DFX Intelligence
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 |
|---|---|---|---|---|---|---|---|---|
| Schroders Capital Management (US) Inc. CRD 145194 | New York, NY | other | $35B | 0.5% | 0 | n/a | 0 | 66 |
| King Street Capital Management, L.P. CRD 156785 | New York, NY | asset manager | $35B | 0.0% | 0 | n/a | 3 | 63 |
| Brevan Howard US Investment Management LP CRD 164537 | New York, NY | asset manager | $34B | 0.0% | 0 | n/a | 14 | 0 |
| W••••••••• A••••••• CRD 106181 | New York, NY | independent RIA | $34B | 97% | 237 | $145M | 26 | 0 |
| V••• A••••••••• A•••• M••••••••• L•• CRD 107235 | New York, NY | asset manager | $34B | 0.0% | 0 | n/a | 2 | 56 |
| P•••••• W•• C•••••• M••••••••• L•• CRD 334551 | New York, NY | asset manager | $34B | 0.0% | 0 | n/a | 1 | 9 |
| S••• A•••• M••••••••• ••• L•• CRD 291738 | New York, NY | asset manager | $33B | 0.0% | 0 | n/a | 0 | 5 |
| B•• M••••• A•••••••• I••• CRD 106108 | New York, NY | bank affiliated | $33B | 94% | 15 | $2.2B | 4 | 0 |
| D• E• S••• I••••••••• M••••••••• L••••• CRD 135284 | New York, NY | asset manager | $33B | 0.0% | 0 | n/a | 1 | 17 |
| R•••••• R•••• A•••• M••••••••• L•• CRD 283058 | New York, NY | asset manager | $33B | 0.0% | 0 | n/a | 5 | 83 |
| B•••••• C•••••• M••••••••• L• CRD 144078 | New York, NY | asset manager | $33B | 0.0% | 0 | n/a | 1 | 64 |
| 2•••••• CRD 322923 | New York, NY | other | $33B | 0.0% | 0 | n/a | 1 | 38 |
| J••• G••••• L•• CRD 330309 | New York, NY | asset manager | $32B | 0.0% | 0 | n/a | 2 | 2 |
| E•••• S••••••••• L•• CRD 110826 | New York, NY | BD affiliated | $32B | 98% | 2,480 | $12.9M | 891 | 0 |
| G•••••• S•••• W••••• S•••••••• L••• CRD 106693 | Cohoes, NY | BD affiliated | $32B | 78% | 1,098 | $28.9M | 23 | 0 |
| M••••••• • C••• I••• CRD 22998 | New York, NY | asset manager | $31B | 0.6% | 0 | n/a | 1 | 2 |
| B• P••••••• P• L••• CRD 333698 | New York, NY | asset manager | $31B | 0.0% | 0 | n/a | 0 | 0 |
| T•••••••• A•••••••• L•• CRD 147189 | New York, NY | independent RIA | $31B | 78% | 6 | $5.2B | 8 | 23 |
| T•• L• CRD 160313 | New York, NY | asset manager | $31B | 0.0% | 0 | n/a | 3 | 48 |
| B••••••••• C•• M••••••••• L•• CRD 304307 | New York, NY | asset manager | $31B | 0.0% | 0 | n/a | 5 | 78 |
| M••••••• A•••• M••••••••• L••• CRD 124613 | New York, NY | asset manager | $30B | 0.0% | 0 | n/a | 2 | 70 |
| B•• P•••••• A•••• M••••••••• U• • L•• CRD 152538 | New York, NY | asset manager | $30B | 3.8% | 66 | $456M | 10 | 0 |
| G••••• A•••• M••••••••• L•• CRD 149335 | New York, NY | mixed wealth | $30B | 47% | 5 | $6.0B | 1 | 27 |
| A••••• C••••• M••••••••• L•• CRD 156115 | New York, NY | asset manager | $30B | 0.0% | 0 | n/a | 28 | 0 |
| J••••••• A••••••••• A•••• M••••••••• CRD 20989 | New York, NY | asset manager | $30B | 2.6% | 0 | n/a | 2 | 15 |
| E•••• I••••••••• P•••••••• I••• CRD 131556 | New York, NY | asset manager | $30B | 6.4% | 1 | $30B | 2 | 1 |
| F••••••• T•••••••• I••••••••• L•• CRD 117384 | New York, NY | asset manager | $30B | 0.3% | 0 | n/a | 4 | 0 |
| I•••••• S••••• S•••••• M••••••••• I••• CRD 107590 | New York, NY | asset manager | $29B | 0.0% | 0 | n/a | 4 | 27 |
| P••••••• G•••• •••• I••• CRD 145228 | New York, NY | asset manager | $29B | 0.0% | 0 | n/a | 3 | 6 |
| W•••• I••• CRD 108673 | New York, NY | asset manager | $29B | 0.0% | 0 | n/a | 2 | 34 |
| D•• A••••••• L•• CRD 154558 | New York, NY | asset manager | $29B | 0.0% | 0 | n/a | 0 | 0 |
| D••••••• C•••••• P••••••• L• CRD 289307 | New York, NY | asset manager | $29B | 0.0% | 0 | n/a | 2 | 34 |
| T•••• P•••• L•• CRD 137927 | New York, NY | asset manager | $29B | 0.0% | 0 | n/a | 6 | 34 |
| H•• A•••••••• L•• CRD 324983 | New York, NY | asset manager | $29B | 0.0% | 0 | n/a | 19 | 0 |
| S••••••••• A•••• M••••••••• G•••• L•• CRD 118333 | New York, NY | independent RIA | $28B | 67% | 35 | $809M | 7 | 12 |
| B•••••• S••••• P••••••• L••••• CRD 158672 | New York, NY | asset manager | $28B | 0.0% | 0 | n/a | 4 | 71 |
| P•••••• R••••••••• C••••• M••••••••• L•• CRD 171026 | New York, NY | asset manager | $28B | 0.0% | 0 | n/a | 3 | 12 |
| B•••• B••••••• I••••••••• CRD 158149 | New York, NY | asset manager | $28B | 0.0% | 0 | n/a | 1 | 2 |
| A•••• C•••••• M••••••••• U• L•• CRD 331263 | New York, NY | asset manager | $28B | 0.0% | 0 | n/a | 0 | 0 |
| A•••••••• C•••••• A•••••••• L••• CRD 328998 | New York, NY | asset manager | $28B | 0.0% | 0 | n/a | 0 | 84 |
| T••••••••• C•••••• P••••••• CRD 155730 | New York, NY | asset manager | $28B | 0.0% | 0 | n/a | 5 | 61 |
| B••••• I••••••••• I••• CRD 285006 | New York, NY | asset manager | $28B | 0.0% | 0 | n/a | 1 | 44 |
| K••••••••• A•••• M••••••••• L•• CRD 298735 | New York, NY | asset manager | $27B | 0.0% | 0 | n/a | 1 | 4 |
| A••••••• H••••••• I••••••••• M••••••••• L•• CRD 292769 | New York, NY | institutional | $27B | 0.0% | 0 | n/a | 0 | 12 |
| A••• A••••••• P••••••• CRD 133535 | New York, NY | BD affiliated | $27B | 92% | 231 | $115M | 38 | 17 |
| S••••• R••• A•••••••• L• CRD 144059 | New York, NY | mixed wealth | $26B | 27% | 0 | n/a | 0 | 21 |
| F••• A•••• M••••••••• L•• CRD 106750 | New York, NY | asset manager | $26B | 6.2% | 0 | n/a | 2 | 0 |
| B••• O•• I•••••••• S•••••••• CRD 331318 | New York, NY | institutional | $26B | 0.0% | 0 | n/a | 3 | 0 |
| A•• C••••• M••••••••• L•• CRD 299601 | New York, NY | asset manager | $26B | 0.0% | 0 | n/a | 0 | 53 |
| P•••••• S••••••••• R••••• M•••••• I••• L•• CRD 304443 | New York, NY | other | $26B | 0.0% | 0 | n/a | 2 | 8 |
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.
2,583 advisers match.