DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Firms
SEC-registered investment advisers
One 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.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Nationwide Fund Advisors CRD 109391 | Columbus, OH | asset manager | $83B | 0.0% | 0 | n/a | 0 | 0 |
| Global X Management Company LLC CRD 146932 | New York, NY | asset manager | $83B | 0.0% | 0 | n/a | 3 | 0 |
| Nippon Life Global Investors Americas, Inc. CRD 156244 | New York, NY | other | $83B | 0.0% | 0 | n/a | 1 | 0 |
| S••••••• I••••••••• M••••••••• N•••• A•••••• L•• CRD 106585 | London, | asset manager | $83B | 0.1% | 0 | n/a | 3 | 0 |
| S•••••• C•••••• O••••••••• L•• CRD 157373 | Menlo Park, CA | asset manager | $82B | 0.0% | 0 | n/a | 0 | 60 |
| P••• A••••• I••••••••• A••••••• L•• CRD 175101 | New York, NY | institutional | $82B | 0.0% | 0 | n/a | 0 | 0 |
| S•••••••• CRD 159699 | New York, NY | asset manager | $82B | 0.0% | 0 | n/a | 10 | 121 |
| P•••• I••••••••• M••••••••• L•• CRD 106847 | New York, NY | asset manager | $81B | 0.1% | 1 | $81B | 0 | 6 |
| T•• A•••• M••••••••• C•••••• L•• CRD 105742 | Los Angeles, CA | other | $81B | 0.8% | 0 | n/a | 8 | 39 |
| R•••••• I••••••••• CRD 329 | Seattle, WA | institutional | $81B | 0.0% | 3 | $27B | 1 | 0 |
| G••••••• M••• V•• O••••••• • C• L•• CRD 106220 | Boston, MA | other | $81B | 0.0% | 0 | n/a | 0 | 38 |
| S•••••••• P••••••• F••• S•••••••• A••••••• L••• CRD 134009 | New York, NY | asset manager | $80B | 0.0% | 0 | n/a | 5 | 45 |
| G••••••• C•••••• M••••••••• CRD 106487 | Minneapolis, MN | institutional | $80B | 0.0% | 0 | n/a | 0 | 3 |
| B••••••••• I••••••••• A••••••• L••••• CRD 289751 | New York, NY | asset manager | $80B | 0.0% | 0 | n/a | 2 | 41 |
| C••••••••• P•••••••• L••• CRD 157359 | New York, NY | other | $80B | 0.0% | 0 | n/a | 3 | 104 |
| K••••• A••••••• S•••••••• L•• CRD 283330 | Austin, TX | BD affiliated | $80B | 89% | 1,440 | $55.4M | 544 | 0 |
| L•••••••• P••••••• L••• CRD 147281 | New York, NY | asset manager | $79B | 0.0% | 0 | n/a | 8 | 113 |
| A•• I••••••••• M••••••• U• I•• CRD 113608 | New York, NY | asset manager | $79B | 0.0% | 0 | n/a | 6 | 21 |
| S••••••• C•••••• G•••• M••••••••• L••••• CRD 110148 | Miami Beach, FL | asset manager | $79B | 0.0% | 0 | n/a | 0 | 115 |
| C•••••• A•••• M••••••••• L•• CRD 288566 | Chicago, IL | independent RIA | $79B | 89% | 211 | $374M | 24 | 145 |
| M••••••••• W••• A•••• M••••••••• L•• CRD 104571 | Los Angeles, CA | asset manager | $79B | 0.1% | 0 | n/a | 2 | 0 |
| V••••• G••••• I•••••••• L• CRD 132272 | Stamford, CT | asset manager | $78B | 0.0% | 0 | n/a | 2 | 15 |
| T•••• G••••• M••••••••• L•• CRD 160318 | New York, NY | asset manager | $78B | 0.0% | 0 | n/a | 1 | 38 |
| E•••••• C•••••• M••••••••• L•• CRD 107272 | Greenwood Village, CO | asset manager | $78B | 0.0% | 5 | $16B | 0 | 9 |
| B••••••••• P••••••• A••••••• L••• CRD 226598 | New York, NY | asset manager | $77B | 0.0% | 0 | n/a | 14 | 0 |
| T••••• A••••••• S•••••••• I••• CRD 283390 | Atlanta, GA | BD affiliated | $77B | 91% | 1,981 | $39.1M | 2,881 | 0 |
| P••••••••• I••••••••• L•• CRD 285211 | New York, NY | other | $77B | 0.0% | 0 | n/a | 5 | 48 |
| P••• L•••••• CRD 160005 | London, | other | $76B | 1.1% | 0 | n/a | 1 | 24 |
| S•• M••••••••• CRD 109684 | Wellesley Hills, MA | institutional | $76B | 0.0% | 1 | $76B | 4 | 4 |
| B••• C•••••• C•••••• L• CRD 134852 | Boston, MA | asset manager | $76B | 0.0% | 0 | n/a | 16 | 158 |
| A•• F•••• F•••••••• A••••••• L•• CRD 108561 | Dallas, TX | other | $76B | 0.1% | 0 | n/a | 0 | 3 |
| I•••••• A•••• M••••••••• •••••• L•••••• CRD 107155 | Tokyo, | asset manager | $76B | 0.0% | 0 | n/a | 0 | 0 |
| O• I••••••••• M••••••••• L• CRD 314948 | Miami, FL | asset manager | $76B | 0.0% | 0 | n/a | 0 | 1 |
| B••••••••• A•••• M••••••••• P•• A•••••• ••••••• E••••••• L••• CRD 171207 | Toronto, Ontario, | asset manager | $74B | 0.0% | 0 | n/a | 31 | 123 |
| C•••••• P••••••• CRD 108803 | New York, NY | asset manager | $74B | 0.0% | 1 | $74B | 6 | 22 |
| J••• P••• A••••••• CRD 286080 | institutional | $74B | 0.0% | 1 | $74B | 0 | 0 | |
| R•• R•••••••• L•• CRD 117198 | New York, NY | BD affiliated | $73B | 69% | 120 | $608M | 10 | 0 |
| J••••••• F•••• L•••••• CRD 172045 | London, | asset manager | $72B | 0.0% | 0 | n/a | 0 | 2 |
| H••••• C••••••• L•• CRD 160711 | Miami, FL | asset manager | $72B | 0.0% | 0 | n/a | 19 | 151 |
| G•••••• S•••• A•••• M••••••••• C••• L••• CRD 283221 | Minato-Ku, Tokyo, | asset manager | $72B | 0.0% | 0 | n/a | 0 | 0 |
| W•••• I••••••••• A•••••••• L•• CRD 208512 | Lincroft, NJ | other | $72B | 15% | 363 | $197M | 124 | 0 |
| C••••• A••••••••• L•• CRD 333153 | London, | asset manager | $72B | 0.0% | 0 | n/a | 0 | 5 |
| T•••••••• T•••••• F••••••••• I••• CRD 108580 | New York, NY | institutional | $71B | 0.0% | 0 | n/a | 2 | 0 |
| B••••••••• A•••• B•••• F•••••• A••••••• L• CRD 120934 | New York, NY | institutional | $70B | 0.0% | 0 | n/a | 6 | 37 |
| A•••• C•••••• M••••••••• L••• CRD 160679 | Boston, MA | asset manager | $70B | 0.0% | 0 | n/a | 1 | 1 |
| B•••••••• ••••••••• L•••••• CRD 164594 | Singapore, | asset manager | $70B | 0.0% | 0 | n/a | 2 | 6 |
| M••••• P••••• F••••• I••• CRD 106816 | Dublin, OH | institutional | $70B | 0.0% | 18 | $3.9B | 7 | 0 |
| G••••••••• A•••• M••••••••• L• CRD 112753 | New York, NY | asset manager | $70B | 0.0% | 1 | $70B | 7 | 73 |
| B••••••••• R••• E••••• S•••••• S••••••••• A••••••• L••••• CRD 146043 | New York, NY | other | $70B | 0.0% | 0 | n/a | 6 | 0 |
| B••••••••• CRD 149117 | New York, NY | independent RIA | $70B | 92% | 28 | $2.5B | 0 | 0 |
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17,149 advisers match.