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 |
|---|---|---|---|---|---|---|---|---|
| Fiam LLC CRD 133196 | Smithfield, RI | asset manager | $348B | 0.1% | 0 | n/a | 5 | 21 |
| Providence Equity Partners L.L.C. CRD 155678 | Providence, RI | asset manager | $24B | 0.0% | 0 | n/a | 4 | 39 |
| Nautic Partners, LLC CRD 159822 | Providence, RI | asset manager | $14B | 0.0% | 0 | n/a | 0 | 18 |
| C••••••• S••••••••• I••• CRD 39550 | Johnston, RI | BD affiliated | $13B | 98% | 782 | $16.5M | 993 | 0 |
| G••••• S•••••••• R••• M••••••••• L•• CRD 327157 | Providence, RI | asset manager | $2.9B | 0.0% | 0 | n/a | 5 | 1 |
| P•••••• C•••••• M••••••••• I•• CRD 106295 | Providence, RI | independent RIA | $2.4B | 92% | 14 | $170M | 4 | 0 |
| U••••• CRD 155470 | Providence, RI | independent RIA | $2.0B | 96% | 1 | $2.0B | 0 | 0 |
| Y•••• R•••••• C• • C• L•• CRD 105866 | Newport, RI | independent RIA | $1.8B | 98% | 9 | $200M | 1 | 0 |
| P••••••••• P••••••• G•••• CRD 108868 | Westerly, RI | independent RIA | $1.3B | 99% | 9 | $146M | 1 | 0 |
| C•••••• W••••• M••••••••• L•• CRD 157959 | West Warwick, RI | independent RIA | $1.1B | 68% | 12 | $94.8M | 0 | 0 |
| U•••••• CRD 304179 | Providence, RI | asset manager | $1.1B | 0.0% | 0 | n/a | 2 | 31 |
| M•••••• W••••• M••••••••• CRD 296271 | Wakefield, RI | independent RIA | $1.1B | 97% | 3 | $354M | 0 | 0 |
| S••••••••• I••••••••• A••••••• L•• CRD 124636 | Providence, RI | independent RIA | $915M | 99% | 6 | $152M | 1 | 0 |
| C••••• H••••••• L•• CRD 297527 | Providence, RI | independent RIA | $866M | 71% | 5 | $173M | 1 | 4 |
| W••••••••• I••••••••• P••••••• L•• CRD 296475 | Portsmouth, RI | independent RIA | $860M | 96% | 6 | $143M | 1 | 0 |
| B••• F•• C••••••• I••• CRD 108451 | Warren, RI | independent RIA | $756M | 96% | 2 | $378M | 0 | 0 |
| N••••• D••••• • S••••••• I•• CRD 107565 | Providence, RI | independent RIA | $731M | 93% | 6 | $122M | 2 | 0 |
| S• W••••• M••••••••• L•• CRD 109114 | Providence, RI | independent RIA | $639M | 100% | 6 | $106M | 4 | 0 |
| M••••• A•••• M••••••••• CRD 170361 | Warwick, RI | independent RIA | $615M | 68% | 2 | $307M | 1 | 0 |
| B•••••• • C•••••• CRD 1175 | Providence, RI | independent RIA | $530M | 91% | 4 | $132M | 0 | 0 |
| S••• F•••••••• G•••• CRD 107646 | Lincoln, RI | independent RIA | $517M | 100% | 4 | $129M | 0 | 0 |
| B••••• L••••••••• I•• CRD 1331 | Providence, RI | independent RIA | $487M | 98% | 8 | $60.9M | 0 | 0 |
| L•••••• C•••••• C••••••••• CRD 109922 | East Greenwich, RI | independent RIA | $418M | 97% | 3 | $139M | 3 | 0 |
| H••• C•••••• M••••••••• C••••••• I••• CRD 108141 | Barrington, RI | independent RIA | $412M | 92% | 3 | $137M | 2 | 0 |
| T•• R••••••••• P••••••• C•••••• O• N•• E••••••• I••• CRD 108705 | Warwick, RI | independent RIA | $394M | 100% | 4 | $98.6M | 0 | 0 |
| S••••• I••••••••• A••••••• G••••• I••• CRD 123910 | Providence, RI | independent RIA | $394M | 97% | 3 | $131M | 0 | 0 |
| W••••• M••••••••• R••••••••• I••• CRD 45452 | Smithfield, RI | independent RIA | $385M | 92% | 6 | $64.2M | 0 | 0 |
| A••• W••••• P•••••••• L•• CRD 167122 | East Providence, RI | independent RIA | $377M | 100% | 7 | $53.9M | 3 | 0 |
| A•••• C••••••• L•• CRD 118113 | Warwick, RI | independent RIA | $349M | 99% | 4 | $87.2M | 0 | 0 |
| W•••••••• R••••••• • M••••••••• L•• CRD 108047 | Providence, RI | independent RIA | $341M | 98% | 2 | $170M | 0 | 0 |
| F••••• P•••••••• L•• CRD 160630 | Westerly, RI | asset manager | $307M | 0.0% | 0 | n/a | 0 | 2 |
| F•••••••• I••••••••• L•• CRD 150515 | Warwick, RI | independent RIA | $288M | 99% | 4 | $72.0M | 2 | 0 |
| F•••• F•••••••• A••••••• S••••••• I•• CRD 105031 | Westerly, RI | independent RIA | $278M | 99% | 3 | $92.7M | 2 | 0 |
| D••••••••• R••••••••• L•• CRD 31346 | Warwick, RI | independent RIA | $269M | 98% | 1 | $269M | 0 | 0 |
| F••••• F•••••••• P•••••••• I••• CRD 143912 | East Greenwich, RI | independent RIA | $241M | 99% | 1 | $241M | 0 | 0 |
| V•••••• W••••• M••••••••• CRD 341084 | North Kingstown, RI | independent RIA | $220M | 100% | 2 | $110M | 0 | 0 |
| S•••••• G••••• • C•• L•• CRD 104929 | Newport, RI | independent RIA | $219M | 83% | 2 | $110M | 0 | 0 |
| D• • P• I••••••••• A•••••••• L••• CRD 119631 | Wakefield, RI | independent RIA | $198M | 96% | 1 | $198M | 1 | 0 |
| E•••• R••• W••••• M••••••••• L•• CRD 120465 | Providence, RI | independent RIA | $186M | 100% | 1 | $186M | 0 | 0 |
| B•••••••• I••••••••• L•• CRD 299102 | Charlestown, RI | independent RIA | $165M | 97% | 1 | $165M | 1 | 0 |
| H••• R••• I••• CRD 327137 | Providence, RI | institutional | $161M | 0.0% | 0 | n/a | 1 | 0 |
| B•••••••• I••••••••• M••••••••• L•• CRD 281437 | Rumford, RI | independent RIA | $161M | 100% | 2 | $80.3M | 0 | 0 |
| A•••• D•• A•••••••• R••• CRD 152001 | Cranston, RI | independent RIA | $154M | 93% | 2 | $76.8M | 1 | 0 |
| S•••••• • P••••••• W••••• M••••••••• L•• CRD 109013 | Providence, RI | independent RIA | $131M | 87% | 2 | $65.7M | 0 | 0 |
| C• C•••••• L•• CRD 300200 | North Smithfield, RI | independent RIA | $124M | 100% | 1 | $124M | 1 | 0 |
| B•••••• E••••• P••••••• M••••••••• C••••••• L•• CRD 330189 | Providence, RI | asset manager | $112M | 0.0% | 0 | n/a | 0 | 3 |
| N•• I••••••••• S•••••••• CRD 134804 | Smithfiled, RI | independent RIA | $108M | 95% | 9 | $12.0M | 0 | 0 |
| P••• P••••• W••••• M••••••••• CRD 332618 | Providence, RI | independent RIA | $105M | 98% | 0 | n/a | 1 | 0 |
| B••• C••• F•••••••• A•••••••• L•• CRD 119510 | East Providence, RI | independent RIA | $104M | 100% | 6 | $17.3M | 4 | 0 |
| B••••••• W••••• M••••••••• L••• CRD 174699 | West Warwick, RI | independent RIA | $102M | 95% | 2 | $51.0M | 1 | 0 |
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51 advisers match.