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 |
|---|---|---|---|---|---|---|---|---|
| Ka Credit Advisors, LLC CRD 306753 | Houston, TX | asset manager | $2.3B | 0.0% | 1 | $2.3B | 4 | 0 |
| Jana Partners Management, LP CRD 292832 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 1 | 6 |
| Cornerstone Management, Inc. CRD 125828 | Duluth, GA | other | $2.3B | 14% | 9 | $254M | 0 | 0 |
| F•••••• C•••••• CRD 322287 | Tampa, FL | independent RIA | $2.3B | 83% | 14 | $163M | 5 | 0 |
| C••••••••• G••••• L••• CRD 158142 | Santa Monica, CA | asset manager | $2.3B | 0.0% | 0 | Not computed | 1 | 18 |
| R••••••••• C•••••• ••• L•••••• CRD 298109 | Rye Brook, NY | other | $2.3B | 0.0% | 0 | Not computed | 1 | 0 |
| L••••• A•••• M••••••••• C••••• I•• CRD 106340 | New York, NY | other | $2.3B | 0.0% | 0 | Not computed | 0 | 0 |
| S••••••• I••••••••• P••••••• L•• CRD 164696 | Portland, OR | institutional | $2.3B | 5.6% | 8 | $285M | 0 | 0 |
| G•••• I•••••••• L•• CRD 312573 | asset manager | $2.3B | 0.0% | 7 | $326M | 6 | 0 | |
| V•••••••• G•••• L•• CRD 119128 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 1 | 8 |
| A•••• V•••• I•••••••• L•••••• CRD 137779 | London, | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 0 |
| G•••• T••• B••••• • A•••••• L•• CRD 319128 | Beverly Hills, CA | independent RIA | $2.3B | 99% | 8 | $285M | 0 | 0 |
| M••••• A••••••• CRD 171922 | Fairfield, CT | independent RIA | $2.3B | 98% | 49 | $46.5M | 7 | 0 |
| S•••• V••• W••••• A••••••• G••••• L•• CRD 300927 | Savannah, GA | independent RIA | $2.3B | 96% | 9 | $253M | 2 | 0 |
| G•••••• W••••• P•••••••• L•• CRD 322789 | Appleton, WI | independent RIA | $2.3B | 98% | 101 | $22.6M | 25 | 0 |
| T•••••••• F•••••••• G•••• CRD 107764 | Oradell, NJ | independent RIA | $2.3B | 91% | 16 | $142M | 0 | 0 |
| A••••• E••••• I••••••••• P••••••• L•• CRD 173735 | Spring, TX | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 12 |
| S••••••••• F•••••••• G••••• L•• CRD 327529 | Wormleysburg, PA | independent RIA | $2.3B | 72% | 25 | $91.1M | 4 | 0 |
| J•• A••••••• CRD 122307 | Newport Beach, CA | independent RIA | $2.3B | 83% | 12 | $190M | 0 | 0 |
| Y•• I••••••••• A••••••• I•• CRD 105434 | West Hartford, CT | independent RIA | $2.3B | 85% | 18 | $126M | 3 | 0 |
| V••••• C••••••• L•• CRD 165855 | Chicago, IL | independent RIA | $2.3B | 92% | 24 | $94.8M | 2 | 0 |
| D• P•••••••• L• CRD 155459 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 9 |
| B••••• H••••• CRD 107238 | Dallas, TX | independent RIA | $2.3B | 96% | 18 | $126M | 0 | 0 |
| W•••••• C•••••• A••••••• L••• CRD 173867 | Toronto, Ontario, | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 6 |
| C••••••• C•••••• M••••••••• L•• CRD 158120 | Rowayton, CT | asset manager | $2.3B | 0.0% | 0 | Not computed | 1 | 4 |
| F•••••• W••••• M••••••••• I••• CRD 154828 | Newburgh, NY | independent RIA | $2.3B | 55% | 11 | $206M | 0 | 0 |
| S•••••• C•••••• P•••••••• L• CRD 160364 | New York, NY | asset manager | $2.3B | 0.0% | 0 | Not computed | 6 | 10 |
| A••••• H••••••• M••••••••• C•••••• L•• CRD 297197 | Baltimore, MD | asset manager | $2.3B | 0.0% | 0 | Not computed | 1 | 27 |
| S••••• F•••••••• G••••• I••• CRD 109344 | Victoria, TX | independent RIA | $2.3B | 74% | 9 | $252M | 2 | 0 |
| C••••• R•••••••• M•••••• L•• CRD 107911 | Stamford, CT | other | $2.3B | 9.9% | 0 | Not computed | 0 | 1 |
| C••••••••• F•••••••• A••••••• CRD 110152 | San Ramon, CA | independent RIA | $2.3B | 100% | 15 | $151M | 2 | 0 |
| E•••••• I••••••••• A•••••••• L•• CRD 338769 | Leola, PA | other | $2.3B | 5.1% | 0 | Not computed | 1 | 0 |
| W••••••• C•••••• CRD 133705 | Austin, TX | independent RIA | $2.3B | 90% | 53 | $42.7M | 13 | 0 |
| R•••••• F•••••••• L•• CRD 315631 | Nashville, TN | asset manager | $2.3B | 0.1% | 0 | Not computed | 0 | 14 |
| B•••••• CRD 167103 | Darien, CT | other | $2.3B | 12% | 4 | $565M | 2 | 0 |
| E•••••••• P••••••• CRD 142904 | Denver, CO | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 0 |
| L•••• G••••• M••••••••• L••• CRD 305162 | San Francisco, CA | asset manager | $2.3B | 0.0% | 0 | Not computed | 1 | 5 |
| R••••• • K•••••••• I••• CRD 114885 | Knoxville, TN | independent RIA | $2.3B | 56% | 20 | $113M | 1 | 0 |
| M• S••••• I••••••••• L•••• CRD 336712 | Sao Paulo, | other | $2.3B | 0.0% | 0 | Not computed | 0 | 1 |
| A•• A•••• D••••••••• I• L• CRD 328513 | Newport Beach, CA | asset manager | $2.3B | 0.0% | 0 | Not computed | 0 | 6 |
| P•••••• I••••• A••••••• I•• CRD 104719 | El Segundo, CA | other | $2.2B | 15% | 5 | $450M | 4 | 0 |
| C••••••••• A••••••• CRD 142359 | Hunt Valley, MD | independent RIA | $2.2B | 90% | 10 | $225M | 1 | 0 |
| T••• Y•• P•••••••• L••• CRD 162895 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 1 | 3 |
| H••••• H••••• C•••••• M••••••••• L••• CRD 285401 | Boca Raton, FL | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 9 |
| A••••• I••••••••• A• CRD 283227 | Zurich, | independent RIA | $2.2B | 100% | 0 | Not computed | 0 | 0 |
| T••••• P••••• W••••• M••••••••• CRD 171107 | Concord, MA | mixed wealth | $2.2B | 29% | 20 | $112M | 1 | 0 |
| B••••••• W••• L• CRD 304702 | Los Angeles, CA | asset manager | $2.2B | 0.0% | 0 | Not computed | 2 | 0 |
| T•••••• C•••••• A••••••• L•• CRD 313120 | Dorado, PR | asset manager | $2.2B | 6.6% | 0 | Not computed | 1 | 5 |
| B•• W••••• P••••••• CRD 107485 | Boulder, CO | independent RIA | $2.2B | 98% | 18 | $124M | 1 | 0 |
| E•••••• T••••••••• L• CRD 325283 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 1 |
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.