DFX Intelligence
Advisors’ outside businesses
Companies registered advisors disclosed as outside business on Form U4, each looked up as a company in public records. Reviewed for advisors in the recruiting lists first; more are added as their disclosures are reviewed.
CompaniesWhat is listedA company appears here only when an advisor’s own disclosure names it and the disclosure has been reviewed. Personal items (a trusteeship for a relative, a home, a side job) are never listed. The advisor count is every registered advisor whose disclosure names a company with this exact name in this state.
3,469 reviewed
- CT · 7 advisors
- CA · 7 advisors
- NY · 7 advisors · formed 1970
- PA · 7 advisors
- SC · 7 advisors
- AZ · 7 advisors
- A•••••• C•••••••• F•••••••••NonprofitStatewide philanthropic foundation connecting donors with A•••••• nonprofit organizationsAZ · 6 advisors
- IA · 6 advisors · formed 2011
- GA · 6 advisors
- F•••• H•••••• A•••••••Practice brandDBA/trade name for LPL Financial investment products and servicesTN · 6 advisors · formed 2013
- F•••• H•••••• A•••••••Practice brandDBA/trade name for LPL Financial investment products and servicesFL · 6 advisors
- F••••••••• f•• F•••••••• P•••••••NonprofitFinancial planning; pro bono financial coaching for recently widowed womenDC · 6 advisors
- NY · 6 advisors
- NY · 6 advisors · formed 1969
- AZ · 6 advisors
- AZ · 6 advisors
- NY · 6 advisors · formed 2010
- SD · 6 advisors · formed 2012
- S••••• F•••••••• G••••Practice brandInvestment advisory, financial planning management and insuranceSD · 6 advisors
- NY · 6 advisors · formed 2003
- GA · 6 advisors
- MN · 6 advisors
- W•••••• • S••••••• L•••InsuranceOH · 6 advisors
- VA · 6 advisors
- TN · 5 advisors
- FL · 5 advisors
- NV · 5 advisors
- MA · 5 advisors
- B••• S••••• O• C•••••••••InsuranceCA · 5 advisors
- C••••••••• S••••• F••••••••Practice brandRegistered rep activities through Kestra Investment ServicesNY · 5 advisors
- VT · 5 advisors
- F•••• D•••••• R••••••••• S•••••••LegalNeutral arbitration panel services for securities industry disputesNY · 5 advisors
- G•••••• H••••• C••••••Affiliate of the employerRelated adviser that serves as adviser to a series of private fundsTX · 5 advisors
- G•••••••••ConsultingNY · 5 advisors · formed 2025
- CT · 5 advisors · formed 2005
- IN · 5 advisors
- PA · 5 advisors
- CA · 5 advisors
- CA · 5 advisors
- P••••• U•••••••••EducationIN · 5 advisors
- NJ · 5 advisors
- MA · 5 advisors
- T•• F••••••••• G••••InsuranceTX · 5 advisors
- AZ · 5 advisors
- DE · 5 advisors
- KS · 4 advisors
- OH · 4 advisors
- NY · 4 advisors · formed 2016
- OK · 4 advisors
- GA · 4 advisors
The company names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.