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 |
|---|---|---|---|---|---|---|---|---|
| Beaumont Financial Partners CRD 322925 | Needham, MA | independent RIA | $3.8B | 76% | 16 | $235M | 3 | 0 |
| 10th Lane Partners, LP CRD 160822 | New York, NY | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 26 |
| Vector Capital Management, L.P. CRD 171172 | San Francisco, CA | asset manager | $3.8B | 0.0% | 0 | Not computed | 1 | 9 |
| F••••• C•••••• M••••••••• L•• CRD 171659 | Chicago, IL | institutional | $3.8B | 0.0% | 6 | $625M | 4 | 0 |
| K•••••••• C•••••• M••••••••• L••• CRD 304649 | Los Angeles, CA | asset manager | $3.8B | 0.0% | 0 | Not computed | 0 | 15 |
| A•••••• C•••••• M••••••••• L•• CRD 172704 | Irvine, CA | asset manager | $3.7B | 0.0% | 0 | Not computed | 1 | 10 |
| T••••••••• I••••••••• CRD 159520 | Dallas, TX | other | $3.7B | 0.0% | 3 | $1.2B | 1 | 5 |
| C•• C•••••• M••••••••• L•• CRD 319348 | Los Angeles, CA | other | $3.7B | 0.0% | 0 | Not computed | 0 | 3 |
| H•••••• C•••••• M••••••••• L•• CRD 104726 | Boston, MA | independent RIA | $3.7B | 87% | 11 | $340M | 0 | 6 |
| T•• W••••• M••••••••• L•• CRD 309370 | Houston, TX | other | $3.7B | 18% | 12 | $312M | 3 | 1 |
| S••••••• I••••••••• C•••••• I•• CRD 104693 | Plymouth, MI | asset manager | $3.7B | 1.6% | 3 | $1.2B | 1 | 0 |
| A••••• F•••••••• P•••••••• I••• CRD 7995 | Davenport, IA | independent RIA | $3.7B | 97% | 188 | $19.9M | 111 | 0 |
| A••••• C••••• O••••••••• M••••••••• L•• CRD 299542 | New York, NY | other | $3.7B | 0.0% | 0 | Not computed | 0 | 2 |
| A••••• C•••••• CRD 160212 | Wayne, PA | asset manager | $3.7B | 0.0% | 0 | Not computed | 4 | 51 |
| B•• F•••••••• P•••••• W•••••• I••• CRD 106733 | Denver, CO | independent RIA | $3.7B | 83% | 27 | $138M | 8 | 0 |
| P••••••• I••••••••• P••••••• L• CRD 282051 | Minneapolis, MN | asset manager | $3.7B | 0.0% | 0 | Not computed | 9 | 27 |
| F••••••••• M••••••••• P••••••• L• CRD 163076 | Charlotte, NC | asset manager | $3.7B | 0.0% | 0 | Not computed | 0 | 6 |
| P•••••• A•••• M••••••••• CRD 313653 | San Juan, PR | other | $3.7B | 0.0% | 12 | $309M | 0 | 1 |
| O•••• M••••••••• P••••••• L••• CRD 161167 | Toronto, | asset manager | $3.7B | 0.0% | 0 | Not computed | 1 | 17 |
| W••••• M••••••••• CRD 137080 | Norfolk, NE | mixed wealth | $3.7B | 46% | 47 | $78.9M | 29 | 0 |
| A•••••••• C•••••• G••••• L••••• CRD 135657 | New York, NY | asset manager | $3.7B | 0.0% | 0 | Not computed | 0 | 7 |
| R••••••• C•••••• I••••••••• C••••••••• CRD 166722 | Carlsbad, CA | asset manager | $3.7B | 0.0% | 1 | $3.7B | 0 | 14 |
| S••••••••• A•••• M••••••••• I••• CRD 105276 | Memphis, TN | asset manager | $3.7B | 6.3% | 0 | Not computed | 1 | 1 |
| M••••••• U• A••••••• L••• CRD 151488 | New York, NY | asset manager | $3.7B | 0.0% | 0 | Not computed | 1 | 0 |
| E•••• A•••• M••••••••• CRD 156397 | Sarasota, FL | asset manager | $3.7B | 0.0% | 0 | Not computed | 0 | 0 |
| 5• S•••• L•• CRD 135202 | Arlington, VA | asset manager | $3.7B | 0.0% | 0 | Not computed | 4 | 15 |
| G•••••••• C•••••• L• CRD 312264 | asset manager | $3.7B | 0.0% | 0 | Not computed | 1 | 1 | |
| M•••• E••••• C•••••• CRD 109310 | Dallas, TX | asset manager | $3.7B | 0.0% | 0 | Not computed | 0 | 12 |
| T•• W•••• G••••• L•• CRD 111273 | Birmingham, AL | independent RIA | $3.7B | 99% | 28 | $132M | 1 | 0 |
| S•••••• C•••••• M••••••••• L• CRD 161202 | Radnor, PA | asset manager | $3.7B | 0.0% | 0 | Not computed | 2 | 2 |
| T••••••• S••••••• A••••••• CRD 299201 | Indianapolis, IN | BD affiliated | $3.7B | 54% | 102 | $36.0M | 20 | 0 |
| F••••• S••• C•••••• U• L• CRD 332445 | Boca Raton, FL | asset manager | $3.7B | 0.0% | 0 | Not computed | 0 | 3 |
| F•••• I••••••••• S••••••• CRD 286129 | San Antonio, TX | BD affiliated | $3.7B | 58% | 161 | $22.8M | 50 | 0 |
| S••••• O•••••• A• P••• O• B•• F•••••••• G•••• CRD 111320 | Scottsdale, AZ | bank affiliated | $3.7B | 100% | 14 | $262M | 1 | 0 |
| L••••• C••••••••• CRD 324443 | Boston, MA | other | $3.7B | 0.0% | 0 | Not computed | 0 | 0 |
| S••••• C•••••• M••••••••• L••• CRD 294459 | Greenwich, CT | asset manager | $3.7B | 0.0% | 0 | Not computed | 0 | 12 |
| T•• A••••••••• L••• CRD 108905 | New York, NY | asset manager | $3.7B | 0.0% | 0 | Not computed | 0 | 7 |
| C•••••••• U•• L• CRD 291463 | New York, NY | asset manager | $3.7B | 0.0% | 0 | Not computed | 1 | 4 |
| 3•• O•• P•••••••• M••••••• L•••••• CRD 307146 | Mumbai, | independent RIA | $3.6B | 92% | 1 | $3.6B | 2 | 2 |
| V•••••• P••• C•••••• CRD 161079 | Chicago, IL | asset manager | $3.6B | 0.0% | 0 | Not computed | 0 | 26 |
| B••• A•••••••• L• CRD 282092 | Boston, MA | asset manager | $3.6B | 0.0% | 0 | Not computed | 0 | 0 |
| M•••••• L•• CRD 145777 | Beverly Hills, CA | independent RIA | $3.6B | 92% | 0 | Not computed | 0 | 0 |
| I••••••••• C•••••• A•••••••• L•• CRD 166459 | New York, NY | asset manager | $3.6B | 0.1% | 0 | Not computed | 0 | 1 |
| S• C•••••• A••••••• L•• CRD 322956 | New York, NY | asset manager | $3.6B | 0.0% | 0 | Not computed | 1 | 4 |
| F•••• S•••••• I•••••••• CRD 283670 | Barangaroo Nsw, | asset manager | $3.6B | 0.0% | 0 | Not computed | 2 | 0 |
| B•••••••• L• CRD 316988 | Stamford, CT | asset manager | $3.6B | 0.0% | 0 | Not computed | 0 | 0 |
| P••••••••• W••••• A••••••• CRD 126529 | Fort Lauderdale, FL | independent RIA | $3.6B | 58% | 18 | $202M | 5 | 0 |
| U••••• I••••••••• C••••••••• CRD 159499 | Albuquerque, NM | mixed wealth | $3.6B | 20% | 12 | $302M | 4 | 0 |
| P•••••••• E••••• P••••••• A••••••• L•• CRD 159061 | New York, NY | asset manager | $3.6B | 0.0% | 0 | Not computed | 2 | 5 |
| A••• C•••••• M••••••••• L• CRD 217520 | New York, NY | other | $3.6B | 0.0% | 0 | Not computed | 0 | 20 |
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.