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 |
|---|---|---|---|---|---|---|---|---|
| Pks Advisory Services, LLC CRD 125648 | Albany, NY | independent RIA | $1.1B | 99% | 46 | $23.8M | 24 | 0 |
| Tanara Wealth Management LLC CRD 340174 | Lehi, UT | independent RIA | $1.1B | 82% | 7 | $156M | 2 | 0 |
| Holt Capital Partners, L.P. CRD 117863 | Fort Worth, TX | independent RIA | $1.1B | 89% | 1 | $1.1B | 0 | 1 |
| L•• CRD 152864 | Lugano - Ticino, | independent RIA | $1.1B | 93% | 1 | $1.1B | 2 | 0 |
| T•• J••••• G•••• C•••••• M••••••••• CRD 165311 | Columbus, OH | independent RIA | $1.1B | 97% | 9 | $121M | 0 | 0 |
| H••••• C•••••• M••••••••• CRD 309050 | Lombard, IL | independent RIA | $1.1B | 69% | 7 | $156M | 1 | 1 |
| F•••••••• C••••••• CRD 157616 | Columbus, MS | independent RIA | $1.1B | 97% | 4 | $272M | 0 | 0 |
| W••••• G•••• CRD 104759 | Glendale, CA | independent RIA | $1.1B | 98% | 6 | $181M | 0 | 0 |
| D•••• F•••••••• S••••••• CRD 107166 | independent RIA | $1.1B | 98% | 6 | $181M | 0 | 0 | |
| I••••••••• I••••••••• C••••••••• L•• CRD 175299 | Bloomfield Hills, MI | independent RIA | $1.1B | 70% | 10 | $108M | 1 | 0 |
| L••••••••• W••••• A••••••• CRD 173310 | Valley View, OH | independent RIA | $1.1B | 87% | 9 | $120M | 5 | 0 |
| K••• W••••• M••••••••• G••••• L•• CRD 159550 | Saratoga Springs, NY | independent RIA | $1.1B | 97% | 9 | $120M | 2 | 0 |
| B••••••• W••••• M••••••••• L••• CRD 155526 | Geneva, | independent RIA | $1.1B | 100% | 0 | Not computed | 1 | 0 |
| M•••••• G•••• A•••• M••••••••• I••• CRD 154127 | Dallas, TX | independent RIA | $1.1B | 96% | 7 | $155M | 0 | 0 |
| A••••• W••••• M••••••••• L•• CRD 172793 | A•••••, TX | independent RIA | $1.1B | 58% | 9 | $120M | 0 | 0 |
| F•• C•••••• M••••••••• L•• CRD 117499 | Metairie, LA | independent RIA | $1.1B | 78% | 3 | $361M | 0 | 0 |
| N••• C••••••••• CRD 130814 | Boca Raton, FL | BD affiliated | $1.1B | 95% | 77 | $14.1M | 24 | 0 |
| B•• W••••• A•••••••• I••• CRD 106249 | Canfield, OH | mixed wealth | $1.1B | 39% | 7 | $155M | 0 | 0 |
| S•••••••• F•••••••• G••••• I••• CRD 294314 | Stamford, CT | independent RIA | $1.1B | 98% | 23 | $47.1M | 24 | 0 |
| T•••• CRD 290111 | New York, NY | independent RIA | $1.1B | 100% | 9 | $120M | 0 | 0 |
| C••••• W••••• A••••••• L•• CRD 311261 | Templeton, CA | independent RIA | $1.1B | 55% | 9 | $120M | 1 | 0 |
| T•••••••• C••••••••• L•• CRD 166645 | Pittsburgh, PA | independent RIA | $1.1B | 99% | 4 | $270M | 0 | 0 |
| S••••• A•••• M••••••••• L•• CRD 109606 | Memphis, TN | independent RIA | $1.1B | 91% | 6 | $180M | 1 | 0 |
| G•••••••• A•••••••• L•• CRD 323125 | Madison, WI | independent RIA | $1.1B | 99% | 12 | $89.9M | 0 | 0 |
| C•••••••• W••••• A••••••• CRD 170052 | Newtown Square, PA | independent RIA | $1.1B | 98% | 9 | $120M | 0 | 0 |
| H•••••• W••••• M••••••••• CRD 170255 | La Grange, IL | independent RIA | $1.1B | 96% | 6 | $180M | 1 | 0 |
| B••••••• W••••• A•••••••• L•• CRD 334018 | Bellevue, WA | independent RIA | $1.1B | 100% | 5 | $215M | 1 | 0 |
| S••••••• I••••••••• A••••••• L••• CRD 140710 | Berwyn, PA | independent RIA | $1.1B | 99% | 7 | $154M | 1 | 0 |
| F•••••• C••••••• L•• CRD 145322 | Seattle, WA | independent RIA | $1.1B | 71% | 7 | $154M | 0 | 0 |
| A•• W•••••• L•• CRD 113106 | Thomasville, GA | independent RIA | $1.1B | 81% | 17 | $63.2M | 3 | 0 |
| E••••• • G•••• CRD 154839 | Athens, GA | independent RIA | $1.1B | 100% | 21 | $51.1M | 6 | 0 |
| M•••••• C•••••• M••••••••• L•• CRD 299342 | Lakewood, CO | independent RIA | $1.1B | 97% | 8 | $134M | 1 | 0 |
| A••••••• I••••••••• S••••••• I•• CRD 110043 | Great Barrington, MA | independent RIA | $1.1B | 63% | 6 | $179M | 0 | 0 |
| S•••••••• I••••••••• G••••• L•• CRD 283414 | Newport Beach, CA | independent RIA | $1.1B | 87% | 7 | $153M | 0 | 0 |
| P••••••••• C•••••• A•••••••• L•• CRD 174631 | Charlotte, NC | independent RIA | $1.1B | 99% | 7 | $153M | 0 | 0 |
| O••••••••• A•••• M••••••••• L•• CRD 168650 | Burlingame, CA | independent RIA | $1.1B | 100% | 12 | $89.3M | 4 | 0 |
| H••••••••• I••••••••• I••• CRD 115472 | independent RIA | $1.1B | 92% | 4 | $268M | 0 | 0 | |
| B••••• W••••• P•••••••• I••• CRD 282329 | Scottsdale, AZ | independent RIA | $1.1B | 98% | 27 | $39.6M | 7 | 0 |
| F••••• W••••• M••••••••• L••• CRD 327434 | Brighton, MI | independent RIA | $1.1B | 100% | 52 | $20.6M | 15 | 0 |
| C•••••• W••••• P••••••• CRD 118643 | Abingdon, VA | independent RIA | $1.1B | 95% | 11 | $97.3M | 6 | 0 |
| J•••••• W••••• M••••••••• L•• CRD 147642 | Lake Mary, FL | independent RIA | $1.1B | 100% | 9 | $119M | 1 | 0 |
| A• W••••• P••••••• CRD 326708 | Berwyn, PA | mixed wealth | $1.1B | 34% | 6 | $178M | 0 | 0 |
| Y•••• B••• I••• CRD 143234 | Vienna, VA | independent RIA | $1.1B | 99% | 11 | $97.2M | 1 | 0 |
| P••• M••••••• W••••• M••••••••• G•••• CRD 330050 | Minneapolis, MN | independent RIA | $1.1B | 84% | 10 | $107M | 0 | 0 |
| S•• C•••• A•••••••• L•• CRD 155064 | Mayfield Heights, OH | independent RIA | $1.1B | 98% | 4 | $267M | 0 | 0 |
| R•• I••••••••• A••••••• CRD 104674 | West Hartford, CT | independent RIA | $1.1B | 81% | 7 | $152M | 0 | 0 |
| T•• R••••••••• P••••••••• CRD 327652 | Waterloo, | independent RIA | $1.1B | 82% | 0 | Not computed | 1 | 0 |
| G•••• W••••• M••••••••• L•• CRD 281621 | Alpharetta, GA | independent RIA | $1.1B | 98% | 68 | $15.7M | 127 | 0 |
| N•• A•••• M••••••••• L•• CRD 131534 | Fair Lawn, NJ | BD affiliated | $1.1B | 78% | 52 | $20.5M | 10 | 0 |
| S••••••• I••••••••• A•••••••• I••• CRD 108669 | Mequon, WI | mixed wealth | $1.1B | 46% | 23 | $46.3M | 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.