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 118
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 42
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
FINTRX platform
Need contacts and allocation intelligence for these firms?