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 |
|---|---|---|---|---|---|---|---|---|
| Audax Private Debt CRD 159458 | New York, NY | asset manager | $26B | 0.0% | 0 | Not computed | 1 | 56 |
| Cvc Advisors (U.S.) Inc. CRD 174050 | New York, NY | asset manager | $26B | 0.0% | 0 | Not computed | 5 | 0 |
| Alkeon Capital Management, LLC CRD 118059 | New York, NY | asset manager | $25B | 0.0% | 0 | Not computed | 3 | 26 |
| P••••••• S••••• C•••••• M••••••••• L••• CRD 132982 | New York, NY | asset manager | $25B | 0.0% | 1 | $25B | 0 | 4 |
| J•••••••• F•••••• L•• CRD 162264 | New York, NY | asset manager | $25B | 0.0% | 0 | Not computed | 0 | 50 |
| G•••••• F••••• L•• CRD 104949 | Rye, NY | asset manager | $25B | 0.0% | 3 | $8.2B | 2 | 4 |
| B•••• H•••• I••••••••• L••• CRD 29278 | Rye Brook, NY | independent RIA | $24B | 84% | 20 | $1.2B | 0 | 1 |
| E•••••• A•••• M••••••••• L•• CRD 297926 | New York, NY | asset manager | $24B | 0.0% | 0 | Not computed | 0 | 52 |
| B••••••••• L•• CRD 322260 | New York, NY | asset manager | $24B | 0.0% | 0 | Not computed | 1 | 13 |
| B•• U• R••• E••••• L• CRD 157034 | New York, NY | asset manager | $24B | 0.0% | 0 | Not computed | 8 | 82 |
| M•••• C•••••• M••••••••• L• CRD 160188 | New York, NY | asset manager | $24B | 0.0% | 0 | Not computed | 2 | 5 |
| T••••••••• A•••• M••••••••• ••• L• CRD 285791 | New York, NY | asset manager | $23B | 0.0% | 0 | Not computed | 0 | 1 |
| N•• H•••••• C••••••• L•• CRD 160211 | New York, NY | asset manager | $23B | 0.0% | 0 | Not computed | 0 | 0 |
| E•••••••• G••• M•••••• L• CRD 172249 | New York, NY | asset manager | $23B | 0.0% | 1 | $23B | 7 | 1 |
| C••• I••••••••• M••••••••• CRD 109981 | New York, NY | asset manager | $23B | 0.0% | 0 | Not computed | 5 | 17 |
| M•• C•••••• A•••••••• L•• CRD 153586 | Rockville Centre, NY | institutional | $23B | 0.0% | 0 | Not computed | 0 | 0 |
| C•• S•••••••• P••••••• •••••• L•• CRD 289554 | New York, NY | asset manager | $22B | 0.0% | 0 | Not computed | 0 | 22 |
| W•••••••• A•••• M••••••••• L•• CRD 137746 | New York, NY | asset manager | $22B | 0.0% | 0 | Not computed | 0 | 31 |
| D•••• S••••••• A••••••• • N•• I••• CRD 106659 | New York, NY | asset manager | $22B | 0.3% | 0 | Not computed | 1 | 0 |
| E••••••••• P••••••• L••• CRD 131728 | New York, NY | independent RIA | $22B | 71% | 0 | Not computed | 1 | 51 |
| O••••••••• A•••• M••••••••• CRD 105559 | New York, NY | BD affiliated | $21B | 82% | 5 | $4.3B | 2 | 0 |
| M•• P•••••••• L••• CRD 161664 | New York, NY | asset manager | $21B | 0.0% | 0 | Not computed | 12 | 53 |
| C••••• P••••••• O••• L•• CRD 151916 | New York, NY | institutional | $21B | 0.0% | 2 | $11B | 2 | 1 |
| C•••••• C••••••• L• CRD 286299 | New York, NY | asset manager | $21B | 0.0% | 0 | Not computed | 11 | 1 |
| O•••••• A••••••• L•• CRD 118608 | New York, NY | asset manager | $21B | 0.0% | 0 | Not computed | 6 | 24 |
| O•••• C•••••• CRD 144474 | New York, NY | independent RIA | $21B | 66% | 1 | $21B | 1 | 123 |
| V••••••• A•••• M••••••••• I••• CRD 105007 | New York, NY | other | $20B | 0.0% | 0 | Not computed | 1 | 1 |
| H•••••• P•••••••• L• CRD 158284 | New York, NY | asset manager | $20B | 0.0% | 0 | Not computed | 2 | 39 |
| B••••••• V•••••• P••••••• CRD 159279 | Larchmont, NY | asset manager | $20B | 0.0% | 0 | Not computed | 10 | 37 |
| R•••• C•••••• M••••••••• ••• L• CRD 306046 | New York City, NY | asset manager | $20B | 0.0% | 0 | Not computed | 0 | 2 |
| M••••• O• A•••••• C•••••• M••••••••• L•• CRD 106523 | New York, NY | asset manager | $20B | 0.0% | 0 | Not computed | 0 | 0 |
| B••••••••• A••••••••• S•••••••• L••••• CRD 158784 | New York, NY | asset manager | $20B | 0.0% | 0 | Not computed | 6 | 39 |
| B••• A••••••• L••••• CRD 288050 | New York, NY | asset manager | $20B | 0.0% | 0 | Not computed | 6 | 0 |
| S••••• T•••• A•••••••• L•• CRD 220519 | New York, NY | independent RIA | $20B | 83% | 30 | $665M | 16 | 0 |
| R••••• C••••••• M••••••••• I•• CRD 171338 | New York, NY | institutional | $20B | 0.0% | 0 | Not computed | 0 | 0 |
| R•••••• P••••• S••••••••• L•• CRD 335070 | New York, NY | asset manager | $20B | 0.0% | 0 | Not computed | 0 | 2 |
| P••• A••••• S••••••••• L•• CRD 46173 | New York, NY | BD affiliated | $20B | 95% | 1,911 | $10.2M | 543 | 0 |
| E•••••• C•••••• •••• L• CRD 297738 | New York, NY | asset manager | $20B | 0.0% | 0 | Not computed | 1 | 0 |
| P•• P•••••••• L•• CRD 163776 | New York, NY | asset manager | $19B | 0.0% | 0 | Not computed | 1 | 4 |
| D•••••••• M••••••••• C•••••• CRD 157876 | New York, NY | asset manager | $19B | 0.0% | 0 | Not computed | 1 | 12 |
| K•• C•••••• P•••••••• L• CRD 157678 | New York, NY | asset manager | $19B | 0.0% | 0 | Not computed | 7 | 15 |
| K••••••••• C•••••• M••••••••• L•• CRD 157483 | New York, NY | asset manager | $19B | 0.0% | 0 | Not computed | 2 | 12 |
| A••••••• S••••••••• L•• CRD 160648 | New York, NY | asset manager | $19B | 0.0% | 0 | Not computed | 1 | 22 |
| P••• S••••• C•••••• U•• L• CRD 338573 | New York, NY | asset manager | $19B | 0.0% | 0 | Not computed | 1 | 36 |
| C•••••••• I••••••••• G•••• L•• CRD 147417 | New York, NY | mixed wealth | $19B | 28% | 1 | $19B | 2 | 0 |
| B••••••••• L••••• C••••• S••••••••• L•• CRD 144537 | New York, NY | other | $19B | 10% | 0 | Not computed | 5 | 24 |
| R•••••• P••••• M••••••• L•• CRD 334982 | New York, NY | asset manager | $19B | 0.0% | 0 | Not computed | 0 | 0 |
| S••• C•••••• M••••••••• L••• CRD 154362 | New York, NY | asset manager | $18B | 0.0% | 0 | Not computed | 1 | 12 |
| A•••• C••••••• L• CRD 175054 | New York, NY | institutional | $18B | 0.0% | 0 | Not computed | 4 | 11 |
| S•••••• G••• A••••••• L•• CRD 106788 | New York, NY | asset manager | $18B | 0.0% | 0 | Not computed | 13 | 139 |
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.