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Registered Investment Advisors
           
           
Firm Name City State Country Assets ($M) 
Sub-Rosa Capital, L.L.C. 0.0 
Suburban Financial Associates,Ltd. Villa Park IL US 0.0 
Success Financial Advisors, LLC Henderson NV US 8.0 
Successful Financial Management Westbrook ME US 0.0 
Successful Financial Strategies Hendersonville NC US 0.0 
Successful Money Management Amarillo TX US 0.0 
Successful Money Strategies Inc Fall River MA US 102.5 
Successful Portfolios LLC Clearwater FL US 62.9 
Successful Resource Management, Ltd. Urbandale IA US 33.0 
Successful Retirement Planning Institute, Inc. Inverness IL US 0.0 
Successful Retirement, Inc. Bloomington MN US 4.5 
Succession and Exit Planning Strategies LLC Middletown NY US 0.0 
Successplanz, LLC Albuquerque NM US 0.0 
Suckstorf Financial Consulting, LLC 0.0 
Sucre'-vail Wealth Advisors Houston TX US 41.9 
Sudbury Wealth Management, Inc Sudbury MA US 2.6 
Sudeley Financial Management,LLC 0.0 
Sue Boemer & Company 20.5 
Sueing Investments, LLC Dallas TX US 0.0 
Suffolk Capital Management New York NY US 2783.6 
Sugar Creek Group Sugar Land TX US 18.2 
Sugarloaf Wealth Management, LLC Duluth GA US 93.9 
Suggest, Inc. Palo Alto CA US 0.0 
Suhrco Real Estate Advisors, Inc. Bellevue WA US 0.0 
Sulich, Fred J. 0.0 
Sullens Accountancy Corporation 0.0 
Sullivan & Associates Colorado Sprindgs CO US 1.2 
Sullivan & Serwitz Los Altos CA US 550.3 
Sullivan Capital Management 33.7 
Sullivan Financial Planning, LLC 0.0 
Sullivan Financial, LLC So. Glastonbury CT US 0.0 
Sullivan Mermel, Inc. Chicago IL US 0.0 
Sullivan Pinnacle Advisors, Ltd. Akron OH US 0.0 
Sullivan Wood Capital Management, LLC Washington DC US 6.0 
Sullivan, Morrissey & Mickle Capital Management Corp New York NY US 55.5 
Summa Capital Management LLC Santa Barbara CA US 26.6 
Summa Corp. The Woodlands TX US 41.5 
Summation Capital LLC Calabasas CA US 10.4 
Summer Advisors, LLC. Atlanta GA US 0.0 
Summer Bridge Financial Planning, LLC 0.0 
Summer Street Financial Advisors, LLC Boston MA US 0.0 
Summerhaven Investment Advisors, LLC Stamford CT US 1.0 
Summerland Wealth Planning Carpinteria CA US 0.0 
Summers Capital Services Inc Charlottesville VA US 16.6 
Summers Financial Services Inc 18.5 
Summers, Vanessa Santa Monica CA US 0.0 
Summit Accelerator Partners, LLC Boston MA US 67.8 
Summit Advisors, LLC Canonsburg PA US 0.0 
Summit Advisory Services, LLC St. Louis MO US 0.0 
Summit Advisory Solutions, Ltd. Poughkeepsie NY US 15.3 
Summit Asset Management LLC Memphis TN US 431.9 
Summit Asset Management, Inc. Florham Park NJ US 0.0 
Summit Asset Management, LLC Branford CT US 35.1 
Summit Asset Strategies Wealth Management, LLC Bellevue WA US 28.9 
Summit Capital Advisors Tacoma WA US 24.3 
Summit Capital Advisors, LLC East Hartford CT US 0.0 
Summit Capital Inc. Cleveland OH US 12.0 
Summit Capital Management Group, LLC Boca Raton FL US 2.2 
Summit Capital Management LLC Seattle WA US 665.1 
Summit Capital Partners LLC Dallas TX US 2.4 
Summit Capital Strategies, LLC Spokane WA US 143.2 
Summit Circle Resources, L.L.C. 0.0 
Summit Consultants, Inc. Fort Wayne IN US 0.0 
Summit Counsel, LLC East Hartford CT US 0.0 
Summit Cpa Group Fort Wayne IN US 40.0 
Summit Cpa Group, P.C. Rockford IL US 0.0 
Summit Creek Advisors Minneapolis MN US 411.6 
Summit Creek Capital LLC Ketchum ID US 30.0 
Summit Equities Inc Parsippany NJ US 1627.3 
Summit Equity Advisors LLC San Diego CA US 0.0 
Summit Equity Management, Inc. 1.2 
Summit Family Wealth Counseling Inc Parsippany NJ US 0.0 
Summit Fianancial Services Londonderry NH US 0.0 
Summit Financial Advisors 12.0 
Summit Financial Advisors Corporation 0.0 
Summit Financial Advisors, LLC San Mateo CA US 186.0 
Summit Financial Advisors, LLC Jamestown NY US 0.0 
Summit Financial Advisory Services 0.0 
Summit Financial Concepts, Inc. 1.6 
Summit Financial Consultants, Inc. Westlake Village CA US 0.0 
Summit Financial Consultants, Inc. Bettendorf IA US 16.0 
Summit Financial Consulting LLC Clinton Township MI US 0.0 
Summit Financial Group Amarillo TX US 1.0 
Summit Financial Group Inc Boca Raton FL US 918.3 
Summit Financial Group, LLC Rome GA US 12.9 
Summit Financial Planning, Inc. Glen Allen VA US 12.4 
Summit Financial Resources Inc Parsippany NJ US 0.0 
Summit Financial Services, Inc. Melville NY US 0.0 
Summit Financial Solutions Woodstock GA US 3.0 
Summit Financial Strategies Inc Columbus OH US 565.6 
Summit Financial Strategies, Inc Amherst NY US 0.0 
Summit Financial Wealth Advisors Lafayette LA US 50.7 
Summit Global Management Inc. San Diego CA US 652.9 
Summit International Investments Inc Boston MA US 0.0 
Summit Investment Advisors Pittsburgh PA US 3.8 
Summit Investment Advisors, LLC Bakersfield CA US 0.0 
Summit Investment Group, LLC Tulsa OK US 25.0 
Summit Investment Guidance Partners Grand Rapids MI US 60.3 
Summit Investment Management, Ltd. Milwaukee WI US 66.4 
Summit Investment Partners Cincinnati OH US 669.6 
Summit Investment Partners Lincoln NE US 10533.0 
Summit Investment Partners LLC Cincinnati OH US 0.0 
Summit Investments Management LLC Parsippany NJ US 0.0 
Summit Investments, Inc. 3.0 
Summit Investor Coach, LLC Guilford CT US 0.0 
Summit Money Management, LLC Frisco CO US 0.0 
Summit Partners Credit Advisors, L.P. Boston MA US 0.0 
Summit Partners Credit Opportunities Gp, L.P. Boston MA US 0.0 
Summit Partners Europe, L.P. Boston MA US 274.6 
Summit Partners GE Viii, L.P. Boston MA US 0.0 
Summit Partners Iv, L.P. Boston MA US 7.1 
Summit Partners PE Vii, L.P. Boston MA US 2292.2 
Summit Partners PE Vii, LLC Boston MA US 2292.2 
Summit Partners SD Ii, LLC Boston MA US 17.1 
Summit Partners SD III, L.P. Boston MA US 288.2 
Summit Partners SD III, LLC Boston MA US 288.2 
Summit Partners SD Iv, L.P. Boston MA US 121.5 
Summit Partners V, L.P. Boston MA US 21.8 
Summit Partners VC Ii, L.P. Boston MA US 238.9 
Summit Partners VC Ii, LLC Boston MA US 238.9 
Summit Partners VC III, L.P. Boston MA US 0.0 
Summit Partners VI (Gp), L.P. Boston MA US 1897.5 
Summit Partners VI (Gp), LLC Boston MA US 1897.5 
Summit Partners, L.P. Boston MA US 5232.1 
Summit Partners, LLC Boston MA US 89.6 
Summit Planning Group LLC Green Bay WI US 0.0 
Summit Planning Group, Inc. Syracuse NY US 0.0 
Summit Planning Group, LLC Branford CT US 0.0 
Summit Portfolio Advisors, LLC 52.7 
Summit Portfolio Management Inc. Las Vegas NV US 92.0 
Summit Private Investments, Inc. Summit NJ US 253.9 
Summit Professional Advisors, LLC Idaho Falls ID US 0.0 
Summit Rock Advisors, LLC New York NY US 0.0 
Summit Strategic Capital Management, LLC Fort Smith AR US 0.0 
Summit Strategies Group St Louis MO US 133.0 
Summit Wealth Advisors LLC Itasca IL US 0.0 
Summit Wealth Advisors, LLC Overland Park KS US 0.0 
Summit Wealth Advocates, LLC 4.8 
Summit Wealth Group, Inc. Colorado Springs CO US 0.0 
Summit Wealth Management, Inc Atlanta GA US 890.0 
Summit Wealth Management, Inc Orlando FL US 243.9 
Summit Wealth Management, LLC East Hartford CT US 0.0 
Summit Wealth Management, LLC Birmingham AL US 73.9 
Summit Wealth Management, LLC 82.6 
Summit Wealth Management, LLC 21.4 
Summit Wealth Management,Inc Beverly Hills CA US 5.0 
Summit Wealth Resources, Inc Wimberley TX US 4.9 
Summit Wealth Solutions Bellevue WA US 0.0 
Summitalliance Advisors, L.L.C. Dallas TX US 268.3 
Summitalliance Capital Management, L.L.C. Dallas TX US 614.0 
Summitcrest Capital Inc. San Francisco CA US 8.4 
Sumner Asset Management, Inc. 4.8 
Sumner Financial Advisors Inc 49.8 
Sumnicht & Associates, LLC Appleton WI US 288.7 
Sun Advisors, LLC 0.0 
Sun Asset Management, Inc. Bellevue WA US 1.3 
Sun Capital Advisers LLC Wellesley Hills MA US 55798.4 
Sun Capital Management, LLC Bridgewater NJ US 0.0 
Sun Financial Services, Inc. 15.8 
Sun Mountain Capital Santa FE NM US 390.9 
Sun Shine Investment Consultants, LLC Perrysburg OH US 0.0 
Sun Valley Advisors, Inc. 48.5 
Sun Valley Gold LLC Ketchum ID US 1209.3 
Sun Valley Investment Professionals LLC 25.7 
Sunamerica Asset Management Corp. Jersey City NJ US 33000.9 
Sunbelt Securities Houston TX US 92.7 
Sunbridge Management, Inc. Williamsville NY US 63.0 
Sunburst Partners, LLC 0.0 
Suncoast Advisory Group 0.0 
Suncoast Advisory Group Sarasota FL US 0.0 
Suncoast Equity Management, Inc. Tampa FL US 0.0 
Sundance Advisors Pittsburgh PA US 250.0 
Sundance Associates 6.4 
Sundance Capital Management, LLC 0.0 
Sundance Wealth Management 5.8 
Sundance Wealth Management Group L.L.C. 0.0 
Sundermann Capital Management LLC Greenwood Village CO US 54.3 
Sundial Capital Management, L.P. Arlington TX US 4.0 
Sundowner Capital Management LLC Bend OR US 51.1 
Sundstrom Capital Management Inc. 18.1 
Sundvold Financial Columbia MO US 0.0 
Sunflower Asset Management Inc. Lenexa KS US 13.6 
Sunidhi LLC 0.0 
Sunlake Investment Management 47.5 
Sunlin Consulting Investment Advisory Services, LLC 0.0 
Sunmark Capital Management, LLC Fleming Island FL US 0.0 
Sunnymeath Asset Management, Inc. Red Bank NJ US 85.6 
Sunova Capital, LP New York NY US 1277.4 
Sunpillar Financial Advisors LLC New York NY US 0.0 
Sunport Capital, LLC San Antonio TX US 110.0 
Sunray Advisors Owings Mills MD US 0.0 
Sunrise 401(K) Addison TX US 3.5 
Sunrise Advisors Leawood KS US 210.2 
Sunrise Capital Management, LLC Tucson AZ US 14.7 
Sunrise Fiduciary Financial Services LLC 0.0 
Sunrise Financial Tucson AZ US 0.0 
Sunrise Investment Advisers LLC 0.0 
Sunrise Investment Management LLC Tucson AZ US 15.3 
Sunrise Investment Services, Inc. 8.8 
Sunrise View Partners LLC Beverly Hills CA US 3.7 
Sunrise Wealth Management, Inc. 24.7 
Sunrise Wealth Management, LLC Tucson AZ US 18.0 
Sunsage Capital Management Grapevine TX US 40.1 
Sunset Financial Management, Inc. 0.0 
Sunset Financial Services, Inc. Kansas City MO US 50.4 
Sunset Partners Capital Management, LLC Northbrook IL US 0.0 
Sunstreet Securities, LLC 3.7 
Suntrust Investment Services, Inc. Atlanta GA US 5306.0 
Suntrust Robinson Humphrey, Inc. Atlanta GA US 1350.0 
Suoritus Partners, LLC New York NY US 31.6 
Superior Investment Company 5.0 
Superior Planning, Inc LA Jolla CA US 0.0 
Surety Investment Services Los Angeles CA US 14.8 
Surevest Capital Management Scottsdale AZ US 40.0 
Surge Capital Denver CO US 0.0 
Surgeons Asset Management, LLC Chicago IL US 22.6 
Survivor Financial Strategies, LLC Mt. Pleasant SC US 0.0 
Susan A. Nestor, P.C. Portland OR US 32.6 
Susan Carlisle Woodland Hills CA US 10.0 
Susan F. Sharin, L.L.C. 27.8 
Susan J Rede Monterey CA US 0.0 
Susan Lee, Ea, Cfp 0.0 
Susan Marie Clancy, Acadia Asset Management Waterford CT US 14.4 
Susan Schwartz Financial Planning Woburn MA US 0.0 
Sussex Financial Group, Inc Northbrook IL US 37.4 
Sussex Investments, Ltd. Beachwood OH US 43.5 
Sussie Jordan, Cfp 0.0 
Sustain Wealth Advisors, LLC Houston TX US 3.3 
Sustainable Asset Management USA, Inc. New York NY US 117.1 
Sustainable Financial Planning, LLC 0.0 
Sustainable Growth Advisers, LP Stamford CT US 1651.4 
Sustainable Wealth Management LLC Eugene OR US 125.8 
Sustainable Wisdom Financial Services PLC 0.0 
Sustainable Woodlands Partners, LLC Houston TX US 370.5 
Sutter Capital Management, LLC Moraga CA US 14.9 
Sutterfield Financial Group, Inc. Bartlesville OK US 108.7 
Suttle, Michael R. Albuquerque NM US 0.0 
Sutton & Associates, LLC 2.2 
Sutton Advisors, PLC Lansing MI US 0.0 
Sutton Place Financial, Inc. 0.0 
Sutton Wealth Advisors, Inc. Tampa FL US 0.0 
Suttonbrook Capital Management LP New York NY US 633.1 
Suzanne Hall Christian Claremont CA US 0.0 
Suzanne Joseph & Associates, Inc. 44.5 
Suzanne Krasna, Cfp Walnut Creek CA US 0.0 
Suzanne Seay 0.0 
Suzick, Czar Michael 0.0 
SV Capital Management Company 77.6 
SV Hedge Fund Management, LLC Ketchum ID US 1.0 
SVA Wealth Management, Inc. Madison WI US 924.8 
Svanoe, Svanoe and Associates, LLC 0.0 
Svar/Mm, LLC Santa Monica CA US 12.4 
SVB Asset Management San Francisco CA US 9209.2 
Svetanoff & Associates, P.C. Merrillville IN US 0.0 
Svim / Msm Ii, LLC Santa Monica CA US 0.1 
Svim / Msm, LLC Santa Monica CA US 3.0 
SVL Investment Management Placentia CA US 47.5 
Svof/Mm, LLC Santa Monica CA US 3252.7 
SW Asset Management LLC Newport Beach CA US 20.3 
SW Capital, Inc. 0.0 
Swaimbrown Wealth Management, LLC Spartanburg SC US 15.7 
Swain Hicks Financial Group, Inc. Pittsford NY US 0.0 
Swallow Farms Capital Management 27.5 
Swallows & Co., LLC Cookeville TN US 3.0 
Swan Advisors, LLC 7.3 
Swan Financial Planning, LLC East Windsor NJ US 0.0 
Swan Wealth Advisors, Inc. Durango CO US 103.4 
Swank Advisors, LP Dallas TX US 2.9 
Swanson & Co., Investing and Wealth Management 0.0 
Swanson Financial Strategies 0.0 
Swanson Investments, LLC 3.2 
Swarthmore Asset Management Ltd New York NY US 33.2 
Swarthmore Financial Advisors, Ltd. Media PA US 0.0 
Swbc Investment Advisory Services LLC Austin TX US 0.0 
Swbc Investment Company San Antonio TX US 190.6 
Swedan Investment Management, LLC 54.6 
Sweeney Asset Management LLC 145.1 
Sweeney Asset Management, LLC Oklahoma City OK US 4.6 
Sweeney, Panzarella & Associates L.P. Checktowaga NY US 0.5 
Sweetspot Investments LLC 0.0 
Sweetwater Asset Management LLC Canonsburg PA US 27.0 
Sweetwater Financial Advisors, LLC Sugar Land TX US 122.0 
Sweetwater Investments Inc Redmond WA US 1000.0 
Swenson Investment Mangement, LLC Murrieta CA US 0.0 
Swift Advisors, LLC 0.0 
Swift Co. Advisors, LLC Lawrenceville GA US 0.0 
Swift Creek Capital, Inc. Kalispell MT US 0.0 
Swift Wealth Management Chicago IL US 38.8 
Swisher Financial Concepts, Inc. Westerville OH US 0.0 
Swiss RE Portfolio Advisors Corporation New York NY US 690.1 
Swiss Select Advisors, LLC New York NY US 134.8 
Swissenterprise Inc. Naples FL US 0.0 
Swordtree Investment Advisors 11.5 
SWS Advisors, Inc. Columbus OH US 0.0 
SWS Financial Services Dallas TX US 129.5 
Swyden Asset Management, Inc. Kansas City MO US 26.9 
Sycamore Asset Management, LLC 0.0 
Sycamore Financial Advisors, Inc. Humboldt TN US 0.0 
Sycamore Financial Group Kokomo IN US 225.3 
Sycamore Investment Consulting Services, LLC Madison WI US 75.0 
Sycamore Investment Group, LLC Paola KS US 20.3 
Sycuan Capital Management, Inc. EL Cajon CA US 3.7 
Syena Capital Management, LLC Stamford CT US 1.9 
Sykes Financial Services Lake Oswego OR US 11.6 
SYM Financial Advisors Winona Lake IN US 826.4 
Symetra Investment Services, Inc. Bellevue WA US 164.7 
Symmetric Advisors Inc Minnetonka MN US 38.2 
Symmetric Wealth Management, LLC 6.0 
Symmetry Capital Advisors LLC Dallas TX US 142.2 
Symmetry Capital Management LLC San Francisco CA US 4.0 
Symmetry Capital Management, LLC 0.9 
Symmetry Partners Glastonbury CT US 3275.0 
Symons Capital Management Inc Pittsburgh PA US 394.4 
Symphonic Financial Advisors LLC New York NY US 383.0 
Symphony Asset Management LLC San Francisco CA US 8177.9 
Symphony Financial Planning LLC Davis CA US 27.5 
Symphony Financial Services, Inc. Akron OH US 109.5 
Symphony Investment Group LLC 0.0 
Symphony Partners Advisory Ltd., LLC Dublin OH US 7.6 
Symphony Retirement Planning, LLC Lombard IL US 0.0 
Syndicated Capital, Inc. Santa Monica CA US 27.0 
Synergist Wealth Advisors LLC Carmel CA US 21.6 
Synergy Brokerage 0.0 
Synergy Capital Advisors, LLC Austin TX US 1.9 
Synergy Capital Management, LLC 0.0 
Synergy Capital Managment, Inc. Oklahoma City OK US 9.5 
Synergy Capital, Inc. 0.0 
Synergy Financial Danville CA US 0.0 
Synergy Financial Group of Arizona, LLC Scottsdale AZ US 56.6 
Synergy Financial Management, LLC Seattle WA US 69.1 
Synergy Financial Strategies, LLC 0.0 
Synergy Investment Group, LLC Charlotte NC US 27.3 
Synergy Wealth Partners, LLC. Kennesaw GA US 0.0 
Synovus Securities, Inc. Columbus GA US 764.4 
Syntax Research, Inc. 24.3 
Synthesis Advisors, Inc. Nashville TN US 82.8 
System Research, LLC White Plains NY US 0.4 
Systematic Financial Associates, Inc. Branchburg NJ US 54.5 
Systematic Financial Management LP Teaneck NJ US 9633.5 
Systematic Financial, LLC 0.0 
Systematic Trading, LLC Alamo CA US 6.9 
Syverson & Company, LLC Overland Park KS US 32.4 
Syzygy Financial LLC Santa Ana CA US 0.0 
Szafran Capital 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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