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 |
|---|---|---|---|---|---|---|---|---|
| Port Capital LLC CRD 206517 | Chicago, IL | mixed wealth | $2.9B | 34% | 1 | $2.9B | 0 | 5 |
| Edgewater Services, LLC CRD 159926 | Chicago, IL | asset manager | $2.8B | 0.0% | 0 | n/a | 0 | 34 |
| Peakline Partners, LLC CRD 306449 | Chicago, IL | asset manager | $2.8B | 0.0% | 1 | $2.8B | 1 | 34 |
| R••••••••• I••••••••• CRD 728 | Chicago, IL | independent RIA | $2.8B | 94% | 17 | $164M | 2 | 1 |
| S•••••••• R••• E••••• M••••••••• C••••••• L••• CRD 168331 | Chicago, IL | asset manager | $2.8B | 0.0% | 0 | n/a | 0 | 13 |
| A•••• W••••• A•••••••• L•• CRD 145488 | Chicago, IL | BD affiliated | $2.7B | 93% | 143 | $19.2M | 26 | 0 |
| D••••••• P••••••• L••••• CRD 108147 | Chicago, IL | mixed wealth | $2.7B | 39% | 9 | $305M | 0 | 0 |
| P•• L••• M••••••••• C•••••• 2• L•• CRD 297186 | Chicago, IL | asset manager | $2.7B | 0.0% | 0 | n/a | 0 | 8 |
| I•• W••••• M••••••••• I••• CRD 111872 | Decatur, IL | BD affiliated | $2.7B | 96% | 68 | $39.1M | 39 | 0 |
| E••••• F•••••••• G•••• CRD 108233 | Chicago, IL | mixed wealth | $2.6B | 49% | 13 | $203M | 6 | 0 |
| M•••••• R••••• I••• CRD 328098 | Chicago, IL | asset manager | $2.6B | 0.0% | 0 | n/a | 0 | 3 |
| C•••• A•••• M••••••••• I•• CRD 104764 | Champaign, IL | independent RIA | $2.6B | 94% | 20 | $131M | 0 | 0 |
| S•• I••••••••• L•• CRD 330022 | Chicago, IL | asset manager | $2.6B | 0.0% | 0 | n/a | 2 | 9 |
| T•••• • D••••••• P••••••• M••••••••• L• CRD 298088 | Chicago, IL | asset manager | $2.6B | 0.0% | 0 | n/a | 1 | 16 |
| C••••••••• W••••• C•••••• CRD 326917 | Chicago, IL | asset manager | $2.5B | 0.0% | 0 | n/a | 1 | 10 |
| N•••• S••• I••••••••• M••••••••• C••••••••• CRD 117681 | Chicago, IL | independent RIA | $2.5B | 78% | 11 | $227M | 2 | 0 |
| B•••••• L••• A••••••• S•••••••• I••• CRD 281285 | Chicago, IL | BD affiliated | $2.5B | 99% | 533 | $4.7M | 136 | 0 |
| H•••• C•••••• L•• CRD 297176 | Chicago, IL | asset manager | $2.4B | 0.0% | 2 | $1.2B | 2 | 1 |
| C••• P••••••• CRD 157330 | Chicago, IL | asset manager | $2.3B | 0.0% | 0 | n/a | 0 | 14 |
| V••••• C••••••• L•• CRD 165855 | Chicago, IL | independent RIA | $2.3B | 92% | 24 | $94.8M | 2 | 0 |
| N••••• F•••••••• G••••• I••• CRD 122617 | Deerfield, IL | independent RIA | $2.2B | 92% | 16 | $137M | 1 | 0 |
| Z•••••••• I••••••••• G•••• CRD 137785 | Chicago, IL | independent RIA | $2.2B | 95% | 4 | $542M | 0 | 0 |
| D••••••••• C•••••• P••••••• L•• CRD 297521 | Chicago, IL | asset manager | $2.1B | 0.0% | 0 | n/a | 0 | 0 |
| G•••••• C•••••• P••••••• CRD 316524 | Chicago, IL | asset manager | $2.1B | 0.0% | 0 | n/a | 1 | 17 |
| M•••• C•••••• CRD 319626 | Chicago, IL | other | $2.1B | 12% | 1 | $2.1B | 0 | 1 |
| G•••••• C•••••• CRD 284079 | Chicago, IL | asset manager | $2.1B | 0.0% | 0 | n/a | 1 | 1 |
| M•••••• A••••• S••••••••• L•• CRD 307461 | Chicago, IL | asset manager | $2.1B | 0.0% | 0 | n/a | 4 | 12 |
| D•••••• W••••• A••••••• CRD 315995 | Chicago, IL | independent RIA | $2.0B | 100% | 12 | $170M | 0 | 0 |
| K•••••• W••••• M••••••••• CRD 297496 | Chicago, IL | independent RIA | $2.0B | 88% | 5 | $406M | 1 | 0 |
| F•••••••• CRD 156096 | Chicago, IL | asset manager | $2.0B | 0.0% | 0 | n/a | 0 | 10 |
| F••••••• I•••••••• • C• CRD 29449 | Downers Grove, IL | independent RIA | $2.0B | 91% | 5 | $398M | 0 | 0 |
| M••••••••• S••••••••• T•••••• C•••••• CRD 101080 | East Peoria, IL | independent RIA | $2.0B | 95% | 51 | $38.9M | 85 | 0 |
| E•• CRD 300436 | Chicago, IL | asset manager | $1.9B | 0.0% | 0 | n/a | 0 | 8 |
| M••••••• A•••• M••••••••• L•• CRD 285287 | Evanston, IL | other | $1.9B | 0.0% | 1 | $1.9B | 2 | 0 |
| L•••••• M••••••••• V•••• M••••••• L•• CRD 161298 | Chicago, IL | asset manager | $1.9B | 0.0% | 0 | n/a | 1 | 8 |
| P••• I••••••••• A•••••••• L••••• CRD 296631 | Chicago, IL | asset manager | $1.9B | 0.0% | 0 | n/a | 1 | 5 |
| B••• CRD 157573 | Chicago, IL | asset manager | $1.9B | 0.0% | 0 | n/a | 0 | 11 |
| B••• V•••• C••••••• L•• CRD 127001 | Chicago, IL | asset manager | $1.9B | 0.0% | 0 | n/a | 0 | 21 |
| S••••• O•• S••••••• P••••••••• CRD 160904 | Evanston, IL | asset manager | $1.8B | 0.0% | 0 | n/a | 2 | 0 |
| H•••••• R••• E••••• S••••••••• L•• CRD 107134 | Chicago, IL | other | $1.8B | 0.0% | 0 | n/a | 6 | 0 |
| C••• I••••••••• P•••••••• L•• CRD 293334 | Chicago, IL | asset manager | $1.8B | 0.0% | 0 | n/a | 2 | 8 |
| O•• C•••••• M••••••••• L•• CRD 153533 | Chicago, IL | asset manager | $1.8B | 0.0% | 0 | n/a | 2 | 0 |
| C••••• R••• C•••••• P•••••••• L• CRD 291521 | Chicago, IL | asset manager | $1.7B | 0.0% | 0 | n/a | 1 | 8 |
| S•••• A••••••• S•••••• ••• L•• CRD 310404 | Chicago, IL | asset manager | $1.7B | 0.0% | 0 | n/a | 4 | 6 |
| O•• R•••• I••••••••• L•• CRD 107066 | Chicago, IL | independent RIA | $1.7B | 84% | 2 | $852M | 0 | 0 |
| R••••••••• W••••• L•• CRD 162442 | Oakbrook, IL | independent RIA | $1.7B | 93% | 31 | $54.8M | 2 | 2 |
| C••••••••• C•••••• P••••••• CRD 139886 | Hoffman Estates, IL | independent RIA | $1.7B | 77% | 15 | $112M | 0 | 0 |
| A•••••• I••••••••• M••••••••• L•• CRD 318816 | Lisle, IL | asset manager | $1.7B | 0.0% | 1 | $1.7B | 0 | 0 |
| M••••• • M••••• A•••• M••••••••• CRD 132073 | Chicago, IL | asset manager | $1.7B | 0.0% | 3 | $557M | 0 | 9 |
| E••••••• C•••••• L•• CRD 289047 | Chicago, IL | asset manager | $1.7B | 0.0% | 1 | $1.7B | 2 | 26 |
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678 advisers match.