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 |
|---|---|---|---|---|---|---|---|---|
| Checchi Capital Advisers, LLC CRD 143478 | Beverly Hills, CA | independent RIA | $2.6B | 62% | 8 | $324M | 1 | 0 |
| Wfm Asia (Bvi) Limited CRD 139173 | Hong Kong, | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 2 |
| Wfm Asia (Hk) Limited CRD 139184 | Hong Kong, | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 0 |
| S•• I••••••••• L•• CRD 330022 | Chicago, IL | asset manager | $2.6B | 0.0% | 0 | Not computed | 2 | 9 |
| E••••• P••••••• M••••••••• L•• CRD 310951 | Nashville, TN | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 20 |
| T•••• • D••••••• P••••••• M••••••••• L• CRD 298088 | Chicago, IL | asset manager | $2.6B | 0.0% | 0 | Not computed | 1 | 16 |
| P•••••• T••• V•••••••• I••• CRD 164588 | San Jose, CA | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 43 |
| T•• C••••••• C•••••• G•••• I••• CRD 155299 | Toronto, | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 6 |
| D•••• • D•••••••• P•••••• I••••••••• C••••••• I••• CRD 121560 | Bloomfield Hills, MI | independent RIA | $2.6B | 69% | 11 | $235M | 2 | 0 |
| M•••• C•••••• M••••••••• I••• CRD 130209 | Montpelier, VT | independent RIA | $2.6B | 92% | 14 | $184M | 1 | 0 |
| N•••• H••••• R••••••• P••••••• L• CRD 297155 | Houston, TX | asset manager | $2.6B | 0.0% | 0 | Not computed | 1 | 9 |
| I••• W••••• P••••••• CRD 319609 | Houston, TX | independent RIA | $2.6B | 97% | 18 | $143M | 1 | 0 |
| Z•• A•••••••• L••• CRD 161274 | New York, NY | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 11 |
| R•••••• A••••••••• L•• CRD 314528 | Wayne, PA | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 17 |
| I••••••••• A••••• I••••••••• M••••••••• L•• CRD 144426 | Orlando, FL | BD affiliated | $2.6B | 97% | 120 | $21.4M | 95 | 0 |
| B•••••• C•••••• CRD 291692 | West Hollywood, CA | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 51 |
| A••••••• C•••••• S••••••••• I••• CRD 146725 | other | $2.6B | 0.0% | 0 | Not computed | 0 | 0 | |
| B••••••••• A••••••• I••• CRD 109826 | New York, NY | independent RIA | $2.6B | 97% | 14 | $183M | 0 | 0 |
| V••••• C•••••• P•••••••• L•• CRD 155953 | New York, NY | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 20 |
| B••••• C•••••• M••••••••• L•• CRD 151672 | New York, NY | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 7 |
| A••••• V••••••• CRD 326592 | Minneapolis, MN | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 17 |
| H••••• C•••••• M••••••••• G••••• L•• CRD 310510 | Los Angeles, CA | independent RIA | $2.6B | 78% | 3 | $854M | 2 | 0 |
| D•••• P•••• C••••••• L••• CRD 172538 | Rye, NY | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 9 |
| R••••••• A•••••••• I••• CRD 111452 | San Juan, PR | asset manager | $2.6B | 0.0% | 0 | Not computed | 2 | 1 |
| B•••• R•••• I••••••••• M••••••••• L•• CRD 285755 | London, | asset manager | $2.6B | 0.0% | 0 | Not computed | 1 | 3 |
| B•••• C•••••• M••••••••• L••• CRD 132311 | Stamford, CT | independent RIA | $2.6B | 100% | 3 | $853M | 3 | 1 |
| K••••••••• A•••• M••••••••• L•• CRD 309780 | Austin, TX | asset manager | $2.6B | 0.0% | 7 | $365M | 1 | 0 |
| C•••••• C•••••• M••••••••• I•• CRD 107823 | Minneapolis, MN | independent RIA | $2.6B | 75% | 14 | $183M | 1 | 0 |
| G••••••• W••••• S•••••••• L•• CRD 151478 | Vienna, VA | independent RIA | $2.6B | 96% | 14 | $183M | 16 | 0 |
| M•• A••••••• L•• CRD 165906 | Coral Gables, FL | institutional | $2.6B | 1.6% | 4 | $639M | 2 | 0 |
| G•••• A••••••• A•••• M••••••••• L••• CRD 307801 | Hong Kong, | asset manager | $2.6B | 0.0% | 0 | Not computed | 1 | 0 |
| A••••• C•••••• L•••••• CRD 127600 | London, | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 7 |
| C•••••• P••••• W••••• M••••••••• CRD 110729 | Pittsburgh, PA | independent RIA | $2.6B | 84% | 23 | $111M | 3 | 0 |
| S•• I••••••••• M••••••••• L•• CRD 104889 | Los Angeles, CA | mixed wealth | $2.6B | 20% | 0 | Not computed | 0 | 0 |
| A••••••• C•••••• G••••• L• CRD 306333 | New York, NY | asset manager | $2.6B | 0.0% | 0 | Not computed | 0 | 3 |
| R•• A•••• M••••••••• L•• CRD 168336 | Newport Beach, CA | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 4 |
| C•••••••• C•••••• M••••••••• L•• CRD 127398 | Memphis, TN | other | $2.5B | 18% | 14 | $182M | 0 | 3 |
| R• C•••••• M••••••••• P•••••• L•• CRD 171385 | Singapore, | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 5 |
| U•••• A•••• M••••••••• L• CRD 330942 | New York, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 0 |
| C••••••••• S••••••••• L•• CRD 152974 | Overland Park, KS | BD affiliated | $2.5B | 89% | 127 | $20.0M | 125 | 0 |
| P•••• 3• C•••••• M••••••••• L•• CRD 294408 | Boca Raton, FL | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 0 |
| B••••••••• I•••••• F••• M••••••••• L•••••• CRD 292144 | Dublin 2, | asset manager | $2.5B | 0.0% | 0 | Not computed | 5 | 3 |
| M••• I••••••••• L•• CRD 112305 | Palo Alto, CA | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 0 |
| V•••••• C•••••• L•• CRD 319212 | El Segundo, CA | independent RIA | $2.5B | 89% | 8 | $317M | 0 | 12 |
| C••••••• I••••••••• A•••••••• I••• CRD 104705 | Kansas City, MO | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 0 |
| S•••••••• B••••••••• L•• CRD 284840 | Atlanta, GA | independent RIA | $2.5B | 98% | 54 | $47.0M | 26 | 0 |
| M•••••••• I••••••••• A••• L•••••• CRD 285521 | Hong Kong, | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 0 |
| D•••••••• G•••• L• CRD 154396 | Stamford, CT | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 10 |
| C••••••••• A•••• M••••••••• I•• CRD 104946 | C•••••••••, OH | independent RIA | $2.5B | 80% | 1 | $2.5B | 0 | 0 |
| R•••••• W••••• M••••••••• L•• CRD 169814 | Akron, OH | independent RIA | $2.5B | 95% | 9 | $281M | 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.