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

MARITIME PARTNERS, LLC
Registered investment adviser (RIA)
CRD
300186
Principal office
METAIRIE, LA, 70002
RAUM (Item 5F(2)(c))
$4.7 billion ($4,716,515,556.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees; 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 300186; 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
REDMILE GROUP
Registered investment adviser (RIA)
CRD
143606
Principal office
LARKSPUR, CA, 94939
RAUM (Item 5F(2)(c))
$4.7 billion ($4,701,099,967.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
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 143606; 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
KLINGENSTEIN FIELDS ADVISORS
Registered investment adviser (RIA)
CRD
105907
Principal office
NEW YORK, NY, 10017-5529
RAUM (Item 5F(2)(c))
$4.7 billion ($4,698,833,301.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees; Performance-based fees
Latest ADV filing in extract
2026-07-28
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 105907; 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
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD.
Registered investment adviser (RIA)
CRD
286032
Principal office
SINGAPORE, 048581
RAUM (Item 5F(2)(c))
$4.7 billion ($4,698,787,813.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
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 286032; 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
MENLO EQUITIES
Registered investment adviser (RIA)
CRD
162139
Principal office
MENLO PARK, CA, 94025
RAUM (Item 5F(2)(c))
$4.7 billion ($4,694,941,710.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees; Performance-based fees; Other
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 162139; 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
PACIFIC FINANCIAL GROUP, LLC
Registered investment adviser (RIA)
CRD
143041
Principal office
NASHVILLE, TN, 37212
RAUM (Item 5F(2)(c))
$4.7 billion ($4,686,109,588.00)
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 143041; 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
MCF ADVISORS, LLC
Registered investment adviser (RIA)
CRD
130372
Principal office
LEXINGTON, KY, 40507
RAUM (Item 5F(2)(c))
$4.7 billion ($4,684,530,591.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-05-28
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 130372; 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
YAUPON CAPITAL MANAGEMENT LP
Registered investment adviser (RIA)
CRD
298556
Principal office
NEW YORK, NY, 10173
RAUM (Item 5F(2)(c))
$4.7 billion ($4,684,175,000.00)
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 298556; 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
CLEARWATER MANAGEMENT CO., INC.
Registered investment adviser (RIA)
CRD
105307
Principal office
ST PAUL, MN, 55101
RAUM (Item 5F(2)(c))
$4.7 billion ($4,681,919,861.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Other
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 105307; 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
ROUTE ONE INVESTMENT COMPANY, L.P.
Registered investment adviser (RIA)
CRD
156398
Principal office
SAN FRANCISCO, CA, 94129
RAUM (Item 5F(2)(c))
$4.7 billion ($4,681,719,383.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees; Other
Latest ADV filing in extract
2026-03-25
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.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 156398; 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
UG INVESTMENT ADVISERS LTD.
Registered investment adviser (RIA)
CRD
167183
Principal office
TAIPEI, 106
RAUM (Item 5F(2)(c))
$4.7 billion ($4,675,160,091.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-04-15
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 167183; 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
BRAGG FINANCIAL ADVISORS INC
Registered investment adviser (RIA)
CRD
108780
Principal office
CHARLOTTE, NC, 28203
RAUM (Item 5F(2)(c))
$4.7 billion ($4,671,122,824.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-03-10
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 108780; 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
SHELTER GROWTH CAPITAL PARTNERS LLC
Registered investment adviser (RIA)
CRD
170685
Principal office
STAMFORD, CT, 06901
RAUM (Item 5F(2)(c))
$4.7 billion ($4,662,482,349.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-07-13
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 170685; 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
ACRE MANAGER, LLC
Registered investment adviser (RIA)
CRD
311363
Principal office
NEW YORK, NY, 10011
RAUM (Item 5F(2)(c))
$4.7 billion ($4,658,616,632.00)
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 311363; 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
CLEARWATER ADVISORS, LLC
Registered investment adviser (RIA)
CRD
116865
Principal office
BOISE, ID, 83702
RAUM (Item 5F(2)(c))
$4.7 billion ($4,650,566,101.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-05-07
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.
Trace this result
Identity
Firm CRD 116865; 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
DIVERSIFY ADVISORY SERVICES, LLC
Registered investment adviser (RIA)
CRD
326060
Principal office
SANDY, UT, 84070
RAUM (Item 5F(2)(c))
$4.6 billion ($4,648,787,397.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-07-20
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 326060; 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
CG ADVISORY SERVICES
Registered investment adviser (RIA)
CRD
110929
Principal office
WILLIAMSTON, MI, 48895
RAUM (Item 5F(2)(c))
$4.6 billion ($4,640,991,840.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees; Commissions
Latest ADV filing in extract
2026-03-26
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 110929; 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
HERITAGE INVESTORS MANAGEMENT CORP
Registered investment adviser (RIA)
CRD
110420
Principal office
BETHESDA, MD, 20814-4878
RAUM (Item 5F(2)(c))
$4.6 billion ($4,632,533,441.00)
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 110420; 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
CLEAN ENERGY TRANSITION LLP
Registered investment adviser (RIA)
CRD
315409
Principal office
LONDON, SW1Y 4HJ
RAUM (Item 5F(2)(c))
$4.6 billion ($4,630,730,096.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-06-24
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 315409; 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
C-BRIDGE CAPITAL LLC
Registered investment adviser (RIA)
CRD
308376
Principal office
NEW YORK, NY, 10022
RAUM (Item 5F(2)(c))
$4.6 billion ($4,628,807,677.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-05-11
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 308376; 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: 319 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.

InvestorTrustHub specialist search

What do you want to find out?

Distribution

MARITIME PARTNERS, LLC

REDMILE GROUP

KLINGENSTEIN FIELDS ADVISORS

KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD.

MENLO EQUITIES

PACIFIC FINANCIAL GROUP, LLC

MCF ADVISORS, LLC

YAUPON CAPITAL MANAGEMENT LP

CLEARWATER MANAGEMENT CO., INC.

ROUTE ONE INVESTMENT COMPANY, L.P.

UG INVESTMENT ADVISERS LTD.

BRAGG FINANCIAL ADVISORS INC

SHELTER GROWTH CAPITAL PARTNERS LLC

ACRE MANAGER, LLC

CLEARWATER ADVISORS, LLC

DIVERSIFY ADVISORY SERVICES, LLC

CG ADVISORY SERVICES

HERITAGE INVESTORS MANAGEMENT CORP

CLEAN ENERGY TRANSITION LLP

C-BRIDGE CAPITAL LLC