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 |
|---|---|---|---|---|---|---|---|---|
| Aspect Partners, LLC CRD 307273 | Fairfax, VA | independent RIA | $418M | 95% | 5 | $83.6M | 1 | 0 |
| Mauney-Pitt Financial Management, Inc. CRD 337870 | Shelby, NC | independent RIA | $418M | 98% | 3 | $139M | 1 | 0 |
| Quantum Private Wealth, LLC CRD 307358 | Tampa, FL | independent RIA | $418M | 99% | 1 | $418M | 1 | 0 |
| F•••• I••••••••• M••••••••• | Houston, TX | independent RIA | $418M | 98% | 3 | $139M | 0 | 0 |
| F••••••• W••••• P••••••• L•• | Newport Beach, CA | independent RIA | $418M | 100% | 2 | $209M | 0 | 0 |
| C•••••• P•••••• W••••• A••••••• | Port Charlotte, FL | independent RIA | $418M | 95% | 7 | $59.7M | 4 | 0 |
| E•••• W••••• M••••••••• G•••• I••• | Valencia, CA | independent RIA | $418M | 84% | 5 | $83.5M | 2 | 0 |
| C•••• W••••• M••••••••• | independent RIA | $417M | 64% | 3 | $139M | 2 | 0 | |
| C••••••••• P•••••••• L•• | Dallas, TX | independent RIA | $417M | 81% | 13 | $32.1M | 5 | 0 |
| S•••• M••• A••••••• L•• | Tallahassee, FL | independent RIA | $417M | 100% | 4 | $104M | 4 | 0 |
| J•••••• W••••• M••••••••• L•• | Glendale, CO | independent RIA | $417M | 95% | 3 | $139M | 0 | 0 |
| S•••••••• A•••• M••••••••• G•••• A••••••• | Pompano Beach, FL | independent RIA | $416M | 99% | 3 | $139M | 0 | 0 |
| M••••• I••••••••• G••••• L•• | Wichita, KS | independent RIA | $416M | 100% | 3 | $139M | 2 | 0 |
| H••••••• C•••••• M••••••••• L•• | Buffalo Grove, IL | independent RIA | $416M | 98% | 4 | $104M | 0 | 0 |
| B••• A••••••••• I•• | Chicago, IL | independent RIA | $416M | 95% | 2 | $208M | 0 | 1 |
| J•••••• N• M•••••• C•• L•• | Essex, CT | independent RIA | $416M | 99% | 2 | $208M | 0 | 0 |
| J•• C••••••• W••••• M••••••••• | Tuscaloosa, AL | independent RIA | $416M | 98% | 7 | $59.4M | 0 | 0 |
| S•• F••••••••• L•• | Buffalo Grove, IL | independent RIA | $416M | 100% | 14 | $29.7M | 3 | 0 |
| M••••••• C••••••••• G••••• L•• | Amherst, NY | independent RIA | $416M | 98% | 3 | $139M | 0 | 0 |
| R•••• O•• F•••••••• G•••• | Worthington, OH | independent RIA | $416M | 100% | 3 | $139M | 1 | 0 |
| D••••••• K••• C•••••• M••••••••• L•• | Sherman Oaks, CA | independent RIA | $415M | 97% | 3 | $138M | 1 | 0 |
| G•••••• A••••••• G••••• L•• | Needham, MA | independent RIA | $415M | 88% | 6 | $69.2M | 0 | 0 |
| F•••• W••••••• S••••••••• M••••••••• I••• | Pasadena, CA | independent RIA | $415M | 79% | 5 | $83.1M | 0 | 2 |
| F••••••• S•••••• L•• | Decatur, GA | independent RIA | $415M | 99% | 6 | $69.2M | 2 | 0 |
| F••••••• P•••••• W••••• L•• | Los Altos, CA | independent RIA | $415M | 100% | 2 | $208M | 0 | 0 |
| M••••••• A••••••• | New York, NY | independent RIA | $415M | 85% | 6 | $69.1M | 2 | 1 |
| W•••••• F•••••••• C••••••••• | San Diego, CA | independent RIA | $414M | 89% | 3 | $138M | 2 | 0 |
| N•••••••• P••••••• A••••••••• I••• | Bedford, NH | independent RIA | $414M | 100% | 73 | $5.7M | 35 | 0 |
| G••••• A•••• M••••••••• C••••••••• | independent RIA | $414M | 89% | 1 | $414M | 0 | 0 | |
| M•••••• A••••••• G••••• L•• | Urbandale, IA | independent RIA | $414M | 100% | 4 | $103M | 0 | 0 |
| G••• C•••• W••••• M••••••••• L•• | Jericho, NY | independent RIA | $414M | 84% | 2 | $207M | 2 | 1 |
| O•• A•••• M••••••••• L•• | Westlake Village, CA | independent RIA | $414M | 98% | 4 | $103M | 2 | 0 |
| W•••••••• P•••••• W••••• | Oak Brook, IL | independent RIA | $414M | 100% | 3 | $138M | 0 | 0 |
| C•••••••• G•••• | Tampa, FL | independent RIA | $414M | 53% | 2 | $207M | 0 | 23 |
| T•• B••••• • C•••••• | San Diego, CA | independent RIA | $413M | 100% | 2 | $207M | 0 | 0 |
| G•••• S••••• F••••••••• L•• | Peterborough, NH | independent RIA | $413M | 100% | 2 | $207M | 0 | 0 |
| N••••••••• F•••••••• G••••• L•• | Tampa, FL | independent RIA | $413M | 98% | 9 | $45.9M | 0 | 0 |
| A•••••••• W••••• A••••••• L•• | Bellevue, WA | independent RIA | $413M | 99% | 5 | $82.5M | 2 | 0 |
| A••••••• C•••••• M••••••••• | Asheville, NC | independent RIA | $412M | 77% | 2 | $206M | 2 | 0 |
| L••••••• A••••••• I•• | Seattle, WA | independent RIA | $412M | 96% | 3 | $137M | 0 | 0 |
| B•• H••••• W••••• M••••••••• L•• | Hunt Valley, MD | independent RIA | $412M | 99% | 3 | $137M | 0 | 0 |
| P•••• • B•••• F•••••••• | La Mesa, CA | independent RIA | $412M | 99% | 4 | $103M | 0 | 0 |
| F••••••••• W••••• M••••••••• L•• | Media, PA | independent RIA | $412M | 99% | 4 | $103M | 2 | 0 |
| C•••••••• F•••••••• M••••••••• C•••• | Manchester, NH | independent RIA | $412M | 93% | 6 | $68.6M | 0 | 0 |
| G•••••••• A•••• M••••••••• L•• | Harrisburg, PA | independent RIA | $412M | 100% | 4 | $103M | 5 | 0 |
| S••••• F••••••••• L••• | Edwardsville, IL | independent RIA | $412M | 99% | 13 | $31.7M | 9 | 0 |
| H••• C•••••• M••••••••• C••••••• I••• | Barrington, RI | independent RIA | $412M | 92% | 3 | $137M | 1 | 0 |
| M•• L•••• • A••••••••• | Center Valley, PA | independent RIA | $412M | 98% | 2 | $206M | 0 | 0 |
| B••• C•••••• L•• | Rehoboth Beach, DE | independent RIA | $411M | 99% | 7 | $58.8M | 0 | 0 |
| G••••••• W••••• M••••••••• L•• | Chattanooga, TN | independent RIA | $411M | 99% | 6 | $68.5M | 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.