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HAVE RIA
HAVE RIA, INC. is an SEC-registered investment adviser in PROVIDENCE, RI, registered since 2023. The firm manages approximately $161 million in assets.
Overview
HAVE RIA, INC. is an SEC-registered investment adviser in PROVIDENCE, RI, registered since 2023. The firm manages approximately $161 million in assets. It employs 9 staff and 3 investment advisers.
General information
Firm type
RIA
Location
Region
North America
Country
United States
Frequently asked questions
Where would an investor find HAVE RIA's regulatory filings?
An RIA's Form ADV Part 1 and Part 2 filings are accessible through the SEC's Investment Adviser Public Disclosure (IAPD) website. Part 1 contains summary data on ownership, clients, employees, business practices, and any disciplinary events. Part 2, often written as a narrative brochure, details services, fees, and potential conflicts of interest.
What custody structure does an RIA like HAVE RIA typically use?
Most independent RIAs custody client assets at third-party qualified custodians such as Charles Schwab, Fidelity, or Pershing. This separation of custody from advisory services provides a structural safeguard, ensuring the adviser does not directly hold client funds and reducing misappropriation risk.
What types of clients does an RIA generally serve?
RIAs often serve individual retail investors, high-net-worth individuals, pension plans, trusts, estates, and charitable organizations. Some specialize in a particular niche such as corporate executives, medical professionals, or retirees, while smaller firms frequently adopt a generalist wealth-management practice.
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