{ "path": "/advisors/ca/san-jose", "url": "https://advisorcensus.com/advisors/ca/san-jose/page/6", "page_type": "metro", "title": "Financial advisors in San Jose, CA", "filters": {}, "scope_total": 449, "faq": [ { "q": "How many financial advisory firms are there in San Jose, CA?", "a": "AdvisorCensus lists 449 investment advisory firms with a principal office in the San Jose metro area, from Form ADV filings as of October 2026: 113 SEC-registered, 87 state-registered, and 249 exempt reporting advisers. Firms may request removal, so the count can differ slightly from the number of firms that file Form ADV." }, { "q": "How many fee-only financial advisors are in San Jose, CA?", "a": "77 of the 449 firms meet AdvisorCensus's fee-only test: paid only by a percentage of assets, hourly charges, fixed fees, or subscription fees on Form ADV Item 5.E (no commissions, performance-based fees, or other compensation), with no sales-related compensation ties in the same filing: no employee registered with a broker-dealer or licensed as an insurance agent (Item 5.B), no brokerage, insurance, real estate, or other product sales business (Item 6.A), no related broker-dealer, insurance company, real estate broker, or futures commission merchant (Item 7.A), and no referral fees from others or other sales interest (Item 8). Form ADV has no fee-only box, so this is derived from the filing; it is not a fee-only certification, and a firm's own page lists its compensation arrangements as filed." }, { "q": "How many financial advisors in San Jose, CA offer financial planning?", "a": "118 of the 200 firms in San Jose, CA that answer Form ADV Item 5.G, which asks what advisory services a firm provides, report financial planning services, as of October 2026. Exempt reporting advisers do not answer Item 5.G. Each firm page lists every advisory service the firm reports." }, { "q": "Are the financial advisors in San Jose, CA fiduciaries?", "a": "Every firm on this page is an investment adviser that files Form ADV, and an investment adviser owes its clients a fiduciary duty under federal law, made up of a duty of care and a duty of loyalty: it must act in the client's best interest and not put its own interests ahead of the client's, and must eliminate its conflicts of interest or disclose them fully and fairly. Form ADV has no fiduciary box because the duty comes with being an investment adviser. The duty covers the firm's advice; a firm or its people may also sell securities through a broker-dealer or insurance as licensed agents, roles held to other standards. The 77 firms that meet AdvisorCensus's fee-only test report none of those sales ties." }, { "q": "How do I check whether a financial advisor has disciplinary disclosures?", "a": "Each firm page shows how many Form ADV Item 11 disciplinary questions the firm answered yes and links to the firm's record on the SEC's Investment Adviser Public Disclosure site (adviserinfo.sec.gov), where the detail of each disclosure is public. Individual advisers' records are on the same site and on FINRA BrokerCheck." }, { "q": "Does AdvisorCensus rate, verify, or recommend these firms?", "a": "No. The directory shows what each firm filed, in alphabetical order unless you choose another sort, and no firm's position depends on payment. Firms that claim their page can add a description and links, marked as provided by the firm; the filed facts are never changed by that content." }, { "q": "What does regulatory assets under management mean?", "a": "Regulatory assets under management (RAUM) is the figure a firm reports on Form ADV Item 5.F: the securities portfolios it provides continuous and regular supervisory or management services for, at market value, including assets managed without discretion. It measures scale, not performance or quality." } ], "period": "2026-10-01", "answer_paragraph": "AdvisorCensus lists 449 investment advisory firms with a principal office in the San Jose metro area, drawn from Form ADV filings as of October 2026. Firms are listed alphabetically; sort by years registered or assets band using the controls below. Firms may request removal from the directory, so this count can differ from the number of firms that file Form ADV.", "about_market": "San Jose has 449 investment advisory firms with a principal office in the metro area as of October 2026: 113 SEC-registered, 87 state-registered, and 249 exempt reporting advisers. 77 of them meet AdvisorCensus's fee-only test (paid only by client fees, with no sales-related compensation ties such as an employee registered with a broker-dealer or licensed as an insurance agent), and 71 report under $100 million in regulatory assets under management. The metro area has 679,914 households, 278,673 of them with income of $200,000 or more, or 621 such households for each firm (Census Bureau, American Community Survey 2020–2024 5-year estimates).", "citation": "AdvisorCensus. Financial advisors in San Jose, CA: 449 firms from Form ADV filings as of October 2026.", "total_firms": 449, "page": 6, "total_pages": 9, "sort": "name", "registration_types": { "sec": 113, "state": 87, "exempt": 249 }, "fee_model_mix": [ { "code": "fee-only", "count": 77 }, { "code": "percentage_of_aum", "count": 176 }, { "code": "hourly", "count": 82 }, { "code": "subscription", "count": 2 }, { "code": "fixed", "count": 91 }, { "code": "commissions", "count": 5 }, { "code": "performance_based", "count": 54 }, { "code": "other", "count": 24 }, { "code": "not_reported", "count": 249 } ], "years_registered_distribution": [ { "code": "under_5", "count": 222 }, { "code": "5_to_9", "count": 97 }, { "code": "10_to_19", "count": 91 }, { "code": "20_plus", "count": 28 }, { "code": "not_reported", "count": 11 } ], "raum_band_distribution": [ { "code": "under_25m", "count": 40 }, { "code": "25m_100m", "count": 31 }, { "code": "100m_500m", "count": 51 }, { "code": "500m_1b", "count": 15 }, { "code": "1b_5b", "count": 26 }, { "code": "over_5b", "count": 10 }, { "code": "not_reported", "count": 276 } ], "firms": [ { "crd_number": 316974, "name": "Mountain Forest Capital Management, LLC", "name_as_filed": "MOUNTAIN FOREST CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/mountain-forest-capital-management-llc-palo-alto-ca-316974", "city": "Palo Alto", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 336527, "name": "Naai Investment Management LLC", "name_as_filed": "NAAI INVESTMENT MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/naai-investment-management-llc-san-jose-ca-336527", "city": "San Jose", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "performance_based", "other" ], "enhanced": false }, { "crd_number": 325591, "name": "Nahkoda Capital Management USA, LLC", "name_as_filed": "NAHKODA CAPITAL MANAGEMENT USA, LLC", "url": "https://advisorcensus.com/firm/nahkoda-capital-management-usa-llc-palo-alto-ca-325591", "city": "Palo Alto", "state": "CA", "years_registered": 3, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 335854, "name": "Nautilus AI SPV Management Company, LLC", "name_as_filed": "NAUTILUS AI SPV MANAGEMENT COMPANY, LLC", "url": "https://advisorcensus.com/firm/nautilus-ai-spv-management-company-llc-los-gatos-ca-335854", "city": "Los Gatos", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 167341, "name": "New Assets Investment Advisors LLC", "name_as_filed": "NEW ASSETS INVESTMENT ADVISORS LLC", "url": "https://advisorcensus.com/firm/new-assets-investment-advisors-llc-milpitas-ca-167341", "city": "Milpitas", "state": "CA", "years_registered": 13, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "performance_based" ], "enhanced": false }, { "crd_number": 291355, "name": "New Ground Ventures", "name_as_filed": "NEW GROUND VENTURES", "url": "https://advisorcensus.com/firm/new-ground-ventures-palo-alto-ca-291355", "city": "Palo Alto", "state": "CA", "years_registered": 8, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 329923, "name": "Newbuild VC Management, LLC", "name_as_filed": "NEWBUILD VC MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/newbuild-vc-management-llc-palo-alto-ca-329923", "city": "Palo Alto", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 160838, "name": "NGP Capital US, LLC", "name_as_filed": "NGP CAPITAL US, LLC", "url": "https://advisorcensus.com/firm/ngp-capital-us-llc-palo-alto-ca-160838", "city": "Palo Alto", "state": "CA", "years_registered": 14, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 134502, "name": "NI Advisors", "name_as_filed": "NI ADVISORS", "url": "https://advisorcensus.com/firm/ni-advisors-milpitas-ca-134502", "city": "Milpitas", "state": "CA", "years_registered": 14, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "other" ], "enhanced": false }, { "crd_number": 334754, "name": "NIM Wealth Solutions", "name_as_filed": "NIM WEALTH SOLUTIONS", "url": "https://advisorcensus.com/firm/nim-wealth-solutions-san-jose-ca-334754", "city": "San Jose", "state": "CA", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 331547, "name": "Nimble Venture Studio LLC", "name_as_filed": "NIMBLE VENTURE STUDIO LLC", "url": "https://advisorcensus.com/firm/nimble-venture-studio-llc-mountain-view-ca-331547", "city": "Mountain View", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 311148, "name": "Nine Gems Investment Management", "name_as_filed": "NINE GEMS INVESTMENT MANAGEMENT", "url": "https://advisorcensus.com/firm/nine-gems-investment-management-san-jose-ca-311148", "city": "San Jose", "state": "CA", "years_registered": 5, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 317440, "name": "Niremia Collective Management, LLC", "name_as_filed": "NIREMIA COLLECTIVE MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/niremia-collective-management-llc-palo-alto-ca-317440", "city": "Palo Alto", "state": "CA", "years_registered": 2, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 173287, "name": "Noosphere Ventures Management Company, LLC", "name_as_filed": "NOOSPHERE VENTURES MANAGEMENT COMPANY, LLC", "url": "https://advisorcensus.com/firm/noosphere-ventures-management-company-llc-mountain-view-ca-173287", "city": "Mountain View", "state": "CA", "years_registered": 3, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 335323, "name": "Northern Star Generational Wealth", "name_as_filed": "NORTHERN STAR GENERATIONAL WEALTH", "url": "https://advisorcensus.com/firm/northern-star-generational-wealth-mountain-view-ca-335323", "city": "Mountain View", "state": "CA", "years_registered": 1, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 162234, "name": "NRI Wealth Management, LLC", "name_as_filed": "NRI WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/nri-wealth-management-llc-santa-clara-ca-162234", "city": "Santa Clara", "state": "CA", "years_registered": 4, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 288077, "name": "NSV Wolf Management, LLC", "name_as_filed": "NSV WOLF MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/nsv-wolf-management-llc-los-altos-ca-288077", "city": "Los Altos", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 331574, "name": "NTI Managers, LLC", "name_as_filed": "NTI MANAGERS, LLC", "url": "https://advisorcensus.com/firm/nti-managers-llc-mountain-view-ca-331574", "city": "Mountain View", "state": "CA", "years_registered": 2, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 334577, "name": "Oak Biocapital Management, LLC", "name_as_filed": "OAK BIOCAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/oak-biocapital-management-llc-los-altos-hills-ca-334577", "city": "Los Altos Hills", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 168062, "name": "Oceaniq Capital, LLC", "name_as_filed": "OCEANIQ CAPITAL, LLC", "url": "https://advisorcensus.com/firm/oceaniq-capital-llc-palo-alto-ca-168062", "city": "Palo Alto", "state": "CA", "years_registered": 8, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 335855, "name": "Olive Partners Management", "name_as_filed": "OLIVE PARTNERS MANAGEMENT", "url": "https://advisorcensus.com/firm/olive-partners-management-palo-alto-ca-335855", "city": "Palo Alto", "state": "CA", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "other" ], "enhanced": false }, { "crd_number": 289384, "name": "Olive Technology Ventures Management, LLC", "name_as_filed": "OLIVE TECHNOLOGY VENTURES MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/olive-technology-ventures-management-llc-palo-alto-ca-289384", "city": "Palo Alto", "state": "CA", "years_registered": 5, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 306220, "name": "Olma Advisors", "name_as_filed": "OLMA ADVISORS", "url": "https://advisorcensus.com/firm/olma-advisors-los-gatos-ca-306220", "city": "Los Gatos", "state": "CA", "years_registered": 6, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "other" ], "enhanced": false }, { "crd_number": 299697, "name": "Oneprime Capital", "name_as_filed": "ONEPRIME CAPITAL", "url": "https://advisorcensus.com/firm/oneprime-capital-palo-alto-ca-299697", "city": "Palo Alto", "state": "CA", "years_registered": 6, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 304960, "name": "Operator Collective Management, L.L.C.", "name_as_filed": "OPERATOR COLLECTIVE MANAGEMENT, L.L.C.", "url": "https://advisorcensus.com/firm/operator-collective-management-l-l-c-palo-alto-ca-304960", "city": "Palo Alto", "state": "CA", "years_registered": 7, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 292274, "name": "Orchard City Wealth Management, LLC", "name_as_filed": "ORCHARD CITY WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/orchard-city-wealth-management-llc-los-gatos-ca-292274", "city": "Los Gatos", "state": "CA", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 282488, "name": "Oriza Ventures Management, LLC", "name_as_filed": "ORIZA VENTURES MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/oriza-ventures-management-llc-san-jose-ca-282488", "city": "San Jose", "state": "CA", "years_registered": 5, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 338509, "name": "Output Capital Management, LLC", "name_as_filed": "OUTPUT CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/output-capital-management-llc-palo-alto-ca-338509", "city": "Palo Alto", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 317227, "name": "Overwater Ventures LLC", "name_as_filed": "OVERWATER VENTURES LLC", "url": "https://advisorcensus.com/firm/overwater-ventures-llc-palo-alto-ca-317227", "city": "Palo Alto", "state": "CA", "years_registered": 1, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 281381, "name": "Ovis Capital, LLC", "name_as_filed": "OVIS CAPITAL, LLC", "url": "https://advisorcensus.com/firm/ovis-capital-llc-los-gatos-ca-281381", "city": "Los Gatos", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 312941, "name": "OVN Capital LLC", "name_as_filed": "OVN CAPITAL LLC", "url": "https://advisorcensus.com/firm/ovn-capital-llc-palo-alto-ca-312941", "city": "Palo Alto", "state": "CA", "years_registered": 5, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 174867, "name": "OVO Manager LLC", "name_as_filed": "OVO MANAGER LLC", "url": "https://advisorcensus.com/firm/ovo-manager-llc-los-altos-ca-174867", "city": "Los Altos", "state": "CA", "years_registered": 3, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 331619, "name": "PA Capital Management LLC", "name_as_filed": "PA CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/pa-capital-management-llc-sunnyvale-ca-331619", "city": "Sunnyvale", "state": "CA", "years_registered": 1, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 336547, "name": "Pacific Peak Capital Partners Ltd", "name_as_filed": "PACIFIC PEAK CAPITAL PARTNERS LTD", "url": "https://advisorcensus.com/firm/pacific-peak-capital-partners-ltd-san-jose-ca-336547", "city": "San Jose", "state": "CA", "years_registered": 1, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 146267, "name": "Pacific Wealth Advisors", "name_as_filed": "PACIFIC WEALTH ADVISORS", "url": "https://advisorcensus.com/firm/pacific-wealth-advisors-los-gatos-ca-146267", "city": "Los Gatos", "state": "CA", "years_registered": 18, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed", "other" ], "enhanced": false }, { "crd_number": 109171, "name": "Palo Alto Investors LP", "name_as_filed": "PALO ALTO INVESTORS LP", "url": "https://advisorcensus.com/firm/palo-alto-investors-lp-palo-alto-ca-109171", "city": "Palo Alto", "state": "CA", "years_registered": 25, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 166825, "name": "Pantheon Wealth Planning", "name_as_filed": "PANTHEON WEALTH PLANNING", "url": "https://advisorcensus.com/firm/pantheon-wealth-planning-san-jose-ca-166825", "city": "San Jose", "state": "CA", "years_registered": 13, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed" ], "enhanced": false }, { "crd_number": 123471, "name": "Pariveda Investment Management", "name_as_filed": "PARIVEDA INVESTMENT MANAGEMENT", "url": "https://advisorcensus.com/firm/pariveda-investment-management-mountain-view-ca-123471", "city": "Mountain View", "state": "CA", "years_registered": 23, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 173288, "name": "Partnership Capital Growth Investors Management, LLC", "name_as_filed": "PARTNERSHIP CAPITAL GROWTH INVESTORS MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/partnership-capital-growth-investors-management-llc-los-gatos-ca-173288", "city": "Los Gatos", "state": "CA", "years_registered": 11, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 164588, "name": "Pegasus Tech Ventures, Inc.", "name_as_filed": "PEGASUS TECH VENTURES, INC.", "url": "https://advisorcensus.com/firm/pegasus-tech-ventures-inc-san-jose-ca-164588", "city": "San Jose", "state": "CA", "years_registered": 2, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 317719, "name": "Penny JAR Capital, LLC", "name_as_filed": "PENNY JAR CAPITAL, LLC", "url": "https://advisorcensus.com/firm/penny-jar-capital-llc-palo-alto-ca-317719", "city": "Palo Alto", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 124568, "name": "Petersen and Hicks", "name_as_filed": "PETERSEN AND HICKS", "url": "https://advisorcensus.com/firm/petersen-and-hicks-campbell-ca-124568", "city": "Campbell", "state": "CA", "years_registered": 31, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed" ], "enhanced": false }, { "crd_number": 226570, "name": "Playground Global", "name_as_filed": "PLAYGROUND GLOBAL", "url": "https://advisorcensus.com/firm/playground-global-palo-alto-ca-226570", "city": "Palo Alto", "state": "CA", "years_registered": 11, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 321635, "name": "Plug and Play Fund Management I, LLC", "name_as_filed": "PLUG AND PLAY FUND MANAGEMENT I, LLC", "url": "https://advisorcensus.com/firm/plug-and-play-fund-management-i-llc-sunnyvale-ca-321635", "city": "Sunnyvale", "state": "CA", "years_registered": 4, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 301357, "name": "PNP Scale Management LLC", "name_as_filed": "PNP SCALE MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/pnp-scale-management-llc-sunnyvale-ca-301357", "city": 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"city_pages": [ { "path": "/advisors/ca/san-jose/palo-alto", "label": "Financial advisors in Palo Alto, CA", "firm_count": 197 }, { "path": "/advisors/ca/san-jose/los-altos", "label": "Financial advisors in Los Altos, CA", "firm_count": 49 }, { "path": "/advisors/ca/san-jose/los-gatos", "label": "Financial advisors in Los Gatos, CA", "firm_count": 25 }, { "path": "/advisors/ca/san-jose/mountain-view", "label": "Financial advisors in Mountain View, CA", "firm_count": 25 }, { "path": "/advisors/ca/san-jose/santa-clara", "label": "Financial advisors in Santa Clara, CA", "firm_count": 20 }, { "path": "/advisors/ca/san-jose/cupertino", "label": "Financial advisors in Cupertino, CA", "firm_count": 18 }, { "path": "/advisors/ca/san-jose/campbell", "label": "Financial advisors in Campbell, CA", "firm_count": 16 }, { "path": "/advisors/ca/san-jose/sunnyvale", "label": "Financial advisors in Sunnyvale, CA", "firm_count": 14 } ], "fee_pages": [ { "path": "/advisors/ca/san-jose/fee-only", "label": 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