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 |
|---|---|---|---|---|---|---|---|---|
| Triton Pacific Healthcare Partners, LLC CRD 329737 | San Juan Capistrano, CA | asset manager | $380M | 0.0% | 0 | Not computed | 0 | 4 |
| Daiwa Capital Management Silicon Valley Inc. CRD 307581 | Palo Alto, CA | asset manager | $376M | 0.0% | 0 | Not computed | 0 | 0 |
| Marin Bay Wealth Advisors, LLC CRD 289184 | San Anselmo, CA | independent RIA | $376M | 100% | 2 | $188M | 0 | 0 |
| H••••••••• I••••••••• I••• CRD 110790 | Napa, CA | independent RIA | $375M | 78% | 3 | $125M | 0 | 0 |
| T••••• M••••••••• L•• CRD 329263 | San Diego, CA | independent RIA | $373M | 94% | 4 | $93.4M | 4 | 0 |
| P•••••• W••••• M••••••••• CRD 113217 | San Diego, CA | independent RIA | $372M | 100% | 7 | $53.1M | 0 | 0 |
| G••••••••• W••••• S••••••••• L•• CRD 283238 | Santa Monica, CA | mixed wealth | $371M | 29% | 1 | $371M | 3 | 0 |
| O•••• C•••••• M••••••••• L•• CRD 119428 | Coronado, CA | independent RIA | $371M | 94% | 4 | $92.7M | 6 | 0 |
| A•••• F•••••••• I•• CRD 318371 | Calabasas, CA | independent RIA | $371M | 98% | 2 | $185M | 1 | 3 |
| C••••••• P•••••• W•••••• L•• CRD 305565 | San Mateo, CA | independent RIA | $370M | 100% | 5 | $74.1M | 2 | 0 |
| W••••••••• CRD 322756 | Long Beach, CA | independent RIA | $370M | 98% | 3 | $123M | 5 | 0 |
| W••••• G•••• A•••••••• L•• CRD 151993 | Berkeley, CA | independent RIA | $370M | 100% | 7 | $52.8M | 0 | 0 |
| M•••• A••••••• L•• CRD 122721 | M•••• Park, CA | independent RIA | $370M | 92% | 1 | $370M | 0 | 1 |
| Y••••••• C•••••• M••••••••• CRD 124298 | Newport Beach, CA | independent RIA | $369M | 92% | 7 | $52.7M | 1 | 0 |
| O••• I••••••••• M••••••••• L•• CRD 134506 | Woodland Hills, CA | independent RIA | $367M | 89% | 5 | $73.3M | 1 | 0 |
| S•••• R•••• W••••• M••••••••• CRD 117627 | San Rafael, CA | independent RIA | $366M | 99% | 4 | $91.6M | 1 | 0 |
| S•••••• • G•••••• L•• CRD 136719 | El Segundo, CA | independent RIA | $366M | 89% | 4 | $91.6M | 1 | 0 |
| I••••••• C•••••• M••••••••• L•• CRD 311568 | San Francisco, CA | asset manager | $366M | 0.0% | 0 | Not computed | 0 | 7 |
| I••••••••• C•••••• M••••••••• L•• CRD 333157 | San Francisco, CA | independent RIA | $366M | 100% | 7 | $52.2M | 3 | 0 |
| K•••• W••••• A•••••••• I•• CRD 175347 | Pasadena, CA | independent RIA | $365M | 98% | 2 | $183M | 1 | 0 |
| F•• I••••••••• A•••••••• I••• CRD 122728 | Petaluma, CA | independent RIA | $365M | 100% | 3 | $122M | 1 | 0 |
| G•••••• G••••• A•••• M••••••••• CRD 336578 | Los Angeles, CA | asset manager | $364M | 0.0% | 0 | Not computed | 0 | 2 |
| L••••• C•••••• P•••••••• L•• CRD 327020 | Huntington Beach, CA | asset manager | $363M | 0.0% | 0 | Not computed | 0 | 0 |
| B•••••• C•••••• L•• CRD 333514 | Mill Valley, CA | asset manager | $362M | 0.0% | 0 | Not computed | 0 | 0 |
| U•••• S••••• G••••• W••••• M••••••••• CRD 111776 | San Francisco, CA | mixed wealth | $361M | 32% | 1 | $361M | 0 | 2 |
| S••••• I••••••••• M••••••••• L•• CRD 106615 | Santa Monica, CA | independent RIA | $361M | 93% | 5 | $72.2M | 0 | 0 |
| G•••••• L••••••••• I••• CRD 136134 | Long Beach, CA | independent RIA | $361M | 93% | 3 | $120M | 0 | 0 |
| C•••••••• C•••••• CRD 337738 | Upland, CA | independent RIA | $359M | 84% | 3 | $120M | 0 | 0 |
| F••••• D••• C••••••• L• CRD 311353 | San Francisco, CA | asset manager | $359M | 0.0% | 0 | Not computed | 0 | 1 |
| C••••••••• C•••••• M••••••••• CRD 130734 | Burbank, CA | independent RIA | $358M | 98% | 5 | $71.7M | 0 | 0 |
| G•• C•••••• M••••••••• C• I•• CRD 108767 | Walnut Creek, CA | independent RIA | $357M | 100% | 4 | $89.3M | 1 | 0 |
| G•••••• B••••• L•• CRD 134684 | Redwood City, CA | independent RIA | $356M | 98% | 4 | $88.9M | 2 | 0 |
| S•••••••• M••••••••• L•• CRD 284290 | Los Angeles, CA | asset manager | $355M | 0.0% | 0 | Not computed | 0 | 3 |
| C••• N•••••• W••••• M••••••••• CRD 159002 | Huntington Beach, CA | independent RIA | $355M | 100% | 2 | $177M | 1 | 0 |
| V•••••• G••••• I•••••••• CRD 166575 | Irvine, CA | asset manager | $353M | 0.7% | 2 | $176M | 4 | 0 |
| G•••••• F•••••••• S••••••••• I••• CRD 108449 | San Gabriel, CA | independent RIA | $353M | 100% | 2 | $176M | 0 | 0 |
| C•••••• P••• C•••••• P••••••• CRD 331368 | El Segundo, CA | asset manager | $352M | 0.0% | 0 | Not computed | 1 | 10 |
| D••• R••••• R••••••• L•• CRD 109480 | San Diego, CA | independent RIA | $351M | 100% | 3 | $117M | 0 | 0 |
| S••••• C•••••• M••••••••• L•• CRD 282436 | Century City, CA | independent RIA | $351M | 100% | 4 | $87.8M | 0 | 0 |
| S••••• A••••••••• CRD 335435 | Santa Rosa, CA | independent RIA | $350M | 97% | 3 | $117M | 1 | 0 |
| S••••••• P••••••• W••••• M••••••••• • F••••• O••••• CRD 130711 | San Diego, CA | independent RIA | $350M | 99% | 13 | $26.9M | 0 | 0 |
| C••••• C••••••••• I••••••••• L•• CRD 310129 | Oakland, CA | other | $348M | 18% | 4 | $87.1M | 0 | 0 |
| R•••• S••• C•••••• M••••••••• L•• CRD 166062 | San Francisco, CA | asset manager | $347M | 0.0% | 0 | Not computed | 0 | 10 |
| C•••••• C•••••• CRD 171735 | San Francisco, CA | independent RIA | $347M | 100% | 5 | $69.3M | 5 | 0 |
| G••••••• G••••• I•• CRD 142903 | Lafayette, CA | independent RIA | $346M | 93% | 3 | $115M | 1 | 0 |
| T•••••••• C•••••• CRD 312408 | Palo Alto, CA | asset manager | $346M | 0.0% | 0 | Not computed | 1 | 8 |
| G••••••• A••••••• A•••• M••••••••• I••• CRD 124465 | Pasadena, CA | asset manager | $344M | 0.0% | 0 | Not computed | 1 | 0 |
| T•• C•••• G•••• A•••• M••••••••• CRD 164405 | Dana Point, CA | independent RIA | $344M | 99% | 3 | $115M | 0 | 0 |
| W••••••• • N•••• W••••• M••••••••• L•• CRD 324173 | Westlake Village, CA | independent RIA | $343M | 97% | 5 | $68.6M | 5 | 0 |
| S••••• 5• F•••••••• CRD 318626 | Manhattan Beach, CA | independent RIA | $342M | 100% | 2 | $171M | 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.