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 |
|---|---|---|---|---|---|---|---|---|
| Arlen Capital, LLC CRD 118113 | Warwick, RI | independent RIA | $349M | 99% | 4 | $87.2M | 0 | 0 |
| Egi Financial, Inc. CRD 120607 | Akron, OH | independent RIA | $349M | 100% | 9 | $38.7M | 1 | 0 |
| Gainline Financial Partners, LLC CRD 326716 | Louisville, CO | independent RIA | $349M | 99% | 7 | $49.8M | 0 | 0 |
| W•••••• A••••••• | independent RIA | $348M | 86% | 3 | $116M | 1 | 0 | |
| E•••••• C••• C•••••• M••••••••• | Seattle, WA | mixed wealth | $348M | 42% | 12 | $29.0M | 9 | 0 |
| S••••••••• P••••••••• | independent RIA | $348M | 100% | 1 | $348M | 1 | 0 | |
| W••• W•••••• I•• | Seattle, WA | independent RIA | $348M | 100% | 11 | $31.6M | 0 | 0 |
| A••••••• R••••••••• P••••••• G•••• I•• | Las Vegas, NV | independent RIA | $348M | 63% | 2 | $174M | 0 | 0 |
| 4• W••••• M••••••••• L•• | Mclean, VA | independent RIA | $348M | 98% | 4 | $87.0M | 4 | 0 |
| O•••••••• A••••••• | Berkeley Heights, NJ | independent RIA | $348M | 99% | 8 | $43.5M | 4 | 0 |
| M•••••• F••••• F••••••••• L•• | Fort Worth, TX | independent RIA | $348M | 100% | 2 | $174M | 1 | 0 |
| U••••• F•••••••• P••••••• G•••• L•• | Hauppauge, NY | independent RIA | $347M | 100% | 4 | $86.9M | 5 | 0 |
| H••••••• O•• W••••• A••••••• | Santa Rosa Beach, FL | independent RIA | $347M | 100% | 5 | $69.5M | 1 | 4 |
| C••••••••• C•••••• A••••••• | Irving, TX | independent RIA | $347M | 85% | 5 | $69.5M | 0 | 4 |
| P•••• K••••• L•• | Omaha, NE | independent RIA | $347M | 89% | 2 | $173M | 0 | 0 |
| L•••••• W••••• M••••••••• L•• | Maryville, TN | independent RIA | $347M | 100% | 7 | $49.5M | 1 | 0 |
| C•••••• C•••••• | San Francisco, CA | independent RIA | $347M | 100% | 5 | $69.3M | 5 | 0 |
| C••••• F••••• O••••• L•• | independent RIA | $347M | 92% | 3 | $116M | 1 | 0 | |
| L•••••••• W••••• M••••••••• L•• | Spokane, WA | independent RIA | $346M | 95% | 3 | $115M | 3 | 0 |
| W•••• | Farmington, CT | independent RIA | $346M | 100% | 4 | $86.6M | 1 | 0 |
| L••• R••• I••••••••• C••••••• L•• | Kalamazoo, MI | independent RIA | $346M | 100% | 2 | $173M | 0 | 0 |
| G••••••• G••••• I•• | Lafayette, CA | independent RIA | $346M | 93% | 3 | $115M | 1 | 0 |
| G•• W••••• M••••••••• I••• | Houston, TX | independent RIA | $346M | 71% | 10 | $34.6M | 0 | 0 |
| R••• W•••••• L•• | Charlottesville, VA | independent RIA | $346M | 99% | 2 | $173M | 0 | 0 |
| A•••••• I••••••••• A•••••••• L•• | Eagle, ID | independent RIA | $346M | 95% | 3 | $115M | 1 | 0 |
| A•••••• W••••• M••••••••• L•• | Kirkwood, MO | independent RIA | $346M | 100% | 3 | $115M | 1 | 0 |
| C•••••••• W••••• A•••••••• L•• | Saratoga Springs, NY | independent RIA | $346M | 98% | 6 | $57.6M | 1 | 0 |
| F••••••• P••••••• G•••• | Pewaukee, WI | independent RIA | $345M | 100% | 5 | $69.1M | 1 | 0 |
| A••••••• C•••••• L•• | independent RIA | $345M | 100% | 0 | Not computed | 4 | 0 | |
| R•• W••••• M••••••••• | Houston, TX | independent RIA | $345M | 96% | 5 | $69.0M | 0 | 0 |
| H•••• C•••••• M••••••••• L•• | Columbus, OH | independent RIA | $345M | 100% | 4 | $86.2M | 1 | 0 |
| I•••••••• W••••• C••••••• I••• | Tempe, AZ | independent RIA | $345M | 100% | 3 | $115M | 1 | 0 |
| N•••••• I••• | Minneapolis, MN | independent RIA | $345M | 100% | 12 | $28.7M | 3 | 0 |
| L••••• W••••• P••••••• | Johns Creek, GA | independent RIA | $344M | 100% | 6 | $57.4M | 0 | 0 |
| C••••••• A•••••• G••••• I••• | Plano, TX | independent RIA | $344M | 62% | 18 | $19.1M | 1 | 0 |
| K•••••• W••••• A•••••••• L•• | Cincinnati, OH | independent RIA | $344M | 92% | 4 | $86.0M | 0 | 0 |
| P••••••• C•••••• M••••••••• L•• | independent RIA | $344M | 100% | 4 | $86.0M | 3 | 0 | |
| T•• C•••• G•••• A•••• M••••••••• | Dana Point, CA | independent RIA | $344M | 99% | 3 | $115M | 0 | 0 |
| B••••• L••• A•••• M••••••••• I••• | Pawling, NY | independent RIA | $344M | 80% | 3 | $115M | 4 | 0 |
| A•••••• C•••••• L•• | Tucson, AZ | independent RIA | $344M | 98% | 7 | $49.1M | 1 | 0 |
| V•••••• I••••••••• A••••••• | Stuart, FL | independent RIA | $343M | 98% | 7 | $49.0M | 3 | 0 |
| V•••••• W••••• M••••••••• L•• | Troy, MI | independent RIA | $343M | 80% | 6 | $57.2M | 1 | 0 |
| C••••••••• F•••••••• P••••••• C••• | Cincinnati, OH | independent RIA | $343M | 99% | 4 | $85.8M | 0 | 0 |
| M••••••• V••••••• I••••••••• A•••••••• L•• | West Tisbury, MA | bank affiliated | $343M | 80% | 6 | $57.2M | 2 | 0 |
| W••••••• • N•••• W••••• M••••••••• L•• | Westlake Village, CA | independent RIA | $343M | 97% | 5 | $68.6M | 5 | 0 |
| C••••••• I••••••••• G•••• | Olympia, WA | independent RIA | $343M | 96% | 7 | $49.0M | 3 | 0 |
| B•••••• F•••••••• A•••••••• L•• | West Chester, PA | independent RIA | $343M | 95% | 6 | $57.1M | 2 | 0 |
| M••••• B••••• A••••••• | Hermitage, PA | independent RIA | $343M | 94% | 3 | $114M | 0 | 0 |
| A••••• I••••••••• M••••••••• | independent RIA | $342M | 83% | 1 | $342M | 0 | 0 | |
| W•••••• H••••• • C•• F•••••••• A•••••••• I••• | Memphis, TN | independent RIA | $342M | 100% | 4 | $85.5M | 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.