All investment adviser firms · Page 17
Alphabetical firm directory from the selected SEC monthly adviser snapshots.
17,094 firms · Source months shown: August 2026
- AVRIO WEALTH LLCCRD 337579 · NEW YORK, NY$27,288,602.00Regulatory AUM · August 2026
- AVRIO WEALTH PTE LTDCRD 306064$178,258,725.00Regulatory AUM · August 2026
- AWAKEN WEALTH PARTNERS LLCCRD 341005 · HOUSTON, TXNot availableRegulatory AUM · August 2026
- AWANI CAPITAL MANAGEMENT LPCRD 335179 · FULTON, MD$268,662,888.00Regulatory AUM · August 2026
- AWH CAPITAL, L.P.CRD 146740 · DALLAS, TX$147,559,612.00Regulatory AUM · August 2026
- AWH FINANCIAL, LLCCRD 285183 · BALA CYNWYD, PANot availableRegulatory AUM · August 2026
- AWM CAPITAL, LLCCRD 287980 · PHOENIX, AZ$1,487,239,767.00Regulatory AUM · August 2026
- AWM FINANCIAL SERVICES INC.CRD 144351 · THE WOODLANDS, TX$320,578,704.00Regulatory AUM · August 2026
- AWM INVESTMENT COMPANY INCCRD 110346 · NEW YORK, NY$1,316,522,778.00Regulatory AUM · August 2026
- AWR INVESTMENT MANAGEMENT, LLCCRD 118538 · SAN RAFAEL, CA$131,590,434.00Regulatory AUM · August 2026
- AXA INVESTMENT MANAGERS US INCCRD 113608 · NEW YORK, NY$79,242,927,489.00Regulatory AUM · August 2026
- AXAR CAPITAL MANAGEMENT LPCRD 217520 · NEW YORK, NY$3,598,944,023.00Regulatory AUM · August 2026
- AXECAP INVESTMENTS, LLCCRD 314674 · MASON, OH$186,625,957.00Regulatory AUM · August 2026
- AXIA ADVISORY, LLCCRD 107571 · INDIANAPOLIS, IN$1,878,872,773.00Regulatory AUM · August 2026
- AXIA ASSET MANAGEMENT, LLCCRD 173148$71,060,450.00Regulatory AUM · August 2026
- AXIAL READE CAPITAL, LPCRD 301386 · NEW YORK, NY$601,242,401.00Regulatory AUM · August 2026
- AXIENT INVESTMENT ADVISORS LLCCRD 336722 · HUNTSVILLE, AL$453,990,661.00Regulatory AUM · August 2026
- AXIM WEALTH MANAGEMENT LLCCRD 319618 · SPRINGBORO, OH$127,235,713.00Regulatory AUM · August 2026
- AXIOM ALTERNATIVE INVESTMENTS SARLCRD 282155$4,730,882,922.00Regulatory AUM · August 2026
- AXIOM FINANCIAL STRATEGIES GROUP, LLCCRD 306618 · NEW ALBANY, IN$404,117,800.00Regulatory AUM · August 2026
- AXIOM INVESTMENT MANAGEMENT LLCCRD 141516 · NEW YORK, NY$236,775,276.00Regulatory AUM · August 2026
- AXIOM INVESTORS LLCCRD 109605 · GREENWICH, CT$28,062,906,604.00Regulatory AUM · August 2026
- AXIOM WEALTH STRATEGIES, LLCCRD 313124 · BEND, OR$124,726,210.00Regulatory AUM · August 2026
- AXIS WEALTH PARTNERS, LLCCRD 167122 · EAST PROVIDENCE, RI$377,380,633.00Regulatory AUM · August 2026
- AXIUM INFRASTRUCTURE INC.CRD 286454$9,277,457,173.00Regulatory AUM · August 2026
- AXIUM INFRASTRUCTURE US INC.CRD 168164 · NEW YORK, NY$5,830,375,009.00Regulatory AUM · August 2026
- AXIUS ADVISORS LLCCRD 330006 · SAINT CHARLES, MO$623,842,000.00Regulatory AUM · August 2026
- AXON CAPITAL LPCRD 158281 · NEW YORK, NY$527,395,028.00Regulatory AUM · August 2026
- AXONIC CAPITAL LLCCRD 159518 · NEW YORK, NY$9,957,942,275.00Regulatory AUM · August 2026
- AXOS INVEST, INCCRD 150953 · LAS VEGAS, NV$150,762,519.00Regulatory AUM · August 2026
- AXQ CAPITAL, LPCRD 318863 · JERSEY CITY, NJ$727,146,509.00Regulatory AUM · August 2026
- AXS INVESTMENTS LLCCRD 305714 · PORT CHESTER, NY$3,020,930,000.00Regulatory AUM · August 2026
- AXXCESS WEALTH MANAGEMENT, LLCCRD 164081 · CARLSBAD, CA$8,878,796,013.00Regulatory AUM · August 2026
- AXXES ADVISORS I LLCCRD 332460 · CORAL GABLES, FL$6,810,765.00Regulatory AUM · August 2026
- AXXES ADVISORS LLCCRD 318039 · CORAL GABLES, FL$100,000.00Regulatory AUM · August 2026
- AXXETS WEALTH MANAGEMENT USA LLCCRD 340858 · AVENTURA, FL$101,303,220.00Regulatory AUM · August 2026
- AYRSHIRE CAPITAL MANAGEMENT LLCCRD 157883 · WESTPORT, CT$285,051,675.00Regulatory AUM · August 2026
- AYRTON CAPITAL LLCCRD 286298 · WESTPORT, CT$358,856,360.00Regulatory AUM · August 2026
- AZARIAS CAPITAL MANAGEMENT, L.P.CRD 174466 · WESTCHESTER, PA$188,823,949.00Regulatory AUM · August 2026
- AZIMUT INVESTMENT ADVISORS LLCCRD 134626 · MIAMI, FL$1,002,696,146.00Regulatory AUM · August 2026
- AZIMUTH CAPITAL INVESTMENT MANAGEMENT LLCCRD 319062 · BLOOMFIELD HILLS, MI$3,991,029,159.00Regulatory AUM · August 2026
- AZORA CAPITAL LPCRD 287621 · MIAMI, FL$2,502,505,000.00Regulatory AUM · August 2026
- AZORIA CAPITAL, INC.CRD 334835 · WASHINGTON, DCNot availableRegulatory AUM · August 2026
- AZTLAN EQUITY MANAGEMENT, LLCCRD 286360 · MCLEAN, VA$851,056,828.00Regulatory AUM · August 2026
- AZURA PARTNERS US LLCCRD 327986 · NEW YORK, NY$71,300,000.00Regulatory AUM · August 2026
- AZZAD ASSET MANAGEMENT, INC.CRD 111291 · FALLS CHURCH, VA$1,837,193,925.00Regulatory AUM · August 2026
- B. RILEY WEALTH ADVISORS, INC.CRD 115927 · MEMPHIS, TN$4,211,631,082.00Regulatory AUM · August 2026
- B. RILEY WEALTH PRIVATE SHARES, LLCCRD 315851 · MEMPHIS, TN$47,639,513.00Regulatory AUM · August 2026
- B.A. ROBERTS FINANCIAL SERVICES, INC.CRD 289856 · MARQUETTE, MI$373,879,035.00Regulatory AUM · August 2026
- B.A. SCHROCK WEALTH MANAGEMENT, INC.CRD 304694 · WADSWORTH, OH$281,583,977.00Regulatory AUM · August 2026
- B.B. GRAHAM & COMPANY, INC.CRD 41533 · ORANGE, CA$321,650,372.00Regulatory AUM · August 2026
- B.O.S.S. RETIREMENT ADVISORS, LLCCRD 171143 · LEHI, UT$1,382,665,452.00Regulatory AUM · August 2026
- B&D WHITE CAPITAL COMPANY, LLCCRD 173822 · LAKEWAY, TX$925,191,253.00Regulatory AUM · August 2026
- B&T CAPITAL MANAGEMENT, INCORPORATEDCRD 121703 · AUSTIN, TX$871,430,846.00Regulatory AUM · August 2026
- BABB WEALTH ADVISORS LLCCRD 298347 · FLAGSTAFF, AZ$209,433,327.00Regulatory AUM · August 2026
- BAC CAPITAL ADVISORS LLCCRD 116816 · SEATTLE, WA$301,249,292.00Regulatory AUM · August 2026
- BACKBONE PLANNING PARTNERS LLCCRD 326699 · LAS VEGAS, NV$98,392,218.00Regulatory AUM · August 2026
- BACKCAST PARTNERS MANAGEMENT LLCCRD 291785 · NEW YORK, NY$864,371,698.00Regulatory AUM · August 2026
- BADGLEY PHELPS WEALTH MANAGERS, LLCCRD 315440 · SEATTLE, WA$7,280,763,257.00Regulatory AUM · August 2026
- BAER INVESTMENT ADVISORY LLCCRD 152063$118,990,000.00Regulatory AUM · August 2026
- BAFFIN ADVISORS LLCCRD 151202$103,904,710.00Regulatory AUM · August 2026
- BAHL & GAYNOR LLCCRD 106139 · CINCINNATI, OH$20,990,587,107.00Regulatory AUM · August 2026
- BAILARD, INC.CRD 110550 · FOSTER CITY, CA$7,560,902,564.00Regulatory AUM · August 2026
- BAILLIE GIFFORD INTERNATIONAL LLCCRD 305849 · NEW YORK, NY$1,810,836,153.00Regulatory AUM · August 2026
- BAILLIE GIFFORD OVERSEAS LTDCRD 110296$143,996,422,525.00Regulatory AUM · August 2026
- BAIN CAPITAL ASSET MANAGEMENT, LPCRD 183517 · BOSTON, MA$16,294,282,000.00Regulatory AUM · August 2026
- BAIN CAPITAL CREDIT, LPCRD 134852 · BOSTON, MA$76,302,227,970.00Regulatory AUM · August 2026
- BAIN CAPITAL INSURANCE SOLUTIONS, LPCRD 305575 · BOSTON, MA$5,393,224,591.00Regulatory AUM · August 2026
- BAIN CAPITAL PARTNERSHIP STRATEGIES, LPCRD 297457 · BOSTON, MA$1,652,170,000.00Regulatory AUM · August 2026
- BAIN CAPITAL PRIVATE EQUITY, LPCRD 145653 · BOSTON, MA$96,429,353,000.00Regulatory AUM · August 2026
- BAIN CAPITAL PUBLIC EQUITY, LPCRD 145650 · BOSTON, MA$242,234,196.00Regulatory AUM · August 2026
- BAIN CAPITAL REAL ESTATE, LPCRD 291809 · BOSTON, MA$9,995,431,000.00Regulatory AUM · August 2026
- BAIN CAPITAL VENTURES, LPCRD 145652 · BOSTON, MA$9,837,931,000.00Regulatory AUM · August 2026
- BAINBRIDGE PARTNERS LLPCRD 325681$1,037,733,535.00Regulatory AUM · August 2026
- BAIRD CAPITAL MANAGEMENT COMPANY, LLCCRD 323309 · MILWAUKEE, WI$737,854,000.00Regulatory AUM · August 2026
- BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLCCRD 269982 · MILWAUKEE, WI$22,409,000.00Regulatory AUM · August 2026
- BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY II, LLCCRD 292786 · MILWAUKEE, WI$81,729,000.00Regulatory AUM · August 2026
- BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLCCRD 326646 · MILWAUKEE, WI$83,749,000.00Regulatory AUM · August 2026
- BAIRD STRATEGAS LLCCRD 149326 · NEW YORK, NYNot availableRegulatory AUM · August 2026
- BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLCCRD 145166 · MILWAUKEE, WI$1,324,000.00Regulatory AUM · August 2026
- BAIRD VENTURE PARTNERS MANAGEMENT COMPANY IV, LLCCRD 168956 · MILWAUKEE, WI$252,060,000.00Regulatory AUM · August 2026
- BAIRD VENTURE PARTNERS MANAGEMENT COMPANY V, LLCCRD 298155 · MILWAUKEE, WI$195,158,000.00Regulatory AUM · August 2026
- BAKER AVENUE ASSET MANAGEMENT, LPCRD 132657 · SAN FRANCISCO, CA$5,086,036,641.00Regulatory AUM · August 2026
- BAKER BROS. ADVISORS LPCRD 158149 · NEW YORK, NY$28,147,892,952.00Regulatory AUM · August 2026
- BAKER ELLIS ASSET MANAGEMENT LLCCRD 121802 · VANCOUVER, WA$1,047,120,232.00Regulatory AUM · August 2026
- BAKER STREET ADVISORS, LLCCRD 128066 · SAN FRANCISCO, CA$20,770,000,000.00Regulatory AUM · August 2026
- BAKER TILLY WEALTH MANAGEMENT, LLCCRD 167811 · MADISON, WI$4,601,242,128.00Regulatory AUM · August 2026
- BALANCE CASH MANAGEMENT INC.CRD 333867 · SAN FRANCISCO, CA$11,595,115.00Regulatory AUM · August 2026
- BALANCE POINT CAPITAL ADVISORS, LLCCRD 264789 · WESTPORT, CT$2,442,083,777.00Regulatory AUM · August 2026
- BALANCE WEALTH PARTNERS LLCCRD 329589 · WORTHINGTON, OH$386,652,646.00Regulatory AUM · August 2026
- BALANCED FINANCIAL PLANNING, INC.CRD 128161 · OVERLAND PARK, KS$181,332,636.00Regulatory AUM · August 2026
- BALANCED ROCK INVESTMENT ADVISORS LLCCRD 157424 · ROSLINDALE, MA$193,233,075.00Regulatory AUM · August 2026
- BALANCED WEALTH GROUP LLCCRD 328007 · WESTLAKE, OH$494,073,639.00Regulatory AUM · August 2026
- BALANCED WEALTH MANAGEMENT, LLC.CRD 174699 · EAST GREENWICH, RI$101,959,984.00Regulatory AUM · August 2026
- BALANZ ADVISORS LLCCRD 322263 · CORAL GABLES, FL$152,608,123.00Regulatory AUM · August 2026
- BALBEC CAPITAL MANAGEMENT LPCRD 284363 · SCOTTSDALE, AZ$7,986,194,775.00Regulatory AUM · August 2026
- BALBOA WEALTH PARTNERS, INC.CRD 282329 · SCOTTSDALE, AZ$1,070,330,403.00Regulatory AUM · August 2026
- BALCH HILL CAPITAL, LLCCRD 113209$402,084,596.00Regulatory AUM · August 2026
- BALDWIN & CLARKE ADVISORY SERVICES LLCCRD 105666 · BEDFORD, NH$465,731,924.00Regulatory AUM · August 2026
- BALDWIN INVESTMENT MANAGEMENT, LLCCRD 108922 · WEST CONSHOHOCKEN, PA$1,295,038,694.00Regulatory AUM · August 2026