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 |
|---|---|---|---|---|---|---|---|---|
| Winthrop Wealth CRD 288178 | Boston, MA | independent RIA | $3.1B | 95% | 28 | $111M | 18 | 0 |
| Eagle Global Advisors LLC CRD 107306 | Houston, TX | independent RIA | $3.1B | 58% | 8 | $387M | 2 | 0 |
| Logan Capital Management, Inc. CRD 108893 | Newtown Square, PA | mixed wealth | $3.1B | 45% | 15 | $206M | 0 | 0 |
| S•• W••••• CRD 172832 | Boston, MA | independent RIA | $3.1B | 78% | 83 | $37.3M | 24 | 0 |
| R•• D••• W••••• M••••••••• L•• CRD 153235 | Memphis, TN | independent RIA | $3.1B | 93% | 10 | $309M | 0 | 8 |
| T••••••• I••••••••• M••••••••• I••• CRD 129609 | Madison, WI | mixed wealth | $3.1B | 25% | 6 | $514M | 0 | 0 |
| G••••••••• I••••••••• A•••••••• L•• CRD 312306 | Atlanta, GA | independent RIA | $3.1B | 100% | 0 | n/a | 0 | 4 |
| 1••• W••••• CRD 175346 | San Antonio, TX | independent RIA | $3.1B | 57% | 18 | $171M | 2 | 12 |
| G•• I••••••••• A••••••• I•• CRD 107563 | Denver, CO | independent RIA | $3.1B | 98% | 28 | $109M | 0 | 1 |
| C•••• A••••••• CRD 173920 | Salt Lake City, UT | independent RIA | $3.1B | 57% | 26 | $117M | 1 | 1 |
| C•••••••• A••••••• C••• CRD 120990 | Altamonte Springs, FL | independent RIA | $3.0B | 83% | 17 | $179M | 4 | 0 |
| O•••••••• W••••• P••••••• CRD 110069 | Aspen, CO | independent RIA | $3.0B | 90% | 18 | $169M | 3 | 0 |
| P•••••••• • A••••••• I•• CRD 111033 | Lincoln, NE | independent RIA | $3.0B | 54% | 14 | $217M | 0 | 0 |
| G••••• C••••••• L•• CRD 148836 | Wexford, PA | independent RIA | $3.0B | 51% | 5 | $607M | 0 | 0 |
| C•••••• L••• L•• CRD 309148 | New York, NY | independent RIA | $3.0B | 73% | 0 | n/a | 0 | 0 |
| N•• R••••••• P••••••• CRD 310907 | Charlotte, NC | mixed wealth | $3.0B | 30% | 6 | $505M | 5 | 13 |
| G•••••• I••••••••• CRD 328039 | Atlanta, GA | independent RIA | $3.0B | 75% | 12 | $252M | 0 | 0 |
| E•• W••••• CRD 167225 | Philadelphia, PA | independent RIA | $3.0B | 70% | 7 | $431M | 1 | 0 |
| C••••••• T••• • A••••••••• L•• CRD 111578 | Chicago, IL | independent RIA | $3.0B | 97% | 5 | $603M | 1 | 0 |
| B••••• W••••• CRD 111334 | Eden Prairie, MN | independent RIA | $3.0B | 97% | 33 | $91.2M | 0 | 0 |
| V•••• C••••••• I••• CRD 116021 | State College, PA | independent RIA | $3.0B | 97% | 88 | $34.0M | 40 | 0 |
| B••••••••• F•••••••• A••••••• CRD 159388 | Columbia, MD | independent RIA | $3.0B | 99% | 13 | $230M | 0 | 0 |
| M••• I••••••••• A••••••• C•• CRD 285263 | Miami, FL | independent RIA | $3.0B | 99% | 7 | $426M | 0 | 0 |
| F•••••• W••••• M••••••••• L•• CRD 311031 | Independence, OH | independent RIA | $3.0B | 100% | 15 | $198M | 0 | 0 |
| M••••• CRD 105756 | Atlanta, GA | independent RIA | $3.0B | 94% | 9 | $330M | 0 | 0 |
| R••••••••• I••••• S••••••••• I••• CRD 110145 | Ann Arbor, MI | independent RIA | $3.0B | 100% | 16 | $186M | 0 | 0 |
| I••••• P••••••••• W•••••• L•• CRD 313928 | Marietta, GA | independent RIA | $3.0B | 99% | 88 | $33.7M | 79 | 0 |
| C•••••• P••• A••••••• CRD 126752 | independent RIA | $3.0B | 99% | 1 | $3.0B | 1 | 0 | |
| S••• W••••• A••••••• CRD 107548 | Plano, TX | independent RIA | $3.0B | 100% | 17 | $174M | 1 | 1 |
| R••••••• C•••••• A•••••••• L•• CRD 298451 | Madison, WI | independent RIA | $3.0B | 97% | 13 | $227M | 1 | 0 |
| P•••••• P•••••• W••••• L•• CRD 305115 | Bellevue, WA | independent RIA | $3.0B | 100% | 15 | $197M | 0 | 0 |
| B••••• F•••••••• G•••• CRD 308174 | Plymouth, MN | independent RIA | $2.9B | 99% | 52 | $56.7M | 9 | 0 |
| P•••• O•••• C•••••• P•••••••• L••• CRD 304303 | San Francisco, CA | independent RIA | $2.9B | 72% | 0 | n/a | 1 | 6 |
| B•••• H••• I••••••••• A••••••• L•• CRD 143750 | Boston, MA | independent RIA | $2.9B | 91% | 9 | $327M | 0 | 0 |
| C••••••• F•••••••• D••••••• I••• CRD 109032 | Kokomo, IN | BD affiliated | $2.9B | 98% | 162 | $18.2M | 104 | 0 |
| S•• I••••••••• S••••••• CRD 107219 | Sylvania, OH | independent RIA | $2.9B | 72% | 19 | $155M | 3 | 0 |
| F••••• • M••••• I•• CRD 106905 | Cincinnati, OH | independent RIA | $2.9B | 98% | 29 | $101M | 0 | 0 |
| A•••• D••••••••• L•• CRD 151988 | San Francisco, CA | independent RIA | $2.9B | 100% | 11 | $267M | 2 | 0 |
| W•••••• A••••••• G••••• L•• CRD 122266 | Columbus, OH | independent RIA | $2.9B | 80% | 12 | $244M | 0 | 4 |
| C•••••• I••••••••• L•• CRD 115093 | Denver, CO | independent RIA | $2.9B | 63% | 3 | $974M | 0 | 1 |
| B•••• F•••••••• C••••••••• I•• CRD 105653 | Indianapolis, IN | independent RIA | $2.9B | 98% | 19 | $154M | 0 | 0 |
| T•••••••• C•••••• A•••••••• L•• CRD 299723 | Madison, NJ | independent RIA | $2.9B | 91% | 17 | $171M | 4 | 12 |
| F•••••• A•••• M••••••••• L•• CRD 325807 | San Francisco, CA | independent RIA | $2.9B | 100% | 2 | $1.5B | 0 | 2 |
| F••• P•••• C•••••• P••••••• L•• CRD 146759 | San Francisco, CA | independent RIA | $2.9B | 85% | 20 | $145M | 4 | 10 |
| S•••• S••••• W••••• M••••••••• CRD 129614 | Greensboro, NC | independent RIA | $2.9B | 93% | 17 | $170M | 3 | 0 |
| H•••• R•••• L•• CRD 141024 | Tupelo, MS | independent RIA | $2.9B | 56% | 13 | $222M | 2 | 0 |
| C•• I••••••••• A••••••• CRD 104914 | Lakeland, FL | independent RIA | $2.9B | 82% | 18 | $160M | 0 | 0 |
| R•• W••••• B•••••••• I••• CRD 169005 | Montclair, NJ | independent RIA | $2.9B | 62% | 54 | $53.4M | 23 | 0 |
| R•••• I••••••••• A••••••• L•• CRD 125004 | Kentwood, MI | BD affiliated | $2.9B | 95% | 121 | $23.8M | 77 | 0 |
| L• A••••••• L•• CRD 153940 | San Diego, CA | independent RIA | $2.9B | 84% | 5 | $575M | 1 | 1 |
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.