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 | |
|---|---|---|---|---|---|---|---|
| 701 | WORTH FINANCIAL GROUP INC. | 13478 | $122.8M | $122.8M | 11 | 2026-04-30 | → |
| 702 | PORTFOLIO RESOURCES ADVISOR GROUP, INC. | 144601 | $121.9M | $121.9M | 17 | 2025-10-31 | → |
| 703 | REGAL ADVISORY SERVICES, INC. | 123842 | $121.4M | $121.4M | 25 | 2026-03-31 | → |
| 704 | BUCKRAM SECURITIES LTD | 126976 | $117.3M | $117.3M | 3 | 2026-02-28 | → |
| 705 | NEW VERNON INVESTMENT MANAGEMENT LLC | 160247 | $115.5M | $115.5M | 8 | 2026-04-30 | → |
| 706 | FINAMEX ASSET MANAGEMENT, LLC | 304260 | $113.9M | $113.9M | 4 | 2026-06-30 | → |
| 707 | CW SECURITIES, LLC | 124496 | $113.5M | $113.5M | 3 | 2026-06-30 | → |
| 708 | PARTNERS CAPITAL SERVICES, INC. | 127621 | $109.1M | $109.1M | 18 | 2026-02-28 | → |
| 709 | LAIDLAW WEALTH MANAGEMENT LLC | 150040 | $108.1M | $108.1M | 13 | 2026-04-30 | → |
| 710 | SAWTELLE, CHARLES SCOTT | 158732 | $107.0M | $107.0M | 1 | 2026-03-31 | → |
| 711 | STONEX INTERNATIONAL ADVISORS INC | 153799 | $106.7M | $106.7M | 15 | 2026-05-31 | → |
| 712 | RAISON ASSET MANAGEMENT CORP. | 282147 | $106.1M | $106.1M | 7 | 2026-06-30 | → |
| 713 | CAPITAL SYNERGY PARTNERS, INC. | 148733 | $102.3M | $102.3M | 46 | 2026-06-30 | → |
| 714 | WELLS GLOBAL INVESTMENT ADVISERS LLC | 150139 | $101.3M | $101.3M | 3 | 2026-02-28 | → |
| 715 | INDEXPERTS, LLC | 314858 | $100.9M | $100.9M | 4 | 2026-03-31 | → |
| 716 | INSIGHT SECURITIES, INC. | 5611 | $94.2M | $94.2M | 25 | 2025-10-31 | → |
| 717 | GRAVITY CAPITAL MANAGEMENT LLC | 137083 | $94.0M | $94.0M | 2 | 2026-03-31 | → |
| 718 | HENLEY & COMPANY WEALTH MANAGEMENT LLC | 144884 | $93.9M | $93.9M | 6 | 2026-03-31 | → |
| 719 | STATETRUST CAPITAL, LLC. | 114052 | $93.7M | $93.7M | 4 | 2026-03-31 | → |
| 720 | K R FINANCIAL LLC | 111282 | $90.7M | $90.7M | 2 | 2026-04-30 | → |
| 721 | MODERN CAPITAL MANAGEMENT, CO. | 306631 | $90.7M | $90.7M | 6 | 2026-03-31 | → |
| 722 | IBN FINANCIAL SERVICES, INC. | 42360 | $87.7M | $87.7M | 52 | 2026-04-30 | → |
| 723 | BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC | 326646 | $83.7M | $83.7M | 3 | 2026-06-30 | → |
| 724 | DUB ADVISORS LLC | 315589 | $81.8M | $81.8M | 8 | 2026-06-30 | → |
| 725 | BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY II, LLC | 292786 | $81.7M | $81.7M | 3 | 2026-06-30 | → |
| 726 | SEAPORT GLOBAL ASSET MANAGEMENT LLC | 298944 | $80.0M | $80.0M | 3 | 2026-03-31 | → |
| 727 | REVERE WEALTH MANAGEMENT LLC | 170560 | $78.3M | $78.3M | 7 | 2026-03-31 | → |
| 728 | COMPREHENSIVE CAPITAL MANAGEMENT, INC. | 119890 | $77.5M | $77.5M | 11 | 2026-06-30 | → |
| 729 | INVESTMENT RESEARCH CORP | 108208 | $76.3M | $76.3M | 21 | 2026-03-31 | → |
| 730 | GLOBAL INVESTMENT ADVISORY LLC | 310305 | $71.8M | $71.8M | 9 | 2026-06-30 | → |
| 731 | MADISON GLOBAL ADVISORS LLC | 288894 | $71.4M | $71.4M | 8 | 2026-04-30 | → |
| 732 | IBN ADVISORY SERVICES, INC. | 293288 | $69.8M | $69.8M | 8 | 2026-04-30 | → |
| 733 | CAPITAL MANAGEMENT ASSOCIATES INC | 104783 | $68.7M | $68.7M | 8 | 2026-03-31 | → |
| 734 | UMB PRIVATE WEALTH MANAGEMENT, LLC | 306374 | $68.4M | $68.4M | 94 | 2026-05-31 | → |
| 735 | CORINTHIAN PARTNERS ASSET MANAGEMENT LLC | 109385 | $62.9M | $62.9M | 7 | 2026-03-31 | → |
| 736 | R & R FINANCIAL PLANNERS, INC. | 113291 | $60.1M | $60.1M | 3 | 2026-03-31 | → |
| 737 | MUTUAL TRUST ASSET MGMT., INC. | 121364 | $58.4M | $58.4M | 4 | 2026-05-31 | → |
| 738 | BROOKS, WAYNE I | 168816 | $57.5M | $57.5M | 3 | 2026-03-31 | → |
| 739 | NGC FINANCIAL, LLC | 139992 | $57.1M | $57.1M | 1 | 2026-06-30 | → |
| 740 | OBERWEIS ASSET MANAGEMENT (HONG KONG) LIMITED | 296901 | $51.8M | $51.8M | 2 | 2026-03-31 | → |
| 741 | ANCHOR BAY PRIVATE WEALTH LLC | 327418 | $51.7M | $51.7M | 7 | 2026-03-31 | → |
| 742 | ALOOOLA, LLC | 325090 | $51.2M | $51.2M | 4 | 2026-03-31 | → |
| 743 | WEBULL ADVISORS LLC | 304881 | $48.9M | $48.9M | 16 | 2026-04-30 | → |
| 744 | AVENTURA CAPITAL MANAGEMENT, LLC | 142478 | $48.4M | $48.4M | 4 | 2026-03-31 | → |
| 745 | B. RILEY WEALTH PRIVATE SHARES, LLC | 315851 | $47.6M | $47.6M | 8 | 2026-03-31 | → |
| 746 | DAVIS CAPITAL ADVISORS, LLC | 153496 | $46.9M | $46.9M | 2 | 2026-03-31 | → |
| 747 | QUINCY WELLS ADVISORS, LLC | 307477 | $45.1M | $45.1M | 22 | 2026-03-31 | → |
| 748 | TAGLICH BROTHERS, INC. | 29102 | $37.7M | $37.7M | 5 | 2026-03-31 | → |
| 749 | BERENBERG ASSET MANAGEMENT LLC | 171274 | $34.8M | $34.8M | 30 | 2026-06-30 | → |
| 750 | BENJAMIN SECURITIES, INC. | 7754 | $33.6M | $33.6M | 12 | 2025-09-30 | → |
| 751 | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | 611 | $32.0M | $32.0M | 285 | 2026-06-30 | → |
| 752 | DOMINARI SECURITIES LLC | 18975 | $28.0M | $28.0M | 14 | 2026-03-31 | → |
| 753 | ST BERNARD ASSET MANAGEMENT, INC. | 307770 | $27.4M | $27.4M | 1 | 2026-02-28 | → |
| 754 | ALBERT INVESTMENTS, LLC | 298006 | $22.7M | $22.7M | 3 | 2026-02-28 | → |
| 755 | BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLC | 269982 | $22.4M | $22.4M | 3 | 2026-06-30 | → |
| 756 | PRCE MANAGEMENT LLC | 312533 | $22.2M | $22.2M | 5 | 2026-03-31 | → |
| 757 | NEWERA WEALTH ADVISORS, INC. | 331612 | $21.7M | $21.7M | 2 | 2025-02-28 | → |
| 758 | PUBLIC ADVISORS LLC | 318234 | $18.8M | $18.8M | 44 | 2026-03-31 | → |
| 759 | KAHN BROTHERS ASSET MANAGEMENT CORP | 105620 | $18.5M | $18.5M | 6 | 2026-03-31 | → |
| 760 | HUNTER PRIVATE CAPITAL ADVISORS, LLC | 333651 | $16.4M | $16.4M | 6 | 2026-03-31 | → |
| 761 | CLASS VI VENTURES, LLC | 328904 | $14.9M | $14.9M | 3 | 2026-03-31 | → |
| 762 | KEELEY-TETON ADVISORS, LLC | 286297 | $12.6M | $12.6M | 5 | 2026-03-31 | → |
| 763 | FBL WEALTH MANAGEMENT, LLC | 291396 | $9.2M | $9.2M | 207 | 2026-06-30 | → |
| 764 | J.P.MORGAN WEALTH MANAGEMENT SOLUTIONS INC. | 335439 | $9.0M | $9.0M | 65 | 2026-03-31 | → |
| 765 | UMB FINANCIAL SERVICES, INC. | 17073 | $5.0M | $5.0M | 55 | 2026-04-30 | → |
| 766 | IUR CAPITAL, LLC | 153630 | $4.7M | $4.7M | 1 | 2026-02-28 | → |
| 767 | INTEGRATED FINANCIAL PLANNING SERVICES | 17935 | $4.1M | $4.1M | 21 | 2026-05-31 | → |
| 768 | PENSERRA WEALTH MANAGEMENT LLC | 333218 | $2.5M | $2.5M | 2 | 2026-06-30 | → |
| 769 | ADVISIFI LLC | 332477 | $1.8M | $1.8M | 6 | 2026-03-31 | → |
| 770 | BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY V, LLC | 148519 | $1.5M | $1.5M | 14 | 2025-03-31 | → |
| 771 | BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC | 145166 | $1.3M | $1.3M | 14 | 2026-06-30 | → |
| 772 | BBAE ADVISORS LLC | 269900 | $1.2M | $1.2M | 3 | 2026-03-31 | → |
| 773 | HARVEST CAPITAL STRATEGIES LLC | 130037 | $1.1M | $1.1M | 57 | 2025-03-31 | → |
| 774 | ROSENBLATT GLOBAL ADVISORS LLC | 311654 | $1.0M | $1.0M | 4 | 2025-03-31 | → |
| 775 | OPPENHEIMERFUNDS INC | 104983 | $827,684 | $827,684 | 15 | 2026-03-31 | → |
| 776 | ALLIO ADVISORS LLC | 317938 | $556,892 | $556,892 | 6 | 2025-10-31 | → |
| 777 | VALLEY FINANCIAL MANAGEMENT, INC. | 105387 | $473,254 | $473,254 | 124 | 2026-02-28 | → |
| 778 | NEW DAY WEALTH MANAGEMENT, LLC | 327224 | $355,140 | $355,140 | 2 | 2026-02-28 | → |
| 779 | BANORTE VENTURES LTD. | 335283 | $52,430 | $52,430 | 26 | 2026-05-31 | → |
| 780 | TE ADVISORS LLC | 336139 | $10,715 | $10,715 | 5 | 2026-03-31 | → |
| 781 | VESTWEALTH, INC. | 316132 | $400 | $400 | 2 | 2026-03-31 | → |
| 782 | KRAKEN ADVISER LLC | 337920 | $377 | $377 | 5 | 2026-06-30 | → |
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