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 |
|---|---|---|---|---|---|---|---|---|
| Northern Trust Investments, Incorporated CRD 105780 | Chicago, IL | asset manager | $1245B | 8.3% | 32 | $39B | 8 | 9 |
| Invesco Capital Management LLC CRD 125601 | Downers Grove, IL | asset manager | $941B | 0.0% | 0 | n/a | 3 | 0 |
| First Trust Advisors LP CRD 107027 | Wheaton, IL | asset manager | $309B | 1.6% | 608 | $509M | 4 | 1 |
| N••••• A•••• M••••••••• L•• CRD 155584 | Chicago, IL | mixed wealth | $280B | 21% | 255 | $1.1B | 28 | 28 |
| L•• • A•••• M••••••••• A•••••• CRD 149156 | Chicago, IL | asset manager | $267B | 0.0% | 0 | n/a | 0 | 20 |
| C••••• I••••••••• A••••••• L•• CRD 105644 | Schaumburg, IL | BD affiliated | $257B | 96% | 10,475 | $24.5M | 6,584 | 0 |
| B••••••• A•••• M••••••••• L••• CRD 138111 | Chicago, IL | asset manager | $248B | 0.0% | 0 | n/a | 34 | 43 |
| H•••••••• A•••••••• L•• CRD 145323 | Chicago, IL | BD affiliated | $199B | 90% | 1,043 | $190M | 132 | 0 |
| G•••••••• F•••••••• A•••••••• L•• CRD 146509 | Rolling Meadows, IL | institutional | $195B | 0.5% | 123 | $1.6B | 36 | 0 |
| N••••• F••• A•••••••• L•• CRD 104626 | Chicago, IL | asset manager | $186B | 0.0% | 0 | n/a | 5 | 0 |
| T•••• B•••• CRD 157041 | Chicago, IL | asset manager | $183B | 0.0% | 0 | n/a | 6 | 151 |
| G• A••••••• L•• CRD 148687 | Chicago, IL | asset manager | $178B | 0.0% | 0 | n/a | 8 | 42 |
| A•• I••••••••• U•• I••• CRD 105596 | Chicago, IL | institutional | $151B | 0.0% | 0 | n/a | 14 | 8 |
| G• O••• A••••••• L•• CRD 289425 | Chicago, IL | asset manager | $124B | 0.0% | 0 | n/a | 10 | 92 |
| H••••• • O•••••• CRD 106960 | Chicago, IL | asset manager | $109B | 6.6% | 4 | $27B | 0 | 2 |
| L•• A•••• M••••••••• CRD 109918 | Chicago, IL | other | $104B | 0.0% | 0 | n/a | 0 | 21 |
| F•••••••• A••••••• L•• CRD 106720 | Chicago, IL | mixed wealth | $98B | 34% | 69 | $1.4B | 17 | 0 |
| G•• G•••••••• L••• CRD 108654 | Chicago, IL | asset manager | $95B | 0.1% | 0 | n/a | 2 | 261 |
| P•• A•••••• I•• CRD 107269 | Chicago, IL | institutional | $94B | 0.0% | 0 | n/a | 5 | 11 |
| M••••••••• I••••••••• M••••••••• L•• CRD 108031 | Chicago, IL | mixed wealth | $88B | 45% | 26 | $3.4B | 40 | 0 |
| C•••••• A•••• M••••••••• L•• CRD 288566 | Chicago, IL | independent RIA | $79B | 89% | 211 | $374M | 24 | 145 |
| B••• O•• R••• E••••• C•••••• L•• CRD 165132 | Chicago, IL | asset manager | $68B | 0.0% | 0 | n/a | 9 | 54 |
| C••• P•••••• W••••• A•••••••• I••• CRD 109644 | Chicago, IL | BD affiliated | $68B | 66% | 173 | $392M | 16 | 0 |
| H••••• C•••••• A•••••••• I••• CRD 113042 | Chicago, IL | asset manager | $68B | 0.0% | 10 | $6.8B | 2 | 1 |
| A•••• S••••• P•••••••• L•• CRD 109358 | Chicago, IL | asset manager | $66B | 0.0% | 0 | n/a | 8 | 327 |
| W•••••• B•••• I••••••••• M••••••••• L•• CRD 173961 | Chicago, IL | other | $66B | 0.0% | 0 | n/a | 3 | 9 |
| W•••••• B•••• • C•••••• L••••• CRD 1252 | Chicago, IL | BD affiliated | $64B | 82% | 329 | $195M | 11 | 21 |
| T••••• W••••• I••••••••• S•••••••• I••• CRD 110473 | Chicago, IL | institutional | $63B | 0.0% | 5 | $13B | 14 | 11 |
| V•••• E••••• P••••••• CRD 160014 | Chicago, IL | asset manager | $59B | 0.0% | 0 | n/a | 5 | 54 |
| S••••• W••••• M••••••••• CRD 107271 | Rockford, IL | independent RIA | $56B | 88% | 399 | $139M | 65 | 0 |
| B•• C•••••• P••••••• CRD 160914 | Chicago, IL | asset manager | $52B | 0.0% | 1 | $52B | 12 | 45 |
| M•••••• F•••••••• I••••••••• M••••••••• I••• CRD 111135 | Chicago, IL | mixed wealth | $50B | 26% | 92 | $548M | 11 | 6 |
| G••• L•• CRD 159545 | Chicago, IL | asset manager | $49B | 0.0% | 0 | n/a | 2 | 55 |
| A•••••• C•••••• A••••••• L•• CRD 281998 | Chicago, IL | asset manager | $47B | 0.0% | 0 | n/a | 6 | 40 |
| M•••••••• A••••••••• I••• CRD 21572 | Chicago, IL | other | $47B | 10% | 4 | $12B | 8 | 0 |
| C•••••• A••••••• L•• CRD 105758 | Naperville, IL | asset manager | $44B | 4.3% | 42 | $1.0B | 6 | 3 |
| A•••••• I••••••••• G••••• L••• CRD 155058 | Chicago, IL | asset manager | $42B | 0.0% | 0 | n/a | 0 | 1 |
| M••••••• F•••••••• R••• M••••••••• L•• CRD 159377 | Chicago, IL | asset manager | $40B | 0.0% | 0 | n/a | 0 | 0 |
| R•••• A•••••• L••••• CRD 109596 | Chicago, IL | asset manager | $34B | 0.0% | 0 | n/a | 9 | 21 |
| M••••••• F•••••••• L•• CRD 136045 | Evanston, IL | asset manager | $32B | 0.0% | 1 | $32B | 3 | 58 |
| P••• I••••••••• A••••••• CRD 301973 | Naperville, IL | asset manager | $31B | 0.1% | 27 | $1.1B | 13 | 0 |
| I•••••••• C•••••• M••••••••• L•• CRD 287718 | Wheaton, IL | asset manager | $30B | 0.0% | 0 | n/a | 0 | 0 |
| A•• CRD 109875 | Chicago, IL | institutional | $27B | 0.7% | 0 | n/a | 3 | 0 |
| A••••••• I••••••••• M••••••••• C•••••• CRD 107775 | Chicago, IL | other | $26B | 0.0% | 0 | n/a | 0 | 23 |
| C•• P••••••• CRD 139531 | Chicago, IL | asset manager | $26B | 0.0% | 0 | n/a | 0 | 4 |
| D••••••• C•••••• M••••••••• L•• CRD 105757 | Chicago, IL | asset manager | $26B | 0.0% | 0 | n/a | 3 | 0 |
| S••••• B••••• • H••••• CRD 106505 | Chicago, IL | other | $23B | 12% | 2 | $11B | 4 | 5 |
| M•••••• D••••••• P••••••• CRD 157349 | Chicago, IL | asset manager | $21B | 0.0% | 0 | n/a | 0 | 57 |
| H••••••• S••••• A•••••••• L•• CRD 157983 | Chicago, IL | asset manager | $20B | 0.0% | 0 | n/a | 10 | 3 |
| C•••••• L•• CRD 111221 | Rockford, IL | independent RIA | $19B | 93% | 146 | $131M | 33 | 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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678 advisers match.