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 |
|---|---|---|---|---|---|---|---|---|
| Five Eleven Partners CRD 334002 | Garden City, NY | independent RIA | $163M | 100% | 3 | $54.2M | 1 | 0 |
| Quint Capital Management CRD 26586 | New York, NY | mixed wealth | $162M | 39% | 8 | $20.3M | 0 | 0 |
| Lynnleigh & Company, LLC CRD 285044 | Pittsford, NY | independent RIA | $162M | 97% | 3 | $53.8M | 1 | 0 |
| P••••• C•••••• M••••••••• L• CRD 336500 | New York, NY | independent RIA | $162M | 100% | 0 | Not computed | 0 | 0 |
| F••• A••••••• L•• CRD 334771 | Victor, NY | independent RIA | $161M | 95% | 5 | $32.3M | 0 | 0 |
| S•••••••• C•••••• M••••••••• L••• CRD 331645 | New York, NY | asset manager | $161M | 0.0% | 0 | Not computed | 0 | 0 |
| F•••• T•••••• CRD 291069 | New York, NY | independent RIA | $160M | 62% | 0 | Not computed | 0 | 0 |
| R••• P•••••• • A••••••••• L•• D•••• S•••••••• W••••• A••••••• CRD 143462 | Dewitt, NY | independent RIA | $159M | 98% | 3 | $53.0M | 0 | 0 |
| P••••••••• C•••••• L•• CRD 286033 | New York, NY | asset manager | $159M | 0.0% | 0 | Not computed | 0 | 1 |
| B•• A••••••• L•• CRD 284429 | East Syracuse, NY | independent RIA | $158M | 99% | 2 | $79.2M | 0 | 0 |
| H• P••••••• M••••••••• L•• CRD 161041 | New York, NY | asset manager | $158M | 0.0% | 0 | Not computed | 0 | 2 |
| C••••• G•••• L•• CRD 310156 | New York, NY | independent RIA | $158M | 93% | 3 | $52.7M | 3 | 0 |
| M••••• C•••••• H••••••• L•• CRD 287784 | Rye, NY | asset manager | $157M | 0.0% | 0 | Not computed | 0 | 11 |
| P•••• P••••••• A•• S•••••••• G•••• CRD 340003 | White Plains, NY | independent RIA | $157M | 100% | 3 | $52.3M | 0 | 0 |
| R••••• P••••••• G•••• CRD 284120 | Corning, NY | independent RIA | $157M | 97% | 3 | $52.3M | 4 | 0 |
| E••••• C•••••• M••••••••• L•• CRD 318320 | New York, NY | asset manager | $156M | 0.0% | 0 | Not computed | 0 | 6 |
| S••••••••• C•••••• P••••••• CRD 328226 | New York, NY | asset manager | $156M | 0.0% | 0 | Not computed | 0 | 3 |
| Q•••••• I••••••••• A••••••• L•• CRD 287597 | New York, NY | asset manager | $155M | 0.0% | 0 | Not computed | 0 | 3 |
| E•• R•••• M••••••••• L•• CRD 154508 | Briarcliff Manor, NY | asset manager | $155M | 0.0% | 0 | Not computed | 0 | 1 |
| U•••• S••••• P••• C•••••• M••••••••• L•• CRD 175471 | New York, NY | asset manager | $154M | 0.0% | 0 | Not computed | 0 | 1 |
| M•••••••• W••••• M••••••••• G•••• CRD 338376 | New York, NY | independent RIA | $153M | 98% | 3 | $51.0M | 2 | 0 |
| T•• L••• P•••••••• L•• CRD 290338 | New York, NY | asset manager | $153M | 0.0% | 0 | Not computed | 0 | 4 |
| L••••• • C•• CRD 153771 | New York, NY | independent RIA | $153M | 67% | 2 | $76.4M | 0 | 3 |
| C•••••• C•••••• P•••••••• L•• CRD 329644 | New York, NY | asset manager | $153M | 0.0% | 0 | Not computed | 0 | 15 |
| N••••••••• F•••••••• P•••••••• L•• CRD 167055 | Rochester, NY | independent RIA | $152M | 100% | 2 | $76.1M | 0 | 0 |
| H• S•••••• M••••••••• L• CRD 325633 | New York, NY | asset manager | $152M | 0.0% | 0 | Not computed | 0 | 1 |
| K••••• A•••• M••••••••• L•• CRD 297922 | New York, NY | mixed wealth | $151M | 32% | 1 | $151M | 0 | 0 |
| N•••• W•••• W••••• M••••••••• CRD 226575 | Buffalo, NY | independent RIA | $150M | 99% | 2 | $75.2M | 0 | 0 |
| I•••••• C•••••• M••••••••• L••• CRD 331334 | New York, NY | asset manager | $150M | 0.0% | 0 | Not computed | 0 | 2 |
| S••••••••• F••••••••• L•• CRD 333332 | New York, NY | asset manager | $150M | 0.0% | 6 | $25.0M | 0 | 25 |
| A••••• CRD 317262 | New York, NY | asset manager | $150M | 0.0% | 0 | Not computed | 0 | 11 |
| C•••••••• C•••••• L•• CRD 327292 | New York, NY | independent RIA | $150M | 100% | 1 | $150M | 0 | 0 |
| C••••••••• I••••••••• S•••••••• L•• CRD 155607 | New York, NY | independent RIA | $150M | 58% | 3 | $50.0M | 0 | 0 |
| K••••••• C•••••• CRD 327997 | New York, NY | asset manager | $150M | 0.0% | 0 | Not computed | 0 | 1 |
| C••••••• P••••••• C•••••• M••••••••• L•• CRD 318867 | New York, NY | other | $149M | 0.0% | 0 | Not computed | 0 | 1 |
| V•• A•••••••• L• CRD 240786 | New York, NY | other | $149M | 0.0% | 0 | Not computed | 1 | 3 |
| G•••••• A••••••• I•• CRD 105906 | Fairport, NY | independent RIA | $148M | 97% | 0 | Not computed | 0 | 0 |
| C•••••••• C••••••• L••• CRD 335631 | New York, NY | asset manager | $148M | 0.0% | 0 | Not computed | 0 | 3 |
| C•••••• A••••••• S•••••••• I•• CRD 150791 | Staten Island, NY | independent RIA | $147M | 100% | 31 | $4.8M | 21 | 0 |
| C•••• S•••• C•••••• M••••••••• L•• CRD 136650 | Great Neck, NY | asset manager | $147M | 0.0% | 0 | Not computed | 0 | 6 |
| M••••• C•••••• P••••••• L•• CRD 154219 | New York, NY | asset manager | $147M | 0.0% | 0 | Not computed | 0 | 7 |
| C••• A••••• I••• CRD 119635 | Rochester, NY | independent RIA | $146M | 100% | 3 | $48.7M | 0 | 0 |
| S••••••••• L•• CRD 313276 | New York, NY | asset manager | $146M | 0.0% | 0 | Not computed | 0 | 3 |
| O••••••• C•••••• L• CRD 328210 | New York, NY | asset manager | $146M | 0.0% | 0 | Not computed | 0 | 1 |
| R•• A••••••••• CRD 313160 | New York, NY | asset manager | $145M | 0.0% | 0 | Not computed | 0 | 6 |
| A••••• A•••• M••••••••• L•• CRD 339720 | New York, NY | asset manager | $144M | 0.0% | 0 | Not computed | 0 | 7 |
| T•••• P•••• M••••••••• L•• CRD 169824 | New York, NY | asset manager | $144M | 0.0% | 0 | Not computed | 0 | 4 |
| R••••••• C•••••• M••••••••• CRD 333041 | New York, NY | other | $144M | 0.0% | 0 | Not computed | 0 | 1 |
| A••••• A••••••• G••••• L•• CRD 285722 | Albany, NY | independent RIA | $144M | 72% | 1 | $144M | 0 | 0 |
| O•• B••••• W•••••• I•• CRD 332180 | Syosset, NY | independent RIA | $144M | 54% | 3 | $47.9M | 1 | 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.