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 |
|---|---|---|---|---|---|---|---|---|
| Bonaccord Capital Partners CRD 316716 | New York, NY | asset manager | $4.2B | 0.0% | 0 | Not computed | 0 | 9 |
| Garnett Station Partners CRD 300033 | New York, NY | asset manager | $4.2B | 0.0% | 0 | Not computed | 0 | 27 |
| Crossingbridge Advisors, LLC CRD 286594 | Pleasantville, NY | asset manager | $4.2B | 1.8% | 0 | Not computed | 0 | 0 |
| S••• M••••••• F••• M••••••••• L•• CRD 164728 | New York, NY | asset manager | $4.2B | 0.0% | 0 | Not computed | 10 | 22 |
| R•••••• C•••••• L•• CRD 291049 | New York, NY | asset manager | $4.2B | 0.0% | 0 | Not computed | 1 | 16 |
| B••• W••• C•••••• P••••••• L•• CRD 162475 | New York, NY | asset manager | $4.1B | 0.0% | 0 | Not computed | 0 | 14 |
| S•••••• M••••••••• L•• CRD 137312 | New York, NY | asset manager | $4.1B | 0.0% | 0 | Not computed | 4 | 3 |
| C••••••••• M••••••••• L• CRD 309435 | New York, NY | asset manager | $4.1B | 0.0% | 0 | Not computed | 0 | 3 |
| F••••••••• A••••••• L• CRD 157899 | New York, NY | asset manager | $4.1B | 0.0% | 0 | Not computed | 1 | 7 |
| W•••••• C•••••• M••••••••• L•• CRD 162178 | New York, NY | asset manager | $4.1B | 0.0% | 0 | Not computed | 0 | 5 |
| K••••• I••••••••• M••••••••• CRD 110275 | Pittsford, NY | independent RIA | $4.0B | 70% | 7 | $573M | 0 | 0 |
| T••••• P•••••••• L• CRD 312288 | New York, NY | asset manager | $4.0B | 0.0% | 0 | Not computed | 0 | 0 |
| N•• M••••••••• L• CRD 158366 | New York, NY | asset manager | $4.0B | 0.0% | 0 | Not computed | 0 | 3 |
| M•••••• A••••• P••••••• L• CRD 298610 | New York, NY | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 1 |
| T•••• I••••••••• P••••••• L• CRD 161551 | New York, NY | asset manager | $3.9B | 0.0% | 0 | Not computed | 1 | 30 |
| H•••••• C•••••• M••••••••• L•• CRD 301293 | New York, NY | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 17 |
| A••••••• S•••••• M••••••••• L•• CRD 11085 | New York, NY | other | $3.9B | 7.4% | 1 | $3.9B | 3 | 0 |
| A••••• E••••• I••••••••• M••••••••• L••• CRD 131937 | New York, NY | asset manager | $3.9B | 0.0% | 0 | Not computed | 1 | 14 |
| 1•• S••••• P••••••• L• CRD 308929 | New York, NY | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 3 |
| C•••• C•••••• P•••••••• L••• CRD 136713 | New York, NY | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 16 |
| I•••• C•••••• M••••••••• L•• CRD 156400 | New York, NY | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 8 |
| L••• L••• C•••••• CRD 309286 | Brooklyn, NY | asset manager | $3.8B | 0.0% | 0 | Not computed | 1 | 16 |
| H••• S••••••••• •••• I••• CRD 19585 | New York, NY | BD affiliated | $3.8B | 96% | 376 | $10.2M | 58 | 8 |
| A•••• G••••• L• CRD 323053 | New York, NY | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 1 |
| S••••• A•••• M••••••••• L••• CRD 157518 | New York, NY | asset manager | $3.8B | 0.0% | 0 | Not computed | 1 | 5 |
| J•••••••• C••••• M••••••••• L•• CRD 324525 | New York, NY | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 3 |
| M••••• H••••• I••••••••• I•• CRD 105800 | Kingston, NY | mixed wealth | $3.8B | 22% | 4 | $953M | 0 | 0 |
| S••••••• F••• A•••••••• I••• CRD 327262 | New York, NY | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 4 |
| H••••••••• R•••••• M••••••••• L•• CRD 169355 | New York, NY | asset manager | $3.8B | 0.0% | 0 | Not computed | 4 | 11 |
| 1••• L••• P•••••••• L• CRD 160822 | New York, NY | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 26 |
| A••••• C••••• O••••••••• M••••••••• L•• CRD 299542 | New York, NY | other | $3.7B | 0.0% | 0 | Not computed | 0 | 2 |
| A•••••••• C•••••• G••••• L••••• CRD 135657 | New York, NY | asset manager | $3.7B | 0.0% | 0 | Not computed | 0 | 7 |
| M••••••• U• A••••••• L••• CRD 151488 | New York, NY | asset manager | $3.7B | 0.0% | 0 | Not computed | 1 | 0 |
| T•• A••••••••• L••• CRD 108905 | New York, NY | asset manager | $3.7B | 0.0% | 0 | Not computed | 0 | 7 |
| C•••••••• U•• L• CRD 291463 | New York, NY | asset manager | $3.7B | 0.0% | 0 | Not computed | 1 | 4 |
| I••••••••• C•••••• A•••••••• L•• CRD 166459 | New York, NY | asset manager | $3.6B | 0.1% | 0 | Not computed | 0 | 1 |
| S• C•••••• A••••••• L•• CRD 322956 | New York, NY | asset manager | $3.6B | 0.0% | 0 | Not computed | 1 | 4 |
| P•••••••• E••••• P••••••• A••••••• L•• CRD 159061 | New York, NY | asset manager | $3.6B | 0.0% | 0 | Not computed | 2 | 5 |
| A••• C•••••• M••••••••• L• CRD 217520 | New York, NY | other | $3.6B | 0.0% | 0 | Not computed | 0 | 20 |
| C•••••• C••••••• L•• CRD 282485 | Buffalo, NY | independent RIA | $3.6B | 68% | 14 | $256M | 4 | 0 |
| O•• P•••••• C••••• A••••••• L•• CRD 319664 | New York, NY | asset manager | $3.6B | 0.0% | 0 | Not computed | 2 | 0 |
| S•• I••••••••• M••••••••• L••• CRD 299036 | New York, NY | asset manager | $3.6B | 0.0% | 0 | Not computed | 0 | 1 |
| A••••• M••••••• L•• CRD 327828 | New York, NY | other | $3.6B | 0.0% | 0 | Not computed | 28 | 0 |
| A•••••••• C•••••• P••••••• L•• CRD 328009 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 9 |
| B•••••••• G••••• M••••••••• L• CRD 316398 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 1 | 5 |
| M••• P•••• C•••••• L•• CRD 290266 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 9 |
| B•••••••• I••••••••• A•••••• L•• CRD 328990 | Port Washington, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 2 | 5 |
| B••••••••• S•••••••• C•••••• P••••••• CRD 137813 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 2 | 89 |
| A•• E••••••••• P••••••• M••••••••• L• CRD 132753 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 1 | 5 |
| C••••• C••••• M••••••••• L•• CRD 307632 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 5 | 8 |
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.