Investment adviser firms: Under $100 million in regulatory AUM · Page 10
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: August 2026
- SAXON SECURITIES LLCCRD 155168 · SAN FRANCISCO, CA$94,631,605.00Regulatory AUM · August 2026
- SB INVESTMENT PARTNERS, LLCCRD 340871$65,401,042.00Regulatory AUM · August 2026
- SBAUER FUNDS, LLCCRD 144782 · CARMEL, IN$61,336,188.00Regulatory AUM · August 2026
- SCHAFFER & COMPANY ASSET MANAGEMENT, INC.CRD 138463 · JACKSONVILLE, FL$90,781,774.00Regulatory AUM · August 2026
- SCHOOL OF PERSONAL FINANCE, LLCCRD 307332$28,653,053.00Regulatory AUM · August 2026
- SCHULTZE ASSET MANAGEMENT, LPCRD 110927 · RYE BROOK, NY$71,599,248.00Regulatory AUM · August 2026
- SCOTT CONYERS CAPITAL MANAGEMENT, INC.CRD 136549$96,700,000.00Regulatory AUM · August 2026
- SEAHORSE FINANCIAL ADVISERS INC.CRD 117407 · MILLBROOK, NY$86,722,929.00Regulatory AUM · August 2026
- SEAPORT GLOBAL ADVISORS, LLCCRD 154287 · BOSTON, MA$46,294,391.00Regulatory AUM · August 2026
- SEAPORT GLOBAL ASSET MANAGEMENT LLCCRD 298944 · NEW YORK, NY$80,038,704.00Regulatory AUM · August 2026
- SEAWAY ADVISORS,LTD.CRD 149745 · FAIRPORT, NY$50,842,394.00Regulatory AUM · August 2026
- SEBETIC ADVISORS, LLCCRD 306261$94,388,000.00Regulatory AUM · August 2026
- SECURE INVESTMENT MANAGEMENT, LLCCRD 141195 · TUCSON, AZ$42,909,330.00Regulatory AUM · August 2026
- SELECT INVESTMENT SOLUTIONS, LLCCRD 318820 · WASHINGTON, DC$37,087,592.00Regulatory AUM · August 2026
- SELECTIVE CAPITAL SRLCRD 164589$4,117,045.00Regulatory AUM · August 2026
- SENECA PRIVATE WEALTH, LLCCRD 334161 · LOS ANGELES, CA$29,863,050.00Regulatory AUM · August 2026
- SERAPH CAPITAL ASSOCIATES, LLCCRD 165754 · BARTLESVILLE, OK$90,287,578.00Regulatory AUM · August 2026
- SERAPHIM CAPITAL MANAGEMENT, LLCCRD 170976$63,000,000.00Regulatory AUM · August 2026
- SERENITY CAPITAL ADVISORS INC.CRD 332396 · PITTSFORD, NY$64,279,683.00Regulatory AUM · August 2026
- SEVEN CANYONS ADVISORS, LLCCRD 290334 · SALT LAKE CITY, UT$90,029,540.00Regulatory AUM · August 2026
- SEVEN HILLS CAPITAL CORP.CRD 338305$83,789,532.00Regulatory AUM · August 2026
- SHANKLAND FINANCIAL ADVISORS, LLCCRD 139562$88,241,872.00Regulatory AUM · August 2026
- SHFP, LLCCRD 171571$88,892,000.00Regulatory AUM · August 2026
- SHIELD WEALTH ADVISORS, LLC.CRD 309538 · WILLIAMSVILLE, NY$68,366,197.00Regulatory AUM · August 2026
- $164,277.00Regulatory AUM · August 2026
- SHOPE FINANCIAL PLANNING, INC.CRD 144056 · CAMILLUS, NY$65,622,520.00Regulatory AUM · August 2026
- SHORELINE CAPITAL MANAGEMENT, LTD.CRD 161466$75,908,361.00Regulatory AUM · August 2026
- SIDEPOCKET INCCRD 312031 · SAN FRANCISCO, CA$914,547.00Regulatory AUM · August 2026
- SIDUS INVESTMENT MANAGEMENT, LLCCRD 160406 · NEW YORK, NY$55,089,798.00Regulatory AUM · August 2026
- SIGNIFICANCE CAPITAL MANAGEMENT LLCCRD 331940 · MILWAUKEE, WI$3,835,474.00Regulatory AUM · August 2026
- SILK INVEST LIMITEDCRD 164753$56,207,192.00Regulatory AUM · August 2026
- SILVER ADVISORS, LLCCRD 291109 · NEW YORK, NY$71,902,242.00Regulatory AUM · August 2026
- SILVER CAPITAL MANAGEMENT, LLCCRD 111888$50,124,280.00Regulatory AUM · August 2026
- SIMPLEADVISORY LLCCRD 334785 · GARDEN CITY, NY$42,124,271.00Regulatory AUM · August 2026
- SIMS CAPITAL MANAGEMENT LLCCRD 129398 · MILWAUKEE, WI$56,393,178.00Regulatory AUM · August 2026
- SKY VISION WEALTH MANAGEMENT CORP.CRD 317320 · IRVINE, CA$52,827,000.00Regulatory AUM · August 2026
- SLOAN ADVISORY GROUP, INC.CRD 284325 · GLENS FALLS, NY$63,564,032.00Regulatory AUM · August 2026
- SLP WEALTH LLCCRD 325631 · DURHAM, NC$63,694,981.00Regulatory AUM · August 2026
- SMARTADVISOR LLCCRD 319690 · SAN FRANCISCO, CA$29,194,161.00Regulatory AUM · August 2026
- SMP FINANCIAL PLANNING, LLCCRD 315300$64,387,095.00Regulatory AUM · August 2026
- SNOW FINANCIAL MANAGEMENT, LLCCRD 131068$97,568,392.00Regulatory AUM · August 2026
- SOCIALTRADER.AI INC.CRD 326985 · SAN DIEGO, CA$73,145.00Regulatory AUM · August 2026
- SOLOMAN HILL I LLCCRD 282237$33,000,000.00Regulatory AUM · August 2026
- SOUND & SECURE ADVISORS LLCCRD 322514$41,316,009.00Regulatory AUM · August 2026
- SOUND ADVISORY, LLCCRD 328213$90,220,337.00Regulatory AUM · August 2026
- SOUTH OCEAN MANAGEMENT LTD.CRD 111180$13,370,977.00Regulatory AUM · August 2026
- SOUTHWESTERN MONEY MANAGEMENT LLCCRD 304033 · SAN ANTONIO, TX$48,349,956.00Regulatory AUM · August 2026
- SPARKLINE CAPITAL LPCRD 314364$90,200,000.00Regulatory AUM · August 2026
- SPARX ASIA INVESTMENT ADVISORS LIMITEDCRD 139172$13,270,122.00Regulatory AUM · August 2026
- SPHINX INVESTMENTS LLCCRD 327836$46,100,568.00Regulatory AUM · August 2026
- SPP CREDIT ADVISORS II LLCCRD 323725 · NEW YORK, NY$50,200,270.00Regulatory AUM · August 2026
- SPP CREDIT ADVISORS LLCCRD 314442 · NEW YORK, NY$15,396,879.00Regulatory AUM · August 2026
- SPRING STREET WEALTH, LLCCRD 338643 · NEW YORK, NY$26,440,000.00Regulatory AUM · August 2026
- SPRINGDALE CAPITAL LLCCRD 150338$64,199,742.00Regulatory AUM · August 2026
- SQN CAPITAL MANAGEMENT, LLCCRD 158704 · NEW YORK, NY$75,404,607.00Regulatory AUM · August 2026
- ST BERNARD ASSET MANAGEMENT, INC.CRD 307770 · RUSSELLVILLE, AR$27,388,000.00Regulatory AUM · August 2026
- ST. COLUMBANUS AGCRD 169895$78,558,930.00Regulatory AUM · August 2026
- ST. LOUIS FINANCIAL PLANNERS INC.CRD 105511 · CHESTERFIELD, MO$5,689,546.00Regulatory AUM · August 2026
- STACKWELL CAPITAL ADVISERS, LLCCRD 316298 · BOSTON, MA$2,310,890.00Regulatory AUM · August 2026
- STASH WEALTH, LLCCRD 167072 · NEW YORK, NY$51,715,642.00Regulatory AUM · August 2026
- STATETRUST CAPITAL, LLC.CRD 114052 · BOCA RATON, FL$93,653,600.00Regulatory AUM · August 2026
- STEBEN & COMPANY, LLCCRD 117808 · EXCELSIOR, MN$69,181,112.00Regulatory AUM · August 2026
- STEDFAST CAPITAL MANAGEMENT LLCCRD 336660 · CANANDAIGUA, NY$26,000,000.00Regulatory AUM · August 2026
- STERLING ASSET MANAGEMENT CO INCCRD 112825$86,984,404.00Regulatory AUM · August 2026
- STEWARD CAPITAL MANAGEMENT, INC.CRD 104936 · BLOOMFIELD HILLS, MI$95,148,352.00Regulatory AUM · August 2026
- STEWARDSHIP FINANCIAL SERVICES, INC.CRD 128676 · TARRYTOWN, NY$65,516,641.00Regulatory AUM · August 2026
- $73,217,944.00Regulatory AUM · August 2026
- STONE OAK CAPITAL LLCCRD 341363 · ROCHESTER, NY$33,720,036.00Regulatory AUM · August 2026
- STONE RIDGE ADVISORS LLCCRD 327875$36,253,180.00Regulatory AUM · August 2026
- STONEBRIDGE PARTNERS LLCCRD 160018 · WHITE PLAINS, NY$99,435,678.00Regulatory AUM · August 2026
- STONECASTLE ASSET MANAGEMENT, LLCCRD 166252 · NEW YORK, NY$7,500,000.00Regulatory AUM · August 2026
- STRATACORE CAPITAL MANAGEMENT, LLCCRD 171163 · NEW YORK, NY$97,000,000.00Regulatory AUM · August 2026
- STRATEGIC INTERNATIONAL LIMITEDCRD 287914$176,870.00Regulatory AUM · August 2026
- STREETBEAT LLCCRD 315893 · WILMINGTON, DE$4,866,565.00Regulatory AUM · August 2026
- STUYVESANT CAPITAL MANAGEMENT CORPORATIONCRD 111998 · ARMONK, NY$42,996,660.00Regulatory AUM · August 2026
- STYLUS CAPITAL LLCCRD 282156$72,047,000.00Regulatory AUM · August 2026
- SUMMER CREEK WEALTH MANAGEMENT, LLCCRD 165258$50,768,193.00Regulatory AUM · August 2026
- SUNDOWNER CAPITAL MANAGEMENT LLCCRD 146253$99,658,568.00Regulatory AUM · August 2026
- SUPREME ALLIANCE LLCCRD 45348$35,314,242.00Regulatory AUM · August 2026
- SVN GLOBAL PRIVATE ADVISORS LLCCRD 329494$38,341,264.00Regulatory AUM · August 2026
- SVOF/MM, LLCCRD 132205 · SANTA MONICA, CA$16,352,050.00Regulatory AUM · August 2026
- SWAN WEALTH ADVISORS, LLCCRD 292755 · DURANGO, CO$98,043,665.00Regulatory AUM · August 2026
- SWARTHMORE ASSET MANAGEMENT LTDCRD 108507 · NEW YORK, NY$48,586,739.00Regulatory AUM · August 2026
- SWEATER INDUSTRIES LLCCRD 317749 · BOULDER, CO$16,149,770.00Regulatory AUM · August 2026
- SWISS ALPINE WEALTH MANAGEMENT LLCCRD 269906$1,772,504.00Regulatory AUM · August 2026
- $59,000,000.00Regulatory AUM · August 2026
- SYGNUS CAPITAL LIMTEDCRD 333428$67,000,000.00Regulatory AUM · August 2026
- SYGNUS CAPITAL SL LIMITEDCRD 333426$67,000,000.00Regulatory AUM · August 2026
- SYNERGY CAPITAL OF COLORADO LLCCRD 334117 · FORT COLLINS, CO$98,808,607.00Regulatory AUM · August 2026
- SZOP MULTISTRAT MANAGEMENT LLCCRD 317689 · NEW YORK, NY$55,949,444.00Regulatory AUM · August 2026
- TABERNACLE EQUITY MANAGEMENT LLCCRD 336248 · SOUTHLAKE, TX$41,502,378.00Regulatory AUM · August 2026
- TACTICAL ROTATION MANAGEMENT, LLCCRD 333968 · FOREST HILLS, NY$72,971,520.00Regulatory AUM · August 2026
- TAG ASSOCIATES FLORIDA LLCCRD 325292 · NEW YORK, NY$35,467,645.00Regulatory AUM · August 2026
- TALKABOUTHEALTH, INC.CRD 337485$1,000.00Regulatory AUM · August 2026
- TALL PINES CAPITAL, LLCCRD 286089 · OAK BROOK, IL$24,994,894.00Regulatory AUM · August 2026
- TALOMON CAPITAL LIMITEDCRD 291835$35,000,000.00Regulatory AUM · August 2026
- TANAKA CAPITAL MANAGEMENT INCCRD 109888 · GREENWICH, CT$69,398,075.00Regulatory AUM · August 2026
- TARGET ROCK WEALTH MANAGEMENT, LLCCRD 312279 · NEW YORK, NY$94,028,548.00Regulatory AUM · August 2026
- TAVERIK CAPITAL, LLCCRD 156594 · GREENVILLE, SC$97,538,869.00Regulatory AUM · August 2026
- TAYLOR FRIGON FAMILY OFFICE, LLCCRD 323249 · SCOTTSDALE, AZ$19,955,040.00Regulatory AUM · August 2026