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 |
|---|---|---|---|---|---|---|---|---|
| Kaiyo Wealth LLC CRD 316431 | San Diego, CA | independent RIA | $240M | 100% | 3 | $80.0M | 0 | 0 |
| Marest Capital, LLC CRD 315958 | Encino, CA | independent RIA | $240M | 98% | 3 | $79.9M | 0 | 0 |
| Linda A. Barlow, CFP CRD 111643 | Santa Ana, CA | independent RIA | $240M | 97% | 0 | Not computed | 0 | 0 |
| T•••••• C••••• P•••••••• G•••• L•• CRD 129803 | San Diego, CA | independent RIA | $239M | 94% | 5 | $47.9M | 0 | 0 |
| S•• C•••• P••••••• M••••••••• L• CRD 316909 | San Francisco, CA | asset manager | $239M | 0.0% | 0 | Not computed | 0 | 1 |
| S•••••• W••••• P••••••• CRD 327885 | Encinitas, CA | independent RIA | $239M | 100% | 3 | $79.8M | 2 | 0 |
| H•••••• L•• CRD 315969 | Los Angeles, CA | independent RIA | $239M | 71% | 1 | $239M | 0 | 3 |
| O••••• C•••••• M••••••••• CRD 112487 | Livermore, CA | asset manager | $239M | 0.0% | 1 | $239M | 0 | 1 |
| P••••••• A••••••• L•• CRD 289347 | San Luis Obispo, CA | independent RIA | $239M | 85% | 4 | $59.6M | 0 | 0 |
| S•••••••• W••••• C•••••• CRD 326299 | San Francisco, CA | independent RIA | $238M | 98% | 2 | $119M | 0 | 0 |
| G••••••••• W••••• M••••••••• CRD 310041 | El Dorado Hills, CA | independent RIA | $238M | 74% | 2 | $119M | 0 | 0 |
| C••••••• W••••• A••••••• G••••• I••• CRD 146587 | C•••••••, CA | independent RIA | $238M | 100% | 3 | $79.2M | 0 | 0 |
| M••••••• T•• L•• CRD 164521 | San Francisco, CA | independent RIA | $238M | 98% | 2 | $119M | 0 | 1 |
| C••••• W••••• P••••••• CRD 141601 | Santa Barbara, CA | independent RIA | $236M | 85% | 1 | $236M | 0 | 0 |
| B••••• W••••• S••••••••• CRD 170093 | San Diego, CA | independent RIA | $236M | 97% | 5 | $47.1M | 2 | 0 |
| H••••••••• • Z•••••• F•••••••• A•••••••• I••• CRD 145096 | San Rafael, CA | independent RIA | $235M | 91% | 2 | $118M | 0 | 0 |
| R••••• W••••• A••••••• CRD 339934 | San Luis Obispo, CA | independent RIA | $235M | 100% | 2 | $118M | 0 | 0 |
| A•••••••• C•••••• G••••• L••• CRD 329612 | Burlingame, CA | asset manager | $235M | 0.0% | 0 | Not computed | 0 | 1 |
| C•••••••• A••••••• CRD 128053 | San Francisco, CA | independent RIA | $235M | 99% | 1 | $235M | 3 | 0 |
| E••••••••• F•••••••• P••••••• CRD 152050 | Pasadena, CA | independent RIA | $234M | 94% | 2 | $117M | 0 | 0 |
| P•••••••• I••••••••• M••••••••• L•• CRD 322066 | Culver City, CA | asset manager | $234M | 0.0% | 0 | Not computed | 0 | 4 |
| C•••••• M••••••••• A•••••• G••••• L•• CRD 304617 | Walnut Creek, CA | independent RIA | $234M | 100% | 1 | $234M | 1 | 0 |
| W••••• F•••••••• A••••••• I•• CRD 106268 | Mission Viejo, CA | independent RIA | $233M | 86% | 3 | $77.8M | 0 | 0 |
| A••••••• W•••••• L•• CRD 173138 | Mill Valley, CA | independent RIA | $233M | 99% | 6 | $38.9M | 2 | 0 |
| W• A••••••• W••••• A•••••••• I••• CRD 175405 | Roseville, CA | independent RIA | $233M | 100% | 3 | $77.7M | 0 | 0 |
| K•••• P••••• • P•••••• F••••••••• I••• CRD 112414 | Irvine, CA | independent RIA | $233M | 100% | 4 | $58.2M | 0 | 0 |
| F•••••• F•••••••• L•• CRD 300122 | Pasadena, CA | independent RIA | $233M | 100% | 9 | $25.8M | 10 | 0 |
| B•••••• P•••••• W•••••• L•• CRD 330598 | San Francisco, CA | independent RIA | $232M | 97% | 1 | $232M | 0 | 0 |
| B•••• I••••• G••••• L•• CRD 313748 | Los Angeles, CA | asset manager | $232M | 0.0% | 0 | Not computed | 0 | 1 |
| C••••• C•••••• M••••••••• I••• CRD 133260 | Burbank, CA | independent RIA | $232M | 100% | 1 | $232M | 1 | 0 |
| R•••••• I••••••••• G••••• I•• CRD 168017 | Fort Bragg, CA | independent RIA | $230M | 88% | 4 | $57.6M | 1 | 0 |
| C••••••••• C•••••• M••••••••• L•• CRD 161099 | Palo Alto, CA | asset manager | $230M | 0.0% | 1 | $230M | 0 | 2 |
| G••••• C••••••• L•• CRD 337919 | Los Angeles, CA | asset manager | $229M | 0.0% | 0 | Not computed | 0 | 17 |
| H••••••••• F•••••••• A••••••• CRD 169481 | Westlake Village, CA | independent RIA | $229M | 100% | 4 | $57.3M | 5 | 0 |
| X• A•••••••• L•• CRD 315838 | Santa Maria, CA | independent RIA | $229M | 100% | 5 | $45.7M | 4 | 0 |
| T•••••• G••••• CRD 159696 | San Francisco, CA | asset manager | $228M | 0.0% | 0 | Not computed | 0 | 1 |
| T•• W••••••••• F••• L•• CRD 311927 | El Segundo, CA | independent RIA | $228M | 99% | 5 | $45.5M | 4 | 0 |
| E••••• A••••••• L•• CRD 307265 | Walnut Creek, CA | independent RIA | $227M | 100% | 6 | $37.9M | 0 | 0 |
| C•••••• C• G••••• L•• CRD 304523 | Irvine, CA | mixed wealth | $227M | 36% | 4 | $56.8M | 3 | 0 |
| D••••• C•••••• M••••••••• L•• CRD 156264 | San Diego, CA | independent RIA | $226M | 94% | 2 | $113M | 0 | 0 |
| D••••• I••••••••• A••••••••• L•• CRD 157284 | Santa Barbara, CA | independent RIA | $225M | 82% | 1 | $225M | 0 | 0 |
| S•• G•••• W••••• P••••••• L•• CRD 166372 | Irvine, CA | independent RIA | $224M | 94% | 3 | $74.8M | 0 | 0 |
| A••••• W••••• A••••••• I••••••••• M••••••••• •••••• CRD 321735 | Los Angeles, CA | independent RIA | $224M | 93% | 4 | $56.1M | 0 | 1 |
| M••••••••• C•••••• M••••••••• CRD 297145 | Los Angeles, CA | independent RIA | $224M | 97% | 2 | $112M | 0 | 0 |
| W••••• T•••• A••••••• CRD 168907 | Irvine, CA | independent RIA | $224M | 97% | 12 | $18.7M | 7 | 0 |
| N•••• W••••• M••••••••• I••• CRD 169963 | Newport Beach, CA | independent RIA | $223M | 100% | 3 | $74.5M | 1 | 0 |
| B•••••• F•••• A• I•• CRD 110451 | Palo Alto, CA | independent RIA | $223M | 56% | 1 | $223M | 0 | 0 |
| T•••••• W••••• M••••••••• CRD 153737 | Torrance, CA | independent RIA | $223M | 99% | 4 | $55.7M | 0 | 0 |
| C•••• W••••• M••••••••• CRD 173885 | San Ramon, CA | independent RIA | $223M | 96% | 2 | $111M | 0 | 0 |
| K•• W••••• M••••••••• L•• CRD 328911 | Hermosa Beach, CA | independent RIA | $222M | 100% | 1 | $222M | 1 | 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.