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 |
|---|---|---|---|---|---|---|---|---|
| Pegasus Asset Management Inc CRD 104766 | Morristown, NJ | independent RIA | $554M | 83% | 3 | $185M | 1 | 0 |
| Asset Planning, Inc CRD 111535 | Los Alamitos, CA | independent RIA | $553M | 100% | 5 | $111M | 0 | 0 |
| Sc Asesores En Inversiones Independientes Sa De Cv CRD 339845 | Mexico City, | mixed wealth | $553M | 47% | 0 | Not computed | 0 | 0 |
| C•••••••• P••••••• CRD 125401 | Petaluma, CA | independent RIA | $553M | 95% | 2 | $277M | 0 | 0 |
| T•• C•••••• M••••••••• G••••• L•• CRD 131889 | Summit, NJ | independent RIA | $553M | 90% | 2 | $277M | 0 | 0 |
| N••• W••••• CRD 342013 | Greenwich, CT | independent RIA | $553M | 100% | 4 | $138M | 0 | 0 |
| T••••• I••••••••• L•• CRD 287941 | independent RIA | $553M | 100% | 1 | $553M | 0 | 0 | |
| O•••• F•••••••• G••••• L•• CRD 164147 | Santa Barbara, CA | independent RIA | $552M | 98% | 5 | $110M | 1 | 0 |
| N•••• O•• F•••••••• A••••••• L•• CRD 336809 | Plano, TX | independent RIA | $552M | 100% | 6 | $92.0M | 0 | 0 |
| A••••••• W••••• A•••••••• L•• CRD 314668 | Centerville, UT | independent RIA | $552M | 100% | 11 | $50.2M | 0 | 0 |
| G••••• A••••• A•••••••• L•• CRD 300460 | Orlando, FL | independent RIA | $552M | 99% | 30 | $18.4M | 17 | 0 |
| T•• S•• CRD 297658 | The Woodlands, TX | independent RIA | $551M | 100% | 10 | $55.1M | 1 | 0 |
| B•••••••• P•••••••• L•• CRD 137433 | Hudson, OH | independent RIA | $551M | 79% | 3 | $184M | 0 | 0 |
| V••••••• C•••••• P••••••• CRD 314290 | Frederick, MD | independent RIA | $551M | 100% | 8 | $68.9M | 0 | 0 |
| A••••• F•••••••• A•••••••• L•• CRD 131315 | Lubbock, TX | independent RIA | $551M | 90% | 19 | $29.0M | 8 | 0 |
| D••••• C••••••• I••• CRD 177523 | Napa, CA | independent RIA | $551M | 99% | 6 | $91.8M | 0 | 0 |
| P••••••• W••••• A••••••• CRD 117517 | Clackamas, OR | independent RIA | $550M | 86% | 16 | $34.4M | 5 | 0 |
| S••••• F•••••••• G•••• CRD 117392 | Bellevue, WA | independent RIA | $550M | 100% | 9 | $61.1M | 1 | 0 |
| H•••••• I••••••••• C••••••••• L•• CRD 110258 | Hunt Valley, MD | independent RIA | $549M | 95% | 4 | $137M | 0 | 0 |
| M••• • C•• P•••••••• L• CRD 324218 | Dallas, TX | independent RIA | $549M | 96% | 2 | $274M | 0 | 4 |
| S••••• F•••••••• S•••••••• I••• CRD 117023 | Edina, MN | independent RIA | $549M | 88% | 8 | $68.6M | 0 | 0 |
| M•••• W••••• A•••••••• L•• CRD 159251 | Southlake, TX | independent RIA | $549M | 90% | 7 | $78.4M | 0 | 2 |
| M•• H••• C••••••• L•• CRD 332076 | Cohasset, MA | independent RIA | $549M | 85% | 3 | $183M | 2 | 0 |
| H•••• A••••••••• CRD 107128 | Allentown, PA | independent RIA | $548M | 96% | 4 | $137M | 2 | 0 |
| C••• W••••• A••••••• CRD 330731 | Long Beach, CA | independent RIA | $548M | 89% | 10 | $54.8M | 4 | 0 |
| T••••••••• A•••••••• L•• CRD 298838 | Hoover, AL | independent RIA | $547M | 99% | 14 | $39.1M | 9 | 0 |
| A••••••• F•••••••• C••••••••• L•• CRD 288185 | Beachwood, OH | independent RIA | $547M | 51% | 6 | $91.2M | 3 | 0 |
| M•••• W••••• M••••••••• CRD 289413 | Carmel, IN | independent RIA | $547M | 91% | 7 | $78.1M | 2 | 0 |
| J•• W••••• A••••••• CRD 333645 | La Jolla, CA | independent RIA | $547M | 90% | 6 | $91.1M | 1 | 0 |
| B•••• F•••••••• F••••••• L•• CRD 167893 | Franklin, MA | independent RIA | $546M | 98% | 7 | $78.1M | 1 | 0 |
| M••••• F•••••••• G••••• L•• CRD 298195 | Rogers, AR | independent RIA | $546M | 99% | 9 | $60.7M | 0 | 0 |
| L••••• W••••• CRD 306732 | Woodbury, MN | independent RIA | $546M | 100% | 5 | $109M | 0 | 0 |
| W••••••••• S•••••• • C••• L•• CRD 149021 | New York, NY | independent RIA | $546M | 91% | 23 | $23.7M | 2 | 0 |
| W•••••••• I••••••••• C••••••••• I••• CRD 107732 | Concord, NH | independent RIA | $545M | 99% | 3 | $182M | 0 | 0 |
| S••••••••• A•••••••• L•• CRD 277099 | Mount Joy, PA | independent RIA | $545M | 94% | 9 | $60.6M | 0 | 0 |
| 2• F•••••••• CRD 317916 | Saint Louis, MO | independent RIA | $545M | 100% | 9 | $60.6M | 2 | 0 |
| S•••• W••••• M••••••••• CRD 334084 | Emeryville, CA | independent RIA | $545M | 88% | 3 | $182M | 0 | 0 |
| T••••••• W••••• L•• CRD 341186 | Winter Park, FL | independent RIA | $545M | 98% | 7 | $77.8M | 5 | 0 |
| S••••• O••••• L•• CRD 313829 | Ripon, CA | independent RIA | $545M | 52% | 3 | $182M | 0 | 0 |
| P•••••••• F•••••••• A••••••• CRD 286211 | Portland, ME | independent RIA | $545M | 100% | 8 | $68.1M | 1 | 0 |
| O•••••••• F••••• O•••••• CRD 323305 | Birmingham, AL | mixed wealth | $544M | 45% | 10 | $54.4M | 8 | 0 |
| G••••• R•••••• R••••••••• L•• CRD 283588 | Dublin, OH | independent RIA | $544M | 100% | 29 | $18.8M | 45 | 0 |
| G••••••• I••••••••• C•••••• C•••• CRD 146982 | Toronto, | independent RIA | $544M | 74% | 0 | Not computed | 0 | 0 |
| A••••••• L•••• W••••• M••••••••• L•• CRD 130931 | Danville, CA | independent RIA | $543M | 99% | 1 | $543M | 0 | 0 |
| M••••• W••••• M••••••••• CRD 315730 | Monroeville, PA | independent RIA | $543M | 100% | 5 | $109M | 0 | 0 |
| P•••••• W••••• M••••••••• L•• CRD 306548 | Great Neck, NY | independent RIA | $543M | 97% | 5 | $109M | 2 | 0 |
| P••••••••• P••••••• CRD 298268 | North Kansas City, MO | independent RIA | $543M | 97% | 11 | $49.4M | 0 | 0 |
| F••••••••• F••••••••• L•• CRD 150813 | Chicago, IL | independent RIA | $543M | 99% | 2 | $272M | 0 | 0 |
| H•••••••• I••••••••• C••••••••• CRD 133009 | Mcminnville, OR | independent RIA | $543M | 91% | 5 | $109M | 0 | 0 |
| C••••• C•••• P••••••• CRD 120131 | Glen Mills, PA | independent RIA | $542M | 92% | 6 | $90.4M | 1 | 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.