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 |
|---|---|---|---|---|---|---|---|---|
| Aqr Capital Management, LLC CRD 111883 | Greenwich, CT | asset manager | $312B | 2.9% | 1 | $312B | 0 | 304 |
| Point72 Asset Management, L.P. CRD 283077 | Stamford, CT | asset manager | $274B | 0.0% | 0 | n/a | 36 | 18 |
| Bridgewater Associates, LP CRD 105129 | Westport, CT | asset manager | $150B | 0.0% | 0 | n/a | 5 | 38 |
| V••••••• F••• M••••••••• L•• CRD 156610 | Greenwich, CT | asset manager | $139B | 0.0% | 6 | $23B | 24 | 5 |
| H••••••• I••••••••• M••••••••• C•••••• CRD 106699 | Hartford, CT | institutional | $124B | 0.0% | 0 | n/a | 2 | 13 |
| N•• E•••••• A•••• M••••••••• I••• CRD 105900 | Farmington, CT | institutional | $112B | 0.0% | 1 | $112B | 0 | 3 |
| C••••••• I••• CRD 107423 | Hartford, CT | institutional | $107B | 0.0% | 1 | $107B | 1 | 0 |
| T•••• I••••••••• C••••••••• CRD 159792 | Stamford, CT | asset manager | $107B | 0.0% | 0 | n/a | 6 | 10 |
| A•• I••••••••• S•••••••• I••• CRD 108897 | Shelton, CT | asset manager | $91B | 0.0% | 0 | n/a | 1 | 0 |
| S•••••• I••••••••• M••••••••• C•••••• CRD 312176 | Farmington, CT | other | $89B | 0.0% | 0 | n/a | 1 | 1 |
| V••••• G••••• I•••••••• L• CRD 132272 | Stamford, CT | asset manager | $78B | 0.0% | 0 | n/a | 2 | 15 |
| S•••• P•••• C•••••• L•• CRD 156521 | Greenwich, CT | asset manager | $68B | 0.0% | 0 | n/a | 2 | 59 |
| U•• A••••••• CRD 108113 | Glastonbury, CT | institutional | $56B | 0.0% | 72 | $782M | 13 | 0 |
| V••••• I••••••••• A•••••••• L•• CRD 106982 | Hartford, CT | asset manager | $52B | 0.0% | 73 | $709M | 2 | 0 |
| P•••••••• A••••••• L•• CRD 105981 | Darien, CT | other | $48B | 0.0% | 0 | n/a | 8 | 92 |
| S••••• P•••• C••••••• L••• CRD 157738 | Greenwich, CT | asset manager | $46B | 0.0% | 0 | n/a | 9 | 0 |
| G••••• C•••••• M••••••••• L••• CRD 160925 | Rowayton, CT | asset manager | $43B | 0.0% | 0 | n/a | 3 | 18 |
| H••••• B•• C•••••• M••••••••• L• CRD 155910 | Stamford, CT | asset manager | $41B | 0.0% | 0 | n/a | 3 | 11 |
| V••• R••••••••• A•••••••• L•• CRD 3989 | Windsor, CT | other | $37B | 0.0% | 129 | $290M | 1 | 0 |
| S•••••• P••••••• I••••••••• A•••••••• L•• CRD 283004 | Stamford, CT | BD affiliated | $37B | 94% | 473 | $77.7M | 86 | 0 |
| V••••• F•••• I••••• A•••••••• L•• CRD 146029 | Hartford, CT | other | $35B | 1.5% | 4 | $8.7B | 6 | 15 |
| L• C•••••••• CRD 157428 | Greenwich, CT | asset manager | $31B | 0.0% | 0 | n/a | 0 | 88 |
| K•••••• O• C••••••• A•••• A••••••• L•• CRD 174129 | New Haven, CT | institutional | $31B | 3.2% | 228 | $134M | 1 | 9 |
| P••••• P••••••• M••••••••• C•••••• CRD 138460 | Greenwich, CT | asset manager | $30B | 0.0% | 0 | n/a | 3 | 4 |
| A•••• I•••••••• CRD 109605 | Greenwich, CT | asset manager | $28B | 0.0% | 0 | n/a | 0 | 10 |
| C•••• I••••••••• I••• CRD 105811 | Bloomfield, CT | institutional | $26B | 0.0% | 0 | n/a | 0 | 2 |
| S•••••••• V•••• P•••••••• L•• CRD 138406 | Greenwich, CT | asset manager | $26B | 0.0% | 0 | n/a | 3 | 20 |
| A••• I••••••••• M••••••••• L• CRD 153665 | Stamford, CT | asset manager | $25B | 0.0% | 1 | $25B | 0 | 6 |
| G• I••••••••• M••••••••• CRD 323648 | Norwalk, CT | asset manager | $24B | 0.0% | 0 | n/a | 0 | 0 |
| C••••••••• O•••• I••• CRD 110689 | Norwalk, CT | asset manager | $23B | 0.0% | 0 | n/a | 2 | 32 |
| N••• I••••••••• CRD 321256 | Westport, CT | asset manager | $22B | 0.0% | 0 | n/a | 0 | 0 |
| L••• P••• C•••••• L•• CRD 156602 | Greenwich, CT | asset manager | $22B | 0.0% | 0 | n/a | 1 | 14 |
| E••••••• M••••••••• L•• CRD 106647 | Greenwich, CT | mixed wealth | $22B | 24% | 2 | $11B | 1 | 0 |
| E•••••••• M••••••••• G••••• L••••• CRD 112493 | Old Greenwich, CT | asset manager | $21B | 0.0% | 0 | n/a | 2 | 29 |
| H•••••• C•••••• M••••••••• CRD 160415 | Stamford, CT | asset manager | $20B | 0.0% | 0 | n/a | 1 | 74 |
| N•• E••• W••••• CRD 307771 | Stamford, CT | BD affiliated | $20B | 95% | 142 | $140M | 18 | 0 |
| O••••••••• A•••• M••••••••• L•• CRD 144594 | Stamford, CT | independent RIA | $20B | 81% | 58 | $341M | 0 | 0 |
| E•••••••• F•••••••• M••••••••• L•• CRD 150510 | Old Greenwich, CT | asset manager | $19B | 0.0% | 0 | n/a | 0 | 0 |
| S••••••• A•••• M••••••••• I••• CRD 300463 | Stamford, CT | asset manager | $18B | 0.0% | 4 | $4.6B | 3 | 1 |
| A•• F•••• L•• CRD 153456 | Stamford, CT | asset manager | $18B | 0.0% | 7 | $2.6B | 1 | 0 |
| A•••• H••••••• L•• CRD 160610 | Greenwich, CT | asset manager | $18B | 0.0% | 0 | n/a | 1 | 17 |
| S••••••••• G••••• A•••••••• L• CRD 127447 | Stamford, CT | asset manager | $17B | 1.2% | 0 | n/a | 2 | 0 |
| C• P•••••• E•••••• I••• CRD 110657 | Norwalk, CT | asset manager | $16B | 0.0% | 0 | n/a | 6 | 82 |
| G••••••••• E••••• G•••• CRD 157475 | Greenwich, CT | asset manager | $16B | 0.0% | 0 | n/a | 0 | 21 |
| G•••• M••••••• P••••••• CRD 309528 | New Haven, CT | asset manager | $14B | 0.0% | 0 | n/a | 1 | 11 |
| A••••••• C••••••• L•• CRD 135986 | Greenwich, CT | asset manager | $14B | 0.0% | 0 | n/a | 1 | 3 |
| T•••••••• I••••••••• L• CRD 170476 | Stamford, CT | other | $13B | 0.0% | 0 | n/a | 0 | 2 |
| E•••• P•••• C••••• M••••••••• L•• CRD 166370 | Greenwich, CT | other | $13B | 0.0% | 0 | n/a | 0 | 21 |
| A•••••••• G••••• A•••••••• L•• CRD 109678 | Stamford, CT | asset manager | $12B | 0.0% | 0 | n/a | 0 | 3 |
| S••••••••• A••••••• L•• CRD 134017 | Wilton, CT | asset manager | $12B | 1.0% | 5 | $2.4B | 0 | 0 |
The rest of the firm names are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
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507 advisers match.