← Tributary

What changed in the June 2024 SEC adviser roster

765 events across 660 firms · 590 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

229state expansion
139new registration
111new office
50deregistered
37disclosure added
27website changed
25aum up
24pending approved
22custody started
19headcount up
19relocation
18rename

Top 25 signals — US wealth firms

100
TIDE CYCLE RESOURCES LLC (PORTSMOUTH, NH) is newly SEC-registered with $1.40B RAUM and 1 advisory reps. IAPD ↗
$1.40B RAUM · 1 reps · 207-752-3154
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LONG ISLAND FINANCIAL GROUP, INC (location n/a) is newly SEC-registered with $36.5M RAUM and 1 advisory reps. IAPD ↗
$36.5M RAUM · 1 reps · 516-741-1966
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT INVESTMENT ADVISORS INC (BEACHWOOD, OH) is newly SEC-registered with $114.8M RAUM and 2 advisory reps. IAPD ↗
$114.8M RAUM · 2 reps · 216-514-5151 · 1800newport.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ADVANTAGE INVESTING, INC. (CHESAPEAKE, VA) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
$102.2M RAUM · 2 reps · 757-547-8257 · advantageinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARNOLD CASTELLANO AND ASSOCIATES, LLC (SHREVEPORT, LA) is newly SEC-registered with $113.7M RAUM and 3 advisory reps. IAPD ↗
$113.7M RAUM · 3 reps · 318-683-1040 · todaycpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APPALACHIAN CAPITAL MANAGEMENT (ST. CLAIRSVILLE, OH) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
$132.4M RAUM · 1 reps · 740-695-3434 · appcapitalmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHALLENGER WEALTH MANAGEMENT (ALISO VIEJO, CA) is newly SEC-registered with $177.3M RAUM and 1 advisory reps. IAPD ↗
$177.3M RAUM · 1 reps · (949) 754-0464
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE WATER CAPITAL MANAGEMENT, LLC (APEX, NC) is newly SEC-registered with $128.0M RAUM and 3 advisory reps. IAPD ↗
$128.0M RAUM · 3 reps · 919-589-2528 · bluewaterportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCCARTHY WEALTH & TAX ADVISORS (SPRINGBORO, OH) is newly SEC-registered with $133.2M RAUM and 3 advisory reps. IAPD ↗
$133.2M RAUM · 3 reps · 937-748-4765 · mccarthywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FR FINANCIAL ADVISORS LLC (CORAL SPRINGS, FL) is newly SEC-registered with $109.5M RAUM and 2 advisory reps. IAPD ↗
$109.5M RAUM · 2 reps · 954-755-0222 · fradv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SNOWBALL WEALTH MANAGEMENT (BOULDER, CO) is newly SEC-registered with $123.5M RAUM and 3 advisory reps. IAPD ↗
$123.5M RAUM · 3 reps · 303-666-6292 · snowballwm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PERIOPE, LC (ST. GEORGE, UT) is newly SEC-registered with $124.9M RAUM and 2 advisory reps. IAPD ↗
$124.9M RAUM · 2 reps · 435-634-9008 · periope.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CYPRESS ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $134.7M RAUM and 2 advisory reps. IAPD ↗
$134.7M RAUM · 2 reps · 309-679-9146 · betterwaywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLOCK WEALTH MANAGEMENT, INC (location n/a) is newly SEC-registered with $127.5M RAUM and 1 advisory reps. IAPD ↗
$127.5M RAUM · 1 reps · (760) 796-5550
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAVEN CAPITAL GROUP (WESTLAKE VILLAGE, CA) is newly SEC-registered with $118.9M RAUM and 1 advisory reps. IAPD ↗
$118.9M RAUM · 1 reps · 805-963-9050 · havencapitalgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TNT ASSET MANAGEMENT, LLC (ROUND ROCK, TX) is newly SEC-registered with $122.3M RAUM and 4 advisory reps. IAPD ↗
$122.3M RAUM · 4 reps · 512 255-1600 · tntfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HALL CAPITAL, LLC (PASADENA, CA) is newly SEC-registered with $107.3M RAUM and 1 advisory reps. IAPD ↗
$107.3M RAUM · 1 reps · 626-578-5700 · hallcapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HINCHLEY ADVISORY GROUP, LLC (CENTENNIAL, CO) is newly SEC-registered with $124.7M RAUM and 1 advisory reps. IAPD ↗
$124.7M RAUM · 1 reps · 303-284-8081 · hinchleyandco.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALLER FINANCIAL SERVICES, INC. (CENTENNIAL, CO) is newly SEC-registered with $126.0M RAUM and 2 advisory reps. IAPD ↗
$126.0M RAUM · 2 reps · 303-858-0045 · pallerfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INVESTORS MOSAIC (location n/a) is newly SEC-registered with $119.5M RAUM and 2 advisory reps. IAPD ↗
$119.5M RAUM · 2 reps · (617) 272-0006 · investorsmosaic.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FULCRUM WEALTH ADVISORS, LLC (BELLEVUE, WA) is newly SEC-registered with $105.7M RAUM and 3 advisory reps. IAPD ↗
$105.7M RAUM · 3 reps · 425-250-6280
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HIPPOCRATIC FINANCIAL ADVISORS (WESTLAKE VILLAGE, CA) is newly SEC-registered with $123.0M RAUM and 4 advisory reps. IAPD ↗
$123.0M RAUM · 4 reps · 866-447-2380 · hippocraticfa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHUNG WU INVESTMENT GROUP, LLC (SUGAR LAND, TX) is newly SEC-registered with $110.4M RAUM and 2 advisory reps. IAPD ↗
$110.4M RAUM · 2 reps · (281) 203-0069 · cw-investmentgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HORSE COVE PARTNERS LLC (ATLANTA, GA) is newly SEC-registered with $102.0M RAUM and 4 advisory reps. IAPD ↗
$102.0M RAUM · 4 reps · 678-905-5723
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FUTURE PERFECT PLANNING, LLC (location n/a) is newly SEC-registered with $25.2M RAUM and 1 advisory reps. IAPD ↗
$25.2M RAUM · 1 reps · 646-543-8065 · futureperfect.nyc
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 243 firms

100
TIDE CYCLE RESOURCES LLC (PORTSMOUTH, NH) is newly SEC-registered with $1.40B RAUM and 1 advisory reps. IAPD ↗
$1.40B RAUM · 1 reps · 207-752-3154
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LONG ISLAND FINANCIAL GROUP, INC (location n/a) is newly SEC-registered with $36.5M RAUM and 1 advisory reps. IAPD ↗
$36.5M RAUM · 1 reps · 516-741-1966
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT INVESTMENT ADVISORS INC (BEACHWOOD, OH) is newly SEC-registered with $114.8M RAUM and 2 advisory reps. IAPD ↗
$114.8M RAUM · 2 reps · 216-514-5151 · 1800newport.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ADVANTAGE INVESTING, INC. (CHESAPEAKE, VA) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
$102.2M RAUM · 2 reps · 757-547-8257 · advantageinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARNOLD CASTELLANO AND ASSOCIATES, LLC (SHREVEPORT, LA) is newly SEC-registered with $113.7M RAUM and 3 advisory reps. IAPD ↗
$113.7M RAUM · 3 reps · 318-683-1040 · todaycpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APPALACHIAN CAPITAL MANAGEMENT (ST. CLAIRSVILLE, OH) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
$132.4M RAUM · 1 reps · 740-695-3434 · appcapitalmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHALLENGER WEALTH MANAGEMENT (ALISO VIEJO, CA) is newly SEC-registered with $177.3M RAUM and 1 advisory reps. IAPD ↗
$177.3M RAUM · 1 reps · (949) 754-0464
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE WATER CAPITAL MANAGEMENT, LLC (APEX, NC) is newly SEC-registered with $128.0M RAUM and 3 advisory reps. IAPD ↗
$128.0M RAUM · 3 reps · 919-589-2528 · bluewaterportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCCARTHY WEALTH & TAX ADVISORS (SPRINGBORO, OH) is newly SEC-registered with $133.2M RAUM and 3 advisory reps. IAPD ↗
$133.2M RAUM · 3 reps · 937-748-4765 · mccarthywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FR FINANCIAL ADVISORS LLC (CORAL SPRINGS, FL) is newly SEC-registered with $109.5M RAUM and 2 advisory reps. IAPD ↗
$109.5M RAUM · 2 reps · 954-755-0222 · fradv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 233 more in the CSV export.

Financial planning software 142 firms

100
TIDE CYCLE RESOURCES LLC (PORTSMOUTH, NH) is newly SEC-registered with $1.40B RAUM and 1 advisory reps. IAPD ↗
$1.40B RAUM · 1 reps · 207-752-3154
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LONG ISLAND FINANCIAL GROUP, INC (location n/a) is newly SEC-registered with $36.5M RAUM and 1 advisory reps. IAPD ↗
$36.5M RAUM · 1 reps · 516-741-1966
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT INVESTMENT ADVISORS INC (BEACHWOOD, OH) is newly SEC-registered with $114.8M RAUM and 2 advisory reps. IAPD ↗
$114.8M RAUM · 2 reps · 216-514-5151 · 1800newport.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ADVANTAGE INVESTING, INC. (CHESAPEAKE, VA) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
$102.2M RAUM · 2 reps · 757-547-8257 · advantageinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARNOLD CASTELLANO AND ASSOCIATES, LLC (SHREVEPORT, LA) is newly SEC-registered with $113.7M RAUM and 3 advisory reps. IAPD ↗
$113.7M RAUM · 3 reps · 318-683-1040 · todaycpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APPALACHIAN CAPITAL MANAGEMENT (ST. CLAIRSVILLE, OH) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
$132.4M RAUM · 1 reps · 740-695-3434 · appcapitalmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHALLENGER WEALTH MANAGEMENT (ALISO VIEJO, CA) is newly SEC-registered with $177.3M RAUM and 1 advisory reps. IAPD ↗
$177.3M RAUM · 1 reps · (949) 754-0464
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE WATER CAPITAL MANAGEMENT, LLC (APEX, NC) is newly SEC-registered with $128.0M RAUM and 3 advisory reps. IAPD ↗
$128.0M RAUM · 3 reps · 919-589-2528 · bluewaterportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCCARTHY WEALTH & TAX ADVISORS (SPRINGBORO, OH) is newly SEC-registered with $133.2M RAUM and 3 advisory reps. IAPD ↗
$133.2M RAUM · 3 reps · 937-748-4765 · mccarthywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FR FINANCIAL ADVISORS LLC (CORAL SPRINGS, FL) is newly SEC-registered with $109.5M RAUM and 2 advisory reps. IAPD ↗
$109.5M RAUM · 2 reps · 954-755-0222 · fradv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 132 more in the CSV export.

Compliance 396 firms

100
TIDE CYCLE RESOURCES LLC (PORTSMOUTH, NH) is newly SEC-registered with $1.40B RAUM and 1 advisory reps. IAPD ↗
$1.40B RAUM · 1 reps · 207-752-3154
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LONG ISLAND FINANCIAL GROUP, INC (location n/a) is newly SEC-registered with $36.5M RAUM and 1 advisory reps. IAPD ↗
$36.5M RAUM · 1 reps · 516-741-1966
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT INVESTMENT ADVISORS INC (BEACHWOOD, OH) is newly SEC-registered with $114.8M RAUM and 2 advisory reps. IAPD ↗
$114.8M RAUM · 2 reps · 216-514-5151 · 1800newport.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ADVANTAGE INVESTING, INC. (CHESAPEAKE, VA) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
$102.2M RAUM · 2 reps · 757-547-8257 · advantageinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARNOLD CASTELLANO AND ASSOCIATES, LLC (SHREVEPORT, LA) is newly SEC-registered with $113.7M RAUM and 3 advisory reps. IAPD ↗
$113.7M RAUM · 3 reps · 318-683-1040 · todaycpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APPALACHIAN CAPITAL MANAGEMENT (ST. CLAIRSVILLE, OH) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
$132.4M RAUM · 1 reps · 740-695-3434 · appcapitalmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHALLENGER WEALTH MANAGEMENT (ALISO VIEJO, CA) is newly SEC-registered with $177.3M RAUM and 1 advisory reps. IAPD ↗
$177.3M RAUM · 1 reps · (949) 754-0464
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE WATER CAPITAL MANAGEMENT, LLC (APEX, NC) is newly SEC-registered with $128.0M RAUM and 3 advisory reps. IAPD ↗
$128.0M RAUM · 3 reps · 919-589-2528 · bluewaterportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCCARTHY WEALTH & TAX ADVISORS (SPRINGBORO, OH) is newly SEC-registered with $133.2M RAUM and 3 advisory reps. IAPD ↗
$133.2M RAUM · 3 reps · 937-748-4765 · mccarthywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FR FINANCIAL ADVISORS LLC (CORAL SPRINGS, FL) is newly SEC-registered with $109.5M RAUM and 2 advisory reps. IAPD ↗
$109.5M RAUM · 2 reps · 954-755-0222 · fradv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 386 more in the CSV export.

Portfolio / reporting / TAMP 125 firms

100
TIDE CYCLE RESOURCES LLC (PORTSMOUTH, NH) is newly SEC-registered with $1.40B RAUM and 1 advisory reps. IAPD ↗
$1.40B RAUM · 1 reps · 207-752-3154
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LONG ISLAND FINANCIAL GROUP, INC (location n/a) is newly SEC-registered with $36.5M RAUM and 1 advisory reps. IAPD ↗
$36.5M RAUM · 1 reps · 516-741-1966
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT INVESTMENT ADVISORS INC (BEACHWOOD, OH) is newly SEC-registered with $114.8M RAUM and 2 advisory reps. IAPD ↗
$114.8M RAUM · 2 reps · 216-514-5151 · 1800newport.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ADVANTAGE INVESTING, INC. (CHESAPEAKE, VA) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
$102.2M RAUM · 2 reps · 757-547-8257 · advantageinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARNOLD CASTELLANO AND ASSOCIATES, LLC (SHREVEPORT, LA) is newly SEC-registered with $113.7M RAUM and 3 advisory reps. IAPD ↗
$113.7M RAUM · 3 reps · 318-683-1040 · todaycpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APPALACHIAN CAPITAL MANAGEMENT (ST. CLAIRSVILLE, OH) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
$132.4M RAUM · 1 reps · 740-695-3434 · appcapitalmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHALLENGER WEALTH MANAGEMENT (ALISO VIEJO, CA) is newly SEC-registered with $177.3M RAUM and 1 advisory reps. IAPD ↗
$177.3M RAUM · 1 reps · (949) 754-0464
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE WATER CAPITAL MANAGEMENT, LLC (APEX, NC) is newly SEC-registered with $128.0M RAUM and 3 advisory reps. IAPD ↗
$128.0M RAUM · 3 reps · 919-589-2528 · bluewaterportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCCARTHY WEALTH & TAX ADVISORS (SPRINGBORO, OH) is newly SEC-registered with $133.2M RAUM and 3 advisory reps. IAPD ↗
$133.2M RAUM · 3 reps · 937-748-4765 · mccarthywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FR FINANCIAL ADVISORS LLC (CORAL SPRINGS, FL) is newly SEC-registered with $109.5M RAUM and 2 advisory reps. IAPD ↗
$109.5M RAUM · 2 reps · 954-755-0222 · fradv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 115 more in the CSV export.

Custodian 115 firms

100
TIDE CYCLE RESOURCES LLC (PORTSMOUTH, NH) is newly SEC-registered with $1.40B RAUM and 1 advisory reps. IAPD ↗
$1.40B RAUM · 1 reps · 207-752-3154
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LONG ISLAND FINANCIAL GROUP, INC (location n/a) is newly SEC-registered with $36.5M RAUM and 1 advisory reps. IAPD ↗
$36.5M RAUM · 1 reps · 516-741-1966
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT INVESTMENT ADVISORS INC (BEACHWOOD, OH) is newly SEC-registered with $114.8M RAUM and 2 advisory reps. IAPD ↗
$114.8M RAUM · 2 reps · 216-514-5151 · 1800newport.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ADVANTAGE INVESTING, INC. (CHESAPEAKE, VA) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
$102.2M RAUM · 2 reps · 757-547-8257 · advantageinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARNOLD CASTELLANO AND ASSOCIATES, LLC (SHREVEPORT, LA) is newly SEC-registered with $113.7M RAUM and 3 advisory reps. IAPD ↗
$113.7M RAUM · 3 reps · 318-683-1040 · todaycpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APPALACHIAN CAPITAL MANAGEMENT (ST. CLAIRSVILLE, OH) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
$132.4M RAUM · 1 reps · 740-695-3434 · appcapitalmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHALLENGER WEALTH MANAGEMENT (ALISO VIEJO, CA) is newly SEC-registered with $177.3M RAUM and 1 advisory reps. IAPD ↗
$177.3M RAUM · 1 reps · (949) 754-0464
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE WATER CAPITAL MANAGEMENT, LLC (APEX, NC) is newly SEC-registered with $128.0M RAUM and 3 advisory reps. IAPD ↗
$128.0M RAUM · 3 reps · 919-589-2528 · bluewaterportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCCARTHY WEALTH & TAX ADVISORS (SPRINGBORO, OH) is newly SEC-registered with $133.2M RAUM and 3 advisory reps. IAPD ↗
$133.2M RAUM · 3 reps · 937-748-4765 · mccarthywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FR FINANCIAL ADVISORS LLC (CORAL SPRINGS, FL) is newly SEC-registered with $109.5M RAUM and 2 advisory reps. IAPD ↗
$109.5M RAUM · 2 reps · 954-755-0222 · fradv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 105 more in the CSV export.

Marketing & brand 385 firms

100
TIDE CYCLE RESOURCES LLC (PORTSMOUTH, NH) is newly SEC-registered with $1.40B RAUM and 1 advisory reps. IAPD ↗
$1.40B RAUM · 1 reps · 207-752-3154
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LONG ISLAND FINANCIAL GROUP, INC (location n/a) is newly SEC-registered with $36.5M RAUM and 1 advisory reps. IAPD ↗
$36.5M RAUM · 1 reps · 516-741-1966
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT INVESTMENT ADVISORS INC (BEACHWOOD, OH) is newly SEC-registered with $114.8M RAUM and 2 advisory reps. IAPD ↗
$114.8M RAUM · 2 reps · 216-514-5151 · 1800newport.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ADVANTAGE INVESTING, INC. (CHESAPEAKE, VA) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
$102.2M RAUM · 2 reps · 757-547-8257 · advantageinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARNOLD CASTELLANO AND ASSOCIATES, LLC (SHREVEPORT, LA) is newly SEC-registered with $113.7M RAUM and 3 advisory reps. IAPD ↗
$113.7M RAUM · 3 reps · 318-683-1040 · todaycpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APPALACHIAN CAPITAL MANAGEMENT (ST. CLAIRSVILLE, OH) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
$132.4M RAUM · 1 reps · 740-695-3434 · appcapitalmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHALLENGER WEALTH MANAGEMENT (ALISO VIEJO, CA) is newly SEC-registered with $177.3M RAUM and 1 advisory reps. IAPD ↗
$177.3M RAUM · 1 reps · (949) 754-0464
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE WATER CAPITAL MANAGEMENT, LLC (APEX, NC) is newly SEC-registered with $128.0M RAUM and 3 advisory reps. IAPD ↗
$128.0M RAUM · 3 reps · 919-589-2528 · bluewaterportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCCARTHY WEALTH & TAX ADVISORS (SPRINGBORO, OH) is newly SEC-registered with $133.2M RAUM and 3 advisory reps. IAPD ↗
$133.2M RAUM · 3 reps · 937-748-4765 · mccarthywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FR FINANCIAL ADVISORS LLC (CORAL SPRINGS, FL) is newly SEC-registered with $109.5M RAUM and 2 advisory reps. IAPD ↗
$109.5M RAUM · 2 reps · 954-755-0222 · fradv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 375 more in the CSV export.

Recruiting & transitions 143 firms

85
UBS ASSET MANAGEMENT (AMERICAS) LLC grew from 216 to 411 advisory reps. IAPD ↗
$477.86B RAUM · 411 reps · 212-821-3000 · ubs.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
BLACKROCK INVESTMENT MANAGEMENT, LLC grew from 0 to 536 advisory reps. IAPD ↗
$458.19B RAUM · 536 reps · 609 282 2000 · douyin.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC grew from 74 to 99 advisory reps. IAPD ↗
$11.29B RAUM · 99 reps · 312-334-7300 · kovitz.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
SEGALL BRYANT & HAMILL grew from 46 to 51 advisory reps. IAPD ↗
$17.21B RAUM · 51 reps · 1-800-836-4265
CRMRecruiting & transitionsComplianceFinancial planning software
74
STONEBRIDGE FINANCIAL GROUP, LLC grew from 13 to 17 advisory reps. IAPD ↗
$1.58B RAUM · 17 reps · 717-736-7007
CRMRecruiting & transitionsComplianceFinancial planning software
70
PETERSON WEALTH SERVICES INC. grew from 3 to 5 advisory reps. IAPD ↗
$394.0M RAUM · 5 reps · 801-475-4002
CRMRecruiting & transitionsComplianceFinancial planning software
70
TC43 LLC grew from 1 to 6 advisory reps. IAPD ↗
$66.7M RAUM · 6 reps · 917-363-7217
CRMRecruiting & transitionsComplianceFinancial planning software
68
SUPREME ALLIANCE LLC grew from 10 to 13 advisory reps. IAPD ↗
$11.1M RAUM · 13 reps · 561-460-2870 · supremealliancellc.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
BOSUN ASSET MANAGEMENT, LLC grew from 5 to 8 advisory reps. IAPD ↗
$247.6M RAUM · 8 reps · 707-402-9922 · bosunam.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
BULMAN WEALTH GROUP grew from 2 to 5 advisory reps. IAPD ↗
$148.2M RAUM · 5 reps · 916-458-8199 · bulmanwealth.com
CRMRecruiting & transitionsComplianceFinancial planning software

…and 133 more in the CSV export.

Integration & migration consulting 2 firms

85
L & S ADVISORS, INC crossed $1B in regulatory AUM ($830.5M -> $1.01B). IAPD ↗
$1.01B RAUM · 15 reps · 310-893-6060 · lsadvisor.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
INVESTMENT MANAGEMENT ASSOCIATES crossed $500M in regulatory AUM ($417.6M -> $515.4M). IAPD ↗
$515.4M RAUM · 2 reps · 303-796-8333
Portfolio / reporting / TAMPCRMIntegration & migration consulting

Fund administration 4 firms

73
SPENCE ASSET MANAGEMENT now reports 1 private fund(s) ($2.1M gross). IAPD ↗
$623.3M RAUM · 7 reps · 575-556-8500 · ww-capital.com
Fund administrationCompliance
73
FLOWER CITY CAPITAL LLC now reports 1 private fund(s) ($4.6M gross). IAPD ↗
$270.8M RAUM · 2 reps · 585-236-8501
Fund administrationCompliance
73
EQ WEALTH MANAGEMENT now reports 1 private fund(s) ($24.3M gross). IAPD ↗
$593.7M RAUM · 6 reps · 425-434-1000
Fund administrationCompliance
70
TC43 LLC now reports 1 private fund(s) ($10.8M gross). IAPD ↗
$66.7M RAUM · 6 reps · 917-363-7217
Fund administrationCompliance

Office IT & facilities 104 firms

55
&PARTNERS added office(s): 20 -> 29 additional locations. IAPD ↗
$1.17B RAUM · 87 reps · 615-255-6431 · prairieheritagefinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
SEGALL BRYANT & HAMILL added office(s): 4 -> 6 additional locations. IAPD ↗
$17.21B RAUM · 51 reps · 1-800-836-4265
Office IT & facilitiesCRMRecruiting & transitions
55
UBS ASSET MANAGEMENT (AMERICAS) LLC added office(s): 4 -> 15 additional locations. IAPD ↗
$477.86B RAUM · 411 reps · 212-821-3000 · ubs.com
Office IT & facilitiesCRMRecruiting & transitions
55
BRADLEY FOSTER & SARGENT INC added office(s): 5 -> 6 additional locations. IAPD ↗
$6.85B RAUM · 17 reps · 860-527-8050 · bfsinvest.com
Office IT & facilitiesCRMRecruiting & transitions
55
SUNCOAST EQUITY MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.36B RAUM · 11 reps · (813) 963-0502
Office IT & facilitiesCRMRecruiting & transitions
55
GEMMER ASSET MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.70B RAUM · 8 reps · 925-933-3786 · thejdinvestor.com
Office IT & facilitiesCRMRecruiting & transitions
55
GRIMES & COMPANY, INC. added office(s): 17 -> 19 additional locations. IAPD ↗
$4.85B RAUM · 27 reps · 508-366-3883
Office IT & facilitiesCRMRecruiting & transitions
55
CAIN, WATTERS & ASSOCIATES, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$3.54B RAUM · 63 reps · 972-233-3323
Office IT & facilitiesCRMRecruiting & transitions
55
EIDE BAILLY ADVISORS, LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$1.33B RAUM · 17 reps · 866-740-4100 · eidebaillywealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
STRAIGHTLINE added office(s): 2 -> 3 additional locations. IAPD ↗
$1.12B RAUM · 9 reps · 248-269-8366 · straightline.com
Office IT & facilitiesCRMRecruiting & transitions

…and 94 more in the CSV export.

M&A & valuation 35 firms

65
CREDIT SUISSE ASSET MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $59.89B RAUM, 64 reps). IAPD ↗
$59.89B RAUM · 64 reps · 212-325-2000 · credit-suisse.com
Recruiting & transitionsM&A & valuation
65
ML&R WEALTH MANAGEMENT LLC (AUSTIN, TX) left the SEC roster (was $1.79B RAUM, 8 reps). IAPD ↗
$1.79B RAUM · 8 reps · 512-275-2700
Recruiting & transitionsM&A & valuation
65
ZCM (CHICAGO, IL) left the SEC roster (was $6.61B RAUM, 28 reps). IAPD ↗
$6.61B RAUM · 28 reps · 312-368-1442
Recruiting & transitionsM&A & valuation
63
HARBOR FINANCIAL GROUP, INC. (BOULDER, CO) left the SEC roster (was $316.4M RAUM, 3 reps). IAPD ↗
$316.4M RAUM · 3 reps · 303-939-8788
Recruiting & transitionsM&A & valuation
63
SOUNDMARK WEALTH MANAGEMENT, LLC (KIRKLAND, WA) left the SEC roster (was $411.0M RAUM, 5 reps). IAPD ↗
$411.0M RAUM · 5 reps · 425-820-1769
Recruiting & transitionsM&A & valuation
63
CLEARLOGIC FINANCIAL, INC. (RESTON, VA) left the SEC roster (was $425.2M RAUM, 6 reps). IAPD ↗
$425.2M RAUM · 6 reps · 703-476-3521 · clearlogicfinancial.com
Recruiting & transitionsM&A & valuation
63
FULLEN FINANCIAL GROUP, INC. (COLUMBUS, OH) left the SEC roster (was $282.0M RAUM, 4 reps). IAPD ↗
$282.0M RAUM · 4 reps · 614-372-5430 · fullenfinancial.com
Recruiting & transitionsM&A & valuation
63
EFP ADVISORS (JACKSON, MS) left the SEC roster (was $282.8M RAUM, 3 reps). IAPD ↗
$282.8M RAUM · 3 reps · 601-206-0006
Recruiting & transitionsM&A & valuation
63
3D/L CAPITAL MANAGEMENT, LLC (HARTFORD, CT) left the SEC roster (was $574.1M RAUM, 10 reps). IAPD ↗
$574.1M RAUM · 10 reps · 860-291-1998 · sterlinggroupat3d.com
Recruiting & transitionsM&A & valuation
60
BASE MANAGEMENT CO (TOWSON, MD) left the SEC roster (was $79.6M RAUM, 1 reps). IAPD ↗
$79.6M RAUM · 1 reps · 410-583-4828 · basemanagement.com
Recruiting & transitionsM&A & valuation

…and 25 more in the CSV export.

Everything else — all segments

state expansion — 229 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
FORT WASHINGTON INVESTMENT ADVISORS INC notice-filed in AL, AR, IA, MN, MS, MT, NV, OK, OR, SC. IAPD ↗
$79.46B RAUM · 94 reps · 513-361-7600 · ohiocapitalfund.com
ComplianceMarketing & brand
55
CARRICK LANE LLC notice-filed in CO, CT, MA, MD, MO, NC, NV, OK, PA, SC, VA. IAPD ↗
$1.44B RAUM · 5 reps · 212-433-8450
ComplianceMarketing & brand
53
STRATEGIC WEALTH PARTNERS, LTD. notice-filed in IA, MI, MS, NE. IAPD ↗
$1.08B RAUM · 22 reps · (216) 800-9000 · swpconnect.com
ComplianceMarketing & brand
53
STRATEGIC WEALTH INVESTMENT GROUP, LLC notice-filed in AK, AL, MT, NH, NJ. IAPD ↗
$900.8M RAUM · 27 reps · 502-412-3354 · atasteofretirement.com
ComplianceMarketing & brand
53
KOVITZ INVESTMENT GROUP PARTNERS, LLC notice-filed in AL, AR, OK, WY. IAPD ↗
$11.29B RAUM · 99 reps · 312-334-7300 · kovitz.com
ComplianceMarketing & brand
53
HUMANKIND INVESTMENTS notice-filed in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
$396.1M RAUM · 5 reps · 646-838-4352
ComplianceMarketing & brand
53
THE NORDEN GROUP LLC notice-filed in AL, AR, HI, IL, IN, MA, MO, NC, NM, PA, VA. IAPD ↗
$987.2M RAUM · 12 reps · 801-331-5511 · thenordengroup.com
ComplianceMarketing & brand
53
STEADMONT ADVISORS, LLC notice-filed in FL, GA, LA, NE, SC, TN, TX. IAPD ↗
$308.1M RAUM · 4 reps · (205) 721-7005 · steadmontadvisors.com
ComplianceMarketing & brand
51
THE CAPROCK GROUP, LLC notice-filed in MI, NY, SC. IAPD ↗
$6.92B RAUM · 30 reps · (208) 368-9600
ComplianceMarketing & brand
51
COMPASS FINANCIAL GROUP, INC notice-filed in GA, IL, OK, WI. IAPD ↗
$995.0M RAUM · 7 reps · 605-338-7150 · compassfin.net
ComplianceMarketing & brand
51
AVEO CAPITAL PARTNERS, LLC notice-filed in NJ, SC, TN. IAPD ↗
$1.51B RAUM · 22 reps · (303) 552-0945
ComplianceMarketing & brand
51
TFO FAMILY OFFICE PARTNERS notice-filed in LA, NE, NH. IAPD ↗
$3.82B RAUM · 40 reps · 602-466-2611 · tfolifeacademy.com
ComplianceMarketing & brand
51
BISON WEALTH, LLC notice-filed in CO, MO, NE. IAPD ↗
$1.61B RAUM · 34 reps · 404-841-2224 · bisonwealth.com
ComplianceMarketing & brand
51
BLACKSTON FINANCIAL ADVISORY GROUP, LLC notice-filed in IN, MA, MN, WI. IAPD ↗
$252.5M RAUM · 4 reps · 352-633-9046
ComplianceMarketing & brand
51
MODERN WEALTH MANAGEMENT, LLC notice-filed in MD, NJ, PA. IAPD ↗
$2.07B RAUM · 36 reps · 913-393-1000
ComplianceMarketing & brand
50
CRAMER & RAUCHEGGER, INC. notice-filed in CA, GA, NC, NY, SC. IAPD ↗
$152.0M RAUM · 2 reps · 407-645-4433 · cramerandrauchegger.com
ComplianceMarketing & brand
50
ATLANTIC WEALTH PARTNERS, LLC notice-filed in DC, GA, NC, NY, PA. IAPD ↗
$227.7M RAUM · 3 reps · 561-632-0566 · atlanticwp.com
ComplianceMarketing & brand
50
EVERGREEN MONEY ADVISORS notice-filed in AK, AL, AR, AZ, CA, CO, CT, DC, DE, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
$102.8M RAUM · 12 reps · 844-383-3874 · evergreenmoney.com
ComplianceMarketing & brand
50
NECTARINE notice-filed in CT, DC, GA, NJ, WA, WI. IAPD ↗
$0 RAUM · 19 reps · (858) 779-0115
ComplianceMarketing & brand
50
STIRLINGSHIRE INVESTMENTS notice-filed in AK, AL, AR, CO, CT, DC, DE, HI, IA, ID, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, ND, NE, NH, NJ, NM, NV, OK, OR, PR, RI, SC, SD, TN, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
$37.0M RAUM · 11 reps · 877-600-7026
ComplianceMarketing & brand
50
GFG SOLUTIONS notice-filed in CA, DE, MI, TN, TX. IAPD ↗
$151.1M RAUM · 6 reps · (407) 627-0091 · gfgsolutions.com
ComplianceMarketing & brand
50
ALTITUDE CAPITAL MANAGEMENT LLC notice-filed in AZ, GA, IN, NV, OR, VA, WA, WI. IAPD ↗
$0 RAUM · 3 reps · 515-207-3310 · altitudecm.com
ComplianceMarketing & brand
50
INMAN JAGER WEALTH MANAGEMENT notice-filed in AL, FL, IL, LA, TX. IAPD ↗
$0 RAUM · 2 reps · (601) 602-3571 · inmanjagerwm.com
ComplianceMarketing & brand
50
RESHAPE WEALTH notice-filed in CA, CO, CT, FL, MA, NY, TX. IAPD ↗
$0 RAUM · 1 reps · 646-626-7902
ComplianceMarketing & brand
49
NORTHSIDE CAPITAL MANAGEMENT LLC notice-filed in FL, TX. IAPD ↗
$5.29B RAUM · 6 reps · 541-387-2080 · northsidecap.com
ComplianceMarketing & brand
49
AVISO WEALTH MANAGEMENT notice-filed in MI, NC, OH. IAPD ↗
$401.7M RAUM · 9 reps · 877-633-1210 · avisowealthmanagement.com
ComplianceMarketing & brand
49
JACKSON, GRANT INVESTMENT ADVISERS, INC. notice-filed in CO, NC, WA. IAPD ↗
$462.1M RAUM · 5 reps · 203-322-1198 · jacksongrant.us
ComplianceMarketing & brand
49
IMA ADVISORY SERVICES, INC. notice-filed in GA, MA, UT. IAPD ↗
$911.6M RAUM · 19 reps · 316-266-6574
ComplianceMarketing & brand
49
UNITED ADVISORS AMERICA notice-filed in AZ, CA, WA. IAPD ↗
$260.2M RAUM · 26 reps · 877-443-0610
ComplianceMarketing & brand
49
ROTHSCHILD CAPITAL PARTNERS notice-filed in DC, FL, NJ. IAPD ↗
$351.3M RAUM · 5 reps · 212-931-5303 · rothcap.com
ComplianceMarketing & brand
49
WEALTH MANAGEMENT ADVISORS, LLC notice-filed in CO, IL, VA. IAPD ↗
$465.3M RAUM · 6 reps · 864-236-4706 · wagnerwealthmanagement.com
ComplianceMarketing & brand
49
EQUITA FINANCIAL NETWORK, INC. notice-filed in CO, NM, NY. IAPD ↗
$283.1M RAUM · 8 reps · 800.604.0176
ComplianceMarketing & brand
49
PORTFOLIO DESIGN LABS, LLC notice-filed in AZ, IL, NJ. IAPD ↗
$276.2M RAUM · 1 reps · 310-755-0411
ComplianceMarketing & brand
49
PETREDIS INVESTMENT ADVISORS notice-filed in MA, SC. IAPD ↗
$1.11B RAUM · 5 reps · 878-231-4300 · petredisia.com
ComplianceMarketing & brand
49
GOLDEN STATE EQUITY PARTNERS, LLC notice-filed in NY, OH, TN. IAPD ↗
$743.7M RAUM · 24 reps · 866-273-1563 · schneider-wealth.com
ComplianceMarketing & brand
49
CATALYTIC WEALTH MANAGEMENT notice-filed in NY, VT. IAPD ↗
$1.71B RAUM · 15 reps · 617-234-7000 · catalyticwealth.com
ComplianceMarketing & brand
49
HAVEN PRIVATE notice-filed in LA, OH, TX. IAPD ↗
$319.7M RAUM · 4 reps · 321-329-8674 · havenprivate.com
ComplianceMarketing & brand
48
ACCELERATE RETIREMENT notice-filed in CO, MA, NM, NY. IAPD ↗
$104.0M RAUM · 18 reps · 888-439-7071
ComplianceMarketing & brand
48
MAIN ADVISORY, INC. notice-filed in LA, SC, TX, WV. IAPD ↗
$116.1M RAUM · 2 reps · 617-800-0388 · mainadvisory.com
ComplianceMarketing & brand
48
MINDSET WEALTH MANAGEMENT, LLC notice-filed in CO, IL, LA, TX. IAPD ↗
$205.7M RAUM · 4 reps · 317-348-4655 · mindsetwealthmanagement.com
ComplianceMarketing & brand
47
SUNBELT SECURITIES notice-filed in MT. IAPD ↗
$1.91B RAUM · 48 reps · 713-965-9510 · hbpartnersllc.com
ComplianceMarketing & brand
47
TIMUCUAN ASSET MANAGEMENT INC notice-filed in CO. IAPD ↗
$3.31B RAUM · 7 reps · 904-356-1739
ComplianceMarketing & brand
47
RETIREMENT INVESTMENT ADVISORS INC notice-filed in OR. IAPD ↗
$1.11B RAUM · 8 reps · 405-842-3443 · theretirementpath.com
ComplianceMarketing & brand
47
BOK FINANCIAL PRIVATE WEALTH, INC. notice-filed in NV. IAPD ↗
$2.82B RAUM · 16 reps · 303-539-0100 · bokfinancialprivatewealth.com
ComplianceMarketing & brand
47
TCI WEALTH ADVISORS, INC. notice-filed in LA. IAPD ↗
$4.09B RAUM · 28 reps · 520-733-1477
ComplianceMarketing & brand
47
ALTFEST PERSONAL WEALTH MANAGEMENT notice-filed in NV. IAPD ↗
$1.58B RAUM · 19 reps · 212-406-0850
ComplianceMarketing & brand
47
MONTEREY PRIVATE WEALTH, INC. notice-filed in MI. IAPD ↗
$1.01B RAUM · 8 reps · (831) 372-3426
ComplianceMarketing & brand
47
SEQUOIA FINANCIAL GROUP, L.L.C. notice-filed in VI. IAPD ↗
$17.87B RAUM · 143 reps · 330-375-9480
ComplianceMarketing & brand
47
MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC notice-filed in VA. IAPD ↗
$1.66B RAUM · 4 reps · 704-743-3335 · miracenter.com
ComplianceMarketing & brand
47
J.DEREK LEWIS & ASSOCIATES, INC. notice-filed in WI. IAPD ↗
$1.46B RAUM · 10 reps · 949-752-9096
ComplianceMarketing & brand
47
NADLER FINANCIAL GROUP, INC. notice-filed in VA. IAPD ↗
$1.61B RAUM · 13 reps · 847-940-4040 · nadlerfinancial.com
ComplianceMarketing & brand
47
RETIREMENT PLAN ADVISORS, LLC notice-filed in CA. IAPD ↗
$1.47B RAUM · 43 reps · 312-701-1100 · retirementplanadvisors.com
ComplianceMarketing & brand
47
THE RETIREMENT PLANNING GROUP, LLC notice-filed in HI. IAPD ↗
$2.01B RAUM · 19 reps · 913-498-8898
ComplianceMarketing & brand
47
GREENSPRING ADVISORS, LLC notice-filed in ME. IAPD ↗
$6.90B RAUM · 27 reps · 443-564-4600
ComplianceMarketing & brand
47
HEADWATER INVESTMENT CONSULTING,INC. notice-filed in NH, TX. IAPD ↗
$396.7M RAUM · 5 reps · 503-565-2100
ComplianceMarketing & brand
47
CLEARWATER CAPITAL PARTNERS notice-filed in ID. IAPD ↗
$1.23B RAUM · 12 reps · 847-841-8650
ComplianceMarketing & brand
47
ARISTA WEALTH MANAGEMENT, LLC notice-filed in FL, TN. IAPD ↗
$621.2M RAUM · 7 reps · 702-309-9970 · aristawealth.com
ComplianceMarketing & brand
47
CORNERSTONE ADVISORY notice-filed in MI. IAPD ↗
$1.74B RAUM · 8 reps · 410-468-1693 · cornerstoneadvisory.com
ComplianceMarketing & brand
47
MERIT FINANCIAL ADVISORS notice-filed in VI. IAPD ↗
$7.25B RAUM · 117 reps · 678-867-7050
ComplianceMarketing & brand
47
HARFST AND ASSOCIATES, INC. notice-filed in FL, NH. IAPD ↗
$629.5M RAUM · 3 reps · 307-218-5667 · harfstandassociates.com
ComplianceMarketing & brand
47
FIRST FINANCIAL COACHING, INC. notice-filed in DE, PA. IAPD ↗
$254.7M RAUM · 8 reps · 586-463-1880 · firstfinancialcoach.com
ComplianceMarketing & brand
47
RED DOOR WEALTH MANAGEMENT, LLC notice-filed in AZ. IAPD ↗
$1.79B RAUM · 8 reps · 901-681-0018
ComplianceMarketing & brand
47
CWA ASSET MANAGEMENT GROUP notice-filed in PR. IAPD ↗
$2.53B RAUM · 28 reps · 239-434-7434
ComplianceMarketing & brand
47
WILDCAT CAPITAL MANAGEMENT, LLC notice-filed in NY. IAPD ↗
$3.55B RAUM · 15 reps · 212-468-5100
ComplianceMarketing & brand
47
GOLDEN STATE WEALTH MANAGEMENT, LLC notice-filed in HI. IAPD ↗
$1.69B RAUM · 51 reps · 866.273.1563 · fagowealth.com
ComplianceMarketing & brand
47
THRIVE WEALTH MANAGEMENT, LLC notice-filed in GA. IAPD ↗
$1.09B RAUM · 13 reps · 215-376-5530 · thrivewealth.com
ComplianceMarketing & brand
47
FOURSTAR WEALTH ADVISORS, LLC notice-filed in MI. IAPD ↗
$1.02B RAUM · 39 reps · (312) 667-1750 · main.advisoryoptionsforcpas.com
ComplianceMarketing & brand
47
COOK WEALTH, LLC notice-filed in NH, PA. IAPD ↗
$475.0M RAUM · 10 reps · (919) 784-9100 · cookwealth.com
ComplianceMarketing & brand
47
SOUND INCOME STRATEGIES, LLC notice-filed in AK. IAPD ↗
$3.00B RAUM · 96 reps · 954-487-1860 · eissmanwealth.com
ComplianceMarketing & brand
47
PFG ADVISORS notice-filed in AK. IAPD ↗
$2.33B RAUM · 99 reps · (800) 405-8850 · calcoastcu.org
ComplianceMarketing & brand
47
SUMMIT TRAIL ADVISORS, LLC notice-filed in CO. IAPD ↗
$17.65B RAUM · 28 reps · 212-812-7010
ComplianceMarketing & brand
47
GIBBS WEALTH MANAGEMENT, LLC notice-filed in AL, NV. IAPD ↗
$391.4M RAUM · 10 reps · 678-694-8770
ComplianceMarketing & brand
47
BALBOA WEALTH PARTNERS, INC. notice-filed in NE, VA. IAPD ↗
$661.0M RAUM · 21 reps · 949-445-1465
ComplianceMarketing & brand
47
SUMMIT WEALTH STRATEGIES notice-filed in NC, SC. IAPD ↗
$790.5M RAUM · 19 reps · 636-532-0088
ComplianceMarketing & brand
47
CLEAR ROCK ADVISORS, LLC notice-filed in CA, LA. IAPD ↗
$429.9M RAUM · 6 reps · 830-315-2555
ComplianceMarketing & brand
47
FORGE FINANCIAL notice-filed in IA. IAPD ↗
$1.01B RAUM · 11 reps · 405-340-1600
ComplianceMarketing & brand
47
HAYS FINANCIAL GROUP, LLC notice-filed in FL. IAPD ↗
$5.10B RAUM · 4 reps · (612) 373-9863
ComplianceMarketing & brand
47
UX WEALTH PARTNERS LLC notice-filed in TX. IAPD ↗
$1.50B RAUM · 4 reps · 720-797-8357
ComplianceMarketing & brand
47
BURNHAM GIBSON WEALTH ADVISORS, LLC notice-filed in HI. IAPD ↗
$3.24B RAUM · 17 reps · 949-833-5700 · burnhamgibson.com
ComplianceMarketing & brand
47
GATEWAY WEALTH PARTNERS, LLC notice-filed in DE, VA. IAPD ↗
$891.6M RAUM · 51 reps · (920) 731-9293 · integratedwealthpartners.com
ComplianceMarketing & brand
47
ACORN CREEK CAPITAL LLC notice-filed in FL, GA. IAPD ↗
$421.3M RAUM · 3 reps · 970-818-4820 · acorncreekcapital.com
ComplianceMarketing & brand
47
STONEBRIDGE FINANCIAL GROUP, LLC notice-filed in IL. IAPD ↗
$1.58B RAUM · 17 reps · 717-736-7007
ComplianceMarketing & brand
47
TIDEMARK, LLC notice-filed in FL, NH. IAPD ↗
$250.5M RAUM · 6 reps · 888-791-0197
ComplianceMarketing & brand
47
PROMETHIUM notice-filed in NY, VA. IAPD ↗
$281.9M RAUM · 2 reps · 202-978-2519 · promethiumadvisors.com
ComplianceMarketing & brand
46
TRU INDEPENDENCE ASSET MANAGEMENT 2 notice-filed in IA, TN, TX. IAPD ↗
$117.2M RAUM · 4 reps · 971-371-3444 · relywealth.us
ComplianceMarketing & brand
46
ASSUREDPARTNERS INVESTMENT ADVISORS notice-filed in AL, MS, TN. IAPD ↗
$179.0M RAUM · 15 reps · 407-708-0050 · apadvisors.com
ComplianceMarketing & brand
46
FAITH INVESTOR SERVICES notice-filed in CO, IL, NE. IAPD ↗
$110.3M RAUM · 5 reps · (214) 462-7244
ComplianceMarketing & brand
46
DISCIPLINE WEALTH SOLUTIONS, INC. notice-filed in GA, MA, NC. IAPD ↗
$93.0M RAUM · 3 reps · 864-322-6046 · stahlneckergroup.com
ComplianceMarketing & brand
46
NICHOLSON WEALTH MANAGEMENT GROUP, LLC notice-filed in FL, NC, TX. IAPD ↗
$226.3M RAUM · 3 reps · 843-790-2625
ComplianceMarketing & brand
46
210 FINANCIAL notice-filed in FL, IN, NY. IAPD ↗
$116.8M RAUM · 3 reps · 309-263-1333
ComplianceMarketing & brand
46
HAAS FINANCIAL, INC. notice-filed in AZ, MN, TX. IAPD ↗
$75.2M RAUM · 1 reps · (651) 328-8070 · davidhaasfinancial.com
ComplianceMarketing & brand
46
FRIDAY FINANCIAL notice-filed in IL, TX, WI. IAPD ↗
$129.1M RAUM · 4 reps · (563) 552-7526
ComplianceMarketing & brand
46
TAIKO PRIVATE WEALTH notice-filed in CA, FL, WI. IAPD ↗
$0 RAUM · 2 reps · 3123004781
ComplianceMarketing & brand
45
BCG SECURITIES, INC. notice-filed in AK. IAPD ↗
$685.8M RAUM · 30 reps · 856-393-1950 · michaelrochonchou.com
ComplianceMarketing & brand
45
ARCADIA INVESTMENT MANAGEMENT CORP notice-filed in CA. IAPD ↗
$586.1M RAUM · 3 reps · 269/349-0800 · arcimc.com
ComplianceMarketing & brand
45
RUGGAARD & ASSOCIATES notice-filed in LA. IAPD ↗
$312.2M RAUM · 6 reps · (330) 487-5888 · ruggaard.net
ComplianceMarketing & brand
45
THE L. WARNER COMPANIES, INC notice-filed in MA. IAPD ↗
$657.4M RAUM · 12 reps · 410-252-0808 · lwarner.com
ComplianceMarketing & brand
45
LEGEND FINANCIAL ADVISORS INC notice-filed in NJ. IAPD ↗
$308.5M RAUM · 4 reps · 412-635-9210 · legend-financial.com
ComplianceMarketing & brand
45
THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC. notice-filed in NY. IAPD ↗
$278.8M RAUM · 3 reps · 401-453-5558 · retirementplanningco.com
ComplianceMarketing & brand
45
INVESTMENT MANAGEMENT ASSOCIATES notice-filed in NE. IAPD ↗
$515.4M RAUM · 2 reps · 303-796-8333
ComplianceMarketing & brand
45
MARINER INSTITUTIONAL, LLC notice-filed in KY. IAPD ↗
$976.6M RAUM · 89 reps · 844-442-6326
ComplianceMarketing & brand
45
DEW WEALTH MANAGEMENT notice-filed in PA. IAPD ↗
$293.9M RAUM · 21 reps · 480-614-9119
ComplianceMarketing & brand
45
EATON-CAMBRIDGE INC. notice-filed in NC. IAPD ↗
$319.9M RAUM · 4 reps · (480) 385-7399 · eatoncambridge.com
ComplianceMarketing & brand
45
WRIGHT ASSOCIATES notice-filed in MD. IAPD ↗
$305.6M RAUM · 4 reps · 412-854-2100 · kswrightassociates.com
ComplianceMarketing & brand
45
MCCLARREN FINANCIAL ADVISORS notice-filed in LA. IAPD ↗
$341.8M RAUM · 7 reps · 814-235-1940 · mcclarren.com
ComplianceMarketing & brand
45
CONFIDENCE WEALTH MANAGEMENT, LLC notice-filed in AL. IAPD ↗
$267.1M RAUM · 11 reps · 310-824-1000
ComplianceMarketing & brand
45
PARK PIEDMONT ADVISORS LLC notice-filed in OH. IAPD ↗
$862.0M RAUM · 7 reps · 312-722-6760
ComplianceMarketing & brand
45
LBJ FAMILY WEALTH ADVISORS, LTD. notice-filed in CO. IAPD ↗
$318.6M RAUM · 2 reps · 512-457-5000 · lbjadvisors.com
ComplianceMarketing & brand
45
EVEREST FINANCIAL GROUP notice-filed in PA. IAPD ↗
$828.9M RAUM · 14 reps · 763-923-7525 · everestfg.us
ComplianceMarketing & brand
45
PUBLIC SAFETY FINANCIAL/GALLOWAY notice-filed in NC. IAPD ↗
$792.7M RAUM · 27 reps · 480-325-8668
ComplianceMarketing & brand
45
HENRICKSON NAUTA WEALTH ADVISORS, INC. notice-filed in NY. IAPD ↗
$528.4M RAUM · 6 reps · 616-361-9308 · hnwealthadvisors.com
ComplianceMarketing & brand
45
MERIT FINANCIAL PARTNERS LLC notice-filed in PA. IAPD ↗
$257.1M RAUM · 6 reps · 718-898-0871 · meritfinancialpartners.com
ComplianceMarketing & brand
45
COPPERWYND FINANCIAL notice-filed in AK. IAPD ↗
$530.6M RAUM · 5 reps · 480-348-2100
ComplianceMarketing & brand
45
MKD WEALTH COACHES, LLC notice-filed in LA. IAPD ↗
$359.8M RAUM · 4 reps · 248-418-5100 · mkdwealthcoach.com
ComplianceMarketing & brand
45
TRADEWINDS CAPITAL MANAGEMENT, LLC notice-filed in WI. IAPD ↗
$523.7M RAUM · 7 reps · 360-715-9000
ComplianceMarketing & brand
45
RDA FINANCIAL NETWORK notice-filed in VI. IAPD ↗
$493.7M RAUM · 18 reps · 888-300-4975
ComplianceMarketing & brand
45
DLK INVESTMENT MANAGEMENT notice-filed in UT. IAPD ↗
$348.3M RAUM · 6 reps · 858.433.3200 · dlkinvest.com
ComplianceMarketing & brand
45
NIKULSKI FINANCIAL, INC. notice-filed in FL. IAPD ↗
$305.5M RAUM · 4 reps · 563-344-0118
ComplianceMarketing & brand
45
SB ADVISORY, LLC notice-filed in MS. IAPD ↗
$285.9M RAUM · 29 reps · 404-704-0406 · pnwadvisory.com
ComplianceMarketing & brand
45
AVIER WEALTH ADVISORS notice-filed in AK. IAPD ↗
$786.0M RAUM · 14 reps · 425-467-1011 · avieradvisors.com
ComplianceMarketing & brand
45
FSA INVESTMENT GROUP, LLC notice-filed in GA. IAPD ↗
$598.2M RAUM · 8 reps · (850) 696-1550
ComplianceMarketing & brand
45
INVEX ADVISORS LLC notice-filed in TX. IAPD ↗
$534.7M RAUM · 6 reps · 786-425-1717
ComplianceMarketing & brand
45
WEALTHSTAR ADVISORS, LLC notice-filed in MA. IAPD ↗
$671.5M RAUM · 10 reps · 972-372-2935
ComplianceMarketing & brand
45
INTEGRATED FINANCIAL STRATEGIES, LLC notice-filed in NE. IAPD ↗
$397.7M RAUM · 6 reps · 704-643-5000 · ifsinvest.com
ComplianceMarketing & brand
45
MBE WEALTH MANAGEMENT, LLC notice-filed in NE. IAPD ↗
$725.5M RAUM · 8 reps · 608-372-5521 · mbewealth.com
ComplianceMarketing & brand
45
GARRISON POINT CAPITAL, LLC notice-filed in UT. IAPD ↗
$485.2M RAUM · 3 reps · 415-887-1410 · garpc.com
ComplianceMarketing & brand
45
OCCIDENTAL ASSET MANAGEMENT, LLC notice-filed in VI. IAPD ↗
$625.5M RAUM · 10 reps · 650-344-1600 · yourmentalwealthadvisors.com
ComplianceMarketing & brand
45
MBM WEALTH CONSULTANTS, LLC notice-filed in VA. IAPD ↗
$335.0M RAUM · 6 reps · (636) 274-6262
ComplianceMarketing & brand
45
FIDUCIARY FINANCIAL ADVISORS notice-filed in GA. IAPD ↗
$555.4M RAUM · 22 reps · 6166223062
ComplianceMarketing & brand
45
ATON FINANCIAL LLC notice-filed in TX. IAPD ↗
$428.9M RAUM · 7 reps · 787-725-6070 · atonfinancial.com
ComplianceMarketing & brand
45
THE MAIN STREET GROUP notice-filed in SC. IAPD ↗
$324.9M RAUM · 9 reps · 804-270-4470
ComplianceMarketing & brand
45
AURORA PRIVATE WEALTH, INC. notice-filed in MI. IAPD ↗
$363.3M RAUM · 20 reps · 973-394-0404
ComplianceMarketing & brand
45
VERMILLION WEALTH MANAGEMENT INC. notice-filed in AZ. IAPD ↗
$307.9M RAUM · 4 reps · 651-480-4601 · vermillionwealthmanagement.com
ComplianceMarketing & brand
45
TCP ASSET MANAGEMENT, LLC notice-filed in NV. IAPD ↗
$641.8M RAUM · 16 reps · 614-761-9378 · tcpasset.com
ComplianceMarketing & brand
45
STONE OAK WEALTH MANAGEMENT, LLC notice-filed in LA. IAPD ↗
$302.3M RAUM · 7 reps · 210-339-2707
ComplianceMarketing & brand
45
LIFEWORKS ADVISORS, LLC notice-filed in MT. IAPD ↗
$421.8M RAUM · 24 reps · (616) 200-6512
ComplianceMarketing & brand
45
WEALTH ADVISORY SOLUTIONS, LLC notice-filed in MI. IAPD ↗
$535.4M RAUM · 11 reps · 317-559-0688
ComplianceMarketing & brand
45
WIDMANN FINANCIAL SERVICES notice-filed in SC. IAPD ↗
$341.5M RAUM · 10 reps · 301-262-2919 · widmannfinancial.com
ComplianceMarketing & brand
45
SOVEREIGN FINANCIAL GROUP, INC. notice-filed in AZ. IAPD ↗
$716.9M RAUM · 16 reps · (888) 765-8180 · sfgroupinc.com
ComplianceMarketing & brand
45
COUNCIL OAK WEALTH ADVISORS notice-filed in CO. IAPD ↗
$391.0M RAUM · 5 reps · 918-984-9110 · counciloakinvestments.com
ComplianceMarketing & brand
45
SANDBOX FINANCIAL PARTNERS, LLC notice-filed in MI. IAPD ↗
$463.7M RAUM · 5 reps · (301) 214-4190 · sandboxfp.com
ComplianceMarketing & brand
45
CROWN WEALTH GROUP LLC notice-filed in AZ. IAPD ↗
$257.2M RAUM · 7 reps · (704)360-3995 · crownwealthgroup.com
ComplianceMarketing & brand
45
COREPATH WEALTH PARTNERS LLC notice-filed in OR. IAPD ↗
$348.2M RAUM · 6 reps · (480) 448-0334 · corepathwealthpartners.com
ComplianceMarketing & brand
45
JACKSON SQUARE CAPITAL, LLC notice-filed in MA. IAPD ↗
$393.7M RAUM · 5 reps · 415-854-5011 · jacksonsquarecap.com
ComplianceMarketing & brand
45
CARTER FINANCIAL GROUP, INC. notice-filed in TN. IAPD ↗
$291.0M RAUM · 4 reps · 847-713-2700
ComplianceMarketing & brand
45
SIGNAL ADVISORS WEALTH, LLC notice-filed in NE. IAPD ↗
$465.3M RAUM · 5 reps · 1-866-774-4625
ComplianceMarketing & brand
45
MADISON PARTNERS notice-filed in LA. IAPD ↗
$559.0M RAUM · 9 reps · 608-210-1021
ComplianceMarketing & brand
45
QUANTUM PRIVATE WEALTH, LLC notice-filed in MN. IAPD ↗
$307.8M RAUM · 1 reps · 954-880-1400 · quantumprivatewealth.com
ComplianceMarketing & brand
45
TACTIVE ADVISORS, LLC notice-filed in NY. IAPD ↗
$405.8M RAUM · 1 reps · 855-282-2848 · pcliftonfinancial.com
ComplianceMarketing & brand
45
FORTIS CAPITAL ADVISORS, LLC notice-filed in MO. IAPD ↗
$331.8M RAUM · 24 reps · (775) 446-4208 · fortiscapitaladvisors.com
ComplianceMarketing & brand
45
EDGEROCK WEALTH MANAGEMENT notice-filed in FL. IAPD ↗
$325.1M RAUM · 9 reps · 303.780.7350
ComplianceMarketing & brand
45
GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC notice-filed in NV. IAPD ↗
$290.5M RAUM · 7 reps · 720-420-4870 · gwsa.us
ComplianceMarketing & brand
45
CLARENDON PRIVATE LLC notice-filed in NY. IAPD ↗
$328.6M RAUM · 7 reps · (617) 927 7999 · clarendonprivate.com
ComplianceMarketing & brand
45
SAVVY notice-filed in IA. IAPD ↗
$401.3M RAUM · 10 reps · 833-745-6789
ComplianceMarketing & brand
45
RESOLUTE WEALTH STRATEGIES, LLC notice-filed in CO. IAPD ↗
$259.2M RAUM · 4 reps · 601-952-8850 · theresoluteadvisor.com
ComplianceMarketing & brand
45
49 FINANCIAL notice-filed in KS. IAPD ↗
$566.2M RAUM · 74 reps · 214-563-1190
ComplianceMarketing & brand
45
TRUENORTH WEALTH & IMPACT, LLC notice-filed in LA. IAPD ↗
$426.1M RAUM · 2 reps · 417-434-9400 · findtruenorth.com
ComplianceMarketing & brand
45
EQ WEALTH ADVISORS notice-filed in FL. IAPD ↗
$470.4M RAUM · 5 reps · 214-389-6750 · eqwealthadv.com
ComplianceMarketing & brand
45
LINDBERG & RIPPLE notice-filed in TX. IAPD ↗
$932.9M RAUM · 12 reps · 561-323-2265
ComplianceMarketing & brand
45
FREEDOM FIDUCIARIES LLC notice-filed in WA. IAPD ↗
$263.8M RAUM · 3 reps · 208-900-4331
ComplianceMarketing & brand
45
VICTORY FINANCIAL notice-filed in IL. IAPD ↗
$288.8M RAUM · 12 reps · (512) 763-7671 · victoryfinancialgroup.com
ComplianceMarketing & brand
45
SPIREPOINT PRIVATE CLIENT, LLC notice-filed in PA. IAPD ↗
$934.1M RAUM · 5 reps · 772-316-1271 · spirepointpc.com
ComplianceMarketing & brand
44
QUINT CAPITAL MANAGEMENT notice-filed in CA, LA. IAPD ↗
$146.5M RAUM · 15 reps · 212-682-5090 · quintcapital.com
ComplianceMarketing & brand
44
ELEVAGE PARTNERS, LLC notice-filed in ID, OH. IAPD ↗
$143.8M RAUM · 5 reps · (800) 725-1622 · elevagepartners.com
ComplianceMarketing & brand
44
ELYSIUM WEALTH MANAGEMENT, LLC notice-filed in CA, ID. IAPD ↗
$116.0M RAUM · 6 reps · 801-735-8407 · ut.myelysium.com
ComplianceMarketing & brand
44
KAPSTONE FINANCIAL ADVISORS LLC notice-filed in NE, NH. IAPD ↗
$204.8M RAUM · 3 reps · (937) 751-1000 · kapstoneadvisors.com
ComplianceMarketing & brand
44
OXFORD WEALTH GROUP, LLC notice-filed in GA, PA. IAPD ↗
$198.9M RAUM · 7 reps · 407-495-2004
ComplianceMarketing & brand
44
HASENBERG FINANCIAL GROUP notice-filed in CO, FL. IAPD ↗
$199.6M RAUM · 3 reps · 715-839-6566 · hasenberginc.com
ComplianceMarketing & brand
42
W&S BROKERAGE SERVICES, INC. notice-filed in WA. IAPD ↗
$122.9M RAUM · 73 reps · 800-257-2135
ComplianceMarketing & brand
42
HORACE MANN INVESTORS, INC. notice-filed in WA. IAPD ↗
$62.1M RAUM · 63 reps · 217-789-2500
ComplianceMarketing & brand
42
FINANCIAL CONCEPTS UNLIMITED, INC. notice-filed in MS. IAPD ↗
$154.1M RAUM · 3 reps · 866-444-5122 · fcuinc.com
ComplianceMarketing & brand
42
SPRENG CAPITAL MANAGEMENT, INC. notice-filed in MI. IAPD ↗
$219.7M RAUM · 2 reps · 419-563-0084 · sprengcapital.com
ComplianceMarketing & brand
42
SAXONY CAPITAL MANAGEMENT, LLC notice-filed in GA. IAPD ↗
$239.3M RAUM · 0 reps · 314-963-9336 · saxonycapitalmanagement.com
ComplianceMarketing & brand
42
CREW CAPITAL MANAGEMENT, LTD. notice-filed in MT. IAPD ↗
$183.1M RAUM · 7 reps · 513-618-6460 · crewcapital.com
ComplianceMarketing & brand
42
C.W. O'CONNER WEALTH ADVISORS, INC. notice-filed in SC. IAPD ↗
$214.7M RAUM · 2 reps · 770-368-9919 · cwoconner.com
ComplianceMarketing & brand
42
MINERVA PLANNING GROUP notice-filed in NC. IAPD ↗
$160.6M RAUM · 2 reps · 404-816-6688
ComplianceMarketing & brand
42
FOUR QUADRANT WEALTH ADVISORS, INC. notice-filed in IL. IAPD ↗
$134.9M RAUM · 6 reps · 877-441-5144
ComplianceMarketing & brand
42
DAVIES FINANCIAL ADVISORS, INC. notice-filed in TN. IAPD ↗
$165.3M RAUM · 4 reps · 951-677-3960
ComplianceMarketing & brand
42
INDEPENDENCE WEALTH ADVISORS INC. notice-filed in NC. IAPD ↗
$202.4M RAUM · 1 reps · 703-752-6000
ComplianceMarketing & brand
42
GUARDIAN ASSET ADVISORS, LLC notice-filed in DE. IAPD ↗
$200.5M RAUM · 7 reps · 717-691-3003 · sentinelintegratedplanning.com
ComplianceMarketing & brand
42
ARCHER INVESTMENT MANAGEMENT notice-filed in NY. IAPD ↗
$229.6M RAUM · 2 reps · 800-840-5946 · archerim.com
ComplianceMarketing & brand
42
LUESINK STENSTROM FINANCIAL notice-filed in NJ. IAPD ↗
$70.5M RAUM · 2 reps · 212-405-1609 · luesinkstenstrom.com
ComplianceMarketing & brand
42
LEGACY ADVISORY SERVICES, LLC notice-filed in FL. IAPD ↗
$131.9M RAUM · 3 reps · 610-524-6801 · legacyadvisorypa.com
ComplianceMarketing & brand
42
INTEGRITY INVESTMENT ADVISORS notice-filed in CA. IAPD ↗
$104.5M RAUM · 2 reps · 303-549-4720
ComplianceMarketing & brand
42
SAGE STONE WEALTH MANAGEMENT LLC notice-filed in ID. IAPD ↗
$198.7M RAUM · 2 reps · 858-412-6404 · sagestonewealth.com
ComplianceMarketing & brand
42
INTERWEALTH MANAGEMENT, LLC notice-filed in FL. IAPD ↗
$209.8M RAUM · 4 reps · 480-397-2691 · interwealthmgt.com
ComplianceMarketing & brand
42
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC notice-filed in NH. IAPD ↗
$120.8M RAUM · 25 reps · 212-687-5650 · alexandercapitalwealthmanagement.com
ComplianceMarketing & brand
42
FAIRSCALE CAPITAL, LLC notice-filed in TX. IAPD ↗
$132.5M RAUM · 3 reps · 603-318-7337
ComplianceMarketing & brand
42
RUTHERFORD INVESTMENT MANAGEMENT notice-filed in CA. IAPD ↗
$173.4M RAUM · 4 reps · 503-452-1210 · rutherfordinvestment.com
ComplianceMarketing & brand
42
KOTYS WEALTH PROFESSIONALS notice-filed in CA. IAPD ↗
$223.4M RAUM · 4 reps · 219-465-6924
ComplianceMarketing & brand
42
HENDERSHOTT WEALTH MANAGEMENT, LLC notice-filed in PR. IAPD ↗
$169.3M RAUM · 3 reps · 408-769-3005 · hilaryhendershottwealthmanagement.com
ComplianceMarketing & brand
42
SIMMONS CAPITAL GROUP notice-filed in SC. IAPD ↗
$211.5M RAUM · 4 reps · (518) 406-5624 · simmonscapitalgroup.com
ComplianceMarketing & brand
42
PROTA FINANCIAL notice-filed in NE. IAPD ↗
$182.0M RAUM · 12 reps · 713-568-8171
ComplianceMarketing & brand
42
THINKING BIG FINANCIAL notice-filed in CA. IAPD ↗
$60.1M RAUM · 2 reps · (973) 224-1145
ComplianceMarketing & brand
42
BOERUM HILL FINANCIAL ADVISORS LLC notice-filed in NH. IAPD ↗
$28.3M RAUM · 1 reps · (516) 695-1610
ComplianceMarketing & brand
42
MILLENNIAL WEALTH notice-filed in PA. IAPD ↗
$145.6M RAUM · 3 reps · (206) 207-8426
ComplianceMarketing & brand
42
VAN CLEMENS WEALTH MANAGEMENT, LLC notice-filed in MD. IAPD ↗
$105.9M RAUM · 16 reps · 612-758-9140 · vanclemens.com
ComplianceMarketing & brand
42
CAPITAL WEALTH ALLIANCE, LLC notice-filed in NH. IAPD ↗
$235.5M RAUM · 4 reps · 480-948-7590 · capitalwealthalliance.com
ComplianceMarketing & brand
42
FUTURE YOU WEALTH notice-filed in CT. IAPD ↗
$101.0M RAUM · 3 reps · (917) 397-6531 · futureyouwealth.com
ComplianceMarketing & brand
42
TENON FINANCIAL notice-filed in NH. IAPD ↗
$130.9M RAUM · 2 reps · 732-902-0066 · tenonfinancial.com
ComplianceMarketing & brand
42
STONEKEEP INVESTMENTS, LLC notice-filed in NM. IAPD ↗
$137.8M RAUM · 2 reps · 615-975-3635 · stonekeepinvestments.com
ComplianceMarketing & brand
42
DAVID JAMES FINANCIAL notice-filed in LA. IAPD ↗
$96.6M RAUM · 3 reps · 319 535-4525 · lanefamilywm.com
ComplianceMarketing & brand
42
KUHN & COMPANY INVESTMENT COUNSEL, LLC notice-filed in IN. IAPD ↗
$131.2M RAUM · 3 reps · 630-416-7700
ComplianceMarketing & brand
42
ADVISOR SHARE WEALTH MANAGEMENT notice-filed in PA. IAPD ↗
$48.0M RAUM · 22 reps · 866-232-3251 · aswealthmanagement.com
ComplianceMarketing & brand
42
COLORADO WEALTH GROUP LLC notice-filed in KY. IAPD ↗
$175.8M RAUM · 9 reps · 720-729-2500 · coloradowealthgroup.com
ComplianceMarketing & brand
42
15 EQUITY notice-filed in NC. IAPD ↗
$116.4M RAUM · 3 reps · 805-456-4426 · 15equity.com
ComplianceMarketing & brand
42
BLOM & HOWELL FINANCIAL PLANNING, INC. notice-filed in CO. IAPD ↗
$127.4M RAUM · 3 reps · 209-857-5207
ComplianceMarketing & brand
42
BULMAN WEALTH GROUP notice-filed in TN. IAPD ↗
$148.2M RAUM · 5 reps · 916-458-8199 · bulmanwealth.com
ComplianceMarketing & brand
42
ALPHA OMEGA FINANCIAL notice-filed in DE. IAPD ↗
$139.3M RAUM · 1 reps · 410-592-8936
ComplianceMarketing & brand
42
BLUEPRINT FINANCIAL ADVISORS notice-filed in GA. IAPD ↗
$132.5M RAUM · 14 reps · 336-609-7522 · buildyourblueprint.com
ComplianceMarketing & brand
42
COVE PRIVATE WEALTH, LLC notice-filed in TX. IAPD ↗
$200.2M RAUM · 1 reps · 516-588-1123 · coveprivatewealth.com
ComplianceMarketing & brand
42
STRADA FINANCIAL GROUP LLC notice-filed in AZ. IAPD ↗
$100.3M RAUM · 1 reps · 503-667-5355
ComplianceMarketing & brand
42
OLA INVIERTE, LLC notice-filed in CA. IAPD ↗
$0 RAUM · 1 reps · 4159969267 · olainvierte.com
ComplianceMarketing & brand
42
FUNDIFY ADVISORS LLC notice-filed in MO. IAPD ↗
$0 RAUM · 3 reps · 512-645-1010 · fundify.com
ComplianceMarketing & brand
42
TITAN CAPITAL MANAGEMENT notice-filed in AZ. IAPD ↗
$100.9M RAUM · 2 reps · (209) 529-3089 · titanmanagers.com
ComplianceMarketing & brand
42
STEWARD ADVISORS GROUP, LLC notice-filed in SC. IAPD ↗
$35.5M RAUM · 6 reps · (888) 225-3350 · stewardadvisorsgroup.com
ComplianceMarketing & brand
42
MARIDEA WEALTH MANAGEMENT notice-filed in CA. IAPD ↗
$0 RAUM · 4 reps · 269-598-0939 · marideawealth.com
ComplianceMarketing & brand
42
E6 PORTFOLIOS notice-filed in TX. IAPD ↗
$4.8M RAUM · 3 reps · 801-545-8706
ComplianceMarketing & brand
42
COVINGTONALSINA notice-filed in SC. IAPD ↗
$148.9M RAUM · 4 reps · 410-457-7165
ComplianceMarketing & brand
42
AZURA PARTNERS US LLC notice-filed in FL. IAPD ↗
$25.0M RAUM · 2 reps · 347-249-2369 · azura.com
ComplianceMarketing & brand
42
MINDORO CAPITAL PARTNERS LLC notice-filed in VA. IAPD ↗
$0 RAUM · 3 reps · (617) 214-2313 · mindoro.com
ComplianceMarketing & brand
42
SEVENTWO, LLC notice-filed in UT. IAPD ↗
$0 RAUM · 5 reps · (617) 800-0388
ComplianceMarketing & brand
42
WEALTHCARE CAPITAL PARTNERS, LLC notice-filed in MD. IAPD ↗
$0 RAUM · 1 reps · 804.644.4711
ComplianceMarketing & brand
38
MARSHALL WACE NORTH AMERICA L.P. notice-filed in CA, MA, PA, TX. IAPD ↗fund
$28.56B RAUM · 89 reps · 212-235-2800
ComplianceMarketing & brand
37
HSBC GLOBAL ASSET MANAGEMENT (USA) INC. notice-filed in FL. IAPD ↗institutional
$150.50B RAUM · 60 reps · 212-525-1066 · assetmanagement.us.hsbc.com
ComplianceMarketing & brand
35
AECOM CAPITAL REAL ESTATE, LLC notice-filed in TX. IAPD ↗institutional
$580.7M RAUM · 1 reps · 213-593-8100
ComplianceMarketing & brand
32
COREBRIDGE INSTITUTIONAL INVESTMENTS (U.S.), LLC notice-filed in NJ. IAPD ↗fund
$139.89B RAUM · 299 reps · 212-458-6082 · corebridgefinancial.com
ComplianceMarketing & brand
32
59 NORTH CAPITAL MANAGEMENT, LP notice-filed in TX. IAPD ↗fund
$2.47B RAUM · 4 reps · (713) 955-4809
ComplianceMarketing & brand
30
CHICAGO ATLANTIC ADVISERS, LLC notice-filed in WI. IAPD ↗fund
$679.1M RAUM · 36 reps · 312-809-7002 · chicagoatlantic.com
ComplianceMarketing & brand
new registration — 139 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
100
TIDE CYCLE RESOURCES LLC (PORTSMOUTH, NH) is newly SEC-registered with $1.40B RAUM and 1 advisory reps. IAPD ↗
$1.40B RAUM · 1 reps · 207-752-3154
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LONG ISLAND FINANCIAL GROUP, INC (location n/a) is newly SEC-registered with $36.5M RAUM and 1 advisory reps. IAPD ↗
$36.5M RAUM · 1 reps · 516-741-1966
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT INVESTMENT ADVISORS INC (BEACHWOOD, OH) is newly SEC-registered with $114.8M RAUM and 2 advisory reps. IAPD ↗
$114.8M RAUM · 2 reps · 216-514-5151 · 1800newport.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ADVANTAGE INVESTING, INC. (CHESAPEAKE, VA) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
$102.2M RAUM · 2 reps · 757-547-8257 · advantageinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARNOLD CASTELLANO AND ASSOCIATES, LLC (SHREVEPORT, LA) is newly SEC-registered with $113.7M RAUM and 3 advisory reps. IAPD ↗
$113.7M RAUM · 3 reps · 318-683-1040 · todaycpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APPALACHIAN CAPITAL MANAGEMENT (ST. CLAIRSVILLE, OH) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
$132.4M RAUM · 1 reps · 740-695-3434 · appcapitalmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHALLENGER WEALTH MANAGEMENT (ALISO VIEJO, CA) is newly SEC-registered with $177.3M RAUM and 1 advisory reps. IAPD ↗
$177.3M RAUM · 1 reps · (949) 754-0464
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE WATER CAPITAL MANAGEMENT, LLC (APEX, NC) is newly SEC-registered with $128.0M RAUM and 3 advisory reps. IAPD ↗
$128.0M RAUM · 3 reps · 919-589-2528 · bluewaterportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCCARTHY WEALTH & TAX ADVISORS (SPRINGBORO, OH) is newly SEC-registered with $133.2M RAUM and 3 advisory reps. IAPD ↗
$133.2M RAUM · 3 reps · 937-748-4765 · mccarthywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FR FINANCIAL ADVISORS LLC (CORAL SPRINGS, FL) is newly SEC-registered with $109.5M RAUM and 2 advisory reps. IAPD ↗
$109.5M RAUM · 2 reps · 954-755-0222 · fradv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SNOWBALL WEALTH MANAGEMENT (BOULDER, CO) is newly SEC-registered with $123.5M RAUM and 3 advisory reps. IAPD ↗
$123.5M RAUM · 3 reps · 303-666-6292 · snowballwm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PERIOPE, LC (ST. GEORGE, UT) is newly SEC-registered with $124.9M RAUM and 2 advisory reps. IAPD ↗
$124.9M RAUM · 2 reps · 435-634-9008 · periope.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CYPRESS ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $134.7M RAUM and 2 advisory reps. IAPD ↗
$134.7M RAUM · 2 reps · 309-679-9146 · betterwaywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLOCK WEALTH MANAGEMENT, INC (location n/a) is newly SEC-registered with $127.5M RAUM and 1 advisory reps. IAPD ↗
$127.5M RAUM · 1 reps · (760) 796-5550
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAVEN CAPITAL GROUP (WESTLAKE VILLAGE, CA) is newly SEC-registered with $118.9M RAUM and 1 advisory reps. IAPD ↗
$118.9M RAUM · 1 reps · 805-963-9050 · havencapitalgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TNT ASSET MANAGEMENT, LLC (ROUND ROCK, TX) is newly SEC-registered with $122.3M RAUM and 4 advisory reps. IAPD ↗
$122.3M RAUM · 4 reps · 512 255-1600 · tntfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HALL CAPITAL, LLC (PASADENA, CA) is newly SEC-registered with $107.3M RAUM and 1 advisory reps. IAPD ↗
$107.3M RAUM · 1 reps · 626-578-5700 · hallcapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HINCHLEY ADVISORY GROUP, LLC (CENTENNIAL, CO) is newly SEC-registered with $124.7M RAUM and 1 advisory reps. IAPD ↗
$124.7M RAUM · 1 reps · 303-284-8081 · hinchleyandco.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALLER FINANCIAL SERVICES, INC. (CENTENNIAL, CO) is newly SEC-registered with $126.0M RAUM and 2 advisory reps. IAPD ↗
$126.0M RAUM · 2 reps · 303-858-0045 · pallerfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INVESTORS MOSAIC (location n/a) is newly SEC-registered with $119.5M RAUM and 2 advisory reps. IAPD ↗
$119.5M RAUM · 2 reps · (617) 272-0006 · investorsmosaic.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FULCRUM WEALTH ADVISORS, LLC (BELLEVUE, WA) is newly SEC-registered with $105.7M RAUM and 3 advisory reps. IAPD ↗
$105.7M RAUM · 3 reps · 425-250-6280
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HIPPOCRATIC FINANCIAL ADVISORS (WESTLAKE VILLAGE, CA) is newly SEC-registered with $123.0M RAUM and 4 advisory reps. IAPD ↗
$123.0M RAUM · 4 reps · 866-447-2380 · hippocraticfa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHUNG WU INVESTMENT GROUP, LLC (SUGAR LAND, TX) is newly SEC-registered with $110.4M RAUM and 2 advisory reps. IAPD ↗
$110.4M RAUM · 2 reps · (281) 203-0069 · cw-investmentgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HORSE COVE PARTNERS LLC (ATLANTA, GA) is newly SEC-registered with $102.0M RAUM and 4 advisory reps. IAPD ↗
$102.0M RAUM · 4 reps · 678-905-5723
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FUTURE PERFECT PLANNING, LLC (location n/a) is newly SEC-registered with $25.2M RAUM and 1 advisory reps. IAPD ↗
$25.2M RAUM · 1 reps · 646-543-8065 · futureperfect.nyc
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOLAN CAPITAL ADVISORS, INC. (CHARLOTTE, NC) is newly SEC-registered with $127.2M RAUM and 2 advisory reps. IAPD ↗
$127.2M RAUM · 2 reps · (704) 887-4969
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TFG FINANCIAL ADVISORS, LLC (NORTH PALM BEACH, FL) is newly SEC-registered with $111.9M RAUM and 4 advisory reps. IAPD ↗
$111.9M RAUM · 4 reps · (561) 209-1120 · tfgfa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TAURUM RETIREMENT PARTNERS, LLC (MESA, AZ) is newly SEC-registered with $113.8M RAUM and 2 advisory reps. IAPD ↗
$113.8M RAUM · 2 reps · 480-626-2501
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MEDICUS WEALTH PLANNING, INC. (DRAPER, UT) is newly SEC-registered with $100.9M RAUM and 4 advisory reps. IAPD ↗
$100.9M RAUM · 4 reps · 801-994-4777
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RIDGELINE WEALTH ADVISORS, LLC. (RALEIGH, NC) is newly SEC-registered with $117.7M RAUM and 3 advisory reps. IAPD ↗
$117.7M RAUM · 3 reps · 919-782-0494 · ridgelinewealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BUCKET LIST WEALTH MANAGEMENT, LLC (THE VILLAGES, FL) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
$104.5M RAUM · 3 reps · 352-307-8652 · bucketlistwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KAIZEN RETIREMENT PLAN ADVISORS, LLC (location n/a) is newly SEC-registered with $130.9M RAUM and 1 advisory reps. IAPD ↗
$130.9M RAUM · 1 reps · 508-850-6401 · kaizenrpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BALLINA CAPITAL, LLC (location n/a) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
$111.9M RAUM · 1 reps · 424-835-2744 · ballinacapital.us
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CALDER FINANCIAL LLC (location n/a) is newly SEC-registered with $109.8M RAUM and 1 advisory reps. IAPD ↗
$109.8M RAUM · 1 reps · 610-458-8373 · calderfinancial.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCHOLAR FINANCIAL ADVISING, LLC (location n/a) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · (336) 360-6833 · scholarfinancialadvising.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDEPENDENCE WEALTH ADVISORS, LLC (INDEPENDENCE, OH) is newly SEC-registered with $127.9M RAUM and 5 advisory reps. IAPD ↗
$127.9M RAUM · 5 reps · 216-268-3888 · iwadirect.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE WEALTHPLAN LLC (GREAT NECK, NY) is newly SEC-registered with $62.8M RAUM and 1 advisory reps. IAPD ↗
$62.8M RAUM · 1 reps · 516-400-7111
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OAK CREEK PRIVATE WEALTH MANAGEMENT LLC (TULSA, OK) is newly SEC-registered with $2.9M RAUM and 1 advisory reps. IAPD ↗
$2.9M RAUM · 1 reps · 704-904-5721 · oakcreekwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAGACE WEALTH MANAGEMENT (ST. PETERSBURG, FL) is newly SEC-registered with $100.4M RAUM and 6 advisory reps. IAPD ↗
$100.4M RAUM · 6 reps · (727) 493-9700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UNITY WEALTH PARTNERS (ORANGE, CA) is newly SEC-registered with $7.8M RAUM and 3 advisory reps. IAPD ↗
$7.8M RAUM · 3 reps · (949) 688-0928 · unitywealthpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WINNOW WEALTH, LLC (WACO, TX) is newly SEC-registered with $101.0M RAUM and 3 advisory reps. IAPD ↗
$101.0M RAUM · 3 reps · 254-776-8400 · winnowwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEAK RETIREMENT PLANNING, INC. (COLUMBUS, OH) is newly SEC-registered with $106.0M RAUM and 6 advisory reps. IAPD ↗
$106.0M RAUM · 6 reps · (614) 500-4121 · peakretirementplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SECOND SUMMIT WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · (415)-275-2442
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ATHENA WEALTH MANAGEMENT, LLC (INCLINE VILLAGE, NV) is newly SEC-registered with $107.7M RAUM and 1 advisory reps. IAPD ↗
$107.7M RAUM · 1 reps · (408) 684-3705 · athenawm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BIG SKY WEALTH ADVISORS, LLC (GREAT FALLS, MT) is newly SEC-registered with $107.8M RAUM and 1 advisory reps. IAPD ↗
$107.8M RAUM · 1 reps · 406-315-2627 · bigskywealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OUTWING PRIVATE WEALTH MANAGEMENT (SANTA BARBARA, CA) is newly SEC-registered with $163.3M RAUM and 1 advisory reps. IAPD ↗
$163.3M RAUM · 1 reps · (805) 880-9464 · outwingwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PATHWAY PARTNERS WEALTH ADVISORS, LLC (AMHERST, NY) is newly SEC-registered with $34.3M RAUM and 5 advisory reps. IAPD ↗
$34.3M RAUM · 5 reps · 716-929-6010 · pathwaypartnerswa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTH MORE ENTERPRISE, INC. (PHILADELPHIA, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 888-303-6361 · getwealthmore.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRIBRIDGE PARTNERS FINANCIAL LLC (COLUMBIA, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 240-422-8799
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL IP INVESTMENT PARTNERS LP (location n/a) is newly SEC-registered with $194.3M RAUM and 4 advisory reps. IAPD ↗
$194.3M RAUM · 4 reps · 1-646-287-8753 · capitalip.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRUVIUS (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 617-518-5423
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAVALCADE CAPITAL LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 212-287-7727 · cavalcade.capital
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
503 CAPITAL PARTNERS, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 913-276-7433
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MOKAN WEALTH MANAGEMENT (OVERLAND PARK, KS) is newly SEC-registered with $110.4M RAUM and 1 advisory reps. IAPD ↗
$110.4M RAUM · 1 reps · 913-257-3991 · mokanwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ELYXIUM WEALTH LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 415-264-0468 · elyfo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DLK INSTITUTIONAL PARTNERS (MERCER ISLAND, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 206.203.0010
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VERIDAN WEALTH (WEST LINN, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 503-946-9733 · veridanwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AXIUS ADVISORS LLC (SAINT CHARLES, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 636-493-9600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PARR MCKNIGHT WEALTH MANAGEMENT GROUP (MINNEAPOLIS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 612-324-0235 · parrmcknightwmg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHALE (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 3122484797 · getwhale.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRISTOL WEALTH GROUP (TAUNTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 508-738-6248 · bristolcountysavings.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ZEGA INVESTMENTS (PALM BEACH GARDENS, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · 800.380.9342
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UPSTREAM LIFE WEALTH MANAGEMENT LLC (OXFORD, MS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 6628011029
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IMPACT RETIREMENT ADVISORS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 507-581-6131
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BINGHAM PRIVATE WEALTH, LLC (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 415-426-5652 · binghamprivate.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HS WEALTH PARTNERS (ALBUQUERQUE, NM) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 505-717-1680 · hswealthpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FULFILLED (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 1-416-303-4942 · fulfilledwealth.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BASSAM WEALTH MANAGEMENT, LLC (PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (561) 231-5642 · bassamwealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CRUX WEALTH ADVISORS (LONG BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 16 advisory reps. IAPD ↗
$0 RAUM · 16 reps · 562.735.3875
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KETRON FINANCIAL LLC (NOVATO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 415-892-0928 · ketronfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRITY WEALTH LLC (EUGENE, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (541) 650-6061 · integritywealthnw.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EPOGEE CAPITAL 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 · 9788867388
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LONGVIEW FINANCIAL PARTNERS (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 2039131621
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CARRERA CAPITAL ADVISORS (TROY, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 248-362-5009
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PACIFIC FINANCIAL ADVISORY SERVICES (DANVILLE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 925-838-7567
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GULFSTREAM ASSET MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 786-512-1989
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BONA FIDE WEALTH (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 512-636-5747 · bonafide-wealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORMULATE FINANCIAL LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 5612690330
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TOPSAIL WEALTH MANAGEMENT LLC (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 980-308-9901 · topsailwealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALTERI WEALTH (WESTLAKE VILLAGE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 805-809-0400 · alteriwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE KIECKHEFER GROUP (MEQUON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 4147043826
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GUILBAULT CAPITAL (METAIRIE, LA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 504-849-6677
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE BEAR FINANCIAL, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (407) 625-7598
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ZERO DAY CAPITAL ENTERPRISES LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (617) 800-0388
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LAFISE GLOBAL ADVISORS LLC (MIAMI, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 305-374-6001
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OSPREY PRIVATE WEALTH LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 646-445-5107
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SWP INVESTMENT MANAGEMENT LLC (INDEPENDENCE, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 216-800-9000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LFG WEALTH PARTNERS, LLC (ELIZABETHTOWN, KY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 877-573-2043
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WIMER INVESTMENT MANAGEMENT (SCOTCH PLAINS, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 7327639237
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PANORAMIC CAPITAL PARTNERS LLC (LAKE OSWEGO, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 503-937-7420 · panoramiccp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOUNDERS GROVE WEALTH PARTNERS, LLC (RICHMOND, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (804) 910-0001
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OUTRUNNER CAPITAL, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 512-917-5389
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ONE WEALTH CAPITAL MANAGEMENT, LLC (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 855-663-9584 · onewealthmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
88
BRYCE POINT CAPITAL LLC (SCARSDALE, NY) is newly SEC-registered with $318.3M RAUM and 1 advisory reps. IAPD ↗institutional
$318.3M RAUM · 1 reps · 646-450-0445
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PEGASUS TECH VENTURES, INC. (SAN JOSE, CA) is newly SEC-registered with $2.15B RAUM and 28 advisory reps. IAPD ↗fund
$2.15B RAUM · 28 reps · 408-645-5532
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
RCF ASSET MANAGEMENT GROUP 3, LLC (STUDIO CITY, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · (310) 598-7070 · rangesummit.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MERIDIEM CAPITAL PARTNERS LP (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗institutional
$0 RAUM · 10 reps · (214) 477-4886 · meridiemcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
RSC INDUSTRIAL ASSET MANAGEMENT GROUP 2, LLC (STUDIO CITY, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 310-598-7073 · rangesummit.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ACADIA INFRASTRUCTURE CAPITAL LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗institutional
$0 RAUM · 9 reps · 6464992075 · acadiainfrastructure.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
RCF ASSET MANAGEMENT GROUP 4, LLC (STUDIO CITY, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 310-598-7070 · rangesummit.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
KIAN CAPITAL PARTNERS, LLC (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗institutional
$0 RAUM · 15 reps · 704-943-2500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GEMCORP CAPITAL ADVISORS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 1-646-979-8494
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TRITON PACIFIC HEALTHCARE PARTNERS, LLC (SAN JUAN CAPISTRANO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 804-893-3712
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PELICAN INVESTS (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · (347) 450-1767 · pelicaninvests.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CCS CREDIT SOLUTIONS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 212 224-9400 · ccs-partners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MAIN CAPITAL PARTNERS NORTH AMERICA LLC (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $41.0M RAUM and 4 advisory reps. IAPD ↗institutional
$41.0M RAUM · 4 reps · 617-207-4175
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
POP VENTURE ADVISERS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-693-2798
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BOXER CAPITAL MANAGEMENT, LLC (SAN DIEGO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 858.400.3115
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CION GROSVENOR MANAGEMENT, 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 · 646-253-8235 · cioninvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
JAIN GLOBAL LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 35 advisory reps. IAPD ↗institutional
$0 RAUM · 35 reps · 212-671-4147 · jainglobal.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GREENPORTFOLIO INC. (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-719-0206 · greenportfolio.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MOUNTAIN POINT CREDIT MANAGEMENT LLC (GREENWICH, CT) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 203-900-5855
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BDT & MSD BDC MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 189 advisory reps. IAPD ↗institutional
$0 RAUM · 189 reps · 212-303-1650 · bdtmsd.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SUNRISE MANAGER LLC (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 561-510-3315 · sunriserealtytrust.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SOUTHERN EQUITY ADVISORS LLC (ST. THOMAS, VI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 877-240-9233 · southernequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
AGENTSMYTH ADVISORS (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-826-9949 · agentsmyth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FISHER RETIREMENT SOLUTIONS LLC (PLANO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 650-350-5254
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SCIENCE & TECHNOLOGY PARTNERS, L.P. (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 212-306-2600 · sandtpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ANNAPURNA CAPITAL MANAGEMENT LP (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 561-232-6104
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
3FOURTEEN & SMI ADVISORY SERVICES, LLC (COLUMBUS, IN) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 800-796-4975
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BLUE OWL INSURANCE SOLUTIONS (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 30 advisory reps. IAPD ↗institutional
$0 RAUM · 30 reps · (212) 419-3000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PROSPECT CREDIT REIT ADVISOR, LLC (WEST PALM BEACH, FL) is newly SEC-registered with $0 RAUM and 50 advisory reps. IAPD ↗institutional
$0 RAUM · 50 reps · 561-285-4044
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
AGL US DL MANAGEMENT LLC. (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 32 advisory reps. IAPD ↗institutional
$0 RAUM · 32 reps · 212-973-8600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
D2 ASSET MANAGEMENT (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 646-729-8315
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ADIT VENTURES MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $318.4M RAUM and 2 advisory reps. IAPD ↗fund
$318.4M RAUM · 2 reps · 646-840-4944 · aditventures.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
RK CAPITAL MANAGEMENT, LLC (WESTON, FL) is newly SEC-registered with $691.8M RAUM and 9 advisory reps. IAPD ↗fund
$691.8M RAUM · 9 reps · 561-408-1711 · rkcapl.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
1248 PARTNERS, LLC (KANSAS CITY, MO) is newly SEC-registered with $258.0M RAUM and 2 advisory reps. IAPD ↗fund
$258.0M RAUM · 2 reps · 9139045500 · 1248partners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
CLARITAS CAPITAL (NASHVILLE, TN) is newly SEC-registered with $729.6M RAUM and 5 advisory reps. IAPD ↗fund
$729.6M RAUM · 5 reps · 615-690-7179 · claritascapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
AVANT MANAGEMENT LLC (DENVER, CO) is newly SEC-registered with $331.6M RAUM and 8 advisory reps. IAPD ↗fund
$331.6M RAUM · 8 reps · 720-746-5053
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
CENTURY PARK CAPITAL PARTNERS (EL SEGUNDO, CA) is newly SEC-registered with $273.6M RAUM and 8 advisory reps. IAPD ↗fund
$273.6M RAUM · 8 reps · 310-867-2210 · centuryparkcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
KAZAZIAN ASSET MANAGEMENT, LLC (FORT LAUDERDALE, FL) is newly SEC-registered with $189.8M RAUM and 2 advisory reps. IAPD ↗fund
$189.8M RAUM · 2 reps · 201-390-9585 · kazaziancapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
TRYPERION HOLDINGS LLC (BEVERLY HILLS, CA) is newly SEC-registered with $111.6M RAUM and 7 advisory reps. IAPD ↗fund
$111.6M RAUM · 7 reps · 310-421-1033 · tryperion.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
A.P. GILFOYLE & CO., L.P. (NEW YORK, NY) is newly SEC-registered with $1.9M RAUM and 2 advisory reps. IAPD ↗fund
$1.9M RAUM · 2 reps · 212-529-4550 · apgilfoyle.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
DV CAPITAL ADVISORS, LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $109.2M RAUM and 3 advisory reps. IAPD ↗fund
$109.2M RAUM · 3 reps · 312-663-7111
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
GENERAL INNOVATION CAPITAL, LLC (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗fund
$0 RAUM · 6 reps · 917-816-1744 · generalinnovation.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SLG CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 20 advisory reps. IAPD ↗fund
$0 RAUM · 20 reps · 212-594-2700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
MODUM ASSET MANAGEMENT LLC (MEXICO CITY, Mexico) is newly SEC-registered with $50.6M RAUM and 4 advisory reps. IAPD ↗foreign
$50.6M RAUM · 4 reps · (332) 223-4025 · modumam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
SVN GLOBAL (SAO PAULO, Brazil) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 55 (11) 99379-4848
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
I2 WEALTH - CROSS BORDER PLANNING (MONTREAL, QUEBEC, Canada) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 1 438 462 7872
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 111 Count of additional offices increased.
55
&PARTNERS added office(s): 20 -> 29 additional locations. IAPD ↗
$1.17B RAUM · 87 reps · 615-255-6431 · prairieheritagefinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
SEGALL BRYANT & HAMILL added office(s): 4 -> 6 additional locations. IAPD ↗
$17.21B RAUM · 51 reps · 1-800-836-4265
Office IT & facilitiesCRMRecruiting & transitions
55
UBS ASSET MANAGEMENT (AMERICAS) LLC added office(s): 4 -> 15 additional locations. IAPD ↗
$477.86B RAUM · 411 reps · 212-821-3000 · ubs.com
Office IT & facilitiesCRMRecruiting & transitions
55
BRADLEY FOSTER & SARGENT INC added office(s): 5 -> 6 additional locations. IAPD ↗
$6.85B RAUM · 17 reps · 860-527-8050 · bfsinvest.com
Office IT & facilitiesCRMRecruiting & transitions
55
SUNCOAST EQUITY MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.36B RAUM · 11 reps · (813) 963-0502
Office IT & facilitiesCRMRecruiting & transitions
55
GEMMER ASSET MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.70B RAUM · 8 reps · 925-933-3786 · thejdinvestor.com
Office IT & facilitiesCRMRecruiting & transitions
55
GRIMES & COMPANY, INC. added office(s): 17 -> 19 additional locations. IAPD ↗
$4.85B RAUM · 27 reps · 508-366-3883
Office IT & facilitiesCRMRecruiting & transitions
55
CAIN, WATTERS & ASSOCIATES, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$3.54B RAUM · 63 reps · 972-233-3323
Office IT & facilitiesCRMRecruiting & transitions
55
EIDE BAILLY ADVISORS, LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$1.33B RAUM · 17 reps · 866-740-4100 · eidebaillywealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
STRAIGHTLINE added office(s): 2 -> 3 additional locations. IAPD ↗
$1.12B RAUM · 9 reps · 248-269-8366 · straightline.com
Office IT & facilitiesCRMRecruiting & transitions
55
ESSEX FINANCIAL SERVICES, INC. added office(s): 2 -> 3 additional locations. IAPD ↗
$3.38B RAUM · 39 reps · 860-767-4300 · essexfinancialservices.net
Office IT & facilitiesCRMRecruiting & transitions
55
SRS CAPITAL ADVISORS, INC. added office(s): 5 -> 6 additional locations. IAPD ↗
$1.44B RAUM · 17 reps · 303-633-5900 · simondavisinc.com
Office IT & facilitiesCRMRecruiting & transitions
55
EVERMAY WEALTH MANAGEMENT, LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$1.06B RAUM · 12 reps · 703 822-5696
Office IT & facilitiesCRMRecruiting & transitions
55
ASHTON THOMAS PRIVATE WEALTH added office(s): 20 -> 22 additional locations. IAPD ↗
$2.89B RAUM · 47 reps · 602-732-4745
Office IT & facilitiesCRMRecruiting & transitions
55
CGN ADVISORS, LLC added office(s): 44 -> 45 additional locations. IAPD ↗
$1.14B RAUM · 41 reps · 910-333-6659 · dekfinancialsolutions.com
Office IT & facilitiesCRMRecruiting & transitions
55
BISON WEALTH, LLC added office(s): 23 -> 25 additional locations. IAPD ↗
$1.61B RAUM · 34 reps · 404-841-2224 · bisonwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
MCADAM LLC added office(s): 66 -> 67 additional locations. IAPD ↗
$1.74B RAUM · 156 reps · (888) 614-5323 · mcadamfa.com
Office IT & facilitiesCRMRecruiting & transitions
55
SPIDERROCK ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$4.85B RAUM · 10 reps · (312) 847-0300 · spiderrockadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
KOVITZ INVESTMENT GROUP PARTNERS, LLC added office(s): 15 -> 25 additional locations. IAPD ↗
$11.29B RAUM · 99 reps · 312-334-7300 · kovitz.com
Office IT & facilitiesCRMRecruiting & transitions
55
ONESEVEN added office(s): 30 -> 38 additional locations. IAPD ↗
$2.57B RAUM · 48 reps · 216-865-1700
Office IT & facilitiesCRMRecruiting & transitions
55
ONEASCENT FINANCIAL SERVICES LLC added office(s): 26 -> 27 additional locations. IAPD ↗
$1.79B RAUM · 39 reps · 205-313-9142 · zahoranski.oneascent.com
Office IT & facilitiesCRMRecruiting & transitions
55
ETON ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$1.96B RAUM · 5 reps · 919-442-1550
Office IT & facilitiesCRMRecruiting & transitions
55
AMERICANA PARTNERS, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$4.95B RAUM · 25 reps · 713-429-5552 · americanapartners.com
Office IT & facilitiesCRMRecruiting & transitions
55
HAYS FINANCIAL GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$5.10B RAUM · 4 reps · (612) 373-9863
Office IT & facilitiesCRMRecruiting & transitions
55
NEW REPUBLIC PARTNERS added office(s): 4 -> 6 additional locations. IAPD ↗
$2.29B RAUM · 17 reps · 704-626-1526 · newrepublicpartners.com
Office IT & facilitiesCRMRecruiting & transitions
55
ARMSTRONG ADVISORY GROUP INC. added office(s): 9 -> 11 additional locations. IAPD ↗
$1.22B RAUM · 10 reps · (781) 433-0001 · armstrongadvisory.com
Office IT & facilitiesCRMRecruiting & transitions
55
SAPIENT CAPITAL LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$9.85B RAUM · 19 reps · (317) 719-0157 · sapientcapital.com
Office IT & facilitiesCRMRecruiting & transitions
55
MIDLAND WEALTH MANAGEMENT added office(s): 4 -> 6 additional locations. IAPD ↗
$2.53B RAUM · 16 reps · 312-660-6516
Office IT & facilitiesCRMRecruiting & transitions
53
WILLIAM MACK & ASSOCIATES INC added office(s): 24 -> 25 additional locations. IAPD ↗
$754.8M RAUM · 7 reps · 248-643-4310 · wmack.com
Office IT & facilitiesCRMRecruiting & transitions
53
THE L. WARNER COMPANIES, INC added office(s): 2 -> 3 additional locations. IAPD ↗
$657.4M RAUM · 12 reps · 410-252-0808 · lwarner.com
Office IT & facilitiesCRMRecruiting & transitions
53
MARINER INSTITUTIONAL, LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$976.6M RAUM · 89 reps · 844-442-6326
Office IT & facilitiesCRMRecruiting & transitions
53
IMA ADVISORY SERVICES, INC. added office(s): 3 -> 4 additional locations. IAPD ↗
$911.6M RAUM · 19 reps · 316-266-6574
Office IT & facilitiesCRMRecruiting & transitions
53
FINANCIAL & TAX ARCHITECTS, LLC added office(s): 16 -> 17 additional locations. IAPD ↗
$378.9M RAUM · 23 reps · 314-858-1122 · knoxvilleretirementplanner.com
Office IT & facilitiesCRMRecruiting & transitions
53
INTERACTIVE FINANCIAL ADVISORS added office(s): 20 -> 21 additional locations. IAPD ↗
$284.9M RAUM · 36 reps · 630-472-1300
Office IT & facilitiesCRMRecruiting & transitions
53
PARK PIEDMONT ADVISORS LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$862.0M RAUM · 7 reps · 312-722-6760
Office IT & facilitiesCRMRecruiting & transitions
53
ARISTA WEALTH MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$621.2M RAUM · 7 reps · 702-309-9970 · aristawealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
SECURE ASSET MANAGEMENT, L.L.C. added office(s): 14 -> 17 additional locations. IAPD ↗
$599.6M RAUM · 46 reps · 248-414-1562 · re-transition.com
Office IT & facilitiesCRMRecruiting & transitions
53
AVIANCE CAPITAL PARTNERS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$632.3M RAUM · 6 reps · 239-598-4747
Office IT & facilitiesCRMRecruiting & transitions
53
LIFESTYLE ASSET MANAGEMENT, INC. added office(s): 2 -> 3 additional locations. IAPD ↗
$382.0M RAUM · 13 reps · 281-612-2035
Office IT & facilitiesCRMRecruiting & transitions
53
INVESTOR FAN added office(s): 7 -> 8 additional locations. IAPD ↗
$255.4M RAUM · 7 reps · 425-372-7517 · thewaytoinvest.com
Office IT & facilitiesCRMRecruiting & transitions
53
FSA INVESTMENT GROUP, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$598.2M RAUM · 8 reps · (850) 696-1550
Office IT & facilitiesCRMRecruiting & transitions
53
MBE WEALTH MANAGEMENT, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$725.5M RAUM · 8 reps · 608-372-5521 · mbewealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
THE RETIREMENT GUYS FORMULA added office(s): 5 -> 6 additional locations. IAPD ↗
$250.1M RAUM · 12 reps · 419-842-0550 · retirepittsburgh.com
Office IT & facilitiesCRMRecruiting & transitions
53
ASTOR INVESTMENT MANAGEMENT LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$261.4M RAUM · 3 reps · 312-228-5900
Office IT & facilitiesCRMRecruiting & transitions
53
MPWM ADVISORY SOLUTIONS LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$315.7M RAUM · 12 reps · 678-566-4001
Office IT & facilitiesCRMRecruiting & transitions
53
BLUEPRINT INVESTMENT PARTNERS LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$849.4M RAUM · 7 reps · 336-609-7522
Office IT & facilitiesCRMRecruiting & transitions
53
GOLDSTONE FINANCIAL GROUP, LLC added office(s): 9 -> 14 additional locations. IAPD ↗
$557.2M RAUM · 10 reps · 630-620-9300 · pinterest.com
Office IT & facilitiesCRMRecruiting & transitions
53
BRIGHT FUTURES WEALTH MANAGEMENT, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$388.4M RAUM · 21 reps · (585) 231-1595
Office IT & facilitiesCRMRecruiting & transitions
53
FIDUCIARY FINANCIAL GROUP, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$544.6M RAUM · 7 reps · 415-352-1100
Office IT & facilitiesCRMRecruiting & transitions
53
TCP ASSET MANAGEMENT, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$641.8M RAUM · 16 reps · 614-761-9378 · tcpasset.com
Office IT & facilitiesCRMRecruiting & transitions
53
LIFEWORKS ADVISORS, LLC added office(s): 17 -> 22 additional locations. IAPD ↗
$421.8M RAUM · 24 reps · (616) 200-6512
Office IT & facilitiesCRMRecruiting & transitions
53
SANDBOX FINANCIAL PARTNERS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$463.7M RAUM · 5 reps · (301) 214-4190 · sandboxfp.com
Office IT & facilitiesCRMRecruiting & transitions
53
CROWN WEALTH GROUP LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$257.2M RAUM · 7 reps · (704)360-3995 · crownwealthgroup.com
Office IT & facilitiesCRMRecruiting & transitions
53
COREPATH WEALTH PARTNERS LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$348.2M RAUM · 6 reps · (480) 448-0334 · corepathwealthpartners.com
Office IT & facilitiesCRMRecruiting & transitions
53
CREEKMUR ASSET MANAGEMENT, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$410.6M RAUM · 10 reps · 309-925-2043
Office IT & facilitiesCRMRecruiting & transitions
53
TRANSCE3ND LLC added office(s): 10 -> 11 additional locations. IAPD ↗
$313.2M RAUM · 28 reps · 512-268-9220 · transcendim.com
Office IT & facilitiesCRMRecruiting & transitions
53
49 FINANCIAL added office(s): 7 -> 8 additional locations. IAPD ↗
$566.2M RAUM · 74 reps · 214-563-1190
Office IT & facilitiesCRMRecruiting & transitions
53
FREEDOM FIDUCIARIES LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$263.8M RAUM · 3 reps · 208-900-4331
Office IT & facilitiesCRMRecruiting & transitions
53
THE NORDEN GROUP LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$987.2M RAUM · 12 reps · 801-331-5511 · thenordengroup.com
Office IT & facilitiesCRMRecruiting & transitions
53
VICTORY FINANCIAL added office(s): 5 -> 6 additional locations. IAPD ↗
$288.8M RAUM · 12 reps · (512) 763-7671 · victoryfinancialgroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
COOPER FINANCIAL SERVICES, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$170.5M RAUM · 4 reps · 203-248-1972 · cooperfinservices.com
Office IT & facilitiesCRMRecruiting & transitions
50
MINERVA PLANNING GROUP added office(s): 0 -> 1 additional locations. IAPD ↗
$160.6M RAUM · 2 reps · 404-816-6688
Office IT & facilitiesCRMRecruiting & transitions
50
FRANGO FINANCIAL added office(s): 0 -> 1 additional locations. IAPD ↗
$111.5M RAUM · 2 reps · 202-244-4460 · frangofinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
ELEVAGE PARTNERS, LLC added office(s): 2 -> 6 additional locations. IAPD ↗
$143.8M RAUM · 5 reps · (800) 725-1622 · elevagepartners.com
Office IT & facilitiesCRMRecruiting & transitions
50
RUTHERFORD INVESTMENT MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$173.4M RAUM · 4 reps · 503-452-1210 · rutherfordinvestment.com
Office IT & facilitiesCRMRecruiting & transitions
50
KOTYS WEALTH PROFESSIONALS added office(s): 0 -> 1 additional locations. IAPD ↗
$223.4M RAUM · 4 reps · 219-465-6924
Office IT & facilitiesCRMRecruiting & transitions
50
INTEGRAS PARTNERS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$201.9M RAUM · 3 reps · 404-941-2800 · integraspartners.com
Office IT & facilitiesCRMRecruiting & transitions
50
WRENNE FINANCIAL PLANNING LLC added office(s): 0 -> 5 additional locations. IAPD ↗
$139.9M RAUM · 6 reps · 859-538-6044
Office IT & facilitiesCRMRecruiting & transitions
50
PROTA FINANCIAL added office(s): 18 -> 19 additional locations. IAPD ↗
$182.0M RAUM · 12 reps · 713-568-8171
Office IT & facilitiesCRMRecruiting & transitions
50
STANCE CAPITAL LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$186.8M RAUM · 2 reps · 617-875-1062
Office IT & facilitiesCRMRecruiting & transitions
50
COLARION added office(s): 0 -> 1 additional locations. IAPD ↗
$125.9M RAUM · 4 reps · 205 410 9443
Office IT & facilitiesCRMRecruiting & transitions
50
SMITH & WYATT added office(s): 4 -> 6 additional locations. IAPD ↗
$119.8M RAUM · 6 reps · 979-431-5440
Office IT & facilitiesCRMRecruiting & transitions
50
ROLEK RETIREMENT PLANNING added office(s): 1 -> 2 additional locations. IAPD ↗
$127.0M RAUM · 1 reps · (267) 427-5667
Office IT & facilitiesCRMRecruiting & transitions
50
THINKING BIG FINANCIAL added office(s): 0 -> 1 additional locations. IAPD ↗
$60.1M RAUM · 2 reps · (973) 224-1145
Office IT & facilitiesCRMRecruiting & transitions
50
WILDES FINANCIAL STRATEGIES, INC added office(s): 0 -> 1 additional locations. IAPD ↗
$105.4M RAUM · 2 reps · 843-485-4371
Office IT & facilitiesCRMRecruiting & transitions
50
SUCCESS WEALTH MANAGEMENT LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$40.1M RAUM · 12 reps · 724-934-8128
Office IT & facilitiesCRMRecruiting & transitions
50
MARKLE FINANCIAL LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$97.3M RAUM · 2 reps · (307) 721-1725 · marklefinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
STONEKEEP INVESTMENTS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$137.8M RAUM · 2 reps · 615-975-3635 · stonekeepinvestments.com
Office IT & facilitiesCRMRecruiting & transitions
50
KUHN & COMPANY INVESTMENT COUNSEL, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$131.2M RAUM · 3 reps · 630-416-7700
Office IT & facilitiesCRMRecruiting & transitions
50
TRU INDEPENDENCE ASSET MANAGEMENT 2 added office(s): 2 -> 4 additional locations. IAPD ↗
$117.2M RAUM · 4 reps · 971-371-3444 · relywealth.us
Office IT & facilitiesCRMRecruiting & transitions
50
ASSUREDPARTNERS INVESTMENT ADVISORS added office(s): 8 -> 12 additional locations. IAPD ↗
$179.0M RAUM · 15 reps · 407-708-0050 · apadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
ALPHA OMEGA FINANCIAL added office(s): 0 -> 2 additional locations. IAPD ↗
$139.3M RAUM · 1 reps · 410-592-8936
Office IT & facilitiesCRMRecruiting & transitions
50
BLUEPRINT FINANCIAL ADVISORS added office(s): 11 -> 12 additional locations. IAPD ↗
$132.5M RAUM · 14 reps · 336-609-7522 · buildyourblueprint.com
Office IT & facilitiesCRMRecruiting & transitions
50
STEWARD ADVISORS GROUP, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$35.5M RAUM · 6 reps · (888) 225-3350 · stewardadvisorsgroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
MARIDEA WEALTH MANAGEMENT added office(s): 3 -> 4 additional locations. IAPD ↗
$0 RAUM · 4 reps · 269-598-0939 · marideawealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
SLP WEALTH added office(s): 14 -> 15 additional locations. IAPD ↗
$9.0M RAUM · 16 reps · (910) 315-0973 · slpwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
ACCELERATE RETIREMENT added office(s): 8 -> 10 additional locations. IAPD ↗
$104.0M RAUM · 18 reps · 888-439-7071
Office IT & facilitiesCRMRecruiting & transitions
50
QUANTUM GREEKS added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · 9166048060 · quantumtrades.com
Office IT & facilitiesCRMRecruiting & transitions
50
NECTARINE added office(s): 18 -> 19 additional locations. IAPD ↗
$0 RAUM · 19 reps · (858) 779-0115
Office IT & facilitiesCRMRecruiting & transitions
50
BLACKWATCH FINANCIAL GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · 630-380-9430
Office IT & facilitiesCRMRecruiting & transitions
50
AZURA PARTNERS US LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$25.0M RAUM · 2 reps · 347-249-2369 · azura.com
Office IT & facilitiesCRMRecruiting & transitions
50
MINDORO CAPITAL PARTNERS LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$0 RAUM · 3 reps · (617) 214-2313 · mindoro.com
Office IT & facilitiesCRMRecruiting & transitions
50
TC43 LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$66.7M RAUM · 6 reps · 917-363-7217
Office IT & facilitiesCRMRecruiting & transitions
50
WEALTHCARE CAPITAL PARTNERS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · 804.644.4711
Office IT & facilitiesCRMRecruiting & transitions
45
IRONSHORE FINANCIAL added office(s): 0 -> 2 additional locations. IAPD ↗institutional
$1.10B RAUM · 1 reps · 937-872-4015 · ironshorefinancial.com
Office IT & facilitiesCRMRecruiting & transitions
43
SHERBROOKE PARK ADVISERS LLC added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$518.7M RAUM · 5 reps · 917-673-2128
Office IT & facilitiesCRMRecruiting & transitions
40
LIGHTHOUSE INVESTMENT PARTNERS, LLC added office(s): 20 -> 21 additional locations. IAPD ↗fund
$55.83B RAUM · 124 reps · 561-741-0820
Office IT & facilitiesCRMRecruiting & transitions
40
BLUE OWL REAL ESTATE CAPITAL LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$25.06B RAUM · 30 reps · (212) 419-3000 · blueowlproducts.com
Office IT & facilitiesCRMRecruiting & transitions
40
BOFCAL ASSET MANAGEMENT INC. added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$184.0M RAUM · 4 reps · (415) 757-2654 · pacwest.com
Office IT & facilitiesCRMRecruiting & transitions
40
ENGINEERS GATE MANAGER LP added office(s): 5 -> 6 additional locations. IAPD ↗fund
$10.05B RAUM · 65 reps · 646-757-2800
Office IT & facilitiesCRMRecruiting & transitions
40
BOFA SECURITIES, INC. added office(s): 4 -> 5 additional locations. IAPD ↗institutional
$0 RAUM · 314 reps · 646-743-2734 · bankofamerica.com
Office IT & facilitiesCRMRecruiting & transitions
40
LMR PARTNERS LLC added office(s): 1 -> 4 additional locations. IAPD ↗fund
$148.50B RAUM · 43 reps · 6468915738 · lmrpartners.com
Office IT & facilitiesCRMRecruiting & transitions
40
NASSAU ALTERNATIVE INVESTMENTS LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.23B RAUM · 5 reps · (646) 630-8376
Office IT & facilitiesCRMRecruiting & transitions
40
59 NORTH CAPITAL MANAGEMENT, LP added office(s): 0 -> 1 additional locations. IAPD ↗fund
$2.47B RAUM · 4 reps · (713) 955-4809
Office IT & facilitiesCRMRecruiting & transitions
40
NAVIGATE 401K, LLC added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$132.0M RAUM · 3 reps · 205-224-9502 · navigate401k.com
Office IT & facilitiesCRMRecruiting & transitions
38
ACACIA PARTNERS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$461.4M RAUM · 5 reps · 214-973-2373 · acaciapartnersllc.com
Office IT & facilitiesCRMRecruiting & transitions
38
RDST CAPITAL LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$548.1M RAUM · 4 reps · 206.332.1227 · readestreet.com
Office IT & facilitiesCRMRecruiting & transitions
25
RATHBONES added office(s): 13 -> 15 additional locations. IAPD ↗foreign
$63.62B RAUM · 528 reps · +44-151 236 6666
Office IT & facilitiesCRMRecruiting & transitions
23
RESOLUTE GLOBAL PARTNERS, LTD. added office(s): 1 -> 2 additional locations. IAPD ↗foreign
$317.8M RAUM · 5 reps · 441-599-8308
Office IT & facilitiesCRMRecruiting & transitions
20
ATLAS SQUARE PARTNERS(HK) LIMITED added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$184.6M RAUM · 1 reps · 85266097626 · atlas-square.com
Office IT & facilitiesCRMRecruiting & transitions
20
DRACO EVOLUTION added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$0 RAUM · 1 reps · 949-535-4675
Office IT & facilitiesCRMRecruiting & transitions
deregistered — 50 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
CREDIT SUISSE ASSET MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $59.89B RAUM, 64 reps). IAPD ↗
$59.89B RAUM · 64 reps · 212-325-2000 · credit-suisse.com
Recruiting & transitionsM&A & valuation
65
ML&R WEALTH MANAGEMENT LLC (AUSTIN, TX) left the SEC roster (was $1.79B RAUM, 8 reps). IAPD ↗
$1.79B RAUM · 8 reps · 512-275-2700
Recruiting & transitionsM&A & valuation
65
ZCM (CHICAGO, IL) left the SEC roster (was $6.61B RAUM, 28 reps). IAPD ↗
$6.61B RAUM · 28 reps · 312-368-1442
Recruiting & transitionsM&A & valuation
63
HARBOR FINANCIAL GROUP, INC. (BOULDER, CO) left the SEC roster (was $316.4M RAUM, 3 reps). IAPD ↗
$316.4M RAUM · 3 reps · 303-939-8788
Recruiting & transitionsM&A & valuation
63
SOUNDMARK WEALTH MANAGEMENT, LLC (KIRKLAND, WA) left the SEC roster (was $411.0M RAUM, 5 reps). IAPD ↗
$411.0M RAUM · 5 reps · 425-820-1769
Recruiting & transitionsM&A & valuation
63
CLEARLOGIC FINANCIAL, INC. (RESTON, VA) left the SEC roster (was $425.2M RAUM, 6 reps). IAPD ↗
$425.2M RAUM · 6 reps · 703-476-3521 · clearlogicfinancial.com
Recruiting & transitionsM&A & valuation
63
FULLEN FINANCIAL GROUP, INC. (COLUMBUS, OH) left the SEC roster (was $282.0M RAUM, 4 reps). IAPD ↗
$282.0M RAUM · 4 reps · 614-372-5430 · fullenfinancial.com
Recruiting & transitionsM&A & valuation
63
EFP ADVISORS (JACKSON, MS) left the SEC roster (was $282.8M RAUM, 3 reps). IAPD ↗
$282.8M RAUM · 3 reps · 601-206-0006
Recruiting & transitionsM&A & valuation
63
3D/L CAPITAL MANAGEMENT, LLC (HARTFORD, CT) left the SEC roster (was $574.1M RAUM, 10 reps). IAPD ↗
$574.1M RAUM · 10 reps · 860-291-1998 · sterlinggroupat3d.com
Recruiting & transitionsM&A & valuation
60
BASE MANAGEMENT CO (TOWSON, MD) left the SEC roster (was $79.6M RAUM, 1 reps). IAPD ↗
$79.6M RAUM · 1 reps · 410-583-4828 · basemanagement.com
Recruiting & transitionsM&A & valuation
60
LEE FINANCIAL GROUP HAWAII, INC. (HONOLULU, HI) left the SEC roster (was $226.3M RAUM, 7 reps). IAPD ↗
$226.3M RAUM · 7 reps · 808-988-8088 · leehawaii.com
Recruiting & transitionsM&A & valuation
60
SUNBRIDGE MANAGEMENT, INC. (AMHERST, NY) left the SEC roster (was $34.0M RAUM, 1 reps). IAPD ↗
$34.0M RAUM · 1 reps · 716-626-0307 · sunbridge.biz
Recruiting & transitionsM&A & valuation
60
SYMPHONIC FINANCIAL ADVISORS LLC (NEW YORK, NY) left the SEC roster (was $125.2M RAUM, 4 reps). IAPD ↗
$125.2M RAUM · 4 reps · 212-702-3500
Recruiting & transitionsM&A & valuation
60
WEALTH LEGACY INSTITUTE, INC. (DENVER, CO) left the SEC roster (was $197.4M RAUM, 3 reps). IAPD ↗
$197.4M RAUM · 3 reps · 303-753-7578 · wealthlegacyinstitute.com
Recruiting & transitionsM&A & valuation
60
EQUISTAR WEALTH MANAGEMENT LLC (AUSTIN, TX) left the SEC roster (was $165.6M RAUM, 2 reps). IAPD ↗
$165.6M RAUM · 2 reps · 512-250-2277 · eswealth.com
Recruiting & transitionsM&A & valuation
60
KOBO RETIREMENT STRATEGIES (PASADENA, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 626-578-0816 · krsfiduciary.com
Recruiting & transitionsM&A & valuation
60
NEXUS CAPITAL, LLC (PITTSFORD, NY) left the SEC roster (was $11.9M RAUM, 1 reps). IAPD ↗
$11.9M RAUM · 1 reps · 585-348-9090 · nexuscapitalco.com
Recruiting & transitionsM&A & valuation
60
FISHER FINANCIAL ADVISORS LLC (HANOVER, NH) left the SEC roster (was $180.0M RAUM, 2 reps). IAPD ↗
$180.0M RAUM · 2 reps · 603-643-4448 · fisherfinancialadvisors.com
Recruiting & transitionsM&A & valuation
60
WEST POTOMAC CAPITAL LLC (ARLINGTON, VA) left the SEC roster (was $5.3M RAUM, 3 reps). IAPD ↗
$5.3M RAUM · 3 reps · 703-850-5533 · westpotomaccap.com
Recruiting & transitionsM&A & valuation
60
XIGGIT FINANCIAL (PALO ALTO, CA) left the SEC roster (was $58,000 RAUM, 1 reps). IAPD ↗
$58,000 RAUM · 1 reps · 650-417-5980 · xiggitfinancial.com
Recruiting & transitionsM&A & valuation
60
MEDICI (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 516-721-1580 · medici.ai
Recruiting & transitionsM&A & valuation
60
SPIKE INVEST (TYSONS, VA) left the SEC roster (was $25,000 RAUM, 1 reps). IAPD ↗
$25,000 RAUM · 1 reps · 646-684-7449
Recruiting & transitionsM&A & valuation
60
DAVID KEMP BATTLE CORP. (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 · 828-335-7495 · xdiversify.wpcomstaging.com
Recruiting & transitionsM&A & valuation
60
VAMA OAK WEALTH, LLC (NEWTOWN, PA) left the SEC roster — its 120-day provisional registration did not convert (was $37.1M RAUM, 2 reps). IAPD ↗
$37.1M RAUM · 2 reps · 215-809-2011
Recruiting & transitionsM&A & valuation
60
KMT WEALTH MANAGEMENT, LLC (EL SEGUNDO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 773-895-8962 · kmtwealth.com
Recruiting & transitionsM&A & valuation
55
CIPHER CAPITAL LP (NEW YORK, NY) left the SEC roster (was $1.30B RAUM, 5 reps). IAPD ↗institutional
$1.30B RAUM · 5 reps · 646-416-6009 · ciphercap.com
Recruiting & transitionsM&A & valuation
53
XANTHOS CAPITAL MANAGEMENT LP (WELLINGTON, FL) left the SEC roster (was $300.0M RAUM, 4 reps). IAPD ↗institutional
$300.0M RAUM · 4 reps · 561-783-3590 · xanthoscap.com
Recruiting & transitionsM&A & valuation
50
SOCIAL CAPITAL (MENLO PARK, CA) left the SEC roster (was $1.49B RAUM, 7 reps). IAPD ↗fund
$1.49B RAUM · 7 reps · (650) 521-9007 · socialcapital.com
Recruiting & transitionsM&A & valuation
50
CNL STRATEGIC ASSET MANAGEMENT, LLC (ORLANDO, FL) left the SEC roster (was $4.4M RAUM, 2 reps). IAPD ↗institutional
$4.4M RAUM · 2 reps · 407-650-1000
Recruiting & transitionsM&A & valuation
50
VATIC INVESTMENTS (NEW YORK, NY) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 646-202-1494 · vaticlabs.ai
Recruiting & transitionsM&A & valuation
50
SAGOL ADVISORS LLC (NEW YORK, NY) left the SEC roster (was $34.3M RAUM, 1 reps). IAPD ↗institutional
$34.3M RAUM · 1 reps · 8459451208
Recruiting & transitionsM&A & valuation
50
KULTURA CAPITAL MANAGEMENT LP (PARK CITY, UT) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 5 reps). IAPD ↗institutional
$0 RAUM · 5 reps · 858-298-4888 · kulturacap.com
Recruiting & transitionsM&A & valuation
50
VISDOM INVESTMENT GROUP LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · (203) 803-7222
Recruiting & transitionsM&A & valuation
50
RESOLUTE MANAGER LP (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 202-223-7394
Recruiting & transitionsM&A & valuation
48
MFP INVESTORS LLC (NEW YORK, NY) left the SEC roster (was $487.0M RAUM, 4 reps). IAPD ↗fund
$487.0M RAUM · 4 reps · 212 752-7280
Recruiting & transitionsM&A & valuation
48
NARA CAPITAL, LP (FAIRFIELD, NJ) left the SEC roster (was $419.1M RAUM, 3 reps). IAPD ↗fund
$419.1M RAUM · 3 reps · (212) 256-8470
Recruiting & transitionsM&A & valuation
48
ZENYATTA CAPITAL MANAGEMENT LP (FAIRFIELD, CT) left the SEC roster (was $295.8M RAUM, 4 reps). IAPD ↗fund
$295.8M RAUM · 4 reps · 203-292-2800 · zenyattacapital.com
Recruiting & transitionsM&A & valuation
45
CENTURY BRIDGE PARTNERS MANAGEMENT, LLC (DALLAS, TX) left the SEC roster (was $13.0M RAUM, 8 reps). IAPD ↗fund
$13.0M RAUM · 8 reps · 817-437-9760 · centurybridge.com
Recruiting & transitionsM&A & valuation
45
SPEYSIDE FUND ADVISERS LLC (SOUTHFIELD, MI) left the SEC roster (was $77.6M RAUM, 4 reps). IAPD ↗fund
$77.6M RAUM · 4 reps · 855-233-5695 · speysideequity.com
Recruiting & transitionsM&A & valuation
45
KIG INVESTMENT MANAGEMENT, LLC (KEY BISCAYNE, FL) left the SEC roster (was $86.5M RAUM, 2 reps). IAPD ↗fund
$86.5M RAUM · 2 reps · 617-938-3443 · kigip.com
Recruiting & transitionsM&A & valuation
45
SOUTH HARBOR MANAGEMENT LLC (PORTSMOUTH, NH) left the SEC roster (was $55.7M RAUM, 1 reps). IAPD ↗fund
$55.7M RAUM · 1 reps · 603-407-0559
Recruiting & transitionsM&A & valuation
45
NORTH SHIELD CAPITAL LLC (NEW YORK, NY) left the SEC roster (was $53.3M RAUM, 4 reps). IAPD ↗fund
$53.3M RAUM · 4 reps · 917-546-2079
Recruiting & transitionsM&A & valuation
45
NEW HYDE PARK ASSET MANAGEMENT LLC (WHEATON, IL) left the SEC roster — its 120-day provisional registration did not convert (was $21.8M RAUM, 10 reps). IAPD ↗fund
$21.8M RAUM · 10 reps · 312-375-4903 · nhpaf.com
Recruiting & transitionsM&A & valuation
45
BLKBRD ASSET MANAGEMENT (GREENWICH, CT) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · -6707
Recruiting & transitionsM&A & valuation
35
TACTICAL GLOBAL MANAGEMENT LIMITED (BRISBANE, Australia) left the SEC roster (was $9.15B RAUM, 4 reps). IAPD ↗foreign
$9.15B RAUM · 4 reps · +61 7 3239 2777
Recruiting & transitionsM&A & valuation
35
SOMERSET CAPITAL MANAGEMENT LLP (LONDON, United Kingdom) left the SEC roster (was $4.24B RAUM, 15 reps). IAPD ↗foreign
$4.24B RAUM · 15 reps · 44 207 259 1300 · somersetcm.com
Recruiting & transitionsM&A & valuation
33
LIJARO ASSET MANAGEMENT (LONDON, United Kingdom) left the SEC roster (was $801.1M RAUM, 4 reps). IAPD ↗foreign
$801.1M RAUM · 4 reps · +44 207 963 1762 · lijaro.com
Recruiting & transitionsM&A & valuation
30
NIKKO ASSET MANAGEMENT HONG KONG LIMITED (HONG KONG, Hong Kong) left the SEC roster (was $35.5M RAUM, 2 reps). IAPD ↗foreign
$35.5M RAUM · 2 reps · -6988 · nikkoam.com.hk
Recruiting & transitionsM&A & valuation
30
TIMESWELL ROBO ADVISORS (BEIJING, China) left the SEC roster (was $2,166 RAUM, 2 reps). IAPD ↗foreign
$2,166 RAUM · 2 reps · 8610-85900378 · timeswelladvisor.com
Recruiting & transitionsM&A & valuation
30
ORACLE ALPHA INC (TORONTO, Canada) left the SEC roster (was $172.9M RAUM, 6 reps). IAPD ↗foreign
$172.9M RAUM · 6 reps · 212-537-6299
Recruiting & transitionsM&A & valuation
disclosure added — 37 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 1 (102 -> 103). IAPD ↗
$27.45B RAUM · 1126 reps · 212-668-8000 · oppenheimer.com
ComplianceMarketing & brand
55
EDWARD JONES's Item 11 disclosure-reporting entries rose by 2 (102 -> 104). IAPD ↗
$692.25B RAUM · 21219 reps · 314-515-2000 · vimeo.com
ComplianceMarketing & brand
55
GOLDMAN SACHS & CO. LLC's Item 11 disclosure-reporting entries rose by 1 (757 -> 758). IAPD ↗
$222.74B RAUM · 2406 reps · 212-902-1000
ComplianceMarketing & brand
55
HILLTOP SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 1 (90 -> 91). IAPD ↗
$1.87B RAUM · 113 reps · 214-859-1800 · advisor.hilltopsecurities.com
ComplianceMarketing & brand
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 3 (481 -> 484). IAPD ↗
$1271.59B RAUM · 26251 reps · 800-637-7455
ComplianceMarketing & brand
55
COMMONWEALTH FINANCIAL NETWORK's Item 11 disclosure-reporting entries rose by 1 (12 -> 13). IAPD ↗
$177.03B RAUM · 3000 reps · 781-736-0700
ComplianceMarketing & brand
55
STIFEL INDEPENDENT ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗
$3.56B RAUM · 127 reps · 314-342-4051 · clientfirst-financial.com
ComplianceMarketing & brand
55
RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 2 (226 -> 228). IAPD ↗
$201.26B RAUM · 2042 reps · 212-858-7000 · us.rbcwealthmanagement.com
ComplianceMarketing & brand
55
VALIC FINANCIAL ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 2 (46 -> 48). IAPD ↗
$25.25B RAUM · 1289 reps · 866-544-4968 · corebridgefinancial.com
ComplianceMarketing & brand
55
MANULIFE INVESTMENT MANAGEMENT (US) LLC's Item 11 disclosure-reporting entries rose by 1 (18 -> 19). IAPD ↗
$188.78B RAUM · 138 reps · 617-375-1500
ComplianceMarketing & brand
55
VANGUARD ADVISERS, INC.'s Item 11 disclosure-reporting entries rose by 1 (14 -> 15). IAPD ↗
$333.07B RAUM · 1558 reps · 610-669-1000
ComplianceMarketing & brand
55
UBS ASSET MANAGEMENT (AMERICAS) LLC's Item 11 disclosure-reporting entries rose by 51 (62 -> 113). IAPD ↗
$477.86B RAUM · 411 reps · 212-821-3000 · ubs.com
ComplianceMarketing & brand
55
EAGLE STRATEGIES LLC's Item 11 disclosure-reporting entries rose by 2 (55 -> 57). IAPD ↗
$20.36B RAUM · 1982 reps · (888) 695-3245
ComplianceMarketing & brand
55
PNC INVESTMENTS's Item 11 disclosure-reporting entries rose by 10 (8 -> 18). IAPD ↗
$23.90B RAUM · 778 reps · 800-762-6111 · pnc.com
ComplianceMarketing & brand
55
AE WEALTH MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 3 (56 -> 59). IAPD ↗
$27.08B RAUM · 449 reps · 866-363-9595 · joinaewealth.com
ComplianceMarketing & brand
53
PRESTIGE WEALTH MANAGEMENT GROUP, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$498.5M RAUM · 4 reps · 908-782-0001
ComplianceMarketing & brand
53
CREAND MANAGEMENT's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$508.3M RAUM · 17 reps · 305-358-8844 · creditandorragroup.com
ComplianceMarketing & brand
53
CREDICORP CAPITAL ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (3 -> 5). IAPD ↗
$694.6M RAUM · 7 reps · 305-455-0975 · credicorpcapitalinvest.com
ComplianceMarketing & brand
53
BLACKSTON FINANCIAL ADVISORY GROUP, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$252.5M RAUM · 4 reps · 352-633-9046
ComplianceMarketing & brand
53
SAVVY's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$401.3M RAUM · 10 reps · 833-745-6789
ComplianceMarketing & brand
50
INSIGHT SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 2 (5 -> 7). IAPD ↗
$126.7M RAUM · 10 reps · 224-632-4700 · insightamericas.net
ComplianceMarketing & brand
50
SUPREME ALLIANCE LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$11.1M RAUM · 13 reps · 561-460-2870 · supremealliancellc.com
ComplianceMarketing & brand
50
DES MOINES INVESTMENTS, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$170.0M RAUM · 2 reps · 515-777-1149 · investdsmi.com
ComplianceMarketing & brand
50
MONEX ASSET MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 2 (8 -> 10). IAPD ↗
$200.9M RAUM · 14 reps · 713-877-8234 · monexsec.com
ComplianceMarketing & brand
50
PLANVISION, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$0 RAUM · 3 reps · (612) 965-4286 · planvisionmn.com
ComplianceMarketing & brand
50
PHASE LINE CAPITAL, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$34.0M RAUM · 2 reps · 404-806-9505 · phaselinecapital.com
ComplianceMarketing & brand
50
VISTA INVESTMENT PARTNERS's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$249.6M RAUM · 4 reps · 765-962-5153 · vistainvestment.net
ComplianceMarketing & brand
45
SUNAMERICA ASSET MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (20 -> 22). IAPD ↗institutional
$57.90B RAUM · 12 reps · 201-324-6300 · corebridgefinancial.com
ComplianceMarketing & brand
45
SEGANTII CAPITAL MANAGEMENT (USA) LLC's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗institutional
$11.10B RAUM · 12 reps · +1 212 818 8900
ComplianceMarketing & brand
43
BMO CAPITAL MARKETS CORP.'s Item 11 disclosure-reporting entries rose by 1 (30 -> 31). IAPD ↗institutional
$796.4M RAUM · 25 reps · (212) 605-1504 · bmocm.com
ComplianceMarketing & brand
40
BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 10 (95 -> 105). IAPD ↗institutional
$0 RAUM · 314 reps · 646-743-2734 · bankofamerica.com
ComplianceMarketing & brand
40
E2P's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$1.70B RAUM · 13 reps · 312-872-0030
ComplianceMarketing & brand
38
HARREN EQUITY PARTNERS, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$799.1M RAUM · 7 reps · 434-245-5800 · harrenequity.com
ComplianceMarketing & brand
25
INVESCO HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗foreign
$25.98B RAUM · 83 reps · 852 3128 6000
ComplianceMarketing & brand
25
MANULIFE INVESTMENT MANAGEMENT (NORTH AMERICA) LIMITED's Item 11 disclosure-reporting entries rose by 1 (10 -> 11). IAPD ↗foreign
$19.94B RAUM · 26 reps · 416-524-9687
ComplianceMarketing & brand
25
DWS ALTERNATIVES GLOBAL LIMITED's Item 11 disclosure-reporting entries rose by 1 (101 -> 102). IAPD ↗foreign
$16.10B RAUM · 76 reps · 44 207 547 5344
ComplianceMarketing & brand
25
INVESCO ASSET MANAGEMENT (INDIA) PVT. LTD.'s Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗foreign
$6.38B RAUM · 18 reps · 91 22 6731 0000 · invescomutualfund.com
ComplianceMarketing & brand
website changed — 27 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
ZACKS INVESTMENT MANAGEMENT, INC. changed its website from zackspcg.com to zacksandassociates.com. IAPD ↗
$10.56B RAUM · 11 reps · 312-265-9266 · zacksandassociates.com
Marketing & brand
30
COOPER MCMANUS changed its website from morgansterlingpwm.com to larsonfs.com. IAPD ↗
$1.58B RAUM · 38 reps · 800-516-5333 · larsonfs.com
Marketing & brand
30
EIDE BAILLY ADVISORS, LLC changed its website from eidebaillyfinancialservices.com to eidebaillywealth.com. IAPD ↗
$1.33B RAUM · 17 reps · 866-740-4100 · eidebaillywealth.com
Marketing & brand
30
SRS CAPITAL ADVISORS, INC. changed its website from sealfinancial.com to simondavisinc.com. IAPD ↗
$1.44B RAUM · 17 reps · 303-633-5900 · simondavisinc.com
Marketing & brand
30
BILL FEW ASSOCIATES, INC. changed its website from billfew.com to google.com. IAPD ↗
$2.13B RAUM · 29 reps · 412 630-6000 · google.com
Marketing & brand
30
CGN ADVISORS, LLC changed its website from growingfortunes.com to dekfinancialsolutions.com. IAPD ↗
$1.14B RAUM · 41 reps · 910-333-6659 · dekfinancialsolutions.com
Marketing & brand
30
ONEASCENT FINANCIAL SERVICES LLC changed its website from anthemwealthadvisors.com to zahoranski.oneascent.com. IAPD ↗
$1.79B RAUM · 39 reps · 205-313-9142 · zahoranski.oneascent.com
Marketing & brand
28
FINANCIAL CONSULATE changed its website from financialconsulate.com to moneyrichesandwealth.com. IAPD ↗
$782.3M RAUM · 12 reps · 410-823-7283 · moneyrichesandwealth.com
Marketing & brand
28
PKS ADVISORY SERVICES, LLC changed its website from themacalusogroup.com to woehlerfinancialgroup.com. IAPD ↗
$697.7M RAUM · 37 reps · (518) 426-5791 · woehlerfinancialgroup.com
Marketing & brand
28
CASSADY SCHILLER WEALTH MANAGEMENT, LLC changed its website from cassadyschiller.com to cassadyschillerwealth.com. IAPD ↗
$517.4M RAUM · 8 reps · 513-483-6657 · cassadyschillerwealth.com
Marketing & brand
28
MEASURED RISK PORTFOLIOS changed its website from measuredriskportfolios.com to kingsroadinc.com. IAPD ↗
$297.8M RAUM · 2 reps · 858-935-1125 · kingsroadinc.com
Marketing & brand
28
SB ADVISORY, LLC changed its website from thehendersonfinancialgroup.com to pnwadvisory.com. IAPD ↗
$285.9M RAUM · 29 reps · 404-704-0406 · pnwadvisory.com
Marketing & brand
28
INVESTOR FAN changed its website from investorfan.com to thewaytoinvest.com. IAPD ↗
$255.4M RAUM · 7 reps · 425-372-7517 · thewaytoinvest.com
Marketing & brand
28
GOLDSTONE FINANCIAL GROUP, LLC changed its website from goldstonefinancialgroup.com to pinterest.com. IAPD ↗
$557.2M RAUM · 10 reps · 630-620-9300 · pinterest.com
Marketing & brand
28
SAXON FINANCIAL GROUP changed its website from saxonfinancialgroup.com to lovefinancialgroup.com. IAPD ↗
$535.0M RAUM · 13 reps · 713-425-5340 · lovefinancialgroup.com
Marketing & brand
25
CONTINUITY WEALTH MANAGEMENT, CORP. changed its website from srmadvisors.com to continuitywm.com. IAPD ↗
$158.1M RAUM · 2 reps · 503-244-8905 · continuitywm.com
Marketing & brand
25
WEALTHCARE ASSET MANAGEMENT, LLC changed its website from wealthcarecorp.com to wealthcareassetmanagement.com. IAPD ↗
$131.5M RAUM · 3 reps · 417-865-0936 · wealthcareassetmanagement.com
Marketing & brand
25
ATLANTIC WEALTH PARTNERS, LLC changed its website from atlanticwealthpartners.com to atlanticwp.com. IAPD ↗
$227.7M RAUM · 3 reps · 561-632-0566 · atlanticwp.com
Marketing & brand
25
BENCHMARK ADVISORY SERVICES, LLC changed its website from benchmarkinvestments.com to kingswoodus.com. IAPD ↗
$0 RAUM · 2 reps · 800-535-6981 · kingswoodus.com
Marketing & brand
25
DISCIPLINE WEALTH SOLUTIONS, INC. changed its website from disciplinewealth.com to stahlneckergroup.com. IAPD ↗
$93.0M RAUM · 3 reps · 864-322-6046 · stahlneckergroup.com
Marketing & brand
25
INTENTIONAL changed its website from i10wealth.com to primewm.com. IAPD ↗
$124.7M RAUM · 3 reps · 1-866-752-6410 · primewm.com
Marketing & brand
15
ZAIS GROUP changed its website from zaisesg.com to zaisimpact.eu. IAPD ↗fund
$6.04B RAUM · 22 reps · 732-530-3610 · zaisimpact.eu
Marketing & brand
15
BLUE OWL REAL ESTATE CAPITAL LLC changed its website from blueowl.com to blueowlproducts.com. IAPD ↗fund
$25.06B RAUM · 30 reps · (212) 419-3000 · blueowlproducts.com
Marketing & brand
15
MONARCH PLAN ADVISORS changed its website from monarchcorpadvisors.com to monarch401k.com. IAPD ↗institutional
$0 RAUM · 6 reps · (818) 444-0376 · monarch401k.com
Marketing & brand
15
3(38) INVESTMENT FIDUCIARIES changed its website from 338if.com to 338investmentfiduciaries.com. IAPD ↗institutional
$0 RAUM · 3 reps · (818) 296-9529 · 338investmentfiduciaries.com
Marketing & brand
15
QUANTIFY FUNDS changed its website from quantifiedfunds.com to quantifyfunds.com. IAPD ↗institutional
$2 RAUM · 3 reps · 917-696-6359 · quantifyfunds.com
Marketing & brand
13
SABREPOINT CAPITAL MANAGEMENT changed its website from sabrepointcapital.net to sabrepointcapital.com. IAPD ↗fund
$397.8M RAUM · 5 reps · 214-432-1593 · sabrepointcapital.com
Marketing & brand
aum up — 25 Regulatory AUM up >=25% since last filing.
73
PERMANENT CAPITAL MANAGEMENT, LP reported RAUM up 200% ($121.6M -> $365.1M). IAPD ↗
$365.1M RAUM · 1 reps · 312-961-8251
Portfolio / reporting / TAMPCRMFinancial planning software
71
RAREVIEW CAPITAL LLC reported RAUM up 67% ($172.9M -> $288.3M). IAPD ↗
$288.3M RAUM · 2 reps · 212-475-8664
Portfolio / reporting / TAMPCRMFinancial planning software
70
QUINT CAPITAL MANAGEMENT reported RAUM up 109% ($70.0M -> $146.5M). IAPD ↗
$146.5M RAUM · 15 reps · 212-682-5090 · quintcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
INTEGRATED QUANTITATIVE INVESTMENTS LLC reported RAUM up 507% ($26.9M -> $163.5M). IAPD ↗
$163.5M RAUM · 5 reps · 12067175559 · integratedquant.com
Portfolio / reporting / TAMPCRMFinancial planning software
68
PINION WEALTH MANAGEMENT, LLC reported RAUM up 51% ($326.6M -> $493.9M). IAPD ↗
$493.9M RAUM · 7 reps · 316-682-8344
Portfolio / reporting / TAMPCRMFinancial planning software
67
BARON CAPITAL MANAGEMENT, INC. reported RAUM up 37% ($2.98B -> $4.08B). IAPD ↗
$4.08B RAUM · 45 reps · 212-583-2000
Portfolio / reporting / TAMPCRMFinancial planning software
65
UBS ASSET MANAGEMENT (AMERICAS) LLC reported RAUM up 30% ($367.88B -> $477.86B). IAPD ↗
$477.86B RAUM · 411 reps · 212-821-3000 · ubs.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
ZACKS INVESTMENT MANAGEMENT, INC. reported RAUM up 26% ($8.37B -> $10.56B). IAPD ↗
$10.56B RAUM · 11 reps · 312-265-9266 · zacksandassociates.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
BOSUN ASSET MANAGEMENT, LLC reported RAUM up 51% ($163.9M -> $247.6M). IAPD ↗
$247.6M RAUM · 8 reps · 707-402-9922 · bosunam.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
PIVOTAL ADVISORS LLC reported RAUM up 38% ($303.8M -> $420.5M). IAPD ↗
$420.5M RAUM · 3 reps · 646-535-1097 · pivotal-advisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
64
RWA ADVISORS reported RAUM up 47% ($117.5M -> $172.6M). IAPD ↗
$172.6M RAUM · 1 reps · 561-288-1160
Portfolio / reporting / TAMPCRMFinancial planning software
64
BCU WEALTH ADVISORS, LLC reported RAUM up 30% ($345.8M -> $449.9M). IAPD ↗
$449.9M RAUM · 3 reps · 847-932-8007 · targetcu.org
Portfolio / reporting / TAMPCRMFinancial planning software
64
ZURAW FINANCIAL ADVISORS, LLC reported RAUM up 34% ($316.0M -> $424.8M). IAPD ↗
$424.8M RAUM · 1 reps · 336. 290 7062 EXT 101
Portfolio / reporting / TAMPCRMFinancial planning software
63
DMK ADVISOR GROUP, INC. reported RAUM up 42% ($56.7M -> $80.6M). IAPD ↗
$80.6M RAUM · 25 reps · 813-996-6100
Portfolio / reporting / TAMPCRMFinancial planning software
63
MWM GROUP LLC reported RAUM up 25% ($244.3M -> $306.3M). IAPD ↗
$306.3M RAUM · 1 reps · 718-696-4000
Portfolio / reporting / TAMPCRMFinancial planning software
63
COLLER PRIVATE MARKET SECONDARIES ADVISORS, LLC reported RAUM up 323793% ($100,000 -> $323.9M). IAPD ↗institutional
$323.9M RAUM · 0 reps · 212 644 8500
Portfolio / reporting / TAMPCRMFinancial planning software
60
EQUANIMITY FINANCIAL PARTNERS reported RAUM up 28% ($115.5M -> $147.7M). IAPD ↗
$147.7M RAUM · 2 reps · 626-529-8347 · equanimityfinancial.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
ADVANTAGE WEALTH ADVISORS reported RAUM up 28% ($106.9M -> $136.4M). IAPD ↗
$136.4M RAUM · 6 reps · (925) 837-1600 · advantagewealth.com
Portfolio / reporting / TAMPCRMFinancial planning software
56
ENGINEERS GATE MANAGER LP reported RAUM up 55% ($6.48B -> $10.05B). IAPD ↗fund
$10.05B RAUM · 65 reps · 646-757-2800
Portfolio / reporting / TAMPCRMFinancial planning software
55
MARSHALL WACE NORTH AMERICA L.P. reported RAUM up 51% ($18.87B -> $28.56B). IAPD ↗fund
$28.56B RAUM · 89 reps · 212-235-2800
Portfolio / reporting / TAMPCRMFinancial planning software
53
MARCADO ASSET MANAGEMENT LLC reported RAUM up 44% ($18.0M -> $25.9M). IAPD ↗institutional
$25.9M RAUM · 3 reps · 210-320-1171 · marcado.com
Portfolio / reporting / TAMPCRMFinancial planning software
53
SAGEHALL MANAGEMENT LP reported RAUM up 27% ($570.6M -> $721.8M). IAPD ↗institutional
$721.8M RAUM · 10 reps · 917-671-9690 · sagehallpartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
49
BP CAPITAL ENERGY ADVISORS, LLC reported RAUM up 33% ($637.3M -> $847.4M). IAPD ↗fund
$847.4M RAUM · 8 reps · 214-265-1090 · bpenergypartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
49
SILVERARC CAPITAL MANAGEMENT, LLC reported RAUM up 34% ($538.7M -> $723.9M). IAPD ↗fund
$723.9M RAUM · 5 reps · 617-284-6952 · silverarccapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
40
PARVUS ASSET MANAGEMENT EUROPE LIMITED reported RAUM up 52% ($7.60B -> $11.55B). IAPD ↗foreign
$11.55B RAUM · 1 reps · 44 20 7758 4180 · parvusfunds.com
Portfolio / reporting / TAMPCRMFinancial planning software
pending approved — 24 120-day provisional registration became a full approval.
75
FORZA INVESTMENT GROUP, LP's provisional registration is now fully approved. IAPD ↗
$1.36B RAUM · 6 reps · 973-315-5394
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
STEADMONT ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$308.1M RAUM · 4 reps · (205) 721-7005 · steadmontadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
HAVEN PRIVATE's provisional registration is now fully approved. IAPD ↗
$319.7M RAUM · 4 reps · 321-329-8674 · havenprivate.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
POTENTIA WEALTH's provisional registration is now fully approved. IAPD ↗
$309.9M RAUM · 6 reps · 408-288-7886
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
TIEMPO CAPITAL PARTNERS's provisional registration is now fully approved. IAPD ↗
$264.5M RAUM · 2 reps · 954-849-3099
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
PROMETHIUM's provisional registration is now fully approved. IAPD ↗
$281.9M RAUM · 2 reps · 202-978-2519 · promethiumadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ALTITUDE CAPITAL MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 3 reps · 515-207-3310 · altitudecm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TC43 LLC's provisional registration is now fully approved. IAPD ↗
$66.7M RAUM · 6 reps · 917-363-7217
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
WELCH FINANCIAL PLANNING, LLC's provisional registration is now fully approved. IAPD ↗
$123.9M RAUM · 2 reps · 303-939-8766
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BLUE SKY CAPITAL CONSULTANTS GROUP, INC.'s provisional registration is now fully approved. IAPD ↗
$193.4M RAUM · 3 reps · 858-513-8445
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FRIDAY FINANCIAL's provisional registration is now fully approved. IAPD ↗
$129.1M RAUM · 4 reps · (563) 552-7526
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
HOLOS INTEGRATED WEALTH's provisional registration is now fully approved. IAPD ↗
$167.0M RAUM · 2 reps · 484-893-4599
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MINDSET WEALTH MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$205.7M RAUM · 4 reps · 317-348-4655 · mindsetwealthmanagement.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
LINGOTTO US LLC's provisional registration is now fully approved. IAPD ↗institutional
$654.0M RAUM · 1 reps · 1 332-287-8999 · lingotto.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
SOUND CAPITAL SOLUTIONS LLC's provisional registration is now fully approved. IAPD ↗institutional
$45.5M RAUM · 5 reps · 630-853-3300 · soundcapitalsolutions.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
HELIX PARTNERS MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗fund
$1.15B RAUM · 7 reps · 212-379-4949
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
FREESTONE GROVE PARTNERS LP's provisional registration is now fully approved. IAPD ↗fund
$5.99B RAUM · 53 reps · 4159074024 · fgrovep.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
TOWN LANE MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗fund
$1.32B RAUM · 7 reps · 212-404-7904 · townlane.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
GRAVIMARK LLC's provisional registration is now fully approved. IAPD ↗institutional
$26.0M RAUM · 2 reps · 914-268-8685
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
VENNLIGHT CAPITAL MANAGEMENT, LP's provisional registration is now fully approved. IAPD ↗institutional
$104.3M RAUM · 3 reps · 203-935-3203
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
ATLANTIC UNION MUNICIPAL ADVISORS, INC's provisional registration is now fully approved. IAPD ↗institutional
$195.4M RAUM · 4 reps · 804-802-4955X6055
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
EVEN HERD LLC's provisional registration is now fully approved. IAPD ↗institutional
$47.8M RAUM · 1 reps · 405-939-6339 · evenherd.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
1876 PARTNERS, LP's provisional registration is now fully approved. IAPD ↗fund
$252.5M RAUM · 5 reps · 281-545-7805
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
TRIANGLE INVESTMENT MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗fund
$128.0M RAUM · 8 reps · 646-346-8871
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
custody started — 22 Firm now reports custody of client assets — surprise exams and controls follow.
70
UBS ASSET MANAGEMENT (AMERICAS) LLC now reports custody of client assets ($219.47B). IAPD ↗
$477.86B RAUM · 411 reps · 212-821-3000 · ubs.com
ComplianceCustodian
68
CLARITY CAPITAL PARTNERS now reports custody of client assets ($254.6M). IAPD ↗
$371.4M RAUM · 11 reps · 800-805-7526 · claritycapitalllc.com
ComplianceCustodian
68
CANDACE SHIRA ASSOCIATES, LLC now reports custody of client assets ($86.5M). IAPD ↗
$367.4M RAUM · 3 reps · 585-249-1550 · candaceshira.com
ComplianceCustodian
68
CURRAN FINANCIAL PARTNERS, LLC now reports custody of client assets ($189.2M). IAPD ↗
$472.7M RAUM · 10 reps · (843) 300-1182
ComplianceCustodian
68
FIORI FINANCIAL GROUP now reports custody of client assets. IAPD ↗
$385.3M RAUM · 5 reps · 954-763-2600
ComplianceCustodian
65
TYNER CAPITAL MANAGEMENT INVESTMENT COUNSEL, INC. now reports custody of client assets ($57.9M). IAPD ↗
$210.2M RAUM · 1 reps · 423-886-2625
ComplianceCustodian
65
WEALTH ANALYTICS PARTNERS, LLC now reports custody of client assets ($126.3M). IAPD ↗
$237.7M RAUM · 5 reps · 858-794-2100
ComplianceCustodian
65
PROFICIENT WEALTH COUNSELORS, LLC now reports custody of client assets ($2.3M). IAPD ↗
$106.2M RAUM · 1 reps · 781-278-9488 · proficientwealth.com
ComplianceCustodian
65
BEERS KIGHT FINANCIAL ADVISORS, LLC now reports custody of client assets ($26.0M). IAPD ↗
$172.3M RAUM · 2 reps · 803-787-0003
ComplianceCustodian
65
PUSHKIN ADVISORY GROUP, LLC now reports custody of client assets ($32.3M). IAPD ↗
$36.7M RAUM · 1 reps · 315-269-2828
ComplianceCustodian
65
TRADEWAY now reports custody of client assets ($68.4M). IAPD ↗
$68.4M RAUM · 17 reps · 877-777-0703 · tradeway.com
ComplianceCustodian
65
CATALYST WEALTH MANAGEMENT now reports custody of client assets ($71.7M). IAPD ↗
$71.7M RAUM · 1 reps · 773-774-2600 · catalystwealthmgmt.com
ComplianceCustodian
65
CENTRAL WEALTH MANAGEMENT LLC now reports custody of client assets ($45.3M). IAPD ↗
$101.3M RAUM · 1 reps · 608-841-1555 · centralwealthmanagement.com
ComplianceCustodian
65
FUNDIFY ADVISORS LLC now reports custody of client assets. IAPD ↗
$0 RAUM · 3 reps · 512-645-1010 · fundify.com
ComplianceCustodian
65
BURR FINANCIAL SERVICES, LLC now reports custody of client assets ($55.9M). IAPD ↗
$118.5M RAUM · 3 reps · 925-676-6007
ComplianceCustodian
65
EMBARCADERO CAPITAL ADVISORS now reports custody of client assets ($7.0M). IAPD ↗
$40.0M RAUM · 2 reps · 949-371-9796 · embarcaderocapitaladvisors.com
ComplianceCustodian
65
SOLOMON CAPITAL PARTNERS LLC now reports custody of client assets. IAPD ↗
$0 RAUM · 1 reps · 248-875-5700
ComplianceCustodian
65
BLACK POINT WEALTH MANAGEMENT now reports custody of client assets ($41.0M). IAPD ↗
$187.5M RAUM · 2 reps · 239-306-6300
ComplianceCustodian
65
TC43 LLC now reports custody of client assets ($21.5M). IAPD ↗
$66.7M RAUM · 6 reps · 917-363-7217
ComplianceCustodian
65
GATEPASS CAPITAL, LLC now reports custody of client assets ($44.5M). IAPD ↗
$103.2M RAUM · 3 reps · 833-428-3727 · gatepass.capital
ComplianceCustodian
65
FRIDAY FINANCIAL now reports custody of client assets ($44.0M). IAPD ↗
$129.1M RAUM · 4 reps · (563) 552-7526
ComplianceCustodian
50
TRIANGLE INVESTMENT MANAGEMENT, LLC now reports custody of client assets ($256.0M). IAPD ↗fund
$128.0M RAUM · 8 reps · 646-346-8871
ComplianceCustodian
headcount up — 19 Advisory representative count grew materially (>=20% or >=5 reps).
85
UBS ASSET MANAGEMENT (AMERICAS) LLC grew from 216 to 411 advisory reps. IAPD ↗
$477.86B RAUM · 411 reps · 212-821-3000 · ubs.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
BLACKROCK INVESTMENT MANAGEMENT, LLC grew from 0 to 536 advisory reps. IAPD ↗
$458.19B RAUM · 536 reps · 609 282 2000 · douyin.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC grew from 74 to 99 advisory reps. IAPD ↗
$11.29B RAUM · 99 reps · 312-334-7300 · kovitz.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
SEGALL BRYANT & HAMILL grew from 46 to 51 advisory reps. IAPD ↗
$17.21B RAUM · 51 reps · 1-800-836-4265
CRMRecruiting & transitionsComplianceFinancial planning software
74
STONEBRIDGE FINANCIAL GROUP, LLC grew from 13 to 17 advisory reps. IAPD ↗
$1.58B RAUM · 17 reps · 717-736-7007
CRMRecruiting & transitionsComplianceFinancial planning software
70
MARSHALL WACE NORTH AMERICA L.P. grew from 60 to 89 advisory reps. IAPD ↗fund
$28.56B RAUM · 89 reps · 212-235-2800
CRMRecruiting & transitionsComplianceFinancial planning software
70
PETERSON WEALTH SERVICES INC. grew from 3 to 5 advisory reps. IAPD ↗
$394.0M RAUM · 5 reps · 801-475-4002
CRMRecruiting & transitionsComplianceFinancial planning software
70
TC43 LLC grew from 1 to 6 advisory reps. IAPD ↗
$66.7M RAUM · 6 reps · 917-363-7217
CRMRecruiting & transitionsComplianceFinancial planning software
68
SUPREME ALLIANCE LLC grew from 10 to 13 advisory reps. IAPD ↗
$11.1M RAUM · 13 reps · 561-460-2870 · supremealliancellc.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
BOSUN ASSET MANAGEMENT, LLC grew from 5 to 8 advisory reps. IAPD ↗
$247.6M RAUM · 8 reps · 707-402-9922 · bosunam.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
BULMAN WEALTH GROUP grew from 2 to 5 advisory reps. IAPD ↗
$148.2M RAUM · 5 reps · 916-458-8199 · bulmanwealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
THE PROSPERITY PEOPLE grew from 1 to 3 advisory reps. IAPD ↗
$127.1M RAUM · 3 reps · 859-331-7755 · theprosperitypeople.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
TRU INDEPENDENCE ASSET MANAGEMENT 2 grew from 2 to 4 advisory reps. IAPD ↗
$117.2M RAUM · 4 reps · 971-371-3444 · relywealth.us
CRMRecruiting & transitionsComplianceFinancial planning software
67
SEVENTWO, LLC grew from 3 to 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · (617) 800-0388
CRMRecruiting & transitionsComplianceFinancial planning software
67
GATEPASS CAPITAL, LLC grew from 1 to 3 advisory reps. IAPD ↗
$103.2M RAUM · 3 reps · 833-428-3727 · gatepass.capital
CRMRecruiting & transitionsComplianceFinancial planning software
61
MTC WEALTH MANAGEMENT grew from 3 to 6 advisory reps. IAPD ↗institutional
$313.6M RAUM · 6 reps · 888-727-9191 · mtcwealthmanagement.com
CRMRecruiting & transitionsComplianceFinancial planning software
60
ENGINEERS GATE MANAGER LP grew from 60 to 65 advisory reps. IAPD ↗fund
$10.05B RAUM · 65 reps · 646-757-2800
CRMRecruiting & transitionsComplianceFinancial planning software
59
TOWN LANE MANAGEMENT LP grew from 3 to 7 advisory reps. IAPD ↗fund
$1.32B RAUM · 7 reps · 212-404-7904 · townlane.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
HIGHCREST CAPITAL, LLC grew from 8 to 10 advisory reps. IAPD ↗fund
$666.7M RAUM · 10 reps · 830-214-2770 · highcrestcapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
relocation — 19 Main office moved to a different city or state.
48
STANSBERRY ASSET MANAGEMENT, LLC moved its main office from NEW YORK, NY to WESTLAKE, TX. IAPD ↗
$875.5M RAUM · 6 reps · 646-854-4370 · stansberryam.com
Office IT & facilitiesMarketing & brand
48
LEGACY FINANCIAL STRATEGIES, LLC moved its main office from LEAWOOD, KS to OVERLAND PARK, KS. IAPD ↗
$645.6M RAUM · 12 reps · 913-403-0600 · legacykc.com
Office IT & facilitiesMarketing & brand
48
ADAMSBROWN WEALTH CONSULTANTS LLC moved its main office from GREAT BEND, KS to WICHITA, KS. IAPD ↗
$651.7M RAUM · 14 reps · (620) 792-2428 · adamsbrownwc.com
Office IT & facilitiesMarketing & brand
48
WAVELAND FAMILY OFFICE, LLC moved its main office from NORTHBROOK, IL to DEERFIELD, IL. IAPD ↗
$359.0M RAUM · 1 reps · (847) 874-8210
Office IT & facilitiesMarketing & brand
45
BENJAMIN SECURITIES, INC. moved its main office from HAUPPAUGE, NY to PENSACOLA, FL. IAPD ↗
$26.0M RAUM · 3 reps · 516-931-1090 · benjaminsecurities.com
Office IT & facilitiesMarketing & brand
45
CONTEGO CAPITAL GROUP, INC. moved its main office from EDINA, MN to MINNEAPOLIS, MN. IAPD ↗
$67.9M RAUM · 5 reps · 952-697-2570 · contegocap.com
Office IT & facilitiesMarketing & brand
45
PRIVATE CLIENT ASSET MANAGEMENT, INC. moved its main office from GARDEN CITY, NY to MASSAPEQUA, NY. IAPD ↗
$134.4M RAUM · 2 reps · 516-280-4622 · pcaminvest.com
Office IT & facilitiesMarketing & brand
45
FARRIS CAPITAL MANAGEMENT INC. moved its main office from DALLAS, TX to CARROLLTON, TX. IAPD ↗
$127.4M RAUM · 3 reps · 214-525-2141 · farriscap.com
Office IT & facilitiesMarketing & brand
45
PHILADELPHIA PARTNERS CAPITAL MANAGEMENT, LLC moved its main office from BALTIMORE, MD to BALA CYNWYD, PA. IAPD ↗
$47.9M RAUM · 2 reps · 215-564-5750
Office IT & facilitiesMarketing & brand
45
AURDAN CAPITAL MANAGEMENT, LLC moved its main office from BERWYN, PA to WAYNE, PA. IAPD ↗
$0 RAUM · 2 reps · 267-547-8171
Office IT & facilitiesMarketing & brand
38
REGENTS PARK FUNDS, LLC moved its main office from NEWPORT BEACH, CA to IRVINE, CA. IAPD ↗institutional
$347.7M RAUM · 4 reps · 949-891-0600 · regentsparkfunds.com
Office IT & facilitiesMarketing & brand
38
LINGOTTO US LLC moved its main office from PLAINVIEW, NY to NEW YORK, NY. IAPD ↗institutional
$654.0M RAUM · 1 reps · 1 332-287-8999 · lingotto.com
Office IT & facilitiesMarketing & brand
35
COREBRIDGE INSTITUTIONAL INVESTMENTS (U.S.), LLC moved its main office from NEW YORK, NY to JERSEY CITY, NJ. IAPD ↗fund
$139.89B RAUM · 299 reps · 212-458-6082 · corebridgefinancial.com
Office IT & facilitiesMarketing & brand
35
ALBANY ROAD REAL ESTATE PARTNERS, LLC moved its main office from BOSTON, MA to DEDHAM, MA. IAPD ↗fund
$1.05B RAUM · 16 reps · 617-279-2360
Office IT & facilitiesMarketing & brand
35
59 NORTH CAPITAL MANAGEMENT, LP moved its main office from NEW YORK, NY to HOUSTON, TX. IAPD ↗fund
$2.47B RAUM · 4 reps · (713) 955-4809
Office IT & facilitiesMarketing & brand
35
VECTOR TECHNOLOGIES, LLC moved its main office from MIAMI BEACH, FL to MIAMI, FL. IAPD ↗institutional
$0 RAUM · 2 reps · 305-317-0140
Office IT & facilitiesMarketing & brand
33
KEY SQUARE GROUP LP moved its main office from GREENWICH, CT to STAMFORD, CT. IAPD ↗fund
$557.0M RAUM · 5 reps · 212-624-0550 · keysq.com
Office IT & facilitiesMarketing & brand
15
WHITE LIGHTHOUSE INVESTMENT MANAGEMENT S.A.R.L. moved its main office from 1006 LAUSANNE, to 1003 LAUSANNE, . IAPD ↗foreign
$80.2M RAUM · 2 reps · 41 22 548 1431 · white-lighthouse.ch
Office IT & facilitiesMarketing & brand
15
DRACO EVOLUTION moved its main office from NEWPORT BEACH, CA to TAIPEI CITY, . IAPD ↗foreign
$0 RAUM · 1 reps · 949-535-4675
Office IT & facilitiesMarketing & brand
rename — 18 Primary business name changed: rebrand, merger, or ownership change.
60
PARAGON ADVISORS, INC. is now doing business as NEW PARAGON, LLC. IAPD ↗
$1.00B RAUM · 10 reps · 216-491-3990 · paragonadvisors.net
Marketing & brandCRM
58
SALEM PARTNERS ADVISORS LLC DBA SALEM PARTNERS WEALTH MANAGEMENT is now doing business as SALEM PARTNERS WEALTH MANAGEMENT, LLC. IAPD ↗
$360.5M RAUM · 3 reps · 310-806-4200 · salempartners.com
Marketing & brandCRM
58
RHO PRIME is now doing business as RHO TREASURY. IAPD ↗
$279.5M RAUM · 1 reps · (855)743-8746 · rho.co
Marketing & brandCRM
58
HOLISTIC PLANNING, LLC is now doing business as UPTICK PARTNERS, LLC. IAPD ↗
$398.6M RAUM · 5 reps · (936) 800-0800 · holisticplanning.com
Marketing & brandCRM
58
PROMETHIUM ADVISORS, LLC is now doing business as PROMETHIUM. IAPD ↗
$281.9M RAUM · 2 reps · 202-978-2519 · promethiumadvisors.com
Marketing & brandCRM
55
SRM ADVISORS is now doing business as CONTINUITY WEALTH MANAGEMENT, CORP.. IAPD ↗
$158.1M RAUM · 2 reps · 503-244-8905 · continuitywm.com
Marketing & brandCRM
55
ASPIRE WEALTH MANAGEMENT, LLC is now doing business as ASPIRE WEALTH MANAGEMENT. IAPD ↗
$96.6M RAUM · 1 reps · 913-322-3500
Marketing & brandCRM
55
ALPHA OMEGA FINANCIAL, INC. is now doing business as ALPHA OMEGA FINANCIAL. IAPD ↗
$139.3M RAUM · 1 reps · 410-592-8936
Marketing & brandCRM
55
WEALTH STRATEGIES GROUP is now doing business as TRAVIS ALLEN INC. DBA WEALTH STRATEGIES GROUP. IAPD ↗
$16.3M RAUM · 2 reps · 888-848-4144
Marketing & brandCRM
55
TAPP FINANCE is now doing business as TAPPALPHA. IAPD ↗
$0 RAUM · 1 reps · 206-222-8646
Marketing & brandCRM
55
RESHAPE, LLC is now doing business as RESHAPE WEALTH. IAPD ↗
$0 RAUM · 1 reps · 646-626-7902
Marketing & brandCRM
45
NONANTUM CAPITAL PARTNERS, LLC is now doing business as NONANTUM CAPITAL PARTNERS. IAPD ↗fund
$1.41B RAUM · 19 reps · 617-245-8050 · nonantumcapital.com
Marketing & brandCRM
45
AGL CREDIT MANAGEMENT LP is now doing business as AGL CREDIT MANAGEMENT LLC. IAPD ↗fund
$14.38B RAUM · 32 reps · 212-973-8600
Marketing & brandCRM
45
MORRISON & CO is now doing business as MORRISON US, LLC. IAPD ↗fund
$5.94B RAUM · 9 reps · +1 929 384 3822
Marketing & brandCRM
43
FALMOUTH INVESTMENT COMPANY, INC. is now doing business as NEW FALMOUTH, LLC. IAPD ↗fund
$519.1M RAUM · 0 reps · 216-491-3990 · paragonadvisors.net
Marketing & brandCRM
30
ABRDN CAPITAL PARTNERS LLP is now doing business as PATRIA CAPITAL PARTNERS LLP. IAPD ↗foreign
$3.91B RAUM · 17 reps · 011 44 776-597-1002
Marketing & brandCRM
28
ABRDN PRIVATE EQUITY (EUROPE) LIMITED is now doing business as PATRIA PRIVATE EQUITY (EUROPE) LIMITED. IAPD ↗foreign
$606.8M RAUM · 23 reps · 011 44 776 597 1002 · patria.com
Marketing & brandCRM
25
TRICON RESIDENTIAL INC. is now doing business as TRICON RESIDENTIAL. IAPD ↗foreign
$207.5M RAUM · 37 reps · 416-925-7228 · triconresidential.com
Marketing & brandCRM
headcount down — 12 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
ZACKS INVESTMENT MANAGEMENT, INC. shrank from 15 to 11 advisory reps. IAPD ↗
$10.56B RAUM · 11 reps · 312-265-9266 · zacksandassociates.com
Recruiting & transitionsM&A & valuation
53
MWM GROUP LLC shrank from 5 to 1 advisory reps. IAPD ↗
$306.3M RAUM · 1 reps · 718-696-4000
Recruiting & transitionsM&A & valuation
53
TRU INDEPENDENCE ASSET MANAGEMENT, LLC shrank from 9 to 7 advisory reps. IAPD ↗
$557.2M RAUM · 7 reps · (971) 371-3444 · yellowwoodwealth.com
Recruiting & transitionsM&A & valuation
53
TACTIVE ADVISORS, LLC shrank from 3 to 1 advisory reps. IAPD ↗
$405.8M RAUM · 1 reps · 855-282-2848 · pcliftonfinancial.com
Recruiting & transitionsM&A & valuation
50
MUTUAL TRUST ASSET MGMT., INC. shrank from 12 to 9 advisory reps. IAPD ↗
$241.4M RAUM · 9 reps · 727-799-9922
Recruiting & transitionsM&A & valuation
50
OPUS FINANCIAL SOLUTIONS LLC shrank from 4 to 2 advisory reps. IAPD ↗
$151.1M RAUM · 2 reps · 331-777-5449
Recruiting & transitionsM&A & valuation
50
CROSS BORDER WEALTH, LLC shrank from 7 to 5 advisory reps. IAPD ↗
$100.0M RAUM · 5 reps · 646-688-5333 · crossborder-wealth.com
Recruiting & transitionsM&A & valuation
50
CAPITOL FAMILY OFFICE, INC. shrank from 4 to 2 advisory reps. IAPD ↗
$134.1M RAUM · 2 reps · (503) 897-0236 · capitolcfo.com
Recruiting & transitionsM&A & valuation
43
AECOM CAPITAL REAL ESTATE, LLC shrank from 7 to 1 advisory reps. IAPD ↗institutional
$580.7M RAUM · 1 reps · 213-593-8100
Recruiting & transitionsM&A & valuation
40
SAROFIM REALTY ADVISORS LLC shrank from 6 to 4 advisory reps. IAPD ↗fund
$1.89B RAUM · 4 reps · 713-654-4484 · sraco.com
Recruiting & transitionsM&A & valuation
40
VOLT EQUITY LLC shrank from 3 to 1 advisory reps. IAPD ↗institutional
$4.8M RAUM · 1 reps · 415-993-8658
Recruiting & transitionsM&A & valuation
40
PLATO'S PHILOSOPHY, LLC shrank from 5 to 1 advisory reps. IAPD ↗institutional
$39.4M RAUM · 1 reps · 805-888-2384 · stockhack.com
Recruiting & transitionsM&A & valuation
aum down — 10 Regulatory AUM down >=25% since last filing.
50
CARDINAL CAPITAL MANAGEMENT, L.L.C. reported RAUM down 35% ($2.27B -> $1.47B). IAPD ↗
$1.47B RAUM · 7 reps · 203-863-8990 · cardcap.com
M&A & valuationRecruiting & transitions
45
INNOVIS ASSET MANAGEMENT LLC reported RAUM down 99% ($345.8M -> $1.8M). IAPD ↗
$1.8M RAUM · 1 reps · 858-414-3929
M&A & valuationRecruiting & transitions
35
OBP CAPITAL reported RAUM down 34% ($117.5M -> $77.4M). IAPD ↗institutional
$77.4M RAUM · 2 reps · 252-984-3808
M&A & valuationRecruiting & transitions
30
R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC. reported RAUM down 43% ($64.2M -> $36.5M). IAPD ↗fund
$36.5M RAUM · 10 reps · 212-245-0400 · niederhoffer.com
M&A & valuationRecruiting & transitions
30
HEP PARTNERS LLC reported RAUM down 32% ($327.4M -> $221.4M). IAPD ↗fund
$221.4M RAUM · 6 reps · 214-615-2300 · hicksholdings.com
M&A & valuationRecruiting & transitions
30
PRAESIDIAN CAPITAL MANAGEMENT II, LLC reported RAUM down 27% ($193.9M -> $140.6M). IAPD ↗fund
$140.6M RAUM · 7 reps · 212-520-2600 · praesidian.com
M&A & valuationRecruiting & transitions
20
ZADIG ASSET MANAGEMENT S.A. reported RAUM down 42% ($2.27B -> $1.31B). IAPD ↗foreign
$1.31B RAUM · 2 reps · -8596 · zadigfunds.com
M&A & valuationRecruiting & transitions
20
SAND GROVE CAPITAL MANAGEMENT LLP reported RAUM down 29% ($3.59B -> $2.56B). IAPD ↗foreign
$2.56B RAUM · 10 reps · 44 20 3770 8610 · sandgrovecapital.com
M&A & valuationRecruiting & transitions
18
NEWGEN ASSET MANAGEMENT LIMITED reported RAUM down 33% ($781.0M -> $522.6M). IAPD ↗foreign
$522.6M RAUM · 8 reps · 416-941-9112
M&A & valuationRecruiting & transitions
15
MONTERONE PARTNERS LLP reported RAUM down 26% ($335.1M -> $246.7M). IAPD ↗foreign
$246.7M RAUM · 4 reps · 44 (0) 203 763 5403 · monteronepartners.com
M&A & valuationRecruiting & transitions
aum crossed 500m — 8 Regulatory AUM crossed $500M.
70
INVESTMENT MANAGEMENT ASSOCIATES crossed $500M in regulatory AUM ($417.6M -> $515.4M). IAPD ↗
$515.4M RAUM · 2 reps · 303-796-8333
Portfolio / reporting / TAMPCRMIntegration & migration consulting
60
DECADE RENEWABLE PARTNERS LP crossed $500M in regulatory AUM ($397.1M -> $500.0M). IAPD ↗institutional
$500.0M RAUM · 3 reps · 281-715-0720 · decaderp.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
60
BRIDGER INVESTMENT PARTNERS LLC crossed $500M in regulatory AUM ($289.4M -> $518.7M). IAPD ↗institutional
$518.7M RAUM · 4 reps · 1-800-598-9220 · bridger-partners.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
NEXT COAST VENTURES, LLC crossed $500M in regulatory AUM ($403.1M -> $586.0M). IAPD ↗fund
$586.0M RAUM · 9 reps · (512) 370-2242
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
HIGHCREST CAPITAL, LLC crossed $500M in regulatory AUM ($481.4M -> $666.7M). IAPD ↗fund
$666.7M RAUM · 10 reps · 830-214-2770 · highcrestcapital.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
PEAKVIEW CAPITAL crossed $500M in regulatory AUM ($495.4M -> $530.7M). IAPD ↗fund
$530.7M RAUM · 7 reps · 1 650-321-6600
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
INCEPTIONR LLC crossed $500M in regulatory AUM ($359.9M -> $838.1M). IAPD ↗fund
$838.1M RAUM · 3 reps · 650-799-2945
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
PHOENIX MERCHANT PARTNERS, LP crossed $500M in regulatory AUM ($251.5M -> $751.5M). IAPD ↗fund
$751.5M RAUM · 10 reps · 212-804-9990 · phoenix-merchant.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
private funds started — 6 Firm reports private funds for the first time.
73
SPENCE ASSET MANAGEMENT now reports 1 private fund(s) ($2.1M gross). IAPD ↗
$623.3M RAUM · 7 reps · 575-556-8500 · ww-capital.com
Fund administrationCompliance
73
FLOWER CITY CAPITAL LLC now reports 1 private fund(s) ($4.6M gross). IAPD ↗
$270.8M RAUM · 2 reps · 585-236-8501
Fund administrationCompliance
73
EQ WEALTH MANAGEMENT now reports 1 private fund(s) ($24.3M gross). IAPD ↗
$593.7M RAUM · 6 reps · 425-434-1000
Fund administrationCompliance
70
TC43 LLC now reports 1 private fund(s) ($10.8M gross). IAPD ↗
$66.7M RAUM · 6 reps · 917-363-7217
Fund administrationCompliance
55
TRIANGLE INVESTMENT MANAGEMENT, LLC now reports 2 private fund(s) ($128.0M gross). IAPD ↗fund
$128.0M RAUM · 8 reps · 646-346-8871
Fund administrationCompliance
40
PEARLSTONE ALTERNATIVE (UK) LLP now reports 1 private fund(s) ($67.4M gross). IAPD ↗foreign
$156.0M RAUM · 4 reps · 0203 148 2256
Fund administrationCompliance
planning clients up — 5 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
67
EMBARCADERO CAPITAL ADVISORS reports 51-100 financial-planning clients, up from 0. IAPD ↗
$40.0M RAUM · 2 reps · 949-371-9796 · embarcaderocapitaladvisors.com
Financial planning software
64
POTENTIA WEALTH reports 11-25 financial-planning clients, up from 0. IAPD ↗
$309.9M RAUM · 6 reps · 408-288-7886
Financial planning software
61
BLUE SKY CAPITAL CONSULTANTS GROUP, INC. reports 11-25 financial-planning clients, up from 0. IAPD ↗
$193.4M RAUM · 3 reps · 858-513-8445
Financial planning software
58
GATEPASS CAPITAL, LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$103.2M RAUM · 3 reps · 833-428-3727 · gatepass.capital
Financial planning software
58
WELCH FINANCIAL PLANNING, LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$123.9M RAUM · 2 reps · 303-939-8766
Financial planning software
aum crossed 1b — 3 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
L & S ADVISORS, INC crossed $1B in regulatory AUM ($830.5M -> $1.01B). IAPD ↗
$1.01B RAUM · 15 reps · 310-893-6060 · lsadvisor.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
SPROTT ASSET MANAGEMENT LP crossed $1B in regulatory AUM ($792.1M -> $1.42B). IAPD ↗foreign
$1.42B RAUM · 10 reps · 416-943-8099
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
MUDITA MANAGEMENT crossed $1B in regulatory AUM ($771.8M -> $1.12B). IAPD ↗foreign
$1.12B RAUM · 4 reps · +44 20 3848 7530 · muditamanagement.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
wrap program started — 1 Firm began participating in a wrap-fee program (Item 5I(1)).
50
ZOE FINANCIAL, INC. began participating in a wrap-fee program. IAPD ↗institutional
$0 RAUM · 2 reps · 646-680-9244 · zoefin.com
Portfolio / reporting / TAMPCompliance

Tributary reads the SEC's public Form ADV roster and reports what changed. It does not verify filings; confirm on IAPD before acting. Not investment, legal, or compliance advice.