All investment adviser firms · Page 51
Alphabetical firm directory from the selected SEC monthly adviser snapshots.
17,094 firms · Source months shown: July 2026 and August 2026
- EFFECTIVE ASSETS, INC.CRD 285744$165,142,215.00Regulatory AUM · August 2026
- EFFICIENT CAPITAL MANAGEMENT LLCCRD 287958 · WARRENVILLE, IL$1,156,523,519.00Regulatory AUM · August 2026
- EFG ASSET MANAGEMENT (NORTH AMERICA) CORPCRD 313103 · PORTLAND, OR$808,927,493.00Regulatory AUM · August 2026
- EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.CRD 158905 · MIAMI, FL$2,301,686,106.00Regulatory AUM · August 2026
- EFINANCIAL ALLIANCE, LLCCRD 161352 · FRANKLIN, TN$291,884,556.00Regulatory AUM · August 2026
- EFM INVESTMENTS & ADVISORY LLCCRD 339744 · PORTLAND, OR$680,035,856.00Regulatory AUM · August 2026
- EFPORTFOLIO LLCCRD 342386 · SACRAMENTO, CANot availableRegulatory AUM · August 2026
- EFS ADVISORS LLCCRD 115211 · CAMBRIDGE, MN$2,402,605,047.00Regulatory AUM · August 2026
- EFS ASSET MANAGEMENT LLCCRD 106184 · DALLAS, TX$70,001,256.00Regulatory AUM · August 2026
- EGERTON CAPITAL (UK) LLPCRD 156384$19,120,001,266.00Regulatory AUM · August 2026
- EGERTON CAPITAL (US), LPCRD 297738 · NEW YORK, NY$19,526,014,402.00Regulatory AUM · August 2026
- EGI FINANCIAL, INC.CRD 120607 · AKRON, OH$348,658,870.00Regulatory AUM · August 2026
- EGIS CAPITAL PARTNERS LPCRD 306123 · SUMMIT, NJ$160,831,523.00Regulatory AUM · August 2026
- EGSI INVESTMENT MANAGEMENT, INC.CRD 171488 · DUBLIN, OH$144,660,922.00Regulatory AUM · August 2026
- EHB FINANCIAL RESOURCES MANAGEMENT, INC.CRD 116186 · EXTON, PA$164,000,000.00Regulatory AUM · August 2026
- EHG WEALTH MANAGEMENT LLCCRD 342819Not availableRegulatory AUM · August 2026
- EHLERS INVESTMENT PARTNERS, LLCCRD 146385 · MINNEAPOLIS, MN$3,173,440,473.00Regulatory AUM · August 2026
- EHRENKRANZ PARTNERS L.P.CRD 131728 · NEW YORK, NY$21,536,957,872.00Regulatory AUM · August 2026
- EICHNER INVESTMENT PLANNING, LLCCRD 128215 · CINCINNATI, OH$692,074,828.00Regulatory AUM · August 2026
- EIG MANAGEMENT COMPANY, LLCCRD 154302 · WASHINGTON, DC$22,224,212,337.00Regulatory AUM · August 2026
- EIGER WEALTH MANAGEMENT, LLCCRD 304321 · SAN DIEGO, CA$338,734,885.00Regulatory AUM · August 2026
- EIGHT 31 FINANCIAL, LLCCRD 327632 · MIDLAND, TX$532,353,561.00Regulatory AUM · August 2026
- EIGHT PARTNERS VC, LLCCRD 283031 · AUSTIN, TX$13,379,484,700.00Regulatory AUM · August 2026
- EIGHTFOLD REAL ESTATE CAPITAL, L.P.CRD 163086 · MIAMI, FL$1,425,693,629.00Regulatory AUM · August 2026
- EIR PARTNERS CAPITAL, LPCRD 319010 · MIAMI, FL$2,717,299,333.00Regulatory AUM · August 2026
- EIV CAPITAL, LLCCRD 169111 · HOUSTON, TX$2,232,201,782.00Regulatory AUM · August 2026
- EJF CAPITAL LPCRD 138854 · ARLINGTON, VA$6,101,275,318.00Regulatory AUM · August 2026
- EJMK VENTURES LLCCRD 335762 · ITASCA, IL$282,822,771.00Regulatory AUM · August 2026
- EKANTA WEALTH ADVISORS LLCCRD 282031 · COCONUT GROVE, FL$306,677,491.00Regulatory AUM · August 2026
- EKO INVESTMENTS INC.CRD 313296$74,889,305.00Regulatory AUM · August 2026
- EKON ADVISORS, LLCCRD 281039 · ST. LOUIS, MO$219,757,130.00Regulatory AUM · August 2026
- EL CASTILLO INVESTMENTS, LLCCRD 328068$1,800,000.00Regulatory AUM · August 2026
- EL MENUDO CUENTA LLCCRD 328439 · MIAMI, FL$3,600.00Regulatory AUM · August 2026
- ELCO MANAGEMENT COMPANY, LLCCRD 137036 · NEW YORK, NY$261,194,248.00Regulatory AUM · August 2026
- ELDA RIVER CAPITAL MANAGEMENT, LLCCRD 326859 · HOUSTON, TX$1,941,241,320.00Regulatory AUM · August 2026
- ELDERADO FINANCIAL, INCCRD 112908 · MONTROSE, CO$237,228,760.00Regulatory AUM · August 2026
- ELDRED ROCK PARTNERS, LLCCRD 316401 · SAN ANTONIO, TX$644,081,451.00Regulatory AUM · August 2026
- ELDRIDGE CREDIT ADVISERS, LLCCRD 155736 · NEW YORK, NY$8,459,507,451.00Regulatory AUM · August 2026
- ELDRIDGE GP1 ADVISERS, LLCCRD 333934 · NEW YORK, NY$510,045,000.00Regulatory AUM · August 2026
- ELDRIDGE INVESTMENT ADVISORS INCCRD 106380 · MANCHESTER, NH$814,336,574.00Regulatory AUM · August 2026
- ELDRIDGE SME ADVISERS, LLCCRD 334010 · NEW YORK, NY$200,880,106.00Regulatory AUM · August 2026
- ELDRIDGE STRUCTURED CREDIT ADVISERS, LLCCRD 313420 · NEW YORK, NY$10,525,672,296.00Regulatory AUM · August 2026
- ELE ADVISORY SERVICES, INCCRD 148228 · SOUTHFIELD, MI$136,526,405.00Regulatory AUM · August 2026
- ELECTRA CAPITAL ADVISORS, LLCCRD 318664 · CONSHOHOCKEN, PA$1,453,767,459.00Regulatory AUM · August 2026
- ELECTRIC CAPITAL PARTNERS, LLCCRD 296943 · PALO ALTO, CA$2,877,301,822.00Regulatory AUM · August 2026
- ELECTRON CAPITAL PARTNERS, LLCCRD 166102 · NEW YORK, NY$4,201,565,868.00Regulatory AUM · August 2026
- ELEMENT CAPITAL MANAGEMENT LLCCRD 160309 · NEW YORK, NY$43,427,362,512.00Regulatory AUM · August 2026
- ELEMENT POINTE ADVISORS, LLCCRD 282750 · MIAMI, FL$1,218,377,295.00Regulatory AUM · August 2026
- ELEMENT SQUARED LLCCRD 311284 · MINNEAPOLIS, MN$203,482,682.00Regulatory AUM · August 2026
- ELEMENT WEALTH, LLCCRD 114968 · RIDGELAND, MS$743,663,309.00Regulatory AUM · August 2026
- ELEMENTAL CAPITAL PARTNERS LLCCRD 283897$193,088,005.00Regulatory AUM · August 2026
- ELEMENTUM ADVISORS, LLCCRD 151635 · CHICAGO, IL$4,475,926,320.00Regulatory AUM · August 2026
- ELEQUIN CAPITAL, LPCRD 308371 · NEW YORK, NY$2,065,076,464.00Regulatory AUM · August 2026
- ELEVAGE PARTNERS, LLCCRD 158386 · RENO, NV$154,574,081.00Regulatory AUM · August 2026
- ELEVATE CAPITAL ADVISORS, INC.CRD 288190 · EAGLE, CO$183,285,397.00Regulatory AUM · August 2026
- ELEVATE FINANCIAL PLANNING AND WEALTH MANAGEMENT LLCCRD 329079 · ST. PETERSBURG, FL$107,110,000.00Regulatory AUM · August 2026
- ELEVATE PLANNERS, LLCCRD 332251$25,946,000.00Regulatory AUM · August 2026
- ELEVATE WEALTH ADVISORY, INC.CRD 149713 · ATHENS, GA$385,513,316.00Regulatory AUM · August 2026
- ELEVATE WEALTH MANAGEMENT, LLCCRD 336710 · SHERIDAN, WY$320,272,718.00Regulatory AUM · August 2026
- ELEVATED CAPITAL ADVISORS, LLCCRD 226721 · DRAPER, UT$499,143,919.00Regulatory AUM · August 2026
- ELEVATED FINANCIAL GROUP, LLCCRD 334353 · INDIANAPOLIS, IN$531,978,537.00Regulatory AUM · August 2026
- ELEVATED PRIVATE WEALTH, LLCCRD 335270$122,688,111.00Regulatory AUM · August 2026
- ELEVATION ADVISORY PARTNERS LLCCRD 312170 · ORLANDO, FL$226,045,866.00Regulatory AUM · August 2026
- ELEVATION CAPITAL ADVISORY, LLCCRD 171473 · BEND, OR$252,899,443.00Regulatory AUM · August 2026
- ELEVATION POINT WEALTH PARTNERS, LLCCRD 137068 · DENVER, CO$8,290,502,368.00Regulatory AUM · August 2026
- ELEVATION WEALTH MANAGEMENT, LLCCRD 314604$259,218,573.00Regulatory AUM · August 2026
- ELEVATION WEALTH PARTNERS LLCCRD 324951$219,611,231.00Regulatory AUM · August 2026
- ELEVATION WEALTH PARTNERS, LLCCRD 123971 · WALNUT CREEK, CA$670,748,146.00Regulatory AUM · August 2026
- ELEVATUS WEALTH MANAGEMENT, LLCCRD 325629 · VICTOR, NY$513,429,017.00Regulatory AUM · August 2026
- ELEY FINANCIAL MANAGEMENT, INC.CRD 105057 · SOUTH BURLINGTON, VT$409,558,720.00Regulatory AUM · August 2026
- ELGETHUN CAPITAL MANAGEMENTCRD 127616 · SIOUX FALLS, SD$1,139,926,422.00Regulatory AUM · August 2026
- ELI CIRCLE CAPITAL, LPCRD 326553 · LOS ANGELES, CA$209,025,215.00Regulatory AUM · August 2026
- ELION PARTNERS, LLCCRD 170483 · MIAMI, FL$1,412,383,000.00Regulatory AUM · August 2026
- ELIOS FINANCIAL GROUP, INC.CRD 119873 · WESTLAKE, OH$331,500,000.00Regulatory AUM · August 2026
- ELIOT FINKEL INVESTMENT COUNSEL, LLCCRD 104695 · BEVERLY HILLS, CA$186,985,425.00Regulatory AUM · August 2026
- ELIOT ROSE WEALTH MANAGEMENT, LLCCRD 120465 · PROVIDENCE, RI$186,327,765.00Regulatory AUM · August 2026
- ELITE CAPITAL MANAGEMENT GROUP, LLCCRD 144228$350,938,755.00Regulatory AUM · August 2026
- ELITE FINANCIAL, INC.CRD 286667 · LEWISTON, ID$274,230,878.00Regulatory AUM · August 2026
- ELITE INCOME ADVISORS, INC.CRD 285429 · ELLICOTT CITY, MD$213,383,359.00Regulatory AUM · August 2026
- ELITE LIFE MANAGEMENT LLCCRD 310917 · ERIE, PA$147,036,608.00Regulatory AUM · August 2026
- ELITE RETIREMENT GROUP, INC.CRD 312178 · PLOVER, WI$168,368,263.00Regulatory AUM · July 2026
- ELITE RETIREMENT PLANNING, LLCCRD 297942 · GRIMES, IA$568,827,090.00Regulatory AUM · August 2026
- ELITE TAMP LLCCRD 327535 · CARMEL BY THE SEA, CA$322,063.00Regulatory AUM · August 2026
- ELITE WEALTH MANAGEMENT, INC.CRD 132122 · KIRKLAND, WA$861,321,612.00Regulatory AUM · August 2026
- ELITE WEALTH MANAGEMENT, INC.CRD 333159 · PLOVER, WI$161,422,447.00Regulatory AUM · August 2026
- ELIZABETH PARK CAPITAL ADVISORS, LTDCRD 158416 · PEPPER PIKE, OH$393,949,323.00Regulatory AUM · August 2026
- ELK RIVER WEALTH MANAGEMENT LLCCRD 307263 · DENVER, CO$971,278,241.00Regulatory AUM · August 2026
- ELKWATER CAPITAL MANAGEMENT, LLCCRD 333963 · NEW YORK, NY$44,802,000.00Regulatory AUM · August 2026
- ELLA FINANCIAL ADVISING LLCCRD 307357 · OAKLAND, CA$106,855,983.00Regulatory AUM · August 2026
- ELLENBECKER INVESTMENT GROUP, INC.CRD 173851 · WAUKESHA, WI$2,062,688,555.00Regulatory AUM · August 2026
- ELLERBROCK-NORRIS WEALTH STRATEGIES LLCCRD 295099 · OMAHA, NE$171,618,658.00Regulatory AUM · August 2026
- ELLEVEST, INC.CRD 175476 · NEW YORK, NY$1,131,232,881.00Regulatory AUM · August 2026
- ELLINGTON CREDIT COMPANY MANAGEMENT LLCCRD 168311 · OLD GREENWICH, CT$414,963,000.00Regulatory AUM · August 2026
- ELLINGTON FINANCIAL MANAGEMENT LLCCRD 150510 · OLD GREENWICH, CT$19,352,910,000.00Regulatory AUM · August 2026
- ELLINGTON GLOBAL ASSET MANAGEMENT, LLCCRD 141772 · OLD GREENWICH, CT$9,180,217,764.00Regulatory AUM · August 2026
- ELLINGTON MANAGEMENT GROUP, L.L.C.CRD 112493 · OLD GREENWICH, CT$20,757,004,631.00Regulatory AUM · August 2026
- ELLIOTT COVE CAPITAL MANAGEMENT LLCCRD 123636 · SEATTLE, WA$348,161,285.00Regulatory AUM · August 2026
- ELLIOTT INVESTMENT MANAGEMENT L.P.CRD 307151 · WEST PALM BEACH, FL$128,623,830,745.00Regulatory AUM · August 2026
- ELLIS INVESTMENT PARTNERS, LLCCRD 157669 · BERWYN, PA$986,849,047.00Regulatory AUM · August 2026
- ELLIS WEALTH ADVISORS, LLCCRD 342527 · MADISON, ALNot availableRegulatory AUM · August 2026