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 |
|---|---|---|---|---|---|---|---|---|
| Longrange Capital, L.P. CRD 309379 | Stamford, CT | asset manager | $2.2B | 0.0% | 0 | n/a | 0 | 1 |
| Southfield Capital LP CRD 163023 | Greenwich, CT | asset manager | $2.1B | 0.0% | 0 | n/a | 2 | 24 |
| Clear Harbor Asset Management, LLC CRD 152242 | Stamford, CT | independent RIA | $2.1B | 91% | 15 | $137M | 2 | 1 |
| A•••••••• A••••••• S•••••••• L•• CRD 111614 | Glastonbury, CT | independent RIA | $2.0B | 100% | 13 | $157M | 3 | 0 |
| C•••••••• C••••••• L••• CRD 161146 | Stamford, CT | asset manager | $2.0B | 0.0% | 0 | n/a | 2 | 9 |
| A•••• I••••••••• M••••••••• I••• CRD 104623 | Greenwich, CT | independent RIA | $2.0B | 84% | 3 | $676M | 0 | 0 |
| B••••••• P••••••• CRD 158087 | Greenwich, CT | asset manager | $2.0B | 0.0% | 0 | n/a | 0 | 3 |
| Q•••••• C••••••••• L• CRD 317784 | Greenwich, CT | asset manager | $2.0B | 0.0% | 0 | n/a | 0 | 0 |
| R••••••• P•••••• C••••••• L•• CRD 288453 | Glastonbury, CT | independent RIA | $1.9B | 92% | 4 | $481M | 0 | 0 |
| W••• H••• C•••••• M••••••••• L• CRD 306712 | Greenwich, CT | asset manager | $1.9B | 0.0% | 0 | n/a | 1 | 1 |
| G•••• P•••• P•••••••• L•• CRD 158423 | Greenwich, CT | asset manager | $1.8B | 0.0% | 0 | n/a | 2 | 17 |
| M•••• C•••••• M••••••••• L•• CRD 324312 | Stamford, CT | asset manager | $1.8B | 0.0% | 0 | n/a | 0 | 2 |
| P•••••• H••••••••• P••••••• L•• CRD 300701 | Stamford, CT | asset manager | $1.7B | 0.0% | 0 | n/a | 0 | 1 |
| L••• P••• P•••••••• L• CRD 299053 | Stamford, CT | asset manager | $1.7B | 0.0% | 0 | n/a | 2 | 10 |
| P••••••• C•••••• M••••••••• L• CRD 299858 | Greenwich, CT | asset manager | $1.7B | 0.0% | 0 | n/a | 0 | 2 |
| R•••••• K•••• L•• CRD 331016 | Greenwich, CT | asset manager | $1.7B | 0.0% | 1 | $1.7B | 1 | 12 |
| D••• S••••• C•••••• M••••••••• L•• CRD 157155 | Westport, CT | other | $1.7B | 0.0% | 2 | $826M | 2 | 0 |
| A•••••• P••••••• CRD 301116 | Norwalk, CT | asset manager | $1.6B | 0.0% | 0 | n/a | 0 | 6 |
| K••••••••• L•• CRD 161169 | Greenwich, CT | asset manager | $1.6B | 0.0% | 0 | n/a | 0 | 7 |
| T•••••• P•••• A•••••••• L•• CRD 292182 | Wilton, CT | independent RIA | $1.6B | 89% | 16 | $102M | 2 | 0 |
| T••••••• C•••••• A•••••••• L••••• CRD 138757 | Norwalk, CT | asset manager | $1.6B | 0.6% | 0 | n/a | 0 | 2 |
| A••••••• S••••• C•••••• M••••••••• L•• CRD 161107 | Greenwich, CT | asset manager | $1.6B | 0.0% | 0 | n/a | 2 | 5 |
| A••••••• C•••••• G•••• L•• CRD 173856 | Darien, CT | asset manager | $1.6B | 0.0% | 0 | n/a | 3 | 19 |
| M••••••• A••••••• L•• CRD 314425 | Westport, CT | asset manager | $1.6B | 0.0% | 0 | n/a | 0 | 0 |
| R•• A•••••••• L•• CRD 327283 | Fairfield, CT | asset manager | $1.6B | 0.0% | 0 | n/a | 2 | 0 |
| A••••••• I••••••••• P••••••• CRD 156918 | Greenwich, CT | asset manager | $1.6B | 0.0% | 0 | n/a | 0 | 6 |
| M•• W••••• A••••••• CRD 127654 | Farmington, CT | independent RIA | $1.6B | 80% | 12 | $130M | 1 | 0 |
| W•••••• C•••••• M••••••••• L• CRD 161644 | Greenwich, CT | asset manager | $1.5B | 0.0% | 0 | n/a | 2 | 4 |
| T•••• A•••••••• L•• CRD 135805 | Stamford, CT | asset manager | $1.5B | 0.0% | 0 | n/a | 0 | 20 |
| V••••• C•••••• A•••••••• L•• CRD 107346 | Hartford, CT | other | $1.5B | 0.0% | 0 | n/a | 2 | 2 |
| B•••••••• E••••• P••••••• L•• CRD 164429 | Stamford, CT | asset manager | $1.5B | 0.0% | 0 | n/a | 0 | 20 |
| I•••••• C•••••• M••••••••• L• CRD 322648 | Greenwich, CT | asset manager | $1.5B | 0.0% | 0 | n/a | 0 | 1 |
| G•••••• • C•••••• I••••••••• A•••••••• I••• CRD 137024 | Greenwich, CT | asset manager | $1.5B | 0.0% | 0 | n/a | 1 | 10 |
| C•••• A•••• M••••••••• L••• CRD 159308 | Stamford, CT | asset manager | $1.5B | 0.0% | 0 | n/a | 0 | 6 |
| N•••••• P•••••••• L•• CRD 174280 | Hartford, CT | institutional | $1.5B | 0.0% | 0 | n/a | 0 | 0 |
| P•••••• R••• E••••• I••••••••• M••••••••• L•• CRD 130289 | West Hartford, CT | asset manager | $1.5B | 0.0% | 0 | n/a | 1 | 6 |
| V••••• A•••••••• L•• CRD 168955 | Hartford, CT | other | $1.4B | 0.0% | 0 | n/a | 1 | 0 |
| E•••••• P••••••• I••••••••• M••••••••• L•• CRD 105885 | Stamford, CT | other | $1.4B | 0.0% | 0 | n/a | 0 | 4 |
| L•••• G••••• M••••••••• L• CRD 329441 | Stamford, CT | asset manager | $1.4B | 0.0% | 0 | n/a | 0 | 2 |
| O••••••• M••••••••• G•••• L•• CRD 306284 | Stamford, CT | independent RIA | $1.4B | 98% | 0 | n/a | 0 | 8 |
| H•••••••• P•••••••• L•• CRD 313052 | Norwalk, CT | asset manager | $1.4B | 0.0% | 0 | n/a | 0 | 18 |
| G•••••• S•••• C•••••• M••••••••• L• CRD 284888 | Greenwich, CT | asset manager | $1.3B | 0.0% | 0 | n/a | 0 | 6 |
| C•••••• I••••••••• C••••••• I••• CRD 120107 | Stamford, CT | other | $1.3B | 0.0% | 0 | n/a | 1 | 3 |
| P•••••• C•••••• A•••••••• I••• CRD 125771 | Darien, CT | independent RIA | $1.3B | 96% | 2 | $641M | 1 | 0 |
| B••••••• C•••••• M••••••••• L•• CRD 108054 | Darien, CT | independent RIA | $1.3B | 94% | 3 | $426M | 0 | 0 |
| S••••• P•••• S•••••••• C••••• F••• M••••••••• L•• CRD 317225 | Greenwich, CT | asset manager | $1.3B | 0.0% | 0 | n/a | 9 | 0 |
| G••••• H••• A•••• M••••••••• L•• CRD 143970 | New Canaan, CT | independent RIA | $1.2B | 61% | 5 | $249M | 0 | 0 |
| G• V•••••• I••••••••• A•••••••• L•• CRD 329905 | Stamford, CT | other | $1.2B | 0.0% | 0 | n/a | 2 | 0 |
| T••••• M••••••••• C•••••• L•• CRD 323861 | Greenwich, CT | asset manager | $1.2B | 0.0% | 0 | n/a | 0 | 0 |
| M••••••• P•••• C••••• M••••••••• L•• CRD 330615 | Greenwich, CT | asset manager | $1.2B | 0.0% | 0 | n/a | 0 | 4 |
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507 advisers match.