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 |
|---|---|---|---|---|---|---|---|---|
| Sterling Capital Management LLC CRD 135405 | Charlotte, NC | other | $69B | 4.0% | 33 | $2.1B | 10 | 0 |
| Fulcrum Asset Management Llp CRD 137661 | London, | asset manager | $69B | 0.0% | 0 | n/a | 0 | 7 |
| Russell Investments CRD 105734 | Seattle, WA | asset manager | $69B | 0.0% | 74 | $927M | 2 | 1 |
| J••• H•••••• V••••••• T•••• A••••••• L•• CRD 16009 | Boston, MA | asset manager | $69B | 0.0% | 0 | n/a | 0 | 0 |
| C•••••• G••••• C••••• I••••••••• M••••••••• L••••• CRD 162053 | New York, NY | asset manager | $68B | 0.0% | 0 | n/a | 2 | 67 |
| J•••••• A•••• M••••••••• L•••••• CRD 306863 | London, | asset manager | $68B | 0.0% | 0 | n/a | 0 | 3 |
| A•• P••••••• L•• CRD 167882 | London, | asset manager | $68B | 0.0% | 0 | n/a | 0 | 48 |
| B••• O•• R••• E••••• C•••••• L•• CRD 165132 | Chicago, IL | asset manager | $68B | 0.0% | 0 | n/a | 9 | 54 |
| C••• P•••••• W••••• A•••••••• I••• CRD 109644 | Chicago, IL | BD affiliated | $68B | 66% | 173 | $392M | 16 | 0 |
| H••••• C•••••• A•••••••• I••• CRD 113042 | Chicago, IL | asset manager | $68B | 0.0% | 10 | $6.8B | 2 | 1 |
| S•••• P•••• C•••••• L•• CRD 156521 | Greenwich, CT | asset manager | $68B | 0.0% | 0 | n/a | 2 | 59 |
| B•••••••• C•••••• I••••••••• A•••••••• L•• CRD 290336 | Wilmington, DE | asset manager | $67B | 0.0% | 0 | n/a | 6 | 162 |
| W••••• S•••• • P••••••• L•••••• CRD 112161 | Edinburgh, | other | $67B | 0.0% | 1 | $67B | 1 | 0 |
| A•••• S••••• P•••••••• L•• CRD 109358 | Chicago, IL | asset manager | $66B | 0.0% | 0 | n/a | 8 | 327 |
| B••••••••• P••••• S••••••••• G•••• L•• CRD 110497 | New York, NY | institutional | $66B | 0.9% | 0 | n/a | 3 | 0 |
| T••••••••• A•••• M••••••••• I••• CRD 107376 | Denver, CO | asset manager | $66B | 0.0% | 0 | n/a | 0 | 0 |
| W•••••• B•••• I••••••••• M••••••••• L•• CRD 173961 | Chicago, IL | other | $66B | 0.0% | 0 | n/a | 3 | 9 |
| B••••••••• G••••• I••••••••• M••••••••• L•• CRD 110783 | Philadelphia, PA | other | $65B | 0.5% | 0 | n/a | 1 | 0 |
| A••• B••••• A•• A••••••••• CRD 105283 | Menlo Park, CA | institutional | $65B | 0.0% | 0 | n/a | 0 | 0 |
| B••• O•• C••••• A••••••• L•• CRD 282575 | New York, NY | asset manager | $65B | 0.0% | 0 | n/a | 8 | 20 |
| O•••• P•••••••• S••••••••• L•• CRD 107975 | Omaha, NE | BD affiliated | $65B | 60% | 199 | $326M | 1 | 0 |
| G•• P••••••• L• CRD 163016 | London, | asset manager | $65B | 0.0% | 0 | n/a | 0 | 6 |
| W•••••• B•••• • C•••••• L••••• CRD 1252 | Chicago, IL | BD affiliated | $64B | 82% | 329 | $195M | 11 | 21 |
| B•••••• A•••• M••••••••• L•• CRD 157053 | Coral Gables, FL | asset manager | $64B | 0.0% | 0 | n/a | 3 | 23 |
| T••••• W••••• I••••••••• S•••••••• I••• CRD 110473 | Chicago, IL | institutional | $63B | 0.0% | 5 | $13B | 14 | 11 |
| C••••••• C•••••• M••••••••• L•• CRD 113308 | Los Angeles, CA | asset manager | $62B | 0.7% | 0 | n/a | 2 | 11 |
| C•• C••••• P•••••••• L•• CRD 138528 | New York, NY | asset manager | $62B | 0.0% | 0 | n/a | 0 | 85 |
| D••••••••• I••••••••• M••••••••• L•• CRD 290954 | Boca Raton, FL | asset manager | $61B | 0.0% | 0 | n/a | 9 | 59 |
| Q•••••••• C•••••• M••••••••• L• CRD 298733 | New York, NY | independent RIA | $61B | 99% | 0 | n/a | 1 | 0 |
| E•••• A•••• M••••••••• I•• CRD 110653 | St. Petersburg, FL | mixed wealth | $61B | 34% | 1 | $61B | 4 | 0 |
| I• S•••••• C•••••• A••••••• ••• L•• CRD 168339 | Miami, FL | asset manager | $60B | 0.0% | 0 | n/a | 8 | 123 |
| A••••••• B••••• A•••••••• I••• CRD 105552 | Irving, TX | other | $60B | 0.0% | 16 | $3.7B | 0 | 0 |
| L•• C•••••• P••••••• •••• I••• CRD 160437 | New York, NY | asset manager | $60B | 0.0% | 0 | n/a | 7 | 1 |
| M•• P•••••••• I••• CRD 108637 | New York, NY | asset manager | $60B | 0.0% | 8 | $7.4B | 3 | 15 |
| V••• I••••••••• L•• CRD 111091 | Scottsdale, AZ | asset manager | $59B | 0.0% | 0 | n/a | 0 | 0 |
| V•••• E••••• P••••••• CRD 160014 | Chicago, IL | asset manager | $59B | 0.0% | 0 | n/a | 5 | 54 |
| N••••• I••••••••• M••••••••• N•••• A•••••• CRD 312937 | Boston, MA | asset manager | $59B | 0.0% | 0 | n/a | 3 | 0 |
| B••••• H••••• G••••• I•••••••• CRD 105519 | Dallas, TX | other | $59B | 0.0% | 27 | $2.2B | 0 | 5 |
| M••••••• W••• N•••• A•••••• L••• CRD 135902 | New York, NY | asset manager | $59B | 0.0% | 0 | n/a | 2 | 14 |
| B••••••••• P•••••• C••••• S••••••••• L•• CRD 327208 | New York, NY | asset manager | $58B | 1.9% | 0 | n/a | 13 | 54 |
| A•••••••• U• H•••••••• L•• CRD 328458 | New York, NY | asset manager | $58B | 0.0% | 0 | n/a | 5 | 110 |
| M•• S•••••••• L•••••• CRD 108899 | London, | asset manager | $58B | 0.0% | 0 | n/a | 0 | 17 |
| B•••• B••••••• H••••••• C••••• P•••••••• L•• CRD 338189 | New York, NY | other | $57B | 0.0% | 0 | n/a | 1 | 9 |
| I•• C••••••• L•• CRD 301819 | Foster City, CA | independent RIA | $57B | 100% | 195 | $291M | 19 | 0 |
| T•••••• C•••••• M••••••••• L• CRD 283249 | New York, NY | asset manager | $56B | 0.0% | 0 | n/a | 2 | 2 |
| U•• A••••••• CRD 108113 | Glastonbury, CT | institutional | $56B | 0.0% | 72 | $782M | 13 | 0 |
| C•••••••• G••••• M•••••• I••• CRD 7059 | New York, NY | BD affiliated | $56B | 74% | 2,416 | $23.2M | 594 | 0 |
| C•••••••• A•••• M••••••••• L•• CRD 175092 | New York, NY | other | $56B | 0.0% | 0 | n/a | 4 | 48 |
| S••••• W••••• M••••••••• CRD 107271 | Rockford, IL | independent RIA | $56B | 88% | 399 | $139M | 65 | 0 |
| R••••••• A•••• M••••••••• L•• CRD 112526 | New York, NY | asset manager | $55B | 0.0% | 1 | $55B | 2 | 0 |
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17,149 advisers match.