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 |
|---|---|---|---|---|---|---|---|---|
| Quid Capital Group Holdings, LLC CRD 297179 | Santa Monica, CA | asset manager | $7.8B | 0.0% | 0 | Not computed | 1 | 36 |
| Ae Industrial Partners, LP CRD 173020 | Boca Raton, FL | asset manager | $7.7B | 0.0% | 0 | Not computed | 1 | 36 |
| Frazier Healthcare Partners CRD 157324 | Seattle, WA | asset manager | $7.7B | 0.0% | 0 | Not computed | 0 | 25 |
| O••••••• CRD 283087 | Beachwood, OH | independent RIA | $7.7B | 94% | 118 | $65.4M | 47 | 0 |
| D••••••••• T••••••••• A••••••• L•• CRD 164828 | Dallas, TX | asset manager | $7.7B | 0.0% | 1 | $7.7B | 1 | 28 |
| C•••••• C•••••• L•• CRD 137887 | New York, NY | asset manager | $7.7B | 0.0% | 0 | Not computed | 1 | 43 |
| F•••••••• T•••• I••••••••• L•• CRD 124062 | Lincoln, MA | bank affiliated | $7.7B | 78% | 14 | $548M | 3 | 7 |
| H••• W••••• A••••••• CRD 112139 | Erie, PA | independent RIA | $7.7B | 90% | 73 | $105M | 12 | 0 |
| S••••• C•••••• P•••••••• L••• CRD 134660 | Menlo Park, CA | other | $7.6B | 0.0% | 0 | Not computed | 0 | 13 |
| A•••••• W••••• L• CRD 147200 | Lake Oswego, OR | independent RIA | $7.6B | 64% | 28 | $272M | 4 | 0 |
| M••••••• • C•••••• L•• CRD 115060 | San Francisco, CA | other | $7.6B | 0.2% | 1 | $7.6B | 2 | 0 |
| F•••• CRD 285961 | West Palm Beach, FL | independent RIA | $7.6B | 100% | 87 | $87.4M | 25 | 0 |
| M•• I••••••••• G•••• L• CRD 174126 | New York, NY | asset manager | $7.6B | 0.0% | 0 | Not computed | 4 | 36 |
| B•••••••• A•••• M••••••••• L•• CRD 143440 | Reno, NV | independent RIA | $7.6B | 68% | 172 | $44.1M | 113 | 0 |
| B•••• A••••••• CRD 106375 | Norfolk, VA | independent RIA | $7.6B | 73% | 17 | $445M | 2 | 16 |
| A•••••• P••••••• P•••••••• I••• CRD 106237 | Dubuque, IA | BD affiliated | $7.6B | 69% | 252 | $30.0M | 169 | 0 |
| L•• M••••••••• H•••••• L••• CRD 323438 | Philadelphia, PA | asset manager | $7.6B | 0.0% | 0 | Not computed | 1 | 19 |
| D•• C•••••• P••••••• CRD 113609 | Palm Beach Gardens, FL | mixed wealth | $7.6B | 27% | 1 | $7.6B | 1 | 2 |
| B••••••• I••• CRD 110550 | Foster City, CA | independent RIA | $7.6B | 71% | 40 | $189M | 2 | 0 |
| I•• M••••••••• L••• CRD 277037 | New York, NY | asset manager | $7.6B | 0.0% | 0 | Not computed | 3 | 0 |
| H••••••••• C•••••• M••••••••• L•• CRD 134776 | New York, NY | asset manager | $7.6B | 0.0% | 0 | Not computed | 0 | 16 |
| Q•• CRD 161705 | New York, NY | asset manager | $7.5B | 0.0% | 0 | Not computed | 1 | 17 |
| S•••• C•••••• CRD 166403 | New York, NY | asset manager | $7.5B | 0.0% | 0 | Not computed | 0 | 3 |
| C••••••• I••••••••• C•••••• CRD 150488 | Pepper Pike, OH | independent RIA | $7.5B | 82% | 37 | $203M | 10 | 0 |
| 5• N•••• C•••••• M••••••••• L• CRD 300258 | Houston, TX | asset manager | $7.5B | 0.0% | 0 | Not computed | 1 | 1 |
| J•• F•••••••• G•••• L•• CRD 110302 | Downers Grove, IL | independent RIA | $7.5B | 100% | 48 | $156M | 3 | 0 |
| O•••••••• C•••••• M••••••••• CRD 109580 | San Francisco, CA | other | $7.5B | 13% | 0 | Not computed | 0 | 0 |
| W•••• S••••• H••••••••• P•••••••• L•• CRD 156694 | Chicago, IL | asset manager | $7.5B | 0.0% | 0 | Not computed | 0 | 16 |
| L•••••• O•••• A•••• M••••••••• •••• C••• CRD 153582 | New York, NY | asset manager | $7.5B | 0.0% | 0 | Not computed | 7 | 9 |
| C•••••• P••••••• I••••••••• G•••• L•• CRD 147662 | C••••••, IL | independent RIA | $7.5B | 94% | 54 | $138M | 19 | 3 |
| H••• F•••••••• G••••• L•• CRD 306877 | Minneapolis, MN | institutional | $7.5B | 1.3% | 4 | $1.9B | 3 | 0 |
| H•••••••• A••••••• C•••• CRD 109845 | Arlington, VA | other | $7.5B | 0.0% | 10 | $745M | 0 | 0 |
| H••••• H•••••• C•••••• L•• CRD 161240 | New York, NY | asset manager | $7.4B | 0.0% | 26 | $286M | 0 | 105 |
| W•••••• M••••••••• L•• CRD 301822 | San Francisco, CA | asset manager | $7.4B | 0.0% | 0 | Not computed | 3 | 43 |
| M••••• W••••• M••••••••• L•••••• CRD 138189 | London, | other | $7.4B | 0.0% | 0 | Not computed | 0 | 1 |
| G••••••• F•••• M••••••••• L•• CRD 152209 | West Palm Beach, FL | asset manager | $7.4B | 0.0% | 0 | Not computed | 2 | 43 |
| X• L• CRD 308156 | New York, NY | asset manager | $7.4B | 0.0% | 0 | Not computed | 1 | 13 |
| J•• P•••••••• L•• CRD 285186 | New York, NY | asset manager | $7.4B | 0.0% | 0 | Not computed | 0 | 42 |
| W••••••••• C•••••• M••••••••• I•• CRD 105253 | Seattle, WA | asset manager | $7.4B | 0.7% | 6 | $1.2B | 7 | 10 |
| E••••••• A•••• M••••••••• L•• CRD 147110 | Boston, MA | asset manager | $7.4B | 0.0% | 1 | $7.4B | 0 | 2 |
| L•••••• A•••• M••••••••• L• CRD 148267 | New York, NY | other | $7.4B | 16% | 0 | Not computed | 0 | 2 |
| R••••••••• A•• W••••• A• A••••••• L•• CRD 167970 | Wayne, PA | institutional | $7.4B | 0.0% | 44 | $168M | 11 | 0 |
| F•••• N••••••• A•••••••• L•• CRD 277146 | Omaha, NE | mixed wealth | $7.4B | 23% | 29 | $254M | 4 | 0 |
| S••••••• P••••••• L• CRD 323078 | New York, NY | asset manager | $7.4B | 0.0% | 0 | Not computed | 0 | 2 |
| M•••••• I••••••••• CRD 305418 | Overland Park, KS | independent RIA | $7.3B | 96% | 120 | $61.2M | 55 | 0 |
| S••••••• E••••• CRD 160619 | Boston, MA | asset manager | $7.3B | 0.0% | 0 | Not computed | 2 | 32 |
| C••••• C•• M••••••••• L•• CRD 298135 | Minneapolis, MN | asset manager | $7.3B | 0.0% | 0 | Not computed | 2 | 17 |
| A••••• L••• C•••••• M••••••••• L• CRD 298198 | Stamford, CT | asset manager | $7.3B | 0.0% | 0 | Not computed | 0 | 5 |
| D•••••••• C•••••• M••••••••• L•• CRD 109380 | Coral Gables, FL | other | $7.3B | 13% | 0 | Not computed | 1 | 94 |
| C•••••• M••••••••• L•• CRD 315897 | Bellevue, WA | asset manager | $7.3B | 8.1% | 1 | $7.3B | 1 | 0 |
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.