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 |
|---|---|---|---|---|---|---|---|---|
| Fenimore Asset Management, Inc. CRD 110946 | Cobleskill, NY | mixed wealth | $5.4B | 31% | 19 | $285M | 1 | 1 |
| Constellation Wealth Advisors CRD 147253 | Cincinnati, OH | independent RIA | $5.4B | 77% | 15 | $360M | 1 | 4 |
| Tci Wealth Advisors, Inc. CRD 107373 | Tucson, AZ | independent RIA | $5.4B | 96% | 45 | $119M | 6 | 0 |
| W•••••• W••••• M••••••••• L•• CRD 283545 | Golden, CO | independent RIA | $5.4B | 94% | 113 | $47.4M | 40 | 0 |
| D•••• V•••••• I••••••••• L•• CRD 105990 | Peoria, IL | independent RIA | $5.3B | 73% | 23 | $232M | 1 | 0 |
| F••••• M••••• L•• CRD 104951 | New York, NY | mixed wealth | $5.3B | 37% | 10 | $531M | 2 | 2 |
| M••••••• C•••••• M••••••••• L•• CRD 109528 | Grand Blanc, MI | independent RIA | $5.3B | 93% | 24 | $221M | 4 | 0 |
| P••••• N•••• A•••••• A••••••• S• CRD 142512 | Geneva 73, | independent RIA | $5.3B | 78% | 1 | $5.3B | 1 | 0 |
| B•• W•••••• L•• CRD 143208 | Atlanta, GA | independent RIA | $5.3B | 99% | 63 | $83.9M | 4 | 2 |
| A•••• I••••••••• A•••••••• L•• CRD 287906 | Deerfield, IL | mixed wealth | $5.3B | 27% | 69 | $76.6M | 27 | 0 |
| R•••••• W••••• CRD 123047 | Lansing, MI | independent RIA | $5.3B | 64% | 41 | $129M | 13 | 0 |
| V•••••• V•••••••• P••••••• L•• CRD 304237 | Sylvania, OH | independent RIA | $5.2B | 81% | 31 | $169M | 4 | 0 |
| I••••••••• M••••••••• G•••• CRD 122166 | Billings, MT | mixed wealth | $5.2B | 26% | 25 | $209M | 8 | 0 |
| L••••••• W•••••• I••• CRD 106779 | Houston, TX | independent RIA | $5.2B | 97% | 21 | $248M | 6 | 0 |
| G••••••• CRD 158369 | Miami, FL | independent RIA | $5.2B | 96% | 22 | $236M | 1 | 0 |
| D••••••• I••••••••• A•••••••• I••• CRD 110552 | Great Falls, MT | independent RIA | $5.2B | 69% | 17 | $306M | 6 | 0 |
| K•••••• CRD 149046 | St. Louis, MO | independent RIA | $5.2B | 85% | 63 | $82.5M | 5 | 1 |
| B•••• T•••• W••••• M••••••••• L•• CRD 167811 | Madison, WI | mixed wealth | $5.2B | 25% | 26 | $200M | 8 | 0 |
| B••• C•••• A•••• M••••••••• L•• CRD 137677 | Denver, CO | mixed wealth | $5.2B | 36% | 8 | $649M | 1 | 40 |
| L••••• A•••••••• L•• CRD 139830 | Plymouth Meeting, PA | independent RIA | $5.2B | 94% | 19 | $272M | 0 | 0 |
| I••••••• A••••••• S•••••••• L•• CRD 282589 | Miami, FL | mixed wealth | $5.2B | 44% | 222 | $23.3M | 16 | 1 |
| J•••••••• I••••••••• A••••••• L•• CRD 325421 | New York, NY | mixed wealth | $5.2B | 40% | 119 | $43.3M | 9 | 0 |
| T••••••• A••••••• L•• CRD 139713 | Frisco, TX | independent RIA | $5.1B | 54% | 3 | $1.7B | 0 | 0 |
| G••••• C•••••• M••••••••• CRD 108618 | Los Angeles, CA | independent RIA | $5.1B | 83% | 21 | $243M | 1 | 0 |
| E••••••••• W••••• A•••••••• L•• CRD 286340 | Birmingham, AL | independent RIA | $5.1B | 75% | 75 | $67.9M | 27 | 1 |
| M•••• W••••• M••••••••• L•• CRD 319208 | Naples, FL | independent RIA | $5.1B | 94% | 34 | $150M | 0 | 0 |
| S••••• A••••••• I••• CRD 174182 | Birmingham, AL | BD affiliated | $5.1B | 96% | 233 | $21.9M | 155 | 0 |
| N•• E•••••• P•••••• W••••• A•••••••• L•• CRD 133790 | Wellesley, MA | independent RIA | $5.1B | 60% | 12 | $424M | 2 | 0 |
| P••••••••• P••••••• • C••• L•• CRD 282688 | Bethesda, MD | independent RIA | $5.1B | 90% | 11 | $463M | 1 | 10 |
| B••••••••• CRD 132657 | San Francisco, CA | independent RIA | $5.1B | 94% | 34 | $150M | 13 | 0 |
| T•• P•••••• F•••••••• G••••• I••• CRD 105203 | Nashville, TN | independent RIA | $5.1B | 99% | 14 | $362M | 0 | 0 |
| F•••• F••••••••• A••••••• CRD 106075 | Irvine, CA | independent RIA | $5.1B | 74% | 29 | $175M | 11 | 0 |
| W••••••••• F••••• O••••• CRD 143112 | Cleveland, OH | independent RIA | $5.1B | 99% | 9 | $562M | 0 | 0 |
| T•••• B••• C•••••• L•• CRD 159736 | Dallas, TX | mixed wealth | $5.1B | 31% | 13 | $389M | 10 | 17 |
| D•••••• W••••• P•••••••• L•• CRD 320878 | Cincinnati, OH | independent RIA | $5.0B | 95% | 32 | $158M | 10 | 0 |
| P••••••••• • A• E••••••••• C•••••• CRD 133777 | Owings Mills, MD | independent RIA | $5.0B | 99% | 63 | $80.0M | 14 | 0 |
| T•• F••••• O••••• P••••••• CRD 159440 | Phoenix, AZ | independent RIA | $5.0B | 99% | 27 | $187M | 2 | 0 |
| C•••• W•••••• • A••••••••• L•• CRD 111521 | Frisco, TX | independent RIA | $5.0B | 58% | 76 | $66.3M | 2 | 0 |
| R••••••••• CRD 108074 | Minneapolis, MN | independent RIA | $5.0B | 64% | 12 | $419M | 0 | 0 |
| C•••••• B••••• A••••••• CRD 152569 | Westport, CT | independent RIA | $5.0B | 88% | 40 | $126M | 10 | 0 |
| S••••• I••••••••• A•••••••• L•• CRD 28218 | St Louis, MO | BD affiliated | $5.0B | 96% | 10 | $501M | 77 | 0 |
| S•••• CRD 318493 | New York, NY | independent RIA | $5.0B | 97% | 190 | $26.3M | 126 | 0 |
| M••••••• W••••• M••••••••• L•• CRD 151523 | Lexington, KY | independent RIA | $5.0B | 87% | 58 | $85.9M | 9 | 0 |
| A•••••• C•••••• M••••••••• I•• CRD 110767 | Southfield, MI | independent RIA | $5.0B | 99% | 31 | $161M | 7 | 0 |
| N••••••••• A•••• M••••••••• L•• CRD 282241 | Stamford, CT | independent RIA | $5.0B | 93% | 30 | $166M | 15 | 0 |
| M••••• P•••••• W••••• CRD 147686 | London, | independent RIA | $5.0B | 99% | 7 | $708M | 0 | 0 |
| D••••••••• W••••• M••••••••• CRD 110365 | Walnut Creek, CA | independent RIA | $4.9B | 98% | 38 | $130M | 0 | 0 |
| H••••••• C•••••• CRD 109116 | Columbus, OH | independent RIA | $4.9B | 80% | 59 | $83.7M | 1 | 2 |
| C••••••••• W••••• M••••••••• L•• CRD 164666 | Des Peres, MO | independent RIA | $4.9B | 97% | 90 | $54.8M | 45 | 0 |
| S•••• CRD 226550 | New York, NY | independent RIA | $4.9B | 100% | 1 | $4.9B | 0 | 0 |
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9,806 advisers match.