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 |
|---|---|---|---|---|---|---|---|---|
| Zenith Wealth Advisors CRD 318330 | Scottsdale, AZ | independent RIA | $328M | 82% | 4 | $82.1M | 0 | 0 |
| Thomas Story And Son LLC CRD 148774 | Plymouth, IN | independent RIA | $328M | 99% | 2 | $164M | 0 | 0 |
| Sterneck Capital Management LLC CRD 111463 | Kansas City, MO | independent RIA | $328M | 98% | 4 | $82.0M | 5 | 0 |
| O••••• W••••• G••••• L•• | Orlando, FL | independent RIA | $328M | 100% | 7 | $46.8M | 9 | 0 |
| W•••••• F•••••••• S•••••••• I••• | Dubuque, IA | independent RIA | $328M | 100% | 7 | $46.8M | 0 | 0 |
| S•••• P•••• A•••••••• L•• | Brielle, NJ | independent RIA | $328M | 95% | 10 | $32.8M | 0 | 0 |
| H••••• C•••••• A•••••••• I••• | Buffalo, NY | independent RIA | $328M | 100% | 5 | $65.5M | 1 | 0 |
| F•••••••• D••••••••• L•• | New York, NY | independent RIA | $328M | 97% | 5 | $65.5M | 4 | 0 |
| C••••••• W••••• M••••••••• I••• | Montrose, CO | independent RIA | $327M | 93% | 10 | $32.7M | 4 | 0 |
| L•••• W••••• M••••••••• L••• | Frankfort, IL | independent RIA | $327M | 100% | 2 | $164M | 1 | 0 |
| G•••••••• F••••• A••••••• L•• | Miami, FL | independent RIA | $327M | 96% | 3 | $109M | 0 | 0 |
| P••••••• F••••• O••••• | Manhattan Beach, CA | independent RIA | $327M | 100% | 2 | $164M | 0 | 0 |
| O•••••• I••••••••• L•• | independent RIA | $327M | 87% | 1 | $327M | 0 | 0 | |
| V•••• P••••••• U•• | New York, NY | mixed wealth | $327M | 45% | 0 | Not computed | 1 | 0 |
| A••••• C•••••• M••••••••• I••• | Cincinnati, OH | independent RIA | $327M | 91% | 2 | $164M | 0 | 0 |
| W•••••••• A••••••• G•••• L•• | Columbia, MO | independent RIA | $327M | 100% | 5 | $65.4M | 0 | 0 |
| M••• A••••••• S•••••••• L•• | Alpharetta, GA | independent RIA | $327M | 95% | 15 | $21.8M | 7 | 0 |
| A••••••• W••••• M••••••••• L•• | West Lake Hills, TX | independent RIA | $327M | 100% | 4 | $81.7M | 1 | 0 |
| V•••••• P•••• W••••• M••••••••• | Plymouth, MN | independent RIA | $327M | 100% | 15 | $21.8M | 7 | 0 |
| L•• • A••••••••• I•• | Glen Echo, MD | independent RIA | $327M | 97% | 3 | $109M | 0 | 0 |
| P••••• W•••••• L•• | Boston, MA | independent RIA | $326M | 90% | 8 | $40.8M | 1 | 0 |
| B••• W••••• M••••••••• | Lakewood Ranch, FL | independent RIA | $326M | 100% | 7 | $46.6M | 2 | 0 |
| E••••••••• | independent RIA | $326M | 98% | 16 | $20.4M | 0 | 0 | |
| P••• P•••••• W•••••• L•• | Wayzata, MN | independent RIA | $326M | 100% | 2 | $163M | 0 | 0 |
| B•• R••••• G•••• W••••• P••••••• | Williamsburg, VA | independent RIA | $326M | 99% | 4 | $81.6M | 0 | 0 |
| H••••• C••••••• L•• | New York, NY | independent RIA | $326M | 89% | 3 | $109M | 0 | 0 |
| C••••••••• W••••• A•••••••• L•• | Louisville, KY | independent RIA | $326M | 96% | 4 | $81.5M | 0 | 0 |
| L••••••• G•••• | Raleigh, NC | independent RIA | $326M | 100% | 4 | $81.5M | 0 | 0 |
| P••••• P•••••••• L•• | Houston, TX | independent RIA | $326M | 94% | 2 | $163M | 0 | 0 |
| S•••••••• C•••••• M••••••••• I•• | independent RIA | $326M | 89% | 1 | $326M | 0 | 0 | |
| S••••• L••• A••••••• P•••••••• L•• | independent RIA | $325M | 100% | 4 | $81.3M | 2 | 0 | |
| S•••••••• W••••• A•••••••• L•• | independent RIA | $325M | 98% | 4 | $81.3M | 1 | 0 | |
| C•••••• R•••• C•••••• | Lake Wylie, SC | independent RIA | $325M | 88% | 3 | $108M | 1 | 0 |
| T••••••• W••••• M••••••••• | Tucson, AZ | independent RIA | $325M | 99% | 3 | $108M | 0 | 0 |
| W••••••••• A•••••••• L•• | Littleton, CO | independent RIA | $325M | 99% | 5 | $64.9M | 0 | 0 |
| C•••••• M••••••••• | Houston, TX | independent RIA | $324M | 92% | 0 | Not computed | 0 | 0 |
| E•• A••••••••• | Princeton, NJ | independent RIA | $324M | 100% | 3 | $108M | 1 | 0 |
| V•••• I••••••••• M••••••••• L•• | Pittsburgh, PA | independent RIA | $324M | 87% | 4 | $81.0M | 0 | 0 |
| K•••••••• C•••••• M••••••••• L•• | independent RIA | $324M | 99% | 1 | $324M | 0 | 0 | |
| J•••••• W••••• M••••••••• L•• | Grand Forks, ND | independent RIA | $323M | 92% | 3 | $108M | 0 | 0 |
| C••••• W••••• A••••••• L•• | Waterville, ME | independent RIA | $323M | 97% | 3 | $108M | 0 | 0 |
| B•••• F•••••••• A•••••••• L•• | Milford, OH | independent RIA | $323M | 100% | 3 | $108M | 4 | 0 |
| A••• • M••••• | Mobile, AL | independent RIA | $323M | 89% | 6 | $53.9M | 0 | 0 |
| L•••• C•••••• M••••••••• L•• | Sioux Falls, SD | independent RIA | $323M | 94% | 2 | $161M | 0 | 0 |
| N••• L•••• W••••• P•••••••• L•• | Meridian, ID | independent RIA | $323M | 100% | 5 | $64.5M | 0 | 0 |
| F•••••• F•••••••• A•••••••• L•• | Overland Park, KS | independent RIA | $323M | 81% | 5 | $64.5M | 0 | 0 |
| C••••••• I••••••••• L•• | East Syracuse, NY | independent RIA | $322M | 90% | 1 | $322M | 1 | 0 |
| R•• W••••• M••••••••• | Alto, MI | independent RIA | $322M | 99% | 2 | $161M | 0 | 0 |
| K••••••• F•••••••• A••••••• L•• | Lebanon, OH | independent RIA | $322M | 97% | 4 | $80.6M | 0 | 0 |
| F•••••••• T••••••••• | independent RIA | $322M | 92% | 16 | $20.1M | 12 | 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.