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 |
|---|---|---|---|---|---|---|---|---|
| Brio Financial Group CRD 289889 | San Francisco, CA | independent RIA | $1.1B | 100% | 15 | $70.5M | 3 | 0 |
| Preston Capital CRD 328417 | Aliso Viejo, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 0 | 2 |
| Wndrco Capital Management LLC CRD 318443 | San Francisco, CA | asset manager | $1.1B | 0.0% | 0 | Not computed | 1 | 8 |
| M•••••• F•••••••• A•••••••• L•• CRD 111819 | Fremont, CA | independent RIA | $1.0B | 89% | 17 | $61.6M | 3 | 0 |
| W••••• C••••••••• G••••• L•• CRD 287895 | Huntington Beach, CA | independent RIA | $1.0B | 96% | 4 | $262M | 0 | 0 |
| M••••••••• F•••••••• I•• CRD 106071 | Westlake Village, CA | independent RIA | $1.0B | 98% | 11 | $95.1M | 2 | 0 |
| T•••• B••••• W••••• A••••••• CRD 150460 | Los Altos, CA | independent RIA | $1.0B | 100% | 2 | $523M | 0 | 0 |
| R•• I••••••••• A•••••••• L•• CRD 172173 | Pleasanton, CA | independent RIA | $1.0B | 100% | 2 | $522M | 0 | 0 |
| V•••••• C•••••• M••••••••• CRD 111410 | Mill Valley, CA | independent RIA | $1.0B | 89% | 0 | Not computed | 0 | 0 |
| N••••••• R••••••••• S•••••••• I••• CRD 167641 | San Mateo, CA | institutional | $1.0B | 0.0% | 22 | $47.2M | 23 | 0 |
| 3•••• I••••••••• F••••••••• CRD 298053 | Simi Valley, CA | institutional | $1.0B | 0.0% | 2 | $518M | 1 | 0 |
| B•••• C•••••• M••••••••• L•• CRD 269959 | Redondo Beach, CA | asset manager | $1.0B | 0.0% | 0 | Not computed | 0 | 2 |
| G•••• A•••• M••••••••• L•• CRD 113098 | Claremont, CA | independent RIA | $1.0B | 96% | 9 | $115M | 0 | 0 |
| B••••• T••• A•••• M••••••••• L•• CRD 168384 | Torrance, CA | independent RIA | $1.0B | 90% | 3 | $344M | 0 | 0 |
| W•••••• F••• A•••••••• L•• CRD 334057 | Pasadena, CA | asset manager | $1.0B | 0.0% | 0 | Not computed | 0 | 0 |
| C•••••••• I••••••••• A••••••• ••• L•• CRD 341654 | Beverly Hills, CA | asset manager | $1.0B | 0.0% | 0 | Not computed | 1 | 2 |
| J•••••• I••••••••• M••••••••• L•• CRD 323831 | San Rafael, CA | institutional | $1.0B | 5.4% | 0 | Not computed | 1 | 0 |
| V••••• S•••••••• W••••• P•••••••• L•• CRD 335215 | San Francisco, CA | independent RIA | $1.0B | 100% | 3 | $338M | 2 | 0 |
| N••••••••• G•••• L•• CRD 130982 | Redwood Shores, CA | independent RIA | $1.0B | 92% | 3 | $337M | 0 | 0 |
| M••• M••••••••• F••• A•••••••• L•• CRD 281689 | San Francisco, CA | asset manager | $1.0B | 0.0% | 0 | Not computed | 0 | 0 |
| F•••••• A••••••• CRD 305614 | Sonoma, CA | independent RIA | $1.0B | 68% | 14 | $72.1M | 5 | 0 |
| M•••••• C•••••• P••••••• CRD 173764 | Pleasanton, CA | independent RIA | $1.0B | 95% | 9 | $112M | 2 | 0 |
| A••• A•••••••• L•• CRD 307450 | Beverly Hills, CA | independent RIA | $1.0B | 93% | 12 | $83.9M | 1 | 0 |
| L•••••• I••••••••• M••••••••• L•• CRD 159649 | Burlingame, CA | asset manager | $1.0B | 0.0% | 0 | Not computed | 0 | 18 |
| F••••••• P•••••••• L• CRD 332551 | San Francisco, CA | asset manager | $1.0B | 0.0% | 0 | Not computed | 0 | 2 |
| C•••• C•••••• M••••••••• I•• CRD 107903 | Corte Madera, CA | independent RIA | $1.0B | 71% | 1 | $1.0B | 0 | 0 |
| S••••••••• L•• CRD 330200 | San Francisco, CA | independent RIA | $993M | 100% | 9 | $110M | 0 | 0 |
| C••••••••• W••••• M••••••••• CRD 167151 | San Jose, CA | independent RIA | $987M | 90% | 5 | $197M | 2 | 0 |
| E•••••••• M••• A•••• M••••••••• L•• CRD 322382 | Danville, CA | independent RIA | $985M | 100% | 85 | $11.6M | 14 | 2 |
| N•• F•••••• I••• CRD 165267 | San Francisco, CA | asset manager | $982M | 0.0% | 0 | Not computed | 0 | 4 |
| B••••••••• C•••••• P•••••••• L•• CRD 119200 | Los Angeles, CA | other | $982M | 0.0% | 0 | Not computed | 2 | 0 |
| V•••••• G••••• M••••••••• L••••• CRD 289258 | Covina, CA | asset manager | $979M | 0.0% | 0 | Not computed | 1 | 7 |
| B••••••• M••••••••• I• L••• CRD 164956 | Los Angeles, CA | asset manager | $974M | 0.0% | 0 | Not computed | 0 | 5 |
| T•• I••••••••• G•••• CRD 112016 | San Mateo, CA | institutional | $969M | 0.0% | 0 | Not computed | 0 | 1 |
| F•••••••• F•••• M••••••••• L•• CRD 319107 | San Francisco, CA | asset manager | $967M | 0.0% | 0 | Not computed | 2 | 25 |
| B•••• C•••••• A•••• M••••••••• L•• CRD 160562 | Santa Monica, CA | asset manager | $962M | 0.0% | 0 | Not computed | 1 | 5 |
| P••••••• F•• G••••• CRD 163495 | Tiburon, CA | asset manager | $962M | 0.0% | 0 | Not computed | 1 | 7 |
| C•••• A••••••• L•• CRD 323063 | San Francisco, CA | asset manager | $962M | 0.0% | 6 | $160M | 2 | 7 |
| T•• P•••••• C••••• F•• F•••••••• S••••••• CRD 104557 | Danville, CA | independent RIA | $961M | 100% | 5 | $192M | 4 | 0 |
| F•••• I••••••••• A•••••••• I•• CRD 109970 | Solana Beach, CA | institutional | $956M | 0.0% | 5 | $191M | 0 | 0 |
| T••••• F••••• O•••••• I••• CRD 106079 | Newport Beach, CA | independent RIA | $954M | 88% | 6 | $159M | 0 | 0 |
| S••• C••••••• I••• CRD 286688 | Greenbrae, CA | mixed wealth | $953M | 24% | 2 | $477M | 0 | 0 |
| B••••••• W••••• M••••••••• CRD 287487 | San Mateo, CA | independent RIA | $950M | 99% | 6 | $158M | 5 | 0 |
| H•• W••••• CRD 106158 | San Rafael, CA | independent RIA | $942M | 89% | 4 | $235M | 0 | 0 |
| R••••• A••••••••• CRD 110235 | Alamo, CA | independent RIA | $940M | 96% | 1 | $940M | 0 | 0 |
| B••••••••• • F•••••• L•• CRD 104795 | Solana Beach, CA | independent RIA | $940M | 97% | 10 | $94.0M | 0 | 0 |
| S••••••• C•••••• M••••••••• L•• CRD 171845 | San Francisco, CA | asset manager | $939M | 0.0% | 0 | Not computed | 1 | 17 |
| C•••• • A••••••••• W••••• M••••••••• CRD 314432 | Fullerton, CA | independent RIA | $935M | 79% | 3 | $312M | 0 | 0 |
| T•••••••• P••••••• L•• CRD 286637 | San Francisco, CA | asset manager | $934M | 0.0% | 0 | Not computed | 0 | 13 |
| 3• C•••••• M••••••••• L•• CRD 294003 | Los Angeles, CA | asset manager | $932M | 0.0% | 0 | Not computed | 0 | 10 |
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.