February 8, 2012 Comments (0) Blog, Securities Fraud

Largest Registered Investment Advisory Firms

(Last Updated On: July 17, 2015)

Registered Investment Advisory firms (RIAs) are similar to financial advisors, but with different regulatory oversight and regulatory obligations.  For example, financial advisors registered through a FINRA registered broker-dealer are regulated by FINRA and any disputes arising from a financial advisors servicing of an investor’s account is generally arbitrated through FINRA dispute resolution, whereas RIAs are not currently regulated by FINRA and usually have their own dispute resolution clause – generally requiring claims to be filed through AAA (American Arbitration Association) or JAMS.

These regulatory differences do not stop RIAs from becoming large manager’s of investor assets.  In 2010, the Investment News published the ranks of the largest registered investment advisory firms.

If you have questions about your accounts with one of these RIAs, The White Law Group may be able to help.  For a free consultation, please call the firm’s Chicago office at 312/238-9650.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.

For more information on The White Law Group, please visit our website at http://www.whitesecuritieslaw.com.

The rankings can be found here:

 

Rank Firm name Total assets Clients City/State
1 Stancorp Investment Advisers Inc. 15,457.60 500+ Portland, OR
2 Cambridge Investment Research Advisors Inc. 12,502.70 500+ Fairfield, IA
3 Moneta Group Investment Advisors LLC 6,535.20 500+ Clayton, MO
4 Oxford Financial Group Ltd. 6,467.10 500+ Carmel, IN
5 Sontag Advisory LLC 5,313.40 500+ New York, NY
6 Plante Moran Financial Advisors 4,606.40 500+ Southfield, MI
7 Ronald Blue & Co. LLC 4,243.80 500+ Roswell, GA
8 Edelman Financial Services LLC 4,048.60 500+ Fairfax, VA
9 Clarfeld Financial Advisors Inc. 2,630.80 251-500 Tarrytown, NY
10 1st Global Advisors Inc. 2,363.50 500+ Dallas, TX
11 GW & Wade LLC 2,178.90 500+ Wellesley, MA
12 Harris SBSB 2,050.00 500+ McLean, VA
13 R.M. Davis Inc. 1,793.00 500+ Portland, ME
14 Homrich Berg 1,699.10 500+ Atlanta, GA
15 Atherton Lane Advisers LLC 1,425.60 500+ Menlo Park, CA
16 Joel Isaacson & Co. Inc. 1,355.50 500+ New York, NY
17 Allegheny Financial Group Ltd. 1,247.00 500+ Pittsburgh, PA
18 United Capital Financial Advisers 1,214.90 500+ Newport Beach, CA
19 Family Management Corp. 1,173.60 500+ New York, NY
20 JMG Financial Group Ltd. 806.2 500+ Oak Brook, IL
21 Cain Watters & Associates 779.8 500+ Dallas, TX
22 Parsec Financial Management Inc. 749.7 500+ Asheville, NC
23 Cassaday & Co. Inc. 718.2 500+ McLean, VA
24 Trustcore Financial Services Inc. 714.8 500+ Brentwood, TN
25 Creative Financial Group Ltd. 639 500+ Atlanta, GA
26 John G. Ullman & Associates Inc. 606 500+ Corning, NY
27 California Financial Advisors 592.2 500+ San Ramon, CA
28 Pinnacle Advisory Group Inc. 531 500+ Columbia, MD
29 Bloom Asset Management Inc. 512 500+ Farmington Hills, MI
30 ARS Financial Services Inc. 509.1 500+ Jericho, NY
31 Strategic Point Investment Advisors LLC 502.1 500+ Providence, RI
32 Private Wealth Advisors 492.3 500+ Pittsburgh, PA
33 Sigma Planning Corp. 468 500+ Ann Arbor, MI
34 Wealthtrust Arizona 429.9 500+ Scottsdale, AZ
35 Professional Planning Group 363.6 500+ Westerly, RI
36 Hufford Financial Advisors LLC 316.3 500+ Indianapolis, IN
37 Ciccarelli Advisory Services Inc. 285.6 500+ Naples, FL
38 Retirement Investment Advisors Inc. 285.2 500+ Oklahoma City, OK
39 Financial Security Advisory Inc. 282.3 500+ Virginia Beach, VA
40 The Planners Network Inc. 275.1 500+ Temecula, CA
41 Corrigan Financial Inc. 256 500+ Middletown, RI
42 LJPR LLC 240.2 500+ Troy, MI
43 Ifrah Financial Services Inc. 209.7 500+ Little Rock, AR
44 MPS-Loria Financial Planners LLC 201.5 251-500 Burr Ridge, IL
45 Chatterton & Associates 182.7 500+ Orange, CA
46 AKJ Asset Management LLC 171.8 500+ Palo Alto, CA
47 Educators Financial Services Inc. 168 500+ Cambridge, MN
48 Center for Financial Planning Inc. 159.7 500+ Southfield, MI
49 Southern Financial Group LLC 147.1 500+ Birmingham, AL
50 Guerin Financial Services Ltd. 140.3 251-500 Denver, CO



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