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.
17,149 advisers
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Yousif Capital Management, LLC CRD 312511 | Bloomfield Hills, MI | asset manager | $15B | 7.0% | 8 | $1.8B | 0 | 0 |
| Atlanta Consulting Group Advisors, LLC CRD 288169 | Atlanta, GA | mixed wealth | $15B | 22% | 8 | $1.8B | 11 | 0 |
| Troy Asset Management Ltd CRD 319174 | London, | asset manager | $15B | 0.0% | 0 | n/a | 0 | 0 |
| P•••• M••••••••• I••• CRD 141216 | New York, NY | asset manager | $15B | 0.0% | 0 | n/a | 0 | 6 |
| D•••••• B••••• A•••••••• L•• CRD 291394 | Boca Raton, FL | asset manager | $15B | 0.0% | 0 | n/a | 3 | 45 |
| Z•••• I••••••••• M••••••••• I••• CRD 110897 | Chicago, IL | mixed wealth | $15B | 31% | 81 | $180M | 19 | 2 |
| N••••• P••• G••••• C•••••• ••• L• CRD 166333 | New York, NY | asset manager | $15B | 0.0% | 0 | n/a | 3 | 36 |
| F•••••••• C•••••• M••••••••• L•• CRD 145711 | Seattle, WA | independent RIA | $15B | 78% | 62 | $235M | 4 | 14 |
| P••••• P•••••• L•• CRD 108989 | Newport Beach, CA | asset manager | $14B | 0.0% | 0 | n/a | 0 | 14 |
| C••• H••••••• C•••••• CRD 156925 | Dallas, TX | asset manager | $14B | 0.0% | 9 | $1.6B | 1 | 28 |
| C••••••••• W••••• A•••••••• L•• CRD 38357 | Minneapolis, MN | BD affiliated | $14B | 79% | 99 | $146M | 39 | 0 |
| D•• A••••••• L•• CRD 106311 | New York, NY | asset manager | $14B | 0.0% | 0 | n/a | 2 | 15 |
| P••• R•••• A••••••• L•• CRD 296362 | New York, NY | mixed wealth | $14B | 36% | 0 | n/a | 1 | 1 |
| P•••••••• A•••• M••••••••• ••••• CRD 322390 | Wanchai, | asset manager | $14B | 0.0% | 0 | n/a | 1 | 0 |
| A••••• I••••••••• M••••••••• L•••••• CRD 289468 | Sydney, | other | $14B | 0.0% | 0 | n/a | 0 | 4 |
| M•• I••••••••• •••• I••• CRD 305254 | Chicago, IL | institutional | $14B | 0.0% | 0 | n/a | 2 | 0 |
| K•••• • C••••••• L••• CRD 131471 | New York, NY | asset manager | $14B | 0.0% | 0 | n/a | 0 | 54 |
| I••••••• C•••••• P••••••• L•••••• CRD 161187 | London, | asset manager | $14B | 0.0% | 0 | n/a | 1 | 10 |
| S••••••• P••••••• CRD 284346 | New York, NY | asset manager | $14B | 0.0% | 0 | n/a | 1 | 33 |
| T•• C••••••• P••••••• L• CRD 160826 | Larkspur, CA | asset manager | $14B | 0.0% | 0 | n/a | 4 | 18 |
| F•••••••• E••••• M••••••••• C•••••• O• P••••••••• CRD 128610 | Pittsburgh, PA | asset manager | $14B | 0.0% | 0 | n/a | 0 | 0 |
| B•• N• L•• CRD 128557 | New York, NY | asset manager | $14B | 0.0% | 0 | n/a | 3 | 18 |
| A•••• A•••• M••••••••• A••• L•••••• CRD 161589 | Singapore, | asset manager | $14B | 0.0% | 0 | n/a | 0 | 0 |
| C••••••• A•••• M••••••••• C••••••• L•• CRD 105161 | Boston, MA | mixed wealth | $14B | 48% | 16 | $887M | 1 | 0 |
| W••••••••• M••••••••• H••• K••• L•••••• CRD 165208 | Central, H••• K•••, | other | $14B | 0.0% | 0 | n/a | 0 | 0 |
| A•••• C•••••• A•••••••• L•• CRD 167626 | Fairhope, AL | independent RIA | $14B | 76% | 18 | $786M | 16 | 0 |
| R•• I••••••••• L• CRD 153232 | New York, NY | asset manager | $14B | 0.0% | 0 | n/a | 0 | 3 |
| G•••• M••••••• P••••••• CRD 309528 | New Haven, CT | asset manager | $14B | 0.0% | 0 | n/a | 1 | 11 |
| O•••••• F••• A•••••••• L•• CRD 290193 | Los Angeles, CA | asset manager | $14B | 0.0% | 0 | n/a | 12 | 0 |
| M••••••• G•••• L• CRD 142622 | San Francisco, CA | asset manager | $14B | 0.0% | 0 | n/a | 8 | 9 |
| F•••••••• G••••• I••••••••• M••••••••• C•••• CRD 106277 | New York, NY | asset manager | $14B | 0.2% | 205 | $68.7M | 2 | 0 |
| F••••••• A••••••• S•••••••• L•• CRD 111361 | San Mateo, FL | asset manager | $14B | 0.0% | 0 | n/a | 0 | 0 |
| P•••• B••••••• L•• CRD 106455 | Portsmouth, NH | other | $14B | 19% | 6 | $2.3B | 2 | 0 |
| C••••• W••••• M••••••••• L•• CRD 142878 | Summit, NJ | independent RIA | $14B | 93% | 10 | $1.4B | 1 | 0 |
| S••••••• A•••• M••••••••• I••• CRD 309535 | Las Vegas, NV | asset manager | $14B | 0.0% | 4 | $3.5B | 1 | 0 |
| R•••••• F••• M••••••••• L•• CRD 156543 | New York, NY | asset manager | $14B | 0.0% | 0 | n/a | 3 | 40 |
| R•••••• C•••••• P••••••• M••••••••• L•• CRD 168862 | New York, NY | asset manager | $14B | 0.0% | 0 | n/a | 4 | 48 |
| V•••••• C•••••• P•••••••• L••• CRD 281851 | New York, NY | asset manager | $14B | 0.0% | 0 | n/a | 4 | 12 |
| T•• V•••••• G••••• L• CRD 167045 | Chicago, IL | asset manager | $14B | 0.0% | 0 | n/a | 2 | 17 |
| N••••• P•••••••• L•• CRD 159822 | Providence, RI | asset manager | $14B | 0.0% | 0 | n/a | 0 | 18 |
| B••••••••• M•••••••• L•• CRD 137388 | Hockessin, DE | asset manager | $14B | 0.0% | 0 | n/a | 0 | 42 |
| L••••• C•••••• P••••••• CRD 161059 | Chicago, IL | asset manager | $14B | 0.0% | 0 | n/a | 0 | 28 |
| O•• H••• C•••••• M••••••••• L•• CRD 136656 | New York, NY | asset manager | $14B | 0.0% | 0 | n/a | 2 | 35 |
| C••••••••• W••••• M••••••••• CRD 108805 | Bellevue, WA | independent RIA | $14B | 87% | 139 | $100M | 9 | 1 |
| U••••• I••••••••• A•••••••• I••• CRD 106628 | Bethesda, MD | asset manager | $14B | 0.0% | 0 | n/a | 5 | 9 |
| C••••••• C•••••• I••••••••• I••••••••• P•• L•••••• CRD 308020 | Sydney, | other | $14B | 0.0% | 0 | n/a | 1 | 0 |
| S•• I••••••••• M••••••••• L•• CRD 157630 | New York, NY | asset manager | $14B | 0.0% | 0 | n/a | 1 | 4 |
| C••••••••• CRD 321633 | Walnut Creek, CA | independent RIA | $14B | 88% | 11 | $1.3B | 3 | 0 |
| D•••••• W••••• M••••••••• L•• CRD 153377 | St. Petersburg, FL | asset manager | $14B | 0.0% | 14 | $992M | 1 | 2 |
| L••••••• C••••••• L•• CRD 155486 | New York, NY | asset manager | $14B | 0.0% | 0 | n/a | 2 | 49 |
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.