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

EMBREE FINANCIAL GROUP
Registered investment adviser (RIA)
CRD
108233
Principal office
CHICAGO, IL, 60654
RAUM (Item 5F(2)(c))
$2.6 billion ($2,644,868,887.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees; Performance-based fees
Latest ADV filing in extract
2026-02-13
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 108233; 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
FOSTER VICTOR
Registered investment adviser (RIA)
CRD
283656
Principal office
GREENVILLE, SC, 29601
RAUM (Item 5F(2)(c))
$2.6 billion ($2,644,715,238.00)
Compensation methods (Item 5.E)
Percentage of assets under management; 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 283656; 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
MESIROW RE-IA, INC.
Registered investment adviser (RIA)
CRD
328098
Principal office
CHICAGO, IL, 60654
RAUM (Item 5F(2)(c))
$2.6 billion ($2,643,239,967.00)
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 328098; 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
JACOBI CAPITAL MANAGEMENT, LLC
Registered investment adviser (RIA)
CRD
147663
Principal office
PITTSTON, PA, 18640
RAUM (Item 5F(2)(c))
$2.6 billion ($2,642,543,015.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed 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 147663; 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
SUNBELT SECURITIES
Registered investment adviser (RIA)
CRD
42180
Principal office
HOUSTON, TX, 77056
RAUM (Item 5F(2)(c))
$2.6 billion ($2,640,113,505.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed 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 42180; 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 PATRIOT FINANCIAL GROUP, LLC
Registered investment adviser (RIA)
CRD
172470
Principal office
WALPOLE, MA, 02081
RAUM (Item 5F(2)(c))
$2.6 billion ($2,639,463,916.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed 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 172470; 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
VARIANT INVESTMENTS
Registered investment adviser (RIA)
CRD
289261
Principal office
PORTLAND, OR, 97223
RAUM (Item 5F(2)(c))
$2.6 billion ($2,638,459,650.00)
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 289261; 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 FOUR US INC.
Registered investment adviser (RIA)
CRD
315650
Principal office
NEW YORK, NY, 10017
RAUM (Item 5F(2)(c))
$2.6 billion ($2,637,761,145.00)
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 315650; 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
STEADVIEW CAPITAL MANAGEMENT LLC
Registered investment adviser (RIA)
CRD
164661
Principal office
SAN FRANCISCO, CA, 94129
RAUM (Item 5F(2)(c))
$2.6 billion ($2,637,278,694.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
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 164661; 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
AJ CAPITAL MANAGEMENT LLC
Registered investment adviser (RIA)
CRD
291880
Principal office
NASHVILLE, TN, 37203-4802
RAUM (Item 5F(2)(c))
$2.6 billion ($2,636,817,438.00)
Compensation methods (Item 5.E)
Percentage of assets under management; 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 291880; 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
PHILLIPS FINANCIAL
Registered investment adviser (RIA)
CRD
131344
Principal office
FORT WAYNE, IN, 46804
RAUM (Item 5F(2)(c))
$2.6 billion ($2,636,493,500.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees; Commissions
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 131344; 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
ZEMENICK & WALKER INC
Registered investment adviser (RIA)
CRD
108670
Principal office
ST LOUIS, MO, 63144
RAUM (Item 5F(2)(c))
$2.6 billion ($2,630,197,275.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-03-11
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 108670; 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
FIRST CITIZENS INVESTOR SERVICES, INC.
Registered investment adviser (RIA)
CRD
44430
Principal office
RALEIGH, NC, 27615-3052
RAUM (Item 5F(2)(c))
$2.6 billion ($2,626,080,185.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-05-30
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 44430; 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
STEEPROCK CAPITAL
Registered investment adviser (RIA)
CRD
172775
Principal office
GREENWICH, CT, 06830
RAUM (Item 5F(2)(c))
$2.6 billion ($2,625,124,488.00)
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 172775; 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
QUAD INVESTMENT MANAGEMENT CORP.
Registered investment adviser (RIA)
CRD
331606
Principal office
SEOUL, YEONGDEUNGPO-GU, 07326
RAUM (Item 5F(2)(c))
$2.6 billion ($2,623,829,206.00)
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 331606; 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
AB BROADLY SYNDICATED LOAN MANAGER LLC
Registered investment adviser (RIA)
CRD
308135
Principal office
NASHVILLE, TN, 37203
RAUM (Item 5F(2)(c))
$2.6 billion ($2,623,000,000.00)
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 308135; 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
COZAD ASSET MANAGEMENT INC
Registered investment adviser (RIA)
CRD
104764
Principal office
CHAMPAIGN, IL, 61821-7005
RAUM (Item 5F(2)(c))
$2.6 billion ($2,622,584,603.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-03-27
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 104764; 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 PORTFOLIO STRATEGY GROUP, LLC
Registered investment adviser (RIA)
CRD
166593
Principal office
WHITE PLAINS, NY, 10606
RAUM (Item 5F(2)(c))
$2.6 billion ($2,620,983,417.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Performance-based fees
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 166593; 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
POPULAR SECURITIES, LLC
Registered investment adviser (RIA)
CRD
8096
Principal office
HATO REY, PR, 00918
RAUM (Item 5F(2)(c))
$2.6 billion ($2,620,503,498.00)
Compensation methods (Item 5.E)
Percentage of assets under management; 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 8096; 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
AVANCE INVESTMENT MANAGEMENT, LLC
Registered investment adviser (RIA)
CRD
310749
Principal office
NEW YORK, NY, 10019
RAUM (Item 5F(2)(c))
$2.6 billion ($2,618,772,663.00)
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 310749; 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: 352 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

EMBREE FINANCIAL GROUP

FOSTER VICTOR

MESIROW RE-IA, INC.

JACOBI CAPITAL MANAGEMENT, LLC

SUNBELT SECURITIES

THE PATRIOT FINANCIAL GROUP, LLC

VARIANT INVESTMENTS

CAPITAL FOUR US INC.

STEADVIEW CAPITAL MANAGEMENT LLC

AJ CAPITAL MANAGEMENT LLC

PHILLIPS FINANCIAL

ZEMENICK & WALKER INC

FIRST CITIZENS INVESTOR SERVICES, INC.

STEEPROCK CAPITAL

QUAD INVESTMENT MANAGEMENT CORP.

AB BROADLY SYNDICATED LOAN MANAGER LLC

COZAD ASSET MANAGEMENT INC

THE PORTFOLIO STRATEGY GROUP, LLC

POPULAR SECURITIES, LLC

AVANCE INVESTMENT MANAGEMENT, LLC