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 |
|---|---|---|---|---|---|---|---|---|
| Kingsview Wealth Management, LLC CRD 148107 | Grants Pass, OR | independent RIA | $9.0B | 95% | 116 | $77.2M | 46 | 0 |
| Axxcess Wealth Management, LLC CRD 164081 | Carlsbad, CA | independent RIA | $8.9B | 89% | 38 | $234M | 26 | 0 |
| Key Investment Services LLC CRD 136300 | Brooklyn, OH | BD affiliated | $8.9B | 99% | 637 | $13.9M | 25 | 0 |
| S•••••• C•••••• A••••••• L•• CRD 157299 | New York, NY | BD affiliated | $8.9B | 97% | 121 | $73.3M | 14 | 0 |
| G••••••• I••••••••• L•• CRD 141726 | Arden Hills, MN | independent RIA | $8.8B | 100% | 31 | $285M | 0 | 0 |
| A••••••• W••••• A••••••• CRD 288863 | Atlanta, GA | BD affiliated | $8.8B | 84% | 221 | $39.8M | 104 | 0 |
| C•••••• A••••••• CRD 162200 | Fort Washington, PA | BD affiliated | $8.8B | 96% | 623 | $14.1M | 254 | 0 |
| R•••••••• S••••••• CRD 289977 | San Francisco, CA | independent RIA | $8.8B | 81% | 71 | $123M | 26 | 0 |
| U••• C•••••• W••••• A•••••••• L•• CRD 288199 | Houston, TX | BD affiliated | $8.8B | 94% | 0 | n/a | 7 | 1 |
| H••••• C•••••• M••••••••• L•• CRD 119278 | New York, NY | mixed wealth | $8.7B | 45% | 4 | $2.2B | 0 | 2 |
| F•••• F•••••••• M••••••••• L• CRD 145706 | Lombard, IL | independent RIA | $8.7B | 82% | 117 | $74.3M | 59 | 0 |
| M••••••• F••••• O••••• L•• CRD 155003 | Zurich, | independent RIA | $8.7B | 64% | 1 | $8.7B | 0 | 0 |
| T• P•••••• C••••• W••••• L•• CRD 164484 | New York, NY | BD affiliated | $8.6B | 80% | 523 | $16.4M | 221 | 0 |
| M••••• A•••••••• L•• CRD 167658 | Omaha, NE | BD affiliated | $8.5B | 94% | 154 | $55.5M | 75 | 0 |
| V••• A• A••••••• CRD 301761 | New York City, NY | independent RIA | $8.5B | 94% | 0 | n/a | 0 | 1 |
| O•• C•••••• M••••••••• L•• CRD 114861 | Westlake Village, CA | independent RIA | $8.5B | 63% | 64 | $133M | 12 | 0 |
| S••••••••• W••••• P••••••• CRD 283515 | Franklin, TN | independent RIA | $8.5B | 99% | 125 | $67.9M | 11 | 0 |
| S•••••• S••••••••• I••• CRD 14023 | Columbus, GA | BD affiliated | $8.4B | 90% | 171 | $49.4M | 64 | 0 |
| D•••••• C• L••• • A••••••••• CRD 282563 | New York, NY | independent RIA | $8.4B | 92% | 16 | $528M | 2 | 0 |
| E•••••••• W••••• M••••••••• CRD 152622 | Seattle, WA | independent RIA | $8.4B | 98% | 69 | $122M | 17 | 1 |
| A••••• A•••• M••••••••• L•• CRD 136674 | Boston, MA | mixed wealth | $8.4B | 26% | 2 | $4.2B | 0 | 4 |
| B•••••• G••••• A•••••••• L•• CRD 158508 | Boston, MA | independent RIA | $8.4B | 61% | 0 | n/a | 1 | 77 |
| Z•••• F•••••••• CRD 159257 | Portage, MI | independent RIA | $8.4B | 67% | 20 | $419M | 8 | 0 |
| S•••••• I••••••••• A•••••••• L•• CRD 286353 | Shrewsbury, NJ | mixed wealth | $8.3B | 29% | 5 | $1.7B | 1 | 8 |
| E•••••••• P•••• W••••• P•••••••• L•• CRD 137068 | Denver, CO | independent RIA | $8.3B | 98% | 56 | $148M | 13 | 0 |
| W••••••••• A••••••• P••••••• L•• CRD 171976 | West Chester, PA | BD affiliated | $8.3B | 93% | 176 | $47.1M | 69 | 0 |
| B••••• G••••• A•••• M••••••••• CRD 129376 | B•••••, MA | BD affiliated | $8.3B | 51% | 150 | $55.2M | 73 | 0 |
| N••••••• H•••••• • C••••••• L•• CRD 144516 | Atlanta, GA | independent RIA | $8.3B | 95% | 13 | $636M | 2 | 1 |
| J• W• C••• A•••••••• I••• CRD 112294 | Tampa, FL | BD affiliated | $8.2B | 96% | 494 | $16.7M | 278 | 0 |
| C•••••• I••••••••• A•••••••• L•• CRD 158055 | Atlanta, GA | independent RIA | $8.2B | 100% | 59 | $139M | 6 | 0 |
| C•••••••• A••••••••• L••••••• L•• CRD 106003 | Boston, MA | independent RIA | $8.2B | 52% | 0 | n/a | 1 | 0 |
| P••••••• C•••••• P••••••• L•• CRD 269931 | Newton, MA | independent RIA | $8.2B | 88% | 2 | $4.1B | 1 | 0 |
| R• M• D•••• I•• CRD 105448 | Portland, ME | independent RIA | $8.2B | 93% | 22 | $371M | 2 | 0 |
| C•••••• I••••••••• S•••••••• L•• CRD 159306 | Stamford, CT | independent RIA | $8.2B | 63% | 3 | $2.7B | 6 | 11 |
| B•••••••• I••••••••• L•• CRD 162492 | Naples, FL | mixed wealth | $8.1B | 39% | 0 | n/a | 2 | 2 |
| M••••••••• A••••••••• CRD 150614 | Washington, DC | independent RIA | $8.1B | 58% | 10 | $812M | 0 | 0 |
| H•••• I••••••• A••••••• L•• CRD 269875 | San Francisco, CA | independent RIA | $8.1B | 100% | 2 | $4.1B | 0 | 0 |
| A•••• W••••• M••••••••• L•• CRD 127987 | Brookfield, WI | independent RIA | $8.1B | 93% | 98 | $82.1M | 8 | 0 |
| C•••••••• A••••••• CRD 286243 | Boston, MA | independent RIA | $8.0B | 96% | 40 | $201M | 4 | 0 |
| H••••• C•••••• M••••••••• L•• CRD 118070 | Alpharetta, GA | independent RIA | $8.0B | 54% | 24 | $334M | 4 | 0 |
| R•• A•••••••• L•• CRD 158401 | Vestavia Hills, AL | independent RIA | $8.0B | 64% | 186 | $42.8M | 71 | 0 |
| I•• A•••••••• L•• CRD 148066 | Los Angeles, CA | independent RIA | $7.9B | 72% | 1 | $7.9B | 0 | 11 |
| H••••••••• F•••••••• A••••••• CRD 16986 | Columbus, OH | BD affiliated | $7.9B | 99% | 427 | $18.5M | 787 | 0 |
| R•• P•••••• C•••••• •••• I••• CRD 109648 | Toronto, On, | BD affiliated | $7.9B | 84% | 306 | $25.8M | 131 | 0 |
| D••• D••• A•• C••••••• I••• CRD 105179 | Baltimore, MD | independ••• wealth | $7.9B | 58% | 7 | $1.1B | 0 | 0 |
| I•••••• I••••••••• M••••••••• L•• CRD 2288 | New York, NY | independent RIA | $7.8B | 87% | 0 | n/a | 2 | 3 |
| I•••••• I••••••••• M••••••••• L•• CRD 343369 | New York, NY | independent RIA | $7.8B | 87% | 53 | $148M | 2 | 3 |
| C••••••••• F•••••••• P••••••• CRD 311980 | Mcmurray, PA | independent RIA | $7.8B | 95% | 45 | $174M | 8 | 0 |
| F•••• T•••• W••••• A••••••• L•• CRD 313015 | Cincinnati, OH | mixed wealth | $7.8B | 43% | 63 | $124M | 12 | 3 |
| O••••••• CRD 283087 | Beachwood, OH | independent RIA | $7.7B | 94% | 118 | $65.4M | 47 | 0 |
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9,801 advisers match.