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 |
|---|---|---|---|---|---|---|---|---|
| Delta Asset Management, LLC CRD 113688 | Memphis, TN | independent RIA | $1.5B | 93% | 5 | $306M | 0 | 0 |
| Triad Wealth Partners, LLC CRD 326523 | Lawrence, KS | independent RIA | $1.5B | 100% | 45 | $33.9M | 29 | 0 |
| Capital Creek Partners CRD 301211 | Austin, TX | mixed wealth | $1.5B | 48% | 8 | $190M | 3 | 13 |
| T••••• F•••••••• P•••••••• L•• CRD 152277 | Overland Park, KS | independent RIA | $1.5B | 81% | 16 | $95.1M | 0 | 0 |
| T•••• S••••••••• L•• CRD 153991 | Woodland Hills, CA | independent RIA | $1.5B | 93% | 17 | $89.5M | 0 | 0 |
| A••••••• F•••••••• P•••••••• I••• CRD 126641 | Ponte Vedra, FL | mixed wealth | $1.5B | 25% | 0 | Not computed | 0 | 0 |
| T••••••• CRD 113681 | Westminster, CO | independent RIA | $1.5B | 100% | 18 | $84.5M | 2 | 0 |
| R•••••••• A•••• M••••••••• CRD 323736 | Menlo Park, CA | BD affiliated | $1.5B | 100% | 137 | $11.1M | 6 | 0 |
| A••••• W••••• P•••••••• L•• CRD 158898 | New Hartford, NY | independent RIA | $1.5B | 87% | 13 | $117M | 3 | 0 |
| C••••• A•••• M••••••••• CRD 109930 | Newport Beach, CA | independent RIA | $1.5B | 98% | 16 | $94.8M | 1 | 0 |
| M•••••• F•••••••• P••••••• CRD 173790 | St. Cloud, MN | independent RIA | $1.5B | 98% | 9 | $168M | 0 | 0 |
| L••••• C•••••• W••••• P•••••••• L•• CRD 291960 | Little Rock, AR | independent RIA | $1.5B | 93% | 17 | $89.2M | 2 | 0 |
| A••••• I••••••••• M••••••••• CRD 135296 | Columbia, SC | independent RIA | $1.5B | 91% | 7 | $217M | 0 | 0 |
| L••••• F•••••••• A•••••••• I••• CRD 158675 | Covington, KY | independent RIA | $1.5B | 99% | 13 | $117M | 2 | 0 |
| E••••••• I••••••••• A•••••••• I••• CRD 109104 | Bethesda, MD | independent RIA | $1.5B | 85% | 6 | $253M | 0 | 0 |
| R•• S••••••••• I••• CRD 103705 | Los Angeles, CA | BD affiliated | $1.5B | 78% | 122 | $12.4M | 24 | 0 |
| A•••• C•••••• CRD 293551 | Wayne, PA | independent RIA | $1.5B | 53% | 20 | $75.8M | 3 | 0 |
| O••• C•••••• M••••••••• CRD 106528 | Cincinnati, OH | independent RIA | $1.5B | 60% | 4 | $378M | 0 | 0 |
| B•••••• G••• C•••••• P••••••• I••• CRD 175139 | Toronto, | mixed wealth | $1.5B | 21% | 1 | $1.5B | 0 | 0 |
| J••• G• U••••• • A••••••••• I•• CRD 105361 | Horseheads, NY | independent RIA | $1.5B | 98% | 23 | $65.7M | 3 | 0 |
| A•••• C•••••• G••••• L•• CRD 135879 | Grand Island, NE | independent RIA | $1.5B | 94% | 22 | $68.3M | 5 | 2 |
| K••••• W•••••• L•• CRD 299407 | Williamsport, PA | independent RIA | $1.5B | 100% | 44 | $34.1M | 8 | 0 |
| D•••• W••••• A••••••• CRD 174728 | Lehi, UT | independent RIA | $1.5B | 97% | 17 | $88.3M | 2 | 0 |
| C•••••••• A•••• M••••••••• • A••••••• P•••••• L•••••• CRD 335103 | Mumbai, Maharashtra, | independent RIA | $1.5B | 64% | 0 | Not computed | 0 | 1 |
| C•••• V• F••••• O•••••• L•• CRD 285035 | Denver, CO | independent RIA | $1.5B | 99% | 8 | $187M | 0 | 0 |
| S•••• P••••••• W••••• M••••••••• L•• CRD 131359 | Los Angeles, CA | independent RIA | $1.5B | 100% | 4 | $374M | 1 | 0 |
| T•••• B••••• A••••••• CRD 115700 | West Conshohocken, PA | independent RIA | $1.5B | 92% | 7 | $213M | 0 | 2 |
| M••• C•••••• M••••••••• L•• CRD 312798 | Concord, NC | independent RIA | $1.5B | 52% | 4 | $373M | 0 | 0 |
| P••• G•••• F•••••••• G•••• CRD 308193 | Woodbury, MN | independent RIA | $1.5B | 100% | 14 | $107M | 3 | 0 |
| W•••••• • C•••••• CRD 117307 | Rochester, NY | independent RIA | $1.5B | 100% | 9 | $166M | 0 | 0 |
| R••••••••• I••••••••• A••••••• I•• CRD 106316 | Oklahoma City, OK | independent RIA | $1.5B | 97% | 8 | $186M | 1 | 0 |
| A••••••• C•••••• S••••••••• L•• CRD 164482 | Swansea, IL | independent RIA | $1.5B | 80% | 16 | $93.1M | 2 | 0 |
| W•••••• C•••••• M••••••••• I••• CRD 119174 | Dallas, TX | independent RIA | $1.5B | 66% | 3 | $496M | 0 | 1 |
| A••••• I••••••••• A••••••• L•• CRD 159103 | Billings, MT | independent RIA | $1.5B | 65% | 12 | $124M | 2 | 0 |
| V•••••• C•••••• M••••••••• I••• CRD 336801 | Halifax, | mixed wealth | $1.5B | 48% | 0 | Not computed | 7 | 0 |
| A•• C••••••• L•• CRD 287980 | Phoenix, AZ | independent RIA | $1.5B | 92% | 29 | $51.3M | 5 | 10 |
| S•••••• A•••••••• L•• CRD 159114 | Overland Park, KS | independent RIA | $1.5B | 97% | 3 | $495M | 0 | 0 |
| S•••••• W••••• M••••••••• CRD 331719 | Bingham Farms, MI | independent RIA | $1.5B | 98% | 21 | $70.7M | 1 | 0 |
| Q•••••• F•••••••• A•••••••• L•• CRD 317386 | Santa Monica, CA | independent RIA | $1.5B | 99% | 15 | $98.9M | 4 | 0 |
| F••••••• P••• I••••••••• L•• CRD 110762 | Bloomfield Hills, MI | mixed wealth | $1.5B | 25% | 5 | $297M | 0 | 0 |
| A••••• A••••••• CRD 108188 | Irvine, CA | independent RIA | $1.5B | 92% | 13 | $114M | 0 | 0 |
| C•••••• F•••••••• G••••• I•• CRD 157109 | Sioux Falls, SD | independent RIA | $1.5B | 99% | 7 | $212M | 0 | 0 |
| C••••••• A••••••••• I••• CRD 108340 | Louisville, KY | independent RIA | $1.5B | 90% | 4 | $370M | 0 | 0 |
| T•• G••••• A•••• M••••••••• L•• CRD 145536 | Brentwood, TN | independent RIA | $1.5B | 98% | 13 | $114M | 5 | 0 |
| T•• M••••••••• I•• CRD 106440 | Glen Head, NY | independent RIA | $1.5B | 100% | 30 | $49.3M | 1 | 0 |
| K••••••• • B••••• L•• CRD 2440 | New York, NY | independent RIA | $1.5B | 94% | 4 | $370M | 0 | 0 |
| S•••••• I••••••••• G•••• CRD 297499 | Bethesda, MD | independent RIA | $1.5B | 94% | 14 | $105M | 0 | 1 |
| E••••••• A••••••••• I••• CRD 111041 | Fullerton, CA | independent RIA | $1.5B | 98% | 11 | $134M | 2 | 0 |
| S•••••• W••••• A•••••••• L•• CRD 332034 | Santa Monica, CA | independent RIA | $1.5B | 100% | 6 | $246M | 1 | 0 |
| H•••••••• CRD 316515 | London, | independent RIA | $1.5B | 68% | 0 | Not computed | 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.