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 |
|---|---|---|---|---|---|---|---|---|
| Galaxy Investment Management, LLC CRD 281589 | Uniondale, NY | asset manager | $324M | 0.0% | 0 | Not computed | 0 | 4 |
| Carswell Investments, LLC CRD 158205 | East Syracuse, NY | independent RIA | $322M | 90% | 1 | $322M | 1 | 0 |
| Ig4 Capital Advisors US LLC CRD 316972 | New York, NY | asset manager | $321M | 0.0% | 0 | Not computed | 0 | 0 |
| L•••••• W••••• A•••••••• L•• CRD 147420 | Melville, NY | independent RIA | $320M | 84% | 26 | $12.3M | 5 | 0 |
| A••••• I••••• L•• CRD 313255 | New York, NY | other | $320M | 7.5% | 2 | $160M | 0 | 0 |
| H••••••• S••••• P••••••• M••••••••• L• CRD 338881 | New York, NY | asset manager | $319M | 0.0% | 0 | Not computed | 0 | 2 |
| G••••••••• A•••• M••••••••• C••••• A•••••• L•• CRD 288841 | New York, NY | asset manager | $319M | 0.0% | 0 | Not computed | 2 | 0 |
| T•••••• I••••••••• G•••• CRD 329330 | New York, NY | asset manager | $318M | 0.0% | 0 | Not computed | 0 | 0 |
| T••• S••••••••• I••• CRD 158318 | New York, NY | asset manager | $318M | 0.0% | 0 | Not computed | 0 | 2 |
| H•••••••• F•••• CRD 136940 | New York, NY | institutional | $318M | 0.0% | 0 | Not computed | 0 | 2 |
| M•••••••• C•••••• P••••••• L•• CRD 293250 | New York, NY | asset manager | $318M | 0.0% | 0 | Not computed | 1 | 1 |
| G•••• P••••••• L•• CRD 161816 | New York, NY | asset manager | $317M | 0.0% | 0 | Not computed | 0 | 7 |
| T•• M•••••• F•••••••• G••••• I••• CRD 125763 | Elmira, NY | independent RIA | $317M | 99% | 4 | $79.1M | 0 | 0 |
| H•••••• M••••••••• L••••• CRD 124477 | New York, NY | other | $316M | 0.0% | 0 | Not computed | 2 | 2 |
| L••••• I••••••••• M••••••••• L••• CRD 170961 | New York, NY | independent RIA | $313M | 67% | 0 | Not computed | 0 | 0 |
| P••••••• U• L•• CRD 160172 | New York, NY | independent RIA | $312M | 66% | 0 | Not computed | 0 | 0 |
| A•• W••••• M••••••••• L•• CRD 298233 | Melville, NY | mixed wealth | $312M | 39% | 4 | $77.9M | 0 | 0 |
| O••••••• V••••••• L•• CRD 337808 | New York, NY | asset manager | $311M | 0.0% | 0 | Not computed | 0 | 2 |
| B• A•••••• L•• CRD 322621 | New York, NY | asset manager | $311M | 0.0% | 0 | Not computed | 0 | 0 |
| S••••• M••••••• C••••••• L• CRD 119126 | New York, NY | asset manager | $311M | 0.0% | 0 | Not computed | 0 | 5 |
| T•• P•••• C•••••• M••••••••• I••• CRD 131816 | Pittsford, NY | independent RIA | $311M | 100% | 2 | $155M | 0 | 0 |
| G•••••• E••••• H••••••• L• CRD 287823 | Brooklyn, NY | asset manager | $310M | 0.0% | 0 | Not computed | 0 | 3 |
| H••••• A•••••• S•••••••• I••• CRD 107769 | Buffalo, NY | independent RIA | $310M | 98% | 5 | $62.0M | 2 | 0 |
| S•••• M••••••••• L•• CRD 326808 | New York, NY | mixed wealth | $309M | 40% | 0 | Not computed | 0 | 2 |
| M•••• F•••••••• P••••••• L•• CRD 141359 | Maspeth, NY | independent RIA | $308M | 100% | 5 | $61.6M | 1 | 0 |
| A•••••••• W••••• M••••••••• L•• CRD 153591 | Albany, NY | independent RIA | $308M | 93% | 4 | $77.0M | 3 | 0 |
| S••••••••• R••• E••••• P••••••• L••• CRD 156018 | New York, NY | asset manager | $307M | 0.0% | 0 | Not computed | 3 | 15 |
| M••••••••• P••••••• M••••••••• L•• CRD 163089 | New York, NY | other | $306M | 0.0% | 0 | Not computed | 0 | 3 |
| A••••• C•••••• M••••••••• L•• CRD 283771 | New York, NY | independent RIA | $306M | 84% | 4 | $76.4M | 0 | 1 |
| P••••••• F•••• A•••••• L•• CRD 136481 | Albany, NY | asset manager | $305M | 0.0% | 0 | Not computed | 1 | 0 |
| O•• S••• R••••••••• I••••••••• A•••••••• L•• CRD 297976 | New York, NY | institutional | $305M | 0.0% | 2 | $153M | 0 | 0 |
| C••••••• A•••• M••••••••• L••• CRD 165131 | New York, NY | asset manager | $304M | 0.0% | 0 | Not computed | 0 | 4 |
| T•• O•••••••• F••• I••••••••• M••••••••• L••• CRD 340501 | New York, NY | asset manager | $303M | 0.0% | 0 | Not computed | 0 | 1 |
| A••••••••• G•••• L•• CRD 316226 | Albany, NY | independent RIA | $303M | 100% | 5 | $60.6M | 1 | 0 |
| I••••••••• P••••••• CRD 297788 | New York, NY | asset manager | $301M | 0.0% | 0 | Not computed | 0 | 16 |
| R•••••••• CRD 307472 | New York, NY | independent RIA | $301M | 100% | 12 | $25.1M | 0 | 0 |
| P••••••• C•••••• M••••••••• L•• CRD 141661 | East Syracuse, NY | independent RIA | $300M | 68% | 0 | Not computed | 0 | 0 |
| W••••••••• G••• L•• CRD 312017 | New York, NY | asset manager | $300M | 0.0% | 0 | Not computed | 0 | 2 |
| K••••••••• A•••• M••••••••• L•• CRD 168976 | New York, NY | asset manager | $300M | 0.0% | 0 | Not computed | 0 | 1 |
| M•• M••••••••• L•• CRD 161238 | New York, NY | asset manager | $299M | 0.0% | 0 | Not computed | 0 | 1 |
| R•••••••• C•••••• M••••••••• L•• CRD 150798 | New York, NY | asset manager | $299M | 0.0% | 0 | Not computed | 0 | 5 |
| V••••••• W••••• M••••••••• CRD 342014 | Woodbury, NY | independent RIA | $299M | 100% | 1 | $299M | 0 | 0 |
| C••••••• H••• P••••••• L•• CRD 166276 | Saratoga Springs, NY | independent RIA | $299M | 95% | 1 | $299M | 0 | 0 |
| G• G•••• A•••••••• L•• CRD 135424 | New York, NY | asset manager | $299M | 0.0% | 0 | Not computed | 0 | 1 |
| C••••••• C•••••• CRD 317399 | New York, NY | asset manager | $299M | 0.0% | 0 | Not computed | 0 | 3 |
| A••••• C•••••• M••••••••• L• CRD 332320 | New York, NY | asset manager | $298M | 0.0% | 0 | Not computed | 0 | 3 |
| I••••••• A•••• M••••••••• I••• CRD 285765 | New York, NY | asset manager | $296M | 0.0% | 0 | Not computed | 1 | 0 |
| B••••• F•••••• W••••• M••••••••• L•• CRD 284920 | Webster, NY | independent RIA | $295M | 99% | 14 | $21.0M | 6 | 0 |
| B•••• C••••••• L• CRD 298102 | New York, NY | other | $294M | 0.0% | 0 | Not computed | 0 | 1 |
| A••••• A•••••••• L•• CRD 161643 | New York, NY | asset manager | $294M | 0.0% | 0 | Not computed | 1 | 1 |
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.