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 |
|---|---|---|---|---|---|---|---|---|
| Fidelity Management & Research Company LLC CRD 108281 | Boston, MA | asset manager | $5685B | 0.5% | 0 | n/a | 6 | 1 |
| Geode Capital Management, LLC CRD 115504 | Boston, MA | asset manager | $1737B | 0.0% | 0 | n/a | 0 | 0 |
| Wellington Management Company Llp CRD 106595 | Boston, MA | asset manager | $1428B | 0.0% | 1 | $1428B | 6 | 77 |
| S••• F•••• M••••••••• I••• CRD 111242 | Boston, MA | asset manager | $1421B | 0.0% | 0 | n/a | 3 | 21 |
| S•••••••• A••••••• L•• CRD 104555 | Boston, MA | national BD | $1370B | 41% | 16,954 | $80.8M | 237 | 0 |
| M•• I••••••••• M••••••••• CRD 110045 | Boston, MA | asset manager | $514B | 0.0% | 0 | n/a | 0 | 0 |
| C••••••• M••••••••• I••••••••• A•••••••• L•• CRD 108257 | Boston, MA | asset manager | $502B | 0.6% | 200 | $2.5B | 7 | 12 |
| L•••••• S••••• • C••••••• L••• CRD 105377 | Boston, MA | other | $387B | 3.3% | 24 | $16B | 6 | 5 |
| A••••••••• C••••••• L•••••• P••••••••• CRD 111298 | Boston, MA | asset manager | $351B | 0.0% | 0 | n/a | 0 | 39 |
| C•••••••• A••••••••• L•• CRD 104942 | Boston, MA | mixed wealth | $327B | 27% | 0 | n/a | 4 | 92 |
| M••••••• I••••••••• M••••••••• ••• L•• CRD 106435 | Boston, MA | asset manager | $228B | 0.6% | 0 | n/a | 1 | 0 |
| M••••• I••••••••• L•• CRD 133449 | Boston, MA | institutional | $226B | 0.0% | 0 | n/a | 25 | 40 |
| C••••••••• F•••••••• N•••••• CRD 8032 | Waltham, MA | national BD | $213B | 95% | 2,942 | $72.3M | 1,433 | 0 |
| J••• H•••••• I••••••••• M••••••••• L•• CRD 105790 | Boston, MA | asset manager | $212B | 0.0% | 171 | $1.2B | 0 | 0 |
| H••••••••• P•••••••• L•• CRD 109846 | Boston, MA | asset manager | $191B | 0.0% | 0 | n/a | 1 | 311 |
| A•••••• A•••• M••••••••• CRD 106609 | Boston, MA | other | $177B | 0.0% | 0 | n/a | 0 | 47 |
| B••••• M••••••••• A•• R••••••• CRD 104853 | Boston, MA | asset manager | $155B | 0.0% | 0 | n/a | 3 | 22 |
| N•••• L•• CRD 110562 | Boston, MA | institutional | $153B | 2.2% | 1 | $153B | 25 | 4 |
| R•••••••• A••••••• CRD 107151 | Boston, MA | institutional | $136B | 0.0% | 0 | n/a | 0 | 24 |
| I••••• R••••••• • M••••••••• CRD 104863 | Boston, MA | other | $131B | 3.9% | 0 | n/a | 0 | 15 |
| P••••• I••••••••• M••••••••• L•• CRD 106629 | Boston, MA | asset manager | $117B | 3.2% | 57 | $2.1B | 0 | 0 |
| B••••• P••••••• CRD 124982 | Boston, MA | asset manager | $116B | 0.4% | 0 | n/a | 3 | 4 |
| M•• I•••••••• S•••••••• L•• CRD 10409 | Springfield, MA | BD affiliated | $116B | 97% | 5,082 | $22.8M | 1,093 | 0 |
| M•• I••••••••• A••••••• I••• CRD 107144 | Boston, MA | other | $114B | 2.8% | 52 | $2.2B | 0 | 6 |
| N•••••• A•••••••• L•• CRD 106800 | Boston, MA | BD affiliated | $109B | 90% | 57 | $1.9B | 3 | 0 |
| B••••••••• C••••••• L•• CRD 158343 | Boston, MA | asset manager | $100B | 0.0% | 0 | n/a | 0 | 12 |
| E•••• V•••• M••••••••• CRD 104859 | Boston, MA | asset manager | $97B | 0.0% | 106 | $915M | 4 | 14 |
| B••• C•••••• P•••••• E•••••• L• CRD 145653 | Boston, MA | asset manager | $96B | 0.0% | 0 | n/a | 15 | 36 |
| N•••••• I•••••••• L•• CRD 131684 | Boston, MA | asset manager | $94B | 0.0% | 0 | n/a | 4 | 25 |
| W••••••••• A••••••••• I••••••••• CRD 226715 | Boston, MA | asset manager | $92B | 0.0% | 0 | n/a | 0 | 128 |
| A••••• I••••••••• L••• CRD 105673 | Boston, MA | asset manager | $92B | 0.0% | 0 | n/a | 2 | 133 |
| G••••••• M••• V•• O••••••• • C• L•• CRD 106220 | Boston, MA | other | $81B | 0.0% | 0 | n/a | 0 | 38 |
| S•• M••••••••• CRD 109684 | Wellesley Hills, MA | institutional | $76B | 0.0% | 1 | $76B | 4 | 4 |
| B••• C•••••• C•••••• L• CRD 134852 | Boston, MA | asset manager | $76B | 0.0% | 0 | n/a | 16 | 158 |
| A•••• C•••••• M••••••••• L••• CRD 160679 | Boston, MA | asset manager | $70B | 0.0% | 0 | n/a | 1 | 1 |
| J••• H•••••• V••••••• T•••• A••••••• L•• CRD 16009 | Boston, MA | asset manager | $69B | 0.0% | 0 | n/a | 0 | 0 |
| N••••• I••••••••• M••••••••• N•••• A•••••• CRD 312937 | Boston, MA | asset manager | $59B | 0.0% | 0 | n/a | 3 | 0 |
| T• A••••••••• CRD 156699 | Boston, MA | asset manager | $55B | 0.0% | 1 | $55B | 2 | 30 |
| B••••••••• C•••••• A••••••• I•• CRD 107143 | Boston, MA | independent RIA | $54B | 63% | 29 | $1.9B | 1 | 0 |
| G••• I••••••••• M••••••••• L•• CRD 121942 | Boston, MA | independent RIA | $53B | 77% | 8 | $6.6B | 0 | 3 |
| P••••••• C•••••• I••••••••• G••••• L•• CRD 120663 | Boston, MA | other | $51B | 12% | 1 | $51B | 3 | 50 |
| V••••••• A••••••• S••••••••• I••• CRD 221518 | Wakefield, MA | independent RIA | $50B | 100% | 8 | $6.2B | 0 | 0 |
| S•• C•••••• M••••••••• L•• CRD 122258 | Boston, MA | independent RIA | $49B | 62% | 78 | $624M | 12 | 62 |
| M••••••• I••••••••• M••••••••• P•••••• M•••••• ••• L•• CRD 145508 | Boston, MA | other | $48B | 0.0% | 0 | n/a | 11 | 44 |
| G•••••• C••••••• CRD 162548 | Cambridge, MA | asset manager | $46B | 0.0% | 0 | n/a | 5 | 49 |
| P••••••• A•••• M••••••••• I•• CRD 105201 | Boston, MA | other | $44B | 0.0% | 0 | n/a | 0 | 9 |
| S••••• P•••••••• L••• CRD 135271 | Boston, MA | asset manager | $42B | 0.0% | 0 | n/a | 3 | 87 |
| 5••• CRD 286620 | Boston, MA | asset manager | $37B | 0.0% | 0 | n/a | 3 | 0 |
| T•• P••••• A••••••• C••••••• L•• CRD 106631 | Boston, MA | asset manager | $33B | 0.6% | 0 | n/a | 0 | 0 |
| P•• E••••• L••••• CRD 295103 | Boston, MA | asset manager | $30B | 0.0% | 0 | n/a | 4 | 56 |
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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627 advisers match.