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 | |
|---|---|---|---|---|---|---|---|
| 901 | PROCYON ADVISORS, LLC | 288239 | $9.20B | $9.20B | 76 | 2026-05-31 | → |
| 902 | ELLINGTON GLOBAL ASSET MANAGEMENT, LLC | 141772 | $9.18B | $9.18B | 164 | 2026-03-31 | → |
| 903 | AVIVA INVESTORS CANADA INC. | 333457 | $9.15B | $9.15B | 18 | 2026-03-31 | → |
| 904 | VALUE ALIGNED RESEARCH ADVISORS, LLC | 319135 | $9.14B | $9.14B | 9 | 2026-03-31 | → |
| 905 | CRAWFORD INVESTMENT COUNSEL INC | 110271 | $9.14B | $9.14B | 54 | 2026-03-31 | → |
| 906 | HIGHVISTA STRATEGIES LLC | 155759 | $9.10B | $9.10B | 80 | 2026-03-31 | → |
| 907 | AMERICANA PARTNERS, LLC | 301354 | $9.10B | $9.10B | 86 | 2026-04-30 | → |
| 908 | 400 CAPITAL MANAGEMENT LLC | 160089 | $9.04B | $9.04B | 76 | 2026-03-31 | → |
| 909 | DEERPATH CAPITAL MANAGEMENT, LP | 160791 | $9.03B | $9.03B | 100 | 2026-03-31 | → |
| 910 | ALPHACORE CAPITAL LLC | 174346 | $9.03B | $9.03B | 111 | 2026-04-30 | → |
| 911 | HORNOR, TOWNSEND & KENT, LLC | 4031 | $9.01B | $9.01B | 485 | 2026-04-30 | → |
| 912 | JOHCM (USA) INC | 167596 | $9.01B | $9.01B | 60 | 2025-09-30 | → |
| 913 | SIMON QUICK ADVISORS, LLC | 132330 | $9.01B | $9.01B | 97 | 2026-03-31 | → |
| 914 | CROSSMARK GLOBAL INVESTMENTS, INC. | 113360 | $8.98B | $8.98B | 54 | 2026-06-30 | → |
| 915 | KINGSVIEW WEALTH MANAGEMENT, LLC | 148107 | $8.96B | $8.96B | 285 | 2026-06-30 | → |
| 916 | QUINBROOK INFRASTRUCTURE PARTNERS LLC | 287822 | $8.95B | $8.95B | 25 | 2026-03-31 | → |
| 917 | IMPAX ASSET MANAGEMENT LLC | 114335 | $8.94B | $8.94B | 93 | 2025-12-31 | → |
| 918 | TORTOISE CAPITAL ADVISORS, L.L.C. | 123711 | $8.93B | $8.93B | 34 | 2026-04-30 | → |
| 919 | WESTPORT CAPITAL PARTNERS LLC | 157493 | $8.92B | $8.92B | 34 | 2026-03-31 | → |
| 920 | AXXCESS WEALTH MANAGEMENT, LLC | 164081 | $8.88B | $8.88B | 72 | 2026-03-31 | → |
| 921 | KEY INVESTMENT SERVICES LLC | 136300 | $8.88B | $8.88B | 1,325 | 2026-06-30 | → |
| 922 | SNOWDEN CAPITAL ADVISORS LLC | 157299 | $8.87B | $8.87B | 154 | 2026-04-30 | → |
| 923 | ADVENT CAPITAL MANAGEMENT, LLC | 113013 | $8.82B | $8.82B | 58 | 2026-03-31 | → |
| 924 | ARKADIOS WEALTH ADVISORS LLC | 288863 | $8.79B | $8.79B | 188 | 2026-06-30 | → |
| 925 | CAPITAL ANALYSTS, LLC | 162200 | $8.77B | $8.77B | 679 | 2026-04-30 | → |
| 926 | HARDMAN JOHNSTON GLOBAL ADVISORS LLC | 112500 | $8.77B | $8.77B | 27 | 2026-03-31 | → |
| 927 | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC | 289977 | $8.76B | $8.76B | 118 | 2026-04-30 | → |
| 928 | U.S. CAPITAL WEALTH ADVISORS, LLC | 288199 | $8.76B | $8.76B | 141 | 2026-03-31 | → |
| 929 | TIAA KASPICK, LLC | 104554 | $8.74B | $8.74B | 115 | 2026-06-30 | → |
| 930 | HAMLIN CAPITAL MANAGEMENT, LLC | 119278 | $8.71B | $8.71B | 24 | 2026-03-31 | → |
| 931 | FORUM FINANCIAL MANAGEMENT, LP | 145706 | $8.69B | $8.69B | 143 | 2026-06-30 | → |
| 932 | OGAM, LP | 287919 | $8.69B | $8.69B | 42 | 2026-03-31 | → |
| 933 | MARCUARD FAMILY OFFICE LTD | 155003 | $8.66B | $8.66B | 36 | 2026-04-30 | → |
| 934 | SATURNA CAPITAL CORPORATION | 25586 | $8.62B | $8.62B | 83 | 2026-02-28 | → |
| 935 | TD PRIVATE CLIENT WEALTH LLC | 164484 | $8.57B | $8.57B | 671 | 2026-06-30 | → |
| 936 | GRESHAM INVESTMENT MANAGEMENT LLC | 134392 | $8.55B | $8.55B | 41 | 2026-06-30 | → |
| 937 | MUTUAL ADVISORS, LLC | 167658 | $8.55B | $8.55B | 208 | 2026-06-30 | → |
| 938 | VISE AI ADVISORS, LLC | 301761 | $8.53B | $8.53B | 44 | 2026-06-30 | → |
| 939 | ONE CAPITAL MANAGEMENT, LLC | 114861 | $8.53B | $8.53B | 103 | 2026-06-30 | → |
| 940 | NORTHWEST CAPITAL MANAGEMENT INC | 108091 | $8.52B | $8.52B | 11 | 2026-05-31 | → |
| 941 | SAGESPRING WEALTH PARTNERS | 283515 | $8.49B | $8.49B | 195 | 2026-05-31 | → |
| 942 | HORIZON INVESTMENTS LLC | 109552 | $8.47B | $8.47B | 76 | 2026-03-31 | → |
| 943 | ELDRIDGE CREDIT ADVISERS, LLC | 155736 | $8.46B | $8.46B | 292 | 2026-05-31 | → |
| 944 | MIDOCEAN CREDIT FUND MANAGEMENT, L.P. | 151578 | $8.46B | $8.46B | 45 | 2026-03-31 | → |
| 945 | BNY MELLON SECURITIES CORPORATION | 231 | $8.45B | $8.45B | 253 | 2026-06-30 | → |
| 946 | SYNOVUS SECURITIES, INC. | 14023 | $8.45B | $8.45B | 280 | 2026-01-31 | → |
| 947 | DOUGLAS LANE & ASSOCIATES, LLC | 282563 | $8.44B | $8.44B | 37 | 2026-03-31 | → |
| 948 | EMPIRICAL FINANCIAL SERVICES, LLC | 152622 | $8.43B | $8.43B | 94 | 2026-06-30 | → |
| 949 | AUREUS ASSET MANAGEMENT, LLC | 136674 | $8.40B | $8.40B | 14 | 2026-03-31 | → |
| 950 | BATTERY GLOBAL ADVISORS, LLC | 158508 | $8.37B | $8.37B | 38 | 2026-06-30 | → |
| 951 | ZHANG FINANCIAL LLC | 159257 | $8.37B | $8.37B | 50 | 2026-03-31 | → |
| 952 | ELEVATION POINT WEALTH PARTNERS, LLC | 137068 | $8.29B | $8.29B | 91 | 2026-06-30 | → |
| 953 | WEALTHCARE ADVISORY PARTNERS LLC | 171976 | $8.29B | $8.29B | 243 | 2026-06-30 | → |
| 954 | BOLTON SECURITIES CORP | 129376 | $8.28B | $8.28B | 158 | 2026-03-31 | → |
| 955 | NICHOLAS HOFFMAN & COMPANY, LLC | 144516 | $8.26B | $8.26B | 26 | 2026-03-31 | → |
| 956 | ADVANTAGE CAPITAL MANAGEMENT LLC | 171128 | $8.26B | $8.26B | 30 | 2026-05-31 | → |
| 957 | AEQUIM ALTERNATIVE INVESTMENTS LP | 293127 | $8.25B | $8.25B | 11 | 2026-03-31 | → |
| 958 | JONATHAN ROBERTS ADVISORY GROUP, INC. | 112294 | $8.25B | $8.25B | 550 | 2026-03-31 | → |
| 959 | CAPITAL INVESTMENT ADVISORS, LLC | 158055 | $8.21B | $8.21B | 107 | 2026-04-30 | → |
| 960 | CAMBRIDGE ASSOCIATES LIMITED, LLC | 106003 | $8.20B | $8.20B | 15 | 2026-03-31 | → |
| 961 | GRADIENT INVESTMENTS, LLC | 141726 | $8.20B | $8.20B | 41 | 2026-06-30 | → |
| 962 | SAMSUNG ASSET MANAGEMENT (NEW YORK), INC. | 133827 | $8.17B | $8.17B | 13 | 2026-03-31 | → |
| 963 | R M DAVIS INC | 105448 | $8.15B | $8.15B | 63 | 2026-03-31 | → |
| 964 | STARBOARD VALUE LP | 156943 | $8.15B | $8.15B | 44 | 2026-03-31 | → |
| 965 | CHILTON INVESTMENT SERVICES, LLC | 159306 | $8.15B | $8.15B | 70 | 2026-03-31 | → |
| 966 | BRAMSHILL INVESTMENTS, LLC | 162492 | $8.14B | $8.14B | 38 | 2026-03-31 | → |
| 967 | HARVEST FUND ADVISORS LLC | 154425 | $8.13B | $8.13B | 14 | 2026-03-31 | → |
| 968 | MARSHFIELD ASSOCIATES, INC. | 150614 | $8.12B | $8.12B | 27 | 2026-03-31 | → |
| 969 | HUMAN INTEREST ADVISORS LLC | 269875 | $8.10B | $8.10B | 6 | 2026-04-30 | → |
| 970 | WEITZ INVESTMENT MANAGEMENT, INC. | 105088 | $8.08B | $8.08B | 36 | 2026-03-31 | → |
| 971 | ANNEX ADVISORY SERVICES, LLC | 127987 | $8.05B | $8.05B | 151 | 2026-04-30 | → |
| 972 | CRESTWOOD ADVISORS GROUP, LLC | 286243 | $8.02B | $8.02B | 64 | 2026-06-30 | → |
| 973 | HOWARD CAPITAL MANAGEMENT, INC. | 118070 | $8.01B | $8.01B | 45 | 2026-06-30 | → |
| 974 | PATRIA PRIVATE EQUITY (EUROPE) LIMITED | 318769 | $8.01B | $8.01B | 70 | 2026-05-31 | → |
| 975 | POLUNIN CAPITAL PARTNERS LIMITED | 159031 | $7.96B | $7.96B | 17 | 2026-03-31 | → |
| 976 | ICG ADVISORS, LLC | 148066 | $7.92B | $7.92B | 26 | 2026-05-31 | → |
| 977 | THE HUNTINGTON INVESTMENT COMPANY | 16986 | $7.89B | $7.89B | 520 | 2026-03-31 | → |
| 978 | RBC PRIVATE COUNSEL (USA) INC. | 109648 | $7.89B | $7.89B | 1,455 | 2026-06-30 | → |
| 979 | D.F. DENT AND COMPANY, INC. | 105179 | $7.88B | $7.88B | 31 | 2026-06-30 | → |
| 980 | STEPHENS INVESTMENT MANAGEMENT GROUP, LLC | 136369 | $7.86B | $7.86B | 22 | 2026-03-31 | → |
| 981 | INGALLS & SNYDER LLC | 2288 | $7.83B | $7.83B | 92 | 2025-12-31 | → |
| 982 | ETHIC INC. | 282827 | $7.82B | $7.82B | 76 | 2026-03-31 | → |
| 983 | FIFTH THIRD WEALTH ADVISORS LLC | 313015 | $7.80B | $7.80B | 83 | 2026-03-31 | → |
| 984 | AMOVA ASSET MANAGEMENT AMERICAS, INC. | 824 | $7.78B | $7.78B | 27 | 2026-06-30 | → |
| 985 | WGI DM, LLC | 334219 | $7.78B | $7.78B | 6 | 2026-03-31 | → |
| 986 | HILLSDALE INVESTMENT MANAGEMENT INC. | 137883 | $7.77B | $7.77B | 46 | 2026-03-31 | → |
| 987 | WEDGE CAPITAL MANAGEMENT LLP | 106234 | $7.75B | $7.75B | 26 | 2026-03-31 | → |
| 988 | MGO ONE SEVEN LLC | 283087 | $7.72B | $7.72B | 264 | 2026-04-30 | → |
| 989 | RITHOLTZ WEALTH MANAGEMENT | 168652 | $7.70B | $7.70B | 83 | 2026-05-31 | → |
| 990 | CADARET, GRANT & CO., INC. | 10641 | $7.67B | $7.67B | 692 | 2025-07-31 | → |
| 991 | FIDUCIARY TRUST INTERNATIONAL, LLC | 124062 | $7.67B | $7.67B | 50 | 2025-12-31 | → |
| 992 | HBK SORCE ADVISORY LLC | 112139 | $7.66B | $7.66B | 109 | 2026-02-28 | → |
| 993 | STAMOS CAPITAL PARTNERS, L.P. | 134660 | $7.64B | $7.64B | 31 | 2026-03-31 | → |
| 994 | ALDRICH WEALTH, LIMITED PARTNERSHIP | 147200 | $7.62B | $7.62B | 42 | 2026-03-31 | → |
| 995 | MCMORGAN & COMPANY LLC | 115060 | $7.61B | $7.61B | 26 | 2026-03-31 | → |
| 996 | BELPOINTE ASSET MANAGEMENT LLC | 143440 | $7.58B | $7.58B | 236 | 2026-05-31 | → |
| 997 | SIGNATURE FINANCIAL MANAGEMENT INC | 106375 | $7.57B | $7.57B | 36 | 2026-03-31 | → |
| 998 | AVANTAX PLANNING PARTNERS, INC. | 106237 | $7.57B | $7.57B | 261 | 2026-06-30 | → |
| 999 | DSM CAPITAL PARTNERS LLC | 113609 | $7.56B | $7.56B | 25 | 2026-05-31 | → |
| 1000 | BAILARD, INC. | 110550 | $7.56B | $7.56B | 83 | 2026-05-31 | → |
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