Registered investment advisers that custody at Fidelity
4 SEC-registered advisers report Fidelity as a custodian holding 10% or more of separately managed account assets in Form ADV Schedule D, Section 5.K.(3). Listed by regulatory assets under management.
The firms
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| Mission WealthCRD 113057 | Santa Barbara, CA | $17.00B | 135 | 5,341 |
| AlphaCore CapitalCRD 174346 | La Jolla, CA | $12.96B | 70 | 4,036 |
| Perigon Wealth ManagementCRD 131037 | San Francisco, CA | $11.29B | 92 | 5,664 |
| Robertson StephensCRD 289977 | San Francisco, CA | $8.76B | 67 | 2,295 |
- Headquarters
- Santa Barbara, CA
- Advisory staff
- 135
- Clients
- 5,341
- Headquarters
- La Jolla, CA
- Advisory staff
- 70
- Clients
- 4,036
- Headquarters
- San Francisco, CA
- Advisory staff
- 92
- Clients
- 5,664
- Headquarters
- San Francisco, CA
- Advisory staff
- 67
- Clients
- 2,295
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.
About this list
A custodian holds client accounts; the adviser directs them but does not take possession of the money. Form ADV Schedule D, Section 5.K.(3) requires an adviser to name every custodian holding 10% or more of its separately managed account assets, which is where this list comes from.
A firm may use several custodians, so it can appear on more than one of these lists, and smaller custodial relationships below the 10% threshold are not reported at all. Naming Fidelity here says only what the filing says, and implies nothing about either firm's service.