| A74 | PORTFOLIO STRATEGIES INC CRD 104685 | WA | $50.2M | 3 | Charles Schwab→ |
| B60 | CRITERION AFRICA PARTNERS, INC CRD 291386 | MD | $85.9M | — | E*Trade→ |
| B60 | BRUESKE ADVISORY SERVICES, LLC CRD 300689 | WA | $35.8M | 4 | E*Trade→ |
| B57 | P3 ASSET MANAGEMENT, LLC CRD 327327 | WA | $40.3M | — | E*Trade→ |
| B55 | TANAKA CAPITAL MANAGEMENT INC CRD 109888 | CT | $69.4M | 1 | E*Trade→ |
| B53 | AMERICAN FINANCIAL MANAGEMENT, LTD. CRD 111016 | MD | $31.6M | 2 | Charles Schwab→ |
| B52 | OXFORD GATE MANAGEMENT, LLC CRD 297061 | CT | $90.9M | — | U.S. Bank→ |
| C46 | PROFIT INVESTMENT MANAGEMENT, LLC CRD 110294 | MD | $26.8M | — | E*Trade→ |
| C46 | MCKINNEY CAPITAL, LLC CRD 315545 | AL | $91.0M | — | E*Trade→ |
| C44 | BLUE MARLIN HOLDCO LLC CRD 313892 | MD | $52.7M | — | E*Trade→ |
| C43 | MONACHIL CAPITAL PARTNERS LP CRD 311376 | CT | $71.7M | — | JPMorgan→ |
| C40 | WRIGHT PRIVATE ASSET MANAGEMENT LLC CRD 139570 | CT | $74.1M | 4 | Charles Schwab→ |
| C39 | ONEASCENT CAPITAL LLC CRD 323220 | AL | $55.6M | 2 | E*Trade→ |
| C34 | AMERICAN NORTHWEST ADVISORY SERVICES L.L.C. CRD 110117 | WA | $41.3M | 5 | E*Trade→ |
| C32 | OXFORD PARK MANAGEMENT, LLC CRD 324383 | CT | $71.4M | — | E*Trade→ |
| C32 | VITA PLANNING GROUP LLC CRD 312323 | WA | $83.7M | 3 | Charles Schwab→ |
| C29 | GRAYSCALE ADVISORS, LLC CRD 314868 | CT | $60.6M | 14 | State Street→ |
