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 |
|---|---|---|---|---|---|---|---|---|
| J.P. Morgan Investment Management Inc. CRD 107038 | New York, NY | asset manager | $3519B | 0.4% | 49 | $72B | 266 | 239 |
| Goldman Sachs Asset Management, L.P. CRD 107738 | New York, NY | other | $2649B | 14% | 1 | $2649B | 13 | 1,286 |
| Morgan Stanley CRD 149777 | Purchase, NY | wirehouse | $1962B | 90% | 23,147 | $84.8M | 627 | 0 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691 | New York, NY | wirehouse | $1782B | 86% | 25,477 | $69.9M | 3,910 | 0 |
| Blackrock Financial Management, Inc CRD 107105 | New York, NY | other | $1595B | 0.3% | 31 | $51B | 20 | 352 |
| Blackrock Advisors, LLC CRD 106614 | New York, NY | asset manager | $1096B | 0.0% | 0 | n/a | 9 | 0 |
| Millennium Management LLC CRD 158117 | New York, NY | asset manager | $721B | 0.0% | 0 | n/a | 81 | 10 |
| Apollo Capital Management, L.P. CRD 143161 | New York, NY | other | $718B | 0.0% | 0 | n/a | 28 | 711 |
| Morgan Stanley Investment Management Inc. CRD 110353 | New York, NY | asset manager | $702B | 0.0% | 20 | $35B | 15 | 14 |
| UBS Asset Management (Americas) LLC CRD 106838 | New York, NY | mixed wealth | $588B | 34% | 32 | $18B | 15 | 139 |
| J.P. Morgan Private Investments Inc. CRD 110186 | New York, NY | BD affiliated | $470B | 66% | 9 | $52B | 5 | 75 |
| J.P. Morgan Securities LLC CRD 79 | New York, NY | wirehouse | $430B | 91% | 14,152 | $30.4M | 3,566 | 0 |
| Bny Mellon Investment Adviser, Inc. CRD 105642 | New York, NY | asset manager | $419B | 0.0% | 0 | n/a | 5 | 5 |
| Kohlberg Kravis Roberts & Co. L.P. CRD 144533 | New York, NY | asset manager | $400B | 0.0% | 0 | n/a | 25 | 625 |
| Neuberger Berman Investment Advisers LLC CRD 124687 | New York, NY | other | $399B | 18% | 0 | n/a | 10 | 73 |
| Nyl Investors LLC CRD 169553 | New York, NY | institutional | $329B | 0.0% | 0 | n/a | 6 | 17 |
| RBC Capital Markets, LLC CRD 31194 | New York, NY | national BD | $310B | 90% | 3,840 | $80.8M | 382 | 0 |
| Tiaa-Cref Investment Management LLC CRD 107168 | New York, NY | asset manager | $292B | 0.0% | 0 | n/a | 28 | 0 |
| Voya Investment Management Co. LLC CRD 106494 | New York, NY | asset manager | $275B | 0.6% | 53 | $5.2B | 7 | 0 |
| Guggenheim Partners Investment Management, LLC CRD 137432 | New York, NY | other | $241B | 0.2% | 3 | $80B | 4 | 73 |
| Two Sigma Investments, LP CRD 137137 | New York, NY | asset manager | $233B | 0.0% | 0 | n/a | 2 | 62 |
| Squarepoint Ops LLC CRD 172116 | New York, NY | asset manager | $227B | 0.0% | 0 | n/a | 3 | 11 |
| Schonfeld Strategic Advisors LLC CRD 281984 | New York, NY | asset manager | $225B | 0.0% | 0 | n/a | 22 | 39 |
| Jennison Associates CRD 107959 | New York, NY | asset manager | $215B | 1.2% | 0 | n/a | 2 | 12 |
| D. E. Shaw & Co., L.P. CRD 108679 | New York, NY | asset manager | $213B | 0.0% | 0 | n/a | 4 | 13 |
| Dws Investment Management Americas, Inc. CRD 104518 | New York, NY | other | $200B | 0.0% | 0 | n/a | 5 | 4 |
| Clearbridge Investments, LLC CRD 137028 | New York, NY | mixed wealth | $185B | 26% | 42 | $4.4B | 8 | 4 |
| Blackstone Isg-I Advisors L.L.C. CRD 289202 | New York, NY | institutional | $184B | 0.0% | 0 | n/a | 4 | 6 |
| Mariner Investment Group, LLC CRD 124744 | New York, NY | asset manager | $176B | 0.0% | 0 | n/a | 6 | 17 |
| Hps Investment Partners, LLC CRD 282125 | New York, NY | asset manager | $176B | 0.0% | 0 | n/a | 19 | 253 |
| Insight Investment CRD 145995 | New York, NY | other | $171B | 3.2% | 0 | n/a | 3 | 0 |
| Franklin Templeton Fund Adviser, LLC CRD 140432 | New York, NY | asset manager | $167B | 0.0% | 0 | n/a | 0 | 0 |
| Equitable Investment Management Group, LLC CRD 156933 | New York, NY | asset manager | $167B | 0.0% | 0 | n/a | 0 | 0 |
| Alphadyne Asset Management LP CRD 154176 | New York, NY | asset manager | $165B | 0.0% | 0 | n/a | 5 | 3 |
| Cerity Partners LLC CRD 151559 | New York, NY | independent RIA | $162B | 71% | 736 | $220M | 66 | 10 |
| Mackay Shields LLC CRD 107717 | New York, NY | other | $160B | 1.9% | 7 | $23B | 3 | 16 |
| Exoduspoint Capital Management, LP CRD 294156 | New York, NY | asset manager | $159B | 0.0% | 0 | n/a | 15 | 6 |
| Hsbc Global Asset Management (USA) Inc. CRD 105686 | New York, NY | asset manager | $157B | 0.0% | 0 | n/a | 1 | 0 |
| Schroder Investment Management North America Inc CRD 105820 | New York, NY | asset manager | $150B | 0.5% | 0 | n/a | 3 | 17 |
| Icapital Advisors, LLC CRD 177513 | New York, NY | asset manager | $150B | 0.0% | 0 | n/a | 2 | 1,144 |
| Blackstone Management Partners L.L.C. CRD 136979 | New York, NY | asset manager | $146B | 0.0% | 0 | n/a | 10 | 36 |
| Global Infrastructure Management, LLC CRD 157434 | New York, NY | asset manager | $142B | 0.0% | 0 | n/a | 12 | 93 |
| Nuveen Alternatives Advisors LLC CRD 160255 | New York, NY | institutional | $142B | 0.0% | 0 | n/a | 4 | 42 |
| Apg Asset Management US, Inc CRD 160795 | New York, NY | asset manager | $141B | 0.0% | 0 | n/a | 0 | 29 |
| Lmr Partners LLC CRD 292183 | New York, NY | asset manager | $140B | 0.0% | 0 | n/a | 7 | 4 |
| Franklin Templeton Private Portfolio Group, LLC CRD 142219 | New York, NY | independent RIA | $140B | 56% | 1 | $140B | 0 | 0 |
| Capula Investment US LP CRD 157589 | New York, NY | asset manager | $137B | 0.0% | 0 | n/a | 5 | 0 |
| First Eagle Investment Management, LLC CRD 108260 | New York, NY | asset manager | $136B | 0.0% | 0 | n/a | 6 | 6 |
| Goldman Sachs & Co. LLC CRD 361 | New York, NY | wirehouse | $134B | 38% | 0 | n/a | 18 | 0 |
| Aflac Asset Management LLC CRD 304316 | New York, NY | asset manager | $133B | 0.0% | 0 | n/a | 0 | 1 |
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2,584 advisers match.