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 |
|---|---|---|---|---|---|---|---|---|
| Principal Asset Management CRD 109002 | Des Moines, IA | other | $428B | 0.7% | 123 | $3.5B | 19 | 10 |
| Cambridge Investment Research Advisors, Inc. CRD 134139 | Fairfield, IA | BD affiliated | $139B | 97% | 3,941 | $35.2M | 2,339 | 0 |
| Sammons Financial Group Asset Management, LLC CRD 321109 | West Des Moines, IA | institutional | $122B | 0.0% | 0 | n/a | 1 | 0 |
| P•••••••• R••• E••••• CRD 109008 | Des Moines, IA | institutional | $106B | 0.2% | 0 | n/a | 15 | 18 |
| A•••• A•••• M••••••••• U• CRD 114537 | Cedar Rapids, IA | institutional | $89B | 0.0% | 1 | $89B | 2 | 19 |
| T••••••••• R••••••••• A•••••••• L•• CRD 107319 | Cedar Rapids, IA | BD affiliated | $19B | 93% | 305 | $61.7M | 173 | 0 |
| P•••••••• S••••••••• I••• CRD 1137 | Des Moines, IA | BD affiliated | $17B | 98% | 1,461 | $11.7M | 358 | 0 |
| A•••••• P••••••• P•••••••• I••• CRD 106237 | Dubuque, IA | BD affiliated | $7.6B | 69% | 252 | $30.0M | 169 | 0 |
| I•••••••• A•••••••• L•• CRD 139627 | Urbandale, IA | BD affiliated | $5.4B | 89% | 355 | $15.2M | 128 | 0 |
| F••••• G••••• I••• CRD 107148 | West Des Moines, IA | independent RIA | $4.8B | 84% | 58 | $82.3M | 1 | 0 |
| N•••••• F•••••••• G••••• I••• CRD 44181 | Cedar Rapids, IA | independent RIA | $4.8B | 96% | 89 | $53.6M | 39 | 0 |
| B•• C•••••• M••••••••• CRD 127158 | Des Moines, IA | other | $4.6B | 0.0% | 10 | $460M | 2 | 0 |
| B•• P•••••••• I••• CRD 119682 | Cedar Rapids, IA | BD affiliated | $3.8B | 96% | 230 | $16.7M | 135 | 0 |
| A••••• F•••••••• P•••••••• I••• CRD 7995 | Davenport, IA | independent RIA | $3.7B | 97% | 188 | $19.9M | 111 | 0 |
| S••••• C•••••• M••••••••• I••• CRD 107097 | Dubuque, IA | independent RIA | $3.5B | 75% | 15 | $236M | 2 | 0 |
| I••••••••• C••••••••• G•••• I•• CRD 106967 | Davenport, IA | other | $2.8B | 12% | 2 | $1.4B | 1 | 0 |
| G•••••• • C•••• I••• CRD 283112 | West Des Moines, IA | independent RIA | $1.7B | 94% | 18 | $94.3M | 0 | 0 |
| P•••••••• A•••••• S••••••• CRD 297324 | Des Moines, IA | BD affiliated | $1.4B | 100% | 224 | $6.4M | 92 | 0 |
| A•••• W••••• M••••••••• CRD 286201 | Waverly, IA | independent RIA | $1.1B | 57% | 10 | $115M | 3 | 0 |
| N•••••••• W••••• M••••••••• L•• CRD 152816 | Spencer, IA | independent RIA | $1.0B | 93% | 20 | $51.6M | 11 | 0 |
| L••••• F•••••••• G•••• CRD 154927 | Des Moines, IA | independent RIA | $1.0B | 99% | 9 | $112M | 0 | 0 |
| S••••••• S••••• CRD 109228 | West Des Moines, IA | independent RIA | $911M | 96% | 14 | $65.1M | 0 | 0 |
| B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• CRD 13609 | Cedar Rapids, IA | BD affiliated | $906M | 97% | 71 | $12.8M | 55 | 0 |
| D••• A••••••• S•••••••• L•• CRD 145112 | Des Moines, IA | independent RIA | $903M | 58% | 6 | $150M | 0 | 0 |
| B•••••••• W•••••• L•• CRD 289538 | Cedar Rapids, IA | independent RIA | $884M | 93% | 13 | $68.0M | 3 | 0 |
| R•• F•••••••• N•••••• CRD 147309 | Akron, IA | independent RIA | $675M | 99% | 17 | $39.7M | 16 | 0 |
| W••• F•••••••• A•••••••• L••••• CRD 142265 | Des Moines, IA | independent RIA | $674M | 96% | 7 | $96.3M | 1 | 0 |
| M••••• R••••••••• P••••••• CRD 297942 | Grimes, IA | independent RIA | $569M | 100% | 14 | $40.6M | 0 | 0 |
| R•• A••••••• G••••• L•• CRD 152566 | Des Moines, IA | independent RIA | $568M | 98% | 24 | $23.7M | 12 | 0 |
| R••••••••• C••••••••• G•••• CRD 300925 | West Des Moines, IA | mixed wealth | $561M | 38% | 5 | $112M | 3 | 0 |
| D•••••• F•••••••• G•••• CRD 288763 | Cedar Falls, IA | independent RIA | $540M | 100% | 3 | $180M | 0 | 0 |
| W••••• A••••••• O• I•••• L•• CRD 115088 | West Des Moines, IA | independent RIA | $539M | 97% | 11 | $49.0M | 0 | 0 |
| M••••••• • R••• W••••• M••••••••• L•• CRD 289603 | Davenport, IA | independent RIA | $530M | 91% | 3 | $177M | 0 | 0 |
| I••••••••• W••••• N••••••• I••• CRD 286262 | Urbandale, IA | independent RIA | $518M | 95% | 34 | $15.2M | 19 | 0 |
| W••••••••• P•••••••• L•• CRD 297712 | Davenport, IA | independent RIA | $451M | 100% | 5 | $90.2M | 3 | 0 |
| N••••••• F••••••••• I••• CRD 151569 | Bettendorf, IA | independent RIA | $449M | 98% | 7 | $64.1M | 0 | 0 |
| F•• P•••••• W••••• M••••••••• I••• CRD 15898 | Waterloo, IA | independent RIA | $432M | 96% | 10 | $43.2M | 3 | 0 |
| L••••• B••••• P•••••• F••••• O•••••• CRD 282261 | West Des Moines, IA | independent RIA | $426M | 99% | 2 | $213M | 0 | 0 |
| Q••••••••• I••••••••• G••••• L•• CRD 154113 | Davenport, IA | independent RIA | $426M | 84% | 7 | $60.8M | 0 | 0 |
| V•••••• W•••••• L•• CRD 146911 | West Des Moines, IA | independent RIA | $423M | 65% | 3 | $141M | 1 | 30 |
| M•••••• A••••••• G••••• L•• CRD 287538 | Urbandale, IA | independent RIA | $414M | 100% | 4 | $103M | 0 | 0 |
| F••••• F•••••••• CRD 329748 | Dubuque, IA | independent RIA | $409M | 96% | 8 | $51.2M | 0 | 0 |
| C•••••• F•••••••• S••••••• CRD 109441 | West Des Moines, IA | independent RIA | $407M | 99% | 7 | $58.2M | 0 | 0 |
| M•••••• H••••••• F•••••••• A••••••• CRD 306308 | West Des Moines, IA | independent RIA | $399M | 100% | 4 | $99.7M | 2 | 0 |
| A•••• R••• A••••• U• CRD 286438 | Cedar Rapids, IA | institutional | $394M | 0.0% | 0 | n/a | 2 | 1 |
| P••••• W••••• M••••••••• CRD 2997 | Sioux City, IA | independent RIA | $382M | 96% | 3 | $127M | 1 | 0 |
| B•••• C•••••• CRD 132416 | West Des Moines, IA | independent RIA | $342M | 96% | 4 | $85.5M | 2 | 0 |
| B•••••• C•••••• A•••••••• L•• CRD 282369 | West Des Moines, IA | independent RIA | $329M | 100% | 3 | $110M | 0 | 0 |
| W•••••• F•••••••• S•••••••• I••• CRD 27346 | Dubuque, IA | independent RIA | $328M | 100% | 7 | $46.8M | 0 | 0 |
| P••••••• F•••••••• G••••• I••• CRD 169519 | Des Moines, IA | independent RIA | $299M | 98% | 3 | $99.7M | 0 | 0 |
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90 advisers match.