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 |
|---|---|---|---|---|---|---|---|---|
| Chicago Capital, LLC CRD 291624 | Chicago, IL | independent RIA | $4.8B | 97% | 11 | $438M | 0 | 0 |
| Carronade Capital Management, LP CRD 309174 | Darien, CT | asset manager | $4.8B | 0.0% | 0 | Not computed | 0 | 2 |
| Macquarie Wealth Advisers, LLC CRD 141805 | New York, NY | asset manager | $4.8B | 0.0% | 0 | Not computed | 0 | 19 |
| S•• C••••••••• CRD 161163 | Boston, MA | institutional | $4.8B | 0.0% | 0 | Not computed | 0 | 0 |
| S•••• C•••••• G••••• L•• CRD 157798 | West Palm Beach, FL | asset manager | $4.8B | 0.0% | 0 | Not computed | 0 | 10 |
| S••• A••• M••••••••• CRD 162365 | Mount Laurel, NJ | asset manager | $4.8B | 0.0% | 0 | Not computed | 0 | 0 |
| C••••••• P•••• W••••• M••••••••• CRD 140619 | Toronto, On, | independent RIA | $4.8B | 87% | 8 | $601M | 3 | 0 |
| S••••• M••••••••• CRD 127145 | North Little Rock, AR | independent RIA | $4.8B | 89% | 110 | $43.7M | 70 | 0 |
| C•••• A•••• M••••••••• I•• CRD 172640 | Toronto, Ontario, | mixed wealth | $4.8B | 30% | 0 | Not computed | 0 | 0 |
| D•• C•••••• M••••••••• L• CRD 157081 | New York, NY | asset manager | $4.8B | 0.0% | 0 | Not computed | 0 | 6 |
| C••••••••• C•••••• M••••••••• L•• CRD 109979 | Greenwich, CT | asset manager | $4.8B | 0.0% | 0 | Not computed | 0 | 14 |
| B•••••••• R••••• • F•••••••• I••• CRD 110608 | Chicago, IL | independent RIA | $4.8B | 94% | 16 | $299M | 2 | 0 |
| H•••••••• P••••••• P••••••• CRD 316636 | Downers Grove, IL | independent RIA | $4.8B | 98% | 114 | $42.0M | 67 | 0 |
| F••••• G••••• I••• CRD 107148 | West Des Moines, IA | independent RIA | $4.8B | 84% | 58 | $82.3M | 1 | 0 |
| G•••••••• M••••••••• C••••••••• CRD 122482 | Mclean, VA | other | $4.8B | 0.0% | 1 | $4.8B | 5 | 0 |
| N•••••• F•••••••• G••••• I••• CRD 44181 | Cedar Rapids, IA | independent RIA | $4.8B | 96% | 89 | $53.6M | 39 | 0 |
| M•••••• C•••••• P••••••• CRD 160334 | Chicago, IL | asset manager | $4.8B | 0.0% | 0 | Not computed | 0 | 13 |
| P••••••• A••••••• L•• CRD 335545 | asset manager | $4.8B | 0.0% | 0 | Not computed | 3 | 0 | |
| A•••••• W••••• S•••••••• CRD 127186 | Houston, TX | independent RIA | $4.8B | 97% | 43 | $111M | 4 | 7 |
| C••••• R••• M••••••••• L• CRD 292430 | New York, NY | asset manager | $4.8B | 0.0% | 0 | Not computed | 2 | 0 |
| T•• A••••• G••••• L•• CRD 314424 | Virginia Beach, VA | independent RIA | $4.8B | 74% | 20 | $238M | 6 | 0 |
| C•••••• ••••••••• L•••••• CRD 311614 | Midtown, Queensway, | asset manager | $4.8B | 0.0% | 0 | Not computed | 0 | 1 |
| I•• A•••••••• L•• CRD 168012 | Atlanta, GA | independent RIA | $4.8B | 96% | 110 | $43.3M | 62 | 0 |
| E••• R••• C••••••• L•• CRD 157433 | New York, NY | asset manager | $4.8B | 0.8% | 0 | Not computed | 2 | 15 |
| R••••• I••••••••• A•••• M••••••••• U• I•• CRD 107367 | New York, NY | other | $4.8B | 0.0% | 0 | Not computed | 2 | 0 |
| G•• S••••••••• I••• CRD 128929 | Palm Beach Gardens, FL | BD affiliated | $4.8B | 100% | 447 | $10.6M | 25 | 0 |
| B••• U• L• CRD 175441 | Dallas, TX | asset manager | $4.8B | 0.0% | 0 | Not computed | 8 | 13 |
| P•• A•••••••• L•• CRD 152303 | West Conshohocken, PA | asset manager | $4.8B | 0.0% | 0 | Not computed | 0 | 119 |
| M••••••• C•••••• L•• CRD 314600 | London, | asset manager | $4.7B | 0.0% | 0 | Not computed | 1 | 2 |
| B• A•••••••• L•• CRD 142982 | Mt. Laurel, NJ | independent RIA | $4.7B | 97% | 6 | $789M | 2 | 0 |
| A•••• A••••••••• I••••••••• CRD 282155 | Paris, | asset manager | $4.7B | 0.0% | 0 | Not computed | 3 | 0 |
| S••••••• P••••••• CRD 120982 | Glastonbury, CT | independent RIA | $4.7B | 52% | 22 | $215M | 3 | 0 |
| J•• W••••• A•••••••• L•• CRD 145051 | Hermitage, PA | independent RIA | $4.7B | 80% | 33 | $143M | 9 | 0 |
| K•••••• P••••••• M••••••••• L• CRD 318097 | Miami, FL | asset manager | $4.7B | 0.0% | 0 | Not computed | 1 | 6 |
| W••••••••• H•••••• P••••••• L• CRD 309915 | Arlington, VA | asset manager | $4.7B | 0.0% | 0 | Not computed | 0 | 75 |
| A•••••••• C•••••• L•• CRD 168978 | New York, NY | asset manager | $4.7B | 0.0% | 0 | Not computed | 2 | 1 |
| A••••• P••••••• U• L•• CRD 335005 | Boca Raton, FL | asset manager | $4.7B | 0.0% | 0 | Not computed | 1 | 1 |
| M••••••• P•••••••• L•• CRD 300186 | Metairie, LA | asset manager | $4.7B | 0.0% | 0 | Not computed | 0 | 5 |
| R•••••• G•••• CRD 143606 | Larkspur, CA | asset manager | $4.7B | 0.0% | 0 | Not computed | 2 | 20 |
| K••••••••• F••••• A••••••• CRD 105907 | New York, NY | independent RIA | $4.7B | 84% | 5 | $940M | 1 | 12 |
| K•••• M••••••• A•••• M••••••••• ••••••••• P••• L••• CRD 286032 | S••••••••, | asset manager | $4.7B | 0.0% | 0 | Not computed | 0 | 6 |
| M•••• E••••••• CRD 162139 | M•••• Park, CA | asset manager | $4.7B | 0.0% | 0 | Not computed | 2 | 6 |
| P•••••• F•••••••• G••••• L•• CRD 143041 | Nashville, TN | asset manager | $4.7B | 0.0% | 2 | $2.3B | 0 | 0 |
| M•• A•••••••• L•• CRD 130372 | Lexington, KY | independent RIA | $4.7B | 55% | 33 | $142M | 4 | 1 |
| Y••••• C•••••• M••••••••• L• CRD 298556 | New York, NY | asset manager | $4.7B | 0.0% | 1 | $4.7B | 1 | 2 |
| C••••••••• M••••••••• C••• I••• CRD 105307 | St Paul, MN | asset manager | $4.7B | 0.0% | 0 | Not computed | 1 | 8 |
| R•••• O•• I••••••••• C••••••• L••• CRD 156398 | San Francisco, CA | asset manager | $4.7B | 0.0% | 0 | Not computed | 1 | 3 |
| B•••• F•••••••• A••••••• I•• CRD 108780 | Charlotte, NC | independent RIA | $4.7B | 72% | 15 | $311M | 0 | 0 |
| S•••••• G••••• C•••••• P••••••• L•• CRD 170685 | Stamford, CT | other | $4.7B | 0.0% | 0 | Not computed | 0 | 8 |
| A••• M••••••• L•• CRD 311363 | New York, NY | asset manager | $4.7B | 0.0% | 0 | Not computed | 2 | 4 |
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.