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 |
|---|---|---|---|---|---|---|---|---|
| Aegis Capital Corp. CRD 15007 | New York, NY | BD affiliated | $1.8B | 87% | 99 | $18.0M | 18 | 32 |
| Auxano Advisors CRD 145179 | Bellevue, WA | independent RIA | $1.8B | 96% | 8 | $222M | 1 | 0 |
| Mainline West Fund Manager LLC CRD 147532 | Denver, CO | mixed wealth | $1.8B | 24% | 4 | $443M | 0 | 7 |
| L••••• T••••• A••••••• S•••••••• L•• CRD 288557 | Charlotte, NC | independent RIA | $1.8B | 91% | 10 | $177M | 0 | 0 |
| C••••• F•••••••• A•••••••• I••• CRD 109890 | Edina, MN | independent RIA | $1.8B | 98% | 12 | $148M | 0 | 0 |
| M•••• I••••••••• M••••••••• L•• CRD 108170 | Atlanta, GA | independent RIA | $1.8B | 81% | 5 | $353M | 0 | 0 |
| G•••••••• C•••••• A••••••••• L•• CRD 115015 | G••••••••, SC | independent RIA | $1.8B | 58% | 16 | $110M | 1 | 0 |
| K••••• P•••••• F•••••••• A••••••• L••• CRD 149431 | ZüRich, | mixed wealth | $1.8B | 26% | 1 | $1.8B | 0 | 0 |
| C•••••• W••••• M••••••••• L•• CRD 331165 | Overland Park, KS | independent RIA | $1.8B | 100% | 14 | $126M | 0 | 0 |
| S••••••••• W••••• L•• CRD 286669 | Jupiter, FL | independent RIA | $1.8B | 84% | 17 | $104M | 2 | 0 |
| C•••••• W••••• P•••••••• L•• CRD 297852 | El Segundo, CA | independent RIA | $1.8B | 89% | 5 | $352M | 0 | 7 |
| S•••••• B••• • W••• I••••••••• C•••••• I•• CRD 107630 | Neenah, WI | independent RIA | $1.8B | 97% | 11 | $160M | 0 | 0 |
| I••••••• I••••••••• C••••••• L•• CRD 110623 | Scottsdale, AZ | independent RIA | $1.8B | 90% | 13 | $135M | 0 | 0 |
| G•• I••••••••• C•••••• CRD 332720 | Toronto, Ontario, | mixed wealth | $1.8B | 38% | 0 | Not computed | 0 | 0 |
| H•• A••••••• S••••••• L•• CRD 143665 | Simi Valley, CA | independent RIA | $1.7B | 95% | 68 | $25.7M | 50 | 0 |
| I••••• F•••••••• CRD 281554 | Houston, TX | independent RIA | $1.7B | 97% | 36 | $48.5M | 26 | 0 |
| S•••••• P•••••• W••••• M••••••••• L•• CRD 159419 | Eugene, OR | independent RIA | $1.7B | 90% | 13 | $134M | 0 | 0 |
| A•••••• W••••• A••••••• CRD 312463 | Blue Bell, PA | independent RIA | $1.7B | 99% | 11 | $158M | 0 | 0 |
| M••••••• W••••• A•••••••• L•• CRD 282609 | Austin, TX | independent RIA | $1.7B | 96% | 9 | $193M | 0 | 0 |
| W•• A•••••••• I••• CRD 105289 | Baltimore, MD | independent RIA | $1.7B | 99% | 11 | $158M | 4 | 0 |
| R• I••••••••• M••••••••• L•• CRD 282707 | Eagle, ID | independent RIA | $1.7B | 85% | 13 | $133M | 0 | 0 |
| W•• A•••• M••••••••• L•• CRD 153872 | Williamsville, NY | independent RIA | $1.7B | 98% | 29 | $59.6M | 2 | 0 |
| A•• C•••••• A••••••• CRD 150570 | Tampa, FL | independent RIA | $1.7B | 80% | 14 | $123M | 0 | 1 |
| A••• I••••• A••••••• CRD 170301 | Charlotte, NC | independent RIA | $1.7B | 100% | 83 | $20.8M | 2 | 0 |
| L•••••• W••••• M••••••••• L•• CRD 286001 | Oakland, CA | independent RIA | $1.7B | 97% | 25 | $69.0M | 8 | 0 |
| C••••••• F•••••••• P••••••• CRD 299335 | Boston, MA | independent RIA | $1.7B | 92% | 11 | $157M | 3 | 0 |
| N•••• G•••• CRD 158964 | Rochester, NY | independent RIA | $1.7B | 80% | 32 | $53.7M | 8 | 0 |
| D••••••• A•••••••• L•• CRD 159953 | Chapel Hill, NC | independent RIA | $1.7B | 82% | 1 | $1.7B | 2 | 1 |
| A••••• A•••••••• I••• CRD 112028 | Ruston, LA | independent RIA | $1.7B | 58% | 12 | $143M | 1 | 0 |
| I••••••• P•••••• W•••••• L•• CRD 317727 | independent RIA | $1.7B | 99% | 2 | $857M | 0 | 0 | |
| A••••••• W••••• M••••••••• L•• CRD 298137 | Wesley Chapel, FL | independent RIA | $1.7B | 100% | 49 | $34.9M | 11 | 0 |
| C•••••• S•• P••••••• ••• L• CRD 289784 | Philadelphia, PA | independent RIA | $1.7B | 84% | 0 | Not computed | 3 | 3 |
| O•• R•••• I••••••••• L•• CRD 107066 | Chicago, IL | independent RIA | $1.7B | 84% | 2 | $852M | 0 | 0 |
| S••••••• G•••• A•••• M••••••••• L•• CRD 288981 | Little Rock, AR | independent RIA | $1.7B | 77% | 3 | $568M | 1 | 0 |
| C••••• C•••••••• W••••• M••••••••• L•• CRD 317528 | New York, NY | independent RIA | $1.7B | 94% | 10 | $170M | 4 | 0 |
| G•••••• • C•••• I••• CRD 283112 | West Des Moines, IA | independent RIA | $1.7B | 94% | 18 | $94.3M | 0 | 0 |
| R••••••••• W••••• L•• CRD 162442 | Oakbrook, IL | independent RIA | $1.7B | 93% | 31 | $54.8M | 2 | 2 |
| C••••••• G••••• I••• CRD 106490 | Colorado Springs, CO | mixed wealth | $1.7B | 34% | 6 | $282M | 0 | 16 |
| C•• F•••••••• S•••••••• L••••• CRD 124004 | Northfield, NJ | independent RIA | $1.7B | 83% | 12 | $141M | 1 | 0 |
| M•• C•• CRD 298398 | Ridgeland, MS | independent RIA | $1.7B | 55% | 16 | $106M | 3 | 0 |
| S••••• A••••••• W•••••• L•• CRD 301086 | Detroit, MI | independent RIA | $1.7B | 100% | 47 | $35.9M | 18 | 0 |
| W••••••••• C••••••••• S••••••• I•• CRD 105837 | Chantilly, VA | independent RIA | $1.7B | 100% | 9 | $188M | 1 | 0 |
| P••••••• I••••••••• A••••••• CRD 322371 | Warrendale, PA | independent RIA | $1.7B | 99% | 7 | $241M | 0 | 0 |
| N••••••• F•••••• L•• CRD 172523 | London, | independent RIA | $1.7B | 90% | 0 | Not computed | 0 | 0 |
| L•• F•••••••• C••••••• L•• CRD 105910 | Dallas, TX | independent RIA | $1.7B | 97% | 31 | $54.3M | 0 | 4 |
| S•••• A••••••••• C•••••• C•••• CRD 107675 | New York, NY | mixed wealth | $1.7B | 22% | 1 | $1.7B | 0 | 0 |
| C••••••••• C•••••• P••••••• CRD 139886 | Hoffman Estates, IL | independent RIA | $1.7B | 77% | 15 | $112M | 0 | 0 |
| W•••••••• A•••• M••••••••• CRD 106935 | Del Mar, CA | independent RIA | $1.7B | 97% | 10 | $168M | 0 | 0 |
| P••••• A•••••••• M••••• G••••• L•• CRD 281558 | Chattanooga, TN | independent RIA | $1.7B | 93% | 19 | $88.3M | 4 | 0 |
| C•• A•••••••• L•• CRD 111025 | Atlanta, GA | independent RIA | $1.7B | 91% | 17 | $98.6M | 3 | 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.