All investment adviser firms · Page 31
Alphabetical firm directory from the selected SEC monthly adviser snapshots.
17,094 firms · Source months shown: August 2026
- CAPITAL MANAGEMENT ASSOCIATES INCCRD 105010 · MINNEAPOLIS, MN$1,879,452,339.00Regulatory AUM · August 2026
- CAPITAL MANAGEMENT LLCCRD 109416 · GREENSBORO, NC$382,964,479.00Regulatory AUM · August 2026
- CAPITAL MANAGEMENT SERVICES, INC.CRD 118260 · MANCHESTER, MO$145,200,000.00Regulatory AUM · August 2026
- CAPITAL MARKETS IQ, LLCCRD 134921$571,446,571.00Regulatory AUM · August 2026
- CAPITAL PLANNING, LLCCRD 169470 · BELLEVUE, WA$617,688,176.00Regulatory AUM · August 2026
- CAPITAL PRESERVATION PARTNERS INC.CRD 126340 · BRONXVILLE, NY$222,364,466.00Regulatory AUM · August 2026
- CAPITAL Q MANAGEMENT LLCCRD 305337 · MAITLAND, FL$93,408,051.00Regulatory AUM · August 2026
- CAPITAL RESEARCH & CONSULTING LLCCRD 109868 · PASADENA, CA$5,985,401,577.00Regulatory AUM · August 2026
- CAPITAL RESEARCH AND MANAGEMENT COMPANYCRD 110885 · LOS ANGELES, CA$3,753,542,800,892.00Regulatory AUM · August 2026
- CAPITAL RESEARCH COMPANYCRD 110684 · LOS ANGELES, CANot availableRegulatory AUM · August 2026
- CAPITAL RESOURCE MANAGEMENT INCCRD 106768 · DEERFIELD, IL$593,183,813.00Regulatory AUM · August 2026
- CAPITAL SQUARE, LLCCRD 286098 · ATHENS, TN$449,867,352.00Regulatory AUM · August 2026
- CAPITAL SQUARED FINANCIAL LLCCRD 326861 · ROCKVILLE, MD$198,700,000.00Regulatory AUM · August 2026
- CAPITAL VIEW WEALTH MANAGEMENT, LLCCRD 126653$128,834,000.00Regulatory AUM · August 2026
- CAPITAL WEALTH ADVISORS, LTD.CRD 155263 · WEST BEND, WI$126,107,540.00Regulatory AUM · August 2026
- CAPITAL WEALTH ALLIANCE, LLCCRD 298257 · SCOTTSDALE, AZ$300,294,005.00Regulatory AUM · August 2026
- CAPITAL WEALTH MANAGEMENT, LLCCRD 157959 · WEST WARWICK, RI$1,137,135,987.00Regulatory AUM · August 2026
- CAPITAL WEALTH PLANNING, LLCCRD 150764 · NAPLES, FL$17,247,323,339.00Regulatory AUM · August 2026
- CAPITAL WEST PARTNERS, LLCCRD 130762 · TUCSON, AZ$299,981,160.00Regulatory AUM · August 2026
- CAPITAL Z ASSET MANAGEMENT, LLCCRD 162210$255,911,381.00Regulatory AUM · August 2026
- CAPITAL Z PARTNERS MANAGEMENT, LLCCRD 157048 · NAPLES, FL$1,944,681,244.00Regulatory AUM · August 2026
- CAPITALA PRIVATE ADVISORS, LLCCRD 283527 · CHARLOTTE, NC$505,135,000.00Regulatory AUM · August 2026
- CAPITALIA (SUISSE)CRD 164222$750,000,000.00Regulatory AUM · August 2026
- CAPITALWORKS, LLCCRD 160408 · CLEVELAND, OH$283,933,229.00Regulatory AUM · August 2026
- CAPITOL FAMILY OFFICE, INC.CRD 312005 · BEAVERTON, OR$136,089,945.00Regulatory AUM · August 2026
- CAPITOL FINANCIAL CONSULTANTS, INC.CRD 109800 · MCLEAN, VA$269,164,388.00Regulatory AUM · August 2026
- CAPITOL MERIDIAN PARTNERS LPCRD 319080 · WASHINGTON, DC$1,669,262,233.00Regulatory AUM · August 2026
- CAPITOL PRIVATE WEALTH GROUP LLCCRD 283257 · VIENNA, VA$562,135,138.00Regulatory AUM · August 2026
- CAPITOL SECURITIES MANAGEMENT, INC.CRD 14169 · GLEN ALLEN, VA$2,162,366,778.00Regulatory AUM · August 2026
- CAPITOLIS ADVISORS LLCCRD 290462 · NEW YORK, NY$4,500,183,636.00Regulatory AUM · August 2026
- CAPRA CREDIT MANAGEMENT, LLCCRD 281736 · NEW YORK, NY$45,129,956.00Regulatory AUM · August 2026
- CAPRA IBEX CREDIT OPPORTUNITIES, LLCCRD 332538 · NEW YORK, NY$45,129,956.00Regulatory AUM · August 2026
- CAPRI EGM, LLCCRD 304389 · CHICAGO, ILNot availableRegulatory AUM · August 2026
- CAPRIA VENTURES LLCCRD 284129 · SEATTLE, WA$161,000,000.00Regulatory AUM · August 2026
- CAPRICE CAPITAL PARTNERS, LLCCRD 307048$123,209,312.00Regulatory AUM · August 2026
- CAPRICORN INVESTMENT GROUP LLCCRD 147417 · NEW YORK, NY$18,852,861,507.00Regulatory AUM · August 2026
- CAPROCK PARTNERS MANAGEMENT, INC.CRD 296925 · NEWPORT BEACH, CA$1,517,162,010.00Regulatory AUM · August 2026
- CAPSHIFT ADVISORS, LLCCRD 309860 · WEST NEWTON, MA$627,980,982.00Regulatory AUM · August 2026
- CAPSIGMA INVESTMENT PARTNERS LTDACRD 336478$61,609,497.00Regulatory AUM · August 2026
- CAPSOUTH PARTNERS, INC.CRD 132517 · DOTHAN, AL$1,001,269,513.00Regulatory AUM · August 2026
- CAPSTAR FINANCIAL SERVICES LLCCRD 300349 · AUSTIN, TX$207,804,471.00Regulatory AUM · August 2026
- CAPSTONE CAPITAL LLCCRD 123764 · HENDERSON, NV$408,417,345.00Regulatory AUM · August 2026
- CAPSTONE FINANCIAL ADVISORS INCCRD 109341 · DOWNERS GROVE, IL$2,868,074,312.00Regulatory AUM · August 2026
- CAPSTONE INVESTMENT ADVISORS, LLCCRD 155563 · NEW YORK, NY$91,526,537,087.00Regulatory AUM · August 2026
- CAPSTONE INVESTMENT FINANCIAL GROUP, LLCCRD 122575 · WEBSTER, NY$174,626,885.00Regulatory AUM · August 2026
- CAPSTONE INVESTMENT GROUP, LLCCRD 159918 · OLYMPIA, WA$176,450,000.00Regulatory AUM · August 2026
- CAPSTONE WEALTH ADVISORS, LLCCRD 287670 · SALEM, OR$102,375,746.00Regulatory AUM · August 2026
- CAPSTONE WEALTH MANAGEMENT CORP.CRD 165359 · LAKELAND, FL$109,447,228.00Regulatory AUM · August 2026
- CAPSTONE WEALTH MANAGEMENT GROUP, INC.CRD 340135 · BEND, OR$243,000,000.00Regulatory AUM · August 2026
- CAPSTONE WEALTH MANAGEMENT GROUP, LLCCRD 128097 · BEND, OR$266,054,369.00Regulatory AUM · August 2026
- CAPSTONE WEALTH MANAGEMENT GROUP, LLCCRD 284547 · DUNMORE, PA$356,144,460.00Regulatory AUM · August 2026
- CAPSTONE WEALTH MANAGEMENT, INC.CRD 130128 · BILLINGS, MT$354,276,732.00Regulatory AUM · August 2026
- CAPSTONE WEALTH MANAGEMENT, LLCCRD 118296 · TUSCALOOSA, AL$416,107,919.00Regulatory AUM · August 2026
- CAPSTONE WEALTH PARTNERS, LTD.CRD 152524 · DUBLIN, OH$114,862,553.00Regulatory AUM · August 2026
- CAPTIAL ADVISOR NETWORKCRD 297578 · LAFAYETTE, IN$124,476,831.00Regulatory AUM · August 2026
- CAPTION MANAGEMENT, LLCCRD 173841 · OKLAHOMA CITY, OK$3,407,703,418.00Regulatory AUM · August 2026
- CAPULA INVESTMENT US LPCRD 157589 · NEW YORK, NY$137,437,353,519.00Regulatory AUM · August 2026
- CAPVEST PARTNERS, INC.CRD 324459 · NEW YORK, NY$10,246,424,438.00Regulatory AUM · August 2026
- CAPVISOR ASSOCIATES, LLCCRD 289154$633,146,275.00Regulatory AUM · August 2026
- CAPWEALTH ADVISORS, LLCCRD 148781 · FRANKLIN, TN$2,030,847,981.00Regulatory AUM · August 2026
- CAPZONE MANAGEMENT LLCCRD 330135 · NORWALK, CT$201,611,724.00Regulatory AUM · August 2026
- CARAVELA ENERGY PARTNERS LPCRD 323131 · DARIEN, CT$529,128,587.00Regulatory AUM · August 2026
- CARBAHAL OLSEN FINANCIAL SERVICES GROUP LLCCRD 151765 · DAVIS, CA$257,597,197.00Regulatory AUM · August 2026
- CARBON COLLECTIVE INVESTING, LLCCRD 310129 · OAKLAND, CA$348,353,604.00Regulatory AUM · August 2026
- CARBON DIRECT CAPITAL MANAGEMENT LLCCRD 317548 · NEW YORK, NY$729,560,296.00Regulatory AUM · August 2026
- CARDEA CAPITAL ADVISORS, LLCCRD 307600 · VERO BEACH, FL$124,161,851.00Regulatory AUM · August 2026
- CARDENAS ASSET MANAGEMENT, LLCCRD 114943$149,257,748.00Regulatory AUM · August 2026
- CARDEROCK CAPITAL MANAGEMENT, INC.CRD 104570 · CHEVY CHASE, MD$676,977,368.00Regulatory AUM · August 2026
- CARDIFF PARK ADVISORS,LLCCRD 126752$2,958,061,526.00Regulatory AUM · August 2026
- CARDINAL ADVISERS LLCCRD 284465$118,539,851.00Regulatory AUM · August 2026
- CARDINAL CAPITAL MANAGEMENT INCCRD 108076 · RALEIGH, NC$1,025,998,835.00Regulatory AUM · August 2026
- CARDINAL CAPITAL MANAGEMENT, INC.CRD 124729$4,019,229,264.00Regulatory AUM · August 2026
- CARDINAL POINT CAPITAL LLCCRD 141166 · SAN FRANCISCO, CA$100,040,510.00Regulatory AUM · August 2026
- CARDINAL POINT CAPITAL MANAGEMENT, ULCCRD 140619$4,808,296,667.00Regulatory AUM · August 2026
- CARDINAL RETIREMENT PLANNING, INC.CRD 166545$127,415,483.00Regulatory AUM · August 2026
- CARDINAL STRATEGIC WEALTH GUIDANCE, LLCCRD 283226 · LOUISVILLE, KY$617,652,976.00Regulatory AUM · August 2026
- CARDINAL WEALTH ADVISORY, LLCCRD 136659 · MEMPHIS, TN$273,224,667.00Regulatory AUM · August 2026
- CARDONE WEALTH ADVISORS, LLCCRD 337559 · AVENTURA, FLNot availableRegulatory AUM · August 2026
- CARE EQUITY CAPITAL MANAGEMENT, L.P.CRD 312131$426,850,000.00Regulatory AUM · August 2026
- CAREY CONSULTING WEALTH MANAGEMENT, INC.CRD 173885 · SAN RAMON, CA$222,818,000.00Regulatory AUM · August 2026
- CARGILE INVESTMENT MANAGEMENT, INC.CRD 116982 · MIDLAND, TX$394,568,839.00Regulatory AUM · August 2026
- CARILLON TOWER ADVISERS, INC.CRD 174904 · ST PETERSBURG, FL$16,864,326,714.00Regulatory AUM · August 2026
- CARL MARKS MANAGEMENT COMPANY, LLCCRD 107695 · NEW YORK, NY$374,463,634.00Regulatory AUM · August 2026
- CARL P. SHERR & CO., LLCCRD 3394 · WORCESTER, MA$505,418,629.00Regulatory AUM · August 2026
- CARLIN WEALTH MANAGEMENT GROUP, LLCCRD 325306 · AUSTIN, TX$240,889,754.00Regulatory AUM · August 2026
- CARLISLE TAX CREDITS LLCCRD 151461$444,183,271.00Regulatory AUM · August 2026
- CARLSBAD WEALTH ADVISORY GROUP, INC.CRD 146587 · CARLSBAD, CA$237,557,236.00Regulatory AUM · August 2026
- CARLSON & COMPANY FINANCIAL SERVICES, LLCCRD 295907 · TOPEKA, KS$632,192,164.00Regulatory AUM · August 2026
- CARLSON CAPITAL, L.P.CRD 118156 · DALLAS, TX$597,169,590.00Regulatory AUM · August 2026
- CARLSON FINANCIAL, INC.CRD 335831 · CANBY, OR$317,952,000.00Regulatory AUM · August 2026
- CARLTON, HOFFERKAMP AND JENKS WEALTH MANAGEMENT, LLCCRD 154238 · THE WOODLANDS, TX$600,211,084.00Regulatory AUM · August 2026
- CARLYLE AVIATION PDP MANAGEMENT LLCCRD 305746 · MIAMI, FL$10,396,634,892.00Regulatory AUM · August 2026
- CARLYLE AVIATION SECURITIES PARTNERS LLCCRD 168456 · MIAMI, FL$1,135,964,166.00Regulatory AUM · August 2026
- CARLYLE GLOBAL CREDIT INVESTMENT MANAGEMENT L.L.C.CRD 162053 · NEW YORK, NY$68,380,386,873.00Regulatory AUM · August 2026
- CARLYLE INVESTMENT MANAGEMENT L.L.C.CRD 111128 · WASHINGTON, DC$283,814,531,141.00Regulatory AUM · August 2026
- CARMANDALIAN FINANCIAL GROUP, LLCCRD 292458 · WESTLAKE VILLAGE, CA$150,837,636.00Regulatory AUM · August 2026
- CARMEL CAPITAL MANAGEMENT L.L.C.CRD 120675 · CARMEL, CA$391,993,000.00Regulatory AUM · August 2026
- CARMEL CAPITAL PARTNERS, LLCCRD 123907 · SAN DIEGO, CA$434,260,039.00Regulatory AUM · August 2026
- CARMEL MANAGEMENT III, LLCCRD 160892 · SAN FRANCISCO, CA$7,984,384,000.00Regulatory AUM · August 2026
- CARMICHAEL CAPITAL, INC.CRD 118468 · FRANKLIN, TN$126,644,840.00Regulatory AUM · August 2026