DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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 |
|---|---|---|---|---|---|---|---|---|
| Assetmark, Inc. CRD 109018 | Concord, CA | BD affiliated | $92B | 92% | 218 | $421M | 4 | 0 |
| Morningstar Investment Management LLC CRD 108031 | Chicago, IL | mixed wealth | $88B | 45% | 26 | $3.4B | 40 | 0 |
| Mercer Global Advisors Inc. CRD 147363 | Denver, CO | independent RIA | $84B | 92% | 750 | $113M | 257 | 0 |
| K••••• A••••••• S•••••••• L•• CRD 283330 | Austin, TX | BD affiliated | $80B | 89% | 1,440 | $55.4M | 544 | 0 |
| C•••••• A•••• M••••••••• L•• CRD 288566 | Chicago, IL | independent RIA | $79B | 89% | 211 | $374M | 24 | 145 |
| T••••• A••••••• S•••••••• I••• CRD 283390 | Atlanta, GA | BD affiliated | $77B | 91% | 1,981 | $39.1M | 2,881 | 0 |
| R•• R•••••••• L•• CRD 117198 | New York, NY | BD affiliated | $73B | 69% | 120 | $608M | 10 | 0 |
| B••••••••• CRD 149117 | New York, NY | independent RIA | $70B | 92% | 28 | $2.5B | 0 | 0 |
| C••• P•••••• W••••• A•••••••• I••• CRD 109644 | Chicago, IL | BD affiliated | $68B | 66% | 173 | $392M | 16 | 0 |
| O•••• P•••••••• S••••••••• L•• CRD 107975 | Omaha, NE | BD affiliated | $65B | 60% | 199 | $326M | 1 | 0 |
| W•••••• B•••• • C•••••• L••••• CRD 1252 | Chicago, IL | BD affiliated | $64B | 82% | 329 | $195M | 11 | 21 |
| Q•••••••• C•••••• M••••••••• L• CRD 298733 | New York, NY | independent RIA | $61B | 99% | 0 | n/a | 1 | 0 |
| E•••• A•••• M••••••••• I•• CRD 110653 | St. Petersburg, FL | mixed wealth | $61B | 34% | 1 | $61B | 4 | 0 |
| I•• C••••••• L•• CRD 301819 | Foster City, CA | independent RIA | $57B | 100% | 195 | $291M | 19 | 0 |
| C•••••••• G••••• M•••••• I••• CRD 7059 | New York, NY | BD affiliated | $56B | 74% | 2,416 | $23.2M | 594 | 0 |
| S••••• W••••• M••••••••• CRD 107271 | Rockford, IL | independent RIA | $56B | 88% | 399 | $139M | 65 | 0 |
| B••••• P••••• A•••••••• L•• CRD 119290 | Newport Beach, CA | independent RIA | $55B | 90% | 471 | $117M | 89 | 5 |
| B••••••••• C•••••• A••••••• I•• CRD 107143 | Boston, MA | independent RIA | $54B | 63% | 29 | $1.9B | 1 | 0 |
| G••• I••••••••• M••••••••• L•• CRD 121942 | Boston, MA | independent RIA | $53B | 77% | 8 | $6.6B | 0 | 3 |
| M•• C•••••• M••••••••• L•• CRD 109807 | Cleveland, OH | independent RIA | $52B | 66% | 306 | $170M | 29 | 33 |
| C••• L•• CRD 155344 | Omaha, NE | BD affiliated | $51B | 91% | 660 | $76.6M | 165 | 0 |
| M••••• G•••• I••••••••• A•••••••• L•• CRD 104727 | St. Louis, MO | independent RIA | $51B | 92% | 255 | $198M | 9 | 0 |
| M•••••• F•••••••• I••••••••• M••••••••• I••• CRD 111135 | Chicago, IL | mixed wealth | $50B | 26% | 92 | $548M | 11 | 6 |
| V••••••• A••••••• S••••••••• I••• CRD 221518 | Wakefield, MA | independent RIA | $50B | 100% | 8 | $6.2B | 0 | 0 |
| A• W••••• M••••••••• L•• CRD 282580 | Topeka, KS | BD affiliated | $50B | 99% | 462 | $108M | 314 | 0 |
| S•• C•••••• M••••••••• L•• CRD 122258 | Boston, MA | independent RIA | $49B | 62% | 78 | $624M | 12 | 62 |
| W••••••••• A••••••• L•• CRD 148456 | Palo Alto, CA | BD affiliated | $48B | 99% | 41 | $1.2B | 0 | 0 |
| C••••••••• C••••••••• I••••••••• CRD 22875 | Newport Beach, CA | independent RIA | $46B | 87% | 24 | $1.9B | 2 | 16 |
| E• W••••• A••••••• CRD 111147 | Torrance, CA | independent RIA | $45B | 93% | 335 | $135M | 35 | 1 |
| C•••• C•••• T•••• C•••••• CRD 110742 | Bethesda, MD | mixed wealth | $45B | 28% | 40 | $1.1B | 1 | 0 |
| P•••••• A•••••• G••••• L•• CRD 155216 | Morristown, NJ | BD affiliated | $44B | 96% | 920 | $48.2M | 476 | 0 |
| N•••••• A••••••• CRD 171351 | New Orleans, LA | BD affiliated | $43B | 92% | 601 | $71.9M | 99 | 0 |
| W•••• F•••• I••••••••• I••••••••• I••• CRD 133204 | Charlotte, NC | bank affiliated | $43B | 81% | 50 | $860M | 2 | 0 |
| C•••••• G•••• P•••••• C••••• S•••••••• I••• CRD 312837 | Los Angeles, CA | independent RIA | $43B | 74% | 105 | $407M | 6 | 1 |
| L••• CRD 269866 | Los Angeles, CA | independent RIA | $43B | 90% | 318 | $134M | 45 | 22 |
| E•••••••• A•••••••• L•• CRD 6627 | New York, NY | national BD | $42B | 97% | 4,624 | $9.2M | 885 | 0 |
| D••• D••••••• • C•• CRD 199 | Great Falls, MT | independent RIA | $42B | 90% | 699 | $59.9M | 100 | 0 |
| F•••• A•••••• S••••••••• L•• CRD 143319 | St. Louis, MO | independent RIA | $41B | 83% | 43 | $965M | 0 | 0 |
| B•• P•••••• I••••••••• C•••••• I••• CRD 160344 | Toronto, Ontario, | bank affiliated | $40B | 58% | 0 | n/a | 32 | 0 |
| K•••• A••••••• R•••••• I••••••••• M••••••••• L•• CRD 104599 | Los Angeles, CA | mixed wealth | $39B | 20% | 36 | $1.1B | 22 | 0 |
| P•••• C•••••• F•••••••• CRD 288712 | Overland Park, KS | mixed wealth | $39B | 48% | 260 | $151M | 87 | 0 |
| F•••• M•••••••• C•• L•• CRD 325281 | New York, NY | BD affiliated | $38B | 89% | 65 | $586M | 4 | 9 |
| A••••• A•• P••••••• S••••••• CRD 20472 | New York, NY | BD affiliated | $38B | 100% | 1,672 | $22.7M | 143 | 0 |
| R••••••••• C•••••• M••••••••• CRD 294197 | New York, NY | BD affiliated | $37B | 62% | 347 | $106M | 51 | 39 |
| S•••••• P••••••• I••••••••• A•••••••• L•• CRD 283004 | Stamford, CT | BD affiliated | $37B | 94% | 473 | $77.7M | 86 | 0 |
| O••••••••• • C•• I••• CRD 249 | New York, NY | BD affiliated | $37B | 62% | 1,149 | $32.0M | 109 | 0 |
| B•• P•••••••• L•• CRD 109688 | New York, NY | independent RIA | $36B | 76% | 56 | $652M | 5 | 41 |
| C•••• C•••••• M••••••••• G•••• I•• CRD 104796 | Philadelphia, PA | BD affiliated | $36B | 70% | 1 | $36B | 0 | 0 |
| F•••• S•••••• • C•• CRD 106584 | Houston, TX | mixed wealth | $35B | 45% | 16 | $2.2B | 0 | 0 |
| A••••• F•••••••• A•••••••• L•• CRD 158744 | Charlotte, NC | independent RIA | $35B | 100% | 65 | $539M | 0 | 0 |
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9,800 advisers match.