DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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 |
|---|---|---|---|---|---|---|---|---|
| Blackrock Fund Advisors CRD 105247 | San Francisco, CA | asset manager | $4282B | 0.0% | 8 | $535B | 6 | 0 |
| Capital Research And Management Company CRD 110885 | Los Angeles, CA | asset manager | $3754B | 0.6% | 0 | n/a | 4 | 0 |
| Pacific Investment Management Company LLC CRD 104559 | Newport Beach, CA | asset manager | $3667B | 1.5% | 0 | n/a | 6 | 208 |
| C•••••• S••••• I••••••••• M••••••••• I•• CRD 106753 | San Francisco, CA | other | $1721B | 13% | 37 | $47B | 167 | 0 |
| F••••••• A•••••••• I••• CRD 104517 | San Mateo, CA | asset manager | $509B | 3.5% | 0 | n/a | 6 | 0 |
| D•••• • C•• CRD 104596 | San Francisco, CA | asset manager | $467B | 1.6% | 1 | $467B | 0 | 2 |
| A••• M••••••••• L•• CRD 130074 | Los Angeles, CA | asset manager | $459B | 0.0% | 0 | n/a | 67 | 682 |
| E•••••• F•••••••• E•••••• CRD 104510 | Santa Clara, CA | independent RIA | $326B | 55% | 723 | $451M | 131 | 0 |
| K•• C••••• A••••••• ••• L•• CRD 146629 | San Francisco, CA | other | $271B | 0.0% | 0 | n/a | 10 | 108 |
| W•••••• A•••• M••••••••• C•••••• CRD 110441 | Pasadena, CA | asset manager | $185B | 4.4% | 0 | n/a | 1 | 0 |
| O•••••• C•••••• M••••••••• L••• CRD 106793 | Los Angeles, CA | asset manager | $183B | 0.0% | 1 | $183B | 17 | 284 |
| G••••• R••••••••• P••••••• L•• CRD 172011 | San Rafael, CA | institutional | $170B | 6.2% | 486 | $349M | 193 | 0 |
| P••••• • R•••• CRD 107160 | Los Angeles, CA | other | $158B | 1.1% | 12 | $13B | 1 | 3 |
| A••••• G••••• L•• CRD 111616 | Sausalito, CA | independent RIA | $152B | 65% | 0 | n/a | 8 | 0 |
| W••••••• CRD 6210 | Santa Monica, CA | asset manager | $149B | 0.0% | 1 | $149B | 5 | 0 |
| P••••••• M••••••••• C• CRD 105516 | Pasadena, CA | asset manager | $139B | 0.0% | 0 | n/a | 0 | 0 |
| C•••••• B••• A•• T•••• C•••••• CRD 170017 | Irvine, CA | asset manager | $139B | 2.4% | 0 | n/a | 0 | 0 |
| S••••• L••• T••••••••• M••••••••• L•• CRD 161206 | Menlo Park, CA | asset manager | $118B | 0.0% | 0 | n/a | 1 | 38 |
| I••••• C••••••• L•• CRD 159198 | San Francisco, CA | asset manager | $118B | 9.2% | 85 | $1.4B | 2 | 351 |
| H•••••• • F••••••• L•• CRD 158614 | San Francisco, CA | asset manager | $110B | 0.0% | 0 | n/a | 1 | 45 |
| S•••••••• G•••• L• CRD 143635 | La Jolla, CA | asset manager | $108B | 0.0% | 0 | n/a | 9 | 409 |
| A••••••••• H••••••• CRD 160489 | Menlo Park, CA | asset manager | $106B | 0.0% | 0 | n/a | 4 | 119 |
| V•••• E••••• P••••••• M••••••••• L•• CRD 156973 | San Francisco, CA | asset manager | $106B | 0.0% | 0 | n/a | 3 | 0 |
| P•••••• C•••••• M••••••••• L• CRD 108016 | Irvine, CA | other | $98B | 0.0% | 0 | n/a | 4 | 103 |
| A••• C•••••• M••••••••• L•• CRD 131619 | Los Angeles, CA | asset manager | $98B | 0.0% | 0 | n/a | 10 | 34 |
| W•• I••••••••• M••••••••• CRD 104702 | Laguna Beach, CA | other | $97B | 7.7% | 7 | $14B | 2 | 15 |
| A••••••••• I••• CRD 109018 | Concord, CA | BD affiliated | $92B | 92% | 218 | $421M | 4 | 0 |
| P••••••• CRD 153425 | San Francisco, CA | other | $88B | 0.0% | 0 | n/a | 3 | 115 |
| L•••••• G•••• • P•••••••• L••• CRD 158164 | Los Angeles, CA | asset manager | $86B | 0.0% | 0 | n/a | 0 | 107 |
| C•••••••• C•••••• G••••• L••• CRD 157920 | Santa Monica, CA | asset manager | $84B | 0.0% | 0 | n/a | 8 | 93 |
| S•••••• C•••••• O••••••••• L•• CRD 157373 | Menlo Park, CA | asset manager | $82B | 0.0% | 0 | n/a | 0 | 60 |
| T•• A•••• M••••••••• C•••••• L•• CRD 105742 | Los Angeles, CA | other | $81B | 0.8% | 0 | n/a | 8 | 39 |
| M••••••••• W••• A•••• M••••••••• L•• CRD 104571 | Los Angeles, CA | asset manager | $79B | 0.1% | 0 | n/a | 2 | 0 |
| A••• B••••• A•• A••••••••• CRD 105283 | Menlo Park, CA | institutional | $65B | 0.0% | 0 | n/a | 0 | 0 |
| C••••••• C•••••• M••••••••• L•• CRD 113308 | Los Angeles, CA | asset manager | $62B | 0.7% | 0 | n/a | 2 | 11 |
| I•• C••••••• L•• CRD 301819 | Foster City, CA | independent RIA | $57B | 100% | 195 | $291M | 19 | 0 |
| B••••• P••••• A•••••••• L•• CRD 119290 | Newport Beach, CA | independent RIA | $55B | 90% | 471 | $117M | 89 | 5 |
| S• I••••••••• A••••••• ••• I••• CRD 286323 | Menlo Park, CA | asset manager | $53B | 0.0% | 0 | n/a | 10 | 1 |
| F••••••• C•••••• M••••••••• L••••• CRD 107322 | San Francisco, CA | asset manager | $52B | 0.0% | 0 | n/a | 1 | 48 |
| C•••••• I••••••••• I••• CRD 110682 | Los Angeles, CA | other | $52B | 0.0% | 0 | n/a | 4 | 3 |
| G•••••• C•••••• CRD 156932 | San Francisco, CA | asset manager | $51B | 0.0% | 0 | n/a | 0 | 30 |
| L••••••••• V•••••• P••••••• CRD 160187 | Menlo Park, CA | asset manager | $50B | 0.0% | 0 | n/a | 6 | 51 |
| C••••••• C•••••• G•••• L• CRD 153966 | Los Angeles, CA | asset manager | $50B | 0.0% | 0 | n/a | 5 | 88 |
| C••••••••• L•• CRD 132167 | Marina Del Rey, CA | asset manager | $49B | 0.4% | 0 | n/a | 3 | 4 |
| W••••••••• A••••••• L•• CRD 148456 | Palo Alto, CA | BD affiliated | $48B | 99% | 41 | $1.2B | 0 | 0 |
| P••••••• E••••• A•••••••• L•• CRD 161491 | Beverly Hills, CA | asset manager | $48B | 0.0% | 0 | n/a | 4 | 149 |
| F•••••••• P••••••• CRD 160272 | San Francisco, CA | asset manager | $47B | 0.0% | 0 | n/a | 2 | 43 |
| C••••••••• C••••••••• I••••••••• CRD 22875 | Newport Beach, CA | independent RIA | $46B | 87% | 24 | $1.9B | 2 | 16 |
| C••••••• A•••• M••••••••• I•• CRD 107287 | San Diego, CA | institutional | $45B | 0.0% | 21 | $2.2B | 6 | 0 |
| E• W••••• A••••••• CRD 111147 | Torrance, CA | independent RIA | $45B | 93% | 335 | $135M | 35 | 1 |
The rest of the firm names are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
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1,868 advisers match.