DFX 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.
17,149 advisers
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Searchlight Capital Partners CRD 161958 | New York, NY | asset manager | $18B | 0.0% | 0 | n/a | 3 | 73 |
| Patient Square Capital, LP CRD 312203 | Menlo Park, CA | asset manager | $18B | 0.0% | 0 | n/a | 2 | 30 |
| Penserra Capital Management LLC CRD 159042 | Orinda, CA | asset manager | $18B | 0.0% | 9 | $1.9B | 2 | 0 |
| L••••••• R••• E••••• I••••••••• M••••••••• L• CRD 297109 | New York, NY | asset manager | $17B | 0.0% | 0 | n/a | 1 | 0 |
| A••••••• I••••••••• P••••••• CRD 156878 | New York, NY | asset manager | $17B | 0.0% | 0 | n/a | 0 | 10 |
| E•••••••• P•••••••• S••••••••• I••• CRD 109662 | Berwyn, PA | independent RIA | $17B | 98% | 3 | $5.8B | 1 | 0 |
| R••••••• CRD 168656 | London, | asset manager | $17B | 0.0% | 0 | n/a | 0 | 4 |
| E•••• A••••••• CRD 300856 | Los Angeles, CA | independent RIA | $17B | 70% | 0 | n/a | 4 | 23 |
| F•••• C•••••• I••• CRD 113638 | New York, NY | mixed wealth | $17B | 34% | 6 | $2.9B | 2 | 5 |
| B••••• A•••• M••••••••• ••••••••• C••• L•••••• CRD 168895 | Hong Kong, | asset manager | $17B | 0.0% | 0 | n/a | 0 | 0 |
| C•••••• W••••• P•••••••• L•• CRD 150764 | Naples, FL | independent RIA | $17B | 56% | 11 | $1.6B | 1 | 0 |
| I••••••••• A•••••• A•••••••• L•• CRD 168267 | Charlotte, NC | i••••••••• wealth | $17B | 95% | 303 | $56.9M | 140 | 0 |
| S•••••••• G•••• R••• E••••• L• CRD 281698 | La Jolla, CA | asset manager | $17B | 0.0% | 0 | n/a | 11 | 60 |
| K••••••• • C•••••• CRD 160745 | Mount Kisco, NY | asset manager | $17B | 0.0% | 0 | n/a | 3 | 37 |
| B•••••• L• M••••• I••••••••• S••••••••• L•• CRD 2625 | New York, NY | other | $17B | 0.0% | 0 | n/a | n/a | 0 |
| N••••••• C•••••• P••••••• CRD 332070 | New York, NY | asset manager | $17B | 0.0% | 0 | n/a | 0 | 8 |
| M•••••• • N••••• A•••••••• L•• CRD 105992 | Fairport, NY | mixed wealth | $17B | 34% | 42 | $405M | 4 | 0 |
| P•••••••• S••••••••• I••• CRD 1137 | Des Moines, IA | BD affiliated | $17B | 98% | 1,461 | $11.7M | 358 | 0 |
| M•••••• W••••• M••••••••• L• CRD 113057 | Santa Barbara, CA | independent RIA | $17B | 98% | 136 | $125M | 29 | 0 |
| T•• R••• E••••• A•••••••• L•• CRD 170731 | Fort Worth, TX | asset manager | $17B | 0.0% | 2 | $8.5B | 3 | 33 |
| A•••• I••••••••• M••••••••• L•• CRD 124454 | New York, NY | independent RIA | $17B | 100% | 6 | $2.8B | 0 | 1 |
| P••••••• I••••••••• A•••• M••••••••• CRD 166048 | Brussels, | i••••••••• manager | $17B | 0.0% | 0 | n/a | 0 | 0 |
| R•••••• J•••• I••••••••• M••••••••• CRD 174904 | St Petersburg, FL | asset manager | $17B | 0.0% | 30 | $562M | 2 | 2 |
| S••••••• I••••••••• U• L•• CRD 317755 | New York, NY | asset manager | $17B | 0.0% | 0 | n/a | 0 | 0 |
| N••••••••• I••••••••• A•••••••• L•• CRD 142373 | Columbus, OH | BD affiliated | $17B | 100% | 401 | $41.7M | 8 | 0 |
| T• R••• P•••• A•••••••• L•••••• CRD 290594 | Sydney, Nsw, | asset manager | $17B | 0.0% | 0 | n/a | 1 | 0 |
| M•••••• CRD 159465 | New York, NY | asset manager | $17B | 0.0% | 0 | n/a | 4 | 44 |
| D•••••• C•••••• P••••••• L• CRD 170862 | New York, NY | asset manager | $17B | 0.0% | 0 | n/a | 0 | 2 |
| S••••••••• G••••• A•••••••• L• CRD 127447 | Stamford, CT | asset manager | $17B | 1.2% | 0 | n/a | 2 | 0 |
| C••••••• P•••••• W••••• CRD 106743 | Tarrytown, NY | BD affiliated | $17B | 94% | 92 | $181M | 25 | 0 |
| K••••••• A•••••••• L•• CRD 156226 | Las Vegas, NV | other | $17B | 0.0% | 9 | $1.8B | 1 | 0 |
| A•••••••• I••••••••• S•••••••• L•• CRD 324207 | Newport Beach, CA | asset manager | $17B | 0.0% | 0 | n/a | 1 | 0 |
| C•••••• R••• A•••• M••••••••• CRD 297010 | New York, NY | asset manager | $17B | 0.0% | 0 | n/a | 2 | 3 |
| I•••• F•••••••• A•••••••• L•• CRD 161603 | New York, NY | other | $16B | 0.0% | 0 | n/a | 0 | 26 |
| F•••••••• G•••• P••••••• L• CRD 328089 | San Francisco, CA | asset manager | $16B | 0.0% | 0 | n/a | 6 | 2 |
| R• C•••••• M••••••••• L• CRD 160174 | Boston, MA | asset manager | $16B | 0.0% | 0 | n/a | 2 | 6 |
| V••••• V••• C••••••••• L•• CRD 108583 | institutional | $16B | 0.0% | 8 | $2.0B | 7 | 0 | |
| O••••••• A••••••••• I••••••••• L•• CRD 336332 | New York, NY | asset manager | $16B | 0.0% | 3 | $5.5B | 1 | 13 |
| 3• C•••••• P••••••• L• CRD 156934 | New York, NY | asset manager | $16B | 0.0% | 0 | n/a | 0 | 5 |
| E•••••••• R••••••••• S••••••••• L•• CRD 171570 | Berwyn, PA | institutional | $16B | 0.0% | 4 | $4.1B | 0 | 0 |
| D•••• W••• R••• E••••• S•••••••• L•• CRD 156762 | San Francisco, CA | asset manager | $16B | 0.0% | 1 | $16B | 7 | 31 |
| B••• C•••••• A•••• M••••••••• L• CRD 183517 | Boston, MA | asset manager | $16B | 0.0% | 0 | n/a | 0 | 43 |
| I••••••••• F•••••••• P••••••• CRD 125112 | Tampa, FL | BD affiliated | $16B | 73% | 317 | $51.4M | 171 | 0 |
| V•••••••• I••••••••• A•••••••• L•• CRD 330755 | West Chester, PA | asset manager | $16B | 0.0% | 0 | n/a | 0 | 0 |
| N••••••• I••••••••• S••••••• O• A••••••• L•• CRD 307169 | Milwaukee, WI | institutional | $16B | 0.2% | 13 | $1.3B | 1 | 12 |
| G•••• L•••• A•••••••• L•• CRD 110757 | Chicago, IL | other | $16B | 18% | 18 | $898M | 3 | 0 |
| V•••• M••••••••• L••• CRD 148949 | New York, NY | asset manager | $16B | 0.0% | 0 | n/a | 1 | 46 |
| B••• O•• T••••••••• C••••• A••••••• L•• CRD 297497 | New York, NY | asset manager | $16B | 0.0% | 0 | n/a | 8 | 4 |
| F••••• A••••••• L•• CRD 292803 | Philadelphia, PA | asset manager | $16B | 0.0% | 0 | n/a | 10 | 0 |
| F•••• S•••••• I•••••••• I••••••••• I• L•••••• CRD 110992 | Edinburgh, | asset manager | $16B | 0.0% | 0 | n/a | 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.