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 |
|---|---|---|---|---|---|---|---|---|
| Clearwater Advisors, LLC CRD 116865 | Boise, ID | other | $4.7B | 1.7% | 6 | $775M | 2 | 0 |
| Diversify Advisory Services, LLC CRD 326060 | South Jordan, UT | BD affiliated | $4.6B | 94% | 115 | $40.4M | 27 | 0 |
| Forza Investment Group, LP CRD 329156 | Summit, NJ | asset manager | $4.6B | 0.0% | 0 | Not computed | 1 | 8 |
| C• A••••••• S••••••• CRD 110929 | Williamston, MI | independent RIA | $4.6B | 61% | 68 | $68.2M | 25 | 0 |
| H••••••• I•••••••• M••••••••• C••• CRD 110420 | Bethesda, MD | independent RIA | $4.6B | 87% | 9 | $515M | 0 | 0 |
| C•••• E••••• T••••••••• L•• CRD 315409 | London, | asset manager | $4.6B | 0.0% | 0 | Not computed | 1 | 4 |
| C••••••• C•••••• L•• CRD 308376 | New York, NY | asset manager | $4.6B | 0.0% | 0 | Not computed | 6 | 4 |
| V••••••• C•••••• A•••••••• L•• CRD 288512 | Hunt Valley, MD | independent RIA | $4.6B | 94% | 39 | $119M | 6 | 0 |
| C••••• A••••••••• •••• L•• CRD 132823 | New York, NY | asset manager | $4.6B | 0.0% | 0 | Not computed | 0 | 0 |
| B••••• H•••• • C• I•• CRD 105153 | Ponte Vedra Beach, FL | other | $4.6B | 12% | 1 | $4.6B | 1 | 0 |
| S••••• P••••••• P••••• A•••• M••••••••• L•• CRD 175100 | Boston, MA | asset manager | $4.6B | 0.0% | 0 | Not computed | 1 | 12 |
| P••••••• CRD 161631 | London, | asset manager | $4.6B | 0.0% | 0 | Not computed | 2 | 11 |
| A••••• A••••••• L•• CRD 124674 | Mayfield Heights, OH | other | $4.6B | 8.7% | 10 | $461M | 1 | 0 |
| Q••••••• W••••• P•••••••• L•• CRD 326819 | Dallas, TX | independent RIA | $4.6B | 100% | 35 | $132M | 5 | 0 |
| T•••••••• I••••••••• C••••••• L•• CRD 111370 | Ft. Lauderdale, FL | asset manager | $4.6B | 3.1% | 0 | Not computed | 1 | 0 |
| S•••• B•••••• A••••••• L•• CRD 158722 | New York, NY | independent RIA | $4.6B | 54% | 0 | Not computed | 0 | 16 |
| H•••••••• 1••• C•••••• M••••••••• L•• CRD 332278 | New York, NY | other | $4.6B | 0.0% | 0 | Not computed | 0 | 1 |
| F•••••••• C•••••• CRD 332163 | New York, NY | asset manager | $4.6B | 0.0% | 0 | Not computed | 2 | 0 |
| S••••• A•••• M••••••••• L• CRD 309966 | New York, NY | institutional | $4.6B | 0.0% | 0 | Not computed | 3 | 5 |
| B•• C•••••• M••••••••• CRD 127158 | Des Moines, IA | other | $4.6B | 0.0% | 10 | $460M | 2 | 0 |
| 1••• I••••••••• M••••••••• CRD 337619 | Newark, NJ | institutional | $4.6B | 0.0% | 3 | $1.5B | 0 | 0 |
| G•••••••• C•••••• L• CRD 106417 | San Diego, CA | other | $4.6B | 0.0% | 1 | $4.6B | 1 | 4 |
| C•••••••• M••••••••• L•• CRD 109587 | Chicago, IL | institutional | $4.6B | 1.7% | 0 | Not computed | 0 | 0 |
| A•••• R••••• C••••••••• M••••••••• L•• CRD 163425 | Uniondale, NY | asset manager | $4.6B | 0.0% | 0 | Not computed | 1 | 1 |
| T••• F•••• C•••••• P•••••••• L•• CRD 140522 | Boston, MA | independent RIA | $4.6B | 98% | 16 | $287M | 0 | 6 |
| B••••• T•••• W••••• I••• CRD 111266 | B•••••, MA | asset manager | $4.6B | 0.0% | 0 | Not computed | 0 | 0 |
| D••••••••• I••••••••• G•••• L•• CRD 288159 | New York, NY | asset manager | $4.6B | 0.0% | 0 | Not computed | 0 | 1 |
| M•• F••• M••••••••• L•• CRD 315098 | Dallas, TX | asset manager | $4.6B | 0.0% | 0 | Not computed | 2 | 16 |
| P•••••• S••••• C•••••• L•• CRD 319011 | London, | asset manager | $4.6B | 0.0% | 0 | Not computed | 0 | 1 |
| G•• E••••• H•••••••• L•• CRD 322865 | Knoxville, TN | asset manager | $4.6B | 0.0% | 0 | Not computed | 0 | 0 |
| S•••••••• C•••••• M••••••••• L• CRD 317009 | Stamford, CT | asset manager | $4.6B | 0.0% | 0 | Not computed | 3 | 17 |
| H••• S••••• E••••• CRD 291881 | Bethesda, MD | asset manager | $4.6B | 0.0% | 0 | Not computed | 0 | 10 |
| T•••• C•••••• M••••••••• L••• CRD 157077 | New York, NY | asset manager | $4.6B | 0.0% | 0 | Not computed | 1 | 12 |
| C••••• M••••••••• L• CRD 158197 | New York, NY | asset manager | $4.6B | 0.0% | 0 | Not computed | 0 | 8 |
| Q•• C••••••• L••• CRD 311710 | Raleigh, NC | asset manager | $4.6B | 0.0% | 0 | Not computed | 0 | 0 |
| W•••••• B••••••• G••••• L•• CRD 133722 | Malvern, PA | independent RIA | $4.6B | 82% | 3 | $1.5B | 1 | 0 |
| Z••••••••• C•••••• I••••••••• L•• CRD 128990 | Edmonds, WA | other | $4.6B | 19% | 14 | $326M | 0 | 0 |
| T••••••• S••••• C•••••• M•••••• L•• CRD 156679 | St. Louis, MO | asset manager | $4.6B | 0.0% | 0 | Not computed | 0 | 10 |
| W••• C•••••• P••••••• CRD 160632 | Chicago, IL | asset manager | $4.6B | 0.0% | 0 | Not computed | 0 | 24 |
| D••••• I••••••••• M••••••••• L•• CRD 174984 | Sunny Isles Beach, FL | asset manager | $4.6B | 0.0% | 0 | Not computed | 1 | 1 |
| B•••• C•••••• M••••••••• L•• CRD 105633 | Baltimore, MD | other | $4.5B | 0.0% | 2 | $2.3B | 0 | 0 |
| C•••••• M••••••••• L•• CRD 283492 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 0 | 5 |
| F••••••• S••••• A••••••• I••• CRD 106275 | Chapel Hill, NC | bank affiliated | $4.5B | 81% | 16 | $283M | 0 | 5 |
| J•• F••••• O••••• CRD 125101 | Denver, CO | independent RIA | $4.5B | 99% | 35 | $129M | 2 | 1 |
| H••• R•••• C•••••• M••••••••• L• CRD 163818 | Los Angeles, CA | asset manager | $4.5B | 0.0% | 0 | Not computed | 3 | 1 |
| S••••••••• CRD 194512 | San Francisco, CA | asset manager | $4.5B | 0.0% | 0 | Not computed | 1 | 52 |
| H•• C•••••• P••••••• CRD 133693 | Stamford, CT | asset manager | $4.5B | 0.0% | 0 | Not computed | 2 | 6 |
| I••••••••• X• A••••••• CRD 322292 | Rockville, MD | asset manager | $4.5B | 0.0% | 0 | Not computed | 1 | 20 |
| C•• A•••• M••••••••• G•••• CRD 158940 | Naples, FL | independent RIA | $4.5B | 94% | 50 | $90.3M | 4 | 3 |
| S•••• W••••• M••••••••• L•• CRD 113908 | Mclean, VA | BD affiliated | $4.5B | 96% | 67 | $67.4M | 47 | 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.