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 |
|---|---|---|---|---|---|---|---|---|
| Orleans Capital Management Corp CRD 111359 | Mandeville, LA | institutional | $2.1B | 8.2% | 8 | $266M | 6 | 0 |
| Roundview Capital, LLC CRD 148083 | Princeton, NJ | independent RIA | $2.1B | 91% | 5 | $425M | 0 | 0 |
| Sir Capital Management L.P. CRD 161096 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 1 | 3 |
| S•••• A•••• M••••••••• K•••• C••• L••• CRD 338393 | Seoul, | institutional | $2.1B | 0.0% | 0 | Not computed | 0 | 0 |
| D••••••••• E•• A•••••• L• CRD 317415 | Tampa, FL | asset manager | $2.1B | 0.0% | 0 | Not computed | 1 | 0 |
| O•••••• I••••••••• S••••••• I•• CRD 111162 | Minneapolis, MN | mixed wealth | $2.1B | 23% | 4 | $530M | 0 | 10 |
| T•••• A••• C•••••• CRD 169057 | Draper, UT | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 7 |
| E••••••••• C•••••• CRD 166422 | Chevy Chase, MD | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 14 |
| W••••••• C•••••• M••••••••• L•• CRD 157839 | Boston, MA | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 3 |
| V••••••• C•••••• A••••••• L•• CRD 322722 | New York, NY | institutional | $2.1B | 0.0% | 0 | Not computed | 0 | 1 |
| S••••••• E••••• M••••••••• L•• CRD 108289 | Tampa, FL | independent RIA | $2.1B | 54% | 7 | $302M | 0 | 0 |
| B••• S•••• A•••• M••••••••• P•••••• L•••••• CRD 297731 | Singapore, | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 1 |
| N•• E•••••• R••••••••• C••••••••• L•• CRD 141573 | Boston, MA | institutional | $2.1B | 0.0% | 4 | $528M | 0 | 0 |
| V••••••••• A••••••• S••••••• CRD 116537 | Woodbury, NY | BD affiliated | $2.1B | 96% | 166 | $12.7M | 43 | 0 |
| D••••••••• C•••••• P••••••• L•• CRD 297521 | Chicago, IL | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 0 |
| G••••••• P••••••• L• CRD 308336 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 1 | 0 |
| A••••••• C•••••• M••••••••• I•• CRD 110861 | New York, NY | mixed wealth | $2.1B | 42% | 3 | $704M | 0 | 0 |
| G•••••• C•••••• P••••••• CRD 316524 | Chicago, IL | asset manager | $2.1B | 0.0% | 0 | Not computed | 1 | 17 |
| E•••• F•••••••• P•••••••• I••• CRD 143311 | Indianapolis, IN | independent RIA | $2.1B | 95% | 13 | $162M | 0 | 0 |
| T••••••••• F•••••••• A•••••••• L•• CRD 16164 | Philadelphia, PA | BD affiliated | $2.1B | 98% | 1,120 | $1.9M | 260 | 0 |
| F•••••••• A•••••••• I••• CRD 108239 | St. Louis, MO | institutional | $2.1B | 9.4% | 3 | $702M | 0 | 0 |
| T•• W••••• A•••••••• L•• CRD 305052 | Melville, NY | independent RIA | $2.1B | 90% | 12 | $175M | 2 | 0 |
| N••• F•••••• I••••••••• S•••••••• L•• CRD 138459 | Vienna, VA | BD affiliated | $2.1B | 100% | 161 | $13.0M | 78 | 0 |
| B••• G••••• C••••••• L•• CRD 299869 | Atlanta, GA | other | $2.1B | 0.0% | 0 | Not computed | 0 | 1 |
| A••••••• A•••• M••••••••• I••• CRD 119854 | New York, NY | independent RIA | $2.1B | 93% | 13 | $161M | 1 | 0 |
| L••• R•••• E••••• P••••••• CRD 163730 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 14 |
| Q••••••• P•••••• W••••• M••••••••• L•• CRD 277044 | Center Valley, PA | independent RIA | $2.1B | 99% | 12 | $175M | 0 | 0 |
| A••••• A••••••••• M••••••••• I••• CRD 138901 | Palm Beach, FL | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 9 |
| A••••••• I••••••••• A•••••••• L•• CRD 322879 | Dallas, TX | independent RIA | $2.1B | 95% | 47 | $44.6M | 28 | 0 |
| S••••••• B•• CRD 301868 | Salt Lake City, UT | asset manager | $2.1B | 0.0% | 1 | $2.1B | 2 | 1 |
| E•••••• M••••• F••• A••••••• T•••• CRD 135130 | Leola, PA | asset manager | $2.1B | 0.0% | 0 | Not computed | 1 | 0 |
| A•••• H••••••• • C•••••••• CRD 107488 | Houston, TX | independent RIA | $2.1B | 90% | 6 | $348M | 0 | 0 |
| C••••••• C•••••• M••••••••• L•• CRD 112773 | Merriam, KS | institutional | $2.1B | 0.0% | 5 | $417M | 1 | 0 |
| F•••• H•••••••• C••••••••• I••• CRD 110377 | Lake St. Louis, MO | BD affiliated | $2.1B | 90% | 96 | $21.7M | 71 | 0 |
| G•••••••• P••••••• CRD 300919 | Bellevue, WA | asset manager | $2.1B | 0.0% | 0 | Not computed | 1 | 7 |
| N•••••• C•••••• M••••••••• CRD 135958 | Marietta, GA | mixed wealth | $2.1B | 46% | 11 | $189M | 0 | 0 |
| S•••••• I••••••••• • G••••• D• R••••••• L•••• CRD 160366 | Rio De Janeiro, | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 4 |
| C•••••• C•••••• P••••••• CRD 165915 | San Francisco, CA | asset manager | $2.1B | 0.0% | 0 | Not computed | 1 | 31 |
| A••• M••••••••• L•• CRD 317315 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 28 | 1 |
| Z•••••• A••••••• L•• CRD 311620 | Mountain View, CA | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 58 |
| M•••• C•••••• CRD 319626 | Chicago, IL | other | $2.1B | 12% | 1 | $2.1B | 0 | 1 |
| I••••••••• P••••••• CRD 332431 | Clearwater, FL | independent RIA | $2.1B | 77% | 28 | $74.3M | 5 | 0 |
| T••• W••• C•••••• M••••••••• L••• CRD 281109 | San Francisco, CA | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 12 |
| R•••• C••••• F••• M••••••••• L•• CRD 169465 | Dallas, TX | asset manager | $2.1B | 0.0% | 0 | Not computed | 2 | 1 |
| G•••••• C•••••• CRD 284079 | Chicago, IL | asset manager | $2.1B | 0.0% | 0 | Not computed | 1 | 1 |
| B•••• M••••••••• G•••• L•• CRD 282518 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 4 |
| E•••• B•••• • S•••••• CRD 107316 | Miamisburg, OH | independent RIA | $2.1B | 58% | 18 | $115M | 0 | 0 |
| N••••• M••••••••• L•• CRD 161156 | New York, NY | asset manager | $2.1B | 0.0% | 0 | Not computed | 0 | 3 |
| S•••••• W••••• M••••••••• L•• CRD 164877 | Houston, TX | independent RIA | $2.1B | 97% | 4 | $517M | 0 | 0 |
| T••••••• I••••••••• M••••••••• L•• CRD 128723 | White Plains, NY | independent RIA | $2.1B | 100% | 15 | $138M | 14 | 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.