DFX Intelligence
RIA Intelligence
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 |
|---|---|---|---|---|---|---|---|---|
| Medallion Wealth Advisors, LLC CRD 156064 | Farmington, CT | independent RIA | $517M | 96% | 6 | $86.2M | 2 | 0 |
| Tower Bay Asset Management LP CRD 317104 | Stamford, CT | asset manager | $514M | 0.0% | 0 | n/a | 0 | 1 |
| Fortwood Capital LP CRD 329381 | Greenwich, CT | asset manager | $513M | 0.0% | 0 | n/a | 0 | 1 |
| Q•••••••• C•••••• M••••••••• L•• CRD 172768 | Greenwich, CT | asset manager | $508M | 0.0% | 1 | $508M | 0 | 0 |
| G••••• I••••••••• CRD 330358 | Greenwich, CT | asset manager | $508M | 0.0% | 0 | n/a | 1 | 2 |
| S•••••• C••••••• L•• CRD 300130 | Darien, CT | independent RIA | $508M | 100% | 1 | $508M | 0 | 0 |
| 1• C•••••• P••••••• L• CRD 306165 | Darien, CT | asset manager | $504M | 0.0% | 0 | n/a | 0 | 1 |
| D••• C•••••• M••••••••• L•• CRD 137964 | Stamford, CT | asset manager | $503M | 0.0% | 0 | n/a | 0 | 6 |
| T••• N•••• M••••••••• G••••• L•• CRD 161042 | Stamford, CT | asset manager | $493M | 0.0% | 0 | n/a | 0 | 4 |
| E•••• C•••••• M••••••••• L••• CRD 178525 | Greenwich, CT | asset manager | $492M | 0.0% | 0 | n/a | 0 | 1 |
| C••• P••• C•••••• L•• CRD 134911 | Greenwich, CT | other | $490M | 20% | 0 | n/a | 0 | 3 |
| B•• F••• M•••••• L•• CRD 166743 | Stamford, CT | asset m•••••• | $487M | 0.0% | 0 | n/a | 0 | 5 |
| M•••• F•••••••• G••••• L•• CRD 150119 | Guilford, CT | independent RIA | $482M | 99% | 6 | $80.4M | 0 | 0 |
| P••••••• S•••••••• I••••••••• M••••••••• L•• CRD 331469 | Greenwich, CT | asset manager | $479M | 0.0% | 0 | n/a | 0 | 1 |
| H•••••• I••• W••••• A••••••• CRD 136372 | Wethersfield, CT | independent RIA | $475M | 99% | 5 | $95.0M | 3 | 0 |
| B•••••• A••••••••• I••• CRD 107169 | Westport, CT | independent RIA | $472M | 96% | 0 | n/a | 0 | 0 |
| M••• S••••••• F•••••••• P••••••• L•• CRD 108742 | Glastonbury, CT | independent RIA | $467M | 89% | 0 | n/a | 0 | 0 |
| M••••• M••••••••• L•• CRD 333592 | Stamford, CT | asset manager | $459M | 0.0% | 0 | n/a | 0 | 3 |
| W••••• W••••• CRD 334877 | Madison, CT | independent RIA | $458M | 97% | 10 | $45.8M | 2 | 0 |
| E•••• P•••• I••••• M••••••••• L•• CRD 299198 | Greenwich, CT | asset manager | $458M | 0.0% | 0 | n/a | 0 | 0 |
| C•••• I••••• A••••••• L•• CRD 292058 | Darien, CT | independent RIA | $453M | 100% | 0 | n/a | 1 | 0 |
| H•••••• A•••• M••••••••• L•• CRD 336185 | Stamford, CT | asset manager | $443M | 0.0% | 4 | $111M | 0 | 0 |
| T•••••••• A•••••••• L• CRD 336207 | Fairfield, CT | asset manager | $441M | 0.0% | 0 | n/a | 0 | 4 |
| S••••• A•••• M••••••••• L•• CRD 125714 | Avon, CT | independent RIA | $439M | 100% | 1 | $439M | 0 | 0 |
| H•••••• J• S••• C•••••• M••••••••• I••• CRD 134510 | Fairfield, CT | independent RIA | $437M | 94% | 37 | $11.8M | 4 | 0 |
| A••••• W••••• A••••••• L•• CRD 339322 | Westport, CT | independent RIA | $437M | 100% | 5 | $87.3M | 0 | 0 |
| L••••••• F••••• O••••• CRD 324336 | Westport, CT | independent RIA | $428M | 93% | 3 | $143M | 4 | 1 |
| S•••••• • T••••••••• P•••••••• L••• CRD 331267 | Greenwich, CT | asset manager | $425M | 0.0% | 0 | n/a | 0 | 1 |
| B•••••••• R••• E••••• P•••••••• L•• CRD 297775 | Stamford, CT | asset manager | $425M | 0.0% | 0 | n/a | 0 | 5 |
| F•••••• C••••••• P•••••••• L•• CRD 327847 | Greenwich, CT | asset manager | $425M | 0.0% | 0 | n/a | 0 | 3 |
| J•• C•••••• M••••••••• L••• CRD 163658 | Westport, CT | asset manager | $421M | 0.0% | 0 | n/a | 1 | 0 |
| J•••••• N• M•••••• C•• L•• CRD 126681 | Essex, CT | independent RIA | $416M | 99% | 2 | $208M | 0 | 0 |
| E•••••••• C••••• C•••••• M••••••••• L•• CRD 168311 | Old Greenwich, CT | asset manager | $415M | 0.0% | 0 | n/a | 0 | 0 |
| Y••••• C•••••• M••••••••• I••• CRD 159398 | Westport, CT | asset manager | $412M | 0.0% | 0 | n/a | 0 | 1 |
| P•••••• E••••• L•• CRD 301543 | Greenwich, CT | asset manager | $410M | 0.0% | 0 | n/a | 0 | 7 |
| S••••••••• W••••• M••••••••• L•• CRD 126472 | Farmington, CT | independent RIA | $397M | 100% | 6 | $66.2M | 2 | 0 |
| A•••••••• C•••••• M••••••••• L• CRD 309151 | Stamford, CT | asset manager | $397M | 0.0% | 0 | n/a | 0 | 2 |
| D••••••• W••••• M••••••••• CRD 111604 | Guilford, CT | independent RIA | $396M | 93% | 9 | $44.0M | 2 | 1 |
| S••••• F•••• C•••••• M••••••••• L• CRD 306994 | Norwalk, CT | asset manager | $390M | 0.0% | 0 | n/a | 0 | 0 |
| R•••••••• A•••• M••••••••• P•••••••• L•• CRD 283786 | Stamford, CT | independent RIA | $388M | 81% | 1 | $388M | 0 | 6 |
| F••••• W••••• W••••• M••••••••• L•• CRD 168299 | Canton, CT | independent RIA | $386M | 96% | 12 | $32.2M | 8 | 0 |
| B••••••••• C•••••• CRD 171109 | Westport, CT | asset manager | $386M | 0.0% | 0 | n/a | 0 | 1 |
| P••••••••• C•••••• C••••••••• CRD 162082 | Stamford, CT | institutional | $380M | 0.0% | 0 | n/a | 0 | 1 |
| R•• L•• CRD 318296 | Stamford, CT | independent RIA | $372M | 53% | 0 | n/a | 0 | 1 |
| L•••••• C•••••• M••••••••• L• CRD 111288 | Greenwich, CT | asset manager | $365M | 0.0% | 0 | n/a | 0 | 4 |
| B••••• W••••• M••••••••• I••• CRD 125518 | Glastonbury, CT | independent RIA | $362M | 100% | 3 | $121M | 0 | 0 |
| A••••• C•••••• L•• CRD 286298 | Westport, CT | asset manager | $359M | 0.0% | 0 | n/a | 1 | 1 |
| A••••• C•••••• M••••••••• L• CRD 291783 | Westport, CT | asset manager | $359M | 0.0% | 0 | n/a | 0 | 1 |
| S••••• P•••• P•••••• C••••• F••• M••••••••• L•• CRD 332374 | Greenwich, CT | asset manager | $359M | 0.0% | 0 | n/a | 9 | 0 |
| A•• C•••••• M••••••••• L••• CRD 107971 | Wilton, CT | mixed wealth | $358M | 48% | 1 | $358M | 1 | 2 |
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.
506 advisers match.