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 |
|---|---|---|---|---|---|---|---|---|
| Quent Capital, LLC CRD 308203 | New York, NY | independent RIA | $2.1B | 89% | 11 | $187M | 0 | 1 |
| Churchill Dlc Advisor LLC CRD 304945 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 4 | 0 |
| Blue Road Management, L.P. CRD 169845 | New York, NY | asset manager | $2.0B | 0.0% | 0 | Not computed | 0 | 10 |
| J•• I••••••••• CRD 287638 | New York, NY | other | $2.0B | 0.0% | 0 | Not computed | 1 | 3 |
| H•••••• A•••• M••••••••• L•• CRD 154493 | White Plains, NY | asset manager | $2.0B | 0.3% | 0 | Not computed | 0 | 0 |
| N•• C•••••• I••• CRD 157288 | New York, NY | asset manager | $2.0B | 0.0% | 0 | Not computed | 7 | 10 |
| R••• I••••• M••••••••• L• CRD 291275 | New York, NY | asset manager | $2.0B | 0.0% | 0 | Not computed | 0 | 2 |
| I••••••• Q• C•••••• M••••••••• L•• CRD 164179 | New York, NY | asset manager | $2.0B | 0.0% | 0 | Not computed | 0 | 2 |
| D••••••••• P••••••• L• CRD 297786 | New York, NY | asset manager | $2.0B | 0.0% | 0 | Not computed | 1 | 64 |
| N••••••• R•••• • S••• I•• CRD 104969 | New York, NY | independent RIA | $2.0B | 90% | 5 | $401M | 0 | 0 |
| R••• S•••• G••••• I••••••••• A•••••••• L•• CRD 161271 | New York, NY | asset manager | $2.0B | 0.0% | 0 | Not computed | 0 | 1 |
| T•• A••••••• L•• CRD 138306 | New York, NY | asset manager | $2.0B | 0.0% | 0 | Not computed | 0 | 9 |
| M•• C•••••• CRD 158132 | New York, NY | asset manager | $2.0B | 0.0% | 0 | Not computed | 0 | 2 |
| M•••• L•••• M••••••••• CRD 311161 | New York, NY | other | $2.0B | 0.0% | 0 | Not computed | 1 | 9 |
| G•••••••• P••••••• L• CRD 157221 | New York, NY | asset manager | $2.0B | 0.0% | 0 | Not computed | 2 | 15 |
| L••• P••• C••••••• L• CRD 161168 | New York, NY | asset manager | $2.0B | 0.0% | 0 | Not computed | 1 | 4 |
| L••••••• U• L•• CRD 328113 | New York, NY | asset manager | $2.0B | 0.0% | 0 | Not computed | 0 | 4 |
| K••• M••••••••• L• CRD 172534 | Brooklyn, NY | asset manager | $2.0B | 0.0% | 0 | Not computed | 3 | 13 |
| Q•••••• C•••••• M••••••••• L• CRD 290920 | New York City, NY | asset manager | $2.0B | 0.0% | 0 | Not computed | 0 | 1 |
| N•• S•••• C•••••• P••••••• CRD 170409 | New Rochelle, NY | asset manager | $2.0B | 0.0% | 0 | Not computed | 1 | 19 |
| B•••••• B••••••• M••••••••• C•••••• L••• CRD 161083 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 0 | 3 |
| R••••• C•••••• L•• CRD 288340 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 0 | 7 |
| P••••••••• C•••••• L•• CRD 269874 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 1 | 5 |
| L••••• I••••••••• M••••••••• L•• CRD 306487 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 3 | 0 |
| H••• P••• C•••••• M••••••••• L• CRD 305550 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 0 | 3 |
| T•••• L• CRD 291090 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 1 | 4 |
| S•••••••• C•••••• I•• L•• CRD 148152 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 0 | 13 |
| A•••••• W••••• A•••••••• L•• CRD 150810 | Port Washington, NY | other | $1.9B | 1.2% | 2 | $957M | 1 | 1 |
| S••••••• I••••••••• A•••••••• L•• CRD 153060 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 0 | 0 |
| S••••••• M••••••••• C•••••• L•• CRD 161822 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 0 | 1 |
| A••••• A••• C•••••• M••••••••• L••• CRD 113246 | New York City, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 1 | 7 |
| R•• T••••••• CRD 314581 | New York, NY | other | $1.9B | 0.0% | 1 | $1.9B | 1 | 0 |
| B•• W••• C•••••• M••••••••• L• CRD 305782 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 0 | 6 |
| C•••••• C•••••• P•••••••• L•• CRD 157038 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 1 | 12 |
| T••••••• C•••••• M••••••••• L•• CRD 290314 | New York, NY | other | $1.9B | 0.0% | 0 | Not computed | 2 | 9 |
| B•••• B•• C•••••• M••••••••• L• CRD 284341 | New York, NY | other | $1.9B | 0.0% | 0 | Not computed | 1 | 0 |
| L•••••• S••••• A•••••••• I••• CRD 142949 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 1 | 0 |
| A••••• V••••••• CRD 331222 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 0 | 30 |
| W•••••••• G••••• A•••• M••••••••• L•• CRD 292470 | New York, NY | independent RIA | $1.9B | 75% | 0 | Not computed | 2 | 0 |
| T•• C••••• C•••••• M••••••••• L• CRD 171848 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 0 | 2 |
| I••••••• H••••• A•••• M••••••••• L•• CRD 301987 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 0 | 1 |
| N•• C•••••• S•••••••• L•• CRD 158140 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 1 | 5 |
| M••••• S•••••• P•••••• E••••• A•••• I••• CRD 134366 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 6 | 9 |
| F•••• L••• I••••• I••••••••• L•• CRD 167212 | Jericho, NY | independent RIA | $1.9B | 63% | 7 | $266M | 0 | 9 |
| A••••• T••••• S••••••••• L•• CRD 16629 | Rochester, NY | independent RIA | $1.9B | 100% | 37 | $50.3M | 5 | 0 |
| T•••• P•••••• C•••••• L• CRD 167099 | New York, NY | asset manager | $1.9B | 0.0% | 0 | Not computed | 0 | 2 |
| C••••• P•••••• M••••• S••••••••• A•••••••• L•• CRD 328015 | New York, NY | asset manager | $1.8B | 0.0% | 0 | Not computed | 0 | 0 |
| C•• C•••••• C••••••••• CRD 129789 | New York, NY | mixed wealth | $1.8B | 34% | 0 | Not computed | 0 | 2 |
| S••••••• L• CRD 325176 | New York, NY | asset manager | $1.8B | 0.0% | 0 | Not computed | 1 | 11 |
| R••••••••• I••••••••• M••••••••• L•• CRD 115754 | Syracuse, NY | independent RIA | $1.8B | 74% | 11 | $167M | 1 | 0 |
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.