Exempt Reporting Advisors by state

9,770 Exempt Reporting Advisors profiled across 47 states, managing a combined $309M in reported assets. Firms exempt from SEC registration due to AUM or client-type thresholds, with team size, asset composition, and registration data sourced from Form ADV filings and FINTRX research.

By state

AlabamaAL12 FIRMSArizonaAZ32 FIRMSArkansasAR4 FIRMSCaliforniaCA1,443 FIRMSColoradoCO299 FIRMSConnecticutCT169 FIRMSDelawareDE39 FIRMSDistrict of ColumbiaDC54 FIRMSFloridaFL299 FIRMSGeorgiaGA42 FIRMSHawaiiHI1 FIRMIdahoID9 FIRMSIllinoisIL132 FIRMSIndianaIN17 FIRMS · $115MIowaIA9 FIRMSKansasKS14 FIRMSKentuckyKY5 FIRMSLouisianaLA7 FIRMSMaineME3 FIRMSMarylandMD58 FIRMSMassachusettsMA257 FIRMSMichiganMI56 FIRMSMinnesotaMN33 FIRMSMissouriMO43 FIRMSMontanaMT9 FIRMSNebraskaNE7 FIRMSNevadaNV61 FIRMSNew HampshireNH12 FIRMSNew JerseyNJ58 FIRMSNew MexicoNM10 FIRMSNew YorkNY639 FIRMSNorth CarolinaNC36 FIRMSOhioOH37 FIRMSOklahomaOK18 FIRMSOregonOR14 FIRMSPennsylvaniaPA90 FIRMSRhode IslandRI3 FIRMSSouth CarolinaSC10 FIRMSSouth DakotaSD6 FIRMSTennesseeTN50 FIRMSTexasTX604 FIRMS · $49.3MUtahUT71 FIRMSVermontVT10 FIRMSVirginiaVA75 FIRMSWashingtonWA86 FIRMS · $44.2MWisconsinWI38 FIRMSWyomingWY34 FIRMS

By AUM

Under $100MReported AUM7 FIRMS$100M – $500MReported AUM1 FIRM$500M – $1BReported AUM0 FIRMS$1B – $5BReported AUM0 FIRMSOver $5BReported AUM0 FIRMS

Largest Exempt Reporting Advisors

ROSENTHAL | HENRY CAPITAL ADVISORS, INC.

Exempt Reporting Advisor

MISHAWAKA, IN

AUM $115MTEAM 3REPS 5

TRONDHEIM CAPITAL, LLC

Exempt Reporting Advisor

AUM $71MTEAM 1REPS 1

SOLARIS PRIVATE WEALTH MANAGEMENT

Exempt Reporting Advisor

AUSTIN, TX

AUM $49.3MTEAM 1REPS 1

KANNO CAPITAL

Exempt Reporting Advisor

BELLEVUE, WA

AUM $44.2MTEAM 3REPS 1

ORF CAPITAL MANAGEMENT

Exempt Reporting Advisor

AUM $18.2MTEAM 1REPS 1

POMEGRANATE FINANCIAL LLC

Exempt Reporting Advisor

AUM $8.2MTEAM 1REPS 1

VU FINANCIAL SERVICES, INC

Exempt Reporting Advisor

AUM $3.5MTEAM 1REPS 1

O'FERRALL ADVISORY SERVICES

Exempt Reporting Advisor

AUM $10TEAM 1REPS 1

CENTERVIEW CAPITAL TECHNOLOGY MANAGEMENT, L.P.

Exempt Reporting Advisor

MENLO PARK, CA

AUM —REPS 8

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