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 |
|---|---|---|---|---|---|---|---|---|
| Pin Oak Investment Advisors Inc CRD 105550 | Houston, TX | independent RIA | $785M | 52% | 6 | $131M | 0 | 12 |
| Jvl Wealth Strategies CRD 124018 | Wyoming, MI | independent RIA | $784M | 99% | 8 | $98.1M | 0 | 0 |
| Flagstar Securities, Inc. CRD 104233 | New York, NY | independent RIA | $784M | 82% | 29 | $27.0M | 12 | 0 |
| B••••••••• W••••• CRD 300012 | Lincoln, NE | independent RIA | $784M | 87% | 8 | $98.0M | 0 | 0 |
| C•••••••• W••••• M••••••••• CRD 317929 | Mclean, VA | independent RIA | $784M | 96% | 6 | $131M | 2 | 0 |
| A•••••••• A•••• M••••••••• I•• CRD 105801 | Jacksonville, FL | independent RIA | $783M | 82% | 4 | $196M | 0 | 0 |
| H••••• A•• A••••••••• I••• CRD 145090 | Sheridan, WY | independent RIA | $783M | 90% | 3 | $261M | 1 | 0 |
| O•• P••• A••••••• CRD 108228 | P•••Land, ME | independent RIA | $783M | 87% | 11 | $71.2M | 0 | 0 |
| D••••• A•••• M••••••••• L•• CRD 104068 | New York, NY | independent RIA | $783M | 53% | 1 | $783M | 0 | 4 |
| A•••••• I••••••••• I••• CRD 117284 | Coral Gables, FL | independent RIA | $782M | 52% | 21 | $37.3M | 7 | 0 |
| C•••••• C•••••• K••• L•• CRD 160662 | Ramat-Gan, | independent RIA | $782M | 51% | 0 | Not computed | 1 | 0 |
| H•••••••• A•••••••• I••• CRD 113412 | St. Louis, MO | BD affiliated | $782M | 96% | 64 | $12.2M | 9 | 0 |
| W••••• F•••••••• CRD 107227 | Fresno, CA | independent RIA | $782M | 81% | 7 | $112M | 1 | 0 |
| D•••••• • C•••••• A•• A••••••••• CRD 301236 | Novi, MI | independent RIA | $781M | 62% | 9 | $86.8M | 1 | 0 |
| W••• M••••••• A••••••• CRD 312073 | Holland, MI | independent RIA | $781M | 100% | 17 | $46.0M | 0 | 0 |
| F••••• W••••• M••••••••• CRD 104708 | Chicago, IL | independent RIA | $781M | 100% | 5 | $156M | 0 | 0 |
| N•• V••••• W••••• M••••••••• L•• CRD 164775 | Highland Park, IL | independent RIA | $781M | 100% | 1 | $781M | 0 | 0 |
| W•••• A•••• M••••••••• L•• CRD 151508 | New York, NY | mixed wealth | $781M | 33% | 1 | $781M | 0 | 13 |
| S••••• S••••• A••••••• L•• CRD 328151 | independent RIA | $781M | 91% | 3 | $260M | 1 | 0 | |
| P•••••••• M•••••• L•• CRD 145958 | Bonita Springs, FL | independent RIA | $780M | 100% | 83 | $9.4M | 8 | 0 |
| C••••••• C•••••• M••••••••• I••••••••• L•• CRD 286567 | San Diego, CA | independent RIA | $780M | 100% | 6 | $130M | 0 | 0 |
| D•• C•••••• A•••••••• L•• CRD 332056 | Edina, MN | independent RIA | $780M | 93% | 6 | $130M | 0 | 0 |
| L••• • D••••• I••••••••• C•••••• CRD 132737 | Syracuse, NY | independent RIA | $780M | 95% | 2 | $390M | 0 | 0 |
| W••••• F•••••••• S•••••••• L••••• CRD 127385 | Geneseo, IL | independent RIA | $779M | 100% | 9 | $86.6M | 3 | 0 |
| R••••• S••••••• V••• • P•••• I•• CRD 105156 | Colorado Springs, CO | independent RIA | $779M | 87% | 5 | $156M | 1 | 0 |
| G••••••• A••••••• L•• CRD 285374 | New York, NY | independent RIA | $778M | 83% | 6 | $130M | 0 | 4 |
| M••• F••••••••• I••• CRD 118896 | Birmingham, AL | independent RIA | $776M | 95% | 10 | $77.6M | 2 | 0 |
| M••••• S••••• W••••• M••••••••• A•••••••• L•• CRD 122212 | Indianapolis, IN | independent RIA | $776M | 98% | 8 | $97.0M | 7 | 0 |
| B•• A•••••••• L•• CRD 107946 | Lafayette, LA | independent RIA | $776M | 74% | 8 | $97.0M | 0 | 0 |
| G••••• V••• C•••••• M••••••••• L•• CRD 158292 | Waukesha, WI | independent RIA | $775M | 99% | 103 | $7.5M | 5 | 0 |
| S•••• W••••• M••••••••• CRD 336301 | London, | independent RIA | $774M | 96% | 1 | $774M | 1 | 0 |
| F•••• Z••• C•••••• M••••••••• L•• CRD 152689 | Garden City, NY | independent RIA | $774M | 95% | 7 | $111M | 0 | 0 |
| F••••••••• W••••• M••••••••• L•• CRD 220515 | Alpharetta, GA | independent RIA | $773M | 98% | 7 | $110M | 0 | 0 |
| N•••• P•••• P•••••••• M••••••• C••••••••• CRD 111257 | Orange Village, OH | independent RIA | $773M | 95% | 6 | $129M | 0 | 0 |
| B••••• C••••••• A•••••••• L•• CRD 293192 | Downingtown, PA | independent RIA | $772M | 53% | 4 | $193M | 1 | 0 |
| M•• F•••••••• G••••• L•• CRD 147221 | Bethlehem, PA | independent RIA | $772M | 99% | 8 | $96.5M | 1 | 0 |
| S•••••••• I••••••••• A••••••• L•• CRD 108681 | Summit, NJ | independent RIA | $771M | 66% | 11 | $70.1M | 1 | 0 |
| B••• Z••• W••••• A•••••••• L•• CRD 305943 | Los Angeles, CA | independent RIA | $770M | 100% | 6 | $128M | 0 | 4 |
| P••••••••• F•••••••• A•••••••• L•• CRD 173719 | North Platte, NE | independent RIA | $770M | 65% | 7 | $110M | 3 | 0 |
| H•••••••• C••••••• L•• CRD 147754 | Houston, TX | independent RIA | $769M | 92% | 2 | $384M | 0 | 0 |
| G•••• S••••• A•••• M••••••••• I•• CRD 106980 | Canonsburg, PA | independent RIA | $769M | 87% | 7 | $110M | 1 | 0 |
| H•••••• • W•••• A•••• M••••••••• I••• CRD 126236 | Parsippany, NJ | BD affiliated | $769M | 94% | 71 | $10.8M | 1 | 0 |
| A•• W••••• A••••••• G•••• CRD 175085 | St. Louis, MO | independent RIA | $768M | 99% | 5 | $154M | 2 | 0 |
| W••••• A•••• M••••••••• I••••••••• CRD 130482 | San Diego, CA | independent RIA | $768M | 89% | 2 | $384M | 0 | 0 |
| N•• E•••••• C•••••• F•••••••• A••••••• L•• CRD 109203 | Cheshire, CT | independent RIA | $768M | 90% | 6 | $128M | 0 | 0 |
| C•••••• A••••••• CRD 288256 | Melville, NY | independent RIA | $767M | 55% | 5 | $153M | 1 | 0 |
| B•••••••• F•••••••• W••••• A••••••• L•• CRD 287966 | Boca Raton, FL | independent RIA | $766M | 99% | 7 | $109M | 3 | 0 |
| D•••••• F•••••••• S••••••• C•••• CRD 120106 | Aurora, OH | independent RIA | $766M | 100% | 5 | $153M | 0 | 0 |
| B••• E••• C••••••• L•• CRD 155613 | Richmond, VA | independent RIA | $765M | 83% | 4 | $191M | 0 | 0 |
| M••••••••• • A••••••••• CRD 337303 | Orchard Park, NY | independent RIA | $765M | 100% | 10 | $76.5M | 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.