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 |
|---|---|---|---|---|---|---|---|---|
| Strategy Asset Managers L.L.C. CRD 109939 | Pasadena, CA | independent RIA | $930M | 89% | 11 | $84.6M | 2 | 2 |
| Statheros Financial Solutions, Inc. CRD 306217 | El Dorado Hills, CA | independent RIA | $926M | 60% | 11 | $84.2M | 1 | 0 |
| Mraz And Associates CRD 158338 | Modesto, CA | independent RIA | $917M | 95% | 5 | $183M | 0 | 0 |
| O•• W••• I••••••••• M••••••••• L•• CRD 148343 | Los Angeles, CA | mixed wealth | $916M | 37% | 1 | $916M | 0 | 3 |
| E•••••• A••••••• CRD 285535 | Calabasas, CA | asset manager | $914M | 0.0% | 0 | Not computed | 1 | 4 |
| B•••••• H•••• P•••••• W•••••• L•• CRD 321132 | B•••••• H••••, CA | independent RIA | $912M | 97% | 6 | $152M | 0 | 0 |
| G••••••• F•••••••• P•••••••• L•• CRD 287652 | Orange, CA | mixed wealth | $912M | 45% | 8 | $114M | 0 | 0 |
| T••••• C•••••• M••••••••• L• CRD 319428 | San Francisco, CA | asset manager | $901M | 0.0% | 0 | Not computed | 1 | 3 |
| F•••• T••• M••••••••• L•• CRD 327421 | Solana Beach, CA | institutional | $900M | 0.0% | 0 | Not computed | 0 | 2 |
| K••••• CRD 161321 | Irvine, CA | asset manager | $897M | 0.0% | 2 | $449M | 1 | 12 |
| C••••••••• W••• • C• I•• CRD 22090 | San Diego, CA | independent RIA | $896M | 97% | 13 | $68.9M | 0 | 0 |
| S••••••••• F•••••••• G•••• CRD 340200 | San Rafael, CA | independent RIA | $896M | 99% | 15 | $59.7M | 2 | 0 |
| V•••• W••••• CRD 310162 | Santa Clarita, CA | independent RIA | $894M | 85% | 13 | $68.7M | 4 | 0 |
| O••••••• C•••••• CRD 299697 | Palo Alto, CA | asset manager | $892M | 0.0% | 0 | Not computed | 0 | 18 |
| T••• C•••••• M••••••••• L••• CRD 107049 | San Rafael, CA | independent RIA | $890M | 61% | 0 | Not computed | 0 | 0 |
| J••• K••• A•••••••• I••• CRD 112109 | Walnut Creek, CA | independent RIA | $890M | 99% | 5 | $178M | 0 | 0 |
| W••••••• I••••••••• M••••••••• L•• CRD 154522 | Santa Monica, CA | independent RIA | $889M | 86% | 7 | $127M | 2 | 0 |
| R••• I•••••••• • C••••••••• L•• CRD 326958 | Los Angeles, CA | mixed wealth | $888M | 32% | 0 | Not computed | 0 | 3 |
| S••• R•••• C•••••• L•• CRD 290148 | Menlo Park, CA | independent RIA | $884M | 99% | 9 | $98.2M | 0 | 0 |
| I••••••••• D••••• A•••••••• L•• CRD 299589 | Carlsbad, CA | independent RIA | $882M | 95% | 16 | $55.1M | 1 | 0 |
| L•••••• C•••••• M••••••••• I••• CRD 120374 | Costa Mesa, CA | independent RIA | $874M | 97% | 5 | $175M | 0 | 0 |
| I•••••••• G••••• P•••••••• L••• CRD 307975 | Los Angeles, CA | asset manager | $873M | 0.0% | 0 | Not computed | 0 | 11 |
| B••••••••• A••••••• G••••• L•• CRD 293514 | Fresno, CA | independent RIA | $869M | 79% | 5 | $174M | 0 | 0 |
| H••••••• W••••• P••••••• CRD 284712 | Sherman Oaks, CA | independent RIA | $868M | 83% | 17 | $51.1M | 0 | 0 |
| C•••••• I••••••••• P••••••• L• CRD 307191 | El Segundo, CA | asset manager | $865M | 0.0% | 0 | Not computed | 0 | 9 |
| K••••••• P•••••• W••••• CRD 301924 | Palm Desert, CA | independent RIA | $861M | 87% | 12 | $71.7M | 1 | 0 |
| V•••• I••••••••• G•••• L•• CRD 157297 | Burlingame, CA | asset manager | $857M | 0.0% | 0 | Not computed | 0 | 12 |
| D•••• I••••••••• M••••••••• L•• CRD 149596 | San Francisco, CA | independent RIA | $857M | 100% | 26 | $32.9M | 10 | 0 |
| B•••• C•••••• M••••••••• I••• CRD 111768 | Berkeley, CA | independent RIA | $857M | 100% | 4 | $214M | 2 | 0 |
| G• I••••••••• P•••••••• L• CRD 315867 | Irvine, CA | asset manager | $853M | 0.0% | 0 | Not computed | 0 | 4 |
| H• C•••••• M••••••••• I••• CRD 310147 | Hermosa Beach, CA | other | $851M | 0.0% | 0 | Not computed | 0 | 0 |
| A••••••• C•••••• A••••••• L•• CRD 166226 | Berkeley, CA | independent RIA | $851M | 99% | 5 | $170M | 0 | 0 |
| C•••••• W•••••• L•• CRD 323461 | Santa Barbara, CA | independent RIA | $851M | 95% | 9 | $94.5M | 1 | 0 |
| A••••••• M•••• M••••••••• L•• CRD 115357 | Rancho Santa Fe, CA | independent RIA | $844M | 97% | 11 | $76.7M | 4 | 0 |
| F•••• L•••• R••••••••• L•• CRD 314509 | Del Mar, CA | institutional | $844M | 0.0% | 2 | $422M | 0 | 0 |
| A••••••• V•••••••• I••• CRD 171036 | San Francisco, CA | asset manager | $841M | 0.0% | 0 | Not computed | 0 | 18 |
| T•••••••• C•••••• CRD 329075 | La Jolla, CA | mixed wealth | $837M | 29% | 0 | Not computed | 0 | 1 |
| R•••••• W••••• M••••••••• L•• CRD 173916 | Santa Monica, CA | independent RIA | $837M | 100% | 3 | $279M | 0 | 0 |
| F•••••••• S•••• A•••••••• I••• CRD 111090 | San Diego, CA | independent RIA | $836M | 97% | 10 | $83.6M | 0 | 0 |
| O•• F•• C•••••• M••••••••• L• CRD 283490 | San Francisco, CA | asset manager | $831M | 0.0% | 0 | Not computed | 0 | 1 |
| N•••• B••••••• W••••• M••••••••• L•• CRD 136431 | B•••••••, CA | independent RIA | $830M | 97% | 12 | $69.1M | 1 | 0 |
| M•••• • A••••••••• I••• CRD 141303 | Los Angeles, CA | independent RIA | $829M | 84% | 8 | $104M | 1 | 0 |
| H••• V• M••••••••• L•• CRD 315702 | Palo Alto, CA | asset manager | $823M | 0.0% | 0 | Not computed | 1 | 16 |
| L••••••• A••••• L•• CRD 282615 | Newport Beach, CA | asset manager | $822M | 4.4% | 1 | $822M | 0 | 8 |
| O••• W••••• M••••••••• L•• CRD 299704 | Menlo Park, CA | independent RIA | $822M | 99% | 0 | Not computed | 1 | 0 |
| F•• C•••••• A••••••• CRD 111822 | Palm Desert, CA | independent RIA | $822M | 99% | 4 | $206M | 0 | 0 |
| A••••••••• A•• A••••••••• I••• CRD 104777 | Torrance, CA | independent RIA | $821M | 99% | 6 | $137M | 0 | 0 |
| P•••••• C•••••• CRD 159294 | Corona, CA | independent RIA | $821M | 99% | 5 | $164M | 1 | 0 |
| P•••••• F•••••••• G•••• I•• CRD 107314 | Eureka, CA | independent RIA | $820M | 76% | 12 | $68.3M | 0 | 0 |
| D•••••• C•••••• M••••••••• L•• CRD 149091 | San Francisco, CA | asset manager | $813M | 0.0% | 0 | Not computed | 0 | 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.