DFX Intelligence
Firms
SEC-registered investment advisersAbout this listOne 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.
9,809 advisers match
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Aerie Advisory Group LLC CRD 333610 | Gig Harbor, WA | independent RIA | $2.5B | 79% | 5 | $504M | 1 | 0 |
| Arcus Capital Partners, LLC CRD 147346 | Atlanta, GA | independent RIA | $2.5B | 73% | 7 | $359M | 1 | 2 |
| Saratoga Research & Investment Management CRD 110506 | Saratoga, CA | independent RIA | $2.5B | 76% | 15 | $167M | 4 | 0 |
| R•• P•••••• W••••• CRD 122693 | Lancaster, PA | independent RIA | $2.5B | 84% | 27 | $92.9M | 6 | 0 |
| M••• S••••• F•••••••• S••••••••• L•• CRD 305834 | Newtown, PA | independent RIA | $2.5B | 95% | 41 | $61.2M | 21 | 0 |
| H•••••• S••••••••• I••• CRD 6220 | Dallas, TX | BD affiliated | $2.5B | 90% | 164 | $15.3M | 18 | 0 |
| N•••• S••• I••••••••• M••••••••• C••••••••• CRD 117681 | Chicago, IL | independent RIA | $2.5B | 78% | 11 | $227M | 2 | 0 |
| P•••••••• F•••••••• S••••••• CRD 286477 | Los Angeles, CA | independent RIA | $2.5B | 93% | 49 | $51.0M | 14 | 0 |
| A•••••••• C•••••• M••••••••• CRD 157423 | Cornelius, NC | independent RIA | $2.5B | 90% | 152 | $16.4M | 86 | 0 |
| B•••••• L••• A••••••• S•••••••• I••• CRD 281285 | Chicago, IL | BD affiliated | $2.5B | 99% | 533 | $4.7M | 136 | 0 |
| C••••••••• W••••• CRD 289971 | Huntersville, NC | independent RIA | $2.5B | 98% | 30 | $82.9M | 8 | 0 |
| T•• I••••••••• H•••• L•• CRD 163493 | Redondo Beach, CA | independent RIA | $2.5B | 59% | 8 | $310M | 1 | 0 |
| W•••••• P••••••• CRD 105951 | Bryan, TX | independent RIA | $2.5B | 62% | 5 | $496M | 1 | 0 |
| L•• A•••••••• L•• CRD 159403 | Pittsford, NY | independent RIA | $2.5B | 65% | 8 | $309M | 2 | 0 |
| O•••• A•••••••• L•• CRD 156393 | Austin, TX | independent RIA | $2.5B | 81% | 10 | $246M | 2 | 0 |
| E••••••• A••••••• CRD 107091 | Dublin, OH | independent RIA | $2.5B | 96% | 36 | $68.4M | 2 | 0 |
| S•••••• R••• • C••• L•• CRD 3403 | New York, NY | independent RIA | $2.5B | 94% | 12 | $205M | 0 | 0 |
| S• • C••• I••• CRD 110026 | Boston, MA | independent RIA | $2.5B | 60% | 0 | Not computed | 0 | 6 |
| R•• A••••••• L•• CRD 125696 | Stamford, CT | independent RIA | $2.4B | 100% | 7 | $350M | 0 | 0 |
| S••••• O•• S••••••••• I••• CRD 46947 | Jackson, TN | BD affiliated | $2.4B | 98% | 117 | $20.9M | 85 | 0 |
| J•••• T•••••• I••••••••• P•••••••• L•• CRD 143608 | Tampa, FL | independent RIA | $2.4B | 70% | 37 | $66.1M | 2 | 1 |
| G•••••• F•••••••• P••••••• CRD 288210 | Columbus, OH | independent RIA | $2.4B | 100% | 16 | $152M | 4 | 0 |
| G••••••• I••••••••• A•••••••• I••••••••• CRD 108400 | Pittsburgh, PA | independent RIA | $2.4B | 90% | 11 | $222M | 0 | 0 |
| H••• A•• R••••••• I••• CRD 104627 | Rochester, NY | independent RIA | $2.4B | 92% | 11 | $221M | 4 | 0 |
| N•••••• • P•••• A••••••• L•• CRD 107113 | Boston, MA | independent RIA | $2.4B | 90% | 2 | $1.2B | 0 | 0 |
| R•••••••• C•••••• M••••••••• L•• CRD 283107 | Dallas, TX | independent RIA | $2.4B | 75% | 6 | $404M | 0 | 2 |
| M•••••• I••••••••• M••••••••• L••• CRD 319213 | Toronto, Ontario, | independent RIA | $2.4B | 56% | 1 | $2.4B | 0 | 0 |
| T•••••• C•••••• M••••••••• CRD 138881 | Malvern, PA | independent RIA | $2.4B | 100% | 7 | $346M | 0 | 0 |
| F••••• C•••••• CRD 119081 | Chattanooga, TN | independent RIA | $2.4B | 97% | 2 | $1.2B | 0 | 0 |
| W••••• A••••••••• L•• CRD 135373 | Mountain View, CA | independent RIA | $2.4B | 98% | 16 | $151M | 0 | 0 |
| S•••••• I••••••••• M••••••••• C• CRD 106933 | Houston, TX | mixed wealth | $2.4B | 39% | 14 | $172M | 0 | 0 |
| M••••• L•••• L•••••••• • W•••••• L•• CRD 283549 | Boston, MA | independent RIA | $2.4B | 89% | 8 | $301M | 0 | 1 |
| S••••• A•••••••• L•• CRD 174042 | San Francisco, CA | independent RIA | $2.4B | 96% | 4 | $602M | 1 | 0 |
| S••••••• I••••••••• M••••••••• CRD 129800 | Buffalo, NY | independent RIA | $2.4B | 87% | 13 | $185M | 1 | 0 |
| E•• A••••••• CRD 115211 | Cambridge, MN | BD affiliated | $2.4B | 97% | 52 | $46.2M | 25 | 0 |
| S••••••••• F•••••••• G••••• L•• CRD 337972 | St. Louis, MO | mixed wealth | $2.4B | 25% | 7 | $343M | 1 | 0 |
| F•• C•••••• P••••••• CRD 108967 | Bethesda, MD | independent RIA | $2.4B | 99% | 11 | $218M | 3 | 0 |
| C•••••• I••••••••• A••••••• S•••••••• L•• CRD 149124 | Raleigh, NC | BD affiliated | $2.4B | 96% | 103 | $23.2M | 39 | 0 |
| W••••••••• T•••• A••••••• CRD 110407 | Wellesley, MA | independent RIA | $2.4B | 83% | 14 | $171M | 2 | 0 |
| N•••••••• C••••••• L•• CRD 152430 | Newtown Square, PA | independent RIA | $2.4B | 97% | 6 | $399M | 0 | 0 |
| T•••••••• G•••• CRD 301548 | Bellevue, WA | independent RIA | $2.4B | 79% | 17 | $141M | 0 | 1 |
| M•••••• • W••• L•••••• CRD 316199 | Haddington, East Lothian, | independent RIA | $2.4B | 55% | 0 | Not computed | 2 | 0 |
| P•••••• C•••••• M••••••••• I•• CRD 106295 | Providence, RI | independent RIA | $2.4B | 92% | 14 | $170M | 4 | 0 |
| P••••••• C•••••• M••••••••• I••• CRD 107982 | Albany, NY | mixed wealth | $2.4B | 43% | 2 | $1.2B | 1 | 2 |
| A••••• C•••••• A••••••• L•• CRD 105540 | Boston, MA | mixed wealth | $2.4B | 48% | 17 | $140M | 3 | 0 |
| S•••• M•••• • C•• CRD 3441 | Clayton, MO | BD affiliated | $2.4B | 92% | 45 | $52.7M | 9 | 0 |
| C•••• C•••••• M••••••••• I•• CRD 107058 | Costa Mesa, CA | independent RIA | $2.4B | 94% | 9 | $263M | 0 | 0 |
| G••••• A•••• M••••••••• L•• CRD 109034 | Walnut Creek, CA | independent RIA | $2.4B | 98% | 8 | $295M | 2 | 0 |
| C••••• A•••• M••••••••• C••• CRD 110453 | Montreal Quebec, | independent RIA | $2.4B | 66% | 0 | Not computed | 1 | 7 |
| I•• A••••••• L•• CRD 332157 | Los Angeles, CA | independent RIA | $2.3B | 89% | 9 | $260M | 1 | 3 |
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.