DFX Intelligence
Firms
SEC-registered investment advisers
One 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.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Steelpeak Wealth, LLC CRD 165168 | Los Angeles, CA | independent RIA | $4.1B | 89% | 37 | $112M | 14 | 4 |
| North Reef Capital Management LP CRD 311056 | Laguna Beach, CA | asset manager | $4.1B | 0.0% | 0 | n/a | 1 | 2 |
| Ipg Investment Advisors, LLC CRD 152990 | San Diego, CA | mixed wealth | $4.1B | 31% | 40 | $103M | 10 | 1 |
| G••••• K••••••• W••••• • I••••••••• M••••••••• CRD 153649 | Santa Monica, CA | independent RIA | $4.1B | 98% | 39 | $105M | 1 | 0 |
| F•• CRD 156980 | San Francisco, CA | asset manager | $4.1B | 0.0% | 0 | n/a | 0 | 30 |
| A••••••• C•••••• P••••••• CRD 160498 | Palo Alto, CA | asset manager | $4.0B | 0.0% | 0 | n/a | 2 | 31 |
| H••••• A•••• M••••••••• •••• L••• CRD 288464 | San Francisco, CA | institutional | $4.0B | 0.0% | 0 | n/a | 1 | 2 |
| B•••••••• P•••••• E•••••• L•• CRD 156558 | Los Angeles, CA | asset manager | $4.0B | 0.0% | 0 | n/a | 0 | 23 |
| I• G••••• P•••••• F••• M••••••••• L•• CRD 110005 | El Segundo, CA | asset manager | $4.0B | 0.0% | 1 | $4.0B | 2 | 0 |
| T••• H•••••• L•• CRD 291194 | Foster City, CA | independent RIA | $4.0B | 62% | 23 | $172M | 2 | 0 |
| P•••••• C•••••• CRD 284342 | San Francisco, CA | asset manager | $4.0B | 0.0% | 0 | n/a | 2 | 18 |
| V••••• P•••• A•••••••• L•• CRD 166587 | San Francisco, CA | independent RIA | $3.9B | 97% | 6 | $656M | 0 | 1 |
| O•••• P••• A•••• M••••••••• L•• CRD 145634 | Santa Monica, CA | asset manager | $3.9B | 0.6% | 12 | $328M | 1 | 0 |
| C•••••••• C••••••• I••• CRD 109948 | Menlo Park, CA | asset manager | $3.9B | 0.0% | 0 | n/a | 0 | 33 |
| N•••••• C•••••• M••••••••• L•• CRD 298161 | Burlingame, CA | asset manager | $3.9B | 0.0% | 0 | n/a | 0 | 27 |
| R•••••• C•••••• M••••••••• L•• CRD 120410 | Irvine, CA | asset manager | $3.9B | 0.0% | 6 | $642M | 0 | 6 |
| T••• L••• C•••••• P•••••••• L•• CRD 173784 | San Francisco, CA | asset manager | $3.8B | 0.0% | 0 | n/a | 2 | 11 |
| V•••••• C•••••• M••••••••• L••• CRD 158071 | San Francisco, CA | asset manager | $3.8B | 0.0% | 0 | n/a | 1 | 9 |
| L••••••• C•••••• P••••••• CRD 269873 | San Francisco, CA | asset manager | $3.8B | 0.0% | 0 | n/a | 0 | 12 |
| K•••••••• W••••• A•••••••• L•• CRD 288792 | San Diego, CA | BD affiliated | $3.8B | 97% | 124 | $30.7M | 43 | 0 |
| N••• P•••••••• L• CRD 323847 | San Diego, CA | asset manager | $3.8B | 0.0% | 0 | n/a | 0 | 8 |
| V••••• C•••••• M••••••••• L••• CRD 171172 | San Francisco, CA | asset manager | $3.8B | 0.0% | 0 | n/a | 1 | 9 |
| K•••••••• C•••••• M••••••••• L••• CRD 304649 | Los Angeles, CA | asset manager | $3.8B | 0.0% | 0 | n/a | 0 | 15 |
| A•••••• C•••••• M••••••••• L•• CRD 172704 | Irvine, CA | asset manager | $3.7B | 0.0% | 0 | n/a | 1 | 10 |
| C•• C•••••• M••••••••• L•• CRD 319348 | Los Angeles, CA | other | $3.7B | 0.0% | 0 | n/a | 0 | 3 |
| R••••••• C•••••• I••••••••• C••••••••• CRD 166722 | Carlsbad, CA | asset manager | $3.7B | 0.0% | 1 | $3.7B | 0 | 14 |
| M•••••• L•• CRD 145777 | Beverly Hills, CA | independent RIA | $3.6B | 92% | 0 | n/a | 0 | 0 |
| C•••••• I••••••••• M••••••••• L••• CRD 141600 | Manhattan Beach, CA | asset manager | $3.6B | 1.0% | 1 | $3.6B | 0 | 0 |
| S••••• W••••• M••••••••• L•• CRD 158823 | San Francisco, CA | independent RIA | $3.6B | 100% | 4 | $895M | 1 | 0 |
| A••••• W••••• P••••••• CRD 128590 | Santa Monica, CA | independent RIA | $3.6B | 89% | 50 | $71.6M | 31 | 1 |
| M••• P••• P••••••• CRD 172703 | San Francisco, CA | asset manager | $3.5B | 0.0% | 0 | n/a | 1 | 7 |
| M••••• W••••• CRD 141250 | Calabasas, CA | independent RIA | $3.5B | 92% | 31 | $112M | 0 | 1 |
| T•••• C•••••• CRD 304697 | San Mateo, CA | asset manager | $3.4B | 0.0% | 0 | n/a | 0 | 0 |
| D•••••••• D•••••• M••••••••• L•• CRD 300750 | San Francisco, CA | asset manager | $3.4B | 0.0% | 0 | n/a | 1 | 7 |
| E•••• C••••••• L•• CRD 167121 | San Francisco, CA | asset manager | $3.4B | 0.0% | 0 | n/a | 0 | 3 |
| F••••• R••••••• A••••••• L•• CRD 124147 | Palo Alto, CA | independent RIA | $3.4B | 100% | 3 | $1.1B | 3 | 0 |
| K••• L••• L• CRD 306657 | San Francisco, CA | asset manager | $3.4B | 0.0% | 0 | n/a | 0 | 22 |
| U•••••• V••••••• CRD 175144 | Los Angeles, CA | asset manager | $3.4B | 0.0% | 0 | n/a | 0 | 25 |
| S••••••• C•••••• P•••••••• L•• CRD 158671 | Larkspur, CA | asset manager | $3.4B | 0.0% | 0 | n/a | 0 | 0 |
| S••••• E••••• P••••••• CRD 172955 | San Mateo, CA | asset manager | $3.4B | 0.0% | 0 | n/a | 1 | 9 |
| D••••••• C•••••• M••••••••• L••• CRD 300773 | Los Angeles, CA | asset manager | $3.4B | 0.0% | 0 | n/a | 0 | 15 |
| F••• A••••• M••••••• N•••• A•••••• L•• CRD 136191 | Manhattan Beach, CA | asset manager | $3.4B | 0.0% | 0 | n/a | 1 | 11 |
| B••••••• P••••••• L•• CRD 296624 | San Francisco, CA | asset manager | $3.4B | 0.0% | 0 | n/a | 1 | 10 |
| S•••••••• L•• CRD 128586 | Foster City, CA | independent RIA | $3.4B | 94% | 27 | $124M | 2 | 0 |
| D•••••• S•••••• A•••• M••••••••• CRD 308920 | El Segundo, CA | other | $3.3B | 17% | 4 | $837M | 2 | 0 |
| S•••• V••••••• M••••••••• C•••••• L• CRD 299799 | West Hollywood, CA | asset manager | $3.3B | 0.0% | 0 | n/a | 1 | 21 |
| F•••••• I•••••••• L•• CRD 140010 | Los Angeles, CA | other | $3.3B | 0.0% | 2 | $1.6B | 0 | 1 |
| D••••••••• P••••••• C•••••• M••••••••• L• CRD 311926 | Greenbrae, CA | asset manager | $3.3B | 0.0% | 0 | n/a | 0 | 2 |
| M•••••••• W••••• A•••••••• L•• CRD 173949 | Manhattan Beach, CA | independent RIA | $3.2B | 91% | 9 | $361M | 0 | 0 |
| C••••••••• F•••• CRD 172379 | San Diego, CA | asset manager | $3.2B | 0.0% | 5 | $648M | 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.
1,869 advisers match.