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 |
|---|---|---|---|---|---|---|---|---|
| Oxler Private Wealth CRD 309684 | Rye Brook, NY | independent RIA | $578M | 93% | 4 | $145M | 4 | 0 |
| Valueworks, LLC CRD 116850 | New York City, NY | mixed wealth | $577M | 21% | 1 | $577M | 1 | 1 |
| Cello Capital Management, LP CRD 160398 | New York, NY | asset manager | $577M | 0.0% | 0 | Not computed | 0 | 2 |
| T•••• A•••• M••••••••• L• CRD 304666 | New York, NY | other | $577M | 0.0% | 0 | Not computed | 0 | 1 |
| B••••• O•• A•••••••• L• CRD 328180 | New York, NY | asset manager | $577M | 0.0% | 0 | Not computed | 0 | 3 |
| U••••••• I••••••••• L• CRD 306357 | New York, NY | asset manager | $574M | 0.0% | 0 | Not computed | 0 | 3 |
| I••••••••• I•••••••• I•• CRD 105677 | Nesconset, NY | independent RIA | $572M | 51% | 2 | $286M | 0 | 0 |
| L••• C•••••• M••••••••• L•• CRD 174093 | New York, NY | other | $571M | 17% | 0 | Not computed | 1 | 6 |
| G•••••• C•••••• M••••••••• L•• CRD 328451 | New York, NY | asset manager | $571M | 0.0% | 0 | Not computed | 0 | 2 |
| L•••••••• C•••••• M••••••••• L•• CRD 157603 | New York, NY | asset manager | $570M | 0.0% | 0 | Not computed | 0 | 4 |
| S••••••• P••••••• G••••• L•• CRD 188521 | Binghamton, NY | independent RIA | $568M | 98% | 16 | $35.5M | 2 | 0 |
| T••••••••• R• F••• M••••••••• C•••••• I• L•• CRD 291631 | New York, NY | asset manager | $568M | 0.0% | 0 | Not computed | 3 | 3 |
| P••••••• W••••• M••••••••• L•• CRD 160052 | Rochester, NY | independent RIA | $568M | 97% | 6 | $94.6M | 2 | 0 |
| E••••••• L•• CRD 304350 | Brooklyn, NY | independent RIA | $566M | 51% | 5 | $113M | 2 | 0 |
| S•••••• A•••• M••••••••• I•• CRD 107533 | New York, NY | independent RIA | $564M | 91% | 2 | $282M | 0 | 0 |
| E•• F••• M•••••• I•• L•• CRD 167090 | New York, NY | asset manager | $564M | 0.0% | 0 | Not computed | 0 | 0 |
| B••••••• F•• L•• CRD 292115 | B•••••••, NY | independent RIA | $563M | 100% | 15 | $37.5M | 16 | 0 |
| H••••••• C••••• I••••••••• L•• CRD 310227 | New York, NY | asset manager | $563M | 0.0% | 0 | Not computed | 0 | 4 |
| M• G••••• A•••••••• L•• CRD 166823 | New York, NY | asset manager | $562M | 0.0% | 0 | Not computed | 0 | 2 |
| C•••••• C•••••• M••••••••• L•• CRD 142766 | New York, NY | asset manager | $561M | 0.0% | 0 | Not computed | 0 | 8 |
| O••••• W••••• M••••••••• L•• CRD 105707 | Williamsville, NY | independent RIA | $559M | 81% | 2 | $279M | 0 | 0 |
| T••••••••• C•••••• S•••••••• L•• CRD 298222 | Pleasantville, NY | asset manager | $558M | 0.0% | 0 | Not computed | 0 | 0 |
| S• C•••••• L•• CRD 334301 | New York, NY | asset manager | $556M | 0.0% | 0 | Not computed | 0 | 3 |
| S••••• S••••• C•••••• L• CRD 333213 | New York, NY | asset manager | $556M | 0.0% | 0 | Not computed | 0 | 3 |
| I••••• C•••••• L•• CRD 330343 | New York, NY | asset manager | $556M | 0.0% | 0 | Not computed | 0 | 2 |
| P•••••• W••••• A•••••••• L•• CRD 120358 | New York, NY | independent RIA | $555M | 81% | 6 | $92.5M | 1 | 0 |
| H••••• W••••• M••••••••• CRD 124261 | Melville, NY | independent RIA | $554M | 86% | 4 | $138M | 0 | 0 |
| S•• C•••••• L•• CRD 335168 | New York, NY | asset manager | $553M | 0.0% | 0 | Not computed | 3 | 0 |
| M• A••••••• L•• CRD 332429 | New York, NY | asset manager | $553M | 0.0% | 0 | Not computed | 4 | 0 |
| N•• H•••••• T•••••• L•• CRD 337695 | New York, NY | asset manager | $550M | 0.0% | 0 | Not computed | 0 | 0 |
| T•••••••• I••••••••• M••••••••• L•• CRD 317282 | New York, NY | asset manager | $550M | 0.0% | 0 | Not computed | 1 | 6 |
| E•••• A•••• M••••••••• L•• CRD 304585 | New York, NY | asset manager | $549M | 0.0% | 0 | Not computed | 0 | 2 |
| W••••••••• S•••••• • C••• L•• CRD 149021 | New York, NY | independent RIA | $546M | 91% | 23 | $23.7M | 2 | 0 |
| A•••••• C•••••• M••••••••• L•• CRD 174130 | New York, NY | asset manager | $545M | 0.0% | 0 | Not computed | 3 | 1 |
| F•••• I••••••••• A••••••• L• CRD 166565 | New York, NY | asset manager | $544M | 0.0% | 0 | Not computed | 0 | 7 |
| P•••••• W••••• M••••••••• L•• CRD 306548 | Great Neck, NY | independent RIA | $543M | 97% | 5 | $109M | 2 | 0 |
| A••••••••• C••••• P•••••••• L•• CRD 324744 | New York, NY | asset manager | $541M | 0.0% | 0 | Not computed | 0 | 0 |
| H••••• A•••••••• I••• CRD 105090 | New York, NY | independent RIA | $540M | 95% | 13 | $41.6M | 2 | 0 |
| S••••• O• A•••••• M••••••••• C••• CRD 110023 | Syosset, NY | asset manager | $540M | 1.0% | 15 | $36.0M | 4 | 0 |
| T•••• C•••••• M••••••••• L•• CRD 161416 | Rye Brook, NY | asset manager | $538M | 0.0% | 0 | Not computed | 0 | 5 |
| A•••• P••••••• M••••••••• L•• CRD 286141 | New York, NY | asset manager | $538M | 0.0% | 0 | Not computed | 0 | 28 |
| A••••• C•••••• L• CRD 298247 | New York, NY | asset manager | $537M | 0.0% | 0 | Not computed | 0 | 2 |
| B••••••• C•••••• P••••••• L• CRD 300381 | New York, NY | asset manager | $533M | 0.0% | 0 | Not computed | 0 | 1 |
| P• S••••••••• A•••• M••••••••• L• CRD 149236 | New York, NY | asset manager | $532M | 0.0% | 0 | Not computed | 0 | 4 |
| N•• S••• R•••• CRD 161339 | New York, NY | asset manager | $532M | 0.0% | 0 | Not computed | 0 | 2 |
| G••••• S••••••••• L•• CRD 103727 | New York, NY | independent RIA | $530M | 89% | 19 | $27.9M | 0 | 0 |
| C• G••••• C•••••• M••••••••• L•• CRD 283431 | New York, NY | other | $529M | 9.1% | 0 | Not computed | 0 | 1 |
| A••• C•••••• L• CRD 158281 | New York, NY | asset manager | $527M | 0.0% | 0 | Not computed | 0 | 2 |
| H••• M•••••• I•• L•• CRD 318754 | New York, NY | asset manager | $527M | 0.0% | 0 | Not computed | 0 | 2 |
| M•••••••• A•••• M••••••••• C••••• A••••••• U•• L•• CRD 284788 | New York, NY | asset manager | $526M | 0.0% | 0 | Not computed | 4 | 3 |
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.