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Registered Investment Advisors
           
           
Firm Name City State Country Assets ($M) 
O World Corp Clearwater FL US 0.0 
O'Bannon & Davis Inc. Buffalo NY US 0.0 
O'Brien and Associates, Inc. 4.0 
O'Brien Asset Management LLC 3.0 
O'Brien Capital Management, Inc. Nyack NY US 14.0 
O'Brien Financial Planning 0.0 
O'Brien Financial Planning, Inc. 6.8 
O'Brien Management, LLC Cambridge MA US 230.6 
O'Connor & O'Connor, LLP Central Valley NY US 0.0 
O'Connor Financial Consultants 3.0 
O'Connor Investment Advisors, Inc. 0.4 
O'Connor Wealth Management, LLC. Quincy IL US 0.0 
O'Donnell Portfolio Management, Inc. 6.5 
O'Donoghue Financial Planning, LLC Mt. Kisco NY US 0.0 
O'Gorman Asset Management, Inc. 7.4 
O'Hara, Iv. Charles Edward Newport RI US 0.0 
O'Hearn Capital Management, LLC 5.0 
O'Keefe Shaw & Co., Inc. Buffalo NY US 21.5 
O'Loughlin, Thomas Joseph 0.9 
O'Meara Financial Group, Inc. Red Bank NJ US 0.0 
O'Neill Financial Management, LLC North Andover MA US 20.2 
O'Reilly Wealth Advisors 2.3 
O'Roark Asset Management Warrenton VA US 0.2 
O'Rourke Financial Planning 15.0 
O'Shaughnessy Asset Management, LLC Stamford CT US 4813.7 
O'Sullivan Creel Wealth Advisors, LLP Pensacola FL US 158.3 
O'Sullivan Financial Services, Inc. 0.0 
O.V. Davi 0.0 
Oak Advisors, LLC Bluffton SC US 76.6 
Oak Asset Management, LLC Oak Brook IL US 0.0 
Oak Associates Ltd Akron OH US 753.8 
Oak Brook Advisors Ltd Chicago IL US 11.5 
Oak Brook Asset Management, Corporation 18.1 
Oak Capital LLC 0.0 
Oak Circle Asset Management, LLC 3.2 
Oak Financial Group Inc Stamford CT US 198.4 
Oak Financial Services Group, Ltd. Mont Clare PA US 8.5 
Oak Forest Investment Management Inc 44.5 
Oak Harbor Financial San Diego CA US 11.2 
Oak Hill Advisors, L.P. New York NY US 9563.9 
Oak Hill Capital Management, LLC New York NY US 3984.2 
Oak Leaf Advisors, LLC San Marcos CA US 0.0 
Oak Mountain Financial Group Santa Rosa CA US 0.0 
Oak Ridge Investments, LLC Chicago IL US 1994.5 
Oak River Financial Group, Inc. Beaumont TX US 18.4 
Oak Street Advisors Myrtle Beach SC US 20.1 
Oak Tree Advisory Services Inc Carlsbad CA US 25.5 
Oak Tree Capital Advisers, Inc. 2.7 
Oak Tree Global Financial Services LLP 29.9 
Oak Tree Securities, Inc. Livermore CA US 20.6 
Oak Value Capital Management, Inc Chapel Hill NC US 192.9 
Oakbridge Asset Managment, LLC South Jordan UT US 3.0 
Oakbrook Investments Lisle IL US 1188.6 
Oakdale Wealth Management, LLP Medfield MA US 20.0 
Oakes, Bill 0.0 
Oakland Wealth Management, Inc. Southfield MI US 45.3 
Oakmont Capital Management, LLC Oakmont PA US 25.6 
Oakmont Corporation Los Angeles CA US 334.3 
Oakmont Financial Services, L.L.C. 16.0 
Oakmont Investment Advisors, Inc. Pittsburgh PA US 44.9 
Oakmont Partners, LLC Boston MA US 136.1 
Oaks Wealth Management, LLC Cary NC US 0.0 
Oaktree Asset Management, LLC New York NY US 323.0 
Oaktree Capital Corporation Chicago IL US 10.3 
Oaktree Capital Management, L.P. Los Angeles CA US 48762.1 
Oaktree Financial Planning and Consulting 0.0 
Oaktree Portfolio Management Baltimore MD US 0.0 
Oakvale Investments Inc. Sausalito CA US 15.0 
Oakview Capital Management, L.P. Dallas TX US 0.0 
Oakwood Capital Management 0.1 
Oakwood Capital Management LLC Los Angeles CA US 368.6 
Oarsman Capital, Inc Milwaukee WI US 113.2 
Oase Financial Services, LLC Tucson AZ US 2.0 
Oasis Capital Management LLC 27.1 
Oasis Financial Solutions, Inc South Bend IN US 6.8 
Oast & Hook Financial Services, LLC Virginia Beach VA US 0.0 
Oates, Robert Kurt Torrance CA US 0.0 
Oatley & Diak, LLC. Greenwood Village CO US 13.7 
Oberlin, Karl, Thornfield 0.8 
Obermeyer Asset Management Co Aspen CO US 525.3 
Oberon Asset Management, LLC New York NY US 21.0 
Oberon Financial Technology, Inc. Sunnyvale CA US 611.6 
Oberon Partners LLC New York City NY US 200.0 
Oberweis Asset Management Inc Lisle IL US 491.7 
Oberweis Securities, Inc. Lisle IL US 2.0 
Obex Investments LLC Larchmont NY US 9.0 
Objective Advisors, Inc. Austin TX US 346.0 
Objective Financial Advisors, Inc. 0.0 
Objective Financial Planning 3.0 
Objective Financial Planning Columbus OH US 12.0 
Oboy Financial Planning, LLC 0.0 
Obrien Greene & Co Inc Media PA US 176.5 
Obrien John P Investment Management Inc 6.9 
Obs Financial Services, Inc. Whitehouse OH US 433.9 
Obsidian Investment Advisers, LLC Redmond WA US 4.5 
Obsidian Investment Management 2.8 
Occam Capital Management, LLC Pittsford NY US 45.1 
Ocd Financial Group, LLC Quincy MA US 0.0 
Ocean Advisors 6.0 
Ocean Asset Management Co., Ltd. Tokyo JP 53.0 
Ocean Gate Capital Management, LP Marblehead MA US 52.5 
Ocean Park Asset Management, Inc. Santa Monica CA US 86.4 
Ocean Park Capital Management, LLC Santa Monica CA US 24.7 
Ocean State Asset Management, LLC Providence RI US 251.7 
Oceanic Capital Management LLC New York NY US 0.9 
Oceanic Energy Management Limited Douglas IS 40.0 
Oceanic Fund Management Limited Douglas IS 600.0 
Oceans Capital Management, LLC 0.0 
Oceanstone Capital Management, Inc 0.6 
Oceanwood Capital Management (Us) LP Boston MA US 0.0 
Oceanwood Capital Partners LP Boston MA US 0.0 
Och-Ziff Real Estate Advisors LP New York NY US 516.0 
Ockham Wealth Advisors L.L.C. Roswell GA US 19.5 
Octagon Asset Management, LLC New York NY US 23.0 
Octagon Financial Services Inc Mclean VA US 169.8 
Octave Fund LLC San Francisco CA US 11.3 
Octavius Capital Management, LLC Kirkland WA US 1.7 
Octobers View Financial Planning High Ridge MO US 0.0 
Oda and Company, Inc. Medina OH US 0.0 
Oder & Stewart Investment Management, LLC Woodland Hills CA US 68.0 
Odin Capital Group 4.0 
Odlum Brown USA Investment Management Limited Vancouver, British Columbia CA 34.4 
Odyssey Advisors LLC Los Angeles CA US 26.9 
Odyssey Wealth Management, LP Plano TX US 0.0 
Oechsle International Advisors, LLC Boston MA US 6228.9 
Oechsle International Advisors, Ltd London UK 830.6 
Ofc Financial Planning, LLC Short Hills NJ US 11.3 
Offit Capital Advisors New York NY US 3952.6 
Offshore Investment Advisor 3.5 
Ofg Financial Services, Inc. Topeka KS US 0.0 
Ofi Institutional Asset Management, Inc. Bellefonte PA US 615.6 
Ofi Institutional Asset Management, Inc. New York NY US 6163.0 
Ofi Private Investments Inc New York NY US 4717.1 
Oflaherty Investments LLC 0.0 
Ogden Asset Management, LLC 5.7 
Ogden, David Doughty 40.5 
Ogilvie Capital, L.P. 0.0 
Ogilvie Security Advisors Corp Chicago IL US 32.0 
Ogorek Wealth Management, LLC Williamsville NY US 212.4 
Ogrizovich Financial Management, Inc. Orland Park IL US 0.0 
Oherron & Co Inc Raleigh NC US 12.1 
Ohiggins Asset Management Inc Miami Beach FL US 29.7 
Ohio National Investments Inc Montgomery OH US 3122.5 
Ojm Group Cincinnati OH US 86.9 
Okabena Investment Services Inc Minneapolis MN US 1009.4 
Okeefe & Associates, P.C. Orland Park IL US 0.0 
Oklo Financial, LLC San Rafael CA US 40.0 
Okuno Associates, Inc. Pasadena CA US 0.0 
Olaf A. Hoff 0.0 
Old City Partners LLC 0.0 
Old Dominion Asset Management Inc. Midlothian VA US 6.1 
Old Dominion Capital Management Inc. Charlottesville VA US 211.5 
Old Field Advisors LLC Melville NY US 0.0 
Old Glory Asset Management LLC Malvern PA US 158.7 
Old Greenwich Capital Partners New York NY US 26.6 
Old Harbor Capital Management LLC Boston MA US 31.7 
Old Hill Partners Inc Darien CT US 670.0 
Old Iron Hill Capital Management, LLC New York NY US 122.0 
Old Lane, LP New York NY US 4370.8 
Old Mill Capital, LLC San Antonio TX US 5.0 
Old Mission Investment Company, LLC Traverse City MI US 205.8 
Old Mutual Capital Denver CO US 2082.4 
Old North Advisors, LLC Boston MA US 217.4 
Old North State Trust, LLC Siler City NC US 219.5 
Old Oak Financial Planning, Inc. Brighton MI US 37.9 
Old Rock Asset Management LLC 37.8 
Old School Capital LLC Andover MA US 10.5 
Oldfather Financial Services LLC Kearney NE US 33.1 
Olesky Capital Management, LLC Mill Valley CA US 4.6 
Olesuk Financial Services Mchenry IL US 1.8 
Olhoeft Financial, LLC 17.0 
Olimpio Neu & Associates, Inc. Dallas TX US 36.7 
Oliver Capital Management, Inc. Seattle WA US 61.0 
Oliver Financial Planning LLC Ann Arbor MI US 0.0 
Oliver Press Partners, LLC New York NY US 99.4 
Olivetti Capital Management, LLC 0.0 
Olmsted Advisors, Inc. Carlsbad CA US 0.0 
Olsen & Guidry, LLC Gretna LA US 15.0 
Olsen & Thompson Investment Asvisory Services,LLC Morristown NJ US 21.2 
Olsen Associates Belton MO US 0.7 
Olsen Capital Management, LLC 0.1 
Olsen Financial Group, LLC 0.7 
Olson Advisory Group, LLC Sartell MN US 0.0 
Olson Asset Mgt., Inc. East Aurora NY US 3.3 
Olson Associates Roswell GA US 0.0 
Olson Financial Counsel LLC Worthington MN US 0.2 
Olson Investment Advisors, LLC Seattle WA US 72.5 
Olson Management Newport Beach CA US 13.6 
Olson, Russell L. 73.0 
Olstein Capital Management, L.P. Purchase NY US 570.9 
Olympia Capital Management S.A. Paris FR 5738.1 
Olympian Capital Management, LLC Fort Lauderdale FL US 10.9 
Olympic Financial, LLC Carmel IN US 0.0 
Olympius Capital, L.P. Woodside CA US 161.2 
OM Investment Management, LLC Tampa FL US 32.9 
Omaha Capital Management, LLC San Francisco CA US 1.1 
Omc Financial Services Ltd Dewitt NY US 46.4 
Omega Advisors,Inc. New York NY US 2843.1 
Omega Capital Management, LLC Dover NJ US 21.0 
Omega Financial Advisors Minnetonka MN US 0.0 
Omega Financial Advisors, LLC Hartford CT US 0.0 
Omega Financial and Insurance Services Kirkland WA US 13.0 
Omega Financial Group, Inc. Clearbrook MN US 0.0 
Omega Financial Network Inc. West Orange NJ US 21.5 
Omega Financial Services, Inc. 0.0 
Omega Securities, Inc. Fort Worth TX US 0.0 
Omega Wealth Management LLC Arlington VA US 39.8 
Omg Capital London UK 390.0 
Omicron Group, Ltd. 35.8 
Omni Investment Advisors Inc Salt Lake City UT US 77.6 
Omni Wealth Advisors, LLC Tampa FL US 28.9 
Omnia Advisers, LLC 0.0 
Omnicap Group LLC Los Angeles CA US 667.9 
Omniquest Capital, LLC Los Angeles CA US 45.0 
Omnium, LLC. Columbus IN US 0.0 
Omnivest Research Corporation Venice FL US 5.6 
Omniwealth Denver CO US 120.0 
Omt Capital Management, LLC San Francisco CA US 66.0 
Omt Hedge LLC 0.0 
on Course Financial Group, LLC Portland ME US 9.0 
on Course Financial Planning 12.0 
on Investment Management Co Cincinnati OH US 0.0 
on Track Financial Services LLC Columbiana OH US 4.4 
Oncubic, L.L.C. San Diego CA US 33.1 
One Advocate Group San Antonio TX US 0.0 
One Capital Management, LLC Woodland Hills CA US 234.7 
One Compass Advisors Jeffersonville IN US 1185.9 
One East Capital Advisors, LP New York NY US 840.5 
One Providence Capital Cary NC US 3.7 
One Stop Financial, Inc. Bakersfield CA US 0.0 
One World Ams, LLC Riverton WY US 1.3 
One:one Financial Services, LLC 12.1 
Oneamerica Securities, Inc. Indianapolis IN US 43.0 
Onecapital Management Partners, LLC New York NY US 167.0 
Onefiduciary Group, LLC Kennesaw GA US 0.0 
Onesti Investment Advisors 1.3 
Onevision Investment Advisors, LLC Oakland CA US 8.7 
Oneworld Investments LP Boston MA US 230.0 
Onex Credit Partners, LLC Englewood Cliffs NJ US 271.7 
Onstott & Associates, Inc. Oklahoma City OK US 11.0 
Onyx Capital Management, LLC New York NY US 40.0 
Onyx Financial Advisors, LLC Idaho Falls ID US 21.7 
Onyx Investments, Inc. Chicago IL US 0.0 
Onyx Options Consultants Corp. Bay Harbor FL US 7.0 
Onyx Partners, Incorporated Las Vegas NV US 0.0 
Ook Advisors, LLC Oklahoma City OK US 0.0 
Opcap Advisors LLC New York NY US 256.5 
Opco Distressed Advisors, LLC New York NY US 8.6 
Open Asset Management Co. Cary NC US 0.0 
Open Door Investment Advisors, Inc. 10.0 
Open Field Capital LLC New York NY US 42.8 
Open Heart Financial, LLC 0.0 
Open Investing, Inc. Wakefield MA US 1.2 
Opes Advisors, Inc. Palo Alto CA US 51.1 
Opes Capital Management, LLC New York NY US 24.0 
Opine Financial Advisors Kansas City MO US 0.0 
Opis Advisors, Inc. Bell Canyon CA US 48.9 
Oppenheim Investment Advisors, Inc. 3.6 
Oppenheimer & Close, Inc. New York NY US 67.8 
Oppenheimer & Co. Inc. New York NY US 3032.3 
Oppenheimer Alternative Investment Management, LLC New York NY US 187.5 
Oppenheimer Asset Management New York NY US 6628.3 
Oppenheimer Capital LLC New York NY US 8748.3 
Oppenheimer Catalyst Management LP New York NY US 16.6 
Oppenheimer Investment Management LLC New York NY US 672.3 
Oppenheimer Real Asset Management Inc New York NY US 1030.0 
Oppenheimerfunds Inc New York NY US 113799.0 
Opportunity Financial Improvement Group, LLC Hanover MN US 0.0 
Opportunity Research Group, LLC Los Angeles CA US 10.3 
Opr Investment Services, LLC Columbia MD US 0.0 
Ops Capital LLC 1.1 
Opsis Advisory Group 6.7 
Opsis Capital Management LP Dallas TX US 48.0 
Optifolio Houston TX US 0.0 
Optim Investment Advisors, LLC 0.0 
Optima Asset Management Inc Dallas TX US 194.5 
Optima Capital Management 22.4 
Optima Capital Management, Inc. San Antonio TX US 119.4 
Optima Fund Management Limited Partnership Hamilton Hm12 BM 2070.5 
Optima Fund Management LLC New York NY US 1304.5 
Optima Private Wealth Management, LLC Maitland FL US 27.6 
Optima Trade & Investments, LLC Wheeling WV US 0.0 
Optima Trading Partners, LLC 0.0 
Optimal Capital Advisors, LLC Traverse City MI US 31.6 
Optimal Fund Management Pty Limited Sydney AU 2400.0 
Optimal Wealth & Investments, Inc. Naperville IL US 0.0 
Optimum Asset Management, LLC Daphne AL US 0.0 
Optimum Capital Management, LLC 0.0 
Optimum Financial Planning 1.2 
Optimum Financial Services Inc Jackson MS US 124.2 
Optimum Growth Advisors,LLC N. Merrick NY US 105.1 
Optimum Investment Advisors, LLC Chicago IL US 1246.8 
Optimum Strategies LLC Burbank CA US 0.0 
Optimus Advisory Group Irvine CA US 12.1 
Optimvest LLC Los Angeles CA US 0.4 
Option Specialists, Ltd. 0.0 
Options University Advisor, LLC Boca Raton FL US 0.0 
Optionvue Research, Inc. Libertyville IL US 0.0 
Optique Capital Management, Inc. Milwaukee WI US 1047.4 
Optivest, Inc. Dana Point CA US 147.8 
Optsecurities, LLC Charlotte NC US 50.0 
Opulent Strategies, LLC 42.9 
Opus Capital Group, LLC Cincinnati OH US 926.8 
Opus Financial Advisors, Inc. Statesville NC US 17.0 
Opus Investment Advisors, LLC 0.0 
Opus Investment Management, Inc. Worcester MA US 7025.0 
Opus Investments 9.8 
Opus Select Strategies, LLC Menlo Park CA US 0.0 
Oracle Asset Advisors, L.P. Fort Worth TX US 25.4 
Oracle Financial Group 0.0 
Oracle Financial Services, LLC New York NY US 9.5 
Orange Capital Management, Inc. Orange CA US 0.0 
Orange Capital, LLC New York NY US 513.0 
Orange County Investment Advisors 0.0 
Orange Grove Carlsbad CA US 0.0 
Orazio Financial Services Suffern NY US 0.0 
Orbimed Advisors, LLC New York NY US 2345.0 
Orbimed Capital LLC New York NY US 1235.0 
Orca Asset Management LLC Greenwich CT US 2.3 
Orchard Capital Management, LLC Greenwood Village CO US 0.0 
Orchard Lake Investment Management, LLC Keego Harbor MI US 0.0 
Orchard Park Capital, L.L.C. Princeton NJ US 0.0 
Orchestral Financial Group Inc. Amherst NY US 17.3 
Ore Hill Partners LLC New York NY US 1720.0 
Oregon Pacific Financial Advisors Inc Medford OR US 28.0 
Oregon Trail Financial Services, Inc The Dalles OR US 0.0 
Orellano Capital Management Company 3.0 
Orend Investment Management, Inc. Youngstown OH US 1.3 
Orf Capital Management 0.5 
Orford Capital Management San Francisco CA US 54.9 
Org Portfolio Management LLC Beachwood OH US 859.3 
Organic Capital Management Inc Brooklyn NY US 0.0 
Orient Asset Management LLC Walnut Creek CA US 3.0 
Orienteer Financial, Inc. Essex MA US 19.5 
Origin Asset Management LLP London UK 2003.4 
Origin Capital Management LLC San Francisco CA US 108.0 
Origin Financial Group LLC Honolulu HI US 25.4 
Orinda Pacific Investment Company, Inc. Lafayette CA US 0.0 
Orion Capital Management Inc Winnetka IL US 96.9 
Orion Capital Management L.L.C. New York NY US 296.0 
Orion Capital Management LLC Coronado CA US 18.5 
Orion Investment Co St Louis MO US 155.8 
Oristano Capital LLC Boston MA US 20.4 
Orizon Investment Counsel LLC Omaha NE US 152.9 
Orkin Financial Planning 0.0 
Orlando Investment Partners Winterpark FL US 6.1 
Orleans Capital Management Corp Mandeville LA US 1670.5 
Orr Financial Group Victoria TX US 4.5 
Orr Financial Planning, LLC Mclean VA US 9.7 
Orr Financial, LLC Tampa FL US 5.1 
Orr, Brad L. 4.0 
Orrell Capital Management Livermore CA US 121.9 
Orren Financial Services 11.6 
Orrgroup, LLC Orlando FL US 21.7 
Orser Investment Advisors, Inc. Houston TX US 23.2 
Orsus Investments, LLC San Diego CA US 0.2 
Ortelius Capital Partners New York NY US 132.0 
Oryem, Edward Allister Sacramento CA US 0.0 
Osage Energy Partners, L.P. The Woodlands TX US 27.3 
Osbon Capital Management, LLC Boston MA US 32.6 
Osborn Financial Planning LLC 0.0 
Osborne Capital Management San Diego CA US 3.3 
Osborne Partners San Francisco CA US 580.4 
Osborne Planning San Diego CA US 0.8 
Oscar H. Will Insurance & Financial Services 0.0 
Osf Wealth Management, LLC Sherman Oaks CA US 4.9 
Osgood & Associates, P.C. 11.9 
Osher Capital Advisors, LLC 0.6 
Osiwala & Associates Strategic Investment Services, Inc Macomb MI US 0.0 
Osprey Money Management, LLC Titusville FL US 0.0 
Osprey Partners Investment Management, LLC Shrewsbury NJ US 17.5 
Oster Asset Management, Inc. 2.8 
Osterweis Capital Management Inc San Francisco CA US 739.6 
Osterweis Capital Management LLC San Francisco CA US 2878.9 
Ostrofe Financial Consultants Inc Grass Valley CA US 162.4 
Ostrom & Associates King of Prussia PA US 8.0 
Oswald Financial, Inc. Cleveland OH US 0.0 
OT Financial Advisors, LLC St.paul MN US 0.0 
Othello Capital GP LP Dallas TX US 0.2 
Otr Global LLC San Francisco CA US 0.0 
Otter Creek Management, Inc. West Palm Beach FL US 148.0 
Otter Creek Partners 15.4 
Otto & Associates, Inc. Katonah NY US 64.3 
Ottoman Capital Shibuya-KU TO 35.0 
Outfitter Financial Corp. Mclean VA US 7.4 
Outlook Capital Management, LLC Arlington Heights IL US 28.5 
Outlook Financial Services Anchorage AK US 21.3 
Outrider Management, L.L.C. San Francisco CA US 70.0 
Overbrook Management Corporation New York NY US 401.5 
Overland and Shanahan LA Jolla CA US 0.0 
Overlook Advisors, LLC Woodstock NY US 0.0 
Overlook Investments L.P. George Town KY 580.0 
Overlook Investments Limited Hong Kong HK 580.0 
Overlooked Opportunities Green Valley AZ US 1.2 
Overstake Asset Management, LLC 2.2 
Overton Capital Management 0.2 
Overture Investments LLC Philadelphia PA US 0.0 
Owenoke Capital Management, LLC 6.0 
Owenoke Management, LLC Norwalk CT US 87.4 
Owens Financial 6.5 
Owens, James Atlanta GA US 3.0 
Owl Creek Asset Management, L.P. New York NY US 3900.0 
Ownership Advisors, Inc. Cleveland OH US 0.0 
Oxford Asset Management, LLC South Padre Island TX US 48.0 
Oxford Capital Groupe 6.2 
Oxford Capital Management Richm0nd VA US 23.0 
Oxford Financial Designs, Inc Denver CO US 0.3 
Oxford Financial Group, Ltd Carmel IN US 6467.1 
Oxford Investment Partners, LLC Phoenix AZ US 304.3 
Oxford Real Estate Advisors Inc Pittsburgh PA US 0.0 
Oyster Point Asset Consulting, Inc. Newport News VA US 0.0 
OZ Management LP New York NY US 22552.7 
O\'Brien, Anne B. N. Brookfield MA US 3.9 
           
 
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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