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Investment adviser firms: Under $100 million in regulatory AUM

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.

1,145 firms · Source months shown: July 2026 and August 2026

1 MAIN CAPITAL MANAGEMENT, LLCCRD 328626 · WESTPORT, CT
$80,523,279.00Regulatory AUM · August 2026
13D MANAGEMENT LLCCRD 154009 · NEW YORK, NY
$99,422,046.00Regulatory AUM · August 2026
1787FP INVESTMENT SERVICES, LLCCRD 328273 · MCLEAN, VA
$9,114,394.00Regulatory AUM · August 2026
21PEAKS CAPITAL MANAGEMENT, LLCCRD 300111
$618,799.00Regulatory AUM · July 2026
21SHARES US LLCCRD 328136 · NEW YORK, NY
$4,384,466.00Regulatory AUM · August 2026
2201 CAPITAL, LLCCRD 341112 · NEW YORK, NY
$40,000,000.00Regulatory AUM · August 2026
2XIDEAS US INC.CRD 328190 · NEW YORK, NY
$79,748,031.00Regulatory AUM · August 2026
3ROOTS WEALTH PARTNERS LLCCRD 338300 · SCOTTSDALE, AZ
$92,647,972.00Regulatory AUM · August 2026
42 AM, LLCCRD 339735 · NEW YORK, NY
$51,850,000.00Regulatory AUM · August 2026
7 STREETS FINANCIAL, LLCCRD 282577 · SAN DIEGO, CA
$88,400,000.00Regulatory AUM · August 2026
9 STREAM CAPITAL PARTNERS LLCCRD 340394 · LEAWOOD, KS
$73,900,000.00Regulatory AUM · August 2026
ABERNATHY GROUP II LLCCRD 152401 · NEW YORK, NY
$80,196,208.00Regulatory AUM · August 2026
ABRAHAM TRADING, LPCRD 315318 · CANADIAN, TX
$94,889,896.00Regulatory AUM · August 2026
ABRY PARTNERS, LLCCRD 161153 · BOSTON, MA
$69,285,676.00Regulatory AUM · August 2026
ACASTA PARTNERS UK LLPCRD 334955
$51,772,924.00Regulatory AUM · August 2026
ACCELAR, INC.CRD 314872 · SAN JOSE, CA
$300.00Regulatory AUM · August 2026
ACCESS REAL ESTATE, LLCCRD 337329 · LOUISVILLE, KY
$63,357,987.00Regulatory AUM · August 2026
ACCESS SOFTEK ADVISORY SERVICES, LLCCRD 299800 · NAPERVILLE, IL
$7,401,031.00Regulatory AUM · August 2026
ACE & COMPANY NEW YORK, INC.CRD 304442 · NEW YORK, NY
$65,834,594.00Regulatory AUM · August 2026
ACME CREDIT PARTNERS LLCCRD 328087 · NEW YORK, NY
$43,814,741.00Regulatory AUM · August 2026
ACORN ASSET MANAGEMENT LLCCRD 340572 · PRINCETON, NJ
$6,600,000.00Regulatory AUM · August 2026
ACQUIRERS FUNDS, LLCCRD 298309 · ROLLING HILLS, CA
$33,100,000.00Regulatory AUM · August 2026
ACRUENCE CAPITAL, LLCCRD 305482 · DALLAS, TX
$37,352,100.00Regulatory AUM · August 2026
ACRYLIC FINANCIAL, INC.CRD 288263 · FOUNTAIN HILLS, AZ
$73,548,448.00Regulatory AUM · August 2026
ACTIVE WEALTH ADVISORS LLCCRD 336793 · WOODCLIFF LAKE, NJ
$75,406,765.00Regulatory AUM · August 2026
ADAPTIVE ADVISERS, LLCCRD 318716 · BOSTON, MA
$450,000.00Regulatory AUM · August 2026
ADLER ASSET MANAGEMENT, LLCCRD 293512 · NEW YORK, NY
$4,392,972.00Regulatory AUM · August 2026
ADVANCED ADVISOR GROUP, LLCCRD 140393 · CAMBRIDGE, MN
$10,932,672.00Regulatory AUM · August 2026
ADVISIFI LLCCRD 332477 · ST PETERSBURG, FL
$1,832,843.00Regulatory AUM · August 2026
ADVISOR FINANCIAL SERVICES INCCRD 118537 · CHATHAM, NY
$62,625,801.00Regulatory AUM · August 2026
ADVISORS CRYPTO, INC.CRD 109201 · AUSTIN, TX
$11,247,097.00Regulatory AUM · August 2026
AFINITIV LLCCRD 305672 · SHERIDAN, WY
$270,831.00Regulatory AUM · August 2026
AFT US CAPITAL LLCCRD 335448 · SAN FRANCISCO, CA
$214.00Regulatory AUM · August 2026
AGUSTONI, EMANUELE GUISEPPECRD 169306
$7,805,633.00Regulatory AUM · August 2026
AI FUNDS, INC.CRD 328886 · SAUSALITO, CA
$2,100,691.00Regulatory AUM · August 2026
ALAMOS CAPITAL, LLCCRD 332985 · TUCSON, AZ
$1,000,000.00Regulatory AUM · August 2026
ALAMUT CAPITAL ADVISORS INCCRD 335611
$123,392.00Regulatory AUM · July 2026
ALBERT INVESTMENTS, LLCCRD 298006 · SANTA BARBARA, CA
$22,658,113.00Regulatory AUM · August 2026
ALBRIGHT CAPITAL MANAGEMENT LPCRD 133613 · ARLINGTON, VA
$49,762,640.00Regulatory AUM · August 2026
ALCHEMY INVESTMENT MANAGEMENT LLPCRD 323282
$53,141,511.00Regulatory AUM · August 2026
ALDEMAR RESEARCH CORPORATIONCRD 178523
$89,485,313.00Regulatory AUM · August 2026
ALEXANDER BEARD (USA), INC.CRD 134642
$48,851,595.00Regulatory AUM · August 2026
ALFACAP LLC, D/B/A RECIPROCAL CAPITALCRD 285033
$91,893,910.00Regulatory AUM · August 2026
ALGORITHMIC INVESTMENT MODELS, LLCCRD 306354 · BOSTON, MA
$90,885,460.00Regulatory AUM · August 2026
ALIGNMENT FINANCIAL GROUP, LLCCRD 306644
$77,600,000.00Regulatory AUM · August 2026
ALINEA ADVISORY SERVICES LLCCRD 311782 · NEW YORK, NY
$66,605,795.00Regulatory AUM · August 2026
ALKA PARTNERS, LLCCRD 338183 · FARMERS BRANCH, TX
$2.00Regulatory AUM · August 2026
ALLIES CAPITAL MANAGEMENT, LLCCRD 319640 · NEW YORK, NY
$25,000,000.00Regulatory AUM · August 2026
ALLOS INVESTMENT ADVISORS, LLCCRD 155541 · OVERLAND PARK, KS
$73,608,831.00Regulatory AUM · August 2026
ALLVET FINANCIAL LLCCRD 336247
$1,266,880.00Regulatory AUM · August 2026
ALOOOLA, LLCCRD 325090 · KINGSTON, NJ
$51,229,485.00Regulatory AUM · August 2026
ALPHA BLUE CAPITAL MANAGEMENT LPCRD 328350
$10,900,000.00Regulatory AUM · August 2026
ALPHA GROWTH MANAGEMENT LLCCRD 316760 · DELRAY BEACH, FL
$19,584,300.00Regulatory AUM · August 2026
ALPHA RIA LLCCRD 313285 · NEW YORK, NY
$54,128,351.00Regulatory AUM · August 2026
ALPHA-LAB ASSET MANAGEMENT INC.CRD 327388
$8,037,394.00Regulatory AUM · August 2026
ALPHAAI CAPITAL MANAGEMENT LLCCRD 316128
$5,217,537.00Regulatory AUM · August 2026
ALPHABIT INVESTMENTS, LLCCRD 334827 · FOREST CITY, IA
$7,708,704.00Regulatory AUM · August 2026
ALPHAQ ADVISORS LLCCRD 141006 · WINTER PARK, FL
$90,630,000.00Regulatory AUM · August 2026
ALPHYN CAPITAL MANAGEMENT LLCCRD 304390 · HICKSVILLE, NY
$30,269,402.00Regulatory AUM · August 2026
ALSARI WEALTH MANAGEMENT GLOBAL ADVISORS, LLCCRD 159094 · SAN DIEGO, CA
$59,156,389.00Regulatory AUM · August 2026
ALTAI CAPITAL MANAGEMENT, L.P.CRD 151638
$49,819,000.00Regulatory AUM · August 2026
ALTERNATIVE ACCESS FUNDS, LLCCRD 305210 · EL SEGUNDO, CA
$42,500,000.00Regulatory AUM · August 2026
ALTON ROAD CAPITAL, LPCRD 332521 · VERO BEACH, FL
$26,633,647.00Regulatory AUM · August 2026
ALVEO WEALTH MANAGEMENT, LLCCRD 166898
$9,441,034.00Regulatory AUM · August 2026
AMAZZ INVESTMENT MANAGEMENT, INC.CRD 126545 · WILLIAMSVILLE, NY
$78,287,308.00Regulatory AUM · August 2026
AMBERLAKE PARTNERS SAMCRD 322274
$97,121,000.00Regulatory AUM · August 2026
AMERICAN EXPATS IN EUROPE LTD.CRD 319225
$2,625,050.00Regulatory AUM · August 2026
AMERICAN FINANCIAL MANAGEMENT, LTD.CRD 111016 · OWINGS MILLS, MD
$31,600,000.00Regulatory AUM · August 2026
AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.CRD 110117 · FEDERAL WAY, WA
$41,317,000.00Regulatory AUM · August 2026
AMERICAN WEALTH ADMINISTRATION GROUP LLCCRD 282683 · GLEN COVE, NY
$48,345,000.00Regulatory AUM · August 2026
AMIDON & PETERSEN FINANCIALS, LLCCRD 143079 · ALBANY, NY
$39,066,667.00Regulatory AUM · August 2026
AMPLIFY ENDOWMENT MANAGEMENT, LLCCRD 277129
$57,642,466.00Regulatory AUM · August 2026
AMS CHILDREN'S FUND, LPCRD 164111
$15,150,000.00Regulatory AUM · August 2026
ANCHOR BAY PRIVATE WEALTH LLCCRD 327418 · CARLSBAD, CA
$51,721,000.00Regulatory AUM · August 2026
ANCHOR CAPITAL MANAGEMENT, LLCCRD 124600 · ITHACA, NY
$61,156,514.00Regulatory AUM · August 2026
ANCORA WEST ADVISORS, LLCCRD 285644 · RENO, NV
$51,944,991.00Regulatory AUM · August 2026
ANTHONY CAPITAL MANAGEMENT, LLCCRD 312256 · DE PERE, WI
$37,892,938.00Regulatory AUM · August 2026
ANTIGRAVITY INVESTMENTS INC.CRD 290288
$34,934.00Regulatory AUM · August 2026
AOT INVEST LLCCRD 319016 · DAVENPORT, IA
$93,870,000.00Regulatory AUM · August 2026
APERTURE ADVISORS LLCCRD 327627
$16,000,000.00Regulatory AUM · August 2026
API FINANCIAL ADVISORS, LLCCRD 304586 · ROCKLEDGE, FL
$84,651,087.00Regulatory AUM · August 2026
APOLLO WEALTH MANAGEMENT, LLCCRD 144673
$39,336,809.00Regulatory AUM · August 2026
ARCA CAPITAL MANAGEMENT, LLCCRD 305964 · MARINA DEL REY, CA
$32,774,831.00Regulatory AUM · August 2026
ARCHWAY PRIVATE WEALTH LLCCRD 288578
$17,329,809.00Regulatory AUM · August 2026
ARDINALL INVESTMENT MANAGEMENT LPCRD 298114 · NEW YORK, NY
$28,529,445.00Regulatory AUM · August 2026
ARÈNE CAPITAL MANAGEMENT LPCRD 337916 · NEW YORK, NY
$12,994,520.00Regulatory AUM · August 2026
AREX CAPITAL MANAGEMENT, LPCRD 289595 · NEW YORK, NY
$99,382,000.00Regulatory AUM · August 2026
ARGOS GLOBAL ADVISORS, LLCCRD 287672 · SANTA BARBARA, CA
$13,000,000.00Regulatory AUM · August 2026
ARGUS EQUITY PARTNERS, LLCCRD 306518
$58,662,009.00Regulatory AUM · August 2026
ARIAS RESOURCE CAPITAL MANAGEMENT LPCRD 155885 · MIAMI, FL
$90,752,224.00Regulatory AUM · August 2026
ARIMATHEACRD 330140 · FORT BRAGG, CA
$39,945,222.00Regulatory AUM · August 2026
ARM FINANCIAL LLCCRD 144340
$49,000,000.00Regulatory AUM · August 2026
ARMADA CAPITAL LLCCRD 307382
$89,907,916.00Regulatory AUM · August 2026
ARMADA ETF ADVISORS LLCCRD 317979 · NOVI, MI
$10,170,000.00Regulatory AUM · August 2026
ARNIE ADVISORS LLCCRD 307049
$52,050.00Regulatory AUM · August 2026
ARRIVAL CAPITAL MANAGEMENT LLCCRD 126547 · NEW YORK, NY
$42,378,743.00Regulatory AUM · August 2026
ARROW INVESTMENT MANAGEMENT, LLCCRD 334614 · NEW YORK, NY
$85,635,966.00Regulatory AUM · August 2026
ARROWHEAD INVESTMENT MANAGEMENT LLCCRD 285032 · WHITE PLAINS, NY
$77,610,039.00Regulatory AUM · August 2026
ARTESIAN CAPITAL MANAGEMENT (DELAWARE) LPCRD 325768 · NEW YORK, NY
$37,700,000.00Regulatory AUM · August 2026
AS TRIGON ASSET MANAGEMENTCRD 286092
$75,903,860.00Regulatory AUM · August 2026