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 |
|---|---|---|---|---|---|---|---|---|
| Global Financial Advisory Services, Inc. CRD 135234 | Valencia, CA | independent RIA | $259M | 88% | 3 | $86.4M | 1 | 0 |
| Ishara Investments LP CRD 331869 | Los Angeles, CA | asset manager | $259M | 0.0% | 0 | Not computed | 0 | 1 |
| Pacific Capital Associates CRD 160407 | San Diego, CA | independent RIA | $259M | 99% | 3 | $86.3M | 0 | 0 |
| V•••••• W••••• A••••••• CRD 296866 | Westlake V••••••, CA | independent RIA | $258M | 100% | 4 | $64.5M | 0 | 0 |
| C••••••• O•••• F•••••••• S••••••• G•••• L•• CRD 151765 | Davis, CA | independent RIA | $258M | 97% | 2 | $129M | 0 | 0 |
| V••••• A•••• M••••••••• L•• CRD 299725 | Saratoga, CA | independent RIA | $257M | 100% | 1 | $257M | 2 | 0 |
| D•••••• W••••• M••••••••• I••• CRD 328372 | Palos Verdes Estates, CA | independent RIA | $257M | 84% | 3 | $85.5M | 0 | 0 |
| C•••••• L••••• I••••••••• CRD 173152 | Walnut Creek, CA | independent RIA | $256M | 100% | 2 | $128M | 0 | 0 |
| C••••• C•••••• M••••••••• I••• CRD 144290 | Santa Barbara, CA | independent RIA | $256M | 100% | 3 | $85.3M | 0 | 0 |
| I••••••• CRD 310133 | Culver City, CA | asset manager | $256M | 0.0% | 0 | Not computed | 0 | 3 |
| I••••••••• P•••••• W••••• A••••••• L•• CRD 323032 | San Diego, CA | independent RIA | $255M | 88% | 3 | $85.1M | 1 | 0 |
| P••••••• CRD 174215 | Walnut Creek, CA | independent RIA | $255M | 99% | 2 | $128M | 1 | 0 |
| G•••• P•••••• W••••• M••••••••• CRD 292917 | Pleasanton, CA | independent RIA | $255M | 100% | 6 | $42.5M | 1 | 0 |
| A••• A•••• M••••••••• I••• CRD 149452 | Studio City, CA | independent RIA | $255M | 85% | 4 | $63.7M | 0 | 0 |
| O•••••• I••••••••• M••••••••• L•• CRD 284057 | Torrance, CA | independent RIA | $254M | 98% | 2 | $127M | 0 | 0 |
| M•••••• I••••••••• A•••••••• L•• CRD 149549 | San Rafael, CA | independent RIA | $254M | 95% | 1 | $254M | 0 | 0 |
| 3••••• M••••••••• L•• CRD 308919 | Irvine, CA | asset manager | $254M | 0.0% | 0 | Not computed | 0 | 11 |
| T••••••• P••••••• L•• CRD 283612 | San Francisco, CA | asset manager | $254M | 0.0% | 0 | Not computed | 0 | 1 |
| A•••• A•••••••• I••••••••• G•••• L•• CRD 109844 | Los Angeles, CA | independent RIA | $253M | 100% | 2 | $127M | 0 | 0 |
| P•••••• W••••• S••••••••• G••••• I••• CRD 144789 | Santa Barbara, CA | independent RIA | $253M | 90% | 3 | $84.4M | 0 | 0 |
| S••••••• R••••••••• G•••• O• S••••••••• CRD 168397 | Roseville, CA | independent RIA | $253M | 93% | 4 | $63.3M | 0 | 0 |
| W•••••• F•••••••• G••••• I••• CRD 309549 | Westlake Village, CA | independent RIA | $252M | 93% | 2 | $126M | 2 | 0 |
| Q•• C•••••• M••••••••• I•• CRD 112104 | Los Angeles, CA | independent RIA | $252M | 99% | 3 | $84.1M | 0 | 0 |
| F•••••• I••••••••• S••••••••• L•• CRD 156883 | Westlake Village, CA | independent RIA | $252M | 99% | 4 | $63.0M | 0 | 0 |
| A••••••• F•••••••• S••••••••• I•• CRD 108296 | Irvine, CA | independent RIA | $252M | 98% | 4 | $62.9M | 0 | 0 |
| T••• W••••• • T•• A••••••• CRD 309411 | Temecula, CA | independent RIA | $251M | 100% | 6 | $41.8M | 1 | 0 |
| M• P•••••• P••••••• CRD 289044 | Indian Wells, CA | independent RIA | $251M | 100% | 2 | $126M | 0 | 0 |
| S••• F•••• I••• CRD 312546 | Campbell, CA | independent RIA | $251M | 99% | 3 | $83.7M | 0 | 0 |
| A•••• F••••••••• L•• CRD 308290 | San Francisco, CA | independent RIA | $250M | 99% | 3 | $83.5M | 1 | 0 |
| F••••• • W•••• W••••• M••••••••• L•• CRD 286079 | Danville, CA | independent RIA | $250M | 99% | 1 | $250M | 0 | 0 |
| M•••• E••••• P•••••••• L•• CRD 304461 | Larkspur, CA | asset manager | $250M | 0.0% | 0 | Not computed | 0 | 9 |
| E•••••• F•••••••• G•••• CRD 325595 | Laguna Niguel, CA | independent RIA | $250M | 100% | 4 | $62.5M | 0 | 0 |
| A••••• W••••• A••••••• I••• CRD 309501 | Santa Clara, CA | independent RIA | $250M | 100% | 4 | $62.5M | 0 | 0 |
| T•••••••• W••••• M••••••••• L•• CRD 332422 | Newport Beach, CA | independent RIA | $250M | 80% | 3 | $83.2M | 0 | 0 |
| S••••• W••••• M••••••••• G••••• I••• CRD 170029 | Camarillo, CA | independent RIA | $250M | 99% | 4 | $62.4M | 0 | 0 |
| C•••••••• A••••••• G••••• L•• CRD 288224 | Westlake Village, CA | independent RIA | $250M | 100% | 2 | $125M | 0 | 0 |
| G••••••• C•••••• A•••••••• L•• CRD 313094 | Beverly Hills, CA | mixed wealth | $249M | 46% | 4 | $62.2M | 0 | 5 |
| R•••••••• C•••••• M••••••••• I••• CRD 290118 | Redondo Beach, CA | asset manager | $248M | 0.0% | 0 | Not computed | 1 | 2 |
| P••••• B•• M••••••••• L•• CRD 322858 | Los Angeles, CA | asset manager | $247M | 0.0% | 0 | Not computed | 0 | 4 |
| A••••• B•• C••••••• I••• CRD 116913 | Carlsbad, CA | independent RIA | $247M | 98% | 6 | $41.2M | 1 | 0 |
| N••••• H••••••• A••••••• L•• CRD 166884 | Santa Barbara, CA | asset manager | $246M | 0.0% | 0 | Not computed | 1 | 3 |
| S••••• P•••••• P•••••• W•••••• L•• CRD 131738 | Pleasanton, CA | independent RIA | $246M | 96% | 3 | $82.0M | 2 | 0 |
| I•••••• I••••••••• C•••••• CRD 172511 | El Segundo, CA | independent RIA | $246M | 100% | 2 | $123M | 0 | 0 |
| L•••••• • A••••••••• I••••••••• C•••••• CRD 110376 | Long Beach, CA | independent RIA | $244M | 84% | 2 | $122M | 0 | 0 |
| A••• F•••••••• C••••••••• L•• CRD 282852 | Calabasas, CA | independent RIA | $244M | 100% | 4 | $61.0M | 2 | 0 |
| P•••••• W••••• P••••••• CRD 298746 | Newport Beach, CA | independent RIA | $244M | 65% | 1 | $244M | 0 | 5 |
| Z••••• W••••• M••••••••• CRD 166303 | Westlake Village, CA | independent RIA | $243M | 75% | 3 | $80.9M | 1 | 0 |
| T••• C•••••• M••••••••• L•• CRD 129959 | Orange, CA | independent RIA | $241M | 98% | 2 | $121M | 2 | 0 |
| K••• I••••••••• M••••••••• I••• CRD 127337 | Los Gatos, CA | independent RIA | $241M | 100% | 5 | $48.1M | 0 | 0 |
| B••••••• C•••••• CRD 338340 | San Francisco, CA | asset manager | $240M | 0.0% | 0 | Not computed | 0 | 3 |
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.