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.
1,078 advisers match
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Alka Partners, LLC CRD 338183 | Farmers Branch, TX | asset manager | $2 | 0.0% | 0 | Not computed | 0 | 0 |
| Higginbotham Retirement Advisors, Inc. CRD 128561 | Houston, TX | no RAUM | $0 | n/a | 3 | Not computed | 0 | 0 |
| Alphaengine Global Investment Solution LLC CRD 143002 | Plano, TX | no RAUM | $0 | n/a | 0 | Not computed | 1 | 0 |
| R•••••••• A•••• M••••••••• L•• CRD 147691 | Houston, TX | no RAUM | $0 | n/a | 0 | Not computed | 0 | 4 |
| B••• I••••••••• G••••• I••• CRD 150102 | Austin, TX | no RAUM | $0 | n/a | 1 | Not computed | 0 | 0 |
| K••••• I••••••••• S•••••••• L•• CRD 151790 | Austin, TX | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| P•••••• E••••• M••••••••• L•• CRD 163214 | Southlake, TX | no RAUM | $0 | n/a | 0 | Not computed | 0 | 1 |
| S•••••••• C••••••• L• CRD 285437 | San Antonio, TX | no RAUM | $0 | n/a | 1 | Not computed | 1 | 0 |
| I••••••••• F••••• O•••••• L•• CRD 301900 | Houston, TX | no RAUM | $0 | n/a | 4 | Not computed | 1 | 0 |
| A••••• W••••• CRD 304612 | Houston, TX | no RAUM | $0 | n/a | 13 | Not computed | 10 | 0 |
| K••• C•••••• I•• CRD 315355 | Houston, TX | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| A••••••• A•••• M••••••••• L•• CRD 318126 | Dallas, TX | no RAUM | $0 | n/a | 10 | Not computed | 0 | 0 |
| W•••• R••• R•••••••• H•••••••• L•• CRD 332560 | Plano, TX | no RAUM | $0 | n/a | 0 | Not computed | 0 | 2 |
| Q••••••• W••••• A•••• M••••••••• L•• CRD 336552 | Dallas, TX | no RAUM | $0 | n/a | 1 | Not computed | 0 | 0 |
| O•• I••••••••• A••••••• L• CRD 338375 | Austin, TX | no RAUM | $0 | n/a | 1 | Not computed | 0 | 1 |
| S•••••••• F••••• I••• CRD 338557 | San Antonio, TX | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| 8•• F••••• O•••••• L•• CRD 339082 | Austin, TX | no RAUM | $0 | n/a | 3 | Not computed | 0 | 0 |
| S•• CRD 339313 | Houston, TX | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| V••••••• CRD 341821 | Austin, TX | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| C••••••••• A••••••• L•• CRD 342087 | Frisco, TX | no RAUM | $0 | n/a | 1 | Not computed | 0 | 0 |
| U•• M••••••••• L• CRD 342664 | Houston, TX | no RAUM | $0 | n/a | 0 | Not computed | 0 | 3 |
| H••••••• H••• W••••• P••••••• L•• CRD 342736 | New Braunfels, TX | no RAUM | $0 | n/a | 3 | Not computed | 0 | 0 |
| P••••• S••••• F•••••••• G••••• L•• CRD 342737 | Houston, TX | no RAUM | $0 | n/a | 1 | Not computed | 0 | 0 |
| E••••••• C•••••• F••• M••••••••• L• CRD 342911 | Dallas, TX | no RAUM | $0 | n/a | 0 | Not computed | 1 | 0 |
| L•••••• V••••••• CRD 342997 | Houston, TX | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| S••• I••••••••• A••••••• S••••••• L•• CRD 156155 | Austin, TX | no RAUM | Not disclosed | n/a | 5 | Not computed | 3 | 0 |
| I•••••••• C•••••• CRD 333275 | Dallas, TX | no RAUM | Not disclosed | n/a | 1 | Not computed | 0 | 0 |
| U••• I••••••••• S••••••• C•••••• CRD 5475 | San Antonio, TX | no RAUM | Not disclosed | n/a | 108 | Not computed | 4 | 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.
Page 22 of 22Previous