DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Firms
SEC-registered investment advisers
One 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.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Fiduciary Trust International, LLC CRD 124062 | Lincoln, MA | bank affiliated | $7.7B | 78% | 14 | $548M | 3 | 7 |
| Hbks Wealth Advisors CRD 112139 | Erie, PA | independent RIA | $7.7B | 90% | 73 | $105M | 12 | 0 |
| Aldrich Wealth LP CRD 147200 | Lake Oswego, OR | independent RIA | $7.6B | 64% | 28 | $272M | 4 | 0 |
| F•••• CRD 285961 | West Palm Beach, FL | independent RIA | $7.6B | 100% | 87 | $87.4M | 25 | 0 |
| B•••••••• A•••• M••••••••• L•• CRD 143440 | Reno, NV | independent RIA | $7.6B | 68% | 172 | $44.1M | 113 | 0 |
| B•••• A••••••• CRD 106375 | Norfolk, VA | independent RIA | $7.6B | 73% | 17 | $445M | 2 | 16 |
| A•••••• P••••••• P•••••••• I••• CRD 106237 | Dubuque, IA | BD affiliated | $7.6B | 69% | 252 | $30.0M | 169 | 0 |
| D•• C•••••• P••••••• CRD 113609 | Palm Beach Gardens, FL | mixed wealth | $7.6B | 27% | 1 | $7.6B | 1 | 2 |
| B••••••• I••• CRD 110550 | Foster City, CA | independent RIA | $7.6B | 71% | 40 | $189M | 2 | 0 |
| C••••••• I••••••••• C•••••• CRD 150488 | Pepper Pike, OH | independent RIA | $7.5B | 82% | 37 | $203M | 10 | 0 |
| J•• F•••••••• G•••• L•• CRD 110302 | Downers Grove, IL | independent RIA | $7.5B | 100% | 48 | $156M | 3 | 0 |
| C•••••• P••••••• I••••••••• G•••• L•• CRD 147662 | C••••••, IL | independent RIA | $7.5B | 94% | 54 | $138M | 19 | 3 |
| F•••• N••••••• A•••••••• L•• CRD 277146 | Omaha, NE | mixed wealth | $7.4B | 23% | 29 | $254M | 4 | 0 |
| M•••••• I••••••••• CRD 305418 | Overland Park, KS | i••••••••• wealth | $7.3B | 96% | 120 | $61.2M | 55 | 0 |
| B•••••• P••••• W••••• M••••••• CRD 315440 | Seattle, WA | independent RIA | $7.3B | 96% | 27 | $270M | 3 | 0 |
| T•••• 2• I••••••••• L••• CRD 286618 | Rio De Janeiro, Rj, | independent RIA | $7.2B | 66% | 0 | n/a | 0 | 5 |
| E•••••••• C•••••• M••••••••• L•• CRD 104931 | Bellevue, WA | independent RIA | $7.2B | 91% | 27 | $266M | 5 | 8 |
| C••••••• • C••••••• I••• CRD 317672 | Mclean, VA | independent RIA | $7.1B | 98% | 47 | $152M | 0 | 0 |
| P•••••• C•••••• M••••••••• G••••• L•• CRD 311623 | Kansas City, MO | mixed wealth | $7.1B | 41% | 22 | $324M | 5 | 41 |
| M••••• I••••••••• M••••••••• L• CRD 108380 | West Conshohocken, PA | independent RIA | $7.1B | 89% | 6 | $1.2B | 1 | 12 |
| T•• A••••••••• L•• CRD 116959 | New York, NY | independent RIA | $7.1B | 97% | 1 | $7.1B | 1 | 10 |
| J••• W• B•••••• • C••• I••• CRD 105597 | New York, NY | independent RIA | $7.1B | 56% | 1 | $7.1B | 0 | 1 |
| C•••••• • S••••• L•• CRD 142633 | New York, NY | independent RIA | $7.0B | 91% | 23 | $304M | 1 | 2 |
| N•••••••• C•••••• M••••••••• L•• CRD 107784 | Hood River, OR | independent RIA | $6.9B | 100% | 8 | $868M | 3 | 0 |
| D••••• W•••••• L•• CRD 297987 | Palm Beach Gardens, FL | independent RIA | $6.9B | 95% | 61 | $114M | 21 | 1 |
| P••• C••••• H•••••• L•• CRD 290235 | Newark, NJ | independent RIA | $6.9B | 97% | 0 | n/a | 0 | 0 |
| H••••• I••••••••• A•••••••• L•• CRD 151085 | Lutherville, MD | mixed wealth | $6.9B | 42% | 31 | $222M | 1 | 0 |
| P•••••• F•••••••• M••••••••• L•• CRD 281762 | Exton, PA | independent RIA | $6.9B | 97% | 3 | $2.3B | 1 | 0 |
| P•••••••• T•••• C•••••• CRD 110118 | Waukesha, WI | independent RIA | $6.9B | 85% | 5 | $1.4B | 0 | 0 |
| T••••••• A•••••• N••••••• L•• CRD 304569 | Minneapolis, MN | BD affiliated | $6.8B | 98% | 120 | $57.0M | 27 | 0 |
| L••• I••••••••• L•• CRD 149936 | Boston, MA | mixed wealth | $6.8B | 37% | 7 | $976M | 1 | 2 |
| F•••• F•••••••• CRD 116140 | Minneapolis, MN | independent RIA | $6.8B | 98% | 121 | $56.4M | 36 | 0 |
| S•••••••• I••••••••• A•••••••• L•• CRD 160715 | Los Angeles, CA | independent RIA | $6.8B | 98% | 13 | $520M | 1 | 0 |
| T•• B•••••• G•••• L•• CRD 155317 | Boston, MA | independent RIA | $6.7B | 79% | 1 | $6.7B | 0 | 91 |
| C••••••••• I••••••••• M••••••••• L•• CRD 146019 | Saint Louis, MO | independent RIA | $6.7B | 92% | 8 | $840M | 3 | 0 |
| A•••• G•••• C••••••• L•• CRD 158166 | Avon, CO | independent RIA | $6.7B | 100% | 9 | $741M | 1 | 0 |
| V•••••• A•••••••• L•• CRD 318657 | Chicago, IL | independent RIA | $6.7B | 100% | 58 | $115M | 16 | 0 |
| G•••••••• • C••• I••• CRD 111936 | Pittsburgh, PA | independent RIA | $6.6B | 70% | 1 | $6.6B | 3 | 0 |
| L•••• F••• A••••••• S••••••• CRD 134086 | Dallas, TX | BD affiliated | $6.5B | 73% | 144 | $45.4M | 70 | 0 |
| S•••••• C•••••• M••••••••• CRD 104720 | Denver, CO | mixed wealth | $6.5B | 20% | 15 | $435M | 3 | 0 |
| S•••••• W••••• M••••••••• L•• CRD 145594 | San Antonio, TX | independent RIA | $6.5B | 56% | 21 | $310M | 2 | 0 |
| O•••• I••••••••• I••• CRD 35371 | Meriden, CT | BD affiliated | $6.5B | 75% | 544 | $11.9M | 621 | 0 |
| K•••••••• C•••••• M••••••••• I••• CRD 111087 | Mission, KS | mixed wealth | $6.5B | 46% | 10 | $649M | 0 | 0 |
| G••••••••• A•••••••• L•• CRD 132669 | Towson, MD | independent RIA | $6.5B | 67% | 46 | $141M | 3 | 0 |
| A•••• W••••• M••••••••• L•• CRD 148674 | Omaha, NE | independent RIA | $6.5B | 87% | 71 | $91.0M | 13 | 0 |
| D••••••• W••••••• A••••••• L•• CRD 108680 | New York, NY | independent RIA | $6.5B | 91% | 10 | $646M | 2 | 0 |
| A•••••• L•• CRD 290117 | New York, NY | mixed wealth | $6.4B | 31% | 2 | $3.2B | 2 | 8 |
| N•• A••••••• S••••••• I•• CRD 110410 | Los Angeles, CA | independent RIA | $6.4B | 100% | 108 | $59.5M | 38 | 0 |
| T••••••••• I••• CRD 105664 | Cincinnati, OH | independent RIA | $6.4B | 93% | 40 | $160M | 3 | 0 |
| A••••••• CRD 124205 | Mclean, VA | independent RIA | $6.3B | 59% | 22 | $289M | 6 | 0 |
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9,806 advisers match.