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 |
|---|---|---|---|---|---|---|---|---|
| Apc Asset Development II, LP CRD 328587 | Newport Beach, CA | asset manager | $2.1B | 0.0% | 0 | n/a | 0 | 6 |
| Sofi Wealth LLC CRD 167958 | San Francisco, CA | BD affiliated | $2.0B | 100% | 108 | $19.0M | 4 | 0 |
| L Squared Capital Partners CRD 288509 | Newport Beach, CA | asset manager | $2.0B | 8.9% | 0 | n/a | 0 | 0 |
| B•••••• G•••• I•• CRD 105087 | San Francisco, CA | other | $2.0B | 0.0% | 0 | n/a | 0 | 4 |
| R•••••• E••••• P•••••••• L•• CRD 116882 | Los Angeles, CA | asset manager | $2.0B | 0.0% | 0 | n/a | 5 | 18 |
| F••••••• C•••••• CRD 108102 | Greenbrae, CA | independent RIA | $2.0B | 86% | 0 | n/a | 1 | 0 |
| N•••• C••••••• L••• CRD 159752 | Foster City, CA | asset manager | $2.0B | 0.0% | 1 | $2.0B | 0 | 4 |
| M•••••• A••••• S••••••••• L•• CRD 23224 | San Diego, CA | BD affiliated | $2.0B | 100% | 97 | $20.8M | 56 | 0 |
| W•••••• T••••••••• I••••••••• •••• CRD 110429 | Portola Valley, CA | asset manager | $2.0B | 0.0% | 0 | n/a | 1 | 9 |
| S••••••• C•••••• M••••••••• L•• CRD 281266 | Greenbrae, CA | other | $2.0B | 16% | 1 | $2.0B | 0 | 1 |
| L••••• CRD 335548 | Santa Monica, CA | asset manager | $2.0B | 0.0% | 0 | n/a | 1 | 3 |
| A•••• A••••••• L• CRD 288087 | Burlingame, CA | asset manager | $2.0B | 0.0% | 0 | n/a | 4 | 8 |
| J•• F••••••••• L•• CRD 114025 | Los Angeles, CA | independent RIA | $2.0B | 85% | 11 | $179M | 0 | 0 |
| O•••• A••••• C•••••• P•••••••• L••• CRD 160122 | Santa Monica, CA | asset manager | $2.0B | 0.0% | 0 | n/a | 0 | 18 |
| C••• C•••••• A•••••••• L•• CRD 157529 | Palo Alto, CA | asset manager | $2.0B | 0.0% | 0 | n/a | 0 | 2 |
| H•• W••••• A••••••• CRD 108676 | Los Angeles, CA | independent RIA | $2.0B | 100% | 10 | $196M | 1 | 1 |
| F••••• W••••• P•••••••• I••• CRD 174092 | Ontario, CA | independent RIA | $2.0B | 98% | 24 | $81.5M | 44 | 0 |
| A•••••••• C•••••• P••••••• L• CRD 306257 | Los Angeles, CA | asset manager | $1.9B | 0.0% | 0 | n/a | 1 | 22 |
| S••• E••••• P•••••••• L• CRD 283613 | San Francisco, CA | asset manager | $1.9B | 0.0% | 0 | n/a | 0 | 2 |
| R•• W••••• L•• CRD 140451 | Los Angeles, CA | independent RIA | $1.9B | 91% | 8 | $242M | 1 | 0 |
| R•••••••• L•• CRD 158242 | Palo Alto, CA | independent RIA | $1.9B | 92% | 9 | $214M | 10 | 0 |
| A•• A•••• M••••••••• C••• CRD 110291 | Los Angeles, CA | independent RIA | $1.9B | 82% | 9 | $214M | 1 | 0 |
| P•••••• W••••• P•••••••• L•• CRD 133802 | Mill Valley, CA | independent RIA | $1.9B | 95% | 6 | $320M | 0 | 0 |
| L••••••• CRD 297876 | San Francisco, CA | asset manager | $1.9B | 0.0% | 0 | n/a | 0 | 13 |
| R••••••• P••••••• G•••• CRD 300326 | San Francisco, CA | independent RIA | $1.9B | 88% | 5 | $382M | 5 | 1 |
| M••• M••••••••• L•• CRD 120361 | San Francisco, CA | independent RIA | $1.9B | 68% | 25 | $76.2M | 6 | 3 |
| N•••••• CRD 282851 | San Francisco, CA | asset manager | $1.9B | 0.0% | 0 | n/a | 0 | 3 |
| S• A•••• M••••••••• L•• CRD 323369 | Cupertino, CA | independent RIA | $1.9B | 97% | 3 | $632M | 0 | 1 |
| W••••••• A•••••••• L•• CRD 318024 | Newport Beach, CA | asset manager | $1.9B | 3.8% | 7 | $270M | 2 | 0 |
| T••• L••• F•••••••• A••••••• CRD 281870 | San Francisco, CA | mixed wealth | $1.9B | 22% | 6 | $314M | 6 | 0 |
| T••••••• M••••••••• L•• CRD 159472 | Newport Beach, CA | asset manager | $1.9B | 0.0% | 0 | n/a | 0 | 7 |
| S••••• A•••••••• L•• CRD 329415 | San Diego, CA | independent RIA | $1.9B | 92% | 68 | $27.6M | 7 | 0 |
| W••••••• C•••••• M••••••••• C• CRD 106908 | Los Angeles, CA | independent RIA | $1.9B | 65% | 3 | $620M | 0 | 0 |
| V•••••• H••••••••• P••••••• CRD 285151 | Los Angeles, CA | asset manager | $1.9B | 0.0% | 0 | n/a | 1 | 11 |
| M••••••• C•••••• I•••••••• I•• CRD 105562 | Orinda, CA | independent RIA | $1.9B | 61% | 0 | n/a | 0 | 0 |
| I•• I••••••••• L•• CRD 157214 | San Francisco, CA | asset manager | $1.9B | 0.0% | 0 | n/a | 1 | 4 |
| G•••••• I••••••••• P•••••••• L•• CRD 150632 | El Segundo, CA | independent RIA | $1.8B | 55% | 2 | $922M | 1 | 1 |
| L••••••• C•••••• CRD 288432 | Los Angeles, CA | asset manager | $1.8B | 0.0% | 0 | n/a | 0 | 6 |
| C••••••• C•• A•••••••• L•• CRD 175430 | Los Angeles, CA | asset manager | $1.8B | 0.0% | 0 | n/a | 5 | 0 |
| S••••• M•••• M••••••••• I••• CRD 153256 | Los Angeles, CA | independent RIA | $1.8B | 85% | 7 | $258M | 1 | 0 |
| T•••••• C•••••• M••••••••• L• CRD 164161 | Larkspur, CA | asset manager | $1.8B | 0.0% | 0 | n/a | 1 | 4 |
| M••••••• C•••••• M••••••••• L••• CRD 290197 | Beverly Hills, CA | asset manager | $1.8B | 0.0% | 0 | n/a | 0 | 27 |
| A••• P••• C••••••• L• CRD 169422 | San Francisco, CA | asset manager | $1.8B | 0.0% | 0 | n/a | 1 | 6 |
| R••••• P••••••••• CRD 309360 | Los Angeles, CA | asset manager | $1.8B | 0.0% | 5 | $355M | 2 | 0 |
| C•••••• W••••• P•••••••• L•• CRD 297852 | El Segundo, CA | independent RIA | $1.8B | 89% | 5 | $352M | 0 | 7 |
| H•• A••••••• S••••••• L•• CRD 143665 | Simi Valley, CA | independent RIA | $1.7B | 95% | 68 | $25.7M | 50 | 0 |
| R••• H••• J•••• • A••••••••• L•• CRD 125410 | San Diego, CA | other | $1.7B | 20% | 5 | $348M | 1 | 0 |
| A•••• V••••••• CRD 290313 | San Francisco, CA | asset manager | $1.7B | 0.0% | 0 | n/a | 0 | 27 |
| L•••••• W••••• M••••••••• L•• CRD 286001 | Oakland, CA | independent RIA | $1.7B | 97% | 25 | $69.0M | 8 | 0 |
| H••••••••• P••••••• CRD 157618 | San Francisco, CA | asset manager | $1.7B | 0.0% | 0 | n/a | 1 | 13 |
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.