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 |
|---|---|---|---|---|---|---|---|---|
| Rocky Mountain Advisers, LLC CRD 148479 | Salina, KS | mixed wealth | $3.1B | 20% | 3 | $1.0B | 0 | 0 |
| Santander Securities CRD 41791 | Boston, MA | BD affiliated | $3.1B | 91% | 159 | $19.8M | 417 | 0 |
| Strategic Income Management, LLC CRD 151956 | Seattle, WA | asset manager | $3.1B | 0.0% | 3 | $1.0B | 0 | 0 |
| G••••••••• C•••••• M••••••••• L•• CRD 277101 | Portland, ME | asset manager | $3.1B | 0.0% | 0 | Not computed | 3 | 4 |
| R••••• C••••• A••••••• L• CRD 298909 | New York, NY | asset manager | $3.1B | 0.0% | 0 | Not computed | 2 | 12 |
| S••• M••••••• C•••••• L•• CRD 163494 | London, | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 0 |
| F•••••••• P•••••••• L•• CRD 295508 | Lake Bluff, IL | institutional | $3.1B | 0.9% | 4 | $780M | 0 | 0 |
| R••••••••• H••••••••• M••••••••• I•• CRD 161235 | Lake Forest, IL | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 11 |
| F••• E••• C•••••• CRD 163548 | Kansas City, MO | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 23 |
| C••••••••• C•••••• L•• CRD 308201 | Summit, NJ | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 21 |
| N•••••••• C•••••• M••••••••• L•• CRD 158081 | New Canaan, CT | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 0 |
| M••••••••• L••• CRD 339519 | New York, NY | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 0 |
| V•• E•• A••••••• R••••• A••••••• C•••• CRD 137177 | New York, NY | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 7 |
| S••••• C•••••• A••••••• I•• CRD 107118 | Pittsburgh, PA | independent RIA | $3.1B | 83% | 10 | $311M | 0 | 0 |
| S••••••••• G•••• L•• CRD 307575 | Denver, CO | asset manager | $3.1B | 0.0% | 0 | Not computed | 1 | 1 |
| E••••• W••••• A•••••••• L•• CRD 108052 | Walnut Creek, CA | independent RIA | $3.1B | 77% | 46 | $67.5M | 24 | 0 |
| C••••••••• C•••••• S••••••••• L••• CRD 313057 | Stamford, CT | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 2 |
| B•• C•••••• M••••••••• I••• CRD 120006 | Bloomington, MN | other | $3.1B | 2.6% | 3 | $1.0B | 0 | 0 |
| W••••••• W••••• CRD 288178 | Boston, MA | independent RIA | $3.1B | 95% | 28 | $111M | 18 | 0 |
| W••••••••• C•••••• I•••••••• CRD 160396 | Newport Beach, CA | asset manager | $3.1B | 0.0% | 0 | Not computed | 1 | 6 |
| E•••• G••••• A••••••• L•• CRD 107306 | Houston, TX | independent RIA | $3.1B | 58% | 8 | $387M | 2 | 0 |
| L•••• C•••••• M••••••••• I••• CRD 108893 | Newtown Square, PA | mixed wealth | $3.1B | 45% | 15 | $206M | 0 | 0 |
| S•• W••••• CRD 172832 | Boston, MA | independent RIA | $3.1B | 78% | 83 | $37.3M | 24 | 0 |
| A•••••••• C•••••• P••••••• CRD 161522 | Boston, MA | asset manager | $3.1B | 0.0% | 0 | Not computed | 2 | 4 |
| C••••• C•••••• A•••••••• L• CRD 158050 | San Francisco, CA | asset manager | $3.1B | 0.0% | 0 | Not computed | 1 | 15 |
| P••• T••• A•••••••• I••• CRD 104576 | Lincoln, MA | asset manager | $3.1B | 0.0% | 2 | $1.5B | 0 | 0 |
| C••••• C•••• P••••••• M••••••••• L•• CRD 157746 | New York, NY | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 2 |
| O•••••• C•••••• M••••••••• L•• CRD 128939 | O••••••, PA | other | $3.1B | 16% | 10 | $309M | 1 | 0 |
| A••••••••• G••••• L•• CRD 128356 | Boston, MA | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 1 |
| R•• D••• W••••• M••••••••• L•• CRD 153235 | Memphis, TN | independent RIA | $3.1B | 93% | 10 | $309M | 0 | 8 |
| G••••••• C•••••• M••••••••• L• CRD 138715 | Purchase, NY | asset manager | $3.1B | 0.0% | 0 | Not computed | 3 | 26 |
| T••••••• I••••••••• M••••••••• I••• CRD 129609 | Madison, WI | mixed wealth | $3.1B | 25% | 6 | $514M | 0 | 0 |
| G••••••••• I••••••••• A•••••••• L•• CRD 312306 | Atlanta, GA | independent RIA | $3.1B | 100% | 0 | Not computed | 0 | 4 |
| P•• C•••••• M••••••••• L• CRD 336371 | Houston, TX | asset manager | $3.1B | 0.0% | 0 | Not computed | 1 | 11 |
| 1••• W••••• CRD 175346 | San Antonio, TX | independent RIA | $3.1B | 57% | 18 | $171M | 2 | 12 |
| C••••••• C•••••• M••••••••• L• CRD 304726 | New York, NY | asset manager | $3.1B | 0.0% | 0 | Not computed | 1 | 1 |
| E•••••• L••• C•••••• M••••••••• L••• CRD 300395 | Santa Monica, CA | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 15 |
| G•• I••••••••• A••••••• I•• CRD 107563 | Denver, CO | independent RIA | $3.1B | 98% | 28 | $109M | 0 | 1 |
| D••••••••• C•••••• M••••••••• L•• CRD 167295 | Nashville, TN | institutional | $3.1B | 0.8% | 3 | $1.0B | 2 | 0 |
| L••••••• A•••• M••••••••• L•• CRD 121767 | New York, NY | asset manager | $3.1B | 0.0% | 6 | $509M | 4 | 11 |
| B••••••• P••••••• M••••••••• L•• CRD 284163 | Oakland, CA | other | $3.1B | 0.0% | 1 | $3.1B | 2 | 0 |
| Z• C•••••• G••••• L••••• CRD 159511 | New York, NY | asset manager | $3.1B | 0.0% | 0 | Not computed | 0 | 25 |
| C•••• A••••••• CRD 173920 | Salt Lake City, UT | independent RIA | $3.1B | 57% | 26 | $117M | 1 | 1 |
| G•••• C•••••• M••••••••• L••• CRD 281091 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 14 |
| C•••••••• A•••• M••••••••• L•• CRD 139785 | San Diego, CA | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 0 |
| A•••• F•••• M••••••••• L• CRD 125109 | Dallas, TX | asset manager | $3.0B | 0.0% | 1 | $3.0B | 0 | 6 |
| C•••••••• A••••••• C••• CRD 120990 | Altamonte Springs, FL | independent RIA | $3.0B | 83% | 17 | $179M | 4 | 0 |
| A••••• C•••••• CRD 165980 | Santa Monica, CA | asset manager | $3.0B | 0.0% | 0 | Not computed | 3 | 9 |
| P•• R••• A••••• A•••••••• L•• CRD 338178 | Washington, DC | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 0 |
| A••••• B•••• I••••••••• L••••• CRD 137183 | Bethesda, MD | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 2 |
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.