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 |
|---|---|---|---|---|---|---|---|---|
| Sagehall Management LP CRD 314770 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 2 | 0 |
| Greenlight Masters, LLC CRD 157082 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 6 |
| Madison River Capital LLC CRD 286411 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 5 |
| C•••••••• W••••• M••••••••• L•• CRD 316069 | New York, NY | independent RIA | $1.3B | 100% | 7 | $181M | 1 | 0 |
| E••••••••• I•••••••• CRD 160833 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 1 | 9 |
| O•••••• M••••••••• L•• CRD 305479 | Rye, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 3 |
| H••••• C•••••• P•••••••• L••• CRD 327590 | New York, NY | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 1 |
| J••• B•••• • C•••••• CRD 140452 | Melville, NY | independent RIA | $1.3B | 97% | 7 | $179M | 0 | 0 |
| A•••••• P••••••• CRD 156290 | New York, NY | mixed wealth | $1.3B | 34% | 0 | Not computed | 0 | 6 |
| S••••••••• A••••••• L•• CRD 336188 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 2 |
| N•• I•• C•••••• M••••••••• L•• CRD 284999 | New York, NY | other | $1.2B | 0.0% | 0 | Not computed | 0 | 1 |
| B•••••••• C•••••• P••••••• L• CRD 319137 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 1 |
| O••• W••••• A•••••••• L•• CRD 289759 | Jericho, NY | independent RIA | $1.2B | 86% | 10 | $124M | 0 | 0 |
| A•• U• D• M••••••••• L•• CRD 331398 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 0 |
| S•••• G•••• M••••••• L•• CRD 310026 | Bronxville, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 2 |
| S••••• A•••••••• L•• CRD 338664 | New York, NY | independent RIA | $1.2B | 100% | 0 | Not computed | 0 | 0 |
| P••••••• T••••••••• P••••••• CRD 305602 | Locust Valley, NY | independent RIA | $1.2B | 97% | 10 | $123M | 1 | 6 |
| L••••• E••• A••••••• CRD 328064 | Syosset, NY | independent RIA | $1.2B | 100% | 19 | $64.7M | 5 | 0 |
| C••••• P••••••• M••••••••• L•• CRD 109534 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 1 | 8 |
| H••••• P•••••••• L•• CRD 160681 | Tarrytown, NY | institutional | $1.2B | 0.8% | 0 | Not computed | 0 | 2 |
| P•••••• G••••• P••••••• CRD 293249 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 4 |
| W•••• I••••• C••••••• L•• CRD 113358 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 1 | 0 |
| I••••••• R••••••••• F••• A•••••• L•• CRD 310587 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 1 | 0 |
| S•••••• O• A••••• W••••• M••••••••• CRD 310448 | New York, NY | independent RIA | $1.2B | 100% | 10 | $122M | 2 | 0 |
| T•••• M••••• A•••• M••••••••• ••••• L••• CRD 158632 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 0 |
| B••••••••• C•••••• A•••••••• L•• CRD 312908 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 1 | 0 |
| B••••••••• F••• M••••••••• L•• CRD 286502 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 4 |
| B••••••• C•••••• P••••••• CRD 321224 | New York, NY | other | $1.2B | 0.0% | 0 | Not computed | 0 | 3 |
| F••••••• R• L••• M•••••• S••••• CRD 314505 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 3 |
| G••••• E•••••••• U••• L•• CRD 161677 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 2 |
| P•••• C•••••• M••••••••• ••• I••• CRD 323283 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 1 | 3 |
| C••••••••• A•••••••• L•• CRD 124122 | Victor, NY | independent RIA | $1.2B | 97% | 9 | $131M | 0 | 0 |
| C•••• L••• P••••••• L• CRD 297215 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 4 |
| A•••• A•••••• L•• CRD 160635 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 20 |
| O•••••• C•••••• A••••••• L• CRD 306424 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 4 |
| A•••• P•• M••••••••• C••••••• L•• CRD 333812 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 1 | 0 |
| W••••••••• S•••••• C•••••• M••••••••• L•• CRD 150529 | New York, NY | independent RIA | $1.2B | 75% | 12 | $97.8M | 1 | 0 |
| W••••• T••• C•••••• C••• A••••••• L•• CRD 328528 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 2 | 0 |
| V•• F••• M••••••••• L•• CRD 156600 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 13 |
| S•••• C•••••• CRD 287867 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 51 |
| R••••• C•••••••• A•••• M••••••••• I•• CRD 161648 | Syracuse, NY | independent RIA | $1.2B | 78% | 5 | $232M | 0 | 0 |
| K•••••• L•••• C•••••• H••••••• L•• CRD 324025 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 2 | 0 |
| G••••••••• C•••••• M••••••••• L•• CRD 128523 | Pittsford, NY | other | $1.2B | 15% | 2 | $577M | 1 | 0 |
| K••••••• F•••••••• A•••••••• L•• CRD 126021 | New York, NY | independent RIA | $1.2B | 99% | 4 | $288M | 1 | 0 |
| A•• P••••••• L•• CRD 283146 | New York, NY | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 34 |
| C•••• P••••••• M••••••••• L•• CRD 161571 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 3 |
| 1•• C•••••• A•••••••• L•• CRD 298723 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 0 |
| M••• A•••• M••••••••• L• CRD 105691 | New York, NY | mixed wealth | $1.1B | 38% | 0 | Not computed | 0 | 2 |
| S••••••• I•••••••• L• CRD 311318 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 1 | 2 |
| 7•• C••••••• L•• CRD 164742 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 32 |
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.