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INVESTORTRUST HUB

Firm Trust Report

PROVIDENCE TRUST INC

Reported as an exempt reporting adviserExempt Reporting Adviser

The cited SEC/IARD dataset reports this firm as an Exempt Reporting Adviser. That is a different regulatory category from a registered investment adviser. It is not SEC approval, endorsement, or a finding that the firm is trustworthy.

CRD
333507
SEC file number
802-131425
Principal office
1500 N GRANT ST STE M
DENVER, CO, 80203
Current as of
August 3, 2026
Retrieved
August 18, 2026
Source effective date
August 3, 2026

SEC/IARD source release: August 3, 2026 · InvestorTrustHub retrieved: August 18, 2026

Official identifiers

Identifiers come from the cited SEC/IARD firm roster. InvestorTrustHub does not invent missing numbers.

  • CRD

    333507

  • SEC number

    802-131425

Regulatory status

Reported

Exempt Reporting Adviser

The cited SEC/IARD dataset reports this firm as an Exempt Reporting Adviser. That is a different regulatory category from a registered investment adviser. It is not SEC approval, endorsement, or a finding that the firm is trustworthy.

A source reports this value. We have not independently confirmed it beyond the cited record.

Source

Reported

U.S. Securities and Exchange Commission / IARD Form ADV dataset.

Exempt Reporting Advisers (IARD firm roster)

View official IAPD search (opens official source)

A source reports this value. We have not independently confirmed it beyond the cited record.

Firm / ADV facts

Legal structure

Limited Liability Company

Website as reported

Website not present in this source record

Regulatory assets under management

Not found in checked sources

This source record does not include a regulatory assets under management figure. That does not mean the firm has no assets, and it is not a quality finding.

Regulatory disclosures

Firm reported No for Item 11 in this filing.

This is the Form ADV Item 11 checkbox as filed. It is not a disciplinary-event list and not a finding of a clean record.

Clients, compensation, and custody

Figures below are adviser-reported Form ADV items. They are not performance, popularity, or quality scores.

Reported scale

Reported

Item 5 scale fields are not filed on this form type.

As of January 29, 2026

A source reports this value. We have not independently confirmed it beyond the cited record.

Reported compensation methods

Reported

Item 5 compensation methods are not filed on this form type.

Compensation methods are the boxes the adviser checked on Form ADV. This is not a “fee-only” determination.

A source reports this value. We have not independently confirmed it beyond the cited record.

Reported custody

Reported

Item 9 custody is not filed on this form type.

Custody is reported as filed. It is not a risk score or a quality finding.

A source reports this value. We have not independently confirmed it beyond the cited record.

Other business activities (Item 6)

Reported
  • Commodity pool operator / commodity trading advisor

A source reports this value. We have not independently confirmed it beyond the cited record.

Reported related financial businesses

Reported
  • Broker-dealer
  • Commodity pool operator / commodity trading advisor
  • Other investment adviser

Reported affiliations are types of related financial businesses as filed. They are not a conflict finding.

A source reports this value. We have not independently confirmed it beyond the cited record.

Current reported relationships

Names appear only as reported on this firm’s Form ADV. They are not standalone public profiles. Name-only or otherwise unconfirmed rows remain internal and are not shown.

Ownership and control

Schedule A is direct ownership. Schedule B is indirect ownership. An executive/control relationship is not the same as ownership.

  • Reported direct owner

    SHIELDS III, SAMMIE T

    Individual as reported · Ownership range: 50% but less than 75% · Title/status as reported: DIRECTOR

    Reported in Form ADV dated January 29, 2026 · Exempt reporting adviser filing

  • Reported executive/control relationship

    SHIELDS III, SAMMIE T

    Individual as reported · Title/status as reported: DIRECTOR

    Reported in Form ADV dated January 29, 2026 · Exempt reporting adviser filing

Related organizations

No current CRD-linked related organizations are available to display from Form ADV.

Private funds reported by the adviser

Named funds appear only on this adviser profile. InvestorTrustHub does not publish standalone fund pages from this graph.

Item 7.B private-fund count as reported (not a named-fund list) · Item 7.B: Yes as reported · Count 7.B.(1): 1 · Gross assets as reported: 342,986

  • Private fund reported by the adviser

    SEEDSFORWEALTH

    805-5898276030

    California, United States · Reported in Form ADV dated January 29, 2026

Filing history / historical reported relationships

Historical filings are evidence of what was filed, not a restatement of current facts.

Filings in graph

2

RIA 0 · ERA 2

Latest relational filing

January 29, 2026

Exempt reporting adviser · Other-Than Annual Amendment ERA Report

ADV-W filings

0

Shown as historical evidence only

Recent sec form adv filings
  • 2047063 · January 29, 2026 · ERA · Other-Than Annual Amendment ERA Report · current reported filing
  • 1905709 · October 6, 2024 · ERA · Initial SEC ERA Report · historical filing

Sources and methodology

Evidence and source details

Material facts on this page are traced to the official SEC/IARD roster. Expand a panel to see source context. Raw 400-column filings are not dumped here.

Source, dataset, and retrieval

Source. U.S. Securities and Exchange Commission / IARD · Exempt Reporting Advisers (IARD firm roster) · record 333507 · retrieved August 18, 2026

Release: August 3, 2026

Evidence records tied to this firm: 7

Raw source snapshot: present

Source status text (not a consumer endorsement): ERA - Active

What these terms mean

What is an RIA?

A registered investment adviser is a firm whose Form ADV/IARD record reports it as registered with the SEC or, in other contexts, a state. InvestorTrustHub shows what the cited official dataset reports. Registration is a regulatory category, not a quality rating.

What is an Exempt Reporting Adviser?

An Exempt Reporting Adviser files a limited Form ADV report because it qualifies for an exemption from full SEC registration. It is not a registered investment adviser. Exemption from full registration is not a finding of safety, quality, or honesty.

What is a CRD number?

A CRD number is the Central Registration Depository identifier assigned to a firm or individual in the IARD/CRD system. InvestorTrustHub uses the firm CRD as the stable identity key. A CRD is an identifier, not an endorsement.

What is an SEC file number?

An SEC file number (often beginning 801- for registered advisers or 802- for exempt reporting advisers) is an official file identifier in SEC/IARD records. If this source record does not include one, that absence is not proof that no file number exists in another source.

What does “reported as registered” mean?

It means the cited official dataset reports the firm as a registered investment adviser as of the source date. It does not mean InvestorTrustHub or the SEC approved, certified, or recommended the firm.

What does it NOT mean?

Registration does not establish investment quality, performance, honesty, suitability, low risk, fiduciary compliance in every circumstance, or the absence of regulatory problems. Missing research is not a clean record.

What InvestorTrustHub has not researched yet

Absence from this page is not a finding that a record is clean, that no disclosure exists, or that the firm has no associated professionals.

  • Individual professionals associated with this firm
  • FINRA BrokerCheck research
  • Detailed disciplinary history (DRP events)
  • State-specific enforcement records
  • Form ADV Part 2 brochure narrative
  • Standalone public fund or owner profiles
  • Investment performance
  • Portfolio holdings
  • Consumer reviews