Investment adviser firms: Under $100 million in regulatory AUM · Page 8
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
- NEXPOINT INSURANCE SOLUTIONS, L.P.CRD 301997 · DALLAS, TX$95,696,757.00Regulatory AUM · August 2026
- NEXTGEN EMP, INC.CRD 333721$16,100,000.00Regulatory AUM · August 2026
- NEXTMOVE CAPITAL INC.CRD 338359$190.00Regulatory AUM · August 2026
- NGC FINANCIAL, LLCCRD 139992 · BAYSIDE, NY$57,110,396.00Regulatory AUM · August 2026
- NINE30 ADVISORS LLCCRD 326596$654,553.00Regulatory AUM · August 2026
- NORDWAND INVESTMENTS, LLCCRD 323829 · RADNOR, PA$44,726,197.00Regulatory AUM · August 2026
- NORTHERN PACIFIC GROUP, L.P.CRD 299012 · MINNEAPOLIS, MN$58,561,797.00Regulatory AUM · August 2026
- NORTHERN PACIFIC GROWTH INVESTMENT ADVISORS, LLCCRD 173350 · MINNEAPOLIS, MN$58,561,797.00Regulatory AUM · August 2026
- NORTHFRONT FINANCIAL USA INCCRD 301105$11,250,096.00Regulatory AUM · August 2026
- NORTHSTAR CAPITAL FUNDS, LLCCRD 138526 · NEW YORK, NY$83,267,052.00Regulatory AUM · August 2026
- NORTHSTAR FINANCIAL ADVISORS LLCCRD 147108$62,367,750.00Regulatory AUM · August 2026
- NOSURIS, INC.CRD 160979 · LYNBROOK, NY$95,000,000.00Regulatory AUM · August 2026
- NOTTINGHAM WEALTH PARTNERS, INC.CRD 306971 · SYRACUSE, NY$80,455,295.00Regulatory AUM · August 2026
- NOVAWAVE CAPITAL LLCCRD 333205 · MENLO PARK, CA$90,000,000.00Regulatory AUM · August 2026
- NOVUS ADVISORS, LLCCRD 157908 · GREENVILLE, SC$91,267,843.00Regulatory AUM · August 2026
- NPW INC.CRD 310288$536,000.00Regulatory AUM · August 2026
- O ASSET MANAGEMENT LLCCRD 336682 · FAIRPORT, NY$76,192,940.00Regulatory AUM · August 2026
- O'BRIEN CAPITAL MANAGEMENT, INC.CRD 136100 · NYACK, NY$40,600,000.00Regulatory AUM · August 2026
- OAK CREEK PRIVATE WEALTH MANAGEMENT LLCCRD 306851 · TULSA, OK$4,258,867.00Regulatory AUM · August 2026
- OAK CREST ADVISORY, LLCCRD 304255 · ROCHESTER, NY$90,170,828.00Regulatory AUM · August 2026
- OAK TREE ADVISORY SERVICES INCCRD 105883$25,000,000.00Regulatory AUM · August 2026
- OAKHURST CAPITAL ADVISORS, LLCCRD 311802 · WASHINGTON, DC$5,740,796.00Regulatory AUM · July 2026
- $51,769,772.00Regulatory AUM · August 2026
- OBRA FUND MANAGEMENT, LLCCRD 328207 · NEW YORK, NY$71,644,067.00Regulatory AUM · August 2026
- OCCAM CAPITAL MANAGEMENT, LLCCRD 108201 · PITTSFORD, NY$67,403,243.00Regulatory AUM · August 2026
- OELSCHLAGER INVESTMENTS LLCCRD 306035 · AKRON, OH$93,297,658.00Regulatory AUM · August 2026
- OGARD CAPITAL MARKETS RESEARCH LLCCRD 337959 · HENDERSON, NV$62,250,000.00Regulatory AUM · August 2026
- OIA LTDCRD 136174$1,300,000.00Regulatory AUM · August 2026
- OLA INVIERTE, LLCCRD 318691$804,000.00Regulatory AUM · August 2026
- OLD BELLOWS PARTNERS L.P.CRD 157569 · NEW YORK, NY$29,971,238.00Regulatory AUM · August 2026
- OLD FIELD ADVISORS LLCCRD 134519$30,627,004.00Regulatory AUM · August 2026
- OMEGA ADVISERS, LLC.CRD 291076$13,622,019.00Regulatory AUM · August 2026
- OMEN ADVISORY, LLCCRD 337532 · NEW YORK, NY$36,000.00Regulatory AUM · August 2026
- ONE68 GLOBAL CAPITAL, LLCCRD 284585 · NEW YORK, NY$50,000,000.00Regulatory AUM · August 2026
- ONEASCENT CAPITAL LLCCRD 323220 · BIRMINGHAM, AL$55,629,669.00Regulatory AUM · August 2026
- ONEDIGITAL ASSET MANAGEMENT, LLCCRD 320608 · OVERLAND PARK, KS$762,310.00Regulatory AUM · August 2026
- OPENVEST ACCESS LLCCRD 328152 · AVENTURA, FL$353,485.00Regulatory AUM · August 2026
- OPPENHEIMER + CLOSE, LLCCRD 15168 · NEW YORK, NY$93,012,013.00Regulatory AUM · August 2026
- OPPENHEIMERFUNDS INCCRD 104983 · ATLANTA, GA$827,684.00Regulatory AUM · August 2026
- ORASIS CAPITALCRD 172536$87,000,000.00Regulatory AUM · August 2026
- ORCHARD ADVISORS LLCCRD 284061$89,217,268.00Regulatory AUM · August 2026
- ORIGEM INTERNATIONAL ADVISORY LLCCRD 333738$3,417,639.00Regulatory AUM · August 2026
- ORIGIN INVESTMENT ADVISORY LLCCRD 305353$34,660,000.00Regulatory AUM · August 2026
- OT ADVISORS LLCCRD 328812 · BOCA RATON, FL$1,036,227.00Regulatory AUM · August 2026
- OTG ASSET MANAGEMENT, LTD.CRD 309729$63,778,242.00Regulatory AUM · August 2026
- OUTERLANDS CAPITAL MANAGEMENT, LLCCRD 327602 · NEW YORK, NY$6,894,602.00Regulatory AUM · August 2026
- OVERSEAS CAPITAL MANAGEMENT LLCCRD 318243$13,568,283.00Regulatory AUM · August 2026
- OXFORD GATE MANAGEMENT, LLCCRD 297061 · GREENWICH, CT$90,938,440.00Regulatory AUM · August 2026
- OXFORD PARK MANAGEMENT, LLCCRD 324383 · GREENWICH, CT$71,383,304.00Regulatory AUM · August 2026
- P3 ASSET MANAGEMENT, LLCCRD 327327 · GIG HARBOR, WA$40,306,910.00Regulatory AUM · August 2026
- PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANYCRD 106962 · GLENDALE, CA$87,496,356.00Regulatory AUM · August 2026
- PACIFIC HARBOR HOLDINGS, LIMITEDCRD 164404$23,210,683.00Regulatory AUM · August 2026
- PACIFIC WEALTH ADVISORY SERVICES LLCCRD 330888 · DANVILLE, CA$96,284,457.00Regulatory AUM · August 2026
- PALADIN CAPITAL, LLCCRD 288037 · ARDEN HILLS, MN$9,953,217.00Regulatory AUM · August 2026
- PALLADIUM HERITAGE MANAGEMENT, LLCCRD 321623 · NEW YORK, NY$37,166,506.00Regulatory AUM · August 2026
- PALM SPRINGS ADVISORY LLCCRD 289398$35,506,240.00Regulatory AUM · August 2026
- PALMER SQUARE PRIVATE CREDIT MANAGEMENT LLCCRD 324817 · MISSION WOODS, KS$77,189,134.00Regulatory AUM · August 2026
- PALOS MANAGEMENT INC.CRD 304309$12,051,303.00Regulatory AUM · August 2026
- PAMALICAN ASSET MANAGEMENT LIMITEDCRD 331819$50,000,000.00Regulatory AUM · August 2026
- PANTHEON INFRA ADVISORS, LLCCRD 335463 · SAN FRANCISCO, CA$26,590,503.00Regulatory AUM · August 2026
- PANTHEON VENTURES INC.CRD 110091 · SAN FRANCISCO, CA$11.00Regulatory AUM · August 2026
- PARCO WEALTH MANAGEMENT LLCCRD 306826$21,015,477.00Regulatory AUM · August 2026
- PARE PARTNERS LLCCRD 309242 · MIAMI, FL$66,930,379.00Regulatory AUM · August 2026
- PARLIN ADVISORS LLCCRD 300774 · HAGUE, NY$68,234,832.00Regulatory AUM · August 2026
- PARROT FINANCE, INC.CRD 338169$30,120,451.00Regulatory AUM · August 2026
- PARVIN FUND MANAGEMENT, LLCCRD 311304 · SIOUX FALLS, SD$10,124,009.00Regulatory AUM · August 2026
- PASSIVE MANAGEMENT LLCCRD 314627 · NEW YORK, NY$22,565,992.00Regulatory AUM · August 2026
- PATH DIGITAL ADVISORS, LLCCRD 312983 · CHICAGO, IL$150,000.00Regulatory AUM · August 2026
- PATHWAY PARTNERS WEALTH ADVISORS, LLCCRD 323507 · AMHERST, NY$78,946,149.00Regulatory AUM · August 2026
- PATTERSON PARTNERS LTD.CRD 305859$31,484,085.00Regulatory AUM · August 2026
- PAULO FINANCIAL ADVISORS, LLCCRD 131943$56,969,894.00Regulatory AUM · August 2026
- PEAK ALTITUDE PARTNERS, LPCRD 338110 · NEW YORK, NY$68,129,403.00Regulatory AUM · August 2026
- PEAK FINANCIAL PLANNING, LLCCRD 317288 · CANOGA PARK, CA$93,000,000.00Regulatory AUM · August 2026
- PEAK WEALTH MANAGEMENT LLCCRD 332411 · SARATOGA SPRINGS, NY$38,960,000.00Regulatory AUM · August 2026
- PEARL LANE ADVISORS, LLCCRD 172681 · NEW YORK, NY$78,207,649.00Regulatory AUM · August 2026
- PECONIC ASSET PLANNING, INC.CRD 310121 · RIVERHEAD, NY$64,590,865.00Regulatory AUM · August 2026
- PECUSAVVY FINANCIAL, LLCCRD 339768 · EL PASO, TX$9,127,832.00Regulatory AUM · July 2026
- PEGASUS GROUP, LLCCRD 113499 · MORRISTOWN, NJ$91,338,126.00Regulatory AUM · August 2026
- PENSERRA GLOBAL INVESTORS LLCCRD 174309 · ORINDA, CA$96,180,324.00Regulatory AUM · August 2026
- PENSERRA WEALTH MANAGEMENT LLCCRD 333218 · ORINDA, CA$2,500,000.00Regulatory AUM · August 2026
- PENSIONBEE INC.CRD 331741$4,039,787.00Regulatory AUM · August 2026
- PEO PARTNERS, LLCCRD 311201 · NEW YORK, NY$13,254,749.00Regulatory AUM · August 2026
- PERCENT ADVISORS, LLCCRD 318890 · NEW YORK, NY$70,023,366.00Regulatory AUM · August 2026
- PERIPHAS CAPITAL, LPCRD 291980 · NEW YORK, NY$72,552,000.00Regulatory AUM · August 2026
- PERSONAL ASSET STRATEGIES, INC.CRD 128627 · WESTBURY, NY$50,588,198.00Regulatory AUM · August 2026
- PHILADELPHIA PARTNERS CAPITAL MANAGEMENT, LLCCRD 294016 · BALA CYNWYD, PA$61,220,242.00Regulatory AUM · August 2026
- PHILLIPS CAPITAL, LLCCRD 312403$314,147.00Regulatory AUM · August 2026
- PHOENIX INTERNATIONAL INVESTMENTS LLCCRD 170692 · NASHUA, NH$97,491,992.00Regulatory AUM · August 2026
- PICHARDO ASSET MANAGEMENT, S.A. DE C.V.CRD 126683$89,759,598.00Regulatory AUM · August 2026
- PINNACLE ADVISORS LLCCRD 107275 · EAST SYRACUSE, NY$433,140.00Regulatory AUM · August 2026
- PIONEER ADMINISTRATIVE SERVICES LTDCRD 289467$104,581.00Regulatory AUM · August 2026
- PIONEER ADVISORY LLCCRD 337502 · JERSEY CITY, NJ$94,783.00Regulatory AUM · August 2026
- PLANROCK INVESTMENT MANAGEMENT, LLCCRD 304803 · BRENTWOOD, TN$71,050,000.00Regulatory AUM · August 2026
- PMC WEALTH, LLCCRD 332215 · CLARENCE, NY$550,000.00Regulatory AUM · August 2026
- POKET FINANCIAL, LLCCRD 221523$760,000.00Regulatory AUM · August 2026
- POLARIS FINANCIAL, LLCCRD 281952$70,223,296.00Regulatory AUM · August 2026
- PORT CAPITAL MANAGEMENT LLCCRD 330252 · MASSAPEQUA, NY$29,811,084.00Regulatory AUM · August 2026
- PORTFOLIO STRATEGIES INCCRD 104685 · TACOMA, WA$50,213,258.00Regulatory AUM · August 2026
- PORTFOLIO THINKTANKCRD 154006$10,647,764.00Regulatory AUM · August 2026
- PORTIA INVESTMENT ADVISORS LTDCRD 164565$1,250,000.00Regulatory AUM · August 2026