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 |
|---|---|---|---|---|---|---|---|---|
| New England Capital Financial Advisors LLC CRD 109203 | Cheshire, CT | independent RIA | $768M | 90% | 6 | $128M | 0 | 0 |
| Ironwood Capital Advisors LLC CRD 321642 | Avon, CT | asset manager | $766M | 0.0% | 0 | n/a | 1 | 9 |
| Prostar Capital (US) LLC CRD 166523 | Greenwich, CT | asset manager | $757M | 0.0% | 0 | n/a | 1 | 3 |
| M••• R••• C•••••• CRD 157095 | Greenwich, CT | asset manager | $754M | 0.0% | 0 | n/a | 0 | 5 |
| P•••• L••• C•••••• M••••••••• L• CRD 290404 | Greenwich, CT | asset manager | $745M | 0.0% | 0 | n/a | 1 | 2 |
| C••••••••• F•••••• F••• I•• CRD 107631 | Madison, CT | other | $728M | 0.0% | 1 | $728M | 0 | 0 |
| T••• I••••••••• P•••••••• L• CRD 305563 | Stamford, CT | asset manager | $727M | 0.0% | 0 | n/a | 0 | 10 |
| U•••• C•••••• A••••••••• L••• CRD 285154 | Greenwich, CT | asset manager | $722M | 0.0% | 0 | n/a | 1 | 5 |
| D•••• C•••••• A••••••• L•• CRD 136716 | Old Greenwich, CT | other | $713M | 0.0% | 0 | n/a | 0 | 2 |
| H•• W••••• M••••••••• CRD 105039 | West Hartford, CT | independent RIA | $700M | 70% | 7 | $99.9M | 0 | 0 |
| F•• R•• M••••••••• L•• CRD 149092 | Greenwich, CT | asset manager | $696M | 0.0% | 0 | n/a | 0 | 1 |
| W•••••• J••••• C•••••• M••••••••• I••• CRD 226535 | Bristol, CT | independent RIA | $694M | 100% | 29 | $23.9M | 27 | 0 |
| I•••••• G••••• A••••••• L•• CRD 288511 | Stamford, CT | independent RIA | $684M | 66% | 5 | $137M | 0 | 4 |
| C•••••• W••••• M••••••••• L•• CRD 106289 | Guilford, CT | independent RIA | $683M | 96% | 6 | $114M | 2 | 0 |
| P••• I••••••••• L•• CRD 145640 | Farmington, CT | mixed wealth | $676M | 22% | 4 | $169M | 2 | 0 |
| P••• C••••••• L•• CRD 131212 | Stamford, CT | other | $648M | 2.3% | 0 | n/a | 1 | 1 |
| G•• C•••••• H•••••••• L•• CRD 169825 | Greenwich, CT | asset manager | $646M | 0.0% | 0 | n/a | 1 | 1 |
| D•• A•••• M••••••••• L•• CRD 143224 | Stamford, CT | asset manager | $645M | 0.0% | 0 | n/a | 2 | 3 |
| O••••••• R••••••• L• CRD 304420 | Stamford, CT | asset manager | $640M | 0.0% | 0 | n/a | 1 | 0 |
| E•••••• F•••••••• A•••••••• L•• CRD 313968 | Glastonbury, CT | independent RIA | $636M | 100% | 4 | $159M | 0 | 0 |
| S••••• • C•• CRD 13035 | Greenwich, CT | independent RIA | $630M | 99% | 8 | $78.7M | 4 | 0 |
| S•••• C•••••• M••••••••• L•• CRD 159962 | Darien, CT | asset manager | $629M | 0.0% | 0 | n/a | 0 | 2 |
| M••••••• H••• P•••••••• L•• CRD 160689 | Westport, CT | asset manager | $629M | 0.0% | 0 | n/a | 0 | 6 |
| P•••••••• M••••••••• L•• CRD 298633 | Colchester, CT | mixed wealth | $626M | 39% | 1 | $626M | 0 | 0 |
| G••• L•••• A•••••••• L•• CRD 124867 | Guilford, CT | independent RIA | $616M | 88% | 8 | $77.0M | 0 | 0 |
| E•••• H••••• I••••••••• L• CRD 309210 | Greenwich, CT | asset manager | $605M | 0.0% | 0 | n/a | 0 | 1 |
| E•••••••• C•••••• A••••••• I••• CRD 137689 | Greenwich, CT | asset manager | $603M | 0.0% | 0 | n/a | 0 | 3 |
| G•• A••••••••• I••••••••• A••••••• L•• CRD 160435 | Greenwich, CT | asset manager | $600M | 0.0% | 0 | n/a | 0 | 3 |
| G••••••••• A•••• M••••••••• L•• CRD 307732 | Glastonbury, CT | asset manager | $593M | 0.0% | 1 | $593M | 3 | 1 |
| F••••••••• B••• • C•• CRD 105970 | Darien, CT | independent RIA | $589M | 98% | 3 | $196M | 0 | 0 |
| R•• A•••• M••••••••• L•• CRD 153428 | Stamford, CT | other | $589M | 20% | 0 | n/a | 0 | 2 |
| K••••••• F•••••••• L•• CRD 309056 | New Haven, CT | independent RIA | $585M | 97% | 4 | $146M | 0 | 0 |
| N••••••••• C•••••• P••••••• CRD 170112 | Westport, CT | asset manager | $582M | 0.0% | 0 | n/a | 0 | 14 |
| J••••••• G•••• I••••••••• A•••••••• I••• CRD 108156 | Stamford, CT | independent RIA | $578M | 100% | 4 | $144M | 0 | 0 |
| B•••••• M••••••••• I• L•• CRD 309685 | Stamford, CT | asset manager | $573M | 0.0% | 0 | n/a | 1 | 5 |
| C•••••• I••••••••• P•••••••• I••• CRD 120387 | Hartford, CT | institutional | $572M | 0.0% | 1 | $572M | 0 | 0 |
| F•••••• I••••••••• M••••••••• I••• CRD 126052 | South Windsor, CT | independent RIA | $569M | 52% | 3 | $190M | 4 | 0 |
| P•••• 4• C•••••• P•••••••• L••• CRD 334365 | Cos Cob, CT | asset manager | $563M | 0.0% | 0 | n/a | 0 | 6 |
| H• P••••••• L•• CRD 147400 | Centerbrook, CT | independent RIA | $556M | 97% | 5 | $111M | 0 | 0 |
| N••• W••••• CRD 342013 | Greenwich, CT | independent RIA | $553M | 100% | 4 | $138M | 0 | 0 |
| N••••••• R•••• C•••••• M••••••••• L••• CRD 133046 | Darien, CT | asset manager | $553M | 0.0% | 0 | n/a | 0 | 2 |
| V••••• C•• CRD 335143 | Darien, CT | asset manager | $550M | 0.0% | 0 | n/a | 2 | 0 |
| 3• B•••••••• C••••••• L• CRD 326929 | Greenwich, CT | asset manager | $546M | 0.0% | 0 | n/a | 0 | 6 |
| L••••• W•••••• L•• CRD 170805 | Norwalk, CT | independent RIA | $536M | 100% | 4 | $134M | 0 | 0 |
| F••••••••• A•••• M••••••••• L•• CRD 314538 | Darien, CT | asset manager | $535M | 0.0% | 0 | n/a | 0 | 2 |
| M•••• A•••• M••••••••• I••• CRD 285650 | Darien, CT | independent RIA | $534M | 87% | 0 | n/a | 0 | 0 |
| C••••••• E••••• P••••••• L• CRD 323131 | Darien, CT | asset manager | $529M | 0.0% | 0 | n/a | 0 | 2 |
| 5•• S••••• A•••••••• L•• CRD 140165 | Southport, CT | independent RIA | $524M | 60% | 4 | $131M | 1 | 0 |
| C•••••• I••••••••• L•• CRD 106159 | West Hartford, CT | independent RIA | $524M | 96% | 1 | $524M | 0 | 0 |
| M••••• F•••••••• A•••••••• I••• CRD 122480 | Danbury, CT | independent RIA | $519M | 99% | 3 | $173M | 0 | 0 |
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506 advisers match.