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Registered Investment Advisors
           
           
Firm Name City State Country Assets ($M) 
U-Win Investments Inc. 6.5 
U. David Weintraub Advisory, LLC Valley Stream NY US 16.0 
U.S. Advisors, Inc. Alexandria VA US 36.0 
U.S. Asset Management Corp. Boca Raton FL US 0.9 
U.S. Bancorp Investments, Inc. Saint Paul MN US 219.2 
U.S. Financial Services, LLC Fairfield NJ US 0.0 
U.S. Global Investors, Inc. San Antonio TX US 2043.4 
U.S. Institutional Corporation St. Louis MO US 0.0 
U.S. Investment Advisors, Inc Columbus OH US 0.0 
U.S. Investors International Portland OR US 0.0 
U.S. One, Inc. Reno NV US 0.0 
U.S. Stock Enhancement Corporation Madison WI US 1.4 
U.S. Trust Hedge Fund Management, Inc. Stamford CT US 982.3 
U.S. Trust New York Asset Management Division New York NY US 5538.0 
U.S. Wealth Group, LLC Woodbury NY US 65.0 
UA Fund II LLC New York NY US 399.7 
Ua, LLC New York NY US 1027.0 
Uandi Management Group, LLC 2.0 
Uas Asset Management New York NY US 113.2 
Ubp Asset Management LLC New York NY US 10636.2 
Ubs Agrivest LLC Hartford CT US 0.0 
Ubs Enso Management LLC New York NY US 18.2 
Ubs Eucalyptus Management, L.L.C. New York NY US 157.8 
Ubs Financial Services Inc. Weehawken NJ US 162890.4 
Ubs Fund Advisor, L.L.C. New York NY US 2200.4 
Ubs Global Asset Management (Americas) Inc. Chicago IL US 143998.7 
Ubs Global Asset Management (Us) Inc. New York NY US 99.9 
Ubs International Inc. New York NY US 1465.2 
Ubs Juniper Management, L.L.C. New York NY US 37.9 
Ubs Oconnor LLC Chicago IL US 5120.0 
Ubs Realty Investors LLC Hartford CT US 0.0 
Ubs Securities LLC Stamford CT US 0.0 
Ubs Sequoia Management, L.L.C. New York NY US 51.8 
Ubs Swiss Financial Advisers Zurich CH 2414.0 
Ubs Tamarack Management, L.L.C. New York NY US 203.3 
Ubs Willow Management, L.L.C. New York NY US 251.3 
Ucb Asset Management, Inc. City of Industry CA US 1.8 
Ucb Financial Advisers Inc. Miami FL US 0.9 
Ucb Investment Services, Inc. San Francisco CA US 0.0 
Ucs Financial Services 29.1 
Udall Investments, Inc. 0.0 
Udazo Planning, Inc. 0.0 
Udine Wealth Management Inc. 10.0 
Ufg Advisors Limited Hamilton BM 299.4 
Uhl Financial Management, LLC Denver CO US 2.0 
Uhleman Financial Services Inc 0.0 
Uhler and Vertich Financial Planners Fort Myers FL US 49.8 
Uhlmann Investment Management, LLC Chicago IL US 0.0 
Uhy Capital Advisors, LLC Houston TX US 0.0 
Ulivi Wealth Management Orange CA US 1.7 
Ulland Investment Advisors Minneapolis MN US 54.4 
Ullico Investment Advisors, Inc. Washington DC US 886.8 
Ullmann Financial Group, Inc. Ponte Vedra Beach FL US 44.1 
Ulrich Wealth Management Federal Way WA US 7.0 
Ultimate Retirement Products, Inc. Southampton NY US 0.0 
Ultimate Wealthcare, Incorporated Irvine CA US 0.0 
Ultralat Securities Inc. Miami FL US 0.0 
Uma Financial Services Inc Salt Lake City UT US 265.0 
Umb Financial Services, Inc. Kansas City MO US 29.0 
Umbaugh Financial Plymouth IN US 9.5 
Umg Financial Advisors, LLC Vienna VA US 0.1 
Umj (Singapore) Pte. Ltd. Singapore SG 70.6 
Underwood Asset Management, Inc. 0.0 
Underwood Financial Mgmt, Inc. 5.0 
Unfcu Financial Advisors Long Island City NY US 35.0 
Ung Financial & Insurance Services 0.7 
Unicorn Advisory Services, LLC 0.0 
Unicredit Capital Markets, Inc New York NY US 27.5 
Unified Financial Concepts & Insurance Services Orange CA US 0.0 
Unified Wealth Management, LLC Scottsdale AZ US 66.5 
Union Capital Company Tucson AZ US 0.0 
Union Capital Management Corp New Orleans LA US 28.2 
Union Financial Advisors, Inc. Tulsa OK US 0.0 
Union Financial Partners, San Francisco, Inc. San Francisco CA US 31.5 
Union Heritage Capital Management, LLC Detroit MI US 81.0 
Union Investment Advisors, Inc Lincoln NE US 96.3 
Union Square Investment Co San Francisco CA US 80.2 
Unionbanc Investment Services, LLC Los Angeles CA US 37.6 
Unison Advisors LLC 0.0 
United Advisors Secaucus NJ US 62.2 
United Advisors Corporation Indianapolis IN US 0.0 
United American Capital Corp Worthington OH US 2760.3 
United Asset Strategies Inc. Garden City NY US 207.8 
United Brokerage Services Inc Parkersburg WV US 8.6 
United Brokers Corp. S.A. Montevideo UY 8.5 
United Capital Asset Management, LLC Key Biscayne FL US 619.0 
United Capital Financial Advisers Newport Beach CA US 1214.9 
United Capital Investment Advisers, Inc Newport Beach CA US 660.0 
United Ecoenergy Advisors, LLC 0.0 
United Equity Securities, LLC Houston TX US 0.0 
United Global Securities, Inc. Sugarland TX US 15.0 
United Investment Managers, Inc. Chicago IL US 246.0 
United Investors Group Crystal Lake IL US 9.7 
United Methodist Foundation Baltimore-Washington Conference Columbia MD US 25.6 
United Portfolio Management Inc. 2.0 
United Securities Advisor 0.0 
United Securities Alliance, Inc. Greenwood Village CO US 43.8 
United Solutions Richardson TX US 20.6 
United States Growth Company, LLC 10.0 
United States Steel & Carnegie Pension Fund Inc New York NY US 7943.8 
United Wealth Management, LLC 16.0 
Universa Investments L.P. Santa Monica CA US 1793.2 
Universal Advisory Services Albuquerque NM US 194.2 
Universal Capital Management, Inc. 3.7 
Universal Financial Planning Consultants, Inc. St. Louis MO US 40.9 
Universal Financial Services Inc. Guaynabo PR US 58.5 
Universe, Inc. Brooklyn NY US 6.2 
University Capital Strategies Group Saint Paul MN US 105.0 
Univest Investments, Inc. Souderton PA US 19.5 
Uniwealth Advisors, Inc. Palmetto Bay FL US 67.0 
Unlimited Timing Service Inc 2.3 
Upal OR United Professionals Assoc. Ltd. Tulsa OK US 1.8 
Upland Capital Management, LLC Ridgefield CT US 7.3 
Upper Quadrants Capital Management, LLC Chicago IL US 8.3 
Upright Financial Corp Livingston NJ US 26.4 
Upromise Investment Advisors, LLC Newton MA US 13327.0 
Upstate Advisors Group Liverpool NY US 3.5 
Upstate Advisors Inc Rochester NY US 26.7 
Upstate Financial Group, LLC Mendon NY US 5.9 
Upton Advisors, LLC Amherst NH US 50.0 
Urb Advisors, LLC Los Angeles CA US 0.0 
Urban Financial Advisory Corporation Chicago IL US 521.1 
Urdang Capital Management Inc Plymouth Meeting PA US 1126.8 
Urdang Securities Management Inc Plymouth Meeting PA US 1366.3 
Urist Financial and Retirement Planning, Inc. East Syracuse NY US 0.0 
Ursaner & Associates White Plains NY US 0.0 
US Advisory Group Inc Wakefield MA US 39.0 
US Asset Management, LLC Pittsburgh PA US 382.7 
US Financial Advisors, LLC Braintree MA US 144.7 
US Inner Circle Enterprises, LLC Irvine CA US 0.0 
USA Asset Management, LLC Las Vegas NV US 13.2 
USA Financial Planning Partners, Inc. Falls Church VA US 3.5 
USA Financial Resources Group, Inc. Coram NY US 0.0 
USA Financial Securities Corporation Ada MI US 30.5 
USA Investments & Insurance Advisors, Inc. Sarasota FL US 1.2 
USA Tax & Insurance Services, Inc. Palm Harbor FL US 25.3 
USA Wealth Management LLC Grand Rapids MI US 95.8 
Usaa Financial Planning Services San Antonio TX US 0.0 
Usaa Investment Management Company San Antonio TX US 58248.9 
Usaworld Capital LLC 0.0 
Usd Equity, LLC San Diego CA US 0.0 
Usf Advisors, LLC Houston TX US 72.4 
Usf Alternative Services, LLC Houston TX US 17.0 
Usf Services, LLC Houston TX US 574.8 
Usi Advisors Glastonbury CT US 2821.2 
Usi Securities, Inc. Glastonbury CT US 0.0 
Usretirement Plan Portfolio Advisors, LLC Rockford IL US 0.0 
Ust Advisers, Inc. Stamford CT US 17970.4 
UT Investment Management Corp. Hartford CT US 23715.7 
Utendahl Capital Management Cfi LLC Orlando FL US 696.0 
Utendahl Capital Management LP New York NY US 2171.0 
Utica Capital Advisers, Inc. Tulsa OK US 44.3 
Uvest Financial Services Group, Inc. Charlotte NC US 771.0 
           
 
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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