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

GUARDIAN WEALTH STRATEGIES, LLC
Registered investment adviser (RIA)
CRD
167485
Principal office
MINNEAPOLS, MN, 55426
RAUM (Item 5F(2)(c))
$1.1 billion ($1,137,618,563.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-02-20
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 167485; 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
CAPITAL WEALTH MANAGEMENT, LLC
Registered investment adviser (RIA)
CRD
157959
Principal office
WEST WARWICK, RI, 02893
RAUM (Item 5F(2)(c))
$1.1 billion ($1,137,135,987.00)
Compensation methods (Item 5.E)
Percentage of assets under management; 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 157959; 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
IGNITE PLANNERS LLC
Registered investment adviser (RIA)
CRD
289797
Principal office
SAN CLEMENTE, CA, 92672
RAUM (Item 5F(2)(c))
$1.1 billion ($1,136,946,561.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees; Performance-based fees
Latest ADV filing in extract
2026-05-05
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 289797; 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
STERLING INVESTORS LP
Registered investment adviser (RIA)
CRD
311318
Principal office
NEW YORK, NY, 10019
RAUM (Item 5F(2)(c))
$1.1 billion ($1,136,893,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-05-12
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 311318; 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
SONEN CAPITAL LLC
Registered investment adviser (RIA)
CRD
159461
Principal office
SAN FRANCISCO, CA, 94104
RAUM (Item 5F(2)(c))
$1.1 billion ($1,136,785,878.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees; Performance-based fees
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 159461; 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
OAK HARVEST INVESTMENT SERVICES
Registered investment adviser (RIA)
CRD
173293
Principal office
HOUSTON, TX, 77024
RAUM (Item 5F(2)(c))
$1.1 billion ($1,136,761,287.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-04-22
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 173293; 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
CARLYLE AVIATION SECURITIES PARTNERS LLC
Registered investment adviser (RIA)
CRD
168456
Principal office
MIAMI, FL, 33131-2946
RAUM (Item 5F(2)(c))
$1.1 billion ($1,135,964,166.00)
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 168456; 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
YOSEMITE MANAGEMENT, LLC
Registered investment adviser (RIA)
CRD
326764
Principal office
SAN FRANCISCO, CA, 94111
RAUM (Item 5F(2)(c))
$1.1 billion ($1,135,655,536.00)
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 326764; 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
CASTLE CREEK CAPITAL
Registered investment adviser (RIA)
CRD
158079
Principal office
SAN DIEGO, CA, 92130
RAUM (Item 5F(2)(c))
$1.1 billion ($1,135,436,615.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
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 158079; 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
PSC MANAGER LLC
Registered investment adviser (RIA)
CRD
311756
Principal office
YARDLEY, PA, 19067
RAUM (Item 5F(2)(c))
$1.1 billion ($1,135,371,414.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-05-13
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 311756; 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
747 CAPITAL, LLC
Registered investment adviser (RIA)
CRD
164742
Principal office
NEW YORK, NY, 10022
RAUM (Item 5F(2)(c))
$1.1 billion ($1,134,617,173.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees; Other
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 164742; 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
SYMBIOTIC CAPITAL
Registered investment adviser (RIA)
CRD
325844
Principal office
LOS ANGELES, CA, 90067
RAUM (Item 5F(2)(c))
$1.1 billion ($1,134,521,879.00)
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 325844; 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
TOPLINE CAPITAL MANAGEMENT, LLC
Registered investment adviser (RIA)
CRD
298981
Principal office
Principal office not resolved in this extract
RAUM (Item 5F(2)(c))
$1.1 billion ($1,134,131,443.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-03-20
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 298981; 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
GOODNOW INVESTMENT GROUP LLC
Registered investment adviser (RIA)
CRD
136792
Principal office
DARIEN, CT, 06820
RAUM (Item 5F(2)(c))
$1.1 billion ($1,133,994,925.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-03-03
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 136792; 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
PROVIDENT INVESTMENT MANAGEMENT, INC.
Registered investment adviser (RIA)
CRD
106976
Principal office
NOVI, MI, 48375
RAUM (Item 5F(2)(c))
$1.1 billion ($1,133,614,748.00)
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 106976; 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
THE DE BURLO GROUP, INC.
Registered investment adviser (RIA)
CRD
153435
Principal office
BOSTON, MA, 02110-2509
RAUM (Item 5F(2)(c))
$1.1 billion ($1,133,360,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
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 153435; 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
HM INTERNATIONAL L.L.C.
Registered investment adviser (RIA)
CRD
321885
Principal office
AUSTIN, TX, 78703-5498
RAUM (Item 5F(2)(c))
$1.1 billion ($1,133,060,099.00)
Compensation methods (Item 5.E)
Percentage of assets under management
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 321885; 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
ICAPITAL FUND ADVISORS LLC
Registered investment adviser (RIA)
CRD
330352
Principal office
NEW YORK, NY, 10165
RAUM (Item 5F(2)(c))
$1.1 billion ($1,132,610,070.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-06-30
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 330352; 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
AMUNDI US
Registered investment adviser (RIA)
CRD
334151
Principal office
BOSTON, MA, 02109
RAUM (Item 5F(2)(c))
$1.1 billion ($1,132,473,403.00)
Compensation methods (Item 5.E)
Percentage of assets under management
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 334151; 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
ORKILA MANAGEMENT, LLC
Registered investment adviser (RIA)
CRD
171242
Principal office
NEW YORK, NY, 10013
RAUM (Item 5F(2)(c))
$1.1 billion ($1,132,037,268.00)
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 171242; 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: 298 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

GUARDIAN WEALTH STRATEGIES, LLC

CAPITAL WEALTH MANAGEMENT, LLC

IGNITE PLANNERS LLC

STERLING INVESTORS LP

SONEN CAPITAL LLC

OAK HARVEST INVESTMENT SERVICES

CARLYLE AVIATION SECURITIES PARTNERS LLC

YOSEMITE MANAGEMENT, LLC

CASTLE CREEK CAPITAL

PSC MANAGER LLC

747 CAPITAL, LLC

SYMBIOTIC CAPITAL

TOPLINE CAPITAL MANAGEMENT, LLC

GOODNOW INVESTMENT GROUP LLC

PROVIDENT INVESTMENT MANAGEMENT, INC.

THE DE BURLO GROUP, INC.

HM INTERNATIONAL L.L.C.

ICAPITAL FUND ADVISORS LLC

AMUNDI US

ORKILA MANAGEMENT, LLC