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 |
|---|---|---|---|---|---|---|---|---|
| Pacific Financial Strategies, Inc CRD 151434 | Thousand Oaks, CA | independent RIA | $201M | 100% | 3 | $67.1M | 1 | 0 |
| Authentic Ventures Investment Manager, LLC CRD 304938 | Oakland, CA | asset manager | $201M | 0.0% | 0 | Not computed | 0 | 14 |
| Waverley Wealth Management LLC CRD 156023 | Mountain View, CA | independent RIA | $201M | 100% | 2 | $101M | 0 | 0 |
| M• P•••••••• G••••• L•• CRD 153188 | Seal Beach, CA | independent RIA | $201M | 100% | 2 | $100M | 0 | 0 |
| L••••• P••••••• A•••• M••••••••• L•• CRD 164136 | Los Angeles, CA | asset manager | $201M | 0.0% | 2 | $100M | 1 | 5 |
| E•••••• B•• W••••• M••••••••• L•• CRD 160837 | Tahoe City, CA | independent RIA | $200M | 99% | 0 | Not computed | 0 | 0 |
| M• • A••••••••• S••••••••• M••••••••• C••••••••• CRD 110516 | Carlsbad, CA | independent RIA | $200M | 100% | 0 | Not computed | 1 | 0 |
| M••• C•••••• M••••••••• CRD 136154 | Healdsburg, CA | asset manager | $199M | 0.0% | 0 | Not computed | 0 | 1 |
| C••••••••• A••••••• CRD 172653 | Thousand Oaks, CA | independent RIA | $198M | 100% | 2 | $99.2M | 0 | 0 |
| C•••• A••••••• M••••••••• I••• CRD 109720 | Larkspur, CA | asset manager | $198M | 0.0% | 1 | $198M | 1 | 1 |
| B••••• A•••• M••••••••• L•• CRD 168688 | Santa Monica, CA | asset manager | $198M | 0.0% | 0 | Not computed | 1 | 2 |
| A•••••••• I••••••••• L•• CRD 315478 | Stockton, CA | independent RIA | $197M | 100% | 1 | $197M | 0 | 0 |
| A•• I••••••••• M••••••••• G•••• CRD 153504 | Jackson, CA | independent RIA | $197M | 100% | 2 | $98.6M | 1 | 0 |
| L• C••••••• L•• CRD 277098 | Windsor, CA | asset manager | $197M | 0.0% | 0 | Not computed | 0 | 6 |
| C••••• C•••••• S•• L•• CRD 283073 | Santa Barbara, CA | asset manager | $197M | 0.0% | 0 | Not computed | 0 | 8 |
| C•••••••• P•••••••• I••• CRD 105364 | San Ramon, CA | independent RIA | $197M | 100% | 2 | $98.3M | 0 | 0 |
| R•••• F•••••••• A••••••••• I••• CRD 153194 | San Diego, CA | independent RIA | $196M | 100% | 5 | $39.2M | 0 | 0 |
| G••••• G••• P••••••• F•••••••• P••••••• CRD 132264 | San Francisco, CA | independent RIA | $196M | 100% | 1 | $196M | 0 | 0 |
| P••• F•••••••• CRD 44960 | Fresno, CA | independent RIA | $195M | 88% | 6 | $32.6M | 0 | 0 |
| A••••• E••••• A••••••• L•• CRD 166977 | San Francisco, CA | asset manager | $194M | 0.0% | 0 | Not computed | 1 | 0 |
| I•••••••• W••••• P•••••••• L•• CRD 167314 | Walnut Creek, CA | independent RIA | $194M | 99% | 2 | $96.9M | 0 | 0 |
| D• M• B••••••• I••• CRD 134398 | Solana Beach, CA | independent RIA | $194M | 95% | 4 | $48.4M | 0 | 0 |
| X•• M••••••••• L•• CRD 322445 | El Segundo, CA | asset manager | $194M | 0.0% | 0 | Not computed | 0 | 8 |
| J•••••• C•••••• A••••••• L•• CRD 177514 | San Francisco, CA | independent RIA | $193M | 85% | 1 | $193M | 1 | 0 |
| W•••••• • H••••• L•• CRD 135406 | Encino, CA | independent RIA | $193M | 97% | 3 | $64.4M | 0 | 0 |
| B•••••••• C•••••• G••••• L•• CRD 284867 | Livermore, CA | independent RIA | $193M | 100% | 2 | $96.5M | 0 | 0 |
| F••••• B••••• C•••••• CRD 156661 | Oakland, CA | asset manager | $193M | 0.0% | 3 | $64.2M | 0 | 2 |
| G••••••••• C•••••• L•• CRD 284814 | El Segundo, CA | independent RIA | $192M | 99% | 2 | $96.2M | 0 | 0 |
| K• F•••••••• I••• CRD 300913 | Glendora, CA | independent RIA | $192M | 100% | 8 | $24.0M | 2 | 0 |
| C••••• W•••••• L•• CRD 341781 | La Jolla, CA | independent RIA | $191M | 61% | 4 | $47.9M | 0 | 0 |
| A••••• C•••••• CRD 123543 | Aliso Viejo, CA | asset manager | $191M | 5.1% | 2 | $95.6M | 0 | 0 |
| M•• I••••••••• G••••• L•• CRD 332416 | Calabasas, CA | asset manager | $191M | 0.0% | 0 | Not computed | 0 | 0 |
| D•• I••••••••• I••• CRD 164945 | Thousand Oaks, CA | independent RIA | $191M | 91% | 2 | $95.5M | 0 | 0 |
| D•••••• W••••• S••••••••• L•• CRD 167594 | Granite Bay, CA | independent RIA | $191M | 96% | 4 | $47.7M | 3 | 1 |
| C•••••••• W••••••• • V•••••• I•• CRD 111082 | San Diego, CA | independent RIA | $190M | 85% | 3 | $63.4M | 0 | 0 |
| S•••••• B•••• W•••••• L•• CRD 310051 | Marina Del Rey, CA | independent RIA | $190M | 100% | 2 | $95.0M | 0 | 0 |
| A••••••• A••••••• L•• CRD 340784 | Culver City, CA | independent RIA | $190M | 99% | 6 | $31.7M | 0 | 0 |
| H••••••• M•••• • A••••••••• CRD 155865 | La Jolla, CA | independent RIA | $189M | 91% | 2 | $94.4M | 0 | 0 |
| W••••••• Q•••• C••••••• I••• CRD 148012 | San Diego, CA | asset manager | $188M | 0.0% | 1 | $188M | 2 | 1 |
| B••••••••• V•••• P•••••••• L•• CRD 128117 | Los Angeles, CA | independent RIA | $188M | 96% | 3 | $62.8M | 3 | 1 |
| F•••• F•••••••• A••••••• CRD 147537 | Carlsbad, CA | independent RIA | $188M | 100% | 2 | $94.1M | 0 | 0 |
| A••• I••••••••• M••••••••• L•• CRD 298298 | Marina Del Rey, CA | asset manager | $188M | 0.0% | 0 | Not computed | 0 | 8 |
| T•••••• C••••••• L•• CRD 151464 | Carmel, CA | independent RIA | $187M | 67% | 3 | $62.5M | 0 | 0 |
| W••• • A••••••••• CRD 107878 | San Diego, CA | independent RIA | $187M | 97% | 2 | $93.6M | 0 | 0 |
| B••••••• C•••••• A•••••••• L•• CRD 328736 | Santa Monica, CA | asset manager | $187M | 0.0% | 0 | Not computed | 0 | 0 |
| E•••• F••••• I••••••••• C••••••• L•• CRD 104695 | Beverly Hills, CA | independent RIA | $187M | 97% | 1 | $187M | 1 | 0 |
| A•• F••••••••• L•• CRD 115479 | Los Gatos, CA | independent RIA | $187M | 84% | 1 | $187M | 0 | 0 |
| T•••• W••••• S•••••••• L•• CRD 331833 | Westlake Village, CA | independent RIA | $186M | 93% | 7 | $26.6M | 0 | 0 |
| T•• K•••• F•••••••• G••••• I••• CRD 112129 | Rancho Mirage, CA | independent RIA | $186M | 94% | 5 | $37.2M | 0 | 0 |
| G••••• C••••••• L•• CRD 163876 | Los Angeles, CA | asset manager | $186M | 0.0% | 0 | Not computed | 0 | 1 |
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.