adviserinfo.sec.gov |
| Signet Investment Advisory Group, Inc. | Providence | 88 | $36.5 million | $394.1 million | adviserinfo.sec.gov |
| Ncu Investment Solutions | Smithfiled | 123 | $33.7 million | $107.6 million | adviserinfo.sec.gov |
| Mystic Asset Management | Warwick | 63 | $21 million | $614.6 million | adviserinfo.sec.gov |
| Sheeley & Partners Wealth Management, LLC | Providence | 48 | $19.2 million | $131.3 million | adviserinfo.sec.gov |
| Slocum, Gordon & Co. LLP | Newport | 66 | $18.9 million | $219.2 million | adviserinfo.sec.gov |
| Unison | Providence | 38 | $12.4 million | $2.02 billion | adviserinfo.sec.gov |
| Canton Hathaway LLC | Providence | 17 | $10.4 million | $866.1 million | adviserinfo.sec.gov |
| CB Capital LLC | North Smithfield | 18 | $3.3 million | $124.5 million | adviserinfo.sec.gov |
Also on SpecStream
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. 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.