DFX Intelligence
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 |
|---|---|---|---|---|---|---|---|---|
| Janus Henderson Investors CRD 104652 | Denver, CO | asset manager | $380B | 0.5% | 3 | $127B | 6 | 16 |
| Empower Advisory Group, LLC CRD 112058 | Greenwood Village, CO | BD affiliated | $195B | 85% | 1,944 | $101M | 1,234 | 0 |
| Ptma Investment Advisors CRD 159189 | Denver, CO | asset manager | $104B | 0.0% | 12 | $8.7B | 13 | 0 |
| M••••• G••••• A••••••• I••• CRD 147363 | Denver, CO | independent RIA | $84B | 92% | 750 | $113M | 268 | 0 |
| E•••••• C•••••• M••••••••• L•• CRD 107272 | Greenwood Village, CO | asset manager | $78B | 0.0% | 5 | $16B | 0 | 9 |
| T••••••••• A•••• M••••••••• I••• CRD 107376 | Denver, CO | asset manager | $66B | 0.0% | 0 | n/a | 0 | 0 |
| A••• A•••••••• I••• CRD 134340 | Denver, CO | asset manager | $39B | 0.0% | 15 | $2.6B | 1 | 0 |
| K•• C•••••• P••••••• CRD 155677 | Denver, CO | asset manager | $26B | 0.0% | 0 | n/a | 3 | 60 |
| A•••••••• C••••••• H•••••••• L•• CRD 149120 | Denver, CO | other | $21B | 2.6% | 0 | n/a | 2 | 38 |
| F•••••••• C••••••••• G•••• CRD 149122 | Greenwood Village, CO | institutional | $15B | 0.0% | 26 | $567M | 3 | 0 |
| S•••• C•••••• I••••••••• L•• CRD 294402 | Denver, CO | asset manager | $13B | 0.0% | 4 | $3.3B | 1 | 0 |
| G••••• W••••• M••••••••• I••• CRD 120894 | Englewood, CO | BD affiliated | $9.2B | 98% | 192 | $48.0M | 113 | 0 |
| N•••••••• I•••••••• L•• CRD 161406 | Denver, CO | asset manager | $9.0B | 0.0% | 0 | n/a | 8 | 33 |
| E•••••••• P•••• W••••• P•••••••• L•• CRD 137068 | Denver, CO | independent RIA | $8.3B | 98% | 56 | $148M | 13 | 0 |
| R••••••••• C•••••• P••••••• CRD 173859 | Denver, CO | asset manager | $6.7B | 0.0% | 0 | n/a | 0 | 27 |
| A•••• G•••• C••••••• L•• CRD 158166 | Avon, CO | independent RIA | $6.7B | 100% | 9 | $741M | 1 | 0 |
| S•••••• C•••••• M••••••••• CRD 104720 | Denver, CO | mixed wealth | $6.5B | 20% | 15 | $435M | 3 | 0 |
| V••••• R•••• P•••••••• L•• CRD 174836 | Boulder, CO | asset manager | $6.1B | 0.0% | 0 | n/a | 3 | 9 |
| 1••• I••••••••• L•• CRD 312491 | Denver, CO | asset manager | $5.9B | 0.1% | 0 | n/a | 0 | 5 |
| W•••••• W••••• M••••••••• L•• CRD 283545 | Golden, CO | independent RIA | $5.4B | 94% | 113 | $47.4M | 40 | 0 |
| B••• C•••• A•••• M••••••••• L•• CRD 137677 | Denver, CO | mixed wealth | $5.2B | 36% | 8 | $649M | 1 | 40 |
| R•••••• T••••••••• M••••••••• L••••• CRD 169875 | Boulder, CO | asset manager | $4.8B | 0.0% | 0 | n/a | 2 | 15 |
| J•• F••••• O••••• CRD 125101 | Denver, CO | independent RIA | $4.5B | 99% | 35 | $129M | 2 | 1 |
| M•••••• C•••••• M••••••••• L•• CRD 109250 | Denver, CO | other | $4.3B | 19% | 1 | $4.3B | 0 | 0 |
| B•• R•••• C•••••• CRD 156765 | Denver, CO | asset manager | $4.2B | 0.0% | 0 | n/a | 3 | 47 |
| H••••••• S••••• P•••••• W••••• L•• CRD 143857 | Denver, CO | asset manager | $4.1B | 0.0% | 0 | n/a | 3 | 0 |
| N•• C•••••• L•• CRD 305093 | Denver, CO | other | $4.1B | 0.0% | 0 | n/a | 0 | 4 |
| I•• A••••••• S•••••••• I••• CRD 112091 | Denver, CO | mixed wealth | $3.9B | 22% | 45 | $86.8M | 7 | 0 |
| B•• F•••••••• P•••••• W•••••• I••• CRD 106733 | Denver, CO | independent RIA | $3.7B | 83% | 27 | $138M | 8 | 0 |
| D••• P••• R••• M••••••••• C••••••• L• CRD 140370 | Steamboat Springs, CO | asset manager | $3.5B | 0.0% | 0 | n/a | 1 | 6 |
| F•••••• G••••• L•• CRD 159541 | Boulder, CO | asset manager | $3.5B | 0.0% | 0 | n/a | 0 | 0 |
| S••••••••• G•••• L•• CRD 307575 | Denver, CO | asset manager | $3.1B | 0.0% | 0 | n/a | 1 | 1 |
| G•• I••••••••• A••••••• I•• CRD 107563 | Denver, CO | independent RIA | $3.1B | 98% | 28 | $109M | 0 | 1 |
| O•••••••• W••••• P••••••• CRD 110069 | Aspen, CO | independent RIA | $3.0B | 90% | 18 | $169M | 3 | 0 |
| C•••••• I••••••••• L•• CRD 115093 | Denver, CO | independent RIA | $2.9B | 63% | 3 | $974M | 0 | 1 |
| W••••• • D••••• I••••••••• P•••••••• I••• CRD 165022 | Denver, CO | asset manager | $2.7B | 0.0% | 0 | n/a | 0 | 20 |
| P•••••• A••••••• L•• CRD 315804 | Denver, CO | asset manager | $2.7B | 0.0% | 0 | n/a | 0 | 0 |
| M•••••• C•••••• M••••••••• L•• CRD 159828 | Denver, CO | other | $2.4B | 17% | 4 | $611M | 0 | 0 |
| S••• G••••• I••••••••• L•• CRD 114669 | Durango, CO | other | $2.4B | 16% | 19 | $126M | 0 | 0 |
| S••••••••• C•••••• P••••••• L•• CRD 171963 | Denver, CO | asset manager | $2.3B | 1.2% | 0 | n/a | 1 | 15 |
| S••••• W••••• G•••• CRD 335242 | Colorado Springs, CO | independent RIA | $2.3B | 100% | 35 | $65.9M | 10 | 0 |
| E•••••••• P••••••• CRD 142904 | Denver, CO | asset manager | $2.3B | 0.0% | 0 | n/a | 0 | 0 |
| B•• W••••• P••••••• CRD 107485 | Boulder, CO | independent RIA | $2.2B | 98% | 18 | $124M | 1 | 0 |
| A••••••• A•••• M••••••••• I••• CRD 46727 | Monument, CO | mixed wealth | $2.2B | 32% | 125 | $17.7M | 8 | 1 |
| C••••• C•••• F••••• O•••••• CRD 156310 | Denver, CO | independent RIA | $2.0B | 97% | 6 | $337M | 0 | 1 |
| W••••••••• C•••••• M••••••••• I••••••••• L• CRD 143980 | Boulder, CO | asset manager | $2.0B | 0.0% | 0 | n/a | 0 | 15 |
| P•• E•••••• L•• CRD 333127 | Aspen, CO | independent RIA | $1.9B | 92% | 10 | $194M | 9 | 0 |
| F•••••• F•••• M••••••••• C• CRD 110785 | Denver, CO | asset manager | $1.9B | 0.0% | 1 | $1.9B | 0 | 0 |
| N•••••• P•••••••• L•• CRD 315694 | Greenwood Village, CO | independent RIA | $1.9B | 80% | 15 | $125M | 1 | 11 |
| U• W••••• P••••••• L•• CRD 308983 | Centennial, CO | asset manager | $1.9B | 0.2% | 3 | $622M | 4 | 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.
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356 advisers match.