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SOLIST FINANCIAL

TAMPA, FL · CRD 329317 · IAPD ↗ · 8132943737

$130.1MRegulatory AUM
1Advisory reps
1Employees
84Clients
1-10Planning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

95
August 2026 — SOLIST FINANCIAL (TAMPA, FL) is newly SEC-registered with $130.1M RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
60
April 2025 — SOLIST WEALTH MANAGEMENT (TAMPA, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
65
October 2024 — SOLIST WEALTH MANAGEMENT now reports custody of client assets.
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
75
October 2024 — SOLIST WEALTH MANAGEMENT now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
95
February 2024 — SOLIST WEALTH MANAGEMENT (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.