The 2019 Austin Business Journal list of broker-dealer firms handling investment management services is open to firms with offices in the Austin area. To be eligible, firms must be a registered broker-dealer with the SEC or the State of Texas, depending upon the amount of assets managed. Participants must be able to disclose ranking criteria of assets under advisement (AUA) for the Austin office. Information is gathered via ABJ surveys sent to company representatives. Only firms that respond to requests for information are considered. Firms that have Investment Advisor Reps (IAR) on staff but work under another firm’s broker dealer or RIA registration are not eligible for this list. See a related list of financial planning firms which is open to firms that do comprehensive plans for clients. See also complementary list of Investment management RIA firms. Austin area includes Travis, Williamson, Hays, Bastrop and Caldwell counties.
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