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 |
|---|---|---|---|---|---|---|---|---|
| Pantheon CRD 110091 | San Francisco, CA | asset manager | $11 | 0.0% | 0 | Not computed | 2 | 0 |
| Penserra Global Investors LLC CRD 174309 | Orinda, CA | institutional | $2 | 0.0% | 8 | $0 | 2 | 0 |
| Portfolio Management Technology CRD 106135 | San Francisco, CA | no RAUM | $0 | n/a | 1 | Not computed | 0 | 0 |
| C•••••• R••••••• C•••••• CRD 110684 | Los Angeles, CA | no RAUM | $0 | n/a | 0 | Not computed | 2 | 0 |
| A••••••• A•••••• L•• CRD 126582 | San Francisco, CA | no RAUM | $0 | n/a | 10 | Not computed | 1 | 0 |
| B•••••••• F••••••••• I••• CRD 130279 | San Ramon, CA | no RAUM | $0 | n/a | 2 | Not computed | 0 | 0 |
| A••••• C•••••• G••••• L•• CRD 148240 | El Segundo, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 3 |
| R•••• I••••••••• S••••••••• L•• CRD 150801 | Los Gatos, CA | no RAUM | $0 | n/a | 0 | Not computed | 1 | 0 |
| W•••••• O••••• • C•••••• CRD 152620 | Los Angeles, CA | no RAUM | $0 | n/a | 0 | Not computed | 5 | 0 |
| S••••• W••••• A•••••••• I••• CRD 159035 | San Francisco, CA | no RAUM | $0 | n/a | 1,643 | Not computed | 198 | 0 |
| F••••• P••••••• L•• CRD 161038 | San Francisco, CA | no RAUM | $0 | n/a | 4 | Not computed | 4 | 0 |
| C••••• C•••••• M••••••••• L•• CRD 167332 | Los Angeles, CA | no RAUM | $0 | n/a | 0 | Not computed | 2 | 0 |
| R•••• F••• A•••••••• L•• CRD 167905 | Los Angeles, CA | no RAUM | $0 | n/a | 0 | Not computed | 3 | 1 |
| S••••• A••••••••• L•• CRD 281738 | Los Angeles, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| B••••••••• L•• CRD 283790 | San Jose, CA | no RAUM | $0 | n/a | 6 | Not computed | 0 | 0 |
| C••••• A••••••• S••••••• L•• CRD 285648 | El Segundo, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| P••••••••• A•••• M••••••••• C••••••••• CRD 289591 | Carpinteria, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| L••••••• CRD 292052 | Los Angeles, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| B••••• A••••••• CRD 294881 | Mill Valley, CA | no RAUM | $0 | n/a | 18 | Not computed | 13 | 0 |
| A••••••• L•• CRD 299398 | Culver City, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| B•••••••• A••••••• S•••••••• L•• CRD 305662 | San Diego, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| T•••• F•••• A•••• M••••••••• CRD 306765 | San Francisco, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| A•• M•••• A••••••• CRD 308481 | Newport Beach, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| R•• A•••• M••••••••• G•••• 3• L•• CRD 312212 | Studio City, CA | no RAUM | $0 | n/a | 0 | Not computed | 2 | 0 |
| N•••••••• I••••••••• A••••••• L•• CRD 315965 | West Hollywood, CA | no RAUM | $0 | n/a | 9 | Not computed | 9 | 0 |
| O••••• A••••••• L•• CRD 316214 | Pasadena, CA | no RAUM | $0 | n/a | 2 | Not computed | 0 | 0 |
| S••• A•••••••• L•• CRD 322349 | San Mateo, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| L• E••••••••• CRD 322864 | San Francisco, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| R•• I••••••••• A•••• M••••••••• G•••• 2• L•• CRD 324467 | Studio City, CA | no RAUM | $0 | n/a | 0 | Not computed | 2 | 0 |
| R•• A•••• M••••••••• G•••• 4• L•• CRD 326500 | Studio City, CA | no RAUM | $0 | n/a | 0 | Not computed | 2 | 0 |
| N•••••••• CRD 327155 | San Diego, CA | no RAUM | $0 | n/a | 29 | Not computed | 28 | 0 |
| C••• CRD 329900 | Santa Clara, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| A••••• V••••• A••••••• L•• CRD 330278 | San Francisco, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| I••• CRD 333007 | Mountain View, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| A••••••••• CRD 334039 | San Diego, CA | no RAUM | $0 | n/a | 5 | Not computed | 9 | 0 |
| E•• F•••••••• A••••••• CRD 334404 | Covina, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| D••• B••• C•••••• CRD 336045 | Newport Beach, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| E••••• F•••••• L•• CRD 337784 | San Francisco, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| B••• S••••••••• L•• CRD 337787 | San Francisco, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| C•••• CRD 338073 | Bakersfield, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| P•••••• I••••••••• S••••••• CRD 339161 | San Francisco, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| D••••• I••••••••• S•••••••• CRD 339186 | Folsom, CA | no RAUM | $0 | n/a | 1 | Not computed | 0 | 0 |
| U•••• C•••••• M••••••••• L•• CRD 339458 | San Francisco, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| A•••••••• P•••••• C•• A•••••• I••• L•• CRD 339520 | Newport Beach, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| Y•••• A••••••• CRD 339574 | San Francisco, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| B•••• I••••• L•• CRD 340474 | Los Angeles, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| B••••• C•••• P•••••••• L•• CRD 341584 | San Francisco, CA | no RAUM | $0 | n/a | 4 | Not computed | 0 | 0 |
| S••••• W••••• M••••••••• L•• CRD 341591 | Pasadena, CA | no RAUM | $0 | n/a | 2 | Not computed | 0 | 0 |
| V•••• P•••• A•••• M••••••••• L•• CRD 341810 | Irvine, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| M••••• • C•••••• CRD 342180 | Valencia, CA | no RAUM | $0 | n/a | 4 | 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.