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.
9,426 advisers match
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Brandon Financial Planning, Inc. CRD 110267 | Memphis, TN | independent RIA | $435M | 97% | 3 | $145M | 0 | 0 |
| Carmel Capital Partners, LLC CRD 123907 | San Diego, CA | independent RIA | $434M | 85% | 8 | $54.3M | 4 | 3 |
| Comprehensive Financial Planning, Inc. CRD 110937 | East Petersburg, PA | independent RIA | $434M | 70% | 6 | $72.4M | 0 | 0 |
| S••••••• F••••• O••••• | Coronado, CA | independent RIA | $434M | 99% | 2 | $217M | 0 | 0 |
| P••• A• W•••••• L•• | Lincoln, NE | independent RIA | $434M | 95% | 7 | $62.0M | 1 | 0 |
| R••••• A•••• | Hermantown, MN | independent RIA | $434M | 100% | 4 | $108M | 5 | 0 |
| S•••••• • P••••• | Canonsburg, PA | independent RIA | $433M | 98% | 4 | $108M | 1 | 0 |
| W••••••• W••••• C•••••• L•• | Atlanta, GA | independent RIA | $433M | 97% | 3 | $144M | 0 | 0 |
| G••••••••• P••••••• L•• | Lakeland, FL | independent RIA | $433M | 100% | 1 | $433M | 0 | 0 |
| T••• A••• F••••• W•••••• L•• | Easton, MD | independent RIA | $432M | 91% | 2 | $216M | 0 | 0 |
| A••••••••• L•• | Cincinnati, OH | independent RIA | $432M | 95% | 5 | $86.4M | 0 | 0 |
| F•• P•••••• W••••• M••••••••• I••• | Waterloo, IA | BD affiliated | $432M | 96% | 10 | $43.2M | 3 | 0 |
| M•••• R•• W••••• M••••••••• | Nashville, TN | independent RIA | $432M | 95% | 3 | $144M | 0 | 0 |
| T•••••• A•••••••• I••• | Riverside, CA | independent RIA | $432M | 94% | 6 | $71.9M | 0 | 0 |
| N•• I••••••••• A•••••••• L•• | Knoxville, TN | independent RIA | $431M | 100% | 3 | $144M | 0 | 0 |
| E•• P•••••••• P•••••••• I••• | Leawood, KS | independent RIA | $431M | 97% | 4 | $108M | 1 | 0 |
| P••••••• F•••••••• S••••••• L•• | Melville, NY | independent RIA | $431M | 77% | 9 | $47.9M | 0 | 0 |
| M•• G•••• L•• | Cedarhurst, NY | independent RIA | $431M | 58% | 2 | $215M | 0 | 0 |
| C••••• C•••••• M••••••••• | Worcester, MA | independent RIA | $431M | 65% | 3 | $144M | 0 | 2 |
| S•••••••• A•••••••• L•• | Birmingham, AL | independent RIA | $431M | 99% | 4 | $108M | 0 | 0 |
| A•••••••• F••••• O•••••• L•• | Marina Del Rey, CA | independent RIA | $431M | 94% | 14 | $30.8M | 8 | 2 |
| W•••• P••• C•••••• L•• | Bloomington, MN | independent RIA | $431M | 78% | 3 | $144M | 1 | 1 |
| S•••• L•• | Fort Worth, TX | independent RIA | $430M | 100% | 8 | $53.8M | 0 | 0 |
| C••••• W••••• M••••••••• | Boynton Beach, FL | independent RIA | $430M | 97% | 5 | $86.0M | 1 | 0 |
| D•••• M••••••••• L•• | New York, NY | independent RIA | $430M | 83% | 0 | Not computed | 0 | 1 |
| S•••• F•••••••• G••••• L•• | Corning, NY | independent RIA | $430M | 100% | 3 | $143M | 1 | 0 |
| P•••• W••••• M••••••••• | Alpharetta, GA | independent RIA | $430M | 100% | 7 | $61.4M | 2 | 0 |
| I••••••••• C•••••• M••••••••• | Bloomfield Hills, MI | independent RIA | $430M | 91% | 3 | $143M | 0 | 0 |
| C•••••• F•••••••• G••••• I••• | Deerfield Beach, FL | independent RIA | $430M | 100% | 3 | $143M | 0 | 0 |
| N••••••• W••••• M••••••••• L•• | Birmingham, AL | independent RIA | $430M | 95% | 7 | $61.4M | 2 | 0 |
| S••••• • J•••••• L•• | Nashville, TN | independent RIA | $429M | 90% | 2 | $215M | 0 | 0 |
| S••••••• F•••••••• S•••••••• I••• | Akron, OH | independent RIA | $429M | 77% | 8 | $53.6M | 1 | 0 |
| L••••• K•••••• I••••••••• M••••••••• I•• | Omaha, NE | independent RIA | $429M | 76% | 4 | $107M | 0 | 0 |
| B••• W•••• A•••• M••••••••• | Grand Rapids, MI | independent RIA | $428M | 96% | 7 | $61.2M | 2 | 0 |
| L••• Z• A••••••• L•• | independent RIA | $428M | 100% | 1 | $428M | 1 | 0 | |
| L••••••• F••••• O••••• | Westport, CT | independent RIA | $428M | 93% | 3 | $143M | 4 | 1 |
| P••••••••• F•••••••• A•••••••• L•• | Overland Park, KS | mixed wealth | $428M | 43% | 4 | $107M | 0 | 0 |
| H•••• P•••••• | Orlando, FL | independent RIA | $428M | 95% | 6 | $71.3M | 0 | 0 |
| A••••• F•••••••• | Granite Bay, CA | independent RIA | $428M | 97% | 3 | $143M | 1 | 0 |
| M••••••• P•••••• W••••• S••••••• L•• | Boston, MA | independent RIA | $428M | 90% | 2 | $214M | 0 | 0 |
| S••••••••• C•••••• | Denver, CO | independent RIA | $427M | 99% | 4 | $107M | 1 | 0 |
| O•••••••• F•••••••• S•••••••• L•• | San Rafael, CA | independent RIA | $427M | 99% | 6 | $71.2M | 2 | 0 |
| H•••••• F•••••••• G•••• | Cincinnati, OH | independent RIA | $427M | 96% | 5 | $85.3M | 0 | 0 |
| B••••• B••••• W••••• P•••••••• L•• | Lower Gwynedd, PA | independent RIA | $427M | 98% | 6 | $71.1M | 1 | 0 |
| B•••••• A•••• M••••••••• | Englewood, CO | independent RIA | $426M | 100% | 0 | Not computed | 0 | 0 |
| C•••••• C••••••• L•• | Franklin, TN | independent RIA | $426M | 98% | 9 | $47.3M | 1 | 0 |
| T•• F•••••••• A••••••• | Radnor, PA | independent RIA | $426M | 100% | 6 | $71.0M | 0 | 0 |
| L••••• B••••• P•••••• F••••• O•••••• | West Des Moines, IA | independent RIA | $426M | 99% | 2 | $213M | 0 | 0 |
| O••• 3•• W•••••• I••• | Plainsboro, NJ | independent RIA | $426M | 95% | 5 | $85.1M | 3 | 0 |
| M••••• • S•••••• | Dallas, TX | independent RIA | $426M | 100% | 7 | $60.8M | 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.