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

PINNACLE PENSION CONSULTANTS LLC
Registered investment adviser (RIA)
CRD
133442
Principal office
NEEDHAM, MA, 02492
RAUM (Item 5F(2)(c))
$2.2 billion ($2,169,070,234.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees; Other
Latest ADV filing in extract
2026-03-05
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 133442; 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
RESURGENS TECHNOLOGY ADVISORS, L.P.
Registered investment adviser (RIA)
CRD
293042
Principal office
ATLANTA, GA, 30326
RAUM (Item 5F(2)(c))
$2.2 billion ($2,167,638,358.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees; Other
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 293042; 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
PDS PLANNING INC
Registered investment adviser (RIA)
CRD
106895
Principal office
DUBLIN, OH, 43017
RAUM (Item 5F(2)(c))
$2.2 billion ($2,167,293,722.00)
Compensation methods (Item 5.E)
Fixed fees
Latest ADV filing in extract
2026-03-19
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 106895; 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
ZUCKERMAN INVESTMENT GROUP
Registered investment adviser (RIA)
CRD
137785
Principal office
CHICAGO, IL, 60606
RAUM (Item 5F(2)(c))
$2.2 billion ($2,167,050,844.00)
Compensation methods (Item 5.E)
Percentage of assets under management
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 137785; 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
ANFIELD CAPITAL MANAGEMENT, LLC
Registered investment adviser (RIA)
CRD
165211
Principal office
IRVINE, CA, 92612
RAUM (Item 5F(2)(c))
$2.2 billion ($2,164,405,044.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-03-17
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 165211; 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
CAPITOL SECURITIES MANAGEMENT, INC.
Registered investment adviser (RIA)
CRD
14169
Principal office
GLEN ALLEN, VA, 23060
RAUM (Item 5F(2)(c))
$2.2 billion ($2,162,366,778.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed 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 14169; 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
SHANGHAI FOSUN CHUANGFU EQUITY INVESTMENT MANAGEMENT COMPANY
Registered investment adviser (RIA)
CRD
170015
Principal office
SHANGHAI, 200010
RAUM (Item 5F(2)(c))
$2.2 billion ($2,156,302,887.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-03-12
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.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 170015; 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
ABACUS PLANNING GROUP, INC.
Registered investment adviser (RIA)
CRD
107994
Principal office
COLUMBIA, SC, 29205-2400
RAUM (Item 5F(2)(c))
$2.2 billion ($2,155,806,749.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-04-13
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 107994; 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
OCTAVIA WEALTH ADVISORS LLC
Registered investment adviser (RIA)
CRD
306909
Principal office
CINCINNATI, OH, 45242
RAUM (Item 5F(2)(c))
$2.2 billion ($2,153,480,679.00)
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 306909; 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
HARTFORD FUNDS
Registered investment adviser (RIA)
CRD
130373
Principal office
WAYNE, PA, 19087
RAUM (Item 5F(2)(c))
$2.2 billion ($2,153,460,678.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-06-10
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 130373; 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
HMI CAPITAL MANAGEMENT, L.P.
Registered investment adviser (RIA)
CRD
160850
Principal office
SAN FRANCISCO, CA, 94104
RAUM (Item 5F(2)(c))
$2.2 billion ($2,152,424,287.00)
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 160850; 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
MERIDIEM CAPITAL PARTNERS LP
Registered investment adviser (RIA)
CRD
318498
Principal office
DALLAS, TX, 75219
RAUM (Item 5F(2)(c))
$2.2 billion ($2,150,412,638.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-07-14
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 318498; 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
GREENLAND CAPITAL MANAGEMENT LP
Registered investment adviser (RIA)
CRD
317701
Principal office
NEW YORK, NY, 10022
RAUM (Item 5F(2)(c))
$2.2 billion ($2,150,244,120.00)
Compensation methods (Item 5.E)
Performance-based fees
Latest ADV filing in extract
2026-06-25
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 317701; 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
OMNI BRIDGEWAY MANAGEMENT (USA) LLC
Registered investment adviser (RIA)
CRD
298001
Principal office
NEW YORK, NY, 10022
RAUM (Item 5F(2)(c))
$2.1 billion ($2,149,567,557.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-07-06
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.
Trace this result
Identity
Firm CRD 298001; 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
EVOLVE PRIVATE WEALTH, LLC
Registered investment adviser (RIA)
CRD
333932
Principal office
LOS ANGELES, CA, 90024
RAUM (Item 5F(2)(c))
$2.1 billion ($2,147,950,288.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-06-16
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 333932; 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
ROOT FINANCIAL PARTNERS
Registered investment adviser (RIA)
CRD
290289
Principal office
AUSTIN, TX, 78704
RAUM (Item 5F(2)(c))
$2.1 billion ($2,147,774,389.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-06-18
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 290289; 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
PRIVATE ADVISORY
Registered investment adviser (RIA)
CRD
170043
Principal office
REDMOND, WA, 98052
RAUM (Item 5F(2)(c))
$2.1 billion ($2,144,656,403.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based 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.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 170043; 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
MERRICKS CAPITAL PTY LTD
Registered investment adviser (RIA)
CRD
157533
Principal office
MELBOURNE, 3000
RAUM (Item 5F(2)(c))
$2.1 billion ($2,144,227,968.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees; Performance-based fees
Latest ADV filing in extract
2026-04-01
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 157533; 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
ETHOS FINANCIAL GROUP, LLC
Registered investment adviser (RIA)
CRD
321748
Principal office
KING OF PRUSSIA, PA, 19406
RAUM (Item 5F(2)(c))
$2.1 billion ($2,144,085,745.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees; Performance-based fees
Latest ADV filing in extract
2026-07-07
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 321748; 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
FINANCIAL MANAGEMENT NETWORK INC
Registered investment adviser (RIA)
CRD
110454
Principal office
MISSION VIEJO, CA, 92691
RAUM (Item 5F(2)(c))
$2.1 billion ($2,143,652,081.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees; Other
Latest ADV filing in extract
2025-12-19
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 110454; 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: 347 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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What do you want to find out?

Distribution

PINNACLE PENSION CONSULTANTS LLC

RESURGENS TECHNOLOGY ADVISORS, L.P.

PDS PLANNING INC

ZUCKERMAN INVESTMENT GROUP

ANFIELD CAPITAL MANAGEMENT, LLC

CAPITOL SECURITIES MANAGEMENT, INC.

SHANGHAI FOSUN CHUANGFU EQUITY INVESTMENT MANAGEMENT COMPANY

ABACUS PLANNING GROUP, INC.

OCTAVIA WEALTH ADVISORS LLC

HARTFORD FUNDS

HMI CAPITAL MANAGEMENT, L.P.

MERIDIEM CAPITAL PARTNERS LP

GREENLAND CAPITAL MANAGEMENT LP

OMNI BRIDGEWAY MANAGEMENT (USA) LLC

EVOLVE PRIVATE WEALTH, LLC

ROOT FINANCIAL PARTNERS

PRIVATE ADVISORY

MERRICKS CAPITAL PTY LTD

ETHOS FINANCIAL GROUP, LLC

FINANCIAL MANAGEMENT NETWORK INC