Small-Cap Financial Stocks

U.S. Exchanges

List of Small-Cap Financial Stocks Listed on U.S. Exchanges

This list includes small-sized companies in the financial sector with a market capitalization between 300 million and two billion dollars. We update this page at the start of every month so it is possible that a stock’s market cap might fall below 300 million dollars or go above two billion dollars between updates. Additional companies in the financial sector can be found in the following sections:

List of Financial Sector Companies

Large-Cap Financial Sector

Mid-Cap Financial Sector

Micro-Cap Financial Sector

Due to the size of the financial sector, we have created separate sections for the following categories:

Small-Cap Banks

Small-Cap Insurance

Small-Cap Real Estate

A comparison widget that shows trend, earnings per share (EPS), P/E ratio and beta for each of the companies on this list can be accessed through the link below.

Small-Cap Financial Sector Comparison Widget

Select the company’s link to access charts, news links and company website and social media information.

Alternative Asset Management

Fifth Street Asset Management Inc. (FSAM) (Financing solutions to small and mid-sized companies)

Och-Ziff Capital Management Group LLC. (OZM) (CLOs, credit funds, equity funds, multi-strategy funds and real estate funds)

Asset Management Companies  

Cohen & Steers Inc. (CNS)

Diamond Hill Investment Group, Inc. (DHIL)

Fortress Investment Group LLC (FIG)

Gamco Investors, Inc. (GBL)

Noah Holdings Ltd. (NOAH) (China)

OM Asset Management Plc. (OMAM) (United Kingdom)

Piper Jaffray Companies (PJC) (Investment banking and asset management)

Pzena Investment Management Inc. (PZN)

Virtus Investment Partners, Inc. (VRTS)

Waddell & Reed Financial, Inc. (WDR)

Westwood Holdings Group Inc. (WHG)

WisdomTree Investments, Inc. (WETF) (Focuses exclusively on ETFs)

Brokers

Cowen Group, Inc. (COWN) (Investment banking, brokerage, alternative asset management)

Investment Technology Group, Inc. (ITG) (Execution and research broker)

Ladenburg Thalmann Financial Services Inc. (LTS) (Investment banking, broker-dealers)

Commodity Trading

Yintech Investment Holdings Limited (YIN) (China: spot commodity trading services)

Credit and Prepaid Cards

Blackhawk Network Holdings, Inc. (HAWK) (Prepaid products)

Green Dot Corporation (GDOT) (Prepaid debit cards)

Electronic Trading Services

GAIN Capital Holdings, Inc. (GCAP) (Global OTC, forex, futures)

INTL FCStone Inc. (INTL) (Commodities, equities and forex)

KCG Holdings, Inc. (KCG) (Commodities, currencies, equities and fixed income)

Financial Services

Enova International, Inc. (ENVA) (Online Consumer Loans)

Federal Agricultural Mortgage Corporation (AGM) (Assists in providing agricultural mortgage and rural utilities loans in the secondary market)

NewStar Financial, Inc. (NEWS) (Financing and leasing services to middle market companies)

On Deck Capital, Inc. (ONDK) (Small-business loans)

Walker & Dunlop, Inc. (WD) (Commercial real estate)

World Acceptance Corporation (WRLD) (Consumer loans)

Investment Banks  

B Riley Financial, Inc. (RILY)

Greenhill & Co., Inc. (GHL) (Only provides advisory services)

Houlihan Lokey, Inc. (HLI) (IPO in August 2015)

Moelis & Company (MC)

Related Links:

Small-Cap Stocks

Stocks by Market Cap

Publicly Traded Companies by Sector and Industry