Skip to content
INVESTORTRUST HUB
My InvestorMy TrustHub

InvestorTrustHub specialist search

Research investment advisers

What do you want to find out?

Natural language is mapped to bounded SEC/IARD and Form ADV research. Registration is not endorsement, and missing evidence is not a clean history.

We interpreted your question as

Research task
firm discovery
Firm class
RIA + ERA (separate classes)
office state
RI — APPLIED

Natural-language parsing and regulatory execution stay separate. Change the question and resubmit.

Distribution

  • Matching firm facts51

form_adv_firm_facts rows matching filters

  1. SOWA FINANCIAL GROUP

    Registered investment adviser (RIA)
    CRD
    107646
    Principal office
    LINCOLN, RI, 02865
    RAUM (Item 5F(2)(c))
    $517.0 million ($517,016,775.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    Latest ADV filing in extract
    2026-02-12
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Rhode Island.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 107646; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  2. STRATEGICPOINT INVESTMENT ADVISORS LLC

    Registered investment adviser (RIA)
    CRD
    124636
    Principal office
    PROVIDENCE, RI, 02903-1004
    RAUM (Item 5F(2)(c))
    $914.8 million ($914,758,697.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Other
    Latest ADV filing in extract
    2026-03-30
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Rhode Island.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 124636; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  3. THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.

    Registered investment adviser (RIA)
    CRD
    108705
    Principal office
    WARWICK, RI, 02888
    RAUM (Item 5F(2)(c))
    $394.4 million ($394,398,625.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees; Commissions
    Latest ADV filing in extract
    2026-03-13
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Rhode Island.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 108705; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  4. TRANSWESTERN CAPITAL ADVISORS, LLC

    Registered investment adviser (RIA)
    CRD
    141605
    Principal office
    NEWPORT, RI, 02840
    RAUM (Item 5F(2)(c))
    $73.7 million ($73,678,904.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    Latest ADV filing in extract
    2026-03-31
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Rhode Island.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 141605; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  5. UNISON

    Registered investment adviser (RIA)
    CRD
    155470
    Principal office
    PROVIDENCE, RI, 02903
    RAUM (Item 5F(2)(c))
    $2.0 billion ($2,021,040,000.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management
    Latest ADV filing in extract
    2026-03-30
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Rhode Island.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 155470; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  6. UPPER90

    Registered investment adviser (RIA)
    CRD
    304179
    Principal office
    PROVIDENCE, RI, 02903
    RAUM (Item 5F(2)(c))
    $1.1 billion ($1,105,342,447.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Performance-based fees
    Latest ADV filing in extract
    2026-03-26
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Rhode Island.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 304179; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  7. VERITAS WEALTH MANAGEMENT

    RIA — pending / 120-day
    CRD
    341084
    Principal office
    NORTH KINGSTOWN, RI, 02852
    RAUM (Item 5F(2)(c))
    $0.00 ($0.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-07-15
    Source status text
    120-Day Approval

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Rhode Island.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 341084; RIA — pending / 120-day
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  8. WEALTH MANAGEMENT RESOURCES, INC.

    Registered investment adviser (RIA)
    CRD
    45452
    Principal office
    SMITHFIELD, RI, 02917
    RAUM (Item 5F(2)(c))
    $385.2 million ($385,200,640.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees; Commissions
    Latest ADV filing in extract
    2026-07-24
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Rhode Island.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 45452; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  9. WEALTHCARE INVESTMENT PARTNERS LLC

    Registered investment adviser (RIA)
    CRD
    296475
    Principal office
    PORTSMOUTH, RI, 02871
    RAUM (Item 5F(2)(c))
    $859.6 million ($859,629,575.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-03-17
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Rhode Island.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 296475; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  10. WEYBOSSET RESEARCH & MANAGEMENT, LLC

    Registered investment adviser (RIA)
    CRD
    108047
    Principal office
    PROVIDENCE, RI, 02903
    RAUM (Item 5F(2)(c))
    $340.9 million ($340,854,267.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees; Performance-based fees
    Latest ADV filing in extract
    2026-03-11
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Rhode Island.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 108047; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  11. YOUNG RICHARD C & CO LTD

    Registered investment adviser (RIA)
    CRD
    105866
    Principal office
    NEWPORT, RI, 02840
    RAUM (Item 5F(2)(c))
    $1.8 billion ($1,801,392,887.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management
    Latest ADV filing in extract
    2026-03-25
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Rhode Island.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Trace this result
    Identity
    Firm CRD 105866; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    Public research profile published

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Research this adviser
Trace this query
office state
Requested: RI; APPLIED; effective: RI. Recorded principal office, not client geography, registration jurisdiction or service territory. Field/capability: branches.region (is_main_office)
Contract
investor-ask-v1
Source dataset
sec_ia_ria
Official as-of / retrieved
Not established for all returned rows / 2026-08-18
Source clock meaning
Source releases attached to returned firm facts; unknown publication dates remain unknown. Release labels are not converted to official effective dates.

sec_ia_ria; release label 2026-08-03; official publication not established; retrieved 2026-08-18; fingerprint not recorded.

Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
RAUM units
USD as reported on Form ADV Item 5F(2)(c)
Compensation taxonomy
Form ADV Item 5.E(1)–5.E(7) Y/N methods
Identifier method
Not an identifier query
Elapsed
1352 ms
  • Ask does not invent firm facts. Results come from the current SEC/IARD extract.
  • RIA is not ERA. Counts stay in their class.
  • Principal office is not client geography.
  • RAUM is Item 5F(2)(c), not performance.
  • Item 5.E methods are not fee amounts.
  • Missing disclosure is not a clean history.
  • Public firm reports are a publication gate (Wave-1), not a ranking.