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 |
|---|---|---|---|---|---|---|---|---|
| Jeppson Wealth Management, LLC CRD 305552 | Manhattan Beach, CA | independent RIA | $763M | 96% | 6 | $127M | 1 | 0 |
| Perennial CRD 168859 | New York, NY | independent RIA | $762M | 97% | 4 | $190M | 0 | 0 |
| Summit Wealth Group LLC CRD 282205 | Exeter, NH | independent RIA | $762M | 98% | 7 | $109M | 1 | 0 |
| O•••• E•••••••• P•••••••• L•• CRD 154518 | mixed wealth | $761M | 37% | 1 | $761M | 0 | 1 | |
| S••••••• F•••••••• P••••••• I•• CRD 108664 | Sparta, NJ | independent RIA | $761M | 98% | 8 | $95.1M | 0 | 0 |
| A••••••• W••••• M••••••••• CRD 122205 | Reno, NV | independent RIA | $761M | 96% | 5 | $152M | 0 | 0 |
| S•• W••••• M••••••••• CRD 285785 | Towson, MD | independent RIA | $760M | 93% | 9 | $84.5M | 2 | 0 |
| I••••••••• F••••• O•••••• L•• CRD 144811 | Albany, NY | independent RIA | $760M | 100% | 3 | $253M | 0 | 0 |
| S•• L••• W••••• A••••••• CRD 309506 | San L••• Obispo, CA | independent RIA | $760M | 75% | 7 | $109M | 0 | 0 |
| H••••• F•••••••• S•••••••• L•• CRD 173195 | Herndon, VA | independent RIA | $760M | 100% | 9 | $84.4M | 0 | 0 |
| I•••• A••••••• L•• CRD 164519 | Coral Gables, FL | mixed wealth | $759M | 29% | 6 | $127M | 0 | 3 |
| S••••• T•••• A••••••• S••••••• CRD 315106 | Minneapolis, MN | independent RIA | $759M | 75% | 8 | $94.9M | 0 | 0 |
| P•••••••• W••••• M••••••••• L•• CRD 130417 | Brentwood, TN | independent RIA | $759M | 98% | 5 | $152M | 0 | 0 |
| H•••••• I••••••••• S•••••••• L•• CRD 159390 | Oakbrook Terrace, IL | independent RIA | $758M | 81% | 28 | $27.1M | 12 | 0 |
| P••••••••• I••••••••• M••••••••• C••••••••• CRD 107777 | Lake Oswego, OR | independent RIA | $758M | 90% | 4 | $190M | 1 | 0 |
| T••••••••• G•••• L•• CRD 341573 | Saint Louis, MO | independent RIA | $758M | 100% | 10 | $75.8M | 2 | 0 |
| K•••• F•••••••• A•••• A•••••••• L••• CRD 121399 | Loves Park, IL | independent RIA | $758M | 100% | 14 | $54.1M | 1 | 0 |
| P•••••• F••••••••• I••• CRD 133361 | Dallas, TX | independent RIA | $757M | 100% | 2 | $379M | 0 | 0 |
| I•••••••• F•••••••• P••••••• CRD 341913 | Naperville, IL | independent RIA | $757M | 99% | 10 | $75.7M | 0 | 0 |
| G• C•••••• M••••••••• L•• CRD 286521 | Columbus, OH | independent RIA | $757M | 63% | 5 | $151M | 0 | 1 |
| M••••• W••••• P••••••• CRD 110493 | Northfield, IL | independent RIA | $756M | 100% | 2 | $378M | 1 | 0 |
| B••• F•• C••••••• I••• CRD 108451 | Warren, RI | independent RIA | $756M | 96% | 2 | $378M | 0 | 0 |
| S•••••••• F•••••••• G••••• L•• CRD 160266 | Goodlettsville, TN | independent RIA | $756M | 100% | 14 | $54.0M | 3 | 0 |
| L••••••••• F•••••••• CRD 137277 | Saint Petersburg, FL | independent RIA | $756M | 98% | 1 | $756M | 0 | 0 |
| T•••• C•••••• W••••• M••••••••• I•• CRD 142728 | St. Charles, IL | independent RIA | $755M | 100% | 22 | $34.3M | 11 | 0 |
| S•••••• • M•••••• L•• CRD 282595 | Chico, CA | independent RIA | $753M | 84% | 3 | $251M | 0 | 0 |
| N••••••• F••••••••• I••• CRD 109432 | Prior Lake, MN | independent RIA | $752M | 100% | 3 | $251M | 0 | 0 |
| B••••••• I••• CRD 152695 | Lexington, KY | independent RIA | $752M | 95% | 8 | $93.9M | 0 | 0 |
| C••••••••• W••••• A••••••• CRD 205512 | Oklahoma City, OK | independent RIA | $751M | 94% | 9 | $83.5M | 1 | 0 |
| E••• L•• CRD 308977 | Pittsburgh, PA | independent RIA | $751M | 100% | 9 | $83.4M | 0 | 0 |
| T••••• F•••••••• G•••• I•• CRD 110890 | New Providence, NJ | independent RIA | $751M | 88% | 8 | $93.8M | 3 | 0 |
| S•••••• F••••• F•••••••• A••••••• CRD 115752 | Bloomington, MN | independent RIA | $750M | 100% | 6 | $125M | 0 | 0 |
| H•••••• F•••••••• S•••••••• I••• CRD 127927 | Reston, VA | independent RIA | $750M | 99% | 6 | $125M | 6 | 0 |
| T••••• I••••••••• P••••••• L•• CRD 105818 | Bethesda, MD | mixed wealth | $750M | 49% | 3 | $250M | 1 | 0 |
| C•••••••• ••••••• CRD 164222 | Geneva, | independent RIA | $750M | 100% | 0 | Not computed | 0 | 0 |
| R••••••• W••••• M••••••••• L•• CRD 324004 | Islip Terrace, NY | independent RIA | $750M | 86% | 5 | $150M | 0 | 0 |
| W••••••• W••••• M••••••••• CRD 132162 | Dallas, TX | mixed wealth | $750M | 20% | 8 | $93.7M | 1 | 14 |
| C••••• F•••••••• P•••••••• L•• CRD 281943 | Daniel Island, SC | independent RIA | $749M | 87% | 16 | $46.8M | 2 | 0 |
| Q•• F••••• W•••••• L•• CRD 331655 | Lake Mary, FL | independent RIA | $749M | 99% | 6 | $125M | 0 | 0 |
| F••••••• W••••• A•••••••• L••• CRD 131962 | Wakefield, MA | independent RIA | $749M | 99% | 9 | $83.2M | 0 | 0 |
| S•• I••••••••• C•••••• I••• CRD 145530 | Los Angeles, CA | independent RIA | $748M | 89% | 11 | $68.0M | 0 | 2 |
| P••••• W•••• I••••••••• A•••••••• I••• CRD 110876 | Birmingham, AL | independent RIA | $748M | 68% | 5 | $150M | 0 | 0 |
| W••••• F•••••••• P••••••• G••••• I••• CRD 159564 | Columbus, OH | independent RIA | $748M | 100% | 6 | $125M | 1 | 0 |
| F•••••••• F••••• O•••••• L•• CRD 326990 | Boca Raton, FL | independent RIA | $748M | 97% | 2 | $374M | 0 | 0 |
| P••••••• C•••••• I••••••••• CRD 125790 | independent RIA | $748M | 80% | 4 | $187M | 3 | 15 | |
| A••••• G•••• P•••••••• L•• CRD 288250 | Dallas, TX | independent RIA | $748M | 80% | 1 | $748M | 1 | 0 |
| P•• F•••••••• G•••• CRD 284164 | San Antonio, TX | independent RIA | $747M | 100% | 16 | $46.7M | 2 | 0 |
| D••••• • S••••••• I••• CRD 157515 | Palm Beach, FL | independent RIA | $747M | 57% | 3 | $249M | 2 | 3 |
| F•••••••• I••••••• W••••• M••••••••• CRD 108797 | Tacoma, WA | independent RIA | $747M | 100% | 8 | $93.3M | 1 | 0 |
| D••••••••• W••••• S••••••••• I••• CRD 315846 | Greenville, SC | independent RIA | $747M | 96% | 19 | $39.3M | 12 | 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.