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 |
|---|---|---|---|---|---|---|---|---|
| Tci Wealth Advisors, Inc. CRD 107373 | Tucson, AZ | independent RIA | $5.4B | 96% | 45 | $119M | 6 | 0 |
| Frost Investment Advisors, LLC CRD 146148 | San Antonio, TX | asset manager | $5.4B | 0.0% | 27 | $199M | 0 | 0 |
| Western Wealth Management LLC CRD 283545 | Golden, CO | independent RIA | $5.4B | 94% | 113 | $47.4M | 40 | 0 |
| C••• H••• P•••••••• L••• CRD 288684 | Boston, MA | asset manager | $5.4B | 0.0% | 0 | Not computed | 0 | 8 |
| M••••• R•••• L• CRD 284653 | New York, NY | asset manager | $5.3B | 0.0% | 0 | Not computed | 0 | 13 |
| A•••• C•••••• P••••••• L•• CRD 305988 | Miami, FL | asset manager | $5.3B | 2.9% | 10 | $534M | 1 | 104 |
| M•••••••• I••••••••• E••••• L•••••• CRD 284912 | Dublin 4, | asset manager | $5.3B | 0.0% | 0 | Not computed | 0 | 0 |
| D•••• V•••••• I••••••••• L•• CRD 105990 | Peoria, IL | independent RIA | $5.3B | 73% | 23 | $232M | 1 | 0 |
| A•••• C•••••• A••••••• CRD 170313 | Los Angeles, CA | asset manager | $5.3B | 0.0% | 0 | Not computed | 1 | 26 |
| P•••• C•••••• M••••••••• L•••••• CRD 139138 | London, | asset manager | $5.3B | 0.0% | 0 | Not computed | 0 | 15 |
| F••••• M••••• L•• CRD 104951 | New York, NY | mixed wealth | $5.3B | 37% | 10 | $531M | 2 | 2 |
| M••••••• C•••••• M••••••••• L•• CRD 109528 | Grand Blanc, MI | independent RIA | $5.3B | 93% | 24 | $221M | 4 | 0 |
| F•••••••• P•••••••• L•• CRD 147353 | New York, NY | asset manager | $5.3B | 0.0% | 0 | Not computed | 0 | 26 |
| P••••• N•••• A•••••• A••••••• S• CRD 142512 | Geneva 73, | independent RIA | $5.3B | 78% | 1 | $5.3B | 1 | 0 |
| P•••••• C•••••• CRD 157532 | Charlotte, NC | asset manager | $5.3B | 0.0% | 0 | Not computed | 0 | 7 |
| B•• W•••••• L•• CRD 143208 | Atlanta, GA | independent RIA | $5.3B | 99% | 63 | $83.9M | 4 | 2 |
| A•••• I••••••••• A•••••••• L•• CRD 287906 | Deerfield, IL | mixed wealth | $5.3B | 27% | 69 | $76.6M | 27 | 0 |
| R•••••• W••••• CRD 123047 | Lansing, MI | independent RIA | $5.3B | 64% | 41 | $129M | 13 | 0 |
| C••••••••• C•••••• E••••• P••••••• L• CRD 147248 | Andover, MA | asset manager | $5.3B | 0.0% | 0 | Not computed | 1 | 20 |
| D••••• C•••••• M••••••••• L• CRD 156605 | Boston, MA | asset manager | $5.3B | 0.0% | 2 | $2.6B | 4 | 9 |
| A•••••• I••••••••• M••••••••• CRD 164273 | Charlotte, NC | other | $5.3B | 0.0% | 0 | Not computed | 0 | 0 |
| M•• F••• M••••••••• L•• CRD 157212 | New York, NY | asset manager | $5.3B | 0.0% | 0 | Not computed | 0 | 10 |
| Z••• G•••• CRD 108371 | Holmdel, NJ | asset manager | $5.3B | 0.0% | 0 | Not computed | 1 | 26 |
| D••••• P••••••• CRD 321820 | New York, NY | asset manager | $5.3B | 0.0% | 0 | Not computed | 0 | 14 |
| V•••• P••••••• H••• K••• L•••••• CRD 157477 | H••• K•••, | asset manager | $5.2B | 0.0% | 0 | Not computed | 0 | 2 |
| V•••••• V•••••••• P••••••• L•• CRD 304237 | Sylvania, OH | independent RIA | $5.2B | 81% | 31 | $169M | 4 | 0 |
| G•••••• C•••••• M••••••••• L••• CRD 166119 | Santa Monica, CA | asset manager | $5.2B | 0.0% | 0 | Not computed | 0 | 3 |
| Z••••• P•••••••• L• CRD 165684 | New York, NY | asset manager | $5.2B | 0.0% | 0 | Not computed | 0 | 4 |
| I••••••••• M••••••••• G•••• CRD 122166 | Billings, MT | mixed wealth | $5.2B | 26% | 25 | $209M | 8 | 0 |
| S••••• H•••• I••••••••• M••••••••• L•• CRD 163427 | New York, NY | asset manager | $5.2B | 0.0% | 0 | Not computed | 1 | 2 |
| F••••• I••••••••• A••••••••• CRD 110163 | Atlanta, GA | institutional | $5.2B | 2.9% | 0 | Not computed | 0 | 5 |
| S••••••• I••••••••• L•• CRD 160843 | New York, NY | asset manager | $5.2B | 2.9% | 0 | Not computed | 0 | 12 |
| H• C•••••• P•••••••• L•• CRD 160737 | West Conshohocken, PA | asset manager | $5.2B | 0.0% | 0 | Not computed | 0 | 29 |
| L••••••• W•••••• I••• CRD 106779 | Houston, TX | independent RIA | $5.2B | 97% | 21 | $248M | 6 | 0 |
| L••••• M•••••• CRD 156494 | Radnor, PA | asset manager | $5.2B | 0.0% | 0 | Not computed | 2 | 38 |
| S••• G••••• M••••••••• L• CRD 283493 | West Palm Beach, FL | asset manager | $5.2B | 0.0% | 0 | Not computed | 0 | 1 |
| T••• B••••• C•••••• P•••••••• L•• CRD 160403 | Chicago, IL | asset manager | $5.2B | 0.0% | 0 | Not computed | 1 | 9 |
| G••••••• CRD 158369 | Miami, FL | independent RIA | $5.2B | 96% | 22 | $236M | 1 | 0 |
| D••••••• I••••••••• A•••••••• I••• CRD 110552 | Great Falls, MT | independent RIA | $5.2B | 69% | 17 | $306M | 6 | 0 |
| P•••••• A••••••• L•• CRD 109585 | Bethesda, MD | asset manager | $5.2B | 0.0% | 0 | Not computed | 0 | 0 |
| K•••••• CRD 149046 | St. Louis, MO | independent RIA | $5.2B | 85% | 63 | $82.5M | 5 | 1 |
| P•••• S••••••• P•••••••• L•• CRD 157551 | New York, NY | asset manager | $5.2B | 0.0% | 0 | Not computed | 1 | 18 |
| B•••• T•••• W••••• M••••••••• L•• CRD 167811 | Madison, WI | mixed wealth | $5.2B | 25% | 26 | $200M | 8 | 0 |
| B••• C•••• A•••• M••••••••• L•• CRD 137677 | Denver, CO | mixed wealth | $5.2B | 36% | 8 | $649M | 1 | 40 |
| I••••••••• C•••••• I••••••••• P•••••••• L••• CRD 329155 | New York, NY | asset manager | $5.2B | 0.0% | 0 | Not computed | 0 | 10 |
| L•••••• E••• I••••••••• A••••••••• CRD 136476 | San Francisco, CA | institutional | $5.2B | 0.0% | 0 | Not computed | 0 | 0 |
| L••••• A•••••••• L•• CRD 139830 | Plymouth Meeting, PA | independent RIA | $5.2B | 94% | 19 | $272M | 0 | 0 |
| I••••••• A••••••• S•••••••• L•• CRD 282589 | Miami, FL | mixed wealth | $5.2B | 44% | 222 | $23.3M | 16 | 1 |
| A•••• S••••••• C••••••••• L•• CRD 110800 | Hunt Valley, MD | institutional | $5.2B | 1.6% | 5 | $1.0B | 0 | 0 |
| J•••••••• I••••••••• A••••••• L•• CRD 325421 | New York, NY | mixed wealth | $5.2B | 40% | 119 | $43.3M | 9 | 0 |
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.