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 |
|---|---|---|---|---|---|---|---|---|
| 2201 Capital, LLC CRD 341112 | New York, NY | independent RIA | $40.0M | 100% | 2 | $20.0M | 2 | 0 |
| Now Asset Management LLC CRD 341388 | Purchase, NY | other | $39.8M | 0.0% | 0 | Not computed | 0 | 0 |
| Msress III Manager, L.L.C. CRD 138602 | New York, NY | asset manager | $39.6M | 0.0% | 0 | Not computed | 16 | 1 |
| I•• W••••• M••••••••• L•• CRD 329852 | Oyster Bay, NY | independent RIA | $39.4M | 100% | 2 | $19.7M | 0 | 0 |
| G••••• C•••••• L• CRD 282023 | New York, NY | asset manager | $39.1M | 0.0% | 0 | Not computed | 0 | 3 |
| A••••• • P••••••• F••••••••• L•• CRD 143079 | Albany, NY | independent RIA | $39.1M | 99% | 1 | $39.1M | 1 | 0 |
| P••• W••••• M••••••••• CRD 332411 | Saratoga Springs, NY | independent RIA | $39.0M | 100% | 1 | $39.0M | 1 | 0 |
| C•••••••• F•••••••• P•••••••• I••• CRD 291834 | Southold, NY | independent RIA | $37.9M | 86% | 1 | $37.9M | 0 | 0 |
| A••••••• C•••••• M••••••••• ••••••••• L• CRD 325768 | New York, NY | asset manager | $37.7M | 0.0% | 2 | $18.9M | 1 | 1 |
| P•••••••• W••••• A••••••• CRD 312399 | Buffalo, NY | independent RIA | $37.6M | 90% | 2 | $18.8M | 0 | 0 |
| L•• W••••• M••••••••• L•• CRD 337537 | Staten Island, NY | independent RIA | $37.3M | 100% | 1 | $37.3M | 0 | 0 |
| P•••••••• H••••••• M••••••••• L•• CRD 321623 | New York, NY | asset manager | $37.2M | 0.0% | 0 | Not computed | 1 | 2 |
| W•••••• W••••• P•••••••• L•• CRD 319716 | New York, NY | independent RIA | $36.9M | 100% | 1 | $36.9M | 2 | 0 |
| D••• H•••• W••••• L•• CRD 159999 | Cazenovia, NY | independent RIA | $36.6M | 97% | 1 | $36.6M | 0 | 0 |
| G•••••• C•••••• A••••••• L•• CRD 329386 | New York, NY | asset manager | $36.5M | 0.0% | 0 | Not computed | 0 | 0 |
| B••••••• C•••••• L•• CRD 125121 | New York, NY | asset manager | $35.8M | 0.0% | 0 | Not computed | 0 | 0 |
| E••••••••• W••••• CRD 305431 | Buffalo, NY | independent RIA | $35.8M | 100% | 1 | $35.8M | 0 | 0 |
| R••••••• A•••••••• I••• CRD 283882 | Williamsville, NY | independent RIA | $35.6M | 100% | 2 | $17.8M | 0 | 0 |
| T•• A••••••••• F•••••• L•• CRD 325292 | New York, NY | independent RIA | $35.5M | 100% | 0 | Not computed | 1 | 0 |
| W••••••••• C•••••• I••• CRD 281725 | Staten Island, NY | independent RIA | $34.9M | 100% | 2 | $17.4M | 1 | 0 |
| B•••••••• A•••• M••••••••• L•• CRD 171274 | New York, NY | other | $34.8M | 0.0% | 0 | Not computed | 3 | 0 |
| G••••• G•••• CRD 170241 | Buffalo, NY | independent RIA | $34.7M | 98% | 0 | Not computed | 0 | 0 |
| W••••••••• C•••••• P•••••••• L•• CRD 135955 | Valhalla, NY | asset manager | $34.2M | 0.0% | 0 | Not computed | 0 | 1 |
| U•••••• A••••••• I•• CRD 341449 | Pittsford, NY | mixed wealth | $34.1M | 46% | 1 | $34.1M | 0 | 0 |
| S•••• O•• C•••••• L•• CRD 341363 | Rochester, NY | independent RIA | $33.7M | 100% | 1 | $33.7M | 0 | 0 |
| T••••• C••••••• F••• M••••••••• L• CRD 312514 | New York, NY | asset manager | $33.7M | 0.0% | 0 | Not computed | 1 | 1 |
| B••••••• S••••••••• I••• CRD 7754 | Albany, NY | independent RIA | $33.6M | 100% | 3 | $11.2M | 1 | 0 |
| S••• T••• W••••• CRD 298951 | Fairport, NY | independent RIA | $32.6M | 93% | 2 | $16.3M | 0 | 0 |
| L••••••••• P••••••• A•• A•••••• L•• CRD 334066 | Cold Spring, NY | independent RIA | $32.4M | 80% | 2 | $16.2M | 0 | 0 |
| D•• C•••••• M••••••••• L• CRD 332825 | New York, NY | asset manager | $32.2M | 0.0% | 0 | Not computed | 0 | 1 |
| M••••• C•••••• M••••••••• L•• CRD 327785 | New York, NY | independent RIA | $32.1M | 100% | 1 | $32.1M | 0 | 0 |
| C•••••••• W••••• M••••••••• L•• CRD 172938 | C••••••••, NY | independent RIA | $31.8M | 100% | 1 | $31.8M | 0 | 0 |
| K••••• P•••••••• I••••••••• L•• CRD 226658 | New York, NY | asset manager | $31.4M | 0.0% | 0 | Not computed | 0 | 0 |
| W••••••••• A••••••••• I•• CRD 107497 | White Plains, NY | asset manager | $31.2M | 0.0% | 0 | Not computed | 0 | 3 |
| M•••••• P••••••• CRD 157272 | New York, NY | asset manager | $30.8M | 0.0% | 0 | Not computed | 0 | 2 |
| U•••• A••••••• L•• CRD 136572 | Long Island City, NY | other | $30.4M | 0.0% | 1 | $30.4M | 0 | 0 |
| A••••• C•••••• M••••••••• L•• CRD 304390 | Hicksville, NY | independent RIA | $30.3M | 100% | 1 | $30.3M | 0 | 0 |
| W•••••• A••••••• G••••• I••• CRD 295320 | Chappaqua, NY | independent RIA | $30.3M | 100% | 2 | $15.1M | 1 | 0 |
| E••••• C•••••• M••••••••• CRD 284581 | Buffalo, NY | other | $30.0M | 0.0% | 0 | Not computed | 0 | 0 |
| L•••• I••••••••• A••••••• CRD 172638 | Rye, NY | independent RIA | $30.0M | 100% | 0 | Not computed | 0 | 0 |
| C••••••• A••••••• L•• CRD 327519 | Garden City, NY | independent RIA | $30.0M | 100% | 3 | $10.0M | 1 | 0 |
| O•• B•••••• P••••••• L••• CRD 157569 | New York, NY | asset manager | $30.0M | 0.0% | 0 | Not computed | 0 | 2 |
| P••• C•••••• M••••••••• CRD 330252 | Massapequa, NY | independent RIA | $29.8M | 96% | 1 | $29.8M | 0 | 0 |
| S• W••••••• C••••••• L•• CRD 173204 | New York, NY | independent RIA | $29.2M | 60% | 1 | $29.2M | 0 | 0 |
| A••••••• I••••••••• M••••••••• L• CRD 298114 | New York, NY | asset manager | $28.5M | 0.0% | 0 | Not computed | 0 | 1 |
| S•• F•••••••• S••••••• CRD 144985 | Glenville, NY | independent RIA | $28.2M | 97% | 1 | $28.2M | 0 | 0 |
| D••••••• S••••••••• L•• CRD 18975 | New York, NY | independent RIA | $28.0M | 76% | 17 | $1.6M | 0 | 0 |
| D••••••• C• CRD 310249 | White Plains, NY | asset manager | $28.0M | 0.0% | 2 | $14.0M | 0 | 0 |
| E••• A••••••• S•••••••• L•• CRD 277083 | Albany, NY | independent RIA | $27.8M | 100% | 2 | $13.9M | 0 | 0 |
| M•••••••• W••••• M••••••••• L•• CRD 291873 | Cambridge, NY | independent RIA | $27.4M | 100% | 1 | $27.4M | 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.