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 |
|---|---|---|---|---|---|---|---|---|
| Privacore CRD 330893 | New York, NY | asset manager | $109M | 0.0% | 0 | Not computed | 0 | 0 |
| Greenbrook Management, LLC CRD 313632 | New York, NY | asset manager | $108M | 0.0% | 0 | Not computed | 0 | 13 |
| Peapod Lane Capital LLC CRD 159963 | Bedford Hills, NY | mixed wealth | $108M | 32% | 2 | $54.1M | 0 | 0 |
| F•••••••• F•••••••• A••••••• I••• CRD 129975 | Rocky Point, NY | independent RIA | $108M | 100% | 3 | $36.1M | 1 | 0 |
| N••••• L••• C•••••• A•••••••• L••• CRD 129860 | Camillus, NY | independent RIA | $108M | 100% | 2 | $54.0M | 1 | 0 |
| L•••••• W••••• M••••••••• L•• CRD 150040 | New York, NY | independent RIA | $108M | 89% | 6 | $18.0M | 3 | 0 |
| 1••• A•••••••• L•• CRD 312504 | Pound Ridge, NY | independent RIA | $106M | 100% | 1 | $106M | 0 | 0 |
| S•••••• A••••••• G••••• L•• CRD 321846 | Halfmoon, NY | independent RIA | $105M | 81% | 9 | $11.7M | 5 | 0 |
| W••••••••• CRD 123567 | New York, NY | independent RIA | $105M | 100% | 1 | $105M | 0 | 0 |
| I••••••••• I••••••••• A••••••• C••• CRD 126055 | New York, NY | independent RIA | $105M | 88% | 1 | $105M | 1 | 0 |
| F••• C•••••• F•••••••• CRD 287468 | Melville, NY | independent RIA | $105M | 95% | 1 | $105M | 0 | 0 |
| C•••••••• C•••••• M••••••••• L• CRD 136253 | Woodmere, NY | mixed wealth | $105M | 47% | 0 | Not computed | 0 | 1 |
| I••••••• T••••• S•••••• L•• CRD 106372 | Westbury, NY | independent RIA | $103M | 100% | 1 | $103M | 0 | 0 |
| C•••• C•••••• M••••••••• L• CRD 289883 | New York, NY | asset manager | $103M | 0.0% | 0 | Not computed | 0 | 2 |
| H••• C•••••• M••••••••• L•• CRD 308017 | New York, NY | asset manager | $102M | 0.0% | 0 | Not computed | 5 | 0 |
| O••••••• I•• CRD 325277 | New York, NY | other | $102M | 9.1% | 0 | Not computed | 2 | 0 |
| C••••••• C•••••• M••••••••• L• CRD 161451 | New York, NY | asset manager | $102M | 0.0% | 0 | Not computed | 1 | 1 |
| B••••••• C•••••• U• L•• CRD 336308 | New York, NY | asset manager | $102M | 0.0% | 0 | Not computed | 0 | 1 |
| B•••••• I••••••••• G••••• L•• CRD 144080 | Harrison, NY | independent RIA | $101M | 100% | 5 | $20.3M | 0 | 0 |
| R•• I••••••••• A•••••••• L•• CRD 149171 | Great Neck, NY | independent RIA | $101M | 84% | 4 | $25.3M | 2 | 5 |
| B•••• E•••• W••••• M••••••••• CRD 283307 | New York, NY | independent RIA | $101M | 100% | 2 | $50.5M | 0 | 0 |
| A••••• A•••• M••••••••• L•• CRD 287857 | New York, NY | asset manager | $100M | 0.0% | 0 | Not computed | 0 | 0 |
| F••••••• I••••••••• P•••••••• L• CRD 337822 | New York, NY | other | $100M | 0.0% | 0 | Not computed | 2 | 0 |
| F••• F•••••••• W••••• L•• CRD 125627 | Rochester, NY | independent RIA | $99.9M | 100% | 1 | $99.9M | 0 | 0 |
| S••••••••• P••••••• L•• CRD 160018 | White Plains, NY | asset manager | $99.4M | 0.0% | 0 | Not computed | 0 | 14 |
| 1•• M••••••••• L•• CRD 154009 | New York, NY | asset manager | $99.4M | 0.0% | 0 | Not computed | 0 | 0 |
| A••• C•••••• M••••••••• L• CRD 289595 | New York, NY | asset manager | $99.4M | 0.0% | 0 | Not computed | 0 | 2 |
| W••••••••• C•••••• P••••••• L•• CRD 167801 | New York, NY | asset manager | $99.3M | 0.0% | 0 | Not computed | 0 | 1 |
| L••• R••• A•••••••• L•• CRD 281657 | Corning, NY | independent RIA | $98.8M | 93% | 2 | $49.4M | 3 | 0 |
| L••••• F••••• W••••• A•••••••• L••••• CRD 142714 | Malta, NY | independent RIA | $98.6M | 99% | 2 | $49.3M | 0 | 0 |
| M••••••• D••••• L•••••• A••••••• L•• CRD 327891 | New York, NY | asset manager | $98.0M | 0.0% | 0 | Not computed | 0 | 0 |
| M•••••••• C•••••• CRD 334852 | New York, NY | asset manager | $97.4M | 0.0% | 0 | Not computed | 0 | 0 |
| A••••• S••••••••• P••••••••• L•• CRD 327902 | New York, NY | asset manager | $97.3M | 0.0% | 0 | Not computed | 5 | 0 |
| S••••••••• C•••••• M••••••••• L••• CRD 171163 | New York, NY | independent RIA | $97.0M | 68% | 2 | $48.5M | 1 | 0 |
| U•• G••••• C•••••• L•• CRD 160659 | New York, NY | asset manager | $96.8M | 0.0% | 0 | Not computed | 0 | 3 |
| S• I•••••••• CRD 155549 | New York, NY | asset manager | $95.1M | 0.0% | 0 | Not computed | 0 | 4 |
| N••••••• I••• CRD 160979 | Lynbrook, NY | independent RIA | $95.0M | 95% | 2 | $47.5M | 0 | 0 |
| M•• C•••••• M••••••••• L•• CRD 333785 | New York, NY | other | $95.0M | 20% | 1 | $95.0M | 0 | 0 |
| L••• C•••••• M••••••••• L•• CRD 111311 | Pittsford, NY | independent RIA | $94.8M | 93% | 2 | $47.4M | 2 | 0 |
| W••••••• C••••••• L•• CRD 307759 | New York, NY | mixed wealth | $94.5M | 22% | 0 | Not computed | 1 | 6 |
| C••••• N• A•••••••• L•• CRD 271027 | Fishkill, NY | independent RIA | $94.2M | 97% | 1 | $94.2M | 0 | 0 |
| B••••••• F•••••••• G••••• I••• CRD 296831 | Rockville Centre, NY | independent RIA | $94.2M | 100% | 2 | $47.1M | 1 | 0 |
| L•••••• S•••••••• F•••••••• CRD 147076 | New York, NY | independent RIA | $94.1M | 100% | 2 | $47.0M | 0 | 0 |
| G•••••• C•••••• M••••••••• L•• CRD 137083 | New York, NY | mixed wealth | $94.0M | 42% | 0 | Not computed | 0 | 0 |
| T••••• R••• W••••• M••••••••• L•• CRD 312279 | New York, NY | independent RIA | $94.0M | 99% | 4 | $23.5M | 4 | 0 |
| W••••• I••••••••• S••••••• L•• CRD 113666 | Brooklyn, NY | independent RIA | $94.0M | 96% | 2 | $47.0M | 0 | 0 |
| H••••• • C•••••• W••••• M••••••••• L•• CRD 144884 | Uniondale, NY | independent RIA | $93.9M | 85% | 5 | $18.8M | 0 | 0 |
| V••• W••••• M••••••••• CRD 338916 | Endicott, NY | independent RIA | $93.9M | 100% | 1 | $93.9M | 3 | 0 |
| T••••••• B•• F•••••••• CRD 287476 | Brooklyn, NY | independent RIA | $93.0M | 100% | 2 | $46.5M | 1 | 0 |
| O••••••••• • C••••• L•• CRD 15168 | New York, NY | independent RIA | $93.0M | 100% | 5 | $18.6M | 0 | 0 |
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.