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 |
|---|---|---|---|---|---|---|---|---|
| Steigerwald, Gordon & Koch - Wealth Advisors CRD 111685 | Leesburg, VA | independent RIA | $1.3B | 99% | 9 | $147M | 2 | 0 |
| Allie Family Office LLC CRD 307144 | Miami, FL | mixed wealth | $1.3B | 30% | 0 | Not computed | 1 | 0 |
| Live Oak Private Wealth, LLC CRD 297904 | Wilmington, NC | independent RIA | $1.3B | 96% | 10 | $132M | 1 | 0 |
| M••••• H••••• I••••••••• C••••••• L•• CRD 138538 | Boston, MA | independent RIA | $1.3B | 97% | 4 | $330M | 0 | 2 |
| R•••• P••••••• C•••••• M••••••••• L• CRD 172496 | New York, NY | independent RIA | $1.3B | 73% | 0 | Not computed | 0 | 10 |
| W••••••••• A•••• M••••••••• CRD 143360 | Indianapolis, IN | independent RIA | $1.3B | 86% | 8 | $165M | 0 | 0 |
| P••••••••• P••••••• G•••• CRD 108868 | Westerly, RI | independent RIA | $1.3B | 99% | 9 | $146M | 1 | 0 |
| P•••••• C•••••• M••••••••• CRD 105147 | Denver, CO | independent RIA | $1.3B | 100% | 5 | $263M | 0 | 0 |
| S••••• C•••••• L•• CRD 167497 | Chicago, IL | independent RIA | $1.3B | 100% | 0 | Not computed | 0 | 1 |
| C••••••• F•••••••• M••••••••• L•• CRD 175209 | San Francisco, CA | independent RIA | $1.3B | 99% | 10 | $131M | 2 | 0 |
| C•••••• I••••••••• S••••••• O• A•••••• I•• CRD 110639 | Milwaukee, WI | independent RIA | $1.3B | 82% | 9 | $146M | 0 | 0 |
| V••••• N••••••• A••••••• I•• CRD 110788 | Bethlehem, PA | independent RIA | $1.3B | 99% | 13 | $101M | 2 | 0 |
| V••••• C•••••• M••••••••• L•• CRD 167816 | Brentwood, TN | independent RIA | $1.3B | 99% | 92 | $14.2M | 81 | 0 |
| B••••• P••••• F•••••••• A•••••••• L•• CRD 142944 | Clarksdale, MS | independent RIA | $1.3B | 75% | 8 | $164M | 5 | 0 |
| T•••••• W••••• M••••••••• L•• CRD 331098 | Charlotte, NC | independent RIA | $1.3B | 95% | 4 | $327M | 2 | 0 |
| B••••• F•••••••• G•••• CRD 110038 | Dallas, TX | independent RIA | $1.3B | 100% | 8 | $163M | 0 | 0 |
| M•••••• P••••••• CRD 305824 | M••••••, WI | independent RIA | $1.3B | 96% | 40 | $32.6M | 26 | 0 |
| S•••••••• I••••••••• P•••••••• L•• CRD 311790 | independent RIA | $1.3B | 65% | 2 | $650M | 2 | 0 | |
| S•••••• A•••• M••••••••• L•• CRD 117201 | Vancouver, WA | independent RIA | $1.3B | 55% | 10 | $130M | 8 | 1 |
| B••••• A••••••• I•• CRD 110522 | Jackson, MS | mixed wealth | $1.3B | 49% | 8 | $162M | 0 | 0 |
| B•••••• I••••••••• M••••••••• L•• CRD 108922 | West Conshohocken, PA | independent RIA | $1.3B | 91% | 3 | $432M | 1 | 0 |
| P••••••• I••••••••• L•• CRD 142910 | East Syracuse, NY | BD affiliated | $1.3B | 99% | 57 | $22.7M | 13 | 0 |
| B••••• I••••••••• A••••••• L•• CRD 130105 | Milford, PA | independent RIA | $1.3B | 85% | 12 | $108M | 2 | 0 |
| W•••••••• C••••••••• CRD 110662 | Boston, MA | independent RIA | $1.3B | 94% | 8 | $161M | 0 | 0 |
| S••••••••• A•••• M••••••••• L•• CRD 282103 | Westlake, TX | independent RIA | $1.3B | 99% | 22 | $58.7M | 4 | 0 |
| T••••••• W••••• M••••••••• CRD 148156 | Raleigh, NC | independent RIA | $1.3B | 98% | 10 | $129M | 0 | 0 |
| A•••• I••••••••• A••••••• CRD 111077 | Winston Salem, NC | independent RIA | $1.3B | 97% | 5 | $258M | 0 | 0 |
| S•••••• V••••• C•••••• P•••••••• L••• CRD 125114 | San Jose, CA | independent RIA | $1.3B | 97% | 5 | $258M | 0 | 0 |
| C•••• C•••••• M••••••••• L•• CRD 164971 | Richmond, VA | independent RIA | $1.3B | 82% | 7 | $183M | 0 | 7 |
| I••• W••••• A•••••••• L•• CRD 168674 | West Palm Beach, FL | independent RIA | $1.3B | 97% | 8 | $161M | 2 | 0 |
| B••••• P•••••••• L•• CRD 146511 | Miami, FL | independent RIA | $1.3B | 100% | 5 | $256M | 0 | 1 |
| P•••••• C•••••• A•••••••• I••• CRD 125771 | Darien, CT | independent RIA | $1.3B | 96% | 2 | $641M | 1 | 0 |
| C•••••• I••••••• S••••••• I•• CRD 106993 | Wyomissing, PA | independent RIA | $1.3B | 68% | 10 | $128M | 0 | 0 |
| N•••••• C•••••• G••••• L•• CRD 144442 | Red Bank, NJ | mixed wealth | $1.3B | 30% | 10 | $128M | 0 | 1 |
| A••••••• F•••••••• A••••••• I•• CRD 108530 | Winter Park, FL | independent RIA | $1.3B | 100% | 6 | $213M | 2 | 0 |
| M••••••• P••••••• L•• CRD 135414 | Cleveland, OH | independent RIA | $1.3B | 76% | 23 | $55.6M | 3 | 4 |
| B••••••• C•••••• M••••••••• L•• CRD 108054 | Darien, CT | independent RIA | $1.3B | 94% | 3 | $426M | 0 | 0 |
| C•••••• A••••••••• I••• CRD 108985 | Walnut Creek, CA | independent RIA | $1.3B | 100% | 8 | $160M | 1 | 0 |
| P••••••• F•••••••• A•••••••• L•• CRD 156369 | Evansville, IN | independent RIA | $1.3B | 84% | 8 | $159M | 1 | 0 |
| P••• W••••••• I••• CRD 119342 | Goodlettsville, TN | independent RIA | $1.3B | 98% | 12 | $106M | 10 | 0 |
| U•••• F•••••••• A••••••• C••••••••• CRD 110057 | Chicago, IL | independent RIA | $1.3B | 96% | 3 | $425M | 0 | 0 |
| K•• W••••• A••••••• CRD 117935 | Springfield, IL | independent RIA | $1.3B | 98% | 14 | $91.0M | 1 | 0 |
| A••••••••• F•••••• • M••••• I••• CRD 107347 | Washington, DC | independent RIA | $1.3B | 99% | 11 | $116M | 0 | 0 |
| L• A•••• M••••••••• L•• CRD 172688 | mixed wealth | $1.3B | 32% | 2 | $635M | 1 | 2 | |
| F•••••••• C••••••• L•• CRD 110748 | Towson, MD | independent RIA | $1.3B | 100% | 6 | $212M | 0 | 0 |
| A••• W•••••• L•• CRD 174765 | Portsmouth, NH | independent RIA | $1.3B | 89% | 12 | $106M | 6 | 0 |
| B••••• C•••••• M••••••••• L•• CRD 156228 | Franklin, TN | independent RIA | $1.3B | 99% | 17 | $74.7M | 3 | 0 |
| K••••••••• CRD 341175 | Singapore, | independent RIA | $1.3B | 99% | 0 | Not computed | 4 | 0 |
| P••••••• A•••• M••••••••• L•• CRD 136089 | Minneapolis, MN | independent RIA | $1.3B | 94% | 6 | $211M | 0 | 0 |
| P••• R• R••• F•••••••• G••••• L•• CRD 297284 | Bellevue, WA | independent RIA | $1.3B | 100% | 9 | $141M | 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.