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 |
|---|---|---|---|---|---|---|---|---|
| River Road Asset Management, LLC CRD 134918 | Louisville, KY | asset manager | $9.9B | 0.9% | 0 | n/a | 0 | 0 |
| Todd Asset Management LLC CRD 109473 | Louisville, KY | institutional | $6.2B | 3.7% | 4 | $1.5B | 0 | 0 |
| Meridian Wealth Management, LLC CRD 151523 | Lexington, KY | independent RIA | $5.0B | 87% | 58 | $85.9M | 9 | 0 |
| M•• A•••••••• L•• CRD 130372 | Lexington, KY | independent RIA | $4.7B | 55% | 33 | $142M | 4 | 1 |
| M••••••••• C•••••• CRD 297235 | Lexington, KY | asset manager | $3.9B | 0.0% | 0 | n/a | 2 | 24 |
| P•• R••• E••••• CRD 172753 | Louisville, KY | asset manager | $3.6B | 0.0% | 0 | n/a | 5 | 8 |
| R••••••••• I••••••••• M••••••••• CRD 105916 | Covington, KY | other | $2.9B | 9.1% | 8 | $363M | 0 | 0 |
| S•••••• I••••••••• A••••••••• I•• CRD 107480 | Louisville, KY | mixed wealth | $2.8B | 24% | 5 | $554M | 0 | 0 |
| K••••••• F•••••••• G••••• L•• CRD 170201 | Lexington, KY | independent RIA | $2.3B | 98% | 34 | $68.8M | 8 | 0 |
| E• S• B••• • C•••••• CRD 107447 | Lexington, KY | independent RIA | $2.2B | 85% | 5 | $444M | 0 | 1 |
| J•••••• A••••••• G••••• L•• CRD 171919 | Covington, KY | independent RIA | $1.7B | 96% | 19 | $87.1M | 3 | 0 |
| T•• G•••••• G••••• I••• CRD 175104 | Prospect, KY | independent RIA | $1.6B | 98% | 6 | $268M | 0 | 0 |
| L••••• F•••••••• A•••••••• I••• CRD 158675 | Covington, KY | independent RIA | $1.5B | 99% | 13 | $117M | 2 | 0 |
| C••••••• A••••••••• I••• CRD 108340 | Louisville, KY | independent RIA | $1.5B | 90% | 4 | $370M | 0 | 0 |
| S•••••••• W••••• I••••••••• G••••• L•• CRD 165474 | Louisville, KY | independent RIA | $1.4B | 100% | 32 | $43.3M | 19 | 0 |
| P•••••• C••••• S•••••••• L•• CRD 120222 | Louisville, KY | BD affiliated | $1.4B | 99% | 64 | $21.6M | 23 | 0 |
| B••••• W••••• P•••••••• L•• CRD 325308 | Louisville, KY | independent RIA | $1.4B | 94% | 5 | $270M | 0 | 0 |
| K•• A••••••• S••••••• L•• CRD 289507 | Louisville, KY | independent RIA | $1.2B | 100% | 27 | $46.0M | 13 | 0 |
| P•••••••• L•• CRD 107794 | Louisville, KY | independent RIA | $1.2B | 88% | 5 | $244M | 0 | 1 |
| W••••••• P•••••••• L•• CRD 153838 | Louisville, KY | institutional | $1.2B | 2.6% | 0 | n/a | 1 | 0 |
| H••••• I••••••••• C••••••• L•• CRD 110482 | Louisville, KY | independent RIA | $1.0B | 89% | 4 | $257M | 0 | 0 |
| D••••• • C••••••• I••• CRD 1697 | Lexington, KY | asset manager | $888M | 0.0% | 0 | n/a | 0 | 0 |
| C•••••••• CRD 299363 | Louisville, KY | independent RIA | $882M | 74% | 4 | $221M | 0 | 8 |
| S••••••• F•••••••• A•••••••• L•••• L••••• CRD 125147 | Nicholasville, KY | independent RIA | $813M | 100% | 3 | $271M | 0 | 0 |
| A••• C•••••• L•• CRD 298326 | Lexington, KY | independent RIA | $805M | 89% | 6 | $134M | 0 | 0 |
| B••••••• I••• CRD 152695 | Lexington, KY | independent RIA | $752M | 95% | 8 | $93.9M | 0 | 0 |
| R••••• Q••••••••• S••••••• I••• CRD 175257 | Louisville, KY | asset manager | $691M | 0.0% | 0 | n/a | 0 | 2 |
| S••••• W••••• A••••••• CRD 283226 | Louisville, KY | independent RIA | $618M | 94% | 9 | $68.6M | 0 | 0 |
| A•••• B•••• CRD 133408 | Louisville, KY | independent RIA | $605M | 92% | 7 | $86.5M | 0 | 0 |
| R•••••• W••••• P•••••••• L•• CRD 286230 | Louisville, KY | independent RIA | $595M | 100% | 6 | $99.2M | 0 | 0 |
| F•••• K••••••• S••••••••• C••• CRD 7524 | Louisville, KY | independent RIA | $566M | 98% | 15 | $37.7M | 1 | 0 |
| V•• L•••••• R••••••••• • I••••••••• S••••••• CRD 289463 | Richmond, KY | independent RIA | $559M | 98% | 2 | $280M | 0 | 0 |
| A•••••••• C•••••• L•• CRD 162368 | Louisville, KY | asset manager | $541M | 0.0% | 4 | $135M | 1 | 4 |
| C•••••••• F•••••••• A•••••••• L•• CRD 333071 | Louisville, KY | independent RIA | $523M | 100% | 5 | $105M | 0 | 0 |
| A•••••••• I••••••••• S••••••• C•• CRD 1037 | Louisville, KY | independent RIA | $496M | 96% | 10 | $49.6M | 1 | 0 |
| L••••• F•••••••• I••••••••• A••••••• L•• CRD 324258 | Louisville, KY | independent RIA | $484M | 99% | 6 | $80.7M | 0 | 0 |
| R••••••••• P••••••• S••••••••• L•• CRD 311575 | Louisville, KY | independent RIA | $467M | 100% | 4 | $117M | 1 | 0 |
| A•••• F•••••••• P••••••• L•• CRD 306639 | Lexington, KY | independent RIA | $460M | 75% | 6 | $76.6M | 1 | 0 |
| O••• L•••• F•••••••• G•••• CRD 289436 | Elizabethtown, KY | independent RIA | $459M | 79% | 4 | $115M | 0 | 0 |
| P•••••• P•••••• W••••• M••••••••• L•• CRD 312817 | Lexington, KY | independent RIA | $458M | 93% | 4 | $114M | 1 | 0 |
| G••••••• C••••••• I••• CRD 323541 | Louisville, KY | independent RIA | $450M | 100% | 8 | $56.2M | 0 | 0 |
| A•••• W••••• M••••••••• L•• CRD 153650 | Ft. Mitchell, KY | independent RIA | $405M | 99% | 5 | $81.0M | 0 | 0 |
| D••••• F•••••••• G••••• L•• CRD 131091 | Lexington, KY | independent RIA | $404M | 100% | 7 | $57.8M | 0 | 0 |
| T••• W••••• F•••••••• CRD 145457 | Bowling Green, KY | independent RIA | $374M | 100% | 5 | $74.7M | 2 | 0 |
| D•••••• M••••• A••••••••• L•• CRD 323540 | Louisville, KY | asset manager | $362M | 0.0% | 3 | $121M | 0 | 0 |
| P••••• F•••••••• A•••••••• L•• CRD 121880 | Louisville, KY | independent RIA | $358M | 100% | 4 | $89.5M | 1 | 0 |
| A••••• W••••• M••••••••• L•• CRD 339285 | Louisville, KY | independent RIA | $358M | 93% | 3 | $119M | 0 | 0 |
| F•• I••••••••• L•• CRD 284064 | Lexington, KY | independent RIA | $349M | 96% | 9 | $38.8M | 5 | 0 |
| J• H•••• C••••••• I••• CRD 168467 | Louisville, KY | independent RIA | $342M | 87% | 5 | $68.4M | 5 | 0 |
| M••••••••• A•••••••• I••• CRD 107337 | Lexington, KY | independent RIA | $330M | 100% | 2 | $165M | 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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85 advisers match.