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 |
|---|---|---|---|---|---|---|---|---|
| Isto Advisors, LLC CRD 284560 | Troy, MI | independent RIA | $1.1B | 97% | 11 | $96.8M | 1 | 0 |
| Uptick Partners, LLC CRD 324250 | Nacogdoches, TX | independent RIA | $1.1B | 100% | 17 | $62.5M | 8 | 0 |
| Schnieders Capital Management, LLC. CRD 120952 | Pasadena, CA | independent RIA | $1.1B | 91% | 4 | $265M | 1 | 0 |
| V••••• P••••••• W••••• A••••••• CRD 290565 | Fort Wayne, IN | independent RIA | $1.1B | 98% | 22 | $48.2M | 8 | 0 |
| M•••••• W••••• M••••••••• CRD 296271 | Wakefield, RI | independent RIA | $1.1B | 97% | 3 | $354M | 0 | 0 |
| H••••• • D•••••• I••••••••• M••••••••• CRD 108045 | Burlington, VT | independent RIA | $1.1B | 94% | 10 | $106M | 8 | 0 |
| T•••• L•• CRD 298714 | San Juan, PR | independent RIA | $1.1B | 100% | 9 | $118M | 13 | 0 |
| E••••• P••••••• A•••• M••••••••• L•••••• CRD 160376 | London, | independent RIA | $1.1B | 65% | 0 | Not computed | 1 | 1 |
| F••••••• C•••••• M••••••••• L•• CRD 313573 | Oklahoma City, OK | independent RIA | $1.1B | 82% | 7 | $151M | 0 | 0 |
| C•••••••• F•••••••• P••••••• CRD 286168 | Radnor, PA | independent RIA | $1.1B | 89% | 6 | $176M | 0 | 0 |
| B•• F•••••••• A••••••• CRD 17530 | Tulsa, OK | BD affiliated | $1.1B | 95% | 140 | $7.6M | 114 | 0 |
| B••• F•••••••• G•••• CRD 289889 | San Francisco, CA | independent RIA | $1.1B | 100% | 15 | $70.5M | 3 | 0 |
| W••••••••• CRD 143996 | independent RIA | $1.1B | 96% | 7 | $151M | 6 | 0 | |
| S•••••• A•••• M••••••••• L•• CRD 148194 | Houston, TX | independent RIA | $1.1B | 88% | 2 | $528M | 1 | 0 |
| F••• W••••• A•••••••• L•• CRD 326519 | Lake Geneva, WI | independent RIA | $1.1B | 94% | 8 | $132M | 1 | 0 |
| S•••• • R••••••• I•• CRD 107999 | Overland Park, KS | independent RIA | $1.1B | 98% | 6 | $176M | 1 | 0 |
| A••••••••• C•••••• M••••••••• I••• CRD 151590 | Pittsford, NY | independent RIA | $1.1B | 85% | 6 | $176M | 0 | 0 |
| G•••••• A•••• M••••••••• L•• CRD 104548 | New York, NY | independent RIA | $1.1B | 65% | 4 | $264M | 4 | 0 |
| D•• C•••••• M••••••••• CRD 281938 | Jersey City, NJ | independent RIA | $1.1B | 100% | 1 | $1.1B | 1 | 0 |
| G•••••••• F•••••••• G••••• L•• CRD 222520 | Oakbrook Terrace, IL | independent RIA | $1.1B | 100% | 17 | $62.0M | 16 | 0 |
| G• F•••••••• G••••• L•• CRD 172370 | Tucson, AZ | independent RIA | $1.1B | 99% | 7 | $150M | 0 | 0 |
| J•••••• P•••••• W••••• M••••••••• I••• CRD 109040 | Milton, GA | independent RIA | $1.1B | 91% | 4 | $263M | 0 | 0 |
| F•••••••• A•••••••• L•• CRD 116978 | Lancaster, PA | independent RIA | $1.1B | 96% | 18 | $58.5M | 6 | 0 |
| S••••••• F•••••••• G••••• L•• CRD 142644 | Birmingham, AL | independent RIA | $1.1B | 100% | 4 | $263M | 0 | 0 |
| C•••• CRD 110593 | Glenview, IL | independent RIA | $1.0B | 100% | 11 | $95.4M | 6 | 0 |
| S•••••• • N•••••• L•• CRD 309757 | Eugene, OR | independent RIA | $1.0B | 93% | 4 | $262M | 0 | 0 |
| Q• G••••• F••••• O••••••• L•• CRD 294879 | Greenwich, CT | independent RIA | $1.0B | 89% | 0 | Not computed | 2 | 0 |
| M••••••• L•• CRD 333038 | New York, NY | independent RIA | $1.0B | 100% | 10 | $105M | 0 | 0 |
| B•••• E•••• A•••• M••••••••• L•• CRD 121802 | Vancouver, WA | independent RIA | $1.0B | 97% | 5 | $209M | 0 | 0 |
| M•••••• F•••••••• A•••••••• L•• CRD 111819 | Fremont, CA | independent RIA | $1.0B | 89% | 17 | $61.6M | 3 | 0 |
| B••••••••• F•••••••• S•••••••• CRD 325485 | Phoenix, AZ | independent RIA | $1.0B | 87% | 13 | $80.5M | 7 | 0 |
| W••••• C••••••••• G••••• L•• CRD 287895 | Huntington Beach, CA | independent RIA | $1.0B | 96% | 4 | $262M | 0 | 0 |
| H••• P••••••••• A•••••••• L•• CRD 289541 | Pittsford, NY | independent RIA | $1.0B | 85% | 8 | $131M | 3 | 0 |
| M••••••••• F•••••••• I•• CRD 106071 | Westlake Village, CA | independent RIA | $1.0B | 98% | 11 | $95.1M | 2 | 0 |
| T•••• B••••• W••••• A••••••• CRD 150460 | Los Altos, CA | independent RIA | $1.0B | 100% | 2 | $523M | 0 | 0 |
| M••••• W•••••• L•• CRD 335291 | Montgomery, AL | independent RIA | $1.0B | 62% | 5 | $209M | 0 | 0 |
| P•••••• F•••••••• A••••••• CRD 143721 | College Station, TX | independent RIA | $1.0B | 91% | 12 | $87.1M | 0 | 0 |
| R•• I••••••••• A•••••••• L•• CRD 172173 | Pleasanton, CA | independent RIA | $1.0B | 100% | 2 | $522M | 0 | 0 |
| F•••••• I••••••••• A••••••• L•• CRD 174342 | Aventura, FL | independent RIA | $1.0B | 100% | 0 | Not computed | 1 | 0 |
| R•• O•• F•••••••• G•••• CRD 166912 | Towson, MD | independent RIA | $1.0B | 59% | 7 | $149M | 0 | 0 |
| V•••••• C•••••• M••••••••• CRD 111410 | Mill Valley, CA | independent RIA | $1.0B | 89% | 0 | Not computed | 0 | 0 |
| A•••• W••••• A••••••• L•• CRD 144481 | independent RIA | $1.0B | 95% | 8 | $130M | 2 | 1 | |
| M•• W••••• A••••••• CRD 104926 | Holland, OH | independent RIA | $1.0B | 95% | 15 | $69.2M | 12 | 0 |
| W•••••••• P•••• P•••••••• L•• CRD 140781 | West Palm Beach, FL | independent RIA | $1.0B | 63% | 4 | $260M | 1 | 0 |
| R••••• W••••• G••••• I••• CRD 107409 | Fort Worth, TX | independent RIA | $1.0B | 90% | 8 | $130M | 0 | 0 |
| R•••••• B•••••••• I••• CRD 16197 | Harmony, PA | independent RIA | $1.0B | 89% | 9 | $115M | 2 | 0 |
| F••••••• F•••••••• G•••• I•• CRD 105003 | West Hartford, CT | independent RIA | $1.0B | 97% | 5 | $207M | 0 | 0 |
| F••• S••••••• A••••••• L•• CRD 151139 | Highland Park, IL | independent RIA | $1.0B | 93% | 8 | $129M | 0 | 1 |
| W•••••• M••• • A••••••••• I•• CRD 107377 | Troy, MI | independent RIA | $1.0B | 97% | 15 | $69.0M | 26 | 0 |
| G•••• A•••• M••••••••• L•• CRD 113098 | Claremont, CA | independent RIA | $1.0B | 96% | 9 | $115M | 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.