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INVESTORTRUST HUB

InvestorTrustHub · California

California Investment Adviser & Securities Intelligence

This page organizes federal SEC/IARD facts for firms that report a California principal office, plus official DFPI verification and filing paths. It does not rank advisers, score firms, or publish a Trust Score. A California principal office is not California state registration.

We organize the evidence. You decide.

Research CA-headquartered SEC/IARD firmsVerify a California state adviser at DFPI

State of the record

Universe · Current · Observations · Geography · As-of

2,699

Universe

SEC/IARD firms with a CA principal office. Not the state-RIA roster.

Trace this number

Source. SEC IARD firm compilation

Source date. 2026-08-27

Coverage. National roster overlay

Grain. SEC IARD roster firm with principal-office region = CA

Calculation. COUNT of roster firms with principal-office region CA = 2699

Caveat. This is the national SEC/IARD roster overlay for firms that report a California principal office. It is not the California state-registered adviser universe, not a complete California adviser count, and not proof of current DFPI authority.

UNKNOWN

Current

Complete California state-RIA count. Bulk roster is SOURCE_NOT_ACQUIRED.

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Source. https://dfpi.ca.gov/licensee-and-financial-service-provider-search/

Source date. 2026-09-03

Coverage. SOURCE_NOT_ACQUIRED

Grain. state-registered adviser

Calculation. No official bulk file was acquired. Missing is unknown, not zero.

Caveat. No official California state-RIA bulk CSV/XLSX/API was acquired. Do not estimate the missing state roster from SEC principal-office geography.

0

Observations

Structured DFPI enforcement rows acquired in this snapshot.

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Source. https://dfpi.ca.gov/rules-enforcement/actions_and_orders/

Source date. 2026-09-03

Coverage. NO_BULK_ACQUIRED

Grain. not acquired as bulk

Calculation. Bounded easy-win pass found a search index and monthly PDFs, not a CSV.

Caveat. Actions and Orders is a search index. Accusation is not a final finding. Occurrence is not a unique firm. Name-only attachment is unsafe. Missing is unknown, not zero.

CA

Geography

Principal-office region overlay. Not service territory and not a county page.

2026-08-27

As-of

SEC/IARD compilation IA_FIRM_SEC_Feed_08_27_2026.

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Source. Committed CA-INV-001 public snapshot

Source date. 2026-09-03

Coverage. Deterministic generator

Grain. snapshot

Calculation. Fingerprint 4c1eb0d124c6890f…

Caveat. Numbers on this page must match the generated snapshot.

What the sources say

Three California evidence findings

FEDERAL GEOGRAPHY

2,699 SEC/IARD roster firms report a California principal office

That is 15% of roster firms with a resolved principal-office region (17,997). It is not California licensed advisers.

CLASS SEPARATION

National roster: 17,018 RIA facts and 6,604 ERA facts

National roster keeps RIA (17,018) and ERA (6,604) separate. Committed geography is on the combined roster. California principal-office counts are not an RIA-only or ERA-only state denominator. ERA is not an RIA.

STATE GAP

California state-RIA bulk roster is SOURCE_NOT_ACQUIRED

Complete state-RIA count is UNKNOWN. Do not fill that gap with the 2,699 principal-office overlay. Verify a California state adviser on the official DFPI search.

Find advisers

Federal research and California state verification stay separate

Regulator map

What each credential proves

SEC RIA is not a state RIA. CRD identity is not current California authority.
CredentialRegulatorWhat it provesWhat it does not prove
SEC-registered investment adviserU.S. Securities and Exchange Commission / IARDFederal registration category as reported on Form ADV in the cited extractCalifornia DFPI state-RIA certificate or current California notice-filing status
Exempt reporting adviser (ERA)SEC / IARDERA reporting status in the cited extractSEC RIA registration or California state-RIA registration
California state-registered investment adviserDFPI under the Corporate Securities Law of 1968DFPI investment-adviser certificate when the official state record says soSEC registration. Principal-office geography is not this credential.
Investment adviser representativeDFPI / CRDIndividual representative reporting when official CRD/DFPI evidence existsFirm certificate. Person CRD is not firm CRD.
Broker-dealer / agentDFPI / FINRA / CRDBroker-dealer or agent registration when official evidence existsInvestment-adviser registration
CRD / IARD identifierFINRA CRD / IARD infrastructureA stable identity key when source-nativeCurrent California authority by itself

Issuer / securities filings

Official California research paths

Corporate Securities Law of 1968 — qualification, notice filings, and exemptions administered by DFPI. Public document search is available through DFPI DOCQNET. Federal Form D is not California qualification or approval. No committed Form D California overlay exists in this product (issuers=0 in INV-HOME-001 census).

  • Securities and franchise document search: DOCQNET
  • Search guide: official PDF
  • Bulk issuer dataset: SOURCE_NOT_ACQUIRED
  • Federal Form D overlay: SOURCE_NOT_ACQUIRED. FORM D FILING != CALIFORNIA STATE APPROVAL. FORM D FILING != INVESTMENT QUALITY.

Exam / guidance

No current public questionnaire like New Jersey 2026

DFPI describes an annual written examination questionnaire for certain DFPI-registered investment advisers. The public program page still carries 2018 email-designation instructions. No 2026 public sample questionnaire comparable to New Jersey was acquired. Guidance is not a score.

Official program page: Annual Written Examination Questionnaire. Investor education stays educational: DFPI investor information. Alerts are not firm adverse evidence unless an exact official respondent identity and disposition are present.

Evidence depth

Source families

Coverage describes availability. Missing is unknown, not zero.
FamilyAgencyAs ofGrainCount / rowsLimitations
SEC/IARD RIA (national)SEC / IARD2026-08-27Form ADV / IARD firm fact17,018National class. Not a California state-RIA count.
ERA (national)SEC / IARD2026-08-27ERA reporting fact6,604ERA is not an RIA.
CA principal-office overlaySEC / IARD2026-08-27SEC IARD roster firm with principal-office region = CA2,699This is the national SEC/IARD roster overlay for firms that report a California principal office. It is not the California state-registered adviser universe, not a complete California adviser count, and not proof of current DFPI authority.
DFPI state adviser lookupDFPI2026-09-03search resultUNKNOWNNo official California state-RIA bulk CSV/XLSX/API was acquired. Do not estimate the missing state roster from SEC principal-office geography.
DFPI enforcementDFPI2026-09-03search / monthly PDFnot acquired as bulkActions and Orders is a search index. Accusation is not a final finding. Occurrence is not a unique firm. Name-only attachment is unsafe. Missing is unknown, not zero.
FINRA BrokerCheckFINRAn/aofficial searchnot scrapedBroker-dealer is not an investment adviser.
Form DSEC2026-09-03not in committed productSOURCE_NOT_ACQUIREDFORM D FILING != CALIFORNIA STATE APPROVAL. FORM D FILING != INVESTMENT QUALITY.
Issuer / securities filing systemDFPI DOCQNET2026-09-03document searchSOURCE_NOT_ACQUIRED bulkFederal Form D is not California qualification or approval. No committed Form D California overlay exists in this product (issuers=0 in INV-HOME-001 census).
State guidance / examDFPI BDIA2026-09-03program pageno 2026 public sample like NJDFPI describes an annual written examination questionnaire for certain DFPI-registered investment advisers. The public program page still carries 2018 email-designation instructions. No 2026 public sample questionnaire comparable to New Jersey was acquired. Guidance is not a score.

What we don't yet know

Missing sources block a metric, not this page

  • Complete California state-RIA denominator is UNKNOWN.
  • Complete California IAR universe is UNKNOWN.
  • Complete California broker-dealer state roster is UNKNOWN.
  • Exact DFPI registration status is not known for every SEC/IARD firm with a CA principal office.
  • Committed geography is not split into CA RIA vs CA ERA.
  • No structured DFPI enforcement bulk extract was acquired.
  • No Form D California overlay is in the committed product.
  • No statewide issuer bulk denominator was acquired.