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 |
|---|---|---|---|---|---|---|---|---|
| University Ventures CRD 163575 | New York, NY | asset manager | $363M | 0.0% | 0 | Not computed | 0 | 10 |
| Point Windward Advisors, Inc. CRD 110457 | New York, NY | independent RIA | $359M | 100% | 6 | $59.8M | 5 | 0 |
| Papamarkou Wellner Perkin Advisors CRD 131796 | New York, NY | independent RIA | $358M | 90% | 8 | $44.7M | 1 | 1 |
| O••••••• P••••••• L•• CRD 162325 | New York, NY | asset manager | $356M | 0.0% | 0 | Not computed | 0 | 2 |
| T••• P•••• C•••••• L•• CRD 281731 | New York, NY | asset manager | $356M | 0.0% | 0 | Not computed | 0 | 5 |
| A•••• C•••••• A•••••••• L•• CRD 304164 | New York, NY | asset manager | $355M | 0.0% | 0 | Not computed | 0 | 2 |
| L•••• H••••• C•••••• M••••••••• L•• CRD 304646 | Cold Spring H•••••, NY | asset manager | $354M | 0.0% | 0 | Not computed | 0 | 2 |
| T•••••• P•••••••• L• CRD 299327 | New York, NY | asset manager | $354M | 0.0% | 0 | Not computed | 0 | 3 |
| N••• M••••••••• A•••••••• L•• CRD 324644 | New York, NY | asset manager | $353M | 0.0% | 0 | Not computed | 0 | 3 |
| J•••• R••• C•••••• M••••••••• L••• CRD 296822 | New York, NY | asset manager | $350M | 0.0% | 0 | Not computed | 0 | 1 |
| S•••• C•••••• L•• CRD 326728 | Harrison, NY | independent RIA | $350M | 95% | 5 | $70.0M | 1 | 0 |
| S•• C•••••• M••••••••• L•• CRD 297944 | New York, NY | other | $350M | 0.0% | 0 | Not computed | 1 | 10 |
| G••••••••• P•••••• I••••••••• L•• CRD 331479 | New York, NY | asset manager | $349M | 3.5% | 0 | Not computed | 0 | 2 |
| T•••• I••••• A••••••• I••• CRD 328179 | New York, NY | asset manager | $348M | 0.0% | 0 | Not computed | 0 | 0 |
| U••••• F•••••••• P••••••• G•••• L•• CRD 149843 | Hauppauge, NY | independent RIA | $347M | 100% | 4 | $86.9M | 5 | 0 |
| V•••••• M••••••••• L• CRD 160685 | New York, NY | asset manager | $346M | 0.0% | 0 | Not computed | 0 | 0 |
| C•••••••• W••••• A•••••••• L•• CRD 152895 | Saratoga Springs, NY | independent RIA | $346M | 98% | 6 | $57.6M | 1 | 0 |
| P••••••••• M••••••••• L•• CRD 292362 | New York, NY | asset manager | $345M | 0.0% | 0 | Not computed | 0 | 3 |
| B••••• L••• A•••• M••••••••• I••• CRD 111114 | Pawling, NY | independent RIA | $344M | 80% | 3 | $115M | 4 | 0 |
| F•••••• G••••• M••••••••• C••• CRD 285005 | New York, NY | asset manager | $343M | 0.0% | 0 | Not computed | 1 | 0 |
| D••••••• D•• A•••••• L•• CRD 335395 | New York, NY | asset manager | $343M | 0.0% | 0 | Not computed | 2 | 0 |
| C•••••• A••••••• B•• A•••••••• L•• CRD 312723 | New York, NY | asset manager | $342M | 0.0% | 0 | Not computed | 3 | 0 |
| E••••••••• A••••••• CRD 304438 | New York, NY | other | $342M | 11% | 4 | $85.5M | 1 | 0 |
| P••• R•••• T••••• G•••• CRD 156302 | Pittsford, NY | independent RIA | $340M | 100% | 6 | $56.7M | 0 | 0 |
| T•• M••••• C••••••• I••• CRD 109288 | New York, NY | independent RIA | $340M | 100% | 0 | Not computed | 0 | 0 |
| Q•••••• P•••••••• M••••••••• L•• CRD 326280 | New York, NY | mixed wealth | $340M | 25% | 5 | $67.9M | 1 | 0 |
| S••••••••• C•••••• M••••••••• L• CRD 305743 | New York, NY | asset manager | $340M | 0.0% | 0 | Not computed | 0 | 2 |
| G••••• E••••• C•••••• H•••••••• I••• CRD 161948 | New York, NY | asset manager | $339M | 0.0% | 0 | Not computed | 0 | 1 |
| M••••••••• A•••••••• L••• CRD 170847 | New York, NY | mixed wealth | $339M | 26% | 11 | $30.9M | 6 | 20 |
| H••••• C••••••• C•••••• M••••••••• L•• CRD 282602 | New York, NY | asset manager | $339M | 0.0% | 0 | Not computed | 0 | 6 |
| M••••• R•• C•••••• M••••••••• L•• CRD 162500 | New York, NY | asset manager | $339M | 0.0% | 0 | Not computed | 0 | 5 |
| 3•• C•••••• CRD 310762 | New York, NY | institutional | $338M | 0.0% | 0 | Not computed | 0 | 1 |
| M••••• C•••••• M••••••••• L•• CRD 284629 | New York, NY | other | $337M | 0.0% | 2 | $169M | 0 | 1 |
| C•••• R••••• C•••••• L• CRD 313143 | New York, NY | asset manager | $336M | 0.0% | 0 | Not computed | 0 | 4 |
| C••• G•••••••• M••••••••• L•• CRD 330199 | New York, NY | asset manager | $335M | 0.0% | 0 | Not computed | 0 | 0 |
| B•• M••••••••• C••••••• L•• CRD 307029 | New York, NY | asset manager | $335M | 0.0% | 0 | Not computed | 1 | 10 |
| C•••••• P••• C••••••• L•• CRD 322281 | Cedarhurst, NY | independent RIA | $332M | 100% | 0 | Not computed | 1 | 0 |
| P••••••••• R•••••••• CRD 304953 | New York, NY | asset manager | $332M | 0.0% | 0 | Not computed | 1 | 3 |
| N••••• M••••••••• L• CRD 159004 | New York, NY | asset manager | $332M | 0.0% | 0 | Not computed | 0 | 1 |
| O••• I••••••••• M••••••••• L•• CRD 163262 | New York, NY | asset manager | $332M | 0.0% | 0 | Not computed | 0 | 21 |
| G•••••• I••••••••• C••••••• L•• CRD 331306 | New York, NY | asset manager | $331M | 0.0% | 0 | Not computed | 1 | 1 |
| S••••• P•••• C••••••• L• CRD 290013 | New York, NY | asset manager | $329M | 0.0% | 0 | Not computed | 0 | 6 |
| 5•• N••••• L•• CRD 338118 | New York, NY | asset manager | $329M | 0.0% | 0 | Not computed | 0 | 3 |
| O•• F•••••••• S••••••• L•• CRD 110528 | Dewitt, NY | independent RIA | $328M | 100% | 3 | $109M | 0 | 0 |
| F••••• L••• I••••••••• •••••••• I••• CRD 284662 | New York, NY | other | $328M | 0.0% | 0 | Not computed | 0 | 0 |
| H••••• C•••••• A•••••••• I••• CRD 304163 | Buffalo, NY | independent RIA | $328M | 100% | 5 | $65.5M | 1 | 0 |
| F•••••••• D••••••••• L•• CRD 107755 | New York, NY | independent RIA | $328M | 97% | 5 | $65.5M | 4 | 0 |
| V•••• P••••••• U•• CRD 162399 | New York, NY | mixed wealth | $327M | 45% | 0 | Not computed | 1 | 0 |
| M•• P••••••• L•• CRD 330388 | New York, NY | asset manager | $327M | 0.0% | 0 | Not computed | 0 | 19 |
| H••••• C••••••• L•• CRD 130051 | New York, NY | independent RIA | $326M | 89% | 3 | $109M | 0 | 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.