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 |
|---|---|---|---|---|---|---|---|---|
| Four Lion Capital, LP CRD 333602 | New York, NY | asset manager | $143M | 0.0% | 0 | Not computed | 0 | 1 |
| Blank Equity Management LLC CRD 153570 | Port Washington, NY | independent RIA | $143M | 96% | 3 | $47.7M | 0 | 0 |
| Vcp Financial LLC CRD 167901 | Staten Island, NY | independent RIA | $143M | 78% | 4 | $35.6M | 0 | 0 |
| S•••••• J• G•••• • A••••••••• L•• CRD 295068 | Garden City, NY | independent RIA | $143M | 100% | 3 | $47.5M | 0 | 0 |
| H•••••• S•••• C•••••• M••••••••• L•• CRD 125903 | Larchmont, NY | independent RIA | $142M | 98% | 2 | $71.0M | 0 | 0 |
| A••••• C•••••• A•••••••• L• CRD 161410 | New York, NY | asset manager | $142M | 0.0% | 0 | Not computed | 3 | 1 |
| I••••••••• F•••••••• C••••••••• L•• CRD 130920 | Airmont, NY | independent RIA | $141M | 98% | 1 | $141M | 0 | 0 |
| C•••••• I••••••••• • P••••••• L•• CRD 148888 | Mount Kisco, NY | independent RIA | $141M | 100% | 1 | $141M | 1 | 0 |
| M•• A•••• M••••••••• L•• CRD 109940 | New York, NY | independent RIA | $141M | 83% | 1 | $141M | 0 | 0 |
| E••••• A•••• M••••••••• L•• CRD 110434 | Melville, NY | independent RIA | $140M | 90% | 2 | $70.1M | 0 | 0 |
| I••••••• W••••• A••••••• L•• CRD 339113 | Melville, NY | independent RIA | $140M | 97% | 10 | $14.0M | 1 | 0 |
| B••••• W••••• M••••••••• G••••• L•• CRD 293291 | New Paltz, NY | independent RIA | $139M | 74% | 3 | $46.5M | 0 | 0 |
| R•••• C•••••• M••••••••• L•• CRD 164755 | New York, NY | asset manager | $139M | 0.0% | 0 | Not computed | 2 | 4 |
| C••••••••• B•••• A•••• M••••••••• ••••• CRD 147242 | New York, NY | independent RIA | $139M | 83% | 1 | $139M | 1 | 0 |
| G••••••• B••••••• • A••••••••• I•• CRD 105603 | New York, NY | independent RIA | $138M | 97% | 3 | $46.1M | 0 | 0 |
| S••••••• C•••••• I••••••••• A••••••• L•• CRD 307491 | New York, NY | independent RIA | $138M | 95% | 7 | $19.8M | 2 | 0 |
| A••••• C••••••• L•• CRD 168788 | New York,, NY | independent RIA | $138M | 94% | 1 | $138M | 0 | 0 |
| F••• C•••••• M••••••••• L•• CRD 114951 | Rochester, NY | independent RIA | $138M | 96% | 2 | $68.9M | 0 | 0 |
| A•••• I••••••••• C••••••• I••• CRD 106981 | New York, NY | independent RIA | $137M | 85% | 5 | $27.5M | 0 | 0 |
| M•••••• W••••• M••••••••• I••• CRD 309185 | White Plains, NY | independent RIA | $137M | 100% | 2 | $68.6M | 4 | 0 |
| R••• C•••••• M••••••••• CRD 304504 | Buffalo, NY | asset manager | $137M | 0.0% | 0 | Not computed | 2 | 2 |
| R••••••••• W••••• CRD 299357 | New York, NY | independent RIA | $137M | 64% | 4 | $34.2M | 2 | 0 |
| G•••••• I••••••••• M••••••••• CRD 169201 | New York, NY | asset manager | $136M | 0.0% | 0 | Not computed | 0 | 5 |
| F•••••• L•• CRD 287509 | New York, NY | mixed wealth | $136M | 49% | 1 | $136M | 0 | 0 |
| B• A•••• M••••••••• L•• CRD 152117 | New York, NY | independent RIA | $136M | 99% | 0 | Not computed | 1 | 0 |
| H•••••• P•••• M••••••••• L• CRD 313849 | New York, NY | asset manager | $135M | 0.0% | 0 | Not computed | 0 | 1 |
| L••••••••• C•••••• R••••••••• M••••••••• L•• CRD 307933 | New York, NY | asset manager | $135M | 0.0% | 0 | Not computed | 2 | 1 |
| F•••••••• A•••••• N••••••• I••• CRD 125537 | Farmingdale, NY | independent RIA | $135M | 100% | 3 | $45.0M | 0 | 0 |
| A• C•••••• D••••••• L•• CRD 315796 | New York, NY | other | $135M | 0.0% | 0 | Not computed | 0 | 2 |
| H•••••••• C•••••• P••••••• L•• CRD 160538 | New York, NY | asset manager | $134M | 0.0% | 0 | Not computed | 0 | 5 |
| E••••••••• V•••••••• L•• CRD 309164 | New York, NY | asset manager | $134M | 0.2% | 3 | $44.7M | 1 | 5 |
| A••• I••••••••• M••••••••• L• CRD 335508 | New York, NY | asset manager | $134M | 0.0% | 0 | Not computed | 0 | 1 |
| B••• J••• F•••••••• L•• CRD 331138 | Albany, NY | independent RIA | $133M | 100% | 8 | $16.7M | 9 | 0 |
| L••••••••• P••••••• L•• CRD 337455 | New York, NY | independent RIA | $133M | 99% | 3 | $44.4M | 3 | 0 |
| T•• H•••••• G••••• L•• CRD 289331 | Staten Island, NY | independent RIA | $133M | 98% | 1 | $133M | 0 | 0 |
| G••••••• P•••••••• S••••••••• I•• CRD 106199 | Wappingers Falls, NY | independent RIA | $133M | 68% | 0 | Not computed | 0 | 0 |
| S••••• W••••• A•••••••• L•• CRD 152161 | New York, NY | independent RIA | $133M | 100% | 1 | $133M | 0 | 0 |
| S•••••••• W••••• M••••••••• L•• CRD 342323 | Brooklyn, NY | independent RIA | $133M | 71% | 2 | $66.4M | 0 | 0 |
| A•• G••••• L•• CRD 286049 | New York, NY | independent RIA | $133M | 86% | 0 | Not computed | 2 | 0 |
| J•• P••••••• F••• I••• CRD 285184 | New York, NY | asset manager | $132M | 0.0% | 0 | Not computed | 0 | 1 |
| R•• C•••••• M••••••••• L•• CRD 329749 | Pittsford, NY | independent RIA | $132M | 54% | 2 | $65.9M | 0 | 0 |
| L•••••• A••••••• CRD 285136 | Rochester, NY | independent RIA | $131M | 90% | 2 | $65.7M | 0 | 0 |
| R•••• E••••• P••••••• L•• CRD 310679 | New York, NY | asset manager | $131M | 0.0% | 0 | Not computed | 0 | 4 |
| M•• C•••••• M••••••••• L•• CRD 146110 | New York, NY | asset manager | $131M | 0.0% | 0 | Not computed | 0 | 1 |
| M••••••••• C•••••• A••••••• L•• CRD 138148 | New York, NY | independent RIA | $130M | 100% | 0 | Not computed | 0 | 0 |
| W••• W••••• M••••••••• L•• CRD 133614 | New York, NY | independent RIA | $130M | 93% | 2 | $65.1M | 1 | 0 |
| S••••• I••••••••• L•• CRD 170391 | New York, NY | independent RIA | $130M | 98% | 5 | $26.0M | 0 | 0 |
| R• F• L••••••• • C••• I••• CRD 2498 | New York, NY | BD affiliated | $130M | 100% | 15 | $8.7M | 1 | 0 |
| H••••• H••••••• C•••••• M••••••••• I••• CRD 44357 | Croton-On-H•••••, NY | independent RIA | $129M | 96% | 0 | Not computed | 1 | 0 |
| C•••••••• A••••••••• I••••••••• L•• CRD 119537 | New York, NY | asset manager | $127M | 0.0% | 0 | Not computed | 0 | 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.