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 |
|---|---|---|---|---|---|---|---|---|
| Stripes, LLC CRD 157553 | New York, NY | asset manager | $8.1B | 0.0% | 0 | Not computed | 1 | 52 |
| Wedge Capital Management Llp CRD 106234 | Charlotte, NC | institutional | $8.1B | 0.6% | 22 | $370M | 0 | 0 |
| Harvest Fund Advisors LLC CRD 154425 | Wayne, PA | other | $8.1B | 4.6% | 0 | Not computed | 1 | 6 |
| M••••••••• A••••••••• CRD 150614 | Washington, DC | independent RIA | $8.1B | 58% | 10 | $812M | 0 | 0 |
| H•••• I••••••• A••••••• L•• CRD 269875 | San Francisco, CA | independent RIA | $8.1B | 100% | 2 | $4.1B | 0 | 0 |
| O••••••• I••••••••• L•••••• CRD 137926 | Hong Kong, | asset manager | $8.1B | 0.0% | 0 | Not computed | 0 | 0 |
| O••••••• I••••••••• L••• CRD 137931 | Georgetown, | asset manager | $8.1B | 0.0% | 0 | Not computed | 1 | 2 |
| L•••••••• C•••••• L•• CRD 156781 | New York, NY | asset manager | $8.1B | 0.0% | 0 | Not computed | 0 | 0 |
| W•••• I••••••••• M••••••••• I••• CRD 105088 | Omaha, NE | asset manager | $8.1B | 1.1% | 3 | $2.7B | 0 | 0 |
| G•••• M••••••••• L•• CRD 285045 | Washington, DC | asset manager | $8.1B | 0.0% | 0 | Not computed | 3 | 26 |
| A•••• W••••• M••••••••• L•• CRD 127987 | Brookfield, WI | independent RIA | $8.1B | 93% | 98 | $82.1M | 8 | 0 |
| C•••••••• A••••••• CRD 286243 | Boston, MA | independent RIA | $8.0B | 96% | 40 | $201M | 4 | 0 |
| C•••••• C•••••• M••••••••• L•• CRD 115167 | Greenwich, CT | asset manager | $8.0B | 0.0% | 0 | Not computed | 2 | 1 |
| B••••••••• I••••• A••••••• L••••• CRD 289550 | New York, NY | asset manager | $8.0B | 0.0% | 0 | Not computed | 4 | 6 |
| H••••• C•••••• M••••••••• L•• CRD 118070 | Alpharetta, GA | independent RIA | $8.0B | 54% | 24 | $334M | 4 | 0 |
| P••••• P•••••• E••••• ••••••• L•••••• CRD 318769 | Edinburgh, | other | $8.0B | 0.0% | 0 | Not computed | 2 | 9 |
| T•••• C•••••• M••••••••• L•• CRD 166910 | Dallas, TX | asset manager | $8.0B | 0.0% | 0 | Not computed | 0 | 19 |
| C••• A••• M••••••••• L•• CRD 284930 | New York, NY | asset manager | $8.0B | 0.0% | 0 | Not computed | 3 | 0 |
| B••••• C•••••• M••••••••• L• CRD 284363 | Scottsdale, AZ | asset manager | $8.0B | 0.0% | 0 | Not computed | 4 | 14 |
| C••••• P••••••• CRD 160892 | San Francisco, CA | asset manager | $8.0B | 0.0% | 0 | Not computed | 5 | 8 |
| G••••••••• I••••••••• CRD 105477 | New York, NY | asset manager | $8.0B | 0.0% | 42 | $190M | 3 | 0 |
| F•• R••• E••••• A••••••• G••••• L•• CRD 288195 | Irvine, CA | asset manager | $8.0B | 0.0% | 0 | Not computed | 1 | 9 |
| R•• A•••••••• L•• CRD 158401 | Vestavia Hills, AL | independent RIA | $8.0B | 64% | 187 | $42.6M | 71 | 0 |
| P•••••• C•••••• P••••••• L•••••• CRD 159031 | London, | asset manager | $8.0B | 0.0% | 0 | Not computed | 0 | 3 |
| B• I••••••••• P•••••••• L••• CRD 159349 | Boston, MA | asset manager | $7.9B | 0.0% | 0 | Not computed | 0 | 10 |
| I•• A•••••••• L•• CRD 148066 | Los Angeles, CA | independent RIA | $7.9B | 72% | 1 | $7.9B | 0 | 11 |
| L••••••• C•••••• C••••• A•••••• L•• CRD 293737 | Greenwich, CT | asset manager | $7.9B | 0.0% | 0 | Not computed | 4 | 1 |
| O•••• R••••••• P••••••• ••••• L• CRD 161327 | New York, NY | asset manager | $7.9B | 0.0% | 0 | Not computed | 2 | 14 |
| T••••••••• C•••••• M••••••••• L•• CRD 132694 | New York, NY | asset manager | $7.9B | 0.6% | 0 | Not computed | 0 | 3 |
| F•••••••• F•••• L•• CRD 157864 | Miami, FL | asset manager | $7.9B | 0.0% | 0 | Not computed | 2 | 22 |
| P•• M••••••••• A••••••• L•• CRD 323946 | Chagrin Falls, OH | asset manager | $7.9B | 0.0% | 0 | Not computed | 5 | 18 |
| H••••••••• F•••••••• A••••••• CRD 16986 | Columbus, OH | BD affiliated | $7.9B | 99% | 427 | $18.5M | 787 | 0 |
| R•• P•••••• C•••••• •••• I••• CRD 109648 | Toronto, On, | BD affiliated | $7.9B | 84% | 306 | $25.8M | 131 | 0 |
| D••• D••• A•• C••••••• I••• CRD 105179 | Baltimore, MD | independent RIA | $7.9B | 58% | 7 | $1.1B | 0 | 0 |
| K•••••• C•••••• M••••••••• C•••• CRD 157934 | Greenwich, CT | asset manager | $7.9B | 0.0% | 0 | Not computed | 0 | 2 |
| M•••• A•••• G••••• I••••••••• •••• K•••• L•••••• CRD 152807 | H••• K•••, | asset manager | $7.9B | 0.0% | 0 | Not computed | 0 | 0 |
| M•••••••• C••••••• L•• CRD 165153 | New York, NY | asset manager | $7.9B | 0.0% | 0 | Not computed | 0 | 3 |
| W••••••••• C•••••• U• A•••••••• L• CRD 161527 | San Mateo, CA | asset manager | $7.9B | 0.0% | 0 | Not computed | 2 | 7 |
| O•••••• I••••••••• P•••••••• L•• CRD 160990 | New York, NY | asset manager | $7.9B | 0.0% | 0 | Not computed | 1 | 16 |
| I•••••• I••••••••• M••••••••• L•• CRD 2288 | New York, NY | independent RIA | $7.8B | 87% | 0 | Not computed | 2 | 3 |
| I•••••• I••••••••• M••••••••• L•• CRD 343369 | New York, NY | independent RIA | $7.8B | 87% | 53 | $148M | 1 | 0 |
| H•••••• F••• A•••••••• L•• CRD 110577 | Birmingham, AL | asset manager | $7.8B | 0.0% | 0 | Not computed | 9 | 44 |
| H••••• P•••• C•••••• L• CRD 310871 | New York, NY | asset manager | $7.8B | 0.0% | 0 | Not computed | 0 | 19 |
| C••••••••• F•••••••• P••••••• CRD 311980 | Mcmurray, PA | independent RIA | $7.8B | 95% | 45 | $174M | 8 | 0 |
| G••••••••• F•••• D••••••••• L•• CRD 39805 | Chicago, IL | asset manager | $7.8B | 0.0% | 0 | Not computed | 2 | 0 |
| F•••• T•••• W••••• A••••••• L•• CRD 313015 | Cincinnati, OH | mixed wealth | $7.8B | 43% | 63 | $124M | 12 | 3 |
| A•••• A•••• M••••••••• A•••••••• I••• CRD 824 | New York, NY | asset manager | $7.8B | 0.0% | 1 | $7.8B | 0 | 0 |
| W•• D•• L•• CRD 334219 | Boston, MA | other | $7.8B | 0.0% | 0 | Not computed | 0 | 2 |
| E•••••• F••••• L•• CRD 338940 | St. Louis, MO | asset manager | $7.8B | 0.0% | 0 | Not computed | 3 | 15 |
| H•••••••• I••••••••• M••••••••• I••• CRD 137883 | Toronto, | asset manager | $7.8B | 0.3% | 0 | Not computed | 0 | 6 |
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.