Firms by custodian
Registered investment advisers that custody at Interactive Brokers
5 SEC-registered advisers report Interactive Brokers as a custodian holding 10% or more of separately managed account assets in Form ADV Schedule D, Section 5.K.(3). Listed by regulatory assets under management.
5 firms listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| Empowered FundsCRD 171412 | Newtown Square, PA | $29.74B | 6 | 222 |
| H&H International InvestmentCRD 292451 | Palo Alto, CA | $25.50B | 2 | 2 |
| Alpha ArchitectCRD 153905 | Newtown Square, PA | $13.50B | 5 | 135 |
| Arin Risk AdvisorsCRD 151491 | Conshohocken, PA | $10.19B | 5 | 21 |
| Sprott Asset Management USACRD 139022 | Darien, CT | $10.12B | 35 | 3,362 |
Empowered FundsCRD 171412$29.74B
- Headquarters
- Newtown Square, PA
- Advisory staff
- 6
- Clients
- 222
H&H International InvestmentCRD 292451$25.50B
- Headquarters
- Palo Alto, CA
- Advisory staff
- 2
- Clients
- 2
Alpha ArchitectCRD 153905$13.50B
- Headquarters
- Newtown Square, PA
- Advisory staff
- 5
- Clients
- 135
Arin Risk AdvisorsCRD 151491$10.19B
- Headquarters
- Conshohocken, PA
- Advisory staff
- 5
- Clients
- 21
Sprott Asset Management USACRD 139022$10.12B
- Headquarters
- Darien, CT
- Advisory staff
- 35
- Clients
- 3,362
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 custodian holds client accounts; the adviser directs them but does not take possession of the money. Form ADV Schedule D, Section 5.K.(3) requires an adviser to name every custodian holding 10% or more of its separately managed account assets, which is where this list comes from.
A firm may use several custodians, so it can appear on more than one of these lists, and smaller custodial relationships below the 10% threshold are not reported at all. Naming Interactive Brokers here says only what the filing says, and implies nothing about either firm's service.