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 |
|---|---|---|---|---|---|---|---|---|---|
| HARVEST GLOBAL INVESTMENTS LIMITED asset manager | $3.8B | -11% | 0.0% | 1 | |||||
| HEALTHCARE ROYALTY MANAGEMENT, LLC asset manager | $3.8B | +13% | 0.0% | 5 | 11 | ||||
| TRB WEALTH MANAGEMENT, LLC other | $3.7B | +220% | 12 | $312M | 18% | 78% | 70 | 4 | 1 |
| FROST INVESTMENT SERVICES BD affiliated | $3.7B | +23% | 162 | $22.7M | 58% | 64% | 19 | 51 | |
| PNC REAL ESTATE asset manager | $3.6B | +2.4% | 0.0% | 6 | 8 | ||||
| ARVEST WEALTH MANAGEMENT independent RIA | $3.4B | +22% | 204 | $16.9M | 85% | 45% | 33 | 179 | |
| GIRARD ADVISORY SERVICES, LLC independent RIA | $3.2B | +20% | 49 | $64.9M | 74% | 80% | 48 | 8 | |
| MIDLAND WEALTH MANAGEMENT other | $3.2B | +7.8% | 22 | $144M | 1.8% | 52% | 6 | 10 | |
| ROCKY MOUNTAIN ADVISERS, LLC mixed wealth | $3.1B | +6.3% | 3 | $1.0B | 20% | 95% | 79 | 1 | |
| 1900 WEALTH independent RIA | $3.1B | +35% | 18 | $171M | 57% | 95% | 25 | 3 | 12 |
| ASSET MANAGEMENT ONE USA INC. institutional | $2.9B | -60% | 0.0% | 1 | 4 | ||||
| KELLOGG ASSET MANAGEMENT, LLC other | $2.9B | +7.8% | 8 | $357M | 0.0% | 5 | |||
| PNC STEEL CITY ADVISORS, LLC asset manager | $2.7B | +308% | 0.0% | 4 | |||||
| MANGROVE PARTNERS asset manager | $2.7B | +30% | 0.0% | 2 | 1 | ||||
| VALLEY WEALTH MANAGERS, INC. independent RIA | $2.7B | +16% | 47 | $57.1M | 77% | 90% | 18 | 13 | |
| FIRST CITIZENS INVESTOR SERVICES, INC. BD affiliated | $2.6B | +25% | 405 | $6.5M | 99% | 39% | 19 | 112 | |
| COMMERCE INVESTMENT ADVISORS, INC. asset manager | $2.5B | -4.0% | 0.0% | 2 | |||||
| 1834 INVESTMENT ADVISORS CO. mixed wealth | $2.2B | +112% | 17 | $129M | 46% | 93% | 22 | 11 | |
| AMERAUDI ASSET MANAGEMENT, INC. independent RIA | $2.1B | +20% | 13 | $161M | 93% | 99% | 68 | 2 | |
| SOLE SOURCE CAPITAL LLC asset manager | $2.0B | +47% | 0.0% | 2 | 7 | ||||
| ALLIANCE PARTNERS LLC other | $1.9B | -14% | 0.0% | 8 | |||||
| TRIBUTARY CAPITAL MANAGEMENT, LLC asset manager | $1.9B | -13% | 9 | $211M | 5.6% | 98% | 27 | 3 | |
| DWS INVESTMENTS AUSTRALIA LIMITED other | $1.9B | +32% | 0.0% | 1 | |||||
| PERRY CREEK CAPITAL LP asset manager | $1.7B | +11% | 0.0% | 1 | 5 | ||||
| NBT CAPITAL MANAGEMENT, INC. mixed wealth | $1.6B | +7.6% | 7 | $230M | 22% | 72% | 56 | 5 | |
| NOTTINGHAM ADVISORS INC. mixed wealth | $1.4B | -14% | 7 | $204M | 28% | 64% | 104 | 6 | |
| MERIDIAN WEALTH PARTNERS, LLC independent RIA | $1.4B | +9.0% | 10 | $137M | 68% | 92% | 71 | 3 | |
| ASSET MANAGEMENT GROUP OF BANK OF HAWAII other | $1.3B | +13% | 0.0% | 1 | |||||
| ASSOCIATED INVESTMENT SERVICES, INC. independent RIA | $1.2B | +17% | 42 | $27.8M | 100% | 39% | 91 | 36 | |
| AMERISERV WEALTH ADVISORS INC other | $1.1B | +5.2% | 4 | $278M | 5.6% | 74% | 13 | 1 | |
| NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC. institutional | $1.1B | -16% | 0.0% | 1 | |||||
| BOS ASSET MANAGEMENT, LLC mixed wealth | $1.0B | +13% | 10 | $103M | 46% | 68% | 57 | 4 | |
| PETTYJOHN, WOOD & WHITE, INC. independent RIA | $1.0B | +20% | 5 | $205M | 91% | 89% | 112 | 1 | |
| BRISTOL WEALTH GROUP independent RIA | $986M | +12% | 6 | $164M | 80% | 62% | 139 | 2 | |
| FIRST SENTIER INVESTORS (US) LLC asset manager | $969M | +5.0% | 0.0% | 1 | 8 | ||||
| PARK PLACE CAPITAL CORPORATION independent RIA | $879M | +21% | 7 | $126M | 50% | 52% | 87 | 5 | |
| OAKWORTH ASSET MANAGEMENT, LLC independent RIA | $846M | 18 | $47.0M | 84% | 76% | 30 | 4 | ||
| FIRST CITIZENS INSTITUTIONAL ASSET MANAGEMENT, LLC asset manager | $829M | +1.7% | 0.0% | 13 | 2 | ||||
| FLAGSTAR SECURITIES, INC. independent RIA | $784M | -32% | 28 | $28.0M | 82% | 64% | 36 | 13 | |
| AMERANT INVESTMENTS, INC. independent RIA | $782M | +14% | 21 | $37.3M | 52% | 66% | 47 | 8 | |
| GIRARD PENSION SERVICES, LLC institutional | $734M | +16% | 7 | $105M | 0.0% | 3 | |||
| ENTRYPOINT CAPITAL, LLC asset manager | $700M | +21% | 0.0% | 1 | 1 | ||||
| PROVIDENCE WEALTH ADVISORS, LLC independent RIA | $684M | +14% | 5 | $137M | 94% | 0.0% | 123 | 3 | |
| HYPOSWISS ADVISORS SA independent RIA | $678M | +14% | 1 | $678M | 95% | 97% | 154 | 1 | |
| BCU WEALTH ADVISORS, LLC independent RIA | $654M | +22% | 15 | $43.6M | 100% | 53% | 58 | 18 | |
| GREY LEDGE ADVISORS, LLC independent RIA | $616M | +14% | 8 | $77.0M | 88% | 80% | 100 | 1 | |
| AMERRA CAPITAL MANAGEMENT, LLC asset manager | $610M | -8.1% | 0.0% | 1 | 20 | ||||
| MERCHANTS INVESTMENT PARTNERS, LLC asset manager | $608M | -15% | 0.0% | 2 | 3 | ||||
| MASCOMA WEALTH MANAGEMENT independent RIA | $568M | +12% | 11 | $51.6M | 81% | 65% | 38 | 3 | |
| BIGELOW INVESTMENT ADVISORS, LLC independent RIA | $555M | +17% | 4 | $139M | 74% | 82% | 79 | 1 | |
| SARASIN ASSET MANAGEMENT LIMITED bank affiliated | $555M | -4.2% | 2 | $277M | 70% | 100% | 59 | 1 | |
| DIVIDEND ASSETS CAPITAL, LLC independent RIA | $541M | -13% | 6 | $90.1M | 86% | 59% | 64 | 1 | |
| RIVER STREET ADVISORS, LLC independent RIA | $539M | +30% | 10 | $53.9M | 95% | 73% | 48 | 5 | |
| BRIGHT ROCK CAPITAL MANAGEMENT LLC asset manager | $536M | +8.9% | 0.0% | 2 | |||||
| CONSULTIVA WEALTH MANAGEMENT, CORP. other | $533M | +24% | 11 | $48.4M | 18% | 84% | 8 | 3 | |
| BUSEY CAPITAL MANAGEMENT, INC. mixed wealth | $494M | +52% | 4 | $123M | 30% | 11% | 96 | 9 | |
| IDB LIDO WEALTH, LLC bank affiliated | $478M | +42% | 9 | $53.2M | 74% | 95% | 19 | 3 | |
| FIRST CITIZENS ASSET MANAGEMENT, INC BD affiliated | $465M | +178% | 74 | $6.3M | 82% | 24% | 17 | 24 | |
| SLW INVESTMENT MANAGEMENT, LLC asset manager | $464M | +190% | 0.0% | 2 | |||||
| INDEPENDENCE FINANCIAL ADVISORS, LLC independent RIA | $464M | +24% | 8 | $58.0M | 88% | 21% | 342 | 8 |
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.