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 |
|---|---|---|---|---|---|---|---|---|
| Hosking Partners Llp CRD 173527 | London, | institutional | $7.0B | 0.0% | 0 | Not computed | 0 | 1 |
| Oceansound Partners, LP CRD 300935 | New York, NY | asset manager | $6.9B | 0.0% | 0 | Not computed | 0 | 27 |
| Blue Owl Technology Credit Advisors II LLC CRD 316821 | New York, NY | asset manager | $6.9B | 0.0% | 0 | Not computed | 8 | 1 |
| A••••••• I••••••••• ••• I••• CRD 169236 | Boston, MA | asset manager | $6.9B | 0.0% | 0 | Not computed | 0 | 0 |
| M•••••• F•••••••• P•••••• E••••• A•••••••• I••• CRD 112084 | Chicago, IL | asset manager | $6.9B | 0.0% | 6 | $1.2B | 0 | 18 |
| N•••••••• C•••••• M••••••••• L•• CRD 107784 | Hood River, OR | independent RIA | $6.9B | 100% | 8 | $868M | 3 | 0 |
| D••••• W•••••• L•• CRD 297987 | Palm Beach Gardens, FL | independent RIA | $6.9B | 95% | 61 | $114M | 21 | 1 |
| C•••••••• C•••••• A•••••••• L•• CRD 111750 | Wayne, PA | asset manager | $6.9B | 6.8% | 7 | $991M | 0 | 0 |
| S•••• S••••••• W••••• CRD 106235 | Ridgeland, MS | other | $6.9B | 6.8% | 12 | $577M | 5 | 0 |
| S•••••• C•••••• CRD 174278 | New York, NY | asset manager | $6.9B | 0.0% | 0 | Not computed | 3 | 17 |
| M••••••••• I••••••••• M••••••••• L• CRD 293711 | Dallas, TX | asset manager | $6.9B | 0.0% | 0 | Not computed | 3 | 4 |
| P••• C••••• H•••••• L•• CRD 290235 | Newark, NJ | independent RIA | $6.9B | 97% | 0 | Not computed | 0 | 0 |
| P••• D• S•••••••• CRD 318800 | Newark, NJ | asset manager | $6.9B | 0.0% | 0 | Not computed | 0 | 0 |
| G•• C•••••• C•••• CRD 160404 | Atlanta, GA | asset manager | $6.9B | 0.0% | 0 | Not computed | 1 | 3 |
| N••• C•••••• M••••••••• U• L•••••• CRD 166159 | London, | asset manager | $6.9B | 0.0% | 0 | Not computed | 0 | 0 |
| A••••• C•••••• G•••• L•• CRD 157243 | New York, NY | asset manager | $6.9B | 0.0% | 0 | Not computed | 2 | 6 |
| H••••• I••••••••• A•••••••• L•• CRD 151085 | Lutherville, MD | mixed wealth | $6.9B | 42% | 31 | $222M | 1 | 0 |
| P•••••• F•••••••• M••••••••• L•• CRD 281762 | Exton, PA | independent RIA | $6.9B | 97% | 3 | $2.3B | 1 | 0 |
| P•••••••• T•••• C•••••• CRD 110118 | Waukesha, WI | independent RIA | $6.9B | 85% | 5 | $1.4B | 0 | 0 |
| P•••• C••••••• L••• CRD 304961 | Princeton, NJ | asset manager | $6.9B | 0.0% | 0 | Not computed | 2 | 21 |
| S•••••••• A•••• M••••••••• L•• CRD 172273 | Boston, MA | asset manager | $6.9B | 0.0% | 9 | $761M | 0 | 0 |
| F••••••••• CRD 331205 | Carrollton, TX | institutional | $6.8B | 0.0% | 66 | $104M | 1 | 0 |
| C••• O• L••••• I••••••••• M••••••••• C•••••• L•••••• CRD 110986 | L•••••, | asset manager | $6.8B | 0.0% | 0 | Not computed | 1 | 16 |
| I••••••• F••• A•••• M••••••••• L•• CRD 317525 | Fort Lauderdale, FL | asset manager | $6.8B | 0.2% | 1 | $6.8B | 0 | 0 |
| T••••• P••• C•••••• M••••••••• L• CRD 161836 | New York, NY | asset manager | $6.8B | 0.0% | 0 | Not computed | 0 | 2 |
| T••••••• A•••••• N••••••• L•• CRD 304569 | Minneapolis, MN | BD affiliated | $6.8B | 98% | 120 | $57.0M | 27 | 0 |
| L••• I••••••••• L•• CRD 149936 | Boston, MA | mixed wealth | $6.8B | 37% | 7 | $976M | 1 | 2 |
| S••••• R••• C•••••• P••••••• CRD 318007 | New York, NY | asset manager | $6.8B | 0.0% | 0 | Not computed | 0 | 18 |
| A••• I•••••••• L• CRD 296819 | Austin, TX | asset manager | $6.8B | 2.8% | 0 | Not computed | 1 | 2 |
| F•••• S•••••• I•••••••• CRD 175193 | Barangaroo, Nsw, | asset manager | $6.8B | 0.0% | 0 | Not computed | 3 | 2 |
| F•••• F•••••••• CRD 116140 | Minneapolis, MN | independent RIA | $6.8B | 98% | 121 | $56.4M | 36 | 0 |
| A•••• C•••••• L•••••• CRD 153498 | Dublin 2, | asset manager | $6.8B | 0.0% | 0 | Not computed | 0 | 0 |
| G••••• C••••••• L••• CRD 136932 | New York, NY | asset manager | $6.8B | 0.0% | 0 | Not computed | 1 | 2 |
| A•••••• M••••••••• L••• CRD 281947 | Bryn Mawr, PA | asset manager | $6.8B | 0.0% | 0 | Not computed | 1 | 2 |
| A•• P••••••• CRD 298845 | Houston, TX | asset manager | $6.8B | 0.0% | 2 | $3.4B | 3 | 41 |
| L••• E••• C•••••• M••••••••• L•• CRD 241795 | New York, NY | asset manager | $6.8B | 0.0% | 0 | Not computed | 2 | 14 |
| L•••••• C•••••• M••••••••• L• CRD 161278 | New York, NY | asset manager | $6.8B | 0.0% | 0 | Not computed | 0 | 3 |
| S•••••••• I••••••••• A•••••••• L•• CRD 160715 | Los Angeles, CA | independent RIA | $6.8B | 98% | 13 | $520M | 1 | 0 |
| S••••••• C•••••• P••••••• L•••••• CRD 168133 | London, | asset manager | $6.7B | 0.0% | 2 | $3.4B | 4 | 6 |
| D•••••••• C•••••• M••••••••• L•• CRD 161263 | South Norwalk, CT | asset manager | $6.7B | 0.0% | 0 | Not computed | 0 | 15 |
| M••••••• I••••••••• M••••••••• T••••••••• A•• A••••••••• I•• CRD 109641 | Boston, MA | asset manager | $6.7B | 0.0% | 0 | Not computed | 0 | 4 |
| B••••• C•••••• P•••••••• L•• CRD 134529 | San Francisco, CA | institutional | $6.7B | 0.0% | 0 | Not computed | 1 | 0 |
| S••••••• C•••••• A•••••••• L•• CRD 153100 | Los Angeles, CA | asset manager | $6.7B | 0.0% | 0 | Not computed | 0 | 25 |
| T•• B•••••• G•••• L•• CRD 155317 | Boston, MA | independent RIA | $6.7B | 79% | 1 | $6.7B | 0 | 91 |
| C••••••••• I••••••••• M••••••••• L•• CRD 146019 | Saint Louis, MO | independent RIA | $6.7B | 92% | 8 | $840M | 3 | 0 |
| T•• M••••••••• L• CRD 138083 | New York, NY | asset manager | $6.7B | 0.0% | 0 | Not computed | 9 | 27 |
| T•••••• C•••••• M••••••••• L•• CRD 281980 | New York, NY | asset manager | $6.7B | 0.0% | 0 | Not computed | 1 | 1 |
| L•••• E••••• P••••••• CRD 161956 | New York, NY | asset manager | $6.7B | 0.0% | 0 | Not computed | 2 | 27 |
| M••••• C•••••• B•• A•••••••• L•• CRD 165657 | Chicago, IL | asset manager | $6.7B | 0.0% | 0 | Not computed | 6 | 0 |
| R••••••••• C•••••• P••••••• CRD 173859 | Denver, CO | asset manager | $6.7B | 0.0% | 0 | Not computed | 0 | 27 |
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.