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 |
|---|---|---|---|---|---|---|---|---|
| Clear Haven Capital Management, LLC CRD 149165 | New York, NY | other | $2.2B | 0.3% | 0 | Not computed | 1 | 7 |
| Hite Hedge Asset Management LLC CRD 160173 | Braintree, MA | asset manager | $2.2B | 0.0% | 0 | Not computed | 1 | 4 |
| The Investment Counsel Company CRD 19608 | Las Vegas, NV | independent RIA | $2.2B | 96% | 7 | $312M | 0 | 0 |
| O••• A••••••• L• CRD 284241 | Austin, TX | other | $2.2B | 13% | 0 | Not computed | 2 | 16 |
| E••• P•••••• A•••• M••••••••• L•• CRD 152922 | Dorado, PR | mixed wealth | $2.2B | 45% | 10 | $218M | 0 | 0 |
| J••• R• M••• I••••••••• C•••••• I••• CRD 111622 | Beverly Hills, CA | independent RIA | $2.2B | 97% | 3 | $727M | 0 | 0 |
| P•••••• L••• P•••••••• L••••• CRD 160377 | Boston, MA | asset manager | $2.2B | 0.0% | 0 | Not computed | 1 | 12 |
| C••••• C•••••• W••••• M••••••••• CRD 104920 | Martinsville, NJ | independent RIA | $2.2B | 97% | 17 | $128M | 16 | 0 |
| C•• M•••••• L• CRD 310205 | Mill Valley, CA | asset manager | $2.2B | 0.0% | 0 | Not computed | 1 | 0 |
| B••• A•••• M••••••••• L•••••• CRD 146144 | Melbourne, | other | $2.2B | 0.0% | 0 | Not computed | 0 | 0 |
| C•••••• C•••••• M••••••••• L• CRD 310374 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 2 | 23 |
| A••••• P••••••• CRD 310515 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 16 |
| S•••••••• I••••••••• G•••• L• CRD 312019 | Dallas, TX | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 2 |
| M••••• I••••••••• S•••••••• L•• CRD 155919 | New York, NY | other | $2.2B | 0.0% | 0 | Not computed | 0 | 0 |
| S•••• I••••••••• C••••••••• CRD 104754 | Northville, MI | independent RIA | $2.2B | 100% | 10 | $217M | 2 | 0 |
| S•••••• B••••••••• L•• CRD 288114 | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 3 | |
| P••••••• P•••••• C••••••••• L•• CRD 133442 | Needham, MA | institutional | $2.2B | 0.0% | 3 | $723M | 0 | 0 |
| R•••••••• T••••••••• A•••••••• L••• CRD 293042 | Atlanta, GA | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 10 |
| P•• P••••••• I•• CRD 106895 | Dublin, OH | independent RIA | $2.2B | 96% | 10 | $217M | 0 | 0 |
| Z•••••••• I••••••••• G•••• CRD 137785 | Chicago, IL | independent RIA | $2.2B | 95% | 4 | $542M | 0 | 0 |
| C•••••• S••••••••• M••••••••• I••• CRD 14169 | Glen Allen, VA | independent RIA | $2.2B | 64% | 96 | $22.5M | 37 | 0 |
| S••••••• F•••• C••••••• E••••• I••••••••• M••••••••• C•••••• CRD 170015 | S•••••••, | asset manager | $2.2B | 0.0% | 0 | Not computed | 7 | 0 |
| A••••• P••••••• G••••• I••• CRD 107994 | Columbia, SC | independent RIA | $2.2B | 92% | 15 | $144M | 2 | 5 |
| O•••••• W••••• A••••••• L•• CRD 306909 | Cincinnati, OH | independent RIA | $2.2B | 83% | 32 | $67.3M | 4 | 0 |
| H••••••• F•••• CRD 130373 | Wayne, PA | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 0 |
| H•• C•••••• M••••••••• L••• CRD 160850 | San Francisco, CA | asset manager | $2.2B | 0.0% | 0 | Not computed | 0 | 2 |
| M••••••• C•••••• P••••••• L• CRD 318498 | Dallas, TX | asset manager | $2.2B | 0.0% | 0 | Not computed | 1 | 1 |
| G•••••••• C•••••• M••••••••• L• CRD 317701 | New York, NY | asset manager | $2.2B | 0.0% | 0 | Not computed | 2 | 1 |
| O••• B•••••••• M••••••••• •••• L•• CRD 298001 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 3 | 14 |
| E••••• P•••••• W•••••• L•• CRD 333932 | Los Angeles, CA | independent RIA | $2.1B | 100% | 18 | $119M | 1 | 1 |
| R••• F•••••••• P••••••• CRD 290289 | Austin, TX | independent RIA | $2.1B | 100% | 63 | $34.1M | 1 | 0 |
| P•••••• A••••••• CRD 170043 | Redmond, WA | independent RIA | $2.1B | 98% | 18 | $119M | 1 | 0 |
| M••••••• C•••••• P•• L•• CRD 157533 | Melbourne, | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 0 |
| E•••• F•••••••• G••••• L•• CRD 321748 | King Of Prussia, PA | independent RIA | $2.1B | 77% | 33 | $65.0M | 9 | 0 |
| F•••••••• M••••••••• N•••••• I•• CRD 110454 | Mission Viejo, CA | independent RIA | $2.1B | 71% | 21 | $102M | 2 | 0 |
| T••••••• A•••••••• L•• CRD 305331 | Raleigh, NC | asset manager | $2.1B | 0.0% | 0 | Not computed | 1 | 8 |
| R•• R••••• A••••••• L•• CRD 160238 | Palm Beach Gardens, FL | asset manager | $2.1B | 0.0% | 0 | Not computed | 3 | 8 |
| V•• H••••• F•••••••• A••••••• CRD 116632 | El Dorado Hills, CA | independent RIA | $2.1B | 81% | 19 | $113M | 2 | 0 |
| C•••••••• P•••••••• L•• CRD 149685 | San Diego, CA | independent RIA | $2.1B | 76% | 10 | $214M | 0 | 0 |
| F•••••••• C•••••• M••••••••• L••••• CRD 107987 | South Miami, FL | asset manager | $2.1B | 4.9% | 0 | Not computed | 0 | 0 |
| N••••••• C••••••• L• CRD 281893 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 9 |
| R• M••••••••• L•• CRD 161569 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 1 |
| K•••••••• A•••••••• L•• CRD 164160 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 1 | 13 |
| N•• I••••••••• L•• CRD 132844 | Memphis, TN | mixed wealth | $2.1B | 24% | 2 | $1.1B | 0 | 6 |
| P••••••• A••••••• CRD 106817 | Mansfield, OH | independent RIA | $2.1B | 98% | 18 | $119M | 6 | 0 |
| I•••••••• G••••• P••••••• I•• CRD 288616 | San Francisco, CA | other | $2.1B | 0.0% | 0 | Not computed | 1 | 0 |
| N••• C•••••• M••••••••• L•• CRD 110793 | New York, NY | independent RIA | $2.1B | 79% | 10 | $214M | 5 | 0 |
| F••••••••• C•••••• M••••••••• L• CRD 309334 | Los Angeles, CA | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 1 |
| G•• S•••••••• P••• L•••••• CRD 169321 | S••••••••, | other | $2.1B | 0.0% | 0 | Not computed | 0 | 0 |
| L••••• R••••••••• A••••••• CRD 282786 | Buffalo, NY | institutional | $2.1B | 0.0% | 11 | $194M | 1 | 0 |
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.