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 |
|---|---|---|---|---|---|---|---|---|
| Great Valley Advisor Group, LLC CRD 123913 | Berwyn, PA | independent RIA | $11B | 87% | 190 | $55.8M | 72 | 0 |
| Advisory Services Network CRD 146051 | Atlanta, GA | independent RIA | $11B | 97% | 248 | $42.7M | 117 | 0 |
| Ruane Cunniff L.P. CRD 285971 | New York, NY | mixed wealth | $11B | 37% | 0 | n/a | 1 | 0 |
| P••••••• A••••••••• L••• CRD 110631 | New York, NY | mixed wealth | $10B | 38% | 33 | $315M | 8 | 4 |
| J•••••• W••••• I••• CRD 125557 | Milwaukee, WI | mixed wealth | $10B | 38% | 72 | $144M | 7 | 0 |
| P••••••• A•••••••• L•• CRD 140800 | San Francisco, CA | independent RIA | $10B | 90% | 75 | $137M | 20 | 0 |
| B••••••• • C•• W••••• M••••••••• L•• CRD 292246 | Cincinnati, OH | independent RIA | $10B | 85% | 32 | $320M | 2 | 0 |
| C••• S••••• P••••••• CRD 128545 | Richmond, VA | BD affiliated | $10B | 87% | 121 | $84.7M | 24 | 0 |
| T••••••••• A•••• M••••••••• L• CRD 105690 | New York, NY | independent RIA | $10B | 56% | 32 | $320M | 1 | 5 |
| C•••••••• •••••••• I••••••••• P•• L•••••• CRD 161331 | Sydney, | mixed wealth | $10B | 26% | 0 | n/a | 1 | 0 |
| C••••• F••••• O•••••• L•• CRD 317446 | Radnor, PA | independent RIA | $10B | 70% | 0 | n/a | 14 | 0 |
| V•••••• A•••••••• I••• CRD 108050 | Akron, OH | BD affiliated | $10B | 80% | 292 | $34.8M | 156 | 0 |
| P••••••••• S••••••••• C••••••••• CRD 11869 | Carpinteria, CA | independent RIA | $10B | 91% | 444 | $22.8M | 350 | 0 |
| S••••• A•••• M••••••••• U•• I••• CRD 139022 | Darien, CT | mixed wealth | $10B | 26% | 22 | $460M | 4 | 4 |
| F••••••••• I••••••••• A••••••• L•• CRD 175083 | Phoenix, AZ | independent RIA | $10B | 100% | 298 | $33.9M | 85 | 0 |
| O•••••• C•••••••• A•••••••• L•• CRD 336837 | Atlanta, GA | independent RIA | $10B | 100% | 122 | $82.7M | 0 | 0 |
| F•••••••• C••••••••• I•• CRD 104753 | St Paul, MN | independent RIA | $10B | 88% | 17 | $592M | 1 | 0 |
| C••••• I••••••••• A••••••• CRD 106109 | Boston, MA | independent RIA | $10B | 94% | 15 | $670M | 0 | 3 |
| H•••• F•••••••• S•••••••• I••• CRD 46047 | Southfield, MI | independent RIA | $10B | 99% | 398 | $25.1M | 20 | 0 |
| B•• F••••• O•••••• L•• CRD 110264 | Chicago, IL | bank affiliated | $10.0B | 98% | 3 | $3.3B | 6 | 26 |
| I••••••••• I••••••••• S•••••••• I•• CRD 107498 | Albert Lea, MN | mixed wealth | $9.9B | 23% | 60 | $165M | 13 | 0 |
| W•••• • F••••• L•• CRD 115119 | Boston, MA | independent RIA | $9.9B | 83% | 5 | $2.0B | 0 | 2 |
| S••••••••• A•••••••• L•• CRD 171992 | Chicago, IL | independent RIA | $9.8B | 85% | 22 | $447M | 3 | 0 |
| I•• W••••• M••••••••• L•• CRD 171481 | Chicago, IL | BD affiliated | $9.8B | 72% | 160 | $61.3M | 67 | 0 |
| A••••• A•••••••• L•• CRD 120642 | Chicago, IL | independent RIA | $9.8B | 69% | 0 | n/a | 0 | 1 |
| C•••••••• F••••••••• I••• CRD 30833 | Anaheim, CA | BD affiliated | $9.7B | 99% | 427 | $22.8M | 278 | 0 |
| F• L• P••••• I••••••••• M••••••••• C•• CRD 106223 | Lynnfield, MA | independent RIA | $9.7B | 78% | 79 | $123M | 14 | 0 |
| S••••••••• L•• CRD 112758 | Atlanta, GA | independent RIA | $9.7B | 95% | 49 | $197M | 1 | 2 |
| T•• A•••••••• G•••• CRD 305585 | Las Vegas, NV | BD affiliated | $9.7B | 90% | 209 | $46.2M | 110 | 0 |
| M••• S••••• A••••••• CRD 305170 | Santa Monica, CA | independent RIA | $9.6B | 74% | 0 | n/a | 0 | 6 |
| H•••••• K••••••• A•••• M••••••••• L•• CRD 106096 | New York, NY | mixed wealth | $9.6B | 27% | 1 | $9.6B | 3 | 22 |
| S•••• P••• I••••••••• O••••• L• CRD 157435 | San Francisco, CA | mixed wealth | $9.6B | 43% | 14 | $686M | 0 | 0 |
| H•••••• I••••••••• I••• CRD 19258 | Madison, WI | independent RIA | $9.6B | 96% | 247 | $38.9M | 137 | 0 |
| M•••••• A•••••• N•••••• CRD 283824 | Overland Park, KS | BD affiliated | $9.6B | 97% | 8 | $1.2B | 97 | 0 |
| O•••• W••••• M••••••••• L•• CRD 168219 | Altoona, WI | independent RIA | $9.5B | 74% | 31 | $308M | 2 | 0 |
| C••••••••• W•••••• L•• CRD 143483 | Los Angeles, CA | independent RIA | $9.5B | 91% | 79 | $120M | 19 | 0 |
| G•••••• R•••• • Q•••• L•• CRD 106114 | Lancaster, PA | mixed wealth | $9.4B | 49% | 0 | n/a | 0 | 3 |
| R••••••• W••••• M••••••••• CRD 168652 | New York, NY | independent RIA | $9.4B | 94% | 57 | $165M | 14 | 0 |
| F••••••• I••••••••• W••••• A•••••• L•• CRD 301896 | Boston, MA | mixed wealth | $9.4B | 48% | 38 | $247M | 11 | 0 |
| J••• I••••••• • C••• L•• CRD 152450 | New York, NY | independent RIA | $9.3B | 100% | 16 | $583M | 0 | 0 |
| T••••••• P•••••• W••••• M••••••••• CRD 111838 | Dallas, TX | mixed wealth | $9.3B | 38% | 33 | $281M | 1 | 0 |
| G••••• W••••• M••••••••• I••• CRD 120894 | Englewood, CO | BD affiliated | $9.2B | 98% | 192 | $48.0M | 113 | 0 |
| P•••••• CRD 288239 | Shelton, CT | mixed wealth | $9.2B | 37% | 48 | $192M | 23 | 2 |
| C••••••• I••••••••• C•••••• I•• CRD 110271 | Atlanta, GA | independent RIA | $9.1B | 66% | 22 | $415M | 1 | 0 |
| A•••••••• P•••••••• L•• CRD 301354 | Houston, TX | independent RIA | $9.1B | 77% | 53 | $172M | 11 | 9 |
| H••• P••••• CRD 2993 | Portland, ME | independent RIA | $9.1B | 77% | 1 | $9.1B | 2 | 1 |
| B•••••• F••••• • S•••••• I•• CRD 106928 | Hartford, CT | independent RIA | $9.1B | 89% | 23 | $394M | 8 | 1 |
| H•••••• T••••••• • K•••• L•• CRD 4031 | Conshohocken, PA | independent RIA | $9.0B | 91% | 469 | $19.2M | 250 | 0 |
| S•••• Q•••• A•••••••• L•• CRD 132330 | Morristown, NJ | independent RIA | $9.0B | 85% | 40 | $225M | 7 | 5 |
| C•••••••• G••••• I••••••••• I••• CRD 113360 | Houston, TX | mixed wealth | $9.0B | 34% | 22 | $408M | 2 | 0 |
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9,801 advisers match.