DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Firms
SEC-registered investment advisers
One 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.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| New Edge Wealth CRD 307771 | Stamford, CT | BD affiliated | $20B | 95% | 142 | $140M | 18 | 0 |
| Rwa Wealth Partners CRD 156984 | Boston, MA | independent RIA | $20B | 93% | 73 | $271M | 5 | 0 |
| O'Shaughnessy Asset Management, LLC CRD 144594 | Stamford, CT | independent RIA | $20B | 81% | 58 | $341M | 0 | 0 |
| P••• A••••• S••••••••• L•• CRD 46173 | New York, NY | BD affiliated | $20B | 95% | 1,911 | $10.2M | 543 | 0 |
| C•••••• L•• CRD 111221 | Rockford, IL | independent RIA | $19B | 93% | 146 | $131M | 33 | 0 |
| B••••••• A•••• M••••••••• L••• CRD 114317 | Toronto, Ontario, | independent RIA | $19B | 53% | 1 | $19B | 2 | 5 |
| B••••••• F• E•••••• • C••••••• I••••••••• CRD 146936 | St. Louis, MO | BD affiliated | $19B | 95% | 513 | $36.9M | 100 | 0 |
| B••••••• J•••• L•• CRD 108601 | Seattle, WA | independent RIA | $19B | 94% | 160 | $118M | 33 | 5 |
| C•••••••• I••••••••• G•••• L•• CRD 147417 | New York, NY | mixed wealth | $19B | 28% | 1 | $19B | 2 | 22 |
| T••••••••• R••••••••• A•••••••• L•• CRD 107319 | Cedar Rapids, IA | BD affiliated | $19B | 93% | 305 | $61.7M | 173 | 0 |
| S•••••• W••••• P•••••••• L•• CRD 153184 | Beachwood, OH | BD affiliated | $19B | 94% | 386 | $48.3M | 170 | 0 |
| C••••••••• F•••••••• M••••••••• L•• CRD 159641 | Los Gatos, CA | independent RIA | $19B | 93% | 0 | n/a | 0 | 0 |
| K•••• A•••••••• A•••• M••••••• L•••••• CRD 317952 | Mumbai, | mixed wealth | $19B | 37% | 2 | $9.3B | 3 | 5 |
| A••••••••• L•• CRD 146720 | Los Angeles, CA | independent RIA | $18B | 93% | 73 | $247M | 9 | 0 |
| S••••••• CRD 3496 | Little Rock, AR | BD affiliated | $18B | 79% | 244 | $74.0M | 20 | 0 |
| W• F••••• O•••••• CRD 109869 | Coral Gables, FL | independent RIA | $18B | 100% | 27 | $657M | 1 | 0 |
| M••••• W••••• M••••••••• L•• CRD 155649 | Westwood, NJ | independent RIA | $18B | 92% | 135 | $131M | 30 | 0 |
| G•••••••• M••••••••• L•• CRD 148222 | Chicago, IL | independent RIA | $18B | 95% | 19 | $925M | 1 | 0 |
| E•••••••• P•••••••• S••••••••• I••• CRD 109662 | Berwyn, PA | independent RIA | $17B | 98% | 3 | $5.8B | 1 | 0 |
| E•••• A••••••• CRD 300856 | Los Angeles, CA | independent RIA | $17B | 70% | 0 | n/a | 4 | 23 |
| F•••• C•••••• I••• CRD 113638 | New York, NY | mixed wealth | $17B | 34% | 6 | $2.9B | 2 | 5 |
| C•••••• W••••• P•••••••• L•• CRD 150764 | Naples, FL | independent RIA | $17B | 56% | 11 | $1.6B | 1 | 0 |
| I••••••••• A•••••• A•••••••• L•• CRD 168267 | Charlotte, NC | independent RIA | $17B | 95% | 303 | $56.9M | 140 | 0 |
| M•••••• • N••••• A•••••••• L•• CRD 105992 | Fairport, NY | mixed wealth | $17B | 34% | 42 | $405M | 4 | 0 |
| P•••••••• S••••••••• I••• CRD 1137 | Des Moines, IA | BD affiliated | $17B | 98% | 1,461 | $11.7M | 358 | 0 |
| M•••••• W••••• M••••••••• L• CRD 113057 | Santa Barbara, CA | independent RIA | $17B | 98% | 136 | $125M | 29 | 0 |
| A•••• I••••••••• M••••••••• L•• CRD 124454 | New York, NY | independent RIA | $17B | 100% | 6 | $2.8B | 0 | 1 |
| N••••••••• I••••••••• A•••••••• L•• CRD 142373 | Columbus, OH | BD affiliated | $17B | 100% | 401 | $41.7M | 8 | 0 |
| C••••••• P•••••• W••••• CRD 106743 | Tarrytown, NY | BD affiliated | $17B | 94% | 92 | $181M | 25 | 0 |
| I••••••••• F•••••••• P••••••• CRD 125112 | Tampa, FL | BD affiliated | $16B | 73% | 317 | $51.4M | 171 | 0 |
| F•••••• CRD 302050 | San Francisco, CA | independent RIA | $16B | 89% | 327 | $49.0M | 7 | 0 |
| M•••• W••••• P•••••••• L•• CRD 134436 | Philadelphia, PA | independent RIA | $16B | 98% | 32 | $493M | 0 | 5 |
| C••••••••• I••••••••• A•••••••• L•• CRD 323135 | Tampa, FL | independent RIA | $16B | 100% | 280 | $56.2M | 72 | 0 |
| S••••••• C••••••• L•• CRD 162512 | London, | mixed wealth | $16B | 24% | 0 | n/a | 0 | 2 |
| M•••• I••••••••• A••••••• S••••••• I•• CRD 111113 | Reston, VA | mixed wealth | $16B | 44% | 31 | $506M | 0 | 0 |
| P•••••••• A••••••• CRD 10111 | Duluth, GA | national BD | $16B | 99% | 3,977 | $3.9M | 1,828 | 0 |
| E••••••• W••••• M••••••••• L•• CRD 148399 | New York, NY | independent RIA | $16B | 90% | 0 | n/a | 4 | 1 |
| O•••• A••••••• S•••••••• L•• CRD 171070 | Atlanta, GA | BD affiliated | $15B | 97% | 355 | $43.6M | 200 | 0 |
| B••••••••• P••••••• CRD 152802 | Waltham, MA | independent RIA | $15B | 97% | 90 | $170M | 4 | 9 |
| C• A•••••••• L•• CRD 310873 | Boston, MA | independent RIA | $15B | 95% | 94 | $162M | 24 | 4 |
| O••••••• B•• W••••• P••••••• CRD 318366 | Parsippany, NJ | independent RIA | $15B | 95% | 119 | $127M | 23 | 0 |
| C• A••••••• L•• CRD 164817 | Aventura, FL | independent RIA | $15B | 87% | 4 | $3.8B | 0 | 14 |
| T•• L••••• C•••••• O• V••••••• CRD 106654 | Richmond, VA | mixed wealth | $15B | 28% | 31 | $480M | 0 | 0 |
| A•••••• C••••••••• G•••• A•••••••• L•• CRD 288169 | Atlanta, GA | mixed wealth | $15B | 22% | 8 | $1.8B | 11 | 0 |
| Z•••• I••••••••• M••••••••• I••• CRD 110897 | Chicago, IL | mixed wealth | $15B | 31% | 81 | $180M | 19 | 2 |
| F•••••••• C•••••• M••••••••• L•• CRD 145711 | Seattle, WA | independent RIA | $15B | 78% | 62 | $235M | 4 | 14 |
| C••••••••• W••••• A•••••••• L•• CRD 38357 | Minneapolis, MN | BD affiliated | $14B | 79% | 99 | $146M | 39 | 0 |
| P••• R•••• A••••••• L•• CRD 296362 | New York, NY | mixed wealth | $14B | 36% | 0 | n/a | 1 | 1 |
| C••••••• A•••• M••••••••• C••••••• L•• CRD 105161 | Boston, MA | mixed wealth | $14B | 48% | 16 | $887M | 1 | 0 |
| A•••• C•••••• A•••••••• L•• CRD 167626 | Fairhope, AL | independent RIA | $14B | 76% | 18 | $786M | 16 | 0 |
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9,801 advisers match.