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Data / Investment advisers / Rhode Island

Investment advisers in Rhode Island: 50 firms, $426 billion in AUM

50 investment advisers have their main office in Rhode Island: 49 SEC registered and 1 exempt reporting. The registered advisers report $426 billion in regulatory assets under management in the SEC's Form ADV file of November 2, 2026, and the largest is Fiam LLC with $348 billion.

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.

Get advisers in Rhode Island over $100 millionWatch new advisers in Rhode IslandGet private fund advisers in Rhode Island
  • 50Advisers
  • 49SEC registered
  • 1Exempt reporting
  • $426 billionTotal AUM
  • 48Advisers over $100 million
  • 8Manage 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.

AdviserCityAUMAccountsEmployeesPrivate fundsPhoneWebsiteSource
Fiam LLCSmithfield$347.73 billion64719621(617) 563-7000fidelity.comadviserinfo.sec.gov
Providence Equity Partners L.L.C.Providence$24.12 billion4113539(401) 751-1700provequity.comadviserinfo.sec.gov
Nautic Partners, LLCProvidence$13.97 billion186918(401) 278-6770adviserinfo.sec.gov
Citizens Securities, Inc.Johnston$12.87 billion60,545471Not listed(800) 942-8300adviserinfo.sec.gov
Global Strategic Risk Management, LLCProvidence$2.91 billion4121(401) 749-4589gsrm.ioadviserinfo.sec.gov
Parsons Capital Management IncProvidence$2.38 billion1,94222Not listed(401) 521-2440parsonscapital.comadviserinfo.sec.gov
UnisonProvidence$2.02 billion3051Not listed(646) 290-7697unisonadvisors.comadviserinfo.sec.gov
Young Richard C & Co LTDNewport$1.80 billion2,04214Not listed(401) 849-2137adviserinfo.sec.gov
Professional Planning GroupWesterly$1.32 billion2,39516Not listed(401) 596-2800ppgadvisors.comadviserinfo.sec.gov
Capital Wealth Management, LLCWest Warwick$1.14 billion66016Not listed(401) 885-1060capitalwealthllc.comadviserinfo.sec.gov
Upper90Providence$1.11 billion311831(646) 979-0719adviserinfo.sec.gov
McGuire Wealth ManagementWakefield$1.06 billion8395Not listed(401) 364-5000mcguirewealth.comadviserinfo.sec.gov
Strategicpoint Investment Advisors LLCProvidence$914.8 million1,93412Not listed(401) 273-1500focusfinancialpartners.comadviserinfo.sec.gov
Canton Hathaway LLCProvidence$866.1 million28154(401) 433-7800cantonhathaway.comadviserinfo.sec.gov
Wealthcare Investment Partners LLCPortsmouth$859.6 million3,20812Not listed(401) 682-2335wcipllc.comadviserinfo.sec.gov
Blue Fin Capital, Inc.Warren$755.9 million6894Not listed(401) 454-0772bluefincapital.comadviserinfo.sec.gov
Newman Dignan & Sheerar, IncProvidence$731.3 million1,1829Not listed(401) 351-4010newmandignan.comadviserinfo.sec.gov
SK Wealth Management, LLCProvidence$639 million1,2066Not listed(401) 331-1575skwealth.comadviserinfo.sec.gov
Mystic Asset ManagementWarwick$614.6 million3713Not listed(860) 495-3300mysticassetmanagement.comadviserinfo.sec.gov
Barrett & CompanyProvidence$529.7 million1,0917Not listed(401) 351-1000barrettandcompany.comadviserinfo.sec.gov
Sowa Financial GroupLincoln$517 million1,4008Not listed(401) 434-8090sowafinancial.comadviserinfo.sec.gov
Brown, Lisle/Cummings, IncProvidence$487.3 million49013Not listed(401) 421-8900adviserinfo.sec.gov
Lincoln Capital CorporationEast Greenwich$418.3 million9066Not listed(401) 454-3040adviserinfo.sec.gov
Hall Capital Management Company, Inc.Barrington$411.6 million1,1209Not listed(401) 245-0049hallcapitalmgmt.comadviserinfo.sec.gov
The Retirement Planning Company of New England, Inc.Warwick$394.4 million1,3124Not listed(401) 453-5558retirementplanningco.comadviserinfo.sec.gov
Signet Investment Advisory Group, Inc.Providence$394.1 million7469Not listed(401) 621-2221signetiag.comadviserinfo.sec.gov
Wealth Management Resources, Inc.Smithfield$385.2 million1,5089Not listed(401) 356-1400wealthmanagers.comadviserinfo.sec.gov
Axis Wealth Partners, LLCEast Providence$377.4 million1,6869Not listed(401) 441-5111axiswp.comadviserinfo.sec.gov
Arlen Capital, LLCWarwick$348.8 million6906Not listed(401) 854-3500arlencorp.comadviserinfo.sec.gov
Weybosset Research & Management, LLCProvidence$340.9 million2253Not listed(401) 421-7171weybosset.comadviserinfo.sec.gov
Fenway Partners, LLCWesterly$306.8 million332(212) 698-9400fenwaypartners.comadviserinfo.sec.gov
Financial Independence, LLCWarwick$288.1 million8957Not listed(401) 681-4825adviserinfo.sec.gov
First Financial Advisory Services IncWesterly$278 million1,0717Not listed(401) 596-0193adviserinfo.sec.gov
Diversified Resources, LLCWarwick$268.8 million1,2406Not listed(401) 941-1500divres.comadviserinfo.sec.gov
Forbes Financial Planning, Inc.East Greenwich$240.5 million8873Not listed(401) 885-7300adviserinfo.sec.gov
Veritas Wealth ManagementNorth Kingstown$219.9 million6654Not listed(401) 296-3606veritaswealthri.comadviserinfo.sec.gov
Slocum, Gordon & Co. LLPNewport$219.2 million2535Not listed(401) 849-4900slocumgordon.comadviserinfo.sec.gov
D & P Investment Advisors, LTD.Wakefield$197.8 million6471Not listed(401) 792-0100adviserinfo.sec.gov
Eliot Rose Wealth Management, LLCProvidence$186.3 million4004Not listed(401) 588-5102eliotrose.comadviserinfo.sec.gov
Breachway Investments, LLCCharlestown$164.9 million4421Not listed(860) 709-0909breachwayinvestments.comadviserinfo.sec.gov
Have RIA, Inc.Providence$160.8 million19Not listed(401) 865-6900adviserinfo.sec.gov
Bountiful Investment Management LLCRumford$160.5 million1,0803Not listed(401) 305-2626bountifulim.comadviserinfo.sec.gov
Alpha Dog Advisors, RuffCranston$153.6 million6183Not listed(401) 351-4900adviserinfo.sec.gov
Sheeley & Partners Wealth Management, LLCProvidence$131.3 million823Not listed(401) 455-1230sheeleypartners.comadviserinfo.sec.gov
CB Capital LLCNorth Smithfield$124.5 million1881Not listed(401) 768-3361cbcapitalllc.comadviserinfo.sec.gov
Ncu Investment SolutionsSmithfiled$107.6 million3738Not listed(401) 228-0100adviserinfo.sec.gov
Blue Chip Financial Advisors, LLCEast Providence$104.1 million3425Not listed(401) 435-4239bcfa.netadviserinfo.sec.gov
Balanced Wealth Management, LLC.West Warwick$102 million5034Not listed(401) 398-2000adviserinfo.sec.gov
Transwestern Capital Advisors, LLCNewport$73.7 million11Not listed(800) 997-0718transwestcap.comadviserinfo.sec.gov
Point Judith Management Company, LLCProvidenceNot listedNot listedNot listed3(401) 935-4346pjc.vcadviserinfo.sec.gov

Advisers in Rhode Island that manage private funds

8 advisers report private funds. The 40 with the most funds.

AdviserCityStatePrivate fundsHedgePrivate equityVenture capitalReal estateFund gross assetsAUMSource
Providence Equity Partners L.L.C.ProvidenceRI39138Not listedNot listed$24.12 billion$24.12 billionadviserinfo.sec.gov
Upper90ProvidenceRI31Not listed31Not listedNot listed$882.2 million$1.11 billionadviserinfo.sec.gov
Fiam LLCSmithfieldRI2112Not listed3$9.27 billion$347.73 billionadviserinfo.sec.gov
Nautic Partners, LLCProvidenceRI18Not listed18Not listedNot listed$13.97 billion$13.97 billionadviserinfo.sec.gov
Canton Hathaway LLCProvidenceRI4Not listed1Not listed3$26.6 million$866.1 millionadviserinfo.sec.gov
Point Judith Management Company, LLCProvidenceRI3Not listedNot listed3Not listed$167.7 millionNot listedadviserinfo.sec.gov
Fenway Partners, LLCWesterlyRI2Not listed2Not listedNot listed$306.8 million$306.8 millionadviserinfo.sec.gov
Global Strategic Risk Management, LLCProvidenceRI11Not listedNot listedNot listed$2.86 billion$2.91 billionadviserinfo.sec.gov

Newest SEC registrations in Rhode Island

2 advisers with an SEC status effective in the 90 days to November 2, 2026.

AdviserCityStateSEC status effectiveAUMWebsiteSource
CB Capital LLCNorth SmithfieldRIAugust 27, 2026$124.5 millioncbcapitalllc.comadviserinfo.sec.gov
Blue Chip Financial Advisors, LLCEast ProvidenceRIAugust 14, 2026$104.1 millionbcfa.netadviserinfo.sec.gov

Cities in Rhode Island

CityAdvisersAUM
Providence18$51.89 billion

More ways to read Rhode Island

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.