Monthly Registered Investment Advisor (RIA) Data Report: November 2022

FINTRX - Family Office & Registered Investment Advisor (RIA) Database provider - has compiled the Monthly Registered Investment Advisor Data Report to provide a high-level synopsis of the investment advisory landscape for November 2022. Explore newly added registered entities and contacts, alternatives used, assets under management, RIA services provided and more...

• - Total Registered Entities (including Dually Registered): 172
• - Total Registered Contacts: 4,740
• - Total Accounts: 254
• - Total Discretionary Accounts: 169
• - Total Non-Discretionary Accounts: 85
• - Total Firms Using Alternatives: 130
• - Assets Under Management: $6.9B+

Accounts Breakdown

• - Total Accounts: 254

• - Discretionary Accounts: 169 (67%)
• - Non-Discretionary Accounts: 85 (33%)

Representative/Contact Breakdown by Type

• - Total Reps/Contacts Added: 4,740

• - Broker-Dealers: 83%
  
• - Investment Advisors: 9%
• - Owner-Only Contacts: 6%
• - Dually Registered: 2%
  

Client Breakdown

The chart below illustrates the client breakdown of firms added to our RIA dataset in November. As outlined, 75% of firms offer services to institutional clients while 30% offer services to individuals and families. 

• - Institutional Clients: 75%
  
• - Individual & Family: 30%

Firm Size Breakdown by Assets Under Management

• - Micro ($1-$25M): 44%
• - Small ($25M-$100M): 11%
  
• - Mid-Size ($100-$500M): 28%
• - Large ($500M-$5B): 17%

Rep Gender Breakdown

• - Male Reps: 67%
• - Female Reps: 33%

RIA Services Provided

Registered investment advisors often provide an array of financial and investment services to their clients. A majority of new investment advisory firms added to our dataset in November offer portfolio management for individuals and small businesses as well as financial planning services. Additional services provided include the selection of other advisors, portfolio management for businesses and institutions, portfolio management for pooled investment vehicles, pension consulting services and educational seminars, among others. RIA firms can and often have more than one service offered.

1. 1. Portfolio Management for Individuals/Small Businesses: 67%
2. 2. Financial Planning Services: 58%
3. 3. Selection of other Advisors: 26%
4. 4. Portfolio Management for Businesses/Institutions: 20%
5. 5. Portfolio Management for Pooled Investment Vehicles: 16%
6. 6. Pension Consulting Services: 14%
7. 7. Educational Seminars/Workshops: 12%
8. 8. Publication of Periodicals/Newsletters: 3%
9. 9. Portfolio Management for Investment Companies: 2%
10. 10. Security Ratings/Pricing Services: 1%

Alternative Investments Utilized

Firm Level

It's important to note that each registered firm can and often utilize more than one alternative investment. 

• - Real Estate: 69%
• - Private Placements: 35%
• - Hedge Funds: 33%
• - Private Equity: 24%
• - Commodities: 22%
• - Oil & Gas: 21%
• - REITs: 21%
• - Venture Capital: 19%
• - Corporate Debt: 11%
• - Digital Currency: 10%
• - Fund of Funds: 3%
• - Private Debt: 2%
• - Managed Futures: 2%
  

Download the Report

FINTRX provides comprehensive data intelligence on 850,000+ family office & investment advisor records, each designed to help you identify, access and map the private wealth ecosystem. Explore in-depth dossiers on each family office & investment advisor. Access AUM, source of wealth, investment criteria, previous investment history, sectors & industries of interest, and advisor growth signals, among other key data points.

Additionally, FINTRX provides insight and expansive contact information on 850,000+ decision-makers, featuring job titles, direct email addresses, phone numbers, common connections, alma maters, past employment history, brief bios & much more. 

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