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 |
|---|---|---|---|---|---|---|---|---|
| Hudson Structured Capital Management Ltd. CRD 282919 | Stamford, CT | asset manager | $4.0B | 0.1% | 0 | Not computed | 2 | 0 |
| Cardinal Capital Management, Inc. CRD 124729 | Winnipeg, | independent RIA | $4.0B | 62% | 8 | $502M | 6 | 0 |
| Altamont Capital Partners CRD 160498 | Palo Alto, CA | asset manager | $4.0B | 0.0% | 0 | Not computed | 2 | 31 |
| P•••••• I••••••••• O••••• CRD 157476 | Charleston, SC | independent RIA | $4.0B | 72% | 4 | $1.0B | 2 | 0 |
| K••••• I••••••••• M••••••••• CRD 110275 | Pittsford, NY | independent RIA | $4.0B | 70% | 7 | $573M | 0 | 0 |
| W••••••• E••••• F••• M••••••••• •••• L•• CRD 290952 | Houston, TX | asset manager | $4.0B | 0.0% | 1 | $4.0B | 1 | 16 |
| V•••• A••••••• L•• CRD 171358 | Miami, FL | independent RIA | $4.0B | 93% | 3 | $1.3B | 0 | 0 |
| B• F••••• O•••••• L•• CRD 305713 | Atlanta, GA | independent RIA | $4.0B | 100% | 0 | Not computed | 0 | 0 |
| M••••••• P••••••• CRD 157775 | Austin, TX | asset manager | $4.0B | 0.0% | 0 | Not computed | 2 | 0 |
| H••••• A•••• M••••••••• •••• L••• CRD 288464 | San Francisco, CA | institutional | $4.0B | 0.0% | 0 | Not computed | 1 | 2 |
| I•••••••• I••••••••• P••••••• L•••••• CRD 175312 | London, | institutional | $4.0B | 0.0% | 0 | Not computed | 0 | 2 |
| A•••••• C•••••• M••••••••• CRD 319062 | Bloomfield Hills, MI | independent RIA | $4.0B | 91% | 10 | $399M | 0 | 0 |
| N•• F••••••• A•••••••• L•• CRD 147181 | Boston, MA | asset manager | $4.0B | 2.7% | 3 | $1.3B | 0 | 0 |
| A••••• C•••••• M••••••••• L•• CRD 107930 | Clayton, MO | independent RIA | $4.0B | 86% | 6 | $665M | 0 | 0 |
| C•••••• A••••••• CRD 158819 | Southfield, MI | BD affiliated | $4.0B | 100% | 118 | $33.8M | 40 | 0 |
| T••••• P•••••••• L• CRD 312288 | New York, NY | asset manager | $4.0B | 0.0% | 0 | Not computed | 0 | 0 |
| T•••••••• C•••••• CRD 167240 | Dallas, TX | asset manager | $4.0B | 0.0% | 0 | Not computed | 1 | 19 |
| W••••••• C•••••• M••••••••• CRD 145216 | Carmel, IN | institutional | $4.0B | 10.0% | 4 | $993M | 0 | 1 |
| B•••••••• P•••••• E•••••• L•• CRD 156558 | Los Angeles, CA | asset manager | $4.0B | 0.0% | 0 | Not computed | 0 | 23 |
| A•••• F•••••••• P•••••••• L•• CRD 311990 | Winter Park, FL | mixed wealth | $4.0B | 24% | 11 | $361M | 2 | 0 |
| I• G••••• P•••••• F••• M••••••••• L•• CRD 110005 | El Segundo, CA | asset manager | $4.0B | 0.0% | 1 | $4.0B | 2 | 0 |
| N••••••• A••••••• CRD 322936 | Radnor, PA | independent RIA | $4.0B | 69% | 7 | $567M | 1 | 0 |
| T••• H•••••• L•• CRD 291194 | Foster City, CA | independent RIA | $4.0B | 62% | 23 | $172M | 2 | 0 |
| F•••••••• I•••••••• A•••••••• L•• CRD 130458 | Philadelphia, PA | institutional | $4.0B | 0.1% | 1 | $4.0B | 2 | 0 |
| I•••••• I••••••••• L•• CRD 171988 | Meridian, ID | asset manager | $4.0B | 2.0% | 12 | $330M | 3 | 0 |
| P•••••• C•••••• CRD 284342 | San Francisco, CA | asset manager | $4.0B | 0.0% | 0 | Not computed | 2 | 18 |
| S•••••• A•••• M••••••••• L•••••• CRD 164382 | St. Peter Port, | asset manager | $4.0B | 0.0% | 0 | Not computed | 0 | 2 |
| G•••• B•••• C•••••• P••••••• L•• CRD 159807 | Greenwich, CT | asset manager | $4.0B | 0.0% | 0 | Not computed | 1 | 0 |
| N•• M••••••••• L• CRD 158366 | New York, NY | asset manager | $4.0B | 0.0% | 0 | Not computed | 0 | 3 |
| S••••••• I••••••••• P••••••• A•••••••• L•• CRD 156946 | Greenwich, CT | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 6 |
| V••••• P•••• A•••••••• L•• CRD 166587 | San Francisco, CA | independent RIA | $3.9B | 97% | 6 | $656M | 0 | 1 |
| O•••• P••• A•••• M••••••••• L•• CRD 145634 | Santa Monica, CA | asset manager | $3.9B | 0.6% | 12 | $328M | 1 | 0 |
| M•••••• A••••• P••••••• L• CRD 298610 | New York, NY | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 1 |
| T•••• I••••••••• P••••••• L• CRD 161551 | New York, NY | asset manager | $3.9B | 0.0% | 0 | Not computed | 1 | 30 |
| W••••••••• C•••••• M••••••••• L•• CRD 111119 | Richmond, VA | independent RIA | $3.9B | 95% | 34 | $116M | 23 | 0 |
| P••••• A•••• M••••••••• ••••••••• P•• L•• CRD 166631 | S••••••••, | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 0 |
| H•••••• C•••••• M••••••••• L•• CRD 301293 | New York, NY | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 17 |
| A••••••• S•••••• M••••••••• L•• CRD 11085 | New York, NY | other | $3.9B | 7.4% | 1 | $3.9B | 3 | 0 |
| C•••••••• C••••••• I••• CRD 109948 | Menlo Park, CA | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 33 |
| A••••• E••••• I••••••••• M••••••••• L••• CRD 131937 | New York, NY | asset manager | $3.9B | 0.0% | 0 | Not computed | 1 | 14 |
| G••••••••• I••••••••• S••••••• CRD 338335 | Dallas, TX | institutional | $3.9B | 0.0% | 0 | Not computed | 0 | 0 |
| C•••••• I••••••••• M••••••••• L•• CRD 143599 | Stamford, CT | independent RIA | $3.9B | 90% | 11 | $355M | 0 | 0 |
| I•• A••••••• S•••••••• I••• CRD 112091 | Denver, CO | mixed wealth | $3.9B | 22% | 45 | $86.8M | 7 | 0 |
| J•••••• S•••••••• I••• CRD 106379 | Birmingham, AL | other | $3.9B | 13% | 6 | $650M | 1 | 0 |
| A••••• P•••••• W••••• A•••••••• L•• CRD 124845 | Cleveland, OH | independent RIA | $3.9B | 95% | 15 | $260M | 1 | 0 |
| S•••••• C•••••• M••••••••• L•• CRD 300095 | Miami, FL | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 1 |
| S••• V•••• P•••••••• L••• CRD 139162 | San Antonio, TX | other | $3.9B | 0.8% | 7 | $556M | 3 | 3 |
| T•• W••• C•••••• A••••••• L•• CRD 154543 | Overland Park, KS | institutional | $3.9B | 7.1% | 16 | $243M | 1 | 0 |
| M••••••••• C•••••• CRD 297235 | Lexington, KY | asset manager | $3.9B | 0.0% | 0 | Not computed | 2 | 24 |
| H••••••• C•••••• M••••••••• L•• CRD 104842 | Memphis, TN | mixed wealth | $3.9B | 33% | 12 | $323M | 1 | 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.