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 |
|---|---|---|---|---|---|---|---|---|
| Stash Wealth, LLC CRD 167072 | New York, NY | independent RIA | $51.7M | 100% | 3 | $17.2M | 0 | 0 |
| Purevest CRD 318332 | Staten Island, NY | independent RIA | $51.6M | 100% | 3 | $17.2M | 0 | 0 |
| Sfumato Capital Management LLC CRD 335852 | New York, NY | mixed wealth | $51.3M | 21% | 0 | Not computed | 1 | 3 |
| L••••• W••••• M••••••••• L•• CRD 305263 | New York, NY | independent RIA | $51.0M | 100% | 2 | $25.5M | 0 | 0 |
| B••• L•• CRD 288133 | New York, NY | independent RIA | $51.0M | 87% | 1 | $51.0M | 0 | 0 |
| S••••• A••••••• CRD 149745 | Fairport, NY | independent RIA | $50.8M | 97% | 0 | Not computed | 0 | 0 |
| E••••••• G•••• CRD 157119 | New York, NY | asset manager | $50.8M | 0.0% | 0 | Not computed | 1 | 2 |
| C•••••• S•••••• • D•••••• A•••• M••••••••• L•• CRD 104588 | Mendon, NY | independent RIA | $50.7M | 64% | 0 | Not computed | 1 | 0 |
| P•••• W••••• M••••••••• CRD 317854 | Victor, NY | mixed wealth | $50.6M | 50% | 1 | $50.6M | 0 | 0 |
| P••••••• A•••• S••••••••• I••• CRD 128627 | Westbury, NY | independent RIA | $50.6M | 80% | 0 | Not computed | 0 | 0 |
| O•••• G••••• C••••••• L•• CRD 284585 | New York, NY | other | $50.0M | 0.0% | 0 | Not computed | 1 | 1 |
| F•••••• C•••••• P••••••• L• CRD 331708 | New York, NY | asset manager | $50.0M | 0.0% | 0 | Not computed | 0 | 1 |
| A•••• C•••••• M••••••••• L• CRD 337916 | New York, NY | asset manager | $49.1M | 0.0% | 0 | Not computed | 0 | 1 |
| H••••• C•••••••• CRD 146338 | Pearl River, NY | independent RIA | $48.8M | 100% | 1 | $48.8M | 0 | 0 |
| K•• T••••••• G•••• L•• CRD 285526 | New York, NY | independent RIA | $48.7M | 100% | 0 | Not computed | 0 | 0 |
| S••••••••• A•••• M••••••••• L•• CRD 108507 | New York, NY | independent RIA | $48.6M | 54% | 0 | Not computed | 0 | 0 |
| K•••• C•••••• M••••••••• L•• CRD 329110 | New York, NY | asset manager | $48.4M | 0.0% | 0 | Not computed | 0 | 1 |
| A••••••• W••••• A••••••••• G•••• L•• CRD 282683 | Glen Cove, NY | independent RIA | $48.3M | 100% | 3 | $16.1M | 0 | 0 |
| A•• A•••• M••••••••• L•• CRD 335177 | New York, NY | asset manager | $47.6M | 0.0% | 0 | Not computed | 1 | 5 |
| H•••••• 8• L•• CRD 284577 | New York, NY | independent RIA | $47.2M | 71% | 0 | Not computed | 0 | 1 |
| D•••• C•••••• A•••••••• L•• CRD 153496 | New York, NY | independent RIA | $46.9M | 96% | 1 | $46.9M | 0 | 0 |
| C•• A•••••••• L•• CRD 134079 | New York, NY | asset manager | $46.6M | 0.0% | 0 | Not computed | 0 | 2 |
| C•••••••• A•••••••• L•• CRD 158928 | Williamsville, NY | independent RIA | $46.5M | 87% | 1 | $46.5M | 0 | 0 |
| B••••• H••• F•••••••• A••••••• L•• CRD 288987 | Brooklyn, NY | independent RIA | $46.4M | 100% | 1 | $46.4M | 0 | 0 |
| I•••••••• A••••••• P••••••• L•• CRD 161647 | New York, NY | independent RIA | $46.1M | 100% | 2 | $23.1M | 2 | 0 |
| C•••• C••••• M••••••••• L•• CRD 281736 | New York, NY | other | $45.1M | 0.0% | 0 | Not computed | 0 | 0 |
| C•••• I••• C••••• O••••••••• L•• CRD 332538 | New York, NY | other | $45.1M | 0.0% | 0 | Not computed | 0 | 0 |
| C•••••• W••••• M••••••••• CRD 327867 | New York, NY | independent RIA | $45.1M | 100% | 1 | $45.1M | 1 | 0 |
| L•••••• P••• C•••••• L•• CRD 330031 | Olean, NY | independent RIA | $45.1M | 100% | 1 | $45.1M | 0 | 0 |
| B••••••••• I••••••••• M••••••••• L•• CRD 143124 | New York, NY | independent RIA | $45.0M | 100% | 0 | Not computed | 0 | 0 |
| E••••••• C•••••• CRD 333963 | New York, NY | asset manager | $44.8M | 0.0% | 0 | Not computed | 0 | 4 |
| W••••••• P••••••• • W•• • L•• CRD 282102 | Orchard, NY | independent RIA | $44.1M | 100% | 2 | $22.0M | 3 | 0 |
| T••••••••• W••••• C••••••••• L•• CRD 283193 | New York, NY | independent RIA | $43.9M | 100% | 0 | Not computed | 0 | 0 |
| A••• C••••• P••••••• CRD 328087 | New York, NY | asset manager | $43.8M | 0.0% | 0 | Not computed | 0 | 1 |
| D••••• M•••• A•••••••• L•• CRD 316434 | New York, NY | independent RIA | $43.3M | 100% | 21 | $2.1M | 0 | 0 |
| S••••••••• C•••••• M••••••••• C••••••••• CRD 111998 | Armonk, NY | independent RIA | $43.0M | 82% | 1 | $43.0M | 0 | 1 |
| A•••••• C•••••• M••••••••• L•• CRD 126547 | New York, NY | independent RIA | $42.4M | 98% | 1 | $42.4M | 0 | 0 |
| S••••••••• L•• CRD 334785 | Garden City, NY | asset manager | $42.1M | 0.0% | 0 | Not computed | 0 | 4 |
| Q•••••• I•••••• L•• CRD 283762 | New York, NY | independent RIA | $42.1M | 100% | 1 | $42.1M | 0 | 0 |
| P••••• A••••••• L•• CRD 159614 | New York, NY | independent RIA | $41.7M | 67% | 0 | Not computed | 0 | 0 |
| W•• M••••••••• S•••••••• I•• CRD 270003 | Rochester, NY | independent RIA | $41.6M | 98% | 1 | $41.6M | 0 | 0 |
| A••••• G•••• W••••• M••••••••• CRD 332881 | Schenectady, NY | independent RIA | $41.6M | 100% | 1 | $41.6M | 1 | 0 |
| N••••• F•••• M••••••••• L•• CRD 151749 | Williamsvillie, NY | asset manager | $41.2M | 0.0% | 0 | Not computed | 2 | 0 |
| T••••••••• A••••••• CRD 332537 | New York, NY | independent RIA | $41.1M | 100% | 1 | $41.1M | 0 | 0 |
| M•••••• C••••••• L•• CRD 154517 | Saratoga Springs, NY | independent RIA | $40.6M | 100% | 1 | $40.6M | 0 | 0 |
| O•••••• C•••••• M••••••••• I••• CRD 136100 | Nyack, NY | independent RIA | $40.6M | 100% | 1 | $40.6M | 1 | 0 |
| A•••• P••••••• L•• CRD 313006 | Plainview, NY | independent RIA | $40.5M | 100% | 2 | $20.2M | 0 | 0 |
| M••••••• F•••••••• S•••••••• L•• CRD 169107 | Warwick, NY | independent RIA | $40.4M | 96% | 1 | $40.4M | 0 | 0 |
| C•• C•••••• G•••• L•• CRD 336490 | New York, NY | independent RIA | $40.1M | 100% | 2 | $20.0M | 3 | 0 |
| F••• P••••• A•••••••• L•• CRD 171720 | New York, NY | independent RIA | $40.0M | 99% | 13 | $3.1M | 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.