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 |
|---|---|---|---|---|---|---|---|---|
| Align Ventures CRD 323154 | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 91 | |
| Oxbow Advisors, LLC CRD 156393 | Austin, TX | independent RIA | $2.5B | 81% | 10 | $246M | 2 | 0 |
| Incentive As CRD 174704 | Oslo, | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 4 |
| E••••••• A••••••• CRD 107091 | Dublin, OH | independent RIA | $2.5B | 96% | 36 | $68.4M | 2 | 0 |
| S•••••• R••• • C••• L•• CRD 3403 | New York, NY | independent RIA | $2.5B | 94% | 12 | $205M | 0 | 0 |
| F•••••••• F•••• CRD 150330 | Maitland, FL | institutional | $2.5B | 0.0% | 1 | $2.5B | 1 | 0 |
| T••• I••••••••• M••••••••• CRD 156308 | Radnor, PA | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 1 |
| M••••• C•••••• M••••••••• L•• CRD 296437 | Washington, DC | asset manager | $2.5B | 0.0% | 0 | Not computed | 2 | 15 |
| F•••• G••••• A••••••• L•• CRD 284722 | San Francisco, CA | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 122 |
| S• • C••• I••• CRD 110026 | Boston, MA | independent RIA | $2.5B | 60% | 0 | Not computed | 0 | 6 |
| U••••••••• ••• L•• CRD 305038 | New York, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 0 |
| U•••• I••••••••• A••••••• CRD 222524 | Mill Valley, CA | other | $2.5B | 4.8% | 0 | Not computed | 1 | 0 |
| A••••••• A•••• A•••••••• L•• CRD 312788 | New York, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 1 | 2 |
| A••••• C•••••• M••••••••• L• CRD 298760 | New York, NY | asset manager | $2.5B | 0.0% | 0 | Not computed | 0 | 3 |
| R•• A••••••• L•• CRD 125696 | Stamford, CT | independent RIA | $2.4B | 100% | 7 | $350M | 0 | 0 |
| S••••• O•• S••••••••• I••• CRD 46947 | Jackson, TN | BD affiliated | $2.4B | 98% | 117 | $20.9M | 85 | 0 |
| C•• I••••••••• P•••••••• L•• CRD 170071 | Westport, CT | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 2 |
| J•••• T•••••• I••••••••• P•••••••• L•• CRD 143608 | Tampa, FL | independent RIA | $2.4B | 70% | 37 | $66.1M | 2 | 1 |
| R••••••••• R•••••••• I••••••••• C••••••••• CRD 47723 | Andover, MA | institutional | $2.4B | 6.5% | 2 | $1.2B | 0 | 0 |
| M•••••• C•••••• M••••••••• L•• CRD 159828 | Denver, CO | other | $2.4B | 17% | 4 | $611M | 0 | 0 |
| B•••••• C•••••• M••••••••• CRD 167233 | Atlanta, GA | asset manager | $2.4B | 0.0% | 0 | Not computed | 3 | 43 |
| M••••••• P••••••• L• CRD 292747 | New York, NY | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 17 |
| D••••• I••••• I••••••••• L•• CRD 109505 | New York, NY | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 0 |
| B•••••• P•••• C•••••• A•••••••• L•• CRD 264789 | Westport, CT | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 8 |
| I••••••• C•••••• P••••••• ••• L•• CRD 310401 | New York, NY | asset manager | $2.4B | 0.0% | 0 | Not computed | 1 | 0 |
| L•••••••• C•••••• M••••••••• C••• L•• CRD 161916 | Menlo Park, CA | asset manager | $2.4B | 0.0% | 0 | Not computed | 2 | 6 |
| G•••••• F•••••••• P••••••• CRD 288210 | Columbus, OH | independent RIA | $2.4B | 100% | 16 | $152M | 4 | 0 |
| G••••••• I••••••••• A•••••••• I••••••••• CRD 108400 | Pittsburgh, PA | independent RIA | $2.4B | 90% | 11 | $222M | 0 | 0 |
| 6•• C•••••• M••••••••• L•• CRD 156181 | New York, NY | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 1 |
| L••• F•••• C•••••• M••••••••• L•• CRD 322024 | San Juan, PR | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 1 |
| S• O•• C•••••• M••••••••• L• CRD 306361 | Redwood City, CA | asset manager | $2.4B | 0.0% | 0 | Not computed | 1 | 19 |
| P•••••• A•••• M••••••••• L•• CRD 106457 | Omaha, NE | other | $2.4B | 16% | 5 | $487M | 0 | 1 |
| H••• A•• R••••••• I••• CRD 104627 | Rochester, NY | independent RIA | $2.4B | 92% | 11 | $221M | 4 | 0 |
| B•••••••• A•••• M••••••••• S•••••• A• CRD 161987 | Zurich, | asset manager | $2.4B | 0.0% | 0 | Not computed | 1 | 0 |
| P•••••• CRD 156893 | Dallas, TX | asset manager | $2.4B | 0.0% | 1 | $2.4B | 1 | 4 |
| 3••• R••• I••••••••• M••••••••• L•• CRD 286013 | Miami, FL | other | $2.4B | 0.0% | 0 | Not computed | 2 | 16 |
| B••••••••• L• CRD 304295 | New York, NY | other | $2.4B | 17% | 0 | Not computed | 0 | 0 |
| N•••••• • P•••• A••••••• L•• CRD 107113 | Boston, MA | independent RIA | $2.4B | 90% | 2 | $1.2B | 0 | 0 |
| C•••••• A••••••• L•• CRD 160753 | West Palm Beach, FL | asset manager | $2.4B | 0.0% | 0 | Not computed | 3 | 8 |
| T•• M•••••••• R••• E••••• G••••• L• CRD 161957 | Dallas, TX | asset manager | $2.4B | 0.0% | 0 | Not computed | 1 | 3 |
| P••••••• E••••• P•••••••• L•• CRD 307683 | Dallas, TX | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 10 |
| R••• S•••••• C•••••• CRD 168648 | Baltimore, MD | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 2 |
| R•••••••• C•••••• M••••••••• L•• CRD 283107 | Dallas, TX | independent RIA | $2.4B | 75% | 6 | $404M | 0 | 2 |
| V••••• C•••••• P••••••• CRD 317369 | San Francisco, CA | asset manager | $2.4B | 0.0% | 0 | Not computed | 3 | 13 |
| M•••••• I••••••••• M••••••••• L••• CRD 319213 | Toronto, Ontario, | independent RIA | $2.4B | 56% | 1 | $2.4B | 0 | 0 |
| T•••••• C•••••• M••••••••• CRD 138881 | Malvern, PA | independent RIA | $2.4B | 100% | 7 | $346M | 0 | 0 |
| F••••• C•••••• CRD 119081 | Chattanooga, TN | independent RIA | $2.4B | 97% | 2 | $1.2B | 0 | 0 |
| D••• F••••• C•••••• M••••••••• L• CRD 312519 | New York, NY | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 1 |
| W••••• A••••••••• L•• CRD 135373 | Mountain View, CA | independent RIA | $2.4B | 98% | 16 | $151M | 0 | 0 |
| C••••••••• M••••••••• L•• CRD 135810 | Stamford, CT | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 2 |
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.