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 |
|---|---|---|---|---|---|---|---|---|
| Granite Capital CRD 141743 | Oakland, CA | independent RIA | $315M | 98% | 2 | $157M | 0 | 0 |
| Jpc Wealth Management, Inc. CRD 120267 | Petaluma, CA | independent RIA | $313M | 99% | 2 | $156M | 2 | 0 |
| Topel & Distasi Wealth Management, LLC CRD 285538 | Berkeley, CA | independent RIA | $312M | 96% | 3 | $104M | 1 | 0 |
| M••••• C••• C••••••• L•• CRD 146959 | Palos Verdes Estates, CA | independent RIA | $311M | 94% | 3 | $104M | 1 | 0 |
| G••••••• I••••••••• M••••••••• CRD 104935 | Tiburon, CA | independent RIA | $310M | 81% | 1 | $310M | 0 | 0 |
| K••••••••• I••••••••• C•••••• CRD 108012 | Long Beach, CA | independent RIA | $310M | 99% | 2 | $155M | 1 | 0 |
| M•• W••••• S••••••• CRD 169013 | Thousand Oaks, CA | independent RIA | $310M | 100% | 2 | $155M | 1 | 0 |
| N•• W••••• M••••••••• L•• CRD 162234 | Santa Clara, CA | independent RIA | $310M | 98% | 2 | $155M | 0 | 0 |
| S••••• P•••••••• L•• CRD 312567 | San Mateo, CA | asset manager | $310M | 0.0% | 0 | Not computed | 0 | 11 |
| P••••••• C•••••• A•••••••• L•• CRD 119531 | Sausalito, CA | asset manager | $309M | 0.0% | 1 | $309M | 0 | 2 |
| S••••••• T••••••••• G••••• L•• CRD 160676 | Menlo Park, CA | asset manager | $307M | 0.0% | 0 | Not computed | 3 | 0 |
| B••• S•• C•••••• C••••••••• G••••• I••• CRD 329575 | Poway, CA | independent RIA | $306M | 99% | 7 | $43.8M | 0 | 0 |
| R••••••••• C•••••• S••••••••• I••• CRD 139009 | San Jose, CA | independent RIA | $305M | 98% | 2 | $153M | 0 | 0 |
| K••••••••• • F•••••• I••• CRD 117811 | San Diego, CA | independent RIA | $305M | 89% | 3 | $102M | 1 | 0 |
| L••••• C•••••• A•••••••• L•• CRD 168906 | Los Angeles, CA | other | $305M | 0.7% | 2 | $152M | 2 | 4 |
| N••••••• A••••••• L•• CRD 154169 | La Jolla, CA | independent RIA | $304M | 100% | 3 | $101M | 1 | 0 |
| T••••• W••••• M••••••••• CRD 335920 | Santa Barbara, CA | independent RIA | $304M | 95% | 4 | $76.0M | 2 | 0 |
| S•••••••• R•••••••• C•••••• M••••••••• L•• CRD 144069 | Newport Beach, CA | independent RIA | $304M | 94% | 16 | $19.0M | 4 | 0 |
| C••• F•••••••• CRD 155205 | El Segundo, CA | independent RIA | $302M | 77% | 2 | $151M | 0 | 0 |
| W••••••• W••••• M••••••••• CRD 290658 | Los Angeles, CA | independent RIA | $300M | 94% | 2 | $150M | 0 | 1 |
| S••••• O•• W••••• A••••••• S•••••••• L•• CRD 291645 | Los Angeles, CA | independent RIA | $300M | 100% | 3 | $100.0M | 1 | 0 |
| P•••••••• C••••••• L•• CRD 153450 | Larkspur, CA | asset manager | $300M | 0.0% | 0 | Not computed | 0 | 2 |
| T•••• T•••• P••• L•• CRD 328383 | Pasadena, CA | mixed wealth | $298M | 33% | 1 | $298M | 0 | 0 |
| K•••• F•••••••• S•••••••• CRD 153594 | Calabasas, CA | independent RIA | $295M | 85% | 2 | $147M | 0 | 0 |
| I•••••• C•••••• M••••••••• L•• CRD 305411 | Oakland, CA | asset manager | $295M | 0.0% | 0 | Not computed | 1 | 6 |
| P••• C•••••• CRD 167459 | Venice, CA | asset manager | $294M | 0.0% | 0 | Not computed | 0 | 15 |
| S••••••• F•••••••• P•••••••• L•• CRD 301329 | Westlake Village, CA | independent RIA | $294M | 87% | 3 | $97.9M | 2 | 0 |
| C••••••••• C•••••• L•• CRD 174528 | Menlo Park, CA | asset manager | $294M | 0.0% | 0 | Not computed | 0 | 3 |
| P•••••• P••••••••• I••• CRD 111905 | San Mateo, CA | independent RIA | $293M | 99% | 2 | $147M | 0 | 0 |
| T••• P•••••• W••••• A••••••• CRD 120938 | Sacramento, CA | independent RIA | $293M | 74% | 1 | $293M | 0 | 0 |
| M••••••••• W••••• M••••••••• L•• CRD 300330 | San Diego, CA | independent RIA | $292M | 98% | 4 | $72.9M | 0 | 0 |
| A•••••••• W••••• M••••••••• L•• CRD 164341 | San Ramon, CA | independent RIA | $291M | 77% | 2 | $145M | 0 | 0 |
| P•••••• S•• F•••••••• C••• CRD 284286 | Los Angeles, CA | independent RIA | $290M | 100% | 3 | $96.7M | 0 | 0 |
| L•••••• CRD 330517 | Mill Valley, CA | asset manager | $290M | 0.0% | 0 | Not computed | 0 | 6 |
| K••••• A••••••• G•••• I••• CRD 288314 | Irvine, CA | independent RIA | $288M | 98% | 4 | $72.0M | 0 | 0 |
| L••••• C•••••• M••••••••• L•• CRD 299577 | Los Angeles, CA | asset manager | $288M | 0.0% | 0 | Not computed | 0 | 3 |
| T•• G•••• G••••• L•• CRD 160598 | Beverly Hills, CA | asset manager | $287M | 0.0% | 0 | Not computed | 1 | 2 |
| R••• F•••••••• C••••••••• I••• CRD 170346 | Los Gatos, CA | independent RIA | $287M | 94% | 4 | $71.8M | 0 | 0 |
| K••••• F•••••••• S••••••••• L•• CRD 298248 | Pleasanton, CA | independent RIA | $287M | 96% | 5 | $57.4M | 0 | 0 |
| V•••• L•• CRD 307186 | San Francisco, CA | asset manager | $287M | 0.0% | 0 | Not computed | 0 | 2 |
| T•• F••••••••• I••••••••• G•••• CRD 318369 | Lafayette, CA | independent RIA | $286M | 100% | 2 | $143M | 2 | 0 |
| I•••••••• W••••• A•••••••• I••• CRD 281708 | Ventura, CA | independent RIA | $285M | 90% | 4 | $71.4M | 1 | 0 |
| B••••••••• F•••••••• A•••••••• L•• CRD 134950 | San Francisco, CA | independent RIA | $284M | 99% | 3 | $94.8M | 0 | 0 |
| H•••• • H••••• CRD 286235 | Woodland Hills, CA | independent RIA | $284M | 87% | 2 | $142M | 0 | 0 |
| S••••• M••••• W••••• M••••••••• L•• CRD 295339 | San Diego, CA | independent RIA | $283M | 96% | 2 | $142M | 0 | 0 |
| B••••• W••••• G•••• CRD 313552 | Roseville, CA | independent RIA | $283M | 100% | 7 | $40.4M | 1 | 0 |
| C••••• C•••••• G•••• CRD 305121 | Encinitas, CA | independent RIA | $283M | 99% | 4 | $70.7M | 0 | 0 |
| T•••••• A•••••••• L•• CRD 166194 | Manhattan Beach, CA | asset manager | $283M | 0.0% | 0 | Not computed | 0 | 0 |
| H•••••••• R•••••• C•••••• CRD 104649 | Kentfield, CA | independent RIA | $282M | 75% | 0 | Not computed | 0 | 0 |
| C••••• F••••••••• L•• CRD 298327 | La Jolla, CA | independent RIA | $282M | 100% | 2 | $141M | 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.