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 |
|---|---|---|---|---|---|---|---|---|
| Transcendent Capital Group CRD 316872 | Edmond, OK | independent RIA | $361M | 100% | 9 | $40.1M | 0 | 0 |
| Cordis Financial, LLC CRD 294766 | Minneapolis, MN | independent RIA | $361M | 100% | 5 | $72.1M | 0 | 0 |
| Sonata Capital Group Inc CRD 111277 | Seattle, WA | independent RIA | $361M | 99% | 5 | $72.1M | 0 | 0 |
| G•••••• L••••••••• I••• | Long Beach, CA | independent RIA | $361M | 93% | 3 | $120M | 0 | 0 |
| C•••••• I••••••••• A•••••••• I••• | Oregon City, OR | independent RIA | $360M | 100% | 3 | $120M | 0 | 0 |
| A•• C•••••• M••••••••• L•• | Miami, FL | independent RIA | $360M | 61% | 9 | $40.0M | 0 | 7 |
| J••••• W••••• M••••••••• | Dayton, OH | independent RIA | $360M | 98% | 7 | $51.5M | 1 | 0 |
| D••••• R••••••••• P••••••• I••• | Lehi, UT | independent RIA | $360M | 99% | 10 | $36.0M | 5 | 0 |
| U• S• B••••• C•••••• C••••••••• | Lincoln, MA | independent RIA | $360M | 96% | 3 | $120M | 0 | 0 |
| B•• W••••• M••••••••• L•• | Carlsbad, NM | independent RIA | $360M | 87% | 4 | $89.9M | 0 | 0 |
| K•••••• I••••••••• G••••• L•• | Columbus, IN | independent RIA | $360M | 86% | 3 | $120M | 1 | 0 |
| N•••• • P••••• F•••••••• S•••••••• I••• | St. Petersburg, FL | independent RIA | $359M | 100% | 8 | $44.9M | 4 | 0 |
| W••••••••• P••• C•••••• M••••••••• L•• | Portland, OR | independent RIA | $359M | 99% | 1 | $359M | 0 | 0 |
| T•• D•••• J• Y•••• G•••• I••• | independent RIA | $359M | 84% | 4 | $89.8M | 3 | 0 | |
| C•••••••• C•••••• | Upland, CA | independent RIA | $359M | 84% | 3 | $120M | 0 | 0 |
| S•••• W••••• P••••••• | Gilbert, AZ | independent RIA | $359M | 95% | 8 | $44.9M | 1 | 0 |
| A•••• F•••••••• M••••••••• I•• | Andover, MA | independent RIA | $359M | 97% | 3 | $120M | 1 | 0 |
| R•••••••• C•••••• M••••••••• L•• | Knoxville, TN | independent RIA | $359M | 88% | 2 | $179M | 0 | 0 |
| T•• W••••• M••••••••• | Houston, TX | independent RIA | $359M | 98% | 3 | $120M | 0 | 0 |
| A••••• I••••••••• M•••••••• L•• | Naples, FL | independent RIA | $359M | 90% | 2 | $179M | 0 | 0 |
| L•••••• F•••••••• C••••••••• | Plano, TX | independent RIA | $359M | 98% | 2 | $179M | 0 | 0 |
| C••••••••• C•••••• G••••• L• | Minneapolis, MN | independent RIA | $359M | 82% | 0 | Not computed | 0 | 0 |
| P•••• W••••••• A•••••••• I••• | New York, NY | independent RIA | $359M | 100% | 6 | $59.8M | 5 | 0 |
| C••••••••• C•••••• M••••••••• | Burbank, CA | independent RIA | $358M | 98% | 5 | $71.7M | 0 | 0 |
| B••••••• F•••••••• A•••••••• L•• | Savoy, IL | independent RIA | $358M | 100% | 7 | $51.2M | 0 | 0 |
| P••••• F•••••••• A••••••• L•• | independent RIA | $358M | 68% | 1 | $358M | 0 | 0 | |
| P••••• F•••••••• A•••••••• L•• | Louisville, KY | independent RIA | $358M | 100% | 4 | $89.5M | 1 | 0 |
| H••••••• W••••• M••••••••• | Houston, TX | independent RIA | $358M | 100% | 6 | $59.6M | 0 | 0 |
| A••••• W••••• M••••••••• L•• | Louisville, KY | independent RIA | $358M | 93% | 3 | $119M | 0 | 0 |
| M••••••• C•••••• M••••••••• | Lubbock, TX | independent RIA | $358M | 77% | 3 | $119M | 0 | 2 |
| A•••••• C•••••• L•• | Little Rock, AR | independent RIA | $358M | 100% | 9 | $39.7M | 1 | 0 |
| C••••••••• W••••• M••••••••• L•• | independent RIA | $358M | 95% | 1 | $358M | 0 | 0 | |
| P••••••••• W•••••• P••••• A••••••• | New York, NY | independent RIA | $358M | 90% | 8 | $44.7M | 1 | 1 |
| L••••••• F•••••••• S••••••••• I••• | Weston, FL | independent RIA | $357M | 100% | 4 | $89.4M | 0 | 0 |
| M•••••• C•••••• M••••••••• I••• | Lynchburg, VA | independent RIA | $357M | 100% | 4 | $89.3M | 0 | 0 |
| H••••••• F•••••••• R••••••• G••••• L••• | Ashburn, VA | independent RIA | $357M | 100% | 3 | $119M | 0 | 0 |
| G•• C•••••• M••••••••• C• I•• | Walnut Creek, CA | independent RIA | $357M | 100% | 4 | $89.3M | 1 | 0 |
| M••••• P•••••• W••••• | Saint Louis, MO | independent RIA | $357M | 100% | 6 | $59.5M | 2 | 0 |
| C••••••• W••••• M••••••••• L•• | Berwyn, PA | independent RIA | $357M | 96% | 2 | $179M | 1 | 0 |
| S•••••••• F•••••••• A•••••••• L•• | Pensacola, FL | independent RIA | $357M | 98% | 6 | $59.4M | 1 | 0 |
| A••••• W••••• P••••••• | Youngstown, OH | independent RIA | $356M | 99% | 3 | $119M | 0 | 0 |
| F••••• D•••••••• W•••••• L•• | Middleburg Heights, OH | independent RIA | $356M | 96% | 10 | $35.6M | 2 | 0 |
| W••••• O••••••• | Tulsa, OK | independent RIA | $356M | 75% | 4 | $89.1M | 0 | 0 |
| C••••••• W••••• M••••••••• G••••• L•• | Dunmore, PA | independent RIA | $356M | 99% | 6 | $59.4M | 0 | 0 |
| S•••• R••• P•••••• T•••••• A•• W••••• M••••••••• L•• | Cloquet, MN | independent RIA | $356M | 83% | 5 | $71.2M | 1 | 0 |
| M••••••• C•••••• M••••••••• L•• | independent RIA | $356M | 53% | 1 | $356M | 0 | 0 | |
| L••••••• I••••••••• L•• | independent RIA | $356M | 90% | 6 | $59.3M | 0 | 0 | |
| A•••• I••••••••• A•••••••• L•• | Raleigh, NC | independent RIA | $356M | 100% | 4 | $89.0M | 0 | 0 |
| A••••• C•••••• M••••••••• L•• | Center Valley, PA | independent RIA | $356M | 100% | 3 | $119M | 0 | 0 |
| S•••• O•• W••••• M••••••••• L•• | San Antonio, TX | independent RIA | $356M | 96% | 4 | $88.9M | 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.