DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Firms
SEC-registered investment advisers
One row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list. Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Morgan Stanley CRD 149777 | Purchase, NY | wirehouse | $1962B | 90% | 23,147 | $84.8M | 627 | 0 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691 | New York, NY | wirehouse | $1782B | 86% | 25,477 | $69.9M | 3,910 | 0 |
| Strategic Advisers LLC CRD 104555 | Boston, MA | national BD | $1370B | 41% | 16,954 | $80.8M | 237 | 0 |
| Edward Jones CRD 250 | St. Louis, MO | national BD | $1014B | 98% | 24,084 | $42.1M | 15,120 | 0 |
| Managed Account Advisors LLC CRD 142558 | Jersey City, NJ | independent RIA | $995B | 90% | 26 | $38B | 0 | 0 |
| UBS Financial Services Inc. CRD 8174 | Weehawken, NJ | wirehouse | $916B | 83% | 9,349 | $98.0M | 369 | 0 |
| LPL Financial LLC CRD 6413 | Fort Mill, SC | BD affiliated | $819B | 96% | 23,319 | $35.1M | 20,864 | 0 |
| Parametric Portfolio Associates CRD 114310 | Seattle, WA | BD affiliated | $685B | 56% | 7 | $98B | 5 | 12 |
| Wells Fargo Advisors CRD 19616 | St. Louis, MO | wirehouse | $671B | 92% | 14,697 | $45.7M | 5,038 | 0 |
| Ameriprise Financial Services, LLC CRD 6363 | Minneapolis, MN | national BD | $660B | 98% | 13,078 | $50.5M | 158 | 0 |
| Envestnet Pmc CRD 111694 | Berwyn, PA | independent RIA | $615B | 94% | 60 | $10B | 1 | 0 |
| UBS Asset Management (Americas) LLC CRD 106838 | New York, NY | mixed wealth | $588B | 34% | 32 | $18B | 15 | 139 |
| Raymond James & Associates, Inc. CRD 705 | St. Petersburg, FL | national BD | $501B | 81% | 5,787 | $86.6M | 817 | 0 |
| J.P. Morgan Private Investments Inc. CRD 110186 | New York, NY | BD affiliated | $470B | 66% | 9 | $52B | 5 | 75 |
| J.P. Morgan Securities LLC CRD 79 | New York, NY | wirehouse | $430B | 91% | 14,152 | $30.4M | 3,566 | 0 |
| Robert W. Baird & Co. Incorporated CRD 8158 | Milwaukee, WI | mixed wealth | $394B | 43% | 2,612 | $151M | 209 | 0 |
| Raymond James Financial Services Advisors, Inc CRD 149018 | Saint Petersburg, FL | BD affiliated | $390B | 89% | 6,694 | $58.3M | 3,629 | 0 |
| Fisher Investments CRD 107342 | Plano, TX | independent RIA | $387B | 86% | 2,933 | $132M | 11 | 4 |
| Vanguard Advisers, Inc. CRD 106715 | Malvern, PA | BD affiliated | $345B | 96% | 2,422 | $142M | 2,225 | 0 |
| Cambridge Associates, LLC CRD 104942 | Boston, MA | mixed wealth | $327B | 27% | 0 | n/a | 4 | 92 |
| Edelman Financial Engines CRD 104510 | Santa Clara, CA | independent RIA | $326B | 55% | 723 | $451M | 131 | 0 |
| RBC Capital Markets, LLC CRD 31194 | New York, NY | national BD | $310B | 90% | 3,840 | $80.8M | 382 | 0 |
| Creative Planning CRD 105348 | Overland Park, KS | independent RIA | $296B | 62% | 1,163 | $254M | 150 | 5 |
| Nuveen Asset Management, LLC CRD 155584 | Chicago, IL | mixed wealth | $280B | 21% | 255 | $1.1B | 28 | 28 |
| Cetera Investment Advisers LLC CRD 105644 | Schaumburg, IL | BD affiliated | $257B | 96% | 10,475 | $24.5M | 6,584 | 0 |
| Wells Fargo Advisors CRD 11025 | St. Louis, MO | wirehouse | $252B | 93% | 4,134 | $61.0M | 1,338 | 0 |
| Osaic Wealth, Inc. CRD 23131 | Scottsdale, AZ | BD affiliated | $235B | 97% | 8,054 | $29.2M | 5,586 | 0 |
| Sei Investments Management Corp CRD 105146 | Oaks, PA | mixed wealth | $216B | 24% | 127 | $1.7B | 3 | 0 |
| Commonwealth Financial Network CRD 8032 | Waltham, MA | national BD | $213B | 95% | 2,942 | $72.3M | 1,433 | 0 |
| Hightower Advisors, LLC CRD 145323 | Chicago, IL | BD affiliated | $199B | 90% | 1,043 | $190M | 132 | 0 |
| Stifel, Nicolaus & Company, Incorporated CRD 793 | St Louis, MO | national BD | $198B | 90% | 3,340 | $59.1M | 517 | 0 |
| Empower Advisory Group, LLC CRD 112058 | Greenwood Village, CO | BD affiliated | $195B | 85% | 1,944 | $101M | 1,234 | 0 |
| Clearbridge Investments, LLC CRD 137028 | New York, NY | mixed wealth | $185B | 26% | 42 | $4.4B | 8 | 4 |
| Focus Partners Wealth, LLC CRD 159289 | St. Louis, MO | independent RIA | $182B | 86% | 1,043 | $174M | 112 | 26 |
| Corient CRD 319448 | Miami, FL | independent RIA | $165B | 95% | 658 | $251M | 36 | 0 |
| Cerity Partners LLC CRD 151559 | New York, NY | independent RIA | $162B | 71% | 736 | $220M | 66 | 10 |
| Aperio Group, LLC CRD 111616 | Sausalito, CA | independent RIA | $152B | 65% | 0 | n/a | 8 | 0 |
| Franklin Templeton Private Portfolio Group, LLC CRD 142219 | New York, NY | independent RIA | $140B | 56% | 1 | $140B | 0 | 0 |
| Cambridge Investment Research Advisors, Inc. CRD 134139 | Fairfield, IA | BD affiliated | $139B | 97% | 3,941 | $35.2M | 2,339 | 0 |
| Rathbones CRD 124925 | Liverpool, | independent RIA | $135B | 64% | 0 | n/a | 18 | 0 |
| Goldman Sachs & Co. LLC CRD 361 | New York, NY | wirehouse | $134B | 38% | 0 | n/a | 18 | 0 |
| Mariner CRD 140195 | Overland Park, KS | BD affiliated | $125B | 92% | 984 | $127M | 130 | 2 |
| Brown Advisory CRD 110181 | Baltimore, MD | mixed wealth | $124B | 39% | 25 | $5.0B | 13 | 3 |
| Wealth Enhancement Advisory Services, LLC CRD 116407 | Plymouth, MN | BD affiliated | $122B | 91% | 1,013 | $121M | 184 | 0 |
| MML Investors Services, LLC CRD 10409 | Springfield, MA | BD affiliated | $116B | 97% | 5,082 | $22.8M | 1,093 | 0 |
| Pathstone CRD 151736 | Englewood, NJ | independent RIA | $110B | 83% | 201 | $549M | 18 | 161 |
| Janney Montgomery Scott LLC CRD 463 | Philadelphia, PA | BD affiliated | $110B | 89% | 1,340 | $82.2M | 138 | 0 |
| Natixis Advisors, LLC CRD 106800 | Boston, MA | BD affiliated | $109B | 90% | 57 | $1.9B | 3 | 0 |
| Rockefeller Capital Management CRD 291361 | New York, NY | BD affiliated | $100B | 82% | 1,033 | $96.4M | 67 | 0 |
| Fiducient Advisors LLC CRD 106720 | Chicago, IL | mixed wealth | $98B | 34% | 69 | $1.4B | 17 | 0 |
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9,800 advisers match.