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.
2,583 advisers match
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Oak Hill Capital Management, LLC CRD 136656 | New York, NY | asset manager | $14B | 0.0% | 0 | Not computed | 2 | 35 |
| Srs Investment Management, LLC CRD 157630 | New York, NY | asset manager | $14B | 0.0% | 0 | Not computed | 1 | 4 |
| Libremax Capital, LLC CRD 155486 | New York, NY | asset manager | $14B | 0.0% | 0 | Not computed | 2 | 49 |
| C••••••••• I••••••••• C••••••••• L•• CRD 108253 | New York, NY | other | $14B | 0.0% | 1 | $14B | 0 | 0 |
| A•••• C•••••• A••••••• L•• CRD 154091 | New York, NY | asset manager | $14B | 0.0% | 0 | Not computed | 0 | 2 |
| T•• R•••••••• C•••••• CRD 160523 | New York, NY | asset manager | $14B | 0.0% | 0 | Not computed | 12 | 123 |
| H••••• C•••••• M••••••••• L•• CRD 159798 | Pearl River, NY | asset manager | $13B | 0.0% | 0 | Not computed | 0 | 1 |
| I•• H••• A•••• M••••••••• L••• CRD 161608 | New York, NY | asset manager | $13B | 0.0% | 0 | Not computed | 1 | 18 |
| M•• C•••••• M••••••••• L••••• CRD 113851 | New York, NY | other | $13B | 0.0% | 0 | Not computed | 3 | 2 |
| L• P•••• E••••• A•••••••• L•• CRD 158272 | New York, NY | asset manager | $13B | 0.0% | 0 | Not computed | 4 | 9 |
| W••••••• J•••• W••••• M••••••••• L•• CRD 301925 | New York, NY | independent RIA | $12B | 89% | 21 | $594M | 2 | 8 |
| R•••• I••••••••• P••••••• CRD 107689 | New York, NY | asset manager | $12B | 1.4% | 1 | $12B | 1 | 1 |
| S•••• P•••• C•• C••••• L•• CRD 293256 | New York, NY | asset manager | $12B | 0.0% | 0 | Not computed | 3 | 24 |
| R•••••• A•••• M••••••••• I••• CRD 110637 | New York, NY | other | $12B | 1.6% | 3 | $4.1B | 1 | 5 |
| A••••••• M••••••••• H••••••• L• CRD 327352 | New York, NY | asset manager | $12B | 0.0% | 0 | Not computed | 2 | 33 |
| B•• C•• M••••••••• L•• CRD 304962 | New York, NY | asset manager | $12B | 0.0% | 0 | Not computed | 4 | 22 |
| G••••• G••••• H••• • C•• L•• CRD 2002 | New York, NY | independent RIA | $12B | 79% | 32 | $379M | 11 | 0 |
| S•••• P••• C•••••• L• CRD 164751 | New York, NY | asset manager | $12B | 0.0% | 0 | Not computed | 1 | 2 |
| P••••••••• C•••••• L• CRD 161110 | New York, NY | asset manager | $12B | 0.0% | 0 | Not computed | 0 | 9 |
| C••••• C•••••• I•• CRD 158102 | New York, NY | asset manager | $12B | 0.0% | 0 | Not computed | 0 | 0 |
| G••••••• L•••••• • C•• L•• CRD 141029 | New York, NY | asset manager | $12B | 0.0% | 0 | Not computed | 0 | 33 |
| E•••••• G••••• P••••••• L•• CRD 107940 | New York, NY | asset manager | $12B | 0.1% | 0 | Not computed | 3 | 46 |
| P••••••••• A••••••• CRD 154703 | New York, NY | asset manager | $12B | 0.0% | 0 | Not computed | 4 | 17 |
| G••••••••• A••••••••• I•• CRD 104729 | Purchase, NY | independent RIA | $12B | 72% | 1 | $12B | 0 | 0 |
| C••••• C•••••• M••••••••• L•• CRD 113128 | New York, NY | independent RIA | $12B | 52% | 0 | Not computed | 0 | 3 |
| K•••• F•••• A•••••••• L•• CRD 157103 | New York, NY | asset manager | $12B | 0.0% | 0 | Not computed | 0 | 0 |
| K•••••• L•••• M••••••••• L• CRD 290399 | New York, NY | asset manager | $12B | 0.0% | 0 | Not computed | 4 | 19 |
| I••••••••• C••••• M••••••••• U• L•• CRD 165140 | New York, NY | asset manager | $12B | 0.0% | 0 | Not computed | 0 | 36 |
| K••••••••• I••••••••• L•• CRD 160193 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 12 |
| O•• W•••••• S••••• C•••••• M••••••••• L•• CRD 150522 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 8 |
| G••••••••• C•••••••• F••••••• L•• CRD 300895 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 3 | 18 |
| C••••••••• R••• • C•••••• CRD 121299 | New York, NY | other | $11B | 0.0% | 0 | Not computed | 0 | 21 |
| N•• M••••••• F•••••• A•••••••• L••••• CRD 155493 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 8 | 7 |
| C••••• C•••••• P•••••••• L••• CRD 130819 | New York, NY | other | $11B | 0.0% | 0 | Not computed | 0 | 12 |
| C••••• H••• P••••••• L• CRD 284968 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 1 | 1 |
| R•••••• C•••••• M••••••••• L•• CRD 158243 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 1 | 5 |
| B•••• C•••••• M••••••••• I••• CRD 110791 | New York, NY | asset manager | $11B | 3.4% | 0 | Not computed | 1 | 7 |
| A•••• I••••••••• P••••••• U• S••••••• L•• CRD 298930 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 19 |
| R••••••• C••••••• L•• CRD 156663 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 2 | 35 |
| M•••••••• C••••••• L•• CRD 137486 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 0 | 12 |
| E••••••• S••••••••• C••••• A•••••••• L•• CRD 313420 | New York, NY | institutional | $11B | 0.0% | 0 | Not computed | 9 | 0 |
| R•••• C•••••• L••• CRD 285971 | New York, NY | mixed wealth | $11B | 37% | 0 | Not computed | 1 | 0 |
| J•••• C•••••• M••••••••• L• CRD 168547 | New York, NY | asset manager | $11B | 0.0% | 0 | Not computed | 1 | 1 |
| B••••••••• G••••• A••••••• L••••• CRD 305708 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 3 | 8 |
| T•••• F••• M••••••••• L••• CRD 154172 | New York, NY | asset manager | $10B | 3.7% | 0 | Not computed | 1 | 22 |
| P••••••• A••••••••• L••• CRD 110631 | New York, NY | mixed wealth | $10B | 38% | 33 | $315M | 8 | 4 |
| S•••••••• C•••••• M••••••••• L• CRD 157124 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 2 |
| C•••••• P•••••••• I••• CRD 324459 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 0 |
| T••••••••• A•••• M••••••••• L• CRD 105690 | New York, NY | independent RIA | $10B | 56% | 32 | $320M | 1 | 5 |
| S•••• P•••• L••• L•• CRD 128132 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 4 | 24 |
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.