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 |
|---|---|---|---|---|---|---|---|---|
| Guggenheim Asset-Backed Finance Company, LLC CRD 340242 | New York, NY | institutional | $1.4B | 0.0% | 0 | Not computed | 0 | 0 |
| Terra Reit Advisors, LLC CRD 290571 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 7 |
| Nassau Alternative Investments LLC CRD 300006 | New York, NY | other | $1.4B | 0.0% | 0 | Not computed | 0 | 3 |
| S•••••••• W••••• M••••••••• L•• CRD 118910 | Buffalo, NY | independent RIA | $1.4B | 92% | 11 | $130M | 12 | 0 |
| N••••••••• A••••••• I••• CRD 104928 | Amherst, NY | mixed wealth | $1.4B | 28% | 7 | $204M | 5 | 0 |
| T•••• C•••••• M••••••••• L•• CRD 164648 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 0 |
| U•••••• M••••••••• L•• CRD 157251 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 2 |
| A••• C•••••• A•••••••• L•• CRD 131200 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 1 | 4 |
| Z•• P•••••••• L•• CRD 326727 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 0 |
| S••••• H••••••• M•••••• ••• L•• CRD 322374 | New York City, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 2 | 3 |
| S•• C•••••• M••••••••• L•• CRD 331370 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 2 |
| G•••••••• P••••••• CRD 164192 | New York, NY | independent RIA | $1.4B | 57% | 3 | $469M | 0 | 0 |
| P•••••• C•••••• M••••••••• •••• L•• CRD 316277 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 1 | 0 |
| F•••••••• C•••••• M••••••••• L•• CRD 284138 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 1 | 9 |
| M••••• A•••• A••••••• I•• CRD 107408 | White Plains, NY | independent RIA | $1.4B | 67% | 5 | $280M | 0 | 0 |
| K••• I••••••••• H•••••••• L•• CRD 174350 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 1 |
| T••• L••• M••••••••• L• CRD 328404 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 1 | 3 |
| T•• P••••••• F•••••••• G•••• CRD 164395 | Rockville Centre, NY | independent RIA | $1.4B | 94% | 43 | $32.2M | 6 | 0 |
| C••••••• C•••••• P••••••• CRD 160274 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 7 |
| T•••••• R••• P•••••••• L••• CRD 287608 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 2 | 10 |
| B•••••••• C•••• M••••••••• L•• CRD 170245 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 5 |
| A•••••• I••••••••• P••••••• CRD 161426 | New York, NY | asset manager | $1.4B | 0.1% | 0 | Not computed | 0 | 74 |
| O••• B••••• W••••• G•••• L•• CRD 306097 | Tarrytown, NY | independent RIA | $1.4B | 96% | 22 | $62.3M | 10 | 0 |
| N••• L•••• P•••••• L•• CRD 313247 | Harrison, NY | independent RIA | $1.4B | 90% | 13 | $105M | 0 | 0 |
| H••••• B•••• W••••• M••••••••• L•• CRD 145521 | Katonah, NY | independent RIA | $1.4B | 94% | 1 | $1.4B | 1 | 0 |
| O••••• C•••••• M••••••••• L• CRD 283118 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 1 |
| S•••• W••••• A••••••• G•••• L•• CRD 289764 | West Seneca, NY | independent RIA | $1.4B | 100% | 11 | $123M | 1 | 0 |
| I•••••••• C•••••• P•••••••• L•• CRD 281928 | New York, NY | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 12 |
| 1• W••• C•••••• M••••••••• L• CRD 160197 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 4 |
| G••••••••• P••••••• CRD 310532 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 9 |
| O••••••••• P••••••• M••••••••• L•• CRD 282292 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 19 |
| P•••• C•••••• M••••••••• L•• CRD 147119 | New York, NY | independent RIA | $1.3B | 97% | 7 | $192M | 11 | 0 |
| F•• A••••••• L• CRD 290182 | New York, NY | other | $1.3B | 0.0% | 0 | Not computed | 0 | 2 |
| V••••• I••••••••• L• CRD 171663 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 1 | 8 |
| N••••••• P••••••• L• CRD 296190 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 2 |
| N•••• C••••• P•••••••• L•• CRD 158213 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 1 | 11 |
| R•••• P••••••• C•••••• M••••••••• L• CRD 172496 | New York, NY | independent RIA | $1.3B | 73% | 0 | Not computed | 0 | 10 |
| A•• I••••••••• C•••••• I•• CRD 110346 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 8 |
| O••• C•••••• CRD 327232 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 5 |
| R•• G• M•••••• L•• CRD 331637 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 0 |
| M••••••••• M••••••••• L••• CRD 138405 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 2 |
| D• A••••••• A••••••• L••••••••• CRD 313938 | New York, NY | institutional | $1.3B | 0.0% | 2 | $650M | 0 | 0 |
| C•••••• P••••••• CRD 289887 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 3 |
| S••••••• C•••••• L•• CRD 288855 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 1 | 12 |
| P••••••• I••••••••• L•• CRD 142910 | East Syracuse, NY | BD affiliated | $1.3B | 99% | 57 | $22.7M | 13 | 0 |
| S•• C•••••• M••••••••• L•• CRD 165989 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 1 | 2 |
| A•••••• A•••• M••••••••• CRD 319774 | New York, NY | other | $1.3B | 0.0% | 0 | Not computed | 2 | 0 |
| W•••• CRD 242793 | New York, NY | other | $1.3B | 19% | 1 | $1.3B | 0 | 0 |
| O••••••• C•• L•• CRD 289000 | New York, NY | asset manager | $1.3B | 0.0% | 2 | $642M | 0 | 0 |
| N•• L••••• G••••• L•• CRD 160969 | New York, NY | other | $1.3B | 11% | 0 | Not computed | 0 | 29 |
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.