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 |
|---|---|---|---|---|---|---|---|---|
| Moon Capital Management LP CRD 156460 | New York, NY | asset manager | $911M | 0.0% | 0 | Not computed | 1 | 5 |
| First Eagle Separate Account Management, LLC CRD 300359 | New York, NY | other | $908M | 16% | 0 | Not computed | 4 | 0 |
| Dme Advisors, LP CRD 157074 | New York, NY | asset manager | $907M | 0.0% | 0 | Not computed | 0 | 1 |
| S•••• S••••• A•••••••• L•• CRD 112326 | New York, NY | independent RIA | $906M | 85% | 2 | $453M | 0 | 0 |
| S•••••• R•••• F••• M••••••••• L•• CRD 161538 | New York, NY | asset manager | $905M | 0.0% | 0 | Not computed | 1 | 2 |
| N•••• W••••• A••••••• L•• CRD 311171 | Rye Brook, NY | independent RIA | $902M | 100% | 7 | $129M | 1 | 0 |
| M•••••• I••••••••• L•• CRD 168091 | New York, NY | asset manager | $900M | 0.0% | 0 | Not computed | 0 | 6 |
| M•••••• G••••• I••••••••• CRD 285985 | New York, NY | independent RIA | $895M | 60% | 5 | $179M | 1 | 1 |
| M••••• C•••••• M••••••••• L•• CRD 282399 | New York, NY | other | $893M | 5.6% | 0 | Not computed | 0 | 1 |
| A•••••••• CRD 331749 | New York, NY | independent RIA | $892M | 100% | 1 | $892M | 1 | 0 |
| P••• CRD 333871 | New York, NY | asset manager | $892M | 0.0% | 0 | Not computed | 0 | 4 |
| O••••• A•••• M••••••••• L• CRD 299826 | New York, NY | other | $892M | 16% | 0 | Not computed | 2 | 12 |
| A•••• C•••••• M••••••••• L•• CRD 167227 | New York, NY | asset manager | $887M | 0.0% | 0 | Not computed | 1 | 3 |
| C•••••••• G••••• M••••••••• CRD 332982 | New York, NY | asset manager | $887M | 0.0% | 0 | Not computed | 2 | 4 |
| B•• S••••• L•• CRD 158043 | New York, NY | asset manager | $885M | 0.0% | 0 | Not computed | 1 | 9 |
| L•••••••• D••••••••• A•••• M••••••••• I••• CRD 167243 | Hauppauge, NY | asset manager | $884M | 0.0% | 1 | $884M | 1 | 0 |
| R•••••••• A•••••••• L•• CRD 332346 | New York, NY | asset manager | $881M | 0.0% | 0 | Not computed | 1 | 1 |
| L••••••• C•••••• M••••••••• L•• CRD 156637 | White Plains, NY | independent RIA | $881M | 100% | 0 | Not computed | 0 | 0 |
| T••••••••• P•••••• W••••• L•• CRD 169820 | New York, NY | independent RIA | $879M | 98% | 11 | $79.9M | 2 | 0 |
| S•••••• A•••• M••••••••• L•• CRD 291768 | New York, NY | asset manager | $878M | 0.0% | 1 | $878M | 0 | 0 |
| S•••••••• C•••••• A••••••• L•• CRD 299418 | New York, NY | asset manager | $874M | 0.0% | 0 | Not computed | 2 | 4 |
| A•••• R•••••••• I••••••••• L••••• CRD 334812 | New York, NY | asset manager | $868M | 0.0% | 0 | Not computed | 0 | 10 |
| C••••• A••••••• I•• CRD 110818 | New York, NY | independent RIA | $868M | 98% | 7 | $124M | 7 | 0 |
| L••• A•• C•••••• L• CRD 290245 | New York, NY | asset manager | $867M | 0.0% | 0 | Not computed | 0 | 13 |
| T••• A•••• M••••••••• L•• CRD 164982 | New York, NY | asset manager | $865M | 0.0% | 0 | Not computed | 0 | 6 |
| B••••••• P••••••• M••••••••• L•• CRD 291785 | New York, NY | asset manager | $864M | 0.0% | 0 | Not computed | 1 | 13 |
| I•• G•••• L• CRD 304848 | New York, NY | asset manager | $864M | 0.0% | 0 | Not computed | 1 | 3 |
| C•••••••• C•••••• G•••• CRD 159370 | New York, NY | asset manager | $863M | 0.0% | 0 | Not computed | 3 | 3 |
| H•••• C•••••• M••••••••• L• CRD 307156 | New York, NY | asset manager | $862M | 0.0% | 0 | Not computed | 0 | 11 |
| E•••••• V••• C•••••• M••••••••• L•• CRD 160494 | New York, NY | asset manager | $860M | 6.0% | 0 | Not computed | 2 | 7 |
| I•••••• P•••••• C••••••• I••• CRD 107584 | New York, NY | asset manager | $860M | 0.0% | 0 | Not computed | 1 | 4 |
| A••••••• C••••••• G•••••• L•• CRD 163639 | New York, NY | asset manager | $858M | 0.0% | 0 | Not computed | 1 | 9 |
| S••••• P•••• M••••••••• L••• CRD 329856 | New York, NY | asset manager | $857M | 0.0% | 0 | Not computed | 0 | 2 |
| O•••••• C•••••• H••••••• A••• L•• CRD 157522 | Mount Kisco, NY | asset manager | $852M | 0.0% | 0 | Not computed | 5 | 18 |
| S••••• F•••••••• A••••••• L•• CRD 152824 | Rochester, NY | independent RIA | $847M | 96% | 6 | $141M | 2 | 0 |
| F••••••••• C•••••• P••••••• L•• CRD 327260 | New York, NY | asset manager | $845M | 0.0% | 0 | Not computed | 0 | 0 |
| C•• C•••••• L•• CRD 168967 | New York, NY | asset manager | $844M | 0.0% | 0 | Not computed | 1 | 3 |
| G••••••••• I••••••••• A•••••••• L•• CRD 108263 | New York, NY | other | $841M | 1.8% | 3 | $280M | 2 | 0 |
| A•••••• M••••••••• L• D•••• A•••••• CRD 324806 | New York, NY | asset manager | $839M | 0.0% | 0 | Not computed | 0 | 0 |
| R•••••••• A•••••••• L•• CRD 150646 | New York, NY | asset manager | $836M | 0.0% | 0 | Not computed | 0 | 0 |
| S••••••• C•••••• CRD 328702 | New York, NY | asset manager | $835M | 0.0% | 0 | Not computed | 1 | 4 |
| S•••••••• W••••• M••••••••• G•••• CRD 125882 | New York, NY | independent RIA | $833M | 96% | 4 | $208M | 0 | 0 |
| A••••••• T••••• I• L•• CRD 318463 | New York, NY | asset manager | $832M | 0.0% | 0 | Not computed | 1 | 2 |
| F•••• C••••••• I••••••••• A•••• M••••••••• L•• CRD 285836 | New York, NY | asset manager | $829M | 0.0% | 0 | Not computed | 12 | 2 |
| E••• W••••• M••••••••• L•• CRD 142380 | New York, NY | independent RIA | $827M | 98% | 6 | $138M | 3 | 0 |
| A••••• P•••••••• L• CRD 282127 | New York, NY | asset manager | $827M | 0.0% | 0 | Not computed | 3 | 18 |
| R•••• C•••••• A••••••• L•• CRD 334244 | New York, NY | asset manager | $826M | 0.0% | 0 | Not computed | 1 | 4 |
| K•••••••• G••••• • C•• CRD 105696 | Saratoga Spring, NY | independent RIA | $825M | 92% | 1 | $825M | 0 | 0 |
| P• C•••••• P•••••••• L•• CRD 159299 | New York, NY | asset manager | $824M | 0.0% | 0 | Not computed | 0 | 3 |
| M••• A••••••• L•• CRD 168658 | Woodmere, NY | asset manager | $821M | 0.0% | 0 | Not computed | 1 | 3 |
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.