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 |
|---|---|---|---|---|---|---|---|---|
| Monroe Capital Management Advisors LLC CRD 157073 | Chicago, IL | asset manager | $19B | 0.0% | 0 | n/a | 6 | 49 |
| Amplify Etfs CRD 173781 | Lisle, IL | asset manager | $18B | 0.0% | 11 | $1.6B | 0 | 0 |
| Geowealth Management LLC CRD 148222 | Chicago, IL | independent RIA | $18B | 95% | 19 | $925M | 1 | 0 |
| G•••• L•••• A•••••••• L•• CRD 110757 | Chicago, IL | other | $16B | 18% | 18 | $898M | 3 | 0 |
| 5• S•••• C•••••• A•••••••• L•• CRD 174762 | Chicago, IL | asset manager | $16B | 0.0% | 0 | n/a | 4 | 126 |
| W•••••••• A•••• M••••••••• L•• CRD 138907 | Chicago, IL | asset manager | $15B | 0.0% | 0 | n/a | 1 | 1 |
| Z•••• I••••••••• M••••••••• I••• CRD 110897 | Chicago, IL | mixed wealth | $15B | 31% | 81 | $180M | 19 | 2 |
| M•• I••••••••• •••• I••• CRD 305254 | Chicago, IL | institutional | $14B | 0.0% | 0 | n/a | 2 | 0 |
| T•• V•••••• G••••• L• CRD 167045 | Chicago, IL | asset manager | $14B | 0.0% | 0 | n/a | 2 | 17 |
| L••••• C•••••• P••••••• CRD 161059 | Chicago, IL | asset manager | $14B | 0.0% | 0 | n/a | 0 | 28 |
| G•••••• P•••••••• L•• CRD 108668 | Chicago, IL | mixed wealth | $14B | 23% | 2 | $6.9B | 1 | 53 |
| D•••• M•••••• C•••••• M••••••••• L•• CRD 108658 | Chicago, IL | other | $14B | 1.5% | 0 | n/a | 2 | 0 |
| P••••••• E••••••••• C•••••• L•• CRD 304667 | Chicago, IL | asset manager | $13B | 0.0% | 0 | n/a | 0 | 2 |
| T•• M••••• G••••• L•• CRD 156005 | Chicago, IL | independent RIA | $13B | 100% | 112 | $120M | 62 | 0 |
| S•••• F••• I••••••••• M••••••••• C•••• CRD 3487 | Bloomington, IL | asset manager | $13B | 3.7% | 7,054 | $1.8M | 6,443 | 0 |
| A•••• I••••••••• L•• CRD 108211 | Chicago, IL | other | $13B | 11% | 6 | $2.1B | 2 | 3 |
| B••••••••• C•••••• M••••••••• L•• CRD 141413 | Wheaton, IL | independent RIA | $13B | 99% | 332 | $38.4M | 271 | 0 |
| D••• • P••••• I••••••••• M••••••••• C•• CRD 107296 | Chicago, IL | asset manager | $13B | 0.0% | 2 | $6.4B | 2 | 0 |
| F•••• T•••• C•••••• M••••••••• L••• CRD 317825 | Chicago, IL | asset manager | $13B | 0.0% | 0 | n/a | 1 | 15 |
| C•••••••• B••••••• I••••••••• S•••••••• I••• CRD 104604 | Chicago, IL | asset manager | $12B | 0.0% | 1 | $12B | 1 | 0 |
| E•••••••• I••••••••• A••••••• CRD 133550 | Chicago, IL | asset manager | $12B | 0.0% | 0 | n/a | 2 | 3 |
| C••• C••••••• L•• CRD 134249 | Chicago, IL | independent RIA | $12B | 72% | 97 | $119M | 10 | 17 |
| L•••••• I••••••••• M••••••••• CRD 109307 | Chicago, IL | asset manager | $11B | 0.0% | 0 | n/a | 6 | 15 |
| P• A•••• M••••••••• L•• CRD 107619 | Chicago, IL | asset manager | $11B | 0.0% | 10 | $1.1B | 3 | 0 |
| R••••••••• A•••• M••••••••• CRD 317277 | Chicago, IL | asset manager | $10B | 0.0% | 0 | n/a | 3 | 2 |
| B•• F••••• O•••••• L•• CRD 110264 | Chicago, IL | bank affiliated | $10.0B | 98% | 3 | $3.3B | 6 | 26 |
| S••••••••• A•••••••• L•• CRD 171992 | Chicago, IL | independent RIA | $9.8B | 85% | 22 | $447M | 3 | 0 |
| I•• W••••• M••••••••• L•• CRD 171481 | Chicago, IL | BD affiliated | $9.8B | 72% | 160 | $61.3M | 67 | 0 |
| W••••• S••••• C••••••• L••••• CRD 147210 | Chicago, IL | asset manager | $9.8B | 0.0% | 0 | n/a | 0 | 55 |
| A••••• A•••••••• L•• CRD 120642 | Chicago, IL | independent RIA | $9.8B | 69% | 0 | n/a | 0 | 1 |
| S•••• C•••••• P••••••• CRD 166745 | Chicago, IL | asset manager | $9.3B | 0.0% | 0 | n/a | 3 | 48 |
| W••••••••• C••••••• L••• CRD 173227 | Rosemont, IL | asset manager | $9.1B | 0.0% | 0 | n/a | 0 | 5 |
| N•••••••• B••••• L••• A••••••• I• L•• CRD 306601 | Chicago, IL | asset manager | $9.0B | 0.0% | 0 | n/a | 1 | 18 |
| F•••• F•••••••• M••••••••• L• CRD 145706 | Lombard, IL | independent RIA | $8.7B | 82% | 117 | $74.3M | 59 | 0 |
| W••• P•••• P••••••• CRD 156485 | Chicago, IL | asset manager | $8.6B | 0.0% | 0 | n/a | 0 | 15 |
| G••••••••• F•••• D••••••••• L•• CRD 39805 | Chicago, IL | asset manager | $7.8B | 0.0% | 0 | n/a | 2 | 0 |
| J•• F•••••••• G•••• L•• CRD 110302 | Downers Grove, IL | independent RIA | $7.5B | 100% | 48 | $156M | 3 | 0 |
| W•••• S••••• H••••••••• P•••••••• L•• CRD 156694 | Chicago, IL | asset manager | $7.5B | 0.0% | 0 | n/a | 0 | 16 |
| C•••••• P••••••• I••••••••• G•••• L•• CRD 147662 | Chicago, IL | independent RIA | $7.5B | 94% | 54 | $138M | 19 | 3 |
| P•• CRD 291331 | Chicago, IL | asset manager | $7.2B | 0.0% | 0 | n/a | 1 | 9 |
| C•••••• P•••••• F••••••• CRD 172960 | Chicago, IL | asset manager | $7.1B | 0.0% | 0 | n/a | 1 | 32 |
| M•••••• F•••••••• P•••••• E••••• A•••••••• I••• CRD 112084 | Chicago, IL | asset manager | $6.9B | 0.0% | 6 | $1.2B | 0 | 18 |
| M••••• C•••••• B•• A•••••••• L•• CRD 165657 | Chicago, IL | asset manager | $6.7B | 0.0% | 0 | n/a | 6 | 0 |
| V•••••• A•••••••• L•• CRD 318657 | Chicago, IL | independent RIA | $6.7B | 100% | 58 | $115M | 16 | 0 |
| N•• C•••••• I••••••••• A•••••••• L•• CRD 160569 | Chicago, IL | asset manager | $6.6B | 0.0% | 4 | $1.7B | 4 | 16 |
| G• S•••••• E••••• M••••••••• L• CRD 289285 | Chicago, IL | asset manager | $6.6B | 0.0% | 0 | n/a | 3 | 16 |
| G•• R••••• C•••••• CRD 157210 | Chicago, IL | asset manager | $6.3B | 0.0% | 0 | n/a | 0 | 15 |
| B•• A•••• M••••••••• C•••• CRD 106466 | Chicago, IL | other | $6.2B | 0.0% | 1 | $6.2B | 0 | 16 |
| A•••••• C•••••• C••••• A••••••• L•• CRD 328497 | Chicago, IL | asset manager | $6.2B | 0.0% | 0 | n/a | 4 | 0 |
| H•••••• C•••••• M••••••••• L•• CRD 105480 | Chicago, IL | asset manager | $6.1B | 0.0% | 0 | n/a | 9 | 5 |
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678 advisers match.