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 |
|---|---|---|---|---|---|---|---|---|
| Dc Global Ventures CRD 293073 | Menlo Park, CA | asset manager | $2.7B | 0.0% | 0 | Not computed | 2 | 8 |
| Rembert Pendleton Jackson CRD 306510 | Vienna, VA | independent RIA | $2.7B | 96% | 16 | $170M | 0 | 0 |
| 1789 Capital Management CRD 335007 | Palm Beach, FL | asset manager | $2.7B | 0.0% | 0 | Not computed | 1 | 26 |
| K•• R••••• A•••••••• L•• CRD 119662 | Newport Beach, CA | other | $2.7B | 0.0% | 0 | Not computed | 0 | 0 |
| R•• F•••••••• A••••••• I•• CRD 110744 | Philadelphia, PA | independent RIA | $2.7B | 65% | 20 | $136M | 4 | 0 |
| S•••• P•••• C••••••••• R••• E••••• F•••••• L•• CRD 311808 | New York, NY | other | $2.7B | 0.0% | 0 | Not computed | 3 | 1 |
| P•• L••• M••••••••• C•••••• 2• L•• CRD 297186 | Chicago, IL | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 8 |
| B••• F•• A••••••••• I••• CRD 133561 | Sewickley, PA | independent RIA | $2.7B | 99% | 28 | $97.3M | 2 | 0 |
| E•• P••••••• C••••••• L• CRD 319010 | Miami, FL | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 14 |
| P•• S•••• C••• A•••••••• L•• CRD 172658 | Pittsburgh, PA | asset manager | $2.7B | 0.0% | 0 | Not computed | 3 | 0 |
| I•••••• I••••••••• A•••••••• L••• CRD 324591 | New York, NY | other | $2.7B | 0.0% | 0 | Not computed | 0 | 0 |
| M••••••• P••••••• CRD 162296 | Greenwich, CT | asset manager | $2.7B | 0.0% | 0 | Not computed | 1 | 1 |
| A•• I••••••••• P•••••••• L•• CRD 5845 | New York, NY | independent RIA | $2.7B | 74% | 5 | $541M | 0 | 2 |
| 1••• A•••• M••••••••• L•• CRD 319422 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 14 |
| W••••• • D••••• I••••••••• P•••••••• I••• CRD 165022 | Denver, CO | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 20 |
| G•••••• C•••••• CRD 130640 | Montreal, | independent RIA | $2.7B | 64% | 3 | $901M | 0 | 1 |
| S••••••• A•••• M••••••••• L• CRD 281548 | New York, NY | independent RIA | $2.7B | 89% | 0 | Not computed | 0 | 0 |
| 1•••••• C•••••• L•• CRD 285866 | San Francisco, CA | asset manager | $2.7B | 0.0% | 0 | Not computed | 1 | 4 |
| M•• M••••••••• L• CRD 324518 | Austin, TX | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 13 |
| T•• P• M••••••••• C•••••• L•• CRD 333068 | Los Angeles, CA | asset manager | $2.7B | 0.0% | 0 | Not computed | 5 | 2 |
| H••• M••• C•••••• P•••••••• L• CRD 316354 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 1 |
| 3• C••••••••• CRD 159892 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 8 |
| A••••••• P•••••••• M••••••••• L•• CRD 138769 | New York, NY | institutional | $2.7B | 0.0% | 0 | Not computed | 0 | 0 |
| G••••• A••••••• I••••••••• A•••••••• L•• CRD 167429 | Indianapolis, IN | asset manager | $2.7B | 0.0% | 2 | $1.3B | 0 | 0 |
| D••••• W••••••• A•••• M••••••••• L•• CRD 174809 | Memphis, TN | mixed wealth | $2.7B | 30% | 15 | $180M | 0 | 0 |
| I••••• I••••••••• M••••••••• C•• L•• CRD 329696 | Seattle, WA | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 3 |
| B••••••••• P••••••••• CRD 309668 | Los Angeles, CA | asset manager | $2.7B | 0.0% | 0 | Not computed | 5 | 12 |
| N•• I••••••••• A••••••• CRD 104683 | Grand Rapids, MI | independent RIA | $2.7B | 88% | 13 | $207M | 0 | 0 |
| R•• A•••• M••••••••• L•• CRD 158268 | Uniondale, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 1 | 76 |
| G••• C•••••• L•• CRD 151427 | Beverly Hills, CA | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 3 |
| G••••••• M••••••••• C••••••• L•• CRD 160331 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 1 | 7 |
| S•••••• M•••• M••••••••• L•• CRD 112608 | Watkinsville, GA | independent RIA | $2.7B | 55% | 13 | $207M | 0 | 0 |
| P•••••••• C•••••• A•••••••• L•• CRD 157784 | Greenwich, CT | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 34 |
| M•••••••• C•••••• M••••••••• L•• CRD 297302 | Austin, TX | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 0 |
| C•••••• D•••••••• I••• CRD 130320 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 27 |
| A•••••• P•••••••• M••••••••• L••• CRD 114642 | Tel Aviv, | mixed wealth | $2.7B | 35% | 0 | Not computed | 0 | 0 |
| V••••• W••••• M•••••••• I••• CRD 108879 | Paramus, NJ | independent RIA | $2.7B | 77% | 48 | $56.0M | 12 | 0 |
| W• C•••••• P••••••• CRD 159408 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 15 |
| M••• S••••• R••••••• L•• CRD 114629 | Lakeville, CT | independent RIA | $2.7B | 98% | 17 | $158M | 4 | 0 |
| C•• C••••••• L•• CRD 277038 | Los Angeles, CA | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 0 |
| C••••• C•••••• M••••••••• L• CRD 157813 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 0 |
| M••••• P•••••••• L•• CRD 161326 | Boston, MA | asset manager | $2.7B | 0.0% | 0 | Not computed | 4 | 4 |
| M••••• L•• CRD 170914 | Radnor, PA | independent RIA | $2.7B | 99% | 134 | $20.0M | 75 | 0 |
| I••••••• C•••••• P•••••••• L• CRD 288774 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 21 |
| H•••• V••• P••••••• L•• CRD 105926 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 1 | 22 |
| P••• V••••• I••••••••• CRD 173995 | Marlton, NJ | independent RIA | $2.7B | 86% | 33 | $81.0M | 1 | 2 |
| P•••••• A••••••• L•• CRD 315804 | Denver, CO | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 0 |
| 3• N•••• C•••••• M••••••••• L•• CRD 317557 | Bentonville, AR | institutional | $2.7B | 0.0% | 3 | $890M | 0 | 0 |
| W••••••• A••••••• L•• CRD 152145 | Waltham, MA | independent RIA | $2.7B | 55% | 8 | $334M | 0 | 66 |
| M•••••••• G••••• I••• CRD 132131 | Portland, OR | institutional | $2.7B | 6.1% | 15 | $178M | 0 | 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.