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 |
|---|---|---|---|---|---|---|---|---|
| Valicenti Advisory Services Inc CRD 110669 | Elmira, NY | independent RIA | $820M | 85% | 4 | $205M | 1 | 0 |
| Ccmp Growth, LP CRD 322926 | New York, NY | asset manager | $819M | 0.0% | 0 | Not computed | 0 | 6 |
| Shulman Demeo Asset Management, LLC CRD 142897 | Lake Success, NY | independent RIA | $815M | 100% | 4 | $204M | 0 | 0 |
| R••• CRD 147359 | New York, NY | asset manager | $807M | 0.0% | 0 | Not computed | 0 | 0 |
| O•• P•••••• C••••• A••••••• I•• L••• CRD 322289 | New York, NY | asset manager | $805M | 0.0% | 0 | Not computed | 2 | 0 |
| C••••• W••••• M••••••••• CRD 132136 | Albany, NY | independent RIA | $804M | 95% | 3 | $268M | 2 | 0 |
| N•• R••••• A•••• M••••••••• L•• CRD 159895 | New York, NY | asset manager | $803M | 0.0% | 0 | Not computed | 0 | 3 |
| F•••••• F•••••••• CRD 128067 | New York, NY | independent RIA | $803M | 100% | 10 | $80.3M | 0 | 0 |
| H•••••• M••• C•••••• ••• L• CRD 339386 | New York, NY | asset manager | $803M | 0.0% | 0 | Not computed | 0 | 0 |
| K••• C•••••• CRD 315669 | New York, NY | asset manager | $802M | 0.0% | 0 | Not computed | 0 | 20 |
| F•••••• C••••••••• M••••••••• L•• CRD 288031 | New York, NY | asset manager | $801M | 0.0% | 0 | Not computed | 0 | 0 |
| 3•• F••••••• C••••••• L• CRD 284266 | New York, NY | other | $795M | 0.0% | 0 | Not computed | 0 | 3 |
| K• C•••••• L• CRD 338229 | New York, NY | asset manager | $792M | 0.0% | 0 | Not computed | 0 | 1 |
| D••••••••• C•••••• CRD 321942 | New York, NY | asset manager | $792M | 0.0% | 0 | Not computed | 0 | 18 |
| M••••••• R••• E••••• P••••••• L•• CRD 269825 | New York, NY | asset manager | $792M | 0.0% | 0 | Not computed | 0 | 6 |
| C••••• C•••••• M••••••••• L•• CRD 317086 | New York, NY | asset manager | $787M | 0.0% | 0 | Not computed | 3 | 32 |
| A•• V•••••• C•••••• M••••••••• F••• L•• CRD 298029 | Hauppauge, NY | asset manager | $786M | 0.0% | 0 | Not computed | 0 | 14 |
| E•••••• C••••••• L• CRD 313321 | New York, NY | asset manager | $786M | 0.0% | 0 | Not computed | 0 | 3 |
| F••••••• S••••••••• I••• CRD 104233 | New York, NY | independent RIA | $784M | 82% | 29 | $27.0M | 12 | 0 |
| D••••• A•••• M••••••••• L•• CRD 104068 | New York, NY | independent RIA | $783M | 53% | 1 | $783M | 0 | 4 |
| S••••• C•••• I••••••••• M••••••••• L•• CRD 300069 | New York, NY | asset manager | $781M | 0.0% | 0 | Not computed | 0 | 1 |
| W•••• A•••• M••••••••• L•• CRD 151508 | New York, NY | mixed wealth | $781M | 33% | 1 | $781M | 0 | 13 |
| L••• • D••••• I••••••••• C•••••• CRD 132737 | Syracuse, NY | independent RIA | $780M | 95% | 2 | $390M | 0 | 0 |
| S•••••• I••• CRD 170969 | New York, NY | asset manager | $780M | 0.0% | 0 | Not computed | 0 | 0 |
| G••••••• A••••••• L•• CRD 285374 | New York, NY | independent RIA | $778M | 83% | 6 | $130M | 0 | 4 |
| S••• P••••• G••••• L•• CRD 158024 | New York, NY | asset manager | $777M | 0.0% | 0 | Not computed | 0 | 10 |
| G•••••• C•••••• H••••••• L•• CRD 309490 | New York, NY | asset manager | $775M | 0.0% | 0 | Not computed | 1 | 4 |
| A••••••• M••••••••• CRD 292722 | New York, NY | asset manager | $774M | 0.0% | 0 | Not computed | 0 | 4 |
| F•••• Z••• C•••••• M••••••••• L•• CRD 152689 | Garden City, NY | independent RIA | $774M | 95% | 7 | $111M | 0 | 0 |
| L•••• H••• C••••••• L•• CRD 165973 | New York, NY | asset manager | $768M | 0.0% | 0 | Not computed | 0 | 1 |
| A••• P••••••• U•• L•• CRD 157110 | New York, NY | asset manager | $768M | 0.0% | 0 | Not computed | 0 | 3 |
| C•••••• A••••••• CRD 288256 | Melville, NY | independent RIA | $767M | 55% | 5 | $153M | 1 | 0 |
| W••••••••• D•••••• M••••••••• I••• CRD 322139 | New York, NY | asset manager | $766M | 0.0% | 0 | Not computed | 0 | 0 |
| C••••••• M••••••••• L•• CRD 312302 | New York, NY | asset manager | $766M | 0.0% | 0 | Not computed | 2 | 9 |
| M••••••••• • A••••••••• CRD 337303 | Orchard Park, NY | independent RIA | $765M | 100% | 10 | $76.5M | 0 | 0 |
| L•••••• D• N••••••• A•••• M••••••••• L•• CRD 120109 | New York, NY | asset manager | $764M | 0.0% | 0 | Not computed | 0 | 1 |
| S••••••••• A•••••••• L•• CRD 132495 | New York, NY | asset manager | $763M | 0.0% | 0 | Not computed | 0 | 5 |
| P•••••••• CRD 168859 | New York, NY | independent RIA | $762M | 97% | 4 | $190M | 0 | 0 |
| S•••••••• C•••••• L• CRD 324248 | New York, NY | asset manager | $761M | 0.0% | 0 | Not computed | 0 | 2 |
| I••••••••• F••••• O•••••• L•• CRD 144811 | Albany, NY | independent RIA | $760M | 100% | 3 | $253M | 0 | 0 |
| R••• R•••• C•••••• M••••••••• L• CRD 137716 | New York, NY | asset manager | $758M | 0.0% | 0 | Not computed | 0 | 5 |
| S••••• S••••• C•••••• M••••••••• L•• CRD 160129 | New York, NY | asset manager | $757M | 5.8% | 0 | Not computed | 1 | 1 |
| M••• H••• C•••••• L•• CRD 269882 | New York, NY | asset manager | $757M | 0.0% | 0 | Not computed | 0 | 3 |
| A••••• C•••••• M••••••••• L• CRD 174705 | New York, NY | asset manager | $754M | 0.0% | 0 | Not computed | 0 | 1 |
| R••••••• W••••• M••••••••• L•• CRD 324004 | Islip Terrace, NY | independent RIA | $750M | 86% | 5 | $150M | 0 | 0 |
| C••••• I••••••••• M••••••••• L•• CRD 327890 | New York, NY | asset manager | $749M | 0.0% | 0 | Not computed | 0 | 2 |
| L•• P•••••••• L•• CRD 157725 | White Plains, NY | asset manager | $749M | 0.0% | 0 | Not computed | 0 | 3 |
| D•••• L••• CRD 334739 | New York, NY | asset manager | $746M | 0.0% | 0 | Not computed | 0 | 3 |
| B••• H•••••• E•••••• I••• CRD 341095 | Pittsford, NY | independent RIA | $746M | 99% | 21 | $35.5M | 7 | 0 |
| F••••••• M••••••••• CRD 136559 | New York, NY | asset manager | $745M | 0.0% | 0 | Not computed | 0 | 11 |
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.