Tributary

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"RANCHO SANTA FE, CA · planning clients up · April 2026 "THE PILOT'S ADVISOR," LLCstate expansion · May 2026 &PARTNERSNASHVILLE, TN · headcount up · April 2026 &WEALTH PARTNERSBALTIMORE, MD · aum crossed 500m · March 2026 021 INVESTMENTS LLCMIAMI, FL · headcount up · April 2026 1 MAIN CAPITAL MANAGEMENT, LLCAVENTURA, FL · aum up · October 2026 1 NORTH WEALTH SERVICES, LLCANNAPOLIS, MD · headcount up · April 2025 1 SEED PARTNERS LLCCHICAGO, IL · headcount up · April 2026 10 EAST PARTNERS LLCNEW YORK, NY · aum crossed 500m · September 2026 1015 CAPITAL PARTNERS, LLCcustody started · April 2026 103 ADVISORY GROUPCHICAGO, IL · state expansion · December 2025 10ELMS LLPTULSA, OK · custody started · April 2026 10TALENTS INVESTORS, LLCFOXBOROUGH, MA · aum up · April 2026 10TH LANE PARTNERS, LPNEW YORK, NY · headcount up · April 2026 10X CAPITAL PARTNERSNEW YORK, NY · new registration · December 2025 11 CAPITAL PARTNERS LPDARIEN, CT · aum crossed 500m · April 2026 11 FINANCIALLUFKIN, TX · deregistered · August 2025 1102 PARTNERS, LLCnew registration · April 2026 1128 CAPITAL, LLCPLANO, TX · deregistered · February 2026 1207 CAPITAL GROUP, LLCJUNEAU, AK · state expansion · April 2026 1230 ADVISORS, LLCPOUND RIDGE, NY · state expansion · December 2024 1248 PARTNERS, LLCKANSAS CITY, MO · new registration · June 2024 12TH STREET ASSET MANAGEMENTNASHVILLE, TN · state expansion · March 2026 1315 CAPITALPHILADELPHIA, PA · headcount up · April 2026 137 VENTURES MANAGEMENT, LLCSAN FRANCISCO, CA · aum up · April 2026 13D MANAGEMENT LLCNEW YORK, NY · aum down · April 2026 140 SUMMER PARTNERS LPNEW YORK, NY · aum up · April 2026 1492 CAPITAL MANAGEMENT, LLCMILWAUKEE, WI · planning started · April 2025 14B CAPITAL MANAGEMENT LPderegistered · February 2026 15 EQUITYSANTA BARBARA, CA · state expansion · June 2024 15 WEALTH ADVISORS LLCMUNDELEIN, IL · pending approved · September 2026 1505 CAPITAL LLCNEW YORK, NY · aum down · February 2025 154 PARTNERS INVESTMENT MANAGEMENT LLCNEW YORK, NY · new registration · September 2026 1543 CAPITAL LPGREENWICH, CT · aum crossed 1b · April 2026 1623 CAPITAL LLCALEXANDRIA, VA · deregistered · October 2024 1650 WEALTH MANAGEMENT, LLCLIGHTHOUSE POINT, FL · state expansion · April 2026 16ROCK ASSET MANAGEMENT LLCNEW YORK, NY · deregistered · January 2026 16TH AMENDMENT ADVISORS LLCNEW YORK, NY · aum up · April 2025 17 CAPITAL PARTNERS, LLCPHOENIX, AZ · planning clients up · April 2026 1776 WEALTH LLCSANDY SPRINGS, GA · state expansion · April 2025 1789 CAPITAL MANAGEMENTPALM BEACH, FL · aum crossed 1b · April 2026 180 DEGREE CAPITAL CORP.MONTCLAIR, NJ · deregistered · January 2025 180 WEALTH ADVISORS, LLCFEDERAL WAY, WA · aum up · March 2026 1808 CAPITAL PARTNERSGREENSBORO, NC · custody started · June 2026 1818 PRIVATE CLIENT GROUP, LLCAVENTURA, FL · new registration · June 2025 1819 PARTNERSMEMPHIS, TN · state expansion · April 2026 1823 PARTNERS (US) LLCMIAMI, FL · headcount up · April 2026 1832 ASSET MANAGEMENT U.S. INC.TORONTO, ONTARIO · disclosure added · October 2026 1834 INVESTMENT ADVISORS CO.MILWAUKEE, WI · new office · September 2026 1836 ASSET MANAGEMENT, LLCGARLAND, TX · relocation · December 2025 1858 WEALTH MANAGEMENT, LLCAKRON, OH · deregistered · January 2026 1876 PARTNERS, LPTOMBALL, TX · headcount up · April 2025 1900 WEALTHSAN ANTONIO, TX · headcount up · April 2026 1919 INVESTMENT COUNSEL, LLCBALTIMORE, MD · state expansion · April 2026 1932 INVESTMENT MANAGEMENTNEWARK, NJ · aum crossed 1b · June 2026 1977 WEALTH, LLCMIAMI, FL · new registration · September 2026 1988 ASSET MANAGEMENT, LLCNEW YORK, NY · aum up · April 2025 1CONFIRMATIONINCLINE VILLAGE, NV · aum up · April 2026 1SHARPE CAPITAL LLCSAN FRANCISCO, CA · aum up · April 2026 1ST & MAIN GROWTH PARTNERSCHICAGO, IL · aum down · April 2026 1ST DISCOUNT BROKERAGE, INC.LAKE WORTH, FL · planning clients up · April 2026 1WS CAPITAL ADVISORS, LLCNEW YORK, NY · aum crossed 1b · April 2026 20 GATES MANAGEMENT LLCNEW YORK, NY · deregistered · October 2026 21 WEST WEALTH MANAGEMENT LLCTUSTIN, CA · new registration · March 2025 210 FINANCIALMORTON, IL · aum up · April 2026 21PEAKS CAPITAL MANAGEMENT, LLCderegistered · August 2026 21SHARES US LLCNEW YORK, NY · aum down · January 2026 2201 CAPITAL, LLCNEW YORK, NY · pending approved · August 2026 22C CAPITAL LLCBOCA RATON, FL · headcount up · April 2024 22V ASSET MANAGEMENTNEW YORK, NY · aum down · August 2025 235 WEALTH MANAGEMENT, LLCderegistered · August 2024 24A CAPITAL MANAGEMENT LLCHOUSTON, TX · deregistered · February 2025 24A CAPITAL MANAGEMENT LLCHOUSTON, TX · new registration · October 2026 25 CAPITAL PARTNERS, LLCCHARLOTTE, NC · deregistered · December 2024 25 FINANCIALSAINT LOUIS, MO · aum crossed 500m · February 2026 26NORTHNEW YORK, NY · headcount up · April 2026 26NORTH DIRECT LENDINGNEW YORK, NY · headcount up · April 2026 272 CAPITAL LPDALLAS, TX · deregistered · July 2025 2903 CAPITAL LLCderegistered · March 2024 2E CAPITAL PARTNERS LPNEW YORK, NY · aum up · April 2026 2XIDEASNEW YORK, NY · headcount down · February 2025 3 BOOMERANG CAPITAL, LPGREENWICH, CT · headcount up · April 2026 3 MANAGEMENT CO, LLCSAN FRANCISCO, CA · deregistered · June 2026 3(38) INVESTMENT FIDUCIARIESSIMI VALLEY, CA · aum crossed 1b · April 2026 325 CAPITALNEW YORK, NY · aum up · April 2024 325 FILLMORE LLCDENVER, CO · aum down · April 2026 327 CAPITAL PARTNERS, LLCSAN ANTONIO, TX · aum crossed 500m · April 2026 33 CAPITAL MANAGEMENT LLCGREENWICH, CT · headcount up · April 2025 337 FRONTIER CAPITAL, LPNEW YORK, NY · aum up · April 2026 34 FINANCIAL, LLCATLANTA, GA · new registration · March 2026 345 INVESTMENT ADVISORY, LLCSCOTTSDALE, AZ · headcount up · October 2026 36 NORTH CAPITAL MANAGEMENT, LLCBENTONVILLE, AR · aum up · March 2025 36 SOUTH CAPITAL ADVISORS LLPLONDON · aum down · April 2024 360 FINANCIALWAYZATA, MN · headcount up · April 2026 360 FINANCIAL PARTNERS, LLCMOUNT PLEASANT, SC · aum up · April 2026 360 ONE ASSET MANAGEMENT LIMITEDMUMBAI,MAHARASHTRA · new office · July 2026 360 ONE PORTFOLIO MANAGERS LIMITEDMUMBAI · new office · July 2026 365 WEALTH MANAGEMENT GROUPMASON, OH · headcount down · April 2025 37SPRUCE INVESTMENT PARTNERS, LLCGREENWICH, CT · pending approved · September 2026 3A CAPITAL, LLCNEW YORK, NY · new registration · August 2026 3A PARTNERS, LLCCOLUMBUS, OH · deregistered · December 2025 3B1 PARTNERS, LLCNEW YORK, NY · new registration · September 2026 3CHOPT INVESTMENT PARTNERS LLCRICHMOND, VA · state expansion · April 2026 3D ADVISOR GROUP, INC.pending approved · October 2026 3D/L CAPITAL MANAGEMENT, LLCHARTFORD, CT · deregistered · June 2024 3EDGE ASSET MANAGEMENT, LPNAPLES, FL · planning clients up · April 2026 3FOURTEEN & SMI ADVISORY SERVICES, LLCCOLUMBUS, IN · aum crossed 500m · July 2025 3G CAPITAL PARTNERS LPNEW YORK, NY · aum up · April 2026 3I CORPORATIONNEW YORK, NY · headcount up · July 2025 3L CAPITAL MANAGEMENT, LLCLOS ANGELES, CA · headcount down · April 2025 3RD CREEK INVESTMENTSaum up · February 2026 3ROOTS WEALTH PARTNERS LLCSCOTTSDALE, AZ · state expansion · September 2026 3SPOKE MANAGEMENT, LLCIRVINE, CA · new registration · September 2026 40 NORTH WEALTH LLCAURORA, CO · deregistered · August 2025 40/86 ADVISORS, INC.CARMEL, IN · headcount up · April 2026 400 CAPITAL MANAGEMENT LLCNEW YORK, NY · headcount up · April 2026 401K GENERATIONALTAMONTE SPRINGS,, FL · state expansion · April 2026 401K INVESTMENT PROFESSIONALSWAUNAKEE, WI · aum up · March 2025 42 AM, LLCNEW YORK, NY · new registration · June 2026 424 CAPITAL, LLCWAKEFIELD, MA · aum crossed 500m · April 2026 44 NORTH CAPITAL, LLCBURLINGTON, VT · state expansion · August 2026 44 WEALTH MANAGEMENT LLCEUGENE, OR · state expansion · December 2025 442 CAPITAL PTY LTDMELBOURNE · aum up · September 2026 46 PEAKS INVESTMENT ADVISORY GROUPNEWTOWN, PA · aum up · April 2026 49 FINANCIALAUSTIN, TX · aum crossed 1b · April 2026 4:8 FINANCIALCANBY, OR · state expansion · March 2026 4BIO PARTNERS LLPLONDON · deregistered · December 2025 4D ADVISORS, LLCREDONDO BEACH, CA · new registration · April 2025 4J WEALTH MANAGEMENT, LLCMCLEAN, VA · relocation · April 2025 4WEALTH ADVISORS, INC.BURR RIDGE, IL · state expansion · April 2026 4X4 CAPITALNEW YORK, NY · aum crossed 500m · April 2025 50 SOUTH CAPITAL ADVISORS, LLCCHICAGO, IL · headcount up · April 2026 501 NORTH, LLCNEW YORK, NY · pending approved · May 2026 503 CAPITAL PARTNERS, LLCLEAWOOD, KS · aum crossed 500m · April 2026 50T FUNDSNEW YORK, NY · deregistered · February 2026 50T FUNDSNEW YORK, NY · aum crossed 1b · April 2026 5280 ASSOCIATESDENVER, CO · new registration · October 2026 55 NORTH PRIVATE WEALTHWINTER PARK, FL · aum crossed 500m · April 2026 55IPBOSTON, MA · headcount up · April 2026 56 CAPITAL PARTNERS, LTDCOLORADO SPRINGS, CO · new registration · August 2026 57 STARS LLCARLINGTON, VA · website changed · April 2025 59 NORTH CAPITAL MANAGEMENT, LPHOUSTON, TX · aum up · April 2026 5AM VENTURESSAN FRANCISCO, CA · headcount down · April 2026 5C ADVISORNEW YORK, NY · aum up · April 2026 5C CAPITAL MANAGEMENT, LLCWOODCLIFF LAKE, NJ · state expansion · April 2026 5CLP ADVISORNEW YORK, NY · aum crossed 500m · April 2026 5T WEALTH, LLCNAPA, CA · custody started · March 2026 5TH CENTURY PARTNERSCHICAGO, IL · aum crossed 500m · April 2026 5TH STREET ADVISORS, LLCSOUTHPORT, CT · state expansion · October 2026 603 FINANCIAL ADVISORS, LLCnew registration · April 2026 626 FINANCIAL, LLCPORTAGE, MI · state expansion · September 2026 6TH MAN VENTURES, LLCstate expansion · August 2025 6TH STREET ADVISORS, LLCDAPHNE, AL · aum up · March 2025 7 NORTH FINANCEderegistered · April 2024 7 STREETS FINANCIAL, LLCSAN DIEGO, CA · new office · April 2024 71 WEST CAPITAL PARTNERSBOSTON, MA · pending approved · April 2026 724 CAPITAL, LLCnew office · October 2026 747 CAPITAL, LLCNEW YORK, NY · aum crossed 1b · April 2025 755 FINANCIALWOODSTOCK, GA · new registration · July 2026 776 MANAGEMENT, LLCaum crossed 1b · April 2025 7RIDGE LIMITEDLONDON · headcount up · June 2026 7TWODENVER, CO · state expansion · July 2026 8 KNOTS MANAGEMENT, LLCDALLAS, TX · deregistered · August 2026 801 WEST CAPITAL MANAGEMENT, LLCLAKE OSWEGO, OR · aum crossed 500m · April 2026 818 FAMILY OFFICE, LLCAUSTIN, TX · headcount down · April 2026 8FIGURESDOVER, DE · new registration · January 2026 9 STREAM CAPITAL PARTNERS LLCLEAWOOD, KS · new registration · April 2026 917 ADVISORY SERVICES LLCSPOKANE, WA · aum up · April 2026 9258 WEALTH MANAGEMENT, LLCBLUE ASH, OH · deregistered · January 2025 93 FINANCIAL GROUP, LLCWOBURN, MA · planning clients up · April 2025 957 ADVISORS LLCWEST HOLLYWOOD, CA · deregistered · February 2024 9823 CAPITAL, LPDALLAS, TX · planning started · April 2026 994 GROUPAUSTIN, TX · aum up · March 2026 9YARDS CAPITAL MANAGEMENT LPNEW YORK, NY · aum crossed 500m · April 2026

A & I WEALTH MANAGEMENTLONE TREE, CO · aum crossed 500m · April 2026 A & L PERSONAL BUSINESS MANAGEMENT, LLCSAN FRANCISCO, CA · deregistered · December 2025 A BETTER WAY FINANCIAL, LLCALLENTOWN, PA · headcount up · October 2026 A FIN MANAGEMENT LLCSUNNY ISLES BEACH, FL · aum up · April 2026 A J FELDMAN FINANCIAL, LLCcustody started · March 2026 A SLING & A STONE, INCORPORATEDBURNET, TX · new registration · January 2026 A SMARTER WAY TO INVESTBRIGHTON, MI · aum up · April 2026 A&M CAPITALGREENWICH, CT · headcount up · April 2026 A&M PRIVATE WEALTH PARTNERS, LLCWEST PALM BEACH, FL · headcount up · April 2026 A-STREET MANAGEMENT LPpending approved · April 2026 A. J. PERRY & CO.TOWSON, MD · new registration · February 2026 A. N. CULBERTSON & COMPANY, INC.CHARLOTTESVILLE, VA · new office · July 2026 A.G. CAMPBELL ADVISORY, LLCBALTIMORE, MD · new office · August 2025 A.G. MORGAN FINANCIAL ADVISORS, LLCMASSAPEQUA, NY · headcount down · April 2024 A.G.P / ALLIANCE GLOBAL PARTNERSWESTPORT, CT · aum up · October 2026 A.G.P. ASSET MANAGEMENT LLCNEW YORK, NY · new registration · May 2026 A.P. GILFOYLE MANAGEMENT & RESEARCH COMPANY, L.L.C.NEW YORK, NY · deregistered · October 2024 A.T. LLOYD'S, INCSEATTLE, WA · deregistered · January 2026 A.W. JONESNEW YORK, NY · aum crossed 500m · April 2026 A16Z PERENNIAL MANAGEMENT, L.P.MENLO PARK, CA · aum up · April 2026 A3 CAPITAL ADVISORSHOUSTON, TX · pending approved · April 2026 A4 WEALTH ADVISORS LLCHUNTERSVILLE, NC · state expansion · October 2026 AACP INVESTMENTS, LLCNEW YORK, NY · aum up · April 2025 AAF WEALTH MANAGEMENT, LLCWESTBOROUGH, MA · custody started · April 2026 AAMCHICAGO, IL · new office · April 2025 AARON WEALTH ADVISORSCHICAGO, IL · state expansion · October 2026 AB BROADLY SYNDICATED LOAN MANAGER LLCNASHVILLE, TN · aum up · April 2026 AB CUSTOM ALTERNATIVE SOLUTIONS LLCNASHVILLE, TN · aum crossed 1b · April 2026 AB PRIVATE CREDIT INVESTORS LLCAUSTIN, TX · aum up · April 2026 AB2 CAPITAL PARTNERS LLCHOLLYWOOD, FL · aum crossed 1b · March 2025 ABACUS ASSET MANAGEMENT, LLCORLANDO, FL · rename · April 2026 ABACUS CAPITAL ADVISORSPLANTATION, FL · new registration · April 2025 ABACUS CAPITAL GROUP LLCNEW YORK, NY · custody started · April 2026 ABACUS FCF ADVISORS LLCORLANDO, FL · rename · December 2025 ABACUS PLANNING GROUP, INC.COLUMBIA, SC · state expansion · April 2026 ABACUS WEALTH PARTNERSSANTA MONICA, CA · state expansion · August 2026 ABBEY CAPITAL LIMITEDDUBLIN 2 · headcount up · October 2026 ABBEY STREETEDEN PRAIRIE, MN · custody started · April 2026 ABBINGTON INVESTMENT GROUP, LLCSOUTH PORTLAND, ME · aum up · April 2026 ABBIT MANAGEMENT CORPGRAND HAVEN, MI · website changed · September 2024 ABBONDANDOLO WEALTH MANAGEMENT CORPGLEN COVE, NY · headcount down · February 2026 ABBOT FINANCIAL MANAGEMENT, INCANDOVER, MA · planning clients up · October 2026 ABBREA CAPITAL, LLCGREENBRAE, CA · deregistered · November 2024 ABDIEL CAPITAL ADVISORS, LPNEW YORK, NY · aum down · April 2026 ABEL FINANCIAL MANAGEMENT CO.state expansion · April 2025 ABEL HALL, LLCBATON ROUGE, LA · aum crossed 500m · March 2026 ABENS FINANCIAL SERVICES INCEDINA, MN · new registration · May 2026 ABERNATHY GROUP II LLCNEW YORK, NY · state expansion · February 2025 ABF INVESTMENT MANAGEMENT, LLCMIAMI, FL · pending approved · April 2025 ABG CONSULTANTSCOTTONWOOD HEIGHTS, UT · planning clients up · April 2026 ABICH FINANCIAL WEALTH MANAGEMENT, LLCASHBURN, VA · aum up · April 2026 ABLE FINANCIAL GROUP, LLCSCOTTSDALE, AZ · aum up · April 2026 ABLE WEALTH MANAGEMENT LLCTOMS RIVER, NJ · private funds started · April 2026 ABLES, IANNONE, MOORE & ASSOCIATES, INC.SAVANNAH, GA · state expansion · March 2025 ABNER HERRMAN & BROCK, LLCJERSEY CITY, NJ · state expansion · April 2026 ABOUND FINANCIALGRANITE BAY, CA · state expansion · May 2026 ABOUND WEALTH MANAGEMENT, LLCFRANKLIN, TN · state expansion · October 2026 ABR CAPITAL PARTNERS, LLCBALTIMORE, MD · new office · April 2026 ABR DYNAMIC FUNDS, LLCNEW YORK, NY · website changed · July 2026 ABRA CAPITAL MANAGEMENT, LPSAN FRANCISCO, CA · aum down · April 2026 ABRAHAM & CO., INC.new registration · February 2026 ABRAHAM TRADING COMPANYCANADIAN, TX · new office · April 2026 ABRAMS BISON INVESTMENTS, L.L.C.BETHESDA, MD · headcount down · April 2025 ABRAMS CAPITAL MANAGEMENT, L.P.BOSTON, MA · aum up · April 2025 ABRDN ASIA LIMITEDSINGAPORE · headcount down · April 2026 ABRDN ETFS ADVISORS LLCPHILADELPHIA, PA · deregistered · September 2024 ABRDN INC.PHILADELPHIA, PA · headcount up · April 2026 ABRDN INVESTMENTS LIMITEDEDINBURGH · headcount down · April 2026 ABRI LLCLEXINGTON, KY · new registration · April 2026 ABRIDGE PARTNERS, LLCstate expansion · October 2026 ABRY PARTNERS II, LLCBOSTON, MA · new office · April 2026 ABRY PARTNERS III, LLCBOSTON, MA · aum crossed 1b · April 2026 ABRY PARTNERS, LLCBOSTON, MA · new office · April 2026 ABS GLOBAL INVESTMENTSSTAMFORD, CT · aum up · April 2026 ABS LEGACY PARTNERS, LLCHICKORY, NC · new office · April 2026 ABSHER WEALTH MANAGEMENT, LLCCHAPEL HILL, NC · state expansion · April 2026 ABSOLUTE CAPITAL MANAGEMENT, LLCPITTSBURGH, PA · aum up · July 2026 ABSOLUTE INVESTMENT ADVISERS, LLCROSEMARY BEACH, FL · aum up · April 2026 ABSOLUTE RETURN STRATEGIES LTD.GEORGE TOWN, GRAND CAYMAN · deregistered · July 2024 ABSOLUTE STRATEGY RESEARCH SERVICESLONDON · headcount down · April 2026 ABUNDANCE WEALTH COUNSELORS, LLCSTATE COLLEGE, PA · state expansion · March 2026 ABUNDANT WEALTH MANAGEMENT LLCSTAMFORD, CT · planning clients up · April 2026 ABUNDANT WEALTH PARTNERS, LLCSANTA BARBARA, CA · new registration · February 2026 ABUNDO WEALTHHOUSTON, TX · state expansion · October 2026 AC FUNDS, LLCRIDGEWOOD, NJ · aum crossed 1b · April 2026 AC INVESTMENT MANAGEMENT LLCNEW YORK, NY · custody started · April 2026 AC WEALTH PARTNERSBERWYN, PA · aum crossed 1b · April 2026 ACACIA GROVE WEALTH MANAGEMENTSCHENECTADY, NY · new registration · September 2026 ACACIA PARTNERS, LLCAUSTIN, TX · aum down · April 2025 ACADEMY ASSET MANAGEMENTNEW YORK, NY · aum crossed 1b · March 2026 ACADEMY CAPITAL MANAGEMENTWACO, TX · aum crossed 1b · April 2025 ACADIA INFRASTRUCTURE CAPITAL LPNEW YORK, NY · aum up · April 2026 ACADIA LEGACY GROUPCLIVE, IA · state expansion · March 2025 ACADIAN ASSET MANAGEMENTSINGAPORE · aum up · April 2026 ACADIAN ASSET MANAGEMENTBOSTON, MA · aum up · April 2026 ACADIAN ASSET MANAGEMENTSYDNEY , NSW · aum up · April 2026 ACAP ASSET MANAGEMENT, INC.STUDIO CITY, CA · planning clients up · March 2024 ACASTA PARTNERS UK LLPLONDON · aum up · March 2026 ACASTA PARTNERS US LLCBOCA RATON, FL · headcount down · March 2026 ACCEL MANAGEMENT CO. L.L.CPALO ALTO, CA · headcount up · April 2026 ACCEL WEALTH MANAGEMENTWAVERLY, IA · new office · April 2026 ACCEL-KKRMENLO PARK, CA · new office · September 2026 ACCELERATE RETIREMENTALISO VIEJO, CA · new office · October 2026 ACCELERATED WEALTH ADVISORS LLCCOLORADO SPRINGS, CO · state expansion · April 2026 ACCENT CAPITAL MANAGEMENT, LLCCENTERVILLE, OH · state expansion · April 2026 ACCESS CAPITAL, LLCWICHITA, KS · deregistered · September 2026 ACCESS FIDUCIARY SERVICES, LLCnew registration · September 2026 ACCESS FINANCIAL RESOURCES INC.OKLAHOMA CITY, OK · headcount down · April 2024 ACCESS HOLDINGS MANAGEMENT COMPANY LLCBALTIMORE, MD · custody started · April 2026 ACCESS INVESTMENT ADVISORS INCMANITOWOC, WI · deregistered · May 2024 ACCESS INVESTMENT MANAGEMENT, LLCATLANTA, GA · state expansion · April 2025 ACCESS REAL ESTATE, LLCLOUISVILLE, KY · new registration · May 2026 ACCESS SOFTEK ADVISORY SERVICESNAPERVILLE, IL · state expansion · March 2026 ACCESS VENTURESNEW YORK, NY · new registration · September 2026 ACCESS WEALTHEAST HANOVER, NJ · aum crossed 500m · April 2026 ACCESS WEALTH MANAGEMENT, INC.LOUISVILLE, KY · deregistered · April 2026 ACCESS WEALTH MANAGEMENT, LLCLOUISVILLE, KY · new registration · March 2026 ACCION IMPACT MANAGEMENT LLCWASHINGTON, DC · headcount down · April 2026 ACCOLADE ASSET/LIABILITY ADVISORY SERVICESCOLUMBUS, OH · new office · April 2026 ACCOLADE PARTNERSWASHINGTON, DC · aum up · April 2026 ACCORD ASSET PARTNERS, LLCSAN DIEGO, CA · deregistered · April 2025 ACCORD EQUITY ADVISORS LLCSAN FRANCISCO, CA · new office · April 2026 ACCORDANT ADVISORY GROUP, INC.ANNAPOLIS, MD · state expansion · July 2026 ACCORDANT INVESTMENTS LLCSCOTTSDALE, AZ · aum up · December 2025 ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, LLCPLAINVIEW, NY · rename · January 2026 ACCREDITED INVESTORS WEALTH MANAGEMENTEDINA, MN · state expansion · April 2026 ACCREDITED WEALTH MANAGEMENT LLCLOUISVILLE, KY · deregistered · January 2026 ACCRETIVE WEALTH MANAGEMENT, LLCSAN RAMON, CA · planning clients up · April 2026 ACCRETIVE WEALTH PARTNERS, LLCPARSIPPANY, NJ · state expansion · June 2026 ACCUMULATOR OPERATIONS LLCCORAL GABLES, FL · new registration · May 2026 ACCUMULUS CAPITAL MANAGEMENT, LLCNEW YORK, NY · headcount up · March 2026 ACCURATE WEALTH MANAGEMENT, LLCWESLEY CHAPEL, FL · state expansion · August 2026 ACCUVEST GLOBAL ADVISORS, INC.PROVO, UT · aum down · April 2026 ACE & COMPANY NEW YORK, INC.NEW YORK, NY · aum up · May 2026 ACHIEVE PARTNERS MANAGEMENT, LLCNEW YORK, NY · headcount down · April 2025 ACHIEVE RETIREMENT & WEALTH MANAGEMENT, LLCRIDGEFIELD, CT · deregistered · March 2026 ACHIEVE WEALTH PARTNERS LLCROCHESTER, NY · deregistered · February 2024 ACIMA PRIVATE WEALTH LLCRICHMOND, VA · headcount down · April 2024 ACK ASSET MANAGEMENT LLCGREENWICH, CT · aum crossed 1b · April 2026 ACKERMAN ASSET MANAGEMENT, LLCaum crossed 500m · April 2024 ACKERMAN CAPITAL MANAGEMENTDALLAS, TX · aum crossed 500m · April 2026 ACMWAYZATA, MN · headcount down · April 2026 ACM MANAGEMENT COMPANY, LLCPORTLAND, OR · headcount up · April 2024 ACMESAN FRANCISCO, CA · headcount down · April 2026 ACME CREDIT PARTNERSNEW YORK, NY · aum down · April 2026 ACME JACK WEALTH MANAGEMENTwrap program started · July 2026 ACON EQUITY MANAGEMENT L.L.C.WASHINGTON, DC · headcount down · April 2025 ACON INVESTMENTS MANAGEMENT, LLCWASHINGTON, DC · headcount down · April 2025 ACON LATAM MANAGEMENT, L.L.C.WASHINGTON, DC · rename · April 2024 ACORE CAPITAL, LPNEW YORK, NY · headcount down · April 2026 ACORN ASSET MANAGEMENT LLCPRINCETON, NJ · custody started · July 2026 ACORN CAPITAL ADVISORS, LLCNEW YORK, NY · aum up · April 2026 ACORN CAPITAL MANAGEMENTOKLAHOMA CITY, OK · aum up · April 2026 ACORN CREEK CAPITAL LLCFORT COLLINS, CO · headcount down · February 2026 ACORN FINANCIAL ADVISORY SERVICES, INC.RESTON, VA · reorganization · June 2026 ACORN WEALTH ADVISORS, LLCGRAND BLANC, MI · state expansion · July 2026 ACORNSIRVINE, CA · aum up · April 2026 ACP CAPITAL MANAGEMENT, LLCMIAMI, FL · headcount up · April 2026 ACP INVESTMENT MANAGEMENTKAILUA-KONA, HI · pending approved · February 2026 ACP VENTURE CAPITAL MANAGEMENT FUND LLCHAUPPAUGE, NY · new registration · September 2026 ACQUIRERS FUNDS, LLCROLLING HILLS, CA · aum down · February 2026 ACR ALPINE CAPITAL RESEARCH, LLCST. LOUIS, MO · aum up · April 2026 ACRE MANAGER, LLCNEW YORK, NY · aum up · April 2026 ACRESUNIONDALE, NY · aum up · April 2026 ACRISURE ASSET & WEALTH MANAGEMENT, LLCGRAND RAPIDS, MI · deregistered · January 2025 ACRISURE CAPITAL ADVISERS, LLCNEW YORK, NY · deregistered · November 2024 ACROPOLIS INVESTMENT MANAGEMENTCHESTERFIELD, MO · rename · April 2026 ACRUENCE CAPITAL, LLCDALLAS, TX · headcount down · July 2026 ACRYLIC FINANCIAL, INC.FOUNTAIN HILLS, AZ · state expansion · June 2026 ACT ADVISORSASHEVILLE, NC · planning clients up · April 2025 ACT CAPITAL MANAGEMENT, LLCWAYNE, PA · aum up · April 2026 ACT TWO INVESTORS LLCaum crossed 500m · April 2024 ACT WEALTH MANAGEMENT, LLCALLEN, TX · aum crossed 500m · March 2026 ACTIV8 FAMILY OFFICE LLCMCLEAN, VA · state expansion · September 2026 ACTIVANT CAPITAL GROUP LLCDARIEN, CT · headcount up · April 2026 ACTIVE WEALTH ADVISORSWOODCLIFF LAKE, NJ · aum up · April 2026 ACTIVEALPHA INVESTMENT ADVISORSMUMBAI, MAHARASHTRA · new registration · January 2026 ACTIVEST WEALTH MANAGEMENT, LLCAVENTURA, FL · headcount up · March 2026 ACTIVO CAPITALMIAMI, FL · deregistered · December 2025 ACTIVUM SG GLOBAL ADVISORS LLCEAST HAMPTON, NY · deregistered · April 2024 ACTS FINANCIAL ADVISORSMCLEAN, VA · planning clients up · April 2024 ACTUSRAYPARTNERS LIMITEDHONG KONG · aum up · April 2026 ACUITAS INVESTMENTS, LLCSEATTLE, WA · aum crossed 1b · April 2025 ACUITY WEALTH MANAGEMENT ADVISORSLEXINGTON, KY · deregistered · September 2024 ACUMEN FINANCIAL ADVISORS, LLCEDINA, MN · state expansion · December 2025 ACUMEN WEALTH ADVISORS, LLCCHATTANOOGA, TN · headcount up · April 2026 ACUTA CAPITAL PARTNERS, LLCREDWOOD CITY, CA · new registration · October 2026 ACUTE INVESTMENT ADVISORYMESA, AZ · headcount up · March 2026 ADAGE CAPITAL MANAGEMENT, L.P.BOSTON, MA · disclosure added · October 2024 ADAMS ADVISORY SERVICES, LLCnew registration · May 2026 ADAMS ASHBY FINANCIAL ADVISORSSACRAMENTO, CA · aum down · April 2026 ADAMS DIVERSIFIED EQUITY FUND, INC.BALTIMORE, MD · state expansion · April 2024 ADAMS FINANCIAL CONCEPTS, LLCSEATTLE, WA · deregistered · September 2024 ADAMS FUNDS ADVISERSBALTIMORE, MD · state expansion · April 2024 ADAMS STREET ADVISORS, LLCCHICAGO, IL · aum up · July 2026 ADAMS STREET PARTNERS, LLCCHICAGO, IL · headcount up · April 2026 ADAMS WEALTH ADVISORSLOGAN, UT · headcount down · May 2026 ADAMSBROWN WEALTH CONSULTANTS LLCWICHITA, KS · aum crossed 1b · March 2026 ADAPT WEALTH ADVISORS, LLCATLANTA, GA · headcount up · March 2026 ADAPTATION FINANCIAL ADVISORS INC.OKLAHOMA CITY, OK · state expansion · December 2025 ADAPTIVE ADVISERS, LLCBOSTON, MA · website changed · April 2025 ADAPTIVE FINANCIAL CONSULTING, LLCBEACHWOOD, OH · custody started · April 2026 ADAPTIVE WEALTH ENGINEERINGLAS VEGAS, NV · rename · July 2026 ADAR1 CAPITAL MANAGEMENT, LLCAUSTIN, TX · aum crossed 1b · April 2026 ADASINA SOCIAL CAPITALheadcount down · April 2025 ADDENDA CAPITALMONTREAL, QUEBEC · headcount down · April 2026 ADDICUS ADVISORY, LLCTUPELO, MS · headcount up · July 2026 ADDIGENCE CORPORATIONNEW YORK, NY · new registration · April 2025 ADDINGTON FINANCIAL GROUP LLCcustody started · April 2026 ADDIS & HILL, INCORPORATEDWAYNE, PA · aum up · March 2025 ADDISON CAPITALCONSHOHOCKEN, PA · aum crossed 1b · April 2026 ADDITION WEALTHheadcount up · April 2026 ADDITIVE ADVISORY PBCMEMPHIS, TN · aum up · February 2026 ADELL HARRIMAN & CARPENTERHOUSTON, TX · state expansion · April 2026 ADERO PARTNERS, LLCWALNUT CREEK, CA · deregistered · July 2025 ADG WEALTH MANAGEMENT GROUP, LLCMETAIRIE, LA · state expansion · March 2026 ADHESION WEALTH ADVISOR SOLUTIONSCHARLOTTE, NC · new office · April 2026 ADIRONDACK CAPITAL ADVISORS, LLCSYRACUSE, NY · state expansion · May 2025 ADIRONDACK FINANCIAL SERVICES CORPUTICA, NY · state expansion · April 2026 ADIT VENTURES MANAGEMENT, LLCNEW YORK, NY · aum up · April 2025 ADK WEALTH ADVISORY GROUPST. LOUIS, MO · state expansion · September 2026 ADKINS SEALE CAPITAL MANAGEMENT LLCSHREVEPORT, LA · custody started · April 2025 ADLER ASSET MANAGEMENT, LLCNEW YORK, NY · deregistered · September 2026 ADOLOS ASSET MANAGEMENTstate expansion · August 2024 ADP STRATEGIC PLAN SERVICES, LLCROSELAND, NJ · aum up · October 2026 ADRIAN DAY ASSET MANAGEMENTDORADO, PR · aum up · April 2026 ADVAITA CAPITAL LLCBOSTON, MA · new registration · September 2026 ADVANCE CAPITAL MANAGEMENT INCSOUTHFIELD, MI · state expansion · April 2026 ADVANCED ADVISOR GROUP, LLCCAMBRIDGE, MN · headcount up · April 2026 ADVANCED CAPITAL GROUPMINNEAPOLIS, MN · new office · April 2026 ADVANCED FINANCIAL STRATEGIES INCIRVINE, CA · headcount up · April 2026 ADVANCED PLANNING ADVISORS GROUP INC.NAPERVILLE, IL · new office · September 2026 ADVANCED PORTFOLIO MANAGEMENT, LLCNEW YORK, NY · headcount down · October 2026 ADVANCED PORTFOLIO STRATEGIESTORRANCE, CA · aum up · April 2026 ADVANCED RESEARCH INVESTMENT SOLUTIONS, LLCLOS ANGELES, CA · deregistered · August 2024 ADVANCED RETIREMENT SOLUTIONS, LLCstate expansion · March 2025 ADVANCED WEALTH MANAGEMENTSARASOTA, FL · state expansion · September 2026 ADVANTAGE ADVISERS MANAGEMENT, LLCNEW YORK, NY · aum up · April 2026 ADVANTAGE ADVISERS MULTI-MANAGER, L.L.C.NEW YORK, NY · aum up · April 2026 ADVANTAGE ALPHA CAPITAL PARTNERS LPSAN FRANCISCO, CA · deregistered · February 2026 ADVANTAGE CAPITALNEW ORLEANS, LA · headcount up · April 2026 ADVANTAGE CAPITAL MANAGEMENTNEW YORK, NY · state expansion · June 2026 ADVANTAGE INVESTING, INC.CORAL GABLES, FL · custody started · March 2026 ADVANTAGE INVESTMENT MANAGEMENTLOUISVILLE, KY · state expansion · September 2026 ADVANTAGE RETIREMENT GROUPFORT MYERS, FL · deregistered · April 2024 ADVANTAGE WEALTH ADVISORSALAMO, CA · deregistered · June 2025 ADVANTAGE WEALTH PARTNERSFORT MYERS, FL · planning clients up · April 2026 ADVENT CAPITAL MANAGEMENT, LLCNEW YORK, NY · headcount up · April 2024 ADVENT GLOBAL OPPORTUNITIES MANAGEMENT LLCBOSTON, MA · new office · February 2026 ADVENT INTERNATIONAL, L.P.BOSTON, MA · disclosure added · September 2026 ADVICE & PLANNING SERVICES LLCYOUNGWOOD, PA · aum up · March 2025 ADVICE AND PLANNING SERVICESNEW YORK, NY · headcount down · April 2026 ADVICEONE ADVISORY SERVICES, LLCGLASTONBURY, CT · state expansion · August 2026 ADVICEONLYSAN DIEGO, CA · rename · September 2026 ADVISIFI LLCST PETERSBURG, FL · relocation · June 2025 ADVISOR FINANCIAL SERVICES, INC.CHATHAM, NY · state expansion · May 2026 ADVISOR LOGISTICS, LLCBOERNE, TX · aum up · April 2026 ADVISOR RESOURCE COUNCILDALLAS, TX · headcount down · April 2026 ADVISOR SHARE WEALTH MANAGEMENT, LLCVANCOUVER, WA · state expansion · October 2026 ADVISOR.COMCHARLESTON, SC · aum up · April 2026 ADVISOR.INVESTMENTSBATON ROUGE, LA · new office · February 2025 ADVISORENGINE PORTFOLIO SOLUTIONS INC.RALEIGH, NC · aum up · October 2026 ADVISORNET WEALTH PARTNERSMINNETONKA, MN · aum up · April 2026 ADVISORS ASSET MANAGEMENT, INC.MONUMENT, CO · private funds started · April 2026 ADVISORS CAPITAL MANAGEMENT, LLCRIDGEWOOD, NJ · new office · October 2026 ADVISORS CRYPTO, INC.AUSTIN, TX · aum down · April 2024 ADVISORS FINANCIAL, INC.MCLEAN, VA · relocation · July 2026 ADVISORS MANAGEMENT GROUP INCLA CROSSE, WI · planning clients up · April 2026 ADVISORSHARESBETHESDA, MD · aum up · April 2026 ADVISORSTRUST PARTNERS LLCRALEIGH, NC · aum up · April 2026 ADVISORY ADVOCATES LLCGRAND RAPIDS, MI · new registration · April 2026 ADVISORY ALPHA, LLCHOLLAND, MI · aum up · April 2026 ADVISORY INVESTOR SERVICES LLCMIAMI, FL · headcount down · March 2025 ADVISORY RESEARCH INCCHICAGO, IL · aum up · April 2026 ADVISORY SERVICES NETWORKATLANTA, GA · headcount up · April 2026 ADVISORY SOLUTIONS GROUPPLYMOUTH, MN · new office · October 2026 ADVOCACY FINANCIAL LLCCOVINGTON, LA · new registration · May 2026 ADVOCACY WEALTH MANAGEMENT, LLCATLANTA, GA · headcount up · April 2026 ADVOCATE CAPITAL MANAGEMENT, LLCNEW YORK, NY · deregistered · July 2024 ADVOCATE INVESTING SERVICESWOODBINE, MD · state expansion · March 2025 ADVOCATES WEALTH PLANNINGHOUSTON, TX · rename · March 2025 ADVUS FINANCIAL PARTNERS, LLCWINTER PARK, FL · custody started · June 2026 ADVYZON INVESTMENT MANAGEMENT, LLCLISLE, IL · aum crossed 1b · April 2026 ADW CAPITAL MANAGEMENT LLCaum down · April 2026 AE ADVISORSderegistered · November 2024 AE INDUSTRIAL PARTNERS, LPBOCA RATON, FL · headcount up · April 2025 AE WEALTH MANAGEMENT, LLCTOPEKA, KS · state expansion · August 2026 AEA ENTERPRISE PARTNERS MANAGEMENT LPNEW YORK, NY · rename · July 2026 AEA QP ADVISERS LLCNEW YORK, NY · headcount down · April 2026 AECOM CAPITAL REAL ESTATE, LLCLOS ANGELES, CA · headcount down · June 2024 AECOM-CANYON PARTNERS REAL ESTATE FUND ADVISORS LLCDALLAS, TX · headcount down · April 2026 AEGIS CAPITAL CORP.NEW YORK, NY · headcount up · March 2025 AEGIS FINANCIALOSHKOSH, WI · deregistered · March 2026 AEGIS FINANCIAL CORPORATIONMCLEAN, VA · aum crossed 1b · April 2026 AEGIS GUILD CAPITAL, LLCNEW YORK, NY · new registration · October 2026 AEGIS WEALTHBETHESDA, MD · state expansion · April 2025 AEGIS WEALTH MANAGEMENT, INC.GUTHRIE CENTER, IA · new office · August 2026 AEGON ASSET MANAGEMENT UK PLCEDINBURGH · headcount up · April 2026 AEGON ASSET MANAGEMENT USCEDAR RAPIDS, IA · state expansion · April 2024 AEGON REAL ASSETS USCEDAR RAPIDS, IA · aum down · December 2025 AEM ASSET MANAGEMENT, LLCSOMERSET, NJ · relocation · January 2025 AEQUIM ALTERNATIVE INVESTMENTS LPMILL VALLEY, CA · aum up · April 2026 AEQUITAS INVESTMENT ADVISORS, LLCHINGHAM, MA · state expansion · April 2026 AEREF MANAGEMENT, LLCNEW YORK, NY · aum up · April 2026 AERIE ADVISORY GROUP LLCGIG HARBOR, WA · aum crossed 1b · August 2026 AERODIGM WEALTH LLCLAKE OSWEGO, OR · state expansion · August 2026 AETERNITAS INVESTMENT MANAGEMENT, LLCYARDLEY, PA · new registration · August 2026 AETHER INVESTMENT PARTNERS, LLCLITTLETON, CO · headcount down · August 2025 AETHON ENERGY MANAGEMENTDALLAS, TX · headcount down · September 2026 AETNA ASSET ADVISORS, LLCHARTFORD, CT · aum crossed 500m · April 2025 AETOS ALTERNATIVES MANAGEMENTNEW YORK, NY · state expansion · April 2025 AETOS CAPITAL REAL ESTATEGREENWICH, CT · relocation · April 2025 AEW CAPITAL MANAGEMENT LPBOSTON, MA · headcount down · April 2026 AFBI LPNEW YORK, NY · relocation · October 2026 AFC MANAGEMENT, LLCWEST PALM BEACH, FL · headcount up · April 2026 AFF FUND MANAGER, LLCATLANTA, GA · aum up · April 2024 AFFIANCE FINANCIAL LLCST. LOUIS PARK, MN · state expansion · May 2025 AFFILIATED FINANCIAL ADVISORS INCMILWAUKEE, WI · aum crossed 500m · March 2026 AFFILIATED PRIVATE INVESTORS LLCWEST PALM BEACH, FL · aum crossed 500m · April 2026 AFFINITY ASSET ADVISORS, LLCNEW YORK, NY · aum up · August 2026 AFFINITY CAPITAL ADVISORS LLCBERKELEY, CA · aum up · April 2026 AFFINITY INVESTMENT ADVISORS, LLCNEWPORT BEACH, CA · state expansion · October 2026 AFFINITY INVESTMENT GROUP, LLCEXETER, NH · new office · June 2026 AFFINITY WEALTH LLCCANTON, OH · state expansion · July 2026 AFFINITY WEALTH MANAGEMENT LLCWILMINGTON, DE · headcount up · April 2026 AFFINIUS CAPITALNEW YORK, NY · deregistered · April 2026 AFFINIUS CAPITAL LLCSAN ANTONIO, TX · aum up · April 2026 AFFIRMATIVE INVESTMENT MANAGEMENT PARTNERS LIMITEDLONDON · deregistered · March 2024 AFG FIDUCIARY SERVICESHINGHAM, MA · aum down · April 2026 AFLAC ASSET MANAGEMENT LLCNEW YORK, NY · aum up · April 2026 AFRICA MUTUAL GLOBAL INVESTMENT MANAGEMENT INCACCRA · new registration · January 2026 AFS FINANCIAL GROUP, LLCBETHESDA, MD · deregistered · January 2025 AFS WEALTH MANAGEMENT, LLCFARMINGTON HILLS, MI · new registration · September 2026 AFT US CAPITAL LLCSAN FRANCISCO, CA · relocation · April 2026 AFT, FORSYTH AND COMPANY, INC.JUPITER, FL · relocation · April 2026 AFTON ADVISORS, LLCnew registration · April 2026 AG DILLON ASSET MANAGEMENT LPNEW YORK, NY · new registration · June 2026 AG FINANCIALSALT LAKE CITY, UT · rename · April 2024 AGAMERICA LENDING LLCLAKELAND, FL · aum down · April 2026 AGATE PASS INVESTMENT, LLCBAINBRIDGE ISLAND, WA · state expansion · May 2024 AGDEAVOR INVESTMENTSWORTHINGTON, OH · deregistered · April 2026 AGELLUS CAPITAL, LLCCLAYTON, MO · aum crossed 500m · April 2026 AGEMY WEALTH ADVISORS, LLCDENVER, CO · relocation · October 2026 AGENTSMYTH ADVISORSNEW YORK, NY · deregistered · April 2026 AGF INVESTMENTSTORONTO, ONTARIO · deregistered · December 2025 AGF INVESTMENTSBOSTON, MA · state expansion · July 2026 AGFELONDON · deregistered · February 2024 AGH WEALTH ADVISORS, LLCWICHITA, KS · planning clients up · April 2026 AGILE INVESTMENT MANAGEMENT, LLCaum crossed 1b · April 2026 AGILI, P.C.RICHMOND, VA · deregistered · January 2025 AGILIS INVESTMENT MANAGEMENT LLCWILTON, CT · state expansion · April 2026 AGILITY EQUITY PARTNERSPITTSBURGH, PA · new registration · February 2026 AGINCOURT CAPITAL MANAGEMENT, LLCRICHMOND, VA · disclosure added · April 2026 AGIS MANAGEMENT LLCCLEARWATER, FL · headcount down · October 2026 AGL CREDIT MANAGEMENT LLCNEW YORK, NY · headcount up · April 2026 AGL US DL MANAGEMENT LLCNEW YORK, NY · rename · April 2025 AGMAN CAPITALOMAHA, NE · aum up · February 2026 AGNC INVESTMENT MANAGEMENT, LLCBETHESDA, MD · deregistered · May 2024 AGP FRANKLIN, LLCFRANKLIN, TN · aum up · March 2026 AGR PARTNERS LLCCHICAGO, IL · aum crossed 1b · March 2026 AGRIGLOBE LAND ADVISORS, LLCFRESNO, CA · pending approved · April 2026 AGTB FUND MANAGER, LLCNEW YORK, NY · headcount up · April 2026 AGW CAPITAL ADVISORSTAMPA, FL · headcount up · April 2026 AHAKISTA CAPITAL LLCpending approved · May 2026 AHARA ADVISORSJERSEY CITY, NJ · private funds started · September 2026 AHL INVESTMENT MANAGEMENT, INC.WINTER PARK, FL · deregistered · December 2025 AHL PARTNERS LLPLONDON · headcount down · July 2026 AHOY CAPITALPALO ALTO, CA · aum crossed 500m · April 2025 AI ALPHA LLCGRAND RAPIDS, MI · headcount up · April 2026 AI FUNDSSAUSALITO, CA · new registration · June 2026 AI PORTFOLIOSnew registration · October 2026 AI STOCK PROPHET, LLCAKRON, OH · new registration · June 2026 AIFAM GROUP LLCRYE, NY · relocation · June 2026 AIGA CAPITAL PARTNERS LLCJERSEY CITY, NJ · new registration · August 2025 AIGEN INVESTMENT MANAGEMENT, LPNEW YORK CITY, NY · aum down · April 2026 AIGH CAPITAL MANAGEMENT, LLCcustody started · April 2026 AIKYA INVESTMENT MANAGEMENT LIMITEDLONDON · aum up · December 2025 AILERON LTDBINGHAM FARMS, MI · deregistered · July 2026 AIM ADVISORS, LLCRALEIGH, NC · custody started · March 2025 AIM CAPITALSCOTTSDALE, AZ · planning clients up · March 2025 AIML TRADING PARTNERSCOLD SPRING HARBOR, NY · deregistered · July 2025 AIO FINANCIAL, LLCTUCSON, AZ · state expansion · March 2026 AIP CAPITAL ADVISORS LLCSTAMFORD, CT · custody started · March 2026 AIP MANAGEMENT USNEW YORK, NY · aum up · April 2026 AIRE ADVISORS, LLCBEVERLY HILLS, CA · aum crossed 1b · March 2026 AIS CAPITAL MANAGEMENT L.P.WILTON, CT · aum up · March 2026 AIS PLANNINGST. CLOUD, MN · aum crossed 500m · April 2026 AISA INTERNATIONALDEVIZES · aum up · April 2025 AISLING CAPITAL MANAGEMENT LPNEW YORK, NY · aum crossed 500m · April 2026 AJ ADVISORSNASHVILLE, TN · aum up · April 2026 AJ CAPITAL MANAGEMENT LLCNASHVILLE, TN · headcount down · April 2024 AJ WEALTHNEW YORK, NY · deregistered · February 2024 AJAX CAPITAL LLCnew registration · May 2026 AJAX HEALTH MANAGEMENT COMPANY, LLCMENLO PARK, CA · pending approved · September 2026 AJF CAPITAL MANAGEMENT, INC.NEW YORK, NY · new office · August 2026 AJO VISTA, AN EMERALD COMPANYLEOLA, PA · rename · October 2026 AJOVISTABOSTON, MA · aum up · April 2026 AK GLOBAL ASSET MANAGEMENT, LLCOAKLAND, CA · new registration · December 2025 AKARIS GLOBAL PARTNERS, LPNEW YORK, NY · deregistered · April 2024 AKKADIAN VENTURES, INC.SAN FRANCISCO, CA · custody started · April 2024 AKRE CAPITAL MANAGEMENT, LLCMIDDLEBURG, VA · headcount down · April 2024 AKSIA CA LLCSAN DIEGO, CA · deregistered · May 2026 AKSIA LLCNEW YORK, NY · headcount up · April 2026 ALAETHES WEALTH, LLCaum crossed 500m · March 2026 ALAIA CAPITAL, LLCNEW YORK, NY · website changed · May 2026 ALAMAR CAPITAL MANAGEMENT, LLCSANTA BARBARA, CA · aum up · March 2024 ALAMO CAPITALWALNUT CREEK, CA · new registration · May 2026 ALAMOS CAPITAL, LLCTUCSON, AZ · disclosure added · January 2025 ALAMUT CAPITALTORONTO · deregistered · August 2026 ALAN B. LANCZ & ASSOCIATES, INC.TOLEDO, OH · headcount down · April 2026 ALAN BILLER AND ASSOCIATESMENLO PARK, CA · aum down · February 2025 ALAPOCAS INVESTMENT PARTNERS, INC.BEVERLY, MA · deregistered · December 2025 ALASKA PERMANENT CAPITAL MANAGEMENT, LLCANCHORAGE, AK · planning started · April 2026 ALASKA WEALTH ADVISORSANCHORAGE, AK · aum crossed 1b · April 2026 ALATUS CAPITAL LLCGENEVA · rename · August 2024 ALBANY ROAD REAL ESTATE PARTNERS, LLCDEDHAM, MA · relocation · June 2024 ALBANYADVISOR GROUP LLCALBANY, NY · aum up · March 2025 ALBERT BRIDGE CAPITALnew registration · August 2024 ALBERT INVESTMENTS, LLCSANTA BARBARA, CA · website changed · February 2026 ALBION FINANCIAL GROUPSALT LAKE CITY, UT · headcount up · April 2026 ALBION INVESTORS LLCNEW YORK, NY · deregistered · January 2025 ALBION RIVERROCKVILLE, MD · aum crossed 1b · February 2026 ALBOURNE AMERICA LLCSAN FRANCISCO, CA · headcount down · July 2025 ALBRIGHT CAPITAL MANAGEMENT LPARLINGTON, VA · aum down · April 2026 ALBRITTON CAPITAL MANAGEMENT COALPHARETTA, GA · aum crossed 1b · April 2024 ALCALA MULTI FAMILY OFFICENEW YORK, NY · deregistered · August 2024 ALCHEMI WEALTH, LLCESSEX, CT · planning clients up · February 2024 ALCHEMY INVESTMENT MANAGEMENT LLPGANDHINAGAR, GUJARAT · aum down · July 2025 ALCION VENTURES, L.P.BURLINGTON, MA · deregistered · August 2026 ALCOSTA CAPITAL MANAGEMENT, INC.SAN RAMON, CA · planning clients up · April 2026 ALCOVA CAPITAL MANAGEMENT LPNEW YORK, NY · aum up · April 2026 ALCYON WEALTH PARTNERSYOUNGSTOWN, OH · state expansion · September 2026 ALDEBARAN CAPITALBROOKLYN, NY · disclosure added · October 2026 ALDEMAR RESEARCH CORPORATIONaum up · February 2026 ALDEN CAPITALWAYNE, PA · disclosure added · December 2025 ALDEN INVESTMENT GROUPWAYNE, PA · disclosure added · December 2025 ALDER CAPITALSAN DIEGO, CA · new registration · September 2026 ALDER FINANCIAL GROUP INCATLANTA, GA · custody started · April 2026 ALDER POINT CAPITAL MANAGEMENT LLCLAFAYETTE, CO · new registration · July 2026 ALDRICH CAPITAL PARTNERS LLCMCLEAN, VA · relocation · April 2024 ALDRICH WEALTH LPLAKE OSWEGO, OR · state expansion · March 2026 ALERA INVESTMENT ADVISORS, LLCDEERFIELD, IL · headcount up · April 2026 ALERA MANAGEMENT PARTNERSBUENOS AIRES · new registration · May 2026 ALERA RETIREMENT ADVISORS, LLCROCHESTER, NY · deregistered · August 2025 ALERCE INVESTMENT MANAGEMENT, L.P.CHICAGO, IL · aum up · April 2025 ALERE PLANNING LLCplanning clients up · March 2026 ALESCO ADVISORS LLCPITTSFORD, NY · deregistered · February 2026 ALESCO ADVISORS, LLC, AN ESL COMPANYPITTSFORD, NY · rename · April 2026 ALESSANDRA CAPITAL MANAGEMENT, LLCTORRANCE, CA · aum up · April 2026 ALETHEA CAPITAL MANAGEMENT, LLCaum up · April 2026 ALETHEIA ANALYST NETWORK LIMITEDCENTRAL · new office · June 2025 ALETHEIAN WEALTH ADVISORS LLCBELLEVUE, WA · new office · January 2025 ALEXANDER BEARD (USA) INC.ELLESMERE PORT, CHESHIRE · rename · April 2025 ALEXANDER CAPITAL ADVISORS, LLCNEW CANAAN, CT · new registration · February 2025 ALEXANDER CAPITAL WEALTH MANAGEMENT LLCRED BANK, NJ · state expansion · August 2026 ALEXANDER INVESTMENT SERVICES CO.LOUISVILLE, KY · aum crossed 500m · October 2026 ALEXANDER LABRUNERIE & CO., INC.COLUMBIA, MO · aum crossed 500m · April 2025 ALEXIS INVESTMENT PARTNERS, LLCcustody started · April 2025 ALFA ALGORITHMS HK LIMITEDTSIM SHA TSUI, KOWLOON · new registration · November 2024 ALGEBRAIC CAPITAL MANAGEMENT LLCNEW YORK, NY · deregistered · May 2026 ALGEBRIS INVESTMENTS (US) INC.BOSTON, MA · aum up · April 2026 ALGERT GLOBAL LLCSAN FRANCISCO, CA · headcount up · April 2026 ALGORITHMIC INVESTMENT MODELSBOSTON, MA · state expansion · June 2026 ALHAMBRA INVESTMENT MANAGEMENT LLCPALMETTO BAY, FL · state expansion · August 2025 ALIANZA CORP. INVESTMENT ADVISORMIAMI, FL · state expansion · July 2026 ALIDADE CAPITAL, LLCBLOOMFIELD HILLS, MI · custody started · April 2026 ALIGHT CAPITAL MANAGEMENT LPNEW YORK, NY · aum up · April 2026 ALIGHT FINANCIAL ADVISORS, LLCCHARLOTTE, NC · headcount up · April 2026 ALIGN ADVISOR GROUP, LLCVINELAND, NJ · pending approved · February 2026 ALIGN CAPITAL PARTNERS, LPSHAKER HEIGHTS, OH · aum up · April 2026 ALIGN FINANCIAL ADVISORS, LLCMCKINNEY, TX · deregistered · December 2025 ALIGN IMPACT, LLCDENVER, CO · deregistered · August 2026 ALIGN INVESTMENT MANAGEMENT, LLCderegistered · February 2024 ALIGN PRIVATE CAPITALSARASOTA, FL · aum up · April 2026 ALIGN VENTURESaum crossed 1b · April 2026 ALIGN WEALTH MANAGEMENT, LLCSAN JOSE, CA · new registration · April 2026 ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM)LOS ANGELES, CA · private funds started · July 2026 ALIGNED CLIMATE CAPITAL LLCNEW YORK, NY · state expansion · April 2025 ALIGNED WEALTH ADVISORS, LLCMIAMI, FL · new registration · October 2026 ALIGNMENT FINANCIAL GROUPaum up · April 2026 ALIGNMENT GROWTHNEW YORK, NY · aum crossed 500m · April 2026 ALINEA ADVISORY SERVICES LLCNEW YORK, NY · aum up · April 2026 ALISIO CAPITAL PARTNERS LLCnew registration · September 2026 ALIUS CAPITAL PARTNERSAVENTURA, FL · new registration · June 2026 ALIYA CAPITAL PARTNERS LLCMIAMI, FL · aum up · April 2026 ALJEN ASSET MANAGEMENT LLCCEDAR KNOLLS, NJ · planning clients up · April 2026 ALJIAN CAPITAL MANAGEMENTCARSON CITY, NV · state expansion · April 2026 ALKA PARTNERS, LLCFARMERS BRANCH, TX · pending approved · May 2026 ALKEME INVESTMENTS LLCSCOTTSDALE, AZ · new registration · November 2024 ALKEN ASSET MANAGEMENT LTDLONDON · aum up · July 2026 ALKEON CAPITAL MANAGEMENT, LLCNEW YORK, NY · aum up · April 2026 ALL BLUE LABSSAN FRANCISCO, CA · deregistered · April 2024 ALL SEASON FINANCIAL ADVISORS, INC.DENVER, CO · deregistered · January 2025 ALL TERRAIN FINANCIAL ADVISORSCOON RAPIDS, MN · state expansion · August 2026 ALLARD PARTNERS LIMITEDCENTRAL · aum up · April 2026 ALLARIA ASSET MANAGEMENT, LLCMIAMI, FL · aum up · April 2026 ALLEGHENY FINANCIAL GROUPPITTSBURGH, PA · state expansion · September 2026 ALLEGHENY INVESTMENTSPITTSBURGH, PA · planning clients up · April 2026 ALLEGIANCE FINANCIAL GROUPVIENNA, VA · headcount up · April 2026 ALLEGIANT REAL ESTATE CAPITAL, LPNEW YORK, NY · deregistered · February 2026 ALLEGIANT WEALTH ADVISORS, LLCTULSA, OK · aum crossed 1b · April 2026 ALLEGRO MINERAL PARTNERS LLCHOUSTON, TX · new registration · April 2026 ALLEN CAPITAL GROUP, LLCGRAND ISLAND, NE · state expansion · August 2025 ALLEN CAPITAL MANAGEMENT, LLCVANCOUVER, WA · website changed · September 2026 ALLEN FINANCIAL MANAGEMENTOXFORD, MI · new registration · June 2025 ALLEN FINANCIAL PARTNERSPRESCOTT, AZ · new registration · August 2026 ALLEN INVESTMENT MANAGEMENT, LLCNEW YORK, NY · state expansion · April 2026 ALLEN WEALTH MANAGEMENT, LLCBOONE, NC · state expansion · August 2025 ALLEY COMPANYLAKE FOREST, IL · state expansion · February 2025 ALLFINANCIAL PARTNERS II, LLCBOCA RATON, FL · deregistered · February 2025 ALLGEN FINANCIAL ADVISORS, INC.ORLANDO, FL · headcount up · April 2026 ALLIANCE ADVISORY & SECURITIES, LLCWESTLAKE VILLAGE, CA · state expansion · October 2026 ALLIANCE FINANCIALWYOMISSING, PA · custody started · April 2026 ALLIANCE INVESTMENT MANAGEMENT, LLCJENISON, MI · state expansion · February 2026 ALLIANCE PARTNERS LLCCHEVY CHASE, MD · headcount down · April 2026 ALLIANCE PRIVATE WEALTH, LLCNORTH READING, MA · aum up · December 2025 ALLIANCE WEALTH ADVISORS, LLCCENTERVILLE, UT · state expansion · September 2026 ALLIANCE WEALTH ADVISORS, LLCSCRANTON, PA · aum crossed 500m · April 2026 ALLIANCE WEALTH MANAGEMENT GROUP, LLCFLEMINGTON, NJ · aum crossed 500m · March 2026 ALLIANCE WEALTH MANAGEMENT PARTNERS LLCKNOXVILLE, TN · aum up · March 2025 ALLIANCEBERNSTEIN CORPORATIONNEW YORK, NY · disclosure added · July 2025 ALLIANCEBERNSTEIN HOLDING L.P.NASHVILLE, TN · disclosure added · July 2025 ALLIANCEBERNSTEIN L.P.NASHVILLE, TN · headcount up · April 2026 ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUMLIBERTY LAKE, WA · state expansion · October 2026 ALLIANZ CAPITAL PARTNERS OF AMERICA LLCNEW YORK, NY · headcount up · April 2024 ALLIANZ GLOBAL INVESTORS ASIA PACIFIC LIMITEDHONG KONG · headcount down · April 2026 ALLIANZ INVESTMENT MANAGEMENT LLCMINNEAPOLIS, MN · headcount down · April 2024 ALLIE FAMILY OFFICE LLCMIAMI, FL · aum crossed 1b · April 2024 ALLIED ASSET ADVISORS INCHOMETOWN, IL · aum up · August 2026 ALLIED INDUSTRIAL PARTNERSHOUSTON, TX · aum crossed 1b · April 2025 ALLIED INVESTMENT ADVISORS LLCBILLINGS, MT · headcount up · March 2026 ALLIED PRIVATE WEALTHBOCA RATON, FL · state expansion · April 2026 ALLIO ADVISORSSEATTLE, WA · deregistered · January 2026 ALLISON INVESTMENT MANAGEMENT, LLCCOLUMBIA, SC · state expansion · April 2026 ALLIUM FINANCIAL ADVISORS, LLCLAKE OSWEGO, OR · state expansion · August 2026 ALLOCATE MANAGEMENT COMPANY, LLCPALO ALTO, CA · aum up · April 2026 ALLOCATOR SOLUTIONS, LLCST LOUIS, MO · private funds started · April 2026 ALLODIUM INVESTMENT CONSULTANTS, LLCMINNEAPOLIS, MN · state expansion · October 2026 ALLOS INVESTMENT ADVISORS, LLCOVERLAND PARK, KS · new office · June 2026 ALLPOINT FINANCIAL GROUPPETALUMA, CA · new registration · August 2026 ALLRED HARRIS WEALTH MANAGEMENT.DALLAS, TX · state expansion · May 2025 ALLRIDGE WEALTH MANAGEMENT, INCASHBURN, VA · new registration · April 2026 ALLSPRING FUNDS MANAGEMENT, LLCCHARLOTTE, NC · website changed · June 2026 ALLSPRING GLOBAL INVESTMENTS (SINGAPORE) PTE. LTD.SINGAPORE · aum crossed 500m · April 2026 ALLSPRING GLOBAL INVESTMENTS (UK) LIMITEDLONDON · aum up · April 2026 ALLSPRING GLOBAL INVESTMENTS, LLCCHARLOTTE, NC · headcount down · April 2026 ALLSQUARE WEALTH MANAGEMENT, LLCALBANY, NY · planning clients up · April 2026 ALLSTATE FINANCIAL ADVISORS, LLCLINCOLN, NE · aum up · April 2026 ALLSTATE INVESTMENT MANAGEMENT COMPANYCHICAGO, IL · headcount up · April 2026 ALLUVIAL CAPITAL MANAGEMENT, LLCaum up · April 2026 ALLVET FINANCIALstate expansion · October 2026 ALLWORTH FINANCIAL, L.P.FOLSOM, CA · headcount up · April 2026 ALLY BRIDGE GROUP (NY) LLCNEW YORK, NY · aum up · April 2026 ALLY BRIDGE GROUP (PE) LLCNEW YORK, NY · headcount up · April 2025 ALLY INVEST ADVISORSCHARLOTTE, NC · disclosure added · May 2026 ALM FIRST FINANCIAL ADVISORS LLCDALLAS, TX · private funds started · April 2025 ALMANACK INVESTMENT PARTNERSNEWTOWN SQUARE, PA · relocation · August 2026 ALMEGA WEALTH MANAGEMENTSCOTTSDALE, AZ · new registration · October 2026 ALMITAS CAPITAL LLCSANTA MONICA, CA · aum crossed 1b · April 2026 ALO FINANCIAL PLANNINGMOUNT PROSPECT, IL · new registration · July 2026 ALONGSIDE, LLCAUSTIN, TX · new office · July 2026 ALOOOLAKINGSTON, NJ · aum up · April 2026 ALPACANEW YORK, NY · headcount up · April 2024 ALPEN PARTNERS INTERNATIONAL AGFREIENBACH · headcount up · April 2026 ALPENGLOBAL CAPITAL, LLCaum up · March 2025 ALPHANEW YORK, NY · aum up · May 2024 ALPHA ADVISORS, LLCRICHMOND, VA · state expansion · March 2025 ALPHA ARCHITECTNEWTOWN SQUARE, PA · aum up · March 2026 ALPHA ASSET CONSULTING LLCderegistered · January 2026 ALPHA ASSET MANAGEMENTAKRON, OH · new registration · April 2025 ALPHA BETA GAMMA WEALTH MANAGEMENTPALM BEACH GARDENS, FL · deregistered · August 2025 ALPHA BLUE CAPITALpending approved · February 2024 ALPHA CAPITAL FAMILY OFFICE, LLCGREENWOOD VILLAGE, CO · new office · July 2026 ALPHA CAPITAL MANAGEMENTAUSTIN, TX · headcount up · March 2025 ALPHA CAPITAL MANAGEMENT GROUP LLCDENVER, CO · state expansion · February 2026 ALPHA CENTAURI WEALTH MANAGEMENT INC.ANAHEIM, CA · deregistered · July 2024 ALPHA CUBED INVESTMENTS, LLCCOSTA MESA, CA · deregistered · May 2026 ALPHA DNA INVESTMENT MANAGEMENTCOLUMBIA, MD · private funds started · April 2024 ALPHA DOG ADVISORS, RUFFCRANSTON, RI · rename · April 2025 ALPHA FIDUCIARYPHOENIX, AZ · relocation · October 2026 ALPHA FINANCIAL ADVISORS, LLCMCLEAN, VA · aum down · March 2024 ALPHA FINANCIAL ADVISORS, LLCCHARLOTTE, NC · state expansion · July 2026 ALPHA FINANCIAL MANAGEMENT, INC.SAVANNAH, GA · new registration · May 2026 ALPHA FINANCIAL PARTNERS LLCLEXINGTON, KY · aum up · March 2025 ALPHA GROWTH MANAGEMENT LLCDELRAY BEACH, FL · new office · April 2026 ALPHA INNOVATIONS LTD.HAMILTON · new registration · June 2026 ALPHA INVESTMENT CONSULTING GROUP, LLCMILWAUKEE, WI · aum crossed 500m · April 2024 ALPHA LEONIS PARTNERS, LLCWAYNE, PA · relocation · April 2026 ALPHA OMEGA FINANCIALcustody started · March 2025 ALPHA OMEGA WEALTH MANAGEMENT, LLCRICHMOND, VA · state expansion · October 2026 ALPHA ONE ASSET MANAGEMENT LLCPASADENA, CA · deregistered · August 2026 ALPHA PARTNERS MANAGEMENT, LLCNEW YORK, NY · aum crossed 500m · April 2026 ALPHA PLANNING AND FINANCIAL SERVICES, INC.SOLON, OH · state expansion · June 2026 ALPHA PRINCIPLE, LLCENGLEWOOD, CO · deregistered · December 2025 ALPHA ROCK INVESTMENTS, LLCMALVERN, PA · deregistered · December 2025 ALPHA SOLUTIONS INVESTMENT ADVISORSSOUTH SAN FRANCISCO, CA · state expansion · September 2026 ALPHA SQUARE GROUP S, LLCNEW YORK, NY · aum up · April 2026 ALPHA VEE ADVISORSpending approved · November 2024 ALPHA WAVE GLOBAL, LPMIAMI, FL · relocation · August 2026 ALPHA WEALTH FUNDS, LLCPARK CITY, UT · headcount up · July 2026 ALPHA WEALTH STRATEGIES, LLCplanning clients up · February 2026 ALPHA ZERO LLCBOCA RATON, FL · state expansion · October 2026 ALPHA-LAB ASSET MANAGEMENT INC.planning clients up · April 2025 ALPHABIT INVESTMENTS, LLCFOREST CITY, IA · new office · December 2025 ALPHABOND LLCPALM BEACH, FL · aum down · April 2026 ALPHACENTRIC ADVISORS LLCSAN JUAN, PR · new office · April 2026 ALPHACORE CAPITAL LLCLA JOLLA, CA · aum up · September 2026 ALPHADYNE ASSET MANAGEMENT LPNEW YORK, NY · headcount up · April 2026 ALPHAENGINE GLOBAL INVESTMENT SOLUTION LLCPLANO, TX · new registration · September 2026 ALPHAMARK ADVISORS, LLCFT. WRIGHT, KY · deregistered · May 2025 ALPHANSOderegistered · April 2025 ALPHAPOINT, INC.CORONA DEL MAR, CA · planning clients up · April 2024 ALPHAQ ADVISORSWINTER PARK, FL · aum up · March 2026 ALPHAQUEST LLCNEW YORK, NY · deregistered · August 2026 ALPHASIMPLEX GROUP, LLCBOSTON, MA · aum down · April 2026 ALPHASTAR CAPITAL MANAGEMENTCORNELIUS, NC · headcount up · April 2026 ALPHATRUST ADVISORSPHOENIX, AZ · new registration · July 2026 ALPHYN CAPITAL MANAGEMENT LLCHICKSVILLE, NY · new registration · April 2025 ALPINE ADVISORY PARTNERS, LLCnew registration · September 2026 ALPINE ASSOCIATES MANAGEMENT INC.PALM BEACH, FL · headcount up · April 2026 ALPINE CAPITAL STRATEGIES LLCderegistered · April 2026 ALPINE GROVE PARTNERS LLPNEW YORK, NY · new office · April 2025 ALPINE HILL ADVISORS LLCWESTPORT, CT · aum down · April 2025 ALPINE INVESTORSSAN FRANCISCO, CA · headcount up · April 2026 ALPINE PEAKS CAPITAL, LPNEW YORK, NY · deregistered · June 2026 ALPINE PRIVATE WEALTHSAINT LOUIS, MO · state expansion · April 2026 ALPINE SAXON WOODSPURCHASE, NY · rename · April 2026 ALPINE WEALTH ADVISORS, LLCDENVER, CO · new registration · September 2024 ALPINE WOODS CAPITAL INVESTORS, LLCPURCHASE, NY · aum down · April 2026 ALPINVEST PARTNERS B.V.AMSTERDAM · headcount up · April 2026 ALPINVEST PRIVATE EQUITY INVESTMENT MANAGEMENT, LLCNEW YORK, NY · headcount up · March 2026 ALPINVEST US HOLDINGS, LLCNEW YORK, NY · headcount up · April 2026 ALPS ADVISORS, INC.DENVER, CO · aum up · April 2026 ALPSTONE CAPITAL (SUISSE) S.A.GENEVE · deregistered · June 2026 ALQUITY INVESTMENT MANAGEMENT LTD.LONDON · deregistered · July 2024 ALSWORTH CAPITAL MANAGEMENT, LLCCORNING, NY · planning clients up · April 2024 ALTA ASSET MANAGEMENT, LLCNEW YORK, NY · new registration · March 2026 ALTA CAPITAL MANAGEMENT LLCSALT LAKE CITY, UT · disclosure added · April 2026 ALTA FOX CAPITAL MANAGEMENT, LLCFORT WORTH, TX · aum up · April 2026 ALTA FUNDAMENTAL ADVISERS LLCNEW YORK, NY · aum down · April 2026 ALTA PARK CAPITAL, LPSAN FRANCISCO, CA · aum up · April 2026 ALTA WEALTH ADVISORS LLCWOBURN, MA · headcount up · April 2026 ALTAI CAPITAL MANAGEMENT, L.P.aum down · April 2026 ALTAIR ADVISERS, LLCCHICAGO, IL · private funds started · December 2025 ALTAMAR PARTNERS NORTH AMERICA LLCNEW YORK, NY · aum up · April 2024 ALTAMIRA FINANCIAL GROUP, LLCSANTA FE, NM · new registration · March 2025 ALTAMONT CAPITAL MANAGEMENTASHEVILLE, NC · aum up · March 2025 ALTAMONT WEALTH MANAGEMENT, INC.LIVERMORE, CA · planning clients up · April 2026 ALTAR ROCKnew office · August 2026 ALTARIS, LLCNEW YORK, NY · new office · January 2026 ALTAROCK PARTNERS LPWEST PALM BEACH, FL · aum up · February 2024 ALTEGRIS ADVISORS, LLCSAN JUAN CAPISTRANO, CA · deregistered · January 2026 ALTERA PRIVATE ACCESS, LLCATLANTA, GA · aum crossed 500m · April 2026 ALTERI WEALTHWESTLAKE VILLAGE, CA · state expansion · July 2026 ALTERIS CAPITAL PARTNERS, LLCHOUSTON, TX · planning clients up · April 2026 ALTERITY FINANCIAL GROUP, LLCBANGOR, ME · deregistered · August 2024 ALTERNA CAPITAL PARTNERS LLCstate expansion · April 2026 ALTERNA EQUITY PARTNERS MANAGEMENT LLCFORT LAUDERDALE, FL · aum up · April 2025 ALTERNA WEALTH MANAGEMENT, INC.HOUSTON, TX · headcount down · April 2026 ALTERNATIVE ACCESS FUNDS, LLCEL SEGUNDO, CA · aum up · March 2026 ALTERNATIVE CAPITAL FUND MANAGEMENT LLCENGLEWOOD CLIFFS, NJ · aum crossed 1b · April 2026 ALTERNATIVE FUND ADVISORS, LLCBOSTON, MA · aum up · April 2025 ALTERNATIVE INVESTMENT ADVISORS, LLCMAITLAND, FL · headcount up · April 2026 ALTERRA IOS MANAGER, LLCRADNOR, PA · headcount up · April 2026 ALTES CAPITAL, LLCrename · February 2025 ALTFEST PERSONAL WEALTH MANAGEMENTNEW YORK, NY · state expansion · December 2025 ALTHUM ADVISORS LLCMIAMI, FL · rename · July 2025 ALTI LLCNEW YORK, NY · deregistered · April 2026 ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC.CORAL GABLES, FL · relocation · August 2025 ALTIMETER CAPITAL MANAGEMENT, LPMENLO PARK, CA · aum up · April 2026 ALTIORA FINANCIAL GROUP, LLCstate expansion · October 2026 ALTITUDE CAPITAL MANAGEMENT LLCDES MOINES, IA · website changed · October 2026 ALTITUDE CREST PARTNERS INC.STAMFORD, CT · deregistered · July 2024 ALTIUM INVESTMENT STRATEGIES LLCWESLEY CHAPEL, FL · headcount up · April 2026 ALTIUS FINANCIAL, INC.DENVER, CO · aum up · April 2026 ALTMAN ADVISORSCHICAGO, IL · state expansion · August 2026 ALTON ROAD CAPITAL, LPVERO BEACH, FL · new registration · November 2024 ALTOS VENTURES MANAGEMENT, INC.BURLINGAME, CA · headcount up · April 2024 ALTRAVUE CAPITAL, LLCBELLEVUE, WA · new office · February 2026 ALTRIARCH ASSET MANAGEMENT, LLCCHARLESTON, SC · aum up · April 2026 ALTRINSIC GLOBAL ADVISORS, LLCSTAMFORD, CT · aum up · April 2026 ALTRIUS CAPITAL MANAGEMENT, INC.NOVI, MI · state expansion · April 2026 ALTRUIST ADVISORS LLCCULVER CITY, CA · pending approved · October 2026 ALTRUIST LLCCULVER CITY, CA · headcount down · April 2026 ALTRUVISTA LLCHOUSTON, TX · deregistered · February 2026 ALTUM WEALTH ADVISORSCHICO, CA · new registration · April 2025 ALTURA CAPITALCORAL GABLES, FL · new registration · September 2026 ALTURA PRIVATE CAPITAL, LLCMIAMI, FL · deregistered · March 2026 ALTURA PRIVATE WEALTH LLCCENTERVILLE, UT · new registration · September 2026 ALTURA WEALTH ADVISORSVIRGINIA BEACH, VA · pending approved · March 2026 ALTURA WEALTH ADVISORS INC.SANTA CLARA, CA · aum up · April 2026 ALTUS CAPITAL PARTNERS, INC.WILTON, CT · aum down · April 2024 ALTUS WEALTH GROUP, LLCCOLORADO SPRINGS, CO · state expansion · July 2026 ALTUS WEALTH MANAGEMENT, LLCFT. MITCHELL, KY · state expansion · May 2026 ALUMANnew registration · July 2025 ALUMINA INVESTMENT MANAGEMENTCHARLOTTE, NC · aum down · April 2026 ALVENTO CAPITAL PARTNERS LLPLONDON · deregistered · January 2025 ALVIN CLAY FINANCIAL ADVISORS, LLCJENKINTOWN, PA · state expansion · June 2026 ALYESKA INVESTMENT GROUP, L.P.CHICAGO, IL · aum up · April 2026 AM INVESTMENT STRATEGIES, LLCCHATTANOOGA, TN · state expansion · August 2025 AMALIA PARTNER AGZURICH · new registration · February 2026 AMALTASH ADVISORSnew registration · May 2026 AMARA FINANCIAL, LLCSAN FRANCISCO, CA · state expansion · June 2026 AMAZZ INVESTMENT MANAGEMENT, INC.WILLIAMSVILLE, NY · custody started · December 2025 AMB WEALTH, LLCTHOMASVILLE, GA · headcount up · April 2026 AMBER INFRASTRUCTURE INVESTMENT ADVISOR LLCNEW YORK, NY · headcount down · April 2026 AMBER ROAD INVESTORS LPNEW YORK, NY · private funds started · October 2026 AMBERJACK CAPITAL PARTNERS, L.P.HOUSTON, TX · headcount up · April 2026 AMBERLAKE PARTNERS SAMMONACO · aum up · April 2026 AMBLESIDE INVESTMENTSderegistered · March 2024 AMBROSE CAPITAL ADVISORS, LLCINDIANAPOLIS, IN · pending approved · October 2026 AMELIORA WEALTH MANAGEMENT LTD.ZURICH · aum crossed 1b · April 2026 AMERANT INVESTMENTS, INC.CORAL GABLES, FL · headcount up · April 2026 AMERAUDI ASSET MANAGEMENT, INC.NEW YORK, NY · headcount up · April 2026 AMERGIN ASSET MANAGEMENT, LLCBOCA RATON, FL · aum crossed 1b · April 2026 AMERICA FIRST INVESTMENT ADVISORS LLCOMAHA, NE · state expansion · September 2026 AMERICAFIRST WEALTH MANAGEMENT, INC.WEST HENRIETTA, NY · deregistered · December 2025 AMERICAN ASSET MANAGEMENT INC.BOCA RATON, FL · deregistered · September 2026 AMERICAN ASSETS CAPITAL ADVISERS, LLCSAN DIEGO, CA · deregistered · January 2026 AMERICAN CAPITAL ADVISORY, LLCKETCHUM, ID · private funds started · April 2026 AMERICAN CAPITAL MANAGEMENT INCNEW YORK, NY · state expansion · July 2025 AMERICAN CENTURY INVESTMENT MANAGEMENT INCKANSAS CITY, MO · headcount down · April 2026 AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.KANSAS CITY, MO · planning clients up · April 2025 AMERICAN COMMUNITY WEALTH MANAGEMENT, LLCCRYSTAL LAKE, IL · aum up · April 2026 AMERICAN DISCOVERY INVESTMENT ADVISORS, LLCLOS ANGELES, CA · headcount up · April 2026 AMERICAN EXPATS IN EUROPE LTD.headcount up · April 2026 AMERICAN FINANCIAL & TAX STRATEGIES, INC.NEW YORK, NY · new office · February 2026 AMERICAN FINANCIAL ADVISORS INCWINTER PARK, FL · state expansion · June 2025 AMERICAN FINANCIAL ADVISORS, LLC.MARIETTA, GA · planning clients up · April 2025 AMERICAN FINANCIAL MANAGEMENT, LTD.OWINGS MILLS, MD · planning clients up · March 2026 AMERICAN FUNDSTARSIRVINE, CA · relocation · May 2025 AMERICAN INDEPENDENT SECURITIES GROUP, LLCEAGLE, ID · headcount up · April 2026 AMERICAN INDUSTRIAL PARTNERSNEW YORK, NY · headcount up · April 2026 AMERICAN INFRASTRUCTURE FUNDS, LLCFOSTER CITY, CA · deregistered · February 2025 AMERICAN INVESTMENT ADVISORS INCMADISON, WI · new registration · August 2024 AMERICAN INVESTORS COSAN RAMON, CA · state expansion · July 2025 AMERICAN MONEY MANAGEMENT, LLCRANCHO SANTA FE, CA · planning clients up · April 2026 AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.FEDERAL WAY, WA · state expansion · April 2026 AMERICAN PACIFIC GROUPLARKSPUR, CA · custody started · April 2025 AMERICAN PORTFOLIOS ADVISORS, INCHOLBROOK, NY · deregistered · November 2024 AMERICAN REALTY ADVISORSLOS ANGELES, CA · headcount down · April 2026 AMERICAN RETIREMENT PLANNING GROUP INCLAS VEGAS, NV · state expansion · September 2026 AMERICAN SECURITIES LLCNEW YORK, NY · headcount down · April 2025 AMERICAN TRIPLE I, LLCNEW YORK, NY · new office · April 2026 AMERICAN TRUST INVESTMENT ADVISORS, LLCLEBANON, NH · aum down · April 2026 AMERICAN VENTURES IM LLCPALM BEACH GARDENS, FL · new registration · September 2026 AMERICAN WEALTH ADMINISTRATION GROUP LLCGLEN COVE, NY · planning clients up · April 2024 AMERICAN WEALTH ADVISORS, LLCJOHNS CREEK, GA · state expansion · September 2026 AMERICAN WEALTH MANAGEMENTRENO, NV · state expansion · July 2026 AMERICAN WEALTH MANAGEMENT, INC.ALPHARETTA, GA · new office · October 2026 AMERICANA PARTNERS, LLCHOUSTON, TX · state expansion · May 2026 AMERIPRISE FINANCIAL SERVICES, LLCMINNEAPOLIS, MN · disclosure added · July 2026 AMERISERV WEALTH ADVISORS INCJOHNSTOWN, PA · rename · November 2024 AMERITAS ADVISORY SERVICES, LLCLINCOLN, NE · headcount down · April 2026 AMERITAS INVESTMENT PARTNERS, INC.LINCOLN, NE · custody started · February 2025 AMERITY WEALTH MANAGEMENT, LLCLAKELAND, FL · state expansion · May 2026 AMERRA CAPITAL MANAGEMENT, LLCENGLEWOOD, NJ · headcount up · April 2026 AMHERST ADVISORY & MANAGEMENT LLCAUSTIN, TX · deregistered · October 2024 AMHERST CAPITAL MANAGEMENT LLCNEW YORK, NY · aum down · April 2026 AMICORP WEALTH SERVICESMIAMI, FL · planning started · December 2025 AMICUS FINANCIAL ADVISORS, LLCLUBBOCK, TX · aum crossed 500m · April 2025 AMIDON & PETERSEN FINANCIALS, LLCALBANY, NY · headcount down · December 2025 AMIP MANAGEMENTSEAL BEACH, CA · aum crossed 1b · April 2026 AMITY VENTURESSAN FRANCISCO, CA · aum up · April 2026 AMJ FINANCIAL WEALTH MANAGEMENT LLCLEESBURG, VA · state expansion · April 2026 AMORE AMBRO, LLCderegistered · December 2025 AMOVA ASSET MANAGEMENT AMERICAS, INC.NEW YORK, NY · headcount up · July 2026 AMOVA ASSET MANAGEMENT ASIA LIMITEDSINGAPORE · aum up · July 2026 AMOVA ASSET MANAGEMENT CO.,LTD.TOKYO · headcount up · July 2026 AMOVA ASSET MANAGEMENT UK LIMITEDLONDON · rename · December 2025 AMP WEALTH MANAGEMENTWHITEFISH BAY, WI · deregistered · August 2025 AMPERSAND CAPITAL GROUP, L.P.BURLINGAME, CA · aum up · April 2026 AMPERSAND CAPITAL PARTNERSBOSTON, MA · new office · April 2026 AMPFIELD MANAGEMENTNEW YORK, NY · headcount up · April 2026 AMPHORA WEALTH MANAGEMENT, LLCCHAPEL HILL, NC · aum up · April 2026 AMPLE WEALTH PARTNERS LLCORLANDO, FL · new registration · September 2026 AMPLIFIED ADVISORSderegistered · May 2025 AMPLIFY ENDOWMENT MANAGEMENT, LLCaum down · April 2025 AMPLIFY ETFSLISLE, IL · aum up · April 2026 AMPLIFY FINANCIAL, LLCSCOTTSDALE, AZ · headcount up · April 2025 AMPLIUS ASSET MANAGEMENT, LLCBLUE BELL, PA · new registration · April 2025 AMPLIUS WEALTH ADVISORSBLUE BELL, PA · headcount up · March 2026 AMS CHILDREN'S FUND, LPderegistered · September 2026 AMULET CAPITAL PARTNERS, L.P.GREENWICH, CT · headcount up · April 2025 AMUNDI ASSET MANAGEMENT US, INC.BOSTON, MA · deregistered · May 2025 AMUNDI USBOSTON, MA · rename · April 2026 AMUNI FINANCIAL, INC.ST PETERSBURG, FL · state expansion · December 2025 AMVOY WEALTHDUBLIN · deregistered · August 2026 AN EXCEPTIONAL LIFE FINANCIAL, LLCINDIANAPOLIS, IN · rename · April 2025 ANABRANCH CAPITAL MANAGEMENT, LPSTAMFORD, CT · aum up · April 2025 ANALOG CENTURY MANAGEMENT LPNEW YORK, NY · aum up · April 2026 ANALYST PORTFOLIO MANAGEMENT LTD.TEL AVIV · aum up · April 2026 ANANYM CAPITAL MANAGEMENT, LPNEW YORK, NY · pending approved · February 2025 ANCALA PARTNERS LLCNEW YORK, NY · aum up · May 2026 ANCHOR & OAK WEALTH ADVISORS, LLCMARCO ISLAND, FL · new office · September 2026 ANCHOR BAY CAPITAL, INC.CARLSBAD, CA · headcount up · April 2025 ANCHOR BAY PRIVATE WEALTH LLCCARLSBAD, CA · aum up · December 2025 ANCHOR CAPITALALISO VIEJO, CA · aum down · April 2026 ANCHOR CAPITAL ADVISORS LLCBOSTON, MA · disclosure added · April 2024 ANCHOR CAPITAL MANAGEMENT, LLCITHACA, NY · planning clients up · February 2026 ANCHOR HEALTH CAPITAL, LLCCHATTANOOGA, TN · headcount down · April 2026 ANCHOR INVESTMENT MANAGEMENTCOLUMBIA, SC · state expansion · July 2025 ANCHOR POINT FINANCIALBAKERSFIELD, CA · pending approved · April 2025 ANCHOR POINTE WEALTH MANAGEMENTCAPE GIRARDEAU, MO · deregistered · May 2025 ANCHOR WEALTH MANAGEMENT GROUP LLCWEST PALM BEACH, FL · planning clients up · April 2026 ANCHORAGE CAPITAL ADVISORS, L.P.NEW YORK, NY · headcount down · April 2026 ANCHORAGE CAPITAL GROUP, L.L.C.NEW YORK, NY · headcount down · April 2026 ANCHORCOVE PARTNERSderegistered · May 2024 ANCHORED FINANCIAL PLANNING LLCWEST DEPTFORD, NJ · pending approved · March 2026 ANCHR TECHNOLOGIES RIA LLCNEW YORK, NY · pending approved · October 2026 ANCHYRA PARTNERS LLCATLANTA, GA · aum crossed 500m · April 2026 ANCIENT MANAGEMENT LP D/B/A ANCIENTNEW YORK, NY · private funds started · October 2026 ANCOR CAPITAL PARTNERSSOUTHLAKE, TX · aum up · April 2026 ANCORA ADVISORS LLCMAYFIELD HEIGHTS, OH · custody started · April 2026 ANCORA PRIVATE WEALTH ADVISORS, LLCCLEVELAND, OH · custody started · April 2026 ANCORA RETIREMENT PLAN ADVISORS, LLCCLEVELAND, OH · state expansion · January 2025 ANCORATOBOISE, ID · relocation · April 2026 ANDA ASSET MANAGEMENT CO., LTD.SEOUL · aum crossed 1b · July 2026 ANDALUSIAN CREDIT PARTNERS, LLCNEW YORK, NY · custody started · April 2026 ANDALUSIAN PRIVATE CAPITAL, LPNEW YORK, NY · new office · November 2024 ANDBANC ADVISORY LLCMIAMI, FL · headcount up · April 2024 ANDERSENMCLEAN, VA · headcount up · April 2025 ANDERSON & ANDERSON ADVISORY, LLCLONGVIEW, WA · deregistered · April 2025 ANDERSON FINANCIAL PARTNERS, INC.PONTE VEDRA, FL · aum up · April 2026 ANDERSON FINANCIAL STRATEGIES, LLCDAYTON, OH · state expansion · April 2026 ANDERSON GRIGGS INVESTMENTSROCK HILL, SC · new registration · August 2025 ANDERSON GROWTH PARTNERS, LLCBIRMINGHAM, AL · aum crossed 1b · April 2026 ANDERSON HOAGLAND & COST LOUIS, MO · state expansion · March 2026 ANDINA ADVISORSLOGAN, UT · headcount down · August 2026 ANDRA CAPITAL LLCSAN FRANCISCO, CA · new registration · April 2026 ANDREESSEN HOROWITZMENLO PARK, CA · aum up · April 2026 ANDREW GARRETT, INC.NEW YORK, NY · state expansion · December 2025 ANDREW HILL INVESTMENT ADVISORS, INC.NAPLES, FL · new office · May 2025 ANDREWS ADVISORY ASSOCIATES, LLCHONOLULU, HI · planning clients up · April 2026 ANDREWS, LUCIA WEALTH MANAGEMENT LLCDANVILLE, CA · aum crossed 500m · April 2026 ANDROS CAPITAL PARTNERS LLCHOUSTON, TX · aum up · April 2026 ANDURAND CAPITAL MANAGEMENT LLPLONDON, GREATER LONDON · deregistered · March 2026 ANEW ADVISORS, LLCWAUWATOSA, WI · deregistered · July 2025 ANFIELD CAPITAL MANAGEMENT, LLCIRVINE, CA · deregistered · September 2026 ANGEL OAK CAPITAL ADVISORS, LLCATLANTA, GA · state expansion · April 2025 ANGELENO GROUP, LLCBEVERLY HILLS, CA · relocation · February 2026 ANGELES EQUITY PARTNERS, LLCLOS ANGELES, CA · relocation · July 2024 ANGELES FAMILY OFFICESANTA MONICA, CA · new office · July 2026 ANGELES WEALTH MANAGEMENT, LLCSANTA MONICA, CA · headcount up · April 2026 ANGELLIST ASSET MANAGEMENT, LLCSEATTLE, WA · headcount up · January 2026 ANGELUS INVESTMENT CONSULTING, INC.CORAL GABLES, FL · new registration · February 2024 ANGLIN INVESTMENT PARTNERS, LLCATLANTA, GA · deregistered · July 2025 ANKERSTAR WEALTH, LLCLEANDER, TX · new office · August 2026 ANNALY CREDIT OPPORTUNITIES MANAGEMENT LLCNEW YORK, NY · aum up · April 2026 ANNAPURNA CAPITAL MANAGEMENT LPWEST PALM BEACH, FL · deregistered · December 2024 ANNEX WEALTH MANAGEMENT, LLCBROOKFIELD, WI · state expansion · May 2026 ANODOS ADVISORS, LLCGOLETA, CA · deregistered · April 2024 ANOMALY CAPITAL MANAGEMENT, LPNEW YORK, NY · headcount up · April 2025 ANOROC ADVISORS LLCderegistered · April 2024 ANQUA MANAGEMENT LLCderegistered · May 2024 ANSON ANALYTICSTYRONE, GA · state expansion · September 2024 ANSON FUNDS MANAGEMENT LPDALLAS, TX · disclosure added · August 2024 ANT MONEY ADVISORSNEWPORT BEACH, CA · state expansion · April 2026 ANTARA CAPITAL LPNEW YORK, NY · headcount down · April 2026 ANTARCTICA INVESTMENT ADVISORS, LLCNEW YORK, NY · headcount up · April 2025 ANTARCTICA SAF PARTNERS, LLCNEW YORK, NY · new registration · July 2026 ANTARES CAPITAL ADVISERS LLCCHICAGO, IL · headcount down · April 2026 ANTARES CAPITAL CREDIT ADVISERS LLCCHICAGO, IL · aum up · April 2026 ANTHELION CAPITAL PARTNERS LLCNEW YORK, NY · aum up · April 2026 ANTHEMIS CAPITAL MANAGERS (AMERICAS) LLCNEW YORK, NY · headcount down · April 2025 ANTHEMIS CAPITAL MANAGERS LIMITEDLONDON · headcount down · April 2025 ANTHONY CAPITAL MANAGEMENT, LLCDE PERE, WI · aum up · April 2026 ANTHOS CAPITALSANTA MONICA, CA · new office · April 2026 ANTIGRAVITY INVESTMENTSnew registration · August 2025 ANTIN INFRASTRUCTURE PARTNERS US SERVICES LLCNEW YORK, NY · headcount up · April 2024 ANTIPODEAN ADVISORS LLCaum down · April 2024 ANTIPODES PARTNERS LIMITEDSYDNEY · headcount up · October 2026 ANTOINE WILLIAMS & ASSOCIATES WEALTH MANAGEMENT, LLCSHELBURNE, VT · aum up · March 2026 ANTOLINO WEALTH ADVISORSCOLUMBUS, OH · new office · August 2026 ANTONELLI FINANCIAL ADVISORS, LLCGROSSE POINTE, MI · state expansion · December 2025 ANTONETTI CAPITAL MANAGEMENT, LLCNAPLES, FL · planning clients up · April 2025 ANZU PARTNERS, LLCTAMPA, FL · aum crossed 1b · April 2026 AO WEALTH ADVISORYURBANDALE, IA · custody started · April 2024 AOF MANAGEMENT LLCLOS ANGELES, CA · aum up · April 2026 AOG WEALTH MANAGEMENTRESTON, VA · deregistered · July 2025 AON ADVANTAGE FUNDS LLCCHICAGO, IL · deregistered · June 2025 AON INVESTMENTS USA INC.CHICAGO, IL · headcount down · April 2026 AON SECURITIES LLCCHICAGO, IL · new office · April 2026 AOT INVEST LLCDAVENPORT, IA · aum up · March 2026 AP CAPITAL DELAWARE LLCNEW YORK, NY · aum up · April 2025 AP INVESTMENT MANAGEMENTMOUNTAIN VIEW, CA · deregistered · July 2025 AP WEALTH MANAGEMENTAUGUSTA, GA · custody started · August 2026 APAX PARTNERS US, LLCNEW YORK, NY · aum crossed 500m · July 2026 APC ASSET DEVELOPMENT I, LPNEWPORT BEACH, CA · custody started · February 2024 APC ASSET DEVELOPMENT II, LPNEWPORT BEACH, CA · aum up · April 2026 APC FINANCIAL PLANNINGKNOXVILLE, TN · deregistered · February 2026 APEIRON WEALTH SERVICEASTORIA, NY · new registration · October 2026 APELLA WEALTHWEST HARTFORD, CT · headcount down · July 2026 APERIO GROUP, LLCSAUSALITO, CA · aum up · April 2026 APERTURE ADVISORS LLCdisclosure added · July 2026 APERTURE INVESTORS, LLCNEW YORK, NY · headcount up · April 2026 APEX CAPITAL MANAGEMENT, L.L.C.LAFAYETTE, LA · headcount down · April 2026 APEX FINANCIAL ADVISORS, INCYARDLEY, PA · deregistered · February 2026 APEX INVESTMENT GROUPHUDSON, MA · custody started · April 2026 APEX INVESTMENTS MANAGEMENT US, LLCCOCONUT GROVE, FL · aum up · April 2026 APEX INVESTMENTS MANAGEMENT, S.A.GUATEMALA CITY · aum up · April 2026 APEX STRATEGIC WEALTH, LLCCHATTANOOGA, TN · aum up · March 2026 APEX WEALTH ADVISORS LLCstate expansion · December 2025 APEX WEALTH MANAGEMENT, LLCBEDFORD, NH · planning clients up · February 2024 APEXIUM FINANCIAL LPDALLAS, TX · deregistered · January 2026 APFORIAVIRGINIA BEACH, VA · headcount up · May 2026 APG ASSET MANAGEMENT US, INCNEW YORK, NY · headcount up · April 2025 APHIAS CAPITAL, L.P.SAN FRANCISCO, CA · aum crossed 500m · April 2026 API FINANCIAL ADVISORS, LLCROCKLEDGE, FL · state expansion · July 2026 APIS & HERITAGE CAPITAL PARTNERS, LLCWASHINGTON, DC · headcount up · April 2026 APIS CAPITAL ADVISORS, LLCNEW YORK, NY · aum crossed 1b · April 2026 APO FINANCIAL SERVICES, LLCWESTMINSTER, CO · state expansion · February 2026 APOGEM CAPITAL LLCNEW YORK, NY · headcount down · April 2026 APOLLO CAPITAL CREDIT ADVISER, LLCNEW YORK, NY · headcount up · April 2026 APOLLO CAPITAL MANAGEMENT, L.P.NEW YORK, NY · headcount up · April 2026 APOLLO CREDIT MANAGEMENT, LLCNEW YORK, NY · headcount up · April 2026 APOLLO INVESTMENT MANAGEMENT, L.P.NEW YORK, NY · headcount up · April 2026 APOLLO MANAGER, LLCNEW YORK, NY · headcount up · April 2026 APOLLO MPS MANAGEMENT, LLCNEW YORK, NY · headcount up · April 2026 APOLLO REAL ESTATE FUND ADVISER, LLCNEW YORK, NY · headcount up · April 2026 APOLLO S3 RIC MANAGEMENT, L.P.NEW YORK, NY · headcount up · April 2026 APOLLO WEALTH MANAGEMENT, LLCaum up · April 2026 APOLLON FINANCIAL, LLCMOUNT PLEASANT, SC · state expansion · May 2026 APOLLON WEALTH MANAGEMENT, LLCMOUNT PLEASANT, SC · aum up · April 2026 APPALACHIAN CAPITAL MANAGEMENTST. CLAIRSVILLE, OH · new registration · June 2024 APPIAN WAY ASSET MANAGEMENT LPNEW YORK, NY · deregistered · January 2026 APPIAN WAY FINANCIALPASADENA, CA · planning clients up · April 2025 APPLE & ASSOCIATESGRASS VALLEY, CA · new registration · February 2026 APPLE TREE ASSET MANAGEMENT, LLCFORT WAYNE, IN · planning clients up · April 2026 APPLESEED ADVISORY, LLCSAN FRANCISCO, CA · new registration · July 2026 APPLETON PARTNERS, INC.BOSTON, MA · planning clients up · April 2025 APPLEWHITE & BUYS FINANCIAL ADVISORSDALLAS, TX · new registration · December 2025 APPLIED ACADEMICSNEW YORK, NY · new registration · July 2026 APPLIED CAPITALstate expansion · October 2026 APPLIED FINANCE ADVISORS, LLCSAN ANTONIO, TX · aum up · April 2025 APPLIED FINANCE CAPITAL MANAGEMENT, LLCSAN JUAN, PR · aum up · August 2024 APPLIED FINANCIAL WISDOMRAPID CITY, SD · new registration · February 2026 APPOMATTOX ADVISORY, INCNEW YORK, NY · state expansion · April 2026 APPROACH CAPITAL LLCnew registration · June 2026 APPROACH RETIREMENT ADVISORS, LLCBIRMINGHAM, AL · custody started · April 2025 APRICITY FINANCIAL, LLCprivate funds started · April 2026 APRICUS WEALTH LLCBEAUFORT, SC · new office · March 2025 APRIEM ADVISORSIRVINE, CA · state expansion · April 2025 APRIO WEALTH MANAGEMENT, LLCATLANTA, GA · state expansion · September 2026 APS ASSET MANAGEMENT PTE LTDSINGAPORE · aum up · April 2026 APT WEALTH USA PTY LTDMELBOURNE VIC · relocation · October 2026 APTITUDE INVESTMENT MANAGEMENT LPSEATTLE, WA · deregistered · December 2024 APTUS CAPITAL ADVISORS, LLCFAIRHOPE, AL · new office · October 2026 APTUS FINANCIAL, LLCnew office · October 2026 AQILONE TREE, CO · pending approved · July 2026 AQR ARBITRAGE, LLCGREENWICH, CT · headcount up · April 2026 AQR CAPITAL MANAGEMENT, LLCGREENWICH, CT · headcount up · April 2026 AQR FLEX MANAGEMENT, LLCGREENWICH, CT · new registration · October 2026 AQUA ADVISORS LLCaum up · April 2026 AQUA CAPITAL ADVISORSLOS ANGELES, CA · new registration · August 2024 AQUALIS PARTNERS LLCDARIEN, CT · new registration · July 2026 AQUAMARINE FINANCIAL (CAYMAN) LTDGRAND CAYMAN · new registration · September 2026 AQUARIAN HOLDINGS INVESTMENT MANAGEMENT LLCNEW YORK, NY · headcount up · April 2026 AQUARIAN HOLDINGS MANAGEMENT LLCNEW YORK, NY · aum up · April 2025 AQUATIC CAPITAL MANAGEMENT LLCCHICAGO, IL · headcount down · April 2026 AQUILA INVESTMENT MANAGEMENT LLCNEW YORK, NY · deregistered · December 2024 AQUILANT ADVISORSST. LOUIS, MO · new office · September 2026 AQUILINE HOLDINGS LLCNEW YORK, NY · deregistered · February 2024 AQUILINE MANAGEMENT HOLDINGS LPNEW YORK, NY · headcount up · April 2026 AQUILO CAPITAL MANAGEMENT, LLCSAN FRANCISCO, CA · deregistered · April 2025 AQUIUM LEGACY PARTNERSnew registration · October 2026 ARA GC PARTNERS, LLCHOUSTON, TX · aum crossed 500m · April 2026 ARA PARTNERSHOUSTON, TX · headcount up · April 2025 ARABLE CAPITAL PARTNERS, LLCBELLEVUE, WA · headcount up · April 2025 ARAGON CAPITAL LLCFORT LAUDERDALE, FL · aum up · April 2025 ARAGON CAPITAL, LLCHOMEWOOD, AL · rename · September 2026 ARARAT CAPITAL MANAGEMENT LPWESTPORT, CT · aum down · April 2026 ARAVALLI CAPITAL MANAGEMENT LPNEW YORK, NY · aum up · April 2026 ARAX ADVISORY PARTNERSNEW YORK, NY · headcount up · August 2026 ARBA CREDIT MANAGEMENT, L.P.CONSHOHOCKEN, PA · new registration · August 2025 ARBALPHAMIAMI, FL · pending approved · March 2025 ARBION LIMITEDLONDON · headcount up · April 2024 ARBITER PARTNERSNEW YORK, NY · aum crossed 1b · March 2026 ARBOR CAPITAL MANAGEMENT CORPAMHERST, NY · deregistered · January 2025 ARBOR CAPITAL MANAGEMENT INCANCHORAGE, AK · deregistered · October 2026 ARBOR FINANCIALANN ARBOR, MI · deregistered · July 2026 ARBOR FINANCIAL SERVICES, LLCDOWNERS GROVE, IL · state expansion · November 2024 ARBOR INVESTMENT ADVISORSWINSTON SALEM, NC · state expansion · October 2026 ARBOR INVESTMENT MANAGEMENTANN ARBOR, MI · new registration · August 2024 ARBOR INVESTMENTS MANAGEMENT, LLCPALM BEACH, FL · aum up · April 2025 ARBOR POINT ADVISORSLAVISTA, NE · deregistered · December 2024 ARBOR PRIVATE WEALTH, LLCASHBURN, VA · new office · April 2025 ARBOR REALTY COLLATERAL MANAGEMENT, LLCUNIONDALE, NY · state expansion · March 2025 ARBOR TRUST WEALTH ADVISORS, LLCANN ARBOR, MI · headcount down · March 2026 ARBOR WEALTH ADVISORS LLCTROY, MI · aum crossed 500m · February 2024 ARBOR WEALTH MANAGEMENT, LLCTEMPE, AZ · aum up · April 2026 ARBORFI ADVISORS, LLCANN ARBOR, MI · aum up · March 2026 ARBORSTONE FINANCIAL, LLCANDOVER, MA · pending approved · June 2026 ARBOUR LANE CAPITAL MANAGEMENT LPSTAMFORD, CT · headcount up · April 2025 ARBUS CAPITAL MANAGEMENT, LLCplanning clients up · April 2026 ARC ADVISORY LLCSAN FRANCISCO, CA · aum crossed 500m · April 2026 ARC CAPITAL PARTNERSLOS ANGELES, CA · new registration · October 2026 ARC LUMINOUS MANAGEMENT COMPANY LLCNEW YORK, NY · deregistered · July 2024 ARC24 MANAGEMENT, LPNEW YORK, NY · aum up · April 2026 ARC70 ADVISERS LPBURLINGAME, CA · headcount up · April 2026 ARCA CAPITAL MANAGEMENTMARINA DEL REY, CA · aum up · April 2026 ARCA INVESTMENT MANAGEMENT, LLCMARINA DEL REY, CA · aum up · April 2025 ARCA WEALTH, LLCPORTSMOUTH, NH · new office · October 2026 ARCADIA FUNDSBURLINGTON, MA · aum down · April 2024 ARCADIA INVESTMENT MANAGEMENT CORPKALAMAZOO, MI · deregistered · June 2026 ARCADIA WEALTH MANAGEMENT, LLCMANCHESTER, NH · headcount up · June 2026 ARCANO CAPITAL USA, INC.NEWPORT BEACH, CA · deregistered · August 2024 ARCAP PARTNERS LLCPLAINVIEW, NY · new registration · September 2026 ARCAPITA INVESTMENT MANAGEMENT US INC.ATLANTA, GA · aum crossed 500m · April 2026 ARCATAUR CAPITAL MANAGEMENT LLCMILWAUKEE, WI · state expansion · April 2025 ARCH GLOBAL ADVISORS, LLCNEW YORK, NY · state expansion · July 2026 ARCH INDICES INVESTMENT ADVISORSderegistered · January 2025 ARCH OTC LLCderegistered · August 2026 ARCH PARTNERS WEALTH MANAGEMENT, INC.WATKINSVILLE, GA · new registration · March 2026 ARCHER CAPITAL GROUP MANAGEMENT, LLCLOS ANGELES, CA · aum crossed 500m · April 2026 ARCHER INVESTMENT CORPORATIONCARMEL, IN · aum crossed 1b · April 2026 ARCHER INVESTMENT MANAGEMENTstate expansion · October 2026 ARCHER POINTE WEALTH MANAGEMENT, LLCDAVIS, CA · state expansion · March 2024 ARCHER PORTFOLIO MANAGEMENT INC.MONTREAL, QUEBEC · deregistered · April 2026 ARCHETYPE ADVISORS, LLCDOYLESTOWN, PA · aum up · April 2026 ARCHFORD CAPITAL STRATEGIES, LLCSWANSEA, IL · headcount up · April 2026 ARCHITECT CAPITAL CORP.SAN FRANCISCO, CA · aum crossed 1b · June 2026 ARCHITECT EQUITYEL SEGUNDO, CA · aum up · April 2026 ARCHIV CAPITAL MANAGEMENT LPnew registration · July 2026 ARCHON CAPITAL MANAGEMENT LLCSEATTLE, WA · aum up · April 2026 ARCHON PARTNERS LLCaum crossed 1b · April 2025 ARCHPOINT INVESTORSCORAL GABLES, FL · state expansion · April 2024 ARCHVEST WEALTH ADVISORS, INC.CONCORD, CA · state expansion · April 2025 ARCHWAY PRIVATE WEALTH LLCMANCHESTER · state expansion · December 2024 ARCHWAY WEALTH MANAGEMENT, LLCKIRKWOOD, MO · planning clients up · April 2026 ARCLIGHT CAPITAL PARTNERS, LLCBOSTON, MA · aum up · April 2026 ARCLINE INVESTMENT MANAGEMENT LPNASHVILLE, TN · headcount up · April 2026 ARCTARIS IMPACT INVESTORSWELLESLEY, MA · new office · April 2025 ARCTIC CAPITAL ADVISORS LLCNEW YORK, NY · deregistered · April 2024 ARCTIS GLOBAL LLCderegistered · September 2026 ARCTOS CAPITAL PARTNERS AGZURICH · new registration · October 2026 ARCTOS PARTNERSDALLAS, TX · deregistered · July 2026 ARCTRUST ADVISORS LLCCLIFTON, NJ · deregistered · January 2026 ARCUS CAPITAL PARTNERS, LLCATLANTA, GA · headcount down · April 2026 ARCWOOD FINANCIAL, LLCPHOENIX, AZ · new registration · September 2026 ARDAN EQUITY PARTNERS, LLCWEST PALM BEACH, FL · relocation · June 2026 ARDEA INVESTMENT MANAGEMENTSYDNEY, NSW · aum down · October 2026 ARDEN GLOBAL FAMILY OFFICESprivate funds started · August 2026 ARDENT CAPITAL MANAGEMENT, INC.CINCINNATI, OH · planning clients up · April 2025 ARDIANNEW YORK, NY · headcount up · April 2026 ARDINALL INVESTMENT MANAGEMENT LPNEW YORK, NY · new registration · January 2026 ARDMORE ROAD ASSET MANAGEMENT LPWESTPORT, CT · aum up · April 2026 ARDSLEY PARTNERSNORWALK, CT · aum up · March 2026 ARENA CAPITAL ADVISORSLOS ANGELES, CA · new office · April 2026 ARENA PRIVATE WEALTHCHICAGO, IL · new office · October 2026 ARES CAPITAL MANAGEMENT II LLCLOS ANGELES, CA · aum up · April 2026 ARES CAPITAL MANAGEMENT LLCLOS ANGELES, CA · headcount down · April 2026 ARES COMMERCIAL REAL ESTATE MANAGEMENT LLCLOS ANGELES, CA · state expansion · April 2026 ARES FINANCIAL CONSULTING LLCCALABASAS, CA · aum up · April 2026 ARES MANAGEMENT LLCLOS ANGELES, CA · headcount up · April 2026 ARES SYSTEMATIC CREDIT LIMITEDLONDON · rename · April 2026 ARETE WEALTH ADVISORS, LLCCHICAGO, IL · headcount up · April 2025 ARETE WEALTH STRATEGISTSBRISBANE · relocation · April 2026 ARETEX CAPITAL MANAGEMENT, LPNEW YORK, NY · aum up · April 2026 AREX CAPITAL MANAGEMENT, LPNEW YORK, NY · aum down · April 2026 ARG PRIVATE WEALTH, LLCCINCINNATI, OH · state expansion · September 2026 ARGA INVESTMENT MANAGEMENT, LPMIAMI, FL · new office · October 2026 ARGAND PARTNERS, LPNEW YORK, NY · new office · April 2025 ARGENT ADVISORS, INC.RUSTON, LA · relocation · April 2026 ARGENT CAPITAL MANAGEMENT LLCCLAYTON, MO · state expansion · January 2025 ARGENT RETIREMENT PLAN ADVISORS, LLCNEW ORLEANS, LA · headcount up · April 2026 ARGENT WEALTH MANAGEMENT, INC.ROUND ROCK, TX · aum up · April 2026 ARGENTARII, LLCCINCINNATI, OH · custody started · April 2026 ARGENTICNEW YORK, NY · aum up · April 2026 ARGO INFRASTRUCTURE MANAGEMENT, LPNEW YORK, NY · private funds started · May 2026 ARGO INFRASTRUCTURE PARTNERS LPNEW YORK, NY · private funds started · December 2024 ARGO MANAGEMENT AND RESEARCH COMPANY, LLCpending approved · July 2026 ARGO WEALTH ADVISORY, LLCMCLEAN, VA · custody started · January 2026 ARGONAUTICA PRIVATE WEALTH MANAGEMENT, INCWELLESLEY, MA · state expansion · July 2025 ARGONNE CAPITAL GROUP, LLCATLANTA, GA · headcount up · April 2026 ARGOS CAPITAL PARTNERS, LLCST. LOUIS, MO · aum up · April 2025 ARGOS WEALTH ADVISORS LLCstate expansion · October 2026 ARGOSY CAPITALWAYNE, PA · headcount up · April 2026 ARGOSY-LIONBRIDGE MANAGEMENT, LLCWAYNE, PA · aum up · April 2026 ARGUS EQUITY PARTNERS, LLCnew office · March 2024 ARGUS INVESTORS' COUNSEL, INC.NEW YORK, NY · website changed · February 2025 ARGYLE CAPITAL MANAGEMENT, LLCCENTER VALLEY, PA · relocation · February 2025 ARGYLE CAPITAL PARTNERS, LLCLOS ANGELES, CA · state expansion · April 2025 ARGYLE STREET MANAGEMENT LIMITEDHONG KONG · deregistered · February 2026 ARI GROUP, LLCNEW YORK, NY · new office · June 2025 ARIA GROWTH PARTNERS LPNEW YORK, NY · new registration · August 2025 ARIA WEALTH MANAGEMENTSARATOGA, CA · headcount down · May 2026 ARIA WEALTH PARTNERSCHARLOTTESVILLE, VA · custody started · April 2026 ARIADNE WEALTH MANAGEMENT, LPSANTA BARBARA, CA · aum crossed 500m · April 2025 ARIAM GLOBAL INC.SAN DIEGO, CA · new registration · August 2026 ARIAS RESOURCE CAPITAL MANAGEMENT LPMIAMI, FL · aum down · May 2026 ARIEL ALTERNATIVES, LLCCHICAGO, IL · headcount down · April 2026 ARIEL INVESTMENTS, LLCCHICAGO, IL · headcount up · April 2024 ARIES WEALTH MANAGEMENT, LLCPORTLAND, ME · aum crossed 500m · April 2025 ARIMATHEAFORT BRAGG, CA · aum up · April 2026 ARIN RISK ADVISORS LLCCONSHOHOCKEN, PA · aum up · April 2026 ARINI CAPITAL MANAGEMENT LIMITEDLONDON · headcount up · April 2026 ARINI CAPITAL MANAGEMENT US LLCNEW YORK, NY · headcount up · April 2026 ARIS INVESTINGGLENVIEW, IL · aum up · April 2026 ARIS MANAGEMENT, LLCNEW YORK, NY · headcount up · April 2026 ARISTA ADVISORY GROUP, LLCALBANY, NY · headcount down · April 2026 ARISTA WEALTH MANAGEMENT, LLCLAS VEGAS, NV · state expansion · April 2026 ARISTIDES CAPITAL LLCLOUISVILLE, KY · disclosure added · June 2026 ARISTON SERVICES GROUP, LLCSAN DIEGO, CA · aum crossed 500m · April 2026 ARISTOTLE ATLANTIC PARTNERS, LLCSARASOTA, FL · headcount down · April 2026 ARISTOTLE CAPITAL BOSTON, LLCBOSTON, MA · aum down · April 2026 ARISTOTLE CAPITAL MANAGEMENT, LLCLOS ANGELES, CA · new office · April 2024 ARISTOTLE CREDIT PARTNERS, LLCLOS ANGELES, CA · deregistered · January 2026 ARISTOTLE INVESTMENT SERVICES, LLCNEWPORT BEACH, CA · aum up · April 2024 ARISTOTLE PACIFIC CLO ADVISER III, LLCNEWPORT BEACH, CA · new registration · April 2026 ARIXA MANAGEMENT, LLCLOS ANGELES, CA · headcount up · April 2026 ARJUNA CAPITAL, LLCMANCHESTER, MA · private funds started · April 2025 ARK ADVISORS LLCBLOOMINGTON, IL · new registration · March 2025 ARK CAPITAL INVESTMENTS LLCST PETERSBURG, FL · new registration · October 2026 ARK ROYAL WEALTH MANAGEMENT LLCRALEIGH, NC · state expansion · April 2026 ARK WEALTH ADVISORS, LLCYORBA LINDA, CA · new registration · May 2026 ARK WEALTH MANAGEMENTAUSTIN, TX · disclosure added · April 2026 ARKA CAPITAL A.M. LTDpending approved · August 2026 ARKADIOS WEALTH ADVISORSATLANTA, GA · aum up · April 2026 ARKFELD WEALTH STRATEGIES, L.L.C.OMAHA, NE · aum crossed 500m · April 2026 ARKHOUSENEW YORK, NY · headcount down · July 2026 ARKOS GLOBAL ADVISORS, LLCHOUSTON, TX · planning clients up · April 2026 ARKVIEW CAPITAL, L.P.STAMFORD, CT · aum up · April 2026 ARLINGTON CAPITAL PARTNERSBETHESDA, MD · aum up · April 2026 ARLINGTON FINANCIAL ADVISORS, LLCSANTA BARBARA, CA · state expansion · March 2026 ARLINGTON PARTNERS LLCBIRMINGHAM, AL · headcount up · April 2026 ARLINGTON WEALTH MANAGEMENTARLINGTON HEIGHTS, IL · state expansion · April 2026 ARLON ADVISOR LLCNEW YORK, NY · aum crossed 1b · August 2024 ARM FINANCIAL LLCnew registration · January 2026 ARMADA ADVISORSPENSACOLA, FL · planning clients up · March 2025 ARMADA CAPITAL LLCMEXICO CITY · aum up · April 2026 ARMADA ETFSNOVI, MI · new office · April 2025 ARMADILLO LITIGATION FUNDING LLCHOUSTON, TX · aum crossed 500m · April 2026 ARMATUS CAPITAL MANAGEMENT, LLCnew registration · September 2026 ARMBRUSTER CAPITAL MANAGEMENT, INC.PITTSFORD, NY · aum crossed 1b · April 2026 ARMISTICE CAPITAL LLCNEW YORK, NY · state expansion · April 2025 ARMOR INVESTMENT ADVISORS, LLCRALEIGH, NC · state expansion · January 2025 ARMORY CAPITAL GROUP, LLCEL SEGUNDO, CA · deregistered · October 2026 ARMOUR CAPITAL MANAGEMENT LPVERO BEACH, FL · aum up · April 2026 ARMOUR WEALTH ADVISORS, LLCTUMWATER, WA · new registration · March 2026 ARMSTRONG ADVISORY GROUP INC.NEEDHAM, MA · state expansion · June 2025 ARMSTRONG DIXONBALTIMORE, MD · state expansion · July 2026 ARMSTRONG SHAW ASSOCIATES INC.WILTON, CT · deregistered · February 2024 ARMSTRONG, FLEMING & MOORE, INC.WASHINGTON, DC · state expansion · April 2026 ARNERICH MASSENA, INC.PORTLAND, OR · deregistered · September 2024 ARNHOLD LLCNEW YORK, NY · new office · April 2025 ARNOLD AND MOTE WEALTH MANAGEMENTHIAWATHA, IA · state expansion · August 2026 ARNOLD WEITZ & COELKHORN, NE · aum up · April 2024 AROHI ASSET MANAGEMENT PTE LTD.SINGAPORE · headcount down · July 2026 AROSA CAPITAL MANAGEMENT LPMIAMI BEACH, FL · headcount down · April 2026 ARQ WEALTH ADVISORS, LLCSCOTTSDALE, AZ · headcount up · September 2026 ARRIEN INVESTMENTS, INC.BOISE, ID · planning clients up · March 2026 ARRINGTON CAPITAL INVESTMENT MANAGEMENT, LLCMIAMI, FL · aum crossed 1b · April 2026 ARRIVAL CAPITAL MANAGEMENT LLCNEW YORK, NY · custody started · April 2026 ARROW CAPITAL MANAGEMENT, LLCNEW YORK, NY · new registration · July 2026 ARROW CAPITAL PTY LTDSYDNEY NSW · new registration · January 2025 ARROW INVESTMENT MANAGEMENT, LLCNEW YORK, NY · pending approved · July 2025 ARROW WEALTH ADVISORSLYNCHBURG, VA · new office · September 2026 ARROWHEAD INVESTMENT MANAGEMENT LLCWHITE PLAINS, NY · aum down · April 2026 ARROWMARK COLORADO HOLDINGS, LLCDENVER, CO · headcount down · April 2026 ARROWROOT CAPITAL MANAGEMENT, LLCMARINA DEL REY, CA · headcount up · April 2026 ARROWROOT FAMILY OFFICE, LLCMARINA DEL REY, CA · new office · April 2026 ARROWSTREET CAPITAL, LIMITED PARTNERSHIPBOSTON, MA · disclosure added · May 2026 ARROYO INVESTMENT GROUP, LLCPASADENA, CA · aum up · April 2026 ARS INVESTMENT ADVISORS, INC.KAYSVILLE, UT · deregistered · July 2024 ARS INVESTMENT PARTNERS, LLCNEW YORK, NY · aum up · April 2026 ARS WEALTH ADVISORSST. PETERSBURG, FL · headcount up · April 2026 ARSENAL CAPITAL ADVISORS LLCCONSHOHOCKEN, PA · pending approved · May 2026 ARSENAL CAPITAL MANAGEMENT LPNEW YORK, NY · headcount up · April 2024 ARSENAL VENTURE PARTNERSWINTER PARK, FL · aum up · April 2024 ARTA FINANCEMOUNTAIN VIEW, CA · state expansion · June 2026 ARTEMIS CAPITAL PARTNERSBOSTON, MA · headcount up · April 2026 ARTEMIS FINANCIAL ADVISORSBOSTON, MA · deregistered · March 2025 ARTEMIS REAL ESTATE PARTNERSCHEVY CHASE, MD · disclosure added · April 2026 ARTEMIS WEALTH ADVISORS, LLCPORT WASHINGTON, NY · relocation · June 2026 ARTESIAN CAPITAL MANAGEMENT (DELAWARE) LPNEW YORK, NY · aum up · April 2026 ARTHEDGE CAPITAL MANAGEMENT, LLCaum up · April 2024 ARTHSCIENCE CAPITALMUMBAI, MAHARASHTRA · new registration · May 2026 ARTHUR M. COHEN & ASSOCIATES LLCNORTHBROOK, IL · aum crossed 1b · March 2025 ARTHUR STEIN FINANCIAL, LLCBETHESDA, MD · deregistered · July 2026 ARTHUR VENTURESMINNEAPOLIS, MN · headcount up · April 2026 ARTIA GLOBAL PARTNERS LPMIAMI, FL · aum crossed 500m · April 2025 ARTIFEX FINANCIAL GROUP, LLCOAKWOOD, OH · planning clients up · April 2026 ARTISAN PARTNERS LIMITED PARTNERSHIPMILWAUKEE, WI · headcount down · April 2026 ARTISAN PARTNERS UK LLPLONDON · headcount down · April 2026 ARTIST CAPITAL MANAGEMENT LLCNEW YORK, NY · aum up · April 2026 ARVEST WEALTH MANAGEMENTLOWELL, AR · headcount down · April 2026 ARVIN CAPITAL MANAGEMENT LPAUSTIN, TX · aum up · April 2026 ARX MANAGEMENT, LLCEL SEGUNDO, CA · aum down · March 2024 ARX PRIVATE WEALTHLANCASTER, PA · pending approved · April 2026 ARÈNE CAPITAL MANAGEMENT LPNEW YORK, NY · aum up · September 2026 AS AVARON ASSET MANAGEMENTTALLINN · aum up · March 2026 AS BIRCH GROVE LPNEW YORK, NY · deregistered · June 2025 AS INVESTMENT MANAGEMENTNEW YORK, NY · deregistered · April 2025 AS TRIGON ASSET MANAGEMENTTALLINN · aum up · April 2026 ASA ASSET MANAGEMENT LLCNEW YORK, NY · custody started · July 2026 ASA MANAGED ACCOUNT MANAGERS LLCMINNEAPOLIS, MN · aum crossed 1b · April 2026 ASAL INVESTARLINGTON, VA · new registration · July 2026 ASANA PARTNERS, LPCHARLOTTE, NC · custody started · April 2026 ASB CAPITAL MANAGEMENT LLCBETHESDA, MD · headcount down · April 2024 ASCEND INTERPLAY, LLCNEW YORK, NY · aum up · April 2026 ASCEND INVESTMENT PARTNERSOGDEN, UT · planning clients up · April 2025 ASCEND PARTNERSNEW YORK, NY · aum up · April 2026 ASCENDANCE ASSET MANAGEMENT, LLCNEW YORK, NY · deregistered · September 2024 ASCENDANT CAPITAL PARTNERS LPLOS ANGELES, CA · headcount up · April 2026 ASCENDOR WEALTH, LLCWILMINGTON, NC · headcount up · April 2026 ASCENSION ADVISORSSCOTTSDALE, AZ · deregistered · December 2025 ASCENSION ASSET MANAGEMENT LLCNEW YORK, NY · deregistered · January 2025 ASCENSION CAPITAL ADVISORS, INC.HOUSTON, TX · state expansion · July 2026 ASCENSUS INVESTMENT ADVISORS, LLCNEEDHAM, MA · relocation · September 2026 ASCENT ADVISORSMANKATO, MN · pending approved · October 2026 ASCENT CAPITALBEND, OR · deregistered · February 2026 ASCENT CAPITAL PARTNERS, LLCSCOTTSDALE, AZ · planning clients up · May 2026 ASCENT FINANCIAL GROUPRICHMOND, VA · new registration · April 2026 ASCENT WEALTH PARTNERS, LLCNEW HARTFORD, NY · state expansion · August 2026 ASCENTIO CAPITAL, LPNEW YORK, NY · new registration · September 2026 ASCENTIS ASSET MANAGEMENT, LLCDALLAS, TX · website changed · May 2026 ASCENTIS INDEPENDENT ADVISORS, LLCDALLAS, TX · website changed · July 2026 ASCENTIS WEALTH MANAGEMENT, LLCDALLAS, TX · aum crossed 500m · December 2025 ASCENTRISDENVER, CO · headcount up · April 2025 ASCRIBE CAPITAL LLCNEW YORK CITY, NY · deregistered · June 2025 ASCRIBE MANAGEMENT LLCNEW YORK, NY · deregistered · March 2025 ASEMPA WEALTH ADVISORSBATON ROUGE, LA · aum up · February 2026 ASENDO WEALTH ADVISORYCOLUMBUS, OH · rename · October 2026 ASESORDEINVERSIONES.COM LTDROAD TOWN, TORTOLA · new registration · December 2025 ASG ADVISORY, LLCderegistered · November 2024 ASG INVESTMENT MANAGEMENT, LLCRENFREW, PA · deregistered · April 2026 ASH INVESTMENT PARTNERS, LLCATLANTA, GA · headcount up · April 2026 ASHDON INVESTMENT MANAGEMENT, LLCTULLAHOMA, TN · headcount down · April 2026 ASHE CAPITAL MANAGEMENT, LPENGLEWOOD CLIFFS, NJ · new office · April 2026 ASHFIELD CAPITAL PARTNERSSAN FRANCISCO, CA · deregistered · April 2025 ASHMORE INVESTMENT MANAGEMENT LTDLONDON · headcount up · October 2026 ASHOKA WHITEOAK CAPITAL PTE. LTD.SAMSUNG HUB · aum up · July 2025 ASHTON THOMAS ADVISORS LLCSCOTTSDALE, AZ · deregistered · April 2025 ASHTON THOMAS PRIVATE WEALTHSCOTTSDALE, AZ · headcount up · April 2026 ASHTON THOMAS SECURITIES, LLCROCHESTER, NY · state expansion · July 2026 ASHWOOD ADVISORSMEDFIELD, MA · state expansion · July 2026 ASHWORTH WEALTH, LLCSOUTH JORDAN, UT · state expansion · March 2026 ASI WEALTH MANAGEMENT & CONSULTING SERVICESBEND, OR · deregistered · August 2025 ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.HAGATNA · state expansion · December 2024 ASILIA CREDIT INVESTMENTSSALT LAKE CITY, UT · headcount up · April 2026 ASIO CAPITAL LLCLEXINGTON, KY · aum up · April 2026 ASK CAPITAL INVESTMENT MANAGERSAMARILLO, TX · new registration · October 2026 ASK DOLLYDENVER, CO · pending approved · May 2026 ASPECT CAPITAL LIMITEDLONDON · headcount down · April 2026 ASPECT PARTNERS, LLCFAIRFAX, VA · planning clients up · April 2025 ASPEN CAPITAL MANAGEMENT, LLCBOISE, ID · headcount up · December 2025 ASPEN GROVE CAPITAL, LLCAVON, CO · state expansion · October 2026 ASPEN INVESTMENT MANAGEMENT INC.GRAND RAPIDS, MI · aum up · April 2026 ASPEN PRIVATE ADVISORS, LLCSIOUX FALLS, SD · state expansion · April 2025 ASPEN RENEWABLE INVESTMENTS, L.L.C.NEW YORK, NY · new registration · April 2025 ASPEN WEALTH MANAGEMENT, LLCFORT WORTH, TX · aum up · March 2026 ASPEN WEALTH STRATEGIES, LLCARVADA, CO · planning clients up · March 2026 ASPENRIDGE WEALTH ADVISORSFORT WORTH, TX · state expansion · March 2026 ASPETUCK FINANCIAL MANAGEMENT LLCWESTPORT, CT · aum up · April 2024 ASPIRATION FUND ADVISER, LLCMARINA DEL REY, CA · deregistered · December 2024 ASPIRE ADVISORS, LLCNORTH WHITE PLAINS, NY · relocation · July 2024 ASPIRE CAPITAL ADVISORS LLCSEATTLE, WA · state expansion · May 2026 ASPIRE GROWTH PARTNERS LLCstate expansion · July 2026 ASPIRE PLANNING ASSOCIATES, INC.WALNUT CREEK, CA · deregistered · April 2026 ASPIRE PRIVATE CAPITALCORNELIUS, NC · aum crossed 500m · April 2026 ASPIRE PRIVATE WEALTH COUNSEL, LLCKNOXVILLE, TN · deregistered · December 2025 ASPIRE STRATEGIST PORTFOLIOS LLCNEW YORK, NY · aum up · April 2026 ASPIRE WEALTH ADVISORY GROUP, LLCNEW YORK, NY · new registration · December 2025 ASPIRE WEALTH MANAGEMENTOVERLAND PARK, KS · deregistered · July 2024 ASPIRE WEALTH MANAGEMENT CORPORATIONWALTHAM, MA · deregistered · February 2025 ASPIREAN WEALTH, LLCMILL VALLEY, CA · headcount up · February 2026 ASPIRIANT, LLCLOS ANGELES, CA · headcount up · April 2026 ASPYRE WEALTH PARTNERSOVERLAND PARK, KS · headcount down · March 2026 ASSEMBLY WEALTHMILL VALLEY, CA · state expansion · April 2026 ASSET ADVISORSAUGUSTA, GA · state expansion · April 2026 ASSET ADVISORY GROUP, INC.KINNELON, NJ · state expansion · August 2024 ASSET ALLOCATION STRATEGIES, LLCFARMINGTON, MI · aum crossed 1b · April 2026 ASSET CONSULTING GROUP, LLCCLAYTON, MO · aum crossed 1b · April 2026 ASSET DEDICATION, LLCSAN FRANCISCO, CA · planning clients up · April 2026 ASSET GROWTH SOLUTIONS, LLCSCOTTSDALE, AZ · new registration · August 2026 ASSET MANAGEMENT GROUPCARTERSVILLE, GA · aum up · April 2026 ASSET MANAGEMENT GROUP, INC.STAMFORD, CT · state expansion · November 2024 ASSET MANAGEMENT ONE CO., LTD.TOKYO · headcount up · July 2026 ASSET MANAGEMENT ONE USA INC.NEW YORK, NY · headcount down · April 2026 ASSET MANAGEMENT RESOURCES, LLCHYANNIS, MA · deregistered · February 2024 ASSET MANAGEMENT STRATEGIES, INC.INDIANAPOLIS, IN · aum up · April 2024 ASSET ONE WEALTH MANAGEMENT, LLCBELLEVUE, WA · new office · October 2026 ASSET PLANNING CORPORATIONW. PALM BEACH, FL · planning clients up · April 2024 ASSET PLANNING, INCLOS ALAMITOS, CA · aum crossed 500m · April 2025 ASSET PRESERVATION ADVISORS, LLCATLANTA, GA · state expansion · April 2026 ASSET PRESERVATION GROUP INCGRAPEVINE, TX · aum up · April 2024 ASSET RISK CONSULTANTS (UK) LIMITEDLONDON · aum down · October 2026 ASSET STRATEGIES, INC.AVON, CT · deregistered · August 2024 ASSET STRATEGY ADVISORS, LLCWAYLAND, MA · aum down · April 2026 ASSET STRATEGY CONSULTANTS LLCHUNT VALLEY, MD · headcount up · July 2026 ASSET STRATEGY RETIREMENT PLAN CONSULTANTS, LLCCAMP HILL, PA · aum up · March 2026 ASSET VALUE INVESTORS LIMITEDLONDON · aum up · January 2025 ASSETBUILDER, INC.ALLEN, TX · planning clients up · April 2026 ASSETGRADE, LLCBOSTON, MA · state expansion · May 2024 ASSETMARK, INC.CONCORD, CA · headcount up · April 2026 ASSOCIATED INVESTMENT SERVICES, INC.GREEN BAY, WI · state expansion · May 2026 ASSUREDPARTNERS INVESTMENT ADVISORSTAMPA, FL · headcount down · March 2026 AST INVESTMENT SERVICES, INC.SHELTON, CT · headcount down · April 2026 ASTARA CAPITAL PARTNERS, L.P.NEW YORK, NY · aum crossed 500m · April 2025 ASTARIS CAPITAL MANAGEMENT LLPLONDON · aum crossed 1b · July 2026 ASTATINE INVESTMENT PARTNERSGREENWICH, CT · headcount up · April 2026 ASTATINE INVESTMENT PARTNERSGREENWICH, CT · headcount up · April 2026 ASTEROZOA MANAGEMENTPHOENIX, AZ · reorganization · October 2024 ASTIGNES CAPITAL ASIA PTE. LTD.SINGAPORE · aum up · April 2025 ASTIRA CAPITAL PARTNERS LPBOSTON, MA · headcount up · February 2025 ASTON CAPITAL MANAGEMENTCORAL GABLES, FL · aum up · April 2026 ASTORpending approved · July 2026 ASTOR INVESTMENT MANAGEMENT LLCCHICAGO, IL · deregistered · December 2025 ASTORIA PORTFOLIO ADVISORS LLCNEW YORK, NY · state expansion · October 2026 ASTORIA STRATEGIC WEALTH, INC.state expansion · August 2026 ASTRA ASSET MANAGEMENT UK LIMITEDLONDON · headcount down · August 2026 ASTRA CAPITAL MANAGEMENT LLCWASHINGTON, DC · headcount down · April 2025 ASTRA VENTURESwebsite changed · May 2026 ASTRA WEALTH MANAGEMENT GROUPPLANO, TX · headcount up · March 2026 ASTRA WEALTH PARTNERSJERSEY CITY, NJ · aum up · April 2026 ASTRAVIA FAMILY WEALTH OFFICE LLCEL SEGUNDO, CA · new registration · August 2026 ASTRIS ADVISORY JAPAN K.K.TOKYO · headcount down · March 2026 ATAIROS MANAGEMENT, L.P.BRYN MAWR, PA · headcount up · April 2024 ATALA FINANCIAL INCCALABASAS, CA · private funds started · December 2025 ATALAN CAPITAL PARTNERS, LPNEW YORK, NY · aum up · April 2026 ATALAYA CAPITAL MANAGEMENT LPNEW YORK, NY · deregistered · December 2024 ATB CAPITAL MARKETS USA INC.CALGARY, ALBERTA · website changed · July 2025 ATCAP PARTNERS, LLCROCKVILLE, MD · aum up · May 2026 ATEGRA CAPITAL MANAGEMENT, LLCVIENNA, VA · aum up · April 2025 ATHENA ADVISORYAUSTIN, TX · deregistered · January 2026 ATHENA WEALTH MANAGEMENT, LLCRENO, NV · aum up · April 2025 ATHENAINVEST ADVISORS LLCGREENWOOD VILLAGE, CO · deregistered · July 2026 ATHIR CAPITAL LPCHICAGO, IL · deregistered · July 2025 ATHOS PRIVATE WEALTH LLCHOLLADAY, UT · aum up · April 2026 ATHYRIUM CAPITAL MANAGEMENT LPNEW YORK, NY · headcount down · April 2026 ATIKA CAPITAL MANAGEMENT, LLCNEW YORK, NY · headcount down · April 2024 ATIVO CAPITAL MANAGEMENT, LLCCHICAGO, IL · headcount down · April 2024 ATL ADVISOR LPNEW YORK, NY · headcount up · April 2026 ATLA CAPITAL MANAGEMENT LLCNEW YORK, NY · aum up · August 2026 ATLANTA CONSULTING GROUP ADVISORS, LLCATLANTA, GA · new office · April 2026 ATLANTIC EDGE PRIVATE WEALTH MANAGEMENTstate expansion · May 2026 ATLANTIC FAMILY WEALTH, LLCCORAL GABLES, FL · aum up · April 2024 ATLANTIC FINANCIAL SERVICES, INC.TOWSON, MD · deregistered · January 2025 ATLANTIC PRIVATE WEALTH, LLCCHAPEL HILL, NC · state expansion · August 2026 ATLANTIC STREET CAPITAL MANAGEMENT, LLCGREENWICH, CT · aum down · April 2025 ATLANTIC UNION MUNICIPAL ADVISORS, INCGLEN ALLEN, VA · state expansion · June 2026 ATLANTIC WEALTH PARTNERS, LLCJUPITER, FL · deregistered · August 2026 ATLANTICA VENTURES MANAGEMENT LLCderegistered · March 2024 ATLANTIS ASSET MANAGEMENT, LLCderegistered · February 2025 ATLANTIS WEALTH ADVISORS LLCMAUMEE, OH · headcount down · April 2025 ATLASstate expansion · August 2026 ATLAS ASSET MANAGEMENT LLCGUAYNABO, PR · aum crossed 500m · January 2026 ATLAS BROWNLOUISVILLE, KY · aum crossed 500m · April 2025 ATLAS CAPITALnew office · April 2025 ATLAS CAPITAL ADVISORS INC.SAN FRANCISCO, CA · aum crossed 1b · April 2025 ATLAS CAPITAL MANAGEMENT CORPFT WAYNE, IN · aum up · April 2026 ATLAS FIDUCIARY FINANCIAL, LLCSARASOTA, FL · deregistered · July 2024 ATLAS FIDUCIARY SERVICES, INC.CONCORD, NH · headcount up · March 2026 ATLAS FINANCIAL ADVISORS, INC.OROVILLE, CA · deregistered · July 2026 ATLAS HOLDINGS LLCGREENWICH, CT · headcount up · April 2026 ATLAS INFRASTRUCTURELONDON · headcount down · October 2026 ATLAS INVESTMENT ADVISORSALPHARETTA, GA · aum up · March 2026 ATLAS LEGACY ADVISORS LLCLOS ANGELES, CA · pending approved · July 2024 ATLAS MERCHANT CAPITAL LLCNEW YORK, NY · headcount down · April 2026 ATLAS PRIVATE WEALTH ADVISORSRED BANK, NJ · new office · June 2026 ATLAS PRIVATE WEALTH MANAGEMENT, LLCALBANY, NY · deregistered · August 2024 ATLAS SQUARE PARTNERS LLPLONDON · deregistered · February 2024 ATLAS SQUARE PARTNERS(HK) LIMITEDHONG KONG · aum down · July 2026 ATLAS WEALTH PARTNERS LLCWYOMISSING, PA · planning clients up · April 2026 ATLASMARK FINANCIAL, INC.AUSTIN, TX · aum down · August 2025 ATLATL ADVISERSMADISON, WI · aum up · April 2026 ATMOS ADVISORY, LLCPITTSBURGH, PA · state expansion · April 2025 ATOM INVESTORS LPAUSTIN, TX · website changed · August 2026 ATOMIC INVEST LLCNEW YORK, NY · aum down · April 2026 ATOMIC VAULTS ADVISORS LLCSAN FRANCISCO, CA · deregistered · October 2026 ATON ADVISORS, LLCnew registration · April 2026 ATON FINANCIAL LLCSAN JUAN, PR · aum crossed 500m · April 2026 ATRATO ASSET MANAGEMENT LLCderegistered · December 2024 ATREIDES MANAGEMENT, LPBOSTON, MA · aum up · April 2026 ATS WEALTH MANAGEMENTSAN DIEGO, CA · headcount up · March 2026 ATTENTIVE INVESTMENTS, LLCSTOCKTON, CA · planning clients up · April 2025 ATTESSA CAPITAL LLCTUCSON, AZ · planning clients up · April 2025 ATTICUS WEALTH MANAGEMENTPALM BEACH GARDENS, FL · aum crossed 500m · April 2026 ATTINGER, LLCPHILADELPHIA, PA · aum down · April 2026 ATTLEBORO WEALTH MANAGEMENT LLCYARDLEY, PA · new registration · December 2025 ATTUCKS ASSET MANAGEMENT, LLCCHICAGO, IL · headcount up · April 2025 ATW PARTNERS LLCNEW YORK, NY · aum crossed 1b · April 2026 ATW SPAC MANAGEMENT LLCNEW YORK, NY · private funds started · April 2026 ATWATER MALICKLANCASTER, PA · state expansion · May 2026 ATWATER WEALTH MANAGEMENT, INC.BOSTON, MA · state expansion · October 2026 ATWOBKATONAH, NY · aum up · April 2026 ATWOOD & PALMER, INC.KANSAS CITY, MO · state expansion · December 2025 ATWOOD FINANCIAL PLANNING LLCstate expansion · February 2025 ATX FINANCIAL PLANNING, LLCAUSTIN, TX · new office · December 2025 ATYANT CAPITAL MANAGEMENT LTDPORT-LOUIS · aum down · February 2026 AUA PRIVATE EQUITY PARTNERS, LLCWEST PALM BEACH, FL · aum up · April 2025 AUA PRIVATE WEALTH ADVISORS, LLCWEST CONSHOHOCKEN, PA · deregistered · January 2025 AUBREY CAPITAL MANAGEMENTEDINBURGH, MID LOTHIAN · aum crossed 1b · March 2026 AUCTUS ADVISORS LLCCHARLOTTE, NC · aum crossed 500m · March 2026 AUDAX PDB MANAGEMENT COMPANY, LLCNEW YORK, NY · aum crossed 1b · April 2026 AUDAX PRIVATE DEBTNEW YORK, NY · headcount up · April 2026 AUDAX PRIVATE EQUITYBOSTON, MA · new office · April 2025 AUDENT GLOBAL ASSET MANAGEMENT, LLCBEVERLY HILLS, CA · custody started · October 2026 AUERBACH INVESTMENT SERVICES, LLCNARBERTH, PA · new registration · April 2026 AUFMAN ASSOCIATES INCSEWICKLEY, PA · state expansion · April 2025 AUGMENT ADVISORS, LLCAUSTIN, TX · headcount up · May 2026 AUGMENT INFRASTRUCTURE MANAGERS ADVISORY LLCCHEVY CHASE, MD · headcount up · April 2024 AUGUST GROUPTORONTO · private funds started · October 2026 AUGUST WEALTH ADVISORS LLCWESTPORT, CT · state expansion · August 2026 AUGUSTINE ASSET MANAGEMENT INCJACKSONVILLE, FL · aum crossed 500m · April 2025 AULDBRASS PARTNERS, LPNEW YORK, NY · custody started · April 2026 AULL & MONROEMOBILE, AL · state expansion · December 2025 AUOUR INVESTMENTS LLCWOBURN, MA · planning clients up · April 2026 AURA FINANCE, INC.COVINA,, CA · deregistered · April 2026 AURA INVESTMENTS LLCnew registration · September 2026 AURANSER INC.FORT MILL, SC · new registration · June 2026 AURDAN CAPITAL MANAGEMENT, LLCWAYNE, PA · headcount up · April 2026 AUREANA CAPITAL MANAGEMENT, LLCheadcount down · December 2025 AURELIUS CAPITAL MANAGEMENT, LPNEW YORK, NY · aum down · April 2026 AURELIUS FAMILY OFFICE, LLCBEDFORD, NH · new office · August 2026 AUREON MANAGEMENT LLCNEW YORK, NY · headcount up · April 2026 AUREUM WEALTH MANAGEMENT, LLCNORTH PALM BEACH, FL · state expansion · May 2026 AUREUS ASSET MANAGEMENT, LLCBOSTON, MA · headcount up · April 2026 AURIBEAU LLCNEW YORK, NY · deregistered · April 2025 AURORA CAPITAL PARTNERS MANAGEMENT VI L.P.LOS ANGELES, CA · website changed · April 2024 AURORA INVESTMENT COUNSELATLANTA, GA · planning clients up · June 2025 AURORA INVESTMENT MANAGERS, LLCNAPLES, FL · aum up · February 2025 AURORA PRIVATE WEALTH, INC.TOTOWA, NJ · headcount down · August 2026 AURORA WEALTH ADVISORSSAN DIEGO, CA · deregistered · September 2026 AUSDAL FINANCIAL PARTNERS, INC.DAVENPORT, IA · headcount up · April 2026 AUSPICIOUS FINANCIAL PLANNING, LLCSAN RAMON, CA · state expansion · April 2025 AUSTIN ASSETAUSTIN, TX · state expansion · March 2026 AUSTIN ATLANTIC ASSET MANAGEMENT CO.CORAL GABLES, FL · deregistered · April 2024 AUSTIN MONEY MANAGEMENT CORPORATIONAUSTIN, TX · aum up · April 2024 AUSTIN PRIVATE WEALTH, LLCAUSTIN, TX · deregistered · June 2026 AUSTIN WEALTH MANAGEMENT, LLCAUSTIN, TX · aum crossed 1b · April 2026 AUSTRALIS PARTNERS (ADVISERS) LLCNEW YORK, NY · aum crossed 500m · April 2024 AUTHENTIC VENTURES INVESTMENT MANAGER, LLCOAKLAND, CA · headcount down · April 2025 AUTHENTIC WEALTH PARTNERS LLCCULPEPER, VA · wrap program started · October 2026 AUTHENTIKOS WEALTH ADVISORY LLCNEW BRAUNFELS, TX · relocation · August 2026 AUTILUS PARTNERS LLCSANTA MONICA, CA · aum up · August 2026 AUTONOMOUS WEALTH MANAGEMENT LLCBROOKLYN, NY · pending approved · June 2026 AUTONOMY CAPITALderegistered · May 2024 AUTOPILOTNEW YORK, NY · aum crossed 500m · April 2026 AUTUMN GLORY PARTNERS, LLCDALLAS, TX · aum up · March 2026 AUTUMN LANE ADVISORS, LLCHOUSTON, TX · aum crossed 1b · March 2025 AUTUMN WIND ASSET MANAGEMENT INCRESTON, VA · deregistered · April 2024 AUXANO ADVISORSBELLEVUE, WA · state expansion · October 2026 AUXIER ASSET MANAGEMENTAURORA, OR · planning started · April 2026 AUXIN GROUP WEALTH MANAGEMENT, LLCAKRON, OH · deregistered · December 2025 AUXO INVESTMENT PARTNERS, LLCGRAND RAPIDS, MI · aum up · April 2026 AVAII WEALTH MANAGEMENT, LLCAPPLETON, WI · new office · October 2026 AVAIL INVESTMENT PARTNERS, LLCLEMONT, PA · aum up · April 2026 AVALA GLOBAL LPNEW YORK, NY · aum up · July 2026 AVALAN, LLCSANTA BARBARA, CA · aum crossed 500m · April 2026 AVALON CAPITAL MANAGEMENTMENLO PARK, CA · relocation · August 2026 AVALON GLOBAL ASSET MANAGEMENT LLCSAN FRANCISCO, CA · aum crossed 500m · April 2026 AVANATH CAPITAL MANAGEMENT, LLCIRVINE, CA · headcount down · April 2026 AVANCE INVESTMENT MANAGEMENT, LLCNEW YORK, NY · aum up · April 2026 AVANT CAPITAL, LLCLAFAYETTE, LA · planning started · April 2026 AVANT FINANCIAL ADVISORSAUSTIN, TX · aum up · March 2025 AVANT MANAGEMENT LLCDENVER, CO · aum down · April 2026 AVANTAX ADVISORY SERVICESDALLAS, TX · deregistered · December 2025 AVANTAX PLANNING PARTNERS, INC.DUBUQUE, IA · headcount down · April 2026 AVANTIA INVESTMENT SERVICES, LLCSEATTLE, WA · new registration · April 2025 AVANTYR CAPITAL PARTNERS, LPNEW YORK, NY · pending approved · February 2026 AVATAR CAPITAL MANAGEMENT LLCSEATTLE, WA · aum up · April 2026 AVATHON CAPITAL MANAGEMENT LPCHICAGO, IL · headcount up · April 2026 AVEGO MANAGEMENT, LLCALPHARETTA, GA · aum crossed 1b · April 2025 AVENDUS WEALTH MANAGEMENT PRIVATE LIMITEDMUMBAI · headcount up · August 2026 AVENIR MANAGEMENT COMPANY, LLCNEW YORK, NY · headcount up · April 2026 AVENTAIL CAPITAL GROUP, LPNEW YORK, NY · aum up · April 2025 AVENTINE CAPITAL MANAGEMENT LLCCHICAGO, IL · deregistered · April 2026 AVENTINE FINANCIAL GROUPDOYLESTOWN, PA · aum up · March 2026 AVENTURA PRIVATE WEALTH, LLCAVENTURA, FL · private funds started · April 2026 AVENTUS INVESTMENT ADVISORS, INC.NAPLES, FL · relocation · June 2025 AVENUE CAPITAL MANAGEMENT II, L.P.NEW YORK, NY · headcount down · April 2025 AVENUE GLOBAL ADVISORS LLCMIAMI, FL · deregistered · April 2024 AVEO CAPITAL PARTNERS, LLCENGLEWOOD, CO · deregistered · January 2026 AVERA CAPITAL WEALTH MANAGEMENTGRAND JUNCTION, CO · deregistered · March 2025 AVERY WEALTH, INC.JACKSON, MI · deregistered · January 2025 AVESI PARTNERS LLCSTAMFORD, CT · aum up · April 2025 AVESTAR CAPITAL, LLCNEW YORK, NY · aum up · April 2026 AVIANCE CAPITAL PARTNERS LLCNAPLES, FL · state expansion · October 2026 AVIATOR WEALTH GROUPderegistered · December 2024 AVIATOR'S WEALTH MANAGEMENTnew registration · March 2025 AVICENENEW YORK, NY · pending approved · April 2026 AVID WEALTH PARTNERS, LLCSAN ANTONIO, TX · aum up · April 2026 AVIDIAN WEALTH SOLUTIONSHOUSTON, TX · state expansion · April 2026 AVIDITY PARTNERS MANAGEMENT LPDALLAS, TX · state expansion · April 2026 AVIER WEALTH ADVISORSBELLEVUE, WA · aum crossed 1b · April 2026 AVILA REAL ESTATE CAPITALCORTE MADERA, CA · headcount up · April 2026 AVION WEALTHTHE WOODLANDS, TX · headcount down · April 2026 AVIOR WEALTH MANAGEMENT, LLCOMAHA, NE · headcount up · April 2026 AVISE FINANCIALLOS ANGELES, CA · website changed · July 2026 AVISEN ADVISORS, LLCSACRAMENTO, CA · state expansion · October 2024 AVISO WEALTH MANAGEMENTBELLEVUE, WA · aum crossed 500m · April 2026 AVISTA HEALTHCARE PARTNERSNEW YORK, NY · aum up · April 2026 AVITAS WEALTH MANAGEMENT, LLCLOS ANGELES, CA · deregistered · April 2025 AVIVA INVESTORS AMERICASCHICAGO, IL · deregistered · February 2025 AVIVA INVESTORS CANADA INC.TORONTO, ONTARIO · new registration · December 2024 AVIVAR CAPITAL, LLCheadcount up · October 2026 AVOCET CAPITAL MANAGEMENT LLCNORTHBROOK, IL · new office · April 2026 AVONDALE WEALTH MANAGEMENT LLCWEST LAKE HILLS, TX · planning clients up · April 2026 AVORO CAPITAL ADVISORS LLCNEW YORK, NY · aum up · April 2026 AVORY & CO.MIAMI, FL · state expansion · April 2024 AVOS CAPITAL MANAGEMENT, LLCDARIEN, CT · custody started · April 2026 AVRIO WEALTH LLCNEW YORK, NY · planning clients up · April 2026 AVRIO WEALTH PTE LTDSINGAPORE · headcount down · April 2026 AW SECURITIESFOLSOM, CA · deregistered · April 2025 AWAKEN WEALTH PARTNERS LLCHOUSTON, TX · pending approved · September 2026 AWANI CAPITAL MANAGEMENT LPWASHINGTON, DC · relocation · September 2026 AWEALTH INTERNATIONAL AGZOLLIKON, ZH · new registration · October 2026 AWH CAPITAL, L.P.DALLAS, TX · aum down · April 2025 AWH FINANCIAL, LLCBALA CYNWYD, PA · headcount up · January 2026 AWM CAPITAL, LLCPHOENIX, AZ · aum up · April 2026 AWM FINANCIAL SERVICES INC.THE WOODLANDS, TX · aum up · April 2026 AWM GLOBAL ADVISORSSAN DIEGO, CA · aum down · April 2026 AWM INVESTMENT COMPANY INCNEW YORK, NY · aum crossed 1b · April 2025 AWR INVESTMENT MANAGEMENT, LLCSAN RAFAEL, CA · state expansion · April 2025 AXA INVESTMENT MANAGERS US INCNEW YORK, NY · new office · August 2026 AXAR CAPITAL MANAGEMENT LPNEW YORK, NY · headcount up · April 2025 AXCENT PRIVATE CAPITAL, LLCENGLEWOOD, CO · deregistered · December 2025 AXEL CAPITAL MANAGEMENT, LLCNEW YORK, NY · deregistered · May 2026 AXIA ADVISORYINDIANAPOLIS, IN · headcount down · April 2026 AXIA ASSET MANAGEMENT, LLCaum up · April 2025 AXIA WEALTH MANAGEMENT INCBEND, OR · new registration · September 2026 AXIENT INVESTMENT ADVISORS LLCHUNTSVILLE, AL · pending approved · April 2026 AXIM PLANNING & WEALTHSPRINGBORO, OH · custody started · December 2025 AXIOM ADVISORY, LLCSAN DIEGO, CA · deregistered · March 2025 AXIOM ALTERNATIVE INVESTMENTSPARIS · aum up · April 2026 AXIOM ASSET MANAGEMENTWAYNE, PA · disclosure added · August 2026 AXIOM FINANCIAL STRATEGIES GROUP, LLCNEW ALBANY, IN · headcount up · April 2024 AXIOM INVESTMENT MANAGEMENT LLCNEW YORK, NY · state expansion · May 2026 AXIOM WEALTH STRATEGIES, LLCBEND, OR · custody started · April 2026 AXIS WEALTH PARTNERS, LLCEAST PROVIDENCE, RI · aum up · April 2026 AXIUM INFRASTRUCTURE INC.MONTREAL, QUEBEC · headcount up · April 2025 AXIUS ADVISORS LLCSAINT CHARLES, MO · planning clients up · March 2026 AXON CAPITAL LPNEW YORK, NY · aum crossed 500m · April 2024 AXONIC CAPITAL LLCNEW YORK, NY · headcount up · April 2026 AXOS INVEST, INCLAS VEGAS, NV · wrap program started · July 2025 AXQ CAPITAL, LPJERSEY CITY, NJ · aum crossed 500m · April 2026 AXS INVESTMENTS LLCPORT CHESTER, NY · aum up · March 2026 AXXCESS WEALTH MANAGEMENT, LLCCARLSBAD, CA · aum up · April 2026 AXXES ADVISORS I LLCCORAL GABLES, FL · disclosure added · May 2026 AXXES ADVISORS LLCCORAL GABLES, FL · disclosure added · May 2026 AXXES DIRECT ADVISORS LLCCORAL GABLES, FL · deregistered · February 2024 AXXETS WMAVENTURA, FL · pending approved · August 2026 AYRSHIRE CAPITAL MANAGEMENT LLCWESTPORT, CT · state expansion · March 2025 AYRTON CAPITAL LLCWESTPORT, CT · aum up · April 2026 AZ APICE CAPITAL MANAGEMENT LLCMIAMI, FL · deregistered · March 2026 AZA CAPITAL MANAGEMENTCHICAGO, IL · state expansion · April 2026 AZARIAS CAPITAL MANAGEMENT, L.P.WESTCHESTER, PA · relocation · July 2026 AZG CAPITALMIAMI, FL · deregistered · March 2025 AZIMUT INVESTMENT ADVISORS LLCMIAMI, FL · headcount down · April 2026 AZIMUTH CAPITAL MANAGEMENTBLOOMFIELD HILLS, MI · planning clients up · April 2026 AZNAR FINANCIAL ADVISORS, LLCderegistered · July 2026 AZORA CAPITAL LPMIAMI, FL · aum up · March 2025 AZORIA CAPITAL, INC.WASHINGTON, DC · pending approved · June 2025 AZTLAN EQUITY MANAGEMENT, LLCMCLEAN, VA · aum up · April 2026 AZURA PARTNERS US LLCNEW YORK, NY · private funds started · April 2026 AZZAD ASSET MANAGEMENT, INC.FALLS CHURCH, VA · headcount up · February 2026 AZZENDO WEALTH ADVISORSCORAL GABLES, FL · aum up · March 2025 AZZENDO WEALTH ADVISORSHOLLYWOOD, FL · planning clients up · April 2026 A|C MANAGEMENT TECH LLCMIAMI, FL · deregistered · May 2026

B&C FINANCIAL ADVISORSPONTE VEDRA BEACH, FL · state expansion · December 2025 B-29 ADVISORS, LLCADDISON, TX · deregistered · October 2024 B. RILEY CAPITAL MANAGEMENTLOS ANGELES, CA · deregistered · April 2025 B. RILEY WEALTH ADVISORS, INC.MEMPHIS, TN · headcount down · April 2026 B. RILEY WEALTH PRIVATE SHARESMEMPHIS, TN · aum down · April 2025 B.A. ROBERTS FINANCIAL SERVICES, INC.MARQUETTE, MI · rename · March 2026 B.A. SCHROCK WEALTH MANAGEMENTWADSWORTH, OH · aum up · April 2026 B.B. GRAHAM & COMPANY, INC.ORANGE, CA · state expansion · October 2026 B.O.S.S. RETIREMENT ADVISORS, LLCLEHI, UT · state expansion · September 2026 B.SIDE INVESTMENTS LLCderegistered · February 2026 B3 WEALTH STRATEGIESBELLEVUE, WA · aum down · March 2026 BABB WEALTH ADVISORS LLCFLAGSTAFF, AZ · aum up · April 2026 BAC CAPITAL ADVISORS LLCSEATTLE, WA · website changed · April 2024 BACHRACH ASSET MANAGEMENT INCROCKVILLE, MD · deregistered · August 2024 BACK BAY FINANCIAL PLANNING & INVESTMENTSBETHANY BEACH, DE · new registration · September 2026 BACKBONE PLANNING PARTNERS LLCLAS VEGAS, NV · state expansion · April 2026 BACKCAST PARTNERS MANAGEMENT LLCNEW YORK, NY · headcount up · April 2026 BACKERSAN FRANCISCO, CA · aum up · April 2026 BADGLEY PHELPS WEALTH MANAGERSSEATTLE, WA · state expansion · February 2026 BAER INVESTMENT ADVISORY LLCstate expansion · December 2025 BAER WEALTH MANAGEMENTMARIETTA, GA · planning started · May 2024 BAFFIN ADVISORS LLCstate expansion · December 2025 BAHL & GAYNOR LLCCINCINNATI, OH · rename · August 2026 BAILARD, INC.FOSTER CITY, CA · new office · October 2026 BAILLIE GIFFORD INTERNATIONAL LLCNEW YORK, NY · aum crossed 1b · July 2026 BAILLIE GIFFORD OVERSEAS LTDEDINBURGH · new office · August 2026 BAIN CAPITAL ASSET MANAGEMENT, LPBOSTON, MA · headcount up · April 2026 BAIN CAPITAL CREDIT, LPBOSTON, MA · headcount up · April 2026 BAIN CAPITAL INSURANCE SOLUTIONS, LPBOSTON, MA · headcount up · April 2026 BAIN CAPITAL PARTNERSHIP STRATEGIES, LPBOSTON, MA · headcount down · April 2026 BAIN CAPITAL PRIVATE EQUITY, LPBOSTON, MA · headcount up · April 2026 BAIN CAPITAL PUBLIC EQUITY, LPBOSTON, MA · headcount down · April 2026 BAIN CAPITAL REAL ESTATE, LPBOSTON, MA · headcount up · April 2026 BAIN CAPITAL VENTURES, LPBOSTON, MA · headcount down · April 2025 BAIRD CAPITAL MANAGEMENT COMPANY, LLCMILWAUKEE, WI · disclosure added · July 2026 BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY V, LLCMILWAUKEE, WI · deregistered · February 2026 BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLCMILWAUKEE, WI · disclosure added · July 2026 BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY II, LLCMILWAUKEE, WI · disclosure added · July 2026 BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLCMILWAUKEE, WI · disclosure added · July 2026 BAIRD STRATEGAS LLCNEW YORK, NY · rename · August 2026 BAIRD VENTURE PARTNERS MANAGEMENT COMPANY I, L.L.C.MILWAUKEE, WI · deregistered · April 2024 BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLCMILWAUKEE, WI · disclosure added · July 2026 BAIRD VENTURE PARTNERS MANAGEMENT COMPANY IV, LLCMILWAUKEE, WI · disclosure added · July 2026 BAIRD VENTURE PARTNERS MANAGEMENT COMPANY V, LLCMILWAUKEE, WI · disclosure added · July 2026 BAJA WEALTH ADVISORS LLCNEW YORK, NY · deregistered · March 2025 BAKER & YOEST INVESTMENT ADVISERS, INC.DEERFIELD, IL · deregistered · February 2026 BAKER BROTHERS INVESTMENTSNEW YORK, NY · aum up · April 2026 BAKER ELLIS ASSET MANAGEMENT LLCVANCOUVER, WA · aum crossed 1b · March 2026 BAKER STREET ADVISORS, LLCSAN FRANCISCO, CA · headcount up · April 2025 BAKER TILLY WEALTH MANAGEMENT, LLCMADISON, WI · custody started · September 2026 BAKERAVENUESAN FRANCISCO, CA · planning clients up · October 2026 BALANCE CAPITAL PARTNERS L.P.MIAMI, FL · new registration · September 2026 BALANCE CASH MANAGEMENT INC.SAN FRANCISCO, CA · new registration · February 2025 BALANCE POINT CAPITAL ADVISORS, LLCWESTPORT, CT · aum up · April 2024 BALANCE WEALTHWORTHINGTON, OH · planning clients up · April 2026 BALANCED ASSET STRATEGIES, LTD.LA GRANGE, IL · deregistered · December 2025 BALANCED FINANCIAL PLANNING, INC.OVERLAND PARK, KS · planning clients up · March 2024 BALANCED ROCK INVESTMENT ADVISORSROSLINDALE, MA · state expansion · June 2026 BALANCED WEALTH GROUP LLCWESTLAKE, OH · state expansion · December 2025 BALANCED WEALTH MANAGEMENT, LLC.WEST WARWICK, RI · new office · September 2026 BALANZCORAL GABLES, FL · state expansion · May 2026 BALBOA WEALTH PARTNERS, INC.SCOTTSDALE, AZ · state expansion · June 2026 BALCH HILL CAPITALaum up · April 2026 BALDWIN INVESTMENT MANAGEMENT, LLCWEST CONSHOHOCKEN, PA · headcount up · April 2026 BALDWIN WEALTH PARTNERS, LLCMARION, MA · state expansion · October 2026 BALEEN CAPITAL MANAGEMENT LLCLAS VEGAS, NV · aum up · March 2025 BALEFIRE, LLCDALLAS, TX · aum up · April 2026 BALENTINEATLANTA, GA · planning clients up · April 2026 BALL & COMPANYstate expansion · March 2026 BALLAST ADVISORS, LLCWOODBURY, MN · headcount up · April 2026 BALLAST ASSET MANAGEMENTDALLAS, TX · aum up · April 2024 BALLAST EQUITY PARTNERS MANAGEMENT COMPANY, LLCNEW YORK, NY · relocation · October 2026 BALLAST FINANCIAL ADVISORS, LLCWEST CHESTER, PA · state expansion · April 2026 BALLAST ROCK PRIVATE WEALTHCHARLESTON, SC · aum up · April 2026 BALLAST, INC.LEXINGTON, KY · state expansion · August 2026 BALLENTINE PARTNERSWALTHAM, MA · state expansion · August 2026 BALLEW ADVISORS INCJACKSON, MS · aum crossed 1b · April 2024 BALLINA CAPITAL, LLCaum up · April 2026 BALLYROCK INVESTMENT ADVISORS LLCBOSTON, MA · aum up · April 2026 BALMORAL MANAGEMENT II L.P.LOS ANGELES, CA · aum down · April 2026 BALTIMORE-WASHINGTON FINANCIAL ADVISORSCOLUMBIA, MD · state expansion · December 2025 BALYASNY ASSET MANAGEMENT L.P.CHICAGO, IL · new office · July 2026 BAM CREDIT AND INSURANCE SOLUTIONS ADVISOR LLCNEW YORK, NY · headcount up · April 2026 BAM WEALTH MANAGEMENT LLCLAKEWOOD, CO · new office · September 2026 BAMBOO WEALTH STRATEGIESSAN DIEGO, CA · new office · June 2026 BAMCO, INC.NEW YORK, NY · new office · June 2025 BANCREEK CAPITAL ADVISORS, LLCSANTA MONICA, CA · aum up · April 2026 BANCREEK CAPITAL MANAGEMENT, LPSANTA MONICA, CA · aum down · April 2026 BANCREEK CAPITAL STRATEGIES, LLCSANTA MONICA, CA · new registration · May 2026 BANDERA PARTNERSBROOKLYN, NY · aum down · April 2026 BANDHAN AMC LIMITEDMUMBAI · deregistered · July 2026 BANGTAIL MANAGEMENT, LPSTEAMBOAT SPRINGS, CO · deregistered · January 2025 BANKERS LIFE ADVISORY SERVICES, INC.CHICAGO, IL · headcount up · April 2026 BANKOH ADVISORSHONOLULU, HI · deregistered · December 2025 BANKPLUS WEALTH ADVISORSJACKSON, MS · new office · October 2026 BANNEKER PARTNERS LLCSAN FRANCISCO, CA · aum up · April 2026 BANNER CAPITAL MANAGEMENT, LLCLEHI, UT · new office · April 2026 BANNER OAK CAPITAL PARTNERS, LPDALLAS, TX · headcount down · April 2026 BANNER RIDGE PARTNERSNEW YORK, NY · aum up · April 2026 BANNERMAN WEALTHLEWISVILLE, TX · new office · July 2026 BANNERSTONE CAPITALWAYZATA, MN · new registration · March 2025 BANORTE ASSET MANAGEMENT, INC.HOUSTON, TX · aum crossed 500m · April 2026 BANSK GROUP LLCNEW YORK, NY · aum up · April 2026 BANTA ASSET MANAGEMENT LPNEWPORT BEACH, CA · new office · August 2025 BANTAMAC CAPITAL, LLCCHICAGO, IL · rename · December 2025 BANYAN ALPHA INVESTMENT L.P.SOUTH SAN FRANCISCO, CA · aum crossed 500m · April 2026 BANYAN CAPITAL MANAGEMENT, INC.ATLANTA, GA · aum up · March 2026 BANYAN GLOBAL INVESTMENT ADVISORS, LLCBOCA RATON, FL · deregistered · October 2026 BANYAN TREE ADVISORS PVT. LTD.BANGALORE · new registration · September 2026 BAR POINT MANAGEMENT LIMITED PARTNERSHIPBOSTON, MA · deregistered · September 2024 BARCA CAPITAL, LLCWEST NEWTON, MA · aum up · April 2026 BARD ASSOCIATES INCCHICAGO, IL · state expansion · April 2026 BARD FINANCIAL SERVICES, INC.BRANFORD, CT · deregistered · March 2026 BARDEN CAPITAL MANAGEMENT, INC.state expansion · November 2024 BARDIN HILL ARBITRAGE IC MANAGEMENT LPNEW YORK, NY · deregistered · December 2025 BARE WEALTH ADVISORSGAP, PA · aum up · April 2026 BARES CAPITAL MANAGEMENT, INC.AUSTIN, TX · deregistered · February 2026 BARING FINANCIAL LLCBELLINGHAM, WA · aum up · March 2025 BARING INTERNATIONAL INVESTMENT LTDLONDON · aum up · April 2026 BARINGS LLCCHARLOTTE, NC · headcount up · April 2026 BARINGTON COMPANIES INVESTORS, LLCNEW YORK, NY · custody started · April 2026 BARK SECURITIES, LLCSAN FRANCISCO, CA · new registration · December 2025 BARKER FINANCIAL GROUP, INC.TOPSFIELD, MA · deregistered · April 2025 BARKER WEALTH MANAGEMENT, LLCCAMAS, WA · planning clients up · April 2026 BARKSDALE INVESTMENT MANAGEMENTNASHVILLE, TN · rename · April 2025 BARLOW WEALTH PARTNERS, LLCLOUISVILLE, KY · custody started · June 2025 BARNEGAT FUND MANAGEMENT INC.HOBOKEN, NJ · aum up · March 2026 BARNES DENNIG PRIVATE WEALTH MANAGEMENT, LLCCINCINNATI, OH · aum up · April 2026 BARNES PETTEY FINANCIAL ADVISORS, LLCCLARKSDALE, MS · headcount down · April 2025 BARNES WEALTH MANAGEMENT GROUPBAKERSFIELD, CA · planning clients up · April 2024 BARNETT CAPITAL ADVISORS LLCMIAMI, FL · aum up · April 2026 BARNSTONE ADVISORS LLCPHOENIXVILLE, PA · state expansion · April 2025 BARON CAPITAL MANAGEMENT, INC.NEW YORK, NY · aum up · June 2026 BARON SILVER STEVENS FINANCIAL ADVISORS, LLCBOCA RATON, FL · aum crossed 1b · March 2025 BARON WEALTH MANAGEMENT, LLCTROY, MI · state expansion · March 2025 BARR FINANCIAL SERVICES, LLCWINTER PARK, FL · planning clients up · March 2025 BARRAMUNDI ADVISORS LLCBOCA RATON, FL · state expansion · June 2026 BARRETT & COMPANYPROVIDENCE, RI · aum crossed 500m · April 2026 BARRETT UPTON CAPITAL PARTNERSLAKE FOREST, IL · aum up · April 2026 BARRETT WEALTH CONNECTION LLCSPRING GROVE, IL · custody started · March 2026 BARRIER CAPITAL MANAGEMENT, LLCSAN FRANCISCO, CA · deregistered · October 2026 BARRON FINANCIAL GROUP, LLPTORRINGTON, CT · planning clients up · March 2026 BARROW HANLEY GLOBAL INVESTORSDALLAS, TX · state expansion · August 2024 BARRY INVESTMENT ADVISORS, LLCNEW BEDFORD, MA · headcount up · April 2025 BARTHOLOMEW & COMPANY WEALTH MANAGEMENT, LLCWORCESTER, MA · new registration · August 2026 BARTLETT & CO. WEALTH MANAGEMENT LLCCINCINNATI, OH · planning clients up · April 2025 BARTLEY FINANCIAL ADVISORS, LLCBEDFORD, NH · new office · August 2026 BARTON INVESTMENT MANAGEMENT, LLCW. CONSHOHOCKEN, PA · aum crossed 1b · March 2025 BARZIDEH & NADEAU WEALTH MANAGEMENT LLCBARRINGTON, IL · deregistered · August 2025 BAS CAPITALnew registration · August 2026 BASA ADVISORSDALLAS, TX · custody started · April 2024 BASALT INFRASTRUCTURE PARTNERS LLPLONDON · new office · April 2026 BASE MANAGEMENT COTOWSON, MD · deregistered · June 2024 BASE WEALTH MANAGEMENTLAKEWOOD RANCH, FL · headcount up · April 2026 BASECAMP WEALTH ADVISORS, LLCBELLEVUE, WA · new office · August 2026 BASELINE PARTNERS LLCMESA, AZ · deregistered · October 2026 BASELINE WEALTH MANAGEMENT LTD.GENEVA · aum crossed 1b · April 2026 BASEPOINT ADVISORS LLCNEW YORK, NY · aum up · April 2026 BASEPOINT WEALTH, LLCCEDAR RAPIDS, IA · state expansion · December 2025 BASIN OIL AND GAS MANAGEMENT, LPFORT WORTH, TX · aum up · April 2025 BASIS MANAGEMENT GROUP LLCNEW YORK, NY · headcount up · April 2026 BASON ASSET MANAGEMENTLAKEWOOD, CO · state expansion · December 2025 BASS AND BELL, INC.LITTLE ROCK, AR · aum crossed 1b · April 2026 BASSAM WEALTH MANAGEMENT, LLCPALM BEACH, FL · custody started · April 2026 BASSETT HARGROVE INVESTMENT COUNSEL, LLCCHADDS FORD, PA · deregistered · February 2026 BASSO CAPITAL MANAGEMENT, L.P.STAMFORD, CT · private funds started · April 2026 BASSWOOD CAPITAL MANAGEMENT, L.L.C.NEW YORK, NY · aum up · April 2026 BASTION FIDUCIARYstate expansion · March 2026 BASTION MANAGEMENT II LLCSTAMFORD, CT · aum crossed 500m · April 2026 BATES FINANCIAL ADVISORS, INC.ROCKFORD, IL · state expansion · July 2026 BATTERY GLOBAL ADVISORS, LLCBOSTON, MA · aum up · April 2025 BATTERY MANAGEMENT CORP.BOSTON, MA · headcount up · April 2026 BAUER WEALTH MANAGEMENT INC.COLORADO SPRINGS, CO · aum up · April 2024 BAUGH & ASSOCIATES, LLCATLANTA, GA · planning clients up · April 2026 BAUM CAPITAL PARTNERS MANAGEMENT, LLCKANSAS CITY, MO · new registration · August 2025 BAUMAN WEALTH ADVISORSLAS VEGAS, NV · disclosure added · June 2026 BAUTIS FINANCIAL, LLCMONTCLAIR, NJ · aum up · March 2026 BAXTER CAPITAL MANAGEMENT INCINDIANAPOLIS, IN · aum up · April 2026 BAXTER INVESTMENT MANAGEMENTRIVERSIDE, CT · state expansion · April 2026 BAY POINTE FINANCIALNEW BALTIMORE, MI · state expansion · September 2026 BAY CAPITAL ADVISORS, LLCVIRGINIA BEACH, VA · state expansion · September 2026 BAY COLONY ADVISORSCONCORD, MA · new office · May 2025 BAY HARBOR WEALTH MANAGEMENT, LLCHUNT VALLEY, MD · wrap program started · April 2025 BAY HILLS CAPITAL MANAGEMENT, LLCSAN FRANCISCO, CA · aum down · April 2026 BAY POINT ADVISORS, LLCATLANTA, GA · aum crossed 1b · April 2026 BAY POINT WEALTHANNAPOLIS, MD · deregistered · December 2024 BAY RIVERS GROUP WEALTH PARTNERSWILLIAMSBURG, VA · state expansion · April 2026 BAY STREET CAPITAL HOLDINGSderegistered · August 2024 BAYARD ASSET MANAGEMENT LLCPRINCETON, NJ · aum up · April 2026 BAYBRIDGE CAPITAL GROUP, LLCLIVERMORE, CA · custody started · February 2026 BAYESIAN CAPITAL MANAGEMENT, LPaum down · April 2026 BAYFORESTLONDON · aum down · July 2026 BAYHAWK CAPITAL LPBOSTON, MA · aum up · April 2026 BAYHUNT CAPITAL LLCMILL VALLEY, CA · aum up · March 2026 BAYMOUNT MANAGEMENT LPMIAMI, FL · deregistered · May 2025 BAYNTREE WEALTH ADVISORS, LLCSCOTTSDALE, AZ · state expansion · May 2026 BAYOU CITY ENERGYHOUSTON, TX · aum down · April 2026 BAYPINE HOLDINGS LPBOSTON, MA · aum up · April 2026 BAYPOINTE PARTNERS, LLCSTAMFORD, CT · aum up · April 2026 BAYSHORE CAPITALTAMPA, FL · aum crossed 500m · April 2025 BAYSHORE WEALTH ADVISORSCORAL GABLES, FL · state expansion · August 2024 BAYSWATER MANAGEMENT COMPANY LPDENVER, CO · aum down · April 2026 BAYTRUST WEALTH MANAGEMENT, LLCTAMPA, FL · state expansion · June 2026 BAYVIEW ASSET MANAGEMENT, LLCCORAL GABLES, FL · headcount up · April 2026 BAZIS PRIVATE WEALTH, LLCOMAHA, NE · planning clients up · March 2024 BBAM US LPDALLAS, TX · aum up · April 2025 BBJS FINANCIAL ADVISORS, LLCSEATTLE, WA · new office · August 2024 BBR PARTNERS, LLCNEW YORK, NY · new office · April 2026 BBVA GLOBAL WEALTH ADVISORS, INC.MIAMI, FL · state expansion · October 2026 BC ADVISORS, LLCMT. LAUREL, NJ · custody started · December 2025 BC PARTNERS ADVISORS L.P.NEW YORK, NY · new office · October 2026 BC PARTNERS PE L.P.NEW YORK, NY · headcount down · April 2026 BCA PRIVATE WEALTH, INC.GREENVILLE, SC · state expansion · December 2025 BCASBEDFORD, NH · planning clients up · April 2025 BCG SECURITIES, INC.CHERRY HILL, NJ · headcount up · April 2026 BCI SECURITIES, INC.MIAMI, FL · headcount up · April 2026 BCK CAPITAL MANAGEMENT LPSTAMFORD, CT · deregistered · July 2026 BCM ADVISORS, LLCLAFAYETTE, LA · planning clients up · March 2026 BCM CAPITAL MANAGEMENT LLCNORTHFIELD, IL · new registration · December 2025 BCM FIXED INCOMEnew registration · October 2026 BCM WEALTH MANAGEMENTWILMINGTON, DE · deregistered · December 2025 BCO WEALTH MANAGEMENT, LLCCARLSBAD, NM · headcount down · April 2026 BCPC ADVISORS, LPBOSTON, MA · aum crossed 1b · April 2026 BCR WEALTH STRATEGIESVESTAVIA, AL · aum crossed 500m · February 2026 BCS PRIVATE WEALTH MANAGEMENTRUMSON, NJ · new office · March 2026 BCS WEALTH MANAGEMENT, LLCJOHNSON CITY, TN · headcount up · April 2025 BCSF ADVISORS, LPBOSTON, MA · headcount up · April 2026 BCU WEALTH ADVISORS, LLCVERNON HILLS, IL · website changed · August 2026 BD INVESTMENT PARTNERS, LLCRALEIGH, NC · aum up · April 2026 BDFS CAPITAL LLCREHOBOTH BEACH, DE · headcount down · August 2026 BDT & MSD BDC MANAGEMENT, LLCNEW YORK, NY · headcount up · April 2026 BDT CAPITAL PARTNERSCHICAGO, IL · headcount up · April 2026 BEACH INVESTMENT COUNSEL, INCWEST CONSHOHOCKEN, PA · deregistered · June 2025 BEACH POINT CAPITAL MANAGEMENT LPSANTA MONICA, CA · headcount up · April 2026 BEACON ADVISORSAUSTIN, TX · aum up · April 2026 BEACON ASSOCIATES WEALTH MANAGEMENT, LLCMAUMEE, OH · custody started · April 2026 BEACON BRIDGE WEALTH PARTNERS, LLCLOWER GWYNEDD, PA · state expansion · October 2026 BEACON CAPITAL ADVISORY GROUPCHARLOTTE, NC · state expansion · August 2026 BEACON CAPITAL MANAGEMENT, INC.DAYTON, OH · custody started · December 2025 BEACON CAPITAL MANAGEMENT, LLCFRANKLIN, TN · aum crossed 1b · April 2025 BEACON CAPITAL PARTNERS, LLCBOSTON, MA · aum down · April 2025 BEACON CAPITAL, LLCCEDAR RAPIDS, IA · aum up · February 2026 BEACON COAST PARTNERS, LLCSAN FRANCISCO, CA · state expansion · October 2026 BEACON FINANCIAL ADVISORSRYE BROOK, NY · planning clients up · April 2026 BEACON FINANCIAL ADVISORY LLCCLEVELAND, OH · aum up · April 2026 BEACON FINANCIAL GROUPDALLAS, TX · aum crossed 1b · April 2024 BEACON FINANCIAL GROUP, INC.AURORA, OH · deregistered · April 2026 BEACON FINANCIAL PLANNING, INCHYANNIS, MA · custody started · March 2025 BEACON GLOBAL ADVISOR NETWORK, LLCATLANTA, GA · aum crossed 500m · April 2026 BEACON HARBOR WEALTH ADVISORSVIRGINIA BEACH, VA · state expansion · November 2024 BEACON HILL WEALTH MANAGEMENT LTDVICTORIA, BC · headcount up · April 2026 BEACON INVESTMENT ADVISORS LLCGAITHERSBURG, MD · aum crossed 500m · April 2026 BEACON POINTE ADVISORS, LLCNEWPORT BEACH, CA · new office · May 2026 BEACON TRUSTMORRISTOWN, NJ · headcount up · April 2026 BEACON WEALTH CONSULTANTS, INC.ROANOKE, VA · wrap program started · April 2026 BEACON WEALTHCARE LLCRALEIGH, NC · headcount up · February 2024 BEACONLIGHT CAPITAL, LLCNEW YORK, NY · aum crossed 500m · April 2025 BEADELL A D INVESTMENT COUNSEL INCMEQUON, WI · custody started · April 2025 BEAIRD HARRISDALLAS, TX · custody started · April 2026 BEAM WEALTH ADVISORS, INC.COVINGTON, LA · headcount up · April 2026 BEANSTOXMONTREAL, QUEBEC · state expansion · April 2024 BEANTOWN FINANCIAL ADVISORS LLCnew registration · March 2025 BEAR CREEK ASSET MANAGEMENT, LLCDENVER, CO · aum down · April 2026 BEAR CREEK FUND ADVISORS LLCDENVER, CO · aum up · April 2026 BEAR MOUNTAIN CAPITAL INC.SEATTLE, WA · planning clients up · March 2026 BEAR STEARNS ASSET MANAGEMENT INC.NEW YORK, NY · headcount down · April 2026 BEARBULL INVESTMENTSDUBLIN 2 · new registration · August 2026 BEARING POINT CAPITALRICHFIELD, MN · state expansion · August 2026 BEATRICE ADVISORS LPNEW YORK, NY · aum up · April 2026 BEAU MORGAN ADVISORSwrap program started · December 2025 BEAUMONT ASSET MANAGEMENT, LLCBEAUMONT, TX · planning clients up · April 2026 BEAUMONT FINANCIAL PARTNERSNEEDHAM, MA · new office · April 2026 BECK BODE LLCDEDHAM, MA · state expansion · October 2026 BECK CAPITAL MANAGEMENT LLCAUSTIN, TX · planning started · May 2026 BECKER CAPITAL MANAGEMENT, INC.PORTLAND, OR · new office · April 2025 BECKERMAN WEALTHOCEAN GROVE, NJ · state expansion · April 2026 BECKETT CLARK PRIVATE WEALTH, LLCBETHESDA, MD · deregistered · May 2026 BEDDOW CAPITAL MANAGEMENT INCJACKSON, WY · deregistered · April 2026 BEDEL FINANCIAL CONSULTING INCINDIANAPOLIS, IN · headcount up · March 2026 BEDELL FRAZIER INVESTMENT COUNSELLING, LLC.WALNUT CREEK, CA · deregistered · July 2026 BEDFORD RIDGE CAPITALNEW YORK, NY · aum up · October 2026 BEECHTREE CAPITAL INVESTMENT, INC.deregistered · April 2025 BEEKMAN INVESTMENT ADVISORSNEW YORK, NY · headcount down · April 2026 BEERS KIGHT FINANCIAL ADVISORS, LLCCOLUMBIA, SC · custody started · June 2024 BEESE FULMER PRIVATE WEALTH MANAGEMENTCANTON, OH · custody started · April 2026 BEHRMAN BROTHERS MANAGEMENT COMPANY L.P.NEW YORK, NY · aum up · April 2026 BEIRNE.DARIEN, CT · new office · September 2026 BELHEALTH INVESTMENT PARTNERS, LLCFORT LAUDERDALE, FL · aum down · April 2026 BELL & BROWN WEALTH ADVISORS, LLCNEWPORT BEACH, CA · state expansion · March 2026 BELL ASSET MANAGEMENT LIMITEDMELBOURNE · aum down · April 2026 BELL CITY WEALTH, INC.HILLSBORO, OH · rename · February 2026 BELL INVESTMENT ADVISORS INCORINDA, CA · headcount down · April 2025 BELL PARTNERSGREENSBORO, NC · new office · November 2024 BELLARS HARRIS WEALTH MANAGEMENTVIRGINIA BEACH, VA · pending approved · April 2026 BELLATORE FINANCIAL, INC.THE WOODLANDS, TX · private funds started · December 2025 BELLEAIR WEALTH MANAGEMENT, LLCBELLEAIR BLUFFS, FL · new registration · January 2026 BELLECAPITAL INTERNATIONALZURICH · state expansion · April 2026 BELLERIVE CAPITAL, LLCnew registration · October 2026 BELLINGHAM CAPITALBELLINGHAM, WA · state expansion · September 2026 BELLINGRATH WEALTH MANAGEMENT, L.L.C.NEW ORLEANS, LA · custody started · March 2026 BELLTOWER PARTNERSNEW YORK, NY · aum crossed 500m · April 2026 BELLWETHER INVESTMENT GROUP, LLCHIXSON, TN · planning clients up · March 2026 BELLWETHER WEALTHLINCOLN, NE · headcount up · April 2026 BELLWOOD CAPITAL FUND ADVISORSderegistered · April 2026 BELMONT CAPITAL GROUPLOS ANGELES, CA · deregistered · December 2025 BELMONT PRIVATE WEALTHCHESTERFIELD, MO · aum up · February 2026 BELPOINTE ASSET MANAGEMENT LLCRENO, NV · aum up · April 2026 BELSTAR MANAGEMENT COMPANY, LLCNEW YORK, NY · deregistered · July 2025 BELZBERG & CO.NEW YORK, NY · state expansion · August 2026 BEMANAGEDGRAND RAPIDS, MI · planning clients up · April 2026 BENCH WALK ADVISORS LLCBOCA RATON, FL · aum crossed 500m · April 2025 BENCHMARK ADVISORY SERVICES, LLCSAN DIEGO, CA · website changed · June 2024 BENCHMARK CAPITAL GROUP LTD.GALENA, IL · new office · October 2026 BENCHMARK FINANCIAL WEALTH ADVISORS LLCBOCA RATON, FL · new office · June 2026 BENCHMARK FINANCIAL, LLCWILMINGTON, DE · aum up · February 2026 BENCHMARK INVESTMENT ADVISORS LLCCHICAGO, IL · new office · December 2025 BENCHMARK PLUS MANAGEMENTGIG HARBOR, WA · headcount down · April 2026 BENCHMARK WEALTH MANAGEMENTCINCINNATI, OH · relocation · December 2025 BENCHMARK WEALTH MANAGEMENT, LLCOLD LYME, CT · deregistered · December 2025 BENCHSTONE CAPITAL MANAGEMENT LPNEW YORK, NY · aum crossed 1b · April 2025 BENEDETTI, GUCER & ASSOCIATESATLANTA, GA · deregistered · July 2024 BENEDICT FINANCIAL ADVISORS, INC.ATLANTA, GA · state expansion · October 2026 BENEFICHICAGO, IL · new registration · March 2026 BENEFIT FIDUCIARY GROUP LLCRICHMOND, VA · aum crossed 500m · February 2026 BENEFIT FINANCIAL SERVICES GROUPIRVINE, CA · planning clients up · April 2026 BENEFIT STREET PARTNERS L.L.C.NEW YORK, NY · disclosure added · August 2026 BENEFIT STREET PARTNERS LIMITEDLONDON · rename · March 2026 BENFORD CAPITAL PARTNERS MANAGEMENT, L.P.CHICAGO, IL · headcount up · April 2025 BENGAL ASSET MANAGEMENT, LLCSANTA MONICA, CA · aum down · March 2024 BENIN MANAGEMENT CORPaum up · August 2026 BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDST. LOUIS, MO · headcount up · April 2026 BENJAMIN F. EDWARDS WEALTH MANAGEMENT, LLCST. LOUIS, MO · headcount down · April 2026 BENJAMIN SECURITIES, INC.ALBANY, NY · state expansion · October 2026 BENJAMINS MONEYMCLEAN, VA · planning clients up · April 2025 BENNBRIDGE US LLCBOSTON, MA · deregistered · August 2024 BENNETT SELBY INVESTMENTS, L.P.new office · April 2026 BENNINGTON FINANCIAL PLANNING GROUPBENNINGTON, VT · aum up · April 2026 BENOLD FINANCIAL PLANNINGnew office · February 2026 BENSON INVESTMENT MANAGEMENT COMPANY, INC.deregistered · April 2026 BENSON WEALTH MANAGEMENT, INC.new registration · May 2026 BENTALLGREENOAK (U.S.) LIMITED PARTNERSHIPSEATTLE, WA · website changed · April 2025 BENTALLGREENOAK STRATEGIC CAPITAL PARTNERSNEW YORK, NY · headcount down · April 2025 BENTHAM WEALTH ADVISORSWILLIAMSVILLE, NY · planning clients up · March 2026 BENTLEY FINANCIAL GROUPDOWNERS GROVE, IL · aum up · March 2025 BENTOAK CAPITALWEATHERFORD, TX · headcount up · April 2026 BEQUEST CAPITAL LLCSARASOTA, FL · aum up · July 2025 BERCH CAPITAL LLCAUSTIN, TX · deregistered · July 2026 BEREAN PORTFOLIOS, LLCROLLA, MO · deregistered · February 2024 BERENBERG ASSET MANAGEMENT LLCNEW YORK, NY · disclosure added · August 2026 BERENSON CAPITAL MANAGEMENT, LLCNEW YORK, NY · deregistered · August 2026 BERGAMOT ASSET MANAGEMENT LPPRINCETON, NJ · new registration · June 2026 BERGEN PARK CAPITAL MANAGEMENT, LLCBIGFORK, MT · new registration · August 2024 BERGER FINANCIAL GROUPPLYMOUTH, MN · new office · April 2026 BERILIUMLAKE FOREST, CA · relocation · April 2026 BERKADIA CAPITAL ADVISORS LLCAMBLER, PA · aum crossed 1b · April 2026 BERKELEY ADVISORS, INC.ATLANTA, GA · new registration · January 2025 BERKELEY CAPITAL MANAGEMENT, LLCELLSWORTH, KS · planning started · April 2026 BERKELEY CAPITAL PARTNERS, LLCMILTON, GA · aum crossed 1b · April 2026 BERKELEY, INCBOISE, ID · aum crossed 500m · April 2025 BERKSHIRE ASSET MANAGEMENT, LLCWILKES-BARRE, PA · state expansion · April 2026 BERKSHIRE CAPITAL HOLDINGS INCaum up · April 2026 BERKSHIRE MONEY MANAGEMENT, INC.DALTON, MA · aum crossed 1b · March 2025 BERKSHIRE PARTNERS LLCBOSTON, MA · new office · April 2026 BERKSHIRE PROPERTY ADVISORS, LLCBOSTON, MA · headcount up · April 2025 BERLA INVESTMENT CONSULTINGnew office · June 2026 BERLIN WEALTH GROUP ADVISORSCOLONIA GRANADA, MEXICO CITY · state expansion · August 2025 BERMAN MCALEERTIMONIUM, MD · state expansion · March 2026 BERNARD & JOHNSON FAMILY WEALTH MANAGEMENTPASADENA, CA · new registration · December 2025 BERNARD WEALTH MANAGEMENT CORP.ROYAL OAK, MI · aum up · April 2025 BERNARDI ASSET MANAGEMENT, LLCNORTHFIELD, IL · state expansion · February 2024 BERNHARD CAPITAL PARTNERS MANAGEMENT, LPBATON ROUGE, LA · headcount up · April 2026 BERNICKE WEALTH MANAGEMENTALTOONA, WI · state expansion · June 2026 BERNSTEIN INSTITUTIONAL SERVICES LLCNEW YORK, NY · disclosure added · May 2025 BERNZOTT CAPITAL ADVISORSCAMARILLO, CA · custody started · April 2026 BERSOT CAPITAL MANAGEMENT, LLCTIBURON, CA · deregistered · June 2025 BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.CEDAR RAPIDS, IA · planning clients up · April 2025 BERTRAM CAPITAL MANAGEMENT LLCFOSTER CITY, CA · aum up · April 2024 BERYL CAPITAL MANAGEMENT, LLCREDONDO BEACH, CA · aum crossed 1b · April 2026 BESPOKE ADVISORYEVERGREEN, CO · aum up · May 2026 BESPOKE INVESTMENT GROUP, LLCHARRISON, NY · aum up · April 2026 BESSEMER VENTURE PARTNERSLARCHMONT, NY · headcount up · April 2025 BEST INVESTSAN ANTONIO, TX · state expansion · February 2026 BEST LIFE INFINITY, LLCCOLORADO SPRINGS, CO · aum up · April 2026 BESTGATE WEALTH ADVISORS, LLCFREDERICK, MD · aum up · March 2026 BESTIGE HOLDINGS, LLCheadcount up · April 2026 BETA WEALTH GROUP, INCSAN DIEGO, CA · new office · July 2026 BETTER FINANCIAL SERVICES, LLCFEDERAL WAY, WA · new registration · October 2026 BETTER MONEY DECISIONSSANTA FE, NM · deregistered · April 2026 BETTER WAY LLCBAL HARBOUR, FL · aum down · April 2025 BETTEREDGE CAPITAL LLCNEW YORK, NY · new registration · March 2025 BETTERMENTNEW YORK, NY · aum up · April 2024 BETTERWEALTH LLCSAN JOSE, CA · state expansion · September 2026 BEUTEL, GOODMAN & COMPANY LTD.TORONTO, ONT. · headcount up · April 2026 BEVERLY HILLS PRIVATE WEALTH, LLCBEVERLY HILLS, CA · private funds started · April 2025 BEVERLY INVESTMENT ADVISORS LLCBEVERLY HILLS, CA · deregistered · February 2025 BEXIL ADVISERS LLCWALPOLE, NH · relocation · February 2026 BEY-DOUGLAS, LLC INVESTMENT COUNSELMARIETTA, GA · aum up · March 2024 BEYOND FINANCIAL SERVICESFREMONT, CA · website changed · April 2024 BEYOND GLOBAL MANAGEMENT, LLCHOUSTON, TX · deregistered · April 2026 BEYOND INVESTING LLCaum up · April 2026 BEYOND WEALTHOVERLAND PARK, KS · new registration · May 2026 BEYOND WEALTH MANAGEMENT GROUP, LLCNEW PALTZ, NY · aum up · April 2026 BEYOND YOUR HAMMOCK LLCBOSTON, MA · new registration · June 2026 BFC PLANNING, INC.CEDAR RAPIDS, IA · aum up · April 2026 BFG WEALTHEDMOND, OK · deregistered · October 2024 BFI INFINITY LTD.ZURICH · aum up · April 2026 BFI WEALTH SOLUTIONS, LLCDALLAS, TX · custody started · December 2025 BFINANCE US LTD.LONDON · new office · July 2026 BG AMERICA LLCNEW YORK, NY · aum up · April 2026 BG INVESTMENT SERVICES, LLCHAGATNA · state expansion · August 2026 BGM WEALTH MANAGEMENTBLOOMINGTON, MN · aum crossed 500m · February 2026 BGO US REAL ESTATE LPNEW YORK, NY · aum up · April 2026 BGV FINANCIAL ADVISORSMIAMI, FL · pending approved · March 2024 BGV VC MANAGEMENT LLCMENLO PARK, CA · new registration · February 2026 BH CREDIT MANAGEMENT LLCDALLAS, TX · aum crossed 1b · April 2025 BH3 FUND ADVISORS, LLCFORT LAUDERDALE, FL · headcount up · April 2025 BHARCAP PARTNERS, LLCGREENWICH, CT · aum up · April 2026 BHK INVESTMENT ADVISORSBIRMINGHAM, AL · headcount down · April 2025 BHK SECURITIES, LLCBIRMINGHAM, AL · headcount down · April 2025 BHMS INVESTMENTS, LPWESTPORT, CT · aum crossed 1b · April 2026 BHZ CAPITAL MANAGEMENT, LPSAN JOSE, CA · deregistered · September 2024 BIASAFE SECURITIES USA CORPMONTREAL, QC · new registration · August 2026 BICE WEALTH MANAGEMENT LLCMIAMI, FL · new registration · January 2026 BICYCLE CAPITALCOCONUT GROVE, FL · new registration · April 2026 BIECHELE ROYCE ADVISORS, INC.FISHERS, IN · deregistered · March 2025 BIENVILLE CAPITAL MANAGEMENT, LLCNEW YORK, NY · state expansion · April 2026 BIG INVESTMENT SERVICESDOVER, DE · planning clients up · September 2026 BIG LEAGUE ADVANTAGEWASHINGTON, DC · aum crossed 500m · May 2026 BIG ROCK ADVISORS LLCSAG HARBOR, NY · new registration · October 2026 BIG SIOUX WEALTH MANAGEMENTWATERTOWN, SD · headcount up · March 2026 BIG SKY WEALTH ADVISORS, LLCGREAT FALLS, MT · state expansion · July 2026 BIGELOW INVESTMENT ADVISORS, LLCPORTLAND, ME · state expansion · June 2026 BIGLARI CAPITAL CORP.SAN ANTONIO, TX · aum crossed 1b · April 2026 BILI FINANCETUCSON, AZ · new registration · March 2026 BILKEYKATZ INVESTMENT CONSULTANTSPITTSBURGH, PA · deregistered · January 2026 BILL FEW ASSOCIATES, INC.SEWICKLEY, PA · relocation · April 2025 BILL LOSEY RETIREMENT SOLUTIONS, LLCderegistered · October 2026 BILL SPALDING WEALTH MANAGEMENTderegistered · May 2025 BILTMORE FAMILY OFFICE, LLCCHARLOTTE, NC · headcount up · April 2026 BILTMORE WEALTH MANAGEMENT, LLCTEMPE, AZ · state expansion · March 2026 BIMINI ADVISORS, LLCVERO BEACH, FL · aum up · April 2026 BIN YUAN CAPITAL (CAYMAN) LIMITEDGRAND CAYMAN · headcount up · April 2025 BINGHAM PRIVATE WEALTH, LLCSAN FRANCISCO, CA · headcount up · March 2026 BINVESTINGHOUSTON, TX · headcount up · December 2025 BIONDO INVESTMENT ADVISORS LLCMILFORD, PA · aum crossed 1b · April 2025 BIOS CAPITAL MANAGEMENT, LPFORT WORTH, TX · headcount up · April 2025 BIP ALLIANCE, LLCATLANTA, GA · deregistered · January 2026 BIP CAPITALATLANTA, GA · headcount down · April 2026 BIP CAPITAL MANAGEMENT SERVICES, LLCATLANTA, GA · website changed · April 2024 BIP WEALTH, LLCATLANTA, GA · headcount up · April 2026 BIRCH CAPITAL MANAGEMENT, LLCcustody started · December 2025 BIRCH FINANCIAL GROUPKEENE, NH · state expansion · August 2026 BIRCH HILL INVESTMENT ADVISORS LLCBOSTON, MA · planning clients up · March 2026 BIRCH RUN INVESTMENTS, LLCEXTON, PA · aum up · April 2026 BIRCH WEALTH MANAGEMENTROME, NY · new office · June 2026 BIRCHBROOKBANGOR, ME · new office · April 2026 BIRCHCREEK WEALTH MANAGEMENT, LLCMIAMI TOWNSHIP, OH · new office · March 2026 BIRCHVIEW CAPITAL, LPBURLINGTON, VT · aum up · April 2026 BIRCHWOOD CREEK CAPITAL MANAGEMENT LLCderegistered · April 2026 BIRCHWOOD FINANCIAL PARTNERS, INC.BLOOMINGTON, MN · relocation · June 2025 BIRDROCK WEALTHAUSTIN, TX · planning clients up · March 2024 BIREME CAPITAL, LLCROCKVILLE, MD · new registration · August 2025 BIRINYI ASSOCIATES, INC.WESTPORT, CT · aum up · February 2024 BIRKS FINANCIAL CORP.HERNDON, VA · state expansion · June 2025 BIRNAM OAK ADVISORS, LPNEW YORK, NY · aum crossed 500m · April 2026 BISHOP & ASSOCIATES INCPHILADELPHIA, PA · deregistered · April 2026 BISHOP & COMPANY INVESTMENT MANAGEMENT, LLCERIE, PA · state expansion · April 2026 BISHOP ROCK CAPITAL, L.P.NEW YORK, NY · deregistered · February 2024 BISHOP STREET CAPITAL MANAGEMENTHONOLULU, HI · headcount down · April 2026 BISON CAPITAL ADVISORS, LLCOKLAHOMA CITY, OK · aum up · April 2024 BISON CREEK WEALTH MANAGEMENT LLCstate expansion · April 2026 BISON INVESTMENT ADVISORS, LLCTHE WOODLANDS, TX · new registration · August 2025 BISON WEALTH MANAGEMENT, LLCLYNDHURST, OH · state expansion · October 2026 BISON WEALTH, LLCATLANTA, GA · new office · October 2026 BISON WEALTH, LLCATLANTA, GA · deregistered · April 2025 BITKRAFT VENTURES MANAGEMENT, LLCheadcount up · April 2026 BITTERROOT CAPITAL ADVISORS LLCBOZEMAN, MT · planning clients up · April 2025 BITWISE INVESTMENT MANAGER, LLCSAN FRANCISCO, CA · aum up · July 2026 BIVIUM CAPITAL PARTNERS, LLCSAN FRANCISCO, CA · aum up · April 2026 BKM WEALTH MANAGEMENTBROOKFIELD, WI · state expansion · March 2026 BKS RETIREMENT SERVICESTAMPA, FL · deregistered · November 2024 BLACK BARN FINANCIAL, LLCAUSTIN, TX · state expansion · February 2026 BLACK BAY PARTNERS, LLCNEW ORLEANS, LA · headcount up · April 2026 BLACK CHAMBER PARTNERS, LLCWASHINGTON, DC · aum up · April 2026 BLACK CORAL FINANCIAL ADVISORS, LLCMOUNT OLIVE, NJ · disclosure added · March 2026 BLACK DIAMOND CAPITAL MANAGEMENTST. THOMAS, VI · rename · December 2025 BLACK DIAMOND FINANCIAL, LLCLUTHERVILLE, MD · aum up · April 2026 BLACK DIAMOND FINANCIAL, LLCaum up · April 2025 BLACK DRAGON CAPITAL INVESTMENT MANAGEMENT, INCdisclosure added · November 2024 BLACK HILL CAPITAL PARTNERS, LLCSAN FRANCISCO, CA · aum up · April 2026 BLACK HORSE WEALTH MANAGEMENTcustody started · March 2024 BLACK IMPACT GROUP, LLCLOS ANGELES, CA · headcount down · April 2026 BLACK KNIGHT WEALTH MANAGEMENT, LLCnew office · September 2026 BLACK LAKE INVESTMENTS LLCWAYZATA, MN · aum crossed 1b · April 2026 BLACK MAPLE CAPITAL MANAGEMENT LPMILWAUKEE, WI · aum up · April 2024 BLACK POINT WEALTH MANAGEMENTderegistered · December 2025 BLACK SWIFT GROUP, LLCBOULDER, CO · headcount down · April 2026 BLACK TORO LLCMIAMI, FL · headcount down · April 2026 BLACK WALNUT WEALTH MANAGEMENTTRAVERSE CITY, MI · planning clients up · February 2026 BLACKBARN CAPITAL PARTNERS LPNEW YORK, NY · aum crossed 1b · April 2025 BLACKDIAMOND WEALTH MANAGEMENT, LLCNEW YORK, NY · aum up · April 2026 BLACKGOLD CAPITAL MANAGEMENT LPHOUSTON, TX · aum down · April 2026 BLACKHAWK CAPITAL PARTNERS, LLCTHIENSVILLE, WI · state expansion · October 2026 BLACKHILL CAPITAL, INCMORRISTOWN, NJ · aum up · April 2025 BLACKRIDGE ASSET MANAGEMENT, LLCJUPITER, FL · wrap program started · October 2026 BLACKROCK (SINGAPORE) LIMITEDSINGAPORE · new office · April 2026 BLACKROCK ADVISORS, LLCNEW YORK, NY · new office · April 2026 BLACKROCK ALTERNATIVES MANAGEMENT, LLCNEW YORK, NY · headcount down · April 2026 BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITEDHONG KONG · headcount up · April 2025 BLACKROCK ASSET MANAGEMENT SCHWEIZ AGZURICH · aum up · April 2026 BLACKROCK CAPITAL INVESTMENT ADVISORS, LLCWILMINGTON, DE · disclosure added · July 2026 BLACKROCK CAPITAL MANAGEMENT, INC.WILMINGTON, DE · aum up · April 2026 BLACKROCK FINANCIAL MANAGEMENT, INCNEW YORK, NY · headcount up · April 2026 BLACKROCK FUND ADVISORSSAN FRANCISCO, CA · new office · April 2026 BLACKROCK INTERNATIONAL LIMITEDEDINBURGH · headcount down · April 2026 BLACKROCK INVESTMENT MANAGEMENT, LLCPRINCETON, NJ · aum up · April 2026 BLACKROCK REALTY ADVISORS INCNEW YORK, NY · headcount down · April 2026 BLACKSAND CAPITAL, LLCHONOLULU, HI · aum crossed 500m · April 2026 BLACKSTON FINANCIAL ADVISORY GROUP, LLCTHE VILLAGES, FL · headcount up · April 2025 BLACKSTONE ALTERNATIVE ASSET MANAGEMENT L.P.NEW YORK, NY · new office · April 2026 BLACKSTONE ALTERNATIVE CREDIT ADVISORS LPNEW YORK, NY · headcount up · April 2026 BLACKSTONE ALTERNATIVE INVESTMENT ADVISORS LLCNEW YORK, NY · new office · April 2026 BLACKSTONE ALTERNATIVE SOLUTIONS L.L.C.NEW YORK, NY · new office · April 2026 BLACKSTONE ASSET BASED FINANCE ADVISORS LPNEW YORK, NY · headcount up · April 2026 BLACKSTONE CLO MANAGEMENT LLCNEW YORK, NY · headcount up · April 2026 BLACKSTONE CREDIT BDC ADVISORS LLCNEW YORK, NY · headcount up · April 2026 BLACKSTONE CREDIT SYSTEMATIC STRATEGIES LLCNEW YORK, NY · headcount up · April 2026 BLACKSTONE GROWTH ADVISORS L.L.C.NEW YORK, NY · headcount up · April 2024 BLACKSTONE INFRASTRUCTURE ADVISORS L.L.C.NEW YORK, NY · aum up · April 2026 BLACKSTONE IRELAND FUND MANAGEMENT LIMITEDDUBLIN 2 · headcount up · April 2026 BLACKSTONE IRELAND LIMITEDDUBLIN 2 · headcount up · April 2026 BLACKSTONE ISG-I ADVISORS L.L.C.NEW YORK, NY · headcount up · April 2026 BLACKSTONE ISG-II ADVISORS L.L.C.NEW YORK, NY · headcount up · April 2026 BLACKSTONE LIFE SCIENCES ADVISORS L.L.C.CAMBRIDGE, MA · aum up · April 2026 BLACKSTONE LIQUID CREDIT ADVISORS I LLCNEW YORK, NY · headcount up · April 2026 BLACKSTONE LIQUID CREDIT STRATEGIES LLCNEW YORK, NY · headcount up · April 2026 BLACKSTONE MANAGEMENT PARTNERS L.L.C.NEW YORK, NY · headcount up · April 2026 BLACKSTONE MULTI-ASSET ADVISORS L.L.C.NEW YORK, NY · headcount down · April 2024 BLACKSTONE PRIVATE CREDIT STRATEGIES LLCNEW YORK, NY · headcount up · April 2026 BLACKSTONE PRIVATE INVESTMENTS ADVISORS L.L.C.NEW YORK, NY · headcount up · April 2026 BLACKSTONE PROPERTY ADVISORS L.P.NEW YORK, NY · headcount down · April 2026 BLACKSTONE REAL ESTATE ADVISORS EUROPE L.P.NEW YORK, NY · headcount down · April 2026 BLACKSTONE REAL ESTATE ADVISORS IV L.L.C.NEW YORK, NY · deregistered · April 2026 BLACKSTONE REAL ESTATE ADVISORS L.P.NEW YORK, NY · headcount down · April 2026 BLACKSTONE REAL ESTATE ADVISORS V L.P.NEW YORK, NY · headcount down · April 2026 BLACKSTONE REAL ESTATE SPECIAL SITUATIONS ADVISORS L.L.C.NEW YORK, NY · headcount down · April 2026 BLACKSTONE STRATEGIC ALLIANCE ADVISORS L.L.C.NEW YORK, NY · new office · April 2026 BLACKSTONE STRATEGIC CAPITAL ADVISORS, L.L.C.NEW YORK, NY · aum down · May 2025 BLACKSTONE TACTICAL OPPORTUNITIES ADVISORS L.L.C.NEW YORK, NY · headcount down · April 2024 BLACKSUNNEW YORK, NY · deregistered · December 2025 BLACKTOWER FINANCIAL MANAGEMENT (US) LLCORLANDO, FL · aum up · April 2026 BLACKWATCH FINANCIAL GROUP, LLCderegistered · August 2024 BLAIR HALL ADVISORS, LLCaum up · April 2026 BLAKE SCHUTTER THEIL WEALTH ADVISORS, LLCDAYTON, OH · planning clients up · April 2026 BLAKELY WALTERS WEALTH MANAGEMENTSCOTTSDALE, AZ · state expansion · May 2026 BLAKESLEE & BLAKESLEE FINANCIAL ADVISERS INC.SAN LUIS OBISPO, CA · headcount up · April 2026 BLALOCK WILLIAMS, LLCALEXANDER CITY, AL · aum up · April 2026 BLANCHE PARK CAPITALMIAMI, FL · pending approved · April 2026 BLAND GARVEY WEALTH ADVISORS, LLCRICHARDSON, TX · website changed · April 2025 BLANK EQUITY MANAGEMENT LLCPORT WASHINGTON, NY · aum up · March 2024 BLANKINSHIP & FOSTER, LLCSOLANA BEACH, CA · state expansion · April 2025 BLANTYRE CAPITAL US LLCNEW YORK, NY · pending approved · June 2026 BLBB ADVISORSMONTGOMERYVILLE, PA · state expansion · April 2026 BLEDSOE ASSET MANAGEMENT, LLCPHOENIX, AZ · custody started · December 2025 BLEECKER STREET CAPITAL MANAGEMENT, LLCBROOKLYN, NY · headcount up · April 2026 BLEICHROEDER LPNEW YORK, NY · headcount up · September 2026 BLKBRD ASSET MANAGEMENTOLD GREENWICH, CT · new registration · August 2025 BLOCK WEALTH MANAGEMENT, INCplanning clients up · February 2025 BLOCKBRIDGE INVESTMENTS LLCMINNEAPOLIS, MN · deregistered · October 2026 BLOCKCHAIN CAPITAL, LLCSAN FRANCISCO, CA · custody started · April 2024 BLOCKCHANGE MANAGEMENT LLCaum crossed 1b · April 2024 BLOCKTOWER CAPITAL ADVISORS LPMIAMI, FL · deregistered · March 2025 BLODGETT WEALTH ADVISORS, LLCstate expansion · June 2026 BLOM & HOWELL FINANCIAL PLANNING, INC.MODESTO, CA · state expansion · June 2026 BLONG FINANCIALMEMPHIS, TN · aum up · April 2024 BLOOM ADVISORSFARMINGTON HILLS, MI · new office · May 2026 BLOOMSBURY ASSET MANAGEMENT LLPLONDON · deregistered · August 2025 BLOSSOM WEALTH MANAGEMENT, LLCstate expansion · April 2025 BLS CAPITAL FONDSMAEGLERSELSKAB A/SKLAMPENBORG · headcount up · April 2025 BLT FUND MANAGER LLCSTAMFORD, CT · aum down · April 2026 BLUE ANCHOR WEALTH ADVISORS, LLCKETCHIKAN, AK · new registration · October 2026 BLUE BARN WEALTHOREM, UT · headcount down · March 2026 BLUE BEACH CAPITALderegistered · January 2025 BLUE BEAR FINANCIAL, LLCstate expansion · October 2026 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLCBLUE BELL, PA · aum crossed 1b · April 2026 BLUE CAPITALOMAHA, NE · planning clients up · April 2024 BLUE CHIP FINANCIAL ADVISORS, LLCEAST PROVIDENCE, RI · new registration · September 2026 BLUE CHIP MONEY MANAGEMENT, LLCderegistered · May 2025 BLUE CHIP PARTNERS, LLCFARMINGTON HILLS, MI · state expansion · June 2025 BLUE CURVE ADVISORY, LLCTOWSON, MD · headcount up · April 2026 BLUE DIAMOND CAPITAL INVESTMENT ADVISORSPROVO, UT · pending approved · July 2025 BLUE DOOR ASSET MANAGEMENT, LLCSTAMFORD, CT · new office · April 2026 BLUE FIN CAPITAL, INC.WARREN, RI · aum up · April 2025 BLUE FINANCIALCHARLOTTE, NC · aum up · March 2026 BLUE GRANITE CAPITAL, LLCCHARLESTON, SC · new registration · May 2026 BLUE GROTTO CAPITAL, LLCATLANTA, GA · aum up · April 2026 BLUE HAVEN CAPITAL, LLCGENEVA, IL · new registration · February 2026 BLUE HERON CAPITALENGLEWOOD, CO · pending approved · April 2026 BLUE HERON INFRASTRUCTUREderegistered · January 2026 BLUE HORIZON EQUITY, INC.PITTSFORD, NY · pending approved · October 2026 BLUE INVESTMENT PARTNERS LLCDANVILLE, CA · deregistered · August 2025 BLUE JAY FINANCIAL GROUP, LLCDEFIANCE, OH · state expansion · July 2026 BLUE JEAN FINANCIAL LLCALBANY, NY · state expansion · April 2026 BLUE LIKE AN ORANGE SUSTAINABLE CAPITALWASHINGTON, DC · headcount down · April 2026 BLUE LINE CAPITALCHICAGO, IL · headcount up · July 2026 BLUE MARBLE INVESTMENTSSANTA BARBARA, CA · state expansion · April 2026 BLUE MARLIN HOLDCO LLCBETHESDA, MD · headcount up · April 2025 BLUE OAK CAPITAL LLCMENLO PARK, CA · deregistered · August 2025 BLUE OCEAN CAPITALWEST PALM BEACH, FL · state expansion · June 2025 BLUE OPAL CAPITAL, LLCNEW YORK, NY · aum up · April 2026 BLUE ORCA, LLCAUSTIN, TX · new registration · October 2026 BLUE OWL ALTERNATIVE CREDIT ADVISORS II LLCNEW YORK, NY · headcount up · April 2026 BLUE OWL CREDIT ADVISORS LLCNEW YORK, NY · headcount up · April 2026 BLUE OWL CREDIT PRIVATE FUND ADVISORS LLCNEW YORK, NY · headcount up · April 2026 BLUE OWL DIGITAL INFRASTRUCTURE TRUST ADVISORS LLCCHICAGO, IL · headcount up · April 2026 BLUE OWL DIVERSIFIED CREDIT ADVISORS LLCNEW YORK, NY · deregistered · April 2026 BLUE OWL GPSC ADVISORS LLCNEW YORK, NY · headcount up · April 2026 BLUE OWL INSURANCE SOLUTIONSNEW YORK, NY · custody started · April 2026 BLUE OWL REAL ASSETS ADVISORS LLCCHICAGO, IL · new registration · August 2026 BLUE OWL REAL ESTATE CAPITAL LLCCHICAGO, IL · headcount up · April 2026 BLUE OWL STRATEGIC EQUITY ADVISORS LLCNEW YORK, NY · headcount up · April 2026 BLUE OWL TECHNOLOGY CREDIT ADVISORS II LLCNEW YORK, NY · headcount up · April 2026 BLUE OWL TECHNOLOGY CREDIT ADVISORS LLCNEW YORK, NY · headcount up · April 2026 BLUE POINT CAPITAL PARTNERS LLCCLEVELAND, OH · aum down · April 2026 BLUE POINT FINANCIAL, INC.SCARBOROUGH, ME · custody started · April 2026 BLUE RIDGE WEALTH PLANNERSKNOXVILLE, TN · planning clients up · April 2026 BLUE ROAD MANAGEMENT, L.P.NEW YORK, NY · aum up · April 2025 BLUE ROCK ADVISORS, LLCEXCELSIOR, MN · deregistered · March 2024 BLUE ROCK FINANCIAL GROUPREHOBOTH BEACH, DE · headcount up · April 2026 BLUE SAGE CAPITALAUSTIN, TX · aum crossed 1b · April 2026 BLUE SEA CAPITAL LLCWEST PALM BEACH, FL · aum crossed 1b · April 2024 BLUE SKY CAPITAL CONSULTANTS GROUP, INC.POWAY, CA · state expansion · August 2026 BLUE SKY INVESTMENT PARTNERS, INC.EVANSTON, IL · state expansion · October 2026 BLUE SPARK CAPITAL ADVISORSNEW YORK, NY · aum up · April 2024 BLUE SQUARE ASSET MANAGEMENT, LLCNEW YORK, NY · state expansion · April 2026 BLUE SUMMIT WEALTH MANAGEMENTSAN DIEGO, CA · relocation · December 2024 BLUE SWELL ASSET MANAGEMENT PRIVATE LIMITEDSINGAPORE · aum up · April 2026 BLUE TORCH CAPITAL LPNEW YORK, NY · headcount up · April 2026 BLUE VISTA CAPITAL, LLCCHICAGO, IL · headcount up · April 2026 BLUE WATER ADVISORS LPBOCA RATON, FL · headcount up · April 2026 BLUE WATER ASSET MANAGEMENTGRAND RAPIDS, MI · state expansion · July 2026 BLUE WATER CAPITAL MANAGEMENT, LLCSYRACUSE, NY · deregistered · April 2024 BLUE WATER CAPITAL MANAGEMENT, LLCAPEX, NC · custody started · May 2025 BLUE WATER FINANCIAL TECHNOLOGIES LLCDEEPHAVEN, MN · deregistered · January 2025 BLUE WATER LIFE SCIENCE ADVISORS, LPaum up · April 2026 BLUE WATER VENTURE MANAGEMENT, LLCderegistered · June 2026 BLUE WATER WEALTHPORTLAND, OR · new office · August 2026 BLUE ZONE WEALTH ADVISORS, LLCLOS ANGELES, CA · aum up · April 2026 BLUE3 INVESTMENTS LLCSAO PAULO · new office · October 2026 BLUEARC CAPITAL MANAGEMENTATLANTA, GA · headcount up · January 2026 BLUEBIRD WEALTH MANAGEMENT LLCMEDFIELD, MA · planning clients up · April 2026 BLUECHIP WEALTH ADVISORS LLCMILTON, GA · aum crossed 500m · April 2025 BLUEDOOR PRIVATE WEALTH, LLCBEVERLY, MA · state expansion · July 2026 BLUEHEEL LLCDALLAS, TX · private funds started · March 2025 BLUELINE ADVISORSEXETER, NH · new office · April 2026 BLUELINE CAPITALSAN FRANCISCO, CA · new registration · August 2026 BLUEMAR CAPITAL MANAGEMENT, LLCMIAMI, FL · deregistered · April 2025 BLUEMOUNTAIN FUJI MANAGEMENT, LLCNEW YORK, NY · aum down · April 2026 BLUEPOINTE CAPITAL MANAGEMENT, LLCMENLO PARK, CA · deregistered · July 2025 BLUEPRINT CAPITAL ADVISORS LLCSHORT HILLS, NJ · relocation · April 2025 BLUEPRINT FINANCIAL ADVISORSCHARLOTTE, NC · aum crossed 1b · August 2026 BLUEPRINT FUND MANAGEMENTGREENSBORO, NC · aum up · March 2025 BLUEPRINT INVESTING LLCSAN FRANCISCO, CA · state expansion · August 2026 BLUEPRINT INVESTMENT PARTNERS LLCGREENSBORO, NC · aum up · May 2026 BLUEPRINT LOCAL LLCaum up · April 2026 BLUEPRINT PARTNERS LLCTRAVERSE CITY, MI · aum up · February 2025 BLUEPRINT WEALTH MANAGEMENTstate expansion · February 2026 BLUEPRINT WEALTH MANAGEMENT INC.ELLICOTT CITY, MD · planning clients up · April 2024 BLUEROCK CREDIT FUND ADVISOR, LLCNEW YORK, NY · headcount down · April 2026 BLUEROCK ETF ADVISOR, LLCNEW YORK, NY · new registration · October 2026 BLUEROCK FUND ADVISOR, LLCNEW YORK, NY · headcount down · April 2026 BLUESCAPE ENERGY PARTNERS LLCDALLAS, TX · rename · April 2024 BLUESHIFT ASSET MANAGEMENTRED BANK, NJ · aum up · April 2026 BLUESKY WEALTH ADVISORS, LLCNEW BERN, NC · aum crossed 1b · April 2026 BLUESPHERE ADVISORS LLCEAST NORRITON, PA · aum crossed 500m · March 2026 BLUESPRING WEALTH MANAGEMENT, LLCAUSTIN, TX · headcount up · August 2026 BLUESPRUCECHICAGO, IL · headcount down · April 2026 BLUESTAR WEALTH MANAGEMENTLAKE MARY, FL · new registration · July 2025 BLUESTEM FINANCIAL ADVISORS, LLCSAVOY, IL · state expansion · February 2024 BLUESTEM WEALTH PARTNERS, LLCMINNETONKA, MN · aum crossed 1b · April 2026 BLUESTONE CAPITAL MANAGEMENT, LLCWAYNE, PA · headcount down · April 2026 BLUESTONE EQUITY PARTNERSNEW YORK, NY · aum up · April 2026 BLUESTONE INVESTMENT MANAGER, LLCMCLEAN, VA · aum down · April 2026 BLUESTONE PRIVATE WEALTH, LLCCLEVELAND, OH · planning clients up · March 2026 BLUESTONE® FINANCIAL ADVISORS, LLCBETHESDA, MD · aum up · April 2024 BLUEVINE ADVISORY LLCJERSEY CITY, NJ · state expansion · July 2026 BLUEWATER WEALTH ADVISORS, LLCVESTAVIA HILLS, AL · aum up · April 2026 BLUHAUS CAPITAL MANAGEMENT LLCGUAYNABO, PR · new registration · June 2026 BLUME CAPITAL MANAGEMENT, INC.BERKELEY, CA · state expansion · April 2025 BLUUM INVEST LLCLOS ANGELES, CA · new registration · April 2026 BLVD PRIVATE WEALTH, LLCPROSPECT, KY · aum up · February 2026 BMB ADVISERS LLCLOS ANGELES, CA · aum up · April 2026 BMO ASSET MANAGEMENT CORP.CHICAGO, IL · state expansion · April 2026 BMO CAPITAL MARKETS CORP.NEW YORK, NY · deregistered · December 2025 BMO DIRECT INVEST INC.CHICAGO, IL · deregistered · November 2024 BMO FAMILY OFFICE, LLCCHICAGO, IL · headcount up · February 2026 BMO NESBITT BURNS SECURITIES LTD.TORONTO, ONTARIO · disclosure added · October 2026 BMO PRIVATE INVESTMENT COUNSEL INC.TORONTO, ONTARIO · headcount up · February 2026 BMSS WESSON WEALTH SOLUTIONSBIRMINGHAM, AL · state expansion · August 2025 BNA WEALTHROCK HILL, SC · state expansion · March 2026 BNB WEALTH MANGAGEMENT, LLCSILVER SPRING, MD · state expansion · September 2026 BNP PARIBAS ASSET MANAGEMENT UK LIMITEDLONDON · deregistered · February 2026 BNP PARIBAS ASSET MANAGEMENT USA, INC.NEW YORK, NY · deregistered · August 2026 BNY MELLON ADVISORS, INC.NEW YORK, NY · aum up · April 2026 BNY MELLON ETF INVESTMENT ADVISER, LLCBOSTON, MA · aum up · April 2026 BNY MELLON INVESTMENT ADVISER, INC.NEW YORK, NY · headcount down · April 2026 BNY MELLON SECURITIES CORPORATIONNEW YORK, NY · disclosure added · June 2026 BOARDMAN BAY CAPITAL MANAGEMENT LLCNEW YORK, NY · aum crossed 500m · April 2026 BOARDWALK FINANCIAL STRATEGIES LLCHARTLAND, WI · planning clients up · April 2025 BOARDWALK INVESTMENT GROUP LPMIAMI, FL · new registration · October 2026 BOCA WEALTH ADVISORSBOCA RATON, FL · rename · February 2025 BODEN WEALTHLEMOYNE, PA · state expansion · September 2026 BOERUM HILL FINANCIAL ADVISORS LLCBROOKLYN, NY · aum up · February 2026 BOFA SECURITIES, INC.NEW YORK, NY · disclosure added · August 2026 BOFCAL ASSET MANAGEMENT INC.MENLO PARK, CA · deregistered · December 2025 BOGART WEALTH, LLCMCLEAN, VA · state expansion · October 2026 BOGDANOVICH WEALTH MANAGEMENT PLLCEDMONDS, WA · deregistered · February 2025 BOK FINANCIAL ADVISORSTULSA, OK · aum crossed 1b · April 2026 BOK FINANCIAL PRIVATE WEALTH, INC.DENVER, CO · headcount up · April 2026 BOLAN CAPITAL MANAGEMENT, LLCCINCINNATI, OH · deregistered · November 2024 BOLDHAVEN MANAGEMENTLONDON · aum up · July 2026 BOLDIN ADVISORSMILL VALLEY, CA · state expansion · September 2026 BOLT FINANCIAL GROUP, INCWORTHINGTON, OH · deregistered · April 2026 BOLTHOUSE INVESTMENT MANAGEMENT SERVICESBAKERSFIELD, CA · aum crossed 500m · April 2025 BOLTON GLOBAL ASSET MANAGEMENTBOLTON, MA · headcount down · April 2026 BOLTON INVESTMENTTOWSON, MD · aum up · April 2026 BOLTWOOD CAPITAL MANAGEMENTWALNUT CREEK, CA · aum crossed 500m · May 2026 BONA FIDE WEALTHaum up · April 2026 BONACCORD CAPITAL PARTNERSNEW YORK, NY · rename · April 2026 BOND & DEVICK WEALTH PARTNERSSAINT LOUIS PARK, MN · state expansion · March 2025 BOND TECH INCBELLBROOK, OH · state expansion · June 2025 BONDBLOXXLARKSPUR, CA · aum up · April 2026 BONDURANT INVESTMENT ADVISORY, LLCEVANSTON, IL · planning clients up · February 2026 BONE FIDE WEALTHNEW YORK, NY · aum up · April 2026 BONFIRE FINANCIAL, LLCCOLORADO SPRINGS, CO · state expansion · June 2026 BONNER & SMITH, LLCLUBBOCK, TX · planning clients up · February 2024 BONTEMPO OHLY CAPITAL MANAGEMENT, LLCBETHESDA, MD · state expansion · June 2025 BOOKENDS FINANCIAL PLANNINGINDIANAPOLIS, IN · wrap program started · April 2026 BOON CAPITAL ADVISORS LLCNORTHBROOK, IL · planning clients up · March 2025 BOON INVESTMENT GROUP, INC.AUSTIN, TX · new registration · April 2024 BOONE CAPITAL MANAGEMENT LLCATLANTA, GA · aum up · April 2026 BOONE WEALTH ADVISORS, LLCBELLEVUE, WA · aum crossed 500m · April 2025 BOOSTER ASSET MANAGEMENT, LLCWHEATON, IL · aum up · March 2026 BOOSTER, LLCBALTIMORE, MD · new office · July 2025 BOOTHBAY FUND MANAGEMENTNEW YORK, NY · new office · September 2026 BORABOND, LLCFRAMINGHAM, MA · custody started · February 2026 BORDEAUX WEALTH ADVISORSMENLO PARK, CA · deregistered · December 2025 BORDERLESS MANAGEMENT LLCCLERMONT, FL · disclosure added · August 2025 BORIA WEALTH MANAGEMENT, LTDWAYZATA, MN · new registration · October 2026 BORNITE CAPITAL MANAGEMENT LPNEW YORK, NY · aum up · April 2026 BOS ASSET MANAGEMENT, LLCSPRINGFIELD, IL · aum crossed 1b · September 2026 BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITEDHONG KONG · aum up · May 2026 BOSMAN WEALTH MANAGEMENT, LLCREDLANDS, CA · new registration · April 2025 BOSSLIFETORONTO · deregistered · April 2024 BOSTON ASSET MANAGEMENT, INC.CLEARWATER, FL · deregistered · April 2025 BOSTON FAMILY ADVISORS LLCBOSTON, MA · aum up · April 2025 BOSTON FAMILY OFFICE LLCBOSTON, MA · planning started · March 2024 BOSTON FINANCIAL MANAGEMENT LLCBOSTON, MA · deregistered · December 2025 BOSTON MANAGEMENT AND RESEARCHBOSTON, MA · headcount down · April 2026 BOSTON MOUNTAIN MONEY MANAGEMENT, INC.BENTONVILLE, AR · deregistered · October 2024 BOSTON OMAHA ASSET MANAGEMENTOMAHA, NE · deregistered · February 2025 BOSTON PARTNERSBOSTON, MA · headcount up · April 2024 BOSTON PORTFOLIO ADVISERSBOSTON, MA · new registration · May 2026 BOSTON STANDARD WEALTH MANAGEMENT, LLCWINCHESTER, MA · state expansion · December 2025 BOSTON TRUST WALDEN INC.BOSTON, MA · website changed · April 2025 BOSTONPREMIER WEALTHHINGHAM, MA · relocation · May 2026 BOUCHEY FINANCIAL GROUP, LTD.TROY, NY · rename · October 2026 BOULAY WEALTHEDEN PRAIRIE, MN · state expansion · September 2026 BOULDER ASSET MANAGEMENTENGLEWOOD, CO · custody started · April 2025 BOULDER HILL CAPITAL MANAGEMENT LPNEW YORK, NY · deregistered · August 2025 BOULDER WEALTH ADVISORS, LLCBOULDER, CO · aum up · April 2024 BOULEVARDBLOOMINGTON, MN · new registration · February 2026 BOULEVARD FAMILY WEALTHBEVERLY HILLS, CA · deregistered · June 2025 BOULEVARD FAMILY WEALTH SERVICES, LLCBEVERLY HILLS, CA · deregistered · April 2024 BOUNDARY CREEK ADVISORS LPaum down · April 2026 BOUNTIFUL INVESTMENT MANAGEMENT LLCRUMFORD, RI · new registration · May 2024 BOURGEON CAPITAL MANAGEMENT LLCDARIEN, CT · aum crossed 1b · April 2026 BOURKE WEALTH MANAGEMENTSANTA BARBARA, CA · state expansion · October 2024 BOURNE LENT ASSET MANAGAMENT, INC.PAWLING, NY · state expansion · January 2026 BOUSSARD & GAVAUDAN INVESTMENT MANAGEMENT LLPLONDON · deregistered · August 2026 BOUVEL INVESTMENT PARTNERS, LLCPHOENIXVILLE, PA · new office · April 2025 BOW CAPITAL MANAGEMENT, LLCMENLO PARK, CA · deregistered · December 2024 BOW RIVER ADVISERS, LLCDENVER, CO · aum crossed 1b · April 2026 BOW RIVER CAPITALDENVER, CO · custody started · July 2026 BOW STREET LLCNEW YORK, NY · aum up · April 2026 BOW WAVE CAPITAL MANAGEMENT, LPNEW YORK, NY · website changed · April 2024 BOWERS WEALTH MANAGEMENT, INC.GLENBROOK, NV · state expansion · February 2026 BOWIE CAPITAL MANAGEMENT, LLCRICHARDSON, TX · aum up · April 2026 BOX FINANCIAL ADVISORS, LLCGRAPEVINE, TX · private funds started · April 2025 BOX HILL PRIVATE WEALTHnew registration · April 2026 BOXER CAPITAL MANAGEMENT, LLCSAN DIEGO, CA · headcount down · April 2026 BOYAR ASSET MANAGEMENT, INC.NEW YORK, NY · state expansion · April 2024 BOYCE & ASSOCIATES WEALTH CONSULTING, INC.CEDAR PARK, TX · aum up · April 2026 BOYD CAPITALROCHESTER, NY · aum up · June 2026 BOYD FINANCIAL STRATEGIES, INC.AUBURN, MA · new office · April 2025 BOYD WATTERSON ASSET MANAGEMENT, LLCCLEVELAND, OH · headcount up · April 2026 BOYD WEALTH MANAGEMENT, LLCSACRAMENTO, CA · planning clients up · April 2024 BOYER FINANCIAL SERVICES, INC.NEWPORT BEACH, CA · custody started · July 2025 BOYLE CAPITALWEST DES MOINES, IA · state expansion · August 2026 BOYNE CAPITALMIAMI, FL · aum crossed 1b · April 2026 BOYUM WEALTH ARCHITECTS LLCBLOOMINGTON, MN · headcount up · February 2026 BP ASSET MANAGEMENT INC.CHARLOTTE, NC · new registration · March 2026 BP CAPITAL ENERGY ADVISORS, LLCDALLAS, TX · aum down · April 2025 BPGC MANAGEMENT LPNEW YORK, NY · aum down · April 2025 BPM WEALTH ADVISORS, LLCSAN FRANCISCO, CA · aum up · February 2026 BPOCCHICAGO, IL · rename · April 2024 BPP WEALTH SOLUTIONS, LLCBASKING RIDGE, NJ · state expansion · February 2026 BPS CAPITAL MANAGEMENT, INC.BLOOMINGTON, MN · headcount down · February 2024 BPS WEALTH ADVISORS, INC.CANFIELD, OH · website changed · May 2026 BQS FINANCIAL ADVISORS, LLCNEW YORK, NY · aum up · April 2026 BR WEALTH MANAGEMENTBOISE, ID · headcount up · April 2026 BRACCO ASSET MANAGEMENTPURCHASE, NY · aum up · April 2026 BRACEBRIDGE CAPITAL, LLCBOSTON, MA · headcount up · April 2026 BRACKENWOOD CAPITAL MANAGEMENT, LLCBAINBRIDGE ISLAND, WA · new registration · June 2026 BRACKET CAPITALWEST HOLLYWOOD, CA · aum up · April 2026 BRADESCO GLOBAL ADVISORSCORAL GABLES, FL · headcount up · March 2025 BRADFORD FINANCIAL CENTERCLARION, IA · headcount up · April 2026 BRADFORD FINANCIAL SERVICES CORPrename · March 2025 BRADLEY & COMPANY PRIVATE WEALTH MANAGEMENT, LLCaum up · April 2025 BRADLEY FOSTER & SARGENT INCHARTFORD, CT · state expansion · March 2026 BRADLEY WEALTH LLCSCOTTSDALE, AZ · aum down · April 2026 BRADY FAMILY WEALTH, LLCSAINT LOUIS, MO · state expansion · August 2025 BRADY MARTZ WEALTH SOLUTIONS, LLCGRAND FORKS, ND · state expansion · July 2026 BRADYCO FINANCIALnew registration · June 2025 BRAEBURN WEALTH MANAGEMENT, LLCMUSKEGON, MI · planning clients up · March 2026 BRAEMONT CAPITALDALLAS, TX · aum up · April 2026 BRAESWOOD CARBON MANAGEMENT, LLCSAN FRANCISCO, CA · aum up · April 2026 BRAGG FINANCIAL ADVISORS INCCHARLOTTE, NC · state expansion · December 2025 BRAIDWELL LPSTAMFORD, CT · aum down · October 2026 BRAINS INVESTMENTS, LLCderegistered · June 2026 BRAINVEST WEALTH MANAGEMENT LLCMIAMI, FL · headcount up · April 2026 BRAMSHILL INVESTMENTS, LLCNAPLES, FL · headcount up · April 2025 BRANCHES + ROOTS INVESTMENT MANAGEMENTSARATOGA SPRINGS, NY · deregistered · April 2026 BRAND ASSET MANAGEMENT GROUP, INC.CHESTERFIELD, MO · aum crossed 1b · March 2026 BRANDES INVESTMENT PARTNERS, LPLA JOLLA, CA · aum up · April 2026 BRANDON FINANCIAL PLANNING, INC.MEMPHIS, TN · planning clients up · April 2026 BRANDON HILL WEALTH MANAGEMENT, LLCnew registration · May 2026 BRANDYWINE ASSET MANAGEMENTTHORNTON, PA · custody started · July 2026 BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLCPHILADELPHIA, PA · headcount up · January 2026 BRANDYWINE OAK PRIVATE WEALTH LLCKENNETT SQUARE, PA · state expansion · August 2026 BRANSON FOWLKES & CO INCHOUSTON, TX · state expansion · April 2026 BRANSON FOWLKES RUSSELL INCHOUSTON, TX · planning started · April 2025 BRANT POINT INVESTMENT MANAGEMENT LLCNEW YORK, NY · aum crossed 500m · April 2024 BRASA CAPITAL MANAGEMENTLOS ANGELES, CA · aum crossed 1b · April 2024 BRASADA CAPITAL MANAGEMENT, LPHOUSTON, TX · headcount up · April 2024 BRASIL CAPITAL ADVISER LLCAVENTURA, FL · deregistered · December 2025 BRASS TAX WEALTH MANAGEMENTCINCINNATI, OH · deregistered · February 2026 BRAVE EAGLE WEALTH MANAGEMENTNEW YORK, NY · state expansion · October 2026 BRAVE FAMILY ADVISORSSUMMIT, NJ · deregistered · October 2026 BRAVE NEW WEALTHWESTLAKE VILLAGE, CA · deregistered · December 2025 BRAVE WARRIOR ADVISORS, LLCNEW YORK, NY · aum up · April 2024 BRAVIAS FINANCIALISELIN, NJ · state expansion · April 2026 BRAY CAPITAL ADVISORS, LLCNAPLES, FL · deregistered · June 2025 BRAYPARK WEALTH MANAGEMENTCOSTA MESA, CA · deregistered · December 2025 BRAZOS CAPITALAUSTIN, TX · planning clients up · April 2026 BRAZOS WEALTH ADVISORS LLCFORT WORTH, TX · aum up · April 2026 BRB FINANZ USAderegistered · March 2026 BREACH INLET CAPITAL MANAGEMENT, LLCMT. PLEASANT, SC · aum up · April 2026 BREACHWAY INVESTMENTS, LLCCHARLESTOWN, RI · state expansion · March 2024 BREAKAWAY INDEPENDENT ADVISORS, LLCSAN DIEGO, CA · new registration · April 2026 BREAKOUT CAPITAL PARTNERSNEW YORK, NY · aum crossed 1b · April 2026 BREAKOUT FUNDS LLCCHICAGO, IL · deregistered · April 2024 BREAKTHROUGH PROPERTIESLOS ANGELES, CA · new office · April 2026 BREAKTHRU ADVISORY SERVICES, LLCMUSKEGO, WI · planning clients up · May 2026 BREAKWALL INVESTMENT ADVISOR LLCPORT WASHINGTON, NY · headcount down · June 2026 BREAKWATER CAPITAL GROUPPARAMUS, NJ · new office · August 2026 BREAKWATER FINANCIAL, LLCNEEDHAM, MA · new registration · November 2024 BREAKWATER INVESTMENT MANAGEMENTSEATTLE, WA · state expansion · August 2024 BREAKWATER MANAGEMENT, LPCENTURY CITY, CA · deregistered · March 2024 BREAN ASSET MANAGEMENT, LLCSUMMIT, NJ · deregistered · May 2024 BRECKINRIDGE CAPITAL ADVISORS INCBOSTON, MA · headcount down · April 2025 BREEDS HILL CAPITAL LLCBOSTON, MA · deregistered · March 2026 BREGAL INVESTMENTS, INC.NEW YORK, NY · headcount up · April 2026 BREITER WEALTH MANAGEMENT, LLCST. LOUIS, MO · website changed · September 2026 BRENDEL FINANCIAL ADVISORS LLCHANOVER, NH · state expansion · May 2026 BRENTON POINT WEALTH ADVISORS LLCNEW YORK, NY · deregistered · January 2026 BRENTVIEW INVESTMENT MANAGEMENT, LLCROSEMONT, IL · relocation · October 2026 BRENTWOOD PRIVATE EQUITY, LLCLOS ANGELES, CA · headcount down · April 2026 BRETON COMEDFORD, NJ · deregistered · January 2026 BRETTON CAPITAL MANAGEMENTSAN FRANCISCO, CA · aum up · April 2025 BREVAN HOWARD US INVESTMENT MANAGEMENT LPNEW YORK, NY · aum up · April 2026 BREVET CAPITAL MANAGEMENT, LLCNEW YORK, NY · headcount up · April 2025 BREYTA CAPITAL PARTNERSBROOKLYN, NY · new registration · September 2026 BRIA CAPITAL GROUP, LLCWESLEY CHAPEL, FL · aum up · April 2026 BRIAN LOW FINANCIAL GROUP, LLCBATON ROUGE, LA · aum up · April 2026 BRIARWOOD CHASE MANAGEMENT LLCNEW YORK, NY · aum up · April 2026 BRIAUD FINANCIAL ADVISORSCOLLEGE STATION, TX · state expansion · December 2025 BRICK & KYLE ASSOCIATES INCNEWTOWN, PA · planning clients up · May 2026 BRICKELL KEY ASSET MANAGEMENT LIMITEDST. PETER PORT · headcount down · April 2025 BRICKELL KEY ASSET MANAGEMENT LLCCHARLESTON, SC · headcount down · April 2025 BRICKLEY WEALTH MANAGEMENTSAN MATEO, CA · state expansion · September 2026 BRICKSTONE ADVISORSderegistered · June 2025 BRICKTOWN CAPITAL, LLCDETROIT, MI · headcount up · April 2024 BRICKWOOD ASSET MANAGEMENTLONDON · pending approved · February 2025 BRIDGE ADVISORY LLCPASADENA, CA · deregistered · January 2025 BRIDGE CAPITAL ADVISORSHOUSTON, TX · aum up · December 2025 BRIDGE CITY CAPITAL, LLCLAKE OSWEGO, OR · aum up · April 2025 BRIDGE CREEK CAPITAL MANAGEMENT LLCWEST BARNSTABLE, MA · deregistered · March 2026 BRIDGE FINANCIAL PLANNING, LLCcustody started · March 2026 BRIDGE GENERATIONS WEALTH MANAGEMENTSOUTH MIAMI, FL · state expansion · April 2026 BRIDGE GROWTH PARTNERS, LLCNEW YORK, NY · aum down · April 2025 BRIDGE INVESTMENT GROUPSANDY, UT · headcount down · April 2026 BRIDGE NET LEASE FUND MANAGER LLCSANDY, UT · disclosure added · December 2025 BRIDGE33 INVESTMENT MANAGEMENT LLCSEATTLE, WA · aum crossed 1b · April 2026 BRIDGECREEK FINANCIAL GROUPTULSA, OK · pending approved · August 2026 BRIDGEFRONT CAPITAL, LLCAUSTIN, TX · aum up · April 2026 BRIDGEINVEST LLCMIAMI, FL · headcount up · April 2024 BRIDGELIGHT CAPITAL LLCSCOTTSDALE, AZ · state expansion · April 2025 BRIDGELIGHT FINANCIAL ADVISORS, INCSHELTON, CT · new registration · December 2025 BRIDGEMARK WEALTH MANAGEMENTROCKVILLE, MD · deregistered · January 2025 BRIDGEPOINT LLCNEW YORK, NY · aum up · April 2026 BRIDGEPORT FINANCIAL SOLUTIONSPHOENIX, AZ · aum crossed 1b · April 2026 BRIDGEPORT PARTNERSNEW YORK, NY · aum up · September 2026 BRIDGER INVESTMENT PARTNERS LLCNEW YORK, NY · aum up · April 2025 BRIDGES CAPITAL LLCFORT LAUDERDALE, FL · aum up · February 2026 BRIDGES INVESTMENT MANAGEMENT INCOMAHA, NE · planning clients up · April 2025 BRIDGEVIEW CAPITAL ADVISORS, INC.EL DORADO HILLS, CA · planning clients up · October 2026 BRIDGEWATER ADVISORS INC.NEW YORK, NY · custody started · April 2026 BRIDGEWATER ASSET MANAGEMENT LLCCHESTERFIELD, MO · state expansion · April 2025 BRIDGEWATER ASSOCIATES, LPWESTPORT, CT · new office · April 2026 BRIDGEWAY CAPITAL MANAGEMENT, LLCHOUSTON, TX · headcount down · April 2026 BRIDGEWAY WEALTH MANAGEMENT, LLCCEDAR RAPIDS, IA · planning clients up · March 2026 BRIDGEWAY WEALTH PARTNERS, LLCNEW YORK, NY · deregistered · April 2024 BRIDGEWEALTH ADVISORY GROUP, LLCFRESNO, CA · headcount up · April 2025 BRIDGEWORTH WEALTH MANAGEMENTBIRMINGHAM, AL · deregistered · April 2024 BRIDPORT INVESTMENTS LLCderegistered · April 2026 BRIGGS WEALTH MANAGEMENT, INC.GLASTONBURY, CT · aum up · February 2026 BRIGHAM MANAGEMENT, LLCAUSTIN, TX · aum crossed 1b · April 2026 BRIGHAM ROYALTIES MANAGEMENT, LLCAUSTIN, TX · headcount up · April 2026 BRIGHT ADVISORSGREENWOOD VILLAGE, CO · pending approved · May 2026 BRIGHT ANGEL ADVISORS LLCST. PAUL, MN · state expansion · April 2025 BRIGHT FINANCIAL ADVISORS, INC.PORTAGE, MI · aum up · February 2026 BRIGHT FUTURES WEALTH MANAGEMENT, LLCWEBSTER, NY · new office · April 2026 BRIGHT LAKE WEALTH MANAGEMENT, LLCREDDING, CA · relocation · June 2026 BRIGHT PATH SPORTS PARTNERS, LLCCLEVELAND, OH · aum up · April 2026 BRIGHT PORTFOLIOS, LLCLEE'S SUMMIT, MO · aum up · April 2026 BRIGHT ROAD WEALTH MANAGEMENT, LLCANCHORAGE, AK · custody started · April 2026 BRIGHT ROCK CAPITAL MANAGEMENT LLCHANOVER, MA · aum crossed 500m · April 2026 BRIGHT WEALTH MANAGEMENT, LLCLEWISVILLE, TX · custody started · May 2026 BRIGHTER FINANCIAL CAPITAL MANAGEMENT, LLCRESTON, VA · new office · October 2026 BRIGHTHOUSE INVESTMENT ADVISERS, LLCCHARLOTTE, NC · headcount up · April 2024 BRIGHTLINE CAPITAL MANAGEMENT, LLCMIAMI, FL · aum up · April 2026 BRIGHTON JONES LLCSEATTLE, WA · new office · August 2026 BRIGHTON PARK CAPITALGREENWICH, CT · new office · April 2026 BRIGHTON SECURITIES CAPITAL MANAGEMENT, INC.ROCHESTER, NY · deregistered · July 2024 BRIGHTON SECURITIES CORP.ROCHESTER, NY · state expansion · May 2026 BRIGHTON WEALTH MANAGEMENT, INC.COTTONWOOD HEIGHTS, UT · new registration · September 2026 BRIGHTPATH WEALTH PLANNING, LLCCAMARILLO, CA · planning clients up · April 2026 BRIGHTPLAN LLCSAN JOSE, CA · headcount up · April 2026 BRIGHTREE WEALTH MANAGEMENT, LLCaum up · April 2026 BRIGHTSIDE CAPITAL PARTNERS LLCLANTANA, FL · headcount up · February 2026 BRIGHTSIDE PARTNERSBALTIMORE, MD · deregistered · April 2025 BRIGHTSTAR CAPITAL PARTNERSNEW YORK, NY · headcount up · April 2026 BRIGHTSTONE CAPITAL MANAGEMENT, LLCST. CLAIR, PORT OF SPAIN · aum up · April 2025 BRIGHTWATER ADVISORY, LLCTAMPA, FL · website changed · April 2025 BRIGHTWOOD CAPITAL ADVISORS, LLCNEW YORK, NY · headcount up · April 2025 BRILLIANCE ASSET MANAGEMENT LIMITEDHONG KONG · relocation · February 2025 BRILLIANT ADVICE, LLCCINCINNATI, OH · aum crossed 500m · June 2026 BRIMSTONE ASSET MANAGEMENT COMPANY LIMITEDHONG KONG · aum down · April 2025 BRINDLE & BAY FINANCIAL ADVISORS, LLCFRISCO, TX · state expansion · August 2026 BRINLEY PARTNERS, LPNEW YORK, NY · headcount up · April 2026 BRIO FINANCIAL GROUPSAN FRANCISCO, CA · state expansion · October 2026 BRISTLECONE ADVISORS LLCBELLEVUE, WA · deregistered · December 2025 BRISTOL GATE CAPITAL PARTNERS INC.TORONTO · aum down · June 2026 BRISTOL WEALTH GROUPTAUNTON, MA · planning clients up · April 2025 BRITE ADVISORS PTY LTDSYDNEY · deregistered · June 2025 BRITE ADVISORS USA, INC.NEW YORK, NY · deregistered · April 2025 BRITE AVENUE CAPITAL LPSCARSDALE, NY · new registration · September 2026 BRIXEY & MEYER CAPITAL LLCCINCINNATI, OH · new registration · August 2025 BRIXTON CAPITAL WEALTH ADVISORS, LLCGARDEN CITY, NY · state expansion · December 2025 BRM INVESTMENT MANAGEMENT LLCderegistered · April 2024 BROAD BAY CAPITAL MANAGEMENT LPNEW YORK, NY · aum up · April 2026 BROAD REACH CAPITAL LLCRALEIGH, NC · aum up · March 2026 BROAD REACH INVESTMENT MANAGEMENT LLPLONDON · headcount up · July 2026 BROAD REACH RETAIL PARTNERS LLCMILLERSVILLE, MD · new registration · September 2026 BROAD SKY PARTNERS LLCNEW YORK, NY · headcount up · April 2026 BROADCORE INVESTMENTS LPderegistered · July 2024 BROADCREST ASSET MANAGEMENT, LLCWINTER PARK, FL · aum up · April 2024 BROADHURST FINANCIAL ADVISORS, INC.AUSTIN, TX · relocation · July 2026 BROADLAKE FINANCIAL MANAGEMENTSOUTH BURLINGTON, VT · state expansion · April 2024 BROADLEAF PARTNERS, LLCHUDSON, OH · state expansion · July 2026 BROADLIGHT CAPITAL MANAGEMENT, LLCGREENWICH, CT · aum up · April 2026 BROADMARK ASSET MANAGEMENT LLCDALLAS, TX · state expansion · April 2025 BROADOAK ASSET MANAGEMENT, LLCBETHESDA, MD · aum crossed 500m · April 2025 BROADRIVER ASSET MANAGEMENT, L.P.NEW YORK, NY · aum up · April 2026 BROADSHORE CAPITAL PARTNERS, LLCLOS ANGELES, CA · headcount down · December 2025 BROADSIDE WEALTHSAN FRANCISCO, CA · pending approved · October 2026 BROADVIEW FINANCIAL MANAGEMENT, LLCWAUWATOSA, WI · planning clients up · April 2026 BROADVIEW MANAGEMENT, LLCST. LOUIS, MO · new registration · April 2025 BROADVIEW WEALTH MANAGEMENT, LLCaum up · April 2026 BROADVIEW WEALTH PARTNERSBOULDER, CO · new office · October 2026 BROADWATER CAPITAL MANAGEMENT LLCBOSTON, MA · state expansion · February 2024 BROADWAY ADVISOR GROUPALBANY, NY · aum up · April 2026 BROADWAY WEALTH SOLUTIONSSAN ANTONIO, TX · state expansion · April 2025 BROADWEALTH LLCcustody started · March 2024 BROADWING CAPITAL ADVISORS, INC.LARKSPUR, CA · planning clients up · March 2025 BROADWING CAPITAL MANAGEMENT LLCDALLAS, TX · aum crossed 500m · April 2026 BROADWOOD CAPITAL, INCNEW YORK, NY · aum up · April 2026 BROCK FIDUCIARY SERVICES LLCNEW YORK, NY · aum down · May 2026 BROCKENBROUGHRICHMOND, VA · website changed · December 2025 BROGAN FINANCIALKNOXVILLE, TN · state expansion · April 2026 BROMFIELD SNEIDER WEALTH ADVISORS, INC.WESTWOOD, MA · deregistered · August 2024 BRONTE CAPITALBONDI JUNCTION · aum up · October 2026 BROOK CAPITALBROOKFIELD, WI · state expansion · February 2026 BROOKER WEALTH MANAGEMENTOAKLAND, CA · new office · March 2026 BROOKFIELD ASSET MANAGEMENT PIC ADVISER (PRIVATE EQUITY), L.P.TORONTO, ONTARIO · headcount up · April 2026 BROOKFIELD ASSET MANAGEMENT PIC BMG, LLCNEW YORK, NY · headcount up · April 2026 BROOKFIELD ASSET MANAGEMENT PIC CANADA, LPTORONTO, ONTARIO · headcount up · April 2026 BROOKFIELD ASSET MANAGEMENT PIC US, LLCNEW YORK, NY · headcount up · April 2026 BROOKFIELD BHS ADVISORS LLCNEW YORK, NY · deregistered · April 2024 BROOKFIELD PUBLIC SECURITIES GROUP LLCNEW YORK, NY · disclosure added · October 2026 BROOKFIELD RENEWABLE ENERGY GROUP LLCTORONTO, ONTARIO · headcount up · April 2026 BROOKLANDSLONDON · aum crossed 1b · April 2026 BROOKLAWN CAPITAL ADVISORSNEW YORK, NY · planning clients up · April 2025 BROOKLINE INVESTMENTS, INC.BIRMINGHAM, AL · aum down · May 2026 BROOKLINE WEALTH, LLCAUSTIN, TX · aum up · April 2026 BROOKLYN FI, LLCBROOKLYN, NY · new office · October 2026 BROOKLYN INVESTMENT GROUP, LLCNEW YORK, NY · deregistered · June 2026 BROOKMONT CAPITAL MANAGEMENTDALLAS, TX · state expansion · April 2026 BROOKNOLL ADVISORS LLCBOSTON, MA · aum crossed 1b · April 2025 BROOKSIDE STRATEGY AND CONSULTINGderegistered · December 2025 BROOKSTONE ASSET MANAGEMENT, LLCWHEATON, IL · aum crossed 500m · February 2025 BROOKSTONE CAPITAL MANAGEMENT LLCWHEATON, IL · planning clients up · March 2025 BROOKSTONE WEALTH ADVISORS, LLCWHEATON, IL · headcount up · March 2025 BROOKSTONE WEALTH MANAGEMENT, INC.OXFORD, MA · new registration · October 2026 BROOKWOOD ADVISORS, LLCBEVERLY, MA · pending approved · June 2026 BROOKWOOD INVESTMENT GROUPPHOENIX, AZ · planning clients up · April 2026 BROPHY WEALTH MANAGEMENT, LLCBEDFORD, NH · headcount up · April 2026 BROUSSARD FINANCIAL GROUP, LLCKAPLAN, LA · new registration · August 2024 BROWN ADVISORYBALTIMORE, MD · state expansion · April 2025 BROWN ADVISORYNORFOLK, VA · headcount down · April 2026 BROWN ADVISORY INVESTMENT SOLUTIONS GROUP LLCBALTIMORE, MD · new office · April 2026 BROWN ADVISORY LTD.LONDON · headcount up · April 2026 BROWN BROTHERS HARRIMAN CREDIT PARTNERS, LLCNEW YORK, NY · pending approved · February 2026 BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENTNEW YORK, NY · headcount down · March 2026 BROWN CAPITAL MANAGEMENT, LLCLITTLE ROCK, AR · new registration · May 2024 BROWN CAPITAL MANAGEMENT, LLCBALTIMORE, MD · aum down · April 2026 BROWN EDWARDS WEALTH STRATEGIESLYNCHBURG, VA · state expansion · September 2026 BROWN FINANCIAL ADVISORS, LLCMILFORD, OH · state expansion · December 2024 BROWN FINANCIAL ADVISORYFAIRHOPE, AL · aum up · April 2026 BROWN FINANCIAL MANAGEMENT GROUP, LLCLATHAM, NY · deregistered · January 2026 BROWN WEALTH MANAGEMENT, LLCEDEN PRAIRIE, MN · deregistered · January 2026 BROWN | MILLER WEALTH MANAGEMENT, LLCMCLEAN, VA · headcount up · April 2026 BROWN, LISLE/CUMMINGS, INCPROVIDENCE, RI · aum up · March 2024 BROWNING CAPITAL MANAGEMENT LLCderegistered · July 2026 BROWNING WEST LPLOS ANGELES, CA · aum up · April 2026 BROWNLEE WEALTH MANAGEMENTHOUSTON, TX · aum up · March 2026 BROWNLIE & BRADEN ADVISORS, LLCDALLAS, TX · deregistered · December 2024 BROWNSON, REHMUS & FOXWORTH, INC.CHICAGO, IL · planning clients up · April 2024 BROYHILL ASSET MANAGEMENT, LLCCHARLOTTE, NC · aum up · April 2024 BRS FINANCIAL LLCLITTLE ROCK, AR · deregistered · January 2025 BRUCE & CO INCCHICAGO, IL · disclosure added · April 2024 BRUCKE FINANCIAL, INC.aum up · April 2026 BRUCKMANN, ROSSER, SHERRILL & CO., MANAGEMENT, L.P.NEW YORK, NY · aum down · April 2026 BRUDERMAN PRIVATE WEALTHLOCUST VALLEY, NY · planning clients up · March 2026 BRUNI J V & COCOLORADO SPRINGS, CO · aum crossed 1b · April 2026 BRUTON CHISNELL ADVISORS, LLCDOWNINGTOWN, PA · custody started · November 2024 BRX GLOBALGREENWICH, CT · new registration · August 2025 BRYANT PARK FUNDING CLO MANAGEMENT LLCNEW YORK, NY · headcount down · April 2026 BRYCE POINT CAPITAL LLCSCARSDALE, NY · deregistered · January 2026 BRYDEN-ABRAMS INVESTMENT MANAGEMENT LLCNEW YORK, NY · aum up · April 2026 BRYN MAWR TRUST ADVISORS, LLCPHILADELPHIA, PA · new office · May 2026 BRYNWOOD PARTNERSGREENWICH, CT · headcount up · April 2025 BSC CAPITAL PARTNERS, LLCWEST DES MOINES, IA · new registration · June 2026 BSG ADVISERSAPEX, NC · new registration · February 2026 BSIP SLP GP, LLCFRISCO, TX · aum crossed 1b · April 2025 BSP CLO MANAGEMENT LLCNEW YORK, NY · aum up · April 2026 BSP NY LLCNEW YORK, NY · rename · March 2026 BSW WEALTH PARTNERSBOULDER, CO · state expansion · April 2026 BT FAMILY OFFICE, LLCATLANTA, GA · headcount up · April 2026 BTC CAPITAL MANAGEMENTDES MOINES, IA · headcount down · April 2024 BTG PACTUAL ASSET MANAGEMENT US , LLCNEW YORK, NY · disclosure added · October 2026 BTS ASSET MANAGEMENT, INC.LINCOLN, MA · website changed · April 2026 BUCHANAN WEALTH MANAGEMENTRESTON, VA · new office · September 2026 BUCHER WEALTH ADVISORSSAN MATEO, CA · state expansion · December 2025 BUCK WEALTH STRATEGIES, LLCDENVER, CO · state expansion · May 2026 BUCKET LIST WEALTH MANAGEMENT, LLCTHE VILLAGES, FL · custody started · April 2026 BUCKEYE-PACIFICNAPLES, FL · relocation · April 2026 BUCKHEAD CAPITAL MANAGEMENT, LLCATLANTA, GA · new office · April 2026 BUCKHORN RESOURCES, LPHOUSTON, TX · new registration · August 2025 BUCKINGHAM CAPITAL MANAGEMENT, INC.DAYTON, OH · deregistered · April 2025 BUCKINGHAM FINANCIAL GROUP, INC.DAYTON, OH · deregistered · April 2025 BUCKINGHAM STRATEGIC WEALTH, LLCST LOUIS, MO · deregistered · December 2024 BUCKLEY CAPITAL ADVISORS, LLCMIAMI BEACH, FL · aum up · April 2026 BUCKLEY WEALTHLAS VEGAS, NV · rename · April 2026 BUCKRAM SECURITIES LTDLOCUST VALLEY, NY · aum up · March 2026 BUCKS CAPITAL ADVISERSNEWTOWN, PA · state expansion · October 2026 BUENWEALTHMIAMI, FL · deregistered · December 2025 BUFFALO FIRST WEALTH MANAGEMENT, LLCWILLIAMSVILLE, NY · aum up · February 2025 BUFFERLABSHENDERSON, NV · state expansion · January 2026 BUFFINGTON MOHR MCNEALBOISE, ID · deregistered · July 2025 BUILD ASSET MANAGEMENTJEFFERSON CITY, MO · custody started · April 2026 BUILDER INVESTMENT GROUPATLANTA, GA · aum up · April 2024 BUILDGROUP MANAGEMENTAUSTIN, TX · aum down · April 2026 BULL HARBOR CAPITAL LLC.BETHESDA, MD · headcount up · April 2026 BULL OAK CAPITAL, LLCRANCHO SANTA FE, CA · aum up · April 2026 BULLDOG INVESTORS, LLPSADDLE BROOK, NJ · aum crossed 500m · April 2026 BULLET VENTURES MANAGEMENT LTDnew registration · January 2026 BULLETPROOF CAPITAL, LLCCHICAGO, IL · new registration · June 2026 BULLGROUNDCIUDAD DE MÉXICO · new registration · January 2026 BULLSEYE ASSET MANAGEMENT LLCDENVER, CO · custody started · April 2024 BULLSEYE INVESTMENT GROUPaum up · February 2026 BULLSEYE INVESTMENT MANAGEMENT, LLCCINCINNCIATI, OH · disclosure added · April 2026 BULLTICK WEALTH MANAGEMENT, LLCMIAMI, FL · new office · December 2025 BULLTICK4U ADVISOR, LLCMIAMI, FL · disclosure added · April 2026 BULMAN WEALTH GROUPROSEVILLE, CA · aum up · March 2026 BULWARK CAPITAL CORPORATIONaum up · February 2026 BUNKERSAN FRANCISCO, CA · aum up · April 2026 BUOYANT CAPITAL PRIVATE LIMITEDMUMBAI · aum up · July 2026 BURFORD BROTHERS, INC.DALLAS, TX · aum up · April 2024 BURFORD CAPITAL INVESTMENT MANAGEMENT LLCCHICAGO, IL · headcount up · April 2026 BURGESS CHAMBERS & ASSOCIATES INCORLANDO, FL · new office · April 2026 BURGESS INVESTMENT MANAGEMENT AND RESEARCH INC.TORONTO, ONTARIO · aum up · April 2024 BURGUNDY ASSET MANAGEMENT LTD.TORONTO, ONTARIO · headcount down · February 2026 BURKE WEALTH MANAGEMENT, LLCHOUSTON, TX · new registration · May 2026 BURKEHILL GLOBAL MANAGEMENT, LPNEW YORK, NY · headcount up · April 2026 BURKETT FINANCIAL SERVICES, LLCROCK HILL, SC · aum crossed 500m · March 2026 BURKHOLDER & ASSOCIATES, LLCWASHINGTON, DC · relocation · July 2026 BURKHOLDER WEALTH MANAGEMENTTULSA, OK · state expansion · October 2026 BURLING WEALTH PARTNERSCHICAGO, IL · aum crossed 1b · April 2026 BURLINGAME WEALTH MANAGEMENT, LLCBURLINGAME, CA · new registration · October 2026 BURNE FINANCIAL CONCEPTS, LLCWATERTOWN, CT · state expansion · February 2026 BURNHAM & COMPANY LLCGRAND RAPIDS, MI · headcount down · April 2026 BURNHAM STERLING ASSET MANAGEMENT LLCCOS COB, CT · new registration · August 2024 BURNS MATTESON CAPITAL MANAGEMENT, LLCCORNING, NY · new office · April 2026 BURR FINANCIAL SERVICES, LLCstate expansion · March 2026 BURT ASSET MANAGEMENT, INC.new registration · May 2025 BURT WEALTH ADVISORSNORTH BETHESDA, MD · deregistered · April 2026 BURTON ENRIGHT WELCHWALNUT CREEK, CA · state expansion · August 2026 BUSEY CAPITAL MANAGEMENT, INC.URBANA, IL · aum up · April 2026 BUSH WEALTH MANAGEMENTVALDOSTA, GA · state expansion · January 2025 BUSKA WEALTH MANAGEMENT, LLCWAUSAU, WI · state expansion · June 2026 BUTLER HALL CAPITAL LLCLOS ANGELES, CA · new registration · August 2026 BUTTERFLY EQUITY LPBEVERLY HILLS, CA · aum up · April 2025 BUTTERWORTH FINANCIAL LLCDANVERS, MA · new registration · December 2025 BUTTONWOOD CAPITAL MANAGEMENT (BCM)SCOTTSDALE, AZ · aum up · February 2024 BUTTONWOOD FINANCIAL ADVISORS, INC.BALTIMORE, MD · planning clients up · April 2026 BUTTONWOOD FINANCIAL GROUP, LLCKANSAS CITY, MO · state expansion · January 2026 BUTTONWOOD GROUP ADVISORS LLCUNIONDALE, NY · new registration · March 2026 BUTTONWOOD WEALTHWINCHESTER, VA · aum up · March 2026 BV INVESTMENT PARTNERS, L.P.BOSTON, MA · aum up · April 2026 BVB AND PARTNERS S.A.GENEVA · aum up · April 2024 BVF PARTNERS L.P.SAN FRANCISCO, CA · headcount up · April 2024 BW & ASSOCIATES, INC.ORANGE, CA · state expansion · February 2026 BW ASSET MANAGEMENT LTDGEORGE TOWN · headcount up · April 2026 BWCP, LPDALLAS, TX · aum crossed 1b · April 2026 BX REIT ADVISORS L.L.C.NEW YORK, NY · headcount down · April 2026 BXM WEALTH LLCENGLEWOOD, CO · new office · September 2026 BXMT ADVISORS L.L.C.NEW YORK, NY · private funds started · April 2026 BY CRYPTO MANAGEMENT, LLCLITTLE ROCK, AR · deregistered · October 2026 BYREFORGE MANAGEMENT, LPNEW YORK, NY · new registration · October 2026 BYRNE & COMPANY WEALTH MANAGEMENT, LLCOLYMPIA, WA · planning clients up · March 2025 BYRNE ASSET MANAGEMENT, LLCKINGSTON, NJ · state expansion · December 2025 BYRNE FINANCIAL FREEDOM, LLCFRANKLIN, MA · aum crossed 500m · April 2026 BYRON FINANCIAL, LLCCHARLOTTE, NC · deregistered · September 2024 BYRON PLACE CAPITAL MANAGEMENT, LLCMETUCHEN, NJ · aum up · April 2025 BYWderegistered · April 2025 BZ WEALTH ADVISORS, LLCLITTLETON, CO · headcount up · April 2026