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 |
|---|---|---|---|---|---|---|---|---|
| Avrio Wealth LLC CRD 337579 | New York, NY | independent RIA | $27.3M | 100% | 3 | $9.1M | 0 | 0 |
| Rosecliff Capital Advisory LLC CRD 305951 | New York, NY | independent RIA | $27.3M | 100% | 1 | $27.3M | 0 | 0 |
| Global Listing Accelerator CRD 327603 | New York, NY | other | $27.0M | 0.0% | 0 | Not computed | 0 | 0 |
| M••••• M••• F•••• L•• CRD 336827 | New York, NY | asset manager | $26.9M | 3.7% | 1 | $26.9M | 0 | 1 |
| D•• A••••••• S•••••••• L•• CRD 154944 | Rhinebeck, NY | independent RIA | $26.8M | 100% | 1 | $26.8M | 0 | 0 |
| S••• H••••• A•••• M••••••••• I••• CRD 124787 | Huntington, NY | independent RIA | $26.8M | 97% | 3 | $8.9M | 0 | 0 |
| K••••••••• F•••••••• S•••••••• I•• CRD 124532 | Croton On Hudson, NY | independent RIA | $26.8M | 100% | 1 | $26.8M | 0 | 0 |
| Q•••••••• CRD 315414 | New York, NY | independent RIA | $26.6M | 100% | 0 | Not computed | 0 | 0 |
| S••••• S••••• W••••• CRD 338643 | New York, NY | independent RIA | $26.4M | 100% | 1 | $26.4M | 0 | 0 |
| I••••••••• I••• CRD 285955 | New York, NY | independent RIA | $26.2M | 100% | 0 | Not computed | 2 | 0 |
| T••••• A•••• M••••••••• L•• CRD 137140 | New York, NY | asset manager | $26.1M | 0.0% | 0 | Not computed | 0 | 0 |
| S•••• F•••••••• CRD 336660 | Canandaigua, NY | institutional | $26.0M | 0.0% | 1 | $26.0M | 0 | 0 |
| D•••••••• W••••• CRD 338575 | West Sayville, NY | independent RIA | $25.8M | 93% | 1 | $25.8M | 0 | 0 |
| F••••••• CRD 322603 | New York, NY | independent RIA | $25.2M | 100% | 18 | $1.4M | 1 | 0 |
| A••••• C•••••• M••••••••• CRD 319640 | New York, NY | other | $25.0M | 0.0% | 0 | Not computed | 0 | 0 |
| P•••••• M••••••••• L•• CRD 314627 | New York, NY | independent RIA | $22.3M | 87% | 2 | $11.2M | 0 | 0 |
| P••••• A••••••• L•• CRD 318234 | New York, NY | independent RIA | $18.8M | 100% | 8 | $2.3M | 0 | 0 |
| K••• B••••••• A•••• M••••••••• C••• CRD 105620 | New York, NY | asset manager | $18.5M | 0.0% | 0 | Not computed | 0 | 0 |
| P•• P•••••••• L•• CRD 311201 | New York, NY | asset manager | $13.3M | 0.0% | 0 | Not computed | 0 | 0 |
| M•••••••• CRD 289521 | New York, NY | independent RIA | $12.4M | 100% | 0 | Not computed | 0 | 0 |
| E• M••••• O•••••••• • C•• I••• CRD 14268 | New York, NY | independent RIA | $9.5M | 100% | 1 | $9.5M | 0 | 0 |
| J••••••••• W••••• M••••••••• S•••••••• I••• CRD 335439 | New York, NY | bank affiliated | $9.0M | 94% | 10 | $899,441 | 1 | 0 |
| T•••••• V•••••• P••••••• L•• CRD 321701 | New York, NY | asset manager | $8.6M | 0.0% | 0 | Not computed | 0 | 3 |
| M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L•• CRD 124506 | New York, NY | asset manager | $8.3M | 0.0% | 0 | Not computed | 0 | 2 |
| M••••••••• A•••••••• L•• CRD 324239 | New York, NY | independent RIA | $8.1M | 100% | 13 | $620,305 | 0 | 0 |
| S••••••••• A•••• M••••••••• L•• CRD 166252 | New York, NY | institutional | $7.5M | 0.0% | 0 | Not computed | 0 | 0 |
| H•••••• C•••••• M••••••••• L•• CRD 311411 | New York, NY | asset manager | $6.9M | 0.0% | 2 | $3.5M | 0 | 0 |
| O••••••••• C•••••• M••••••••• L•• CRD 327602 | New York, NY | other | $6.9M | 0.0% | 0 | Not computed | 0 | 1 |
| C• I••••••••• M••••••••• C••• L•• CRD 160080 | New York, NY | asset manager | $6.6M | 0.0% | 0 | Not computed | 0 | 0 |
| A••••• W••••• A••••••• G••••• L•• CRD 338618 | New York, NY | independent RIA | $6.2M | 100% | 1 | $6.2M | 0 | 0 |
| L••••••••• L•• CRD 335459 | Brooklyn, NY | asset manager | $6.0M | 0.0% | 1 | $6.0M | 0 | 0 |
| S••••••• • C••••••• L•• CRD 106317 | Lockport, NY | independent RIA | $5.8M | 100% | 1 | $5.8M | 0 | 0 |
| R•••••• W••••• I••• CRD 322894 | New York, NY | independent RIA | $5.5M | 100% | 0 | Not computed | 0 | 0 |
| 2••••••• U• L•• CRD 328136 | New York, NY | asset manager | $4.4M | 0.0% | 0 | Not computed | 0 | 0 |
| M••• I••••••••• M••••••••• C•••••• L•• CRD 312540 | Brooklyn, NY | independent RIA | $3.9M | 100% | 0 | Not computed | 0 | 0 |
| M•• P•••• F•••• L•• CRD 326791 | New York, NY | asset manager | $3.0M | 0.0% | 0 | Not computed | 0 | 0 |
| W•••• C••••••• L•• CRD 340328 | New York, NY | asset manager | $2.5M | 0.0% | 0 | Not computed | 0 | 0 |
| P•••••••• P•••••••• L•• CRD 300292 | New York, NY | independent RIA | $1.5M | 100% | 0 | Not computed | 1 | 0 |
| E••••••••• CRD 311264 | New York, NY | independent RIA | $1.4M | 100% | 1 | $1.4M | 0 | 0 |
| V••••• F•••••••• M••••••••• I••• CRD 105387 | New York, NY | BD affiliated | $473,254 | 100% | 23 | $20,576 | 0 | 0 |
| P••••••• A••••••• L•• CRD 107275 | East Syracuse, NY | asset manager | $433,140 | 0.0% | 0 | Not computed | 0 | 0 |
| P•• W•••••• L•• CRD 332215 | Clarence, NY | independent RIA | $280,000 | 100% | 2 | $140,000 | 0 | 0 |
| W••••••••• A••••••• L•• CRD 335157 | New York, NY | independent RIA | $75,931 | 100% | 0 | Not computed | 0 | 0 |
| A••••••••• W••••• M••••••••• L•• CRD 337909 | Brooklyn, NY | independent RIA | $45,580 | 100% | 1 | $45,580 | 0 | 0 |
| V••••• CRD 333196 | New York, NY | independent RIA | $40,000 | 100% | 0 | Not computed | 0 | 0 |
| O••• A•••••••• L•• CRD 337532 | New York, NY | independent RIA | $36,000 | 100% | 0 | Not computed | 0 | 0 |
| W••••••• A••••••• CRD 340058 | Brooklyn, NY | independent RIA | $27,322 | 100% | 1 | $27,322 | 0 | 0 |
| V•••• R••• A••••••• CRD 318675 | New York, NY | independent RIA | $26,526 | 100% | 0 | Not computed | 0 | 0 |
| M•••••• L•• CRD 338525 | New York, NY | independent RIA | $2,000 | 100% | 1 | $2,000 | 0 | 0 |
| Q••• V••• C••••••••• I•• CRD 104714 | Manhasset, NY | no RAUM | $0 | n/a | 0 | Not computed | 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.