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 |
|---|---|---|---|---|---|---|---|---|---|
| SIGFIG WEALTH MANAGEMENT LLC independent RIA | $3.6B | +20% | 4 | $895M | 100% | 5.7% | 26,590 | 2 | |
| SAGE, RUTTY & CO., INC. independent RIA | $3.5B | +15% | 45 | $76.8M | 95% | 16% | 182 | 1 | |
| TRILOGY CAPITAL, INC. independent RIA | $3.2B | +22% | 73 | $44.0M | 81% | 39% | 110 | 12 | |
| M HOLDINGS SECURITIES, INC. BD affiliated | $3.2B | -21% | 179 | $17.9M | 95% | 38% | 24 | 106 | |
| SANTANDER SECURITIES BD affiliated | $3.1B | +23% | 159 | $19.8M | 91% | 0.0% | 68 | 418 | |
| IMPACT PARTNERSHIP WEALTH, LLC independent RIA | $3.0B | +76% | 88 | $33.7M | 99% | 33% | 91 | 80 | |
| BERGER FINANCIAL GROUP independent RIA | $2.9B | +18% | 51 | $57.8M | 99% | 30% | 74 | 10 | |
| CREATIVE FINANCIAL DESIGNS, INC. BD affiliated | $2.9B | +19% | 162 | $18.2M | 98% | 29% | 65 | 105 | |
| CAMBIAR INVESTORS, LLC independent RIA | $2.9B | -10% | 3 | $974M | 63% | 34% | 1,751 | 1 | 1 |
| MARINER independent RIA | $2.8B | 6 | $462M | 100% | 15% | 590 | 3 | ||
| BILL FEW ASSOCIATES, INC. independent RIA | $2.7B | +3.0% | 28 | $97.3M | 99% | 26% | 106 | 3 | |
| IPI WEALTH MANAGEMENT, INC. BD affiliated | $2.7B | +18% | 68 | $39.1M | 96% | 36% | 193 | 40 | |
| SUNBELT SECURITIES BD affiliated | $2.6B | +6.1% | 63 | $41.9M | 98% | 19% | 98 | 19 | |
| FIRST CITIZENS INVESTOR SERVICES, INC. BD affiliated | $2.6B | +25% | 405 | $6.5M | 99% | 39% | 19 | 112 | |
| TRAJAN WEALTH, L.L.C. independent RIA | $2.6B | +32% | 44 | $59.1M | 100% | 35% | 242 | 38 | |
| COOKSON PEIRCE WEALTH MANAGEMENT independent RIA | $2.6B | +10.0% | 23 | $111M | 84% | 32% | 67 | 4 | |
| CREATIVEONE SECURITIES, LLC BD affiliated | $2.5B | +20% | 127 | $20.0M | 89% | 28% | 97 | 126 | |
| ALPHASTAR CAPITAL MANAGEMENT independent RIA | $2.5B | +36% | 153 | $16.3M | 90% | 35% | 55 | 87 | |
| BANKERS LIFE ADVISORY SERVICES, INC. BD affiliated | $2.5B | +28% | 532 | $4.7M | 99% | 4.0% | 27 | 137 | |
| SILVER OAK SECURITIES, INC. BD affiliated | $2.4B | +21% | 117 | $20.9M | 98% | 40% | 74 | 86 | |
| TRAYNOR CAPITAL MANAGEMENT independent RIA | $2.4B | +31% | 7 | $346M | 100% | 40% | 227 | 1 | |
| FBB CAPITAL PARTNERS independent RIA | $2.4B | +11% | 11 | $218M | 99% | 10% | 91 | 4 | |
| TLG ADVISORS, INC. BD affiliated | $2.3B | +18% | 304 | $7.6M | 94% | 26% | 17 | 121 | |
| JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC BD affiliated | $2.2B | +11% | 64 | $34.3M | 100% | 19% | 556 | 8 | |
| TRANSAMERICA FINANCIAL ADVISORS, LLC BD affiliated | $2.1B | +22% | 1,120 | $1.9M | 98% | 20% | 38 | 261 | |
| NAVY FEDERAL INVESTMENT SERVICES, LLC BD affiliated | $2.1B | +23% | 161 | $13.0M | 100% | 20% | 46 | 79 | |
| FIRST HEARTLAND CONSULTANTS, INC. BD affiliated | $2.1B | +18% | 96 | $21.7M | 90% | 29% | 66 | 72 | |
| SOFI WEALTH LLC BD affiliated | $2.0B | +39% | 108 | $19.0M | 100% | 1.6% | 2,352 | 5 | |
| WASHINGTON CROSSING ADVISORS LLC independent RIA | $2.0B | -5.1% | 4 | $507M | 91% | 10% | 788 | 3 | |
| MADISON AVENUE SECURITIES, LLC BD affiliated | $2.0B | -1.0% | 98 | $20.6M | 100% | 14% | 144 | 57 | |
| FUTURE CAPITAL independent RIA | $2.0B | +96% | 2 | $1.0B | 97% | 1.2% | 7,760 | 1 | |
| HEALTHEQUITY ADVISORS independent RIA | $2.0B | +32% | 1 | $2.0B | 100% | 0.0% | 1 | ||
| MIDWESTERN SECURITIES TRADING CO.,LLC independent RIA | $2.0B | +22% | 50 | $39.7M | 95% | 24% | 234 | 86 | |
| WESTEND ADVISORS, LLC independent RIA | $1.9B | +9.9% | 19 | $98.3M | 93% | 23% | 213 | 1 | |
| WILLIS JOHNSON WEALTH independent RIA | $1.9B | +30% | 30 | $61.7M | 100% | 39% | 19 | 1 | |
| U.S. BANCORP ADVISORS, LLC BD affiliated | $1.8B | +18% | 1,156 | $1.6M | 94% | 34% | 3 | 175 | |
| AEGIS CAPITAL CORP. BD affiliated | $1.8B | +24% | 102 | $17.4M | 87% | 28% | 30 | 19 | 32 |
| GREENWOOD CAPITAL ASSOCIATES, LLC independent RIA | $1.8B | +5.8% | 16 | $110M | 58% | 28% | 41 | 2 | |
| HBW ADVISORY SERVICES LLC independent RIA | $1.7B | +18% | 68 | $25.7M | 95% | 8.2% | 203 | 51 | |
| ALLY INVEST ADVISORS independent RIA | $1.7B | +24% | 82 | $21.1M | 100% | 4.9% | 1,015 | 3 | |
| NOVEM GROUP independent RIA | $1.7B | +22% | 32 | $53.7M | 80% | 40% | 110 | 9 | |
| ACCURATE WEALTH MANAGEMENT, LLC independent RIA | $1.7B | +49% | 49 | $34.9M | 100% | 34% | 53 | 12 | |
| OAK RIDGE INVESTMENTS, LLC independent RIA | $1.7B | +31% | 2 | $852M | 84% | 33% | 1,912 | 1 | |
| WELLINGTON CONSULTING SERVICES INC independent RIA | $1.7B | +29% | 9 | $188M | 100% | 6.8% | 1,036 | 2 | |
| BUCK WEALTH STRATEGIES, LLC independent RIA | $1.6B | +191% | 49 | $33.5M | 54% | 31% | 56 | 16 | |
| USA FINANCIAL EXCHANGE independent RIA | $1.6B | +2.1% | 26 | $62.9M | 100% | 14% | 395 | 1 | |
| ISLANDBRIDGE CAPITAL LIMITED independent RIA | $1.6B | +53% | 100% | 14% | 1 | ||||
| SHERMAN PORTFOLIOS independent RIA | $1.6B | +168% | 2 | $779M | 100% | 27% | 3,326 | 1 | |
| ROYAL FUND MANAGEMENT, LLC independent RIA | $1.6B | +19% | 83 | $18.8M | 99% | 22% | 60 | 95 | |
| INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC independent RIA | $1.5B | +25% | 30 | $51.2M | 98% | 37% | 142 | 4 | |
| TAMAR SECURITIES, LLC independent RIA | $1.5B | +17% | 17 | $89.5M | 93% | 34% | 247 | 1 | |
| ALDEN CAPITAL independent RIA | $1.5B | +4.9% | 20 | $75.8M | 53% | 7.3% | 125 | 4 | |
| SPARTAN WEALTH MANAGEMENT independent RIA | $1.5B | +265% | 21 | $70.7M | 98% | 15% | 55 | 2 | |
| REDHAWK WEALTH ADVISORS, INC. independent RIA | $1.5B | -21% | 43 | $33.9M | 95% | 26% | 73 | 34 | |
| VALLEY WEALTH STRATEGIES, LLC independent RIA | $1.4B | +20% | 23 | $62.9M | 94% | 36% | 172 | 22 | |
| PORTSIDE WEALTH GROUP, LLC independent RIA | $1.4B | +27% | 56 | $25.6M | 86% | 33% | 112 | 43 | |
| PRINCIPAL ADVISED SERVICES BD affiliated | $1.4B | +60% | 225 | $6.3M | 100% | 6.3% | 103 | 93 | |
| VERITY INVESTMENT PARTNERS independent RIA | $1.4B | +16% | 12 | $117M | 93% | 16% | 38 | 5 | |
| TRUSTMONT ADVISORY GROUP, INC. BD affiliated | $1.4B | +24% | 65 | $21.5M | 100% | 36% | 66 | 47 | |
| STRATEGIC WEALTH INVESTMENT GROUP, LLC independent RIA | $1.4B | +25% | 32 | $43.3M | 100% | 34% | 122 | 20 |
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.