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 |
|---|---|---|---|---|---|---|---|---|
| Plan Group Financial, Inc. CRD 116508 | Oklahoma City, OK | independent RIA | $690M | 100% | 18 | $38.4M | 8 | 0 |
| West Branch Capital LLC CRD 133813 | Amherst, MA | independent RIA | $690M | 98% | 4 | $173M | 3 | 0 |
| Family Investment Center CRD 113799 | Saint Joseph, MO | independent RIA | $689M | 94% | 12 | $57.4M | 2 | 0 |
| E••• E•• F•••••••• G••••• I••• CRD 110584 | Riverhead, NY | independent RIA | $689M | 75% | 6 | $115M | 1 | 0 |
| A•••••• P••••••• L•• CRD 335467 | Atlanta, GA | independent RIA | $689M | 100% | 3 | $230M | 0 | 0 |
| N•••• F••••••••• L•• CRD 128868 | Portsmouth, NH | independent RIA | $688M | 98% | 6 | $115M | 3 | 0 |
| S•••••• A•••••••• L•• CRD 147957 | Boston, MA | independent RIA | $687M | 88% | 2 | $344M | 0 | 0 |
| A•••••• M••••• CRD 147972 | Lancaster, PA | independent RIA | $687M | 80% | 3 | $229M | 0 | 0 |
| A••••••• A••••••• • S••••••••• L•• CRD 18835 | Westlake Village, CA | independent RIA | $687M | 99% | 16 | $43.0M | 4 | 0 |
| S•••• W•••••• L•• CRD 315496 | Omaha, NE | independent RIA | $686M | 87% | 20 | $34.3M | 1 | 0 |
| W••••• M••••••••• A•••••••• L•• CRD 171260 | Greenville, SC | independent RIA | $686M | 75% | 5 | $137M | 1 | 0 |
| M•••••• W••••• M••••••••• I••• CRD 115645 | Charlottesville, VA | independent RIA | $686M | 97% | 9 | $76.2M | 0 | 0 |
| M• P•••••• W•••••• L•• CRD 291366 | San Carlos, CA | independent RIA | $686M | 100% | 5 | $137M | 1 | 0 |
| T••••• P••••••• L•• CRD 290734 | independent RIA | $686M | 64% | 8 | $85.7M | 5 | 0 | |
| I•••• A•••• P•••••••• L•• CRD 154503 | Carmel, IN | independent RIA | $685M | 81% | 4 | $171M | 0 | 3 |
| P•••••••• W••••• P•••••••• L•• CRD 325203 | Houston, TX | independent RIA | $685M | 100% | 18 | $38.1M | 0 | 0 |
| S•••• C••• A•••••••• L•• CRD 152482 | Hingham, MA | independent RIA | $685M | 100% | 3 | $228M | 1 | 0 |
| P••••••••• W••••• A•••••••• L•• CRD 153646 | Frankfort, IL | independent RIA | $684M | 94% | 5 | $137M | 2 | 0 |
| I•••••• G••••• A••••••• L•• CRD 288511 | Stamford, CT | independent RIA | $684M | 66% | 5 | $137M | 0 | 4 |
| N••••••• F•••••••• A•••••••• I•• CRD 121088 | Bloomfield Hills, MI | independent RIA | $684M | 100% | 5 | $137M | 0 | 0 |
| M••••••• I••••••••• P•••••••• L•• CRD 108479 | Milwaukee, WI | independent RIA | $684M | 91% | 7 | $97.7M | 0 | 0 |
| H••• N••• W•••••• L•• CRD 305768 | Deephaven, MN | independent RIA | $683M | 99% | 4 | $171M | 0 | 0 |
| E•••• C•••••• M••••••••• A••••••••• CRD 110699 | Bellevue, WA | independent RIA | $683M | 91% | 4 | $171M | 0 | 0 |
| C•••••• W••••• M••••••••• L•• CRD 106289 | Guilford, CT | independent RIA | $683M | 96% | 6 | $114M | 2 | 0 |
| V•••••• P•••••• W••••• M••••••••• L••• CRD 164792 | Zurich, | independent RIA | $682M | 99% | 0 | Not computed | 0 | 0 |
| B•••• R•• I••••••••• M••••••••• L•• CRD 165067 | Arlington, VA | mixed wealth | $682M | 21% | 5 | $136M | 0 | 0 |
| S•••••• F•••••••• P•••••••• L•• CRD 297858 | Bethesda, MD | independent RIA | $682M | 84% | 1 | $682M | 3 | 0 |
| D••• I••••••••• CRD 135281 | Plano, TX | independent RIA | $682M | 100% | 6 | $114M | 0 | 0 |
| S•••••• I••••••••• M••••••••• L•• CRD 305961 | Altamonte Springs, FL | independent RIA | $681M | 97% | 19 | $35.9M | 4 | 0 |
| L••• M•••••• G•••• CRD 318023 | Shreveport, LA | independent RIA | $681M | 89% | 3 | $227M | 0 | 0 |
| E•••• B•• F••••• O••••• CRD 281675 | New York, NY | independent RIA | $681M | 100% | 10 | $68.1M | 1 | 0 |
| V•• B•••••• • A••••••••• CRD 309746 | The Dalles, OR | independent RIA | $680M | 100% | 5 | $136M | 1 | 0 |
| L••••••• W••••• M••••••••• CRD 109379 | Getzville, NY | independent RIA | $680M | 95% | 5 | $136M | 0 | 0 |
| C•••••• M••••••••• F•••••••• A••••••• CRD 112308 | Austin, TX | independent RIA | $680M | 82% | 10 | $68.0M | 1 | 0 |
| S•••• F•••••••• G•••• CRD 311687 | Houston, TX | independent RIA | $679M | 100% | 14 | $48.5M | 0 | 0 |
| B•••••• C•••••• M••••••••• L• CRD 147775 | Houston, TX | independent RIA | $679M | 93% | 8 | $84.9M | 0 | 1 |
| S••••• S••••••••• I••• CRD 15916 | Fort Worth, TX | independent RIA | $679M | 100% | 25 | $27.2M | 8 | 0 |
| F•••••••• A••••••••• L•• CRD 153016 | W. Conshohocken, PA | mixed wealth | $679M | 32% | 4 | $170M | 0 | 4 |
| M••••••• G•••• W••••• A•••••••• L•• CRD 111908 | Concord, MA | independent RIA | $679M | 100% | 3 | $226M | 1 | 0 |
| T••• W••••• M••••••••• I•• CRD 105902 | Cincinnati, OH | independent RIA | $679M | 96% | 8 | $84.8M | 1 | 0 |
| H••••• V•••• P•••••••• L•• CRD 301325 | Palm Beach, FL | independent RIA | $678M | 98% | 4 | $170M | 3 | 1 |
| H•••••••• A••••••• S• CRD 157400 | Geneva, | independent RIA | $678M | 95% | 1 | $678M | 0 | 0 |
| M•• I••••••••• M••••••••• L•• CRD 297500 | Spartanburg, SC | independent RIA | $678M | 97% | 5 | $136M | 0 | 0 |
| V•• W••••• A•••••••• L•• CRD 313717 | Hunt Valley, MD | independent RIA | $678M | 92% | 5 | $136M | 1 | 0 |
| F•••••••• S••••••••• G••••• I•• CRD 289054 | Okemos, MI | independent RIA | $677M | 98% | 7 | $96.8M | 1 | 0 |
| C•••••••• C•••••• M••••••••• I••• CRD 104570 | Chevy Chase, MD | independent RIA | $677M | 94% | 4 | $169M | 0 | 0 |
| L•••••• F•••••••• G••••• L•• CRD 310258 | Hudson, WI | independent RIA | $677M | 99% | 6 | $113M | 1 | 0 |
| J••••••• • S•••••• A•••••••• L•• CRD 140431 | Middleton, WI | independent RIA | $676M | 88% | 12 | $56.4M | 2 | 0 |
| R••••••• W••••• A••••••• CRD 297122 | Fairview Park, OH | independent RIA | $676M | 99% | 8 | $84.6M | 3 | 0 |
| P••• I••••••••• L•• CRD 145640 | Farmington, CT | mixed wealth | $676M | 22% | 4 | $169M | 2 | 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.