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 |
|---|---|---|---|---|---|---|---|---|
| Hines Capital Advisors LLC CRD 307282 | Houston, TX | asset manager | $5.1B | 0.0% | 0 | Not computed | 45 | 6 |
| Altamar Partners North America LLC CRD 283144 | New York, NY | asset manager | $5.1B | 0.0% | 0 | Not computed | 0 | 0 |
| Radcliffe Capital Management, L.P. CRD 136028 | Bala Cynwyd, PA | asset manager | $5.1B | 0.0% | 1 | $5.1B | 0 | 7 |
| T••••••• A••••••• L•• CRD 139713 | Frisco, TX | independent RIA | $5.1B | 54% | 3 | $1.7B | 0 | 0 |
| G•••••••• C•••••• M••••••••• L• CRD 285081 | Westport, CT | asset manager | $5.1B | 0.0% | 0 | Not computed | 1 | 15 |
| N•••• C•••••• M••••••••• L• CRD 168618 | Los Angeles, CA | asset manager | $5.1B | 0.0% | 0 | Not computed | 0 | 15 |
| N•• T••• C•••••• M••••••••• L• CRD 282219 | New York, NY | asset manager | $5.1B | 0.0% | 0 | Not computed | 0 | 3 |
| S•••• P•••••• E••••• P•••••••• L•• CRD 297886 | New York, NY | asset manager | $5.1B | 0.0% | 0 | Not computed | 0 | 22 |
| C••••••• R••• E••••• L•• CRD 158397 | Fort Worth, TX | asset manager | $5.1B | 0.0% | 0 | Not computed | 2 | 0 |
| T•••••• B•• C•••••• CRD 298932 | asset manager | $5.1B | 0.0% | 0 | Not computed | 0 | 43 | |
| C•••••• I• L• CRD 326262 | Miami, FL | asset manager | $5.1B | 0.0% | 0 | Not computed | 10 | 111 |
| S••••• C•••••• M••••••••• C••••••• L••••• CRD 160292 | San Francisco, CA | asset manager | $5.1B | 0.0% | 0 | Not computed | 1 | 13 |
| D••••••• C•••••• P••••••• L•• CRD 329842 | New York, NY | asset manager | $5.1B | 0.0% | 0 | Not computed | 1 | 17 |
| W•••• O•• G••••• A•••••••• L•• CRD 149659 | San Francisco, CA | asset manager | $5.1B | 0.0% | 0 | Not computed | 2 | 37 |
| D•• I••••••••• H••• K••• L•••••• CRD 139666 | H••• K•••, | asset manager | $5.1B | 0.0% | 0 | Not computed | 0 | 0 |
| G••••• C•••••• M••••••••• CRD 108618 | Los Angeles, CA | independent RIA | $5.1B | 83% | 21 | $243M | 1 | 0 |
| B•••••• H••••••• L• CRD 311154 | Boston, MA | asset manager | $5.1B | 0.0% | 0 | Not computed | 1 | 9 |
| E••••••••• W••••• A•••••••• L•• CRD 286340 | Birmingham, AL | independent RIA | $5.1B | 75% | 75 | $67.9M | 27 | 1 |
| M•••• W••••• M••••••••• L•• CRD 319208 | Naples, FL | independent RIA | $5.1B | 94% | 34 | $150M | 0 | 0 |
| T•••• CRD 287792 | Chicago, IL | asset manager | $5.1B | 0.0% | 2 | $2.5B | 0 | 0 |
| S••••• A••••••• I••• CRD 174182 | Birmingham, AL | BD affiliated | $5.1B | 96% | 233 | $21.9M | 155 | 0 |
| I•••• C•••••• P•••••••• L•• CRD 133738 | New York, NY | asset manager | $5.1B | 0.0% | 0 | Not computed | 1 | 4 |
| N•• E•••••• P•••••• W••••• A•••••••• L•• CRD 133790 | Wellesley, MA | independent RIA | $5.1B | 60% | 12 | $424M | 2 | 0 |
| P••••••••• P••••••• • C••• L•• CRD 282688 | Bethesda, MD | independent RIA | $5.1B | 90% | 11 | $463M | 1 | 10 |
| B••••••••• CRD 132657 | San Francisco, CA | independent RIA | $5.1B | 94% | 34 | $150M | 13 | 0 |
| C••••••••• C•••••• M••••••••• L•• CRD 130813 | Old Greenwich, CT | other | $5.1B | 0.0% | 0 | Not computed | 0 | 0 |
| T•• P•••••• F•••••••• G••••• I••• CRD 105203 | Nashville, TN | independent RIA | $5.1B | 99% | 14 | $362M | 0 | 0 |
| T• I••••••••• CRD 110858 | London, | asset manager | $5.1B | 0.0% | 0 | Not computed | 1 | 5 |
| M••••••••• C•••••• L•••••• CRD 291699 | Amersham, Buckinghamshire, | asset manager | $5.1B | 0.0% | 0 | Not computed | 0 | 1 |
| F•••• F••••••••• A••••••• CRD 106075 | Irvine, CA | independent RIA | $5.1B | 74% | 29 | $175M | 11 | 0 |
| O••••••• A•••• M••••••••• I•• CRD 105471 | Lisle, IL | asset manager | $5.1B | 1.3% | 7 | $723M | 0 | 0 |
| T••••••• B•••••• A•• R••••••••• A••••••• CRD 36026 | Rensselaer, NY | institutional | $5.1B | 0.0% | 7 | $723M | 0 | 0 |
| P•••••••• C•••••• CRD 312004 | San Francisco, CA | asset manager | $5.1B | 0.0% | 0 | Not computed | 1 | 0 |
| T•• C•••••••• M••••••••• L•• CRD 311718 | Palo Alto, CA | asset manager | $5.1B | 0.0% | 0 | Not computed | 2 | 3 |
| W••••••••• F••••• O••••• CRD 143112 | Cleveland, OH | independent RIA | $5.1B | 99% | 9 | $562M | 0 | 0 |
| T•••• B••• C•••••• L•• CRD 159736 | Dallas, TX | mixed wealth | $5.1B | 31% | 13 | $389M | 10 | 17 |
| N•••••• G•••• C••••••••• L•• CRD 140944 | Lake Mary, FL | institutional | $5.1B | 0.0% | 21 | $241M | 0 | 0 |
| M•••••••• C••••••• L•• CRD 159894 | New York, NY | asset manager | $5.0B | 0.0% | 0 | Not computed | 0 | 3 |
| D•••••• W••••• P•••••••• L•• CRD 320878 | Cincinnati, OH | independent RIA | $5.0B | 95% | 32 | $158M | 10 | 0 |
| P••••••••• • A• E••••••••• C•••••• CRD 133777 | Owings Mills, MD | independent RIA | $5.0B | 99% | 63 | $80.0M | 14 | 0 |
| L•••• C•••••• G••••• L• CRD 138253 | New York, NY | asset manager | $5.0B | 0.0% | 0 | Not computed | 0 | 18 |
| T•• F••••• O••••• P••••••• CRD 159440 | Phoenix, AZ | independent RIA | $5.0B | 99% | 27 | $187M | 2 | 0 |
| C•••• W•••••• • A••••••••• L•• CRD 111521 | Frisco, TX | independent RIA | $5.0B | 58% | 76 | $66.3M | 2 | 0 |
| M•• C•••••• P•••••••• L•• CRD 318983 | New York, NY | asset manager | $5.0B | 0.0% | 0 | Not computed | 0 | 10 |
| W••••••••• C•••••• A•••••••• L•• CRD 132698 | institutional | $5.0B | 0.0% | 0 | Not computed | 0 | 0 | |
| R••••••••• CRD 108074 | Minneapolis, MN | independent RIA | $5.0B | 64% | 12 | $419M | 0 | 0 |
| C•••••• B••••• A••••••• CRD 152569 | Westport, CT | independent RIA | $5.0B | 88% | 40 | $126M | 10 | 0 |
| K•••••• C•••••• M••••••••• CRD 105834 | St Louis, MO | other | $5.0B | 2.4% | 16 | $314M | 0 | 0 |
| K••••••••• C•••••• M••••••••• L•••••• CRD 139217 | London, | asset manager | $5.0B | 0.0% | 0 | Not computed | 0 | 4 |
| F•••••••• C•••••• L• CRD 170668 | Boston, MA | asset manager | $5.0B | 0.0% | 0 | Not computed | 0 | 2 |
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.