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 | |
|---|---|---|---|---|---|---|---|
| 501 | SECURITIZE CAPITAL LLC | 315859 | $530.2M | $530.2M | 2 | 2026-06-30 | → |
| 502 | MACQUARIE ASSET MANAGEMENT CREDIT ADVISERS US, LLC | 284788 | $525.6M | $525.6M | 166 | 2026-06-30 | → |
| 503 | CHURCHILL FINANCIAL ADVISORS, LLC | 333071 | $522.9M | $522.9M | 5 | 2026-03-31 | → |
| 504 | VOYA INVESTMENT MANAGEMENT (UK) LIMITED | 319170 | $522.1M | $522.1M | 10 | 2026-03-31 | → |
| 505 | MCLAUGHLIN RYDER INVESTMENTS, INC. | 147529 | $522.1M | $522.1M | 3 | 2026-03-31 | → |
| 506 | ORION INVESTMENT CO | 110867 | $515.4M | $515.4M | 6 | 2026-06-30 | → |
| 507 | BETA CAPITAL MANAGEMENT LLC | 154894 | $506.6M | $506.6M | 16 | 2026-03-31 | → |
| 508 | SMH CAPITAL ADVISORS LLC | 108344 | $503.1M | $503.1M | 7 | 2026-03-31 | → |
| 509 | KAHN BROTHERS ADVISORS LLC | 144368 | $498.6M | $498.6M | 6 | 2026-03-31 | → |
| 510 | REGISTER FINANCIAL ADVISORS, LLC | 143884 | $488.5M | $488.5M | 15 | 2026-04-30 | → |
| 511 | BROWN, LISLE/CUMMINGS, INC. | 1331 | $487.3M | $487.3M | 13 | 2026-06-30 | → |
| 512 | CAPE INVESTMENT ADVISORY, INC. | 146384 | $473.7M | $473.7M | 34 | 2026-03-31 | → |
| 513 | FIRST CITIZENS ASSET MANAGEMENT, INC | 140777 | $465.1M | $465.1M | 58 | 2026-05-31 | → |
| 514 | STRATEGAS ASSET MANAGEMENT, LLC | 172000 | $458.4M | $458.4M | 26 | 2026-06-30 | → |
| 515 | FLORIDA FINANCIAL ADVISORS, LLC | 288811 | $456.1M | $456.1M | 667 | 2026-04-30 | → |
| 516 | HAZARD & SIEGEL ADVISORY SERVICES LLC | 151462 | $449.8M | $449.8M | 24 | 2026-03-31 | → |
| 517 | MAXIM FINANCIAL ADVISORS LLC | 139366 | $445.5M | $445.5M | 35 | 2026-03-31 | → |
| 518 | LEFAVI WEALTH MANAGEMENT, INC. | 104961 | $445.0M | $445.0M | 5 | 2026-03-31 | → |
| 519 | SPIEGELMAN WEALTH MANAGEMENT, INC. | 336637 | $443.0M | $443.0M | 4 | 2026-06-30 | → |
| 520 | BATES FINANCIAL ADVISORS, INC. | 116515 | $439.2M | $439.2M | 5 | 2026-06-30 | → |
| 521 | BRANDON FINANCIAL PLANNING, INC. | 110267 | $434.9M | $434.9M | 5 | 2026-03-31 | → |
| 522 | FSB PREMIER WEALTH MANAGEMENT, INC. | 15898 | $431.7M | $431.7M | 12 | 2026-03-31 | → |
| 523 | CASCADE INVESTMENT GROUP, INC. | 35844 | $419.9M | $419.9M | 6 | 2026-03-31 | → |
| 524 | ARTIST CAPITAL MANAGEMENT LLC | 296835 | $417.6M | $417.6M | 4 | 2026-03-31 | → |
| 525 | SWS CAPITAL MANAGEMENT, LLC | 119043 | $413.1M | $413.1M | 10 | 2026-03-31 | → |
| 526 | BCI SECURITIES, INC. | 168047 | $402.2M | $402.2M | 74 | 2026-03-31 | → |
| 527 | O'NEIL GLOBAL ADVISORS, INC. | 308150 | $401.9M | $401.9M | 40 | 2026-05-31 | → |
| 528 | LESTER FINANCIAL GROUP, LLC | 317036 | $398.6M | $398.6M | 5 | 2026-02-28 | → |
| 529 | MIRAMONTES CAPITAL, LLC | 264786 | $396.9M | $396.9M | 15 | 2026-05-31 | → |
| 530 | MIURA INVESTMENT ADVISORS, INC | 283148 | $391.8M | $391.8M | 6 | 2026-06-30 | → |
| 531 | SIEBERT ADVISORNXT, LLC. | 288572 | $391.5M | $391.5M | 43 | 2026-03-31 | → |
| 532 | AVISEN ADVISORS, LLC | 113791 | $389.0M | $389.0M | 9 | 2026-03-31 | → |
| 533 | SOCOTRA MANAGEMENT, INC. | 328954 | $388.5M | $388.5M | 4 | 2026-03-31 | → |
| 534 | REALTA INVESTMENT ADVISORS, INC | 134952 | $385.4M | $385.4M | 61 | 2026-03-31 | → |
| 535 | CHATHAM INVESTMENT ADVISORS, LLC | 158802 | $383.5M | $383.5M | 2 | 2025-03-31 | → |
| 536 | THE STRATEGIC FINANCIAL ALLIANCE, INC. | 126514 | $382.0M | $382.0M | 56 | 2026-03-31 | → |
| 537 | WEALTH BENEFIT ADVISORS, LLC | 319324 | $380.9M | $380.9M | 5 | 2026-04-30 | → |
| 538 | RHODES INVESTMENT ADVISORS, INC. | 114245 | $376.3M | $376.3M | 9 | 2025-10-31 | → |
| 539 | CIBEST CAPITAL ADVISORY SERVICES LLC | 317663 | $374.8M | $374.8M | 7 | 2026-03-31 | → |
| 540 | AURORA PRIVATE WEALTH, INC. | 281604 | $374.0M | $374.0M | 25 | 2026-03-31 | → |
| 541 | BLACKRIDGE ASSET MANAGEMENT, LLC | 277085 | $370.3M | $370.3M | 72 | 2026-05-31 | → |
| 542 | MARKETRIDERS, INC. | 147963 | $363.0M | $363.0M | 6 | 2026-03-31 | → |
| 543 | ACP CAPITAL MANAGEMENT, LLC | 138556 | $360.3M | $360.3M | 17 | 2026-03-31 | → |
| 544 | POINT WINDWARD ADVISORS, INC. | 110457 | $358.6M | $358.6M | 9 | 2026-06-30 | → |
| 545 | PAPAMARKOU WELLNER ASSET MANAGEMENT, INC. | 131796 | $357.5M | $357.5M | 11 | 2026-03-31 | → |
| 546 | EGI FINANCIAL, INC. | 120607 | $348.7M | $348.7M | 8 | 2026-02-28 | → |
| 547 | GBM WEALTH MANAGEMENT, INC. | 145049 | $346.4M | $346.4M | 10 | 2026-06-30 | → |
| 548 | CRESCENT ADVISOR GROUP, INC. | 115974 | $344.4M | $344.4M | 18 | 2026-01-31 | → |
| 549 | BELL ASSET MANAGEMENT USA INC | 108666 | $344.3M | $344.3M | 0 | 2026-03-31 | → |
| 550 | WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC | 324173 | $342.8M | $342.8M | 8 | 2026-04-30 | → |
| 551 | AUGMENT ADVISORS, LLC | 335130 | $342.6M | $342.6M | 3 | 2026-04-30 | → |
| 552 | EUKLES ASSET MANAGEMENT, LLC | 156649 | $341.1M | $341.1M | 5 | 2026-03-31 | → |
| 553 | BLUEPRINT FUND MANAGEMENT LLC | 306419 | $340.5M | $340.5M | 9 | 2026-02-28 | → |
| 554 | MILLENNIAL ADVISERS, LLC. | 170847 | $339.4M | $339.4M | 14 | 2026-03-31 | → |
| 555 | UWHARRIE INVESTMENT ADVISORS, INC. | 117592 | $337.8M | $337.8M | 14 | 2026-03-31 | → |
| 556 | BERNARDI ASSET MANAGEMENT, LLC | 120110 | $331.0M | $331.0M | 22 | 2025-11-30 | → |
| 557 | VINCI PARTNERS USA LLC | 162399 | $327.0M | $327.0M | 14 | 2026-03-31 | → |
| 558 | INTREPID INVESTMENT MANAGEMENT, LLC | 192522 | $322.8M | $322.8M | 6 | 2026-03-31 | → |
| 559 | OPTIMUM INVESTMENT ADVISORS, LLC | 105182 | $321.8M | $321.8M | 5 | 2025-03-31 | → |
| 560 | EMERSON EQUITY LLC | 130032 | $321.7M | $321.7M | 343 | 2026-04-30 | → |
| 561 | B.B. GRAHAM & COMPANY, INC. | 41533 | $321.7M | $321.7M | 32 | 2026-03-31 | → |
| 562 | LANTERN WEALTH ADVISORS, LLC | 147420 | $319.9M | $319.9M | 26 | 2026-05-31 | → |
| 563 | ATOMIC INVEST LLC | 313255 | $319.5M | $319.5M | 21 | 2026-04-30 | → |
| 564 | MACQUARIE CAPITAL PARTNERS, LLC | 293250 | $317.6M | $317.6M | 80 | 2026-06-30 | → |
| 565 | TRUST ADVISORY GROUP LTD | 106926 | $313.5M | $313.5M | 22 | 2026-06-30 | → |
| 566 | TOPEL & DISTASI WEALTH MANAGEMENT, LLC | 285538 | $312.1M | $312.1M | 3 | 2026-03-31 | → |
| 567 | INVICTA ADVISORS LLC | 298868 | $310.2M | $310.2M | 44 | 2026-03-31 | → |
| 568 | OAKWOOD CAPITAL, INC. | 112399 | $304.2M | $304.2M | 20 | 2026-05-31 | → |
| 569 | KEY GROUP MANAGEMENT, INC. | 146054 | $303.8M | $303.8M | 5 | 2026-05-31 | → |
| 570 | DOMINARI IM LLC | 334275 | $302.4M | $302.4M | 3 | 2026-06-30 | → |
| 571 | ACCESS FINANCIAL GROUP, INC. | 33065 | $302.3M | $302.3M | 6 | 2026-03-31 | → |
| 572 | PINNACLE CAPITAL MANAGEMENT, LLC | 141661 | $300.5M | $300.5M | 7 | 2026-04-30 | → |
| 573 | USA FINANCIAL SECURITIES LLC | 103857 | $296.5M | $296.5M | 172 | 2026-03-31 | → |
| 574 | GENERATIVE INVESTMENT PARTNERS LP | 312473 | $293.9M | $293.9M | 4 | 2026-03-31 | → |
| 575 | MFA WEALTH SERVICES | 169013 | $293.1M | $293.1M | 3 | 2026-01-31 | → |
| 576 | MILLINGTON FINANCIAL ADVISORS, LLC | 156315 | $291.4M | $291.4M | 11 | 2026-03-31 | → |
| 577 | IDIRECT PRIVATE CREDIT ADVISORS LLC | 333824 | $290.9M | $290.9M | 158 | 2026-06-30 | → |
| 578 | LEIGH BALDWIN & CO., LLC | 38751 | $290.6M | $290.6M | 16 | 2026-05-31 | → |
| 579 | LIQUID CAPITAL MANAGEMENT LLC | 299577 | $287.6M | $287.6M | 4 | 2026-03-31 | → |
| 580 | N.L.C. LLC | 330231 | $286.1M | $286.1M | 2 | 2026-06-30 | → |
| 581 | WESBANCO SECURITIES, INC. | 43276 | $285.9M | $285.9M | 110 | 2026-05-31 | → |
| 582 | TAYLOR SECURITIES, INC. | 17575 | $283.8M | $283.8M | 6 | 2025-01-31 | → |
| 583 | ZOE FINANCIAL, INC. | 285158 | $283.5M | $283.5M | 45 | 2026-06-30 | → |
| 584 | BEAR CREEK FUND ADVISORS LLC | 329844 | $282.5M | $282.5M | 12 | 2026-05-31 | → |
| 585 | BENNINGTON FINANCIAL PLANNING GROUP | 116302 | $281.5M | $281.5M | 3 | 2026-03-31 | → |
| 586 | WMS ADVISORS, LLC | 122224 | $280.9M | $280.9M | 7 | 2026-02-28 | → |
| 587 | DOMINION PORTFOLIO MANAGEMENT, INC. | 106918 | $277.1M | $277.1M | 18 | 2026-06-30 | → |
| 588 | WILMINGTON CAPITAL SECURITIES, LLC | 133839 | $277.1M | $277.1M | 6 | 2026-03-31 | → |
| 589 | UHLMANN INVESTMENT MANAGEMENT, L.L.C. | 118025 | $273.2M | $273.2M | 11 | 2026-03-31 | → |
| 590 | E. A. HORWITZ LLC | 165561 | $272.6M | $272.6M | 13 | 2026-03-31 | → |
| 591 | WILMINGTON TRUST ASSET MANAGEMENT, LLC | 325489 | $271.4M | $271.4M | 40 | 2026-06-30 | → |
| 592 | OFG FINANCIAL SERVICES, INC. | 23940 | $271.0M | $271.0M | 30 | 2026-03-31 | → |
| 593 | DIVERSIFIED RESOURCES, LLC | 31346 | $268.8M | $268.8M | 6 | 2026-03-31 | → |
| 594 | CWS CAPITAL PARTNERS LLC | 166871 | $268.4M | $268.4M | 52 | 2026-05-31 | → |
| 595 | WIN ADVISORS, INC | 300351 | $266.8M | $266.8M | 4 | 2026-03-31 | → |
| 596 | TIMECAPITAL INVESTOR ADVISORY SERVICES INC | 105672 | $262.0M | $262.0M | 2 | 2026-06-30 | → |
| 597 | BRADFORD FINANCIAL SERVICES CORP | 133220 | $261.9M | $261.9M | 1 | 2026-02-28 | → |
| 598 | CHURCHILL NCPE ADVISOR LLC | 338431 | $259.5M | $259.5M | 206 | 2026-04-30 | → |
| 599 | BERMUDA INVESTMENT ADVISORY SERVICES LIMITED | 120715 | $257.4M | $257.4M | 6 | 2025-09-30 | → |
| 600 | SWBC INVESTMENT COMPANY | 140994 | $256.0M | $256.0M | 33 | 2026-03-31 | → |
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