Firms by custodian
Registered investment advisers that custody at Broadridge Financial Solutions
Search the full directory by firm name, city, state, CRD number or custodian.
3 firms listed
| Firm | Headquarters | Regulatory AUM |
|---|---|---|
| Valley Wealth Strategies | Lodi, CA | $1.45B |
| Jackson Avenue | $185M | |
| Golden K Wealth Management | Woodland Hills, CA | $179M |
- Headquarters
- Lodi, CA
- Regulatory AUM
- $1.45B
- Headquarters
- Regulatory AUM
- $185M
- Headquarters
- Woodland Hills, CA
- Regulatory AUM
- $179M
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 Broadridge Financial Solutions here says only what the filing says, and implies nothing about either firm's service.