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 |
|---|---|---|---|---|---|---|---|---|
| Enright, Mollin, Cascio & Ramusevic, Inc. CRD 106574 | Elmhurst, NY | independent RIA | $294M | 93% | 1 | $294M | 0 | 0 |
| Pelkonen And Associates LLC CRD 305933 | Melville, NY | independent RIA | $293M | 100% | 3 | $97.8M | 0 | 0 |
| Masterton Capital Management, LP CRD 308917 | New York, NY | asset manager | $293M | 0.0% | 0 | Not computed | 0 | 1 |
| 2•• A•••• M••••••••• CRD 323898 | New York, NY | asset manager | $293M | 0.0% | 0 | Not computed | 0 | 2 |
| I•••••• P•••••• C••••• A••••••• L•• CRD 333824 | New York, NY | asset manager | $291M | 0.0% | 0 | Not computed | 1 | 0 |
| L•••• B•••••• • C••• L•• CRD 38751 | Cazenovia, NY | independent RIA | $291M | 90% | 17 | $17.1M | 8 | 0 |
| A••••• C•••••• M••••••••• L• CRD 298021 | New York, NY | asset manager | $289M | 0.0% | 0 | Not computed | 0 | 1 |
| A•••• G•••• L•• CRD 158290 | Rye, NY | asset manager | $289M | 0.3% | 0 | Not computed | 0 | 0 |
| P•••• I••••••••• P•••••••• L••• CRD 312100 | New York, NY | asset manager | $289M | 0.0% | 0 | Not computed | 1 | 2 |
| A••••• I••••••••• C•••••• L• CRD 326032 | New York, NY | other | $289M | 0.0% | 0 | Not computed | 0 | 0 |
| G• C•••••• A•••• A•••••••• L•• CRD 160144 | New York, NY | asset manager | $288M | 0.0% | 0 | Not computed | 0 | 7 |
| P••••••• I••••••••• CRD 322412 | New York, NY | asset manager | $288M | 0.0% | 0 | Not computed | 0 | 0 |
| F••••••••• P•••••••• L•• CRD 341229 | Pittsford, NY | independent RIA | $288M | 98% | 2 | $144M | 1 | 0 |
| E••• G••••• A••••••• L•• CRD 317761 | New York, NY | asset manager | $286M | 0.0% | 0 | Not computed | 0 | 3 |
| F••••••••• W••••• M••••••••• I••• CRD 149709 | Ithaca, NY | independent RIA | $285M | 97% | 4 | $71.3M | 0 | 0 |
| F••• I• P••••••• CRD 309967 | New York, NY | asset manager | $284M | 0.0% | 0 | Not computed | 0 | 8 |
| D•••••• R•••• C•••••• CRD 334878 | New York, NY | asset manager | $284M | 0.0% | 0 | Not computed | 0 | 0 |
| E••• C•••••• M••••••••• L•• CRD 290418 | New York, NY | asset manager | $284M | 0.0% | 3 | $94.6M | 1 | 2 |
| Z•• F••••••••• I••• CRD 285158 | New York, NY | independent RIA | $283M | 100% | 7 | $40.5M | 0 | 0 |
| S••••••••• B•••••••• C•••••• M••••••••• CRD 327151 | Armonk, NY | independent RIA | $283M | 97% | 2 | $142M | 0 | 0 |
| B••••••• A••••••• L• CRD 332668 | New York, NY | independent RIA | $282M | 89% | 5 | $56.5M | 1 | 1 |
| C••••• M••••• • C••• I••• CRD 126084 | Utica, NY | independent RIA | $282M | 52% | 4 | $70.4M | 0 | 0 |
| N•• V•••••• P••••••• L•• CRD 327559 | New York, NY | asset manager | $281M | 0.0% | 0 | Not computed | 0 | 15 |
| A••••••• F•••••••• • T•• S••••••••• I••• CRD 115559 | New York, NY | independent RIA | $279M | 100% | 1 | $279M | 1 | 0 |
| K•••••• C•••••• L• CRD 331471 | New York, NY | asset manager | $279M | 0.0% | 0 | Not computed | 0 | 1 |
| S••••••• V•••• L•• CRD 160697 | New York, NY | asset manager | $279M | 0.0% | 0 | Not computed | 2 | 5 |
| H••••••• W••••• A••••••• CRD 332918 | Clifton Park, NY | independent RIA | $279M | 98% | 7 | $39.8M | 1 | 0 |
| E•••••••• C••••••• L•• CRD 283465 | Mount Kisco, NY | asset manager | $278M | 0.0% | 0 | Not computed | 0 | 2 |
| F••••• P••••••• CRD 309644 | New York, NY | asset manager | $278M | 0.0% | 0 | Not computed | 0 | 17 |
| C••••• R••• P•••••• C••••• S•••••••• L•• CRD 336373 | New York, NY | other | $278M | 0.0% | 0 | Not computed | 1 | 0 |
| W••••••••• C•••••• S••••••••• L•• CRD 133839 | Garden City, NY | independent RIA | $277M | 98% | 6 | $46.2M | 3 | 0 |
| H•••••••• S••••••••• ••• L•• CRD 174811 | New York, NY | asset manager | $276M | 0.0% | 0 | Not computed | 1 | 1 |
| J••• L••• P•••••••• L• CRD 282383 | New York, NY | asset manager | $276M | 0.0% | 0 | Not computed | 0 | 1 |
| L•••• C•••••• G•••• L•• CRD 306528 | New York, NY | asset manager | $274M | 0.0% | 0 | Not computed | 0 | 6 |
| R••••••• C•••••• M••••••••• L•• CRD 333863 | New York, NY | other | $273M | 0.0% | 0 | Not computed | 0 | 0 |
| N•••••• A•••••••• I••• CRD 125878 | Hauppauge, NY | independent RIA | $273M | 100% | 3 | $90.9M | 2 | 0 |
| D••••••• I• L•• CRD 334275 | New York, NY | asset manager | $273M | 0.0% | 0 | Not computed | 0 | 0 |
| T••••••• W••••• S•••••••• CRD 340266 | Saratoga Springs, NY | independent RIA | $272M | 100% | 4 | $67.9M | 0 | 0 |
| A•••••• E••••••• I••• CRD 13452 | Melville, NY | asset manager | $272M | 0.0% | 0 | Not computed | 0 | 0 |
| R•••••• C•••••• M••••••••• L•• CRD 161565 | New York, NY | asset manager | $270M | 0.0% | 0 | Not computed | 0 | 1 |
| S••• I••••••••• A••••••• L•• CRD 304559 | Wappingers Falls, NY | independent RIA | $268M | 100% | 3 | $89.5M | 1 | 0 |
| S•••••• A•••• M••••••••• L• CRD 298418 | New York, NY | asset manager | $268M | 0.0% | 0 | Not computed | 1 | 1 |
| L••••••••• C•••••• M••••••••• L•• CRD 341117 | New York, NY | independent RIA | $267M | 89% | 0 | Not computed | 0 | 0 |
| L•••••• C•••••• M••••••••• L• CRD 305403 | New York, NY | asset manager | $265M | 0.0% | 0 | Not computed | 0 | 2 |
| K••• C•••••• L• CRD 305608 | New York, NY | asset manager | $265M | 0.0% | 0 | Not computed | 0 | 2 |
| S••••• C•••••• • P•••••••• I••• CRD 282319 | New York, NY | asset manager | $265M | 0.0% | 0 | Not computed | 0 | 1 |
| P••••••• C• CRD 320902 | New York, NY | asset manager | $264M | 0.0% | 0 | Not computed | 0 | 36 |
| H••••• C••••• C•••••• M••••••••• CRD 286437 | New York, NY | institutional | $264M | 0.0% | 0 | Not computed | 0 | 0 |
| C•••••••• C•••••• M••••••••• L••• CRD 160807 | New York, NY | asset manager | $263M | 0.0% | 0 | Not computed | 0 | 3 |
| N••••••••• W••••• P•••••••• L•• CRD 337328 | New York, NY | independent RIA | $263M | 100% | 17 | $15.5M | 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.