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 |
|---|---|---|---|---|---|---|---|---|
| Oak Grove Capital, LLC CRD 165465 | independent RIA | $871M | 94% | 1 | $871M | 2 | 0 | |
| Secure Asset Management, L.L.C. CRD 144046 | Troy, MI | independent RIA | $871M | 100% | 54 | $16.1M | 31 | 0 |
| Atlas Capital Management Corp CRD 106107 | Ft Wayne, IN | independent RIA | $870M | 100% | 5 | $174M | 0 | 0 |
| R••• W••••• L•• CRD 109446 | Albuquerque, NM | mixed wealth | $869M | 49% | 8 | $109M | 4 | 0 |
| C••••• P••••••• CRD 324812 | Cincinnati, OH | independent RIA | $869M | 100% | 3 | $290M | 0 | 0 |
| B••••••••• A••••••• G••••• L•• CRD 293514 | Fresno, CA | independent RIA | $869M | 79% | 5 | $174M | 0 | 0 |
| B• I••••••••• S•••••••• L•• CRD 281716 | Hagatna, | mixed wealth | $868M | 42% | 5 | $174M | 0 | 0 |
| C••••• A••••••• I•• CRD 110818 | New York, NY | independent RIA | $868M | 98% | 7 | $124M | 7 | 0 |
| I•••••••• F•••••••• C••••••••• CRD 137125 | Jackson, WY | independent RIA | $868M | 69% | 15 | $57.9M | 5 | 0 |
| P••• C•••••• M••••••••• L•• CRD 158965 | Madison, WI | independent RIA | $868M | 57% | 5 | $174M | 0 | 0 |
| H••••••• W••••• P••••••• CRD 284712 | Sherman Oaks, CA | independent RIA | $868M | 83% | 17 | $51.1M | 0 | 0 |
| T•• C•••••• P•••••••• L•• CRD 335750 | Little Rock, AR | independent RIA | $868M | 65% | 4 | $217M | 0 | 0 |
| V•••••• F•••••••• G••••• I••• CRD 105950 | Cleveland, OH | independent RIA | $867M | 94% | 22 | $39.4M | 6 | 0 |
| S••••• CRD 305395 | Coral Gables, FL | independent RIA | $867M | 100% | 3 | $289M | 0 | 0 |
| T•• A••••• P•••••••• L•• CRD 305999 | Columbus, OH | independent RIA | $867M | 99% | 11 | $78.8M | 1 | 0 |
| W••••••• CRD 288705 | Harleysville, PA | independent RIA | $866M | 90% | 11 | $78.8M | 0 | 8 |
| C••••• H••••••• L•• CRD 297527 | Providence, RI | independent RIA | $866M | 71% | 5 | $173M | 1 | 4 |
| K•• F•••••••• L•• CRD 165136 | Chicago, IL | mixed wealth | $866M | 20% | 1 | $866M | 0 | 0 |
| H•••••••• F••••• O••••• CRD 323432 | independent RIA | $866M | 95% | 3 | $289M | 0 | 0 | |
| C••••• A••••••• G•••• CRD 117410 | Athens, GA | independent RIA | $865M | 98% | 7 | $124M | 0 | 0 |
| M•••• A•••••• P•••••••• L•• CRD 106920 | Marblehead, MA | mixed wealth | $864M | 34% | 2 | $432M | 2 | 3 |
| G••• C•••••• P••••••• CRD 14559 | Denver, CO | independent RIA | $862M | 77% | 10 | $86.2M | 0 | 1 |
| G•• A••••••• L•• CRD 131511 | Mount Laurel, NJ | independent RIA | $862M | 99% | 3 | $287M | 0 | 0 |
| M••••• C•• A•• A••••••• CRD 129015 | Norfolk, NE | independent RIA | $862M | 72% | 19 | $45.4M | 1 | 0 |
| F•••• S••••• C•••••• M••••••••• I••• CRD 141974 | Missoula, MT | independent RIA | $862M | 71% | 5 | $172M | 0 | 0 |
| T•• H••• N•• W•••• A••••••• G••••• L•• CRD 309997 | Naples, FL | independent RIA | $862M | 96% | 6 | $144M | 0 | 0 |
| M••••••• I••••••••• A••••••• CRD 110216 | Little Rock, AR | mixed wealth | $862M | 44% | 4 | $215M | 0 | 0 |
| E•••• W••••• M••••••••• I••• CRD 132122 | Kirkland, WA | independent RIA | $861M | 100% | 2 | $431M | 0 | 0 |
| K••••••• P•••••• W••••• CRD 301924 | Palm Desert, CA | independent RIA | $861M | 87% | 12 | $71.7M | 1 | 0 |
| A•••• P•••••• W••••• A••••••• CRD 283744 | Red Bank, NJ | independent RIA | $860M | 100% | 19 | $45.3M | 12 | 0 |
| W••••••••• I••••••••• P••••••• L•• CRD 296475 | Portsmouth, RI | independent RIA | $860M | 96% | 6 | $143M | 1 | 0 |
| P•••••• A•••••••• I••• CRD 121849 | Dallas, TX | independent RIA | $859M | 77% | 7 | $123M | 0 | 0 |
| P••••• • S•••••••• I••• CRD 105365 | Cambridge, MA | independent RIA | $859M | 100% | 3 | $286M | 3 | 0 |
| C••••••• F••••• O•••••• L•• CRD 335128 | Ada, MI | independent RIA | $858M | 60% | 3 | $286M | 0 | 0 |
| D•••• I••••••••• M••••••••• L•• CRD 149596 | San Francisco, CA | independent RIA | $857M | 100% | 26 | $32.9M | 10 | 0 |
| B•••• C•••••• M••••••••• I••• CRD 111768 | Berkeley, CA | independent RIA | $857M | 100% | 4 | $214M | 2 | 0 |
| R••••• C•••••• M••••••••• L•• CRD 159559 | Wayne, PA | independent RIA | $855M | 99% | 5 | $171M | 0 | 0 |
| R••••• F••••••••• L•• CRD 324631 | Melbourne, FL | independent RIA | $855M | 99% | 31 | $27.6M | 18 | 0 |
| B•••••••• F•••••••• P•••••••• I••• CRD 169962 | Bloomington, MN | independent RIA | $853M | 99% | 9 | $94.8M | 0 | 0 |
| L••••• S••••• L•• CRD 110517 | Geneva, IL | independent RIA | $852M | 99% | 12 | $71.0M | 4 | 0 |
| S•••• T••••••• A•••••••• L•• CRD 312537 | Huntsville, AL | mixed wealth | $852M | 44% | 7 | $122M | 0 | 0 |
| P•• I••••••••• M••••••••• CRD 104701 | Cedarburg, WI | independent RIA | $852M | 95% | 7 | $122M | 0 | 0 |
| A•••••• CRD 289273 | Dallas, TX | independent RIA | $852M | 95% | 11 | $77.5M | 2 | 0 |
| W••••• F••••••••• I•• CRD 135303 | Bethesda, MD | independent RIA | $852M | 97% | 4 | $213M | 0 | 0 |
| A••••••• C•••••• A••••••• L•• CRD 166226 | Berkeley, CA | independent RIA | $851M | 99% | 5 | $170M | 0 | 0 |
| C•••••• W•••••• L•• CRD 323461 | Santa Barbara, CA | independent RIA | $851M | 95% | 9 | $94.5M | 1 | 0 |
| W••••••••• W••••• M•••••••• L••• CRD 286093 | Mansfield, OH | independent RIA | $851M | 93% | 17 | $50.0M | 19 | 0 |
| N• M••••••••• L•• CRD 297781 | Devonshire, Devonshire, | mixed wealth | $850M | 22% | 0 | Not computed | 0 | 0 |
| L•••••• C•••••• M••••••••• I•• CRD 106063 | Birmingham, MI | independent RIA | $849M | 92% | 4 | $212M | 0 | 0 |
| P•••• Q••••••• CRD 322068 | Toronto, | independent RIA | $849M | 100% | 1 | $849M | 4 | 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.