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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Courtlandt Wealth Management Irvine CA US 5.0 
Joseph Gunnar & Co., LLC New York NY US 5.2 
Bridgecorp Investment Management Irvine CA US 5.3 
Wyoming Investment Management Service, LLC Cheyenne WY US 5.5 
Joel Smith & Associates, LLC Atlanta GA US 5.8 
Goodwin Securities, Inc. Albuquerque NM US 6.2 
Churchill Financial, LLC Louisville KY US 6.3 
Braymen Lambert And Noel Investment Management San Antonio TX US 6.4 
Stephen A. Kohn & Associates, Limited. Lakewood CO US 6.5 
Standard Investment Advisors Costa Mesa CA US 6.6 
Sunstreet Securities, LLC Avondale AZ US 6.7 
Advanced Advisor Group, LLC Cambridge MN US 6.8 
Alphasource Advisors LLC New York NY US 6.8 
Lombard Advisers Inc Baltimore MD US 6.9 
Midkiff & Stone Capital Group, Inc. 7.3 
Mcnally Financial Service Corporation San Antonio TX US 7.5 
New Horizons Asset Management Group, LLC Newburgh NY US 8.0 
Lincoln Douglas Investments, LLC Mount Vernon OH US 8.2 
Westpark Capital, Inc. Los Angeles CA US 8.5 
World Choice Securities, Inc. Bedford TX US 9.0 
I4 Advisors LLC Indianapolis IN US 9.2 
B. Riley & Co., LLC Los Angeles CA US 9.4 
M. E. Allison & Co., Inc. San Antonio TX US 9.7 
Wbb Securities, LLC San Diego CA US 10.0 
Capital Securities Advisory Service Oak Brook IL US 10.0 
Netherland Securities, Inc. Dallas TX US 10.0 
S C Parker & Co Investment Advisor Service Williamsville NY US 10.0 
           
 
What is a broker-dealer?
A broker-dealer is a financial firm that trades securities either for its own account or on behalf of other firms. If a broker-dealer firm is trading securities on behalf of a customer account, it is acting as an agent or a broker whereas if the broker-deal firm is trading securities on behalf of its own account, it is acting as a principal or a dealer.

Broker-Dealer Registration
Most brokers and dealers must register with the SEC unless they transact all of their business within one state, in which case they are required to have a state registration. Those broker-dealers that advice or offer fee-based accounts generally must also register as an investment advisor. Investment advisors file Form ADV to register with the SEC or the states. Form ADV contains information about an investment advisor and its business operations. To view the latest filing for a particular registered investment advisor, please visit: www.adviserinfo.sec.gov

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Other Relevant Information
Search SEC-registered hedge funds: http://www.privateequityinfo.com/hedge-funds.php Search Registered Investment Advisors (RIAs): http://www.investmentadvisorsearch.com/index.php



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