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 |
|---|---|---|---|---|---|---|---|---|
| Compass Financial Management LLC CRD 156345 | Tampa, FL | independent RIA | $894M | 95% | 45 | $19.9M | 36 | 0 |
| Vance Wealth CRD 310162 | Santa Clarita, CA | independent RIA | $894M | 85% | 13 | $68.7M | 4 | 0 |
| The Millstone Evans Group, LLC CRD 311142 | Boulder, CO | independent RIA | $893M | 98% | 7 | $128M | 1 | 0 |
| J•• • A••••••••• I•• CRD 104655 | Plymouth, MI | independent RIA | $893M | 100% | 3 | $298M | 2 | 0 |
| A•••••••• CRD 331749 | New York, NY | independent RIA | $892M | 100% | 1 | $892M | 1 | 0 |
| R•• W••••• M••••••••• CRD 108913 | New Philadelphia, OH | independent RIA | $892M | 93% | 11 | $81.1M | 7 | 0 |
| H••••••••• CRD 140518 | Portland, ME | independent RIA | $892M | 91% | 7 | $127M | 0 | 0 |
| S••••••••• A••••••• CRD 148721 | Zurich, | independent RIA | $892M | 58% | 0 | Not computed | 0 | 0 |
| S•••••••• E••••• P•••••••• L••• CRD 154481 | independent RIA | $891M | 100% | 25 | $35.7M | 17 | 0 | |
| D•••••• W••••• CRD 328909 | independent RIA | $891M | 97% | 5 | $178M | 0 | 0 | |
| T••• C•••••• M••••••••• L••• CRD 107049 | San Rafael, CA | independent RIA | $890M | 61% | 0 | Not computed | 0 | 0 |
| J••• K••• A•••••••• I••• CRD 112109 | Walnut Creek, CA | independent RIA | $890M | 99% | 5 | $178M | 0 | 0 |
| 3••••• I••••••••• P••••••• L•• CRD 319125 | Richmond, VA | independent RIA | $889M | 100% | 7 | $127M | 0 | 0 |
| C•••••• C•••••• W••••• M••••••••• L•• CRD 298774 | Clayton, MO | independent RIA | $889M | 81% | 7 | $127M | 0 | 0 |
| E••••• L•• CRD 168009 | The Woodlands, TX | independent RIA | $889M | 100% | 1 | $889M | 0 | 0 |
| W••••••• I••••••••• M••••••••• L•• CRD 154522 | Santa Monica, CA | independent RIA | $889M | 86% | 7 | $127M | 2 | 0 |
| S•••••••• C•••••• P••••••• L•• CRD 339742 | Franklin, TN | independent RIA | $888M | 100% | 3 | $296M | 1 | 0 |
| M••••• I••••••••• M••••••••• L•• CRD 105381 | Palm Beach Gardens, FL | mixed wealth | $888M | 24% | 2 | $444M | 1 | 1 |
| R••• I•••••••• • C••••••••• L•• CRD 326958 | Los Angeles, CA | mixed wealth | $888M | 32% | 0 | Not computed | 0 | 3 |
| B••••••• W••••• M••••••••• CRD 335431 | Altoona, WI | independent RIA | $887M | 95% | 12 | $73.9M | 3 | 0 |
| S••••• W••••• A•••••••• L•• CRD 285973 | Dallas, TX | independent RIA | $886M | 100% | 10 | $88.6M | 10 | 0 |
| C•••••••• I••••••••• A•••••••• I••• CRD 127270 | Ligonier, PA | independent RIA | $886M | 71% | 5 | $177M | 0 | 0 |
| C•• W••••• P••••••• L•• CRD 305135 | Austin, TX | independent RIA | $886M | 91% | 2 | $443M | 0 | 0 |
| R••••• H••••••• I••••••••• CRD 106191 | Austin, TX | mixed wealth | $885M | 20% | 6 | $148M | 0 | 0 |
| P•••••• F•••••••• S••••••• CRD 130143 | Dennis, MA | independent RIA | $885M | 100% | 6 | $148M | 1 | 0 |
| N•• W•••• A••••••• L•• CRD 296798 | Hingham, MA | independent RIA | $885M | 99% | 2 | $442M | 0 | 0 |
| U••••• C•••••• M••••••••• O• K•••••• I••• CRD 157755 | Salina, KS | independent RIA | $885M | 91% | 25 | $35.4M | 10 | 0 |
| B•••••••• W•••••• L•• CRD 289538 | Cedar Rapids, IA | independent RIA | $884M | 93% | 13 | $68.0M | 3 | 0 |
| S••• R•••• C•••••• L•• CRD 290148 | Menlo Park, CA | independent RIA | $884M | 99% | 9 | $98.2M | 0 | 0 |
| C•••••••• CRD 299363 | Louisville, KY | independent RIA | $882M | 74% | 4 | $221M | 0 | 8 |
| I••••••••• D••••• A•••••••• L•• CRD 299589 | Carlsbad, CA | independent RIA | $882M | 95% | 16 | $55.1M | 1 | 0 |
| O••••• L•• CRD 299965 | Dripping Springs, TX | independent RIA | $882M | 97% | 5 | $176M | 0 | 0 |
| A•• S••• F•••••••• CRD 323765 | Minneapolis, MN | independent RIA | $882M | 78% | 5 | $176M | 0 | 0 |
| F•••••• A••••••• CRD 147546 | Guaynabo, PR | independent RIA | $881M | 89% | 6 | $147M | 1 | 0 |
| L••••••• C•••••• M••••••••• L•• CRD 156637 | White Plains, NY | independent RIA | $881M | 100% | 0 | Not computed | 0 | 0 |
| B••••••• C•••••• CRD 110209 | Tampa, FL | mixed wealth | $879M | 47% | 0 | Not computed | 0 | 10 |
| P••• P•••• C•••••• C••••••••• CRD 107952 | Homewood, AL | independent RIA | $879M | 50% | 7 | $126M | 4 | 0 |
| T••••••••• P•••••• W••••• L•• CRD 169820 | New York, NY | independent RIA | $879M | 98% | 11 | $79.9M | 2 | 0 |
| A••••••••• L•• CRD 333587 | Austin, TX | independent RIA | $879M | 99% | 24 | $36.6M | 6 | 0 |
| C•••••• C•••••• G•••• I•• CRD 106174 | Savannah, GA | independent RIA | $878M | 86% | 0 | Not computed | 1 | 2 |
| M•••••••• I••••••••• A•••••••• L•• CRD 168429 | Middleton, WI | independent RIA | $878M | 91% | 7 | $125M | 0 | 0 |
| N••••• C•••••• M••••••••• C••• CRD 110819 | Boca Raton, FL | independent RIA | $877M | 89% | 8 | $110M | 0 | 0 |
| M•••• H••••• W••••• M••••••••• CRD 301963 | New Orleans, LA | independent RIA | $876M | 91% | 6 | $146M | 1 | 0 |
| C•• F•••••••• S••••••• CRD 155446 | Lake Oswego, OR | independent RIA | $876M | 97% | 7 | $125M | 0 | 0 |
| R•••••• O•• C•••••• L•• CRD 286656 | Minneapolis, MN | independent RIA | $875M | 51% | 5 | $175M | 0 | 0 |
| L•••••• C•••••• M••••••••• I••• CRD 120374 | Costa Mesa, CA | independent RIA | $874M | 97% | 5 | $175M | 0 | 0 |
| G••••••• • A••••••••• CRD 321832 | Cincinnati, OH | independent RIA | $873M | 97% | 4 | $218M | 0 | 0 |
| A••••••• W••••• M••••••••• L•• CRD 290735 | Wilmington, DE | independent RIA | $873M | 98% | 7 | $125M | 0 | 0 |
| M•••••••• W••••• M••••••••• CRD 282482 | Minneapolis, MN | independent RIA | $872M | 91% | 3 | $291M | 1 | 0 |
| A•••• C•••••• M••••••••• CRD 121703 | Austin, TX | independent RIA | $871M | 98% | 6 | $145M | 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.