Wealth manager, independent · Westerly, RI
First Financial Advisory Services Inc
SEC-registered investment adviser · CRD 105031 · SEC 801-20623
At a glance
First Financial Advisory Services Inc is an SEC-registered investment adviser based in Westerly, Rhode Island, with $278 million in regulatory assets under management as of its Form ADV filed April 21, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 516 individual clients. By Form ADV it is a wealth manager, ranked 4,644th of 8,915 wealth managers and 10,571st of 17,210 SEC-registered advisers by assets.
Main office 401-596-0193firstfinancialadvisory.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $278M
- Rank among wealth managers
- #4,644 of 8,915
- Rank among all SEC RIAs
- #10,571 of 17,210
- Rank in Rhode Island
- #33 of 49
- Individual clients
- 516
- High-net-worth clients
- 76
- Accounts
- 1,071
- Discretionary
- 0% of AUM
- Employees
- 7
- Advisory staff
- 7
- Offices
- 3
Owners and executives on its Form ADV
- Geraldine B. CunninghamPresident, Treasurer
- Matthew J. CunninghamChief Compliance Officer, Secretary
- Peter B. RobinsonVice-President
Custody and brokerage
Broker-dealer
Hybrid RIA
First Financial Advisory Services Inc is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed April 2026) names Cetera Advisors, Cetera and First Allied Securities as the broker-dealer its advisers are registered with.
r Advisors [acting in their separate capacity as registered representatives of Cetera Advisors, LLC (“Cetera”), doing business as First Allied Securities, a broker/dealer and a member of FINRA/SIPC] receive commissions, including 12b-1 fee
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 76 | $159M | 57% |
| Individuals | 440 | $118M | 42% |
| Charitable organizations | 5 | $2M | <1% |
Disciplinary disclosures
First Financial Advisory Services Inc reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗firstfinancialadvisory.com ↗
AtlasMembers
The full record on First Financial Advisory Services Inc
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
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- Rank against 6,478 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does First Financial Advisory Services Inc manage?
First Financial Advisory Services Inc reports $278 million in regulatory assets under management across 1,071 accounts, on its Form ADV filed April 21, 2026.
What kind of firm is First Financial Advisory Services Inc?
First Financial Advisory Services Inc is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are First Financial Advisory Services Inc’s clients?
By assets, its largest client types are high-net-worth individuals ($159 million, 76 clients); individuals ($118 million, 440 clients); charitable organizations ($2 million, 5 clients).
Does First Financial Advisory Services Inc have any disciplinary history?
First Financial Advisory Services Inc reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is First Financial Advisory Services Inc’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-21), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →