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 |
|---|---|---|---|---|---|---|---|---|
| Ameriprise Financial Services, LLC CRD 6363 | Minneapolis, MN | national BD | $660B | 98% | 13,078 | $50.5M | 158 | 0 |
| U.S. Bancorp Asset Management, Inc. CRD 111912 | Minneapolis, MN | asset manager | $427B | 0.0% | 0 | n/a | 50 | 1 |
| Garda Capital Partners CRD 282439 | Wayzata, MN | asset manager | $207B | 0.0% | 0 | n/a | 8 | 1 |
| T••••••• F•••••••• F•• L•••••••• CRD 115785 | Minneapolis, MN | other | $129B | 0.0% | 0 | n/a | 1 | 1 |
| W••••• E••••••••• A••••••• S•••••••• L•• CRD 116407 | Plymouth, MN | BD affiliated | $122B | 91% | 1,013 | $121M | 184 | 0 |
| R•• G••••• A•••• M••••••••• ••••• I••• CRD 107173 | Minneapolis, MN | asset manager | $104B | 0.1% | 1 | $104B | 3 | 14 |
| G••••••• C•••••• M••••••••• CRD 106487 | Minneapolis, MN | institutional | $80B | 0.0% | 0 | n/a | 0 | 3 |
| W•••••• C•••••• L•• CRD 161413 | Wayzata, MN | asset manager | $52B | 0.0% | 0 | n/a | 8 | 5 |
| T••••••• A•••• M••••••••• L•• CRD 137751 | Minneapolis, MN | asset manager | $48B | 0.0% | 23 | $2.1B | 1 | 0 |
| P••• R•••• C•••••• M••••••••• L••• CRD 133720 | Minnetonka, MN | asset manager | $47B | 0.0% | 0 | n/a | 1 | 2 |
| S••••••• A•••• M••••••••• I••• CRD 109905 | St Paul, MN | institutional | $42B | 0.0% | 0 | n/a | 0 | 0 |
| C••••••••• L••• CRD 145165 | Minneapolis, MN | asset manager | $35B | 0.0% | 1 | $35B | 8 | 46 |
| A••••••• C•••••• G•••• CRD 109673 | Minneapolis, MN | institutional | $30B | 6.7% | 4 | $7.5B | 1 | 0 |
| W•••••• C•••••• M••••••••• L•• CRD 106940 | Minneapolis, MN | asset manager | $29B | 3.3% | 1 | $29B | 2 | 3 |
| T••••••• P•••••• I••••••••• CRD 338378 | Minneapolis, MN | asset manager | $23B | 0.0% | 0 | n/a | 0 | 36 |
| T••••••• I••••••••• M••••••••• I••• CRD 18387 | Minneapolis, MN | BD affiliated | $21B | 98% | 3,159 | $6.6M | 1,226 | 0 |
| A•••••• I••••••••• M••••••••• L•• CRD 111925 | Minneapolis, MN | asset manager | $19B | 0.0% | 0 | n/a | 0 | 0 |
| A• C••••• I••••••••• L• CRD 141819 | Minneapolis, MN | asset manager | $18B | 0.0% | 0 | n/a | 2 | 64 |
| W••••••• A••••••• L•• CRD 121995 | Minneapolis, MN | asset manager | $16B | 0.0% | 1 | $16B | 4 | 10 |
| S•• F•••• I••••• A••••••• I•• L•• CRD 108271 | Minneapolis, MN | institutional | $15B | 1.7% | 0 | n/a | 0 | 18 |
| C••••••••• W••••• A•••••••• L•• CRD 38357 | Minneapolis, MN | BD affiliated | $14B | 79% | 99 | $146M | 39 | 0 |
| D•••••• I••••••••• A•••••••• L•• CRD 132824 | Bloomington, MN | other | $13B | 0.0% | 2 | $6.5B | 0 | 0 |
| N•••••••• P•••••••• L•• CRD 167908 | Minneapolis, MN | independent RIA | $12B | 99% | 92 | $132M | 24 | 1 |
| M•••• • P•••• CRD 110351 | St. Paul, MN | mixed wealth | $12B | 37% | 16 | $759M | 0 | 2 |
| F•••••••• C••••••••• I•• CRD 104753 | St Paul, MN | independent RIA | $10B | 88% | 17 | $592M | 1 | 0 |
| I••••••••• I••••••••• S•••••••• I•• CRD 107498 | Albert Lea, MN | mixed wealth | $9.9B | 23% | 60 | $165M | 13 | 0 |
| G••••••• I••••••••• L•• CRD 141726 | Arden Hills, MN | independent RIA | $8.8B | 100% | 31 | $285M | 0 | 0 |
| H••• F•••••••• G••••• L•• CRD 306877 | Minneapolis, MN | institutional | $7.5B | 1.3% | 4 | $1.9B | 3 | 0 |
| C••••• C•• M••••••••• L•• CRD 298135 | Minneapolis, MN | asset manager | $7.3B | 0.0% | 0 | n/a | 2 | 17 |
| T••••••• A•••••• N••••••• L•• CRD 304569 | Minneapolis, MN | BD affiliated | $6.8B | 98% | 120 | $57.0M | 27 | 0 |
| F•••• F•••••••• CRD 116140 | Minneapolis, MN | independent RIA | $6.8B | 98% | 121 | $56.4M | 36 | 0 |
| D••••••••• G••••• I•••••••• I•• CRD 106746 | Minneapolis, MN | mixed wealth | $5.5B | 26% | 2 | $2.7B | 0 | 3 |
| R••••••••• CRD 108074 | Minneapolis, MN | independent RIA | $5.0B | 64% | 12 | $419M | 0 | 0 |
| C••••••••• M••••••••• C••• I••• CRD 105307 | St Paul, MN | asset manager | $4.7B | 0.0% | 0 | n/a | 1 | 8 |
| A••••••••• I•••••••• W••••• M••••••••• CRD 105439 | Edina, MN | independent RIA | $4.4B | 99% | 3 | $1.5B | 0 | 0 |
| N••••••••• A•••• M••••••••• CRD 300366 | Plymouth, MN | asset manager | $4.3B | 0.0% | 0 | n/a | 0 | 0 |
| P•••••••• C•••••• M••••••••• L•• CRD 110052 | Minneapolis, MN | other | $4.1B | 1.1% | 3 | $1.4B | 0 | 0 |
| N•••••• C•••••• A•••••••• L•• CRD 323642 | Minneapolis, MN | asset manager | $3.8B | 0.0% | 0 | n/a | 1 | 12 |
| P••••••• I••••••••• P••••••• L• CRD 282051 | Minneapolis, MN | asset manager | $3.7B | 0.0% | 0 | n/a | 9 | 27 |
| E••••• CRD 146385 | Minneapolis, MN | institutional | $3.6B | 0.0% | 6 | $598M | 1 | 0 |
| S•• I••••••••• A••••••••• I•• CRD 105725 | Minneapolis, MN | asset manager | $3.5B | 6.0% | 0 | n/a | 0 | 7 |
| A••••••••• W••••• P••••••• CRD 113074 | Minnetonka, MN | independent RIA | $3.1B | 99% | 58 | $54.3M | 37 | 0 |
| B•• C•••••• M••••••••• I••• CRD 120006 | Bloomington, MN | other | $3.1B | 2.6% | 3 | $1.0B | 0 | 0 |
| B••••• W••••• CRD 111334 | Eden Prairie, MN | independent RIA | $3.0B | 97% | 33 | $91.2M | 0 | 0 |
| B••••• F•••••••• G•••• CRD 308174 | Plymouth, MN | independent RIA | $2.9B | 99% | 52 | $56.7M | 9 | 0 |
| T•••••••• W••••• M••••••••• L•• CRD 128314 | Edina, MN | independent RIA | $2.6B | 85% | 24 | $108M | 3 | 0 |
| A••••• V••••••• CRD 326592 | Minneapolis, MN | asset manager | $2.6B | 0.0% | 0 | n/a | 0 | 17 |
| C•••••• C•••••• M••••••••• I•• CRD 107823 | Minneapolis, MN | independent RIA | $2.6B | 75% | 14 | $183M | 1 | 0 |
| L••••• F••• M••••••••• L•• CRD 156247 | Excelsior, MN | asset manager | $2.5B | 0.0% | 0 | n/a | 0 | 0 |
| S••••••••• C•••••• A••••••• L•• CRD 111447 | St. Paul, MN | independent RIA | $2.5B | 71% | 3 | $840M | 2 | 0 |
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275 advisers match.