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.
9,811 advisers match
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Premier Path Wealth Partners, LLC CRD 325300 | Madison, NJ | independent RIA | $1.2B | 98% | 6 | $204M | 0 | 1 |
| Parkway Wealth Management Group, LLC CRD 333971 | Plano, TX | independent RIA | $1.2B | 97% | 18 | $67.9M | 4 | 0 |
| Element Pointe Family Office CRD 282750 | Miami, FL | independent RIA | $1.2B | 100% | 9 | $135M | 0 | 1 |
| C•••• W••••• M••••••••• CRD 107327 | Beverly, MA | independent RIA | $1.2B | 98% | 9 | $135M | 0 | 0 |
| P•••••••• L•• CRD 107794 | Louisville, KY | independent RIA | $1.2B | 88% | 5 | $244M | 0 | 1 |
| I••••••••• A••••••• G•••• L•• CRD 109445 | Sarasota, FL | independent RIA | $1.2B | 100% | 5 | $243M | 1 | 0 |
| S•••••• O• A••••• W••••• M••••••••• CRD 310448 | New York, NY | independent RIA | $1.2B | 100% | 10 | $122M | 2 | 0 |
| D• G••••• F•••••••• G••••• L•• CRD 168178 | Thousand Oaks, CA | independent RIA | $1.2B | 73% | 2 | $608M | 1 | 0 |
| W••• P•••••• C••••• A•••••••• L•• CRD 286319 | Florham Park, NJ | independent RIA | $1.2B | 100% | 7 | $174M | 1 | 0 |
| F•••••• C•••••• G•••• L•• CRD 156737 | Nashville, TN | independent RIA | $1.2B | 84% | 8 | $152M | 0 | 0 |
| A•• W••••• A•••••••• L•• CRD 147351 | Scottsdale, AZ | independent RIA | $1.2B | 98% | 14 | $86.6M | 0 | 0 |
| F••••• N•••• F•••••• D•••••• C•••••• M••••••••• I••• CRD 140444 | Washington, DC | independent RIA | $1.2B | 99% | 3 | $404M | 0 | 0 |
| J•••• I••••••••• R••••••• I•• CRD 110433 | Xenia, OH | mixed wealth | $1.2B | 47% | 8 | $151M | 0 | 0 |
| H••••••• P•••• I••••••••• A•••••••• L•• CRD 144534 | Chapel Hill, NC | independent RIA | $1.2B | 75% | 7 | $173M | 1 | 0 |
| S••••••• B•••• C•••••• M••••••••• I•• CRD 105004 | Springfield, MA | independent RIA | $1.2B | 51% | 4 | $302M | 0 | 1 |
| C•••••• O••••••• F•••••••• G•••• CRD 333344 | Oak Brook, IL | independent RIA | $1.2B | 92% | 10 | $121M | 1 | 0 |
| V•• C•••• A•••• M••••••••• I•• CRD 105768 | Beachwood, OH | independent RIA | $1.2B | 100% | 5 | $242M | 0 | 0 |
| C•••••••• C•••••• A•••••••• L•• CRD 310277 | Houston, TX | independent RIA | $1.2B | 78% | 4 | $301M | 0 | 0 |
| A••••• W••••• M••••••••• L•• CRD 141504 | Las Vegas, NV | independent RIA | $1.2B | 82% | 11 | $109M | 2 | 0 |
| C••••••• A•••• M••••••••• L••••• CRD 124174 | Ann Arbor, MI | independent RIA | $1.2B | 85% | 5 | $240M | 0 | 0 |
| A••••• L••• A•••••••• L•• CRD 173624 | Houston, TX | independent RIA | $1.2B | 64% | 4 | $300M | 0 | 13 |
| C•••• M••••••• A•••••••• L•• CRD 140339 | Lake Oswego, OR | independent RIA | $1.2B | 68% | 6 | $200M | 2 | 0 |
| B•• N•••••• B•••• S••••••••• L••• CRD 281337 | Toronto, Ontario, | BD affiliated | $1.2B | 100% | 35 | $34.2M | 49 | 0 |
| B•••• S••••• S•••••• F•••••••• A•••••••• L•• CRD 126767 | Boca Raton, FL | independent RIA | $1.2B | 97% | 8 | $150M | 0 | 0 |
| C•••••• W••••• A••••••• CRD 296985 | San Diego, CA | independent RIA | $1.2B | 98% | 18 | $66.4M | 3 | 0 |
| R•••••• Y•••• A••••••• CRD 126124 | Augusta, GA | independent RIA | $1.2B | 99% | 8 | $149M | 1 | 0 |
| M•••••••• L•• CRD 304078 | Miami, FL | mixed wealth | $1.2B | 47% | 2 | $596M | 0 | 0 |
| T••••• F•••••••• A••••••• CRD 104711 | Plantation, FL | independent RIA | $1.2B | 93% | 8 | $149M | 5 | 0 |
| M••••• P•••••••• L•• CRD 332691 | San Francisco, CA | independent RIA | $1.2B | 77% | 4 | $297M | 0 | 0 |
| A•••• W••••• A••••••• CRD 161077 | Bellevue, WA | independent RIA | $1.2B | 100% | 16 | $74.2M | 1 | 0 |
| A••••• G••••• P••••••• L•• CRD 312063 | independent RIA | $1.2B | 96% | 3 | $396M | 1 | 0 | |
| F••••••• F•••••••• A•••••••• L•• CRD 173011 | Raleigh, NC | independent RIA | $1.2B | 96% | 31 | $38.3M | 14 | 0 |
| T••••• L•• CRD 160321 | Knoxville, TN | independent RIA | $1.2B | 98% | 25 | $47.4M | 28 | 0 |
| C•••••••• W••••• M••••••••• L•• CRD 289004 | Houston, TX | mixed wealth | $1.2B | 27% | 5 | $237M | 0 | 0 |
| S••••• H••• L•• CRD 174210 | Denver, CO | independent RIA | $1.2B | 81% | 4 | $296M | 0 | 5 |
| T••••••••• W••••• M••••••••• CRD 314816 | Carmel By The Sea, CA | independent RIA | $1.2B | 91% | 37 | $32.0M | 23 | 0 |
| T•• A•••• M••••••••• L•• CRD 286037 | Upper Arlington, OH | independent RIA | $1.2B | 100% | 25 | $47.3M | 13 | 0 |
| V•••• F•••••••• P••••••• CRD 106744 | Richmond, VA | independent RIA | $1.2B | 100% | 12 | $98.5M | 1 | 0 |
| C••••••••• A•••••••• L•• CRD 124122 | Victor, NY | independent RIA | $1.2B | 97% | 9 | $131M | 0 | 0 |
| S••••• F•••••••• CRD 142640 | Springfield, IL | independent RIA | $1.2B | 94% | 21 | $56.2M | 10 | 0 |
| E•••••••• W••••• CRD 168998 | Springfield, IL | independent RIA | $1.2B | 51% | 6 | $197M | 1 | 0 |
| C••••••• W••••• A••••••• L•• CRD 330057 | Denver, CO | independent RIA | $1.2B | 99% | 15 | $78.6M | 3 | 0 |
| D•••••• P•••••• W•••••• I••• CRD 112778 | Beaver, PA | independent RIA | $1.2B | 96% | 8 | $147M | 6 | 0 |
| D•••••••• CRD 104964 | Indianapolis, IN | independent RIA | $1.2B | 96% | 7 | $168M | 7 | 0 |
| S••••• F•••••••• M••••••••• L•• CRD 105310 | Parsippany, NJ | independent RIA | $1.2B | 94% | 12 | $98.0M | 5 | 0 |
| K••••• A•• A••••••••• L•• CRD 157449 | independent RIA | $1.2B | 67% | 0 | Not computed | 0 | 0 | |
| P••••••• G••••• A••••••• L•• CRD 109127 | P•••••••, ME | independent RIA | $1.2B | 96% | 11 | $107M | 0 | 0 |
| B•••• A•••• M••••••••• G••••• I••• CRD 106162 | Chesterfield, MO | independent RIA | $1.2B | 97% | 15 | $78.3M | 1 | 0 |
| W••••••••• S•••••• C•••••• M••••••••• L•• CRD 150529 | New York, NY | independent RIA | $1.2B | 75% | 12 | $97.8M | 1 | 0 |
| C•••••• V•••• M••••••••• L•• CRD 166291 | Beverly Hills, CA | independent RIA | $1.2B | 96% | 8 | $146M | 5 | 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.