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 |
|---|---|---|---|---|---|---|---|---|
| Passaic Partners LLC CRD 313290 | Newark, NJ | other | $2.2B | 0.0% | 0 | Not computed | 0 | 2 |
| Mason Capital Management LLC CRD 158797 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 3 |
| J. Stern & Co. Llp CRD 323871 | London, | mixed wealth | $2.2B | 49% | 0 | Not computed | 0 | 0 |
| A••••••• I••••••••• A•••••••• L•• CRD 132436 | Rosemary Beach, FL | asset manager | $2.2B | 0.0% | 4 | $558M | 5 | 1 |
| R•••••• C•••••• P•••••••• L•• CRD 171118 | White Plains, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 1 | 27 |
| N••••••• C•••••• M••••••••• I•• CRD 110676 | Memphis, TN | mixed wealth | $2.2B | 28% | 7 | $319M | 0 | 1 |
| E•• C••••••• L•• CRD 169111 | Houston, TX | asset manager | $2.2B | 0.0% | 1 | $2.2B | 0 | 12 |
| A••••• L•••••• CRD 155663 | London, | independent RIA | $2.2B | 71% | 0 | Not computed | 0 | 0 |
| F•• I••••••••• S•••••••• L•• CRD 281516 | Cincinnati, OH | asset manager | $2.2B | 0.0% | 0 | Not computed | 1 | 21 |
| C•••••••• P••• A•••••• L•• CRD 329140 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 4 | 0 |
| C••• C•••••• CRD 140121 | New York, NY | asset manager | $2.2B | 0.0% | 1 | $2.2B | 1 | 4 |
| K••••••••• C••••••••• L••• CRD 111855 | Gainesville, FL | independent RIA | $2.2B | 94% | 18 | $124M | 1 | 0 |
| H••••••• I••••••••• G••••• I••• CRD 113204 | Pompano Beach, FL | independent RIA | $2.2B | 97% | 12 | $186M | 3 | 0 |
| C••••••••• I••••••••• ••••• A••••••• P•• L•••••• CRD 151223 | Sydney, | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 0 |
| L••• I••••••••• A•••••••• L•• CRD 108943 | Brentwood, TN | independent RIA | $2.2B | 98% | 4 | $557M | 4 | 0 |
| A•• A•••• M••••••••• P•• L•• CRD 109189 | Singapore, | institutional | $2.2B | 0.0% | 0 | Not computed | 0 | 0 |
| H•••• I•••••••• CRD 133017 | Lake Oswego, OR | mixed wealth | $2.2B | 41% | 16 | $139M | 0 | 0 |
| W••••••••• C••••••••• CRD 141473 | Cincinnati, OH | independent RIA | $2.2B | 99% | 16 | $139M | 1 | 0 |
| F••••• D••••• C•••• • P•••••••• L•• CRD 300282 | Waltham, MA | independent RIA | $2.2B | 85% | 0 | Not computed | 0 | 8 |
| A•••••••• A••••••• P•••••••• L•• CRD 285721 | Sarasota, FL | other | $2.2B | 19% | 5 | $444M | 2 | 0 |
| R••••••••• I••••••••• G••••• L•• CRD 146221 | Richmond, VA | mixed wealth | $2.2B | 48% | 30 | $74.0M | 0 | 0 |
| E• S• B••• • C•••••• CRD 107447 | Lexington, KY | independent RIA | $2.2B | 85% | 5 | $444M | 0 | 1 |
| D•••••• A•••••••• L•• CRD 117958 | St. Louis, MO | mixed wealth | $2.2B | 35% | 13 | $171M | 0 | 0 |
| L•••••••• C••••••• L••• CRD 309379 | Stamford, CT | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 1 |
| U••••• A•••• S••••••••• I••• CRD 107434 | Garden City, NY | independent RIA | $2.2B | 92% | 25 | $88.7M | 1 | 0 |
| T•• F•••••••• A•••••••• L•• CRD 141153 | Portland, OR | mixed wealth | $2.2B | 41% | 18 | $123M | 0 | 0 |
| O•••••• C••••••••• CRD 112337 | Los Angeles, CA | independent RIA | $2.2B | 67% | 0 | Not computed | 0 | 13 |
| O••••• Q••••••••• S••••••••• L• CRD 310070 | Fort Lauderdale, FL | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 1 |
| G••••• S•••• W••••• M••••••••• L•• CRD 167995 | Powell, WY | independent RIA | $2.2B | 97% | 47 | $47.1M | 26 | 0 |
| F•••••• G••••• C•••••• M••••••••• L••• CRD 289257 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 4 |
| G••••••••• • D•••• L•• CRD 110971 | New York, NY | independent RIA | $2.2B | 97% | 4 | $553M | 0 | 0 |
| P••••• A•• P•••••• I••• CRD 105414 | Chattanooga, TN | independent RIA | $2.2B | 90% | 3 | $737M | 0 | 0 |
| A••••••• A•••• M••••••••• I••• CRD 46727 | Monument, CO | mixed wealth | $2.2B | 32% | 125 | $17.7M | 8 | 1 |
| F•••• F•••••• CRD 284407 | Geneva, | independent RIA | $2.2B | 72% | 1 | $2.2B | 0 | 0 |
| C•• CRD 132967 | Houston, TX | asset manager | $2.2B | 0.0% | 1 | $2.2B | 2 | 10 |
| K••••• M••••••••• L•• CRD 164712 | Seattle, WA | asset manager | $2.2B | 0.0% | 1 | $2.2B | 0 | 13 |
| F• S••••••••• P••••••• A••••••• L•• CRD 301285 | Philadelphia, PA | asset manager | $2.2B | 0.0% | 0 | Not computed | 1 | 6 |
| J• E•••••• C•••••• P••••••• L•• CRD 305102 | Montreal, Quebec, | mixed wealth | $2.2B | 26% | 0 | Not computed | 0 | 2 |
| V••••••••• I••••••••• A••••••• P•••••• L•• CRD 331389 | Mumbai, | mixed wealth | $2.2B | 21% | 2 | $1.1B | 1 | 2 |
| K•••• J••••••• W••••• M••••••••• L•• CRD 151088 | Olympia, WA | independent RIA | $2.2B | 79% | 6 | $367M | 0 | 0 |
| J••• H•••••• P••••••• F•••••••• S•••••••• L•• CRD 174433 | Boston, MA | BD affiliated | $2.2B | 100% | 63 | $34.9M | 7 | 0 |
| 1••• I••••••••• A••••••• C•• CRD 105435 | Milwaukee, WI | mixed wealth | $2.2B | 46% | 17 | $129M | 10 | 0 |
| R••• P••••••• L• CRD 316791 | New York, NY | independent RIA | $2.2B | 85% | 0 | Not computed | 0 | 1 |
| I••••••••• A•••• A•••••••• L•• CRD 152963 | Wynnewood, PA | other | $2.2B | 16% | 3 | $730M | 0 | 0 |
| L••• R•• I••••••••• M••••••••• L•• CRD 314819 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 6 |
| M•••• C•••••• G••••• L•• CRD 288321 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 2 | 12 |
| G••• P••••••• CRD 156798 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 7 | 25 |
| W••••••••• I••••••••• M••••••••• L•• CRD 311364 | Omaha, NE | independent RIA | $2.2B | 86% | 29 | $75.4M | 4 | 2 |
| N••••• F•••••••• G••••• I••• CRD 122617 | Deerfield, IL | independent RIA | $2.2B | 92% | 16 | $137M | 1 | 0 |
| D•• M••••••• C•••••• L• CRD 296590 | New York, NY | asset manager | $2.2B | 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.