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.
2,583 advisers match
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Greg Jennings, LLC CRD 341031 | Dewitt, NY | independent RIA | $183M | 100% | 2 | $91.5M | 0 | 0 |
| Godfrey Financial Associates, Inc. CRD 126189 | Glenmont, NY | independent RIA | $183M | 100% | 3 | $60.8M | 0 | 0 |
| Emmett Investment Management, LP CRD 299543 | New York, NY | asset manager | $182M | 0.0% | 0 | Not computed | 0 | 1 |
| P•••••• C••••• A•••• M••••••••• I••• CRD 147052 | Massapequa, NY | independent RIA | $181M | 100% | 2 | $90.6M | 0 | 0 |
| C•••• A••••••• L•• CRD 323620 | Brooklyn, NY | independent RIA | $181M | 100% | 0 | Not computed | 0 | 0 |
| R•••••• B•••••••• A••••••• L•• CRD 153577 | New York, NY | asset manager | $181M | 0.0% | 0 | Not computed | 0 | 0 |
| S•••••••• L••••• A•••••••• I••• CRD 105849 | Hamburg, NY | independent RIA | $181M | 98% | 4 | $45.2M | 1 | 0 |
| A••••• W•••• C•••••• I••••••••• L•• CRD 112496 | Purchase, NY | asset manager | $181M | 0.0% | 0 | Not computed | 0 | 3 |
| 2• C•••••• P••••••• L• CRD 334821 | New York, NY | asset manager | $180M | 0.0% | 0 | Not computed | 0 | 0 |
| D••••••• G•••• L• CRD 306533 | New York, NY | other | $180M | 0.0% | 0 | Not computed | 0 | 1 |
| S••••••••• I••••••••• CRD 327779 | New York, NY | independent RIA | $180M | 100% | 28 | $6.4M | 22 | 0 |
| G•••••••• I•••••••• L•• CRD 155088 | New York, NY | asset manager | $180M | 4.2% | 1 | $180M | 1 | 10 |
| A•••• M••••••••• L• CRD 331983 | New York, NY | asset manager | $180M | 0.0% | 0 | Not computed | 0 | 1 |
| A•• C•••••• M••••••••• I••• CRD 126414 | New York, NY | independent RIA | $179M | 97% | 4 | $44.6M | 2 | 0 |
| I•••• T••••••••• G•••• L•• CRD 327771 | New York, NY | other | $178M | 17% | 6 | $29.7M | 2 | 0 |
| C•••••• C•••••• M••••••••• L• CRD 307389 | New York, NY | asset manager | $178M | 0.0% | 0 | Not computed | 0 | 1 |
| L•••••• M••••••••• L• CRD 285921 | New York, NY | asset manager | $178M | 0.0% | 0 | Not computed | 0 | 1 |
| O••••••••• A••••••••• I••••••••• M••••••••• L•• CRD 140485 | New York, NY | asset manager | $178M | 0.0% | 0 | Not computed | 0 | 0 |
| M••••••• M••••••• I••• CRD 288654 | Latham, NY | independent RIA | $177M | 99% | 3 | $59.0M | 0 | 0 |
| C•••••• A•••••••• L•• CRD 129270 | Buffalo, NY | independent RIA | $176M | 91% | 2 | $88.2M | 0 | 0 |
| N••• L••• C•••••• L• CRD 332838 | New York, NY | asset manager | $176M | 0.0% | 0 | Not computed | 0 | 1 |
| S•••••••• A•••• M••••••••• CRD 285103 | Amherst, NY | independent RIA | $176M | 100% | 2 | $88.0M | 0 | 0 |
| F••••• V•••••• P•••••••• L•• CRD 304152 | New York, NY | asset manager | $175M | 0.0% | 0 | Not computed | 0 | 6 |
| P••••••• M••••••••• L•• CRD 127269 | New York, NY | independent RIA | $175M | 84% | 4 | $43.8M | 2 | 1 |
| C••• A•••• I••••••••• M••••••••• ••••• L•• CRD 289848 | New York, NY | asset manager | $175M | 0.0% | 0 | Not computed | 0 | 1 |
| I••••• • A•••• A•••••••• I••• CRD 124955 | Armonk, NY | independent RIA | $175M | 99% | 5 | $35.0M | 1 | 0 |
| A•••• C•••••• M••••••••• L•• CRD 165190 | New York, NY | asset manager | $175M | 0.0% | 0 | Not computed | 0 | 2 |
| H•• C•••••• U• CRD 306285 | New York, NY | asset manager | $175M | 0.0% | 0 | Not computed | 0 | 4 |
| C••••••• I••••••••• F•••••••• G••••• L•• CRD 122575 | Webster, NY | independent RIA | $175M | 97% | 5 | $34.9M | 2 | 1 |
| T•• P•••• C•••••• L•• CRD 333142 | New York, NY | asset manager | $175M | 0.0% | 0 | Not computed | 0 | 1 |
| A••• M••••• F•••••••• A•••••••• L•• CRD 173292 | Massapequa, NY | independent RIA | $175M | 100% | 0 | Not computed | 1 | 0 |
| U•••••••• CRD 322644 | New York, NY | asset manager | $174M | 0.0% | 0 | Not computed | 0 | 1 |
| D•••••• W••••• G••••• L•• CRD 166794 | Garden City, NY | independent RIA | $174M | 95% | 2 | $87.2M | 0 | 0 |
| M••••• • M•••••• C•••••• M••••••••• C••• CRD 328629 | Smithtown, NY | independent RIA | $174M | 100% | 2 | $87.0M | 0 | 0 |
| B•••••••• C•••••••• I••••••••• L•• CRD 161305 | New York, NY | asset manager | $173M | 0.0% | 0 | Not computed | 0 | 1 |
| H••••••• C•••••• M••••••••• L•• CRD 327539 | Rye, NY | asset manager | $173M | 0.0% | 0 | Not computed | 0 | 8 |
| S•••••••• A•••• M••••••••• L•• CRD 118968 | New York, NY | independent RIA | $172M | 81% | 0 | Not computed | 0 | 0 |
| T••••••• I••••••••• M••••••••• L•• CRD 329567 | New York, NY | asset manager | $172M | 0.0% | 0 | Not computed | 0 | 2 |
| W•••• H•• C•••••• P••••••• L• CRD 288059 | New York, NY | asset manager | $171M | 0.0% | 0 | Not computed | 0 | 4 |
| H•••••• A•••••••• L•• CRD 306342 | Garden City, NY | independent RIA | $171M | 100% | 2 | $85.6M | 0 | 0 |
| S••••••••• I••••••••• L• CRD 318718 | New York, NY | asset manager | $170M | 0.0% | 0 | Not computed | 0 | 1 |
| D•••• C•••••• M••••••••• L• CRD 170010 | New York, NY | asset manager | $170M | 0.0% | 0 | Not computed | 0 | 3 |
| C•••• V•••• M••••••••• C•••••• L•• CRD 335893 | New York, NY | asset manager | $169M | 0.0% | 0 | Not computed | 0 | 8 |
| B••• C•••••• CRD 312070 | Rochester, NY | independent RIA | $168M | 100% | 2 | $84.2M | 0 | 0 |
| G•••• P••• P••••••• CRD 284461 | Goshen, NY | independent RIA | $167M | 98% | 2 | $83.6M | 3 | 0 |
| A••••• C•••••• M••••••••• L•• CRD 149008 | Syracuse, NY | independent RIA | $167M | 100% | 2 | $83.6M | 0 | 0 |
| T•••• M•••• A•••• M••••••••• L• CRD 328044 | New York, NY | asset manager | $167M | 0.0% | 0 | Not computed | 0 | 1 |
| T• C•••••• M••••••••• L•• CRD 164268 | Rockville Centre, NY | asset manager | $166M | 0.0% | 0 | Not computed | 0 | 3 |
| W• • S• M••••••••• S•••••••• I••• CRD 127852 | Rochester, NY | independent RIA | $166M | 100% | 3 | $55.3M | 1 | 0 |
| N•••• G••••• G••••• P••••••• M••••••••• I••• CRD 311890 | New York, NY | asset manager | $163M | 0.0% | 0 | Not computed | 0 | 3 |
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.