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 |
|---|---|---|---|---|---|---|---|---|
| Broadside Wealth CRD 342220 | San Francisco, CA | no RAUM | $0 | n/a | 4 | Not computed | 1 | 0 |
| Astravia Family Wealth Office LLC CRD 342263 | El Segundo, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| Clearlake Capital Ric Management, LLC CRD 342281 | Santa Monica, CA | no RAUM | $0 | n/a | 0 | Not computed | 1 | 0 |
| E• P•••••••• CRD 342386 | Sacramento, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| T••• R••• L••••••••• M••••••• L•• CRD 342458 | Solana Beach, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 3 |
| A•••••••• A•••••••• L•• CRD 342466 | San Francisco, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| E••• W••• W••••• A••••••• L•• CRD 342776 | Pasadena, CA | no RAUM | $0 | n/a | 5 | Not computed | 1 | 0 |
| P•••••• C•••••• M••••••••• L•• CRD 342820 | Irvine, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| K••• A•••• M••••••••• CRD 342960 | Los Angeles, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| V•••••• W••••• M••••••••• CRD 343072 | San Diego, CA | no RAUM | $0 | n/a | 1 | Not computed | 0 | 0 |
| M• A••••••• U• L•• CRD 343090 | Tustin, CA | no RAUM | $0 | n/a | 5 | Not computed | 0 | 0 |
| A•••• G••••• I••• CRD 343104 | San Diego, CA | no RAUM | $0 | n/a | 0 | Not computed | 0 | 0 |
| A•••• C•••••• CRD 343367 | San Diego, CA | no RAUM | $0 | n/a | 2 | Not computed | 0 | 0 |
| S••• A•••••••• L•• CRD 343551 | Rancho Santa Fe, CA | no RAUM | $0 | n/a | 2 | Not computed | 4 | 0 |
| M•••• CRD 337818 | Menlo Park, CA | no RAUM | Not disclosed | n/a | 0 | Not computed | 0 | 0 |
| Z•• T••••••••• L•• CRD 342129 | Thousand Oaks, CA | no RAUM | Not disclosed | n/a | 0 | Not computed | 0 | 0 |
| H•••••••• L•• CRD 343069 | Irvine, CA | no RAUM | Not disclosed | n/a | 0 | Not computed | 0 | 0 |
| C•••••• S••••• • C••• I••• CRD 5393 | San Francisco, CA | national BD | Not disclosed | n/a | 6,783 | Not computed | 449 | 0 |
| C•••••• C••••• G••••• I••• CRD 6247 | Los Angeles, CA | no RAUM | Not disclosed | n/a | 599 | Not computed | 10 | 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.
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