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 |
|---|---|---|---|---|---|---|---|---|
| Ibn Asset Management, LLC CRD 290114 | Thousand Oaks, CA | other | $508M | 0.0% | 6 | $84.7M | 0 | 0 |
| Solace Capital Partners, L.P. CRD 175319 | El Segundo, CA | asset manager | $508M | 0.0% | 0 | Not computed | 0 | 1 |
| Financial Designs Corporation CRD 14829 | Claremont, CA | independent RIA | $508M | 100% | 3 | $169M | 2 | 0 |
| N••• H•••••• C•••••• CRD 321649 | San Francisco, CA | asset manager | $506M | 0.0% | 0 | Not computed | 0 | 4 |
| D••••• W••••• M••••••••• CRD 337471 | Newport Beach, CA | independent RIA | $504M | 97% | 8 | $63.0M | 1 | 0 |
| W••••••••• A•••• M••••••••• I•• CRD 106176 | Los Angeles, CA | independent RIA | $504M | 93% | 3 | $168M | 2 | 0 |
| P••••••••• F•••••••• G••••• I••• CRD 339321 | San Ramon, CA | independent RIA | $503M | 98% | 8 | $62.9M | 2 | 0 |
| P••••••••• E••••• F••• A•••••••• L•• CRD 300968 | Irvine, CA | asset manager | $503M | 0.0% | 0 | Not computed | 0 | 4 |
| B••••••• C•••••• M••••••••• CRD 110293 | Walnut Creek, CA | independent RIA | $503M | 99% | 2 | $251M | 0 | 0 |
| P•••••• W••••• S••••••••• L•• CRD 289437 | Calabasas, CA | independent RIA | $500M | 100% | 4 | $125M | 0 | 0 |
| G••••••••• P•••••••• L•• CRD 136566 | Larkspur, CA | asset manager | $499M | 0.0% | 0 | Not computed | 0 | 1 |
| P••••••• C•••••• M••••••••• L•• CRD 304501 | San Diego, CA | independent RIA | $499M | 98% | 8 | $62.4M | 2 | 0 |
| P••••••• F••• A••••••• L•• CRD 338152 | San Francisco, CA | asset manager | $496M | 0.0% | 0 | Not computed | 0 | 0 |
| S••••••••• C•••••• M••••••••• C•••••• I•• L• CRD 284310 | Menlo Park, CA | asset manager | $496M | 0.0% | 0 | Not computed | 0 | 7 |
| I••••••• I••••••••• T••••••••• L•• CRD 112328 | Mountain View, CA | asset manager | $495M | 3.3% | 1 | $495M | 0 | 0 |
| J•• W••••• M••••••••• L•• CRD 112474 | Santa Rosa, CA | independent RIA | $495M | 98% | 1 | $495M | 0 | 0 |
| A•••••• C••••••• L•• CRD 299075 | Los Angeles, CA | asset manager | $491M | 0.0% | 0 | Not computed | 0 | 13 |
| O•• D••••• A•••••••• I••• CRD 170392 | San Diego, CA | independent RIA | $489M | 98% | 7 | $69.9M | 0 | 0 |
| W••••••• C•••••• M••••••••• L•• CRD 140089 | San Francisco, CA | asset manager | $489M | 0.0% | 0 | Not computed | 0 | 2 |
| G•••••• W••••• A•••••••• L•• CRD 281775 | Mill Valley, CA | independent RIA | $489M | 100% | 5 | $97.7M | 1 | 0 |
| F•••••••• A•••••••• I••• CRD 119636 | Oakland, CA | independent RIA | $488M | 100% | 1 | $488M | 0 | 0 |
| B••• • B•••• W••••• A•••••••• L•• CRD 175419 | Newport Beach, CA | independent RIA | $487M | 99% | 3 | $162M | 0 | 0 |
| R•••••••• S•••••••• S••••• S• I•• CRD 105774 | San Francisco, CA | independent RIA | $487M | 99% | 4 | $122M | 0 | 0 |
| I•••••••• E••••• L• CRD 315618 | Los Angeles, CA | asset manager | $486M | 0.0% | 0 | Not computed | 0 | 3 |
| N•• G•••• CRD 124186 | San Francisco, CA | independent RIA | $485M | 90% | 4 | $121M | 0 | 0 |
| V•• S•••• • T•••• I•• CRD 106228 | San Francisco, CA | independent RIA | $483M | 85% | 3 | $161M | 0 | 0 |
| T•••••• W••••• A•••••••• L•• CRD 154861 | San Luis Obispo, CA | independent RIA | $480M | 100% | 4 | $120M | 0 | 0 |
| A•••• A•••• F•••••••• A••••••• CRD 149683 | Sacramento, CA | independent RIA | $480M | 99% | 2 | $240M | 1 | 0 |
| E•••••• W••••• M••••••••• CRD 165639 | Berkeley, CA | independent RIA | $478M | 97% | 4 | $119M | 0 | 0 |
| B••••• W••••• M••••••••• G•••• CRD 132189 | Bakersfield, CA | independent RIA | $477M | 64% | 7 | $68.2M | 0 | 0 |
| A•••• C•••••• L•• CRD 314080 | San Francisco, CA | asset manager | $477M | 0.0% | 0 | Not computed | 0 | 1 |
| W••••• A••••••••• L•• CRD 125243 | Pasadena, CA | independent RIA | $476M | 96% | 1 | $476M | 0 | 0 |
| S•• R••• E••••• A••••••• CRD 309932 | Los Angeles, CA | asset manager | $474M | 0.0% | 1 | $474M | 0 | 5 |
| L••••••••• F•••••••• S••••••• I•• CRD 110367 | Brea, CA | independent RIA | $473M | 98% | 4 | $118M | 4 | 0 |
| T•• S••••••• G•••• CRD 111782 | Pasadena, CA | independent RIA | $471M | 100% | 4 | $118M | 0 | 0 |
| I••••••••• W••••• M••••••••• CRD 149576 | San Diego, CA | independent RIA | $471M | 98% | 10 | $47.1M | 8 | 0 |
| W••••••••• L•• CRD 140004 | Redwood City, CA | independent RIA | $467M | 100% | 2 | $233M | 0 | 0 |
| A•••• S•••••••• I••••••••• A••••••• CRD 156541 | South San Francisco, CA | independent RIA | $466M | 92% | 4 | $117M | 0 | 0 |
| C••••••• • C•••••• I•• CRD 105406 | San Diego, CA | mixed wealth | $466M | 48% | 2 | $233M | 0 | 0 |
| A•••••••• C•••••• M••••••••• L•• CRD 285193 | Marina Del Rey, CA | asset manager | $465M | 0.0% | 0 | Not computed | 1 | 9 |
| V••• A•••• M••••••••• L•• CRD 288445 | Sausalito, CA | asset manager | $464M | 0.0% | 0 | Not computed | 0 | 0 |
| M•• A••••••• L•• CRD 163833 | Carlsbad, CA | independent RIA | $464M | 94% | 4 | $116M | 1 | 0 |
| M•••••• W••••• S••••••••• CRD 136029 | Santa Barbara, CA | independent RIA | $463M | 95% | 8 | $57.9M | 2 | 0 |
| T•••••••• L•• CRD 327611 | San Diego, CA | independent RIA | $463M | 98% | 8 | $57.8M | 1 | 0 |
| S••••• A•••• M••••••••• CRD 108685 | Oakhurst, CA | independent RIA | $462M | 87% | 1 | $462M | 0 | 0 |
| R•• I••• G•••• M••••••••• L•• CRD 317920 | Menlo Park, CA | asset manager | $462M | 0.0% | 0 | Not computed | 0 | 4 |
| A•• M••••••••• L•• CRD 170193 | Los Angeles, CA | asset manager | $461M | 0.0% | 0 | Not computed | 1 | 0 |
| F••••• C•••••• CRD 333924 | Los Angeles, CA | asset manager | $461M | 0.0% | 0 | Not computed | 0 | 7 |
| S••••••• F••• A•••••••• L•• CRD 158634 | Santa Monica, CA | other | $461M | 0.0% | 0 | Not computed | 2 | 4 |
| B••• W••••• G••••• I•• CRD 165224 | San Diego, CA | independent RIA | $460M | 98% | 3 | $153M | 2 | 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.