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 |
|---|---|---|---|---|---|---|---|---|
| Caz Investments L.P. CRD 113931 | Houston, TX | asset manager | $11B | 0.0% | 27 | $401M | 0 | 107 |
| Loop Capital Asset Management CRD 149280 | Miami, FL | institutional | $11B | 0.0% | 2 | $5.4B | 0 | 3 |
| Cbre Investment Management Listed Real Assets LLC CRD 106256 | Radnor, PA | other | $11B | 0.0% | 0 | Not computed | 3 | 0 |
| A•• A••••• C•••••• R•••••••• L•• CRD 110933 | St. Louis, MO | mixed wealth | $11B | 44% | 9 | $1.2B | 7 | 2 |
| B•••• C•••••• M••••••••• I••• CRD 110791 | New York, NY | asset manager | $11B | 3.4% | 0 | Not computed | 1 | 7 |
| B•••• D•••••• C•••••• M••••••••• CRD 154495 | St. Thomas, VI | asset manager | $11B | 0.0% | 0 | Not computed | 3 | 33 |
| A•••• I••••••••• P••••••• U• S••••••• L•• CRD 298930 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 19 |
| G••••••• C•••••• L• CRD 105078 | Toronto, Ontario, | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 0 |
| F••••••• W•••••• C•••••• M••••••••• I••• CRD 104692 | Portland, OR | independent RIA | $11B | 74% | 27 | $395M | 1 | 0 |
| P•••••••• L•• CRD 106599 | Saint Louis, MO | independent RIA | $11B | 88% | 52 | $205M | 12 | 0 |
| R••••••• C••••••• L•• CRD 156663 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 2 | 35 |
| G•••• V••••• A•••••• G••••• L•• CRD 123913 | Berwyn, PA | independent RIA | $11B | 87% | 190 | $55.8M | 72 | 0 |
| A••••••• S••••••• N•••••• CRD 146051 | Atlanta, GA | independent RIA | $11B | 97% | 251 | $42.2M | 117 | 0 |
| T•••••• S••••• A•••• M••••••••• L•• CRD 152728 | London, | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 2 |
| M•••••••• C••••••• L•• CRD 137486 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 12 |
| C•••• • B•••••• L••• CRD 113859 | Philadelphia, PA | other | $11B | 4.0% | 14 | $754M | 1 | 0 |
| G••••••••• I••••••••• M••••••••• U• L•• CRD 132728 | San Francisco, CA | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 3 |
| E••••••• S••••••••• C••••• A•••••••• L•• CRD 313420 | New York, NY | institutional | $11B | 0.0% | 0 | Not computed | 9 | 0 |
| R•••• C•••••• L••• CRD 285971 | New York, NY | mixed wealth | $11B | 37% | 0 | Not computed | 1 | 0 |
| J•••• C•••••• M••••••••• L• CRD 168547 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 1 | 1 |
| B••••••••• G••••• A••••••• L••••• CRD 305708 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 3 | 8 |
| S••••••• • C•• CRD 7294 | Bloomfield Hills, MI | other | $10B | 20% | 24 | $437M | 1 | 0 |
| A•• G••••• I••••••••• CRD 127290 | Stamford, CT | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 111 |
| S••••••• V•••••••• L• CRD 161558 | Austin, TX | asset manager | $10B | 0.0% | 0 | Not computed | 3 | 18 |
| C•••••• A••••••• P•• M••••••••• L•• CRD 305746 | Miami, FL | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 22 |
| S•••••• G••••• E••••••• CRD 157402 | Menlo Park, CA | asset manager | $10B | 0.0% | 0 | Not computed | 1 | 2 |
| T•••• F••• M••••••••• L••• CRD 154172 | New York, NY | asset manager | $10B | 3.7% | 0 | Not computed | 1 | 22 |
| P••••••• A••••••••• L••• CRD 110631 | New York, NY | mixed wealth | $10B | 38% | 33 | $315M | 8 | 4 |
| S•••••••• C•••••• M••••••••• L• CRD 157124 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 2 |
| J•••••• W••••• I••• CRD 125557 | Milwaukee, WI | mixed wealth | $10B | 38% | 72 | $144M | 7 | 0 |
| S•••••• A••••••• G••••• L•• CRD 170233 | Pasadena, CA | institutional | $10B | 5.7% | 5 | $2.1B | 0 | 0 |
| W•••••• E••••• P•••••••• L••• CRD 156729 | Waltham, MA | asset manager | $10B | 0.0% | 0 | Not computed | 2 | 27 |
| P••••••• A•••••••• L•• CRD 140800 | San Francisco, CA | independent RIA | $10B | 90% | 75 | $137M | 20 | 0 |
| C••••••• C•••••• A••••••• L•• CRD 139895 | San Juan, PR | asset manager | $10B | 0.0% | 7 | $1.5B | 2 | 0 |
| L•••••••• P••••••• ••• L•• CRD 172244 | London, | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 7 |
| R•••••••• P••••••• M••••••••• L•• CRD 157421 | Charlotte, NC | asset manager | $10B | 0.0% | 0 | Not computed | 1 | 32 |
| R••••••••• A•••• M••••••••• CRD 317277 | Chicago, IL | asset manager | $10B | 0.0% | 0 | Not computed | 3 | 2 |
| B••••••• • C•• W••••• M••••••••• L•• CRD 292246 | Cincinnati, OH | independent RIA | $10B | 85% | 32 | $320M | 2 | 0 |
| C••• S••••• P••••••• CRD 128545 | Richmond, VA | BD affiliated | $10B | 87% | 121 | $84.7M | 24 | 0 |
| C•••••• P•••••••• I••• CRD 324459 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 0 |
| T••••••••• A•••• M••••••••• L• CRD 105690 | New York, NY | independent RIA | $10B | 56% | 32 | $320M | 1 | 5 |
| S•••• P•••• L••• L•• CRD 128132 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 4 | 24 |
| C•••••••• •••••••• I••••••••• P•• L•••••• CRD 161331 | Sydney, | mixed wealth | $10B | 26% | 0 | Not computed | 1 | 0 |
| M••••••• I••••••••• N•••• A•••••• C••••••••• CRD 161478 | Washington, DC | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 35 |
| F••••••• P••• CRD 126508 | Bala Cynwyd, PA | asset manager | $10B | 0.0% | 0 | Not computed | 1 | 49 |
| C••••• F••••• O•••••• L•• CRD 317446 | Radnor, PA | independent RIA | $10B | 70% | 0 | Not computed | 14 | 0 |
| A••••• G••••• L•• CRD 125523 | San Francisco, CA | other | $10B | 0.0% | 0 | Not computed | 0 | 4 |
| S••••• C•••• A••••••• P••••••• L•• CRD 156667 | Seattle, WA | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 26 |
| I•• I••••••••• M••••••••• L•• CRD 286208 | Independence, OH | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 6 |
| A••• R••• A••••••• L•• CRD 151491 | Conshohocken, PA | asset manager | $10B | 0.1% | 4 | $2.5B | 0 | 1 |
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.