Rhode Island investment advisory firms registered with the state rather than the SEC, with each firm's Form ADV Part 2 brochure.
Every registered investment adviser must file a Form ADV Part 2 brochure and give it to each client. It sets out how the firm invests, what it charges, and what conflicts of interest it carries. These are the firms' own filings, reproduced here in full.
| Firm | Form ADV Part 2 |
|---|---|
| J.W. Thompson Investments, LLC | Download PDF |
This list is being built out; more Rhode Island state-registered firms will be added as their brochures are collected. Each brochure is the version the firm most recently filed with the state, and may have been amended since.
For Rhode Island advisors and Equity Risk Sciences staff. Accounts are issued on request; there is no public sign-up.