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 |
|---|---|---|---|---|---|---|---|---|
| Arc Advisory LLC CRD 330258 | San Francisco, CA | other | $708M | 0.0% | 0 | Not computed | 0 | 0 |
| Ridgecrest Wealth Partners, LLC CRD 311984 | San Rafael, CA | independent RIA | $705M | 100% | 2 | $353M | 1 | 0 |
| Propel Venture Partners Management Co. CRD 283261 | San Carlos, CA | asset manager | $704M | 0.0% | 0 | Not computed | 1 | 7 |
| S•••••••• I••••••••• A••••••• G••••• L•• CRD 146132 | Corona, CA | independent RIA | $702M | 98% | 9 | $78.0M | 5 | 0 |
| K•• I••••••••• L•• CRD 337465 | Seal Beach, CA | independent RIA | $700M | 100% | 4 | $175M | 0 | 0 |
| T••••••• M••••••••• C•••••• L• CRD 313541 | Menlo Park, CA | asset manager | $700M | 0.0% | 0 | Not computed | 1 | 4 |
| T••••• W••••• P•••••••• L•• CRD 285349 | Irvine, CA | independent RIA | $699M | 96% | 10 | $69.9M | 0 | 0 |
| H••••••• W•••••• L•• CRD 289462 | Los Angeles, CA | independent RIA | $698M | 99% | 3 | $233M | 0 | 0 |
| P••• A••• I•••••••• L• CRD 109171 | P••• A•••, CA | asset manager | $696M | 0.0% | 1 | $696M | 2 | 6 |
| P•••••• W••••• A•••••••• L•• CRD 285510 | San Diego, CA | independent RIA | $695M | 91% | 5 | $139M | 0 | 0 |
| C•••••••• P•••••••• L•• CRD 332474 | San Francisco, CA | asset manager | $694M | 0.0% | 0 | Not computed | 1 | 4 |
| B• • A••••••••• I••• CRD 116471 | Orange, CA | independent RIA | $693M | 100% | 2 | $346M | 0 | 0 |
| L••••• C•••••• M••••••••• I••• CRD 172932 | Burbank, CA | independent RIA | $691M | 73% | 11 | $62.8M | 2 | 1 |
| K••••• C••••••• L•• CRD 167390 | Burlingame, CA | asset manager | $688M | 0.0% | 0 | Not computed | 0 | 1 |
| A••••••• A••••••• • S••••••••• L•• CRD 18835 | Westlake Village, CA | independent RIA | $687M | 99% | 16 | $43.0M | 4 | 0 |
| M• P•••••• W•••••• L•• CRD 291366 | San Carlos, CA | independent RIA | $686M | 100% | 5 | $137M | 1 | 0 |
| S•• C•••••• P••••••• M••••••••• L• CRD 307713 | Redwood City, CA | asset manager | $686M | 0.0% | 0 | Not computed | 1 | 13 |
| P••••• F•••••••• C••••••••• CRD 135470 | Alameda, CA | institutional | $683M | 9.0% | 3 | $228M | 0 | 0 |
| Y••••• C•••••• M••••••••• L••• CRD 163812 | San Francisco, CA | asset manager | $676M | 0.0% | 1 | $676M | 0 | 1 |
| A••••• C••••••• L••• CRD 336255 | San Francisco, CA | asset manager | $676M | 0.0% | 0 | Not computed | 0 | 2 |
| I••••••• W••••• M••••••••• CRD 146569 | Turlock, CA | independent RIA | $674M | 95% | 5 | $135M | 1 | 0 |
| D•••••••• C•••••• I•• CRD 242788 | Los Altos, CA | independent RIA | $671M | 96% | 7 | $95.9M | 0 | 0 |
| P•••••• S••••••••• I••• CRD 105052 | Folsom, CA | independent RIA | $671M | 100% | 8 | $83.9M | 0 | 0 |
| E•••••••• W••••• P•••••••• L•• CRD 123971 | Walnut Creek, CA | independent RIA | $671M | 97% | 6 | $112M | 2 | 0 |
| D••••••• I••••••••• L•• CRD 158708 | Redlands, CA | independent RIA | $663M | 77% | 3 | $221M | 0 | 0 |
| C••••• B•• I••••••••• M••••••••• L•• CRD 284787 | Westlake Village, CA | independent RIA | $663M | 85% | 4 | $166M | 1 | 0 |
| T•••• A••• W••••• M••••••••• L•• CRD 333733 | Irvine, CA | independent RIA | $662M | 98% | 4 | $166M | 0 | 0 |
| W•••••••• W••••• CRD 283843 | Newport Beach, CA | independent RIA | $662M | 98% | 7 | $94.6M | 1 | 0 |
| B••••••••• L•• CRD 226661 | San Jose, CA | independent RIA | $660M | 98% | 5 | $132M | 3 | 0 |
| A••••• C•••••• G•••• M••••••••• L•• CRD 317047 | Los Angeles, CA | asset manager | $660M | 0.0% | 0 | Not computed | 0 | 10 |
| P•••• W••••• M••••••••• L•• CRD 174490 | Newport Beach, CA | independent RIA | $658M | 68% | 6 | $110M | 0 | 0 |
| S••••••• A•••• M••••••••• I•• CRD 111007 | Newport Beach, CA | independent RIA | $657M | 87% | 8 | $82.2M | 2 | 0 |
| M•• M••••••••• L• CRD 332714 | Menlo Park, CA | asset manager | $656M | 0.0% | 0 | Not computed | 0 | 4 |
| W••••• S••••• W••••• A•••••••• L•• CRD 173447 | Irvine, CA | independent RIA | $656M | 84% | 10 | $65.6M | 3 | 0 |
| B•• A••••••• L•• CRD 118410 | Los Angeles, CA | independent RIA | $656M | 93% | 3 | $219M | 0 | 0 |
| R•• • C•• L•• CRD 112172 | St. Helena, CA | independent RIA | $655M | 93% | 0 | Not computed | 0 | 0 |
| A•••• M••••••••• L•• CRD 336603 | Los Angeles, CA | asset manager | $648M | 0.0% | 0 | Not computed | 1 | 0 |
| P••••••• C•••••• CRD 305663 | Menlo Park, CA | asset manager | $646M | 0.0% | 0 | Not computed | 0 | 10 |
| D•••• C•••••• M••••••••• L•• CRD 129053 | Los Angeles, CA | asset manager | $645M | 0.0% | 0 | Not computed | 0 | 6 |
| H••••••• W••••• M••••••••• I••• CRD 316956 | San Diego, CA | independent RIA | $643M | 55% | 6 | $107M | 0 | 8 |
| L•••• W••••• L•• CRD 288098 | Los Gatos, CA | independent RIA | $640M | 100% | 4 | $160M | 6 | 0 |
| T••• I••••••••• A•••••••• L•• CRD 166606 | Laguna Niguel, CA | independent RIA | $639M | 100% | 31 | $20.6M | 23 | 0 |
| K••••• C•••••• M••••••••• L•• CRD 307701 | Solana Beach, CA | asset manager | $636M | 0.0% | 0 | Not computed | 0 | 9 |
| M•••••• P•••• P••••••• L•• CRD 298680 | Oakland, CA | asset manager | $636M | 0.0% | 0 | Not computed | 0 | 2 |
| T•• R••••••••• G•••• CRD 310949 | San Francisco, CA | asset manager | $636M | 0.0% | 0 | Not computed | 0 | 5 |
| F••• C•••••• M••••••••• L•• CRD 299218 | San Francisco, CA | independent RIA | $635M | 80% | 3 | $212M | 0 | 0 |
| T•• S••••••• G•••• CRD 324974 | Sacramento, CA | independent RIA | $634M | 100% | 6 | $106M | 1 | 0 |
| F••••• F•••••••• G••••• L•• CRD 291662 | Palm Desert, CA | independent RIA | $632M | 93% | 6 | $105M | 2 | 0 |
| B•••••••• I••••••••• M••••••••• S••••••• CRD 148531 | Bakersfield, CA | mixed wealth | $631M | 39% | 3 | $210M | 1 | 2 |
| A••••••• I•••••••• C• CRD 38 | San Ramon, CA | independent RIA | $631M | 95% | 28 | $22.5M | 12 | 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.