78
State IA firm CRDs, APPROVED
79 state IA registration observations across statuses; 79 distinct firm CRDs. Approved is a registration status, not an endorsement.
InvestorTrustHub · Rhode Island
Rhode Island Investment Adviser & Securities Intelligence
The Rhode Island Department of Business Regulation Securities Division administers state securities law and registers or licenses certain investment advisers, investment adviser representatives, broker-dealers and sales representatives. State IA, federal notice filing, ERA, IAR, broker-dealer, agent and order records are separate regulatory grains.
Source-linked regulatory evidence. No adviser ranking.
Distinct firm registration lenses
The official IAPD STATE and SEC firm compilations are dated 2026-10-06; retrieved 2026-10-12T16:05:58+00:00. Counts below are firm CRDs filtered by regulator jurisdiction or SEC notice status. They are not live DBR status and are not additive.
1,214
Federal notice firm CRDs, FILED
IAPD notice jurisdiction RI, status FILED. This is not a state-IA registration or a Rhode Island principal office.
9
ERA firm CRDs, ACTIVE
9 ERA registration observations across statuses; 9 distinct CRDs. An ERA is not a state IA or SEC-registered RIA.
50
SEC compilation firms with RI principal office
Address geography only. A principal office is not a Rhode Island registration or permission to serve clients.
Exact firm-CRD intersections: approved state IA ∩ filed federal notice 1; state IA ∩ active ERA 0; active ERA ∩ filed notice 0; principal office ∩ filed notice 47. An intersection describes identity overlap and does not create another population.
IAPD state compilation · IAPD SEC compilation · DBR registration and filing guidance · DBR eLicensing portal
People, broker-dealers and agents stay separate
Rhode Island identifies IARD as the filing system for investment advisers and IARs, and CRD for broker-dealers and sales representatives. Provider-level RI IAR, broker-dealer and sales-agent bulk rows were NOT_ACQUIRED. Use exact-name or CRD lookups in DBR eLicensing, IAPD and FINRA BrokerCheck. Person CRDs are not firm records.
DBR Securities Division action documents
The DBR page listed 98 linked securities action documents when retrieved 2026-10-12T16:05:58+00:00. This is a document-row count, not unique people, firms, final findings or a complete disciplinary history. Each document needs its own review; no name-only joins or adverse profile attachments are made.
- IN THE MATTER OF JED LAWRENCE DEFALCO (CRD #5231484) · Consent Agreement · Adopted 07/01/26
- IN THE MATTER OF STRATEGIC FINANCIAL LLC (CRD #122437) · Consent Agreement · Adopted 10/30/25
- IN THE MATTER OF THOMAS A. VIGIL (CRD #3269058) · Consent Agreement · Adopted 10/20/25
- IN THE MATTER OF VANGUARD MARKETING CORPORATION (CRD #7452) AND THE VANGUARD GROUP, INC. (CRD#105958) · Administrative Consent Order · Adopted 04/10/25
- IN THE MATTER OF Edward D. Jones & Co., L.P. · Consent Order · Adopted 12/20/24
- IN THE MATTER OF TradeStation Crypto, Inc. · Consent Order · Adopted 04/23/24
- IN THE MATTER OF Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. · Administrative Consent Order · Adopted 03/06/24
- IN THE MATTER OF Robinhood Financial · Administrative Consent Order · Adopted 11/01/23
- IN THE MATTER OF Nexo Capital Inc. · Consent Order · Adopted 10/20/23
- IN THE MATTER OF BlockFi Lending, LLC · Consent Order · Adopted 03/24/22
- IN THE MATTER OF Solium Financial Services, LLC · Consent Order · Adopted 09/08/20
- IN THE MATTER OF LPL FINANCIAL, LLC · Consent Order · Adopted 02/18/19
View the complete DBR securities action index. An order or consent agreement may describe allegations, agreements or findings with different procedural status.
Source clocks and limits
IAPD firm feeds: source date 2026-10-06; retrieved 2026-10-12T16:05:58+00:00. DBR action index: retrieved 2026-10-12T16:05:58+00:00. The DBR portal describes live lookup and roster tools, but its downloadable provider-level export was not acquired for this publication. Broker-dealer, agent and provider-level IAR rosters remain NOT_ACQUIRED.
There is no combined adviser total. HMDA is not securities licensing. No provider-level adverse records are attached by name. Ask about Rhode Island securities evidence.