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 |
|---|---|---|---|---|---|---|---|---|
| Avila Real Estate Capital CRD 325431 | Corte Madera, CA | asset manager | $341M | 0.0% | 0 | Not computed | 3 | 5 |
| Tiemann Investment Advisors, LLC CRD 125360 | Menlo Park, CA | independent RIA | $341M | 100% | 1 | $341M | 0 | 0 |
| Marathon Management Partners LLC CRD 332549 | Beverly Hills, CA | asset manager | $340M | 0.0% | 0 | Not computed | 1 | 4 |
| P•••• M•••••• L•• CRD 146856 | Walnut Creek, CA | independent RIA | $340M | 100% | 3 | $113M | 4 | 1 |
| E•••• W••••• M••••••••• L•• CRD 304321 | San Diego, CA | independent RIA | $339M | 96% | 3 | $113M | 0 | 0 |
| V•••••• E••••• A•••••••• L•• CRD 297046 | Los Angeles, CA | asset manager | $338M | 0.0% | 0 | Not computed | 0 | 2 |
| M••• • A••• W••••• C••••••• A•• M••••••••• L•• CRD 118319 | Campbell, CA | independent RIA | $338M | 99% | 2 | $169M | 0 | 0 |
| A••••••• W••••• CRD 108834 | Mill Valley, CA | independent RIA | $337M | 100% | 7 | $48.1M | 0 | 0 |
| G••••• G•••• P•••••••• L•• CRD 288771 | Santa Monica, CA | asset manager | $335M | 0.0% | 0 | Not computed | 0 | 13 |
| A••• C•••••• M••••••••• L• CRD 323353 | San Francisco, CA | mixed wealth | $335M | 41% | 1 | $335M | 0 | 2 |
| O•••••• C••••••• L•• CRD 168062 | Palo Alto, CA | independent RIA | $334M | 93% | 4 | $83.5M | 0 | 3 |
| E••••••• W••••• CRD 168581 | Claremont, CA | independent RIA | $334M | 100% | 3 | $111M | 2 | 0 |
| C••••••••• C•••••• L••• CRD 325763 | San Francisco, CA | asset manager | $334M | 0.0% | 0 | Not computed | 0 | 1 |
| C••••••••• C••••••• L•• CRD 328559 | Los Angeles, CA | asset manager | $334M | 0.0% | 0 | Not computed | 0 | 1 |
| A••••••• F•••••••• CRD 315860 | Irvine, CA | independent RIA | $333M | 57% | 15 | $22.2M | 0 | 3 |
| F••• L••• C••••••• L•• CRD 283625 | San Mateo, CA | asset manager | $332M | 0.0% | 0 | Not computed | 0 | 4 |
| O••••••• W••••• CRD 315326 | Modesto, CA | independent RIA | $332M | 80% | 3 | $111M | 0 | 0 |
| D•••• A••••••••• L•• CRD 286434 | Sausalito, CA | independent RIA | $332M | 70% | 2 | $166M | 0 | 3 |
| S••••• W••••• A••••••• CRD 322037 | Fairfield, CA | independent RIA | $332M | 97% | 3 | $111M | 0 | 0 |
| 5• W•••••• L•• CRD 112552 | Napa, CA | independent RIA | $331M | 89% | 4 | $82.8M | 0 | 0 |
| C•••••• F••• I••••••••• I••• CRD 110445 | Irvine, CA | independent RIA | $331M | 99% | 4 | $82.8M | 0 | 0 |
| Y•••• W••••• M••••••••• CRD 291826 | Walnut Creek, CA | independent RIA | $331M | 100% | 2 | $166M | 0 | 0 |
| C••••• F•••••••• G••••• I••• CRD 283070 | San Diego, CA | independent RIA | $331M | 100% | 10 | $33.1M | 1 | 0 |
| I•••••• C•••••• M••••••••• CRD 314558 | Concord, CA | independent RIA | $331M | 100% | 4 | $82.6M | 0 | 0 |
| W••••• I••••••••• P••••••• L•• CRD 172452 | Carmel, CA | asset manager | $330M | 0.0% | 0 | Not computed | 1 | 1 |
| D•• A••••••• CRD 300332 | Menlo Park, CA | independent RIA | $330M | 100% | 1 | $330M | 0 | 0 |
| P•••••• F•••••••• P••••••• CRD 158041 | Woodland Hills, CA | independent RIA | $330M | 100% | 2 | $165M | 0 | 0 |
| N•• A•••••••• L•• CRD 283714 | San Luis Obispo, CA | independent RIA | $329M | 87% | 2 | $165M | 0 | 0 |
| T••••• G••••• • I••••• A•••••••• L•• CRD 139940 | Del Mar, CA | independent RIA | $328M | 100% | 5 | $65.7M | 2 | 0 |
| P••••••• F••••• O••••• CRD 338563 | Manhattan Beach, CA | independent RIA | $327M | 100% | 2 | $164M | 0 | 0 |
| G••••••• G••••• I••••••••• L• CRD 316751 | Beverly Hills, CA | asset manager | $322M | 0.0% | 0 | Not computed | 0 | 4 |
| S••• F•••••••• G••••• I••• CRD 285426 | Alameda, CA | independent RIA | $322M | 96% | 4 | $80.5M | 0 | 0 |
| E•••••• E••••• L•• CRD 130032 | San Mateo, CA | BD affiliated | $322M | 98% | 82 | $3.9M | 9 | 0 |
| B••• G••••• • C••••••• I••• CRD 41533 | Orange, CA | independent RIA | $322M | 100% | 30 | $10.7M | 10 | 0 |
| H• C•••••• L•• CRD 298731 | Santa Monica, CA | independent RIA | $321M | 100% | 0 | Not computed | 0 | 0 |
| S••••• F•••••••• CRD 137324 | Orange, CA | independent RIA | $320M | 99% | 11 | $29.1M | 0 | 0 |
| A•••• W••••• M••••••••• A•• P••••••• L•• CRD 163917 | Novato, CA | independent RIA | $320M | 94% | 6 | $53.3M | 3 | 0 |
| A••••• I••••••••• G••••• L•• CRD 130243 | Pasadena, CA | independent RIA | $319M | 100% | 8 | $39.9M | 0 | 0 |
| O•••••••• I••• CRD 137070 | San Juan Capistrano, CA | independent RIA | $319M | 97% | 3 | $106M | 0 | 0 |
| B•••• W••••• M••••••••• L•• CRD 286513 | Petaluma, CA | independent RIA | $319M | 100% | 3 | $106M | 0 | 0 |
| P•••••• B• W•••• C••• I•• CRD 300623 | San Luis Obispo, CA | independent RIA | $319M | 97% | 2 | $159M | 0 | 0 |
| D•• W••••• M••••••••• I••• CRD 316778 | Stockton, CA | independent RIA | $317M | 95% | 3 | $106M | 0 | 0 |
| W••••• A•••••••• P•••••••• L•• CRD 140115 | San Diego, CA | independent RIA | $316M | 97% | 5 | $63.2M | 5 | 0 |
| 4• A•••••••• L•• CRD 315045 | Redondo Beach, CA | asset manager | $316M | 0.0% | 0 | Not computed | 0 | 1 |
| G••••••• P•••• C••••••• L•• CRD 165590 | San Francisco, CA | other | $316M | 15% | 3 | $105M | 3 | 0 |
| A••••••••• R••••••••• CRD 325859 | Aliso Viejo, CA | independent RIA | $315M | 82% | 31 | $10.2M | 19 | 0 |
| N••••••••• C•••••• L•• CRD 297270 | Los Angeles, CA | mixed wealth | $315M | 46% | 2 | $157M | 0 | 1 |
| T••• L•••• C•••••• CRD 137522 | Redwood Shores, CA | independent RIA | $315M | 94% | 2 | $157M | 1 | 0 |
| V•••• A•••••• G••••• L•• CRD 307268 | Walnut Creek, CA | independent RIA | $315M | 98% | 3 | $105M | 0 | 0 |
| D••••• F••••••••• L•• CRD 286648 | San Diego, CA | independent RIA | $315M | 87% | 5 | $62.9M | 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.