Firms by state
Registered investment advisers in Alabama
31 SEC-registered advisers with at least one office in Alabama, listed by regulatory assets under management as reported on Form ADV.
Browse cities in Alabama
31 firms listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| Wells Fargo Clearing ServicesCRD 19616 | ST. Louis, MO | $671.42B | 7,957 | 1,324,168 |
| Raymond James & AssociatesCRD 705 | ST. Petersburg, FL | $500.96B | 5,683 | 531,617 |
| Creative PlanningCRD 105348 | Overland Park, KS | $295.57B | 1,538 | 100,298 |
| Cetera Investment AdvisersCRD 105644 | Schaumburg, IL | $256.81B | 9,049 | 813,961 |
| Hightower AdvisorsCRD 145323 | Chicago, IL | $198.58B | 953 | 64,035 |
| Stifel, Nicolaus &CRD 793 | ST Louis, MO | $197.53B | 3,079 | 236,191 |
| MarinerCRD 140195 | Overland Park, KS | $125.41B | 933 | 55,512 |
| Wealth Enhancement Advisory ServicesCRD 116407 | Plymouth, MN | $122.19B | 850 | 85,001 |
| Savant CapitalCRD 107271 | Rockford, IL | $55.61B | 238 | 24,034 |
| Ae Wealth ManagementCRD 282580 | Topeka, KS | $49.84B | 448 | 128,073 |
| Newedge AdvisorsCRD 171351 | New Orleans, LA | $43.21B | 515 | 49,898 |
| Prime Capital Investment AdvisorsCRD 288712 | Overland Park, KS | $39.14B | 261 | 23,965 |
| Sanctuary AdvisorsCRD 226606 | Miami, FL | $34.88B | 396 | 19,540 |
| Waverly AdvisorsCRD 115332 | Birmingham, AL | $29.87B | 197 | 13,689 |
| Summit FinancialCRD 299322 | Parsippany, NJ | $26.35B | 216 | 18,393 |
| 1919 Investment CounselCRD 133370 | Baltimore, MD | $26.04B | 52 | 5,169 |
| Highland AssociatesCRD 104948 | Birmingham, AL | $20.99B | 18 | 65 |
| Regions Investment ManagementCRD 111715 | Birmingham, AL | $20.14B | 24 | 0 |
| Benjamin F. Edwards &CRD 146936 | ST. Louis, MO | $18.92B | 450 | 33,057 |
| Independent Advisor AllianceCRD 168267 | Charlotte, NC | $17.23B | 247 | 45,002 |
| Principal SecuritiesCRD 1137 | Des Moines, IA | $17.02B | 1,464 | 51,941 |
| Ifp AdvisorsCRD 125112 | Tampa, FL | $16.29B | 302 | 54,154 |
| Osaic Advisory ServicesCRD 171070 | Atlanta, GA | $15.48B | 344 | 29,898 |
| Aptus Capital AdvisorsCRD 167626 | Fairhope, AL | $14.14B | 26 | 12,707 |
| Ameritas Advisory ServicesCRD 317245 | Lincoln, NE | $13.75B | 366 | 29,718 |
| Kestra Private Wealth ServicesCRD 155193 | Austin, TX | $13.45B | 211 | 20,230 |
| The Mather GroupCRD 156005 | Chicago, IL | $13.45B | 97 | 4,773 |
| State Farm Investment ManagementCRD 3487 | Bloomington, IL | $12.94B | 7,930 | 3,575 |
| Great Valley Advisor GroupCRD 123913 | Berwyn, PA | $10.60B | 192 | 37,014 |
| Valmark AdvisersCRD 108050 | Akron, OH | $10.17B | 280 | 14,890 |
| Planmember SecuritiesCRD 11869 | Carpinteria, CA | $10.12B | 425 | 69,645 |
Wells Fargo Clearing ServicesCRD 19616$671.42B
- Headquarters
- ST. Louis, MO
- Advisory staff
- 7,957
- Clients
- 1,324,168
Raymond James & AssociatesCRD 705$500.96B
- Headquarters
- ST. Petersburg, FL
- Advisory staff
- 5,683
- Clients
- 531,617
Creative PlanningCRD 105348$295.57B
- Headquarters
- Overland Park, KS
- Advisory staff
- 1,538
- Clients
- 100,298
Cetera Investment AdvisersCRD 105644$256.81B
- Headquarters
- Schaumburg, IL
- Advisory staff
- 9,049
- Clients
- 813,961
Hightower AdvisorsCRD 145323$198.58B
- Headquarters
- Chicago, IL
- Advisory staff
- 953
- Clients
- 64,035
Stifel, Nicolaus &CRD 793$197.53B
- Headquarters
- ST Louis, MO
- Advisory staff
- 3,079
- Clients
- 236,191
MarinerCRD 140195$125.41B
- Headquarters
- Overland Park, KS
- Advisory staff
- 933
- Clients
- 55,512
Wealth Enhancement Advisory ServicesCRD 116407$122.19B
- Headquarters
- Plymouth, MN
- Advisory staff
- 850
- Clients
- 85,001
Savant CapitalCRD 107271$55.61B
- Headquarters
- Rockford, IL
- Advisory staff
- 238
- Clients
- 24,034
Ae Wealth ManagementCRD 282580$49.84B
- Headquarters
- Topeka, KS
- Advisory staff
- 448
- Clients
- 128,073
Newedge AdvisorsCRD 171351$43.21B
- Headquarters
- New Orleans, LA
- Advisory staff
- 515
- Clients
- 49,898
Prime Capital Investment AdvisorsCRD 288712$39.14B
- Headquarters
- Overland Park, KS
- Advisory staff
- 261
- Clients
- 23,965
Sanctuary AdvisorsCRD 226606$34.88B
- Headquarters
- Miami, FL
- Advisory staff
- 396
- Clients
- 19,540
Waverly AdvisorsCRD 115332$29.87B
- Headquarters
- Birmingham, AL
- Advisory staff
- 197
- Clients
- 13,689
Summit FinancialCRD 299322$26.35B
- Headquarters
- Parsippany, NJ
- Advisory staff
- 216
- Clients
- 18,393
1919 Investment CounselCRD 133370$26.04B
- Headquarters
- Baltimore, MD
- Advisory staff
- 52
- Clients
- 5,169
Highland AssociatesCRD 104948$20.99B
- Headquarters
- Birmingham, AL
- Advisory staff
- 18
- Clients
- 65
Regions Investment ManagementCRD 111715$20.14B
- Headquarters
- Birmingham, AL
- Advisory staff
- 24
- Clients
- 0
Benjamin F. Edwards &CRD 146936$18.92B
- Headquarters
- ST. Louis, MO
- Advisory staff
- 450
- Clients
- 33,057
Independent Advisor AllianceCRD 168267$17.23B
- Headquarters
- Charlotte, NC
- Advisory staff
- 247
- Clients
- 45,002
Principal SecuritiesCRD 1137$17.02B
- Headquarters
- Des Moines, IA
- Advisory staff
- 1,464
- Clients
- 51,941
Ifp AdvisorsCRD 125112$16.29B
- Headquarters
- Tampa, FL
- Advisory staff
- 302
- Clients
- 54,154
Osaic Advisory ServicesCRD 171070$15.48B
- Headquarters
- Atlanta, GA
- Advisory staff
- 344
- Clients
- 29,898
Aptus Capital AdvisorsCRD 167626$14.14B
- Headquarters
- Fairhope, AL
- Advisory staff
- 26
- Clients
- 12,707
Ameritas Advisory ServicesCRD 317245$13.75B
- Headquarters
- Lincoln, NE
- Advisory staff
- 366
- Clients
- 29,718
Kestra Private Wealth ServicesCRD 155193$13.45B
- Headquarters
- Austin, TX
- Advisory staff
- 211
- Clients
- 20,230
The Mather GroupCRD 156005$13.45B
- Headquarters
- Chicago, IL
- Advisory staff
- 97
- Clients
- 4,773
State Farm Investment ManagementCRD 3487$12.94B
- Headquarters
- Bloomington, IL
- Advisory staff
- 7,930
- Clients
- 3,575
Great Valley Advisor GroupCRD 123913$10.60B
- Headquarters
- Berwyn, PA
- Advisory staff
- 192
- Clients
- 37,014
Valmark AdvisersCRD 108050$10.17B
- Headquarters
- Akron, OH
- Advisory staff
- 280
- Clients
- 14,890
Planmember SecuritiesCRD 11869$10.12B
- Headquarters
- Carpinteria, CA
- Advisory staff
- 425
- Clients
- 69,645
Figures are from each firm's most recent Form ADV and are dated on its profile. Listing here is a matter of public record, not a recommendation.
About this list
A firm appears here when it reports an office in Alabama on Form ADV Part 1A, whether or not the state is its headquarters. An SEC-registered adviser doing business in a state also makes a notice filing there, which is why a firm can serve clients in Alabama from elsewhere.
Figures come from each firm's own filings on the dates shown on its profile. This list is a restatement of public records, not a rating or a recommendation, and Niva Wealth is not affiliated with the firms on it.