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 |
|---|---|---|---|---|---|---|---|---|
| Ellington Management Group, L.L.C. CRD 112493 | Old Greenwich, CT | asset manager | $21B | 0.0% | 0 | n/a | 2 | 29 |
| Madison Dearborn Partners CRD 157349 | Chicago, IL | asset manager | $21B | 0.0% | 0 | n/a | 0 | 57 |
| Centiva Capital, LP CRD 286299 | New York, NY | asset manager | $21B | 0.0% | 0 | n/a | 11 | 1 |
| O•••••• A••••••• L•• CRD 118608 | New York, NY | asset manager | $21B | 0.0% | 0 | n/a | 6 | 24 |
| O•••• C•••••• CRD 144474 | New York, NY | independent RIA | $21B | 66% | 1 | $21B | 1 | 123 |
| A•••••••• L• CRD 281909 | Short Hills, NJ | asset manager | $20B | 0.0% | 0 | n/a | 1 | 2 |
| F•••••••• C••••••••• I••• CRD 111827 | Washington, DC | institutional | $20B | 0.0% | 0 | n/a | 3 | 0 |
| V••••••• A•••• M••••••••• I••• CRD 105007 | New York, NY | other | $20B | 0.0% | 0 | n/a | 1 | 1 |
| H•••••• P•••••••• L• CRD 158284 | New York, NY | asset manager | $20B | 0.0% | 0 | n/a | 2 | 39 |
| B••••••• V•••••• P••••••• CRD 159279 | Larchmont, NY | asset manager | $20B | 0.0% | 0 | n/a | 10 | 37 |
| R•••• C•••••• M••••••••• ••• L• CRD 306046 | New York City, NY | asset manager | $20B | 0.0% | 0 | n/a | 0 | 2 |
| H••••••• S••••• A•••••••• L•• CRD 157983 | Chicago, IL | asset manager | $20B | 0.0% | 0 | n/a | 10 | 3 |
| H•••••• C•••••• M••••••••• CRD 160415 | Stamford, CT | asset manager | $20B | 0.0% | 0 | n/a | 1 | 74 |
| M••••• F•••••••• M••••••••• L•• CRD 323605 | Carlsbad, CA | institutional | $20B | 0.1% | 0 | n/a | 5 | 0 |
| R•••••• I••••••••• M••••••••• I••• CRD 111715 | Birmingham, AL | other | $20B | 0.0% | 4 | $5.0B | 1 | 0 |
| M••••• O• A•••••• C•••••• M••••••••• L•• CRD 106523 | New York, NY | asset manager | $20B | 0.0% | 0 | n/a | 0 | 0 |
| A•••• P•••••• E••••• CRD 160483 | Boston, MA | asset manager | $20B | 0.0% | 0 | n/a | 4 | 38 |
| P•••• L•• CRD 157505 | Los Angeles, CA | asset manager | $20B | 0.0% | 0 | n/a | 5 | 0 |
| W•••••• A•••• M••••••••• C•••••• L•••••• CRD 110427 | London, | institutional | $20B | 0.0% | 0 | n/a | 0 | 0 |
| B••••••••• A••••••••• S•••••••• L••••• CRD 158784 | New York, NY | asset manager | $20B | 0.0% | 0 | n/a | 6 | 39 |
| B••• A••••••• L••••• CRD 288050 | New York, NY | asset manager | $20B | 0.0% | 0 | n/a | 6 | 0 |
| S••••• T•••• A•••••••• L•• CRD 220519 | New York, NY | independent RIA | $20B | 83% | 30 | $665M | 16 | 0 |
| N•• E••• W••••• CRD 307771 | Stamford, CT | BD affiliated | $20B | 95% | 142 | $140M | 18 | 0 |
| R•• W••••• P••••••• CRD 156984 | Boston, MA | independent RIA | $20B | 93% | 73 | $271M | 5 | 0 |
| O••••••••• A•••• M••••••••• L•• CRD 144594 | Stamford, CT | independent RIA | $20B | 81% | 58 | $341M | 0 | 0 |
| R••••• C••••••• M••••••••• I•• CRD 171338 | New York, NY | institutional | $20B | 0.0% | 0 | n/a | 0 | 0 |
| T••••••• H••••••• L•• CRD 160006 | Cleveland, OH | institutional | $20B | 0.0% | 0 | n/a | 4 | 37 |
| R•••••• P••••• S••••••••• L•• CRD 335070 | New York, NY | asset manager | $20B | 0.0% | 0 | n/a | 0 | 2 |
| A••• C•••••• M••••••••• I• L•• CRD 157292 | Los Angeles, CA | asset manager | $20B | 0.0% | 0 | n/a | 22 | 0 |
| P••• A••••• S••••••••• L•• CRD 46173 | New York, NY | BD affiliated | $20B | 95% | 1,911 | $10.2M | 543 | 0 |
| T••••••• C•••••• M••••••••• CRD 281328 | Dallas, TX | asset manager | $20B | 0.0% | 0 | n/a | 0 | 45 |
| E•••••• C•••••• •••• L• CRD 297738 | New York, NY | asset manager | $20B | 0.0% | 0 | n/a | 1 | 0 |
| E•••••••• F•••••••• M••••••••• L•• CRD 150510 | Old Greenwich, CT | asset manager | $19B | 0.0% | 0 | n/a | 0 | 0 |
| P•••••••• C•••••• M••••••••• L• CRD 156873 | Naples, FL | asset manager | $19B | 0.0% | 0 | n/a | 1 | 7 |
| B•••••••• P••••••• A•••••••• L•• CRD 161374 | Boston, MA | asset manager | $19B | 0.0% | 0 | n/a | 2 | 4 |
| A•••• A•••• M••••••••• U• L•••••• CRD 111038 | London, | asset manager | $19B | 0.0% | 0 | n/a | 1 | 0 |
| P•• P•••••••• L•• CRD 163776 | New York, NY | asset manager | $19B | 0.0% | 0 | n/a | 1 | 4 |
| C•••••• L•• CRD 111221 | Rockford, IL | independent RIA | $19B | 93% | 146 | $131M | 33 | 0 |
| V•••••• A•••• M••••••••• L•• CRD 174314 | London, | institutional | $19B | 0.0% | 0 | n/a | 0 | 0 |
| E•••••• C•••••• ••• L•• CRD 156384 | London, | asset manager | $19B | 0.0% | 0 | n/a | 0 | 3 |
| B••••••• A•••• M••••••••• L••• CRD 114317 | Toronto, Ontario, | independent RIA | $19B | 53% | 1 | $19B | 2 | 5 |
| A•••••• I••••••••• M••••••••• L•• CRD 111925 | Minneapolis, MN | asset manager | $19B | 0.0% | 0 | n/a | 0 | 0 |
| D•••••••• M••••••••• C•••••• CRD 157876 | New York, NY | asset manager | $19B | 0.0% | 0 | n/a | 1 | 12 |
| K•• C•••••• P•••••••• L• CRD 157678 | New York, NY | asset manager | $19B | 0.0% | 0 | n/a | 7 | 15 |
| G•••• H••• P••••••• CRD 158158 | Boston, MA | asset manager | $19B | 0.0% | 0 | n/a | 1 | 50 |
| K••••••••• C•••••• M••••••••• L•• CRD 157483 | New York, NY | asset manager | $19B | 0.0% | 0 | n/a | 2 | 12 |
| B••••••• F• E•••••• • C••••••• I••••••••• CRD 146936 | St. Louis, MO | BD affiliated | $19B | 95% | 513 | $36.9M | 100 | 0 |
| A••••• I•••••••• CRD 157255 | San Francisco, CA | asset manager | $19B | 0.0% | 0 | n/a | 2 | 16 |
| A••••••• S••••••••• L•• CRD 160648 | New York, NY | asset manager | $19B | 0.0% | 0 | n/a | 1 | 22 |
| P••• S••••• C•••••• U•• L• CRD 338573 | New York, NY | asset manager | $19B | 0.0% | 0 | n/a | 1 | 36 |
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.