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 |
|---|---|---|---|---|---|---|---|---|
| Kinderhook Industries, LLC CRD 160193 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 12 |
| Lasalle Investment Management CRD 109307 | Chicago, IL | asset manager | $11B | 0.0% | 0 | Not computed | 6 | 15 |
| Guinness Global Investors CRD 140891 | London, | asset manager | $11B | 0.0% | 0 | Not computed | 1 | 0 |
| T•• W••••••• P••••••••• L•• CRD 168761 | Houston, TX | asset manager | $11B | 0.0% | 1 | $11B | 0 | 1 |
| A•••••• R••• E••••• P••••••• CRD 160668 | Chevy Chase, MD | asset manager | $11B | 0.0% | 0 | Not computed | 3 | 30 |
| G••••••••• M••••••••• L•• CRD 109319 | Memphis, TN | asset manager | $11B | 0.7% | 1 | $11B | 1 | 38 |
| Q•• C•••••• M••••••••• I••• CRD 305277 | Berwyn, PA | independent RIA | $11B | 92% | 2 | $5.7B | 0 | 0 |
| F•••••••• M••••••••• I••• CRD 109149 | Milwaukee, WI | other | $11B | 16% | 0 | Not computed | 0 | 0 |
| A• P•••••• C••••• I•••••••• L•• CRD 173027 | Austin, TX | asset manager | $11B | 0.0% | 0 | Not computed | 2 | 0 |
| V••••••• P••••••••• I••••••• M••••••••• CRD 285366 | Oakland, CA | asset manager | $11B | 0.0% | 6 | $1.9B | 7 | 0 |
| P• A•••• M••••••••• L•• CRD 107619 | Chicago, IL | asset manager | $11B | 0.0% | 10 | $1.1B | 3 | 0 |
| H••• C•••••• A•••••••• L•• CRD 143848 | Rhinelander, WI | other | $11B | 20% | 24 | $471M | 4 | 0 |
| P••••• A•••• M••••••••• J••••• L•••••• CRD 174027 | other | $11B | 0.0% | 0 | Not computed | 0 | 2 | |
| B•••••• I••••••••• M••••••••• I•• CRD 108028 | Omaha, NE | mixed wealth | $11B | 49% | 31 | $365M | 0 | 0 |
| O•• W•••••• S••••• C•••••• M••••••••• L•• CRD 150522 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 8 |
| P•••••• W••••• M••••••••• L•• CRD 131037 | San Francisco, CA | independent RIA | $11B | 82% | 95 | $119M | 41 | 0 |
| G••••••••• C•••••••• F••••••• L•• CRD 300895 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 3 | 18 |
| O•••••• G••••• A•••• M••••••••• L•• CRD 287599 | London, | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 8 |
| V••••••• C•••••• M••••••••• L••• CRD 154249 | San Francisco, CA | asset manager | $11B | 0.0% | 0 | Not computed | 1 | 6 |
| C••••••••• R••• • C•••••• CRD 121299 | New York, NY | other | $11B | 0.0% | 0 | Not computed | 0 | 21 |
| T••••••••• C•••••• P••••••• CRD 155425 | Chapel Hill, NC | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 102 |
| N•• M••••••• F•••••• A•••••••• L••••• CRD 155493 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 8 | 7 |
| C••••• C•••••• P•••••••• L••• CRD 130819 | New York, NY | other | $11B | 0.0% | 0 | Not computed | 0 | 12 |
| C••••• A•••• M••••••••• CRD 106772 | Los Angeles, CA | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 14 |
| G••••• G••• C•••••• CRD 157379 | San Francisco, CA | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 9 |
| H•••••• CRD 289310 | Brisbane, Qld, | other | $11B | 0.7% | 0 | Not computed | 1 | 0 |
| F••••• C•••••• M••••••••• L•• CRD 134099 | Westport, CT | other | $11B | 0.0% | 0 | Not computed | 0 | 1 |
| S•••• P•••• C••••• A•••••• L•• CRD 310377 | Greenwich, CT | asset manager | $11B | 0.0% | 0 | Not computed | 2 | 23 |
| F••••••••• M•• I••••• A•• CRD 288223 | Copenhagen K, | asset manager | $11B | 1.0% | 0 | Not computed | 0 | 1 |
| B•• M••••• E•• I••••••••• A••••••• L•• CRD 306148 | Boston, MA | asset manager | $11B | 0.0% | 0 | Not computed | 2 | 0 |
| A••••• W••••• CRD 171106 | West Hartford, CT | independent RIA | $11B | 95% | 91 | $122M | 37 | 0 |
| P••• F•••••••• A•••••••• L•• CRD 144316 | San Diego, CA | independent RIA | $11B | 100% | 90 | $123M | 13 | 0 |
| A•••• P••••••••• A•••••••• L•• CRD 106741 | Atlanta, GA | independent RIA | $11B | 83% | 13 | $850M | 1 | 0 |
| A••••••• W••••• A•••••• S•••••••• CRD 143593 | Charlotte, NC | asset manager | $11B | 0.0% | 7 | $1.6B | 2 | 0 |
| U•• A•••• M••••••••• C••••• I••••••••• G•••• ••• L•• CRD 113463 | London (England), | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 0 |
| N••••• W••••• M••••••••• L••• CRD 173201 | Vancouver, | independent RIA | $11B | 92% | 5 | $2.2B | 6 | 0 |
| N•••••••• B••••• A••• L•••••• CRD 154286 | Hong Kong, | other | $11B | 0.0% | 0 | Not computed | 0 | 0 |
| S••••••• I••••••••• M••••••••• •••••• L•••••• CRD 306616 | Chiyoda-Ku, Tokyo, | other | $11B | 0.0% | 0 | Not computed | 0 | 0 |
| B•••••••• I••••••••• A••••••• L•• CRD 115324 | Boston, MA | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 24 |
| C••••• H••• P••••••• L• CRD 284968 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 1 | 1 |
| R•••••• C•••••• M••••••••• L•• CRD 158243 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 1 | 5 |
| M••••• S•••••• I••••••••• M••••••••• C•••••• CRD 126896 | Singapore, | other | $11B | 0.0% | 0 | Not computed | 1 | 0 |
| F•••• T•••• S••••••••• I••• CRD 628 | Cincinnati, OH | BD affiliated | $11B | 98% | 1,004 | $10.9M | 1,117 | 0 |
| M••••• W••••• M••••••••• L•• CRD 324624 | Kansas City, MO | independent RIA | $11B | 88% | 156 | $69.9M | 22 | 0 |
| S••••••• K••••• K••••••• L•• CRD 127304 | Boston, MA | other | $11B | 14% | 2 | $5.4B | 0 | 58 |
| R•• F••••••••• L•• CRD 294105 | San Rafael, CA | institutional | $11B | 0.0% | 4 | $2.7B | 1 | 0 |
| N•• CRD 160729 | Dallas, TX | asset manager | $11B | 0.0% | 0 | Not computed | 1 | 17 |
| R••••••• CRD 322689 | Annapolis, MD | asset manager | $11B | 0.0% | 0 | Not computed | 16 | 13 |
| F•••• S•••••• I•••••••• ••••••••• CRD 165124 | S••••••••, | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 0 |
| H•••• L•• CRD 145684 | Palo Alto, CA | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 26 |
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.