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 |
|---|---|---|---|---|---|---|---|---|
| Maclean Capital Advisors, LLC CRD 156978 | Indian Wells, CA | independent RIA | $222M | 97% | 3 | $74.0M | 0 | 0 |
| Ring Mountain Capital, LLC CRD 288714 | Tiburon, CA | independent RIA | $222M | 99% | 1 | $222M | 0 | 0 |
| Optimize Financial Inc. CRD 315963 | Irvine, CA | asset manager | $222M | 9.7% | 3 | $73.9M | 0 | 0 |
| P•••••• P••• F••••••••• I••• CRD 122867 | Laguna Hills, CA | independent RIA | $222M | 99% | 1 | $222M | 0 | 0 |
| L••• • F•••••• I••••••••• M••••••• CRD 10603 | San Rafael, CA | independent RIA | $221M | 100% | 0 | Not computed | 0 | 0 |
| D•• W••••• M••••••••• L•• CRD 133743 | San Jose, CA | independent RIA | $221M | 90% | 3 | $73.7M | 0 | 0 |
| T••••••• C•••••• L•• CRD 329548 | Larkspur, CA | asset manager | $221M | 0.0% | 0 | Not computed | 0 | 1 |
| G•••• G•••• W••••• M••••••••• L•• CRD 297501 | Beverly Hills, CA | independent RIA | $221M | 100% | 3 | $73.5M | 1 | 0 |
| I••••••• C•••••• M••••••••• L• CRD 325593 | San Francisco, CA | asset manager | $220M | 0.0% | 0 | Not computed | 0 | 1 |
| R•• F••••••••• L•• CRD 149435 | San Francisco, CA | independent RIA | $220M | 96% | 2 | $110M | 2 | 0 |
| C•• U••••• V••••••• M••••••••• L•• CRD 283270 | Palo Alto, CA | asset manager | $219M | 0.0% | 0 | Not computed | 0 | 1 |
| B••••• H••• C•••••• L•• CRD 290744 | Los Angeles, CA | asset manager | $218M | 0.0% | 0 | Not computed | 0 | 1 |
| A•••••••• C•••••• L•• CRD 283564 | Los Angeles, CA | independent RIA | $218M | 100% | 2 | $109M | 1 | 0 |
| D••••• A•••• M••••••••• CRD 112079 | Petaluma, CA | independent RIA | $218M | 100% | 2 | $109M | 0 | 0 |
| A••••••• P•••••••• S••••••••• CRD 284697 | Torrance, CA | independent RIA | $217M | 63% | 9 | $24.2M | 1 | 0 |
| S•••••••• R••••••••• A•••••••• L•• CRD 142887 | Elk Grove, CA | independent RIA | $217M | 100% | 1 | $217M | 1 | 0 |
| H•••• • A••••••••• W••••• M••••••••• CRD 282005 | Thousand Oaks, CA | independent RIA | $216M | 100% | 3 | $72.1M | 1 | 0 |
| M••••• C•••••• L•• CRD 308394 | Newport Beach, CA | asset manager | $216M | 0.0% | 0 | Not computed | 0 | 2 |
| M•••••• W••••• CRD 164758 | Irvine, CA | independent RIA | $216M | 98% | 2 | $108M | 0 | 0 |
| D••••• C••••••• L•• CRD 336392 | Pasadena, CA | independent RIA | $215M | 100% | 4 | $53.8M | 1 | 0 |
| P••••••••• F•••••••• A•• I••••••••• I••• CRD 141988 | Woodland Hills, CA | independent RIA | $215M | 100% | 6 | $35.8M | 2 | 0 |
| J••• C••••••• L•• CRD 163084 | Walnut Creek, CA | other | $215M | 12% | 2 | $107M | 0 | 3 |
| A••• H••••• M••••••••• C••••••• L•• CRD 340280 | Menlo Park, CA | asset manager | $215M | 0.0% | 0 | Not computed | 2 | 0 |
| A••••• C•••••• P•••••••• L•• CRD 162246 | Los Angeles, CA | independent RIA | $214M | 99% | 3 | $71.2M | 1 | 0 |
| L•••••••• C•••••• P•••••••• L•• CRD 343142 | Los Angeles, CA | asset manager | $213M | 0.0% | 0 | Not computed | 2 | 4 |
| S•••••• W••••• A•••••••• I••• CRD 289950 | Brea, CA | independent RIA | $212M | 93% | 3 | $70.8M | 0 | 0 |
| C•••••••• C•••••• G••••• L•• CRD 139564 | La Jolla, CA | independent RIA | $212M | 100% | 4 | $53.1M | 0 | 0 |
| E••••••• E••••• P•••••••• L•• CRD 324822 | Los Angeles, CA | asset manager | $212M | 0.0% | 0 | Not computed | 0 | 5 |
| B••• S••••• W••••• M••••••••• CRD 148782 | San Diego, CA | independent RIA | $211M | 100% | 2 | $106M | 0 | 0 |
| P••••••• W••••• M••••••••• L•• CRD 315578 | Roseville, CA | independent RIA | $211M | 100% | 0 | Not computed | 4 | 0 |
| F•••••••• C•••••• M••••••••• I••• CRD 107650 | Rancho Santa Fe, CA | independent RIA | $211M | 96% | 3 | $70.2M | 0 | 0 |
| M••• G••••• E••••••••• CRD 108632 | Fair Oaks, CA | independent RIA | $210M | 93% | 2 | $105M | 0 | 0 |
| S••••••• G••••• CRD 326444 | San Francisco, CA | asset manager | $210M | 0.0% | 0 | Not computed | 0 | 1 |
| A•••••• C•••••• M••••••••• I••• CRD 128679 | San Ramon, CA | independent RIA | $210M | 98% | 1 | $210M | 0 | 0 |
| C••••• B•••• F•••••••• A••••••• CRD 140959 | San Ramon, CA | independent RIA | $209M | 100% | 2 | $105M | 2 | 0 |
| F••••••• W••••• A•••••••• L•• CRD 318729 | Irvine, CA | independent RIA | $209M | 100% | 3 | $69.7M | 0 | 0 |
| E•• C••••• C••••••• L• CRD 326553 | Los Angeles, CA | asset manager | $209M | 1.4% | 0 | Not computed | 0 | 0 |
| C••• W••••• M••••••••• CRD 299089 | Lakeside, CA | independent RIA | $209M | 96% | 7 | $29.8M | 4 | 0 |
| M••••• W••••• A••••••• I••• CRD 338608 | Santa Rosa, CA | independent RIA | $209M | 99% | 3 | $69.6M | 0 | 0 |
| V•••••• M••••••••• L•• CRD 135434 | Los Angeles, CA | asset manager | $209M | 0.0% | 0 | Not computed | 0 | 4 |
| S•••••• L••• A•••• M••••••••• L•• CRD 282566 | Huntington Beach, CA | independent RIA | $208M | 100% | 2 | $104M | 1 | 0 |
| G•••• P••• A•••••••• L•• CRD 269983 | Los Altos, CA | independent RIA | $208M | 100% | 3 | $69.2M | 1 | 0 |
| W•• O• S•• D•••• CRD 307404 | San D••••, CA | independent RIA | $207M | 98% | 2 | $103M | 1 | 0 |
| H••••••••• C•••••• A•••••••• L•• CRD 226760 | Palm Desert, CA | independent RIA | $206M | 92% | 2 | $103M | 2 | 0 |
| B••••••••• W••••• P•••••••• L•• CRD 160563 | Camarillo, CA | independent RIA | $206M | 98% | 1 | $206M | 0 | 0 |
| T•• P••••• F•••••••• G•••• L•• CRD 111639 | San Rafael, CA | independent RIA | $205M | 100% | 6 | $34.2M | 1 | 0 |
| B••• M••••• I••••••••• CRD 141354 | Santa Barbara, CA | independent RIA | $205M | 91% | 3 | $68.4M | 0 | 0 |
| R••••••• I••••••••• R••••••• CRD 306119 | Walnut, CA | asset manager | $203M | 0.0% | 0 | Not computed | 3 | 0 |
| H••••• • A••••••••• F•••••••• G•••• I••• CRD 168363 | Roseville, CA | independent RIA | $202M | 100% | 4 | $50.6M | 1 | 0 |
| J•••••• L•••• W••••• A••••••• CRD 150150 | Los Altos, CA | independent RIA | $202M | 92% | 2 | $101M | 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.