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 |
|---|---|---|---|---|---|---|---|---|
| Toms Capital Investment Management LP CRD 291362 | New York, NY | other | $2.8B | 13% | 0 | Not computed | 0 | 1 |
| Mlc Asset Management US LLC CRD 314738 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 0 |
| Peakline Partners, LLC CRD 306449 | Chicago, IL | asset manager | $2.8B | 0.0% | 1 | $2.8B | 1 | 34 |
| W•••••• A•••• M••••••••• C•••••• P•• L•• CRD 142188 | Singapore, | institutional | $2.8B | 0.0% | 0 | Not computed | 0 | 0 |
| P••• C••••••• P••••••• CRD 105335 | Houston, TX | independent RIA | $2.8B | 81% | 13 | $215M | 0 | 0 |
| W••••• T••• C••••• P••••••• L• CRD 287810 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 2 | 0 |
| C••••••••• CRD 161372 | Nashville, TN | asset manager | $2.8B | 0.0% | 0 | Not computed | 4 | 13 |
| A••••• M••••••••• C••••••• L•• CRD 288045 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 0 |
| R••••••••• I••••••••• CRD 728 | Chicago, IL | independent RIA | $2.8B | 94% | 17 | $164M | 2 | 1 |
| T••••••• A•••• M••••••••• L•• CRD 323567 | San Antonio, TX | independent RIA | $2.8B | 94% | 44 | $63.5M | 16 | 0 |
| D••••••••• L•• CRD 331709 | Wilmington, DE | independent RIA | $2.8B | 95% | 30 | $93.0M | 11 | 1 |
| P•••••• M••••••••• L•• CRD 156810 | Chattanooga, TN | asset manager | $2.8B | 0.0% | 1 | $2.8B | 1 | 1 |
| B•••••••• A•••• M••••••••• L•• CRD 145463 | Wilkes-Barre, PA | independent RIA | $2.8B | 85% | 6 | $465M | 0 | 2 |
| V••• I••••••••• P•••••••• L•• CRD 309023 | Lawrence, KS | institutional | $2.8B | 0.0% | 3 | $930M | 1 | 0 |
| I••••••••• I••••••••• S•••••••• L•• CRD 314925 | New York, NY | institutional | $2.8B | 0.0% | 0 | Not computed | 0 | 0 |
| B••••••••• R••• E••••• A••••••• E••••• L••• CRD 135952 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 14 | 0 |
| S•••• H••• F•••••••• M••••••••• L•• CRD 164981 | Great Neck, NY | institutional | $2.8B | 0.0% | 0 | Not computed | 0 | 0 |
| J•••••• B••••••• CRD 171168 | Wethersfield, CT | independent RIA | $2.8B | 100% | 27 | $103M | 9 | 0 |
| L•• I••••••••• CRD 323556 | Palm Beach Gardens, FL | independent RIA | $2.8B | 68% | 24 | $116M | 3 | 0 |
| O•••• A••••••• CRD 158515 | San Rafael, CA | independent RIA | $2.8B | 96% | 0 | Not computed | 1 | 1 |
| E•• F•••••••• A••••••• CRD 265 | Montpelier, VT | independent RIA | $2.8B | 95% | 507 | $5.5M | 257 | 0 |
| C••• I••••••••• A••••••• L•••••• CRD 290217 | London, | other | $2.8B | 0.0% | 0 | Not computed | 2 | 1 |
| E••••• F••••••••• L•• CRD 152515 | institutional | $2.8B | 3.1% | 7 | $396M | 2 | 0 | |
| M•••••• CRD 151664 | Overland Park,, KS | independent RIA | $2.8B | 100% | 6 | $462M | 2 | 0 |
| B•••••• • P•••••••• I••• CRD 174336 | mixed wealth | $2.8B | 34% | 1 | $2.8B | 0 | 0 | |
| S•••••• I••••••••• A••••••••• I•• CRD 107480 | Louisville, KY | mixed wealth | $2.8B | 24% | 5 | $554M | 0 | 0 |
| C••••••• C•••••• I••• CRD 172313 | Montreal, | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 1 |
| A••••• CRD 121326 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 1 | 9 |
| S•••••••• R••• E••••• M••••••••• C••••••• L••• CRD 168331 | Chicago, IL | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 13 |
| P•••••• C••••• M••••••••• L•• CRD 154057 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 1 | 11 |
| N••••••• A•••• M••••••••• L••• CRD 149653 | Dallas, TX | asset manager | $2.8B | 0.0% | 1 | $2.8B | 0 | 0 |
| G•• C•••••• P••••••• L• CRD 306914 | Greenwich, CT | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 10 |
| C••••••••• C•••••• P•••••••• L• CRD 167165 | New York, NY | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 13 |
| T••••• C•••• W••••• A•••••••• L•• CRD 322998 | Dallas, TX | independent RIA | $2.8B | 85% | 17 | $162M | 3 | 6 |
| H••••• A•••• M••••••••• L• CRD 167054 | Fort Lauderdale, FL | asset manager | $2.8B | 0.0% | 0 | Not computed | 0 | 4 |
| R•••• C•••••• L•• CRD 157939 | New York, NY | asset manager | $2.8B | 0.1% | 0 | Not computed | 7 | 37 |
| R••• A•• A•••••••• L•• CRD 135781 | institutional | $2.8B | 0.0% | 0 | Not computed | 2 | 0 | |
| A••• P•••••••• M••••••••• L••• CRD 324429 | Menlo Park, CA | independent RIA | $2.8B | 75% | 0 | Not computed | 1 | 7 |
| C•• I••••••••• A••••••• P•••••• L•••••• CRD 163756 | Singapore, | asset manager | $2.8B | 0.0% | 0 | Not computed | 1 | 6 |
| F•••••• I• L•• CRD 294460 | Atlanta, GA | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 0 |
| P•••••• P••••••• L•• CRD 108857 | New York, NY | mixed wealth | $2.7B | 24% | 0 | Not computed | 1 | 2 |
| A•••• W••••• A•••••••• L•• CRD 145488 | Chicago, IL | BD affiliated | $2.7B | 93% | 143 | $19.2M | 26 | 0 |
| G••••••• W••••• A•••••••• L•• CRD 305412 | Raleigh, NC | independent RIA | $2.7B | 72% | 32 | $85.7M | 13 | 0 |
| D••••••• P••••••• L••••• CRD 108147 | Chicago, IL | mixed wealth | $2.7B | 39% | 9 | $305M | 0 | 0 |
| D• H••••••••• P••••••• CRD 160555 | Park City, UT | asset manager | $2.7B | 0.0% | 0 | Not computed | 1 | 12 |
| A•••• H•••••• • B••••• L•• CRD 8517 | Jersey City, NJ | independent RIA | $2.7B | 86% | 5 | $547M | 0 | 0 |
| B•••• W•••••• L•• CRD 299805 | Atlanta, GA | independent RIA | $2.7B | 93% | 61 | $44.8M | 14 | 0 |
| B•••• C•••••• P•••••••• L•• CRD 306359 | Washington, DC | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 9 |
| S••••• C•••••• M••••••••• L•• CRD 174288 | London, | other | $2.7B | 0.0% | 0 | Not computed | 0 | 3 |
| C•• I••••••••• A••••••• S••••••• L•• CRD 106577 | Totowa, NJ | independent RIA | $2.7B | 64% | 10 | $273M | 2 | 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.