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 |
|---|---|---|---|---|---|---|---|---|
| Missionsquare Retirement CRD 108783 | Washington, DC | BD affiliated | $6.3B | 91% | 131 | $48.2M | 11 | 0 |
| Grimes & Company CRD 109420 | Westborough, MA | independent RIA | $6.3B | 92% | 39 | $162M | 30 | 1 |
| Stelac Advisory Services LLC CRD 145103 | New York, NY | independent RIA | $6.3B | 99% | 1 | $6.3B | 1 | 3 |
| K••••• A•••••••• I••• CRD 140808 | Ft. Lauderdale, FL | BD affiliated | $6.3B | 89% | 257 | $24.4M | 198 | 0 |
| T•• W••••• C••••••••• G•••• CRD 173194 | Las Vegas, NV | independent RIA | $6.3B | 94% | 131 | $47.9M | 50 | 0 |
| J• S•••• A•••• M••••••••• C••••••••• CRD 131243 | New York City, NY | independent RIA | $6.3B | 92% | 9 | $695M | 2 | 7 |
| C••••••••• W•••••• L•• CRD 281213 | Overland Park, KS | independent RIA | $6.3B | 93% | 223 | $28.0M | 108 | 0 |
| G••••••• I••••••••• M••••••••• L• CRD 108165 | Philadelphia, PA | mixed wealth | $6.2B | 28% | 6 | $1.0B | 0 | 0 |
| B•••• M••• • O••••• L•• CRD 105466 | New York, NY | independent RIA | $6.2B | 83% | 8 | $773M | 1 | 19 |
| S•• CRD 110692 | Ann Arbor, MI | BD affiliated | $6.1B | 96% | 477 | $12.8M | 336 | 0 |
| D••• I••••••••• A••••••• I•• CRD 105879 | Waukesha, WI | mixed wealth | $6.1B | 37% | 26 | $234M | 1 | 0 |
| K•• I••••••••• A••••••• CRD 109629 | Greenbrae, CA | independent RIA | $6.0B | 88% | 7 | $860M | 0 | 0 |
| A••••• T••••• P•••••• W••••• CRD 153902 | Scottsdale, AZ | independent RIA | $6.0B | 98% | 98 | $61.3M | 25 | 0 |
| W•••••••• P•••••••• L•• CRD 158857 | Los Angeles, CA | independent RIA | $5.9B | 91% | 26 | $228M | 1 | 0 |
| I•••• F••• A•••••••• I••• CRD 109143 | Irvine, CA | independent RIA | $5.9B | 88% | 17 | $349M | 0 | 0 |
| T• R••• P•••• A••••••• S•••••••• I••• CRD 108958 | Owings Mills, MD | BD affiliated | $5.9B | 100% | 490 | $12.0M | 1 | 0 |
| P••••••• CRD 333260 | Conshohocken, PA | independent RIA | $5.9B | 98% | 40 | $147M | 6 | 0 |
| E•••••• F••••••••• L•• D•• E•••••• A•••• M••••••••• CRD 340506 | independent RIA | $5.8B | 99% | 4 | $1.5B | 0 | 0 | |
| G• W••••• M••••••••• R••• L•• CRD 327269 | Cambridge, MA | independent RIA | $5.8B | 100% | 35 | $167M | 5 | 0 |
| M•••••••• A••••••• CRD 307857 | Boston, MA | mixed wealth | $5.8B | 23% | 27 | $215M | 7 | 2 |
| S•• F•••••••• A••••••• CRD 107517 | Winona Lake, IN | independent RIA | $5.8B | 65% | 33 | $176M | 5 | 0 |
| T••••••••• W••••• CRD 108917 | Bellevue, WA | independent RIA | $5.8B | 90% | 22 | $262M | 2 | 0 |
| L•••••• S•• I••••••••• A•••••••• L••••• CRD 109701 | Elmhurst, IL | BD affiliated | $5.7B | 90% | 159 | $36.1M | 70 | 0 |
| B••••• C•••••• M••••••••• I••• CRD 110489 | Portland, OR | independent RIA | $5.7B | 66% | 23 | $249M | 3 | 1 |
| W•••••• S••••••••• I••• CRD 877 | Pasadena, CA | BD affiliated | $5.7B | 95% | 220 | $25.8M | 58 | 0 |
| G•••••••• W••••• P••••••• CRD 250787 | Palm Beach Gardens, FL | BD affiliated | $5.7B | 99% | 104 | $54.7M | 51 | 0 |
| K••••••• A•• A••••••••• L•• CRD 125618 | New York, NY | independent RIA | $5.7B | 78% | 9 | $629M | 0 | 0 |
| T•• W••••• P••••••• CRD 124407 | Maumee, OH | independent RIA | $5.7B | 87% | 36 | $157M | 11 | 0 |
| S•••• C••••••• L• CRD 285645 | Salt Lake City, UT | independent RIA | $5.6B | 74% | 18 | $313M | 4 | 10 |
| B•••• W•••••• A•••••••• L•• CRD 108894 | New York, NY | independent RIA | $5.6B | 70% | 4 | $1.4B | 4 | 4 |
| D•••••• CRD 151367 | Phoenix, AZ | independent RIA | $5.6B | 94% | 77 | $73.2M | 54 | 0 |
| D••••• CRD 13162 | San Diego, CA | independent RIA | $5.6B | 91% | 30 | $188M | 1 | 1 |
| Y••• C•••••• C•••• CRD 126992 | St. Petersburg, FL | independent RIA | $5.6B | 100% | 5 | $1.1B | 3 | 0 |
| A••••• A•••••••• L••• A• E•• C•••••• CRD 339091 | Pittsford, NY | mixed wealth | $5.6B | 46% | 14 | $401M | 0 | 0 |
| A•••••••• F•••••••• G•••• CRD 104690 | Pittsburgh, PA | independent RIA | $5.6B | 95% | 30 | $186M | 0 | 13 |
| S•••••• W••••• A••••••• L•• CRD 283816 | Beachwood, OH | independent RIA | $5.6B | 97% | 71 | $78.5M | 30 | 0 |
| B•••••••• CRD 152511 | Atlanta, GA | independent RIA | $5.5B | 72% | 18 | $308M | 1 | 6 |
| I••••••••• A••••••• N•••••• L•• CRD 171991 | Dallas, TX | independent RIA | $5.5B | 99% | 80 | $69.0M | 47 | 2 |
| W••••••••• I••••••••• C•••••• L•• CRD 108711 | Boston, MA | mixed wealth | $5.5B | 31% | 12 | $460M | 0 | 0 |
| 7• W••• C•••••• P••••••• CRD 338756 | Boston, MA | independent RIA | $5.5B | 99% | 6 | $918M | 1 | 0 |
| C••••••• G•••• A••••••• CRD 170912 | Lake Forest, IL | independent RIA | $5.5B | 93% | 21 | $262M | 2 | 0 |
| W•••••• P•••••• W••••• CRD 131063 | Bridgeville, PA | independent RIA | $5.5B | 100% | 43 | $128M | 3 | 1 |
| F••••••• A•••• M••••••••• L•• CRD 109910 | Sheridan, WY | mixed wealth | $5.5B | 21% | 9 | $610M | 1 | 0 |
| B••••••••• CRD 105142 | Richmond, VA | mixed wealth | $5.5B | 42% | 15 | $366M | 0 | 58 |
| D••••••••• G••••• I•••••••• I•• CRD 106746 | Minneapolis, MN | mixed wealth | $5.5B | 26% | 2 | $2.7B | 0 | 3 |
| L••••• F•••••••• G••••• L•• CRD 140599 | Saint Louis, MO | BD affiliated | $5.5B | 99% | 68 | $80.6M | 20 | 0 |
| C•••••• W••••• M••••••••• L•• CRD 143490 | Naperville, IL | independent RIA | $5.5B | 88% | 42 | $130M | 6 | 0 |
| B••••••••• W••••• M••••••••• L•• CRD 152667 | Austin, TX | independent RIA | $5.4B | 92% | 46 | $118M | 7 | 0 |
| T••• N•••• A•••••••• L•• CRD 116048 | Dallas, TX | independent RIA | $5.4B | 72% | 32 | $169M | 5 | 34 |
| I•••••••• A•••••••• L•• CRD 139627 | Urbandale, IA | BD affiliated | $5.4B | 89% | 355 | $15.2M | 128 | 0 |
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9,806 advisers match.