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Registered Investment Advisors
Firm Name City State Country Assets ($M) 
Moab Capital Partners, LLC New York NY US 906.8 
Mobeus Equity Partners London, England UK 0.0 
Mobius Capital Management, LLC Pleasanton CA US 0.0 
Mobjack Investments 1.6 
Mockingbird Credit Partners, LLC Dallas TX US 0.0 
Model Capital Management LLC Boston MA US 46.9 
Modera Wealth Management, LLC Westwood NJ US 2066.3 
Modern Asset Management LLC Columbus NE US 14.7 
Modern Capital Associates, Inc. 5.7 
Modern Capital Concepts 0.0 
Modern Capital Group LLC New York NY US 40.5 
Modern Dollar Planning, LLC St. Louis MO US 3.6 
Modern Family Financial Planning, LLC 0.0 
Modern Portfolio Consultants, LLC 415.1 
Modern Wealth Coaching Cherry Hill NJ US 23.0 
Modern Wealth Concepts LLC 11.0 
Modernist Financial, LLC Portland OR US 25.9 
Modica Financial & Tax Service Atascadero CA US 3.4 
Modio Capital 0.0 
Modiri Asset Management Laguna Hills CA US 1.8 
Modl Investments, LLC 0.3 
Modular Financial Solutions, Inc. 25.0 
Modulo Capital Rio De Janeiro BR 0.0 
Modulus Capital Management, LP Bellaire TX US 0.0 
Moe Investment Management, LLC Spokane WA US 1.8 
Moelis Capital Partners LLC New York NY US 845.5 
Moelis Steele Creek Opportunity Manager LP New York NY US 0.0 
Moeller Financial Advisors Plain City OH US 0.0 
Moerus Capital Management LLC New York NY US 112.4 
Mogul Wealth Management, Inc. Manhattan Beach CA US 16.1 
Mohar Financial Planning 0.0 
Mohawk Capital Advisors, LLC 60.0 
Mohican Financial Management, LLC Wilton CT US 84.9 
Mohlman Asset Management Fund, LLC 0.0 
Mohlman Asset Management, LLC Fort Wayne IN US 178.0 
Mohr Davidow Ventures San Mateo CA US 0.0 
Moirai Wealth Management LLC 81.8 
Moisand Fitzgerald Tamayo, LLC Orlando FL US 466.5 
Mok Capital Management Los Altos CA US 57.7 
Mokosak Advisory Group, LLC Urbandale IA US 104.2 
Moler Capital Management Irvine CA US 130.8 
Moll Wealth Management, Inc Atlanta GA US 6.2 
Moller Financial Service Northfield IL US 350.6 
Mollot & Hardy, Inc. Amherst NY US 26.4 
Moloney Securities Asset Management LLC Manchester MO US 487.0 
Molotsky Tax Advisory Group, LLC Collingswood NJ US 10.8 
Molumphy Capital Management Burlingame CA US 29.3 
Mom And Dad Money 0.0 
Moment Ventures, LLC Palo Alto CA US 0.0 
Momentum Advisors New York NY US 67.5 
Momentum Capital Management 1.1 
Momentum Funds 1.0 
Momentum Investment Management, LLC 1.3 
Mona Moore & Associates 1.0 
Monaco Capital Management, LLC Virginia Beach VA US 74.0 
Monaco Wealth Management LLC 6.2 
Monaco Wealth Management, LLC Leawood KS US 18.3 
Monadnock Capital Partners, LLC 27.1 
Monarch New York NY US 5543.3 
Monarch Advisor Strategies, LLC Dana Point CA US 0.0 
Monarch Asset Management LLC Bradenton FL US 35.7 
Monarch Capital Group, LLC New York NY US 0.0 
Monarch Capital Management Inc Fort Wayne IN US 336.8 
Monarch Partners Asset Management LLC Boston MA US 1206.8 
Monarch Wealth Management Group, LLC 1.3 
Monarch Wealth Management, LLC Leawood KS US 27.6 
Monashee Investment Management, LLC Boston MA US 473.3 
Monashees Capital So Paulo BR 0.0 
Moncrief Willingham Energy Advisers, L.P. Houston TX US 27.7 
Mondrian Capital Management, LLC New York NY US 0.0 
Mondrian Investment LP London UK 59033.4 
Mondrian Investment Partners u.s., Inc. Philadelphia PA US 0.0 
Monea Investments, LLC Tacoma WA US 0.0 
Moneco Advisors Fairfield CT US 287.0 
Moneda International, Inc. Las Condes, Santiago CL 0.0 
Moneda S.a. Administradora General De Fondos Santiago CL 0.0 
Moneda Usa, Inc. New York NY US 447.3 
Monegy, Inc. Toronto, Ontrario CA 765.1 
Monere Wealth Management, Inc. Chicago IL US 46.6 
Moneta Group Investment Advisors, LLC Clayton MO US 16194.9 
Moneta Investment Consulting Inc 0.0 
Moneta Ventures, LLC Folsom CA US 0.0 
Monetary Management Corporation San Francisco CA US 20.3 
Monetary Management Group Inc St Louis MO US 336.1 
Monetary Solutions, Limited. Dayton OH US 85.7 
Monetta Financial Service Inc Wheaton IL US 171.5 
Monex Asset Management, Inc. Houston TX US 36.9 
Money Advisors, Inc. Augusta GA US 27.0 
Money Armour, Inc. Fort Lauderdale FL US 0.0 
Money Cat Advisors, LLC Kirkland WA US 0.0 
Money Concepts Advisory Service Palm Beach Gardens FL US 1419.2 
Money Consultants Advisory, Inc. 0.0 
Money Inight LLC Pleasantville NY US 0.0 
Money Intel 50.9 
Money Management Advisory Inc. Feasterville PA US 15.3 
Money Management Concepts Inc. Melbourne FL US 81.5 
Money Management Service Inc Birmingham AL US 200.4 
Money Manager Inc. West Palm Beach FL US 10.1 
Money Managers Advisory Oak Brook IL US 105.0 
Money Managers Inc San Antonio TX US 7.4 
Money Managers, Inc. Laguna Hills CA US 4.5 
Money Matters Avon CT US 72.4 
Money Matters Minnetonka MN US 9.3 
Money Matters With Ken Moraif Plano TX US 3872.7 
Money Methods Amarillo TX US 0.0 
Money Plans Silver Spring MD US 81.0 
Money For Life, LLC 2.8 
Money Positive 0.0 
Money Professionals Group LLC Orlando FL US 3.6 
Money Professionals, LLC Pensacola FL US 47.7 
Money Strategies Inc Melbourne FL US 25.5 
Money Watch Advisors Inc Lexington KY US 136.7 
Money Wize Management LLC 0.5 
Moneyblock Chicago IL US 7.7 
Moneycafe Advisors, LLC Denver CO US 3.2 
Moneyfull 0.0 
Moneyminders, LLC 27.5 
Moneypenny Wealth Management Palo Alto CA US 0.0 
Moneytime With Kevin Boden 0.0 
Moneywell 17.2 
Moneywise Financial Advisors 7.0 
Moneywise, Inc. Lexington KY US 17.9 
Monitor Clipper Partners, LLC Boston MA US 571.2 
Monitor Ventures Los Altos CA US 0.0 
Monitor Wealth Group Wooster OH US 25.0 
Monjazi Capital San Diego CA US 0.0 
Monk, Stan 50.4 
Monks Hill Ventures Pte. Limited. Singapore SG 0.0 
Monmouth Investment Advisors, LLC 6.9 
Monocot Wealth Management, LLC Agoura Hills CA US 149.4 
Monogram Capital Management, L.P. Beverly Hills CA US 0.0 
Monogram Capital Management, LLC 0.0 
Monograph Wealth Advisors, LLC El Segundo CA US 865.6 
Monolit Capital Management LP Darien CT US 0.0 
Monolith Advisors LLC Buffalo NY US 43.4 
Monomoy Capital Management, L.P. New York NY US 1209.0 
Monongahela Capital Management Harmony PA US 369.4 
Monroe Capital Bdc Advisors, LLC Chicago IL US 424.5 
Monroe Capital Management Advisors LLC Chicago IL US 4515.8 
Monroe Capital Partners, LLC Williamsburg VA US 43.7 
Monroe VOS Consulting Group, Inc. Houston TX US 4937.3 
Monson Wealth Management, Inc. Kennewick WA US 54.0 
Monsoon Capital, LLC Bethesda MD US 126.6 
Monsour Advisory Service, Inc. Roanoke VA US 46.4 
Mont Blanc Asset Los Angeles CA US 0.8 
Mont Pelerin Capital, LLC Irvine CA US 0.0 
Monta Vista Capital Cupertino CA US 0.0 
Montag Atlanta GA US 1609.5 
Montag & Caldwell, LLC Atlanta GA US 4627.2 
Montage Capital Campbell CA US 0.0 
Montage Ventures Menlo Park CA US 0.0 
Montagu Private Equity, LLP London UK 0.0 
Montague Street Capital Partners, LLC 0.0 
Montana Capital Management, LLC 4.2 
Montana Investment Advisors Inc Bozeman MT US 56.8 
Montana Landvest, Inc. Bozeman MT US 0.0 
Montanari Financial Advisors Inc. Norwell MA US 24.1 
Montcalm Tcr LLC San Francisco CA US 140.0 
Montchanin Asset Management, LLC Montchanin DE US 73.5 
Monte Capital Group LLC 40.2 
Monte Financial Group, LLC Guilford CT US 188.4 
Monte Largo Financial 0.0 
Montealegre Finanzas LLC Gardena CA US 0.0 
Montebello Partners LLC Suffern NY US 0.0 
Montecito Capital Management Santa Barbara CA US 11.8 
Montecito Investment Strategies 1.0 
Montello Wealth Management, Inc. Palm Beach Gardens FL US 26.0 
Monterey Asset Management 0.0 
Monterey Bay Asset Management LLC Monterey CA US 10.4 
Monterey Private Wealth, Inc. Monterey CA US 408.1 
Monterone Partners LLP London UK 90.0 
Montgomery Capital Advisors LLC New York NY US 74.4 
Montgomery Capital Management, LLC Newport News VA US 52.3 
Montgomery Financial Service, LLC Ocean Pines MD US 0.0 
Montgomery Investment Management Inc Rockville MD US 262.7 
Montgomery Taylor & Company, LLC Santa Rosa CA US 62.3 
Montgomery Wealth Management, LLC Montgomery TX US 0.0 
Monticello Asset Management, LLC New York NY US 154.9 
Monticello Associates Inc Denver CO US 0.0 
Monticello Capital Management, LLC 0.8 
Monticello Wealth Management, LLC San Antonio TX US 256.4 
Montis Financial, LLC Waltham MA US 494.9 
Montlake Capital Seattle WA US 0.0 
Montlake Financial Service, LLC Scottsdale AZ US 7.0 
Montpelier Investment Management LLP London UK 0.0 
Montreux Equity Partners San Francisco CA US 0.0 
Montrock48 Capital LP New York NY US 32.7 
Montrose Advisors Inc New York NY US 436.5 
Montrusco Bolton Investments Inc. Montreal CA 4450.3 
Montserrat Advisory Service, LLC Beverly MA US 2.1 
Montvue Capital Management, Inc. Lynchburg VA US 125.5 
Monument Capital Management, Inc 3.7 
Monument Group Wealth Advisors, LLC Concord MA US 236.2 
Monument Investments Inc. Albany TX US 31.6 
Monument Partners LLC 0.0 
Monument Wealth Advisory, LLC Plano TX US 0.0 
Monument Wealth Management Alexandria VA US 247.6 
Mooberry Financial Management, LLC Lawrence KS US 0.0 
Moody Aldrich Partners, LLC Marblehead MA US 243.5 
Moody Reid Financial Advisors L.P. Kansas City MO US 0.0 
Moody, Lynn & Lieberson, LLC Boston MA US 1041.4 
Moon Capital Management LP New York NY US 1784.5 
Moon Capital Management, LLC Knoxville TN US 172.5 
Moondance Investment Advisors, LLC New Hope PA US 18.3 
Mooney Wealth Advisory, Inc. Worthington OH US 0.0 
Moonlight Trading 0.2 
Moonrise Capital LP Greenwich CT US 0.0 
Moonstone Asset Management, Inc. Northbrook IL US 15.0 
Moore Capital Management, LP New York NY US 53824.1 
Moore Colson Wealth Management LLC Marietta GA US 41.0 
Moore Financial Advisors, Limited. 38.6 
Moore Financial Planning Advisors, LLC Davie FL US 3.1 
Moore Financial Strategies, LLC Bloomfield Hills MI US 0.0 
Moore Wealth Management LLC. Renton WA US 40.6 
Moore, Dorothea Jane 26.3 
Moore, Ronald Keith 0.0 
Moorfield Investment Management Limited London UK 0.0 
Moorhouse, W. Keith 0.0 
Mooring Fund Manager, LLC Vienna VA US 0.0 
Moors & Cabot, Inc Boston MA US 1217.1 
Moose Hill Advisors LLC 0.0 
Mora Wealth Management LLC Miami FL US 562.3 
Morado Ventures, LLC Palo Alto CA US 0.0 
Morales Wealth Management Tulsa OK US 20.0 
Morant Wright Management Limited London UK 4526.2 
Mordkovich Capital, LLC 6.3 
More For Less Financial Solutions, LLC 154.9 
Moreau Investment Management Co 22.4 
Moreton Asset Management, LLC Salt Lake City UT US 881.0 
Morgan Capital Management, Inc. Mercer Island WA US 0.0 
Morgan Creek Capital Management, LLC Chapel Hill NC US 2682.6 
Morgan Dempsey Capital Management LLC Menomonee Falls WI US 378.4 
Morgan Financial Inc Boyertown PA US 45.0 
Morgan International Trade Corporation Beaverton OR US 0.0 
Morgan Investments Inc Greenville SC US 40.9 
Morgan Kenwood Advisors, LLC Greendale WI US 82.2 
Morgan Legacy Group, Inc. 0.0 
Morgan Rio Capital Management, LLC New York NY US 431.8 
Morgan Stanley Purchase NY US 598502.7 
Morgan Stanley Aip GP LP West Conshohocken PA US 17291.0 
Morgan Stanley Infrastructure Inc. New York NY US 6388.2 
Morgan Stanley Investment Management Company Singapore SG 18135.5 
Morgan Stanley Investment Management Inc. New York NY US 277115.0 
Morgan Stanley Investment Management japan Co., Limited. Chiyoda-ku, Tokyo JP 3498.3 
Morgan Stanley Investment Management Limited London UK 55585.7 
Morgan Stanley Private Equity Asia, Inc. New York NY US 3915.7 
Morgan Stanley Real Estate Advisor, Inc. New York NY US 0.0 
Morgan Stanley Smith Barney Private Management Ii LLC New York NY US 0.0 
Morgan Stanley Smith Barney Private Management LLC New York NY US 180.6 
Morgan Stanley Smith Barney Venture Service LLC New York NY US 182.0 
Morgan Stevens Asset Management, LLC 9.4 
Morgan Wealth Management, Inc. Surprise AZ US 0.0 
Morgan Wealth Management, LLC Mchenry IL US 35.0 
Morgens, Waterfall, Vintiadis & Company, Inc. New York NY US 107.0 
Morgenthaler Management Corporation Portola Valley CA US 792.6 
Morgillo Financial Management, Inc. North Andover MA US 106.7 
Mori Huston Partners Miami FL US 165.3 
Morin Private Client Group, LLC 17.4 
Morison Capital Management, LLC 3.8 
Mork Capital Management Healdsburg CA US 0.0 
Morley Capital Management, Inc. Portland OR US 17674.2 
Morling Financial Advisors, LLC San Francisco CA US 164.1 
Morning Calm Fund Manager Corporation. West Palm Beach FL US 0.0 
Morningside Asset Management Atlanta GA US 39.9 
Morningside Investment Advisors San Francisco CA US 0.0 
Morningside Venture Capital Limited Hong Kong HK 0.0 
Morningstar Investment Management LLC Chicago IL US 64865.2 
Morningstar Investment Service LLC Chicago IL US 8489.5 
Morningstar Research Service LLC Chicago IL US 0.0 
Morningview Capital 0.0 
Morpheus Advisors Sherman Oaks CA US 0.0 
Morrill Financial Service 0.0 
Morris Asset Management 6.3 
Morris Associates LLC New York NY US 0.0 
Morris Capital Advisors Inc Malvern PA US 230.2 
Morris Capital Management, LLC 11.7 
Morris Financial Concepts, Inc. Mount Pleasant SC US 209.5 
Morris Group Advisory Service, Inc Indianapolis IN US 0.0 
Morris Retirement Advisors, LLC Parsippany NJ US 102.9 
Morris Wealth Management Anderson CA US 39.3 
Morrison Fiduciary Advisors, Inc. Pittsburgh PA US 1293.2 
Morrison Financial 21.0 
Morrison Street Capital, LLC Portland OR US 396.9 
Morse Asset Management, Inc. New York NY US 308.9 
Morse Capital Management, Inc. Tulsa OK US 12.0 
Morse Capital Partners, LLC Richmond VA US 125.6 
Morse Investment Management Company, Inc. Farmington CT US 3.8 
Mort Kelly Financial Service, LLC 0.6 
Morter Investment Management LLC 3.3 
Mortgage INDS Advisory Company New York NY US 12400.0 
Morton Capital Management, LLC Calabasas CA US 1638.3 
Morton Wealth Advisors Wellelsey MA US 69.4 
Morton Wealth Management LLC Greensboro NC US 356.0 
Mos Capital, Inc. Norfolk VA US 122.4 
Mosaic Advisors LLC Houston TX US 159.1 
Mosaic Family Wealth, LLC St. Louis MO US 440.4 
Mosaic Fi LLC 14.6 
Mosaic Financial Advisors, LLC 58.9 
Mosaic Financial Partners, Inc. San Francisco CA US 557.1 
Mosaic Pacific Investment Advisors 71.8 
Mosaic Research, Inc. Portland OR US 0.0 
Mosaic Wealth Management, LLC. 61.3 
Mosaico Management, LLC Falls Church VA US 0.0 
Mosaik Partners San Francisco CA US 0.0 
Mosby Lincoln Lc Wichita KS US 341.4 
Moscaret Investment Advisory Pasadena CA US 0.0 
Moseley Investment Management, Inc. Bradention FL US 119.5 
Moser & Heier Financial Solutions Lisle IL US 0.0 
Moser Capital Management 10.5 
Moser Wealth Advisors Bellevue WA US 74.0 
Moses Investment Company, LLC Greenwood Village CO US 0.0 
Mosher & Ellis Financial Planning, Inc. Lafayette CA US 0.0 
Moss & Company, P.a. Maitland FL US 35.8 
Moss Adams Wealth Advisors LLC Seattle WA US 2142.8 
Moss, Luse & Womble, LLC Addison TX US 54.5 
Mossman Financial Solutions LLC Kerrville TX US 3.9 
Mote Wealth Management, LLC 45.0 
Motif Capital Management, Inc. San Mateo CA US 176.1 
Motion Capital Management, LLC Houston TX US 28.3 
Motiv8 Investments LLC Stuart FL US 5.1 
Motive Capital Management, LLC New York NY US 0.0 
Motivus Capital, LLC 0.0 
Motiwala Capital Irving TX US 5.4 
Motley Fool Asset Management Alexandria VA US 594.6 
Motley Fool Wealth Management, LLC Alexandria VA US 1201.9 
Mott Capital Management LLC 1.7 
Motte Managers, LLC Perris CA US 0.0 
Motus Ventures, LLC Portland OR US 0.0 
Moudrost, LLC 0.0 
Moultrup Wealth Management, LLC 9.2 
Mouly Financial Management, Inc. Davie FL US 15.5 
Mount Flag, LLC 0.0 
Mount Kellett Capital Management LP New York NY US 2143.5 
Mount Kendal Limited London UK 0.0 
Mount Lucas Management LP Newtown PA US 1440.2 
Mount Vernon Associates Inc Baltimore MD US 132.6 
Mount Yale Asset Management, LLC Denver CO US 244.2 
Mount Yale Investment Advisors, LLC Denver CO US 1326.2 
Mountain Brook Capital Management, LLC New York NY US 0.0 
Mountain Capital Investment Advisors Inc Denver CO US 175.0 
Mountain Capital Management Inc 65.8 
Mountain Capital Management, LLC Houston TX US 667.8 
Mountain Cove Capital Management, LLC Fort Worth TX US 12.7 
Mountain Hill Investment Partners Atlantic Highlands NJ US 158.0 
Mountain Lake Investment Management LLC Mill Valley CA US 291.0 
Mountain Laurel Investment Group, LLC Charleston SC US 20.5 
Mountain Pacific Advisors, LLC Bellevue WA US 517.6 
Mountain Pacific Investment Advisers Inc Boise ID US 1081.2 
Mountain Pass Planning Hopewell Junction NY US 2.5 
Mountain Peak Wealth Advisors, LLC Fort Wayne IN US 0.0 
Mountain State Analytics, LLC 20.7 
Mountain Top Advisory Group Bernardsville NJ US 0.0 
Mountain Workhorse Capital, LLC 12.9 
Mountaineer Financial Planning, LLC Saint Albans VA US 0.0 
Mountaineer Partners Management, LLC New York NY US 86.0 
Mountebank, LLC 4.1 
Mountgrange Investment Management LLP London UK 0.0 
Movement Capital Jackson MS US 4.0 
Mowell Financial Group, NA Tallahassee FL US 36.9 
Mowery & Schoenfeld Wealth Management, LLC Lincolnshire IL US 0.0 
Mowery Capital Management, LLC Mckinney TX US 35.0 
Mowrey Investment Management 45.7 
Moy Investment Management, LLC Cincinnati OH US 30.0 
Moynahan & Associates, LLC 0.0 
Mozaic, LLC Beverly Hills CA US 1716.8 
Mp & H Financial Group, LLC Libertyville IL US 26.2 
Mp Capital Partners 6.6 
Mp Financial Service, LLC Springfield MA US 0.0 
Mp Ria, LLC Denver CO US 1042.2 
Mp Securitized Credit Partners L.P. New York NY US 1447.1 
Mp Townsend Financial Portland OR US 3.6 
Mpa Capital Management LLC Wilmington DE US 73.2 
Mpc Advisers, LLC Brookfield WI US 417.0 
Mpc Capital Advisors, LLC New York NY US 11721.4 
Mpc Wealth Management Omaha NE US 7.0 
Mpe Partners Cleveland OH US 0.0 
Mpi Investment Management Inc Hinsdale IL US 330.7 
Mpm Asset Management LLC Cambridge MA US 1025.4 
Mpm Oncology Impact Management, L.P. Cambridge MA US 470.5 
Mpm Oncology Innovations Management LLC Cambridge MA US 0.0 
Mpm Wealth Advisors Holland OH US 472.8 
Mpmg & Partners Usa, LLC New York NY US 37.1 
Mpn Capital Management LLC 0.0 
Mps-loria Financial Planners,LLC Burr Ridge IL US 354.7 
Mpwm Advisory Solutions LLC New York NY US 52.7 
Mq Capital Advisors, LLC Aliso Viejo CA US 0.6 
Mqs Advisors, LLC Englewood NJ US 0.0 
Mqs Management, LLC New York NY US 675.7 
Mr Advisors, LLC 17.4 
Mra Associates Phoenix AZ US 2177.0 
Mraz, Amerine & Associates, Inc. Modesto CA US 448.0 
Mrd Financial Advisors, LLC Norfolk VA US 0.0 
Mrd, Inc. 85.4 
Mrec Management, LLC Calabasas CA US 106.6 
Mrj Capital, Inc. New York NY US 165.2 
Mrl Wealth Strategies 0.0 
Mrm Group St Louis MO US 69.9 
Mrm Wealth Management, LLC Penfield NY US 28.4 
Mrp Capital Investments, LLC 73.7 
Ms Capital Partners Adviser Inc. New York NY US 4237.1 
Ms Financial Service, LLC Reading MA US 28.0 
Msa Capital Management, Pllc 0.0 
Msa Financial Braintree MA US 337.7 
Msc Adviser I, LLC Houston TX US 1102.2 
Msci Esg Research LLC New York NY US 0.0 
Msd Partners, L.P. New York NY US 7436.3 
Msh Asset Management, LLC Dallas TX US 34.0 
Msh Capital Advisors LLC Scottsdale AZ US 407.2 
Msm Financial Strategies 22.6 
Msouth Equity Partners, LLC Atlanta GA US 1126.6 
Msq Capital, LLC San Francisco CA US 0.0 
Msr Capital Management San Francisco CA US 85.7 
Msref Iii, Inc. New York NY US 11.1 
Msref Iv, LLC New York NY US 132.6 
Msref Real Estate Advisor, Inc. New York NY US 7179.5 
Msref V, LLC. New York NY US 371.9 
Msress Iii Manager, LLC. New York NY US 1788.7 
Msrh, LLC New York NY US 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 $100 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.

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