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 |
|---|---|---|---|---|---|---|---|---|
| Wright Investors Service Inc CRD 106302 | Shelton, CT | other | $1.2B | 3.0% | 5 | $242M | 0 | 0 |
| Sunriver Management LLC CRD 281277 | Greenwich, CT | asset manager | $1.2B | 0.0% | 0 | n/a | 0 | 2 |
| Stone Point Credit Income Adviser LLC CRD 332241 | Greenwich, CT | asset manager | $1.2B | 0.0% | 0 | n/a | 2 | 1 |
| G••••••• C•••••• P••••••• L• CRD 285325 | Stamford, CT | asset manager | $1.2B | 0.0% | 0 | n/a | 0 | 2 |
| B••••• I••••••••• M••••••••• CRD 106548 | Riverside, CT | independent RIA | $1.2B | 96% | 5 | $233M | 0 | 0 |
| T•••• V••• P•••••• W••••• CRD 335591 | Westport, CT | independent RIA | $1.2B | 100% | 7 | $165M | 0 | 0 |
| A••••••• I••••••••• P••••••• CRD 311095 | Greenwich, CT | asset manager | $1.2B | 0.0% | 0 | n/a | 0 | 6 |
| G•••••• I••••••••• G•••• L•• CRD 136792 | Darien, CT | asset manager | $1.1B | 0.0% | 0 | n/a | 0 | 5 |
| W••• L••• A•••• M••••••••• L•• CRD 335523 | Stamford, CT | institutional | $1.1B | 0.0% | 0 | n/a | 0 | 0 |
| H•• I••••••••• A••••••• I•• CRD 108614 | New Canaan, CT | independent RIA | $1.1B | 100% | 12 | $92.8M | 0 | 0 |
| S•••• B••••••• F••••••••• L•• CRD 322951 | Glastonbury, CT | mixed wealth | $1.1B | 22% | 8 | $139M | 1 | 0 |
| N•••• O•• C•••••• M••••••••• L•• CRD 106030 | Greenwich, CT | independent RIA | $1.1B | 68% | 5 | $219M | 0 | 1 |
| U••••• CRD 335515 | Darien, CT | asset manager | $1.1B | 0.0% | 0 | n/a | 0 | 6 |
| S•••••••• F•••••••• G••••• I••• CRD 294314 | Stamford, CT | independent RIA | $1.1B | 98% | 23 | $47.1M | 24 | 0 |
| F••••••• C••••••• L••••• CRD 160806 | Stamford, CT | asset manager | $1.1B | 0.0% | 0 | n/a | 0 | 12 |
| A•• A•••• M••••••••• L•• CRD 155136 | Greenwich, CT | asset manager | $1.1B | 0.0% | 0 | n/a | 1 | 2 |
| R•• I••••••••• A••••••• CRD 104674 | West Hartford, CT | independent RIA | $1.1B | 81% | 7 | $152M | 0 | 0 |
| T••••• C•••••• M••••••••• L••• CRD 150787 | Stamford, CT | asset manager | $1.1B | 3.2% | 0 | n/a | 0 | 22 |
| V••••• A••••••••• I••••••••• A•••••••• L•• CRD 143732 | Hartford, CT | asset manager | $1.1B | 0.0% | 0 | n/a | 0 | 0 |
| P••• R••• G•••• L•• CRD 288459 | Stamford, CT | asset manager | $1.1B | 0.0% | 0 | n/a | 0 | 5 |
| Q• G••••• F••••• O••••••• L•• CRD 294879 | Greenwich, CT | independent RIA | $1.0B | 89% | 0 | n/a | 2 | 0 |
| C••••••••• I••••••••• M••••••••• L•• CRD 333864 | Stamford, CT | institutional | $1.0B | 0.0% | 0 | n/a | 0 | 0 |
| N••••• P•••••• C••••• L•• CRD 300220 | Darien, CT | other | $1.0B | 0.0% | 0 | n/a | 1 | 5 |
| 1••• C•••••• L• CRD 305398 | Greenwich, CT | asset manager | $1.0B | 0.0% | 0 | n/a | 0 | 5 |
| F••••••• F•••••••• G•••• I•• CRD 105003 | West Hartford, CT | independent RIA | $1.0B | 97% | 5 | $207M | 0 | 0 |
| T•• C•••• C••••••• L• CRD 311121 | Darien, CT | asset manager | $1.0B | 0.0% | 0 | n/a | 1 | 9 |
| B••• I••••••••• L• CRD 162554 | Westport, CT | asset manager | $1.0B | 0.0% | 0 | n/a | 0 | 7 |
| V•••••• V•••• L• CRD 337379 | Westport, CT | asset manager | $1.0B | 0.0% | 0 | n/a | 0 | 0 |
| G•••••• C•••••• A•••••••• I••• CRD 108290 | Hartford, CT | institutional | $987M | 0.0% | 0 | n/a | 0 | 0 |
| C•• R••• C•••••• M••••••••• L• CRD 268817 | Greenwich, CT | asset manager | $968M | 0.0% | 0 | n/a | 0 | 2 |
| O••• C•••••• M••••••••• L•• CRD 325197 | Greenwich, CT | asset manager | $953M | 0.0% | 0 | n/a | 0 | 1 |
| C••••••••• T••••••••• L• CRD 325995 | Greenwich, CT | asset manager | $932M | 0.0% | 0 | n/a | 0 | 1 |
| S•• I••••••••• G•••• L•• CRD 134001 | Hartford, CT | independent RIA | $931M | 98% | 8 | $116M | 0 | 0 |
| I••••••••• A••••••• G•••• L•• CRD 121060 | Shelton, CT | independent RIA | $930M | 88% | 11 | $84.5M | 4 | 0 |
| C••••••••• I••••••••• A••••••• CRD 111656 | Westport, CT | mixed wealth | $921M | 49% | 3 | $307M | 0 | 0 |
| F••••••• C•••••• M••••••••• L•• CRD 118853 | Hartford, CT | independent RIA | $920M | 97% | 4 | $230M | 0 | 0 |
| R•• M••••••••• C••••••••• CRD 160360 | Westport, CT | asset manager | $913M | 0.0% | 0 | n/a | 1 | 7 |
| R•••• R••• A••••••• L•• CRD 286007 | Wilton, CT | independent RIA | $907M | 80% | 9 | $101M | 1 | 0 |
| A•••• M••••••••• G••••• I••• CRD 110116 | Stamford, CT | independent RIA | $898M | 97% | 2 | $449M | 0 | 0 |
| R••••••••• A•••••••• L•• CRD 310396 | Norwalk, CT | mixed wealth | $898M | 49% | 7 | $128M | 2 | 0 |
| G•••••••• P••••••• P•••••••• L•• CRD 299814 | Greenwich, CT | asset manager | $890M | 0.0% | 1 | $890M | 3 | 12 |
| T••• G•••• C•••••• M••••••••• L•• CRD 277052 | Westport, CT | asset manager | $876M | 0.0% | 0 | n/a | 1 | 7 |
| C••••• P•••••••• A•••••••• L•• CRD 310606 | Stamford, CT | asset manager | $859M | 0.0% | 0 | n/a | 0 | 2 |
| J••• W•••••• C•••••• P•••••••• L•• CRD 160547 | New Canaan, CT | asset manager | $859M | 0.0% | 0 | n/a | 0 | 6 |
| A•••• A•••• A•••••••• L•• CRD 161282 | Hartford, CT | asset manager | $850M | 0.0% | 0 | n/a | 0 | 0 |
| C••••••• A•••• M••••••••• L•• CRD 322174 | Stamford, CT | other | $840M | 8.7% | 0 | n/a | 1 | 6 |
| G•••••• G•••• A•••••••• L•• CRD 127357 | Stamford, CT | mixed wealth | $830M | 47% | 2 | $415M | 0 | 0 |
| H•••••• T••••••••• F•••••• CRD 153052 | Farmington, CT | asset manager | $811M | 0.0% | 0 | n/a | 1 | 0 |
| L••• • B•••••••• I••••••••• M••••••••• L•• CRD 149487 | Stamford, CT | institutional | $790M | 0.0% | 0 | n/a | 0 | 2 |
| S••••••••• C••••••• L•• CRD 285486 | Southport, CT | asset manager | $776M | 0.0% | 0 | n/a | 0 | 0 |
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506 advisers match.