RIA Intelligence — Prospecting Dashboard
SEC & State Form ADV — October 2026  ·  43,711 Registered Investment Advisers  ·  Live Federal Data
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Prospects
Firms matching current filters
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Addressable AUM
Total AUM across all matching firms
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Alt-Invested AUM
AUM already allocated to alternatives (AUM × Alts%)
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Avg Score
Average BD prospect score across filtered set
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High Conviction ≥80
Firms scoring 80+ — priority outreach targets
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Avg AUM / Account
Average ticket size signal — higher = more HNW concentrated
AUM Distribution
Top States by Firm Count
Click row for firm intelligence  ·  Showing top 500 matches
Firm ↕ Location ↕ Total AUM ↕ Disc. AUM ↕ Accounts ↕ Client Types Asset Focus Alts% ↕ Score ↕
Filters
Prospect Score
Methodology  ·  0–100 Point Scale  ·  SEC Form ADV
Alts Allocation
Current alternatives exposure as a % of total AUM. Firms already allocated to alts are the highest-priority prospects for new alternative product distribution.
>50% → 35 pts  ·  25–50% → 28  ·  10–25% → 18  ·  1–10% → 8  ·  0% → 0
35 pts
AUM Size
Larger institutions have greater capacity to deploy capital into alternatives and typically employ dedicated alts or private markets allocators.
$5B+ → 30 pts  ·  $1–5B → 25  ·  $500M–$1B → 20  ·  $250–500M → 15  ·  $100–250M → 10  ·  <$100M → 5
30 pts
Client Quality
Client sophistication signals the ability to access private market products. HNW individuals, pension funds, and pooled investment vehicles score highest.
HNW Individuals → +8  ·  Pension Funds → +7  ·  Pooled Vehicles → +5  ·  Charitable Orgs → +3  ·  cap 20
20 pts
Discretionary Authority
Ratio of discretionary to total AUM. High discretionary authority means the adviser controls allocations and can act on new product recommendations independently.
≥90% → 10 pts  ·  ≥70% → 7  ·  ≥50% → 4  ·  <50% → 1
10 pts
Account Concentration
Average AUM per account. Higher concentration signals ultra-HNW or institutional clientele with the capacity to meet private market fund minimums.
≥$5M/acct → 5 pts  ·  ≥$2M → 4  ·  ≥$1M → 3  ·  ≥$500K → 2  ·  <$500K → 1
5 pts
Scores computed client-side from SEC & State Form ADV data (October 2026). BD registration status and registered rep counts are fetched live from SEC IAPD when a firm is selected.