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 |
|---|---|---|---|---|---|---|---|---|
| Pacific Way Capital Management, LLC CRD 334551 | New York, NY | asset manager | $34B | 0.0% | 0 | n/a | 1 | 9 |
| Allworth Financial, L.P. CRD 111167 | Folsom, CA | BD affiliated | $34B | 96% | 318 | $106M | 35 | 0 |
| Sona Asset Management (US) LLC CRD 291738 | New York, NY | asset manager | $33B | 0.0% | 0 | n/a | 0 | 5 |
| B•• M••••• A•••••••• I••• CRD 106108 | New York, NY | bank affiliated | $33B | 94% | 15 | $2.2B | 4 | 0 |
| E•• CRD 155020 | Summit, NJ | asset manager | $33B | 0.0% | 0 | n/a | 5 | 53 |
| D• E• S••• I••••••••• M••••••••• L••••• CRD 135284 | New York, NY | asset manager | $33B | 0.0% | 0 | n/a | 1 | 17 |
| R•••••• R•••• A•••• M••••••••• L•• CRD 283058 | New York, NY | asset manager | $33B | 0.0% | 0 | n/a | 5 | 83 |
| T•• P••••• A••••••• C••••••• L•• CRD 106631 | Boston, MA | asset manager | $33B | 0.6% | 0 | n/a | 0 | 0 |
| B•••••• C•••••• M••••••••• L• CRD 144078 | New York, NY | asset manager | $33B | 0.0% | 0 | n/a | 1 | 64 |
| T•• V••••••• A•••••• L••• I•••••••• C•••••• CRD 104561 | Houston, TX | asset manager | $33B | 0.0% | 0 | n/a | 0 | 0 |
| F•••• S•••••• I•••••••• •••• K•••• L•••••• CRD 281553 | H••• K•••, | asset manager | $33B | 0.0% | 0 | n/a | 0 | 0 |
| 2•••••• CRD 322923 | New York, NY | other | $33B | 0.0% | 0 | n/a | 1 | 38 |
| F••••••• M••••••••• • R••••••• •••• K•••• L•••••• CRD 148045 | H••• K•••, | asset manager | $33B | 0.0% | 0 | n/a | 0 | 0 |
| M••••••• U•• L•• CRD 315983 | Wellington, | other | $33B | 0.0% | 0 | n/a | 6 | 1 |
| A••• C••••••••• R••• E••••• M••••••••• L•• CRD 159050 | Los Angeles, CA | asset manager | $32B | 0.0% | 0 | n/a | 14 | 5 |
| A•• S•••••••• P••• S•••••••• L•• CRD 286555 | Roseland, NJ | institutional | $32B | 0.0% | 0 | n/a | 1 | 0 |
| J••• G••••• L•• CRD 330309 | New York, NY | asset manager | $32B | 0.0% | 0 | n/a | 2 | 2 |
| S•• A•••• M••••••••• CRD 124567 | San Francisco, CA | other | $32B | 0.0% | 8 | $4.0B | 7 | 0 |
| S•••••• F•••••••• G••••• L••••• CRD 117756 | Akron, OH | independent RIA | $32B | 93% | 259 | $124M | 38 | 17 |
| R••••••• A••••••••• CRD 120440 | Newport Beach, CA | asset manager | $32B | 0.0% | 0 | n/a | 0 | 0 |
| H•••••• L•••••• L• CRD 104543 | Bridgewater, NJ | other | $32B | 9.6% | 0 | n/a | 0 | 0 |
| E•••• S••••••••• L•• CRD 110826 | New York, NY | BD affiliated | $32B | 98% | 2,480 | $12.9M | 891 | 0 |
| F•••• P•••••• A•••••••• L• CRD 141823 | El Segundo, CA | asset manager | $32B | 0.0% | 0 | n/a | 17 | 13 |
| M••••••• F•••••••• L•• CRD 136045 | Evanston, IL | asset manager | $32B | 0.0% | 1 | $32B | 3 | 58 |
| T••••••••• A•••• M••••••••• L•• CRD 335919 | London, | asset manager | $32B | 0.0% | 0 | n/a | 0 | 1 |
| G•••••• S•••• W••••• S•••••••• L••• CRD 106693 | Cohoes, NY | BD affiliated | $32B | 78% | 1,098 | $28.9M | 23 | 0 |
| L••••• K••• C•••••• M••••••••• C••••••••• CRD 110093 | Fort Worth, TX | mixed wealth | $32B | 36% | 34 | $927M | 3 | 18 |
| C••••••••• I••••••••• I••• CRD 107528 | Montgomery, OH | other | $31B | 0.0% | 0 | n/a | 0 | 4 |
| B•••••• C•••••• U• L•• CRD 173947 | London, | asset manager | $31B | 0.0% | 0 | n/a | 0 | 0 |
| I•••••• M•••••• A•••••••• L•• CRD 154461 | Seattle, WA | other | $31B | 1.9% | 17 | $1.8B | 6 | 0 |
| M••••••• • C••• I••• CRD 22998 | New York, NY | asset manager | $31B | 0.6% | 0 | n/a | 1 | 2 |
| T••••••••• A••••••• I•• CRD 107028 | Cincinnati, OH | asset manager | $31B | 0.0% | 78 | $399M | 0 | 0 |
| B• P••••••• P• L••• CRD 333698 | New York, NY | asset manager | $31B | 0.0% | 0 | n/a | 0 | 0 |
| T•••••••• A•••••••• L•• CRD 147189 | New York, NY | independent RIA | $31B | 78% | 6 | $5.2B | 8 | 23 |
| L• C•••••••• CRD 157428 | Greenwich, CT | asset manager | $31B | 0.0% | 0 | n/a | 0 | 88 |
| A•••••••• G••••• I••••••••• ••• L•••••• CRD 132377 | London, | asset manager | $31B | 0.0% | 0 | n/a | 0 | 0 |
| T•• L• CRD 160313 | New York, NY | asset manager | $31B | 0.0% | 0 | n/a | 3 | 48 |
| B•••••••• I••••••••• L•••••• CRD 106843 | Edinburgh, | asset manager | $31B | 0.0% | 0 | n/a | 2 | 0 |
| B••••••••• C•• M••••••••• L•• CRD 304307 | New York, NY | asset manager | $31B | 0.0% | 0 | n/a | 5 | 78 |
| P••• I••••••••• A••••••• CRD 301973 | Naperville, IL | asset manager | $31B | 0.1% | 27 | $1.1B | 13 | 0 |
| K•••••• O• C••••••• A•••• A••••••• L•• CRD 174129 | New Haven, CT | institutional | $31B | 3.2% | 228 | $134M | 1 | 9 |
| 4•••• A•••••••• I••• CRD 107740 | Carmel, IN | institutional | $30B | 0.0% | 0 | n/a | 0 | 3 |
| M••••••• A•••• M••••••••• L••• CRD 124613 | New York, NY | asset manager | $30B | 0.0% | 0 | n/a | 2 | 70 |
| A••••••• C•••••• L•• CRD 316030 | San Antonio, TX | asset manager | $30B | 0.0% | 0 | n/a | 8 | 94 |
| P••••• P••••••• M••••••••• C•••••• CRD 138460 | Greenwich, CT | asset manager | $30B | 0.0% | 0 | n/a | 3 | 4 |
| P•• W••••• M••••••••• CRD 129052 | Pittsburgh, PA | BD affiliated | $30B | 97% | 1,159 | $26.1M | 594 | 0 |
| •••••••• CRD 3767 | Nashville, TN | independent RIA | $30B | 68% | 540 | $56.1M | 122 | 0 |
| F••••• • T••••• A•••• M••••••••• I•• CRD 107033 | San Mateo, CA | asset manager | $30B | 7.9% | 0 | n/a | 1 | 0 |
| I•••••••• C•••••• M••••••••• L•• CRD 287718 | Wheaton, IL | asset manager | $30B | 0.0% | 0 | n/a | 0 | 0 |
| P•• E••••• L••••• CRD 295103 | Boston, MA | asset manager | $30B | 0.0% | 0 | n/a | 4 | 56 |
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17,149 advisers match.