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 |
|---|---|---|---|---|---|---|---|---|
| Rock Harbor Partners LLC CRD 322545 | Larchmont, NY | independent RIA | $2.7B | 96% | 0 | Not computed | 0 | 0 |
| Phillips And Company Advisors LLC CRD 167214 | Portland, OR | independent RIA | $2.7B | 70% | 13 | $205M | 0 | 0 |
| Mitchell, Mcleod, Pugh & Williams, Inc. CRD 138240 | Mobile, AL | independent RIA | $2.7B | 65% | 10 | $266M | 0 | 0 |
| L••••• W••••• M••••••••• L•• CRD 108619 | Memphis, TN | independent RIA | $2.7B | 90% | 16 | $166M | 0 | 0 |
| L•••••••• A••••••• L•• CRD 107364 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 8 | 7 |
| B••••••• C•••••• A••••••• L•• CRD 312130 | Ambler, PA | asset manager | $2.7B | 0.0% | 0 | Not computed | 0 | 2 |
| I•• W••••• M••••••••• I••• CRD 111872 | Decatur, IL | BD affiliated | $2.7B | 96% | 68 | $39.1M | 39 | 0 |
| G•••• C••••••• I••• CRD 151043 | Seattle, WA | independent RIA | $2.7B | 85% | 9 | $295M | 0 | 0 |
| C••••••••• I••••••••• P•••••••• L•• CRD 111753 | Atlanta, GA | other | $2.7B | 10% | 8 | $332M | 0 | 0 |
| I•••• I••• CRD 124337 | Plymouth, MI | institutional | $2.7B | 2.2% | 3 | $885M | 0 | 0 |
| O•••••• P••••••• CRD 108100 | San Francisco, CA | independent RIA | $2.7B | 87% | 11 | $241M | 1 | 1 |
| E••••••• P•••••••• L••• CRD 282358 | New York, NY | asset manager | $2.7B | 0.0% | 0 | Not computed | 1 | 3 |
| 2•••••• D••••• L•••••• CRD 323152 | New York, NY | asset manager | $2.6B | 0.0% | 0 | Not computed | 1 | 0 |
| T•••••••• P••••••• M••••••••• L•• CRD 287674 | Houston, TX | asset manager | $2.6B | 0.0% | 0 | Not computed | 1 | 54 |
| T•• C•••••• M••••••••• CRD 298007 | Playa Vista, CA | asset manager | $2.6B | 0.0% | 0 | Not computed | 2 | 13 |
| E••••• F•••••••• G•••• CRD 108233 | Chicago, IL | mixed wealth | $2.6B | 49% | 13 | $203M | 6 | 0 |
| F••••• V••••• CRD 283656 | Greenville, SC | independent RIA | $2.6B | 98% | 20 | $132M | 0 | 0 |
| M•••••• R••••• I••• CRD 328098 | Chicago, IL | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 3 |
| J••••• C•••••• M••••••••• L•• CRD 147663 | Pittston, PA | independent RIA | $2.6B | 90% | 31 | $85.2M | 3 | 0 |
| S•••••• S••••••••• CRD 42180 | Houston, TX | BD affiliated | $2.6B | 98% | 63 | $41.9M | 18 | 0 |
| T•• P•••••• F•••••••• G••••• L•• CRD 172470 | Walpole, MA | independent RIA | $2.6B | 54% | 35 | $75.4M | 24 | 0 |
| V•••••• I••••••••• CRD 289261 | Portland, OR | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 1 |
| C•••••• F••• U• I••• CRD 315650 | New York, NY | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 5 |
| S•••••••• C•••••• M••••••••• L•• CRD 164661 | San Francisco, CA | asset manager | $2.6B | 0.0% | 0 | Not computed | 3 | 7 |
| A• C•••••• M••••••••• L•• CRD 291880 | Nashville, TN | asset manager | $2.6B | 0.0% | 0 | Not computed | 3 | 41 |
| P••••••• F•••••••• CRD 131344 | Fort Wayne, IN | independent RIA | $2.6B | 64% | 15 | $176M | 1 | 0 |
| P••••••• P••••••• CRD 159450 | Salt Lake City, UT | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 28 |
| Z••••••• • W••••• I•• CRD 108670 | St Louis, MO | independent RIA | $2.6B | 95% | 8 | $329M | 0 | 0 |
| I••• F•••• ••• L•••••• CRD 307680 | London, | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 1 |
| I••• F•••• •••• L•• CRD 307934 | Boca Raton, FL | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 1 |
| F•••• C••••••• I••••••• S•••••••• I••• CRD 44430 | Raleigh, NC | BD affiliated | $2.6B | 99% | 405 | $6.5M | 111 | 0 |
| S•••••••• C•••••• CRD 172775 | Greenwich, CT | institutional | $2.6B | 0.0% | 0 | Not computed | 1 | 0 |
| Q••• I••••••••• M••••••••• C•••• CRD 331606 | Seoul, Yeongdeungpo-Gu, | other | $2.6B | 0.2% | 0 | Not computed | 0 | 0 |
| A• B•••••• S••••••••• L••• M•••••• L•• CRD 308135 | Nashville, TN | asset manager | $2.6B | 0.0% | 0 | Not computed | 1 | 6 |
| C•••• A•••• M••••••••• I•• CRD 104764 | Champaign, IL | independent RIA | $2.6B | 94% | 20 | $131M | 0 | 0 |
| T•• P•••••••• S••••••• G••••• L•• CRD 166593 | White Plains, NY | independent RIA | $2.6B | 78% | 1 | $2.6B | 0 | 1 |
| P•••••• S••••••••• L•• CRD 8096 | Hato Rey, PR | mixed wealth | $2.6B | 26% | 58 | $45.2M | 8 | 0 |
| A••••• I••••••••• M••••••••• L•• CRD 310749 | New York, NY | asset manager | $2.6B | 0.0% | 0 | Not computed | 1 | 11 |
| I••••• R••••••••• G•••• CRD 106299 | Miami, FL | mixed wealth | $2.6B | 26% | 10 | $262M | 0 | 0 |
| Q•••• O••••••••• P••••••• CRD 167470 | Charlottesville, VA | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 3 |
| A•••• C•••••• P•••••••• L•• CRD 116165 | St. Louis, MO | independent RIA | $2.6B | 73% | 2 | $1.3B | 0 | 5 |
| A•••••••• I••••••••• M••••••••• CRD 121307 | Chesterfield, MO | independent RIA | $2.6B | 95% | 37 | $70.6M | 0 | 0 |
| D••••••••• S••••• C•••••• M••••••••• L• CRD 317392 | Miami, FL | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 1 |
| L•• A••••••••• I••• CRD 105971 | Atlanta, GA | other | $2.6B | 4.0% | 4 | $652M | 2 | 0 |
| B•••••• R•••• C•••••• CRD 310102 | New York, NY | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 10 |
| L• F•••• CRD 161552 | Philadelphia, PA | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 20 |
| M••••• F••• A•••• M••••••••• CRD 149688 | Alexandria, VA | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 0 |
| T•••••••• W••••• M••••••••• L•• CRD 128314 | Edina, MN | independent RIA | $2.6B | 85% | 24 | $108M | 3 | 0 |
| S••• I•••••••• CRD 317257 | Bryn Mawr, PA | asset manager | $2.6B | 0.0% | 0 | Not computed | 3 | 0 |
| T••••• W•••••• L••••• CRD 158847 | Scottsdale, AZ | independent RIA | $2.6B | 100% | 44 | $59.1M | 37 | 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.