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Registered Investment Advisors
           
           
Firm Name City State Country Assets ($M) 
1492 Capital Management, LLC Milwaukee WI US 148.3 
2nd Market Capital Advisory Corporation. Madison WI US 108.3 
401k Plan Advisors Green Bay WI US 0.0 
4490 Ventures Madison WI US 0.0 
90capital, LLC Madison WI US 0.0 
A To Z Financial Planning LLC Oak Creek WI US 27.7 
Access Investment Advisors Inc Manitowoc WI US 130.0 
Advisors Management Group Inc La Crosse WI US 306.5 
Advisors Pride Inc. Appleton WI US 267.8 
Aegis Wealth Advisors. LLC Hartland WI US 10.5 
Affiliated Financial Advisors Inc Milwaukee WI US 151.8 
Alberts Investment Management Inc. Brookfield WI US 270.4 
Allen Investment Advisor Service Oshkosh WI US 3.6 
Alliance Wealth Management Milwaukee, Inc. Milwaukee WI US 0.0 
Allison & Company Financial Counselors, LLC Glendale WI US 27.7 
Alpha Investment Consulting Group, LLC Milwaukee WI US 9.3 
American Investment Advisors Inc Madison WI US 59.5 
Amp Wealth Management Whitefish Bay WI US 183.0 
Analytical Investment Service, Inc. La Crosse WI US 9.4 
Annex Wealth Management, LLC Elm Grove WI US 1042.3 
Appleton Investment Management Inc. Menasha WI US 7.9 
Arcataur Capital Management LLC Milwaukee WI US 121.5 
Artisan Partners LP Milwaukee WI US 99847.8 
Asc Wealth & Retirement Advisors LLC Appleton WI USA 120.7 
Associated Investment Service, Inc. Green Bay WI US 404.7 
Associated Retirement Planners, Inc. Wausau WI US 0.0 
Awen Investment Advisory LLC Madison WI US 0.0 
Baird Asia Partners Management Company I, LLC. Milwaukee WI US 7.9 
Baird Capital Global Fund Management I LP Milwaukee WI US 0.0 
Baird Capital Partners Asia Management I LP Milwaukee WI US 73.3 
Baird Capital Partners Management Company Iii, LLC Milwaukee WI US 6.2 
Baird Capital Partners Management Company Iv, LLC Milwaukee WI US 90.0 
Baird Capital Partners Management Company V, LLC Milwaukee WI US 176.9 
Baird Principal Group Management Company I, LLC Milwaukee WI US 64.7 
Baird Venture Partners Management Company I, LLC. Milwaukee WI US 23.0 
Baird Venture Partners Management Company Iii, LLC Milwaukee WI US 186.8 
Baird Venture Partners Management Company Iv, LLC Milwaukee WI US 204.2 
Baker Tilly Financial Madison WI US 0.0 
Barington Capital Management Green Bay WI US 16.0 
Beadell A D Investment Counsel Inc Mequon WI US 179.3 
Bernicke Wealth Management, Limited. Altoona WI US 173.6 
Bertram Financial Advisor Service LLC Mineral Point WI US 0.0 
Big Cedar Investment Advisors Slinger WI US 24.0 
Biltmore Investment Management, LLC Green Bay WI US 33.5 
Black Maple Capital Management LP Milwaukee WI US 148.0 
Blackhawk Capital Partners, LLC Thiensville WI US 143.8 
Bluemound Asset Management, LLC Elm Grove WI US 33.0 
Bluepoint Investment Counsel, LLC Madison WI US 145.3 
Boardwalk Financial Strategies LLC Delafield WI US 40.3 
Broadview Advisors, LLC Milwaukee WI US 840.1 
Brook Capital Brookfield WI US 121.9 
Brookfield Investment Partners, LLC Brookfield WI US 480.6 
Buena Vista Investment Management LLC Wisconsin Rapids WI US 83.0 
Bull Moose Investments LLC Milwaukee WI US 6.2 
Bultman Investment Management, Inc. Brookfield WI US 35.8 
Buska Wealth Management, LLC Rothschild WI US 0.0 
Buttonwood Partners, Inc. Madison WI US 18.8 
Campbell Newman Asset Management Inc Glendale WI US 496.2 
Capital Coordinators Company Eau Claire WI US 0.0 
Capital Innovations, LLC Pewaukee WI US 162.0 
Capital Investment Service Of America Inc Milwaukee WI US 652.2 
Capital Market Consultants, Inc. Milwaukee WI US 0.0 
Capital Midwest Advisors I, LLC Mequon WI US 0.0 
Capital Midwest Advisors Ii, LLC Mequon WI US 0.0 
Capital Midwest Advisors Iii Mequon WI US 0.0 
Capital Wealth Advisors, Limited. West Bend WI US 117.0 
Carl M. Hennig, Inc. Milwaukee WI US 0.0 
Cb3 Financial Group, Inc. Lake Geneva WI US 0.4 
Cedarpoint Investment Advisors, Inc. Delafield WI US 190.0 
Charter Capital Management, Inc Wauwatosa WI US 142.6 
Christiansen Asset Management LLC Mequon WI US 3.0 
Cleary Gull Advisors Inc. Milwaukee WI US 2292.3 
Cleveland Hauswirth Investment Management, Inc. Milwaukee WI US 208.0 
Clf Asset Management, Inc. Madison WI US 23.1 
Client First Investment Management LLC West Bend WI US 39.5 
Conceptual Financial Advisors, LLC Appleton WI US 55.8 
Conscious Capital Management LLC Madison WI US 11.9 
Convergence Investment Partners, LLC Grafton WI US 448.1 
Coordinated Capital Securities, Inc. Madison WI US 88.4 
Copper Harbor Investment Advisors, LLC Little Chute WI US 201.0 
Cornerstone Financial Planning, Inc. Appleton WI US 42.0 
Cortina Asset Management, LLC Milwaukee WI US 2308.4 
Cove Five Capital, LLC Sun Prairie WI US 0.7 
Crg Financial Service, Inc. Brookfield WI US 9.4 
Cwp Private Wealth Management West Bend WI US 9.2 
Dana Investment Advisors Inc Brookfield WI US 6626.6 
Del Chmielewski, LLC Jefferson WI US 0.0 
Denali Wealth Management, Inc. Milwaukee WI US 212.7 
Direction Financial Management, LLC Germantown WI US 0.0 
Disciplined Financial Service, Inc. Brookfield WI US 28.5 
Diversified Management Inc Milwaukee WI US 831.3 
Drake & Associates, LLC Waukesha WI US 22.6 
Duell Financial Strategies Appleton WI US 47.6 
Ehlers Investment Partners, LLC Waukesha WI US 452.7 
Ellenbecker Investment Group Pewaukee WI US 540.7 
Employer Retirement Investment Advisors, LLC De Pere WI US 206.2 
Encore Financial Group, LLC Appleton WI US 0.0 
Endowment Wealth Management, Inc. Appleton WI US 61.1 
Enrich Financial Partners LLC Madison WI US 126.8 
Entasis Asset Management LLC Brookfield WI US 0.0 
Envest Microfinance co op Madison WI US 0.0 
Estate Counselors, LLC Thiensville WI US 392.9 
Etf Model Solutions, LLC Appleton WI US 5.6 
Evologic Investment Advisors, LLC West Bend WI US 3.4 
Falcons Rock Investment Counsel, LLC Germantown WI US 0.0 
Family Investment Planning, LLC Elm Grove WI US 15.0 
Fay Investments & Planning Eau Claire WI US 15.9 
Fiduciary Management, Inc. Milwaukee WI US 23305.2 
Filbrandt Investment Advisers Inc Middleton WI US 627.2 
Financial Fiduciaries, LLC Wausau WI US 147.5 
Financial Focus Inc. Wauwatosa WI US 15.6 
Financial Planning And Information Service, Inc. De Pere WI US 431.0 
Financial Service Group Inc Mount Pleasant WI US 167.3 
Financial Solutions, LLC Waukesha WI US 327.1 
Financial Strategies, Inc Brookfield WI US 57.8 
Financial Wealth Management, LLC Madison WI USA 218.0 
Firstpathway Partners LLC Milwaukee WI US 0.0 
Fiscal Fitness, LLC Verona WI US 0.0 
Fortress Partners Capital Management, Limited. Hartland WI US 20.9 
Forward Investment Advisors, Inc. Madison WI US 23.3 
Fox River Capital Appleton WI US 6.2 
Francis Investment Counsel LLC Brookfield WI US 120.2 
Freedom Investors Corporation. Brookfield WI US 1.8 
Freedom Wealth Alliance Brookfield WI US 170.0 
Friedlander & Co Inc Milwaukee WI US 284.4 
Fulton Investment Advisers, Inc. Wauwatosa WI US 0.0 
Fund Management Corporation. Mequon WI US 25.3 
Gener8tor Management, LLC Madison WI US 0.0 
Generation Growth Capital Partners I, LLC Milwaukee WI US 0.0 
Generation Growth Capital Partners Ii, LLC Milwaukee WI US 0.0 
Generation Growth Capital Wisconsin Partners Ii, LLC Milwaukee WI US 0.0 
Geneva Partners, LLC Lake Geneva WI US 122.0 
Gentian Financial, Inc. Mequon WI US 0.0 
Global View Capital Management, Limited Waukesha WI US 256.8 
Googins Advisors, Inc. Middleton WI US 158.9 
Granite Financial Group Brookfield WI US 74.6 
Greenpoint Asset Management V LLC Madison WI US 0.0 
Gtg Wealth Management, LLC Elm Grove WI US 0.0 
Guyder Financial Group Pewaukee WI US 6.0 
Gvr Investment Management, Inc. Two Rivers WI US 29.7 
Haese Financial Group Inc Jackson WI US 5.4 
Hammes Realty Advisors, LLC Brookfield WI US 437.9 
Hansberger Growth Investors, LP Madison WI USA 424.7 
Harbor Wealth Management, LLC Green Bay WI US 117.8 
Harbour Investments, Inc. Madison WI USA 762.6 
Harris Financial Service, Inc. Oshkosh WI US 38.5 
Hbm, LLC Madison WI US 0.0 
Heartland Advisors, Inc. Milwaukee WI USA 1966.6 
Heck Capital Advisors, LLC Rhinelander WI US 3068.3 
Henderson Geneva Capital Management Milwaukee WI USA 5326.6 
Hermening Advisory Service LLC Wausau WI US 95.6 
Highland Investment Advisors LLC Mequon WI US 78.2 
Hobert & Svoboda, Inc. Brookfield WI US 55.4 
Hogan Financial Milwaukee WI USA 230.0 
Hohensee Financial Service, Inc. Oconomowoc WI US 8.2 
Hovde Capital Advisors LLC Madison WI US 0.0 
Huth Advisory Group, LLC Appleton WI US 4.3 
Independent Solutions Glendale WI US 0.3 
Intrinsic Investors LLC Wauwatosa WI US 81.9 
Investment Centers Of America, Inc. Appleton WI USA 3545.4 
Investment Fee Solutions Brookfield WI US 19.0 
Investment Professionals, LLC Madison WI US 46.5 
Investor Counsel, LLC Eau Claire WI US 11.8 
Investors Advisory Group, LLC Waukesha WI US 605.6 
Isectors, LLC Appleton WI US 5.8 
Isthmus Partners, LLC Madison WI US 474.7 
Jacobson & Schmitt Advisors, LLC Madison WI USA 162.6 
Jacobus Wealth Management Inc Milwaukee WI US 788.2 
Janco Investment Counsel, LLC Milwaukee WI US 30.1 
Jataj Wealth Management, LLC Blanchardville WI US 9.7 
Jb Investment Management, LLC Brookfield WI US 593.9 
Jbc Wealth Advisors, LLC Madison WI US 0.0 
John F Suby Wealth Management LLC Madison WI US 286.0 
Jordan Financial Life Planning Kenosha WI US 53.9 
Kademian Financial Group Inc Milwaukee WI US 51.8 
Kcd Financial, Inc. Green Bay WI USA 33.0 
Kdhh Investments LLC West Bend WI US 0.0 
Kellogg Asset Management, LLC Green Bay WI US 1533.5 
Kerberrose Wealth Management, LLC Shawano WI US 13.3 
Kerntke Otto Mcglone Wealth Management Group Appleton WI US 231.0 
Kevin Bay Investments, LLC Pewaukee WI US 148.9 
Keystone Investment Advisors, LLC. Burlington WI US 0.0 
Klcm Advisors, Inc. Milwaukee WI US 560.3 
Kolash Wealth Strategies, LLC Appleton WI US 8.6 
Korbitz Financial Planning LLC Milwaukee WI US 0.0 
Kosler & Company, S.c. Oconomowoc WI US 0.0 
Kowal Investment Group, LLC Waukesha WI US 0.0 
Kramer Investment Service, LLC Lake Geneva WI US 1.7 
Kult Wealth Management Group, LLC Brookfield WI US 55.3 
Kyle Financial Service Milwaukee WI US 202.8 
Lakekat Advisory, LLC Wausau WI US 0.0 
Lakeview Equity Partners, LLC Milwaukee WI US 0.0 
Landaas & Company Milwaukee WI USA 808.1 
Landolt Securities, Inc. Oshkosh WI US 50.6 
Larson Wealth Management, LLC West Bend WI US 43.5 
Lasalle Investment Advisors, Inc. Pewaukee WI US 64.1 
Leach, Bickmore & Weiss Wealth Management, LLC Madison WI US 19.5 
Legacy Capital Partners, Inc. Milwaukee WI US 287.2 
Legacy Wealth Management, LLC Mequon WI US 26.1 
Lemley Yarling Management Co Soldiers Grove WI US 29.3 
Liberty Financial Group, Inc. Elm Grove WI US 90.6 
Looking Glass Investments LLC Milwaukee WI US 0.0 
Lotzer & Co.,Inc. Bayside WI US 6.0 
Madison Asset Management Madison WI USA 5740.5 
Madison Investment Advisors, LLC Madison WI USA 9510.1 
Madison Investment Holdings, Inc Madison WI USA 0.0 
Mainstreet Capital Management Eau Claire WI US 0.0 
Mandel/overland Park Equity LLC Milwaukee WI US 0.0 
Marietta Investment Partners, LLC Milwaukee WI US 341.5 
Martin D. Verhelst, Cpa Oregon WI US 0.0 
Mason Street Advisors, LLC Milwaukee WI US 19265.0 
Mason Wells Buyout Partners Ii, LLC Milwaukee WI US 0.0 
Mason Wells Buyout Partners Iii, LLC Milwaukee WI US 531.3 
Mason Wells Buyout Partners Iv, LLC Milwaukee WI US 597.2 
Mason Wells, Inc. Milwaukee WI US 1364.8 
Mbe Wealth Management, LLC Tomah WI US 120.0 
Mccarthy Grittinger Financial Group, LLC Milwaukee WI US 217.3 
Members Capital Advisors, Inc. Madison WI US 15888.3 
Mendota Financial Group, LLC Madison WI US 141.2 
Mendota Venture Capital, LLC Madison WI US 0.0 
Michael A. Dubis Financial Planning, LLC Madison WI US 107.8 
Mid Wisconsin Investment Advisors, LLC Wis. Rapids WI US 2.4 
Midwest Asset Management, Inc. Middleton WI US 11.8 
Midwest Professional Planners, Limited. Wausau WI USA 199.7 
Milestone Investment Advisors, LLC Middleton WI US 357.0 
Milwaukee Capital, Inc. Milwaukee WI US 0.0 
Milwaukee Institutional Asset Management Mequon WI US 71.8 
Morgan Dempsey Capital Management LLC Menomonee Falls WI US 275.3 
Morgan Kenwood Advisors, LLC Greendale WI US 82.2 
Mpc Advisers, LLC Brookfield WI US 336.0 
Musser Capital Advisors, LLC Madison WI US 17.0 
Myfamilycfo, Inc. Schofield WI US 0.0 
Nagel & Associates, LLC D/b/a Nagel Private Wealth Management Green Bay WI US 71.3 
Nakoma Capital Management, LLC Madison WI US 90.6 
Nan M. Zimdars, Inc. Fitchburg WI US 16.8 
National Accounting And Business Solutions, Sc New Berlin WI US 0.0 
National Investment Service, Inc Milwaukee WI US 4898.9 
Neibor Asset Management, Inc. Mequon WI US 1.6 
Nelson Financial Service Madison WI US 3.4 
Netols Asset Management Inc Mequon WI US 789.0 
Neuenschwander Asset Management, LLC Mcfarland WI US 71.3 
New Capital Management Ii, Inc. Little Chute WI US 0.0 
New Capital Management, Inc. Little Chute WI US 0.0 
Next Generation Wealth Management, Inc. Milwaukee WI US 205.5 
Nicholas Co Inc Milwaukee WI US 4907.7 
Nicolet Advisory Service, LLC Green Bay WI US 101.6 
North Shore Investment Advisors, LLC Neenah WI US 8.3 
North Star Asset Management Inc Menasha WI US 1295.8 
Northern Capital Management LLC Madison WI US 357.6 
Northern Oak Wealth Management. Inc Milwaukee WI US 605.0 
Northwest Passage Capital Advisors LLC Milwaukee WI US 737.1 
Northwestern Mutual Investment Service,LLC Milwaukee WI US 0.0 
Oarsman Capital, Inc Milwaukee WI US 359.8 
Oldenburg Investment Professionals Milwaukee WI US 7.2 
Orgel Wealth Management, LLC Altoona WI US 3032.0 
P.a. Berg Retirement Solutions Brookfield WI US 6.5 
Packerland Brokerage Service, Inc. Green Bay WI USA 238.6 
Paladin Partners Milwaukee WI US 26.9 
Park Capital Management, LLC Madison WI US 63.0 
Pavlic Investment Advisors, Inc. Delafield WI US 73.8 
Pegasus Partners Mequon WI US 1055.8 
Perk Planning Madison WI US 0.0 
Pillar Wealth Management Co. Madison WI US 62.4 
Pjs Investment Management Cedarburg WI US 434.0 
Planning Consultants, LLC Kenosha WI US 0.0 
Poehling Capital Management, Inc. Madison WI US 200.3 
Ppcm, Inc. Milwaukee WI US 802.1 
Practical Portfolios LLC Manitowoc WI US 23.3 
Premier Financial Service Brookfield WI US 0.0 
Professional Financial Management, Inc. Little Chute WI US 52.5 
Professional Management Of Milwaukee, Inc. Brookfield WI US 21.8 
Prophecy Impact Investments, LLC Germantown WI US 0.0 
Prophet Wealth Management Kenosha WI US 54.4 
Prosper Wealth Management, LLC Wausau WI US 16.4 
Provident Trust Company Waukesha WI US 2231.4 
R. Meier, Inc. Fort Atkinson WI US 69.4 
Racon Capital Milwaukee WI US 53.4 
Regal Bay Investment Group, LLC Milwaukee WI US 27.6 
Reinhart Partners, Inc. Mequon WI US 5261.8 
Review Service Inc Brookfield WI USA 114.7 
Richardson Capital Management, LLC Menomonee Falls WI US 317.2 
Rj Hills Financial Service, LLC Eau Claire WI US 2.0 
Rmr Financial Advisors, LLC Madison WI US 186.0 
Robert W. Baird & Co. Inc Milwaukee WI US 83909.8 
Rosemary Barnes Cfp Wausau WI US 34.0 
Rwh Asset Management Kenosha WI US 1.5 
Sadoff Investment Management LLC Milwaukee WI US 1119.8 
Schaper Benz & Wise Investment Counsel Inc Neenah WI US 643.8 
Schenck Investment Solutions LLC Appleton WI US 669.6 
Schreiber Investment Advisory Service Mukwonago WI US 0.0 
Select Advisor Group, Inc. Brookfield WI US 77.7 
Sellers Asset Management Group, LLC Kenosha WI US 7.7 
Sennett Investment Counseling, Inc. Mequon WI US 24.5 
Sentry Investment Management, LLC. Stevens Point WI US 12208.1 
Shakespeare Wealth Management, Inc. Pewaukee WI US 124.9 
Sii Investments, Inc. Appleton WI USA 4281.2 
Sims Capital Management LLC Milwaukee WI US 45.2 
Sja Financial Advisory, LLC Menomonee Falls WI US 266.0 
Skoufis Capital Management Milwaukee WI US 20.0 
Skylands Capital, LLC Milwaukee WI US 775.4 
Smith & Gesteland, LLP Middleton WI US 0.0 
Spectrum Investment Advisors, Inc. Mequon WI USA 135.0 
Spring Water Asset Management, Inc. Mequon WI US 2.3 
Srm Financial Service, LLC Appleton WI US 0.0 
St. Croix Advisors, LLC Hudson WI US 41.0 
Stark Investments Milwaukee WI US 690.1 
Sterling Capital Management Inc Waukesha WI US 155.4 
Stockbridge Private Wealth Management, LLC Sheboygan WI US 24.5 
Stoeckler Financial Advisory Service, LLC Brookfield WI US 29.4 
Sugar Maple Asset Management, LLC Sister Bay WI US 82.0 
Summit Investment Management, Limited. Milwaukee WI US 65.3 
Summit Planning Group LLC Green Bay WI US 397.2 
Sumnicht & Associates, LLC Appleton WI US 268.8 
Sva Plumb Wealth Management, LLC Madison WI US 2106.9 
Sycamore Investment Consulting Service, LLC Madison WI US 76.8 
T. Anton Investment House, Inc. Middleton WI US 104.0 
The Appleton Group, LLC Appleton WI US 135.0 
The Water Council Milwaukee WI US 0.0 
The Willms Group, A Division Of Quant Ix Software, Inc. Mequon WI US 0.0 
The Wisconsin Retirement Group, S.c. Oshkosh WI US 0.0 
Thompson Investment Management, Inc. Madison WI US 3128.4 
Three Lakes Securities, LLC Madison WI US 0.0 
Thun Financial Advisors Madison WI US 143.5 
Timpani Capital Management LLC Milwaukee WI US 231.9 
Tone Financial Advisors, LLC Stoughton WI US 2.8 
Tower View Investment Management & Research LLC Milwaukee WI USA 116.0 
Trinity Financial Planning Middleton WI US 24.5 
Trinity Wealth Management LLC Oconomowoc WI US 8.5 
Trustee Advisory Service, LLC Waukesha WI US 39.6 
Uniplan Investment Counsel, Inc. Union Grove WI US 2364.3 
Uniplan Real Estate Advisors, Inc. Union Grove WI US 0.0 
Venture Investors LLC Madison WI US 0.0 
Veritas Financial Service, LLC Plymouth WI US 0.0 
Verus Investment Advisory Group, Inc. Appleton WI US 77.0 
Vestura, LLC Sister Bay WI US 118.0 
Vision Wealth Partners Appleton WI US 2.7 
Vogel Consulting, LLC Brookfield WI US 0.0 
Voit & Company, LLC Brookfield WI USA 196.9 
Voyager Capital Management, LLC Lake Geneva WI US 186.8 
Walkner Condon Financial Advisors, LLC Madison WI US 62.1 
Wangard Income Fund Manager, LLC Milwaukee WI US 0.0 
Warden Wealth Management, LLC Milwaukee WI US 17.1 
Warnke/nichols Limited. Delafield WI US 113.2 
Wea Financial Advisers, Inc. Madison WI US 0.0 
Wealth Abundance Wealth Mangement, LLC Menasha WI US 0.0 
Wealth Management Group, LLC Cumberland WI US 0.0 
Weber Wealth Management, LLC Green Bay WI US 40.0 
Wfa Asset Management Corporation Whitefish Bay WI US 187.2 
Whalen Capital, Inc. Schofield WI US 48.2 
Whn Investor Service, Inc. Brookfield WI US 11.7 
Wiara Investment Management, LLC Appleton WI US 5.1 
Wilson Financial, LLC Appleton WI US 0.0 
Winch Advisory Service LLC Appleton WI US 271.6 
Windermere Wealth Advisors, LLC Milwaukee WI US 25.8 
Windward Wealth Strategies, Inc. Oshkosh WI USA 161.9 
Wisco Investment Management LLC Madison WI US 9.8 
Wisconsin Capital Management, LLC Madison WI US 58.9 
Wisconsin Investment Service, LLC Kewaskum WI US 25.0 
Wisconsin Wealth Advisors, LLC Sun Prairie WI US 53.4 
Wkmr Financial Group, LLC Brookfield WI US 0.0 
Wolf Robertson Advisors Inc. Thiensville WI US 4.9 
Wynn Capital Management Inc. Milwaukee WI US 224.3 
Yahara Wealth Management LLC Madison WI US 33.0 
Ziegler Link-age Management, LLC Milwaukee WI US 0.0 
Ziegler Meditech Partners, LLC Milwaukee WI US 0.0 
           
 
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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