SEC Form ADV, by state
The largest investment adviser firms in Arizona
The current SEC Form ADV data lists 207 investment adviser firms headquartered in Arizona, of which 29 (14.0%) answered yes to at least one disciplinary or legal question on Form ADV Item 11. Below are the 50 largest by regulatory assets under management, a gross size measure each firm reports itself. Size is not a quality score, and no public record reports any firm's investment returns.
| Firm | City | Regulatory AUM | Fee methods | Item 11 disclosure |
|---|---|---|---|---|
| OSAIC WEALTH, INC. | SCOTTSDALE | $235B | % of AUMhourlyfixed | yes, reported |
| VOYA INVESTMENTS, LLC | SCOTTSDALE | $59B | % of AUM | yes, reported |
| GI PARTNERS | SCOTTSDALE | $36B | % of AUMperformance | none reported |
| DAVIS SELECTED ADVISERS LP | TUCSON | $30B | % of AUM | yes, reported |
| UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | SCOTTSDALE | $13B | % of AUMhourlyfixedcommissions | yes, reported |
| FOUNDATIONS INVESTMENT ADVISORS LLC | PHOENIX | $10B | % of AUMhourlyfixed | yes, reported |
| BALBEC CAPITAL MANAGEMENT LP | SCOTTSDALE | $8.0B | % of AUMperformanceother | none reported |
| ASHTON THOMAS PRIVATE WEALTH | SCOTTSDALE | $6.0B | % of AUMhourly | yes, reported |
| DYNAMIC | PHOENIX | $5.6B | % of AUMhourlyfixedother | none reported |
| SMEAD CAPITAL MANAGEMENT, INC. | PHOENIX | $5.5B | % of AUM | none reported |
| TCI WEALTH ADVISORS, INC. | TUCSON | $5.4B | % of AUMhourlyfixed | none reported |
| TFO FAMILY OFFICE PARTNERS | PHOENIX | $5.0B | % of AUMhourlyfixedother | none reported |
| STOKER OSTLER, A PART OF BMO FINANCIAL GROUP | SCOTTSDALE | $3.7B | % of AUMhourlyfixed | yes, reported |
| SOVEREIGN INVESTMENT ADVISORS LLC | PHOENIX | $3.3B | % of AUMfixed | none reported |
| PFG ADVISORS | PHOENIX | $3.3B | % of AUMhourlyfixed | none reported |
| TREK FINANCIAL | SCOTTSDALE | $2.8B | % of AUMhourlyfixed | none reported |
| TRAJAN WEALTH, L.L.C. | SCOTTSDALE | $2.6B | % of AUMperformanceother | none reported |
| REDWOOD INVESTMENT MANAGEMENT, LLC. | SCOTTSDALE | $2.5B | % of AUM | none reported |
| VERUS CAPITAL PARTNERS, LLC | SCOTTSDALE | $2.3B | % of AUMhourlyfixed | yes, reported |
| VERSANT CAPITAL MANAGEMENT, INC. | PHOENIX | $1.8B | % of AUMhourlyfixed | none reported |
| IRONWOOD INVESTMENT COUNSEL, LLC | SCOTTSDALE | $1.8B | % of AUM | none reported |
| INDIGO PARTNERS LLC | SCOTTSDALE | $1.7B | % of AUMperformance | none reported |
| L. ROY PAPP & ASSOCIATES, LLP | PHOENIX | $1.6B | % of AUM | none reported |
| GLOBAL STRATEGIC NEXTGEN OCIO | SCOTTSDALE | $1.6B | % of AUM | yes, reported |
| AWM CAPITAL, LLC | PHOENIX | $1.5B | % of AUMhourlyfixed | yes, reported |
| GALVIN, GAUSTAD & STEIN, LLC | SCOTTSDALE | $1.4B | % of AUMhourlyfixed | none reported |
| TOTAL INVESTMENT MANAGEMENT, INC. | SCOTTSDALE | $1.4B | % of AUMfixedsubscription | none reported |
| MSH CAPITAL ADVISORS LLC | SCOTTSDALE | $1.3B | % of AUMfixed | none reported |
| BROOKWOOD INVESTMENT GROUP | PHOENIX | $1.3B | % of AUMhourlyfixed | none reported |
| DECISIONPOINT FINANCIAL, LLC | MESA | $1.2B | % of AUMhourly | none reported |
| WELLSPRING FINANCIAL PARTNERS | TUCSON | $1.2B | % of AUMhourlyfixed | none reported |
| ARQ WEALTH ADVISORS, LLC | SCOTTSDALE | $1.1B | % of AUMfixed | none reported |
| BALBOA WEALTH PARTNERS, INC. | SCOTTSDALE | $1.1B | % of AUMhourlysubscription | none reported |
| GR FINANCIAL GROUP, LLC | TUCSON | $1.1B | % of AUMfixedperformanceother | none reported |
| BRIDGEPORT FINANCIAL SOLUTIONS | PHOENIX | $1.0B | % of AUMhourlyfixedother | none reported |
| WATTS GWILLIAM & COMPANY, LLC | GILBERT | $1.0B | % of AUMfixed | none reported |
| FORTITUDE FAMILY OFFICE | SCOTTSDALE | $1.0B | % of AUMhourlyfixedperformance | none reported |
| SEM WEALTH MANAGEMENT | TUCSON | $933M | % of AUM | none reported |
| ROVIN CAPITAL | MESA | $917M | % of AUMhourlyfixed | none reported |
| ESTANCIA CAPITAL MANAGEMENT, LLC | SCOTTSDALE | $908M | % of AUMperformance | none reported |
| CLAREMONT CAPITAL MANAGEMENT, LLC | PHOENIX | $844M | % of AUM | none reported |
| WEALTH MANAGEMENT PARTNERS, LLC | TUCSON | $794M | % of AUMhourlyfixed | none reported |
| STANDPOINT ASSET MANAGEMENT, LLC | SCOTTSDALE | $771M | % of AUM | none reported |
| CURAFIN ADVISORS | PHOENIX | $748M | % of AUMfixed | none reported |
| SENSIBLE MONEY, LLC | SCOTTSDALE | $743M | % of AUMfixed | none reported |
| FINANCIAL DIRECTIONS LLC | TUCSON | $738M | % of AUMfixed | none reported |
| ABLE FINANCIAL GROUP, LLC | SCOTTSDALE | $733M | % of AUMhourlyfixed | none reported |
| WINDSOR CAPITAL MANAGEMENT, LLC | PHOENIX | $703M | % of AUMhourly | none reported |
| RRA CAPITAL | PHOENIX | $663M | % of AUMperformanceother | none reported |
| IRONWOOD FINANCIAL, LLC | TUCSON | $663M | % of AUM | none reported |
Source: SEC Form ADV monthly data, firms reporting a Arizonaheadquarters address. Fee-method chips are the compensation arrangements each firm checked on Item 5.E; the disclosure column is the firm's own answer to Item 11. Click through to any firm for the full record and a link to its SEC detail page.
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