DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Firms
SEC-registered investment advisers
One 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.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Mariner Investment Group, LLC CRD 124744 | New York, NY | asset manager | $176B | 0.0% | 0 | n/a | 6 | 17 |
| Hps Investment Partners, LLC CRD 282125 | New York, NY | asset manager | $176B | 0.0% | 0 | n/a | 19 | 253 |
| Morgan Stanley Investment Management Limited CRD 105922 | London, | asset manager | $175B | 0.0% | 0 | n/a | 2 | 3 |
| T•• G••••• A•••••••• L•• CRD 159732 | Fort Worth, TX | asset manager | $174B | 0.0% | 2 | $87B | 20 | 0 |
| B•••••••• C•••••• M••••••••• I••• CRD 108069 | Wilmington, DE | asset manager | $173B | 1.1% | 0 | n/a | 6 | 8 |
| I•••••• I••••••••• CRD 145995 | New York, NY | other | $171B | 3.2% | 0 | n/a | 3 | 0 |
| J••••••• A•••• M••••••••• •••• P••••••• L•••••• CRD 300114 | Hong Kong, | asset manager | $170B | 0.0% | 0 | n/a | 1 | 0 |
| G••••• R••••••••• P••••••• L•• CRD 172011 | San Rafael, CA | institutional | $170B | 6.2% | 486 | $349M | 193 | 0 |
| F••••••• T•••••••• F••• A••••••• L•• CRD 140432 | New York, NY | asset manager | $167B | 0.0% | 0 | n/a | 0 | 0 |
| E•••••••• I••••••••• M••••••••• G••••• L•• CRD 156933 | New York, NY | asset manager | $167B | 0.0% | 0 | n/a | 0 | 0 |
| C•••••• CRD 319448 | Miami, FL | independent RIA | $165B | 95% | 658 | $251M | 36 | 0 |
| A•••••••• A•••• M••••••••• L• CRD 154176 | New York, NY | asset manager | $165B | 0.0% | 0 | n/a | 5 | 3 |
| G•• P••••••• CRD 283720 | Fort Lauderdale, FL | asset manager | $164B | 0.8% | 0 | n/a | 3 | 6 |
| K••••••• A•••• M••••••••• L•••••• CRD 175204 | Dublin 1, | other | $163B | 0.0% | 0 | n/a | 1 | 0 |
| C••• G••••• A•••• M••••••••• CRD 106508 | Toronto, On, | asset manager | $163B | 2.8% | 5 | $33B | 18 | 0 |
| C••••• P••••••• L•• CRD 151559 | New York, NY | independent RIA | $162B | 71% | 736 | $220M | 66 | 10 |
| N• A••••••••• A••••••• L•• CRD 149822 | Dallas, TX | other | $160B | 0.3% | 0 | n/a | 12 | 159 |
| S•••••••• A•••• M••••••••• S• S•••• CRD 143883 | Madrid, | asset manager | $160B | 0.0% | 0 | n/a | 1 | 0 |
| M••••• S•••••• L•• CRD 107717 | New York, NY | other | $160B | 1.9% | 7 | $23B | 3 | 16 |
| E••••••••• C•••••• M••••••••• L• CRD 294156 | New York, NY | asset manager | $159B | 0.0% | 0 | n/a | 15 | 6 |
| P••••• • R•••• CRD 107160 | Los Angeles, CA | other | $158B | 1.1% | 12 | $13B | 1 | 3 |
| H••• G••••• A•••• M••••••••• •••• I••• CRD 105686 | New York, NY | asset manager | $157B | 0.0% | 0 | n/a | 1 | 0 |
| O••••••••• CRD 106766 | Overland Park, KS | institutional | $155B | 9.9% | 385 | $404M | 173 | 0 |
| B••••• M••••••••• A•• R••••••• CRD 104853 | Boston, MA | asset manager | $155B | 0.0% | 0 | n/a | 3 | 22 |
| C••••••• S••••• CRD 173355 | Strassen, | asset manager | $155B | 0.0% | 0 | n/a | 11 | 6 |
| I•• I•••••••• P•• L•• CRD 162754 | Melbourne, | asset manager | $153B | 0.0% | 0 | n/a | 1 | 10 |
| N•••• L•• CRD 110562 | Boston, MA | institutional | $153B | 2.2% | 1 | $153B | 25 | 4 |
| B••••••••• A•••• M••••••••• P•• C•••••• L• CRD 151605 | Toronto, Ontario, | asset manager | $152B | 0.0% | 0 | n/a | 36 | 135 |
| A••••• G••••• L•• CRD 111616 | Sausalito, CA | independent RIA | $152B | 65% | 0 | n/a | 8 | 0 |
| H••••••• F•••• CRD 147746 | Wayne, PA | asset manager | $152B | 0.0% | 47 | $3.2B | 0 | 2 |
| A•• I••••••••• U•• I••• CRD 105596 | Chicago, IL | institutional | $151B | 0.0% | 0 | n/a | 14 | 8 |
| S••••••• I••••••••• M••••••••• N•••• A•••••• I•• CRD 105820 | New York, NY | asset manager | $150B | 0.5% | 0 | n/a | 3 | 17 |
| B••••••••• A••••••••• L• CRD 105129 | Westport, CT | asset manager | $150B | 0.0% | 0 | n/a | 5 | 38 |
| I••••••• A•••••••• L•• CRD 177513 | New York, NY | asset manager | $150B | 0.0% | 0 | n/a | 2 | 1,144 |
| H••• G••••• A•••• M••••••••• •••• K•••• L•••••• CRD 105193 | Hong Kong, | other | $149B | 0.0% | 0 | n/a | 0 | 0 |
| W••••••• CRD 6210 | Santa Monica, CA | asset manager | $149B | 0.0% | 1 | $149B | 5 | 0 |
| E••••••••• I••••••••• ••••••••• L•••••• CRD 144603 | Singapore, | asset manager | $146B | 0.0% | 0 | n/a | 0 | 0 |
| B••••••••• M••••••••• P••••••• L••••• CRD 136979 | New York, NY | asset manager | $146B | 0.0% | 0 | n/a | 10 | 36 |
| N••••• I••••••••• M••••••••• B••••••• T•••• CRD 105390 | Philadelphia, PA | asset manager | $144B | 1.5% | 52 | $2.8B | 5 | 0 |
| B•••••• G•••••• O••••••• L•• CRD 110296 | Edinburgh, | other | $144B | 0.0% | 0 | n/a | 2 | 0 |
| G••••• I••••••••• M••••••••• L•• CRD 157434 | New York, NY | asset manager | $142B | 0.0% | 0 | n/a | 12 | 93 |
| N••••• A••••••••• A••••••• L•• CRD 160255 | New York, NY | institutional | $142B | 0.0% | 0 | n/a | 4 | 42 |
| H••••••• L••• CRD 107876 | Conshohocken, PA | other | $142B | 0.0% | 0 | n/a | 22 | 553 |
| A•• A•••• M••••••••• U•• I•• CRD 160795 | New York, NY | asset manager | $141B | 0.0% | 0 | n/a | 0 | 29 |
| I•••••• G••••• I••••••••• M••••••••• •••••••• L•• CRD 288550 | Dublin, | other | $141B | 0.0% | 0 | n/a | 0 | 0 |
| T•• C•••••• A•••••••• L•• CRD 159738 | Fort Worth, TX | asset manager | $141B | 0.0% | 2 | $70B | 13 | 127 |
| B•••••••• A•••• M••••••••• N•••• A••• L•••••• CRD 165482 | Hong Kong, | other | $140B | 0.0% | 0 | n/a | 0 | 11 |
| L•• P••••••• L•• CRD 292183 | New York, NY | asset manager | $140B | 0.0% | 0 | n/a | 7 | 4 |
| F••••••• T•••••••• P•••••• P•••••••• G••••• L•• CRD 142219 | New York, NY | independent RIA | $140B | 56% | 1 | $140B | 0 | 0 |
| V••••••• F••• M••••••••• L•• CRD 156610 | Greenwich, CT | asset manager | $139B | 0.0% | 6 | $23B | 24 | 5 |
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17,149 advisers match.