Investment adviser firms: Under $100 million in regulatory AUM · Page 2
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
- ASA ASSET MANAGEMENT LLCCRD 335177 · NEW YORK, NY$47,615,453.00Regulatory AUM · August 2026
- ASAL INVEST LLCCRD 340305 · ARLINGTON, VA$270.00Regulatory AUM · August 2026
- ASESORDEINVERSIONES.COM LTDCRD 331588$1,257,576.00Regulatory AUM · August 2026
- ASPIRE STRATEGIST PORTFOLIOS LLCCRD 327902 · NEW YORK, NY$97,275,988.00Regulatory AUM · August 2026
- ASPIRE WEALTH ADVISORY GROUP, LLCCRD 338618 · NEW YORK, NY$6,165,207.00Regulatory AUM · August 2026
- ATLA CAPITAL MANAGEMENT LLCCRD 312501 · NEW YORK, NY$91,064,638.00Regulatory AUM · August 2026
- ATLAS CAPITAL TEAM INC.CRD 326724$17,150,634.00Regulatory AUM · August 2026
- ATLAS SQUARE PARTNERS (HK) LIMITEDCRD 328980$2.00Regulatory AUM · August 2026
- ATW SPAC MANAGEMENT LLCCRD 283737 · NEW YORK, NY$85,430,254.00Regulatory AUM · August 2026
- ATWOOD FINANCIAL PLANNING LLCCRD 288941$15,750,000.00Regulatory AUM · August 2026
- AUREANA CAPITAL MANAGEMENT, LLCCRD 154124$308,129.00Regulatory AUM · August 2026
- AUTONOMOUS WEALTH MANAGEMENT LLCCRD 337909 · BROOKLYN, NY$45,580.00Regulatory AUM · August 2026
- AVENTURA CAPITAL MANAGEMENT, LLCCRD 142478 · BOCA RATON, FL$48,407,771.00Regulatory AUM · August 2026
- AVRIO WEALTH LLCCRD 337579 · NEW YORK, NY$27,288,602.00Regulatory AUM · August 2026
- AXIA ASSET MANAGEMENT, LLCCRD 173148$71,060,450.00Regulatory AUM · August 2026
- AXXES ADVISORS I LLCCRD 332460 · CORAL GABLES, FL$6,810,765.00Regulatory AUM · August 2026
- AXXES ADVISORS LLCCRD 318039 · CORAL GABLES, FL$100,000.00Regulatory AUM · August 2026
- AZURA PARTNERS US LLCCRD 327986 · NEW YORK, NY$71,300,000.00Regulatory AUM · August 2026
- B. RILEY WEALTH PRIVATE SHARES, LLCCRD 315851 · MEMPHIS, TN$47,639,513.00Regulatory AUM · August 2026
- BACKBONE PLANNING PARTNERS LLCCRD 326699 · LAS VEGAS, NV$98,392,218.00Regulatory AUM · August 2026
- BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLCCRD 269982 · MILWAUKEE, WI$22,409,000.00Regulatory AUM · August 2026
- BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY II, LLCCRD 292786 · MILWAUKEE, WI$81,729,000.00Regulatory AUM · August 2026
- BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLCCRD 326646 · MILWAUKEE, WI$83,749,000.00Regulatory AUM · August 2026
- BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLCCRD 145166 · MILWAUKEE, WI$1,324,000.00Regulatory AUM · August 2026
- BALANCE CASH MANAGEMENT INC.CRD 333867 · SAN FRANCISCO, CA$11,595,115.00Regulatory AUM · August 2026
- BAMBOO ROBO ADVISOR INC.CRD 305500$40,719.00Regulatory AUM · July 2026
- BANCREEK CAPITAL MANAGEMENT, LPCRD 312900 · SANTA MONICA, CA$49,344,098.00Regulatory AUM · August 2026
- BANCREEK CAPITAL STRATEGIES, LLCCRD 341539 · SANTA MONICA, CA$11,199,528.00Regulatory AUM · August 2026
- BANORTE VENTURES LTD.CRD 335283 · HOUSTON, TX$52,430.00Regulatory AUM · August 2026
- BASA RESOURCES, INC.CRD 290034 · DALLAS, TX$95,680,440.00Regulatory AUM · August 2026
- BASELINE PARTNERS LLCCRD 301762 · MESA, AZ$75,311,489.00Regulatory AUM · August 2026
- BAYRIDGE FINANCIAL GROUP, INC.CRD 296831 · ROCKVILLE CENTRE, NY$94,191,027.00Regulatory AUM · August 2026
- BAYTRUST WEALTH MANAGEMENT, LLCCRD 338822 · TAMPA, FL$97,749,639.00Regulatory AUM · August 2026
- BBAE ADVISORS LLCCRD 269900 · PLANO, TX$1,232,750.00Regulatory AUM · August 2026
- BEAGLE INVEST, LLCCRD 315719$26,370,038.00Regulatory AUM · August 2026
- BEANSTOX INC.CRD 291957$14,884,663.00Regulatory AUM · August 2026
- BECK ASSET MANAGEMENT AGCRD 162969$48,174,585.00Regulatory AUM · August 2026
- BENJAMIN SECURITIES, INC.CRD 7754 · ALBANY, NY$33,609,905.00Regulatory AUM · August 2026
- BEQUEST CAPITAL LLCCRD 334768 · SARASOTA, FL$39,512,738.00Regulatory AUM · August 2026
- BERENBERG ASSET MANAGEMENT LLCCRD 171274 · NEW YORK, NY$34,849,436.00Regulatory AUM · August 2026
- BERGEN PARK CAPITAL MANAGEMENT, LLCCRD 315162 · BIGFORK, MT$99,265,903.00Regulatory AUM · August 2026
- BERILIUM TECHNOLOGIES, INC.CRD 327058 · LAKE FOREST, CA$4,462,834.00Regulatory AUM · August 2026
- BERKSHIRE ADVISORS, INC.CRD 122389 · WYOMISSING, PA$97,054,078.00Regulatory AUM · August 2026
- BERLIN, JONATHAN ANTONIO MEZACRD 330370$7,103,535.00Regulatory AUM · August 2026
- BERTOLET CAPITAL LLCCRD 125121 · NEW YORK, NY$35,800,000.00Regulatory AUM · August 2026
- BEST LIFE INFINITY, LLCCRD 319232 · COLORADO SPRINGS, CO$48,243,173.00Regulatory AUM · August 2026
- BETTEREDGE CAPITAL LLCCRD 334496 · NEW YORK, NY$81,423,847.00Regulatory AUM · August 2026
- BILL LOSEY RETIREMENT SOLUTIONS, LLCCRD 140731$39,632,747.00Regulatory AUM · August 2026
- BIN YUAN CAPITAL (CAYMAN) LIMITEDCRD 170104$76,000,000.00Regulatory AUM · August 2026
- BIRCH WEALTH, INC.CRD 304727 · ROME, NY$62,149,057.00Regulatory AUM · August 2026
- BLACK HILL CAPITAL PARTNERS, LLCCRD 118291 · SAN FRANCISCO, CA$67,670,878.00Regulatory AUM · August 2026
- BLACKSAND CAPITAL MANAGEMENT I, LLCCRD 163136 · HONOLULU, HI$25,493,999.00Regulatory AUM · August 2026
- BLACKSTONE REAL ESTATE ADVISORS V L.P.CRD 138208 · NEW YORK, NY$60,175,700.00Regulatory AUM · August 2026
- BLEECKER STREET CAPITAL MANAGEMENT, LLCCRD 332519 · BROOKLYN, NY$68,291,518.00Regulatory AUM · August 2026
- BLOOM INVESTMENT ADVISORS, LLCCRD 317405 · SAN FRANCISCO, CA$17,740,432.00Regulatory AUM · August 2026
- BLUE MARLIN HOLDCO LLCCRD 313892 · BETHESDA, MD$52,655,931.00Regulatory AUM · August 2026
- BLUE OCEAN INVESTMENT PARTNERS LIMITEDCRD 297769$7,710,477.00Regulatory AUM · August 2026
- BLUE SKY ASSET MANAGEMENT, LLCCRD 167686 · ENGLEWOOD, CO$98,569,414.00Regulatory AUM · August 2026
- BLUE SKY WEALTH PARTNERS, LLCCRD 315110$5,871,822.00Regulatory AUM · August 2026
- BLUEVINE ADVISORY LLCCRD 326599 · JERSEY CITY, NJ$8,939,800.00Regulatory AUM · August 2026
- BOERUM HILL FINANCIAL ADVISORS LLCCRD 288987 · BROOKLYN, NY$46,384,647.00Regulatory AUM · August 2026
- BORABOND, LLCCRD 336456 · FRAMINGHAM, MA$83,085.00Regulatory AUM · August 2026
- BOUNDARY CREEK ADVISORS LPCRD 300768$49,799,299.00Regulatory AUM · August 2026
- BOX FINANCIAL ADVISORS, LLCCRD 155623 · GRAPEVINE, TX$96,912,257.00Regulatory AUM · August 2026
- BP CAPITAL FUND ADVISORS, LLCCRD 168476$20,000,000.00Regulatory AUM · August 2026
- BPBI LLCCRD 288133 · NEW YORK, NY$51,002,893.00Regulatory AUM · August 2026
- BRANDON HILL WEALTH MANAGEMENT, LLCCRD 315778$48,388,343.00Regulatory AUM · August 2026
- BRANSON FOWLKES RUSSELL INCCRD 107656 · HOUSTON, TX$1,619,079.00Regulatory AUM · August 2026
- BREACHER CAPITAL ADVISORS, LLCCRD 307943 · STAMFORD, CT$7,500,000.00Regulatory AUM · August 2026
- BREAKAWAY INDEPENDENT ADVISORS, LLCCRD 340675 · SAN DIEGO, CA$3,296,154.00Regulatory AUM · August 2026
- BRENDAN WOOD TOPGUN PARTNERSHIPS INC.CRD 327874$19,578,300.00Regulatory AUM · August 2026
- BRIGHTSTONE CAPITAL MANAGEMENT, LLCCRD 289405$30,991,301.00Regulatory AUM · August 2026
- $8,382,000.00Regulatory AUM · August 2026
- BROAD INVESTMENT SECURITIES LLCCRD 290775$200.00Regulatory AUM · August 2026
- BROOKS, WAYNE ICRD 168816 · UTICA, NY$57,541,913.00Regulatory AUM · August 2026
- BRUESKE ADVISORY SERVICES, LLCCRD 300689 · BELLEVUE, WA$35,781,637.00Regulatory AUM · August 2026
- BRYAN ADVISORY SERVICES, LLCCRD 153659 · CANONSBURG, PA$2,404,583.00Regulatory AUM · August 2026
- BRYDEN-ABRAMS INVESTMENT MANAGEMENT LLCCRD 143124 · NEW YORK, NY$45,000,000.00Regulatory AUM · August 2026
- BUFFALO FIRST WEALTH MANAGEMENT, LLCCRD 168937 · WILLIAMSVILLE, NY$91,738,676.00Regulatory AUM · August 2026
- BUILD ASSET MANAGEMENT, LLCCRD 298354 · JEFFERSON CITY, MO$64,585,809.00Regulatory AUM · August 2026
- BUILD WHALE, INC.CRD 330063 · CHICAGO, IL$2,532,499.00Regulatory AUM · August 2026
- BULLET VENTURES MANAGEMENT LTDCRD 331216$24,015,000.00Regulatory AUM · August 2026
- BULLSEYE IG LLCCRD 333284$55,650,000.00Regulatory AUM · August 2026
- BULLTICK4U ADVISOR, LLCCRD 319418 · MIAMI, FL$142,776.00Regulatory AUM · August 2026
- BURKE WEALTH MANAGEMENT, LLCCRD 305840 · HOUSTON, TX$95,240,442.00Regulatory AUM · August 2026
- BURREN CAPITAL ADVISORS LIMITEDCRD 157096$97,718,332.00Regulatory AUM · August 2026
- BVB AND PARTNERS S.A.CRD 288814$1,537,686.00Regulatory AUM · August 2026
- BYCOFF GROUP LLCCRD 334192$72,646,995.00Regulatory AUM · August 2026
- BYRON PLACE CAPITAL MANAGEMENT, LLCCRD 282078 · METUCHEN, NJ$48,395,420.00Regulatory AUM · August 2026
- BZ WEALTH ADVISORS, LLCCRD 335978 · LITTLETON, CO$26,026,206.00Regulatory AUM · August 2026
- C & C FINANCIAL SERVICES, INC.CRD 106752 · GREAT NECK, NY$66,236,000.00Regulatory AUM · August 2026
- C1 ADVISORS LLCCRD 331914 · PALO ALTO, CA$53,054,264.00Regulatory AUM · August 2026
- C4M GLOBAL ADVISORS LLCCRD 326942 · ARLINGTON, VA$16,347,003.00Regulatory AUM · August 2026
- CADOGAN PARK ADVISORS INC.CRD 291546$47,409,347.00Regulatory AUM · August 2026
- CAGR FINANCE LLCCRD 337809 · LEWES, DE$31,840.00Regulatory AUM · August 2026
- CALAMOS ANTETOKOUNMPO ASSET MANAGEMENT LLCCRD 322813 · NAPERVILLE, IL$26,767,967.00Regulatory AUM · August 2026
- CALTIER ADVISORS, LLCCRD 317263 · POWAY, CA$6,883,300.00Regulatory AUM · August 2026
- CAMBRIDGE ADVISORS, LLCCRD 158928 · WILLIAMSVILLE, NY$46,540,702.00Regulatory AUM · August 2026
- CAMBRIDGE WEALTH MANAGEMENT, LLCCRD 172938 · CAMBRIDGE, NY$31,820,998.00Regulatory AUM · August 2026
- CANDLESTICK ADVISING TECHNOLOGIES INC.CRD 333215$40,000.00Regulatory AUM · August 2026