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 |
|---|---|---|---|---|---|---|---|---|
| Sterling Investment Counsel, LLC CRD 282624 | Buffalo, NY | independent RIA | $1.0B | 94% | 5 | $207M | 0 | 0 |
| Banyan Tree Asset Management, LLC CRD 168384 | Torrance, CA | independent RIA | $1.0B | 90% | 3 | $344M | 0 | 0 |
| Watts Gwilliam & Company, LLC CRD 131458 | Gilbert, AZ | independent RIA | $1.0B | 95% | 9 | $115M | 0 | 3 |
| B•• A•••• M••••••••• L•• CRD 310632 | Springfield, IL | mixed wealth | $1.0B | 46% | 10 | $103M | 3 | 0 |
| N•••••••• W••••• M••••••••• L•• CRD 152816 | Spencer, IA | independent RIA | $1.0B | 93% | 20 | $51.6M | 11 | 0 |
| W•••••• C••••• F•••••••• A••••••• L•• CRD 160109 | Verona, WI | independent RIA | $1.0B | 99% | 16 | $64.4M | 1 | 0 |
| I•• A•••••••• L•• CRD 172329 | St. Louis, MO | independent RIA | $1.0B | 100% | 7 | $147M | 0 | 0 |
| J••• M•••• • A••••••••• I•• CRD 109791 | Albuquerque, NM | independent RIA | $1.0B | 98% | 5 | $206M | 1 | 0 |
| H••••• I••••••••• C••••••• L•• CRD 110482 | Louisville, KY | independent RIA | $1.0B | 89% | 4 | $257M | 0 | 0 |
| J•••••••• • C••••••• I••• CRD 107835 | Dewitt, NY | independent RIA | $1.0B | 86% | 5 | $205M | 2 | 0 |
| G••• E•••• A•••••••• L•• CRD 282920 | Kingston, NJ | independent RIA | $1.0B | 97% | 12 | $85.5M | 3 | 0 |
| V••••••• A••••••• L•• CRD 284173 | New York, NY | mixed wealth | $1.0B | 34% | 8 | $128M | 0 | 0 |
| C••••••• C•••••• M••••••••• I•• CRD 108076 | Raleigh, NC | independent RIA | $1.0B | 75% | 3 | $342M | 0 | 0 |
| B••• A•• B•••• I••• CRD 300557 | Little Rock, AR | independent RIA | $1.0B | 87% | 7 | $146M | 0 | 0 |
| P••••••• F•••••••• A•••••••• I••• CRD 107653 | Dallas, TX | independent RIA | $1.0B | 97% | 8 | $128M | 0 | 0 |
| A•••• O•••• W••••• M••••••••• L•• CRD 149842 | Richmond, VA | independent RIA | $1.0B | 97% | 9 | $114M | 3 | 0 |
| S••••••••• G•••• L••• CRD 112112 | Berwyn, PA | independent RIA | $1.0B | 72% | 1 | $1.0B | 0 | 1 |
| C•••••• I••••••••• C•••••• I•• CRD 104591 | Raleigh, NC | independent RIA | $1.0B | 89% | 4 | $256M | 0 | 0 |
| P••••••••• W••• • W••••• I••• CRD 106403 | Lynchburg, VA | independent RIA | $1.0B | 91% | 5 | $205M | 0 | 0 |
| G•••••••• I••••••••• P•••••••• I••• CRD 105267 | Columbus, GA | independent RIA | $1.0B | 98% | 3 | $340M | 0 | 0 |
| Z•••• A•••• M••••••••• L•• CRD 165269 | Boston, MA | independent RIA | $1.0B | 58% | 4 | $255M | 0 | 0 |
| A•••• A••••••••• S••••••••• L•• CRD 152339 | Farmington, MI | independent RIA | $1.0B | 70% | 40 | $25.5M | 28 | 0 |
| B••••••••• C•••••• G•••• CRD 321097 | Paramus, NJ | independent RIA | $1.0B | 100% | 4 | $255M | 6 | 0 |
| M••• W••••• CRD 284866 | Plantation, FL | independent RIA | $1.0B | 94% | 7 | $145M | 1 | 1 |
| L•••••• • G•••••• P•••••• W••••• M••••••••• CRD 168831 | Grand Rapids, MI | independent RIA | $1.0B | 95% | 6 | $169M | 1 | 0 |
| S••••••• C•••••• M••••••••• L•• CRD 321742 | Miami, FL | mixed wealth | $1.0B | 49% | 17 | $59.8M | 7 | 0 |
| P•••••••• S••••••••• I•• N• CRD 106942 | Montvale, NJ | independent RIA | $1.0B | 84% | 3 | $339M | 2 | 0 |
| G•• C•••••• CRD 128059 | Miami, FL | mixed wealth | $1.0B | 36% | 1 | $1.0B | 0 | 0 |
| J• S••••••••• L•• CRD 155629 | Gainesville, GA | independent RIA | $1.0B | 94% | 18 | $56.3M | 4 | 0 |
| V•••• P••••••• L•• CRD 301058 | Charlotte, NC | independent RIA | $1.0B | 86% | 16 | $63.4M | 1 | 0 |
| T••••••• F•••••••• A•••••••• L•• CRD 165237 | San Antonio, TX | independent RIA | $1.0B | 99% | 11 | $92.1M | 4 | 0 |
| A••••• I••••••••• C••••••••• CRD 136403 | Carmel, IN | independent RIA | $1.0B | 76% | 78 | $13.0M | 72 | 0 |
| V••••• S•••••••• W••••• P•••••••• L•• CRD 335215 | San Francisco, CA | independent RIA | $1.0B | 100% | 3 | $338M | 2 | 0 |
| N••••••••• G•••• L•• CRD 130982 | Redwood Shores, CA | independent RIA | $1.0B | 92% | 3 | $337M | 0 | 0 |
| V••••• P••••••• CRD 316839 | Downers Grove, IL | independent RIA | $1.0B | 100% | 13 | $77.8M | 1 | 0 |
| N••••• D••••• W••••• CRD 104925 | Richmond, VA | mixed wealth | $1.0B | 42% | 20 | $50.6M | 1 | 0 |
| P••• A•••• M••••••••• L•• CRD 106944 | Louisville, CO | independent RIA | $1.0B | 97% | 14 | $72.2M | 0 | 0 |
| L•••••• I••••••••• M••••••••• C•••••• CRD 334458 | Little Rock, AR | independent RIA | $1.0B | 63% | 3 | $337M | 0 | 0 |
| F•••••• A••••••• CRD 305614 | Sonoma, CA | independent RIA | $1.0B | 68% | 14 | $72.1M | 5 | 0 |
| V•••••• A•••• M••••••••• CRD 137772 | New York, NY | mixed wealth | $1.0B | 48% | 2 | $505M | 1 | 0 |
| T•• N•••••••• G••••• I••• CRD 110409 | New York, NY | independent RIA | $1.0B | 98% | 5 | $202M | 0 | 0 |
| M•••••• C•••••• P••••••• CRD 173764 | Pleasanton, CA | independent RIA | $1.0B | 95% | 9 | $112M | 2 | 0 |
| L••••• F•••••••• G•••• CRD 154927 | Des Moines, IA | independent RIA | $1.0B | 99% | 9 | $112M | 0 | 0 |
| A••• A•••••••• L•• CRD 307450 | Beverly Hills, CA | independent RIA | $1.0B | 93% | 12 | $83.9M | 1 | 0 |
| W••• P•••• A•••••••• I••• CRD 175512 | Atlanta, GA | independent RIA | $1.0B | 99% | 4 | $252M | 0 | 0 |
| G•••• H••• C••••••• L•• CRD 328021 | independent RIA | $1.0B | 100% | 1 | $1.0B | 0 | 0 | |
| E••• C•••• A•••• M••••••••• L•• CRD 147910 | Essex, MA | mixed wealth | $1.0B | 39% | 4 | $252M | 1 | 1 |
| P•• W•••••• C••••••• L•• CRD 137283 | Knoxville, TN | independent RIA | $1.0B | 68% | 9 | $112M | 0 | 0 |
| M•••••• S•••••• W••••• M••••••••• I••• CRD 149830 | Appleton, WI | independent RIA | $1.0B | 97% | 8 | $126M | 2 | 0 |
| C••••• I••••••••• M••••••••• I•• CRD 104716 | Lutherville, MD | mixed wealth | $1.0B | 36% | 7 | $144M | 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.