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 |
|---|---|---|---|---|---|---|---|---|
| 154 Partners Investment Management LLC CRD 333601 | New York, NY | asset manager | $438M | 0.0% | 0 | Not computed | 0 | 4 |
| Fischer Investment Group, Inc. CRD 110966 | Pittsford, NY | independent RIA | $438M | 100% | 0 | Not computed | 1 | 0 |
| Note Advisors, LLC CRD 171466 | Buffalo, NY | independent RIA | $437M | 83% | 5 | $87.4M | 0 | 0 |
| F•••••••• A•••• M••••••••• C••• CRD 106643 | Chappaqua, NY | independent RIA | $436M | 99% | 3 | $145M | 1 | 0 |
| O•• R••• C•••••• M••••••••• L•• CRD 285344 | New York, NY | asset manager | $436M | 0.0% | 0 | Not computed | 0 | 20 |
| M••••• O• A•••••• L••• I•••••••• C•••••• CRD 15356 | New York, NY | institutional | $434M | 0.0% | 0 | Not computed | 0 | 0 |
| S•••• I••••••••• M••••••••• L•• CRD 160815 | New York, NY | asset manager | $434M | 0.0% | 0 | Not computed | 0 | 1 |
| N••••••••• A••••••• L•• CRD 343216 | New York, NY | asset manager | $433M | 0.0% | 0 | Not computed | 1 | 0 |
| L•••••• C•••••• G••••• L•• CRD 130023 | New York, NY | institutional | $432M | 0.8% | 2 | $216M | 0 | 0 |
| T•••• N•••• C•••••• L• CRD 285348 | New York, NY | other | $432M | 0.0% | 0 | Not computed | 0 | 2 |
| I••••••••• C••••••••• CRD 161833 | New York, NY | asset manager | $432M | 0.0% | 0 | Not computed | 0 | 3 |
| P••••••• F•••••••• S••••••• L•• CRD 314154 | Melville, NY | independent RIA | $431M | 77% | 9 | $47.9M | 0 | 0 |
| M•• G•••• L•• CRD 164123 | Cedarhurst, NY | independent RIA | $431M | 58% | 2 | $215M | 0 | 0 |
| R••••••• C•••••• CRD 316437 | New York, NY | asset manager | $431M | 0.0% | 1 | $431M | 0 | 100 |
| D•••• M••••••••• L•• CRD 119786 | New York, NY | independent RIA | $430M | 83% | 0 | Not computed | 0 | 1 |
| S•••• F•••••••• G••••• L•• CRD 299263 | Corning, NY | independent RIA | $430M | 100% | 3 | $143M | 1 | 0 |
| R••••• I••••••••• M••••••••• L•• CRD 325109 | New York, NY | asset manager | $429M | 0.0% | 0 | Not computed | 0 | 0 |
| S••••• W••• C•••••• CRD 318517 | Brooklyn, NY | asset manager | $429M | 0.0% | 0 | Not computed | 0 | 1 |
| C••••••••• P••••••• I••••••••• M••••••••• L• CRD 285361 | New York, NY | asset manager | $428M | 0.0% | 0 | Not computed | 1 | 4 |
| S•• H••••• C•••••• M••••••••• L•• CRD 161490 | Great Neck, NY | asset manager | $427M | 0.0% | 0 | Not computed | 0 | 2 |
| C• C•••••• ••• P••••••• L• CRD 158979 | New York, NY | asset manager | $427M | 0.0% | 0 | Not computed | 2 | 4 |
| H•• M••••••••• C••••••••• CRD 161855 | New York, NY | asset manager | $427M | 0.0% | 0 | Not computed | 0 | 3 |
| A•• D•••••• F••••• L•• CRD 171847 | New York, NY | asset manager | $426M | 0.0% | 0 | Not computed | 0 | 2 |
| A••••••••• A•••••••• I•• CRD 153731 | New York, NY | independent RIA | $426M | 89% | 0 | Not computed | 0 | 7 |
| C•• C•••••• CRD 160700 | New York, NY | asset manager | $426M | 0.0% | 0 | Not computed | 0 | 3 |
| L••••••• S••••••••• C•••• CRD 16204 | Rochester, NY | BD affiliated | $425M | 100% | 77 | $5.5M | 74 | 0 |
| B••••••••• W••••• M••••••••• L•• CRD 291459 | New York, NY | independent RIA | $424M | 95% | 7 | $60.6M | 2 | 0 |
| A••••• S• R•• M••••••••• L••• CRD 330339 | New York, NY | asset manager | $424M | 0.0% | 0 | Not computed | 28 | 0 |
| M•••• C•••••• M••••••••• L• CRD 333745 | New York, NY | other | $422M | 0.0% | 0 | Not computed | 0 | 0 |
| C••••••• P••• C•••••• L•• CRD 150309 | Saratoga Springs, NY | independent RIA | $422M | 96% | 3 | $141M | 0 | 0 |
| A••••••••• C•••••• A•••••••• L•• CRD 133305 | Syracuse, NY | independent RIA | $422M | 84% | 4 | $106M | 0 | 0 |
| O••• C•••••• M••••••••• L•• CRD 289714 | New York, NY | asset manager | $422M | 0.0% | 0 | Not computed | 0 | 3 |
| M••••••• C•••••• L• CRD 311581 | Larchmont, NY | asset manager | $421M | 0.0% | 0 | Not computed | 0 | 2 |
| G•••••• C•••••• A•••••••• L•• CRD 167353 | Auburn, NY | independent RIA | $420M | 96% | 2 | $210M | 0 | 0 |
| R••• R••• • C••••••• I•• CRD 104645 | Bohemia, NY | independent RIA | $419M | 94% | 4 | $105M | 2 | 0 |
| O•• O•• C•••••• M••••••••• L•• CRD 170339 | Purchase, NY | independent RIA | $419M | 57% | 3 | $140M | 0 | 3 |
| S•••••• C••••••• L•• CRD 160734 | New York, NY | asset manager | $418M | 0.0% | 0 | Not computed | 0 | 7 |
| A••••• C•••••• M••••••••• L•• CRD 296835 | New York, NY | asset manager | $418M | 0.0% | 0 | Not computed | 0 | 12 |
| M••••••• C••••••••• G••••• L•• CRD 268812 | Amherst, NY | independent RIA | $416M | 98% | 3 | $139M | 0 | 0 |
| L••• 8• P••••••• CRD 319731 | New York, NY | asset manager | $415M | 0.0% | 0 | Not computed | 0 | 4 |
| M••••••• A••••••• CRD 159574 | New York, NY | independent RIA | $415M | 85% | 6 | $69.1M | 2 | 1 |
| G••• C•••• W••••• M••••••••• L•• CRD 156338 | Jericho, NY | independent RIA | $414M | 84% | 2 | $207M | 2 | 1 |
| S•• C•••••• M••••••••• L•• CRD 119043 | New York, NY | other | $413M | 0.0% | 0 | Not computed | 3 | 2 |
| A•••••••• P•••••••• L• CRD 161360 | New York, NY | asset manager | $413M | 0.0% | 0 | Not computed | 0 | 0 |
| A••••••• C•••••• M••••••••• L• CRD 157325 | New York, NY | asset manager | $412M | 0.0% | 0 | Not computed | 0 | 3 |
| B••• S••••• A•••• M••••••••• L•• CRD 296802 | New York, NY | independent RIA | $410M | 89% | 7 | $58.6M | 0 | 1 |
| S••••••••• I•••••• C•••••• M••••••••• L•• CRD 166616 | New York, NY | asset manager | $410M | 0.0% | 0 | Not computed | 2 | 0 |
| V••• G•••• CRD 160941 | New York, NY | asset manager | $410M | 0.0% | 0 | Not computed | 0 | 9 |
| W••••••••• M••••••••• L• CRD 286158 | New York, NY | asset manager | $409M | 0.0% | 0 | Not computed | 0 | 1 |
| N•• L••• V•••••• P••••••• CRD 163897 | New York, NY | asset manager | $408M | 0.0% | 0 | Not computed | 1 | 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.