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 |
|---|---|---|---|---|---|---|---|---|
| Vanguard Group Inc CRD 105958 | Malvern, PA | asset manager | $11093B | 0.0% | 0 | n/a | 0 | 0 |
| Vanguard Capital Management, LLC CRD 338002 | Malvern, PA | asset manager | $8436B | 0.0% | 0 | n/a | 2 | 0 |
| Vanguard Portfolio Management, LLC CRD 338003 | Malvern, PA | asset manager | $2656B | 0.0% | 0 | n/a | 2 | 0 |
| M••••• I••••••••• C••••••••• CRD 105764 | Pittsburgh, PA | asset manager | $874B | 2.2% | 0 | n/a | 3 | 0 |
| E•••••••• P•• CRD 111694 | Berwyn, PA | independent RIA | $615B | 94% | 60 | $10B | 1 | 0 |
| F•••••••• I••••••••• M••••••••• C•••••• CRD 105138 | Pittsburgh, PA | asset manager | $590B | 0.0% | 0 | n/a | 0 | 0 |
| V••••••• A•••••••• I••• CRD 106715 | Malvern, PA | BD affiliated | $345B | 96% | 2,422 | $142M | 2,225 | 0 |
| V••••••• G••••• A•••••••• L•• CRD 164593 | Malvern, PA | asset manager | $250B | 0.0% | 0 | n/a | 2 | 0 |
| S•• I••••••••• M••••••••• C••• CRD 105146 | Oaks, PA | mixed wealth | $216B | 24% | 127 | $1.7B | 3 | 0 |
| F•••••••• I••••••••• C••••••••• CRD 105325 | Pittsburgh, PA | institutional | $207B | 1.9% | 241 | $860M | 2 | 0 |
| H••••••• F•••• CRD 147746 | Wayne, PA | asset manager | $152B | 0.0% | 47 | $3.2B | 0 | 2 |
| N••••• I••••••••• M••••••••• B••••••• T•••• CRD 105390 | Philadelphia, PA | asset manager | $144B | 1.5% | 52 | $2.8B | 5 | 0 |
| H••••••• L••• CRD 107876 | Conshohocken, PA | other | $142B | 0.0% | 0 | n/a | 22 | 553 |
| J••••• M••••••••• S•••• L•• CRD 463 | Philadelphia, PA | BD affiliated | $110B | 89% | 1,340 | $82.2M | 138 | 0 |
| L•••••• F•••••••• I••••••••• C••••••••• CRD 108881 | Radnor, PA | asset manager | $102B | 0.0% | 0 | n/a | 1 | 0 |
| B••••••••• G••••• I••••••••• M••••••••• L•• CRD 110783 | Philadelphia, PA | other | $65B | 0.5% | 0 | n/a | 1 | 0 |
| P••• M••••• A•••• M••••••••• L•• CRD 107518 | Conshohocken, PA | institutional | $42B | 0.0% | 1 | $42B | 0 | 0 |
| P•••• A•••••••• I••• CRD 137381 | Malvern, PA | asset manager | $42B | 0.0% | 21 | $2.0B | 0 | 0 |
| A•••• I••• CRD 111069 | Philadelphia, PA | other | $41B | 0.0% | 0 | n/a | 2 | 25 |
| M••••• S•••••• A•• G• L• CRD 117050 | West Conshohocken, PA | asset manager | $41B | 1.1% | 0 | n/a | 6 | 107 |
| C•••• C•••••• M••••••••• G•••• I•• CRD 104796 | Philadelphia, PA | BD affiliated | $36B | 70% | 1 | $36B | 0 | 0 |
| E••••• P••••••• G••••• L•• CRD 161935 | Radnor, PA | asset manager | $35B | 0.0% | 0 | n/a | 1 | 15 |
| P•• W••••• M••••••••• CRD 129052 | Pittsburgh, PA | BD affiliated | $30B | 97% | 1,159 | $26.1M | 594 | 0 |
| E•• A•••••••• CRD 171412 | Newtown Square, PA | asset manager | $30B | 2.9% | 6 | $5.0B | 0 | 0 |
| H••••• • C••• L•• CRD 105403 | West Conshohocken, PA | other | $25B | 20% | 38 | $669M | 6 | 11 |
| X••••••• L•• CRD 111126 | Philadelphia, PA | institutional | $24B | 0.2% | 1 | $24B | 1 | 0 |
| L•••••• I••••••••• CRD 519 | Fort Washington, PA | independent RIA | $22B | 99% | 915 | $24.0M | 314 | 0 |
| E•••••••• P•••••••• S••••••••• I••• CRD 109662 | Berwyn, PA | independent RIA | $17B | 98% | 3 | $5.8B | 1 | 0 |
| E•••••••• R••••••••• S••••••••• L•• CRD 171570 | Berwyn, PA | institutional | $16B | 0.0% | 4 | $4.1B | 0 | 0 |
| V•••••••• I••••••••• A•••••••• L•• CRD 330755 | West Chester, PA | asset manager | $16B | 0.0% | 0 | n/a | 0 | 0 |
| F••••• A••••••• L•• CRD 292803 | Philadelphia, PA | asset manager | $16B | 0.0% | 0 | n/a | 10 | 0 |
| M•••• W••••• P•••••••• L•• CRD 134436 | Philadelphia, PA | independent RIA | $16B | 98% | 32 | $493M | 0 | 5 |
| F•••••••• E••••• M••••••••• C•••••• O• P••••••••• CRD 128610 | Pittsburgh, PA | asset manager | $14B | 0.0% | 0 | n/a | 0 | 0 |
| C••••••••• I••••••••• M••••••••• L•• CRD 290078 | Conshohocken, PA | institutional | $14B | 0.0% | 0 | n/a | 4 | 19 |
| A•••• A•••••••• CRD 153905 | Newtown Square, PA | asset manager | $14B | 6.3% | 5 | $2.7B | 0 | 0 |
| C•••••••• I••••••••• P•••••••• L•• CRD 170335 | Berwyn, PA | other | $13B | 0.3% | 1 | $13B | 0 | 1 |
| C••••• S••••• I••••••••• A••••••• CRD 123560 | Harrisburg, PA | institutional | $12B | 7.8% | 24 | $505M | 2 | 0 |
| C• M•••• CRD 306128 | Warrendale, PA | institutional | $12B | 0.0% | 3 | $3.9B | 2 | 0 |
| Q•• C•••••• M••••••••• I••• CRD 305277 | Berwyn, PA | independent RIA | $11B | 92% | 2 | $5.7B | 0 | 0 |
| C••• I••••••••• M••••••••• L••••• R••• A••••• L•• CRD 106256 | Radnor, PA | other | $11B | 0.0% | 0 | n/a | 3 | 0 |
| G•••• V••••• A•••••• G••••• L•• CRD 123913 | Berwyn, PA | independent RIA | $11B | 87% | 190 | $55.8M | 72 | 0 |
| C•••• • B•••••• L••• CRD 113859 | Philadelphia, PA | other | $11B | 4.0% | 14 | $754M | 1 | 0 |
| F••••••• P••• CRD 126508 | Bala Cynwyd, PA | asset manager | $10B | 0.0% | 0 | n/a | 1 | 49 |
| C••••• F••••• O•••••• L•• CRD 317446 | Radnor, PA | independent RIA | $10B | 70% | 0 | n/a | 14 | 0 |
| A••• R••• A••••••• L•• CRD 151491 | Conshohocken, PA | asset manager | $10B | 0.1% | 4 | $2.5B | 0 | 1 |
| C••••••••• A••••••• A•••• M••••••••• L•• CRD 138638 | Bethlehem, PA | other | $9.6B | 16% | 25 | $383M | 0 | 0 |
| G•••••• R•••• • Q•••• L•• CRD 106114 | Lancaster, PA | mixed wealth | $9.4B | 49% | 0 | n/a | 0 | 3 |
| F• R••• A••••••• L•• CRD 306352 | Philadelphia, PA | asset manager | $9.1B | 0.0% | 0 | n/a | 1 | 0 |
| H•••••• T••••••• • K•••• L•• CRD 4031 | Conshohocken, PA | independent RIA | $9.0B | 91% | 468 | $19.3M | 250 | 0 |
| C•••••• A••••••• CRD 162200 | Fort Washington, PA | BD affiliated | $8.8B | 96% | 623 | $14.1M | 254 | 0 |
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564 advisers match.