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 |
|---|---|---|---|---|---|---|---|---|
| Ats Wealth Management CRD 137705 | San Diego, CA | independent RIA | $384M | 100% | 3 | $128M | 0 | 0 |
| Cascades Capital Asset Management, LLC CRD 167102 | Greensboro, NC | independent RIA | $383M | 89% | 3 | $128M | 1 | 0 |
| Vista Investment Partners CRD 327983 | Richmond, IN | independent RIA | $383M | 98% | 7 | $54.7M | 1 | 0 |
| K•••••• I••••••••• C••••••••• I•• | Delray Beach, FL | independent RIA | $383M | 67% | 2 | $192M | 1 | 0 |
| C•••••• M••••••••• L•• | Greensboro, NC | independent RIA | $383M | 91% | 3 | $128M | 0 | 0 |
| O•• • O•• W••••• M••••••••• L•• | Jupiter, FL | independent RIA | $383M | 96% | 5 | $76.6M | 0 | 0 |
| D•••••••• • A••••••••• F•••••••• A•••••••• I••• | Buffalo, MN | independent RIA | $383M | 100% | 5 | $76.6M | 1 | 0 |
| C••••• 3•• W•••••• L•• | Ocala, FL | independent RIA | $383M | 92% | 6 | $63.8M | 0 | 0 |
| A••••• C•••••• M••••••••• L•• | Centerville, OH | independent RIA | $383M | 97% | 0 | Not computed | 0 | 0 |
| C••••••• A••••••• N••••••• L•• | Aliso Viejo, CA | independent RIA | $383M | 94% | 0 | Not computed | 20 | 0 |
| F•••••••• P••••••• H•••••• I••• | Honolulu, HI | independent RIA | $382M | 100% | 4 | $95.6M | 1 | 0 |
| P•••••• F•••••••• | Sherborn, MA | independent RIA | $382M | 100% | 2 | $191M | 0 | 0 |
| C••••• F•••••••• G••••• I••• | Barrington, IL | independent RIA | $382M | 98% | 5 | $76.4M | 2 | 0 |
| D•••••• C•••••• C••••••••• | Denver, CO | independent RIA | $382M | 100% | 8 | $47.8M | 4 | 0 |
| T•• S•••••••• F•••••••• A••••••• | Atlanta, GA | BD affiliated | $382M | 98% | 56 | $6.8M | 23 | 0 |
| D••• F•••••••• S••••••• | Beavercreek, OH | independent RIA | $382M | 60% | 4 | $95.5M | 0 | 0 |
| K••••••• H•••• C•••••• M••••••••• L•• | Bratenahl, OH | independent RIA | $382M | 96% | 2 | $191M | 0 | 0 |
| S••••• W••••• G•••• | Medford, NY | independent RIA | $382M | 98% | 7 | $54.6M | 4 | 0 |
| B••• R••• F•••••••• G•••• | Rehoboth Beach, DE | independent RIA | $382M | 68% | 5 | $76.4M | 1 | 0 |
| W•• F•••••••• | Carslbad, CA | independent RIA | $382M | 94% | 4 | $95.5M | 0 | 0 |
| P••••• W••••• M••••••••• | Sioux City, IA | independent RIA | $382M | 96% | 3 | $127M | 1 | 0 |
| H•••••• I••••••••• M••••••••• L••••• | Edmonds, WA | independent RIA | $382M | 83% | 5 | $76.3M | 1 | 0 |
| U••••• W••••• S••••••••• | Burr Ridge, IL | independent RIA | $382M | 89% | 5 | $76.3M | 0 | 0 |
| S•••••• W••••• M••••••••• L•• | Bloomfield Hills, MI | independent RIA | $381M | 97% | 4 | $95.4M | 0 | 0 |
| L•••••• P•••• F•••••••• G•••• | Avon, OH | independent RIA | $381M | 100% | 6 | $63.5M | 1 | 0 |
| R••• W••••• M••••••••• L•• | Acton, MA | independent RIA | $381M | 96% | 3 | $127M | 2 | 0 |
| R•••• • R••• C•••••• M••••••••• L•• | independent RIA | $381M | 74% | 2 | $191M | 1 | 0 | |
| W••••• B•••••• A•••••••• L•• | Houston, TX | independent RIA | $381M | 73% | 2 | $190M | 0 | 0 |
| B••••••••• C•••••• M••••••••• •••• | Scottsdale, AZ | independent RIA | $381M | 97% | 3 | $127M | 0 | 0 |
| S•••• C•••••• L•• | Miami, FL | independent RIA | $380M | 63% | 5 | $76.1M | 1 | 13 |
| G•••••• B•••••••• L•• | Greenville, SC | independent RIA | $380M | 99% | 3 | $127M | 0 | 0 |
| F••••••• W••••• M••••••••• L•• | Houston, TX | independent RIA | $380M | 100% | 3 | $127M | 0 | 0 |
| B••••••••• W••••• M••••••••• | Tulsa, OK | independent RIA | $380M | 99% | 7 | $54.3M | 1 | 0 |
| O••••• C•••••• L•• | Beaverton, OR | independent RIA | $380M | 100% | 6 | $63.3M | 3 | 0 |
| E••••••• P•••• A•••••••• L•• | Sudbury, MA | independent RIA | $380M | 100% | 3 | $127M | 1 | 0 |
| I••••••••• P•••••• W•••••• L•• | Austin, TX | independent RIA | $380M | 99% | 6 | $63.3M | 1 | 0 |
| 6•• F••••••••• L•• | Portage, MI | independent RIA | $380M | 99% | 5 | $75.9M | 1 | 0 |
| D••••• W••••• G•••• | Ann Arbor, MI | independent RIA | $380M | 91% | 5 | $75.9M | 0 | 0 |
| C•• W••••• M••••••••• | Plano, TX | independent RIA | $379M | 97% | 6 | $63.2M | 1 | 0 |
| K••••••• F•••••••• S••••••• | Loveland, CO | independent RIA | $379M | 100% | 4 | $94.8M | 1 | 0 |
| A•• T•••••• F•••••••• A••••••• | Coon Rapids, MN | independent RIA | $379M | 97% | 3 | $126M | 0 | 0 |
| M•• A•• A••••••••• L•• | Tacoma, WA | independent RIA | $379M | 98% | 3 | $126M | 2 | 0 |
| L••••• C••••••••• G•••• | Plano, TX | independent RIA | $379M | 94% | 4 | $94.7M | 0 | 0 |
| A•••••• F•••••••• G••••• I••• | West Palm Beach, FL | independent RIA | $379M | 95% | 2 | $189M | 0 | 0 |
| B••• W••••• A••••••• | B••• Raton, FL | independent RIA | $379M | 90% | 2 | $189M | 0 | 0 |
| A•••• I••••••••• L•• | Woburn, MA | independent RIA | $378M | 95% | 4 | $94.5M | 0 | 0 |
| F•••••• F•••••••• P••••••• L•• | Oakdale, MN | independent RIA | $378M | 100% | 4 | $94.5M | 0 | 0 |
| F•••••••• A••••••• P•••••••• L•• | Winter Park, FL | independent RIA | $378M | 80% | 4 | $94.5M | 0 | 0 |
| A••••••• W•••••• L•• | South Jordan, UT | independent RIA | $378M | 75% | 5 | $75.6M | 0 | 0 |
| F•••••••• F•••••••• A••••••• C••••••••• | East Lansing, MI | independent RIA | $378M | 95% | 4 | $94.4M | 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.