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Registered investment advisers

Published 14 Sep 2018; available in html directory, PDF($) and spreadsheet($) formats

Product Records Price Cart
file download. (All records that qualify)
23 $45.00 Add to
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Fields included in the REGISTERED INVESTMENT ADVISERS product:

NOTE: Some records may not contain data for every field listed below.

  • Company
  • Registration/notice
  • CRD number
  • SEC number
  • Assets under local management as of end of FY 2017
  • Assets under local mgt RIA
  • Assets under local management as of end of FY 2016
  • 2017 clients
  • 2016 clients
  • 2017 accounts
  • 2016 accounts
  • Is your firm and/or some of its employees registered reps of an investment broker-dealer?
  • Local RIAs (series 65)
  • 2017 local RIAs (series 65)
  • Local CFPs
  • 2017 local CFPs
  • Local series-7 brokers
  • 2017 local series 7
  • Types of clients
  • Compensation arrangements
  • Products/services
  • F-T local employees
  • F-T total employees
  • P-T local employees
  • P-T total employees
  • 2017 local revenue
  • 2017 total revenue
  • Parent company
  • Characteristics
  • Street address
  • P.O. Box
  • City
  • County
  • State
  • Zip + 4
  • Website
  • Phone xxx-xxx-xxxx
  • Company email
  • Toll-free xxx-xxx-xxxx
  • Fax xxx-xxx-xxx
  • Headquarters municipality
  • Year established locally
  • Local locations
  • Total locations
  • Brief description of company or services
  • Facebook ID
  • Twitter handle
  • Blog url
  • % change
  • Top local executive and title
  • Parent company: (Parent company name)
  • Top local executive and title: (First name, Middle, Last name, Suffix (eg, Jr or CPA), Title, Email)
PDF - 2018 RIAS
PDF file download.
N/A $45.00 Add to
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