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 |
|---|---|---|---|---|---|---|---|---|
| Capacuity LLC CRD 297679 | Lake Mary, FL | other | $14B | 0.0% | 11 | $1.3B | 2 | 0 |
| Madison Investment Advisors, LLC CRD 110297 | Madison, WI | mixed wealth | $14B | 46% | 20 | $692M | 1 | 0 |
| Columbia Capital CRD 159616 | Alexandria, VA | asset manager | $14B | 0.0% | 0 | n/a | 0 | 0 |
| G•••••• P•••••••• L•• CRD 108668 | Chicago, IL | mixed wealth | $14B | 23% | 2 | $6.9B | 1 | 53 |
| G•••••• S•••• A•••• M••••••••• ••••••••• P••• L••• CRD 286067 | S••••••••, | other | $14B | 0.0% | 0 | n/a | 0 | 0 |
| D•••• M•••••• C•••••• M••••••••• L•• CRD 108658 | Chicago, IL | other | $14B | 1.5% | 0 | n/a | 2 | 0 |
| S•••••• C•••••• L•• CRD 324899 | Indianapolis, IN | independent RIA | $14B | 86% | 36 | $382M | 4 | 0 |
| T•••••• A•••• M••••••••• CRD 161610 | Seoul, | other | $14B | 0.0% | 0 | n/a | 0 | 0 |
| A••••••• A••••••• S•••••••• L•• CRD 317245 | Lincoln, NE | BD affiliated | $14B | 96% | 549 | $25.0M | 247 | 0 |
| A••••• C•••••• M••••••••• L••• CRD 155729 | Boston, MA | asset manager | $14B | 0.0% | 0 | n/a | 1 | 8 |
| A••••••• C••••••• L•• CRD 135986 | Greenwich, CT | asset manager | $14B | 0.0% | 0 | n/a | 1 | 3 |
| C••••••••• I••••••••• C••••••••• L•• CRD 108253 | New York, NY | other | $14B | 0.0% | 1 | $14B | 0 | 0 |
| P•••••••• V•••••• P•••••••• L•• CRD 326747 | Menlo Park, CA | asset manager | $14B | 0.0% | 1 | $14B | 11 | 68 |
| C••••••••• I••••••••• M••••••••• L•• CRD 290078 | Conshohocken, PA | institutional | $14B | 0.0% | 0 | n/a | 4 | 19 |
| C•••••• A•••• M••••••••• I••••••••• L•••••• CRD 161061 | Dublin 2, | asset manager | $14B | 0.0% | 0 | n/a | 0 | 23 |
| M••••• U• CRD 300152 | Boston, MA | asset manager | $14B | 0.0% | 0 | n/a | 2 | 0 |
| J•• M••••••••• L••• CRD 158344 | Baltimore, MD | asset manager | $14B | 0.0% | 0 | n/a | 2 | 20 |
| A•••• C•••••• A••••••• L•• CRD 154091 | New York, NY | asset manager | $14B | 0.0% | 0 | n/a | 0 | 2 |
| A••••••• C•••••• P•••••••• L•• CRD 161228 | Boston, MA | asset manager | $14B | 0.0% | 0 | n/a | 0 | 16 |
| A•••••••• P••••••• L•••••• CRD 299380 | Sydney, | asset manager | $14B | 0.0% | 0 | n/a | 0 | 0 |
| T•• R•••••••• C•••••• CRD 160523 | New York, NY | asset manager | $14B | 0.0% | 0 | n/a | 12 | 123 |
| A•••• A•••••••• CRD 153905 | Newtown Square, PA | asset manager | $14B | 6.3% | 5 | $2.7B | 0 | 0 |
| T•••••••• I••••••••• L• CRD 170476 | Stamford, CT | other | $13B | 0.0% | 0 | n/a | 0 | 2 |
| P••••••• E••••••••• C•••••• L•• CRD 304667 | Chicago, IL | asset manager | $13B | 0.0% | 0 | n/a | 0 | 2 |
| K••••• P•••••• W••••• S•••••••• L•• CRD 155193 | Austin, TX | BD affiliated | $13B | 97% | 208 | $64.7M | 42 | 0 |
| T•• M••••• G••••• L•• CRD 156005 | Chicago, IL | independent RIA | $13B | 100% | 112 | $120M | 62 | 0 |
| S•• P•••••••• L•• CRD 291048 | Menlo Park, CA | asset manager | $13B | 0.0% | 0 | n/a | 3 | 0 |
| H••••• C•••••• M••••••••• L•• CRD 159798 | Pearl River, NY | asset manager | $13B | 0.0% | 0 | n/a | 0 | 1 |
| A••••• CRD 165926 | Irvine, CA | independent RIA | $13B | 100% | 14 | $956M | 0 | 0 |
| C•••••• F••• M••••••••• S••• CRD 125780 | Paris, | asset manager | $13B | 0.0% | 0 | n/a | 0 | 3 |
| E•••• P••••••• V•• L•• CRD 283031 | Austin, TX | asset manager | $13B | 0.0% | 0 | n/a | 1 | 65 |
| P•••••••• C•••••• P••••••• CRD 157398 | San Francisco, CA | asset manager | $13B | 0.0% | 0 | n/a | 2 | 14 |
| G•••••• G••••• A•••• M••••••••• L•••••• CRD 301825 | Hong Kong, Hong Kong, | asset manager | $13B | 0.0% | 0 | n/a | 0 | 0 |
| F•••• S•••••• I•••••••• ••• I• L•••••• CRD 281323 | Edinburgh, | asset manager | $13B | 0.0% | 0 | n/a | 1 | 0 |
| E•••• P•••• C••••• M••••••••• L•• CRD 166370 | Greenwich, CT | other | $13B | 0.0% | 0 | n/a | 0 | 21 |
| A••• A••••••••• M••••••••• L•• CRD 141481 | San Francisco, CA | asset manager | $13B | 0.0% | 0 | n/a | 3 | 131 |
| R•••••• R•••• A•••• M••••••••• ••• L•• CRD 284256 | London, | asset manager | $13B | 0.0% | 0 | n/a | 5 | 29 |
| B••••••••• L••• S••••••• A••••••• L••••• CRD 304477 | Cambridge, MA | asset manager | $13B | 0.0% | 0 | n/a | 0 | 9 |
| N•••••• M••••••••• I••• CRD 290100 | Brossard, Quebec, | asset manager | $13B | 0.0% | 0 | n/a | 2 | 28 |
| G•• C•••••• L•••••• CRD 269881 | London, | asset manager | $13B | 0.2% | 0 | n/a | 0 | 2 |
| S•••• C•••••• I••••••••• L•• CRD 294402 | Denver, CO | asset manager | $13B | 0.0% | 4 | $3.3B | 1 | 0 |
| R•••••••• CRD 156630 | Boston, MA | asset manager | $13B | 0.0% | 0 | n/a | 3 | 39 |
| I•••••• M••••••••• L•• CRD 168741 | Boston, MA | asset manager | $13B | 0.0% | 0 | n/a | 4 | 40 |
| P••• A••••••• G••••• L•• CRD 108860 | Los Angeles, CA | other | $13B | 0.0% | 0 | n/a | 0 | 12 |
| J•••• H••••• • P••••••• L•• CRD 286283 | London, | independent RIA | $13B | 52% | 0 | n/a | 3 | 0 |
| D•••••• I••••••••• A•••••••• L•• CRD 132824 | Bloomington, MN | other | $13B | 0.0% | 2 | $6.5B | 0 | 0 |
| W•••• R••• C•••••• M••••••••• CRD 140746 | Boston, MA | asset manager | $13B | 0.0% | 0 | n/a | 0 | 8 |
| A••••••• I••••••••• A•••••••• L•• CRD 120632 | Needham, MA | institutional | $13B | 0.0% | 42 | $309M | 0 | 0 |
| C•••••••• I••••••••• P•••••••• L•• CRD 170335 | Berwyn, PA | other | $13B | 0.3% | 1 | $13B | 0 | 1 |
| S•••••• T•••• C• CRD 106590 | Houston, TX | independent RIA | $13B | 72% | 15 | $864M | 0 | 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.