Investment advisers
45,163 firms from SEC Form ADV filings
Profiles and source records remain public on every plan.
| # | Firm | Location | Category | AUM | Clients | Accounts | Staff | As of | Save |
|---|---|---|---|---|---|---|---|---|---|
| 10601 | Albanyadvisor Group Llc CRD 316226 | Albany, NY | Wealth Manager · Small ($100M–$1B) | $303M | 412 | 925 | 6 | 02/09/2026 | ☆ |
| 10602 | Breakwater Investment Management, Llc CRD 150841 | Seattle, WA | Wealth Manager · Small ($100M–$1B) | $303M | 152 | 572 | 4 | 04/15/2026 | ☆ |
| 10603 | Alethea Capital Management, Llc CRD 156500 | Wealth Manager · Small ($100M–$1B) | $303M | 45 | 117 | 4 | 03/31/2026 | ☆ | |
| 10604 | Mack Investment Securities, Inc. CRD 17643 | Northfield, IL | Insurance-Affiliated · Small ($100M–$1B) | $303M | 673 | 1,017 | 8 | 03/31/2026 | ☆ |
| 10605 | Unconventional Investor, Llc CRD 317333 | Wealth Manager · Small ($100M–$1B) | $303M | 88 | 359 | 2 | 03/26/2026 | ☆ | |
| 10606 | N CRD 226545 | Wealth Manager · Small ($100M–$1B) | $303M | 42 | 167 | 2 | 01/09/2026 | ☆ | |
| 10607 | Harbour Point Management Lp CRD 226521 | Darien, CT | Private Fund Manager · Small ($100M–$1B) | $302M | 4 | 4 | 4 | 03/30/2026 | ☆ |
| 10608 | Access Financial Group, Inc. CRD 33065 | Chicago, IL | Broker-Dealer (Dually Registered) · Small ($100M–$1B) | $302M | 314 | 315 | 6 | 03/18/2026 | ☆ |
| 10609 | Summit Group Retirement Planners, Inc. CRD 169823 | Exton, PA | Institutional / Pension Advisor · Small ($100M–$1B) | $302M | 247 | 255 | 4 | 02/26/2026 | ☆ |
| 10610 | Cypress Investment Management, Llc CRD 327810 | Oakbrook Terrace, IL | Private Fund Manager · Small ($100M–$1B) | $302M | 127 | 127 | 6 | 03/25/2026 | ☆ |
| 10611 | N CRD 171672 | Wealth Manager · Small ($100M–$1B) | $302M | 318 | 704 | 5 | 08/20/2025 | ☆ | |
| 10612 | Fai Advisors, Inc. CRD 122132 | Farmington Hills, MI | Insurance-Affiliated · Small ($100M–$1B) | $302M | 370 | 790 | 11 | 03/20/2026 | ☆ |
| 10613 | N CRD 166173 | Wealth Manager · Small ($100M–$1B) | $302M | 328 | 1,005 | 5 | 02/03/2026 | ☆ | |
| 10614 | Core Financial Partners Inc. CRD 155205 | El Segundo, CA | Insurance-Affiliated · Small ($100M–$1B) | $302M | 129 | 568 | 5 | 03/30/2026 | ☆ |
| 10615 | Massachusetts Wealth Management, Llc CRD 160235 | North Andover, MA | Wealth Manager · Small ($100M–$1B) | $301M | 324 | 541 | 3 | 03/24/2026 | ☆ |
| 10616 | Praxis Capital Management Llc CRD 333052 | Chicago, IL | Private Fund Manager · Small ($100M–$1B) | $301M | 1 | 1 | 12 | 03/23/2026 | ☆ |
| 10617 | Blue Diamond Capital Investment Advisors, Llc CRD 333059 | Provo, UT | Multi-Family Office · Small ($100M–$1B) | $301M | 10 | 33 | 3 | 03/31/2026 | ☆ |
| 10618 | Seneschal Advisors, Llc CRD 131618 | Tacoma, WA | Wealth Manager · Small ($100M–$1B) | $301M | 227 | 665 | 5 | 07/30/2026 | ☆ |
| 10619 | Bac Capital Advisors Llc CRD 116816 | Seattle, WA | Institutional / Pension Advisor · Small ($100M–$1B) | $301M | 38 | 41 | 3 | 08/05/2026 | ☆ |
| 10620 | Parsow Management Llc CRD 160486 | Private Fund Manager · Small ($100M–$1B) | $301M | 1 | 1 | 1 | 03/27/2026 | ☆ | |
| 10621 | Ffp Wealth Management, Llc CRD 300253 | Coon Rapids, MN | Wealth Manager · Small ($100M–$1B) | $301M | 317 | 893 | 9 | 05/04/2026 | ☆ |
| 10622 | Kinloch Capital, Llc CRD 300735 | Glen Allen, VA | Wealth Manager · Small ($100M–$1B) | $301M | 185 | 705 | 5 | 03/31/2026 | ☆ |
| 10623 | Concord Management Services, Llc CRD 292760 | Summit, NJ | Private Fund Manager · Small ($100M–$1B) | $301M | 7 | 7 | 2 | 03/31/2026 | ☆ |
| 10624 | Innovahealth Partners, Lp CRD 297788 | New York, NY | Private Fund Manager · Small ($100M–$1B) | $301M | 16 | 16 | 5 | 08/05/2026 | ☆ |
| 10625 | Headway Wealth Ltd CRD 342947 | Durham | Wealth Manager · Small ($100M–$1B) | $301M | 599 | 599 | 17 | 06/25/2026 | ☆ |
| 10626 | Retirable Inc. CRD 307472 | New York, NY | Insurance-Affiliated · Small ($100M–$1B) | $301M | 2,210 | 2,210 | 23 | 03/23/2026 | ☆ |
| 10627 | Philip O. Johnson & Company, Ltd. CRD 104621 | Tempe, AZ | Wealth Manager · Small ($100M–$1B) | $301M | 297 | 756 | 5 | 03/19/2026 | ☆ |
| 10628 | Triveni Capital Investments Lp CRD 325802 | Stamford, CT | Private Fund Manager · Small ($100M–$1B) | $301M | 5 | 5 | 6 | 08/13/2026 | ☆ |
| 10629 | Vital Wealth Management, Llc CRD 156455 | Rosemont, IL | Insurance-Affiliated · Small ($100M–$1B) | $301M | 300 | 780 | 2 | 06/17/2026 | ☆ |
| 10630 | Castle Ridge Asset Management Limited CRD 309774 | Toronto, Ontario | Private Fund Manager · Small ($100M–$1B) | $301M | 6 | 6 | 8 | 06/12/2026 | ☆ |
| 10631 | Resolute Capital, Llc CRD 304558 | Greenville, SC | Insurance-Affiliated · Small ($100M–$1B) | $301M | 1,107 | 2,435 | 31 | 07/15/2026 | ☆ |
| 10632 | Pl3 Capital Lp CRD 331201 | Sunny Isles Beach, FL | Private Fund Manager · Small ($100M–$1B) | $301M | 1 | 1 | 2 | 02/28/2025 | ☆ |
| 10633 | Cauble & Harre Wealth Management, Inc. CRD 143812 | St. Louis, MO | Wealth Manager · Small ($100M–$1B) | $301M | 106 | 432 | 4 | 03/20/2026 | ☆ |
| 10634 | Transition Financial Advisors Group, Llc CRD 116089 | Wealth Manager · Small ($100M–$1B) | $301M | 149 | 781 | 7 | 03/31/2026 | ☆ | |
| 10635 | Lifeinvest Wealth Management, Ltd CRD 146966 | Miami, FL | Wealth Manager · Small ($100M–$1B) | $301M | 261 | 343 | 11 | 03/09/2026 | ☆ |
| 10636 | Mica Creek Capital Llc CRD 325642 | Steamboat Springs, CO | Investment Adviser · Small ($100M–$1B) | $301M | 4 | 4 | 4 | 06/18/2026 | ☆ |
| 10637 | Pinnacle Capital Management, Llc CRD 141661 | East Syracuse, NY | Wealth Manager · Small ($100M–$1B) | $300M | 511 | 538 | 7 | 04/02/2026 | ☆ |
| 10638 | Wellspring Gbl, Llc CRD 312017 | New York, NY | Private Fund Manager · Small ($100M–$1B) | $300M | 4 | 4 | 6 | 06/05/2026 | ☆ |
| 10639 | Gretchen Stangier, Inc. CRD 171336 | Clackamas, OR | Wealth Manager · Small ($100M–$1B) | $300M | 496 | 1,512 | 4 | 01/07/2026 | ☆ |
| 10640 | Summit Place Financial Advisors,Llc CRD 147984 | Summit, NJ | Wealth Manager · Small ($100M–$1B) | $300M | 59 | 335 | 6 | 09/25/2026 | ☆ |
| 10641 | Westwood Wealth Management CRD 290658 | Los Angeles, CA | Wealth Manager · Small ($100M–$1B) | $300M | 130 | 143 | 3 | 05/14/2026 | ☆ |
| 10642 | Capital Wealth Alliance, Llc CRD 298257 | Scottsdale, AZ | Wealth Manager · Small ($100M–$1B) | $300M | 348 | 861 | 5 | 08/01/2026 | ☆ |
| 10643 | Wealth Advisors Network, Inc. CRD 113836 | Hastings, NE | Insurance-Affiliated · Small ($100M–$1B) | $300M | 494 | 740 | 8 | 04/20/2026 | ☆ |
| 10644 | Deepwork Capital, Llc CRD 314673 | Orlando, FL | Private Fund Manager · Small ($100M–$1B) | $300M | 9 | 9 | 8 | 03/31/2026 | ☆ |
| 10645 | Krensavage Asset Management, Llc CRD 168976 | New York, NY | Private Fund Manager · Small ($100M–$1B) | $300M | 2 | 2 | 4 | 03/25/2026 | ☆ |
| 10646 | Cloud Capital Management, Llc CRD 317325 | Seattle, WA | Wealth Manager · Small ($100M–$1B) | $300M | 131 | 396 | 5 | 09/29/2026 | ☆ |
| 10647 | Spreng Capital Management, Inc. CRD 119902 | Bucyrus, OH | Wealth Manager · Small ($100M–$1B) | $300M | 944 | 1,682 | 4 | 03/09/2026 | ☆ |
| 10648 | Optimum Financial Services, Llc CRD 105878 | Jackson, MS | Wealth Manager · Small ($100M–$1B) | $300M | 242 | 486 | 4 | 02/09/2026 | ☆ |
| 10649 | Guardian Wealth Advisors, Llc CRD 143254 | St Louis Park, MN | Wealth Manager · Small ($100M–$1B) | $300M | 260 | 721 | 7 | 03/23/2026 | ☆ |
| 10650 | Cathy Pareto And Associates, Inc. CRD 145919 | Coral Gables, FL | Wealth Manager · Small ($100M–$1B) | $300M | 245 | 642 | 7 | 06/23/2026 | ☆ |