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 |
|---|---|---|---|---|---|---|---|---|
| Wilmington Funds Management Corporation CRD 105163 | Wilmington, DE | asset manager | $16B | 0.0% | 0 | n/a | 1 | 0 |
| 50 South Capital Advisors, LLC CRD 174762 | Chicago, IL | asset manager | $16B | 0.0% | 0 | n/a | 4 | 126 |
| Silverbay Capital Management LLC CRD 151259 | New York, NY | asset manager | $16B | 0.0% | 0 | n/a | 3 | 0 |
| F•••••• CRD 302050 | San Francisco, CA | independent RIA | $16B | 89% | 327 | $49.0M | 7 | 0 |
| A•• I••••• CRD 169525 | St. Petersburg, FL | asset manager | $16B | 0.0% | 0 | n/a | 0 | 7 |
| M••••• S•••••• I••••••••• I••• CRD 142824 | New York, NY | asset manager | $16B | 0.0% | 0 | n/a | 7 | 20 |
| O•• Q•••• C•••••• I••• CRD 315926 | Toronto, Ontario, | asset manager | $16B | 0.0% | 0 | n/a | 0 | 5 |
| M••••••• C•••••• L•• CRD 108262 | Dallas, TX | asset manager | $16B | 0.0% | 0 | n/a | 5 | 18 |
| M•••• W••••• P•••••••• L•• CRD 134436 | Philadelphia, PA | independent RIA | $16B | 98% | 32 | $493M | 0 | 5 |
| C• P•••••• E•••••• I••• CRD 110657 | Norwalk, CT | asset manager | $16B | 0.0% | 0 | n/a | 6 | 82 |
| M•••• R••• E••••• A••••••• I••• CRD 142047 | New York, NY | asset manager | $16B | 0.0% | 0 | n/a | 16 | 18 |
| W••••••• A••••••• L•• CRD 121995 | Minneapolis, MN | asset manager | $16B | 0.0% | 1 | $16B | 4 | 10 |
| O•• C•••••• A•••••••• L••• CRD 173626 | New York, NY | asset manager | $16B | 0.0% | 0 | n/a | 3 | 34 |
| C••••••••• I••••••••• A•••••••• L•• CRD 323135 | Tampa, FL | independent RIA | $16B | 100% | 280 | $56.2M | 72 | 0 |
| E• F••• M••••••••• •••• K•••• C••• L•••••• CRD 169726 | H••• K•••, | asset manager | $16B | 0.0% | 0 | n/a | 0 | 0 |
| S••••••• C••••••• L•• CRD 162512 | London, | mixed wealth | $16B | 24% | 0 | n/a | 0 | 2 |
| S•••••• C•••••• P••••••• L• CRD 157360 | New York, NY | asset manager | $16B | 0.0% | 0 | n/a | 1 | 10 |
| M•••• I••••••••• A••••••• S••••••• I•• CRD 111113 | Reston, VA | mixed wealth | $16B | 44% | 31 | $506M | 0 | 0 |
| G••••••••• E••••• G•••• CRD 157475 | Greenwich, CT | asset manager | $16B | 0.0% | 0 | n/a | 0 | 21 |
| B•••••• M••••••••• C•••• CRD 160921 | Boston, MA | asset manager | $16B | 0.0% | 0 | n/a | 3 | 60 |
| B••••••••• S•••••••• C•••••• A•••••••• L••••• CRD 165796 | New York, NY | asset manager | $16B | 0.0% | 0 | n/a | 1 | 18 |
| W•••• A•••• M••••••••• CRD 155564 | Boston, MA | asset manager | $16B | 0.0% | 0 | n/a | 3 | 2 |
| A••••• C•••••• M••••••••• L•• CRD 106332 | New York, NY | other | $16B | 0.0% | 0 | n/a | 1 | 41 |
| P•••••••• A••••••• CRD 10111 | Duluth, GA | national BD | $16B | 99% | 3,977 | $3.9M | 1,828 | 0 |
| E••••••• W••••• M••••••••• L•• CRD 148399 | New York, NY | independent RIA | $16B | 90% | 0 | n/a | 4 | 1 |
| O•••• A••••••• S•••••••• L•• CRD 171070 | Atlanta, GA | BD affiliated | $15B | 97% | 355 | $43.6M | 200 | 0 |
| I••••• CRD 119232 | West Palm Beach, FL | other | $15B | 0.0% | 1 | $15B | 0 | 5 |
| A•••••• G••••• I•••••••• A••• P•••••• L•••••• CRD 289358 | Hong Kong, | asset manager | $15B | 0.0% | 0 | n/a | 0 | 0 |
| A•• Q• A••••••• L•• CRD 124560 | New York, NY | asset manager | $15B | 0.0% | 0 | n/a | 5 | 31 |
| T•••••• S••••• P••••••••• L••• CRD 160079 | New York, NY | asset manager | $15B | 0.0% | 0 | n/a | 26 | 78 |
| I•• G••••• I••• CRD 126246 | Atlanta, GA | institutional | $15B | 4.1% | 17 | $907M | 0 | 0 |
| B••••• R•••• P••••••• CRD 304928 | New York, NY | asset manager | $15B | 0.0% | 0 | n/a | 0 | 16 |
| B••••••••• P••••••• CRD 152802 | Waltham, MA | independent RIA | $15B | 97% | 90 | $170M | 4 | 9 |
| P••• X• P••••••• O••••••••• L•• CRD 305299 | Trianon, | asset manager | $15B | 0.0% | 0 | n/a | 7 | 25 |
| C• W•••••••• A•••• M••••••••• F••••••••• A•• CRD 173234 | Copenhagen, | other | $15B | 0.0% | 0 | n/a | 1 | 0 |
| C•••••• H••• I••••••••• M••••••••• I••• CRD 110774 | Tulsa, OK | other | $15B | 0.0% | 31 | $491M | 1 | 0 |
| C• A•••••••• L•• CRD 310873 | Boston, MA | independent RIA | $15B | 95% | 94 | $162M | 24 | 4 |
| N••••••••• A•••• M••••••••• L•• CRD 143668 | Columbus, OH | other | $15B | 0.0% | 0 | n/a | 0 | 2 |
| B••••••••• I•••••• L•••••• CRD 292121 | Dublin 2, | asset manager | $15B | 0.0% | 0 | n/a | 5 | 50 |
| P••••• C•••••• CRD 148269 | New York, NY | asset manager | $15B | 0.0% | 0 | n/a | 0 | 38 |
| O••••••• B•• W••••• P••••••• CRD 318366 | Parsippany, NJ | independent RIA | $15B | 95% | 119 | $127M | 23 | 0 |
| C• A••••••• L•• CRD 164817 | Aventura, FL | independent RIA | $15B | 87% | 4 | $3.8B | 0 | 14 |
| S•• F•••• I••••• A••••••• I•• L•• CRD 108271 | Minneapolis, MN | institutional | $15B | 1.7% | 0 | n/a | 0 | 18 |
| G••••••• CRD 289807 | asset manager | $15B | 0.0% | 0 | n/a | 0 | 21 | |
| A••• P••••••• I•• L•• CRD 161154 | Boston, MA | asset manager | $15B | 0.0% | 0 | n/a | 2 | 29 |
| W••• M••••••••• C••••••••• CRD 155695 | New York, NY | asset manager | $15B | 0.0% | 0 | n/a | 1 | 20 |
| T•• L••••• C•••••• O• V••••••• CRD 106654 | Richmond, VA | mixed wealth | $15B | 28% | 31 | $480M | 0 | 0 |
| W•••••••• A•••• M••••••••• L•• CRD 138907 | Chicago, IL | asset manager | $15B | 0.0% | 0 | n/a | 1 | 1 |
| C• G••••• I••••••••• I••• CRD 156752 | Oakland, CA | asset manager | $15B | 0.0% | 0 | n/a | 1 | 0 |
| F•••••••• C••••••••• G•••• CRD 149122 | Greenwood Village, CO | institutional | $15B | 0.0% | 26 | $567M | 3 | 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.