{ "path": "/advisors/ri", "url": "https://advisorcensus.com/advisors/ri/page/2", "page_type": "state", "title": "Financial advisors in Rhode Island", "filters": {}, "scope_total": 91, "faq": [ { "q": "How many financial advisory firms are there in Rhode Island?", "a": "AdvisorCensus lists 91 investment advisory firms with a principal office in Rhode Island, from Form ADV filings as of October 2026: 50 SEC-registered, 38 state-registered, and 3 exempt reporting advisers. Firms may request removal, so the count can differ slightly from the number of firms that file Form ADV." }, { "q": "How many fee-only financial advisors are in Rhode Island?", "a": "34 of the 91 firms meet AdvisorCensus's fee-only test: paid only by a percentage of assets, hourly charges, fixed fees, or subscription fees on Form ADV Item 5.E (no commissions, performance-based fees, or other compensation), with no sales-related compensation ties in the same filing: no employee registered with a broker-dealer or licensed as an insurance agent (Item 5.B), no brokerage, insurance, real estate, or other product sales business (Item 6.A), no related broker-dealer, insurance company, real estate broker, or futures commission merchant (Item 7.A), and no referral fees from others or other sales interest (Item 8). Form ADV has no fee-only box, so this is derived from the filing; it is not a fee-only certification, and a firm's own page lists its compensation arrangements as filed." }, { "q": "How many financial advisors in Rhode Island offer financial planning?", "a": "61 of the 88 firms in Rhode Island that answer Form ADV Item 5.G, which asks what advisory services a firm provides, report financial planning services, as of October 2026. Exempt reporting advisers do not answer Item 5.G. Each firm page lists every advisory service the firm reports." }, { "q": "Are the financial advisors in Rhode Island fiduciaries?", "a": "Every firm on this page is an investment adviser that files Form ADV, and an investment adviser owes its clients a fiduciary duty under federal law, made up of a duty of care and a duty of loyalty: it must act in the client's best interest and not put its own interests ahead of the client's, and must eliminate its conflicts of interest or disclose them fully and fairly. Form ADV has no fiduciary box because the duty comes with being an investment adviser. The duty covers the firm's advice; a firm or its people may also sell securities through a broker-dealer or insurance as licensed agents, roles held to other standards. The 34 firms that meet AdvisorCensus's fee-only test report none of those sales ties." }, { "q": "How do I check whether a financial advisor has disciplinary disclosures?", "a": "Each firm page shows how many Form ADV Item 11 disciplinary questions the firm answered yes and links to the firm's record on the SEC's Investment Adviser Public Disclosure site (adviserinfo.sec.gov), where the detail of each disclosure is public. Individual advisers' records are on the same site and on FINRA BrokerCheck." }, { "q": "Does AdvisorCensus rate, verify, or recommend these firms?", "a": "No. The directory shows what each firm filed, in alphabetical order unless you choose another sort, and no firm's position depends on payment. Firms that claim their page can add a description and links, marked as provided by the firm; the filed facts are never changed by that content." }, { "q": "What does regulatory assets under management mean?", "a": "Regulatory assets under management (RAUM) is the figure a firm reports on Form ADV Item 5.F: the securities portfolios it provides continuous and regular supervisory or management services for, at market value, including assets managed without discretion. It measures scale, not performance or quality." } ], "period": "2026-10-01", "answer_paragraph": "AdvisorCensus lists 91 investment advisory firms with a principal office in Rhode Island, drawn from Form ADV filings as of October 2026. Metro areas in the state are listed first; firms are listed alphabetically, and you can sort by years registered or assets band using the controls below. Firms may request removal from the directory, so this count can differ from the number of firms that file Form ADV.", "about_market": null, "citation": "AdvisorCensus. Financial advisors in Rhode Island: 91 firms from Form ADV filings as of October 2026.", "total_firms": 91, "page": 2, "total_pages": 2, "sort": "name", "registration_types": { "sec": 50, "state": 38, "exempt": 3 }, "fee_model_mix": [ { "code": "fee-only", "count": 34 }, { "code": "percentage_of_aum", "count": 80 }, { "code": "hourly", "count": 44 }, { "code": "subscription", "count": 0 }, { "code": "fixed", "count": 51 }, { "code": "commissions", "count": 6 }, { "code": "performance_based", "count": 8 }, { "code": "other", "count": 13 }, { "code": "not_reported", "count": 3 } ], "years_registered_distribution": [ { "code": "under_5", "count": 31 }, { "code": "5_to_9", "count": 15 }, { "code": "10_to_19", "count": 19 }, { "code": "20_plus", "count": 25 }, { "code": "not_reported", "count": 1 } ], "raum_band_distribution": [ { "code": "under_25m", "count": 16 }, { "code": "25m_100m", "count": 18 }, { "code": "100m_500m", "count": 28 }, { "code": "500m_1b", "count": 9 }, { "code": "1b_5b", "count": 8 }, { "code": "over_5b", "count": 4 }, { "code": "not_reported", "count": 8 } ], "firms": [ { "crd_number": 296271, "name": "McGuire Wealth Management", "name_as_filed": "MCGUIRE WEALTH MANAGEMENT", "url": "https://advisorcensus.com/firm/mcguire-wealth-management-wakefield-ri-296271", "city": "Wakefield", "state": "RI", "years_registered": 8, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 284790, "name": "Merlin Asset Management", "name_as_filed": "MERLIN ASSET MANAGEMENT", "url": "https://advisorcensus.com/firm/merlin-asset-management-newport-ri-284790", "city": "Newport", "state": "RI", "years_registered": 2, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 170361, "name": "Mystic Asset Management", "name_as_filed": "MYSTIC ASSET MANAGEMENT", "url": "https://advisorcensus.com/firm/mystic-asset-management-warwick-ri-170361", "city": "Warwick", "state": "RI", "years_registered": 12, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "commissions" ], "enhanced": false }, { "crd_number": 159822, "name": "Nautic Partners, LLC", "name_as_filed": "NAUTIC PARTNERS, LLC", "url": "https://advisorcensus.com/firm/nautic-partners-llc-providence-ri-159822", "city": "Providence", "state": "RI", "years_registered": 14, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 134804, "name": "NCU Investment Solutions", "name_as_filed": "NCU INVESTMENT SOLUTIONS", "url": "https://advisorcensus.com/firm/ncu-investment-solutions-smithfiled-ri-134804", "city": "Smithfiled", "state": "RI", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 334552, "name": "New Majority Capital Management LLC", "name_as_filed": "NEW MAJORITY CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/new-majority-capital-management-llc-providence-ri-334552", "city": "Providence", "state": "RI", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 107565, "name": "Newman Dignan & Sheerar, Inc", "name_as_filed": "NEWMAN DIGNAN & SHEERAR, INC", "url": "https://advisorcensus.com/firm/newman-dignan-and-sheerar-inc-providence-ri-107565", "city": "Providence", "state": "RI", "years_registered": 34, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "other" ], "enhanced": false }, { "crd_number": 323417, "name": "Old Forge Wealth Management, LLC", "name_as_filed": "OLD FORGE WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/old-forge-wealth-management-llc-warwick-ri-323417", "city": "Warwick", "state": "RI", "years_registered": 3, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 106295, "name": "Parsons Capital Management Inc", "name_as_filed": "PARSONS CAPITAL MANAGEMENT INC", "url": "https://advisorcensus.com/firm/parsons-capital-management-inc-providence-ri-106295", "city": "Providence", "state": "RI", "years_registered": 32, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 162889, "name": "Point Judith Management Company, LLC", "name_as_filed": "POINT JUDITH MANAGEMENT COMPANY, LLC", "url": "https://advisorcensus.com/firm/point-judith-management-company-llc-providence-ri-162889", "city": "Providence", "state": "RI", "years_registered": 14, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 108868, "name": "Professional Planning Group", "name_as_filed": "PROFESSIONAL PLANNING GROUP", "url": "https://advisorcensus.com/firm/professional-planning-group-westerly-ri-108868", "city": "Westerly", "state": "RI", "years_registered": 46, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 155678, "name": "Providence Equity Partners L.L.C.", "name_as_filed": "PROVIDENCE EQUITY PARTNERS L.L.C.", "url": "https://advisorcensus.com/firm/providence-equity-partners-l-l-c-providence-ri-155678", "city": "Providence", "state": "RI", "years_registered": 15, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 337558, "name": "Quahog Investments LLC", "name_as_filed": "QUAHOG INVESTMENTS LLC", "url": "https://advisorcensus.com/firm/quahog-investments-llc-warwick-ri-337558", "city": "Warwick", "state": "RI", "years_registered": 0, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 314386, "name": "Retirement Income Security LLC", "name_as_filed": "RETIREMENT INCOME SECURITY LLC", "url": "https://advisorcensus.com/firm/retirement-income-security-llc-314386", "city": null, "state": null, "years_registered": 2, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 336438, "name": "Revup Capital", "name_as_filed": "REVUP CAPITAL", "url": "https://advisorcensus.com/firm/revup-capital-east-greenwich-ri-336438", "city": "East Greenwich", "state": "RI", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 323707, "name": "Rhodeway Financial", "name_as_filed": "RHODEWAY FINANCIAL", "url": "https://advisorcensus.com/firm/rhodeway-financial-providence-ri-323707", "city": "Providence", "state": "RI", "years_registered": 3, "raum_band": "under_25m", "compensation_types": [ "other" ], "enhanced": false }, { "crd_number": 109013, "name": "Sheeley & Partners Wealth Management, LLC", "name_as_filed": "SHEELEY & PARTNERS WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/sheeley-and-partners-wealth-management-llc-providence-ri-109013", "city": "Providence", "state": "RI", "years_registered": 27, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 123910, "name": "Signet Investment Advisory Group, Inc.", "name_as_filed": "SIGNET INVESTMENT ADVISORY GROUP, INC.", "url": "https://advisorcensus.com/firm/signet-investment-advisory-group-inc-providence-ri-123910", "city": "Providence", "state": "RI", "years_registered": 23, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 109114, "name": "SK Wealth Management, LLC", "name_as_filed": "SK WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/sk-wealth-management-llc-providence-ri-109114", "city": "Providence", "state": "RI", "years_registered": 27, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 104929, "name": "Slocum, Gordon & Co. LLP", "name_as_filed": "SLOCUM, GORDON & CO. LLP", "url": "https://advisorcensus.com/firm/slocum-gordon-and-co-llp-newport-ri-104929", "city": "Newport", "state": "RI", "years_registered": 47, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 323650, "name": "South County Wealth Planning", "name_as_filed": "SOUTH COUNTY WEALTH PLANNING", "url": "https://advisorcensus.com/firm/south-county-wealth-planning-323650", "city": null, "state": null, "years_registered": 3, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 107646, "name": "Sowa Financial Group", "name_as_filed": "SOWA FINANCIAL GROUP", "url": "https://advisorcensus.com/firm/sowa-financial-group-lincoln-ri-107646", "city": "Lincoln", "state": "RI", "years_registered": 33, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 148489, "name": "Spinnaker Asset Management Inc.", "name_as_filed": "SPINNAKER ASSET MANAGEMENT INC.", "url": "https://advisorcensus.com/firm/spinnaker-asset-management-inc-warwick-ri-148489", "city": "Warwick", "state": "RI", "years_registered": 18, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 123877, "name": "Strategic Financial Group", "name_as_filed": "STRATEGIC FINANCIAL GROUP", "url": "https://advisorcensus.com/firm/strategic-financial-group-cranston-ri-123877", "city": "Cranston", "state": "RI", "years_registered": 32, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed" ], "enhanced": false }, { "crd_number": 124636, "name": "Strategicpoint Investment Advisors LLC", "name_as_filed": "STRATEGICPOINT INVESTMENT ADVISORS LLC", "url": "https://advisorcensus.com/firm/strategicpoint-investment-advisors-llc-providence-ri-124636", "city": "Providence", "state": "RI", "years_registered": 23, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "other" ], "enhanced": false }, { "crd_number": 129615, "name": "The Capital Group", "name_as_filed": "THE CAPITAL GROUP", "url": "https://advisorcensus.com/firm/the-capital-group-warwick-ri-129615", "city": "Warwick", "state": "RI", "years_registered": 14, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 108705, "name": "The Retirement Planning Company of New England, Inc.", "name_as_filed": "THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.", "url": "https://advisorcensus.com/firm/the-retirement-planning-company-of-new-england-inc-warwick-ri-108705", "city": "Warwick", "state": "RI", "years_registered": 27, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "commissions" ], "enhanced": false }, { "crd_number": 141605, "name": "Transwestern Capital Advisors, LLC", "name_as_filed": "TRANSWESTERN CAPITAL ADVISORS, LLC", "url": "https://advisorcensus.com/firm/transwestern-capital-advisors-llc-newport-ri-141605", "city": "Newport", "state": "RI", "years_registered": 20, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 326003, "name": "Truefocus Financial Partners", "name_as_filed": "TRUEFOCUS FINANCIAL PARTNERS", "url": "https://advisorcensus.com/firm/truefocus-financial-partners-north-kingstown-ri-326003", "city": "North Kingstown", "state": "RI", "years_registered": 3, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 155470, "name": "Unison", "name_as_filed": "UNISON", "url": "https://advisorcensus.com/firm/unison-providence-ri-155470", "city": "Providence", "state": "RI", "years_registered": 10, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 304179, "name": "UPPER90", "name_as_filed": "UPPER90", "url": "https://advisorcensus.com/firm/upper90-providence-ri-304179", "city": "Providence", "state": "RI", "years_registered": 6, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 105502, "name": "Van Liew Capital Inc", "name_as_filed": "VAN LIEW CAPITAL INC", "url": "https://advisorcensus.com/firm/van-liew-capital-inc-providence-ri-105502", "city": "Providence", "state": "RI", "years_registered": 17, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 341084, "name": "Veritas Wealth Management", "name_as_filed": "VERITAS WEALTH MANAGEMENT", "url": "https://advisorcensus.com/firm/veritas-wealth-management-north-kingstown-ri-341084", "city": "North Kingstown", "state": "RI", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 141643, "name": "Vetta Investments", "name_as_filed": "VETTA INVESTMENTS", "url": "https://advisorcensus.com/firm/vetta-investments-141643", "city": null, "state": null, "years_registered": 7, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 45452, "name": "Wealth Management Resources, Inc.", "name_as_filed": "WEALTH MANAGEMENT RESOURCES, INC.", "url": "https://advisorcensus.com/firm/wealth-management-resources-inc-smithfield-ri-45452", "city": "Smithfield", "state": "RI", "years_registered": 26, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "commissions" ], "enhanced": false }, { "crd_number": 296475, "name": "Wealthcare Investment Partners LLC", "name_as_filed": "WEALTHCARE INVESTMENT PARTNERS LLC", "url": "https://advisorcensus.com/firm/wealthcare-investment-partners-llc-portsmouth-ri-296475", "city": "Portsmouth", "state": "RI", "years_registered": 8, "raum_band": "500m_1b", 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"/advisors/ri/providence", "name": "Providence", "msa_name": "Providence-Warwick, RI-MA", "state_code": "RI", "firm_count": 110 } ], "siblings": { "national": "/advisors", "state": { "path": "/advisors/ri", "label": "Financial advisors in Rhode Island" }, "fee_pages": [ { "path": "/advisors/ri/fee-only", "label": "Fee-only financial advisors in Rhode Island", "firm_count": 34 }, { "path": "/advisors/ri/flat-fee", "label": "Flat-fee financial advisors in Rhode Island", "firm_count": 51 }, { "path": "/advisors/ri/hourly", "label": "Hourly financial advisors in Rhode Island", "firm_count": 44 } ] }, "csv": "https://advisorcensus.com/advisors/ri.csv", "source": { "name": "Form ADV", "as_of": "2026-10-01", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }