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 | |
|---|---|---|---|---|---|---|---|
| 801 | APELLA CAPITAL, LLC | 171106 | $11.07B | $11.07B | 179 | 2026-06-30 | → |
| 802 | PURE FINANCIAL ADVISORS, LLC | 144316 | $11.05B | $11.05B | 204 | 2026-02-28 | → |
| 803 | ASSET PRESERVATION ADVISORS, LLC | 106741 | $11.05B | $11.05B | 28 | 2026-03-31 | → |
| 804 | ATRIA INVESTMENTS, INC. | 143593 | $11.05B | $11.05B | 60 | 2026-03-31 | → |
| 805 | NICOLA WEALTH MANAGEMENT LTD. | 173201 | $11.04B | $11.04B | 531 | 2026-03-31 | → |
| 806 | NEUBERGER BERMAN ASIA LIMITED | 154286 | $11.01B | $11.01B | 62 | 2026-03-31 | → |
| 807 | SCHRODER INVESTMENT MANAGEMENT (JAPAN) LIMITED | 306616 | $11.01B | $11.01B | 81 | 2026-05-31 | → |
| 808 | CASTLE HOOK PARTNERS LP | 284968 | $10.96B | $10.96B | 35 | 2026-03-31 | → |
| 809 | MORGAN STANLEY INVESTMENT MANAGEMENT COMPANY | 126896 | $10.94B | $10.94B | 51 | 2026-03-31 | → |
| 810 | FIFTH THIRD SECURITIES, INC. | 628 | $10.92B | $10.92B | 13,533 | 2026-06-30 | → |
| 811 | MODERN WEALTH MANAGEMENT, LLC | 324624 | $10.90B | $10.90B | 253 | 2026-04-30 | → |
| 812 | SHEPHERD KAPLAN KROCHUK, LLC | 127304 | $10.88B | $10.88B | 34 | 2026-03-31 | → |
| 813 | FIRST SENTIER INVESTORS (SINGAPORE) | 165124 | $10.84B | $10.84B | 55 | 2026-03-31 | → |
| 814 | CBRE INVESTMENT MANAGEMENT LISTED REAL ASSETS LLC | 106256 | $10.80B | $10.80B | 60 | 2026-03-31 | → |
| 815 | ACR ALPINE CAPITAL RESEARCH, LLC | 110933 | $10.79B | $10.79B | 35 | 2026-06-30 | → |
| 816 | BARON CAPITAL MANAGEMENT, INC. | 110791 | $10.79B | $10.79B | 221 | 2026-05-31 | → |
| 817 | GUARDIAN CAPITAL LP | 105078 | $10.68B | $10.68B | 90 | 2026-03-31 | → |
| 818 | FERGUSON WELLMAN CAPITAL MANAGEMENT, INC. | 104692 | $10.66B | $10.66B | 68 | 2026-06-30 | → |
| 819 | GREAT VALLEY ADVISOR GROUP, LLC | 123913 | $10.60B | $10.60B | 325 | 2026-06-30 | → |
| 820 | TRINITY STREET ASSET MANAGEMENT LLP | 152728 | $10.58B | $10.58B | 30 | 2026-06-30 | → |
| 821 | JAMES HAMBRO & PARTNERS LLP | 286283 | $10.56B | $10.56B | 166 | 2025-11-30 | → |
| 822 | COOKE & BIELER, L.P. | 113859 | $10.56B | $10.56B | 32 | 2026-03-31 | → |
| 823 | GENERATION INVESTMENT MANAGEMENT US LLP | 132728 | $10.54B | $10.54B | 27 | 2026-05-31 | → |
| 824 | ELDRIDGE STRUCTURED CREDIT ADVISERS, LLC | 313420 | $10.53B | $10.53B | 292 | 2026-03-31 | → |
| 825 | RUANE, CUNNIFF & GOLDFARB L.P. | 285971 | $10.53B | $10.53B | 52 | 2026-03-31 | → |
| 826 | GREGORY J. SCHWARTZ & CO., INC. | 7294 | $10.49B | $10.49B | 30 | 2026-03-31 | → |
| 827 | ABS INVESTMENT MANAGEMENT LLC | 127290 | $10.48B | $10.48B | 47 | 2026-06-30 | → |
| 828 | MAJEDIE ASSET MANAGEMENT LIMITED | 284796 | $10.48B | $10.48B | 61 | 2024-12-31 | → |
| 829 | MILL CREEK CAPITAL ADVISORS, LLC | 141470 | $10.47B | $10.47B | 42 | 2026-03-31 | → |
| 830 | PINNACLE ASSOCIATES, LTD. | 110631 | $10.39B | $10.39B | 69 | 2026-03-31 | → |
| 831 | JOHNSON WEALTH INC. | 125557 | $10.35B | $10.35B | 142 | 2026-03-31 | → |
| 832 | SHUSTER ADVISORY GROUP, LLC | 170233 | $10.32B | $10.32B | 15 | 2026-05-31 | → |
| 833 | PARALLEL ADVISORS, LLC | 140800 | $10.31B | $10.31B | 137 | 2026-06-30 | → |
| 834 | LANSDOWNE PARTNERS (UK) LLP | 172244 | $10.30B | $10.30B | 53 | 2026-06-30 | → |
| 835 | BARTLETT & CO. WEALTH MANAGEMENT LLC | 292246 | $10.25B | $10.25B | 84 | 2026-03-31 | → |
| 836 | CARY STREET PARTNERS INVESTMENT ADVISORY LLC | 128545 | $10.25B | $10.25B | 182 | 2026-03-31 | → |
| 837 | TOCQUEVILLE ASSET MANAGEMENT LP | 105690 | $10.24B | $10.24B | 73 | 2026-03-31 | → |
| 838 | SOUND POINT LUNA LLC | 128132 | $10.24B | $10.24B | 39 | 2026-03-31 | → |
| 839 | CALEDONIA (PRIVATE) INVESTMENTS PTY LIMITED | 161331 | $10.23B | $10.23B | 28 | 2025-09-30 | → |
| 840 | FRANKLIN PARK ASSOCIATES, LLC | 126508 | $10.21B | $10.21B | 29 | 2026-03-31 | → |
| 841 | CALLAN FAMILY OFFICE, LLC | 317446 | $10.21B | $10.21B | 49 | 2026-03-31 | → |
| 842 | ALGERT GLOBAL LLC | 125523 | $10.20B | $10.20B | 24 | 2026-05-31 | → |
| 843 | IDR INVESTMENT MANAGEMENT, LLC | 286208 | $10.19B | $10.19B | 15 | 2026-03-31 | → |
| 844 | ARIN RISK ADVISORS LLC | 151491 | $10.19B | $10.19B | 11 | 2026-03-31 | → |
| 845 | KOPERNIK GLOBAL INVESTORS, LLC | 168625 | $10.18B | $10.18B | 44 | 2026-03-31 | → |
| 846 | CHAMPLAIN INVESTMENT PARTNERS, LLC | 132474 | $10.18B | $10.18B | 32 | 2026-03-31 | → |
| 847 | VALMARK ADVISERS INC | 108050 | $10.17B | $10.17B | 280 | 2026-06-30 | → |
| 848 | SHEPHERD KAPLAN LLC | 128244 | $10.16B | $10.16B | 42 | 2026-03-31 | → |
| 849 | CONRAD SIEGEL INVESTMENT ADVISORS, INC. | 123560 | $10.12B | $10.12B | 23 | 2025-09-30 | → |
| 850 | SPROTT ASSET MANAGEMENT USA INC. | 139022 | $10.12B | $10.12B | 64 | 2026-03-31 | → |
| 851 | FOUNDATIONS INVESTMENT ADVISORS LLC | 175083 | $10.10B | $10.10B | 353 | 2026-06-30 | → |
| 852 | OPENARC CORPORATE ADVISORY, LLC | 336837 | $10.09B | $10.09B | 146 | 2026-05-31 | → |
| 853 | DUPONT CAPITAL MANAGEMENT CORP | 107145 | $10.09B | $10.09B | 33 | 2026-01-31 | → |
| 854 | CHURCHILL MANAGEMENT CORP | 109651 | $10.08B | $10.08B | 55 | 2025-07-31 | → |
| 855 | FIDUCIARY COUNSELLING INC | 104753 | $10.06B | $10.06B | 87 | 2026-03-31 | → |
| 856 | CHOATE INVESTMENT ADVISORS LLC | 106109 | $10.05B | $10.05B | 34 | 2026-03-31 | → |
| 857 | HANTZ FINANCIAL SERVICES, INC. | 46047 | $10.00B | $10.00B | 435 | 2026-04-30 | → |
| 858 | MEKETA INVESTMENT GROUP INC | 110601 | $9.99B | $9.99B | 248 | 2026-03-31 | → |
| 859 | BMO FAMILY OFFICE, LLC | 110264 | $9.99B | $9.99B | 130 | 2026-01-31 | → |
| 860 | NORTHCAPE CAPITAL PTY LTD | 332305 | $9.96B | $9.96B | 32 | 2026-04-30 | → |
| 861 | AGINCOURT CAPITAL MANAGEMENT, LLC | 112096 | $9.95B | $9.95B | 18 | 2026-03-31 | → |
| 862 | PLANCORP, LLC | 106599 | $9.94B | $9.94B | 97 | 2026-05-31 | → |
| 863 | INTELLICENTS INVESTMENT SOLUTIONS INC | 107498 | $9.92B | $9.92B | 80 | 2026-06-30 | → |
| 864 | WELCH & FORBES LLC | 115119 | $9.90B | $9.90B | 55 | 2026-05-31 | → |
| 865 | BLUECOVE LIMITED | 307090 | $9.89B | $9.89B | 62 | 2026-03-31 | → |
| 866 | CLEARBRIDGE INVESTMENT MANAGEMENT LIMITED | 139012 | $9.89B | $9.89B | 44 | 2026-06-30 | → |
| 867 | GLACIER PEAK CAPITAL MANAGEMENT, LLC | 164409 | $9.86B | $9.86B | 5 | 2026-02-28 | → |
| 868 | RIVER ROAD ASSET MANAGEMENT, LLC | 134918 | $9.85B | $9.85B | 46 | 2026-03-31 | → |
| 869 | THE CYNOSURE GROUP | 281399 | $9.85B | $9.85B | 71 | 2026-03-31 | → |
| 870 | BROWN ADVISORY INVESTMENT SOLUTIONS GROUP LLC | 124612 | $9.84B | $9.84B | 24 | 2026-04-30 | → |
| 871 | SPIDERROCK ADVISORS, LLC | 171992 | $9.83B | $9.83B | 61 | 2026-03-31 | → |
| 872 | IHT WEALTH MANAGEMENT LLC | 171481 | $9.80B | $9.80B | 179 | 2026-03-31 | → |
| 873 | COOLABAH CAPITAL INSTITUTIONAL INVESTMENTS PTY LIMITED | 308020 | $9.80B | $9.80B | 46 | 2025-09-30 | → |
| 874 | ALTAIR ADVISERS, LLC | 120642 | $9.76B | $9.76B | 75 | 2026-03-31 | → |
| 875 | FORVIS MAZARS WEALTH ADVISORS, LLC | 110905 | $9.75B | $9.75B | 123 | 2026-03-31 | → |
| 876 | F L PUTNAM INVESTMENT MANAGEMENT CO. | 106223 | $9.72B | $9.72B | 160 | 2026-05-31 | → |
| 877 | SAMLYN CAPITAL, LLC | 158296 | $9.68B | $9.68B | 33 | 2026-03-31 | → |
| 878 | KINDRED SPIRITS INVESTMENT MANAGEMENT, LLC | 171615 | $9.68B | $9.68B | 9 | 2026-02-28 | → |
| 879 | SIGNATUREFD, LLC | 112758 | $9.68B | $9.68B | 130 | 2026-03-31 | → |
| 880 | THE AMERIFLEX GROUP, INC. | 305585 | $9.66B | $9.66B | 201 | 2026-03-31 | → |
| 881 | HORIZON KINETICS ASSET MANAGEMENT LLC | 106096 | $9.61B | $9.61B | 80 | 2026-04-30 | → |
| 882 | SEVEN POST INVESTMENT OFFICE LP | 157435 | $9.61B | $9.61B | 22 | 2026-03-31 | → |
| 883 | FRONTIER CAPITAL MANAGEMENT CO LLC | 106274 | $9.60B | $9.60B | 38 | 2026-03-31 | → |
| 884 | CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC | 138638 | $9.57B | $9.57B | 34 | 2026-03-31 | → |
| 885 | MARINER INDEPENDENT ADVISOR NETWORK, LLC | 283824 | $9.57B | $9.57B | 174 | 2026-05-31 | → |
| 886 | ORGEL WEALTH MANAGEMENT, LLC | 168219 | $9.55B | $9.55B | 79 | 2026-03-31 | → |
| 887 | COMPOSITION WEALTH, LLC | 143483 | $9.47B | $9.47B | 128 | 2026-03-31 | → |
| 888 | WESTWOOD GLOBAL INVESTMENTS LLC | 125012 | $9.47B | $9.47B | 30 | 2026-03-31 | → |
| 889 | HOOD RIVER CAPITAL MANAGEMENT LLC | 166089 | $9.45B | $9.45B | 20 | 2026-05-31 | → |
| 890 | GARDNER RUSSO & QUINN LLC | 106114 | $9.45B | $9.45B | 47 | 2026-03-31 | → |
| 891 | SLR CAPITAL PARTNERS, LLC | 146106 | $9.42B | $9.42B | 65 | 2026-03-31 | → |
| 892 | GAM INTERNATIONAL MANAGEMENT LIMITED | 110670 | $9.42B | $9.42B | 51 | 2026-03-31 | → |
| 893 | PERFORMANCE EQUITY MANAGEMENT, LLC | 110207 | $9.41B | $9.41B | 36 | 2026-03-31 | → |
| 894 | RESOLUTION CAPITAL LIMITED | 142409 | $9.39B | $9.39B | 28 | 2025-09-30 | → |
| 895 | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC | 301896 | $9.38B | $9.38B | 209 | 2026-03-31 | → |
| 896 | JOEL ISAACSON & CO., LLC | 152450 | $9.32B | $9.32B | 52 | 2026-03-31 | → |
| 897 | ITAU USA ASSET MANAGEMENT INC. | 156313 | $9.27B | $9.27B | 26 | 2026-03-31 | → |
| 898 | TOLLESON PRIVATE WEALTH MANAGEMENT, LLC | 111838 | $9.26B | $9.26B | 93 | 2026-03-31 | → |
| 899 | LINDSELL TRAIN LIMITED | 158323 | $9.25B | $9.25B | 30 | 2026-04-30 | → |
| 900 | GENEOS WEALTH MANAGEMENT, INC. | 120894 | $9.22B | $9.22B | 200 | 2026-04-30 | → |
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