Broker-Dealers: Under $100M AUM
57 Broker-Dealers in the Under $100M AUM range, ranked by reported regulatory assets.
UMB FINANCIAL SERVICES, INC.
Broker-DealerKANSAS CITY, MO
AUM $5MTEAM 55REPS 122
SOVEREIGN GLOBAL ADVISORS, LLC
Broker-DealerDENVER, CO
AUM $4.2MTEAM 10REPS 11
IFPS
Broker-DealerHEIDELBERG
AUM $4.1MTEAM 21REPS 22
OAK TREE SECURITIES, INC.
Broker-DealerLIVERMORE, CA
AUM $3.7MTEAM 4REPS 14
NI ADVISORS
Broker-DealerMILPITAS, CA
AUM $3.6MTEAM 16REPS 41
ZIV INVESTMENT COMPANY LLC
Broker-DealerCHICAGO, IL
AUM $1.2MTEAM 4REPS 4
ROCKFLEET FINANCIAL SERVICES, INC.
Broker-DealerSARASOTA, FL
AUM $956KTEAM 10REPS 3
VALLEY FINANCIAL MANAGEMENT, INC.
Broker-DealerNew York, NY
AUM $473KTEAM 124REPS 90
BARDI CO. LLC
Broker-DealerLos Angeles, CA
AUM $275KTEAM 10REPS 6
Other AUM ranges
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