# Financial advisors in Rhode Island

> 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.

Source: Form ADV filings as of October 2026. Rebuilt monthly. HTML page: https://advisorcensus.com/advisors/ri/page/2

## At a glance

- Investment advisory firms: 91
- Registration: SEC-registered investment adviser: 50, State-registered investment adviser: 38, Exempt reporting adviser: 3
- How firms are compensated (Form ADV Item 5.E; shares of the firms that file it): Fee-only (AdvisorCensus test) 34 (39%); Percentage of assets 80 (91%); Hourly charges 44 (50%); Fixed fees 51 (58%); Commissions 6 (7%); Performance-based fees 8 (9%); Other 13 (15%); No compensation arrangements reported 3
- Regulatory assets under management (Item 5.F): Under $25 million 16 (18%); $25 million to $100 million 18 (20%); $100 million to $500 million 28 (31%); $500 million to $1 billion 9 (10%); $1 billion to $5 billion 8 (9%); Over $5 billion 4 (4%); Not reported 8 (9%)
- Years registered: Under 5 years 31 (34%); 5 to 9 years 15 (16%); 10 to 19 years 19 (21%); 20 years or more 25 (27%); Not reported 1 (1%)

## Firms (page 2 of 2, 51 to 91 of 91, sorted by name)

| Firm | CRD | City | Registration | Assets band | Years registered | Compensation |
| --- | --- | --- | --- | --- | --- | --- |
| [McGuire Wealth Management](https://advisorcensus.com/firm/mcguire-wealth-management-wakefield-ri-296271) ([md](https://advisorcensus.com/firm/mcguire-wealth-management-wakefield-ri-296271.md)) | 296271 | Wakefield, RI | SEC-registered investment adviser | $1 billion to $5 billion | 8 | % of assets |
| [Merlin Asset Management](https://advisorcensus.com/firm/merlin-asset-management-newport-ri-284790) ([md](https://advisorcensus.com/firm/merlin-asset-management-newport-ri-284790.md)) | 284790 | Newport, RI | State-registered investment adviser | $25 million to $100 million | 2 | % of assets |
| [Mystic Asset Management](https://advisorcensus.com/firm/mystic-asset-management-warwick-ri-170361) ([md](https://advisorcensus.com/firm/mystic-asset-management-warwick-ri-170361.md)) | 170361 | Warwick, RI | SEC-registered investment adviser | $500 million to $1 billion | 12 | % of assets, Hourly, Fixed fee, Commissions |
| [Nautic Partners, LLC](https://advisorcensus.com/firm/nautic-partners-llc-providence-ri-159822) ([md](https://advisorcensus.com/firm/nautic-partners-llc-providence-ri-159822.md)) | 159822 | Providence, RI | SEC-registered investment adviser | Over $5 billion | 14 | % of assets, Performance fee |
| [NCU Investment Solutions](https://advisorcensus.com/firm/ncu-investment-solutions-smithfiled-ri-134804) ([md](https://advisorcensus.com/firm/ncu-investment-solutions-smithfiled-ri-134804.md)) | 134804 | Smithfiled, RI | SEC-registered investment adviser | $100 million to $500 million | 0 | % of assets |
| [New Majority Capital Management LLC](https://advisorcensus.com/firm/new-majority-capital-management-llc-providence-ri-334552) ([md](https://advisorcensus.com/firm/new-majority-capital-management-llc-providence-ri-334552.md)) | 334552 | Providence, RI | Exempt reporting adviser | Not reported | 0 | Not reported |
| [Newman Dignan & Sheerar, Inc](https://advisorcensus.com/firm/newman-dignan-and-sheerar-inc-providence-ri-107565) ([md](https://advisorcensus.com/firm/newman-dignan-and-sheerar-inc-providence-ri-107565.md)) | 107565 | Providence, RI | SEC-registered investment adviser | $500 million to $1 billion | 34 | % of assets, Hourly, Fixed fee, Other |
| [Old Forge Wealth Management, LLC](https://advisorcensus.com/firm/old-forge-wealth-management-llc-warwick-ri-323417) ([md](https://advisorcensus.com/firm/old-forge-wealth-management-llc-warwick-ri-323417.md)) | 323417 | Warwick, RI | State-registered investment adviser | $25 million to $100 million | 3 | % of assets, Hourly |
| [Parsons Capital Management Inc](https://advisorcensus.com/firm/parsons-capital-management-inc-providence-ri-106295) ([md](https://advisorcensus.com/firm/parsons-capital-management-inc-providence-ri-106295.md)) | 106295 | Providence, RI | SEC-registered investment adviser | $1 billion to $5 billion | 32 | % of assets, Hourly, Fixed fee |
| [Point Judith Management Company, LLC](https://advisorcensus.com/firm/point-judith-management-company-llc-providence-ri-162889) ([md](https://advisorcensus.com/firm/point-judith-management-company-llc-providence-ri-162889.md)) | 162889 | Providence, RI | Exempt reporting adviser | Not reported | 14 | Not reported |
| [Professional Planning Group](https://advisorcensus.com/firm/professional-planning-group-westerly-ri-108868) ([md](https://advisorcensus.com/firm/professional-planning-group-westerly-ri-108868.md)) | 108868 | Westerly, RI | SEC-registered investment adviser | $1 billion to $5 billion | 46 | % of assets, Hourly, Fixed fee |
| [Providence Equity Partners L.L.C.](https://advisorcensus.com/firm/providence-equity-partners-l-l-c-providence-ri-155678) ([md](https://advisorcensus.com/firm/providence-equity-partners-l-l-c-providence-ri-155678.md)) | 155678 | Providence, RI | SEC-registered investment adviser | Over $5 billion | 15 | % of assets, Performance fee |
| [Quahog Investments LLC](https://advisorcensus.com/firm/quahog-investments-llc-warwick-ri-337558) ([md](https://advisorcensus.com/firm/quahog-investments-llc-warwick-ri-337558.md)) | 337558 | Warwick, RI | State-registered investment adviser | Under $25 million | 0 | % of assets |
| [Retirement Income Security LLC](https://advisorcensus.com/firm/retirement-income-security-llc-314386) ([md](https://advisorcensus.com/firm/retirement-income-security-llc-314386.md)) | 314386 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 2 | % of assets |
| [Revup Capital](https://advisorcensus.com/firm/revup-capital-east-greenwich-ri-336438) ([md](https://advisorcensus.com/firm/revup-capital-east-greenwich-ri-336438.md)) | 336438 | East Greenwich, RI | Exempt reporting adviser | Not reported | 0 | Not reported |
| [Rhodeway Financial](https://advisorcensus.com/firm/rhodeway-financial-providence-ri-323707) ([md](https://advisorcensus.com/firm/rhodeway-financial-providence-ri-323707.md)) | 323707 | Providence, RI | State-registered investment adviser | Under $25 million | 3 | Other |
| [Sheeley & Partners Wealth Management, LLC](https://advisorcensus.com/firm/sheeley-and-partners-wealth-management-llc-providence-ri-109013) ([md](https://advisorcensus.com/firm/sheeley-and-partners-wealth-management-llc-providence-ri-109013.md)) | 109013 | Providence, RI | SEC-registered investment adviser | $100 million to $500 million | 27 | % of assets, Hourly, Fixed fee |
| [Signet Investment Advisory Group, Inc.](https://advisorcensus.com/firm/signet-investment-advisory-group-inc-providence-ri-123910) ([md](https://advisorcensus.com/firm/signet-investment-advisory-group-inc-providence-ri-123910.md)) | 123910 | Providence, RI | SEC-registered investment adviser | $100 million to $500 million | 23 | % of assets |
| [SK Wealth Management, LLC](https://advisorcensus.com/firm/sk-wealth-management-llc-providence-ri-109114) ([md](https://advisorcensus.com/firm/sk-wealth-management-llc-providence-ri-109114.md)) | 109114 | Providence, RI | SEC-registered investment adviser | $500 million to $1 billion | 27 | % of assets, Hourly, Fixed fee |
| [Slocum, Gordon & Co. LLP](https://advisorcensus.com/firm/slocum-gordon-and-co-llp-newport-ri-104929) ([md](https://advisorcensus.com/firm/slocum-gordon-and-co-llp-newport-ri-104929.md)) | 104929 | Newport, RI | SEC-registered investment adviser | $100 million to $500 million | 47 | % of assets, Hourly, Fixed fee |
| [South County Wealth Planning](https://advisorcensus.com/firm/south-county-wealth-planning-323650) ([md](https://advisorcensus.com/firm/south-county-wealth-planning-323650.md)) | 323650 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 3 | % of assets, Hourly, Fixed fee |
| [Sowa Financial Group](https://advisorcensus.com/firm/sowa-financial-group-lincoln-ri-107646) ([md](https://advisorcensus.com/firm/sowa-financial-group-lincoln-ri-107646.md)) | 107646 | Lincoln, RI | SEC-registered investment adviser | $500 million to $1 billion | 33 | % of assets, Fixed fee |
| [Spinnaker Asset Management Inc.](https://advisorcensus.com/firm/spinnaker-asset-management-inc-warwick-ri-148489) ([md](https://advisorcensus.com/firm/spinnaker-asset-management-inc-warwick-ri-148489.md)) | 148489 | Warwick, RI | State-registered investment adviser | $25 million to $100 million | 18 | % of assets, Hourly, Fixed fee |
| [Strategic Financial Group](https://advisorcensus.com/firm/strategic-financial-group-cranston-ri-123877) ([md](https://advisorcensus.com/firm/strategic-financial-group-cranston-ri-123877.md)) | 123877 | Cranston, RI | State-registered investment adviser | Not reported | 32 | Hourly, Fixed fee |
| [Strategicpoint Investment Advisors LLC](https://advisorcensus.com/firm/strategicpoint-investment-advisors-llc-providence-ri-124636) ([md](https://advisorcensus.com/firm/strategicpoint-investment-advisors-llc-providence-ri-124636.md)) | 124636 | Providence, RI | SEC-registered investment adviser | $500 million to $1 billion | 23 | % of assets, Hourly, Other |
| [The Capital Group](https://advisorcensus.com/firm/the-capital-group-warwick-ri-129615) ([md](https://advisorcensus.com/firm/the-capital-group-warwick-ri-129615.md)) | 129615 | Warwick, RI | State-registered investment adviser | $25 million to $100 million | 14 | % of assets, Hourly |
| [The Retirement Planning Company of New England, Inc.](https://advisorcensus.com/firm/the-retirement-planning-company-of-new-england-inc-warwick-ri-108705) ([md](https://advisorcensus.com/firm/the-retirement-planning-company-of-new-england-inc-warwick-ri-108705.md)) | 108705 | Warwick, RI | SEC-registered investment adviser | $100 million to $500 million | 27 | % of assets, Hourly, Fixed fee, Commissions |
| [Transwestern Capital Advisors, LLC](https://advisorcensus.com/firm/transwestern-capital-advisors-llc-newport-ri-141605) ([md](https://advisorcensus.com/firm/transwestern-capital-advisors-llc-newport-ri-141605.md)) | 141605 | Newport, RI | SEC-registered investment adviser | $25 million to $100 million | 20 | % of assets, Fixed fee |
| [Truefocus Financial Partners](https://advisorcensus.com/firm/truefocus-financial-partners-north-kingstown-ri-326003) ([md](https://advisorcensus.com/firm/truefocus-financial-partners-north-kingstown-ri-326003.md)) | 326003 | North Kingstown, RI | State-registered investment adviser | $25 million to $100 million | 3 | % of assets, Fixed fee |
| [Unison](https://advisorcensus.com/firm/unison-providence-ri-155470) ([md](https://advisorcensus.com/firm/unison-providence-ri-155470.md)) | 155470 | Providence, RI | SEC-registered investment adviser | $1 billion to $5 billion | 10 | % of assets |
| [UPPER90](https://advisorcensus.com/firm/upper90-providence-ri-304179) ([md](https://advisorcensus.com/firm/upper90-providence-ri-304179.md)) | 304179 | Providence, RI | SEC-registered investment adviser | $1 billion to $5 billion | 6 | % of assets, Performance fee |
| [Van Liew Capital Inc](https://advisorcensus.com/firm/van-liew-capital-inc-providence-ri-105502) ([md](https://advisorcensus.com/firm/van-liew-capital-inc-providence-ri-105502.md)) | 105502 | Providence, RI | State-registered investment adviser | $25 million to $100 million | 17 | % of assets, Hourly, Fixed fee |
| [Veritas Wealth Management](https://advisorcensus.com/firm/veritas-wealth-management-north-kingstown-ri-341084) ([md](https://advisorcensus.com/firm/veritas-wealth-management-north-kingstown-ri-341084.md)) | 341084 | North Kingstown, RI | SEC-registered investment adviser | $100 million to $500 million | 0 | % of assets, Hourly, Fixed fee |
| [Vetta Investments](https://advisorcensus.com/firm/vetta-investments-141643) ([md](https://advisorcensus.com/firm/vetta-investments-141643.md)) | 141643 | Not reported, Not reported | State-registered investment adviser | Under $25 million | 7 | % of assets |
| [Wealth Management Resources, Inc.](https://advisorcensus.com/firm/wealth-management-resources-inc-smithfield-ri-45452) ([md](https://advisorcensus.com/firm/wealth-management-resources-inc-smithfield-ri-45452.md)) | 45452 | Smithfield, RI | SEC-registered investment adviser | $100 million to $500 million | 26 | % of assets, Hourly, Fixed fee, Commissions |
| [Wealthcare Investment Partners LLC](https://advisorcensus.com/firm/wealthcare-investment-partners-llc-portsmouth-ri-296475) ([md](https://advisorcensus.com/firm/wealthcare-investment-partners-llc-portsmouth-ri-296475.md)) | 296475 | Portsmouth, RI | SEC-registered investment adviser | $500 million to $1 billion | 8 | % of assets, Hourly, Fixed fee |
| [Weybosset Research & Management, LLC](https://advisorcensus.com/firm/weybosset-research-and-management-llc-providence-ri-108047) ([md](https://advisorcensus.com/firm/weybosset-research-and-management-llc-providence-ri-108047.md)) | 108047 | Providence, RI | SEC-registered investment adviser | $100 million to $500 million | 26 | % of assets, Fixed fee, Performance fee |
| [Wickford Wealth Management, LLC](https://advisorcensus.com/firm/wickford-wealth-management-llc-north-kingstown-ri-164675) ([md](https://advisorcensus.com/firm/wickford-wealth-management-llc-north-kingstown-ri-164675.md)) | 164675 | North Kingstown, RI | State-registered investment adviser | $25 million to $100 million | 14 | % of assets, Hourly, Fixed fee |
| [Wildflower Wealth Advisors, LLC](https://advisorcensus.com/firm/wildflower-wealth-advisors-llc-329165) ([md](https://advisorcensus.com/firm/wildflower-wealth-advisors-llc-329165.md)) | 329165 | Not reported, Not reported | State-registered investment adviser | Not reported | 2 | Other |
| [Young Richard C & Co Ltd](https://advisorcensus.com/firm/young-richard-c-and-co-ltd-newport-ri-105866) ([md](https://advisorcensus.com/firm/young-richard-c-and-co-ltd-newport-ri-105866.md)) | 105866 | Newport, RI | SEC-registered investment adviser | $1 billion to $5 billion | 36 | % of assets |
| [Zarathustra Wealth Management](https://advisorcensus.com/firm/zarathustra-wealth-management-providence-ri-330510) ([md](https://advisorcensus.com/firm/zarathustra-wealth-management-providence-ri-330510.md)) | 330510 | Providence, RI | State-registered investment adviser | Under $25 million | 2 | % of assets, Hourly |

- Previous page: https://advisorcensus.com/advisors/ri.md

## Questions people ask

**How many financial advisory firms are there in Rhode Island?**
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.

**How many fee-only financial advisors are in Rhode Island?**
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.

**How many financial advisors in Rhode Island offer financial planning?**
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.

**Are the financial advisors in Rhode Island fiduciaries?**
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.

**How do I check whether a financial advisor has disciplinary disclosures?**
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.

**Does AdvisorCensus rate, verify, or recommend these firms?**
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.

**What does regulatory assets under management mean?**
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.

## Related pages

- [Financial advisors in Rhode Island](https://advisorcensus.com/advisors/ri) (https://advisorcensus.com/advisors/ri.md)
- [Fee-only financial advisors in Rhode Island](https://advisorcensus.com/advisors/ri/fee-only) (https://advisorcensus.com/advisors/ri/fee-only.md)
- [Flat-fee financial advisors in Rhode Island](https://advisorcensus.com/advisors/ri/flat-fee) (https://advisorcensus.com/advisors/ri/flat-fee.md)
- [Hourly financial advisors in Rhode Island](https://advisorcensus.com/advisors/ri/hourly) (https://advisorcensus.com/advisors/ri/hourly.md)

Every firm in this list as CSV: https://advisorcensus.com/advisors/ri.csv

Cite as: AdvisorCensus. Financial advisors in Rhode Island: 91 firms from Form ADV filings as of October 2026.