DFX Intelligence
RIA Intelligence
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 |
|---|---|---|---|---|---|---|---|---|
| Alamo Advisors, LP CRD 122290 | San Antonio, TX | independent RIA | $3.9B | 86% | 3 | $1.3B | 0 | 0 |
| Palisade Capital Management, LP CRD 104581 | Fort Lee, NJ | mixed wealth | $3.9B | 48% | 12 | $322M | 0 | 3 |
| Rubinbrown Advisors LLC CRD 116909 | St. Louis, MO | independent RIA | $3.9B | 99% | 24 | $161M | 3 | 0 |
| C••••• R••• A••••••• L•• CRD 331429 | Boston, MA | independent RIA | $3.9B | 70% | 0 | n/a | 0 | 6 |
| B•• P•••••••• I••• CRD 119682 | Cedar Rapids, IA | BD affiliated | $3.8B | 96% | 230 | $16.7M | 135 | 0 |
| H••• S••••••••• •••• I••• CRD 19585 | New York, NY | BD affiliated | $3.8B | 96% | 376 | $10.2M | 58 | 8 |
| H••••••• F•••••••• CRD 104545 | Kennesaw, GA | independent RIA | $3.8B | 84% | 29 | $132M | 2 | 0 |
| M••••• F••••• O••••• CRD 106806 | St Louis, MO | independent RIA | $3.8B | 95% | 41 | $93.0M | 3 | 1 |
| M••••• H••••• I••••••••• I•• CRD 105800 | Kingston, NY | mixed wealth | $3.8B | 22% | 4 | $953M | 0 | 0 |
| T••••••• A•••• M••••••••• I•• CRD 105899 | Jacksonville, FL | independent RIA | $3.8B | 72% | 4 | $951M | 3 | 1 |
| K•••••••• W••••• A•••••••• L•• CRD 288792 | San Diego, CA | BD affiliated | $3.8B | 97% | 124 | $30.7M | 43 | 0 |
| S•• G•••••• I••••••••• M••••••••• CRD 155186 | Springfield, MA | independent RIA | $3.8B | 93% | 29 | $131M | 5 | 0 |
| F•• W••••• P•••••••• I••• CRD 109796 | Leawood, KS | independent RIA | $3.8B | 97% | 23 | $164M | 0 | 0 |
| G•• A••••••• L•• CRD 143110 | Houston, TX | mixed wealth | $3.8B | 36% | 10 | $376M | 0 | 0 |
| B••••••• F•••••••• P••••••• CRD 322925 | Needham, MA | independent RIA | $3.8B | 76% | 16 | $235M | 3 | 0 |
| H•••••• C•••••• M••••••••• L•• CRD 104726 | Boston, MA | independent RIA | $3.7B | 87% | 11 | $340M | 0 | 6 |
| A••••• F•••••••• P•••••••• I••• CRD 7995 | Davenport, IA | independent RIA | $3.7B | 97% | 188 | $19.9M | 111 | 0 |
| B•• F•••••••• P•••••• W•••••• I••• CRD 106733 | Denver, CO | independent RIA | $3.7B | 83% | 27 | $138M | 8 | 0 |
| W••••• M••••••••• CRD 137080 | Norfolk, NE | mixed wealth | $3.7B | 46% | 47 | $78.9M | 29 | 0 |
| T•• W•••• G••••• L•• CRD 111273 | Birmingham, AL | independent RIA | $3.7B | 99% | 28 | $132M | 1 | 0 |
| T••••••• S••••••• A••••••• CRD 299201 | Indianapolis, IN | BD affiliated | $3.7B | 54% | 102 | $36.0M | 20 | 0 |
| F•••• I••••••••• S••••••• CRD 286129 | San Antonio, TX | BD affiliated | $3.7B | 58% | 161 | $22.8M | 50 | 0 |
| S••••• O•••••• A• P••• O• B•• F•••••••• G•••• CRD 111320 | Scottsdale, AZ | bank affiliated | $3.7B | 100% | 14 | $262M | 1 | 0 |
| 3•• O•• P•••••••• M••••••• L•••••• CRD 307146 | Mumbai, | independent RIA | $3.6B | 92% | 1 | $3.6B | 2 | 2 |
| M•••••• L•• CRD 145777 | Beverly Hills, CA | independent RIA | $3.6B | 92% | 0 | n/a | 0 | 0 |
| P••••••••• W••••• A••••••• CRD 126529 | Fort Lauderdale, FL | independent RIA | $3.6B | 58% | 18 | $202M | 5 | 0 |
| U••••• I••••••••• C••••••••• CRD 159499 | Albuquerque, NM | mixed wealth | $3.6B | 20% | 12 | $302M | 4 | 0 |
| C• W••••• A••••••• L•• CRD 119467 | Beachwood, OH | independent RIA | $3.6B | 50% | 5 | $719M | 0 | 30 |
| S•• W••••• A•••••••• L•• CRD 119193 | Parsippany, NJ | independent RIA | $3.6B | 94% | 44 | $81.7M | 10 | 1 |
| R••••••••• P••••••• O• A•••••• CRD 157222 | Plano, TX | independent RIA | $3.6B | 99% | 33 | $109M | 11 | 0 |
| T•• B••••• C•••••• CRD 106945 | Reston, VA | independent RIA | $3.6B | 84% | 37 | $97.0M | 14 | 0 |
| C•••••• C••••••• L•• CRD 282485 | Buffalo, NY | independent RIA | $3.6B | 68% | 14 | $256M | 4 | 0 |
| V•••••• P•••••• W••••• CRD 169576 | Boise, ID | independent RIA | $3.6B | 85% | 20 | $179M | 2 | 11 |
| S••••• W••••• M••••••••• L•• CRD 158823 | San Francisco, CA | independent RIA | $3.6B | 100% | 4 | $895M | 1 | 0 |
| A••••• W••••• P••••••• CRD 128590 | Santa Monica, CA | independent RIA | $3.6B | 89% | 50 | $71.6M | 31 | 1 |
| C•••••• C••••••• L•• CRD 285485 | Memphis, TN | independent RIA | $3.6B | 67% | 7 | $511M | 1 | 1 |
| S••••• C•••••• M••••••••• I••• CRD 107097 | Dubuque, IA | independent RIA | $3.5B | 75% | 15 | $236M | 2 | 0 |
| R••••••••• P••• A•••••••• L•• CRD 122758 | Chicago, IL | mixed wealth | $3.5B | 23% | 47 | $75.3M | 30 | 0 |
| O•••••••• F•••••••• S••••••• L•• CRD 284549 | Birmingham, AL | independent RIA | $3.5B | 85% | 83 | $42.6M | 35 | 0 |
| V•••••••• W••••• A•••••••• L•• CRD 169610 | St. Louis, MO | independent RIA | $3.5B | 97% | 48 | $73.7M | 8 | 0 |
| G•••••••• W••••• M••••••••• L•• CRD 142820 | G••••••••, CT | independent RIA | $3.5B | 64% | 12 | $293M | 2 | 0 |
| B••• M••• T•••• A•••••••• L•• CRD 285359 | Philadelphia, PA | independent RIA | $3.5B | 94% | 55 | $63.9M | 8 | 0 |
| E••••• I••••••••• C••• CRD 283930 | Atlanta, GA | independent RIA | $3.5B | 79% | 16 | $219M | 0 | 0 |
| V••••• F•••• I••••••••• C••••••••• I••• CRD 123898 | Audubon, PA | mixed wealth | $3.5B | 28% | 12 | $291M | 0 | 0 |
| A•••••• R••••••• C•••••• CRD 164109 | Dallas, TX | independent RIA | $3.5B | 96% | 87 | $40.1M | 52 | 0 |
| S••••••••• A•••• I••••••••• L•• CRD 297693 | Princeton, NJ | independent RIA | $3.5B | 100% | 1 | $3.5B | 0 | 0 |
| K••••••• C•••••• M••••••••• L•• CRD 305118 | Wayne, PA | independent RIA | $3.5B | 65% | 16 | $217M | 0 | 1 |
| B••••••• F••••• O•••••• L•• CRD 167174 | Charlotte, NC | independent RIA | $3.5B | 99% | 16 | $217M | 1 | 0 |
| M••••• W••••• CRD 141250 | Calabasas, CA | independent RIA | $3.5B | 92% | 31 | $112M | 0 | 1 |
| D•••••••• C•••••• M••••••••• L•• CRD 106131 | Evansville, IN | independent RIA | $3.5B | 84% | 46 | $75.3M | 3 | 0 |
The firm 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.
9,806 advisers match.