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 |
|---|---|---|---|---|---|---|---|---|
| Center Capital Partners LLC CRD 315464 | Beverly Hills, CA | asset manager | $415M | 0.0% | 0 | Not computed | 0 | 7 |
| Western Financial Corporation CRD 6118 | San Diego, CA | independent RIA | $414M | 89% | 3 | $138M | 2 | 0 |
| Oak Asset Management, LLC CRD 287856 | Westlake Village, CA | independent RIA | $414M | 98% | 4 | $103M | 2 | 0 |
| A•••••• P••••••• L•• CRD 322882 | Santa Monica, CA | asset manager | $414M | 0.0% | 0 | Not computed | 0 | 5 |
| T•• B••••• • C•••••• CRD 140722 | San Diego, CA | independent RIA | $413M | 100% | 2 | $207M | 0 | 0 |
| P•••• • B•••• F•••••••• CRD 170020 | La Mesa, CA | independent RIA | $412M | 99% | 4 | $103M | 0 | 0 |
| E•••••• P•••••• W••••• CRD 142945 | Cupertino, CA | independent RIA | $411M | 100% | 2 | $205M | 0 | 0 |
| E•• M••••••••• S••••••• L•• CRD 165564 | San Mateo, CA | asset manager | $411M | 0.0% | 0 | Not computed | 1 | 5 |
| L•••••• C•••••• CRD 316754 | San Francisco, CA | independent RIA | $410M | 79% | 2 | $205M | 0 | 5 |
| O•••••• C•••••• M••••••••• L••• CRD 165833 | San Francisco, CA | asset manager | $410M | 0.0% | 0 | Not computed | 0 | 1 |
| B••• W••••• M••••••••• L•• CRD 293990 | Sacramento, CA | independent RIA | $410M | 81% | 5 | $82.0M | 0 | 0 |
| N••••••• L•• CRD 168716 | Redondo Beach, CA | independent RIA | $408M | 99% | 2 | $204M | 0 | 0 |
| W••••• W••••• M••••••••• I••• CRD 146126 | Manhattan Beach, CA | independent RIA | $407M | 98% | 5 | $81.4M | 3 | 0 |
| O•••• I••••••••• M••••••••• •••••• L••• CRD 158511 | San Francisco, CA | asset manager | $405M | 0.0% | 0 | Not computed | 0 | 1 |
| C•••••• T•••• A••••••• CRD 134174 | San Rafael, CA | independent RIA | $403M | 100% | 3 | $134M | 2 | 0 |
| O••••• G••••• A•••••••• I••• CRD 308150 | Los Angeles, CA | other | $402M | 0.0% | 0 | Not computed | 1 | 2 |
| P••••••••• I••••••••• CRD 167771 | San Diego, CA | mixed wealth | $402M | 42% | 11 | $36.5M | 0 | 0 |
| E•••••••• P••••••• L•• CRD 315959 | Rancho Santa Fe,, CA | independent RIA | $401M | 89% | 2 | $201M | 1 | 0 |
| T••••• W••••• CRD 335808 | Mission Viejo, CA | independent RIA | $400M | 100% | 3 | $133M | 0 | 0 |
| R••••••• F••• A•••••• L•• CRD 326939 | Newport Beach, CA | asset manager | $399M | 0.0% | 0 | Not computed | 0 | 7 |
| C•••••• I••••••••• C•••••• CRD 107901 | Irvine, CA | independent RIA | $398M | 100% | 0 | Not computed | 0 | 0 |
| M••••••••• C••••••• L•• CRD 264786 | Newport Beach, CA | independent RIA | $397M | 100% | 11 | $36.1M | 1 | 0 |
| N•• I•••••• W••••• A••••••• CRD 318083 | San Ramon, CA | independent RIA | $397M | 93% | 5 | $79.4M | 0 | 0 |
| W••••• L••••• I••••••••• S••••••• L•• CRD 109770 | Pleasant Hill, CA | independent RIA | $396M | 100% | 0 | Not computed | 0 | 0 |
| K•••• • C•••••• L•• CRD 298203 | Foster City, CA | independent RIA | $394M | 98% | 1 | $394M | 0 | 1 |
| •••• A•••• M••••••••• A•• ••• W••••• M••••••••• CRD 160657 | Rancho Santa Fe, CA | independent RIA | $393M | 82% | 4 | $98.3M | 0 | 0 |
| C••• W••••• P••••••• L•• CRD 322365 | Santa Rosa, CA | independent RIA | $393M | 99% | 5 | $78.6M | 3 | 0 |
| C••••• C•••••• M••••••••• L••••• CRD 120675 | C•••••, CA | independent RIA | $392M | 97% | 0 | Not computed | 0 | 0 |
| P•••• W••••• M••••••••• CRD 297487 | San Diego, CA | independent RIA | $391M | 93% | 3 | $130M | 0 | 0 |
| S••••• W••••• M••••••••• L•• CRD 332673 | Los Angeles, CA | independent RIA | $391M | 100% | 3 | $130M | 1 | 0 |
| H••••• D••••••• • A••••••••• I•• CRD 110994 | Los Angeles, CA | independent RIA | $391M | 92% | 4 | $97.6M | 0 | 0 |
| C••••••••• P••••••• M••••••••• L•• CRD 157610 | Newport Beach, CA | asset manager | $390M | 0.0% | 0 | Not computed | 0 | 2 |
| H••• C•••••• M••••••••• L•• CRD 108911 | Walnut Creek, CA | mixed wealth | $390M | 30% | 0 | Not computed | 0 | 0 |
| P•••••• P•••• A•••••••• L•• CRD 310731 | San Diego, CA | independent RIA | $390M | 78% | 6 | $64.9M | 0 | 2 |
| A••••• A•••••••• L•• CRD 113791 | Sacramento, CA | independent RIA | $389M | 96% | 9 | $43.2M | 1 | 0 |
| S•••••• M••••••••• I••• CRD 328954 | Sacramento, CA | asset manager | $389M | 0.0% | 0 | Not computed | 0 | 5 |
| P••••••• A••••••• G••••• I••• CRD 143817 | Fresno, CA | independent RIA | $388M | 100% | 5 | $77.7M | 0 | 0 |
| B•••• D• L•••••• I••• CRD 105972 | San Diego, CA | independent RIA | $388M | 100% | 3 | $129M | 0 | 0 |
| O••• P•••••••• L• CRD 304196 | South San Francisco, CA | other | $387M | 0.0% | 0 | Not computed | 0 | 0 |
| B•••••••• C••••• M••••••••• L•• CRD 311686 | San Francisco, CA | asset manager | $387M | 0.0% | 0 | Not computed | 0 | 2 |
| L•••• A•••• M••••••••• CRD 143409 | Lafayette, CA | independent RIA | $387M | 99% | 5 | $77.4M | 1 | 0 |
| A••••••• W••••• A•••••••• I••• CRD 172087 | Concord, CA | independent RIA | $387M | 94% | 5 | $77.4M | 0 | 1 |
| C••••• W••••• CRD 167828 | La Jolla, CA | independent RIA | $386M | 100% | 7 | $55.2M | 0 | 0 |
| O•••••• F•••••••• C••••••••• I•• CRD 110064 | Grass Valley, CA | independent RIA | $386M | 94% | 3 | $129M | 0 | 0 |
| K••••• F•••••••• L•• CRD 330807 | Novato, CA | independent RIA | $384M | 98% | 3 | $128M | 0 | 0 |
| A•••••••• E••••• CRD 328703 | El Segundo, CA | asset manager | $384M | 0.0% | 0 | Not computed | 0 | 4 |
| A•• W••••• M••••••••• CRD 137705 | San Diego, CA | independent RIA | $384M | 100% | 3 | $128M | 0 | 0 |
| C••••••• A••••••• N••••••• L•• CRD 165868 | Aliso Viejo, CA | independent RIA | $383M | 94% | 0 | Not computed | 20 | 0 |
| S••••• B••••• C•••••• CRD 296285 | S•••••, CA | asset manager | $382M | 0.0% | 0 | Not computed | 0 | 8 |
| W•• F•••••••• CRD 157620 | Carslbad, CA | independent RIA | $382M | 94% | 4 | $95.5M | 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.