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 |
|---|---|---|---|---|---|---|---|---|
| Corient Shc Wealth Management (US) LP CRD 151225 | Philadelphia, PA | independent RIA | $2.3B | 99% | 0 | Not computed | 3 | 1 |
| Withum Wealth Management CRD 158332 | Red Bank, NJ | independent RIA | $2.3B | 91% | 11 | $213M | 5 | 0 |
| Keystone Financial Group, LLC CRD 170201 | Lexington, KY | independent RIA | $2.3B | 98% | 34 | $68.8M | 8 | 0 |
| B•••••• W••••• P•••••••• L•• CRD 105343 | Marion, MA | independent RIA | $2.3B | 91% | 17 | $137M | 8 | 0 |
| A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I••• CRD 290043 | Kansas City, MO | BD affiliated | $2.3B | 100% | 64 | $36.4M | 5 | 0 |
| S•••••• L•• CRD 150593 | Memphis, TN | mixed wealth | $2.3B | 38% | 3 | $777M | 1 | 0 |
| B••••••• • C•• CRD 315114 | New York, NY | mixed wealth | $2.3B | 47% | 6 | $388M | 1 | 0 |
| M••••• F•••••••• G•••• L•• CRD 289423 | New York, NY | independent RIA | $2.3B | 93% | 10 | $233M | 0 | 0 |
| C••••• F•••••••• N••••••• L•• CRD 290558 | Draper, UT | independent RIA | $2.3B | 100% | 36 | $64.6M | 1 | 0 |
| W•••••• F•••• CRD 107660 | Indianapolis, IN | independent RIA | $2.3B | 89% | 11 | $211M | 0 | 0 |
| S••••• F•••••••• S••••••••• I•• CRD 110112 | Columbus, OH | independent RIA | $2.3B | 98% | 20 | $115M | 0 | 0 |
| M••••••• C••••• W••••• S•••••••• I••• CRD 135184 | Wheeling, WV | independent RIA | $2.3B | 95% | 25 | $92.3M | 4 | 0 |
| S••••• W••••• G•••• CRD 335242 | Colorado Springs, CO | independent RIA | $2.3B | 100% | 35 | $65.9M | 10 | 0 |
| W••••• C•••• W••••• M••••••••• I••• CRD 109240 | Sebastopol, CA | independent RIA | $2.3B | 93% | 10 | $230M | 0 | 0 |
| E•• P•••••• W••••• M••••••••• ••••••••• C•••• CRD 158905 | Miami, FL | mixed wealth | $2.3B | 35% | 47 | $49.0M | 1 | 0 |
| A•••• • A••••••• G••••• P••••••• CRD 8361 | Westport, CT | independent RIA | $2.3B | 92% | 131 | $17.6M | 17 | 1 |
| R•• I••••••••• CRD 302023 | Summit, NJ | independent RIA | $2.3B | 100% | 2 | $1.1B | 0 | 0 |
| T•• A•••••••• I••• CRD 111052 | Summit, NJ | BD affiliated | $2.3B | 94% | 304 | $7.6M | 120 | 0 |
| S••••• G••••• I••••••••• L•• CRD 157091 | Bountiful, UT | mixed wealth | $2.3B | 29% | 101 | $22.7M | 9 | 1 |
| V•••• C•••••• P•••••••• L•• CRD 151568 | Scottsdale, AZ | independent RIA | $2.3B | 91% | 47 | $48.7M | 31 | 0 |
| F•••••• C•••••• CRD 322287 | Tampa, FL | independent RIA | $2.3B | 83% | 14 | $163M | 5 | 0 |
| G•••• T••• B••••• • A•••••• L•• CRD 319128 | Beverly Hills, CA | independent RIA | $2.3B | 99% | 8 | $285M | 0 | 0 |
| M••••• A••••••• CRD 171922 | Fairfield, CT | independent RIA | $2.3B | 98% | 49 | $46.5M | 7 | 0 |
| S•••• V••• W••••• A••••••• G••••• L•• CRD 300927 | Savannah, GA | independent RIA | $2.3B | 96% | 9 | $253M | 2 | 0 |
| G•••••• W••••• P•••••••• L•• CRD 322789 | Appleton, WI | independent RIA | $2.3B | 98% | 101 | $22.6M | 25 | 0 |
| T•••••••• F•••••••• G•••• CRD 107764 | Oradell, NJ | independent RIA | $2.3B | 91% | 16 | $142M | 0 | 0 |
| S••••••••• F•••••••• G••••• L•• CRD 327529 | Wormleysburg, PA | independent RIA | $2.3B | 72% | 25 | $91.1M | 4 | 0 |
| J•• A••••••• CRD 122307 | Newport Beach, CA | independent RIA | $2.3B | 83% | 12 | $190M | 0 | 0 |
| Y•• I••••••••• A••••••• I•• CRD 105434 | West Hartford, CT | independent RIA | $2.3B | 85% | 18 | $126M | 3 | 0 |
| V••••• C••••••• L•• CRD 165855 | Chicago, IL | independent RIA | $2.3B | 92% | 24 | $94.8M | 2 | 0 |
| B••••• H••••• CRD 107238 | Dallas, TX | independent RIA | $2.3B | 96% | 18 | $126M | 0 | 0 |
| F•••••• W••••• M••••••••• I••• CRD 154828 | Newburgh, NY | independent RIA | $2.3B | 55% | 11 | $206M | 0 | 0 |
| S••••• F•••••••• G••••• I••• CRD 109344 | Victoria, TX | independent RIA | $2.3B | 74% | 9 | $252M | 2 | 0 |
| C••••••••• F•••••••• A••••••• CRD 110152 | San Ramon, CA | independent RIA | $2.3B | 100% | 15 | $151M | 2 | 0 |
| W••••••• C•••••• CRD 133705 | Austin, TX | independent RIA | $2.3B | 90% | 53 | $42.7M | 12 | 0 |
| R••••• • K•••••••• I••• CRD 114885 | Knoxville, TN | independent RIA | $2.3B | 56% | 20 | $113M | 1 | 0 |
| C••••••••• A••••••• CRD 142359 | Hunt Valley, MD | independent RIA | $2.2B | 90% | 10 | $225M | 1 | 0 |
| A••••• I••••••••• A• CRD 283227 | Zurich, | independent RIA | $2.2B | 100% | 0 | Not computed | 0 | 0 |
| T••••• P••••• W••••• M••••••••• CRD 171107 | Concord, MA | mixed wealth | $2.2B | 29% | 20 | $112M | 1 | 0 |
| B•• W••••• P••••••• CRD 107485 | Boulder, CO | independent RIA | $2.2B | 98% | 18 | $124M | 1 | 0 |
| J• S•••• • C•• L•• CRD 323871 | London, | mixed wealth | $2.2B | 49% | 0 | Not computed | 0 | 0 |
| N••••••• C•••••• M••••••••• I•• CRD 110676 | Memphis, TN | mixed wealth | $2.2B | 28% | 7 | $319M | 0 | 1 |
| A••••• L•••••• CRD 155663 | London, | independent RIA | $2.2B | 71% | 0 | Not computed | 0 | 0 |
| K••••••••• C••••••••• L••• CRD 111855 | Gainesville, FL | independent RIA | $2.2B | 94% | 18 | $124M | 1 | 0 |
| H••••••• I••••••••• G••••• I••• CRD 113204 | Pompano Beach, FL | independent RIA | $2.2B | 97% | 12 | $186M | 3 | 0 |
| L••• I••••••••• A•••••••• L•• CRD 108943 | Brentwood, TN | independent RIA | $2.2B | 98% | 4 | $557M | 4 | 0 |
| H•••• I•••••••• CRD 133017 | Lake Oswego, OR | mixed wealth | $2.2B | 41% | 16 | $139M | 0 | 0 |
| W••••••••• C••••••••• CRD 141473 | Cincinnati, OH | independent RIA | $2.2B | 99% | 16 | $139M | 1 | 0 |
| F••••• D••••• C•••• • P•••••••• L•• CRD 300282 | Waltham, MA | independent RIA | $2.2B | 85% | 0 | Not computed | 0 | 8 |
| R••••••••• I••••••••• G••••• L•• CRD 146221 | Richmond, VA | mixed wealth | $2.2B | 48% | 30 | $74.0M | 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.