DFX Intelligence
RIA Intelligence
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 |
|---|---|---|---|---|---|---|---|---|
| Hrtg Gpe, LLC CRD 157389 | Wilson, WY | asset manager | $27B | 0.0% | 0 | n/a | 1 | 22 |
| Smartx Advisory Solutions CRD 297680 | West Palm Beach, FL | asset manager | $27B | 0.0% | 2 | $13B | 0 | 0 |
| Colchester Global Investors CRD 110985 | London, | other | $27B | 0.0% | 0 | n/a | 0 | 8 |
| A•••••••• P•••••• C••••••• L•• CRD 298050 | Newport Beach, CA | asset manager | $27B | 0.0% | 1 | $27B | 0 | 6 |
| A••••••• H••••••• I••••••••• M••••••••• L•• CRD 292769 | New York, NY | institutional | $27B | 0.0% | 0 | n/a | 0 | 12 |
| W••••• A••••••• S•••••••• L•• CRD 330537 | institutional | $27B | 2.9% | 74 | $361M | 31 | 0 | |
| A•••• W••• G•••••• L• CRD 160894 | Miami, FL | asset manager | $27B | 0.0% | 0 | n/a | 11 | 16 |
| B•••• A••••••• L••• CRD 168985 | London, | other | $27B | 12% | 0 | n/a | 0 | 0 |
| A••• A••••••• P••••••• CRD 133535 | New York, NY | BD affiliated | $27B | 92% | 231 | $115M | 38 | 17 |
| A•••••• I••••••••• M••••••••• L• CRD 299352 | Nashville, TN | asset manager | $26B | 0.0% | 0 | n/a | 2 | 15 |
| A••••••• I••••••••• M••••••••• C•••••• CRD 107775 | Chicago, IL | other | $26B | 0.0% | 0 | n/a | 0 | 23 |
| S••••• F••••••••• L•• CRD 299322 | Parsippany, NJ | BD affiliated | $26B | 89% | 232 | $114M | 107 | 0 |
| C•• P••••••• CRD 139531 | Chicago, IL | asset manager | $26B | 0.0% | 0 | n/a | 0 | 4 |
| I•••••• H••• K••• L•••••• CRD 109923 | H••• K•••, | institutional | $26B | 0.1% | 0 | n/a | 0 | 0 |
| S••••• R••• A•••••••• L• CRD 144059 | New York, NY | mixed wealth | $26B | 27% | 0 | n/a | 0 | 21 |
| F••• A•••• M••••••••• L•• CRD 106750 | New York, NY | asset manager | $26B | 6.2% | 0 | n/a | 2 | 0 |
| D••••••• C•••••• M••••••••• L•• CRD 105757 | Chicago, IL | asset manager | $26B | 0.0% | 0 | n/a | 3 | 0 |
| 1••• I••••••••• C••••••• L•• CRD 133370 | Baltimore, MD | independent RIA | $26B | 76% | 30 | $868M | 8 | 0 |
| M•• A•••••••• A• D••••••• O• F•••••••• M••• L•• CRD 109355 | Boston, MA | asset manager | $26B | 3.8% | 206 | $126M | 1 | 0 |
| C••• A•••• M••••••••• L•••••• CRD 170206 | Central, | other | $26B | 0.0% | 0 | n/a | 0 | 0 |
| T•••••••• G••••• A••••••• L•••••• CRD 111383 | Nassau, | asset manager | $26B | 0.5% | 0 | n/a | 0 | 0 |
| B••• O•• I•••••••• S•••••••• CRD 331318 | New York, NY | institutional | $26B | 0.0% | 0 | n/a | 3 | 0 |
| I•••• A•••• M••••••••• L••• CRD 143247 | London, | asset manager | $26B | 0.9% | 0 | n/a | 0 | 0 |
| F•• I••••••••• M••••••••• ••• L•••••• CRD 108273 | London, | asset manager | $26B | 0.0% | 0 | n/a | 0 | 4 |
| A•• C••••• M••••••••• L•• CRD 299601 | New York, NY | asset manager | $26B | 0.0% | 0 | n/a | 0 | 53 |
| C•••• I••••••••• I••• CRD 105811 | Bloomfield, CT | institutional | $26B | 0.0% | 0 | n/a | 0 | 2 |
| P•••••• S••••••••• R••••• M•••••• I••• L•• CRD 304443 | New York, NY | other | $26B | 0.0% | 0 | n/a | 2 | 8 |
| A•••• P•••••• D••• CRD 159458 | New York, NY | asset manager | $26B | 0.0% | 0 | n/a | 1 | 56 |
| S•••••••• V•••• P•••••••• L•• CRD 138406 | Greenwich, CT | asset manager | $26B | 0.0% | 0 | n/a | 3 | 20 |
| K•• C•••••• P••••••• CRD 155677 | Denver, CO | asset manager | $26B | 0.0% | 0 | n/a | 3 | 60 |
| P••••• S••••• C•••••• M••••••••• L•• CRD 155697 | Mission Woods, KS | asset manager | $26B | 1.4% | 3 | $8.5B | 2 | 62 |
| C•• A••••••• ••••• I••• CRD 174050 | New York, NY | asset manager | $26B | 0.0% | 0 | n/a | 5 | 0 |
| H•• I••••••••• I••••••••• L•• CRD 292451 | Palo Alto, CA | independent RIA | $25B | 53% | 1 | $25B | 0 | 0 |
| H••••• • C••• L•• CRD 105403 | West Conshohocken, PA | other | $25B | 20% | 38 | $669M | 6 | 11 |
| S•••• A•••• M••••••••• C••• L••• CRD 286479 | Tokyo, | other | $25B | 0.0% | 0 | n/a | 0 | 0 |
| A••••• C•••••• M••••••••• L•• CRD 118059 | New York, NY | asset manager | $25B | 0.0% | 0 | n/a | 3 | 26 |
| P••••• M•••• F•••••••• A••••••• CRD 112158 | Southfield, MI | independent RIA | $25B | 99% | 131 | $192M | 13 | 0 |
| P•••••••• C•••••• A••••••• L•• CRD 282621 | London, | asset manager | $25B | 0.0% | 0 | n/a | 1 | 5 |
| P••••••• S••••• C•••••• M••••••••• L••• CRD 132982 | New York, NY | asset manager | $25B | 0.0% | 1 | $25B | 0 | 4 |
| T•••• F•••• E•••• I••••••••• G••••• L•• CRD 334965 | asset manager | $25B | 0.0% | 0 | n/a | 0 | 1 | |
| L•• E••••••••• L•• CRD 8733 | Fort Mill, SC | BD affiliated | $25B | 98% | 3,121 | $8.0M | 1,140 | 0 |
| R••••• L•• CRD 309733 | London, | mixed wealth | $25B | 25% | 0 | n/a | 1 | 1 |
| G••••• H••••••• • A••••••••• L• CRD 108017 | Houston, TX | institutional | $25B | 0.0% | 3 | $8.3B | 0 | 1 |
| W•• W••••• M••••••••• L•••••• CRD 132210 | London, | mixed wealth | $25B | 25% | 1 | $25B | 1 | 0 |
| H••••• I••••••••• M••••••••• L•••••• CRD 153104 | London, | asset manager | $25B | 0.0% | 0 | n/a | 0 | 0 |
| F•••••••• H••••• ••• L•• CRD 169087 | London, | asset manager | $25B | 0.0% | 0 | n/a | 0 | 1 |
| D•••••••• • C•••••• L•• CRD 1588 | Richmond, VA | BD affiliated | $25B | 72% | 337 | $73.3M | 29 | 3 |
| T•• B•••••• G••••• L••••• CRD 109530 | Boston, MA | asset manager | $25B | 0.0% | 0 | n/a | 0 | 12 |
| U••••• C•••••• F•••••••• A••••••• CRD 134600 | Irving, TX | independent RIA | $25B | 84% | 164 | $150M | 46 | 0 |
| J•••••••• F•••••• L•• CRD 162264 | New York, NY | asset manager | $25B | 0.0% | 0 | n/a | 0 | 50 |
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.
17,149 advisers match.