Research Report · 2026-06-30
Registered Investment Advisers Requiring Prepayment
SEC-registered investment advisers that report prepayment for advisory services, ranked by AUM.
Firms
1,000
Total AUM
$113.05T
Median AUM
$25.79B
Latest Filing
2026-06-30
| Rank↕ | Firm Name | CRD↕ | AUM↕ | AUM↕ | Employees↕ | Latest Filing | |
|---|---|---|---|---|---|---|---|
| 601 | BOYD WATTERSON ASSET MANAGEMENT, LLC | 107808 | $18.81B | $18.81B | 140 | 2026-03-31 | → |
| 602 | BLACKSTONE LIQUID CREDIT STRATEGIES LLC | 144537 | $18.79B | $18.79B | 711 | 2026-05-31 | → |
| 603 | ALTIMETER CAPITAL MANAGEMENT, LP | 160017 | $18.75B | $18.75B | 35 | 2026-03-31 | → |
| 604 | STRATOS WEALTH PARTNERS, LTD | 153184 | $18.65B | $18.65B | 618 | 2026-06-30 | → |
| 605 | 1823 PARTNERS (US) LLC | 333927 | $18.53B | $18.53B | 52 | 2026-03-31 | → |
| 606 | COMPREHENSIVE FINANCIAL MANAGEMENT LLC | 159641 | $18.52B | $18.52B | 38 | 2026-03-31 | → |
| 607 | AB CARVAL INVESTORS, LP | 141819 | $18.44B | $18.44B | 169 | 2026-03-31 | → |
| 608 | THE ROCK CREEK GROUP, LP | 125409 | $18.38B | $18.38B | 62 | 2026-05-31 | → |
| 609 | SABA CAPITAL MANAGEMENT, L.P. | 154362 | $18.30B | $18.30B | 67 | 2026-05-31 | → |
| 610 | SPECTRUM ASSET MANAGEMENT, INC. | 300463 | $18.30B | $18.30B | 27 | 2026-03-31 | → |
| 611 | SIGULER GUFF ADVISERS LLC | 106788 | $18.26B | $18.26B | 130 | 2026-03-31 | → |
| 612 | WERTZ YORK CAPITAL MANAGEMENT GROUP, LLC | 115344 | $18.16B | $18.16B | 20 | 2026-03-31 | → |
| 613 | TOWNSQUARE CAPITAL, LLC | 288576 | $18.07B | $18.07B | 53 | 2026-03-31 | → |
| 614 | MACKENZIE INVESTMENTS CORPORATION | 165899 | $18.07B | $18.07B | 16 | 2026-03-31 | → |
| 615 | ASPIRIANT, LLC | 146720 | $18.05B | $18.05B | 218 | 2026-05-31 | → |
| 616 | STEPHENS INC. | 3496 | $18.04B | $18.04B | 611 | 2026-06-30 | → |
| 617 | MERCURY ADVISORY, LLC | 308960 | $17.94B | $17.94B | 7 | 2026-05-31 | → |
| 618 | WELLINGTON MANAGEMENT JAPAN PTE. LTD. | 165192 | $17.75B | $17.75B | 65 | 2026-03-31 | → |
| 619 | F/M INVESTMENTS LLC | 304405 | $17.74B | $17.74B | 83 | 2026-03-31 | → |
| 620 | MODERA WEALTH MANAGEMENT, LLC | 155649 | $17.68B | $17.68B | 238 | 2026-06-30 | → |
| 621 | MERGANSER CAPITAL MANAGEMENT, LLC | 169258 | $17.66B | $17.66B | 32 | 2026-03-31 | → |
| 622 | VINVA INVESTMENT MANAGEMENT LIMITED | 334058 | $17.64B | $17.64B | 28 | 2025-07-31 | → |
| 623 | GEOWEALTH MANAGEMENT LLC | 148222 | $17.57B | $17.57B | 88 | 2026-03-31 | → |
| 624 | ENVESTNET PORTFOLIO SOLUTIONS, INC. | 109662 | $17.35B | $17.35B | 532 | 2026-06-30 | → |
| 625 | RWC ASSET MANAGEMENT LLP | 168656 | $17.32B | $17.32B | 149 | 2026-03-31 | → |
| 626 | EVOKE WEALTH, LLC | 300856 | $17.29B | $17.29B | 96 | 2026-04-30 | → |
| 627 | FIERA CAPITAL INC. | 113638 | $17.28B | $17.28B | 95 | 2026-03-31 | → |
| 628 | CAPITAL WEALTH PLANNING, LLC | 150764 | $17.25B | $17.25B | 30 | 2026-03-31 | → |
| 629 | INDEPENDENT ADVISOR ALLIANCE, LLC | 168267 | $17.23B | $17.23B | 251 | 2026-06-30 | → |
| 630 | MANNING & NAPIER ADVISORS, LLC | 105992 | $17.03B | $17.03B | 195 | 2026-06-30 | → |
| 631 | PRINCIPAL SECURITIES, INC. | 1137 | $17.02B | $17.02B | 1,464 | 2026-03-31 | → |
| 632 | ALLEN INVESTMENT MANAGEMENT, LLC | 124454 | $16.91B | $16.91B | 28 | 2026-03-31 | → |
| 633 | DEGROOF PETERCAM ASSET MANAGEMENT | 166048 | $16.87B | $16.87B | 191 | 2026-04-30 | → |
| 634 | NATIONWIDE INVESTMENT ADVISORS, LLC | 142373 | $16.73B | $16.73B | 401 | 2026-05-31 | → |
| 635 | T. ROWE PRICE AUSTRALIA LIMITED | 290594 | $16.71B | $16.71B | 55 | 2026-03-31 | → |
| 636 | SUSTAINABLE GROWTH ADVISERS, LP | 127447 | $16.66B | $16.66B | 33 | 2026-03-31 | → |
| 637 | KEYSTATE ADVISORY, LLC | 156226 | $16.59B | $16.59B | 8 | 2026-03-31 | → |
| 638 | COMPASS ROSE ASSET MANAGEMENT, LP | 297010 | $16.50B | $16.50B | 37 | 2026-03-31 | → |
| 639 | RA CAPITAL MANAGEMENT, LP | 160174 | $16.40B | $16.40B | 185 | 2026-03-31 | → |
| 640 | O'CONNOR ALTERNATIVE INVESTMENTS, LLC | 336332 | $16.37B | $16.37B | 65 | 2026-05-31 | → |
| 641 | IFP ADVISORS, LLC | 125112 | $16.29B | $16.29B | 328 | 2026-06-30 | → |
| 642 | NATIONAL INVESTMENT SERVICES OF AMERICA, LLC | 307169 | $16.25B | $16.25B | 38 | 2026-05-31 | → |
| 643 | INVUS FINANCIAL ADVISORS, LLC | 161603 | $16.21B | $16.21B | 70 | 2026-05-31 | → |
| 644 | GREAT LAKES ADVISORS, LLC | 110757 | $16.16B | $16.16B | 84 | 2026-05-31 | → |
| 645 | FARTHER FINANCE ADVISORS, LLC | 302050 | $16.01B | $16.01B | 571 | 2026-03-31 | → |
| 646 | ARK INVESTMENT MANAGEMENT LLC | 169525 | $15.98B | $15.98B | 58 | 2026-04-30 | → |
| 647 | MAVERICK CAPITAL LTD | 108262 | $15.85B | $15.85B | 98 | 2026-03-31 | → |
| 648 | MYCIO WEALTH PARTNERS, LLC | 134436 | $15.78B | $15.78B | 67 | 2026-03-31 | → |
| 649 | OEP CAPITAL ADVISORS, L.P. | 173626 | $15.73B | $15.73B | 77 | 2026-03-31 | → |
| 650 | CONCURRENT INVESTMENT ADVISORS, LLC | 323135 | $15.73B | $15.73B | 188 | 2026-06-30 | → |
| 651 | E FUND MANAGEMENT (HONG KONG) CO., LIMITED | 169726 | $15.72B | $15.72B | 99 | 2026-03-31 | → |
| 652 | MASON INVESTMENT ADVISORY SERVICES INC | 111113 | $15.67B | $15.67B | 72 | 2026-03-31 | → |
| 653 | BENJAMIN F. EDWARDS & COMPANY, INCORPORATED | 146936 | $15.66B | $15.66B | 736 | 2026-03-31 | → |
| 654 | CLARFELD FINANCIAL ADVISORS, LLC | 106743 | $15.54B | $15.54B | 204 | 2026-04-30 | → |
| 655 | PFS INVESTMENTS INC. | 10111 | $15.54B | $15.54B | 3,992 | 2026-03-31 | → |
| 656 | EVERCORE WEALTH MANAGEMENT, LLC | 148399 | $15.52B | $15.52B | 97 | 2026-03-31 | → |
| 657 | OSAIC ADVISORY SERVICES, LLC | 171070 | $15.48B | $15.48B | 2,180 | 2026-06-30 | → |
| 658 | INTECH INVESTMENT MANAGEMENT LLC | 119232 | $15.47B | $15.47B | 41 | 2026-03-31 | → |
| 659 | ALLIANZ GLOBAL INVESTORS ASIA PACIFIC LIMITED | 289358 | $15.46B | $15.46B | 118 | 2026-05-31 | → |
| 660 | INVESTMENT RESEARCH & ADVISORY GROUP, INC. | 126246 | $15.42B | $15.42B | 19 | 2026-03-31 | → |
| 661 | ABBOTT CAPITAL MANAGEMENT LLC | 106332 | $15.33B | $15.33B | 60 | 2026-03-31 | → |
| 662 | BALLENTINE PARTNERS, LLC | 152802 | $15.32B | $15.32B | 125 | 2026-05-31 | → |
| 663 | C WORLDWIDE ASSET MANAGEMENT FONDSMAEGLERSELSKAB A/S | 173234 | $15.28B | $15.28B | 112 | 2026-03-31 | → |
| 664 | CAVANAL HILL INVESTMENT MANAGEMENT, INC. | 110774 | $15.23B | $15.23B | 47 | 2026-03-31 | → |
| 665 | CW ADVISORS, LLC | 310873 | $15.22B | $15.22B | 152 | 2026-05-31 | → |
| 666 | NATIONWIDE ASSET MANAGEMENT, LLC | 143668 | $15.19B | $15.19B | 212 | 2026-03-31 | → |
| 667 | BLACKSTONE IRELAND LIMITED | 292121 | $15.19B | $15.19B | 711 | 2026-05-31 | → |
| 668 | BLEAKLEY FINANCIAL GROUP, LLC | 318366 | $15.13B | $15.13B | 205 | 2026-04-30 | → |
| 669 | CV ADVISORS LLC | 164817 | $15.08B | $15.08B | 82 | 2026-04-30 | → |
| 670 | SETANTA ASSET MANAGEMENT LTD | 281781 | $15.02B | $15.02B | 24 | 2025-03-31 | → |
| 671 | SIT FIXED INCOME ADVISORS II, LLC | 108271 | $14.97B | $14.97B | 73 | 2026-06-30 | → |
| 672 | THE LONDON COMPANY OF VIRGINIA, LLC | 106654 | $14.89B | $14.89B | 56 | 2026-03-31 | → |
| 673 | TROY ASSET MANAGEMENT LTD | 319174 | $14.80B | $14.80B | 43 | 2025-06-30 | → |
| 674 | CI GLOBAL INVESTMENTS INC. | 156752 | $14.74B | $14.74B | 2 | 2026-03-31 | → |
| 675 | YOUSIF CAPITAL MANAGEMENT, LLC | 312511 | $14.73B | $14.73B | 17 | 2026-03-31 | → |
| 676 | ATLANTA CONSULTING GROUP ADVISORS, LLC | 288169 | $14.70B | $14.70B | 23 | 2026-04-30 | → |
| 677 | ZACKS INVESTMENT MANAGEMENT, INC. | 110897 | $14.59B | $14.59B | 132 | 2026-05-31 | → |
| 678 | NAPIER PARK GLOBAL CAPITAL (US) LP | 166333 | $14.57B | $14.57B | 137 | 2026-05-31 | → |
| 679 | FREESTONE CAPITAL MANAGEMENT, LLC | 145711 | $14.54B | $14.54B | 120 | 2026-06-30 | → |
| 680 | PAAMCO PRISMA, LLC | 108989 | $14.45B | $14.45B | 37 | 2026-05-31 | → |
| 681 | PINE RIDGE ADVISERS LLC | 296362 | $14.42B | $14.42B | 14 | 2026-03-31 | → |
| 682 | PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED | 322390 | $14.38B | $14.38B | 39 | 2026-03-31 | → |
| 683 | M&G INVESTMENTS (USA) INC. | 305254 | $14.32B | $14.32B | 47 | 2026-03-31 | → |
| 684 | INFRARED CAPITAL PARTNERS LIMITED | 161187 | $14.30B | $14.30B | 148 | 2026-05-31 | → |
| 685 | T. ROWE PRICE SINGAPORE PRIVATE LTD | 155831 | $14.28B | $14.28B | 81 | 2026-03-31 | → |
| 686 | BSP NY LLC | 128557 | $14.24B | $14.24B | 18 | 2026-03-31 | → |
| 687 | AMOVA ASSET MANAGEMENT ASIA LIMITED | 161589 | $14.23B | $14.23B | 137 | 2026-06-30 | → |
| 688 | CONGRESS ASSET MANAGEMENT COMPANY, LLP | 105161 | $14.20B | $14.20B | 79 | 2026-03-31 | → |
| 689 | WELLINGTON MANAGEMENT HONG KONG LIMITED | 165208 | $14.15B | $14.15B | 105 | 2026-03-31 | → |
| 690 | APTUS CAPITAL ADVISORS, LLC | 167626 | $14.14B | $14.14B | 40 | 2026-03-31 | → |
| 691 | FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP. | 106277 | $14.09B | $14.09B | 39 | 2026-05-31 | → |
| 692 | PRIME BUCHHOLZ LLC | 106455 | $14.07B | $14.07B | 127 | 2026-03-31 | → |
| 693 | CIRCLE WEALTH MANAGEMENT, LLC | 142878 | $14.07B | $14.07B | 23 | 2026-04-30 | → |
| 694 | RELATED FUND MANAGEMENT, LLC | 156543 | $14.02B | $14.02B | 69 | 2026-03-31 | → |
| 695 | COLDSTREAM CAPITAL MANAGEMENT INC | 108805 | $13.93B | $13.93B | 207 | 2026-03-31 | → |
| 696 | ULLICO INVESTMENT ADVISORS, INC. | 106628 | $13.92B | $13.92B | 92 | 2026-03-31 | → |
| 697 | MISSION WEALTH MANAGEMENT, LP | 113057 | $13.91B | $13.91B | 184 | 2026-04-30 | → |
| 698 | ADVISOR PARTNERS II, LLC | 321633 | $13.91B | $13.91B | 26 | 2026-03-31 | → |
| 699 | DYNASTY WEALTH MANAGEMENT, LLC | 153377 | $13.88B | $13.88B | 200 | 2026-03-31 | → |
| 700 | LIBREMAX CAPITAL, LLC | 155486 | $13.87B | $13.87B | 74 | 2026-03-31 | → |
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