DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Firms
SEC-registered investment advisers
One 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.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Wells Fargo Advisors CRD 11025 | St. Louis, MO | wirehouse | $252B | 93% | 4,134 | $61.0M | 1,338 | 0 |
| Vanguard Global Advisers, LLC CRD 164593 | Malvern, PA | asset manager | $250B | 0.0% | 0 | n/a | 2 | 0 |
| Balyasny Asset Management L.P. CRD 138111 | Chicago, IL | asset manager | $248B | 0.0% | 0 | n/a | 34 | 43 |
| A•••• A•••• M••••••••• C••••••• CRD 110997 | Tokyo, | asset manager | $247B | 0.0% | 0 | n/a | 3 | 0 |
| J•••••• N••••••• A•••• M••••••••• L•• CRD 111079 | Lansing, MI | asset manager | $246B | 0.0% | 0 | n/a | 1 | 0 |
| G••••••••• P••••••• I••••••••• M••••••••• L•• CRD 137432 | New York, NY | other | $241B | 0.2% | 3 | $80B | 4 | 73 |
| O•••• W•••••• I••• CRD 23131 | Scottsdale, AZ | BD affiliated | $235B | 97% | 8,054 | $29.2M | 5,586 | 0 |
| T•• S•••• I••••••••• L• CRD 137137 | New York, NY | asset manager | $233B | 0.0% | 0 | n/a | 2 | 62 |
| D•• I••••••••• G••• CRD 105075 | Frankfurt Am Main, | asset manager | $229B | 0.0% | 0 | n/a | 8 | 0 |
| M••••••• I••••••••• M••••••••• ••• L•• CRD 106435 | Boston, MA | asset manager | $228B | 0.6% | 0 | n/a | 1 | 0 |
| S••••••••• O•• L•• CRD 172116 | New York, NY | asset manager | $227B | 0.0% | 0 | n/a | 3 | 11 |
| M••••• I••••••••• L•• CRD 133449 | Boston, MA | institutional | $226B | 0.0% | 0 | n/a | 25 | 40 |
| S•••••••• S•••••••• A••••••• L•• CRD 281984 | New York, NY | asset manager | $225B | 0.0% | 0 | n/a | 22 | 39 |
| S•• F•••• M••••••••• L•••••• CRD 142968 | Mumbai, | institutional | $220B | 0.1% | 0 | n/a | 0 | 0 |
| R•••• C•••••• M••••••••• L•• CRD 281215 | London, | asset manager | $219B | 0.0% | 0 | n/a | 0 | 2 |
| S•• I••••••••• M••••••••• C••• CRD 105146 | Oaks, PA | mixed wealth | $216B | 24% | 127 | $1.7B | 3 | 0 |
| J••••••• A••••••••• CRD 107959 | New York, NY | asset manager | $215B | 1.2% | 0 | n/a | 2 | 12 |
| D• E• S••• • C••• L••• CRD 108679 | New York, NY | asset manager | $213B | 0.0% | 0 | n/a | 4 | 13 |
| C••••••••• F•••••••• N•••••• CRD 8032 | Waltham, MA | national BD | $213B | 95% | 2,942 | $72.3M | 1,433 | 0 |
| J••• H•••••• I••••••••• M••••••••• L•• CRD 105790 | Boston, MA | asset manager | $212B | 0.0% | 171 | $1.2B | 0 | 0 |
| T•••• C•••••• M••••••••• ••• L•• CRD 329865 | St Helier, | asset manager | $211B | 0.0% | 0 | n/a | 3 | 0 |
| T•••• C•••••• M••••••••• ••••••• L• CRD 330068 | St Helier, | asset manager | $211B | 0.0% | 0 | n/a | 0 | 0 |
| T•••• C•••••• M••••••••• ••••• L•• CRD 329853 | St Helier, | asset manager | $211B | 0.0% | 0 | n/a | 1 | 0 |
| N••••••• T•••• G••••• I••••••••• L•• CRD 111900 | London, | asset manager | $208B | 0.0% | 0 | n/a | 0 | 0 |
| F•••••••• I••••••••• C••••••••• CRD 105325 | Pittsburgh, PA | institutional | $207B | 1.9% | 241 | $860M | 2 | 0 |
| G•••• C•••••• P••••••• CRD 282439 | Wayzata, MN | asset manager | $207B | 0.0% | 0 | n/a | 8 | 1 |
| A•••• I••••••••• L•••••• CRD 162309 | Edinburgh, | asset manager | $207B | 0.0% | 0 | n/a | 1 | 1 |
| T••••• P•••• I••••••••• M••••••••• I••• CRD 314590 | Baltimore, MD | asset manager | $204B | 0.0% | 0 | n/a | 6 | 0 |
| O•••• S••••• I••••••••• A•••••••• L•• CRD 166710 | St. Louis, MO | asset manager | $204B | 0.0% | 0 | n/a | 1 | 0 |
| D•• I••••••••• M••••••••• A•••••••• I••• CRD 104518 | New York, NY | other | $200B | 0.0% | 0 | n/a | 5 | 4 |
| H•••••••• A•••••••• L•• CRD 145323 | Chicago, IL | BD affiliated | $199B | 90% | 1,043 | $190M | 132 | 0 |
| S•••••• N••••••• • C••••••• I••••••••• CRD 793 | St Louis, MO | national BD | $198B | 90% | 3,340 | $59.1M | 517 | 0 |
| E•••••• A••••••• G••••• L•• CRD 112058 | Greenwood Village, CO | BD affiliated | $195B | 85% | 1,944 | $101M | 1,234 | 0 |
| M•••••••• I••••••••• CRD 110338 | Toronto, Ontario, | asset manager | $195B | 0.0% | 0 | n/a | 7 | 2 |
| G•••••••• F•••••••• A•••••••• L•• CRD 146509 | Rolling Meadows, IL | institutional | $195B | 0.5% | 123 | $1.6B | 36 | 0 |
| H••••••••• P•••••••• L•• CRD 109846 | Boston, MA | asset manager | $191B | 0.0% | 0 | n/a | 1 | 311 |
| I•••••• A•••• M••••••••• L••• CRD 109985 | Henley-On-Thames, | asset manager | $188B | 0.0% | 0 | n/a | 1 | 5 |
| M•••••••• I••••••••• M••••••••• G••••• L•••••• CRD 277065 | Sydney, | other | $187B | 0.0% | 0 | n/a | 1 | 0 |
| N••••• F••• A•••••••• L•• CRD 104626 | Chicago, IL | asset manager | $186B | 0.0% | 0 | n/a | 5 | 0 |
| W•••••• A•••• M••••••••• C•••••• CRD 110441 | Pasadena, CA | asset manager | $185B | 4.4% | 0 | n/a | 1 | 0 |
| C••••••••• I••••••••• L•• CRD 137028 | New York, NY | mixed wealth | $185B | 26% | 42 | $4.4B | 8 | 4 |
| A•••••• P••••••• L•••••• P••••••••• CRD 150114 | Milwaukee, WI | asset manager | $184B | 0.0% | 0 | n/a | 16 | 10 |
| B••••••••• I•••• A••••••• L••••• CRD 289202 | New York, NY | institutional | $184B | 0.0% | 0 | n/a | 4 | 6 |
| O•••••• C•••••• M••••••••• L••• CRD 106793 | Los Angeles, CA | asset manager | $183B | 0.0% | 1 | $183B | 17 | 284 |
| T•••• B•••• CRD 157041 | Chicago, IL | asset manager | $183B | 0.0% | 0 | n/a | 6 | 151 |
| F•••• P••••••• W•••••• L•• CRD 159289 | St. Louis, MO | independent RIA | $182B | 86% | 1,043 | $174M | 112 | 26 |
| R•• G••••• A•••• M••••••••• ••• L•••••• CRD 168551 | London, | asset manager | $178B | 0.1% | 0 | n/a | 0 | 7 |
| G• A••••••• L•• CRD 148687 | Chicago, IL | asset manager | $178B | 0.0% | 0 | n/a | 8 | 42 |
| S••••••• M••••• D• A•••• M••••••••• C••••••• L•••••• CRD 301509 | Minato-Ku, Tokyo, | other | $178B | 0.0% | 0 | n/a | 0 | 0 |
| A•••••• A•••• M••••••••• CRD 106609 | Boston, MA | other | $177B | 0.0% | 0 | n/a | 0 | 47 |
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17,149 advisers match.