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.
17,149 advisers
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Investcorp Investment Advisers LLC CRD 137790 | New York, NY | asset manager | $5.5B | 0.0% | 0 | Not computed | 0 | 47 |
| Integrated Advisors Network LLC CRD 171991 | Dallas, TX | independent RIA | $5.5B | 99% | 80 | $69.0M | 47 | 0 |
| Wainwright Investment Counsel LLC CRD 108711 | Boston, MA | mixed wealth | $5.5B | 31% | 12 | $460M | 0 | 0 |
| S•••• C•••••• M••••••••• I••• CRD 143567 | Phoenix, AZ | asset manager | $5.5B | 0.8% | 6 | $919M | 2 | 0 |
| 7• W••• C•••••• P••••••• CRD 338756 | Boston, MA | independent RIA | $5.5B | 99% | 6 | $918M | 1 | 0 |
| C••••••• G•••• A••••••• CRD 170912 | Lake Forest, IL | independent RIA | $5.5B | 93% | 21 | $262M | 2 | 0 |
| S••••• I••••••••• P•••••••• I••• CRD 110954 | Walnut Creek, CA | institutional | $5.5B | 0.0% | 0 | Not computed | 2 | 0 |
| T••••• C•••••• M••••••••• L•• CRD 164937 | asset manager | $5.5B | 0.0% | 3 | $1.8B | 2 | 0 | |
| S••••• B•••• A••••••••• I•• CRD 105056 | New York, NY | other | $5.5B | 7.8% | 0 | Not computed | 0 | 0 |
| W•••••• P•••••• W••••• CRD 131063 | Bridgeville, PA | independent RIA | $5.5B | 100% | 43 | $128M | 3 | 1 |
| C•• •••• L•• CRD 147329 | New York, NY | asset manager | $5.5B | 0.0% | 0 | Not computed | 0 | 1 |
| M• R••••••••• CRD 164328 | Carmel, IN | institutional | $5.5B | 1.5% | 5 | $1.1B | 0 | 0 |
| F••••••• A•••• M••••••••• L•• CRD 109910 | Sheridan, WY | mixed wealth | $5.5B | 21% | 9 | $610M | 1 | 0 |
| B••••••••• CRD 105142 | Richmond, VA | mixed wealth | $5.5B | 42% | 15 | $366M | 0 | 58 |
| I••••••• H••••••• L• CRD 314678 | New York, NY | asset manager | $5.5B | 0.0% | 0 | Not computed | 1 | 12 |
| Q•• I••••••••• N•• 1• P•• L•• CRD 160732 | Brisbane Queensland, | asset manager | $5.5B | 0.0% | 0 | Not computed | 2 | 17 |
| D••••••••• G••••• I•••••••• I•• CRD 106746 | Minneapolis, MN | mixed wealth | $5.5B | 26% | 2 | $2.7B | 0 | 3 |
| L••••• F•••••••• G••••• L•• CRD 140599 | Saint Louis, MO | BD affiliated | $5.5B | 99% | 68 | $80.6M | 20 | 0 |
| L••• R••• CRD 157127 | Westport, CT | asset manager | $5.5B | 0.0% | 0 | Not computed | 2 | 23 |
| B•••• G•••• L•• CRD 312320 | New York, NY | asset manager | $5.5B | 0.0% | 0 | Not computed | 0 | 20 |
| C•••••• W••••• M••••••••• L•• CRD 143490 | Naperville, IL | independent RIA | $5.5B | 88% | 42 | $130M | 6 | 0 |
| V••••• P•••• C••••••• L• CRD 325894 | New York, NY | other | $5.5B | 0.0% | 0 | Not computed | 0 | 1 |
| M•••••• C•••••• M••••••••• L••• CRD 160759 | Greenwich, CT | asset manager | $5.5B | 0.0% | 0 | Not computed | 1 | 0 |
| P•••••• C•••••• M••••••••• L•• CRD 106278 | Boston, MA | asset manager | $5.5B | 0.0% | 4 | $1.4B | 1 | 3 |
| A•••• V••••••• M••••••••• I••• CRD 162777 | Burlingame, CA | asset manager | $5.4B | 0.0% | 0 | Not computed | 0 | 57 |
| P••••••• C•••••• M••••••••• L•• CRD 160535 | New York, NY | asset manager | $5.4B | 0.0% | 0 | Not computed | 0 | 2 |
| S••••• M••••••••• I•• CRD 107379 | Wichita Falls, TX | other | $5.4B | 3.2% | 3 | $1.8B | 0 | 0 |
| S••• I••••••••• M••••••••• L•• CRD 288615 | Miami Beach, FL | asset manager | $5.4B | 0.0% | 0 | Not computed | 7 | 2 |
| B••••••••• W••••• M••••••••• L•• CRD 152667 | Austin, TX | independent RIA | $5.4B | 92% | 46 | $118M | 7 | 0 |
| A•••••• C•••••• M••••••••• L•• CRD 307291 | Chicago, IL | asset manager | $5.4B | 0.0% | 0 | Not computed | 2 | 2 |
| M••••• C•••••• M••••••••• L•• CRD 285341 | New York, NY | asset manager | $5.4B | 0.0% | 0 | Not computed | 4 | 37 |
| P•••••• C••••••••• I•• CRD 113914 | Springfield, MO | institutional | $5.4B | 1.1% | 6 | $904M | 2 | 0 |
| T••• N•••• A•••••••• L•• CRD 116048 | Dallas, TX | independent RIA | $5.4B | 72% | 32 | $169M | 5 | 34 |
| I•••••••• A•••••••• L•• CRD 139627 | Urbandale, IA | BD affiliated | $5.4B | 89% | 355 | $15.2M | 128 | 0 |
| S••••••••• I•••••••• CRD 160674 | Boston, MA | asset manager | $5.4B | 0.0% | 0 | Not computed | 1 | 1 |
| T••••••• C•••••• CRD 156562 | New York, NY | asset manager | $5.4B | 0.0% | 0 | Not computed | 0 | 22 |
| F••••••• A•••• M••••••••• I••• CRD 110946 | Cobleskill, NY | mixed wealth | $5.4B | 31% | 19 | $285M | 1 | 1 |
| W••••••••• F•••• ••• L•• CRD 288313 | Boston, MA | asset manager | $5.4B | 0.0% | 0 | Not computed | 0 | 13 |
| S•••• C•••••• A••••••••• L•• CRD 155517 | Arlington, VA | asset manager | $5.4B | 0.0% | 0 | Not computed | 5 | 34 |
| C••••••••• W••••• A••••••• CRD 147253 | Cincinnati, OH | independent RIA | $5.4B | 77% | 15 | $360M | 1 | 4 |
| H• C•••••• P•••••• E••••• L•• CRD 134231 | Miami, FL | asset manager | $5.4B | 0.0% | 0 | Not computed | 4 | 19 |
| F•••• S•••••• I•••••••• CRD 283669 | George Town, Grand Cayman, | asset manager | $5.4B | 0.0% | 0 | Not computed | 3 | 0 |
| B••• C•••••• I•••••••• S••••••••• L• CRD 305575 | Boston, MA | asset manager | $5.4B | 0.0% | 0 | Not computed | 2 | 4 |
| Q•••• C•••••• M••••••••• L•• CRD 287484 | San Francisco, CA | asset manager | $5.4B | 0.0% | 0 | Not computed | 1 | 62 |
| B••••••••• A••••••••• I••••••••• A••••••• L•• CRD 165782 | New York, NY | asset manager | $5.4B | 0.0% | 0 | Not computed | 6 | 0 |
| S••••• R••• F•••••••• L• CRD 283335 | Los Angeles, CA | asset manager | $5.4B | 0.0% | 0 | Not computed | 1 | 15 |
| C•••••• C•••••• CRD 226779 | New York, NY | asset manager | $5.4B | 0.0% | 0 | Not computed | 1 | 16 |
| A••••• W••••••• C•••••• P••• L••• CRD 299712 | Samsung Hub, | asset manager | $5.4B | 0.0% | 0 | Not computed | 0 | 8 |
| C•••• • S••••• U• L•••••• CRD 142150 | London, | asset manager | $5.4B | 0.0% | 0 | Not computed | 0 | 0 |
| S•••••••• I••••••••• I••• CRD 160297 | Menlo Park, CA | other | $5.4B | 0.0% | 0 | Not computed | 4 | 7 |
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.