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 |
|---|---|---|---|---|---|---|---|---|
| Prosperitas Financial, LLC CRD 315768 | Valencia, CA | independent RIA | $812M | 86% | 39 | $20.8M | 1 | 0 |
| Integris Wealth Management, LLC CRD 111336 | Monterey, CA | independent RIA | $812M | 98% | 12 | $67.7M | 1 | 0 |
| Nelson Capital Management, LLC CRD 129776 | Menlo Park, CA | independent RIA | $811M | 87% | 4 | $203M | 0 | 0 |
| T•• A••••••• G•••• O• S•• F••••••••• L•• CRD 108110 | San F••••••••, CA | independent RIA | $810M | 51% | 6 | $135M | 5 | 0 |
| R••• E•••• M•••••• P•••••• L•• CRD 106696 | San Francisco, CA | independent RIA | $805M | 99% | 5 | $161M | 0 | 0 |
| F•••••••• G••••• P•••••••• L•• CRD 292411 | Pasadena, CA | asset manager | $804M | 0.0% | 0 | Not computed | 0 | 12 |
| S••••••• C••••••• L•• CRD 157888 | Menlo Park, CA | mixed wealth | $802M | 48% | 2 | $401M | 0 | 2 |
| F•••••••• F•••• L•• CRD 282177 | Carlsbad, CA | independent RIA | $800M | 68% | 5 | $160M | 0 | 0 |
| R••••••• W••••• A•••••••• L•• CRD 1489 | Mill Valley, CA | mixed wealth | $799M | 30% | 4 | $200M | 0 | 0 |
| F•••••• • F••••• C•••••• M••••••••• L•• CRD 310407 | Menlo Park, CA | asset manager | $794M | 0.0% | 0 | Not computed | 0 | 17 |
| M•••••• P••• A••••••• CRD 286612 | Simi Valley, CA | institutional | $793M | 0.0% | 5 | $159M | 3 | 0 |
| C•••••••• C•••••• CRD 282617 | El Segundo, CA | asset manager | $793M | 0.0% | 0 | Not computed | 0 | 5 |
| T•• W••••• C••••••••• I••• CRD 142618 | Corona Del Mar, CA | independent RIA | $792M | 100% | 3 | $264M | 0 | 0 |
| G••••• I•• L•• CRD 170870 | Solana Beach, CA | asset manager | $790M | 0.0% | 0 | Not computed | 1 | 0 |
| W••••••• F•••••••• A•••••••• I••• CRD 152506 | San Rafael, CA | independent RIA | $789M | 98% | 6 | $132M | 11 | 0 |
| B••• I••••••••• A••••••• I•• CRD 108383 | Orinda, CA | independent RIA | $788M | 92% | 9 | $87.5M | 0 | 0 |
| S••••••••• I••••••••• A••••••• L•• CRD 328584 | San Francisco, CA | asset manager | $788M | 0.0% | 0 | Not computed | 1 | 3 |
| E••••• C••••••• C••••••• L• CRD 157228 | San Francisco, CA | asset manager | $786M | 0.0% | 0 | Not computed | 0 | 5 |
| C••••••••• C•••••• L• CRD 335329 | San Francisco, CA | asset manager | $785M | 0.0% | 0 | Not computed | 0 | 1 |
| W••••• F•••••••• CRD 107227 | Fresno, CA | independent RIA | $782M | 81% | 7 | $112M | 1 | 0 |
| C••••••• C•••••• M••••••••• I••••••••• L•• CRD 286567 | San Diego, CA | independent RIA | $780M | 100% | 6 | $130M | 0 | 0 |
| L••••• P•••••••• L•• CRD 159473 | Los Angeles, CA | asset manager | $778M | 0.0% | 2 | $389M | 0 | 10 |
| B••• Z••• W••••• A•••••••• L•• CRD 305943 | Los Angeles, CA | independent RIA | $770M | 100% | 6 | $128M | 0 | 4 |
| W••••• A•••• M••••••••• I••••••••• CRD 130482 | San Diego, CA | independent RIA | $768M | 89% | 2 | $384M | 0 | 0 |
| A••• CRD 168736 | San Francisco, CA | asset manager | $767M | 0.0% | 0 | Not computed | 0 | 19 |
| J•••••• W••••• M••••••••• L•• CRD 305552 | Manhattan Beach, CA | independent RIA | $763M | 96% | 6 | $127M | 1 | 0 |
| S•• L••• W••••• A••••••• CRD 309506 | San L••• Obispo, CA | independent RIA | $760M | 75% | 7 | $109M | 0 | 0 |
| S•••••• • M•••••• L•• CRD 282595 | Chico, CA | independent RIA | $753M | 84% | 3 | $251M | 0 | 0 |
| B••••• A•••• I••••••••• L••• CRD 311857 | South San Francisco, CA | other | $752M | 0.0% | 0 | Not computed | 0 | 1 |
| S•• C•••••• CRD 293841 | Walnut Creek, CA | asset manager | $749M | 0.0% | 0 | Not computed | 2 | 15 |
| S•• I••••••••• C•••••• I••• CRD 145530 | Los Angeles, CA | independent RIA | $748M | 89% | 11 | $68.0M | 0 | 2 |
| C••• L••• CRD 160976 | San Francisco, CA | asset manager | $747M | 1.6% | 0 | Not computed | 1 | 11 |
| C••••••• C•••••• M••••••••• L•• CRD 318142 | Los Angeles, CA | asset manager | $744M | 0.0% | 0 | Not computed | 0 | 4 |
| G••••••• C•••••• A•••••••• L•• CRD 168912 | San Diego, CA | independent RIA | $742M | 97% | 5 | $148M | 0 | 0 |
| M•••••• C•••• C•••••• P•••••••• I••• CRD 151514 | San Francisco, CA | independent RIA | $742M | 95% | 9 | $82.4M | 1 | 0 |
| G••••••• C•••••• A•••••••• P• L•• CRD 318680 | San Francisco, CA | asset manager | $737M | 0.0% | 0 | Not computed | 2 | 0 |
| C•••••• W••••• A••••••• CRD 157913 | San Jose, CA | independent RIA | $733M | 97% | 2 | $366M | 0 | 0 |
| S••• C•••••• M••••••••• L•• CRD 108542 | San Francisco, CA | institutional | $732M | 7.8% | 4 | $183M | 0 | 0 |
| N•••••••• L•• CRD 119919 | Encino, CA | independent RIA | $732M | 91% | 8 | $91.5M | 0 | 0 |
| T•••••• W•••••• L•• CRD 328421 | Los Altos, CA | independent RIA | $731M | 100% | 3 | $244M | 0 | 0 |
| P••••••••• F•••••••• CRD 131413 | San Francisco, CA | asset manager | $730M | 0.0% | 0 | Not computed | 0 | 3 |
| H•••• C•••••• M••••••••• L•• CRD 143344 | El Segundo, CA | asset manager | $729M | 0.0% | 0 | Not computed | 0 | 0 |
| T•• C•••••• F•••• L•• CRD 107502 | Los Angeles, CA | asset manager | $723M | 0.0% | 0 | Not computed | 0 | 1 |
| B•••••• I••••••••• M••••••• L•• CRD 317943 | San Francisco, CA | asset manager | $722M | 0.0% | 1 | $722M | 1 | 1 |
| R• C••• I••• CRD 158621 | Newport Beach, CA | independent RIA | $721M | 100% | 6 | $120M | 0 | 0 |
| R•••••••• V••••••• CRD 339165 | Menlo Park, CA | asset manager | $717M | 0.0% | 0 | Not computed | 1 | 0 |
| M••••• V•••• P•••••••• L•• CRD 155192 | Los Angeles, CA | asset manager | $717M | 0.0% | 0 | Not computed | 0 | 2 |
| A•••• L••••• A••••••• L•• CRD 329888 | Los Angeles, CA | independent RIA | $715M | 92% | 4 | $179M | 2 | 0 |
| U••• A••••••• CRD 171962 | Walnut Creek, CA | asset manager | $715M | 0.0% | 0 | Not computed | 0 | 0 |
| F••••••• G••••• P••••••• L•• CRD 145341 | La Jolla, CA | institutional | $713M | 5.3% | 3 | $238M | 0 | 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.