DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Firms
SEC-registered investment advisers
One 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.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Aristotle Capital Management, LLC CRD 109876 | Los Angeles, CA | other | $44B | 14% | 20 | $2.2B | 2 | 1 |
| Pacific Life Fund Advisors LLC CRD 105169 | Newport Beach, CA | asset manager | $43B | 0.0% | 0 | n/a | 0 | 1 |
| Capital Group Private Client Services, Inc. CRD 312837 | Los Angeles, CA | independent RIA | $43B | 74% | 105 | $407M | 6 | 1 |
| L••• CRD 269866 | Los Angeles, CA | independent RIA | $43B | 90% | 318 | $134M | 45 | 22 |
| C••••• CRD 107687 | San Francisco, CA | institutional | $42B | 0.0% | 0 | n/a | 5 | 0 |
| S•••••••• G•••• R••• A••••• L• CRD 281695 | La Jolla, CA | asset manager | $41B | 0.0% | 0 | n/a | 9 | 59 |
| P•••••••• I••••••••• L•• CRD 316904 | San Francisco, CA | asset manager | $41B | 0.6% | 12 | $3.4B | 0 | 0 |
| B•••••• I••••••••• P•••••••• L• CRD 105404 | La Jolla, CA | other | $41B | 8.5% | 24 | $1.7B | 1 | 18 |
| L•• A•••••• C•••••• M••••••••• L•• CRD 119033 | Los A••••••, CA | asset manager | $41B | 0.0% | 1 | $41B | 0 | 5 |
| K•••• A••••••• R•••••• I••••••••• M••••••••• L•• CRD 104599 | Los Angeles, CA | mixed wealth | $39B | 20% | 36 | $1.1B | 22 | 0 |
| T•• I••••••••• M••••••••• C•••••• L•• CRD 106546 | Los Angeles, CA | asset manager | $39B | 6.5% | 40 | $970M | 6 | 0 |
| W••••••••• R••••••••• A••••••• CRD 121254 | Aliso Viejo, CA | institutional | $39B | 6.4% | 145 | $266M | 50 | 0 |
| A•••• M••••••••• C•• L•••• CRD 331435 | Palo Alto, CA | asset manager | $38B | 0.0% | 0 | n/a | 1 | 83 |
| C••••••• P••••••• I••••••••• A•••••••• L•• CRD 126777 | Newport Beach, CA | i••••••••• manager | $38B | 1.4% | 95 | $395M | 23 | 0 |
| D•••••••• I••••••••• G••••• L•• CRD 161443 | San Francisco, CA | asset manager | $37B | 0.0% | 0 | n/a | 2 | 39 |
| H••••••• A•• W•••• C•••••• M••••••••• L•• CRD 114649 | Los Angeles, CA | asset manager | $37B | 0.0% | 0 | n/a | 5 | 2 |
| W••••••• P••••••• L• CRD 301480 | San Francisco, CA | asset manager | $37B | 0.0% | 0 | n/a | 3 | 2 |
| N•• E••••••••• A••••••••• CRD 161004 | Menlo Park, CA | asset manager | $36B | 0.0% | 0 | n/a | 5 | 27 |
| A••••••• F••••••••• L••• CRD 111167 | Folsom, CA | BD affiliated | $34B | 96% | 318 | $106M | 35 | 0 |
| A••• C••••••••• R••• E••••• M••••••••• L•• CRD 159050 | Los Angeles, CA | asset manager | $32B | 0.0% | 0 | n/a | 14 | 5 |
| S•• A•••• M••••••••• CRD 124567 | San Francisco, CA | other | $32B | 0.0% | 8 | $4.0B | 7 | 0 |
| R••••••• A••••••••• CRD 120440 | Newport Beach, CA | asset manager | $32B | 0.0% | 0 | n/a | 0 | 0 |
| F•••• P•••••• A•••••••• L• CRD 141823 | El Segundo, CA | asset manager | $32B | 0.0% | 0 | n/a | 17 | 13 |
| F••••• • T••••• A•••• M••••••••• I•• CRD 107033 | San Mateo, CA | asset manager | $30B | 7.9% | 0 | n/a | 1 | 0 |
| B•••• P•••• C•••••• M••••••••• L• CRD 148885 | Santa Monica, CA | asset manager | $30B | 0.0% | 0 | n/a | 3 | 43 |
| V••••• C•••••• M••••••••• L• CRD 147443 | Berkeley, CA | asset manager | $29B | 0.0% | 0 | n/a | 3 | 17 |
| A•••••••• P•••••• C••••••• L•• CRD 298050 | Newport Beach, CA | asset manager | $27B | 0.0% | 1 | $27B | 0 | 6 |
| H•• I••••••••• I••••••••• L•• CRD 292451 | Palo Alto, CA | independent RIA | $25B | 53% | 1 | $25B | 0 | 0 |
| M••••• C•••••• M••••••••• L•• CRD 156855 | Menlo Park, CA | asset manager | $24B | 0.0% | 1 | $24B | 0 | 29 |
| A•••••••• CRD 156498 | Menlo Park, CA | asset manager | $24B | 0.0% | 0 | n/a | 4 | 32 |
| H•••••• B••••• P••••••• L•• CRD 110877 | San Francisco, CA | asset manager | $24B | 0.0% | 0 | n/a | 1 | 45 |
| K• I••••••••• M••••••••• L•• CRD 161953 | Manhattan Beach, CA | asset manager | $24B | 0.0% | 0 | n/a | 0 | 26 |
| J••••• P••• G•••• L•• CRD 287755 | San Francisco, CA | independent RIA | $23B | 67% | 13 | $1.8B | 3 | 45 |
| S••• CRD 108163 | Los Angeles, CA | BD affiliated | $23B | 96% | 140 | $161M | 25 | 0 |
| T•• CRD 160389 | Menlo Park, CA | asset manager | $23B | 0.0% | 0 | n/a | 2 | 34 |
| P•••• F•••••• A••••••• L••• CRD 159971 | San Francisco, CA | asset manager | $22B | 0.0% | 0 | n/a | 2 | 32 |
| S••••••••• C•••••• G••••• L•• CRD 149002 | San Francisco, CA | asset manager | $22B | 0.0% | 0 | n/a | 4 | 10 |
| P•••• C•••••• M••••••••• L•• CRD 147101 | Westlake Village, CA | asset manager | $21B | 0.0% | 0 | n/a | 1 | 0 |
| C••• A•• V•••• A•••••••• L•• CRD 156093 | San Francisco, CA | asset manager | $21B | 0.0% | 0 | n/a | 3 | 2 |
| R••••• C•••••• CRD 165308 | Palo Alto, CA | asset manager | $21B | 0.0% | 0 | n/a | 1 | 67 |
| B•••• S••••• A•••••••• L•• CRD 128066 | San Francisco, CA | independent RIA | $21B | 87% | 0 | n/a | 0 | 0 |
| M••••• F•••••••• M••••••••• L•• CRD 323605 | Carlsbad, CA | institutional | $20B | 0.1% | 0 | n/a | 5 | 0 |
| P•••• L•• CRD 157505 | Los Angeles, CA | asset manager | $20B | 0.0% | 0 | n/a | 5 | 0 |
| A••• C•••••• M••••••••• I• L•• CRD 157292 | Los Angeles, CA | asset manager | $20B | 0.0% | 0 | n/a | 22 | 0 |
| A••••• I•••••••• CRD 157255 | San Francisco, CA | asset manager | $19B | 0.0% | 0 | n/a | 2 | 16 |
| A•••••••• C•••••• M••••••••• L• CRD 160017 | Menlo Park, CA | asset manager | $19B | 0.0% | 0 | n/a | 1 | 33 |
| C••••••••• F•••••••• M••••••••• L•• CRD 159641 | Los Gatos, CA | independent RIA | $19B | 93% | 0 | n/a | 0 | 0 |
| G•••••••• CRD 165941 | San Francisco, CA | asset manager | $18B | 0.0% | 0 | n/a | 2 | 57 |
| A••••••••• L•• CRD 146720 | Los Angeles, CA | independent RIA | $18B | 93% | 73 | $247M | 9 | 0 |
| M•••••• A•••••••• L•• CRD 308960 | San Francisco, CA | other | $18B | 0.1% | 7 | $2.6B | 0 | 0 |
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1,869 advisers match.