DFX Intelligence
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 |
|---|---|---|---|---|---|---|---|---|---|
| GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC other | $241B | +5.2% | 3 | $80B | 0.2% | 82% | 72 | 5 | 73 |
| OSAIC WEALTH, INC. BD affiliated | $235B | +17% | 8,060 | $29.1M | 97% | 50% | 71 | 5,587 | |
| TWO SIGMA INVESTMENTS, LP asset manager | $233B | +111% | 0.0% | 3 | 62 | ||||
| D•• I••••••••• G••• asset manager | $229B | +28% | 80 | $2.9B | 0.0% | 9 | |||
| M••••• I••••••••• L•• institutional | $226B | +12% | 0.0% | 26 | 40 | ||||
| S•• I••••••••• M••••••••• C••• mixed wealth | $216B | +9.2% | 126 | $1.7B | 24% | 9.5% | 886 | 4 | |
| C••••••••• F•••••••• N•••••• national BD | $213B | +1.4% | 2,910 | $73.1M | 95% | 54% | 122 | 1,434 | |
| J••• H•••••• I••••••••• M••••••••• L•• asset manager | $212B | +4.9% | 173 | $1.2B | 0.0% | 1 | |||
| O•••• S••••• I••••••••• A•••••••• L•• asset manager | $204B | +20% | 136 | $1.5B | 0.0% | 2 | |||
| D•• I••••••••• M••••••••• A•••••••• I••• other | $200B | +3.4% | 0.0% | 100% | 6 | ||||
| H•••••••• A•••••••• L•• BD affiliated | $199B | +52% | 1,044 | $190M | 90% | 88% | 60 | 133 | |
| S•••••• N••••••• • C••••••• I••••••••• national BD | $198B | +15% | 3,350 | $59.0M | 90% | 77% | 69 | 518 | |
| E•••••• A••••••• G••••• L•• BD affiliated | $195B | +23% | 1,958 | $99.8M | 85% | 23% | 150 | 1,235 | |
| M•••••••• I••••••••• asset manager | $195B | +20% | 0.0% | 8 | 2 | ||||
| G•••••••• F•••••••• A•••••••• L•• institutional | $195B | +7.9% | 123 | $1.6B | 0.5% | 30% | 32 | 37 | |
| C••••••••• I••••••••• L•• mixed wealth | $185B | +2.2% | 41 | $4.5B | 26% | 2.7% | 2,999 | 9 | 4 |
| A•••••• P••••••• L•••••• P••••••••• asset manager | $184B | +13% | 0.0% | 100% | 17 | 10 | |||
| O•••••• C•••••• M••••••••• L••• asset manager | $183B | +7.2% | 1 | $183B | 0.0% | 18 | 284 | ||
| T•••• B•••• asset manager | $183B | +20% | 0.0% | 7 | 151 | ||||
| H•• I••••••••• P•••••••• L•• asset manager | $176B | +13% | 0.0% | 20 | 253 | ||||
| T•• G••••• A•••••••• L•• asset manager | $174B | +18% | 2 | $87B | 0.0% | 21 | |||
| G••••• R••••••••• P••••••• L•• institutional | $170B | +18% | 488 | $348M | 6.2% | 65% | 36 | 194 | |
| N• A••••••••• A••••••• L•• other | $160B | +19% | 110 | $1.5B | 0.3% | 100% | 0 | 13 | 159 |
| P••••• • R•••• other | $158B | +4.8% | 12 | $13B | 1.1% | 100% | 7 | 2 | 3 |
| O••••••••• institutional | $155B | +9.0% | 388 | $401M | 9.9% | 81% | 33 | 174 | |
| B••••••••• A•••• M••••••••• P•• C•••••• L• asset manager | $152B | +23% | 0.0% | 37 | 135 | ||||
| H••••••• F•••• asset manager | $152B | +10% | 47 | $3.2B | 0.0% | 1 | 2 | ||
| S••••••• I••••••••• M••••••••• N•••• A•••••• I•• asset manager | $150B | +8.5% | 0.5% | 100% | 4 | 17 | |||
| I••••••• A•••••••• L•• asset manager | $150B | +40% | 0.0% | 3 | 1,144 | ||||
| N••••• I••••••••• M••••••••• B••••••• T•••• asset manager | $144B | -14% | 52 | $2.8B | 1.5% | 66% | 1 | 6 | |
| C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | $139B | +35% | 3,937 | $35.2M | 97% | 52% | 90 | 2,340 | |
| F•••• E•••• I••••••••• M••••••••• L•• asset manager | $136B | +34% | 0.0% | 7 | 6 | ||||
| G•••••• S•••• • C•• L•• wirehouse | $134B | -43% | 38% | 100% | 19 | ||||
| T••••••• F•••••••• F•• L•••••••• other | $129B | -8.8% | 339 | $380M | 0.0% | 2 | 1 | ||
| V•• E•• A••••••••• C•••• asset manager | $126B | +50% | 0.0% | 1 | |||||
| M•••••• BD affiliated | $125B | +27% | 986 | $127M | 92% | 91% | 55 | 131 | 2 |
| W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated | $122B | +29% | 1,015 | $120M | 91% | 35% | 80 | 185 | |
| N•• Y••• L••• I••••••••• M••••••••• L•• asset manager | $121B | +6.7% | 89 | $1.4B | 0.5% | 1 | |||
| L••••• A•••• M••••••••• L•• other | $121B | -6.5% | 32 | $3.8B | 5.9% | 85% | 131 | 3 | 66 |
| T•• A••••• G••••• asset manager | $116B | +15% | 2 | $58B | 0.0% | 19 | 237 | ||
| M•• I•••••••• S•••••••• L•• BD affiliated | $116B | +28% | 5,091 | $22.7M | 97% | 5.5% | 88 | 1,094 | |
| M•• I••••••••• A••••••• I••• other | $114B | +1.6% | 52 | $2.2B | 2.8% | 32% | 184 | 1 | 6 |
| J••••• M••••••••• S•••• L•• BD affiliated | $110B | +9.2% | 1,342 | $82.1M | 89% | 78% | 179 | 139 | |
| N•••••• A•••••••• L•• BD affiliated | $109B | +27% | 57 | $1.9B | 90% | 75% | 1,974 | 4 | |
| B•• C••••• A•• I•••••••• S•••••••• A•••••• L•• institutional | $107B | +16% | 0.0% | 37 | 1 | ||||
| B••••••••• A•••• M••••••••• P•• U•• L•• asset manager | $105B | +14% | 0.0% | 47 | 116 | ||||
| R•• G••••• A•••• M••••••••• ••••• I••• asset manager | $104B | +37% | 2 | $52B | 0.1% | 25% | 36 | 4 | 14 |
| P••• I••••••••• A••••••• asset manager | $104B | +11% | 12 | $8.7B | 0.0% | 14 | |||
| B••••••••• C••••• B•• A••••••• L•• asset manager | $101B | +19% | 0.0% | 14 | |||||
| R••••••••• C•••••• M••••••••• BD affiliated | $100B | +42% | 1,035 | $96.2M | 82% | 84% | 46 | 68 | |
| B••••••••• R•••••••• E••••• G•••• L•• asset manager | $99B | +13% | 0.0% | 36 | 119 | ||||
| G•• G•••••••• L••• asset manager | $95B | +11% | 0.1% | 100% | 3 | 261 | |||
| A••••••••• I••• BD affiliated | $92B | +19% | 218 | $421M | 92% | 26% | 2,055 | 5 | |
| W••••••••• A•••• M••••••••• I••• asset manager | $88B | +8.2% | 0.0% | 1 | |||||
| C•••• • S••••• C•••••• M••••••••• I••• asset manager | $86B | +5.8% | 22 | $3.9B | 0.0% | 100% | 1 | 9 | |
| N••••••••• F••• A••••••• asset manager | $83B | +6.9% | 0.0% | 1 | |||||
| G••••• X• M••••••••• C•••••• L•• asset manager | $83B | +49% | 0.0% | 4 | |||||
| T•• A•••• M••••••••• C•••••• L•• other | $81B | +15% | 20 | $4.1B | 0.8% | 100% | 1 | 9 | 39 |
| R•••••• I••••••••• institutional | $81B | +1.8% | 3 | $27B | 0.0% | 2 | |||
| K••••• A••••••• S•••••••• L•• BD affiliated | $80B | +33% | 1,448 | $55.1M | 89% | 66% | 80 | 545 |
652 practices match (Broker-dealer 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.
The firm and advisor names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.