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 |
|---|---|---|---|---|---|---|---|---|
| Capital Counsel LLC CRD 109001 | New York, NY | independent RIA | $2.9B | 78% | 6 | $479M | 0 | 3 |
| Casdin Capital, LLC CRD 169579 | New York, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 2 | 5 |
| Rockwood Wealth Management, LLC CRD 137481 | New Hope, PA | independent RIA | $2.9B | 97% | 45 | $63.8M | 0 | 0 |
| L•••••• I••••••••• CRD 312557 | Boston, MA | asset manager | $2.9B | 3.0% | 2 | $1.4B | 0 | 0 |
| M•••••• A•••• M••••••••• ••• L•• CRD 287888 | London, | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 2 |
| C••••••• F•••••••• A••••••• I•• CRD 109341 | Downers Grove, IL | independent RIA | $2.9B | 100% | 17 | $169M | 1 | 0 |
| H••••••••• C•••••• M••••••••• CRD 46217 | Newport Beach, CA | independent RIA | $2.9B | 86% | 14 | $205M | 0 | 3 |
| N•• C•••••• L• CRD 339026 | New York, NY | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 1 |
| M••••• A••••••• S•••••••• I••• CRD 106814 | Dublin, OH | independent RIA | $2.9B | 95% | 19 | $151M | 0 | 0 |
| T•••••• P•••••••• L••• CRD 41835 | Maitland, FL | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 0 |
| P••• W••• A•••• M••••••••• L•• CRD 157660 | San Francisco, CA | asset manager | $2.9B | 0.0% | 0 | Not computed | 0 | 3 |
| W•••••• P•••••••• • C••• L•• CRD 3711 | New Orleans, LA | independent RIA | $2.9B | 84% | 7 | $409M | 0 | 0 |
| K•••••• A•••• M••••••••• L•• CRD 150031 | Green Bay, WI | other | $2.9B | 0.0% | 8 | $357M | 4 | 0 |
| B••••••••• C••••••• L•• CRD 283610 | San Francisco, CA | asset manager | $2.9B | 0.0% | 0 | Not computed | 1 | 12 |
| V•••• W••••• P•••••••• L•• CRD 143588 | Oakland, CA | independent RIA | $2.9B | 81% | 8 | $357M | 4 | 1 |
| P••• C•••••• L•• CRD 206517 | Chicago, IL | mixed wealth | $2.9B | 34% | 1 | $2.9B | 0 | 5 |
| C••••• M•••••• CRD 111458 | Irvine, CA | independent RIA | $2.9B | 93% | 64 | $44.6M | 28 | 0 |
| L••••• K••••• M••• L•• CRD 305927 | Dallas, TX | independent RIA | $2.8B | 67% | 4 | $712M | 0 | 33 |
| M••••• W••••• A••••••• CRD 107722 | Austin, TX | independent RIA | $2.8B | 92% | 21 | $135M | 2 | 0 |
| I••••••••• C••••••••• G•••• I•• CRD 106967 | Davenport, IA | other | $2.8B | 12% | 2 | $1.4B | 1 | 0 |
| K•• F••••••••• I••• CRD 116240 | West Chester, PA | independent RIA | $2.8B | 99% | 8 | $355M | 0 | 0 |
| S•••••••• C•••••• A••••••••• G••••• L••••• CRD 114922 | Boston, MA | asset manager | $2.8B | 0.1% | 1 | $2.8B | 0 | 0 |
| E•••••••• S•••••••• L•• CRD 159926 | Chicago, IL | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 34 |
| W••• F•••••••• S•••••••• I••• CRD 137497 | Mclean, VA | independent RIA | $2.8B | 94% | 22 | $129M | 1 | 0 |
| B•••• C•••••• M••••••••• I•• CRD 107600 | East Lansing, MI | other | $2.8B | 0.0% | 1 | $2.8B | 0 | 0 |
| R•••• C•••••• P••••••• CRD 166815 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 3 | 6 |
| Q••••••••• S••••••••• S••••••••• L•• CRD 165895 | St. Augustine, FL | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 1 |
| M••••••••• C•••••• M••••••••• L•• CRD 110003 | M•••••••••, VT | independent RIA | $2.8B | 78% | 12 | $236M | 3 | 16 |
| S••• L•• L• CRD 334114 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 1 |
| A•••••• R••• A•••• M••••••••• L• CRD 311471 | Westport, CT | asset manager | $2.8B | 0.0% | 0 | Not computed | 1 | 1 |
| F••••••• F•••••••• A••••••• CRD 123255 | Sewickley, PA | independent RIA | $2.8B | 96% | 25 | $113M | 3 | 0 |
| E••••••• I••••••••• P••••••• L•• CRD 299607 | Beverly, MA | other | $2.8B | 5.2% | 7 | $404M | 2 | 2 |
| P••••••• C•••••• M••••••••• L•• CRD 160860 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 1 | 4 |
| B••••••• C•••••• M••••••••• L••••• CRD 138032 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 9 |
| T••• F•••••••• CRD 109376 | Scottsdale, AZ | independent RIA | $2.8B | 86% | 63 | $44.8M | 33 | 0 |
| M•••••• I••••••••• L•• CRD 111964 | Winter Park, FL | other | $2.8B | 18% | 17 | $166M | 15 | 0 |
| T•• S••• C•••••• L• CRD 310191 | Rye, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 12 |
| N•••••••• I••••••••• M••••••••• L• CRD 308098 | Philadelphia, PA | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 15 |
| P•••• D•••• C•••••• L•• CRD 283834 | London, | asset manager | $2.8B | 0.0% | 0 | Not computed | 2 | 17 |
| K•••••• H••• I••••••••• M••••••••• CRD 328876 | Brentwood, TN | other | $2.8B | 0.0% | 0 | Not computed | 5 | 0 |
| C•••• C•••••• A••••••• L•• CRD 314113 | Washington, DC | asset manager | $2.8B | 0.0% | 0 | Not computed | 1 | 5 |
| K••• C•••••• M••••••••• I••• CRD 157780 | Hallandale Beach, FL | asset manager | $2.8B | 5.0% | 8 | $352M | 1 | 11 |
| M••• M••••••••• E•• A•••••••• L•• CRD 288558 | San Francisco, CA | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 0 |
| L••••••••• M••••••••• C••••••• L••• CRD 155201 | Philadelphia, PA | asset manager | $2.8B | 0.0% | 0 | Not computed | 3 | 27 |
| C•••••• A••••••• P••••••• L•• CRD 310199 | New York, NY | independent RIA | $2.8B | 79% | 7 | $402M | 0 | 2 |
| A•••••• W••••• M••••••••• L•• CRD 159952 | Santa Monica, CA | independent RIA | $2.8B | 88% | 10 | $281M | 3 | 0 |
| L• 1• G••••• W••••• L•• CRD 337213 | Coconut Grove, FL | independent RIA | $2.8B | 100% | 2 | $1.4B | 0 | 0 |
| M•• M•••••• L•• CRD 282143 | New York, NY | asset manager | $2.8B | 0.0% | 1 | $2.8B | 0 | 121 |
| B•••• C•••••• M••••••••• L•• CRD 171023 | Richardson, TX | other | $2.8B | 11% | 2 | $1.4B | 0 | 2 |
| S•••••••• F•••••••• S••••••• CRD 109677 | Utica, NY | independent RIA | $2.8B | 70% | 28 | $100M | 5 | 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.