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 |
|---|---|---|---|---|---|---|---|---|
| Kline Hill Partners LP CRD 283283 | Greenwich, CT | asset manager | $12B | 0.0% | 0 | n/a | 2 | 36 |
| Gamco Asset Management Inc. CRD 104950 | Greenwich, CT | mixed wealth | $12B | 40% | 10 | $1.2B | 6 | 1 |
| Fermat Capital Management, LLC CRD 134099 | Westport, CT | other | $11B | 0.0% | 0 | n/a | 0 | 1 |
| S•••• P•••• C••••• A•••••• L•• CRD 310377 | Greenwich, CT | asset manager | $11B | 0.0% | 0 | n/a | 2 | 23 |
| A••••• W••••• CRD 171106 | West Hartford, CT | independent RIA | $11B | 95% | 91 | $122M | 37 | 0 |
| A•• G••••• I••••••••• CRD 127290 | Stamford, CT | asset manager | $10B | 0.0% | 0 | n/a | 0 | 111 |
| S••••• A•••• M••••••••• U•• I••• CRD 139022 | Darien, CT | mixed wealth | $10B | 26% | 22 | $460M | 4 | 4 |
| G••••••• C••••••• L•• CRD 158241 | New Canaan, CT | asset manager | $9.5B | 0.0% | 0 | n/a | 0 | 31 |
| S••••• P•••••• E••••• S•••••••• CRD 110207 | Greenwich, CT | other | $9.4B | 0.0% | 0 | n/a | 0 | 27 |
| O•••••• A•••••••• L•• CRD 160851 | Stamford, CT | asset manager | $9.2B | 0.0% | 0 | n/a | 0 | 12 |
| P•••••• CRD 288239 | Shelton, CT | mixed wealth | $9.2B | 37% | 48 | $192M | 23 | 2 |
| E•••••••• G••••• A•••• M••••••••• L•• CRD 141772 | Old Greenwich, CT | institutional | $9.2B | 0.0% | 0 | n/a | 1 | 4 |
| B•••••• F••••• • S•••••• I•• CRD 106928 | Hartford, CT | independent RIA | $9.1B | 89% | 23 | $394M | 8 | 1 |
| L••••••••• • C••• L•• CRD 156720 | Greenwich, CT | asset manager | $9.0B | 0.0% | 0 | n/a | 0 | 24 |
| W••••••• C•••••• P••••••• L•• CRD 157493 | Darien, CT | asset manager | $8.9B | 0.0% | 0 | n/a | 2 | 33 |
| H•••••• J••••••• G••••• A••••••• L•• CRD 112500 | Stamford, CT | other | $8.8B | 10% | 2 | $4.4B | 0 | 8 |
| D••• T•••• C••••••• L• CRD 312459 | Greenwich, CT | asset manager | $8.4B | 0.0% | 0 | n/a | 1 | 2 |
| C•••••• I••••••••• S•••••••• L•• CRD 159306 | Stamford, CT | independent RIA | $8.2B | 63% | 3 | $2.7B | 6 | 11 |
| C•••••• C•••••• M••••••••• L•• CRD 115167 | Greenwich, CT | asset manager | $8.0B | 0.0% | 0 | n/a | 2 | 1 |
| L••••••• C•••••• C••••• A•••••• L•• CRD 293737 | Greenwich, CT | asset manager | $7.9B | 0.0% | 0 | n/a | 4 | 1 |
| K•••••• C•••••• M••••••••• C•••• CRD 157934 | Greenwich, CT | asset manager | $7.9B | 0.0% | 0 | n/a | 0 | 2 |
| A••••• L••• C•••••• M••••••••• L• CRD 298198 | Stamford, CT | asset manager | $7.3B | 0.0% | 0 | n/a | 0 | 5 |
| A•• C•••••• CRD 163576 | Greenwich, CT | asset manager | $7.2B | 0.0% | 0 | n/a | 5 | 8 |
| T•••••• B••••• C•••••• L•• CRD 6857 | Stamford, CT | asset manager | $7.1B | 5.6% | 9 | $792M | 1 | 7 |
| C•••• O•••• P••••••• M••••••••• L• CRD 285340 | Greenwich, CT | asset manager | $7.0B | 0.0% | 0 | n/a | 0 | 18 |
| D•••••••• C•••••• M••••••••• L•• CRD 161263 | South Norwalk, CT | asset manager | $6.7B | 0.0% | 0 | n/a | 0 | 15 |
| K••••• M••••••••• C••• L••••• CRD 123826 | Stamford, CT | asset manager | $6.5B | 0.0% | 0 | n/a | 1 | 0 |
| O•••• I••••••••• I••• CRD 35371 | Meriden, CT | BD affiliated | $6.5B | 75% | 544 | $11.9M | 621 | 0 |
| F•••• R•••••• CRD 157056 | Stamford, CT | asset manager | $6.3B | 0.0% | 0 | n/a | 1 | 25 |
| L•••• I••••••••• P•••••••• L• CRD 324015 | Greenwich, CT | asset manager | $6.2B | 0.0% | 0 | n/a | 0 | 21 |
| E••••• I••••• P••••••• CRD 140799 | Westport, CT | asset manager | $6.1B | 2.9% | 1 | $6.1B | 0 | 2 |
| D•••••• B••• I••••••••• L•• CRD 164972 | Greenwich, CT | asset manager | $5.7B | 0.0% | 0 | n/a | 0 | 0 |
| G••••••• P•••• C•••••• L•• CRD 287716 | Greenwich, CT | asset manager | $5.7B | 0.0% | 0 | n/a | 0 | 44 |
| P••••••• I••••••••• I••• CRD 111503 | Shelton, CT | institutional | $5.6B | 0.0% | 6 | $934M | 0 | 1 |
| L••• R••• CRD 157127 | Westport, CT | asset manager | $5.5B | 0.0% | 0 | n/a | 2 | 23 |
| M•••••• C•••••• M••••••••• L••• CRD 160759 | Greenwich, CT | asset manager | $5.5B | 0.0% | 0 | n/a | 1 | 18 |
| G•••••••• C•••••• M••••••••• L• CRD 285081 | Westport, CT | asset manager | $5.1B | 0.0% | 0 | n/a | 1 | 15 |
| C••••••••• C•••••• M••••••••• L•• CRD 130813 | Old Greenwich, CT | other | $5.1B | 0.0% | 0 | n/a | 0 | 0 |
| C•••••• B••••• A••••••• CRD 152569 | Westport, CT | independent RIA | $5.0B | 88% | 40 | $126M | 10 | 0 |
| B•••••••• L• CRD 316988 | Stamford, CT | asset manager | $5.0B | 0.0% | 0 | n/a | 0 | 12 |
| N••••••••• A•••• M••••••••• L•• CRD 282241 | Stamford, CT | independent RIA | $5.0B | 93% | 30 | $166M | 15 | 0 |
| M• C••••• P••••••• L• CRD 167929 | Stamford, CT | asset manager | $4.9B | 0.0% | 0 | n/a | 0 | 24 |
| C•••••••• C•••••• M••••••••• L• CRD 309174 | Darien, CT | asset manager | $4.8B | 0.0% | 0 | n/a | 0 | 2 |
| C••••••••• C•••••• M••••••••• L•• CRD 109979 | Greenwich, CT | asset manager | $4.8B | 0.0% | 0 | n/a | 0 | 14 |
| S••••••• P••••••• CRD 120982 | Glastonbury, CT | independent RIA | $4.7B | 52% | 22 | $215M | 3 | 0 |
| S•••••• G••••• C•••••• P••••••• L•• CRD 170685 | Stamford, CT | other | $4.7B | 0.0% | 0 | n/a | 0 | 8 |
| S•••••••• C•••••• M••••••••• L• CRD 317009 | Stamford, CT | asset manager | $4.6B | 0.0% | 0 | n/a | 3 | 17 |
| H•• C•••••• P••••••• CRD 133693 | Stamford, CT | asset manager | $4.5B | 0.0% | 0 | n/a | 2 | 6 |
| B••••••• P••• C•••••• CRD 304261 | Greenwich, CT | asset manager | $4.5B | 0.0% | 0 | n/a | 4 | 14 |
| C••••••••• W••••• M••••••••• L•• CRD 154310 | Farmington, CT | independent RIA | $4.5B | 95% | 50 | $89.6M | 1 | 0 |
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507 advisers match.