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Registered Investment Advisors
           
           
Firm Name City State Country Assets ($M) 
B & A Sector Watch Virginia City NV US 0.4 
B & B Financial Planning Co., Inc. O'Fallon MO US 25.8 
B & C Planning Services, LLC Syracuse NY US 0.0 
B & C Wealth Management San Diego CA US 0.0 
B & L Asset Management, LLC Pittsburgh PA US 90.7 
B F Anderson & Co. Inc Baton Rouge LA US 42.2 
B&B Consulting Services, LLC Rockville Centre NY US 0.0 
B&D Advisors Worcester MA US 0.0 
B&E Investment Advisers, Inc. Wayzata MN US 0.0 
B&F Investment Strategies Cedar Hill TX US 4.3 
B&K Securities Tysons Corner VA US 0.0 
B&W Radnor PA US 17.9 
B. A. M. Asset Management, LLC Beverly Hills CA US 5.9 
B. C. Ziegler and Company Chicago IL US 445.4 
B. Riley & Co., LLC Los Angeles CA US 0.0 
B.B. Graham & Company, Inc. Orange CA US 10.9 
B.B.I. Wealth Management, Inc. Batesville AR US 0.0 
B.C. Holdings, Inc. Dallas TX US 78.6 
B.E.R.S. 13.5 
B.K. Financial Corporation 0.0 
B.mohr Investments, LLC 20.0 
B.P. Walsh and Co., LLC Branford CT US 2.9 
B.S.T. Investment Advisors Wichita Falls TX US 15.0 
B.T. Foy Financial, LLC 45.0 
B4 Financial Planning 7.9 
Babcock & Brown Investment Adviser LLC San Francisco CA US 34.0 
Babin Financial Services, Inc. New Orleans LA US 24.0 
Babson Capital Management LLC Boston MA US 96193.2 
BAC Capital Advisors LLC Seattle WA US 163.6 
BAC Global Advisors Coral Gables FL US 330.0 
Bacera Asset Management Alhambra CA US 0.0 
Bach Investments Plus LLC Berlin CT US 0.0 
Bache Capital Management Pasadena CA US 25.1 
Back Bay Financial Group, Inc. Boston MA US 0.0 
Back Creek Investments, LLC New Castle DE US 0.0 
Back Office Solutions, LLC 0.0 
Backoff Financial Services 15.3 
Bacon & Company 27.2 
Bacon Financial Management Inc. 15.0 
Baczkowski & Company 0.7 
Baddish Shapiro Financial Planning Group Westbury NY US 0.0 
Baden Financial Services, LLC Fort Wayne IN US 0.0 
Badger Asset Management, LLC Barneveld WI US 0.0 
Badger Capital Advisors, LLC Del Mar CA US 0.0 
Badgley Phelps Investment Managers Seattle WA US 0.0 
Badon Hill Asset Management LLC Cos Cob CT US 1.4 
BAE Capital Management, Inc. 0.0 
Baehr Family Financial, LLC Stroudsburg PA US 0.0 
Baer Wealth Management, LLC Marietta GA US 32.7 
Baeriswyl Financial Planning 0.0 
Baffin Advisors LLC Harrison NY US 133.0 
BAG Securities, LLC Austin TX US 0.0 
Bagby Capital Management, LLC Kansas City MO US 0.3 
Bagby Investment Consultants Dexter MO US 0.0 
Bahl & Gaynor Inc Cincinnati OH US 3265.5 
Bahr Financial Planning Network, Inc. Pleasanton CA US 5.6 
Bailard, Inc. Foster City CA US 1918.6 
Bailey Capital Management, LLC 2.8 
Bailey Consulting Group 0.0 
Bailey Financial Management and Insurance Services Irvine CA US 0.8 
Baillie Gifford International LLC Edinburgh UK 0.0 
Baillie Gifford Overseas Ltd Edinburgh, Scotland UK 71593.4 
Baimac Capital Management Darien IL US 0.0 
Bain Capital Partners, LLC Boston MA US 34480.0 
Bain Capital Venture Partners, LLC Boston MA US 1706.0 
Bainbridge Investment Advisors LLC Los Angeles CA US 19.0 
Bainco International Investors LLC Boston MA US 414.3 
Baird Asia Partners Management Company I, L.L.C. Milwaukee WI US 20.5 
Baird Capital Partners Asia Management I Limited Partnership Milwaukee WI US 11.0 
Baird Capital Partners Management Company III, LLC Milwaukee WI US 0.0 
Baird Capital Partners Management Company Iv, LLC Milwaukee WI US 249.2 
Baird Venture Partners Management Company I, L.L.C. Milwaukee WI US 56.3 
Baird Venture Partners Management Company III, LLC Milwaukee WI US 0.0 
Baker & Associates Irvine CA US 0.0 
Baker & Associates Irvine CA US 91.0 
Baker & Associates Investment Advisors 0.0 
Baker & Co., Incorporated Rocky River OH US 10.3 
Baker & Company Advisory Group Inc Decatur IL US 8.0 
Baker 500 Minnetonka MN US 17.6 
Baker Asset Management Oklahoma City OK US 77.8 
Baker Avenue Asset Management, LP San Francisco CA US 639.3 
Baker Brook Capital Management, LLC 15.0 
Baker Capital Management 2.8 
Baker Ellis Asset Management LLC Portland OR US 346.0 
Baker Financial & Investment Planning 0.0 
Baker Jensen Investment Advisors, LLC San Juan Capistrano CA US 39.5 
Baker Street Advisors, LLC San Francisco CA US 3600.0 
Baker Street Private Wealth San Francisco CA US 51.8 
Baker Tilly Investment Advisors Madison WI US 1362.6 
Bakin, Lawrence Edward 17.3 
Bakos Investment Management Los Altos CA US 35.0 
Bakti Asset Management Company, LLC 0.0 
Balain Capital Management, LLC 5.0 
Balance Asset Management, LLC New York NY US 220.0 
Balance Capital Advisors, Inc. 0.0 
Balance Financial Services, Inc. 0.0 
Balance Point Wealth Management, Inc. Cheyenne WY US 0.0 
Balance Sheet Financial Services 2.1 
Balance Sheet Solutions LLC Warrenville IL US 1284.4 
Balance Ventures San Antonio TX US 0.0 
Balanced Asset Strategies, Ltd. Chicago IL US 14.0 
Balanced Financial Planning, Inc. Overland Park KS US 43.4 
Balanced Fund Manager Santa Ana CA US 3.1 
Balasa Dinverno Foltz LLC Itasca IL US 1740.0 
Balch Hill Capital 106.6 
Balcony Partners, LLC 0.0 
Baldrige Asset Management Allentown PA US 0.0 
Baldwin & Associates Melbourne FL US 78.6 
Baldwin & Clarke Advisory Services, Inc. Bedford NH US 112.7 
Baldwin Brothers Inc Marion MA US 775.1 
Baldwin Financial Systems, LLC 0.0 
Baldwin Investment Management, LLC West Conshohocken PA US 0.0 
Baldwin Wealth Management, LLC St. Louis MO US 4.5 
Balentine LLC Atlanta GA US 788.4 
Bales & Company Greenville SC US 0.0 
Balestra Capital Ltd New York NY US 0.0 
Balistes Capital Management, LLC Greenwich CT US 0.0 
Balkcom & Pearsall Financial Planning, LLC Albuquerque NM US 0.0 
Ball Wealth Management LLC 0.0 
Ball, Gary Vernon 0.0 
Ballamor Capital Management, LLC Wayne PA US 1669.2 
Ballantyne Wealth Advisors, LLC Charlotte NC US 0.0 
Ballast Capital Management, LLC Redwood City CA US 9.3 
Ballentine Capital Advisors, Inc. Greenville SC US 0.4 
Ballentine Finn & Co Inc Wolfeboro NH US 2530.0 
Ballentine Partners Waltham MA US 3246.0 
Ballew & Thompson Investment Advisors, LLC Dallas TX US 0.9 
Ballew Russell Inc Jackson MS US 387.7 
Balliett Financial Services, Inc. Winter Park FL US 29.5 
Ballinger Financial Services 0.0 
Ballou Plum Wealth Advisors LLC Lafayette CA US 0.0 
Ballyrock Investment Advisors LLC Boston MA US 1941.7 
Balmer & Associates Inc. W. Columbia SC US 0.0 
Balopole Investment Management Corporation San Mateo CA US 34.2 
Balser Wealth Management LLC 5.4 
Balson Capital Management 20.8 
Balston Investment Management Novato CA US 0.0 
Balter Capital Management LLC Boston MA US 511.7 
Baltimore Asset Management North Charleston SC US 0.0 
Baltimore Capital Management Inc. Baltimore MD US 81.4 
Baltimore Washington Financial Advisors Inc Columbia MD US 266.2 
Baltrax Asset Management LLC. Miami FL US 1.5 
Balyasny Asset Management L.P. Chicago IL US 6237.8 
BAM Advisor Services, LLC St. Louis MO US 2381.2 
BAM Asset Management 1.5 
Bamc Investment Management, Inc. Dallas TX US 2.1 
Bamco, Inc. New York NY US 17755.2 
Banach Wealth Management 0.0 
Banc Investment Group, LLC San Francisco CA US 0.0 
Banc of America Capital Access Funds Management LLC Chicago IL US 686.4 
Banc of America Investment Advisors, Inc. Jersey City NJ US 0.0 
Banc of America Investment Services, Inc. Boston MA US 14067.0 
Banc of America Securities LLC New York NY US 0.0 
Bancnorth Investment Group, Inc. St. Cloud MN US 174.3 
Bancorpsouth Investment Services, Inc. Jackson MS US 50.9 
Bancshareholders of America Inc. Dublin OH US 0.0 
Bancwest Investment Services, Inc. (Bwis) and Bwis D/B/A Fhis Omaha NE US 69.6 
Bandel, John Morgan Jr. 0.0 
Bandon Capital Management, LLC Portland OR US 0.0 
Bandon Wealth Management LLC Bandon OR US 0.0 
Bane Barham & Holloway Assets Management Inc Wilsonville OR US 78.6 
Banes Capital Management, LLC Memphis TN US 320.7 
Bangerter Financial Group Bountiful UT US 0.0 
Banif Financial Services, Inc. Miami FL US 0.0 
Banister International Philadelphia PA US 0.0 
Bank of America Capital Advisors LLC Boston MA US 4036.4 
Bank of Ireland Asset Management (U.S.) Ltd. Dublin 4 IE 61.5 
Bank Street Investment Advisors, LLC Newington CT US 439.0 
Banker Investment Group West Lafayette IN US 69.6 
Bankers & Investors Co. Kansas City KS US 9.3 
Bankers Investment Counseling Company Santa Paula CA US 25.1 
Banking Ann Arbor MI US 0.0 
Bankoh Investment Services, Inc. Honolulu HI US 0.0 
Banks Investment Consulting LLC 9.8 
Banner Investment Consultants 23.6 
Bannerstone Capital Deephaven MN US 43.0 
Banorte Asset Management Inc New York NY US 0.0 
Banta Asset Management LP Newport Beach CA US 134.6 
Banyan Asset Management, Inc. 9.8 
Banyan Capital Management Inc Atlanta GA US 0.0 
Banyan Equity Management, LLC Boca Raton FL US 914.5 
Banyan Partners, LLC Palm Beach Gardens FL US 0.0 
Banyan Realty Advisors, LLC Orlando FL US 113.0 
Banyantree Capital Advisors LLC 2.9 
Banzai Financial, LLC 0.0 
Baochuan Capital Management, LLC Walnut Creek CA US 25.9 
Bar Capital Management, LLC 2.8 
Barack Capital Management LLC 3.5 
Barak Asset Management LLC New York NY US 5.5 
Baratta Investment Group Tbig Financial Services 38.5 
Barbara A. Rumer, Cfp, LLC 0.0 
Barbara J. Bouchey Asset Management, Inc. 0.0 
Barbara Murdock, Cfp 0.0 
Barbara S. Gault 14.0 
Barbenco USA, Inc. Stamford CT US 77.3 
Barber & Associates 0.0 
Barber Financial Group Lenexa KS US 163.3 
Barber Lackey Financial Group LLC Greensboro GA US 24.1 
Barber, W. Freeman 0.0 
Barberry Capital Management, LLC 4.0 
Barclay Investment Advisors Dallas TX US 12.7 
Barclay West Financial Advisors Roseville CA US 19.9 
Barclays Asset Management LLC Santa Monica CA US 2681.8 
Barclays Capital Inc. New York NY US 8351.3 
Bard Associates Inc Chicago IL US 235.3 
Bard Financial Services, Inc. Branford CT US 38.4 
Barden Capital Management, Inc. 0.0 
Bardin Financial Services Jackson CA US 68.7 
Bares Capital Management, Inc. Austin TX US 406.4 
Barford, Gregory A. Cpa 0.5 
Barger & Company 1.7 
Baril Advisors LLC Buffalo Grove IL US 19.3 
Baring Asset Management (Asia) Limited Hong Kong CN 10659.7 
Baring Asset Management LLC Boston MA US 7113.8 
Baring International Investment Ltd London England UK 12180.6 
Barington Offshore Advisors Ii, LLC New York NY US 0.0 
Barington Offshore Advisors LLC New York NY US 23.1 
Barish Investment Management, LLC Farmington Hills MI US 0.0 
Barker & Associates LLC Woodinville WA US 0.0 
Barker Asset Management Inc 24.2 
Barker Financial Group, Inc. Burlington MA US 76.0 
Barker Financial Management, Inc. 0.0 
Barker Wealth Management, Inc. Kentfield CA US 0.0 
Barker Wealth Management, Inc. Sandwich MA US 0.0 
Barkey Financial, LLC 0.0 
Barlow Partners Inc New York NY US 1894.0 
Barlow, Paul David Laguna Hills CA US 0.0 
Barnegat Bay Capital Management LLC 7.2 
Barnegat Fund Management Inc. Hoboken NJ US 592.6 
Barnes & Associates Bakersfield CA US 0.0 
Barnes & Brock Financial Services , LLC Chesapeake VA US 8.8 
Barnes Capital LLC Lafayette CA US 13.5 
Barnes Financial Services Co., L.L.C. 1.5 
Barnes Investment Advisory Inc Phoenix AZ US 0.0 
Barnes Pettey Financial Advisors, LLC Clarksdale MS US 643.6 
Barnes, Louis B San Francisco CA US 0.0 
Barnett & Co Inc Chattanooga TN US 246.7 
Barnett Asset Management, LLC 18.5 
Barnett Financial Planning Tustin CA US 0.0 
Barnett Financial, Inc. Austin TX US 80.0 
Barnett Investment Counsel, LLC 6.0 
Barnett Investments Inc Bartlesville OK US 83.6 
Barnhart Group 2.8 
Barnstone Advisors LLC Phoenixville PA US 0.0 
Barometer Capital LLC 0.0 
Barometer Capital Management Toronto CA 1.6 
Baron Capital Management, Inc. New York NY US 1092.3 
Baron Capital Management, LLC 3.0 
Baron Financial Group LLC Fair Lawn NJ US 0.0 
Baron Financial Management Corp. Highland Park NJ US 1.1 
Baron Financial Services Inc Kennesaw GA US 0.0 
Baron Silver Stevens Financial Advisors, LLC Boca Raton FL US 300.0 
Baron Wealth Management, LLC Troy MI US 183.5 
Barony Financial Group Moncks Corner SC US 4.0 
Barr Financial Services, LLC Winter Park FL US 58.7 
Barr Group Gulf Shores AL US 0.0 
Barr Rosenberg Research Center LLC Orinda CA US 31006.8 
Barrett and Company, LLC Baltimore MD US 0.0 
Barrett Asset Management, LLC New York NY US 1291.6 
Barrett Associates Inc New York NY US 1103.7 
Barrett Capital Management, Inc. Rochester NY US 8.1 
Barrett Capital Management,LLC Midlothian VA US 108.5 
Barrier Investments, LLC Memphis TN US 25.5 
Barrington Asset Management, Inc. Chicago IL US 53.3 
Barrington Capital Management Inc 44.5 
Barrington Capital Management, Inc. Bloomington MN US 10.4 
Barrington Financial Advisors Modesto CA US 22.0 
Barrington Financial Advisors Inc Houston TX US 90.0 
Barrington Services 9.4 
Barrish Financial Planning Mount Laurel NJ US 2.1 
Barrister Wealth Management Galloway NJ US 3.5 
Barron Asset Management, Inc. Tampa FL US 171.9 
Barron Financial Group LLP Torrington CT US 31.2 
Barron Investment Advisory, Inc Atlanta GA US 0.0 
Barron Moore Advisors, Inc. Dallas TX US 0.0 
Barrow & Powers Financial Services, Inc. Lakeland FL US 0.0 
Barrow Asset Management, Inc. Tampa FL US 34.1 
Barrow Investment Management Inc Tampa FL US 32.7 
Barrow, Hanley, Mewhinney & Strauss, LLC Dallas TX US 62326.7 
Barry Capital Management, Inc. Hackettstown NJ US 30.1 
Barry F.T. Bolker 0.0 
Barry M. Corkern & Co., Inc. Little Rock AR US 104.8 
Barry M. Danzinger, Cpa, P.A. Pompano Beach FL US 0.4 
Barry S. Cohen P.C. West Bloomfield MI US 0.0 
Bartell Financial Advisors, Inc. New Port Richey FL US 0.0 
Barthelemy Group LLC New York NY US 4.6 
Bartlett & Co Cincinnati OH US 2795.0 
Bartlett Financial 0.0 
Bartlett Investment Advisors, Inc. 32.3 
Bartlett, Lawrence E Arcadia CA US 2.5 
Bartley Financial Advisors, Inc. Bedford NH US 33.7 
Bartolf Wealth Advisors, Inc. 39.4 
Bartolomei Capital, LLC 42.0 
Barton Advisors, LLC 4.5 
Barton Advisory Services, L.L.C. Lafayette LA US 0.0 
Barton Creek Advisors, LLC 1.9 
Barton Investment Management, LLC W. Conshohocken PA US 180.9 
BAS Capital Management, LLC Winchester MA US 0.0 
BAS Management, LLC Portland OR US 40.3 
Bascomb Madison & James Capital Management, LLC Essex Junction VT US 0.0 
Base Management Co Towson MD US 125.0 
Basel Asset Management, LLC New York NY US 469.5 
Baseline Financial Management (Dba) Waconia MN US 0.0 
Bash Financial Services, LLC Leawood KS US 20.0 
Basicvalue Asset Management Inc. New York NY US 28.7 
Basil Financial Group 0.0 
Basil Mcrae & Associates, Inc. Chesterfield MO US 9.0 
Baskerville Capital Management, LLC Houston TX US 0.0 
Bass Financial Solutions, Inc. 3.0 
Bass Financial Strategies, Inc. Greensboro NC US 0.0 
Bass, David 0.0 
Bassett, Brosius & Dawson, Inc. Wilmington DE US 0.0 
Bassi Investments,Inc. 14.0 
Basso Capital Management, L.P. Stamford CT US 672.4 
Basswood Capital Management, L.L.C. New York NY US 351.5 
Basswood Financial Services Cleveland OH US 0.0 
Bastiat Capital, LLC Plano TX US 22.0 
Bates Creek Research & Consulting LLC 0.0 
Bates Financial Advisors, Inc. Rockford IL US 206.8 
Batley & Associates 8.2 
Batliner and Associates, Inc. Rolling Meadows IL US 0.0 
Batratchenko, Oleg New York NY US 0.0 
Battenkill Asset Management, LLC New York NY US 54.0 
Battenkill Capital Management Manchester Center VT US 0.0 
Battenkill Capital Management, Inc. Allentown NJ US 50.0 
Battery Advisors LLC San Francisco CA US 15.2 
Battery Investment Company, Inc. Mount Pleasant SC US 45.3 
Batterymarch Financial Management Inc Boston MA US 22379.0 
Battle Capital Asset Management LLC Scottsdale AZ US 0.0 
Battle Road Research Ltd. Waltham MA US 0.0 
Battlefield Capital Management, LLC King of Prussia PA US 27.2 
Batty, Erlandsen & Associates, P.S. Spokane WA US 0.0 
Bauer Captain & Johnson, Inc. Scottsdale AZ US 286.0 
Bauer Financial Services, Inc. 8.5 
Bauer Planning Group, LLC Eau Claire WI US 0.0 
Bauer Wealth Management Colorado Springs CO US 26.0 
Bauerle Financial Inc Deland FL US 61.9 
Baugh & Associates, LLC Atlanta GA US 88.0 
Bauman Advisory Group, LLC Las Vegas NV US 4.9 
Baumert Capital Advisors 0.0 
Baupost Group LLC Boston MA US 23104.3 
Bauserman Financial Services, Inc Winchester VA US 19.8 
Bavard Inc. 23.0 
Bavarian Wealth Management, Inc. New Orleans LA US 1.5 
Baxter Capital Management Inc Indianapolis IN US 807.9 
Baxter Financial Corporation Boca Raton FL US 2.1 
Baxter Investment Management Riverside CT US 210.3 
Baxter Investment Management, LLC Richardson TX US 0.0 
Baxter Investment Partners (Gp), LP Richardson TX US 0.0 
Baxter Wylde LLC New York NY US 0.0 
Bay Area Planners Cupertino CA US 0.0 
Bay Capital Advisors, LLC 37.1 
Bay Capital Management 3.7 
Bay Capital, Registered Investment Advisor Tampa FL US 38.0 
Bay City Financial Services Inc Bellingham WA US 67.2 
Bay Colony Advisors Concord MA US 27.3 
Bay Colony Financial Management, Inc Mansfield MA US 2.6 
Bay Consultants 1.6 
Bay Financial Advisors, Inc. Waltham MA US 0.0 
Bay Harbour Management LC New York NY US 391.4 
Bay Hill Investment Partners, L.P. 0.0 
Bay Island Capital 0.0 
Bay Mutual Financial LLC Santa Monica CA US 3953.4 
Bay Point Financial, LLC Bedford NH US 0.0 
Bay Tree Capital Management, Inc. 0.0 
Bay View Advisors, LLC San Francisco CA US 1.3 
Bay View Capital, Inc. St. Petersburg FL US 3.0 
Bay Wealth Retirement & Trust, LLC Easton MD US 15.0 
Bayewitz Asset Management, Inc. Teaneck NJ US 40.0 
Bayfield Investment Management Company, Inc. Beverly MA US 7.0 
Bayhawk Asset Management, LLC Marietta GA US 122.3 
Bayhill Advisors, Inc. Davis CA US 14.9 
Bayhill Group South Jordan UT US 1.0 
Bayley Financial, LLC Seattle WA US 0.0 
Bayon Capital Management LLC Palm Beach FL US 34.0 
Bayport Financial Advisors, LLC Bellingham WA US 0.0 
Bayshore Asset Management, LLC Coral Gables FL US 0.0 
Bayshore Capital Advisors, LLC Tampa FL US 56.6 
Bayside Wealth Management Pensacola FL US 20.4 
Baystate Fiduciary Advisors, Inc. 1600.0 
Baystate Financial Planning Boston MA US 0.0 
Baystate Wealth Management Boston MA US 102.5 
Bayswater Associates, Inc. Little Rock AR US 29.5 
Baytree Funding Capital Markets, Inc. Sunrise FL US 28.9 
Bayview Investment Counsel, Inc Grasonville MD US 34.1 
Bazbaz LLC 0.0 
Bazzell Financial Lafayette CA US 1803.0 
BB&R Wealth Management, Inc. Walnut Creek CA US 0.0 
BB&T Asset Management, Inc. Raleigh NC US 0.0 
BB&T Investment Services, Inc. Charlotte NC US 0.0 
BBE Community Investment Partners, LLC Brookfield WI US 130.0 
Bbjs Financial Advisors, LLC Seattle WA US 48.4 
BBM Financial Services, Inc. Yakima WA US 11.5 
BBR Partners, LLC New York NY US 5391.6 
BBS Capital Management, LP Plano TX US 12.9 
Bbva Compass Investment Solutions, Inc. Birmingham AL US 4.0 
Bbva Wealth Solutions Inc. Houston TX US 413.6 
BC Advisors, LLC Mt. Laurel NJ US 3340.8 
BCC Advisory Services, LLC Newport Beach CA US 0.0 
BCD Financial LLC 0.0 
BCF Law Group, LLC 0.0 
BCG Securities, Inc. Delran NJ US 165.2 
BCG Wealth Advisors, LLC Akron OH US 0.0 
BCI Capital Management Corte Madera CA US 71.5 
BCM Wealth Management Wilmington DE US 38.0 
BCN Advisers, LLC 15.9 
BCN Financial, Inc. Alameda CA US 46.6 
BCP Advisors, LLC Greenwich CT US 2.4 
BCR Financial Services, LLC Wexford PA US 0.0 
BCS Financial, LLC Johnson City TN US 88.3 
BCY Financial Services 5.0 
BCZ Financial Management, LLC 0.0 
           
 
A Registered Investment Advisor manages assets, makes portfolio composition and individual security selection decisions for a fee, often a percentage of assets invested.

The SEC regulates investment advisors that have over $25 million in assets under management. Investment advisors that do not meet this threshold are generally regulated by the state securities agency in the state where they have their principal place of business. This website provides information about both SEC- and state-registered investment advisor firms.

Investment advisors file Form ADV to register with the SEC or the states. Form ADV contains information about an investment advisor and its business operations.
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