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 |
|---|---|---|---|---|---|---|---|---|
| Reik & Co., LLC CRD 142414 | independent RIA | $322M | 78% | 4 | $80.5M | 1 | 0 | |
| M4a3 LLC CRD 336172 | Boulder, CO | independent RIA | $322M | 90% | 1 | $322M | 0 | 5 |
| Nicholson Wealth Management Group CRD 327001 | Charleston, SC | independent RIA | $322M | 92% | 2 | $161M | 0 | 0 |
| S••• F•••••••• G••••• I••• | Alameda, CA | independent RIA | $322M | 96% | 4 | $80.5M | 0 | 0 |
| S••••••••• A••••••• G••••• L•• | Clermont, FL | independent RIA | $322M | 96% | 4 | $80.5M | 0 | 0 |
| W••••• A•••• M••••••• | Spokane, WA | BD affiliated | $322M | 99% | 9 | $35.8M | 1 | 0 |
| T•••••••• W••••• A••••••• | Seattle, WA | independent RIA | $322M | 100% | 5 | $64.3M | 1 | 0 |
| E•••••• E••••• L•• | San Mateo, CA | BD affiliated | $322M | 98% | 82 | $3.9M | 9 | 0 |
| B••• G••••• • C••••••• I••• | Orange, CA | BD affiliated | $322M | 100% | 30 | $10.7M | 10 | 0 |
| H• A••••••• G••••• L•• | Annapolis, MD | independent RIA | $322M | 100% | 2 | $161M | 1 | 0 |
| A•••• P••••••••• G•••• I•• | Grapevine, TX | independent RIA | $321M | 100% | 2 | $161M | 0 | 0 |
| A••••••• F••••••••• I••• | Mclean, VA | independent RIA | $321M | 98% | 5 | $64.2M | 0 | 0 |
| S•••••••• F•••••••• P•••••••• L•• | independent RIA | $321M | 100% | 6 | $53.5M | 7 | 0 | |
| T••••• I••••••••• M••••••••• I•• | Wallingford, CT | independent RIA | $321M | 96% | 3 | $107M | 0 | 0 |
| F•••••• F••••• F••••••••• L•• | Austin, TX | independent RIA | $321M | 97% | 1 | $321M | 1 | 3 |
| M••••••••• A••••••• | independent RIA | $321M | 100% | 3 | $107M | 4 | 0 | |
| H• C•••••• L•• | Santa Monica, CA | independent RIA | $321M | 100% | 0 | Not computed | 0 | 0 |
| S••••••• A••••••• G••••• L•• | Middleton, WI | independent RIA | $321M | 100% | 7 | $45.8M | 0 | 0 |
| A•• F•••••••• S••••••• I••• | The Woodlands, TX | independent RIA | $321M | 98% | 7 | $45.8M | 0 | 0 |
| 1• N•••• W••••• S•••••••• L•• | Annapolis, MD | independent RIA | $320M | 96% | 5 | $64.1M | 0 | 0 |
| E•••••• W••••• M••••••••• | Sheridan, WY | independent RIA | $320M | 51% | 3 | $107M | 0 | 0 |
| A••••••• I••••••••• M••••••••• L•• | Palmetto Bay, FL | independent RIA | $320M | 96% | 5 | $64.0M | 2 | 0 |
| W••• C•••••• | Augusta, GA | independent RIA | $320M | 95% | 3 | $107M | 0 | 0 |
| S••••• • C• I•• | Boston, MA | independent RIA | $320M | 90% | 3 | $107M | 0 | 0 |
| V•••• F••••••• L•• | Clayton, MO | independent RIA | $320M | 82% | 4 | $80.0M | 0 | 1 |
| S••••• F•••••••• | Orange, CA | independent RIA | $320M | 99% | 11 | $29.1M | 0 | 0 |
| L•••••• W••••• A•••••••• L•• | Melville, NY | independent RIA | $320M | 84% | 26 | $12.3M | 5 | 0 |
| A•••• W••••• M••••••••• A•• P••••••• L•• | Novato, CA | independent RIA | $320M | 94% | 6 | $53.3M | 3 | 0 |
| W••••••••• C••••••• L•• | Jackson, MS | independent RIA | $319M | 100% | 4 | $79.9M | 1 | 0 |
| A••••• I••••••••• G••••• L•• | Pasadena, CA | independent RIA | $319M | 100% | 8 | $39.9M | 0 | 0 |
| O•••••••• I••• | San Juan Capistrano, CA | independent RIA | $319M | 97% | 3 | $106M | 0 | 0 |
| T••••• F•••••••• | Fort Collins, CO | independent RIA | $319M | 100% | 3 | $106M | 1 | 0 |
| P••••••••• F•••••••• P•••••••• L•• | Farmington, UT | independent RIA | $319M | 99% | 12 | $26.6M | 6 | 0 |
| V••••••••• S•••••••• L•• | Annapolis, MD | independent RIA | $319M | 100% | 6 | $53.2M | 2 | 0 |
| A•••••• W••••••• • A••••••••• W••••• M••••••••• L•• | Shelburne, VT | independent RIA | $319M | 100% | 2 | $159M | 0 | 0 |
| B•••• W••••• M••••••••• L•• | Petaluma, CA | independent RIA | $319M | 100% | 3 | $106M | 0 | 0 |
| P•••••• B• W•••• C••• I•• | San Luis Obispo, CA | independent RIA | $319M | 97% | 2 | $159M | 0 | 0 |
| I••••••••• • F•••••••• P•••••••• L•• | Lexington, KY | independent RIA | $319M | 100% | 3 | $106M | 1 | 0 |
| F•• | Ardmore, OK | independent RIA | $318M | 74% | 4 | $79.6M | 0 | 0 |
| P•••••• • T••••• W••••• M••••••••• | San Angelo, TX | independent RIA | $318M | 87% | 5 | $63.7M | 0 | 0 |
| I••••• I•••••••• | independent RIA | $318M | 88% | 3 | $106M | 1 | 1 | |
| M•••• W••••• | independent RIA | $318M | 100% | 5 | $63.6M | 1 | 0 | |
| O•••••• F••••••••• L•• | Southlake, TX | independent RIA | $318M | 100% | 7 | $45.4M | 5 | 0 |
| C••• L•• | Longboat Key, FL | mixed wealth | $318M | 27% | 1 | $318M | 0 | 0 |
| 4•• F•••••••• | Canby, OR | independent RIA | $318M | 94% | 4 | $79.5M | 0 | 0 |
| T•••• V••• W••••• M••••••••• L•• | independent RIA | $318M | 95% | 4 | $79.5M | 1 | 0 | |
| T•••• C••• T••• W••••• M••••••••• L•• | Beaver, PA | independent RIA | $318M | 99% | 6 | $53.0M | 0 | 0 |
| M•••• W••••• | Coral Gables, FL | independent RIA | $318M | 96% | 5 | $63.6M | 2 | 0 |
| L••••• F•••••••• A••••••• C••••••••• | Bloomington, MN | independent RIA | $318M | 100% | 2 | $159M | 0 | 0 |
| W••••• P•• A•••••••• I••• | Sarasota, FL | independent RIA | $317M | 100% | 2 | $159M | 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.