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 |
|---|---|---|---|---|---|---|---|---|
| Vanguard Group Inc CRD 105958 | Malvern, PA | asset manager | $11093B | 0.0% | 0 | n/a | 0 | 0 |
| Vanguard Capital Management, LLC CRD 338002 | Malvern, PA | asset manager | $8436B | 0.0% | 0 | n/a | 2 | 0 |
| Fidelity Management & Research Company LLC CRD 108281 | Boston, MA | asset manager | $5685B | 0.5% | 0 | n/a | 6 | 1 |
| B•••••••• F••• A••••••• CRD 105247 | San Francisco, CA | asset manager | $4282B | 0.0% | 8 | $535B | 6 | 0 |
| C•••••• R••••••• A•• M••••••••• C•••••• CRD 110885 | Los Angeles, CA | asset manager | $3754B | 0.6% | 0 | n/a | 4 | 0 |
| P•••••• I••••••••• M••••••••• C•••••• L•• CRD 104559 | Newport Beach, CA | asset manager | $3667B | 1.5% | 0 | n/a | 6 | 208 |
| J••• M••••• I••••••••• M••••••••• I••• CRD 107038 | New York, NY | asset manager | $3519B | 0.4% | 49 | $72B | 266 | 239 |
| V••••••• P•••••••• M••••••••• L•• CRD 338003 | Malvern, PA | asset manager | $2656B | 0.0% | 0 | n/a | 2 | 0 |
| G•••••• S•••• A•••• M••••••••• L••• CRD 107738 | New York, NY | other | $2649B | 14% | 1 | $2649B | 13 | 1,286 |
| T• R••• P•••• A••••••••• I••• CRD 105496 | Baltimore, MD | asset manager | $2196B | 0.2% | 222 | $9.9B | 5 | 7 |
| M••••• S•••••• CRD 149777 | Purchase, NY | wirehouse | $1962B | 90% | 23,147 | $84.8M | 627 | 0 |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• CRD 7691 | New York, NY | wirehouse | $1782B | 86% | 25,477 | $69.9M | 3,910 | 0 |
| G•••• C•••••• M••••••••• L•• CRD 115504 | Boston, MA | asset manager | $1737B | 0.0% | 0 | n/a | 0 | 0 |
| C•••••• S••••• I••••••••• M••••••••• I•• CRD 106753 | San Francisco, CA | other | $1721B | 13% | 37 | $47B | 167 | 0 |
| B•••••••• F•••••••• M••••••••• I•• CRD 107105 | New York, NY | other | $1595B | 0.3% | 31 | $51B | 20 | 352 |
| W••••••••• M••••••••• C•••••• L•• CRD 106595 | Boston, MA | asset manager | $1428B | 0.0% | 1 | $1428B | 6 | 77 |
| S••• F•••• M••••••••• I••• CRD 111242 | Boston, MA | asset manager | $1421B | 0.0% | 0 | n/a | 3 | 21 |
| S•••••••• A••••••• L•• CRD 104555 | Boston, MA | national BD | $1370B | 41% | 16,954 | $80.8M | 237 | 0 |
| N••••••• T•••• I••••••••• I••••••••• CRD 105780 | Chicago, IL | asset manager | $1245B | 8.3% | 32 | $39B | 8 | 9 |
| C••••••• CRD 175112 | Raleigh, NC | institutional | $1237B | 7.8% | 946 | $1.3B | 96 | 17 |
| P•••• I••• CRD 105676 | Newark, NJ | other | $1132B | 0.1% | 5 | $226B | 16 | 171 |
| B•••••••• A•••••••• L•• CRD 106614 | New York, NY | asset manager | $1096B | 0.0% | 0 | n/a | 9 | 0 |
| D••••••••• F••• A••••••• L• CRD 106482 | Austin, TX | asset manager | $1020B | 0.6% | 254 | $4.0B | 2 | 5 |
| E••••• J•••• CRD 250 | St. Louis, MO | national BD | $1014B | 98% | 24,084 | $42.1M | 15,120 | 0 |
| M•••••• A•••••• A••••••• L•• CRD 142558 | Jersey City, NJ | independent RIA | $995B | 90% | 26 | $38B | 0 | 0 |
| I•••••• C•••••• M••••••••• L•• CRD 125601 | Downers Grove, IL | asset manager | $941B | 0.0% | 0 | n/a | 3 | 0 |
| U•• F•••••••• S••••••• I••• CRD 8174 | Weehawken, NJ | wirehouse | $916B | 83% | 9,349 | $98.0M | 369 | 0 |
| M••••• I••••••••• C••••••••• CRD 105764 | Pittsburgh, PA | asset manager | $874B | 2.2% | 0 | n/a | 3 | 0 |
| L•• F•••••••• L•• CRD 6413 | Fort Mill, SC | BD affiliated | $819B | 96% | 23,319 | $35.1M | 20,864 | 0 |
| A••••••••• L••• CRD 108477 | Nashville, TN | other | $763B | 10% | 520 | $1.5B | 59 | 49 |
| I•••••• A•••••••• I••• CRD 105360 | Atlanta, GA | asset manager | $750B | 0.0% | 194 | $3.9B | 14 | 30 |
| M••••••••• M••••••••• L•• CRD 158117 | New York, NY | asset manager | $721B | 0.0% | 0 | n/a | 81 | 10 |
| A••••• C•••••• M••••••••• L••• CRD 143161 | New York, NY | other | $718B | 0.0% | 0 | n/a | 28 | 711 |
| M••••• S•••••• I••••••••• M••••••••• I••• CRD 110353 | New York, NY | asset manager | $702B | 0.0% | 20 | $35B | 15 | 14 |
| P••••••••• P•••••••• A••••••••• CRD 114310 | Seattle, WA | BD affiliated | $685B | 56% | 7 | $98B | 5 | 12 |
| B•••••••• I••••••••• M••••••••• L•• CRD 108928 | Princeton, NJ | asset manager | $677B | 8.6% | 670 | $1.0B | 13 | 49 |
| W•••• F•••• A••••••• CRD 19616 | St. Louis, MO | wirehouse | $671B | 92% | 14,697 | $45.7M | 5,038 | 0 |
| A••••••••• F•••••••• S•••••••• L•• CRD 6363 | Minneapolis, MN | national BD | $660B | 98% | 13,078 | $50.5M | 158 | 0 |
| G•••••• S•••• A•••• M••••••••• I••••••••• CRD 107715 | London, | asset manager | $621B | 1.2% | 0 | n/a | 0 | 31 |
| E•••••••• P•• CRD 111694 | Berwyn, PA | independent RIA | $615B | 94% | 60 | $10B | 1 | 0 |
| N••••• A•••• M••••••••• C••• L••• CRD 110814 | Tokyo, | asset manager | $602B | 0.0% | 0 | n/a | 0 | 0 |
| F•••••••• I••••••••• M••••••••• C•••••• CRD 105138 | Pittsburgh, PA | asset manager | $590B | 0.0% | 0 | n/a | 0 | 0 |
| U•• A•••• M••••••••• ••••••••• L•• CRD 106838 | New York, NY | mixed wealth | $588B | 34% | 32 | $18B | 15 | 139 |
| C•••••• A••••••• L•• CRD 148826 | Miami, FL | asset manager | $571B | 0.0% | 0 | n/a | 26 | 37 |
| M•••••• I••••••••• M••••••••• L•• CRD 142463 | Whippany, NJ | institutional | $564B | 0.0% | 0 | n/a | 11 | 11 |
| M•• I••••••••• M••••••••• CRD 110045 | Boston, MA | asset manager | $514B | 0.0% | 0 | n/a | 0 | 0 |
| F••••••• A•••••••• I••• CRD 104517 | San Mateo, CA | asset manager | $509B | 3.5% | 0 | n/a | 6 | 0 |
| C••••••• M••••••••• I••••••••• A•••••••• L•• CRD 108257 | Boston, MA | asset manager | $502B | 0.6% | 200 | $2.5B | 7 | 12 |
| R•••••• J•••• • A••••••••• I••• CRD 705 | St. Petersburg, FL | national BD | $501B | 81% | 5,787 | $86.6M | 817 | 0 |
| J••••••• A•••• M••••••••• ••• L•••••• CRD 135960 | London, | asset manager | $484B | 0.3% | 0 | n/a | 2 | 14 |
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17,149 advisers match.