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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
1914 Advisors West Conshohocken PA US 618.0 
1st Financial Investment, Inc. Clarks Summit PA US 3.0 
Allegheny Investments, Limited. Pittsburgh PA US 273.3 
Bestvest Investments, Limited. Media PA US 49.5 
Bpu Investment Management, Inc. Pittsburgh PA US 428.7 
Bryan Advisory Service, LLC Canonsburg PA US 41.0 
Cresap, Inc. Radnor PA US 156.3 
Federated Securities Corporation. Pittsburgh PA US 0.0 
Grant Williams L.P. Philadephia PA US 0.0 
Hamilton Lane Bala Cynwyd PA US 342475.4 
Harvest Financial Corporation Pittsburgh PA US 45.5 
Hefren-tillotson, Inc. Pittsburgh PA US 6161.0 
Hornor, Townsend & Kent, Inc. Horsham PA US 1216.1 
Hunter Associates LLC Pittsburgh PA US 571.4 
Janney Montgomery Scott LLC Philadelphia PA US 27301.1 
Kornfield Investment Management Lancaster PA US 43.0 
Lincoln Investment Fort Washington PA US 6293.6 
Marsden Capital Management, LLC. Erie PA US 49.5 
Money Management Advisory Inc. Feasterville PA US 15.3 
Monongahela Capital Management Harmony PA US 369.4 
Nestlerode & Loy, Inc. State College PA US 89.6 
Pacer Advisors, Inc. Paoli PA US 877.0 
Pnc Investments Pittsburgh PA US 11917.1 
Portfolio Management Network, Inc Pittsburgh PA US 22.0 
Radnor Research & Trading Company LLC Berwyn PA US 0.0 
Renaissance Advisory Group Bryn Mawr PA US 40.0 
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:

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