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 |
|---|---|---|---|---|---|---|---|---|
| Kopernik Global Investors, LLC CRD 168625 | Tampa, FL | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 3 |
| Champlain Investment Partners, LLC CRD 132474 | Burlington, VT | asset manager | $10B | 1.4% | 0 | Not computed | 0 | 4 |
| Tenor Capital Management Company, L.P. CRD 153277 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 1 | 4 |
| V•••••• A•••••••• I••• CRD 108050 | Akron, OH | BD affiliated | $10B | 80% | 292 | $34.8M | 156 | 0 |
| S••••••• K••••• L•• CRD 128244 | Boston, MA | asset manager | $10B | 0.0% | 18 | $564M | 0 | 0 |
| P••••••••• S••••••••• C••••••••• CRD 11869 | Carpinteria, CA | independent RIA | $10B | 91% | 444 | $22.8M | 350 | 0 |
| E•••• CRD 282827 | New York, NY | asset manager | $10B | 3.2% | 9 | $1.1B | 0 | 0 |
| S••••• A•••• M••••••••• U•• I••• CRD 139022 | Darien, CT | mixed wealth | $10B | 26% | 22 | $460M | 4 | 4 |
| J•••••• C•••••• A•••• M••••••••• L••• CRD 156701 | Los Angeles, CA | asset manager | $10B | 0.0% | 0 | Not computed | 1 | 7 |
| C•••• S••••• C•••••• CRD 156776 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 35 |
| M•• S•••••••• L•• CRD 157592 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 1 | 6 |
| F••••••••• I••••••••• A••••••• L•• CRD 175083 | Phoenix, AZ | independent RIA | $10B | 100% | 298 | $33.9M | 85 | 0 |
| S••••••• C••••••• L••• CRD 333741 | Fort Worth, TX | asset manager | $10B | 0.0% | 0 | Not computed | 1 | 3 |
| O•••••• C•••••••• A•••••••• L•• CRD 336837 | Atlanta, GA | independent RIA | $10B | 100% | 122 | $82.7M | 0 | 0 |
| M•••••• F•••••••• A••••••• I•• I••• CRD 109325 | Clawson, MI | other | $10B | 0.2% | 2 | $5.0B | 0 | 0 |
| D••••• C•••••• M••••••••• CRD 107145 | Wilmington, DE | institutional | $10B | 0.0% | 0 | Not computed | 0 | 2 |
| O•• I••••••••• M••••••••• U• L•• CRD 323617 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 4 |
| F•••••••• G•••• L•• CRD 311974 | London, | asset manager | $10B | 0.0% | 0 | Not computed | 12 | 0 |
| F•••••••• C••••••••• I•• CRD 104753 | St Paul, MN | independent RIA | $10B | 88% | 17 | $592M | 1 | 0 |
| C••••• I••••••••• A••••••• CRD 106109 | Boston, MA | independent RIA | $10B | 94% | 15 | $670M | 0 | 3 |
| H•••• F•••••••• S•••••••• I••• CRD 46047 | Southfield, MI | independent RIA | $10B | 99% | 398 | $25.1M | 20 | 0 |
| B••• C•••••• R••• E•••••• L• CRD 291809 | Boston, MA | asset manager | $10.0B | 0.0% | 0 | Not computed | 2 | 23 |
| M••••• I••••••••• G•••• I•• CRD 110601 | Westwood, MA | institutional | $10.0B | 0.0% | 0 | Not computed | 5 | 1 |
| B•• F••••• O•••••• L•• CRD 110264 | Chicago, IL | bank affiliated | $10.0B | 98% | 3 | $3.3B | 6 | 26 |
| A••••• C•••••• L•• CRD 159518 | New York, NY | asset manager | $10.0B | 0.0% | 0 | Not computed | 1 | 20 |
| A•••••••• C•••••• M••••••••• L•• CRD 112096 | Richmond, VA | institutional | $10.0B | 1.0% | 12 | $829M | 0 | 0 |
| I••••••••• I••••••••• S•••••••• I•• CRD 107498 | Albert Lea, MN | mixed wealth | $9.9B | 23% | 60 | $165M | 13 | 0 |
| W•••• • F••••• L•• CRD 115119 | Boston, MA | independent RIA | $9.9B | 83% | 5 | $2.0B | 0 | 2 |
| A••• S••••••••• C••••• L•••••• CRD 307090 | London, | other | $9.9B | 0.0% | 0 | Not computed | 1 | 1 |
| C••••••••• I••••••••• M••••••••• L•••••• CRD 139012 | Edinburgh, | other | $9.9B | 17% | 0 | Not computed | 0 | 0 |
| C••••••••• G••••• F••• M••••••• •••••••• L•••••• CRD 156599 | Dublin, | asset manager | $9.9B | 0.0% | 0 | Not computed | 0 | 2 |
| G•••••• P••• C•••••• M••••••••• L•• CRD 164409 | Chatham, NJ | other | $9.9B | 0.0% | 2 | $4.9B | 1 | 0 |
| R•••• R••• A•••• M••••••••• L•• CRD 134918 | Louisville, KY | asset manager | $9.9B | 0.9% | 0 | Not computed | 0 | 0 |
| C••••••• G••••• L•• CRD 281399 | Salt Lake City, UT | other | $9.8B | 17% | 15 | $657M | 10 | 60 |
| B•••• A••••••• I••••••••• S•••••••• G•••• L•• CRD 124612 | Baltimore, MD | asset manager | $9.8B | 6.9% | 0 | Not computed | 7 | 395 |
| B••• C•••••• V•••••••• L• CRD 145652 | Boston, MA | asset manager | $9.8B | 0.0% | 0 | Not computed | 3 | 20 |
| S••••••••• A•••••••• L•• CRD 171992 | Chicago, IL | independent RIA | $9.8B | 85% | 22 | $447M | 3 | 0 |
| C••••••••• G•••• A••••••• S••••••• L•• CRD 137463 | Purchase, NY | asset manager | $9.8B | 0.0% | 0 | Not computed | 1 | 0 |
| E••••••• C••••••• L• CRD 160611 | asset manager | $9.8B | 0.0% | 0 | Not computed | 0 | 6 | |
| I•• W••••• M••••••••• L•• CRD 171481 | Chicago, IL | BD affiliated | $9.8B | 72% | 160 | $61.3M | 67 | 0 |
| V• A••••••• S••••••• L••• CRD 137158 | New York, NY | asset manager | $9.8B | 0.0% | 0 | Not computed | 1 | 2 |
| W••••• S••••• C••••••• L••••• CRD 147210 | Chicago, IL | asset manager | $9.8B | 0.0% | 0 | Not computed | 0 | 55 |
| A••••• A•••••••• L•• CRD 120642 | Chicago, IL | independent RIA | $9.8B | 69% | 0 | Not computed | 0 | 1 |
| C•••••••• F••••••••• I••• CRD 30833 | Anaheim, CA | BD affiliated | $9.7B | 99% | 427 | $22.8M | 278 | 0 |
| A•••••• C•••••• M••••••••• L• CRD 156896 | New York, NY | asset manager | $9.7B | 0.0% | 0 | Not computed | 0 | 27 |
| F• L• P••••• I••••••••• M••••••••• C•• CRD 106223 | Lynnfield, MA | independent RIA | $9.7B | 78% | 79 | $123M | 14 | 0 |
| O•• R••• C•••••• CRD 160972 | New York, NY | asset manager | $9.7B | 0.0% | 0 | Not computed | 2 | 17 |
| S••••• C••••••• L•• CRD 158296 | New York, NY | asset manager | $9.7B | 0.0% | 0 | Not computed | 0 | 9 |
| M•• A•••• M••••••••• L•• CRD 148976 | New York, NY | asset manager | $9.7B | 0.0% | 0 | Not computed | 0 | 30 |
| R•••••• I••••••••• G•••• CRD 171615 | Cincinnati, OH | institutional | $9.7B | 0.0% | 6 | $1.6B | 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.