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 |
|---|---|---|---|---|---|---|---|---|
| Neumann Capital Management CRD 112182 | Foster City, CA | independent RIA | $630M | 100% | 3 | $210M | 4 | 0 |
| Findec Wealth Services, Inc. CRD 311949 | Stockton, CA | other | $628M | 19% | 2 | $314M | 0 | 0 |
| Ariadne Wealth Management, LP CRD 170999 | Santa Barbara, CA | independent RIA | $627M | 100% | 7 | $89.6M | 0 | 0 |
| E•••••• F•••••••• G••••• I••• CRD 111990 | Fairfield, CA | independent RIA | $626M | 96% | 5 | $125M | 2 | 0 |
| P•••••••• D••••• L•••• L•• CRD 318127 | Encino, CA | independent RIA | $625M | 88% | 1 | $625M | 0 | 0 |
| L• P•••• M••••••••• L•• CRD 317924 | San Francisco, CA | asset manager | $622M | 0.0% | 0 | Not computed | 0 | 6 |
| A•••••• L•• CRD 156109 | Santa Barbara, CA | independent RIA | $622M | 68% | 11 | $56.5M | 2 | 1 |
| P••••••••• C•••••• CRD 291657 | Los Angeles, CA | asset manager | $621M | 0.0% | 0 | Not computed | 0 | 10 |
| T••••• C•••••• M••••••••• I• L•• CRD 324364 | Escondido, CA | institutional | $619M | 8.5% | 2 | $309M | 1 | 0 |
| M•••••• W••••• M••••••••• L•• CRD 148565 | San Rafael, CA | independent RIA | $619M | 95% | 6 | $103M | 2 | 0 |
| S••••• C•••••• M••••••••• L• CRD 157121 | Los Angeles, CA | other | $619M | 0.0% | 0 | Not computed | 0 | 2 |
| R•••• M•••• A••••••••• I••• CRD 160859 | San Francisco, CA | independent RIA | $618M | 59% | 0 | Not computed | 0 | 0 |
| W••• W••••• G••••• L•• CRD 316644 | Irvine, CA | independent RIA | $617M | 100% | 20 | $30.8M | 5 | 0 |
| S•••••• • C••• I••• CRD 6911 | San Diego, CA | independent RIA | $616M | 68% | 1 | $616M | 0 | 0 |
| F•• W••••• M••••••••• CRD 122309 | Westlake Village, CA | independent RIA | $616M | 100% | 8 | $77.0M | 0 | 0 |
| M••••••••• P••••••• L•• CRD 306169 | El Segundo, CA | asset manager | $615M | 0.0% | 0 | Not computed | 0 | 7 |
| F•••••••• A••••••••• I••• CRD 108245 | La Jolla, CA | independent RIA | $615M | 100% | 6 | $102M | 1 | 0 |
| S•••••••• W••••• M••••••••• CRD 158413 | Pasadena, CA | independent RIA | $610M | 98% | 10 | $61.0M | 1 | 0 |
| W••••••• D••••••••• C••••••• L•• CRD 306299 | Bakersfield, CA | independent RIA | $610M | 59% | 4 | $152M | 0 | 0 |
| S••• W••••• A••••••• CRD 340644 | Chino Hills, CA | independent RIA | $606M | 98% | 4 | $152M | 0 | 0 |
| C••••••• S••••• C••••••• I••• CRD 10489 | Sausalito, CA | independent RIA | $606M | 96% | 8 | $75.7M | 2 | 0 |
| A• A•••• M••••••••• I••• CRD 110342 | West Hollywood, CA | independent RIA | $603M | 56% | 3 | $201M | 1 | 3 |
| A•••••••• L••• A•••••••• L•• CRD 337868 | Fresno, CA | other | $602M | 0.0% | 0 | Not computed | 1 | 0 |
| P••••••••• G••••• A• D••••••• O• P••••••••• W••••• M••••••••• CRD 147814 | Carmel, CA | independent RIA | $599M | 99% | 7 | $85.5M | 0 | 0 |
| M••••••• R••• P••••••••• CRD 141422 | San Diego, CA | independent RIA | $597M | 77% | 6 | $99.5M | 1 | 0 |
| T•••••••• W••••• A••••••• CRD 292016 | Walnut Creek, CA | independent RIA | $597M | 96% | 5 | $119M | 1 | 0 |
| O••••••••• C•••••• M••••••••• L••• CRD 309209 | Burlingame, CA | asset manager | $594M | 0.0% | 0 | Not computed | 0 | 12 |
| I•••••••• C•••••• P•••••••• L••• CRD 309419 | San Francisco, CA | asset manager | $591M | 0.0% | 0 | Not computed | 0 | 4 |
| S•••••• P••••••• M••••••••• L•• CRD 314618 | Palo Alto, CA | asset manager | $590M | 0.0% | 0 | Not computed | 0 | 10 |
| M•• C••••••• L•• CRD 160782 | Newport Beach, CA | asset manager | $590M | 0.0% | 0 | Not computed | 0 | 1 |
| C••••• R••• W••••• M••••••••• L•• CRD 199513 | Walnut Creek, CA | independent RIA | $587M | 98% | 7 | $83.9M | 5 | 0 |
| C•••••••• C••••••• L•• CRD 314510 | Santa Barbara, CA | asset manager | $587M | 0.0% | 0 | Not computed | 0 | 4 |
| A•• M••••••••• L•• CRD 305659 | El Segundo, CA | other | $586M | 0.0% | 0 | Not computed | 0 | 0 |
| R•••• F••••••• A•••• M••••••••• CRD 155810 | Los Altos, CA | independent RIA | $585M | 95% | 2 | $292M | 0 | 0 |
| P••••••• W••••• A••••••• CRD 308292 | San Diego, CA | independent RIA | $583M | 99% | 5 | $117M | 0 | 0 |
| A••••• C•••••• M••••••••• CRD 107501 | Menlo Park, CA | independent RIA | $582M | 96% | 3 | $194M | 0 | 0 |
| S•••••• W••••• M••••••••• I••• CRD 143425 | San Rafael, CA | independent RIA | $582M | 100% | 3 | $194M | 0 | 0 |
| B•••• C•••••• M••••••••• L•• CRD 330106 | San Diego, CA | asset manager | $578M | 0.0% | 0 | Not computed | 1 | 2 |
| A••••••• G••••• L•• CRD 159677 | Beverly Hills, CA | asset manager | $577M | 0.0% | 0 | Not computed | 0 | 9 |
| W•••••• S•••••••• L•• CRD 147864 | Los Angeles, CA | asset manager | $575M | 0.0% | 0 | Not computed | 0 | 2 |
| C••••• A••••••• G••••• L•• CRD 151695 | Santa Barbara, CA | independent RIA | $574M | 74% | 3 | $191M | 0 | 0 |
| G••• S••••••• A••••••••• I••• CRD 42186 | Lake Forest, CA | mixed wealth | $572M | 26% | 5 | $114M | 0 | 0 |
| L•••••••• P••••••• • C•• CRD 332598 | Los Angeles, CA | mixed wealth | $572M | 30% | 1 | $572M | 0 | 8 |
| P•••••• P•••• A••••••• L•• CRD 304375 | Santa Barbara, CA | independent RIA | $572M | 98% | 13 | $44.0M | 0 | 5 |
| T•• I••••••••• I••• CRD 284082 | San Jose, CA | independent RIA | $571M | 100% | 3 | $190M | 0 | 0 |
| B•• H•••• C•••••• M••••••••• L•• CRD 158603 | San Francisco, CA | asset manager | $570M | 0.0% | 0 | Not computed | 0 | 14 |
| P••••••• W••••• CRD 329135 | San Jose, CA | independent RIA | $569M | 94% | 9 | $63.2M | 1 | 0 |
| P••• 8• I••••••••• P•••••••• L•• CRD 169316 | San Francisco, CA | other | $568M | 2.8% | 0 | Not computed | 0 | 7 |
| H•••••••• F•••••••• G•••• CRD 317862 | Thousand Oaks, CA | independent RIA | $568M | 100% | 5 | $114M | 1 | 0 |
| F••• CRD 325982 | San Francisco, CA | independent RIA | $567M | 96% | 8 | $70.9M | 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.