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 |
|---|---|---|---|---|---|---|---|---|
| Locorr Fund Management, LLC CRD 156247 | Excelsior, MN | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 0 |
| Ckw Financial Group, LLC CRD 152116 | Honolulu, HI | mixed wealth | $2.5B | 31% | 1 | $2.5B | 1 | 0 |
| The Fiduciary Alliance CRD 284924 | Greenville, SC | independent RIA | $2.5B | 93% | 49 | $51.6M | 25 | 0 |
| I••• I••••••••• N•••• A•••••• I••• CRD 306800 | New York, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 0 |
| C••••••••• W••••• C•••••• CRD 326917 | Chicago, IL | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 10 |
| P•••••• W••••• A•••• M••••••••• CRD 315819 | Omaha, NE | independent RIA | $2.5B | 100% | 22 | $115M | 6 | 0 |
| S••••••••• C•••••• A••••••• L•• CRD 111447 | St. Paul, MN | independent RIA | $2.5B | 71% | 3 | $840M | 2 | 0 |
| A•••• A••••••• G•••• L•• CRD 333610 | Gig Harbor, WA | independent RIA | $2.5B | 79% | 5 | $504M | 1 | 0 |
| T•••••••• C•••••• L• CRD 298583 | Purchase, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 1 |
| A••••• C•••••• P•••••••• L••• CRD 172012 | Greenwich, CT | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 8 |
| A•••• C•••••• P•••••••• L•• CRD 147346 | Atlanta, GA | independent RIA | $2.5B | 73% | 7 | $359M | 1 | 2 |
| A••••••• C•••••• M••••••••• L• CRD 161528 | New York, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 0 |
| S•••••••• P•••••••• L•• CRD 116569 | Seattle, WA | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 2 |
| N•• A•• A•••• CRD 299011 | Rye, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 1 |
| N• S••••• G• L• CRD 299240 | San Francisco, CA | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 4 |
| S••••••• R••••••• • I••••••••• M••••••••• CRD 110506 | S•••••••, CA | independent RIA | $2.5B | 76% | 15 | $167M | 4 | 0 |
| W••••••••• P•••••••• I••• CRD 157116 | New York, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 9 |
| R•• P•••••• W••••• CRD 122693 | Lancaster, PA | independent RIA | $2.5B | 84% | 27 | $92.9M | 6 | 0 |
| M••• S••••• F•••••••• S••••••••• L•• CRD 305834 | Newtown, PA | independent RIA | $2.5B | 95% | 41 | $61.2M | 21 | 0 |
| H•••••• S••••••••• I••• CRD 6220 | Dallas, TX | BD affiliated | $2.5B | 90% | 164 | $15.3M | 18 | 0 |
| T•• E••••••• G•••• L•• CRD 161407 | New York, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 3 |
| O•• V••••••• CRD 172513 | San Francisco, CA | asset manager | $2.5B | 0.0% | 0 | Not computed | 2 | 19 |
| K••••••• N••••••• G••••• L•• CRD 142885 | Salt Lake City, UT | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 0 |
| A•••• C•••••• L• CRD 287621 | Miami, FL | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 3 |
| P•••••• C•••••• M••••••••• L•• CRD 307336 | Baltimore, MD | asset manager | $2.5B | 3.6% | 0 | Not computed | 0 | 1 |
| N•••• S••• I••••••••• M••••••••• C••••••••• CRD 117681 | Chicago, IL | independent RIA | $2.5B | 78% | 11 | $227M | 2 | 0 |
| S•••• C•••••• P••••••• CRD 284027 | Austin, TX | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 14 |
| M•••••••• M••••••••• I• L•• CRD 132008 | New York, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 24 |
| F••••••• I••••••••• M••••••••• P••••••• L••• CRD 282586 | Dubai, | other | $2.5B | 0.0% | 0 | Not computed | 0 | 2 |
| P•••••••• F•••••••• S••••••• CRD 286477 | Los Angeles, CA | independent RIA | $2.5B | 93% | 49 | $51.0M | 14 | 0 |
| C••••••• C•••••• M••••••••• L• CRD 281154 | New York, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 16 |
| A•••••••• C•••••• M••••••••• CRD 157423 | Cornelius, NC | independent RIA | $2.5B | 90% | 152 | $16.4M | 86 | 0 |
| F••••••• C•••••• P•••••••• L•• CRD 161258 | West Hartford, CT | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 26 |
| H••• V••••••• M••••••••• L• CRD 318409 | Menlo Park, CA | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 5 |
| B•••••• L••• A••••••• S•••••••• I••• CRD 281285 | Chicago, IL | BD affiliated | $2.5B | 99% | 533 | $4.7M | 136 | 0 |
| W••••••• C•••••• P••••••• L•• CRD 316528 | Nashville, TN | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 5 |
| S••••• H••• E••••• P•••••••• L• CRD 307537 | Dallas, TX | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 3 |
| C••••••••• W••••• CRD 289971 | Huntersville, NC | independent RIA | $2.5B | 98% | 30 | $82.9M | 8 | 0 |
| C••••••••• A•••• M••••••••• L•• CRD 330657 | Tampa, FL | asset manager | $2.5B | 0.0% | 1 | $2.5B | 1 | 2 |
| T•• M••••••••• A••••••••• L•• CRD 160907 | New York, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 48 |
| S•••••• C•••••• P••••••• CRD 108954 | Birmingham, MI | other | $2.5B | 11% | 9 | $276M | 2 | 0 |
| T•• I••••••••• H•••• L•• CRD 163493 | Redondo Beach, CA | independent RIA | $2.5B | 59% | 8 | $310M | 1 | 0 |
| W•••••• P••••••• CRD 105951 | Bryan, TX | independent RIA | $2.5B | 62% | 5 | $496M | 1 | 0 |
| R•••••• I••••••••• M••••••••• L••• CRD 153139 | Scottsdale, AZ | asset manager | $2.5B | 3.3% | 1 | $2.5B | 0 | 0 |
| L•• A•••••••• L•• CRD 159403 | Pittsford, NY | independent RIA | $2.5B | 65% | 8 | $309M | 2 | 0 |
| R••••••• P•••••••• L•• CRD 106432 | Mequon, WI | other | $2.5B | 5.4% | 6 | $412M | 0 | 0 |
| O•• C•••• A•••• M••••••••• L••• CRD 139371 | New York, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 2 | 7 |
| K•••• C•••••• L• CRD 156361 | New York, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 7 |
| C•••• I••••••••• M••••••••• L•• CRD 156553 | New York, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 5 | 8 |
| S•••••• C•••••• M••••••••• CRD 156956 | Boston, MA | asset manager | $2.5B | 0.0% | 0 | Not computed | 2 | 8 |
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.