RIA firms in Rhode Island
1,296 RIA firms are registered or notice filed in Rhode Island: 84 state registered and 1,212 federally registered. 79 are headquartered here.
Another 12 state registered advisers with no address on file are registered only in Rhode Island. 3 exempt reporting advisers also file in Rhode Island and are not counted as RIA firms. #40 of 52 by RIA firms headquartered.
The largest RIA firms headquartered in Rhode Island, by adviser headcount.
| Firm | Advisers | Reported AUM | Registration | City |
|---|---|---|---|---|
| Citizens Securities, Inc.also a Broker Dealer | 761 | $12.9B | Federally registered | Johnston |
| Parsons Capital Management Inc | 14 | $2.4B | Federally registered | Providence |
| Capital Wealth Management, LLC | 12 | $1.1B | Federally registered | West Warwick |
| Bentley Wealth Advisors, LLC | 12 | not reported | State registered | Warwick |
| Young Richard C & Co Ltd | 9 | $1.8B | Federally registered | Newport |
| Professional Planning Group | 9 | $1.3B | Federally registered | Westerly |
| Ncu Investment Solutions | 9 | $108M | Federal and state | Smithfield |
| Brown, Lisle/Cummings, Inc.also a Broker Dealer | 8 | $487M | Federally registered | Providence |
| Axis Wealth Partners, LLC | 7 | $377M | Federally registered | East Providence |
| Strategicpoint Investment Advisors LLC | 6 | $915M | Federally registered | Providence |
Most advisers based in Rhode Island
Advisers registered and working in Rhode Island, by firm, wherever the firm is headquartered.
Reported AUM
Of the RIA firms headquartered in Rhode Island that report assets. Advisers each report the assets they manage, so assets one firm sub-advises for another are counted by both.
- Total reported
- $427B
- Firms reporting
- 71
- Median, federally registered
- $394M
- Median, state registered
- $40M
One firm reports 82% of Rhode Island's reported AUM.
How they charge
Share of the 77 firms headquartered here that report their fees.
Who they serve
Share of the 71 firms headquartered here that report their client types.
Cities
RIA firms headquartered in each city.
Newly registered firms
RIA firms headquartered here, by the year they first registered.
Every firm, every rep, one record.
A registration lookup shows one firm or one person at a time. Accupoint connects them: each firm with its filings, its offices, its executives and every rep and adviser who works there, each of them on their own record across insurance, Broker Dealer and advisory data.
Size, registrations and practice
Reported AUM, accounts and employees where filed, registrations by state, fee structure, client types and services.
Executives and every rep
Executive officers and the reps and advisers at each firm, with their licenses, registrations and employment history.
Headquarters and branches
Where each firm is based and, for Broker Dealers, every branch office with the reps who work there.
Search, CRM, Claude and ChatGPT
Search and export firms and their people, push records to your CRM (ask which CRMs your account supports), or ask Accupoint from Claude or ChatGPT, in preview.
Rhode Island RIA firms, answered.
How many RIA firms are registered in Rhode Island?
1,296 RIA firms are registered or notice filed in Rhode Island: 84 state registered and 1,212 federally registered. 79 are headquartered there.
Which RIA firms in Rhode Island have the most advisers?
Citizens Securities, Inc. (761 advisers), Parsons Capital Management Inc (14 advisers) and Capital Wealth Management, LLC (12 advisers).
How much do RIA firms in Rhode Island manage?
The 71 RIA firms headquartered in Rhode Island that report assets report $427B in total. The median is $394M for federally registered firms and $40M for state registered firms.
What is the difference between state and federally registered RIA firms?
Smaller advisers register with the states where they work. Larger advisers register federally and notice file in the states where they have clients, so both appear here.
Can I send these firms to my CRM or ask about them from Claude or ChatGPT?
Yes, on a plan that includes them. Push records to your CRM (ask which CRMs your account supports), or ask Accupoint from Claude or ChatGPT, in preview.
Is Accupoint a government agency?
No. Accupoint is an independent data company, not a government agency and not a consumer reporting agency.
Registered or notice filed in Rhode Island counts state registered firms and federally registered firms that notice file in the state; exempt reporting advisers are not counted as RIA firms. Headquartered means the firm's main office address. Reported AUM is as each firm reports it. Each firm is counted once.
Accupoint is an independent data company, not a government agency. Accupoint is not a consumer reporting agency.
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