FinCEN AML scope: Ohio's investment advisers
259 of Ohio's SEC-registered investment advisers clear FinCEN's three-part AML scope test, from the SEC's own roster dated 2026-08-03. See the exact filter and sources for how that population is defined.
What stands out in Ohio
Ohio has the lowest private-fund exposure of the ten largest states, at 18.9%, less than half the national rate of 39.8%, and the lowest share of firms where a related person holds custody, at 19.7% against a national 34.5%. Of the states on this list, Ohio's in-scope firms look the most like plain retail advisers rather than fund managers.
Ohio's numbers, in full
- Firms in scope
- 259
- Median staff
- 6
- Fewer than 20 people
- 219 (84.6%)
- 5 people or fewer
- 110 (42.5%)
- Custody of client cash or securities
- 136 (52.5%)
- A related person holds custody
- 51 (19.7%)
- Advise at least one private fund
- 49 (18.9%)
- Median AUM
- $360.2 million
Firms in scope
Median staff
Fewer than 20 people
5 people or fewer
Custody of client cash or securities
A related person holds custody
Advise at least one private fund
Median AUM
This page is independent research, not legal advice, computed from the SEC's own public roster of investment advisers. See the method and sources. Verify anything load-bearing against the Federal Register text itself before acting on it.