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 |
|---|---|---|---|---|---|---|---|---|
| Brighton Jones LLC CRD 108601 | Seattle, WA | independent RIA | $19B | 94% | 160 | $118M | 33 | 5 |
| Fidelity Diversifying Solutions LLC CRD 315088 | Boston, MA | asset manager | $19B | 0.0% | 0 | n/a | 5 | 12 |
| Capricorn Investment Group LLC CRD 147417 | New York, NY | mixed wealth | $19B | 28% | 1 | $19B | 2 | 0 |
| L••••• B••••••• • A••••••••• I••• CRD 133221 | Montreal, Quebec, | other | $19B | 14% | 1 | $19B | 2 | 7 |
| T••••••••• R••••••••• A•••••••• L•• CRD 107319 | Cedar Rapids, IA | BD affiliated | $19B | 93% | 305 | $61.7M | 173 | 0 |
| B••• W•••••••• A•••• M••••••••• L•• CRD 107808 | Cleveland, OH | other | $19B | 2.9% | 18 | $1.0B | 8 | 2 |
| B••••••••• L••••• C••••• S••••••••• L•• CRD 144537 | New York, NY | other | $19B | 10% | 0 | n/a | 5 | 24 |
| A•••••••• C•••••• M••••••••• L• CRD 160017 | Menlo Park, CA | asset manager | $19B | 0.0% | 0 | n/a | 1 | 33 |
| S•••••• W••••• P•••••••• L•• CRD 153184 | Beachwood, OH | BD affiliated | $19B | 94% | 386 | $48.3M | 170 | 0 |
| P••• L••••••••• S••• CRD 281562 | L•••••••••, | asset manager | $19B | 0.0% | 0 | n/a | 1 | 12 |
| M••••• C•••••• M••••••••• A••••••• L•• CRD 157073 | Chicago, IL | asset manager | $19B | 0.0% | 0 | n/a | 6 | 49 |
| R•••••• P••••• M••••••• L•• CRD 334982 | New York, NY | asset m•••••• | $19B | 0.0% | 0 | n/a | 0 | 0 |
| 1••• P••••••• ••• L•• CRD 333927 | Miami, FL | institutional | $19B | 0.0% | 0 | n/a | 1 | 0 |
| C••••••••• F•••••••• M••••••••• L•• CRD 159641 | Los Gatos, CA | independent RIA | $19B | 93% | 0 | n/a | 0 | 0 |
| K•••• A•••••••• A•••• M••••••• L•••••• CRD 317952 | Mumbai, | mixed wealth | $19B | 37% | 2 | $9.3B | 3 | 5 |
| F••••••••• L•• CRD 160365 | London, | asset manager | $19B | 0.0% | 0 | n/a | 0 | 2 |
| A• C••••• I••••••••• L• CRD 141819 | Minneapolis, MN | asset manager | $18B | 0.0% | 0 | n/a | 2 | 64 |
| R••• C•••• G•••• L•• CRD 125409 | Washington, DC | other | $18B | 0.0% | 0 | n/a | 1 | 12 |
| S••• C•••••• M••••••••• L••• CRD 154362 | New York, NY | asset manager | $18B | 0.0% | 0 | n/a | 1 | 12 |
| S••••••• A•••• M••••••••• I••• CRD 300463 | Stamford, CT | asset manager | $18B | 0.0% | 4 | $4.6B | 3 | 1 |
| G•••••••• CRD 165941 | San Francisco, CA | asset manager | $18B | 0.0% | 0 | n/a | 2 | 57 |
| A•••• C••••••• L• CRD 175054 | New York, NY | institutional | $18B | 0.0% | 0 | n/a | 4 | 11 |
| S•••••• G••• A••••••• L•• CRD 106788 | New York, NY | asset manager | $18B | 0.0% | 0 | n/a | 13 | 139 |
| A•• F•••• L•• CRD 153456 | Stamford, CT | asset manager | $18B | 0.0% | 7 | $2.6B | 1 | 0 |
| R•• A••••••• 2• L•• CRD 289963 | Dallas, TX | asset manager | $18B | 0.0% | 0 | n/a | 2 | 75 |
| A•••••••• C•••••• P••••••• CRD 160265 | Bethesda, MD | asset manager | $18B | 0.0% | 0 | n/a | 0 | 5 |
| D••• B••• I••••••••• A••••••• CRD 115344 | Tampa, FL | other | $18B | 0.0% | 7 | $2.6B | 0 | 0 |
| A•••• H••••••• L•• CRD 160610 | Greenwich, CT | asset manager | $18B | 0.0% | 0 | n/a | 1 | 17 |
| R•••••••• C•••••• P••••••• CRD 171471 | New York, NY | asset manager | $18B | 0.0% | 0 | n/a | 1 | 47 |
| T••••••••• C••••••• L•• CRD 288576 | Lehi, UT | asset manager | $18B | 0.2% | 21 | $861M | 1 | 2 |
| M•••••••• I••••••••• CRD 165899 | Boston, MA | asset manager | $18B | 0.0% | 0 | n/a | 0 | 8 |
| A••••••••• L•• CRD 146720 | Los Angeles, CA | independent RIA | $18B | 93% | 73 | $247M | 9 | 0 |
| S••••••• CRD 3496 | Little Rock, AR | BD affiliated | $18B | 79% | 244 | $74.0M | 20 | 0 |
| B•••••••• A••••••••• M••••••••• L•• CRD 288041 | New York, NY | asset manager | $18B | 0.0% | 0 | n/a | 1 | 82 |
| B••••••• F••• M••••••••• CRD 163706 | New York, NY | asset manager | $18B | 0.0% | 0 | n/a | 3 | 4 |
| M•••••• A•••••••• L•• CRD 308960 | San Francisco, CA | other | $18B | 0.1% | 7 | $2.6B | 0 | 0 |
| S•••••••• P•••••• W••••• CRD 305881 | Charlotte, NC | asset manager | $18B | 0.0% | 0 | n/a | 1 | 4 |
| B••••••••• P•••••• I••••••••• A••••••• L••••• CRD 317860 | New York, NY | asset manager | $18B | 0.0% | 0 | n/a | 0 | 1 |
| C••••• C•••••• I• G• L•••••• CRD 140659 | St. Helier, | asset manager | $18B | 0.0% | 0 | n/a | 4 | 2 |
| W••••••••• T•••• I••••••••• A•••••••• I••• CRD 106909 | W•••••••••, DE | other | $18B | 0.2% | 18 | $991M | 15 | 0 |
| O•••• I••••••••• A•• O•••• I••••••••• U• CRD 170309 | New York, NY | other | $18B | 0.0% | 0 | n/a | 0 | 3 |
| W• F••••• O•••••• CRD 109869 | Coral Gables, FL | independent RIA | $18B | 100% | 27 | $657M | 1 | 0 |
| W••••••••• M••••••••• J•••• P•• L•• CRD 165192 | Tokyo, | other | $18B | 0.0% | 0 | n/a | 0 | 0 |
| F•• I••••••••• L•• CRD 304405 | Washington, DC | asset manager | $18B | 6.1% | 17 | $1.0B | 8 | 0 |
| A•••••• E••• CRD 173781 | Lisle, IL | asset manager | $18B | 0.0% | 11 | $1.6B | 0 | 0 |
| I•••••• L••• M••••••• L•• CRD 306746 | New York, NY | asset m•••••• | $18B | 0.0% | 0 | n/a | 4 | 44 |
| M••••• W••••• M••••••••• L•• CRD 155649 | Westwood, NJ | independent RIA | $18B | 92% | 135 | $131M | 30 | 0 |
| M•••••••• C•••••• M••••••••• L•• CRD 169258 | Boston, MA | other | $18B | 0.1% | 0 | n/a | 0 | 4 |
| D•••••• C•••••• P••••••• L• CRD 305221 | Bethesda, MD | asset manager | $18B | 0.0% | 0 | n/a | 1 | 3 |
| G•••••••• M••••••••• L•• CRD 148222 | Chicago, IL | independent RIA | $18B | 95% | 19 | $925M | 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.
17,149 advisers match.