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 |
|---|---|---|---|---|---|---|---|---|
| E. S. Barr & Company CRD 107447 | Lexington, KY | independent RIA | $2.2B | 85% | 5 | $444M | 0 | 1 |
| Detalus Advisors, LLC CRD 117958 | St. Louis, MO | mixed wealth | $2.2B | 35% | 13 | $171M | 0 | 0 |
| United Asset Strategies Inc. CRD 107434 | Garden City, NY | independent RIA | $2.2B | 92% | 25 | $88.7M | 1 | 0 |
| T•• F•••••••• A•••••••• L•• CRD 141153 | Portland, OR | mixed wealth | $2.2B | 41% | 18 | $123M | 0 | 0 |
| O•••••• C••••••••• CRD 112337 | Los Angeles, CA | independent RIA | $2.2B | 67% | 0 | Not computed | 0 | 13 |
| G••••• S•••• W••••• M••••••••• L•• CRD 167995 | Powell, WY | independent RIA | $2.2B | 97% | 47 | $47.1M | 26 | 0 |
| G••••••••• • D•••• L•• CRD 110971 | New York, NY | independent RIA | $2.2B | 97% | 4 | $553M | 0 | 0 |
| P••••• A•• P•••••• I••• CRD 105414 | Chattanooga, TN | independent RIA | $2.2B | 90% | 3 | $737M | 0 | 0 |
| A••••••• A•••• M••••••••• I••• CRD 46727 | Monument, CO | mixed wealth | $2.2B | 32% | 125 | $17.7M | 8 | 1 |
| F•••• F•••••• CRD 284407 | Geneva, | independent RIA | $2.2B | 72% | 1 | $2.2B | 0 | 0 |
| J• E•••••• C•••••• P••••••• L•• CRD 305102 | Montreal, Quebec, | mixed wealth | $2.2B | 26% | 0 | Not computed | 0 | 2 |
| V••••••••• I••••••••• A••••••• P•••••• L•• CRD 331389 | Mumbai, | mixed wealth | $2.2B | 21% | 2 | $1.1B | 1 | 2 |
| K•••• J••••••• W••••• M••••••••• L•• CRD 151088 | Olympia, WA | independent RIA | $2.2B | 79% | 6 | $367M | 0 | 0 |
| J••• H•••••• P••••••• F•••••••• S•••••••• L•• CRD 174433 | Boston, MA | BD affiliated | $2.2B | 100% | 63 | $34.9M | 7 | 0 |
| 1••• I••••••••• A••••••• C•• CRD 105435 | Milwaukee, WI | mixed wealth | $2.2B | 46% | 17 | $129M | 10 | 0 |
| R••• P••••••• L• CRD 316791 | New York, NY | independent RIA | $2.2B | 85% | 0 | Not computed | 0 | 1 |
| W••••••••• I••••••••• M••••••••• L•• CRD 311364 | Omaha, NE | independent RIA | $2.2B | 86% | 29 | $75.4M | 4 | 2 |
| N••••• F•••••••• G••••• I••• CRD 122617 | Deerfield, IL | independent RIA | $2.2B | 92% | 16 | $137M | 1 | 0 |
| T•• I••••••••• C•••••• C•••••• CRD 19608 | Las Vegas, NV | independent RIA | $2.2B | 96% | 7 | $312M | 0 | 0 |
| E••• P•••••• A•••• M••••••••• L•• CRD 152922 | Dorado, PR | mixed wealth | $2.2B | 45% | 10 | $218M | 0 | 0 |
| J••• R• M••• I••••••••• C•••••• I••• CRD 111622 | Beverly Hills, CA | independent RIA | $2.2B | 97% | 3 | $727M | 0 | 0 |
| C••••• C•••••• W••••• M••••••••• CRD 104920 | Martinsville, NJ | independent RIA | $2.2B | 97% | 17 | $128M | 16 | 0 |
| S•••• I••••••••• C••••••••• CRD 104754 | Northville, MI | independent RIA | $2.2B | 100% | 10 | $217M | 2 | 0 |
| P•• P••••••• I•• CRD 106895 | Dublin, OH | independent RIA | $2.2B | 96% | 10 | $217M | 0 | 0 |
| Z•••••••• I••••••••• G•••• CRD 137785 | Chicago, IL | independent RIA | $2.2B | 95% | 4 | $542M | 0 | 0 |
| C•••••• S••••••••• M••••••••• I••• CRD 14169 | Glen Allen, VA | independent RIA | $2.2B | 64% | 96 | $22.5M | 37 | 0 |
| A••••• P••••••• G••••• I••• CRD 107994 | Columbia, SC | independent RIA | $2.2B | 92% | 15 | $144M | 2 | 5 |
| O•••••• W••••• A••••••• L•• CRD 306909 | Cincinnati, OH | independent RIA | $2.2B | 83% | 32 | $67.3M | 4 | 0 |
| E••••• P•••••• W•••••• L•• CRD 333932 | Los Angeles, CA | independent RIA | $2.1B | 100% | 18 | $119M | 1 | 1 |
| R••• F•••••••• P••••••• CRD 290289 | Austin, TX | independent RIA | $2.1B | 100% | 63 | $34.1M | 1 | 0 |
| P•••••• A••••••• CRD 170043 | Redmond, WA | independent RIA | $2.1B | 98% | 18 | $119M | 1 | 0 |
| E•••• F•••••••• G••••• L•• CRD 321748 | King Of Prussia, PA | independent RIA | $2.1B | 77% | 33 | $65.0M | 9 | 0 |
| F•••••••• M••••••••• N•••••• I•• CRD 110454 | Mission Viejo, CA | independent RIA | $2.1B | 71% | 21 | $102M | 2 | 0 |
| V•• H••••• F•••••••• A••••••• CRD 116632 | El Dorado Hills, CA | independent RIA | $2.1B | 81% | 19 | $113M | 2 | 0 |
| C•••••••• P•••••••• L•• CRD 149685 | San Diego, CA | independent RIA | $2.1B | 76% | 10 | $214M | 0 | 0 |
| N•• I••••••••• L•• CRD 132844 | Memphis, TN | mixed wealth | $2.1B | 24% | 2 | $1.1B | 0 | 6 |
| P••••••• A••••••• CRD 106817 | Mansfield, OH | independent RIA | $2.1B | 98% | 18 | $119M | 6 | 0 |
| N••• C•••••• M••••••••• L•• CRD 110793 | New York, NY | independent RIA | $2.1B | 79% | 10 | $214M | 5 | 0 |
| R•••••••• C••••••• L•• CRD 148083 | Princeton, NJ | independent RIA | $2.1B | 91% | 5 | $425M | 0 | 0 |
| O•••••• I••••••••• S••••••• I•• CRD 111162 | Minneapolis, MN | mixed wealth | $2.1B | 23% | 4 | $530M | 0 | 10 |
| S••••••• E••••• M••••••••• L•• CRD 108289 | Tampa, FL | independent RIA | $2.1B | 54% | 7 | $302M | 0 | 0 |
| V••••••••• A••••••• S••••••• CRD 116537 | Woodbury, NY | BD affiliated | $2.1B | 96% | 166 | $12.7M | 43 | 0 |
| A••••••• C•••••• M••••••••• I•• CRD 110861 | New York, NY | mixed wealth | $2.1B | 42% | 3 | $704M | 0 | 0 |
| E•••• F•••••••• P•••••••• I••• CRD 143311 | Indianapolis, IN | independent RIA | $2.1B | 95% | 13 | $162M | 0 | 0 |
| T••••••••• F•••••••• A•••••••• L•• CRD 16164 | Philadelphia, PA | BD affiliated | $2.1B | 98% | 1,120 | $1.9M | 260 | 0 |
| T•• W••••• A•••••••• L•• CRD 305052 | Melville, NY | independent RIA | $2.1B | 90% | 12 | $175M | 2 | 0 |
| N••• F•••••• I••••••••• S•••••••• L•• CRD 138459 | Vienna, VA | BD affiliated | $2.1B | 100% | 161 | $13.0M | 78 | 0 |
| A••••••• A•••• M••••••••• I••• CRD 119854 | New York, NY | independent RIA | $2.1B | 93% | 13 | $161M | 1 | 0 |
| Q••••••• P•••••• W••••• M••••••••• L•• CRD 277044 | Center Valley, PA | independent RIA | $2.1B | 99% | 12 | $175M | 0 | 0 |
| A••••••• I••••••••• A•••••••• L•• CRD 322879 | Dallas, TX | independent RIA | $2.1B | 95% | 47 | $44.6M | 28 | 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.