Filters Ownership Independent · 7,789 Wrap-program sponsor · 907 Bank-affiliated · 158 Public-company owned · 61
Size $1B+ $100M–$1B Under $100M
Custodian Custodian Any custodian Charles Schwab (5,741) Fidelity (1,962) BNY Pershing (436) LPL Financial (352) Raymond James (283) Interactive Brokers (241) Altruist (180) SEI (160) Fidelity Distributors Company (134) J.P. Morgan (111) Wells Fargo (104) Morgan Stanley (103) Goldman Sachs (91) RBC (82) Axos (81) UBS (70) Merrill / Bank of America (66) BNY (55) Northern Trust (43) Apex Fintech (39) Vanguard (39) U.S. Bank (35) Capital Client Group (33) Tiaa-Cref Individual & Institutional Services (31) TradePMR / Robinhood (28) Citi (27) Assetmark Brokerage (26) Betterment (22) Alpaca Securities (19) Assetmark Trust (19) Matrix Trust (16) State Street (15) Ascensus Broker Dealer Services (14) Nationwide Securities (14) American Funds (12) Assetmark (12) Nationwide Investment Services (12) Stonex Financial (12) Ascensus Trust (10) Fiduciary Trust (10) Bank Vontobel AG (9) Banque Pictet & CIE SA (9) Fifth Third Bank (9) Stifel, Nicolaus & Company, Incorporated (9) Hilltop Securities (8) Principal Securities (8) Empower Financial Services (7) National Bank Independent Network (7) American Trust Custody (6) Drivewealth (6) Equity Trust (6) First Clearing (6) John Hancock Distributors (6) MID Atlantic Trust (6) Pictet (6) Reliance Trust (6) U.S. Bancorp Investments (6) ADP (5) Capital Bank and Trust (5) E*Trade (5) Fiduciary Trust Company International (5) Fifth Third Securities (5) Inspira Financial (5) National Advisors Trust (5) PNC Bank (5) PNC Wealth Management (5) Rl360 (5) TIAA (5) ADP Broker-Dealer (4) Banco Santander (4) Bank Julius Baer & Co LTD (4) Broadridge Business Process Outsourcing (4) Comerica Bank (4) Dunham (4) Empower (4) Empower Trust Company (4) Equitable (4) Jackson National Life Distributors (4) Robert W. Baird & Co. Incorporated (4) Voya Financial Partners (4) One More than one None reported
Broker-dealer Hybrid Affiliated No ties
Their broker-dealer clears through Their broker-dealer clears through… Pershing (45) National Financial Services (Fidelity) (37) RBC Capital Markets (12) Apex Clearing (8) J.P. Morgan (7) Wells Fargo Clearing Services (7) Axos Clearing (6) Interactive Brokers (6) Hilltop Securities (5) Wedbush (5) BofA Securities (3) Raymond James (3) Stifel (3) LPL Financial (2) Vision Financial Markets (2) Charles Schwab (1) Robinhood (1) StoneX (1) Velocity Clearing (1) State State Every state Alabama (59) Alaska (4) Argentina (2) Arizona (161) Arkansas (42) Australia (1) Bermuda (1) Bolivia (1) Brazil (4) California (985) Canada (51) China (2) Colorado (226) Connecticut (144) Delaware (21) District of Columbia (10) Florida (537) Georgia (222) Germany (1) Guam (1) Hawaii (12) Hong Kong (4) Idaho (40) Illinois (316) India (7) Indiana (115) Iowa (71) Israel (4) Italy (1) Kansas (92) Kentucky (66) Louisiana (61) Maine (28) Malaysia (1) Maryland (136) Massachusetts (280) Mexico (4) Michigan (238) Minnesota (178) Mississippi (29) Missouri (130) Monaco (1) Montana (17) Nebraska (54) Nevada (48) New Hampshire (62) New Jersey (227) New Mexico (18) New York (673) North Carolina (196) North Dakota (8) Ohio (300) Oklahoma (66) Oregon (121) Pennsylvania (352) PR (7) Rhode Island (37) Romania (1) Singapore (3) South Carolina (87) South Dakota (10) Spain (1) Switzerland (38) Taiwan, Republic of China (1) Tennessee (144) Texas (554) Turkey (1) United Arab Emirates (2) United Kingdom (28) Utah (99) Vermont (28) Virginia (198) Washington (197) West Virginia (8) Wisconsin (136) Wyoming (15) SEC-registered firms that manage at least half their assets for individuals and high-net-worth individuals. Bank-affiliated: a related bank or thrift (Form ADV Item 7.A). Public-company owned: controlled by a public reporting company (Item 10).
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15778 RBC 100%
+00% $63M 15779 Backer San Francisco, CA · 14,482 clients No custodian reported
+00% $63M 15780 No custodian reported
+00% $63M 15781 Schwab 100%
+00% $63M 15782 Fidelity 100%
+00% $63M 15783 Schwab 100%
+00% $62M 15784 Interactive Brokers 67% Schwab 33%
+00% $62M 15787 Schwab 100%
+00% $62M 15792 Pershing 100%
+00% $61M 15796 No custodian reported
+00% $61M 15797 Schwab 93%
+00% $61M 15801 Schwab 100%
+00% $61M 15806 No custodian reported
+00% $60M 15808 Schwab 100%
+00% $60M 15809 Novia Global 51% Rl360 49%
+00% $60M 15810 Schwab 100%
+00% $60M 15811 Interactive Brokers 72% Schwab 28%
+00% $60M 15812 Merrill / Bank of America 76% UBS 24%
+00% $59M 15813 Interactive Brokers 100%
+00% $59M 15814 No custodian reported
+00% $59M 15815 Schwab 99%
+00% $59M 15817 Schwab 100%
+00% $59M 15821 Schwab 100%
+00% $58M 15822 Hilltop Securities 69% Schwab 31%
+00% $58M 15823 Transglobal Advisory, LLC Monrovia, CA · 193 clients Hybrid Globalink Securities, Inc., clears through Interactive Brokers, Wedbush Schwab 100%
+00% $58M 15830 Fidelity 100%
+00% $58M 15832 Interactive Brokers 100%
+00% $57M 15833 No custodian reported
+00% $57M 15834 Altruist 100%
+00% $57M 15837 Fidelity 100%
+00% $57M 15844 Schwab 100%
+00% $56M 15845 Schwab 100%
+00% $56M 15850 Schwab 100%
+00% $55M 15852 No custodian reported
+00% $55M 15853 Morgan Stanley 63% Stifel, Nicolaus & Company, Incorporated 37%
+00% $55M 15854 J.P. Morgan 72%
+00% $54M 15856 Goldman Sachs 79%
+00% $54M 15857 Alpha New York, NY · 19 clients Morgan Stanley 81%
+00% $54M 15858 Schwab 60% Interactive Brokers 40%
+00% $54M 15859 Schwab 100%
+00% $54M Previous 40 Page 213 of 223 Next 40