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 |
|---|---|---|---|---|---|---|---|---|
| Cornerstone Advisors, LLC CRD 300891 | Asheville, NC | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 0 |
| Silvant Capital Management LLC CRD 146025 | Atlanta, GA | asset manager | $3.0B | 0.2% | 0 | Not computed | 1 | 0 |
| Compass Group Management LLC CRD 168422 | Westport, CT | other | $3.0B | 0.0% | 0 | Not computed | 1 | 0 |
| P•••••••• A•••••••• L• CRD 161150 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 1 |
| J••••• C••••••• L• CRD 291946 | Stamford, CT | asset manager | $3.0B | 0.0% | 0 | Not computed | 1 | 19 |
| O••••••• A•••••••• L•• CRD 325525 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 2 | 1 |
| O•••••••• W••••• P••••••• CRD 110069 | Aspen, CO | independent RIA | $3.0B | 90% | 18 | $169M | 3 | 0 |
| P•••••••• • A••••••• I•• CRD 111033 | Lincoln, NE | independent RIA | $3.0B | 54% | 14 | $217M | 0 | 0 |
| G••••• C••••••• L•• CRD 148836 | Wexford, PA | independent RIA | $3.0B | 51% | 5 | $607M | 0 | 0 |
| P••••••• G••••• I•••••••• CRD 338287 | Dallas, TX | asset manager | $3.0B | 0.0% | 2 | $1.5B | 0 | 1 |
| C•••••• L••• L•• CRD 309148 | New York, NY | independent RIA | $3.0B | 73% | 0 | Not computed | 0 | 0 |
| N•• R••••••• P••••••• CRD 310907 | Charlotte, NC | mixed wealth | $3.0B | 30% | 6 | $505M | 5 | 13 |
| L•••••••• C•••••• M••••••••• L•• CRD 165336 | Englewood, NJ | asset manager | $3.0B | 0.0% | 0 | Not computed | 1 | 6 |
| A•••• D••••••••• E••••• F•••• I••• CRD 281263 | Baltimore, MD | asset manager | $3.0B | 0.0% | 0 | Not computed | 1 | 0 |
| S•••••••• G••••• A•••••••• L•• CRD 286019 | Newport Beach, CA | other | $3.0B | 0.1% | 0 | Not computed | 2 | 0 |
| A•• C•••••• M••••••••• L• CRD 108633 | Boston, MA | other | $3.0B | 0.0% | 1 | $3.0B | 6 | 1 |
| G•••••• I••••••••• CRD 328039 | Atlanta, GA | independent RIA | $3.0B | 75% | 12 | $252M | 0 | 0 |
| A•• I••••••••• L•• CRD 305714 | Port Chester, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 0 |
| S•••••• C•••••• M••••••••• L•• CRD 334999 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 1 |
| E•• W••••• CRD 167225 | Philadelphia, PA | independent RIA | $3.0B | 70% | 7 | $431M | 1 | 0 |
| A••• C•••••• M••••••••• L• CRD 310536 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 4 |
| C••••••• T••• • A••••••••• L•• CRD 111578 | Chicago, IL | independent RIA | $3.0B | 97% | 5 | $603M | 1 | 0 |
| F• G••••• A••••••• L•• CRD 167620 | Philadelphia, PA | asset manager | $3.0B | 0.0% | 0 | Not computed | 3 | 2 |
| B••••••••• S•••••••• A••••••• A••••••• L••••• CRD 142922 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 6 | 7 |
| W• G••••• P••••••• L•• CRD 135689 | Chicago, IL | asset manager | $3.0B | 0.0% | 0 | Not computed | 4 | 37 |
| S••••••••• I••• CRD 173937 | Lake Mary, FL | asset manager | $3.0B | 9.1% | 9 | $334M | 0 | 1 |
| B••••• W••••• CRD 111334 | Eden Prairie, MN | independent RIA | $3.0B | 97% | 33 | $91.2M | 0 | 0 |
| A••••••• P•••••• C••••••• L• CRD 283878 | Tulsa, OK | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 8 |
| B•••••••• I••••••••• M••••••••• CRD 105098 | Nashville, TN | institutional | $3.0B | 0.0% | 9 | $334M | 0 | 0 |
| C••••••••• A••••••• • I••••••••• C••• CRD 339959 | New York, NY | asset manager | $3.0B | 0.0% | 1 | $3.0B | 1 | 0 |
| A••••••• M••••••••• C••••••• L•• CRD 316814 | Palo Alto, CA | other | $3.0B | 14% | 0 | Not computed | 1 | 98 |
| L•••• C•••••• P••••••• L•• CRD 307653 | Miami, FL | other | $3.0B | 6.6% | 10 | $300M | 0 | 0 |
| C••••••• C••• C•• A•••••••• L•• CRD 310864 | Boston, MA | asset manager | $3.0B | 0.0% | 0 | Not computed | 1 | 0 |
| T•••••• H••• M••••••••• L••• CRD 157410 | Dallas, TX | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 10 |
| V•••• C••••••• I••• CRD 116021 | State College, PA | independent RIA | $3.0B | 97% | 88 | $34.0M | 40 | 0 |
| N•••••••• C•••••• L•• CRD 298653 | London, | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 11 |
| D•• A•••• M••••••••• L• CRD 170377 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 1 |
| D•••• G••••• CRD 327142 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 1 |
| A•••• I••••••••• L• CRD 269854 | New York, NY | asset manager | $3.0B | 0.0% | 0 | Not computed | 6 | 0 |
| B••••••••• F•••••••• A••••••• CRD 159388 | Columbia, MD | independent RIA | $3.0B | 99% | 13 | $230M | 0 | 0 |
| M••• I••••••••• A••••••• C•• CRD 285263 | Miami, FL | independent RIA | $3.0B | 99% | 7 | $426M | 0 | 0 |
| P•••••• A••••• C•••••• P••••••• M••••••••• C•••••• L•• CRD 311351 | Manhattan Beach, CA | asset manager | $3.0B | 0.0% | 0 | Not computed | 0 | 15 |
| F•••••• W••••• M••••••••• L•• CRD 311031 | Independence, OH | independent RIA | $3.0B | 100% | 15 | $198M | 0 | 0 |
| N•• I••••••••• G••••• L•• CRD 310902 | Dallas, TX | asset manager | $3.0B | 0.0% | 2 | $1.5B | 0 | 0 |
| M••••• CRD 105756 | Atlanta, GA | independent RIA | $3.0B | 94% | 9 | $330M | 0 | 0 |
| R••••••••• I••••• S••••••••• I••• CRD 110145 | Ann Arbor, MI | independent RIA | $3.0B | 100% | 16 | $186M | 0 | 0 |
| I••••• P••••••••• W•••••• L•• CRD 313928 | Marietta, GA | independent RIA | $3.0B | 99% | 88 | $33.7M | 79 | 0 |
| N••••• I••••••••• A••••••• CRD 105461 | Boston, MA | other | $3.0B | 2.4% | 4 | $741M | 0 | 0 |
| A•••• A••••••• C••••••• L••• CRD 133040 | New York, NY | other | $3.0B | 0.2% | 0 | Not computed | 0 | 3 |
| C•••••• P••• A••••••• CRD 126752 | independent RIA | $3.0B | 99% | 1 | $3.0B | 1 | 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.