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 |
|---|---|---|---|---|---|---|---|---|
| Marcuard Family Office Ltd CRD 155003 | Zurich, | independent RIA | $8.7B | 64% | 1 | $8.7B | 0 | 0 |
| Fil Investment Advisors CRD 111103 | Pembroke, | asset manager | $8.6B | 0.0% | 0 | Not computed | 1 | 0 |
| Saturna Capital Corporation CRD 25586 | Bellingham, WA | asset manager | $8.6B | 2.3% | 33 | $261M | 0 | 0 |
| T••• I••••••••• M••••••••• CRD 327436 | Radnor, PA | asset manager | $8.6B | 0.0% | 0 | Not computed | 1 | 0 |
| S••••• H••••••• M•••••• L• CRD 304924 | Toronto, Ontario, | asset manager | $8.6B | 0.0% | 0 | Not computed | 5 | 17 |
| W••• P•••• P••••••• CRD 156485 | Chicago, IL | asset manager | $8.6B | 0.0% | 0 | Not computed | 0 | 15 |
| T• P•••••• C••••• W••••• L•• CRD 164484 | New York, NY | BD affiliated | $8.6B | 80% | 523 | $16.4M | 221 | 0 |
| B••• T•••• C•••••• L• CRD 288110 | New York, NY | asset manager | $8.6B | 0.0% | 0 | Not computed | 0 | 14 |
| G•••••• I••••••••• M••••••••• L•• CRD 134392 | New York, NY | other | $8.6B | 0.0% | 0 | Not computed | 0 | 9 |
| G••••• C••••• A•••• M••••••••• I••• CRD 112674 | Reno, NV | other | $8.5B | 12% | 0 | Not computed | 0 | 0 |
| M••••• A•••••••• L•• CRD 167658 | Omaha, NE | BD affiliated | $8.5B | 94% | 154 | $55.5M | 75 | 0 |
| B••••••••• M••••••••• A••••••• L••••• CRD 171640 | New York, NY | asset manager | $8.5B | 0.0% | 0 | Not computed | 0 | 10 |
| V••• A• A••••••• CRD 301761 | New York City, NY | independent RIA | $8.5B | 94% | 0 | Not computed | 0 | 1 |
| O•• C•••••• M••••••••• L•• CRD 114861 | Westlake Village, CA | independent RIA | $8.5B | 63% | 64 | $133M | 12 | 0 |
| N•••••••• C•••••• M••••••••• I••• CRD 108091 | Lake Oswego, OR | institutional | $8.5B | 1.0% | 7 | $1.2B | 1 | 0 |
| S••••••••• W••••• P••••••• CRD 283515 | Franklin, TN | independent RIA | $8.5B | 99% | 125 | $67.9M | 11 | 0 |
| H•••••• I••••••••• L•• CRD 109552 | Charlotte, NC | asset manager | $8.5B | 6.4% | 27 | $314M | 0 | 0 |
| E••••••• C••••• A•••••••• L•• CRD 155736 | New York, NY | asset manager | $8.5B | 0.0% | 0 | Not computed | 9 | 29 |
| M••••••• C••••• P••••••• CRD 151578 | New York, NY | asset manager | $8.5B | 0.0% | 0 | Not computed | 1 | 0 |
| B•• M••••• S••••••••• C••••••••• CRD 231 | New York, NY | other | $8.4B | 15% | 64 | $132M | 5 | 0 |
| S•••••• S••••••••• I••• CRD 14023 | Columbus, GA | BD affiliated | $8.4B | 90% | 171 | $49.4M | 64 | 0 |
| D•••••• C• L••• • A••••••••• CRD 282563 | New York, NY | independent RIA | $8.4B | 92% | 16 | $528M | 2 | 0 |
| E•••••••• W••••• M••••••••• CRD 152622 | Seattle, WA | independent RIA | $8.4B | 98% | 69 | $122M | 17 | 1 |
| V•••• C••••• P•••••••• L••• CRD 329152 | New York, NY | asset manager | $8.4B | 0.0% | 0 | Not computed | 2 | 0 |
| A••••• A•••• M••••••••• L•• CRD 136674 | Boston, MA | mixed wealth | $8.4B | 26% | 2 | $4.2B | 0 | 4 |
| B•••••• G••••• A•••••••• L•• CRD 158508 | Boston, MA | independent RIA | $8.4B | 61% | 0 | Not computed | 1 | 77 |
| D••• T•••• C••••••• L• CRD 312459 | Greenwich, CT | asset manager | $8.4B | 0.0% | 0 | Not computed | 1 | 2 |
| Z•••• F•••••••• CRD 159257 | Portage, MI | independent RIA | $8.4B | 67% | 20 | $419M | 8 | 0 |
| S• C•••••• P••••••• CRD 161487 | New York, NY | asset manager | $8.4B | 0.0% | 0 | Not computed | 1 | 28 |
| A•••• P•••••••• L• CRD 284477 | Charlotte, NC | asset manager | $8.4B | 0.0% | 0 | Not computed | 6 | 9 |
| S•••••• I••••••••• A•••••••• L•• CRD 286353 | Shrewsbury, NJ | mixed wealth | $8.3B | 29% | 5 | $1.7B | 1 | 8 |
| E•••••••• P•••• W••••• P•••••••• L•• CRD 137068 | Denver, CO | independent RIA | $8.3B | 98% | 56 | $148M | 14 | 0 |
| W••••••••• A••••••• P••••••• L•• CRD 171976 | West Chester, PA | BD affiliated | $8.3B | 93% | 176 | $47.1M | 69 | 0 |
| B••••• G••••• A•••• M••••••••• CRD 129376 | B•••••, MA | BD affiliated | $8.3B | 51% | 150 | $55.2M | 73 | 0 |
| C•••••• A•••• M••••••••• L•• CRD 157517 | C••••••, NJ | asset manager | $8.3B | 0.0% | 0 | Not computed | 1 | 17 |
| N••••••• H•••••• • C••••••• L•• CRD 144516 | Atlanta, GA | independent RIA | $8.3B | 95% | 13 | $636M | 2 | 1 |
| A•••••••• C•••••• M••••••••• CRD 171128 | New York, NY | institutional | $8.3B | 0.0% | 1 | $8.3B | 0 | 0 |
| A••••• A••••••••• I••••••••• L• CRD 293127 | Mill Valley, CA | asset manager | $8.2B | 0.0% | 0 | Not computed | 0 | 1 |
| J• W• C••• A•••••••• I••• CRD 112294 | Tampa, FL | BD affiliated | $8.2B | 96% | 494 | $16.7M | 278 | 0 |
| I••••••• C•••••• M••••••••• C••• CRD 109330 | San Francisco, CA | asset manager | $8.2B | 0.0% | 0 | Not computed | 1 | 1 |
| C•••••• I••••••••• A•••••••• L•• CRD 158055 | Atlanta, GA | independent RIA | $8.2B | 100% | 59 | $139M | 6 | 0 |
| C•••••••• A••••••••• L••••••• L•• CRD 106003 | Boston, MA | independent RIA | $8.2B | 52% | 0 | Not computed | 1 | 0 |
| W••••••• A•••• M••••••••• L•• CRD 312425 | Houston, TX | asset manager | $8.2B | 0.0% | 0 | Not computed | 0 | 1 |
| P••••••• C•••••• P••••••• L•• CRD 269931 | Newton, MA | independent RIA | $8.2B | 88% | 2 | $4.1B | 1 | 0 |
| S•••••• A•••• M••••••••• ••• Y••••• I••• CRD 133827 | New Y•••, NY | asset manager | $8.2B | 0.0% | 0 | Not computed | 0 | 0 |
| R• M• D•••• I•• CRD 105448 | Portland, ME | independent RIA | $8.2B | 93% | 22 | $371M | 2 | 0 |
| S•••••••• V•••• L• CRD 156943 | New York, NY | asset manager | $8.2B | 0.0% | 0 | Not computed | 1 | 0 |
| R•••• G•••• L••••• CRD 161731 | New York, NY | asset manager | $8.2B | 0.0% | 0 | Not computed | 0 | 11 |
| C•••••• I••••••••• S•••••••• L•• CRD 159306 | Stamford, CT | independent RIA | $8.2B | 63% | 3 | $2.7B | 6 | 11 |
| B•••••••• I••••••••• L•• CRD 162492 | Naples, FL | mixed wealth | $8.1B | 39% | 0 | Not computed | 2 | 2 |
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.