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.
Practices
What each practice looks like, from what it filed
A practice archetype is a rule over Form ADV answers (client mix, assets, advisors, offices, affiliations, activities, Schedule A owners), printed on every firm page beside the label; a firm can carry several. The operating metrics are derived from reported fields with the formula shown on the firm page. Nothing here estimates an advisor’s book or a firm’s revenue.
| Firm | RAUM | 1y | Advisors | Per advisor | Private clients | HNW of private | Clients / advisor | Offices | Funds |
|---|---|---|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse | $1782B | +40% | 25,466 | $70.0M | 86% | 80% | 70 | 3,911 | |
| NORTHERN TRUST INVESTMENTS, INCORPORATED asset manager | $1245B | +12% | 32 | $39B | 8.3% | 91% | 1,102 | 9 | 9 |
| MELLON INVESTMENTS CORPORATION asset manager | $874B | +14% | 2.2% | 100% | 4 | ||||
| U.S. BANCORP ASSET MANAGEMENT, INC. asset manager | $427B | +6.1% | 0.0% | 51 | 1 | ||||
| BNY MELLON INVESTMENT ADVISER, INC. asset manager | $419B | +15% | 0.0% | 6 | 5 | ||||
| RBC CAPITAL MARKETS, LLC national BD | $310B | +19% | 3,841 | $80.8M | 90% | 35% | 72 | 383 | |
| DWS INTERNATIONAL GMBH asset manager | $229B | +28% | 80 | $2.9B | 0.0% | 9 | |||
| SBI FUNDS MANAGEMENT LIMITED institutional | $220B | +11% | 0.1% | 100% | 1 | ||||
| NORTHERN TRUST GLOBAL INVESTMENTS LTD asset manager | $208B | +10% | 0.0% | 1 | |||||
| DWS INVESTMENT MANAGEMENT AMERICAS, INC. other | $200B | +3.4% | 0.0% | 100% | 6 | 4 | |||
| RBC GLOBAL ASSET MANAGEMENT (UK) LIMITED asset manager | $178B | +29% | 0.1% | 1 | 7 | ||||
| INSIGHT INVESTMENT other | $171B | +22% | 3.2% | 100% | 4 | ||||
| CIBC GLOBAL ASSET MANAGEMENT asset manager | $163B | +15% | 5 | $33B | 2.8% | 100% | 1,581 | 19 | |
| ICICI ASSET MANAGEMENT asset manager | $117B | +39% | 2.1% | 2 | |||||
| RBC GLOBAL ASSET MANAGEMENT (U.S.) INC. asset manager | $104B | +37% | 1 | $104B | 0.1% | 25% | 72 | 4 | 14 |
| WALTER SCOTT & PARTNERS LIMITED other | $67B | -15% | 1 | $67B | 0.0% | 2 | |||
| NEWTON INVESTMENT MANAGEMENT NORTH AMERICA asset manager | $59B | +25% | 11 | $5.4B | 0.0% | 4 | |||
| CATALYST STRATEGIC SOLUTIONS other | $52B | +6.4% | 0.0% | 1 | |||||
| PNC CAPITAL ADVISORS LLC other | $51B | +20% | 17 | $3.0B | 0.0% | 5 | |||
| BESSEMER INVESTMENT MANAGEMENT LLC asset manager | $47B | +4.1% | 0.0% | 1 | |||||
| NEWTON INVESTMENT MANAGEMENT LTD asset manager | $42B | +8.1% | 0.0% | 1 | |||||
| RREEF AMERICA L.L.C. asset manager | $34B | +17% | 0.0% | 10 | 21 | ||||
| SVB ASSET MANAGEMENT other | $32B | -2.0% | 8 | $4.0B | 0.0% | 8 | |||
| PNC WEALTH MANAGEMENT BD affiliated | $30B | +14% | 1,159 | $26.1M | 97% | 18% | 139 | 595 | |
| EPOCH INVESTMENT PARTNERS, INC. asset manager | $30B | -10% | 1 | $30B | 6.4% | 100% | 3 | 1 | |
| DBX ADVISORS LLC asset manager | $29B | +16% | 0.0% | 1 | |||||
| DWS ALTERNATIVES GLOBAL LIMITED asset manager | $25B | +48% | 0.0% | 1 | 7 | ||||
| HIGHLAND ASSOCIATES INC other | $21B | +4.2% | 2 | $10B | 0.0% | 2 | 4 | ||
| REGIONS INVESTMENT MANAGEMENT, INC. other | $20B | +7.6% | 4 | $5.0B | 0.0% | 2 | |||
| KOTAK ALTERNATE ASSET MANAGERS LIMITED mixed wealth | $19B | 2 | $9.3B | 37% | 100% | 4 | 5 | ||
| WILMINGTON TRUST INVESTMENT ADVISORS, INC. other | $18B | +2.3% | 18 | $991M | 0.2% | 100% | 0 | 16 | |
| BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED asset manager | $17B | +27% | 0.0% | 1 | |||||
| CITIZENS PRIVATE WEALTH BD affiliated | $17B | +28% | 92 | $181M | 94% | 100% | 26 | ||
| 3G CAPITAL PARTNERS LP asset manager | $16B | +31% | 0.0% | 1 | 5 | ||||
| WILMINGTON FUNDS MANAGEMENT CORPORATION asset manager | $16B | +11% | 0.0% | 2 | |||||
| CITIZENS SECURITIES, INC. BD affiliated | $13B | +40% | 787 | $16.4M | 98% | 2.9% | 76 | 994 | |
| BNY MELLON ETF INVESTMENT ADVISER, LLC asset manager | $11B | +53% | 0.0% | 3 | |||||
| FIFTH THIRD SECURITIES, INC. BD affiliated | $11B | +20% | 1,006 | $10.9M | 98% | 23% | 46 | 1,118 | |
| TD PRIVATE CLIENT WEALTH LLC BD affiliated | $8.6B | +28% | 529 | $16.2M | 80% | 55% | 48 | 222 | |
| BNY MELLON SECURITIES CORPORATION other | $8.4B | +18% | 63 | $134M | 15% | 33% | 51 | 6 | |
| STARBOARD VALUE LP asset manager | $8.2B | -9.9% | 0.0% | 2 | |||||
| RBC PRIVATE COUNSEL (USA) INC. BD affiliated | $7.9B | +16% | 306 | $25.8M | 84% | 75% | 19 | 132 | |
| FIFTH THIRD WEALTH ADVISORS LLC mixed wealth | $7.8B | +28% | 63 | $124M | 43% | 89% | 23 | 13 | 3 |
| FIRST NATIONAL ADVISERS, LLC mixed wealth | $7.4B | +12% | 29 | $254M | 23% | 86% | 38 | 5 | |
| SMITH SHELLNUT WILSON other | $6.9B | -14% | 12 | $577M | 6.8% | 82% | 20 | 6 | |
| MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC asset manager | $6.6B | -3.4% | 0.0% | 3 | 2 | ||||
| GLENMEDE INVESTMENT MANAGEMENT, LP mixed wealth | $6.2B | -12% | 6 | $1.0B | 28% | 100% | 153 | 1 | |
| BMO ASSET MANAGEMENT CORP. other | $6.2B | +19% | 1 | $6.2B | 0.0% | 1 | 16 | ||
| FROST INVESTMENT ADVISORS, LLC asset manager | $5.4B | +5.5% | 27 | $199M | 0.0% | 1 | |||
| LINSCOMB WEALTH, INC. independent RIA | $5.2B | +14% | 21 | $248M | 97% | 95% | 78 | 7 | |
| DWS INVESTMENTS HONG KONG LIMITED asset manager | $5.1B | +112% | 0.0% | 1 | |||||
| GULF INTERNATIONAL BANK (UK) LIMITED institutional | $5.0B | -18% | 0.0% | 1 | 1 | ||||
| SOUTHSTATE PRIVATE CAPITAL MANAGEMENT LLC other | $5.0B | +222% | 29 | $171M | 17% | 79% | 19 | 11 | |
| CIDEL ASSET MANAGEMENT INC mixed wealth | $4.8B | +13% | 30% | 82% | 1 | ||||
| KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. asset manager | $4.7B | +82% | 0.0% | 1 | 6 | ||||
| BEACON TRUST independent RIA | $4.4B | +2.1% | 30 | $148M | 93% | 78% | 94 | 5 | |
| NICOLET WEALTH MANAGEMENT independent RIA | $4.3B | +12% | 46 | $93.3M | 65% | 74% | 82 | 14 | |
| TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS independent RIA | $4.2B | +25% | 55 | $76.2M | 52% | 100% | 9 | 6 | |
| ESSEX FINANCIAL SERVICES, INC. independent RIA | $4.2B | +29% | 33 | $126M | 83% | 83% | 84 | 4 | |
| ALKEN ASSET MANAGEMENT LTD asset manager | $3.8B | 1.8% | 100% | 1 |
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163 practices match (Bank affiliated). Derived columns: RAUM over IAPD advisors, individual and HNW RAUM over total, HNW RAUM over private-client RAUM, private clients over advisors, Item 1.F.5 offices plus one.