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 |
|---|---|---|---|---|---|---|---|---|
| Nomura Capital Management LLC CRD 324417 | New York, NY | asset manager | $651M | 0.0% | 0 | Not computed | 5 | 1 |
| Rosecliff Venture Management, LLC CRD 300188 | New York, NY | asset manager | $650M | 0.0% | 0 | Not computed | 0 | 10 |
| Altum Capital Management, LLC CRD 160123 | New York, NY | asset manager | $648M | 0.0% | 0 | Not computed | 1 | 2 |
| S••••••• G•••••• L••• CRD 151831 | New York, NY | asset manager | $647M | 0.0% | 0 | Not computed | 0 | 21 |
| S•• P••••••• CRD 325761 | New York, NY | asset manager | $646M | 0.0% | 0 | Not computed | 0 | 2 |
| C••••• E••••• P••••••• CRD 157559 | Rye Brook, NY | asset manager | $644M | 0.0% | 0 | Not computed | 1 | 4 |
| K•••• C•••••• M••••••••• L• CRD 160413 | New York, NY | asset manager | $643M | 0.0% | 0 | Not computed | 0 | 1 |
| J•••• H••• C•••••• L• CRD 339686 | New York, NY | asset manager | $642M | 0.0% | 0 | Not computed | 0 | 1 |
| S••••• C•••••• M••••••••• L•• CRD 161985 | New York, NY | asset manager | $634M | 0.0% | 0 | Not computed | 0 | 3 |
| K•••••••• W••••• A••••••• CRD 327022 | Pittsford, NY | independent RIA | $633M | 98% | 6 | $106M | 0 | 0 |
| G• I••••••••• P••••••• M••••••••• L•• CRD 163921 | New York, NY | asset manager | $630M | 0.0% | 0 | Not computed | 0 | 4 |
| A••••••• C•••• P••••••• CRD 282070 | New York, NY | asset manager | $628M | 0.0% | 0 | Not computed | 0 | 5 |
| R••••• W••••• M••••••••• CRD 319411 | Syracuse, NY | independent RIA | $626M | 95% | 8 | $78.2M | 0 | 0 |
| M•••••• I••••••••• G••••• L• CRD 315219 | New York, NY | asset manager | $624M | 0.0% | 0 | Not computed | 1 | 10 |
| S••••• S••••• C•••••• CRD 173785 | New York, NY | asset manager | $622M | 0.0% | 0 | Not computed | 0 | 4 |
| G••••••• C•••••• M••••••••• L•• CRD 282128 | New York, NY | asset manager | $622M | 0.0% | 0 | Not computed | 0 | 4 |
| R•••••••• C•••••• M••••••••• L• CRD 311888 | New York, NY | asset manager | $618M | 0.0% | 0 | Not computed | 0 | 1 |
| G•••••••• F•••••••• G••••• L•• CRD 125500 | Albany, NY | independent RIA | $617M | 59% | 4 | $154M | 0 | 0 |
| K••••• H••• C•••••• M••••••••• L•• CRD 163722 | New York, NY | other | $616M | 0.0% | 0 | Not computed | 8 | 3 |
| N••• T••••• C•••••• M••••••••• L•• CRD 130545 | New York, NY | asset manager | $615M | 0.0% | 0 | Not computed | 0 | 4 |
| L••• F••• M••••••••• L•• CRD 304733 | New York, NY | asset manager | $615M | 0.0% | 0 | Not computed | 1 | 12 |
| B••• O•• S•••••••• E••••• A••••••• L•• CRD 325958 | New York, NY | asset manager | $614M | 0.0% | 0 | Not computed | 8 | 1 |
| A••••••• C•••• I••••••••• M••••••••• L•• CRD 163428 | New York, NY | asset manager | $612M | 0.0% | 0 | Not computed | 1 | 3 |
| Q••••• P••••••• I••••••••• M••••••••• CRD 174327 | Saratoga Springs, NY | independent RIA | $612M | 59% | 29 | $21.1M | 12 | 0 |
| C•••••• C•••••• M••••••••• L• CRD 307830 | New York, NY | asset manager | $612M | 0.0% | 0 | Not computed | 0 | 5 |
| J• S•••• • C••• L•• CRD 326509 | New York City, NY | asset manager | $609M | 0.0% | 0 | Not computed | 0 | 1 |
| C•••••• F••••• A•••••••• L•• CRD 283995 | New York, NY | independent RIA | $608M | 100% | 3 | $203M | 0 | 0 |
| M•••••••• I••••••••• P•••••••• L•• CRD 314794 | New York, NY | asset manager | $608M | 0.0% | 0 | Not computed | 1 | 3 |
| H•••••••• C•••••• A••••••• L•• CRD 314749 | New York, NY | asset manager | $603M | 0.0% | 0 | Not computed | 1 | 28 |
| 1• E••• P••••••• L•• CRD 322360 | New York, NY | asset manager | $603M | 0.0% | 0 | Not computed | 0 | 36 |
| B••• M••••••••• L• CRD 309916 | New York, NY | asset manager | $602M | 0.0% | 0 | Not computed | 0 | 2 |
| 5••• A•••••• CRD 328959 | New York, NY | asset manager | $602M | 0.0% | 0 | Not computed | 0 | 0 |
| A•••• R•••• C••••••• L• CRD 301386 | New York, NY | asset manager | $601M | 0.0% | 0 | Not computed | 0 | 5 |
| G•••••• C•••••• A•••• M••••••••• CRD 306473 | New York, NY | independent RIA | $599M | 97% | 1 | $599M | 0 | 0 |
| V••••••• C•••••• M••••••••• L•• CRD 321641 | New York, NY | asset manager | $598M | 0.0% | 0 | Not computed | 0 | 4 |
| M••••• C•••••• M••••••••• L•• CRD 288640 | New York, NY | asset manager | $598M | 0.0% | 0 | Not computed | 0 | 1 |
| A•••••••• G••••• CRD 319136 | New York, NY | asset manager | $593M | 0.0% | 0 | Not computed | 1 | 2 |
| A•••• M••••••• C•••••• L•• CRD 172124 | New York, NY | asset manager | $593M | 0.0% | 0 | Not computed | 0 | 5 |
| L•••• C•••••• L• CRD 161117 | New York, NY | asset manager | $591M | 0.0% | 0 | Not computed | 0 | 1 |
| S••••••••• P••••••• CRD 281205 | New York, NY | asset manager | $589M | 0.0% | 0 | Not computed | 1 | 15 |
| J••• M••••••• P•••••••• L•• CRD 290415 | White Plains, NY | asset manager | $588M | 0.0% | 0 | Not computed | 1 | 6 |
| B•••• F•••••••• S••••••• L•• CRD 153055 | New York, NY | institutional | $588M | 0.0% | 1 | $588M | 0 | 0 |
| S••••• C•••••• M••••••••• L• CRD 124403 | New York, NY | asset manager | $587M | 0.0% | 0 | Not computed | 0 | 4 |
| M••••• C•••••• P••••••• L• CRD 342245 | New York, NY | asset manager | $585M | 0.0% | 0 | Not computed | 0 | 0 |
| P••••••••• I••••••••• M••••••••• CRD 137980 | New York, NY | other | $583M | 0.0% | 0 | Not computed | 0 | 2 |
| F•••••••• C•••••• M••••••••• L•• CRD 158448 | Harrison, NY | asset manager | $582M | 0.0% | 0 | Not computed | 0 | 2 |
| T•• S•••• R••• E•••••• L• CRD 324210 | New York, NY | asset manager | $582M | 0.0% | 0 | Not computed | 0 | 10 |
| H••••••• C•••••• A••••••• L• CRD 304230 | New York, NY | mixed wealth | $581M | 25% | 0 | Not computed | 1 | 3 |
| S•••••• I••••••••• M••••••••• L•• CRD 158770 | New York, NY | asset manager | $580M | 0.0% | 0 | Not computed | 0 | 23 |
| T•• R•••• P••••••• M••••••••• L• CRD 326470 | New York, NY | asset manager | $579M | 0.0% | 0 | Not computed | 0 | 5 |
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.