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.
9,427 advisers match
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Waterford Advisors, LLC CRD 119442 | Orchard Park, NY | independent RIA | $399M | 100% | 7 | $57.0M | 0 | 0 |
| Stonecrest Advisors, Inc. CRD 142095 | Austin, TX | mixed wealth | $399M | 31% | 21 | $19.0M | 12 | 0 |
| Midwest Heritage Financial Advisors CRD 306308 | West Des Moines, IA | bank affiliated | $399M | 100% | 4 | $99.7M | 2 | 0 |
| L••••• F•••••••• G••••• L•• | Champaign, IL | independent RIA | $399M | 100% | 2 | $199M | 1 | 0 |
| M••••• O•• S••••• A•••••• I••••••••• C•••••• | Mechanicsburg, PA | independent RIA | $398M | 99% | 4 | $99.6M | 0 | 0 |
| L•••••••• W••••• M••••••••• L•• | Scottsdale, AZ | independent RIA | $398M | 100% | 1 | $398M | 0 | 0 |
| C•••••• I••••••••• C•••••• | Irvine, CA | independent RIA | $398M | 100% | 0 | Not computed | 0 | 0 |
| P••••••••• C•••••• M••••••••• C•••• | Yardley, PA | independent RIA | $398M | 99% | 2 | $199M | 0 | 0 |
| R•••••• C•••••• M••••••••• I••• | Cary, NC | independent RIA | $398M | 98% | 12 | $33.1M | 0 | 0 |
| O••• C•••••• | Dillsburg, PA | independent RIA | $398M | 100% | 1 | $398M | 0 | 0 |
| P•••••••• A••••••• G••••• L•• | Westford, MA | independent RIA | $397M | 100% | 3 | $132M | 1 | 0 |
| F•••••••• C•••• | West Chester, PA | independent RIA | $397M | 100% | 5 | $79.5M | 0 | 0 |
| I••• W••••• M••••••••• L•• | Omaha, NE | independent RIA | $397M | 99% | 53 | $7.5M | 44 | 0 |
| W••• F•••••••• G•••• | Bloomington, MN | independent RIA | $397M | 100% | 3 | $132M | 0 | 0 |
| S••••••••• W••••• M••••••••• L•• | Farmington, CT | independent RIA | $397M | 100% | 6 | $66.2M | 2 | 0 |
| B••••• F•••••••• P•••••••• I•• | Hyannis, MA | independent RIA | $397M | 100% | 6 | $66.2M | 0 | 0 |
| C••••••••• W••••• A•••••••• L•• | Traverse City, MI | independent RIA | $397M | 100% | 10 | $39.7M | 5 | 0 |
| S••••••• F•••••••• L•• | Armonk, NY | independent RIA | $397M | 85% | 3 | $132M | 1 | 0 |
| G•••••• I••••••••• A••••••• | Woodstock, GA | independent RIA | $397M | 98% | 8 | $49.6M | 0 | 0 |
| H••••• W••••• M••••••••• L•• | independent RIA | $397M | 96% | 2 | $199M | 1 | 0 | |
| M••••••••• C••••••• L•• | Newport Beach, CA | independent RIA | $397M | 100% | 11 | $36.1M | 1 | 0 |
| N•• I•••••• W••••• A••••••• | San Ramon, CA | independent RIA | $397M | 93% | 5 | $79.4M | 0 | 0 |
| S••••••• F•••••••• C•••• | Sarasota, FL | independent RIA | $397M | 100% | 3 | $132M | 0 | 0 |
| V•••••••• H•••••••• L•• | Knoxville, TN | independent RIA | $397M | 93% | 16 | $24.8M | 8 | 0 |
| S•••••• F•••••••• S••••••• I•• | Salt Lake City, UT | independent RIA | $397M | 99% | 6 | $66.1M | 0 | 0 |
| W••••• L••••• I••••••••• S••••••• L•• | Pleasant Hill, CA | independent RIA | $396M | 100% | 0 | Not computed | 0 | 0 |
| F•••••• W••••• M••••••••• L•• | Dallas, TX | independent RIA | $396M | 98% | 3 | $132M | 0 | 0 |
| F••••• W••••• A••••••• G••••• L•• | Cincinnati, OH | independent RIA | $396M | 100% | 3 | $132M | 0 | 0 |
| K••••••• F•••••••• M••••••••• I••• | Coral Gables, FL | independent RIA | $396M | 96% | 1 | $396M | 0 | 0 |
| W••• R•••• A••••••• | Henderson, NV | mixed wealth | $396M | 47% | 11 | $36.0M | 5 | 0 |
| D••••••• W••••• M••••••••• | Guilford, CT | independent RIA | $396M | 93% | 9 | $44.0M | 2 | 1 |
| L••••• P•••••••• L•• | Westlake, OH | independent RIA | $396M | 97% | 5 | $79.2M | 0 | 0 |
| P•••••••• A••••••• G••••• L•• | Palm Beach Gardens, FL | independent RIA | $396M | 97% | 3 | $132M | 0 | 0 |
| G•••••••• C•••••• M••••••••• | Mount Pleasant, SC | independent RIA | $396M | 99% | 3 | $132M | 0 | 0 |
| M•• W••••• M••••••••• L•• | Philadelphia, PA | independent RIA | $396M | 99% | 3 | $132M | 0 | 0 |
| M••• F•••••••• G•••• | Detroit Lakes, MN | independent RIA | $396M | 83% | 2 | $198M | 0 | 0 |
| P•••••••• W••••• A••••••• | Albuquerque, NM | independent RIA | $395M | 99% | 1 | $395M | 0 | 0 |
| G••••••••• F•••••••• | Coral Springs, FL | independent RIA | $395M | 85% | 0 | Not computed | 0 | 0 |
| K•••• W••••• M••••••••• L•• | Jasper, GA | independent RIA | $395M | 96% | 4 | $98.8M | 1 | 0 |
| Q••••• H••• A••••••• | Saint Paul, MN | independent RIA | $395M | 100% | 4 | $98.7M | 0 | 0 |
| R•••••• W•••••• L•• | Fairfax, VA | independent RIA | $395M | 100% | 4 | $98.7M | 0 | 0 |
| C•••••• W••••• M••••••••• P••••••• | Fairfax, VA | independent RIA | $395M | 99% | 4 | $98.7M | 0 | 0 |
| G••••••••• W•••••• I••• | Zeeland, MI | independent RIA | $395M | 100% | 8 | $49.3M | 3 | 0 |
| A•••• F•••••••• W••••• M••••••••• L•• | Ashburn, VA | independent RIA | $395M | 99% | 7 | $56.4M | 1 | 0 |
| F••••••••• | Lake Mary, FL | mixed wealth | $395M | 37% | 15 | $26.3M | 7 | 0 |
| C•••••• I••••••••• M••••••••• | Midland, TX | independent RIA | $395M | 80% | 3 | $132M | 0 | 0 |
| T•• R••••••••• P••••••• C•••••• O• N•• E••••••• I••• | Warwick, RI | independent RIA | $394M | 100% | 4 | $98.6M | 0 | 0 |
| V••••• F•••••••• L•• | Columbus, OH | independent RIA | $394M | 100% | 4 | $98.6M | 0 | 0 |
| I•••••••• I••••••••• A••••••• | independent RIA | $394M | 100% | 2 | $197M | 0 | 0 | |
| M• W••••• A•••••••• L•• | Overland Park, KS | independent RIA | $394M | 100% | 3 | $131M | 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.