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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

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Distribution

  • Matching firm facts51

form_adv_firm_facts rows matching filters

  1. ALPHA DOG ADVISORS, RUFF

    Registered investment adviser (RIA)
    CRD
    152001
    Principal office
    CRANSTON, RI, 02910
    RAUM (Item 5F(2)(c))
    $153.6 million ($153,574,000.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Other
    Latest ADV filing in extract
    2026-03-24
    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 152001; 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. ARLEN CAPITAL, LLC

    Registered investment adviser (RIA)
    CRD
    118113
    Principal office
    WARWICK, RI, 02886
    RAUM (Item 5F(2)(c))
    $348.8 million ($348,820,421.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management
    Latest ADV filing in extract
    2026-02-26
    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 118113; 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. AXIS WEALTH PARTNERS, LLC

    Registered investment adviser (RIA)
    CRD
    167122
    Principal office
    EAST PROVIDENCE, RI, 02914
    RAUM (Item 5F(2)(c))
    $377.4 million ($377,380,633.00)
    Compensation methods (Item 5.E)
    Fixed fees; Percentage of assets under management; Hourly charges
    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 167122; 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. BALANCED WEALTH MANAGEMENT, LLC.

    Registered investment adviser (RIA)
    CRD
    174699
    Principal office
    EAST GREENWICH, RI, 02818
    RAUM (Item 5F(2)(c))
    $102.0 million ($101,959,984.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management
    Latest ADV filing in extract
    2026-04-16
    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 174699; 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. BALLAST EQUITY PARTNERS MANAGEMENT COMPANY, LLC

    Registered investment adviser (RIA)
    CRD
    330189
    Principal office
    PROVIDENCE, RI, 02903
    RAUM (Item 5F(2)(c))
    $111.9 million ($111,922,530.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Performance-based fees
    Latest ADV filing in extract
    2026-05-14
    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 330189; 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. BARRETT & COMPANY

    Registered investment adviser (RIA)
    CRD
    1175
    Principal office
    PROVIDENCE, RI, 02903-2855
    RAUM (Item 5F(2)(c))
    $529.7 million ($529,683,081.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management
    Latest ADV filing in extract
    2026-03-06
    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 1175; 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. BLUE FIN CAPITAL, INC.

    Registered investment adviser (RIA)
    CRD
    108451
    Principal office
    WARREN, RI, 02885
    RAUM (Item 5F(2)(c))
    $755.9 million ($755,923,825.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management
    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 108451; 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

  8. BOUNTIFUL INVESTMENT MANAGEMENT LLC

    Registered investment adviser (RIA)
    CRD
    281437
    Principal office
    RUMFORD, RI, 02916
    RAUM (Item 5F(2)(c))
    $160.5 million ($160,517,879.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed 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 281437; 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. BREACHWAY INVESTMENTS, LLC

    Registered investment adviser (RIA)
    CRD
    299102
    Principal office
    CHARLESTOWN, RI, 02813
    RAUM (Item 5F(2)(c))
    $164.9 million ($164,902,821.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges
    Latest ADV filing in extract
    2026-07-01
    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 299102; 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. BROWN, LISLE/CUMMINGS, INC

    Registered investment adviser (RIA)
    CRD
    1331
    Principal office
    PROVIDENCE, RI, 02903-1772
    RAUM (Item 5F(2)(c))
    $487.3 million ($487,318,974.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    Latest ADV filing in extract
    2026-06-26
    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 1331; 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. CANTON HATHAWAY LLC

    Registered investment adviser (RIA)
    CRD
    297527
    Principal office
    PROVIDENCE, RI, 02903
    RAUM (Item 5F(2)(c))
    $866.1 million ($866,119,419.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    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.

    Trace this result
    Identity
    Firm CRD 297527; 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

  12. CAPITAL WEALTH MANAGEMENT, LLC

    Registered investment adviser (RIA)
    CRD
    157959
    Principal office
    WEST WARWICK, RI, 02893
    RAUM (Item 5F(2)(c))
    $1.1 billion ($1,137,135,987.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    Latest ADV filing in extract
    2026-07-08
    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 157959; 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

  13. CITIZENS SECURITIES, INC.

    Registered investment adviser (RIA)
    CRD
    39550
    Principal office
    JOHNSTON, RI, 02919
    RAUM (Item 5F(2)(c))
    $12.9 billion ($12,868,719,975.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management
    Latest ADV filing in extract
    2026-04-14
    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 39550; 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

  14. D & P INVESTMENT ADVISORS, LTD.

    Registered investment adviser (RIA)
    CRD
    119631
    Principal office
    WAKEFIELD, RI, 02879
    RAUM (Item 5F(2)(c))
    $197.8 million ($197,759,856.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-03-06
    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 119631; 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

  15. DIVERSIFIED RESOURCES, LLC

    Registered investment adviser (RIA)
    CRD
    31346
    Principal office
    WARWICK, RI, 02888
    RAUM (Item 5F(2)(c))
    $268.8 million ($268,848,043.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    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.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 31346; 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

  16. ELIOT ROSE WEALTH MANAGEMENT, LLC

    Registered investment adviser (RIA)
    CRD
    120465
    Principal office
    PROVIDENCE, RI, 02903
    RAUM (Item 5F(2)(c))
    $186.3 million ($186,327,765.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    Latest ADV filing in extract
    2026-02-11
    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 120465; 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

  17. FENWAY PARTNERS, LLC

    Registered investment adviser (RIA)
    CRD
    160630
    Principal office
    WESTERLY, RI, 02891
    RAUM (Item 5F(2)(c))
    $306.8 million ($306,800,000.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Other
    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 160630; 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

  18. FIAM LLC

    Registered investment adviser (RIA)
    CRD
    133196
    Principal office
    SMITHFIELD, RI, 02917
    RAUM (Item 5F(2)(c))
    $347.7 billion ($347,728,516,377.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Performance-based fees; Other
    Latest ADV filing in extract
    2026-07-30
    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 133196; 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

  19. FINANCIAL INDEPENDENCE, LLC

    Registered investment adviser (RIA)
    CRD
    150515
    Principal office
    WARWICK, RI, 02886-2213
    RAUM (Item 5F(2)(c))
    $288.1 million ($288,104,032.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-07-30
    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 150515; 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

  20. FIRST FINANCIAL ADVISORY SERVICES INC

    Registered investment adviser (RIA)
    CRD
    105031
    Principal office
    WESTERLY, RI, 02891
    RAUM (Item 5F(2)(c))
    $278.0 million ($278,038,908.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees; Commissions
    Latest ADV filing in extract
    2026-04-21
    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 105031; 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
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
189 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.