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 |
|---|---|---|---|---|---|---|---|---|
| Aviva Investors Canada Inc. CRD 333457 | Toronto, Ontario, | institutional | $9.2B | 0.0% | 0 | Not computed | 0 | 0 |
| Value Aligned Research Advisors, LLC CRD 319135 | other | $9.1B | 0.0% | 2 | $4.6B | 1 | 0 | |
| Crawford Investment Counsel Inc CRD 110271 | Atlanta, GA | independent RIA | $9.1B | 66% | 22 | $415M | 1 | 0 |
| W••••••••• C••••••• L••• CRD 173227 | Rosemont, IL | asset manager | $9.1B | 0.0% | 0 | Not computed | 0 | 5 |
| C•••• P••••••••• L••• CRD 118729 | Boston, MA | asset manager | $9.1B | 0.0% | 0 | Not computed | 5 | 10 |
| F• R••• A••••••• L•• CRD 306352 | Philadelphia, PA | asset manager | $9.1B | 0.0% | 0 | Not computed | 1 | 0 |
| H•••••••• S••••••••• L•• CRD 155759 | Boston, MA | asset manager | $9.1B | 0.0% | 0 | Not computed | 0 | 40 |
| A•••••••• P•••••••• L•• CRD 301354 | Houston, TX | independent RIA | $9.1B | 77% | 53 | $172M | 11 | 9 |
| H••• P••••• CRD 2993 | Portland, ME | independent RIA | $9.1B | 77% | 1 | $9.1B | 2 | 1 |
| B•••••• F••••• • S•••••• I•• CRD 106928 | Hartford, CT | independent RIA | $9.1B | 89% | 23 | $394M | 8 | 1 |
| I••••••• V••••••• CRD 156213 | San Francisco, CA | asset manager | $9.1B | 0.0% | 0 | Not computed | 2 | 39 |
| N•••••••• B••••• L••• A••••••• I• L•• CRD 306601 | Chicago, IL | asset manager | $9.0B | 0.0% | 0 | Not computed | 1 | 18 |
| 4•• C•••••• M••••••••• L•• CRD 160089 | New York, NY | asset manager | $9.0B | 0.0% | 0 | Not computed | 1 | 20 |
| D••••••• C•••••• M••••••••• L• CRD 160791 | Fort Lauderdale, FL | other | $9.0B | 0.0% | 0 | Not computed | 3 | 20 |
| M••••• E••••• P••••••• CRD 160672 | Hermosa Beach, CA | asset manager | $9.0B | 0.0% | 0 | Not computed | 2 | 31 |
| H•••••• T••••••• • K•••• L•• CRD 4031 | Conshohocken, PA | independent RIA | $9.0B | 91% | 469 | $19.2M | 250 | 0 |
| T•• S••••••• G••••• L••• CRD 157406 | Houston, TX | asset manager | $9.0B | 0.0% | 0 | Not computed | 1 | 20 |
| J•••• •••• I•• CRD 167596 | Boston, MA | asset manager | $9.0B | 0.0% | 0 | Not computed | 1 | 8 |
| J••• L••••• A•• C•••••• L•• CRD 292932 | New York, NY | asset manager | $9.0B | 0.0% | 0 | Not computed | 1 | 26 |
| S•••• Q•••• A•••••••• L•• CRD 132330 | Morristown, NJ | independent RIA | $9.0B | 85% | 40 | $225M | 7 | 5 |
| P••••••• G•••• U• M••••••••• C•• L•• CRD 293856 | New York, NY | asset manager | $9.0B | 0.0% | 0 | Not computed | 1 | 24 |
| C•••••••• G••••• I••••••••• I••• CRD 113360 | Houston, TX | mixed wealth | $9.0B | 34% | 22 | $408M | 2 | 0 |
| N•••••••• I•••••••• L•• CRD 161406 | Denver, CO | asset manager | $9.0B | 0.0% | 0 | Not computed | 8 | 33 |
| L••••••••• • C••• L•• CRD 156720 | Greenwich, CT | asset manager | $9.0B | 0.0% | 0 | Not computed | 0 | 24 |
| K•••••••• W••••• M••••••••• L•• CRD 148107 | Grants Pass, OR | independent RIA | $9.0B | 95% | 116 | $77.2M | 46 | 0 |
| S••••••• C•••••• P•••••••• L••••• CRD 160474 | New York, NY | asset manager | $9.0B | 0.0% | 0 | Not computed | 0 | 14 |
| Q•••••••• I••••••••• P••••••• L•• CRD 287822 | New York, NY | asset manager | $9.0B | 0.0% | 3 | $3.0B | 1 | 20 |
| A••••••• M••••••••• L• CRD 301152 | Boston, MA | asset manager | $8.9B | 0.0% | 0 | Not computed | 1 | 29 |
| I•••• A•••• M••••••••• L•• CRD 114335 | Portsmouth, NH | asset manager | $8.9B | 0.0% | 1 | $8.9B | 1 | 0 |
| T••••••• C•••••• A•••••••• L••••• CRD 123711 | Overland Park, KS | asset manager | $8.9B | 5.7% | 8 | $1.1B | 0 | 1 |
| W••••••• C•••••• P••••••• L•• CRD 157493 | Darien, CT | asset manager | $8.9B | 0.0% | 0 | Not computed | 2 | 33 |
| H••••• G•• L•• CRD 151848 | London, | institutional | $8.9B | 0.0% | 0 | Not computed | 1 | 13 |
| A•••••• W••••• M••••••••• L•• CRD 164081 | Carlsbad, CA | independent RIA | $8.9B | 89% | 38 | $234M | 26 | 0 |
| K•• I••••••••• S••••••• L•• CRD 136300 | Brooklyn, OH | BD affiliated | $8.9B | 99% | 637 | $13.9M | 25 | 0 |
| S•••••• C•••••• A••••••• L•• CRD 157299 | New York, NY | BD affiliated | $8.9B | 97% | 121 | $73.3M | 14 | 0 |
| G••••••• I••••••••• L•• CRD 141726 | Arden Hills, MN | independent RIA | $8.8B | 100% | 31 | $285M | 0 | 0 |
| A••••• C•••••• M••••••••• L•• CRD 113013 | New York, NY | institutional | $8.8B | 3.0% | 0 | Not computed | 0 | 1 |
| A••••••• W••••• A••••••• CRD 288863 | Atlanta, GA | BD affiliated | $8.8B | 84% | 221 | $39.8M | 104 | 0 |
| C•••••• A••••••• CRD 162200 | Fort Washington, PA | BD affiliated | $8.8B | 96% | 623 | $14.1M | 254 | 0 |
| H•••••• J••••••• G••••• A••••••• L•• CRD 112500 | Stamford, CT | other | $8.8B | 10% | 2 | $4.4B | 0 | 8 |
| R•••••••• S••••••• CRD 289977 | San Francisco, CA | independent RIA | $8.8B | 81% | 71 | $123M | 26 | 0 |
| U••• C•••••• W••••• A•••••••• L•• CRD 288199 | Houston, TX | BD affiliated | $8.8B | 94% | 0 | Not computed | 7 | 1 |
| T••• K••••••• L•• CRD 104554 | Boston, MA | institutional | $8.7B | 1.3% | 0 | Not computed | 3 | 0 |
| H••••• C•••••• M••••••••• L•• CRD 119278 | New York, NY | mixed wealth | $8.7B | 45% | 4 | $2.2B | 0 | 2 |
| M••• W••• C•••••• CRD 158959 | Los Angeles, CA | asset manager | $8.7B | 0.0% | 0 | Not computed | 4 | 4 |
| C••••••••• C•••••• P•••••••• L• CRD 306981 | Menlo Park, CA | asset manager | $8.7B | 0.0% | 0 | Not computed | 1 | 13 |
| S•••• S••••• L•••••• P••••••• A•••••••• L•• CRD 320821 | Dallas, TX | asset manager | $8.7B | 0.0% | 0 | Not computed | 5 | 0 |
| F•••• F•••••••• M••••••••• L• CRD 145706 | Lombard, IL | independent RIA | $8.7B | 82% | 117 | $74.3M | 59 | 0 |
| O•••• L• CRD 287919 | Houston, TX | asset manager | $8.7B | 0.0% | 0 | Not computed | 1 | 4 |
| M••••••• R••••••••• L•• CRD 148870 | New York, NY | asset manager | $8.7B | 0.0% | 0 | Not computed | 0 | 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.