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 |
|---|---|---|---|---|---|---|---|---|
| Pegasus Tech Ventures, Inc. CRD 164588 | San Jose, CA | asset manager | $2.6B | 0.0% | 0 | n/a | 0 | 43 |
| Bracket Capital CRD 291692 | West Hollywood, CA | asset manager | $2.6B | 0.0% | 0 | n/a | 0 | 51 |
| Howard Capital Management Group, LLC CRD 310510 | Los Angeles, CA | independent RIA | $2.6B | 78% | 3 | $854M | 2 | 0 |
| S•• I••••••••• M••••••••• L•• CRD 104889 | Los Angeles, CA | mixed wealth | $2.6B | 20% | 0 | n/a | 0 | 0 |
| R•• A•••• M••••••••• L•• CRD 168336 | Newport Beach, CA | asset manager | $2.5B | 0.0% | 0 | n/a | 1 | 4 |
| M••• I••••••••• L•• CRD 112305 | Palo Alto, CA | asset manager | $2.5B | 0.0% | 0 | n/a | 0 | 0 |
| V•••••• C•••••• L•• CRD 319212 | El Segundo, CA | independent RIA | $2.5B | 89% | 8 | $317M | 0 | 12 |
| N• S••••• G• L• CRD 299240 | San Francisco, CA | asset manager | $2.5B | 0.0% | 0 | n/a | 0 | 4 |
| S••••••• R••••••• • I••••••••• M••••••••• CRD 110506 | S•••••••, CA | independent RIA | $2.5B | 76% | 15 | $167M | 4 | 0 |
| O•• V••••••• CRD 172513 | San Francisco, CA | asset manager | $2.5B | 0.0% | 0 | n/a | 2 | 19 |
| P•••••••• F•••••••• S••••••• CRD 286477 | Los Angeles, CA | independent RIA | $2.5B | 93% | 49 | $51.0M | 14 | 0 |
| H••• V••••••• M••••••••• L• CRD 318409 | Menlo Park, CA | asset manager | $2.5B | 0.0% | 0 | n/a | 0 | 5 |
| T•• I••••••••• H•••• L•• CRD 163493 | Redondo Beach, CA | independent RIA | $2.5B | 59% | 8 | $310M | 1 | 0 |
| F•••• G••••• A••••••• L•• CRD 284722 | San Francisco, CA | asset manager | $2.5B | 0.0% | 0 | n/a | 0 | 122 |
| U•••• I••••••••• A••••••• CRD 222524 | Mill Valley, CA | other | $2.5B | 4.8% | 0 | n/a | 1 | 0 |
| L•••••••• C•••••• M••••••••• C••• L•• CRD 161916 | Menlo Park, CA | asset manager | $2.4B | 0.0% | 0 | n/a | 2 | 6 |
| S• O•• C•••••• M••••••••• L• CRD 306361 | Redwood City, CA | asset manager | $2.4B | 0.0% | 0 | n/a | 1 | 19 |
| V••••• C•••••• P••••••• CRD 317369 | San Francisco, CA | asset manager | $2.4B | 0.0% | 0 | n/a | 3 | 13 |
| W••••• A••••••••• L•• CRD 135373 | Mountain View, CA | independent RIA | $2.4B | 98% | 16 | $151M | 0 | 0 |
| S••••• A•••••••• L•• CRD 174042 | San Francisco, CA | independent RIA | $2.4B | 96% | 4 | $602M | 1 | 0 |
| C•••• C•••••• M••••••••• I•• CRD 107058 | Costa Mesa, CA | independent RIA | $2.4B | 94% | 9 | $263M | 0 | 0 |
| C•••••• C•••••• CRD 165555 | San Francisco, CA | asset manager | $2.4B | 0.0% | 0 | n/a | 0 | 17 |
| W••••••••• L•• CRD 296087 | Westlake Village, CA | asset manager | $2.4B | 0.0% | 0 | n/a | 0 | 6 |
| G••••• A•••• M••••••••• L•• CRD 109034 | Walnut Creek, CA | independent RIA | $2.4B | 98% | 8 | $295M | 2 | 0 |
| I•• A••••••• L•• CRD 332157 | Los Angeles, CA | independent RIA | $2.3B | 89% | 9 | $260M | 1 | 3 |
| E••••• C•••••• L•• CRD 293159 | San Francisco, CA | asset manager | $2.3B | 0.0% | 0 | n/a | 1 | 21 |
| R••••••••• C•••••• M••••••••• L•• CRD 171114 | Sausalito, CA | asset manager | $2.3B | 0.0% | 0 | n/a | 0 | 7 |
| W••••• C•••• W••••• M••••••••• I••• CRD 109240 | Sebastopol, CA | independent RIA | $2.3B | 93% | 10 | $230M | 0 | 0 |
| W••• L•• CRD 170737 | Palo Alto, CA | asset manager | $2.3B | 0.0% | 0 | n/a | 1 | 8 |
| C••••••••• G••••• L••• CRD 158142 | Santa Monica, CA | asset manager | $2.3B | 0.0% | 0 | n/a | 1 | 18 |
| G•••• T••• B••••• • A•••••• L•• CRD 319128 | Beverly Hills, CA | independent RIA | $2.3B | 99% | 8 | $285M | 0 | 0 |
| J•• A••••••• CRD 122307 | Newport Beach, CA | independent RIA | $2.3B | 83% | 12 | $190M | 0 | 0 |
| C••••••••• F•••••••• A••••••• CRD 110152 | San Ramon, CA | independent RIA | $2.3B | 100% | 15 | $151M | 2 | 0 |
| L•••• G••••• M••••••••• L••• CRD 305162 | San Francisco, CA | asset manager | $2.3B | 0.0% | 0 | n/a | 1 | 5 |
| A•• A•••• D••••••••• I• L• CRD 328513 | Newport Beach, CA | asset manager | $2.3B | 0.0% | 0 | n/a | 0 | 6 |
| P•••••• I••••• A••••••• I•• CRD 104719 | El Segundo, CA | other | $2.2B | 15% | 5 | $450M | 4 | 0 |
| B••••••• W••• L• CRD 304702 | Los Angeles, CA | asset manager | $2.2B | 0.0% | 0 | n/a | 2 | 0 |
| O•••••• C••••••••• CRD 112337 | Los Angeles, CA | independent RIA | $2.2B | 67% | 0 | n/a | 0 | 13 |
| J••• R• M••• I••••••••• C•••••• I••• CRD 111622 | Beverly Hills, CA | independent RIA | $2.2B | 97% | 3 | $727M | 0 | 0 |
| C•• M•••••• L• CRD 310205 | Mill Valley, CA | asset m•••••• | $2.2B | 0.0% | 0 | n/a | 1 | 0 |
| H•• C•••••• M••••••••• L••• CRD 160850 | San Francisco, CA | asset manager | $2.2B | 0.0% | 0 | n/a | 0 | 2 |
| E••••• P•••••• W•••••• L•• CRD 333932 | Los Angeles, CA | independent RIA | $2.1B | 100% | 18 | $119M | 1 | 1 |
| F•••••••• M••••••••• N•••••• I•• CRD 110454 | Mission Viejo, CA | independent RIA | $2.1B | 71% | 21 | $102M | 2 | 0 |
| V•• H••••• F•••••••• A••••••• CRD 116632 | El Dorado Hills, CA | independent RIA | $2.1B | 81% | 19 | $113M | 2 | 0 |
| C•••••••• P•••••••• L•• CRD 149685 | San Diego, CA | independent RIA | $2.1B | 76% | 10 | $214M | 0 | 0 |
| I•••••••• G••••• P••••••• I•• CRD 288616 | San Francisco, CA | other | $2.1B | 0.0% | 0 | n/a | 1 | 0 |
| F••••••••• C•••••• M••••••••• L• CRD 309334 | Los Angeles, CA | asset manager | $2.1B | 0.0% | 0 | n/a | 0 | 1 |
| C•••••• C•••••• P••••••• CRD 165915 | San Francisco, CA | asset manager | $2.1B | 0.0% | 0 | n/a | 1 | 31 |
| Z•••••• A••••••• L•• CRD 311620 | Mountain View, CA | asset manager | $2.1B | 0.0% | 0 | n/a | 0 | 58 |
| T••• W••• C•••••• M••••••••• L••• CRD 281109 | San Francisco, CA | asset manager | $2.1B | 0.0% | 0 | n/a | 0 | 12 |
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.