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 |
|---|---|---|---|---|---|---|---|---|
| Poplar Point Capital Management LLC CRD 165411 | Burlingame, CA | other | $110M | 0.0% | 0 | Not computed | 0 | 1 |
| Lockerman Financial Group, Inc CRD 316860 | Newport Beach, CA | independent RIA | $110M | 100% | 1 | $110M | 0 | 0 |
| Hunt Wealth Management CRD 288892 | Concord, CA | independent RIA | $110M | 100% | 2 | $55.0M | 0 | 0 |
| W•••••••• W••••• M••••••••• CRD 317777 | Newport Beach, CA | independent RIA | $110M | 100% | 1 | $110M | 0 | 0 |
| C•••••• W••••• M••••••••• CRD 315313 | San Mateo, CA | independent RIA | $110M | 100% | 1 | $110M | 1 | 0 |
| V•••• A••••••• CRD 304619 | San Ramon, CA | independent RIA | $110M | 100% | 3 | $36.5M | 1 | 0 |
| A•• C•••••• M••••••••• L•• CRD 299674 | Moorpark, CA | asset manager | $109M | 0.0% | 0 | Not computed | 0 | 1 |
| F••••••• F•• R••• L••• CRD 324090 | Lompoc, CA | independent RIA | $109M | 98% | 2 | $54.3M | 2 | 0 |
| D••• I••••••••• R••••••• A•• M••••••••• I••• CRD 300058 | Irvine, CA | independent RIA | $107M | 95% | 2 | $53.7M | 5 | 0 |
| N•••• B•• W••••• M••••••••• CRD 285523 | Petaluma, CA | independent RIA | $107M | 93% | 2 | $53.7M | 0 | 0 |
| M••• C•••••• M••••••••• L•• CRD 304463 | Santa Monica, CA | independent RIA | $107M | 96% | 1 | $107M | 1 | 2 |
| E••••• C••••••• L•• CRD 338391 | Lake Forest, CA | independent RIA | $107M | 100% | 1 | $107M | 0 | 0 |
| E••• F•••••••• A••••••• CRD 307357 | Oakland, CA | independent RIA | $107M | 100% | 1 | $107M | 0 | 0 |
| S•• I••••••••• A••••••• CRD 129367 | Encino, CA | mixed wealth | $106M | 48% | 2 | $53.2M | 0 | 0 |
| C••••••• P••••••••• L•• CRD 132551 | Los Altos, CA | independent RIA | $105M | 94% | 2 | $52.7M | 1 | 0 |
| C•••••••• I••••••••• P•••••••• L•• CRD 150046 | Costa Mesa, CA | independent RIA | $105M | 100% | 2 | $52.7M | 0 | 0 |
| K•••• T••• C•••••• M••••••••• L•• CRD 330374 | Palo Alto, CA | independent RIA | $105M | 100% | 1 | $105M | 0 | 0 |
| R•• S•••• CRD 168542 | Escondido, CA | independent RIA | $104M | 95% | 4 | $26.1M | 1 | 0 |
| W••••••• G••••• W••••• A••••••• CRD 306770 | Santa Monica, CA | independent RIA | $104M | 88% | 2 | $52.2M | 0 | 0 |
| B••••• L••• W••••• M••••••••• L•• CRD 323513 | Redding, CA | independent RIA | $104M | 100% | 6 | $17.3M | 2 | 0 |
| A•••• C•••••• CRD 26193 | Walnut Creek, CA | independent RIA | $104M | 77% | 6 | $17.3M | 0 | 0 |
| A••••••• W••••• P•••••••• L•• CRD 317221 | Santa Barbara, CA | independent RIA | $103M | 100% | 2 | $51.6M | 0 | 0 |
| F•••••• C•••••• L•• CRD 341250 | Los Angeles, CA | independent RIA | $103M | 99% | 5 | $20.5M | 0 | 0 |
| S••••••••• C•••••• M••••••••• CRD 313075 | Carmel-By-The-Sea, CA | independent RIA | $102M | 94% | 3 | $34.2M | 1 | 0 |
| W••• C•••••• M••••••••• L•• CRD 119355 | Santa Cruz, CA | independent RIA | $102M | 100% | 2 | $51.0M | 0 | 0 |
| S••••• R••••••••• F•••••••• • I•••••••• S••••••• C•••• CRD 132777 | San Ramon, CA | independent RIA | $102M | 100% | 3 | $34.0M | 0 | 0 |
| S•• V••••• W••••• M••••••••• C•••• CRD 317320 | Irvine, CA | independent RIA | $101M | 84% | 3 | $33.8M | 1 | 0 |
| S••••• W••••• M••••••••• CRD 147890 | Laguna Beach, CA | independent RIA | $100M | 100% | 2 | $50.2M | 0 | 0 |
| C••••••• P•••• C•••••• L•• CRD 141166 | San Francisco, CA | asset manager | $100M | 0.0% | 0 | Not computed | 0 | 3 |
| T•••• O••• W••••• CRD 171082 | Gold River, CA | independent RIA | $100M | 86% | 3 | $33.3M | 1 | 0 |
| P•••••• W••••• A••••••• S••••••• L•• CRD 330888 | Danville, CA | independent RIA | $96.3M | 100% | 1 | $96.3M | 0 | 0 |
| S•••• S••••••••• L•• CRD 155168 | San Francisco, CA | other | $94.6M | 0.0% | 1 | $94.6M | 0 | 0 |
| C••• S••••• C••••••• L•• CRD 156260 | Hermosa Beach, CA | mixed wealth | $93.8M | 29% | 1 | $93.8M | 0 | 1 |
| P••• F•••••••• P••••••• CRD 317288 | Canoga Park, CA | independent RIA | $93.0M | 100% | 7 | $13.3M | 6 | 0 |
| M••••••• C•••••• M••••••••• I••• CRD 132553 | La Jolla, CA | independent RIA | $91.9M | 61% | 3 | $30.6M | 0 | 0 |
| W••• D•••••• A••••• L•• CRD 305726 | Los Angeles, CA | asset manager | $91.9M | 8.8% | 4 | $23.0M | 0 | 8 |
| P•••••••• F•••••••• G••••• I••• CRD 117378 | Cupertino, CA | independent RIA | $90.9M | 99% | 1 | $90.9M | 0 | 0 |
| N••••••• C•••••• CRD 333205 | Menlo Park, CA | asset manager | $90.0M | 0.0% | 0 | Not computed | 5 | 1 |
| 7• S•••••• F••••••••• L•• CRD 282577 | San Diego, CA | independent RIA | $88.4M | 100% | 0 | Not computed | 2 | 0 |
| P•••••• G••••• I••••••••• M••••••••• C•••••• CRD 106962 | Glendale, CA | independent RIA | $87.5M | 91% | 4 | $21.9M | 0 | 0 |
| M• P•••••• W••••• CRD 341042 | Torrance, CA | independent RIA | $86.9M | 90% | 1 | $86.9M | 0 | 0 |
| J•••• A•••• M••••••••• O• N•• Y••• L•• CRD 112006 | Hermosa Beach, CA | asset manager | $84.1M | 0.0% | 0 | Not computed | 0 | 0 |
| M•••• W••••• A••••••• L•• CRD 123237 | San Rafael, CA | independent RIA | $76.1M | 93% | 2 | $38.1M | 0 | 0 |
| B•••• H••• C•••••• P•••••••• L•• CRD 118291 | San Francisco, CA | independent RIA | $67.7M | 51% | 1 | $67.7M | 0 | 0 |
| B••••• CRD 281813 | San Francisco, CA | independent RIA | $62.9M | 100% | 1 | $62.9M | 0 | 0 |
| R•• R••••••• C•••••• M••••••••• L•• CRD 112814 | Sacramento, CA | institutional | $61.8M | 9.4% | 1 | $61.8M | 0 | 0 |
| A•• G••••• A••••••• CRD 159094 | San Diego, CA | independent RIA | $59.2M | 87% | 1 | $59.2M | 0 | 0 |
| F•••••••• C•••••• M••••••••• I••• CRD 150647 | San Jose, CA | asset manager | $58.6M | 0.0% | 0 | Not computed | 0 | 0 |
| T••••••••• A•••••••• L•• CRD 168709 | Monrovia, CA | independent RIA | $58.3M | 81% | 34 | $1.7M | 15 | 0 |
| K••••• A••••••• L••• CRD 161692 | Los Angeles, CA | asset manager | $57.8M | 0.0% | 0 | Not computed | 1 | 2 |
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.