# HAVE RIA

HAVE RIA is a RIA based in United States.

## Overview

- **Organization type:** RIA
- **Headquarters:** United States
- **Region:** North America
- **Assets under management:** Undisclosed

## Regulatory record

- **CRD number:** 327137
- **SEC file number:** 801-128320
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/327137

## About

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.

## 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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Last updated: 2026-06-03T20:00:00.000Z

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