DFX 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 |
|---|---|---|---|---|---|---|---|---|
| Carret Asset Management, LLC CRD 131445 | New York, NY | mixed wealth | $3.5B | 41% | 11 | $315M | 6 | 0 |
| Sage, Rutty & Co., Inc. CRD 3254 | Rochester, NY | independent RIA | $3.5B | 95% | 45 | $76.8M | 0 | 0 |
| Tandem Investment Advisors Inc CRD 109392 | Charleston, SC | independent RIA | $3.5B | 94% | 12 | $288M | 0 | 0 |
| W•••••• P•••••• C•••••• CRD 305815 | West Chester, PA | independent RIA | $3.4B | 100% | 12 | $287M | 10 | 0 |
| A••••• W••••• M••••••••• CRD 42057 | Lowell, AR | independent RIA | $3.4B | 85% | 205 | $16.8M | 178 | 0 |
| M•••• • C••••• I•• CRD 594 | Boston, MA | BD affiliated | $3.4B | 92% | 82 | $41.9M | 30 | 0 |
| F••••••• H••••• A•••••••• L•• CRD 155733 | Boston, MA | independent RIA | $3.4B | 99% | 60 | $57.0M | 36 | 0 |
| C••••• L•••• I••••••••• P•••••••• L•• CRD 297213 | Greenwich, CT | independent RIA | $3.4B | 99% | 4 | $853M | 0 | 0 |
| L•••••• I••••••••• M••••••••• I••• CRD 107890 | Mobile, AL | independent RIA | $3.4B | 70% | 24 | $142M | 6 | 0 |
| F••••• R••••••• A••••••• L•• CRD 124147 | Palo Alto, CA | independent RIA | $3.4B | 100% | 3 | $1.1B | 3 | 0 |
| C••••• F••••• O••••••• L•• CRD 167017 | Charlotte, NC | independent RIA | $3.4B | 96% | 7 | $480M | 2 | 0 |
| N•••• S••• A•••• M••••••••• I•• CRD 106489 | Neenah, WI | independent RIA | $3.4B | 92% | 13 | $258M | 0 | 0 |
| S••••• F••••• O••••• L•• CRD 300899 | New Orleans, LA | independent RIA | $3.4B | 74% | 12 | $279M | 2 | 0 |
| S•••••••• L•• CRD 128586 | Foster City, CA | independent RIA | $3.4B | 94% | 27 | $124M | 2 | 0 |
| S•••••••• D•••• W••••• M••••••••• A•••••••• L• CRD 128591 | Pittsburgh, PA | independent RIA | $3.3B | 57% | 22 | $150M | 1 | 0 |
| C•••••••• L•• CRD 129505 | North Palm Beach, FL | independent RIA | $3.3B | 73% | 23 | $144M | 11 | 27 |
| X•• F•••••••• G•••• CRD 284987 | Bethesda, MD | independent RIA | $3.3B | 97% | 28 | $118M | 25 | 0 |
| G••••••• P••••••• I••• CRD 324189 | Toronto, Ontario, | independent RIA | $3.3B | 62% | 6 | $549M | 2 | 0 |
| I•••••• W•••••• L•• CRD 289913 | Grand Rapids, MI | independent RIA | $3.3B | 85% | 18 | $183M | 2 | 2 |
| W•••••••• R••• C•••••• M••••••••• L•• CRD 156675 | Lincoln, NE | mixed wealth | $3.3B | 27% | 0 | n/a | 0 | 4 |
| N•••••••• I••••••••• M••••••••• I•• CRD 105051 | Boston, MA | independent RIA | $3.3B | 96% | 9 | $364M | 1 | 0 |
| P•• A••••••• CRD 173344 | Phoenix, AZ | independent RIA | $3.3B | 97% | 81 | $40.3M | 131 | 0 |
| B••• A••••••• CRD 139096 | Montgomeryville, PA | independent RIA | $3.3B | 83% | 19 | $171M | 0 | 0 |
| M•••••••• W••••• A•••••••• L•• CRD 173949 | Manhattan Beach, CA | independent RIA | $3.2B | 91% | 9 | $361M | 0 | 0 |
| A••••••• W••••• M••••••••• L•• CRD 141943 | Atlanta, GA | independent RIA | $3.2B | 85% | 30 | $108M | 5 | 0 |
| G•••••• W••••• CRD 339969 | Jacksonville, FL | independent RIA | $3.2B | 100% | 7 | $463M | 0 | 0 |
| C••••• F••••••••• I••••••••• A••••••• CRD 159296 | New York, NY | mixed wealth | $3.2B | 41% | 32 | $101M | 2 | 2 |
| M•••• H•••••••• C•••••• L•• CRD 107309 | Rye Brook, NY | independent RIA | $3.2B | 85% | 0 | n/a | 0 | 1 |
| C•••••• C•••••• M••••••••• L•• CRD 104592 | Houston, TX | independent RIA | $3.2B | 81% | 15 | $216M | 1 | 0 |
| V•••• C•••••• P•••••••• I••• CRD 114913 | Portland, OR | independent RIA | $3.2B | 93% | 23 | $140M | 0 | 0 |
| C••••••••• A••••••• CRD 107964 | Sarasota, FL | independent RIA | $3.2B | 53% | 16 | $201M | 0 | 0 |
| T•••••• C••••••• I••• CRD 281597 | Irvine, CA | independent RIA | $3.2B | 81% | 73 | $44.0M | 11 | 0 |
| E•••••• • K••••••••• W••••• M••••••••• CRD 109698 | Coral Gables, FL | independent RIA | $3.2B | 95% | 22 | $146M | 2 | 0 |
| M• H••••••• S••••••••• I••• CRD 43285 | Portland, OR | BD affiliated | $3.2B | 95% | 179 | $17.9M | 105 | 0 |
| L•• W•••••• L•• CRD 283891 | Edison, NJ | independent RIA | $3.2B | 100% | 16 | $200M | 2 | 0 |
| P•••••••• W••••• CRD 290180 | Madison, CT | independent RIA | $3.2B | 94% | 21 | $153M | 2 | 0 |
| R•••••• M••••• A••••••••• I•• CRD 106019 | Philadelphia, PA | independent RIA | $3.2B | 97% | 16 | $200M | 1 | 0 |
| B••••• W•••••• L•• CRD 283886 | Mclean, VA | independent RIA | $3.2B | 100% | 25 | $128M | 3 | 0 |
| L••• F•••••••• CRD 117273 | Omaha, NE | independent RIA | $3.2B | 73% | 15 | $212M | 1 | 0 |
| G••••• A••••••• S•••••••• L•• CRD 39163 | King Of Prussia, PA | independent RIA | $3.2B | 74% | 49 | $64.9M | 7 | 0 |
| L•• I••••••••• L•• CRD 325133 | Atlanta, GA | independent RIA | $3.2B | 56% | 4 | $794M | 0 | 0 |
| C••••• A••••••• G••••• L•• CRD 131167 | Clearwater, FL | independent RIA | $3.2B | 98% | 76 | $41.7M | 36 | 0 |
| H••••• C•••••• M••••••••• L•• CRD 116357 | Garden City, NY | mixed wealth | $3.2B | 22% | 7 | $452M | 1 | 0 |
| O• I••••••••• M••••••••• C• CRD 105662 | Cincinnati, OH | BD affiliated | $3.2B | 94% | 209 | $15.1M | 126 | 0 |
| C••••• W••••• P••••••• CRD 307781 | St. Petersburg, FL | independent RIA | $3.2B | 98% | 19 | $166M | 4 | 1 |
| A••••••••• W••••• P••••••• CRD 113074 | Minnetonka, MN | independent RIA | $3.1B | 99% | 58 | $54.3M | 37 | 0 |
| R•••• M••••••• A•••••••• L•• CRD 148479 | Salina, KS | mixed wealth | $3.1B | 20% | 3 | $1.0B | 0 | 0 |
| S•••••••• S••••••••• CRD 41791 | Boston, MA | BD affiliated | $3.1B | 91% | 159 | $19.8M | 417 | 0 |
| S••••• C•••••• A••••••• I•• CRD 107118 | Pittsburgh, PA | independent RIA | $3.1B | 83% | 10 | $311M | 0 | 0 |
| E••••• W••••• A•••••••• L•• CRD 108052 | Walnut Creek, CA | independent RIA | $3.1B | 77% | 46 | $67.5M | 24 | 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.
9,808 advisers match.