| A74 | PORTFOLIO STRATEGIES INC CRD 104685 | WA | $50.2M | 3 | Charles Schwab→ |
| A73 | WHALEN CAPITAL, INC. CRD 130016 | WI | $75.1M | 8 | E*Trade→ |
| B64 | TAVERIK CAPITAL, LLC CRD 156594 | SC | $97.5M | 2 | Charles Schwab→ |
| B60 | BRUESKE ADVISORY SERVICES, LLC CRD 300689 | WA | $35.8M | 4 | E*Trade→ |
| B58 | HIGHLAND CONSULTING ASSOCIATES INTERNATIONAL, INC. CRD 282906 | OH | $76.6M | — | Fidelity→ |
| B57 | P3 ASSET MANAGEMENT, LLC CRD 327327 | WA | $40.3M | — | E*Trade→ |
| B55 | NOVUS ADVISORS, LLC CRD 157908 | SC | $91.3M | 3 | Charles Schwab→ |
| B53 | OELSCHLAGER INVESTMENTS LLC CRD 306035 | OH | $93.3M | 1 | Charles Schwab→ |
| B53 | BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY II, LLC CRD 292786 | WI | $81.7M | — | E*Trade→ |
| B52 | BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC CRD 326646 | WI | $83.7M | — | E*Trade→ |
| C46 | SIMS CAPITAL MANAGEMENT LLC CRD 129398 | WI | $56.4M | 1 | Charles Schwab→ |
| C44 | ANTHONY CAPITAL MANAGEMENT, LLC CRD 312256 | WI | $37.9M | — | E*Trade→ |
| C38 | MODERN CAPITAL MANAGEMENT, CO. CRD 306631 | SC | $90.7M | 5 | Charles Schwab→ |
| C34 | AMERICAN NORTHWEST ADVISORY SERVICES L.L.C. CRD 110117 | WA | $41.3M | 5 | E*Trade→ |
| C32 | VITA PLANNING GROUP LLC CRD 312323 | WA | $83.7M | 3 | Charles Schwab→ |
| C22 | YOUR FINANCIAL PHARMACIST PLANNING, LLC CRD 282918 | OH | $53.2M | 4 | Altruist→ |
