Firm directory
Registered investment advisers, page 27 of 28
Firms 1301 to 1350 of 1363, ordered by regulatory assets under management as reported on each firm's Form ADV.
Browse by state
- Alabama31
- Alaska5
- Arizona102
- Arkansas17
- California526
- Colorado149
- Connecticut198
- Delaware25
- District of Columbia73
- Florida336
- Georgia174
- Hawaii13
- Idaho23
- Illinois321
- Indiana67
- Iowa34
- Kansas38
- Kentucky30
- Louisiana26
- Maine13
- Maryland97
- Massachusetts301
- Michigan93
- Minnesota107
- Mississippi10
- Missouri76
- Montana6
- Nebraska32
- Nevada31
- New Hampshire28
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- New York704
- North Carolina143
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- Ohio122
- Oklahoma24
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- Pennsylvania174
- Puerto Rico7
- Rhode Island32
- South Carolina47
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- Tennessee72
- Texas295
- U.S. Virgin Islands3
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- Vermont8
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- West Virginia4
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Browse by custodian
- Fidelity176
- J.P. Morgan170
- Charles Schwab165
- State Street Bank and Trust159
- The Bank of New York Mellon152
- The Northern Trust107
- Northern Trust69
- Bank of New York Mellon53
- Pershing51
- Morgan Stanley35
- State Street34
- U.S. Bank National Association21
- Goldman Sachs &20
- Brown Brothers Harriman &18
- UBS Financial Services18
- Citibank, N.A.14
- Citibank, National Association14
- LPL Financial14
- Northern Trust Securities12
- Empower11
- Citigroup Global Markets10
- Merrill Lynch, Pierce, Fenner & Smith10
- BNY Mellon9
- Raymond James9
- State Street Bank9
- Bank of America8
- Bank of New York8
- BNY Mellon Capital Markets8
- CIBC Mellon Trust8
- HSBC Bank PLC8
- The Master Trust Bank of Japan8
- U.S. Bancorp8
- Citibank7
- US Bank National Association7
- Wells Fargo Clearing Services7
- Custody Bank of Japan6
- State Street Global Markets6
- US Bank6
- BNP Paribas5
- Bofa Securities5
- Citigroup5
- Folio Investments5
- Interactive Brokers5
- RBC Investor Services Trust5
- U.S. Bancorp Investments5
- UBS Securities5
- Voya5
- Wells Fargo Bank, N.A.5
- Bank of New York Mellon, N.A.4
- BNY Mellon, N.A.4
- CIBC Mellon Global Securities Services4
- Citibank, NA4
- Principal Financial Group4
- RBC Capital Markets4
- U.S. Bank4
- US Bank N.A.4
- Bank of America N.A.3
- Barclays Bank PLC3
- BNY Mellon Securities3
- Caceis3
- Caceis Bank3
- Computershare Trust Company, N.A.3
- Mitsubishi Ufj Investor Services & Banking (luxembourg) S.A.3
- PNC Bank, N.A.3
- Sanford C. Bernstein &3
- SEI Private Trust3
- SSB New York Institutional3
- The Bank of New York3
- The Bank of New York Mellon Trust Company, National Association3
- The Bank of New York Mellon, London Branch3
- The Bank of New York Mellon, N.A.3
- The Hongkong and Shanghai Banking Corporation Limited3
- The Vanguard Group3
- U.S. Bank, NA3
- American Enterprise Investment Services2
- Assetmark Trust2
- Axos Clearing2
- Bank of America Merrill Lynch2
- Bank of America, National Association2
- Bank of New York Mellon Trust Company, N.A.2
- Banque Pictet & Cie S.A.2
- BNP Paribas Fund Services Australasia Pty2
- BNP Paribas Securities Services (australia)2
- BNY Mellon, National Association2
- Brown Brothers Harriman2
- Brown Brothers Harriman Investments2
- Caisse Des Depots Et Consignations2
- CIBC Mellon2
- Citibank (hong Kong) Limited2
- Citibank Uk Limited2
- Citibank, N.A (london)2
- City National Bank2
- Comerica Bank2
- Deutsche Bank Ag2
- Deutsche Bank Trust Company Americas2
- Edward D. Jones &2
- Fifth Third Securities2
- Goldman Sachs International2
- HSBC Continental Europe S.a., Germany2
- HSBC Hong Kong2
- Mid Atlantic Trust2
- Northern Trust Singapore2
- Oppenheimer &2
- Principal Custody Solutions2
- Principal Securities2
- RBC2
- RBC Investor & Treasury Services2
- Reliance Trust2
- Royal Bank of Canada2
- Royal Bank of Canada (channel Islands) Limited2
- SEI Investments Distribution2
- SEI Investments Guernsey Limited2
- State Street Bank and Trust Company, National Association2
- State Street Bank International GMBH2
- State Street Global Advisors Funds Distributors2
- State Street Trust2
- State Street Trust Company Canada2
- Sumitomo Mitsui Trust Bank (u.s.a.) Limited2
- The Bank of New York Mellon Trust2
- The Bank of New York Mellon Trust Company, N.A.2
- The Bank of Ny Mellon2
- The Master Trust Bank of Japan ,LTD.2
- U.S. Bank Institutional Trust & Custody2
- UBS Europe Se2
- Umb Bank, National Association2
- US Bancorp2
- Adp Retirement Trust Services1
- Alight Solutions1
- Allfunds Bank S.a.u1
- Allfunds Bank Sau London Branch1
- Alter Domus1
- Amalgamated Bank1
- Amalgamated Trust and Savings Bank1
- Apex Clearing1
- Ascensus Broker Dealer Services1
- Assetmark Brokerage1
- Aztec Financial Services (jersey) Limited1
- Bank Consortium Trust Company Limited1
- Bank Degroof Petercam Luxembourg Sa1
- Bank Julius Baer & Co Limited1
- Bank of China Hong Kong1
- Bank of Montreal1
- Bank of New York Mellon - United Kingdom1
- Bank of New York Mellon (the)1
- Bank of New York Mellon Corp (the)1
- Bank of New York Mellon International1
- Bank of New York Mellon International Limited1
- Bank of New York Mellon Sa Luxembourg1
- Bank of New York Mellon Trust1
- Bank of Ny Mellon1
- Bank of Tokyo Mitsubishi Ufj1
- Bank Vontobel Ag1
- Bankers' Bank1
- Banque Pictet & Cie Sa1
- Barclays Capital1
- Belfius Bank1
- Benefit Trust1
- BGL BNP Paribas1
- Bmo Trust1
- BNP Paribas Sa1
- BNP Paribas Securities Services1
- BNP Paribas Securities Services, Dublin Branch1
- BNP Paribas Security Services1
- BNP Paribas Trust Services Singapore Limited1
- BNP Paribas, London Branch1
- BNP Paribas, New York Branch1
- BNY1
- BNY Mellon Asset Servicing1
- BNY Mellon Custody Client Service1
- BNY Mellon, NA1
- Bnym (luxembourg) S.A.1
- Bokf, NA1
- Bridges Trust1
- Brighthouse Life Insurance1
- Brighthouse Life Insurance Company of New York1
- Brown Brother Harriman &1
- Brown Brothers & Harriman &1
- Brown Brothers Harriman Investment Services (japan)1
- Butterfield Bank (channel Islands) Limited1
- Caceis Bank Amsterdam1
- Caceis Bank, Uk Branch1
- Canadian Imperial Bank of Commerce1
- Carta Capital Markets1
- Cetera Investment Services1
- CF Secured1
- Chevy Chase Trust1
- China Citic Bank International Limited1
- China Merchants Bank1
- China Merchants Bank Co., LTD., Hong Kong Branch1
- CIBC Mellon Global Securities1
- CIBC Mellon GSP1
- Citco Canada1
- Citco Global Custody NV1
- Citi1
- Citi Securities Services1
- Citibank - Hong Kong1
- Citibank NA London1
- Citigroup Global Markets Limited1
- Citigroup Private Bank1
- Citigroup Pty Limited1
- Citigroup, NA1
- Comerica Bank - Detroit1
- Commerce Bank, N.A.1
- Computershare Corporate Trust1
- Computershare Trust Company, National Association1
- Credit Suisse Services Ag1
- D.A. Davidson &1
- D.A. Davidson Trust Services1
- Danske Bank A/S1
- Desjardins Trust1
- Deutsche Bank Securities1
- DZ Privatbank S.A.1
- Edward Jones Trust1
- Euroclear1
- Evercore Trust Company, N.A.1
- Exeter Trust1
- Fiduciary Trust Company International1
- Fifth Third Bancorp1
- Fifth Third Bank1
- FMR1
- Frost National Bank1
- Goldman Sachs (asia)1
- Hana Bank1
- Hongkong and Shanghai Banking Corporation Limited1
- HSBC Bank USA, N.A.1
- HSBC Holdings PLC1
- HSBC International Trust Limited1
- HSBC Securities Services1
- HSBC Trinkaus & Burkhardt Ag1
- HSBC Trinkaus & Burkhardt GMBH1
- Huntington National Bank1
- Icbc (asia) Trustee Company Limited1
- Icici Bank Limited1
- Impactassets1
- Industrial Bank Co., LTD., Hong Kong Branch1
- Investec Bank (channel Islands) Limited1
- Japan Trustee Services Bank1
- Jefferies1
- Johnson Bank1
- JPM Chase - Sydney1
- LGT Bank (hong Kong)1
- Lincoln Financial1
- Lincoln Financial Group Trust1
- Loring, Wolcott & Coolidge Trust1
- Master Trust Bank of Japan1
- Master Trust Company of Japan1
- Matrix Trust1
- Mellon Trust1
- Midwest Institutional Trust1
- Midwest Institutional Trust Services1
- Mitsubishi Ufj Financial Group1
- Mitsubishi Ufj Global Custody S.a1
- Mitsubishi Ufj Trust and Banking1
- MTG1
- Mufg Bank1
- Multrees Investor Services Limited1
- National Bank of Canada1
- National Bank Trust1
- Nationwide Life Insurance1
- Nationwide Trust Company, FSB1
- Nomura Bank Luxembourg S.A.1
- Nomura Bank Switzerland1
- Northern Trust Asset Management Australia Pty1
- Northern Trust Company (australia)1
- Northern Trust Company Limited1
- Northern Trust Company London1
- Northern Trust Coroporation1
- Northern Trust Global Services1
- Northern Trust Global Services Se1
- Northern Trust Global Services Se, Uk Branch1
- Northern Trust Luxembourg1
- Nortrust Nominee Limited1
- Osaic Wealth1
- PNC1
- PNC Bank1
- PNC Bank, N.A. Pittsburg Pa1
- Principal Global Investors1
- Principal Investors1
- Rathbone Nominees Limited1
- RBC Investor Service Trust1
- RBC Investor Services1
- RBC Investors Services1
- Robert W. Baird &1
- Rothschild & Co Bank International Limited1
- Royal Bank of Canada (ci)1
- Sbi-SG Global Securities Services Private Limited1
- Scotia Bank1
- SEI Investments (europe)1
- SEI Investments (europe) Limited1
- SEI Investments Management1
- SG Americas Securities1
- SMBC Nikko Bank (luxembourg) S.A.1
- Societe Generale Capital Canada1
- Standard Chartered Bank1
- Standard Chartered Bank (hong Kong) Limited1
- Standard Chartered Bank Hong Kong1
- State Street Australia1
- State Street Bank & Trust - Hong Kong1
- State Street Bank and Trust Company - Hong Kong Branch1
- State Street Bank and Trust Company - Singapore Branch1
- State Street Bank and Trust Company - Tokyo Branch1
- State Street Bank and Trust Company, London1
- State Street Bank International GMBH, Luxembourg Branch1
- State Street Cayman Trust1
- State Street Company Canada1
- State Street Global Advisors, Australia, Limited1
- State Street Global Services1
- State Street International (ireland) Limited1
- State Street Luxembourg1
- State Street Luxembourg Sa1
- State Street Trust and Banking1
- State Street Trust and Banking Co Limited1
- State Street Trustees Limited1
- Stifel, Nicolaus &1
- Stonehage Fleming Dealing & Treasury Services (jersey) Limited1
- Sumitomo Mitsui Trust (hong Kong) Limited1
- Sumitomo Mitsui Trust Bank (usa) Limited1
- Sumitomo Mitsui Trust Bank, Limited (london Branch)1
- Sumitomo Mitsui Trust Bank, Limited.1
- TD Prime Services1
- The Bank of New York Mellon Institutional Bank1
- The Bank of New York Mellon S.A./N.V.1
- The Bank of New York Mellon Sa/NV1
- The Bank of New York Mellon Sa/NV, Luxembourg Branch1
- The BNY Mellon Sa/NV, Asset1
- The Hong Kong and Shanghai Banking Corporation Limited1
- The Northern Trust Company Melbourne Branch1
- The Northern Trust Company, London Branch1
- The Northern Trust International Banking1
- The State Street Bank and Trust1
- The Variable Annuity Life Insurance1
- Tiaa Financial Services1
- Tiaa-Cref1
- Truist Bank1
- Truist Investment Services1
- U.S Bank Assocation1
- U.S. Bancorp Asset Management1
- U.S. Bank Trust1
- U.S. Bank Trust Company, National Association1
- U.S. Bank, N.A.1
- UBS Group1
- UBS Switzerland Ag1
- Universal - Investment Gesellschaft MBH1
- US Bank Trust1
- US Bank, NA1
- Valic Trust1
- Vanguard Fiduciary Trust1
- Vanguard Group [malvern, Pa]1
- Vanguard Marketing1
- Vantage Trust1
- Wells Fargo &1
- Wells Fargo Bank1
- Wells Fargo Bank, National Association1
- Wells Fargo Securities1
- Wilmington Trust, N.A.1
- Wintrust Private Trust Company, N.A.1
- Woori Bank1
- Zions Bank1
- Zurcher Kantonalbank1
1,363 firms listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| PlancorpCRD 106599 | Saint Louis, MO | $10.63B | 52 | 2,383 |
| Rockwood CapitalCRD 156663 | New York, NY | $10.61B | 65 | 36 |
| Great Valley Advisor GroupCRD 123913 | Berwyn, PA | $10.60B | 192 | 37,014 |
| Advisory Services NetworkCRD 146051 | Atlanta, GA | $10.60B | 247 | 12,919 |
| Trinity Street Asset ManagementCRD 152728 | London | $10.58B | 9 | 22 |
| Magnitude CapitalCRD 137486 | New York, NY | $10.57B | 9 | 13 |
| Cooke & BielerCRD 113859 | Philadelphia, PA | $10.56B | 14 | 209 |
| Generation Investment Management USCRD 132728 | San Francisco, CA | $10.54B | 10 | 4 |
| Eldridge Structured Credit AdvisersCRD 313420 | New York, NY | $10.53B | 110 | 12 |
| Ruane, Cunniff & GoldfarbCRD 285971 | New York, NY | $10.53B | 12 | 1,213 |
| Junto Capital ManagementCRD 168547 | New York, NY | $10.52B | 20 | 4 |
| Blackstone Growth AdvisorsCRD 305708 | New York, NY | $10.50B | 46 | 8 |
| Gregory J. Schwartz &CRD 7294 | Bloomfield Hills, MI | $10.49B | 23 | 1,737 |
| Saturna CapitalCRD 25586 | Bellingham, WA | $10.48B | 12 | 104 |
| Abs Investment ManagementCRD 127290 | Stamford, CT | $10.48B | 16 | 20 |
| Sapphire VenturesCRD 161558 | Austin, TX | $10.44B | 22 | 18 |
| Carlyle Aviation PDP ManagementCRD 305746 | Miami, FL | $10.40B | 25 | 14 |
| Scge ManagementCRD 157402 | Menlo Park, CA | $10.40B | 16 | 4 |
| Trian Fund ManagementCRD 154172 | New York, NY | $10.39B | 14 | 29 |
| Pinnacle AssociatesCRD 110631 | New York, NY | $10.39B | 33 | 2,325 |
| Steadfast Capital ManagementCRD 157124 | New York, NY | $10.36B | 25 | 2 |
| Johnson WealthCRD 125557 | Milwaukee, WI | $10.35B | 71 | 2,412 |
| Shuster Advisory GroupCRD 170233 | Pasadena, CA | $10.32B | 11 | 435 |
| Webster Equity PartnersCRD 156729 | Waltham, MA | $10.31B | 22 | 25 |
| Parallel AdvisorsCRD 140800 | San Francisco, CA | $10.31B | 61 | 4,240 |
| Catalyst Capital AdvisorsCRD 139895 | San Juan, PR | $10.30B | 8 | 19 |
| Lansdowne Partners (uk)CRD 172244 | London | $10.30B | 14 | 35 |
| Ridgemont Partners ManagementCRD 157421 | Charlotte, NC | $10.26B | 61 | 32 |
| Readystate Asset ManagementCRD 317277 | Chicago, IL | $10.26B | 23 | 5 |
| Bartlett & Co. Wealth ManagementCRD 292246 | Cincinnati, OH | $10.25B | 34 | 2,263 |
| Cary Street Partners Investment AdvisoryCRD 128545 | Richmond, VA | $10.25B | 85 | 6,988 |
| Capvest PartnersCRD 324459 | New York, NY | $10.25B | 11 | 11 |
| Tocqueville Asset ManagementCRD 105690 | New York, NY | $10.24B | 35 | 1,270 |
| Sound Point LunaCRD 128132 | New York, NY | $10.24B | 35 | 29 |
| Meridiam Infrastructure North AmericaCRD 161478 | Washington, DC | $10.22B | 25 | 34 |
| Franklin Park AssociatesCRD 126508 | Bala Cynwyd, PA | $10.21B | 29 | 52 |
| Callan Family OfficeCRD 317446 | Radnor, PA | $10.21B | 15 | 190 |
| Algert GlobalCRD 125523 | San Francisco, CA | $10.20B | 11 | 22 |
| Silver Creek Advisory PartnersCRD 156667 | Seattle, WA | $10.20B | 18 | 19 |
| Idr Investment ManagementCRD 286208 | Independence, OH | $10.19B | 13 | 9 |
| Arin Risk AdvisorsCRD 151491 | Conshohocken, PA | $10.19B | 5 | 21 |
| Kopernik Global InvestorsCRD 168625 | Tampa, FL | $10.18B | 22 | 13 |
| Champlain Investment PartnersCRD 132474 | Burlington, VT | $10.18B | 12 | 84 |
| Tenor Capital ManagementCRD 153277 | New York, NY | $10.17B | 18 | 7 |
| Valmark AdvisersCRD 108050 | Akron, OH | $10.17B | 280 | 14,890 |
| Shepherd KaplanCRD 128244 | Boston, MA | $10.16B | 24 | 0 |
| Planmember SecuritiesCRD 11869 | Carpinteria, CA | $10.12B | 425 | 69,645 |
| EthicCRD 282827 | New York, NY | $10.12B | 13 | 189 |
| Sprott Asset Management USACRD 139022 | Darien, CT | $10.12B | 35 | 3,362 |
| Jericho Capital Asset ManagementCRD 156701 | Los Angeles, CA | $10.11B | 8 | 7 |
PlancorpCRD 106599$10.63B
- Headquarters
- Saint Louis, MO
- Advisory staff
- 52
- Clients
- 2,383
Rockwood CapitalCRD 156663$10.61B
- Headquarters
- New York, NY
- Advisory staff
- 65
- Clients
- 36
Great Valley Advisor GroupCRD 123913$10.60B
- Headquarters
- Berwyn, PA
- Advisory staff
- 192
- Clients
- 37,014
Advisory Services NetworkCRD 146051$10.60B
- Headquarters
- Atlanta, GA
- Advisory staff
- 247
- Clients
- 12,919
Trinity Street Asset ManagementCRD 152728$10.58B
- Headquarters
- London
- Advisory staff
- 9
- Clients
- 22
Magnitude CapitalCRD 137486$10.57B
- Headquarters
- New York, NY
- Advisory staff
- 9
- Clients
- 13
Cooke & BielerCRD 113859$10.56B
- Headquarters
- Philadelphia, PA
- Advisory staff
- 14
- Clients
- 209
Generation Investment Management USCRD 132728$10.54B
- Headquarters
- San Francisco, CA
- Advisory staff
- 10
- Clients
- 4
Eldridge Structured Credit AdvisersCRD 313420$10.53B
- Headquarters
- New York, NY
- Advisory staff
- 110
- Clients
- 12
Ruane, Cunniff & GoldfarbCRD 285971$10.53B
- Headquarters
- New York, NY
- Advisory staff
- 12
- Clients
- 1,213
Junto Capital ManagementCRD 168547$10.52B
- Headquarters
- New York, NY
- Advisory staff
- 20
- Clients
- 4
Blackstone Growth AdvisorsCRD 305708$10.50B
- Headquarters
- New York, NY
- Advisory staff
- 46
- Clients
- 8
Gregory J. Schwartz &CRD 7294$10.49B
- Headquarters
- Bloomfield Hills, MI
- Advisory staff
- 23
- Clients
- 1,737
Saturna CapitalCRD 25586$10.48B
- Headquarters
- Bellingham, WA
- Advisory staff
- 12
- Clients
- 104
Abs Investment ManagementCRD 127290$10.48B
- Headquarters
- Stamford, CT
- Advisory staff
- 16
- Clients
- 20
Sapphire VenturesCRD 161558$10.44B
- Headquarters
- Austin, TX
- Advisory staff
- 22
- Clients
- 18
Carlyle Aviation PDP ManagementCRD 305746$10.40B
- Headquarters
- Miami, FL
- Advisory staff
- 25
- Clients
- 14
Scge ManagementCRD 157402$10.40B
- Headquarters
- Menlo Park, CA
- Advisory staff
- 16
- Clients
- 4
Trian Fund ManagementCRD 154172$10.39B
- Headquarters
- New York, NY
- Advisory staff
- 14
- Clients
- 29
Pinnacle AssociatesCRD 110631$10.39B
- Headquarters
- New York, NY
- Advisory staff
- 33
- Clients
- 2,325
Steadfast Capital ManagementCRD 157124$10.36B
- Headquarters
- New York, NY
- Advisory staff
- 25
- Clients
- 2
Johnson WealthCRD 125557$10.35B
- Headquarters
- Milwaukee, WI
- Advisory staff
- 71
- Clients
- 2,412
Shuster Advisory GroupCRD 170233$10.32B
- Headquarters
- Pasadena, CA
- Advisory staff
- 11
- Clients
- 435
Webster Equity PartnersCRD 156729$10.31B
- Headquarters
- Waltham, MA
- Advisory staff
- 22
- Clients
- 25
Parallel AdvisorsCRD 140800$10.31B
- Headquarters
- San Francisco, CA
- Advisory staff
- 61
- Clients
- 4,240
Catalyst Capital AdvisorsCRD 139895$10.30B
- Headquarters
- San Juan, PR
- Advisory staff
- 8
- Clients
- 19
Lansdowne Partners (uk)CRD 172244$10.30B
- Headquarters
- London
- Advisory staff
- 14
- Clients
- 35
Ridgemont Partners ManagementCRD 157421$10.26B
- Headquarters
- Charlotte, NC
- Advisory staff
- 61
- Clients
- 32
Readystate Asset ManagementCRD 317277$10.26B
- Headquarters
- Chicago, IL
- Advisory staff
- 23
- Clients
- 5
Bartlett & Co. Wealth ManagementCRD 292246$10.25B
- Headquarters
- Cincinnati, OH
- Advisory staff
- 34
- Clients
- 2,263
Cary Street Partners Investment AdvisoryCRD 128545$10.25B
- Headquarters
- Richmond, VA
- Advisory staff
- 85
- Clients
- 6,988
Capvest PartnersCRD 324459$10.25B
- Headquarters
- New York, NY
- Advisory staff
- 11
- Clients
- 11
Tocqueville Asset ManagementCRD 105690$10.24B
- Headquarters
- New York, NY
- Advisory staff
- 35
- Clients
- 1,270
Sound Point LunaCRD 128132$10.24B
- Headquarters
- New York, NY
- Advisory staff
- 35
- Clients
- 29
Meridiam Infrastructure North AmericaCRD 161478$10.22B
- Headquarters
- Washington, DC
- Advisory staff
- 25
- Clients
- 34
Franklin Park AssociatesCRD 126508$10.21B
- Headquarters
- Bala Cynwyd, PA
- Advisory staff
- 29
- Clients
- 52
Callan Family OfficeCRD 317446$10.21B
- Headquarters
- Radnor, PA
- Advisory staff
- 15
- Clients
- 190
Algert GlobalCRD 125523$10.20B
- Headquarters
- San Francisco, CA
- Advisory staff
- 11
- Clients
- 22
Silver Creek Advisory PartnersCRD 156667$10.20B
- Headquarters
- Seattle, WA
- Advisory staff
- 18
- Clients
- 19
Idr Investment ManagementCRD 286208$10.19B
- Headquarters
- Independence, OH
- Advisory staff
- 13
- Clients
- 9
Arin Risk AdvisorsCRD 151491$10.19B
- Headquarters
- Conshohocken, PA
- Advisory staff
- 5
- Clients
- 21
Kopernik Global InvestorsCRD 168625$10.18B
- Headquarters
- Tampa, FL
- Advisory staff
- 22
- Clients
- 13
Champlain Investment PartnersCRD 132474$10.18B
- Headquarters
- Burlington, VT
- Advisory staff
- 12
- Clients
- 84
Tenor Capital ManagementCRD 153277$10.17B
- Headquarters
- New York, NY
- Advisory staff
- 18
- Clients
- 7
Valmark AdvisersCRD 108050$10.17B
- Headquarters
- Akron, OH
- Advisory staff
- 280
- Clients
- 14,890
Shepherd KaplanCRD 128244$10.16B
- Headquarters
- Boston, MA
- Advisory staff
- 24
- Clients
- 0
Planmember SecuritiesCRD 11869$10.12B
- Headquarters
- Carpinteria, CA
- Advisory staff
- 425
- Clients
- 69,645
EthicCRD 282827$10.12B
- Headquarters
- New York, NY
- Advisory staff
- 13
- Clients
- 189
Sprott Asset Management USACRD 139022$10.12B
- Headquarters
- Darien, CT
- Advisory staff
- 35
- Clients
- 3,362
Jericho Capital Asset ManagementCRD 156701$10.11B
- Headquarters
- Los Angeles, CA
- Advisory staff
- 8
- Clients
- 7
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
This is one page of the directory, 50 firms at a time, ordered by the regulatory assets each firm reports in Item 5.F of its Form ADV. Order is a filed figure, not a ranking: a larger firm is not a better one.
Every firm is also reachable by state, by city and by custodian, and through search. Each profile restates one firm's filings with the figures as filed, the date of the filing, and a link to the document on the SEC's own site.