Research Report · 2026-06-30
Registered Investment Advisers Reporting Referral Compensation
SEC-registered investment advisers that report referral compensation arrangements, ranked by AUM.
Firms
782
Total AUM
$44.22T
Median AUM
$1.39B
Latest Filing
2026-06-30
| Rank↕ | Firm Name | CRD↕ | AUM↕ | AUM↕ | Employees↕ | Latest Filing | |
|---|---|---|---|---|---|---|---|
| 201 | TD PRIVATE CLIENT WEALTH LLC | 164484 | $8.57B | $8.57B | 671 | 2026-06-30 | → |
| 202 | MUTUAL ADVISORS, LLC | 167658 | $8.55B | $8.55B | 208 | 2026-06-30 | → |
| 203 | VISTA CREDIT PARTNERS, L.P. | 329152 | $8.42B | $8.42B | 51 | 2026-03-31 | → |
| 204 | JONATHAN ROBERTS ADVISORY GROUP, INC. | 112294 | $8.25B | $8.25B | 550 | 2026-03-31 | → |
| 205 | CION ARES MANAGEMENT, LLC | 284930 | $8.00B | $8.00B | 18 | 2026-05-31 | → |
| 206 | RBC PRIVATE COUNSEL (USA) INC. | 109648 | $7.89B | $7.89B | 1,455 | 2026-06-30 | → |
| 207 | CADARET, GRANT & CO., INC. | 10641 | $7.67B | $7.67B | 692 | 2025-07-31 | → |
| 208 | AVANTAX PLANNING PARTNERS, INC. | 106237 | $7.57B | $7.57B | 261 | 2026-06-30 | → |
| 209 | HUDSON HOUSING CAPITAL LLC | 161240 | $7.44B | $7.44B | 89 | 2026-03-31 | → |
| 210 | VANGUARD PERSONALIZED INDEXING MANAGEMENT | 285366 | $7.26B | $7.26B | 29 | 2026-03-31 | → |
| 211 | PRAIRIE CAPITAL MANAGEMENT GROUP, LLC | 311623 | $7.13B | $7.13B | 47 | 2026-03-31 | → |
| 212 | PYRFORD INTERNATIONAL LTD | 105646 | $7.07B | $7.07B | 35 | 2026-06-30 | → |
| 213 | BLUE OWL TECHNOLOGY CREDIT ADVISORS II LLC | 316821 | $6.95B | $6.95B | 250 | 2026-03-31 | → |
| 214 | MESIROW FINANCIAL PRIVATE EQUITY ADVISORS, INC. | 112084 | $6.94B | $6.94B | 19 | 2026-06-30 | → |
| 215 | SMITH SHELLNUT WILSON LLC | 106235 | $6.92B | $6.92B | 16 | 2026-06-30 | → |
| 216 | HARBOR INVESTMENT ADVISORY, LLC | 151085 | $6.87B | $6.87B | 35 | 2026-03-31 | → |
| 217 | IMPERIAL FUND ASSET MANAGEMENT LLC | 317525 | $6.84B | $6.84B | 12 | 2026-06-30 | → |
| 218 | LADENBURG THALMANN ASSET MANAGEMENT INC | 108604 | $6.68B | $6.68B | 30 | 2026-05-31 | → |
| 219 | LEVEL FOUR ADVISORY SERVICES, LLC | 134086 | $6.54B | $6.54B | 136 | 2026-03-31 | → |
| 220 | OSAIC INSTITUTIONS, INC. | 35371 | $6.49B | $6.49B | 1,839 | 2026-05-31 | → |
| 221 | KOVACK ADVISORS, INC. | 140808 | $6.28B | $6.28B | 320 | 2026-04-30 | → |
| 222 | J. SAFRA ASSET MANAGEMENT CORPORATION | 131243 | $6.26B | $6.26B | 22 | 2026-03-31 | → |
| 223 | CREATIVEONE WEALTH, LLC | 281213 | $6.25B | $6.25B | 222 | 2026-05-31 | → |
| 224 | SIGMA PLANNING CORPORATION | 110692 | $6.10B | $6.10B | 471 | 2026-05-31 | → |
| 225 | DAIWA ASSET MANAGEMENT (AMERICA) LTD. | 126191 | $5.96B | $5.96B | 12 | 2026-06-30 | → |
| 226 | COLUMBIA WANGER ASSET MANAGEMENT, LLC | 111168 | $5.83B | $5.83B | 13 | 2025-06-30 | → |
| 227 | LASALLE ST. INVESTMENT ADVISORS, L.L.C. | 109701 | $5.74B | $5.74B | 155 | 2026-03-31 | → |
| 228 | STRATOS WEALTH ADVISORS LLC | 283816 | $5.57B | $5.57B | 170 | 2026-06-30 | → |
| 229 | SULLIVAN REALTY CAPITAL, LLC | 158988 | $5.57B | $5.57B | 76 | 2026-03-31 | → |
| 230 | WAINWRIGHT INVESTMENT COUNSEL LLC | 108711 | $5.52B | $5.52B | 17 | 2026-03-31 | → |
| 231 | LARSON FINANCIAL GROUP, LLC | 140599 | $5.48B | $5.48B | 131 | 2026-03-31 | → |
| 232 | CUSO FINANCIAL SERVICES, L.P. | 42132 | $5.38B | $5.38B | 791 | 2025-08-31 | → |
| 233 | FAMILY MANAGE LLC | 104951 | $5.31B | $5.31B | 23 | 2026-04-30 | → |
| 234 | JANNEY CAPITAL MANAGEMENT LLC | 159506 | $5.31B | $5.31B | 12 | 2025-11-30 | → |
| 235 | PICTET NORTH AMERICA ADVISORS SA | 142512 | $5.30B | $5.30B | 18 | 2026-05-31 | → |
| 236 | REHMANN CAPITAL ADVISORY GROUP, LLC | 123047 | $5.27B | $5.27B | 39 | 2026-03-31 | → |
| 237 | DAVIDSON INVESTMENT ADVISORS, INC. | 110552 | $5.20B | $5.20B | 31 | 2025-12-31 | → |
| 238 | BEAR CREEK ASSET MANAGEMENT, LLC | 137677 | $5.19B | $5.19B | 8 | 2026-03-31 | → |
| 239 | INSIGNEO ADVISORY SERVICES, LLC | 282589 | $5.16B | $5.16B | 223 | 2026-06-30 | → |
| 240 | JEFFERIES INVESTMENT ADVISERS LLC | 325421 | $5.15B | $5.15B | 119 | 2026-06-30 | → |
| 241 | TECTONIC ADVISORS LLC | 139713 | $5.14B | $5.14B | 6 | 2026-03-31 | → |
| 242 | DWS INVESTMENTS HONG KONG LIMITED | 139666 | $5.10B | $5.10B | 62 | 2026-05-31 | → |
| 243 | ALIYA CAPITAL PARTNERS LLC | 305988 | $5.09B | $5.09B | 18 | 2026-05-31 | → |
| 244 | STONEX ADVISORS INC. | 174182 | $5.09B | $5.09B | 220 | 2026-06-30 | → |
| 245 | OBERWEIS ASSET MANAGEMENT INC | 105471 | $5.06B | $5.06B | 31 | 2026-03-31 | → |
| 246 | PRECEPT ADVISORY GROUP LLC | 152776 | $5.01B | $5.01B | 8 | 2025-03-31 | → |
| 247 | STIFEL INDEPENDENT ADVISORS, LLC | 28218 | $5.01B | $5.01B | 198 | 2026-03-31 | → |
| 248 | STASH INVESTMENTS LLC | 226550 | $4.92B | $4.92B | 124 | 2026-04-30 | → |
| 249 | NATIONS FINANCIAL GROUP, INC. | 44181 | $4.77B | $4.77B | 94 | 2026-03-31 | → |
| 250 | KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. | 286032 | $4.70B | $4.70B | 9 | 2026-06-30 | → |
| 251 | DIVERSIFY ADVISORY SERVICES, LLC | 326060 | $4.65B | $4.65B | 206 | 2026-06-30 | → |
| 252 | ANCORA ADVISORS LLC | 124674 | $4.61B | $4.61B | 46 | 2026-03-31 | → |
| 253 | ORIGIN ASSET MANAGEMENT LLP | 139897 | $4.61B | $4.61B | 12 | 2025-02-28 | → |
| 254 | HAUSSMANN 1864 CAPITAL MANAGEMENT LLC | 332278 | $4.60B | $4.60B | 5 | 2026-03-31 | → |
| 255 | INNOVATION X ADVISORS, LLC | 322292 | $4.52B | $4.52B | 4 | 2026-03-31 | → |
| 256 | SPIRE WEALTH MANAGEMENT, LLC | 113908 | $4.51B | $4.51B | 145 | 2026-06-30 | → |
| 257 | OSAIC FS, INC. | 3870 | $4.48B | $4.48B | 655 | 2025-01-31 | → |
| 258 | BLUE OWL DIGITAL INFRASTRUCTURE TRUST ADVISORS LLC | 337770 | $4.42B | $4.42B | 130 | 2026-03-31 | → |
| 259 | GLADSTONE MANAGEMENT CORPORATION | 122482 | $4.42B | $4.42B | 45 | 2026-04-30 | → |
| 260 | INVESCO INVESTMENT ADVISERS LLC | 104885 | $4.37B | $4.37B | 27 | 2026-03-31 | → |
| 261 | MORGAN STANLEY EATON VANCE CLO MANAGER LLC | 309263 | $4.33B | $4.33B | 17 | 2026-05-31 | → |
| 262 | MAM AMERICAS, INC. | 282639 | $4.27B | $4.27B | 262 | 2026-06-30 | → |
| 263 | B. RILEY WEALTH ADVISORS, INC. | 115927 | $4.21B | $4.21B | 268 | 2026-03-31 | → |
| 264 | STIFEL CAPITAL MANAGEMENT, LLC | 328365 | $4.20B | $4.20B | 9 | 2026-03-31 | → |
| 265 | STAR MOUNTAIN FUND MANAGEMENT, LLC | 164728 | $4.18B | $4.18B | 121 | 2026-03-31 | → |
| 266 | IPG INVESTMENT ADVISORS, LLC | 152990 | $4.14B | $4.14B | 39 | 2026-03-31 | → |
| 267 | FOUNDERS FINANCIAL SECURITIES, LLC | 137945 | $4.14B | $4.14B | 139 | 2026-04-30 | → |
| 268 | FREEPORT FINANCIAL PARTNERS LLC | 166682 | $4.07B | $4.07B | 24 | 2026-03-31 | → |
| 269 | KEEL POINT, LLC | 127902 | $4.07B | $4.07B | 92 | 2026-06-30 | → |
| 270 | MONEY CONCEPTS CAPITAL CORP | 12963 | $4.07B | $4.07B | 478 | 2026-03-31 | → |
| 271 | THOROUGHBRED FINANCIAL SERVICES, LLC | 47893 | $4.04B | $4.04B | 31 | 2026-03-31 | → |
| 272 | CORECAP ADVISORS, LLC | 158819 | $3.99B | $3.99B | 116 | 2026-03-31 | → |
| 273 | ANCORA PRIVATE WEALTH ADVISORS, LLC | 124845 | $3.90B | $3.90B | 53 | 2026-04-30 | → |
| 274 | KINGSWOOD WEALTH ADVISORS, LLC | 288792 | $3.80B | $3.80B | 88 | 2026-05-31 | → |
| 275 | NEXT FINANCIAL GROUP, INC. | 46214 | $3.77B | $3.77B | 564 | 2025-08-31 | → |
| 276 | GFS ADVISORS LLC | 143110 | $3.76B | $3.76B | 11 | 2026-03-31 | → |
| 277 | AUSDAL FINANCIAL PARTNERS, INC. | 7995 | $3.73B | $3.73B | 306 | 2026-04-30 | → |
| 278 | RESOURCE CAPITAL INVESTMENT CORPORATION | 166722 | $3.71B | $3.71B | 4 | 2026-03-31 | → |
| 279 | THURSTON SPRINGER ADVISORS, LLC | 299201 | $3.68B | $3.68B | 93 | 2025-11-30 | → |
| 280 | APOLLO MANAGER, LLC | 327828 | $3.56B | $3.56B | 3,564 | 2026-03-31 | → |
| 281 | PNC TC, LLC | 172753 | $3.55B | $3.55B | 186 | 2026-06-30 | → |
| 282 | WESTERN INTERNATIONAL SECURITIES, INC. | 39262 | $3.51B | $3.51B | 407 | 2025-06-30 | → |
| 283 | SAGE, RUTTY & CO., INC. | 3254 | $3.46B | $3.46B | 36 | 2026-03-31 | → |
| 284 | MOORS & CABOT, INC. | 594 | $3.44B | $3.44B | 121 | 2025-09-30 | → |
| 285 | XML FINANCIAL, LLC | 284987 | $3.30B | $3.30B | 54 | 2026-06-30 | → |
| 286 | M HOLDINGS SECURITIES, INC. | 43285 | $3.21B | $3.21B | 1,442 | 2026-03-31 | → |
| 287 | GIRARD ADVISORY SERVICES, LLC | 39163 | $3.18B | $3.18B | 60 | 2026-03-31 | → |
| 288 | LION STREET ADVISORS, LLC | 167610 | $3.18B | $3.18B | 152 | 2025-04-30 | → |
| 289 | ON INVESTMENT MANAGEMENT CO | 105662 | $3.15B | $3.15B | 196 | 2026-04-30 | → |
| 290 | SANTANDER SECURITIES LLC | 41791 | $3.14B | $3.14B | 449 | 2026-05-31 | → |
| 291 | SVB WEALTH LLC | 172832 | $3.10B | $3.10B | 73 | 2026-03-31 | → |
| 292 | LEUCADIA ASSET MANAGEMENT LLC | 121767 | $3.06B | $3.06B | 33 | 2026-04-30 | → |
| 293 | ALLOCATE MANAGEMENT COMPANY, LLC | 316814 | $3.00B | $3.00B | 16 | 2026-03-31 | → |
| 294 | COLUMBIA CENT CLO ADVISERS, LLC | 310864 | $3.00B | $3.00B | 24 | 2026-03-31 | → |
| 295 | CREATIVE FINANCIAL DESIGNS, INC. | 109032 | $2.94B | $2.94B | 170 | 2026-03-31 | → |
| 296 | REGAL INVESTMENT ADVISORS LLC | 125004 | $2.88B | $2.88B | 131 | 2026-05-31 | → |
| 297 | ROTHSCHILD INVESTMENT LLC | 728 | $2.79B | $2.79B | 39 | 2026-03-31 | → |
| 298 | ARETE WEALTH ADVISORS, LLC | 145488 | $2.75B | $2.75B | 135 | 2026-06-30 | → |
| 299 | VALLEY WEALTH MANAGERS, INC. | 108879 | $2.69B | $2.69B | 54 | 2026-03-31 | → |
| 300 | CIM CAPITAL, LLC | 277038 | $2.68B | $2.68B | 160 | 2026-04-30 | → |
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