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 |
|---|---|---|---|---|---|---|---|---|
| J K R & Company, Inc. CRD 8040 | Van Nuys, CA | independent RIA | $136M | 100% | 5 | $27.3M | 5 | 0 |
| Wealthrise Financial Planning, LLC CRD 283764 | Carlsbad, CA | independent RIA | $136M | 100% | 2 | $68.0M | 1 | 0 |
| Barrier Capital Management, LLC CRD 312294 | San Francisco, CA | institutional | $136M | 0.0% | 0 | Not computed | 0 | 1 |
| 1• E••••• CRD 310628 | Santa Barbara, CA | independent RIA | $136M | 90% | 3 | $45.3M | 0 | 0 |
| F•••••••• A••••••• CRD 305352 | San Francisco, CA | other | $136M | 17% | 2 | $67.9M | 2 | 0 |
| L•••• C•••••• L•• CRD 323373 | Santa Monica, CA | independent RIA | $135M | 94% | 1 | $135M | 1 | 1 |
| C•••••• C••• A•••• M••••••••• CRD 289810 | Newport Beach, CA | independent RIA | $135M | 92% | 2 | $67.6M | 2 | 0 |
| D••••••• M••••••••• L•• CRD 299919 | El Segundo, CA | asset manager | $135M | 0.0% | 0 | Not computed | 0 | 1 |
| C••••• W••••• M••••••••• CRD 150486 | Arcadia, CA | independent RIA | $135M | 98% | 2 | $67.5M | 0 | 0 |
| A•••• W••••• A••••••• CRD 301214 | Chico, CA | independent RIA | $135M | 91% | 2 | $67.5M | 0 | 0 |
| C•••••• A••••••• I••• CRD 131081 | Auburn, CA | independent RIA | $134M | 100% | 1 | $134M | 1 | 0 |
| C•• C•••••• S• M••••••••• L•• CRD 306166 | Los Angeles, CA | asset manager | $134M | 0.0% | 0 | Not computed | 0 | 0 |
| M••••• F•••••••• S•••••••• I•• CRD 176528 | Chico, CA | independent RIA | $134M | 96% | 2 | $67.0M | 0 | 0 |
| L•••• F••••••••• L•• CRD 170324 | San Luis Obispo, CA | independent RIA | $134M | 99% | 3 | $44.6M | 0 | 0 |
| G••••••• C••• • W••••••• I••• CRD 125484 | San Francisco, CA | independent RIA | $134M | 90% | 2 | $66.8M | 0 | 0 |
| S••••• F•••••••• C••••••••• CRD 293058 | Wilton, CA | independent RIA | $132M | 98% | 2 | $66.2M | 0 | 0 |
| S•••••• C•••••• P•••••••• L•• CRD 105702 | Mill Valley, CA | independent RIA | $132M | 100% | 2 | $66.0M | 0 | 0 |
| C••••••••• W••••• M••••••••• CRD 312196 | San Jose, CA | independent RIA | $132M | 100% | 2 | $65.8M | 0 | 0 |
| A•• I••••••••• M••••••••• L•• CRD 118538 | San Rafael, CA | independent RIA | $132M | 99% | 1 | $132M | 1 | 0 |
| W••• S•••••• A••••••• I••• CRD 306501 | Larkspur, CA | independent RIA | $131M | 100% | 2 | $65.7M | 0 | 0 |
| A••• W••••• M••••••••• CRD 288450 | Saratoga, CA | independent RIA | $130M | 77% | 6 | $21.7M | 4 | 0 |
| V••• W••••• P•••••••• I••• CRD 140824 | Santa Barbara, CA | independent RIA | $130M | 100% | 1 | $130M | 0 | 0 |
| R•• A•••• M••••••••• G••••• L•• CRD 312211 | Studio City, CA | asset manager | $129M | 0.0% | 1 | $129M | 2 | 4 |
| W••••••• C•••••• CRD 283525 | Temecula, CA | independent RIA | $129M | 100% | 4 | $32.2M | 2 | 0 |
| P••••••••• F•••••••• CRD 148760 | San Francisco, CA | independent RIA | $129M | 87% | 3 | $42.9M | 3 | 0 |
| B•••• A•••• M••••••••• L• CRD 142987 | Newport Beach, CA | independent RIA | $129M | 99% | 3 | $42.9M | 1 | 0 |
| I• B••••• F••••• M••••••••• L•• CRD 314033 | Menlo Park, CA | asset manager | $128M | 0.0% | 0 | Not computed | 0 | 19 |
| H••••• H•••• F•••••••• A••••••• CRD 312691 | Montecito, CA | independent RIA | $128M | 97% | 3 | $42.7M | 0 | 0 |
| O••• P•••••• W••••• G••••• L•• CRD 171317 | Orange, CA | independent RIA | $128M | 100% | 3 | $42.7M | 1 | 0 |
| W• F•••••••• G•••• CRD 298549 | San Francisco, CA | independent RIA | $127M | 100% | 4 | $31.9M | 0 | 0 |
| F•••••••• F•••••••• A•••••••• I••• CRD 165434 | Folsom, CA | independent RIA | $127M | 100% | 1 | $127M | 0 | 0 |
| W••••• W••••• S••••••••• L•• CRD 304289 | San Luis Obispo, CA | independent RIA | $127M | 73% | 1 | $127M | 0 | 0 |
| D••••• B•• M••••••••• • P••••••• CRD 136373 | San Francisco, CA | independent RIA | $127M | 83% | 1 | $127M | 0 | 0 |
| M••••• F•••••••• S•••••••• I••• CRD 339220 | San Juan Capistrano, CA | independent RIA | $127M | 100% | 1 | $127M | 0 | 0 |
| K•••••••• C•••••• M••••••••• L•• CRD 161445 | Point Richmond, CA | institutional | $127M | 0.0% | 0 | Not computed | 0 | 2 |
| S••••••• S••••• A••••••• CRD 306021 | Larkspur, CA | independent RIA | $126M | 100% | 2 | $63.1M | 2 | 0 |
| T•••••• C•••••• C••••••••• CRD 169139 | Ladera Ranch, CA | independent RIA | $126M | 100% | 1 | $126M | 0 | 0 |
| H••••• W••••• M••••••••• CRD 338134 | Lafayette, CA | independent RIA | $126M | 100% | 3 | $41.9M | 0 | 0 |
| E••• B•••• A•••• M••••••••• L•• CRD 310563 | Los Angeles, CA | asset manager | $125M | 0.0% | 1 | $125M | 0 | 0 |
| I••••••• 8• I••••••••• L•• CRD 152180 | Cupertino, CA | independent RIA | $124M | 100% | 1 | $124M | 1 | 0 |
| C•••••• G•••• CRD 286086 | Oakland, CA | independent RIA | $124M | 51% | 2 | $61.8M | 2 | 0 |
| Z•••••••• C•••••• M••••••••• L•• CRD 148549 | Los Angeles, CA | independent RIA | $123M | 93% | 2 | $61.7M | 0 | 0 |
| G•••••••• W••••• M••••••••• CRD 161266 | Danville, CA | independent RIA | $123M | 100% | 1 | $123M | 0 | 0 |
| P•••••• S•••••••• I••••••••• G••••• L•• CRD 282463 | Newport Beach, CA | independent RIA | $123M | 100% | 2 | $61.6M | 0 | 0 |
| D••••• F•••••••• A•••••••• I••• CRD 139764 | Murrieta, CA | independent RIA | $123M | 73% | 3 | $41.0M | 0 | 0 |
| B•••••• C•••••• M••••••••• CRD 154344 | San Francisco, CA | asset manager | $123M | 0.0% | 0 | Not computed | 0 | 0 |
| S••••••• A•••••••• L•• CRD 324002 | Irvine, CA | asset manager | $123M | 0.0% | 3 | $40.9M | 1 | 8 |
| E••••••• W••••• A••••••• CRD 323320 | Temecula, CA | independent RIA | $123M | 100% | 3 | $40.9M | 0 | 0 |
| C••••••• W••••• M••••••••• L•• CRD 337757 | Oakland, CA | independent RIA | $123M | 100% | 2 | $61.4M | 0 | 0 |
| E•••• S••••••••• L•• CRD 333167 | Sacramento, CA | other | $123M | 0.0% | 0 | Not computed | 2 | 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.