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 |
|---|---|---|---|---|---|---|---|---|
| Sterling Investment Management CRD 174707 | West Palm Beach, FL | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 13 |
| Sarofim International Management Co CRD 106933 | Houston, TX | mixed wealth | $2.4B | 39% | 14 | $172M | 0 | 0 |
| Moody, Lynn, Lieberson & Walker, LLC CRD 283549 | Boston, MA | independent RIA | $2.4B | 89% | 8 | $301M | 0 | 1 |
| S••••• A•••••••• L•• CRD 174042 | San Francisco, CA | independent RIA | $2.4B | 96% | 4 | $602M | 1 | 0 |
| A•••• C•••••• P•••••••• L• CRD 284487 | Shaker Heights, OH | asset manager | $2.4B | 0.0% | 0 | Not computed | 1 | 7 |
| O••••• F•••••• A•••••••• L•• CRD 304433 | Alexandria, VA | asset manager | $2.4B | 0.0% | 0 | Not computed | 9 | 4 |
| F••••• A••••• C•••••• M••••••••• L• CRD 321948 | Miami, FL | asset manager | $2.4B | 0.0% | 0 | Not computed | 1 | 1 |
| K•••• C•••••• M••••••••• L• CRD 314368 | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 1 | |
| S••••••• I••••••••• M••••••••• CRD 129800 | Buffalo, NY | independent RIA | $2.4B | 87% | 13 | $185M | 1 | 0 |
| E•• A••••••• CRD 115211 | Cambridge, MN | BD affiliated | $2.4B | 97% | 52 | $46.2M | 25 | 0 |
| P•••••• A•••• M••••••••• P••••••• L•••••• CRD 284936 | London, | asset manager | $2.4B | 0.1% | 0 | Not computed | 0 | 0 |
| I••••• C•••••• M••••••••• L• CRD 319645 | New York, NY | asset manager | $2.4B | 0.0% | 0 | Not computed | 2 | 10 |
| A••••• C•••••• L•• CRD 281625 | Geneva, | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 3 |
| S••••••••• F•••••••• G••••• L•• CRD 337972 | St. Louis, MO | mixed wealth | $2.4B | 25% | 7 | $343M | 1 | 0 |
| H•••• C•••••• L•• CRD 297176 | Chicago, IL | asset manager | $2.4B | 0.0% | 2 | $1.2B | 2 | 1 |
| F•• C•••••• P••••••• CRD 108967 | Bethesda, MD | independent RIA | $2.4B | 99% | 11 | $218M | 3 | 0 |
| C•••••• I••••••••• A••••••• S•••••••• L•• CRD 149124 | Raleigh, NC | BD affiliated | $2.4B | 96% | 103 | $23.2M | 39 | 0 |
| R•• A••••• I••••••••• S••• CRD 226589 | Geneva, | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 0 |
| W••••••••• T•••• A••••••• CRD 110407 | Wellesley, MA | independent RIA | $2.4B | 83% | 14 | $171M | 2 | 0 |
| N•••••••• C••••••• L•• CRD 152430 | Newtown Square, PA | independent RIA | $2.4B | 97% | 6 | $399M | 0 | 0 |
| N•••••••• C•••••• P••••••• CRD 310492 | Copenhagen, | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 2 |
| T•••••••• G•••• CRD 301548 | Bellevue, WA | independent RIA | $2.4B | 79% | 17 | $141M | 0 | 1 |
| D•••••• A•••• A•••••••• L•• CRD 286351 | Henderson, NV | asset manager | $2.4B | 0.0% | 0 | Not computed | 2 | 13 |
| G• I••••••••• CRD 170990 | Hong Kong, | other | $2.4B | 7.1% | 0 | Not computed | 0 | 0 |
| P•••••• C•••••• M••••••••• L•• CRD 158105 | New York, NY | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 9 |
| R••••• A••••••• L•• CRD 330091 | New York, NY | other | $2.4B | 0.2% | 1 | $2.4B | 1 | 0 |
| S••• G••••• I••••••••• L•• CRD 114669 | Durango, CO | other | $2.4B | 16% | 19 | $126M | 0 | 0 |
| S••• G••••• M••••••••• CRD 173621 | Humacao, PR | other | $2.4B | 16% | 0 | Not computed | 0 | 0 |
| O•• R•••• A•••• M••••••••• L•• CRD 167835 | Stamford, CT | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 10 |
| M•••••• • W••• L•••••• CRD 316199 | Haddington, East Lothian, | independent RIA | $2.4B | 55% | 0 | Not computed | 2 | 0 |
| P•••••• C•••••• M••••••••• I•• CRD 106295 | Providence, RI | independent RIA | $2.4B | 92% | 14 | $170M | 4 | 0 |
| M••••• M••••••••• CRD 315593 | London, | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 5 |
| P••••••• C•••••• M••••••••• I••• CRD 107982 | Albany, NY | mixed wealth | $2.4B | 43% | 2 | $1.2B | 1 | 2 |
| N•• 2•• C•••••• CRD 292254 | New York, NY | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 0 |
| Y••••• W••• P••••••• CRD 161062 | Boston, MA | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 10 |
| S•••••• L• E• • A••••••••• I•• CRD 107599 | Houston, TX | asset manager | $2.4B | 0.0% | 1 | $2.4B | 0 | 8 |
| S••••• A•••• M••••••••• CRD 322039 | Dallas, TX | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 0 |
| A••••• C•••••• A••••••• L•• CRD 105540 | Boston, MA | mixed wealth | $2.4B | 48% | 17 | $140M | 3 | 0 |
| S•••• M•••• • C•• CRD 3441 | Clayton, MO | BD affiliated | $2.4B | 92% | 45 | $52.7M | 9 | 0 |
| C•••• C•••••• M••••••••• I•• CRD 107058 | Costa Mesa, CA | independent RIA | $2.4B | 94% | 9 | $263M | 0 | 0 |
| C•••••••• C•••••• CRD 304370 | New York, NY | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 1 |
| C•••••• C•••••• CRD 165555 | San Francisco, CA | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 17 |
| E•• P••••••• A••••••• L••• CRD 321653 | Houston, TX | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 13 |
| W••••••••• L•• CRD 296087 | Westlake Village, CA | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 6 |
| G••••••• I••••••••• M••••••••• L•• CRD 107745 | Waltham, MA | other | $2.4B | 3.6% | 0 | Not computed | 0 | 0 |
| F••••••• M••••••••• • R••••••• •••••• L•••••• CRD 148239 | Minato-Ku, Tokyo, | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 0 |
| D••••• G••••• I•••••••• CRD 197522 | Edinburgh, | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 0 |
| C••••••• C•••••• CRD 307688 | Stamford, CT | asset manager | $2.4B | 0.0% | 0 | Not computed | 0 | 2 |
| S••••••• P•••••••• L•• CRD 133157 | Minneapolis, MN | institutional | $2.4B | 8.8% | 4 | $590M | 0 | 0 |
| G••••• A•••• M••••••••• L•• CRD 109034 | Walnut Creek, CA | independent RIA | $2.4B | 98% | 8 | $295M | 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.