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

Hamilton Lane Incorporated (HLNE) (IPO March 1, 2017; alternative investment management)

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

Asset Management Companies

BrightSphere Investment Group plc (BSIG)

Cohen & Steers Inc. (CNS)

Diamond Hill Investment Group, Inc. (DHIL)

Gamco Investors, Inc. (GBL)

Noah Holdings Ltd. (NOAH) (China)

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)


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

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)

Financial Services

China Rapid Finance Limited (XRF) (IPO April, 28, 2017; China: operates consumer lending marketplace)

Elevate Credit, Inc. (ELVT) (IPO April 6, 2017; online credit solutions)

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)

Hexindai Inc. (HX) (IPO November 3, 2017; China: consumer lending marketplace)

Marlin Business Services Corp. (MRLN)

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

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

World Acceptance Corporation (WRLD) (Consumer loans)

Investment Banks

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

Moelis & Company (MC)

Related Links:

Small-Cap Stocks

Stocks by Market Cap

Publicly Traded Companies by Sector and Industry