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 |
|---|---|---|---|---|---|---|---|---|
| Sfmg Wealth Advisors CRD 107548 | Plano, TX | independent RIA | $3.0B | 100% | 17 | $174M | 1 | 1 |
| Resonant Capital Advisors, LLC CRD 298451 | Madison, WI | independent RIA | $3.0B | 97% | 13 | $227M | 1 | 0 |
| Parcion Private Wealth LLC CRD 305115 | Bellevue, WA | independent RIA | $3.0B | 100% | 15 | $197M | 0 | 0 |
| C•••• • S••••• A••• L•••••• CRD 135661 | Central, | other | $2.9B | 0.0% | 0 | Not computed | 0 | 0 |
| B••••• F•••••••• G•••• CRD 308174 | Plymouth, MN | independent RIA | $2.9B | 99% | 52 | $56.7M | 9 | 0 |
| H••••• E••• I••••••••• P•••••••• I••• CRD 104870 | Jersey City, NJ | other | $2.9B | 0.0% | 1 | $2.9B | 0 | 1 |
| I•• I••••••••• P••••••• A•• CRD 287869 | Copenhagen, | institutional | $2.9B | 0.0% | 0 | Not computed | 1 | 0 |
| P•••• O•••• C•••••• P•••••••• L••• CRD 304303 | San Francisco, CA | independent RIA | $2.9B | 72% | 0 | Not computed | 1 | 6 |
| B•••• H••• I••••••••• A••••••• L•• CRD 143750 | Boston, MA | independent RIA | $2.9B | 91% | 9 | $327M | 0 | 0 |
| C••••••• F•••••••• D••••••• I••• CRD 109032 | Kokomo, IN | BD affiliated | $2.9B | 98% | 162 | $18.2M | 104 | 0 |
| M••• G••••• C•••••• M••••••••• L• CRD 311912 | New York, NY | other | $2.9B | 0.0% | 0 | Not computed | 0 | 2 |
| S•• I••••••••• S••••••• CRD 107219 | Sylvania, OH | independent RIA | $2.9B | 72% | 19 | $155M | 3 | 0 |
| F••••• • M••••• I•• CRD 106905 | Cincinnati, OH | independent RIA | $2.9B | 98% | 29 | $101M | 0 | 0 |
| A•••• D••••••••• L•• CRD 151988 | San Francisco, CA | independent RIA | $2.9B | 100% | 11 | $267M | 2 | 0 |
| N•••••••• C••••••• L••• CRD 140214 | Danville, CA | asset manager | $2.9B | 0.0% | 0 | Not computed | 1 | 67 |
| P•••••••• O••••••••• P•••••••• L•• CRD 170811 | San Francisco, CA | asset manager | $2.9B | 0.0% | 0 | Not computed | 2 | 0 |
| R••• B•••• C•••••• M••••••••• L• CRD 153994 | Larkspur, CA | asset manager | $2.9B | 9.4% | 6 | $488M | 0 | 0 |
| G••••••••• F•••• L••• CRD 169840 | Baltimore, MD | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 0 |
| W•••••• A••••••• G••••• L•• CRD 122266 | Columbus, OH | independent RIA | $2.9B | 80% | 12 | $244M | 0 | 4 |
| M••••••••• A•••• M••••••••• L•• CRD 157850 | Greenwich, CT | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 15 |
| C•••••• I••••••••• L•• CRD 115093 | Denver, CO | independent RIA | $2.9B | 63% | 3 | $974M | 0 | 1 |
| B•••• F•••••••• C••••••••• I•• CRD 105653 | Indianapolis, IN | independent RIA | $2.9B | 98% | 19 | $154M | 0 | 0 |
| T•••••••• C•••••• A•••••••• L•• CRD 299723 | Madison, NJ | independent RIA | $2.9B | 91% | 17 | $171M | 4 | 12 |
| F•• I••••••••• A•••••••• L•• CRD 295433 | New York, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 3 | 1 |
| F••••••• S••••••••• CRD 174306 | Aliso Viejo, CA | other | $2.9B | 0.0% | 3 | $971M | 1 | 0 |
| R••••••• M••••••••• L•• CRD 287589 | New York, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 14 |
| C••••• P••••••• R••• E••••• L•• CRD 107880 | Dallas, TX | asset manager | $2.9B | 0.0% | 0 | Not computed | 2 | 23 |
| G••••• S•••••••• R••• M••••••••• L•• CRD 327157 | Providence, RI | asset manager | $2.9B | 0.0% | 0 | Not computed | 5 | 1 |
| C••••••••• P••••••• L• CRD 312387 | Greenwich, CT | asset manager | $2.9B | 0.0% | 0 | Not computed | 1 | 2 |
| R••••••••• I••••••••• M••••••••• CRD 105916 | Covington, KY | other | $2.9B | 9.1% | 8 | $363M | 0 | 0 |
| F•••••• A•••• M••••••••• L•• CRD 325807 | San Francisco, CA | independent RIA | $2.9B | 100% | 2 | $1.5B | 0 | 2 |
| P•••••••• C•••••• L• CRD 285022 | San Francisco, CA | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 14 |
| S•••••• C•••••• L•• CRD 316856 | Palo Alto, CA | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 3 |
| A•••• M••••••••• O•• U•• I••• CRD 108982 | New York, NY | institutional | $2.9B | 0.0% | 0 | Not computed | 0 | 4 |
| F••• P•••• C•••••• P••••••• L•• CRD 146759 | San Francisco, CA | independent RIA | $2.9B | 85% | 20 | $145M | 4 | 10 |
| R•• C•••••• M••••••••• L•• CRD 291853 | Los Angeles, CA | asset manager | $2.9B | 0.0% | 0 | Not computed | 4 | 12 |
| L•••••• L••• L• CRD 292931 | Rye Brook, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 1 |
| S•••• S••••• W••••• M••••••••• CRD 129614 | Greensboro, NC | independent RIA | $2.9B | 93% | 17 | $170M | 3 | 0 |
| H•••• R•••• L•• CRD 141024 | Tupelo, MS | independent RIA | $2.9B | 56% | 13 | $222M | 2 | 0 |
| C•• I••••••••• A••••••• CRD 104914 | Lakeland, FL | independent RIA | $2.9B | 82% | 18 | $160M | 0 | 0 |
| D•••••••• I••••••••• C••••••••• L•• CRD 155312 | Portland, OR | other | $2.9B | 17% | 8 | $361M | 1 | 0 |
| K•••••• C•••••• M••••••••• ••• L•••••• CRD 160593 | Hong Kong, | institutional | $2.9B | 0.0% | 0 | Not computed | 0 | 9 |
| D•• C•••••• P••••••• CRD 157337 | New York, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 5 | 7 |
| R•• W••••• B•••••••• I••• CRD 169005 | Montclair, NJ | independent RIA | $2.9B | 62% | 54 | $53.4M | 23 | 0 |
| W••••••••• C•••••• M••••••••• L•• CRD 155686 | Valhalla, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 0 |
| G•••••• C•••••• M••••••••• L• CRD 152023 | Park City, UT | asset manager | $2.9B | 0.0% | 0 | Not computed | 1 | 4 |
| M•• I••••••••• P••••••• ••• L• CRD 282371 | New York, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 27 |
| E••••••• C•••••• P•••••••• L•• CRD 296943 | Palo Alto, CA | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 29 |
| R•••• I••••••••• A••••••• L•• CRD 125004 | Kentwood, MI | BD affiliated | $2.9B | 95% | 121 | $23.8M | 77 | 0 |
| L• A••••••• L•• CRD 153940 | San Diego, CA | independent RIA | $2.9B | 84% | 5 | $575M | 1 | 1 |
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.