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 |
|---|---|---|---|---|---|---|---|---|
| Praxis Capital Management LLC CRD 333052 | Chicago, IL | asset manager | $301M | 0.0% | 0 | n/a | 1 | 1 |
| Vital Wealth Management, LLC CRD 156455 | Rosemont, IL | independent RIA | $301M | 85% | 2 | $150M | 0 | 0 |
| Sterling Bay Capital Advisers, LLC CRD 172242 | Chicago, IL | asset manager | $298M | 0.0% | 0 | n/a | 0 | 12 |
| P•••••• L•••• M••••••••• C••••••• L•• CRD 335704 | Chicago, IL | asset manager | $294M | 0.0% | 0 | n/a | 2 | 4 |
| N•••••• G••••• P•••••••• L•• CRD 285024 | Chicago, IL | asset manager | $294M | 0.0% | 0 | n/a | 1 | 8 |
| F•••••••• F•••••••• P•••••••• L•• CRD 156389 | Naperville, IL | independent RIA | $293M | 97% | 6 | $48.9M | 5 | 0 |
| T•• P••••••• G•••• CRD 298496 | Northfield, IL | independent RIA | $291M | 95% | 4 | $72.9M | 0 | 0 |
| M••••••••• F•••••••• A•••••••• L•• CRD 156315 | Naperville, IL | independent RIA | $291M | 100% | 5 | $58.3M | 0 | 0 |
| I•••••••• CRD 325508 | Chicago, IL | asset manager | $291M | 0.0% | 0 | n/a | 0 | 6 |
| G••••••• W••••• M••••••••• I••• CRD 154159 | Peoria, IL | independent RIA | $289M | 59% | 5 | $57.8M | 0 | 0 |
| M•••••• F•••••••• G•••• CRD 167188 | Normal, IL | independent RIA | $287M | 100% | 7 | $41.0M | 1 | 0 |
| R•• P•••••• W•••••• L•• CRD 298527 | Hinsdale, IL | independent RIA | $286M | 96% | 1 | $286M | 0 | 0 |
| P•••••• C•••• C•••••• M••••••••• L•• CRD 160354 | Chicago, IL | mixed wealth | $285M | 32% | 1 | $285M | 0 | 0 |
| M•••••• S••••• C•••••• P•••••••• L• CRD 329585 | Evanston, IL | asset manager | $284M | 0.0% | 0 | n/a | 0 | 4 |
| H••••• W••••• M••••••••• CRD 170086 | Champaign, IL | independent RIA | $284M | 99% | 4 | $71.0M | 0 | 0 |
| S••••••••• W••••• M••••••••• L•• CRD 285693 | Oak Brook, IL | independent RIA | $283M | 100% | 3 | $94.4M | 0 | 0 |
| P••••••• W••••• P••••••• CRD 335762 | Itasca, IL | independent RIA | $283M | 99% | 9 | $31.4M | 1 | 0 |
| C•••••• W••••• M••••••••• CRD 324524 | Oakbrook Terrace, IL | other | $283M | 11% | 0 | n/a | 0 | 1 |
| D••••••••• W••••• M••••••••• CRD 111594 | Palatine, IL | independent RIA | $279M | 100% | 2 | $140M | 1 | 0 |
| H•••••• F••••• W•••••• I••• CRD 315484 | Chicago, IL | independent RIA | $279M | 100% | 2 | $139M | 0 | 0 |
| 4•••••• A•••••••• I••• CRD 129727 | Burr Ridge, IL | independent RIA | $275M | 76% | 11 | $25.0M | 1 | 0 |
| O••••••• F•••••••• G•••• L•• CRD 168636 | Quincy, IL | independent RIA | $275M | 100% | 4 | $68.8M | 1 | 0 |
| K•• W••••• L•• CRD 332136 | Chicago, IL | independent RIA | $275M | 100% | 3 | $91.7M | 0 | 0 |
| C•••••• I••••••••• A••••••• G•••• CRD 142810 | Mokena, IL | independent RIA | $275M | 97% | 7 | $39.3M | 2 | 0 |
| K•••• R•••••• L• CRD 265787 | Chicago, IL | asset manager | $275M | 0.0% | 0 | n/a | 0 | 7 |
| S•••••••• F•••••••• S•••••••• L•• CRD 123729 | Arlington Heights, IL | independent RIA | $274M | 87% | 12 | $22.8M | 7 | 0 |
| U•••••• I••••••••• M••••••••• L••••• CRD 118025 | Skokie, IL | independent RIA | $273M | 96% | 15 | $18.2M | 1 | 0 |
| E• A• H•••••• L•• CRD 165561 | Deerfield, IL | independent RIA | $273M | 97% | 10 | $27.3M | 0 | 0 |
| E••••••• C•••••• A••••••• L•• CRD 220511 | Winnetka, IL | independent RIA | $271M | 100% | 5 | $54.3M | 0 | 0 |
| W•••••• W••••• CRD 332096 | Chicago, IL | independent RIA | $268M | 99% | 5 | $53.7M | 0 | 0 |
| T•••••••• C•••••• L•• CRD 161971 | Chicago, IL | asset manager | $268M | 0.0% | 0 | n/a | 0 | 2 |
| B•••••••• I••••••••• M••••••••• L•• CRD 300409 | Rosemont, IL | mixed wealth | $266M | 41% | 3 | $88.6M | 1 | 0 |
| T•• D••• G••••• L•• CRD 291828 | Hoffman Estates, IL | independent RIA | $265M | 100% | 9 | $29.5M | 0 | 0 |
| A••••• A•••• A••••••• I•• CRD 112441 | Hometown, IL | asset manager | $262M | 0.0% | 0 | n/a | 0 | 0 |
| G••••••••• B••• W••••• A•••••••• L•• CRD 335862 | Chicago, IL | independent RIA | $260M | 100% | 5 | $52.0M | 0 | 0 |
| C•••• W••••• P•••••••• L•• CRD 321757 | O'Fallon, IL | independent RIA | $260M | 99% | 4 | $65.0M | 0 | 0 |
| P••••••• M••••••••• L•• CRD 146761 | Evanston, IL | asset manager | $258M | 0.0% | 0 | n/a | 0 | 6 |
| 1•• A••••••• G•••• CRD 314694 | Chicago, IL | independent RIA | $257M | 100% | 2 | $129M | 0 | 0 |
| F•••••••• C•••••• L•• CRD 162237 | Chicago, IL | asset manager | $257M | 0.0% | 0 | n/a | 0 | 2 |
| E••••• • T•••• A••••••• CRD 123802 | Riverwoods, IL | independent RIA | $256M | 100% | 4 | $64.1M | 0 | 0 |
| W••••• C•••••• M••••••••• L•• CRD 162882 | Chicago, IL | asset manager | $256M | 0.0% | 0 | n/a | 0 | 7 |
| G••• C••• C•••••• M••••••••• L•• CRD 289122 | Chicago, IL | other | $254M | 0.0% | 0 | n/a | 0 | 1 |
| P•••••• M• S•••••• • A••••••••• I•• CRD 112802 | Libertyville, IL | independent RIA | $253M | 100% | 3 | $84.2M | 1 | 0 |
| M••• S••••• I••••••••• A•••••••• L•• CRD 146036 | Northbrook, IL | independent RIA | $250M | 99% | 3 | $83.4M | 0 | 0 |
| P•••••• R••••• I••••••••• L•• CRD 288153 | Robinson, IL | independent RIA | $249M | 78% | 3 | $83.1M | 0 | 0 |
| L••••••• A•••• M••••••••• L•• CRD 174887 | Naperville, IL | independent RIA | $249M | 100% | 4 | $62.2M | 3 | 0 |
| T•••• W••••• P•••••••• L•• CRD 339818 | Champaign, IL | independent RIA | $247M | 88% | 3 | $82.3M | 0 | 0 |
| I••••• E••••• CRD 304022 | Chicago, IL | asset manager | $247M | 0.0% | 0 | n/a | 0 | 6 |
| 2•• F•••••••• CRD 328570 | Morton, IL | independent RIA | $243M | 99% | 5 | $48.6M | 2 | 0 |
| P•••• P••••••• P••••••• CRD 290485 | Libertyville, IL | independent RIA | $242M | 100% | 4 | $60.4M | 1 | 0 |
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678 advisers match.