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 |
|---|---|---|---|---|---|---|---|---|
| Adell Harriman & Carpenter CRD 107488 | Houston, TX | independent RIA | $2.1B | 90% | 6 | $348M | 0 | 0 |
| First Heartland Consultants, Inc. CRD 110377 | Lake St. Louis, MO | BD affiliated | $2.1B | 90% | 96 | $21.7M | 71 | 0 |
| Narwhal Capital Management CRD 135958 | Marietta, GA | mixed wealth | $2.1B | 46% | 11 | $189M | 0 | 0 |
| I••••••••• P••••••• CRD 332431 | Clearwater, FL | independent RIA | $2.1B | 77% | 28 | $74.3M | 5 | 0 |
| E•••• B•••• • S•••••• CRD 107316 | Miamisburg, OH | independent RIA | $2.1B | 58% | 18 | $115M | 0 | 0 |
| S•••••• W••••• M••••••••• L•• CRD 164877 | Houston, TX | independent RIA | $2.1B | 97% | 4 | $517M | 0 | 0 |
| T••••••• I••••••••• M••••••••• L•• CRD 128723 | White Plains, NY | independent RIA | $2.1B | 100% | 15 | $138M | 14 | 0 |
| A•••••• C••••••• L•• CRD 287525 | New York, NY | independent RIA | $2.1B | 96% | 13 | $159M | 3 | 4 |
| E••••••••• I••••••••• G•••• CRD 173851 | Waukesha, WI | independent RIA | $2.1B | 100% | 20 | $103M | 2 | 0 |
| C••••• W••••• M••••••••• I••• CRD 151675 | Atlanta, GA | independent RIA | $2.1B | 95% | 17 | $121M | 2 | 0 |
| B•••• F••••• P•••••• W••••• M••••••••• CRD 109882 | Canton, OH | independent RIA | $2.1B | 91% | 7 | $294M | 0 | 0 |
| Q•••• C••••••• L•• CRD 308203 | New York, NY | independent RIA | $2.1B | 89% | 11 | $187M | 0 | 1 |
| C•••• H••••• A•••• M••••••••• L•• CRD 152242 | Stamford, CT | independent RIA | $2.1B | 91% | 15 | $137M | 2 | 1 |
| N•••••• I••••••••• CRD 113348 | independent RIA | $2.0B | 95% | 23 | $89.1M | 18 | 0 | |
| I••••••••• C••••••• L•• CRD 291780 | Houston, TX | independent RIA | $2.0B | 91% | 12 | $171M | 0 | 0 |
| S••• W••••• L•• CRD 167958 | San Francisco, CA | BD affiliated | $2.0B | 100% | 108 | $19.0M | 4 | 0 |
| A•••••••• A••••••• S•••••••• L•• CRD 111614 | Glastonbury, CT | independent RIA | $2.0B | 100% | 13 | $157M | 3 | 0 |
| D•••••• W••••• A••••••• CRD 315995 | Chicago, IL | independent RIA | $2.0B | 100% | 12 | $170M | 0 | 0 |
| M•••• D•••••• A••••••• L•• CRD 140170 | Boston, MA | independent RIA | $2.0B | 85% | 1 | $2.0B | 0 | 0 |
| M••••• W••••• CRD 317377 | St. Louis, MO | independent RIA | $2.0B | 93% | 19 | $107M | 1 | 0 |
| O•••••• A••••••• L•• CRD 287465 | Milwaukee, WI | independent RIA | $2.0B | 76% | 15 | $136M | 0 | 0 |
| A••••• • P•••••• I••• CRD 104995 | Kansas City, MO | independent RIA | $2.0B | 96% | 7 | $291M | 0 | 0 |
| P•••••• M••••••••• G••••• L•• CRD 105375 | Clearwater, FL | independent RIA | $2.0B | 94% | 19 | $107M | 1 | 0 |
| C•••••••• A•••••••• L•• CRD 148781 | Franklin, TN | independent RIA | $2.0B | 98% | 12 | $169M | 0 | 0 |
| A•••• P••••••• I••••••••• A• CRD 291759 | Freienbach, | independent RIA | $2.0B | 100% | 0 | Not computed | 3 | 0 |
| W••••••••• C••••••• A••••••• L•• CRD 281511 | Morristown, NJ | independent RIA | $2.0B | 91% | 4 | $507M | 2 | 0 |
| A••••• A••••••• L•• CRD 315952 | Miami, FL | mixed wealth | $2.0B | 38% | 11 | $184M | 3 | 0 |
| K•••••• W••••• M••••••••• CRD 297496 | Chicago, IL | independent RIA | $2.0B | 88% | 5 | $406M | 1 | 0 |
| A•••• I••••••••• M••••••••• I••• CRD 104623 | Greenwich, CT | independent RIA | $2.0B | 84% | 3 | $676M | 0 | 0 |
| P•••• • A••••••••• I••••••••• M••••••••• I••• CRD 117962 | Edina, MN | independent RIA | $2.0B | 70% | 17 | $119M | 0 | 2 |
| F••••••• C•••••• CRD 108102 | Greenbrae, CA | independent RIA | $2.0B | 86% | 0 | Not computed | 1 | 0 |
| C••••• C•••• F••••• O•••••• CRD 156310 | Denver, CO | independent RIA | $2.0B | 97% | 6 | $337M | 0 | 1 |
| U••••• CRD 155470 | Providence, RI | independent RIA | $2.0B | 96% | 1 | $2.0B | 0 | 0 |
| M•••••• A••••• S••••••••• L•• CRD 23224 | San Diego, CA | BD affiliated | $2.0B | 100% | 97 | $20.8M | 56 | 0 |
| B••••• F••••• O••••• L•• CRD 107141 | B•••••, MA | independent RIA | $2.0B | 95% | 9 | $224M | 0 | 0 |
| M•••• G•••• W••••• M••••••••• I••• CRD 148679 | Minnetonka, MN | independent RIA | $2.0B | 75% | 9 | $224M | 0 | 0 |
| A••••• F•••••••• G•••• CRD 105957 | Salt Lake City, UT | independent RIA | $2.0B | 96% | 19 | $106M | 0 | 3 |
| W••••••• I••••••••• C••••••• L•• CRD 109779 | Nashville, TN | independent RIA | $2.0B | 88% | 11 | $183M | 2 | 0 |
| J•••••• T••••••• W••••• M••••••••• L•• CRD 116091 | Montgomery, AL | independent RIA | $2.0B | 92% | 9 | $223M | 4 | 0 |
| P•••••••• W••••• A•••••••• I••• CRD 106043 | Salt Lake City, UT | independent RIA | $2.0B | 67% | 9 | $223M | 0 | 0 |
| J••• F•••••••• A•••••••• L•• CRD 106550 | Bloomington, MN | independent RIA | $2.0B | 98% | 30 | $66.8M | 2 | 0 |
| C••••••• W••••• A••••••• CRD 173736 | Holland, MI | independent RIA | $2.0B | 80% | 19 | $105M | 1 | 0 |
| N••••••• R•••• • S••• I•• CRD 104969 | New York, NY | independent RIA | $2.0B | 90% | 5 | $401M | 0 | 0 |
| B•••••••• C••••••• I•• CRD 105208 | Morristown, NJ | independent RIA | $2.0B | 65% | 2 | $1.0B | 0 | 0 |
| C•••• I••••••••• M••••••••• L•• CRD 108046 | Houston, TX | independent RIA | $2.0B | 99% | 30 | $66.7M | 4 | 0 |
| S•••••••• W••••• M••••••••• L•• CRD 110532 | Edina, MN | independent RIA | $2.0B | 100% | 7 | $285M | 0 | 0 |
| N••••• G••••• A••••••• CRD 158544 | N•••••, FL | independent RIA | $2.0B | 97% | 16 | $125M | 1 | 0 |
| T•• H••••• G••••• I••• CRD 105637 | Bedford, NH | independent RIA | $2.0B | 99% | 9 | $222M | 0 | 0 |
| A•••••• W••••• M••••••••• P•••••• L•••••• CRD 156771 | Mumbai, | mixed wealth | $2.0B | 38% | 1 | $2.0B | 9 | 0 |
| H••••••••• A••••••• CRD 167105 | Draper, UT | independent RIA | $2.0B | 100% | 1 | $2.0B | 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.