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 |
|---|---|---|---|---|---|---|---|---|
| Garnet Credit Management LLC CRD 334755 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 5 |
| Varadero Capital, L.P. CRD 159183 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 1 | 4 |
| Jana Partners Management, LP CRD 292832 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 1 | 6 |
| R••••••••• C•••••• ••• L•••••• CRD 298109 | Rye Brook, NY | other | $2.3B | 0.0% | 0 | Not computed | 1 | 0 |
| L••••• A•••• M••••••••• C••••• I•• CRD 106340 | New York, NY | other | $2.3B | 0.0% | 0 | Not computed | 0 | 0 |
| V•••••••• G•••• L•• CRD 119128 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 1 | 8 |
| D• P•••••••• L• CRD 155459 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 9 |
| F•••••• W••••• M••••••••• I••• CRD 154828 | Newburgh, NY | independent RIA | $2.3B | 55% | 11 | $206M | 0 | 0 |
| S•••••• C•••••• P•••••••• L• CRD 160364 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 6 | 10 |
| T••• Y•• P•••••••• L••• CRD 162895 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 1 | 3 |
| E•••••• T••••••••• L• CRD 325283 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 1 |
| M•••• C•••••• M••••••••• L•• CRD 158797 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 3 |
| R•••••• C•••••• P•••••••• L•• CRD 171118 | White Plains, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 1 | 27 |
| C•••••••• P••• A•••••• L•• CRD 329140 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 4 | 0 |
| C••• C•••••• CRD 140121 | New York, NY | asset manager | $2.2B | 0.0% | 1 | $2.2B | 1 | 4 |
| U••••• A•••• S••••••••• I••• CRD 107434 | Garden City, NY | independent RIA | $2.2B | 92% | 25 | $88.7M | 1 | 0 |
| F•••••• G••••• C•••••• M••••••••• L••• CRD 289257 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 4 |
| G••••••••• • D•••• L•• CRD 110971 | New York, NY | independent RIA | $2.2B | 97% | 4 | $553M | 0 | 0 |
| R••• P••••••• L• CRD 316791 | New York, NY | independent RIA | $2.2B | 85% | 0 | Not computed | 0 | 1 |
| L••• R•• I••••••••• M••••••••• L•• CRD 314819 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 6 |
| M•••• C•••••• G••••• L•• CRD 288321 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 2 | 12 |
| G••• P••••••• CRD 156798 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 7 | 25 |
| D•• M••••••• C•••••• L• CRD 296590 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 4 |
| C•••• H•••• C•••••• M••••••••• L•• CRD 149165 | New York, NY | other | $2.2B | 0.3% | 0 | Not computed | 1 | 7 |
| C•••••• C•••••• M••••••••• L• CRD 310374 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 2 | 23 |
| A••••• P••••••• CRD 310515 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 16 |
| M••••• I••••••••• S•••••••• L•• CRD 155919 | New York, NY | other | $2.2B | 0.0% | 0 | Not computed | 0 | 0 |
| G•••••••• C•••••• M••••••••• L• CRD 317701 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 2 | 1 |
| O••• B•••••••• M••••••••• •••• L•• CRD 298001 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 3 | 14 |
| N••••••• C••••••• L• CRD 281893 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 9 |
| R• M••••••••• L•• CRD 161569 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 1 |
| K•••••••• A•••••••• L•• CRD 164160 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 1 | 13 |
| N••• C•••••• M••••••••• L•• CRD 110793 | New York, NY | independent RIA | $2.1B | 79% | 10 | $214M | 5 | 0 |
| L••••• R••••••••• A••••••• CRD 282786 | Buffalo, NY | institutional | $2.1B | 0.0% | 11 | $194M | 1 | 0 |
| S•• C•••••• M••••••••• L••• CRD 161096 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 1 | 3 |
| V••••••• C•••••• A••••••• L•• CRD 322722 | New York, NY | institutional | $2.1B | 0.0% | 0 | Not computed | 0 | 1 |
| V••••••••• A••••••• S••••••• CRD 116537 | Woodbury, NY | BD affiliated | $2.1B | 96% | 166 | $12.7M | 43 | 0 |
| G••••••• P••••••• L• CRD 308336 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 1 | 0 |
| A••••••• C•••••• M••••••••• I•• CRD 110861 | New York, NY | mixed wealth | $2.1B | 42% | 3 | $704M | 0 | 0 |
| T•• W••••• A•••••••• L•• CRD 305052 | Melville, NY | independent RIA | $2.1B | 90% | 12 | $175M | 2 | 0 |
| A••••••• A•••• M••••••••• I••• CRD 119854 | New York, NY | independent RIA | $2.1B | 93% | 13 | $161M | 1 | 0 |
| L••• R•••• E••••• P••••••• CRD 163730 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 14 |
| A••• M••••••••• L•• CRD 317315 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 28 | 1 |
| B•••• M••••••••• G•••• L•• CRD 282518 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 4 |
| N••••• M••••••••• L•• CRD 161156 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 3 |
| T••••••• I••••••••• M••••••••• L•• CRD 128723 | White Plains, NY | independent RIA | $2.1B | 100% | 15 | $138M | 14 | 0 |
| A•••••• C••••••• L•• CRD 287525 | New York, NY | independent RIA | $2.1B | 96% | 13 | $159M | 3 | 4 |
| E•••••• C••••••• L• CRD 308371 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 2 | 0 |
| P•••••• M••••••• P•••••••• L• CRD 324381 | Rye, NY | other | $2.1B | 0.0% | 0 | Not computed | 1 | 2 |
| M••• S•••• L•• CRD 110590 | New York, NY | other | $2.1B | 18% | 1 | $2.1B | 0 | 2 |
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.