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 |
|---|---|---|---|---|---|---|---|---|
| North Of South Capital Llp CRD 300917 | London, | asset manager | $6.7B | 0.0% | 0 | Not computed | 1 | 1 |
| Bc Partners Advisors L.P. CRD 288495 | New York, NY | asset manager | $6.7B | 0.0% | 0 | Not computed | 0 | 9 |
| Ladenburg Thalmann Asset Management Inc CRD 108604 | New York, NY | other | $6.7B | 18% | 22 | $303M | 1 | 0 |
| A•••• G•••• C••••••• L•• CRD 158166 | Avon, CO | independent RIA | $6.7B | 100% | 9 | $741M | 1 | 0 |
| V•••••• A•••••••• L•• CRD 318657 | Chicago, IL | independent RIA | $6.7B | 100% | 58 | $115M | 16 | 0 |
| A••••• H••••••••• P••••••• CRD 160750 | New York, NY | asset manager | $6.7B | 0.0% | 0 | Not computed | 0 | 18 |
| Q••••••• T••••••••• L• CRD 170824 | New York, NY | asset manager | $6.7B | 0.0% | 0 | Not computed | 5 | 2 |
| N•• C•••••• I••••••••• A•••••••• L•• CRD 160569 | Chicago, IL | asset manager | $6.6B | 0.0% | 4 | $1.7B | 4 | 16 |
| D••••• C•••••• M••••••••• L• CRD 160224 | Redwood City, CA | asset manager | $6.6B | 0.0% | 0 | Not computed | 0 | 0 |
| P••••••• C•••••• M••••••••• L••• CRD 131018 | West Palm Beach, FL | asset manager | $6.6B | 0.0% | 0 | Not computed | 2 | 0 |
| M••••••• I••••••••• C•••••• M••••••••• L•• CRD 106054 | San Francisco, CA | asset manager | $6.6B | 0.0% | 0 | Not computed | 2 | 2 |
| C••••• G•••• M••••••••• S•••••••• L•• CRD 161429 | New York, NY | asset manager | $6.6B | 0.0% | 0 | Not computed | 0 | 12 |
| S••••••••• C•••••• A••••••• L• CRD 161754 | New York, NY | asset manager | $6.6B | 0.0% | 0 | Not computed | 0 | 1 |
| Q••• C••••••• A•••• M••••••••• A• CRD 170341 | Zug, | other | $6.6B | 0.0% | 0 | Not computed | 0 | 0 |
| G•••••••• • C••• I••• CRD 111936 | Pittsburgh, PA | independent RIA | $6.6B | 70% | 1 | $6.6B | 3 | 0 |
| G• S•••••• E••••• M••••••••• L• CRD 289285 | Chicago, IL | asset manager | $6.6B | 0.0% | 0 | Not computed | 3 | 16 |
| T••••••••• M••••••••• L••• CRD 165897 | San Francisco, CA | asset manager | $6.6B | 0.0% | 0 | Not computed | 0 | 20 |
| C••••••••• I••••••••• M••••••••• I••••••••• •••• L•• CRD 281225 | Claremont, Cape Town, | asset manager | $6.6B | 0.0% | 0 | Not computed | 0 | 0 |
| B••••••• C•••••• P••••••• M••••••••• L• CRD 168155 | Baton Rouge, LA | asset manager | $6.6B | 0.0% | 0 | Not computed | 2 | 23 |
| T• R••• P•••• •••••••• I••• CRD 107290 | Baltimore, MD | asset manager | $6.6B | 0.0% | 0 | Not computed | 1 | 0 |
| L•••• F••• A••••••• S••••••• CRD 134086 | Dallas, TX | BD affiliated | $6.5B | 73% | 144 | $45.4M | 70 | 0 |
| K••••• M••••••••• C••• L••••• CRD 123826 | Stamford, CT | asset manager | $6.5B | 0.0% | 0 | Not computed | 1 | 0 |
| S•••••• C•••••• M••••••••• CRD 104720 | Denver, CO | mixed wealth | $6.5B | 20% | 15 | $435M | 3 | 0 |
| S•••••• W••••• M••••••••• L•• CRD 145594 | San Antonio, TX | independent RIA | $6.5B | 56% | 21 | $310M | 2 | 0 |
| O•••••• G•••• L•• CRD 133387 | El Segundo, CA | institutional | $6.5B | 0.0% | 4 | $1.6B | 2 | 0 |
| F••••••• A•••• M••••••••• L• CRD 168872 | Charlottesville, VA | asset manager | $6.5B | 0.0% | 0 | Not computed | 1 | 3 |
| O•••• I••••••••• I••• CRD 35371 | Meriden, CT | BD affiliated | $6.5B | 75% | 544 | $11.9M | 621 | 0 |
| K•••••••• C•••••• M••••••••• I••• CRD 111087 | Mission, KS | mixed wealth | $6.5B | 46% | 10 | $649M | 0 | 0 |
| H•••••••• P•••••• C•••••• M••••••••• L•• CRD 139068 | Boston, MA | asset manager | $6.5B | 0.0% | 0 | Not computed | 0 | 40 |
| J••••• I••••••••• M••••••••• I••• CRD 105281 | Lake Oswego, OR | asset manager | $6.5B | 8.6% | 4 | $1.6B | 0 | 0 |
| G••••••••• A•••••••• L•• CRD 132669 | Towson, MD | independent RIA | $6.5B | 67% | 46 | $141M | 3 | 0 |
| A•••• W••••• M••••••••• L•• CRD 148674 | Omaha, NE | independent RIA | $6.5B | 87% | 71 | $91.0M | 13 | 0 |
| L•••• E••••• CRD 160016 | New York, NY | asset manager | $6.5B | 0.0% | 0 | Not computed | 1 | 18 |
| D••••••• W••••••• A••••••• L•• CRD 108680 | New York, NY | independent RIA | $6.5B | 91% | 10 | $646M | 2 | 0 |
| A•••••• L•• CRD 290117 | New York, NY | mixed wealth | $6.4B | 31% | 2 | $3.2B | 2 | 8 |
| N••••• G••••• C••••• L•• CRD 287937 | New York, NY | asset manager | $6.4B | 0.0% | 0 | Not computed | 1 | 24 |
| N•• A••••••• S••••••• I•• CRD 110410 | Los Angeles, CA | independent RIA | $6.4B | 100% | 108 | $59.5M | 38 | 0 |
| S••••• M••••••••• C••••••• L•• CRD 149343 | Richmond, VA | other | $6.4B | 0.0% | 0 | Not computed | 0 | 1 |
| C••••••• M••••••••• L•• CRD 296928 | New York, NY | asset manager | $6.4B | 0.0% | 0 | Not computed | 0 | 14 |
| T••••••• P••••••• L••• CRD 156040 | New York, NY | asset manager | $6.4B | 0.0% | 0 | Not computed | 2 | 26 |
| T••••••••• I••• CRD 105664 | Cincinnati, OH | independent RIA | $6.4B | 93% | 40 | $160M | 3 | 0 |
| O•• P•••••••• M••••••••• L•• CRD 130198 | Beachwood, OH | institutional | $6.4B | 6.2% | 0 | Not computed | 4 | 5 |
| G••••••• C•••••• M••••••••• L•• CRD 137640 | New York, NY | asset manager | $6.4B | 0.0% | 0 | Not computed | 1 | 0 |
| T••• A•••••••• L•• CRD 160388 | Dallas, TX | asset manager | $6.4B | 0.0% | 0 | Not computed | 4 | 10 |
| A•••••• C•••••• P••••••• O• A•••••• L•• CRD 161684 | New York, NY | institutional | $6.4B | 0.0% | 0 | Not computed | 0 | 1 |
| A••••••• CRD 124205 | Mclean, VA | independent RIA | $6.3B | 59% | 22 | $289M | 6 | 0 |
| G••••• A•••• C•••••• M••••••••• L••• CRD 161512 | Montreal, Qc, | other | $6.3B | 0.0% | 0 | Not computed | 1 | 1 |
| M•••• R••• C•••••• P••••••• I••• CRD 173887 | Toronto, | asset manager | $6.3B | 0.0% | 0 | Not computed | 1 | 1 |
| E•••• C•••••• L• CRD 306874 | Boston, MA | asset manager | $6.3B | 0.0% | 0 | Not computed | 0 | 5 |
| M••••••••• R••••••••• CRD 108783 | Washington, DC | BD affiliated | $6.3B | 91% | 131 | $48.2M | 11 | 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.