Investment adviser firms: Under $100 million 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.
1,145 firms · Source months shown: July 2026 and August 2026
- FUTURE PERFECT PLANNING, LLCCRD 173765$44,452,354.00Regulatory AUM · August 2026
- FUTUREMONEY RIA, LLCCRD 329835 · MANCHESTER, NH$1,622,144.00Regulatory AUM · August 2026
- FWG INVESTMENT MANAGEMENT, LLCCRD 322394 · WINTER PARK, FL$14,424,515.00Regulatory AUM · August 2026
- G-LEGION, LLCCRD 286297 · CHICAGO, IL$12,615,540.00Regulatory AUM · August 2026
- GALAPAGOS GLOBAL CAPITAL MANAGEMENT LLCCRD 326890 · MIAMI, FL$45,441,541.00Regulatory AUM · August 2026
- GALLATIN & COMPANY, LLCCRD 111984 · VERO BEACH, FL$98,050,936.00Regulatory AUM · August 2026
- GALLOWAY ASSET MANAGEMENT LLCCRD 141091 · MESA, AZ$17,881,765.00Regulatory AUM · August 2026
- GAM24, LLCCRD 330914$33,468,323.00Regulatory AUM · August 2026
- GARRETT NAGLE & CO., INC.CRD 7071 · WOBURN, MA$98,358,821.00Regulatory AUM · August 2026
- GAVLTD INTERNATIONAL CORPORATIONCRD 314687 · EL PASO, TX$34,320,231.00Regulatory AUM · August 2026
- GBG WEALTH MANAGEMENT LLCCRD 333368 · LONE TREE, CO$23,761,917.00Regulatory AUM · August 2026
- GEMCORP CAPITAL ADVISORS LLCCRD 329386 · NEW YORK, NY$36,516,917.00Regulatory AUM · August 2026
- GENERAL INDUSTRIAL PARTNERS LLPCRD 282342$79,957,970.00Regulatory AUM · August 2026
- GENERATION PMCA CORP.CRD 117842$42,634,136.00Regulatory AUM · August 2026
- GENESIS ASSET MANAGEMENT GROUP, INC.CRD 125350$86,578,443.00Regulatory AUM · August 2026
- GENSEN ASSET MANAGEMENT INC.CRD 339709$75,000,000.00Regulatory AUM · August 2026
- GEO CAPITAL GESTORA DE RECURSOS LTDACRD 322902$68,676,061.00Regulatory AUM · August 2026
- GET MOVING INCCRD 329172 · SAN FRANCISCO, CA$4,093,402.00Regulatory AUM · August 2026
- GFM ASSET MANAGEMENT LLCCRD 283810$27,500,000.00Regulatory AUM · August 2026
- GILEAD CAPITAL LPCRD 282023 · NEW YORK, NY$39,070,470.00Regulatory AUM · August 2026
- GINKGO GLOBAL LIMITEDCRD 286631$14,266,931.00Regulatory AUM · August 2026
- GKFO, LLCCRD 151138 · W. CONSHOHOCKEN, PA$33,630,282.00Regulatory AUM · August 2026
- GLASS RETIREMENT STRATEGIES, INC.CRD 172610 · WEST BLOOMFIELD, MI$20,083,665.00Regulatory AUM · August 2026
- GLASSMAN WEALTH MANAGEMENT LLCCRD 167463$46,485,000.00Regulatory AUM · August 2026
- GLOBAL AUTOTRADING INC.CRD 143231$7,300,903.00Regulatory AUM · August 2026
- GLOBAL BETA ADVISORS LLCCRD 298176 · WEST CHESTER, PA$28,801,241.00Regulatory AUM · August 2026
- GLOBAL INVESTMENT ADVISORY LLCCRD 310305 · MCDONOUGH, GA$71,832,116.00Regulatory AUM · August 2026
- GLOBAL LISTING ACCELERATOR SECURITIES LIMITEDCRD 327603 · NEW YORK, NY$27,000,000.00Regulatory AUM · August 2026
- GLR INVESTMENT ADVISORY LLCCRD 328662$637,332.00Regulatory AUM · August 2026
- GOLDEN EAGLE CAPITAL ADVISORS, INC.CRD 173811$46,848,347.00Regulatory AUM · August 2026
- GOLDEN EAGLE STRATEGIES, LLCCRD 169362 · DELRAY BEACH, FL$50,524,306.00Regulatory AUM · August 2026
- GOLDEN JADE CAPITAL MANAGEMENT, LLCCRD 167923$2,850,000.00Regulatory AUM · August 2026
- GOLDIRON GP LLCCRD 285239 · NEW YORK, NY$60,160,557.00Regulatory AUM · August 2026
- GOLDSTANDARD WEALTH PRIVATE LIMITEDCRD 339199$64,584,467.00Regulatory AUM · August 2026
- GOLDSTONE PORTFOLIOS INCORPORATEDCRD 127162$29,070,850.00Regulatory AUM · August 2026
- GOOSE HOLLOW CAPITAL MANAGEMENT LLCCRD 312912 · TENAFLY, NJ$41,000,000.00Regulatory AUM · August 2026
- GORDIAN CAPITAL MANAGEMENT, LLCCRD 337799 · MILL VALLEY, CA$28,377,447.00Regulatory AUM · August 2026
- GPS FINANCIAL, LLCCRD 290227 · PITTSFORD, NY$77,322,871.00Regulatory AUM · August 2026
- GRAND SLAM ASSET MANAGEMENT, LLCCRD 161122 · ENGLEWOOD CLIFFS, NJ$35,017,374.00Regulatory AUM · August 2026
- GRANITE VALUE CAPITAL, LLCCRD 150169 · HANOVER, NH$98,911,833.00Regulatory AUM · August 2026
- GRAVITY CAPITAL MANAGEMENT LLCCRD 137083 · NEW YORK, NY$94,034,321.00Regulatory AUM · August 2026
- GRAY LION CAPITAL LLCCRD 338776$7,000,000.00Regulatory AUM · August 2026
- GRAYSCALE ADVISORS, LLCCRD 314868 · STAMFORD, CT$60,561,877.00Regulatory AUM · August 2026
- GREAT NORTHERN ASSET MANAGEMENT, INC.CRD 166788 · WINTER PARK, FL$73,067,315.00Regulatory AUM · August 2026
- GREENWOOD INVESTMENT ADVISORS, LLCCRD 327470 · ATLANTA, GA$229,197.00Regulatory AUM · August 2026
- GREENWOOD PINE PARTNERS, LLCCRD 314679 · MEMPHIS, TN$22,865,632.00Regulatory AUM · August 2026
- GRENDA GROUP LLCCRD 170241 · BUFFALO, NY$34,660,653.00Regulatory AUM · August 2026
- GREYCLIFF WEALTH MANAGEMENT, LLCCRD 307645 · NEW YORK, NY$83,776,167.00Regulatory AUM · August 2026
- GRIZZLE INVESTMENT MANAGEMENT LLCCRD 317242$4,911,555.00Regulatory AUM · August 2026
- GROESBECK INVESTMENT MANAGEMENT CORPCRD 106679 · PARAMUS, NJ$54,703,125.00Regulatory AUM · August 2026
- GROUP RMC INVESTMENT ADVISOR LLCCRD 318504 · NEW YORK, NY$84,579,098.00Regulatory AUM · August 2026
- GRUENSTEIN INVESTMENTS LLCCRD 298739$61,478,697.00Regulatory AUM · August 2026
- GSB CAPITAL, LLCCRD 311571$94,792,090.00Regulatory AUM · August 2026
- GST MANAGEMENT, LLCCRD 290259$60,894,570.00Regulatory AUM · August 2026
- GUEPARDO INVESTIMENTOS LTDACRD 340061$4,933,896.00Regulatory AUM · August 2026
- GUIDANCE POINT RETIREMENT SERVICES, LLCCRD 161000 · PORTLAND, ME$88,207,933.00Regulatory AUM · August 2026
- GUIDE WEALTH MANAGEMENT LLCCRD 264788$42,098,507.00Regulatory AUM · August 2026
- GUNN WEALTH MANAGEMENT LLCCRD 131720$24,000,000.00Regulatory AUM · August 2026
- GURUFOCUS INVESTMENTS, LLCCRD 316414 · PLANO, TX$35,757,831.00Regulatory AUM · August 2026
- HAFELE INVESTMENTS, INC.CRD 341803 · LOUISVILLE, KY$57,736,800.00Regulatory AUM · August 2026
- HALO INVESTMENT SERVICES, LLCCRD 325613 · MANHASSET, NY$60,049,252.00Regulatory AUM · August 2026
- HARBOURFRONT WEALTH AMERICA INC.CRD 306941$9,201,059.00Regulatory AUM · August 2026
- HARMONIC CAPITAL, LLCCRD 335516$13,445,518.00Regulatory AUM · August 2026
- HARVEST CAPITAL ASSETS, LLCCRD 269951$72,000,000.00Regulatory AUM · August 2026
- HARWOOD CAPITAL LLPCRD 161632$61,395,381.00Regulatory AUM · August 2026
- HARWOOD PRIVATE EQUITY LLPCRD 330340$52,870,206.00Regulatory AUM · August 2026
- HAVEN CAPITAL ADVISORS, LLCCRD 338419 · CHARLOTTE, NC$5,400,000.00Regulatory AUM · August 2026
- HAWKEYE PARTNERS, LPCRD 134601$38,194,639.00Regulatory AUM · August 2026
- HAWKS POINT CAPITAL PARTNERS LLCCRD 307006 · RYE BROOK, NY$61,360,000.00Regulatory AUM · August 2026
- HDI CAPITAL LLCCRD 277119$9,673,425.00Regulatory AUM · August 2026
- HELIANTH INVESTMENT MANAGEMENT LLCCRD 317326 · PORT CHESTER, NY$58,446,165.00Regulatory AUM · August 2026
- HENLEY & COMPANY WEALTH MANAGEMENT LLCCRD 144884 · UNIONDALE, NY$93,923,336.00Regulatory AUM · August 2026
- HERITAGE GROVE WEALTH MANAGEMENT, LLCCRD 336771$88,820,000.00Regulatory AUM · August 2026
- HERITAGE STRATEGIC WEALTH, LLCCRD 338025 · CARY, IL$45,732,772.00Regulatory AUM · August 2026
- HERMITAGE WEALTH MANAGEMENT, INC.CRD 333235 · RICHMOND, VA$37,535,475.00Regulatory AUM · August 2026
- HERON ADVISORY INC.CRD 327608 · SAN FRANCISCO, CA$37,684,104.00Regulatory AUM · August 2026
- HEXIS CAPITAL MANAGEMENT LIMITEDCRD 338598$1,000,000.00Regulatory AUM · August 2026
- HIGHGATE GROUP USA INC.CRD 333217$16,978,584.00Regulatory AUM · August 2026
- HIGHLAND CONSULTING ASSOCIATES INTERNATIONAL, INC.CRD 282906 · CLEVELAND, OH$76,633,396.00Regulatory AUM · August 2026
- HIGHLINE ASSET MANAGEMENT, LLCCRD 332483 · SHERMAN OAKS, CA$10,670,012.00Regulatory AUM · August 2026
- HILBERT 8, LLCCRD 284577 · NEW YORK, NY$47,194,830.00Regulatory AUM · August 2026
- HKW MANAGEMENT, LLCCRD 333392$42,464,816.00Regulatory AUM · August 2026
- HLV VENTURESCRD 332979 · HAUPPAUGE, NY$74,829,278.00Regulatory AUM · August 2026
- HODGE FINANCIAL SERVICES, LLCCRD 127213$19,721,058.00Regulatory AUM · July 2026
- HOLISTIC FINANCE LLCCRD 335108$14,225,482.00Regulatory AUM · August 2026
- HONEOYE FALLS CAPITAL LLCCRD 333306 · HONEOYE FALLS, NY$67,000,000.00Regulatory AUM · August 2026
- HONEYTREE INVESTMENT MANAGEMENT LTD.CRD 313415$13,574,081.00Regulatory AUM · August 2026
- HUDSON HOUSE CAPITAL INCORPORATEDCRD 335654$280,000.00Regulatory AUM · August 2026
- HUDSON VALLEY WEALTH MANAGEMENT, INCCRD 146338 · PEARL RIVER, NY$48,750,239.00Regulatory AUM · August 2026
- HUDSON VIEW ADVISORS, LLCCRD 288839 · CROTON-ON-HUDSON, NY$64,338,728.00Regulatory AUM · August 2026
- HUNTER MICHAEL INVESTMENT ADVISORS INCCRD 107884 · RICHMOND, VA$81,236,514.00Regulatory AUM · August 2026
- HUNTER PRIVATE CAPITAL ADVISORS, LLCCRD 333651 · PITTSBURGH, PA$16,376,105.00Regulatory AUM · August 2026
- HV CAPITAL MANAGEMENT, LLCCRD 339467 · MONTGOMERY, NY$71,512,244.00Regulatory AUM · August 2026
- HYJC CAPITAL OF WNY, LLCCRD 325574 · LAKEVILLE, NY$82,552,678.00Regulatory AUM · August 2026
- HYLAND, BRUCE TAPPANCRD 159731$55,392,046.00Regulatory AUM · August 2026
- HYPATIA CAPITAL MANAGEMENT LLCCRD 311411 · NEW YORK, NY$6,920,379.00Regulatory AUM · August 2026
- I-CTHRU INC.CRD 170875$1,899,430.00Regulatory AUM · August 2026
- IBN ADVISORY SERVICES, INC.CRD 293288 · LIVERPOOL, NY$69,811,000.00Regulatory AUM · August 2026
- IBN FINANCIAL SERVICES, INC.CRD 42360 · LIVERPOOL, NY$87,653,250.00Regulatory AUM · August 2026
- ICON FINANCIAL SERVICES LLCCRD 306816 · PORTLAND, OR$19,743,206.00Regulatory AUM · August 2026