Financial Advisory
Firm |
Firm CRD# |
SEC# |
No. of Clients |
No.
of Advisors |
AUM |
MORNINGSTAR INVESTMENT SERVICES LLC |
112525 |
801-60401 |
63674 |
27 |
$13,352,100,000 |
GREENROCK RESEARCH, INC. |
131825 |
801-69664 |
2675 |
7 |
$1,065,508,010 |
KEB WEALTH ADVISORS |
117935 |
801-62965 |
1707 |
16 |
$842,348,798 |
QUAD CITY INVESTMENT CENTER |
112187 |
801-60227 |
608 |
6 |
$289,371,460 |
ARLINGTON WEALTH MANAGEMENT |
114801 |
801-79318 |
516 |
5 |
$119,660,804 |
NORTH SHORE PRIVATE ASSET MANAGEMENT, LLC |
130132 |
801-92175 |
354 |
4 |
$305,123,247 |
NEW ENGLAND RESEARCH & MANAGEMENT, INC. |
110739 |
801-14380 |
340 |
4 |
$265,356,182 |
UHLMANN INVESTMENT MANAGEMENT, L.L.C. |
118025 |
801-113188 |
294 |
12 |
$158,885,346 |
REGAL ADVISORY SERVICES, INC. |
123842 |
801-71619 |
263 |
25 |
$90,797,628 |
MATRIX CAPITAL ADVISORS, LLC |
109523 |
801-58076 |
182 |
5 |
$712,389,687 |
UBS OCONNOR LLC |
108754 |
801-57469 |
37 |
67 |
$20,520,615,594 |
WILLIAMS CAPITAL MANAGEMENT COMPANY |
109412 |
801-126381 |
37 |
1 |
$127,991,402 |
ENSENIA WEALTH, LLC |
109933 |
801-60053 |
28 |
2 |
$255,241,707 |
ATTUCKS ASSET MANAGEMENT, LLC |
118891 |
801-60958 |
18 |
12 |
$4,500,174,945 |
HFR ASSET MANAGEMENT, L.L.C |
111705 |
801-60143 |
5 |
4 |
$8,496,390,459 |
INVESTMENT CONSULTING SERVICES, LLC |
122064 |
801-61387 |
0 |
6 |
$0 |