Investment adviser firms: $1 billion to under $10 billion in regulatory AUM · Page 29
Grouped by reported regulatory assets under management in each firm's displayed source month. Missing or quarantined AUM is excluded; exact zero is included. These groups do not rank performance or quality.
4,032 firms · Source months shown: August 2026
- PINE VALLEY INVESTMENTS LIMITED LIABILITY COMPANYCRD 173995 · MARLTON, NJ$2,674,263,421.00Regulatory AUM · August 2026
- PINEGROVE ADVISER LLCCRD 170811 · SAN FRANCISCO, CA$2,929,344,404.00Regulatory AUM · August 2026
- PINKERTON WEALTH, LLCCRD 120973 · COEUR D'ALENE, ID$1,439,082,849.00Regulatory AUM · August 2026
- PINNACLE ASSET MANAGEMENT, L.P.CRD 126487 · NEW YORK, NY$6,230,507,858.00Regulatory AUM · August 2026
- PINNACLE INVESTMENTS, LLCCRD 142910 · EAST SYRACUSE, NY$1,293,553,606.00Regulatory AUM · August 2026
- PINNACLE PENSION CONSULTANTS LLCCRD 133442 · NEEDHAM, MA$2,169,070,234.00Regulatory AUM · August 2026
- PINNACLE WEALTH MANAGEMENT ADVISORY GROUP, LLCCRD 158332 · RED BANK, NJ$2,340,272,087.00Regulatory AUM · August 2026
- PINNACLE WEALTH PLANNING SERVICES, INC.CRD 106817 · MANSFIELD, OH$2,136,474,646.00Regulatory AUM · August 2026
- PINNBROOK CAPITAL MANAGEMENT LPCRD 312827 · NEW YORK, NY$1,065,012,708.00Regulatory AUM · August 2026
- PIPER SANDLER & CO.CRD 665 · MINNEAPOLIS, MN$1,284,404,458.00Regulatory AUM · August 2026
- PITCAIRN WEALTH ADVISORS LLCCRD 333260 · CONSHOHOCKEN, PA$5,871,259,245.00Regulatory AUM · August 2026
- PITTENGER & ANDERSON INCCRD 111033 · LINCOLN, NE$3,034,066,574.00Regulatory AUM · August 2026
- PIVOT CAPITAL PARTNERS LLCCRD 335324 · CHICAGO, IL$1,400,000,000.00Regulatory AUM · August 2026
- PIVOTAL ADVISORS LLCCRD 310612 · NEW YORK, NY$1,066,660,463.00Regulatory AUM · August 2026
- PKS ADVISORY SERVICES, LLCCRD 125648 · ALBANY, NY$1,093,322,679.00Regulatory AUM · August 2026
- PLANCORP, LLCCRD 106599 · SAINT LOUIS, MO$9,942,372,723.00Regulatory AUM · August 2026
- PLANNING ALTERNATIVES LTDCRD 110268 · BIRMINGHAM, MI$1,541,372,016.00Regulatory AUM · August 2026
- PLANPILOT, LLCCRD 160319 · CHICAGO, IL$5,578,337,916.00Regulatory AUM · August 2026
- PLATFORM INVESTMENTS, LLCCRD 159261 · KANSAS CITY, MO$1,657,237,697.00Regulatory AUM · August 2026
- PLATFORM TECHNOLOGY PARTNERS LLCCRD 305602 · LOCUST VALLEY, NY$1,228,845,049.00Regulatory AUM · August 2026
- PLEASANT LAKE PARTNERS LLCCRD 304281 · RINCON, PR$2,055,856,750.00Regulatory AUM · August 2026
- PLEIAD INVESTMENT ADVISORS LIMITEDCRD 172237$1,351,842,651.00Regulatory AUM · August 2026
- PLEXUS CAPITAL, LLCCRD 310241 · RALEIGH, NC$3,771,979,381.00Regulatory AUM · August 2026
- PNC STEEL CITY ADVISORS, LLCCRD 172658 · PITTSBURGH, PA$2,716,618,620.00Regulatory AUM · August 2026
- PNC TC, LLCCRD 172753 · LOUISVILLE, KY$3,553,308,062.00Regulatory AUM · August 2026
- POINT BREAK CAPITAL MANAGEMENT LLCCRD 164213 · MIAMI, FL$2,038,408,736.00Regulatory AUM · August 2026
- POINT OLEMA CAPITAL PARTNERS, L.P.CRD 304303 · SAN FRANCISCO, CA$2,948,080,368.00Regulatory AUM · August 2026
- POINTER MANAGEMENT, LLCCRD 156810 · CHATTANOOGA, TN$2,790,864,131.00Regulatory AUM · August 2026
- POINTOAK RETIREMENT ADVISORS, LLCCRD 314866 · MCLEAN, VA$1,078,990,787.00Regulatory AUM · August 2026
- POLARIS CAPITAL MANAGEMENT, LLCCRD 106278 · BOSTON, MA$5,452,307,694.00Regulatory AUM · August 2026
- POLARIS GROWTH MANAGEMENT, LLCCRD 297431 · BOSTON, MA$4,216,506,351.00Regulatory AUM · August 2026
- POLEN CAPITAL CREDIT, LLCCRD 108468 · WALTHAM, MA$6,129,466,812.00Regulatory AUM · August 2026
- POLUNIN CAPITAL PARTNERS LIMITEDCRD 159031$7,959,632,144.00Regulatory AUM · August 2026
- POLUS CAPITAL MANAGEMENT (US) INC.CRD 323283 · NEW YORK, NY$1,183,253,410.00Regulatory AUM · August 2026
- POLUS CAPITAL MANAGEMENT LIMITEDCRD 139138$5,319,396,394.00Regulatory AUM · August 2026
- POLYCHAIN CAPITAL LPCRD 285022 · SAN FRANCISCO, CA$2,901,320,856.00Regulatory AUM · August 2026
- POLYMER CAPITAL MANAGEMENT (US), LLCCRD 316277 · NEW YORK, NY$1,405,229,439.00Regulatory AUM · August 2026
- POPULAR ASSET MANAGEMENT LLCCRD 313653 · SAN JUAN, PR$3,711,499,806.00Regulatory AUM · August 2026
- POPULAR SECURITIES, LLCCRD 8096 · HATO REY, PR$2,620,503,498.00Regulatory AUM · August 2026
- PORT CAPITAL LLCCRD 206517 · CHICAGO, IL$2,853,919,639.00Regulatory AUM · August 2026
- PORTFOLIO STRATEGIES INC NYCRD 106942 · MONTVALE, NJ$1,015,753,299.00Regulatory AUM · August 2026
- PORTLAND GLOBAL ADVISORS LLCCRD 109127 · PORTLAND, ME$1,174,795,244.00Regulatory AUM · August 2026
- PORTMAN SQUARE CAPITAL LLPCRD 319011$4,581,447,405.00Regulatory AUM · August 2026
- PORTOLAN CAPITAL MANAGEMENT, LLCCRD 157542 · BOSTON, MA$2,021,361,155.00Regulatory AUM · August 2026
- PORTSIDE WEALTH GROUP, LLCCRD 325175 · PROVO, UT$1,431,570,380.00Regulatory AUM · August 2026
- POST ROAD GROUP LLCCRD 288459 · STAMFORD, CT$1,051,050,655.00Regulatory AUM · August 2026
- POTOMAC FUND MANAGEMENT INCCRD 105413 · BETHESDA, MD$3,277,115,272.00Regulatory AUM · August 2026
- POWER SUSTAINABLE MANAGER US, INC.CRD 325145 · MIAMI, FL$1,072,634,109.00Regulatory AUM · August 2026
- PPB ADVISORS, LLCCRD 152303 · WEST CONSHOHOCKEN, PA$4,751,573,238.00Regulatory AUM · August 2026
- PPC ENTERPRISES LLCCRD 165075 · NEW YORK, NY$2,321,515,422.00Regulatory AUM · August 2026
- PPC INVESTMENT PARTNERS LPCRD 291331 · CHICAGO, IL$7,208,185,834.00Regulatory AUM · August 2026
- PPM LOAN MANAGEMENT COMPANY 2, LLCCRD 297186 · CHICAGO, IL$2,723,359,751.00Regulatory AUM · August 2026
- PR MORTGAGE INVESTMENT MANAGEMENT, LLCCRD 313210 · MOUNT LAUREL, NJ$1,538,703,658.00Regulatory AUM · August 2026
- PRAIRIE CAPITAL MANAGEMENT GROUP, LLCCRD 311623 · KANSAS CITY, MO$7,127,492,919.00Regulatory AUM · August 2026
- PRANA CAPITAL MANAGEMENT LPCRD 287925 · GREENWICH, CT$4,312,316,333.00Regulatory AUM · August 2026
- PRAXIS INVESTMENT MANAGEMENT, INC.CRD 105675 · GOSHEN, IN$3,299,890,470.00Regulatory AUM · August 2026
- PRECISION CAPITAL ADVISORS, LLCCRD 157784 · GREENWICH, CT$2,688,246,972.00Regulatory AUM · August 2026
- PRELUDE CAPITAL MANAGEMENT, LLCCRD 158105 · NEW YORK, NY$2,388,923,435.00Regulatory AUM · August 2026
- PRELUDE GROWTH PARTNERS MANAGEMENT COMPANY, LLCCRD 293249 · NEW YORK, NY$1,223,780,969.00Regulatory AUM · August 2026
- PREMIER PATH WEALTH PARTNERS, LLCCRD 325300 · MADISON, NJ$1,223,242,250.00Regulatory AUM · August 2026
- PREP INVESTMENT ADVISERS, L.L.C.CRD 296631 · CHICAGO, IL$1,911,327,200.00Regulatory AUM · August 2026
- PRESCOTT GENERAL PARTNERS LLCCRD 157907 · BOCA RATON, FL$1,694,886,169.00Regulatory AUM · August 2026
- PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.CRD 115220 · TULSA, OK$1,298,388,038.00Regulatory AUM · August 2026
- PRESIDIO INVESTORS LLCCRD 160841 · AUSTIN, TX$1,094,238,118.00Regulatory AUM · August 2026
- PRESTON CAPITAL LLCCRD 328417 · ALISO VIEJO, CA$1,054,611,662.00Regulatory AUM · August 2026
- PRETIUM CREDIT MANAGEMENT, LLCCRD 154057 · NEW YORK, NY$2,765,353,330.00Regulatory AUM · August 2026
- PRIMARY WAVE IP INVESTMENT MANAGEMENT LLCCRD 288266 · NEW YORK, NY$6,136,225,934.00Regulatory AUM · August 2026
- PRIMUS CAPITAL PARTNERS, INC.CRD 156861 · ATLANTA, GA$1,673,153,272.00Regulatory AUM · August 2026
- PRINCETON EQUITY ADVISORS, LPCRD 310405 · PRINCETON, NJ$1,716,754,013.00Regulatory AUM · August 2026
- PRINCIPAL ADVISED SERVICES, LLCCRD 297324 · DES MOINES, IA$1,422,868,428.00Regulatory AUM · August 2026
- PRINCIPLE WEALTH PARTNERS LLCCRD 290180 · MADISON, CT$3,204,653,344.00Regulatory AUM · August 2026
- PRIVATE ADVISORY GROUP LLCCRD 170043 · REDMOND, WA$2,144,656,403.00Regulatory AUM · August 2026
- PRIVATE CAPITAL ADVISORS, INC.CRD 125771 · DARIEN, CT$1,281,783,601.00Regulatory AUM · August 2026
- PRIVATE CAPITAL MANAGEMENT, LLCCRD 169172 · NAPLES, FL$1,444,558,205.00Regulatory AUM · August 2026
- PRIVATE CLIENT SERVICES, LLCCRD 120222 · LOUISVILLE, KY$1,383,095,742.00Regulatory AUM · August 2026
- PRIVATE MANAGEMENT GROUP INCCRD 104707 · IRVINE, CA$4,903,675,907.00Regulatory AUM · August 2026
- PRIVATE WEALTH ASSET MANAGEMENT, LLCCRD 315819 · OMAHA, NE$2,523,259,243.00Regulatory AUM · August 2026
- PRIVATE WEALTH PARTNERS, LLCCRD 133802 · MILL VALLEY, CA$1,921,390,575.00Regulatory AUM · August 2026
- PROCOURSE FIDUCIARY ADVISORS, LLCCRD 164328 · CARMEL, IN$5,492,591,864.00Regulatory AUM · August 2026
- PROCYON ADVISORS, LLCCRD 288239 · SHELTON, CT$9,204,268,020.00Regulatory AUM · August 2026
- PRODIGY ASSET MANAGEMENT LLCCRD 106457 · OMAHA, NE$2,435,740,783.00Regulatory AUM · August 2026
- PROFESSIONAL ADVISORY SERVICES INCCRD 105397 · VERO BEACH, FL$1,258,746,450.00Regulatory AUM · August 2026
- PROFICIO CAPITAL PARTNERS LLCCRD 269931 · NEWTON, MA$5,266,070,265.00Regulatory AUM · August 2026
- PROFUND ADVISORS LLCCRD 109585 · BETHESDA, MD$5,200,000,000.00Regulatory AUM · August 2026
- PROMANAGE, LLCCRD 133357 · CHICAGO, IL$4,058,757,523.00Regulatory AUM · August 2026
- PROMETHEUS WEALTH MANAGEMENT SAMCRD 332503$1,243,311,098.00Regulatory AUM · August 2026
- PROMETHOS CAPITAL, LLCCRD 300915 · BOSTON, MA$1,274,632,470.00Regulatory AUM · August 2026
- PROMUS ASSET MANAGEMENT, LLCCRD 165478 · CHICAGO, IL$1,272,271,986.00Regulatory AUM · August 2026
- PRONVEST, LLC DBA FUTURE CAPITALCRD 119081 · CHATTANOOGA, TN$2,015,819,389.00Regulatory AUM · August 2026
- PROPHET CAPITAL ASSET MANAGEMENT LPCRD 150683 · AUSTIN, TX$4,199,958,869.00Regulatory AUM · August 2026
- PROPRIUM CAPITAL PARTNERS, L.P.CRD 165441 · STAMFORD, CT$3,361,050,000.00Regulatory AUM · August 2026
- PROSIGHT MANAGEMENT, LPCRD 148791 · DALLAS, TX$1,035,350,000.00Regulatory AUM · August 2026
- PROSPECT CAPITAL MANAGEMENT L.P.CRD 131018 · WEST PALM BEACH, FL$6,637,985,287.00Regulatory AUM · August 2026
- PROSPECT RIDGE ADVISORS, LLCCRD 299594 · NEW YORK, NY$5,809,355,876.00Regulatory AUM · August 2026
- PROTERRA INVESTMENT PARTNERS LPCRD 282051 · MINNEAPOLIS, MN$3,713,249,148.00Regulatory AUM · August 2026
- PROVENANCE WEALTH ADVISORS, LLCCRD 126529 · FORT LAUDERDALE, FL$4,444,535,753.00Regulatory AUM · August 2026
- PROVENIO CAPITAL MANAGEMENT LLCCRD 333009 · NEWPORT BEACH, CA$1,633,830,237.00Regulatory AUM · August 2026
- PROVIDENCE CAPITAL ADVISORS, LLCCRD 174631 · CHARLOTTE, NC$1,072,053,984.00Regulatory AUM · August 2026
- PROVIDENT INVESTMENT MANAGEMENT, INC.CRD 106976 · NOVI, MI$1,133,614,748.00Regulatory AUM · August 2026
- PROVIDENT TRUST COMPANYCRD 110118 · WAUKESHA, WI$6,858,453,576.00Regulatory AUM · August 2026