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 |
|---|---|---|---|---|---|---|---|---|
| Aperture Investors, LLC CRD 295468 | New York, NY | asset manager | $6.1B | 0.0% | 0 | Not computed | 3 | 9 |
| Energy Income Partners CRD 140799 | Westport, CT | asset manager | $6.1B | 2.9% | 1 | $6.1B | 0 | 2 |
| East End Advisors, LLC CRD 147144 | New York, NY | other | $6.1B | 15% | 0 | Not computed | 0 | 0 |
| H••••• I••••••••• M••••••••• L•• CRD 316470 | Austin, TX | asset manager | $6.0B | 0.0% | 1 | $6.0B | 0 | 6 |
| K•• I••••••••• A••••••• CRD 109629 | Greenbrae, CA | independent RIA | $6.0B | 88% | 7 | $860M | 0 | 0 |
| T•••••• I••••••••• A•••••••• L•• CRD 161432 | Coral Gables, FL | asset manager | $6.0B | 0.0% | 0 | Not computed | 1 | 19 |
| J••• F•••••• • C•• L•• CRD 142529 | New York, NY | asset manager | $6.0B | 0.0% | 0 | Not computed | 2 | 21 |
| A••••• T••••• P•••••• W••••• CRD 153902 | Scottsdale, AZ | independent RIA | $6.0B | 98% | 98 | $61.3M | 25 | 0 |
| V•••••• A•••••••• I••• CRD 117892 | Cary, NC | institutional | $6.0B | 6.4% | 4 | $1.5B | 0 | 0 |
| C•••••• R••••••• • C••••••••• L•• CRD 109868 | Pasadena, CA | institutional | $6.0B | 0.0% | 6 | $998M | 0 | 0 |
| P••••••• V••••••••• A•••••••• L••• CRD 158143 | San Francisco, CA | asset manager | $6.0B | 0.0% | 0 | Not computed | 3 | 1 |
| T•••• L••• P•••••••• L•• CRD 299961 | Tampa, FL | other | $6.0B | 0.0% | 0 | Not computed | 0 | 46 |
| M••••• C•••••• M••••••••• L•• CRD 161322 | New York, NY | asset manager | $6.0B | 0.0% | 0 | Not computed | 2 | 15 |
| D•••• A•••• M••••••••• •••••••• L•• CRD 126191 | New York, NY | other | $6.0B | 0.0% | 0 | Not computed | 0 | 0 |
| F••••••• G••••• • P•••• I••• CRD 121591 | Toronto, | other | $6.0B | 8.8% | 0 | Not computed | 0 | 0 |
| I•••••• E••••• P••••••• CRD 158858 | Pittsburgh, PA | asset manager | $6.0B | 0.0% | 0 | Not computed | 1 | 32 |
| S•••••• E••••• P••••••• CRD 156909 | Marina Del Rey, CA | asset manager | $5.9B | 0.0% | 0 | Not computed | 1 | 32 |
| R••••• A•••• M••••••••• CRD 3140 | Jersey City, NJ | asset manager | $5.9B | 4.3% | 1 | $5.9B | 0 | 0 |
| W•••••••• P•••••••• L•• CRD 158857 | Los Angeles, CA | independent RIA | $5.9B | 91% | 26 | $228M | 1 | 0 |
| G••••••• A•••• M••••••••• L•••••• CRD 297056 | London, | asset manager | $5.9B | 0.0% | 0 | Not computed | 0 | 0 |
| R••••••• C•••••• M••••••••• I•• CRD 104636 | R•••••••, VA | other | $5.9B | 1.9% | 9 | $659M | 0 | 2 |
| I•••• F••• A•••••••• I••• CRD 109143 | Irvine, CA | independent RIA | $5.9B | 88% | 17 | $349M | 0 | 0 |
| C•••••• A•••• M••••••••• L•• CRD 154645 | New York, NY | asset manager | $5.9B | 0.0% | 0 | Not computed | 0 | 2 |
| R••••••• M••••••••• S••••••• L•• CRD 130791 | Birmingham, AL | other | $5.9B | 0.0% | 0 | Not computed | 0 | 5 |
| 1••• I••••••••• L•• CRD 312491 | Denver, CO | asset manager | $5.9B | 0.1% | 0 | Not computed | 0 | 5 |
| C• I••••••••• M••••••••• L•• CRD 299786 | Oklahoma City, OK | institutional | $5.9B | 0.0% | 0 | Not computed | 1 | 0 |
| L•• C•••••• M••••••••• L••• CRD 166799 | New York, NY | asset manager | $5.9B | 0.0% | 0 | Not computed | 5 | 17 |
| T• R••• P•••• A••••••• S•••••••• I••• CRD 108958 | Owings Mills, MD | BD affiliated | $5.9B | 100% | 490 | $12.0M | 1 | 0 |
| D•••••••• R••• • Z••••• I••• CRD 112099 | Winter Park, FL | institutional | $5.9B | 0.1% | 0 | Not computed | 0 | 1 |
| G•• M••••••••• I••••••••• M••••••••• L•• CRD 329225 | Atlanta, GA | asset manager | $5.9B | 0.0% | 0 | Not computed | 6 | 8 |
| T•••••••• N•••• A•••••• CRD 152331 | New York, NY | asset manager | $5.9B | 0.0% | 0 | Not computed | 1 | 19 |
| A•••••• C•••••• M••••••••• L• CRD 309211 | New York, NY | asset manager | $5.9B | 0.0% | 0 | Not computed | 0 | 1 |
| H• V••• C•••••• M••••••••• L•• CRD 161788 | New York, NY | asset manager | $5.9B | 0.0% | 0 | Not computed | 0 | 19 |
| P••••••• CRD 333260 | Conshohocken, PA | independent RIA | $5.9B | 98% | 40 | $147M | 6 | 0 |
| A••••••• A••••• I••••••••• M••••••••• L•• CRD 131660 | San Diego, CA | institutional | $5.9B | 0.1% | 1 | $5.9B | 0 | 1 |
| C•••••• A•••• M••••••••• L•••••• CRD 173003 | Hong Kong, | other | $5.9B | 0.0% | 0 | Not computed | 0 | 3 |
| C•••••• A•••• M••••••••• ••••••••• P••• L••• CRD 319703 | S••••••••, | other | $5.9B | 0.0% | 0 | Not computed | 0 | 0 |
| C•••••• A•••• M••••••••• ••• L•••••• CRD 329571 | London, | other | $5.9B | 0.0% | 0 | Not computed | 0 | 0 |
| N• P••••••• L•• CRD 110625 | London, | asset manager | $5.9B | 0.0% | 0 | Not computed | 0 | 1 |
| M••••••••• A••••••• CRD 146615 | Chicago, IL | other | $5.9B | 0.1% | 12 | $488M | 4 | 0 |
| K• G••••• A•••••• L•• CRD 314373 | asset manager | $5.8B | 0.0% | 0 | Not computed | 0 | 0 | |
| A•••• I••••••••• M••••••••• L•••••• CRD 310490 | London, | other | $5.8B | 0.0% | 0 | Not computed | 0 | 1 |
| E•••••• F••••••••• L•• D•• E•••••• A•••• M••••••••• CRD 340506 | independent RIA | $5.8B | 99% | 4 | $1.5B | 0 | 0 | |
| T••••••••• I••••••••• L•• CRD 111289 | New York, NY | asset manager | $5.8B | 0.0% | 0 | Not computed | 0 | 5 |
| S•• C•••••• A•••••••• L••• CRD 155109 | Boca Raton, FL | asset manager | $5.8B | 0.0% | 0 | Not computed | 2 | 16 |
| L•• E••••• P•••••••• L•• CRD 157422 | New York, NY | asset manager | $5.8B | 0.0% | 0 | Not computed | 1 | 30 |
| T•• L•••••• P••••••••• L• CRD 326550 | New York, NY | asset manager | $5.8B | 0.0% | 0 | Not computed | 1 | 2 |
| G• W••••• M••••••••• R••• L•• CRD 327269 | Cambridge, MA | independent RIA | $5.8B | 100% | 35 | $167M | 5 | 0 |
| S•••• I••••••••• A•••••••• L•• CRD 169572 | Irvine, CA | asset manager | $5.8B | 0.0% | 0 | Not computed | 0 | 7 |
| A•••• I••••••••• U• I••• CRD 168164 | New York, NY | asset manager | $5.8B | 0.0% | 0 | Not computed | 0 | 8 |
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.