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 |
|---|---|---|---|---|---|---|---|---|
| Osaic Wealth, Inc. CRD 23131 | Scottsdale, AZ | BD affiliated | $235B | 97% | 8,054 | $29.2M | 5,586 | 0 |
| Voya Investments, LLC CRD 111091 | Scottsdale, AZ | asset manager | $59B | 0.0% | 0 | n/a | 0 | 0 |
| Gi Partners CRD 161573 | Scottsdale, AZ | other | $36B | 0.0% | 0 | n/a | 6 | 28 |
| D•••• S••••••• A••••••• L• CRD 108674 | Tucson, AZ | asset manager | $30B | 0.5% | 0 | n/a | 1 | 0 |
| U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• CRD 20804 | Scottsdale, AZ | independent RIA | $13B | 96% | 364 | $35.1M | 209 | 0 |
| F••••••••• I••••••••• A••••••• L•• CRD 175083 | Phoenix, AZ | independent RIA | $10B | 100% | 298 | $33.9M | 85 | 0 |
| B••••• C•••••• M••••••••• L• CRD 284363 | Scottsdale, AZ | asset manager | $8.0B | 0.0% | 0 | n/a | 4 | 14 |
| A••••• T••••• P•••••• W••••• CRD 153902 | Scottsdale, AZ | independent RIA | $6.0B | 98% | 98 | $61.3M | 25 | 0 |
| D•••••• CRD 151367 | Phoenix, AZ | independent RIA | $5.6B | 94% | 77 | $73.2M | 54 | 0 |
| S•••• C•••••• M••••••••• I••• CRD 143567 | Phoenix, AZ | asset manager | $5.5B | 0.8% | 6 | $919M | 2 | 0 |
| T•• W••••• A•••••••• I••• CRD 107373 | Tucson, AZ | independent RIA | $5.4B | 96% | 45 | $119M | 6 | 0 |
| T•• F••••• O••••• P••••••• CRD 159440 | Phoenix, AZ | independent RIA | $5.0B | 99% | 27 | $187M | 2 | 0 |
| S••••• O•••••• A• P••• O• B•• F•••••••• G•••• CRD 111320 | Scottsdale, AZ | bank affiliated | $3.7B | 100% | 14 | $262M | 1 | 0 |
| S•••••••• I••••••••• A••••••• L•• CRD 149040 | Phoenix, AZ | other | $3.3B | 0.1% | 6 | $552M | 0 | 0 |
| P•• A••••••• CRD 173344 | Phoenix, AZ | independent RIA | $3.3B | 97% | 81 | $40.3M | 131 | 0 |
| T••• F•••••••• CRD 109376 | Scottsdale, AZ | independent RIA | $2.8B | 86% | 63 | $44.8M | 33 | 0 |
| T••••• W•••••• L••••• CRD 158847 | Scottsdale, AZ | independent RIA | $2.6B | 100% | 44 | $59.1M | 37 | 0 |
| R•••••• I••••••••• M••••••••• L••• CRD 153139 | Scottsdale, AZ | asset manager | $2.5B | 3.3% | 1 | $2.5B | 0 | 0 |
| V•••• C•••••• P•••••••• L•• CRD 151568 | Scottsdale, AZ | independent RIA | $2.3B | 91% | 47 | $48.7M | 31 | 0 |
| V•••••• C•••••• M••••••••• I••• CRD 131692 | Phoenix, AZ | independent RIA | $1.8B | 80% | 11 | $165M | 1 | 0 |
| I••••••• I••••••••• C••••••• L•• CRD 110623 | Scottsdale, AZ | independent RIA | $1.8B | 90% | 13 | $135M | 0 | 0 |
| I••••• P••••••• L•• CRD 163648 | Scottsdale, AZ | asset manager | $1.7B | 0.0% | 0 | n/a | 0 | 14 |
| L• R•• P••• • A••••••••• L•• CRD 105130 | Phoenix, AZ | independent RIA | $1.6B | 90% | 11 | $147M | 0 | 0 |
| G••••• S•••••••• N•••••• O••• CRD 175300 | Scottsdale, AZ | independent RIA | $1.6B | 73% | 5 | $322M | 2 | 0 |
| A•• C••••••• L•• CRD 287980 | Phoenix, AZ | independent RIA | $1.5B | 92% | 29 | $51.3M | 5 | 10 |
| G•••••• G•••••• • S••••• L•• CRD 153410 | Scottsdale, AZ | independent RIA | $1.4B | 97% | 8 | $169M | 10 | 0 |
| T•••• I••••••••• M••••••••• I••• CRD 108818 | Scottsdale, AZ | independent RIA | $1.4B | 100% | 8 | $169M | 1 | 0 |
| M•• C•••••• A••••••• L•• CRD 157835 | Scottsdale, AZ | independent RIA | $1.3B | 74% | 20 | $67.3M | 5 | 0 |
| B•••••••• I••••••••• G•••• CRD 316544 | Phoenix, AZ | independent RIA | $1.3B | 100% | 69 | $18.2M | 5 | 0 |
| D••••••••• F••••••••• L•• CRD 296988 | Mesa, AZ | mixed wealth | $1.2B | 49% | 13 | $94.2M | 2 | 0 |
| A•• W••••• A•••••••• L•• CRD 147351 | Scottsdale, AZ | independent RIA | $1.2B | 98% | 14 | $86.6M | 0 | 0 |
| B••••• W••••• P•••••••• I••• CRD 282329 | Scottsdale, AZ | independent RIA | $1.1B | 98% | 27 | $39.6M | 7 | 0 |
| G• F•••••••• G••••• L•• CRD 172370 | Tucson, AZ | independent RIA | $1.1B | 99% | 7 | $150M | 0 | 0 |
| B••••••••• F•••••••• S•••••••• CRD 325485 | Phoenix, AZ | independent RIA | $1.0B | 87% | 13 | $80.5M | 7 | 0 |
| W•••• G••••••• • C••••••• L•• CRD 131458 | Gilbert, AZ | independent RIA | $1.0B | 95% | 9 | $115M | 0 | 3 |
| F•••••••• F••••• O••••• CRD 317615 | Scottsdale, AZ | independent RIA | $1.0B | 85% | 14 | $71.4M | 0 | 2 |
| S•• W••••• M••••••••• CRD 112142 | Tucson, AZ | independent RIA | $933M | 81% | 8 | $117M | 1 | 0 |
| R•••• C•••••• CRD 152662 | Mesa, AZ | independent RIA | $917M | 75% | 2 | $459M | 1 | 2 |
| E••••••• C•••••• M••••••••• L•• CRD 166478 | Scottsdale, AZ | asset manager | $908M | 0.0% | 0 | n/a | 1 | 5 |
| C•••••••• C•••••• M••••••••• L•• CRD 155189 | Phoenix, AZ | mixed wealth | $844M | 24% | 2 | $422M | 1 | 0 |
| W••••• M••••••••• P•••••••• L•• CRD 309790 | Tucson, AZ | independent RIA | $794M | 96% | 7 | $113M | 0 | 0 |
| S••••••••• A•••• M••••••••• L•• CRD 305155 | Scottsdale, AZ | asset manager | $771M | 0.0% | 0 | n/a | 0 | 0 |
| C•••••• A••••••• CRD 329091 | Phoenix, AZ | other | $748M | 0.0% | 2 | $374M | 0 | 0 |
| S••••••• M••••• L•• CRD 158641 | Scottsdale, AZ | independent RIA | $743M | 100% | 13 | $57.1M | 4 | 0 |
| F•••••••• D••••••••• L•• CRD 108475 | Tucson, AZ | independent RIA | $738M | 100% | 3 | $246M | 0 | 0 |
| A••• F•••••••• G••••• L•• CRD 323646 | Scottsdale, AZ | independent RIA | $733M | 96% | 9 | $81.4M | 0 | 0 |
| W•••••• C•••••• M••••••••• L•• CRD 116593 | Phoenix, AZ | independent RIA | $703M | 89% | 6 | $117M | 3 | 0 |
| A•••• G••••• S••••••••• L•• CRD 342319 | Scottsdale, AZ | other | $703M | 0.0% | 0 | n/a | 0 | 0 |
| R•• C•••••• CRD 306287 | Phoenix, AZ | asset manager | $663M | 0.0% | 0 | n/a | 1 | 1 |
| I••••••• F••••••••• L•• CRD 151004 | Tucson, AZ | independent RIA | $663M | 80% | 8 | $82.8M | 1 | 0 |
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209 advisers match.