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 |
|---|---|---|---|---|---|---|---|---|
| Westpark Capital, Inc. CRD 39914 | Los Angeles, CA | independent RIA | $53.1M | 100% | 10 | $5.3M | 3 | 0 |
| C1 Advisors LLC CRD 331914 | Palo Alto, CA | asset manager | $53.1M | 0.0% | 0 | Not computed | 0 | 0 |
| Anchor Bay Private Wealth LLC CRD 327418 | Carlsbad, CA | independent RIA | $51.7M | 100% | 5 | $10.3M | 1 | 0 |
| B••••••• C•••••• M••••••••• L• CRD 312900 | Santa Monica, CA | other | $49.3M | 0.0% | 0 | Not computed | 0 | 1 |
| J••• F•••••• CRD 327226 | San Francisco, CA | institutional | $46.7M | 7.1% | 5 | $9.3M | 3 | 0 |
| M••• I••••••••• L•• CRD 153913 | Los Angeles, CA | asset manager | $46.1M | 0.0% | 2 | $23.1M | 0 | 0 |
| I••••••• I••••••••• CRD 309727 | Palo Alto, CA | independent RIA | $45.8M | 70% | 0 | Not computed | 0 | 0 |
| M• I••••••••• S••••••• CRD 118433 | El Dorado Hills, CA | independent RIA | $42.8M | 99% | 6 | $7.1M | 0 | 0 |
| A••••••••• A••••• F••••• L•• CRD 305210 | El Segundo, CA | asset manager | $42.5M | 0.0% | 0 | Not computed | 0 | 0 |
| A•••••••• CRD 330140 | Fort Bragg, CA | mixed wealth | $39.9M | 46% | 4 | $10.0M | 1 | 0 |
| H•••• F•••••• CRD 327608 | San Francisco, CA | independent RIA | $37.7M | 100% | 1 | $37.7M | 0 | 0 |
| A•••••••• F••••• L•• CRD 298309 | Rolling Hills, CA | asset manager | $33.1M | 0.0% | 1 | $33.1M | 0 | 0 |
| A••• C•••••• M••••••••• CRD 305964 | Marina Del Rey, CA | asset manager | $32.8M | 0.0% | 0 | Not computed | 0 | 1 |
| T•• A•••••••• L•• CRD 322542 | Pleasanton, CA | asset manager | $31.3M | 0.0% | 0 | Not computed | 0 | 2 |
| O••••••••• CRD 170975 | San Francisco, CA | independent RIA | $30.0M | 100% | 2 | $15.0M | 0 | 0 |
| S••••• P•••••• W•••••• L•• CRD 334161 | Los Angeles, CA | independent RIA | $29.9M | 100% | 5 | $6.0M | 0 | 0 |
| B••••• CRD 319690 | San Francisco, CA | independent RIA | $29.2M | 100% | 0 | Not computed | 0 | 0 |
| G•••••• C•••••• M••••••••• L•• CRD 337799 | Mill Valley, CA | asset manager | $28.4M | 0.0% | 0 | Not computed | 1 | 3 |
| C••••••••• CRD 301620 | Hawthorne, CA | independent RIA | $28.3M | 100% | 2 | $14.2M | 0 | 0 |
| P••••••• I•••• A•••••••• L•• CRD 335463 | San Francisco, CA | asset manager | $26.6M | 0.0% | 0 | Not computed | 1 | 0 |
| A••••• I••••••••• L•• CRD 298006 | Santa Barbara, CA | independent RIA | $22.7M | 100% | 0 | Not computed | 0 | 0 |
| B•••• I••••••••• A•••••••• L•• CRD 317405 | San Francisco, CA | independent RIA | $17.7M | 100% | 0 | Not computed | 0 | 0 |
| S••••••• L•• CRD 132205 | Santa Monica, CA | asset manager | $16.4M | 0.0% | 0 | Not computed | 0 | 2 |
| A•••• G••••• A•••••••• L•• CRD 287672 | Santa Barbara, CA | asset manager | $13.0M | 0.0% | 3 | $4.3M | 0 | 1 |
| I•• I••••• C••••••••• CRD 328122 | San Francisco, CA | asset manager | $12.6M | 0.0% | 0 | Not computed | 1 | 0 |
| T••••••••• C•••••• A•••••••• L•• CRD 142121 | Irvine, CA | institutional | $12.3M | 0.0% | 0 | Not computed | 0 | 0 |
| V•••• T•••• C•••••• M••••••••• L• CRD 108716 | El Cajon, CA | asset manager | $11.9M | 0.0% | 0 | Not computed | 0 | 0 |
| B•••••• C••• M••••••••• I••• CRD 333867 | San Francisco, CA | other | $11.6M | 0.0% | 1 | $11.6M | 0 | 0 |
| B••••••• C•••••• S••••••••• L•• CRD 341539 | Santa Monica, CA | asset manager | $11.2M | 0.0% | 0 | Not computed | 0 | 0 |
| H••••••• A•••• M••••••••• L•• CRD 332483 | Sherman Oaks, CA | asset manager | $10.7M | 0.0% | 2 | $5.3M | 0 | 7 |
| V••• E••••• L•• CRD 310402 | San Francisco, CA | asset manager | $10.3M | 0.0% | 0 | Not computed | 0 | 0 |
| C•••••• A•••••••• L•• CRD 317263 | Poway, CA | independent RIA | $6.9M | 100% | 0 | Not computed | 0 | 0 |
| D••••••••• C••••••••• L•• CRD 322048 | Palo Alto, CA | asset manager | $5.3M | 0.0% | 0 | Not computed | 0 | 0 |
| B••••••• CRD 327058 | Lake Forest, CA | independent RIA | $4.5M | 100% | 1 | $4.5M | 0 | 0 |
| F••• CRD 329172 | San Francisco, CA | independent RIA | $4.1M | 100% | 0 | Not computed | 0 | 0 |
| B•••••••• I••••••••• A•••••••• L•• CRD 340675 | San Diego, CA | independent RIA | $3.3M | 100% | 1 | $3.3M | 0 | 0 |
| F••••• M••••••••• L•• CRD 314875 | Santa Monica, CA | asset manager | $3.0M | 0.0% | 0 | Not computed | 0 | 0 |
| P••••••• W••••• M••••••••• CRD 333218 | Orinda, CA | independent RIA | $2.5M | 100% | 9 | $277,778 | 0 | 0 |
| A• F•••• CRD 328886 | Sausalito, CA | asset manager | $2.1M | 0.0% | 3 | $700,230 | 0 | 1 |
| I•••••• A•••••••• L•• CRD 109137 | Los Angeles, CA | asset manager | $1.7M | 0.0% | 0 | Not computed | 0 | 1 |
| S••••••••• I••••••••• CRD 312031 | San Francisco, CA | independent RIA | $914,547 | 100% | 0 | Not computed | 0 | 0 |
| L•••• T•••• I••••••••• L•• CRD 323061 | Lafayette, CA | independent RIA | $435,000 | 100% | 0 | Not computed | 0 | 0 |
| E•••• P••••••••• CRD 327535 | Carmel By The Sea, CA | asset manager | $322,063 | 0.0% | 2 | $161,032 | 0 | 0 |
| M•••• I••• CRD 332063 | Sherman Oaks, CA | independent RIA | $254,054 | 100% | 1 | $254,054 | 0 | 0 |
| M•••••• L•• CRD 331613 | Hermosa Beach, CA | independent RIA | $197,892 | 100% | 1 | $197,892 | 0 | 0 |
| W••• CRD 333826 | Newport Beach, CA | independent RIA | $127,775 | 100% | 0 | Not computed | 0 | 0 |
| S••••••••• CRD 326985 | San Diego, CA | independent RIA | $73,145 | 100% | 0 | Not computed | 0 | 0 |
| X••••• A••••••• CRD 314872 | San Jose, CA | independent RIA | $300 | 100% | 0 | Not computed | 0 | 0 |
| E••••• A••••••• L•• CRD 338697 | San Jose, CA | independent RIA | $300 | 100% | 1 | $300 | 0 | 0 |
| A•• U• C•••••• L•• CRD 335448 | San Francisco, CA | other | $214 | 0.0% | 0 | Not computed | 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.