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 |
|---|---|---|---|---|---|---|---|---|
| Aqr Arbitrage, LLC CRD 114626 | Greenwich, CT | asset manager | $4.4B | 0.0% | 0 | n/a | 0 | 2 |
| Prana Capital Management LP CRD 287925 | Greenwich, CT | asset manager | $4.3B | 0.0% | 0 | n/a | 0 | 1 |
| Whitehaven Asset Management, LP CRD 170531 | Greenwich, CT | asset manager | $4.2B | 0.0% | 0 | n/a | 0 | 2 |
| E•••• F•••••••• S•••••••• I••• CRD 127549 | E••••, CT | independent RIA | $4.2B | 83% | 33 | $126M | 3 | 0 |
| H••••• S••••••••• C•••••• M••••••••• L••• CRD 282919 | Stamford, CT | asset manager | $4.0B | 0.1% | 0 | n/a | 2 | 0 |
| G•••• B•••• C•••••• P••••••• L•• CRD 159807 | Greenwich, CT | asset manager | $4.0B | 0.0% | 0 | n/a | 1 | 0 |
| S••••••• I••••••••• P••••••• A•••••••• L•• CRD 156946 | Greenwich, CT | asset manager | $3.9B | 0.0% | 0 | n/a | 0 | 6 |
| C•••••• I••••••••• M••••••••• L•• CRD 143599 | Stamford, CT | independent RIA | $3.9B | 90% | 11 | $355M | 0 | 0 |
| V••• F•••••••• A•••••••• I••• CRD 2882 | Windsor, CT | BD affiliated | $3.9B | 100% | 747 | $5.2M | 303 | 0 |
| S••••• C•••••• M••••••••• L••• CRD 294459 | Greenwich, CT | asset manager | $3.7B | 0.0% | 0 | n/a | 0 | 12 |
| G•••••••• W••••• M••••••••• L•• CRD 142820 | G••••••••, CT | independent RIA | $3.5B | 64% | 12 | $293M | 2 | 0 |
| C••••• L•••• I••••••••• P•••••••• L•• CRD 297213 | Greenwich, CT | independent RIA | $3.4B | 99% | 4 | $853M | 0 | 0 |
| S•••• S•••• M••••••••• I•• CRD 112379 | Greenwich, CT | other | $3.4B | 0.1% | 1 | $3.4B | 0 | 1 |
| P••••••• C•••••• P•••••••• L••• CRD 165441 | Stamford, CT | asset manager | $3.4B | 0.0% | 0 | n/a | 4 | 9 |
| W•••••• C•••••• P••••••• ••• L• CRD 320777 | Stamford, CT | asset manager | $3.3B | 0.0% | 0 | n/a | 1 | 2 |
| B•••••• P•••••••• L•• CRD 315679 | Greenwich, CT | other | $3.2B | 0.0% | 0 | n/a | 1 | 8 |
| P•••••••• W••••• CRD 290180 | Madison, CT | independent RIA | $3.2B | 94% | 21 | $153M | 2 | 0 |
| A•••• P••••••• L•• CRD 314570 | Stamford, CT | asset manager | $3.2B | 0.0% | 0 | n/a | 1 | 6 |
| N•••••••• C•••••• M••••••••• L•• CRD 158081 | New Canaan, CT | asset manager | $3.1B | 0.0% | 0 | n/a | 0 | 0 |
| C••••••••• C•••••• S••••••••• L••• CRD 313057 | Stamford, CT | asset manager | $3.1B | 0.0% | 0 | n/a | 0 | 2 |
| C•••••• G•••• M••••••••• L•• CRD 168422 | Westport, CT | other | $3.0B | 0.0% | 0 | n/a | 1 | 0 |
| J••••• C••••••• L• CRD 291946 | Stamford, CT | asset manager | $3.0B | 0.0% | 0 | n/a | 1 | 19 |
| M••••••••• A•••• M••••••••• L•• CRD 157850 | Greenwich, CT | asset manager | $2.9B | 0.0% | 0 | n/a | 0 | 15 |
| C••••••••• P••••••• L• CRD 312387 | Greenwich, CT | asset manager | $2.9B | 0.0% | 0 | n/a | 1 | 2 |
| A•••••• R••• A•••• M••••••••• L• CRD 311471 | Westport, CT | asset manager | $2.8B | 0.0% | 0 | n/a | 1 | 1 |
| J•••••• B••••••• CRD 171168 | Wethersfield, CT | independent RIA | $2.8B | 100% | 27 | $103M | 9 | 0 |
| G•• C•••••• P••••••• L• CRD 306914 | Greenwich, CT | asset manager | $2.8B | 0.0% | 0 | n/a | 0 | 10 |
| M••••••• P••••••• CRD 162296 | Greenwich, CT | asset manager | $2.7B | 0.0% | 0 | n/a | 1 | 1 |
| P•••••••• C•••••• A•••••••• L•• CRD 157784 | Greenwich, CT | asset manager | $2.7B | 0.0% | 0 | n/a | 0 | 34 |
| M••• S••••• R••••••• L•• CRD 114629 | Lakeville, CT | independent RIA | $2.7B | 98% | 17 | $158M | 4 | 0 |
| S•••••••• C•••••• CRD 172775 | Greenwich, CT | institutional | $2.6B | 0.0% | 0 | n/a | 1 | 0 |
| B•••• C•••••• M••••••••• L••• CRD 132311 | Stamford, CT | independent RIA | $2.6B | 100% | 3 | $853M | 3 | 1 |
| D•••••••• G•••• L• CRD 154396 | Stamford, CT | asset manager | $2.5B | 0.0% | 0 | n/a | 0 | 10 |
| A••••• C•••••• P•••••••• L••• CRD 172012 | Greenwich, CT | asset manager | $2.5B | 0.0% | 0 | n/a | 1 | 8 |
| F••••••• C•••••• P•••••••• L•• CRD 161258 | West Hartford, CT | asset manager | $2.5B | 0.0% | 0 | n/a | 1 | 26 |
| R•• A••••••• L•• CRD 125696 | Stamford, CT | independent RIA | $2.4B | 100% | 7 | $350M | 0 | 0 |
| C•• I••••••••• P•••••••• L•• CRD 170071 | Westport, CT | asset manager | $2.4B | 0.0% | 0 | n/a | 0 | 2 |
| B•••••• P•••• C•••••• A•••••••• L•• CRD 264789 | Westport, CT | asset manager | $2.4B | 0.0% | 0 | n/a | 0 | 8 |
| C••••••••• M••••••••• L•• CRD 135810 | Stamford, CT | asset manager | $2.4B | 0.0% | 0 | n/a | 0 | 2 |
| O•• R•••• A•••• M••••••••• L•• CRD 167835 | Stamford, CT | asset manager | $2.4B | 0.0% | 0 | n/a | 0 | 10 |
| C••••••• C•••••• CRD 307688 | Stamford, CT | asset manager | $2.4B | 0.0% | 0 | n/a | 0 | 2 |
| U•• R••••• I•••••••• L•• CRD 107758 | Hartford, CT | asset manager | $2.3B | 0.0% | 0 | n/a | 5 | 3 |
| O••••• L••• M••••••••• L•• CRD 154380 | Greenwich, CT | asset manager | $2.3B | 0.0% | 0 | n/a | 0 | 0 |
| S••••••• C•••••• L• CRD 159560 | Greenwich, CT | asset manager | $2.3B | 0.0% | 0 | n/a | 1 | 8 |
| A•••• • A••••••• G••••• P••••••• CRD 8361 | Westport, CT | independent RIA | $2.3B | 92% | 131 | $17.6M | 17 | 1 |
| M••••• A••••••• CRD 171922 | Fairfield, CT | independent RIA | $2.3B | 98% | 49 | $46.5M | 7 | 0 |
| Y•• I••••••••• A••••••• I•• CRD 105434 | West Hartford, CT | independent RIA | $2.3B | 85% | 18 | $126M | 3 | 0 |
| C••••••• C•••••• M••••••••• L•• CRD 158120 | Rowayton, CT | asset manager | $2.3B | 0.0% | 0 | n/a | 1 | 4 |
| C••••• R•••••••• M•••••• L•• CRD 107911 | Stamford, CT | other | $2.3B | 9.9% | 0 | n/a | 0 | 1 |
| B•••••• CRD 167103 | Darien, CT | other | $2.3B | 12% | 4 | $565M | 2 | 0 |
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507 advisers match.