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 |
|---|---|---|---|---|---|---|---|---|
| Hotchkis And Wiley Capital Management, LLC CRD 114649 | Los Angeles, CA | asset manager | $37B | 0.0% | 0 | n/a | 5 | 2 |
| Mic Capital Management Uk Llp CRD 316617 | London, | asset manager | $37B | 0.0% | 0 | n/a | 0 | 35 |
| Rockefeller Capital Management CRD 294197 | New York, NY | BD affiliated | $37B | 62% | 347 | $106M | 51 | 39 |
| 5••• CRD 286620 | Boston, MA | asset manager | $37B | 0.0% | 0 | n/a | 3 | 0 |
| S•••••• P••••••• I••••••••• A•••••••• L•• CRD 283004 | Stamford, CT | BD affiliated | $37B | 94% | 473 | $77.7M | 86 | 0 |
| O••••••••• • C•• I••• CRD 249 | New York, NY | BD affiliated | $37B | 62% | 1,149 | $32.0M | 109 | 0 |
| A•• C•••••• M••••••••• L•• CRD 110995 | Bethesda, MD | asset manager | $37B | 0.0% | 17 | $2.2B | 1 | 0 |
| C••••• I••••••••• M••••••••• L•• CRD 111035 | St. Peter Port, | asset manager | $37B | 0.0% | 0 | n/a | 0 | 0 |
| W••••••• P••••••• L• CRD 301480 | San Francisco, CA | asset manager | $37B | 0.0% | 0 | n/a | 3 | 2 |
| S•••• I••••••••• I••• CRD 111787 | Kansas City, MO | asset manager | $37B | 0.1% | 3 | $12B | 1 | 3 |
| G••••••• I••••••••• G••••• L•• CRD 160665 | Charleston, SC | asset manager | $36B | 0.0% | 0 | n/a | 35 | 51 |
| B•• P•••••••• L•• CRD 109688 | New York, NY | independent RIA | $36B | 76% | 56 | $652M | 5 | 41 |
| H••••• A••••••• CRD 156078 | Dallas, TX | asset manager | $36B | 0.0% | 0 | n/a | 1 | 55 |
| S••••• E••••• G••••• L••• CRD 168496 | New York, NY | asset manager | $36B | 4.1% | 0 | n/a | 1 | 35 |
| S•••• R•••• A•••• M••••••••• L•• CRD 165598 | New York, NY | asset manager | $36B | 0.0% | 0 | n/a | 1 | 19 |
| G••••••••• C•••••• M••••••••• CRD 112319 | Dallas, TX | asset manager | $36B | 0.0% | 0 | n/a | 0 | 0 |
| V•••••••• CRD 152869 | Jupiter, FL | asset manager | $36B | 0.0% | 0 | n/a | 0 | 5 |
| B•••••• G•••••• • C•••••• L••• CRD 135829 | Toronto, Ont., | other | $36B | 8.7% | 0 | n/a | 0 | 0 |
| E•••• C•••••• M••••••••• L•• CRD 106422 | New York, NY | other | $36B | 18% | 1 | $36B | 1 | 0 |
| G• P••••••• CRD 161573 | Scottsdale, AZ | other | $36B | 0.0% | 0 | n/a | 6 | 28 |
| L••• S••• F•••• CRD 160000 | Dallas, TX | asset manager | $36B | 0.0% | 0 | n/a | 1 | 33 |
| B••••••••• C••••• S••••••••• S••••••••• L•• CRD 134018 | New York, NY | institutional | $36B | 0.0% | 0 | n/a | 3 | 1 |
| C•••• C•••••• M••••••••• G•••• I•• CRD 104796 | Philadelphia, PA | BD affiliated | $36B | 70% | 1 | $36B | 0 | 0 |
| H•• C•••••• M••••••••• CRD 115079 | Dallas, TX | asset manager | $36B | 0.0% | 1 | $36B | 3 | 4 |
| N•• E••••••••• A••••••••• CRD 161004 | Menlo Park, CA | asset manager | $36B | 0.0% | 0 | n/a | 5 | 27 |
| A•••• C•••••• M••••••••• L•••••• CRD 331241 | London, | asset manager | $36B | 0.0% | 0 | n/a | 0 | 19 |
| E•••• V•••• A••••••• I••••••••• L••• CRD 283733 | London, | asset manager | $36B | 0.0% | 0 | n/a | 3 | 0 |
| S•••••••• I••••••••• M••••••••• L•• CRD 104862 | Arlington, VA | institutional | $36B | 1.2% | 0 | n/a | 0 | 26 |
| C••••••••• L••• CRD 145165 | Minneapolis, MN | asset manager | $35B | 0.0% | 1 | $35B | 8 | 46 |
| A•••• L•• CRD 143422 | New York, NY | other | $35B | 0.0% | 0 | n/a | 1 | 0 |
| E••••• P••••••• G••••• L•• CRD 161935 | Radnor, PA | asset manager | $35B | 0.0% | 0 | n/a | 1 | 15 |
| G••••••••• P•••••••• A••••••• L•• CRD 170384 | Portland, OR | institutional | $35B | 0.1% | 6 | $5.8B | 0 | 0 |
| S••••••• C•••••• M••••••••• I••• CRD 112192 | New York, NY | other | $35B | 0.2% | 0 | n/a | 3 | 14 |
| F•••• S•••••• • C•• CRD 106584 | Houston, TX | mixed wealth | $35B | 45% | 16 | $2.2B | 0 | 0 |
| A••••• F•••••••• A•••••••• L•• CRD 158744 | Charlotte, NC | independent RIA | $35B | 100% | 65 | $539M | 0 | 0 |
| O•••••• C••••• I••••••••• L•• CRD 155336 | New York, NY | asset manager | $35B | 0.0% | 0 | n/a | 0 | 59 |
| R•••••• I••••••••• CRD 37550 | Seattle, WA | asset manager | $35B | 0.0% | 0 | n/a | 1 | 43 |
| V••••• F•••• I••••• A•••••••• L•• CRD 146029 | Hartford, CT | other | $35B | 1.5% | 4 | $8.7B | 6 | 15 |
| S•••••••• A•••••••• L•• CRD 226606 | Miami, FL | BD affiliated | $35B | 88% | 403 | $86.5M | 83 | 0 |
| S•••••••• C•••••• M••••••••• ••• I••• CRD 145194 | New York, NY | other | $35B | 0.5% | 0 | n/a | 0 | 66 |
| K••• S••••• C•••••• M••••••••• L••• CRD 156785 | New York, NY | asset manager | $35B | 0.0% | 0 | n/a | 3 | 63 |
| S••••••• I••••••••• A•••••••• I••• CRD 110228 | Portland, OR | other | $35B | 14% | 76 | $454M | 1 | 0 |
| B••••• H••••• U• I••••••••• M••••••••• L• CRD 164537 | New York, NY | asset manager | $34B | 0.0% | 0 | n/a | 14 | 0 |
| R•••• A•••••• L••••• CRD 109596 | Chicago, IL | asset manager | $34B | 0.0% | 0 | n/a | 9 | 0 |
| W••••••••• A••••••• CRD 106181 | New York, NY | independent RIA | $34B | 97% | 237 | $145M | 26 | 0 |
| R•••• C•••••• M••••••••• L•• CRD 160368 | Atlanta, GA | asset manager | $34B | 0.0% | 0 | n/a | 0 | 14 |
| K•••• A••••••• C•••••• A•••••••• L••• CRD 104536 | Houston, TX | asset manager | $34B | 0.1% | 1 | $34B | 6 | 82 |
| V••• A••••••••• A•••• M••••••••• L•• CRD 107235 | New York, NY | asset manager | $34B | 0.0% | 0 | n/a | 2 | 56 |
| C••••••••• C••••••••• A••••••• S•••••••• CRD 105674 | Cleveland, OH | independent RIA | $34B | 63% | 65 | $521M | 10 | 3 |
| E•••••••• I••••••••• G•••• CRD 312152 | Toronto, Ontario, | asset manager | $34B | 0.0% | 0 | n/a | 0 | 0 |
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17,149 advisers match.