DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Firms
SEC-registered investment advisers
One 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.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Principal Real Estate CRD 109008 | Des Moines, IA | institutional | $106B | 0.2% | 0 | n/a | 15 | 18 |
| Brookfield Asset Management Pic US, LLC CRD 151599 | New York, NY | asset manager | $105B | 0.0% | 0 | n/a | 46 | 116 |
| RBC Global Asset Management (U.S.) Inc. CRD 107173 | Minneapolis, MN | asset manager | $104B | 0.1% | 1 | $104B | 3 | 14 |
| L•• A•••• M••••••••• CRD 109918 | Chicago, IL | other | $104B | 0.0% | 0 | n/a | 0 | 21 |
| P••• I••••••••• A••••••• CRD 159189 | Denver, CO | asset manager | $104B | 0.0% | 12 | $8.7B | 13 | 0 |
| L•••••• F•••••••• I••••••••• C••••••••• CRD 108881 | Radnor, PA | asset manager | $102B | 0.0% | 0 | n/a | 1 | 0 |
| S•••• S••••• A•••••••• L•• CRD 159014 | Dallas, TX | asset manager | $102B | 0.0% | 0 | n/a | 11 | 160 |
| O•• H••• A•••••••• L••• CRD 125352 | New York, NY | asset manager | $101B | 0.0% | 0 | n/a | 1 | 94 |
| B••••••••• C••••• B•• A••••••• L•• CRD 296294 | New York, NY | asset manager | $101B | 0.0% | 0 | n/a | 13 | 0 |
| B••••••••• C••••••• L•• CRD 158343 | Boston, MA | asset manager | $100B | 0.0% | 0 | n/a | 0 | 12 |
| R••••••••• C•••••• M••••••••• CRD 291361 | New York, NY | BD affiliated | $100B | 82% | 1,033 | $96.4M | 67 | 0 |
| B••••••••• R•••••••• E••••• G•••• L•• CRD 316590 | Toronto, Ontario, | asset manager | $99B | 0.0% | 0 | n/a | 35 | 119 |
| N•••••••• B••••• E••••• L•••••• CRD 162267 | London, | asset manager | $98B | 0.0% | 0 | n/a | 1 | 7 |
| P•••••• C•••••• M••••••••• L• CRD 108016 | Irvine, CA | other | $98B | 0.0% | 0 | n/a | 4 | 103 |
| A••• C•••••• M••••••••• L•• CRD 131619 | Los Angeles, CA | asset manager | $98B | 0.0% | 0 | n/a | 10 | 34 |
| F•••••••• A••••••• L•• CRD 106720 | Chicago, IL | mixed wealth | $98B | 34% | 69 | $1.4B | 17 | 0 |
| E•••• V•••• M••••••••• CRD 104859 | Boston, MA | asset manager | $97B | 0.0% | 106 | $915M | 4 | 14 |
| W•• I••••••••• M••••••••• CRD 104702 | Laguna Beach, CA | other | $97B | 7.7% | 7 | $14B | 2 | 15 |
| B••• C•••••• P•••••• E•••••• L• CRD 145653 | Boston, MA | asset manager | $96B | 0.0% | 0 | n/a | 15 | 36 |
| R••••••••• T••••••••• L•• CRD 106661 | New York, NY | asset manager | $96B | 0.0% | 0 | n/a | 1 | 4 |
| G•• G•••••••• L••• CRD 108654 | Chicago, IL | asset manager | $95B | 0.1% | 0 | n/a | 2 | 261 |
| B••• O•• G••• A••••••• L•• CRD 293945 | New York, NY | asset manager | $95B | 0.0% | 0 | n/a | 3 | 125 |
| N•••••• I•••••••• L•• CRD 131684 | Boston, MA | asset manager | $94B | 0.0% | 0 | n/a | 4 | 25 |
| P•• A•••••• I•• CRD 107269 | Chicago, IL | institutional | $94B | 0.0% | 0 | n/a | 5 | 11 |
| F••• W••••••••• I••••••••• A••••••• I•• CRD 107126 | Cincinnati, OH | institutional | $93B | 1.2% | 19 | $4.9B | 2 | 45 |
| D••••••••• C•••••• L• CRD 152606 | Tampa, FL | asset manager | $93B | 0.6% | 0 | n/a | 1 | 8 |
| C••••• M••••••••• L••••• CRD 157910 | New York, NY | asset manager | $93B | 0.0% | 0 | n/a | 3 | 146 |
| C••••••• C•••••• M••••••••• L••• CRD 152175 | New York, NY | asset manager | $92B | 0.0% | 3 | $31B | 10 | 178 |
| I•••••• V•••••• P••••••• CRD 142994 | New York, NY | asset manager | $92B | 0.0% | 0 | n/a | 3 | 0 |
| W••••••••• A••••••••• I••••••••• CRD 226715 | Boston, MA | asset manager | $92B | 0.0% | 0 | n/a | 0 | 128 |
| B••••••••• A••••••••• A•••• M••••••••• L••• CRD 107580 | New York, NY | asset manager | $92B | 0.0% | 0 | n/a | 6 | 110 |
| A••••••••• I••• CRD 109018 | Concord, CA | BD affiliated | $92B | 92% | 218 | $421M | 4 | 0 |
| A••••• I••••••••• L••• CRD 105673 | Boston, MA | asset manager | $92B | 0.0% | 0 | n/a | 2 | 133 |
| C••••••• I••••••••• A•••••••• L•• CRD 155563 | New York, NY | asset manager | $92B | 0.0% | 1 | $92B | 7 | 16 |
| A•• I••••••••• S•••••••• I••• CRD 108897 | Shelton, CT | asset manager | $91B | 0.0% | 0 | n/a | 1 | 0 |
| A•••• A•••• M••••••••• U• CRD 114537 | Cedar Rapids, IA | institutional | $89B | 0.0% | 1 | $89B | 2 | 19 |
| S•••••• I••••••••• M••••••••• C•••••• CRD 312176 | Farmington, CT | other | $89B | 0.0% | 0 | n/a | 1 | 1 |
| W••••••••• A•••• M••••••••• I••• CRD 139684 | New York, NY | asset manager | $88B | 0.0% | 0 | n/a | 0 | 0 |
| I•• C•••••• M••••••••• CRD 113539 | Boca Raton, FL | asset manager | $88B | 0.0% | 0 | n/a | 1 | 8 |
| M••••••••• I••••••••• M••••••••• L•• CRD 108031 | Chicago, IL | mixed wealth | $88B | 45% | 26 | $3.4B | 40 | 0 |
| P••••••• CRD 153425 | San Francisco, CA | other | $88B | 0.0% | 0 | n/a | 3 | 115 |
| L••••••••• I••••••••• P•••••••• L•• CRD 136591 | Palm Beach Gardens, FL | asset manager | $87B | 0.0% | 3 | $29B | 22 | 141 |
| C••••••• D••••••• • R•••• L•• CRD 160492 | New York, NY | asset manager | $87B | 0.0% | 0 | n/a | 0 | 42 |
| F••••••• I••••••••• G•••• CRD 129612 | New York, NY | asset manager | $87B | 0.0% | 0 | n/a | 18 | 347 |
| C•••• • S••••• C•••••• M••••••••• I••• CRD 106266 | New York, NY | asset manager | $86B | 0.0% | 22 | $3.9B | 0 | 9 |
| L•••••• G•••• • P•••••••• L••• CRD 158164 | Los Angeles, CA | asset manager | $86B | 0.0% | 0 | n/a | 0 | 107 |
| C••••• C•••• • L••• I••••••••• M••••••••• L•• CRD 107557 | Vancouver, Bc, | other | $86B | 0.0% | 0 | n/a | 2 | 10 |
| P••••••• A••••••• L•• CRD 134155 | Bethesda, MD | asset manager | $85B | 0.0% | 10 | $8.5B | 0 | 0 |
| M••••• G••••• A••••••• I••• CRD 147363 | Denver, CO | independent RIA | $84B | 92% | 750 | $113M | 268 | 0 |
| C•••••••• C•••••• G••••• L••• CRD 157920 | Santa Monica, CA | asset manager | $84B | 0.0% | 0 | n/a | 8 | 93 |
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17,149 advisers match.