DFX Intelligence
Firms
SEC-registered investment advisersAbout this listOne row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list.Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
1,869 advisers match
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| American Infrastructure CRD 299402 | Foster City, CA | asset manager | $1.7B | 0.0% | 0 | Not computed | 0 | 4 |
| Kbs Capital Advisors, LLC CRD 166213 | Newport Beach, CA | asset manager | $1.7B | 0.0% | 0 | Not computed | 0 | 0 |
| Transom Capital Group CRD 170459 | El Segundo, CA | asset manager | $1.7B | 0.0% | 0 | Not computed | 0 | 11 |
| W•••••••• A•••• M••••••••• CRD 106935 | Del Mar, CA | independent RIA | $1.7B | 97% | 10 | $168M | 0 | 0 |
| F••••••• C••••• C••••••• L•• CRD 166012 | Campbell, CA | asset manager | $1.7B | 0.0% | 0 | Not computed | 1 | 23 |
| P••••••••• C•••••• M••••••••• L•• CRD 308425 | Alamo, CA | asset manager | $1.7B | 0.0% | 0 | Not computed | 0 | 4 |
| D••••••••• C•••••• A•••••••• L•• CRD 157965 | Los Angeles, CA | asset manager | $1.7B | 0.0% | 0 | Not computed | 0 | 12 |
| P••• P••••••• C•••••• L•• CRD 168954 | San Francisco, CA | other | $1.6B | 0.0% | 0 | Not computed | 0 | 2 |
| L•••• W••••• M••••••••• L• CRD 283521 | Menlo Park, CA | independent RIA | $1.6B | 98% | 0 | Not computed | 0 | 0 |
| E•• P••••••• L•• CRD 307400 | San Francisco, CA | asset manager | $1.6B | 0.0% | 0 | Not computed | 1 | 13 |
| C••••••••• I••••••••• P•••••••• L••• CRD 277036 | San Francisco, CA | asset manager | $1.6B | 0.0% | 0 | Not computed | 2 | 27 |
| P••••••• C•••••• CRD 333009 | Newport Beach, CA | independent RIA | $1.6B | 76% | 4 | $408M | 0 | 0 |
| T•••• C•••••• M••••••••• I••• CRD 149108 | San Diego, CA | independent RIA | $1.6B | 97% | 13 | $125M | 2 | 0 |
| P••••••• P•••••• W•••••• L•• CRD 295178 | P•••••••, CA | independent RIA | $1.6B | 71% | 19 | $85.3M | 5 | 6 |
| U••••• I••••••••• M••••••••• L•• CRD 150893 | San Francisco, CA | asset manager | $1.6B | 0.0% | 0 | Not computed | 0 | 3 |
| B••••••• S••••• P•••••••• L••• CRD 169052 | Newport Beach, CA | asset manager | $1.6B | 0.0% | 0 | Not computed | 0 | 1 |
| L••• V••• C•••••• CRD 321209 | Los Angeles, CA | asset manager | $1.6B | 0.0% | 0 | Not computed | 0 | 8 |
| S••••••• D••• P•••••••• L•• CRD 172019 | Burlingame, CA | asset manager | $1.6B | 0.0% | 0 | Not computed | 1 | 22 |
| S••••••• P••••••• CRD 305064 | San Mateo, CA | asset manager | $1.6B | 0.0% | 0 | Not computed | 0 | 8 |
| H•••••••• C•••••• U••• L•• CRD 281186 | San Francisco, CA | asset manager | $1.6B | 0.0% | 0 | Not computed | 7 | 6 |
| S••••••••• P•••••• E••••• CRD 297613 | Encinitas, CA | asset manager | $1.6B | 0.0% | 0 | Not computed | 0 | 11 |
| V••••• M••••••••• L•• CRD 333354 | Los Angeles, CA | asset manager | $1.6B | 0.0% | 0 | Not computed | 1 | 2 |
| L•••• S••••• C•••••• M••••••••• L•• CRD 155215 | Palo Alto, CA | asset manager | $1.6B | 0.0% | 0 | Not computed | 0 | 23 |
| I••••••••• P•••••••• L•• CRD 173140 | San Francisco, CA | independent RIA | $1.6B | 96% | 6 | $262M | 1 | 7 |
| G•••••••• M••••••••• L•• CRD 309789 | San Francisco, CA | asset manager | $1.6B | 0.0% | 0 | Not computed | 0 | 15 |
| H••••••• A•••••• L•• CRD 310662 | San Mateo, CA | asset manager | $1.6B | 0.0% | 0 | Not computed | 2 | 5 |
| B••••• E•••••• W•••• CRD 118376 | Walnut Creek, CA | independent RIA | $1.6B | 89% | 12 | $129M | 0 | 0 |
| R•••••• C•••••• G••••• L•• CRD 145363 | El Segundo, CA | independent RIA | $1.6B | 86% | 14 | $111M | 5 | 4 |
| D••••••• C•••••• M••••••••• L••• CRD 337997 | Emeryville, CA | asset manager | $1.5B | 0.0% | 0 | Not computed | 1 | 1 |
| C•••••• C•••••• P••••••• L•• CRD 281843 | Laguna Beach, CA | asset manager | $1.5B | 0.0% | 0 | Not computed | 0 | 2 |
| R•••••• W••••• W••••• M••••••••• CRD 148221 | Rocklin, CA | independent RIA | $1.5B | 82% | 5 | $307M | 2 | 1 |
| P•••• C•••••• M••••••••• L•• CRD 281739 | Newport Beach, CA | other | $1.5B | 0.0% | 7 | $220M | 0 | 0 |
| B•••••• F•••••••• S••••••• G•••• CRD 143617 | Irvine, CA | independent RIA | $1.5B | 91% | 25 | $61.4M | 5 | 0 |
| T•••• S••••••••• L•• CRD 153991 | Woodland Hills, CA | independent RIA | $1.5B | 93% | 17 | $89.5M | 0 | 0 |
| R•••••••• A•••• M••••••••• CRD 323736 | Menlo Park, CA | BD affiliated | $1.5B | 100% | 137 | $11.1M | 6 | 0 |
| G•••• C•••••• M••••••••• L•• CRD 111296 | Menlo Park, CA | asset manager | $1.5B | 0.1% | 0 | Not computed | 1 | 11 |
| C•••••• P••••••• M••••••••• I••• CRD 296925 | Newport Beach, CA | asset manager | $1.5B | 0.0% | 0 | Not computed | 1 | 13 |
| C••••• A•••• M••••••••• CRD 109930 | Newport Beach, CA | independent RIA | $1.5B | 98% | 16 | $94.8M | 1 | 0 |
| R•• S••••••••• I••• CRD 103705 | Los Angeles, CA | BD affiliated | $1.5B | 78% | 122 | $12.4M | 24 | 0 |
| L••••• L•••••••• S•••••••• C••••••• L•• CRD 289401 | Beverly Hills, CA | other | $1.5B | 0.0% | 0 | Not computed | 7 | 0 |
| S•••• P••••••• W••••• M••••••••• L•• CRD 131359 | Los Angeles, CA | independent RIA | $1.5B | 100% | 4 | $374M | 1 | 0 |
| T•• I••••••• M••••••• C•••••• L•• CRD 144908 | Solana Beach, CA | institutional | $1.5B | 0.0% | 3 | $498M | 1 | 0 |
| Y•••••• M••••• M••••••• L•• CRD 158216 | Los Angeles, CA | asset manager | $1.5B | 0.0% | 0 | Not computed | 0 | 8 |
| A••••••• C•••••• M••••••••• L•• CRD 107382 | Alameda, CA | institutional | $1.5B | 3.1% | 0 | Not computed | 0 | 2 |
| Q•••••• F•••••••• A•••••••• L•• CRD 317386 | Santa Monica, CA | independent RIA | $1.5B | 99% | 15 | $98.9M | 4 | 0 |
| A••••• A••••••• CRD 108188 | Irvine, CA | independent RIA | $1.5B | 92% | 13 | $114M | 0 | 0 |
| H• B••••• A•••• M••••••••• L•• CRD 161955 | San Francisco, CA | asset manager | $1.5B | 0.0% | 0 | Not computed | 0 | 15 |
| E••••••• A••••••••• I••• CRD 111041 | Fullerton, CA | independent RIA | $1.5B | 98% | 11 | $134M | 2 | 0 |
| S•••••• W••••• A•••••••• L•• CRD 332034 | Santa Monica, CA | independent RIA | $1.5B | 100% | 6 | $246M | 1 | 0 |
| C•••••••• I••••••••• M••••••••• L•• CRD 174204 | San Francisco, CA | asset manager | $1.5B | 0.0% | 0 | Not computed | 5 | 2 |
The firm 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.