← Tributary

What changed in the May 2024 SEC adviser roster

890 events across 784 firms · 702 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

303state expansion
165new registration
79new office
57deregistered
52disclosure added
37website changed
33headcount up
23pending approved
21aum up
21relocation
18custody started
17headcount down

Top 25 signals — US wealth firms

98
LAFISE SECURITIES CORPORATION (MIAMI, FL) is newly SEC-registered with $736.0M RAUM and 1 advisory reps. IAPD ↗
$736.0M RAUM · 1 reps · 305-374-6001
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
LETSON INVESTMENT MANAGEMENT, INC. (location n/a) is newly SEC-registered with $261.5M RAUM and 2 advisory reps. IAPD ↗
$261.5M RAUM · 2 reps · 404-237-7794 · letsoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FOUNDER FAMILY FINANCIAL, LLC (location n/a) is newly SEC-registered with $270.8M RAUM and 1 advisory reps. IAPD ↗
$270.8M RAUM · 1 reps · 843-621-0435 · f3financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CLEARWELL ADVISORS, LLC (TAMPA, FL) is newly SEC-registered with $362.1M RAUM and 6 advisory reps. IAPD ↗
$362.1M RAUM · 6 reps · (813) 435-5600 · clearwellgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FREEDOM FIDUCIARIES LLC (BOISE, ID) is newly SEC-registered with $263.8M RAUM and 2 advisory reps. IAPD ↗
$263.8M RAUM · 2 reps · 208-900-4331 · freedomfiduciaries.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SELBY LANE CAPITAL, LLC (MENLO PARK, CA) is newly SEC-registered with $276.4M RAUM and 5 advisory reps. IAPD ↗
$276.4M RAUM · 5 reps · 650-463-9511 · selbylane.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAROLD DANCE INVESTMENTS (LOGAN, UT) is newly SEC-registered with $119.0M RAUM and 7 advisory reps. IAPD ↗
$119.0M RAUM · 7 reps · 435-752-8484 · harolddance.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
U. S. BOSTON CAPITAL CORPORATION (LINCOLN, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 781-259-1144 · usboston.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NETWORTH ASSET MANAGEMENT, INC (location n/a) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
$105.8M RAUM · 3 reps · 352 268 2080 · nwam.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RDM CAPITAL ASSOCIATES INC (RED BANK, NJ) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
$107.1M RAUM · 3 reps · 732-576-1671
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COOK FINANCIAL DESIGNS, INC. (VIRGINIA BEACH, VA) is newly SEC-registered with $115.0M RAUM and 1 advisory reps. IAPD ↗
$115.0M RAUM · 1 reps · 757-498-4810
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITE & COMPANY FINANCIAL PLANNING, INC. (SUNNYSIDE, WA) is newly SEC-registered with $115.5M RAUM and 5 advisory reps. IAPD ↗
$115.5M RAUM · 5 reps · 509-837-6700 · whitecocpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CARMICHAEL CREEL INVESTMENTS (FRANKLIN, TN) is newly SEC-registered with $113.0M RAUM and 2 advisory reps. IAPD ↗
$113.0M RAUM · 2 reps · 615-595-5825
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE WEALTH ADVANTAGE GROUP, INC. (COLUMBUS, OH) is newly SEC-registered with $125.5M RAUM and 2 advisory reps. IAPD ↗
$125.5M RAUM · 2 reps · 614-459-9000 · wealthadvantagegroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MEYER GATES FINANCIAL ADVISORS, INC (WEST CHESTER, OH) is newly SEC-registered with $142.0M RAUM and 6 advisory reps. IAPD ↗
$142.0M RAUM · 6 reps · 937-220-4915 · meyergates.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL DISCOVERY (ATLANTA, GA) is newly SEC-registered with $100.6M RAUM and 3 advisory reps. IAPD ↗
$100.6M RAUM · 3 reps · 404-816-0160 · financialdiscovery.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MICHAEL J. PORRO & CO. FINANCIAL ADVISORS, LLC (OLD TAPPAN, NJ) is newly SEC-registered with $119.6M RAUM and 2 advisory reps. IAPD ↗
$119.6M RAUM · 2 reps · 201-768-0218 · porrofinancialadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SANDERS & SCOTT, CHFC (WATKINSVILLE, GA) is newly SEC-registered with $119.1M RAUM and 2 advisory reps. IAPD ↗
$119.1M RAUM · 2 reps · 770-760-8933 · sandersandscott.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALISADES INVESTMENT PARTNERS, LLC (EL SEGUNDO, CA) is newly SEC-registered with $117.5M RAUM and 1 advisory reps. IAPD ↗
$117.5M RAUM · 1 reps · 310-656-6300 · palpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PIVOT POINT ADVISORS, LLC (BELLAIRE, TX) is newly SEC-registered with $120.6M RAUM and 2 advisory reps. IAPD ↗
$120.6M RAUM · 2 reps · 713-715-7000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE PRACTICAL PLANNER (GROTON, MA) is newly SEC-registered with $108.9M RAUM and 2 advisory reps. IAPD ↗
$108.9M RAUM · 2 reps · 978-448-3403 · practicalplanner.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLARION ADVISORS INC. (AUBURN, CA) is newly SEC-registered with $105.5M RAUM and 2 advisory reps. IAPD ↗
$105.5M RAUM · 2 reps · 530-889-0200 · clarionadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAWKINS INVESTMENT COUNSEL, LLC (location n/a) is newly SEC-registered with $124.3M RAUM and 1 advisory reps. IAPD ↗
$124.3M RAUM · 1 reps · 360.536.2181 · hawkinscounsel.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDEPENDENT PROGRESSIVE ADVISORS, LLC (PORTLAND, OR) is newly SEC-registered with $104.3M RAUM and 2 advisory reps. IAPD ↗
$104.3M RAUM · 2 reps · 503-536-7351 · ipawealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORNERSTONE FINANCIAL MANAGEMENT LLC (BURLINGTON, MA) is newly SEC-registered with $113.9M RAUM and 3 advisory reps. IAPD ↗
$113.9M RAUM · 3 reps · 800-527-1238 · cornerstonefm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 256 firms

98
LAFISE SECURITIES CORPORATION (MIAMI, FL) is newly SEC-registered with $736.0M RAUM and 1 advisory reps. IAPD ↗
$736.0M RAUM · 1 reps · 305-374-6001
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
LETSON INVESTMENT MANAGEMENT, INC. (location n/a) is newly SEC-registered with $261.5M RAUM and 2 advisory reps. IAPD ↗
$261.5M RAUM · 2 reps · 404-237-7794 · letsoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FOUNDER FAMILY FINANCIAL, LLC (location n/a) is newly SEC-registered with $270.8M RAUM and 1 advisory reps. IAPD ↗
$270.8M RAUM · 1 reps · 843-621-0435 · f3financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CLEARWELL ADVISORS, LLC (TAMPA, FL) is newly SEC-registered with $362.1M RAUM and 6 advisory reps. IAPD ↗
$362.1M RAUM · 6 reps · (813) 435-5600 · clearwellgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FREEDOM FIDUCIARIES LLC (BOISE, ID) is newly SEC-registered with $263.8M RAUM and 2 advisory reps. IAPD ↗
$263.8M RAUM · 2 reps · 208-900-4331 · freedomfiduciaries.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SELBY LANE CAPITAL, LLC (MENLO PARK, CA) is newly SEC-registered with $276.4M RAUM and 5 advisory reps. IAPD ↗
$276.4M RAUM · 5 reps · 650-463-9511 · selbylane.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAROLD DANCE INVESTMENTS (LOGAN, UT) is newly SEC-registered with $119.0M RAUM and 7 advisory reps. IAPD ↗
$119.0M RAUM · 7 reps · 435-752-8484 · harolddance.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
U. S. BOSTON CAPITAL CORPORATION (LINCOLN, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 781-259-1144 · usboston.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NETWORTH ASSET MANAGEMENT, INC (location n/a) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
$105.8M RAUM · 3 reps · 352 268 2080 · nwam.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RDM CAPITAL ASSOCIATES INC (RED BANK, NJ) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
$107.1M RAUM · 3 reps · 732-576-1671
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 246 more in the CSV export.

Financial planning software 180 firms

98
LAFISE SECURITIES CORPORATION (MIAMI, FL) is newly SEC-registered with $736.0M RAUM and 1 advisory reps. IAPD ↗
$736.0M RAUM · 1 reps · 305-374-6001
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
LETSON INVESTMENT MANAGEMENT, INC. (location n/a) is newly SEC-registered with $261.5M RAUM and 2 advisory reps. IAPD ↗
$261.5M RAUM · 2 reps · 404-237-7794 · letsoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FOUNDER FAMILY FINANCIAL, LLC (location n/a) is newly SEC-registered with $270.8M RAUM and 1 advisory reps. IAPD ↗
$270.8M RAUM · 1 reps · 843-621-0435 · f3financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CLEARWELL ADVISORS, LLC (TAMPA, FL) is newly SEC-registered with $362.1M RAUM and 6 advisory reps. IAPD ↗
$362.1M RAUM · 6 reps · (813) 435-5600 · clearwellgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FREEDOM FIDUCIARIES LLC (BOISE, ID) is newly SEC-registered with $263.8M RAUM and 2 advisory reps. IAPD ↗
$263.8M RAUM · 2 reps · 208-900-4331 · freedomfiduciaries.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SELBY LANE CAPITAL, LLC (MENLO PARK, CA) is newly SEC-registered with $276.4M RAUM and 5 advisory reps. IAPD ↗
$276.4M RAUM · 5 reps · 650-463-9511 · selbylane.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAROLD DANCE INVESTMENTS (LOGAN, UT) is newly SEC-registered with $119.0M RAUM and 7 advisory reps. IAPD ↗
$119.0M RAUM · 7 reps · 435-752-8484 · harolddance.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
U. S. BOSTON CAPITAL CORPORATION (LINCOLN, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 781-259-1144 · usboston.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NETWORTH ASSET MANAGEMENT, INC (location n/a) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
$105.8M RAUM · 3 reps · 352 268 2080 · nwam.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RDM CAPITAL ASSOCIATES INC (RED BANK, NJ) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
$107.1M RAUM · 3 reps · 732-576-1671
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 170 more in the CSV export.

Compliance 497 firms

98
LAFISE SECURITIES CORPORATION (MIAMI, FL) is newly SEC-registered with $736.0M RAUM and 1 advisory reps. IAPD ↗
$736.0M RAUM · 1 reps · 305-374-6001
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
LETSON INVESTMENT MANAGEMENT, INC. (location n/a) is newly SEC-registered with $261.5M RAUM and 2 advisory reps. IAPD ↗
$261.5M RAUM · 2 reps · 404-237-7794 · letsoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FOUNDER FAMILY FINANCIAL, LLC (location n/a) is newly SEC-registered with $270.8M RAUM and 1 advisory reps. IAPD ↗
$270.8M RAUM · 1 reps · 843-621-0435 · f3financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CLEARWELL ADVISORS, LLC (TAMPA, FL) is newly SEC-registered with $362.1M RAUM and 6 advisory reps. IAPD ↗
$362.1M RAUM · 6 reps · (813) 435-5600 · clearwellgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FREEDOM FIDUCIARIES LLC (BOISE, ID) is newly SEC-registered with $263.8M RAUM and 2 advisory reps. IAPD ↗
$263.8M RAUM · 2 reps · 208-900-4331 · freedomfiduciaries.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SELBY LANE CAPITAL, LLC (MENLO PARK, CA) is newly SEC-registered with $276.4M RAUM and 5 advisory reps. IAPD ↗
$276.4M RAUM · 5 reps · 650-463-9511 · selbylane.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAROLD DANCE INVESTMENTS (LOGAN, UT) is newly SEC-registered with $119.0M RAUM and 7 advisory reps. IAPD ↗
$119.0M RAUM · 7 reps · 435-752-8484 · harolddance.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
U. S. BOSTON CAPITAL CORPORATION (LINCOLN, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 781-259-1144 · usboston.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NETWORTH ASSET MANAGEMENT, INC (location n/a) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
$105.8M RAUM · 3 reps · 352 268 2080 · nwam.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RDM CAPITAL ASSOCIATES INC (RED BANK, NJ) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
$107.1M RAUM · 3 reps · 732-576-1671
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 487 more in the CSV export.

Portfolio / reporting / TAMP 154 firms

98
LAFISE SECURITIES CORPORATION (MIAMI, FL) is newly SEC-registered with $736.0M RAUM and 1 advisory reps. IAPD ↗
$736.0M RAUM · 1 reps · 305-374-6001
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
LETSON INVESTMENT MANAGEMENT, INC. (location n/a) is newly SEC-registered with $261.5M RAUM and 2 advisory reps. IAPD ↗
$261.5M RAUM · 2 reps · 404-237-7794 · letsoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FOUNDER FAMILY FINANCIAL, LLC (location n/a) is newly SEC-registered with $270.8M RAUM and 1 advisory reps. IAPD ↗
$270.8M RAUM · 1 reps · 843-621-0435 · f3financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CLEARWELL ADVISORS, LLC (TAMPA, FL) is newly SEC-registered with $362.1M RAUM and 6 advisory reps. IAPD ↗
$362.1M RAUM · 6 reps · (813) 435-5600 · clearwellgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FREEDOM FIDUCIARIES LLC (BOISE, ID) is newly SEC-registered with $263.8M RAUM and 2 advisory reps. IAPD ↗
$263.8M RAUM · 2 reps · 208-900-4331 · freedomfiduciaries.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SELBY LANE CAPITAL, LLC (MENLO PARK, CA) is newly SEC-registered with $276.4M RAUM and 5 advisory reps. IAPD ↗
$276.4M RAUM · 5 reps · 650-463-9511 · selbylane.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAROLD DANCE INVESTMENTS (LOGAN, UT) is newly SEC-registered with $119.0M RAUM and 7 advisory reps. IAPD ↗
$119.0M RAUM · 7 reps · 435-752-8484 · harolddance.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
U. S. BOSTON CAPITAL CORPORATION (LINCOLN, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 781-259-1144 · usboston.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NETWORTH ASSET MANAGEMENT, INC (location n/a) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
$105.8M RAUM · 3 reps · 352 268 2080 · nwam.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RDM CAPITAL ASSOCIATES INC (RED BANK, NJ) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
$107.1M RAUM · 3 reps · 732-576-1671
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 144 more in the CSV export.

Custodian 138 firms

98
LAFISE SECURITIES CORPORATION (MIAMI, FL) is newly SEC-registered with $736.0M RAUM and 1 advisory reps. IAPD ↗
$736.0M RAUM · 1 reps · 305-374-6001
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
LETSON INVESTMENT MANAGEMENT, INC. (location n/a) is newly SEC-registered with $261.5M RAUM and 2 advisory reps. IAPD ↗
$261.5M RAUM · 2 reps · 404-237-7794 · letsoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FOUNDER FAMILY FINANCIAL, LLC (location n/a) is newly SEC-registered with $270.8M RAUM and 1 advisory reps. IAPD ↗
$270.8M RAUM · 1 reps · 843-621-0435 · f3financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CLEARWELL ADVISORS, LLC (TAMPA, FL) is newly SEC-registered with $362.1M RAUM and 6 advisory reps. IAPD ↗
$362.1M RAUM · 6 reps · (813) 435-5600 · clearwellgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FREEDOM FIDUCIARIES LLC (BOISE, ID) is newly SEC-registered with $263.8M RAUM and 2 advisory reps. IAPD ↗
$263.8M RAUM · 2 reps · 208-900-4331 · freedomfiduciaries.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SELBY LANE CAPITAL, LLC (MENLO PARK, CA) is newly SEC-registered with $276.4M RAUM and 5 advisory reps. IAPD ↗
$276.4M RAUM · 5 reps · 650-463-9511 · selbylane.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAROLD DANCE INVESTMENTS (LOGAN, UT) is newly SEC-registered with $119.0M RAUM and 7 advisory reps. IAPD ↗
$119.0M RAUM · 7 reps · 435-752-8484 · harolddance.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
U. S. BOSTON CAPITAL CORPORATION (LINCOLN, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 781-259-1144 · usboston.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NETWORTH ASSET MANAGEMENT, INC (location n/a) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
$105.8M RAUM · 3 reps · 352 268 2080 · nwam.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RDM CAPITAL ASSOCIATES INC (RED BANK, NJ) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
$107.1M RAUM · 3 reps · 732-576-1671
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 128 more in the CSV export.

Marketing & brand 498 firms

98
LAFISE SECURITIES CORPORATION (MIAMI, FL) is newly SEC-registered with $736.0M RAUM and 1 advisory reps. IAPD ↗
$736.0M RAUM · 1 reps · 305-374-6001
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
LETSON INVESTMENT MANAGEMENT, INC. (location n/a) is newly SEC-registered with $261.5M RAUM and 2 advisory reps. IAPD ↗
$261.5M RAUM · 2 reps · 404-237-7794 · letsoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FOUNDER FAMILY FINANCIAL, LLC (location n/a) is newly SEC-registered with $270.8M RAUM and 1 advisory reps. IAPD ↗
$270.8M RAUM · 1 reps · 843-621-0435 · f3financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CLEARWELL ADVISORS, LLC (TAMPA, FL) is newly SEC-registered with $362.1M RAUM and 6 advisory reps. IAPD ↗
$362.1M RAUM · 6 reps · (813) 435-5600 · clearwellgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FREEDOM FIDUCIARIES LLC (BOISE, ID) is newly SEC-registered with $263.8M RAUM and 2 advisory reps. IAPD ↗
$263.8M RAUM · 2 reps · 208-900-4331 · freedomfiduciaries.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SELBY LANE CAPITAL, LLC (MENLO PARK, CA) is newly SEC-registered with $276.4M RAUM and 5 advisory reps. IAPD ↗
$276.4M RAUM · 5 reps · 650-463-9511 · selbylane.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAROLD DANCE INVESTMENTS (LOGAN, UT) is newly SEC-registered with $119.0M RAUM and 7 advisory reps. IAPD ↗
$119.0M RAUM · 7 reps · 435-752-8484 · harolddance.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
U. S. BOSTON CAPITAL CORPORATION (LINCOLN, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 781-259-1144 · usboston.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NETWORTH ASSET MANAGEMENT, INC (location n/a) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
$105.8M RAUM · 3 reps · 352 268 2080 · nwam.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RDM CAPITAL ASSOCIATES INC (RED BANK, NJ) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
$107.1M RAUM · 3 reps · 732-576-1671
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 488 more in the CSV export.

Recruiting & transitions 148 firms

85
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS grew from 60 to 80 advisory reps. IAPD ↗
$15.32B RAUM · 80 reps · 216-621-1090 · clearsteadinvestmentforum.buzzsprout.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
THE COLONY GROUP, LLC grew from 255 to 285 advisory reps. IAPD ↗
$21.47B RAUM · 285 reps · 617-723-8200 · debrabrede.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC grew from 52 to 74 advisory reps. IAPD ↗
$11.29B RAUM · 74 reps · 312-334-7300
CRMRecruiting & transitionsComplianceFinancial planning software
85
F/M INVESTMENTS LLC grew from 8 to 35 advisory reps. IAPD ↗
$12.85B RAUM · 35 reps · 202-839-4910 · fm-invest.com
CRMRecruiting & transitionsComplianceFinancial planning software
83
CONSOLIDATED PLANNING CORPORATION grew from 9 to 22 advisory reps. IAPD ↗
$1.58B RAUM · 22 reps · 404-879-3000 · cpcadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
83
SOVRAN ADVISORS, LLC grew from 2 to 45 advisory reps. IAPD ↗
$841.6M RAUM · 45 reps · 619-281-9890 · sovranadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
NECTARINE grew from 1 to 18 advisory reps. IAPD ↗
$0 RAUM · 18 reps · (858) 779-0115 · hellonectarine.com
CRMRecruiting & transitionsComplianceFinancial planning software
78
WAVERLY ADVISORS, LLC grew from 84 to 92 advisory reps. IAPD ↗
$11.38B RAUM · 92 reps · 205-871-3334 · waverly-advisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
78
SANCTUARY ADVISORS, LLC grew from 309 to 317 advisory reps. IAPD ↗
$22.02B RAUM · 317 reps · 317-975-7729
CRMRecruiting & transitionsComplianceFinancial planning software
78
CONCURRENT INVESTMENT ADVISORS, LLC grew from 106 to 114 advisory reps. IAPD ↗
$6.26B RAUM · 114 reps · (813) 575-2652 · concurrentny.com
CRMRecruiting & transitionsComplianceFinancial planning software

…and 138 more in the CSV export.

Integration & migration consulting 7 firms

85
MONTEREY PRIVATE WEALTH, INC. crossed $1B in regulatory AUM ($965.9M -> $1.01B). IAPD ↗
$1.01B RAUM · 8 reps · (831) 372-3426
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
PINKERTON RETIREMENT SPECIALISTS, LLC crossed $1B in regulatory AUM ($945.7M -> $1.02B). IAPD ↗
$1.02B RAUM · 12 reps · 800-634-2008 · pinkertonretirement.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
REVOLVE WEALTH PARTNERS, LLC crossed $1B in regulatory AUM ($837.6M -> $1.04B). IAPD ↗
$1.04B RAUM · 13 reps · 201-373-2163
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
ARQ WEALTH ADVISORS, LLC crossed $500M in regulatory AUM ($466.2M -> $520.1M). IAPD ↗
$520.1M RAUM · 6 reps · 480-214-9572
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
SAN LUIS WEALTH ADVISORS crossed $500M in regulatory AUM ($97.2M -> $561.1M). IAPD ↗
$561.1M RAUM · 4 reps · 805-810-0002 · sanluiswealth.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
45
UBS ASSET MANAGEMENT (AMERICAS) LLC filed an Item 4A succession naming UBS ASSET MANAGEMENT (AMERICAS) INC. (CRD 106838) — an entity change, not a deal. IAPD ↗
$367.88B RAUM · 216 reps · 212-821-3000 · ubs.com
Integration & migration consultingCompliance
40
INTENTIONAL WEALTH STRATEGIES filed an Item 4A succession naming INTENTIONAL WEALTH STRATEGIES (CRD 327743) — an entity change, not a deal. IAPD ↗
$122.8M RAUM · 2 reps · 719-694-8002 · intentionalwealth.com
Integration & migration consultingCompliance

Fund administration 1 firms

75
FORZA INVESTMENT GROUP, LP now reports 7 private fund(s) ($1.36B gross). IAPD ↗
$1.36B RAUM · 6 reps · 973-315-5394
Fund administrationCompliance

Office IT & facilities 86 firms

55
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS added office(s): 4 -> 7 additional locations. IAPD ↗
$15.32B RAUM · 80 reps · 216-621-1090 · clearsteadinvestmentforum.buzzsprout.com
Office IT & facilitiesCRMRecruiting & transitions
55
SMITH SHELLNUT WILSON added office(s): 0 -> 1 additional locations. IAPD ↗
$7.23B RAUM · 14 reps · 601-605-1776
Office IT & facilitiesCRMRecruiting & transitions
55
CLARFELD added office(s): 30 -> 31 additional locations. IAPD ↗
$9.52B RAUM · 160 reps · 914-846-0100
Office IT & facilitiesCRMRecruiting & transitions
55
MASLOW WEALTH ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$1.76B RAUM · 10 reps · 512-610-6930
Office IT & facilitiesCRMRecruiting & transitions
55
EMBREE FINANCIAL GROUP added office(s): 0 -> 4 additional locations. IAPD ↗
$2.04B RAUM · 13 reps · 312-527-5565
Office IT & facilitiesCRMRecruiting & transitions
55
SATHER FINANCIAL GROUP, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$1.73B RAUM · 7 reps · 361-570-1800 · satherfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
GRIMES & COMPANY, INC. added office(s): 16 -> 17 additional locations. IAPD ↗
$4.85B RAUM · 27 reps · 508-366-3883
Office IT & facilitiesCRMRecruiting & transitions
55
COOPER MCMANUS added office(s): 22 -> 24 additional locations. IAPD ↗
$1.58B RAUM · 38 reps · 800-516-5333 · morgansterlingpwm.com
Office IT & facilitiesCRMRecruiting & transitions
55
WAVERLY ADVISORS, LLC added office(s): 17 -> 18 additional locations. IAPD ↗
$11.38B RAUM · 92 reps · 205-871-3334 · waverly-advisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
THE RETIREMENT PLANNING GROUP, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$1.80B RAUM · 19 reps · 913-498-8898
Office IT & facilitiesCRMRecruiting & transitions

…and 76 more in the CSV export.

M&A & valuation 54 firms

65
CETERA ADVISORS LLC (GREENWOOD VILLAGE, IL) left the SEC roster (was $21.99B RAUM, 997 reps). IAPD ↗
$21.99B RAUM · 997 reps · 310-257-7880 · cetera.com
Recruiting & transitionsM&A & valuation
65
UBS HEDGE FUND SOLUTIONS (STAMFORD, CT) left the SEC roster (was $39.19B RAUM, 73 reps). IAPD ↗
$39.19B RAUM · 73 reps · 203-719-1428 · ubs.com
Recruiting & transitionsM&A & valuation
65
STONECASTLE CASH MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $7.08B RAUM, 11 reps). IAPD ↗
$7.08B RAUM · 11 reps · 212-354-6500 · icm.stonecastle.com
Recruiting & transitionsM&A & valuation
63
RAINSBERGER WEALTH ADVISORS (COLORADO SPRINGS, CO) left the SEC roster (was $355.7M RAUM, 4 reps). IAPD ↗
$355.7M RAUM · 4 reps · 719-328-1944 · rwapartners.com
Recruiting & transitionsM&A & valuation
63
SPOUTING ROCK ASSET MANAGEMENT, LLC (BRYN MAWR, PA) left the SEC roster (was $455.0M RAUM, 13 reps). IAPD ↗
$455.0M RAUM · 13 reps · 610-788-2128 · spoutingrock.us
Recruiting & transitionsM&A & valuation
63
THE J. ARNOLD WEALTH MANAGEMENT CO., LLC (YOUNGSTOWN, OH) left the SEC roster (was $255.3M RAUM, 2 reps). IAPD ↗
$255.3M RAUM · 2 reps · 330-965-9890 · jarnoldwealth.com
Recruiting & transitionsM&A & valuation
60
FRIESS ASSOCIATES, LLC (GREENVILLE, DE) left the SEC roster (was $181.9M RAUM, 7 reps). IAPD ↗
$181.9M RAUM · 7 reps · 302-656-3017 · friess.com
Recruiting & transitionsM&A & valuation
60
ACCESS INVESTMENT ADVISORS INC (MANITOWOC, WI) left the SEC roster (was $217.9M RAUM, 3 reps). IAPD ↗
$217.9M RAUM · 3 reps · 920.683.9901 · access95.com
Recruiting & transitionsM&A & valuation
60
THIRD STREET ADVISORS, LLC (GENEVA, IL) left the SEC roster (was $95.6M RAUM, 4 reps). IAPD ↗
$95.6M RAUM · 4 reps · 630-513-8815
Recruiting & transitionsM&A & valuation
60
EXPERIENTIAL WEALTH, INC. (CABIN JOHN, MD) left the SEC roster (was $164.2M RAUM, 2 reps). IAPD ↗
$164.2M RAUM · 2 reps · 703-847-4380 · experientialwealth.com
Recruiting & transitionsM&A & valuation

…and 44 more in the CSV export.

Everything else — all segments

state expansion — 303 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS notice-filed in AL, DE, KY, ME, NE, NV, OK, UT. IAPD ↗
$15.32B RAUM · 80 reps · 216-621-1090 · clearsteadinvestmentforum.buzzsprout.com
ComplianceMarketing & brand
55
EMBREE FINANCIAL GROUP notice-filed in AZ, CA, CO, CT, FL, IN, MI, NC, NH, NJ, NY, OH, PA, TN, TX, VA, WA, WI. IAPD ↗
$2.04B RAUM · 13 reps · 312-527-5565
ComplianceMarketing & brand
55
TRAJAN WEALTH, L.L.C. notice-filed in AR, HI, IA, MN, MT, NC, PA, SC, WI. IAPD ↗
$1.37B RAUM · 34 reps · 480-990-3300
ComplianceMarketing & brand
55
GOLDEN STATE WEALTH MANAGEMENT, LLC notice-filed in CT, MA, MN, OH, WI, WY. IAPD ↗
$1.69B RAUM · 51 reps · 866.273.1563 · cfmplanners.com
ComplianceMarketing & brand
55
ONEASCENT FINANCIAL SERVICES LLC notice-filed in AR, KS, KY, MD, ME, ND, SD. IAPD ↗
$1.79B RAUM · 39 reps · 205-313-9142 · anthemwealthadvisors.com
ComplianceMarketing & brand
55
FIRST TRUST DIRECT INDEXING notice-filed in AZ, GA, MD, ME, MI, MN, NE. IAPD ↗
$1.42B RAUM · 6 reps · 617-752-6010
ComplianceMarketing & brand
55
CONCURRENT INVESTMENT ADVISORS, LLC notice-filed in AZ, CT, IA, ID, MA, MO, MS, MT, NE, NH, NV, OH, PA, UT, WV. IAPD ↗
$6.26B RAUM · 114 reps · (813) 575-2652 · concurrentny.com
ComplianceMarketing & brand
53
HUDSON ADVISOR SERVICES, INC. notice-filed in CO, MA, ME, TX, WV. IAPD ↗
$255.7M RAUM · 5 reps · 877-504-1964 · hudsonadvisors.com
ComplianceMarketing & brand
53
CORNERCAP INVESTMENT COUNSEL INC notice-filed in KY, MN, NV, OH. IAPD ↗
$1.21B RAUM · 14 reps · 404.870.0700 · cornercapfunds.com
ComplianceMarketing & brand
53
DAVIDSON INVESTMENT ADVISORS, INC. notice-filed in CT, KY, ME, MI. IAPD ↗
$4.50B RAUM · 10 reps · 406-727-6111 · dadco.com
ComplianceMarketing & brand
53
SAGEGUARD FINANCIAL GROUP, LLC notice-filed in FL, KY, LA, MI, MO, MS, NC, NH, OH, PA. IAPD ↗
$377.9M RAUM · 13 reps · (615) 859-4567
ComplianceMarketing & brand
53
TENNESSEE VALLEY ASSET MANAGEMENT PARTNERS, LLC notice-filed in AL, CA, CO, IL, IN, KY. IAPD ↗
$677.0M RAUM · 19 reps · 865-226-9982
ComplianceMarketing & brand
53
PARK EDGE ADVISORS, LLC notice-filed in FL, MI, NC, PR, TX. IAPD ↗
$460.2M RAUM · 5 reps · (216) 727-0144 · parkedgeadvisors.com
ComplianceMarketing & brand
53
SAVVY notice-filed in AK, AZ, CT, LA, MD, NC, NE, NH, NV, OH, SC, TN, VA. IAPD ↗
$401.3M RAUM · 10 reps · 833-745-6789
ComplianceMarketing & brand
53
SOLLINDA CAPITAL MANAGEMENT LLC notice-filed in AL, MA, MD, MI, NE, NH, NJ, OH, TN, VA. IAPD ↗
$916.8M RAUM · 9 reps · 828-455-4264 · sollinda.com
ComplianceMarketing & brand
51
CONRAD SIEGEL INVESTMENT ADVISORS notice-filed in GA, NJ, VA. IAPD ↗
$7.77B RAUM · 21 reps · (717) 652-5633 · my-benefits-info.com
ComplianceMarketing & brand
51
ONEASCENT WEALTH MANAGEMENT notice-filed in CO, MD, OH, WV. IAPD ↗
$520.9M RAUM · 11 reps · 205-313-9142
ComplianceMarketing & brand
51
FIDELIS CAPITAL notice-filed in CO, GA, MO, NH. IAPD ↗
$917.2M RAUM · 11 reps · 813-934-6246
ComplianceMarketing & brand
50
ST. BERNARD FINANCIAL SERVICES, INC. notice-filed in KY, NJ, NV, SC, VT, WI. IAPD ↗
$128.7M RAUM · 30 reps · 479-967-1200 · turnerfinancial.net
ComplianceMarketing & brand
50
KLEIN PAVLIS & PEASLEY FINANCIAL, INC. notice-filed in FL, GA, SC, UT, VA. IAPD ↗
$162.5M RAUM · 3 reps · 800-557-5461 · investtalk.com
ComplianceMarketing & brand
50
KEY CAPITAL MANAGEMENT, INC. notice-filed in AL, AZ, FL, KY, NC, OH. IAPD ↗
$205.8M RAUM · 5 reps · 615-826-5749 · retiretv.com
ComplianceMarketing & brand
50
KEENAN FINANCIAL notice-filed in AR, DE, HI, IN, ME, NM, NV, OH, OR, UT, WI, WV. IAPD ↗
$102.7M RAUM · 14 reps · (978) 270-1193
ComplianceMarketing & brand
50
FRUITFUL notice-filed in CO, DC, FL, GA, IL, MA, MD, NH, NJ, OK, OR, PA, TX, VA, WA. IAPD ↗
$1.4M RAUM · 10 reps · (703) 997-2993 · fruitful.com
ComplianceMarketing & brand
50
ROSSBY FINANCIAL, LLC notice-filed in AZ, DC, ID, IL, LA, NY. IAPD ↗
$107.3M RAUM · 8 reps · 321-209-0111
ComplianceMarketing & brand
50
FREC notice-filed in AZ, CO, FL, GA, MA, NJ, NY, PA, TX, WA. IAPD ↗
$8.4M RAUM · 1 reps · 855-900-3732 · frec.com
ComplianceMarketing & brand
49
OBERMEYER WOOD INVESTMENT COUNSEL, LLLP notice-filed in ID, NC. IAPD ↗
$2.14B RAUM · 14 reps · 970-925-8747 · obermeyerwood.com
ComplianceMarketing & brand
49
SS&H FINANCIAL ADVISORS, INC. notice-filed in FL, IL, MT. IAPD ↗
$287.2M RAUM · 2 reps · 248-538-9755 · sshadvisors.com
ComplianceMarketing & brand
49
REDHAWK WEALTH ADVISORS, INC. notice-filed in DE, NJ. IAPD ↗
$1.82B RAUM · 47 reps · 952-835-4295
ComplianceMarketing & brand
49
ACTIVEST WEALTH MANAGEMENT, LLC notice-filed in DE, MA, NJ. IAPD ↗
$613.4M RAUM · 8 reps · 954-399-8121 · activestwm.com
ComplianceMarketing & brand
49
JOHNSON BRUNETTI notice-filed in MD, NV. IAPD ↗
$1.58B RAUM · 31 reps · 860-372-4800 · johnsonbrunetti.com
ComplianceMarketing & brand
49
SIGNATURE WEALTH MANAGEMENT GROUP LLC notice-filed in IL, LA, SC. IAPD ↗
$354.2M RAUM · 5 reps · 678-932-2500
ComplianceMarketing & brand
49
WATERSHED PRIVATE WEALTH LLC notice-filed in FL, IN, TX. IAPD ↗
$263.4M RAUM · 3 reps · 708-829-4480
ComplianceMarketing & brand
49
FINANCIAL NETWORK WEALTH ADVISORS LLC notice-filed in CO, ID, VA. IAPD ↗
$287.1M RAUM · 5 reps · 801-748-0044
ComplianceMarketing & brand
49
IMPRINT WEALTH LLC notice-filed in CA, PA, TX. IAPD ↗
$709.1M RAUM · 18 reps · (843) 834-4853
ComplianceMarketing & brand
49
SYNTEGRA PRIVATE WEALTH GROUP LLC notice-filed in DC, KY. IAPD ↗
$1.02B RAUM · 12 reps · 314-802-7232
ComplianceMarketing & brand
48
ASSUREDPARTNERS INVESTMENT ADVISORS notice-filed in AK, ID, MT, WY. IAPD ↗
$179.0M RAUM · 15 reps · 407-708-0050 · apadvisors.com
ComplianceMarketing & brand
48
MERKKURI WEALTH ADVISORS LLC notice-filed in FL, NJ, PA, TX. IAPD ↗
$0 RAUM · 2 reps · 516-268-3446
ComplianceMarketing & brand
47
LINCOLN INVESTMENT notice-filed in PR. IAPD ↗
$17.22B RAUM · 883 reps · 215-887-8111
ComplianceMarketing & brand
47
RICHARDS MERRILL WEALTH MANAGEMENT notice-filed in FL, MT. IAPD ↗
$395.8M RAUM · 8 reps · 509-624-3174 · rmpinvest.com
ComplianceMarketing & brand
47
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC notice-filed in ND, NJ. IAPD ↗
$413.6M RAUM · 30 reps · 763-923-2270 · oakridgefinancial.com
ComplianceMarketing & brand
47
HOWE AND RUSLING, INC. notice-filed in HI. IAPD ↗
$1.68B RAUM · 16 reps · 585-325-4140
ComplianceMarketing & brand
47
TFC FINANCIAL MANAGEMENT INC notice-filed in MD. IAPD ↗
$1.38B RAUM · 10 reps · 617-210-6700
ComplianceMarketing & brand
47
XPYRIA INVESTMENT ADVISORS, INC. notice-filed in OH, WV. IAPD ↗
$823.3M RAUM · 8 reps · 412-232-3310 · xpyriainvest.com
ComplianceMarketing & brand
47
EVERHART ADVISORS notice-filed in AL. IAPD ↗
$1.45B RAUM · 22 reps · 614-717-9705
ComplianceMarketing & brand
47
BLUE BARN WEALTH notice-filed in AZ, FL. IAPD ↗
$431.4M RAUM · 6 reps · (801) 466-4101 · bluebarnwealth.com
ComplianceMarketing & brand
47
MASLOW WEALTH ADVISORS notice-filed in NJ. IAPD ↗
$1.76B RAUM · 10 reps · 512-610-6930
ComplianceMarketing & brand
47
GARCIA HAMILTON & ASSOCIATES LP notice-filed in UT. IAPD ↗
$20.24B RAUM · 13 reps · 713-853-2322 · garciahamiltonassociates.com
ComplianceMarketing & brand
47
JMG FINANCIAL GROUP LTD notice-filed in ID. IAPD ↗
$5.42B RAUM · 63 reps · 630-571-5252
ComplianceMarketing & brand
47
DESTINATION WEALTH MANAGEMENT notice-filed in SC. IAPD ↗
$3.70B RAUM · 32 reps · 925-935-2900 · destinationwm.com
ComplianceMarketing & brand
47
NOESIS CAPITAL MANAGEMENT CORP notice-filed in MS, NM. IAPD ↗
$539.9M RAUM · 7 reps · 561-999-9888 · noesis-capital.com
ComplianceMarketing & brand
47
MASON INVESTMENT ADVISORY SERVICES INC notice-filed in LA. IAPD ↗
$12.16B RAUM · 36 reps · 703-716-6000 · masoncompanies.com
ComplianceMarketing & brand
47
COOPER MCMANUS notice-filed in KS. IAPD ↗
$1.58B RAUM · 38 reps · 800-516-5333 · morgansterlingpwm.com
ComplianceMarketing & brand
47
JOEL R. MOGY INVESTMENT COUNSEL INC. notice-filed in CT. IAPD ↗
$1.67B RAUM · 3 reps · (310) 552-0529
ComplianceMarketing & brand
47
BOUCHEY FINANCIAL GROUP LTD notice-filed in PA. IAPD ↗
$1.16B RAUM · 19 reps · 518-720-3333 · boucheyfinancial.com
ComplianceMarketing & brand
47
PATRIOT INVESTMENT MANAGEMENT GROUP INC notice-filed in IL. IAPD ↗
$1.53B RAUM · 18 reps · 865-777-2479
ComplianceMarketing & brand
47
BOSTON FINANCIAL MANAGEMENT LLC notice-filed in NE. IAPD ↗
$4.45B RAUM · 26 reps · 617-338-8108 · bfminvest.com
ComplianceMarketing & brand
47
WAVERLY ADVISORS, LLC notice-filed in IA. IAPD ↗
$11.38B RAUM · 92 reps · 205-871-3334 · waverly-advisors.com
ComplianceMarketing & brand
47
AMERAUDI ASSET MANAGEMENT, INC. notice-filed in IL. IAPD ↗
$1.44B RAUM · 5 reps · 212-833-1090 · ameraudi.com
ComplianceMarketing & brand
47
J.DEREK LEWIS & ASSOCIATES, INC. notice-filed in WY. IAPD ↗
$1.46B RAUM · 10 reps · 949-752-9096
ComplianceMarketing & brand
47
IFC PERSONAL MONEY MANAGERS, INC. notice-filed in SC, VA. IAPD ↗
$395.2M RAUM · 1 reps · 212-721-8713 · objectiveadvice.com
ComplianceMarketing & brand
47
BARON SILVER STEVENS FINANCIAL ADVISORS, LLC notice-filed in CA, SC. IAPD ↗
$866.2M RAUM · 8 reps · 561-447-1997 · bssfa.com
ComplianceMarketing & brand
47
WEALTHCREST FINANCIAL SERVICES, LLC notice-filed in GA, PA. IAPD ↗
$371.9M RAUM · 5 reps · 703-372-1717 · wealthcrest.com
ComplianceMarketing & brand
47
RAFFA INVESTMENT ADVISERS notice-filed in PA. IAPD ↗
$1.28B RAUM · 5 reps · 202-955-6734 · raffaadvisers.com
ComplianceMarketing & brand
47
CORNERSTONE ADVISORY notice-filed in GA. IAPD ↗
$1.74B RAUM · 8 reps · 410-468-1693 · cornerstoneadvisory.com
ComplianceMarketing & brand
47
TOTAL CLARITY WEALTH MANAGEMENT, INC notice-filed in MI, NV. IAPD ↗
$458.0M RAUM · 23 reps · 630-762-9352
ComplianceMarketing & brand
47
EXETER FINANCIAL, LLC notice-filed in FL, VA. IAPD ↗
$334.3M RAUM · 4 reps · 480-588-0830 · exeterfinancial.com
ComplianceMarketing & brand
47
BENEFIT FINANCIAL SERVICES GROUP notice-filed in CT. IAPD ↗
$1.15B RAUM · 26 reps · 949-955-2552 · bfsg-az.com
ComplianceMarketing & brand
47
THE MARSHALL FINANCIAL GROUP LLC notice-filed in AZ, SC. IAPD ↗
$468.7M RAUM · 5 reps · (410) 563-1044
ComplianceMarketing & brand
47
SEACREST WEALTH MANAGEMENT, LLC notice-filed in NM. IAPD ↗
$1.28B RAUM · 38 reps · 914-502-1900 · stantongwp.com
ComplianceMarketing & brand
47
MILLER TABAK ASSET MANAGEMENT notice-filed in ME. IAPD ↗
$1.32B RAUM · 3 reps · 212-850-8103 · millertabakam.com
ComplianceMarketing & brand
47
JOSEPH P. LUCIA & ASSOCIATES, LLC notice-filed in NC, SC. IAPD ↗
$310.3M RAUM · 3 reps · 914-352-6600 · luciaandassociates.net
ComplianceMarketing & brand
47
CONGRESS PARK CAPITAL LLC notice-filed in NC, PA. IAPD ↗
$296.0M RAUM · 3 reps · (518) 339-4335 · congressparkcapital.com
ComplianceMarketing & brand
47
PATHSTONE notice-filed in MT. IAPD ↗
$48.26B RAUM · 287 reps · 201-944-7284
ComplianceMarketing & brand
47
SOLTIS INVESTMENT ADVISORS, LLC notice-filed in WY. IAPD ↗
$6.82B RAUM · 45 reps · 435-674-1600 · soltisadvisors.com
ComplianceMarketing & brand
47
LEGACY FINANCIAL ADVISORS, INC. notice-filed in CO. IAPD ↗
$1.13B RAUM · 8 reps · 859-655-5225 · legacyfinancialadvisors.com
ComplianceMarketing & brand
47
PACIFIC CAPITAL notice-filed in AZ, FL. IAPD ↗
$525.9M RAUM · 5 reps · 844-777-8777 · pacificcapital.com
ComplianceMarketing & brand
47
CAPITAL ANALYSTS notice-filed in PR. IAPD ↗
$7.10B RAUM · 704 reps · 800-242-1421 · lincolninvestment.com
ComplianceMarketing & brand
47
INTEGRATED FINANCIAL STRATEGIES, LLC notice-filed in NH, NJ. IAPD ↗
$397.7M RAUM · 6 reps · 704-643-5000 · ifsinvest.com
ComplianceMarketing & brand
47
VESTOR CAPITAL, LLC notice-filed in VA. IAPD ↗
$1.77B RAUM · 21 reps · 312-641-2400
ComplianceMarketing & brand
47
COMPASS ION ADVISORS, LLC notice-filed in MI. IAPD ↗
$1.09B RAUM · 13 reps · (610) 228-2200
ComplianceMarketing & brand
47
CONCENTRUM WEALTH MANAGEMENT notice-filed in AK, CO. IAPD ↗
$623.5M RAUM · 4 reps · 408-840-4030
ComplianceMarketing & brand
47
HORIZON WEALTH MANAGEMENT notice-filed in GA, MN. IAPD ↗
$938.7M RAUM · 6 reps · (708) 352-4300
ComplianceMarketing & brand
47
FIDUCIARY FINANCIAL ADVISORS notice-filed in MA, VA. IAPD ↗
$555.4M RAUM · 22 reps · 6166223062
ComplianceMarketing & brand
47
HUGHES FINANCIAL SERVICES, LLC notice-filed in CA, NH. IAPD ↗
$510.0M RAUM · 7 reps · 703-669-3660 · h4fs.com
ComplianceMarketing & brand
47
OAK HARVEST INVESTMENT SERVICES notice-filed in CT, NE. IAPD ↗
$728.8M RAUM · 22 reps · 281-822-1350
ComplianceMarketing & brand
47
GRATUS CAPITAL, LLC notice-filed in AR. IAPD ↗
$2.74B RAUM · 26 reps · 404-961-6000
ComplianceMarketing & brand
47
CREWE ADVISORS notice-filed in MI. IAPD ↗
$1.62B RAUM · 14 reps · 385-355-2700
ComplianceMarketing & brand
47
GREAT OAK CAPITAL PARTNERS, LLC notice-filed in ME, VA. IAPD ↗
$320.5M RAUM · 4 reps · (508) 230-7100
ComplianceMarketing & brand
47
PARADIGM WEALTH ADVISORY LLC notice-filed in GA, TN. IAPD ↗
$356.1M RAUM · 12 reps · (908) 450-7402 · pwm.us.com
ComplianceMarketing & brand
47
EUDAIMONIA PARTNERS, LLC notice-filed in AR, WA. IAPD ↗
$703.5M RAUM · 15 reps · 877-843-1411 · glenwoodfinancialpartners.com
ComplianceMarketing & brand
47
PROCYON ADVISORS, LLC notice-filed in MI. IAPD ↗
$6.28B RAUM · 34 reps · (475) 232-2704
ComplianceMarketing & brand
47
CAPITA FINANCIAL NETWORK, LLC notice-filed in VA. IAPD ↗
$1.46B RAUM · 18 reps · 801-566-5058 · capitafinancialnetwork.com
ComplianceMarketing & brand
47
CHICAGO CAPITAL, LLC notice-filed in OR. IAPD ↗
$3.53B RAUM · 10 reps · 312-429-2333
ComplianceMarketing & brand
47
SOVEREIGN FINANCIAL GROUP, INC. notice-filed in IL, RI. IAPD ↗
$716.9M RAUM · 16 reps · (888) 765-8180 · sfgroupinc.com
ComplianceMarketing & brand
47
SARGENT INVESTMENT GROUP notice-filed in OR. IAPD ↗
$1.15B RAUM · 10 reps · (202) 580-6400
ComplianceMarketing & brand
47
WEALTHSPAN PARTNERS, LLC notice-filed in CO, LA. IAPD ↗
$282.5M RAUM · 4 reps · (563) 723-7301 · wealthspanpartners.com
ComplianceMarketing & brand
47
CANOPY WEALTH MANAGEMENT notice-filed in UT. IAPD ↗
$1.28B RAUM · 11 reps · 608-662-9018
ComplianceMarketing & brand
47
OCTAVIA WEALTH ADVISORS LLC notice-filed in RI. IAPD ↗
$1.44B RAUM · 28 reps · (513) 762-7701
ComplianceMarketing & brand
47
QUENT CAPITAL, LLC notice-filed in LA. IAPD ↗
$1.38B RAUM · 12 reps · 212-796-0707
ComplianceMarketing & brand
47
VANCE WEALTH notice-filed in CO, WA. IAPD ↗
$670.8M RAUM · 10 reps · 888-775-0950
ComplianceMarketing & brand
47
SCS notice-filed in IN. IAPD ↗
$1.29B RAUM · 20 reps · 425-452-1222 · northwestscs.com
ComplianceMarketing & brand
47
RETIREMENT PLANNING SOLUTIONS, LLC notice-filed in CO, NC. IAPD ↗
$285.4M RAUM · 11 reps · 502-499-5668
ComplianceMarketing & brand
47
KERA CAPITAL PARTNERS notice-filed in LA, WA. IAPD ↗
$507.6M RAUM · 8 reps · 408-668-2201 · keracapital.com
ComplianceMarketing & brand
47
CEDRUS LLC notice-filed in NY, OR. IAPD ↗
$651.1M RAUM · 17 reps · 720-724-2170 · cedrusfinancial.com
ComplianceMarketing & brand
47
NEXT LEVEL PRIVATE LLC notice-filed in CO, GA. IAPD ↗
$810.7M RAUM · 7 reps · (914) 431-5255 · nxtprivate.com
ComplianceMarketing & brand
47
SINGER WEALTH ADVISORS LLC notice-filed in MA, VA. IAPD ↗
$424.6M RAUM · 12 reps · 561-998-9985
ComplianceMarketing & brand
47
DAYMARK WEALTH PARTNERS, LLC notice-filed in GA. IAPD ↗
$2.50B RAUM · 16 reps · 513-838-2520
ComplianceMarketing & brand
47
GOLDEN STATE EQUITY PARTNERS, LLC notice-filed in GA, IL. IAPD ↗
$743.7M RAUM · 24 reps · 866-273-1563 · schneider-wealth.com
ComplianceMarketing & brand
47
INVENIO WEALTH PARTNERS, LLC notice-filed in OH, TX. IAPD ↗
$289.7M RAUM · 2 reps · 971-371-3450 · inveniowealth.com
ComplianceMarketing & brand
47
ELEVATUS WEALTH MANAGEMENT, LLC notice-filed in CT, MD. IAPD ↗
$346.5M RAUM · 4 reps · 585-565-4450 · elevatuswealth.com
ComplianceMarketing & brand
47
STONEBRIDGE FINANCIAL GROUP, LLC notice-filed in MA. IAPD ↗
$1.58B RAUM · 13 reps · 717-736-7007
ComplianceMarketing & brand
47
STABLEPOINT PARTNERS, LLC notice-filed in DC, NC. IAPD ↗
$534.7M RAUM · 5 reps · (781) 654-4600 · stablepointpartners.com
ComplianceMarketing & brand
46
CREEKSIDE CAPITAL, INC. notice-filed in FL, GA, SC. IAPD ↗
$221.1M RAUM · 2 reps · 865-693-5300 · creeksidecapitalinc.com
ComplianceMarketing & brand
46
RIDGE CAPITAL MANAGEMENT, LLC notice-filed in MI, NJ, TX. IAPD ↗
$131.8M RAUM · 4 reps · 770-516-7747
ComplianceMarketing & brand
46
REVERE WEALTH MANAGEMENT LLC notice-filed in MI, NJ, TX. IAPD ↗
$76.8M RAUM · 5 reps · 212-688-2350 · reveresecurities.com
ComplianceMarketing & brand
46
AMERITY WEALTH MANAGEMENT, LLC notice-filed in IL, NJ, SC. IAPD ↗
$141.0M RAUM · 14 reps · (863) 683-1750 · ameritywm.com
ComplianceMarketing & brand
46
ONEASCENT FAMILY OFFICES notice-filed in CO, FL, OH. IAPD ↗
$93.8M RAUM · 2 reps · (205) 313-9142
ComplianceMarketing & brand
46
NECTARINE notice-filed in LA, NE, NH. IAPD ↗
$0 RAUM · 18 reps · (858) 779-0115 · hellonectarine.com
ComplianceMarketing & brand
45
PACKERLAND BROKERAGE SERVICES, INC. notice-filed in AK. IAPD ↗
$854.2M RAUM · 144 reps · 920-662-9500
ComplianceMarketing & brand
45
BRUNI J V & CO notice-filed in NM. IAPD ↗
$865.3M RAUM · 3 reps · 719-575-9880 · jvbruni.com
ComplianceMarketing & brand
45
BRIGHT FINANCIAL ADVISORS, INC. notice-filed in ND. IAPD ↗
$489.2M RAUM · 3 reps · 269-373-2700 · brightfinancialadvisors.com
ComplianceMarketing & brand
45
STEPP & ROTHWELL INC notice-filed in WA. IAPD ↗
$890.7M RAUM · 10 reps · 913-345-4800
ComplianceMarketing & brand
45
LCM CAPITAL MANAGEMENT INC notice-filed in IA. IAPD ↗
$320.3M RAUM · 9 reps · 312-705-3013 · lcmcapital.com
ComplianceMarketing & brand
45
HUNTLEIGH ADVISORS, INC. notice-filed in MI. IAPD ↗
$445.4M RAUM · 53 reps · 314-236-2400 · huntleighadvisors.com
ComplianceMarketing & brand
45
STRATEGIC PLANNING GROUP notice-filed in TN. IAPD ↗
$513.8M RAUM · 5 reps · 801-627-2200 · spgutah.com
ComplianceMarketing & brand
45
DEW WEALTH MANAGEMENT notice-filed in NC. IAPD ↗
$293.9M RAUM · 21 reps · 480-614-9119
ComplianceMarketing & brand
45
JACOBSEN CAPITAL MANAGEMENT notice-filed in NV. IAPD ↗
$427.9M RAUM · 4 reps · 801-746-7171 · jacobsencapital.com
ComplianceMarketing & brand
45
LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C. notice-filed in VA. IAPD ↗
$711.7M RAUM · 7 reps · 509-972-3686
ComplianceMarketing & brand
45
ALEXANDER LABRUNERIE & CO., INC. notice-filed in NH. IAPD ↗
$426.7M RAUM · 6 reps · 573-449-5313
ComplianceMarketing & brand
45
MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC notice-filed in LA. IAPD ↗
$286.7M RAUM · 5 reps · 847-247-8959
ComplianceMarketing & brand
45
FINANCIAL AVENGERS, INC. notice-filed in MA. IAPD ↗
$366.8M RAUM · 2 reps · (415) 773-2174
ComplianceMarketing & brand
45
WEALTH ADVISORS GROUP notice-filed in AZ. IAPD ↗
$995.9M RAUM · 5 reps · 260-619-3100 · wealthag.com
ComplianceMarketing & brand
45
SIGNET INVESTMENT ADVISORY GROUP, INC. notice-filed in GA. IAPD ↗
$309.2M RAUM · 3 reps · 401-621-2221 · signetiag.com
ComplianceMarketing & brand
45
PURKISS CAPITAL ADVISORS, LLC notice-filed in NC. IAPD ↗
$514.2M RAUM · 3 reps · (203) 431-5862 · pcapadvisors.com
ComplianceMarketing & brand
45
GEM ASSET MANAGEMENT, LLC notice-filed in SC. IAPD ↗
$461.0M RAUM · 5 reps · 734-737-9108
ComplianceMarketing & brand
45
WISER WEALTH MANAGEMENT, INC notice-filed in LA. IAPD ↗
$307.9M RAUM · 3 reps · 678-905-4450
ComplianceMarketing & brand
45
CONFIDENCE WEALTH MANAGEMENT, LLC notice-filed in NJ. IAPD ↗
$267.1M RAUM · 11 reps · 310-824-1000
ComplianceMarketing & brand
45
CORNERSTONE FINANCIAL PLANNING, LLC notice-filed in MD. IAPD ↗
$306.0M RAUM · 7 reps · 603-431-1133 · cornerstoneplanning.com
ComplianceMarketing & brand
45
UHLER VERTICH WHITE ADVISORS notice-filed in LA. IAPD ↗
$466.0M RAUM · 5 reps · 239-936-6300
ComplianceMarketing & brand
45
FINANCIAL PERSPECTIVES notice-filed in TN. IAPD ↗
$864.6M RAUM · 13 reps · 763-553-7779 · fpwealth.com
ComplianceMarketing & brand
45
STRATEGIC ASSET MANAGEMENT GROUP ADVISORS notice-filed in CA. IAPD ↗
$362.4M RAUM · 3 reps · 954-473-1110 · 1samgroup.com
ComplianceMarketing & brand
45
ALHAMBRA INVESTMENT MANAGEMENT LLC notice-filed in NE. IAPD ↗
$265.5M RAUM · 6 reps · 305-233-3772 · alhambrapartners.com
ComplianceMarketing & brand
45
SAMALIN WEALTH notice-filed in NE. IAPD ↗
$364.5M RAUM · 8 reps · 914-666-6600
ComplianceMarketing & brand
45
ROBINSWOOD FINANCIAL notice-filed in FL. IAPD ↗
$321.0M RAUM · 5 reps · 452-296-1611 · robinswood.com
ComplianceMarketing & brand
45
VISIONARY HORIZONS, LLC notice-filed in NC. IAPD ↗
$252.6M RAUM · 9 reps · 865-675-8496 · visionaryhorizons.com
ComplianceMarketing & brand
45
BUTTONWOOD FINANCIAL GROUP, LLC notice-filed in VT. IAPD ↗
$625.5M RAUM · 8 reps · 816-285-9000
ComplianceMarketing & brand
45
M3 ADVISORY GROUP, LLC notice-filed in CO. IAPD ↗
$279.0M RAUM · 3 reps · (781) 371-2670 · m3familyoffice.com
ComplianceMarketing & brand
45
VERITY ASSET MANAGEMENT notice-filed in OK. IAPD ↗
$902.9M RAUM · 55 reps · 919-490-6717
ComplianceMarketing & brand
45
MKT ADVISORS LLC notice-filed in NH. IAPD ↗
$381.5M RAUM · 3 reps · (760) 658-8780
ComplianceMarketing & brand
45
MBE WEALTH MANAGEMENT, LLC notice-filed in NC. IAPD ↗
$725.5M RAUM · 8 reps · 608-372-5521 · mbewealth.com
ComplianceMarketing & brand
45
OCCIDENTAL ASSET MANAGEMENT, LLC notice-filed in PA. IAPD ↗
$625.5M RAUM · 10 reps · 650-344-1600 · yourmentalwealthadvisors.com
ComplianceMarketing & brand
45
ASSETGRADE, LLC notice-filed in CT. IAPD ↗
$254.8M RAUM · 3 reps · 617-933-7257
ComplianceMarketing & brand
45
COOK WEALTH, LLC notice-filed in GA. IAPD ↗
$475.0M RAUM · 10 reps · (919) 784-9100 · cookwealth.com
ComplianceMarketing & brand
45
ONE WEALTH ADVISORS, LLC notice-filed in NV. IAPD ↗
$841.6M RAUM · 9 reps · (415) 729-1770 · onewealth.net
ComplianceMarketing & brand
45
CYPRESS CAPITAL, LLC notice-filed in KS. IAPD ↗
$401.0M RAUM · 6 reps · 615-467-6075
ComplianceMarketing & brand
45
WEALTH WATCH ADVISORS, INC notice-filed in MS. IAPD ↗
$348.5M RAUM · 47 reps · 855-822-3708 · wealthwatchadvisors.com
ComplianceMarketing & brand
45
PANDOWEALTH. LLC notice-filed in KS. IAPD ↗
$299.3M RAUM · 14 reps · 678-712-6656 · pandowealth.com
ComplianceMarketing & brand
45
SUNPOINTE INVESTMENTS notice-filed in NY. IAPD ↗
$369.1M RAUM · 8 reps · (314) 880-0821 · sunpointeinvestments.com
ComplianceMarketing & brand
45
LEBENTHAL GLOBAL ADVISORS, LLC notice-filed in DE. IAPD ↗
$713.5M RAUM · 21 reps · 516-785-1800
ComplianceMarketing & brand
45
LIFEGUIDE FINANCIAL ADVISORS, LLC notice-filed in OH. IAPD ↗
$372.5M RAUM · 11 reps · (717) 796-1700 · lifeplan.lifeguidefa.com
ComplianceMarketing & brand
45
STRATA WEALTH ADVISORS, LLC notice-filed in IL. IAPD ↗
$795.5M RAUM · 11 reps · (214) 420-7020 · stratawealth.com
ComplianceMarketing & brand
45
TCP ASSET MANAGEMENT, LLC notice-filed in MI. IAPD ↗
$641.8M RAUM · 18 reps · 614-761-9378 · tcpasset.com
ComplianceMarketing & brand
45
WHITAKER-MYERS WEALTH MANAGERS, LTD. notice-filed in NJ. IAPD ↗
$513.0M RAUM · 11 reps · (330) 345-5000 · whitaker-myers.com
ComplianceMarketing & brand
45
INDEPENDENT WEALTH NETWORK, INC. notice-filed in AR. IAPD ↗
$358.3M RAUM · 25 reps · 515-461-5123 · indwealth.net
ComplianceMarketing & brand
45
EARLY MCCLINTIC & MCMILLAN, LLC notice-filed in CA. IAPD ↗
$504.8M RAUM · 6 reps · 281-491-5260 · emcmc.com
ComplianceMarketing & brand
45
CYPRESS CAPITAL ADVISORS, LLC notice-filed in CA. IAPD ↗
$323.6M RAUM · 4 reps · 615-467-6075
ComplianceMarketing & brand
45
SAGE RHINO CAPITAL LLC notice-filed in TN. IAPD ↗
$712.2M RAUM · 3 reps · (650) 352-5600 · sagerhino.com
ComplianceMarketing & brand
45
ROOT FINANCIAL PARTNERS notice-filed in TN. IAPD ↗
$399.2M RAUM · 9 reps · (760) 452-0720
ComplianceMarketing & brand
45
WEALTHCARE INVESTMENT PARTNERS LLC notice-filed in NY. IAPD ↗
$560.1M RAUM · 6 reps · (401) 682-2335 · wcipllc.com
ComplianceMarketing & brand
45
ALLRED CAPITAL MANAGEMENT, LLC notice-filed in OK. IAPD ↗
$406.1M RAUM · 4 reps · 844-965-7695 · allredcapitalmanagement.com
ComplianceMarketing & brand
45
HASSELL WEALTH MANAGEMENT notice-filed in NH. IAPD ↗
$255.8M RAUM · 6 reps · 985-868-9881
ComplianceMarketing & brand
45
MACH-1 FINANCIAL GROUP, LLC notice-filed in KY. IAPD ↗
$354.4M RAUM · 6 reps · 479-876-2100 · mach-1financial.com
ComplianceMarketing & brand
45
TRUEWEALTH ADVISORS, LLC notice-filed in NE. IAPD ↗
$355.9M RAUM · 12 reps · 205-588-4800
ComplianceMarketing & brand
45
SIGNAL ADVISORS WEALTH, LLC notice-filed in TN. IAPD ↗
$465.3M RAUM · 5 reps · 1-866-774-4625
ComplianceMarketing & brand
45
COLLECTIVE FAMILY OFFICE, LLC notice-filed in NY. IAPD ↗
$366.4M RAUM · 4 reps · (717) 893-5055
ComplianceMarketing & brand
45
INVESTMENT RESEARCH PARTNERS notice-filed in NY. IAPD ↗
$300.8M RAUM · 4 reps · 814-966-7206
ComplianceMarketing & brand
45
IAM ADVISORY LLC notice-filed in AZ. IAPD ↗
$572.4M RAUM · 8 reps · 610-258-3269 · iamadvisoryllc.com
ComplianceMarketing & brand
45
TRIAGEN WEALTH MANAGEMENT LLC notice-filed in IL. IAPD ↗
$375.0M RAUM · 2 reps · 818-732-8553
ComplianceMarketing & brand
45
JACKSONVILLE WEALTH MANAGEMENT notice-filed in MN. IAPD ↗
$340.2M RAUM · 5 reps · 904-923-7526 · jaxwealth.com
ComplianceMarketing & brand
45
FOCUSED ALPHA, LLC notice-filed in AZ. IAPD ↗
$306.8M RAUM · 3 reps · 303-529-5100
ComplianceMarketing & brand
45
PROSPECT FINANCIAL SERVICES LLC notice-filed in SC. IAPD ↗
$300.8M RAUM · 7 reps · 631-424-5218 · profinserv.net
ComplianceMarketing & brand
45
ALLIANCE WEALTH ADVISORS, LLC notice-filed in WA. IAPD ↗
$368.8M RAUM · 7 reps · 801-683-6000
ComplianceMarketing & brand
45
POWER WEALTH MANAGEMENT notice-filed in SC. IAPD ↗
$293.8M RAUM · 3 reps · 404-889-8919 · powerwm.com
ComplianceMarketing & brand
45
TRANSCE3ND LLC notice-filed in MN. IAPD ↗
$313.2M RAUM · 28 reps · 512-268-9220 · transcendim.com
ComplianceMarketing & brand
45
CORA CAPITAL ADVISORS notice-filed in NE. IAPD ↗
$513.0M RAUM · 7 reps · 856-513-8600
ComplianceMarketing & brand
45
JESSUP WEALTH MANAGEMENT notice-filed in LA. IAPD ↗
$260.6M RAUM · 4 reps · (937) 938-9105
ComplianceMarketing & brand
45
UNITED ADVISOR GROUP notice-filed in ID. IAPD ↗
$578.8M RAUM · 28 reps · 888.242.4912 · uagria.com
ComplianceMarketing & brand
45
GILLILAND JETER WEALTH MANAGEMENT, LLC notice-filed in CA. IAPD ↗
$454.5M RAUM · 3 reps · 501-902-4951 · gillilandjeter.com
ComplianceMarketing & brand
45
VICTORY FINANCIAL notice-filed in HI. IAPD ↗
$288.8M RAUM · 12 reps · (512) 763-7671 · victoryfinancialgroup.com
ComplianceMarketing & brand
45
LEGACY EDGE ADVISORS notice-filed in MD. IAPD ↗
$627.0M RAUM · 10 reps · 516-447-4200
ComplianceMarketing & brand
45
FIRST TRUST INVESTMENT SOLUTIONS L.P. notice-filed in AK. IAPD ↗
$518.1M RAUM · 7 reps · (239) 219-0550 · ftsma.com
ComplianceMarketing & brand
45
TRAVEKA WEALTH, LLC notice-filed in TX. IAPD ↗
$531.3M RAUM · 2 reps · (650) 397-2225 · travekawealth.com
ComplianceMarketing & brand
45
DIVERSIFY WEALTH MANAGEMENT, LLC notice-filed in DE. IAPD ↗
$458.1M RAUM · 24 reps · 801-838-9999 · caliberwealthmanagement.com
ComplianceMarketing & brand
44
PHASE III ADVISORY SERVICES, LTD notice-filed in CA, NC. IAPD ↗
$147.8M RAUM · 2 reps · 847-520-5545
ComplianceMarketing & brand
44
ARROYO INVESTMENT GROUP, LLC notice-filed in AZ, CO. IAPD ↗
$243.0M RAUM · 3 reps · 626-844-1441 · arroyoinvestmentgroup.com
ComplianceMarketing & brand
44
BAER WEALTH MANAGEMENT notice-filed in NH, TX. IAPD ↗
$249.7M RAUM · 2 reps · 770-984-2312
ComplianceMarketing & brand
44
SUMMIT WEALTH GROUP, LLC notice-filed in CO, NH. IAPD ↗
$123.3M RAUM · 3 reps · 918-930-9300
ComplianceMarketing & brand
44
HUDSON CAPITAL ADVISORY, INC. notice-filed in MD, WV. IAPD ↗
$119.1M RAUM · 3 reps · (617) 820-4014 · invest-hca.com
ComplianceMarketing & brand
44
RIGHTHAND CAPITAL, LLC notice-filed in DE, NV. IAPD ↗
$120.9M RAUM · 2 reps · (617) 430-7770
ComplianceMarketing & brand
44
CHIRON CAPITAL MANAGEMENT, LLC notice-filed in NC, PA. IAPD ↗
$223.7M RAUM · 2 reps · 850-775-1939 · chironcapital.com
ComplianceMarketing & brand
44
CSP FINANCIAL GROUP LLC notice-filed in IL, WI. IAPD ↗
$0 RAUM · 21 reps · 480-600-9626 · cspfgllc.com
ComplianceMarketing & brand
44
STONEPATH WEALTH MANAGEMENT notice-filed in CA, KY. IAPD ↗
$178.0M RAUM · 7 reps · (231) 668-6999 · stonepathwm.com
ComplianceMarketing & brand
44
CRUSONIA WEALTH ADVISORS LLC notice-filed in NE, NY. IAPD ↗
$0 RAUM · 2 reps · 303-810-6366 · crusoniawealth.com
ComplianceMarketing & brand
42
R. F. LAFFERTY & CO., INC. notice-filed in KY. IAPD ↗
$90.9M RAUM · 6 reps · 212-293-9090 · rflafferty.com
ComplianceMarketing & brand
42
CONTINENTAL INVESTORS SERVICES, INC. notice-filed in CO. IAPD ↗
$152.1M RAUM · 9 reps · 360-423-5110 · cisinvest.com
ComplianceMarketing & brand
42
WESBANCO SECURITIES, INC. notice-filed in AZ. IAPD ↗
$132.7M RAUM · 23 reps · 8003683369
ComplianceMarketing & brand
42
MWA FINANCIAL SERVICES, INC. notice-filed in MA. IAPD ↗
$216.1M RAUM · 115 reps · 309-558-3100
ComplianceMarketing & brand
42
DIVERSIFIED ASSET MANAGEMENT, INC. notice-filed in TX. IAPD ↗
$115.0M RAUM · 2 reps · 3034402906
ComplianceMarketing & brand
42
RADEMACHER FINANCIAL, INC. notice-filed in CA. IAPD ↗
$180.5M RAUM · 5 reps · 785-865-5308 · rademacherfinancial.com
ComplianceMarketing & brand
42
CAPITAL IDEAS notice-filed in ID. IAPD ↗
$213.7M RAUM · 5 reps · 214-750-4400 · cap-ideas.com
ComplianceMarketing & brand
42
KANE COMPANY WEALTH MANAGEMENT PC notice-filed in NE. IAPD ↗
$199.9M RAUM · 3 reps · 515-270-2727
ComplianceMarketing & brand
42
THE RENN WEALTH MANAGEMENT GROUP, INC. notice-filed in NC. IAPD ↗
$120.9M RAUM · 2 reps · 404-467-9882
ComplianceMarketing & brand
42
GORDON ASSET MANAGEMENT, LLC notice-filed in WI. IAPD ↗
$199.4M RAUM · 5 reps · 919-313-6650
ComplianceMarketing & brand
42
MACRO ADVISORS, INC. notice-filed in CT. IAPD ↗
$208.5M RAUM · 7 reps · 717-764-4566 · macroadv.com
ComplianceMarketing & brand
42
TACONIC ADVISORS notice-filed in TX. IAPD ↗
$179.3M RAUM · 4 reps · 845-486-5039
ComplianceMarketing & brand
42
BYRNE ASSET MANAGEMENT, LLC notice-filed in TX. IAPD ↗
$210.9M RAUM · 5 reps · 609-497-1776 · byrneasset.com
ComplianceMarketing & brand
42
MINERVA PLANNING GROUP notice-filed in NH. IAPD ↗
$160.6M RAUM · 2 reps · 404-816-6688
ComplianceMarketing & brand
42
KCD FINANCIAL, INC. notice-filed in KY. IAPD ↗
$175.1M RAUM · 25 reps · 920-347-3400 · kcdfinancial.com
ComplianceMarketing & brand
42
NORRIS FINANCIAL GROUP, LLC notice-filed in TN. IAPD ↗
$195.6M RAUM · 3 reps · 864-235-6408 · norrisfinancialgroup.com
ComplianceMarketing & brand
42
ANSON ANALYTICS notice-filed in LA. IAPD ↗
$203.7M RAUM · 3 reps · 678-216-0795
ComplianceMarketing & brand
42
MERIDIAN CAPITAL MANAGEMENT GROUP, INC. notice-filed in FL. IAPD ↗
$166.3M RAUM · 3 reps · 330-899-0135 · mercapgroup.com
ComplianceMarketing & brand
42
DORMAN FINANCIAL MANAGEMENT, P.A. notice-filed in SC. IAPD ↗
$145.1M RAUM · 2 reps · 407-774-6815
ComplianceMarketing & brand
42
ANDREW HILL INVESTMENT ADVISORS, INC. notice-filed in NH. IAPD ↗
$172.7M RAUM · 2 reps · 239-450-3999
ComplianceMarketing & brand
42
TRUEMAN BROWN notice-filed in WI. IAPD ↗
$149.8M RAUM · 1 reps · 847-228-1968
ComplianceMarketing & brand
42
GLOBAL VALUE INVESTMENT CORPORATION notice-filed in WA. IAPD ↗
$171.1M RAUM · 6 reps · 262-478-0640
ComplianceMarketing & brand
42
FLAVIN FINANCIAL SERVICES, INC. notice-filed in NH. IAPD ↗
$129.8M RAUM · 3 reps · (321) 725-4700
ComplianceMarketing & brand
42
TONY WALKER FINANCIAL notice-filed in NC. IAPD ↗
$239.3M RAUM · 4 reps · 270-843-9380 · 3personalities.com
ComplianceMarketing & brand
42
ARCHER INVESTMENT MANAGEMENT notice-filed in ID. IAPD ↗
$229.6M RAUM · 2 reps · 800-840-5946
ComplianceMarketing & brand
42
ASSET STRATEGY RETIREMENT PLAN CONSULTANTS, LLC notice-filed in NH. IAPD ↗
$75.8M RAUM · 4 reps · (717) 602-1100 · asrpc.com
ComplianceMarketing & brand
42
NEWBURY CAPITAL MANAGEMENT, LLC notice-filed in WA. IAPD ↗
$143.0M RAUM · 4 reps · 626-796-8898 · newburyllc.com
ComplianceMarketing & brand
42
RGA INVESTMENT ADVISORS, LLC notice-filed in CO. IAPD ↗
$90.8M RAUM · 3 reps · 516-665-1945 · rgaia.com
ComplianceMarketing & brand
42
INTEGRITY WEALTH MANAGEMENT, INC. notice-filed in AZ. IAPD ↗
$116.9M RAUM · 2 reps · 509-315-9532 · integritywm.net
ComplianceMarketing & brand
42
GUIDESTREAM FINANCIAL, INC. notice-filed in WI. IAPD ↗
$202.9M RAUM · 5 reps · (517) 750-2727
ComplianceMarketing & brand
42
CERITY PARTNERS OCIO LLC notice-filed in NY. IAPD ↗
$0 RAUM · 0 reps · 212-850-4260 · ceritypartners.com
ComplianceMarketing & brand
42
BANKPLUS WEALTH ADVISORS notice-filed in FL. IAPD ↗
$150.5M RAUM · 12 reps · 601-607-4290 · bankplus.net
ComplianceMarketing & brand
42
DELPHINUS FINANCIAL ADVISORS, LLC notice-filed in NH. IAPD ↗
$110.9M RAUM · 2 reps · 781-780-2439 · delphinusfa.com
ComplianceMarketing & brand
42
FRANGO FINANCIAL notice-filed in SC. IAPD ↗
$111.5M RAUM · 2 reps · 202-244-4460 · frangofinancial.com
ComplianceMarketing & brand
42
KIKER WEALTH MANAGEMENT, LLC notice-filed in CA. IAPD ↗
$161.5M RAUM · 3 reps · 706-253-7285
ComplianceMarketing & brand
42
STONEBRIDGE FINANCIAL PLANNING GROUP, LLC notice-filed in NC. IAPD ↗
$219.8M RAUM · 8 reps · 407-695-7100 · stonebridgefpgroup.com
ComplianceMarketing & brand
42
AGATE PASS INVESTMENT, LLC notice-filed in CA. IAPD ↗
$227.3M RAUM · 3 reps · 206-842-5770 · agatepassinvestment.com
ComplianceMarketing & brand
42
GOLDEN BAY ADVISORS LLC notice-filed in FL. IAPD ↗
$140.1M RAUM · 1 reps · 914-215-0194 · goldenbayadvisors.com
ComplianceMarketing & brand
42
CONCEPTUAL FINANCIAL ADVISORS, LLC notice-filed in FL. IAPD ↗
$138.3M RAUM · 3 reps · 920-731-9500 · ontrackadvisor.com
ComplianceMarketing & brand
42
HANSEN & ASSOCIATES FINANCIAL GROUP INC. notice-filed in CO. IAPD ↗
$204.5M RAUM · 2 reps · (916) 706-1234
ComplianceMarketing & brand
42
GRUPP FINANCIAL LLC notice-filed in NV. IAPD ↗
$81.7M RAUM · 3 reps · 1.307.200.6579 · gruppfinancial.com
ComplianceMarketing & brand
42
WEALTH TEAMS ALLIANCE notice-filed in MN. IAPD ↗
$199.3M RAUM · 10 reps · 877-282-4768 · wealth-teams.com
ComplianceMarketing & brand
42
SIMS INVESTMENT MANAGEMENT LLC notice-filed in PA. IAPD ↗
$193.7M RAUM · 4 reps · 513-278-7467 · simsinvestment.com
ComplianceMarketing & brand
42
HAHN FINANCIAL GROUP notice-filed in AK. IAPD ↗
$108.9M RAUM · 7 reps · 605-275-3600 · hahnfinancialgroup.com
ComplianceMarketing & brand
42
ROCKET DOLLAR ADVISOR, INC. notice-filed in NV. IAPD ↗
$0 RAUM · 0 reps · 855-762-5383 · rocketdollar.com
ComplianceMarketing & brand
42
F5 FINANCIAL PLANNING, L.L.C. notice-filed in SC. IAPD ↗
$127.6M RAUM · 3 reps · 309-370-5577
ComplianceMarketing & brand
42
TACTIVEST, LLC notice-filed in WA. IAPD ↗
$122.3M RAUM · 2 reps · 415-752-7311
ComplianceMarketing & brand
42
ECON WEALTH MANAGEMENT notice-filed in FL. IAPD ↗
$167.7M RAUM · 4 reps · 717-545-5870 · econwealth.com
ComplianceMarketing & brand
42
PARROTT WEALTH MANAGEMENT, LLC notice-filed in CO. IAPD ↗
$184.5M RAUM · 2 reps · 719-440-2662 · parrottwealth.com
ComplianceMarketing & brand
42
PROTA FINANCIAL notice-filed in WA. IAPD ↗
$182.0M RAUM · 12 reps · 713-568-8171
ComplianceMarketing & brand
42
ROLEK RETIREMENT PLANNING notice-filed in TX. IAPD ↗
$108.1M RAUM · 1 reps · (267) 427-5667
ComplianceMarketing & brand
42
SHOREPATH CAPITAL MANAGEMENT LLC notice-filed in UT. IAPD ↗
$124.0M RAUM · 1 reps · 312-357-4080 · shorepathcap.com
ComplianceMarketing & brand
42
CASTLE ISLAND WEALTH notice-filed in TX. IAPD ↗
$117.4M RAUM · 1 reps · 561-208-3883 · seahuntercapital.com
ComplianceMarketing & brand
42
FSAM LLC notice-filed in FL. IAPD ↗
$72.6M RAUM · 8 reps · 770-777-9373
ComplianceMarketing & brand
42
SIEBERT ADVISORNXT, LLC. notice-filed in OR. IAPD ↗
$212.6M RAUM · 24 reps · 800-872-0444 · siebertnxt.com
ComplianceMarketing & brand
42
GO WEALTH MANAGEMENT notice-filed in AZ. IAPD ↗
$121.8M RAUM · 7 reps · 541-338-7631 · gowealthgroup.com
ComplianceMarketing & brand
42
VILLAGE WEALTH ADVISORS notice-filed in NJ. IAPD ↗
$170.5M RAUM · 3 reps · 805-603-4960 · villagewealthadvisors.com
ComplianceMarketing & brand
42
LYTLE INVESTMENTS notice-filed in NC. IAPD ↗
$67.4M RAUM · 6 reps · 716-773-6626 · lytleinvestments.com
ComplianceMarketing & brand
42
LPF ADVISORS, LLC notice-filed in MA. IAPD ↗
$232.1M RAUM · 5 reps · (941) 907-0101 · waypointadvisors.com
ComplianceMarketing & brand
42
SUCCESS WEALTH MANAGEMENT LLC notice-filed in LA. IAPD ↗
$40.1M RAUM · 12 reps · 724-934-8128
ComplianceMarketing & brand
42
GOLDEN WEALTH MANAGEMENT notice-filed in NJ. IAPD ↗
$126.5M RAUM · 3 reps · (570) 208-7050
ComplianceMarketing & brand
42
ZENITH WEALTH PARTNERS notice-filed in NC. IAPD ↗
$81.6M RAUM · 7 reps · 248-568-4626
ComplianceMarketing & brand
42
FIRST GROWTH CAPITAL LLC notice-filed in PA. IAPD ↗
$181.1M RAUM · 2 reps · 202-656-9723
ComplianceMarketing & brand
42
GREAT POINT ADVISORS, LLC notice-filed in PA. IAPD ↗
$14.6M RAUM · 20 reps · 312-356-4475
ComplianceMarketing & brand
42
CARDEA CAPITAL ADVISORS, LLC notice-filed in AZ. IAPD ↗
$79.3M RAUM · 9 reps · 770-977-7779
ComplianceMarketing & brand
42
PARKVIEW ASSET MANAGEMENT, INC. notice-filed in FL. IAPD ↗
$126.8M RAUM · 3 reps · (708) 481-4000 · wpn360.com
ComplianceMarketing & brand
42
ADVISOR SHARE WEALTH MANAGEMENT notice-filed in GA. IAPD ↗
$48.0M RAUM · 22 reps · 866-232-3251 · aswealthmanagement.com
ComplianceMarketing & brand
42
PTM WEALTH MANAGEMENT, LLC notice-filed in FL. IAPD ↗
$124.1M RAUM · 2 reps · 267-317-1515 · ptmwealth.com
ComplianceMarketing & brand
42
HF ADVISORY GROUP, LLC notice-filed in NM. IAPD ↗
$189.1M RAUM · 3 reps · (410)-571-1415
ComplianceMarketing & brand
42
VISTA FINANCE, LLC notice-filed in CO. IAPD ↗
$209.7M RAUM · 4 reps · 314-518-5240
ComplianceMarketing & brand
42
JOURNEY RETIREMENT PLANNING AND INVESTMENT MANAGEMENT, LLC notice-filed in MT. IAPD ↗
$127.3M RAUM · 3 reps · 208-552-9169
ComplianceMarketing & brand
42
PIN WEALTH notice-filed in FL. IAPD ↗
$83.5M RAUM · 2 reps · 781-239-1187
ComplianceMarketing & brand
42
NFWM notice-filed in WA. IAPD ↗
$105.4M RAUM · 1 reps · 844-954-1789
ComplianceMarketing & brand
42
SK ADVISOR NETWORK, LLC notice-filed in WA. IAPD ↗
$105.4M RAUM · 2 reps · (888) 855-4822
ComplianceMarketing & brand
42
SGROI WEALTH notice-filed in NH. IAPD ↗
$91.9M RAUM · 3 reps · 518-477-3626 · sgroiwealth.com
ComplianceMarketing & brand
42
COBBLESTONE ASSET MANAGEMENT notice-filed in CA. IAPD ↗
$146.3M RAUM · 2 reps · 804-272-8272
ComplianceMarketing & brand
42
CROSSOVER CAPITAL notice-filed in TX. IAPD ↗
$122.3M RAUM · 2 reps · 215-396-5580 · crosscapadvisors.com
ComplianceMarketing & brand
42
BBVA GLOBAL WEALTH ADVISORS, INC. notice-filed in TX. IAPD ↗
$0 RAUM · 8 reps · 434-242-0068 · bbvaglobalwealthadvisors.com
ComplianceMarketing & brand
42
44 NORTH CAPITAL, LLC notice-filed in MA. IAPD ↗
$104.5M RAUM · 2 reps · 971-371-3450 · 44ncap.com
ComplianceMarketing & brand
42
RASP WEALTH SOLUTIONS, LLC notice-filed in CO. IAPD ↗
$99.2M RAUM · 2 reps · 463-248-6395 · raspwealthsolutions.com
ComplianceMarketing & brand
42
EDLY ADVISORS notice-filed in MT. IAPD ↗
$39.0M RAUM · 3 reps · (914) 775-8299 · edly.co
ComplianceMarketing & brand
42
POMONA WEALTH MANAGEMENT, LLC notice-filed in TX. IAPD ↗
$105.4M RAUM · 1 reps · 509-643-6028 · pomonawm.com
ComplianceMarketing & brand
42
BROADSTREET FAMILY OFFICE LLC notice-filed in SC. IAPD ↗
$0 RAUM · 1 reps · (914) 427-8036 · broadstreetglobaladvisors.com
ComplianceMarketing & brand
42
IMPACT CAPITAL PARTNERS LLC notice-filed in TN. IAPD ↗
$0 RAUM · 2 reps · 303-886-6186 · impactcapitalpartners.com
ComplianceMarketing & brand
42
ADVANTAGE RETIREMENT GROUP notice-filed in NH. IAPD ↗
$0 RAUM · 2 reps · 239-561-1155 · advantageretirementgroup.com
ComplianceMarketing & brand
42
SALUS FINANCIAL ADVISORS notice-filed in AZ. IAPD ↗
$0 RAUM · 3 reps · 866-999-1655 · salusfinancialadvisors.com
ComplianceMarketing & brand
41
CAPITAL RESEARCH & CONSULTING LLC notice-filed in AZ, NC, OH. IAPD ↗institutional
$6.34B RAUM · 2 reps · 626-844-1440 · capitalresearchandconsulting.com
ComplianceMarketing & brand
37
ROBINSON CAPITAL MANAGEMENT, LLC notice-filed in WI. IAPD ↗institutional
$1.23B RAUM · 7 reps · 313-821-7000
ComplianceMarketing & brand
35
NEWFRONT RETIREMENT SERVICES, INC. notice-filed in MA. IAPD ↗institutional
$366.8M RAUM · 20 reps · 415-754-3635 · newfront.com
ComplianceMarketing & brand
34
MARINER WEALTH notice-filed in CO, NH. IAPD ↗institutional
$0 RAUM · 37 reps · 913-904-5700
ComplianceMarketing & brand
32
BOLTON INVESTMENT notice-filed in PA. IAPD ↗institutional
$61.0M RAUM · 7 reps · 410 547-0500 · boltonusa.com
ComplianceMarketing & brand
32
INTECH notice-filed in TX. IAPD ↗fund
$8.98B RAUM · 16 reps · (561) 775-1100
ComplianceMarketing & brand
32
GREYLOCK PEAK INVESTMENTS, LLC notice-filed in NM. IAPD ↗institutional
$0 RAUM · 1 reps · 646-822-1269 · greylockpeak.com
ComplianceMarketing & brand
32
MONARCH PLAN ADVISORS notice-filed in TX. IAPD ↗institutional
$0 RAUM · 6 reps · (818) 444-0376 · monarchcorpadvisors.com
ComplianceMarketing & brand
32
P4G CAPITAL MANAGEMENT, LLC notice-filed in CO, NV. IAPD ↗fund
$397.7M RAUM · 7 reps · (415) 510-2160
ComplianceMarketing & brand
30
NEWPORT INVESTMENT MANAGEMENT, LLC notice-filed in IN. IAPD ↗fund
$473.5M RAUM · 15 reps · 312-724-7031
ComplianceMarketing & brand
30
S2 FUND MANAGER, LLC notice-filed in CT. IAPD ↗fund
$312.2M RAUM · 14 reps · 214-377-2977 · s2cp.com
ComplianceMarketing & brand
27
DELTA CAPITAL PARTNERS MANAGEMENT LLC notice-filed in MA. IAPD ↗fund
$85.0M RAUM · 5 reps · 312-414-0859
ComplianceMarketing & brand
14
ALEXANDER BEARD (USA), INC. notice-filed in LA, NH. IAPD ↗foreign
$43.6M RAUM · 2 reps · 650-684-0450 · abg-usa.net
ComplianceMarketing & brand
14
GFM ASSET MANAGEMENT LLC notice-filed in CA, NY. IAPD ↗foreign
$28.0M RAUM · 3 reps · 775-237-8852 · gfmasset.com
ComplianceMarketing & brand
new registration — 165 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
98
LAFISE SECURITIES CORPORATION (MIAMI, FL) is newly SEC-registered with $736.0M RAUM and 1 advisory reps. IAPD ↗
$736.0M RAUM · 1 reps · 305-374-6001
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
LETSON INVESTMENT MANAGEMENT, INC. (location n/a) is newly SEC-registered with $261.5M RAUM and 2 advisory reps. IAPD ↗
$261.5M RAUM · 2 reps · 404-237-7794 · letsoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FOUNDER FAMILY FINANCIAL, LLC (location n/a) is newly SEC-registered with $270.8M RAUM and 1 advisory reps. IAPD ↗
$270.8M RAUM · 1 reps · 843-621-0435 · f3financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CLEARWELL ADVISORS, LLC (TAMPA, FL) is newly SEC-registered with $362.1M RAUM and 6 advisory reps. IAPD ↗
$362.1M RAUM · 6 reps · (813) 435-5600 · clearwellgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
FREEDOM FIDUCIARIES LLC (BOISE, ID) is newly SEC-registered with $263.8M RAUM and 2 advisory reps. IAPD ↗
$263.8M RAUM · 2 reps · 208-900-4331 · freedomfiduciaries.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SELBY LANE CAPITAL, LLC (MENLO PARK, CA) is newly SEC-registered with $276.4M RAUM and 5 advisory reps. IAPD ↗
$276.4M RAUM · 5 reps · 650-463-9511 · selbylane.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAROLD DANCE INVESTMENTS (LOGAN, UT) is newly SEC-registered with $119.0M RAUM and 7 advisory reps. IAPD ↗
$119.0M RAUM · 7 reps · 435-752-8484 · harolddance.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
U. S. BOSTON CAPITAL CORPORATION (LINCOLN, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 781-259-1144 · usboston.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NETWORTH ASSET MANAGEMENT, INC (location n/a) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
$105.8M RAUM · 3 reps · 352 268 2080 · nwam.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RDM CAPITAL ASSOCIATES INC (RED BANK, NJ) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
$107.1M RAUM · 3 reps · 732-576-1671
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COOK FINANCIAL DESIGNS, INC. (VIRGINIA BEACH, VA) is newly SEC-registered with $115.0M RAUM and 1 advisory reps. IAPD ↗
$115.0M RAUM · 1 reps · 757-498-4810
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITE & COMPANY FINANCIAL PLANNING, INC. (SUNNYSIDE, WA) is newly SEC-registered with $115.5M RAUM and 5 advisory reps. IAPD ↗
$115.5M RAUM · 5 reps · 509-837-6700 · whitecocpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CARMICHAEL CREEL INVESTMENTS (FRANKLIN, TN) is newly SEC-registered with $113.0M RAUM and 2 advisory reps. IAPD ↗
$113.0M RAUM · 2 reps · 615-595-5825
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE WEALTH ADVANTAGE GROUP, INC. (COLUMBUS, OH) is newly SEC-registered with $125.5M RAUM and 2 advisory reps. IAPD ↗
$125.5M RAUM · 2 reps · 614-459-9000 · wealthadvantagegroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MEYER GATES FINANCIAL ADVISORS, INC (WEST CHESTER, OH) is newly SEC-registered with $142.0M RAUM and 6 advisory reps. IAPD ↗
$142.0M RAUM · 6 reps · 937-220-4915 · meyergates.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL DISCOVERY (ATLANTA, GA) is newly SEC-registered with $100.6M RAUM and 3 advisory reps. IAPD ↗
$100.6M RAUM · 3 reps · 404-816-0160 · financialdiscovery.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MICHAEL J. PORRO & CO. FINANCIAL ADVISORS, LLC (OLD TAPPAN, NJ) is newly SEC-registered with $119.6M RAUM and 2 advisory reps. IAPD ↗
$119.6M RAUM · 2 reps · 201-768-0218 · porrofinancialadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SANDERS & SCOTT, CHFC (WATKINSVILLE, GA) is newly SEC-registered with $119.1M RAUM and 2 advisory reps. IAPD ↗
$119.1M RAUM · 2 reps · 770-760-8933 · sandersandscott.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALISADES INVESTMENT PARTNERS, LLC (EL SEGUNDO, CA) is newly SEC-registered with $117.5M RAUM and 1 advisory reps. IAPD ↗
$117.5M RAUM · 1 reps · 310-656-6300 · palpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PIVOT POINT ADVISORS, LLC (BELLAIRE, TX) is newly SEC-registered with $120.6M RAUM and 2 advisory reps. IAPD ↗
$120.6M RAUM · 2 reps · 713-715-7000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE PRACTICAL PLANNER (GROTON, MA) is newly SEC-registered with $108.9M RAUM and 2 advisory reps. IAPD ↗
$108.9M RAUM · 2 reps · 978-448-3403 · practicalplanner.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLARION ADVISORS INC. (AUBURN, CA) is newly SEC-registered with $105.5M RAUM and 2 advisory reps. IAPD ↗
$105.5M RAUM · 2 reps · 530-889-0200 · clarionadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAWKINS INVESTMENT COUNSEL, LLC (location n/a) is newly SEC-registered with $124.3M RAUM and 1 advisory reps. IAPD ↗
$124.3M RAUM · 1 reps · 360.536.2181 · hawkinscounsel.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDEPENDENT PROGRESSIVE ADVISORS, LLC (PORTLAND, OR) is newly SEC-registered with $104.3M RAUM and 2 advisory reps. IAPD ↗
$104.3M RAUM · 2 reps · 503-536-7351 · ipawealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORNERSTONE FINANCIAL MANAGEMENT LLC (BURLINGTON, MA) is newly SEC-registered with $113.9M RAUM and 3 advisory reps. IAPD ↗
$113.9M RAUM · 3 reps · 800-527-1238 · cornerstonefm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROOKWOOD WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $126.3M RAUM and 1 advisory reps. IAPD ↗
$126.3M RAUM · 1 reps · 513-871-7815
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORNERSTONE WEALTH PARTNERS, LLC (OKEMOS, MI) is newly SEC-registered with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 517-381-3450 · cornerstonewealthpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HIGH POINT WEALTH MANAGEMENT, LLC (CHESTER, NJ) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
$127.7M RAUM · 2 reps · 908-975-3367 · highpointwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLTON WEALTH MANAGEMENT (ARCADIA, CA) is newly SEC-registered with $107.2M RAUM and 2 advisory reps. IAPD ↗
$107.2M RAUM · 2 reps · 626-726-4203 · coltonwealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLLAR CAPITAL MANAGEMENT, LLC (APPLETON, WI) is newly SEC-registered with $113.5M RAUM and 2 advisory reps. IAPD ↗
$113.5M RAUM · 2 reps · 920-830-1556 · collarcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANIER FINANCIAL GROUP LLC (ATHENS, GA) is newly SEC-registered with $127.8M RAUM and 5 advisory reps. IAPD ↗
$127.8M RAUM · 5 reps · 404-882-2628 · lanierfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BALANCED ASSET STRATEGIES, LTD. (LA GRANGE, IL) is newly SEC-registered with $121.7M RAUM and 2 advisory reps. IAPD ↗
$121.7M RAUM · 2 reps · 312-759-5172 · balancedassetstrategies.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MBIA CAPITAL ADVISORS (CINCINNATI, OH) is newly SEC-registered with $135.2M RAUM and 3 advisory reps. IAPD ↗
$135.2M RAUM · 3 reps · 513-324-2201
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MOUNTAIN VIEW STRATEGIC WEALTH, LLC (HOPEWELL JUNCTION, NY) is newly SEC-registered with $42.6M RAUM and 1 advisory reps. IAPD ↗
$42.6M RAUM · 1 reps · 845-834-4343 · mvswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SANKALA GROUP LLC (location n/a) is newly SEC-registered with $105.2M RAUM and 3 advisory reps. IAPD ↗
$105.2M RAUM · 3 reps · 720-310-0605
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INKWELL CAPITAL (location n/a) is newly SEC-registered with $110.7M RAUM and 2 advisory reps. IAPD ↗
$110.7M RAUM · 2 reps · (305) 791-3195 · inkwellcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORTY THREE EIGHTEEN ADVISORS, LLC (BENTONVILLE, AR) is newly SEC-registered with $105.7M RAUM and 1 advisory reps. IAPD ↗
$105.7M RAUM · 1 reps · 479-254-9400 · 4318advisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
T&T CAPITAL MANAGEMENT (location n/a) is newly SEC-registered with $131.4M RAUM and 4 advisory reps. IAPD ↗
$131.4M RAUM · 4 reps · 805-886-8140 · seekingalpha.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOUR TREE ISLAND ADVISORY LLC (PORTSMOUTH, NH) is newly SEC-registered with $122.5M RAUM and 1 advisory reps. IAPD ↗
$122.5M RAUM · 1 reps · 603-427-8053 · fourtreeislandadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEAPOD LANE CAPITAL LLC (BEDFORD HILLS, NY) is newly SEC-registered with $63.5M RAUM and 2 advisory reps. IAPD ↗
$63.5M RAUM · 2 reps · 212-265-8940
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRAKASH INVESTMENT ADVISORS LLC (location n/a) is newly SEC-registered with $120.8M RAUM and 1 advisory reps. IAPD ↗
$120.8M RAUM · 1 reps · (978) 273-9747
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUMMER CREEK WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $34.3M RAUM and 1 advisory reps. IAPD ↗
$34.3M RAUM · 1 reps · 518-867-5620
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TIMMONS WEALTH MANAGEMENT (ATTLEBORO, MA) is newly SEC-registered with $114.8M RAUM and 1 advisory reps. IAPD ↗
$114.8M RAUM · 1 reps · (774) 331-2172 · twealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANDMARK WEALTH ADVISORS, LLC (FARMINGTON, UT) is newly SEC-registered with $108.3M RAUM and 2 advisory reps. IAPD ↗
$108.3M RAUM · 2 reps · 801-295-8700 · landmarkwa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OAKTREE ADVISORS LLC (COOPERSBURG, PA) is newly SEC-registered with $116.2M RAUM and 3 advisory reps. IAPD ↗
$116.2M RAUM · 3 reps · (610) 882-5670
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MAGELLAN FINANCIAL SOLUTIONS LLC (WARWICK, NY) is newly SEC-registered with $26.7M RAUM and 1 advisory reps. IAPD ↗
$26.7M RAUM · 1 reps · 845-986-9717 · magellanfinancialsolutions.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ERISA ADVISERS, INC. (BRENTWOOD, TN) is newly SEC-registered with $145.6M RAUM and 1 advisory reps. IAPD ↗
$145.6M RAUM · 1 reps · (855) 255-2391 · erisaadvisers.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROWN CAPITAL MANAGEMENT, LLC (LITTLE ROCK, AR) is newly SEC-registered with $131.2M RAUM and 3 advisory reps. IAPD ↗
$131.2M RAUM · 3 reps · 501-503-0001 · brown-cm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PERISSOS PRIVATE WEALTH MANAGEMENT (BETHANY, OK) is newly SEC-registered with $141.7M RAUM and 3 advisory reps. IAPD ↗
$141.7M RAUM · 3 reps · 405-212-9690
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EASTGATE CAPITAL ADVISORS LLC (WINNETKA, IL) is newly SEC-registered with $132.5M RAUM and 3 advisory reps. IAPD ↗
$132.5M RAUM · 3 reps · 312-690-4900 · eastgateca.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FLOYD FINANCIAL GROUP LLC (SPRINGFIELD, MO) is newly SEC-registered with $118.3M RAUM and 2 advisory reps. IAPD ↗
$118.3M RAUM · 2 reps · 417-889-7233
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GUIDE WEALTH MANAGEMENT (location n/a) is newly SEC-registered with $27.2M RAUM and 1 advisory reps. IAPD ↗
$27.2M RAUM · 1 reps · 646-450-1001 · guidewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLARITY FINANCIAL PLANNERS (CLAYTON, MO) is newly SEC-registered with $111.2M RAUM and 1 advisory reps. IAPD ↗
$111.2M RAUM · 1 reps · 314-548-2260 · clarityfinancialplanners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COOMBS WEALTH ADVISORY, LLC (BLUE BELL, PA) is newly SEC-registered with $145.3M RAUM and 2 advisory reps. IAPD ↗
$145.3M RAUM · 2 reps · (610) 825-3848
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BOUNTIFUL INVESTMENT MANAGEMENT LLC (RUMFORD, RI) is newly SEC-registered with $106.1M RAUM and 3 advisory reps. IAPD ↗
$106.1M RAUM · 3 reps · 401-305-2626 · bountifulim.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SILICON PRIVATE WEALTH, LLC (location n/a) is newly SEC-registered with $117.3M RAUM and 4 advisory reps. IAPD ↗
$117.3M RAUM · 4 reps · 408-645-6790 · siliconprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RETIREWISE TAX AND WEALTH ADVISORS, INC. (TOPEKA, KS) is newly SEC-registered with $115.3M RAUM and 5 advisory reps. IAPD ↗
$115.3M RAUM · 5 reps · 785-228-1234
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAFE HARBOR WEALTH ADVISORS, LLC (DUBLIN, OH) is newly SEC-registered with $101.6M RAUM and 3 advisory reps. IAPD ↗
$101.6M RAUM · 3 reps · 614-760-0670 · safeharboroh.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DAVIMAN FINANCIAL, LLC (location n/a) is newly SEC-registered with $103.6M RAUM and 2 advisory reps. IAPD ↗
$103.6M RAUM · 2 reps · 317-207-0175
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STRATEGIC WEALTH ADVISORS GROUP, INC. (UTICA, MI) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
$101.1M RAUM · 2 reps · 586-203-2275 · swaganalysis.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ANTONELLI FINANCIAL ADVISORS, LLC (GROSSE POINTE, MI) is newly SEC-registered with $139.3M RAUM and 3 advisory reps. IAPD ↗
$139.3M RAUM · 3 reps · 313-290-2602 · antonelliadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RING MOUNTAIN CAPITAL, LLC (TIBURON, CA) is newly SEC-registered with $138.2M RAUM and 1 advisory reps. IAPD ↗
$138.2M RAUM · 1 reps · 415-350-1355 · ringmountaincapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BOERUM HILL FINANCIAL ADVISORS LLC (BROOKLYN, NY) is newly SEC-registered with $28.3M RAUM and 1 advisory reps. IAPD ↗
$28.3M RAUM · 1 reps · (516) 695-1610
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DAVIDSON KAHN CAPITAL MANAGEMENT, LLC (SHERMAN OAKS, CA) is newly SEC-registered with $103.3M RAUM and 3 advisory reps. IAPD ↗
$103.3M RAUM · 3 reps · (310) 928-8192 · davidsonkahn.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TWIN GRYPHON ADVISORS LLC (MARSHFIELD, MA) is newly SEC-registered with $107.9M RAUM and 1 advisory reps. IAPD ↗
$107.9M RAUM · 1 reps · (781) 319-0098
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VAN CLEMENS WEALTH MANAGEMENT, LLC (MINNEAPOLIS, MN) is newly SEC-registered with $105.9M RAUM and 16 advisory reps. IAPD ↗
$105.9M RAUM · 16 reps · 612-758-9140 · vanclemens.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEATHERBACK INVESTMENTS LLC (LAKEWOOD, NJ) is newly SEC-registered with $139.7M RAUM and 2 advisory reps. IAPD ↗
$139.7M RAUM · 2 reps · (732) 242-4045 · leatherbackinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITE SAND WEALTH MANAGEMENT (LIBERTY, MO) is newly SEC-registered with $111.3M RAUM and 3 advisory reps. IAPD ↗
$111.3M RAUM · 3 reps · 816-429-6743 · whitesandwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VISTA CIMA WEALTH MANAGEMENT LLC (location n/a) is newly SEC-registered with $103.2M RAUM and 3 advisory reps. IAPD ↗
$103.2M RAUM · 3 reps · 623-377-8007 · vistacima.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEERLESS WEALTH (COLUMBUS, OH) is newly SEC-registered with $87.8M RAUM and 2 advisory reps. IAPD ↗
$87.8M RAUM · 2 reps · 614-824-2824
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SYNERGY INVESTMENT MANAGEMENT LLC (ALTAMONTE SPRINGS, FL) is newly SEC-registered with $101.6M RAUM and 5 advisory reps. IAPD ↗
$101.6M RAUM · 5 reps · 321-203-4458 · synergywealthalliance.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JK PRIVATE WEALTH, LLC (GLASTONBURY, CT) is newly SEC-registered with $107.3M RAUM and 1 advisory reps. IAPD ↗
$107.3M RAUM · 1 reps · 860-781-8341
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAYSIDE PARTNERS (JUPITER, FL) is newly SEC-registered with $162.5M RAUM and 4 advisory reps. IAPD ↗
$162.5M RAUM · 4 reps · 561-801-0970 · caysidepartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RIDGELINE WEALTH PLANNING LLC (CENTERVILLE, OH) is newly SEC-registered with $147.4M RAUM and 2 advisory reps. IAPD ↗
$147.4M RAUM · 2 reps · (937)-739-3744 · ridgelinewealthplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MANER WEALTH (LANSING, MI) is newly SEC-registered with $172.7M RAUM and 5 advisory reps. IAPD ↗
$172.7M RAUM · 5 reps · 517-323-7500 · manerwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRUMIX ADVISORS (BLOOMINGTON, MN) is newly SEC-registered with $112.3M RAUM and 2 advisory reps. IAPD ↗
$112.3M RAUM · 2 reps · 952-222-8286
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GRANTVEST FINANCIAL GROUP LLC (MATAWAN, NJ) is newly SEC-registered with $107.0M RAUM and 4 advisory reps. IAPD ↗
$107.0M RAUM · 4 reps · (732) 970-6659 · grantvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTENTIONAL RETIREMENT, LLC (OMAHA, NE) is newly SEC-registered with $110.0M RAUM and 1 advisory reps. IAPD ↗
$110.0M RAUM · 1 reps · 402-885-9090
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ELITE RETIREMENT GROUP (PLOVER, WI) is newly SEC-registered with $115.2M RAUM and 4 advisory reps. IAPD ↗
$115.2M RAUM · 4 reps · 715-341-8899
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TARGET ROCK WEALTH MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $44.5M RAUM and 2 advisory reps. IAPD ↗
$44.5M RAUM · 2 reps · 914-580-4530
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRIVATE FINANCIAL MANAGEMENT LLC (location n/a) is newly SEC-registered with $105.5M RAUM and 1 advisory reps. IAPD ↗
$105.5M RAUM · 1 reps · (925)254-3790 · privatefinancialmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILLER AVENUE ADVISORS LLC (MILL VALLEY, CA) is newly SEC-registered with $123.2M RAUM and 3 advisory reps. IAPD ↗
$123.2M RAUM · 3 reps · 415-888-8472 · milleraveadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PASSIVE MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $25.7M RAUM and 1 advisory reps. IAPD ↗
$25.7M RAUM · 1 reps · 2126181416
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VERUS FINANCIAL GROUP (HOUSTON, TX) is newly SEC-registered with $100.7M RAUM and 5 advisory reps. IAPD ↗
$100.7M RAUM · 5 reps · 713-909-3188
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIBERTY ONE WEALTH ADVISORS (PHILADELPHIA, PA) is newly SEC-registered with $104.7M RAUM and 4 advisory reps. IAPD ↗
$104.7M RAUM · 4 reps · 215-776-4918 · libertyonewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TWIN CITY PRIVATE WEALTH, LLC (WINSTON-SALEM, NC) is newly SEC-registered with $110.9M RAUM and 3 advisory reps. IAPD ↗
$110.9M RAUM · 3 reps · 336-930-9494 · twincitywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RPR FINANCIAL (OVERLAND PARK, KS) is newly SEC-registered with $118.5M RAUM and 3 advisory reps. IAPD ↗
$118.5M RAUM · 3 reps · 913-274-1452 · rprfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE WEALTH BOUTIQUE (CHESTER, NJ) is newly SEC-registered with $100.2M RAUM and 7 advisory reps. IAPD ↗
$100.2M RAUM · 7 reps · 732-752-9191 · tanisfingroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ENTREWEALTH (AUSTIN, TX) is newly SEC-registered with $174.7M RAUM and 4 advisory reps. IAPD ↗
$174.7M RAUM · 4 reps · 512-240-2244 · jeffsocha.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NUCLO WEALTH (HOUSTON, TX) is newly SEC-registered with $185.0M RAUM and 3 advisory reps. IAPD ↗
$185.0M RAUM · 3 reps · 281 857-6435 · nuclowealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ONESOURCE WEALTH MANAGEMENT (GRANITE BAY, CA) is newly SEC-registered with $100.0M RAUM and 2 advisory reps. IAPD ↗
$100.0M RAUM · 2 reps · 9169673500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VIABLE (location n/a) is newly SEC-registered with $103.8M RAUM and 2 advisory reps. IAPD ↗
$103.8M RAUM · 2 reps · 215-370-9067 · viaable.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROWN POINT WEALTH ADVISORS (HOOD RIVER, OR) is newly SEC-registered with $111.0M RAUM and 3 advisory reps. IAPD ↗
$111.0M RAUM · 3 reps · 541-386-2792
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ENTRUST INVESTMENT SERVICES, INC (CAMPBELL, CA) is newly SEC-registered with $91.6M RAUM and 2 advisory reps. IAPD ↗
$91.6M RAUM · 2 reps · 408-429-8444
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ATLAS INVESTMENT ADVISORS (ALPHARETTA, GA) is newly SEC-registered with $100.7M RAUM and 2 advisory reps. IAPD ↗
$100.7M RAUM · 2 reps · 770-336-6805
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MOMENT ADVISORS, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (551) 775-2340
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WYZE WEALTH ADVISORS, LLC (CANONSBURG, PA) is newly SEC-registered with $219.0M RAUM and 1 advisory reps. IAPD ↗
$219.0M RAUM · 1 reps · 724-747-6451
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CATALYST WEALTH MANAGEMENT LLC (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗
$0 RAUM · 15 reps · 832-657-7735 · catalystfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAIRVOY PRIVATE WEALTH, LLC (BIRMINGHAM, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · (205)578-6250
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FUTUREMONEY RIA (MANCHESTER, NH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 603-812-0108
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IWEALTH (WASECA, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 507-835-9111 · iwealthfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LINCOLN PARK CAPITAL LLC (OLEAN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 866-938-6540
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ACME JACK WEALTH MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 330-802-3036
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SYNTHETICFI LLC (SAN FRANCISCO, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 510-646-5424 · syntheticfi.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FUNDAMENTAL INVESTMENT SERVICES, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 1-917-495-9582
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINFARE ADVISORS (IRVINE, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 888-281-3273 · invest.finfare.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARC ADVISORY LLC (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · (510) 213-8085 · joinarc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VERIDIAN PRIVATE WEALTH MANAGEMENT (WARRENVILLE, IL) is newly SEC-registered with $100.0M RAUM and 1 advisory reps. IAPD ↗
$100.0M RAUM · 1 reps · 815-814-2763 · veridian-wealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MURPHY CLARKE WILLIAMS & STONE LLC (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (305) 954-1521 · mcwstone.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHCARE CAPITAL PARTNERS, LLC (WEST CHESTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 804.644.4711
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NAPLES WEALTH PLANNING (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps. IAPD ↗
$0 RAUM · 12 reps · 239-330-4183 · napleswealthplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KILTER GROUP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 646-438-6557 · kiltergroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BERLIN WEALTH GROUP ADVISORS (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · +52 442 848 6049 · berlin-wealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SMART STEPS WEALTH MANAGEMENT LLC (ST. LOUIS, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 314-394-2245 · smartstepswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OVERLOCK CAPITAL LLC (WASHINGTON, DC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 202-670-2574 · overlockcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BIP ALLIANCE, LLC (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 404-495-5230
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WELLTH ADVISORY SERVICES, LLC (SHOREWOOD, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 866-777-4015 · srpretire.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROXBURY FINANCIAL (MOUNT ARLINGTON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 973-928-7181 · roxburyfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FULL FINANCIAL INC. (location n/a) is newly SEC-registered (provisional 120-day approval) with $110.0M RAUM and 2 advisory reps. IAPD ↗
$110.0M RAUM · 2 reps · 7203723410 · fullfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RESHAPE, LLC (JERSEY CITY, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 646-626-7902
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUMMITAS INVESTMENT MANAGEMENT LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 254-275-5326
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MONOLITH HOLDINGS, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 347-276-8518
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ORG WEALTH PARTNERS (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 214-440-3909
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
OPTIMIZED INVESTMENT PARTNERS, LLC (location n/a) is newly SEC-registered with $140.0M RAUM and 2 advisory reps. IAPD ↗institutional
$140.0M RAUM · 2 reps · 858-335-1141 · optumizedip.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SPHINX INVESTMENTS LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 833-247-7833
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
HARVEST GROWTH CAPITAL (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 512-466-9118 · harvestgrowthcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ACRE CAPITAL ADVISORS, LLC (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 424-512-7320
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
5CLP ADVISOR (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 8434522963
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BAR POINT MANAGEMENT LIMITED PARTNERSHIP (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 617-466-7749
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CHURCHILL PCIF ADVISOR LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 66 advisory reps. IAPD ↗institutional
$0 RAUM · 66 reps · 212-478-9200 · churchillam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
EMBLEM GROUP, L.P. (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 781-208-2409 · emblem.investments
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
DURATION CAPITAL PARTNERS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 917-209-6781
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SHIKHARA INVESTMENT MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 646-809-5433 · shikhara.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MIDBRIDGE ADVISORS LP (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps. IAPD ↗institutional
$0 RAUM · 12 reps · 303-454-5453
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
S2G (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 50 advisory reps. IAPD ↗institutional
$0 RAUM · 50 reps · 773-720-8271
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PACIFIC COAST FIDUCIARY LLC (SHERMAN OAKS, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 818-986-1479 · pacificcoastfiduciary.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
INDAGO CAPITAL LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 917-763-6634
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
POLEN CAPITAL CLO MANAGEMENT, LLC (WALTHAM, MA) is newly SEC-registered with $0 RAUM and 24 advisory reps. IAPD ↗institutional
$0 RAUM · 24 reps · 781-283-8500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
5C ADVISOR (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 8434522963
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TREMBLANT CAPITAL GROUP (WEST PALM BEACH, FL) is newly SEC-registered with $0 RAUM and 9 advisory reps. IAPD ↗institutional
$0 RAUM · 9 reps · 212-735-7461 · tremblantcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TALLVINE PARTNERS MANAGEMENT LP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 786-475-3890
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PARADOXIOM CAPITAL (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 267-975-4728 · paradoxiomcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ORG PARTNERS ASSET MANAGEMENT (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 214-440-3909
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ADAR1 CAPITAL MANAGEMENT, LLC (AUSTIN, TX) is newly SEC-registered with $507.8M RAUM and 6 advisory reps. IAPD ↗fund
$507.8M RAUM · 6 reps · 512-254-3790 · adarone.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ELEQUIN CAPITAL, LP (NEW YORK, NY) is newly SEC-registered with $353.4M RAUM and 10 advisory reps. IAPD ↗fund
$353.4M RAUM · 10 reps · 929.226.2215 · elequincapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ALTERNATIVE CAPITAL FUND MANAGEMENT LLC (location n/a) is newly SEC-registered with $393.7M RAUM and 7 advisory reps. IAPD ↗fund
$393.7M RAUM · 7 reps · 212-204-3516 · altcapinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
CAYMUS EQUITY PARTNERS, LLC (ATLANTA, GA) is newly SEC-registered with $308.5M RAUM and 5 advisory reps. IAPD ↗fund
$308.5M RAUM · 5 reps · 404-995-8300 · caymusequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SETPOINT MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $299.9M RAUM and 5 advisory reps. IAPD ↗fund
$299.9M RAUM · 5 reps · 512-240-2513
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
COPPERPLATE CAPITAL LLC (MENLO PARK, CA) is newly SEC-registered with $158.0M RAUM and 2 advisory reps. IAPD ↗fund
$158.0M RAUM · 2 reps · (650) 275-4313 · copperplatecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CAPITAL UNITED, LLC (HILLSBORO, OR) is newly SEC-registered with $159.3M RAUM and 0 advisory reps. IAPD ↗fund
$159.3M RAUM · 0 reps · (424) 279-8308 · capunited.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CASTLEARK ALTERNATIVES, LLC (CHICAGO, IL) is newly SEC-registered with $9.2M RAUM and 5 advisory reps. IAPD ↗fund
$9.2M RAUM · 5 reps · 312 456 9682
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
REB CAPITAL MANAGEMENT, LLC (DALLAS, TX) is newly SEC-registered with $174.5M RAUM and 2 advisory reps. IAPD ↗fund
$174.5M RAUM · 2 reps · 214-572-8916 · rebcm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
FINDELL CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $191.0M RAUM and 2 advisory reps. IAPD ↗fund
$191.0M RAUM · 2 reps · (646) 907-5217 · fincap.us
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
MAC ALPHA CAPITAL MANAGEMENT, LP (TAMPA, FL) is newly SEC-registered with $107.4M RAUM and 4 advisory reps. IAPD ↗fund
$107.4M RAUM · 4 reps · 813-556-9704 · macalphacapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
IVY LANE CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered with $161.0M RAUM and 1 advisory reps. IAPD ↗fund
$161.0M RAUM · 1 reps · 305-791-3130
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SEMINAL FOOD AND NUTRITION INVESTMENTS, LLC (WAYNE, PA) is newly SEC-registered with $167.5M RAUM and 3 advisory reps. IAPD ↗fund
$167.5M RAUM · 3 reps · 267-778-4045 · semcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
1 ROUNDTABLE PARTNERS LLC (NEW YORK, NY) is newly SEC-registered with $28.5M RAUM and 10 advisory reps. IAPD ↗fund
$28.5M RAUM · 10 reps · (917)648-5689 · 1rtfund.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ARCHITECT EQUITY (EL SEGUNDO, CA) is newly SEC-registered with $102.2M RAUM and 17 advisory reps. IAPD ↗fund
$102.2M RAUM · 17 reps · 708-529-9665 · architectequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SLW MANAGEMENT COMPANY (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
$0 RAUM · 1 reps · 415-851-9870
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BEAR CREEK FUND ADVISORS LLC (DENVER, CO) is newly SEC-registered with $0 RAUM and 8 advisory reps. IAPD ↗fund
$0 RAUM · 8 reps · 303-459-7333
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CAPZONE MANAGEMENT LLC (NORWALK, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗fund
$0 RAUM · 2 reps · 646-580-3195
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
AGELLUS CAPITAL, LLC (CLAYTON, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗fund
$0 RAUM · 2 reps · 314-408-5505
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
AVENTINE CAPITAL MANAGEMENT LLC (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗fund
$0 RAUM · 1 reps · 312-548-8423
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
FLAMEBACK CAPITAL USA, INC (BENGALURU, KARNATAKA, India) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · +91 80 23321099 · us.flamebackcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
BENNBRIDGE LTD (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗foreign
$0 RAUM · 8 reps · +44 (0) 20 7872 7600 · bennbridge.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 79 Count of additional offices increased.
55
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS added office(s): 4 -> 7 additional locations. IAPD ↗
$15.32B RAUM · 80 reps · 216-621-1090 · clearsteadinvestmentforum.buzzsprout.com
Office IT & facilitiesCRMRecruiting & transitions
55
SMITH SHELLNUT WILSON added office(s): 0 -> 1 additional locations. IAPD ↗
$7.23B RAUM · 14 reps · 601-605-1776
Office IT & facilitiesCRMRecruiting & transitions
55
CLARFELD added office(s): 30 -> 31 additional locations. IAPD ↗
$9.52B RAUM · 160 reps · 914-846-0100
Office IT & facilitiesCRMRecruiting & transitions
55
MASLOW WEALTH ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$1.76B RAUM · 10 reps · 512-610-6930
Office IT & facilitiesCRMRecruiting & transitions
55
EMBREE FINANCIAL GROUP added office(s): 0 -> 4 additional locations. IAPD ↗
$2.04B RAUM · 13 reps · 312-527-5565
Office IT & facilitiesCRMRecruiting & transitions
55
SATHER FINANCIAL GROUP, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$1.73B RAUM · 7 reps · 361-570-1800 · satherfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
GRIMES & COMPANY, INC. added office(s): 16 -> 17 additional locations. IAPD ↗
$4.85B RAUM · 27 reps · 508-366-3883
Office IT & facilitiesCRMRecruiting & transitions
55
COOPER MCMANUS added office(s): 22 -> 24 additional locations. IAPD ↗
$1.58B RAUM · 38 reps · 800-516-5333 · morgansterlingpwm.com
Office IT & facilitiesCRMRecruiting & transitions
55
WAVERLY ADVISORS, LLC added office(s): 17 -> 18 additional locations. IAPD ↗
$11.38B RAUM · 92 reps · 205-871-3334 · waverly-advisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
THE RETIREMENT PLANNING GROUP, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$1.80B RAUM · 19 reps · 913-498-8898
Office IT & facilitiesCRMRecruiting & transitions
55
SRS CAPITAL ADVISORS, INC. added office(s): 4 -> 5 additional locations. IAPD ↗
$1.44B RAUM · 17 reps · 303-633-5900 · sealfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
NATIONWIDE INVESTMENT ADVISORS, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$14.33B RAUM · 348 reps · 614-435-8371
Office IT & facilitiesCRMRecruiting & transitions
55
BENEFIT FINANCIAL SERVICES GROUP added office(s): 4 -> 5 additional locations. IAPD ↗
$1.15B RAUM · 26 reps · 949-955-2552 · bfsg-az.com
Office IT & facilitiesCRMRecruiting & transitions
55
ROYAL FUND MANAGEMENT, LLC added office(s): 82 -> 83 additional locations. IAPD ↗
$1.36B RAUM · 83 reps · 352-750-1637 · 401kmaneuver.com
Office IT & facilitiesCRMRecruiting & transitions
55
PATHSTONE added office(s): 15 -> 18 additional locations. IAPD ↗
$48.26B RAUM · 287 reps · 201-944-7284
Office IT & facilitiesCRMRecruiting & transitions
55
CAPITAL INVESTMENT ADVISORS, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$5.26B RAUM · 46 reps · 404-531-0018
Office IT & facilitiesCRMRecruiting & transitions
55
THE COLONY GROUP, LLC added office(s): 25 -> 29 additional locations. IAPD ↗
$21.47B RAUM · 285 reps · 617-723-8200 · debrabrede.com
Office IT & facilitiesCRMRecruiting & transitions
55
APELLA WEALTH added office(s): 14 -> 15 additional locations. IAPD ↗
$3.35B RAUM · 40 reps · 860.785.2260
Office IT & facilitiesCRMRecruiting & transitions
55
KOVITZ INVESTMENT GROUP PARTNERS, LLC added office(s): 13 -> 15 additional locations. IAPD ↗
$11.29B RAUM · 74 reps · 312-334-7300
Office IT & facilitiesCRMRecruiting & transitions
55
THE FIDUCIARY ALLIANCE added office(s): 13 -> 14 additional locations. IAPD ↗
$1.23B RAUM · 28 reps · 864-385-7999
Office IT & facilitiesCRMRecruiting & transitions
55
EVERSOURCE WEALTH ADVISORS, LLC added office(s): 19 -> 21 additional locations. IAPD ↗
$2.69B RAUM · 40 reps · 205-982-5515 · generouswealthaz.com
Office IT & facilitiesCRMRecruiting & transitions
55
F/M INVESTMENTS LLC added office(s): 5 -> 8 additional locations. IAPD ↗
$12.85B RAUM · 35 reps · 202-839-4910 · fm-invest.com
Office IT & facilitiesCRMRecruiting & transitions
55
DAYMARK WEALTH PARTNERS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$2.50B RAUM · 16 reps · 513-838-2520
Office IT & facilitiesCRMRecruiting & transitions
55
CONCURRENT INVESTMENT ADVISORS, LLC added office(s): 29 -> 37 additional locations. IAPD ↗
$6.26B RAUM · 114 reps · (813) 575-2652 · concurrentny.com
Office IT & facilitiesCRMRecruiting & transitions
53
CAMARDA WEALTH ADVISORY GROUP added office(s): 5 -> 6 additional locations. IAPD ↗
$331.1M RAUM · 8 reps · 904-278-1177
Office IT & facilitiesCRMRecruiting & transitions
53
DEW WEALTH MANAGEMENT added office(s): 10 -> 11 additional locations. IAPD ↗
$293.9M RAUM · 21 reps · 480-614-9119
Office IT & facilitiesCRMRecruiting & transitions
53
BLUESKY WEALTH ADVISORS, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$730.2M RAUM · 9 reps · 252-633-0107 · blueskywa.com
Office IT & facilitiesCRMRecruiting & transitions
53
BROGAN FINANCIAL added office(s): 1 -> 2 additional locations. IAPD ↗
$444.2M RAUM · 5 reps · (865) 862-6800
Office IT & facilitiesCRMRecruiting & transitions
53
NEPSIS, INC. added office(s): 2 -> 3 additional locations. IAPD ↗
$350.8M RAUM · 15 reps · 952-746-2003 · investingforsuccessforyou.com
Office IT & facilitiesCRMRecruiting & transitions
53
SECURE ASSET MANAGEMENT, L.L.C. added office(s): 13 -> 14 additional locations. IAPD ↗
$599.6M RAUM · 43 reps · 248-414-1562 · re-transition.com
Office IT & facilitiesCRMRecruiting & transitions
53
PASI INVESTMENTS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$503.3M RAUM · 4 reps · 860-284-6880
Office IT & facilitiesCRMRecruiting & transitions
53
RIA ADVISORY GROUP, LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$398.9M RAUM · 21 reps · 515 965-8588 · dakotaadvisoryteam.com
Office IT & facilitiesCRMRecruiting & transitions
53
"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT" added office(s): 0 -> 1 additional locations. IAPD ↗
$274.1M RAUM · 5 reps · 888-500-9267 · pro-visionwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
SILVERLAKE WEALTH MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$485.7M RAUM · 7 reps · (802) 857-5083
Office IT & facilitiesCRMRecruiting & transitions
53
GREYTOWN ADVISORS added office(s): 1 -> 2 additional locations. IAPD ↗
$846.7M RAUM · 5 reps · 305-901-1600 · greytownadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
360 FINANCIAL added office(s): 1 -> 2 additional locations. IAPD ↗
$475.4M RAUM · 8 reps · 952-542-8900
Office IT & facilitiesCRMRecruiting & transitions
53
COOK WEALTH, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$475.0M RAUM · 10 reps · (919) 784-9100 · cookwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
FIDUCIARY FINANCIAL ADVISORS added office(s): 7 -> 8 additional locations. IAPD ↗
$555.4M RAUM · 22 reps · 6166223062
Office IT & facilitiesCRMRecruiting & transitions
53
BENTOAK CAPITAL added office(s): 2 -> 3 additional locations. IAPD ↗
$473.0M RAUM · 12 reps · 817-550-6750
Office IT & facilitiesCRMRecruiting & transitions
53
GRANITE BAY WEALTH MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$357.3M RAUM · 6 reps · 603-610-8881 · granitebaywm.com
Office IT & facilitiesCRMRecruiting & transitions
53
RIVERSEDGE ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$594.4M RAUM · 13 reps · 302-573-6864
Office IT & facilitiesCRMRecruiting & transitions
53
MADISON PARTNERS added office(s): 3 -> 4 additional locations. IAPD ↗
$559.0M RAUM · 9 reps · 608-210-1021
Office IT & facilitiesCRMRecruiting & transitions
53
FOCUSED ALPHA, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$306.8M RAUM · 3 reps · 303-529-5100
Office IT & facilitiesCRMRecruiting & transitions
53
PARK EDGE ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$460.2M RAUM · 5 reps · (216) 727-0144 · parkedgeadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
UNITED ADVISOR GROUP added office(s): 17 -> 18 additional locations. IAPD ↗
$578.8M RAUM · 28 reps · 888.242.4912 · uagria.com
Office IT & facilitiesCRMRecruiting & transitions
53
VICTORY FINANCIAL added office(s): 4 -> 5 additional locations. IAPD ↗
$288.8M RAUM · 12 reps · (512) 763-7671 · victoryfinancialgroup.com
Office IT & facilitiesCRMRecruiting & transitions
53
TAR RIVER WEALTH PLANNING, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$328.6M RAUM · 5 reps · 919-496-1511 · tarriverwealthplanning.com
Office IT & facilitiesCRMRecruiting & transitions
50
ST. BERNARD FINANCIAL SERVICES, INC. added office(s): 23 -> 30 additional locations. IAPD ↗
$128.7M RAUM · 30 reps · 479-967-1200 · turnerfinancial.net
Office IT & facilitiesCRMRecruiting & transitions
50
TACONIC ADVISORS added office(s): 2 -> 3 additional locations. IAPD ↗
$179.3M RAUM · 4 reps · 845-486-5039
Office IT & facilitiesCRMRecruiting & transitions
50
CONCEPTUAL FINANCIAL ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$138.3M RAUM · 3 reps · 920-731-9500 · ontrackadvisor.com
Office IT & facilitiesCRMRecruiting & transitions
50
ROCKET DOLLAR ADVISOR, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 0 reps · 855-762-5383 · rocketdollar.com
Office IT & facilitiesCRMRecruiting & transitions
50
TACTIVEST, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$122.3M RAUM · 2 reps · 415-752-7311
Office IT & facilitiesCRMRecruiting & transitions
50
PARROTT WEALTH MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$184.5M RAUM · 2 reps · 719-440-2662 · parrottwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
SPRING CAPITAL MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗
$157.0M RAUM · 2 reps · 806-322-5000 · springcapitalmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
50
PROTA FINANCIAL added office(s): 15 -> 18 additional locations. IAPD ↗
$182.0M RAUM · 12 reps · 713-568-8171
Office IT & facilitiesCRMRecruiting & transitions
50
SIEBERT ADVISORNXT, LLC. added office(s): 6 -> 8 additional locations. IAPD ↗
$212.6M RAUM · 24 reps · 800-872-0444 · siebertnxt.com
Office IT & facilitiesCRMRecruiting & transitions
50
GO WEALTH MANAGEMENT added office(s): 3 -> 5 additional locations. IAPD ↗
$121.8M RAUM · 7 reps · 541-338-7631 · gowealthgroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
PGI WEALTH MANAGEMENT added office(s): 3 -> 4 additional locations. IAPD ↗
$211.1M RAUM · 7 reps · (888) 493-9022
Office IT & facilitiesCRMRecruiting & transitions
50
PROXY WEALTH ADVISORS LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$132.8M RAUM · 11 reps · 646-289-5075 · proxywealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
FOURTH DIMENSION WEALTH, LLC added office(s): 1 -> 3 additional locations. IAPD ↗
$218.6M RAUM · 7 reps · 440-664-4045 · 4d-wealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
DISCIPLINE WEALTH SOLUTIONS, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$93.0M RAUM · 3 reps · 864-322-6046 · disciplinewealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
MORALIS TECHNOLOGIES, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$17.2M RAUM · 7 reps · 833-730-3700 · aquinaswealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
ONEASCENT FAMILY OFFICES added office(s): 0 -> 2 additional locations. IAPD ↗
$93.8M RAUM · 2 reps · (205) 313-9142
Office IT & facilitiesCRMRecruiting & transitions
50
FAMILY WEALTH PLANNING PARTNERS added office(s): 2 -> 3 additional locations. IAPD ↗
$217.8M RAUM · 4 reps · 502-200-5210
Office IT & facilitiesCRMRecruiting & transitions
50
BROADSTREET GLOBAL ADVISORS, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$102.7M RAUM · 4 reps · 914-427-8036 · broadstreetglobaladvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
NECTARINE added office(s): 1 -> 18 additional locations. IAPD ↗
$0 RAUM · 18 reps · (858) 779-0115 · hellonectarine.com
Office IT & facilitiesCRMRecruiting & transitions
50
STONEPATH WEALTH MANAGEMENT added office(s): 4 -> 5 additional locations. IAPD ↗
$178.0M RAUM · 7 reps · (231) 668-6999 · stonepathwm.com
Office IT & facilitiesCRMRecruiting & transitions
50
IMPACT CAPITAL PARTNERS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 2 reps · 303-886-6186 · impactcapitalpartners.com
Office IT & facilitiesCRMRecruiting & transitions
50
SALUS FINANCIAL ADVISORS added office(s): 0 -> 2 additional locations. IAPD ↗
$0 RAUM · 3 reps · 866-999-1655 · salusfinancialadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
45
PIPER SANDLER & CO. added office(s): 6 -> 7 additional locations. IAPD ↗institutional
$1.58B RAUM · 24 reps · 612-303-6000 · pipersandler.com
Office IT & facilitiesCRMRecruiting & transitions
40
BALYASNY ASSET MANAGEMENT L.P. added office(s): 25 -> 27 additional locations. IAPD ↗fund
$248.04B RAUM · 814 reps · 312-499-2999 · corbetscap.com
Office IT & facilitiesCRMRecruiting & transitions
40
KURV INVESTMENT MANAGEMENT LLC added office(s): 0 -> 3 additional locations. IAPD ↗institutional
$3.8M RAUM · 1 reps · 888-393-5878 · kurvinvest.com
Office IT & facilitiesCRMRecruiting & transitions
40
FREESTONE GROVE PARTNERS LP added office(s): 3 -> 5 additional locations. IAPD ↗fund
$5.99B RAUM · 53 reps · 4159074024 · fgrovep.com
Office IT & facilitiesCRMRecruiting & transitions
38
NEWPORT INVESTMENT MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$473.5M RAUM · 15 reps · 312-724-7031
Office IT & facilitiesCRMRecruiting & transitions
38
RDST CAPITAL LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$548.1M RAUM · 3 reps · 206.332.1227 · readestreet.com
Office IT & facilitiesCRMRecruiting & transitions
38
FIFTH PARTNERS MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$288.9M RAUM · 15 reps · 214-492-5863 · archenergypartners.com
Office IT & facilitiesCRMRecruiting & transitions
35
DELTA CAPITAL PARTNERS MANAGEMENT LLC added office(s): 3 -> 4 additional locations. IAPD ↗fund
$85.0M RAUM · 5 reps · 312-414-0859
Office IT & facilitiesCRMRecruiting & transitions
25
NICOLA WEALTH MANAGEMENT LTD. added office(s): 5 -> 6 additional locations. IAPD ↗foreign
$9.59B RAUM · 187 reps · 604-739-6450
Office IT & facilitiesCRMRecruiting & transitions
25
360 ONE PORTFOLIO MANAGERS LIMITED added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$3.30B RAUM · 2 reps · +91 22 4876 5600
Office IT & facilitiesCRMRecruiting & transitions
deregistered — 57 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
CETERA ADVISORS LLC (GREENWOOD VILLAGE, IL) left the SEC roster (was $21.99B RAUM, 997 reps). IAPD ↗
$21.99B RAUM · 997 reps · 310-257-7880 · cetera.com
Recruiting & transitionsM&A & valuation
65
UBS HEDGE FUND SOLUTIONS (STAMFORD, CT) left the SEC roster (was $39.19B RAUM, 73 reps). IAPD ↗
$39.19B RAUM · 73 reps · 203-719-1428 · ubs.com
Recruiting & transitionsM&A & valuation
65
STONECASTLE CASH MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $7.08B RAUM, 11 reps). IAPD ↗
$7.08B RAUM · 11 reps · 212-354-6500 · icm.stonecastle.com
Recruiting & transitionsM&A & valuation
63
RAINSBERGER WEALTH ADVISORS (COLORADO SPRINGS, CO) left the SEC roster (was $355.7M RAUM, 4 reps). IAPD ↗
$355.7M RAUM · 4 reps · 719-328-1944 · rwapartners.com
Recruiting & transitionsM&A & valuation
63
SPOUTING ROCK ASSET MANAGEMENT, LLC (BRYN MAWR, PA) left the SEC roster (was $455.0M RAUM, 13 reps). IAPD ↗
$455.0M RAUM · 13 reps · 610-788-2128 · spoutingrock.us
Recruiting & transitionsM&A & valuation
63
THE J. ARNOLD WEALTH MANAGEMENT CO., LLC (YOUNGSTOWN, OH) left the SEC roster (was $255.3M RAUM, 2 reps). IAPD ↗
$255.3M RAUM · 2 reps · 330-965-9890 · jarnoldwealth.com
Recruiting & transitionsM&A & valuation
60
FRIESS ASSOCIATES, LLC (GREENVILLE, DE) left the SEC roster (was $181.9M RAUM, 7 reps). IAPD ↗
$181.9M RAUM · 7 reps · 302-656-3017 · friess.com
Recruiting & transitionsM&A & valuation
60
ACCESS INVESTMENT ADVISORS INC (MANITOWOC, WI) left the SEC roster (was $217.9M RAUM, 3 reps). IAPD ↗
$217.9M RAUM · 3 reps · 920.683.9901 · access95.com
Recruiting & transitionsM&A & valuation
60
THIRD STREET ADVISORS, LLC (GENEVA, IL) left the SEC roster (was $95.6M RAUM, 4 reps). IAPD ↗
$95.6M RAUM · 4 reps · 630-513-8815
Recruiting & transitionsM&A & valuation
60
EXPERIENTIAL WEALTH, INC. (CABIN JOHN, MD) left the SEC roster (was $164.2M RAUM, 2 reps). IAPD ↗
$164.2M RAUM · 2 reps · 703-847-4380 · experientialwealth.com
Recruiting & transitionsM&A & valuation
60
PIERMONT WEALTH MANAGEMENT INC. (MELVILLE, NY) left the SEC roster (was $221.4M RAUM, 1 reps). IAPD ↗
$221.4M RAUM · 1 reps · 631-454-1585
Recruiting & transitionsM&A & valuation
60
LANDMARK CAPITAL INC. (OAK BROOK, IL) left the SEC roster (was $1.7M RAUM, 2 reps). IAPD ↗
$1.7M RAUM · 2 reps · 630-990-1800 · landmarkcpi.com
Recruiting & transitionsM&A & valuation
60
EISEN FINANCIAL SERVICES, INC. (location n/a) left the SEC roster (was $34.1M RAUM, 1 reps). IAPD ↗
$34.1M RAUM · 1 reps · 845-534-1075
Recruiting & transitionsM&A & valuation
60
TORSHEN CAPITAL MANAGEMENT, LLC (CHICAGO, IL) left the SEC roster (was $34.1M RAUM, 3 reps). IAPD ↗
$34.1M RAUM · 3 reps · 312-274-0200
Recruiting & transitionsM&A & valuation
60
ALEXANDER CAPITAL ADVISORS, LLC (NEW CANAAN, CT) left the SEC roster (was $75.5M RAUM, 1 reps). IAPD ↗
$75.5M RAUM · 1 reps · 203-966-7707 · alexcapadv.com
Recruiting & transitionsM&A & valuation
60
LIGHTHOUSE FINANCIAL (WILMINGTON, DE) left the SEC roster (was $100.6M RAUM, 3 reps). IAPD ↗
$100.6M RAUM · 3 reps · 302-351-5660 · mylighthousefinancial.com
Recruiting & transitionsM&A & valuation
60
HOLIFIELD FINANCIAL ADVISORY SERVICES/PROSPER FINANCIAL ADVISERS (SAINT PETERSBURG, FL) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 727-823-3801
Recruiting & transitionsM&A & valuation
60
JHH WEALTH, LLC (GREENVILLE, SC) left the SEC roster (was $41.0M RAUM, 4 reps). IAPD ↗
$41.0M RAUM · 4 reps · 704-332-2032
Recruiting & transitionsM&A & valuation
60
EJL ASSET MANAGEMENT, LLC (location n/a) left the SEC roster (was $36.2M RAUM, 1 reps). IAPD ↗
$36.2M RAUM · 1 reps · 240-505-1090
Recruiting & transitionsM&A & valuation
60
WAYPOINT ASSET MANAGEMENT LLC (BOCA RATON, FL) left the SEC roster (was $141.3M RAUM, 1 reps). IAPD ↗
$141.3M RAUM · 1 reps · 203-658-7001 · waypointassetmanagement.com
Recruiting & transitionsM&A & valuation
60
BREAN ASSET MANAGEMENT, LLC (SUMMIT, NJ) left the SEC roster (was $215.1M RAUM, 5 reps). IAPD ↗
$215.1M RAUM · 5 reps · 212-702-6677
Recruiting & transitionsM&A & valuation
60
TROTT BROOK FINANCIAL (ANOKA, MN) left the SEC roster (was $81.0M RAUM, 1 reps). IAPD ↗
$81.0M RAUM · 1 reps · (763) 213-1000
Recruiting & transitionsM&A & valuation
60
CAVAN CAPITAL MANAGEMENT LLC (NAPLES, FL) left the SEC roster (was $12.8M RAUM, 2 reps). IAPD ↗
$12.8M RAUM · 2 reps · 312-961-4820 · cavancapitalllc.com
Recruiting & transitionsM&A & valuation
60
WEALTH MANAGEMENT SOLUTIONS, LLC (NEWPORT BEACH, CA) left the SEC roster (was $37.2M RAUM, 1 reps). IAPD ↗
$37.2M RAUM · 1 reps · 949-475-9700 · wms-llc.com
Recruiting & transitionsM&A & valuation
60
FOLLOW RIA (SAN FRANCISCO, CA) left the SEC roster (was $31,345 RAUM, 1 reps). IAPD ↗
$31,345 RAUM · 1 reps · 707- 563-1896 · follow.co
Recruiting & transitionsM&A & valuation
60
ENVESTNET EMBEDDED ADVISORY, INC. (CHICAGO, IL) left the SEC roster (was $10,415 RAUM, 10 reps). IAPD ↗
$10,415 RAUM · 10 reps · 312-827-2800 · envestnet.com
Recruiting & transitionsM&A & valuation
60
THE FIRM INCORPORATED (location n/a) left the SEC roster (was $135.0M RAUM, 1 reps). IAPD ↗
$135.0M RAUM · 1 reps · 720-936-7300
Recruiting & transitionsM&A & valuation
60
COHERENCE FINANCE INC. (CHICAGO, IL) left the SEC roster (was $12,000 RAUM, 2 reps). IAPD ↗
$12,000 RAUM · 2 reps · 7082779131
Recruiting & transitionsM&A & valuation
60
WEALTH MORE ENTERPRISE, INC. (PHILADELPHIA, PA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 888-303-6361 · getwealthmore.com
Recruiting & transitionsM&A & valuation
60
ANCHORCOVE PARTNERS (location n/a) left the SEC roster (was $44.6M RAUM, 1 reps). IAPD ↗
$44.6M RAUM · 1 reps · (516) 606-1733 · acpwp.com
Recruiting & transitionsM&A & valuation
60
VOURA (location n/a) left the SEC roster (was $134,277 RAUM, 1 reps). IAPD ↗
$134,277 RAUM · 1 reps · 317-213-0395
Recruiting & transitionsM&A & valuation
60
PLENTINA FINANCIAL INC. (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (650) 796 6722 · plentinafinancial.com
Recruiting & transitionsM&A & valuation
60
FPG WEALTH (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $35.7M RAUM, 1 reps). IAPD ↗
$35.7M RAUM · 1 reps · 847-668-7950
Recruiting & transitionsM&A & valuation
60
INTER&CO US ADVISORS LLC (MIAMI, FL) left the SEC roster (was $0 RAUM, 6 reps). IAPD ↗
$0 RAUM · 6 reps · 888-305-7264 · inter.co
Recruiting & transitionsM&A & valuation
60
GENESIS FINANCIAL GROUP, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 2012642575
Recruiting & transitionsM&A & valuation
60
OFF-ZERO FINANCIAL, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 512-956-7270 · offzerofinancial.com
Recruiting & transitionsM&A & valuation
60
LIGHT LANE MANAGEMENT (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 714-328-0538
Recruiting & transitionsM&A & valuation
55
SAND GROVE CAPITAL MANAGEMENT (NEW YORK, NY) left the SEC roster (was $3.02B RAUM, 1 reps). IAPD ↗institutional
$3.02B RAUM · 1 reps · 646-751-8318 · sandgrovecapital.com
Recruiting & transitionsM&A & valuation
53
THE PATTERSON CAPITAL CORPORATION (LOS ANGELES, CA) left the SEC roster (was $978.4M RAUM, 3 reps). IAPD ↗institutional
$978.4M RAUM · 3 reps · 310-556-2496 · pattersoncapital.com
Recruiting & transitionsM&A & valuation
50
GSAM STABLE VALUE, LLC (BURLINGTON, VT) left the SEC roster (was $55.40B RAUM, 6 reps). IAPD ↗fund
$55.40B RAUM · 6 reps · 212-902-1000 · gsam.com
Recruiting & transitionsM&A & valuation
50
UBS OCONNOR LLC (CHICAGO, IL) left the SEC roster (was $13.77B RAUM, 58 reps). IAPD ↗fund
$13.77B RAUM · 58 reps · 312-525-6000 · ubs.com
Recruiting & transitionsM&A & valuation
50
STEWART ASSET MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $19.0M RAUM, 0 reps). IAPD ↗institutional
$19.0M RAUM · 0 reps · 212-759-7551 · stewartassetmgmt.com
Recruiting & transitionsM&A & valuation
50
SUMMIT VIEW CAPITAL ADVISORS (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 720-608-1211 · sumstrat.com
Recruiting & transitionsM&A & valuation
50
HENNII INVESTMENT ADVISORY SERVICES (location n/a) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 646-683-8907 · hennii.com
Recruiting & transitionsM&A & valuation
50
SPRING GROWTH PARTNERS LLC (location n/a) left the SEC roster (was $85.0M RAUM, 1 reps). IAPD ↗institutional
$85.0M RAUM · 1 reps · 240-460-4674
Recruiting & transitionsM&A & valuation
50
FOREST HILL STRATEGIC VALUE ADVISERS, LLC (LITTLE ROCK, AR) left the SEC roster (was $119.9M RAUM, 4 reps). IAPD ↗institutional
$119.9M RAUM · 4 reps · 501-663-4491 · foresthillcap.com
Recruiting & transitionsM&A & valuation
50
AGNC INVESTMENT MANAGEMENT, LLC (BETHESDA, MD) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 9 reps). IAPD ↗institutional
$0 RAUM · 9 reps · 301-968-9315
Recruiting & transitionsM&A & valuation
50
FLEXPAC, LLC (SOLANA BEACH, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 917-746-9356
Recruiting & transitionsM&A & valuation
48
AUTONOMY CAPITAL (location n/a) left the SEC roster (was $701.3M RAUM, 1 reps). IAPD ↗fund
$701.3M RAUM · 1 reps · 212-796-1900
Recruiting & transitionsM&A & valuation
45
LUMINA FUND MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $7.0M RAUM, 2 reps). IAPD ↗fund
$7.0M RAUM · 2 reps · 212-918-4645 · luminafund.com
Recruiting & transitionsM&A & valuation
45
TPB WEALTH ADVISORS, LLC (SAN ANTONIO, TX) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗fund
$0 RAUM · 0 reps · 210-424-8710 · tpbwealthadvisors.com
Recruiting & transitionsM&A & valuation
45
FINANCE OF AMERICA CAPITAL MANAGEMENT LLC (ST. PAUL, MN) left the SEC roster (was $500,000 RAUM, 0 reps). IAPD ↗fund
$500,000 RAUM · 0 reps · (651) 412-2042
Recruiting & transitionsM&A & valuation
45
ANQUA MANAGEMENT LLC (location n/a) left the SEC roster (was $211.3M RAUM, 4 reps). IAPD ↗fund
$211.3M RAUM · 4 reps · 212-808-7423
Recruiting & transitionsM&A & valuation
45
JUPITER ASSET MANAGEMENT US LLC (DENVER, CO) left the SEC roster (was $20.9M RAUM, 1 reps). IAPD ↗fund
$20.9M RAUM · 1 reps · 1 720 2551933
Recruiting & transitionsM&A & valuation
45
VESPERMARE CAPITAL LP (NEW YORK, NY) left the SEC roster (was $119.9M RAUM, 3 reps). IAPD ↗fund
$119.9M RAUM · 3 reps · 646-201-5920
Recruiting & transitionsM&A & valuation
45
COLLECTIVE RETIREMENT SOLUTIONS LLC (BRYN MAWR, PA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · (610) 639-6333 · collectiveretire.com
Recruiting & transitionsM&A & valuation
35
GAVEKAL CAPITAL LIMITED (WAN CHAI, Hong Kong) left the SEC roster (was $1.06B RAUM, 7 reps). IAPD ↗foreign
$1.06B RAUM · 7 reps · 852-2869-8363 · gavekal-capital.com
Recruiting & transitionsM&A & valuation
disclosure added — 52 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
OPPENHEIMER & CO. INC.'s Item 11 disclosure-reporting entries rose by 5 (97 -> 102). IAPD ↗
$27.45B RAUM · 1126 reps · 212-668-8000 · oppenheimer.com
ComplianceMarketing & brand
55
RAYMOND JAMES & ASSOCIATES, INC.'s Item 11 disclosure-reporting entries rose by 6 (167 -> 173). IAPD ↗
$350.04B RAUM · 5254 reps · 727-567-1000
ComplianceMarketing & brand
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 1 (156 -> 157). IAPD ↗
$149.25B RAUM · 3027 reps · 314-342-2000 · markhammondfinancial.com
ComplianceMarketing & brand
55
LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 1 (324 -> 325). IAPD ↗
$463.48B RAUM · 27045 reps · 704-733-3300
ComplianceMarketing & brand
55
WELLS FARGO ADVISORS's Item 11 disclosure-reporting entries rose by 1 (319 -> 320). IAPD ↗
$154.19B RAUM · 1978 reps · 314-875-3000 · stories.wf.com
ComplianceMarketing & brand
55
WELLS FARGO ADVISORS's Item 11 disclosure-reporting entries rose by 2 (646 -> 648). IAPD ↗
$558.46B RAUM · 8623 reps · 314-875-3000 · wellsfargoadvisors.com
ComplianceMarketing & brand
55
OSAIC WEALTH, INC.'s Item 11 disclosure-reporting entries rose by 11 (41 -> 52). IAPD ↗
$94.56B RAUM · 4397 reps · 800-821-5100 EXT. 5389 · pacificfp.yournextphase.com
ComplianceMarketing & brand
55
STIFEL INDEPENDENT ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗
$3.56B RAUM · 127 reps · 314-342-4051 · clientfirst-financial.com
ComplianceMarketing & brand
55
VALIC FINANCIAL ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 1 (45 -> 46). IAPD ↗
$25.25B RAUM · 1289 reps · 866-544-4968
ComplianceMarketing & brand
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC.'s Item 11 disclosure-reporting entries rose by 1 (100 -> 101). IAPD ↗
$173.04B RAUM · 206 reps · 212-454-4500
ComplianceMarketing & brand
55
BLACKROCK ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (39 -> 40). IAPD ↗
$869.68B RAUM · 156 reps · 212 810 5300
ComplianceMarketing & brand
55
BLACKROCK FINANCIAL MANAGEMENT, INC's Item 11 disclosure-reporting entries rose by 1 (52 -> 53). IAPD ↗
$1288.50B RAUM · 1038 reps · 212 810 5300 · douyin.com
ComplianceMarketing & brand
55
BLACKROCK CAPITAL MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 1 (42 -> 43). IAPD ↗
$110.92B RAUM · 154 reps · 302 797 2000
ComplianceMarketing & brand
55
BLACKROCK INVESTMENT MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 1 (38 -> 39). IAPD ↗
$458.19B RAUM · 0 reps · 609 282 2000 · line.naver.jp
ComplianceMarketing & brand
55
RREEF AMERICA L.L.C.'s Item 11 disclosure-reporting entries rose by 1 (100 -> 101). IAPD ↗
$31.83B RAUM · 138 reps · 312-537-7000
ComplianceMarketing & brand
55
APERIO GROUP, LLC's Item 11 disclosure-reporting entries rose by 1 (9 -> 10). IAPD ↗
$80.21B RAUM · 73 reps · 415-339-4300 · aperiogroup.com
ComplianceMarketing & brand
55
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 2 (26 -> 28). IAPD ↗
$87.37B RAUM · 3274 reps · 641-472-5100 · iheart.com
ComplianceMarketing & brand
55
INSIGHT INVESTMENT's Item 11 disclosure-reporting entries rose by 8 (9 -> 17). IAPD ↗
$136.71B RAUM · 83 reps · 212-527-1800
ComplianceMarketing & brand
55
CAPITAL ANALYSTS's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗
$7.10B RAUM · 704 reps · 800-242-1421 · lincolninvestment.com
ComplianceMarketing & brand
55
ARBOR POINT ADVISORS's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$6.93B RAUM · 208 reps · 888-777-1992 · riverrockwealth.com
ComplianceMarketing & brand
55
SCARBOROUGH CAPITAL MANAGEMENT's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$1.19B RAUM · 10 reps · 410-573-5700 · 401kadvice.com
ComplianceMarketing & brand
55
OSAIC ADVISORY SERVICES, LLC's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗
$4.94B RAUM · 141 reps · 866-580-8219 · morgancapitalsolutions.com
ComplianceMarketing & brand
53
SFM, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$279.8M RAUM · 4 reps · 603-625-8400
ComplianceMarketing & brand
53
RENAISSANCE INVESTMENT GROUP, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$558.2M RAUM · 5 reps · 413-445-2481 · rigllc.com
ComplianceMarketing & brand
53
SINGER WEALTH ADVISORS LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$424.6M RAUM · 12 reps · 561-998-9985
ComplianceMarketing & brand
53
SOVRAN ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$841.6M RAUM · 45 reps · 619-281-9890 · sovranadvisors.com
ComplianceMarketing & brand
50
BRADESCO GLOBAL ADVISORS's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$185.2M RAUM · 8 reps · 305-523-6536 · bradescoinvest.us
ComplianceMarketing & brand
50
PREMIUM 72 CAPITAL's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
$10.0M RAUM · 2 reps · 281-591-7777
ComplianceMarketing & brand
45
BLACKROCK FUND ADVISORS's Item 11 disclosure-reporting entries rose by 1 (37 -> 38). IAPD ↗institutional
$3047.29B RAUM · 283 reps · 415 670 2000 · douyin.com
ComplianceMarketing & brand
45
DBX ADVISORS LLC's Item 11 disclosure-reporting entries rose by 1 (100 -> 101). IAPD ↗institutional
$20.04B RAUM · 11 reps · 212-454-4500
ComplianceMarketing & brand
40
DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 1 (660 -> 661). IAPD ↗institutional
$0 RAUM · 149 reps · 212-250-2500 · dbresearch.com
ComplianceMarketing & brand
40
BLACKROCK REALTY ADVISORS INC's Item 11 disclosure-reporting entries rose by 1 (36 -> 37). IAPD ↗fund
$2.14B RAUM · 61 reps · 212 810 5300
ComplianceMarketing & brand
40
TENNENBAUM CAPITAL PARTNERS, LLC's Item 11 disclosure-reporting entries rose by 1 (41 -> 42). IAPD ↗fund
$6.09B RAUM · 19 reps · 310 566 1000
ComplianceMarketing & brand
40
SENVEST MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗fund
$3.67B RAUM · 14 reps · 212-202-3250 · senvest.com
ComplianceMarketing & brand
40
BALYASNY ASSET MANAGEMENT L.P.'s Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗fund
$248.04B RAUM · 814 reps · 312-499-2999 · corbetscap.com
ComplianceMarketing & brand
40
BLACKROCK ALTERNATIVES MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 1 (38 -> 39). IAPD ↗fund
$14.60B RAUM · 16 reps · 212 810 5300
ComplianceMarketing & brand
40
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (41 -> 42). IAPD ↗fund
$50.71B RAUM · 26 reps · 302 797 2000 · mp.weixin.qq.com
ComplianceMarketing & brand
40
BERNSTEIN INSTITUTIONAL SERVICES LLC's Item 11 disclosure-reporting entries rose by 39 (4 -> 43). IAPD ↗institutional
$0 RAUM · 85 reps · 212-969-1000 · autonomous.com
ComplianceMarketing & brand
38
GOANNA CAPITAL MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗fund
$370.4M RAUM · 3 reps · 551-800-2775 · goannacapital.com
ComplianceMarketing & brand
38
PINEGROVE CAPITAL PARTNERS LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗fund
$804.1M RAUM · 7 reps · 626-676-0710 · pinegrovecp.com
ComplianceMarketing & brand
35
SVOF/MM, LLC's Item 11 disclosure-reporting entries rose by 1 (41 -> 42). IAPD ↗fund
$203.5M RAUM · 19 reps · 310 566 1000
ComplianceMarketing & brand
25
DWS INTERNATIONAL GMBH's Item 11 disclosure-reporting entries rose by 1 (100 -> 101). IAPD ↗foreign
$44.97B RAUM · 75 reps · 49 69 910 12371
ComplianceMarketing & brand
25
HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED's Item 11 disclosure-reporting entries rose by 1 (12 -> 13). IAPD ↗foreign
$87.57B RAUM · 98 reps · 852-2284-1111
ComplianceMarketing & brand
25
BLACKROCK INTERNATIONAL LIMITED's Item 11 disclosure-reporting entries rose by 1 (38 -> 39). IAPD ↗foreign
$48.14B RAUM · 27 reps · 44 131 4727200
ComplianceMarketing & brand
25
DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 1 (99 -> 100). IAPD ↗foreign
$1.93B RAUM · 8 reps · 011 612 8258 1234 · dws.com
ComplianceMarketing & brand
25
MARTIN CURRIE INC's Item 11 disclosure-reporting entries rose by 4 (3 -> 7). IAPD ↗foreign
$6.98B RAUM · 33 reps · 44 131 229 5252
ComplianceMarketing & brand
25
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED's Item 11 disclosure-reporting entries rose by 4 (3 -> 7). IAPD ↗foreign
$9.42B RAUM · 35 reps · 44 131 229 5252 · martincurrie.com
ComplianceMarketing & brand
25
DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 1 (101 -> 102). IAPD ↗foreign
$3.45B RAUM · 20 reps · 852-2203-8888 · dws.com
ComplianceMarketing & brand
25
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG's Item 11 disclosure-reporting entries rose by 1 (38 -> 39). IAPD ↗foreign
$1.27B RAUM · 19 reps · 41 44 297 7373
ComplianceMarketing & brand
25
BLACKROCK (SINGAPORE) LIMITED's Item 11 disclosure-reporting entries rose by 1 (39 -> 40). IAPD ↗foreign
$50.66B RAUM · 99 reps · 65 6411 3000
ComplianceMarketing & brand
25
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED's Item 11 disclosure-reporting entries rose by 1 (38 -> 39). IAPD ↗foreign
$96.93B RAUM · 102 reps · 852 3903 2800
ComplianceMarketing & brand
23
BMO NESBITT BURNS SECURITIES LTD.'s Item 11 disclosure-reporting entries rose by 2 (10 -> 12). IAPD ↗foreign
$660.9M RAUM · 181 reps · 416-359-4000 · uswealth.bmo.com
ComplianceMarketing & brand
website changed — 37 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
BLACKROCK INVESTMENT MANAGEMENT, LLC changed its website from mp.weixin.qq.com to line.naver.jp. IAPD ↗
$458.19B RAUM · 0 reps · 609 282 2000 · line.naver.jp
Marketing & brand
30
DAVIDSON INVESTMENT ADVISORS, INC. changed its website from dadavidson.com to dadco.com. IAPD ↗
$4.50B RAUM · 10 reps · 406-727-6111 · dadco.com
Marketing & brand
30
COOPER MCMANUS changed its website from newportinvestors.com to morgansterlingpwm.com. IAPD ↗
$1.58B RAUM · 38 reps · 800-516-5333 · morgansterlingpwm.com
Marketing & brand
30
ADVISORS CAPITAL MANAGEMENT, LLC changed its website from advisorscapital.com to bridgeviewwealth.com. IAPD ↗
$7.44B RAUM · 44 reps · 201-447-3400 · bridgeviewwealth.com
Marketing & brand
30
ACORN FINANCIAL ADVISORY SERVICES, INC. changed its website from acorn-financial.com to olddominionira.com. IAPD ↗
$1.11B RAUM · 14 reps · (703) 293-3100 · olddominionira.com
Marketing & brand
30
JOHNSON BRUNETTI changed its website from retire.johnsonbrunetti.com to johnsonbrunetti.com. IAPD ↗
$1.58B RAUM · 31 reps · 860-372-4800 · johnsonbrunetti.com
Marketing & brand
30
CROSSINGBRIDGE ADVISORS, LLC changed its website from crossingbridge.com to crossingbridgefunds.com. IAPD ↗
$2.78B RAUM · 9 reps · (914) 741-1515 · crossingbridgefunds.com
Marketing & brand
30
FOSTER DYKEMA CABOT & PARTNERS, LLC changed its website from focusfinancialpartners.com to fdcco.com. IAPD ↗
$1.71B RAUM · 8 reps · 617-423-3900 · fdcco.com
Marketing & brand
30
F/M INVESTMENTS LLC changed its website from genoaam.com to fm-invest.com. IAPD ↗
$12.85B RAUM · 35 reps · 202-839-4910 · fm-invest.com
Marketing & brand
30
SONORA INVESTMENT MANAGEMENT changed its website from invmgmt.com to focusfinancialpartners.com. IAPD ↗
$1.96B RAUM · 12 reps · 520-624-4554 · focusfinancialpartners.com
Marketing & brand
28
WALL CAPITAL GROUP, INC. changed its website from wallandassociates.org to wallwealthadvisors.com. IAPD ↗
$657.7M RAUM · 4 reps · 623-242-6332 · wallwealthadvisors.com
Marketing & brand
28
BRICK & KYLE ASSOCIATES INC changed its website from brickwealthmanagement.com to brick-kyle.com. IAPD ↗
$397.7M RAUM · 3 reps · 215-493-8787 · brick-kyle.com
Marketing & brand
28
FINANCIAL & TAX ARCHITECTS, LLC changed its website from fta-ria.com to knoxvilleretirementplanner.com. IAPD ↗
$378.9M RAUM · 23 reps · 314-858-1122 · knoxvilleretirementplanner.com
Marketing & brand
28
RIDGEWOOD INVESTMENTS changed its website from dividendgrowthpartners.com to ridgewoodinvestments.com. IAPD ↗
$325.7M RAUM · 6 reps · 973-544-6970 · ridgewoodinvestments.com
Marketing & brand
28
PACIFICA CAPITAL INVESTMENTS changed its website from pacificacapitalinvestments.com to pacificacapital.net. IAPD ↗
$602.0M RAUM · 3 reps · 512-337-5521 · pacificacapital.net
Marketing & brand
28
PINNACLE CAPITAL MANAGEMENT, LLC changed its website from pinnacle-llc.com to cpcfs.com. IAPD ↗
$253.6M RAUM · 5 reps · 315-234-9716 · cpcfs.com
Marketing & brand
28
SECURE ASSET MANAGEMENT, L.L.C. changed its website from secureinvestorsgroup.com to re-transition.com. IAPD ↗
$599.6M RAUM · 43 reps · 248-414-1562 · re-transition.com
Marketing & brand
28
CAPE INVESTMENT ADVISORY, INC. changed its website from glacierwealthmanagement.com to sequoiaadvisoryservices.com. IAPD ↗
$365.2M RAUM · 40 reps · 678-583-1120 · sequoiaadvisoryservices.com
Marketing & brand
28
ANDINA FAMILY OFFICES changed its website from andinaadvisors.com to andinafamilyoffices.com. IAPD ↗
$808.5M RAUM · 11 reps · 801-653-0564 · andinafamilyoffices.com
Marketing & brand
28
SOLOMON API LLC changed its website from solomonapi.com to arseneauadvisory.com. IAPD ↗
$280.0M RAUM · 3 reps · 321-888-2599 · arseneauadvisory.com
Marketing & brand
28
KEY CLIENT FIDUCIARY ADVISORS, LLC changed its website from cjefinancial.com to keyclientfa.com. IAPD ↗
$636.1M RAUM · 10 reps · 973-244-4142 · keyclientfa.com
Marketing & brand
28
AEGIS FINANCIAL changed its website from aegis4me.com to aegisforme.com. IAPD ↗
$356.9M RAUM · 4 reps · 920-233-4650 · aegisforme.com
Marketing & brand
28
FYRA CAPITAL MANAGEMENT changed its website from heiseadvisorygroup.com to fyracapital.com. IAPD ↗
$393.5M RAUM · 6 reps · 636-573-1212 · fyracapital.com
Marketing & brand
25
BRS FINANCIAL LLC changed its website from brs-consulting.com to brsconsulting.com. IAPD ↗
$200.3M RAUM · 7 reps · 877-588-3217 · brsconsulting.com
Marketing & brand
25
LEHMANN, LIVIAN, FRIDSON ADVISORS, LLC changed its website from llfadvisors.com to livianco.com. IAPD ↗
$81.0M RAUM · 2 reps · 212-319-8903 · livianco.com
Marketing & brand
25
PROSPERITY WEALTH MANAGEMENT, INC. changed its website from thinkpwm.com to thinkfloresfinancial.com. IAPD ↗
$243.4M RAUM · 48 reps · 925-791-4444 · thinkfloresfinancial.com
Marketing & brand
25
HARMONY POINT WEALTH ADVISORS, INC. changed its website from huntingtonadvisors.com to harmonypointwa.com. IAPD ↗
$244.4M RAUM · 2 reps · 888-391-7378 · harmonypointwa.com
Marketing & brand
25
PORT CAPITAL MANAGEMENT changed its website from portcapitalmangement.com to portcapitalmgmt.com. IAPD ↗
$0 RAUM · 1 reps · 212-597-2249 · portcapitalmgmt.com
Marketing & brand
20
PACIFIC FINANCIAL GROUP, LLC changed its website from riskproadvisor.com to tpfg.com. IAPD ↗institutional
$3.09B RAUM · 0 reps · 4254517722 · tpfg.com
Marketing & brand
18
MACQUARIE PRIVATE DEBT ASSET MANAGEMENT, LLC changed its website from mirafunds.com to macquarie.com. IAPD ↗institutional
$450.0M RAUM · 4 reps · 1 212 231-1000 · macquarie.com
Marketing & brand
15
GROVESTREET changed its website from grovestreet.com to grovestreetadvisors.com. IAPD ↗fund
$6.48B RAUM · 8 reps · 781-263-6100 · grovestreetadvisors.com
Marketing & brand
15
BGO US REAL ESTATE LP changed its website from bentallgreenoak.com to bgo.com. IAPD ↗fund
$16.06B RAUM · 41 reps · 212-359-7800 · bgo.com
Marketing & brand
15
SATORI CAPITAL, LLC changed its website from satoricapital.com to satorialpha.com. IAPD ↗fund
$1.44B RAUM · 15 reps · 214-390-6270 · satorialpha.com
Marketing & brand
15
RIDGEWOOD INFRASTRUCTURE changed its website from ridgewoodinfrastructure.com to bit.ly. IAPD ↗fund
$1.70B RAUM · 12 reps · 212-867-0050 · bit.ly
Marketing & brand
13
CORNER CAPITAL MANAGEMENT, LLC changed its website from cornerventures.com to cornercapitalmgmt.com. IAPD ↗fund
$749.8M RAUM · 4 reps · 732-740-4669 · cornercapitalmgmt.com
Marketing & brand
10
STRUCK CAPITAL MANAGEMENT LLC changed its website from struckcrypto.com to struckcapital.com. IAPD ↗fund
$145.1M RAUM · 7 reps · 561-289-0486 · struckcapital.com
Marketing & brand
10
BLACKSTONE PRIVATE INVESTMENTS ADVISORS L.L.C. changed its website from spoti.fi to bxpef.com. IAPD ↗fund
$100,000 RAUM · 3 reps · 212-583-5000 · bxpef.com
Marketing & brand
headcount up — 33 Advisory representative count grew materially (>=20% or >=5 reps).
85
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS grew from 60 to 80 advisory reps. IAPD ↗
$15.32B RAUM · 80 reps · 216-621-1090 · clearsteadinvestmentforum.buzzsprout.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
THE COLONY GROUP, LLC grew from 255 to 285 advisory reps. IAPD ↗
$21.47B RAUM · 285 reps · 617-723-8200 · debrabrede.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC grew from 52 to 74 advisory reps. IAPD ↗
$11.29B RAUM · 74 reps · 312-334-7300
CRMRecruiting & transitionsComplianceFinancial planning software
85
F/M INVESTMENTS LLC grew from 8 to 35 advisory reps. IAPD ↗
$12.85B RAUM · 35 reps · 202-839-4910 · fm-invest.com
CRMRecruiting & transitionsComplianceFinancial planning software
83
CONSOLIDATED PLANNING CORPORATION grew from 9 to 22 advisory reps. IAPD ↗
$1.58B RAUM · 22 reps · 404-879-3000 · cpcadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
83
SOVRAN ADVISORS, LLC grew from 2 to 45 advisory reps. IAPD ↗
$841.6M RAUM · 45 reps · 619-281-9890 · sovranadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
NECTARINE grew from 1 to 18 advisory reps. IAPD ↗
$0 RAUM · 18 reps · (858) 779-0115 · hellonectarine.com
CRMRecruiting & transitionsComplianceFinancial planning software
78
WAVERLY ADVISORS, LLC grew from 84 to 92 advisory reps. IAPD ↗
$11.38B RAUM · 92 reps · 205-871-3334 · waverly-advisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
78
SANCTUARY ADVISORS, LLC grew from 309 to 317 advisory reps. IAPD ↗
$22.02B RAUM · 317 reps · 317-975-7729
CRMRecruiting & transitionsComplianceFinancial planning software
78
CONCURRENT INVESTMENT ADVISORS, LLC grew from 106 to 114 advisory reps. IAPD ↗
$6.26B RAUM · 114 reps · (813) 575-2652 · concurrentny.com
CRMRecruiting & transitionsComplianceFinancial planning software
77
IHT WEALTH MANAGEMENT LLC grew from 139 to 146 advisory reps. IAPD ↗
$4.82B RAUM · 146 reps · 855-295-2828
CRMRecruiting & transitionsComplianceFinancial planning software
73
EMBREE FINANCIAL GROUP grew from 10 to 13 advisory reps. IAPD ↗
$2.04B RAUM · 13 reps · 312-527-5565
CRMRecruiting & transitionsComplianceFinancial planning software
72
ST. BERNARD FINANCIAL SERVICES, INC. grew from 23 to 30 advisory reps. IAPD ↗
$128.7M RAUM · 30 reps · 479-967-1200 · turnerfinancial.net
CRMRecruiting & transitionsComplianceFinancial planning software
72
CROSSINGBRIDGE ADVISORS, LLC grew from 7 to 9 advisory reps. IAPD ↗
$2.78B RAUM · 9 reps · (914) 741-1515 · crossingbridgefunds.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
SINGER WEALTH ADVISORS LLC grew from 9 to 12 advisory reps. IAPD ↗
$424.6M RAUM · 12 reps · 561-998-9985
CRMRecruiting & transitionsComplianceFinancial planning software
70
BLUE BARN WEALTH grew from 4 to 6 advisory reps. IAPD ↗
$431.4M RAUM · 6 reps · (801) 466-4101 · bluebarnwealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
CAPSTONE CAPITAL WEALTH ADVISORS grew from 2 to 4 advisory reps. IAPD ↗
$321.3M RAUM · 4 reps · 702-433-7588
CRMRecruiting & transitionsComplianceFinancial planning software
70
RIVERVIEW CAPITAL ADVISERS LLC grew from 4 to 6 advisory reps. IAPD ↗
$527.5M RAUM · 6 reps · 617-423-0080 · riverviewcapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
TSFG, LLC grew from 6 to 8 advisory reps. IAPD ↗
$649.1M RAUM · 8 reps · 847-735-7100
CRMRecruiting & transitionsComplianceFinancial planning software
70
TACTIVE ADVISORS, LLC grew from 1 to 3 advisory reps. IAPD ↗
$405.8M RAUM · 3 reps · 855-282-2848 · pcliftonfinancial.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
FREESTONE GROVE PARTNERS LP grew from 17 to 53 advisory reps. IAPD ↗fund
$5.99B RAUM · 53 reps · 4159074024 · fgrovep.com
CRMRecruiting & transitionsComplianceFinancial planning software
69
CARDEA CAPITAL ADVISORS, LLC grew from 5 to 9 advisory reps. IAPD ↗
$79.3M RAUM · 9 reps · 770-977-7779
CRMRecruiting & transitionsComplianceFinancial planning software
67
TRINITY INVESTMENT MANAGEMENT, LLC grew from 4 to 6 advisory reps. IAPD ↗
$114.8M RAUM · 6 reps · 682-348-1732 · trinityfiduciary.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
GKFO, LLC grew from 8 to 10 advisory reps. IAPD ↗
$29.1M RAUM · 10 reps · 610-341-3900 · gkfo.net
CRMRecruiting & transitionsComplianceFinancial planning software
67
LPF ADVISORS, LLC grew from 3 to 5 advisory reps. IAPD ↗
$232.1M RAUM · 5 reps · (941) 907-0101 · waypointadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
WASHINGTON AVENUE ADVISORS grew from 4 to 6 advisory reps. IAPD ↗
$224.2M RAUM · 6 reps · 844-678-1842
CRMRecruiting & transitionsComplianceFinancial planning software
66
NORTHCREST ASSET MANAGEMENT grew from 0 to 6 advisory reps. IAPD ↗institutional
$3.15B RAUM · 6 reps · 763-417-1700
CRMRecruiting & transitionsComplianceFinancial planning software
64
CAPITOLIS ADVISORS LLC grew from 20 to 29 advisory reps. IAPD ↗institutional
$30.0M RAUM · 29 reps · 212-388-5204
CRMRecruiting & transitionsComplianceFinancial planning software
63
FOW PARTNERS, LP grew from 2 to 12 advisory reps. IAPD ↗fund
$612.0M RAUM · 12 reps · 207-210-0022 · fowpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
BLACKROCK INTERNATIONAL LIMITED grew from 12 to 27 advisory reps. IAPD ↗foreign
$48.14B RAUM · 27 reps · 44 131 4727200
CRMRecruiting & transitionsComplianceFinancial planning software
55
FAIRBRIDGE ASSET MANAGEMENT LLC grew from 6 to 8 advisory reps. IAPD ↗fund
$348.6M RAUM · 8 reps · 475-259-0089
CRMRecruiting & transitionsComplianceFinancial planning software
55
PINEGROVE CAPITAL PARTNERS LLC grew from 5 to 7 advisory reps. IAPD ↗fund
$804.1M RAUM · 7 reps · 626-676-0710 · pinegrovecp.com
CRMRecruiting & transitionsComplianceFinancial planning software
39
BG INVESTMENT SERVICES, INC. grew from 1 to 5 advisory reps. IAPD ↗foreign
$186.2M RAUM · 5 reps · 671-472-5490
CRMRecruiting & transitionsComplianceFinancial planning software
pending approved — 23 120-day provisional registration became a full approval.
73
LINDBERG & RIPPLE's provisional registration is now fully approved. IAPD ↗
$932.9M RAUM · 12 reps · 561-323-2265
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
DRUCKER WEALTH's provisional registration is now fully approved. IAPD ↗
$518.1M RAUM · 5 reps · (212) 681-0460
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
GREYKASELL WEALTH STRATEGIES, INC.'s provisional registration is now fully approved. IAPD ↗
$291.2M RAUM · 2 reps · 925-263-9275 · greykasell.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
AZURA PARTNERS US LLC's provisional registration is now fully approved. IAPD ↗
$25.0M RAUM · 2 reps · 347-249-2369 · azura.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
RASP WEALTH SOLUTIONS, LLC's provisional registration is now fully approved. IAPD ↗
$99.2M RAUM · 2 reps · 463-248-6395 · raspwealthsolutions.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
LONGEVITY CAPITAL MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$119.3M RAUM · 1 reps · 805-917-6771 · longevitycapitalmgmt.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
INDEPENDENT WEALTH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$132.8M RAUM · 3 reps · 919-749-7596
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ALLIED PRIVATE WEALTH's provisional registration is now fully approved. IAPD ↗
$106.3M RAUM · 3 reps · 9545769192 · alliedprivatewealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
STONEPATH WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$178.0M RAUM · 7 reps · (231) 668-6999 · stonepathwm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
POMONA WEALTH MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$105.4M RAUM · 1 reps · 509-643-6028 · pomonawm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
AXXES ADVISORS LLC's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 3 reps · 786-662-3114
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
ELDA RIVER CAPITAL MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗fund
$1.60B RAUM · 10 reps · 346 614 4250 · eldariver.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
BUENA CAPITAL ADVISORS LLC's provisional registration is now fully approved. IAPD ↗institutional
$3.1M RAUM · 1 reps · 8005357096 · buenacapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
PRESTON CAPITAL's provisional registration is now fully approved. IAPD ↗fund
$1.04B RAUM · 9 reps · 949-272-2000 · prestoncap.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
ALPINVEST US HOLDINGS, LLC's provisional registration is now fully approved. IAPD ↗fund
$38.56B RAUM · 92 reps · (646) 735-4293 · carlyle.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
RIVER1 ASSET MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗institutional
$21.1M RAUM · 2 reps · 920-583-1476
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
SANJAC ALPHA LP's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 2 reps · 713-366-7059
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
GENESIA INVESTMENTS LLC's provisional registration is now fully approved. IAPD ↗institutional
$100.2M RAUM · 1 reps · 864-334-5188 · genesiainvestments.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
PINEGROVE CAPITAL PARTNERS LLC's provisional registration is now fully approved. IAPD ↗fund
$804.1M RAUM · 7 reps · 626-676-0710 · pinegrovecp.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
FOW PARTNERS, LP's provisional registration is now fully approved. IAPD ↗fund
$612.0M RAUM · 12 reps · 207-210-0022 · fowpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
SR ALTERNATIVE CREDIT, LLC's provisional registration is now fully approved. IAPD ↗fund
$185.6M RAUM · 6 reps · 203-656-3004 · sraltcredit.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
POLUS CAPITAL MANAGEMENT (US) INC.'s provisional registration is now fully approved. IAPD ↗fund
$40.0M RAUM · 3 reps · 917-971-1904 · poluscapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
ABRY PARTNERS III, LLC's provisional registration is now fully approved. IAPD ↗fund
$202.3M RAUM · 62 reps · (617) 859-2959 · abry.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
aum up — 21 Regulatory AUM up >=25% since last filing.
75
F/M INVESTMENTS LLC reported RAUM up 118% ($5.88B -> $12.85B). IAPD ↗
$12.85B RAUM · 35 reps · 202-839-4910 · fm-invest.com
Portfolio / reporting / TAMPCRMFinancial planning software
73
G.W. SHERWOLD ASSOCIATES, INC. reported RAUM up 183% ($133.0M -> $376.7M). IAPD ↗
$376.7M RAUM · 1 reps · 949-470-0700 · gwsherwold.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
R. F. LAFFERTY & CO., INC. reported RAUM up 166% ($34.1M -> $90.9M). IAPD ↗
$90.9M RAUM · 6 reps · 212-293-9090 · rflafferty.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
CROSSINGBRIDGE ADVISORS, LLC reported RAUM up 51% ($1.84B -> $2.78B). IAPD ↗
$2.78B RAUM · 9 reps · (914) 741-1515 · crossingbridgefunds.com
Portfolio / reporting / TAMPCRMFinancial planning software
68
PRACTICECFO INVESTMENTS reported RAUM up 51% ($262.2M -> $394.9M). IAPD ↗
$394.9M RAUM · 9 reps · 800-675-2712
Portfolio / reporting / TAMPCRMFinancial planning software
67
TAR RIVER WEALTH PLANNING, LLC reported RAUM up 49% ($220.2M -> $328.6M). IAPD ↗
$328.6M RAUM · 5 reps · 919-496-1511 · tarriverwealthplanning.com
Portfolio / reporting / TAMPCRMFinancial planning software
64
WHITE ROCK CAPITAL reported RAUM up 49% ($97.3M -> $145.1M). IAPD ↗
$145.1M RAUM · 2 reps · 214-526-1465
Portfolio / reporting / TAMPCRMFinancial planning software
63
CAPITAL INVESTMENT COUNSEL INC reported RAUM up 29% ($537.9M -> $691.5M). IAPD ↗
$691.5M RAUM · 4 reps · 919-831-2370 · capital-invest.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
VESTBRIDGE ADVISORS, INC reported RAUM up 28% ($234.5M -> $300.8M). IAPD ↗
$300.8M RAUM · 5 reps · 609-701-2900 · vestbridge.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
CAPITAL IDEAS reported RAUM up 28% ($166.6M -> $213.7M). IAPD ↗
$213.7M RAUM · 5 reps · 214-750-4400 · cap-ideas.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
SCIENCAST MANAGEMENT LP reported RAUM up 60% ($200.0M -> $320.0M). IAPD ↗institutional
$320.0M RAUM · 3 reps · 609-917-3298
Portfolio / reporting / TAMPCRMFinancial planning software
60
VILLAGE WEALTH ADVISORS reported RAUM up 28% ($132.8M -> $170.5M). IAPD ↗
$170.5M RAUM · 3 reps · 805-603-4960 · villagewealthadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
ALPHA reported RAUM up 26% ($55.5M -> $70.0M). IAPD ↗
$70.0M RAUM · 1 reps · 2129339301 · alpha-ria.com
Portfolio / reporting / TAMPCRMFinancial planning software
59
MONTICELLOAM, LLC reported RAUM up 73% ($1.10B -> $1.90B). IAPD ↗fund
$1.90B RAUM · 49 reps · 646-844-3600 · trustwellliving.com
Portfolio / reporting / TAMPCRMFinancial planning software
51
MUIRFIELD CAPITAL GLOBAL ADVISORS LLC reported RAUM up 58% ($29.2M -> $46.3M). IAPD ↗fund
$46.3M RAUM · 3 reps · 212-332-2500 · muirfieldcap.com
Portfolio / reporting / TAMPCRMFinancial planning software
51
FS TACTICAL ADVISOR, LLC reported RAUM up 59% ($154.1M -> $245.1M). IAPD ↗fund
$245.1M RAUM · 15 reps · (215)220-6651 · fsinvestments.com
Portfolio / reporting / TAMPCRMFinancial planning software
50
FS GLOBAL ADVISOR, LLC reported RAUM up 27% ($2.09B -> $2.65B). IAPD ↗fund
$2.65B RAUM · 15 reps · 215-220-6651
Portfolio / reporting / TAMPCRMFinancial planning software
50
FAIRBRIDGE ASSET MANAGEMENT LLC reported RAUM up 36% ($256.4M -> $348.6M). IAPD ↗fund
$348.6M RAUM · 8 reps · 475-259-0089
Portfolio / reporting / TAMPCRMFinancial planning software
48
LARSON CAPITAL MANAGEMENT, LLC reported RAUM up 27% ($654.0M -> $832.9M). IAPD ↗fund
$832.9M RAUM · 1 reps · 314-787-7436
Portfolio / reporting / TAMPCRMFinancial planning software
48
NEXT MANAGEMENT ADVISORS, LLC reported RAUM up 30% ($286.4M -> $372.3M). IAPD ↗fund
$372.3M RAUM · 5 reps · 917-602-0500 · next-investors.com
Portfolio / reporting / TAMPCRMFinancial planning software
40
STRATEGIC SWISS ADVISORS SARL reported RAUM up 2853% ($1.5M -> $45.4M). IAPD ↗foreign
$45.4M RAUM · 2 reps · +41 22 737 1990 · strategic-swiss-advisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
relocation — 21 Main office moved to a different city or state.
50
FENIMORE ASSET MANAGEMENT, INC. moved its main office from COBLESKILL, NY to ALBANY, NY. IAPD ↗
$4.19B RAUM · 23 reps · 518-234-4393
Office IT & facilitiesMarketing & brand
50
ANFIELD CAPITAL MANAGEMENT, LLC moved its main office from NEWPORT BEACH, CA to IRVINE, CA. IAPD ↗
$1.44B RAUM · 7 reps · 949-891-0600
Office IT & facilitiesMarketing & brand
50
SHUSTER ADVISORY GROUP, LLC moved its main office from PASADENA, CA to HONOLULU, HI. IAPD ↗
$6.28B RAUM · 7 reps · (626) 578-0816 · sfgrpc.com
Office IT & facilitiesMarketing & brand
48
RUGGAARD & ASSOCIATES moved its main office from TWINSBURG, OH to HUDSON, OH. IAPD ↗
$312.2M RAUM · 6 reps · (330) 487-5888 · ruggaard.net
Office IT & facilitiesMarketing & brand
48
ATTICUS WEALTH MANAGEMENT moved its main office from NORTH PALM BEACH, FL to PALM BEACH GARDENS, FL. IAPD ↗
$370.1M RAUM · 7 reps · 404-907-1899 · atticuswm.com
Office IT & facilitiesMarketing & brand
48
PROSPERITY PLANNING moved its main office from RIVERSIDE, MO to NORTH KANSAS CITY, MO. IAPD ↗
$416.7M RAUM · 8 reps · 816-587-7526 · prosperityplanninginc.com
Office IT & facilitiesMarketing & brand
45
FOREST ASSET MANAGEMENT LLC moved its main office from BERWYN, IL to RIVERSIDE, IL. IAPD ↗
$184.6M RAUM · 3 reps · 708-447-7086 · forestasset.com
Office IT & facilitiesMarketing & brand
45
CERITY PARTNERS OCIO LLC moved its main office from LOUISVILLE, KY to NEW YORK, NY. IAPD ↗
$0 RAUM · 0 reps · 212-850-4260 · ceritypartners.com
Office IT & facilitiesMarketing & brand
45
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC moved its main office from WOODBURY, NY to TAMPA, FL. IAPD ↗
$116.6M RAUM · 4 reps · 475-241-6966
Office IT & facilitiesMarketing & brand
45
SHOREPATH CAPITAL MANAGEMENT LLC moved its main office from EVANSTON, IL to PARK CITY, UT. IAPD ↗
$124.0M RAUM · 1 reps · 312-357-4080 · shorepathcap.com
Office IT & facilitiesMarketing & brand
45
SOUND FINANCIAL STRATEGIES GROUP, LLC moved its main office from FLOWOOD, MS to MADISON, MS. IAPD ↗
$184.5M RAUM · 5 reps · 601-856-3825 · soundfsg.com
Office IT & facilitiesMarketing & brand
45
SIEBERT ADVISORNXT, LLC. moved its main office from JERSEY CITY, NJ to NEW YORK, NY. IAPD ↗
$212.6M RAUM · 24 reps · 800-872-0444 · siebertnxt.com
Office IT & facilitiesMarketing & brand
45
GK WEALTH MANAGEMENT LLC moved its main office from RENO, GA to RENO, NV. IAPD ↗
$150.7M RAUM · 2 reps · 775-354-6622
Office IT & facilitiesMarketing & brand
45
DEFINED FINANCIAL PLANNING LLC moved its main office from ALAMEDA, CA to SAN RAFAEL, CA. IAPD ↗
$114.4M RAUM · 5 reps · (510) 200-8655
Office IT & facilitiesMarketing & brand
45
KIRK CAPITAL ADVISORS LLC moved its main office from FAIRFAX, VA to VIENNA, VA. IAPD ↗
$149.7M RAUM · 2 reps · 888.340.5475
Office IT & facilitiesMarketing & brand
45
HERON FINANCE moved its main office from OAKLAND, CA to SAN FRANCISCO, CA. IAPD ↗
$0 RAUM · 1 reps · 510-646-1610 · heronfinance.com
Office IT & facilitiesMarketing & brand
45
BLUEWATER WEALTH ADVISORS, LLC moved its main office from VESTAVIA, AL to VESTAVIA HILLS, AL. IAPD ↗
$0 RAUM · 3 reps · 205-305-6352
Office IT & facilitiesMarketing & brand
35
CURAFIN ADVISORS moved its main office from SCOTTSDALE, AZ to PHOENIX, AZ. IAPD ↗institutional
$0 RAUM · 2 reps · 480-284-7080 · curafinadvisors.com
Office IT & facilitiesMarketing & brand
33
TROOB CAPITAL MANAGEMENT LLC moved its main office from WHITE PLAINS, NY to RYE BROOK, NY. IAPD ↗fund
$362.2M RAUM · 6 reps · 914 694 5777 · troobcapital.com
Office IT & facilitiesMarketing & brand
20
ABRDN INVESTMENTS LIMITED moved its main office from ABERDEEN, to EDINBURGH, . IAPD ↗foreign
$183.69B RAUM · 354 reps · 44 1313729444
Office IT & facilitiesMarketing & brand
15
EQUILIBRIUM WEALTH LLC moved its main office from NEW YORK, NY to JERUSALEM, . IAPD ↗foreign
$87.9M RAUM · 3 reps · (212) 321-0428
Office IT & facilitiesMarketing & brand
custody started — 18 Firm now reports custody of client assets — surprise exams and controls follow.
68
FAIRHAVEN FINANCIAL ADVISORY CORPORATION now reports custody of client assets ($111.9M). IAPD ↗
$273.2M RAUM · 4 reps · 517-332-2900
ComplianceCustodian
68
EUDAIMONIA PARTNERS, LLC now reports custody of client assets ($1.8M). IAPD ↗
$703.5M RAUM · 15 reps · 877-843-1411 · glenwoodfinancialpartners.com
ComplianceCustodian
68
TOWER WEALTH PARTNERS now reports custody of client assets ($5.0M). IAPD ↗
$307.9M RAUM · 3 reps · (570) 524-7200
ComplianceCustodian
68
GREYKASELL WEALTH STRATEGIES, INC. now reports custody of client assets ($291.2M). IAPD ↗
$291.2M RAUM · 2 reps · 925-263-9275 · greykasell.com
ComplianceCustodian
65
WINDLE WEALTH now reports custody of client assets ($24.6M). IAPD ↗
$159.3M RAUM · 1 reps · 405-261-5202
ComplianceCustodian
65
TEACH PLAN RETIRE, AEL WEALTH MANAGEMENT now reports custody of client assets ($77.3M). IAPD ↗
$200.5M RAUM · 6 reps · 317-941-6492
ComplianceCustodian
65
DEFINED FINANCIAL PLANNING LLC now reports custody of client assets ($12.0M). IAPD ↗
$114.4M RAUM · 5 reps · (510) 200-8655
ComplianceCustodian
65
STRUCTURAL SOLUTIONS LLC now reports custody of client assets ($99.0M). IAPD ↗
$118.2M RAUM · 1 reps · 917-836-0339
ComplianceCustodian
65
NICHOLSON WEALTH MANAGEMENT GROUP, LLC now reports custody of client assets ($2.6M). IAPD ↗
$226.3M RAUM · 3 reps · 843-790-2625 · nicholsonwmg.com
ComplianceCustodian
65
LASHLEY WEALTH MANAGEMENT now reports custody of client assets. IAPD ↗
$70.4M RAUM · 1 reps · 913 338-2400
ComplianceCustodian
65
DELARME WEALTH MANAGEMENT, INC. now reports custody of client assets ($5.3M). IAPD ↗
$156.6M RAUM · 2 reps · 424-250-1725
ComplianceCustodian
65
MENDOZA PRIVATE WEALTH now reports custody of client assets. IAPD ↗
$0 RAUM · 1 reps · 305-503-5133 · mendozaprivatewealth.com
ComplianceCustodian
60
CONSTELLATION INVESTMENTS, INC. now reports custody of client assets ($6.54B). IAPD ↗institutional
$11.75B RAUM · 5 reps · 513-794-6100 · constellationinsurance.com
ComplianceCustodian
55
RESEARCH AFFILIATES now reports custody of client assets ($4.4M). IAPD ↗fund
$28.39B RAUM · 35 reps · 949 325 8700 · researchaffiliates.com
ComplianceCustodian
55
QUANTITATIVE SYSTEMATIC STRATEGIES LLC now reports custody of client assets ($4.09B). IAPD ↗fund
$2.04B RAUM · 2 reps · 904-686-6100
ComplianceCustodian
55
FREESTONE GROVE PARTNERS LP now reports custody of client assets ($5.99B). IAPD ↗fund
$5.99B RAUM · 53 reps · 4159074024 · fgrovep.com
ComplianceCustodian
53
FOW PARTNERS, LP now reports custody of client assets ($1.22B). IAPD ↗fund
$612.0M RAUM · 12 reps · 207-210-0022 · fowpartners.com
ComplianceCustodian
50
SR ALTERNATIVE CREDIT, LLC now reports custody of client assets ($135.7M). IAPD ↗fund
$185.6M RAUM · 6 reps · 203-656-3004 · sraltcredit.com
ComplianceCustodian
headcount down — 17 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
NBC SECURITIES, INC. shrank from 75 to 39 advisory reps. IAPD ↗
$1.70B RAUM · 39 reps · 800-521-9390 · nbcsecurities.com
Recruiting & transitionsM&A & valuation
55
DAVIDSON INVESTMENT ADVISORS, INC. shrank from 13 to 10 advisory reps. IAPD ↗
$4.50B RAUM · 10 reps · 406-727-6111 · dadco.com
Recruiting & transitionsM&A & valuation
55
OVERBROOK MANAGEMENT CORPORATION shrank from 5 to 3 advisory reps. IAPD ↗
$1.23B RAUM · 3 reps · 212-661-8710 · overbrook.com
Recruiting & transitionsM&A & valuation
53
FCF ADVISORS LLC shrank from 5 to 3 advisory reps. IAPD ↗
$558.9M RAUM · 3 reps · 212-217-2597
Recruiting & transitionsM&A & valuation
53
INVESTMENT RESEARCH PARTNERS shrank from 6 to 4 advisory reps. IAPD ↗
$300.8M RAUM · 4 reps · 814-966-7206
Recruiting & transitionsM&A & valuation
50
CHICAGO INVESTMENT ADVISORY COUNCIL, INC. shrank from 7 to 5 advisory reps. IAPD ↗
$160.0M RAUM · 5 reps · 630-444-1410 · ciacinc.com
Recruiting & transitionsM&A & valuation
50
BAER WEALTH MANAGEMENT shrank from 4 to 2 advisory reps. IAPD ↗
$249.7M RAUM · 2 reps · 770-984-2312
Recruiting & transitionsM&A & valuation
50
TRIUMPH WEALTH ADVISORS, INC. shrank from 15 to 4 advisory reps. IAPD ↗
$28.1M RAUM · 4 reps · 770-924-9322 · triumphwealthadvisors.com
Recruiting & transitionsM&A & valuation
50
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC shrank from 6 to 4 advisory reps. IAPD ↗
$116.6M RAUM · 4 reps · 475-241-6966
Recruiting & transitionsM&A & valuation
50
ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM) shrank from 8 to 5 advisory reps. IAPD ↗
$164.8M RAUM · 5 reps · (310) 795-0622
Recruiting & transitionsM&A & valuation
45
PACIFIC FINANCIAL GROUP, LLC shrank from 8 to 0 advisory reps. IAPD ↗institutional
$3.09B RAUM · 0 reps · 4254517722 · tpfg.com
Recruiting & transitionsM&A & valuation
40
OLD IRONSIDES ENERGY, LLC shrank from 8 to 6 advisory reps. IAPD ↗fund
$1.42B RAUM · 6 reps · 617-366-2030 · oldironsidesenergy.com
Recruiting & transitionsM&A & valuation
40
TSPI, LP shrank from 30 to 13 advisory reps. IAPD ↗fund
$2.38B RAUM · 13 reps · (212) 625-5700
Recruiting & transitionsM&A & valuation
38
CONSILIUM INVESTMENT MANAGEMENT LLC shrank from 4 to 1 advisory reps. IAPD ↗fund
$472.3M RAUM · 1 reps · 954-315-9380
Recruiting & transitionsM&A & valuation
35
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC shrank from 20 to 6 advisory reps. IAPD ↗fund
$190.8M RAUM · 6 reps · 757-623-3676 · wstcm.com
Recruiting & transitionsM&A & valuation
35
JLP ASSET MANAGEMENT, LLC shrank from 9 to 5 advisory reps. IAPD ↗fund
$212.1M RAUM · 5 reps · 212-578-1650 · jlpasset.com
Recruiting & transitionsM&A & valuation
20
FIL INVESTMENTS (JAPAN) LIMITED shrank from 52 to 39 advisory reps. IAPD ↗foreign
$0 RAUM · 39 reps · 00813-4560-6000
Recruiting & transitionsM&A & valuation
rename — 16 Primary business name changed: rebrand, merger, or ownership change.
60
CLEARSTEAD; HARTLAND & CO., LLC is now doing business as CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS. IAPD ↗
$15.32B RAUM · 80 reps · 216-621-1090 · clearsteadinvestmentforum.buzzsprout.com
Marketing & brandCRM
60
UBS ASSET MANAGEMENT (AMERICAS) INC. is now doing business as UBS ASSET MANAGEMENT (AMERICAS) LLC. IAPD ↗
$367.88B RAUM · 216 reps · 212-821-3000 · ubs.com
Marketing & brandCRM
60
KINNERET ADVISORY, LLC is now doing business as KINTEGRAL ADVISORY, LLC. IAPD ↗
$1.79B RAUM · 10 reps · 646-519-4333
Marketing & brandCRM
58
ANDCO CONSULTING is now doing business as MARINER INSTITUTIONAL, LLC. IAPD ↗
$976.6M RAUM · 89 reps · 844-442-6326 · beckerburke.com
Marketing & brandCRM
58
IMA WEALTH is now doing business as IMA ADVISORY SERVICES, INC.. IAPD ↗
$911.6M RAUM · 19 reps · 316-266-6574
Marketing & brandCRM
58
THE LLOYD GROUP is now doing business as THE LLOYD ADVISORY GROUP. IAPD ↗
$299.7M RAUM · 7 reps · 770-932-0387 · thelloydgroupinc.com
Marketing & brandCRM
58
HART & PATTERSON FINANCIAL GROUP LLP is now doing business as HART & PATTERSON FINANCIAL GROUP. IAPD ↗
$251.4M RAUM · 2 reps · (413) 253-9454 · hartpatterson.com
Marketing & brandCRM
55
ARGI INVESTMENT SERVICES, LLC is now doing business as CERITY PARTNERS OCIO LLC. IAPD ↗
$0 RAUM · 0 reps · 212-850-4260 · ceritypartners.com
Marketing & brandCRM
55
NEW AGE ALPHA ADVISORS, LLC is now doing business as NEW AGE ALPHA. IAPD ↗
$195.9M RAUM · 6 reps · (212) 922-2699 · newagealpha.com
Marketing & brandCRM
55
LUMIERE FINANCIAL GROUP LLC is now doing business as LUMIERE FINANCIAL. IAPD ↗
$45.0M RAUM · 8 reps · (212) 516-5900 · lumierefg.com
Marketing & brandCRM
55
HUNTINGTON ADVISORS is now doing business as HARMONY POINT WEALTH ADVISORS, INC.. IAPD ↗
$244.4M RAUM · 2 reps · 888-391-7378 · harmonypointwa.com
Marketing & brandCRM
55
HOLDINGZ is now doing business as HOLDINGS. IAPD ↗
$0 RAUM · 1 reps · 888-806-1639 · holdings.io
Marketing & brandCRM
55
VALMAR STRATEGIC WEALTH LLC is now doing business as VAMA OAK WEALTH, LLC. IAPD ↗
$37.1M RAUM · 2 reps · 215-809-2011
Marketing & brandCRM
50
OHIO NATIONAL INVESTMENTS INC is now doing business as CONSTELLATION INVESTMENTS, INC.. IAPD ↗institutional
$11.75B RAUM · 5 reps · 513-794-6100 · constellationinsurance.com
Marketing & brandCRM
40
KRF FUND MANAGER, LLC is now doing business as KRF CAPITAL LLC. IAPD ↗fund
$230.0M RAUM · 2 reps · 212-202-1730
Marketing & brandCRM
30
PGIM REAL ESTATE (UK) LIMITED is now doing business as PGIM PRIVATE ALTERNATIVES (UK) LIMITED. IAPD ↗foreign
$3.00B RAUM · 48 reps · +44 (0) 207 766 2400
Marketing & brandCRM
aum down — 13 Regulatory AUM down >=25% since last filing.
50
WELLINGTON CONSULTING SERVICES INC reported RAUM down 30% ($1.69B -> $1.18B). IAPD ↗
$1.18B RAUM · 9 reps · 877-836-1993 · wellington401k.com
M&A & valuationRecruiting & transitions
45
THE ETF STORE, INC. reported RAUM down 43% ($259.6M -> $147.8M). IAPD ↗
$147.8M RAUM · 8 reps · 877-365-3837
M&A & valuationRecruiting & transitions
45
GKFO, LLC reported RAUM down 95% ($612.7M -> $29.1M). IAPD ↗
$29.1M RAUM · 10 reps · 610-341-3900 · gkfo.net
M&A & valuationRecruiting & transitions
45
TRIUMPH WEALTH ADVISORS, INC. reported RAUM down 33% ($41.7M -> $28.1M). IAPD ↗
$28.1M RAUM · 4 reps · 770-924-9322 · triumphwealthadvisors.com
M&A & valuationRecruiting & transitions
45
REVERE WEALTH MANAGEMENT LLC reported RAUM down 41% ($129.1M -> $76.8M). IAPD ↗
$76.8M RAUM · 5 reps · 212-688-2350 · reveresecurities.com
M&A & valuationRecruiting & transitions
45
EMERGE CAPITAL MANAGEMENT reported RAUM down 69% ($368.0M -> $112.8M). IAPD ↗
$112.8M RAUM · 6 reps · 716-970-4512
M&A & valuationRecruiting & transitions
45
G.P. LEACH SECURITIES LLC reported RAUM down 100% ($282.9M -> $345,000). IAPD ↗
$345,000 RAUM · 1 reps · (817) 939-9809 · gpleach.com
M&A & valuationRecruiting & transitions
33
SUMMER STREET CAPITAL PARTNERS, LLC reported RAUM down 56% ($586.1M -> $255.1M). IAPD ↗fund
$255.1M RAUM · 5 reps · 716-566-2900 · summerstreetcapital.com
M&A & valuationRecruiting & transitions
33
DISRUPTIVE TECHNOLOGY ADVISERS LLC reported RAUM down 28% ($959.2M -> $690.2M). IAPD ↗fund
$690.2M RAUM · 10 reps · (424) 205-6850 · disruptive.tech
M&A & valuationRecruiting & transitions
30
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC reported RAUM down 97% ($5.50B -> $190.8M). IAPD ↗fund
$190.8M RAUM · 6 reps · 757-623-3676 · wstcm.com
M&A & valuationRecruiting & transitions
30
THAYER GP VI LLC reported RAUM down 73% ($202.2M -> $55.1M). IAPD ↗fund
$55.1M RAUM · 4 reps · 212-417-7000
M&A & valuationRecruiting & transitions
30
JLP ASSET MANAGEMENT, LLC reported RAUM down 48% ($409.9M -> $212.1M). IAPD ↗fund
$212.1M RAUM · 5 reps · 212-578-1650 · jlpasset.com
M&A & valuationRecruiting & transitions
30
NORBURY PARTNERS LP reported RAUM down 40% ($123.1M -> $73.8M). IAPD ↗fund
$73.8M RAUM · 3 reps · 646-460-4601 · norburypartners.com
M&A & valuationRecruiting & transitions
planning clients up — 8 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
73
DRUCKER WEALTH reports 101-250 financial-planning clients, up from 0. IAPD ↗
$518.1M RAUM · 5 reps · (212) 681-0460
Financial planning software
73
SOVRAN ADVISORS, LLC reports 101-250 financial-planning clients, up from 0. IAPD ↗
$841.6M RAUM · 45 reps · 619-281-9890 · sovranadvisors.com
Financial planning software
70
LEGACY CAPITAL GROUP CALIFORNIA, INC. reports 251-500 financial-planning clients, up from 11-25. IAPD ↗
$444.0M RAUM · 4 reps · 408-399-6330
Financial planning software
64
LOCKWOOD WEALTH STRATEGIES, LLC reports 26-50 financial-planning clients, up from 0. IAPD ↗
$41.3M RAUM · 1 reps · (346) 487-8700 · lockwoodws.com
Financial planning software
63
ICA GROUP WEALTH MANAGEMENT, LLC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
$1.16B RAUM · 45 reps · 720-758-8000 · dunniganfinancial.com
Financial planning software
61
GEN FINANCIAL MANAGEMENT INC. reports 1-10 financial-planning clients, up from 0. IAPD ↗
$431.3M RAUM · 5 reps · 952-513-1466 · genfinancial.com
Financial planning software
61
PRACTICECFO INVESTMENTS reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
$394.9M RAUM · 9 reps · 800-675-2712
Financial planning software
58
BAER WEALTH MANAGEMENT reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
$249.7M RAUM · 2 reps · 770-984-2312
Financial planning software
private funds started — 7 Firm reports private funds for the first time.
75
FORZA INVESTMENT GROUP, LP now reports 7 private fund(s) ($1.36B gross). IAPD ↗
$1.36B RAUM · 6 reps · 973-315-5394
Fund administrationCompliance
60
FS GLOBAL ADVISOR, LLC now reports 1 private fund(s) ($249.2M gross). IAPD ↗fund
$2.65B RAUM · 15 reps · 215-220-6651
Fund administrationCompliance
60
HELIX PARTNERS MANAGEMENT LP now reports 1 private fund(s) ($1.15B gross). IAPD ↗fund
$1.15B RAUM · 7 reps · 212-379-4949
Fund administrationCompliance
58
PINEGROVE CAPITAL PARTNERS LLC now reports 1 private fund(s) ($804.1M gross). IAPD ↗fund
$804.1M RAUM · 7 reps · 626-676-0710 · pinegrovecp.com
Fund administrationCompliance
58
FOW PARTNERS, LP now reports 5 private fund(s) ($612.0M gross). IAPD ↗fund
$612.0M RAUM · 12 reps · 207-210-0022 · fowpartners.com
Fund administrationCompliance
55
SR ALTERNATIVE CREDIT, LLC now reports 4 private fund(s) ($135.7M gross). IAPD ↗fund
$185.6M RAUM · 6 reps · 203-656-3004 · sraltcredit.com
Fund administrationCompliance
55
NILES INVESTMENT MANAGEMENT, LLC now reports 2 private fund(s) ($71.6M gross). IAPD ↗fund
$71.6M RAUM · 1 reps · (305) 813-0484 · danniles.com
Fund administrationCompliance
aum crossed 1b — 6 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
MONTEREY PRIVATE WEALTH, INC. crossed $1B in regulatory AUM ($965.9M -> $1.01B). IAPD ↗
$1.01B RAUM · 8 reps · (831) 372-3426
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
PINKERTON RETIREMENT SPECIALISTS, LLC crossed $1B in regulatory AUM ($945.7M -> $1.02B). IAPD ↗
$1.02B RAUM · 12 reps · 800-634-2008 · pinkertonretirement.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
REVOLVE WEALTH PARTNERS, LLC crossed $1B in regulatory AUM ($837.6M -> $1.04B). IAPD ↗
$1.04B RAUM · 13 reps · 201-373-2163
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
ZWEIG-DIMENNA ASSOCIATES LLC crossed $1B in regulatory AUM ($990.6M -> $1.03B). IAPD ↗fund
$1.03B RAUM · 14 reps · 212-451-1100 · zweig-dimenna.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
GOLDEN BELL PARTNERS, LLC crossed $1B in regulatory AUM ($993.2M -> $1.02B). IAPD ↗fund
$1.02B RAUM · 1 reps · 650-796-8659 · goldenbellpartners.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
FS STRUCTURED PRODUCTS ADVISOR, LLC crossed $1B in regulatory AUM ($979.9M -> $1.04B). IAPD ↗fund
$1.04B RAUM · 16 reps · 215-220-6651 · fskkradvisor.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
reorganization — 5 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
45
UBS ASSET MANAGEMENT (AMERICAS) LLC filed an Item 4A succession naming UBS ASSET MANAGEMENT (AMERICAS) INC. (CRD 106838) — an entity change, not a deal. IAPD ↗
$367.88B RAUM · 216 reps · 212-821-3000 · ubs.com
Integration & migration consultingCompliance
40
INTENTIONAL WEALTH STRATEGIES filed an Item 4A succession naming INTENTIONAL WEALTH STRATEGIES (CRD 327743) — an entity change, not a deal. IAPD ↗
$122.8M RAUM · 2 reps · 719-694-8002 · intentionalwealth.com
Integration & migration consultingCompliance
30
FAIRVIEW CAPITAL PARTNERS, INC. filed an Item 4A succession naming FAIRVIEW CAPITAL PARTNERS, INC. (CRD 161258) — an entity change, not a deal. IAPD ↗fund
$2.68B RAUM · 12 reps · 860-674-8066
Integration & migration consultingCompliance
28
THE MAGNOLIA GROUP, LLC filed an Item 4A succession naming THE MAGNOLIA GROUP, LLC (CRD 171102) — an entity change, not a deal. IAPD ↗fund
$783.6M RAUM · 2 reps · 402-509-8456
Integration & migration consultingCompliance
25
STRATOS TECHNOLOGIES CAPITAL MANAGEMENT LLC filed an Item 4A succession naming STRATOS TECHNOLOGIES CAPITAL MANAGEMENT LLC (CRD 311846) — an entity change, not a deal. IAPD ↗fund
$105.5M RAUM · 3 reps · 214-845-7254 · stratos.xyz
Integration & migration consultingCompliance
wrap program started — 4 Firm began participating in a wrap-fee program (Item 5I(1)).
65
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS began participating in a wrap-fee program. IAPD ↗
$15.32B RAUM · 80 reps · 216-621-1090 · clearsteadinvestmentforum.buzzsprout.com
Portfolio / reporting / TAMPCompliance
60
WINTER & ASSOCIATES, INC. began participating in a wrap-fee program. IAPD ↗
$116.2M RAUM · 3 reps · (651) 414-5000
Portfolio / reporting / TAMPCompliance
60
THEPARTNERS WEALTH MANAGEMENT began participating in a wrap-fee program. IAPD ↗
$172.5M RAUM · 7 reps · 800-324-3010 · centralcoastfm.com
Portfolio / reporting / TAMPCompliance
60
HERON FINANCE began participating in a wrap-fee program. IAPD ↗
$0 RAUM · 1 reps · 510-646-1610 · heronfinance.com
Portfolio / reporting / TAMPCompliance
aum crossed 500m — 3 Regulatory AUM crossed $500M.
70
ARQ WEALTH ADVISORS, LLC crossed $500M in regulatory AUM ($466.2M -> $520.1M). IAPD ↗
$520.1M RAUM · 6 reps · 480-214-9572
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
SAN LUIS WEALTH ADVISORS crossed $500M in regulatory AUM ($97.2M -> $561.1M). IAPD ↗
$561.1M RAUM · 4 reps · 805-810-0002 · sanluiswealth.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
40
BROOKLANDS crossed $500M in regulatory AUM ($160.3M -> $633.5M). IAPD ↗foreign
$633.5M RAUM · 2 reps · 44 (0)20 7291 8166 · brooklandsfund.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
planning started — 2 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
75
BAER WEALTH MANAGEMENT now offers financial planning (Item 5G(1)). IAPD ↗
$249.7M RAUM · 2 reps · 770-984-2312
Financial planning softwareCRM
75
PLOOTUS now offers financial planning (Item 5G(1)). IAPD ↗
$0 RAUM · 1 reps · 203-666-8724 · pinterest.com
Financial planning softwareCRM

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.