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 |
|---|---|---|---|---|---|---|---|---|
| Core Wealth Management, Inc. CRD 162870 | Jupiter, FL | independent RIA | $405M | 96% | 3 | $135M | 0 | 0 |
| Arena Private Wealth CRD 332302 | Chicago, IL | independent RIA | $405M | 81% | 7 | $57.8M | 7 | 7 |
| Excel Financial, LLC CRD 145301 | Red Wing, MN | independent RIA | $404M | 70% | 7 | $57.8M | 3 | 0 |
| M• G•• W••••• | Spokane, WA | independent RIA | $404M | 98% | 3 | $135M | 1 | 0 |
| S• H••••• F•••••••• G••••• L•• | San Antonio, TX | independent RIA | $404M | 100% | 6 | $67.4M | 0 | 0 |
| D••••• F•••••••• G••••• L•• | Lexington, KY | independent RIA | $404M | 100% | 7 | $57.8M | 0 | 0 |
| F••••••• F•••••••• P•••••••• L••• | independent RIA | $404M | 100% | 3 | $135M | 1 | 0 | |
| N••••• | Mooresville, NC | mixed wealth | $404M | 32% | 7 | $57.8M | 4 | 0 |
| A•••• F•••••••• S••••••••• G••••• L•• | New Albany, IN | independent RIA | $404M | 86% | 6 | $67.4M | 0 | 0 |
| H•• I••••••••• A•••••••• L•• | Glassboro, NJ | independent RIA | $404M | 68% | 7 | $57.7M | 0 | 0 |
| C•••• I••••••••• L•• | Huntsville, AL | independent RIA | $404M | 99% | 6 | $67.3M | 2 | 0 |
| M••••••• F•••••••• G•••• | Bellevue, WA | independent RIA | $404M | 98% | 7 | $57.7M | 1 | 0 |
| A•••••••• R••••••• A••••••• I•• | Mclean, VA | independent RIA | $404M | 100% | 2 | $202M | 0 | 0 |
| A••• C••••••• A•••••••• L•• | Baltimore, MD | independent RIA | $404M | 70% | 4 | $101M | 2 | 0 |
| T•••• F•••••••• P•••••••• I••• | Wilmington, NC | independent RIA | $404M | 98% | 5 | $80.7M | 0 | 0 |
| M•• R•••• I•••••••• | Boston, MA | independent RIA | $404M | 71% | 4 | $101M | 1 | 2 |
| H••••• C••• W••••• M••••••••• | Bainbridge Island, WA | independent RIA | $404M | 81% | 7 | $57.6M | 0 | 0 |
| B•••• E•••••• W••••• S••••••••• | Lynchburg, VA | independent RIA | $403M | 92% | 8 | $50.4M | 13 | 0 |
| F•••• P•••••• C••••• G•••• | Fishers, IN | bank affiliated | $403M | 100% | 7 | $57.6M | 0 | 0 |
| S•••••• F•••••••• A••••••• | Bedford, NH | independent RIA | $403M | 98% | 6 | $67.2M | 0 | 0 |
| T•• C•••••• | Plano, TX | independent RIA | $403M | 97% | 5 | $80.6M | 1 | 0 |
| L••••• I••••••••• P•••••••• L•• | Overland Park, KS | independent RIA | $403M | 98% | 3 | $134M | 0 | 0 |
| B•••• D••••• • A••••••••• I••• | Blue Bell, PA | independent RIA | $403M | 85% | 2 | $202M | 0 | 0 |
| C••••••• L••• A••••••• L•• | Princeton, NJ | independent RIA | $403M | 96% | 7 | $57.6M | 0 | 0 |
| L•• C•••••• M••••••••• I•• | Chicago, IL | independent RIA | $403M | 88% | 8 | $50.4M | 0 | 0 |
| C•••••• T•••• A••••••• | San Rafael, CA | independent RIA | $403M | 100% | 3 | $134M | 2 | 0 |
| R••••••• I••••••••• M••••••••• L•• | independent RIA | $403M | 100% | 2 | $201M | 1 | 0 | |
| E•••• A••••••••• L•• | Austin, TX | mixed wealth | $402M | 31% | 8 | $50.3M | 0 | 0 |
| B•• S••••••••• I••• | Miami, FL | mixed wealth | $402M | 40% | 35 | $11.5M | 3 | 0 |
| P••••••••• W••••• M••••••••• L•• | Boca Raton, FL | independent RIA | $402M | 100% | 4 | $101M | 0 | 0 |
| A••••••• F•••••••• S••••••••• L•• | Dayton, OH | mixed wealth | $402M | 49% | 5 | $80.4M | 0 | 0 |
| P••••••••• I••••••••• | San Diego, CA | mixed wealth | $402M | 42% | 11 | $36.5M | 0 | 0 |
| L•••••• F•••••••• P•••••••• L•• | independent RIA | $401M | 100% | 3 | $134M | 0 | 0 | |
| H• L• O••••• • C••••••• L•• | Greenville, NC | independent RIA | $401M | 90% | 5 | $80.3M | 1 | 0 |
| T•• R•••• W••••• P•••••••• L•• | Louisburg, NC | independent RIA | $401M | 92% | 5 | $80.2M | 1 | 0 |
| E•••••••• P••••••• L•• | Rancho Santa Fe,, CA | independent RIA | $401M | 89% | 2 | $201M | 1 | 0 |
| I•••••• S•••••••• W••••• L•• | Knoxville, TN | independent RIA | $401M | 100% | 5 | $80.2M | 1 | 0 |
| H••• C•••••• M••••••••• | Seattle, WA | independent RIA | $401M | 100% | 1 | $401M | 0 | 0 |
| C••••••••• F•••••••• P•••••••• L•• | Portsmouth, NH | independent RIA | $401M | 100% | 7 | $57.2M | 1 | 0 |
| N•••• W••••• M••••••••• P••••• | Greenwood Village, CO | independent RIA | $400M | 99% | 4 | $100M | 1 | 0 |
| B•••• M••••••• C•••••• M••••••••• L•• | Corning, NY | independent RIA | $400M | 99% | 6 | $66.7M | 2 | 0 |
| T••••• W••••• | Mission Viejo, CA | independent RIA | $400M | 100% | 3 | $133M | 0 | 0 |
| K••••• S••••• • W••••• W••••• M••••••••• L•• | Daytona Beach, FL | independent RIA | $400M | 87% | 7 | $57.2M | 1 | 0 |
| S•••••• A•••••••• L•• | independent RIA | $400M | 90% | 2 | $200M | 0 | 0 | |
| S••••• F•••••••• M••••••••• | San Antonio, TX | independent RIA | $400M | 100% | 2 | $200M | 0 | 0 |
| S••••• B•••• F•••••••• L•• | independent RIA | $399M | 98% | 3 | $133M | 0 | 0 | |
| T••••••••• F••••••••• L•• | The Woodlands, TX | independent RIA | $399M | 100% | 2 | $200M | 1 | 0 |
| P•••••• W••••• M••••••••• G•••• | Austin, TX | independent RIA | $399M | 100% | 11 | $36.3M | 3 | 0 |
| T•••••• W••••• M••••••••• L•• | Berwyn, PA | independent RIA | $399M | 78% | 4 | $99.8M | 0 | 0 |
| W•••••••• A•••••••• L•• | Orchard Park, NY | independent RIA | $399M | 100% | 7 | $57.0M | 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.