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 |
|---|---|---|---|---|---|---|---|---|
| Icapital Fund Advisors LLC CRD 330352 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 1 | 0 |
| Orkila Management, LLC CRD 171242 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 1 | 17 |
| Ellevest CRD 175476 | New York, NY | independent RIA | $1.1B | 97% | 13 | $87.0M | 12 | 0 |
| E••• P•••••••• A•••••••• L•• CRD 158273 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 2 | 10 |
| T•••••• •••• L•• CRD 305501 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 20 |
| I••••••••• A••••••• R••••• I••••••••• L•• CRD 306860 | New York, NY | other | $1.1B | 0.0% | 0 | Not computed | 1 | 3 |
| B•••••••• R••••• A••••••• I•• CRD 109457 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 4 | 3 |
| O•••••••• M••••••••• C••••••••• CRD 117884 | New York, NY | independent RIA | $1.1B | 52% | 2 | $561M | 1 | 3 |
| M•••••• I••••••••• P••••••• CRD 335487 | New York, NY | institutional | $1.1B | 0.0% | 0 | Not computed | 0 | 1 |
| B••••••••• C•••••• M••••••••• L• CRD 329873 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 1 |
| L•••• C•••••• M••••••••• G••••• L••• CRD 299917 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 1 | 13 |
| P•• A••••••• S•••••••• L•• CRD 125648 | Albany, NY | independent RIA | $1.1B | 99% | 46 | $23.8M | 24 | 0 |
| M••••••• CRD 329275 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 2 | 4 |
| T•• L•••• P••••••• L• CRD 309678 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 1 |
| K••• W••••• M••••••••• G••••• L•• CRD 159550 | Saratoga Springs, NY | independent RIA | $1.1B | 97% | 9 | $120M | 2 | 0 |
| T•••• CRD 290111 | New York, NY | independent RIA | $1.1B | 100% | 9 | $120M | 0 | 0 |
| M••••••• C•••••• CRD 161112 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 4 |
| P•••••• A••••••• L•• CRD 310612 | New York, NY | institutional | $1.1B | 0.4% | 0 | Not computed | 0 | 0 |
| P•••••••• C•••••• M••••••••• L• CRD 312827 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 1 |
| P•••• A•••••••• L•• CRD 158297 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 1 | 1 |
| B•••••• I••••••••• A••••••• CRD 163519 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 9 |
| S••• C•••••• M••••••••• L• CRD 152164 | New York, NY | asset manager | $1.1B | 0.3% | 0 | Not computed | 0 | 5 |
| A••••••••• C•••••• M••••••••• I••• CRD 151590 | Pittsford, NY | independent RIA | $1.1B | 85% | 6 | $176M | 0 | 0 |
| G•••••• A•••• M••••••••• L•• CRD 104548 | New York, NY | independent RIA | $1.1B | 65% | 4 | $264M | 4 | 0 |
| F•••••• 3• C•••••• L•• CRD 170786 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 2 | 18 |
| N••••• I••••••••• M••••••••• N•••• A••••••• I••• CRD 116837 | New York, NY | institutional | $1.1B | 0.0% | 0 | Not computed | 0 | 0 |
| W•••••••• C•••••• M••••••••• L• CRD 288534 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 1 | 1 |
| P•••••• U•• L•••••• CRD 159788 | New York, NY | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 0 |
| M••• R••• E••••• C••••• S••••••••• L••• CRD 167609 | New York, NY | asset manager | $1.0B | 0.0% | 0 | Not computed | 2 | 11 |
| M••••••• L•• CRD 333038 | New York, NY | independent RIA | $1.0B | 100% | 10 | $105M | 0 | 0 |
| H••• P••••••••• A•••••••• L•• CRD 289541 | Pittsford, NY | independent RIA | $1.0B | 85% | 8 | $131M | 3 | 0 |
| S••••• C•••••• P••••••• L•• CRD 163081 | New York, NY | asset manager | $1.0B | 0.0% | 0 | Not computed | 0 | 36 |
| S••••••• I••••••••• C••••••• L•• CRD 282624 | Buffalo, NY | independent RIA | $1.0B | 94% | 5 | $207M | 0 | 0 |
| T•••••• CRD 281280 | New York, NY | asset manager | $1.0B | 0.0% | 0 | Not computed | 0 | 3 |
| J•••••••• • C••••••• I••• CRD 107835 | Dewitt, NY | independent RIA | $1.0B | 86% | 5 | $205M | 2 | 0 |
| V••••••• A••••••• L•• CRD 284173 | New York, NY | mixed wealth | $1.0B | 34% | 8 | $128M | 0 | 0 |
| T••••• S••••• P••••••• M••••••••• L•• CRD 170763 | New York, NY | asset manager | $1.0B | 0.0% | 0 | Not computed | 0 | 24 |
| S•• M••• C•••••• L••••• CRD 156472 | Briarcliff Manor, NY | asset manager | $1.0B | 0.0% | 0 | Not computed | 0 | 10 |
| R•••••• C••••••• L•• CRD 298178 | New York, NY | asset manager | $1.0B | 0.0% | 0 | Not computed | 0 | 0 |
| A••••• G•••• P••••••• L•• CRD 157485 | New York, NY | asset manager | $1.0B | 0.0% | 0 | Not computed | 5 | 0 |
| N••••••• C•••••• A••••••• L• CRD 138930 | New York, NY | asset manager | $1.0B | 0.0% | 0 | Not computed | 0 | 3 |
| I••••••• C••••••• L•• CRD 307544 | New York, NY | other | $1.0B | 0.0% | 0 | Not computed | 2 | 4 |
| 1•• C•••••• P••••••• CRD 332547 | New York, NY | other | $1.0B | 0.0% | 0 | Not computed | 0 | 0 |
| V•••••• A•••• M••••••••• CRD 137772 | New York, NY | mixed wealth | $1.0B | 48% | 2 | $505M | 1 | 0 |
| N••••• A•••• M••••••••• U••••• I••• CRD 108222 | New York, NY | asset manager | $1.0B | 0.0% | 0 | Not computed | 0 | 0 |
| T•• N•••••••• G••••• I••• CRD 110409 | New York, NY | independent RIA | $1.0B | 98% | 5 | $202M | 0 | 0 |
| T•• Q••••• L• CRD 323449 | New York, NY | asset manager | $1.0B | 0.0% | 0 | Not computed | 0 | 1 |
| F••••••• A••••••• L•• CRD 338396 | Melville, NY | asset manager | $1.0B | 0.0% | 0 | Not computed | 0 | 15 |
| S•••• CRD 308909 | New York, NY | independent RIA | $1.0B | 100% | 3 | $334M | 0 | 0 |
| D••••• P••••••• CRD 339430 | New York, NY | asset manager | $999M | 0.0% | 0 | Not computed | 2 | 1 |
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.