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Financial ADVSR advisor directory · SEC adviser records

Financial advisors in Little Compton, RI

Every SEC-registered investment adviser representative at a firm office in Little Compton, with the firms that employ the most of them.

4 registered advisors work in Little Compton; the most are at Vergence Institutional Partners LLC (2). 0 list the CFP designation and 2 are also registered broker representatives.

Firms with the most advisors in Little Compton

FirmAdvisors in Little Compton
Vergence Institutional Partners LLC2
Morgan Stanley news1
Strategic Advisers LLC1

Advisors in Little Compton, A to Z

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Providence 475Riverside 217Warwick 216Johnston 145Cranston 124Smithfield 70Newport 63East Providence 45West Warwick 42East Greenwich 35Middletown 32Cumberland 31Lincoln 30Westerly 30North Kingstown 29Wakefield 26Barrington 23Portsmouth 21Pawtucket 20North Providence 18Coventry 16South Kingstown 15Bristol 14Narragansett 11

Questions

How many financial advisors are in Little Compton, RI?

4 investment adviser representatives are registered at firm offices in Little Compton, Rhode Island, according to the SEC's Investment Adviser Public Disclosure records. 2 of them are also registered as broker representatives, and 0 list the CFP designation.

Which firm has the most financial advisors in Little Compton?

Vergence Institutional Partners LLC, with 2 registered advisors in Little Compton, followed by Morgan Stanley with 1.

How do I check a financial advisor in Little Compton?

Each advisor below links to a profile with their firm, registrations, exams and how long they've been registered, plus links to the SEC's adviser search and FINRA BrokerCheck, where any disclosures are listed in full.

Source: the SEC's Investment Adviser Public Disclosure daily file. Advisors are listed at the city of the firm office they're registered at; an advisor registered at offices in more than one city appears in each. Broker-only representatives (FINRA BrokerCheck) aren't included. Moving firms? See who's moving this week, compare payouts by firm or value a recruiting offer.