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 |
|---|---|---|---|---|---|---|---|---|
| Highmark Wealth Management LLC CRD 164790 | St. Paul, MN | independent RIA | $612M | 100% | 5 | $122M | 0 | 0 |
| Financial Security Management, Inc CRD 116570 | Lakewood, CO | independent RIA | $612M | 100% | 8 | $76.4M | 0 | 0 |
| Steffes Financial, Ltd CRD 134530 | Overland Park, KS | independent RIA | $611M | 58% | 2 | $306M | 0 | 0 |
| A•••• T•••• W••••• A•••••••• L•• CRD 169611 | Ann A••••, MI | independent RIA | $611M | 94% | 3 | $204M | 0 | 0 |
| P•••••••• A•••• A•••••••• I••• CRD 115738 | Portland, OR | independent RIA | $611M | 96% | 6 | $102M | 2 | 0 |
| F•••••••• P•••• • S••••••••• I••• CRD 123793 | Greenwood, IN | independent RIA | $611M | 100% | 6 | $102M | 1 | 0 |
| V•••• I••••••••• P••••••• L•• CRD 286014 | Oklahoma City, OK | independent RIA | $611M | 91% | 6 | $102M | 1 | 0 |
| W•••••• F••••••••• I••• CRD 328590 | Lacey, WA | independent RIA | $610M | 99% | 1 | $610M | 0 | 0 |
| W••• P•••••••• I••• CRD 123821 | independent RIA | $610M | 100% | 6 | $102M | 1 | 0 | |
| H••••• A••••••• CRD 282573 | Boston, MA | independent RIA | $610M | 95% | 11 | $55.5M | 2 | 0 |
| K••••• • N••••• F••••• W••••• CRD 173079 | Dublin, OH | independent RIA | $610M | 100% | 8 | $76.2M | 0 | 0 |
| S•••••••• W••••• M••••••••• CRD 158413 | Pasadena, CA | independent RIA | $610M | 98% | 10 | $61.0M | 1 | 0 |
| W••••••• D••••••••• C••••••• L•• CRD 306299 | Bakersfield, CA | independent RIA | $610M | 59% | 4 | $152M | 0 | 0 |
| E•••••••• W••••• M••••••••• I••• CRD 108652 | Appleton, WI | independent RIA | $609M | 83% | 13 | $46.9M | 6 | 11 |
| C••••••••• W••••• A•••••••• I••• CRD 124947 | Edina, MN | independent RIA | $609M | 99% | 5 | $122M | 0 | 0 |
| C•••••• F••••• A•••••••• L•• CRD 283995 | New York, NY | independent RIA | $608M | 100% | 3 | $203M | 0 | 0 |
| R••• C•••••• A•••••••• L•• CRD 173054 | Miami Beach, FL | independent RIA | $608M | 99% | 14 | $43.5M | 6 | 1 |
| B••••• H••••• W••••• A••••••• CRD 300243 | Virginia Beach, VA | independent RIA | $608M | 96% | 6 | $101M | 0 | 0 |
| I•••• P•••••• W•••••• L•• CRD 297154 | Jupiter, FL | independent RIA | $608M | 98% | 3 | $203M | 0 | 0 |
| G••••••• W••••• M••••••••• CRD 127701 | Arden Hills, MN | BD affiliated | $608M | 99% | 64 | $9.5M | 46 | 0 |
| I••••••• W••••• M••••••••• L•• CRD 200511 | Chandler, AZ | independent RIA | $608M | 100% | 6 | $101M | 1 | 0 |
| D•••• • A••••••••• L•• CRD 154854 | Waukesha, WI | independent RIA | $607M | 100% | 16 | $38.0M | 1 | 0 |
| T•• E••••••••• I••••••••• C•••••• CRD 116889 | Farmington Hills, MI | independent RIA | $607M | 93% | 2 | $304M | 0 | 0 |
| D••••• M••••• • C•• CRD 151053 | Radnor, PA | independent RIA | $607M | 100% | 2 | $304M | 0 | 0 |
| S••• W••••• A••••••• CRD 340644 | Chino Hills, CA | independent RIA | $606M | 98% | 4 | $152M | 0 | 0 |
| C••••••••• CRD 312899 | Knoxville, TN | independent RIA | $606M | 78% | 5 | $121M | 1 | 0 |
| C••••••• S••••• C••••••• I••• CRD 10489 | Sausalito, CA | independent RIA | $606M | 96% | 8 | $75.7M | 2 | 0 |
| P•••••••• F•••••••• A••••••• G•••• CRD 132662 | Hanover, MD | independent RIA | $605M | 100% | 15 | $40.4M | 11 | 0 |
| T••• F•••••••• CRD 158305 | San Antonio, TX | independent RIA | $605M | 96% | 10 | $60.5M | 4 | 0 |
| M•• W••••• A•••••••• L•• CRD 171984 | Pittsburgh, PA | independent RIA | $605M | 100% | 8 | $75.7M | 0 | 0 |
| A•••• B•••• CRD 133408 | Louisville, KY | independent RIA | $605M | 92% | 7 | $86.5M | 0 | 0 |
| F•••••• P•••••• W•••••• L•• CRD 329636 | Birmingham, AL | independent RIA | $605M | 99% | 6 | $101M | 0 | 0 |
| D•••••• F••••• O••••• CRD 338015 | Tavares, FL | independent RIA | $605M | 97% | 8 | $75.6M | 1 | 0 |
| S••••• W••••• M••••••••• L•• CRD 119598 | Matthews, NC | independent RIA | $605M | 95% | 8 | $75.6M | 1 | 6 |
| H••••••• W••••• A••••••• CRD 312545 | Cincinnati, OH | independent RIA | $605M | 100% | 3 | $202M | 0 | 0 |
| A••••••• E••• P•••••• W••••• M••••••••• CRD 327354 | independent RIA | $604M | 99% | 5 | $121M | 0 | 0 | |
| A••••••• C•••••• M••••••••• CRD 123824 | Dallas, TX | independent RIA | $604M | 94% | 3 | $201M | 0 | 2 |
| T••••• A•••• M••••••••• L•• CRD 174844 | Littleton, CO | independent RIA | $604M | 88% | 60 | $10.1M | 60 | 0 |
| A•••• W••••• M••••••••• L•• CRD 298165 | Appleton, WI | independent RIA | $603M | 97% | 9 | $67.0M | 0 | 0 |
| A• A•••• M••••••••• I••• CRD 110342 | West Hollywood, CA | independent RIA | $603M | 56% | 3 | $201M | 1 | 3 |
| I•••••• P•••••• W•••••• L•• CRD 315698 | Colorado Springs, CO | independent RIA | $603M | 99% | 4 | $151M | 0 | 0 |
| O•• C•••• W••••• P••••••• CRD 331850 | Greenwood Village, CO | independent RIA | $602M | 99% | 3 | $201M | 0 | 0 |
| D•••••• F•••••••• CRD 288211 | London, | independent RIA | $602M | 100% | 12 | $50.1M | 4 | 0 |
| L••• C•••••• M••••••••• I••• CRD 125183 | Holladay, UT | mixed wealth | $601M | 20% | 3 | $200M | 0 | 0 |
| A••••••• W••••• A•••••••• L•• CRD 288394 | Scranton, PA | independent RIA | $601M | 82% | 6 | $100M | 0 | 0 |
| M•••• A•••••••• L•• CRD 291204 | Excelsior, MN | independent RIA | $601M | 100% | 4 | $150M | 0 | 0 |
| A••• F•••••••• L•• CRD 173070 | San Juan, PR | independent RIA | $601M | 64% | 7 | $85.8M | 2 | 5 |
| O••• F•••••••• P••••••• CRD 282355 | Mclean, VA | independent RIA | $601M | 97% | 11 | $54.6M | 1 | 0 |
| C•• W••••• M••••••••• CRD 154238 | The Woodlands, TX | independent RIA | $600M | 100% | 4 | $150M | 0 | 0 |
| S•••••• W••••• M••••••••• L•• CRD 170543 | Barrington, IL | independent RIA | $600M | 100% | 16 | $37.5M | 9 | 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.