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 |
|---|---|---|---|---|---|---|---|---|
| Brightstar Capital Partners CRD 283313 | New York, NY | asset manager | $4.8B | 0.0% | 0 | Not computed | 5 | 18 |
| Compound Planning, Inc. CRD 171787 | New York, NY | independent RIA | $4.8B | 62% | 78 | $62.2M | 25 | 0 |
| Encompass Capital Advisors LLC CRD 160113 | New York, NY | asset manager | $4.8B | 0.0% | 0 | Not computed | 2 | 3 |
| M•••••••• W••••• A•••••••• L•• CRD 141805 | New York, NY | asset manager | $4.8B | 0.0% | 0 | Not computed | 0 | 19 |
| D•• C•••••• M••••••••• L• CRD 157081 | New York, NY | asset manager | $4.8B | 0.0% | 0 | Not computed | 0 | 6 |
| C••••• R••• M••••••••• L• CRD 292430 | New York, NY | asset manager | $4.8B | 0.0% | 0 | Not computed | 2 | 0 |
| E••• R••• C••••••• L•• CRD 157433 | New York, NY | asset manager | $4.8B | 0.8% | 0 | Not computed | 2 | 15 |
| R••••• I••••••••• A•••• M••••••••• U• I•• CRD 107367 | New York, NY | other | $4.8B | 0.0% | 0 | Not computed | 2 | 0 |
| A•••••••• C•••••• L•• CRD 168978 | New York, NY | asset manager | $4.7B | 0.0% | 0 | Not computed | 2 | 1 |
| K••••••••• F••••• A••••••• CRD 105907 | New York, NY | independent RIA | $4.7B | 84% | 5 | $940M | 1 | 12 |
| Y••••• C•••••• M••••••••• L• CRD 298556 | New York, NY | asset manager | $4.7B | 0.0% | 1 | $4.7B | 1 | 2 |
| A••• M••••••• L•• CRD 311363 | New York, NY | asset manager | $4.7B | 0.0% | 0 | Not computed | 2 | 4 |
| C••••••• C•••••• L•• CRD 308376 | New York, NY | asset manager | $4.6B | 0.0% | 0 | Not computed | 6 | 4 |
| C••••• A••••••••• •••• L•• CRD 132823 | New York, NY | asset manager | $4.6B | 0.0% | 0 | Not computed | 0 | 0 |
| S•••• B•••••• A••••••• L•• CRD 158722 | New York, NY | independent RIA | $4.6B | 54% | 0 | Not computed | 0 | 16 |
| H•••••••• 1••• C•••••• M••••••••• L•• CRD 332278 | New York, NY | other | $4.6B | 0.0% | 0 | Not computed | 0 | 1 |
| F•••••••• C•••••• CRD 332163 | New York, NY | asset manager | $4.6B | 0.0% | 0 | Not computed | 2 | 0 |
| S••••• A•••• M••••••••• L• CRD 309966 | New York, NY | institutional | $4.6B | 0.0% | 0 | Not computed | 3 | 5 |
| A•••• R••••• C••••••••• M••••••••• L•• CRD 163425 | Uniondale, NY | asset manager | $4.6B | 0.0% | 0 | Not computed | 1 | 1 |
| D••••••••• I••••••••• G•••• L•• CRD 288159 | New York, NY | asset manager | $4.6B | 0.0% | 0 | Not computed | 0 | 1 |
| T•••• C•••••• M••••••••• L••• CRD 157077 | New York, NY | asset manager | $4.6B | 0.0% | 0 | Not computed | 1 | 12 |
| C••••• M••••••••• L• CRD 158197 | New York, NY | asset manager | $4.6B | 0.0% | 0 | Not computed | 0 | 8 |
| C•••••• M••••••••• L•• CRD 283492 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 0 | 5 |
| A••• F••• M••••••• L•• CRD 318665 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 2 | 0 |
| O•• CRD 282499 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 2 | 37 |
| G•••••••• L• CRD 162561 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 3 | 24 |
| C•••••••• A••••••• L•• CRD 290462 | New York, NY | other | $4.5B | 0.0% | 0 | Not computed | 0 | 0 |
| V•••••• A••••••• L•• CRD 169288 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 1 | 7 |
| A•••••••• P•••••• E••••• I••••••••• M••••••••• L•• CRD 322058 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 4 | 0 |
| P••••••• B••••••••• A••••••• L• CRD 312544 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 0 | 2 |
| L••••••• C•••••• M••••••••• L• CRD 327065 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 0 | 20 |
| B•••••••• C•••••• M••••••••• L•• CRD 149320 | New York, NY | mixed wealth | $4.5B | 22% | 6 | $742M | 2 | 13 |
| G•••••••• B••••• L•••••• F••• M•••••• L•• CRD 284589 | New York, NY | asset manager | $4.4B | 0.0% | 0 | Not computed | 0 | 2 |
| L••••• W••• C•••••• A•••••••• L•• CRD 135140 | New York, NY | asset manager | $4.4B | 1.4% | 0 | Not computed | 1 | 2 |
| L•• A•••••••• L•• CRD 154922 | New York, NY | asset manager | $4.4B | 0.0% | 0 | Not computed | 1 | 16 |
| E•••••••• C••••••• L• CRD 281137 | New York, NY | asset manager | $4.4B | 0.0% | 0 | Not computed | 1 | 22 |
| A•••• CRD 281190 | Uniondale, NY | asset manager | $4.4B | 0.0% | 0 | Not computed | 5 | 1 |
| A••••• P••••••• L•• CRD 333844 | New York, NY | asset manager | $4.4B | 0.0% | 0 | Not computed | 0 | 0 |
| Q••••••• C•••••• P••••••• M••••••••• L•• CRD 175159 | New York, NY | asset manager | $4.3B | 0.0% | 0 | Not computed | 0 | 23 |
| S•••••••• C•••••• M••••••••• L•• CRD 155513 | New York, NY | asset manager | $4.3B | 0.0% | 0 | Not computed | 0 | 2 |
| V•••••• G••••• M••••••••• L• CRD 311921 | New York, NY | asset manager | $4.3B | 0.0% | 0 | Not computed | 1 | 1 |
| M••••• S•••••• • E•••• V•••• C•• M•••••• L•• CRD 309263 | New York, NY | asset manager | $4.3B | 0.0% | 0 | Not computed | 1 | 15 |
| V•••••• C•••••• P•••••••• I••• CRD 148352 | New York, NY | asset manager | $4.3B | 0.0% | 0 | Not computed | 1 | 15 |
| M•• A•••••••• I••• CRD 282639 | New York, NY | asset manager | $4.3B | 0.0% | 0 | Not computed | 7 | 15 |
| A••••• R••• E••••• F••• A••••••• L•• CRD 169120 | New York, NY | asset manager | $4.3B | 0.0% | 0 | Not computed | 28 | 0 |
| T••••••• F•••••••• M••••••••• L• CRD 156041 | New York, NY | asset manager | $4.3B | 0.0% | 0 | Not computed | 1 | 1 |
| F••••••• B•• C•••••• A•••••• L•• CRD 307684 | New York, NY | asset manager | $4.2B | 0.0% | 0 | Not computed | 0 | 0 |
| T•••••• I••••••••• CRD 157298 | New York, NY | asset manager | $4.2B | 0.4% | 0 | Not computed | 4 | 6 |
| E••••••• C•••••• P•••••••• L•• CRD 166102 | New York, NY | asset manager | $4.2B | 0.0% | 0 | Not computed | 0 | 3 |
| S••••• C•••••• M••••••••• L•• CRD 328365 | New York, NY | other | $4.2B | 17% | 5 | $840M | 1 | 0 |
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.