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 |
|---|---|---|---|---|---|---|---|---|
| Empery Asset Management, LP CRD 148180 | New York City, NY | asset manager | $262M | 0.0% | 0 | Not computed | 0 | 4 |
| 5c Advisor CRD 330565 | New York, NY | asset manager | $262M | 0.0% | 0 | Not computed | 0 | 1 |
| Spruce Point Capital Management, LLC CRD 288248 | Riverhead, NY | asset manager | $262M | 0.0% | 0 | Not computed | 0 | 1 |
| T••••••••• I••••••• A••••••• S••••••• I•• CRD 105672 | Port Jefferson Station, NY | independent RIA | $262M | 100% | 4 | $65.5M | 0 | 0 |
| A• D••••• A•••• M••••••••• L• CRD 328384 | New York, NY | asset manager | $262M | 3.6% | 0 | Not computed | 0 | 27 |
| R••••• C•••••• L•• CRD 322436 | New York, NY | asset manager | $262M | 0.0% | 0 | Not computed | 1 | 4 |
| E••• M••••••••• C••••••• L•• CRD 137036 | New York, NY | independent RIA | $261M | 82% | 6 | $43.5M | 0 | 1 |
| D•• A•••••••• L•• CRD 126248 | New York, NY | other | $261M | 9.6% | 5 | $52.1M | 3 | 0 |
| C•••••• F•••••••• A••••••• O• N•• Y•••• L•• CRD 125689 | Clifton Park, NY | independent RIA | $260M | 100% | 2 | $130M | 0 | 0 |
| E•• G••••• T••••••••• CRD 339601 | New York, NY | asset manager | $260M | 0.0% | 0 | Not computed | 0 | 18 |
| C•••••••• N••• A•••••• L•• CRD 338431 | New York, NY | asset manager | $259M | 0.0% | 0 | Not computed | 4 | 1 |
| I•••••• G••••• M••••••••• L•• CRD 162607 | New York, NY | asset manager | $259M | 0.0% | 0 | Not computed | 1 | 2 |
| C••••••••• C•••••• G••••• L•• CRD 160346 | New York, NY | asset manager | $259M | 0.0% | 0 | Not computed | 1 | 2 |
| M• A•••• M••••••••• L•• CRD 283673 | Irvington, NY | asset manager | $258M | 0.0% | 0 | Not computed | 1 | 3 |
| K••••• C•••••• M••••••••• L•• CRD 160614 | New York, NY | asset manager | $258M | 0.0% | 0 | Not computed | 2 | 6 |
| A•••••• CRD 339617 | New York, NY | asset manager | $256M | 0.0% | 0 | Not computed | 0 | 0 |
| Z••••• M••••••••• L••• CRD 129683 | New York, NY | asset manager | $256M | 0.3% | 0 | Not computed | 0 | 27 |
| D••••• S••••• L••• CRD 285701 | New York, NY | asset manager | $256M | 0.0% | 0 | Not computed | 0 | 0 |
| R•••••••• I••••••••• M••••••••• L•• CRD 339697 | New York, NY | other | $254M | 0.0% | 0 | Not computed | 0 | 0 |
| V•••• C•••••• M••••••••• L• CRD 158327 | New York, NY | asset manager | $254M | 0.0% | 0 | Not computed | 0 | 5 |
| W••••• A••••••• S•••••••• I••• CRD 120755 | Lynbrook, NY | independent RIA | $254M | 99% | 6 | $42.3M | 0 | 0 |
| C•••• W••••• M••••••••• CRD 118945 | Ballston Spa, NY | independent RIA | $254M | 94% | 3 | $84.7M | 0 | 0 |
| I•••••• C•••••• M••••••••• CRD 122620 | Rochester, NY | independent RIA | $254M | 82% | 0 | Not computed | 0 | 0 |
| H•••••••• M••••••••• L••• CRD 157307 | New York, NY | independent RIA | $254M | 64% | 0 | Not computed | 0 | 1 |
| C•••• P•••• A•••••••• I••• CRD 111775 | Melville, NY | independent RIA | $253M | 98% | 3 | $84.5M | 3 | 0 |
| M••••• W••••• M••••••••• G•••• CRD 277161 | Fishkill, NY | independent RIA | $252M | 98% | 3 | $84.0M | 0 | 0 |
| C••••••••• A•••• M••••••••• ••• L•• CRD 314541 | New York, NY | asset manager | $252M | 0.0% | 0 | Not computed | 0 | 0 |
| A••••• C•••••• M••••••••• L• CRD 296753 | New York, NY | asset manager | $252M | 0.0% | 0 | Not computed | 0 | 1 |
| A• I••••••••• M••••••••• L•• CRD 140443 | New York, NY | asset manager | $251M | 0.0% | 0 | Not computed | 0 | 4 |
| E••••••• W••••• A•••••••• L•• CRD 174845 | Williamsville, NY | independent RIA | $249M | 100% | 4 | $62.3M | 1 | 0 |
| A••• I••••••••• L•• CRD 314568 | New York, NY | asset manager | $248M | 0.0% | 0 | Not computed | 0 | 4 |
| V•••• I••••••••• P••••••••• L•• CRD 164704 | New York, NY | independent RIA | $247M | 99% | 4 | $61.7M | 4 | 0 |
| T•••••• A••••••• CRD 123961 | Saugerties, NY | independent RIA | $246M | 100% | 3 | $82.1M | 2 | 0 |
| B••••••• C•••••• L•• CRD 162386 | Locust Valley, NY | asset manager | $245M | 0.0% | 0 | Not computed | 0 | 4 |
| S••••• V••••••• CRD 334227 | Brooklyn, NY | asset manager | $245M | 0.0% | 0 | Not computed | 0 | 3 |
| B•••••• P••••••• CRD 161230 | Brooklyn, NY | asset manager | $244M | 0.0% | 0 | Not computed | 0 | 1 |
| J•• A••••••• L•• CRD 318777 | New York, NY | asset manager | $243M | 0.0% | 0 | Not computed | 0 | 2 |
| B••• S•••• C•••••• A••••••• CRD 159025 | New York, NY | independent RIA | $243M | 99% | 2 | $121M | 1 | 0 |
| V••••••••• A••••• A•••• M••••••••• L•• CRD 145370 | New York, NY | other | $242M | 5.1% | 0 | Not computed | 0 | 0 |
| T••••• C••••••• L•• CRD 312441 | New York, NY | asset manager | $241M | 0.0% | 0 | Not computed | 2 | 3 |
| C••••••••• C•••••• M••••••••• L• CRD 174981 | New York, NY | asset manager | $240M | 0.0% | 0 | Not computed | 0 | 1 |
| B••••••••• G•••• A••••••• L•• CRD 173608 | Uniondale, NY | asset manager | $240M | 0.0% | 0 | Not computed | 0 | 24 |
| B••••••• F•••••••• P••••••• L•• CRD 125291 | Brooklyn, NY | independent RIA | $240M | 100% | 3 | $79.9M | 0 | 0 |
| F••••••• V••••••• L• CRD 306142 | New York, NY | asset manager | $239M | 0.0% | 0 | Not computed | 0 | 6 |
| N•••• E••••••• A•••• M••••••••• L•• CRD 306985 | New York, NY | asset manager | $239M | 0.0% | 0 | Not computed | 1 | 3 |
| P•••••• W••••••• P••••••• C•••••• M••••••••• L• CRD 143598 | New York, NY | asset manager | $238M | 0.0% | 0 | Not computed | 0 | 21 |
| G••••••• C•••••• M••••••••• L• CRD 330557 | New York, NY | asset manager | $238M | 0.0% | 0 | Not computed | 0 | 1 |
| G•• C•••••• P••••••• ••• Y•••• L• CRD 286369 | New Y•••, NY | asset manager | $238M | 0.0% | 0 | Not computed | 0 | 0 |
| C•••• • C•••••• F•••••••• M••••••••• L•• CRD 133171 | New York, NY | asset manager | $237M | 0.0% | 0 | Not computed | 0 | 5 |
| S•••••••• C•••••• P•••••••• L•• CRD 288749 | New York, NY | asset manager | $237M | 0.0% | 0 | Not computed | 0 | 6 |
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.