Richard Cavanagh has been Chief Compliance Officer of Newman Dignan & Sheerar since February 2023, is a control person of the firm and directly owns under 5% of it.
Newman Dignan & Sheerar, Inc is a Providence, RI firm with $731M under management, 536 clients and 6 advisers across 3 offices, as of its May 2026 filing.
Richard Cavanagh’s longest registration was 10 years at Whalerock Point Partners, LLC (2006–2017). Before joining Newman Dignan & Sheerar in 2022, Richard Cavanagh was registered through Whalerock Point Partners, LLC and Columbia Management Advisors, Inc.
- Newman Dignan & Sheerar, IncCurrent– present · 4 yearsProvidence, RI · Adviser representative · Firm CRD 107565
- Whalerock Point Partners, LLC– · 10 yearsProvidence, RI · Adviser representative · Firm CRD 140781
- Columbia Management Advisors, Inc.– · under a yearProvidence, RI · Adviser representative · Firm CRD 105842
Investment adviser representative registrations
Richard Cavanagh is registered as an investment adviser representative in Rhode Island, since February 2022.
- Rhode IslandSince 14 February 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 1 May 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 October 1985 |
| Series 7 | General Securities Representative Examination | 21 September 1985 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Richard Edward Cavanagh
- CRD
- 1385102
- Firm
- Newman Dignan & Sheerar · CRD 107565
- Role
- Chief Compliance Officer
- Office
- 260 WEST EXCHANGE STREET, SUITE 302, Providence, RI 02903
- Registration
- Investment adviser registration
- In the industry since
- April 2011
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Cavanagh work?
Richard Cavanagh has been Chief Compliance Officer of Newman Dignan & Sheerar, Inc since February 2023, and is a control person of the firm.
Is Richard Cavanagh a financial advisor?
Yes. Richard Cavanagh has a current investment-adviser registration in Rhode Island, through Newman Dignan & Sheerar since February 2022.
How many years of experience does Richard Cavanagh have?
Richard Cavanagh has 15 years in the financial industry, since April 2011, across 3 adviser firms.
What exams has Richard Cavanagh passed?
Richard Cavanagh has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in September 1985.
Where did Richard Cavanagh work before Newman Dignan & Sheerar?
Before Newman Dignan & Sheerar, Richard Cavanagh was registered through Whalerock Point Partners, LLC, July 2006 to March 2017; Columbia Management Advisors, Inc., November 2003 to January 2004.
Where is Richard Cavanagh based?
Richard Cavanagh’s registered office is in Providence, RI.
Is Richard Cavanagh registered with FINRA?
No. Richard Cavanagh has no current broker registration.
How can I verify Richard Cavanagh’s record?
Search CRD 1385102 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Cavanagh’s full registration record.
