Top 5 financial advisor firms in Warwick

5 SEC-registered financial advisor firms are headquartered in Warwick, RI, with $1.91B in combined regulatory assets under management. The largest by assets are Mystic Asset Management ($615M), The Retirement Planning Company of New England ($394M) and Arlen Capital ($349M).

5
Financial advisor firms: $1.91B
Their combined AUM: $349M
Median firm AUM: 1,851
Clients of the top 5

The 5 largest by assets

1
Mystic Asset Management
RIA
$615M
0.75% to 1.00% a year
2
The Retirement Planning Company of New England
RIA
$394M
Regulatory AUM
3
Arlen Capital
RIA
$349M
0.71% to 1.05% a year
4
Financial Independence
RIA
$288M
0.50% to 1.00%
5
Diversified Resources
RIA
$269M
0.40% to 1.00% a year

Profiles of the top 5

No. 1 · RIA

Mystic Asset Management

Mystic Asset Management is an investment adviser based in Warwick, RI, registered with the SEC since 2014. It provides financial planning and investment management. Its clients include high-net-worth individuals, banking or thrift institutions and charitable organizations. Its regulatory assets under management total $615 million, as filed on 2 March 2026.

Mystic Asset Management charges 0.75%–1.00% a year for its Portfolio Management Services.

Regulatory AUM: $615M
Clients: 144
Advisory staff: 2
Fee schedule: 0.75% to 1.00% a year
Minimum account: $500,000
Custodians: Charles Schwab
Headquarters: 1287 Post Road, Warwick, RI 02888
Phone: 860-495-3300

No. 2 · RIA

The Retirement Planning Company of New England

The Retirement Planning Company of New England is an investment adviser based in Warwick, RI, registered with the SEC since 1998. It provides investment management. Its clients include high-net-worth individuals, individual clients and charitable organizations. Its regulatory assets under management total $394 million, as filed on 13 March 2026.

Regulatory AUM: $394M
Clients: 566
Advisory staff: 3
Custodians: Charles Schwab
Headquarters: 1287 Post Road, Warwick, RI 02888
Phone: 401-453-5558

No. 3 · RIA

Arlen Capital

Arlen Capital is an investment adviser based in Warwick, RI, registered with the SEC since 2004. It provides investment management. Its clients include high-net-worth individuals, individual clients, and corporations and other businesses. Its regulatory assets under management total $349 million, as filed on 26 February 2026.

Arlen Capital charges 0.71%–1.05% a year for its Advisor Managed Portfolios Program.

Regulatory AUM: $349M
Clients: 222
Advisory staff: 4
Founded: 2001
Fee schedule: 0.71% to 1.05% a year
Custodians: Pershing, Fidelity
Headquarters: 117 Metro Center Boulevard, Suite 2006, Warwick, RI 02886
Phone: 401-854-3500
Website: arlencorp.com

No. 4 · RIA

Financial Independence

Financial Independence is an investment adviser based in Warwick, RI, registered with the SEC since 2021. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and pension and profit-sharing plans. Its regulatory assets under management total $288 million, as filed on 30 July 2026.

Financial Independence charges 0.50%–1.00% for its AssetMark Platform Financial Advisor Fee. The brochure does not state whether the rate is annual.

Regulatory AUM: $288M
Clients: 279
Advisory staff: 4
Founded: 2009
Fee schedule: 0.50% to 1.00%
Custodians: Fidelity
Headquarters: 931 Jefferson BLVD., Suite 2005, Warwick, RI 02886-2213
Phone: 401-681-4825
Website: fi-ri.com

No. 5 · RIA

Diversified Resources

Diversified Resources is an investment adviser based in Warwick, RI, registered with the SEC since 2016. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and pension and profit-sharing plans. Its regulatory assets under management total $269 million, as filed on 25 March 2026.

Diversified Resources charges 0.40%–1.00% a year for its Portfolio Management.

Regulatory AUM: $269M
Clients: 640
Advisory staff: 1
Fee schedule: 0.40% to 1.00% a year
Custodians: SEI Investments Distribution
Headquarters: 70 Jefferson BLVD, 4th Floor, Warwick, RI 02888
Phone: 401-941-1500
Website: divres.com

Questions about financial advisors in Warwick

How many financial advisor firms are headquartered in Warwick?

5 SEC-registered financial advisor firms report their principal office in Warwick, RI, managing $1.91B in regulatory assets between them.

Source: Form ADV Part 1A, Items 1.F, 5.D and 5.F

What is the largest financial advisor firm in Warwick?

Mystic Asset Management, with $615M in regulatory assets under management on its latest Form ADV. The next largest are The Retirement Planning Company of New England ($394M) and Arlen Capital ($349M).

Source: Form ADV Part 1A, Item 5.F

How large is a typical financial advisor firm in Warwick?

The median firm manages $349M in regulatory assets. That is the midpoint of the 5 firms headquartered in Warwick.

Source: Form ADV Part 1A, Item 5.F

How much do financial advisors in Warwick charge?

Of the 5 largest firms, 4 publish an asset-based fee schedule for their main service in their brochure. The highest rate in those schedules runs from 1.00% to 1.05% of assets, depending on the firm; each firm's fee is in its profile above.

Source: Form ADV Part 2A brochures, Item 5

How can I check a financial advisor's record in Warwick?

Search the firm or the person on the SEC's Investment Adviser Public Disclosure site, adviserinfo.sec.gov, which shows registrations, Form ADV filings and any disclosures. Each firm profile in this directory links its SEC record.

Source: SEC Investment Adviser Public Disclosure

How is this list ordered?

By regulatory assets under management as filed on Form ADV, largest first. A firm is included when its principal office is in the city and most of its client assets belong to individuals and its type is RIA, which leaves out broker-dealers, wirehouses, RIA networks, digital advice, bank, insurance and family-office firms. A firm with only a branch office here is listed in its own headquarters city.

Source: Niva directory methodology

Warwick has 5 financial advisor firms; see every adviser in the city →

Top financial advisor firms in other Rhode Island cities

Providence12