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 |
|---|---|---|---|---|---|---|---|---|
| Wellspring Capital Management LLC CRD 161184 | New York, NY | asset manager | $208M | 0.0% | 0 | Not computed | 1 | 8 |
| Open Field Capital LLC CRD 136313 | New York, NY | other | $208M | 6.6% | 0 | Not computed | 0 | 10 |
| Investx Asset Management LLC CRD 321985 | New York, NY | asset manager | $207M | 0.0% | 0 | Not computed | 1 | 0 |
| Y••••••••• CRD 311859 | New York, NY | asset manager | $206M | 0.0% | 0 | Not computed | 0 | 1 |
| A•• W••••• M••••••••• L•• CRD 159083 | Massapequa, NY | independent RIA | $206M | 96% | 2 | $103M | 0 | 0 |
| L• V••• M•••••• CRD 338361 | New York, NY | asset manager | $206M | 0.0% | 0 | Not computed | 0 | 0 |
| T•••••• M••••••••• L•• CRD 319632 | New York, NY | asset manager | $205M | 0.0% | 0 | Not computed | 0 | 2 |
| F• P••••••• L•• CRD 333302 | New York, NY | asset manager | $205M | 0.0% | 0 | Not computed | 0 | 1 |
| E••••• C•••••• L•• CRD 337508 | Albany, NY | asset manager | $204M | 0.0% | 0 | Not computed | 0 | 0 |
| M• F••••• A••••••• CRD 166324 | New York, NY | independent RIA | $204M | 73% | 0 | Not computed | 0 | 0 |
| M••••••• W••••• A••••••• L•• CRD 330164 | Jericho, NY | independent RIA | $204M | 62% | 3 | $68.0M | 0 | 0 |
| H••••••• C•••••• M••••••••• L•• CRD 289882 | New York, NY | asset manager | $204M | 0.0% | 0 | Not computed | 0 | 5 |
| A••• G••••• P••••••• L• CRD 315978 | New York, NY | asset manager | $204M | 0.0% | 0 | Not computed | 0 | 9 |
| N••••••••• C•••••• CRD 331698 | New York, NY | asset manager | $203M | 0.0% | 0 | Not computed | 0 | 2 |
| C•• A••••••• I•• CRD 111581 | Hauppauge, NY | independent RIA | $203M | 92% | 5 | $40.5M | 1 | 0 |
| S••••••• M•••• F••••••••• L•• CRD 284218 | Saratoga Springs, NY | independent RIA | $201M | 99% | 3 | $67.0M | 0 | 0 |
| E••••••• S•• A••••••• CRD 334010 | New York, NY | asset manager | $201M | 0.0% | 0 | Not computed | 9 | 2 |
| F•••••• F•••••••• CRD 321609 | Orchard Park, NY | independent RIA | $201M | 100% | 3 | $66.9M | 0 | 0 |
| P••• C•••••• P••••••• CRD 161892 | New York, NY | asset manager | $200M | 0.0% | 0 | Not computed | 0 | 5 |
| R•••• O••••••••• I••• CRD 172791 | New York, NY | independent RIA | $200M | 98% | 3 | $66.7M | 0 | 0 |
| S••••••••• C•••••• M••••••••• L•• CRD 330801 | New York, NY | asset manager | $200M | 0.0% | 0 | Not computed | 0 | 0 |
| F•••••• P•••• A•••• M••••••••• CRD 330536 | New York, NY | asset manager | $198M | 0.0% | 0 | Not computed | 0 | 2 |
| G•••••••• C•••••• M••••••••• C••• CRD 45287 | Smithtown, NY | independent RIA | $198M | 83% | 1 | $198M | 0 | 0 |
| U•••••• R••••••••• P••••••• G•••• CRD 341550 | Briarcliff Manor, NY | independent RIA | $197M | 100% | 1 | $197M | 0 | 0 |
| R••••••••• V•••••• M••••••••• L••••• CRD 288520 | New York, NY | asset manager | $197M | 0.0% | 0 | Not computed | 0 | 9 |
| T•• B••••• F•••••••• G••••• I••• CRD 118999 | Garden City, NY | independent RIA | $197M | 100% | 3 | $65.5M | 0 | 0 |
| R••••• I••••••••• P••••••• L•• CRD 326807 | New York, NY | asset manager | $196M | 0.0% | 0 | Not computed | 0 | 2 |
| R•• W••••• M••••••••• CRD 152266 | New York, NY | independent RIA | $195M | 90% | 8 | $24.4M | 0 | 0 |
| A•••• M••••••••• L•• CRD 322495 | New York, NY | asset manager | $194M | 0.0% | 0 | Not computed | 0 | 1 |
| C•••••• R•••• C••••••• L••• CRD 322529 | New York, NY | asset manager | $194M | 0.0% | 0 | Not computed | 1 | 5 |
| M••••••• W••••••••• V•••••••• • C••••••• I••• CRD 108692 | New York, NY | asset manager | $194M | 0.0% | 0 | Not computed | 0 | 1 |
| D•••••••• C•••••• M••••••••• L•• CRD 159052 | Schenectady, NY | independent RIA | $193M | 100% | 5 | $38.5M | 3 | 0 |
| F•••• A••••••• A•••• A•••••••• L•• CRD 282254 | Garden City, NY | independent RIA | $192M | 100% | 5 | $38.4M | 0 | 0 |
| V••••••• L•• CRD 332389 | New York, NY | asset manager | $191M | 0.0% | 0 | Not computed | 1 | 0 |
| A••••••• C•••••• M••••••••• L• CRD 327861 | New York, NY | asset manager | $191M | 0.0% | 0 | Not computed | 0 | 3 |
| G••••••• W••••• P•••••••• L•• CRD 310203 | New York, NY | independent RIA | $191M | 100% | 15 | $12.8M | 7 | 0 |
| B••••••• C••••• F••• A••••••• L•• CRD 291770 | New York, NY | asset manager | $189M | 0.0% | 0 | Not computed | 0 | 0 |
| T••••• P•••• C•••••• M••••••••• CRD 307366 | White Plains, NY | asset manager | $188M | 0.0% | 0 | Not computed | 0 | 0 |
| L••• M••••••••• L•• CRD 138305 | White Plains, NY | asset manager | $188M | 0.0% | 0 | Not computed | 1 | 4 |
| I••••••• W••••• M••••••••• CRD 127216 | Brewster, NY | independent RIA | $187M | 100% | 3 | $62.5M | 0 | 0 |
| G••••• A••••••• CRD 161697 | New York, NY | asset manager | $187M | 0.0% | 0 | Not computed | 0 | 4 |
| D•••• A•••• C••••••••• CRD 170884 | Selkirk, NY | independent RIA | $187M | 92% | 8 | $23.4M | 1 | 0 |
| W••••••• P••••••• • W••• L•• CRD 282100 | Orchard, NY | independent RIA | $186M | 100% | 4 | $46.6M | 4 | 0 |
| A•••• I••••••••• I••••••••• A•••••• L•• CRD 328406 | New York, NY | asset manager | $186M | 0.0% | 0 | Not computed | 0 | 0 |
| H••••• P•••••••• M••••••••• L•• CRD 130021 | Garrison, NY | independent RIA | $186M | 94% | 2 | $92.9M | 0 | 0 |
| S•••• S•• C•••••• M••••••••• L•• CRD 299257 | New York, NY | asset manager | $186M | 0.0% | 0 | Not computed | 0 | 1 |
| W••••••••• C••••••• I••• CRD 157604 | New York, NY | asset manager | $185M | 0.0% | 0 | Not computed | 0 | 3 |
| C•••••••• P••••••• CRD 338398 | New York, NY | asset manager | $184M | 0.0% | 0 | Not computed | 0 | 8 |
| J•••• CRD 331778 | New York, NY | asset manager | $183M | 0.0% | 0 | Not computed | 0 | 0 |
| M•••••• G•••• • C•••••• I••• CRD 109671 | Buffalo, NY | independent RIA | $183M | 93% | 5 | $36.6M | 1 | 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.