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 | |
|---|---|---|---|---|---|---|---|
| 401 | CHATTERTON & ASSOCIATES, THE WEALTH MANAGEMENT TEAM, INC. | 132295 | $1.33B | $1.33B | 31 | 2026-03-31 | → |
| 402 | VALLEY NATIONAL ADVISERS INC | 110788 | $1.31B | $1.31B | 13 | 2026-03-31 | → |
| 403 | PIPER SANDLER & CO. | 665 | $1.28B | $1.28B | 1,402 | 2026-03-31 | → |
| 404 | CIM INVESTMENT MANAGEMENT INC | 106292 | $1.28B | $1.28B | 7 | 2026-03-31 | → |
| 405 | HODGES CAPITAL MANAGEMENT INC | 110080 | $1.24B | $1.24B | 20 | 2025-10-31 | → |
| 406 | M FINANCIAL ASSET MANAGEMENT, INC. | 136694 | $1.23B | $1.23B | 5 | 2026-03-31 | → |
| 407 | SANFORD C. BERNSTEIN & CO., LLC | 104474 | $1.22B | $1.22B | 0 | 2026-03-31 | → |
| 408 | FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC. | 140444 | $1.21B | $1.21B | 9 | 2026-04-30 | → |
| 409 | WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC | 150529 | $1.17B | $1.17B | 20 | 2026-03-31 | → |
| 410 | ICAPITAL FUND ADVISORS LLC | 330352 | $1.13B | $1.13B | 165 | 2026-06-30 | → |
| 411 | ANCORA ALTERNATIVES LLC | 311902 | $1.13B | $1.13B | 54 | 2026-03-31 | → |
| 412 | HIIVE ADVISORS INC. | 335888 | $1.13B | $1.13B | 17 | 2026-06-30 | → |
| 413 | SB ADVISORY, LLC | 154680 | $1.10B | $1.10B | 35 | 2026-06-30 | → |
| 414 | PKS ADVISORY SERVICES, LLC | 125648 | $1.09B | $1.09B | 45 | 2026-06-30 | → |
| 415 | OFS CLO MANAGEMENT II, LLC | 323411 | $1.09B | $1.09B | 50 | 2026-03-31 | → |
| 416 | NFSG CORPORATION | 130814 | $1.08B | $1.08B | 89 | 2026-03-31 | → |
| 417 | TITAN GLOBAL CAPITAL MANAGEMENT USA LLC | 290111 | $1.08B | $1.08B | 33 | 2026-06-30 | → |
| 418 | CIM CAPITAL IC MANAGEMENT, LLC | 301416 | $1.08B | $1.08B | 160 | 2026-03-31 | → |
| 419 | CONCORD WEALTH PARTNERS | 118643 | $1.07B | $1.07B | 20 | 2026-03-31 | → |
| 420 | NPA ASSET MANAGEMENT, LLC | 131534 | $1.06B | $1.06B | 68 | 2026-03-31 | → |
| 421 | GLEN EAGLE ADVISORS, LLC | 282920 | $1.03B | $1.03B | 21 | 2026-04-30 | → |
| 422 | PERRYMAN FINANCIAL ADVISORY, INC. | 107653 | $1.02B | $1.02B | 8 | 2026-03-31 | → |
| 423 | CAPITAL INVESTMENT COUNSEL INC | 104591 | $1.02B | $1.02B | 11 | 2026-04-30 | → |
| 424 | ASSET ALLOCATION STRATEGIES, LLC | 152339 | $1.02B | $1.02B | 45 | 2026-03-31 | → |
| 425 | STORY3 CAPITAL PARTNERS, LLC | 300651 | $986.9M | $986.9M | 8 | 2026-04-30 | → |
| 426 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC | 135288 | $986.3M | $986.3M | 49 | 2026-03-31 | → |
| 427 | LEBENTHAL GLOBAL ADVISORS, LLC | 283303 | $971.8M | $971.8M | 30 | 2026-03-31 | → |
| 428 | CACHE ADVISORS LLC | 323063 | $962.1M | $962.1M | 15 | 2026-05-31 | → |
| 429 | CLEARLIST CAPITAL LLC | 329206 | $959.8M | $959.8M | 8 | 2026-06-30 | → |
| 430 | ROBOTTI & COMPANY ADVISORS, LLC | 128093 | $949.8M | $949.8M | 18 | 2026-03-31 | → |
| 431 | CUTTER AND COMPANY BROKERAGE, INC. | 22449 | $937.0M | $937.0M | 48 | 2025-04-30 | → |
| 432 | BRIGHTON SECURITIES CORP. | 3875 | $931.0M | $931.0M | 26 | 2026-04-30 | → |
| 433 | GERALD BAKER FINANCIAL GROUP, L.L.C.DBA BAKER FINANCIAL SERVICES | 112248 | $909.3M | $909.3M | 7 | 2026-02-28 | → |
| 434 | DMKC ADVISORY SERVICES, LLC | 145112 | $902.5M | $902.5M | 13 | 2026-03-31 | → |
| 435 | COMPASS FINANCIAL MANAGEMENT LLC | 156345 | $893.8M | $893.8M | 33 | 2026-05-31 | → |
| 436 | COMMERCE STREET INVESTMENT ADVISOR, LLC | 144278 | $891.3M | $891.3M | 14 | 2026-03-31 | → |
| 437 | LEBENTHAL DIVERSIFIED ASSET MANAGEMENT INC. | 167243 | $883.7M | $883.7M | 5 | 2026-03-31 | → |
| 438 | TRANSATLANTIQUE PRIVATE WEALTH LLC | 169820 | $878.8M | $878.8M | 11 | 2026-04-30 | → |
| 439 | GILL CAPITAL PARTNERS, LLC | 14559 | $862.4M | $862.4M | 17 | 2026-03-31 | → |
| 440 | INVESCO PRIVATE CAPITAL, INC. | 107584 | $860.4M | $860.4M | 10 | 2026-03-31 | → |
| 441 | FINANCIAL SENSE ADVISORS, INC. | 111090 | $835.6M | $835.6M | 11 | 2026-06-30 | → |
| 442 | ALBITZ/MILOE AND ASSOCIATES, INC. | 104777 | $820.6M | $820.6M | 5 | 2026-03-31 | → |
| 443 | AMERICAN VENTURES IM LLC | 337677 | $813.7M | $813.7M | 3 | 2026-06-30 | → |
| 444 | ANDBANC ADVISORY LLC | 150463 | $806.5M | $806.5M | 13 | 2026-05-31 | → |
| 445 | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED | 319 | $797.4M | $797.4M | 44 | 2026-03-31 | → |
| 446 | BHK INVESTMENT ADVISORS, LLC | 140515 | $794.1M | $794.1M | 9 | 2026-04-30 | → |
| 447 | XP ADVISORY US, INC. | 173779 | $792.3M | $792.3M | 34 | 2026-04-30 | → |
| 448 | SYCAMORE FINANCIAL GROUP, INC. | 14143 | $787.4M | $787.4M | 4 | 2026-03-31 | → |
| 449 | ACP VENTURE CAPITAL MANAGEMENT FUND LLC | 298029 | $785.7M | $785.7M | 2 | 2026-06-30 | → |
| 450 | ENHALUS CAPITAL, LP | 313321 | $785.5M | $785.5M | 4 | 2026-03-31 | → |
| 451 | AMERANT INVESTMENTS, INC. | 117284 | $782.4M | $782.4M | 35 | 2026-04-30 | → |
| 452 | HUNTLEIGH ADVISORS, INC. | 113412 | $781.8M | $781.8M | 55 | 2026-03-31 | → |
| 453 | NEW VERNON WEALTH MANAGEMENT LLC | 164775 | $781.0M | $781.0M | 8 | 2026-03-31 | → |
| 454 | GRAFINE CAPITAL HOLDINGS LLC | 309490 | $775.0M | $775.0M | 14 | 2026-03-31 | → |
| 455 | HENNION & WALSH ASSET MANAGEMENT, INC. | 126236 | $768.8M | $768.8M | 75 | 2026-03-31 | → |
| 456 | INVEX ADVISORS LLC | 164519 | $759.3M | $759.3M | 8 | 2026-03-31 | → |
| 457 | WESTWOOD ADVISORS, L.L.C | 132162 | $749.5M | $749.5M | 62 | 2026-04-30 | → |
| 458 | FLAGSHIP WEALTH ADVISORS, LLC. | 131962 | $748.6M | $748.6M | 7 | 2026-04-30 | → |
| 459 | BAIRD CAPITAL MANAGEMENT COMPANY, LLC | 323309 | $737.9M | $737.9M | 34 | 2026-06-30 | → |
| 460 | GIRARD PENSION SERVICES, LLC | 117901 | $733.8M | $733.8M | 15 | 2026-03-31 | → |
| 461 | SMITH THORNTON ADVISORS, LLC | 312537 | $733.6M | $733.6M | 9 | 2026-03-31 | → |
| 462 | CL WEALTH MANAGEMENT LLC | 134922 | $733.6M | $733.6M | 42 | 2026-03-31 | → |
| 463 | EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC | 146097 | $706.0M | $706.0M | 12 | 2026-05-31 | → |
| 464 | BENJAMIN F. EDWARDS WEALTH MANAGEMENT, LLC | 297750 | $705.4M | $705.4M | 12 | 2026-03-31 | → |
| 465 | LAFISE GLOBAL ADVISORS LLC | 331244 | $699.0M | $699.0M | 3 | 2026-03-31 | → |
| 466 | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | 226535 | $694.3M | $694.3M | 27 | 2026-03-31 | → |
| 467 | NEWPOINT REAL ESTATE INVESTMENT MANAGEMENT LLC | 321208 | $690.1M | $690.1M | 10 | 2026-03-31 | → |
| 468 | INTEGRA GLOBAL ADVISORS LLC | 288511 | $684.1M | $684.1M | 11 | 2026-03-31 | → |
| 469 | HYPOSWISS ADVISORS SA | 157400 | $678.3M | $678.3M | 9 | 2026-03-31 | → |
| 470 | LOMBARD ADVISERS INCORPORATED | 108231 | $669.8M | $669.8M | 41 | 2026-03-31 | → |
| 471 | PAVE INVESTMENT ADVISORS, LLC. | 322420 | $669.6M | $669.6M | 7 | 2026-06-30 | → |
| 472 | BANORTE ASSET MANAGEMENT, INC. | 290555 | $661.2M | $661.2M | 40 | 2026-05-31 | → |
| 473 | ROBINHOOD VENTURES DE, LLC | 339165 | $655.3M | $655.3M | 125 | 2026-05-31 | → |
| 474 | MONEX ASSET MANAGEMENT, INC. | 148123 | $650.9M | $650.9M | 20 | 2026-05-31 | → |
| 475 | DWM ASSET MANAGEMENT, LLC | 143224 | $645.0M | $645.0M | 36 | 2026-03-31 | → |
| 476 | RICHARDS, MERRILL & PETERSON, INC. | 713 | $643.6M | $643.6M | 10 | 2026-03-31 | → |
| 477 | CHAPIN DAVIS, INC | 28116 | $642.8M | $642.8M | 26 | 2026-05-31 | → |
| 478 | TCFG INVESTMENT ADVISORS, LLC | 166606 | $639.4M | $639.4M | 27 | 2026-04-30 | → |
| 479 | L.S.Y., INC | 38 | $630.7M | $630.7M | 32 | 2026-06-30 | → |
| 480 | SEARLE & CO. | 13035 | $629.9M | $629.9M | 13 | 2025-12-31 | → |
| 481 | ALEXANDER LABRUNERIE & CO., INC. | 117153 | $618.9M | $618.9M | 6 | 2026-03-31 | → |
| 482 | BLUE OWL STRATEGIC EQUITY ADVISORS LLC | 325958 | $613.9M | $613.9M | 250 | 2026-06-30 | → |
| 483 | CAPITAL A WEALTH MANAGEMENT, LLC | 328863 | $612.9M | $612.9M | 21 | 2026-04-30 | → |
| 484 | GRADIENT SECURITIES, LLC | 127701 | $607.9M | $607.9M | 67 | 2026-04-30 | → |
| 485 | TRINITY INVESTORS FUND ADVISORS, LLC | 314603 | $606.6M | $606.6M | 4 | 2026-05-31 | → |
| 486 | CALDWELL SUTTER CAPITAL, INC. | 10489 | $605.7M | $605.7M | 17 | 2026-04-30 | → |
| 487 | CONCORDE ASSET MANAGEMENT, LLC | 140367 | $598.4M | $598.4M | 76 | 2026-03-31 | → |
| 488 | THE PHOENIX FUND ADVISOR LLC | 316384 | $596.4M | $596.4M | 15 | 2025-10-31 | → |
| 489 | FLORIDA ATLANTIC SECURITIES CORP. | 43272 | $590.0M | $590.0M | 4 | 2026-06-30 | → |
| 490 | FORTRESS PRIVATE LEDGER, LLC | 290298 | $584.0M | $584.0M | 22 | 2026-03-31 | → |
| 491 | RTW FINANCIAL ADVISORS INC | 109934 | $581.0M | $581.0M | 11 | 2026-06-30 | → |
| 492 | DEMPSEY LORD SMITH, LLC | 141238 | $580.5M | $580.5M | 92 | 2026-01-31 | → |
| 493 | SANDERS MORRIS LLC | 20580 | $576.1M | $576.1M | 27 | 2026-03-31 | → |
| 494 | G.W. SHERWOLD ASSOCIATES, INC. | 42186 | $572.4M | $572.4M | 3 | 2026-02-28 | → |
| 495 | KERCHEVILLE ADVISORS LLC | 169471 | $554.7M | $554.7M | 5 | 2026-06-30 | → |
| 496 | GLOBAL ASSETS ADVISORY, LLC | 300460 | $551.7M | $551.7M | 29 | 2026-06-30 | → |
| 497 | WELLINGTON SHIELDS & CO., LLC | 149021 | $546.0M | $546.0M | 25 | 2026-03-31 | → |
| 498 | HEROLD ADVISORS, INC. | 105090 | $540.2M | $540.2M | 9 | 2026-04-30 | → |
| 499 | SPIRIT OF AMERICA MANAGEMENT CORP | 110023 | $540.0M | $540.0M | 35 | 2026-01-31 | → |
| 500 | USA FINANCIAL FORMULAS LLC | 139987 | $534.4M | $534.4M | 38 | 2026-03-31 | → |
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