SEC-registered financial advisors in Rhode Island
This page lists 42 advisory firms with a main office in Rhode Island that are registered with the SEC and report individual clients. It is not every advisor in Rhode Island. Firms registered with Rhode Island's securities regulator instead of the SEC, and some SEC-registered firms, are not shown. The firms are listed A to Z. It is a list, not a ranking and not a recommendation. Registration does not mean the SEC approves or recommends a firm, and it does not imply a certain level of skill or training.
Firms registered with the SEC in the last 12 months
City pages in Rhode Island
There are no city pages for Rhode Island yet.
Showing 24 of 42
- Alpha Dog Advisors, Ruff$100M to $500MSEC recordPercentage of assetsOther
- Arlen Capital, LLC$100M to $500MSEC recordPercentage of assets
- Axis Wealth Partners, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Balanced Wealth Management, LLC.$100M to $500MSEC recordPercentage of assets
- Barrett & Company$500M to $1BSEC recordPercentage of assets
- Blue Chip Financial Advisors, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Blue Fin Capital, Inc.$500M to $1BSEC recordPercentage of assets
- Bountiful Investment Management LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Breachway Investments, LLC$100M to $500MSEC recordPercentage of assetsHourly
- Brown, Lisle/Cummings, Inc$100M to $500MSEC recordPercentage of assetsFixed or flat fee
- Canton Hathaway LLC$500M to $1BSEC recordPercentage of assetsFixed or flat fee
- Capital Wealth Management, LLC$1B or moreSEC recordPercentage of assetsFixed or flat fee
- CB Capital LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Citizens Securities, Inc.$1B or moreSEC recordPercentage of assets
- D & P Investment Advisors, Ltd.$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Diversified Resources, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Eliot Rose Wealth Management, LLC$100M to $500MSEC recordPercentage of assetsFixed or flat fee
- Fiam LLC$1B or moreSEC recordPercentage of assetsPerformance-basedOther
- Financial Independence, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- First Financial Advisory Services Inc$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat feeCommissions
- Forbes Financial Planning, Inc.$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Hall Capital Management Company, Inc.$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Lincoln Capital Corporation$100M to $500MSEC recordPercentage of assetsFixed or flat fee
- McGuire Wealth Management$1B or moreSEC recordPercentage of assets
- Mystic Asset Management$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat feeCommissions
- Ncu Investment Solutions$100M to $500MSEC recordPercentage of assets
- Newman Dignan & Sheerar, Inc$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat feeOther
- Parsons Capital Management Inc$1B or moreSEC recordPercentage of assetsHourlyFixed or flat fee
- Professional Planning Group$1B or moreSEC recordPercentage of assetsHourlyFixed or flat fee
- Sheeley & Partners Wealth Management, LLC$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Signet Investment Advisory Group, Inc.$100M to $500MSEC recordPercentage of assets
- SK Wealth Management, LLC$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat fee
- Slocum, Gordon & Co. LLP$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Sowa Financial Group$500M to $1BSEC recordPercentage of assetsFixed or flat fee
- Strategicpoint Investment Advisors LLC$500M to $1BSEC recordPercentage of assetsHourlyOther
- The Retirement Planning Company of New England, Inc.$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat feeCommissions
- Unison$1B or moreSEC recordPercentage of assets
- Veritas Wealth Management$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat fee
- Wealth Management Resources, Inc.$100M to $500MSEC recordPercentage of assetsHourlyFixed or flat feeCommissions
- Wealthcare Investment Partners LLC$500M to $1BSEC recordPercentage of assetsHourlyFixed or flat fee
- Weybosset Research & Management, LLC$100M to $500MSEC recordPercentage of assetsFixed or flat feePerformance-based
- Young Richard C & Co Ltd$1B or moreSEC recordPercentage of assets
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.