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 |
|---|---|---|---|---|---|---|---|---|---|
| MORGAN STANLEY wirehouse | $1962B | +19% | 23,158 | $84.7M | 90% | 30% | 114 | 628 | |
| EDWARD JONES national BD | $1014B | +23% | 24,086 | $42.1M | 98% | 38% | 167 | 15,121 | |
| ENVESTNET PMC independent RIA | $615B | +16% | 60 | $10B | 94% | 33% | 36,987 | 2 | |
| RBC CAPITAL MARKETS, LLC national BD | $310B | +19% | 3,842 | $80.8M | 90% | 35% | 72 | 383 | |
| CETERA INVESTMENT ADVISERS LLC BD affiliated | $257B | +57% | 10,475 | $24.5M | 96% | 28% | 77 | 6,585 | |
| EMPOWER ADVISORY GROUP, LLC BD affiliated | $195B | +23% | 1,946 | $100M | 85% | 23% | 151 | 1,235 | |
| FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC independent RIA | $140B | +11% | 1 | $140B | 56% | 3.9% | 175,905 | 1 | |
| WEALTH ENHANCEMENT ADVISORY SERVICES, LLC BD affiliated | $122B | +29% | 1,016 | $120M | 91% | 35% | 80 | 185 | |
| MML INVESTORS SERVICES, LLC BD affiliated | $116B | +28% | 5,088 | $22.7M | 97% | 5.5% | 88 | 1,094 | |
| ASSETMARK, INC. BD affiliated | $92B | +19% | 218 | $421M | 92% | 26% | 2,055 | 5 | |
| BETTERMENT independent RIA | $70B | +23% | 28 | $2.5B | 92% | 27% | 36,317 | 1 | |
| AE WEALTH MANAGEMENT, LLC BD affiliated | $50B | +33% | 463 | $108M | 99% | 39% | 275 | 315 | |
| WEALTHFRONT ADVISERS LLC BD affiliated | $48B | +20% | 41 | $1.2B | 99% | 36% | 12,649 | 1 | |
| OPPENHEIMER & CO. INC. BD affiliated | $37B | +13% | 1,154 | $31.8M | 62% | 25% | 32 | 110 | |
| BNY MELLON ADVISORS, INC. independent RIA | $33B | +40% | 14 | $2.4B | 94% | 25% | 8,898 | 5 | |
| PNC WEALTH MANAGEMENT BD affiliated | $30B | +14% | 1,163 | $26.0M | 97% | 18% | 138 | 595 | |
| VALIC FINANCIAL ADVISORS, INC. BD affiliated | $29B | +11% | 1,259 | $23.2M | 100% | 9.5% | 233 | 218 | |
| FIRST COMMAND ADVISORY SERVICES BD affiliated | $24B | +11% | 1,035 | $23.6M | 100% | 18% | 110 | 187 | |
| LINCOLN INVESTMENT independent RIA | $22B | +16% | 916 | $24.0M | 99% | 20% | 151 | 315 | |
| OPPENHEIMER ASSET MANAGEMENT BD affiliated | $21B | +6.8% | 5 | $4.3B | 82% | 25% | 8,360 | 3 | |
| BENJAMIN F. EDWARDS & COMPANY, INCORPORATED BD affiliated | $19B | +21% | 514 | $36.8M | 95% | 14% | 63 | 101 | |
| ENVESTNET PORTFOLIO SOLUTIONS, INC. independent RIA | $17B | -41% | 3 | $5.8B | 98% | 26% | 20,074 | 2 | |
| CAPITAL WEALTH PLANNING, LLC independent RIA | $17B | +51% | 11 | $1.6B | 56% | 27% | 1,111 | 2 | |
| PRINCIPAL SECURITIES, INC. BD affiliated | $17B | +15% | 1,461 | $11.7M | 98% | 33% | 35 | 359 | |
| NATIONWIDE INVESTMENT ADVISORS, LLC BD affiliated | $17B | +6.7% | 401 | $41.7M | 100% | 0.0% | 626 | 9 | |
| PRIMERICA ADVISORS national BD | $16B | +39% | 3,981 | $3.9M | 99% | 21% | 17 | 1,829 | |
| AMERITAS ADVISORY SERVICES, LLC BD affiliated | $14B | +19% | 550 | $25.0M | 96% | 32% | 53 | 248 | |
| ACORNS independent RIA | $13B | +29% | 14 | $956M | 100% | 0.3% | 582,738 | 1 | |
| CITIZENS SECURITIES, INC. BD affiliated | $13B | +40% | 786 | $16.4M | 98% | 2.9% | 77 | 994 | |
| BROOKSTONE CAPITAL MANAGEMENT LLC independent RIA | $13B | +22% | 332 | $38.4M | 99% | 13% | 165 | 272 | |
| FIFTH THIRD SECURITIES, INC. BD affiliated | $11B | +20% | 1,008 | $10.8M | 98% | 23% | 46 | 1,118 | |
| ADVISORY SERVICES NETWORK independent RIA | $11B | +23% | 250 | $42.4M | 97% | 37% | 50 | 118 | |
| PLANMEMBER SECURITIES CORPORATION independent RIA | $10B | +12% | 444 | $22.8M | 91% | 16% | 156 | 351 | |
| CENTAURUS FINANCIAL, INC. BD affiliated | $9.7B | +20% | 428 | $22.8M | 99% | 13% | 106 | 279 | |
| HARBOUR INVESTMENTS, INC. independent RIA | $9.6B | +27% | 247 | $38.9M | 96% | 28% | 121 | 138 | |
| GENEOS WEALTH MANAGEMENT, INC. BD affiliated | $9.2B | +65% | 193 | $47.8M | 98% | 12% | 110 | 114 | |
| HORNOR, TOWNSEND & KENT, LLC independent RIA | $9.0B | +16% | 469 | $19.2M | 91% | 12% | 60 | 251 | |
| KINGSVIEW WEALTH MANAGEMENT, LLC independent RIA | $9.0B | +33% | 116 | $77.2M | 95% | 35% | 105 | 47 | |
| KEY INVESTMENT SERVICES LLC BD affiliated | $8.9B | +45% | 641 | $13.8M | 99% | 20% | 54 | 26 | |
| GRADIENT INVESTMENTS, LLC independent RIA | $8.8B | +25% | 31 | $285M | 100% | 38% | 865 | 1 | |
| J. W. COLE ADVISORS, INC. BD affiliated | $8.2B | +15% | 493 | $16.7M | 96% | 35% | 63 | 279 | |
| HUMAN INTEREST ADVISORS LLC independent RIA | $8.1B | +23% | 2 | $4.1B | 100% | 3.3% | 396,529 | 1 | |
| HUNTINGTON FINANCIAL ADVISORS BD affiliated | $7.9B | +24% | 428 | $18.4M | 99% | 14% | 98 | 788 | |
| CONFLUENCE INVESTMENT MANAGEMENT LLC independent RIA | $6.7B | -7.3% | 8 | $840M | 92% | 29% | 1,811 | 4 | |
| OSAIC INSTITUTIONS, INC. BD affiliated | $6.5B | +61% | 544 | $11.9M | 75% | 8.0% | 29 | 622 | |
| NWF ADVISORY SERVICES INC independent RIA | $6.4B | +68% | 108 | $59.5M | 100% | 11% | 106 | 39 | |
| MISSIONSQUARE RETIREMENT BD affiliated | $6.3B | +5.9% | 130 | $48.5M | 91% | 9.8% | 312 | 12 | |
| CREATIVEONE WEALTH, LLC independent RIA | $6.3B | +29% | 223 | $28.0M | 93% | 38% | 99 | 109 | |
| SPC BD affiliated | $6.1B | +7.9% | 477 | $12.8M | 96% | 29% | 64 | 337 | |
| T. ROWE PRICE ADVISORY SERVICES, INC. BD affiliated | $5.9B | +53% | 495 | $11.9M | 100% | 0.0% | 27 | 2 | |
| THE PACIFIC FINANCIAL GROUP, INC. independent RIA | $5.1B | +23% | 14 | $362M | 99% | 9.9% | 1,201 | 1 | |
| SAVVY independent RIA | $5.0B | +286% | 196 | $25.5M | 97% | 28% | 23 | 127 | |
| GWN SECURITIES INC. BD affiliated | $4.8B | +30% | 446 | $10.7M | 100% | 18% | 85 | 26 | |
| SPIRE WEALTH MANAGEMENT, LLC BD affiliated | $4.5B | -2.2% | 67 | $67.4M | 96% | 30% | 92 | 48 | |
| ADVISORY ALPHA, LLC independent RIA | $4.4B | +26% | 66 | $66.3M | 54% | 38% | 133 | 28 | |
| GOOD LIFE ADVISORS, LLC independent RIA | $4.4B | +25% | 88 | $49.4M | 99% | 34% | 253 | 49 | |
| TRILLIUM ASSET MANAGEMENT independent RIA | $4.3B | -14% | 12 | $359M | 53% | 33% | 144 | 2 | |
| SOUND INCOME STRATEGIES, LLC independent RIA | $4.2B | +20% | 121 | $34.6M | 100% | 19% | 204 | 100 | |
| MONEY CONCEPTS ADVISORY SERVICE BD affiliated | $4.1B | +22% | 394 | $10.3M | 98% | 25% | 43 | 26 | |
| BFC PLANNING, INC. BD affiliated | $3.8B | +90% | 230 | $16.7M | 96% | 36% | 49 | 136 |
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799 practices match (Mass-affluent RIA). 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.