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 |
|---|---|---|---|---|---|---|---|---|
| Alteri Wealth CRD 331100 | Westlake Village, CA | independent RIA | $566M | 97% | 3 | $189M | 0 | 0 |
| Jackson Square Capital, LLC CRD 300314 | San Francisco, CA | independent RIA | $564M | 94% | 5 | $113M | 0 | 0 |
| Tortuga Advisers LLC CRD 137514 | Simi Valley, CA | independent RIA | $564M | 94% | 0 | Not computed | 0 | 0 |
| T••••••••• W•••••• L•• CRD 288593 | Sacramento, CA | independent RIA | $561M | 99% | 5 | $112M | 0 | 0 |
| A•••• C•••••• R••• E•••••• L•• CRD 298333 | Los Angeles, CA | asset manager | $560M | 0.0% | 0 | Not computed | 1 | 0 |
| O•••• P••• A•••••••• L•• CRD 338933 | Manhattan Beach, CA | independent RIA | $560M | 97% | 6 | $93.3M | 1 | 0 |
| I••••• I••••••••• A•••••• L•• CRD 149929 | San Francisco, CA | asset manager | $559M | 0.0% | 0 | Not computed | 0 | 0 |
| L••• L••• W••••• M••••••••• L•• CRD 171051 | Beverly Hills, CA | independent RIA | $558M | 100% | 5 | $112M | 1 | 0 |
| T•••••• C•••••• M••••••••• L•• CRD 143097 | Santa Barbara, CA | independent RIA | $557M | 78% | 5 | $111M | 2 | 0 |
| S• E••••• P••••••• M••••••••• L•• CRD 162396 | San Francisco, CA | asset manager | $556M | 0.0% | 0 | Not computed | 0 | 7 |
| I•• P••••••• I••• CRD 328607 | Venice, CA | asset manager | $555M | 0.0% | 0 | Not computed | 0 | 47 |
| A••••• G••••• A•••• M••••••••• L•• CRD 107785 | San Francisco, CA | asset manager | $554M | 0.0% | 0 | Not computed | 0 | 2 |
| A•••• P•••••••• I•• CRD 111535 | Los Alamitos, CA | independent RIA | $553M | 100% | 5 | $111M | 0 | 0 |
| C•••••••• P••••••• CRD 125401 | Petaluma, CA | independent RIA | $553M | 95% | 2 | $277M | 0 | 0 |
| O•••• F•••••••• G••••• L•• CRD 164147 | Santa Barbara, CA | independent RIA | $552M | 98% | 5 | $110M | 1 | 0 |
| D••••• C••••••• I••• CRD 177523 | Napa, CA | independent RIA | $551M | 99% | 6 | $91.8M | 0 | 0 |
| C•••• C•• C••••••• L• CRD 169234 | San Francisco, CA | asset manager | $548M | 0.2% | 0 | Not computed | 0 | 1 |
| C••• W••••• A••••••• CRD 330731 | Long Beach, CA | independent RIA | $548M | 89% | 10 | $54.8M | 4 | 0 |
| J•• W••••• A••••••• CRD 333645 | La Jolla, CA | independent RIA | $547M | 90% | 6 | $91.1M | 1 | 0 |
| S•••• W••••• M••••••••• CRD 334084 | Emeryville, CA | independent RIA | $545M | 88% | 3 | $182M | 0 | 0 |
| S••••• O••••• L•• CRD 313829 | Ripon, CA | independent RIA | $545M | 52% | 3 | $182M | 0 | 0 |
| A••••••• L•••• W••••• M••••••••• L•• CRD 130931 | Danville, CA | independent RIA | $543M | 99% | 1 | $543M | 0 | 0 |
| A••• C•••••• CRD 300100 | Palo Alto, CA | asset manager | $540M | 0.0% | 0 | Not computed | 0 | 10 |
| L••• I••••••••• C•••••• CRD 106635 | Pasadena, CA | independent RIA | $540M | 99% | 2 | $270M | 0 | 0 |
| K• F••• C•••••• M••••••••• L•• CRD 318110 | Los Angeles, CA | asset manager | $539M | 0.0% | 1 | $539M | 0 | 10 |
| L••••• C•••••• G•••• C••••••••• I••• CRD 111436 | Los Gatos, CA | mixed wealth | $536M | 38% | 3 | $179M | 1 | 0 |
| T•••••• W••••• M••••••••• L•• CRD 308457 | Calabasas, CA | independent RIA | $535M | 97% | 3 | $178M | 0 | 0 |
| P••••••• C••••••• L•• CRD 134484 | San Francisco, CA | asset manager | $532M | 0.0% | 0 | Not computed | 0 | 14 |
| D•• W••••• M••••••••• L•• CRD 302110 | Indian Wells, CA | independent RIA | $532M | 100% | 5 | $106M | 0 | 0 |
| C•••• P•••••• W••••• A•••••••• L•• CRD 310825 | San Luis Obispo, CA | independent RIA | $532M | 80% | 4 | $133M | 0 | 0 |
| W••••• C•••• F•••••••• CRD 285670 | San Diego, CA | independent RIA | $529M | 98% | 5 | $106M | 0 | 0 |
| A•••••• S••••••• G••••• L•• CRD 146255 | San Diego, CA | independent RIA | $527M | 74% | 2 | $263M | 0 | 1 |
| R••••••••• W••••••• G•••• CRD 297255 | Pasadena, CA | institutional | $527M | 0.1% | 2 | $263M | 1 | 0 |
| S•• B••••••• C••••••••• CRD 288129 | Aliso Viejo, CA | institutional | $524M | 0.0% | 0 | Not computed | 0 | 0 |
| D•• I••••••••• M••••••••• CRD 149096 | Solana Beach, CA | independent RIA | $524M | 60% | 5 | $105M | 1 | 0 |
| V•••• P••••••• CRD 318319 | San Francisco, CA | asset manager | $522M | 0.0% | 0 | Not computed | 1 | 3 |
| R••••• S•••••••• L•• CRD 158301 | San Francisco, CA | asset manager | $521M | 0.0% | 0 | Not computed | 0 | 1 |
| P••• C•••••• CRD 121168 | San Francisco, CA | asset manager | $521M | 0.0% | 0 | Not computed | 3 | 5 |
| G••••••• C••••••• L•• CRD 323354 | Mill Valley, CA | other | $520M | 0.0% | 0 | Not computed | 0 | 1 |
| P•••••••• W••••• M••••••••• CRD 148052 | Granite Bay, CA | independent RIA | $518M | 99% | 5 | $104M | 4 | 0 |
| S••••• C•••••• L• CRD 300755 | San Francisco, CA | mixed wealth | $518M | 22% | 0 | Not computed | 0 | 1 |
| N•••••••• E••• CRD 332971 | Downey, CA | asset manager | $517M | 0.0% | 2 | $259M | 0 | 0 |
| C•••••• M••••••••• C•••••• CRD 110399 | Woodland Hills, CA | mixed wealth | $517M | 35% | 2 | $259M | 0 | 0 |
| G•••••• F••• A••••••••• CRD 142917 | Lafayette, CA | institutional | $517M | 0.0% | 0 | Not computed | 0 | 0 |
| P•••••• I•••••••• CRD 127284 | Lake Forest, CA | independent RIA | $516M | 100% | 3 | $172M | 0 | 0 |
| P•••• A•••••••• I••• CRD 286474 | Studio City, CA | independent RIA | $515M | 100% | 5 | $103M | 0 | 0 |
| G•••••• I••••••••• P••••••• L•• CRD 311134 | Burlingame, CA | institutional | $515M | 0.0% | 0 | Not computed | 0 | 1 |
| D•• P•••• C•••••• CRD 305010 | Los Angeles, CA | independent RIA | $513M | 90% | 5 | $103M | 1 | 0 |
| C•••••• P•••• I••••••••• M••••••••• L• CRD 316549 | Mill Valley, CA | institutional | $512M | 0.0% | 0 | Not computed | 0 | 2 |
| R••••• L• B•••••• I••• D•• R••••• B••••• • A••••••••• CRD 109766 | Pasadena, CA | independent RIA | $511M | 99% | 2 | $255M | 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.