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 |
|---|---|---|---|---|---|---|---|---|
| Securian Asset Management, Inc. CRD 109905 | St Paul, MN | institutional | $42B | 0.0% | 0 | n/a | 0 | 0 |
| Focus Advisor Solutions, LLC CRD 143319 | St. Louis, MO | independent RIA | $41B | 83% | 43 | $965M | 0 | 0 |
| Stepstone Group Real Assets LP CRD 281695 | La Jolla, CA | asset manager | $41B | 0.0% | 0 | n/a | 9 | 59 |
| A•••• I••• CRD 111069 | Philadelphia, PA | other | $41B | 0.0% | 0 | n/a | 2 | 25 |
| N••••• O•• N•••• A••••••• I••• CRD 167922 | New York, NY | asset manager | $41B | 1.2% | 0 | n/a | 0 | 9 |
| P•••••••• I••••••••• L•• CRD 316904 | San Francisco, CA | asset manager | $41B | 0.6% | 12 | $3.4B | 0 | 0 |
| M•••• I••••••••• M••••••••• L••• CRD 159100 | Calgary, Alberta, | other | $41B | 14% | 0 | n/a | 2 | 17 |
| A•••••• I••••••••• M••••••••• L•• CRD 112551 | London, | other | $41B | 0.0% | 0 | n/a | 0 | 13 |
| M••••• S•••••• A•• G• L• CRD 117050 | West Conshohocken, PA | asset manager | $41B | 1.1% | 0 | n/a | 6 | 107 |
| A•••••••• I••••••••• M••••••••• CRD 159767 | St. Louis, MO | other | $41B | 0.0% | 0 | n/a | 0 | 1 |
| H••••• B•• C•••••• M••••••••• L• CRD 155910 | Stamford, CT | asset manager | $41B | 0.0% | 0 | n/a | 3 | 11 |
| B•••••• I••••••••• P•••••••• L• CRD 105404 | La Jolla, CA | other | $41B | 8.5% | 24 | $1.7B | 1 | 18 |
| L•• A•••••• C•••••• M••••••••• L•• CRD 119033 | Los A••••••, CA | asset manager | $41B | 0.0% | 1 | $41B | 0 | 5 |
| F••••••• T•••••••• I••••••••• M••••••••• L•••••• CRD 111360 | London, | asset manager | $41B | 0.1% | 0 | n/a | 2 | 0 |
| B••••••••• T••••••• O••••••••• A••••••• L••••• CRD 160157 | New York, NY | asset manager | $40B | 0.0% | 0 | n/a | 3 | 103 |
| M••••••• F•••••••• R••• M••••••••• L•• CRD 159377 | Chicago, IL | asset manager | $40B | 0.0% | 0 | n/a | 0 | 0 |
| A•••• A••• L•••••• CRD 124509 | Singapore, | asset manager | $40B | 0.0% | 0 | n/a | 0 | 0 |
| C•••••• R••••••• A•• M••••••••• CRD 285127 | Washington, DC | asset manager | $40B | 0.0% | 0 | n/a | 3 | 0 |
| C••••• P••••••• R••••••••• P••• C••••••••• CRD 164198 | New York, NY | institutional | $40B | 0.0% | 82 | $491M | 33 | 0 |
| I•• I•••••••• ••• A••••••• L•• CRD 146366 | New York, NY | asset manager | $40B | 0.0% | 0 | n/a | 2 | 1 |
| B•• P•••••• I••••••••• C•••••• I••• CRD 160344 | Toronto, Ontario, | bank affiliated | $40B | 58% | 0 | n/a | 32 | 0 |
| D• C•••••• P••••••• L••• CRD 297298 | New York, NY | asset manager | $40B | 0.0% | 0 | n/a | 1 | 25 |
| C••••• C•••••• M••••••••• ••• L•• CRD 158991 | London, | asset manager | $40B | 0.0% | 0 | n/a | 0 | 20 |
| A•••••••• P••••••• B••• CRD 159215 | Amsterdam, | other | $40B | 0.0% | 0 | n/a | 5 | 0 |
| B••••• I••• CRD 110789 | New York, NY | asset manager | $40B | 0.0% | 0 | n/a | 1 | 0 |
| T••••••• I••••••••• M••••••••• CRD 105960 | Madison, WI | institutional | $39B | 0.0% | 21 | $1.9B | 1 | 0 |
| K•••• A••••••• R•••••• I••••••••• M••••••••• L•• CRD 104599 | Los Angeles, CA | mixed wealth | $39B | 20% | 36 | $1.1B | 22 | 0 |
| C••••••••• I••••••••• P••••••• I••• CRD 321116 | New York, NY | asset manager | $39B | 0.0% | 0 | n/a | 1 | 1 |
| E•• P••••••• I••• CRD 160179 | New York, NY | asset manager | $39B | 0.0% | 0 | n/a | 2 | 0 |
| P•••• C•••••• F•••••••• CRD 288712 | Overland Park, KS | mixed wealth | $39B | 48% | 260 | $151M | 87 | 0 |
| M•••• S••••• A•••••••• L•• CRD 114085 | Milwaukee, WI | asset manager | $39B | 0.0% | 0 | n/a | 0 | 0 |
| M••••••••• CRD 132391 | London, | other | $39B | 0.0% | 0 | n/a | 0 | 8 |
| A••• A•••••••• I••• CRD 134340 | Denver, CO | asset manager | $39B | 0.0% | 15 | $2.6B | 1 | 0 |
| T•• I••••••••• M••••••••• C•••••• L•• CRD 106546 | Los Angeles, CA | asset manager | $39B | 6.5% | 40 | $970M | 6 | 0 |
| L••••• A••••••• L• CRD 135431 | New York, NY | asset manager | $39B | 0.0% | 0 | n/a | 0 | 2 |
| V••• I••••••••• M••••••••• L•• CRD 108934 | Atlanta, GA | institutional | $39B | 0.0% | 0 | n/a | 7 | 0 |
| M• C•••••• P••••••• A•••••• I••• CRD 147521 | New York, NY | asset manager | $39B | 0.0% | 0 | n/a | 4 | 67 |
| W••••••••• R••••••••• A••••••• CRD 121254 | Aliso Viejo, CA | institutional | $39B | 6.4% | 145 | $266M | 50 | 0 |
| S••••••••• I••••••••• I•••••••• CRD 110987 | London, | asset manager | $39B | 0.0% | 0 | n/a | 1 | 7 |
| I••••••••• L•• CRD 130099 | Charlottesville, VA | other | $39B | 3.6% | 1 | $39B | 0 | 21 |
| F•••• M•••••••• C•• L•• CRD 325281 | New York, NY | BD affiliated | $38B | 89% | 65 | $586M | 4 | 9 |
| A•••• M••••••••• C•• L•••• CRD 331435 | Palo Alto, CA | asset manager | $38B | 0.0% | 0 | n/a | 1 | 83 |
| A••••• A•• P••••••• S••••••• CRD 20472 | New York, NY | BD affiliated | $38B | 100% | 1,672 | $22.7M | 143 | 0 |
| P•••• A•••• M••••••••• P••••••• I••• CRD 162681 | Toronto, | asset manager | $38B | 0.0% | 1 | $38B | 6 | 4 |
| H•••••• S••••••••• A•••• M••••••••• L•• CRD 110760 | Dallas, TX | institutional | $38B | 0.0% | 25 | $1.5B | 3 | 0 |
| N••••• C•••••••• R••••••• A•• A•••• M••••••••• I•• CRD 110411 | New York, NY | other | $38B | 0.0% | 0 | n/a | 0 | 0 |
| C••••••• P••••••• I••••••••• A•••••••• L•• CRD 126777 | Newport Beach, CA | i••••••••• manager | $38B | 1.4% | 95 | $395M | 23 | 0 |
| V••• R••••••••• A•••••••• L•• CRD 3989 | Windsor, CT | other | $37B | 0.0% | 129 | $290M | 1 | 0 |
| D•••••••• I••••••••• G••••• L•• CRD 161443 | San Francisco, CA | asset manager | $37B | 0.0% | 0 | n/a | 2 | 39 |
| S•••• P•••• C•••••• M••••••••• L• CRD 157479 | New York, NY | asset manager | $37B | 0.0% | 0 | n/a | 5 | 52 |
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17,149 advisers match.