All investment adviser firms · Page 142
Alphabetical firm directory from the selected SEC monthly adviser snapshots.
17,094 firms · Source months shown: August 2026
- SOUND CAPITAL SOLUTIONS LLCCRD 311034$305,731,458.00Regulatory AUM · August 2026
- SOUND FINANCIAL MANAGEMENT, INC.CRD 122670 · RALEIGH, NC$134,079,243.00Regulatory AUM · August 2026
- SOUND FINANCIAL STRATEGIES GROUP, LLCCRD 286261 · MADISON, MS$217,657,061.00Regulatory AUM · August 2026
- SOUND FINANCIAL, LLCCRD 292271$210,821,790.00Regulatory AUM · August 2026
- SOUND FUTURES LLCCRD 340439Not availableRegulatory AUM · August 2026
- SOUND INCOME STRATEGIES, LLCCRD 173272 · FORT LAUDERDALE, FL$4,181,062,401.00Regulatory AUM · August 2026
- SOUND INVESTMENT MANAGEMENT INCCRD 107438 · TUALATIN, OR$255,500,000.00Regulatory AUM · August 2026
- SOUND LEGACY WEALTH ADVISORS, LLCCRD 306332$102,000,000.00Regulatory AUM · August 2026
- SOUND MARK PARTNERS, LLCCRD 169037 · GREENWICH, CT$271,980,247.00Regulatory AUM · August 2026
- SOUND POINT CAPITAL MANAGEMENT, LPCRD 157479 · NEW YORK, NY$36,980,461,403.00Regulatory AUM · August 2026
- SOUND POINT CLO C-MOA, LLCCRD 293256 · NEW YORK, NY$12,342,427,643.00Regulatory AUM · August 2026
- SOUND POINT COMMERCIAL REAL ESTATE FINANCE LLCCRD 311808 · NEW YORK, NY$2,723,360,506.00Regulatory AUM · August 2026
- SOUND POINT LUNA LLCCRD 128132 · NEW YORK, NY$10,235,860,826.00Regulatory AUM · August 2026
- SOUND POINT MERIDIAN MANAGEMENT COMPANY LLCCRD 329887 · NEW YORK, NY$478,497,592.00Regulatory AUM · August 2026
- SOUND PORTFOLIO ADVISORS, LLCCRD 125511 · MYSTIC, CT$151,057,862.00Regulatory AUM · August 2026
- SOUND SHORE MANAGEMENT INCCRD 112379 · GREENWICH, CT$3,398,340,001.00Regulatory AUM · August 2026
- SOUND STEWARDSHIP, LLCCRD 129755 · OVERLAND PARK, KS$284,618,866.00Regulatory AUM · August 2026
- SOUND VIEW WEALTH ADVISORS GROUP, LLCCRD 300927 · SAVANNAH, GA$2,279,615,918.00Regulatory AUM · August 2026
- SOUNDCORE CAPITAL PARTNERS, LLCCRD 288749 · NEW YORK, NY$237,208,456.00Regulatory AUM · August 2026
- SOUNDCORE CAPITAL PARTNERS, LPCRD 331288 · NEW YORK, NY$400,423,206.00Regulatory AUM · August 2026
- SOUNDPATH RETIREMENT STRATEGIES, LLCCRD 315590 · BELLEVUE, WA$134,458,441.00Regulatory AUM · August 2026
- SOUNDVIEW ADVISORS, INC.CRD 114437 · OLYMPIA, WA$387,237,483.00Regulatory AUM · August 2026
- SOUNDWATCH CAPITAL, LLCCRD 173151 · DALLAS, TX$1,020,965,076.00Regulatory AUM · August 2026
- SOURCE CAPITAL, LLCCRD 325758 · ATLANTA, GA$475,414,458.00Regulatory AUM · August 2026
- SOURCEROCK GROUP LLCCRD 307575 · DENVER, CO$3,107,409,080.00Regulatory AUM · August 2026
- SOUTH BAY FINANCIAL PARTNERS GROUP, INC.CRD 175015 · TORRANCE, CA$114,824,594.00Regulatory AUM · August 2026
- SOUTH COVE FINANCIAL, LLCCRD 284554$145,000,000.00Regulatory AUM · August 2026
- SOUTH GEORGIA CAPITAL, LLCCRD 146765 · NAPERVILLE, IL$133,990,107.00Regulatory AUM · August 2026
- SOUTH LAKEVIEW, LLCCRD 157240$355,000,000.00Regulatory AUM · August 2026
- SOUTH OCEAN MANAGEMENT LTD.CRD 111180$13,370,977.00Regulatory AUM · August 2026
- SOUTH SHORE CAPITAL ADVISORS, LLCCRD 142915 · BOSTON, MA$272,789,211.00Regulatory AUM · August 2026
- SOUTH SHORE INVESTMENT SERVICES LLCCRD 311450 · NORWELL, MA$117,927,211.00Regulatory AUM · August 2026
- SOUTH STREET ADVISORS, LLCCRD 112326 · NEW YORK, NY$906,054,959.00Regulatory AUM · August 2026
- SOUTH TEXAS CAPITAL ADVISORS, LLCCRD 283773 · NEW BRAUNFELS, TX$167,230,485.00Regulatory AUM · August 2026
- SOUTHBRIDGE ADVISORS, LLCCRD 306075 · MARIETA, GA$353,100,569.00Regulatory AUM · August 2026
- SOUTHCOL ADVISORS, LLCCRD 308154 · NAPLES, FL$208,665,788.00Regulatory AUM · August 2026
- SOUTHEAST ASSET ADVISORS, LLCCRD 107588 · THOMASVILLE, GA$4,199,822,999.00Regulatory AUM · August 2026
- SOUTHEAST CAPITAL MANAGEMENT LTDCRD 334751Not availableRegulatory AUM · August 2026
- SOUTHEASTERN ASSET MANAGEMENT INC.CRD 105276 · MEMPHIS, TN$3,703,724,946.00Regulatory AUM · August 2026
- $702,660,564.00Regulatory AUM · August 2026
- SOUTHERN CAPITAL ADVISORS, LLCCRD 292275 · JACKSON, TN$636,914,932.00Regulatory AUM · August 2026
- SOUTHERN CAPITAL SERVICES, INC.CRD 105582 · DAPHNE, AL$192,480,551.00Regulatory AUM · August 2026
- SOUTHERN EQUITY ADVISORS LLCCRD 330821 · ST. THOMAS, VI$788,115,434.00Regulatory AUM · August 2026
- SOUTHERN FINANCIAL GROUP, LLCCRD 142644 · BIRMINGHAM, AL$1,050,139,365.00Regulatory AUM · August 2026
- SOUTHERNSUN ASSET MANAGEMENT LLCCRD 154572 · MEMPHIS, TN$749,369,235.00Regulatory AUM · August 2026
- SOUTHFIELD CAPITAL LPCRD 163023 · GREENWICH, CT$2,057,155,514.00Regulatory AUM · August 2026
- SOUTHLAND EQUITY PARTNERS, LLC.CRD 154481$891,474,518.00Regulatory AUM · August 2026
- SOUTHOCEAN CAPITAL PARTNERS, LLCCRD 171580 · FT. LAUDERDALE, FL$575,262,443.00Regulatory AUM · August 2026
- SOUTHPAW ASSET MANAGEMENT LPCRD 135693$125,138,631.00Regulatory AUM · August 2026
- SOUTHPAW CP MANAGER LPCRD 339218 · DALLAS, TXNot availableRegulatory AUM · August 2026
- SOUTHPOINT CAPITAL ADVISORS LPCRD 161754 · NEW YORK, NY$6,626,199,868.00Regulatory AUM · August 2026
- SOUTHPORT STATION FINANCIAL MANAGEMENT, LLCCRD 146270 · SOUTHPORT, CT$192,062,491.00Regulatory AUM · August 2026
- SOUTHSTATE PRIVATE CAPITAL MANAGEMENT LLCCRD 165306 · COLUMBIA, SC$4,956,973,083.00Regulatory AUM · August 2026
- SOUTHWEST INVESTMENT ADVISORS, INC.CRD 312685 · TUCSON, AZ$386,919,218.00Regulatory AUM · August 2026
- SOUTHWEST MONEY MANAGEMENT INCCRD 109668$287,891,675.00Regulatory AUM · August 2026
- SOUTHWESTERN MONEY MANAGEMENT LLCCRD 304033 · SAN ANTONIO, TX$48,349,956.00Regulatory AUM · August 2026
- SOUTHWIND ASSOCIATES OF NJ INC.CRD 110371$299,124,982.00Regulatory AUM · August 2026
- SOVEREIGN FINANCIAL GROUP, INC.CRD 294314 · STAMFORD, CT$1,082,552,821.00Regulatory AUM · August 2026
- SOVEREIGN INVESTMENT ADVISORS LLCCRD 149040 · PHOENIX, AZ$3,312,334,304.00Regulatory AUM · August 2026
- SOVEREIGN WEALTH ADVISORS LLCCRD 188524 · HOUSTON, TX$625,113,905.00Regulatory AUM · August 2026
- SOVEREIGN'S CAPITAL MANAGEMENT, LLCCRD 301879 · ATLANTA, GA$1,277,497,360.00Regulatory AUM · August 2026
- SOVIERO ASSET MANAGEMENT, LPCRD 298418 · NEW YORK, NY$267,673,684.00Regulatory AUM · August 2026
- SOVRAN ADVISORS, LLCCRD 329415 · SAN DIEGO, CA$1,874,347,252.00Regulatory AUM · August 2026
- SOWA FINANCIAL GROUP INCCRD 107646 · LINCOLN, RI$517,016,775.00Regulatory AUM · August 2026
- SOWELL FINANCIAL SERVICES, LLCCRD 127145 · NORTH LITTLE ROCK, AR$4,808,161,332.00Regulatory AUM · August 2026
- SP ASSET MANAGEMENT LLCCRD 323369 · CUPERTINO, CA$1,895,375,366.00Regulatory AUM · August 2026
- SPACE CAPITAL MANAGEMENT LLCCRD 287867 · NEW YORK, NY$1,168,225,834.00Regulatory AUM · August 2026
- SPAHN WEALTH & RETIREMENT LLCCRD 285932 · SCOTTSDALE, AZ$181,438,726.00Regulatory AUM · August 2026
- SPANOS BARBER JESSE & CO., LLCCRD 293841 · WALNUT CREEK, CA$749,448,448.00Regulatory AUM · August 2026
- SPARK FINANCIAL ADVISORS, LLCCRD 296914 · RICHMOND, VA$147,096,626.00Regulatory AUM · August 2026
- SPARK INVESTMENT MANAGEMENT LLCCRD 160815 · NEW YORK, NY$433,921,114.00Regulatory AUM · August 2026
- SPARKLINE CAPITAL LPCRD 314364$90,200,000.00Regulatory AUM · August 2026
- SPARROW CAPITAL MANAGEMENT INCCRD 106616 · ST. LOUIS, MO$113,262,659.00Regulatory AUM · August 2026
- SPARROW WEALTH MANAGEMENT, INC.CRD 152670 · ORLANDO, FL$135,197,184.00Regulatory AUM · August 2026
- SPARTAN PLANNING & WEALTH MANAGEMENT, LLCCRD 166599 · GREENSBORO, NC$383,681,575.00Regulatory AUM · August 2026
- SPARTAN WEALTH ADVISORY SERVICES LLCCRD 331719 · BINGHAM FARMS, MI$1,484,197,565.00Regulatory AUM · August 2026
- SPARX ASIA INVESTMENT ADVISORS LIMITEDCRD 139172$13,270,122.00Regulatory AUM · August 2026
- SPARX ASSET MANAGEMENT CO., LTD.CRD 134747$11,713,911,895.00Regulatory AUM · August 2026
- SPARX ASSET MANAGEMENT KOREA CO., LTD.CRD 338393$2,126,181,370.00Regulatory AUM · August 2026
- SPC MANAGEMENT CO., INC.CRD 157259 · BEDMINSTER, NJ$959,556,754.00Regulatory AUM · August 2026
- SPEAR ADVISORS LLCCRD 314594$181,305,017.00Regulatory AUM · August 2026
- SPEARHEAD ADMINISTRATIVE SERVICES, LLCCRD 319289 · GREENVILLE, DE$3,827,929,709.00Regulatory AUM · August 2026
- SPECIALIZED RETIREMENT CONSULTANTS LLCCRD 317027$186,581,947.00Regulatory AUM · August 2026
- SPECTRA INVESTMENT MANAGEMENT, LLCCRD 288145 · STUART, FL$306,845,292.00Regulatory AUM · August 2026
- SPECTRUM ADVISORS, INC.CRD 114805 · PLANO, TX$160,000,000.00Regulatory AUM · August 2026
- SPECTRUM ASSET MANAGEMENT INCCRD 111007 · NEWPORT BEACH, CA$657,266,993.00Regulatory AUM · August 2026
- SPECTRUM ASSET MANAGEMENT, INC.CRD 300463 · STAMFORD, CT$18,296,351,612.00Regulatory AUM · August 2026
- SPECTRUM EQUITY MANAGEMENT, INC.CRD 160619 · BOSTON, MA$7,319,267,753.00Regulatory AUM · August 2026
- SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.CRD 125147 · NICHOLASVILLE, KY$800,534,820.00Regulatory AUM · August 2026
- SPECTRUM FINANCIAL INCCRD 105618 · VIRGINIA BEACH, VA$236,484,223.00Regulatory AUM · August 2026
- SPECTRUM FINANCIAL RESOURCES, LLCCRD 127453 · TROY, MI$235,309,254.00Regulatory AUM · August 2026
- SPECTRUM INVESTMENT ADVISORS, INC.CRD 108669 · MEQUON, WI$1,064,561,205.00Regulatory AUM · August 2026
- SPECTRUM PLANNING & ADVISORY SERVICES INC.CRD 170093 · SAN DIEGO, CA$235,695,335.00Regulatory AUM · August 2026
- SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLCCRD 138347 · CORVALLIS, OR$275,363,852.00Regulatory AUM · August 2026
- SPECTRUM WEALTH ADVISORY GROUP, LLCCRD 298632 · GRANITE BAY, CA$445,367,405.00Regulatory AUM · August 2026
- SPEECE THORSON CAPITAL GROUP INCCRD 106052 · MINNETONKA, MN$469,000,000.00Regulatory AUM · August 2026
- SPENDVEST CORPCRD 339469Not availableRegulatory AUM · August 2026
- SPEYSIDE EQUITY ADVISERS LLCCRD 325765 · ANN ARBOR, MI$811,367,311.00Regulatory AUM · August 2026
- SPF INVESTMENT MANAGEMENT, L.P.CRD 299036 · NEW YORK, NY$3,572,000,147.00Regulatory AUM · August 2026
- SPG ADVISORS LLCCRD 284496 · KIRKLAND, WA$535,426,153.00Regulatory AUM · August 2026