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 |
|---|---|---|---|---|---|---|---|---|
| Bone Fide Wealth CRD 301066 | New York, NY | independent RIA | $127M | 99% | 2 | $63.4M | 0 | 0 |
| P&A Capital Advisors CRD 111731 | New York, NY | asset manager | $126M | 0.0% | 0 | Not computed | 0 | 3 |
| Adirondack Research & Management Inc. CRD 130987 | Guilderland, NY | independent RIA | $126M | 59% | 0 | Not computed | 0 | 0 |
| E•••••• C•••• A•••••••• L•• CRD 335252 | Huntington, NY | independent RIA | $126M | 96% | 3 | $42.0M | 1 | 0 |
| L••••••• P••••••• L•• CRD 289817 | New York, NY | asset manager | $125M | 0.0% | 0 | Not computed | 0 | 9 |
| D••••••• I••••••••• A••••••• CRD 168812 | White Plains, NY | independent RIA | $125M | 93% | 1 | $125M | 0 | 0 |
| A••••••••• W••••• M••••••••• C••• CRD 168081 | Glen Cove, NY | independent RIA | $125M | 100% | 3 | $41.7M | 0 | 0 |
| M••••••••• B•••••• L•• CRD 159862 | Ithaca, NY | independent RIA | $124M | 95% | 2 | $62.1M | 0 | 0 |
| B•••••••• C•••••• A••••••• CRD 287796 | New York, NY | independent RIA | $124M | 100% | 0 | Not computed | 0 | 0 |
| V•••••••• A•••• M••••••••• L•• CRD 329927 | New York, NY | asset manager | $123M | 0.0% | 0 | Not computed | 0 | 0 |
| A••••••• CRD 325180 | New York, NY | asset manager | $123M | 0.0% | 0 | Not computed | 0 | 4 |
| F•• W••••• A•••••••• L•• CRD 154382 | Fishkill, NY | independent RIA | $122M | 75% | 3 | $40.8M | 2 | 0 |
| C••••••••• P•••••••• M••••••••• L•• CRD 297755 | New York, NY | mixed wealth | $121M | 20% | 2 | $60.7M | 0 | 0 |
| J••••••••• L•• CRD 119111 | New York, NY | independent RIA | $121M | 100% | 1 | $121M | 0 | 0 |
| M••••••• P••••••• E••••• M••••••••• L•• CRD 161095 | New York, NY | asset manager | $120M | 0.0% | 0 | Not computed | 0 | 2 |
| E••••• A••••••• L•• CRD 170403 | New York, NY | independent RIA | $119M | 83% | 2 | $59.6M | 1 | 0 |
| M•••• W••••• CRD 170886 | Brooklyn, NY | independent RIA | $119M | 100% | 2 | $59.5M | 1 | 0 |
| S•••• L••• I•• CRD 322453 | New York, NY | asset manager | $119M | 0.0% | 0 | Not computed | 0 | 0 |
| B••••••••• R•••••• S••••••• • C••• M••••••••• L••• CRD 156881 | New York, NY | asset manager | $119M | 0.0% | 0 | Not computed | 0 | 4 |
| H••• I••••••••• M••••••••• L•• CRD 151744 | New York, NY | asset manager | $118M | 0.0% | 0 | Not computed | 5 | 2 |
| B•••••• S••••••••• L•• CRD 126976 | Locust Valley, NY | independent RIA | $117M | 100% | 3 | $39.1M | 0 | 0 |
| A••••••• C•••••• M••••••••• L•• CRD 281417 | Corning, NY | independent RIA | $117M | 88% | 1 | $117M | 1 | 0 |
| H•••• A•••• M••••••••• L•• CRD 141220 | Rochester, NY | independent RIA | $117M | 100% | 0 | Not computed | 0 | 0 |
| D•••••• T•••••• M••••••••• L••• CRD 142638 | White Plains, NY | independent RIA | $117M | 61% | 1 | $117M | 0 | 0 |
| S••••• C•••••• M••••••••• L•• CRD 338114 | New York, NY | asset manager | $116M | 0.0% | 0 | Not computed | 0 | 0 |
| M•• A••••••• G•••• L•• CRD 335595 | Liverpool, NY | independent RIA | $116M | 99% | 2 | $58.0M | 0 | 0 |
| F•••••••• A•••••••• L•• CRD 210522 | New York, NY | independent RIA | $116M | 100% | 2 | $58.0M | 0 | 0 |
| R•••••••• P••••••••• L•• CRD 315118 | New York, NY | asset manager | $115M | 0.0% | 0 | Not computed | 0 | 3 |
| K••• A•• C•••••• I••• CRD 124722 | Great Neck, NY | independent RIA | $115M | 100% | 2 | $57.7M | 0 | 0 |
| L••••••••• A••••••• S•••••••• I••• CRD 312712 | Harrison, NY | independent RIA | $115M | 97% | 1 | $115M | 0 | 0 |
| E••••••• • A••••••••• CRD 126349 | Rochester, NY | independent RIA | $114M | 100% | 1 | $114M | 0 | 0 |
| A•••• CRD 172961 | Katonah, NY | independent RIA | $114M | 90% | 2 | $56.9M | 0 | 0 |
| M•••••••• A•••• M••••••••• I•• CRD 108320 | Rye Brook, NY | independent RIA | $113M | 90% | 3 | $37.6M | 0 | 0 |
| L••• C•••••• M••••••••• I••• CRD 104793 | New York, NY | independent RIA | $112M | 98% | 3 | $37.3M | 3 | 0 |
| T•• Q•••• G•••• L•• CRD 334472 | New York, NY | independent RIA | $111M | 67% | 1 | $111M | 0 | 0 |
| S••••• P••••••• G••••• I••• CRD 125994 | E. Syracuse, NY | independent RIA | $111M | 98% | 1 | $111M | 0 | 0 |
| D••••• G••••• L• CRD 305883 | New York, NY | independent RIA | $111M | 77% | 0 | Not computed | 0 | 1 |
| K•••••• A•••• M••••••••• CRD 340322 | Babylon, NY | independent RIA | $111M | 100% | 2 | $55.5M | 0 | 0 |
| S••••••• I••••••••• M••••••••• L•• CRD 143670 | Purchase, NY | mixed wealth | $111M | 23% | 3 | $37.0M | 3 | 0 |
| F•• F•••••••• S•••••••• I••• CRD 112506 | White Plains, NY | independent RIA | $111M | 100% | 1 | $111M | 1 | 0 |
| M•••••• W••••• M••••••••• L•• CRD 158463 | Rensselaer, NY | independent RIA | $110M | 71% | 2 | $55.2M | 0 | 0 |
| Q•••• I••••••••• A•• I•••••••• CRD 168463 | Wappingers Falls, NY | independent RIA | $110M | 92% | 8 | $13.8M | 1 | 0 |
| A•••• I••••••••• M••••••••• L• CRD 297391 | New York City, NY | asset manager | $110M | 0.0% | 0 | Not computed | 0 | 1 |
| C••••••••• P••••••••• A•••••• S•••••••• L•• CRD 115122 | Garden City, NY | independent RIA | $110M | 90% | 5 | $22.1M | 3 | 0 |
| M••••••••• W••••• M••••••••• L•• CRD 110508 | Garden City, NY | independent RIA | $110M | 100% | 2 | $55.0M | 0 | 0 |
| B•••••• W••••• A••••••• CRD 332035 | Williamsville, NY | independent RIA | $110M | 97% | 2 | $55.0M | 0 | 0 |
| G•••••• F••••••••• L•• CRD 130337 | Honeoye Falls, NY | independent RIA | $110M | 100% | 1 | $110M | 0 | 0 |
| A••••• A•••••••• L•• CRD 150652 | North White Plains, NY | independent RIA | $109M | 92% | 7 | $15.6M | 0 | 0 |
| P••••••• C•••••• S•••••••• I••• CRD 127621 | Hauppauge, NY | independent RIA | $109M | 59% | 13 | $8.4M | 1 | 0 |
| I•••• M••••••••• L• CRD 290576 | New York, NY | asset manager | $109M | 0.0% | 0 | Not computed | 0 | 1 |
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.