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 |
|---|---|---|---|---|---|---|---|---|
| Alphacore Capital LLC CRD 174346 | La Jolla, CA | independent RIA | $13B | 96% | 65 | $199M | 30 | 0 |
| Valeo Financial Advisors, LLC CRD 127132 | Carmel, IN | independent RIA | $13B | 98% | 108 | $120M | 16 | 0 |
| Ivy Hill Asset Management, L.P. CRD 161608 | New York, NY | asset manager | $13B | 0.0% | 0 | n/a | 1 | 18 |
| S•••• F••• I••••••••• M••••••••• C•••• CRD 3487 | Bloomington, IL | asset manager | $13B | 3.7% | 7,054 | $1.8M | 6,443 | 0 |
| M•••••••• B••••• I••••••••• I••• CRD 154475 | Montreal, Quebec, | other | $13B | 0.2% | 4 | $3.2B | 5 | 2 |
| I••••••••• F•••••••• G••••• L•• CRD 7717 | San Diego, CA | BD affiliated | $13B | 95% | 484 | $26.7M | 312 | 0 |
| G••••• E•••••••• M••••••••• L• CRD 157772 | Charlotte, NC | asset manager | $13B | 0.0% | 0 | n/a | 1 | 148 |
| P•••••• A•••• M••••••••• CRD 305066 | London, | asset manager | $13B | 0.0% | 0 | n/a | 0 | 2 |
| N•••••• C•••••• L••• CRD 132780 | Hamilton, | asset manager | $13B | 0.0% | 0 | n/a | 0 | 27 |
| N•••••• A••••••• L•• CRD 156905 | Nashville, TN | asset manager | $13B | 0.0% | 0 | n/a | 0 | 0 |
| C••••••• S••••••••• I••• CRD 39550 | Johnston, RI | BD affiliated | $13B | 98% | 782 | $16.5M | 993 | 0 |
| M•• C•••••• M••••••••• L••••• CRD 113851 | New York, NY | other | $13B | 0.0% | 0 | n/a | 3 | 2 |
| L•••••• W•••••• • C••••••• F•••••••• A•••••••• L•• CRD 107153 | Boston, MA | independent RIA | $13B | 95% | 10 | $1.3B | 0 | 0 |
| P••• C•••••• M••••••••• I••• CRD 111765 | Seattle, WA | institutional | $13B | 0.0% | 4 | $3.2B | 0 | 1 |
| A•••• I••••••••• L•• CRD 108211 | Chicago, IL | other | $13B | 11% | 6 | $2.1B | 2 | 3 |
| F••••••• T•••••••• I••••••••• C•••• CRD 111364 | Toronto (Ontario), | asset manager | $13B | 0.1% | 0 | n/a | 2 | 0 |
| U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• CRD 20804 | Scottsdale, AZ | independent RIA | $13B | 96% | 364 | $35.1M | 209 | 0 |
| C••• I••••••••• A••••••• S•••••••• L•• CRD 286002 | Cleveland, OH | institutional | $13B | 5.7% | 91 | $140M | 23 | 0 |
| B••••••••• C•••••• M••••••••• L•• CRD 141413 | Wheaton, IL | independent RIA | $13B | 99% | 332 | $38.4M | 271 | 0 |
| D••• • P••••• I••••••••• M••••••••• C•• CRD 107296 | Chicago, IL | asset manager | $13B | 0.0% | 2 | $6.4B | 2 | 0 |
| L••••••• I••••••••• M••••••••• L•• CRD 324295 | London, | asset manager | $13B | 0.0% | 0 | n/a | 0 | 3 |
| G•••• I••••••••• S•••••••• L•• CRD 281515 | San Francisco, CA | institutional | $13B | 0.0% | 0 | n/a | 1 | 0 |
| F•••• T•••• C•••••• M••••••••• L••• CRD 317825 | Chicago, IL | asset manager | $13B | 0.0% | 0 | n/a | 1 | 15 |
| L• P•••• E••••• A•••••••• L•• CRD 158272 | New York, NY | asset manager | $13B | 0.0% | 0 | n/a | 4 | 9 |
| F•••• E•••• A••••••••• C•••••• L•• CRD 150900 | Boston, MA | asset manager | $13B | 0.0% | 0 | n/a | 2 | 70 |
| A••••••• P•••••••• I••• CRD 110049 | Boston, MA | other | $13B | 18% | 31 | $405M | 0 | 0 |
| T•• C•••••• G••••• L•• CRD 124272 | Boise, ID | independent RIA | $12B | 91% | 49 | $255M | 11 | 0 |
| W••••••• J•••• W••••• M••••••••• L•• CRD 301925 | New York, NY | independent RIA | $12B | 89% | 21 | $594M | 2 | 8 |
| W••••••• M••••••••• C••• CRD 110269 | Dallas, TX | other | $12B | 2.2% | 13 | $958M | 2 | 0 |
| P••••••• F•••••••• S•••••••• I••• CRD 10740 | Dallas, TX | BD affiliated | $12B | 86% | 269 | $46.2M | 139 | 0 |
| M•• P••••••• M••••••••• L• CRD 291755 | Boston, MA | asset manager | $12B | 0.0% | 0 | n/a | 0 | 1 |
| R•••• I••••••••• P••••••• CRD 107689 | New York, NY | asset manager | $12B | 1.4% | 1 | $12B | 1 | 1 |
| O•••• C•••••• P••••••• •••••• I••• CRD 171703 | Austin, TX | asset manager | $12B | 0.0% | 0 | n/a | 3 | 10 |
| N•••••••• B••••• C••••• U•• CRD 284803 | Toronto, Ontario, | mixed wealth | $12B | 39% | 0 | n/a | 0 | 1 |
| S•••• P•••• C•• C••••• L•• CRD 293256 | New York, NY | asset manager | $12B | 0.0% | 0 | n/a | 3 | 24 |
| N•••••••• C•••••• CRD 332305 | Sydney, New South Wales, | other | $12B | 0.0% | 0 | n/a | 1 | 0 |
| R•••••• A•••• M••••••••• I••• CRD 110637 | New York, NY | other | $12B | 1.6% | 3 | $4.1B | 1 | 5 |
| A••••••• M••••••••• H••••••• L• CRD 327352 | New York, NY | asset manager | $12B | 0.0% | 0 | n/a | 2 | 33 |
| V•••••• N••••• I••••••••• M••••••••• L••• CRD 106975 | Houston, TX | other | $12B | 4.0% | 6 | $2.0B | 1 | 1 |
| B•• C•• M••••••••• L•• CRD 304962 | New York, NY | asset manager | $12B | 0.0% | 0 | n/a | 4 | 22 |
| P•••••• P•••••• F••• A••••••• L•• CRD 168830 | Newport Beach, CA | asset manager | $12B | 0.0% | 0 | n/a | 0 | 17 |
| A•••••••• G••••• A•••••••• L•• CRD 109678 | Stamford, CT | asset manager | $12B | 0.0% | 0 | n/a | 0 | 3 |
| A••••••• C•••••• M••••••••• L•• CRD 112266 | Ridgewood, NJ | independent RIA | $12B | 93% | 59 | $207M | 23 | 0 |
| H•••••••• C•••••• L•• CRD 289306 | London, | asset manager | $12B | 0.0% | 0 | n/a | 1 | 8 |
| H•••••••• C•••••• M••••••••• L•• CRD 109537 | Morris Plains, NJ | institutional | $12B | 0.0% | 0 | n/a | 0 | 0 |
| N•••••••• P•••••••• L•• CRD 167908 | Minneapolis, MN | independent RIA | $12B | 99% | 91 | $134M | 24 | 0 |
| L•• CRD 107341 | Seattle, WA | independent RIA | $12B | 87% | 59 | $207M | 4 | 3 |
| I••••••••• R••• E••••• C••••••••• CRD 112332 | Boston, MA | asset manager | $12B | 0.0% | 0 | n/a | 10 | 0 |
| M•••• • P•••• CRD 110351 | St. Paul, MN | mixed wealth | $12B | 37% | 16 | $759M | 0 | 2 |
| C•••••••• I••••••••• M••••••••• L•• CRD 305060 | Charlotte, NC | asset manager | $12B | 0.0% | 0 | n/a | 2 | 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.