Investment adviser firms: Under $100 million in regulatory AUM · Page 6
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
- ICONOCLASTIC CAPITAL MANAGEMENT LLCCRD 310132 · ROCHESTER, NY$68,178,878.00Regulatory AUM · August 2026
- IDYLLIC PARTNERS MANAGER, LPCRD 339892 · SLEEPY HOLLOW, NY$85,000,000.00Regulatory AUM · August 2026
- IHS WEALTH MANAGEMENT LLCCRD 329852 · OYSTER BAY, NY$39,405,464.00Regulatory AUM · August 2026
- II TECHNOLOGY, LLCCRD 282760 · AUSTIN, TX$40,486,132.00Regulatory AUM · August 2026
- IKOS CIF LIMITEDCRD 138839$26,945,000.00Regulatory AUM · August 2026
- ILLUMINATE ADVISERS, LLCCRD 334292$1,500.00Regulatory AUM · August 2026
- INFINITY CREDIT ADVISORY, LLCCRD 331652 · ATLANTA, GA$53,523,436.00Regulatory AUM · August 2026
- INNOVATION PARTNERS LLC.CRD 146344 · CHARLOTTE, NC$21,681,537.00Regulatory AUM · August 2026
- INNOVATIVE FAMILY OFFICE LLCCRD 329496 · SOMERS, NY$65,815,282.00Regulatory AUM · August 2026
- INSIGHT ADVISORS, LLCCRD 109137 · LOS ANGELES, CA$1,700,000.00Regulatory AUM · August 2026
- INSIGHT SECURITIES, INC.CRD 5611 · HIGHLAND PARK, IL$94,216,934.00Regulatory AUM · August 2026
- INSIGHTS INVESTMENTS LLCCRD 309727 · PALO ALTO, CA$45,754,019.00Regulatory AUM · August 2026
- $4,050,716.00Regulatory AUM · August 2026
- INTEGRITY ADVISORY PARTNERS LLCCRD 161647 · NEW YORK, NY$46,107,943.00Regulatory AUM · August 2026
- INTELLIGENT ALPHA LLCCRD 332518 · MINNEAPOLIS, MN$27,000,000.00Regulatory AUM · August 2026
- INTER US MANAGEMENT, LLCCRD 334212 · MIAMI, FL$83,373,378.00Regulatory AUM · August 2026
- INTERCAROLINA FINANCIAL SERVICES, INC.CRD 19475 · GREENSBORO, NC$85,370,900.00Regulatory AUM · August 2026
- INTERNATIONAL FINANCIAL PLANNING LLCCRD 327686$40,412,042.00Regulatory AUM · August 2026
- INVERLOCHY CAPITAL, INC.CRD 132253$44,409,919.00Regulatory AUM · August 2026
- INVERSSO, LLCCRD 298821$362,700.00Regulatory AUM · August 2026
- INVESTABLE WEALTH MANAGEMENT, INC.CRD 333290$490,100.00Regulatory AUM · August 2026
- INVESTALL, INC.CRD 285955 · NEW YORK, NY$26,175,000.00Regulatory AUM · August 2026
- INVESTIRE LLCCRD 299977$46,237,541.00Regulatory AUM · August 2026
- INVESTMENT RESEARCH CORPCRD 108208 · DENVER, CO$76,319,944.00Regulatory AUM · August 2026
- INVESTOR'S ADVANTAGE L.L.C.CRD 315773$98,665,625.00Regulatory AUM · August 2026
- INVEX NEXT, LLCCRD 328201 · CORAL GABLES, FL$3,032,000.00Regulatory AUM · August 2026
- INVICTUS ADVISORY SERVICES LLCCRD 312399 · BUFFALO, NY$37,639,930.00Regulatory AUM · August 2026
- IQCIO LLCCRD 285435 · NEW YORK, NY$60,903,376.00Regulatory AUM · August 2026
- IQVESTMENT, LLCCRD 157514$22,310,201.00Regulatory AUM · August 2026
- ISRAEL INVESTMENT ADVISORS, LLCCRD 153952 · DENVER, CO$96,302,348.00Regulatory AUM · August 2026
- IVESTA CORPCRD 337603 · NEW YORK, NY$82,000,000.00Regulatory AUM · August 2026
- IVY INVEST CORPORATIONCRD 328122 · SAN FRANCISCO, CA$12,577,736.00Regulatory AUM · August 2026
- IWC ASSET MANAGEMENT LLCCRD 286445$92,074,955.00Regulatory AUM · August 2026
- J. MANDWELLE CAPITAL STRATEGIES, LLCCRD 166330$60,867,197.00Regulatory AUM · August 2026
- J.M. BRUDERMAN & COMPANY, LLCCRD 323195 · LOCUST VALLEY, NY$78,514,722.00Regulatory AUM · August 2026
- J.P.MORGAN WEALTH MANAGEMENT SOLUTIONS INC.CRD 335439 · NEW YORK, NY$8,994,413.00Regulatory AUM · August 2026
- JACOB ASSET MANAGEMENT OF NEW YORK LLCCRD 112006 · HERMOSA BEACH, CA$84,061,832.00Regulatory AUM · August 2026
- JOSEPH JOHN HASSON, JR.CRD 109301$86,771,721.00Regulatory AUM · August 2026
- JPS ADVISORS LLCCRD 312126$26,551,815.00Regulatory AUM · August 2026
- JUST FUTURES ADVISORS, LLCCRD 327226 · SAN FRANCISCO, CA$46,721,000.00Regulatory AUM · August 2026
- K R FINANCIAL LLCCRD 111282$90,735,198.00Regulatory AUM · August 2026
- K.J. HARRISON & PARTNERS (USA) INC.CRD 282353$21,748,500.00Regulatory AUM · August 2026
- KAHN BROTHERS ASSET MANAGEMENT CORPCRD 105620 · NEW YORK, NY$18,478,137.00Regulatory AUM · August 2026
- KAILAI ADVISERS LTD.CRD 161692 · LOS ANGELES, CA$57,779,436.00Regulatory AUM · August 2026
- KANE FINANCIAL, LLCCRD 291231 · WATERVILLE, NY$75,174,312.00Regulatory AUM · August 2026
- KARAGOSIAN FINANCIAL SERVICES, INCCRD 124532 · CROTON ON HUDSON, NY$26,789,020.00Regulatory AUM · August 2026
- KB & PARTNERS MANAGEMENT CO LLCCRD 108105 · NEW YORK, NY$52,754,259.00Regulatory AUM · August 2026
- KDHB V CAPITAL MANAGEMENT, LLCCRD 307182 · ATLANTA, GA$54,785,968.00Regulatory AUM · August 2026
- KEEL CAPITAL ABCRD 283825$10,875,246.00Regulatory AUM · August 2026
- KELLY STRATEGIC MANAGEMENT, LLCCRD 315259 · DENVER, CO$81,658,352.00Regulatory AUM · August 2026
- KENMAR PREFERRED INVESTMENTS, LLCCRD 226658 · NEW YORK, NY$31,439,754.00Regulatory AUM · August 2026
- KHAVEEN INVESTMENTS SDN. BHD.CRD 333688$8,700,000.00Regulatory AUM · August 2026
- KINEO CAPITAL LLCCRD 315019 · NEW YORK, NY$61,100,000.00Regulatory AUM · August 2026
- KING RIDGE CAPITAL ADVISORS, LLCCRD 333383$45,070,300.00Regulatory AUM · August 2026
- KINGSBARN CAPITAL MANAGEMENT, LLCCRD 316562 · LAS VEGAS, NV$5,522,100.00Regulatory AUM · August 2026
- KPC TERRAPIN GROUP LLCCRD 285526 · NEW YORK, NY$48,700,000.00Regulatory AUM · August 2026
- KRAKEN ADVISER LLCCRD 337920 · FORT LAUDERDALE, FL$377.00Regulatory AUM · August 2026
- KRANE CAPITAL MANAGEMENT, LLCCRD 329110 · NEW YORK, NY$48,435,975.00Regulatory AUM · August 2026
- KRONOS WEALTH MANAGEMENT, LLCCRD 281729$27,087,812.00Regulatory AUM · August 2026
- KUBENCE LLCCRD 336461$570,000.00Regulatory AUM · August 2026
- L & B REALTY ADVISORS, LLPCRD 136654 · DALLAS, TX$218,557.00Regulatory AUM · August 2026
- L&L PARTNERS WEALTH MANAGEMENT, LLCCRD 140077 · SUFFERN, NY$81,801,519.00Regulatory AUM · August 2026
- LAKE ROAD ADVISORS, LLCCRD 281657 · CORNING, NY$98,754,467.00Regulatory AUM · August 2026
- LANCASTER LABS, LLCCRD 339389$8,561,710.00Regulatory AUM · August 2026
- LANGAR INVESTMENT MANAGEMENT, LLCCRD 323433$3,994,673.00Regulatory AUM · August 2026
- LANMAR CAPITAL MANAGEMENT LLCCRD 338848$1,801,000.00Regulatory AUM · July 2026
- LAVA WEALTH MANAGEMENT, LLCCRD 167674$42,597,301.00Regulatory AUM · August 2026
- LEATHERBACK ASSET MANAGEMENT, LLCCRD 310252 · PALM BEACH GARDENS, FL$35,003,327.00Regulatory AUM · August 2026
- LEGACY CORNERSTONE WEALTH LLCCRD 281027 · PEORIA, AZ$22,438,801.00Regulatory AUM · August 2026
- LEGADO WEALTH MANAGEMENT LLCCRD 305263 · NEW YORK, NY$51,030,108.00Regulatory AUM · August 2026
- LEH II MANAGEMENT LLCCRD 328785 · ENGLEWOOD, CO$93,096,259.00Regulatory AUM · August 2026
- LEHMANN, LIVIAN, FRIDSON ADVISORS, LLCCRD 169980 · NEW YORK, NY$84,180,932.00Regulatory AUM · August 2026
- LEMNIS CAPITALCRD 340137 · RICHARDSON, TX$97,886,144.00Regulatory AUM · August 2026
- LEND ACADEMY INVESTMENTS, LLCCRD 169878$12,158,025.00Regulatory AUM · August 2026
- LEO WEALTH MANAGEMENT, LLCCRD 337537 · STATEN ISLAND, NY$33,000,000.00Regulatory AUM · August 2026
- LESLIE MARIE GIORDANOCRD 126274 · GARDEN CITY, NY$62,570,043.00Regulatory AUM · August 2026
- LET BOB ADVISORY, LLCCRD 321854$28,974.00Regulatory AUM · August 2026
- LEXION CAPITAL MANAGEMENT LPCRD 153273 · NEW YORK, NY$87,914,935.00Regulatory AUM · August 2026
- LFN ADVISORS INC.CRD 169361 · MUSKEGON, MI$23,696,461.00Regulatory AUM · August 2026
- LGM CAPITAL MANAGEMENT LLCCRD 283872 · PHOENIX, AZ$14,937,019.00Regulatory AUM · August 2026
- LIBERTY WEALTH MANAGERS LLCCRD 322131 · NEW YORK, NY$59,866,605.00Regulatory AUM · August 2026
- LIGHTHOUSE SWISS WEALTH ADVISORS AGCRD 164658$40,350,049.00Regulatory AUM · August 2026
- LIGHTHOUSE WEALTH PARTNERS, INC.CRD 330415$886,083.00Regulatory AUM · August 2026
- LINCOLN PARK CAPITAL LLCCRD 330031 · OLEAN, NY$45,092,229.00Regulatory AUM · August 2026
- LION CAPITAL ADVISORS LLCCRD 305440 · MIAMI, FL$94,809,671.00Regulatory AUM · August 2026
- LIONSHARES LLCCRD 335459 · BROOKLYN, NY$6,025,278.00Regulatory AUM · August 2026
- LK FINANCIAL PLANNING LLCCRD 160539 · NEW YORK, NY$86,937,138.00Regulatory AUM · August 2026
- LLOYD TEVIS INVESTMENTS, LLCCRD 323061 · LAFAYETTE, CA$435,000.00Regulatory AUM · August 2026
- LOBNEK WEALTH MANAGEMENT INC.CRD 284024$12,461,590.00Regulatory AUM · August 2026
- LONDINIUM ASSET MANAGEMENT LTD.CRD 141259$82,000,000.00Regulatory AUM · August 2026
- LONG ISLAND FINANCIAL LLCCRD 337288 · HUNTINGTON, NY$65,219,479.00Regulatory AUM · August 2026
- LONGHORN CAPITAL PARTNERS, L.P.CRD 329221 · FORT WORTH, TX$63,555,047.00Regulatory AUM · August 2026
- LOTUS HOLDINGS LLCCRD 172638 · RYE, NY$30,000,000.00Regulatory AUM · August 2026
- LOWELL ROAD ASSET MANAGEMENT, INC.CRD 164370 · MANHASSET, NY$50,271,809.00Regulatory AUM · August 2026
- LPK INVESTMENT GROUP, LLPCRD 218514 · NEW YORK, NY$98,000,000.00Regulatory AUM · July 2026
- LT ADVISORS LLCCRD 318920 · NEW CITY, NY$53,500,000.00Regulatory AUM · August 2026
- LUESINK FINANCIAL PLANNING LLCCRD 147076 · NEW YORK, NY$94,081,746.00Regulatory AUM · August 2026
- LUMIERE FINANCIAL GROUP LLCCRD 319171 · NEW YORK, NY$82,712,067.00Regulatory AUM · August 2026
- LUNIN-PACK PLANNING AND ADVICE, LLCCRD 334066 · COLD SPRING, NY$32,447,668.00Regulatory AUM · August 2026
- LUTHER FOREST WEALTH ADVISORS, L.L.C.CRD 142714 · MALTA, NY$98,578,214.00Regulatory AUM · August 2026