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 |
|---|---|---|---|---|---|---|---|---|
| Tenor Capital Management Company, L.P. CRD 153277 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 1 | 4 |
| Ethic CRD 282827 | New York, NY | asset manager | $10B | 3.2% | 9 | $1.1B | 0 | 0 |
| Court Square Capital CRD 156776 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 35 |
| M•• S•••••••• L•• CRD 157592 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 1 | 6 |
| O•• I••••••••• M••••••••• U• L•• CRD 323617 | New York, NY | asset manager | $10B | 0.0% | 0 | Not computed | 0 | 4 |
| A••••• C•••••• L•• CRD 159518 | New York, NY | asset manager | $10.0B | 0.0% | 0 | Not computed | 1 | 20 |
| C••••••••• G•••• A••••••• S••••••• L•• CRD 137463 | Purchase, NY | asset manager | $9.8B | 0.0% | 0 | Not computed | 1 | 0 |
| V• A••••••• S••••••• L••• CRD 137158 | New York, NY | asset manager | $9.8B | 0.0% | 0 | Not computed | 1 | 2 |
| A•••••• C•••••• M••••••••• L• CRD 156896 | New York, NY | asset manager | $9.7B | 0.0% | 0 | Not computed | 0 | 27 |
| O•• R••• C•••••• CRD 160972 | New York, NY | asset manager | $9.7B | 0.0% | 0 | Not computed | 2 | 17 |
| S••••• C••••••• L•• CRD 158296 | New York, NY | asset manager | $9.7B | 0.0% | 0 | Not computed | 0 | 9 |
| M•• A•••• M••••••••• L•• CRD 148976 | New York, NY | asset manager | $9.7B | 0.0% | 0 | Not computed | 0 | 30 |
| D••••••• P•••••••• CRD 330606 | New York, NY | other | $9.6B | 0.0% | 0 | Not computed | 0 | 0 |
| O••• A•••••••• L•• CRD 307580 | New York, NY | asset manager | $9.6B | 0.0% | 0 | Not computed | 4 | 15 |
| B••••• I••••••••• P••••••• L•• CRD 162276 | New York, NY | asset manager | $9.6B | 0.0% | 0 | Not computed | 0 | 0 |
| H•••••• K••••••• A•••• M••••••••• L•• CRD 106096 | New York, NY | mixed wealth | $9.6B | 27% | 1 | $9.6B | 3 | 22 |
| R•••••••• I••••••••• CRD 300799 | New York, NY | asset manager | $9.6B | 0.0% | 0 | Not computed | 0 | 0 |
| R••••• C•••••• M••••••••• L• CRD 285090 | New York, NY | asset manager | $9.6B | 0.0% | 0 | Not computed | 2 | 3 |
| S•• C•••••• P•••••••• L•• CRD 291389 | New York, NY | asset manager | $9.5B | 0.0% | 0 | Not computed | 2 | 11 |
| R••••••• W••••• M••••••••• CRD 168652 | New York, NY | independent RIA | $9.4B | 94% | 57 | $165M | 14 | 0 |
| S•• C•••••• P•••••••• L•• CRD 146106 | New York, NY | asset manager | $9.4B | 0.0% | 0 | Not computed | 0 | 11 |
| K•••••• L•••• L••• M••••••••• L•• CRD 316091 | New York, NY | asset manager | $9.4B | 0.0% | 0 | Not computed | 1 | 22 |
| I••••••• P•••••••• L••• CRD 164424 | New York, NY | asset manager | $9.4B | 0.0% | 0 | Not computed | 1 | 5 |
| A••••••• L•• CRD 143611 | New York, NY | asset manager | $9.3B | 0.0% | 0 | Not computed | 1 | 19 |
| J••• I••••••• • C••• L•• CRD 152450 | New York, NY | independent RIA | $9.3B | 100% | 16 | $583M | 0 | 0 |
| I••• U•• A•••• M••••••••• CRD 156313 | New York, NY | asset manager | $9.3B | 1.1% | 0 | Not computed | 3 | 0 |
| G••••••••• A••••••• L•• CRD 287806 | New York, NY | asset manager | $9.2B | 0.0% | 0 | Not computed | 0 | 0 |
| 4•• C•••••• M••••••••• L•• CRD 160089 | New York, NY | asset manager | $9.0B | 0.0% | 0 | Not computed | 1 | 20 |
| J••• L••••• A•• C•••••• L•• CRD 292932 | New York, NY | asset manager | $9.0B | 0.0% | 0 | Not computed | 1 | 26 |
| P••••••• G•••• U• M••••••••• C•• L•• CRD 293856 | New York, NY | asset manager | $9.0B | 0.0% | 0 | Not computed | 1 | 24 |
| S••••••• C•••••• P•••••••• L••••• CRD 160474 | New York, NY | asset manager | $9.0B | 0.0% | 0 | Not computed | 0 | 14 |
| Q•••••••• I••••••••• P••••••• L•• CRD 287822 | New York, NY | asset manager | $9.0B | 0.0% | 3 | $3.0B | 1 | 20 |
| S•••••• C•••••• A••••••• L•• CRD 157299 | New York, NY | BD affiliated | $8.9B | 97% | 121 | $73.3M | 14 | 0 |
| A••••• C•••••• M••••••••• L•• CRD 113013 | New York, NY | institutional | $8.8B | 3.0% | 0 | Not computed | 0 | 1 |
| H••••• C•••••• M••••••••• L•• CRD 119278 | New York, NY | mixed wealth | $8.7B | 45% | 4 | $2.2B | 0 | 2 |
| M••••••• R••••••••• L•• CRD 148870 | New York, NY | asset manager | $8.7B | 0.0% | 0 | Not computed | 0 | 4 |
| T• P•••••• C••••• W••••• L•• CRD 164484 | New York, NY | BD affiliated | $8.6B | 80% | 523 | $16.4M | 221 | 0 |
| B••• T•••• C•••••• L• CRD 288110 | New York, NY | asset manager | $8.6B | 0.0% | 0 | Not computed | 0 | 14 |
| G•••••• I••••••••• M••••••••• L•• CRD 134392 | New York, NY | other | $8.6B | 0.0% | 0 | Not computed | 0 | 9 |
| B••••••••• M••••••••• A••••••• L••••• CRD 171640 | New York, NY | asset manager | $8.5B | 0.0% | 0 | Not computed | 0 | 10 |
| V••• A• A••••••• CRD 301761 | New York City, NY | independent RIA | $8.5B | 94% | 0 | Not computed | 0 | 1 |
| E••••••• C••••• A•••••••• L•• CRD 155736 | New York, NY | asset manager | $8.5B | 0.0% | 0 | Not computed | 9 | 29 |
| M••••••• C••••• P••••••• CRD 151578 | New York, NY | asset manager | $8.5B | 0.0% | 0 | Not computed | 1 | 0 |
| B•• M••••• S••••••••• C••••••••• CRD 231 | New York, NY | other | $8.4B | 15% | 64 | $132M | 5 | 0 |
| D•••••• C• L••• • A••••••••• CRD 282563 | New York, NY | independent RIA | $8.4B | 92% | 16 | $528M | 2 | 0 |
| V•••• C••••• P•••••••• L••• CRD 329152 | New York, NY | asset manager | $8.4B | 0.0% | 0 | Not computed | 2 | 0 |
| S• C•••••• P••••••• CRD 161487 | New York, NY | asset manager | $8.4B | 0.0% | 0 | Not computed | 1 | 28 |
| A•••••••• C•••••• M••••••••• CRD 171128 | New York, NY | institutional | $8.3B | 0.0% | 1 | $8.3B | 0 | 0 |
| S•••••• A•••• M••••••••• ••• Y••••• I••• CRD 133827 | New Y•••, NY | asset manager | $8.2B | 0.0% | 0 | Not computed | 0 | 0 |
| S•••••••• V•••• L• CRD 156943 | New York, NY | asset manager | $8.2B | 0.0% | 0 | Not computed | 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.