Investment adviser firms: $100 million to under $1 billion in regulatory AUM · Page 5
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.
9,914 firms · Source months shown: July 2026 and August 2026
- ALPHA CAPITAL MANAGEMENT GROUP LLCCRD 283624 · DENVER, CO$734,390,429.00Regulatory AUM · August 2026
- ALPHA DNA INVESTMENT MANAGEMENT LLCCRD 288198 · COLUMBIA, MD$194,698,387.00Regulatory AUM · August 2026
- ALPHA FIDUCIARY, INC.CRD 144720 · SCOTTSDALE, AZ$113,992,108.00Regulatory AUM · August 2026
- ALPHA FINANCIAL ADVISORS, LLCCRD 116291 · MCLEAN, VA$218,325,543.00Regulatory AUM · August 2026
- ALPHA FINANCIAL ADVISORS, LLCCRD 122545 · CHARLOTTE, NC$619,320,059.00Regulatory AUM · August 2026
- ALPHA FINANCIAL MANAGEMENT, INC.CRD 125800 · SAVANNAH, GA$109,376,177.00Regulatory AUM · August 2026
- ALPHA FINANCIAL PARTNERS LLCCRD 306639 · LEXINGTON, KY$459,855,610.00Regulatory AUM · August 2026
- ALPHA INNOVATIONS LTD.CRD 300529$231,513,989.00Regulatory AUM · August 2026
- ALPHA INVESTMENT CONSULTING GROUP, LLCCRD 139721 · MILWAUKEE, WI$713,594,230.00Regulatory AUM · August 2026
- ALPHA LEONIS PARTNERS, LLCCRD 314560 · WAYNE, PA$418,426,997.00Regulatory AUM · August 2026
- ALPHA OMEGA FINANCIAL ADVISORY, INC.CRD 314289$186,968,599.00Regulatory AUM · August 2026
- ALPHA ONE ASSET MANAGEMENT LLCCRD 338725 · PASADENA, CA$114,691,785.00Regulatory AUM · July 2026
- ALPHA PARTNERS MANAGEMENT, LLCCRD 286141 · NEW YORK, NY$537,548,440.00Regulatory AUM · August 2026
- ALPHA PLANNING AND FINANCIAL SERVICES, INC.CRD 130842 · SOLON, OH$112,753,128.00Regulatory AUM · August 2026
- ALPHA SOLUTIONS INVESTMENT ADVISORS, LLCCRD 156541 · SOUTH SAN FRANCISCO, CA$397,127,864.00Regulatory AUM · August 2026
- ALPHA WEALTH FUNDS, LLCCRD 150231 · PARK CITY, UT$214,122,623.00Regulatory AUM · August 2026
- ALPHA WEALTH MANAGEMENT AND PLANNING LLCCRD 163917 · NOVATO, CA$319,574,000.00Regulatory AUM · August 2026
- ALPHA ZERO LLCCRD 319050 · BOCA RATON, FL$269,778,311.00Regulatory AUM · August 2026
- ALPHABOND LLCCRD 336339 · PALM BEACH, FL$122,602,000.00Regulatory AUM · August 2026
- ALPHACENTRIC ADVISORS LLCCRD 170679 · SAN JUAN, PR$433,084,612.00Regulatory AUM · August 2026
- ALPINE HILL ADVISORS LLCCRD 325412 · WESTPORT, CT$114,540,048.00Regulatory AUM · August 2026
- ALPINE WEALTH ADVISORS, LLCCRD 105433 · DENVER, CO$115,671,012.00Regulatory AUM · August 2026
- ALPINE WOODS CAPITAL INVESTORS, LLCCRD 112496 · PURCHASE, NY$180,610,000.00Regulatory AUM · August 2026
- ALSWORTH CAPITAL MANAGEMENT, LLCCRD 281417 · CORNING, NY$116,684,055.00Regulatory AUM · August 2026
- ALTA FOX CAPITAL MANAGEMENT, LLCCRD 295816 · FORT WORTH, TX$821,427,086.00Regulatory AUM · August 2026
- ALTA FUNDAMENTAL ADVISERS LLCCRD 168642 · NEW YORK, NY$465,759,000.00Regulatory AUM · August 2026
- ALTA WEALTH ADVISORS LLCCRD 293675 · WOBURN, MA$664,634,808.00Regulatory AUM · August 2026
- ALTAMIRA FINANCIAL GROUP, LLCCRD 316907 · SANTA FE, NM$130,326,433.00Regulatory AUM · August 2026
- ALTAMONT CAPITAL MANAGEMENT, LLC.CRD 118979 · ASHEVILLE, NC$412,289,220.00Regulatory AUM · August 2026
- ALTAMONT WEALTH MANAGEMENT, INC.CRD 136031 · LIVERMORE, CA$182,866,843.00Regulatory AUM · August 2026
- ALTAR ROCK LLCCRD 326868$158,692,083.00Regulatory AUM · August 2026
- ALTERA PRIVATE ACCESS, LLCCRD 287467 · ATLANTA, GA$519,059,357.00Regulatory AUM · August 2026
- ALTERI WEALTH LLCCRD 331100 · WESTLAKE VILLAGE, CA$566,121,304.00Regulatory AUM · August 2026
- ALTERIS CAPITAL PARTNERS, LLCCRD 335079 · HOUSTON, TX$139,530,282.00Regulatory AUM · August 2026
- ALTERNA CAPITAL PARTNERS LLCCRD 156954$336,551,414.00Regulatory AUM · August 2026
- ALTERNA EQUITY PARTNERS MANAGEMENT LLCCRD 313985 · FORT LAUDERDALE, FL$227,966,206.00Regulatory AUM · August 2026
- ALTERNATIVE FUND ADVISORS, LLCCRD 313109 · BOSTON, MA$245,614,130.00Regulatory AUM · August 2026
- ALTERNATIVE INVESTMENT ADVISORS, LLCCRD 160108 · MAITLAND, FL$385,868,347.00Regulatory AUM · August 2026
- ALTERNATIVE INVESTMENT RESOURCE, LLCCRD 288165 · CHICAGO, IL$754,174,738.00Regulatory AUM · August 2026
- ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC.CRD 152104 · CORAL GABLES, FL$690,860,427.00Regulatory AUM · August 2026
- ALTIORA FINANCIAL GROUP, LLCCRD 292008$981,689,638.00Regulatory AUM · August 2026
- ALTITUDE CAPITAL MANAGEMENT LLCCRD 329366 · DES MOINES, IA$103,600,000.00Regulatory AUM · August 2026
- ALTIUM INVESTMENT STRATEGIES LLCCRD 333950 · WESLEY CHAPEL, FL$517,721,858.00Regulatory AUM · August 2026
- ALTIUS FINANCIAL, INC.CRD 113268 · DENVER, CO$212,179,837.00Regulatory AUM · August 2026
- ALTMAN ADVISORS, INCCRD 281778 · CHICAGO, IL$483,428,278.00Regulatory AUM · August 2026
- ALTMAN INVESTMENT MANAGEMENT LLCCRD 113832 · PRINCETON, NJ$119,915,238.00Regulatory AUM · August 2026
- ALTMORE CAPITAL INVESTMENT MANAGEMENT, LLCCRD 312292 · ARLINGTON, VA$194,748,937.00Regulatory AUM · August 2026
- ALTRIARCH ASSET MANAGEMENT, LLCCRD 328482 · CHARLESTON, SC$349,131,175.00Regulatory AUM · August 2026
- ALTRIUS CAPITAL MANAGEMENT, INC.CRD 121529 · NOVI, MI$716,026,961.00Regulatory AUM · August 2026
- ALTUM CAPITAL MANAGEMENT, LLCCRD 160123 · NEW YORK, NY$647,751,477.00Regulatory AUM · August 2026
- ALTURA WEALTH ADVISORS INC.CRD 309501 · SANTA CLARA, CA$250,101,374.00Regulatory AUM · August 2026
- ALTUS CAPITAL PARTNERS, INC.CRD 159529 · WILTON, CT$169,319,760.00Regulatory AUM · August 2026
- ALTUS WEALTH GROUP, LLCCRD 287848 · COLORADO SPRINGS, CO$620,059,219.00Regulatory AUM · August 2026
- ALTUS WEALTH MANAGEMENT, LLCCRD 153650 · FT. MITCHELL, KY$405,169,835.00Regulatory AUM · August 2026
- ALUMAN INC.CRD 281073$135,024,010.00Regulatory AUM · August 2026
- ALVIN CLAY FINANCIAL ADVISORS, LLCCRD 226655 · JENKINTOWN, PA$186,572,961.00Regulatory AUM · August 2026
- AM INVESTMENT STRATEGIES, LLCCRD 165823 · CHATTANOOGA, TN$738,424,273.00Regulatory AUM · August 2026
- AMARA FINANCIAL, LLCCRD 308290 · SAN FRANCISCO, CA$250,466,937.00Regulatory AUM · August 2026
- AMBER INFRASTRUCTURE INVESTMENT ADVISOR LLCCRD 328406 · NEW YORK, NY$186,207,000.00Regulatory AUM · August 2026
- AMERANT INVESTMENTS, INC.CRD 117284 · CORAL GABLES, FL$782,386,060.00Regulatory AUM · August 2026
- AMERICA FIRST INVESTMENT ADVISORS LLCCRD 106984 · OMAHA, NE$665,144,120.00Regulatory AUM · August 2026
- AMERICAN ALPHA ADVISORS, LLCCRD 291796 · NEW YORK, NY$362,780,050.00Regulatory AUM · August 2026
- AMERICAN ASSET MANAGEMENT INC.CRD 123116 · BOCA RATON, FL$153,268,091.00Regulatory AUM · August 2026
- AMERICAN CAPITAL ADVISORY, LLCCRD 141944 · KETCHUM, ID$334,417,722.00Regulatory AUM · August 2026
- AMERICAN COMMUNITY WEALTH MANAGEMENT, LLCCRD 147376 · CRYSTAL LAKE, IL$195,398,095.00Regulatory AUM · August 2026
- AMERICAN DISCOVERY INVESTMENT ADVISORS, LLCCRD 301331 · LOS ANGELES, CA$279,325,049.00Regulatory AUM · August 2026
- AMERICAN FINANCIAL & TAX STRATEGIES, INC.CRD 115559 · NEW YORK, NY$279,394,820.00Regulatory AUM · August 2026
- AMERICAN FINANCIAL ADVISORS, LLC.CRD 115824 · MARIETTA, GA$950,150,212.00Regulatory AUM · August 2026
- AMERICAN FUNDSTARS FINANCIAL GROUP LLCCRD 315860 · IRVINE, CA$332,687,583.00Regulatory AUM · August 2026
- AMERICAN INDEPENDENT SECURITIES GROUP, LLCCRD 135288 · EAGLE, ID$986,332,007.00Regulatory AUM · August 2026
- AMERICAN INVESTMENT ADVISORS INCCRD 104579 · MADISON, WI$137,877,247.00Regulatory AUM · August 2026
- AMERICAN MONEY MANAGEMENT, LLCCRD 115357 · RANCHO SANTA FE, CA$844,008,013.00Regulatory AUM · August 2026
- AMERICAN RETIREMENT PLANNING GROUP INCCRD 108300 · LAS VEGAS, NV$348,138,260.00Regulatory AUM · August 2026
- AMERICAN TRIPLE I, LLCCRD 318463 · NEW YORK, NY$832,213,457.00Regulatory AUM · August 2026
- AMERICAN TRUST INVESTMENT ADVISORS, LLCCRD 114439 · LEBANON, NH$303,477,345.00Regulatory AUM · August 2026
- AMERICAN WEALTH ADVISORS, LLCCRD 145791 · JOHNS CREEK, GA$120,170,823.00Regulatory AUM · August 2026
- AMERICAN WEALTH MANAGEMENTCRD 122205 · RENO, NV$760,503,793.00Regulatory AUM · August 2026
- AMERICAN WEALTH MANAGEMENT, INC.CRD 25536 · ALPHARETTA, GA$310,016,000.00Regulatory AUM · August 2026
- AMERITY WEALTH MANAGEMENT, LLCCRD 322265 · LAKELAND, FL$338,837,000.00Regulatory AUM · August 2026
- AMERRA CAPITAL MANAGEMENT, LLCCRD 155860 · ENGLEWOOD, NJ$610,364,061.00Regulatory AUM · August 2026
- AMG ASSET MANAGEMENT GROUP, INC.CRD 319444 · CARTERSVILLE, GA$200,055,821.00Regulatory AUM · August 2026
- AMH EQUITY LTDCRD 160452$107,299,791.00Regulatory AUM · August 2026
- AMHERST CAPITAL MANAGEMENT LLCCRD 174130 · NEW YORK, NY$544,672,797.00Regulatory AUM · August 2026
- AMI INVESTMENT MANAGEMENT INCCRD 106321 · KENDALLVILLE, IN$963,593,785.00Regulatory AUM · August 2026
- AMICORP WEALTH SERVICES LLCCRD 319247 · MIAMI, FL$188,503,783.00Regulatory AUM · August 2026
- AMICUS FINANCIAL ADVISORS, LLCCRD 131315 · LUBBOCK, TX$550,940,733.00Regulatory AUM · August 2026
- AMJ FINANCIAL WEALTH MANAGEMENT LLCCRD 162878 · LEESBURG, VA$481,821,476.00Regulatory AUM · August 2026
- AMPERSAND CAPITAL GROUP, L.P.CRD 329612 · BURLINGAME, CA$235,130,818.00Regulatory AUM · August 2026
- AMPFIELD MANAGEMENT, L.P.CRD 292722 · NEW YORK, NY$773,956,851.00Regulatory AUM · August 2026
- AMPHORA WEALTH MANAGEMENT, LLCCRD 157968 · CHAPEL HILL, NC$196,205,424.00Regulatory AUM · August 2026
- AMPLIFY FINANCIAL, LLCCRD 325721 · SCOTTSDALE, AZ$230,715,554.00Regulatory AUM · August 2026
- AMPLIUS ASSET MANAGEMENT, LLCCRD 334991 · BLUE BELL, PA$247,303,106.00Regulatory AUM · August 2026
- AMUNI FINANCIAL, INC.CRD 8365 · ST PETERSBURG, FL$194,623,000.00Regulatory AUM · August 2026
- AN EXCEPTIONAL LIFE FINANCIAL, LLCCRD 288742 · INDIANAPOLIS, IN$258,925,194.00Regulatory AUM · August 2026
- ANABRANCH CAPITAL MANAGEMENT, LPCRD 309151 · STAMFORD, CT$396,991,787.00Regulatory AUM · August 2026
- ANANYM CAPITAL MANAGEMENT, LPCRD 332320 · NEW YORK, NY$297,607,139.00Regulatory AUM · August 2026
- ANCHOR BAY CAPITAL, INC.CRD 116913 · CARLSBAD, CA$247,127,800.00Regulatory AUM · August 2026
- ANCHOR CAPITAL MANAGEMENT GROUP, INC.CRD 123543 · ALISO VIEJO, CA$191,231,382.00Regulatory AUM · August 2026
- ANCHOR HEALTH CAPITAL, LLCCRD 309949 · CHATTANOOGA, TN$166,049,154.00Regulatory AUM · August 2026
- ANCHOR POINT FINANCIAL LLCCRD 334103 · BAKERSFIELD, CA$173,629,593.00Regulatory AUM · August 2026