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 |
|---|---|---|---|---|---|---|---|---|
| Old Farm Partners LP CRD 283573 | New York, NY | asset manager | $744M | 0.0% | 0 | Not computed | 0 | 13 |
| Sciens Water CRD 299986 | New York, NY | asset manager | $743M | 0.0% | 0 | Not computed | 0 | 12 |
| Quad Partners LLC CRD 160097 | New York, NY | asset manager | $743M | 0.0% | 0 | Not computed | 3 | 12 |
| S• M••••••••• L•• CRD 311359 | New York, NY | asset manager | $733M | 0.0% | 0 | Not computed | 0 | 25 |
| C••••••• A•••••••• L•• CRD 165300 | New York, NY | asset manager | $732M | 0.0% | 0 | Not computed | 0 | 15 |
| A••••• C•••••• P•••••••• L••• CRD 317647 | New York, NY | asset manager | $732M | 0.0% | 0 | Not computed | 0 | 16 |
| C••••• D••••• C•••••• M••••••••• L•• CRD 317548 | New York, NY | asset manager | $730M | 0.0% | 0 | Not computed | 0 | 9 |
| V•••••• CRD 306409 | New York, NY | asset manager | $729M | 0.0% | 0 | Not computed | 0 | 8 |
| L•••• S••••••••• I••• CRD 10091 | Vestal, NY | independent RIA | $729M | 97% | 13 | $56.0M | 0 | 0 |
| M••••••••• W••••• M••••••••• L•• CRD 151237 | Saratoga Springs, NY | independent RIA | $723M | 91% | 8 | $90.4M | 2 | 0 |
| D•••••• A•••• M••••••••• ••• L• CRD 322135 | New York, NY | other | $721M | 0.0% | 0 | Not computed | 0 | 0 |
| D•••••• W••••• M••••••••• L•• CRD 124209 | Williamsville, NY | independent RIA | $717M | 95% | 7 | $102M | 1 | 0 |
| A•••••• C•••••• M••••••••• L• CRD 269994 | New York, NY | asset manager | $716M | 0.0% | 0 | Not computed | 0 | 2 |
| G•••• A••••• C•••••• L•• CRD 313104 | New York, NY | asset manager | $716M | 0.0% | 0 | Not computed | 0 | 8 |
| D••••• C•••••• P•••••••• L• CRD 323018 | New York, NY | institutional | $715M | 0.0% | 0 | Not computed | 0 | 1 |
| C••••••• A••••••• L•• CRD 285328 | New York, NY | asset manager | $708M | 0.0% | 0 | Not computed | 0 | 2 |
| N•••••••• W••••• M••••••••• CRD 312350 | Williamsville, NY | independent RIA | $706M | 95% | 4 | $177M | 1 | 0 |
| E••••••••• C••••••• L•• CRD 313946 | New York, NY | asset manager | $700M | 0.0% | 0 | Not computed | 0 | 1 |
| M•••••• C•••••• M••••••••• L•• CRD 138175 | New York, NY | asset manager | $696M | 0.0% | 0 | Not computed | 0 | 5 |
| W•••••• S•••••••• A••••••• L•• CRD 305692 | New York, NY | independent RIA | $695M | 98% | 0 | Not computed | 0 | 6 |
| H••• F•••• A•••••••• I••• CRD 108678 | Rochester, NY | independent RIA | $695M | 99% | 11 | $63.2M | 0 | 0 |
| M••••• U••• I••• CRD 157833 | New York, NY | asset manager | $694M | 0.0% | 0 | Not computed | 0 | 0 |
| P••• R••• P••••••• L• CRD 340991 | New York, NY | asset manager | $691M | 0.0% | 0 | Not computed | 0 | 0 |
| N••••••• R••• E••••• I••••••••• M••••••••• L•• CRD 321208 | New York, NY | asset manager | $690M | 0.0% | 0 | Not computed | 0 | 0 |
| I•••••••• C•••••• P••••••• L•• CRD 159681 | New York, NY | asset manager | $689M | 0.0% | 0 | Not computed | 2 | 0 |
| E••• E•• F•••••••• G••••• I••• CRD 110584 | Riverhead, NY | independent RIA | $689M | 75% | 6 | $115M | 1 | 0 |
| 9••••• C•••••• M••••••••• L• CRD 299727 | New York, NY | asset manager | $688M | 0.0% | 0 | Not computed | 0 | 31 |
| T•••••• M••••••••• C•••••• L•• L•• CRD 161399 | Mamaroneck, NY | asset manager | $686M | 0.0% | 0 | Not computed | 0 | 13 |
| B•••••••• P••••••• CRD 333385 | New York, NY | asset manager | $681M | 0.0% | 0 | Not computed | 0 | 6 |
| E•••• B•• F••••• O••••• CRD 281675 | New York, NY | independent RIA | $681M | 100% | 10 | $68.1M | 1 | 0 |
| L••••••• W••••• M••••••••• CRD 109379 | Getzville, NY | independent RIA | $680M | 95% | 5 | $136M | 0 | 0 |
| C••••• H•••••• I••• CRD 158106 | New York, NY | asset manager | $678M | 0.0% | 0 | Not computed | 2 | 21 |
| G••• S•••••• C•••••• CRD 326803 | New York, NY | asset manager | $678M | 0.0% | 0 | Not computed | 0 | 4 |
| D•• R••• E••••• C•••••• P•••••••• L•• CRD 106238 | New York, NY | asset manager | $673M | 0.0% | 0 | Not computed | 1 | 12 |
| W••••• C••••••• L•• CRD 288311 | New York, NY | asset manager | $673M | 0.0% | 0 | Not computed | 1 | 11 |
| A•••••• P••••••• M••••••••• L•• CRD 299883 | New York, NY | asset manager | $672M | 0.0% | 0 | Not computed | 0 | 15 |
| S•••• C•••••• M••••••••• L•• CRD 161581 | New York, NY | asset manager | $671M | 0.0% | 0 | Not computed | 2 | 4 |
| M••••••• A••••••• I•• CRD 105918 | New York, NY | mixed wealth | $671M | 21% | 2 | $335M | 0 | 0 |
| D•••••• E••••• P••••••• M••••••••• L•• CRD 327607 | New York, NY | asset manager | $670M | 0.0% | 0 | Not computed | 0 | 4 |
| A••••• S•••• W•••• CRD 109686 | Purchase, NY | mixed wealth | $670M | 32% | 0 | Not computed | 0 | 0 |
| P••• I••••••••• A•••••••• L••• CRD 322420 | New York, NY | asset manager | $670M | 3.9% | 2 | $335M | 0 | 0 |
| S•••• T••••• P••••••• L•• CRD 332833 | New York, NY | independent RIA | $669M | 95% | 1 | $669M | 7 | 0 |
| R••••• E••••• P••••••• L• CRD 308513 | New York, NY | asset manager | $669M | 0.0% | 0 | Not computed | 0 | 1 |
| A••• J•••• CRD 161260 | New York, NY | asset manager | $667M | 0.0% | 0 | Not computed | 0 | 4 |
| O••••••• C•••••• M••••••••• L•• CRD 213518 | New York, NY | asset manager | $667M | 0.0% | 0 | Not computed | 0 | 0 |
| H•••••••• C•••••• P••••••• L• CRD 309942 | New York, NY | asset manager | $666M | 0.0% | 0 | Not computed | 0 | 1 |
| C•••••• P•••••• I••••••••• A•••••••• I••• CRD 145355 | Ithaca, NY | independent RIA | $654M | 99% | 5 | $131M | 0 | 0 |
| A•••••••• P••••••• ••••••••• L•• CRD 175505 | New York, NY | asset manager | $652M | 0.0% | 0 | Not computed | 0 | 4 |
| O•• C•••••• P••••••• L• CRD 299461 | New York, NY | asset manager | $652M | 0.0% | 0 | Not computed | 0 | 2 |
| W•••• A•••• M••••••••• I••• CRD 106267 | Lake Success, NY | independent RIA | $652M | 100% | 1 | $652M | 0 | 0 |
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.