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 |
|---|---|---|---|---|---|---|---|---|
| Badgley Phelps Wealth Managers CRD 315440 | Seattle, WA | independent RIA | $7.3B | 96% | 27 | $270M | 3 | 0 |
| Peak Rock Capital LLC CRD 165138 | Austin, TX | asset manager | $7.3B | 0.0% | 0 | Not computed | 1 | 29 |
| Pacific Heights Asset Management, LLC CRD 124365 | San Francisco, CA | asset manager | $7.3B | 0.0% | 0 | Not computed | 2 | 0 |
| A•••••• I••••••••• A••••••• CRD 110213 | Santa Monica, CA | other | $7.3B | 2.2% | 0 | Not computed | 0 | 17 |
| M••••• F•••••••• S••••••• C•••••• M••••••••• L•• CRD 285820 | Bethesda, MD | asset manager | $7.3B | 0.0% | 0 | Not computed | 1 | 5 |
| D••••• C•••••• A•••••••• L•• CRD 110663 | Atlanta, GA | asset manager | $7.3B | 0.0% | 0 | Not computed | 0 | 33 |
| T•• T••• C•••••• P•••••••• L•• CRD 144546 | San Francisco, CA | asset manager | $7.3B | 0.0% | 0 | Not computed | 2 | 0 |
| H•• C•••••• CRD 287485 | New York, NY | asset manager | $7.3B | 0.0% | 0 | Not computed | 0 | 99 |
| R••••••••• I••••••••• G•••• L•• CRD 130849 | New York, NY | asset manager | $7.2B | 0.0% | 0 | Not computed | 2 | 21 |
| T•••• 2• I••••••••• L••• CRD 286618 | Rio De Janeiro, Rj, | independent RIA | $7.2B | 66% | 0 | Not computed | 0 | 5 |
| B•••••••• CRD 317318 | Larkspur, CA | asset manager | $7.2B | 0.0% | 0 | Not computed | 0 | 0 |
| B•• C•••••• F••••••••• A•• CRD 170746 | Klampenborg, | other | $7.2B | 0.0% | 0 | Not computed | 0 | 1 |
| P•• CRD 291331 | Chicago, IL | asset manager | $7.2B | 0.0% | 0 | Not computed | 1 | 9 |
| A•• C•••••• CRD 163576 | Greenwich, CT | asset manager | $7.2B | 0.0% | 0 | Not computed | 5 | 8 |
| I••••••• C•••••• P••••••• CRD 157315 | Washington, DC | asset manager | $7.2B | 0.0% | 0 | Not computed | 0 | 15 |
| E•••••••• C•••••• M••••••••• L•• CRD 104931 | Bellevue, WA | independent RIA | $7.2B | 91% | 27 | $266M | 5 | 8 |
| B•• • M•• B•• M••••••••• L•• CRD 330624 | New York, NY | asset manager | $7.2B | 0.0% | 0 | Not computed | 12 | 0 |
| S•••••• C•••••• •••• K•••• L•••••• CRD 168321 | H••• K•••, | institutional | $7.2B | 0.3% | 0 | Not computed | 0 | 1 |
| S••••••••• C•••••• P••••••• CRD 281620 | Boston, MA | asset manager | $7.2B | 0.0% | 0 | Not computed | 0 | 24 |
| S••••• H••• C•••••• M••••••••• L• CRD 167173 | New York, NY | asset manager | $7.2B | 0.0% | 0 | Not computed | 0 | 3 |
| B•••• B••••••• H••••••• M••••• F••• A••••••• D••••••••• CRD 111231 | New York, NY | asset manager | $7.2B | 0.0% | 0 | Not computed | 0 | 0 |
| G••••••••• CRD 111497 | Newton, MA | asset manager | $7.1B | 0.0% | 0 | Not computed | 0 | 42 |
| C••••••• • C••••••• I••• CRD 317672 | Mclean, VA | independent RIA | $7.1B | 98% | 47 | $152M | 0 | 0 |
| T•••••• B••••• C•••••• L•• CRD 6857 | Stamford, CT | asset manager | $7.1B | 5.6% | 9 | $792M | 1 | 7 |
| P•••••• C•••••• M••••••••• G••••• L•• CRD 311623 | Kansas City, MO | mixed wealth | $7.1B | 41% | 22 | $324M | 5 | 41 |
| M••••• I••••••••• M••••••••• L• CRD 108380 | West Conshohocken, PA | independent RIA | $7.1B | 89% | 6 | $1.2B | 1 | 12 |
| D••••• I••••••••• A•• A•••• M••••••••• L•• CRD 285629 | Miami, FL | asset manager | $7.1B | 0.0% | 0 | Not computed | 1 | 3 |
| B•••• C•••• I••••••••• M••••••••• I••• CRD 161344 | Toronto, | asset manager | $7.1B | 0.0% | 0 | Not computed | 0 | 1 |
| B•••••••• E••••• L• CRD 284667 | Beverly Hills, CA | asset manager | $7.1B | 0.0% | 0 | Not computed | 0 | 19 |
| C•••••••• P••••••• CRD 157488 | New York, NY | asset manager | $7.1B | 0.0% | 1 | $7.1B | 0 | 31 |
| T•• A••••••••• L•• CRD 116959 | New York, NY | independent RIA | $7.1B | 97% | 1 | $7.1B | 1 | 10 |
| C•••••• P•••••• F••••••• CRD 172960 | C••••••, IL | asset manager | $7.1B | 0.0% | 0 | Not computed | 1 | 32 |
| P•••••• I••••••••• L•• CRD 105646 | London, | other | $7.1B | 0.0% | 0 | Not computed | 0 | 0 |
| J••• W• B•••••• • C••• I••• CRD 105597 | New York, NY | independent RIA | $7.1B | 56% | 1 | $7.1B | 0 | 1 |
| A••• I••••••••• P••••••• L• CRD 171246 | New York, NY | asset manager | $7.1B | 0.0% | 7 | $1.0B | 0 | 14 |
| J••••••••• L••• CRD 158207 | Atlanta, GA | asset manager | $7.1B | 0.0% | 0 | Not computed | 5 | 21 |
| F••• P•••• I••••••••• L•• CRD 171158 | Houston, TX | asset manager | $7.1B | 0.0% | 1 | $7.1B | 0 | 12 |
| C•••• O•••• P••••••• M••••••••• L• CRD 285340 | Greenwich, CT | asset manager | $7.0B | 0.0% | 0 | Not computed | 0 | 18 |
| G•• L•• CRD 138802 | New York, NY | asset manager | $7.0B | 0.0% | 0 | Not computed | 4 | 4 |
| U• I••••••••• T••••••••• C•••••• M••••••••• L•• CRD 323370 | Coraopolis, PA | asset manager | $7.0B | 0.0% | 0 | Not computed | 1 | 7 |
| C•••••• C••••••• L• CRD 155751 | New York, NY | asset manager | $7.0B | 0.0% | 0 | Not computed | 0 | 10 |
| O•• M•••••• G•••• L•• CRD 320876 | New York, NY | other | $7.0B | 0.0% | 0 | Not computed | 1 | 4 |
| C••••••• G••••• CRD 111944 | Portland, OR | other | $7.0B | 0.0% | 0 | Not computed | 0 | 3 |
| W••••••• H••••• I••••••••• L•• CRD 160311 | New York, NY | asset manager | $7.0B | 0.0% | 0 | Not computed | 0 | 12 |
| C•••••••• C•••••• M••••••••• L•• CRD 109368 | Fort Lauderdale, FL | other | $7.0B | 0.9% | 2 | $3.5B | 0 | 0 |
| C•••••• • S••••• L•• CRD 142633 | New York, NY | independent RIA | $7.0B | 91% | 23 | $304M | 1 | 2 |
| G•••••••• C•••••• S•••••••• L•• CRD 316994 | San Francisco, CA | asset manager | $7.0B | 0.0% | 0 | Not computed | 9 | 16 |
| F•••••• L••• S••••••• M••••••••• L• CRD 317522 | Palo Alto, CA | asset manager | $7.0B | 0.0% | 0 | Not computed | 1 | 8 |
| T•••• A•••••••• I••• CRD 157508 | Houston, TX | asset manager | $7.0B | 0.0% | 0 | Not computed | 1 | 7 |
| M••••• P••••••• M••••••••• L•• CRD 289836 | San Francisco, CA | asset manager | $7.0B | 0.0% | 0 | Not computed | 0 | 16 |
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.