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 |
|---|---|---|---|---|---|---|---|---|
| Amip Management CRD 284231 | Seal Beach, CA | asset manager | $1.5B | 0.0% | 0 | Not computed | 2 | 7 |
| Nicholas Investment Partners, L.P. CRD 140159 | San Diego, CA | mixed wealth | $1.5B | 37% | 2 | $725M | 1 | 3 |
| Valley Wealth Strategies, LLC CRD 289737 | Lodi, CA | independent RIA | $1.4B | 94% | 23 | $62.9M | 21 | 0 |
| S•• M••••••••• C•••••• CRD 329215 | San Francisco, CA | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 0 |
| S••••••••• A•••• M••••••••• C•••••• L•• CRD 324111 | Newport Beach, CA | asset manager | $1.4B | 0.0% | 0 | Not computed | 1 | 3 |
| T••••••••• L•• CRD 171293 | El Segundo, CA | asset manager | $1.4B | 0.0% | 0 | Not computed | 4 | 0 |
| S•••••• V••••• R••••••••• S•••••••• L•• CRD 154756 | San Jose, CA | independent RIA | $1.4B | 100% | 2 | $701M | 1 | 0 |
| W•••• R•••• P••••• W••••• M••••••••• L•• CRD 139237 | San Jose, CA | independent RIA | $1.4B | 97% | 7 | $200M | 5 | 0 |
| E•••••• W••••• L•• CRD 328603 | Beverly Hills, CA | independent RIA | $1.4B | 100% | 7 | $198M | 4 | 1 |
| D••••• A•••••••• L•• CRD 110242 | San Diego, CA | other | $1.4B | 17% | 0 | Not computed | 2 | 1 |
| C•••••• F•••••••• P•••••••• L•• CRD 326620 | San Diego, CA | independent RIA | $1.4B | 100% | 7 | $197M | 1 | 0 |
| E••••••• H••••••••• M••••••••• C•••••• CRD 157622 | Santa Monica, CA | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 13 |
| N••••••• P••• I••••••••• C•••••• L•• CRD 110672 | Carmel, CA | other | $1.4B | 10% | 0 | Not computed | 0 | 1 |
| B•••• C•••••• M••••••••• CRD 316265 | Los Angeles, CA | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 5 |
| S•••••• E••••• P••••••• CRD 307171 | San Diego, CA | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 9 |
| K••• C•••••• P••••••• CRD 312875 | San Jose, CA | independent RIA | $1.4B | 86% | 12 | $114M | 4 | 8 |
| C••••••••• C••••••• I••• CRD 105396 | Palo Alto, CA | independent RIA | $1.4B | 64% | 3 | $453M | 0 | 0 |
| G•••••• C•••••• P••••••• L•• CRD 297344 | Los Angeles, CA | asset manager | $1.4B | 0.0% | 0 | Not computed | 0 | 13 |
| F•• C•••••• CRD 298492 | San Francisco, CA | asset manager | $1.4B | 0.0% | 0 | Not computed | 3 | 21 |
| S••••••• C•••••• L•• CRD 169007 | Los Altos, CA | asset manager | $1.3B | 0.0% | 0 | Not computed | 1 | 4 |
| L••••••• P•••••• A•••• M••••••••• L•• CRD 107638 | Alamo, CA | independent RIA | $1.3B | 97% | 5 | $268M | 0 | 0 |
| P•••••• C••••• L•• CRD 330996 | San Francisco, CA | asset manager | $1.3B | 0.0% | 0 | Not computed | 2 | 3 |
| C•••••• W••••• S•••••••• L•• CRD 288992 | Palm Desert, CA | independent RIA | $1.3B | 95% | 14 | $95.7M | 1 | 0 |
| A••••••• P•••••• G•••• CRD 306218 | Larkspur, CA | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 4 |
| C••••••••• • A••••••••• CRD 132295 | Anaheim, CA | independent RIA | $1.3B | 100% | 7 | $190M | 0 | 0 |
| G•• M••••••••• L••• CRD 310340 | Santa Monica, CA | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 13 |
| C••••••• F•••••••• M••••••••• L•• CRD 175209 | San Francisco, CA | independent RIA | $1.3B | 99% | 10 | $131M | 2 | 0 |
| T••••••••• A••••••• L•• CRD 168948 | Menlo Park, CA | asset manager | $1.3B | 0.0% | 0 | Not computed | 3 | 1 |
| P•••••• I••••••• A•••••••• L•• CRD 121922 | Folsom, CA | other | $1.3B | 10% | 4 | $326M | 0 | 0 |
| S•••••• V••••• C•••••• P•••••••• L••• CRD 125114 | San Jose, CA | independent RIA | $1.3B | 97% | 5 | $258M | 0 | 0 |
| F•••••••• V••••••• CRD 314038 | San Francisco, CA | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 6 |
| C•••••• A••••••••• I••• CRD 108985 | Walnut Creek, CA | independent RIA | $1.3B | 100% | 8 | $160M | 1 | 0 |
| N•••• P••• F•••••••• M••••••••• L•• CRD 148128 | Marina Del Rey, CA | institutional | $1.3B | 6.3% | 7 | $182M | 0 | 0 |
| P•• H••••• S•••••••• L• CRD 146747 | San Francisco, CA | asset manager | $1.3B | 0.0% | 0 | Not computed | 2 | 4 |
| B••••••• R••• E••••• P•••••••• L•• CRD 282072 | San Francisco, CA | asset manager | $1.3B | 0.0% | 0 | Not computed | 1 | 39 |
| M••••••••• L•• CRD 108870 | Los Angeles, CA | institutional | $1.3B | 0.0% | 0 | Not computed | 0 | 0 |
| I••••••• G••••• P••••••• CRD 311947 | San Mateo, CA | asset manager | $1.3B | 0.0% | 0 | Not computed | 1 | 17 |
| L••••• C•••••• M••••••••• L•• CRD 131704 | San Francisco, CA | institutional | $1.3B | 0.0% | 1 | $1.3B | 0 | 0 |
| I••••••• C•••••• G••••• L••• CRD 169772 | Walnut Creek, CA | asset manager | $1.3B | 0.0% | 0 | Not computed | 0 | 6 |
| O•• W••••• A•••••••• L•• CRD 170910 | San Francisco, CA | independent RIA | $1.3B | 96% | 11 | $114M | 2 | 0 |
| O••••••• A••••••• CRD 282057 | Los Angeles, CA | asset manager | $1.2B | 0.0% | 1 | $1.2B | 1 | 15 |
| S•••• C•••••• P•••••••• L•• CRD 170413 | Mill Valley, CA | independent RIA | $1.2B | 100% | 2 | $619M | 0 | 1 |
| C••••• C•••••• P••••••• CRD 171849 | Los Angeles, CA | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 17 |
| A•••••••• F•••••••• A•••••••• L•• CRD 283288 | Santa Barbara, CA | independent RIA | $1.2B | 94% | 8 | $155M | 0 | 0 |
| K•• W••••• CRD 300921 | Redlands, CA | independent RIA | $1.2B | 97% | 10 | $123M | 1 | 0 |
| A•••••••• C•••••• C•••• CRD 315010 | San Francisco, CA | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 21 |
| C••••••••• C•••••• L• CRD 332182 | Los Angeles, CA | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 0 |
| I•••••• W••••• S••••••••• L•• CRD 293644 | San Ramon, CA | independent RIA | $1.2B | 100% | 9 | $136M | 1 | 0 |
| R•• E••••• P••••••• CRD 157138 | Los Angeles, CA | asset manager | $1.2B | 0.0% | 0 | Not computed | 1 | 8 |
| D• G••••• F•••••••• G••••• L•• CRD 168178 | Thousand Oaks, CA | independent RIA | $1.2B | 73% | 2 | $608M | 1 | 0 |
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.