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 |
|---|---|---|---|---|---|---|---|---|
| Private Management Group Inc CRD 104707 | Irvine, CA | independent RIA | $4.9B | 93% | 29 | $169M | 1 | 0 |
| Heritage Wealth Advisors CRD 137484 | Richmond, VA | independent RIA | $4.9B | 55% | 15 | $324M | 3 | 9 |
| Compound Planning, Inc. CRD 171787 | New York, NY | independent RIA | $4.8B | 62% | 78 | $62.2M | 25 | 0 |
| C•••••• C••••••• L•• CRD 291624 | C••••••, IL | independent RIA | $4.8B | 97% | 11 | $438M | 0 | 0 |
| C••••••• P•••• W••••• M••••••••• CRD 140619 | Toronto, On, | independent RIA | $4.8B | 87% | 8 | $601M | 3 | 0 |
| S••••• M••••••••• CRD 127145 | North Little Rock, AR | independent RIA | $4.8B | 89% | 109 | $44.1M | 70 | 0 |
| C•••• A•••• M••••••••• I•• CRD 172640 | Toronto, Ontario, | mixed wealth | $4.8B | 30% | 0 | n/a | 0 | 0 |
| B•••••••• R••••• • F•••••••• I••• CRD 110608 | Chicago, IL | independent RIA | $4.8B | 94% | 16 | $299M | 2 | 0 |
| H•••••••• P••••••• P••••••• CRD 316636 | Downers Grove, IL | independent RIA | $4.8B | 98% | 114 | $42.0M | 67 | 0 |
| F••••• G••••• I••• CRD 107148 | West Des Moines, IA | independent RIA | $4.8B | 84% | 58 | $82.3M | 1 | 0 |
| N•••••• F•••••••• G••••• I••• CRD 44181 | Cedar Rapids, IA | independent RIA | $4.8B | 96% | 89 | $53.6M | 39 | 0 |
| A•••••• W••••• S•••••••• CRD 127186 | Houston, TX | independent RIA | $4.8B | 97% | 43 | $111M | 4 | 7 |
| T•• A••••• G••••• L•• CRD 314424 | Virginia Beach, VA | independent RIA | $4.8B | 74% | 20 | $238M | 6 | 0 |
| I•• A•••••••• L•• CRD 168012 | Atlanta, GA | independent RIA | $4.8B | 96% | 110 | $43.3M | 62 | 0 |
| G•• S••••••••• I••• CRD 128929 | Palm Beach Gardens, FL | BD affiliated | $4.8B | 100% | 447 | $10.6M | 25 | 0 |
| B• A•••••••• L•• CRD 142982 | Mt. Laurel, NJ | independent RIA | $4.7B | 97% | 6 | $789M | 2 | 0 |
| S••••••• P••••••• CRD 120982 | Glastonbury, CT | independent RIA | $4.7B | 52% | 22 | $215M | 3 | 0 |
| J•• W••••• A•••••••• L•• CRD 145051 | Hermitage, PA | independent RIA | $4.7B | 80% | 33 | $143M | 9 | 0 |
| K••••••••• F••••• A••••••• CRD 105907 | New York, NY | independent RIA | $4.7B | 84% | 5 | $940M | 1 | 12 |
| M•• A•••••••• L•• CRD 130372 | Lexington, KY | independent RIA | $4.7B | 55% | 33 | $142M | 4 | 1 |
| B•••• F•••••••• A••••••• I•• CRD 108780 | Charlotte, NC | independent RIA | $4.7B | 72% | 15 | $311M | 0 | 0 |
| D•••••••• A••••••• S•••••••• L•• CRD 326060 | South Jordan, UT | BD affiliated | $4.6B | 94% | 115 | $40.4M | 27 | 0 |
| C• A••••••• S••••••• CRD 110929 | Williamston, MI | independent RIA | $4.6B | 61% | 68 | $68.2M | 25 | 0 |
| H••••••• I•••••••• M••••••••• C••• CRD 110420 | Bethesda, MD | independent RIA | $4.6B | 87% | 9 | $515M | 0 | 0 |
| V••••••• C•••••• A•••••••• L•• CRD 288512 | Hunt Valley, MD | independent RIA | $4.6B | 94% | 39 | $119M | 6 | 0 |
| Q••••••• W••••• P•••••••• L•• CRD 326819 | Dallas, TX | independent RIA | $4.6B | 100% | 35 | $132M | 5 | 0 |
| S•••• B•••••• A••••••• L•• CRD 158722 | New York, NY | independent RIA | $4.6B | 54% | 0 | n/a | 0 | 16 |
| T••• F•••• C•••••• P•••••••• L•• CRD 140522 | Boston, MA | independent RIA | $4.6B | 98% | 16 | $287M | 0 | 6 |
| W•••••• B••••••• G••••• L•• CRD 133722 | Malvern, PA | independent RIA | $4.6B | 82% | 3 | $1.5B | 1 | 0 |
| F••••••• S••••• A••••••• I••• CRD 106275 | Chapel Hill, NC | bank affiliated | $4.5B | 81% | 16 | $283M | 0 | 5 |
| J•• F••••• O••••• CRD 125101 | Denver, CO | independent RIA | $4.5B | 99% | 35 | $129M | 2 | 1 |
| C•• A•••• M••••••••• G•••• CRD 158940 | Naples, FL | independent RIA | $4.5B | 94% | 50 | $90.3M | 4 | 3 |
| S•••• W••••• M••••••••• L•• CRD 113908 | Mclean, VA | BD affiliated | $4.5B | 96% | 67 | $67.4M | 47 | 0 |
| G•••••• I••••••••• M••••••••• CRD 44402 | Carmel, IN | mixed wealth | $4.5B | 48% | 23 | $196M | 0 | 0 |
| C••••••• S••• I••••••••• C••••••••• CRD 108033 | Pasadena, CA | independent RIA | $4.5B | 84% | 17 | $264M | 0 | 0 |
| C••••••••• W••••• M••••••••• L•• CRD 154310 | Farmington, CT | independent RIA | $4.5B | 95% | 50 | $89.6M | 1 | 0 |
| C• I••••••••• L•• CRD 292627 | Auburn, IN | independent RIA | $4.5B | 96% | 80 | $55.8M | 15 | 0 |
| B•••••••• C•••••• M••••••••• L•• CRD 149320 | New York, NY | mixed wealth | $4.5B | 22% | 6 | $742M | 2 | 13 |
| B••••• T•••• CRD 226547 | Morristown, NJ | independent RIA | $4.4B | 93% | 30 | $148M | 4 | 0 |
| A••••••••• I•••••••• W••••• M••••••••• CRD 105439 | Edina, MN | independent RIA | $4.4B | 99% | 3 | $1.5B | 0 | 0 |
| S••• H••• G••••• A•••••••• L•• CRD 111295 | Palo Alto, CA | independent RIA | $4.4B | 83% | 19 | $231M | 1 | 0 |
| P••••••••• C•••••• A••••••• CRD 156480 | Westlake, OH | independent RIA | $4.4B | 86% | 102 | $43.0M | 41 | 0 |
| S••• C•••••• L•• CRD 322776 | San Francisco, CA | independent RIA | $4.4B | 98% | 12 | $365M | 0 | 8 |
| A••••••• A••••• L•• CRD 158282 | Holland, MI | independent RIA | $4.4B | 54% | 66 | $66.3M | 27 | 0 |
| G••• L••• A•••••••• L•• CRD 171898 | Celebration, FL | independent RIA | $4.4B | 99% | 88 | $49.4M | 48 | 0 |
| P•• I••••••••• A••••••• S•••••••• I••• CRD 123475 | Cincinnati, OH | mixed wealth | $4.3B | 22% | 10 | $431M | 0 | 0 |
| P••••• C•••••• A•••••••• L•• CRD 310327 | Braintree, MA | independent RIA | $4.3B | 100% | 28 | $154M | 5 | 0 |
| T••••••• A•••• M••••••••• CRD 110901 | Boston, MA | independent RIA | $4.3B | 53% | 12 | $359M | 1 | 0 |
| N•••••• W••••• M••••••••• CRD 283940 | Green Bay, WI | independent RIA | $4.3B | 65% | 46 | $93.3M | 13 | 0 |
| S••• F•••••••• G•••• I••• CRD 116574 | West Conshohocken, PA | independent RIA | $4.3B | 96% | 20 | $215M | 2 | 4 |
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9,806 advisers match.