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 |
|---|---|---|---|---|---|---|---|---|
| Agtb Fund Manager, LLC CRD 318665 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 2 | 0 |
| Goelzer Investment Management CRD 44402 | Carmel, IN | mixed wealth | $4.5B | 48% | 23 | $196M | 0 | 0 |
| Oic CRD 282499 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 2 | 37 |
| G•••••••• L• CRD 162561 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 3 | 24 |
| H••••••••• A•••• M••••••••• CRD 305194 | El Segundo, CA | asset manager | $4.5B | 0.0% | 0 | Not computed | 0 | 10 |
| C•••••••• A••••••• L•• CRD 290462 | New York, NY | other | $4.5B | 0.0% | 0 | Not computed | 0 | 0 |
| V•••••• A••••••• L•• CRD 169288 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 1 | 7 |
| P••••••• L•••••• •••• L•• CRD 154232 | Charleston, SC | other | $4.5B | 0.0% | 0 | Not computed | 1 | 2 |
| E••••••• C•••••• M••••••••• L•• CRD 120338 | E•••••••, IL | asset manager | $4.5B | 0.0% | 0 | Not computed | 0 | 6 |
| C••••••• S••• I••••••••• C••••••••• CRD 108033 | Pasadena, CA | independent RIA | $4.5B | 84% | 17 | $264M | 0 | 0 |
| B••••••• P••• C•••••• CRD 304261 | Greenwich, CT | asset manager | $4.5B | 0.0% | 0 | Not computed | 4 | 14 |
| C••••••••• W••••• M••••••••• L•• CRD 154310 | Farmington, CT | independent RIA | $4.5B | 95% | 50 | $89.6M | 1 | 0 |
| E•••••••• A•••••••• L•• CRD 151635 | Chicago, IL | asset manager | $4.5B | 0.0% | 0 | Not computed | 0 | 21 |
| A•••••••• P•••••• E••••• I••••••••• M••••••••• L•• CRD 322058 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 4 | 0 |
| P••••••• B••••••••• A••••••• L• CRD 312544 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 0 | 2 |
| C• I••••••••• L•• CRD 292627 | Auburn, IN | independent RIA | $4.5B | 96% | 80 | $55.8M | 15 | 0 |
| L••••••• C•••••• M••••••••• L• CRD 327065 | New York, NY | asset manager | $4.5B | 0.0% | 0 | Not computed | 0 | 20 |
| B••••• O•• C•••••• P•••••••• L• CRD 284367 | Dallas, TX | asset manager | $4.5B | 0.0% | 0 | Not computed | 0 | 9 |
| B••••••••• CRD 167311 | Chicago, IL | asset manager | $4.5B | 0.0% | 0 | Not computed | 0 | 4 |
| B•••••••• C•••••• M••••••••• L•• CRD 149320 | New York, NY | mixed wealth | $4.5B | 22% | 6 | $742M | 2 | 13 |
| V••••• F•••• C•••••• M••••••••• CRD 162953 | Miami, FL | asset manager | $4.4B | 0.0% | 0 | Not computed | 0 | 3 |
| A•••••• F•••••• C•••••• M••••••••• L•• CRD 226755 | San Juan, PR | other | $4.4B | 0.0% | 0 | Not computed | 0 | 0 |
| B••••• T•••• CRD 226547 | Morristown, NJ | independent RIA | $4.4B | 93% | 30 | $148M | 4 | 0 |
| S•••••••• C••••••• L••• CRD 281570 | Burlingame, CA | asset manager | $4.4B | 0.0% | 0 | Not computed | 1 | 20 |
| B•••••• C•••••• M••••••••• L•• CRD 156920 | Foster City, CA | asset manager | $4.4B | 0.0% | 0 | Not computed | 1 | 9 |
| B••• O•• D•••••• I••••••••• T•••• A••••••• L•• CRD 337770 | Chicago, IL | asset manager | $4.4B | 0.0% | 0 | Not computed | 9 | 0 |
| N•••••••• P••••••• L• CRD 289068 | Toronto, Ontario, | asset manager | $4.4B | 0.0% | 0 | Not computed | 0 | 3 |
| A••••••••• I•••••••• W••••• M••••••••• CRD 105439 | Edina, MN | independent RIA | $4.4B | 99% | 3 | $1.5B | 0 | 0 |
| N••• L••••• M••••••••• L•• CRD 156640 | Portola Valley, CA | asset manager | $4.4B | 0.0% | 0 | Not computed | 1 | 47 |
| T•• R• F•••••• T•••• M••••••••• L••• CRD 288851 | Fort Worth, TX | asset manager | $4.4B | 0.0% | 2 | $2.2B | 2 | 0 |
| G•••••••• B••••• L•••••• F••• M•••••• L•• CRD 284589 | New York, NY | asset manager | $4.4B | 0.0% | 0 | Not computed | 0 | 2 |
| A••••• P•••••••• C•••••• M••••••••• L•• CRD 106233 | Anchorage, AK | institutional | $4.4B | 0.0% | 1 | $4.4B | 0 | 0 |
| L••••• W••• C•••••• A•••••••• L•• CRD 135140 | New York, NY | asset manager | $4.4B | 1.4% | 0 | Not computed | 1 | 2 |
| R••••••• C••••••• L• CRD 156791 | The Woodlands, TX | asset manager | $4.4B | 0.0% | 5 | $879M | 0 | 10 |
| L•• A•••••••• L•• CRD 154922 | New York, NY | asset manager | $4.4B | 0.0% | 0 | Not computed | 1 | 16 |
| E•••••••• C••••••• L• CRD 281137 | New York, NY | asset manager | $4.4B | 0.0% | 0 | Not computed | 1 | 22 |
| S••• H••• G••••• A•••••••• L•• CRD 111295 | Palo Alto, CA | independent RIA | $4.4B | 83% | 19 | $231M | 1 | 0 |
| A•••• CRD 281190 | Uniondale, NY | asset manager | $4.4B | 0.0% | 0 | Not computed | 5 | 1 |
| P••••••••• C•••••• A••••••• CRD 156480 | Westlake, OH | independent RIA | $4.4B | 86% | 102 | $43.0M | 41 | 0 |
| A•• A••••••••• L•• CRD 114626 | Greenwich, CT | asset manager | $4.4B | 0.0% | 0 | Not computed | 0 | 2 |
| D•••• C•••••• L•• CRD 169002 | Columbus, OH | asset manager | $4.4B | 0.0% | 0 | Not computed | 2 | 21 |
| R••••••• CRD 166517 | Miami, FL | other | $4.4B | 0.0% | 0 | Not computed | 1 | 2 |
| S••• C•••••• L•• CRD 322776 | San Francisco, CA | independent RIA | $4.4B | 98% | 12 | $365M | 0 | 8 |
| H•••• C•••••• CRD 296844 | San Francisco, CA | asset manager | $4.4B | 0.0% | 0 | Not computed | 1 | 40 |
| A••••••• A••••• L•• CRD 158282 | Holland, MI | independent RIA | $4.4B | 54% | 66 | $66.3M | 27 | 0 |
| S•• C•••••• P••••••• L• CRD 332592 | Los Angeles, CA | asset manager | $4.4B | 0.0% | 0 | Not computed | 0 | 1 |
| I•••••• I••••••••• A••••••• L•• CRD 104885 | Downers Grove, IL | asset manager | $4.4B | 0.0% | 0 | Not computed | 3 | 0 |
| A••••• P••••••• L•• CRD 333844 | New York, NY | asset manager | $4.4B | 0.0% | 0 | Not computed | 0 | 0 |
| G••• L••• A•••••••• L•• CRD 171898 | Celebration, FL | independent RIA | $4.4B | 99% | 88 | $49.4M | 48 | 0 |
| C••••••• • C•••••• I••••••••• A•••••• L•• CRD 134332 | Baltimore, MD | asset manager | $4.3B | 0.0% | 0 | Not computed | 0 | 6 |
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.