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 |
|---|---|---|---|---|---|---|---|---|
| Saluda Grade Asset Management LLC CRD 304725 | New York, NY | asset manager | $5.8B | 0.0% | 0 | Not computed | 3 | 9 |
| Mirae Asset Global Investments (USA) LLC CRD 147548 | New York, NY | asset manager | $5.8B | 0.0% | 0 | Not computed | 1 | 19 |
| Millstreet Capital Management LLC CRD 161566 | Boston, MA | asset manager | $5.8B | 0.0% | 0 | Not computed | 0 | 1 |
| M•••••••• A••••••• CRD 307857 | Boston, MA | mixed wealth | $5.8B | 23% | 27 | $215M | 7 | 2 |
| S•• F•••••••• A••••••• CRD 107517 | Winona Lake, IN | independent RIA | $5.8B | 65% | 33 | $176M | 5 | 0 |
| P••••••• R•••• CRD 299594 | New York, NY | asset manager | $5.8B | 0.0% | 0 | Not computed | 2 | 16 |
| F•••••••• F•••• M••••••••• L•• CRD 284844 | West Conshohocken, PA | asset manager | $5.8B | 0.0% | 0 | Not computed | 4 | 6 |
| A•••• A••••••••• M••••••••• CRD 116761 | New York, NY | institutional | $5.8B | 0.0% | 0 | Not computed | 1 | 7 |
| S•••••••• G•••• P•••••• D••• L•• CRD 323711 | La Jolla, CA | asset manager | $5.8B | 0.0% | 0 | Not computed | 1 | 1 |
| T•••• C•••••• L•• CRD 306112 | London, | asset manager | $5.8B | 0.0% | 0 | Not computed | 0 | 3 |
| C•••••••• I••••••••• M••••••• CRD 158713 | London, | asset manager | $5.8B | 0.0% | 0 | Not computed | 3 | 2 |
| T••••••••• W••••• CRD 108917 | Bellevue, WA | independent RIA | $5.8B | 90% | 22 | $262M | 2 | 0 |
| A••••••••• F•••••••• ••••••• L•• CRD 335337 | Grand C•••••, | other | $5.8B | 0.0% | 0 | Not computed | 0 | 0 |
| B••••••• C•••••• M••••••••• L•• CRD 110707 | Atlanta, GA | other | $5.8B | 6.7% | 10 | $576M | 2 | 0 |
| O••• C•••••• M••••••••• L••• CRD 155231 | New York, NY | asset manager | $5.7B | 0.0% | 1 | $5.7B | 5 | 0 |
| S••••••• C••••••• L•• CRD 156902 | Boston, MA | asset manager | $5.7B | 0.0% | 0 | Not computed | 1 | 29 |
| L•••••• S•• I••••••••• A•••••••• L••••• CRD 109701 | Elmhurst, IL | BD affiliated | $5.7B | 90% | 159 | $36.1M | 70 | 0 |
| O•••• I••••••••• S••••••••• L•• CRD 152957 | Chicago, IL | other | $5.7B | 0.0% | 0 | Not computed | 0 | 0 |
| B••••• C•••••• M••••••••• I••• CRD 110489 | Portland, OR | independent RIA | $5.7B | 66% | 23 | $249M | 3 | 1 |
| D••••• I••••••••• I••• CRD 308609 | El Segundo, CA | other | $5.7B | 4.2% | 0 | Not computed | 6 | 9 |
| L••••••••• C•••••• P••••••• CRD 282820 | London, | asset manager | $5.7B | 0.0% | 0 | Not computed | 0 | 10 |
| L•••••••• P••••••• L• CRD 283800 | Boston, MA | asset manager | $5.7B | 0.0% | 0 | Not computed | 0 | 9 |
| A•••••• A•••• M••••••••• CRD 322795 | Sydney , Nsw, | other | $5.7B | 0.0% | 0 | Not computed | 0 | 0 |
| W•••••• S••••••••• I••• CRD 877 | Pasadena, CA | BD affiliated | $5.7B | 95% | 220 | $25.8M | 58 | 0 |
| G•••••••• W••••• P••••••• CRD 250787 | Palm Beach Gardens, FL | BD affiliated | $5.7B | 99% | 104 | $54.7M | 51 | 0 |
| D•••••• B••• I••••••••• L•• CRD 164972 | Greenwich, CT | asset manager | $5.7B | 0.0% | 0 | Not computed | 0 | 0 |
| C••••••• I••••••••• M••••••••• L•• CRD 299369 | Atlanta, GA | asset manager | $5.7B | 0.0% | 0 | Not computed | 7 | 3 |
| M•••• G••••• P•••••••• L•• CRD 167276 | San Diego, CA | asset manager | $5.7B | 0.0% | 0 | Not computed | 0 | 13 |
| K••••••• A•• A••••••••• L•• CRD 125618 | New York, NY | independent RIA | $5.7B | 78% | 9 | $629M | 0 | 0 |
| A••••••• P••••••• L• CRD 161005 | West Palm Beach, FL | asset manager | $5.7B | 0.0% | 0 | Not computed | 1 | 2 |
| T•• W••••• P••••••• CRD 124407 | Maumee, OH | independent RIA | $5.7B | 87% | 36 | $157M | 11 | 0 |
| G••••••• P•••• C•••••• L•• CRD 287716 | Greenwich, CT | asset manager | $5.7B | 0.0% | 0 | Not computed | 0 | 44 |
| S•••• C••••••• L• CRD 285645 | Salt Lake City, UT | independent RIA | $5.6B | 74% | 18 | $313M | 4 | 10 |
| B•••• W•••••• A•••••••• L•• CRD 108894 | New York, NY | independent RIA | $5.6B | 70% | 4 | $1.4B | 4 | 4 |
| D•••••• CRD 151367 | Phoenix, AZ | independent RIA | $5.6B | 94% | 77 | $73.2M | 54 | 0 |
| D••••• CRD 13162 | San Diego, CA | independent RIA | $5.6B | 91% | 30 | $188M | 1 | 1 |
| Y••• C•••••• C•••• CRD 126992 | St. Petersburg, FL | independent RIA | $5.6B | 100% | 5 | $1.1B | 3 | 0 |
| A••••• A•••••••• L••• A• E•• C•••••• CRD 339091 | Pittsford, NY | mixed wealth | $5.6B | 46% | 14 | $401M | 0 | 0 |
| D••••• S•••• • C••• I••• CRD 104947 | New York, NY | other | $5.6B | 0.0% | 0 | Not computed | 0 | 3 |
| G••••• C•••••• M••••••••• L•• CRD 105432 | Milwaukee, WI | other | $5.6B | 8.2% | 3 | $1.9B | 0 | 0 |
| P••••••• I••••••••• I••• CRD 111503 | Shelton, CT | institutional | $5.6B | 0.0% | 6 | $934M | 0 | 1 |
| A•••••••• F•••••••• G•••• CRD 104690 | Pittsburgh, PA | independent RIA | $5.6B | 95% | 30 | $186M | 0 | 13 |
| P•••••••• CRD 160319 | Chicago, IL | institutional | $5.6B | 0.0% | 8 | $697M | 9 | 0 |
| S•••••• W••••• A••••••• L•• CRD 283816 | Beachwood, OH | independent RIA | $5.6B | 97% | 71 | $78.5M | 30 | 0 |
| M•••••• R••••• C•••••• CRD 158988 | New York, NY | asset manager | $5.6B | 0.0% | 0 | Not computed | 3 | 0 |
| A••••••••• I••••••••• A•••••••• L•• CRD 284659 | New York, NY | institutional | $5.6B | 0.0% | 0 | Not computed | 0 | 17 |
| A••••••••• I••• CRD 130115 | Corona Del Mar, CA | institutional | $5.6B | 0.0% | 0 | Not computed | 0 | 0 |
| B•••••••• CRD 152511 | Atlanta, GA | independent RIA | $5.5B | 72% | 18 | $308M | 1 | 6 |
| G•••• C•••• C•••••• M••••••••• L•••••• CRD 286091 | Central, Hong Kong, | other | $5.5B | 0.0% | 0 | Not computed | 0 | 4 |
| V•••••• I••••••••• P••••••• CRD 172435 | Herzliya Pituach, | asset manager | $5.5B | 0.0% | 0 | Not computed | 0 | 51 |
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.