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 |
|---|---|---|---|---|---|---|---|---|
| Marquette Associates, Inc. CRD 21572 | Chicago, IL | other | $47B | 10% | 4 | $12B | 8 | 0 |
| Francisco Partners CRD 160272 | San Francisco, CA | asset manager | $47B | 0.0% | 0 | n/a | 2 | 43 |
| Bessemer Investment Management LLC CRD 112215 | New York, NY | asset manager | $47B | 0.0% | 0 | n/a | 0 | 0 |
| P••• R•••• C•••••• M••••••••• L••• CRD 133720 | Minnetonka, MN | asset manager | $47B | 0.0% | 0 | n/a | 1 | 2 |
| D••••••• K•••••• C•••••• M••••••••• L• CRD 155680 | New York, NY | asset manager | $47B | 0.0% | 0 | n/a | 3 | 56 |
| N•• C•••••• L•• CRD 109396 | Montpelier, VT | institutional | $47B | 0.0% | 0 | n/a | 2 | 0 |
| N•• M••••••• C••••••• L•• CRD 161394 | New York, NY | asset manager | $46B | 0.0% | 0 | n/a | 8 | 14 |
| S••••• P•••• C••••••• L••• CRD 157738 | Greenwich, CT | asset manager | $46B | 0.0% | 0 | n/a | 9 | 0 |
| C•••••• A••••••• G•••• L•• CRD 107291 | Princeton, NJ | other | $46B | 0.1% | 0 | n/a | 1 | 0 |
| B••• O•• C••••• P•••••• F••• A••••••• L•• CRD 297506 | New York, NY | asset manager | $46B | 0.0% | 0 | n/a | 8 | 87 |
| S••• F••• S••••••• CRD 124235 | Austin, TX | asset manager | $46B | 0.0% | 1 | $46B | 0 | 240 |
| C••••••••• C••••••••• I••••••••• CRD 22875 | Newport Beach, CA | independent RIA | $46B | 87% | 24 | $1.9B | 2 | 16 |
| T•••• I••••••••• L•• CRD 164201 | Milwaukee, WI | asset manager | $46B | 0.0% | 0 | n/a | 4 | 0 |
| G•••••• C••••••• CRD 162548 | Cambridge, MA | asset manager | $46B | 0.0% | 0 | n/a | 5 | 49 |
| C••••••• A•••• M••••••••• I•• CRD 107287 | San Diego, CA | institutional | $45B | 0.0% | 21 | $2.2B | 6 | 0 |
| E• W••••• A••••••• CRD 111147 | Torrance, CA | independent RIA | $45B | 93% | 336 | $134M | 35 | 0 |
| C•••• C•••• T•••• C•••••• CRD 110742 | Bethesda, MD | mixed wealth | $45B | 28% | 40 | $1.1B | 1 | 0 |
| M••• N•• Y••• C••••••••• CRD 321962 | New Y•••, NY | institutional | $45B | 0.0% | 0 | n/a | 0 | 0 |
| C••• A•••• M••••••••• L•• CRD 159172 | Miami, FL | asset manager | $45B | 0.0% | 0 | n/a | 12 | 87 |
| C•••• I••••••••• C•••••• L••• CRD 336447 | Richmond Hill, Ontario, | asset manager | $44B | 0.0% | 0 | n/a | 1 | 0 |
| P•••••• A•••••• G••••• L•• CRD 155216 | Morristown, NJ | BD affiliated | $44B | 96% | 920 | $48.2M | 476 | 0 |
| S•••• C•••••• M••••••••• L•• CRD 137610 | Arlington, VA | other | $44B | 1.3% | 0 | n/a | 5 | 2 |
| P••••••• A•••• M••••••••• I•• CRD 105201 | Boston, MA | other | $44B | 0.0% | 0 | n/a | 0 | 9 |
| B••••••••• A••••••••• C••••• A••••••• L• CRD 137519 | New York, NY | asset manager | $44B | 0.0% | 0 | n/a | 13 | 87 |
| C•••••• A••••••• L•• CRD 105758 | Naperville, IL | asset manager | $44B | 4.3% | 42 | $1.0B | 6 | 3 |
| A••••• C•••••• L•• CRD 309234 | New York, NY | other | $44B | 0.0% | 2 | $22B | 4 | 0 |
| A•••••••• C•••••• M••••••••• L•• CRD 109876 | Los Angeles, CA | other | $44B | 14% | 20 | $2.2B | 2 | 1 |
| E•••••• C•••••• M••••••••• L•• CRD 160309 | New York, NY | asset manager | $43B | 0.0% | 0 | n/a | 0 | 3 |
| P•••• C•••••• CRD 136133 | London, | asset manager | $43B | 0.0% | 0 | n/a | 6 | 4 |
| N•••••• A••••••• CRD 171351 | New Orleans, LA | BD affiliated | $43B | 92% | 601 | $71.9M | 99 | 0 |
| W•••• F•••• I••••••••• I••••••••• I••• CRD 133204 | Charlotte, NC | bank affiliated | $43B | 81% | 50 | $860M | 2 | 0 |
| J••••• R•••• P•••••••• L••• CRD 144401 | Fort Worth, TX | other | $43B | 1.9% | 0 | n/a | 3 | 16 |
| V•••• I••••••••• M••••••••• CRD 334058 | Sydney, Nsw, | other | $43B | 0.0% | 0 | n/a | 0 | 0 |
| G••••• C•••••• M••••••••• L••• CRD 160925 | Rowayton, CT | asset manager | $43B | 0.0% | 0 | n/a | 3 | 18 |
| P•••••• L••• F••• A••••••• L•• CRD 105169 | Newport Beach, CA | asset manager | $43B | 0.0% | 0 | n/a | 0 | 1 |
| C•••••• G•••• P•••••• C••••• S•••••••• I••• CRD 312837 | Los Angeles, CA | independent RIA | $43B | 74% | 105 | $407M | 6 | 1 |
| C••••• L•••••• CRD 323818 | London, | asset manager | $43B | 0.0% | 0 | n/a | 0 | 22 |
| E•••••• P•••••••• L•• CRD 107926 | Atlanta, GA | other | $43B | 0.3% | 1 | $43B | 0 | 6 |
| F••••••• M••••• A•••••••• L•• CRD 111376 | Short Hills, NJ | asset manager | $43B | 6.8% | 0 | n/a | 0 | 0 |
| L••• CRD 269866 | Los Angeles, CA | independent RIA | $43B | 90% | 318 | $134M | 45 | 22 |
| E•••••••• A•••••••• L•• CRD 6627 | New York, NY | national BD | $42B | 97% | 4,624 | $9.2M | 885 | 0 |
| N••••• I••••••••• M••••••••• L•• CRD 111208 | London, | asset manager | $42B | 0.0% | 0 | n/a | 0 | 0 |
| T••••• P•••• H••• K••• L•••••• CRD 155827 | Central, | asset manager | $42B | 0.0% | 0 | n/a | 1 | 0 |
| P••• M••••• A•••• M••••••••• L•• CRD 107518 | Conshohocken, PA | institutional | $42B | 0.0% | 1 | $42B | 0 | 0 |
| S••••••••• A•••• M••••••••• L•• CRD 107338 | New York, NY | asset manager | $42B | 0.0% | 0 | n/a | 1 | 0 |
| S••••• P•••••••• L••• CRD 135271 | Boston, MA | asset manager | $42B | 0.0% | 0 | n/a | 3 | 87 |
| C••••• CRD 107687 | San Francisco, CA | institutional | $42B | 0.0% | 0 | n/a | 5 | 0 |
| P•••• A•••••••• I••• CRD 137381 | Malvern, PA | asset manager | $42B | 0.0% | 21 | $2.0B | 0 | 0 |
| D••• D••••••• • C•• CRD 199 | Great Falls, MT | independent RIA | $42B | 90% | 699 | $59.9M | 100 | 0 |
| A•••••• I••••••••• G••••• L••• CRD 155058 | Chicago, IL | asset manager | $42B | 0.0% | 0 | n/a | 0 | 1 |
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17,149 advisers match.