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 |
|---|---|---|---|---|---|---|---|---|
| Bridge Growth Partners, LLC CRD 168682 | New York, NY | asset manager | $407M | 0.0% | 0 | Not computed | 0 | 4 |
| Covara Capital, LLC CRD 337515 | New York, NY | asset manager | $405M | 0.0% | 0 | Not computed | 0 | 1 |
| Focusgrowth Asset Management, LP CRD 309245 | New York, NY | asset manager | $405M | 0.0% | 0 | Not computed | 0 | 8 |
| C•••••• O•• A••••••• L• CRD 328387 | New York, NY | asset manager | $404M | 0.0% | 0 | Not computed | 0 | 1 |
| H•••• J•••• I••••••••• M••••••••• I••• CRD 169293 | New York, NY | institutional | $402M | 3.5% | 1 | $402M | 0 | 0 |
| V••••••••• A•••••••• L•• CRD 337781 | New York, NY | asset manager | $401M | 0.0% | 0 | Not computed | 0 | 1 |
| S•••••••• C•••••• P•••••••• L• CRD 331288 | New York, NY | asset manager | $400M | 0.0% | 0 | Not computed | 0 | 11 |
| B•••• M••••••• C•••••• M••••••••• L•• CRD 118315 | Corning, NY | independent RIA | $400M | 99% | 6 | $66.7M | 2 | 0 |
| W•••••••• A•••••••• L•• CRD 119442 | Orchard Park, NY | independent RIA | $399M | 100% | 7 | $57.0M | 0 | 0 |
| T••••••• I••••••••• P••••••• CRD 318315 | New York, NY | asset manager | $398M | 0.0% | 0 | Not computed | 0 | 7 |
| L•• C•••••• M••••••••• L•• CRD 162329 | New York, NY | other | $397M | 16% | 1 | $397M | 3 | 1 |
| S••••••• F•••••••• L•• CRD 298989 | Armonk, NY | independent RIA | $397M | 85% | 3 | $132M | 1 | 0 |
| T•• V•••••••• G•••• L• CRD 327531 | New York, NY | asset manager | $396M | 0.0% | 0 | Not computed | 0 | 0 |
| D•••• C••••••• C•••••• CRD 321102 | New York, NY | asset manager | $396M | 0.0% | 0 | Not computed | 0 | 3 |
| S•••••• C•••••• M••••••••• CRD 109856 | New York, NY | asset manager | $395M | 0.0% | 0 | Not computed | 0 | 11 |
| 3•• P•••••••• L•• CRD 300835 | New York, NY | asset manager | $392M | 0.0% | 0 | Not computed | 0 | 2 |
| S•••••• A••••••••• L••• CRD 288572 | New York, NY | independent RIA | $392M | 100% | 41 | $9.5M | 8 | 0 |
| 1••• A•••••••• A••••••• L•• CRD 150575 | New York, NY | independent RIA | $390M | 74% | 0 | Not computed | 0 | 1 |
| A••••• I••••••••• L•• CRD 317344 | New York, NY | independent RIA | $390M | 100% | 8 | $48.8M | 0 | 0 |
| J••••• P• L•••• • A••••••••• L•• CRD 147625 | Yorktown Heights, NY | independent RIA | $388M | 100% | 3 | $129M | 0 | 0 |
| C••••••••• C•••••• A••••••• L•• CRD 337588 | New York, NY | independent RIA | $388M | 99% | 2 | $194M | 0 | 1 |
| A••••••• I••••••••• M••••••••• I•• CRD 137698 | New York, NY | asset manager | $384M | 0.0% | 0 | Not computed | 0 | 4 |
| A•••••• W••••• M••••••••• CRD 165504 | Smithtown, NY | independent RIA | $384M | 100% | 3 | $128M | 0 | 0 |
| P••••• A•••• M••••••••• •••• C••• CRD 306378 | New York, NY | asset manager | $382M | 0.0% | 0 | Not computed | 0 | 0 |
| S••••• W••••• G•••• CRD 106425 | Medford, NY | independent RIA | $382M | 98% | 7 | $54.6M | 4 | 0 |
| C••••• P••••••• M••••••••• L•• CRD 309328 | New York, NY | asset manager | $379M | 0.0% | 0 | Not computed | 0 | 5 |
| H••••• L••• A•••• M••••••••• L• CRD 298209 | New York, NY | asset manager | $378M | 0.0% | 0 | Not computed | 1 | 3 |
| B••••• C•••••• P••••••• CRD 326510 | Brooklyn, NY | asset manager | $378M | 0.0% | 0 | Not computed | 0 | 1 |
| V••••••• T••••••••• L• CRD 306817 | New York, NY | asset manager | $377M | 0.0% | 0 | Not computed | 0 | 0 |
| P••• D•••• C•••••• L•• CRD 284014 | New York, NY | asset manager | $376M | 0.0% | 0 | Not computed | 0 | 30 |
| F•••••• C•••••• M••••••••• L•• CRD 307394 | New York, NY | asset manager | $376M | 0.0% | 0 | Not computed | 0 | 2 |
| M•••••••• C•••••• M••••••••• L•• CRD 162543 | New York, NY | asset manager | $375M | 0.0% | 0 | Not computed | 0 | 4 |
| R••••••••• P••••••• G••••• L•• CRD 310647 | Malta, NY | independent RIA | $375M | 99% | 4 | $93.8M | 2 | 0 |
| H••• C•••••• M••••••••• L• CRD 157220 | New York, NY | asset manager | $375M | 0.0% | 0 | Not computed | 0 | 2 |
| C••• M•••• M••••••••• C••••••• L•• CRD 107695 | New York, NY | asset manager | $374M | 0.0% | 0 | Not computed | 0 | 4 |
| T•• P•••• G•••• W••••• M••••••••• L•• CRD 314685 | Victor, NY | independent RIA | $374M | 79% | 4 | $93.6M | 1 | 0 |
| H•••••• H••• G••••• C••••••• L•• CRD 167481 | New York, NY | asset manager | $373M | 0.0% | 0 | Not computed | 0 | 3 |
| F••• C••••••• L••• CRD 307860 | New York, NY | asset manager | $371M | 0.0% | 0 | Not computed | 0 | 2 |
| S••••••••• W••••• M••••••••• L•• CRD 335680 | Huntington, NY | independent RIA | $369M | 93% | 2 | $185M | 0 | 0 |
| E••• S••••• C•••••• CRD 333970 | New York, NY | asset manager | $367M | 0.0% | 0 | Not computed | 0 | 1 |
| L••••• M••••••••• L• CRD 333629 | New York, NY | asset manager | $367M | 0.0% | 0 | Not computed | 0 | 0 |
| I••••••••• P•••••• W••••• M••••••••• I••• CRD 324586 | Somers, NY | mixed wealth | $367M | 40% | 12 | $30.6M | 8 | 0 |
| S••••• M••••••••• L• CRD 317572 | New York, NY | asset manager | $366M | 0.0% | 0 | Not computed | 0 | 0 |
| F•• A••••••• L• CRD 300903 | New York, NY | asset manager | $366M | 0.0% | 0 | Not computed | 0 | 2 |
| J••••• A•••• M••••••••• L•• CRD 156563 | New York, NY | asset manager | $366M | 0.0% | 0 | Not computed | 0 | 1 |
| S••• A•••••••• L•• CRD 148964 | New York, NY | asset manager | $366M | 0.0% | 0 | Not computed | 5 | 0 |
| E•••• C••••••• U• CRD 315254 | New York, NY | asset manager | $366M | 0.0% | 0 | Not computed | 0 | 2 |
| R•••••••• O••••••••• L••• CRD 156800 | New York, NY | asset manager | $365M | 0.0% | 1 | $365M | 2 | 0 |
| R•••••• G•••• C••••••• L•• CRD 286228 | New York, NY | asset manager | $364M | 0.0% | 0 | Not computed | 0 | 1 |
| D••••• A••••••• CRD 291796 | New York, NY | independent RIA | $363M | 92% | 2 | $181M | 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.