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 |
|---|---|---|---|---|---|---|---|---|
| Pgim, Inc. CRD 105676 | Newark, NJ | other | $1132B | 0.1% | 5 | $226B | 16 | 171 |
| Managed Account Advisors LLC CRD 142558 | Jersey City, NJ | independent RIA | $995B | 90% | 26 | $38B | 0 | 0 |
| UBS Financial Services Inc. CRD 8174 | Weehawken, NJ | wirehouse | $916B | 83% | 9,349 | $98.0M | 369 | 0 |
| B•••••••• I••••••••• M••••••••• L•• CRD 108928 | Princeton, NJ | asset manager | $677B | 8.6% | 670 | $1.0B | 13 | 49 |
| M•••••• I••••••••• M••••••••• L•• CRD 142463 | Whippany, NJ | institutional | $564B | 0.0% | 0 | n/a | 11 | 11 |
| P••• I••••••••• L•• CRD 105670 | Newark, NJ | asset manager | $345B | 0.0% | 73 | $4.7B | 0 | 0 |
| L•••• A••••• • C•• L•• CRD 110391 | Jersey City, NJ | asset manager | $270B | 9.3% | 204 | $1.3B | 0 | 9 |
| C••••••••• I••••••••• I••••••••• •••••• L•• CRD 150088 | Jersey City, NJ | institutional | $121B | 0.0% | 0 | n/a | 12 | 13 |
| P••• Q••••••••• S•••••••• CRD 129752 | Newark, NJ | asset manager | $111B | 0.0% | 0 | n/a | 0 | 4 |
| P•••••••• CRD 151736 | Englewood, NJ | independent RIA | $110B | 83% | 201 | $549M | 18 | 161 |
| W•••• I••••••••• A•••••••• L•• CRD 208512 | Lincroft, NJ | other | $72B | 15% | 363 | $197M | 124 | 0 |
| C•••••• A••••••• G•••• L•• CRD 107291 | Princeton, NJ | other | $46B | 0.1% | 0 | n/a | 1 | 0 |
| P•••••• A•••••• G••••• L•• CRD 155216 | Morristown, NJ | BD affiliated | $44B | 96% | 920 | $48.2M | 476 | 0 |
| F••••••• M••••• A•••••••• L•• CRD 111376 | Short Hills, NJ | asset manager | $43B | 6.8% | 0 | n/a | 0 | 0 |
| E•• CRD 155020 | Summit, NJ | asset manager | $33B | 0.0% | 0 | n/a | 5 | 53 |
| H•••••• L•••••• L• CRD 104543 | Bridgewater, NJ | other | $32B | 9.6% | 0 | n/a | 0 | 0 |
| O••• C••••• P•••••••• L•• CRD 138941 | Englewood Cliffs, NJ | asset manager | $30B | 0.0% | 0 | n/a | 3 | 68 |
| J••••• L••• E••••• M••••••••• CRD 107022 | Florham Park, NJ | other | $28B | 0.0% | 5 | $5.6B | 0 | 4 |
| S••••• F••••••••• L•• CRD 299322 | Parsippany, NJ | BD affiliated | $26B | 89% | 232 | $114M | 107 | 0 |
| P••• P•••••• P•••••••• I••••••••• L••• CRD 106442 | Newark, NJ | institutional | $24B | 0.0% | 0 | n/a | 15 | 0 |
| A•• S•••••••• P••• S•••••••• L•• CRD 286555 | Roseland, NJ | institutional | $24B | 0.0% | 0 | n/a | 1 | 0 |
| P••••••••• S••••• S••••••••• L•• CRD 286153 | Newark, NJ | institutional | $23B | 0.0% | 0 | n/a | 0 | 0 |
| A•••••••• L• CRD 281909 | Short Hills, NJ | asset manager | $20B | 0.0% | 0 | n/a | 1 | 2 |
| M••••• W••••• M••••••••• L•• CRD 155649 | Westwood, NJ | independent RIA | $18B | 92% | 135 | $131M | 30 | 0 |
| O••••••• B•• W••••• P••••••• CRD 318366 | Parsippany, NJ | independent RIA | $15B | 95% | 119 | $127M | 23 | 0 |
| C••••• W••••• M••••••••• L•• CRD 142878 | Summit, NJ | independent RIA | $14B | 93% | 10 | $1.4B | 1 | 0 |
| A••••••• C•••••• M••••••••• L•• CRD 112266 | Ridgewood, NJ | independent RIA | $12B | 93% | 59 | $207M | 23 | 0 |
| H•••••••• C•••••• M••••••••• L•• CRD 109537 | Morris Plains, NJ | institutional | $12B | 0.0% | 0 | n/a | 0 | 0 |
| G•••••• P••• C•••••• M••••••••• L•• CRD 164409 | Chatham, NJ | other | $9.9B | 0.0% | 2 | $4.9B | 1 | 0 |
| S•••• Q•••• A•••••••• L•• CRD 132330 | Morristown, NJ | independent RIA | $9.0B | 85% | 40 | $225M | 7 | 5 |
| S•••••• I••••••••• A•••••••• L•• CRD 286353 | Shrewsbury, NJ | mixed wealth | $8.3B | 29% | 5 | $1.7B | 1 | 8 |
| C•••••• A•••• M••••••••• L•• CRD 157517 | Chatham, NJ | asset manager | $8.3B | 0.0% | 0 | n/a | 1 | 17 |
| P••• C••••• H•••••• L•• CRD 290235 | Newark, NJ | independent RIA | $6.9B | 97% | 0 | n/a | 0 | 0 |
| P••• D• S•••••••• CRD 318800 | Newark, NJ | asset manager | $6.9B | 0.0% | 0 | n/a | 0 | 0 |
| P•••• C••••••• L••• CRD 304961 | Princeton, NJ | asset manager | $6.9B | 0.0% | 0 | n/a | 2 | 21 |
| N••• P••• P••••••••• L•• CRD 324646 | Shrewsbury, NJ | institutional | $6.3B | 0.0% | 2 | $3.1B | 1 | 0 |
| R••••• A•••• M••••••••• CRD 3140 | Jersey City, NJ | asset manager | $5.9B | 4.3% | 1 | $5.9B | 0 | 0 |
| Z••• G•••• CRD 108371 | Holmdel, NJ | asset manager | $5.3B | 0.0% | 0 | n/a | 1 | 26 |
| E••••••••• P•••••••• L••• CRD 166338 | Princeton, NJ | asset manager | $4.9B | 0.0% | 0 | n/a | 0 | 3 |
| S••• A••• M••••••••• CRD 162365 | Mount Laurel, NJ | asset manager | $4.8B | 0.0% | 0 | n/a | 0 | 0 |
| B• A•••••••• L•• CRD 142982 | Mt. Laurel, NJ | independent RIA | $4.7B | 97% | 6 | $789M | 2 | 0 |
| F•••• I••••••••• G••••• L• CRD 329156 | Summit, NJ | asset manager | $4.6B | 0.0% | 0 | n/a | 1 | 8 |
| 1••• I••••••••• M••••••••• CRD 337619 | Newark, NJ | institutional | $4.6B | 0.0% | 3 | $1.5B | 0 | 0 |
| B••••• T•••• CRD 226547 | Morristown, NJ | independent RIA | $4.4B | 93% | 30 | $148M | 4 | 0 |
| S••••••••• W••••• CRD 300572 | Summit, NJ | mixed wealth | $4.3B | 40% | 204 | $20.9M | 52 | 0 |
| S••••••••• F•••••••• M••••••••• L• CRD 106146 | Teaneck, NJ | other | $4.2B | 1.6% | 5 | $841M | 2 | 0 |
| H••••••••• E••••• P•••••••• L•• CRD 315050 | Newark, NJ | asset manager | $3.9B | 0.0% | 0 | n/a | 0 | 5 |
| P••••••• C•••••• M••••••••• L• CRD 104581 | Fort Lee, NJ | mixed wealth | $3.9B | 48% | 12 | $322M | 0 | 3 |
| W•••••••• G••••• I••• CRD 108272 | Princeton, NJ | asset manager | $3.8B | 0.0% | 0 | n/a | 0 | 2 |
| S•• W••••• A•••••••• L•• CRD 119193 | Parsippany, NJ | independent RIA | $3.6B | 94% | 44 | $81.7M | 10 | 1 |
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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388 advisers match.