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 |
|---|---|---|---|---|---|---|---|---|
| Straightline CRD 127401 | Troy, MI | independent RIA | $1.2B | 100% | 10 | $117M | 3 | 0 |
| Associated Investment Services, Inc. CRD 1464 | Green Bay, WI | independent RIA | $1.2B | 100% | 42 | $27.8M | 35 | 0 |
| Allegiant Wealth Advisors, LLC CRD 330239 | Tulsa, OK | independent RIA | $1.2B | 82% | 2 | $584M | 0 | 0 |
| W••••••• L•• CRD 145467 | Fort Worth, TX | independent RIA | $1.2B | 89% | 14 | $83.4M | 8 | 0 |
| W•••••• • C• A•••• M••••••••• G•••• I•• CRD 108199 | Bermuda Run, NC | independent RIA | $1.2B | 94% | 5 | $233M | 0 | 0 |
| O•••••• C••••••• I•• CRD 109993 | Milwaukee, WI | independent RIA | $1.2B | 99% | 14 | $83.4M | 1 | 0 |
| F•••••••• P••••••••• CRD 135549 | Minneapolis, MN | independent RIA | $1.2B | 99% | 14 | $83.4M | 3 | 0 |
| B••••• I••••••••• M••••••••• CRD 106548 | Riverside, CT | independent RIA | $1.2B | 96% | 5 | $233M | 0 | 0 |
| W••• S•••• F•••••••• G•••• CRD 146608 | Sandusky, OH | independent RIA | $1.2B | 100% | 11 | $106M | 3 | 0 |
| M•••••••• W••• A•••• M••••••••• L•• CRD 283630 | Los Angeles, CA | independent RIA | $1.2B | 53% | 10 | $116M | 0 | 53 |
| L• • S• A•••••••• I•• CRD 140923 | Los Angeles, CA | independent RIA | $1.2B | 80% | 12 | $96.9M | 2 | 0 |
| A••••••• W••••• M••••••••• L••• CRD 164038 | Zurich, | independent RIA | $1.2B | 76% | 0 | Not computed | 0 | 0 |
| F••••• C•••••• M••••••••• L•• CRD 172198 | Bellevue, WA | independent RIA | $1.2B | 85% | 15 | $77.4M | 1 | 2 |
| R••••• C•••••••• A•••• M••••••••• I•• CRD 161648 | Syracuse, NY | independent RIA | $1.2B | 78% | 5 | $232M | 0 | 0 |
| N•• A•••• M••••••••• L•• CRD 111062 | Charleston, WV | independent RIA | $1.2B | 86% | 5 | $232M | 0 | 0 |
| L••• S••••• CRD 296761 | Chicago, IL | independent RIA | $1.2B | 87% | 6 | $193M | 2 | 0 |
| A•••••• C•••••• M••••••••• CRD 105008 | Waco, TX | independent RIA | $1.2B | 96% | 6 | $193M | 0 | 0 |
| F•••••• F•••••••• A•••••••• L•• CRD 106649 | Columbus, OH | independent RIA | $1.2B | 94% | 11 | $105M | 0 | 0 |
| A••••• W••••• A••••••• CRD 172151 | Anchorage, AK | independent RIA | $1.2B | 97% | 13 | $88.9M | 0 | 0 |
| K••••••••• W••••• M••••••••• L•• CRD 168787 | Shawano, WI | independent RIA | $1.2B | 51% | 16 | $72.2M | 6 | 0 |
| J••••• • C••••••• L•• CRD 107674 | San Francisco, CA | independent RIA | $1.2B | 98% | 0 | Not computed | 0 | 0 |
| T•••• V••• P•••••• W••••• CRD 335591 | Westport, CT | independent RIA | $1.2B | 100% | 7 | $165M | 0 | 0 |
| A•••• G••••• A•••••••• L•• CRD 287466 | Houston, TX | independent RIA | $1.2B | 89% | 11 | $105M | 1 | 0 |
| T••• F•••••••• A••••••• C••• CRD 104952 | Leesburg, VA | independent RIA | $1.2B | 94% | 10 | $115M | 0 | 1 |
| V••••• A•••• M••••••••• CRD 158667 | Durham, NC | independent RIA | $1.2B | 73% | 53 | $21.8M | 10 | 0 |
| C••••••••• F•••••••• G•••• CRD 325310 | Shelbyville, IN | independent RIA | $1.2B | 88% | 10 | $115M | 3 | 0 |
| C••••• W••••• M••••••••• CRD 297717 | Middleton, WI | independent RIA | $1.2B | 99% | 10 | $115M | 3 | 0 |
| L••••••• W••••• M••••••••• CRD 136214 | Atlanta, GA | independent RIA | $1.2B | 100% | 13 | $88.7M | 2 | 0 |
| K••••••• F•••••••• A•••••••• L•• CRD 126021 | New York, NY | independent RIA | $1.2B | 99% | 4 | $288M | 1 | 0 |
| K•••••• F•••••••• G•••• CRD 128606 | Granger, IN | independent RIA | $1.2B | 92% | 49 | $23.5M | 4 | 0 |
| A•• C•••••• P••••••• L•• CRD 318038 | Hollywood, FL | independent RIA | $1.1B | 100% | 1 | $1.1B | 0 | 0 |
| A•••• C•••••• A••••••• I••• CRD 127036 | San Francisco, CA | independent RIA | $1.1B | 92% | 8 | $144M | 0 | 0 |
| A•••• W••••• M••••••••• CRD 286201 | Waverly, IA | independent RIA | $1.1B | 57% | 10 | $115M | 3 | 0 |
| F•••••••• P••••••• G••••• I••• CRD 288644 | Overland Park, KS | independent RIA | $1.1B | 99% | 9 | $127M | 0 | 0 |
| E•• A••••••• L•• CRD 334861 | independent RIA | $1.1B | 100% | 2 | $572M | 0 | 0 | |
| I••••••• C•••••• P•••••••• L•• CRD 168892 | Omaha, NE | mixed wealth | $1.1B | 20% | 5 | $229M | 1 | 0 |
| M••• A•••• M••••••••• L• CRD 105691 | New York, NY | mixed wealth | $1.1B | 38% | 0 | Not computed | 0 | 2 |
| E••••••• C•••••• M••••••••• CRD 127616 | Sioux Falls, SD | independent RIA | $1.1B | 90% | 10 | $114M | 0 | 2 |
| F•• F•••••••• A•••••••• L•• CRD 168005 | Indianapolis, IN | independent RIA | $1.1B | 97% | 9 | $127M | 0 | 3 |
| W••••••••• W••••• I••• CRD 173220 | Overland Park, KS | independent RIA | $1.1B | 95% | 10 | $114M | 1 | 0 |
| F••••••••• R••••••• M••••••••• I••• CRD 116359 | Little Rock, AR | independent RIA | $1.1B | 69% | 5 | $228M | 0 | 0 |
| G••••••• W••••• S••••••••• L•• CRD 167485 | Minneapols, MN | independent RIA | $1.1B | 97% | 5 | $228M | 2 | 0 |
| C•••••• W••••• M••••••••• L•• CRD 157959 | West Warwick, RI | independent RIA | $1.1B | 68% | 12 | $94.8M | 0 | 0 |
| I••••• P••••••• L•• CRD 289797 | San Clemente, CA | independent RIA | $1.1B | 99% | 25 | $45.5M | 7 | 2 |
| S•••• C•••••• L•• CRD 159461 | San Francisco, CA | mixed wealth | $1.1B | 38% | 0 | Not computed | 0 | 4 |
| O•• H•••••• I••••••••• S••••••• CRD 173293 | Houston, TX | independent RIA | $1.1B | 90% | 19 | $59.8M | 0 | 0 |
| P•••••••• I••••••••• M••••••••• I••• CRD 106976 | Novi, MI | independent RIA | $1.1B | 98% | 4 | $283M | 0 | 0 |
| S•••• C•••••• A•••••••• L•• CRD 307980 | Portland, OR | mixed wealth | $1.1B | 29% | 6 | $189M | 0 | 0 |
| E••••••• CRD 175476 | New York, NY | independent RIA | $1.1B | 97% | 13 | $87.0M | 12 | 0 |
| T•• K•••• G•••• CRD 310140 | Bel Air, MD | independent RIA | $1.1B | 93% | 15 | $75.4M | 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.