DFX Intelligence
Firms
SEC-registered investment advisersAbout this listOne 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.
2,583 advisers match
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Willow Wealth CRD 282487 | New York, NY | asset manager | $1.6B | 0.7% | 3 | $545M | 1 | 120 |
| Zweig-Dimenna Associates LLC CRD 161385 | New York, NY | asset manager | $1.6B | 0.0% | 0 | Not computed | 1 | 4 |
| Third Avenue Management LLC CRD 107545 | New York, NY | asset manager | $1.6B | 1.8% | 3 | $542M | 1 | 0 |
| E•••••• N•••• A••••••• I••• CRD 300444 | New York, NY | other | $1.6B | 0.0% | 0 | Not computed | 0 | 0 |
| H••••• C•••••• M••••••••• L•• CRD 157131 | New York, NY | asset manager | $1.6B | 0.0% | 0 | Not computed | 2 | 7 |
| S••• C•••••• M••••••••• L•• CRD 331656 | New York, NY | asset manager | $1.6B | 0.0% | 0 | Not computed | 0 | 4 |
| N•• C•••••• M••••••••• I••• CRD 104932 | Norwich, NY | mixed wealth | $1.6B | 22% | 7 | $230M | 4 | 0 |
| B•••••• F•••••••• G•••• L•• CRD 111824 | Troy, NY | independent RIA | $1.6B | 95% | 11 | $146M | 4 | 0 |
| L••••• G••••• S••••••••• L•• CRD 159667 | New York, NY | independent RIA | $1.6B | 97% | 0 | Not computed | 0 | 0 |
| B••• O•• A••••••••• C••••• A••••••• I• L•• CRD 334213 | New York, NY | asset manager | $1.6B | 0.0% | 0 | Not computed | 8 | 0 |
| A•••• S••••• G•••• S• L•• CRD 308022 | New York, NY | asset manager | $1.6B | 0.0% | 0 | Not computed | 1 | 35 |
| C••••••••• P•••••••• R••••• C••• CRD 112694 | Woodbury, NY | independent RIA | $1.6B | 99% | 66 | $24.1M | 47 | 0 |
| D••• R••• E••••• P••••••• L• CRD 157455 | New York, NY | asset manager | $1.6B | 0.0% | 0 | Not computed | 1 | 22 |
| M••••••• • S••••••• W••••• A•••••••• I••• CRD 164345 | Poughkeepsie, NY | mixed wealth | $1.6B | 22% | 10 | $159M | 1 | 0 |
| P•••••••• C•••••• M••••••••• L• CRD 333644 | New York, NY | asset manager | $1.6B | 0.0% | 0 | Not computed | 0 | 3 |
| L••• H••• C•••••• M••••••••• L•• CRD 166526 | New York, NY | other | $1.6B | 0.0% | 0 | Not computed | 0 | 2 |
| A•• A•••••• L• CRD 173866 | New York, NY | asset manager | $1.6B | 0.0% | 0 | Not computed | 0 | 7 |
| H••• C•••••• A••••••• L•• CRD 339318 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 0 | 4 |
| Z••••• P••••••• CRD 289192 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 0 | 5 |
| G•• C•••••• P••••••• L•• CRD 154457 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 0 | 11 |
| I••••••••• S•••••••• W••••• M••••••••• L•• CRD 144733 | Williamsville, NY | independent RIA | $1.5B | 98% | 30 | $51.2M | 3 | 0 |
| S••••••• W••••• M••••••••• L•• CRD 147092 | Purchase, NY | independent RIA | $1.5B | 98% | 35 | $43.8M | 22 | 0 |
| E•••••••• I••••••••• M••••••••• L•• CRD 322513 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 0 | 0 |
| C••• C••••••• P•••••••• L•• CRD 281535 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 1 | 16 |
| A••••• W••••• P•••••••• L•• CRD 158898 | New Hartford, NY | independent RIA | $1.5B | 87% | 13 | $117M | 3 | 0 |
| G••••••• • R••••••••• A••••••••• L•• CRD 283394 | New York, NY | other | $1.5B | 0.0% | 0 | Not computed | 0 | 3 |
| R•••• H••••••••• C•••••• M••••••••• L•• CRD 294006 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 0 | 8 |
| J••• G• U••••• • A••••••••• I•• CRD 105361 | Horseheads, NY | independent RIA | $1.5B | 98% | 23 | $65.7M | 3 | 0 |
| S•••• P•••• C•••••• CRD 283066 | New York, NY | institutional | $1.5B | 0.0% | 0 | Not computed | 0 | 1 |
| L••••• B• P••••••• L• CRD 315185 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 0 | 1 |
| K•••• L••• A•••• M••••••••• •••••••• C••• L••• CRD 174341 | New York, NY | institutional | $1.5B | 0.0% | 0 | Not computed | 0 | 0 |
| W•••••• • C•••••• CRD 117307 | Rochester, NY | independent RIA | $1.5B | 100% | 9 | $166M | 0 | 0 |
| S••••••••• C•••••• P•••••••• L••• CRD 327164 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 0 | 10 |
| C•• P••••••• L•• CRD 329876 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 0 | 3 |
| F••• M••••••••• L•• CRD 331881 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 18 | 0 |
| T•• M••••••••• I•• CRD 106440 | Glen Head, NY | independent RIA | $1.5B | 100% | 30 | $49.3M | 1 | 0 |
| K••••••• • B••••• L•• CRD 2440 | New York, NY | independent RIA | $1.5B | 94% | 4 | $370M | 0 | 0 |
| G•• U•• I••• CRD 110458 | New York, NY | other | $1.5B | 0.0% | 0 | Not computed | 3 | 5 |
| V•••••• I••••••••• •••• I••• CRD 157458 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 0 | 1 |
| D••••• C•••••• L• CRD 300823 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 0 | 2 |
| R•••• C••••• C•••••• M••••••••• L•• CRD 331556 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 2 | 7 |
| K•• R••••••••• A•••••• L•• CRD 309284 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 5 | 0 |
| T••• E••• L•• CRD 332224 | New York, NY | asset manager | $1.5B | 0.0% | 0 | Not computed | 0 | 0 |
| S•••• T••• A••••••• L•• CRD 289905 | Saratoga Springs, NY | independent RIA | $1.5B | 80% | 20 | $72.7M | 3 | 2 |
| T•••••• C•••••• P••••••• L•• CRD 293282 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 16 |
| B•••••• C•••••• M••••••••• L• CRD 307598 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 1 | 2 |
| A••• B••••• G•••• ••• L•• CRD 315273 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 5 | 8 |
| R••••• A••••••• L•• CRD 326954 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 1 | 4 |
| F••••• F••••• W•••••• L•• CRD 168254 | Woodbury, NY | independent RIA | $1.4B | 95% | 5 | $288M | 0 | 0 |
| C•••••••• C•••••• L• CRD 166699 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 1 |
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.