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 |
|---|---|---|---|---|---|---|---|---|
| Aaron Wealth Advisors CRD 298079 | Chicago, IL | independent RIA | $4.3B | 76% | 11 | $390M | 3 | 0 |
| Sage Mountain Advisors, LLC CRD 298593 | Atlanta, GA | independent RIA | $4.3B | 94% | 21 | $204M | 0 | 3 |
| Turtle Creek Trust CRD 140212 | Dallas, TX | independent RIA | $4.3B | 99% | 3 | $1.4B | 0 | 0 |
| S••••••••• W••••• CRD 300572 | Summit, NJ | mixed wealth | $4.3B | 40% | 204 | $20.9M | 52 | 0 |
| B••••• C•••••• M••••••••• I••• CRD 120641 | Dayton, OH | mixed wealth | $4.3B | 47% | 26 | $164M | 1 | 0 |
| R•••••••• M•••••• C•••••• M••••••••• L•• CRD 137342 | Boston, MA | independent RIA | $4.2B | 70% | 21 | $201M | 0 | 0 |
| Z•• I••••••••• C•••••• I•• CRD 110397 | Atlanta, GA | independent RIA | $4.2B | 90% | 13 | $325M | 0 | 0 |
| B• R•••• W••••• A•••••••• I••• CRD 115927 | Memphis, TN | BD affiliated | $4.2B | 95% | 167 | $25.2M | 95 | 0 |
| S••••• I••••••••• L•• CRD 105508 | Los Gatos, CA | mixed wealth | $4.2B | 32% | 6 | $702M | 1 | 0 |
| H•••••• H••••••• CRD 105515 | Long Beach, CA | independent RIA | $4.2B | 87% | 43 | $97.8M | 25 | 0 |
| S•••••••• A•••• A•••••••• L•• CRD 107588 | Thomasville, GA | independent RIA | $4.2B | 62% | 8 | $525M | 4 | 7 |
| T•••• C•••••• B••• P•••••• W••••• A••••••• CRD 298422 | Dallas, TX | independent RIA | $4.2B | 52% | 55 | $76.2M | 5 | 0 |
| S•••• I••••••••• C••••••••• I•• CRD 104855 | Winston S••••, NC | independent RIA | $4.2B | 90% | 13 | $322M | 1 | 0 |
| S•••• I••••• S••••••••• L•• CRD 173272 | Fort Lauderdale, FL | independent RIA | $4.2B | 100% | 125 | $33.4M | 99 | 0 |
| E•••• F•••••••• S•••••••• I••• CRD 127549 | E••••, CT | independent RIA | $4.2B | 83% | 33 | $126M | 3 | 0 |
| C••••• P••••••• P••••••• CRD 129625 | Leawood, KS | independent RIA | $4.2B | 97% | 56 | $74.4M | 11 | 0 |
| W•••••• F•••••••• A••••••• G•••• L•• CRD 105989 | Philadelphia, PA | independent RIA | $4.2B | 72% | 23 | $181M | 5 | 0 |
| A•••• W••••• M••••••••• L•• CRD 127333 | Atlanta, GA | independent RIA | $4.2B | 92% | 38 | $109M | 10 | 0 |
| S•••••••• W•••••• L•• CRD 165168 | Los Angeles, CA | independent RIA | $4.1B | 89% | 37 | $112M | 14 | 4 |
| I•• I••••••••• A•••••••• L•• CRD 152990 | San Diego, CA | mixed wealth | $4.1B | 31% | 40 | $103M | 10 | 1 |
| F••••••• F•••••••• S••••••••• L•• CRD 137945 | Towson, MD | independent RIA | $4.1B | 89% | 117 | $35.3M | 68 | 0 |
| A•••••••• I•••••••• CRD 151807 | Coral Gables, FL | independent RIA | $4.1B | 93% | 0 | n/a | 1 | 2 |
| N•••••••• A•••• M••••••••• CRD 147923 | Mercer Island, WA | independent RIA | $4.1B | 98% | 62 | $66.6M | 68 | 0 |
| F•••••••• A••••••• L•• CRD 150697 | Miami, FL | mixed wealth | $4.1B | 26% | 7 | $588M | 0 | 0 |
| G••••• K••••••• W••••• • I••••••••• M••••••••• CRD 153649 | Santa Monica, CA | independent RIA | $4.1B | 98% | 39 | $105M | 1 | 0 |
| D•••••••• W••••• M••••••••• L•• CRD 329878 | South Jordan, UT | independent RIA | $4.1B | 95% | 77 | $53.4M | 6 | 0 |
| P••••••••• W••••• CRD 311735 | Hinsdale, IL | independent RIA | $4.1B | 78% | 11 | $372M | 6 | 0 |
| K••• P••••• L•• CRD 127902 | Huntsville, AL | independent RIA | $4.1B | 80% | 48 | $84.9M | 9 | 3 |
| M•••• C••••••• A••••••• S•••••• CRD 12963 | Palm Beach Gardens, FL | BD affiliated | $4.1B | 98% | 395 | $10.3M | 25 | 0 |
| C••••••• C•••••• M••••••••• L•• CRD 135822 | Conshohocken, PA | mixed wealth | $4.1B | 34% | 13 | $313M | 0 | 0 |
| T••••••••• F•••••••• S•••••••• L•• CRD 47893 | Brentwood, TN | independent RIA | $4.0B | 68% | 34 | $119M | 3 | 0 |
| C••••••• C•••••• M••••••••• I••• CRD 124729 | Winnipeg, | independent RIA | $4.0B | 62% | 8 | $502M | 6 | 0 |
| P•••••• I••••••••• O••••• CRD 157476 | Charleston, SC | independent RIA | $4.0B | 72% | 4 | $1.0B | 2 | 0 |
| K••••• I••••••••• M••••••••• CRD 110275 | Pittsford, NY | independent RIA | $4.0B | 70% | 7 | $573M | 0 | 0 |
| V•••• A••••••• L•• CRD 171358 | Miami, FL | independent RIA | $4.0B | 93% | 3 | $1.3B | 0 | 0 |
| B• F••••• O•••••• L•• CRD 305713 | Atlanta, GA | independent RIA | $4.0B | 100% | 0 | n/a | 0 | 0 |
| A•••••• C•••••• M••••••••• CRD 319062 | Bloomfield Hills, MI | independent RIA | $4.0B | 91% | 10 | $399M | 0 | 0 |
| A••••• C•••••• M••••••••• L•• CRD 107930 | Clayton, MO | independent RIA | $4.0B | 86% | 6 | $665M | 0 | 0 |
| C•••••• A••••••• CRD 158819 | Southfield, MI | BD affiliated | $4.0B | 100% | 118 | $33.8M | 40 | 0 |
| A•••• F•••••••• P•••••••• L•• CRD 311990 | Winter Park, FL | mixed wealth | $4.0B | 24% | 11 | $361M | 2 | 0 |
| N••••••• A••••••• CRD 322936 | Radnor, PA | independent RIA | $4.0B | 69% | 7 | $567M | 1 | 0 |
| T••• H•••••• L•• CRD 291194 | Foster City, CA | independent RIA | $4.0B | 62% | 23 | $172M | 2 | 0 |
| V••••• P•••• A•••••••• L•• CRD 166587 | San Francisco, CA | independent RIA | $3.9B | 97% | 6 | $656M | 0 | 1 |
| W••••••••• C•••••• M••••••••• L•• CRD 111119 | Richmond, VA | independent RIA | $3.9B | 95% | 34 | $116M | 23 | 0 |
| C•••••• I••••••••• M••••••••• L•• CRD 143599 | Stamford, CT | independent RIA | $3.9B | 90% | 11 | $355M | 0 | 0 |
| I•• A••••••• S•••••••• I••• CRD 112091 | Denver, CO | mixed wealth | $3.9B | 22% | 45 | $86.8M | 7 | 0 |
| A••••• P•••••• W••••• A•••••••• L•• CRD 124845 | Cleveland, OH | independent RIA | $3.9B | 95% | 15 | $260M | 1 | 0 |
| H••••••• C•••••• M••••••••• L•• CRD 104842 | Memphis, TN | mixed wealth | $3.9B | 33% | 12 | $323M | 1 | 0 |
| A••••••••• I••••••••• A••••••• CRD 309550 | Tampa, FL | mixed wealth | $3.9B | 32% | 33 | $118M | 17 | 0 |
| V••• F•••••••• A•••••••• I••• CRD 2882 | Windsor, CT | BD affiliated | $3.9B | 100% | 747 | $5.2M | 303 | 0 |
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9,806 advisers match.