Ask: RIAs between $1 billion and $10 billion RAUM

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Natural language is mapped to bounded SEC/IARD and Form ADV research. Registration is not endorsement, and missing evidence is not a clean history.

We interpreted your question as

Research task: raum research
Firm class: RIA
RAUM: {"min":1000000000,"maxExclusive":10000000000,"bandId":"from1bTo10b"} (Form ADV Item 5F(2)(c), USD)

Natural-language parsing and regulatory execution stay separate. Change the question and resubmit.

Distribution

Matching firm facts4,023

form_adv_firm_facts rows matching filters

SECURIS INVESTMENT PARTNERS LLP
Registered investment adviser (RIA)
CRD
161295
Principal office
LONDON, EC2N 4AY
RAUM (Item 5F(2)(c))
$2.3 billion ($2,290,044,766.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees; Other
Latest ADV filing in extract
2026-06-26
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 161295; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
KA CREDIT ADVISORS, LLC
Registered investment adviser (RIA)
CRD
306753
Principal office
HOUSTON, TX, 77002
RAUM (Item 5F(2)(c))
$2.3 billion ($2,286,702,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-03-13
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 306753; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
JANA PARTNERS MANAGEMENT, LP
Registered investment adviser (RIA)
CRD
292832
Principal office
NEW YORK, NY, 10106
RAUM (Item 5F(2)(c))
$2.3 billion ($2,286,390,039.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-05-29
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 292832; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
CORNERSTONE MANAGEMENT, INC.
Registered investment adviser (RIA)
CRD
125828
Principal office
DULUTH, GA, 30096
RAUM (Item 5F(2)(c))
$2.3 billion ($2,286,345,234.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-07-02
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 125828; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
FIDELIS CAPITAL
Registered investment adviser (RIA)
CRD
322287
Principal office
TAMPA, FL, 33607
RAUM (Item 5F(2)(c))
$2.3 billion ($2,284,448,461.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-04-06
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 322287; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
CLOCKTOWER GROUP, L.P.
Registered investment adviser (RIA)
CRD
158142
Principal office
SANTA MONICA, CA, 90401
RAUM (Item 5F(2)(c))
$2.3 billion ($2,282,991,910.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Subscription fees; Fixed fees; Performance-based fees
Latest ADV filing in extract
2026-07-01
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 158142; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
RESOLUTION CAPITAL (US) LIMITED
Registered investment adviser (RIA)
CRD
298109
Principal office
RYE BROOK, NY, 10573
RAUM (Item 5F(2)(c))
$2.3 billion ($2,282,927,649.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2025-09-23
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 298109; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
LAZARD ASSET MANAGEMENT CANADA INC
Registered investment adviser (RIA)
CRD
106340
Principal office
NEW YORK, NY, 10112
RAUM (Item 5F(2)(c))
$2.3 billion ($2,282,810,629.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-03-31
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 106340; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
SELLWOOD INVESTMENT PARTNERS LLC
Registered investment adviser (RIA)
CRD
164696
Principal office
PORTLAND, OR, 97224
RAUM (Item 5F(2)(c))
$2.3 billion ($2,282,700,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees; Other
Latest ADV filing in extract
2026-06-29
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 164696; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
GAMMA INVESTING LLC
Registered investment adviser (RIA)
CRD
312573
Principal office
Principal office not resolved in this extract
RAUM (Item 5F(2)(c))
$2.3 billion ($2,282,120,118.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-03-13
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 312573; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
VANBARTON GROUP LLC
Registered investment adviser (RIA)
CRD
119128
Principal office
NEW YORK, NY, 10017-6318
RAUM (Item 5F(2)(c))
$2.3 billion ($2,280,800,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees; Other
Latest ADV filing in extract
2026-03-30
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 119128; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
ASSET VALUE INVESTORS LIMITED
Registered investment adviser (RIA)
CRD
137779
Principal office
LONDON, W1G 0PU
RAUM (Item 5F(2)(c))
$2.3 billion ($2,280,784,820.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2025-12-23
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 137779; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
GRANT TANI BARASH & ALTMAN, LLC
Registered investment adviser (RIA)
CRD
319128
Principal office
BEVERLY HILLS, CA, 90212
RAUM (Item 5F(2)(c))
$2.3 billion ($2,280,463,766.00)
Compensation methods (Item 5.E)
Other
Latest ADV filing in extract
2026-05-06
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 319128; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
MONECO ADVISORS
Registered investment adviser (RIA)
CRD
171922
Principal office
FAIRFIELD, CT, 06824
RAUM (Item 5F(2)(c))
$2.3 billion ($2,279,903,376.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-06-08
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 171922; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
SOUND VIEW WEALTH ADVISORS GROUP, LLC
Registered investment adviser (RIA)
CRD
300927
Principal office
SAVANNAH, GA, 31411
RAUM (Item 5F(2)(c))
$2.3 billion ($2,279,615,918.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees; Other
Latest ADV filing in extract
2026-03-29
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 300927; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
GATEWAY WEALTH PARTNERS, LLC
Registered investment adviser (RIA)
CRD
322789
Principal office
APPLETON, WI, 54911
RAUM (Item 5F(2)(c))
$2.3 billion ($2,278,835,584.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-06-12
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Trace this result
Identity
Firm CRD 322789; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
Public research profile published
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Research this adviser
TRAPHAGEN FINANCIAL GROUP
Registered investment adviser (RIA)
CRD
107764
Principal office
ORADELL, NJ, 07649
RAUM (Item 5F(2)(c))
$2.3 billion ($2,278,123,079.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges
Latest ADV filing in extract
2026-03-02
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 107764; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
ARROYO ENERGY INVESTMENT PARTNERS LLC
Registered investment adviser (RIA)
CRD
173735
Principal office
SPRING, TX, 77389
RAUM (Item 5F(2)(c))
$2.3 billion ($2,277,670,792.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-07-24
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 173735; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
STONEBRIDGE FINANCIAL GROUP, LLC
Registered investment adviser (RIA)
CRD
327529
Principal office
WORMLEYSBURG, PA, 17043
RAUM (Item 5F(2)(c))
$2.3 billion ($2,276,868,952.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-07-31
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 327529; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
JDL ADVISERS
Registered investment adviser (RIA)
CRD
122307
Principal office
NEWPORT BEACH, CA, 92660-3032
RAUM (Item 5F(2)(c))
$2.3 billion ($2,276,577,707.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-07-08
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports RAUM $1B–under $10B on Form ADV Item 5F(2)(c).
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 122307; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Not geography-filtered
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD

Trace this query

Contract: investor-ask-v1
Source dataset: sec_ia_ria
Official as-of / retrieved: Not established for all returned rows / 2026-08-18
Source clock meaning: Source releases attached to returned firm facts; unknown publication dates remain unknown. Release labels are not converted to official effective dates.
Geography meaning: Not geography-filtered
RAUM units: USD as reported on Form ADV Item 5F(2)(c)
Compensation taxonomy: Form ADV Item 5.E(1)–5.E(7) Y/N methods
Identifier method: Not an identifier query
Elapsed: 315 ms

Ask does not invent firm facts. Results come from the current SEC/IARD extract.
RIA is not ERA. Counts stay in their class.
Principal office is not client geography.
RAUM is Item 5F(2)(c), not performance.
Item 5.E methods are not fee amounts.
Missing disclosure is not a clean history.
Public firm reports are a publication gate (Wave-1), not a ranking.

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Distribution

SECURIS INVESTMENT PARTNERS LLP

KA CREDIT ADVISORS, LLC

JANA PARTNERS MANAGEMENT, LP

CORNERSTONE MANAGEMENT, INC.

FIDELIS CAPITAL

CLOCKTOWER GROUP, L.P.

RESOLUTION CAPITAL (US) LIMITED

LAZARD ASSET MANAGEMENT CANADA INC

SELLWOOD INVESTMENT PARTNERS LLC

GAMMA INVESTING LLC

VANBARTON GROUP LLC

ASSET VALUE INVESTORS LIMITED

GRANT TANI BARASH & ALTMAN, LLC

MONECO ADVISORS

SOUND VIEW WEALTH ADVISORS GROUP, LLC

GATEWAY WEALTH PARTNERS, LLC

TRAPHAGEN FINANCIAL GROUP

ARROYO ENERGY INVESTMENT PARTNERS LLC

STONEBRIDGE FINANCIAL GROUP, LLC

JDL ADVISERS