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 |
|---|---|---|---|---|---|---|---|---|
| Mg Financial LLC CRD 107649 | Braintree, MA | independent RIA | $1.1B | 91% | 3 | $376M | 0 | 21 |
| Meramec Financial Planners, LLC CRD 335112 | Clayton, MO | independent RIA | $1.1B | 83% | 7 | $161M | 0 | 0 |
| Sharkey Howes & Javer Inc CRD 106050 | Denver, CO | independent RIA | $1.1B | 91% | 9 | $125M | 0 | 0 |
| A•••••• C•••••• P••••••• L•• CRD 146597 | Naples, FL | independent RIA | $1.1B | 100% | 6 | $188M | 1 | 0 |
| L••• I••• CRD 124228 | Holland, MI | independent RIA | $1.1B | 97% | 17 | $66.2M | 14 | 0 |
| I•••••• W••••• P••••••• CRD 153635 | Plano, TX | independent RIA | $1.1B | 100% | 16 | $70.3M | 0 | 0 |
| A•••••• C•••••• CRD 144853 | Conshohocken, PA | mixed wealth | $1.1B | 48% | 3 | $375M | 0 | 0 |
| K•••••• B••••••• F•••••••• S•••••••• L••• CRD 138851 | Akron, OH | independent RIA | $1.1B | 90% | 3 | $375M | 0 | 0 |
| C•• L•• CRD 282605 | Long Beach, CA | independent RIA | $1.1B | 98% | 23 | $48.9M | 4 | 0 |
| V•••••• W••••• M••••••••• L•• CRD 152374 | San Mateo, CA | independent RIA | $1.1B | 99% | 6 | $187M | 0 | 0 |
| F•••••••• F•••••••• G••••• L•• CRD 285681 | San Rafael, CA | independent RIA | $1.1B | 100% | 9 | $125M | 4 | 0 |
| C•••••• • C• L•• CRD 108135 | Honolulu, HI | independent RIA | $1.1B | 93% | 8 | $140M | 3 | 0 |
| B••• B••• P•••••• W••••• M••••••••• L•• CRD 134184 | B••• B•••, PA | independent RIA | $1.1B | 99% | 11 | $102M | 2 | 0 |
| O•••••••• M••••••••• C••••••••• CRD 117884 | New York, NY | independent RIA | $1.1B | 52% | 2 | $561M | 1 | 3 |
| A••••••••• W••••• C••••••••• L•• CRD 308410 | Wichita, KS | independent RIA | $1.1B | 83% | 15 | $74.7M | 7 | 0 |
| W••••••••• P••••••• CRD 305026 | Omaha, NE | independent RIA | $1.1B | 96% | 26 | $43.1M | 10 | 0 |
| B••••••• W••••• P•••••••• L•• CRD 324489 | Minnetonka, MN | independent RIA | $1.1B | 99% | 18 | $62.2M | 2 | 0 |
| K••••••••• W••••• M••••••••• CRD 110347 | Newport Beach, CA | independent RIA | $1.1B | 86% | 10 | $112M | 0 | 1 |
| W•••••• I••••••••• C••••••• I•• CRD 104913 | Boston, MA | independent RIA | $1.1B | 91% | 5 | $224M | 0 | 0 |
| F••••••• F••••• O••••• CRD 315653 | Miami, FL | independent RIA | $1.1B | 100% | 4 | $279M | 0 | 0 |
| A•• M•••••• A•••••• M••••••• L•• CRD 162855 | Minneapolis, MN | independent RIA | $1.1B | 58% | 0 | Not computed | 1 | 1 |
| S••••••• F•••••••• M••••••••• I••• CRD 110110 | Centennial, CO | independent RIA | $1.1B | 100% | 8 | $139M | 0 | 0 |
| L••• I••••••••• A•••••••• L•• CRD 111814 | Washington, DC | independent RIA | $1.1B | 81% | 11 | $101M | 1 | 0 |
| L••••••••• F•••••••• A•••••••• I••• CRD 121496 | Red Bank, NJ | independent RIA | $1.1B | 93% | 4 | $278M | 1 | 0 |
| H•• I••••••••• A••••••• I•• CRD 108614 | New Canaan, CT | independent RIA | $1.1B | 100% | 12 | $92.8M | 0 | 0 |
| S•••• B••••••• F••••••••• L•• CRD 322951 | Glastonbury, CT | mixed wealth | $1.1B | 22% | 8 | $139M | 1 | 0 |
| C•••••• A••••••• W••••• M••••••••• CRD 309387 | Yakima, WA | independent RIA | $1.1B | 82% | 6 | $185M | 0 | 0 |
| A••••• M• C•••• • A••••••••• L•• CRD 105894 | Northbrook, IL | independent RIA | $1.1B | 100% | 3 | $371M | 0 | 0 |
| B•••••• P•••• C•••••• CRD 332023 | Richfield, MN | independent RIA | $1.1B | 99% | 6 | $185M | 0 | 0 |
| D••• S••••• A•••• M••••••••• I•• CRD 111163 | Palm Beach, FL | independent RIA | $1.1B | 98% | 3 | $370M | 2 | 0 |
| H••••••• W••••• M••••••••• L•• CRD 292277 | Greenwood Village, CO | independent RIA | $1.1B | 88% | 19 | $58.3M | 1 | 0 |
| L••••• W••••• A•••••••• L•• CRD 118469 | Charlotte, NC | independent RIA | $1.1B | 93% | 6 | $184M | 1 | 0 |
| F•••••••• A••••••• N••••••• I••• CRD 152083 | Tustin, CA | independent RIA | $1.1B | 100% | 13 | $85.1M | 1 | 0 |
| F•••••••• A••••••• C••••••••• CRD 105472 | Grand Rapids, MI | independent RIA | $1.1B | 54% | 9 | $123M | 0 | 0 |
| R•••••••• C•••••• A•••••••• L•• CRD 157117 | Chicago, IL | independent RIA | $1.1B | 100% | 3 | $368M | 0 | 0 |
| B••••••• C•••••• P•••••••• L•• CRD 281082 | Milton, GA | independent RIA | $1.1B | 69% | 8 | $138M | 5 | 8 |
| T•• C••••• G•••• CRD 310163 | Houston, TX | independent RIA | $1.1B | 100% | 9 | $123M | 3 | 0 |
| I•••••••• A••••••• S•••••••• CRD 288817 | Dallas, TX | independent RIA | $1.1B | 97% | 128 | $8.6M | 100 | 0 |
| C•••••• A••••••• S•••••••• L•• CRD 156549 | Dallas, TX | independent RIA | $1.1B | 100% | 84 | $13.1M | 24 | 0 |
| N•••••••• • A••••••••• I•• CRD 107568 | Reno, NV | independent RIA | $1.1B | 98% | 12 | $91.8M | 0 | 0 |
| S• A•••••••• L•• CRD 154680 | Atlanta, GA | independent RIA | $1.1B | 58% | 36 | $30.6M | 29 | 0 |
| M••••••••• P•••••••• M••••••••• G••••• L•• CRD 129963 | Wayzata, MN | independent RIA | $1.1B | 87% | 3 | $367M | 0 | 0 |
| C•••• C•••••• CRD 339112 | Chicago, IL | independent RIA | $1.1B | 99% | 7 | $157M | 3 | 0 |
| E•••••• A•••••••• L•• CRD 165205 | Austin, TX | independent RIA | $1.1B | 92% | 3 | $367M | 1 | 0 |
| B•••• J• V• • C• CRD 106644 | Colorado Springs, CO | independent RIA | $1.1B | 82% | 1 | $1.1B | 0 | 0 |
| S•••• H••••• F•••••••• CRD 289725 | Westwood, MA | independent RIA | $1.1B | 100% | 7 | $157M | 0 | 0 |
| A•••• C••••••••• G••••• L•• CRD 107574 | Clayton, MO | mixed wealth | $1.1B | 45% | 19 | $57.7M | 0 | 0 |
| F•••••••• C•••••••• CRD 106898 | Hunt Valley, MD | independent RIA | $1.1B | 99% | 13 | $84.3M | 13 | 0 |
| N•••• O•• C•••••• M••••••••• L•• CRD 106030 | Greenwich, CT | independent RIA | $1.1B | 68% | 5 | $219M | 0 | 1 |
| T••••••• C•••••• M••••••••• I••• CRD 169863 | Laguna Hills, CA | mixed wealth | $1.1B | 26% | 7 | $156M | 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.