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 |
|---|---|---|---|---|---|---|---|---|
| Northern Trust Securities, Inc CRD 7927 | Chicago, IL | BD affiliated | $1.7B | 98% | 97 | $17.1M | 29 | 0 |
| Lpc Realty Advisors I, LLC CRD 112175 | Chicago, IL | institutional | $1.6B | 0.0% | 0 | n/a | 0 | 0 |
| Creation Investments CRD 171581 | Chicago, IL | asset manager | $1.6B | 0.0% | 0 | n/a | 3 | 7 |
| P•••• H•••• S••••••• I••• CRD 107310 | Chicago, IL | independent RIA | $1.6B | 96% | 8 | $194M | 4 | 0 |
| K••••••• C•••••• CRD 314798 | Chicago, IL | asset manager | $1.6B | 0.0% | 0 | n/a | 0 | 4 |
| R••••• W••••• M••••••••• CRD 3215 | Evanston, IL | independent RIA | $1.5B | 94% | 11 | $140M | 0 | 0 |
| A•••• A••••••••• L•• CRD 314178 | Chicago, IL | asset manager | $1.5B | 0.0% | 0 | n/a | 2 | 6 |
| A••••••• C•••••• S••••••••• L•• CRD 164482 | Swansea, IL | independent RIA | $1.5B | 80% | 16 | $93.1M | 2 | 0 |
| O•••••• C•••••• P•••••••• L•• CRD 160054 | Chicago, IL | asset manager | $1.5B | 0.0% | 1 | $1.5B | 2 | 16 |
| M•••••• A•••• A•••••••• I••• CRD 107694 | Chicago, IL | independent RIA | $1.5B | 70% | 5 | $291M | 6 | 0 |
| D••••• A•••• M••••••••• CRD 169056 | Chicago, IL | other | $1.4B | 1.0% | 0 | n/a | 0 | 2 |
| F•••• I••••••••• A•••••••• L•• CRD 156981 | Evanston, IL | asset manager | $1.4B | 0.0% | 0 | n/a | 3 | 2 |
| P••••••• I••••••••• L•• CRD 286178 | Deerfield, IL | independent RIA | $1.4B | 63% | 5 | $288M | 0 | 2 |
| S••••••• C•••••• P••••••• CRD 299035 | Chicago, IL | asset manager | $1.4B | 0.0% | 0 | n/a | 0 | 0 |
| F••••••• W••••• A•••••••• L•• CRD 169613 | Chicago, IL | independent RIA | $1.4B | 96% | 45 | $31.6M | 28 | 2 |
| T••••••• I••••••••• CRD 306600 | Chicago, IL | asset manager | $1.4B | 0.0% | 2 | $710M | 0 | 0 |
| V••••••• Q••••••••• M••••••••• CRD 310355 | Chicago, IL | independent RIA | $1.4B | 97% | 0 | n/a | 0 | 1 |
| P•••• C•••••• P••••••• L•• CRD 335324 | Chicago, IL | other | $1.4B | 0.0% | 1 | $1.4B | 1 | 0 |
| E••••• I••••••••• CRD 156961 | Chicago, IL | asset manager | $1.4B | 0.0% | 0 | n/a | 0 | 13 |
| I•••••••• W••••• A•••••••• L•• CRD 165174 | Libertyville, IL | independent RIA | $1.4B | 98% | 10 | $139M | 1 | 0 |
| S• C•••••• M••••••••• L•• CRD 134471 | Chicago, IL | asset manager | $1.4B | 0.0% | 0 | n/a | 1 | 3 |
| T•• P••••••• C•••••• I••• CRD 118994 | Moline, IL | independent RIA | $1.4B | 96% | 10 | $137M | 6 | 0 |
| I••••••• M••••••••• I••• CRD 330151 | Chicago, IL | asset manager | $1.3B | 0.0% | 0 | n/a | 0 | 4 |
| I••••••••• O••••••••• P•••••••• L•• CRD 156994 | Evanston, IL | asset manager | $1.3B | 0.0% | 0 | n/a | 0 | 3 |
| S••••• C•••••• L•• CRD 167497 | Chicago, IL | independent RIA | $1.3B | 100% | 0 | n/a | 0 | 1 |
| O•• C•• M••••••••• I•• L•• CRD 323411 | Chicago, IL | asset manager | $1.3B | 0.0% | 0 | n/a | 2 | 5 |
| U•••• F•••••••• A••••••• C••••••••• CRD 110057 | Chicago, IL | independent RIA | $1.3B | 96% | 3 | $425M | 0 | 0 |
| K•• W••••• A••••••• CRD 117935 | Springfield, IL | independent RIA | $1.3B | 98% | 14 | $91.0M | 1 | 0 |
| P••••• A•••• M••••••••• L•• CRD 165478 | Chicago, IL | asset manager | $1.3B | 0.0% | 0 | n/a | 0 | 21 |
| C•••••• O••••••• F•••••••• G•••• CRD 333344 | Oak Brook, IL | independent RIA | $1.2B | 92% | 10 | $121M | 1 | 0 |
| S••••• F•••••••• CRD 142640 | Springfield, IL | independent RIA | $1.2B | 94% | 21 | $56.2M | 10 | 0 |
| E•••••••• W••••• CRD 168998 | Springfield, IL | independent RIA | $1.2B | 51% | 6 | $197M | 1 | 0 |
| A•• P••••••• L•• CRD 283081 | Chicago, IL | asset manager | $1.2B | 0.0% | 0 | n/a | 0 | 0 |
| L••• S••••• CRD 296761 | Chicago, IL | independent RIA | $1.2B | 87% | 6 | $193M | 2 | 0 |
| E•••••••• C•••••• M••••••••• L•• CRD 287958 | Warrenville, IL | asset manager | $1.2B | 0.0% | 0 | n/a | 0 | 1 |
| W••••••• M••••••••• L• CRD 283479 | Chicago, IL | asset manager | $1.1B | 0.0% | 0 | n/a | 1 | 1 |
| A••••• M• C•••• • A••••••••• L•• CRD 105894 | Northbrook, IL | independent RIA | $1.1B | 100% | 3 | $371M | 0 | 0 |
| R•••••••• C•••••• A•••••••• L•• CRD 157117 | Chicago, IL | independent RIA | $1.1B | 100% | 3 | $368M | 0 | 0 |
| C•••• C•••••• CRD 339112 | Chicago, IL | independent RIA | $1.1B | 99% | 7 | $157M | 3 | 0 |
| N•• H••••• C•••••• CRD 283319 | Chicago, IL | asset manager | $1.1B | 0.0% | 0 | n/a | 0 | 11 |
| H••••• C•••••• M••••••••• CRD 309050 | Lombard, IL | independent RIA | $1.1B | 69% | 7 | $156M | 1 | 1 |
| M•• R•••• C•••••• CRD 166007 | Chicago, IL | asset manager | $1.1B | 0.0% | 0 | n/a | 0 | 6 |
| H•••••• W••••• M••••••••• CRD 170255 | La Grange, IL | independent RIA | $1.1B | 96% | 6 | $180M | 1 | 0 |
| G•••••••• F•••••••• G••••• L•• CRD 222520 | Oakbrook Terrace, IL | independent RIA | $1.1B | 100% | 17 | $62.0M | 16 | 0 |
| L•••••• O•• I••••••••• M••••••••• CRD 304290 | L••••••Ville, IL | asset manager | $1.1B | 0.0% | 15 | $70.1M | 18 | 0 |
| C•••• CRD 110593 | Glenview, IL | independent RIA | $1.0B | 100% | 11 | $95.4M | 6 | 0 |
| F••• S••••••• A••••••• L•• CRD 151139 | Highland Park, IL | independent RIA | $1.0B | 93% | 8 | $129M | 0 | 1 |
| R••••• G••••• C•••••• L•• CRD 281514 | Chicago, IL | asset manager | $1.0B | 0.0% | 0 | n/a | 2 | 1 |
| B•• A•••• M••••••••• L•• CRD 310632 | Springfield, IL | mixed wealth | $1.0B | 46% | 10 | $103M | 3 | 0 |
| V••••• P••••••• CRD 316839 | Downers Grove, IL | independent RIA | $1.0B | 100% | 13 | $77.8M | 1 | 0 |
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678 advisers match.