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 |
|---|---|---|---|---|---|---|---|---|
| Appomattox Advisory, Inc CRD 153731 | New York, NY | independent RIA | $426M | 89% | 0 | Not computed | 0 | 7 |
| Quad-Cities Investment Group, LLC CRD 154113 | Davenport, IA | independent RIA | $426M | 84% | 7 | $60.8M | 0 | 0 |
| Big Investment Services CRD 291437 | Dover, DE | independent RIA | $425M | 98% | 4 | $106M | 0 | 0 |
| S••••••••• C•••••• M••••••••• | Danvers, MA | independent RIA | $425M | 100% | 5 | $85.1M | 0 | 0 |
| B••••••••• W••••• | Winchester, VA | independent RIA | $425M | 97% | 6 | $70.9M | 2 | 0 |
| T•••••• W••••• M••••••••• L•• | Cincinnati, OH | independent RIA | $425M | 100% | 2 | $213M | 0 | 0 |
| P••••••• I••••••••• A•••••••• L•• | Bridgewater, NJ | independent RIA | $425M | 92% | 8 | $53.1M | 3 | 0 |
| A••••• I••••••••• M••••••••• L•• | Tullahoma, TN | independent RIA | $425M | 95% | 2 | $213M | 1 | 0 |
| L••••••• S••••••••• C•••• | Rochester, NY | BD affiliated | $425M | 100% | 77 | $5.5M | 74 | 0 |
| M••••••••• F•••••••• C••••••••• | Delmont, PA | independent RIA | $425M | 95% | 4 | $106M | 1 | 0 |
| S••••• W••••• M••••••••• G•••• | La Jolla, CA | independent RIA | $425M | 73% | 2 | $212M | 0 | 0 |
| M••••••• W••••• M••••••••• I••• | Clinton, MS | independent RIA | $425M | 97% | 3 | $142M | 0 | 0 |
| H•••• K••••• I••••••••• M••••••••• L••••• | Fairhope, AL | independent RIA | $424M | 99% | 2 | $212M | 1 | 0 |
| S•••• M•••• G••••• L•• | Eastland, TX | independent RIA | $424M | 53% | 11 | $38.6M | 1 | 0 |
| B••••••••• W••••• M••••••••• L•• | New York, NY | independent RIA | $424M | 95% | 7 | $60.6M | 2 | 0 |
| F•••• C••• C•••••• M••••••••• I•• | Savannah, GA | independent RIA | $424M | 96% | 4 | $106M | 0 | 0 |
| C••••• C•••• W•••••• L•• | La Jolla, CA | independent RIA | $424M | 88% | 5 | $84.7M | 2 | 0 |
| G••••• P•••••••• L•• | Lake G•••••, WI | independent RIA | $424M | 97% | 9 | $47.1M | 1 | 0 |
| H••••••• F••••• O••••••• L•• | Scottsdale, AZ | independent RIA | $423M | 100% | 4 | $106M | 0 | 1 |
| S••••••• W••••• M••••••••• | Mclean, VA | independent RIA | $423M | 100% | 4 | $106M | 0 | 0 |
| V•••••• W•••••• L•• | West Des Moines, IA | independent RIA | $423M | 65% | 3 | $141M | 1 | 30 |
| B•••••••• • B•••••••• F•••••••• A••••••• I••• | San Luis Obispo, CA | independent RIA | $423M | 91% | 8 | $52.9M | 3 | 0 |
| C•••••• W••••• I••••••••• | Scranton, PA | independent RIA | $423M | 100% | 2 | $211M | 2 | 0 |
| M••••••• A•••• M••••••••• I••• | Redwood Shores, CA | independent RIA | $422M | 100% | 2 | $211M | 0 | 0 |
| F•••• W••••• M••••••••• | Sarasota, FL | independent RIA | $422M | 96% | 4 | $106M | 0 | 0 |
| C••••••• P••• C•••••• L•• | Saratoga Springs, NY | independent RIA | $422M | 96% | 3 | $141M | 0 | 0 |
| A••••••••• C•••••• A•••••••• L•• | Syracuse, NY | independent RIA | $422M | 84% | 4 | $106M | 0 | 0 |
| T•• E••••• P••••••• G•••• | Yardley, PA | independent RIA | $422M | 100% | 6 | $70.3M | 2 | 0 |
| T•••• | Cumming, GA | independent RIA | $422M | 100% | 5 | $84.3M | 1 | 0 |
| G•••••• C•••••• A••••••• | Princeton, NJ | independent RIA | $421M | 78% | 4 | $105M | 0 | 0 |
| O•••••• G•••• W••••• A••••••• | Lancaster, PA | independent RIA | $421M | 98% | 4 | $105M | 0 | 0 |
| G•••••• B•••••••• G••••• • G••••••• I••• | Monroe, LA | independent RIA | $421M | 99% | 4 | $105M | 0 | 0 |
| R•••••• A••••••• | Redding, CA | independent RIA | $421M | 98% | 11 | $38.2M | 5 | 0 |
| G••••• P•••••••• M••••••••• | Tiburon, CA | independent RIA | $420M | 95% | 7 | $60.1M | 0 | 0 |
| A•••• P•••••• W••••• L•• | Richmond, VA | independent RIA | $420M | 98% | 6 | $70.1M | 0 | 0 |
| G•••••• C•••••• A•••••••• L•• | Auburn, NY | independent RIA | $420M | 96% | 2 | $210M | 0 | 0 |
| E••••• F••••••••• L•• | Scottsdale, AZ | independent RIA | $420M | 99% | 5 | $84.0M | 1 | 0 |
| C•••••• I••••••••• G••••• I••• | Colorado Springs, CO | bank affiliated | $420M | 83% | 4 | $105M | 0 | 0 |
| P•••• B••••• C••••••• L•• | Fort Worth, TX | independent RIA | $420M | 56% | 1 | $420M | 0 | 9 |
| H•••••••• A•••• M••••••••• L•• | Miami, FL | independent RIA | $420M | 58% | 2 | $210M | 1 | 0 |
| O••••••• F•••••••• S••••••• L•• | San Juan, PR | mixed wealth | $420M | 47% | 12 | $35.0M | 3 | 0 |
| R••• R••• • C••••••• I•• | Bohemia, NY | independent RIA | $419M | 94% | 4 | $105M | 2 | 0 |
| H••••• W••••• M••••••••• I••• | Vancouver, WA | independent RIA | $419M | 99% | 7 | $59.9M | 0 | 0 |
| R••••• I••••••••• A•••••••• I••• | Fort Worth, TX | independent RIA | $419M | 80% | 9 | $46.6M | 3 | 0 |
| R•••••••• I••••••••• | Springfield, NJ | independent RIA | $419M | 70% | 4 | $105M | 3 | 7 |
| W• W••••• M••••••••• L•• | Scottsdale, AZ | independent RIA | $419M | 99% | 13 | $32.2M | 3 | 0 |
| S••••• O•• A••••••• G•••• | Portland, OR | independent RIA | $419M | 98% | 3 | $140M | 0 | 0 |
| T••••••••• L•• | Buda, TX | independent RIA | $419M | 97% | 42 | $10.0M | 16 | 0 |
| O•• O•• C•••••• M••••••••• L•• | Purchase, NY | independent RIA | $419M | 57% | 3 | $140M | 0 | 3 |
| L•••••• C•••••• C••••••••• | East Greenwich, RI | independent RIA | $418M | 97% | 3 | $139M | 3 | 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.