Firms by state
Registered investment advisers in Maine
13 SEC-registered advisers with at least one office in Maine, listed by regulatory assets under management as reported on Form ADV.
13 firms listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| Hightower AdvisorsCRD 145323 | Chicago, IL | $198.58B | 953 | 64,035 |
| Wealth Enhancement Advisory ServicesCRD 116407 | Plymouth, MN | $122.19B | 850 | 85,001 |
| Fiducient AdvisorsCRD 106720 | Chicago, IL | $97.54B | 78 | 1,239 |
| Cerberus Capital ManagementCRD 152175 | New York, NY | $92.50B | 216 | 257 |
| EP Wealth AdvisorsCRD 111147 | Torrance, CA | $45.15B | 320 | 20,738 |
| Newedge AdvisorsCRD 171351 | New Orleans, LA | $43.21B | 515 | 49,898 |
| Steward Partners Investment AdvisoryCRD 283004 | Stamford, CT | $36.73B | 310 | 42,763 |
| StephensCRD 3496 | Little Rock, AR | $18.04B | 247 | 21,991 |
| Wilmington Trust Investment AdvisorsCRD 106909 | Wilmington, DE | $17.83B | 74 | 155 |
| Independent Advisor AllianceCRD 168267 | Charlotte, NC | $17.23B | 247 | 45,002 |
| Ameritas Advisory ServicesCRD 317245 | Lincoln, NE | $13.75B | 366 | 29,718 |
| Apollon Wealth ManagementCRD 291902 | Mount Pleasant, SC | $11.56B | 115 | 8,389 |
| Foundations Investment AdvisorsCRD 175083 | Phoenix, AZ | $10.10B | 289 | 29,663 |
Hightower AdvisorsCRD 145323$198.58B
- Headquarters
- Chicago, IL
- Advisory staff
- 953
- Clients
- 64,035
Wealth Enhancement Advisory ServicesCRD 116407$122.19B
- Headquarters
- Plymouth, MN
- Advisory staff
- 850
- Clients
- 85,001
Fiducient AdvisorsCRD 106720$97.54B
- Headquarters
- Chicago, IL
- Advisory staff
- 78
- Clients
- 1,239
Cerberus Capital ManagementCRD 152175$92.50B
- Headquarters
- New York, NY
- Advisory staff
- 216
- Clients
- 257
EP Wealth AdvisorsCRD 111147$45.15B
- Headquarters
- Torrance, CA
- Advisory staff
- 320
- Clients
- 20,738
Newedge AdvisorsCRD 171351$43.21B
- Headquarters
- New Orleans, LA
- Advisory staff
- 515
- Clients
- 49,898
Steward Partners Investment AdvisoryCRD 283004$36.73B
- Headquarters
- Stamford, CT
- Advisory staff
- 310
- Clients
- 42,763
StephensCRD 3496$18.04B
- Headquarters
- Little Rock, AR
- Advisory staff
- 247
- Clients
- 21,991
Wilmington Trust Investment AdvisorsCRD 106909$17.83B
- Headquarters
- Wilmington, DE
- Advisory staff
- 74
- Clients
- 155
Independent Advisor AllianceCRD 168267$17.23B
- Headquarters
- Charlotte, NC
- Advisory staff
- 247
- Clients
- 45,002
Ameritas Advisory ServicesCRD 317245$13.75B
- Headquarters
- Lincoln, NE
- Advisory staff
- 366
- Clients
- 29,718
Apollon Wealth ManagementCRD 291902$11.56B
- Headquarters
- Mount Pleasant, SC
- Advisory staff
- 115
- Clients
- 8,389
Foundations Investment AdvisorsCRD 175083$10.10B
- Headquarters
- Phoenix, AZ
- Advisory staff
- 289
- Clients
- 29,663
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 Maine 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 Maine 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.