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 |
|---|---|---|---|---|---|---|---|---|
| Nlg Capital LLC CRD 109396 | Montpelier, VT | institutional | $47B | 0.0% | 0 | n/a | 2 | 0 |
| Champlain Investment Partners, LLC CRD 132474 | Burlington, VT | asset manager | $10B | 1.4% | 0 | n/a | 0 | 4 |
| Manchester Capital Management LLC CRD 110003 | Manchester, VT | independent RIA | $2.8B | 78% | 12 | $236M | 3 | 16 |
| Esi Financial Advisors CRD 265 | Montpelier, VT | independent RIA | $2.8B | 95% | 507 | $5.5M | 257 | 0 |
| Maple Capital Management, Inc. CRD 130209 | Montpelier, VT | independent RIA | $2.6B | 92% | 14 | $184M | 1 | 0 |
| Pathway Financial Advisors, LLC CRD 124801 | South Burlington, VT | independent RIA | $1.6B | 88% | 6 | $275M | 1 | 0 |
| One Day In July LLC CRD 284335 | Burlington, VT | independent RIA | $1.4B | 97% | 13 | $105M | 9 | 0 |
| Hanson & Doremus Investment Management CRD 108045 | Burlington, VT | independent RIA | $1.1B | 94% | 10 | $106M | 8 | 0 |
| Silverlake Wealth Management LLC CRD 165525 | Williston, VT | independent RIA | $849M | 96% | 9 | $94.3M | 4 | 0 |
| Rock Point Advisors, LLC CRD 130825 | Burlington, VT | independent RIA | $656M | 93% | 4 | $164M | 0 | 0 |
| Marble Trail Advisors CRD 154744 | Middlebury, VT | independent RIA | $583M | 99% | 4 | $146M | 1 | 0 |
| Clean Yield Asset Management CRD 104826 | Norwich, VT | independent RIA | $571M | 96% | 6 | $95.2M | 3 | 0 |
| M. Kraus & Company CRD 106749 | Shelburne, VT | independent RIA | $559M | 97% | 5 | $112M | 0 | 0 |
| Prentiss Smith & Company, Inc. CRD 110928 | Brattleboro, VT | independent RIA | $453M | 91% | 5 | $90.6M | 1 | 0 |
| Broadlake Financial Management CRD 105057 | South Burlington, VT | independent RIA | $410M | 96% | 4 | $102M | 0 | 0 |
| Antoine Williams & Associates Wealth Management, LLC CRD 312253 | Shelburne, VT | independent RIA | $319M | 100% | 2 | $159M | 0 | 0 |
| Otto & Associates, Inc. CRD 109493 | Norwich, VT | independent RIA | $287M | 100% | 3 | $95.5M | 0 | 0 |
| Bennington Financial Planning Group CRD 116302 | Bennington, VT | independent RIA | $281M | 93% | 3 | $93.8M | 0 | 0 |
| Farrow Financial Inc CRD 110526 | South Burlington, VT | independent RIA | $280M | 100% | 1 | $280M | 3 | 0 |
| Teucrium Investment Advisors, LLC CRD 318799 | Burlington, VT | asset manager | $277M | 0.0% | 0 | n/a | 0 | 0 |
| Intrack Investment Management, Inc. CRD 106450 | South Burlington, VT | independent RIA | $276M | 88% | 4 | $68.9M | 1 | 0 |
| Hutner Capital Management Inc. CRD 107896 | Manchester, VT | independent RIA | $271M | 65% | 2 | $136M | 1 | 3 |
| Birchview Capital, LP CRD 170534 | Burlington, VT | independent RIA | $239M | 53% | 0 | n/a | 1 | 12 |
| Westview Investment Advisors CRD 305655 | Burlington, VT | independent RIA | $229M | 91% | 4 | $57.2M | 0 | 0 |
| Copper Leaf Financial, LLC CRD 285378 | Williston, VT | independent RIA | $220M | 99% | 5 | $43.9M | 1 | 0 |
| Williams Financial, LLC CRD 137038 | North Bennington, VT | independent RIA | $210M | 97% | 4 | $52.5M | 2 | 0 |
| Dwv Advisors, LLC CRD 154148 | Essex Junction, VT | independent RIA | $157M | 100% | 1 | $157M | 0 | 0 |
| Poulos Advisors, Inc. CRD 141905 | South Burlington, VT | independent RIA | $150M | 99% | 2 | $75.2M | 3 | 0 |
| 44 North Capital, LLC CRD 327552 | Burlington, VT | independent RIA | $125M | 97% | 2 | $62.6M | 1 | 0 |
| Quantum Leap Capital, LLC CRD 165310 | South Burlington, VT | independent RIA | $121M | 100% | 3 | $40.2M | 0 | 1 |
| Milne Financial Planning, Inc. CRD 116346 | Saint Johnsbury, VT | independent RIA | $111M | 98% | 1 | $111M | 2 | 0 |
| Equinox Financial Advisors, Inc. CRD 312716 | Manchester Center, VT | independent RIA | $111M | 99% | 1 | $111M | 0 | 0 |
| Stage 2 Planning Partners LLC CRD 323281 | S Burlington, VT | independent RIA | $106M | 98% | 2 | $53.2M | 0 | 0 |
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33 advisers match.