Investment adviser firms: Under $100 million in regulatory AUM · Page 7
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
- LW CAPITAL MANAGEMENT, LLCCRD 313151$99,435,199.00Regulatory AUM · August 2026
- LYON CAPITAL MANAGEMENT, LLCCRD 111311 · PITTSFORD, NY$94,844,218.00Regulatory AUM · August 2026
- LYTLE INVESTMENT SERVICES CORP.CRD 297591 · GRAND ISLAND, NY$74,330,182.00Regulatory AUM · August 2026
- M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLCCRD 124506 · NEW YORK, NY$8,306,993.00Regulatory AUM · August 2026
- M1 ADVISORY SERVICES LLCCRD 249787 · CHICAGO, IL$633,573.00Regulatory AUM · August 2026
- M3SIXTY CAPITAL, LLCCRD 323764 · FAIRWAY, KS$28,735,146.00Regulatory AUM · August 2026
- MAAT INVESTMENT GROUP GMBHCRD 332840$1,400,000.00Regulatory AUM · August 2026
- MACE CAPITAL MANAGEMENT, LLCCRD 134605 · NEW YORK, NY$86,161,903.00Regulatory AUM · August 2026
- MADERER, KEITH DANIELCRD 126404$40,738,385.00Regulatory AUM · August 2026
- MADISON GLOBAL ADVISORS LLCCRD 288894 · HAUPPAUGE, NY$71,400,000.00Regulatory AUM · August 2026
- MAGELLAN FINANCIAL SOLUTIONS LLCCRD 169107 · WARWICK, NY$40,373,298.00Regulatory AUM · August 2026
- MAGNIFI LLCCRD 309397 · BOULDER, CO$2,115,520.00Regulatory AUM · August 2026
- MAGNIFINA, LLCCRD 306005 · BEDFORD HILLS, NY$53,898,224.00Regulatory AUM · August 2026
- MAGNUM RESEARCH GLOBAL LIMITEDCRD 291667$5,000,000.00Regulatory AUM · August 2026
- MAIDSTONE WEALTH MANAGEMENT, LLCCRD 291873 · CAMBRIDGE, NY$27,378,400.00Regulatory AUM · August 2026
- MAIN STREET FINANCIAL LLCCRD 118130 · PURCHASE, NY$71,108,570.00Regulatory AUM · August 2026
- MAIN STREET MANAGEMENT COMPANYCRD 111736 · AQUEBOGUE, NY$51,800,580.00Regulatory AUM · August 2026
- MAJORITY ASSET MANAGEMENT, INC.CRD 110891$36,913,159.00Regulatory AUM · August 2026
- MAKE THE MEMORY FINANCIAL PLANNING, LLCCRD 331666$8,817,300.00Regulatory AUM · August 2026
- MALATAI CAPITAL LLCCRD 299975 · NEW YORK, NY$65,000,000.00Regulatory AUM · August 2026
- MALT PARTNERS MANAGEMENT LLCCRD 337855 · NASHVILLE, TN$36,321,031.00Regulatory AUM · August 2026
- MANIKAY PARTNERS, LLCCRD 157272 · NEW YORK, NY$30,754,003.00Regulatory AUM · August 2026
- MANISPACE CAPITAL, LPCRD 334852 · NEW YORK, NY$97,355,322.00Regulatory AUM · August 2026
- MANZIL INVESTMENT ADVISORS, LLCCRD 308500$146,896.00Regulatory AUM · August 2026
- MAP FUNDS MANAGEMENT, LLCCRD 165979 · MARBLEHEAD, MA$25,785,114.00Regulatory AUM · August 2026
- MARIN WEALTH ADVISORS LLCCRD 123237 · SAN RAFAEL, CA$76,133,785.00Regulatory AUM · August 2026
- MARKETOCRACY CAPITAL MANAGEMENT LLCCRD 109168$6,000,000.00Regulatory AUM · August 2026
- MARKETOCRACY MASTERS INC.CRD 314667 · NORTHVILLE, MI$4,500,000.00Regulatory AUM · August 2026
- MARNOA PRIVATE WEALTH COUNSEL LTD.CRD 332639$19,273,422.00Regulatory AUM · August 2026
- MARSTONE LLCCRD 164810 · PROVIDENCE, RI$2,825,414.00Regulatory AUM · August 2026
- MARY & PIP INVESTMENTS, LLCCRD 338656$2,214.00Regulatory AUM · August 2026
- MASTERWORKS ADVISERS, LLCCRD 324239 · NEW YORK, NY$8,063,964.00Regulatory AUM · August 2026
- MATIENZO LAFFOURCADE, JUAN FRANCISCOCRD 310936$41,633,589.00Regulatory AUM · August 2026
- $7,124,393.00Regulatory AUM · August 2026
- MATTERHORN INVESTMENT MANAGEMENT LLPCRD 139221$8,371,899.00Regulatory AUM · August 2026
- MATTY AI INC.CRD 317016 · GREENVILLE, SC$39,330.00Regulatory AUM · August 2026
- MAUREEN A. WHELANCRD 140357$77,359,453.00Regulatory AUM · August 2026
- MAVROS CAPITAL MANAGEMENT, LLCCRD 327785 · NEW YORK, NY$32,102,083.00Regulatory AUM · August 2026
- MAZE INVESTMENTS, LLCCRD 153913 · LOS ANGELES, CA$45,749,000.00Regulatory AUM · August 2026
- MCA CROSS BORDER ADVISORS INC.CRD 168125$31,097,135.00Regulatory AUM · August 2026
- MCA CROSS BORDER CAPITAL INC.CRD 327516$64,569,177.00Regulatory AUM · August 2026
- MCKINNEY CAPITAL, LLCCRD 315545 · BIRMINGHAM, AL$90,960,929.00Regulatory AUM · August 2026
- MCNEILL CAPITAL, LLCCRD 154517 · SARATOGA SPRINGS, NY$40,619,424.00Regulatory AUM · August 2026
- MERION REALTY ADVISERS, LLCCRD 158507 · WYNNEWOOD, PA$99,316,639.00Regulatory AUM · August 2026
- META INVESTMENT MANAGEMENT COMPANY LLCCRD 312540 · BROOKLYN, NY$3,871,052.00Regulatory AUM · August 2026
- METIS CAPITAL MANAGEMENT LLCCRD 133198$29,806,712.00Regulatory AUM · August 2026
- MGH ASSET MANAGEMENT LTDCRD 139254$15,728,603.00Regulatory AUM · August 2026
- MGM INNOVA CAP MANAGEMENT LLCCRD 301918 · MIAMI, FL$77,988,960.00Regulatory AUM · August 2026
- MH INVESTMENT MANAGEMENT INCCRD 108961$63,365,000.00Regulatory AUM · August 2026
- MIANO, JOHN CHRISTOPHERCRD 132484 · UTICA, NY$54,519,400.00Regulatory AUM · August 2026
- MIDAS MANAGEMENT CORPORATIONCRD 108237 · WALPOLE, NH$93,174,932.00Regulatory AUM · August 2026
- MINERVA WEALTH ADVISORY LLCCRD 282723 · NEW YORK, NY$79,513,365.00Regulatory AUM · August 2026
- MINT ASSET MANAGEMENT LLCCRD 315568 · NEW YORK, NY$64,543,171.00Regulatory AUM · August 2026
- MITCHELL VAUGHT & TAYLOR INCCRD 106160 · CHICAGO, IL$42,403,351.00Regulatory AUM · August 2026
- MITTLEMAN VALUE PARTNERS LLCCRD 327006$33,409,249.00Regulatory AUM · August 2026
- MKAM ETF LLCCRD 324607 · LAS VEGAS, NV$11,978,398.00Regulatory AUM · August 2026
- ML WEALTH LLCCRD 289521 · NEW YORK, NY$12,365,554.00Regulatory AUM · August 2026
- MODERN CAPITAL MANAGEMENT, CO.CRD 306631 · MT PLEASANT, SC$90,653,658.00Regulatory AUM · August 2026
- MOHAWK CAPITAL ADVISORS, LLCCRD 172304$35,539,000.00Regulatory AUM · August 2026
- MOLLOT & HARDY, INC.CRD 128377 · AMHERST, NY$80,604,656.00Regulatory AUM · August 2026
- $22,420,031.00Regulatory AUM · August 2026
- MOMENT ADVISORS, LLCCRD 325262 · NEW YORK, NY$56,295,215.00Regulatory AUM · August 2026
- MON CAPITAL MANAGEMENT LLCCRD 333785 · NEW YORK, NY$94,969,868.00Regulatory AUM · August 2026
- MONACHIL CAPITAL PARTNERS LPCRD 311376 · GREENWICH, CT$71,747,528.00Regulatory AUM · August 2026
- MONK, STANLEY EARLCRD 129443$76,219,855.00Regulatory AUM · August 2026
- MONTROSE ESTATE CAPITAL MANAGEMENT, LLCCRD 324497 · HOUSTON, TX$40,011,977.00Regulatory AUM · August 2026
- MOSAIC CAPITAL INC.CRD 336051$75,000,000.00Regulatory AUM · August 2026
- MOSTT INC.CRD 332063 · SHERMAN OAKS, CA$254,054.00Regulatory AUM · August 2026
- MOUNT MURRAY INVESTMENT INC.CRD 322643$28,180,459.00Regulatory AUM · August 2026
- MOUNTAIN PASS PLANNING CORPORATIONCRD 283389 · HOPEWELL JUNCTION, NY$74,935,647.00Regulatory AUM · August 2026
- MOUNTAIN VIEW STRATEGIC WEALTH, LLCCRD 154295 · HOPEWELL JUNCTION, NY$62,531,955.00Regulatory AUM · August 2026
- MRP ADVISORS, LLCCRD 340364$96,141,842.00Regulatory AUM · August 2026
- MRWM CAPITAL MANAGEMENT, LLCCRD 336384 · NASHVILLE, TN$8,819,983.00Regulatory AUM · August 2026
- MSA POWER FUNDS LLCCRD 326791 · NEW YORK, NY$3,000,000.00Regulatory AUM · August 2026
- MSRESS III MANAGER, L.L.C.CRD 138602 · NEW YORK, NY$39,607,295.00Regulatory AUM · August 2026
- MUNAKATA ASSOCIATES LLCCRD 287936$59,224,254.00Regulatory AUM · August 2026
- MUNDOVAL CAPITAL MANAGEMENT, INC.CRD 132553 · LA JOLLA, CA$91,931,822.00Regulatory AUM · August 2026
- MUNIFI, LLCCRD 331613 · HERMOSA BEACH, CA$197,892.00Regulatory AUM · August 2026
- MUSAFFA LLCCRD 338525 · NEW YORK, NY$2,000.00Regulatory AUM · August 2026
- MUSEUM MILE FUNDS LLCCRD 336827$26,883,512.00Regulatory AUM · August 2026
- MUTUAL FUND PROTECTION SERVICECRD 115961 · DENVER, CO$90,941,040.00Regulatory AUM · August 2026
- MUTUAL OF OMAHA INVESTOR SERVICES, INC.CRD 611 · OMAHA, NE$32,035,685.00Regulatory AUM · August 2026
- MUTUAL TRUST ASSET MGMT., INC.CRD 121364 · TAMPA, FL$58,355,433.00Regulatory AUM · August 2026
- MUZINICH DIRECT LENDING ADVISER, LLCCRD 327891 · NEW YORK, NY$98,041,168.00Regulatory AUM · August 2026
- MW INVESTMENT STRATEGYCRD 118433 · EL DORADO HILLS, CA$42,798,325.00Regulatory AUM · August 2026
- MWMG ADVISORS, LLCCRD 338376 · NEW YORK, NY$39,975,296.00Regulatory AUM · August 2026
- MYRA ADVISORS LLCCRD 311475$64,977,652.00Regulatory AUM · August 2026
- NAMSOFT ADVISORS, LLCCRD 338837$2,577,140.00Regulatory AUM · August 2026
- NATIVE AMERICAN FUND ADVISORS LLCCRD 108149 · TULSA, OK$38,895,472.00Regulatory AUM · August 2026
- NED DAVIS RESEARCH, INC.CRD 112260 · SARASOTA, FL$2,221,348.00Regulatory AUM · August 2026
- NEIMAN FUNDS MANAGEMENT LLCCRD 151749 · WILLIAMSVILLIE, NY$41,187,829.00Regulatory AUM · August 2026
- NEMO CAPITALCRD 301309$1,580,000.00Regulatory AUM · August 2026
- NEO-CRITERION CAPITAL LIMITEDCRD 282377$31,821,660.00Regulatory AUM · August 2026
- NETWORK INVESTMENT ADVISORS INCORPORATEDCRD 290927 · COMMACK, NY$57,389,099.00Regulatory AUM · August 2026
- NETWORTH LITERACY, INCCRD 326911$14,360,000.00Regulatory AUM · August 2026
- NEW DAY WEALTH MANAGEMENT, LLCCRD 327224 · RUSSELLVILLE, AR$355,140.00Regulatory AUM · August 2026
- NEW WEST ASSET MANAGEMENT, LLCCRD 335727$12,500,000.00Regulatory AUM · August 2026
- NEWDAY FUNDS, INC.CRD 174758 · SOUTHBURY, CT$6,516,552.00Regulatory AUM · August 2026
- NEWOAK ASSET MANAGEMENT LLCCRD 172956 · NEW YORK, NY$57,052,666.00Regulatory AUM · August 2026
- NEXADVISORS, LLCCRD 317477 · DALLAS, TX$26,130,723.00Regulatory AUM · August 2026