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 |
|---|---|---|---|---|---|---|---|---|
| Signaturefd, LLC CRD 112758 | Atlanta, GA | independent RIA | $9.7B | 95% | 49 | $197M | 1 | 2 |
| The Ameriflex Group CRD 305585 | Las Vegas, NV | BD affiliated | $9.7B | 90% | 209 | $46.2M | 110 | 0 |
| Main Street Advisors CRD 305170 | Santa Monica, CA | independent RIA | $9.6B | 74% | 0 | Not computed | 0 | 6 |
| D••••••• P•••••••• CRD 330606 | New York, NY | other | $9.6B | 0.0% | 0 | Not computed | 0 | 0 |
| O••• A•••••••• L•• CRD 307580 | New York, NY | asset manager | $9.6B | 0.0% | 0 | Not computed | 4 | 15 |
| B••••• I••••••••• P••••••• L•• CRD 161881 | London, | asset manager | $9.6B | 0.0% | 0 | Not computed | 1 | 28 |
| B••••• I••••••••• P••••••• L•• CRD 162276 | New York, NY | asset manager | $9.6B | 0.0% | 0 | Not computed | 0 | 0 |
| H•••••• K••••••• A•••• M••••••••• L•• CRD 106096 | New York, NY | mixed wealth | $9.6B | 27% | 1 | $9.6B | 3 | 22 |
| S•••• P••• I••••••••• O••••• L• CRD 157435 | San Francisco, CA | mixed wealth | $9.6B | 43% | 14 | $686M | 0 | 0 |
| H•••••• I••••••••• I••• CRD 19258 | Madison, WI | independent RIA | $9.6B | 96% | 247 | $38.9M | 137 | 0 |
| F••••••• C•••••• M••••••••• C• L•• CRD 106274 | Boston, MA | other | $9.6B | 0.0% | 0 | Not computed | 0 | 0 |
| R•••••••• I••••••••• CRD 300799 | New York, NY | asset manager | $9.6B | 0.0% | 0 | Not computed | 0 | 0 |
| R••••• C•••••• M••••••••• L• CRD 285090 | New York, NY | asset manager | $9.6B | 0.0% | 0 | Not computed | 2 | 3 |
| C••••••••• A••••••• A•••• M••••••••• L•• CRD 138638 | Bethlehem, PA | other | $9.6B | 16% | 25 | $383M | 0 | 0 |
| M•••••• A•••••• N•••••• CRD 283824 | Overland Park, KS | BD affiliated | $9.6B | 97% | 8 | $1.2B | 97 | 0 |
| O•••• W••••• M••••••••• L•• CRD 168219 | Altoona, WI | independent RIA | $9.5B | 74% | 31 | $308M | 2 | 0 |
| S••••••• I••••••••• M••••••••• G••••• L•• CRD 136369 | Little Rock, AR | asset manager | $9.5B | 1.3% | 11 | $868M | 1 | 0 |
| G••••••• C••••••• L•• CRD 158241 | New Canaan, CT | asset manager | $9.5B | 0.0% | 0 | Not computed | 0 | 31 |
| F••••• L•••• C••••••• L•• CRD 160694 | Burlingame, CA | asset manager | $9.5B | 0.0% | 0 | Not computed | 2 | 12 |
| S•• C•••••• P•••••••• L•• CRD 291389 | New York, NY | asset manager | $9.5B | 0.0% | 0 | Not computed | 2 | 11 |
| C••••••••• W•••••• L•• CRD 143483 | Los Angeles, CA | independent RIA | $9.5B | 91% | 79 | $120M | 19 | 0 |
| W••••••• G••••• I••••••••• CRD 125012 | Park City, UT | other | $9.5B | 0.0% | 3 | $3.2B | 1 | 3 |
| H••• R•••• C•••••• M••••••••• L•• CRD 166089 | Palm Beach Gardens, FL | other | $9.5B | 0.1% | 10 | $945M | 3 | 2 |
| G•••••• R•••• • Q•••• L•• CRD 106114 | Lancaster, PA | mixed wealth | $9.4B | 49% | 0 | Not computed | 0 | 3 |
| R••••••• W••••• M••••••••• CRD 168652 | New York, NY | independent RIA | $9.4B | 94% | 57 | $165M | 14 | 0 |
| S•• C•••••• P•••••••• L•• CRD 146106 | New York, NY | asset manager | $9.4B | 0.0% | 0 | Not computed | 0 | 11 |
| K•••••• L•••• L••• M••••••••• L•• CRD 316091 | New York, NY | asset manager | $9.4B | 0.0% | 0 | Not computed | 1 | 22 |
| G•• L••••• L•••••• CRD 110670 | L•••••, | other | $9.4B | 10% | 0 | Not computed | 0 | 0 |
| S••••• P•••••• E••••• S•••••••• CRD 110207 | Greenwich, CT | other | $9.4B | 0.0% | 0 | Not computed | 0 | 27 |
| I••••••• P•••••••• L••• CRD 164424 | New York, NY | asset manager | $9.4B | 0.0% | 0 | Not computed | 1 | 5 |
| R••••••••• C•••••• L•••••• CRD 142409 | Sydney, Nsw, | other | $9.4B | 0.0% | 0 | Not computed | 1 | 0 |
| F••••••• I••••••••• W••••• A•••••• L•• CRD 301896 | Boston, MA | mixed wealth | $9.4B | 48% | 38 | $247M | 11 | 0 |
| A••••••• L•• CRD 143611 | New York, NY | asset manager | $9.3B | 0.0% | 0 | Not computed | 1 | 19 |
| A••••••• P••••••• CRD 160802 | Washington, DC | asset manager | $9.3B | 0.0% | 0 | Not computed | 0 | 66 |
| J••• I••••••• • C••• L•• CRD 152450 | New York, NY | independent RIA | $9.3B | 100% | 16 | $583M | 0 | 0 |
| G•••••• A•••••••• L•• CRD 160185 | San Francisco, CA | asset manager | $9.3B | 0.0% | 0 | Not computed | 0 | 24 |
| S••••••••• A•••••••• L• CRD 333011 | San Francisco, CA | asset manager | $9.3B | 0.0% | 0 | Not computed | 0 | 1 |
| A•••• I••••••••• I••• CRD 286454 | Montreal, Quebec, | asset manager | $9.3B | 0.0% | 0 | Not computed | 1 | 3 |
| I••• U•• A•••• M••••••••• CRD 156313 | New York, NY | asset manager | $9.3B | 1.1% | 0 | Not computed | 3 | 0 |
| T••••••• P•••••• W••••• M••••••••• CRD 111838 | Dallas, TX | mixed wealth | $9.3B | 38% | 33 | $281M | 1 | 0 |
| S•••• C•••••• P••••••• CRD 166745 | Chicago, IL | asset manager | $9.3B | 0.0% | 0 | Not computed | 3 | 48 |
| L••••••• T•••• L•••••• CRD 158323 | London, | asset manager | $9.3B | 0.0% | 0 | Not computed | 0 | 2 |
| C•••••• C••••• A•••••••• L•• CRD 311663 | West Palm Beach, FL | asset manager | $9.3B | 0.0% | 0 | Not computed | 3 | 12 |
| O•••••• A•••••••• L•• CRD 160851 | Stamford, CT | asset manager | $9.2B | 0.0% | 0 | Not computed | 0 | 12 |
| P••••• S••••• E••••• C•••••• M••••••••• L•• CRD 310321 | Mission Woods, KS | asset manager | $9.2B | 0.0% | 0 | Not computed | 2 | 3 |
| G••••• W••••• M••••••••• I••• CRD 120894 | Englewood, CO | BD affiliated | $9.2B | 98% | 192 | $48.0M | 113 | 0 |
| N••••• P••• G••••• C•••••• L•• CRD 157629 | London, | asset manager | $9.2B | 0.0% | 0 | Not computed | 0 | 16 |
| P•••••• CRD 288239 | Shelton, CT | mixed wealth | $9.2B | 37% | 48 | $192M | 23 | 2 |
| G••••••••• A••••••• L•• CRD 287806 | New York, NY | asset manager | $9.2B | 0.0% | 0 | Not computed | 0 | 0 |
| E•••••••• G••••• A•••• M••••••••• L•• CRD 141772 | Old Greenwich, CT | institutional | $9.2B | 0.0% | 0 | Not computed | 1 | 4 |
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.