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 |
|---|---|---|---|---|---|---|---|---|
| Claret Asset Management Corp CRD 110453 | Montreal Quebec, | independent RIA | $2.4B | 66% | 0 | Not computed | 1 | 7 |
| Apollo Capital Credit Adviser, LLC CRD 286485 | New York, NY | asset manager | $2.4B | 0.0% | 0 | Not computed | 28 | 0 |
| Mission Prime LLC CRD 318328 | Guaynabo, PR | institutional | $2.3B | 0.0% | 2 | $1.2B | 0 | 0 |
| I•• A••••••• L•• CRD 332157 | Los Angeles, CA | independent RIA | $2.3B | 89% | 9 | $260M | 1 | 3 |
| C•••••• S•• W••••• M••••••••• ••• L• CRD 151225 | Philadelphia, PA | independent RIA | $2.3B | 99% | 0 | Not computed | 3 | 1 |
| S••••••••• C•••••• P••••••• L•• CRD 171963 | Denver, CO | asset manager | $2.3B | 1.2% | 0 | Not computed | 1 | 15 |
| A••• L• CRD 331428 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 1 | 0 |
| B••••••••• A•••• M••••••••• L••• CRD 155792 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 9 |
| A•••• I••••••••• CRD 288560 | London, | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 0 |
| W••••• W••••• M••••••••• CRD 158332 | Red Bank, NJ | independent RIA | $2.3B | 91% | 11 | $213M | 5 | 0 |
| A••••••••• L•••••• CRD 313897 | Hong Kong, | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 3 |
| E••••• C•••••• L•• CRD 293159 | San Francisco, CA | asset manager | $2.3B | 0.0% | 0 | Not computed | 1 | 21 |
| K••••••• F•••••••• G••••• L•• CRD 170201 | Lexington, KY | independent RIA | $2.3B | 98% | 34 | $68.8M | 8 | 0 |
| U•• R••••• I•••••••• L•• CRD 107758 | Hartford, CT | asset manager | $2.3B | 0.0% | 0 | Not computed | 5 | 3 |
| E••••••• C•••••• P••••••• CRD 289799 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 20 |
| B•••••• W••••• P•••••••• L•• CRD 105343 | Marion, MA | independent RIA | $2.3B | 91% | 17 | $137M | 8 | 0 |
| C••• P••••••• CRD 157330 | Chicago, IL | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 14 |
| C•• C••••• P••••••• U••• C•• M••••••••• L•• CRD 284980 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 8 |
| A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I••• CRD 290043 | Kansas City, MO | BD affiliated | $2.3B | 100% | 64 | $36.4M | 5 | 0 |
| S•••••• L•• CRD 150593 | Memphis, TN | mixed wealth | $2.3B | 38% | 3 | $777M | 1 | 0 |
| A•• M••••••••• U• CRD 322515 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 0 |
| B••••••• • C•• CRD 315114 | New York, NY | mixed wealth | $2.3B | 47% | 6 | $388M | 1 | 0 |
| M••••• F•••••••• G•••• L•• CRD 289423 | New York, NY | independent RIA | $2.3B | 93% | 10 | $233M | 0 | 0 |
| C••••• F•••••••• N••••••• L•• CRD 290558 | Draper, UT | independent RIA | $2.3B | 100% | 36 | $64.6M | 1 | 0 |
| M••••• C•••••• M••••••••• C••••••• L• CRD 160066 | Portsmouth, NH | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 2 |
| P•• E••••••••• L•• CRD 165075 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 5 | 2 |
| W•••••• F•••• CRD 107660 | Indianapolis, IN | independent RIA | $2.3B | 89% | 11 | $211M | 0 | 0 |
| R••••••••• C•••••• M••••••••• L•• CRD 171114 | Sausalito, CA | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 7 |
| M••••••• A•••••••• L•• CRD 112245 | Seattle, WA | other | $2.3B | 0.0% | 0 | Not computed | 1 | 0 |
| G••••••••• A••••••• L•• CRD 305341 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 0 |
| O••••• L••• M••••••••• L•• CRD 154380 | Greenwich, CT | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 0 |
| A•••••••• P••••••• L•• CRD 109335 | Birmingham, AL | asset manager | $2.3B | 0.0% | 7 | $330M | 1 | 15 |
| T•••••• A•••••••• L•• CRD 137758 | New York, NY | institutional | $2.3B | 0.0% | 0 | Not computed | 0 | 4 |
| L••••••••• I••••••••• CRD 329547 | Dieppe, New Brunswick, | other | $2.3B | 2.5% | 0 | Not computed | 3 | 0 |
| S••••••• C•••••• L• CRD 159560 | Greenwich, CT | asset manager | $2.3B | 0.0% | 0 | Not computed | 1 | 8 |
| S••••• F•••••••• S••••••••• I•• CRD 110112 | Columbus, OH | independent RIA | $2.3B | 98% | 20 | $115M | 0 | 0 |
| M••••••• C••••• W••••• S•••••••• I••• CRD 135184 | Wheeling, WV | independent RIA | $2.3B | 95% | 25 | $92.3M | 4 | 0 |
| S••••• W••••• G•••• CRD 335242 | Colorado Springs, CO | independent RIA | $2.3B | 100% | 35 | $65.9M | 10 | 0 |
| W••••• C•••• W••••• M••••••••• I••• CRD 109240 | Sebastopol, CA | independent RIA | $2.3B | 93% | 10 | $230M | 0 | 0 |
| E•• P•••••• W••••• M••••••••• ••••••••• C•••• CRD 158905 | Miami, FL | mixed wealth | $2.3B | 35% | 47 | $49.0M | 1 | 0 |
| G••••• C••••• M••••••••• L•• CRD 334755 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 5 |
| W••• L•• CRD 170737 | Palo Alto, CA | asset manager | $2.3B | 0.0% | 0 | Not computed | 1 | 8 |
| A•••• • A••••••• G••••• P••••••• CRD 8361 | Westport, CT | independent RIA | $2.3B | 92% | 131 | $17.6M | 17 | 1 |
| R•• I••••••••• CRD 302023 | Summit, NJ | independent RIA | $2.3B | 100% | 2 | $1.1B | 0 | 0 |
| T• R••• P•••• S•••••••• P•••••• L•• CRD 155831 | S••••••••, | institutional | $2.3B | 0.0% | 0 | Not computed | 0 | 0 |
| T•• A•••••••• I••• CRD 111052 | Summit, NJ | BD affiliated | $2.3B | 94% | 304 | $7.6M | 120 | 0 |
| V••••••• C••••••• L••• CRD 159183 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 1 | 4 |
| S••••• G••••• I••••••••• L•• CRD 157091 | Bountiful, UT | mixed wealth | $2.3B | 29% | 101 | $22.7M | 9 | 1 |
| V•••• C•••••• P•••••••• L•• CRD 151568 | Scottsdale, AZ | independent RIA | $2.3B | 91% | 47 | $48.7M | 31 | 0 |
| S•••••• I••••••••• P••••••• L•• CRD 161295 | London, | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 4 |
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.