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 |
|---|---|---|---|---|---|---|---|---|
| Sherborne Investors Management LP CRD 160178 | New York, NY | asset manager | $522M | 0.0% | 0 | Not computed | 0 | 4 |
| Dg Capital Management, LLC CRD 157258 | New York, NY | asset manager | $522M | 0.0% | 0 | Not computed | 2 | 3 |
| Andrew Garrett, Inc. CRD 29931 | New York, NY | independent RIA | $521M | 84% | 14 | $37.2M | 9 | 0 |
| B••••••• B•• C•••••• M••••••••• L•• CRD 164577 | New York, NY | asset manager | $518M | 0.0% | 0 | Not computed | 0 | 15 |
| H••••• H••• C•••••• M••••••••• L•• CRD 316815 | New York, NY | asset manager | $518M | 0.0% | 0 | Not computed | 0 | 5 |
| Q••••••• S••••••• P••••••• N•••• A•••••• I••• CRD 315603 | Ny, NY | institutional | $518M | 0.0% | 1 | $518M | 0 | 0 |
| J• P••••••• CRD 160932 | New York, NY | asset manager | $517M | 0.0% | 0 | Not computed | 3 | 8 |
| M•••••••• G••••• I••••••••• L•• CRD 322761 | New York, NY | asset manager | $516M | 0.0% | 0 | Not computed | 0 | 7 |
| W••••••••• C•••••• L•• CRD 301040 | West Harrison, NY | other | $515M | 18% | 3 | $172M | 0 | 1 |
| E••••••• W••••• M••••••••• L•• CRD 325629 | Victor, NY | independent RIA | $513M | 97% | 5 | $103M | 2 | 0 |
| C••• CRD 298587 | New York, NY | asset manager | $513M | 0.0% | 0 | Not computed | 0 | 9 |
| S•• J•••• I••••••••• A•••••••• L•• CRD 283880 | Port Jefferson, NY | asset manager | $512M | 9.2% | 4 | $128M | 1 | 0 |
| H•••••• F•••••••• CRD 305239 | West Henrietta, NY | independent RIA | $510M | 100% | 9 | $56.7M | 0 | 0 |
| E••••••• G•• A••••••• CRD 333934 | New York, NY | asset manager | $510M | 0.0% | 0 | Not computed | 9 | 3 |
| M•••••• A••••••• S•••••••• I••• CRD 132386 | White Plains, NY | independent RIA | $510M | 99% | 11 | $46.3M | 3 | 0 |
| N••••• P•••••••• L•• CRD 295859 | New York, NY | asset manager | $510M | 0.0% | 0 | Not computed | 0 | 5 |
| M••• A••••••• L•• CRD 284792 | New York, NY | asset manager | $509M | 0.0% | 0 | Not computed | 0 | 0 |
| T•••••••• C•••••• P••••••• L•• CRD 311053 | New York, NY | asset manager | $509M | 0.0% | 0 | Not computed | 0 | 13 |
| L•••••••• S•••••••• M••••••••• L•• CRD 314990 | New York, NY | asset manager | $509M | 0.0% | 0 | Not computed | 0 | 1 |
| C•••••••• V•••••• P••••••• CRD 309047 | New York, NY | asset manager | $508M | 0.0% | 0 | Not computed | 1 | 12 |
| M•• C•••••• M••••••••• L•• CRD 304299 | New York, NY | asset manager | $507M | 0.0% | 0 | Not computed | 0 | 21 |
| W•••• C•••••• P••••••• L•• CRD 106721 | Harrison, NY | mixed wealth | $506M | 48% | 0 | Not computed | 0 | 1 |
| G••••• C••••• A•••••••• L•• CRD 147843 | New York, NY | asset manager | $506M | 0.0% | 0 | Not computed | 1 | 6 |
| S••••••• C•••••• C••• CRD 107679 | Sag Harbor, NY | independent RIA | $503M | 94% | 0 | Not computed | 1 | 0 |
| H••••• G••••• CRD 322006 | New York, NY | asset manager | $502M | 0.0% | 0 | Not computed | 0 | 2 |
| K••• B••••••• A••••••• L•• CRD 144368 | New York, NY | independent RIA | $499M | 89% | 3 | $166M | 0 | 0 |
| B••• O••• C••••••• L•• CRD 315680 | New York, NY | asset manager | $499M | 0.0% | 0 | Not computed | 1 | 0 |
| L••••• C•••••• A•••••••• L•• CRD 332943 | Great Neck, NY | asset manager | $497M | 0.0% | 0 | Not computed | 0 | 3 |
| R•••••• C•••••• L•• CRD 322217 | New York, NY | asset manager | $497M | 0.0% | 0 | Not computed | 0 | 1 |
| L••••••••• M••••••••• I••• CRD 157144 | New York, NY | asset manager | $494M | 0.0% | 0 | Not computed | 0 | 9 |
| S••••••••• G••••• M••••••••• L• CRD 325400 | New York, NY | asset manager | $493M | 0.0% | 0 | Not computed | 0 | 1 |
| U•• A•••• M••••••••• CRD 21274 | New York, NY | independent RIA | $493M | 63% | 4 | $123M | 0 | 1 |
| V••••• C•••••• P••••••• CRD 313929 | New York, NY | asset manager | $491M | 0.0% | 0 | Not computed | 2 | 7 |
| S•••••• W••••• CRD 142214 | Chappaqua, NY | independent RIA | $491M | 99% | 8 | $61.3M | 5 | 0 |
| H•••••••• C••••• A•• I••••• F••• I• M••••••• L•• CRD 288671 | New York, NY | institutional | $490M | 0.0% | 0 | Not computed | 0 | 2 |
| 1••• C•••••• L•• CRD 298880 | New York, NY | institutional | $486M | 0.0% | 1 | $486M | 0 | 0 |
| A•••• A•••••••• L••••• CRD 157238 | New York, NY | asset manager | $486M | 0.0% | 0 | Not computed | 0 | 3 |
| A••••••• C•••••• M••••••• ••••••••• L•• CRD 323376 | New York, NY | asset manager | $486M | 0.0% | 0 | Not computed | 0 | 1 |
| B•••••• M••••••••• L•• CRD 160738 | New York, NY | asset manager | $485M | 0.0% | 0 | Not computed | 0 | 0 |
| N••• M•••• C•••••• A••••••• L•• CRD 322775 | New York, NY | asset manager | $485M | 0.0% | 0 | Not computed | 0 | 0 |
| G•••••• K•••• L•• CRD 126461 | Latham, NY | independent RIA | $484M | 99% | 4 | $121M | 0 | 0 |
| P••• C•••••• M••••••••• I••• CRD 308358 | New York, NY | asset manager | $482M | 0.0% | 0 | Not computed | 1 | 2 |
| E••• C•••••• M••••••••• CRD 167047 | New York, NY | asset manager | $482M | 0.0% | 0 | Not computed | 0 | 2 |
| O•••••••• G••••• M••••••••• L• CRD 288356 | New York, NY | asset manager | $481M | 0.0% | 0 | Not computed | 0 | 3 |
| A••••• M••••••••• L•• CRD 338348 | New York, NY | asset manager | $481M | 0.0% | 0 | Not computed | 1 | 0 |
| L••• P•••• C••••••• L• CRD 174322 | New York, NY | asset manager | $481M | 0.0% | 0 | Not computed | 0 | 5 |
| S•••• P•••• M••••••• M••••••••• C•••••• L•• CRD 329887 | New York, NY | asset manager | $478M | 0.0% | 0 | Not computed | 0 | 0 |
| I•• L••• W•••••• L•• CRD 322488 | New York, NY | bank affiliated | $478M | 74% | 9 | $53.2M | 2 | 0 |
| B•••• S•• P••••••• L•• CRD 317966 | New York, NY | asset manager | $477M | 0.0% | 0 | Not computed | 0 | 6 |
| S•• C•••••• P••••••• L• CRD 160561 | Rye, NY | asset manager | $477M | 0.0% | 0 | Not computed | 0 | 9 |
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.