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 |
|---|---|---|---|---|---|---|---|---|
| Ace & Company New York, Inc. CRD 304442 | New York, NY | asset manager | $65.8M | 0.0% | 1 | $65.8M | 0 | 4 |
| Shope Advisors Group CRD 144056 | Camillus, NY | independent RIA | $65.6M | 100% | 2 | $32.8M | 0 | 0 |
| Stewardship Financial Planning CRD 128676 | Tarrytown, NY | independent RIA | $65.5M | 100% | 1 | $65.5M | 0 | 0 |
| K•••• C•••••• L•• CRD 315019 | New York, NY | mixed wealth | $65.4M | 26% | 3 | $21.8M | 1 | 0 |
| N• F•••••••• P•••• CRD 337288 | Huntington, NY | independent RIA | $65.2M | 70% | 1 | $65.2M | 0 | 0 |
| V••••••• A•••• M••••••••• L•• CRD 289186 | New York, NY | other | $65.0M | 0.0% | 0 | Not computed | 0 | 2 |
| M•••••• C•••••• L•• CRD 299975 | New York, NY | independent RIA | $65.0M | 100% | 3 | $21.7M | 0 | 0 |
| R•••• L•••• L•• CRD 337278 | New York, NY | mixed wealth | $65.0M | 34% | 1 | $65.0M | 0 | 0 |
| P•••••• A•••• P••••••• CRD 310121 | Riverhead, NY | independent RIA | $64.6M | 93% | 1 | $64.6M | 0 | 0 |
| M••• A•••• M••••••••• L•• CRD 315568 | New York, NY | independent RIA | $64.5M | 96% | 4 | $16.1M | 2 | 0 |
| H••••• V••• A•••••••• L•• CRD 288839 | Croton-On-H•••••, NY | independent RIA | $64.3M | 91% | 1 | $64.3M | 0 | 0 |
| S••••••• C•••••• A••••••• I••• CRD 332396 | Pittsford, NY | independent RIA | $64.3M | 99% | 1 | $64.3M | 0 | 0 |
| S•••• A••••••• G••••• I••• CRD 284325 | Glens Falls, NY | independent RIA | $63.6M | 100% | 1 | $63.6M | 0 | 0 |
| W••••••••• A•••••••• L•• CRD 285807 | Manhasset, NY | independent RIA | $63.1M | 100% | 1 | $63.1M | 1 | 0 |
| C••••••••• P••••••• A•••• M••••••••• L•• CRD 109385 | New York, NY | independent RIA | $62.9M | 63% | 4 | $15.7M | 2 | 0 |
| A•••••• F•••••••• S•••••••• I••• CRD 118537 | Chatham, NY | independent RIA | $62.6M | 100% | 1 | $62.6M | 1 | 0 |
| L••••• M•••• G••••••• CRD 126274 | Garden City, NY | independent RIA | $62.6M | 71% | 1 | $62.6M | 0 | 0 |
| M••••••• V••• S•••••••• W•••••• L•• CRD 154295 | Hopewell Junction, NY | independent RIA | $62.5M | 100% | 1 | $62.5M | 1 | 0 |
| B•••• W••••• M••••••••• CRD 304727 | Rome, NY | independent RIA | $62.1M | 100% | 2 | $31.1M | 1 | 0 |
| H•••• P•••• C•••••• P••••••• L•• CRD 307006 | Rye Brook, NY | other | $61.4M | 0.0% | 0 | Not computed | 0 | 0 |
| A••••• C•••••• M••••••••• L•• CRD 124600 | Ithaca, NY | independent RIA | $61.2M | 93% | 1 | $61.2M | 0 | 0 |
| I•••• L•• CRD 285435 | New York, NY | asset manager | $60.9M | 0.0% | 0 | Not computed | 0 | 0 |
| B••••••••• R••• E••••• A••••••• V• L••• CRD 138208 | New York, NY | asset manager | $60.2M | 0.0% | 0 | Not computed | 12 | 0 |
| G••••••• G• L•• CRD 285239 | New York, NY | asset manager | $60.2M | 0.0% | 0 | Not computed | 0 | 1 |
| R• • R• F•••••••• P•••••••• I••• CRD 113291 | East Meadow, NY | independent RIA | $60.1M | 100% | 5 | $12.0M | 1 | 0 |
| L•••••• W••••• M••••••• CRD 322131 | New York, NY | independent RIA | $59.9M | 100% | 1 | $59.9M | 2 | 0 |
| Q•••••• A•••• M••••••••• L•• CRD 311013 | New York, NY | independent RIA | $59.7M | 100% | 3 | $19.9M | 0 | 0 |
| W••••••••• M••••••••• C••• I••• CRD 106399 | Bedford Hills, NY | other | $58.6M | 0.0% | 0 | Not computed | 0 | 1 |
| C•••••• I••••••• G•••• O• W••• L••• CRD 282909 | Buffalo, NY | independent RIA | $58.6M | 100% | 3 | $19.5M | 0 | 0 |
| H••••••• I••••••••• M••••••••• L•• CRD 317326 | Port Chester, NY | independent RIA | $58.4M | 53% | 0 | Not computed | 1 | 0 |
| T•••• C•••••• CRD 164329 | New York, NY | asset manager | $58.3M | 0.0% | 0 | Not computed | 0 | 2 |
| O•• H••••• A•••• M••••••••• CRD 168816 | Utica, NY | independent RIA | $57.5M | 86% | 2 | $28.8M | 0 | 0 |
| P•••••••• V•••• P••••••• L•• CRD 313153 | New York, NY | mixed wealth | $57.4M | 27% | 2 | $28.7M | 1 | 3 |
| N•••••• I••••••••• A••••••• I••••••••• CRD 290927 | Commack, NY | independent RIA | $57.4M | 100% | 0 | Not computed | 0 | 0 |
| N••••• A•••• M••••••••• L•• CRD 172956 | New York, NY | other | $57.1M | 0.0% | 0 | Not computed | 0 | 0 |
| M••••• A•••••••• L•• CRD 325262 | New York, NY | other | $56.3M | 0.0% | 3 | $18.8M | 0 | 0 |
| S••• M••••••••• M••••••••• L•• CRD 317689 | New York, NY | asset manager | $55.9M | 0.0% | 0 | Not computed | 0 | 1 |
| S•••• I••••••••• M••••••••• L•• CRD 160406 | New York, NY | asset manager | $55.1M | 0.0% | 0 | Not computed | 0 | 3 |
| J• M•••• I••••••••• A••••••• S•••••• CRD 132484 | Utica, NY | independent RIA | $54.5M | 100% | 0 | Not computed | 0 | 0 |
| W••••••• A•••• M••••••••• CRD 164431 | Pearl River, NY | independent RIA | $54.5M | 100% | 1 | $54.5M | 1 | 0 |
| V•••••• L•• CRD 339215 | New York, NY | independent RIA | $54.3M | 100% | 1 | $54.3M | 1 | 0 |
| A•••• CRD 313285 | New York, NY | independent RIA | $54.1M | 100% | 1 | $54.1M | 0 | 0 |
| M••••••••• L•• CRD 306005 | Bedford Hills, NY | independent RIA | $53.9M | 58% | 1 | $53.9M | 1 | 0 |
| L• A••••••• L•• CRD 318920 | New City, NY | independent RIA | $53.5M | 88% | 1 | $53.5M | 0 | 0 |
| V••••• I••••••••• G•••• L•• CRD 327619 | Rye Brook, NY | independent RIA | $53.1M | 93% | 0 | Not computed | 1 | 0 |
| K• • P••••••• M••••••••• C• L•• CRD 108105 | New York, NY | asset manager | $52.8M | 0.0% | 0 | Not computed | 0 | 0 |
| L••••• R••• A•••• M••••••••• I••• CRD 164370 | Manhasset, NY | independent RIA | $52.5M | 100% | 2 | $26.3M | 1 | 0 |
| R•••••••• M••••••••• C•••••• L•• CRD 161605 | New York, NY | other | $52.4M | 0.0% | 0 | Not computed | 8 | 0 |
| 4• A•• L•• CRD 339735 | New York, NY | institutional | $51.9M | 0.0% | 0 | Not computed | 0 | 2 |
| M••• S••••• M••••••••• C•••••• CRD 111736 | Aquebogue, NY | independent RIA | $51.8M | 76% | 0 | Not computed | 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.