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 |
|---|---|---|---|---|---|---|---|---|
| Eaaa Pte. Limited CRD 300161 | Singapore, | asset manager | $4.2B | 0.0% | 0 | Not computed | 0 | 17 |
| Texas Capital Bank Private Wealth Advisors CRD 298422 | Dallas, TX | independent RIA | $4.2B | 52% | 55 | $76.2M | 5 | 0 |
| Bonaccord Capital Partners CRD 316716 | New York, NY | asset manager | $4.2B | 0.0% | 0 | Not computed | 0 | 9 |
| S•••• I••••••••• C••••••••• I•• CRD 104855 | Winston S••••, NC | independent RIA | $4.2B | 90% | 13 | $322M | 1 | 0 |
| G•••••• S•••••• P••••••• CRD 300033 | New York, NY | asset manager | $4.2B | 0.0% | 0 | Not computed | 0 | 27 |
| W••••••••• A•••• M••••••••• L• CRD 170531 | Greenwich, CT | asset manager | $4.2B | 0.0% | 0 | Not computed | 0 | 2 |
| C••••••••• A•••••••• L•• CRD 286594 | Pleasantville, NY | asset manager | $4.2B | 1.8% | 0 | Not computed | 0 | 0 |
| S•••• I••••• S••••••••• L•• CRD 173272 | Fort Lauderdale, FL | independent RIA | $4.2B | 100% | 125 | $33.4M | 99 | 0 |
| M••••••••• A•••• M••••••••• CRD 108526 | Boston, MA | other | $4.2B | 2.0% | 0 | Not computed | 0 | 2 |
| S••• M••••••• F••• M••••••••• L•• CRD 164728 | New York, NY | asset manager | $4.2B | 0.0% | 0 | Not computed | 10 | 22 |
| B••••• C••••• A•••• M••••••••• L•• CRD 123558 | B•••••, MA | other | $4.2B | 15% | 2 | $2.1B | 0 | 5 |
| E•••• F•••••••• S•••••••• I••• CRD 127549 | E••••, CT | independent RIA | $4.2B | 83% | 33 | $126M | 3 | 0 |
| T•••• I••• C••••••• L•• CRD 283006 | Andover, MA | asset manager | $4.2B | 0.0% | 0 | Not computed | 1 | 15 |
| A••• E••••• M••••••••• L••••• CRD 159517 | Washington, DC | asset manager | $4.2B | 0.0% | 0 | Not computed | 0 | 0 |
| C••••• P••••••• P••••••• CRD 129625 | Leawood, KS | independent RIA | $4.2B | 97% | 63 | $66.1M | 11 | 0 |
| R•••••• C•••••• L•• CRD 291049 | New York, NY | asset manager | $4.2B | 0.0% | 0 | Not computed | 1 | 16 |
| W•••••• F•••••••• A••••••• G•••• L•• CRD 105989 | Philadelphia, PA | independent RIA | $4.2B | 72% | 23 | $181M | 5 | 0 |
| A•••• W••••• M••••••••• L•• CRD 127333 | Atlanta, GA | independent RIA | $4.2B | 92% | 38 | $109M | 10 | 0 |
| F••••••• • C••••••• I••••••••• CRD 105499 | Pasadena, CA | asset manager | $4.1B | 0.0% | 0 | Not computed | 1 | 0 |
| S•••••••• W•••••• L•• CRD 165168 | Los Angeles, CA | independent RIA | $4.1B | 89% | 37 | $112M | 14 | 4 |
| N•••• R••• C•••••• M••••••••• L• CRD 311056 | Laguna Beach, CA | asset manager | $4.1B | 0.0% | 0 | Not computed | 1 | 2 |
| H••••••• S••••• P•••••• W••••• L•• CRD 143857 | Denver, CO | asset manager | $4.1B | 0.0% | 0 | Not computed | 3 | 0 |
| I•• I••••••••• A•••••••• L•• CRD 152990 | San Diego, CA | mixed wealth | $4.1B | 31% | 40 | $103M | 10 | 1 |
| F••••••• F•••••••• S••••••••• L•• CRD 137945 | Towson, MD | independent RIA | $4.1B | 89% | 117 | $35.3M | 68 | 0 |
| A•••••••• I•••••••• CRD 151807 | Coral Gables, FL | independent RIA | $4.1B | 93% | 0 | Not computed | 1 | 2 |
| N•••••••• A•••• M••••••••• CRD 147923 | Mercer Island, WA | independent RIA | $4.1B | 98% | 62 | $66.6M | 68 | 0 |
| M•• I••••••••• A•••••••• L•••••• CRD 313907 | Sydney, | asset manager | $4.1B | 0.0% | 0 | Not computed | 2 | 0 |
| P•••••• A•••••••• L••• CRD 112629 | Abilene, TX | institutional | $4.1B | 0.1% | 10 | $413M | 0 | 0 |
| E•••••••• C••••• P••••••• M••••••••• L•• CRD 292216 | Boston, MA | asset manager | $4.1B | 0.0% | 0 | Not computed | 1 | 10 |
| B••• W••• C•••••• P••••••• L•• CRD 162475 | New York, NY | asset manager | $4.1B | 0.0% | 0 | Not computed | 0 | 14 |
| C•••••• G••••••••• P••••••• L•• CRD 281808 | London, | other | $4.1B | 0.2% | 0 | Not computed | 0 | 0 |
| G••••••••• I••••••••• CRD 129288 | Chicago, IL | asset manager | $4.1B | 0.0% | 0 | Not computed | 3 | 0 |
| S•••••• M••••••••• L•• CRD 137312 | New York, NY | asset manager | $4.1B | 0.0% | 0 | Not computed | 4 | 3 |
| F•••••••• A••••••• L•• CRD 150697 | Miami, FL | mixed wealth | $4.1B | 26% | 7 | $588M | 0 | 0 |
| G••••• K••••••• W••••• • I••••••••• M••••••••• CRD 153649 | Santa Monica, CA | independent RIA | $4.1B | 98% | 39 | $105M | 1 | 0 |
| D•••••••• W••••• M••••••••• L•• CRD 329878 | South Jordan, UT | independent RIA | $4.1B | 95% | 77 | $53.4M | 6 | 0 |
| F•• CRD 156980 | San Francisco, CA | asset manager | $4.1B | 0.0% | 0 | Not computed | 0 | 30 |
| C••••••••• M••••••••• L• CRD 309435 | New York, NY | asset manager | $4.1B | 0.0% | 0 | Not computed | 0 | 3 |
| P••••••••• W••••• CRD 311735 | Hinsdale, IL | independent RIA | $4.1B | 78% | 11 | $372M | 6 | 0 |
| F••••••••• A••••••• L• CRD 157899 | New York, NY | asset manager | $4.1B | 0.0% | 0 | Not computed | 1 | 7 |
| W•••••• C•••••• M••••••••• L•• CRD 162178 | New York, NY | asset manager | $4.1B | 0.0% | 0 | Not computed | 0 | 5 |
| F••••••• F•••••••• P••••••• L•• CRD 166682 | Chicago, IL | asset manager | $4.1B | 0.0% | 0 | Not computed | 1 | 14 |
| K••• P••••• L•• CRD 127902 | Huntsville, AL | independent RIA | $4.1B | 80% | 48 | $84.9M | 9 | 3 |
| P•••••••• C•••••• M••••••••• L•• CRD 110052 | Minneapolis, MN | other | $4.1B | 1.1% | 3 | $1.4B | 0 | 0 |
| M•••• C••••••• A••••••• S•••••• CRD 12963 | Palm Beach Gardens, FL | BD affiliated | $4.1B | 98% | 395 | $10.3M | 25 | 0 |
| A•• A•••• M••••••••• L••••• CRD 131544 | Austin, TX | institutional | $4.1B | 0.0% | 2 | $2.0B | 0 | 0 |
| C••••••• C•••••• M••••••••• L•• CRD 135822 | Conshohocken, PA | mixed wealth | $4.1B | 34% | 13 | $313M | 0 | 0 |
| P••••••••• L•• CRD 133357 | Chicago, IL | institutional | $4.1B | 0.0% | 3 | $1.4B | 0 | 0 |
| N•• C•••••• L•• CRD 305093 | Denver, CO | other | $4.1B | 0.0% | 0 | Not computed | 0 | 4 |
| T••••••••• F•••••••• S•••••••• L•• CRD 47893 | Brentwood, TN | independent RIA | $4.0B | 68% | 34 | $119M | 3 | 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.