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 |
|---|---|---|---|---|---|---|---|---|
| Cm Wealth Advisors LLC CRD 119467 | Beachwood, OH | independent RIA | $3.6B | 50% | 5 | $719M | 0 | 30 |
| Sax Wealth Advisors, LLC CRD 119193 | Parsippany, NJ | independent RIA | $3.6B | 94% | 44 | $81.7M | 10 | 1 |
| Ehlers CRD 146385 | Minneapolis, MN | institutional | $3.6B | 0.0% | 6 | $598M | 1 | 0 |
| R•••• C•••••• CRD 158294 | Dallas, TX | asset manager | $3.6B | 0.1% | 2 | $1.8B | 0 | 3 |
| R••••••••• P••••••• O• A•••••• CRD 157222 | Plano, TX | independent RIA | $3.6B | 99% | 33 | $109M | 11 | 0 |
| T•• B••••• C•••••• CRD 106945 | Reston, VA | independent RIA | $3.6B | 84% | 37 | $97.0M | 14 | 0 |
| C•••••• C••••••• L•• CRD 282485 | Buffalo, NY | independent RIA | $3.6B | 68% | 14 | $256M | 4 | 0 |
| O•• P•••••• C••••• A••••••• L•• CRD 319664 | New York, NY | asset manager | $3.6B | 0.0% | 0 | Not computed | 2 | 0 |
| C•••••• I••••••••• M••••••••• L••• CRD 141600 | Manhattan Beach, CA | asset manager | $3.6B | 1.0% | 1 | $3.6B | 0 | 0 |
| V•••••• P•••••• W••••• CRD 169576 | Boise, ID | independent RIA | $3.6B | 85% | 20 | $179M | 2 | 11 |
| S••••• W••••• M••••••••• L•• CRD 158823 | San Francisco, CA | independent RIA | $3.6B | 100% | 4 | $895M | 1 | 0 |
| A••••• W••••• P••••••• CRD 128590 | Santa Monica, CA | independent RIA | $3.6B | 89% | 50 | $71.6M | 31 | 1 |
| C•••••• C••••••• L•• CRD 285485 | Memphis, TN | independent RIA | $3.6B | 67% | 7 | $511M | 1 | 1 |
| S•• I••••••••• M••••••••• L••• CRD 299036 | New York, NY | asset manager | $3.6B | 0.0% | 0 | Not computed | 0 | 1 |
| M••••• B•• A•••• M••••••••• L•• CRD 160882 | London, | asset manager | $3.6B | 0.0% | 0 | Not computed | 0 | 0 |
| M•• B•••••••• CRD 148467 | Boston, MA | asset manager | $3.6B | 0.0% | 0 | Not computed | 1 | 14 |
| E••••••• CRD 282189 | Boston, MA | asset manager | $3.6B | 0.0% | 0 | Not computed | 1 | 13 |
| A••••• M••••••• L•• CRD 327828 | New York, NY | other | $3.6B | 0.0% | 0 | Not computed | 28 | 0 |
| C•••••• • C•••••• L• CRD 155606 | Chicago, IL | asset manager | $3.6B | 0.0% | 0 | Not computed | 1 | 12 |
| P•• R••• E••••• CRD 172753 | Louisville, KY | asset manager | $3.6B | 0.0% | 0 | Not computed | 5 | 8 |
| A•••••••• C•••••• P••••••• L•• CRD 328009 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 9 |
| S••••• C•••••• M••••••••• I••• CRD 107097 | Dubuque, IA | independent RIA | $3.5B | 75% | 15 | $236M | 2 | 0 |
| Q••••• M••••••••• I••• CRD 161395 | Charlottesville, VA | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 2 |
| F•• I••••••••• A••••••• ••• L••• CRD 110970 | Tadworth, Surrey, | asset manager | $3.5B | 0.0% | 0 | Not computed | 1 | 0 |
| E••••• G••••• P••••••• CRD 339223 | Boston, MA | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 9 |
| L•••••• S•••••••• C•••••• CRD 314378 | Washington, DC | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 3 |
| S•• I••••••••• A••••••••• I•• CRD 105725 | Minneapolis, MN | asset manager | $3.5B | 6.0% | 0 | Not computed | 0 | 7 |
| R••••••••• P••• A•••••••• L•• CRD 122758 | Chicago, IL | mixed wealth | $3.5B | 23% | 47 | $75.3M | 30 | 0 |
| S••••••• T••• C•••••• P•••••••• L••• CRD 311555 | Dallas, TX | asset manager | $3.5B | 0.0% | 0 | Not computed | 1 | 12 |
| O•••••••• F•••••••• S••••••• L•• CRD 284549 | Birmingham, AL | independent RIA | $3.5B | 85% | 83 | $42.6M | 35 | 0 |
| B•••••••• G••••• M••••••••• L• CRD 316398 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 1 | 5 |
| V•••••••• W••••• A•••••••• L•• CRD 169610 | St. Louis, MO | independent RIA | $3.5B | 97% | 48 | $73.7M | 8 | 0 |
| M••• P•••• C•••••• L•• CRD 290266 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 9 |
| B•••••••• I••••••••• A•••••• L•• CRD 328990 | Port Washington, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 2 | 5 |
| P•••••••• C•••••• CRD 291106 | Boston, MA | asset manager | $3.5B | 0.0% | 0 | Not computed | 3 | 8 |
| G•••••••• W••••• M••••••••• L•• CRD 142820 | G••••••••, CT | independent RIA | $3.5B | 64% | 12 | $293M | 2 | 0 |
| D••• P••• R••• M••••••••• C••••••• L• CRD 140370 | Steamboat Springs, CO | asset manager | $3.5B | 0.0% | 0 | Not computed | 1 | 6 |
| B••• M••• T•••• A•••••••• L•• CRD 285359 | Philadelphia, PA | independent RIA | $3.5B | 94% | 55 | $63.9M | 8 | 0 |
| B••••••••• S•••••••• C•••••• P••••••• CRD 137813 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 2 | 89 |
| U• I••••••••• A••••••• L••• CRD 167183 | Taipei, | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 0 |
| E••••• I••••••••• C••• CRD 283930 | Atlanta, GA | independent RIA | $3.5B | 79% | 16 | $219M | 0 | 0 |
| A••••• C•••••• P••••••• L•• CRD 310641 | Houston, TX | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 11 |
| S•••••• C•••••• M••••••••• L•• CRD 160115 | Houston, TX | asset manager | $3.5B | 0.0% | 0 | Not computed | 2 | 13 |
| F•••••• G••••• L•• CRD 159541 | Boulder, CO | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 0 |
| G••••• F••••• P••••••• L• CRD 127064 | Lebanon, NH | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 17 |
| V••••• F•••• I••••••••• C••••••••• I••• CRD 123898 | Audubon, PA | mixed wealth | $3.5B | 28% | 12 | $291M | 0 | 0 |
| A•••••• R••••••• C•••••• CRD 164109 | Dallas, TX | independent RIA | $3.5B | 96% | 87 | $40.1M | 52 | 0 |
| S••••••••• A•••• I••••••••• L•• CRD 297693 | Princeton, NJ | independent RIA | $3.5B | 100% | 1 | $3.5B | 0 | 0 |
| 1••• C•••••• P•••••••• L•• CRD 144758 | Richmond, VA | other | $3.5B | 1.3% | 0 | Not computed | 0 | 5 |
| A•• E••••••••• P••••••• M••••••••• L• CRD 132753 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 1 | 5 |
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.