DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Firms
SEC-registered investment advisers
One 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.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Primecap Management Co CRD 105516 | Pasadena, CA | asset manager | $139B | 0.0% | 0 | n/a | 0 | 0 |
| Capital Bank And Trust Company CRD 170017 | Irvine, CA | asset manager | $139B | 2.4% | 0 | n/a | 0 | 0 |
| Cambridge Investment Research Advisors, Inc. CRD 134139 | Fairfield, IA | BD affiliated | $139B | 97% | 3,941 | $35.2M | 2,339 | 0 |
| C••••• I••••••••• U• L• CRD 157589 | New York, NY | asset manager | $137B | 0.0% | 0 | n/a | 5 | 0 |
| F•••• E•••• I••••••••• M••••••••• L•• CRD 108260 | New York, NY | asset manager | $136B | 0.0% | 0 | n/a | 6 | 6 |
| R•••••••• A••••••• CRD 107151 | Boston, MA | institutional | $136B | 0.0% | 0 | n/a | 0 | 24 |
| R•••••••• CRD 124925 | Liverpool, | independent RIA | $135B | 64% | 0 | n/a | 18 | 0 |
| G•••••• S•••• • C•• L•• CRD 361 | New York, NY | wirehouse | $134B | 38% | 0 | n/a | 18 | 0 |
| A•••• A•••• M••••••••• L•• CRD 304316 | New York, NY | asset manager | $133B | 0.0% | 0 | n/a | 0 | 1 |
| B••••••••• I••••••••• A•••••••• L•• CRD 107312 | Charlotte, NC | asset manager | $133B | 1.1% | 0 | n/a | 0 | 0 |
| B••••••••• R••• E••••• A••••••• L••• CRD 142979 | New York, NY | asset manager | $131B | 0.0% | 0 | n/a | 14 | 0 |
| I••••• R••••••• • M••••••••• CRD 104863 | Boston, MA | other | $131B | 3.9% | 0 | n/a | 0 | 15 |
| N••••• O•• U• L•••••• CRD 158310 | London, | other | $130B | 0.0% | 0 | n/a | 0 | 0 |
| T••••••• F•••••••• F•• L•••••••• CRD 115785 | Minneapolis, MN | other | $129B | 0.0% | 0 | n/a | 1 | 1 |
| E•••••• I••••••••• M••••••••• L••• CRD 307151 | West Palm Beach, FL | asset manager | $129B | 0.0% | 0 | n/a | 0 | 13 |
| V•• E•• A••••••••• C•••• CRD 105080 | New York, NY | asset manager | $126B | 0.0% | 0 | n/a | 0 | 0 |
| M•••••• CRD 140195 | Overland Park, KS | BD affiliated | $125B | 92% | 984 | $127M | 130 | 2 |
| G•••••• A••••••• S•••••• C••••••• L••• CRD 133536 | New York, NY | asset manager | $125B | 1.2% | 0 | n/a | 28 | 334 |
| B•••• A••••••• CRD 110181 | Baltimore, MD | mixed wealth | $124B | 39% | 25 | $5.0B | 13 | 3 |
| G• O••• A••••••• L•• CRD 289425 | Chicago, IL | asset manager | $124B | 0.0% | 0 | n/a | 10 | 92 |
| H••••••• I••••••••• M••••••••• C•••••• CRD 106699 | Hartford, CT | institutional | $124B | 0.0% | 0 | n/a | 2 | 13 |
| W••••• E••••••••• A••••••• S•••••••• L•• CRD 116407 | Plymouth, MN | BD affiliated | $122B | 91% | 1,013 | $121M | 184 | 0 |
| S•••••• C••••••• L•• CRD 151480 | West Palm Beach, FL | other | $122B | 0.0% | 1 | $122B | 0 | 3 |
| S•••••• F•••••••• G•••• A•••• M••••••••• L•• CRD 321109 | West Des Moines, IA | institutional | $122B | 0.0% | 0 | n/a | 1 | 0 |
| C••••••••• I••••••••• I••••••••• •••••• L•• CRD 150088 | Jersey City, NJ | institutional | $121B | 0.0% | 0 | n/a | 12 | 13 |
| N•• Y••• L••• I••••••••• M••••••••• L•• CRD 109591 | New York, NY | asset manager | $121B | 0.5% | 88 | $1.4B | 0 | 0 |
| L••••• A•••• M••••••••• L•• CRD 122836 | New York, NY | other | $121B | 5.9% | 32 | $3.8B | 2 | 66 |
| S••••• L••• T••••••••• M••••••••• L•• CRD 161206 | Menlo Park, CA | asset manager | $118B | 0.0% | 0 | n/a | 1 | 38 |
| I••••• C••••••• L•• CRD 159198 | San Francisco, CA | asset manager | $118B | 9.2% | 85 | $1.4B | 2 | 351 |
| P••••• I••••••••• M••••••••• L•• CRD 106629 | Boston, MA | asset manager | $117B | 3.2% | 57 | $2.1B | 0 | 0 |
| I•••• A•••• M••••••••• CRD 312825 | Mumbai, Maharashtra, | asset manager | $117B | 2.1% | 0 | n/a | 1 | 0 |
| B••••• P••••••• CRD 124982 | Boston, MA | asset manager | $116B | 0.4% | 0 | n/a | 3 | 4 |
| T•• A••••• G••••• CRD 131940 | New York, NY | asset manager | $116B | 0.0% | 2 | $58B | 18 | 237 |
| M•• I•••••••• S•••••••• L•• CRD 10409 | Springfield, MA | BD affiliated | $116B | 97% | 5,082 | $22.8M | 1,093 | 0 |
| R••••• C••••••• M••••••••• L•••••• CRD 110893 | London, | institutional | $114B | 0.0% | 0 | n/a | 2 | 0 |
| M•• I••••••••• A••••••• I••• CRD 107144 | Boston, MA | other | $114B | 2.8% | 52 | $2.2B | 0 | 6 |
| N•• E•••••• A•••• M••••••••• I••• CRD 105900 | Farmington, CT | institutional | $112B | 0.0% | 1 | $112B | 0 | 3 |
| P••• Q••••••••• S•••••••• CRD 129752 | Newark, NJ | asset manager | $111B | 0.0% | 0 | n/a | 0 | 4 |
| H•••••• • F••••••• L•• CRD 158614 | San Francisco, CA | asset manager | $110B | 0.0% | 0 | n/a | 1 | 45 |
| P•••••••• CRD 151736 | Englewood, NJ | independent RIA | $110B | 83% | 201 | $549M | 18 | 161 |
| J••••• M••••••••• S•••• L•• CRD 463 | Philadelphia, PA | BD affiliated | $110B | 89% | 1,340 | $82.2M | 138 | 0 |
| H••••• • O•••••• CRD 106960 | Chicago, IL | asset manager | $109B | 6.6% | 4 | $27B | 0 | 2 |
| W•••••• P••••• L•• CRD 156945 | New York, NY | asset manager | $109B | 0.0% | 0 | n/a | 1 | 213 |
| N•••••• A•••••••• L•• CRD 106800 | Boston, MA | BD affiliated | $109B | 90% | 57 | $1.9B | 3 | 0 |
| S•••••••• G•••• L• CRD 143635 | La Jolla, CA | asset manager | $108B | 0.0% | 0 | n/a | 9 | 409 |
| B•• C••••• A•• I•••••••• S•••••••• A•••••• L•• CRD 312792 | New York, NY | institutional | $107B | 0.0% | 0 | n/a | 36 | 1 |
| C••••••• I••• CRD 107423 | Hartford, CT | institutional | $107B | 0.0% | 1 | $107B | 1 | 0 |
| T•••• I••••••••• C••••••••• CRD 159792 | Stamford, CT | asset manager | $107B | 0.0% | 0 | n/a | 6 | 10 |
| A••••••••• H••••••• CRD 160489 | Menlo Park, CA | asset manager | $106B | 0.0% | 0 | n/a | 4 | 119 |
| V•••• E••••• P••••••• M••••••••• L•• CRD 156973 | San Francisco, CA | asset manager | $106B | 0.0% | 0 | n/a | 3 | 0 |
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17,149 advisers match.