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 |
|---|---|---|---|---|---|---|---|---|
| Tishman Capital Partners CRD 241788 | New York, NY | mixed wealth | $998M | 44% | 0 | Not computed | 0 | 4 |
| Passive Capital Management, LLC CRD 142870 | Syracuse, NY | independent RIA | $997M | 83% | 9 | $111M | 2 | 0 |
| Five Arrows Managers (USA) LLC CRD 286195 | New York, NY | asset manager | $994M | 0.0% | 0 | Not computed | 1 | 2 |
| C••••• A•••• M••••••••• CRD 337596 | New York, NY | asset manager | $989M | 0.0% | 0 | Not computed | 0 | 0 |
| S••••••• A••••••• L•• CRD 319598 | New York, NY | asset manager | $989M | 0.0% | 0 | Not computed | 1 | 0 |
| M•• G••••• P•••••• M•••••• •••• I••• CRD 284066 | New York, NY | asset manager | $988M | 0.0% | 0 | Not computed | 0 | 0 |
| F••• C•••••• P•••••••• L••• CRD 156889 | New York, NY | asset manager | $986M | 0.0% | 0 | Not computed | 2 | 2 |
| P••••• I••••••••• U• L•• CRD 299672 | New York, NY | asset manager | $985M | 0.0% | 0 | Not computed | 0 | 11 |
| A•••••• P•••••••• A••••••• L•• CRD 288271 | New York, NY | other | $978M | 10% | 9 | $109M | 3 | 0 |
| K••••••• C•••••• P•••••••• L••• CRD 305812 | New York, NY | asset manager | $977M | 0.0% | 0 | Not computed | 0 | 13 |
| N•••• S•••••• L• CRD 333933 | New York, NY | asset manager | $976M | 0.0% | 0 | Not computed | 0 | 2 |
| L•••• F•••••••• A•••••••• I••• CRD 110641 | East Amherst, NY | independent RIA | $975M | 100% | 8 | $122M | 5 | 0 |
| S••••••• A•••• M••••••••• L•• CRD 143519 | New York, NY | independent RIA | $975M | 96% | 5 | $195M | 0 | 0 |
| L•••••••• G••••• A•••••••• L•• CRD 283303 | Hauppauge, NY | independent RIA | $972M | 89% | 26 | $37.4M | 10 | 0 |
| C••••••• P••••••• L•• CRD 131570 | New York, NY | institutional | $972M | 9.9% | 0 | Not computed | 0 | 0 |
| C••••• R••• E••••• P••••••• CRD 323210 | New York, NY | asset manager | $970M | 0.0% | 0 | Not computed | 1 | 20 |
| F•••• S•••••• I•••••••• ••• L•• CRD 170739 | New York, NY | asset manager | $969M | 0.0% | 0 | Not computed | 0 | 8 |
| O•••• C•••••• A••••••• L•• CRD 307619 | New York, NY | other | $967M | 4.0% | 7 | $138M | 0 | 0 |
| P•••••••• H••••••••• C•••••• M••••••••• L• CRD 288664 | New York, NY | asset manager | $966M | 0.0% | 0 | Not computed | 0 | 4 |
| C••••• C•••••• L•• CRD 305220 | New York, NY | asset manager | $965M | 0.0% | 0 | Not computed | 0 | 3 |
| G•••• • W••••• I•• CRD 110761 | New York, NY | independent RIA | $964M | 95% | 0 | Not computed | 0 | 0 |
| C•••••••• C•••••• L•• CRD 329206 | New York, NY | asset manager | $960M | 0.0% | 0 | Not computed | 1 | 4 |
| K•••••• C•••••• M••••••••• L••••• CRD 157509 | New York, NY | asset manager | $960M | 0.0% | 0 | Not computed | 0 | 8 |
| M•••••• W••••• M••••••••• CRD 325523 | Brooklyn, NY | independent RIA | $959M | 97% | 38 | $25.2M | 19 | 0 |
| E•• M••••••••• L••• CRD 158090 | New York, NY | asset manager | $957M | 0.0% | 0 | Not computed | 0 | 6 |
| C•••••• C•••••• M••••••••• L••• CRD 157029 | New York, NY | asset manager | $957M | 0.0% | 0 | Not computed | 0 | 6 |
| V•• A•••••••• L•• CRD 301023 | New York, NY | asset manager | $957M | 0.0% | 0 | Not computed | 4 | 0 |
| R••••• M••••••••• L••• CRD 305465 | New York, NY | asset manager | $956M | 0.0% | 0 | Not computed | 0 | 3 |
| F•••••••• G••••• I••••••••• I••• CRD 281818 | Purchase, NY | institutional | $955M | 2.1% | 0 | Not computed | 0 | 0 |
| E••••••• P•••••••• L••• CRD 334067 | New York, NY | asset manager | $950M | 0.0% | 0 | Not computed | 0 | 4 |
| R•••••• • C•••••• A•••••••• L•• CRD 128093 | New York, NY | mixed wealth | $950M | 38% | 4 | $237M | 0 | 4 |
| H•••••••• C•••••• CRD 163598 | New York, NY | asset manager | $949M | 0.0% | 0 | Not computed | 0 | 6 |
| A•••••• A•••••••• L•• CRD 114238 | Pittsford, NY | independent RIA | $943M | 86% | 2 | $471M | 0 | 0 |
| V•••• S••••• C•••••• P••••••• CRD 285544 | New York, NY | asset manager | $942M | 0.0% | 0 | Not computed | 1 | 17 |
| F•••• A••••••••• I•• CRD 107562 | Troy, NY | independent RIA | $941M | 96% | 3 | $314M | 0 | 0 |
| D•••••• C•••••• P•••••••• L•• CRD 338965 | Pittsford, NY | other | $940M | 0.0% | 0 | Not computed | 0 | 0 |
| C• C•••••• I•••••••• A••••••• L•• CRD 334723 | New York, NY | asset manager | $937M | 0.0% | 0 | Not computed | 0 | 1 |
| E•••••••• C•••••• M••••••••• L•• CRD 128856 | New York, NY | independent RIA | $933M | 81% | 1 | $933M | 1 | 0 |
| F••••• F•••••••• G••••• I••• CRD 126524 | Melville, NY | independent RIA | $932M | 99% | 6 | $155M | 4 | 0 |
| B••••••• S••••••••• C•••• CRD 3875 | Rochester, NY | independent RIA | $931M | 97% | 22 | $42.3M | 2 | 0 |
| O••••••••• I••••••••• M••••••••• L•• CRD 133243 | New York, NY | other | $929M | 0.0% | 0 | Not computed | 1 | 0 |
| O••• I••••••••• M••••••••• L•• CRD 316847 | New York, NY | asset manager | $929M | 0.0% | 1 | $929M | 0 | 29 |
| P•••• I••••••••• M••••••••• L• CRD 282517 | Garden City, NY | asset manager | $928M | 1.5% | 6 | $155M | 0 | 0 |
| M••••••••• L•• CRD 173553 | New York, NY | asset manager | $923M | 0.0% | 0 | Not computed | 6 | 41 |
| B•••••• I••••••••• P••••••• L•• CRD 323251 | New York, NY | asset manager | $920M | 0.0% | 0 | Not computed | 0 | 0 |
| C•••••• P•••• • C••••••• L••••• CRD 104864 | New York, NY | independent RIA | $916M | 73% | 1 | $916M | 0 | 1 |
| D••• E•••••••• L•• CRD 159102 | New York, NY | asset manager | $915M | 0.0% | 0 | Not computed | 0 | 15 |
| M••••• A•••• M••••••••• L• CRD 286065 | New York, NY | asset manager | $915M | 0.0% | 0 | Not computed | 0 | 6 |
| B••••••••• A•••• M••••••••• P•• B••• L•• CRD 312797 | New York, NY | asset manager | $912M | 0.0% | 0 | Not computed | 28 | 1 |
| T••••• W••••• A•••••••• I••• CRD 3618 | Buffalo, NY | independent RIA | $911M | 92% | 13 | $70.1M | 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.