Top RIAs in Rhode Island
Every SEC-registered RIA with a main office in Rhode Island, by regulatory AUM, from Form ADV
51 RIAs registered with the SEC are headquartered in Rhode Island, the 39th most of any state, managing $426.1B in regulatory assets as of Sep 1, 2026. The largest by regulatory AUM is Fiam LLC in Smithfield at $347.7B. 12 firms report $1 billion or more.
51
SEC-registered RIAs
$426.1B
Regulatory AUM
12
Firms at $1B and above
$394.1M
Median firm AUM
Data as of Sep 1, 2026, file ia09012026-registered.zip. Retrieved Sep 10, 2026.
01 · The firms
Every SEC-registered RIA in Rhode Island, by regulatory AUM
The default sort is regulatory assets under management as each firm filed it, which puts asset managers and wealth managers on one list. The toggle for firms where individuals and high-net-worth individuals hold the majority of assets is what separates them, using the firm's own Form ADV Item 5.D figures.
All 51 firms, by regulatory AUM as filed.
| # | Firm | City | Regulatory AUM | Advisory staff | Accounts | Individual + HNW clients | Retail share | Filed |
|---|---|---|---|---|---|---|---|---|
| 1 | Fiam LLCCRD 133196 | Smithfield | $347.7B | 139 | 647 | 23 | 0% | Jul 2026 |
| 2 | Providence Equity Partners L.L.C.CRD 155678 | Providence | $24.1B | 51 | 41 | n.d. | 0% | Mar 2026 |
| 3 | Nautic Partners, LLCCRD 159822 | Providence | $14.0B | 45 | 18 | n.d. | 0% | Apr 2026 |
| 4 | Citizens Securities, Inc.CRD 39550 | Johnston | $12.9B | 454 | 60,545 | 60,162 | 98% | Apr 2026 |
| 5 | Global Strategic Risk Management, LLCCRD 327157 | Providence | $2.9B | 6 | 4 | n.d. | 0% | Mar 2026 |
| 6 | Parsons Capital Management IncCRD 106295 | Providence | $2.4B | 12 | 1,942 | 695 | 92% | Apr 2026 |
| 7 | UnisonCRD 155470 | Providence | $2.0B | 1 | 305 | 95 | 96% | Mar 2026 |
| 8 | Young Richard C & Co LtdCRD 105866 | Newport | $1.8B | 8 | 2,042 | 798 | 98% | Mar 2026 |
| 9 | Professional Planning GroupCRD 108868 | Westerly | $1.3B | 9 | 2,395 | 1,281 | 99% | Mar 2026 |
| 10 | Capital Wealth Management, LLCCRD 157959 | West Warwick | $1.1B | 9 | 660 | 603 | 68% | Jul 2026 |
| 11 | Upper90CRD 304179 | Providence | $1.1B | 11 | 31 | n.d. | 0% | Mar 2026 |
| 12 | McGuire Wealth ManagementCRD 296271 | Wakefield | $1.1B | 3 | 839 | 302 | 97% | Mar 2026 |
| 13 | Strategicpoint Investment Advisors LLCCRD 124636 | Providence | $914.8M | 6 | 1,934 | 706 | 99% | Mar 2026 |
| 14 | Canton Hathaway LLCCRD 297527 | Providence | $866.1M | 5 | 281 | 84 | 71% | Mar 2026 |
| 15 | Wealthcare Investment Partners LLCCRD 296475 | Portsmouth | $859.6M | 5 | 3,208 | 1,816 | 96% | Aug 2026 |
| 16 | Blue FIN Capital, Inc.CRD 108451 | Warren | $755.9M | 2 | 689 | 668 | 96% | Mar 2026 |
| 17 | Newman Dignan & Sheerar, IncCRD 107565 | Providence | $731.3M | 6 | 1,182 | 518 | 93% | May 2026 |
| 18 | SK Wealth Management, LLCCRD 109114 | Providence | $639.0M | 4 | 1,206 | 319 | 100% | Jan 2026 |
| 19 | Mystic Asset ManagementCRD 170361 | Warwick | $614.6M | 2 | 371 | 131 | 68% | Mar 2026 |
| 20 | Barrett & CompanyCRD 1175 | Providence | $529.7M | 4 | 1,091 | 576 | 91% | Mar 2026 |
| 21 | Sowa Financial GroupCRD 107646 | Lincoln | $517.0M | 3 | 1,400 | 572 | 100% | Feb 2026 |
| 22 | Brown, Lisle/Cummings, IncCRD 1331 | Providence | $487.3M | 8 | 490 | 226 | 98% | Jun 2026 |
| 23 | Lincoln Capital CorporationCRD 109922 | East Greenwich | $418.3M | 3 | 906 | 265 | 97% | Mar 2026 |
| 24 | Hall Capital Management Company, Inc.CRD 108141 | Barrington | $411.6M | 3 | 1,120 | 519 | 92% | Mar 2026 |
| 25 | The Retirement Planning Company of New England, Inc.CRD 108705 | Warwick | $394.4M | 3 | 1,312 | 565 | 100% | Mar 2026 |
| 26 | Signet Investment Advisory Group, Inc.CRD 123910 | Providence | $394.1M | 4 | 746 | 185 | 97% | Mar 2026 |
| 27 | Wealth Management Resources, Inc.CRD 45452 | Smithfield | $385.2M | 6 | 1,508 | 590 | 92% | Jul 2026 |
| 28 | Axis Wealth Partners, LLCCRD 167122 | East Providence | $377.4M | 6 | 1,686 | 781 | 100% | Mar 2026 |
| 29 | Arlen Capital, LLCCRD 118113 | Warwick | $348.8M | 4 | 690 | 222 | 99% | Feb 2026 |
| 30 | Weybosset Research & Management, LLCCRD 108047 | Providence | $340.9M | 2 | 225 | 224 | 98% | Mar 2026 |
| 31 | Fenway Partners, LLCCRD 160630 | Westerly | $306.8M | 2 | 3 | n.d. | 0% | Mar 2026 |
| 32 | Financial Independence, LLCCRD 150515 | Warwick | $288.1M | 4 | 895 | 278 | 99% | Jul 2026 |
| 33 | First Financial Advisory Services IncCRD 105031 | Westerly | $278.0M | 7 | 1,071 | 516 | 99% | Apr 2026 |
| 34 | Diversified Resources, LLCCRD 31346 | Warwick | $268.8M | 1 | 1,240 | 640 | 98% | Mar 2026 |
| 35 | Forbes Financial Planning, Inc.CRD 143912 | East Greenwich | $240.5M | 1 | 887 | 871 | 99% | Mar 2026 |
| 36 | Veritas Wealth ManagementCRD 341084 | North Kingstown | $219.9M | 2 | 665 | 222 | 100% | Aug 2026 |
| 37 | Slocum, Gordon & Co. LLPCRD 104929 | Newport | $219.2M | 2 | 253 | 117 | 83% | Feb 2026 |
| 38 | D & P Investment Advisors, Ltd.CRD 119631 | Wakefield | $197.8M | 1 | 647 | 228 | 96% | Mar 2026 |
| 39 | Eliot Rose Wealth Management, LLCCRD 120465 | Providence | $186.3M | 1 | 400 | 141 | 100% | Feb 2026 |
| 40 | Breachway Investments, LLCCRD 299102 | Charlestown | $164.9M | 1 | 442 | 242 | 97% | Jul 2026 |
| 41 | Have RIA, Inc.CRD 327137 | Providence | $160.8M | 3 | 1 | 0 | 0% | Mar 2026 |
| 42 | Bountiful Investment Management LLCCRD 281437 | Rumford | $160.5M | 3 | 1,080 | 560 | 100% | Mar 2026 |
| 43 | Alpha Dog Advisors, RuffCRD 152001 | Cranston | $153.6M | 2 | 618 | 321 | 93% | Aug 2026 |
| 44 | Sheeley & Partners Wealth Management, LLCCRD 109013 | Providence | $131.3M | 2 | 82 | 79 | 87% | Mar 2026 |
| 45 | CB Capital LLCCRD 300200 | North Smithfield | $124.5M | 1 | 188 | 61 | 100% | Aug 2026 |
| 46 | Ballast Equity Partners Management Company, LLCCRD 330189 | Providence | $111.9M | 4 | 3 | n.d. | 0% | May 2026 |
| 47 | NCU Investment SolutionsCRD 134804 | Smithfiled | $107.6M | 6 | 373 | 153 | 95% | Jul 2026 |
| 48 | Plum Pointe Wealth ManagementCRD 332618 | Providence | $104.7M | 1 | 386 | 183 | 98% | May 2026 |
| 49 | Blue Chip Financial Advisors, LLCCRD 119510 | East Providence | $104.1M | 5 | 342 | 178 | 100% | Aug 2026 |
| 50 | Balanced Wealth Management, LLC.CRD 174699 | West Warwick | $102.0M | 2 | 503 | 243 | 95% | Aug 2026 |
02 · By city
Where in Rhode Island the firms sit
Main-office city as filed. Up to the twenty-five cities with the most firms.
- Providence19 · $52.1B
- Warwick5 · $1.9B
- Newport3 · $2.1B
- Westerly3 · $1.9B
- East Greenwich2 · $658.8M
- East Providence2 · $481.4M
- Smithfield2 · $348.1B
- Wakefield2 · $1.3B
- West Warwick2 · $1.2B
- Barrington1 · $411.6M
- Charlestown1 · $164.9M
- Cranston1 · $153.6M
- Johnston1 · $12.9B
- Lincoln1 · $517.0M
- North Kingstown1 · $219.9M
- North Smithfield1 · $124.5M
- Portsmouth1 · $859.6M
- Rumford1 · $160.5M
- Smithfiled1 · $107.6M
- Warren1 · $755.9M
03 · Questions
Questions people ask about RIAs in Rhode Island
- How many RIAs are in Rhode Island?
- 51 RIAs registered with the SEC list a main office in Rhode Island in the SEC's Form ADV data as of Sep 1, 2026. That count excludes state-registered RIAs, which generally manage under $100 million and file with the state rather than the SEC, and firms whose address is suppressed on Form ADV.
- What is the largest RIA in Rhode Island?
- By regulatory assets under management as filed on Form ADV, the largest SEC-registered RIA headquartered in Rhode Island is Fiam LLC in Smithfield, at $347.7B. Regulatory AUM counts all assets a firm manages, so the largest filer in a state is often an asset manager rather than a wealth manager.
- How many Rhode Island RIAs manage more than $1 billion?
- 12 of the 51 SEC-registered RIAs headquartered in Rhode Island report regulatory assets under management of $1 billion or more. The median firm in the state reports $394.1M.
- Where does this data come from?
- From the SEC's monthly Form ADV data file for SEC-registered investment advisers (ia09012026-registered.zip, data as of Sep 1, 2026). Each figure is as the firm itself reported it on Form ADV Item 5; the SEC does not verify it. Every row links to the firm's record on the SEC's Investment Adviser Public Disclosure site.
Definitions and source
What each column means, in the SEC's words
- Regulatory assets under management Form ADV Item 5.F(2)(c)
- If yes, what is the amount of your regulatory assets under management and total number of accounts? Total, discretionary plus non-discretionary.
- Total accounts Form ADV Item 5.F(2)(f)
- Total number of accounts, discretionary plus non-discretionary.
- Employees Form ADV Item 5.A
- Approximately how many employees do you have? Include full- and part-time employees but do not include any clerical workers.
- Advisory employees Form ADV Item 5.B(1)
- Approximately how many of the employees reported in 5.A. perform investment advisory functions (including research)?
- Broker-dealer registered representatives Form ADV Item 5.B(2)
- Approximately how many of the employees reported in 5.A. are registered representatives of a broker-dealer?
- Individual and high-net-worth clients Form ADV Item 5.D(a), 5.D(b)
- Number of clients and amount of regulatory assets under management for individuals (other than high net worth individuals) and for high net worth individuals.
- Commissions Form ADV Item 5.E(5)
- You are compensated for your investment advisory services by (check all that apply): (5) Commissions.
- Private funds Form ADV Item 7.B
- Are you an adviser to any private fund?
Source: U.S. Securities and Exchange Commission, Form ADV data, Information About Registered Investment Advisers and Exempt Reporting Advisers, file ia09012026-registered.zip (data as of Sep 1, 2026), retrieved Sep 10, 2026. Figures are as self-reported by each firm on Form ADV Item 5; the SEC does not verify them. Neither the SEC nor the state securities authorities have approved the information filed on Form ADV, and we can not guarantee its accuracy.
Winthrop & Co. is compensated by firms when an advisor joins through us. The advisor never pays. Firms on this page are listed by arithmetic on the SEC's file, not by any relationship with us, and none is ranked, labelled or recommended.