ReqoData
Financial Services 2026Updated

List of SEC-Registered Investment Advisors With Over $1 Billion AUM

Structured dataset of SEC-registered investment advisory firms managing over $1 billion in regulatory assets. Includes firm details, AUM figures, registration data, and contact information for institutional outreach and fund distribution prospecting.

Available Data Fields

Firm Name
SEC CRD Number
Regulatory AUM
Headquarters
Number of Employees
SEC Registration Date
Custodian(s)
Compensation Type
Client Types
Website
Key Contact Email
Compliance Officer

Data Preview

* Full data requires registration
Firm NameHeadquartersRegulatory AUM
Fisher InvestmentsCamas, WA$274B
CAPTRUST Financial AdvisorsRaleigh, NC$237B
Moneta Group Investment AdvisorsSt. Louis, MO$42.8B
Clearstead AdvisorsCleveland, OH$22.4B
EP Wealth AdvisorsTorrance, CA$26.3B

4,000+ records available for download.

* Continue from free preview

SEC-Registered Investment Advisors With Over $1 Billion in Assets Under Management

The SEC-registered investment advisory industry has grown to encompass over 15,800 firms managing a combined $144.6 trillion in regulatory assets as of 2024. Among these, approximately 31.5% — or roughly 4,800 firms — manage $1 billion or more in AUM, representing the institutional tier of the advisory landscape.

Industry Concentration and Scale

Asset concentration in this segment is striking. Firms with over $100 billion in AUM hold 68.4% of all industry assets despite representing a fraction of total registrants. The top echelon includes firms like Fisher Investments ($274B), CAPTRUST ($237B discretionary AUM), and a growing number of RIA aggregators that have crossed the $100B mark through acquisitions.

AUM Range% of SEC-Registered Advisors
$100M – $1B58.3%
$1B – $5B19.3%
$5B+12.2%

Key Trends Shaping the $1B+ Segment

M&A acceleration continues to reshape this tier. Firms like Mariner Wealth Advisors and Creative Planning, both based in Overland Park, KS, have rapidly scaled through serial acquisitions, frequently crossing new AUM thresholds quarter over quarter.

Institutional vs. wealth management — not all $1B+ RIAs look alike. Some serve primarily institutional clients (pension funds, endowments), while others are wealth management platforms serving high-net-worth individuals. The distinction matters for sales targeting: institutional-focused RIAs are more likely to evaluate sub-advisory or fund distribution partnerships.

Data Sources and Verification

All SEC-registered investment advisors file Form ADV with the SEC, which includes detailed disclosures on AUM, client types, fee structures, disciplinary history, and custodial relationships. The SEC’s IAPD (Investment Adviser Public Disclosure) database at adviserinfo.sec.gov provides the raw public data, though extracting and structuring it for prospecting requires significant processing.

Frequently Asked Questions

Q.How is the AUM data sourced and how current is it?

AUM figures are extracted from Form ADV filings submitted to the SEC. When you request data, our AI crawls the latest publicly available filings from the SEC IAPD database and structures the information for immediate use.

Q.Does this include both discretionary and non-discretionary AUM?

The $1 billion threshold is based on regulatory assets under management (RAUM) as reported on Form ADV, which includes both discretionary and non-discretionary assets. You can specify in your request if you want to filter by discretionary AUM only.

Q.Can I filter by the types of clients an advisor serves?

Yes. Form ADV disclosures include client type breakdowns — individuals, high-net-worth individuals, pooled investment vehicles, pension plans, charitable organizations, and more. You can request data filtered to specific client types relevant to your outreach.

Q.Are exempt reporting advisers included in this dataset?

No. This dataset covers only SEC-registered investment advisers (filing full Form ADV). Exempt reporting advisers, who file a limited version, are excluded. State-registered advisers below the $100M threshold are also excluded.

Q.What contact information is available for each firm?

Publicly available contact data from Form ADV filings includes the firm's main office address, phone number, website, and the name of the chief compliance officer. Direct emails for sales contacts are not part of the SEC filing but may be supplemented from public web sources where available.