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 |
|---|---|---|---|---|---|---|---|---|
| Palistar Capital LP CRD 300897 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 9 |
| Carret Asset Management, LLC CRD 131445 | New York, NY | mixed wealth | $3.5B | 41% | 11 | $315M | 6 | 0 |
| Bluerock Fund Advisor, LLC CRD 165015 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 0 |
| S•••• R•••• • C••• I••• CRD 3254 | Rochester, NY | independent RIA | $3.5B | 95% | 45 | $76.8M | 0 | 0 |
| D••••••• P•••••••• F•••••• L•• CRD 328057 | New York, NY | asset manager | $3.4B | 0.0% | 0 | Not computed | 2 | 0 |
| H••• P••• C•••••• L• CRD 281794 | New York, NY | asset manager | $3.4B | 0.0% | 0 | Not computed | 1 | 19 |
| L••••••• C•••••• M••••••••• L• CRD 156429 | New York, NY | asset manager | $3.4B | 0.0% | 0 | Not computed | 1 | 1 |
| N•• M••••••• C••••• C•• A•••••••• L••••• CRD 307111 | New York, NY | asset manager | $3.4B | 0.0% | 0 | Not computed | 8 | 8 |
| C•••• K••••••••• L•• CRD 148428 | New York, NY | asset manager | $3.4B | 4.1% | 0 | Not computed | 0 | 1 |
| W••••••••• A•••••••• L•• CRD 155054 | New York, NY | institutional | $3.4B | 7.1% | 8 | $421M | 1 | 0 |
| R•••••••• P••••••• L• CRD 311156 | New York, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 5 |
| A••••• I••••••••• M••••••••• L••• CRD 130610 | New York, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 28 | 0 |
| A••••• C•••••• P•••••••• L• CRD 226714 | New York, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 2 |
| M•••••• C•••••• CRD 161012 | New York, NY | other | $3.3B | 0.1% | 0 | Not computed | 1 | 12 |
| C•••••• I••• CRD 323534 | New York, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 0 |
| B•••••••• A••••••• L•• CRD 316715 | New York, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 1 | 9 |
| A•••••• C•••••• P•••••••• L• CRD 337895 | New York, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 1 |
| Y••• C•••••• M••••••••• CRD 140336 | New Y•••, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 17 |
| G•••• C•••••• M••••••••• I••• CRD 137842 | New York, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 4 |
| C••••• F••••••••• I••••••••• A••••••• CRD 159296 | New York, NY | mixed wealth | $3.2B | 41% | 32 | $101M | 2 | 2 |
| G••••••••• C•••••• L• CRD 313204 | New York, NY | asset manager | $3.2B | 0.0% | 0 | Not computed | 0 | 14 |
| M•••• H•••••••• C•••••• L•• CRD 107309 | Rye Brook, NY | independent RIA | $3.2B | 85% | 0 | Not computed | 0 | 1 |
| O••••••• C•••••• M••••••••• L•• CRD 169109 | New York, NY | asset manager | $3.2B | 0.0% | 0 | Not computed | 0 | 11 |
| F••••••••• C•••••• ••• L•• CRD 311629 | New York, NY | asset manager | $3.2B | 0.0% | 0 | Not computed | 3 | 0 |
| F••••••••• C•••••• L• CRD 311299 | New York, NY | asset manager | $3.2B | 0.0% | 0 | Not computed | 0 | 2 |
| H••••• C•••••• M••••••••• L•• CRD 116357 | Garden City, NY | mixed wealth | $3.2B | 22% | 7 | $452M | 1 | 0 |
| R••••• C••••• A••••••• L• CRD 298909 | New York, NY | asset manager | $3.1B | 0.0% | 0 | Not computed | 2 | 12 |
| M••••••••• L••• CRD 339519 | New York, NY | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 0 |
| V•• E•• A••••••• R••••• A••••••• C•••• CRD 137177 | New York, NY | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 7 |
| C••••• C•••• P••••••• M••••••••• L•• CRD 157746 | New York, NY | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 2 |
| G••••••• C•••••• M••••••••• L• CRD 138715 | Purchase, NY | asset manager | $3.1B | 0.0% | 0 | Not computed | 3 | 26 |
| C••••••• C•••••• M••••••••• L• CRD 304726 | New York, NY | asset manager | $3.1B | 0.0% | 0 | Not computed | 1 | 1 |
| L••••••• A•••• M••••••••• L•• CRD 121767 | New York, NY | asset manager | $3.1B | 0.0% | 6 | $509M | 4 | 11 |
| Z• C•••••• G••••• L••••• CRD 159511 | New York, NY | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 25 |
| G•••• C•••••• M••••••••• L••• CRD 281091 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 14 |
| P•••••••• A•••••••• L• CRD 161150 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 1 |
| O••••••• A•••••••• L•• CRD 325525 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 2 | 1 |
| C•••••• L••• L•• CRD 309148 | New York, NY | independent RIA | $3.0B | 73% | 0 | Not computed | 0 | 0 |
| A•• I••••••••• L•• CRD 305714 | Port Chester, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 0 |
| S•••••• C•••••• M••••••••• L•• CRD 334999 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 1 |
| A••• C•••••• M••••••••• L• CRD 310536 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 4 |
| B••••••••• S•••••••• A••••••• A••••••• L••••• CRD 142922 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 6 | 7 |
| C••••••••• A••••••• • I••••••••• C••• CRD 339959 | New York, NY | asset manager | $3.0B | 0.0% | 1 | $3.0B | 1 | 0 |
| D•• A•••• M••••••••• L• CRD 170377 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 1 |
| D•••• G••••• CRD 327142 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 1 |
| A•••• I••••••••• L• CRD 269854 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 6 | 0 |
| A•••• A••••••• C••••••• L••• CRD 133040 | New York, NY | other | $3.0B | 0.2% | 0 | Not computed | 0 | 3 |
| M••• G••••• C•••••• M••••••••• L• CRD 311912 | New York, NY | other | $2.9B | 0.0% | 0 | Not computed | 0 | 2 |
| F•• I••••••••• A•••••••• L•• CRD 295433 | New York, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 3 | 1 |
| R••••••• M••••••••• L•• CRD 287589 | New York, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 14 |
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.