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 |
|---|---|---|---|---|---|---|---|---|
| Gryphon Wealth CRD 339969 | Jacksonville, FL | independent RIA | $3.2B | 100% | 7 | $463M | 0 | 0 |
| Bharcap Partners, LLC CRD 315679 | Greenwich, CT | other | $3.2B | 0.0% | 0 | Not computed | 1 | 8 |
| Cantor Fitzgerald Investment Advisors CRD 159296 | New York, NY | mixed wealth | $3.2B | 41% | 32 | $101M | 2 | 2 |
| G••••••••• C•••••• L• CRD 313204 | New York, NY | asset manager | $3.2B | 0.0% | 0 | Not computed | 0 | 14 |
| C••••••••• F•••• CRD 172379 | San Diego, CA | asset manager | $3.2B | 0.0% | 5 | $648M | 0 | 0 |
| M•••• H•••••••• C•••••• L•• CRD 107309 | Rye Brook, NY | independent RIA | $3.2B | 85% | 0 | Not computed | 0 | 1 |
| F••••••• C•••••• CRD 162823 | West Hollywood, CA | asset manager | $3.2B | 0.0% | 0 | Not computed | 2 | 9 |
| A••••••• R••••• A••••••• CRD 107965 | Los Angeles, CA | asset manager | $3.2B | 0.0% | 1 | $3.2B | 4 | 2 |
| L•• C••••• P••••••• CRD 157628 | Radnor, PA | asset manager | $3.2B | 0.0% | 0 | Not computed | 12 | 6 |
| C•••••• C•••••• M••••••••• L•• CRD 104592 | Houston, TX | independent RIA | $3.2B | 81% | 15 | $216M | 1 | 0 |
| L•••••• A••••••• G••••• L•• CRD 114003 | Chicago, IL | institutional | $3.2B | 0.0% | 0 | Not computed | 0 | 0 |
| G•• I••••••••• A••••••• L•• CRD 171093 | Chicago, IL | asset manager | $3.2B | 0.0% | 0 | Not computed | 1 | 11 |
| V•••• C•••••• P•••••••• I••• CRD 114913 | Portland, OR | independent RIA | $3.2B | 93% | 23 | $140M | 0 | 0 |
| N••••• C••••••••• L•• CRD 334332 | El Segundo, CA | institutional | $3.2B | 0.0% | 0 | Not computed | 1 | 4 |
| V•••• S••••• C•••••• L•• CRD 155758 | Los Angeles, CA | asset manager | $3.2B | 0.0% | 0 | Not computed | 1 | 10 |
| O••••••• C•••••• M••••••••• L•• CRD 169109 | New York, NY | asset manager | $3.2B | 0.0% | 0 | Not computed | 0 | 11 |
| C•••• E••••• T••••••••• I••••••••• S••••• CRD 339944 | Monaco, Monaco, | asset manager | $3.2B | 0.0% | 0 | Not computed | 0 | 0 |
| C••••••••• A••••••• CRD 107964 | Sarasota, FL | independent RIA | $3.2B | 53% | 16 | $201M | 0 | 0 |
| F• D•••••• I••••••••• A••••••• L•• CRD 338274 | Philadelphia, PA | asset manager | $3.2B | 1.5% | 0 | Not computed | 1 | 6 |
| T•••••• C••••••• I••• CRD 281597 | Irvine, CA | independent RIA | $3.2B | 81% | 73 | $44.0M | 11 | 0 |
| E•••••• • K••••••••• W••••• M••••••••• CRD 109698 | Coral Gables, FL | independent RIA | $3.2B | 95% | 22 | $146M | 2 | 0 |
| Q••••• C•••••• S• CRD 285690 | Geneva, | asset manager | $3.2B | 0.0% | 0 | Not computed | 0 | 5 |
| M• H••••••• S••••••••• I••• CRD 43285 | Portland, OR | BD affiliated | $3.2B | 95% | 179 | $17.9M | 105 | 0 |
| T•••• A•••• M••••••••• L•• CRD 147379 | Houston, TX | other | $3.2B | 0.0% | 3 | $1.1B | 0 | 5 |
| L•• W•••••• L•• CRD 283891 | Edison, NJ | independent RIA | $3.2B | 100% | 16 | $200M | 2 | 0 |
| P•••••••• W••••• CRD 290180 | Madison, CT | independent RIA | $3.2B | 94% | 21 | $153M | 2 | 0 |
| E•• I••••••••• CRD 106821 | Framingham, MA | other | $3.2B | 1.4% | 4 | $801M | 0 | 0 |
| R•••••• M••••• A••••••••• I•• CRD 106019 | Philadelphia, PA | independent RIA | $3.2B | 97% | 16 | $200M | 1 | 0 |
| B••••• W•••••• L•• CRD 283886 | Mclean, VA | independent RIA | $3.2B | 100% | 25 | $128M | 3 | 0 |
| G•••••••• C•••••• P••••••• CRD 322516 | Austin, TX | asset manager | $3.2B | 0.0% | 0 | Not computed | 1 | 10 |
| A•••• C••••••• L•• CRD 331481 | asset manager | $3.2B | 0.8% | 1 | $3.2B | 0 | 4 | |
| K• F••• A•••••••• L•• CRD 141037 | Houston, TX | asset manager | $3.2B | 0.0% | 1 | $3.2B | 2 | 0 |
| L••• F•••••••• CRD 117273 | Omaha, NE | independent RIA | $3.2B | 73% | 15 | $212M | 1 | 0 |
| F••••••••• C•••••• ••• L•• CRD 311629 | New York, NY | asset manager | $3.2B | 0.0% | 0 | Not computed | 3 | 0 |
| S•••• A••••••••• A•••• M••••••••• L• CRD 144155 | Summit, NJ | asset manager | $3.2B | 0.0% | 0 | Not computed | 2 | 11 |
| A•••••• I•• M••••••• L•• CRD 324445 | Radnor, PA | asset manager | $3.2B | 0.0% | 0 | Not computed | 1 | 3 |
| F••••••••• C•••••• L• CRD 311299 | New York, NY | asset manager | $3.2B | 0.0% | 0 | Not computed | 0 | 2 |
| G••••• A••••••• S•••••••• L•• CRD 39163 | King Of Prussia, PA | independent RIA | $3.2B | 74% | 49 | $64.9M | 7 | 0 |
| L•• I••••••••• L•• CRD 325133 | Atlanta, GA | independent RIA | $3.2B | 56% | 4 | $794M | 0 | 0 |
| B•••••• C•••••• I••••••••• M••••••••• L•• CRD 167365 | Chicago, IL | asset manager | $3.2B | 0.0% | 1 | $3.2B | 18 | 12 |
| V•• P••••••• I•• L•• CRD 157720 | San Francisco, CA | asset manager | $3.2B | 0.0% | 0 | Not computed | 0 | 28 |
| C••••• A••••••• G••••• L•• CRD 131167 | Clearwater, FL | independent RIA | $3.2B | 98% | 76 | $41.7M | 36 | 0 |
| H••••• C•••••• M••••••••• L•• CRD 116357 | Garden City, NY | mixed wealth | $3.2B | 22% | 7 | $452M | 1 | 0 |
| M•••••• W••••• M••••••••• CRD 324997 | Effingham, IL | other | $3.2B | 1.8% | 22 | $144M | 9 | 0 |
| T••••••••• C•••••• P•••••••• L•• CRD 113203 | Santa Monica, CA | asset manager | $3.2B | 0.0% | 0 | Not computed | 1 | 36 |
| N•••• S••••• I••••••••• L•• CRD 294355 | Chicago, IL | asset manager | $3.2B | 0.0% | 3 | $1.1B | 0 | 0 |
| A•••• P••••••• L•• CRD 314570 | Stamford, CT | asset manager | $3.2B | 0.0% | 0 | Not computed | 1 | 6 |
| O• I••••••••• M••••••••• C• CRD 105662 | Cincinnati, OH | BD affiliated | $3.2B | 94% | 209 | $15.1M | 126 | 0 |
| C••••• W••••• P••••••• CRD 307781 | St. Petersburg, FL | independent RIA | $3.2B | 98% | 19 | $166M | 4 | 1 |
| A••••••••• W••••• P••••••• CRD 113074 | Minnetonka, MN | independent RIA | $3.1B | 99% | 58 | $54.3M | 37 | 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.