RIA and Wealth Intelligence
Every registered investment adviser and advisor from Form ADV and the SEC's daily IAPD feed since 2011: firms, advisors, teams, moves, private funds, ownership and firms forming, for recruiters, acquirers and anyone selling to RIAs.
Desk $249 a month, Pro $649 a month. Doors on /ria: I recruit advisors (Recruit), I acquire RIA firms and I distribute to RIAs (What comes next), I sell services to RIAs (Firms forming).
Pages
- Firms (search by name or CRD): filters Class, HQ state, RAUM, Registration, Private client share, HNW share, Advisors, Employees, Private funds, Reported a succession, Related broker-dealer or bank. Export is on this list.
- Advisors (search by name or IAPD number): Branch state, Registration (Dual registrant, also a broker, or IA only), Designation, Exams, Years in industry, Years at current firm.
- Movement: Call now, Who may move next, Firms and offices, Advisor moves, Teams, Firm flows, Growth, Anomalies, Signals, Movement Report.
- Also Practices, M&A, Private funds, Offices, Custodians, Firms forming and Map.
An advisor record
Contact, Recruiter tools and Recruiter brief (paid or trial), Who else to call, Career stage and continuity, Outside business and network, What changed, Professional profile, Registration history, Moves, Signals, Transition signals and Provenance.
Terms
- RAUM: regulatory assets under management from the latest Form ADV (Item 5.F).
- A move: a registration ending at one firm followed by one beginning elsewhere. A team: two or more advisors leaving within 14 days, in the same state, to the same firm.
- Outside business: activity the advisor self-disclosed on Form U4.
- Who may move next reads office and firm conditions (offices losing their people, firms under a new majority owner, advisors already launching a firm). It is not a prediction about any one advisor, and DFX does not publish a per-advisor mobility score.
- Firms forming: firms whose first Form ADV was filed in the last six months, by stage (filed, 120-day rule, state registered, SEC approved).
- ADV anomalies: reported values and filing-to-filing changes that stand out against comparable advisers, with the peer median and the filing behind each. Not conclusions.
Was this helpful?
Related
- Signals, events and anomaliesAn event is a dated fact. A signal is a detector's reading of events that says something may matter now, with who should care and why. An anomaly is a value or pattern that stands out against comparable records. Signals and anomalies are where to look, never conclusions.
- Contact informationDFX shows business contact routes published by the subject or in a public filing: work email, business phone, office address, website, professional profile and contact forms. Personal contact data and commercial provider data are never shown. Values are revealed one record at a time on a paid plan or the trial.
- Exporting dataExport downloads a CSV of the rows you filtered. It is on Search, universes, Ask DFX answers, and eight directories. Desk exports 100 rows at a time 3 times a month, Pro 6, the Data Factory 10; the trial 2 of 50 rows. Free accounts cannot export.
Still stuck?
The support chat knows the page you are on and your plan, or write to a person.