DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Firms
SEC-registered investment advisers
One 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.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Sanctuary Advisors, LLC CRD 226606 | Miami, FL | BD affiliated | $35B | 88% | 403 | $86.5M | 83 | 0 |
| Wealthspire Advisors CRD 106181 | New York, NY | independent RIA | $34B | 97% | 237 | $145M | 26 | 0 |
| Clearstead; Clearstead Advisory Solutions CRD 105674 | Cleveland, OH | independent RIA | $34B | 63% | 65 | $521M | 10 | 3 |
| A••••••• F••••••••• L••• CRD 111167 | Folsom, CA | BD affiliated | $34B | 96% | 318 | $106M | 35 | 0 |
| B•• M••••• A•••••••• I••• CRD 106108 | New York, NY | bank affiliated | $33B | 94% | 15 | $2.2B | 4 | 0 |
| S•••••• F•••••••• G••••• L••••• CRD 117756 | Akron, OH | independent RIA | $32B | 93% | 259 | $124M | 38 | 17 |
| E•••• S••••••••• L•• CRD 110826 | New York, NY | BD affiliated | $32B | 98% | 2,480 | $12.9M | 891 | 0 |
| G•••••• S•••• W••••• S•••••••• L••• CRD 106693 | Cohoes, NY | BD affiliated | $32B | 78% | 1,098 | $28.9M | 23 | 0 |
| L••••• K••• C•••••• M••••••••• C••••••••• CRD 110093 | Fort Worth, TX | mixed wealth | $32B | 36% | 34 | $927M | 3 | 18 |
| T•••••••• A•••••••• L•• CRD 147189 | New York, NY | independent RIA | $31B | 78% | 6 | $5.2B | 8 | 23 |
| P•• W••••• M••••••••• CRD 129052 | Pittsburgh, PA | BD affiliated | $30B | 97% | 1,159 | $26.1M | 594 | 0 |
| •••••••• CRD 3767 | Nashville, TN | independent RIA | $30B | 68% | 540 | $56.1M | 122 | 0 |
| H• W••••• CRD 316731 | Atlanta, GA | independent RIA | $30B | 77% | 167 | $181M | 11 | 0 |
| G••••• A•••• M••••••••• L•• CRD 149335 | New York, NY | mixed wealth | $30B | 47% | 5 | $6.0B | 1 | 27 |
| W•••••• A•••••••• L•• CRD 115332 | Birmingham, AL | independent RIA | $30B | 71% | 224 | $133M | 48 | 19 |
| V•••• F•••••••• A•••••••• I••• CRD 42803 | Houston, TX | BD affiliated | $29B | 100% | 1,256 | $23.3M | 217 | 0 |
| R••••••••• A•• C• W••••• M••••••••• U• L•••••• CRD 158022 | London, | mixed wealth | $28B | 38% | 0 | n/a | 0 | 0 |
| S••• A••••••• S••••••• L•• C• CRD 106236 | Austin, TX | mixed wealth | $28B | 27% | 42 | $677M | 0 | 0 |
| S••••••••• A•••• M••••••••• G•••• L•• CRD 118333 | New York, NY | independent RIA | $28B | 67% | 35 | $809M | 7 | 12 |
| A••• A••••••• P••••••• CRD 133535 | New York, NY | BD affiliated | $27B | 92% | 231 | $115M | 38 | 17 |
| S••••• F••••••••• L•• CRD 299322 | Parsippany, NJ | BD affiliated | $26B | 89% | 232 | $114M | 107 | 0 |
| S••••• R••• A•••••••• L• CRD 144059 | New York, NY | mixed wealth | $26B | 27% | 0 | n/a | 0 | 21 |
| 1••• I••••••••• C••••••• L•• CRD 133370 | Baltimore, MD | independent RIA | $26B | 76% | 30 | $868M | 8 | 0 |
| H•• I••••••••• I••••••••• L•• CRD 292451 | Palo Alto, CA | independent RIA | $25B | 53% | 1 | $25B | 0 | 0 |
| P••••• M•••• F•••••••• A••••••• CRD 112158 | Southfield, MI | independent RIA | $25B | 99% | 131 | $192M | 13 | 0 |
| L•• E••••••••• L•• CRD 8733 | Fort Mill, SC | BD affiliated | $25B | 98% | 3,121 | $8.0M | 1,140 | 0 |
| R••••• L•• CRD 309733 | London, | mixed wealth | $25B | 25% | 0 | n/a | 1 | 1 |
| W•• W••••• M••••••••• L•••••• CRD 132210 | London, | mixed wealth | $25B | 25% | 1 | $25B | 1 | 0 |
| D•••••••• • C•••••• L•• CRD 1588 | Richmond, VA | BD affiliated | $25B | 72% | 337 | $73.3M | 29 | 3 |
| U••••• C•••••• F•••••••• A••••••• CRD 134600 | Irving, TX | independent RIA | $25B | 84% | 164 | $150M | 46 | 0 |
| B•••• H•••• I••••••••• L••• CRD 29278 | Rye Brook, NY | independent RIA | $24B | 84% | 20 | $1.2B | 0 | 1 |
| F•••• C•••••• A••••••• S••••••• CRD 281958 | Fort Worth, TX | BD affiliated | $24B | 100% | 1,034 | $23.6M | 186 | 0 |
| M••••• M••••• I••• CRD 110425 | Mason, OH | mixed wealth | $24B | 48% | 11 | $2.2B | 1 | 0 |
| M•••• F•••••••• A••••••• CRD 142457 | Alpharetta, GA | BD affiliated | $24B | 75% | 284 | $84.1M | 65 | 0 |
| S•••••••• F•••••• CRD 313913 | London, Greater London, | independent RIA | $24B | 53% | 0 | n/a | 0 | 0 |
| I••••••••• W••••• C••••••• L•• CRD 284656 | Waltham, MA | independent RIA | $24B | 97% | 473 | $49.8M | 120 | 0 |
| O••••• F•••••••• G••••• L•• CRD 105303 | Carmel, IN | independent RIA | $23B | 59% | 50 | $467M | 6 | 48 |
| J••••• P••• G•••• L•• CRD 287755 | San Francisco, CA | independent RIA | $23B | 67% | 13 | $1.8B | 3 | 45 |
| J•••••• I••••••••• C••••••• I••• CRD 117054 | Cincinnati, OH | independent RIA | $23B | 67% | 65 | $354M | 5 | 0 |
| O• P•••••• C•••••• CRD 282516 | Grand Rapids, MI | mixed wealth | $23B | 26% | 0 | n/a | 0 | 28 |
| S••• CRD 108163 | Los Angeles, CA | BD affiliated | $23B | 96% | 140 | $161M | 25 | 0 |
| L•••••• I••••••••• CRD 519 | Fort Washington, PA | independent RIA | $22B | 99% | 915 | $24.0M | 314 | 0 |
| E••••••••• P••••••• L••• CRD 131728 | New York, NY | independent RIA | $22B | 71% | 0 | n/a | 1 | 51 |
| E••••••• M••••••••• L•• CRD 106647 | Greenwich, CT | mixed wealth | $22B | 24% | 2 | $11B | 1 | 0 |
| O••••••••• A•••• M••••••••• CRD 105559 | New York, NY | BD affiliated | $21B | 82% | 5 | $4.3B | 2 | 0 |
| B••• • G••••• L•• CRD 106139 | Cincinnati, OH | mixed wealth | $21B | 33% | 25 | $840M | 1 | 0 |
| B•••• S••••• A•••••••• L•• CRD 128066 | San Francisco, CA | independent RIA | $21B | 87% | 0 | n/a | 0 | 0 |
| T••••••• I••••••••• M••••••••• I••• CRD 18387 | Minneapolis, MN | BD affiliated | $21B | 98% | 3,159 | $6.6M | 1,226 | 0 |
| O•••• C•••••• CRD 144474 | New York, NY | independent RIA | $21B | 66% | 1 | $21B | 1 | 123 |
| S••••• T•••• A•••••••• L•• CRD 220519 | New York, NY | independent RIA | $20B | 83% | 30 | $665M | 16 | 0 |
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9,801 advisers match.