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 |
|---|---|---|---|---|---|---|---|---|
| Retirement Management Systems CRD 150351 | Leonardtown, MD | independent RIA | $1.9B | 100% | 4 | $472M | 2 | 0 |
| Eton Advisors CRD 289395 | Chapel Hill, NC | mixed wealth | $1.9B | 39% | 7 | $270M | 0 | 5 |
| Modell Capital Management LLC CRD 339228 | Bloomfield Hills, MI | independent RIA | $1.9B | 96% | 3 | $628M | 0 | 0 |
| N•••••• P•••••••• L•• CRD 315694 | Greenwood Village, CO | independent RIA | $1.9B | 80% | 15 | $125M | 1 | 11 |
| C•••••• M••••••••• A••••••••• I•• CRD 105010 | Minneapolis, MN | independent RIA | $1.9B | 81% | 14 | $134M | 2 | 0 |
| B••• C••• P•••••••• L•• CRD 132437 | Farmington Hills, MI | independent RIA | $1.9B | 99% | 19 | $98.8M | 0 | 0 |
| K••• A•••••••• I••• CRD 107847 | Milwaukee, WI | independent RIA | $1.9B | 95% | 5 | $375M | 0 | 0 |
| W•••••••• G••••• A•••• M••••••••• L•• CRD 292470 | New York, NY | independent RIA | $1.9B | 75% | 0 | Not computed | 2 | 0 |
| S••••• A•••••••• L•• CRD 329415 | San Diego, CA | independent RIA | $1.9B | 92% | 68 | $27.6M | 7 | 0 |
| N•••••• W•••••• L•• CRD 311508 | Little Rock, AR | independent RIA | $1.9B | 92% | 16 | $117M | 1 | 0 |
| A••••• A•••• CRD 105441 | A•••••, TX | independent RIA | $1.9B | 91% | 15 | $125M | 0 | 0 |
| I•• W••••• P•••••••• L•• CRD 109721 | Waukesha, WI | independent RIA | $1.9B | 99% | 16 | $117M | 3 | 0 |
| W•••••• A•••••••• L•• CRD 133279 | Charlotte, NC | independent RIA | $1.9B | 93% | 18 | $104M | 0 | 0 |
| D••••••••• M••••••••• I•• CRD 106680 | Milwaukee, WI | independent RIA | $1.9B | 94% | 6 | $311M | 1 | 0 |
| F•••• L••• I••••• I••••••••• L•• CRD 167212 | Jericho, NY | independent RIA | $1.9B | 63% | 7 | $266M | 0 | 9 |
| W••••••• C•••••• M••••••••• C• CRD 106908 | Los Angeles, CA | independent RIA | $1.9B | 65% | 3 | $620M | 0 | 0 |
| A••••• T••••• S••••••••• L•• CRD 16629 | Rochester, NY | independent RIA | $1.9B | 100% | 37 | $50.3M | 5 | 0 |
| C•••• C•••• F•••••••• M••••••••• L•• CRD 170602 | Silverdale, WA | independent RIA | $1.9B | 97% | 43 | $43.2M | 25 | 0 |
| M••••••• C•••••• I•••••••• I•• CRD 105562 | Orinda, CA | independent RIA | $1.9B | 61% | 0 | Not computed | 0 | 0 |
| C••••••• T•••• A•••••••• I••• CRD 110257 | Spartanburg, SC | independent RIA | $1.9B | 86% | 15 | $124M | 3 | 0 |
| W••••• J•••••• W••••• CRD 119759 | Houston, TX | independent RIA | $1.9B | 100% | 29 | $63.9M | 0 | 0 |
| T••• C•••• R•••••••• L•• CRD 330698 | Portsmouth, NH | independent RIA | $1.9B | 100% | 2 | $926M | 0 | 0 |
| C•• C•••••• C••••••••• CRD 129789 | New York, NY | mixed wealth | $1.8B | 34% | 0 | Not computed | 0 | 2 |
| G•••••• I••••••••• P•••••••• L•• CRD 150632 | El Segundo, CA | independent RIA | $1.8B | 55% | 2 | $922M | 1 | 1 |
| R•• A••••••• CRD 150661 | Houston, TX | independent RIA | $1.8B | 97% | 14 | $131M | 1 | 0 |
| K•••••• C•••••• M••••••••• L•• CRD 118458 | Richmond, VA | independent RIA | $1.8B | 96% | 4 | $460M | 0 | 0 |
| P•••••••• H••••• A•••• M••••••••• L••• CRD 109134 | Fort Lauderdale, FL | independent RIA | $1.8B | 66% | 8 | $230M | 5 | 3 |
| R••••••••• I••••••••• M••••••••• L•• CRD 115754 | Syracuse, NY | independent RIA | $1.8B | 74% | 11 | $167M | 1 | 0 |
| A•••• A•••• M••••••••• I••• CRD 111291 | Falls Church, VA | independent RIA | $1.8B | 67% | 11 | $167M | 0 | 0 |
| I••••••••• S••••• H•••••••• L•• CRD 300139 | King Of Prussia, PA | independent RIA | $1.8B | 99% | 41 | $44.7M | 13 | 0 |
| A•• P•••••• W••••• P•••••••• L•• CRD 331478 | West Palm Beach, FL | independent RIA | $1.8B | 53% | 15 | $122M | 4 | 0 |
| B••••• M•••••• CRD 332906 | Timonium, MD | independent RIA | $1.8B | 95% | 13 | $140M | 2 | 0 |
| C• P•••••• W••••• CRD 151501 | Novi, MI | independent RIA | $1.8B | 99% | 14 | $130M | 4 | 0 |
| V••• C•••••• R••• L• CRD 130678 | Dallas, TX | independent RIA | $1.8B | 96% | 9 | $202M | 0 | 4 |
| F•••••••• S•••••••• CRD 105643 | Houston, TX | independent RIA | $1.8B | 99% | 17 | $107M | 1 | 0 |
| V•••••• C•••••• M••••••••• I••• CRD 131692 | Phoenix, AZ | independent RIA | $1.8B | 80% | 11 | $165M | 1 | 0 |
| G•• W••••• M••••••••• CRD 315934 | Flower Mound, TX | independent RIA | $1.8B | 100% | 23 | $78.6M | 0 | 0 |
| S••••• M•••• M••••••••• I••• CRD 153256 | Los Angeles, CA | independent RIA | $1.8B | 85% | 7 | $258M | 1 | 0 |
| S•••• D••• • H••••• L•• CRD 110102 | Vancouver, WA | mixed wealth | $1.8B | 49% | 6 | $301M | 4 | 0 |
| Y•••• R•••••• C• • C• L•• CRD 105866 | Newport, RI | independent RIA | $1.8B | 98% | 9 | $200M | 1 | 0 |
| L•• W••••• M••••••••• U• L•••••• CRD 164190 | London, | independent RIA | $1.8B | 72% | 1 | $1.8B | 0 | 0 |
| S••••• F•••••••• W••••• A••••••• CRD 171278 | Lafayette, LA | independent RIA | $1.8B | 88% | 17 | $106M | 5 | 0 |
| A•••••• P••••••• W••••• M••••••••• CRD 110130 | New York, NY | independent RIA | $1.8B | 98% | 19 | $94.6M | 1 | 1 |
| U••• B•••••• A•••••••• L•• CRD 14455 | Saint Paul, MN | BD affiliated | $1.8B | 94% | 1,160 | $1.5M | 174 | 0 |
| S•••••• N••••••• H• • C• I•• CRD 104740 | Rockport, MA | independent RIA | $1.8B | 100% | 4 | $449M | 0 | 0 |
| M••••••• S•••••• • S•••• CRD 106460 | Philadelphia, PA | independent RIA | $1.8B | 98% | 7 | $256M | 0 | 0 |
| P•••••••• W••••• P•••••••• L•• CRD 331565 | Clayton, MO | independent RIA | $1.8B | 98% | 29 | $61.6M | 14 | 0 |
| L••••• F••••••••• I••• CRD 17870 | Birmingham, AL | BD affiliated | $1.8B | 88% | 69 | $25.9M | 28 | 0 |
| T•• F•••••••• M••••••••• I•• CRD 105062 | Boston, MA | independent RIA | $1.8B | 99% | 12 | $148M | 0 | 0 |
| B••••••••• C•••••• A••••••• L•• CRD 109088 | Bozeman, MT | independent RIA | $1.8B | 100% | 2 | $890M | 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.