DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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 |
|---|---|---|---|---|---|---|---|---|
| Allspring Global Investments, LLC CRD 104973 | Charlotte, NC | asset manager | $476B | 1.8% | 0 | n/a | 10 | 14 |
| Asset Management One Co., Ltd. CRD 110843 | Tokyo, | other | $471B | 0.0% | 0 | n/a | 0 | 0 |
| J.P. Morgan Private Investments Inc. CRD 110186 | New York, NY | BD affiliated | $470B | 66% | 9 | $52B | 5 | 75 |
| D•••• • C•• CRD 104596 | San Francisco, CA | asset manager | $467B | 1.6% | 1 | $467B | 0 | 2 |
| A••• M••••••••• L•• CRD 130074 | Los Angeles, CA | asset manager | $459B | 0.0% | 0 | n/a | 67 | 682 |
| J••• M••••• S••••••••• L•• CRD 79 | New York, NY | wirehouse | $430B | 91% | 14,152 | $30.4M | 3,566 | 0 |
| P•••••••• A•••• M••••••••• CRD 109002 | Des Moines, IA | other | $428B | 0.7% | 123 | $3.5B | 19 | 10 |
| U••• B•••••• A•••• M••••••••• I••• CRD 111912 | Minneapolis, MN | asset manager | $427B | 0.0% | 0 | n/a | 50 | 1 |
| B•• M••••• I••••••••• A••••••• I••• CRD 105642 | New York, NY | asset manager | $419B | 0.0% | 0 | n/a | 5 | 5 |
| M••••••••• U•• T•••• A•• B•••••• C••••••••• CRD 296868 | Tokyo, | institutional | $407B | 1.8% | 0 | n/a | 2 | 0 |
| K••••••• K••••• R•••••• • C•• L••• CRD 144533 | New York, NY | asset manager | $400B | 0.0% | 0 | n/a | 25 | 625 |
| N•••••••• B••••• I••••••••• A••••••• L•• CRD 124687 | New York, NY | other | $399B | 18% | 0 | n/a | 10 | 73 |
| R••••• W• B•••• • C•• I••••••••• CRD 8158 | Milwaukee, WI | mixed wealth | $394B | 43% | 2,612 | $151M | 209 | 0 |
| B•••••• L•• CRD 106006 | Charlotte, NC | institutional | $393B | 0.0% | 0 | n/a | 10 | 91 |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• CRD 149018 | Saint Petersburg, FL | BD affiliated | $390B | 89% | 6,694 | $58.3M | 3,629 | 0 |
| L•••••• S••••• • C••••••• L••• CRD 105377 | Boston, MA | other | $387B | 3.3% | 24 | $16B | 6 | 5 |
| F••••• I••••••••• CRD 107342 | Plano, TX | independent RIA | $387B | 86% | 2,933 | $132M | 11 | 4 |
| J•••• H•••••••• I•••••••• CRD 104652 | Denver, CO | asset manager | $380B | 0.5% | 3 | $127B | 6 | 16 |
| D••••••••• F••• A••••••• L•• CRD 107472 | London, | asset manager | $365B | 0.0% | 0 | n/a | 0 | 0 |
| D•• A•••••••• L•••••• CRD 107621 | Sydney, | asset manager | $362B | 0.0% | 0 | n/a | 1 | 0 |
| A••••••••• C••••••• L•••••• P••••••••• CRD 111298 | Boston, MA | asset manager | $351B | 0.0% | 0 | n/a | 0 | 39 |
| F••• L•• CRD 133196 | Smithfield, RI | asset manager | $348B | 0.1% | 0 | n/a | 5 | 21 |
| P••• I••••••••• L•• CRD 105670 | Newark, NJ | asset manager | $345B | 0.0% | 73 | $4.7B | 0 | 0 |
| V••••••• A•••••••• I••• CRD 106715 | Malvern, PA | BD affiliated | $345B | 96% | 2,422 | $142M | 2,225 | 0 |
| N••• I••••••••• A•••••••• L•• CRD 107313 | St. Louis, MO | institutional | $344B | 0.1% | 82 | $4.2B | 0 | 3 |
| P••••• A•••• M••••••••• S• CRD 140074 | Geneva, | asset manager | $331B | 0.0% | 0 | n/a | 1 | 0 |
| N•• I•••••••• L•• CRD 169553 | New York, NY | institutional | $329B | 0.0% | 0 | n/a | 6 | 17 |
| C•••••••• A••••••••• L•• CRD 104942 | Boston, MA | mixed wealth | $327B | 27% | 0 | n/a | 4 | 92 |
| E•••••• F•••••••• E•••••• CRD 104510 | Santa Clara, CA | independent RIA | $326B | 55% | 723 | $451M | 131 | 0 |
| A•••••••• F•••• M••••••••• L•• CRD 110841 | Charlotte, NC | asset manager | $325B | 2.5% | 85 | $3.8B | 2 | 0 |
| N••••••••• M••••• I••••••••• M••••••••• C••••••• L•• CRD 307865 | Milwaukee, WI | institutional | $323B | 0.0% | 0 | n/a | 1 | 25 |
| A•• C•••••• M••••••••• L•• CRD 111883 | Greenwich, CT | asset manager | $312B | 2.9% | 1 | $312B | 0 | 304 |
| R•• C•••••• M••••••• L•• CRD 31194 | New York, NY | national BD | $310B | 90% | 3,840 | $80.8M | 382 | 0 |
| F•••• T•••• A••••••• L• CRD 107027 | Wheaton, IL | asset manager | $309B | 1.6% | 608 | $509M | 4 | 1 |
| A••••••• C•••••• I••••••••• M••••••••• I•• CRD 105778 | Kansas City, MO | asset manager | $306B | 0.0% | 0 | n/a | 7 | 3 |
| S•••••• A•••• M••••••••• C••••••• L••• CRD 158319 | Seoul, | other | $301B | 0.0% | 0 | n/a | 0 | 1 |
| C••••••• P••••••• CRD 105348 | Overland Park, KS | independent RIA | $296B | 62% | 1,163 | $254M | 150 | 5 |
| T•••••••• I••••••••• M••••••••• L•• CRD 107168 | New York, NY | asset manager | $292B | 0.0% | 0 | n/a | 28 | 0 |
| T•• C•••••• G•••• CRD 111128 | Washington, DC | asset manager | $284B | 0.0% | 0 | n/a | 4 | 314 |
| V•••••• C•••••• M••••••••• I••• CRD 106189 | San Antonio, TX | asset manager | $283B | 0.5% | 102 | $2.8B | 8 | 20 |
| N••••• A•••• M••••••••• L•• CRD 155584 | Chicago, IL | mixed wealth | $280B | 21% | 255 | $1.1B | 28 | 28 |
| T• R••• P•••• I••••••••• L•• CRD 126032 | London, | asset manager | $277B | 0.0% | 0 | n/a | 2 | 0 |
| V••• I••••••••• M••••••••• C•• L•• CRD 106494 | New York, NY | asset manager | $275B | 0.6% | 53 | $5.2B | 7 | 0 |
| P•••••• A•••• M••••••••• L••• CRD 283077 | Stamford, CT | asset manager | $274B | 0.0% | 0 | n/a | 36 | 18 |
| T•••• C•••••• M••••••••• ••• L•• CRD 329863 | St Helier, | asset manager | $273B | 0.0% | 0 | n/a | 1 | 0 |
| K•• C••••• A••••••• ••• L•• CRD 146629 | San Francisco, CA | other | $271B | 0.0% | 0 | n/a | 10 | 108 |
| L•••• A••••• • C•• L•• CRD 110391 | Jersey City, NJ | asset manager | $270B | 9.3% | 204 | $1.3B | 0 | 9 |
| L•• • A•••• M••••••••• A•••••• CRD 149156 | Chicago, IL | asset manager | $267B | 0.0% | 0 | n/a | 0 | 20 |
| H••• G••••• A•••• M••••••••• ••• L•••••• CRD 154700 | London, | asset manager | $260B | 0.0% | 0 | n/a | 1 | 0 |
| C••••• I••••••••• A••••••• L•• CRD 105644 | Schaumburg, IL | BD affiliated | $257B | 96% | 10,475 | $24.5M | 6,584 | 0 |
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17,149 advisers match.