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 |
|---|---|---|---|---|---|---|---|---|
| Rhone Group L.L.C. CRD 161731 | New York, NY | asset manager | $8.2B | 0.0% | 0 | Not computed | 0 | 11 |
| Stripes, LLC CRD 157553 | New York, NY | asset manager | $8.1B | 0.0% | 0 | Not computed | 1 | 52 |
| Lightyear Capital LLC CRD 156781 | New York, NY | asset manager | $8.1B | 0.0% | 0 | Not computed | 0 | 0 |
| B••••••••• I••••• A••••••• L••••• CRD 289550 | New York, NY | asset manager | $8.0B | 0.0% | 0 | Not computed | 4 | 6 |
| C••• A••• M••••••••• L•• CRD 284930 | New York, NY | asset manager | $8.0B | 0.0% | 0 | Not computed | 3 | 0 |
| G••••••••• I••••••••• CRD 105477 | New York, NY | asset manager | $8.0B | 0.0% | 42 | $190M | 3 | 0 |
| O•••• R••••••• P••••••• ••••• L• CRD 161327 | New York, NY | asset manager | $7.9B | 0.0% | 0 | Not computed | 2 | 14 |
| T••••••••• C•••••• M••••••••• L•• CRD 132694 | New York, NY | asset manager | $7.9B | 0.6% | 0 | Not computed | 0 | 3 |
| M•••••••• C••••••• L•• CRD 165153 | New York, NY | asset manager | $7.9B | 0.0% | 0 | Not computed | 0 | 3 |
| O•••••• I••••••••• P•••••••• L•• CRD 160990 | New York, NY | asset manager | $7.9B | 0.0% | 0 | Not computed | 1 | 16 |
| I•••••• I••••••••• M••••••••• L•• CRD 2288 | New York, NY | independent RIA | $7.8B | 87% | 0 | Not computed | 2 | 3 |
| I•••••• I••••••••• M••••••••• L•• CRD 343369 | New York, NY | independent RIA | $7.8B | 87% | 53 | $148M | 1 | 0 |
| H••••• P•••• C•••••• L• CRD 310871 | New York, NY | asset manager | $7.8B | 0.0% | 0 | Not computed | 0 | 19 |
| A•••• A•••• M••••••••• A•••••••• I••• CRD 824 | New York, NY | asset manager | $7.8B | 0.0% | 1 | $7.8B | 0 | 0 |
| C•••••• C•••••• L•• CRD 137887 | New York, NY | asset manager | $7.7B | 0.0% | 0 | Not computed | 1 | 43 |
| M•• I••••••••• G•••• L• CRD 174126 | New York, NY | asset manager | $7.6B | 0.0% | 0 | Not computed | 4 | 36 |
| I•• M••••••••• L••• CRD 277037 | New York, NY | asset manager | $7.6B | 0.0% | 0 | Not computed | 3 | 0 |
| H••••••••• C•••••• M••••••••• L•• CRD 134776 | New York, NY | asset manager | $7.6B | 0.0% | 0 | Not computed | 0 | 16 |
| Q•• CRD 161705 | New York, NY | asset manager | $7.5B | 0.0% | 0 | Not computed | 1 | 17 |
| S•••• C•••••• CRD 166403 | New York, NY | asset manager | $7.5B | 0.0% | 0 | Not computed | 0 | 3 |
| L•••••• O•••• A•••• M••••••••• •••• C••• CRD 153582 | New York, NY | asset manager | $7.5B | 0.0% | 0 | Not computed | 7 | 9 |
| H••••• H•••••• C•••••• L•• CRD 161240 | New York, NY | asset manager | $7.4B | 0.0% | 26 | $286M | 0 | 105 |
| X• L• CRD 308156 | New York, NY | asset manager | $7.4B | 0.0% | 0 | Not computed | 1 | 13 |
| J•• P•••••••• L•• CRD 285186 | New York, NY | asset manager | $7.4B | 0.0% | 0 | Not computed | 0 | 42 |
| L•••••• A•••• M••••••••• L• CRD 148267 | New York, NY | other | $7.4B | 16% | 0 | Not computed | 0 | 2 |
| S••••••• P••••••• L• CRD 323078 | New York, NY | asset manager | $7.4B | 0.0% | 0 | Not computed | 0 | 2 |
| H•• C•••••• CRD 287485 | New York, NY | asset manager | $7.3B | 0.0% | 0 | Not computed | 0 | 99 |
| R••••••••• I••••••••• G•••• L•• CRD 130849 | New York, NY | asset manager | $7.2B | 0.0% | 0 | Not computed | 2 | 21 |
| B•• • M•• B•• M••••••••• L•• CRD 330624 | New York, NY | asset manager | $7.2B | 0.0% | 0 | Not computed | 12 | 0 |
| S••••• H••• C•••••• M••••••••• L• CRD 167173 | New York, NY | asset manager | $7.2B | 0.0% | 0 | Not computed | 0 | 3 |
| B•••• B••••••• H••••••• M••••• F••• A••••••• D••••••••• CRD 111231 | New York, NY | asset manager | $7.2B | 0.0% | 0 | Not computed | 0 | 0 |
| C•••••••• P••••••• CRD 157488 | New York, NY | asset manager | $7.1B | 0.0% | 1 | $7.1B | 0 | 31 |
| T•• A••••••••• L•• CRD 116959 | New York, NY | independent RIA | $7.1B | 97% | 1 | $7.1B | 1 | 10 |
| J••• W• B•••••• • C••• I••• CRD 105597 | New York, NY | independent RIA | $7.1B | 56% | 1 | $7.1B | 0 | 1 |
| A••• I••••••••• P••••••• L• CRD 171246 | New York, NY | asset manager | $7.1B | 0.0% | 7 | $1.0B | 0 | 14 |
| G•• L•• CRD 138802 | New York, NY | asset manager | $7.0B | 0.0% | 0 | Not computed | 4 | 4 |
| C•••••• C••••••• L• CRD 155751 | New York, NY | asset manager | $7.0B | 0.0% | 0 | Not computed | 0 | 10 |
| O•• M•••••• G•••• L•• CRD 320876 | New York, NY | other | $7.0B | 0.0% | 0 | Not computed | 1 | 4 |
| W••••••• H••••• I••••••••• L•• CRD 160311 | New York, NY | asset manager | $7.0B | 0.0% | 0 | Not computed | 0 | 12 |
| C•••••• • S••••• L•• CRD 142633 | New York, NY | independent RIA | $7.0B | 91% | 23 | $304M | 1 | 2 |
| O••••••••• P•••••••• L• CRD 300935 | New York, NY | asset manager | $6.9B | 0.0% | 0 | Not computed | 0 | 27 |
| B••• O•• T••••••••• C••••• A••••••• I• L•• CRD 316821 | New York, NY | asset manager | $6.9B | 0.0% | 0 | Not computed | 8 | 1 |
| S•••••• C•••••• CRD 174278 | New York, NY | asset manager | $6.9B | 0.0% | 0 | Not computed | 3 | 17 |
| A••••• C•••••• G•••• L•• CRD 157243 | New York, NY | asset manager | $6.9B | 0.0% | 0 | Not computed | 2 | 6 |
| T••••• P••• C•••••• M••••••••• L• CRD 161836 | New York, NY | asset manager | $6.8B | 0.0% | 0 | Not computed | 0 | 2 |
| S••••• R••• C•••••• P••••••• CRD 318007 | New York, NY | asset manager | $6.8B | 0.0% | 0 | Not computed | 0 | 18 |
| G••••• C••••••• L••• CRD 136932 | New York, NY | asset manager | $6.8B | 0.0% | 0 | Not computed | 1 | 2 |
| L••• E••• C•••••• M••••••••• L•• CRD 241795 | New York, NY | asset manager | $6.8B | 0.0% | 0 | Not computed | 2 | 14 |
| L•••••• C•••••• M••••••••• L• CRD 161278 | New York, NY | asset manager | $6.8B | 0.0% | 0 | Not computed | 0 | 3 |
| T•• M••••••••• L• CRD 138083 | New York, NY | asset manager | $6.7B | 0.0% | 0 | Not computed | 9 | 27 |
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.