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 |
|---|---|---|---|---|---|---|---|---|
| Rockbridge Capital, LLC CRD 161078 | Columbus, OH | asset manager | $5.0B | 0.0% | 0 | Not computed | 0 | 23 |
| Stifel Independent Advisors, LLC CRD 28218 | St Louis, MO | BD affiliated | $5.0B | 96% | 10 | $501M | 77 | 0 |
| Savvy CRD 318493 | New York, NY | independent RIA | $5.0B | 97% | 190 | $26.3M | 126 | 0 |
| G••••• P•••••••• L•• CRD 157049 | Newtown Square, PA | asset manager | $5.0B | 0.0% | 0 | Not computed | 0 | 32 |
| F•••• C•••••• ••• L•••••• CRD 137637 | London, | asset manager | $5.0B | 0.0% | 0 | Not computed | 0 | 3 |
| M••••••• W••••• M••••••••• L•• CRD 151523 | Lexington, KY | independent RIA | $5.0B | 87% | 58 | $85.9M | 9 | 0 |
| G••• I••••••••• B••• ••• L•••••• CRD 281609 | London, | institutional | $5.0B | 0.0% | 0 | Not computed | 0 | 1 |
| A•••••• C•••••• M••••••••• I•• CRD 110767 | Southfield, MI | independent RIA | $5.0B | 99% | 31 | $161M | 7 | 0 |
| J•• M••••••••• CRD 313398 | New York, NY | other | $5.0B | 8.8% | 0 | Not computed | 0 | 19 |
| A••••••• S•••••• C••••••• L•• CRD 104880 | New York, NY | institutional | $5.0B | 0.0% | 6 | $830M | 3 | 0 |
| H•••• P••••••• CRD 155551 | New York, NY | asset manager | $5.0B | 0.0% | 0 | Not computed | 0 | 3 |
| S••••• M••••• F•••• M••••••••• C•••• CRD 113833 | Boca Raton, FL | institutional | $5.0B | 0.7% | 6 | $829M | 0 | 0 |
| A••••• C•••••• M••••••••• I•• L••• CRD 111845 | New York, NY | asset manager | $5.0B | 0.0% | 0 | Not computed | 3 | 28 |
| E••••••• C•••••• P•••••••• L• CRD 138978 | Los Angeles, CA | asset manager | $5.0B | 0.0% | 0 | Not computed | 1 | 1 |
| N••••••••• A•••• M••••••••• L•• CRD 282241 | Stamford, CT | independent RIA | $5.0B | 93% | 30 | $166M | 15 | 0 |
| 2• G•••• M••••••••• L•• CRD 155480 | New York, NY | asset manager | $5.0B | 0.0% | 0 | Not computed | 0 | 2 |
| M••••• P•••••• W••••• CRD 147686 | London, | independent RIA | $5.0B | 99% | 7 | $708M | 0 | 0 |
| S••••••••• P•••••• C•••••• M••••••••• L•• CRD 165306 | Columbia, SC | other | $5.0B | 17% | 29 | $171M | 10 | 0 |
| D••••••••• W••••• M••••••••• CRD 110365 | Walnut Creek, CA | independent RIA | $4.9B | 98% | 38 | $130M | 0 | 0 |
| V••••••• A•• P••••••• L•• CRD 325562 | London, | asset manager | $4.9B | 0.0% | 0 | Not computed | 11 | 4 |
| I••••••••• C•••••• P••••••• P• L•• CRD 317840 | Bethesda, MD | institutional | $4.9B | 0.3% | 0 | Not computed | 0 | 1 |
| K•• C••••• A••••••• ••••••••• P••• L••• CRD 309194 | S••••••••, | asset manager | $4.9B | 0.0% | 0 | Not computed | 3 | 14 |
| M• C••••• P••••••• L• CRD 167929 | Stamford, CT | asset manager | $4.9B | 0.0% | 0 | Not computed | 0 | 24 |
| H••••••• C•••••• CRD 109116 | Columbus, OH | independent RIA | $4.9B | 80% | 59 | $83.7M | 1 | 2 |
| C••••••••• W••••• M••••••••• L•• CRD 164666 | Des Peres, MO | independent RIA | $4.9B | 97% | 90 | $54.8M | 45 | 0 |
| F••••••••• L•• CRD 134351 | Atlanta, GA | institutional | $4.9B | 2.9% | 0 | Not computed | 1 | 0 |
| N•••••••• B••••• L••• A••••••• L•• CRD 285579 | Chicago, IL | asset manager | $4.9B | 0.0% | 0 | Not computed | 1 | 13 |
| S•••••• I••••••••• G•••• L• CRD 160935 | New York, NY | asset manager | $4.9B | 0.0% | 0 | Not computed | 1 | 4 |
| A•• I••••••••• CRD 153781 | Boston, MA | asset manager | $4.9B | 0.0% | 3 | $1.6B | 1 | 0 |
| S•••• CRD 226550 | New York, NY | independent RIA | $4.9B | 100% | 1 | $4.9B | 0 | 0 |
| G•••••• M••••••••• L•• CRD 168096 | New York, NY | other | $4.9B | 1.3% | 0 | Not computed | 2 | 8 |
| G•• C•••••• P••••••• L•• CRD 138805 | London, | asset manager | $4.9B | 0.0% | 0 | Not computed | 0 | 2 |
| A•••••••• A••••••• M••••••••• L••••• CRD 108178 | New York, NY | asset manager | $4.9B | 0.0% | 0 | Not computed | 0 | 1 |
| S•••• R• I••••••••• S••••••••• I••• CRD 318811 | New York, NY | asset manager | $4.9B | 0.0% | 0 | Not computed | 0 | 4 |
| G•• L•• CRD 322876 | Hunt Valley, MD | asset manager | $4.9B | 1.7% | 0 | Not computed | 0 | 16 |
| P•••••• M••••••••• G•••• I•• CRD 104707 | Irvine, CA | independent RIA | $4.9B | 93% | 29 | $169M | 1 | 0 |
| E••••••••• P•••••••• L••• CRD 166338 | Princeton, NJ | asset manager | $4.9B | 0.0% | 0 | Not computed | 0 | 3 |
| G••••••• C•••••• M••••••••• L•• CRD 309856 | Boston, MA | asset manager | $4.9B | 0.0% | 0 | Not computed | 3 | 3 |
| J• G•••••• • C••• L••• CRD 157465 | New York, NY | asset manager | $4.9B | 0.0% | 0 | Not computed | 1 | 2 |
| L•••• M••••••••• A•• C•••••• P••••••• L• CRD 287883 | New York, NY | asset manager | $4.9B | 0.0% | 0 | Not computed | 0 | 11 |
| T•••••• C•••••• A••••••• L• CRD 137295 | New York, NY | asset manager | $4.9B | 0.0% | 0 | Not computed | 0 | 16 |
| H••• C••• C•••••• L• CRD 306709 | Boston, MA | asset manager | $4.9B | 0.0% | 0 | Not computed | 0 | 2 |
| M•••••• A•••• M••••••••• CRD 130874 | M••••••, WI | asset manager | $4.9B | 0.0% | 1 | $4.9B | 1 | 0 |
| P••••••••• C•••••• M••••••••• L•• CRD 160056 | Austin, TX | asset manager | $4.9B | 0.0% | 0 | Not computed | 4 | 28 |
| E••••• I••••• P••••••• L• CRD 282373 | New York, NY | asset manager | $4.9B | 0.0% | 0 | Not computed | 5 | 14 |
| H••••••• W••••• A••••••• CRD 137484 | Richmond, VA | independent RIA | $4.9B | 55% | 15 | $324M | 3 | 9 |
| B••••••••• C•••••• P••••••• CRD 283313 | New York, NY | asset manager | $4.8B | 0.0% | 0 | Not computed | 5 | 18 |
| C••••••• P•••••••• I••• CRD 171787 | New York, NY | independent RIA | $4.8B | 62% | 78 | $62.2M | 25 | 0 |
| R•••••• T••••••••• M••••••••• L••••• CRD 169875 | Boulder, CO | asset manager | $4.8B | 0.0% | 0 | Not computed | 2 | 15 |
| E•••••••• C•••••• A••••••• L•• CRD 160113 | New York, NY | asset manager | $4.8B | 0.0% | 0 | Not computed | 2 | 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.