Investment adviser firms: $1 billion to under $10 billion in regulatory AUM · Page 3
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
- AMBERJACK CAPITAL PARTNERS, L.P.CRD 161464 · HOUSTON, TX$1,252,884,501.00Regulatory AUM · August 2026
- AMELIORA WEALTH MANAGEMENT LTD.CRD 164038$1,162,741,425.00Regulatory AUM · August 2026
- AMERAUDI ASSET MANAGEMENT, INC.CRD 119854 · NEW YORK, NY$2,098,273,770.00Regulatory AUM · August 2026
- AMERGIN ASSET MANAGEMENT, LLCCRD 323350 · BOCA RATON, FL$1,209,349,808.00Regulatory AUM · August 2026
- AMERICAN ASSETS INVESTMENT MANAGEMENT, LLCCRD 131660 · SAN DIEGO, CA$5,868,168,672.00Regulatory AUM · August 2026
- AMERICAN CAPITAL MANAGEMENT INCCRD 110861 · NEW YORK, NY$2,111,011,554.00Regulatory AUM · August 2026
- AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.CRD 290043 · KANSAS CITY, MO$2,332,399,868.00Regulatory AUM · August 2026
- AMERICAN FINANCIAL ADVISORS INCCRD 108530 · WINTER PARK, FL$1,279,425,880.00Regulatory AUM · August 2026
- AMERICAN INFRASTRUCTURE PARTNERS, LLCCRD 299402 · FOSTER CITY, CA$1,703,237,998.00Regulatory AUM · August 2026
- AMERICAN INVESTMENT SERVICES INCCRD 110043 · GREAT BARRINGTON, MA$1,072,980,569.00Regulatory AUM · August 2026
- AMERICAN MORTGAGE INVESTMENT PARTNERS MANAGEMENT, LLCCRD 284231 · SEAL BEACH, CA$1,459,339,351.00Regulatory AUM · August 2026
- AMERICAN PACIFIC GROUP, L.P.CRD 306218 · LARKSPUR, CA$1,335,827,686.00Regulatory AUM · August 2026
- AMERICAN REALTY ADVISORS, LLCCRD 107965 · LOS ANGELES, CA$3,236,267,594.00Regulatory AUM · August 2026
- AMERICANA PARTNERS, LLCCRD 301354 · HOUSTON, TX$9,101,689,133.00Regulatory AUM · August 2026
- AMERISERV WEALTH ADVISORS INCCRD 105846 · JOHNSTOWN, PA$1,111,917,969.00Regulatory AUM · August 2026
- AMI ASSET MANAGEMENT CORPCRD 110291 · LOS ANGELES, CA$1,925,617,855.00Regulatory AUM · August 2026
- AMITY VENTURES, LLCCRD 290313 · SAN FRANCISCO, CA$1,737,465,804.00Regulatory AUM · August 2026
- AMOVA ASSET MANAGEMENT AMERICAS, INC.CRD 824 · NEW YORK, NY$7,784,114,094.00Regulatory AUM · August 2026
- AMPERSAND MANAGEMENT LLCCRD 161522 · BOSTON, MA$3,093,543,241.00Regulatory AUM · August 2026
- AMPLIUS WEALTH ADVISORS, LLCCRD 312463 · BLUE BELL, PA$1,741,153,923.00Regulatory AUM · August 2026
- AMULET CAPITAL PARTNERS, L.P.CRD 172012 · GREENWICH, CT$2,516,081,074.00Regulatory AUM · August 2026
- AMUNDI US INVESTMENT ADVISORS LLCCRD 334151 · BOSTON, MA$1,132,473,403.00Regulatory AUM · August 2026
- ANALOG CENTURY MANAGEMENT LPCRD 298760 · NEW YORK, NY$2,451,577,519.00Regulatory AUM · August 2026
- ANALYST PORTFOLIO MANAGEMENT LTD.CRD 114642$2,686,327,947.00Regulatory AUM · August 2026
- ANCALA PARTNERS LLCCRD 333844 · NEW YORK, NY$4,356,085,604.00Regulatory AUM · August 2026
- ANCHOR CAPITAL ADVISORS LLCCRD 105540 · BOSTON, MA$2,373,821,053.00Regulatory AUM · August 2026
- ANCHOR INVESTMENT MANAGEMENT, LLCCRD 135296 · COLUMBIA, SC$1,515,803,797.00Regulatory AUM · August 2026
- ANCHORAGE CAPITAL GROUP, L.L.C.CRD 135657 · NEW YORK, NY$3,707,574,012.00Regulatory AUM · August 2026
- ANCIENT ART, L.P.CRD 141112 · AUSTIN, TX$1,504,114,292.00Regulatory AUM · August 2026
- ANCORA ADVISORS LLCCRD 124674 · MAYFIELD HEIGHTS, OH$4,614,815,571.00Regulatory AUM · August 2026
- ANCORA ALTERNATIVES LLCCRD 311902 · CLEVELAND, OH$1,131,830,017.00Regulatory AUM · August 2026
- ANCORA PRIVATE WEALTH ADVISORS, LLCCRD 124845 · CLEVELAND, OH$3,899,628,309.00Regulatory AUM · August 2026
- ANCORA RETIREMENT PLAN ADVISORS, LLCCRD 31256 · CLEVELAND, OH$1,534,388,933.00Regulatory AUM · August 2026
- ANDA ASSET MANAGEMENT CO., LTD.CRD 165123$1,226,111,773.00Regulatory AUM · August 2026
- ANDALUSIAN PRIVATE CAPITAL, LPCRD 313032 · NEW YORK, NY$1,775,661,597.00Regulatory AUM · August 2026
- ANDERSEN TAX LLCCRD 124205 · MCLEAN, VA$6,348,792,000.00Regulatory AUM · August 2026
- ANDERSON FINANCIAL PARTNERS, INC.CRD 126641 · PONTE VEDRA, FL$1,521,000,000.00Regulatory AUM · August 2026
- ANDERSON GROWTH PARTNERS, LLCCRD 138600 · BIRMINGHAM, AL$1,009,025,725.00Regulatory AUM · August 2026
- ANDERSON HOAGLAND & COCRD 105157 · ST LOUIS, MO$1,427,316,567.00Regulatory AUM · August 2026
- ANDINA CAPITAL MANAGEMENT, LLCCRD 151762 · LOGAN, UT$1,261,450,515.00Regulatory AUM · August 2026
- ANDROS CAPITAL PARTNERS LLCCRD 310641 · HOUSTON, TX$3,508,954,787.00Regulatory AUM · August 2026
- ANFIELD CAPITAL MANAGEMENT, LLCCRD 165211 · IRVINE, CA$2,164,405,044.00Regulatory AUM · August 2026
- ANGELES EQUITY PARTNERS, LLCCRD 281284 · LOS ANGELES, CA$1,203,124,040.00Regulatory AUM · August 2026
- ANGELES INVESTMENT ADVISORS, LLC.CRD 110213 · SANTA MONICA, CA$7,272,416,549.00Regulatory AUM · August 2026
- ANGELES WEALTH MANAGEMENT, LLCCRD 159952 · SANTA MONICA, CA$2,810,418,095.00Regulatory AUM · August 2026
- ANNALY CREDIT OPPORTUNITIES MANAGEMENT LLCCRD 299542 · NEW YORK, NY$3,726,867,000.00Regulatory AUM · August 2026
- ANNANDALE CAPITAL, LLCCRD 136667 · DALLAS, TX$1,550,202,000.00Regulatory AUM · August 2026
- ANNEX ADVISORY SERVICES, LLCCRD 127987 · BROOKFIELD, WI$8,050,023,961.00Regulatory AUM · August 2026
- ANNIS GARDNER WHITING CAPITAL ADVISORS LLCCRD 150570 · TAMPA, FL$1,726,801,585.00Regulatory AUM · August 2026
- ANOMALY CAPITAL MANAGEMENT, LPCRD 309211 · NEW YORK, NY$5,878,483,249.00Regulatory AUM · August 2026
- ANSON FUNDS MANAGEMENT LPCRD 125109 · DALLAS, TX$3,046,431,569.00Regulatory AUM · August 2026
- ANTARCTICA INVESTMENT ADVISORS, LLCCRD 284659 · NEW YORK, NY$5,568,506,559.00Regulatory AUM · August 2026
- ANTARES CAPITAL CREDIT ADVISERS LLCCRD 328497 · CHICAGO, IL$6,171,217,000.00Regulatory AUM · August 2026
- ANTHELION CAPITAL PARTNERS LLCCRD 328009 · NEW YORK, NY$3,549,880,648.00Regulatory AUM · August 2026
- ANTHOS MANAGEMENT, L.P.CRD 165980 · SANTA MONICA, CA$3,043,710,988.00Regulatory AUM · August 2026
- ANZU PARTNERS, LLCCRD 288985 · TAMPA, FL$1,080,874,904.00Regulatory AUM · August 2026
- APC ASSET DEVELOPMENT I, LPCRD 328513 · NEWPORT BEACH, CA$2,250,588,535.00Regulatory AUM · August 2026
- APC ASSET DEVELOPMENT II, LPCRD 328587 · NEWPORT BEACH, CA$2,060,624,142.00Regulatory AUM · August 2026
- APCM WEALTH MANAGEMENT FOR INDIVIDUALS, LLCCRD 172151 · ANCHORAGE, AK$1,156,213,886.00Regulatory AUM · August 2026
- APERTURE INVESTORS, LLCCRD 295468 · NEW YORK, NY$6,062,290,738.00Regulatory AUM · August 2026
- APIS CAPITAL ADVISORS, LLCCRD 131200 · NEW YORK, NY$1,421,086,075.00Regulatory AUM · August 2026
- APOLLO CAPITAL CREDIT ADVISER, LLCCRD 286485 · NEW YORK, NY$2,352,678,018.00Regulatory AUM · August 2026
- APOLLO INVESTMENT MANAGEMENT, L.P.CRD 130610 · NEW YORK, NY$3,323,644,797.00Regulatory AUM · August 2026
- APOLLO MANAGER, LLCCRD 327828 · NEW YORK, NY$3,555,400,091.00Regulatory AUM · August 2026
- APOLLO REAL ESTATE FUND ADVISER, LLCCRD 169120 · NEW YORK, NY$4,269,091,755.00Regulatory AUM · August 2026
- APOLLON FINANCIAL, LLCCRD 321217 · MOUNT PLEASANT, SC$1,447,040,552.00Regulatory AUM · August 2026
- APPLIED FINANCE ADVISORS, LLCCRD 140054 · SAN ANTONIO, TX$2,052,081,914.00Regulatory AUM · August 2026
- APPLIED FINANCE CAPITAL MANAGEMENT, LLCCRD 226755 · SAN JUAN, PR$4,443,037,725.00Regulatory AUM · August 2026
- APRIEM ADVISORSCRD 108188 · IRVINE, CA$1,483,716,736.00Regulatory AUM · August 2026
- APRIO WEALTH MANAGEMENT, LLCCRD 127333 · ATLANTA, GA$4,154,843,929.00Regulatory AUM · August 2026
- APS ASSET MANAGEMENT PTE LTDCRD 109189$2,225,901,406.00Regulatory AUM · August 2026
- AQR ARBITRAGE, LLCCRD 114626 · GREENWICH, CT$4,384,055,877.00Regulatory AUM · August 2026
- AQS ASSET MANAGEMENT, L.L.C.CRD 131544 · AUSTIN, TX$4,066,280,421.00Regulatory AUM · August 2026
- AQUARIAN HOLDINGS MANAGEMENT LLCCRD 293116 · NEW YORK, NY$1,782,178,303.00Regulatory AUM · August 2026
- AQUATIC CAPITAL MANAGEMENT LLCCRD 307291 · CHICAGO, IL$5,430,350,270.00Regulatory AUM · August 2026
- ARA ADVISERS, LLCCRD 298845 · HOUSTON, TX$6,785,474,521.00Regulatory AUM · August 2026
- ARBION LIMITEDCRD 155663$2,231,126,780.00Regulatory AUM · August 2026
- ARBITER PARTNERS CAPITAL MANAGEMENT, LLCCRD 156290 · NEW YORK, NY$1,250,700,000.00Regulatory AUM · August 2026
- ARBOR INVESTMENT ADVISORS, LLCCRD 111077 · WINSTON SALEM, NC$1,288,361,286.00Regulatory AUM · August 2026
- ARBOR INVESTMENTS MANAGEMENT, LLCCRD 157442 · PALM BEACH, FL$3,476,578,967.00Regulatory AUM · August 2026
- ARBOR REALTY COLLATERAL MANAGEMENT, LLCCRD 163425 · UNIONDALE, NY$4,584,753,355.00Regulatory AUM · August 2026
- ARBOUR LANE CAPITAL MANAGEMENT LPCRD 298198 · STAMFORD, CT$7,297,263,299.00Regulatory AUM · August 2026
- ARC70 ADVISERS LPCRD 288087 · BURLINGAME, CA$1,904,239,651.00Regulatory AUM · August 2026
- ARCA WEALTH, LLCCRD 174765 · PORTSMOUTH, NH$1,269,642,461.00Regulatory AUM · August 2026
- ARCADIA INVESTMENT PARTNERS LLCCRD 161426 · NEW YORK, NY$1,371,538,606.00Regulatory AUM · August 2026
- ARCHER INVESTMENT CORPORATIONCRD 136403 · CARMEL, IN$1,012,991,000.00Regulatory AUM · August 2026
- ARCHFORD CAPITAL STRATEGIES, LLCCRD 164482 · SWANSEA, IL$1,489,117,927.00Regulatory AUM · August 2026
- ARCHITECT CAPITAL CORP.CRD 315010 · SAN FRANCISCO, CA$1,230,566,006.00Regulatory AUM · August 2026
- ARCHON PARTNERS LLCCRD 155756$1,231,708,421.00Regulatory AUM · August 2026
- ARCHPOINT INVESTORS LLCCRD 151807 · CORAL GABLES, FL$4,133,118,802.00Regulatory AUM · August 2026
- ARCUS CAPITAL PARTNERS, LLCCRD 147346 · ATLANTA, GA$2,512,571,391.00Regulatory AUM · August 2026
- ARDEA INVESTMENT MANAGEMENT PTY LIMITEDCRD 312601$6,295,389,602.00Regulatory AUM · August 2026
- ARDEN FUND MANAGEMENT, LLCCRD 164662 · PHILADELPHIA, PA$1,107,418,697.00Regulatory AUM · August 2026
- ARDIAN US LLCCRD 121326 · NEW YORK, NY$2,766,909,220.00Regulatory AUM · August 2026
- ARDMORE ROAD ASSET MANAGEMENT LPCRD 311471 · WESTPORT, CT$2,831,762,434.00Regulatory AUM · August 2026
- ARDSLEY ADVISORY PARTNERS LPCRD 301116 · NORWALK, CT$1,635,701,621.00Regulatory AUM · August 2026
- ARENA CAPITAL ADVISORS LLCCRD 170313 · LOS ANGELES, CA$5,328,247,859.00Regulatory AUM · August 2026
- ARENA INVESTORS, LPCRD 269854 · NEW YORK, NY$2,987,246,763.00Regulatory AUM · August 2026
- ARES SYSTEMATIC CREDIT LIMITEDCRD 307090$9,893,083,586.00Regulatory AUM · August 2026
- ARETE WEALTH ADVISORS, LLCCRD 145488 · CHICAGO, IL$2,745,378,945.00Regulatory AUM · August 2026