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 |
|---|---|---|---|---|---|---|---|---|
| Kathmere Capital Management, LLC CRD 305118 | Wayne, PA | independent RIA | $3.5B | 65% | 16 | $217M | 0 | 1 |
| Fcp CRD 161468 | Chevy Chase, MD | asset manager | $3.5B | 0.0% | 0 | Not computed | 4 | 7 |
| Arbor Investments Management, LLC CRD 157442 | Palm Beach, FL | asset manager | $3.5B | 0.0% | 0 | Not computed | 1 | 11 |
| D••••••••• A••••••••• L• CRD 175212 | Tampa, FL | asset manager | $3.5B | 0.6% | 0 | Not computed | 1 | 0 |
| M••• P••• P••••••• CRD 172703 | San Francisco, CA | asset manager | $3.5B | 0.0% | 0 | Not computed | 1 | 7 |
| C••••• C••••• M••••••••• L•• CRD 307632 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 5 | 8 |
| A•••• I••••••••• M••••••••• CRD 312601 | Sydney, Nsw, | other | $3.5B | 0.0% | 0 | Not computed | 1 | 0 |
| P••••••• C•••••• L• CRD 300897 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 9 |
| B••••••• F••••• O•••••• L•• CRD 167174 | Charlotte, NC | independent RIA | $3.5B | 99% | 16 | $217M | 1 | 0 |
| M••••• W••••• CRD 141250 | Calabasas, CA | independent RIA | $3.5B | 92% | 31 | $112M | 0 | 1 |
| D•••••••• C•••••• M••••••••• L•• CRD 106131 | Evansville, IN | independent RIA | $3.5B | 84% | 46 | $75.3M | 3 | 0 |
| F••••••• A•••••••• L•• CRD 172036 | Washington, DC | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 0 |
| C••••• A•••• M••••••••• L•• CRD 131445 | New York, NY | mixed wealth | $3.5B | 41% | 11 | $315M | 6 | 0 |
| B••••••• F••• A••••••• L•• CRD 165015 | New York, NY | asset manager | $3.5B | 0.0% | 0 | Not computed | 0 | 0 |
| S•••• R•••• • C••• I••• CRD 3254 | Rochester, NY | independent RIA | $3.5B | 95% | 45 | $76.8M | 0 | 0 |
| T••••••• C•••••• I••••••••• A••••••• L••• CRD 316597 | Hamilton, | asset manager | $3.5B | 0.0% | 0 | Not computed | 1 | 4 |
| T••••• I••••••••• A••••••• I•• CRD 109392 | Charleston, SC | independent RIA | $3.5B | 94% | 12 | $288M | 0 | 0 |
| D••••••• P•••••••• F•••••• L•• CRD 328057 | New York, NY | asset manager | $3.4B | 0.0% | 0 | Not computed | 2 | 0 |
| W•••••• P•••••• C•••••• CRD 305815 | West Chester, PA | independent RIA | $3.4B | 100% | 12 | $287M | 10 | 0 |
| T•••• C•••••• CRD 304697 | San Mateo, CA | asset manager | $3.4B | 0.0% | 0 | Not computed | 0 | 0 |
| A••••• W••••• M••••••••• CRD 42057 | Lowell, AR | independent RIA | $3.4B | 85% | 205 | $16.8M | 178 | 0 |
| M•••• • C••••• I•• CRD 594 | Boston, MA | BD affiliated | $3.4B | 92% | 82 | $41.9M | 30 | 0 |
| D•••••••• D•••••• M••••••••• L•• CRD 300750 | San Francisco, CA | asset manager | $3.4B | 0.0% | 0 | Not computed | 1 | 7 |
| C•••••• V•••• A••••••• L•• CRD 146023 | Winter Park, FL | other | $3.4B | 0.0% | 1 | $3.4B | 0 | 0 |
| E•••• C••••••• L•• CRD 167121 | San Francisco, CA | asset manager | $3.4B | 0.0% | 0 | Not computed | 0 | 3 |
| S•••• S••••• S•••••••• L•••••• A•••••••• L•• CRD 155006 | Dallas, TX | asset manager | $3.4B | 0.0% | 0 | Not computed | 5 | 0 |
| F••••••• H••••• A•••••••• L•• CRD 155733 | Boston, MA | independent RIA | $3.4B | 99% | 60 | $57.0M | 36 | 0 |
| C••••• L•••• I••••••••• P•••••••• L•• CRD 297213 | Greenwich, CT | independent RIA | $3.4B | 99% | 4 | $853M | 0 | 0 |
| H••• P••• C•••••• L• CRD 281794 | New York, NY | asset manager | $3.4B | 0.0% | 0 | Not computed | 1 | 19 |
| C•••••• M••••••••• L•• CRD 173841 | Oklahoma City, OK | asset manager | $3.4B | 0.0% | 0 | Not computed | 2 | 1 |
| L•••••• I••••••••• M••••••••• I••• CRD 107890 | Mobile, AL | independent RIA | $3.4B | 70% | 25 | $136M | 7 | 0 |
| F••••• R••••••• A••••••• L•• CRD 124147 | Palo Alto, CA | independent RIA | $3.4B | 100% | 3 | $1.1B | 3 | 0 |
| L••••••• C•••••• M••••••••• L• CRD 156429 | New York, NY | asset manager | $3.4B | 0.0% | 0 | Not computed | 1 | 1 |
| S•••• S•••• M••••••••• I•• CRD 112379 | Greenwich, CT | other | $3.4B | 0.1% | 1 | $3.4B | 0 | 1 |
| F•••• C•••• P••••••• I•• CRD 323679 | Montreal, Quebec, | asset manager | $3.4B | 0.0% | 0 | Not computed | 0 | 4 |
| N•• M••••••• C••••• C•• A•••••••• L••••• CRD 307111 | New York, NY | asset manager | $3.4B | 0.0% | 0 | Not computed | 8 | 8 |
| K••• L••• L• CRD 306657 | San Francisco, CA | asset manager | $3.4B | 0.0% | 0 | Not computed | 0 | 22 |
| G•••• C•••••• CRD 169890 | Southlake, TX | asset manager | $3.4B | 0.0% | 0 | Not computed | 0 | 10 |
| I•••••••• C•••••• M••••••••• L• CRD 287617 | Boston, MA | asset manager | $3.4B | 0.0% | 0 | Not computed | 0 | 2 |
| C•••• K••••••••• L•• CRD 148428 | New York, NY | asset manager | $3.4B | 4.1% | 0 | Not computed | 0 | 1 |
| U•••••• V••••••• CRD 175144 | Los Angeles, CA | asset manager | $3.4B | 0.0% | 0 | Not computed | 0 | 25 |
| S••••••• C•••••• P•••••••• L•• CRD 158671 | Larkspur, CA | asset manager | $3.4B | 0.0% | 0 | Not computed | 0 | 0 |
| S••••• E••••• P••••••• CRD 172955 | San Mateo, CA | asset manager | $3.4B | 0.0% | 0 | Not computed | 1 | 9 |
| D••••••• C•••••• M••••••••• L••• CRD 300773 | Los Angeles, CA | asset manager | $3.4B | 0.0% | 0 | Not computed | 0 | 15 |
| W••••••••• A•••••••• L•• CRD 155054 | New York, NY | institutional | $3.4B | 7.1% | 8 | $421M | 1 | 0 |
| F••• A••••• M••••••• N•••• A•••••• L•• CRD 136191 | Manhattan Beach, CA | asset manager | $3.4B | 0.0% | 0 | Not computed | 1 | 11 |
| B••••••• P••••••• L•• CRD 296624 | San Francisco, CA | asset manager | $3.4B | 0.0% | 0 | Not computed | 1 | 10 |
| C••••• F••••• O••••••• L•• CRD 167017 | Charlotte, NC | independent RIA | $3.4B | 96% | 7 | $480M | 2 | 0 |
| P••••••• C•••••• P•••••••• L••• CRD 165441 | Stamford, CT | asset manager | $3.4B | 0.0% | 0 | Not computed | 4 | 9 |
| N•••• S••• A•••• M••••••••• I•• CRD 106489 | Neenah, WI | independent RIA | $3.4B | 92% | 13 | $258M | 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.