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 |
|---|---|---|---|---|---|---|---|---|
| Claro Advisors Inc. CRD 160294 | Boston, MA | independent RIA | $1.4B | 86% | 20 | $70.4M | 7 | 1 |
| Seven Springs Wealth Group CRD 127411 | Brentwood, TN | independent RIA | $1.4B | 89% | 8 | $176M | 0 | 0 |
| First Light Asset Management, LLC CRD 168899 | Edina, MN | mixed wealth | $1.4B | 28% | 2 | $704M | 1 | 3 |
| E•••••••• A•••••••• L•• CRD 297464 | Hudson, OH | independent RIA | $1.4B | 99% | 14 | $100M | 2 | 9 |
| G•••••••• P••••••• CRD 164192 | New York, NY | independent RIA | $1.4B | 57% | 3 | $469M | 0 | 0 |
| M•• F•••••••• CRD 107768 | Braintree, MA | independent RIA | $1.4B | 97% | 8 | $176M | 1 | 0 |
| 4• F•••••••• CRD 319484 | Austin, TX | independent RIA | $1.4B | 92% | 146 | $9.6M | 9 | 0 |
| S••••••• W••••• M••••••••• ••• L•••••• CRD 289151 | London, | independent RIA | $1.4B | 70% | 5 | $281M | 0 | 0 |
| H••••• F•••••••• S•••••••• L••• CRD 107978 | Dallas, TX | independent RIA | $1.4B | 83% | 15 | $93.5M | 0 | 31 |
| S•••••• V••••• R••••••••• S•••••••• L•• CRD 154756 | San Jose, CA | independent RIA | $1.4B | 100% | 2 | $701M | 1 | 0 |
| A•••••• W••••• M••••••••• I••• CRD 146153 | Houston, TX | independent RIA | $1.4B | 71% | 28 | $50.0M | 1 | 0 |
| W•••• R•••• P••••• W••••• M••••••••• L•• CRD 139237 | San Jose, CA | independent RIA | $1.4B | 97% | 7 | $200M | 5 | 0 |
| V••••• I••••••••• P••••••• CRD 119630 | Beaufort, SC | independent RIA | $1.4B | 93% | 12 | $117M | 4 | 0 |
| L••••• O•• W••••• M••••••••• L•• CRD 336824 | Marlton, NJ | independent RIA | $1.4B | 95% | 15 | $93.3M | 2 | 0 |
| A•••• A••••••• CRD 297305 | Augusta, GA | independent RIA | $1.4B | 96% | 5 | $280M | 0 | 0 |
| A•••• F•••••••• A••••••• S•••••••• I••• CRD 116763 | Reston, VA | independent RIA | $1.4B | 85% | 18 | $77.7M | 6 | 0 |
| S•• D•••• J• V•••••• • C••• L•• CRD 105159 | New Orleans, LA | independent RIA | $1.4B | 64% | 4 | $349M | 0 | 0 |
| M••••• A•••• A••••••• I•• CRD 107408 | White Plains, NY | independent RIA | $1.4B | 67% | 5 | $280M | 0 | 0 |
| T•••••••• A••••••• G••••• I••• CRD 106015 | Greensburg, PA | BD affiliated | $1.4B | 100% | 65 | $21.5M | 46 | 0 |
| M••••••• W••••• M••••••••• L•• CRD 281782 | M•••••••, GA | independent RIA | $1.4B | 77% | 8 | $174M | 0 | 0 |
| I•••••••• W••••• A•••••••• L•• CRD 165174 | Libertyville, IL | independent RIA | $1.4B | 98% | 10 | $139M | 1 | 0 |
| I••••••• C•••••• M••••••••• L•• CRD 150250 | Conshohocken, PA | independent RIA | $1.4B | 81% | 10 | $139M | 6 | 1 |
| S••••••• P•••••• W••••• G•••• L•• CRD 323180 | Chesterfield, MO | independent RIA | $1.4B | 100% | 12 | $116M | 3 | 0 |
| E•••••• W••••• L•• CRD 328603 | Beverly Hills, CA | independent RIA | $1.4B | 100% | 7 | $198M | 4 | 1 |
| S••••••• C•••••• M••••••••• CRD 396 | Wheeling, WV | independent RIA | $1.4B | 96% | 20 | $69.4M | 3 | 0 |
| J•••••• W••••• M••••••••• CRD 298904 | Cleveland, OH | independent RIA | $1.4B | 96% | 16 | $86.7M | 1 | 0 |
| S•••••••• W••••• I••••••••• G••••• L•• CRD 165474 | Louisville, KY | independent RIA | $1.4B | 100% | 32 | $43.3M | 19 | 0 |
| T•• P••••••• F•••••••• G•••• CRD 164395 | Rockville Centre, NY | independent RIA | $1.4B | 94% | 43 | $32.2M | 6 | 0 |
| P•••••• C••••• S•••••••• L•• CRD 120222 | Louisville, KY | BD affiliated | $1.4B | 99% | 64 | $21.6M | 23 | 0 |
| B••••••• R••••••••• A•••••••• L•• CRD 171143 | Lehi, UT | independent RIA | $1.4B | 98% | 45 | $30.7M | 11 | 0 |
| L•••• F••• C•••••• M••••••••• CRD 304792 | Dallas, TX | independent RIA | $1.4B | 85% | 6 | $230M | 1 | 0 |
| C•••••• F•••••••• P•••••••• L•• CRD 326620 | San Diego, CA | independent RIA | $1.4B | 100% | 7 | $197M | 1 | 0 |
| S••••••• F•••••••• P•••••••• L•• CRD 169093 | Winchester, MA | independent RIA | $1.4B | 90% | 8 | $172M | 5 | 0 |
| P••••• L•• CRD 330112 | Kansas City, MO | mixed wealth | $1.4B | 32% | 5 | $276M | 0 | 0 |
| G•••••••• C••••••• I••• CRD 126679 | Greensboro, NC | mixed wealth | $1.4B | 44% | 5 | $275M | 0 | 7 |
| L•• W••••• M••••••••• L•• CRD 145399 | Indianapolis, IN | independent RIA | $1.4B | 76% | 13 | $106M | 2 | 0 |
| T•• P••••••• C•••••• I••• CRD 118994 | Moline, IL | independent RIA | $1.4B | 96% | 10 | $137M | 6 | 0 |
| A••••••• F•••••••• L•• CRD 113200 | St. Louis Park, MN | independent RIA | $1.4B | 100% | 12 | $114M | 2 | 0 |
| J• L• B••••••••• • C••• I••• CRD 108058 | Sarasota, FL | independent RIA | $1.4B | 98% | 6 | $229M | 0 | 0 |
| O••• B••••• W••••• G•••• L•• CRD 306097 | Tarrytown, NY | independent RIA | $1.4B | 96% | 22 | $62.3M | 10 | 0 |
| T•• I•••••••• CRD 127207 | Denver, CO | independent RIA | $1.4B | 97% | 13 | $105M | 6 | 2 |
| B•••• D•••••• F••••••••• L•• CRD 145108 | Lutherville, MD | independent RIA | $1.4B | 82% | 14 | $97.9M | 1 | 3 |
| N••• L•••• P•••••• L•• CRD 313247 | Harrison, NY | independent RIA | $1.4B | 90% | 13 | $105M | 0 | 0 |
| M••••••• W••••• P•••••••• L•• CRD 287768 | East Norriton, PA | independent RIA | $1.4B | 68% | 10 | $137M | 2 | 0 |
| D•••••••• CRD 310052 | Madrid, | independent RIA | $1.4B | 100% | 0 | Not computed | 1 | 0 |
| H••••• B•••• W••••• M••••••••• L•• CRD 145521 | Katonah, NY | independent RIA | $1.4B | 94% | 1 | $1.4B | 1 | 0 |
| O••••••• M••••••••• G•••• L•• CRD 306284 | Stamford, CT | independent RIA | $1.4B | 98% | 0 | Not computed | 0 | 8 |
| A•••• R••• C••••••••• ••• L•••••• CRD 292916 | London, | independent RIA | $1.4B | 100% | 0 | Not computed | 2 | 0 |
| C•••••• A•••••••• L•••• L•• CRD 153600 | Shaker Heights, OH | independent RIA | $1.4B | 95% | 11 | $124M | 10 | 0 |
| S••••• S•••• W••••• M••••••••• CRD 105710 | Winston Salem, NC | independent RIA | $1.4B | 91% | 10 | $137M | 2 | 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.