# Financial advisors for high-net-worth individuals in Providence, RI

> AdvisorCensus lists 75 investment advisory firms with a principal office in the Providence metro area that report high-net-worth individuals among their clients on Form ADV Item 5.D, from filings as of October 2026. Item 5.D asks each firm which types of clients it advises; reporting a client type means the firm serves it, not that it serves only that type. Firms are listed alphabetically; each firm's page lists its client types as filed.

Source: Form ADV filings as of October 2026. Rebuilt monthly. HTML page: https://advisorcensus.com/advisors/ri/providence/for-high-net-worth-individuals

## At a glance

- Investment advisory firms: 75
- Registration: SEC-registered investment adviser: 52, State-registered investment adviser: 23
- How firms are compensated (Form ADV Item 5.E; shares of the firms that file it): Fee-only (AdvisorCensus test) 34 (45%); Percentage of assets 73 (97%); Hourly charges 40 (53%); Subscription fees (newsletter or periodical) 1 (1%); Fixed fees 51 (68%); Commissions 5 (7%); Performance-based fees 2 (3%); Other 8 (11%)
- Regulatory assets under management (Item 5.F): Under $25 million 5 (7%); $25 million to $100 million 17 (23%); $100 million to $500 million 34 (45%); $500 million to $1 billion 11 (15%); $1 billion to $5 billion 6 (8%); Over $5 billion 2 (3%)
- Years registered: Under 5 years 23 (31%); 5 to 9 years 15 (20%); 10 to 19 years 13 (17%); 20 years or more 24 (32%)

## Firms (page 1 of 2, 1 to 50 of 75, sorted by name)

| Firm | CRD | City | Registration | Assets band | Years registered | Compensation |
| --- | --- | --- | --- | --- | --- | --- |
| [Alpha DOG Advisors, Ruff](https://advisorcensus.com/firm/alpha-dog-advisors-ruff-cranston-ri-152001) ([md](https://advisorcensus.com/firm/alpha-dog-advisors-ruff-cranston-ri-152001.md)) | 152001 | Cranston, RI | SEC-registered investment adviser | $100 million to $500 million | 4 | % of assets, Other |
| [Arlen Capital, LLC](https://advisorcensus.com/firm/arlen-capital-llc-warwick-ri-118113) ([md](https://advisorcensus.com/firm/arlen-capital-llc-warwick-ri-118113.md)) | 118113 | Warwick, RI | SEC-registered investment adviser | $100 million to $500 million | 22 | % of assets |
| [Axis Wealth Partners, LLC](https://advisorcensus.com/firm/axis-wealth-partners-llc-east-providence-ri-167122) ([md](https://advisorcensus.com/firm/axis-wealth-partners-llc-east-providence-ri-167122.md)) | 167122 | East Providence, RI | SEC-registered investment adviser | $100 million to $500 million | 5 | % of assets, Hourly, Fixed fee |
| [Balanced Wealth Management, LLC.](https://advisorcensus.com/firm/balanced-wealth-management-llc-west-warwick-ri-174699) ([md](https://advisorcensus.com/firm/balanced-wealth-management-llc-west-warwick-ri-174699.md)) | 174699 | West Warwick, RI | SEC-registered investment adviser | $100 million to $500 million | 0 | % of assets |
| [Barrett & Company](https://advisorcensus.com/firm/barrett-and-company-providence-ri-1175) ([md](https://advisorcensus.com/firm/barrett-and-company-providence-ri-1175.md)) | 1175 | Providence, RI | SEC-registered investment adviser | $500 million to $1 billion | 9 | % of assets |
| [Barry Investment Advisors, LLC](https://advisorcensus.com/firm/barry-investment-advisors-llc-new-bedford-ma-144955) ([md](https://advisorcensus.com/firm/barry-investment-advisors-llc-new-bedford-ma-144955.md)) | 144955 | New Bedford, MA | SEC-registered investment adviser | $500 million to $1 billion | 18 | % of assets, Fixed fee |
| [Blue Chip Financial Advisors, LLC](https://advisorcensus.com/firm/blue-chip-financial-advisors-llc-east-providence-ri-119510) ([md](https://advisorcensus.com/firm/blue-chip-financial-advisors-llc-east-providence-ri-119510.md)) | 119510 | East Providence, RI | SEC-registered investment adviser | $100 million to $500 million | 0 | % of assets, Hourly, Fixed fee |
| [Blue FIN Capital, Inc.](https://advisorcensus.com/firm/blue-fin-capital-inc-warren-ri-108451) ([md](https://advisorcensus.com/firm/blue-fin-capital-inc-warren-ri-108451.md)) | 108451 | Warren, RI | SEC-registered investment adviser | $500 million to $1 billion | 27 | % of assets |
| [Bountiful Investment Management LLC](https://advisorcensus.com/firm/bountiful-investment-management-llc-rumford-ri-281437) ([md](https://advisorcensus.com/firm/bountiful-investment-management-llc-rumford-ri-281437.md)) | 281437 | Rumford, RI | SEC-registered investment adviser | $100 million to $500 million | 2 | % of assets, Hourly, Fixed fee |
| [Breachway Investments, LLC](https://advisorcensus.com/firm/breachway-investments-llc-charlestown-ri-299102) ([md](https://advisorcensus.com/firm/breachway-investments-llc-charlestown-ri-299102.md)) | 299102 | Charlestown, RI | SEC-registered investment adviser | $100 million to $500 million | 2 | % of assets, Hourly |
| [Bristol Wealth Group](https://advisorcensus.com/firm/bristol-wealth-group-taunton-ma-330145) ([md](https://advisorcensus.com/firm/bristol-wealth-group-taunton-ma-330145.md)) | 330145 | Taunton, MA | SEC-registered investment adviser | $500 million to $1 billion | 2 | % of assets, Hourly, Fixed fee |
| [Brown Advisory Group, LLC](https://advisorcensus.com/firm/brown-advisory-group-llc-east-providence-ri-139651) ([md](https://advisorcensus.com/firm/brown-advisory-group-llc-east-providence-ri-139651.md)) | 139651 | East Providence, RI | State-registered investment adviser | $25 million to $100 million | 20 | % of assets, Hourly, Fixed fee, Other |
| [Brown, LISLE/CUMMINGS, Inc](https://advisorcensus.com/firm/brown-lisle-cummings-inc-providence-ri-1331) ([md](https://advisorcensus.com/firm/brown-lisle-cummings-inc-providence-ri-1331.md)) | 1331 | Providence, RI | SEC-registered investment adviser | $100 million to $500 million | 5 | % of assets, Fixed fee |
| [Canton Hathaway LLC](https://advisorcensus.com/firm/canton-hathaway-llc-providence-ri-297527) ([md](https://advisorcensus.com/firm/canton-hathaway-llc-providence-ri-297527.md)) | 297527 | Providence, RI | SEC-registered investment adviser | $500 million to $1 billion | 8 | % of assets, Fixed fee |
| [Capital Wealth Management, LLC](https://advisorcensus.com/firm/capital-wealth-management-llc-west-warwick-ri-157959) ([md](https://advisorcensus.com/firm/capital-wealth-management-llc-west-warwick-ri-157959.md)) | 157959 | West Warwick, RI | SEC-registered investment adviser | $1 billion to $5 billion | 14 | % of assets, Fixed fee |
| [Carlson Planning Company](https://advisorcensus.com/firm/carlson-planning-company-mansfield-ma-300667) ([md](https://advisorcensus.com/firm/carlson-planning-company-mansfield-ma-300667.md)) | 300667 | Mansfield, MA | State-registered investment adviser | Under $25 million | 6 | % of assets, Subscription, Fixed fee, Other |
| [CB Capital LLC](https://advisorcensus.com/firm/cb-capital-llc-north-smithfield-ri-300200) ([md](https://advisorcensus.com/firm/cb-capital-llc-north-smithfield-ri-300200.md)) | 300200 | North Smithfield, RI | SEC-registered investment adviser | $100 million to $500 million | 0 | % of assets, Hourly, Fixed fee |
| [CCM Investment Management, LLC](https://advisorcensus.com/firm/ccm-investment-management-llc-new-bedford-ma-290483) ([md](https://advisorcensus.com/firm/ccm-investment-management-llc-new-bedford-ma-290483.md)) | 290483 | New Bedford, MA | State-registered investment adviser | Under $25 million | 8 | % of assets, Hourly, Commissions |
| [Charles J. Means & Co., LLC](https://advisorcensus.com/firm/charles-j-means-and-co-llc-providence-ri-120178) ([md](https://advisorcensus.com/firm/charles-j-means-and-co-llc-providence-ri-120178.md)) | 120178 | Providence, RI | State-registered investment adviser | $25 million to $100 million | 14 | % of assets, Fixed fee |
| [Citizens Securities, Inc.](https://advisorcensus.com/firm/citizens-securities-inc-johnston-ri-39550) ([md](https://advisorcensus.com/firm/citizens-securities-inc-johnston-ri-39550.md)) | 39550 | Johnston, RI | SEC-registered investment adviser | Over $5 billion | 23 | % of assets |
| [Clarity Retirement & Wealth, LLC](https://advisorcensus.com/firm/clarity-retirement-and-wealth-llc-new-bedford-ma-337718) ([md](https://advisorcensus.com/firm/clarity-retirement-and-wealth-llc-new-bedford-ma-337718.md)) | 337718 | New Bedford, MA | SEC-registered investment adviser | $100 million to $500 million | 1 | % of assets |
| [Constant Guidance Financial, LLC](https://advisorcensus.com/firm/constant-guidance-financial-llc-north-attleboro-ma-172612) ([md](https://advisorcensus.com/firm/constant-guidance-financial-llc-north-attleboro-ma-172612.md)) | 172612 | North Attleboro, MA | SEC-registered investment adviser | $100 million to $500 million | 3 | % of assets, Hourly, Fixed fee |
| [Copper Beech Wealth Management](https://advisorcensus.com/firm/copper-beech-wealth-management-mansfield-ma-321059) ([md](https://advisorcensus.com/firm/copper-beech-wealth-management-mansfield-ma-321059.md)) | 321059 | Mansfield, MA | State-registered investment adviser | $25 million to $100 million | 4 | % of assets, Hourly, Fixed fee |
| [Cornerstone Investment Services](https://advisorcensus.com/firm/cornerstone-investment-services-providence-ri-129164) ([md](https://advisorcensus.com/firm/cornerstone-investment-services-providence-ri-129164.md)) | 129164 | Providence, RI | State-registered investment adviser | $25 million to $100 million | 14 | % of assets, Hourly, Fixed fee |
| [Creative Resources Investment Advisors LLC](https://advisorcensus.com/firm/creative-resources-investment-advisors-llc-cranston-ri-110484) ([md](https://advisorcensus.com/firm/creative-resources-investment-advisors-llc-cranston-ri-110484.md)) | 110484 | Cranston, RI | State-registered investment adviser | Under $25 million | 14 | % of assets |
| [D & P Investment Advisors, Ltd.](https://advisorcensus.com/firm/d-and-p-investment-advisors-ltd-wakefield-ri-119631) ([md](https://advisorcensus.com/firm/d-and-p-investment-advisors-ltd-wakefield-ri-119631.md)) | 119631 | Wakefield, RI | SEC-registered investment adviser | $100 million to $500 million | 4 | % of assets, Hourly, Fixed fee |
| [Dana R. Norman](https://advisorcensus.com/firm/dana-r-norman-swansea-ma-129377) ([md](https://advisorcensus.com/firm/dana-r-norman-swansea-ma-129377.md)) | 129377 | Swansea, MA | State-registered investment adviser | $100 million to $500 million | 29 | % of assets |
| [Delphinus Financial Advisors, LLC](https://advisorcensus.com/firm/delphinus-financial-advisors-llc-mansfield-ma-152952) ([md](https://advisorcensus.com/firm/delphinus-financial-advisors-llc-mansfield-ma-152952.md)) | 152952 | Mansfield, MA | SEC-registered investment adviser | $100 million to $500 million | 2 | Fixed fee |
| [Diversified Resources, LLC](https://advisorcensus.com/firm/diversified-resources-llc-warwick-ri-31346) ([md](https://advisorcensus.com/firm/diversified-resources-llc-warwick-ri-31346.md)) | 31346 | Warwick, RI | SEC-registered investment adviser | $100 million to $500 million | 10 | % of assets, Hourly, Fixed fee |
| [Efficient Capital Strategies, LLC](https://advisorcensus.com/firm/efficient-capital-strategies-llc-barrington-ri-283922) ([md](https://advisorcensus.com/firm/efficient-capital-strategies-llc-barrington-ri-283922.md)) | 283922 | Barrington, RI | State-registered investment adviser | Under $25 million | 10 | % of assets, Hourly, Fixed fee |
| [Eisenhilfer Capital LLC](https://advisorcensus.com/firm/eisenhilfer-capital-llc-lincoln-ri-321763) ([md](https://advisorcensus.com/firm/eisenhilfer-capital-llc-lincoln-ri-321763.md)) | 321763 | Lincoln, RI | State-registered investment adviser | $25 million to $100 million | 4 | % of assets, Hourly, Fixed fee |
| [Eliot Rose Wealth Management, LLC](https://advisorcensus.com/firm/eliot-rose-wealth-management-llc-providence-ri-120465) ([md](https://advisorcensus.com/firm/eliot-rose-wealth-management-llc-providence-ri-120465.md)) | 120465 | Providence, RI | SEC-registered investment adviser | $100 million to $500 million | 5 | % of assets, Fixed fee |
| [Equitytrust](https://advisorcensus.com/firm/equitytrust-raynham-ctr-ma-127412) ([md](https://advisorcensus.com/firm/equitytrust-raynham-ctr-ma-127412.md)) | 127412 | Raynham Ctr., MA | State-registered investment adviser | $25 million to $100 million | 32 | % of assets |
| [Experience Your Wealth, LLC](https://advisorcensus.com/firm/experience-your-wealth-llc-providence-ri-305991) ([md](https://advisorcensus.com/firm/experience-your-wealth-llc-providence-ri-305991.md)) | 305991 | Providence, RI | SEC-registered investment adviser | $100 million to $500 million | 0 | Hourly, Fixed fee, Other |
| [Fiam LLC](https://advisorcensus.com/firm/fiam-llc-smithfield-ri-133196) ([md](https://advisorcensus.com/firm/fiam-llc-smithfield-ri-133196.md)) | 133196 | Smithfield, RI | SEC-registered investment adviser | Over $5 billion | 21 | % of assets, Performance fee, Other |
| [Financial Independence, LLC](https://advisorcensus.com/firm/financial-independence-llc-warwick-ri-150515) ([md](https://advisorcensus.com/firm/financial-independence-llc-warwick-ri-150515.md)) | 150515 | Warwick, RI | SEC-registered investment adviser | $100 million to $500 million | 5 | % of assets, Hourly, Fixed fee |
| [First Financial Advisory Services Inc](https://advisorcensus.com/firm/first-financial-advisory-services-inc-westerly-ri-105031) ([md](https://advisorcensus.com/firm/first-financial-advisory-services-inc-westerly-ri-105031.md)) | 105031 | Westerly, RI | SEC-registered investment adviser | $100 million to $500 million | 42 | % of assets, Hourly, Fixed fee, Commissions |
| [Five Corners Financial Services](https://advisorcensus.com/firm/five-corners-financial-services-easton-ma-338120) ([md](https://advisorcensus.com/firm/five-corners-financial-services-easton-ma-338120.md)) | 338120 | Easton, MA | SEC-registered investment adviser | $100 million to $500 million | 1 | % of assets, Fixed fee |
| [Forbes Financial Planning, Inc.](https://advisorcensus.com/firm/forbes-financial-planning-inc-east-greenwich-ri-143912) ([md](https://advisorcensus.com/firm/forbes-financial-planning-inc-east-greenwich-ri-143912.md)) | 143912 | East Greenwich, RI | SEC-registered investment adviser | $100 million to $500 million | 6 | % of assets, Hourly, Fixed fee |
| [Great Oak Capital Partners, LLC](https://advisorcensus.com/firm/great-oak-capital-partners-llc-south-easton-ma-281045) ([md](https://advisorcensus.com/firm/great-oak-capital-partners-llc-south-easton-ma-281045.md)) | 281045 | South Easton, MA | SEC-registered investment adviser | $100 million to $500 million | 7 | % of assets, Hourly, Fixed fee |
| [Hall Capital Management Company, Inc.](https://advisorcensus.com/firm/hall-capital-management-company-inc-barrington-ri-108141) ([md](https://advisorcensus.com/firm/hall-capital-management-company-inc-barrington-ri-108141.md)) | 108141 | Barrington, RI | SEC-registered investment adviser | $100 million to $500 million | 29 | % of assets, Hourly, Fixed fee |
| [Invest Track Financial, LLC](https://advisorcensus.com/firm/invest-track-financial-llc-narragansett-ri-323211) ([md](https://advisorcensus.com/firm/invest-track-financial-llc-narragansett-ri-323211.md)) | 323211 | Narragansett, RI | State-registered investment adviser | $25 million to $100 million | 4 | % of assets, Fixed fee |
| [Lincoln Capital Corporation](https://advisorcensus.com/firm/lincoln-capital-corporation-east-greenwich-ri-109922) ([md](https://advisorcensus.com/firm/lincoln-capital-corporation-east-greenwich-ri-109922.md)) | 109922 | East Greenwich, RI | SEC-registered investment adviser | $100 million to $500 million | 35 | % of assets, Fixed fee |
| [Lodestar Wealth, LLC](https://advisorcensus.com/firm/lodestar-wealth-llc-providence-ri-308028) ([md](https://advisorcensus.com/firm/lodestar-wealth-llc-providence-ri-308028.md)) | 308028 | Providence, RI | State-registered investment adviser | $25 million to $100 million | 6 | % of assets, Hourly, Fixed fee |
| [Macdonald Wealth Management, LLC](https://advisorcensus.com/firm/macdonald-wealth-management-llc-mansfield-ma-300063) ([md](https://advisorcensus.com/firm/macdonald-wealth-management-llc-mansfield-ma-300063.md)) | 300063 | Mansfield, MA | State-registered investment adviser | $25 million to $100 million | 7 | % of assets, Hourly, Fixed fee |
| [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 |
| [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 |
| [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 |

- Next page: https://advisorcensus.com/advisors/ri/providence/for-high-net-worth-individuals/page/2.md

## Questions people ask

**Which financial advisors in Providence, RI work with high-net-worth individuals?**
75 investment advisory firms with a principal office in the Providence metro area report high-net-worth individuals among their clients on Form ADV Item 5.D, as of October 2026; this page lists them. Form ADV Item 5.D asks every registered adviser which types of clients it advises, with the number of each and the assets it manages for them; a firm appears here when it reports at least one.

**How many financial advisory firms are there in Providence, RI?**
AdvisorCensus lists 110 investment advisory firms with a principal office in the Providence metro area, from Form ADV filings as of October 2026: 60 SEC-registered, 46 state-registered, and 4 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 Providence, RI?**
45 of the 110 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 Providence, RI offer financial planning?**
78 of the 106 firms in Providence, RI 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 Providence, RI 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 45 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)
- [Financial advisors in Providence, RI](https://advisorcensus.com/advisors/ri/providence) (https://advisorcensus.com/advisors/ri/providence.md)
- [Fee-only financial advisors in Providence, RI](https://advisorcensus.com/advisors/ri/providence/fee-only) (https://advisorcensus.com/advisors/ri/providence/fee-only.md)
- [Flat-fee financial advisors in Providence, RI](https://advisorcensus.com/advisors/ri/providence/flat-fee) (https://advisorcensus.com/advisors/ri/providence/flat-fee.md)
- [Hourly financial advisors in Providence, RI](https://advisorcensus.com/advisors/ri/providence/hourly) (https://advisorcensus.com/advisors/ri/providence/hourly.md)
- [Financial advisors for pre-retirees in Providence, RI](https://advisorcensus.com/advisors/ri/providence/pre-retirees) (https://advisorcensus.com/advisors/ri/providence/pre-retirees.md)
- [Financial advisors for retirees in Providence, RI](https://advisorcensus.com/advisors/ri/providence/retirees) (https://advisorcensus.com/advisors/ri/providence/retirees.md)
- [Financial advisors in Warwick, RI](https://advisorcensus.com/advisors/ri/providence/warwick) (https://advisorcensus.com/advisors/ri/providence/warwick.md)

Cite as: AdvisorCensus. Financial advisors for high-net-worth individuals in Providence, RI: 75 firms from Form ADV filings as of October 2026.