Data / Investment advisers / Rhode Island / Ncu Investment Solutions
Ncu Investment Solutions, Smithfiled, RI: $108 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Ncu Investment Solutions is an SEC registered investment adviser with its main office in Smithfiled, Rhode Island and reports $108 million in regulatory assets under management in its Form ADV filed July 6, 2026. Its clients include high net worth individuals, individuals and pension and profit sharing plans. It is paid through a percentage of assets under management.
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- Registration
- SEC registered investment adviser
- CRD number
- 134804
- SEC file number
- 801-136827
- SEC status
- Approved, effective July 23, 2026
- Legal name
- Randall Financial Group, LLC
- Main office
- 1005 Douglas Pike, Smithfiled, RI 02917
- Phone
- (401) 228-0100
- Regulatory AUM
- $107,551,908 in the Form ADV filed July 6, 2026
- Discretionary AUM
- $94,268,903
- Non discretionary AUM
- $13,283,005
- Accounts
- 373
- Employees
- 8, of which 6 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- July 6, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 30 | $68.2 million |
| Individuals (other than high net worth individuals) | 123 | $33.7 million |
| Pension and profit sharing plans | Fewer than 5 | $4.4 million |
| Corporations or other businesses | Fewer than 5 | $1.3 million |
Other advisers in Rhode Island
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Have RIA, Inc. | Providence | $160.8 million | Not listed | adviserinfo.sec.gov |
| Bountiful Investment Management LLC | Rumford | $160.5 million | Not listed | adviserinfo.sec.gov |
| Alpha Dog Advisors, Ruff | Cranston | $153.6 million | Not listed | adviserinfo.sec.gov |
| Sheeley & Partners Wealth Management, LLC | Providence | $131.3 million | Not listed | adviserinfo.sec.gov |
| CB Capital LLC | North Smithfield | $124.5 million | Not listed | adviserinfo.sec.gov |
| Blue Chip Financial Advisors, LLC | East Providence | $104.1 million | Not listed | adviserinfo.sec.gov |
| Balanced Wealth Management, LLC. | West Warwick | $102 million | Not listed | adviserinfo.sec.gov |
| Transwestern Capital Advisors, LLC | Newport | $73.7 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Rhode Island
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Ncu Investment Solutions on the SEC's adviser search
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.