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 https://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 |
Tags: 1st Global Advisors, Atheron Lane Advisers, Cambridge Investment Research Advisors, Clarfeld Financial Advisors, Edelman Financial Services, GW & Wade Harris SBSB, Homrich Berg, largest registered investment advisory firms, largest RIAs, Moneta Group Investment Advisors, Oxford Financial Group, Plante Moran Financial Advisors, R.M. Davis, registered investment advisory firm lawyer, RIA arbitration attorney, RIA arbitration lawyer, RIA fraud attorney, RIA fraud lawyer, Sontag Advisory, Stancorp Investment Advisers Last modified: December 22, 2022
