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 |
|---|---|---|---|---|---|---|---|---|
| Doheny Asset Management, L.L.C. CRD 106434 | Los Angeles, CA | independent RIA | $186M | 99% | 2 | $92.8M | 0 | 0 |
| Archer Pointe Wealth Management, LLC CRD 308777 | Davis, CA | independent RIA | $186M | 98% | 2 | $92.8M | 1 | 0 |
| Guild Investment Management, Inc. CRD 108390 | Westlake Village, CA | independent RIA | $185M | 100% | 2 | $92.6M | 0 | 0 |
| T••••••••• W••••• M••••••••• CRD 336703 | Pasadena, CA | independent RIA | $185M | 100% | 2 | $92.4M | 0 | 0 |
| L•••• W••••• M••••••••• L•• CRD 153453 | Pasadena, CA | independent RIA | $185M | 100% | 8 | $23.1M | 0 | 0 |
| M••••• R••••••••• A••••••• CRD 172464 | Manhattan Beach, CA | independent RIA | $184M | 100% | 2 | $92.1M | 0 | 0 |
| L•••••••• C•••••• M••••••••• CRD 328283 | Thousand Oaks, CA | independent RIA | $184M | 77% | 1 | $184M | 0 | 0 |
| K•••••••• V•••••••• L•• CRD 290082 | Los Angeles, CA | asset manager | $184M | 0.0% | 0 | Not computed | 0 | 27 |
| T•••••••• M•••••• L•• CRD 329349 | Beverly Hills, CA | asset manager | $184M | 0.0% | 0 | Not computed | 0 | 1 |
| V••••••• C••••••• L•• CRD 321865 | Malibu, CA | independent RIA | $184M | 82% | 4 | $45.9M | 2 | 0 |
| O••• D••• I••••••••• M••••••••• L••• CRD 159123 | San Francisco, CA | asset manager | $183M | 0.0% | 0 | Not computed | 1 | 2 |
| A••••••• W••••• M••••••••• I••• CRD 136031 | Livermore, CA | independent RIA | $183M | 70% | 1 | $183M | 0 | 0 |
| G••••• A••••••• L•• CRD 113916 | Los Angeles, CA | independent RIA | $183M | 91% | 8 | $22.8M | 0 | 0 |
| G•• C•••••• A••••••• L•• CRD 135143 | Newport Beach, CA | institutional | $182M | 0.0% | 0 | Not computed | 1 | 0 |
| A•••••• F••••• O••••• CRD 338266 | Santa Monica, CA | bank affiliated | $182M | 79% | 3 | $60.7M | 3 | 0 |
| T•••••• G••••• A•••••••• L•• CRD 285161 | Manhattan Beach, CA | asset manager | $182M | 0.0% | 0 | Not computed | 0 | 2 |
| S••••• N••• C••••••• L• CRD 336297 | Los Angeles, CA | asset manager | $181M | 0.0% | 0 | Not computed | 1 | 1 |
| L•••• C•••••• M••••••••• CRD 133619 | Beverly Hills, CA | independent RIA | $180M | 99% | 1 | $180M | 0 | 0 |
| H••• C••••••• L•• CRD 153961 | Pasadena, CA | independent RIA | $180M | 97% | 2 | $90.0M | 0 | 0 |
| K•••••• I••••••••• M••••••••• C••• CRD 106789 | San Mateo, CA | mixed wealth | $180M | 33% | 1 | $180M | 0 | 1 |
| S••••••• F•••••••• G•••• CRD 327004 | San Diego, CA | independent RIA | $180M | 95% | 2 | $89.8M | 1 | 0 |
| G••••• K• P•••• A•• W••••• M••••••••• A• D•• O• G••••• K• W••••• M• CRD 156588 | Woodland Hills, CA | mixed wealth | $179M | 35% | 1 | $179M | 1 | 0 |
| O••••••• W••••• M••••••••• I••• CRD 152316 | Monrovia, CA | independent RIA | $179M | 99% | 2 | $89.6M | 0 | 0 |
| C•••••••• W••••• M••••••••• CRD 288978 | Irvine, CA | independent RIA | $179M | 92% | 2 | $89.3M | 0 | 0 |
| C••• F•••••••• A••••••• CRD 168839 | San Bernardino, CA | independent RIA | $179M | 99% | 4 | $44.6M | 0 | 0 |
| L••••• W••••• A•••••••• L•• CRD 127758 | San Jose, CA | independent RIA | $178M | 98% | 2 | $89.2M | 1 | 0 |
| G••••• F•••••••• A•••••••• I•• CRD 157329 | Folsom, CA | independent RIA | $178M | 95% | 2 | $88.9M | 0 | 0 |
| M• W••••• M••••••••• L•• CRD 281532 | San Diego, CA | independent RIA | $178M | 100% | 3 | $59.2M | 0 | 0 |
| T••••• W•••••• L•• CRD 310688 | San Diego, CA | independent RIA | $177M | 100% | 2 | $88.4M | 0 | 0 |
| P•••• M••••••• C•••••• M••••••••• L•• CRD 166003 | Walnut Creek, CA | asset manager | $177M | 0.0% | 2 | $88.3M | 0 | 2 |
| B••••• F•••••••• S••••••• CRD 286350 | Fremont, CA | independent RIA | $177M | 98% | 1 | $177M | 1 | 0 |
| N•••• • D•••• W••••• M••••••••• CRD 151284 | La Jolla, CA | independent RIA | $176M | 100% | 2 | $88.1M | 0 | 0 |
| K••••• F••••••••• L•• CRD 314950 | Moorpark, CA | independent RIA | $176M | 98% | 7 | $25.2M | 1 | 0 |
| C•• W••••• A•••••••• I••• CRD 113007 | Burbank, CA | independent RIA | $175M | 99% | 2 | $87.6M | 1 | 0 |
| P•••• A•••• M••••••••• L•• CRD 128580 | Los Angeles, CA | independent RIA | $175M | 100% | 1 | $175M | 0 | 0 |
| W•••••••• A•••• M••••••••• L•• CRD 312054 | Redondo Beach, CA | asset manager | $175M | 0.0% | 0 | Not computed | 0 | 2 |
| P••• S••••• I••••••••• L•• CRD 168596 | Newp••• Beach, CA | asset manager | $174M | 0.0% | 0 | Not computed | 0 | 0 |
| I•••••• W••••• M••••••••• I••• CRD 325275 | Cypress, CA | independent RIA | $174M | 100% | 3 | $58.0M | 1 | 0 |
| I••••••• F•••••••• S••••••• A••••••• CRD 304981 | Oakland, CA | independent RIA | $174M | 96% | 35 | $5.0M | 34 | 0 |
| A••••• P•••• F•••••••• CRD 334103 | Bakersfield, CA | independent RIA | $174M | 100% | 1 | $174M | 0 | 0 |
| I•• CRD 283976 | Auburn, CA | independent RIA | $173M | 100% | 8 | $21.7M | 3 | 0 |
| I••••••••• A•••• M••••••••• CRD 123418 | San Mateo, CA | independent RIA | $173M | 99% | 5 | $34.6M | 0 | 0 |
| C•••••• G•••••• L••• CRD 330571 | Santa Monica, CA | asset manager | $173M | 0.0% | 0 | Not computed | 0 | 1 |
| W••••••••• A•••••••• I••• CRD 297192 | Placerville, CA | independent RIA | $172M | 96% | 3 | $57.5M | 0 | 0 |
| P••••••••• R•••• L•• CRD 281894 | Santa Ana, CA | independent RIA | $172M | 73% | 2 | $86.2M | 0 | 0 |
| L••••• W••••• M••••••••• CRD 146620 | El Dorado Hills, CA | independent RIA | $172M | 96% | 3 | $57.4M | 0 | 0 |
| C•••••• P••••••• L•• CRD 127546 | Berkeley, CA | independent RIA | $172M | 67% | 3 | $57.3M | 0 | 1 |
| C••••••• F•••••••• P••••••• • C••••••••• CRD 134936 | Modesto, CA | independent RIA | $172M | 100% | 1 | $172M | 0 | 0 |
| C••• W••••• A•••••••• L•• CRD 340677 | Walnut Creek, CA | independent RIA | $172M | 100% | 2 | $85.8M | 0 | 0 |
| E••••••• W•••••• L•• CRD 288331 | Bakersfield, CA | independent RIA | $171M | 95% | 2 | $85.6M | 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.