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 |
|---|---|---|---|---|---|---|---|---|
| Chrome Advisors CRD 311539 | San Francisco, CA | independent RIA | $152M | 94% | 2 | $76.0M | 0 | 0 |
| Redwood Coast Financial Partners CRD 226560 | Eureka, CA | independent RIA | $152M | 97% | 2 | $75.9M | 2 | 0 |
| Classic Financial CRD 120228 | Westlake Village, CA | independent RIA | $152M | 92% | 1 | $152M | 0 | 0 |
| R•• C•••• W••••• M••••••••• L•• CRD 284006 | Palo Alto, CA | independent RIA | $152M | 97% | 2 | $75.8M | 0 | 1 |
| R•••••• G•••• W••••• M••••••••• CRD 150667 | San Rafael, CA | independent RIA | $151M | 99% | 2 | $75.7M | 0 | 0 |
| C••••••••• F•••••••• G••••• L•• CRD 292458 | Westlake Village, CA | independent RIA | $151M | 99% | 1 | $151M | 1 | 0 |
| O•••••••• W••••• M••••••••• CRD 319078 | Granite Bay, CA | independent RIA | $150M | 97% | 2 | $74.9M | 3 | 0 |
| S•••••• C•••••• M••••••••• L•• CRD 145969 | Newport Beach, CA | independent RIA | $149M | 84% | 3 | $49.7M | 0 | 1 |
| T•• E•••••••• A•••• M••••••••• S•••••••• I••• CRD 146778 | Newport Beach, CA | independent RIA | $148M | 65% | 2 | $74.1M | 1 | 0 |
| B•••••••• C•••••• A•••••••• I••• CRD 127513 | Larkspur, CA | independent RIA | $148M | 86% | 2 | $74.0M | 0 | 0 |
| T•••• W••••• S•••••••• CRD 327794 | Los Altos, CA | independent RIA | $148M | 95% | 1 | $148M | 0 | 0 |
| H••••••• G••••• S••••••••• CRD 127059 | Palo Alto, CA | independent RIA | $147M | 100% | 1 | $147M | 0 | 0 |
| B••••• W••••• A••••••• CRD 154878 | San Mateo, CA | independent RIA | $147M | 100% | 1 | $147M | 0 | 0 |
| S•••• S•••• F••••••••• L•• CRD 175289 | Encinitas, CA | independent RIA | $147M | 100% | 4 | $36.6M | 6 | 0 |
| W•••••••• E••••• M••••••••• L•• CRD 306955 | Palo Alto, CA | asset manager | $146M | 0.0% | 0 | Not computed | 0 | 5 |
| F•• R••••••••• S••••••• CRD 164571 | Westlake Village, CA | institutional | $146M | 0.0% | 6 | $24.4M | 0 | 0 |
| C••••••••• W••••• A•••••••• I••• CRD 309544 | Carlsbad, CA | independent RIA | $146M | 98% | 4 | $36.4M | 2 | 0 |
| W••••• H••••• • C•• CRD 908 | San Rafael, CA | independent RIA | $145M | 91% | 4 | $36.2M | 1 | 0 |
| S••••• M••••••••• L•• CRD 315808 | San Francisco, CA | asset manager | $145M | 0.0% | 0 | Not computed | 0 | 6 |
| H•••• C•••••• G•••• CRD 149641 | Westlake Village, CA | independent RIA | $144M | 95% | 1 | $144M | 0 | 0 |
| A••• C•••••• A••••••• CRD 151887 | Los Angeles, CA | independent RIA | $144M | 100% | 2 | $71.9M | 0 | 0 |
| P•••••• A•••••••• L•• CRD 289037 | Newport Beach, CA | independent RIA | $144M | 92% | 3 | $47.9M | 0 | 0 |
| F•• C••• A•••••••• L•• CRD 321822 | Albany, CA | independent RIA | $144M | 99% | 2 | $71.8M | 2 | 0 |
| M••••••• A•••••••• I••• CRD 144072 | Palo Alto, CA | independent RIA | $143M | 98% | 4 | $35.9M | 0 | 0 |
| A••••• W•• F•••••••• CRD 168109 | Pasadena, CA | independent RIA | $143M | 86% | 1 | $143M | 0 | 0 |
| U•••• A••••••• G•••• CRD 338775 | Irvine, CA | independent RIA | $143M | 99% | 1 | $143M | 0 | 0 |
| R••••••• C•••••• M••••••••• C• CRD 108762 | Moraga, CA | independent RIA | $142M | 100% | 1 | $142M | 0 | 0 |
| R• P•••••••• G•••• CRD 281752 | San Diego, CA | independent RIA | $142M | 95% | 3 | $47.5M | 0 | 0 |
| S••••••••• C••••••• I••• CRD 29037 | Diamond Bar, CA | independent RIA | $142M | 100% | 10 | $14.2M | 8 | 0 |
| P••••••••• C•••••• G••••• I•••••••• M••••••••• L•• CRD 173288 | Los Gatos, CA | asset manager | $142M | 0.0% | 0 | Not computed | 0 | 4 |
| B••••• W••••• M••••••••• CRD 297957 | Santa Barbara, CA | independent RIA | $141M | 99% | 4 | $35.4M | 0 | 0 |
| S•• C•••• F•••••••• CRD 151251 | Roseville, CA | independent RIA | $141M | 100% | 2 | $70.7M | 0 | 0 |
| D••••• W••••• CRD 284619 | Pasadena, CA | independent RIA | $141M | 100% | 1 | $141M | 1 | 0 |
| E•••••• I••••••••• S•••••••• I•• CRD 324860 | Campbell, CA | independent RIA | $141M | 99% | 2 | $70.5M | 1 | 0 |
| M•••••••• • P••••• W••••• A••••••• CRD 148484 | Bakersfield, CA | independent RIA | $141M | 92% | 3 | $46.9M | 1 | 0 |
| S•••••• A•••• M••••••••• I••• CRD 170861 | Ventura, CA | independent RIA | $141M | 76% | 1 | $141M | 0 | 1 |
| B••••• W••••• M••••••••• L•• CRD 290550 | Redlands, CA | independent RIA | $140M | 98% | 1 | $140M | 0 | 0 |
| C•••••••• F•••••••• G••••••••• CRD 107806 | C••••••••, CA | independent RIA | $140M | 99% | 1 | $140M | 1 | 0 |
| L••••• P••• L•• CRD 283909 | Newport, CA | independent RIA | $140M | 94% | 2 | $69.9M | 1 | 0 |
| S••••••• W••••• M••••••••• L•• CRD 312805 | San Diego, CA | independent RIA | $140M | 99% | 3 | $46.5M | 1 | 0 |
| M••• A•••••••• I••• CRD 144325 | Palo Alto, CA | independent RIA | $138M | 100% | 1 | $138M | 1 | 0 |
| T••• C••••••• L•• CRD 160367 | San Mateo, CA | other | $138M | 0.0% | 0 | Not computed | 0 | 1 |
| G••••• T••• W••••• A••••••• CRD 312361 | San Ramon, CA | independent RIA | $138M | 97% | 2 | $69.0M | 0 | 0 |
| S•••• F••• P••••••• L•• CRD 300060 | Palo Alto, CA | asset manager | $138M | 0.0% | 0 | Not computed | 0 | 3 |
| A•••• • A••••••••• CRD 126849 | Grass Valley, CA | independent RIA | $138M | 95% | 3 | $45.9M | 1 | 0 |
| W••••••••• T•••••• J••••• CRD 138301 | Manhattan Beach, CA | independent RIA | $137M | 100% | 1 | $137M | 0 | 0 |
| 2• W••• W••••• M••••••••• L•• CRD 304532 | Tustin, CA | independent RIA | $137M | 100% | 2 | $68.5M | 0 | 0 |
| A•••••••• W••••• P•••••••• L•• CRD 146451 | Pleasant Hill, CA | independent RIA | $137M | 100% | 2 | $68.4M | 0 | 0 |
| C•••• W••••• M••••••••• L•• CRD 127309 | Irvine, CA | independent RIA | $137M | 96% | 2 | $68.4M | 0 | 0 |
| B•••••• W••••• M••••••••• CRD 105437 | Oakland, CA | independent RIA | $136M | 74% | 5 | $27.3M | 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.