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 |
|---|---|---|---|---|---|---|---|---|
| Capital Counsel LLC CRD 109001 | New York, NY | independent RIA | $2.9B | 78% | 6 | $479M | 0 | 3 |
| Rockwood Wealth Management, LLC CRD 137481 | New Hope, PA | independent RIA | $2.9B | 97% | 45 | $63.8M | 0 | 0 |
| Capstone Financial Advisors Inc CRD 109341 | Downers Grove, IL | independent RIA | $2.9B | 100% | 17 | $169M | 1 | 0 |
| H••••••••• C•••••• M••••••••• CRD 46217 | Newport Beach, CA | independent RIA | $2.9B | 86% | 14 | $205M | 0 | 3 |
| M••••• A••••••• S•••••••• I••• CRD 106814 | Dublin, OH | independent RIA | $2.9B | 95% | 19 | $151M | 0 | 0 |
| W•••••• P•••••••• • C••• L•• CRD 3711 | New Orleans, LA | independent RIA | $2.9B | 84% | 7 | $409M | 0 | 0 |
| V•••• W••••• P•••••••• L•• CRD 143588 | Oakland, CA | independent RIA | $2.9B | 81% | 8 | $357M | 4 | 1 |
| P••• C•••••• L•• CRD 206517 | Chicago, IL | mixed wealth | $2.9B | 34% | 1 | $2.9B | 0 | 5 |
| C••••• M•••••• CRD 111458 | Irvine, CA | independent RIA | $2.9B | 93% | 64 | $44.6M | 28 | 0 |
| L••••• K••••• M••• L•• CRD 305927 | Dallas, TX | independent RIA | $2.8B | 67% | 4 | $712M | 0 | 33 |
| M••••• W••••• A••••••• CRD 107722 | Austin, TX | independent RIA | $2.8B | 92% | 21 | $135M | 2 | 0 |
| K•• F••••••••• I••• CRD 116240 | West Chester, PA | independent RIA | $2.8B | 99% | 8 | $355M | 0 | 0 |
| W••• F•••••••• S•••••••• I••• CRD 137497 | Mclean, VA | independent RIA | $2.8B | 94% | 22 | $129M | 1 | 0 |
| M••••••••• C•••••• M••••••••• L•• CRD 110003 | M•••••••••, VT | independent RIA | $2.8B | 78% | 12 | $236M | 3 | 16 |
| F••••••• F•••••••• A••••••• CRD 123255 | Sewickley, PA | independent RIA | $2.8B | 96% | 25 | $113M | 3 | 0 |
| T••• F•••••••• CRD 109376 | Scottsdale, AZ | independent RIA | $2.8B | 86% | 63 | $44.8M | 33 | 0 |
| C•••••• A••••••• P••••••• L•• CRD 310199 | New York, NY | independent RIA | $2.8B | 79% | 7 | $402M | 0 | 2 |
| A•••••• W••••• M••••••••• L•• CRD 159952 | Santa Monica, CA | independent RIA | $2.8B | 88% | 10 | $281M | 3 | 0 |
| L• 1• G••••• W••••• L•• CRD 337213 | Coconut Grove, FL | independent RIA | $2.8B | 100% | 2 | $1.4B | 0 | 0 |
| S•••••••• F•••••••• S••••••• CRD 109677 | Utica, NY | independent RIA | $2.8B | 70% | 28 | $100M | 5 | 0 |
| P••• C••••••• P••••••• CRD 105335 | Houston, TX | independent RIA | $2.8B | 81% | 13 | $215M | 0 | 0 |
| R••••••••• I••••••••• CRD 728 | Chicago, IL | independent RIA | $2.8B | 94% | 17 | $164M | 2 | 1 |
| T••••••• A•••• M••••••••• L•• CRD 323567 | San Antonio, TX | independent RIA | $2.8B | 94% | 44 | $63.5M | 16 | 0 |
| D••••••••• L•• CRD 331709 | Wilmington, DE | independent RIA | $2.8B | 95% | 30 | $93.0M | 11 | 1 |
| B•••••••• A•••• M••••••••• L•• CRD 145463 | Wilkes-Barre, PA | independent RIA | $2.8B | 85% | 6 | $465M | 0 | 2 |
| J•••••• B••••••• CRD 171168 | Wethersfield, CT | independent RIA | $2.8B | 100% | 27 | $103M | 9 | 0 |
| L•• I••••••••• CRD 323556 | Palm Beach Gardens, FL | independent RIA | $2.8B | 68% | 24 | $116M | 3 | 0 |
| O•••• A••••••• CRD 158515 | San Rafael, CA | independent RIA | $2.8B | 96% | 0 | n/a | 1 | 1 |
| E•• F•••••••• A••••••• CRD 265 | Montpelier, VT | independent RIA | $2.8B | 95% | 507 | $5.5M | 257 | 0 |
| M•••••• CRD 151664 | Overland Park,, KS | independent RIA | $2.8B | 100% | 6 | $462M | 2 | 0 |
| B•••••• • P•••••••• I••• CRD 174336 | mixed wealth | $2.8B | 34% | 1 | $2.8B | 0 | 0 | |
| S•••••• I••••••••• A••••••••• I•• CRD 107480 | Louisville, KY | mixed wealth | $2.8B | 24% | 5 | $554M | 0 | 0 |
| T••••• C•••• W••••• A•••••••• L•• CRD 322998 | Dallas, TX | independent RIA | $2.8B | 85% | 17 | $162M | 3 | 6 |
| A••• P•••••••• M••••••••• L••• CRD 324429 | Menlo Park, CA | independent RIA | $2.8B | 75% | 0 | n/a | 1 | 7 |
| P•••••• P••••••• L•• CRD 108857 | New York, NY | mixed wealth | $2.7B | 24% | 0 | n/a | 1 | 2 |
| A•••• W••••• A•••••••• L•• CRD 145488 | Chicago, IL | BD affiliated | $2.7B | 93% | 143 | $19.2M | 26 | 0 |
| G••••••• W••••• A•••••••• L•• CRD 305412 | Raleigh, NC | independent RIA | $2.7B | 72% | 32 | $85.7M | 13 | 0 |
| D••••••• P••••••• L••••• CRD 108147 | Chicago, IL | mixed wealth | $2.7B | 39% | 9 | $305M | 0 | 0 |
| A•••• H•••••• • B••••• L•• CRD 8517 | Jersey City, NJ | independent RIA | $2.7B | 86% | 5 | $547M | 0 | 0 |
| B•••• W•••••• L•• CRD 299805 | Atlanta, GA | independent RIA | $2.7B | 93% | 61 | $44.8M | 14 | 0 |
| C•• I••••••••• A••••••• S••••••• L•• CRD 106577 | Totowa, NJ | independent RIA | $2.7B | 64% | 10 | $273M | 2 | 0 |
| R•••••• P•••••••• J•••••• CRD 306510 | Vienna, VA | independent RIA | $2.7B | 96% | 16 | $170M | 0 | 0 |
| R•• F•••••••• A••••••• I•• CRD 110744 | Philadelphia, PA | independent RIA | $2.7B | 65% | 20 | $136M | 4 | 0 |
| B••• F•• A••••••••• I••• CRD 133561 | Sewickley, PA | independent RIA | $2.7B | 99% | 28 | $97.3M | 2 | 0 |
| A•• I••••••••• P•••••••• L•• CRD 5845 | New York, NY | independent RIA | $2.7B | 74% | 5 | $541M | 0 | 2 |
| G•••••• C•••••• CRD 130640 | Montreal, | independent RIA | $2.7B | 64% | 3 | $901M | 0 | 1 |
| S••••••• A•••• M••••••••• L• CRD 281548 | New York, NY | independent RIA | $2.7B | 89% | 0 | n/a | 0 | 0 |
| D••••• W••••••• A•••• M••••••••• L•• CRD 174809 | Memphis, TN | mixed wealth | $2.7B | 30% | 15 | $180M | 0 | 0 |
| N•• I••••••••• A••••••• CRD 104683 | Grand Rapids, MI | independent RIA | $2.7B | 88% | 13 | $207M | 0 | 0 |
| S•••••• M•••• M••••••••• L•• CRD 112608 | Watkinsville, GA | independent RIA | $2.7B | 55% | 13 | $207M | 0 | 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.