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 |
|---|---|---|---|---|---|---|---|---|
| Wespac Advisors, LLC CRD 148242 | Orinda, CA | other | $1.2B | 12% | 8 | $151M | 2 | 0 |
| Angeles Equity Partners, LLC CRD 281284 | Los Angeles, CA | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 10 |
| Ursa Fund Management LLC CRD 283363 | Danville, CA | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 1 |
| C•••••• W••••• A••••••• CRD 296985 | San Diego, CA | independent RIA | $1.2B | 98% | 18 | $66.4M | 3 | 0 |
| M••••• P•••••••• L•• CRD 332691 | San Francisco, CA | independent RIA | $1.2B | 77% | 4 | $297M | 0 | 0 |
| H•••••• C•••••• P•••••••• L•• CRD 314721 | Culver City, CA | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 13 |
| T••••••••• W••••• M••••••••• CRD 314816 | Carmel By The Sea, CA | independent RIA | $1.2B | 91% | 37 | $32.0M | 23 | 0 |
| C•••••• V•••• M••••••••• L•• CRD 166291 | Beverly Hills, CA | independent RIA | $1.2B | 96% | 8 | $146M | 5 | 0 |
| C••• C•••••• M••••••••• L•• CRD 226750 | San Francisco, CA | asset manager | $1.2B | 0.0% | 0 | Not computed | 0 | 17 |
| M•••••••• W••• A•••• M••••••••• L•• CRD 283630 | Los Angeles, CA | independent RIA | $1.2B | 53% | 10 | $116M | 0 | 53 |
| L• • S• A•••••••• I•• CRD 140923 | Los Angeles, CA | independent RIA | $1.2B | 80% | 12 | $96.9M | 2 | 0 |
| E••••••• A••• P•••••••• L• CRD 328401 | Los Angeles, CA | asset manager | $1.2B | 0.0% | 0 | Not computed | 1 | 3 |
| A••••••• I••••••••• A•••••••• L•• CRD 108278 | Newport Beach, CA | asset manager | $1.2B | 3.2% | 1 | $1.2B | 0 | 0 |
| F••••• R••• A•••• M••••••••• L•• CRD 315600 | Los Angeles, CA | other | $1.2B | 0.0% | 0 | Not computed | 0 | 8 |
| J••••• • C••••••• L•• CRD 107674 | San Francisco, CA | independent RIA | $1.2B | 98% | 0 | Not computed | 0 | 0 |
| A•••• C•••••• A••••••• I••• CRD 127036 | San Francisco, CA | independent RIA | $1.1B | 92% | 8 | $144M | 0 | 0 |
| C••••••• M••••••••• S•••••••• L•• CRD 158370 | Los Angeles, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 1 | 6 |
| I••••• P••••••• L•• CRD 289797 | San Clemente, CA | independent RIA | $1.1B | 99% | 25 | $45.5M | 7 | 2 |
| S•••• C•••••• L•• CRD 159461 | San Francisco, CA | mixed wealth | $1.1B | 38% | 0 | Not computed | 0 | 4 |
| Y••••••• M••••••••• L•• CRD 326764 | San Francisco, CA | other | $1.1B | 0.0% | 0 | Not computed | 1 | 3 |
| C••••• C•••• C•••••• CRD 158079 | San Diego, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 1 | 9 |
| S•••••••• C•••••• CRD 325844 | Los Angeles, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 9 |
| Q•• A••••••• CRD 288357 | San Francisco, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 2 |
| C•• L•• CRD 282605 | Long Beach, CA | independent RIA | $1.1B | 98% | 23 | $48.9M | 4 | 0 |
| V•••••• W••••• M••••••••• L•• CRD 152374 | San Mateo, CA | independent RIA | $1.1B | 99% | 6 | $187M | 0 | 0 |
| F•••••••• F•••••••• G••••• L•• CRD 285681 | San Rafael, CA | independent RIA | $1.1B | 100% | 9 | $125M | 4 | 0 |
| M•• V•••• I••••••••• P•••••••• L•• CRD 144906 | Los Angeles, CA | other | $1.1B | 11% | 4 | $280M | 3 | 0 |
| K••••••••• W••••• M••••••••• CRD 110347 | Newport Beach, CA | independent RIA | $1.1B | 86% | 10 | $112M | 0 | 1 |
| C••••••• C••• A•••••••• L• CRD 288111 | San Francisco, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 0 |
| C••••••• C•• N• A•••••••• L•• CRD 324139 | Los Angeles, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 5 | 0 |
| F•••••••• A••••••• N••••••• I••• CRD 152083 | Tustin, CA | independent RIA | $1.1B | 100% | 13 | $85.1M | 1 | 0 |
| O•••• T••••••••• V••••••• M••••••••• L•• CRD 289384 | Palo Alto, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 31 |
| N••• E••••• L•• CRD 317201 | San Francisco, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 10 |
| T••••••• C•••••• M••••••••• I••• CRD 169863 | Laguna Hills, CA | mixed wealth | $1.1B | 26% | 7 | $156M | 0 | 0 |
| C• C•••••• M••••••••• I•• CRD 106492 | El Segundo, CA | institutional | $1.1B | 0.0% | 0 | Not computed | 3 | 0 |
| M•••• Q••••••••• M••••••••• L•• CRD 332226 | San Francisco, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 1 |
| W••••• G•••• CRD 104759 | Glendale, CA | independent RIA | $1.1B | 98% | 6 | $181M | 0 | 0 |
| R••• V••••••• M••••••••• L•• CRD 288647 | Venice, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 28 |
| C• I••••••••• A•••••••• L•• CRD 305926 | Los Angeles, CA | asset manager | $1.1B | 0.2% | 0 | Not computed | 1 | 0 |
| 5•• V••••••• CRD 160395 | San Francisco, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 2 | 12 |
| C••••• W••••• A••••••• L•• CRD 311261 | Templeton, CA | independent RIA | $1.1B | 55% | 9 | $120M | 1 | 0 |
| C•• C•••••• I• M••••••••• L•• CRD 301416 | Los Angeles, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 0 |
| G•••••••• A•••• M••••••••• L•• CRD 221528 | South Pasadena, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 1 | 1 |
| F••• B•••• C•••••• M••••••••• L• CRD 282926 | Larkspur, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 1 | 1 |
| S•••••••• I••••••••• G••••• L•• CRD 283414 | Newport Beach, CA | independent RIA | $1.1B | 87% | 7 | $153M | 0 | 0 |
| O••••••••• A•••• M••••••••• L•• CRD 168650 | Burlingame, CA | independent RIA | $1.1B | 100% | 12 | $89.3M | 4 | 0 |
| T•••••• A••• C•••••• CRD 287741 | San Francisco, CA | asset manager | $1.1B | 0.3% | 1 | $1.1B | 0 | 9 |
| A•••••• C•••••• L•• CRD 166705 | Santa Monica, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 1 | 2 |
| C•••••• C•••••• M••••••••• L• CRD 157007 | Los Angeles, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 17 |
| S••••••••• C•••••• M••••••••• L••• CRD 120952 | Pasadena, CA | independent RIA | $1.1B | 91% | 4 | $265M | 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.