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 |
|---|---|---|---|---|---|---|---|---|
| Neuberger Berman Loan Advisers IV LLC CRD 324282 | Chicago, IL | asset manager | $6.1B | 0.0% | 0 | n/a | 1 | 13 |
| Mainstreet Advisors CRD 146615 | Chicago, IL | other | $5.9B | 0.1% | 12 | $488M | 4 | 0 |
| Lasalle St. Investment Advisors, L.L.C. CRD 109701 | Elmhurst, IL | BD affiliated | $5.7B | 90% | 159 | $36.1M | 70 | 0 |
| O•••• I••••••••• S••••••••• L•• CRD 152957 | Chicago, IL | other | $5.7B | 0.0% | 0 | n/a | 0 | 0 |
| P•••••••• CRD 160319 | Chicago, IL | institutional | $5.6B | 0.0% | 8 | $697M | 9 | 0 |
| C••••••• G•••• A••••••• CRD 170912 | Lake Forest, IL | independent RIA | $5.5B | 93% | 21 | $262M | 2 | 0 |
| C•••••• W••••• M••••••••• L•• CRD 143490 | Naperville, IL | independent RIA | $5.5B | 88% | 42 | $130M | 6 | 0 |
| A•••••• C•••••• M••••••••• L•• CRD 307291 | Chicago, IL | asset manager | $5.4B | 0.0% | 0 | n/a | 2 | 2 |
| D•••• V•••••• I••••••••• L•• CRD 105990 | Peoria, IL | independent RIA | $5.3B | 73% | 23 | $232M | 1 | 0 |
| A•••• I••••••••• A•••••••• L•• CRD 287906 | Deerfield, IL | mixed wealth | $5.3B | 27% | 69 | $76.6M | 27 | 0 |
| T••• B••••• C•••••• P•••••••• L•• CRD 160403 | Chicago, IL | asset manager | $5.2B | 0.0% | 0 | n/a | 1 | 9 |
| T•••• CRD 287792 | Chicago, IL | asset manager | $5.1B | 0.0% | 2 | $2.5B | 0 | 0 |
| O••••••• A•••• M••••••••• I•• CRD 105471 | Lisle, IL | asset manager | $5.1B | 1.3% | 7 | $723M | 0 | 0 |
| N•••••••• B••••• L••• A••••••• L•• CRD 285579 | Chicago, IL | asset manager | $4.9B | 0.0% | 0 | n/a | 1 | 13 |
| C•••••• C••••••• L•• CRD 291624 | Chicago, IL | independent RIA | $4.8B | 97% | 11 | $438M | 0 | 0 |
| B•••••••• R••••• • F•••••••• I••• CRD 110608 | Chicago, IL | independent RIA | $4.8B | 94% | 16 | $299M | 2 | 0 |
| H•••••••• P••••••• P••••••• CRD 316636 | Downers Grove, IL | independent RIA | $4.8B | 98% | 114 | $42.0M | 67 | 0 |
| M•••••• C•••••• P••••••• CRD 160334 | Chicago, IL | asset manager | $4.8B | 0.0% | 0 | n/a | 0 | 13 |
| C•••••••• M••••••••• L•• CRD 109587 | Chicago, IL | institutional | $4.6B | 1.7% | 0 | n/a | 0 | 0 |
| W••• C•••••• P••••••• CRD 160632 | Chicago, IL | asset manager | $4.6B | 0.0% | 0 | n/a | 0 | 24 |
| E••••••• C•••••• M••••••••• L•• CRD 120338 | Evanston, IL | asset manager | $4.5B | 0.0% | 0 | n/a | 0 | 6 |
| E•••••••• A•••••••• L•• CRD 151635 | Chicago, IL | asset manager | $4.5B | 0.0% | 0 | n/a | 0 | 21 |
| B••••••••• CRD 167311 | Chicago, IL | asset manager | $4.5B | 0.0% | 0 | n/a | 0 | 4 |
| B••• O•• D•••••• I••••••••• T•••• A••••••• L•• CRD 337770 | Chicago, IL | asset manager | $4.4B | 0.0% | 0 | n/a | 9 | 0 |
| I•••••• I••••••••• A••••••• L•• CRD 104885 | Downers Grove, IL | asset manager | $4.4B | 0.0% | 0 | n/a | 3 | 0 |
| W••••••• I••••••••• A••••••• L••••• CRD 285602 | Chicago, IL | asset manager | $4.3B | 0.0% | 0 | n/a | 4 | 12 |
| A•••• W••••• A••••••• CRD 298079 | Chicago, IL | independent RIA | $4.3B | 76% | 11 | $390M | 3 | 0 |
| C••••••• C•••••• M••••••••• L•• CRD 128450 | Chicago, IL | institutional | $4.2B | 0.0% | 0 | n/a | 1 | 0 |
| G••••••••• I••••••••• CRD 129288 | Chicago, IL | asset manager | $4.1B | 0.0% | 0 | n/a | 3 | 0 |
| P••••••••• W••••• CRD 311735 | Hinsdale, IL | independent RIA | $4.1B | 78% | 11 | $372M | 6 | 0 |
| F••••••• F•••••••• P••••••• L•• CRD 166682 | Chicago, IL | asset manager | $4.1B | 0.0% | 0 | n/a | 1 | 14 |
| P••••••••• L•• CRD 133357 | Chicago, IL | institutional | $4.1B | 0.0% | 3 | $1.4B | 0 | 0 |
| A•••••• A•••• M••••••••• L•• CRD 118891 | Chicago, IL | institutional | $3.9B | 0.0% | 0 | n/a | 0 | 0 |
| F••••• C•••••• M••••••••• L•• CRD 171659 | Chicago, IL | institutional | $3.8B | 0.0% | 6 | $625M | 4 | 0 |
| V•••••• P••• C•••••• CRD 161079 | Chicago, IL | asset manager | $3.6B | 0.0% | 0 | n/a | 0 | 26 |
| C•••••• • C•••••• L• CRD 155606 | Chicago, IL | asset manager | $3.6B | 0.0% | 0 | n/a | 1 | 12 |
| R••••••••• P••• A•••••••• L•• CRD 122758 | Chicago, IL | mixed wealth | $3.5B | 23% | 47 | $75.3M | 30 | 0 |
| A••• I•••••••• CRD 325320 | Glenview, IL | asset manager | $3.3B | 0.1% | 2 | $1.7B | 1 | 0 |
| S••••••• C•••••• R••••••• • M••••••••• I••••••••• CRD 106201 | Chicago, IL | other | $3.3B | 3.9% | 0 | n/a | 0 | 3 |
| S•• R••••••• G•••• L•• CRD 161109 | Northbrook, IL | asset manager | $3.3B | 1.8% | 1 | $3.3B | 0 | 7 |
| L•••••• A••••••• G••••• L•• CRD 114003 | Chicago, IL | institutional | $3.2B | 0.0% | 0 | n/a | 0 | 0 |
| G•• I••••••••• A••••••• L•• CRD 171093 | Chicago, IL | asset manager | $3.2B | 0.0% | 0 | n/a | 1 | 11 |
| B•••••• C•••••• I••••••••• M••••••••• L•• CRD 167365 | Chicago, IL | asset manager | $3.2B | 0.0% | 1 | $3.2B | 18 | 12 |
| M•••••• W••••• M••••••••• CRD 324997 | Effingham, IL | other | $3.2B | 1.8% | 22 | $144M | 9 | 0 |
| N•••• S••••• I••••••••• L•• CRD 294355 | Chicago, IL | asset manager | $3.2B | 0.0% | 3 | $1.1B | 0 | 0 |
| F•••••••• P•••••••• L•• CRD 295508 | Lake Bluff, IL | institutional | $3.1B | 0.9% | 4 | $780M | 0 | 0 |
| R••••••••• H••••••••• M••••••••• I•• CRD 161235 | Lake Forest, IL | asset manager | $3.1B | 0.0% | 0 | n/a | 0 | 11 |
| C••••••• T••• • A••••••••• L•• CRD 111578 | Chicago, IL | independent RIA | $3.0B | 97% | 5 | $603M | 1 | 0 |
| W• G••••• P••••••• L•• CRD 135689 | Chicago, IL | asset manager | $3.0B | 0.0% | 0 | n/a | 4 | 37 |
| C••••••• F•••••••• A••••••• I•• CRD 109341 | Downers Grove, IL | independent RIA | $2.9B | 100% | 17 | $169M | 1 | 0 |
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678 advisers match.