EXPLORE THE DIRECTORY

Investment adviser firms: Under $100 million in regulatory AUM · Page 4

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

DOUBLE DUTY MONEY MANAGEMENT LLCCRD 326792 · NEW YORK, NY
$83,669,173.00Regulatory AUM · August 2026
DOUBLE I INVESTMENTS, LLCCRD 315372
$50,000.00Regulatory AUM · July 2026
DRACO EVOLUTION CORP.CRD 329860
$21,760,348.00Regulatory AUM · August 2026
DRYDEN CAPITAL, LLCCRD 172648 · NEW YORK, NY
$76,638,894.00Regulatory AUM · August 2026
DUB ADVISORS LLCCRD 315589 · NEW YORK, NY
$81,786,390.00Regulatory AUM · August 2026
DUBEAU CAPITAL USA INC.CRD 119222
$47,887,720.00Regulatory AUM · August 2026
DV CAPITAL MANAGEMENT, LLCCRD 147013
$50,000,000.00Regulatory AUM · August 2026
E. MAGNUS OPPENHEIM & CO. INC.CRD 14268 · NEW YORK, NY
$9,510,538.00Regulatory AUM · August 2026
EAGAN CAPITAL MANAGEMENT, LLCCRD 126599 · FAYETTEVILLE, NY
$86,222,037.00Regulatory AUM · August 2026
EAGLE'S CREST ADVISORS, LLCCRD 335252 · HUNTINGTON, NY
$65,336,093.00Regulatory AUM · August 2026
EARLYBIRD CENTRAL INC.CRD 307201
$14,000,000.00Regulatory AUM · July 2026
EASTSIDE FINANCIAL ADVISORS, LLCCRD 120371
$30,100,000.00Regulatory AUM · August 2026
EASTSPRING INVESTMENTS INCORPORATEDCRD 169439 · CHICAGO, IL
$49,741,610.00Regulatory AUM · August 2026
EASTWARD CAPITAL PARTNERS, LLCCRD 161422 · WEST NEWTON, MA
$95,963,630.00Regulatory AUM · August 2026
EBCO TRUSTEE SERVICES LTD LIAB. CO.CRD 338094
$44,665,927.00Regulatory AUM · August 2026
ECHO FINANCIAL ADVISORS, LLCCRD 325170
$23,973.00Regulatory AUM · August 2026
EDEN ADVISORY SERVICES, LLCCRD 277083 · ALBANY, NY
$27,800,000.00Regulatory AUM · August 2026
EFS ASSET MANAGEMENT LLCCRD 106184 · DALLAS, TX
$70,001,256.00Regulatory AUM · August 2026
EKO INVESTMENTS INC.CRD 313296
$74,889,305.00Regulatory AUM · August 2026
EL CASTILLO INVESTMENTS, LLCCRD 328068
$1,800,000.00Regulatory AUM · August 2026
EL MENUDO CUENTA LLCCRD 328439 · MIAMI, FL
$3,600.00Regulatory AUM · August 2026
ELEVATE PLANNERS, LLCCRD 332251
$25,946,000.00Regulatory AUM · August 2026
ELITE TAMP LLCCRD 327535 · CARMEL BY THE SEA, CA
$322,063.00Regulatory AUM · August 2026
ELKWATER CAPITAL MANAGEMENT, LLCCRD 333963 · NEW YORK, NY
$44,802,000.00Regulatory AUM · August 2026
ELPHINSTONE, INC.CRD 311264 · NEW YORK, NY
$1,419,128.00Regulatory AUM · August 2026
ELV8 INC.CRD 318417
$798,408.00Regulatory AUM · August 2026
EMBARK WEALTH MANAGEMENT, LLCCRD 157950 · TEMPE, AZ
$57,378,134.00Regulatory AUM · August 2026
EMERALD RESEARCH CORPORATIONCRD 113918
$9,381,458.00Regulatory AUM · August 2026
EMERALD SEPARATE ACCOUNT MANAGEMENT LLCCRD 150202 · LEOLA, PA
$21,300,000.00Regulatory AUM · August 2026
EMERGE CAPITAL MANAGEMENT INC.CRD 284581 · BUFFALO, NY
$30,000,483.00Regulatory AUM · August 2026
EMERY PARTNERS, LLCCRD 336787 · BOSTON, MA
$78,362,924.00Regulatory AUM · August 2026
EMETH VALUE CAPITAL, LLCCRD 310696 · NEW ORLEANS, LA
$57,392,814.00Regulatory AUM · August 2026
EMPIRIC ADVISORS, INC.CRD 108425 · AUSTIN, TX
$64,662,525.00Regulatory AUM · August 2026
EMPIRIC INSTITUTIONAL, LLCCRD 164683 · AUSTIN, TX
$9,914,996.00Regulatory AUM · August 2026
EMPOWER PRIVATE WEALTHCRD 331529 · NEW YORK, NY
$34,549,146.00Regulatory AUM · August 2026
EMSTONE ADVISERS, LLCCRD 139061 · LEOLA, PA
$29,259,369.00Regulatory AUM · August 2026
ENDICOTT MANAGEMENT COMPANYCRD 157119 · NEW YORK, NY
$50,838,719.00Regulatory AUM · August 2026
ENDOWE ADVISORY LLCCRD 338697 · SAN JOSE, CA
$300.00Regulatory AUM · August 2026
ENTREPRENEURSHARES LLCCRD 153615 · BOSTON, MA
$50,357,062.00Regulatory AUM · August 2026
ENVISAGE GMBH.CRD 159270
$1,044,497.00Regulatory AUM · August 2026
EPOGEE CAPITAL MANAGEMENT LLCCRD 330816
$71,762,282.00Regulatory AUM · August 2026
EQUALIZE CAPITAL LLCCRD 300640 · SAN JUAN, PR
$39,534,235.00Regulatory AUM · August 2026
EREZ ASSET MANAGEMENT, LLCCRD 332027 · NEW ROCHELLE, NY
$84,308,279.00Regulatory AUM · August 2026
ESMEB INCORPORATEDCRD 152361
$26,364.00Regulatory AUM · August 2026
ESOTERICA CAPITAL LLCCRD 304570
$43,428,492.00Regulatory AUM · August 2026
ETERNAL CAPITAL, LLCCRD 333684 · MIAMI, FL
$42,745,886.00Regulatory AUM · August 2026
ETF MODEL SOLUTIONS, LLCCRD 168410 · APPLETON, WI
$18,115,702.00Regulatory AUM · August 2026
EUDAIMONIA WEALTH LLCCRD 305431 · BUFFALO, NY
$35,751,491.00Regulatory AUM · August 2026
EVEN HERD LLCCRD 329728 · OKLAHOMA CITY, OK
$55,855,516.00Regulatory AUM · August 2026
EVER GREEN WEALTH MANAGEMENT, LLCCRD 297459 · VICTOR, NY
$80,261,380.00Regulatory AUM · August 2026
EVERKEY FINANCIAL LLCCRD 325189 · KATY, TX
$10,572,425.00Regulatory AUM · August 2026
EVESTIA LLCCRD 313074
$33,335,476.00Regulatory AUM · August 2026
EVOLUTIONARY TREE CAPITAL MANAGEMENT, LLCCRD 291127 · ALEXANDRIA, VA
$91,691,110.00Regulatory AUM · August 2026
EXCLUSIVE RESOURCE MANAGEMENT LLCCRD 321076 · LATHAM, NY
$71,102,624.00Regulatory AUM · August 2026
EXDS CAPITAL LLCCRD 338093
$171,559.00Regulatory AUM · August 2026
FAIRWAY CAPITAL MANAGEMENT, LLCCRD 312918 · CHICAGO, IL
$89,327,181.00Regulatory AUM · August 2026
FAMA FIDUCIARY WEALTH LLCCRD 125627 · ROCHESTER, NY
$99,876,488.00Regulatory AUM · August 2026
FAMA RE.CAPITAL LTDACRD 148198
$16,300,928.00Regulatory AUM · August 2026
FAMILY DYNASTY ADVISORS LLCCRD 297082 · LUBBOCK, TX
$52,303,496.00Regulatory AUM · August 2026
FAMILY PARTNERS CAPITAL, LLCCRD 304176 · HAMILTON, MA
$92,256,560.00Regulatory AUM · August 2026
FANCLUB SPORTS MANAGEMENT LLCCRD 324765
$27,792,460.00Regulatory AUM · August 2026
FBD ASSET MGMT, LLCCRD 307216 · BLOOMINGTON, MN
$76,763,198.00Regulatory AUM · August 2026
FBL WEALTH MANAGEMENT, LLCCRD 291396 · WEST DES MOINES, IA
$9,240,933.00Regulatory AUM · August 2026
FEDERAL PREP ADVISORS, INC.CRD 282663 · BOHEMIA, NY
$80,113,636.00Regulatory AUM · August 2026
FIDELIS CAPITAL, LLCCRD 141341 · BIRMINGHAM, AL
$18,321,996.00Regulatory AUM · August 2026
FIDUCIARY MANAGEMENT GROUP, LLCCRD 136612 · NEW YORK, NY
$70,731,701.00Regulatory AUM · August 2026
FIFR, INC.CRD 328620
$68,013,090.00Regulatory AUM · August 2026
FINANCIAL PLANNING ASSOCIATES, LLCCRD 159404 · WHITE PLAINS, NY
$74,717,077.00Regulatory AUM · August 2026
FINANCIAL PLANNING SERVICES, INC.CRD 311146 · FORT LAUDERDALE, FL
$20,000,000.00Regulatory AUM · August 2026
FINGAGE ADVISORS LLCCRD 283340
$2,116,884.00Regulatory AUM · August 2026
FINIAT, LLCCRD 329094 · MOUNT DORA, FL
$25,556,450.00Regulatory AUM · August 2026
FINITE MANAGEMENT, LLCCRD 314875 · SANTA MONICA, CA
$2,959,504.00Regulatory AUM · August 2026
FIRETHORN PARTNERS, LLCCRD 288935
$30,417,628.00Regulatory AUM · August 2026
FIRST ASSOCIATED INVESTMENT ADVISORS, INC.CRD 113086 · DULUTH, MN
$93,144,375.00Regulatory AUM · August 2026
FIRST GLOBAL (UK) LIMITEDCRD 312469
$26,030,614.00Regulatory AUM · August 2026
FIRST STEP WEALTH PLANNING, LLCCRD 317527
$31,285,253.00Regulatory AUM · August 2026
FIRSTHAND CAPITAL MANAGEMENT, INC.CRD 150647 · SAN JOSE, CA
$58,567,545.00Regulatory AUM · August 2026
FIVANCIAL ADVISORS, INC.CRD 336326 · DALLAS, TX
$925.00Regulatory AUM · August 2026
FLATIRON FUND MANAGEMENT LPCRD 331871 · WEST PALM BEACH, FL
$27,319,276.00Regulatory AUM · August 2026
FLORENCE CAPITAL ADVISORS, LLCCRD 281038
$65,222,470.00Regulatory AUM · August 2026
FLYING POINT ASSET MANAGEMENT LLCCRD 157858
$55,737,280.00Regulatory AUM · August 2026
FOCUS PLANNING GROUP, LLCCRD 281231
$41,768,028.00Regulatory AUM · August 2026
FOCUSED TRADING AND INVESTMENTS, INC.CRD 289387
$10,000.00Regulatory AUM · July 2026
FORESTER CAPITAL MANAGEMENT LTDCRD 109474 · LIBERTYVILLE, IL
$3,512,507.00Regulatory AUM · August 2026
FOREVER FINANCIAL ADVISORS, LLCCRD 134486
$72,204,280.00Regulatory AUM · August 2026
FORMA CASHMERE LLCCRD 332280
$16,110,667.00Regulatory AUM · August 2026
FORTE ADVISORY SERVICES,LLCCRD 317854 · VICTOR, NY
$50,602,463.00Regulatory AUM · August 2026
FORTUNA FUNDS, LLCCRD 333660 · DALLAS, TX
$915,035.00Regulatory AUM · August 2026
FOUNDER ETFS LLCCRD 335174 · DALLAS, TX
$2,865,139.00Regulatory AUM · August 2026
FOUNTAINDALE, LLCCRD 326054
$407,969.00Regulatory AUM · August 2026
FOUR POINTS ADVISORS, LLCCRD 171720 · NEW YORK, NY
$40,015,712.00Regulatory AUM · August 2026
FOXPATH CAPITAL PARTNERS LPCRD 331708 · NEW YORK, NY
$50,000,000.00Regulatory AUM · August 2026
FRANCO FINANCIAL ADVISORS, INC.CRD 137587 · NEW YORK, NY
$72,015,055.00Regulatory AUM · August 2026
FRANK CAPITAL PARTNERS LLCCRD 127817
$40,910,186.00Regulatory AUM · August 2026
FRANKLIN PARKER FINANCIAL, LLCCRD 311908
$43,000,000.00Regulatory AUM · August 2026
FREEBOARD CAPITAL, LLCCRD 167222
$99,886,370.00Regulatory AUM · August 2026
FRUITFUL ADVISORY, LLCCRD 322603 · NEW YORK, NY
$25,205,403.00Regulatory AUM · August 2026
FUND ASSET MANAGERS, LLCCRD 315856 · RENO, NV
$24,775,718.00Regulatory AUM · August 2026
FUNDAMENTAL INVESTMENT SERVICES, LLCCRD 330232
$12,230,738.00Regulatory AUM · August 2026
FUNDIFY ADVISORS LLCCRD 319004 · AUSTIN, TX
$888,512.00Regulatory AUM · August 2026