AdvisorCensus / Financial advisors / Rhode Island / Providence / Blue FIN Capital, Inc.
Blue FIN Capital, Inc. is an SEC-registered investment advisory firm in Warren, RI, registered since 1998, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 11, 2026.
Quick answers
From the filingHow is Blue FIN Capital, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Blue FIN Capital, Inc. reports these compensation arrangements: a percentage of assets under its management.
Where is Blue FIN Capital, Inc. located?
Blue FIN Capital, Inc.'s principal office is in Warren, RI, according to its Form ADV.
Is Blue FIN Capital, Inc. registered with the SEC or a state?
Blue FIN Capital, Inc. is an SEC-registered investment advisory firm, registered since 1998. Status as filed: Approved. CRD 108451.
How much does Blue FIN Capital, Inc. manage?
Blue FIN Capital, Inc. reports $755,923,825 in regulatory assets under management in its Form ADV filing dated March 11, 2026 (100% discretionary).
How have Blue FIN Capital, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Blue FIN Capital, Inc.: Regulatory assets under management: $353,881,986 in the October 2021 data and $755,923,825 in the October 2026 data, up 114%. Total employees: 4 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Blue FIN Capital, Inc. serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (402); individuals (other than high net worth individuals) (266); corporations or other businesses not listed above (15).
Which custodians does Blue FIN Capital, Inc. use?
Blue FIN Capital, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets.
Does Blue FIN Capital, Inc. report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/108451
Does Blue FIN Capital, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated March 11, 2026 says: "As a condition for starting and maintaining an advisory relationship, we generally require a minimum portfolio size of $1,000,000 We, at our sole discretion, may accept clients with smaller portfolios"
What changed in Blue FIN Capital, Inc.'s recent Form ADV filings?
In the April 2026 filing data: Regulatory assets under management went from $650,645,952 to $755,923,825 (+16%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)
The brochure's wording
As a condition for starting and maintaining an advisory relationship, we generally require a minimum portfolio size of $1,000,000 We, at our sole discretion, may accept clients with smaller portfolios
As stated in the firm's Form ADV Part 2A brochure dated March 11, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$755,923,825 as of October 2026, filing dated March 11, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 1998 (27 years)
- Employees
- Total: 4. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
5 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $755,923,825 | 4 | March 11, 2026 |
| October 2025 | $650,645,952 | 4 | March 10, 2025 |
| October 2024 | $507,466,218 | 4 | February 28, 2024 |
| October 2023 | $365,740,980 | 4 | February 14, 2023 |
| October 2022 | $402,991,928 | 4 | September 6, 2022 |
| October 2021 | $353,881,986 | 4 | March 17, 2021 |
Regulatory assets under management: $353,881,986 in the October 2021 data and $755,923,825 in the October 2026 data, up 114%.
Total employees: 4 in October 2021 and 4 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Regulatory assets under management went from $650,645,952 to $755,923,825 (+16%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Blue FIN Capital, Inc. (CRD 108451): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/blue-fin-capital-inc-warren-ri-108451