DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Firms
SEC-registered investment advisers
One 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.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Circle Wealth Management, LLC CRD 142878 | Summit, NJ | independent RIA | $14B | 93% | 10 | $1.4B | 1 | 0 |
| Coldstream Wealth Management CRD 108805 | Bellevue, WA | independent RIA | $14B | 87% | 139 | $100M | 9 | 1 |
| Concentric CRD 321633 | Walnut Creek, CA | independent RIA | $14B | 88% | 11 | $1.3B | 3 | 0 |
| M•••••• I••••••••• A•••••••• L•• CRD 110297 | M••••••, WI | mixed wealth | $14B | 46% | 20 | $692M | 1 | 0 |
| G•••••• P•••••••• L•• CRD 108668 | Chicago, IL | mixed wealth | $14B | 23% | 2 | $6.9B | 1 | 53 |
| S•••••• C•••••• L•• CRD 324899 | Indianapolis, IN | independent RIA | $14B | 86% | 36 | $382M | 4 | 0 |
| A••••••• A••••••• S•••••••• L•• CRD 317245 | Lincoln, NE | BD affiliated | $14B | 96% | 549 | $25.0M | 247 | 0 |
| K••••• P•••••• W••••• S•••••••• L•• CRD 155193 | Austin, TX | BD affiliated | $13B | 97% | 209 | $64.4M | 42 | 0 |
| T•• M••••• G••••• L•• CRD 156005 | Chicago, IL | independent RIA | $13B | 100% | 112 | $120M | 62 | 0 |
| A••••• CRD 165926 | Irvine, CA | independent RIA | $13B | 100% | 14 | $956M | 0 | 0 |
| J•••• H••••• • P••••••• L•• CRD 286283 | London, | independent RIA | $13B | 52% | 0 | n/a | 3 | 0 |
| S•••••• T•••• C• CRD 106590 | Houston, TX | independent RIA | $13B | 72% | 15 | $864M | 0 | 0 |
| A•••••••• C•••••• L•• CRD 174346 | La Jolla, CA | independent RIA | $13B | 96% | 65 | $199M | 30 | 0 |
| V•••• F•••••••• A•••••••• L•• CRD 127132 | Carmel, IN | independent RIA | $13B | 98% | 108 | $120M | 16 | 0 |
| I••••••••• F•••••••• G••••• L•• CRD 7717 | San Diego, CA | BD affiliated | $13B | 95% | 484 | $26.7M | 312 | 0 |
| C••••••• S••••••••• I••• CRD 39550 | Johnston, RI | BD affiliated | $13B | 98% | 782 | $16.5M | 993 | 0 |
| L•••••• W•••••• • C••••••• F•••••••• A•••••••• L•• CRD 107153 | Boston, MA | independent RIA | $13B | 95% | 10 | $1.3B | 0 | 0 |
| U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• CRD 20804 | Scottsdale, AZ | independent RIA | $13B | 96% | 364 | $35.1M | 209 | 0 |
| B••••••••• C•••••• M••••••••• L•• CRD 141413 | Wheaton, IL | independent RIA | $13B | 99% | 332 | $38.4M | 271 | 0 |
| T•• C•••••• G••••• L•• CRD 124272 | Boise, ID | independent RIA | $12B | 91% | 49 | $255M | 11 | 0 |
| W••••••• J•••• W••••• M••••••••• L•• CRD 301925 | New York, NY | independent RIA | $12B | 89% | 21 | $594M | 2 | 8 |
| P••••••• F•••••••• S•••••••• I••• CRD 10740 | Dallas, TX | BD affiliated | $12B | 86% | 269 | $46.2M | 139 | 0 |
| N•••••••• B••••• C••••• U•• CRD 284803 | Toronto, Ontario, | mixed wealth | $12B | 39% | 0 | n/a | 0 | 1 |
| A••••••• C•••••• M••••••••• L•• CRD 112266 | Ridgewood, NJ | independent RIA | $12B | 93% | 59 | $207M | 23 | 0 |
| N•••••••• P•••••••• L•• CRD 167908 | Minneapolis, MN | independent RIA | $12B | 99% | 92 | $132M | 24 | 1 |
| L•• CRD 107341 | Seattle, WA | independent RIA | $12B | 87% | 59 | $207M | 4 | 3 |
| M•••• • P•••• CRD 110351 | St. Paul, MN | mixed wealth | $12B | 37% | 16 | $759M | 0 | 2 |
| G••••• G••••• H••• • C•• L•• CRD 2002 | New York, NY | independent RIA | $12B | 79% | 32 | $379M | 11 | 0 |
| S••••• I••••••••• A•••••••• L•• CRD 154690 | St. George, UT | independent RIA | $12B | 57% | 81 | $149M | 19 | 0 |
| F••••• M••••• W••••• A•••••••• L•• CRD 110905 | Springfield, MO | independent RIA | $12B | 92% | 81 | $148M | 65 | 0 |
| V••••••• S•••• F•••••••• A••••••• CRD 130668 | Zurich, | independent RIA | $12B | 81% | 5 | $2.4B | 4 | 0 |
| H•• I••••••••• P•••••••• L•• CRD 307956 | Austin, TX | independent RIA | $12B | 61% | 117 | $102M | 28 | 0 |
| G•••• A•••• M••••••••• I••• CRD 104950 | Greenwich, CT | mixed wealth | $12B | 40% | 10 | $1.2B | 6 | 1 |
| G••••••••• A••••••••• I•• CRD 104729 | Purchase, NY | independent RIA | $12B | 72% | 1 | $12B | 0 | 0 |
| C••• C••••••• L•• CRD 134249 | Chicago, IL | independent RIA | $12B | 72% | 97 | $119M | 10 | 17 |
| C••••• C•••••• M••••••••• L•• CRD 113128 | New York, NY | independent RIA | $12B | 52% | 0 | n/a | 0 | 3 |
| A•••••• W••••• M••••••••• L•• CRD 291902 | Mount Pleasant, SC | independent RIA | $12B | 96% | 144 | $80.3M | 51 | 0 |
| E•••••• H••••• • C• CRD 106830 | Los Angeles, CA | independent RIA | $12B | 99% | 10 | $1.2B | 3 | 0 |
| Q•• C•••••• M••••••••• I••• CRD 305277 | Berwyn, PA | independent RIA | $11B | 92% | 2 | $5.7B | 0 | 0 |
| B•••••• I••••••••• M••••••••• I•• CRD 108028 | Omaha, NE | mixed wealth | $11B | 49% | 31 | $365M | 0 | 0 |
| P•••••• W••••• M••••••••• L•• CRD 131037 | San Francisco, CA | independent RIA | $11B | 82% | 95 | $119M | 41 | 0 |
| A••••• W••••• CRD 171106 | West Hartford, CT | independent RIA | $11B | 95% | 91 | $122M | 37 | 0 |
| P••• F•••••••• A•••••••• L•• CRD 144316 | San Diego, CA | independent RIA | $11B | 100% | 90 | $123M | 13 | 0 |
| A•••• P••••••••• A•••••••• L•• CRD 106741 | Atlanta, GA | independent RIA | $11B | 83% | 13 | $850M | 1 | 0 |
| N••••• W••••• M••••••••• L••• CRD 173201 | Vancouver, | independent RIA | $11B | 92% | 5 | $2.2B | 6 | 0 |
| F•••• T•••• S••••••••• I••• CRD 628 | Cincinnati, OH | BD affiliated | $11B | 98% | 1,004 | $10.9M | 1,117 | 0 |
| M••••• W••••• M••••••••• L•• CRD 324624 | Kansas City, MO | independent RIA | $11B | 88% | 156 | $69.9M | 22 | 0 |
| A•• A••••• C•••••• R•••••••• L•• CRD 110933 | St. Louis, MO | mixed wealth | $11B | 44% | 9 | $1.2B | 7 | 2 |
| F••••••• W•••••• C•••••• M••••••••• I••• CRD 104692 | Portland, OR | independent RIA | $11B | 74% | 27 | $395M | 1 | 0 |
| P•••••••• L•• CRD 106599 | Saint Louis, MO | independent RIA | $11B | 88% | 52 | $205M | 12 | 0 |
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9,801 advisers match.