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 |
|---|---|---|---|---|---|---|---|---|
| Conrad Siegel Investment Advisors CRD 123560 | Harrisburg, PA | institutional | $12B | 7.8% | 24 | $505M | 2 | 0 |
| Gilder Gagnon Howe & Co. LLC CRD 2002 | New York, NY | independent RIA | $12B | 79% | 32 | $379M | 11 | 0 |
| Soltis Investment Advisors, LLC CRD 154690 | St. George, UT | independent RIA | $12B | 57% | 81 | $149M | 19 | 0 |
| T•• E••••• • M••••••• G•••• L• CRD 339275 | Houston, TX | asset manager | $12B | 0.0% | 0 | n/a | 0 | 33 |
| F••••• M••••• W••••• A•••••••• L•• CRD 110905 | Springfield, MO | independent RIA | $12B | 92% | 81 | $148M | 65 | 0 |
| S•••• P••• C•••••• L• CRD 164751 | New York, NY | asset manager | $12B | 0.0% | 0 | n/a | 1 | 2 |
| P••••••••• C•••••• L• CRD 161110 | New York, NY | asset manager | $12B | 0.0% | 0 | n/a | 0 | 9 |
| C••••• C•••••• I•• CRD 158102 | New York, NY | asset manager | $12B | 0.0% | 0 | n/a | 0 | 0 |
| V••••••• S•••• F•••••••• A••••••• CRD 130668 | Zurich, | independent RIA | $12B | 81% | 5 | $2.4B | 4 | 0 |
| S••••••• P•••••• A•••••••• L••• CRD 109901 | Wakefield, MA | institutional | $12B | 9.5% | 54 | $221M | 23 | 0 |
| C•••••••• B••••••• I••••••••• S•••••••• I••• CRD 104604 | Chicago, IL | asset manager | $12B | 0.0% | 1 | $12B | 1 | 0 |
| C••••• C•••••• A••••••• L•• CRD 107922 | Dallas, TX | asset manager | $12B | 0.0% | 0 | n/a | 5 | 24 |
| C••••• C•• A••••••• L• CRD 226636 | Dallas, TX | asset manager | $12B | 0.0% | 0 | n/a | 2 | 27 |
| G••••••• L•••••• • C•• L•• CRD 141029 | New York, NY | asset manager | $12B | 0.0% | 0 | n/a | 0 | 33 |
| H•• I••••••••• P•••••••• L•• CRD 307956 | Austin, TX | independent RIA | $12B | 61% | 117 | $102M | 28 | 0 |
| L••••• L•••••••• C•••••• P•••••••• L•• CRD 140980 | Beverly Hills, CA | asset manager | $12B | 0.0% | 0 | n/a | 7 | 54 |
| P••••••• O••••••••• L• CRD 299210 | San Francisco, CA | asset manager | $12B | 0.0% | 0 | n/a | 2 | 8 |
| F•••• S•••••• I•••••••• ••• F•••• L•••••• CRD 171592 | London, | asset manager | $12B | 0.0% | 0 | n/a | 1 | 1 |
| F•• C•••••• CRD 159568 | San Francisco, CA | asset manager | $12B | 0.0% | 0 | n/a | 3 | 18 |
| S••••••••• A••••••• L•• CRD 134017 | Wilton, CT | asset manager | $12B | 1.0% | 5 | $2.4B | 0 | 0 |
| A••• C•••••• M••••••••• L•• CRD 109242 | Middleburg, VA | asset manager | $12B | 2.3% | 7 | $1.7B | 0 | 3 |
| E•••••• G••••• P••••••• L•• CRD 107940 | New York, NY | asset manager | $12B | 0.1% | 0 | n/a | 3 | 46 |
| 1•• V••••••• M••••••••• L•• CRD 162351 | San Francisco, CA | asset manager | $12B | 0.0% | 0 | n/a | 1 | 42 |
| O•••••• E••••• G••••••••• CRD 326704 | London, | other | $12B | 0.0% | 0 | n/a | 0 | 5 |
| P••••••••• A••••••• CRD 154703 | New York, NY | asset manager | $12B | 0.0% | 0 | n/a | 4 | 17 |
| S•••• A•••• M••••••••• C••• L••• CRD 134747 | Tokyo, | asset manager | $12B | 0.0% | 0 | n/a | 0 | 0 |
| K•••• H••• P••••••• L• CRD 283283 | Greenwich, CT | asset manager | $12B | 0.0% | 0 | n/a | 2 | 36 |
| Y••••••• A•••• M••••••••• L• CRD 164420 | Austin, TX | other | $12B | 11% | 4 | $2.9B | 0 | 1 |
| G•••• A•••• M••••••••• I••• CRD 104950 | Greenwich, CT | mixed wealth | $12B | 40% | 10 | $1.2B | 6 | 1 |
| B••••• A•••••••• L•• CRD 164944 | Vero Beach, FL | asset manager | $12B | 0.0% | 1 | $12B | 0 | 0 |
| W••••• C•••••• M••••••••• L••• CRD 130566 | London, | asset manager | $12B | 6.6% | 0 | n/a | 0 | 20 |
| B•••••••• C••••••• L•• CRD 319290 | Detroit, MI | institutional | $12B | 0.0% | 11 | $1.1B | 0 | 0 |
| G••••••••• A••••••••• I•• CRD 104729 | Purchase, NY | independent RIA | $12B | 72% | 1 | $12B | 0 | 0 |
| C• M•••• CRD 306128 | Warrendale, PA | institutional | $12B | 0.0% | 3 | $3.9B | 2 | 0 |
| T•• S•••••••• A••••••• CRD 313020 | Fort Worth, TX | asset manager | $12B | 0.0% | 2 | $5.8B | 9 | 26 |
| N•••••• M••••••••• U• I••• CRD 327243 | Brossard, Quebec, | asset manager | $12B | 0.0% | 0 | n/a | 1 | 0 |
| E•••••••• I••••••••• A••••••• CRD 133550 | Chicago, IL | asset manager | $12B | 0.0% | 0 | n/a | 2 | 3 |
| G•••••• I••••••••• A•••••••• L•• CRD 146681 | Cincinnati, OH | other | $12B | 14% | 10 | $1.2B | 2 | 0 |
| C••• C••••••• L•• CRD 134249 | Chicago, IL | independent RIA | $12B | 72% | 97 | $119M | 10 | 17 |
| C••••• C•••••• M••••••••• L•• CRD 113128 | New York, NY | independent RIA | $12B | 52% | 0 | n/a | 0 | 3 |
| K•••• F•••• A•••••••• L•• CRD 157103 | New York, NY | asset manager | $12B | 0.0% | 0 | n/a | 0 | 0 |
| A•••••• W••••• M••••••••• L•• CRD 291902 | Mount Pleasant, SC | independent RIA | $12B | 96% | 144 | $80.3M | 51 | 0 |
| C••• I••••••••• M••••••••• I••••••••• I••• CRD 158495 | Toronto, Ontario, | other | $12B | 0.0% | 0 | n/a | 2 | 3 |
| K•••••• L•••• M••••••••• L• CRD 290399 | New York, NY | asset manager | $12B | 0.0% | 0 | n/a | 4 | 19 |
| S••••••••• I••••••••• M••••••••• L•• CRD 106355 | Toronto, Ontario, | asset manager | $12B | 0.3% | 0 | n/a | 0 | 4 |
| E•••••• H••••• • C• CRD 106830 | Los Angeles, CA | independent RIA | $12B | 99% | 10 | $1.2B | 3 | 0 |
| I••••••••• C••••• M••••••••• U• L•• CRD 165140 | New York, NY | asset manager | $12B | 0.0% | 0 | n/a | 0 | 36 |
| L••••••• P••••••• L•• CRD 139390 | London, | other | $12B | 0.0% | 0 | n/a | 0 | 0 |
| L••••••• P••••••• ••••••••• L•••••• CRD 143875 | St. Peter Port, | other | $12B | 0.0% | 0 | n/a | 0 | 0 |
| A•••• O•• C•••••• A•••••••• L•• CRD 151090 | Atlanta, GA | asset manager | $11B | 0.0% | 1 | $11B | 2 | 9 |
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.