What changed in the February 2024 SEC adviser roster
1290 events across 1012 firms · 1029 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05
348state expansion
132aum up
118new office
92new registration
88planning clients up
72deregistered
54pending approved
51headcount up
47website changed
43disclosure added
42rename
38relocation
Top 25 signals — US wealth firms
98
NORTHSTAR FIDUCIARY PARTNERS, LLC (location n/a) is newly SEC-registered with $451.7M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FC WEALTH SOLUTIONS LLC (WESTERVILLE, OH) is newly SEC-registered with $326.0M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CANNELL & SPEARS LLC filed an Item 4A succession naming CANNELL & CO. (CRD 106326) — one firm absorbed the other. IAPD ↗
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
95
THE FOUNDRY FINANCIAL GROUP, INC. (LACONIA, NH) is newly SEC-registered with $198.8M RAUM and 8 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEVEN HILLS FINANCIAL, LLC (TALLAHASSEE, FL) is newly SEC-registered with $109.2M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EMBARK WEALTH MANAGEMENT, LLC (TEMPE, AZ) is newly SEC-registered with $38.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STASH WEALTH, LLC (NEW YORK, NY) is newly SEC-registered with $39.5M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG RETIREMENT (EDINA, MN) is newly SEC-registered with $100.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ANGELUS INVESTMENT CONSULTING, INC. (CORAL GABLES, FL) is newly SEC-registered with $179.7M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOUR FINANCIAL MANAGEMENT (ANN ARBOR, MI) is newly SEC-registered with $114.6M RAUM and 6 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLARION (BIRMINGHAM, AL) is newly SEC-registered with $125.9M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ADVANCED PORTFOLIO STRATEGIES (TORRANCE, CA) is newly SEC-registered with $118.2M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILLENNIAL WEALTH (location n/a) is newly SEC-registered with $145.6M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REVOLUTION CAPITAL, LLC (OMAHA, NE) is newly SEC-registered with $136.7M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ECIO, INC. (MADISON, WI) is newly SEC-registered with $131.1M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROADWEALTH LLC (location n/a) is newly SEC-registered with $123.4M RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORT STREET ASSET MANAGEMENT LLC (HONOLULU, HI) is newly SEC-registered with $126.0M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ATTESSA CAPITAL LLC (TUCSON, AZ) is newly SEC-registered with $108.3M RAUM and 8 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
U.S. CHERRY LLC (ST. PETERSBURG, FL) is newly SEC-registered with $5.2M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KELSEY FINANCIAL, LLC (MOORPARK, CA) is newly SEC-registered with $124.6M RAUM and 7 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STRADA FINANCIAL GROUP LLC (FAIRVIEW, OR) is newly SEC-registered with $107.9M RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PINE HARBOR WEALTH MANAGEMENT LLC (SILVER SPRING, MD) is newly SEC-registered with $158.7M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FRANKLY FINANCES (location n/a) is newly SEC-registered with $124.9M RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CYGNUS CAPITAL ADVISERS, LLC (ATLANTA, GA) is newly SEC-registered with $47.5M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MARIDEA WEALTH MANAGEMENT (BROOKLYN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
By buying window
Who should be calling whom this month.
CRM 416 firms
98
NORTHSTAR FIDUCIARY PARTNERS, LLC (location n/a) is newly SEC-registered with $451.7M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FC WEALTH SOLUTIONS LLC (WESTERVILLE, OH) is newly SEC-registered with $326.0M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CANNELL & SPEARS LLC filed an Item 4A succession naming CANNELL & CO. (CRD 106326) — one firm absorbed the other. IAPD ↗
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
95
THE FOUNDRY FINANCIAL GROUP, INC. (LACONIA, NH) is newly SEC-registered with $198.8M RAUM and 8 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEVEN HILLS FINANCIAL, LLC (TALLAHASSEE, FL) is newly SEC-registered with $109.2M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EMBARK WEALTH MANAGEMENT, LLC (TEMPE, AZ) is newly SEC-registered with $38.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STASH WEALTH, LLC (NEW YORK, NY) is newly SEC-registered with $39.5M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG RETIREMENT (EDINA, MN) is newly SEC-registered with $100.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ANGELUS INVESTMENT CONSULTING, INC. (CORAL GABLES, FL) is newly SEC-registered with $179.7M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOUR FINANCIAL MANAGEMENT (ANN ARBOR, MI) is newly SEC-registered with $114.6M RAUM and 6 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
Financial planning software 346 firms
98
NORTHSTAR FIDUCIARY PARTNERS, LLC (location n/a) is newly SEC-registered with $451.7M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FC WEALTH SOLUTIONS LLC (WESTERVILLE, OH) is newly SEC-registered with $326.0M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE FOUNDRY FINANCIAL GROUP, INC. (LACONIA, NH) is newly SEC-registered with $198.8M RAUM and 8 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEVEN HILLS FINANCIAL, LLC (TALLAHASSEE, FL) is newly SEC-registered with $109.2M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EMBARK WEALTH MANAGEMENT, LLC (TEMPE, AZ) is newly SEC-registered with $38.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STASH WEALTH, LLC (NEW YORK, NY) is newly SEC-registered with $39.5M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG RETIREMENT (EDINA, MN) is newly SEC-registered with $100.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ANGELUS INVESTMENT CONSULTING, INC. (CORAL GABLES, FL) is newly SEC-registered with $179.7M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOUR FINANCIAL MANAGEMENT (ANN ARBOR, MI) is newly SEC-registered with $114.6M RAUM and 6 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLARION (BIRMINGHAM, AL) is newly SEC-registered with $125.9M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
Compliance 529 firms
98
NORTHSTAR FIDUCIARY PARTNERS, LLC (location n/a) is newly SEC-registered with $451.7M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FC WEALTH SOLUTIONS LLC (WESTERVILLE, OH) is newly SEC-registered with $326.0M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CANNELL & SPEARS LLC filed an Item 4A succession naming CANNELL & CO. (CRD 106326) — one firm absorbed the other. IAPD ↗
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
95
THE FOUNDRY FINANCIAL GROUP, INC. (LACONIA, NH) is newly SEC-registered with $198.8M RAUM and 8 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEVEN HILLS FINANCIAL, LLC (TALLAHASSEE, FL) is newly SEC-registered with $109.2M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EMBARK WEALTH MANAGEMENT, LLC (TEMPE, AZ) is newly SEC-registered with $38.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STASH WEALTH, LLC (NEW YORK, NY) is newly SEC-registered with $39.5M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG RETIREMENT (EDINA, MN) is newly SEC-registered with $100.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ANGELUS INVESTMENT CONSULTING, INC. (CORAL GABLES, FL) is newly SEC-registered with $179.7M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOUR FINANCIAL MANAGEMENT (ANN ARBOR, MI) is newly SEC-registered with $114.6M RAUM and 6 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
Portfolio / reporting / TAMP 252 firms
98
NORTHSTAR FIDUCIARY PARTNERS, LLC (location n/a) is newly SEC-registered with $451.7M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FC WEALTH SOLUTIONS LLC (WESTERVILLE, OH) is newly SEC-registered with $326.0M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CANNELL & SPEARS LLC filed an Item 4A succession naming CANNELL & CO. (CRD 106326) — one firm absorbed the other. IAPD ↗
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
95
THE FOUNDRY FINANCIAL GROUP, INC. (LACONIA, NH) is newly SEC-registered with $198.8M RAUM and 8 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEVEN HILLS FINANCIAL, LLC (TALLAHASSEE, FL) is newly SEC-registered with $109.2M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EMBARK WEALTH MANAGEMENT, LLC (TEMPE, AZ) is newly SEC-registered with $38.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STASH WEALTH, LLC (NEW YORK, NY) is newly SEC-registered with $39.5M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG RETIREMENT (EDINA, MN) is newly SEC-registered with $100.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ANGELUS INVESTMENT CONSULTING, INC. (CORAL GABLES, FL) is newly SEC-registered with $179.7M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOUR FINANCIAL MANAGEMENT (ANN ARBOR, MI) is newly SEC-registered with $114.6M RAUM and 6 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
Custodian 93 firms
98
NORTHSTAR FIDUCIARY PARTNERS, LLC (location n/a) is newly SEC-registered with $451.7M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FC WEALTH SOLUTIONS LLC (WESTERVILLE, OH) is newly SEC-registered with $326.0M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE FOUNDRY FINANCIAL GROUP, INC. (LACONIA, NH) is newly SEC-registered with $198.8M RAUM and 8 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEVEN HILLS FINANCIAL, LLC (TALLAHASSEE, FL) is newly SEC-registered with $109.2M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EMBARK WEALTH MANAGEMENT, LLC (TEMPE, AZ) is newly SEC-registered with $38.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STASH WEALTH, LLC (NEW YORK, NY) is newly SEC-registered with $39.5M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG RETIREMENT (EDINA, MN) is newly SEC-registered with $100.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ANGELUS INVESTMENT CONSULTING, INC. (CORAL GABLES, FL) is newly SEC-registered with $179.7M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOUR FINANCIAL MANAGEMENT (ANN ARBOR, MI) is newly SEC-registered with $114.6M RAUM and 6 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLARION (BIRMINGHAM, AL) is newly SEC-registered with $125.9M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
Marketing & brand 501 firms
98
NORTHSTAR FIDUCIARY PARTNERS, LLC (location n/a) is newly SEC-registered with $451.7M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FC WEALTH SOLUTIONS LLC (WESTERVILLE, OH) is newly SEC-registered with $326.0M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE FOUNDRY FINANCIAL GROUP, INC. (LACONIA, NH) is newly SEC-registered with $198.8M RAUM and 8 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEVEN HILLS FINANCIAL, LLC (TALLAHASSEE, FL) is newly SEC-registered with $109.2M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EMBARK WEALTH MANAGEMENT, LLC (TEMPE, AZ) is newly SEC-registered with $38.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STASH WEALTH, LLC (NEW YORK, NY) is newly SEC-registered with $39.5M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG RETIREMENT (EDINA, MN) is newly SEC-registered with $100.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ANGELUS INVESTMENT CONSULTING, INC. (CORAL GABLES, FL) is newly SEC-registered with $179.7M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOUR FINANCIAL MANAGEMENT (ANN ARBOR, MI) is newly SEC-registered with $114.6M RAUM and 6 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLARION (BIRMINGHAM, AL) is newly SEC-registered with $125.9M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
Recruiting & transitions 200 firms
85
RBC CAPITAL MARKETS, LLC grew from 2024 to 2042 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
85
WAVERLY ADVISORS, LLC grew from 46 to 69 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
85
CITY NATIONAL ROCHDALE grew from 100 to 129 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
85
CURI RMB CAPITAL, LLC grew from 49 to 66 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
85
SOUND INCOME STRATEGIES, LLC grew from 73 to 95 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
85
FIRST COMMAND ADVISORY SERVICES grew from 947 to 1050 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
80
CANNELL & SPEARS LLC grew from 9 to 19 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
79
CAPITAL INVESTMENT ADVISORS, LLC grew from 34 to 43 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
78
TRIVIUM POINT ADVISORY, LLC grew from 4 to 14 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
77
POTOMAC FUND MANAGEMENT grew from 17 to 24 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
Integration & migration consulting 49 firms
95
CANNELL & SPEARS LLC filed an Item 4A succession naming CANNELL & CO. (CRD 106326) — one firm absorbed the other. IAPD ↗
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
85
WINDWARD CAPITAL MANAGEMENT CO crossed $1B in regulatory AUM ($940.0M -> $1.18B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
CONNORS INVESTOR SERVICES INC crossed $1B in regulatory AUM ($968.3M -> $1.05B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
MSA FINANCIAL crossed $1B in regulatory AUM ($870.4M -> $1.00B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
THE PLANNING CENTER, INC. crossed $1B in regulatory AUM ($946.6M -> $1.09B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
MIDWEST FINANCIAL PARTNERS crossed $1B in regulatory AUM ($873.5M -> $1.10B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
CLASS VI FAMILY OFFICE, LLC crossed $1B in regulatory AUM ($958.6M -> $1.01B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
GPS WEALTH STRATEGIES GROUP, LLC crossed $1B in regulatory AUM ($879.9M -> $1.07B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
CORNERSTONE WEALTH STRATEGIES, INC. crossed $1B in regulatory AUM ($770.3M -> $1.01B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
FIRST TRUST DIRECT INDEXING crossed $1B in regulatory AUM ($990.1M -> $1.42B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
Fund administration 4 firms
75
MAIRS & POWER now reports 1 private fund(s) ($19.2M gross). IAPD ↗
Fund administrationCompliance
70
ASTRA WEALTH PARTNERS now reports 1 private fund(s) ($425,127 gross). IAPD ↗
Fund administrationCompliance
70
KNOWN WEALTH LLC now reports 1 private fund(s) ($11.0M gross). IAPD ↗
Fund administrationCompliance
70
COTTONWOOD CAPITAL ADVISORS now reports 1 private fund(s) ($4.5M gross). IAPD ↗
Fund administrationCompliance
Office IT & facilities 119 firms
55
RBC CAPITAL MARKETS, LLC added office(s): 311 -> 320 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
LINSCOMB & WILLIAMS added office(s): 4 -> 5 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
LBMC INVESTMENT ADVISORS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
CHURCHILL MANAGEMENT GROUP added office(s): 83 -> 85 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
HBKS WEALTH ADVISORS added office(s): 11 -> 12 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
WAVERLY ADVISORS, LLC added office(s): 8 -> 12 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
CURI RMB CAPITAL, LLC added office(s): 8 -> 12 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
CANNELL & SPEARS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
GREENWICH WEALTH MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
M&A & valuation 68 firms
65
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE, MN) left the SEC roster (was $19.28B RAUM, 1373 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
65
RESOURCE CONSULTING GROUP (ORLANDO, FL) left the SEC roster (was $2.32B RAUM, 16 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
65
MADISON WEALTH MANAGEMENT (CINCINNATI, OH) left the SEC roster (was $1.12B RAUM, 12 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
65
CHAMPION CAPITAL RESEARCH, INC. (HOUSTON, TX) left the SEC roster (was $1.28B RAUM, 3 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
65
TRUVVO PARTNERS LLC (NEW YORK, NY) left the SEC roster (was $3.80B RAUM, 9 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
65
AJ WEALTH (NEW YORK, NY) left the SEC roster (was $2.37B RAUM, 14 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
63
LANDMARK FINANCIAL ADVISORS, LLC (BOWLING GREEN, KY) left the SEC roster (was $503.7M RAUM, 6 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
63
SUTTON WEALTH ADVISORS, INC. (TAMPA, FL) left the SEC roster (was $392.7M RAUM, 3 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
63
CAPITAL POINT FINANCIAL GROUP, LTD. (GLENVIEW, IL) left the SEC roster (was $312.6M RAUM, 10 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
63
WEALTHONE, LLC (ALBANY, NY) left the SEC roster (was $382.2M RAUM, 11 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
Everything else — all segments
state expansion — 348 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
CICCARELLI ADVISORY SERVICES INC notice-filed in AK, AR, DC, MS, OK. IAPD ↗
ComplianceMarketing & brand
55
WAVERLY ADVISORS, LLC notice-filed in AR, CT, IL, KS, MD, ME, MI, MN, NE, NJ, NV, NY, OR, WI. IAPD ↗
ComplianceMarketing & brand
55
CANNELL & SPEARS LLC notice-filed in AZ, CO, DC, DE, GA, ID, IL, MD, ME, MN, NC, NM, PA, RI, TN, TX, VA, VT, WA. IAPD ↗
ComplianceMarketing & brand
55
CAPITAL INVESTMENT ADVISORS, LLC notice-filed in DC, ME, ND, VI, WY. IAPD ↗
ComplianceMarketing & brand
55
COMPOUND PLANNING notice-filed in AL, AR, CT, DE, HI, IA, ID, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NC, ND, NE, NM, RI, SC, SD, VI, VT, WI, WV, WY. IAPD ↗
ComplianceMarketing & brand
55
BEACON TRUST notice-filed in AR, CO, IL, LA, NM, OH, SC. IAPD ↗
ComplianceMarketing & brand
55
FARTHER notice-filed in DC, HI, IA, KS, LA, ND, NE, NH, RI, SD, WV, WY. IAPD ↗
ComplianceMarketing & brand
55
ZCM notice-filed in AK, AL, AR, AZ, CA, CO, CT, FL, GA, HI, IA, ID, IN, KS, KY, LA, MA, MD, ME, MI, MN, MS, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WV, WY. IAPD ↗
ComplianceMarketing & brand
53
SCHWARTZ & CO. notice-filed in GA, IN, NH, NV. IAPD ↗
ComplianceMarketing & brand
53
ASHTON THOMAS SECURITIES, LLC notice-filed in DC, ID, IL, LA, OK, VI. IAPD ↗
ComplianceMarketing & brand
53
COZAD ASSET MANAGEMENT INC notice-filed in GA, IA, NJ, OR. IAPD ↗
ComplianceMarketing & brand
53
LEFAVI WEALTH MANAGEMENT notice-filed in AZ, CA, NH, OR, TX, UT, WY. IAPD ↗
ComplianceMarketing & brand
53
PORTFOLIO STRATEGIES INC NY notice-filed in CO, CT, MA, MI, TX. IAPD ↗
ComplianceMarketing & brand
53
TWO WEST CAPITAL ADVISORS LLC notice-filed in IA, LA, MA, OK. IAPD ↗
ComplianceMarketing & brand
53
CANNELL CAPITAL LLC notice-filed in CA, FL, NJ, NY, PA, TN, TX. IAPD ↗
ComplianceMarketing & brand
53
FUSE PARTNERS, LLC notice-filed in AZ, CA, FL, IA, IL, KS, LA, MI, MN, MO, MT, ND, NE, OH, SD, TN, TX, VA, WI. IAPD ↗
ComplianceMarketing & brand
53
SYMPHONY FINANCIAL, LTD. CO. notice-filed in AR, AZ, HI, IL, MN, NV, SC. IAPD ↗
ComplianceMarketing & brand
53
LEGACY WEALTH MANAGEMENT, LLC notice-filed in AK, AL, IN, KY, OK, RI, SD, WY. IAPD ↗
ComplianceMarketing & brand
53
CLG LLC notice-filed in FL, ID, IL, NC, NY, SC, UT, VA. IAPD ↗
ComplianceMarketing & brand
53
SPINNAKER INVESTMENT GROUP, LLC notice-filed in CO, ID, IL, NC, NH, TN, VA. IAPD ↗
ComplianceMarketing & brand
53
GPS WEALTH STRATEGIES GROUP, LLC notice-filed in LA, MT, NH, NJ. IAPD ↗
ComplianceMarketing & brand
53
BISON ADVISORS notice-filed in NY, OH, UT, WA. IAPD ↗
ComplianceMarketing & brand
53
BELLWETHER WEALTH notice-filed in GA, MN, NC, PA, TN. IAPD ↗
ComplianceMarketing & brand
53
INSPIRE ADVISORS, LLC notice-filed in MS, NJ, NM, SD, UT, VT, WV. IAPD ↗
ComplianceMarketing & brand
53
MILESTONE ASSET MANAGEMENT, LLC notice-filed in DE, FL, NC, NY, OH, TX, VA. IAPD ↗
ComplianceMarketing & brand
53
STRATEGIC ADVOCATES, LLC notice-filed in AK, AL, AZ, IA, IN, MI, MT, NY, OH, OK, SC, TN, WY. IAPD ↗
ComplianceMarketing & brand
53
TITLEIST ASSET MANAGEMENT, LLC notice-filed in IN, LA, MA, MO, NC, NE, NJ. IAPD ↗
ComplianceMarketing & brand
53
ABOUND FINANCIAL notice-filed in AZ, ID, NH, NV, OR, TX, WA. IAPD ↗
ComplianceMarketing & brand
51
DIVERSIFIED, LLC notice-filed in CT, WA, WI. IAPD ↗
ComplianceMarketing & brand
51
ISC FINANCIAL ADVISORS notice-filed in NJ, SC, WV. IAPD ↗
ComplianceMarketing & brand
51
MIDWEST FINANCIAL PARTNERS notice-filed in GA, MI, PA. IAPD ↗
ComplianceMarketing & brand
51
MADISON PARTNERS notice-filed in AZ, CA, SC, WA. IAPD ↗
ComplianceMarketing & brand
51
ONYX BRIDGE WEALTH GROUP LLC notice-filed in CO, DC, MD, TN. IAPD ↗
ComplianceMarketing & brand
50
KEENAN FINANCIAL notice-filed in AZ, GA, MN, NE, NJ, SC, VA. IAPD ↗
ComplianceMarketing & brand
50
EAGLEBROOK ADVISORS notice-filed in AZ, CA, CT, FL, GA, HI, IL, KS, LA, MA, MD, MI, MO, NC, NE, NJ, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, WI. IAPD ↗
ComplianceMarketing & brand
50
FIFTH THIRD WEALTH ADVISORS LLC notice-filed in AK, AR, DC, HI, IA, ID, KS, ME, MI, MO, MS, MT, ND, NE, OR, SD, TN, VA, WV, WY. IAPD ↗
ComplianceMarketing & brand
50
ATFS ADVISERS notice-filed in AL, CO, CT, FL, GA, IL, LA, MA, MI, NJ, NY, OH, PA, TN, TX, WI. IAPD ↗
ComplianceMarketing & brand
50
BROADSTREET GLOBAL ADVISORS, INC. notice-filed in CT, IN, NJ, PA, WA. IAPD ↗
ComplianceMarketing & brand
50
TREASURY INTERACTIVE INVESTMENT ADVISERS LLC notice-filed in AZ, IA, KS, MD, ME, NJ, NM, OK, SC, TN, UT, WI. IAPD ↗
ComplianceMarketing & brand
50
VISTA INVESTMENT PARTNERS notice-filed in CO, FL, IL, OH, TN, TX. IAPD ↗
ComplianceMarketing & brand
49
HUNTER ASSOCIATES LLC notice-filed in CT, IN, ME. IAPD ↗
ComplianceMarketing & brand
49
MIDDLETON & COMPANY INC. notice-filed in NC, NJ, SC. IAPD ↗
ComplianceMarketing & brand
49
DIVERSIFIED MANAGEMENT INC notice-filed in CO, NY. IAPD ↗
ComplianceMarketing & brand
49
MERIDIAN INVESTMENT ADVISORS, INC. notice-filed in GA, KY, TX. IAPD ↗
ComplianceMarketing & brand
49
LBMC INVESTMENT ADVISORS, LLC notice-filed in NC, NM. IAPD ↗
ComplianceMarketing & brand
49
FAS WEALTH PARTNERS, INC. notice-filed in NH, TN. IAPD ↗
ComplianceMarketing & brand
49
WISDOM FINANCIAL SERVICES, L.L.C. notice-filed in MN, NH, TN. IAPD ↗
ComplianceMarketing & brand
49
EXENCIAL WEALTH ADVISORS notice-filed in HI, MS. IAPD ↗
ComplianceMarketing & brand
49
CLEARWATER CAPITAL PARTNERS notice-filed in DC, MO. IAPD ↗
ComplianceMarketing & brand
49
TOTAL CLARITY WEALTH MANAGEMENT, INC notice-filed in AL, MN, NC. IAPD ↗
ComplianceMarketing & brand
49
ELSER FINANCIAL PLANNING, INC. notice-filed in CO, GA. IAPD ↗
ComplianceMarketing & brand
49
GATEWAY INVESTMENT ADVISERS, LLC notice-filed in MA, OH. IAPD ↗
ComplianceMarketing & brand
49
BAY COLONY ADVISORS notice-filed in KS, NV, UT. IAPD ↗
ComplianceMarketing & brand
49
EMPIRICAL WEALTH MANAGEMENT notice-filed in SC, WY. IAPD ↗
ComplianceMarketing & brand
49
ASHTON THOMAS PRIVATE WEALTH notice-filed in CT, NJ. IAPD ↗
ComplianceMarketing & brand
49
LEGACY FINANCIAL GROUP notice-filed in OR, VA, WA. IAPD ↗
ComplianceMarketing & brand
49
PRENTICE WEALTH MANAGEMENT LLC notice-filed in CA, CO, NE. IAPD ↗
ComplianceMarketing & brand
49
PCG WEALTH MANAGEMENT notice-filed in AR, SC, TN. IAPD ↗
ComplianceMarketing & brand
49
DAKOTA WEALTH, LLC notice-filed in DC, NV. IAPD ↗
ComplianceMarketing & brand
49
SUMMIT FINANCIAL, LLC notice-filed in MS, ND. IAPD ↗
ComplianceMarketing & brand
49
CASTELLAN notice-filed in AL, GA, IN. IAPD ↗
ComplianceMarketing & brand
49
KEYSTONE PRIVATE WEALTH notice-filed in CO, GA, SC. IAPD ↗
ComplianceMarketing & brand
49
BROWN | MILLER WEALTH MANAGEMENT, LLC notice-filed in LA, VT, WV. IAPD ↗
ComplianceMarketing & brand
49
FIORI FINANCIAL GROUP notice-filed in MD, NJ, TX. IAPD ↗
ComplianceMarketing & brand
49
ARMSTRONG ADVISORY GROUP INC. notice-filed in IN, UT. IAPD ↗
ComplianceMarketing & brand
49
DIVERSIFY ADVISORY SERVICES, LLC notice-filed in AL, NY. IAPD ↗
ComplianceMarketing & brand
48
SENTINEL CAPITAL SOLUTIONS notice-filed in FL, PA, TN, TX. IAPD ↗
ComplianceMarketing & brand
48
CHILDFREE WEALTH notice-filed in AZ, MD, NC, OR. IAPD ↗
ComplianceMarketing & brand
48
PRAIRIEVIEW WEALTH PARTNERS, LLC notice-filed in FL, IN, TX, WI. IAPD ↗
ComplianceMarketing & brand
48
NEW HORIZONS WEALTH MANAGEMENT notice-filed in FL, NY, PA, WA. IAPD ↗
ComplianceMarketing & brand
47
HARBOUR INVESTMENTS, INC. notice-filed in PR. IAPD ↗
ComplianceMarketing & brand
47
FIRST CITIZENS INVESTOR SERVICES, INC. notice-filed in MA. IAPD ↗
ComplianceMarketing & brand
47
MIDWESTERN SECURITIES TRADING CO.,LLC notice-filed in AR. IAPD ↗
ComplianceMarketing & brand
47
CITY NATIONAL SECURITIES, INC. notice-filed in GA. IAPD ↗
ComplianceMarketing & brand
47
SIGMA INVESTMENT COUNSELORS notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
47
CONNORS INVESTOR SERVICES INC notice-filed in MA. IAPD ↗
ComplianceMarketing & brand
47
EVERHART ADVISORS notice-filed in MN. IAPD ↗
ComplianceMarketing & brand
47
MERITAGE PORTFOLIO MANAGEMENT, INC. notice-filed in GA. IAPD ↗
ComplianceMarketing & brand
47
PERSONAL INVESTMENT MANAGEMENT INC notice-filed in CO, ID. IAPD ↗
ComplianceMarketing & brand
47
COMMUNITY CAPITAL MANAGEMENT, LLC notice-filed in IL. IAPD ↗
ComplianceMarketing & brand
47
FORTE CAPITAL LLC notice-filed in WI. IAPD ↗
ComplianceMarketing & brand
47
BMO FAMILY OFFICE, LLC notice-filed in CO. IAPD ↗
ComplianceMarketing & brand
47
KARPUS INVESTMENT MANAGEMENT notice-filed in ME. IAPD ↗
ComplianceMarketing & brand
47
CONSOLIDATED PLANNING CORPORATION notice-filed in MD. IAPD ↗
ComplianceMarketing & brand
47
MASON INVESTMENT ADVISORY SERVICES INC notice-filed in AL. IAPD ↗
ComplianceMarketing & brand
47
ADVISORNET WEALTH PARTNERS notice-filed in LA. IAPD ↗
ComplianceMarketing & brand
47
PINION WEALTH MANAGEMENT, LLC notice-filed in IN, LA. IAPD ↗
ComplianceMarketing & brand
47
BERKELEY, INC notice-filed in LA, TX. IAPD ↗
ComplianceMarketing & brand
47
SANDERSON WEALTH MANAGEMENT, LLC notice-filed in MO, NC. IAPD ↗
ComplianceMarketing & brand
47
CUTLER INVESTMENT COUNSEL, LLC notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
47
SMITH SALLEY WEALTH MANAGEMENT notice-filed in LA. IAPD ↗
ComplianceMarketing & brand
47
PERIGON WEALTH MANAGEMENT, LLC notice-filed in VT. IAPD ↗
ComplianceMarketing & brand
47
WALDRON PRIVATE WEALTH notice-filed in RI. IAPD ↗
ComplianceMarketing & brand
47
SRS CAPITAL ADVISORS, INC. notice-filed in LA. IAPD ↗
ComplianceMarketing & brand
47
GRADIENT INVESTMENTS, LLC notice-filed in VT. IAPD ↗
ComplianceMarketing & brand
47
CALLAN CAPITAL, LLC notice-filed in TN. IAPD ↗
ComplianceMarketing & brand
47
ASSETBUILDER, INC. notice-filed in MS, NM. IAPD ↗
ComplianceMarketing & brand
47
MELIA WEALTH LLC notice-filed in LA, MO. IAPD ↗
ComplianceMarketing & brand
47
ADVISORY SERVICES NETWORK notice-filed in WV. IAPD ↗
ComplianceMarketing & brand
47
FORT SHERIDAN ADVISORS LLC notice-filed in NY, TX. IAPD ↗
ComplianceMarketing & brand
47
MORIN PRIVATE CLIENT GROUP, LLC notice-filed in CA, WA. IAPD ↗
ComplianceMarketing & brand
47
PROSPERITY CAPITAL ADVISORS notice-filed in UT. IAPD ↗
ComplianceMarketing & brand
47
RETIREMENT PLANNERS OF AMERICA notice-filed in WY. IAPD ↗
ComplianceMarketing & brand
47
VERNAL POINT ADVISORS, LLC notice-filed in GA. IAPD ↗
ComplianceMarketing & brand
47
THE PORTFOLIO STRATEGY GROUP, LLC notice-filed in CO. IAPD ↗
ComplianceMarketing & brand
47
RITHOLTZ WEALTH MANAGEMENT notice-filed in DE. IAPD ↗
ComplianceMarketing & brand
47
CLEAR INVESTMENT RESEARCH, LLC notice-filed in NH. IAPD ↗
ComplianceMarketing & brand
47
GRATUS CAPITAL, LLC notice-filed in IA. IAPD ↗
ComplianceMarketing & brand
47
FIRST NATIONAL ADVISERS, LLC notice-filed in NJ. IAPD ↗
ComplianceMarketing & brand
47
FORT PITT CAPITAL GROUP, LLC notice-filed in MN. IAPD ↗
ComplianceMarketing & brand
47
ETHIC INC. notice-filed in NE. IAPD ↗
ComplianceMarketing & brand
47
LIFEGUIDE FINANCIAL ADVISORS, LLC notice-filed in FL, MD. IAPD ↗
ComplianceMarketing & brand
47
TCP ASSET MANAGEMENT, LLC notice-filed in MA, MO. IAPD ↗
ComplianceMarketing & brand
47
WHITAKER-MYERS WEALTH MANAGERS, LTD. notice-filed in NM, WA. IAPD ↗
ComplianceMarketing & brand
47
ARKADIOS WEALTH ADVISORS notice-filed in NH. IAPD ↗
ComplianceMarketing & brand
47
FULL SAIL CAPITAL, LLC notice-filed in NE. IAPD ↗
ComplianceMarketing & brand
47
CHICAGO CAPITAL, LLC notice-filed in GA. IAPD ↗
ComplianceMarketing & brand
47
CRITERION CAPITAL ADVISORS LLC notice-filed in AL, NC. IAPD ↗
ComplianceMarketing & brand
47
THURSTON SPRINGER ADVISORS notice-filed in WA. IAPD ↗
ComplianceMarketing & brand
47
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC notice-filed in TN, WA. IAPD ↗
ComplianceMarketing & brand
47
RESOLUTE PARTNERS GROUP notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
47
OCTAVIA WEALTH ADVISORS LLC notice-filed in MO. IAPD ↗
ComplianceMarketing & brand
47
WEALTH MANAGEMENT PARTNERS, LLC notice-filed in PA, VA. IAPD ↗
ComplianceMarketing & brand
47
BOS ASSET MANAGEMENT, LLC notice-filed in SC, UT. IAPD ↗
ComplianceMarketing & brand
47
NEW REPUBLIC PARTNERS notice-filed in VA. IAPD ↗
ComplianceMarketing & brand
47
CONFLUENCE FINANCIAL PARTNERS notice-filed in NH. IAPD ↗
ComplianceMarketing & brand
47
CONCURRENT INVESTMENT ADVISORS, LLC notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
47
CATALYTIC WEALTH MANAGEMENT notice-filed in WA. IAPD ↗
ComplianceMarketing & brand
46
STRATEGY FINANCIAL GROUP notice-filed in FL, NV, WI. IAPD ↗
ComplianceMarketing & brand
46
CSP FINANCIAL GROUP LLC notice-filed in NJ, PA, WA. IAPD ↗
ComplianceMarketing & brand
46
INCOMPASS FINANCIAL PARTNERS, LLC notice-filed in AL, NE, SC. IAPD ↗
ComplianceMarketing & brand
46
HIBERNIA WEALTH PARTNERS, LLC notice-filed in CO, GA, NH. IAPD ↗
ComplianceMarketing & brand
46
LINDBERG & RIPPLE notice-filed in NH, PA, SC. IAPD ↗
ComplianceMarketing & brand
46
MIDWAY WEALTH PARTNERS, LLC notice-filed in KY, NE, SC. IAPD ↗
ComplianceMarketing & brand
46
BPM WEALTH ADVISORS, LLC notice-filed in KS, OH, UT. IAPD ↗
ComplianceMarketing & brand
46
COVINGTONALSINA notice-filed in CA, LA, NY. IAPD ↗
ComplianceMarketing & brand
46
STONEBRIDGE FINANCIAL GROUP, LLC notice-filed in LA, NJ, TX. IAPD ↗
ComplianceMarketing & brand
46
ALTITUDE CAPITAL MANAGEMENT LLC notice-filed in ME, NC, PA. IAPD ↗
ComplianceMarketing & brand
45
ANDREW GARRETT, INC. notice-filed in DE. IAPD ↗
ComplianceMarketing & brand
45
CASCADE INVESTMENT GROUP, INC. notice-filed in IL. IAPD ↗
ComplianceMarketing & brand
45
THE JUNK INVESTMENT GROUP notice-filed in NH. IAPD ↗
ComplianceMarketing & brand
45
HSC WEALTH ADVISORS notice-filed in NE. IAPD ↗
ComplianceMarketing & brand
45
PERRYMAN FINANCIAL ADVISORY, INC. notice-filed in IL. IAPD ↗
ComplianceMarketing & brand
45
HANSON & DOREMUS INVESTMENT MANAGEMENT notice-filed in ME. IAPD ↗
ComplianceMarketing & brand
45
BARD FINANCIAL SERVICES, INC. notice-filed in LA. IAPD ↗
ComplianceMarketing & brand
45
GREENWOOD GEARHART INC. notice-filed in NC. IAPD ↗
ComplianceMarketing & brand
45
HAUSSMANN FINANCIAL INC. notice-filed in OK. IAPD ↗
ComplianceMarketing & brand
45
SHAKESPEARE WEALTH MANAGEMENT, LLC notice-filed in SC. IAPD ↗
ComplianceMarketing & brand
45
INTREPID FINANCIAL PLANNING GROUP, LLC notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
45
ADVISORS MANAGEMENT GROUP INC notice-filed in MT. IAPD ↗
ComplianceMarketing & brand
45
AMB WEALTH, LLC notice-filed in WA. IAPD ↗
ComplianceMarketing & brand
45
LEGACY FINANCIAL ADVISORS CORPORATION notice-filed in IL. IAPD ↗
ComplianceMarketing & brand
45
PHOENIX WEALTH ADVISORS INC. notice-filed in PA. IAPD ↗
ComplianceMarketing & brand
45
AA FINANCIAL ADVISORS, LLC notice-filed in IN. IAPD ↗
ComplianceMarketing & brand
45
BERNARDI ASSET MANAGEMENT, LLC notice-filed in IN. IAPD ↗
ComplianceMarketing & brand
45
MPS-LORIA FINANCIAL PLANNERS,LLC notice-filed in MI. IAPD ↗
ComplianceMarketing & brand
45
MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY notice-filed in TX. IAPD ↗
ComplianceMarketing & brand
45
HENNION & WALSH ASSET MANAGEMENT, INC. notice-filed in IN. IAPD ↗
ComplianceMarketing & brand
45
TANGLEWOOD LEGACY ADVISORS, LLC notice-filed in LA. IAPD ↗
ComplianceMarketing & brand
45
PERSIUM ADVISORS, LLC notice-filed in AL. IAPD ↗
ComplianceMarketing & brand
45
DUPREE FINANCIAL GROUP, LLC notice-filed in AZ. IAPD ↗
ComplianceMarketing & brand
45
NORTHEAST PLANNING ASSOCIATES, INC. notice-filed in RI. IAPD ↗
ComplianceMarketing & brand
45
CENTRIC WEALTH MANAGEMENT, LLC notice-filed in OH. IAPD ↗
ComplianceMarketing & brand
45
THE LEGACY FINANCIAL GROUP, INC. notice-filed in NE. IAPD ↗
ComplianceMarketing & brand
45
GENERATIONAL WEALTH ADVISORS notice-filed in LA. IAPD ↗
ComplianceMarketing & brand
45
NEPSIS, INC. notice-filed in LA. IAPD ↗
ComplianceMarketing & brand
45
HOLCOMBE FINANCIAL, INC. notice-filed in CO. IAPD ↗
ComplianceMarketing & brand
45
REIK & CO., LLC notice-filed in OH. IAPD ↗
ComplianceMarketing & brand
45
REGISTER FINANCIAL ADVISORS, LLC notice-filed in PA. IAPD ↗
ComplianceMarketing & brand
45
WORTHPOINTE notice-filed in OK. IAPD ↗
ComplianceMarketing & brand
45
PORTFOLIO MEDICS, LLC notice-filed in WI. IAPD ↗
ComplianceMarketing & brand
45
TIMBER CREEK CAPITAL MANAGEMENT, LLC notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
45
INTEGRAL WEALTH MANAGEMENT notice-filed in OR. IAPD ↗
ComplianceMarketing & brand
45
A & I WEALTH MANAGEMENT notice-filed in MI. IAPD ↗
ComplianceMarketing & brand
45
SENECA FINANCIAL ADVISORS LLC notice-filed in CT. IAPD ↗
ComplianceMarketing & brand
45
MOSS, LUSE & WOMBLE, LLC notice-filed in PA. IAPD ↗
ComplianceMarketing & brand
45
BLACK CORAL FINANCIAL ADVISORS, LLC notice-filed in VA. IAPD ↗
ComplianceMarketing & brand
45
OLD PEAK FINANCE notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
45
ACT WEALTH MANAGEMENT, LLC notice-filed in IL. IAPD ↗
ComplianceMarketing & brand
45
GLOBAL VIEW CAPITAL MANAGEMENT LLC notice-filed in VT. IAPD ↗
ComplianceMarketing & brand
45
MILLS WEALTH ADVISORS, LLC notice-filed in AZ. IAPD ↗
ComplianceMarketing & brand
45
HIGHMARK WEALTH MANAGEMENT LLC notice-filed in CA. IAPD ↗
ComplianceMarketing & brand
45
CORNERSTONE WEALTH PLANNING notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
45
WORTH ASSET MANAGEMENT notice-filed in LA. IAPD ↗
ComplianceMarketing & brand
45
OCCIDENTAL ASSET MANAGEMENT, LLC notice-filed in CO. IAPD ↗
ComplianceMarketing & brand
45
NAVIGATE PRIVATE WEALTH, LLC notice-filed in GA. IAPD ↗
ComplianceMarketing & brand
45
FIDUCIARY FINANCIAL ADVISORS notice-filed in MN. IAPD ↗
ComplianceMarketing & brand
45
ROSE CAPITAL ADVISORS, LLC notice-filed in AZ. IAPD ↗
ComplianceMarketing & brand
45
ZURAW FINANCIAL ADVISORS, LLC notice-filed in NE. IAPD ↗
ComplianceMarketing & brand
45
CALIBER WEALTH MANAGEMENT, LLC notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
45
FALCON WEALTH PLANNING, INC. notice-filed in LA. IAPD ↗
ComplianceMarketing & brand
45
ALIGN IMPACT, LLC notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
45
S.E.E.D. PLANNING GROUP, LLC notice-filed in MA. IAPD ↗
ComplianceMarketing & brand
45
OAK ROOT LLC notice-filed in HI. IAPD ↗
ComplianceMarketing & brand
45
CLARITY CAPITAL ADVISORS, LLC notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
45
ALMANACK INVESTMENT PARTNERS notice-filed in AZ. IAPD ↗
ComplianceMarketing & brand
45
PERENNIAL FINANCIAL SERVICES notice-filed in MN. IAPD ↗
ComplianceMarketing & brand
45
LIBRA WEALTH LLC notice-filed in CO. IAPD ↗
ComplianceMarketing & brand
45
LIFEWORKS ADVISORS, LLC notice-filed in TN. IAPD ↗
ComplianceMarketing & brand
45
AUCTUS ADVISORS LLC notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
45
HILLTOP WEALTH SOLUTIONS notice-filed in NC. IAPD ↗
ComplianceMarketing & brand
45
SOVEREIGN FINANCIAL GROUP, INC. notice-filed in UT. IAPD ↗
ComplianceMarketing & brand
45
COUNCIL OAK WEALTH ADVISORS notice-filed in NH. IAPD ↗
ComplianceMarketing & brand
45
MACH-1 FINANCIAL GROUP, LLC notice-filed in MN. IAPD ↗
ComplianceMarketing & brand
45
GRAVES LIGHT LENHART notice-filed in SC. IAPD ↗
ComplianceMarketing & brand
45
ASIO CAPITAL LLC notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
45
TALON PRIVATE WEALTH, LLC notice-filed in IA. IAPD ↗
ComplianceMarketing & brand
45
WOOD TARVER FINANCIAL notice-filed in OR. IAPD ↗
ComplianceMarketing & brand
45
CROWN WEALTH GROUP LLC notice-filed in GA. IAPD ↗
ComplianceMarketing & brand
45
SAGE ADVISORS, LLC notice-filed in NC. IAPD ↗
ComplianceMarketing & brand
45
VERACITY CAPITAL LLC notice-filed in PA. IAPD ↗
ComplianceMarketing & brand
45
EMERALD ADVISORS, LLC notice-filed in GA. IAPD ↗
ComplianceMarketing & brand
45
CFM WEALTH PARTNERS LLC notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
45
TACTIVE ADVISORS, LLC notice-filed in CT. IAPD ↗
ComplianceMarketing & brand
45
SITTNER & NELSON, LLC notice-filed in NV. IAPD ↗
ComplianceMarketing & brand
45
ORG PARTNERS notice-filed in MS. IAPD ↗
ComplianceMarketing & brand
45
JMK & ASSOCIATES, LLC notice-filed in NH. IAPD ↗
ComplianceMarketing & brand
45
VON BERGE WEALTH MANAGEMENT GROUP, LLC notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
45
HERR INVESTMENT GROUP LLC notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
45
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC notice-filed in GA. IAPD ↗
ComplianceMarketing & brand
45
TFB ADVISORS, LLC notice-filed in WY. IAPD ↗
ComplianceMarketing & brand
45
TWIN PEAKS WEALTH ADVISORS notice-filed in LA. IAPD ↗
ComplianceMarketing & brand
44
LINDER FINANCIAL SERVICES, INC. notice-filed in FL, SC. IAPD ↗
ComplianceMarketing & brand
44
MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC notice-filed in FL, NY. IAPD ↗
ComplianceMarketing & brand
44
TIMOTHY FINANCIAL COUNSEL, INC. notice-filed in HI, MA. IAPD ↗
ComplianceMarketing & brand
44
ECONOLOGICS FINANCIAL ADVISORS notice-filed in AL, NV. IAPD ↗
ComplianceMarketing & brand
44
BOYLE CAPITAL notice-filed in IL, VA. IAPD ↗
ComplianceMarketing & brand
44
DAVIES FINANCIAL ADVISORS, INC. notice-filed in NV, WA. IAPD ↗
ComplianceMarketing & brand
44
TEEPLE SNYDER NEWSOME WEALTH MANAGEMENT notice-filed in NH, TX. IAPD ↗
ComplianceMarketing & brand
44
COORDINATED FINANCIAL SERVICES, INC. notice-filed in CA, FL. IAPD ↗
ComplianceMarketing & brand
44
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC notice-filed in FL, IL. IAPD ↗
ComplianceMarketing & brand
44
SAGE STONE WEALTH MANAGEMENT LLC notice-filed in MA, NY. IAPD ↗
ComplianceMarketing & brand
44
VITAL WEALTH MANAGEMENT, LLC notice-filed in FL, TX. IAPD ↗
ComplianceMarketing & brand
44
VALUE INVESTMENT PROFESSIONALS, LLC notice-filed in LA, TX. IAPD ↗
ComplianceMarketing & brand
44
GIBBS WEALTH MANAGEMENT, LLC notice-filed in AZ, NJ. IAPD ↗
ComplianceMarketing & brand
44
PLUM STREET ADVISORS, LLC notice-filed in GA, PA. IAPD ↗
ComplianceMarketing & brand
44
KENNON-GREEN & CO. notice-filed in NH, OH. IAPD ↗
ComplianceMarketing & brand
44
CERTIOR FINANCIAL GROUP, LLC notice-filed in LA, MA. IAPD ↗
ComplianceMarketing & brand
44
INVEST CAPITAL PARTNERS notice-filed in IL, VA. IAPD ↗
ComplianceMarketing & brand
44
PALADIN FINANCIAL notice-filed in IA, SD. IAPD ↗
ComplianceMarketing & brand
44
PROVIDENT FINANCIAL PLANNING, LLC notice-filed in AZ, GA. IAPD ↗
ComplianceMarketing & brand
44
BEST INVEST notice-filed in CO, NC. IAPD ↗
ComplianceMarketing & brand
44
FIVE TALENTS FINANCIAL MANAGEMENT GROUP LLC notice-filed in KS, NE. IAPD ↗
ComplianceMarketing & brand
44
FORTIS CAPITAL ADVISORS, LLC notice-filed in IL, MI. IAPD ↗
ComplianceMarketing & brand
44
HAMILTON CAPITAL PARTNERS, LLC notice-filed in FL, IN. IAPD ↗
ComplianceMarketing & brand
44
FIVE PINE WEALTH notice-filed in OR, TX. IAPD ↗
ComplianceMarketing & brand
44
PROACTIVE WEALTH STRATEGIES, LLC notice-filed in CA, MD. IAPD ↗
ComplianceMarketing & brand
44
STEWARD ADVISORS GROUP, LLC notice-filed in AZ, WA. IAPD ↗
ComplianceMarketing & brand
44
BUCK WEALTH STRATEGIES, LLC notice-filed in AZ, UT. IAPD ↗
ComplianceMarketing & brand
44
ACTS FINANCIAL ADVISORS notice-filed in MD, TX. IAPD ↗
ComplianceMarketing & brand
44
STIRLINGSHIRE INVESTMENTS notice-filed in IL, OH. IAPD ↗
ComplianceMarketing & brand
44
LORD AND RICHARDS notice-filed in FL, NE. IAPD ↗
ComplianceMarketing & brand
42
NESTLERODE & LOY, INC. notice-filed in TX. IAPD ↗
ComplianceMarketing & brand
42
W&S BROKERAGE SERVICES, INC. notice-filed in DE. IAPD ↗
ComplianceMarketing & brand
42
COORDINATED CAPITAL SECURITIES, INC. notice-filed in TN. IAPD ↗
ComplianceMarketing & brand
42
DMK ADVISOR GROUP, INC. notice-filed in SC. IAPD ↗
ComplianceMarketing & brand
42
INTRINSIC WEALTH COUNSEL, INC. notice-filed in WA. IAPD ↗
ComplianceMarketing & brand
42
NICHOLSON MEYER CAPITAL MANAGEMENT, INC. notice-filed in CA. IAPD ↗
ComplianceMarketing & brand
42
CND FINANCIAL notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
42
HORIZON INVESTMENT SERVICES, LLC. notice-filed in WI. IAPD ↗
ComplianceMarketing & brand
42
SFM, LLC notice-filed in ME. IAPD ↗
ComplianceMarketing & brand
42
ADDIS & HILL, INCORPORATED notice-filed in TX. IAPD ↗
ComplianceMarketing & brand
42
PATRICK MAURO INVESTMENT ADVISOR, INC. notice-filed in VA. IAPD ↗
ComplianceMarketing & brand
42
WOODFIELD FINANCIAL ADVISORS, INC. notice-filed in AZ. IAPD ↗
ComplianceMarketing & brand
42
CREW CAPITAL MANAGEMENT, LTD. notice-filed in TN. IAPD ↗
ComplianceMarketing & brand
42
BROADWATER CAPITAL MANAGEMENT LLC notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
42
WERLINICH ASSET MANAGEMENT, L.L.C. notice-filed in TX. IAPD ↗
ComplianceMarketing & brand
42
INDEPENDENT FINANCIAL ADVISORS notice-filed in TX. IAPD ↗
ComplianceMarketing & brand
42
HORIZONS WEALTH MANAGEMENT notice-filed in TX. IAPD ↗
ComplianceMarketing & brand
42
NEWMAN LADD CAPITAL ADVISORS, LLC. notice-filed in TX. IAPD ↗
ComplianceMarketing & brand
42
TABR CAPITAL MANAGEMENT, LLC notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
42
WESTPARK WEALTH ADVISORS, INC. notice-filed in TN. IAPD ↗
ComplianceMarketing & brand
42
HOLLAND ADVISORY SERVICES, INC. notice-filed in NH. IAPD ↗
ComplianceMarketing & brand
42
CENTENNIAL WEALTH ADVISORY, LLC notice-filed in LA. IAPD ↗
ComplianceMarketing & brand
42
PATHWORKS FINANCIAL, INC. notice-filed in KS. IAPD ↗
ComplianceMarketing & brand
42
DAI WEALTH, LLC notice-filed in PA. IAPD ↗
ComplianceMarketing & brand
42
GUARDIAN WEALTH ADVISORS, LLC notice-filed in AZ. IAPD ↗
ComplianceMarketing & brand
42
CAUBLE & HARRE WEALTH MANAGEMENT, INC. notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
42
TURNER CAPITAL INVESTMENTS, LLC notice-filed in CT. IAPD ↗
ComplianceMarketing & brand
42
ILLUMINATION WEALTH MANAGEMENT notice-filed in NH. IAPD ↗
ComplianceMarketing & brand
42
CLEARBROOK INVESTMENT SOLUTIONS LLC notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
42
LONGBOARD ASSET MANAGEMENT notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
42
TILIA FIDUCIARY PARTNERS, INC. notice-filed in NE. IAPD ↗
ComplianceMarketing & brand
42
BLUESTEM FINANCIAL ADVISORS, LLC notice-filed in TX. IAPD ↗
ComplianceMarketing & brand
42
FAIRSCALE CAPITAL, LLC notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
42
360 FINANCIAL PARTNERS, LLC notice-filed in NC. IAPD ↗
ComplianceMarketing & brand
42
SUMMIT GROUP RETIREMENT PLANNERS, INC. notice-filed in AL. IAPD ↗
ComplianceMarketing & brand
42
WEALTHCARE ASSET MANAGEMENT, LLC notice-filed in TX. IAPD ↗
ComplianceMarketing & brand
42
HENDERSHOTT WEALTH MANAGEMENT, LLC notice-filed in ID. IAPD ↗
ComplianceMarketing & brand
42
MATHIS WEALTH MANAGEMENT notice-filed in VA. IAPD ↗
ComplianceMarketing & brand
42
DIVERSIFI CAPITAL LLC notice-filed in NH. IAPD ↗
ComplianceMarketing & brand
42
EQUITA FINANCIAL NETWORK, INC. notice-filed in MA. IAPD ↗
ComplianceMarketing & brand
42
YOUR FINANCIAL PHARMACIST PLANNING notice-filed in CO. IAPD ↗
ComplianceMarketing & brand
42
ARNOLD AND MOTE WEALTH MANAGEMENT notice-filed in IL. IAPD ↗
ComplianceMarketing & brand
42
JERICHO FINANCIAL notice-filed in NH. IAPD ↗
ComplianceMarketing & brand
42
ATWOOD FINANCIAL PLANNING LLC notice-filed in IA. IAPD ↗
ComplianceMarketing & brand
42
PLANMEMBER ASSET MANAGEMENT CORPORATION notice-filed in IL. IAPD ↗
ComplianceMarketing & brand
42
PLEASANT STREET WEALTH ADVISORS, LLC notice-filed in NJ. IAPD ↗
ComplianceMarketing & brand
42
FIDELIS WEALTH ADVISORS notice-filed in WY. IAPD ↗
ComplianceMarketing & brand
42
ROCKPORT WEALTH ADVISORS notice-filed in SC. IAPD ↗
ComplianceMarketing & brand
42
NORTHAVENUE LLC notice-filed in TX. IAPD ↗
ComplianceMarketing & brand
42
PROXY WEALTH ADVISORS LLC notice-filed in AZ. IAPD ↗
ComplianceMarketing & brand
42
NEW MILLENNIUM GROUP notice-filed in CA. IAPD ↗
ComplianceMarketing & brand
42
AEGIS WEALTH MANAGEMENT, INC. notice-filed in CT. IAPD ↗
ComplianceMarketing & brand
42
COOPER CAPITAL GROUP notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
42
SWAN CAPITAL notice-filed in NC. IAPD ↗
ComplianceMarketing & brand
42
HF ADVISORY GROUP, LLC notice-filed in DC. IAPD ↗
ComplianceMarketing & brand
42
NDVR notice-filed in VA. IAPD ↗
ComplianceMarketing & brand
42
PACIFIC POINT ADVISORS, LLC notice-filed in TX. IAPD ↗
ComplianceMarketing & brand
42
ILLUMINE INVESTMENT MANAGEMENT, LLC notice-filed in ID. IAPD ↗
ComplianceMarketing & brand
42
BRIGHT ANGEL ADVISORS LLC notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
42
CREDENTIALED WEALTH ADVISORS, LLC notice-filed in AZ. IAPD ↗
ComplianceMarketing & brand
42
CHB INVESTMENT GROUP, LLC notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
42
INTEGRITY FINANCIAL ADVISORS, LLC notice-filed in CO. IAPD ↗
ComplianceMarketing & brand
42
ALPHA OMEGA FINANCIAL, INC. notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
42
CLARENDON PRIVATE LLC notice-filed in RI. IAPD ↗
ComplianceMarketing & brand
42
SCHAMBERGER, GREYLAK & UTTERBACK WEALTH MANAGEMENT, LLC notice-filed in IL. IAPD ↗
ComplianceMarketing & brand
42
JOEL ADAMS AND ASSOCIATES INC. notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
42
KNOWN WEALTH LLC notice-filed in OR. IAPD ↗
ComplianceMarketing & brand
42
RM INVESTMENT STRATEGIES, LLC notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
42
PEBBLE FINANCE notice-filed in NY. IAPD ↗
ComplianceMarketing & brand
42
VIRTUS FINANCIAL PARTNERS notice-filed in WI. IAPD ↗
ComplianceMarketing & brand
42
ROSSBY FINANCIAL, LLC notice-filed in CA. IAPD ↗
ComplianceMarketing & brand
42
ACCELERATE RETIREMENT notice-filed in GA. IAPD ↗
ComplianceMarketing & brand
42
QUANTUM PORTFOLIO MANAGEMENT notice-filed in TX. IAPD ↗
ComplianceMarketing & brand
42
FOGUTH WEALTH MANAGEMENT, LLC. notice-filed in OH. IAPD ↗
ComplianceMarketing & brand
42
GRATUS WEALTH ADVISORS LLC notice-filed in NH. IAPD ↗
ComplianceMarketing & brand
42
CAPITAL A WEALTH MANAGEMENT notice-filed in FL. IAPD ↗
ComplianceMarketing & brand
39
37
37
HAUSER RETIREMENT SOLUTIONS 2 LLC notice-filed in CO, LA. IAPD ↗institutional
ComplianceMarketing & brand
37
37
36
LEGACY INVESTMENT SOLUTIONS, LLC notice-filed in AZ, CA, UT. IAPD ↗institutional
ComplianceMarketing & brand
35
35
34
34
CHADLER INVESTMENT ADVISORY SOLUTIONS, LLC notice-filed in FL, NH. IAPD ↗institutional
ComplianceMarketing & brand
32
32
32
30
21
BMO PRIVATE INVESTMENT COUNSEL INC. notice-filed in MD, MI, NC. IAPD ↗foreign
ComplianceMarketing & brand
19
19
BMO NESBITT BURNS SECURITIES LTD. notice-filed in DE, HI, TN. IAPD ↗foreign
ComplianceMarketing & brand
17
12
12
aum up — 132 Regulatory AUM up >=25% since last filing.
75
RBC GLOBAL ASSET MANAGEMENT (U.S.) INC. reported RAUM up 110% ($38.02B -> $79.91B). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
75
CANNELL & SPEARS LLC reported RAUM up 250% ($1.67B -> $5.86B). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
75
TD PRIVATE CLIENT WEALTH LLC reported RAUM up 163% ($4.66B -> $12.26B). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
70
MONERE WEALTH MANAGEMENT, INC. reported RAUM up 93% ($122.0M -> $235.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
70
MAYPORT WEALTH MANAGEMENT reported RAUM up 64% ($213.3M -> $350.4M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
70
FUTURE YOU WEALTH reported RAUM up 94% ($52.0M -> $101.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
70
WEDMONT PRIVATE CAPITAL reported RAUM up 54% ($1.02B -> $1.58B). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
70
HEGARTY ADVISORS, LLC reported RAUM up 84% ($50.7M -> $93.4M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
70
DAYS GLOBAL ADVISORS reported RAUM up 1649999900% ($2 -> $33.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
69
ELSER FINANCIAL PLANNING, INC. reported RAUM up 49% ($1.38B -> $2.06B). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
69
REDWOOD FINANCIAL PLANNING, LLC reported RAUM up 72% ($101.3M -> $174.6M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
69
IMZ ADVISORY INC. reported RAUM up 59% ($201.7M -> $320.3M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
68
VICTRIX INVESTMENT ADVISORS reported RAUM up 65% ($109.2M -> $180.6M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
68
MASTODON ADVISORY GROUP reported RAUM up 53% ($199.0M -> $304.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
67
WAVERLY ADVISORS, LLC reported RAUM up 37% ($5.78B -> $7.89B). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
67
ROYAL OAK FINANCIAL GROUP reported RAUM up 63% ($105.0M -> $171.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
67
KEY CAPITAL MANAGEMENT, INC. reported RAUM up 61% ($127.5M -> $205.8M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
66
GREENHAVEN ASSOCIATES INC reported RAUM up 32% ($7.25B -> $9.57B). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
66
POTOMAC FUND MANAGEMENT reported RAUM up 32% ($1.05B -> $1.39B). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
66
REGISTER FINANCIAL ADVISORS, LLC reported RAUM up 40% ($210.8M -> $296.1M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
66
TALBOT FINANCIAL, LLC reported RAUM up 44% ($520.6M -> $748.3M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
66
CHERRYDALE WEALTH MANAGEMENT, LLC reported RAUM up 41% ($232.4M -> $328.4M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
66
SCHULZ WEALTH, LTD. reported RAUM up 40% ($228.4M -> $320.8M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
66
SOUND INCOME STRATEGIES, LLC reported RAUM up 31% ($2.04B -> $2.67B). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
66
MYRA WEALTH reported RAUM up 57% ($25.0M -> $39.3M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
65
CHANDLER ASSET MANAGEMENT INC reported RAUM up 25% ($28.64B -> $35.80B). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
65
CONESTOGA CAPITAL ADVISORS, LLC reported RAUM up 26% ($6.23B -> $7.82B). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
65
ROCKWOOD WEALTH MANAGEMENT, LLC reported RAUM up 28% ($1.38B -> $1.78B). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
65
FLAGSHIP HARBOR ADVISORS, LLC reported RAUM up 27% ($1.93B -> $2.45B). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
65
ALPHA CUBED INVESTMENTS, LLC reported RAUM up 27% ($1.96B -> $2.49B). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
65
CORNERSTONE WEALTH PLANNING reported RAUM up 35% ($229.0M -> $309.4M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
65
BETTER MONEY DECISIONS reported RAUM up 37% ($197.9M -> $271.9M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
65
BUTTONWOOD CAPITAL MANAGEMENT (BCM) reported RAUM up 36% ($195.2M -> $265.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
65
SJBENEN ADVISORY, LLC reported RAUM up 38% ($183.3M -> $252.9M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
65
ONE DAY IN JULY LLC reported RAUM up 36% ($587.5M -> $797.7M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
65
HAMILTON CAPITAL PARTNERS, LLC reported RAUM up 50% ($143.5M -> $215.9M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
65
GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC reported RAUM up 40% ($207.9M -> $290.5M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
65
UNIQUE WEALTH STRATEGIES reported RAUM up 38% ($181.6M -> $251.1M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
64
WEALTH MANAGEMENT RESOURCES, INC. reported RAUM up 30% ($261.0M -> $339.3M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
64
VOISARD ASSET MANAGEMENT GROUP reported RAUM up 33% ($286.0M -> $379.8M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
64
LUCAS GROUP FINANCIAL PLANNERS, INC. reported RAUM up 31% ($250.2M -> $327.7M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
64
VESTURA, LLC reported RAUM up 31% ($205.9M -> $268.8M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
64
CYPRESS FINANCIAL PLANNING reported RAUM up 32% ($234.0M -> $307.7M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
64
LYNCH ASSET MANAGEMENT, INC. reported RAUM up 46% ($125.6M -> $184.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
64
PRENTICE WEALTH MANAGEMENT LLC reported RAUM up 33% ($295.3M -> $393.5M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
64
SPINNAKER INVESTMENT GROUP, LLC reported RAUM up 32% ($514.6M -> $676.8M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
64
DIVERGENT PLANNING reported RAUM up 30% ($197.8M -> $257.4M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
64
ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLC reported RAUM up 34% ($305.6M -> $409.3M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
64
CURATED WEALTH PARTNERS, LLC reported RAUM up 32% ($730.0M -> $966.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
64
VON BERGE WEALTH MANAGEMENT GROUP, LLC reported RAUM up 31% ($286.1M -> $375.9M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
64
WEALTH EFFECTS reported RAUM up 31% ($300.3M -> $392.9M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
64
COVE PRIVATE WEALTH, LLC reported RAUM up 48% ($135.3M -> $200.2M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
BIRINYI ASSOCIATES, INC. reported RAUM up 26% ($277.1M -> $348.6M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
YUKON WEALTH MANAGEMENT, INC. reported RAUM up 26% ($263.0M -> $330.4M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
CAPLAN FINANCIAL GROUP, LLC reported RAUM up 26% ($292.8M -> $367.6M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
ABSOLUTE CAPITAL MANAGEMENT, LLC reported RAUM up 30% ($257.5M -> $333.9M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
MICHAEL BRADY & CO., LLC reported RAUM up 41% ($138.9M -> $196.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
PRAIRIEWOOD WEALTH MANAGEMENT reported RAUM up 43% ($151.4M -> $216.8M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
PROTA FINANCIAL reported RAUM up 43% ($127.7M -> $182.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
VERT ASSET MANAGEMENT LLC reported RAUM up 100% ($174.4M -> $348.6M). IAPD ↗institutional
Portfolio / reporting / TAMPCRMFinancial planning software
63
PETERSON WEALTH SERVICES INC. reported RAUM up 28% ($308.7M -> $394.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
MANN FINANCIAL GROUP reported RAUM up 26% ($225.4M -> $283.8M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
WOOD TARVER FINANCIAL reported RAUM up 28% ($280.0M -> $357.2M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
LOGAN PARK WEALTH MANAGEMENT reported RAUM up 25% ($252.0M -> $315.1M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
CROWN WEALTH GROUP LLC reported RAUM up 26% ($203.7M -> $257.2M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
PALM VALLEY CAPITAL MANAGEMENT reported RAUM up 28% ($219.6M -> $281.3M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
BROWN | MILLER WEALTH MANAGEMENT, LLC reported RAUM up 26% ($544.5M -> $685.6M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
SERENITY INVESTMENT ADVISORS reported RAUM up 26% ($234.7M -> $296.9M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
STEPHENS CONSULTING, LLC reported RAUM up 28% ($717.9M -> $918.4M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
JACKSONVILLE WEALTH MANAGEMENT reported RAUM up 27% ($267.0M -> $340.2M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
THE WEALTH GROUP - AUSTIN B. COLBY & ASSOCIATES reported RAUM up 27% ($363.1M -> $459.8M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
HENRY BRAGG & CO. reported RAUM up 25% ($227.3M -> $284.6M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
63
PRESILIUM PRIVATE WEALTH, LLC reported RAUM up 27% ($348.0M -> $442.9M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
62
GRIFFITHS, DREHER & EVANS, P.S., CPAS reported RAUM up 38% ($139.3M -> $192.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
62
KRS CAPITAL MANAGEMENT, LLC reported RAUM up 39% ($90.6M -> $126.1M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
62
AGH WEALTH ADVISORS, LLC reported RAUM up 40% ($141.1M -> $197.2M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
62
MILESTONE ASSET MANAGEMENT GROUP, LLC reported RAUM up 38% ($114.0M -> $157.8M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
62
MEREDITH WEALTH PLANNING reported RAUM up 39% ($173.5M -> $241.9M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
62
VITA PLANNING GROUP LLC reported RAUM up 36% ($31.4M -> $42.8M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
62
GUTIERREZ WEALTH ADVISORY, LLC reported RAUM up 38% ($167.1M -> $229.8M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
62
ASTRA WEALTH PARTNERS reported RAUM up 39% ($116.3M -> $162.1M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
62
ACCELERATE RETIREMENT reported RAUM up 38% ($75.6M -> $104.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
61
N.V.N.G. INVESTMENTS, INC. reported RAUM up 30% ($172.9M -> $225.2M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
61
HOFFMAN, ALAN N. INVESTMENT MANAGEMENT reported RAUM up 35% ($136.8M -> $184.2M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
61
SANDER CAPITAL ADVISORS, INC. reported RAUM up 30% ($150.0M -> $195.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
61
CORE ALPHA, INC. reported RAUM up 30% ($72.6M -> $94.5M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
61
PHYSICIAN FAMILY FINANCIAL ADVISORS INC reported RAUM up 34% ($128.5M -> $172.3M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
61
RUTHERFORD INVESTMENT MANAGEMENT reported RAUM up 30% ($132.9M -> $173.4M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
61
KEATING WEALTH MANAGEMENT, LLC reported RAUM up 34% ($150.9M -> $202.7M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
61
ROOTED PLANNING GROUP reported RAUM up 32% ($72.6M -> $95.7M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
61
BRADLEY & COMPANY PRIVATE WEALTH MANAGEMENT, LLC reported RAUM up 35% ($119.2M -> $160.5M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
61
103 ADVISORY GROUP reported RAUM up 32% ($143.7M -> $189.1M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
61
EVERGREEN PRIVATE WEALTH reported RAUM up 31% ($149.4M -> $195.1M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
DARTMOUTH CAPITAL ADVISORS, INC. reported RAUM up 29% ($110.5M -> $142.5M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
STRATIGRAPHIC ASSET MANAGEMENT, INC. reported RAUM up 28% ($124.8M -> $160.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
PILE WEALTH MANAGEMENT reported RAUM up 27% ($107.7M -> $136.4M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
RCM ROBINSON CAPITAL MANAGEMENT LLC reported RAUM up 29% ($103.1M -> $132.9M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
MCALLISTER CAPITAL MANAGEMENT reported RAUM up 27% ($170.0M -> $216.3M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
STOLZ & ASSOCIATES, PS reported RAUM up 28% ($156.4M -> $199.4M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
TASSEL CAPITAL MANAGEMENT, INC reported RAUM up 27% ($144.1M -> $182.5M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
GOLDEN GATE PERSONAL FINANCIAL PLANNING reported RAUM up 29% ($107.4M -> $138.9M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
MILLINGTON FINANCIAL ADVISORS, LLC reported RAUM up 25% ($126.6M -> $158.5M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
WATCHSTONE WEALTH MANAGEMENT LLC reported RAUM up 30% ($40.1M -> $52.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
SOVEREIGN ASSET MANAGEMENT reported RAUM up 28% ($97.8M -> $125.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
LAYLINE ADVISORS reported RAUM up 26% ($62.0M -> $78.2M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
COPPER LEAF FINANCIAL, LLC reported RAUM up 27% ($149.0M -> $189.2M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
SIEBERT ADVISORNXT, LLC. reported RAUM up 30% ($163.6M -> $212.6M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
BIG INVESTMENT SERVICES reported RAUM up 26% ($189.2M -> $238.6M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
YODER WEALTH MANAGEMENT reported RAUM up 28% ($194.0M -> $247.4M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
PROVIDENT FINANCIAL PLANNING, LLC reported RAUM up 29% ($102.6M -> $132.5M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
NEW MILLENNIUM GROUP reported RAUM up 26% ($114.4M -> $144.5M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
LEVEL WEALTH MANAGEMENT LLC reported RAUM up 25% ($99.2M -> $124.3M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
TENON FINANCIAL reported RAUM up 30% ($100.8M -> $130.9M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
GOALFUSION WEALTH MANAGEMENT reported RAUM up 27% ($126.6M -> $161.0M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
STONECREST WEALTH MANAGEMENT, INC reported RAUM up 25% ($193.8M -> $243.2M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
BLUEPRINT PARTNERS LLC reported RAUM up 26% ($155.0M -> $195.1M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
CHOKSHI & QUEEN WEALTH ADVISORS reported RAUM up 29% ($115.5M -> $148.5M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
60
FARRELL FINANCIAL reported RAUM up 27% ($112.0M -> $142.2M). IAPD ↗
Portfolio / reporting / TAMPCRMFinancial planning software
58
AVALA GLOBAL LP reported RAUM up 66% ($1.04B -> $1.72B). IAPD ↗fund
Portfolio / reporting / TAMPCRMFinancial planning software
58
PHOENIX MERCHANT PARTNERS, LP reported RAUM up 150% ($100.0M -> $250.0M). IAPD ↗fund
Portfolio / reporting / TAMPCRMFinancial planning software
58
SNOWHAWK LP reported RAUM up 474% ($72.6M -> $416.7M). IAPD ↗fund
Portfolio / reporting / TAMPCRMFinancial planning software
57
AOT INVEST LLC reported RAUM up 61% ($19.8M -> $31.9M). IAPD ↗institutional
Portfolio / reporting / TAMPCRMFinancial planning software
56
SIMPLIFY ASSET MANAGEMENT INC. reported RAUM up 31% ($2.44B -> $3.18B). IAPD ↗institutional
Portfolio / reporting / TAMPCRMFinancial planning software
55
NORDWAND INVESTMENTS, LLC reported RAUM up 213% ($16.2M -> $50.9M). IAPD ↗fund
Portfolio / reporting / TAMPCRMFinancial planning software
55
C4M GLOBAL ADVISORS LLC reported RAUM up 203% ($9.0M -> $27.3M). IAPD ↗fund
Portfolio / reporting / TAMPCRMFinancial planning software
54
EASTBAY CAPITAL reported RAUM up 59% ($228.5M -> $362.7M). IAPD ↗fund
Portfolio / reporting / TAMPCRMFinancial planning software
53
ALTAROCK PARTNERS LP reported RAUM up 41% ($3.28B -> $4.62B). IAPD ↗fund
Portfolio / reporting / TAMPCRMFinancial planning software
53
PRIMARK ADVISORS, LLC reported RAUM up 43% ($112.8M -> $161.0M). IAPD ↗institutional
Portfolio / reporting / TAMPCRMFinancial planning software
49
LEGION PARTNERS ASSET MANAGEMENT, LLC reported RAUM up 33% ($335.9M -> $446.0M). IAPD ↗fund
Portfolio / reporting / TAMPCRMFinancial planning software
46
CRAWFORD FUND MANAGEMENT, LLC reported RAUM up 31% ($147.4M -> $193.4M). IAPD ↗fund
Portfolio / reporting / TAMPCRMFinancial planning software
40
NATWEALTH MANAGEMENT reported RAUM up 105% ($33.0M -> $67.6M). IAPD ↗foreign
Portfolio / reporting / TAMPCRMFinancial planning software
35
INNOCAP INVESTMENT MANAGEMENT INC. reported RAUM up 29% ($2.01B -> $2.59B). IAPD ↗foreign
Portfolio / reporting / TAMPCRMFinancial planning software
new office — 118 Count of additional offices increased.
55
RBC CAPITAL MARKETS, LLC added office(s): 311 -> 320 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
LINSCOMB & WILLIAMS added office(s): 4 -> 5 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
LBMC INVESTMENT ADVISORS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
CHURCHILL MANAGEMENT GROUP added office(s): 83 -> 85 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
HBKS WEALTH ADVISORS added office(s): 11 -> 12 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
WAVERLY ADVISORS, LLC added office(s): 8 -> 12 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
CURI RMB CAPITAL, LLC added office(s): 8 -> 12 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
CANNELL & SPEARS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
GREENWICH WEALTH MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
BAYSTATE WEALTH MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
ASHTON THOMAS PRIVATE WEALTH added office(s): 17 -> 20 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
FLAGSHIP HARBOR ADVISORS, LLC added office(s): 33 -> 36 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
CAPITAL INVESTMENT ADVISORS, LLC added office(s): 6 -> 7 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
MONECO ADVISORS added office(s): 7 -> 9 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
BEACON TRUST added office(s): 1 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
STRATOS WEALTH ADVISORS LLC added office(s): 27 -> 31 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
EVERSOURCE WEALTH ADVISORS, LLC added office(s): 15 -> 17 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
SUMMIT FINANCIAL, LLC added office(s): 28 -> 34 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
AMERICANA PARTNERS, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
MAIN STREET FINANCIAL SOLUTIONS, LLC added office(s): 21 -> 23 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
GATEWAY WEALTH PARTNERS, LLC added office(s): 22 -> 24 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
CONCURRENT INVESTMENT ADVISORS, LLC added office(s): 29 -> 30 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
55
CATALYTIC WEALTH MANAGEMENT added office(s): 2 -> 3 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
ASHTON THOMAS SECURITIES, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
SPENCE ASSET MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
SANDERSON WEALTH MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
AA FINANCIAL ADVISORS, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
WRIGHT ASSOCIATES added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
PARK PIEDMONT ADVISORS LLC added office(s): 4 -> 5 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
TOTAL CLARITY WEALTH MANAGEMENT, INC added office(s): 5 -> 10 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
WORTHPOINTE added office(s): 8 -> 9 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
INTEGRAL WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
MALAGA COVE CAPITAL, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
KING WEALTH MANAGEMENT GROUP, LLC added office(s): 8 -> 10 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
PRENTICE WEALTH MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
WALKNER CONDON FINANCIAL ADVISORS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
FUSE PARTNERS, LLC added office(s): 5 -> 8 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
FIDUCIARY FINANCIAL ADVISORS added office(s): 6 -> 7 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
OAK ROOT LLC added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
MILESTONE FINANCIAL PLANNING, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
TCP ASSET MANAGEMENT, LLC added office(s): 8 -> 9 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
LIFEWORKS ADVISORS, LLC added office(s): 14 -> 16 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
TRIVIUM POINT ADVISORY, LLC added office(s): 0 -> 3 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
SOVEREIGN FINANCIAL GROUP, INC. added office(s): 15 -> 16 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
GRAVES LIGHT LENHART added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
INSPIRE ADVISORS, LLC added office(s): 29 -> 30 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
TACTIVE ADVISORS, LLC added office(s): 10 -> 11 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
JACKSONVILLE WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
WEALTH EFFECTS added office(s): 4 -> 5 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
SINGER WEALTH ADVISORS LLC added office(s): 4 -> 5 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
TWIN PEAKS WEALTH ADVISORS added office(s): 1 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
ABOUND FINANCIAL added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
53
SIERRA SUMMIT ADVISORS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
CURRAN & LEWIS INVESTMENT MANAGEMENT, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
SAXONY CAPITAL MANAGEMENT, LLC added office(s): 18 -> 21 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
NESTEGG ADVISORS, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
PENBROOK MANAGEMENT LLC added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
PATHWORKS FINANCIAL, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
BAY CAPITAL ADVISORS, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
GUARDIAN WEALTH ADVISORS, LLC added office(s): 0 -> 5 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
PORTFOLIO RESOURCES ADVISOR GROUP, INC. added office(s): 10 -> 11 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
WOLFSTICH CAPITAL, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
SIZEMORE CAPITAL MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
KEYSTONE WEALTH ADVISORS, INCORPORATED added office(s): 2 -> 3 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
SUMMIT GROUP RETIREMENT PLANNERS, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
CITRINE CAPITAL added office(s): 4 -> 5 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
MATHIS WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
KEY CAPITAL MANAGEMENT, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
PUSHKIN ADVISORY GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
PRECISE INVESTMENT MANAGEMENT, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
BLACKTOWER FINANCIAL MANAGEMENT (US) LLC added office(s): 17 -> 28 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
R.J. CLOUD ADVISORS & COMPANY added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
REDWOOD FINANCIAL PLANNING, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
FUTURE FINANCIAL WEALTH MANAGEMENT GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
WATERROCK WEALTH MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
ROCKPORT WEALTH ADVISORS added office(s): 3 -> 4 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
MJT & ASSOCIATES FINANCIAL ADVISORY GROUP, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
PROXY WEALTH ADVISORS LLC added office(s): 4 -> 5 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
SUCCESS WEALTH MANAGEMENT LLC added office(s): 10 -> 11 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
CHRONOS WEALTH MANAGEMENT, L.L.C. added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
AEGIS WEALTH MANAGEMENT, INC. added office(s): 26 -> 27 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
ILLUMINE INVESTMENT MANAGEMENT, LLC added office(s): 1 -> 3 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
CLARENDON PRIVATE LLC added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
JOEL ADAMS AND ASSOCIATES INC. added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
KNOWN WEALTH LLC added office(s): 0 -> 3 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
STEWARD ADVISORS GROUP, LLC added office(s): 2 -> 4 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
ASHTREE BLOCK VENTURES LLC added office(s): 2 -> 3 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
FAMILY WEALTH PLANNING PARTNERS added office(s): 0 -> 2 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
MIDWAY WEALTH PARTNERS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
ACTS FINANCIAL ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
QUANTUM PORTFOLIO MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
EAGLE WEALTH MANAGEMENT GROUP INC. added office(s): 2 -> 3 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
50
ALTITUDE CAPITAL MANAGEMENT LLC added office(s): 0 -> 3 additional locations. IAPD ↗
Office IT & facilitiesCRMRecruiting & transitions
45
PFM ASSET MANAGEMENT LLC added office(s): 20 -> 23 additional locations. IAPD ↗institutional
Office IT & facilitiesCRMRecruiting & transitions
45
DOCK STREET CAPITAL MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗institutional
Office IT & facilitiesCRMRecruiting & transitions
45
SIMPLIFY ASSET MANAGEMENT INC. added office(s): 9 -> 10 additional locations. IAPD ↗institutional
Office IT & facilitiesCRMRecruiting & transitions
43
GIRARD PENSION SERVICES, LLC added office(s): 1 -> 2 additional locations. IAPD ↗institutional
Office IT & facilitiesCRMRecruiting & transitions
43
DRI CAPITAL (US), INC. added office(s): 1 -> 2 additional locations. IAPD ↗institutional
Office IT & facilitiesCRMRecruiting & transitions
40
CMC ADVISORS, INC. added office(s): 0 -> 2 additional locations. IAPD ↗institutional
Office IT & facilitiesCRMRecruiting & transitions
40
MERITAGE GROUP LP added office(s): 7 -> 10 additional locations. IAPD ↗fund
Office IT & facilitiesCRMRecruiting & transitions
40
STRATEGIC ASSET ALLIANCE added office(s): 1 -> 3 additional locations. IAPD ↗institutional
Office IT & facilitiesCRMRecruiting & transitions
40
DFW CAPITAL MANAGEMENT, LLC added office(s): 3 -> 5 additional locations. IAPD ↗fund
Office IT & facilitiesCRMRecruiting & transitions
40
MAN SOLUTIONS LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
Office IT & facilitiesCRMRecruiting & transitions
40
SRS INVESTMENT MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
Office IT & facilitiesCRMRecruiting & transitions
40
FRAZIER LIFE SCIENCES MANAGEMENT, LP added office(s): 0 -> 1 additional locations. IAPD ↗fund
Office IT & facilitiesCRMRecruiting & transitions
40
AQUILINE MANAGEMENT HOLDINGS LP added office(s): 2 -> 3 additional locations. IAPD ↗fund
Office IT & facilitiesCRMRecruiting & transitions
38
DGV SOLUTIONS LP added office(s): 0 -> 1 additional locations. IAPD ↗fund
Office IT & facilitiesCRMRecruiting & transitions
38
BRIDGEPORT PARTNERS added office(s): 0 -> 1 additional locations. IAPD ↗fund
Office IT & facilitiesCRMRecruiting & transitions
35
BASELINE PARTNERS LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
Office IT & facilitiesCRMRecruiting & transitions
35
ONE MADISON GROUP LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
Office IT & facilitiesCRMRecruiting & transitions
35
BLUE BEACH CAPITAL added office(s): 1 -> 2 additional locations. IAPD ↗fund
Office IT & facilitiesCRMRecruiting & transitions
25
CIBC ASSET MANAGEMENT INC. added office(s): 15 -> 17 additional locations. IAPD ↗foreign
Office IT & facilitiesCRMRecruiting & transitions
25
RATHBONES added office(s): 13 -> 15 additional locations. IAPD ↗foreign
Office IT & facilitiesCRMRecruiting & transitions
23
1832 ASSET MANAGEMENT U.S. INC. added office(s): 9 -> 11 additional locations. IAPD ↗foreign
Office IT & facilitiesCRMRecruiting & transitions
23
BMO NESBITT BURNS SECURITIES LTD. added office(s): 46 -> 52 additional locations. IAPD ↗foreign
Office IT & facilitiesCRMRecruiting & transitions
20
HOXTON CAPITAL MANAGEMENT added office(s): 2 -> 3 additional locations. IAPD ↗foreign
Office IT & facilitiesCRMRecruiting & transitions
new registration — 92 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
98
NORTHSTAR FIDUCIARY PARTNERS, LLC (location n/a) is newly SEC-registered with $451.7M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FC WEALTH SOLUTIONS LLC (WESTERVILLE, OH) is newly SEC-registered with $326.0M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE FOUNDRY FINANCIAL GROUP, INC. (LACONIA, NH) is newly SEC-registered with $198.8M RAUM and 8 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEVEN HILLS FINANCIAL, LLC (TALLAHASSEE, FL) is newly SEC-registered with $109.2M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EMBARK WEALTH MANAGEMENT, LLC (TEMPE, AZ) is newly SEC-registered with $38.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STASH WEALTH, LLC (NEW YORK, NY) is newly SEC-registered with $39.5M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG RETIREMENT (EDINA, MN) is newly SEC-registered with $100.8M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ANGELUS INVESTMENT CONSULTING, INC. (CORAL GABLES, FL) is newly SEC-registered with $179.7M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOUR FINANCIAL MANAGEMENT (ANN ARBOR, MI) is newly SEC-registered with $114.6M RAUM and 6 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLARION (BIRMINGHAM, AL) is newly SEC-registered with $125.9M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ADVANCED PORTFOLIO STRATEGIES (TORRANCE, CA) is newly SEC-registered with $118.2M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILLENNIAL WEALTH (location n/a) is newly SEC-registered with $145.6M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REVOLUTION CAPITAL, LLC (OMAHA, NE) is newly SEC-registered with $136.7M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ECIO, INC. (MADISON, WI) is newly SEC-registered with $131.1M RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROADWEALTH LLC (location n/a) is newly SEC-registered with $123.4M RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORT STREET ASSET MANAGEMENT LLC (HONOLULU, HI) is newly SEC-registered with $126.0M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ATTESSA CAPITAL LLC (TUCSON, AZ) is newly SEC-registered with $108.3M RAUM and 8 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
U.S. CHERRY LLC (ST. PETERSBURG, FL) is newly SEC-registered with $5.2M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KELSEY FINANCIAL, LLC (MOORPARK, CA) is newly SEC-registered with $124.6M RAUM and 7 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STRADA FINANCIAL GROUP LLC (FAIRVIEW, OR) is newly SEC-registered with $107.9M RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PINE HARBOR WEALTH MANAGEMENT LLC (SILVER SPRING, MD) is newly SEC-registered with $158.7M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FRANKLY FINANCES (location n/a) is newly SEC-registered with $124.9M RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CYGNUS CAPITAL ADVISERS, LLC (ATLANTA, GA) is newly SEC-registered with $47.5M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MARIDEA WEALTH MANAGEMENT (BROOKLYN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HYJC CAPITAL OF WNY (LAKEVILLE, NY) is newly SEC-registered with $41.7M RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPHA-LAB ASSET MANAGEMENT INC. (location n/a) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PERIDOT INVESTMENT RESEARCH INC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTER&CO US ADVISORS LLC (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LOCKWOOD WEALTH STRATEGIES, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROI ADVISORY (SAN FRANCISCO, CA) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MINDORO CAPITAL PARTNERS LLC (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRANEL INTELLIGENT INVESTING, LLC (LIBERTYVILLE, IL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EDLY ADVISORS (NEW YORK, NY) is newly SEC-registered with $39.0M RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OFF-ZERO FINANCIAL, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDEPENDENT WEALTH ADVISORS, LLC (CARY, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEADMONT ADVISORS, LLC (VESTAVIA HILLS, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEVENTWO, LLC (GREENWOOD VILLAGE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORAL REEF ADVISORS LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GREYKASELL WEALTH STRATEGIES, INC. (DANVILLE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POTENTIA WEALTH (SAN JOSE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORZA INVESTMENT GROUP, LP (SUMMIT, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POMONA WEALTH MANAGEMENT, LLC (RICHLAND, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINVEST (SAN FRANCISCO, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NOLET WEALTH MANAGEMENT, LLC (FORT WORTH, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INVESTING ONLINE LLC (SANTA MONICA, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EMBARCADERO CAPITAL ADVISORS (LAGUNA HILLS, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOLOMON CAPITAL PARTNERS LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOLIST WEALTH MANAGEMENT (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TIEMPO CAPITAL PARTNERS (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MARINER WEALTH ADVISORS (OVERLAND PARK, KS) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOVRAN ADVISORS, LLC (LA MESA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WELCH FINANCIAL PLANNING, LLC (BOULDER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FG ADVISORY SERVICES, LLC. (BRIARCLIFF MANOR, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAAS FINANCIAL, INC. (SANIBEL, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PROMETHIUM ADVISORS, LLC (BETHESDA, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE SKY CAPITAL CONSULTANTS GROUP, INC. (POWAY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CIRO CAPITAL LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIGHT LANE MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAST29TH CAPITAL (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SOUND CAPITAL SOLUTIONS LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BERNSTEIN INSTITUTIONAL SERVICES LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 85 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
HELIX PARTNERS MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
KULTURA CAPITAL MANAGEMENT LP (PARK CITY, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
VISDOM INVESTMENT GROUP LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
OBRA FUND MANAGEMENT, LLC (AUSTIN, TX) is newly SEC-registered with $0 RAUM and 15 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SECURITIES CAPITAL PARTNERS MANAGEMENT COMPANY, LLC (RALEIGH, NC) is newly SEC-registered with $178.5M RAUM and 4 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
AGNC INVESTMENT MANAGEMENT, LLC (BETHESDA, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GRAVIMARK LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FINIAT, LLC (MOUNT DORA, FL) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
KRANE CAPITAL MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
VENNLIGHT CAPITAL MANAGEMENT, LP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
VISTA CREDIT PARTNERS, L.P. (NEW YORK, NY) is newly SEC-registered with $10.20B RAUM and 28 advisory reps. IAPD ↗fund
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TC43 LLC (PELHAM, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ATLANTIC UNION MUNICIPAL ADVISORS, INC (GLEN ALLEN, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
LYKOS GLOBAL MANAGEMENT, LP (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TRIANGLE INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SWIFT CREEK PARTNERS (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GENESIA INVESTMENTS LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
DFN MANAGEMENT LLC. (TAMPA, FL) is newly SEC-registered with $146.5M RAUM and 3 advisory reps. IAPD ↗fund
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
FUND ASSET MANAGERS (RENO, NV) is newly SEC-registered with $8.0M RAUM and 6 advisory reps. IAPD ↗fund
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
GROUP RMC INVESTMENT ADVISOR LLC (NEW YORK, NY) is newly SEC-registered with $28.4M RAUM and 2 advisory reps. IAPD ↗fund
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
GLOBAL DELTA CAPITAL, LLC (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
EXCOLERE EQUITY PARTNERS, LLC (LOS ANGELES, CA) is newly SEC-registered with $190.0M RAUM and 7 advisory reps. IAPD ↗fund
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
NORTH SHIELD CAPITAL LLC (NEW YORK, NY) is newly SEC-registered with $53.3M RAUM and 4 advisory reps. IAPD ↗fund
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
COLLECTIVE RETIREMENT SOLUTIONS LLC (BRYN MAWR, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
TOWN LANE MANAGEMENT LP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
NEW HYDE PARK ASSET MANAGEMENT LLC (WHEATON, IL) is newly SEC-registered (provisional 120-day approval) with $21.8M RAUM and 10 advisory reps. IAPD ↗fund
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BLKBRD ASSET MANAGEMENT (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
ATB CAPITAL MARKETS USA INC. (CALGARY, ALBERTA, Canada) is newly SEC-registered with $0 RAUM and 17 advisory reps. IAPD ↗foreign
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
BEACON HILL WEALTH MANAGEMENT LTD (VICTORIA, BC, Canada) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
MCA CROSS BORDER CAPITAL INC. (MONTRÉAL, Canada) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
KENSYS LTD (LONDON, United Kingdom) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
planning clients up — 88 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
76
401K INVESTMENT PROFESSIONALS reports More than 500 financial-planning clients, up from 0. IAPD ↗
Financial planning software
75
BARLOW WEALTH PARTNERS, LLC reports 101-250 financial-planning clients, up from 0. IAPD ↗
Financial planning software
73
INVESTMENT PARTNERS LTD reports 101-250 financial-planning clients, up from 0. IAPD ↗
Financial planning software
73
NAVIGATION WEALTH MANAGEMENT reports 251-500 financial-planning clients, up from 0. IAPD ↗
Financial planning software
73
SERENITY INVESTMENT ADVISORS reports 251-500 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
73
CARR FINANCIAL GROUP reports 251-500 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
73
LEIBMAN FINANCIAL SERVCES, INC. reports 251-500 financial-planning clients, up from 0. IAPD ↗
Financial planning software
73
O'DELL CAPITAL MANAGEMENT reports 251-500 financial-planning clients, up from 0. IAPD ↗
Financial planning software
73
NEW HORIZONS WEALTH MANAGEMENT reports 251-500 financial-planning clients, up from 0. IAPD ↗
Financial planning software
70
STEPHENS CONSULTING, LLC reports 251-500 financial-planning clients, up from 11-25. IAPD ↗
Financial planning software
70
FARRELL FINANCIAL reports 101-250 financial-planning clients, up from 0. IAPD ↗
Financial planning software
70
UNIQUE WEALTH STRATEGIES reports 51-100 financial-planning clients, up from 0. IAPD ↗
Financial planning software
70
PACIFIC PEAK ADVISORS, LLC reports 101-250 financial-planning clients, up from 0. IAPD ↗
Financial planning software
67
LIGHTHOUSE FINANCIAL SERVICES INC reports 51-100 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
67
WILSEY ASSET MANAGEMENT INCORPORATED reports 101-250 financial-planning clients, up from 11-25. IAPD ↗
Financial planning software
67
LANDING POINT FINANCIAL GROUP, LLC reports More than 500 financial-planning clients, up from 26-50. IAPD ↗
Financial planning software
67
MEMBERS WEALTH LLC reports 51-100 financial-planning clients, up from 0. IAPD ↗
Financial planning software
67
EHRLICH FINANCIAL GROUP reports 51-100 financial-planning clients, up from 0. IAPD ↗
Financial planning software
67
BPM WEALTH ADVISORS, LLC reports 51-100 financial-planning clients, up from 0. IAPD ↗
Financial planning software
67
FIDUCIARY FAMILY OFFICE, LLC reports 26-50 financial-planning clients, up from 0. IAPD ↗
Financial planning software
66
CITY NATIONAL SECURITIES, INC. reports More than 500 financial-planning clients, up from 101-250. IAPD ↗
Financial planning software
64
MINICHMACGREGOR WEALTH MANAGEMENT, LLC reports 251-500 financial-planning clients, up from 51-100. IAPD ↗
Financial planning software
64
WALKNER CONDON FINANCIAL ADVISORS LLC reports More than 500 financial-planning clients, up from 101-250. IAPD ↗
Financial planning software
64
OLD SLIP REGISTERED INVESTMENT ADVISORS, LLC reports 101-250 financial-planning clients, up from 26-50. IAPD ↗
Financial planning software
64
ATLANTIC EDGE PRIVATE WEALTH MANAGEMENT reports 11-25 financial-planning clients, up from 0. IAPD ↗
Financial planning software
64
STONE RIDGE ADVISORS reports 26-50 financial-planning clients, up from 0. IAPD ↗
Financial planning software
63
MSA FINANCIAL reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
63
CANNELL & SPEARS LLC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
63
GPS WEALTH STRATEGIES GROUP, LLC reports 26-50 financial-planning clients, up from 11-25. IAPD ↗
Financial planning software
63
WEDMONT PRIVATE CAPITAL reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
Financial planning software
61
PERSONAL CHOICE FINANCIAL ADVISORS, LLC reports 101-250 financial-planning clients, up from 26-50. IAPD ↗
Financial planning software
61
PLATT INVESTMENT COUNSEL, LLC reports 101-250 financial-planning clients, up from 26-50. IAPD ↗
Financial planning software
61
MCCLARREN FINANCIAL ADVISORS reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
Financial planning software
61
WISDOM FINANCIAL SERVICES, L.L.C. reports 101-250 financial-planning clients, up from 51-100. IAPD ↗
Financial planning software
61
ETF PORTFOLIO PARTNERS, INC. reports 26-50 financial-planning clients, up from 11-25. IAPD ↗
Financial planning software
61
FRANCO FINANCIAL ADVISORS, INC. reports 11-25 financial-planning clients, up from 0. IAPD ↗
Financial planning software
61
MASON & ASSOCIATES, INC. reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
Financial planning software
61
ATWATER MALICK reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
Financial planning software
61
TAYLOR & MORGAN ASSET MANAGEMENT, LLC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
61
KING WEALTH MANAGEMENT GROUP, LLC reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
Financial planning software
61
BASON ASSET MANAGEMENT reports 101-250 financial-planning clients, up from 51-100. IAPD ↗
Financial planning software
61
GUARDIAN WEALTH STRATEGIES, LLC reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
Financial planning software
61
BETTER MONEY DECISIONS reports 101-250 financial-planning clients, up from 51-100. IAPD ↗
Financial planning software
61
GREAT OAK CAPITAL PARTNERS, LLC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
61
HACKMAN FINANCIAL GROUP reports 1-10 financial-planning clients, up from 0. IAPD ↗
Financial planning software
61
FIDUCIARY FINANCIAL GROUP, LLC reports 101-250 financial-planning clients, up from 51-100. IAPD ↗
Financial planning software
61
ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLC reports 26-50 financial-planning clients, up from 11-25. IAPD ↗
Financial planning software
61
VALTINSON BRUNER FINANCIAL PLANNING reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
Financial planning software
61
LOGAN PARK WEALTH MANAGEMENT reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
Financial planning software
61
MAINSTREET RIA LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
Financial planning software
61
ROSEMEYER MANAGEMENT GROUP reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
Financial planning software
61
GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
Financial planning software
61
CHILDFREE WEALTH reports 101-250 financial-planning clients, up from 26-50. IAPD ↗
Financial planning software
61
PRAIRIEVIEW WEALTH PARTNERS, LLC reports 11-25 financial-planning clients, up from 0. IAPD ↗
Financial planning software
61
SIERRA SUMMIT ADVISORS LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
Financial planning software
58
HUMMER FINANCIAL ADVISORY SERVICES INC reports 1-10 financial-planning clients, up from 0. IAPD ↗
Financial planning software
58
SRM ADVISORS reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
Financial planning software
58
BONNER & SMITH, LLC reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
Financial planning software
58
TOOMEY INVESTMENT MANAGEMENT, INC reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
Financial planning software
58
BAY CAPITAL ADVISORS, LLC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
58
PRAIRIEWOOD WEALTH MANAGEMENT reports 101-250 financial-planning clients, up from 51-100. IAPD ↗
Financial planning software
58
DB & C ADVISORS, LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
Financial planning software
58
ONE ADVISORY PARTNERS, LLC reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
Financial planning software
58
JOSH ARNOLD INVESTMENT CONSULTANT, LLC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
58
DAVID WEALTH MANAGEMENT, LLC reports 101-250 financial-planning clients, up from 51-100. IAPD ↗
Financial planning software
58
BUFFALO FIRST WEALTH MANAGEMENT, LLC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
58
EMERGENT WEALTH ADVISORS, LLC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
58
APTUS FINANCIAL, LLC reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
Financial planning software
58
COPPER LEAF FINANCIAL, LLC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
58
EFFECTIVE ASSETS reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
Financial planning software
58
BONFIRE FINANCIAL, LLC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
58
SIGNIFICANT WEALTH PARTNERS LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
Financial planning software
58
ARCH GLOBAL ADVISORS, LLC reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
Financial planning software
58
INVESTMENT PLANNING ADVISORS reports 26-50 financial-planning clients, up from 11-25. IAPD ↗
Financial planning software
58
WEALTH CREATION MANAGEMENT GROUP LLC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
58
GROWSTRONG WEALTH STRATEGIES reports 1-10 financial-planning clients, up from 0. IAPD ↗
Financial planning software
58
SHIELD WEALTH ADVISORS reports 101-250 financial-planning clients, up from 51-100. IAPD ↗
Financial planning software
58
DEFINED FINANCIAL PLANNING LLC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
58
ALCHEMI WEALTH, LLC reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
Financial planning software
58
BLVD PRIVATE WEALTH, LLC reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
Financial planning software
58
VENTANA PRIVATE WEALTH LLC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
Financial planning software
58
APEX WEALTH MANAGEMENT, LLC reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
Financial planning software
58
INCOMPASS FINANCIAL PARTNERS, LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
Financial planning software
58
ASTRA WEALTH PARTNERS reports 101-250 financial-planning clients, up from 51-100. IAPD ↗
Financial planning software
58
ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM) reports 1-10 financial-planning clients, up from 0. IAPD ↗
Financial planning software
58
ORCHID ADVISORY reports 1-10 financial-planning clients, up from 0. IAPD ↗
Financial planning software
45
BMO PRIVATE INVESTMENT COUNSEL INC. reports 251-500 financial-planning clients, up from 1-10. IAPD ↗foreign
Financial planning software
31
BMO NESBITT BURNS SECURITIES LTD. reports 11-25 financial-planning clients, up from 1-10. IAPD ↗foreign
Financial planning software
deregistered — 72 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE, MN) left the SEC roster (was $19.28B RAUM, 1373 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
65
RESOURCE CONSULTING GROUP (ORLANDO, FL) left the SEC roster (was $2.32B RAUM, 16 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
65
MADISON WEALTH MANAGEMENT (CINCINNATI, OH) left the SEC roster (was $1.12B RAUM, 12 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
65
CHAMPION CAPITAL RESEARCH, INC. (HOUSTON, TX) left the SEC roster (was $1.28B RAUM, 3 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
65
TRUVVO PARTNERS LLC (NEW YORK, NY) left the SEC roster (was $3.80B RAUM, 9 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
65
AJ WEALTH (NEW YORK, NY) left the SEC roster (was $2.37B RAUM, 14 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
63
LANDMARK FINANCIAL ADVISORS, LLC (BOWLING GREEN, KY) left the SEC roster (was $503.7M RAUM, 6 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
63
SUTTON WEALTH ADVISORS, INC. (TAMPA, FL) left the SEC roster (was $392.7M RAUM, 3 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
63
CAPITAL POINT FINANCIAL GROUP, LTD. (GLENVIEW, IL) left the SEC roster (was $312.6M RAUM, 10 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
63
WEALTHONE, LLC (ALBANY, NY) left the SEC roster (was $382.2M RAUM, 11 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
63
TRAVERSO CHAMBERS PRIVATE WEALTH MANAGEMENT, LLC (SANTA ROSA, CA) left the SEC roster (was $452.3M RAUM, 4 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
MACALLASTER PITFIELD MACKAY INC. (location n/a) left the SEC roster (was $168.7M RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
ARMSTRONG SHAW ASSOCIATES INC. (WILTON, CT) left the SEC roster (was $109.3M RAUM, 2 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
CAPITAL FINANCIAL SERVICES LLC (CLIFTON PARK, NY) left the SEC roster (was $127.6M RAUM, 2 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
PROFITSCORE CAPITAL MANAGEMENT, INC. (EAGLE, ID) left the SEC roster (was $70.2M RAUM, 4 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
ASSET MANAGEMENT RESOURCES, LLC (HYANNIS, MA) left the SEC roster (was $220.7M RAUM, 6 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
ALIGN INVESTMENT MANAGEMENT, LLC (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
HARVEST ASSET GROUP, LLC (PORTLAND, ME) left the SEC roster (was $107.3M RAUM, 2 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
WALSH FINANCIAL CONSULTING (location n/a) left the SEC roster (was $211.0M RAUM, 0 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
TEN CAPITAL ADVISORS LLC (NEW YORK, NY) left the SEC roster (was $113.5M RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
JCN FINANCIAL & TAX ADVISORY GROUP, LLC (BATON ROUGE, LA) left the SEC roster (was $83.2M RAUM, 2 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
CRESCENDO ASSET MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $184.5M RAUM, 5 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
ACHIEVE WEALTH PARTNERS LLC (ROCHESTER, NY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
SCIENTIFIC INVESTMENT MANAGEMENT (BOSTON, MA) left the SEC roster (was $349,891 RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
TILT INVESTMENT MANAGEMENT (location n/a) left the SEC roster (was $154.4M RAUM, 5 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
NICHE INVESTMENT ADVISORS LLC (KING OF PRUSSIA, PA) left the SEC roster — its 120-day provisional registration did not convert (was $25.2M RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
LEVO ADVISER, LLC (location n/a) left the SEC roster (was $405,800 RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
WEALTH SQUARE INC. (MIAMI, FL) left the SEC roster (was $500 RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
GENIE AI LLC (BROOKLINE, MA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
TEJO FINANCIAL ADVISORY (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
MAYBE FINANCE, INC. (BIRMINGHAM, AL) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
PARABLA, LLC (OAK RIDGE, NC) left the SEC roster (was $17.8M RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
PREDICATE INVESTMENT ADVISORS (SCOTTSDALE, AZ) left the SEC roster — its 120-day provisional registration did not convert (was $20.2M RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
PARTI PRIS INVESTMENT PARTNERS, INC. (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
957 ADVISORS LLC (WEST HOLLYWOOD, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
60
WEALTHLYNK, INC. (FALLBROOK, CA) left the SEC roster — its 120-day provisional registration did not convert (was $32.3M RAUM, 1 reps). IAPD ↗
Recruiting & transitionsM&A & valuation
55
HIGHMARK CAPITAL MANAGEMENT, INC. (SAN FRANCISCO, CA) left the SEC roster (was $8.66B RAUM, 30 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
55
GREYFELL CAPITAL MANAGEMENT (TAMPA, FL) left the SEC roster (was $1.00B RAUM, 5 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
53
KEPPLER ASSET MANAGEMENT INC. (NEW YORK, NY) left the SEC roster (was $462.5M RAUM, 6 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
53
NOVANT ASSET MANAGEMENT, LLC (WINSTON-SALEM, NC) left the SEC roster (was $945.8M RAUM, 6 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
53
VOLTRADE LP (MIAMI, FL) left the SEC roster (was $425.0M RAUM, 2 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
53
JOCASSEE QUANTITATIVE, LLC (CHARLOTTESVILLE, VA) left the SEC roster (was $605.6M RAUM, 7 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
50
CASTLE CREEK STRATEGIES, LLC (location n/a) left the SEC roster (was $1.37B RAUM, 3 reps). IAPD ↗fund
Recruiting & transitionsM&A & valuation
50
AQUILINE HOLDINGS LLC (NEW YORK, NY) left the SEC roster (was $9.57B RAUM, 50 reps). IAPD ↗fund
Recruiting & transitionsM&A & valuation
50
EQUBOT INC. (SAN FRANCISCO, CA) left the SEC roster (was $117.3M RAUM, 3 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
50
MAN SOLUTIONS (USA) LLC (NEW YORK, NY) left the SEC roster (was $116.6M RAUM, 4 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
50
THEMATIC INVESTMENTS, LLC (OVERLAND PARK, KS) left the SEC roster (was $8.7M RAUM, 1 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
50
YOTTA RIA, LLC (NEW YORK, NY) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
50
THE ENERGY & MINERALS GROUP ADVISORS, LLC (NAPLES, FL) left the SEC roster (was $2.8M RAUM, 3 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
50
IH2 ADVISORS & COMPANY (WILMINGTON, DE) left the SEC roster (was $2.5M RAUM, 1 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
50
SUPERSTATE INC. (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
50
HGC MANAGER, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
50
MOBILIZE CAPITAL PARTNERS, LP (STAMFORD, CT) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
50
BEREAN PORTFOLIOS, LLC (ROLLA, MO) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
Recruiting & transitionsM&A & valuation
48
NORTH FOURTH ASSET MANAGEMENT, LP (ENGLEWOOD CLIFFS, NJ) left the SEC roster (was $436.4M RAUM, 5 reps). IAPD ↗fund
Recruiting & transitionsM&A & valuation
48
KCL CAPITAL, L.P. (NEW YORK, NY) left the SEC roster (was $948.6M RAUM, 11 reps). IAPD ↗fund
Recruiting & transitionsM&A & valuation
45
SIERRA GLOBAL MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $145.4M RAUM, 4 reps). IAPD ↗fund
Recruiting & transitionsM&A & valuation
45
BISHOP ROCK CAPITAL, L.P. (NEW YORK, NY) left the SEC roster (was $135.0M RAUM, 3 reps). IAPD ↗fund
Recruiting & transitionsM&A & valuation
45
CORETRUST INVESTMENT MANAGEMENT LLC (LOS ANGELES, CA) left the SEC roster (was $121.8M RAUM, 11 reps). IAPD ↗fund
Recruiting & transitionsM&A & valuation
45
SAFKHET CAPITAL MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $25.7M RAUM, 2 reps). IAPD ↗fund
Recruiting & transitionsM&A & valuation
45
SOUTH STREET CAPITAL MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $92.0M RAUM, 5 reps). IAPD ↗fund
Recruiting & transitionsM&A & valuation
45
AXXES DIRECT ADVISORS LLC (CORAL GABLES, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗fund
Recruiting & transitionsM&A & valuation
35
COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITED (LONDON, United Kingdom) left the SEC roster (was $2.88B RAUM, 3 reps). IAPD ↗foreign
Recruiting & transitionsM&A & valuation
35
WELLINGTON MANAGEMENT INTERNATIONAL LTD (LONDON, United Kingdom) left the SEC roster (was $101.26B RAUM, 140 reps). IAPD ↗foreign
Recruiting & transitionsM&A & valuation
35
WELLINGTON MANAGEMENT SINGAPORE PTE LTD (SINGAPORE, Singapore) left the SEC roster (was $29.45B RAUM, 39 reps). IAPD ↗foreign
Recruiting & transitionsM&A & valuation
35
INTESA SANPAOLO WEALTH MANAGEMENT (LUXEMBOURG, Luxembourg) left the SEC roster (was $4.49B RAUM, 46 reps). IAPD ↗foreign
Recruiting & transitionsM&A & valuation
33
FORSTRONG GLOBAL ASSET MANAGEMENT INC. (TORONTO, ONTARIO, Canada) left the SEC roster (was $397.3M RAUM, 7 reps). IAPD ↗foreign
Recruiting & transitionsM&A & valuation
33
REGAL PARTNERS LIMITED (SYDNEY, NSW, Australia) left the SEC roster (was $944.3M RAUM, 9 reps). IAPD ↗foreign
Recruiting & transitionsM&A & valuation
30
AGFE (LONDON, United Kingdom) left the SEC roster (was $0 RAUM, 19 reps). IAPD ↗foreign
Recruiting & transitionsM&A & valuation
30
LLOYD GEORGE MANAGEMENT (HK) LIMITED (HONG KONG, Hong Kong) left the SEC roster (was $51.9M RAUM, 3 reps). IAPD ↗foreign
Recruiting & transitionsM&A & valuation
30
ATLAS SQUARE PARTNERS LLP (LONDON, United Kingdom) left the SEC roster (was $189.3M RAUM, 1 reps). IAPD ↗foreign
Recruiting & transitionsM&A & valuation
30
DELPHIA (TORONTO, ONTARIO, Canada) left the SEC roster (was $187.1M RAUM, 21 reps). IAPD ↗foreign
Recruiting & transitionsM&A & valuation
pending approved — 54 120-day provisional registration became a full approval.
75
DIVERSIFY ADVISORY SERVICES, LLC's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ALIGNMENT FINANCIAL GROUP's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
LEGACY WEALTH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ATLANTIC EDGE PRIVATE WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ABOUND FINANCIAL's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
MB GEN WEALTH's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
LEGACY EDGE ADVISORS's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
SIERRA SUMMIT ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
JENNINGS & ASSOCIATES FINANCIAL ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TIER ONE WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ATFS ADVISERS's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BPM WEALTH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
UNIFIED INVESTMENT MANAGEMENT's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TRIAD WEALTH PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TIDE COVE CAPITAL PARTNERS LLC's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FINANCIAL MANAGEMENT ASSOCIATES, LLC's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FREEDOM FINANCIAL PARTNERS LLC's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TREASURY INTERACTIVE INVESTMENT ADVISERS LLC's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
HERON FINANCE's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
NEXT LEVEL WEALTH PLANNING, LLC's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
INTENTIONAL WEALTH STRATEGIES's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ORCHID ADVISORY's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
STIRLINGSHIRE INVESTMENTS's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
COASTAL WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
STONE RIDGE ADVISORS's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PRAIRIEVIEW WEALTH PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
JN PRIVATE WEALTH MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
VISTA INVESTMENT PARTNERS's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MAIN ADVISORY, INC.'s provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BARE WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
NEW HORIZONS WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
LMPG WEALTH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ASEMPA WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CAPITAL A WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
KILONOVA CAPITAL's provisional registration is now fully approved. IAPD ↗institutional
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
HBC GROUP LLC.'s provisional registration is now fully approved. IAPD ↗institutional
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
WHEELER RETIREMENT PLANS LLC's provisional registration is now fully approved. IAPD ↗institutional
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
LANGAR INVESTMENT MANAGEMENT's provisional registration is now fully approved. IAPD ↗institutional
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
ANTHELION CAPITAL PARTNERS LLC's provisional registration is now fully approved. IAPD ↗fund
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
COLLER PRIVATE MARKET SECONDARIES ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗institutional
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
ALPHA BLUE CAPITAL's provisional registration is now fully approved. IAPD ↗institutional
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
WEALTH BUILDER FUNDS LLC's provisional registration is now fully approved. IAPD ↗institutional
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
SNOWHAWK LP's provisional registration is now fully approved. IAPD ↗fund
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
GOOD SPRINGS CAPITAL's provisional registration is now fully approved. IAPD ↗fund
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
CONSTELLATION WEALTH CAPITAL's provisional registration is now fully approved. IAPD ↗fund
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
GENERATE CAPITAL ADVISORS, PB LLC's provisional registration is now fully approved. IAPD ↗fund
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
SKKY PARTNERS, LP's provisional registration is now fully approved. IAPD ↗fund
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
FALCONPOINT CAPITAL PARTNERS LLC's provisional registration is now fully approved. IAPD ↗fund
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
THE VISUALIZE GROUP LP's provisional registration is now fully approved. IAPD ↗fund
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
SALLYPORT PARTNERS's provisional registration is now fully approved. IAPD ↗fund
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
OUTERLANDS CAPITAL MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗fund
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
ARAVALLI CAPITAL MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗fund
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
BLUE BEACH CAPITAL's provisional registration is now fully approved. IAPD ↗fund
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
43
QUADRA GESTAO DE RECURSOS S.A.'s provisional registration is now fully approved. IAPD ↗foreign
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
headcount up — 51 Advisory representative count grew materially (>=20% or >=5 reps).
85
RBC CAPITAL MARKETS, LLC grew from 2024 to 2042 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
85
WAVERLY ADVISORS, LLC grew from 46 to 69 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
85
CITY NATIONAL ROCHDALE grew from 100 to 129 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
85
CURI RMB CAPITAL, LLC grew from 49 to 66 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
85
SOUND INCOME STRATEGIES, LLC grew from 73 to 95 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
85
FIRST COMMAND ADVISORY SERVICES grew from 947 to 1050 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
80
CANNELL & SPEARS LLC grew from 9 to 19 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
79
CAPITAL INVESTMENT ADVISORS, LLC grew from 34 to 43 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
78
TRIVIUM POINT ADVISORY, LLC grew from 4 to 14 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
77
POTOMAC FUND MANAGEMENT grew from 17 to 24 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
76
FLAGSHIP HARBOR ADVISORS, LLC grew from 52 to 58 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
75
STIRLINGSHIRE INVESTMENTS grew from 1 to 11 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
73
LINDBERG & RIPPLE grew from 4 to 12 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
72
BLOOM ADVISORS grew from 8 to 10 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
72
NICHOLAS CO INC grew from 6 to 8 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
71
GREAT LAKES RETIREMENT, INC. grew from 10 to 13 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
71
REDWOOD PRIVATE WEALTH grew from 50 to 56 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
70
SIXTH STREET ADVISERS, LLC grew from 249 to 267 advisory reps. IAPD ↗fund
CRMRecruiting & transitionsComplianceFinancial planning software
70
CORNERSTONE WEALTH PLANNING grew from 5 to 7 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
70
VERMILLION WEALTH MANAGEMENT INC. grew from 3 to 5 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
70
HURLOW WEALTH MANAGEMENT GROUP, INC. grew from 6 to 8 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
70
MILESTONE FINANCIAL PLANNING, LLC grew from 8 to 10 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
70
FIVE OCEANS ADVISORS grew from 4 to 6 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
70
CHEMISTRY WEALTH MANAGEMENT LLC grew from 4 to 6 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
70
COMPASS FINANCIAL ADVISORY SERVICES, LLC grew from 2 to 4 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
70
SIERRA SUMMIT ADVISORS LLC grew from 1 to 3 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
69
PROXY WEALTH ADVISORS LLC grew from 5 to 9 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
68
DOMAIN MONEY ADVISORS, LLC grew from 2 to 5 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
68
APFORIA grew from 3 to 6 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
67
CANTY FINANCIAL MANAGEMENT, INC. grew from 3 to 5 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
67
MUTUAL TRUST ASSET MGMT., INC. grew from 10 to 12 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
67
REDWOOD FINANCIAL PLANNING, LLC grew from 3 to 5 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
67
SUCCESS WEALTH MANAGEMENT LLC grew from 10 to 12 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
67
QP WEALTH MANAGEMENT, LLC grew from 2 to 4 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
67
WESTVIEW INVESTMENT ADVISORS grew from 3 to 5 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
67
BEACON WEALTHCARE LLC grew from 3 to 5 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
67
ASCEND INTERPLAY, LLC grew from 3 to 5 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
67
ALTITUDE CAPITAL MANAGEMENT LLC grew from 1 to 3 advisory reps. IAPD ↗
CRMRecruiting & transitionsComplianceFinancial planning software
63
ANCHORAGE CAPITAL GROUP, L.L.C. grew from 37 to 45 advisory reps. IAPD ↗fund
CRMRecruiting & transitionsComplianceFinancial planning software
61
CONSTELLATION WEALTH CAPITAL grew from 6 to 14 advisory reps. IAPD ↗fund
CRMRecruiting & transitionsComplianceFinancial planning software
60
KILONOVA CAPITAL grew from 6 to 8 advisory reps. IAPD ↗institutional
CRMRecruiting & transitionsComplianceFinancial planning software
60
MEKETA CAPITAL, LLC grew from 1 to 6 advisory reps. IAPD ↗institutional
CRMRecruiting & transitionsComplianceFinancial planning software
59
MAN SOLUTIONS LLC grew from 15 to 19 advisory reps. IAPD ↗fund
CRMRecruiting & transitionsComplianceFinancial planning software
55
CIBC ASSET MANAGEMENT INC. grew from 243 to 265 advisory reps. IAPD ↗foreign
CRMRecruiting & transitionsComplianceFinancial planning software
55
RBC PRIVATE COUNSEL (USA) INC. grew from 1250 to 1326 advisory reps. IAPD ↗foreign
CRMRecruiting & transitionsComplianceFinancial planning software
54
RBC GLOBAL ASSET MANAGEMENT (UK) LIMITED grew from 131 to 145 advisory reps. IAPD ↗foreign
CRMRecruiting & transitionsComplianceFinancial planning software
53
ARAVALLI CAPITAL MANAGEMENT LP grew from 1 to 4 advisory reps. IAPD ↗fund
CRMRecruiting & transitionsComplianceFinancial planning software
50
NATWEALTH MANAGEMENT grew from 44 to 122 advisory reps. IAPD ↗foreign
CRMRecruiting & transitionsComplianceFinancial planning software
46
JARISLOWSKY FRASER LTD grew from 67 to 73 advisory reps. IAPD ↗foreign
CRMRecruiting & transitionsComplianceFinancial planning software
45
BMO PRIVATE INVESTMENT COUNSEL INC. grew from 120 to 125 advisory reps. IAPD ↗foreign
CRMRecruiting & transitionsComplianceFinancial planning software
42
1832 ASSET MANAGEMENT U.S. INC. grew from 18 to 22 advisory reps. IAPD ↗foreign
CRMRecruiting & transitionsComplianceFinancial planning software
website changed — 47 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
COOPER MCMANUS changed its website from fcguides.com to morgansterlingpwm.com. IAPD ↗
Marketing & brand
30
NATURAL INVESTMENTS changed its website from resilientinvestor.com to naturalinvestments.com. IAPD ↗
Marketing & brand
30
GPS WEALTH STRATEGIES GROUP, LLC changed its website from truewealthadvisorsinc.com to lizwindisch.com. IAPD ↗
Marketing & brand
30
CEDAR BROOK GROUP changed its website from fmgwebsites.com to micedarbrook.com. IAPD ↗
Marketing & brand
28
SPENCE ASSET MANAGEMENT changed its website from spenceassetmanagement.com to ww-capital.com. IAPD ↗
Marketing & brand
28
TOWLE & CO changed its website from towleco.com to towledeepvaluefund.com. IAPD ↗
Marketing & brand
28
WINDSOR CAPITAL MANAGEMENT, LLC changed its website from windsorcapitalmanagement.com to moneyuncomplicated.net. IAPD ↗
Marketing & brand
28
FPL CAPITAL MANAGEMENT, LLC changed its website from fplcapital.com to fplcm.com. IAPD ↗
Marketing & brand
28
NAMCOA changed its website from namcoa.com to flretire.com. IAPD ↗
Marketing & brand
28
SIGNALPOINT ASSET MANAGEMENT LLC changed its website from walnutcapitalmanagement.com to signalpointinvest.com. IAPD ↗
Marketing & brand
28
LEGACY FINANCIAL GROUP changed its website from iowafinancialplanner.com to billelson.com. IAPD ↗
Marketing & brand
28
CGN ADVISORS, LLC changed its website from pearsonfinancialplanning.com to growingfortunes.com. IAPD ↗
Marketing & brand
28
CORNERSTONE WEALTH PLANNING changed its website from cornerstone4planning.com to rpblueprint.com. IAPD ↗
Marketing & brand
28
ONEASCENT FINANCIAL SERVICES LLC changed its website from providencefa.com to anthemwealthadvisors.com. IAPD ↗
Marketing & brand
28
CEETO CAPITAL GROUP, LLC changed its website from citocapitalgroup.com to ceetocapitalgroup.com. IAPD ↗
Marketing & brand
28
COUNCIL OAK WEALTH ADVISORS changed its website from counciloakwealth.com to counciloakinvestments.com. IAPD ↗
Marketing & brand
28
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC changed its website from wlpwm.com to walledlakewealth.com. IAPD ↗
Marketing & brand
28
TACTIVE ADVISORS, LLC changed its website from tactivewealth.com to strategymarketplace.com. IAPD ↗
Marketing & brand
28
ECOFIN ADVISORS, LLC changed its website from podcasts.ecofininvest.com to ecofininvest.com. IAPD ↗
Marketing & brand
28
MILESTONE ASSET MANAGEMENT, LLC changed its website from milestoneam.com to milestoneassetmanagement.com. IAPD ↗
Marketing & brand
28
WEALTH EFFECTS changed its website from bostonharborgroup.com to w-effects.com. IAPD ↗
Marketing & brand
28
PORTSIDE WEALTH GROUP, LLC changed its website from suncrestadvisors.com to oxfordfinancialgroup.com. IAPD ↗
Marketing & brand
25
FERGUSON-JOHNSON WEALTH MANAGEMENT, INC. changed its website from fjwealthmanagement.com to mymoneymanager.com. IAPD ↗
Marketing & brand
25
AMERICAN FINANCIAL MANAGEMENT, LTD. changed its website from afm-invest.com to afm-reps.com. IAPD ↗
Marketing & brand
25
QCA CAPITAL MANAGEMENT INC changed its website from likedin.com to quincycass.com. IAPD ↗
Marketing & brand
25
FISCAL WISDOM WEALTH MANAGEMENT LLC changed its website from sevenventures.org to fiscalwisdom.com. IAPD ↗
Marketing & brand
25
BULL OAK CAPITAL, LLC changed its website from bulloakcapital.com to bulloak.com. IAPD ↗
Marketing & brand
25
LATKO WEALTH MANAGEMENT, LTD. changed its website from davidlatko.com to latkowealth.com. IAPD ↗
Marketing & brand
25
GREAT HILL ADVISORY changed its website from greathilladvisory.com to baysidetaxandwealth.com. IAPD ↗
Marketing & brand
25
BEYOND FINANCIAL SERVICES changed its website from millarfinancialgroup.com to millarfinancial.com. IAPD ↗
Marketing & brand
25
CALABASAS ADVISORY GROUP, LLC changed its website from semelengfinancialservices.com to jlwealthmanagement.com. IAPD ↗
Marketing & brand
25
SIEBERT ADVISORNXT, LLC. changed its website from advisornxt.com to siebertnxt.com. IAPD ↗
Marketing & brand
25
GO WEALTH MANAGEMENT changed its website from goinvestmentsvcs.com to gowealthgroup.com. IAPD ↗
Marketing & brand
25
AEGIS WEALTH MANAGEMENT, INC. changed its website from yourannuitysource.com to investpistole.com. IAPD ↗
Marketing & brand
25
ASCEND INTERPLAY, LLC changed its website from interplay.fo to ascend.fo. IAPD ↗
Marketing & brand
25
ZAMP INVEST changed its website from zamp.finance to zampinvest.com. IAPD ↗
Marketing & brand
25
O'DELL CAPITAL MANAGEMENT changed its website from raymondjames.com to teamocm.com. IAPD ↗
Marketing & brand
20
ADP STRATEGIC PLAN SERVICES, LLC changed its website from public.adpstrategicplanservices.com to adpstrategicplanservices.com. IAPD ↗institutional
Marketing & brand
20
NEOS INVESTMENT MANAGEMENT, LLC changed its website from neosinvestments.com to neosfunds.com. IAPD ↗institutional
Marketing & brand
18
TIS ADVISORS changed its website from oef.tortoiseecofin.com to etp.ecofininvest.com. IAPD ↗institutional
Marketing & brand
15
CHADLER INVESTMENT ADVISORY SOLUTIONS, LLC changed its website from chadlersolutions.com to acrisure.com. IAPD ↗institutional
Marketing & brand
15
INDYFIN LLC changed its website from indyfin.com to indyfin-llc.com. IAPD ↗institutional
Marketing & brand
15
FRAZIER LIFE SCIENCES MANAGEMENT, LP changed its website from frazierhealthcare.com to frazierls.com. IAPD ↗fund
Marketing & brand
15
STEPSTONE GROUP PRIVATE DEBT LLC changed its website from vimeo.com to stepstonegroup.com. IAPD ↗institutional
Marketing & brand
13
POETIC GROUP LLC changed its website from poeticgroup.com to poethillcap.com. IAPD ↗fund
Marketing & brand
10
ARGOSY-LIONBRIDGE MANAGEMENT, LLC changed its website from lionbridgecap.com to argosylbm.com. IAPD ↗fund
Marketing & brand
1
INNOCAP GLOBAL INVESTMENT MANAGEMENT (IRELAND) LTD changed its website from innocapglobal.com to innocap.com. IAPD ↗foreign
Marketing & brand
disclosure added — 43 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
RAYMOND JAMES & ASSOCIATES, INC.'s Item 11 disclosure-reporting entries rose by 20 (131 -> 151). IAPD ↗
ComplianceMarketing & brand
55
LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 1 (323 -> 324). IAPD ↗
ComplianceMarketing & brand
55
VALIC FINANCIAL ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 2 (51 -> 53). IAPD ↗
ComplianceMarketing & brand
55
CITY NATIONAL SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 2 (35 -> 37). IAPD ↗
ComplianceMarketing & brand
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC.'s Item 11 disclosure-reporting entries rose by 1 (95 -> 96). IAPD ↗
ComplianceMarketing & brand
55
JOHN HANCOCK INVESTMENT MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 1 (17 -> 18). IAPD ↗
ComplianceMarketing & brand
55
MANULIFE INVESTMENT MANAGEMENT (US) LLC's Item 11 disclosure-reporting entries rose by 1 (20 -> 21). IAPD ↗
ComplianceMarketing & brand
55
PUTNAM INVESTMENT MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 3 (4 -> 7). IAPD ↗
ComplianceMarketing & brand
55
RREEF AMERICA L.L.C.'s Item 11 disclosure-reporting entries rose by 1 (95 -> 96). IAPD ↗
ComplianceMarketing & brand
55
EAGLE STRATEGIES LLC's Item 11 disclosure-reporting entries rose by 2 (67 -> 69). IAPD ↗
ComplianceMarketing & brand
55
U.S. BANCORP ASSET MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 6 (37 -> 43). IAPD ↗
ComplianceMarketing & brand
55
CITY NATIONAL ROCHDALE's Item 11 disclosure-reporting entries rose by 4 (5 -> 9). IAPD ↗
ComplianceMarketing & brand
55
KESTRA PRIVATE WEALTH SERVICES, LLC's Item 11 disclosure-reporting entries rose by 2 (16 -> 18). IAPD ↗
ComplianceMarketing & brand
55
GLADSTONE WEALTH PARTNERS's Item 11 disclosure-reporting entries rose by 5 (10 -> 15). IAPD ↗
ComplianceMarketing & brand
55
KESTRA ADVISORY SERVICES, LLC's Item 11 disclosure-reporting entries rose by 5 (24 -> 29). IAPD ↗
ComplianceMarketing & brand
53
CREDIT SUISSE SECURITIES (USA) LLC's Item 11 disclosure-reporting entries rose by 3 (461 -> 464). IAPD ↗
ComplianceMarketing & brand
53
BRITE ADVISORS USA, INC.'s Item 11 disclosure-reporting entries rose by 1 (4 -> 5). IAPD ↗
ComplianceMarketing & brand
50
DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 1 (654 -> 655). IAPD ↗
ComplianceMarketing & brand
50
MONACO CAPITAL MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
ComplianceMarketing & brand
50
SYMPHONIC FINANCIAL ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (5 -> 7). IAPD ↗
ComplianceMarketing & brand
50
ELAN WEALTH MANAGEMENT, L.L.C.'s Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
ComplianceMarketing & brand
50
FAIRSCALE CAPITAL, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
ComplianceMarketing & brand
50
SUCCESS WEALTH MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗
ComplianceMarketing & brand
45
JOHN HANCOCK VARIABLE TRUST ADVISERS LLC's Item 11 disclosure-reporting entries rose by 2 (18 -> 20). IAPD ↗institutional
ComplianceMarketing & brand
45
SUNAMERICA ASSET MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (18 -> 20). IAPD ↗institutional
ComplianceMarketing & brand
45
PFM ASSET MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 6 (37 -> 43). IAPD ↗institutional
ComplianceMarketing & brand
45
DBX ADVISORS LLC's Item 11 disclosure-reporting entries rose by 1 (95 -> 96). IAPD ↗institutional
ComplianceMarketing & brand
45
SEGANTII CAPITAL MANAGEMENT (USA) LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗institutional
ComplianceMarketing & brand
40
PANAGORA ASSET MANAGEMENT INC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
ComplianceMarketing & brand
40
AON INVESTMENTS USA INC.'s Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗fund
ComplianceMarketing & brand
40
THE PUTNAM ADVISORY COMPANY, LLC's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗fund
ComplianceMarketing & brand
40
OEP CAPITAL ADVISORS, L.P.'s Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
ComplianceMarketing & brand
38
SNOWHAWK LP's Item 11 disclosure-reporting entries rose by 10 (0 -> 10). IAPD ↗fund
ComplianceMarketing & brand
25
DWS INTERNATIONAL GMBH's Item 11 disclosure-reporting entries rose by 1 (96 -> 97). IAPD ↗foreign
ComplianceMarketing & brand
25
HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗foreign
ComplianceMarketing & brand
25
CIBC ASSET MANAGEMENT INC.'s Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗foreign
ComplianceMarketing & brand
25
DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 2 (94 -> 96). IAPD ↗foreign
ComplianceMarketing & brand
25
INVESCO ASSET MANAGEMENT LTD.'s Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗foreign
ComplianceMarketing & brand
25
CREDIT SUISSE ASSET MANAGEMENT LIMITED's Item 11 disclosure-reporting entries rose by 3 (61 -> 64). IAPD ↗foreign
ComplianceMarketing & brand
25
PUTNAM INVESTMENTS LIMITED's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗foreign
ComplianceMarketing & brand
25
MANULIFE INVESTMENT MANAGEMENT (NORTH AMERICA) LIMITED's Item 11 disclosure-reporting entries rose by 1 (12 -> 13). IAPD ↗foreign
ComplianceMarketing & brand
25
DWS ALTERNATIVES GLOBAL LIMITED's Item 11 disclosure-reporting entries rose by 1 (95 -> 96). IAPD ↗foreign
ComplianceMarketing & brand
25
DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 1 (94 -> 95). IAPD ↗foreign
ComplianceMarketing & brand
rename — 42 Primary business name changed: rebrand, merger, or ownership change.
60
PINNACLE WEALTH PLANNING SERVICES, INC. is now doing business as PINNACLE ADVISORS. IAPD ↗
Marketing & brandCRM
60
WETHERBY ASSET MANAGEMENT is now doing business as LNW. IAPD ↗
Marketing & brandCRM
60
M.D. SASS, INC. is now doing business as M.D. SASS, LLC. IAPD ↗
Marketing & brandCRM
60
LAIRD NORTON WEALTH MANAGEMENT is now doing business as LNW. IAPD ↗
Marketing & brandCRM
60
FIRST NATIONAL CORPORATION is now doing business as FIRST NATIONAL ADVISORS LLC. IAPD ↗
Marketing & brandCRM
60
RMB CAPITAL MANAGEMENT is now doing business as CURI RMB CAPITAL, LLC. IAPD ↗
Marketing & brandCRM
60
SPEARS ABACUS ADVISORS LLC is now doing business as CANNELL & SPEARS LLC. IAPD ↗
Marketing & brandCRM
60
SA STONE INVESTMENT ADVISORS INC. is now doing business as STONEX ADVISORS INC.. IAPD ↗
Marketing & brandCRM
60
FUNDAMENTUM, LLC is now doing business as STRATOS INVESTMENT MANAGEMENT, LLC. IAPD ↗
Marketing & brandCRM
60
CONGRESS WEALTH MANAGEMENT LLC is now doing business as CW ADVISORS, LLC. IAPD ↗
Marketing & brandCRM
58
EXCEL SECURITIES & ASSOCIATES,INC. is now doing business as ASHTON THOMAS SECURITIES, LLC. IAPD ↗
Marketing & brandCRM
58
ASSET ADVISORY GROUP INC is now doing business as ASSET ADVISORY GROUP, INC.. IAPD ↗
Marketing & brandCRM
58
SUMMIT FINANCIAL ADVISORS, LLC is now doing business as SUMMIT FINANCIAL. IAPD ↗
Marketing & brandCRM
58
AMBASSADOR ADVISORS, LLC is now doing business as FAITHWARD ADVISORS, LLC. IAPD ↗
Marketing & brandCRM
58
FIRSTPURPOSE WEALTH LLC is now doing business as DIVERSIFY WEALTH MANAGEMENT LLC. IAPD ↗
Marketing & brandCRM
58
CITO CAPITAL GROUP, LLC is now doing business as CEETO CAPITAL GROUP, LLC. IAPD ↗
Marketing & brandCRM
55
AMERICAN FINANCIAL MANAGEMENT LTD is now doing business as AMERICAN FINANCIAL MANAGEMENT, LTD.. IAPD ↗
Marketing & brandCRM
55
AGILIS WEALTH MANAGEMENT is now doing business as JASMIJN CAPITAL MANAGEMENT, LLC. IAPD ↗
Marketing & brandCRM
55
OSWEGO WEALTH ADVISORS INC. is now doing business as WELLSPRING ADVISORS, INC.. IAPD ↗
Marketing & brandCRM
55
WILLIAMS WEALTH MANAGEMENT, LLC is now doing business as FAIRSCALE CAPITAL, LLC. IAPD ↗
Marketing & brandCRM
55
RADIUS WEALTH MANAGEMENT LLC is now doing business as RADIUS WEALTH MANAGEMENT, INC.. IAPD ↗
Marketing & brandCRM
55
PORTSMOUTH - SMARTLIFE FINANCIAL GROUP, LLC is now doing business as FISCAL WISDOM WEALTH MANAGEMENT LLC. IAPD ↗
Marketing & brandCRM
55
WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC is now doing business as WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.. IAPD ↗
Marketing & brandCRM
55
MILLAR FINANCIAL GROUP is now doing business as BEYOND FINANCIAL SERVICES. IAPD ↗
Marketing & brandCRM
55
SIEBERT ADVISORNXT, INC. is now doing business as SIEBERT ADVISORNXT, LLC.. IAPD ↗
Marketing & brandCRM
55
SIGNIFICANT WEALTH PARTNERS INC. is now doing business as SIGNIFICANT WEALTH PARTNERS LLC. IAPD ↗
Marketing & brandCRM
55
BLUE OX WEALTH MANAGEMENT LLC is now doing business as SIEBEN WEALTH PLANNING LLC. IAPD ↗
Marketing & brandCRM
55
INTERPLAY FAMILY OFFICE LLC is now doing business as ASCEND INTERPLAY, LLC. IAPD ↗
Marketing & brandCRM
55
ZAMP FINANCE is now doing business as ZAMP INVEST. IAPD ↗
Marketing & brandCRM
55
FIRST PRINCIPLES GROUP is now doing business as FPG WEALTH. IAPD ↗
Marketing & brandCRM
50
WRIGHT FUND MANAGEMENT, LLC is now doing business as OCEAN PARK ASSET MANAGEMENT, LLC. IAPD ↗institutional
Marketing & brandCRM
50
CBOE VEST FINANCIAL LLC is now doing business as VEST FINANCIAL LLC. IAPD ↗institutional
Marketing & brandCRM
48
PACIFIC WESTERN ASSET MANAGEMENT is now doing business as BOFCAL ASSET MANAGEMENT INC.. IAPD ↗institutional
Marketing & brandCRM
45
AIG ASSET MANAGEMENT (U.S.), LLC is now doing business as COREBRIDGE INSTITUTIONAL INVESTMENTS (U.S.), LLC. IAPD ↗fund
Marketing & brandCRM
45
DFW MANAGEMENT CORPORATION is now doing business as DFW CAPITAL MANAGEMENT, LLC. IAPD ↗fund
Marketing & brandCRM
45
FRM INVESTMENT MANAGEMENT (USA) LLC is now doing business as MAN SOLUTIONS LLC. IAPD ↗fund
Marketing & brandCRM
45
ALTAROCK PARTNERS, LLC is now doing business as ALTAROCK PARTNERS LP. IAPD ↗fund
Marketing & brandCRM
45
45
LOTUS INFRASTRUCTURE PARTNERS, LLC is now doing business as LOTUS INFRASTRUCTURE PARTNERS, LP. IAPD ↗fund
Marketing & brandCRM
40
FIRST ANALYSIS PRIVATE EQUITY MANAGEMENT V-B, L.L.C. is now doing business as FIRST ANALYSIS CAPITAL MANAGEMENT LLC. IAPD ↗fund
Marketing & brandCRM
40
40
relocation — 38 Main office moved to a different city or state.
50
BRIGHTHOUSE INVESTMENT ADVISERS, LLC moved its main office from BOSTON, MA to CHARLOTTE, NC. IAPD ↗
Office IT & facilitiesMarketing & brand
50
WE FAMILY OFFICES moved its main office from MIAMI, FL to CORAL GABLES, FL. IAPD ↗
Office IT & facilitiesMarketing & brand
50
FRAGASSO FINANCIAL ADVISORS moved its main office from PITTSBURGH, PA to SEWICKLEY, PA. IAPD ↗
Office IT & facilitiesMarketing & brand
50
ANNEX WEALTH MANAGEMENT, LLC moved its main office from ELM GROVE, WI to BROOKFIELD, WI. IAPD ↗
Office IT & facilitiesMarketing & brand
50
BAYSTATE WEALTH MANAGEMENT moved its main office from BOSTON, MA to OVERLAND PARK,, KS. IAPD ↗
Office IT & facilitiesMarketing & brand
48
CLEARBROOK INVESTMENT CONSULTING LLC moved its main office from STAMFORD, CT to NEW YORK, NY. IAPD ↗
Office IT & facilitiesMarketing & brand
48
CMH WEALTH MANAGEMENT, LLC moved its main office from NORTH HAMPTON, NH to PORTSMOUTH, NH. IAPD ↗
Office IT & facilitiesMarketing & brand
48
TAYLOR & MORGAN ASSET MANAGEMENT, LLC moved its main office from FLINT, MI to TROY, MI. IAPD ↗
Office IT & facilitiesMarketing & brand
48
EAGLE'S VIEW CAPITAL MANAGEMENT LLC moved its main office from WEST PALM BEACH, FL to NEW YORK, NY. IAPD ↗
Office IT & facilitiesMarketing & brand
48
FORTIS ADVISORS, LLC moved its main office from KING OF PRUSSIA, PA to WAYNE, PA. IAPD ↗
Office IT & facilitiesMarketing & brand
48
PARISI GRAY WEALTH MANAGEMENT, LLC moved its main office from BEDMINSTER, NJ to MENDHAM, NJ. IAPD ↗
Office IT & facilitiesMarketing & brand
45
MEIRA moved its main office from MIAMI, FL to CORAL CABLES, FL. IAPD ↗
Office IT & facilitiesMarketing & brand
45
CLEARBROOK INVESTMENT SOLUTIONS LLC moved its main office from STAMFORD, CT to NEW YORK, NY. IAPD ↗
Office IT & facilitiesMarketing & brand
45
DRH INVESTMENTS, INC. moved its main office from LOS ANGELES, CA to THOUSAND OAKS, CA. IAPD ↗
Office IT & facilitiesMarketing & brand
45
FLOWER CITY CAPITAL LLC moved its main office from ROCHESTER, NY to PITTSFORD, NY. IAPD ↗
Office IT & facilitiesMarketing & brand
45
BLACKTOWER FINANCIAL MANAGEMENT (US) LLC moved its main office from NEW YORK, NY to ORLANDO, FL. IAPD ↗
Office IT & facilitiesMarketing & brand
45
SOUND FINANCIAL, LLC moved its main office from MILL CREEK, WA to LAKE STEVENS, WA. IAPD ↗
Office IT & facilitiesMarketing & brand
45
SUCCESS WEALTH MANAGEMENT LLC moved its main office from PITTSBURGH, PA to WEXFORD, PA. IAPD ↗
Office IT & facilitiesMarketing & brand
45
FNZ ADVISERS LLC moved its main office from AVENTURA, FL to NEW YORK, NY. IAPD ↗
Office IT & facilitiesMarketing & brand
45
GROWSTRONG WEALTH STRATEGIES moved its main office from LOVELAND, CO to FORT COLLINS, CO. IAPD ↗
Office IT & facilitiesMarketing & brand
45
CREDENTIALED WEALTH ADVISORS, LLC moved its main office from COLORADO SPRINGS, CO to JOHNSTOWN, CO. IAPD ↗
Office IT & facilitiesMarketing & brand
45
COVE PRIVATE WEALTH, LLC moved its main office from SYOSSET, NY to OYSTER BAY, NY. IAPD ↗
Office IT & facilitiesMarketing & brand
45
KAPSTONE FINANCIAL ADVISORS LLC moved its main office from DAYTON, OH to LEBENON, OH. IAPD ↗
Office IT & facilitiesMarketing & brand
45
LMPG WEALTH ADVISORS, LLC moved its main office from CORAL GABLES, FL to MIAMI, FL. IAPD ↗
Office IT & facilitiesMarketing & brand
35
BOLTON INVESTMENT moved its main office from BALTIMORE, MD to TOWSON, MD. IAPD ↗institutional
Office IT & facilitiesMarketing & brand
35
DFW CAPITAL MANAGEMENT, LLC moved its main office from TEANECK, NJ to NEW YORK, NY. IAPD ↗fund
Office IT & facilitiesMarketing & brand
35
ALTAROCK PARTNERS LP moved its main office from BEVERLY, MA to WEST PALM BEACH, FL. IAPD ↗fund
Office IT & facilitiesMarketing & brand
35
NGC CAPITAL MANAGEMENT LLC moved its main office from SAN FRANCISCO, CA to NEW YORK, NY. IAPD ↗fund
Office IT & facilitiesMarketing & brand
35
BLUE ROCK ADVISORS, LLC moved its main office from WAYZATA, MN to EXCELSIOR, MN. IAPD ↗fund
Office IT & facilitiesMarketing & brand
35
FRAZIER LIFE SCIENCES MANAGEMENT, LP moved its main office from MENLO PARK, CA to PALO ALTO, CA. IAPD ↗fund
Office IT & facilitiesMarketing & brand
35
MSA POWER FUNDS LLC moved its main office from GRAND CAYMAN, to NEW YORK, NY. IAPD ↗institutional
Office IT & facilitiesMarketing & brand
35
PF ADVISORS LLC moved its main office from LITTLETON, CO to LAKEWOOD, CO. IAPD ↗institutional
Office IT & facilitiesMarketing & brand
33
SANCUS CAPITAL MANAGEMENT LP moved its main office from NEW YORK, NY to LOS ANGELES, CA. IAPD ↗fund
Office IT & facilitiesMarketing & brand
33
ALCION VENTURES, L.P. moved its main office from BOSTON, MA to BURLINGTON, MA. IAPD ↗fund
Office IT & facilitiesMarketing & brand
33
PABRAI INVESTMENT FUNDS moved its main office from AUSTIN, TX to WEST LAKE HILLS, TX. IAPD ↗fund
Office IT & facilitiesMarketing & brand
33
NEWROAD CAPITAL PARTNERS, LLC moved its main office from ROGERS, AR to BENTONVILLE, AR. IAPD ↗fund
Office IT & facilitiesMarketing & brand
30
CBF ADVISORS, LLC moved its main office from STAMFORD, CT to NEW YORK, NY. IAPD ↗fund
Office IT & facilitiesMarketing & brand
30
DHANDHO FUNDS LLC moved its main office from AUSTIN, TX to WEST LAKE HILLS, TX. IAPD ↗fund
Office IT & facilitiesMarketing & brand
aum crossed 500m — 34 Regulatory AUM crossed $500M.
70
SPENCE ASSET MANAGEMENT crossed $500M in regulatory AUM ($482.9M -> $621.1M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
PERSONAL INVESTMENT MANAGEMENT INC crossed $500M in regulatory AUM ($483.6M -> $534.3M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FAMILY INVESTMENT CENTER crossed $500M in regulatory AUM ($431.7M -> $515.7M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
WILSEY ASSET MANAGEMENT INCORPORATED crossed $500M in regulatory AUM ($446.0M -> $511.4M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
ACCUVEST GLOBAL ADVISORS, INC. crossed $500M in regulatory AUM ($476.6M -> $518.0M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
MASON & ASSOCIATES, INC. crossed $500M in regulatory AUM ($475.8M -> $539.5M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
WEST FINANCIAL ADVISORS, L.L.C. crossed $500M in regulatory AUM ($418.8M -> $510.6M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
RED LIGHTHOUSE INVESTMENT MANAGEMENT, LLC crossed $500M in regulatory AUM ($458.8M -> $524.8M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
MINICHMACGREGOR WEALTH MANAGEMENT, LLC crossed $500M in regulatory AUM ($406.0M -> $501.3M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
WALKNER CONDON FINANCIAL ADVISORS LLC crossed $500M in regulatory AUM ($486.7M -> $633.5M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
MBE WEALTH MANAGEMENT, LLC crossed $500M in regulatory AUM ($449.6M -> $725.5M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
SUMMIT INVESTMENT ADVISORY SERVICES crossed $500M in regulatory AUM ($456.0M -> $562.2M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
ARBOR WEALTH ADVISORS LLC crossed $500M in regulatory AUM ($443.2M -> $514.3M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
HUGHES FINANCIAL SERVICES, LLC crossed $500M in regulatory AUM ($399.8M -> $510.0M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
GOLDSTONE FINANCIAL GROUP, LLC crossed $500M in regulatory AUM ($426.9M -> $503.5M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
HURLOW WEALTH MANAGEMENT GROUP, INC. crossed $500M in regulatory AUM ($454.9M -> $559.9M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
CLG LLC crossed $500M in regulatory AUM ($452.8M -> $800.6M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
GOEHRING & ROZENCWAJG ASSOCIATES, LLC crossed $500M in regulatory AUM ($355.6M -> $543.8M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FIDUCIARY FINANCIAL GROUP, LLC crossed $500M in regulatory AUM ($485.4M -> $544.6M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
HAVEN GLOBAL PARTNERS, LLC crossed $500M in regulatory AUM ($226.1M -> $893.6M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
ERTS WEALTH ADVISORS, LLC crossed $500M in regulatory AUM ($475.0M -> $566.8M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
CUSTOS FAMILY OFFICE LLC crossed $500M in regulatory AUM ($396.9M -> $531.8M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
KEYSTONE PRIVATE WEALTH crossed $500M in regulatory AUM ($416.7M -> $534.4M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
CFM WEALTH PARTNERS LLC crossed $500M in regulatory AUM ($472.7M -> $585.5M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
IAM ADVISORY LLC crossed $500M in regulatory AUM ($487.3M -> $572.4M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
ROSEMEYER MANAGEMENT GROUP crossed $500M in regulatory AUM ($338.1M -> $511.2M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
EAGLE ROCK INVESTMENT COMPANY, LLC crossed $500M in regulatory AUM ($468.2M -> $527.8M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
CARR FINANCIAL GROUP crossed $500M in regulatory AUM ($466.9M -> $553.6M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
LEES MONSOUR GROUP crossed $500M in regulatory AUM ($481.7M -> $514.3M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FIDUCIARY FAMILY OFFICE, LLC crossed $500M in regulatory AUM ($451.6M -> $609.8M). IAPD ↗
Portfolio / reporting / TAMPCRMIntegration & migration consulting
60
LEADER CAPITAL CORP. crossed $500M in regulatory AUM ($119.2M -> $522.8M). IAPD ↗institutional
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
CENTRE ASSET MANAGEMENT crossed $500M in regulatory AUM ($481.6M -> $503.7M). IAPD ↗fund
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
FORUM CAPITAL ADVISORS LLC crossed $500M in regulatory AUM ($109.2M -> $947.7M). IAPD ↗fund
Portfolio / reporting / TAMPCRMIntegration & migration consulting
40
ATYANT CAPITAL MANAGEMENT LTD crossed $500M in regulatory AUM ($446.9M -> $707.1M). IAPD ↗foreign
Portfolio / reporting / TAMPCRMIntegration & migration consulting
custody started — 33 Firm now reports custody of client assets — surprise exams and controls follow.
70
RAYMOND JAMES INVESTMENT MANAGEMENT now reports custody of client assets ($142.8M). IAPD ↗
ComplianceCustodian
70
FACET now reports custody of client assets ($2.54B). IAPD ↗
ComplianceCustodian
68
INVESTMENT PARTNERS LTD now reports custody of client assets ($181.6M). IAPD ↗
ComplianceCustodian
68
EAGLE ROCK INVESTMENT COMPANY, LLC now reports custody of client assets ($16.4M). IAPD ↗
ComplianceCustodian
68
EAGLE WEALTH STRATEGIES now reports custody of client assets ($37.4M). IAPD ↗
ComplianceCustodian
68
SIERRA SUMMIT ADVISORS LLC now reports custody of client assets ($425.0M). IAPD ↗
ComplianceCustodian
65
SRM ADVISORS now reports custody of client assets ($25.4M). IAPD ↗
ComplianceCustodian
65
PILE WEALTH MANAGEMENT now reports custody of client assets ($15.1M). IAPD ↗
ComplianceCustodian
65
FREESTATE ADVISORS LLC now reports custody of client assets ($34.8M). IAPD ↗
ComplianceCustodian
65
RAMSEY HILL ASSET MANAGEMENT LLC now reports custody of client assets ($53.8M). IAPD ↗
ComplianceCustodian
65
CONCEPTUAL FINANCIAL ADVISORS, LLC now reports custody of client assets ($93.0M). IAPD ↗
ComplianceCustodian
65
TENON FINANCIAL now reports custody of client assets ($88.6M). IAPD ↗
ComplianceCustodian
65
GROWSTRONG WEALTH STRATEGIES now reports custody of client assets ($2.2M). IAPD ↗
ComplianceCustodian
65
NETWORTH ADVISORS, LLC now reports custody of client assets ($380,000). IAPD ↗
ComplianceCustodian
65
BLOM & HOWELL FINANCIAL PLANNING, INC. now reports custody of client assets ($88.8M). IAPD ↗
ComplianceCustodian
65
CROSSGRAIN FAMILY INVESTMENTS, LLC now reports custody of client assets ($38.0M). IAPD ↗
ComplianceCustodian
65
ASTRA WEALTH PARTNERS now reports custody of client assets ($850,254). IAPD ↗
ComplianceCustodian
65
VLB CAPITAL now reports custody of client assets. IAPD ↗
ComplianceCustodian
65
OXENFREE FINANCIAL now reports custody of client assets ($53.6M). IAPD ↗
ComplianceCustodian
65
FREEDOM FINANCIAL PARTNERS LLC now reports custody of client assets ($55.2M). IAPD ↗
ComplianceCustodian
65
PRAIRIEVIEW WEALTH PARTNERS, LLC now reports custody of client assets ($29.7M). IAPD ↗
ComplianceCustodian
65
VISTA INVESTMENT PARTNERS now reports custody of client assets ($36.9M). IAPD ↗
ComplianceCustodian
65
BARE WEALTH ADVISORS now reports custody of client assets ($156.3M). IAPD ↗
ComplianceCustodian
65
NEW HORIZONS WEALTH MANAGEMENT now reports custody of client assets ($14.5M). IAPD ↗
ComplianceCustodian
55
APC ASSET DEVELOPMENT I, LP now reports custody of client assets ($120.6M). IAPD ↗fund
ComplianceCustodian
53
CONSTELLATION WEALTH CAPITAL now reports custody of client assets ($213.3M). IAPD ↗fund
ComplianceCustodian
53
APC ASSET DEVELOPMENT II, LP now reports custody of client assets ($27.5M). IAPD ↗fund
ComplianceCustodian
50
CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC now reports custody of client assets ($334.0M). IAPD ↗fund
ComplianceCustodian
50
GENERATE CAPITAL ADVISORS, PB LLC now reports custody of client assets ($200.0M). IAPD ↗fund
ComplianceCustodian
50
50
40
INNOCAP GLOBAL INVESTMENT MANAGEMENT (IRELAND) LTD now reports custody of client assets ($1.71B). IAPD ↗foreign
ComplianceCustodian
40
headcount down — 28 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
ROMANO WEALTH MANAGEMENT shrank from 10 to 7 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
55
MOUNTAIN PACIFIC INVESTMENT ADVISERS, LLC shrank from 5 to 3 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
55
THE PLANNING CENTER, INC. shrank from 13 to 10 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
55
BPS CAPITAL MANAGEMENT, INC. shrank from 6 to 4 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
55
EPOCH INVESTMENT PARTNERS, INC. shrank from 142 to 133 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
55
TD PRIVATE CLIENT WEALTH LLC shrank from 299 to 284 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
55
SANCTUARY ADVISORS, LLC shrank from 307 to 302 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
55
FACET shrank from 109 to 98 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
53
BERNZOTT CAPITAL ADVISORS shrank from 5 to 3 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
53
BIRINYI ASSOCIATES, INC. shrank from 4 to 2 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
53
BRITE ADVISORS USA, INC. shrank from 9 to 7 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
53
NAVIGATE PRIVATE WEALTH, LLC shrank from 11 to 7 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
53
ONE DAY IN JULY LLC shrank from 12 to 9 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
53
INSIGHT WEALTH STRATEGIES, LLC shrank from 10 to 8 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
53
NORTHSTAR ADVISORY GROUP, LLC shrank from 4 to 2 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
53
SINGER WEALTH ADVISORS LLC shrank from 12 to 9 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
53
ABOUND FINANCIAL shrank from 4 to 2 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
50
GENESIS WEALTH ADVISORS, LLC shrank from 8 to 6 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
50
ONE ADVISORY PARTNERS, LLC shrank from 6 to 4 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
50
SIEBERT ADVISORNXT, LLC. shrank from 29 to 24 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
50
LANDING POINT FINANCIAL GROUP, LLC shrank from 6 to 4 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
50
HIBERNIA WEALTH PARTNERS, LLC shrank from 6 to 4 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
50
WATERSTONE FINANCIAL ADVISORY LLC shrank from 6 to 3 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
50
NEW HORIZONS WEALTH MANAGEMENT shrank from 4 to 2 advisory reps. IAPD ↗
Recruiting & transitionsM&A & valuation
40
CAPRA IBEX ADVISORS LLC shrank from 9 to 6 advisory reps. IAPD ↗institutional
Recruiting & transitionsM&A & valuation
40
ATLANTIC STREET CAPITAL MANAGEMENT, LLC shrank from 16 to 12 advisory reps. IAPD ↗fund
Recruiting & transitionsM&A & valuation
40
BLUE ROCK ADVISORS, LLC shrank from 6 to 3 advisory reps. IAPD ↗fund
Recruiting & transitionsM&A & valuation
20
ARCHWAY PRIVATE WEALTH LLC shrank from 4 to 2 advisory reps. IAPD ↗foreign
Recruiting & transitionsM&A & valuation
aum crossed 1b — 15 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
WINDWARD CAPITAL MANAGEMENT CO crossed $1B in regulatory AUM ($940.0M -> $1.18B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
CONNORS INVESTOR SERVICES INC crossed $1B in regulatory AUM ($968.3M -> $1.05B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
MSA FINANCIAL crossed $1B in regulatory AUM ($870.4M -> $1.00B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
THE PLANNING CENTER, INC. crossed $1B in regulatory AUM ($946.6M -> $1.09B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
MIDWEST FINANCIAL PARTNERS crossed $1B in regulatory AUM ($873.5M -> $1.10B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
CLASS VI FAMILY OFFICE, LLC crossed $1B in regulatory AUM ($958.6M -> $1.01B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
GPS WEALTH STRATEGIES GROUP, LLC crossed $1B in regulatory AUM ($879.9M -> $1.07B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
CORNERSTONE WEALTH STRATEGIES, INC. crossed $1B in regulatory AUM ($770.3M -> $1.01B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
FIRST TRUST DIRECT INDEXING crossed $1B in regulatory AUM ($990.1M -> $1.42B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
BARLOW WEALTH PARTNERS, LLC crossed $1B in regulatory AUM ($890.2M -> $1.01B). IAPD ↗
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
FAI CAPITAL MANAGEMENT crossed $1B in regulatory AUM ($914.8M -> $1.27B). IAPD ↗institutional
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
NEOS INVESTMENT MANAGEMENT, LLC crossed $1B in regulatory AUM ($857.6M -> $1.36B). IAPD ↗institutional
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
INNOCAP INVESTMENT ADVISERS, LLC. crossed $1B in regulatory AUM ($872.8M -> $1.40B). IAPD ↗institutional
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
JVP MANAGEMENT crossed $1B in regulatory AUM ($911.0M -> $2.39B). IAPD ↗fund
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
BURKEHILL GLOBAL MANAGEMENT, LP crossed $1B in regulatory AUM ($373.1M -> $1.16B). IAPD ↗fund
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
aum down — 15 Regulatory AUM down >=25% since last filing.
48
DENT WEALTH ADVISORS reported RAUM down 29% ($386.6M -> $275.8M). IAPD ↗
M&A & valuationRecruiting & transitions
48
OLD SLIP REGISTERED INVESTMENT ADVISORS, LLC reported RAUM down 49% ($665.0M -> $341.0M). IAPD ↗
M&A & valuationRecruiting & transitions
45
ALEXANDER CAPITAL ADVISORS, LLC reported RAUM down 38% ($121.9M -> $75.5M). IAPD ↗
M&A & valuationRecruiting & transitions
45
GLASSMAN WEALTH MANAGEMENT LLC reported RAUM down 26% ($55.2M -> $40.7M). IAPD ↗
M&A & valuationRecruiting & transitions
45
PREMIUM 72 CAPITAL reported RAUM down 86% ($70.5M -> $10.0M). IAPD ↗
M&A & valuationRecruiting & transitions
45
ASSUREDPARTNERS INVESTMENT ADVISORS reported RAUM down 52% ($372.0M -> $179.0M). IAPD ↗
M&A & valuationRecruiting & transitions
45
RETIREMENT SPECIALTY GROUP, INC. reported RAUM down 36% ($41.6M -> $26.8M). IAPD ↗
M&A & valuationRecruiting & transitions
45
WEALTH MANAGEMENT SOLUTIONS, LLC reported RAUM down 70% ($123.6M -> $37.2M). IAPD ↗
M&A & valuationRecruiting & transitions
40
DOCK STREET CAPITAL MANAGEMENT LLC reported RAUM down 38% ($3.78B -> $2.35B). IAPD ↗institutional
M&A & valuationRecruiting & transitions
35
ANCHORAGE CAPITAL GROUP, L.L.C. reported RAUM down 76% ($25.97B -> $6.25B). IAPD ↗fund
M&A & valuationRecruiting & transitions
35
CAPRA IBEX ADVISORS LLC reported RAUM down 99% ($7.74B -> $65.9M). IAPD ↗institutional
M&A & valuationRecruiting & transitions
35
BLUE ROCK ADVISORS, LLC reported RAUM down 54% ($2.67B -> $1.22B). IAPD ↗fund
M&A & valuationRecruiting & transitions
35
LEATHERBACK ASSET MANAGEMENT, LLC reported RAUM down 45% ($111.9M -> $61.9M). IAPD ↗institutional
M&A & valuationRecruiting & transitions
35
LAB QUANTITATIVE STRATEGIES, LLC reported RAUM down 43% ($2.75B -> $1.58B). IAPD ↗fund
M&A & valuationRecruiting & transitions
15
KEYQUANT reported RAUM down 66% ($113.4M -> $39.1M). IAPD ↗foreign
M&A & valuationRecruiting & transitions
private funds started — 14 Firm reports private funds for the first time.
75
MAIRS & POWER now reports 1 private fund(s) ($19.2M gross). IAPD ↗
Fund administrationCompliance
70
ASTRA WEALTH PARTNERS now reports 1 private fund(s) ($425,127 gross). IAPD ↗
Fund administrationCompliance
70
KNOWN WEALTH LLC now reports 1 private fund(s) ($11.0M gross). IAPD ↗
Fund administrationCompliance
70
COTTONWOOD CAPITAL ADVISORS now reports 1 private fund(s) ($4.5M gross). IAPD ↗
Fund administrationCompliance
58
CONSTELLATION WEALTH CAPITAL now reports 2 private fund(s) ($540.1M gross). IAPD ↗fund
Fund administrationCompliance
55
THIRDLINE CAPITAL MANAGEMENT LLC now reports 1 private fund(s) ($3.7M gross). IAPD ↗fund
Fund administrationCompliance
55
GENERATE CAPITAL ADVISORS, PB LLC now reports 1 private fund(s) ($100.0M gross). IAPD ↗fund
Fund administrationCompliance
55
NORDWAND INVESTMENTS, LLC now reports 4 private fund(s) ($50.9M gross). IAPD ↗fund
Fund administrationCompliance
55
SKKY PARTNERS, LP now reports 2 private fund(s) ($115.3M gross). IAPD ↗fund
Fund administrationCompliance
55
ACCORDANT INVESTMENTS LLC now reports 1 private fund(s) ($0 gross). IAPD ↗fund
Fund administrationCompliance
55
SALLYPORT PARTNERS now reports 1 private fund(s) ($100.4M gross). IAPD ↗fund
Fund administrationCompliance
55
ARAVALLI CAPITAL MANAGEMENT LP now reports 2 private fund(s) ($105.5M gross). IAPD ↗fund
Fund administrationCompliance
55
BLUE BEACH CAPITAL now reports 2 private fund(s) ($157.4M gross). IAPD ↗fund
Fund administrationCompliance
45
TEMPLETON ASSET MANAGEMENT LTD. now reports 2 private fund(s) ($0 gross). IAPD ↗foreign
Fund administrationCompliance
planning started — 13 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
80
BARLOW WEALTH PARTNERS, LLC now offers financial planning (Item 5G(1)). IAPD ↗
Financial planning softwareCRM
75
AMERICAN FINANCIAL MANAGEMENT, LTD. now offers financial planning (Item 5G(1)). IAPD ↗
Financial planning softwareCRM
75
PENBROOK MANAGEMENT LLC now offers financial planning (Item 5G(1)). IAPD ↗
Financial planning softwareCRM
75
PACIFICA WEALTH ADVISORS, INC. now offers financial planning (Item 5G(1)). IAPD ↗
Financial planning softwareCRM
75
WOLFSTICH CAPITAL, LLC now offers financial planning (Item 5G(1)). IAPD ↗
Financial planning softwareCRM
75
CRESCENT FINANCIAL ADVISORS now offers financial planning (Item 5G(1)). IAPD ↗
Financial planning softwareCRM
75
CALABASAS ADVISORY GROUP, LLC now offers financial planning (Item 5G(1)). IAPD ↗
Financial planning softwareCRM
75
QP WEALTH MANAGEMENT, LLC now offers financial planning (Item 5G(1)). IAPD ↗
Financial planning softwareCRM
75
VLB CAPITAL now offers financial planning (Item 5G(1)). IAPD ↗
Financial planning softwareCRM
75
NORTH STAR WEALTH MANAGEMENT now offers financial planning (Item 5G(1)). IAPD ↗
Financial planning softwareCRM
75
STIRLINGSHIRE INVESTMENTS now offers financial planning (Item 5G(1)). IAPD ↗
Financial planning softwareCRM
75
COASTAL WEALTH MANAGEMENT now offers financial planning (Item 5G(1)). IAPD ↗
Financial planning softwareCRM
75
ASEMPA WEALTH ADVISORS now offers financial planning (Item 5G(1)). IAPD ↗
Financial planning softwareCRM
reorganization — 11 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
45
INCOME RESEARCH + MANAGEMENT filed an Item 4A succession naming INCOME RESEARCH + MANAGEMENT (CRD 104863) — an entity change, not a deal. IAPD ↗
Integration & migration consultingCompliance
45
FIRST NATIONAL ADVISORS LLC filed an Item 4A succession naming FIRST NATIONAL CORPORATION (CRD 120859) — an entity change, not a deal. IAPD ↗
Integration & migration consultingCompliance
45
RETIREMENT PLANNERS OF AMERICA filed an Item 4A succession naming RETIREMENT PLANNERS OF AMERICA (CRD 157222) — an entity change, not a deal. IAPD ↗
Integration & migration consultingCompliance
43
ASHTON THOMAS SECURITIES, LLC filed an Item 4A succession naming ASHTON THOMAS SECURITIES, LLC (CRD 16629) — an entity change, not a deal. IAPD ↗
Integration & migration consultingCompliance
43
HUGHES FINANCIAL SERVICES, LLC filed an Item 4A succession naming HUGHES FINANCIAL SERVICES, LLC (CRD 173195) — an entity change, not a deal. IAPD ↗
Integration & migration consultingCompliance
40
WMS ADVISORS, LLC filed an Item 4A succession naming WMS ADVISORS, LLC (CRD 122224) — an entity change, not a deal. IAPD ↗
Integration & migration consultingCompliance
40
RADIUS WEALTH MANAGEMENT, INC. filed an Item 4A succession naming RADIUS WEALTH MANAGEMENT LLC (CRD 168159) — an entity change, not a deal. IAPD ↗
Integration & migration consultingCompliance
40
SIEBERT ADVISORNXT, LLC. filed an Item 4A succession naming SIEBERT ADVISORNXT, INC. (CRD 288572) — an entity change, not a deal. IAPD ↗
Integration & migration consultingCompliance
30
DFW CAPITAL MANAGEMENT, LLC filed an Item 4A succession naming DFW MANAGEMENT CORPORATION (CRD 157337) — an entity change, not a deal. IAPD ↗fund
Integration & migration consultingCompliance
30
ALTAROCK PARTNERS LP filed an Item 4A succession naming ALTAROCK PARTNERS, LLC (CRD 161005) — an entity change, not a deal. IAPD ↗fund
Integration & migration consultingCompliance
28
MKH CAPITAL PARTNERS LP filed an Item 4A succession naming MKH CAPITAL PARTNERS LP (CRD 314020) — an entity change, not a deal. IAPD ↗fund
Integration & migration consultingCompliance
acquisition — 1 Firm filed an Item 4A succession naming another adviser: a merger or acquisition between the two (the filing does not say which way the money went). Integration projects follow.
95
CANNELL & SPEARS LLC filed an Item 4A succession naming CANNELL & CO. (CRD 106326) — one firm absorbed the other. IAPD ↗
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
wrap program started — 1 Firm began participating in a wrap-fee program (Item 5I(1)).
60
ATEGENOS CAPITAL, LLC began participating in a wrap-fee program. IAPD ↗
Portfolio / reporting / TAMPCompliance
Tributary reads the SEC's public Form ADV roster and reports what changed. It does not verify filings; confirm on IAPD before acting. Not investment, legal, or compliance advice.