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.
2,583 advisers match
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| J.P. Morgan Investment Management Inc. CRD 107038 | New York, NY | asset manager | $3519B | 0.4% | 49 | $72B | 266 | 239 |
| Goldman Sachs Asset Management, L.P. CRD 107738 | New York, NY | other | $2649B | 14% | 1 | $2649B | 13 | 1,286 |
| Morgan Stanley 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% | 25,468 | $70.0M | 3,910 | 0 |
| B•••••••• F•••••••• M••••••••• I•• CRD 107105 | New York, NY | other | $1595B | 0.3% | 31 | $51B | 20 | 352 |
| B•••••••• A•••••••• L•• CRD 106614 | New York, NY | asset manager | $1096B | 0.0% | 0 | n/a | 9 | 0 |
| 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 |
| U•• A•••• M••••••••• ••••••••• L•• CRD 106838 | New York, NY | mixed wealth | $588B | 34% | 32 | $18B | 15 | 139 |
| J••• M••••• P•••••• I••••••••• I••• CRD 110186 | New York, NY | BD affiliated | $470B | 66% | 9 | $52B | 5 | 75 |
| J••• M••••• S••••••••• L•• CRD 79 | New York, NY | wirehouse | $430B | 91% | 14,152 | $30.4M | 3,566 | 0 |
| B•• M••••• I••••••••• A••••••• I••• CRD 105642 | New York, NY | asset manager | $419B | 0.0% | 0 | n/a | 5 | 0 |
| K••••••• K••••• R•••••• • C•• L••• CRD 144533 | New York, NY | asset manager | $400B | 0.0% | 0 | n/a | 25 | 625 |
| N•••••••• B••••• I••••••••• A••••••• L•• CRD 124687 | New York, NY | other | $399B | 18% | 0 | n/a | 10 | 73 |
| N•• I•••••••• L•• CRD 169553 | New York, NY | institutional | $329B | 0.0% | 0 | n/a | 6 | 17 |
| R•• C•••••• M••••••• L•• CRD 31194 | New York, NY | national BD | $310B | 90% | 3,840 | $80.8M | 382 | 0 |
| T•••••••• I••••••••• M••••••••• L•• CRD 107168 | New York, NY | asset manager | $292B | 0.0% | 0 | n/a | 28 | 0 |
| V••• I••••••••• M••••••••• C•• L•• CRD 106494 | New York, NY | asset manager | $275B | 0.6% | 53 | $5.2B | 7 | 0 |
| G••••••••• P••••••• I••••••••• M••••••••• L•• CRD 137432 | New York, NY | other | $241B | 0.2% | 3 | $80B | 4 | 73 |
| T•• S•••• I••••••••• L• CRD 137137 | New York, NY | asset manager | $233B | 0.0% | 0 | n/a | 2 | 62 |
| S••••••••• O•• L•• CRD 172116 | New York, NY | asset manager | $227B | 0.0% | 0 | n/a | 3 | 11 |
| S•••••••• S•••••••• A••••••• L•• CRD 281984 | New York, NY | asset manager | $225B | 0.0% | 0 | n/a | 22 | 39 |
| J••••••• A••••••••• CRD 107959 | New York, NY | asset manager | $215B | 1.2% | 0 | n/a | 2 | 12 |
| D• E• S••• • C••• L••• CRD 108679 | New York, NY | asset manager | $213B | 0.0% | 0 | n/a | 4 | 13 |
| D•• I••••••••• M••••••••• A•••••••• I••• CRD 104518 | New York, NY | other | $200B | 0.0% | 0 | n/a | 5 | 0 |
| C••••••••• I••••••••• L•• CRD 137028 | New York, NY | mixed wealth | $185B | 26% | 42 | $4.4B | 8 | 4 |
| B••••••••• I•••• A••••••• L••••• CRD 289202 | New York, NY | institutional | $184B | 0.0% | 0 | n/a | 4 | 6 |
| M•••••• I••••••••• G••••• L•• CRD 124744 | New York, NY | asset manager | $176B | 0.0% | 0 | n/a | 6 | 17 |
| H•• I••••••••• P•••••••• L•• CRD 282125 | New York, NY | asset manager | $176B | 0.0% | 0 | n/a | 19 | 253 |
| I•••••• I••••••••• CRD 145995 | New York, NY | other | $171B | 3.2% | 0 | n/a | 3 | 0 |
| F••••••• T•••••••• F••• A••••••• L•• CRD 140432 | New York, NY | asset manager | $167B | 0.0% | 0 | n/a | 0 | 0 |
| E•••••••• I••••••••• M••••••••• G••••• L•• CRD 156933 | New York, NY | asset manager | $167B | 0.0% | 0 | n/a | 0 | 0 |
| A•••••••• A•••• M••••••••• L• CRD 154176 | New York, NY | asset manager | $165B | 0.0% | 0 | n/a | 5 | 3 |
| C••••• P••••••• L•• CRD 151559 | New York, NY | independent RIA | $162B | 71% | 736 | $220M | 66 | 10 |
| M••••• S•••••• L•• CRD 107717 | New York, NY | other | $160B | 1.9% | 7 | $23B | 3 | 16 |
| E••••••••• C•••••• M••••••••• L• CRD 294156 | New York, NY | asset manager | $159B | 0.0% | 0 | n/a | 15 | 6 |
| H••• G••••• A•••• M••••••••• •••• I••• CRD 105686 | New York, NY | asset manager | $157B | 0.0% | 0 | n/a | 1 | 0 |
| S••••••• I••••••••• M••••••••• N•••• A•••••• I•• CRD 105820 | New York, NY | asset manager | $150B | 0.5% | 0 | n/a | 3 | 17 |
| I••••••• A•••••••• L•• CRD 177513 | New York, NY | asset manager | $150B | 0.0% | 0 | n/a | 2 | 1,144 |
| B••••••••• M••••••••• P••••••• L••••• CRD 136979 | New York, NY | asset manager | $146B | 0.0% | 0 | n/a | 10 | 36 |
| G••••• I••••••••• M••••••••• L•• CRD 157434 | New York, NY | asset manager | $142B | 0.0% | 0 | n/a | 12 | 93 |
| N••••• A••••••••• A••••••• L•• CRD 160255 | New York, NY | institutional | $142B | 0.0% | 0 | n/a | 4 | 42 |
| A•• A•••• M••••••••• U•• I•• CRD 160795 | New York, NY | asset manager | $141B | 0.0% | 0 | n/a | 0 | 29 |
| L•• P••••••• L•• CRD 292183 | New York, NY | asset manager | $140B | 0.0% | 0 | n/a | 7 | 4 |
| F••••••• T•••••••• P•••••• P•••••••• G••••• L•• CRD 142219 | New York, NY | independent RIA | $140B | 56% | 1 | $140B | 0 | 0 |
| C••••• I••••••••• U• L• CRD 157589 | New York, NY | asset manager | $137B | 0.0% | 0 | n/a | 5 | 0 |
| F•••• E•••• I••••••••• M••••••••• L•• CRD 108260 | New York, NY | asset manager | $136B | 0.0% | 0 | n/a | 6 | 6 |
| G•••••• S•••• • C•• L•• CRD 361 | New York, NY | wirehouse | $134B | 38% | 0 | n/a | 18 | 0 |
| A•••• A•••• M••••••••• L•• CRD 304316 | New York, NY | asset manager | $133B | 0.0% | 0 | n/a | 0 | 1 |
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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