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 |
|---|---|---|---|---|---|---|---|---|---|
| SWEENEY & MICHEL, LLC independent RIA | $753M | +20% | 3 | $251M | 84% | 57% | 209 | 1 | |
| ROCKLINE WEALTH MANAGEMENT LLC independent RIA | $750M | +19% | 5 | $150M | 86% | 85% | 172 | 1 | |
| WESTWOOD WEALTH MANAGEMENT mixed wealth | $750M | +17% | 8 | $93.7M | 20% | 64% | 28 | 2 | 14 |
| C•••••• A••••••• other | $748M | +67% | 2 | $374M | 0.0% | 1 | |||
| D••••••••• W••••• S••••••••• I••• independent RIA | $747M | +136% | 19 | $39.3M | 96% | 60% | 101 | 13 | |
| E•••••• W•••••• L•• independent RIA | $744M | +16% | 13 | $57.2M | 72% | 65% | 50 | 1 | |
| S••••••••• F•••••••• G•••• other | $739M | +13% | 5 | $148M | 15% | 65% | 139 | 2 | |
| A•••• C•••••• M••••••••• G•••• L•• other | $734M | +20% | 3 | $245M | 11% | 83% | 28 | 2 | |
| N•••••••• L•• independent RIA | $732M | +12% | 8 | $91.5M | 91% | 79% | 85 | 1 | |
| C••• C•••••• A••••••• independent RIA | $723M | +23% | 8 | $90.4M | 91% | 78% | 94 | 3 | |
| M•••• P•••••• C••••• G••••• L•• other | $716M | +31% | 2 | $358M | 11% | 49% | 35 | 1 | |
| A•••• I••••••••• C••••••••• G••••• L•• institutional | $714M | +12% | 3 | $238M | 1.7% | 100% | 1 | ||
| W•••••• C•••••• M••••••••• L•• independent RIA | $703M | +5.8% | 6 | $117M | 89% | 60% | 76 | 4 | |
| P••••• F•••••••• mixed wealth | $702M | +15% | 9 | $78.0M | 22% | 60% | 27 | 1 | |
| A•• C••••••••• institutional | $697M | +21% | 7 | $99.6M | 8.8% | 37% | 229 | 4 | |
| W•• F•••••••• A•••••••• L•• independent RIA | $694M | +13% | 15 | $46.3M | 65% | 80% | 106 | 1 | |
| L••••• C•••••• M••••••••• I••• independent RIA | $691M | +12% | 11 | $62.8M | 73% | 73% | 66 | 3 | 1 |
| T••••• P••••••• L•• independent RIA | $686M | +71% | 8 | $85.7M | 64% | 81% | 44 | 6 | |
| A••••• R••••••••• P••• A•••••••• L•• institutional | $683M | +4.8% | 5 | $137M | 0.0% | 5 | |||
| S•••••• F•••••••• P•••••••• L•• independent RIA | $682M | +19% | 1 | $682M | 84% | 95% | 498 | 4 | |
| P••• I••••••••• L•• mixed wealth | $676M | +20% | 4 | $169M | 22% | 56% | 63 | 3 | |
| A••••••••• F•••••••• G•••• independent RIA | $675M | +34% | 7 | $96.4M | 89% | 77% | 82 | 2 | |
| F•••••••• W••••• P•••••••• L•• independent RIA | $672M | +24% | 7 | $96.0M | 72% | 86% | 97 | 2 | |
| L•••••• A••••••• I••••••••• independent RIA | $670M | +18% | 33 | $20.3M | 76% | 30% | 29 | 24 | |
| W••••• C••• L•• independent RIA | $669M | +16% | 3 | $223M | 95% | 88% | 70 | 3 | |
| B••••••• W••••• A••••••• L•• independent RIA | $666M | +4.6% | 6 | $111M | 69% | 86% | 62 | 1 | |
| D••••••• I••••••••• L•• independent RIA | $663M | -0.3% | 3 | $221M | 77% | 76% | 254 | 1 | |
| P•••• W••••• M••••••••• L•• independent RIA | $658M | +20% | 6 | $110M | 68% | 68% | 106 | 1 | |
| P••••••• I••••••••• L•• independent RIA | $653M | +27% | 7 | $93.2M | 50% | 70% | 83 | 5 | |
| A•••• S••••••• A•••••••• L•• mixed wealth | $649M | -29% | 12 | $54.1M | 35% | 84% | 40 | 1 | |
| T•••••• C•••••• M••••••••• independent RIA | $646M | +34% | 14 | $46.1M | 96% | 64% | 157 | 3 | |
| P•••••• W••••• A••••••• I••• independent RIA | $641M | +16% | 7 | $91.6M | 96% | 68% | 220 | 1 | |
| H••••••• F•••••••• A•••••••• L•• independent RIA | $640M | +27% | 8 | $80.0M | 91% | 88% | 41 | 1 | |
| M••••••• I••••••••• A•••••••• I••• independent RIA | $628M | +18% | 5 | $126M | 75% | 66% | 122 | 1 | |
| F••••• W••••• S•••••••• I••• other | $628M | -19% | 2 | $314M | 19% | 55% | 172 | 1 | |
| D••• F•••••••• A••••••• independent RIA | $623M | +15% | 7 | $89.1M | 94% | 93% | 57 | 9 | |
| C•••••• A•••••••• I••• independent RIA | $620M | +23% | 4 | $155M | 76% | 21% | 153 | 1 | |
| T••••• C•••••• M••••••••• I• L•• institutional | $619M | +34% | 2 | $309M | 8.5% | 2 | |||
| W•••••• R••••••••• P•••• L•• institutional | $618M | +19% | 2 | $309M | 0.0% | 1 | |||
| G•••••••• F•••••••• G••••• L•• independent RIA | $617M | +24% | 4 | $154M | 59% | 67% | 162 | 1 | |
| G••• L•••• A•••••••• L•• independent RIA | $616M | +14% | 8 | $77.0M | 88% | 80% | 100 | 1 | |
| S•••••• F••••••••• L•• independent RIA | $611M | +14% | 2 | $306M | 58% | 86% | 109 | 1 | |
| T•• E••••••••• I••••••••• C•••••• independent RIA | $607M | +27% | 2 | $304M | 93% | 100% | 1 | ||
| C••••••••• F•••••••• mixed wealth | $589M | +14% | 5 | $118M | 42% | 67% | 139 | 1 | |
| S••••• W••••• A••••••• independent RIA | $587M | +19% | 12 | $48.9M | 73% | 81% | 45 | 3 | |
| D••••••••• F•••••••• A•••••••• L•• mixed wealth | $586M | +14% | 4 | $146M | 34% | 38% | 128 | 1 | |
| F•••••• F••••••••• L•• institutional | $585M | +34% | 3 | $195M | 0.8% | 1 | |||
| H•••• G•••• A••••••• L•• independent RIA | $584M | +22% | 7 | $83.5M | 59% | 82% | 52 | 3 | |
| P•••••• A•••••••• L•• independent RIA | $584M | +28% | 12 | $48.6M | 67% | 92% | 13 | 2 | |
| H••••• B••••• S••••••••• L•• independent RIA | $583M | +20% | 11 | $53.0M | 98% | 30% | 155 | 5 | |
| A••• W••••• M••••••••• L•• independent RIA | $580M | +80% | 5 | $116M | 84% | 79% | 187 | 2 | 1 |
| G••• S••••••• A••••••••• I••• mixed wealth | $572M | +26% | 5 | $114M | 26% | 83 | 1 | ||
| F•••••• I••••••••• M••••••••• I••• independent RIA | $569M | -74% | 3 | $190M | 52% | 69% | 162 | 5 | |
| F•• I••••••••• C•••••• independent RIA | $568M | +24% | 11 | $51.7M | 51% | 66% | 27 | 1 | |
| L••••••• A•••••••• L•• independent RIA | $567M | +49% | 67 | $8.5M | 87% | 57% | 23 | 26 | |
| R••••••• A•••••••• L•• other | $565M | +42% | 4 | $141M | 14% | 97% | 10 | 1 | |
| R••••••••• C••••••••• G•••• mixed wealth | $561M | -15% | 5 | $112M | 38% | 72% | 91 | 4 | |
| Q• C••••••••• other | $560M | +12% | 2 | $280M | 16% | 91% | 21 | 1 | |
| P•• R••••••••• C••••••••• institutional | $559M | +27% | 1 | $559M | 0.0% | 1 | |||
| Q•••••• F•••••••• A••••••• I•• mixed wealth | $558M | +241% | 10 | $55.8M | 32% | 74% | 34 | 6 |
878 practices match (Retirement plan adviser). 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.