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 |
|---|---|---|---|---|---|---|---|---|
| Axiom Investment Management LLC CRD 141516 | New York, NY | independent RIA | $237M | 75% | 1 | $237M | 0 | 0 |
| Rpm Capital Partners, LLC CRD 160913 | New York, NY | asset manager | $234M | 0.0% | 0 | Not computed | 0 | 4 |
| Reynolds Channel Management, L.P. CRD 296292 | New York, NY | asset manager | $233M | 0.0% | 0 | Not computed | 2 | 2 |
| O••••• A•••• M••••••••• L•• CRD 123494 | New York, NY | independent RIA | $233M | 92% | 1 | $233M | 0 | 1 |
| S•••••• R••• M••••••••• L•• CRD 142739 | Jericho, NY | independent RIA | $232M | 72% | 4 | $58.0M | 0 | 0 |
| C••••••••• A•••••••• L•• CRD 299176 | New York, NY | asset manager | $232M | 0.0% | 1 | $232M | 0 | 30 |
| D••••• A•••• M••••••••• L•• CRD 148136 | Smithtown, NY | independent RIA | $231M | 84% | 7 | $33.0M | 0 | 0 |
| A••• G••••• A•••••••• L•• CRD 297397 | New York, NY | independent RIA | $231M | 85% | 6 | $38.5M | 2 | 0 |
| L•••••••• W••••• M••••••••• L•• CRD 288526 | New York, NY | independent RIA | $230M | 96% | 4 | $57.5M | 0 | 0 |
| L••••••• C••••••• L•• CRD 321784 | New York, NY | asset manager | $229M | 0.0% | 0 | Not computed | 0 | 4 |
| F•••••• S••••• A•••• M••••••••• L•• CRD 310545 | New York, NY | institutional | $229M | 0.0% | 0 | Not computed | 0 | 4 |
| H••••••••• P••••••• L•• CRD 136535 | New York, NY | independent RIA | $229M | 100% | 2 | $114M | 0 | 0 |
| D••••••• C•••••• M••••••••• L• CRD 307862 | New York, NY | asset manager | $229M | 0.0% | 0 | Not computed | 0 | 3 |
| B•••• A•••• M••••••••• I••• CRD 105255 | New York, NY | independent RIA | $228M | 68% | 1 | $228M | 0 | 2 |
| B••••• F•••••••• A••••••• CRD 119672 | Rye Brook, NY | independent RIA | $228M | 92% | 3 | $76.0M | 0 | 0 |
| M••••••• C•••••• M••••••••• CRD 119597 | Cold Spring, NY | independent RIA | $228M | 58% | 4 | $56.9M | 0 | 0 |
| R• S••••••••• C•••••• M••••••••• L••• CRD 145159 | New York, NY | independent RIA | $227M | 100% | 1 | $227M | 0 | 0 |
| S••••••• I••••••••• M••••••••• L• CRD 329963 | New York, NY | institutional | $227M | 0.0% | 0 | Not computed | 0 | 1 |
| B•• F•••••••• A•••••••• L•• CRD 333795 | New York, NY | institutional | $226M | 5.9% | 5 | $45.3M | 0 | 0 |
| C••••• G••••• I••••••••• L•• CRD 167844 | New York, NY | asset manager | $226M | 0.0% | 2 | $113M | 1 | 2 |
| S•••• A••••••• L•••••• CRD 306961 | New York, NY | other | $226M | 20% | 3 | $75.3M | 1 | 3 |
| P••••••••• F•••••••• CRD 125580 | Pittsford, NY | independent RIA | $226M | 92% | 3 | $75.3M | 1 | 0 |
| C••• A••••••• CRD 317466 | New York, NY | asset manager | $225M | 0.0% | 0 | Not computed | 0 | 2 |
| P•••• C•••••• M••••••••• CRD 289917 | White Plains, NY | independent RIA | $225M | 69% | 3 | $74.9M | 0 | 0 |
| I•••••• P••••••• CRD 168564 | New York, NY | independent RIA | $224M | 100% | 2 | $112M | 0 | 0 |
| M••••••••• P•••••• I••••••••• A••••••• L•• CRD 289116 | Fairport, NY | independent RIA | $223M | 99% | 2 | $111M | 0 | 0 |
| C•••••• P••••••••• P•••••••• I••• CRD 126340 | Bronxville, NY | independent RIA | $222M | 100% | 2 | $111M | 1 | 0 |
| C•••• B••••• W•••••• L•• CRD 288330 | New York, NY | independent RIA | $222M | 100% | 7 | $31.7M | 2 | 0 |
| M••••••• B•• A••••••• L•• CRD 304834 | New York, NY | asset manager | $221M | 0.0% | 0 | Not computed | 0 | 0 |
| S••••••• A•••• M••••••••• CRD 328895 | New York, NY | asset manager | $220M | 0.0% | 0 | Not computed | 0 | 1 |
| T•••• N••• A•••• M••••••••• L•• CRD 111676 | New York, NY | independent RIA | $220M | 100% | 2 | $110M | 1 | 0 |
| S••••••• C•••••• M••••••••• L• CRD 161553 | New York, NY | asset manager | $220M | 0.0% | 0 | Not computed | 0 | 0 |
| T•••• A•••••••• L• CRD 163345 | New York, NY | asset manager | $220M | 0.0% | 0 | Not computed | 0 | 1 |
| F••••••• W••••• M••••••••• I••• CRD 108314 | Armonk, NY | independent RIA | $219M | 94% | 2 | $110M | 1 | 0 |
| A••• B••••• G•••• ••• L•• CRD 291072 | New York, NY | asset manager | $219M | 0.0% | 0 | Not computed | 1 | 3 |
| R••••• E••••• A•••• M••••••••• L• CRD 331250 | New York, NY | asset manager | $218M | 0.0% | 0 | Not computed | 0 | 1 |
| G•••• H••• A••••••• CRD 283228 | Port Washington, NY | independent RIA | $218M | 98% | 1 | $218M | 0 | 0 |
| I••• C•••••• M••••••••• L• CRD 330696 | New York, NY | other | $218M | 0.0% | 0 | Not computed | 1 | 1 |
| O••••••• L•• CRD 296317 | New York, NY | asset manager | $218M | 0.0% | 0 | Not computed | 0 | 3 |
| N•• H•••••• F•••••••• S••••••••• L•• CRD 125729 | Ithaca, NY | independent RIA | $217M | 100% | 3 | $72.4M | 0 | 0 |
| P••••••••• A••••••• G•••• L•• CRD 310720 | Victor, NY | independent RIA | $216M | 100% | 3 | $72.0M | 0 | 0 |
| F•••••• F•••••••• G•••• L•• CRD 123869 | Williamsville, NY | independent RIA | $215M | 87% | 2 | $107M | 0 | 0 |
| B••••••• A•••••• G•••• CRD 324281 | Albany, NY | independent RIA | $215M | 94% | 2 | $107M | 0 | 0 |
| 4••••••• F•••••••• G•••• I••• CRD 162997 | Syosset, NY | independent RIA | $214M | 80% | 5 | $42.9M | 0 | 0 |
| L••• P•••• C••••••• I•• CRD 163061 | New York, NY | asset manager | $214M | 0.0% | 0 | Not computed | 0 | 7 |
| S•••••• C•••••• G•••• CRD 281122 | Halfmoon, NY | independent RIA | $213M | 98% | 7 | $30.4M | 5 | 0 |
| B•• P•••••••• I••• CRD 181512 | Corning, NY | independent RIA | $213M | 100% | 2 | $106M | 0 | 0 |
| B•••••• C•••••• W••••• A•••••••• L•• CRD 288810 | Garden City, NY | independent RIA | $212M | 100% | 4 | $53.1M | 0 | 0 |
| L••• P••• P••••••• M••••••••• L• CRD 156546 | New York, NY | other | $210M | 0.0% | 0 | Not computed | 0 | 1 |
| P•••••• R••••• G••••• L•• CRD 160249 | New York, NY | asset manager | $208M | 0.0% | 0 | Not computed | 0 | 15 |
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.