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 |
|---|---|---|---|---|---|---|---|---|
| Fortis Group Advisors LLC CRD 290427 | Westwood, NJ | independent RIA | $822M | 96% | 25 | $32.9M | 7 | 0 |
| Opes Wealth Management, LLC CRD 299704 | Menlo Park, CA | independent RIA | $822M | 99% | 0 | Not computed | 1 | 0 |
| Gratus Wealth Advisors LLC CRD 328641 | Virginia Beach, VA | independent RIA | $822M | 94% | 5 | $164M | 0 | 0 |
| F•• C•••••• A••••••• CRD 111822 | Palm Desert, CA | independent RIA | $822M | 99% | 4 | $206M | 0 | 0 |
| N•• H••••• F•••••••• G••••• L•• CRD 155528 | Worcester, MA | independent RIA | $821M | 98% | 5 | $164M | 0 | 0 |
| J••• M••••• W••••• M••••••••• I••• CRD 144364 | Boston, MA | independent RIA | $821M | 100% | 3 | $274M | 1 | 0 |
| A••••••••• A•• A••••••••• I••• CRD 104777 | Torrance, CA | independent RIA | $821M | 99% | 6 | $137M | 0 | 0 |
| P•••••• C•••••• CRD 159294 | Corona, CA | independent RIA | $821M | 99% | 5 | $164M | 1 | 0 |
| V•••••••• A••••••• S••••••• I•• CRD 110669 | Elmira, NY | independent RIA | $820M | 85% | 4 | $205M | 1 | 0 |
| P•••••• F•••••••• G•••• I•• CRD 107314 | Eureka, CA | independent RIA | $820M | 76% | 12 | $68.3M | 0 | 0 |
| F•• W••••• P••••••• CRD 104513 | Rockville, MD | independent RIA | $820M | 96% | 8 | $102M | 0 | 0 |
| A••••••• M••••••••• G•••• I•• CRD 113020 | La Crosse, WI | independent RIA | $820M | 100% | 12 | $68.3M | 2 | 0 |
| A••• H•••• L•• CRD 302076 | Baton Rouge, LA | independent RIA | $819M | 71% | 7 | $117M | 0 | 0 |
| C•••• B•••• A•••••••• I••• CRD 132045 | Boston, MA | independent RIA | $818M | 64% | 4 | $204M | 0 | 0 |
| A• N• C••••••••• • C••••••• I••• CRD 108341 | Charlottesville, VA | independent RIA | $818M | 99% | 7 | $117M | 4 | 0 |
| S•• W••••• A••••••• CRD 161357 | Zurich, | mixed wealth | $817M | 42% | 1 | $817M | 1 | 0 |
| S•••••• D•••• A•••• M••••••••• L•• CRD 142897 | Lake Success, NY | independent RIA | $815M | 100% | 4 | $204M | 0 | 0 |
| L•••• S•••••••• W••••• M••••••••• I••• CRD 290262 | Montreal, Quebec, | independent RIA | $814M | 54% | 0 | Not computed | 2 | 0 |
| E••••••• I••••••••• A••••••• I•• CRD 106380 | Manchester, NH | independent RIA | $814M | 75% | 8 | $102M | 1 | 0 |
| C•• W••••• M••••••••• L•• CRD 150138 | Portsmouth, NH | independent RIA | $813M | 96% | 7 | $116M | 2 | 0 |
| K•••• • T•••• P•••••• A•••• M••••••••• I••• CRD 298353 | Highlands Ranch, CO | independent RIA | $813M | 98% | 3 | $271M | 0 | 0 |
| S••••••• F•••••••• A•••••••• L•••• L••••• CRD 125147 | Nicholasville, KY | independent RIA | $813M | 100% | 3 | $271M | 0 | 0 |
| A••••••••• I••• CRD 142665 | Allen, TX | independent RIA | $813M | 94% | 9 | $90.3M | 0 | 0 |
| P••••••••• F••••••••• L•• CRD 315768 | Valencia, CA | independent RIA | $812M | 86% | 39 | $20.8M | 1 | 0 |
| I••••••• W••••• M••••••••• L•• CRD 111336 | Monterey, CA | independent RIA | $812M | 98% | 12 | $67.7M | 1 | 0 |
| F•••••••• P••••••••• T••••• • W•••• L•• CRD 114465 | Houston, TX | independent RIA | $811M | 100% | 5 | $162M | 0 | 0 |
| N••••• C•••••• M••••••••• L•• CRD 129776 | Menlo Park, CA | independent RIA | $811M | 87% | 4 | $203M | 0 | 0 |
| S•••••• C•••••• P••••••• CRD 317517 | Omaha, NE | independent RIA | $810M | 97% | 11 | $73.7M | 0 | 0 |
| I••••••••• M••••••••• A••••••••• CRD 110900 | Greenwood Village, CO | independent RIA | $810M | 89% | 3 | $270M | 0 | 0 |
| T•• A••••••• G••••• L•• CRD 155270 | Minnetonka, MN | independent RIA | $810M | 97% | 9 | $90.0M | 0 | 0 |
| T•• A••••••• G•••• O• S•• F••••••••• L•• CRD 108110 | San F••••••••, CA | independent RIA | $810M | 51% | 6 | $135M | 5 | 0 |
| Z•••••• F••••••••• L•• CRD 282089 | Albuquerque, NM | independent RIA | $809M | 100% | 2 | $405M | 0 | 0 |
| T••••••••• L••••• A•••••••• L•• CRD 127289 | Houston, TX | independent RIA | $809M | 92% | 5 | $162M | 1 | 0 |
| S••••••• F•••••••• G••••• L•• CRD 283605 | Vestavia Hills, AL | independent RIA | $808M | 89% | 8 | $101M | 0 | 0 |
| P•••••••• A• CRD 167142 | Zurich, | independent RIA | $807M | 77% | 1 | $807M | 0 | 0 |
| A•••••• A••••••• L•• CRD 150463 | Miami, FL | independent RIA | $806M | 100% | 12 | $67.2M | 0 | 0 |
| M•••••• A••••••• G••••• L•• CRD 304668 | Birmingham, AL | independent RIA | $806M | 95% | 4 | $202M | 0 | 0 |
| D•••• S•••••• W••••• M••••••••• CRD 108620 | St. Louis, MO | independent RIA | $806M | 98% | 5 | $161M | 0 | 0 |
| F•••••••• C•••••• M••••••••• I•• CRD 106366 | South Miami, FL | independent RIA | $806M | 98% | 5 | $161M | 0 | 0 |
| N•••••••• A•••• M••••••••• I•• CRD 107138 | Boston, MA | independent RIA | $806M | 80% | 8 | $101M | 5 | 0 |
| L•••••••• W••••• M••••••••• L•• CRD 314071 | Mentor, OH | independent RIA | $805M | 90% | 12 | $67.1M | 7 | 0 |
| A••• C•••••• L•• CRD 298326 | Lexington, KY | independent RIA | $805M | 89% | 6 | $134M | 0 | 0 |
| S••••••••• C•••••• A••••••• CRD 135008 | Charlotte, NC | independent RIA | $805M | 96% | 11 | $73.2M | 7 | 0 |
| C••••• H••••• I••••••••• A•••••••• L•• CRD 169978 | Appleton, WI | independent RIA | $805M | 93% | 6 | $134M | 1 | 0 |
| R••• E•••• M•••••• P•••••• L•• CRD 106696 | San Francisco, CA | independent RIA | $805M | 99% | 5 | $161M | 0 | 0 |
| T•••• W••••• CRD 336316 | Independence, OH | independent RIA | $804M | 100% | 7 | $115M | 0 | 0 |
| C••••• W••••• M••••••••• CRD 132136 | Albany, NY | independent RIA | $804M | 95% | 3 | $268M | 2 | 0 |
| G•••• D•••••• P•••••••• L•• CRD 299598 | Portland, ME | independent RIA | $804M | 98% | 8 | $101M | 1 | 0 |
| H••••• W••••• CRD 307387 | Orlando, FL | independent RIA | $804M | 100% | 38 | $21.1M | 12 | 0 |
| E•••••••• C•••••• M••••••••• L•• CRD 134045 | Boston, MA | independent RIA | $803M | 93% | 5 | $161M | 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.