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 |
|---|---|---|---|---|---|---|---|---|
| Analyst Portfolio Management Ltd. CRD 114642 | Tel Aviv, | mixed wealth | $2.7B | 35% | 0 | n/a | 0 | 0 |
| Valley Wealth Managers, Inc. CRD 108879 | Paramus, NJ | independent RIA | $2.7B | 77% | 48 | $56.0M | 12 | 0 |
| Main Street Research LLC CRD 114629 | Lakeville, CT | independent RIA | $2.7B | 98% | 17 | $158M | 4 | 0 |
| M••••• L•• CRD 170914 | Radnor, PA | independent RIA | $2.7B | 99% | 134 | $20.0M | 75 | 0 |
| P••• V••••• I••••••••• CRD 173995 | Marlton, NJ | independent RIA | $2.7B | 86% | 33 | $81.0M | 1 | 2 |
| W••••••• A••••••• L•• CRD 152145 | Waltham, MA | independent RIA | $2.7B | 55% | 8 | $334M | 0 | 66 |
| R••• H••••• P••••••• L•• CRD 322545 | Larchmont, NY | independent RIA | $2.7B | 96% | 0 | n/a | 0 | 0 |
| P••••••• A•• C•••••• A••••••• L•• CRD 167214 | Portland, OR | independent RIA | $2.7B | 70% | 13 | $205M | 0 | 0 |
| M•••••••• M•••••• P••• • W•••••••• I••• CRD 138240 | Mobile, AL | independent RIA | $2.7B | 65% | 10 | $266M | 0 | 0 |
| L••••• W••••• M••••••••• L•• CRD 108619 | Memphis, TN | independent RIA | $2.7B | 90% | 16 | $166M | 0 | 0 |
| I•• W••••• M••••••••• I••• CRD 111872 | Decatur, IL | BD affiliated | $2.7B | 96% | 68 | $39.1M | 39 | 0 |
| G•••• C••••••• I••• CRD 151043 | Seattle, WA | independent RIA | $2.7B | 85% | 9 | $295M | 0 | 0 |
| O•••••• P••••••• CRD 108100 | San Francisco, CA | independent RIA | $2.7B | 87% | 11 | $241M | 1 | 1 |
| E••••• F•••••••• G•••• CRD 108233 | Chicago, IL | mixed wealth | $2.6B | 49% | 13 | $203M | 6 | 0 |
| F••••• V••••• CRD 283656 | Greenville, SC | independent RIA | $2.6B | 98% | 20 | $132M | 0 | 0 |
| J••••• C•••••• M••••••••• L•• CRD 147663 | Pittston, PA | independent RIA | $2.6B | 90% | 31 | $85.2M | 3 | 0 |
| S•••••• S••••••••• CRD 42180 | Houston, TX | BD affiliated | $2.6B | 98% | 63 | $41.9M | 18 | 0 |
| T•• P•••••• F•••••••• G••••• L•• CRD 172470 | Walpole, MA | independent RIA | $2.6B | 54% | 35 | $75.4M | 24 | 0 |
| P••••••• F•••••••• CRD 131344 | Fort Wayne, IN | independent RIA | $2.6B | 64% | 15 | $176M | 1 | 0 |
| Z••••••• • W••••• I•• CRD 108670 | St Louis, MO | independent RIA | $2.6B | 95% | 8 | $329M | 0 | 0 |
| F•••• C••••••• I••••••• S•••••••• I••• CRD 44430 | Raleigh, NC | BD affiliated | $2.6B | 99% | 405 | $6.5M | 111 | 0 |
| C•••• A•••• M••••••••• I•• CRD 104764 | Champaign, IL | independent RIA | $2.6B | 94% | 20 | $131M | 0 | 0 |
| T•• P•••••••• S••••••• G••••• L•• CRD 166593 | White Plains, NY | independent RIA | $2.6B | 78% | 1 | $2.6B | 0 | 1 |
| P•••••• S••••••••• L•• CRD 8096 | Hato Rey, PR | mixed wealth | $2.6B | 26% | 58 | $45.2M | 8 | 0 |
| I••••• R••••••••• G•••• CRD 106299 | Miami, FL | mixed wealth | $2.6B | 26% | 10 | $262M | 0 | 0 |
| A•••• C•••••• P•••••••• L•• CRD 116165 | St. Louis, MO | independent RIA | $2.6B | 73% | 2 | $1.3B | 0 | 5 |
| A•••••••• I••••••••• M••••••••• CRD 121307 | Chesterfield, MO | independent RIA | $2.6B | 95% | 37 | $70.6M | 0 | 0 |
| T•••••••• W••••• M••••••••• L•• CRD 128314 | Edina, MN | independent RIA | $2.6B | 85% | 24 | $108M | 3 | 0 |
| T••••• W•••••• L••••• CRD 158847 | Scottsdale, AZ | independent RIA | $2.6B | 100% | 44 | $59.1M | 37 | 0 |
| C•••••• C•••••• A•••••••• L•• CRD 143478 | Beverly Hills, CA | independent RIA | $2.6B | 62% | 8 | $324M | 1 | 0 |
| D•••• • D•••••••• P•••••• I••••••••• C••••••• I••• CRD 121560 | Bloomfield Hills, MI | independent RIA | $2.6B | 69% | 11 | $235M | 2 | 0 |
| M•••• C•••••• M••••••••• I••• CRD 130209 | Montpelier, VT | independent RIA | $2.6B | 92% | 14 | $184M | 1 | 0 |
| I••• W••••• P••••••• CRD 319609 | Houston, TX | independent RIA | $2.6B | 97% | 18 | $143M | 1 | 0 |
| I••••••••• A••••• I••••••••• M••••••••• L•• CRD 144426 | Orlando, FL | BD affiliated | $2.6B | 97% | 120 | $21.4M | 95 | 0 |
| B••••••••• A••••••• I••• CRD 109826 | New York, NY | independent RIA | $2.6B | 97% | 14 | $183M | 0 | 0 |
| H••••• C•••••• M••••••••• G••••• L•• CRD 310510 | Los Angeles, CA | independent RIA | $2.6B | 78% | 3 | $854M | 2 | 0 |
| B•••• C•••••• M••••••••• L••• CRD 132311 | Stamford, CT | independent RIA | $2.6B | 100% | 3 | $853M | 3 | 1 |
| C•••••• C•••••• M••••••••• I•• CRD 107823 | Minneapolis, MN | independent RIA | $2.6B | 75% | 14 | $183M | 1 | 0 |
| G••••••• W••••• S•••••••• L•• CRD 151478 | Vienna, VA | independent RIA | $2.6B | 96% | 14 | $183M | 16 | 0 |
| C•••••• P••••• W••••• M••••••••• CRD 110729 | Pittsburgh, PA | independent RIA | $2.6B | 84% | 23 | $111M | 3 | 0 |
| S•• I••••••••• M••••••••• L•• CRD 104889 | Los Angeles, CA | mixed wealth | $2.6B | 20% | 0 | n/a | 0 | 0 |
| C••••••••• S••••••••• L•• CRD 152974 | Overland Park, KS | BD affiliated | $2.5B | 89% | 127 | $20.0M | 125 | 0 |
| V•••••• C•••••• L•• CRD 319212 | El Segundo, CA | independent RIA | $2.5B | 89% | 8 | $317M | 0 | 12 |
| S•••••••• B••••••••• L•• CRD 284840 | Atlanta, GA | independent RIA | $2.5B | 98% | 54 | $47.0M | 26 | 0 |
| C••••••••• A•••• M••••••••• I•• CRD 104946 | C•••••••••, OH | independent RIA | $2.5B | 80% | 1 | $2.5B | 0 | 0 |
| R•••••• W••••• M••••••••• L•• CRD 169814 | Akron, OH | independent RIA | $2.5B | 95% | 9 | $281M | 2 | 0 |
| C•• F•••••••• G••••• L•• CRD 152116 | Honolulu, HI | mixed wealth | $2.5B | 31% | 1 | $2.5B | 1 | 0 |
| T•• F•••••••• A••••••• CRD 284924 | Greenville, SC | independent RIA | $2.5B | 93% | 49 | $51.6M | 25 | 0 |
| P•••••• W••••• A•••• M••••••••• CRD 315819 | Omaha, NE | independent RIA | $2.5B | 100% | 22 | $115M | 6 | 0 |
| S••••••••• C•••••• A••••••• L•• CRD 111447 | St. Paul, MN | independent RIA | $2.5B | 71% | 3 | $840M | 2 | 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.