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.
17,149 advisers
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Assuredpartners Investment Advisors CRD 309550 | Tampa, FL | mixed wealth | $3.9B | 32% | 33 | $118M | 17 | 0 |
| Harbourview Equity Partners, LLC CRD 315050 | Newark, NJ | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 5 |
| 140 Summer Partners LP CRD 308929 | New York, NY | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 3 |
| V••• F•••••••• A•••••••• I••• CRD 2882 | Windsor, CT | BD affiliated | $3.9B | 100% | 747 | $5.2M | 303 | 0 |
| A•••• A•••••••• L• CRD 122290 | San Antonio, TX | independent RIA | $3.9B | 86% | 3 | $1.3B | 0 | 0 |
| C•••• C•••••• P•••••••• L••• CRD 136713 | New York, NY | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 16 |
| I•••• C•••••• M••••••••• L•• CRD 156400 | New York, NY | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 8 |
| D••••••• E•••• L•• CRD 294410 | Miami, FL | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 0 |
| P••••••• C•••••• M••••••••• L• CRD 104581 | Fort Lee, NJ | mixed wealth | $3.9B | 48% | 12 | $322M | 0 | 3 |
| R••••••••• A••••••• L•• CRD 116909 | St. Louis, MO | independent RIA | $3.9B | 99% | 24 | $161M | 3 | 0 |
| A•••••• A•••• M••••••••• L•• CRD 118891 | Chicago, IL | institutional | $3.9B | 0.0% | 0 | Not computed | 0 | 0 |
| N•••••• C•••••• M••••••••• L•• CRD 298161 | Burlingame, CA | asset manager | $3.9B | 0.0% | 0 | Not computed | 0 | 27 |
| C••••• R••• A••••••• L•• CRD 331429 | Boston, MA | independent RIA | $3.9B | 70% | 0 | Not computed | 0 | 6 |
| T•••• C•••••• L•• CRD 337285 | London, | asset manager | $3.9B | 0.0% | 0 | Not computed | 1 | 2 |
| R•••••• C•••••• M••••••••• L•• CRD 120410 | Irvine, CA | asset manager | $3.9B | 0.0% | 6 | $642M | 0 | 6 |
| T••• L••• C•••••• P•••••••• L•• CRD 173784 | San Francisco, CA | asset manager | $3.8B | 0.0% | 0 | Not computed | 2 | 11 |
| B•• P•••••••• I••• CRD 119682 | Cedar Rapids, IA | BD affiliated | $3.8B | 96% | 230 | $16.7M | 135 | 0 |
| L••• L••• C•••••• CRD 309286 | Brooklyn, NY | asset manager | $3.8B | 0.0% | 0 | Not computed | 1 | 16 |
| C•••••••• A•••• M••••••••• L• CRD 167820 | Boston, MA | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 7 |
| H••• S••••••••• •••• I••• CRD 19585 | New York, NY | BD affiliated | $3.8B | 96% | 376 | $10.2M | 58 | 8 |
| N•••••• C•••••• A•••••••• L•• CRD 323642 | Minneapolis, MN | asset manager | $3.8B | 0.0% | 0 | Not computed | 1 | 12 |
| S•••••••• A••••••••• S•••••••• L•• CRD 319289 | Greenville, DE | other | $3.8B | 0.0% | 5 | $766M | 3 | 25 |
| V•••••• C•••••• M••••••••• L••• CRD 158071 | San Francisco, CA | asset manager | $3.8B | 0.0% | 0 | Not computed | 1 | 9 |
| A•••• G••••• L• CRD 323053 | New York, NY | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 1 |
| W•••••••• G••••• I••• CRD 108272 | Princeton, NJ | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 2 |
| L••••••• C•••••• P••••••• CRD 269873 | San Francisco, CA | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 12 |
| S••••• A•••• M••••••••• L••• CRD 157518 | New York, NY | asset manager | $3.8B | 0.0% | 0 | Not computed | 1 | 5 |
| J•••••••• C••••• M••••••••• L•• CRD 324525 | New York, NY | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 3 |
| H••••••• F•••••••• CRD 104545 | Kennesaw, GA | independent RIA | $3.8B | 84% | 29 | $132M | 2 | 0 |
| M••••• F••••• O••••• CRD 106806 | St Louis, MO | independent RIA | $3.8B | 95% | 41 | $93.0M | 3 | 1 |
| M••••• H••••• I••••••••• I•• CRD 105800 | Kingston, NY | mixed wealth | $3.8B | 22% | 4 | $953M | 0 | 0 |
| T••••••• A•••• M••••••••• I•• CRD 105899 | Jacksonville, FL | independent RIA | $3.8B | 72% | 4 | $951M | 3 | 1 |
| G••••••• P••• G••••• A••••••• CRD 158270 | Salt Lake City, UT | asset manager | $3.8B | 0.0% | 16 | $238M | 3 | 2 |
| K•••••••• W••••• A•••••••• L•• CRD 288792 | San Diego, CA | BD affiliated | $3.8B | 97% | 123 | $30.9M | 43 | 0 |
| V•• B••••• A•• A••••••••• I••• CRD 128221 | Montreal, Quebec, | institutional | $3.8B | 0.4% | 0 | Not computed | 0 | 0 |
| A•••• A•••• M••••••••• L•• CRD 329119 | London, | asset manager | $3.8B | 1.8% | 0 | Not computed | 0 | 0 |
| H•••••• G••••• I••••••••• L•••••• CRD 157964 | Hong Kong, | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 0 |
| S•• G•••••• I••••••••• M••••••••• CRD 155186 | Springfield, MA | independent RIA | $3.8B | 93% | 29 | $131M | 5 | 0 |
| H••••• G•••• I••••••••• L•• CRD 285895 | Norfolk, VA | asset manager | $3.8B | 0.0% | 0 | Not computed | 3 | 74 |
| S•••••• H•••••• F••• M•••••• L•• CRD 334006 | Toledo, OH | asset manager | $3.8B | 0.0% | 0 | Not computed | 2 | 4 |
| I••••••• I•• L••• CRD 310727 | Hamilton, | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 9 |
| H••••••• H•••••••• I••• CRD 283258 | Atlanta, GA | asset manager | $3.8B | 0.0% | 0 | Not computed | 3 | 0 |
| S••••••• F••• A•••••••• I••• CRD 327262 | New York, NY | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 4 |
| C••• A•• A•••• M••••••••• CRD 284056 | London, | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 3 |
| H••••••••• R•••••• M••••••••• L•• CRD 169355 | New York, NY | asset manager | $3.8B | 0.0% | 0 | Not computed | 4 | 11 |
| F•• W••••• P•••••••• I••• CRD 109796 | Leawood, KS | independent RIA | $3.8B | 97% | 23 | $164M | 0 | 0 |
| M•••• C•••••• CRD 158782 | Omaha, NE | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 11 |
| N••• P•••••••• L• CRD 323847 | San Diego, CA | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 8 |
| P••••• C•••••• CRD 310241 | Raleigh, NC | asset manager | $3.8B | 0.0% | 0 | Not computed | 1 | 17 |
| G•• A••••••• L•• CRD 143110 | Houston, TX | mixed wealth | $3.8B | 36% | 10 | $376M | 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.