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 |
|---|---|---|---|---|---|---|---|---|
| Juno Financial Group LLC CRD 336362 | Richmond, VA | independent RIA | $542M | 57% | 6 | $90.3M | 0 | 0 |
| Beacon Investment Advisors LLC CRD 127368 | Gaithersburg, MD | independent RIA | $542M | 61% | 1 | $542M | 0 | 0 |
| Tandem Financial, LLC CRD 292565 | Greenwood Village, CO | independent RIA | $542M | 92% | 6 | $90.3M | 0 | 0 |
| S••••••••• W••••• P•••••••• L•• CRD 308026 | Red Bank, NJ | independent RIA | $542M | 92% | 4 | $135M | 0 | 0 |
| A••••••••• F•••••••• A••••••• I•• CRD 108154 | Milwaukee, WI | independent RIA | $541M | 100% | 3 | $180M | 0 | 0 |
| G••••••• B•••• W••••• M••••••••• CRD 306757 | Lafayette, IN | independent RIA | $541M | 99% | 11 | $49.2M | 1 | 0 |
| R••••••• W••••• M••••••••• I••• CRD 329961 | Tulsa, OK | mixed wealth | $541M | 31% | 6 | $90.2M | 4 | 0 |
| C••••••• F••••• O••••••• L•• CRD 298776 | Sarasota, FL | independent RIA | $541M | 99% | 5 | $108M | 0 | 0 |
| D••••••• A••••• C••••••• L•• CRD 129973 | Ridgeland, SC | independent RIA | $541M | 86% | 6 | $90.1M | 0 | 0 |
| G••• P•••••• W•••••• L•• CRD 128547 | Canton, MA | independent RIA | $541M | 87% | 3 | $180M | 0 | 0 |
| H••••• A•••••••• I••• CRD 105090 | New York, NY | independent RIA | $540M | 95% | 13 | $41.6M | 2 | 0 |
| L••• I••••••••• C•••••• CRD 106635 | Pasadena, CA | independent RIA | $540M | 99% | 2 | $270M | 0 | 0 |
| W•• I••••••••• L•• CRD 106336 | Red Bank, NJ | independent RIA | $540M | 51% | 6 | $89.9M | 0 | 0 |
| D•••••• F•••••••• G•••• CRD 288763 | Cedar Falls, IA | independent RIA | $540M | 100% | 3 | $180M | 0 | 0 |
| N•• C•••••• M••••••••• L•• CRD 151109 | Ramsey, NJ | independent RIA | $539M | 100% | 3 | $180M | 1 | 0 |
| W••••• A••••••• O• I•••• L•• CRD 115088 | West Des Moines, IA | independent RIA | $539M | 97% | 11 | $49.0M | 0 | 0 |
| R•••• S••••• A•••••••• L•• CRD 153537 | Aurora, IL | independent RIA | $539M | 95% | 10 | $53.9M | 4 | 0 |
| B•••• K••••• W••••• M••••••••• L•• CRD 305515 | independent RIA | $539M | 100% | 14 | $38.5M | 9 | 0 | |
| A••••• W••••• CRD 112973 | East Hanover, NJ | independent RIA | $539M | 98% | 14 | $38.5M | 0 | 0 |
| M••••••• H••• I••••••••• P••••••• CRD 175187 | Atlantic Highlands, NJ | independent RIA | $539M | 67% | 3 | $180M | 0 | 0 |
| G•••••••• C•••••• M••••••••• L•• CRD 113189 | Lone Tree, CO | independent RIA | $539M | 95% | 6 | $89.8M | 4 | 3 |
| B•••• W••••• M••••••••• L•• CRD 170627 | Wausau, WI | independent RIA | $539M | 100% | 8 | $67.3M | 1 | 0 |
| M••••• F•••••••• C•••••••• I••• CRD 114862 | Mount Pleasant, SC | independent RIA | $538M | 99% | 10 | $53.8M | 0 | 0 |
| A•••••• W••••• S••••••••• L••••• CRD 293175 | Omaha, NE | independent RIA | $538M | 100% | 5 | $108M | 0 | 0 |
| W••••• C•••••• M••••••••• L•• CRD 135037 | Suwanee, GA | independent RIA | $538M | 91% | 3 | $179M | 0 | 0 |
| R•••••• A•••• M••••••••• L•• CRD 138706 | Henrico, VA | independent RIA | $537M | 81% | 2 | $269M | 0 | 0 |
| H•••• F•••••••• G•••• I•• CRD 129971 | Lakewood, CO | independent RIA | $537M | 100% | 6 | $89.5M | 1 | 0 |
| N•••••••• C•••••• L•• CRD 173663 | Atlanta, GA | independent RIA | $536M | 51% | 4 | $134M | 0 | 0 |
| H•••••••• W••••• A•• E••••• M••••••••• CRD 289593 | Algonquin, IL | independent RIA | $536M | 99% | 6 | $89.4M | 1 | 0 |
| L••••• W•••••• L•• CRD 170805 | Norwalk, CT | independent RIA | $536M | 100% | 4 | $134M | 0 | 0 |
| L••••• C•••••• G•••• C••••••••• I••• CRD 111436 | Los Gatos, CA | mixed wealth | $536M | 38% | 3 | $179M | 1 | 0 |
| S•• A••••••• L•• CRD 284496 | Kirkland, WA | independent RIA | $535M | 100% | 9 | $59.5M | 0 | 0 |
| T•••••• W••••• M••••••••• L•• CRD 308457 | Calabasas, CA | independent RIA | $535M | 97% | 3 | $178M | 0 | 0 |
| F•••••••• I••••••••• L•• CRD 142769 | Atlanta, GA | independent RIA | $535M | 94% | 2 | $268M | 0 | 0 |
| N••••••• W••••• M••••••••• G••••• L•• CRD 174883 | Cincinnati, OH | independent RIA | $535M | 99% | 17 | $31.5M | 5 | 0 |
| P••• F•••••••• M••••••••• I•• CRD 110559 | Wellesley, MA | independent RIA | $534M | 99% | 7 | $76.3M | 8 | 0 |
| M••••••••• A••••••• CRD 129045 | Tinton Falls, NJ | independent RIA | $534M | 97% | 7 | $76.3M | 1 | 0 |
| U•• F•••••••• F••••••• C••••••••• CRD 139987 | Ada, MI | independent RIA | $534M | 100% | 1 | $534M | 0 | 0 |
| M•••• A•••• M••••••••• I••• CRD 285650 | Darien, CT | independent RIA | $534M | 87% | 0 | Not computed | 0 | 0 |
| P••••• C•••••• M••••••••• L•• CRD 142654 | The Woodlands, TX | independent RIA | $534M | 100% | 5 | $107M | 0 | 0 |
| R•••••••• I••••••••• M••••••••• CRD 115425 | Houston, TX | independent RIA | $534M | 92% | 9 | $59.3M | 0 | 0 |
| A••••••••• P•••••• I•••••••• L•• CRD 111545 | West Palm Beach, FL | independent RIA | $534M | 100% | 0 | Not computed | 0 | 5 |
| J••••••••• W••••• M••••••••• CRD 309312 | J•••••••••, FL | independent RIA | $534M | 99% | 5 | $107M | 1 | 0 |
| N•• C•••••• M••••••••• L• CRD 131658 | Houston, TX | independent RIA | $534M | 99% | 1 | $534M | 0 | 0 |
| C••••••••• F••••• O•••••• L•• CRD 301274 | York, PA | independent RIA | $533M | 98% | 4 | $133M | 1 | 0 |
| W••••• I••••••••• N••••••••• L•• CRD 340998 | Greer, SC | independent RIA | $533M | 97% | 7 | $76.1M | 1 | 0 |
| A••••••••• P•••••• W••••• M••••••••• I•• CRD 316736 | Wellesley, MA | independent RIA | $533M | 82% | 5 | $107M | 1 | 0 |
| B••••• W••••• M••••••••• L•• CRD 169894 | Bedford, NH | independent RIA | $533M | 100% | 4 | $133M | 0 | 0 |
| E•••• 3• F••••••••• L•• CRD 327632 | Midland, TX | independent RIA | $532M | 93% | 4 | $133M | 0 | 3 |
| F••••••• G•••• W••••• P•••••••• L•• CRD 331352 | Richmond, VA | independent RIA | $532M | 100% | 2 | $266M | 0 | 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.