Investment adviser firms: Under $100 million in regulatory AUM · Page 9
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
- PRCE MANAGEMENT LLCCRD 312533 · ALPHARETTA, GA$22,203,118.00Regulatory AUM · August 2026
- PRECEPT MANAGEMENT, LLCCRD 114671 · DALLAS, TX$5,410,000.00Regulatory AUM · August 2026
- PRECIDIAN FUNDS LLCCRD 156974 · NEWTOWN, PA$17,000,000.00Regulatory AUM · August 2026
- PREMIUM 72 CAPITAL, LLCCRD 284519$10,000,000.00Regulatory AUM · August 2026
- PRICAP ADVISORS LLCCRD 159614 · NEW YORK, NY$41,657,693.00Regulatory AUM · August 2026
- PRINCETON VALUE PARTNERS LLCCRD 313153 · NEW YORK, NY$57,440,113.00Regulatory AUM · August 2026
- PRINCIPLED ADVISORS, INC.CRD 323468$15,000,000.00Regulatory AUM · August 2026
- PRINCIPLY, INC.CRD 281813 · SAN FRANCISCO, CA$62,882,199.00Regulatory AUM · August 2026
- PRIVATE CAPITAL ASSET MANAGEMENT LLCCRD 317930 · DARIEN, CT$12,988,420.00Regulatory AUM · August 2026
- PRIVATE EQUITY INVESTORS, INCCRD 160559 · NEW YORK, NY$85,434,076.00Regulatory AUM · August 2026
- PROCAPITA PARTNERS, LLCCRD 300292 · NEW YORK, NY$1,469,000.00Regulatory AUM · August 2026
- PROFIT INVESTMENT MANAGEMENT, LLCCRD 110294 · NORTH BETHESDA, MD$26,764,932.00Regulatory AUM · August 2026
- PROPEL PRIVATE WEALTH LLCCRD 340734$2,795,081.00Regulatory AUM · August 2026
- PROSPECT CREDIT REIT ADVISOR, LLCCRD 331345 · WEST PALM BEACH, FL$42,558,526.00Regulatory AUM · August 2026
- PROSPECT ENHANCED YIELD MANAGEMENT, LLCCRD 335748 · WEST PALM BEACH, FL$31,702,469.00Regulatory AUM · August 2026
- PROSPER WEALTH SOLUTIONS, LLCCRD 311144 · LEHI, UT$58,240,000.00Regulatory AUM · August 2026
- PROSPERA FUNDS, INC.CRD 331765 · ISLE OF PALMS, SC$4,554,486.00Regulatory AUM · August 2026
- PROXY WEALTH ADVISORS LLCCRD 298080 · WINDERMERE, FL$83,253,573.00Regulatory AUM · August 2026
- PRUNEYARD FINANCIAL GROUP, INC.CRD 117378 · CUPERTINO, CA$90,871,769.00Regulatory AUM · August 2026
- PT CAPITAL ADVISORS, LLCCRD 168601 · ANCHORAGE, AK$56,879,600.00Regulatory AUM · August 2026
- PUBLIC ADVISORS LLCCRD 318234 · NEW YORK, NY$18,797,471.00Regulatory AUM · August 2026
- PUENTES MAYORGA ADVISERS, S.A.SCRD 292085$1,300,000.00Regulatory AUM · August 2026
- PUISSANCE CAPITAL MANAGEMENT LPCRD 175226$45,000,000.00Regulatory AUM · August 2026
- PURA VIDA INVESTMENTS, LLCCRD 166703 · NEW YORK, NY$91,457,374.00Regulatory AUM · August 2026
- PUREVEST, LLCCRD 318332 · STATEN ISLAND, NY$51,584,037.00Regulatory AUM · August 2026
- PURSUIT FUND ADVISERS LLCCRD 333442$71,554,731.00Regulatory AUM · August 2026
- QAPITAL INVEST, LLCCRD 283762 · NEW YORK, NY$42,060,000.00Regulatory AUM · August 2026
- QUALIVIAN INVESTMENT PARTNERS LPCRD 291227$2,820,000.00Regulatory AUM · August 2026
- QUANTBASE, LLCCRD 315414 · NEW YORK, NY$26,624,418.00Regulatory AUM · August 2026
- QUANTCA FINANCIAL LLCCRD 329324 · EDMONDS, WA$10,390.00Regulatory AUM · August 2026
- QUANTCORE CAPITAL MANAGEMENT, LLCCRD 166321$5,000,000.00Regulatory AUM · August 2026
- QUANTEL ASSET MANAGEMENT LLCCRD 311013 · NEW YORK, NY$59,712,398.00Regulatory AUM · August 2026
- QUANTESSENCE CAPITAL LLCCRD 330051$45,462,000.00Regulatory AUM · August 2026
- QUEENBRIDGE CAPITAL, LLCCRD 324027 · PITTSFORD, NY$79,105,700.00Regulatory AUM · August 2026
- QUILLU INCCRD 170975 · SAN FRANCISCO, CA$30,003,871.00Regulatory AUM · August 2026
- QUINCY WELLS ADVISORS, LLCCRD 307477 · CHICAGO, IL$87,346,834.00Regulatory AUM · August 2026
- R & R FINANCIAL PLANNERS, INC.CRD 113291 · EAST MEADOW, NY$60,130,896.00Regulatory AUM · August 2026
- R. SEEGER WEALTH MANAGEMENT, LTDCRD 152258 · LINDENHURST, NY$72,146,811.00Regulatory AUM · August 2026
- R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.CRD 137788 · SUNNY ISLES BEACH, FL$33,600,000.00Regulatory AUM · August 2026
- RABENOLD ADVISORS, INC.CRD 283882 · WILLIAMSVILLE, NY$35,557,038.00Regulatory AUM · August 2026
- RAIL SPLITTER CAPITAL ADVISERS, LLCCRD 338780 · CHICAGO, IL$60,956,884.00Regulatory AUM · August 2026
- RAINWATER EQUITY LLCCRD 333696$19,142,012.00Regulatory AUM · August 2026
- RANGER ALTERNATIVE MANAGEMENT, L.P.CRD 145543 · DALLAS, TX$54,470,413.00Regulatory AUM · August 2026
- RAPID SCALE LLCCRD 318269$18,000,000.00Regulatory AUM · August 2026
- RCM ROBINSON CAPITAL MANAGEMENT LLCCRD 112814 · SACRAMENTO, CA$61,800,813.00Regulatory AUM · August 2026
- RCN WEALTH ADVISORS, INC.CRD 163562$74,529,000.00Regulatory AUM · August 2026
- RCP ADVISORS, LLCCRD 119813 · CHICAGO, IL$20,969,058.00Regulatory AUM · August 2026
- REDMONT WEALTH ADVISORS LLCCRD 310981 · CHICAGO, IL$4,783,912.00Regulatory AUM · August 2026
- REDWOOD ADVISORY, LLCCRD 322770 · NEW YORK, NY$88,498,816.00Regulatory AUM · August 2026
- RENA ADVISORS LLCCRD 164431 · PEARL RIVER, NY$54,482,287.00Regulatory AUM · August 2026
- RESOLVE ASSET MANAGEMENT INC.CRD 175361$70,154,134.00Regulatory AUM · August 2026
- RESOURCE CAPITAL MANAGEMENT, LLCCRD 162781 · RENO, NV$180,000.00Regulatory AUM · August 2026
- RESQ INVESTMENT PARTNERS, LLCCRD 169528 · SCOTTSDALE, AZ$65,805,352.00Regulatory AUM · August 2026
- REVERE WEALTH MANAGEMENT LLCCRD 170560 · NEW YORK, NY$78,291,808.00Regulatory AUM · August 2026
- REVOLUT WEALTH INC.CRD 322894 · NEW YORK, NY$5,522,366.00Regulatory AUM · August 2026
- REWBIX AI INVESTMENTS LLCCRD 326608 · AUSTIN, TX$20,000.00Regulatory AUM · August 2026
- REYNOLDS CAPITAL MANAGEMENT, LLCCRD 107711 · LAS VEGAS, NV$74,200,000.00Regulatory AUM · August 2026
- RFJ CAPITALCRD 338957$765,553.00Regulatory AUM · August 2026
- RHIZOME CAPITAL MANAGEMENT LLCCRD 317579$23,615,092.00Regulatory AUM · August 2026
- RIA GLOBAL RESEARCH, LLCCRD 332608 · HOUSTON, TX$928,433.00Regulatory AUM · August 2026
- RICHLINE CAPITAL MANAGEMENT INC.CRD 337765$23,000,000.00Regulatory AUM · August 2026
- RICHMOND CAPITAL ADVISORS LLCCRD 327060 · MIAMI, FL$927,000.00Regulatory AUM · August 2026
- RICHMOND QUANTITATIVE ADVISORS, LLCCRD 288625$59,961,973.00Regulatory AUM · August 2026
- RIVERWALK CAPITAL PARTNERS, LLCCRD 328320 · CHICAGO, IL$16,170,000.00Regulatory AUM · August 2026
- RM INVESTMENT STRATEGIES, LLCCRD 322828 · GRAND RAPIDS, MI$21,931,516.00Regulatory AUM · August 2026
- RNC RIA LLCCRD 336740 · BRAINTREE, MA$50,556,312.00Regulatory AUM · August 2026
- ROBINSON INVESTMENT GROUP INCCRD 107454$19,613,607.00Regulatory AUM · August 2026
- ROCHESTER INVESTMENTS INCCRD 306782 · ROCHESTER, NY$69,546,598.00Regulatory AUM · August 2026
- ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.CRD 127140 · SUGAR LAND, TX$23,529,420.00Regulatory AUM · August 2026
- ROOSEVELT MANAGEMENT COMPANY LLCCRD 161605 · NEW YORK, NY$52,380,000.00Regulatory AUM · August 2026
- ROSCI LAMB, LLCCRD 337278 · NEW YORK, NY$64,973,156.00Regulatory AUM · August 2026
- ROSECLIFF CAPITAL ADVISORY LLCCRD 305951 · NEW YORK, NY$27,286,315.00Regulatory AUM · August 2026
- ROSENBAUM, LANNY, KEVINCRD 144985 · GLENVILLE, NY$28,165,682.00Regulatory AUM · August 2026
- ROTTER, LAURA INGBERCRD 283860$31,951,134.00Regulatory AUM · August 2026
- ROUTE 20 PRIVATE WEALTH INC.CRD 332581 · FORT LAUDERDALE, FL$83,548,470.00Regulatory AUM · August 2026
- ROYALE ASSET MANAGEMENT LLCCRD 281827$52,747,187.00Regulatory AUM · August 2026
- RPATA, LLCCRD 285598$74,240,000.00Regulatory AUM · August 2026
- RPM CAPITAL MANAGEMENT, LLCCRD 164200$74,330,238.00Regulatory AUM · August 2026
- RSD ADVISORS, LLCCRD 152447$78,126,462.00Regulatory AUM · August 2026
- RUBIN OVERSEAS LTD.CRD 169309$84,850,024.00Regulatory AUM · August 2026
- RVX ASSET MANAGEMENT LLCCRD 282804 · AVENTURA, FL$96,842,409.00Regulatory AUM · August 2026
- RYAN HERITAGE, LLPCRD 317097 · SADDLE BROOK, NJ$18,806,198.00Regulatory AUM · August 2026
- S. MUOIO & CO. LLCCRD 155549 · NEW YORK, NY$95,063,762.00Regulatory AUM · August 2026
- S. WILLIAMS CAPITAL, LLCCRD 173204 · NEW YORK, NY$29,215,166.00Regulatory AUM · August 2026
- SABBIA FARO WEALTH MANAGEMENT LLCCRD 306358$50,627,470.00Regulatory AUM · August 2026
- SADDOCK WEALTH, LLCCRD 161568 · DALLAS, TX$94,325,000.00Regulatory AUM · August 2026
- SAFE HARBOR ASSET MANAGEMENT, INC.CRD 124787 · HUNTINGTON, NY$26,809,575.00Regulatory AUM · August 2026
- SAGE HILL ADVISORY AND MANAGEMENT LLCCRD 149365 · SARATOGA SPRINGS, NY$73,324,765.00Regulatory AUM · August 2026
- SAGE TREE WEALTH, INC.CRD 298951 · FAIRPORT, NY$32,584,692.00Regulatory AUM · August 2026
- SAHARA INVESTMENT GROUP, LLCCRD 341135 · LAS VEGAS, NV$52,583,166.00Regulatory AUM · August 2026
- SALIENT ADVISORS, L.P.CRD 122833 · DALLAS, TX$61,816,768.00Regulatory AUM · August 2026
- SANDLOT PRIVATE WEALTH LLCCRD 335925 · OREM, UT$305,047.00Regulatory AUM · August 2026
- SANJAC ALPHA LPCRD 329302 · HOUSTON, TX$5,296,141.00Regulatory AUM · August 2026
- SANOSTRO AGCRD 290214$260,158.00Regulatory AUM · August 2026
- SARMAYA PARTNERS, LLCCRD 330100 · SAN ANTONIO, TX$32,988,380.00Regulatory AUM · August 2026
- SAUBERAN & COMPANY, LLCCRD 106317 · LOCKPORT, NY$5,810,307.00Regulatory AUM · August 2026
- SAVE ADVISERS LLCCRD 306053 · HOUSTON, TX$3,500,000.00Regulatory AUM · August 2026
- SAVVI FINANCIAL LLCCRD 169196 · WALTHAM, MA$44,700,000.00Regulatory AUM · August 2026
- SAVVLY ADVISOR, LLCCRD 321125 · BOULDER, CO$75,208.00Regulatory AUM · August 2026
- SAVVY FINANCIAL, INC.CRD 304337 · FRANKLIN, TN$1,880,235.00Regulatory AUM · August 2026