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Registered Investment Advisors
           
           
Firm Name City State Country Assets ($M) 
K & M Associates, LLC Ballston Spa NY US 7.1 
K Curtis Financial Group, LLC Los Angeles CA US 1.5 
K P Smith Asset Management Omaha NE US 55.2 
K Plus, Inc. 0.0 
K R Financial LLC 92.7 
k Street Advisors Limited. Co. Charleston SC US 0.0 
K-mack Financial, LLC 9.0 
K. D. Clewley Capital Management 40.0 
K.a. Radigan, LLC 54.2 
K.j. Harrison & Partners usa Inc. Toronto, On CA 15.0 
K.l. Baird Asset Management 4.7 
K/a/p Planning Advisory 10.9 
K1 Investment Management LLC El Segundo CA US 806.2 
K183 Ent LLC El Cerrito CA US 1.1 
K2 Capital Management, LLC 0.0 
K2/d&s Management Co., LLC. Stamford CT US 10153.1 
K9 Ventures, LLC 0.0 
Ka Fund Advisors, LLC Houston TX US 5619.6 
Kabarec Financial Advisors Limited Palatine IL US 181.0 
Kabat Advisory Group, LLC Ponte Vedra Beach FL US 0.0 
Kabouter Management, LLC Chicago IL US 1957.2 
Kabr Management, LLC Ridgefield Park NJ US 429.4 
Kachkovsky & Fisher, Inc. Phoenix AZ US 59.1 
Kademian Financial Group Inc Milwaukee WI US 51.8 
Kadence Advisors, LLC. Los Angeles CA US 2.7 
Kades & Cheifetz, LLC Radnor PA US 264.5 
Kades Financial Inc Radnor PA US 0.0 
Kadisak Financial Service, Inc. Naperville IL US 42.8 
Kae Capital Management Private Limited Mumbai IN 0.0 
Kaecon Financial, Inc. Estes Park CO US 0.0 
Kagan Cocozza Asset Management 61.4 
Kahala Financial Advisors, LLC Honolulu HI US 95.6 
Kahler Financial Group, Inc. Rapid City SD USA 129.8 
Kahn Brothers Advisors LLC New York NY US 621.5 
Kahn Brothers Asset Management Corporation New York NY US 23.8 
Kahn Financial Advisors LLC Columbus OH US 38.0 
Kahn Financial Group Clearwater FL US 70.0 
Kai Advisors 27.8 
Kailai Advisers Limited. Beverly Hills CA USA 418.6 
Kainos tx Capital, LLC Dallas TX US 2268.6 
Kaio Asset Management, LLC Memphis TN US 18.1 
Kaiog Capital Partners Inc. Toronto CA 0.0 
Kairos Asset Advisory, LLC Point Clear AL US 15.6 
Kairos Capital Advisors, LLC Strafford PA US 35.0 
Kairos Capital Management, LLC Bellevue WA US 53.3 
Kairos Investment Management Company, LLC Rancho Santa Margarita CA US 222.1 
Kairos LLC 0.0 
Kairos Venture Investments, LLC Beverly Hills CA US 0.0 
Kaiser Partner Financial Advisors Limited. Z?rich CZ 296.6 
Kaiser Wealth Management Cheyenne WY US 124.0 
Kaitz Investments Inc. 0.9 
Kaizen Advisory, LLC Wheaton IL US 155.3 
Kaizen Financial Advisors, LLC Bellevue WA US 35.3 
Kaizen Management, LP Houston TX US 23.5 
Kaizen Wealth Advisors, LLC Omaha NE US 0.0 
Kaizen Wealth Management, LLC 20.6 
Kaizerman + Associates Natick MA US 26.2 
Kakis Financial Service Inc. Des Plaines IL US 18.7 
Kal Investments LLC Kentfield CA US 0.0 
Kalaari Capital Advisors Private Limited Bangalore IN 0.0 
Kalamata Asset Management LLC New York NY US 0.0 
Kaleel Investment Advisors, LLC Boston MA US 53.3 
Kaleidoscope Capital Boston MA USA 248.8 
Kalenjin Advisory Limited. Toronto CA 0.3 
Kalinowsky Asset Management Portola Valley CA US 136.4 
Kalka Investment Management, LLC Brookfield CT US 0.0 
Kalman Kushnir Capital Inc. Northbrook IL US 105.0 
Kalmar Investment Advisers Wilmington DE US 3582.8 
Kalmar Investments Inc Wilmington DE US 640.7 
Kalnin Ventures Denver CO US 500.0 
Kalo Capital Management, LLC Red Bank NJ US 15.3 
Kalorama Wealth Strategies, LLC 13.1 
Kalos Management Alpharetta GA US 357.8 
Kaltbaum Capital Management Orlando FL US 73.0 
Kalysta Capital Private Limited Mauritius Port-louis MU 0.0 
Kam Awrabi Capital Investment Company 0.0 
Kam-south, LLC Atlanta GA US 50.0 
Kamada Investment Management 14.6 
Kamadhenu Capital Houston TX US 0.1 
Kamin Capital, LLC 21.0 
Kaminsky And Associates, Inc. Maumee OH US 0.0 
Kamke Investment Strategies Inc. West Nyack NY US 64.3 
Kamlot Investments, LLC 12.7 
Kamp Consulting Solutions, LLC 0.0 
Kamson Financial Phoenix AZ US 0.0 
Kanaka Strategies 0.5 
Kanakadhara Financial Ent Carnegie PA US 0.5 
Kanasa Financial Group, LLC Naperville IL US 11.0 
Kanawha Capital Management, LLC Richmond VA US 769.1 
Kandiyohi Management, LLC Plymouth MN USA 0.0 
Kane Capital Management, LLC 6.0 
Kane Company, P.c. Johnston IA US 68.6 
Kane Financial Planning Avon CT US 0.0 
Kane Investment Management, Inc. Los Gatos CA US 63.9 
Kane Street Capital Management LLC New York NY USA 0.0 
Kanen Wealth Management LLC Coral Springs FL US 76.7 
Kaner Financial 5.0 
Kang & Co., Inc. Blue Bell PA US 0.0 
Kanha Capital LP New York NY US 25.6 
Kanner Financial Service LLC North Haven CT US 37.9 
Kanon Bloch Carre 10.7 
Kanos Capital Management, LLC Houston TX US 69.2 
Kansas City Private Wealth Management, LLC Kansas City MO US 17.7 
Kanten Financial Service Virginia Beach VA US 0.8 
Kantor Financial Group, LLC King Of Prussia PA US 0.0 
Kanu Asset Management, LLC Cincinnati OH US 4.5 
Kaplan Financial Advisors LLC 57.6 
Kaplan Wealth Management, Inc. Reston VA US 62.5 
Kapok Capital LLC 13.1 
Kaprealian Investment Group Beverly Hills CA US 0.2 
Kapusta Financial Group Pittsburgh PA US 91.1 
Karafilis Investments Corporation 23.7 
Karagosian Financial Service, Inc New York NY US 12.6 
Karakoram Partners, LLC El Segundo CA US 0.0 
Kardia Midwest Family Wealth Counseling, LLC Kalamazoo MI US 0.0 
Karel Capital, Inc. Spokane WA US 21.4 
Karilian Capital Management 0.2 
Karl Schorr Wealth Management Menifee CA US 3.3 
Karl Wilhelm Blovet D/b/a Karl W. Blovet & Associates Chicago Il 0.0 
Karma Advisors 0.0 
Karma Capital Management, LLC. 0.0 
Karmel Capital LLC 0.0 
Karn, Couzens & Associates, Inc. Farmington CT US 334.5 
Karp & Associates 3.7 
Karp Capital Management Corporation Sausalito CA US 226.2 
Karp Financial Advisors Inc St. Paul MN US 8.0 
Karpas Strategies LLC New York NY US 243.4 
Karpinski Financial, LLC Scottsdale AZ US 16.0 
Karpreilly, LLC Greenwich CT US 701.5 
Karpus Investment Management Pittsford NY US 2846.4 
Karr Barth Financial Planning, Inc. Bala Cynwyd PA US 0.0 
Karst Peak Capital Limited Central HK 0.0 
Karsten Advisors Fort Worth TX US 328.0 
Karstens Investment Counsel, Inc. Omaha NE US 234.1 
Karya Capital Management LP New York NY US 4206.0 
Kase Capital Management 69.6 
Kasmat Risk Management, LLC. 1.5 
Kasper, Alexander L. 10.4 
Kaspian Wealth Management Woodcliff Lake NJ US 1.9 
Kaspick & Company, LLC Redwood Shores CA USA 6109.8 
Kassira Wealth Management, LLC 24.7 
Kassouf Wealth Advisors, LLC Birmingham AL USA 274.1 
Kastel Capital Advisors, LLC 13.5 
Kastle Capital, LLC 0.0 
Kaszek Management S.a. Montevideo UY 0.0 
Katalgar Capital Management, LLC 23.8 
Katama GP LLC Wellesley MA US 0.0 
Katana Capital LLC 12.2 
Katherine Hannah, Cpa, Cfp 4.6 
Katir, Easan 7.7 
Katonah Debt Advisors, LLC. New York NY US 246.8 
Kattan Ferretti Financial L.P. Greensburg PA US 8.2 
Katto Financial LLC 1.5 
Katy Song Financial Planning 0.0 
Katz Capital Management 23.4 
Katz Family Financial Advisors, LLC Alexandria VA US 120.9 
Katz Financial, LLC 0.0 
Kauffman & Drebing Philadelphia PA US 0.0 
Kaufman Advisory Service, Inc. Reading PA US 0.0 
Kaufman Kampe Advisors Mercer Island WA US 58.4 
Kavar Capital Partners, LLC Leawood KS US 426.2 
Kavi Asset Management, LP New York NY US 170.6 
Kavout Asset Management, LLC Bellevue WA US 0.0 
Kawa Capital Management, Inc. Aventura FL US 599.2 
Kawasaki Financial, LLC 1.2 
Kawg&f Financial Planning Group LLC Timonium MD US 0.0 
Kay Investments, Inc. NY US 49.8 
Kayak Investment Partners LLC San Francisco CA US 339.7 
Kaydan Wealth Management, Inc. Fenton MI US 55.4 
Kaye Capital Management Los Angeles CA US 185.1 
Kayne Anderson Capital Advisors LP Los Angeles CA US 14826.3 
Kayne Anderson Rudnick Investment Management, LLC Los Angeles CA US 9629.3 
Kays Financial Advisory Corporation Atlanta GA US 333.1 
Kazimir LP George Town KY 15.1 
KB & Partners Management Co LLC New York NY US 59.2 
KB Asset Management Co., Limited. Seoul KR 41556.5 
KB Financial Advisors LLC San Francisco CA US 26.6 
KB Financial Advisors, Inc. 17.6 
KB Financial Partners, LLC Princeton NJ US 441.8 
Kbi Global Investors north America Limited Dublin 1 Ir 2793.7 
Kbl Investment Management 11.0 
Kbs Capital Advisors, LLC Newport Beach CA US 0.0 
Kbs Management LLC 17.4 
Kbs Realty Advisors, LLC Newport Beach CA US 0.0 
Kbstm Partners, LLC Timonium MD US 0.0 
Kc Investment Advisors, LLC Wichita KS US 200.0 
Kcb Management LLC Pasadena CA US 0.0 
Kcd Financial, Inc. Green Bay WI USA 33.0 
Kcg Investment Advisory Service LLC Savannah GA US 39.5 
Kcg LLC Honolulu HI US 9.0 
Kcm Investment Advisors San Rafael CA US 3697.0 
Kcm Managed Investment Strategies Lansing MI US 1.1 
Kcpag Financial Advisors LLC Robinson IL US 37.8 
Kcps Pe Investment Management 2006 Limited Tel-aviv IL 0.0 
Kcr Wealth Management, LLC Reston VA US 28.2 
Kcs Advisors, LLC Concord NH US 77.3 
Kcs Wealth Advisory Los Angeles CA US 126.4 
Kd Capital Management, LLC Charleston SC US 20.1 
Kdb Asset Management, LLC New York NY US 17.5 
Kdhh Investments LLC West Bend WI US 0.0 
Kdi Capital Partners, LLC Raleigh NC US 359.3 
Kdm Investment Management Geneva IL US 46.0 
Kdp Asset Management Inc Montpelier VT US 393.6 
Kdp Investment Advisors,Inc. Montpelier VT US 0.0 
Kdwallstreet Investment Advisors Topeka KS US 3.7 
Kdwc Managers, LLC Chicago IL US 0.0 
Keane Capital Partners LLC Charlotte NC US 0.0 
Kearney-burch Financial Service, Inc. San Ramon CA US 34.2 
Kearns And Associates, LLC 1196.0 
Kearny Capital Ii, LLC Los Angeles CA US 0.0 
Kearny Venture Partners San Francisco CA US 0.0 
Keating Financial Advisory Service, Inc Manhattan KS US 0.0 
Keating Investment Counselors Inc Delray Beach FL US 231.8 
Keating Investment Management, LLC Boynton Beach FL US 41.4 
Keating Wealth Management, LLC Greenwood Village CO US 13.0 
Keatley Wealth Management, LLC Charlotte NC US 54.8 
Keaton Capital Management LLC. 13.0 
Keatsconnelly Phoenix AZ US 295.5 
Keb Asset Management, LLC Springfield IL US 400.5 
Kec Management L.P. New York NY US 0.0 
Kedaara Capital Investment Managers Limited Ebene MU 0.0 
Kedma Capital S.h.e. Limited Tel Aviv IL 0.0 
Kee Huchok Wealth Management LLC Uniontown OH US 0.0 
Keeble Iv, John B. Atlanta GA US 0.0 
Keefer Pension Consulting, Inc. Marina Del Rey CA US 111.9 
Keel Asset Management LLC Chicago IL USA 67.5 
Keel Asset Management, LLC 5.0 
Keel Capital AB Stockholm Sw 977.3 
Keel Point, LLC Huntsville AL US 1428.0 
Keel Wealth Management, LLC 116.6 
Keeler & Nadler Financial Planning And Wealth Management, LLC Dublin OH USA 169.5 
Keeler Thomas Management LLC Orem UT US 120.0 
Keeley-teton Advisors, LLC Chicago IL US 0.0 
Keen Capital, LLC Washington Crossing PA US 0.0 
Keen Wealth Advisors Overland Park KS USA 257.3 
Keenan Capital, LLC Burlingame CA US 0.0 
Keenan Investment Management, Inc. New York NY US 3.8 
Keene & Associates, Inc. Fort Worth TX US 303.0 
Keener Financial Planning Keller TX US 80.8 
Keener Investments 38.5 
Keeney Financial Group Inc. Columbia MD US 165.6 
Keep Safe Investments, LLC 20.8 
Keepsake Management Inc. 14.9 
Keffer Financial Planning Wheaton IL US 0.0 
Kehoe Investment Service, Inc 12.0 
Keidan Financial Consultants LLC Columbus OH US 261.6 
Keim & Associates, Inc 30.6 
Keiretsu Capital LLC Seattle WA US 0.0 
Keith Kelvin Anderson 47.0 
Keitz Investment Management Limited. Jenkintown PA US 10.0 
Kej Financial Advisors 0.0 
Kellam Financial Planning, Inc. 30.1 
Kellam Insurance And Financial Service LLC 1.8 
Keller Financial Group Mechanicsburg PA US 0.0 
Keller Investment Management Inc 71.6 
Kelley Investments 95.1 
Kellner Capital Management, Inc. Philadelphia PA US 35.7 
Kellner Management, LP New York NY US 223.1 
Kellner Private Fund Management, LP New York NY US 113.8 
Kellogg Asset Management, LLC Green Bay WI US 1533.5 
Kellogg Wealth Advisors, Inc. 10.0 
Kelly & Associates, LLC 10.9 
Kelly And Associates Austin Tx 0.0 
Kelly Capital Management, LLC Chadds Ford PA US 66.1 
Kelly Compton Investments LLC 0.0 
Kelly Financial Group LLC Thousand Oaks CA US 2.7 
Kelly Haft Registered Investment Advisory, LLC Irvine CA US 22.0 
Kelly Jones Investment Service, Inc. 10.0 
Kelly, William, Anthony Braintree MA US 176.7 
Kelman Lazarov Inc Memphis TN USA 350.5 
Kelmar Capital Management, LLC Pasadena CA US 112.5 
Kelp Capital LLC Seattle WA US 21.7 
Kelsey Financial, LLC 24.1 
Kelso & Company, L.P. New York NY USA 9501.7 
Kelso Advisors, LLC Upper Saddle River NJ US 0.0 
Kelusa Asia Focus, Pte. Limited. Singapore SG 0.0 
Kemp Financial Management, LLC Fullerton CA US 112.5 
Kempner Capital Management, Inc. Galveston TX US 237.0 
Kempthorne Analytics, Inc 0.4 
Ken Edelman 0.0 
Ken Roman, Inc. 0.0 
Ken S Greenly Pllc Salem NH US 0.0 
Ken Stern & Associates Inc San Diego CA USA 367.7 
Kenai Investments, Inc. Amarillo TX US 29.3 
Kendall Capital Management Rockville MD US 147.3 
Kendall James Advisors Hockessin DE US 18.1 
Kendall Wealth LLC Cambridge MA US 0.0 
Kende Investments LLC 0.0 
Kendrick Group, Inc. Austin TX US 13.2 
Kendzierski Associates LLC Cypress CA US 0.0 
Kenmar Preferred Investments, LLC New York NY US 25.5 
Kenmare Management, L.P. New York NY US 337.2 
Kennebec Global LLC 3.1 
Kennedy Capital Management St Louis MO US 5433.1 
Kennedy Financial Advisors 14.7 
Kennedy Financial Planning 0.0 
Kennedy Wealth And Tax Management, Inc. Southbury CT US 66.4 
Kennedy Wealth Management Knoxville TN US 11.4 
Kennedy Wealth Management, LLC Calabasas CA US 0.0 
Kennedy, John B. 5.7 
Kennet Capital Management jersey Limited Saint Helier JE 0.0 
Kennet LP London UK 0.0 
Kennet Partners LLC Foster City CA US 361.6 
Kenneth A. Dery & Associates Willoughby OH US 17.1 
Kenneth Dean Bennett 0.0 
Kenneth E Charlton Irvine CA US 40.0 
Kenneth E., Boone Wealth Management Oakdale CA US 51.6 
Kenneth Frenke & Co Arden NC USA 124.0 
Kenneth Jarvis Pllc Lakewood Ranch FL US 0.0 
Kenneth Jospeh Gerbino & Company Beverly Hills CA US 0.6 
Kenneth P. Alevras, Cpa.Inc. Florham Park NJ US 0.0 
Kenney Investments Inc Northfield IL US 153.4 
Kennicott Capital Management LLC San Francisco CA US 39.0 
Kennon Wealth Management, LLC 0.1 
Kennsei Trading, Inc. 0.3 
Kenny Capital Management, LLC 20.0 
Kenrich Partners Pte Limited Singapore SG 320.1 
Kensho Capital LLC Berkeley CA US 250.0 
Kensico Capital Management Corporation. Greenwich CT USA 9209.4 
Kensington Ami, LLC Burbank CA US 30.2 
Kensington Financial 51.8 
Kensington Financial Group, Corporation Winston-salem NC US 63.9 
Kensington Investment Counsel Long Beach CA US 50.9 
Kensington Realty Advisors Inc Chicago IL USA 0.0 
Kensington Securities, LLC Scotts Valley CA US 72.3 
Kensington Wealth Advisors LLC Richmond TX USA 536.0 
Kenter Canyon Capital, LLC Los Angeles CA US 56.2 
Kentucky Seed Capital Fund Cincinnati OH US 0.0 
Kepha Partners Management LLC Waltham MA US 0.0 
Kepos Capital LP New York NY US 2907.9 
Keppler Asset Management Inc. New York NY US 1286.6 
Kerberrose Wealth Management, LLC Shawano WI US 13.3 
Kerburn Rose U.s. 0.0 
Kercheville Advisors LLC San Antonio TX US 116.9 
Kerfoot Wealth Management, LLC Las Vegas NV US 0.0 
Kernodle & Katon Tax And Asset Management Group Searcy AR US 162.2 
Kerns Capital Management, Inc. Houston TX US 188.1 
Kerns Wealth Management, LLC Atlanta GA US 5.2 
Kerntke Otto Mcglone Wealth Management Group Appleton WI US 231.0 
Kerogen Capital (asia) Limited Hong Kong CN 0.0 
Kerrisdale Advisers, LLC New York NY US 446.4 
Kershner, Grosso & Co. Saratoga Spring NY US 169.0 
Kerwin Asset Management, LLC 12.0 
Kerwin-beley & Associates, Inc. Seattle WA US 57.8 
Kessler Financial Service San Jose CA US 0.0 
Kessler Investment Advisors Inc Denver CO US 15.3 
Kessler Investment Group, LLC Columbus IN US 107.8 
Kester Capital LLP London UK 0.0 
Kestra Advisory Service, LLC Austin TX US 12254.0 
Kestra Institutional Service, LLC Austin TX US 0.0 
Kestra Private Wealth Service, LLC San Diego CA US 926.1 
Kestrel Investment Management Corporation San Mateo CA US 289.5 
Kestrel Partners Or Kestrel Investment Partners London UK 613.9 
Kestrel Wealth Management, LLC South Bend IN US 69.3 
Kestros Capital Management, LLC Palo Alto CA US 2.4 
Ketter Private Wealth, LLC. 0.0 
Kettering Financial Advisory Group, Limited Roanoke VA US 58.1 
Kettle Hill Capital Management, LLC New York NY US 185.3 
Kevin Bay Investments, LLC Pewaukee WI US 148.9 
Kevin Clariday Investment Advisor 30.0 
Kevin G. Conlon, Cpa, Pc Rochester NY US 0.0 
Kevin Kennedy, LLC Alameda CA US 0.0 
Kevin V. Lagorio Stockton CA US 5.1 
Kevin W. Truex & Associates 0.0 
Key Asset Advisors Henderson NV US 14.6 
Key Bridge Capital Advisors, LLC Vienna VA US 0.0 
Key Capital Advisors, Inc. 50.3 
Key Capital Management, Inc. Hendersonville TN US 14.5 
Key Concerns Inc Trenton MI US 0.0 
Key Financial Concepts, Inc. Vernon CT US 11.9 
Key Financial Group Of Jacksonville, Inc. Jacksonville FL US 51.7 
Key Financial Planning Service PLC. 3.0 
Key Financial, Inc. 663.1 
Key Group Holdings cayman Limited. 3289.1 
Key Group Holdings Usa Inc Dallas TX US 3289.1 
Key Group Management, Inc. Scottsdale AZ US 39.0 
Key Investment Service LLC Brooklyn OH USA 1259.5 
Key Investment Team Encino CA US 41.8 
Key Square Group LP New York NY US 2000.0 
Key Wealth Partners, LLC 2.1 
Key West Investments, LLC San Gabriel CA US 5.0 
Keyes, Stange & Wooten Wealth Management, LLC Palm Coast FL US 165.9 
Keyhaven Capital LP London UK 1161.2 
Keynote Financial Service, LLC Vernon CT US 61.7 
Keypoint Capital Management, LLC Dallas TX US 44.0 
Keyquant Paris FR 320.0 
Keystate Advisory, LLC Las Vegas NV US 7076.0 
Keystone Advisory Group Burlingame CA US 48.7 
Keystone Asset Management LLC 0.0 
Keystone Asset Management, Inc. Mclean VA US 188.0 
Keystone Capital Advisors 0.0 
Keystone Capital Management, Inc. 0.0 
Keystone Financial Advisory, LLC 1.4 
Keystone Financial Consultants, Inc. 35.8 
Keystone Financial Group, Inc. Atlanta GA US 54.5 
Keystone Financial Group, LLC Lexington KY USA 302.2 
Keystone Financial Partners, Inc. Colorado Springs CO US 0.0 
Keystone Financial Planning Inc Middleburg Heights OH US 187.9 
Keystone Global Partners LLC New York NY US 32.0 
Keystone Investment Advisors, LLC Wexford PA US 41.0 
Keystone Investment Advisors, LLC. Burlington WI US 0.0 
Keystone National Group, LLC San Ramon CA US 618.9 
Keystone Planning & Tax Service LLC 0.0 
Keystone Wealth Advisors Logan UT US 127.0 
Keystone Wealth Advisors, Inc Minneapolis MN US 142.0 
Keystone Wealth Advisors, Inc. 2.3 
Keystone Wealth Management Service Inc Glen Mills PA US 62.6 
Keystone Wealth Partners LLC Chandler AZ US 63.0 
Keytone Ventures Hong Kong HK 0.0 
Keywise Capital Management hk Limited Hong Kong HK 1948.9 
Kfa Private Wealth Group, LLC Vienna VA US 258.2 
Kfg Wealth Management, LLC Granger IN US 162.2 
Kfico, LLC Registered Investment Advisor Tustin CA US 8.7 
           
 
A Registered Investment Advisor manages assets, makes portfolio composition and individual security selection decisions for a fee, often a percentage of assets invested.

The SEC regulates investment advisors that have over $100 million in assets under management. Investment advisors that do not meet this threshold are generally regulated by the state securities agency in the state where they have their principal place of business. This website provides information about both SEC- and state-registered investment advisor firms.

Investment advisors file Form ADV to register with the SEC or the states. Form ADV contains information about an investment advisor and its business operations.
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