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 |
|---|---|---|---|---|---|---|---|---|
| J.M. Forbes & Co. Llp CRD 107422 | Boston, MA | independent RIA | $1.7B | 89% | 8 | $209M | 0 | 0 |
| Tailwind Advisors CRD 150081 | Fort Worth, TX | independent RIA | $1.7B | 75% | 6 | $279M | 0 | 6 |
| Kmg Fiduciary Partners, LLC CRD 298331 | Toledo, OH | independent RIA | $1.7B | 99% | 7 | $239M | 5 | 0 |
| C••••• F•••••••• S••••••••• I••• CRD 133509 | Athens, GA | independent RIA | $1.7B | 82% | 29 | $57.6M | 1 | 0 |
| O••••• I••••••••• A•••••••• I••• CRD 107387 | Goshen, NY | independent RIA | $1.7B | 76% | 8 | $209M | 1 | 0 |
| A•••••••• A••••••• G•••• I••• CRD 318662 | Needham, MA | independent RIA | $1.7B | 100% | 14 | $119M | 11 | 0 |
| N••••••• T•••• S••••••••• I•• CRD 7927 | Chicago, IL | BD affiliated | $1.7B | 98% | 97 | $17.1M | 29 | 0 |
| R•••• A•••••••• L•• CRD 321969 | Mclean, VA | independent RIA | $1.7B | 100% | 30 | $55.3M | 2 | 0 |
| S•••••••• F••••• W••••• C••••••••• L••••• CRD 128199 | Fairfield, NJ | independent RIA | $1.7B | 95% | 4 | $415M | 0 | 0 |
| L•••• C•••••• S••••••••• L••• CRD 137147 | New York, NY | independent RIA | $1.7B | 77% | 1 | $1.7B | 1 | 1 |
| J•••••• A••••••• G••••• L•• CRD 171919 | Covington, KY | independent RIA | $1.7B | 96% | 19 | $87.1M | 3 | 0 |
| T•• H•••••• P••••••• G••••• L•• CRD 139464 | Middleburg, VA | independent RIA | $1.7B | 85% | 4 | $413M | 0 | 0 |
| P••••••• C•• S•••••••• L•• CRD 158248 | Chester, NJ | independent RIA | $1.6B | 99% | 10 | $165M | 1 | 0 |
| P•••••• F•••••••• A•••••••• L•• CRD 124801 | South Burlington, VT | independent RIA | $1.6B | 88% | 6 | $275M | 1 | 0 |
| L•••• W••••• M••••••••• L• CRD 283521 | Menlo Park, CA | independent RIA | $1.6B | 98% | 0 | Not computed | 0 | 0 |
| S•••••••• W••••• P•••••••• L••• CRD 148586 | Independence, OH | independent RIA | $1.6B | 94% | 21 | $78.3M | 6 | 0 |
| S••••••••• C•••••• M••••••••• CRD 169517 | Annapolis, MD | independent RIA | $1.6B | 100% | 15 | $110M | 0 | 0 |
| B••• W••••• S••••••••• L•• CRD 322138 | Denver, CO | independent RIA | $1.6B | 54% | 48 | $34.2M | 15 | 0 |
| A•• W••••• A••••••• CRD 314882 | St. Petersburg, FL | independent RIA | $1.6B | 96% | 16 | $103M | 4 | 0 |
| S•••• G•••• C•••••• A•••••••• L•• CRD 115231 | Memphis, TN | independent RIA | $1.6B | 95% | 7 | $234M | 1 | 0 |
| U•• F•••••••• E••••••• CRD 283466 | Ada, MI | independent RIA | $1.6B | 100% | 0 | Not computed | 0 | 0 |
| P•••••••• I••••••••• M••••••••• C••••••• I••• CRD 105060 | Boston, MA | independent RIA | $1.6B | 90% | 8 | $204M | 0 | 0 |
| P••••••• C•••••• CRD 333009 | Newport Beach, CA | independent RIA | $1.6B | 76% | 4 | $408M | 0 | 0 |
| T•• J•••••• I••••••••• M••••••••• L•• CRD 104511 | Oklahoma City, OK | independent RIA | $1.6B | 90% | 6 | $272M | 0 | 0 |
| R•••••• • A••••••••• CRD 121700 | Lancaster, PA | independent RIA | $1.6B | 99% | 12 | $136M | 0 | 0 |
| W•••••••• C•••••• L•••••• P••••••••• CRD 282931 | Toronto, Ontario, | independent RIA | $1.6B | 60% | 0 | Not computed | 0 | 0 |
| T•••••• P•••• A•••••••• L•• CRD 292182 | Wilton, CT | independent RIA | $1.6B | 89% | 16 | $102M | 2 | 0 |
| M•••••• C•••••• CRD 155424 | Portland, OR | mixed wealth | $1.6B | 26% | 10 | $163M | 0 | 0 |
| T•••• C•••••• M••••••••• I••• CRD 149108 | San Diego, CA | independent RIA | $1.6B | 97% | 13 | $125M | 2 | 0 |
| L• R•• P••• • A••••••••• L•• CRD 105130 | Phoenix, AZ | independent RIA | $1.6B | 90% | 11 | $147M | 0 | 0 |
| P••••••• P•••••• W•••••• L•• CRD 295178 | P•••••••, CA | independent RIA | $1.6B | 71% | 19 | $85.3M | 5 | 6 |
| T•• N•••• R••• G••••• L•• CRD 312554 | Novi, MI | independent RIA | $1.6B | 89% | 9 | $180M | 0 | 0 |
| B•••• A••••••• CRD 106152 | Farmington Hills, MI | independent RIA | $1.6B | 100% | 12 | $135M | 1 | 0 |
| I•• A•••••••• I••• CRD 166586 | Dallas, TX | mixed wealth | $1.6B | 48% | 28 | $57.8M | 25 | 0 |
| I••••••••• C•••••• L•••••• CRD 312174 | London, Greater London, | independent RIA | $1.6B | 100% | 0 | Not computed | 0 | 0 |
| F••••• C•••••• A•••••••• L•• CRD 309709 | Prairie Village, KS | independent RIA | $1.6B | 94% | 71 | $22.8M | 39 | 0 |
| S••••• C•••••• L•• CRD 110129 | Miami, FL | independent RIA | $1.6B | 95% | 8 | $202M | 0 | 2 |
| G••••• S•••••••• N•••••• O••• CRD 175300 | Scottsdale, AZ | independent RIA | $1.6B | 73% | 5 | $322M | 2 | 0 |
| M••••••• I••••••••• N•••••• I••• CRD 17587 | Dallas, TX | BD affiliated | $1.6B | 97% | 125 | $12.9M | 124 | 0 |
| T•• G•••••• G••••• I••• CRD 175104 | Prospect, KY | independent RIA | $1.6B | 98% | 6 | $268M | 0 | 0 |
| N•• C•••••• M••••••••• I••• CRD 104932 | Norwich, NY | mixed wealth | $1.6B | 22% | 7 | $230M | 4 | 0 |
| B•••••• F•••••••• G•••• L•• CRD 111824 | Troy, NY | independent RIA | $1.6B | 95% | 11 | $146M | 4 | 0 |
| F•••••••• P•••• I••• CRD 116073 | Bellingham, WA | independent RIA | $1.6B | 99% | 13 | $123M | 0 | 0 |
| T•••••• W••••• M••••••••• CRD 166084 | London, | independent RIA | $1.6B | 83% | 13 | $123M | 2 | 0 |
| L••••• G••••• S••••••••• L•• CRD 159667 | New York, NY | independent RIA | $1.6B | 97% | 0 | Not computed | 0 | 0 |
| N••••• A••••••• S•••••••• L•• CRD 290405 | De Pere, WI | independent RIA | $1.6B | 100% | 15 | $107M | 4 | 0 |
| C•• A•••••••• L•• CRD 159359 | Manhattan, KS | independent RIA | $1.6B | 94% | 36 | $44.5M | 32 | 0 |
| B••• W••••• A•••••••• I••• CRD 109867 | Covington, LA | independent RIA | $1.6B | 86% | 25 | $64.0M | 32 | 0 |
| A••• C•••••• M••••••••• L•• CRD 106786 | Salt Lake City, UT | independent RIA | $1.6B | 63% | 12 | $133M | 2 | 0 |
| T•••••••• P••••••• F•••••••• L•• CRD 326489 | Columbia, MD | mixed wealth | $1.6B | 23% | 7 | $228M | 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.