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 |
|---|---|---|---|---|---|---|---|---|
| Asset Management One USA Inc. CRD 108982 | New York, NY | institutional | $2.9B | 0.0% | 0 | Not computed | 0 | 4 |
| Lynrock Lake LP CRD 292931 | Rye Brook, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 1 |
| Dfw Capital Partners CRD 157337 | New York, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 5 | 7 |
| W••••••••• C•••••• M••••••••• L•• CRD 155686 | Valhalla, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 0 |
| M•• I••••••••• P••••••• ••• L• CRD 282371 | New York, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 27 |
| C•••••• C•••••• L•• CRD 109001 | New York, NY | independent RIA | $2.9B | 78% | 6 | $479M | 0 | 3 |
| C••••• C••••••• L•• CRD 169579 | New York, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 2 | 5 |
| N•• C•••••• L• CRD 339026 | New York, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 1 |
| R•••• C•••••• P••••••• CRD 166815 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 3 | 6 |
| S••• L•• L• CRD 334114 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 1 |
| P••••••• C•••••• M••••••••• L•• CRD 160860 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 1 | 4 |
| B••••••• C•••••• M••••••••• L••••• CRD 138032 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 9 |
| T•• S••• C•••••• L• CRD 310191 | Rye, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 12 |
| C•••••• A••••••• P••••••• L•• CRD 310199 | New York, NY | independent RIA | $2.8B | 79% | 7 | $402M | 0 | 2 |
| M•• M•••••• L•• CRD 282143 | New York, NY | asset manager | $2.8B | 0.0% | 1 | $2.8B | 0 | 121 |
| S•••••••• F•••••••• S••••••• CRD 109677 | Utica, NY | independent RIA | $2.8B | 70% | 28 | $100M | 5 | 0 |
| T••• C•••••• I••••••••• M••••••••• L• CRD 291362 | New York, NY | other | $2.8B | 13% | 0 | Not computed | 0 | 1 |
| M•• A•••• M••••••••• U• L•• CRD 314738 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 0 |
| W••••• T••• C••••• P••••••• L• CRD 287810 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 2 | 0 |
| A••••• M••••••••• C••••••• L•• CRD 288045 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 0 |
| I••••••••• I••••••••• S•••••••• L•• CRD 314925 | New York, NY | institutional | $2.8B | 0.0% | 0 | Not computed | 0 | 0 |
| B••••••••• R••• E••••• A••••••• E••••• L••• CRD 135952 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 14 | 0 |
| S•••• H••• F•••••••• M••••••••• L•• CRD 164981 | Great Neck, NY | institutional | $2.8B | 0.0% | 0 | Not computed | 0 | 0 |
| A••••• CRD 121326 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 1 | 9 |
| P•••••• C••••• M••••••••• L•• CRD 154057 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 1 | 11 |
| C••••••••• C•••••• P•••••••• L• CRD 167165 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 13 |
| R•••• C•••••• L•• CRD 157939 | New York, NY | asset manager | $2.8B | 0.1% | 0 | Not computed | 7 | 37 |
| P•••••• P••••••• L•• CRD 108857 | New York, NY | mixed wealth | $2.7B | 24% | 0 | Not computed | 1 | 2 |
| S•••• P•••• C••••••••• R••• E••••• F•••••• L•• CRD 311808 | New York, NY | other | $2.7B | 0.0% | 0 | Not computed | 3 | 1 |
| I•••••• I••••••••• A•••••••• L••• CRD 324591 | New York, NY | other | $2.7B | 0.0% | 0 | Not computed | 0 | 0 |
| A•• I••••••••• P•••••••• L•• CRD 5845 | New York, NY | independent RIA | $2.7B | 74% | 5 | $541M | 0 | 2 |
| 1••• A•••• M••••••••• L•• CRD 319422 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 14 |
| S••••••• A•••• M••••••••• L• CRD 281548 | New York, NY | independent RIA | $2.7B | 89% | 0 | Not computed | 0 | 0 |
| H••• M••• C•••••• P•••••••• L• CRD 316354 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 1 |
| 3• C••••••••• CRD 159892 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 8 |
| A••••••• P•••••••• M••••••••• L•• CRD 138769 | New York, NY | institutional | $2.7B | 0.0% | 0 | Not computed | 0 | 0 |
| R•• A•••• M••••••••• L•• CRD 158268 | Uniondale, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 1 | 76 |
| G••••••• M••••••••• C••••••• L•• CRD 160331 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 1 | 7 |
| C•••••• D•••••••• I••• CRD 130320 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 27 |
| W• C•••••• P••••••• CRD 159408 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 15 |
| C••••• C•••••• M••••••••• L• CRD 157813 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 0 |
| I••••••• C•••••• P•••••••• L• CRD 288774 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 21 |
| H•••• V••• P••••••• L•• CRD 105926 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 1 | 22 |
| R••• H••••• P••••••• L•• CRD 322545 | Larchmont, NY | independent RIA | $2.7B | 96% | 0 | Not computed | 0 | 0 |
| L•••••••• A••••••• L•• CRD 107364 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 8 | 7 |
| E••••••• P•••••••• L••• CRD 282358 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 1 | 3 |
| 2•••••• D••••• L•••••• CRD 323152 | New York, NY | asset manager | $2.6B | 0.0% | 0 | Not computed | 1 | 0 |
| C•••••• F••• U• I••• CRD 315650 | New York, NY | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 5 |
| T•• P•••••••• S••••••• G••••• L•• CRD 166593 | White Plains, NY | independent RIA | $2.6B | 78% | 1 | $2.6B | 0 | 1 |
| A••••• I••••••••• M••••••••• L•• CRD 310749 | New York, NY | asset manager | $2.6B | 0.0% | 0 | Not computed | 1 | 11 |
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.