What every registered investment adviser reports to the SEC, in plain language.
Every SEC-registered adviser files a Form ADV that states its fees, assets, custodians and owners. The filings are public and hard to read. Each profile here lays one out with the figures, the filing dates, and a link back to the source.
The firms
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| Perigon Wealth ManagementCRD 131037 | San Francisco, CA | $11.29B | 92 | 5,664 |
| Robertson StephensCRD 289977 | San Francisco, CA | $8.76B | 67 | 2,295 |
| Parallel AdvisorsCRD 140800 | San Francisco, CA | $10.31B | 61 | 4,240 |
| AlphaCore CapitalCRD 174346 | La Jolla, CA | $12.96B | 70 | 4,036 |
| AspiriantCRD 146720 | Los Angeles, CA | $18.05B | 105 | 2,357 |
| Comprehensive Financial ManagementCRD 159641 | Los Gatos, CA | $18.52B | 15 | 30 |
| Everett HarrisCRD 106830 | Los Angeles, CA | $11.53B | 13 | 743 |
| FartherCRD 302050 | San Francisco, CA | $16.01B | 252 | 14,965 |
| Independent Financial GroupCRD 7717 | San Diego, CA | $12.93B | 476 | 26,635 |
| Mission WealthCRD 113057 | Santa Barbara, CA | $17.00B | 135 | 5,341 |
| Pure Financial AdvisorsCRD 144316 | San Diego, CA | $11.05B | 76 | 7,509 |
| RPA FinancialCRD 294105 | San Rafael, CA | $10.88B | 4 | 339 |
| Shuster Advisory GroupCRD 170233 | Pasadena, CA | $10.32B | 11 | 435 |
- Headquarters
- San Francisco, CA
- Advisory staff
- 92
- Clients
- 5,664
- Headquarters
- San Francisco, CA
- Advisory staff
- 67
- Clients
- 2,295
- Headquarters
- San Francisco, CA
- Advisory staff
- 61
- Clients
- 4,240
- Headquarters
- La Jolla, CA
- Advisory staff
- 70
- Clients
- 4,036
- Headquarters
- Los Angeles, CA
- Advisory staff
- 105
- Clients
- 2,357
- Headquarters
- Los Gatos, CA
- Advisory staff
- 15
- Clients
- 30
- Headquarters
- Los Angeles, CA
- Advisory staff
- 13
- Clients
- 743
- Headquarters
- San Francisco, CA
- Advisory staff
- 252
- Clients
- 14,965
- Headquarters
- San Diego, CA
- Advisory staff
- 476
- Clients
- 26,635
- Headquarters
- Santa Barbara, CA
- Advisory staff
- 135
- Clients
- 5,341
- Headquarters
- San Diego, CA
- Advisory staff
- 76
- Clients
- 7,509
- Headquarters
- San Rafael, CA
- Advisory staff
- 4
- Clients
- 339
- Headquarters
- Pasadena, CA
- Advisory staff
- 11
- Clients
- 435
Figures are from each firm's most recent Form ADV and are dated on its profile. Listing here is a matter of public record, not a recommendation.
By state
- Arizona5
- California13
- Colorado5
- Connecticut4
- Delaware2
- District of Columbia1
- Florida3
- Georgia2
- Hawaii2
- Idaho1
- Illinois4
- Indiana1
- Maryland3
- Massachusetts3
- Michigan2
- Minnesota3
- Missouri1
- Nevada3
- New Jersey4
- New York7
- North Carolina3
- Ohio2
- Oregon3
- Pennsylvania3
- Puerto Rico1
- Rhode Island3
- South Carolina1
- Tennessee2
- Texas6
- Utah2
- Virginia1
- Washington3
- Wisconsin2
- Wyoming1
By custodian
About this list
An investment adviser managing more than $110 million registers with the Securities and Exchange Commission and files Form ADV, which it must update at least once a year. Part 1A reports assets under management, client counts, employees, custodians and owners. Part 2A is the plain-language brochure that states the firm's fee schedule and its conflicts of interest.
Each profile restates one firm's filings: the figures as filed, the date of the filing, and a link to the document on the SEC's own site. Nothing here is rated, ranked, scored or recommended, and Simple Money is not affiliated with any firm listed.
Filings change. Before engaging any adviser, check that firm's current record at adviserinfo.sec.gov, which the SEC updates daily.