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 |
|---|---|---|---|---|---|---|---|---|
| Seaside Wealth Management, Inc. CRD 271039 | Carlsbad, CA | independent RIA | $459M | 100% | 7 | $65.6M | 0 | 0 |
| True Wave Financial Planners CRD 130163 | Sacramento, CA | independent RIA | $456M | 88% | 3 | $152M | 1 | 0 |
| Provenance Management Co., LP CRD 307347 | Beverly Hills, CA | asset manager | $454M | 0.0% | 0 | Not computed | 1 | 8 |
| C••••••••• W••••• M••••••••• I••• CRD 127383 | Los Angeles, CA | independent RIA | $454M | 99% | 9 | $50.5M | 1 | 0 |
| A••••• G••••• A•••• M••••••••• L•• CRD 308166 | West Hollywood, CA | mixed wealth | $452M | 30% | 4 | $113M | 0 | 13 |
| R•• W••••• M••••••••• L•• CRD 291029 | Newport Beach, CA | independent RIA | $452M | 95% | 4 | $113M | 0 | 0 |
| P•••••• W••••• A••••••• CRD 141971 | Fresno, CA | independent RIA | $451M | 97% | 2 | $226M | 5 | 1 |
| K•••••• I••••••••• M••••••••• I••• CRD 283034 | Los Angeles, CA | independent RIA | $451M | 99% | 30 | $15.0M | 19 | 0 |
| N•••• M••••••••• L•• CRD 312637 | Hermosa Beach, CA | asset manager | $450M | 0.0% | 0 | Not computed | 0 | 3 |
| S••••••••• A•• C••••••• I••• CRD 111453 | San Clemente, CA | independent RIA | $447M | 99% | 3 | $149M | 1 | 0 |
| D•• I••••••••• A•••••••• L•• CRD 332680 | Santa Monica, CA | institutional | $446M | 0.0% | 0 | Not computed | 0 | 0 |
| R•••••• W••••• A•••••••• L•• CRD 308827 | Menlo Park, CA | independent RIA | $446M | 91% | 3 | $149M | 1 | 0 |
| S••••••• W••••• A••••••• G••••• L•• CRD 298632 | Granite Bay, CA | independent RIA | $445M | 94% | 3 | $148M | 0 | 0 |
| O•••••• W••••• M••••••••• I••• CRD 292849 | Beverly Hills, CA | independent RIA | $444M | 86% | 5 | $88.8M | 0 | 0 |
| P••••• B••• C••••••• L•• CRD 301968 | Newport Beach, CA | independent RIA | $444M | 93% | 2 | $222M | 0 | 0 |
| G••••••••• W••••• S••••••••• I••• CRD 329018 | Danville, CA | independent RIA | $443M | 95% | 2 | $222M | 0 | 0 |
| S••••••••• W••••• M••••••••• I••• CRD 336637 | Walnut Creek, CA | independent RIA | $443M | 100% | 3 | $148M | 0 | 0 |
| L•••••••• F•••••••• CRD 153852 | Claremont, CA | independent RIA | $443M | 96% | 7 | $63.2M | 3 | 0 |
| F••••• I••••••••• A•••••••• L•• CRD 158307 | San Francisco, CA | asset manager | $442M | 0.0% | 1 | $442M | 0 | 4 |
| A• A•••• A•••••••• L•• CRD 154406 | Los Angeles, CA | independent RIA | $440M | 94% | 2 | $220M | 2 | 0 |
| O•••••••• C•••••• M••••••••• CRD 105421 | San Francisco, CA | independent RIA | $439M | 63% | 0 | Not computed | 0 | 0 |
| G••••••••• C•••••• M••••••••• L•• CRD 299383 | Mill Valley, CA | asset manager | $439M | 0.0% | 0 | Not computed | 1 | 4 |
| B•••••••• I•••••••• L•• CRD 151422 | San Francisco, CA | independent RIA | $436M | 100% | 2 | $218M | 2 | 0 |
| W•••••• C•••••• M••••••••• L••• CRD 120545 | Sausalito, CA | independent RIA | $436M | 98% | 3 | $145M | 0 | 1 |
| C••••• C•••••• P•••••••• L•• CRD 123907 | San Diego, CA | independent RIA | $434M | 85% | 8 | $54.3M | 4 | 3 |
| S••••••• F••••• O••••• CRD 335152 | Coronado, CA | independent RIA | $434M | 99% | 2 | $217M | 0 | 0 |
| B•• V• M••••••••• L•• CRD 298473 | Menlo Park, CA | asset manager | $433M | 0.0% | 0 | Not computed | 0 | 12 |
| L••••••••• F•••••• CRD 318821 | Palo Alto, CA | asset manager | $433M | 0.0% | 0 | Not computed | 0 | 4 |
| E•••••• C•••••• CRD 161251 | Newport Beach, CA | asset manager | $432M | 0.0% | 0 | Not computed | 0 | 6 |
| T•••••• A•••••••• I••• CRD 155749 | Riverside, CA | independent RIA | $432M | 94% | 6 | $71.9M | 0 | 0 |
| F••••••• C••••••• L• CRD 332205 | San Francisco, CA | asset manager | $431M | 0.0% | 0 | Not computed | 0 | 0 |
| A•••••••• F••••• O•••••• L•• CRD 168744 | Marina Del Rey, CA | independent RIA | $431M | 94% | 14 | $30.8M | 8 | 2 |
| A••••• F•••••••• CRD 327724 | Granite Bay, CA | independent RIA | $428M | 97% | 3 | $143M | 1 | 0 |
| B•••• I••••••••• G••••• L•• CRD 281985 | Sherman Oaks, CA | institutional | $427M | 0.0% | 0 | Not computed | 2 | 2 |
| O•••••••• F•••••••• S•••••••• L•• CRD 172520 | San Rafael, CA | independent RIA | $427M | 99% | 6 | $71.2M | 2 | 0 |
| T•• A•••• B••••• F•••••• M••••••••• C•••••• L•• CRD 332802 | Los Angeles, CA | asset manager | $425M | 0.0% | 0 | Not computed | 1 | 0 |
| S••••• W••••• M••••••••• G•••• CRD 332139 | La Jolla, CA | independent RIA | $425M | 73% | 2 | $212M | 0 | 0 |
| C••••• C•••• W•••••• L•• CRD 298439 | La Jolla, CA | independent RIA | $424M | 88% | 5 | $84.7M | 2 | 0 |
| B•••••••• • B•••••••• F•••••••• A••••••• I••• CRD 287683 | San Luis Obispo, CA | independent RIA | $423M | 91% | 8 | $52.9M | 3 | 0 |
| M••••••• A•••• M••••••••• I••• CRD 118285 | Redwood Shores, CA | independent RIA | $422M | 100% | 2 | $211M | 0 | 0 |
| R•••••• A••••••• CRD 174447 | Redding, CA | independent RIA | $421M | 98% | 11 | $38.2M | 5 | 0 |
| G••••• P•••••••• M••••••••• CRD 269910 | Tiburon, CA | independent RIA | $420M | 95% | 7 | $60.1M | 0 | 0 |
| P•••••• C•••••• R•••••••• L•• CRD 125909 | San Francisco, CA | asset manager | $420M | 0.0% | 0 | Not computed | 0 | 3 |
| S•••••• I••••••••• P••••••• CRD 284125 | San Diego, CA | mixed wealth | $419M | 22% | 5 | $83.8M | 0 | 0 |
| H•••• A••••••• L•• CRD 308341 | Berkeley, CA | asset manager | $418M | 0.0% | 0 | Not computed | 0 | 1 |
| F••••••• W••••• P••••••• L•• CRD 321777 | Newport Beach, CA | independent RIA | $418M | 100% | 2 | $209M | 0 | 0 |
| E•••• W••••• M••••••••• G•••• I••• CRD 327052 | Valencia, CA | independent RIA | $418M | 84% | 5 | $83.5M | 2 | 0 |
| D••••••• K••• C•••••• M••••••••• L•• CRD 290062 | Sherman Oaks, CA | independent RIA | $415M | 97% | 3 | $138M | 1 | 0 |
| F•••• W••••••• S••••••••• M••••••••• I••• CRD 171971 | Pasadena, CA | independent RIA | $415M | 79% | 5 | $83.1M | 0 | 2 |
| F••••••• P•••••• W••••• L•• CRD 325690 | Los Altos, CA | independent RIA | $415M | 100% | 2 | $208M | 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.