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 |
|---|---|---|---|---|---|---|---|---|
| Ta Associates CRD 156699 | Boston, MA | asset manager | $55B | 0.0% | 1 | $55B | 2 | 30 |
| Beacon Pointe Advisors, LLC CRD 119290 | Newport Beach, CA | independent RIA | $55B | 90% | 471 | $117M | 89 | 5 |
| Thornburg Investment Management Inc CRD 106357 | Santa Fe, NM | asset manager | $54B | 2.3% | 42 | $1.3B | 0 | 2 |
| B••••••••• C•••••• A••••••• I•• CRD 107143 | Boston, MA | independent RIA | $54B | 63% | 29 | $1.9B | 1 | 0 |
| P•••••••• A•••• M••••••••• I••• CRD 317431 | Montreal, Quebec, | asset manager | $54B | 0.0% | 0 | n/a | 0 | 2 |
| V•••••• C•••••• F••• M••••••••• L••••• CRD 157123 | New York, NY | asset manager | $54B | 0.0% | 0 | n/a | 0 | 35 |
| S• I••••••••• A••••••• ••• I••• CRD 286323 | Menlo Park, CA | asset manager | $53B | 0.0% | 0 | n/a | 10 | 1 |
| F•••• S•••••• I•••••••• CRD 160034 | Barangaroo, Nsw, | other | $53B | 0.0% | 0 | n/a | 2 | 0 |
| M••••••••• I••••••••• CRD 109138 | Washington, DC | asset manager | $53B | 0.0% | 0 | n/a | 9 | 0 |
| G••• I••••••••• M••••••••• L•• CRD 121942 | Boston, MA | independent RIA | $53B | 77% | 8 | $6.6B | 0 | 3 |
| S••••••• C•••••• L• CRD 107913 | New York, NY | asset manager | $53B | 0.0% | 0 | n/a | 2 | 98 |
| A•••• A•••• M••••••••• U• P•• CRD 289505 | Edinburgh, | other | $53B | 0.0% | 0 | n/a | 1 | 0 |
| C••••••• S•••••••• S•••••••• CRD 44970 | Plano, TX | other | $52B | 0.0% | 0 | n/a | 0 | 0 |
| W•••••• C•••••• L•• CRD 161413 | Wayzata, MN | asset manager | $52B | 0.0% | 0 | n/a | 8 | 5 |
| M•• C•••••• M••••••••• L•• CRD 109807 | Cleveland, OH | independent RIA | $52B | 66% | 306 | $170M | 29 | 33 |
| F••••••• C•••••• M••••••••• L••••• CRD 107322 | San Francisco, CA | asset manager | $52B | 0.0% | 0 | n/a | 1 | 48 |
| C•••••• I••••••••• I••• CRD 110682 | Los Angeles, CA | other | $52B | 0.0% | 0 | n/a | 4 | 3 |
| V••• F•••••••• L•• CRD 165976 | Mclean, VA | asset manager | $52B | 0.0% | 14 | $3.7B | 0 | 0 |
| V••••• I••••••••• A•••••••• L•• CRD 106982 | Hartford, CT | asset manager | $52B | 0.0% | 73 | $709M | 2 | 0 |
| B••••••••• L••••• C••••• A••••••• I• L•• CRD 152294 | New York, NY | institutional | $52B | 2.0% | 0 | n/a | 5 | 5 |
| B•• C•••••• P••••••• CRD 160914 | Chicago, IL | asset manager | $52B | 0.0% | 1 | $52B | 12 | 45 |
| G•••••• C•••••• CRD 156932 | San Francisco, CA | asset manager | $51B | 0.0% | 0 | n/a | 0 | 30 |
| P•• C•••••• A••••••• L•• CRD 151829 | Baltimore, MD | other | $51B | 0.0% | 17 | $3.0B | 4 | 0 |
| C••• L•• CRD 155344 | Omaha, NE | BD affiliated | $51B | 91% | 660 | $76.6M | 165 | 0 |
| M••••• G•••• I••••••••• A•••••••• L•• CRD 104727 | St. Louis, MO | independent RIA | $51B | 92% | 255 | $198M | 9 | 0 |
| P••••••• C•••••• I••••••••• G••••• L•• CRD 120663 | Boston, MA | other | $51B | 12% | 1 | $51B | 3 | 50 |
| T••••• C•••••• CRD 162771 | New York, NY | asset manager | $50B | 0.0% | 0 | n/a | 2 | 54 |
| M•••••• F•••••••• I••••••••• M••••••••• I••• CRD 111135 | Chicago, IL | mixed wealth | $50B | 26% | 92 | $548M | 11 | 6 |
| H••••••• A•••••••• L• CRD 287999 | New York, NY | asset manager | $50B | 0.0% | 0 | n/a | 0 | 2 |
| C••• I••••••••• M••••••••• I••••••• L•••••• CRD 163590 | London, | institutional | $50B | 0.0% | 0 | n/a | 7 | 5 |
| S•••• M•••• A••••••• CRD 114687 | New York, NY | institutional | $50B | 0.0% | 0 | n/a | 15 | 4 |
| L••••••••• V•••••• P••••••• CRD 160187 | Menlo Park, CA | asset manager | $50B | 0.0% | 0 | n/a | 6 | 51 |
| V••••••• A••••••• S••••••••• I••• CRD 221518 | Wakefield, MA | independent RIA | $50B | 100% | 8 | $6.2B | 0 | 0 |
| A• W••••• M••••••••• L•• CRD 282580 | Topeka, KS | BD affiliated | $50B | 99% | 462 | $108M | 314 | 0 |
| C••••••• C•••••• G•••• L• CRD 153966 | Los Angeles, CA | asset manager | $50B | 0.0% | 0 | n/a | 5 | 88 |
| I•• I••••••••• I•• CRD 162589 | New York, NY | asset manager | $50B | 0.0% | 0 | n/a | 4 | 67 |
| M••••••• I••••••••• P••••••• L•••••• CRD 107432 | London, | other | $49B | 0.0% | 0 | n/a | 0 | 27 |
| B••••• I••••••••• G•••• CRD 159127 | Sandy, UT | asset manager | $49B | 0.0% | 0 | n/a | 11 | 153 |
| M•••••••• I••••••••• P••••••• CRD 146696 | New York, NY | asset manager | $49B | 0.0% | 0 | n/a | 7 | 60 |
| I•••••• M••••••••• S••• CRD 143238 | Luxembourg, | other | $49B | 0.0% | 0 | n/a | 2 | 1 |
| S•• C•••••• M••••••••• L•• CRD 122258 | Boston, MA | independent RIA | $49B | 62% | 78 | $624M | 12 | 62 |
| G••• L•• CRD 159545 | Chicago, IL | asset manager | $49B | 0.0% | 0 | n/a | 2 | 55 |
| C••••••••• L•• CRD 132167 | Marina Del Rey, CA | asset manager | $49B | 0.4% | 0 | n/a | 3 | 4 |
| M••••••• I••••••••• M••••••••• P•••••• M•••••• ••• L•• CRD 145508 | Boston, MA | other | $48B | 0.0% | 0 | n/a | 11 | 44 |
| T••••••• A•••• M••••••••• L•• CRD 137751 | Minneapolis, MN | asset manager | $48B | 0.0% | 23 | $2.1B | 1 | 0 |
| P•••••••• A••••••• L•• CRD 105981 | Darien, CT | other | $48B | 0.0% | 0 | n/a | 8 | 92 |
| W••••••••• A••••••• L•• CRD 148456 | Palo Alto, CA | BD affiliated | $48B | 99% | 41 | $1.2B | 0 | 0 |
| P••••••• E••••• A•••••••• L•• CRD 161491 | Beverly Hills, CA | asset manager | $48B | 0.0% | 0 | n/a | 4 | 149 |
| A•••••• C•••••• A••••••• L•• CRD 281998 | Chicago, IL | asset manager | $47B | 0.0% | 0 | n/a | 6 | 40 |
| S•••••••• G•••• E••••• A••••••••• I••••••••• L•••••• CRD 284947 | Dublin, | asset manager | $47B | 0.0% | 0 | n/a | 1 | 4 |
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17,149 advisers match.