← Tributary

What changed in the July 2024 SEC adviser roster

732 events across 621 firms · 479 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

184state expansion
92new registration
66deregistered
65new office
49headcount up
42aum up
36disclosure added
27website changed
26relocation
24rename
24headcount down
21pending approved

Top 25 signals — US wealth firms

98
CAUSEY WEALTH LLC (location n/a) is newly SEC-registered with $292.5M RAUM and 6 advisory reps. IAPD ↗
$292.5M RAUM · 6 reps · 303-709-0298 · causeywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEVE LYNCH WEALTH MANAGEMENT (ALBUQUERQUE, NM) is newly SEC-registered with $133.7M RAUM and 4 advisory reps. IAPD ↗
$133.7M RAUM · 4 reps · 505-881-7526 · stevelynchwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CONWAY FINANCIAL GROUP, LLC (CHESTERFIELD, MO) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
$105.1M RAUM · 2 reps · (314) 579-9157 · conwayfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL ADVISORY SERVICES (SALT LAKE CITY, UT) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 801-532-1200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AWR INVESTMENT MANAGEMENT, LLC (SAN RAFAEL, CA) is newly SEC-registered with $115.8M RAUM and 1 advisory reps. IAPD ↗
$115.8M RAUM · 1 reps · (415) 457-9415 · awrinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SENSIBLE PORTFOLIOS, LLC (location n/a) is newly SEC-registered with $156.5M RAUM and 2 advisory reps. IAPD ↗
$156.5M RAUM · 2 reps · 775-323-1488 · sensibleportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC (LISLE, IL) is newly SEC-registered with $110.2M RAUM and 15 advisory reps. IAPD ↗
$110.2M RAUM · 15 reps · 630-241-1122 · chicagomanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WMGNA (FARMINGTON, CT) is newly SEC-registered with $191.4M RAUM and 3 advisory reps. IAPD ↗
$191.4M RAUM · 3 reps · 860-679-5255
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MZ CAPITAL, LLC (location n/a) is newly SEC-registered with $132.4M RAUM and 2 advisory reps. IAPD ↗
$132.4M RAUM · 2 reps · 301-452-4220
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT WEALTH ADVISORS, INC. (NEWPORT BEACH, CA) is newly SEC-registered with $140.4M RAUM and 7 advisory reps. IAPD ↗
$140.4M RAUM · 7 reps · (877) 692-7227 · rpbacademy.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLOMB INVESTMENT MANAGEMENT COMPANY, LLC (METAIRIE, LA) is newly SEC-registered with $1.6M RAUM and 4 advisory reps. IAPD ↗
$1.6M RAUM · 4 reps · 504-520-8050 · colombim.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRINCE ASSET MANAGEMENT, INC. (SARASOTA, FL) is newly SEC-registered with $112.4M RAUM and 2 advisory reps. IAPD ↗
$112.4M RAUM · 2 reps · 941-363-9090 · princeassetmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WILLIAMS WEALTH MANAGEMENT GROUP, INC. (BRADENTON, FL) is newly SEC-registered with $148.0M RAUM and 2 advisory reps. IAPD ↗
$148.0M RAUM · 2 reps · 941-756-4500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PINGORA PARTNERS LLC (DALLAS, TX) is newly SEC-registered with $135.7M RAUM and 1 advisory reps. IAPD ↗
$135.7M RAUM · 1 reps · 307-739-8686
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RYDAR EQUITIES, INC. (WEATHERFORD, TX) is newly SEC-registered with $112.0M RAUM and 2 advisory reps. IAPD ↗
$112.0M RAUM · 2 reps · 432-634-8673 · rydarequities.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WELCY CAPITAL ADVISORS LLC (MIAMI, FL) is newly SEC-registered with $150.6M RAUM and 3 advisory reps. IAPD ↗
$150.6M RAUM · 3 reps · 786.353.0036 · welcycap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KOOB WEALTH MANAGEMENT, LLC (WHITE BEAR TOWNSHIP, MN) is newly SEC-registered with $125.8M RAUM and 2 advisory reps. IAPD ↗
$125.8M RAUM · 2 reps · 651-330-4996 · koobwealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HUMBLE CAPITAL MANAGEMENT LLC (HONOLULU, HI) is newly SEC-registered with $115.6M RAUM and 2 advisory reps. IAPD ↗
$115.6M RAUM · 2 reps · 808-387-0191 · humblecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BARRETT WEALTH CONNECTION LLC (SPRING GROVE, IL) is newly SEC-registered with $123.9M RAUM and 2 advisory reps. IAPD ↗
$123.9M RAUM · 2 reps · 815-529-7527 · barrettwealthconnection.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RBF CAPITAL MANAGEMENT, INC. (SARASOTA, FL) is newly SEC-registered with $107.1M RAUM and 1 advisory reps. IAPD ↗
$107.1M RAUM · 1 reps · 941-870-1944
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TENCAP WEALTH COACHING (SOUTH JORDAN, UT) is newly SEC-registered with $0 RAUM and 10 advisory reps. IAPD ↗
$0 RAUM · 10 reps · 801-337-5032
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEEL TOWER INVESTMENTS (PITTSBURGH, PA) is newly SEC-registered with $115.6M RAUM and 4 advisory reps. IAPD ↗
$115.6M RAUM · 4 reps · 412-586-2060 · upswia.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCBEATH FINANCIAL GROUP (NORMAL, IL) is newly SEC-registered with $160.2M RAUM and 5 advisory reps. IAPD ↗
$160.2M RAUM · 5 reps · 309-808-2224
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIGHT WEALTH MANAGEMENT, LLC (LEWISVILLE, TX) is newly SEC-registered with $160.0M RAUM and 5 advisory reps. IAPD ↗
$160.0M RAUM · 5 reps · (972) 410-6623
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BOON CAPITAL ADVISORS LLC (NORTHBROOK, IL) is newly SEC-registered with $146.9M RAUM and 1 advisory reps. IAPD ↗
$146.9M RAUM · 1 reps · 224-326-2044
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 171 firms

98
CAUSEY WEALTH LLC (location n/a) is newly SEC-registered with $292.5M RAUM and 6 advisory reps. IAPD ↗
$292.5M RAUM · 6 reps · 303-709-0298 · causeywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEVE LYNCH WEALTH MANAGEMENT (ALBUQUERQUE, NM) is newly SEC-registered with $133.7M RAUM and 4 advisory reps. IAPD ↗
$133.7M RAUM · 4 reps · 505-881-7526 · stevelynchwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CONWAY FINANCIAL GROUP, LLC (CHESTERFIELD, MO) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
$105.1M RAUM · 2 reps · (314) 579-9157 · conwayfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL ADVISORY SERVICES (SALT LAKE CITY, UT) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 801-532-1200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AWR INVESTMENT MANAGEMENT, LLC (SAN RAFAEL, CA) is newly SEC-registered with $115.8M RAUM and 1 advisory reps. IAPD ↗
$115.8M RAUM · 1 reps · (415) 457-9415 · awrinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SENSIBLE PORTFOLIOS, LLC (location n/a) is newly SEC-registered with $156.5M RAUM and 2 advisory reps. IAPD ↗
$156.5M RAUM · 2 reps · 775-323-1488 · sensibleportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC (LISLE, IL) is newly SEC-registered with $110.2M RAUM and 15 advisory reps. IAPD ↗
$110.2M RAUM · 15 reps · 630-241-1122 · chicagomanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WMGNA (FARMINGTON, CT) is newly SEC-registered with $191.4M RAUM and 3 advisory reps. IAPD ↗
$191.4M RAUM · 3 reps · 860-679-5255
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MZ CAPITAL, LLC (location n/a) is newly SEC-registered with $132.4M RAUM and 2 advisory reps. IAPD ↗
$132.4M RAUM · 2 reps · 301-452-4220
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT WEALTH ADVISORS, INC. (NEWPORT BEACH, CA) is newly SEC-registered with $140.4M RAUM and 7 advisory reps. IAPD ↗
$140.4M RAUM · 7 reps · (877) 692-7227 · rpbacademy.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 161 more in the CSV export.

Financial planning software 107 firms

98
CAUSEY WEALTH LLC (location n/a) is newly SEC-registered with $292.5M RAUM and 6 advisory reps. IAPD ↗
$292.5M RAUM · 6 reps · 303-709-0298 · causeywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEVE LYNCH WEALTH MANAGEMENT (ALBUQUERQUE, NM) is newly SEC-registered with $133.7M RAUM and 4 advisory reps. IAPD ↗
$133.7M RAUM · 4 reps · 505-881-7526 · stevelynchwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CONWAY FINANCIAL GROUP, LLC (CHESTERFIELD, MO) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
$105.1M RAUM · 2 reps · (314) 579-9157 · conwayfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL ADVISORY SERVICES (SALT LAKE CITY, UT) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 801-532-1200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AWR INVESTMENT MANAGEMENT, LLC (SAN RAFAEL, CA) is newly SEC-registered with $115.8M RAUM and 1 advisory reps. IAPD ↗
$115.8M RAUM · 1 reps · (415) 457-9415 · awrinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SENSIBLE PORTFOLIOS, LLC (location n/a) is newly SEC-registered with $156.5M RAUM and 2 advisory reps. IAPD ↗
$156.5M RAUM · 2 reps · 775-323-1488 · sensibleportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC (LISLE, IL) is newly SEC-registered with $110.2M RAUM and 15 advisory reps. IAPD ↗
$110.2M RAUM · 15 reps · 630-241-1122 · chicagomanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WMGNA (FARMINGTON, CT) is newly SEC-registered with $191.4M RAUM and 3 advisory reps. IAPD ↗
$191.4M RAUM · 3 reps · 860-679-5255
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MZ CAPITAL, LLC (location n/a) is newly SEC-registered with $132.4M RAUM and 2 advisory reps. IAPD ↗
$132.4M RAUM · 2 reps · 301-452-4220
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT WEALTH ADVISORS, INC. (NEWPORT BEACH, CA) is newly SEC-registered with $140.4M RAUM and 7 advisory reps. IAPD ↗
$140.4M RAUM · 7 reps · (877) 692-7227 · rpbacademy.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 97 more in the CSV export.

Compliance 306 firms

98
CAUSEY WEALTH LLC (location n/a) is newly SEC-registered with $292.5M RAUM and 6 advisory reps. IAPD ↗
$292.5M RAUM · 6 reps · 303-709-0298 · causeywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEVE LYNCH WEALTH MANAGEMENT (ALBUQUERQUE, NM) is newly SEC-registered with $133.7M RAUM and 4 advisory reps. IAPD ↗
$133.7M RAUM · 4 reps · 505-881-7526 · stevelynchwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CONWAY FINANCIAL GROUP, LLC (CHESTERFIELD, MO) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
$105.1M RAUM · 2 reps · (314) 579-9157 · conwayfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL ADVISORY SERVICES (SALT LAKE CITY, UT) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 801-532-1200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AWR INVESTMENT MANAGEMENT, LLC (SAN RAFAEL, CA) is newly SEC-registered with $115.8M RAUM and 1 advisory reps. IAPD ↗
$115.8M RAUM · 1 reps · (415) 457-9415 · awrinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SENSIBLE PORTFOLIOS, LLC (location n/a) is newly SEC-registered with $156.5M RAUM and 2 advisory reps. IAPD ↗
$156.5M RAUM · 2 reps · 775-323-1488 · sensibleportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC (LISLE, IL) is newly SEC-registered with $110.2M RAUM and 15 advisory reps. IAPD ↗
$110.2M RAUM · 15 reps · 630-241-1122 · chicagomanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WMGNA (FARMINGTON, CT) is newly SEC-registered with $191.4M RAUM and 3 advisory reps. IAPD ↗
$191.4M RAUM · 3 reps · 860-679-5255
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MZ CAPITAL, LLC (location n/a) is newly SEC-registered with $132.4M RAUM and 2 advisory reps. IAPD ↗
$132.4M RAUM · 2 reps · 301-452-4220
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT WEALTH ADVISORS, INC. (NEWPORT BEACH, CA) is newly SEC-registered with $140.4M RAUM and 7 advisory reps. IAPD ↗
$140.4M RAUM · 7 reps · (877) 692-7227 · rpbacademy.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 296 more in the CSV export.

Portfolio / reporting / TAMP 93 firms

98
CAUSEY WEALTH LLC (location n/a) is newly SEC-registered with $292.5M RAUM and 6 advisory reps. IAPD ↗
$292.5M RAUM · 6 reps · 303-709-0298 · causeywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEVE LYNCH WEALTH MANAGEMENT (ALBUQUERQUE, NM) is newly SEC-registered with $133.7M RAUM and 4 advisory reps. IAPD ↗
$133.7M RAUM · 4 reps · 505-881-7526 · stevelynchwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CONWAY FINANCIAL GROUP, LLC (CHESTERFIELD, MO) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
$105.1M RAUM · 2 reps · (314) 579-9157 · conwayfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL ADVISORY SERVICES (SALT LAKE CITY, UT) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 801-532-1200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AWR INVESTMENT MANAGEMENT, LLC (SAN RAFAEL, CA) is newly SEC-registered with $115.8M RAUM and 1 advisory reps. IAPD ↗
$115.8M RAUM · 1 reps · (415) 457-9415 · awrinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SENSIBLE PORTFOLIOS, LLC (location n/a) is newly SEC-registered with $156.5M RAUM and 2 advisory reps. IAPD ↗
$156.5M RAUM · 2 reps · 775-323-1488 · sensibleportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC (LISLE, IL) is newly SEC-registered with $110.2M RAUM and 15 advisory reps. IAPD ↗
$110.2M RAUM · 15 reps · 630-241-1122 · chicagomanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WMGNA (FARMINGTON, CT) is newly SEC-registered with $191.4M RAUM and 3 advisory reps. IAPD ↗
$191.4M RAUM · 3 reps · 860-679-5255
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MZ CAPITAL, LLC (location n/a) is newly SEC-registered with $132.4M RAUM and 2 advisory reps. IAPD ↗
$132.4M RAUM · 2 reps · 301-452-4220
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT WEALTH ADVISORS, INC. (NEWPORT BEACH, CA) is newly SEC-registered with $140.4M RAUM and 7 advisory reps. IAPD ↗
$140.4M RAUM · 7 reps · (877) 692-7227 · rpbacademy.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 83 more in the CSV export.

Custodian 75 firms

98
CAUSEY WEALTH LLC (location n/a) is newly SEC-registered with $292.5M RAUM and 6 advisory reps. IAPD ↗
$292.5M RAUM · 6 reps · 303-709-0298 · causeywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEVE LYNCH WEALTH MANAGEMENT (ALBUQUERQUE, NM) is newly SEC-registered with $133.7M RAUM and 4 advisory reps. IAPD ↗
$133.7M RAUM · 4 reps · 505-881-7526 · stevelynchwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CONWAY FINANCIAL GROUP, LLC (CHESTERFIELD, MO) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
$105.1M RAUM · 2 reps · (314) 579-9157 · conwayfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL ADVISORY SERVICES (SALT LAKE CITY, UT) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 801-532-1200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AWR INVESTMENT MANAGEMENT, LLC (SAN RAFAEL, CA) is newly SEC-registered with $115.8M RAUM and 1 advisory reps. IAPD ↗
$115.8M RAUM · 1 reps · (415) 457-9415 · awrinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SENSIBLE PORTFOLIOS, LLC (location n/a) is newly SEC-registered with $156.5M RAUM and 2 advisory reps. IAPD ↗
$156.5M RAUM · 2 reps · 775-323-1488 · sensibleportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC (LISLE, IL) is newly SEC-registered with $110.2M RAUM and 15 advisory reps. IAPD ↗
$110.2M RAUM · 15 reps · 630-241-1122 · chicagomanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WMGNA (FARMINGTON, CT) is newly SEC-registered with $191.4M RAUM and 3 advisory reps. IAPD ↗
$191.4M RAUM · 3 reps · 860-679-5255
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MZ CAPITAL, LLC (location n/a) is newly SEC-registered with $132.4M RAUM and 2 advisory reps. IAPD ↗
$132.4M RAUM · 2 reps · 301-452-4220
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT WEALTH ADVISORS, INC. (NEWPORT BEACH, CA) is newly SEC-registered with $140.4M RAUM and 7 advisory reps. IAPD ↗
$140.4M RAUM · 7 reps · (877) 692-7227 · rpbacademy.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 65 more in the CSV export.

Marketing & brand 311 firms

98
CAUSEY WEALTH LLC (location n/a) is newly SEC-registered with $292.5M RAUM and 6 advisory reps. IAPD ↗
$292.5M RAUM · 6 reps · 303-709-0298 · causeywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEVE LYNCH WEALTH MANAGEMENT (ALBUQUERQUE, NM) is newly SEC-registered with $133.7M RAUM and 4 advisory reps. IAPD ↗
$133.7M RAUM · 4 reps · 505-881-7526 · stevelynchwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CONWAY FINANCIAL GROUP, LLC (CHESTERFIELD, MO) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
$105.1M RAUM · 2 reps · (314) 579-9157 · conwayfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL ADVISORY SERVICES (SALT LAKE CITY, UT) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 801-532-1200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AWR INVESTMENT MANAGEMENT, LLC (SAN RAFAEL, CA) is newly SEC-registered with $115.8M RAUM and 1 advisory reps. IAPD ↗
$115.8M RAUM · 1 reps · (415) 457-9415 · awrinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SENSIBLE PORTFOLIOS, LLC (location n/a) is newly SEC-registered with $156.5M RAUM and 2 advisory reps. IAPD ↗
$156.5M RAUM · 2 reps · 775-323-1488 · sensibleportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC (LISLE, IL) is newly SEC-registered with $110.2M RAUM and 15 advisory reps. IAPD ↗
$110.2M RAUM · 15 reps · 630-241-1122 · chicagomanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WMGNA (FARMINGTON, CT) is newly SEC-registered with $191.4M RAUM and 3 advisory reps. IAPD ↗
$191.4M RAUM · 3 reps · 860-679-5255
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MZ CAPITAL, LLC (location n/a) is newly SEC-registered with $132.4M RAUM and 2 advisory reps. IAPD ↗
$132.4M RAUM · 2 reps · 301-452-4220
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT WEALTH ADVISORS, INC. (NEWPORT BEACH, CA) is newly SEC-registered with $140.4M RAUM and 7 advisory reps. IAPD ↗
$140.4M RAUM · 7 reps · (877) 692-7227 · rpbacademy.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 301 more in the CSV export.

Recruiting & transitions 113 firms

85
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST grew from 144 to 168 advisory reps. IAPD ↗
$190.96B RAUM · 168 reps · 215-255-2300 · macquarieim.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
CERITY PARTNERS OCIO LLC grew from 0 to 21 advisory reps. IAPD ↗
$14.98B RAUM · 21 reps · 212-850-4260 · ceritypartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
THE COLONY GROUP, LLC grew from 285 to 315 advisory reps. IAPD ↗
$21.47B RAUM · 315 reps · 617-723-8200 · debrabrede.com
CRMRecruiting & transitionsComplianceFinancial planning software
78
RICHMOND INVESTMENT SERVICES LLC grew from 11 to 21 advisory reps. IAPD ↗
$360.3M RAUM · 21 reps · 262-242-4200
CRMRecruiting & transitionsComplianceFinancial planning software
75
PERIGON WEALTH MANAGEMENT, LLC grew from 72 to 77 advisory reps. IAPD ↗
$6.94B RAUM · 77 reps · (877) 977-2555
CRMRecruiting & transitionsComplianceFinancial planning software
75
MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC. grew from 7 to 12 advisory reps. IAPD ↗
$1.16B RAUM · 12 reps · 312-595-6000
CRMRecruiting & transitionsComplianceFinancial planning software
71
BBVA GLOBAL WEALTH ADVISORS, INC. grew from 8 to 14 advisory reps. IAPD ↗
$111.1M RAUM · 14 reps · 434-242-0068 · bbvaglobalwealthadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
NICOLLET INVESTMENT MANAGEMENT, INC. grew from 5 to 7 advisory reps. IAPD ↗
$477.0M RAUM · 7 reps · 612-915-3033 · nicolletinvest.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
COMPASS RETIREMENT GROUP LLC grew from 3 to 6 advisory reps. IAPD ↗
$99.4M RAUM · 6 reps · 314-373-1598 · crsretirement.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
INVEST CAPITAL PARTNERS grew from 5 to 7 advisory reps. IAPD ↗
$144.5M RAUM · 7 reps · 937-557-3200 · mwmrj.com
CRMRecruiting & transitionsComplianceFinancial planning software

…and 103 more in the CSV export.

Integration & migration consulting 5 firms

85
WOODSTOCK CORPORATION crossed $1B in regulatory AUM ($921.7M -> $1.12B). IAPD ↗
$1.12B RAUM · 8 reps · 617-227-0600
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC. crossed $1B in regulatory AUM ($951.2M -> $1.16B). IAPD ↗
$1.16B RAUM · 12 reps · 312-595-6000
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
GAMMA INVESTING LLC crossed $500M in regulatory AUM ($445.1M -> $705.4M). IAPD ↗
$705.4M RAUM · 5 reps · 888-585-1755 · gammainvesting.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
45
PROVENIO CAPITAL filed an Item 4A succession naming PROVENIO CAPITAL (CRD 284541) — an entity change, not a deal. IAPD ↗
$1.62B RAUM · 6 reps · 949-301-9060
Integration & migration consultingCompliance
43
TORREYANA CAPITAL filed an Item 4A succession naming TORREYANA CAPITAL (CRD 329075) — an entity change, not a deal. IAPD ↗
$736.0M RAUM · 3 reps · 6198377996
Integration & migration consultingCompliance

Fund administration 3 firms

75
A.G.P / ALLIANCE GLOBAL PARTNERS now reports 1 private fund(s) ($1.0M gross). IAPD ↗
$1.32B RAUM · 163 reps · 800-727-7922 · allianceg.com
Fund administrationCompliance
75
CERITY PARTNERS OCIO LLC now reports 2 private fund(s) ($4.28B gross). IAPD ↗
$14.98B RAUM · 21 reps · 212-850-4260 · ceritypartners.com
Fund administrationCompliance
73
CANVAS WEALTH ADVISORS, LLC now reports 10 private fund(s) ($302.6M gross). IAPD ↗
$527.2M RAUM · 9 reps · 913-991-8471 · canvaswealthadvisors.com
Fund administrationCompliance

Office IT & facilities 69 firms

55
GIRARD ADVISORY SERVICES, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$2.33B RAUM · 42 reps · 610-337-7640 · meetgirard.com
Office IT & facilitiesCRMRecruiting & transitions
55
STRATEGIC ADVISERS LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$824.74B RAUM · 158 reps · 617-563-7000 · reddit.com
Office IT & facilitiesCRMRecruiting & transitions
55
SEIA added office(s): 15 -> 22 additional locations. IAPD ↗
$14.21B RAUM · 99 reps · 310-712-2323
Office IT & facilitiesCRMRecruiting & transitions
55
GRIES FINANCIAL PARTNERS added office(s): 1 -> 6 additional locations. IAPD ↗
$1.28B RAUM · 10 reps · 216-861-1148 · gries.com
Office IT & facilitiesCRMRecruiting & transitions
55
WEALTHCARE CAPITAL MANAGEMENT LLC added office(s): 17 -> 18 additional locations. IAPD ↗
$2.58B RAUM · 34 reps · 804-644-4711 · gdx360.com
Office IT & facilitiesCRMRecruiting & transitions
55
LUTZ FINANCIAL added office(s): 0 -> 1 additional locations. IAPD ↗
$2.28B RAUM · 11 reps · 402-827-2300
Office IT & facilitiesCRMRecruiting & transitions
55
PERIGON WEALTH MANAGEMENT, LLC added office(s): 38 -> 40 additional locations. IAPD ↗
$6.94B RAUM · 77 reps · (877) 977-2555
Office IT & facilitiesCRMRecruiting & transitions
55
VERIS WEALTH PARTNERS, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$2.02B RAUM · 14 reps · (415) 814-0580
Office IT & facilitiesCRMRecruiting & transitions
55
CERITY PARTNERS OCIO LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$14.98B RAUM · 21 reps · 212-850-4260 · ceritypartners.com
Office IT & facilitiesCRMRecruiting & transitions
55
THE COLONY GROUP, LLC added office(s): 29 -> 34 additional locations. IAPD ↗
$21.47B RAUM · 315 reps · 617-723-8200 · debrabrede.com
Office IT & facilitiesCRMRecruiting & transitions

…and 59 more in the CSV export.

M&A & valuation 50 firms

65
FOURTH STREET PERFORMANCE PARTNERS, INC. (COVINGTON, KY) left the SEC roster (was $4.83B RAUM, 10 reps). IAPD ↗
$4.83B RAUM · 10 reps · 859-491-5556 · fourthst.com
Recruiting & transitionsM&A & valuation
65
SECURITIES AMERICA ADVISORS, INC. (LA VISTA, NE) left the SEC roster (was $40.42B RAUM, 2025 reps). IAPD ↗
$40.42B RAUM · 2025 reps · 402-399-9111 · synfintax.com
Recruiting & transitionsM&A & valuation
65
IRON CAPITAL ADVISORS INC. (ATLANTA, GA) left the SEC roster (was $5.22B RAUM, 3 reps). IAPD ↗
$5.22B RAUM · 3 reps · 404-564-9850 · ironcapitaladvisors.com
Recruiting & transitionsM&A & valuation
63
DEL MONTE GROUP, LLC (location n/a) left the SEC roster (was $307.6M RAUM, 2 reps). IAPD ↗
$307.6M RAUM · 2 reps · 925-736-6410
Recruiting & transitionsM&A & valuation
63
PRUDEO PARTNERS, LLC (WEST COLUMBIA, SC) left the SEC roster (was $412.9M RAUM, 4 reps). IAPD ↗
$412.9M RAUM · 4 reps · 803-739-6311
Recruiting & transitionsM&A & valuation
63
VAN LEEUWEN & COMPANY, LLC (PRINCETON, NJ) left the SEC roster (was $308.6M RAUM, 4 reps). IAPD ↗
$308.6M RAUM · 4 reps · 609-580-0088
Recruiting & transitionsM&A & valuation
63
GLOVISTA INVESTMENTS LLC (JERSEY CITY, NJ) left the SEC roster (was $328.5M RAUM, 2 reps). IAPD ↗
$328.5M RAUM · 2 reps · 212-336-1540
Recruiting & transitionsM&A & valuation
63
COHANZICK MANAGEMENT LLC (PLEASANTVILLE, NY) left the SEC roster (was $880.6M RAUM, 3 reps). IAPD ↗
$880.6M RAUM · 3 reps · 914-741-9600
Recruiting & transitionsM&A & valuation
63
BENEDETTI, GUCER & ASSOCIATES (ATLANTA, GA) left the SEC roster (was $572.3M RAUM, 13 reps). IAPD ↗
$572.3M RAUM · 13 reps · 404-602-0034
Recruiting & transitionsM&A & valuation
63
FIRESIDE CAPITAL ADVISORS INC. (DALLAS, TX) left the SEC roster (was $262.3M RAUM, 2 reps). IAPD ↗
$262.3M RAUM · 2 reps · 469-357-6370 · firesidecapital.com
Recruiting & transitionsM&A & valuation

…and 40 more in the CSV export.

Everything else — all segments

state expansion — 184 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
NINETY ONE NORTH AMERICA, INC. notice-filed in CO, DE, HI, NV, SD, TN, WA. IAPD ↗
$39.54B RAUM · 29 reps · 1 917 206 5179 · ninetyone.com
ComplianceMarketing & brand
55
TCG ADVISORS, LLC A HUB INTERNATIONAL COMPANY notice-filed in AK, DE, ID, KY, ME, MT, ND, NH, NJ, RI, SC, UT, VI, WI, WV, WY. IAPD ↗
$7.32B RAUM · 50 reps · 512-600-5390
ComplianceMarketing & brand
53
LEGACY FINANCIAL ADVISORS, INC. notice-filed in AZ, NC, TN, WI. IAPD ↗
$1.13B RAUM · 8 reps · 859-655-5225 · legacyfinancialadvisors.com
ComplianceMarketing & brand
53
ADAPT WEALTH ADVISORS, LLC notice-filed in FL, NC, SC, TX, VA. IAPD ↗
$253.0M RAUM · 5 reps · 404-594-5559 · adaptwealthadvisors.com
ComplianceMarketing & brand
51
SECOND HALF FINANCIAL PARTNERS, LLC notice-filed in GA, NC, OH, VA. IAPD ↗
$284.0M RAUM · 5 reps · 863-385-1101
ComplianceMarketing & brand
51
FIDUCIARY FINANCIAL ADVISORS notice-filed in LA, NJ, SC, WA. IAPD ↗
$555.4M RAUM · 22 reps · 6166223062
ComplianceMarketing & brand
51
GIBBS WEALTH MANAGEMENT, LLC notice-filed in CT, HI, LA, OR. IAPD ↗
$391.4M RAUM · 10 reps · 678-694-8770
ComplianceMarketing & brand
51
THURSTON SPRINGER ADVISORS notice-filed in LA, NM, OK. IAPD ↗
$1.35B RAUM · 51 reps · 317.581.4000 · conservationwm.com
ComplianceMarketing & brand
50
BRIDGEPORT FINANCIAL SOLUTIONS notice-filed in AK, HI, IN, KS, KY, ME, MI, MN, MO, NE, NH, NJ, OH, RI, SC, TN, UT, VA, VT, WV. IAPD ↗
$0 RAUM · 0 reps · 800-777-6080 · bridgeport.financial.com
ComplianceMarketing & brand
50
CORNERSTONE ALTERNATIVES notice-filed in CA, CO, FL, IL, MA, MD, MN, NC, NH, NJ, NY, OR, PA. IAPD ↗
$103.3M RAUM · 2 reps · 315-416-3384 · cornerstonealternatives.com
ComplianceMarketing & brand
50
WHALE notice-filed in AZ, CA, CO, GA, KY, MA, OH, TX. IAPD ↗
$0 RAUM · 1 reps · 3122484797 · getwhale.co
ComplianceMarketing & brand
49
INVESTMENT ADVISORY GROUP LLC notice-filed in CO, OH, TN. IAPD ↗
$848.2M RAUM · 5 reps · 781-826-1235 · maritimewealthadvisors.com
ComplianceMarketing & brand
49
BEAM WEALTH ADVISORS, INC. notice-filed in ID, NV, OR. IAPD ↗
$577.4M RAUM · 17 reps · 985-893-1440
ComplianceMarketing & brand
49
GRIES FINANCIAL PARTNERS notice-filed in PA, TN. IAPD ↗
$1.28B RAUM · 10 reps · 216-861-1148 · gries.com
ComplianceMarketing & brand
49
CERITY PARTNERS OCIO LLC notice-filed in CO, TX. IAPD ↗
$14.98B RAUM · 21 reps · 212-850-4260 · ceritypartners.com
ComplianceMarketing & brand
49
PROSPERITY CAPITAL ADVISORS notice-filed in NM, WI. IAPD ↗
$2.25B RAUM · 104 reps · 888-240-0064
ComplianceMarketing & brand
49
PALLAS CAPITAL ADVISORS, LLC notice-filed in MI, VT. IAPD ↗
$2.97B RAUM · 24 reps · (781) 971-5052 · pallascapitaladvisors.com
ComplianceMarketing & brand
49
HERITAGE WEALTH ADVISORS notice-filed in MA, NC, ND. IAPD ↗
$496.4M RAUM · 3 reps · 513-440-5475 · yourheritageadvisors.com
ComplianceMarketing & brand
49
BEAUMONT FINANCIAL PARTNERS notice-filed in NE, NM. IAPD ↗
$2.96B RAUM · 15 reps · 781-400-2800
ComplianceMarketing & brand
49
ATLAS LEGACY ADVISORS LLC notice-filed in FL, NJ, TX. IAPD ↗
$586.1M RAUM · 4 reps · 310-707-1275 · atlaslegacy.com
ComplianceMarketing & brand
47
POTOMAC FUND MANAGEMENT notice-filed in MT. IAPD ↗
$1.39B RAUM · 24 reps · (305) 824-2702
ComplianceMarketing & brand
47
PLANCORP, LLC notice-filed in OR. IAPD ↗
$6.48B RAUM · 47 reps · 636-532-7824 · plancorp.com
ComplianceMarketing & brand
47
CORDA INVESTMENT MANAGEMENT, LLC notice-filed in IA. IAPD ↗
$1.56B RAUM · 18 reps · 713-439-0665 · cordamanagement.com
ComplianceMarketing & brand
47
RETIREMENT INCOME SOLUTIONS, INC. notice-filed in IN. IAPD ↗
$2.42B RAUM · 12 reps · 734-769-7727
ComplianceMarketing & brand
47
ARGENT ADVISORS, INC. notice-filed in VA. IAPD ↗
$1.37B RAUM · 13 reps · 318-324-8000 · argentfinanical.com
ComplianceMarketing & brand
47
VERITY INVESTMENT PARTNERS notice-filed in LA, WI. IAPD ↗
$938.8M RAUM · 11 reps · 843-379-6661 · verityvip.com
ComplianceMarketing & brand
47
THE CAPROCK GROUP, LLC notice-filed in WI. IAPD ↗
$6.92B RAUM · 30 reps · (208) 368-9600
ComplianceMarketing & brand
47
SUMMITRY, LLC notice-filed in GA. IAPD ↗
$2.45B RAUM · 19 reps · 650-212-2240 · summitry.com
ComplianceMarketing & brand
47
WEALTHSTREAM ADVISORS, INC. notice-filed in DC. IAPD ↗
$1.35B RAUM · 12 reps · (212) 971-9241 · wealthstreamadvisors.com
ComplianceMarketing & brand
47
PERIGON WEALTH MANAGEMENT, LLC notice-filed in WV. IAPD ↗
$6.94B RAUM · 77 reps · (877) 977-2555
ComplianceMarketing & brand
47
WEST FINANCIAL SERVICES, INC. notice-filed in AZ. IAPD ↗
$2.16B RAUM · 22 reps · 703-847-2500 · westfinancial.com
ComplianceMarketing & brand
47
AGW CAPITAL ADVISORS notice-filed in NC. IAPD ↗
$1.15B RAUM · 9 reps · 813-254-4700
ComplianceMarketing & brand
47
HHM WEALTH ADVISORS, LLC notice-filed in WI. IAPD ↗
$1.07B RAUM · 12 reps · 423-826-1670
ComplianceMarketing & brand
47
BALLENTINE PARTNERS notice-filed in UT. IAPD ↗
$10.77B RAUM · 89 reps · 781-314-1300 · ballentinepartners.com
ComplianceMarketing & brand
47
FOUNTAINHEAD ADVISORS notice-filed in CT, NC. IAPD ↗
$721.6M RAUM · 13 reps · 732-346-1900
ComplianceMarketing & brand
47
GOLDEN STATE WEALTH MANAGEMENT, LLC notice-filed in MO. IAPD ↗
$1.69B RAUM · 51 reps · 866.273.1563 · teamgoldenstate.com
ComplianceMarketing & brand
47
OCCIDENTAL ASSET MANAGEMENT, LLC notice-filed in MS, TN. IAPD ↗
$625.5M RAUM · 10 reps · 650-344-1600 · yourmentalwealthadvisors.com
ComplianceMarketing & brand
47
ALPHACORE CAPITAL LLC notice-filed in WI. IAPD ↗
$2.44B RAUM · 23 reps · 858-875-4100
ComplianceMarketing & brand
47
SUMMIT TRAIL ADVISORS, LLC notice-filed in MN. IAPD ↗
$17.65B RAUM · 28 reps · 212-812-7010
ComplianceMarketing & brand
47
BEACON TRUST notice-filed in WI. IAPD ↗
$4.02B RAUM · 42 reps · 973-377-8090
ComplianceMarketing & brand
47
FIRST PACIFIC FINANCIAL, INC. notice-filed in HI. IAPD ↗
$1.28B RAUM · 16 reps · (360) 254-2585 · fp-financial.com
ComplianceMarketing & brand
47
THE FIDUCIARY ALLIANCE notice-filed in ID. IAPD ↗
$1.23B RAUM · 28 reps · 864-385-7999
ComplianceMarketing & brand
47
TFG ADVISORS notice-filed in MD, OH. IAPD ↗
$372.3M RAUM · 5 reps · 248-724-0090 · tfg-advisors.com
ComplianceMarketing & brand
47
JGP WEALTH MANAGEMENT, LLC notice-filed in UT. IAPD ↗
$1.08B RAUM · 12 reps · 503-446-6450
ComplianceMarketing & brand
47
ASPIRE CAPITAL ADVISORS LLC notice-filed in MT, WI. IAPD ↗
$817.7M RAUM · 11 reps · (206) 939-5615 · investwithaspire.com
ComplianceMarketing & brand
47
RIVERSEDGE ADVISORS notice-filed in SC, VA. IAPD ↗
$594.4M RAUM · 12 reps · 302-573-6864
ComplianceMarketing & brand
47
LIBERTY ONE INVESTMENT MANAGEMENT notice-filed in MO. IAPD ↗
$1.97B RAUM · 18 reps · 847-680-9255 · libertyoneim.com
ComplianceMarketing & brand
47
ARMSTRONG ADVISORY GROUP INC. notice-filed in MO. IAPD ↗
$1.22B RAUM · 10 reps · (781) 433-0001 · armstrongadvisory.com
ComplianceMarketing & brand
47
DAYMARK WEALTH PARTNERS, LLC notice-filed in ID. IAPD ↗
$2.50B RAUM · 16 reps · 513-838-2520
ComplianceMarketing & brand
47
GOLDEN STATE EQUITY PARTNERS, LLC notice-filed in KS, SC. IAPD ↗
$743.7M RAUM · 24 reps · 866-273-1563 · vector3wealth.com
ComplianceMarketing & brand
47
CHANNEL WEALTH, LLC notice-filed in MA, NC. IAPD ↗
$530.5M RAUM · 8 reps · 805-898-0893 · channelwealth.com
ComplianceMarketing & brand
47
ROCKLINE WEALTH MANAGEMENT LLC notice-filed in MA, NC. IAPD ↗
$477.5M RAUM · 5 reps · 516-605-1624
ComplianceMarketing & brand
47
LCP INSTITUTIONAL, LLC notice-filed in MS. IAPD ↗
$1.81B RAUM · 5 reps · 470-326-7920 · lcpi.com
ComplianceMarketing & brand
47
ASTRA WEALTH MANAGEMENT GROUP notice-filed in AR. IAPD ↗
$1.15B RAUM · 10 reps · 972-464-1571
ComplianceMarketing & brand
47
SYNTRINSIC LLC notice-filed in TN. IAPD ↗
$1.75B RAUM · 12 reps · 303-296-7100
ComplianceMarketing & brand
47
LEGACY EDGE ADVISORS notice-filed in CO, NC. IAPD ↗
$627.0M RAUM · 11 reps · 516-447-4200
ComplianceMarketing & brand
46
COORDINATED CAPITAL SECURITIES, INC. notice-filed in MI, NV, PA. IAPD ↗
$145.7M RAUM · 20 reps · 608-221-4545
ComplianceMarketing & brand
46
SUPREME ALLIANCE LLC notice-filed in AR, MI, NE. IAPD ↗
$11.1M RAUM · 13 reps · 561-460-2870 · supremealliancellc.com
ComplianceMarketing & brand
46
MERIDIAN FINANCIAL, LLC notice-filed in CT, FL, TX. IAPD ↗
$230.7M RAUM · 2 reps · (508) 429-2600 · meridianfinancial.net
ComplianceMarketing & brand
46
ZYNERGY RETIREMENT PLANNING notice-filed in FL, NC, TX. IAPD ↗
$131.0M RAUM · 2 reps · 7328229719 · zynergyretirement.com
ComplianceMarketing & brand
46
DYNAMIC WEALTH ADVISORS notice-filed in IL, OR, UT. IAPD ↗
$125.9M RAUM · 3 reps · 623-466-6060 · dynamicwealthmgt.com
ComplianceMarketing & brand
46
INVEST CAPITAL PARTNERS notice-filed in AL, AZ, NC. IAPD ↗
$144.5M RAUM · 7 reps · 937-557-3200 · mwmrj.com
ComplianceMarketing & brand
46
FOURTH DIMENSION WEALTH, LLC notice-filed in CA, VA, VT. IAPD ↗
$218.6M RAUM · 7 reps · 440-664-4045 · 4d-wealth.com
ComplianceMarketing & brand
46
SUSTAINABLE ADVISORS ALLIANCE LLC notice-filed in MI, MN, PA. IAPD ↗
$187.2M RAUM · 6 reps · 918-408-7981 · sustainableadvisorsalliance.com
ComplianceMarketing & brand
45
CURBSTONE FINANCIAL MANAGEMENT CORP. notice-filed in TX. IAPD ↗
$372.0M RAUM · 6 reps · 603-624-8462 · curbstonefinancial.com
ComplianceMarketing & brand
45
PACKERLAND BROKERAGE SERVICES, INC. notice-filed in CT. IAPD ↗
$854.2M RAUM · 144 reps · 920-662-9500
ComplianceMarketing & brand
45
BRUNI J V & CO notice-filed in NC. IAPD ↗
$865.3M RAUM · 3 reps · 719-575-9880 · jvbruni.com
ComplianceMarketing & brand
45
GRANT STREET ASSET MANAGEMENT INC notice-filed in TX. IAPD ↗
$578.7M RAUM · 6 reps · 412-257-8060
ComplianceMarketing & brand
45
WHITEGATE INVESTMENT COUNSELORS, INC. notice-filed in TX. IAPD ↗
$674.0M RAUM · 4 reps · 603-228-5471 · whitegateinvest.com
ComplianceMarketing & brand
45
SK WEALTH MANAGEMENT, LLC notice-filed in CA. IAPD ↗
$429.2M RAUM · 4 reps · 401-331-1575 · skwealth.com
ComplianceMarketing & brand
45
WEALTH MANAGEMENT ASSOCIATES, INC. notice-filed in TX. IAPD ↗
$555.3M RAUM · 16 reps · 856-424-2350 · wealthmanage.net
ComplianceMarketing & brand
45
NORTHSTAR FINANCIAL COMPANIES, INC. notice-filed in NJ. IAPD ↗
$284.6M RAUM · 4 reps · 610-629-6100 · northstarfci.com
ComplianceMarketing & brand
45
ROBOTTI & COMPANY ADVISORS, LLC notice-filed in OR. IAPD ↗
$987.9M RAUM · 14 reps · 212 986-4800
ComplianceMarketing & brand
45
FINANCIAL PERSPECTIVES notice-filed in GA. IAPD ↗
$864.6M RAUM · 13 reps · 763-553-7779 · fpwealth.com
ComplianceMarketing & brand
45
CEDAR MOUNTAIN ADVISORS, LLC notice-filed in NH. IAPD ↗
$870.1M RAUM · 6 reps · 503-224-6868 · cmapdx.com
ComplianceMarketing & brand
45
TOTAL CLARITY WEALTH MANAGEMENT, INC notice-filed in MA. IAPD ↗
$458.0M RAUM · 23 reps · 630-762-9352
ComplianceMarketing & brand
45
BIGELOW INVESTMENT ADVISORS, LLC notice-filed in LA. IAPD ↗
$467.4M RAUM · 4 reps · 207-772-2900 · bigelowadvisors.com
ComplianceMarketing & brand
45
SECURE ASSET MANAGEMENT, L.L.C. notice-filed in ME. IAPD ↗
$599.6M RAUM · 47 reps · 248-414-1562 · re-transition.com
ComplianceMarketing & brand
45
REAP FINANCIAL GROUP, LLC notice-filed in CA. IAPD ↗
$443.5M RAUM · 8 reps · 512-249-7300 · reapprivateclient.com
ComplianceMarketing & brand
45
SGL INVESTMENT ADVISORS, INC. notice-filed in FL. IAPD ↗
$292.4M RAUM · 6 reps · 406-721-0999 · sglinvestmentadvisors.com
ComplianceMarketing & brand
45
THE MARSHALL FINANCIAL GROUP LLC notice-filed in IL. IAPD ↗
$468.7M RAUM · 5 reps · (410) 563-1190
ComplianceMarketing & brand
45
PARK, MILLER, LLC notice-filed in NV. IAPD ↗
$254.2M RAUM · 3 reps · 925-974-3324 · parkmiller.com
ComplianceMarketing & brand
45
ARQ WEALTH ADVISORS, LLC notice-filed in NH. IAPD ↗
$520.1M RAUM · 6 reps · 480-214-9572
ComplianceMarketing & brand
45
BECK CAPITAL MANAGEMENT LLC notice-filed in FL. IAPD ↗
$384.6M RAUM · 6 reps · 512-345-6789
ComplianceMarketing & brand
45
HARDIN CAPITAL PARTNERS, LLC notice-filed in NH. IAPD ↗
$347.9M RAUM · 1 reps · 864-252-4200 · hardincapitalpartners.com
ComplianceMarketing & brand
45
INVESTOR FAN notice-filed in HI. IAPD ↗
$255.4M RAUM · 7 reps · 425-372-7517 · thewaytoinvest.com
ComplianceMarketing & brand
45
BENCHMARK WEALTH MANAGEMENT, LLC notice-filed in ME. IAPD ↗
$362.1M RAUM · 2 reps · (860) 434-6890
ComplianceMarketing & brand
45
THE JOSEPH GROUP CAPITAL MANAGEMENT notice-filed in CO. IAPD ↗
$811.7M RAUM · 14 reps · 614-228-4300
ComplianceMarketing & brand
45
FI3 FINANCIAL ADVISORS, LLC notice-filed in OH. IAPD ↗
$791.7M RAUM · 18 reps · 317-426-8800 · twitter@fi3advisors.com
ComplianceMarketing & brand
45
MBM WEALTH CONSULTANTS, LLC notice-filed in NC. IAPD ↗
$335.0M RAUM · 6 reps · (636) 274-6262
ComplianceMarketing & brand
45
TRANSATLANTIQUE PRIVATE WEALTH LLC notice-filed in NJ. IAPD ↗
$595.3M RAUM · 7 reps · 212 644 4219
ComplianceMarketing & brand
45
OMNIA FAMILY WEALTH, LLC notice-filed in TX. IAPD ↗
$759.7M RAUM · 5 reps · 305-602-9080
ComplianceMarketing & brand
45
WEST PACES ADVISORS, INC. notice-filed in NE. IAPD ↗
$797.8M RAUM · 5 reps · (404) 478-3030
ComplianceMarketing & brand
45
S.E.E.D. PLANNING GROUP, LLC notice-filed in CA. IAPD ↗
$423.0M RAUM · 14 reps · (607) 217-5091
ComplianceMarketing & brand
45
EQUITA FINANCIAL NETWORK, INC. notice-filed in OH. IAPD ↗
$283.1M RAUM · 8 reps · 800.604.0176
ComplianceMarketing & brand
45
BRIGHT FUTURES WEALTH MANAGEMENT, LLC notice-filed in TN. IAPD ↗
$388.4M RAUM · 21 reps · (585) 231-1595
ComplianceMarketing & brand
45
GOALVEST ADVISORY LLC notice-filed in KS. IAPD ↗
$463.4M RAUM · 5 reps · (917) 215-6141
ComplianceMarketing & brand
45
PREMIER WEALTH ADVISORS, LLC notice-filed in NH. IAPD ↗
$414.8M RAUM · 4 reps · (858) 668-0776
ComplianceMarketing & brand
45
WHITAKER-MYERS WEALTH MANAGERS, LTD. notice-filed in IA. IAPD ↗
$513.0M RAUM · 10 reps · (330) 345-5000 · whitaker-myers.com
ComplianceMarketing & brand
45
INDEPENDENT WEALTH NETWORK, INC. notice-filed in NJ. IAPD ↗
$358.3M RAUM · 25 reps · 515-461-5123 · indwealth.net
ComplianceMarketing & brand
45
LIFEWORKS ADVISORS, LLC notice-filed in UT. IAPD ↗
$421.8M RAUM · 25 reps · (616) 200-6512
ComplianceMarketing & brand
45
CHESME CAPITAL MANAGEMENT notice-filed in TX. IAPD ↗
$648.6M RAUM · 3 reps · 517-669-1600 · chesme.com
ComplianceMarketing & brand
45
SHARP FINANCIAL notice-filed in TX. IAPD ↗
$304.7M RAUM · 6 reps · (215) 659-2130
ComplianceMarketing & brand
45
KPP ADVISORY SERVICES LLC notice-filed in AK. IAPD ↗
$880.6M RAUM · 25 reps · 502-394-0400 · money411.info
ComplianceMarketing & brand
45
BRIO FINANCIAL GROUP notice-filed in NH. IAPD ↗
$699.4M RAUM · 11 reps · 415-623-2450
ComplianceMarketing & brand
45
EQ WEALTH MANAGEMENT notice-filed in NY. IAPD ↗
$593.7M RAUM · 6 reps · 425-434-1000
ComplianceMarketing & brand
45
KELLY FINANCIAL SERVICES LLC notice-filed in SC. IAPD ↗
$426.8M RAUM · 4 reps · 781-849-3090 · kellyfinancial.org
ComplianceMarketing & brand
45
JEPPSON WEALTH MANAGEMENT, LLC notice-filed in WA. IAPD ↗
$642.2M RAUM · 5 reps · 424-456-3111 · jeppson-wealth.com
ComplianceMarketing & brand
45
MADISON PARTNERS notice-filed in NC. IAPD ↗
$559.0M RAUM · 9 reps · 608-210-1021
ComplianceMarketing & brand
45
TACTIVE ADVISORS, LLC notice-filed in NM. IAPD ↗
$405.8M RAUM · 1 reps · 855-282-2848 · pcliftonfinancial.com
ComplianceMarketing & brand
45
RIDGECREST WEALTH PARTNERS, LLC notice-filed in CO. IAPD ↗
$542.8M RAUM · 2 reps · 415-260-2616 · ridgecrestwp.com
ComplianceMarketing & brand
45
ENDEAVOR PRIVATE WEALTH, INC. notice-filed in TN. IAPD ↗
$304.3M RAUM · 3 reps · 785-329-2510 · endeavorpw.com
ComplianceMarketing & brand
45
EMPOWER FINANCIAL ADVISORY, LLC notice-filed in NC. IAPD ↗
$411.7M RAUM · 4 reps · (860) 494-2600 · empowerfa.com
ComplianceMarketing & brand
45
TRIFECTA CAPITAL ADVISORS, LLC notice-filed in SC. IAPD ↗
$567.6M RAUM · 1 reps · 1-847-495-2464 · trifectacapitaladvisors.com
ComplianceMarketing & brand
45
SAVVY notice-filed in MI. IAPD ↗
$401.3M RAUM · 10 reps · 833-745-6789
ComplianceMarketing & brand
45
LRI INVESTMENTS notice-filed in OR. IAPD ↗
$932.9M RAUM · 12 reps · 561-323-2265
ComplianceMarketing & brand
45
CRAFT&SAGE WEALTH notice-filed in NC. IAPD ↗
$251.0M RAUM · 7 reps · 816-436-9939 · craftandsage.com
ComplianceMarketing & brand
45
SIERRA SUMMIT ADVISORS LLC notice-filed in TX. IAPD ↗
$425.0M RAUM · 3 reps · 847-652-5070 · sierrasummitadvisors.com
ComplianceMarketing & brand
45
EVERNEST FINANCIAL ADVISORS notice-filed in KY. IAPD ↗
$484.8M RAUM · 4 reps · 317-556-1015 · evernestfa.com
ComplianceMarketing & brand
45
7TWO notice-filed in TX. IAPD ↗
$377.5M RAUM · 4 reps · (720) 477-7274 · 7two.co
ComplianceMarketing & brand
44
B.B. GRAHAM & COMPANY, INC. notice-filed in RI, UT. IAPD ↗
$172.7M RAUM · 27 reps · (714) 628-5200 · bbgraham.com
ComplianceMarketing & brand
44
DICK RIVERA & ASSOCIATES notice-filed in AL, TN. IAPD ↗
$144.2M RAUM · 2 reps · 972-380-9550
ComplianceMarketing & brand
44
KIKER WEALTH MANAGEMENT, LLC notice-filed in AZ, PA. IAPD ↗
$161.5M RAUM · 3 reps · 706-253-7285
ComplianceMarketing & brand
44
STRINGER ASSET MANAGEMENT, LLC notice-filed in FL, PA. IAPD ↗
$47.9M RAUM · 3 reps · 901-800-2956
ComplianceMarketing & brand
44
VCP FINANCIAL LLC notice-filed in LA, NH. IAPD ↗
$99.4M RAUM · 4 reps · 212.328.7876 · lpsfinancial.com
ComplianceMarketing & brand
44
WATERSTONE FINANCIAL ADVISORY LLC notice-filed in IL, TN. IAPD ↗
$181.4M RAUM · 3 reps · 239-288-0977
ComplianceMarketing & brand
44
CRUSONIA WEALTH ADVISORS LLC notice-filed in CA, FL. IAPD ↗
$152.4M RAUM · 2 reps · 303-810-6366 · crusoniawealth.com
ComplianceMarketing & brand
43
MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC notice-filed in CO, LA, MO, NC, NY, PA, PR. IAPD ↗institutional
$644.7M RAUM · 10 reps · 971.634.1500 · hyasgroup.com
ComplianceMarketing & brand
42
DMK ADVISOR GROUP, INC. notice-filed in VA. IAPD ↗
$80.6M RAUM · 25 reps · 813-996-6100
ComplianceMarketing & brand
42
FINANCIAL COUNSELING ASSOCIATES, INC notice-filed in FL. IAPD ↗
$107.2M RAUM · 2 reps · 720-272-4419 · fca-inc.com
ComplianceMarketing & brand
42
GASSMAN FINANCIAL GROUP notice-filed in FL. IAPD ↗
$50.1M RAUM · 1 reps · 631-482-7460
ComplianceMarketing & brand
42
BALLENTINE CAPITAL ADVISORS, INC. notice-filed in GA. IAPD ↗
$231.9M RAUM · 3 reps · 864-322-6046
ComplianceMarketing & brand
42
KEEN CAPITAL, LTD notice-filed in TX. IAPD ↗
$144.2M RAUM · 3 reps · 803-941-4444 · coreadvisors.com
ComplianceMarketing & brand
42
VALUES FIRST ADVISORS, INC. notice-filed in AL. IAPD ↗
$190.1M RAUM · 9 reps · 877-832-3847 · valuesfirst.com
ComplianceMarketing & brand
42
FELLOWSHIP FINANCIAL GROUP notice-filed in NC. IAPD ↗
$126.0M RAUM · 2 reps · 407-949-5888
ComplianceMarketing & brand
42
PACTOLUS notice-filed in TN. IAPD ↗
$185.8M RAUM · 2 reps · 571-297-6364 · pactolus.com
ComplianceMarketing & brand
42
SAGE STONE WEALTH MANAGEMENT LLC notice-filed in WA. IAPD ↗
$198.7M RAUM · 2 reps · 858-412-6404 · sagestonewealth.com
ComplianceMarketing & brand
42
PEAPOD LANE CAPITAL LLC notice-filed in TX. IAPD ↗
$63.5M RAUM · 2 reps · 212-265-8940
ComplianceMarketing & brand
42
PARSONEX ADVISORY SERVICES, INC. notice-filed in MT. IAPD ↗
$151.6M RAUM · 2 reps · 303-662-8700 · parsonexadvisory.com
ComplianceMarketing & brand
42
OPINICUS notice-filed in TN. IAPD ↗
$216.6M RAUM · 3 reps · (813) 443-4767
ComplianceMarketing & brand
42
HAHN FINANCIAL GROUP notice-filed in NM. IAPD ↗
$122.1M RAUM · 6 reps · 605-275-3600 · hahnfinancialgroup.com
ComplianceMarketing & brand
42
FUTURE PERFECT PLANNING, LLC notice-filed in TX. IAPD ↗
$25.2M RAUM · 1 reps · 646-543-8065 · futureperfect.nyc
ComplianceMarketing & brand
42
11 FINANCIAL notice-filed in AZ. IAPD ↗
$12.4M RAUM · 6 reps · (936) 899-5629
ComplianceMarketing & brand
42
SIGHTLINE WEALTH ADVISORS, LLC notice-filed in MA. IAPD ↗
$242.4M RAUM · 4 reps · (860) 448-0611 · sightlinewa.com
ComplianceMarketing & brand
42
TFG FINANCIAL ADVISORS, LLC notice-filed in NY. IAPD ↗
$111.9M RAUM · 4 reps · (561) 209-1120
ComplianceMarketing & brand
42
ROOTED PLANNING GROUP notice-filed in CT. IAPD ↗
$95.7M RAUM · 5 reps · 607-438-2761
ComplianceMarketing & brand
42
COMMONWEALTH RETIREMENT INVESTMENTS LLC notice-filed in TX. IAPD ↗
$240.4M RAUM · 5 reps · 804-282-1238
ComplianceMarketing & brand
42
HESEN & HASLAM notice-filed in ID. IAPD ↗
$193.9M RAUM · 3 reps · 818-200-1107 · hhretirement.com
ComplianceMarketing & brand
42
OAK STREET INVESTMENTS notice-filed in TX. IAPD ↗
$111.6M RAUM · 1 reps · (720) 515-6822
ComplianceMarketing & brand
42
ANDERSON FINANCIAL STRATEGIES, LLC notice-filed in FL. IAPD ↗
$245.7M RAUM · 4 reps · (855)237-4545
ComplianceMarketing & brand
42
PGI WEALTH MANAGEMENT notice-filed in VA. IAPD ↗
$211.1M RAUM · 7 reps · (888) 493-9022
ComplianceMarketing & brand
42
COOKSEN WEALTH, LLC notice-filed in CO. IAPD ↗
$141.9M RAUM · 3 reps · (832) 592-2554 · cooksenwealth.com
ComplianceMarketing & brand
42
ZENITH WEALTH PARTNERS notice-filed in OH. IAPD ↗
$81.6M RAUM · 7 reps · 248-568-4626
ComplianceMarketing & brand
42
PARKER FINANCIAL ADVISORS LLC notice-filed in FL. IAPD ↗
$174.0M RAUM · 2 reps · 832-476-3495
ComplianceMarketing & brand
42
HF ADVISORY GROUP, LLC notice-filed in ID. IAPD ↗
$189.1M RAUM · 4 reps · (410)-571-1415
ComplianceMarketing & brand
42
WEIGELFAM notice-filed in NE. IAPD ↗
$56.0M RAUM · 1 reps · 646-872-0632
ComplianceMarketing & brand
42
CITY DIFFERENT INVESTMENTS notice-filed in KS. IAPD ↗
$114.6M RAUM · 9 reps · 505-416-4550
ComplianceMarketing & brand
42
ELYSIUM WEALTH MANAGEMENT, LLC notice-filed in CT. IAPD ↗
$116.0M RAUM · 6 reps · 801-735-8407 · saltwealthpartners.com
ComplianceMarketing & brand
42
AURELIUS FAMILY OFFICE, LLC notice-filed in TN. IAPD ↗
$237.3M RAUM · 5 reps · 603-413-6060 · aurelius.net
ComplianceMarketing & brand
42
ROSSBY FINANCIAL, LLC notice-filed in OH. IAPD ↗
$107.3M RAUM · 8 reps · 321-209-0111
ComplianceMarketing & brand
42
PODELL FINANCIAL GROUP LLC notice-filed in CA. IAPD ↗
$140.6M RAUM · 4 reps · 973-227-8001 · podellfinancialgroup.com
ComplianceMarketing & brand
42
ALPINE HILL ADVISORS LLC notice-filed in NY. IAPD ↗
$158.4M RAUM · 2 reps · (203) 429-0406
ComplianceMarketing & brand
42
CAPTAR PRIVATE WEALTH notice-filed in FL. IAPD ↗
$107.0M RAUM · 2 reps · 612-347-8668
ComplianceMarketing & brand
42
GAINLINE FINANCIAL PARTNERS, LLC notice-filed in MD. IAPD ↗
$220.7M RAUM · 5 reps · 720-548-4391 · gainlinefp.com
ComplianceMarketing & brand
42
BERILIUM notice-filed in IL. IAPD ↗
$402,125 RAUM · 1 reps · (640) 300-0475 · berilium.com
ComplianceMarketing & brand
42
FOGUTH WEALTH MANAGEMENT, LLC. notice-filed in SC. IAPD ↗
$237.0M RAUM · 10 reps · (810) 522-5650
ComplianceMarketing & brand
42
DIGITAL WEALTH PARTNERS notice-filed in CT. IAPD ↗
$0 RAUM · 1 reps · 225-200-8880
ComplianceMarketing & brand
42
CAPITAL A WEALTH MANAGEMENT notice-filed in NY. IAPD ↗
$149.2M RAUM · 8 reps · 724-658-4211
ComplianceMarketing & brand
42
STONEPATH WEALTH MANAGEMENT notice-filed in NC. IAPD ↗
$178.0M RAUM · 7 reps · (231) 668-6999
ComplianceMarketing & brand
42
BROADSTREET FAMILY OFFICE LLC notice-filed in NJ. IAPD ↗
$0 RAUM · 1 reps · (914) 427-8036 · broadstreetfamilyoffice.com
ComplianceMarketing & brand
42
CATALYST WEALTH MANAGEMENT LLC notice-filed in MI. IAPD ↗
$0 RAUM · 17 reps · 832-657-7735 · catalystfg.com
ComplianceMarketing & brand
42
FCIG WEALTH MANAGEMENT, LLC notice-filed in NH. IAPD ↗
$0 RAUM · 2 reps · 877-420-5234
ComplianceMarketing & brand
42
KILTER GROUP notice-filed in AZ. IAPD ↗
$0 RAUM · 2 reps · 646-438-6557 · kiltergroup.com
ComplianceMarketing & brand
42
ZERO DAY CAPITAL ENTERPRISES LLC notice-filed in NC. IAPD ↗
$0 RAUM · 1 reps · (617) 800-0388
ComplianceMarketing & brand
39
NORTHMARQ FUND MANAGEMENT, LLC notice-filed in CA, FL, MN. IAPD ↗institutional
$505.2M RAUM · 10 reps · 503-952-0700 · morrisonstreetcapital.com
ComplianceMarketing & brand
37
PENCE CAPITAL MANAGEMENT, LLC notice-filed in AR. IAPD ↗institutional
$1.08B RAUM · 12 reps · 949-660-8777 · pencecapital.com
ComplianceMarketing & brand
34
NXT CAPITAL INVESTMENT ADVISERS, LLC notice-filed in CT, NY. IAPD ↗fund
$6.60B RAUM · 67 reps · 312-450-8000
ComplianceMarketing & brand
34
MARINER WEALTH notice-filed in IN, OH. IAPD ↗institutional
$0 RAUM · 37 reps · 913-904-5700
ComplianceMarketing & brand
34
CHOREO PARTNER ALLIANCE, LLC notice-filed in GA, IL. IAPD ↗institutional
$0 RAUM · 0 reps · 312-702-1680 · choreoadvisors.com
ComplianceMarketing & brand
32
ALBOURNE AMERICA LLC notice-filed in MA. IAPD ↗institutional
$0 RAUM · 77 reps · 415-489-7200
ComplianceMarketing & brand
29
TITAN FUND MANAGEMENT, LLC notice-filed in MD, NY. IAPD ↗fund
$228.5M RAUM · 8 reps · 505-998-0163 · titan-development.com
ComplianceMarketing & brand
25
CARDINAL POINT WEALTH MANAGEMENT notice-filed in CT, GA, MA, MD, MN, NY, OH, TN. IAPD ↗foreign
$1.58B RAUM · 21 reps · 866-213-2036
ComplianceMarketing & brand
17
KOTAK ALTERNATE ASSET MANAGERS LIMITED notice-filed in CA. IAPD ↗foreign
$17.65B RAUM · 45 reps · -43360632
ComplianceMarketing & brand
12
CANACCORD GENUITY WEALTH MANAGEMENT notice-filed in NJ. IAPD ↗foreign
$92.6M RAUM · 7 reps · 604-643-7300
ComplianceMarketing & brand
new registration — 92 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
98
CAUSEY WEALTH LLC (location n/a) is newly SEC-registered with $292.5M RAUM and 6 advisory reps. IAPD ↗
$292.5M RAUM · 6 reps · 303-709-0298 · causeywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEVE LYNCH WEALTH MANAGEMENT (ALBUQUERQUE, NM) is newly SEC-registered with $133.7M RAUM and 4 advisory reps. IAPD ↗
$133.7M RAUM · 4 reps · 505-881-7526 · stevelynchwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CONWAY FINANCIAL GROUP, LLC (CHESTERFIELD, MO) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
$105.1M RAUM · 2 reps · (314) 579-9157 · conwayfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL ADVISORY SERVICES (SALT LAKE CITY, UT) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 801-532-1200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AWR INVESTMENT MANAGEMENT, LLC (SAN RAFAEL, CA) is newly SEC-registered with $115.8M RAUM and 1 advisory reps. IAPD ↗
$115.8M RAUM · 1 reps · (415) 457-9415 · awrinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SENSIBLE PORTFOLIOS, LLC (location n/a) is newly SEC-registered with $156.5M RAUM and 2 advisory reps. IAPD ↗
$156.5M RAUM · 2 reps · 775-323-1488 · sensibleportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC (LISLE, IL) is newly SEC-registered with $110.2M RAUM and 15 advisory reps. IAPD ↗
$110.2M RAUM · 15 reps · 630-241-1122 · chicagomanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WMGNA (FARMINGTON, CT) is newly SEC-registered with $191.4M RAUM and 3 advisory reps. IAPD ↗
$191.4M RAUM · 3 reps · 860-679-5255
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MZ CAPITAL, LLC (location n/a) is newly SEC-registered with $132.4M RAUM and 2 advisory reps. IAPD ↗
$132.4M RAUM · 2 reps · 301-452-4220
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWPORT WEALTH ADVISORS, INC. (NEWPORT BEACH, CA) is newly SEC-registered with $140.4M RAUM and 7 advisory reps. IAPD ↗
$140.4M RAUM · 7 reps · (877) 692-7227 · rpbacademy.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLOMB INVESTMENT MANAGEMENT COMPANY, LLC (METAIRIE, LA) is newly SEC-registered with $1.6M RAUM and 4 advisory reps. IAPD ↗
$1.6M RAUM · 4 reps · 504-520-8050 · colombim.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRINCE ASSET MANAGEMENT, INC. (SARASOTA, FL) is newly SEC-registered with $112.4M RAUM and 2 advisory reps. IAPD ↗
$112.4M RAUM · 2 reps · 941-363-9090 · princeassetmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WILLIAMS WEALTH MANAGEMENT GROUP, INC. (BRADENTON, FL) is newly SEC-registered with $148.0M RAUM and 2 advisory reps. IAPD ↗
$148.0M RAUM · 2 reps · 941-756-4500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PINGORA PARTNERS LLC (DALLAS, TX) is newly SEC-registered with $135.7M RAUM and 1 advisory reps. IAPD ↗
$135.7M RAUM · 1 reps · 307-739-8686
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RYDAR EQUITIES, INC. (WEATHERFORD, TX) is newly SEC-registered with $112.0M RAUM and 2 advisory reps. IAPD ↗
$112.0M RAUM · 2 reps · 432-634-8673 · rydarequities.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WELCY CAPITAL ADVISORS LLC (MIAMI, FL) is newly SEC-registered with $150.6M RAUM and 3 advisory reps. IAPD ↗
$150.6M RAUM · 3 reps · 786.353.0036 · welcycap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KOOB WEALTH MANAGEMENT, LLC (WHITE BEAR TOWNSHIP, MN) is newly SEC-registered with $125.8M RAUM and 2 advisory reps. IAPD ↗
$125.8M RAUM · 2 reps · 651-330-4996 · koobwealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HUMBLE CAPITAL MANAGEMENT LLC (HONOLULU, HI) is newly SEC-registered with $115.6M RAUM and 2 advisory reps. IAPD ↗
$115.6M RAUM · 2 reps · 808-387-0191 · humblecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BARRETT WEALTH CONNECTION LLC (SPRING GROVE, IL) is newly SEC-registered with $123.9M RAUM and 2 advisory reps. IAPD ↗
$123.9M RAUM · 2 reps · 815-529-7527 · barrettwealthconnection.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RBF CAPITAL MANAGEMENT, INC. (SARASOTA, FL) is newly SEC-registered with $107.1M RAUM and 1 advisory reps. IAPD ↗
$107.1M RAUM · 1 reps · 941-870-1944
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TENCAP WEALTH COACHING (SOUTH JORDAN, UT) is newly SEC-registered with $0 RAUM and 10 advisory reps. IAPD ↗
$0 RAUM · 10 reps · 801-337-5032
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEEL TOWER INVESTMENTS (PITTSBURGH, PA) is newly SEC-registered with $115.6M RAUM and 4 advisory reps. IAPD ↗
$115.6M RAUM · 4 reps · 412-586-2060 · upswia.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCBEATH FINANCIAL GROUP (NORMAL, IL) is newly SEC-registered with $160.2M RAUM and 5 advisory reps. IAPD ↗
$160.2M RAUM · 5 reps · 309-808-2224
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIGHT WEALTH MANAGEMENT, LLC (LEWISVILLE, TX) is newly SEC-registered with $160.0M RAUM and 5 advisory reps. IAPD ↗
$160.0M RAUM · 5 reps · (972) 410-6623
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BOON CAPITAL ADVISORS LLC (NORTHBROOK, IL) is newly SEC-registered with $146.9M RAUM and 1 advisory reps. IAPD ↗
$146.9M RAUM · 1 reps · 224-326-2044
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CATALYST WEALTH ADVISORS LLC (NEWPORT BEACH, CA) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
$132.4M RAUM · 1 reps · (949) 357-2390 · catalystwealthllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DANIEL KRUG & ASSOCIATES (CLARKSTON, MI) is newly SEC-registered with $116.6M RAUM and 2 advisory reps. IAPD ↗
$116.6M RAUM · 2 reps · 248-625-2788 · mydkna.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GERVAIS CAPITAL MANAGEMENT, LLC (WILSON, WY) is newly SEC-registered with $116.1M RAUM and 1 advisory reps. IAPD ↗
$116.1M RAUM · 1 reps · (914) 433-5223 · gervaiscapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FIDUCIARY WEALTH GROUP, LLC (CENTERVILLE, OH) is newly SEC-registered with $110.7M RAUM and 2 advisory reps. IAPD ↗
$110.7M RAUM · 2 reps · 855-560-7171 · fiduciarywealthgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ENGLEBERT FINANCIAL ADVISERS, LLC (ALLENTOWN, PA) is newly SEC-registered with $125.2M RAUM and 2 advisory reps. IAPD ↗
$125.2M RAUM · 2 reps · 484-350-3301
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JRB CAPITAL MANAGEMENT (location n/a) is newly SEC-registered with $130.7M RAUM and 1 advisory reps. IAPD ↗
$130.7M RAUM · 1 reps · 650-644-5480
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHSPAN INVESTMENT MANAGEMENT, LLC (GRAND RAPIDS, MI) is newly SEC-registered with $7.2M RAUM and 2 advisory reps. IAPD ↗
$7.2M RAUM · 2 reps · 616-655-1696
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MAIDEN COVE CAPITAL (CAPE ELIZABETH, ME) is newly SEC-registered with $109.9M RAUM and 1 advisory reps. IAPD ↗
$109.9M RAUM · 1 reps · 207-482-3840 · maidencove.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HDA WEALTH MANAGEMENT, LLC (POLAND, OH) is newly SEC-registered with $102.1M RAUM and 2 advisory reps. IAPD ↗
$102.1M RAUM · 2 reps · 330-980-0741 · hdawealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTENTIONAL FUNDS (PRINCETON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 917-776-7237 · intentionalfunds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRAZOS WEALTH ADVISORS LLC (IOWA PARK, TX) is newly SEC-registered with $111.7M RAUM and 2 advisory reps. IAPD ↗
$111.7M RAUM · 2 reps · 940-923-5482 · brazoswa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORNERSTONE ADVISORS LLC (FAYETTEVILLE, AR) is newly SEC-registered with $182.6M RAUM and 7 advisory reps. IAPD ↗
$182.6M RAUM · 7 reps · 501-943-7132
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPHA VEE ADVISORS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (617) 212-8691
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RELATION WEALTH MANAGEMENT, INC. (TULSA, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 918-295-7410
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ASG ADVISORY, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 773-837-9648
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PROSPERA CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 480-235-0769
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HARMONY WEALTH PARTNERS (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (617) 800-0388 · harmonywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRADY MARTZ WEALTH SOLUTIONS, LLC (GRAND FORKS, ND) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 701-223-1717
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOUGLASS INVESTMENT GROUP (WICHITA, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 316-854-8495 · douglassgroup.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TORO WEST CAPITAL ADVISORS (LOUISVILLE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 720-319-8517 · torowestcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STORYONE FAMILY OFFICE (LEAWOOD, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 913-663-1800
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BELMONT PRIVATE WEALTH (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 314-566-9887
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
917 ADVISORY SERVICES LLC (SPOKANE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 509-328-5627 · johnschram.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
A&M PRIVATE WEALTH PARTNERS, LLC (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 561-437-6738
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PARKWOODS WEALTH PARTNERS, LLC (SYRACUSE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 315-757-1100 · parkwoodswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HIGHROAD WEALTH ADVISORS, LLC (COOS BAY, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 541-266-7623 · highroadwa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PINVEST (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 305-350-6115
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEWERA WEALTH (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 786 788-5199
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MUNIFI, LLC (HERMOSA BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 310-729-3421
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WALTON FINANCIAL (BIRMINGHAM, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (205) 871-0154 · waltonfin.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MAKE THE MEMORY FINANCIAL PLANNING (location n/a) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 617-974-4225 · mtmplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KONZA GLOBAL WEALTH GROUP (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 913-669-4307
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEE-KELLEHER WEALTH MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 301-450-2617 · lkwealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROMEN CAPITAL (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-613-2887
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TOTAL WEALTH SERVICES, LLC (WESTLAKE VILLAGE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 805-304-2886 · totalwealthservices.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OWL CREEK WEALTH PARTNERS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 3038889282
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BOYER FINANCIAL SERVICES, INC. (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 949-336-4990 · boyerfs.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
90
RCM GA MANAGER LLC (NEW YORK, NY) is newly SEC-registered with $1.24B RAUM and 20 advisory reps. IAPD ↗institutional
$1.24B RAUM · 20 reps · 212-850-7770 · rithmcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PRECIDIAN FUNDS LLC (NEWTOWN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 9087810560 · precidianfunds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
EAST BEACH ASSET MANAGEMENT, LLC (LOS ANGELES, CA) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗institutional
$125.0M RAUM · 1 reps · 949-779-2590 · eastbeacham.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
NORTHAMPTON CAPITAL PARTNERS (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
$0 RAUM · 8 reps · 914-309-1746
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CONNETIC VENTURES (COVINGTON, KY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 859-201-6235 · conneticventures.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
S2G VENTURES (CHICAGO, IL) is newly SEC-registered with $2.57B RAUM and 45 advisory reps. IAPD ↗fund
$2.57B RAUM · 45 reps · 630-642-6122
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TWIN OAK ETF COMPANY (NATICK, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 617-402-5495
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MFG PARTNERS 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 · 212-651-4615
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
VENERABLE INVESTMENT ADVISERS, LLC (WEST CHESTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 610-249-2916
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PRIVACORE (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 1 800 304 3863 · privacorecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
LITTLE RIVER CAPITAL PARTNERS, LP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 917-224-7259
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PL3 CAPITAL LP (SUNNY ISLES BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-484-0819
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
RIPPLE EFFECT ASSET MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 917-319-8088 · rippleeffectasset.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SOPHRON CAPITAL MANAGEMENT (SUMMIT, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 404-530-9264
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GLADE CAPITAL MANAGEMENT LP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 561-246-6330
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
DIADEMA PARTNERS LP (MORRISTOWN, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 646-979-8432 · diademapartnerslp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
OCTANE INVESTMENTS INC. (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 212-885-0747 · octane.nyc
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
POSITIVE SELECTION INVESTMENT MANAGEMENT, LLC (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $500.0M RAUM and 2 advisory reps. IAPD ↗fund
$500.0M RAUM · 2 reps · 203-485-0443 · regeneronventures.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
PANORAMIC CAPITAL, LLC (LARKSPUR, CA) is newly SEC-registered with $209.9M RAUM and 3 advisory reps. IAPD ↗fund
$209.9M RAUM · 3 reps · 415-925-9033
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
FACTORIAL PARTNERS, LLC (MT. KISCO, NY) is newly SEC-registered with $177.9M RAUM and 1 advisory reps. IAPD ↗fund
$177.9M RAUM · 1 reps · 914-666-6830 · factorialpartnerslp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BREACH INLET CAPITAL MANAGEMENT, LLC (MT. PLEASANT, SC) is newly SEC-registered with $135.9M RAUM and 2 advisory reps. IAPD ↗fund
$135.9M RAUM · 2 reps · 615-693-2200 · breachinletcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SAF ADVISORS LLC (location n/a) is newly SEC-registered with $121.4M RAUM and 2 advisory reps. IAPD ↗fund
$121.4M RAUM · 2 reps · 212-202-2800 · subscribeplatform.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SEMANTEON CAPITAL MANAGEMENT, LP (NEWTON, MA) is newly SEC-registered with $195.0M RAUM and 2 advisory reps. IAPD ↗fund
$195.0M RAUM · 2 reps · 617-213-0162 · semanteon.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BH3 FUND ADVISORS, LLC (FORT LAUDERDALE, FL) is newly SEC-registered with $175.5M RAUM and 8 advisory reps. IAPD ↗fund
$175.5M RAUM · 8 reps · 954-416-3140 · bh-3.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CARR'S HILL PARTNERS (NEW ORLEANS, LA) is newly SEC-registered with $177.1M RAUM and 6 advisory reps. IAPD ↗fund
$177.1M RAUM · 6 reps · 504-332-0901 · carrshillpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CF CAPITAL LLC (location n/a) is newly SEC-registered with $118.5M RAUM and 1 advisory reps. IAPD ↗fund
$118.5M RAUM · 1 reps · 617.423.5984
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
WALK-ON CAPITAL, LLC (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $90.0M RAUM and 3 advisory reps. IAPD ↗fund
$90.0M RAUM · 3 reps · 970-948-2311 · walk-oncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ASCENDANCE ASSET MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
$0 RAUM · 3 reps · 646-206-4119
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
TREZ CAPITAL FUND MANAGEMENT LIMITED PARTNERSHIP (VANCOUVER, BC, Canada) is newly SEC-registered with $415.7M RAUM and 6 advisory reps. IAPD ↗foreign
$415.7M RAUM · 6 reps · 604-689-0821 · trezcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
ETNA CAPITAL (HONG KONG, Hong Kong) is newly SEC-registered with $20.4M RAUM and 3 advisory reps. IAPD ↗foreign
$20.4M RAUM · 3 reps · 85237579745 · etnalabs.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
deregistered — 66 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
FOURTH STREET PERFORMANCE PARTNERS, INC. (COVINGTON, KY) left the SEC roster (was $4.83B RAUM, 10 reps). IAPD ↗
$4.83B RAUM · 10 reps · 859-491-5556 · fourthst.com
Recruiting & transitionsM&A & valuation
65
SECURITIES AMERICA ADVISORS, INC. (LA VISTA, NE) left the SEC roster (was $40.42B RAUM, 2025 reps). IAPD ↗
$40.42B RAUM · 2025 reps · 402-399-9111 · synfintax.com
Recruiting & transitionsM&A & valuation
65
IRON CAPITAL ADVISORS INC. (ATLANTA, GA) left the SEC roster (was $5.22B RAUM, 3 reps). IAPD ↗
$5.22B RAUM · 3 reps · 404-564-9850 · ironcapitaladvisors.com
Recruiting & transitionsM&A & valuation
63
DEL MONTE GROUP, LLC (location n/a) left the SEC roster (was $307.6M RAUM, 2 reps). IAPD ↗
$307.6M RAUM · 2 reps · 925-736-6410
Recruiting & transitionsM&A & valuation
63
PRUDEO PARTNERS, LLC (WEST COLUMBIA, SC) left the SEC roster (was $412.9M RAUM, 4 reps). IAPD ↗
$412.9M RAUM · 4 reps · 803-739-6311
Recruiting & transitionsM&A & valuation
63
VAN LEEUWEN & COMPANY, LLC (PRINCETON, NJ) left the SEC roster (was $308.6M RAUM, 4 reps). IAPD ↗
$308.6M RAUM · 4 reps · 609-580-0088
Recruiting & transitionsM&A & valuation
63
GLOVISTA INVESTMENTS LLC (JERSEY CITY, NJ) left the SEC roster (was $328.5M RAUM, 2 reps). IAPD ↗
$328.5M RAUM · 2 reps · 212-336-1540
Recruiting & transitionsM&A & valuation
63
COHANZICK MANAGEMENT LLC (PLEASANTVILLE, NY) left the SEC roster (was $880.6M RAUM, 3 reps). IAPD ↗
$880.6M RAUM · 3 reps · 914-741-9600
Recruiting & transitionsM&A & valuation
63
BENEDETTI, GUCER & ASSOCIATES (ATLANTA, GA) left the SEC roster (was $572.3M RAUM, 13 reps). IAPD ↗
$572.3M RAUM · 13 reps · 404-602-0034
Recruiting & transitionsM&A & valuation
63
FIRESIDE CAPITAL ADVISORS INC. (DALLAS, TX) left the SEC roster (was $262.3M RAUM, 2 reps). IAPD ↗
$262.3M RAUM · 2 reps · 469-357-6370 · firesidecapital.com
Recruiting & transitionsM&A & valuation
60
PAINTER, SMITH AND AMBERG INC. (REDLANDS, CA) left the SEC roster (was $115.7M RAUM, 4 reps). IAPD ↗
$115.7M RAUM · 4 reps · 909-557-2800
Recruiting & transitionsM&A & valuation
60
SARATOGA WEALTH ADVISORS, LLC (SARATOGA SPRINGS, NY) left the SEC roster (was $93.0M RAUM, 1 reps). IAPD ↗
$93.0M RAUM · 1 reps · 518-587-7147 · saratogawealth.com
Recruiting & transitionsM&A & valuation
60
THREE POINTS FINANCIAL, INC. (COLORADO SPRINGS, CO) left the SEC roster (was $119.2M RAUM, 1 reps). IAPD ↗
$119.2M RAUM · 1 reps · 719-495-7163
Recruiting & transitionsM&A & valuation
60
MGM LLC (ALBUQUERQUE, NM) left the SEC roster (was $144.7M RAUM, 3 reps). IAPD ↗
$144.7M RAUM · 3 reps · 505-346-3434 · thehgroup.com
Recruiting & transitionsM&A & valuation
60
YORKVILLE CAPITAL MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $12.8M RAUM, 1 reps). IAPD ↗
$12.8M RAUM · 1 reps · 212-755-1970
Recruiting & transitionsM&A & valuation
60
SAGA PARTNERS LLC (location n/a) left the SEC roster (was $15.2M RAUM, 1 reps). IAPD ↗
$15.2M RAUM · 1 reps · 480-678-2950 · sagapartners.com
Recruiting & transitionsM&A & valuation
60
BROADCORE INVESTMENTS LP (location n/a) left the SEC roster (was $13.0M RAUM, 2 reps). IAPD ↗
$13.0M RAUM · 2 reps · 646-535-6900
Recruiting & transitionsM&A & valuation
60
PURSINO ADVISORY GROUP LLC (GARDEN CITY, NY) left the SEC roster (was $19.4M RAUM, 1 reps). IAPD ↗
$19.4M RAUM · 1 reps · 516-240-8088 · pursino.com
Recruiting & transitionsM&A & valuation
60
PATHFINDER WEALTH ADVISORS LLC (MAYFIELD HEIGHTS, OH) left the SEC roster (was $69.9M RAUM, 1 reps). IAPD ↗
$69.9M RAUM · 1 reps · 216-533-0463 · pathfinderwealthadvisors.com
Recruiting & transitionsM&A & valuation
60
GALTERE INC. (PRESTON, MN) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 212-598-1837 · galtere.com
Recruiting & transitionsM&A & valuation
60
KEATING WEALTH MANAGEMENT, LLC (DENVER, CO) left the SEC roster (was $202.7M RAUM, 1 reps). IAPD ↗
$202.7M RAUM · 1 reps · (720) 408-5250
Recruiting & transitionsM&A & valuation
60
WEALTH PLANNING AND DESIGN LLC (SARASOTA, FL) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 941-361-1484 · wealthplanninganddesign.com
Recruiting & transitionsM&A & valuation
60
KARNER BLUE CAPITAL, LLC (location n/a) left the SEC roster (was $72,791 RAUM, 2 reps). IAPD ↗
$72,791 RAUM · 2 reps · 833-527-6372
Recruiting & transitionsM&A & valuation
60
TRUADVICE LLC (SARASOTA, FL) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗
$0 RAUM · 0 reps · 9414135390 · truadvicellc.com
Recruiting & transitionsM&A & valuation
60
ARS INVESTMENT ADVISORS, INC. (KAYSVILLE, UT) left the SEC roster (was $107.4M RAUM, 5 reps). IAPD ↗
$107.4M RAUM · 5 reps · 385-249-5651 · advancedretirementstrategies.com
Recruiting & transitionsM&A & valuation
60
ATLAS FIDUCIARY FINANCIAL, LLC (SARASOTA, FL) left the SEC roster (was $231.2M RAUM, 5 reps). IAPD ↗
$231.2M RAUM · 5 reps · (941) 879-9290 · atlasfiduciary.com
Recruiting & transitionsM&A & valuation
60
ASPIRE WEALTH MANAGEMENT (OVERLAND PARK, KS) left the SEC roster (was $96.6M RAUM, 1 reps). IAPD ↗
$96.6M RAUM · 1 reps · 913-322-3500
Recruiting & transitionsM&A & valuation
60
CARDEA CAPITAL GROUP, INC. (ATLANTA, GA) left the SEC roster (was $22.4M RAUM, 2 reps). IAPD ↗
$22.4M RAUM · 2 reps · 770-977-7779 · cardeacapitalgroup.com
Recruiting & transitionsM&A & valuation
60
BRIGHTON SECURITIES CAPITAL MANAGEMENT, INC. (ROCHESTER, NY) left the SEC roster (was $195.0M RAUM, 2 reps). IAPD ↗
$195.0M RAUM · 2 reps · 585-473-3590 · brightonsecurities.com
Recruiting & transitionsM&A & valuation
60
GIRAFFE INVEST (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $14,297 RAUM, 1 reps). IAPD ↗
$14,297 RAUM · 1 reps · 860-878-7180
Recruiting & transitionsM&A & valuation
60
INTRINSIC VALUE CAPITAL ADVISORS, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 0 reps). IAPD ↗
$0 RAUM · 0 reps · 5015297011
Recruiting & transitionsM&A & valuation
60
PATTERN (location n/a) left the SEC roster (was $27,682 RAUM, 1 reps). IAPD ↗
$27,682 RAUM · 1 reps · 503-201-1375 · patternfi.com
Recruiting & transitionsM&A & valuation
60
ALTAR ROCK (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $3.1M RAUM, 5 reps). IAPD ↗
$3.1M RAUM · 5 reps · 917 226 0565 · altarrockwealth.com
Recruiting & transitionsM&A & valuation
60
RETIREWELL PLANS (MELVILLE, NY) left the SEC roster (was $34.3M RAUM, 1 reps). IAPD ↗
$34.3M RAUM · 1 reps · 631-559-3404
Recruiting & transitionsM&A & valuation
60
LOCKWOOD WEALTH STRATEGIES, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $41.3M RAUM, 1 reps). IAPD ↗
$41.3M RAUM · 1 reps · (346) 487-8700 · lockwoodws.com
Recruiting & transitionsM&A & valuation
55
DARWIN ASSET MANAGEMENT, LLC (TAMPA, FL) left the SEC roster (was $1.01B RAUM, 3 reps). IAPD ↗institutional
$1.01B RAUM · 3 reps · 813-579-4074 · investwithdarwin.com
Recruiting & transitionsM&A & valuation
53
ALTITUDE CREST PARTNERS INC. (STAMFORD, CT) left the SEC roster (was $256.0M RAUM, 4 reps). IAPD ↗institutional
$256.0M RAUM · 4 reps · 203-359-5620
Recruiting & transitionsM&A & valuation
53
TOSCAFUND US LTD. (NEW YORK, NY) left the SEC roster (was $433.0M RAUM, 1 reps). IAPD ↗institutional
$433.0M RAUM · 1 reps · +1 203 983 3203
Recruiting & transitionsM&A & valuation
50
PRIMA CAPITAL ADVISORS (SCARSDALE, NY) left the SEC roster (was $9.53B RAUM, 7 reps). IAPD ↗fund
$9.53B RAUM · 7 reps · 914-725-9380 · primaadvisors.com
Recruiting & transitionsM&A & valuation
50
ZEBRA CAPITAL MANAGEMENT, LLC (STAMFORD, CT) left the SEC roster (was $3.2M RAUM, 6 reps). IAPD ↗institutional
$3.2M RAUM · 6 reps · 203-701-5900 · zebracapital.com
Recruiting & transitionsM&A & valuation
50
ZEBRA ADVISORS, LLC (STAMFORD, CT) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 203-701-5900 · zebracapital.com
Recruiting & transitionsM&A & valuation
50
ALPHA CENTAURI WEALTH MANAGEMENT INC. (ANAHEIM, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 714-456-1790
Recruiting & transitionsM&A & valuation
50
ADVOCATE CAPITAL MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $1.8M RAUM, 3 reps). IAPD ↗institutional
$1.8M RAUM · 3 reps · 2127058516 · advocatecapmgt.com
Recruiting & transitionsM&A & valuation
50
TERRA FUND ADVISORS, LLC (NEW YORK, NY) left the SEC roster (was $23.6M RAUM, 0 reps). IAPD ↗institutional
$23.6M RAUM · 0 reps · 212-753-5100 · tcp-us.com
Recruiting & transitionsM&A & valuation
50
KUVARE ASSET MANAGEMENT (ROSEMONT, IL) left the SEC roster (was $27.58B RAUM, 41 reps). IAPD ↗fund
$27.58B RAUM · 41 reps · 312-682-6389 · kuvareassetmanagement.com
Recruiting & transitionsM&A & valuation
50
GLOVISTA INVESTMENTS ASSET MANAGEMENT LLC (JERSEY CITY, NJ) left the SEC roster (was $151.0M RAUM, 2 reps). IAPD ↗institutional
$151.0M RAUM · 2 reps · 212-336-1540 · glovista.net
Recruiting & transitionsM&A & valuation
50
KAIJU ETF ADVISORS (RED BANK, NJ) left the SEC roster (was $3.9M RAUM, 7 reps). IAPD ↗institutional
$3.9M RAUM · 7 reps · +41 79 603 78 53 · kaiju.ai
Recruiting & transitionsM&A & valuation
50
MAMMOTH ADVISORS, LLC (FORT WAYNE, IN) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · (260) 413-9184
Recruiting & transitionsM&A & valuation
50
VGI PARTNERS, INC. (NEW YORK, NY) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 2129374700
Recruiting & transitionsM&A & valuation
50
FOX INVESTMENTS MANAGEMENT LP (location n/a) left the SEC roster (was $2.00B RAUM, 1 reps). IAPD ↗fund
$2.00B RAUM · 1 reps · (415) 416-2093
Recruiting & transitionsM&A & valuation
50
ARC LUMINOUS MANAGEMENT COMPANY LLC (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 · 332-266-7344 · luminouscapitalinc.com
Recruiting & transitionsM&A & valuation
50
MISSION INVESTMENT ADVISORS LLC (SAN FRANCISCO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 1-800-683-8529
Recruiting & transitionsM&A & valuation
50
S2G (CHICAGO, IL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 50 reps). IAPD ↗institutional
$0 RAUM · 50 reps · 773-720-8271
Recruiting & transitionsM&A & valuation
48
PACIFIC CURRENT GROUP (TACOMA, WA) left the SEC roster (was $403.6M RAUM, 2 reps). IAPD ↗fund
$403.6M RAUM · 2 reps · 253-238-0417
Recruiting & transitionsM&A & valuation
48
DIRECT LENDING INVESTMENTS, LLC (GLENDALE, CA) left the SEC roster (was $866.3M RAUM, 7 reps). IAPD ↗fund
$866.3M RAUM · 7 reps · 213-234-1770 · dirlend.com
Recruiting & transitionsM&A & valuation
45
GARRISON INVESTMENT GROUP LP (NEW YORK, NY) left the SEC roster (was $195.4M RAUM, 2 reps). IAPD ↗fund
$195.4M RAUM · 2 reps · 1-646-662-6004
Recruiting & transitionsM&A & valuation
45
CENTURY PARK CAPITAL PARTNERS (EL SEGUNDO, CA) left the SEC roster (was $239.5M RAUM, 8 reps). IAPD ↗fund
$239.5M RAUM · 8 reps · 310-867-2210 · centuryparkcapital.com
Recruiting & transitionsM&A & valuation
45
SOFI CAPITAL ADVISORS LLC (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗fund
$0 RAUM · 0 reps · 855-525-7634
Recruiting & transitionsM&A & valuation
45
COOPER INVESTMENT PARTNERS LLC (FAIRFIELD, CT) left the SEC roster (was $241.6M RAUM, 1 reps). IAPD ↗fund
$241.6M RAUM · 1 reps · 415-310-0744 · cooperinvest.net
Recruiting & transitionsM&A & valuation
45
ONE01 CAPITAL, L.P. (BURLINGAME, CA) left the SEC roster (was $165.8M RAUM, 4 reps). IAPD ↗fund
$165.8M RAUM · 4 reps · 628-800-4456 · one01cap.com
Recruiting & transitionsM&A & valuation
45
GTS ASSET MANAGEMENT LP (NEW YORK, NY) left the SEC roster (was $74.9M RAUM, 3 reps). IAPD ↗fund
$74.9M RAUM · 3 reps · 212-715-2830 · gtsx.com
Recruiting & transitionsM&A & valuation
35
LIONTRUST INVESTMENT PARTNERS LLP (LONDON, United Kingdom) left the SEC roster (was $36.36B RAUM, 58 reps). IAPD ↗foreign
$36.36B RAUM · 58 reps · 442074121752
Recruiting & transitionsM&A & valuation
30
ABSOLUTE RETURN STRATEGIES LTD. (GEORGE TOWN, GRAND CAYMAN, Cayman Islands) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗foreign
$0 RAUM · 2 reps · 447572056270 · ars-alpha.com
Recruiting & transitionsM&A & valuation
30
KALENJIN ADVISORY LTD. (TORONTO, Canada) left the SEC roster (was $550,000 RAUM, 1 reps). IAPD ↗foreign
$550,000 RAUM · 1 reps · 647-388-2977 · kalenjin-advisory.com
Recruiting & transitionsM&A & valuation
30
ALQUITY INVESTMENT MANAGEMENT LTD. (LONDON, United Kingdom) left the SEC roster (was $115.0M RAUM, 5 reps). IAPD ↗foreign
$115.0M RAUM · 5 reps · +44(0) 207 5577 7850
Recruiting & transitionsM&A & valuation
30
GMG PRIVATE COUNSEL ULC (TORONTO, ONTARIO, Canada) left the SEC roster (was $192.6M RAUM, 3 reps). IAPD ↗foreign
$192.6M RAUM · 3 reps · 416-861-1998
Recruiting & transitionsM&A & valuation
new office — 65 Count of additional offices increased.
55
GIRARD ADVISORY SERVICES, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$2.33B RAUM · 42 reps · 610-337-7640 · meetgirard.com
Office IT & facilitiesCRMRecruiting & transitions
55
STRATEGIC ADVISERS LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$824.74B RAUM · 158 reps · 617-563-7000 · reddit.com
Office IT & facilitiesCRMRecruiting & transitions
55
SEIA added office(s): 15 -> 22 additional locations. IAPD ↗
$14.21B RAUM · 99 reps · 310-712-2323
Office IT & facilitiesCRMRecruiting & transitions
55
GRIES FINANCIAL PARTNERS added office(s): 1 -> 6 additional locations. IAPD ↗
$1.28B RAUM · 10 reps · 216-861-1148 · gries.com
Office IT & facilitiesCRMRecruiting & transitions
55
WEALTHCARE CAPITAL MANAGEMENT LLC added office(s): 17 -> 18 additional locations. IAPD ↗
$2.58B RAUM · 34 reps · 804-644-4711 · gdx360.com
Office IT & facilitiesCRMRecruiting & transitions
55
LUTZ FINANCIAL added office(s): 0 -> 1 additional locations. IAPD ↗
$2.28B RAUM · 11 reps · 402-827-2300
Office IT & facilitiesCRMRecruiting & transitions
55
PERIGON WEALTH MANAGEMENT, LLC added office(s): 38 -> 40 additional locations. IAPD ↗
$6.94B RAUM · 77 reps · (877) 977-2555
Office IT & facilitiesCRMRecruiting & transitions
55
VERIS WEALTH PARTNERS, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$2.02B RAUM · 14 reps · (415) 814-0580
Office IT & facilitiesCRMRecruiting & transitions
55
CERITY PARTNERS OCIO LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$14.98B RAUM · 21 reps · 212-850-4260 · ceritypartners.com
Office IT & facilitiesCRMRecruiting & transitions
55
THE COLONY GROUP, LLC added office(s): 29 -> 34 additional locations. IAPD ↗
$21.47B RAUM · 315 reps · 617-723-8200 · debrabrede.com
Office IT & facilitiesCRMRecruiting & transitions
55
COMPASS ION ADVISORS, LLC added office(s): 15 -> 17 additional locations. IAPD ↗
$1.09B RAUM · 13 reps · (610) 228-2200 · compass-ionadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
MCADAM LLC added office(s): 67 -> 68 additional locations. IAPD ↗
$1.74B RAUM · 156 reps · (888) 614-5323
Office IT & facilitiesCRMRecruiting & transitions
55
ALPHACORE CAPITAL LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$2.44B RAUM · 23 reps · 858-875-4100
Office IT & facilitiesCRMRecruiting & transitions
55
RAYMOND JAMES INVESTMENT MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗
$15.58B RAUM · 2 reps · 800-521-1195 · carillontower.com
Office IT & facilitiesCRMRecruiting & transitions
55
FIRST TRUST DIRECT INDEXING added office(s): 1 -> 2 additional locations. IAPD ↗
$1.42B RAUM · 6 reps · 617-752-6010 · ftdirectindexing.com
Office IT & facilitiesCRMRecruiting & transitions
55
LIBERTY ONE INVESTMENT MANAGEMENT added office(s): 18 -> 19 additional locations. IAPD ↗
$1.97B RAUM · 18 reps · 847-680-9255 · libertyoneim.com
Office IT & facilitiesCRMRecruiting & transitions
55
LCP INSTITUTIONAL, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$1.81B RAUM · 5 reps · 470-326-7920 · lcpi.com
Office IT & facilitiesCRMRecruiting & transitions
53
ASHTON THOMAS SECURITIES, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$409.1M RAUM · 20 reps · 585-424-1234 · excelsecurities.com
Office IT & facilitiesCRMRecruiting & transitions
53
SMITHBRIDGE ASSET MANAGEMENT, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$613.0M RAUM · 4 reps · 610-361-9141
Office IT & facilitiesCRMRecruiting & transitions
53
MORGAN DEMPSEY CAPITAL MANAGEMENT LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$345.8M RAUM · 4 reps · 414-319-1080 · morgandempsey.com
Office IT & facilitiesCRMRecruiting & transitions
53
BEAM WEALTH ADVISORS, INC. added office(s): 20 -> 30 additional locations. IAPD ↗
$577.4M RAUM · 17 reps · 985-893-1440
Office IT & facilitiesCRMRecruiting & transitions
53
COPPERWYND FINANCIAL added office(s): 0 -> 1 additional locations. IAPD ↗
$530.6M RAUM · 5 reps · 480-348-2100
Office IT & facilitiesCRMRecruiting & transitions
53
SECURE ASSET MANAGEMENT, L.L.C. added office(s): 17 -> 18 additional locations. IAPD ↗
$599.6M RAUM · 47 reps · 248-414-1562 · re-transition.com
Office IT & facilitiesCRMRecruiting & transitions
53
PASI INVESTMENTS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$503.3M RAUM · 4 reps · 860-284-6880
Office IT & facilitiesCRMRecruiting & transitions
53
THE MARSHALL FINANCIAL GROUP LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$468.7M RAUM · 5 reps · (410) 563-1190
Office IT & facilitiesCRMRecruiting & transitions
53
BEAUMONT ASSET MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$308.1M RAUM · 2 reps · 409-899-9569 · beaumontasset.com
Office IT & facilitiesCRMRecruiting & transitions
53
MG&A WEALTH added office(s): 0 -> 1 additional locations. IAPD ↗
$718.5M RAUM · 5 reps · 954-289-9000 · mgawealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
LIFEWORKS ADVISORS, LLC added office(s): 22 -> 24 additional locations. IAPD ↗
$421.8M RAUM · 25 reps · (616) 200-6512
Office IT & facilitiesCRMRecruiting & transitions
53
SIGNAL ADVISORS WEALTH, LLC added office(s): 7 -> 11 additional locations. IAPD ↗
$465.3M RAUM · 5 reps · 1-866-774-4625
Office IT & facilitiesCRMRecruiting & transitions
53
TERRA WEALTH added office(s): 26 -> 28 additional locations. IAPD ↗
$250.1M RAUM · 52 reps · 855-708-3772
Office IT & facilitiesCRMRecruiting & transitions
53
CORE WEALTH PARTNERS LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$284.0M RAUM · 4 reps · (707) 568-2400 · corewealthpartners.com
Office IT & facilitiesCRMRecruiting & transitions
53
LEGACY EDGE ADVISORS added office(s): 1 -> 2 additional locations. IAPD ↗
$627.0M RAUM · 11 reps · 516-447-4200
Office IT & facilitiesCRMRecruiting & transitions
53
7TWO added office(s): 2 -> 4 additional locations. IAPD ↗
$377.5M RAUM · 4 reps · (720) 477-7274 · 7two.co
Office IT & facilitiesCRMRecruiting & transitions
53
ATLAS LEGACY ADVISORS LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$586.1M RAUM · 4 reps · 310-707-1275 · atlaslegacy.com
Office IT & facilitiesCRMRecruiting & transitions
50
MERIDIAN FINANCIAL, LLC added office(s): 1 -> 3 additional locations. IAPD ↗
$230.7M RAUM · 2 reps · (508) 429-2600 · meridianfinancial.net
Office IT & facilitiesCRMRecruiting & transitions
50
CREW CAPITAL MANAGEMENT, LTD. added office(s): 2 -> 3 additional locations. IAPD ↗
$183.1M RAUM · 7 reps · 513-618-6460 · crewcapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
GOLDEN K PLANS AND WEALTH MANAGEMENT A DBA OF GOLDEN K WEALTH MG added office(s): 0 -> 1 additional locations. IAPD ↗
$132.7M RAUM · 1 reps · 818-587-4455 · goldenkplans.com
Office IT & facilitiesCRMRecruiting & transitions
50
INVERDALE CAPITAL MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$81.8M RAUM · 2 reps · 214.871.2900 · inverdalecapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
INVARIANT INVESTMENT MANAGEMENT added office(s): 2 -> 3 additional locations. IAPD ↗
$101.0M RAUM · 5 reps · (717) 317-9006 · invariantinvestments.com
Office IT & facilitiesCRMRecruiting & transitions
50
NOVA WEALTH MANAGEMENT, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$152.2M RAUM · 5 reps · 239-444-1794 · novawealthmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
50
MILLENNIAL ADVISERS, LLC. added office(s): 3 -> 4 additional locations. IAPD ↗
$39.5M RAUM · 11 reps · 646-532-2400
Office IT & facilitiesCRMRecruiting & transitions
50
11 FINANCIAL added office(s): 16 -> 17 additional locations. IAPD ↗
$12.4M RAUM · 6 reps · (936) 899-5629
Office IT & facilitiesCRMRecruiting & transitions
50
ZENITH WEALTH PARTNERS added office(s): 5 -> 6 additional locations. IAPD ↗
$81.6M RAUM · 7 reps · 248-568-4626
Office IT & facilitiesCRMRecruiting & transitions
50
PROSPERITY WEALTH PLANNING LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$172.9M RAUM · 1 reps · 877-878-7860 · prosperitywealthplanning.com
Office IT & facilitiesCRMRecruiting & transitions
50
TRUE VISION FINANCIAL ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$200.0M RAUM · 3 reps · 612-256-2208 · truevisionadvice.com
Office IT & facilitiesCRMRecruiting & transitions
50
AURELIUS FAMILY OFFICE, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$237.3M RAUM · 5 reps · 603-413-6060 · aurelius.net
Office IT & facilitiesCRMRecruiting & transitions
50
APFORIA added office(s): 0 -> 1 additional locations. IAPD ↗
$73.7M RAUM · 6 reps · 757-407-4189 · myciwm.com
Office IT & facilitiesCRMRecruiting & transitions
50
ASEMPA WEALTH ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$166.6M RAUM · 2 reps · (225) 529-9329 · asempawealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
SALUS FINANCIAL ADVISORS added office(s): 2 -> 3 additional locations. IAPD ↗
$166.4M RAUM · 4 reps · 866-999-1655 · salusfinancialadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
FUNDAMENTAL INVESTMENT SERVICES, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · 1-917-495-9582
Office IT & facilitiesCRMRecruiting & transitions
50
WELLTH ADVISORY SERVICES, LLC added office(s): 0 -> 31 additional locations. IAPD ↗
$0 RAUM · 1 reps · 866-777-4015 · srpretire.com
Office IT & facilitiesCRMRecruiting & transitions
45
HBC GROUP LLC. added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$1.13B RAUM · 1 reps · 239-529-0763
Office IT & facilitiesCRMRecruiting & transitions
43
NORTHMARQ FUND MANAGEMENT, LLC added office(s): 1 -> 4 additional locations. IAPD ↗institutional
$505.2M RAUM · 10 reps · 503-952-0700 · morrisonstreetcapital.com
Office IT & facilitiesCRMRecruiting & transitions
40
BOLTON INVESTMENT added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$61.0M RAUM · 7 reps · 410 547-0500 · boltonusa.com
Office IT & facilitiesCRMRecruiting & transitions
40
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$169.4M RAUM · 1 reps · 206-745-2136 · euclidean.com
Office IT & facilitiesCRMRecruiting & transitions
40
STEPSTONE GROUP REAL ESTATE LP added office(s): 6 -> 11 additional locations. IAPD ↗fund
$14.18B RAUM · 64 reps · 858-558-9700 · vimeo.com
Office IT & facilitiesCRMRecruiting & transitions
38
ELDRIDGE ACRE PARTNERS, LP added office(s): 0 -> 1 additional locations. IAPD ↗fund
$892.5M RAUM · 10 reps · 213-394-2506 · eldridgeacre.com
Office IT & facilitiesCRMRecruiting & transitions
25
POLAR CAPITAL added office(s): 4 -> 5 additional locations. IAPD ↗foreign
$29.22B RAUM · 59 reps · 011 44 20 72272700 · polarcapital.co.uk
Office IT & facilitiesCRMRecruiting & transitions
25
POLAR ASSET MANAGEMENT PARTNERS INC. added office(s): 2 -> 5 additional locations. IAPD ↗foreign
$33.57B RAUM · 53 reps · 416-367-4364 · polaramp.com
Office IT & facilitiesCRMRecruiting & transitions
25
MORRISON US, LLC added office(s): 0 -> 6 additional locations. IAPD ↗foreign
$25.69B RAUM · 14 reps · 3479526718
Office IT & facilitiesCRMRecruiting & transitions
23
LFA added office(s): 1 -> 2 additional locations. IAPD ↗foreign
$990.6M RAUM · 9 reps · 41919212533
Office IT & facilitiesCRMRecruiting & transitions
23
ESCHLER ASSET MANAGEMENT LLP added office(s): 6 -> 7 additional locations. IAPD ↗foreign
$452.6M RAUM · 31 reps · 447775824595 · eschlerasset.com
Office IT & facilitiesCRMRecruiting & transitions
20
CANACCORD GENUITY WEALTH MANAGEMENT added office(s): 4 -> 5 additional locations. IAPD ↗foreign
$92.6M RAUM · 7 reps · 604-643-7300
Office IT & facilitiesCRMRecruiting & transitions
20
MCA CROSS BORDER ADVISORS INC. added office(s): 2 -> 11 additional locations. IAPD ↗foreign
$12.2M RAUM · 2 reps · 514-940-8066
Office IT & facilitiesCRMRecruiting & transitions
20
MCA CROSS BORDER CAPITAL INC. added office(s): 2 -> 4 additional locations. IAPD ↗foreign
$0 RAUM · 3 reps · 1-877-839-7111
Office IT & facilitiesCRMRecruiting & transitions
headcount up — 49 Advisory representative count grew materially (>=20% or >=5 reps).
85
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST grew from 144 to 168 advisory reps. IAPD ↗
$190.96B RAUM · 168 reps · 215-255-2300 · macquarieim.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
CERITY PARTNERS OCIO LLC grew from 0 to 21 advisory reps. IAPD ↗
$14.98B RAUM · 21 reps · 212-850-4260 · ceritypartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
THE COLONY GROUP, LLC grew from 285 to 315 advisory reps. IAPD ↗
$21.47B RAUM · 315 reps · 617-723-8200 · debrabrede.com
CRMRecruiting & transitionsComplianceFinancial planning software
78
RICHMOND INVESTMENT SERVICES LLC grew from 11 to 21 advisory reps. IAPD ↗
$360.3M RAUM · 21 reps · 262-242-4200
CRMRecruiting & transitionsComplianceFinancial planning software
75
PERIGON WEALTH MANAGEMENT, LLC grew from 72 to 77 advisory reps. IAPD ↗
$6.94B RAUM · 77 reps · (877) 977-2555
CRMRecruiting & transitionsComplianceFinancial planning software
75
MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC. grew from 7 to 12 advisory reps. IAPD ↗
$1.16B RAUM · 12 reps · 312-595-6000
CRMRecruiting & transitionsComplianceFinancial planning software
71
BBVA GLOBAL WEALTH ADVISORS, INC. grew from 8 to 14 advisory reps. IAPD ↗
$111.1M RAUM · 14 reps · 434-242-0068 · bbvaglobalwealthadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
HAMILTON LANE grew from 190 to 225 advisory reps. IAPD ↗fund
$124.41B RAUM · 225 reps · 610-934-2222
CRMRecruiting & transitionsComplianceFinancial planning software
70
NICOLLET INVESTMENT MANAGEMENT, INC. grew from 5 to 7 advisory reps. IAPD ↗
$477.0M RAUM · 7 reps · 612-915-3033 · nicolletinvest.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
MACQUARIE INFRASTRUCTURE PARTNERS grew from 106 to 123 advisory reps. IAPD ↗fund
$32.55B RAUM · 123 reps · 212-231-1000 · macquarie.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
STEPSTONE GROUP REAL ASSETS LP grew from 59 to 76 advisory reps. IAPD ↗fund
$26.34B RAUM · 76 reps · 858-558-9700
CRMRecruiting & transitionsComplianceFinancial planning software
70
MAM AMERICAS, INC. grew from 89 to 123 advisory reps. IAPD ↗fund
$2.87B RAUM · 123 reps · 212-231-1000 · macquarie.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
COMPASS RETIREMENT GROUP LLC grew from 3 to 6 advisory reps. IAPD ↗
$99.4M RAUM · 6 reps · 314-373-1598 · crsretirement.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
STEPSTONE GROUP REAL ESTATE LP grew from 52 to 64 advisory reps. IAPD ↗fund
$14.18B RAUM · 64 reps · 858-558-9700 · vimeo.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
INVEST CAPITAL PARTNERS grew from 5 to 7 advisory reps. IAPD ↗
$144.5M RAUM · 7 reps · 937-557-3200 · mwmrj.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
LORD AND RICHARDS grew from 5 to 7 advisory reps. IAPD ↗
$95.5M RAUM · 7 reps · 720-214-6801
CRMRecruiting & transitionsComplianceFinancial planning software
67
TORREN MANAGEMENT, LLC grew from 1 to 3 advisory reps. IAPD ↗
$147.1M RAUM · 3 reps · 619-649-0700 · torren.com
CRMRecruiting & transitionsComplianceFinancial planning software
62
NORTHMARQ FUND MANAGEMENT, LLC grew from 6 to 10 advisory reps. IAPD ↗institutional
$505.2M RAUM · 10 reps · 503-952-0700 · morrisonstreetcapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
62
ELDRIDGE ACRE PARTNERS, LP grew from 1 to 10 advisory reps. IAPD ↗fund
$892.5M RAUM · 10 reps · 213-394-2506 · eldridgeacre.com
CRMRecruiting & transitionsComplianceFinancial planning software
60
MACQUARIE PRIVATE DEBT ASSET MANAGEMENT, LLC grew from 4 to 6 advisory reps. IAPD ↗institutional
$450.0M RAUM · 6 reps · 1 212 231-1000 · macquarie.com
CRMRecruiting & transitionsComplianceFinancial planning software
59
FIRST SENTIER INVESTORS (US) LLC grew from 12 to 21 advisory reps. IAPD ↗fund
$116.4M RAUM · 21 reps · 212-497-9980 · firstsentierinvestors.com
CRMRecruiting & transitionsComplianceFinancial planning software
59
NOMURA CAPITAL MANAGEMENT LLC grew from 5 to 11 advisory reps. IAPD ↗fund
$420.8M RAUM · 11 reps · 212-667-9996 · nomuracapitalmanagement.com
CRMRecruiting & transitionsComplianceFinancial planning software
57
MSR CAPITAL PARTNERS, LLC grew from 10 to 12 advisory reps. IAPD ↗fund
$3.60B RAUM · 12 reps · 212-336-0650
CRMRecruiting & transitionsComplianceFinancial planning software
57
COALESCE CAPITAL MANAGEMENT LLC grew from 8 to 12 advisory reps. IAPD ↗fund
$961.7M RAUM · 12 reps · (646) 222-5910 · coalescecap.com
CRMRecruiting & transitionsComplianceFinancial planning software
56
WINCOVE grew from 5 to 8 advisory reps. IAPD ↗fund
$262.1M RAUM · 8 reps · (603) 770-9785 · wincove.com
CRMRecruiting & transitionsComplianceFinancial planning software
56
POLUS CAPITAL MANAGEMENT (US) INC. grew from 3 to 6 advisory reps. IAPD ↗fund
$400.0M RAUM · 6 reps · 646-653-2389 · poluscapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
APAX PARTNERS US, LLC grew from 76 to 81 advisory reps. IAPD ↗fund
$89.6M RAUM · 81 reps · 212-753-6300 · apax.us.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
NIKKO ASSET MANAGEMENT ASIA LIMITED grew from 51 to 80 advisory reps. IAPD ↗foreign
$10.46B RAUM · 80 reps · 65-6500-5700 · nikkoam.com.sg
CRMRecruiting & transitionsComplianceFinancial planning software
55
MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED grew from 44 to 61 advisory reps. IAPD ↗foreign
$11.09B RAUM · 61 reps · 44 203 037 2000 · macquarieim.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
FORESIGHT GROUP LLP grew from 90 to 150 advisory reps. IAPD ↗foreign
$9.00B RAUM · 150 reps · 44 020 3667 8100 · foresightgroup.eu
CRMRecruiting & transitionsComplianceFinancial planning software
55
BENCHSTONE CAPITAL MANAGEMENT LP grew from 3 to 5 advisory reps. IAPD ↗fund
$465.5M RAUM · 5 reps · 646-908-6000 · benchstonecapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
52
AHL PARTNERS LLP grew from 119 to 131 advisory reps. IAPD ↗foreign
$63.70B RAUM · 131 reps · +44 20 7144 1000 · man.com
CRMRecruiting & transitionsComplianceFinancial planning software
50
BAILLIE GIFFORD OVERSEAS LTD grew from 142 to 152 advisory reps. IAPD ↗foreign
$186.63B RAUM · 152 reps · +44 131 275 2000
CRMRecruiting & transitionsComplianceFinancial planning software
49
NISSAY ASSET MANAGEMENT CORPORATION grew from 226 to 235 advisory reps. IAPD ↗foreign
$206.68B RAUM · 235 reps · -9455
CRMRecruiting & transitionsComplianceFinancial planning software
48
ROKOS CAPITAL MANAGEMENT LLP grew from 35 to 43 advisory reps. IAPD ↗foreign
$192.81B RAUM · 43 reps · +44(0)2036689000 · rokoscapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
48
HOLLYPORT CAPITAL LLP grew from 48 to 56 advisory reps. IAPD ↗foreign
$5.28B RAUM · 56 reps · +44 207 478 3970 · hollyportcapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
47
LANCASTER INVESTMENT MANAGEMENT LLP grew from 5 to 12 advisory reps. IAPD ↗foreign
$1.48B RAUM · 12 reps · 011 44 20 7842 1030 · lancasterim.co.uk
CRMRecruiting & transitionsComplianceFinancial planning software
47
BUOYANT CAPITAL PRIVATE LIMITED grew from 36 to 45 advisory reps. IAPD ↗foreign
$410.2M RAUM · 45 reps · +91 22 6931 9994 · buoyantcap.com
CRMRecruiting & transitionsComplianceFinancial planning software
46
CHEYNE CAPITAL MANAGEMENT (UK) LLP grew from 31 to 37 advisory reps. IAPD ↗foreign
$37.85B RAUM · 37 reps · 44 (0) 207 968 7450 · cheynecapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
46
ESCHLER ASSET MANAGEMENT LLP grew from 23 to 31 advisory reps. IAPD ↗foreign
$452.6M RAUM · 31 reps · 447775824595 · eschlerasset.com
CRMRecruiting & transitionsComplianceFinancial planning software
45
MACQUARIE INVESTMENT MANAGEMENT GLOBAL LIMITED grew from 68 to 73 advisory reps. IAPD ↗foreign
$152.40B RAUM · 73 reps · 612 8232 3333 · macquarieim.com
CRMRecruiting & transitionsComplianceFinancial planning software
45
MORRISON US, LLC grew from 9 to 14 advisory reps. IAPD ↗foreign
$25.69B RAUM · 14 reps · 3479526718
CRMRecruiting & transitionsComplianceFinancial planning software
44
MASECO PRIVATE WEALTH grew from 19 to 23 advisory reps. IAPD ↗foreign
$3.27B RAUM · 23 reps · +44 20 7043 0455 · instagram.com\masecopw
CRMRecruiting & transitionsComplianceFinancial planning software
44
ICON INFRASTRUCTURE NORTH AMERICA INC. grew from 10 to 14 advisory reps. IAPD ↗foreign
$1.45B RAUM · 14 reps · 1 929 226 1447 · iconinfrastructure.com
CRMRecruiting & transitionsComplianceFinancial planning software
42
SILCHESTER INTERNATIONAL INVESTORS grew from 10 to 12 advisory reps. IAPD ↗foreign
$43.28B RAUM · 12 reps · 011-44207-518-7100 · silchester.com
CRMRecruiting & transitionsComplianceFinancial planning software
42
HIGHCLERE INTERNATIONAL INVESTORS grew from 10 to 12 advisory reps. IAPD ↗foreign
$2.17B RAUM · 12 reps · +44 207-258-9830 · highclereinvestors.com
CRMRecruiting & transitionsComplianceFinancial planning software
42
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. grew from 5 to 7 advisory reps. IAPD ↗foreign
$5.24B RAUM · 7 reps · 6563956970 · kotakglobal.com
CRMRecruiting & transitionsComplianceFinancial planning software
41
TAVIRA FINANCIAL grew from 10 to 13 advisory reps. IAPD ↗foreign
$531.3M RAUM · 13 reps · 44 0207 100 5100 · tavira.group
CRMRecruiting & transitionsComplianceFinancial planning software
40
UTI ASSET MANAGEMENT COMPANY LIMITED grew from 48 to 53 advisory reps. IAPD ↗foreign
$0 RAUM · 53 reps · 91 022 6678 6686 · utimf.com
CRMRecruiting & transitionsComplianceFinancial planning software
aum up — 42 Regulatory AUM up >=25% since last filing.
70
CYGNUS CAPITAL ADVISERS, LLC reported RAUM up 147% ($47.5M -> $117.3M). IAPD ↗
$117.3M RAUM · 2 reps · 404-443-4762 · cygnuscapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
APFORIA reported RAUM up 96% ($37.6M -> $73.7M). IAPD ↗
$73.7M RAUM · 6 reps · 757-407-4189 · myciwm.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
CORNERSTONE ALTERNATIVES reported RAUM up 104% ($50.7M -> $103.3M). IAPD ↗
$103.3M RAUM · 2 reps · 315-416-3384 · cornerstonealternatives.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
FULL FINANCIAL INC. reported RAUM up 98% ($110.0M -> $217.5M). IAPD ↗
$217.5M RAUM · 2 reps · 7203723410 · fullfinancial.com
Portfolio / reporting / TAMPCRMFinancial planning software
68
CARDEA CAPITAL ADVISORS, LLC reported RAUM up 68% ($79.3M -> $133.3M). IAPD ↗
$133.3M RAUM · 9 reps · 770-977-7779
Portfolio / reporting / TAMPCRMFinancial planning software
65
GENTRUST reported RAUM up 29% ($3.15B -> $4.06B). IAPD ↗
$4.06B RAUM · 15 reps · 305-677-6688 · gentrustwm.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
STEPSTONE PRIVATE WEALTH reported RAUM up 125% ($1.50B -> $3.37B). IAPD ↗institutional
$3.37B RAUM · 0 reps · 704-215-4300
Portfolio / reporting / TAMPCRMFinancial planning software
64
NEWDAY reported RAUM up 49% ($117.4M -> $175.4M). IAPD ↗
$175.4M RAUM · 3 reps · 415-935-0550
Portfolio / reporting / TAMPCRMFinancial planning software
60
FISAI US MANAGEMENT LLC reported RAUM up 119% ($104.0M -> $227.7M). IAPD ↗institutional
$227.7M RAUM · 2 reps · 310-906-9537 · fisai.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
LORD AND RICHARDS reported RAUM up 27% ($75.4M -> $95.5M). IAPD ↗
$95.5M RAUM · 7 reps · 720-214-6801
Portfolio / reporting / TAMPCRMFinancial planning software
58
POLUS CAPITAL MANAGEMENT (US) INC. reported RAUM up 900% ($40.0M -> $400.0M). IAPD ↗fund
$400.0M RAUM · 6 reps · 646-653-2389 · poluscapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
58
NOMURA CAPITAL MANAGEMENT LLC reported RAUM up 318% ($100.6M -> $420.8M). IAPD ↗fund
$420.8M RAUM · 11 reps · 212-667-9996 · nomuracapitalmanagement.com
Portfolio / reporting / TAMPCRMFinancial planning software
57
EMBASSY ASSET MANAGEMENT LP reported RAUM up 75% ($149.8M -> $261.6M). IAPD ↗fund
$261.6M RAUM · 0 reps · 862.278.2113 · embassyfunds.com
Portfolio / reporting / TAMPCRMFinancial planning software
55
LONSDALE INVESTMENT MANAGEMENT, LLC reported RAUM up 76% ($101.8M -> $179.1M). IAPD ↗fund
$179.1M RAUM · 3 reps · 929-499-9817 · optoinvest.com
Portfolio / reporting / TAMPCRMFinancial planning software
53
DELTA CAPITAL PARTNERS MANAGEMENT LLC reported RAUM up 65% ($85.0M -> $140.5M). IAPD ↗fund
$140.5M RAUM · 5 reps · 312-414-0859
Portfolio / reporting / TAMPCRMFinancial planning software
52
3I CORPORATION reported RAUM up 39% ($1.86B -> $2.58B). IAPD ↗fund
$2.58B RAUM · 19 reps · 1 212 848 1400 · 3i.com
Portfolio / reporting / TAMPCRMFinancial planning software
52
DAIWA CAPITAL MANAGEMENT SILICON VALLEY INC. reported RAUM up 49% ($187.9M -> $280.7M). IAPD ↗fund
$280.7M RAUM · 2 reps · 650-395-2863
Portfolio / reporting / TAMPCRMFinancial planning software
50
FIRST ASSOCIATED INVESTMENT ADVISORS, INC. reported RAUM up 26% ($32.5M -> $41.1M). IAPD ↗institutional
$41.1M RAUM · 1 reps · 218-722-8248 · tebergfund.com
Portfolio / reporting / TAMPCRMFinancial planning software
50
MARSHALL WACE NORTH AMERICA L.P. reported RAUM up 27% ($28.56B -> $36.17B). IAPD ↗fund
$36.17B RAUM · 89 reps · 212-235-2800 · mwam.com
Portfolio / reporting / TAMPCRMFinancial planning software
50
STEPSTONE GROUP REAL ESTATE LP reported RAUM up 27% ($11.18B -> $14.18B). IAPD ↗fund
$14.18B RAUM · 64 reps · 858-558-9700 · vimeo.com
Portfolio / reporting / TAMPCRMFinancial planning software
50
BAILLIE GIFFORD INTERNATIONAL LLC reported RAUM up 36% ($257.4M -> $351.0M). IAPD ↗fund
$351.0M RAUM · 3 reps · (212) 319 4633
Portfolio / reporting / TAMPCRMFinancial planning software
45
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. reported RAUM up 82% ($2.88B -> $5.24B). IAPD ↗foreign
$5.24B RAUM · 7 reps · 6563956970 · kotakglobal.com
Portfolio / reporting / TAMPCRMFinancial planning software
45
MORRISON US, LLC reported RAUM up 332% ($5.94B -> $25.69B). IAPD ↗foreign
$25.69B RAUM · 14 reps · 3479526718
Portfolio / reporting / TAMPCRMFinancial planning software
45
PORTMAN SQUARE CAPITAL LLP reported RAUM up 155% ($1.63B -> $4.15B). IAPD ↗foreign
$4.15B RAUM · 8 reps · 44 203 627 6800 · portmansquarecapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
43
MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED reported RAUM up 65% ($6.71B -> $11.09B). IAPD ↗foreign
$11.09B RAUM · 61 reps · 44 203 037 2000 · macquarieim.com
Portfolio / reporting / TAMPCRMFinancial planning software
43
HOLLYPORT CAPITAL LLP reported RAUM up 67% ($3.16B -> $5.28B). IAPD ↗foreign
$5.28B RAUM · 56 reps · +44 207 478 3970 · hollyportcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
43
BUOYANT CAPITAL PRIVATE LIMITED reported RAUM up 85% ($221.3M -> $410.2M). IAPD ↗foreign
$410.2M RAUM · 45 reps · +91 22 6931 9994 · buoyantcap.com
Portfolio / reporting / TAMPCRMFinancial planning software
42
INVESCO ASSET MANAGEMENT (INDIA) PVT. LTD. reported RAUM up 61% ($6.38B -> $10.25B). IAPD ↗foreign
$10.25B RAUM · 21 reps · 91 22 6731 0000 · invescomutualfund.com
Portfolio / reporting / TAMPCRMFinancial planning software
42
BROAD REACH INVESTMENT MANAGEMENT LLP reported RAUM up 64% ($1.13B -> $1.85B). IAPD ↗foreign
$1.85B RAUM · 5 reps · +44 20 7531 2460 · broadreachllp.com
Portfolio / reporting / TAMPCRMFinancial planning software
40
GENERAL INDUSTRIAL PARTNERS LLP reported RAUM up 1951% ($2.3M -> $47.5M). IAPD ↗foreign
$47.5M RAUM · 2 reps · +44 (0) 20 7496 1900 · generalindustrialpartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
40
CAIUS CAPITAL LLP reported RAUM up 50% ($1.10B -> $1.65B). IAPD ↗foreign
$1.65B RAUM · 7 reps · 442071907940 · caiuscapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
40
KOTAK ALTERNATE ASSET MANAGERS LIMITED reported RAUM up 53% ($11.53B -> $17.65B). IAPD ↗foreign
$17.65B RAUM · 45 reps · -43360632
Portfolio / reporting / TAMPCRMFinancial planning software
39
CANACCORD GENUITY WEALTH MANAGEMENT reported RAUM up 73% ($53.5M -> $92.6M). IAPD ↗foreign
$92.6M RAUM · 7 reps · 604-643-7300
Portfolio / reporting / TAMPCRMFinancial planning software
37
NOMURA ASSET MANAGEMENT SINGAPORE LIMITED reported RAUM up 37% ($10.07B -> $13.85B). IAPD ↗foreign
$13.85B RAUM · 23 reps · 65-6433-9088 · nomura-am.co.jp
Portfolio / reporting / TAMPCRMFinancial planning software
37
HABROK CAPITAL MANAGEMENT LLP reported RAUM up 47% ($331.2M -> $488.4M). IAPD ↗foreign
$488.4M RAUM · 1 reps · 44-20-7851-3900 · habrokcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
37
ICICI ASSET MANAGEMENT reported RAUM up 39% ($65.74B -> $91.48B). IAPD ↗foreign
$91.48B RAUM · 6 reps · +91 22 2652 5000
Portfolio / reporting / TAMPCRMFinancial planning software
36
TRINITY STREET ASSET MANAGEMENT LLP reported RAUM up 34% ($6.39B -> $8.58B). IAPD ↗foreign
$8.58B RAUM · 8 reps · +44 207 4959 110 · trinitystreetam.com
Portfolio / reporting / TAMPCRMFinancial planning software
35
BANDHAN AMC LIMITED reported RAUM up 26% ($13.76B -> $17.39B). IAPD ↗foreign
$17.39B RAUM · 30 reps · 22-6628-9999 EXTN: 22737 · bandhanamc.com
Portfolio / reporting / TAMPCRMFinancial planning software
35
NW1 PARTNERS reported RAUM up 38% ($326.9M -> $450.0M). IAPD ↗foreign
$450.0M RAUM · 11 reps · 2074481448 · nw1partners.com
Portfolio / reporting / TAMPCRMFinancial planning software
35
MESARETE CAPITAL LLP reported RAUM up 27% ($3.25B -> $4.11B). IAPD ↗foreign
$4.11B RAUM · 6 reps · +44 (0) 203 148 2330
Portfolio / reporting / TAMPCRMFinancial planning software
34
CARMIKA PARTNERS LLP reported RAUM up 45% ($50.0M -> $72.6M). IAPD ↗foreign
$72.6M RAUM · 2 reps · +44 (0)207 1010 662 · carmikapartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
34
DECAGON ASSET MANAGEMENT LLP reported RAUM up 33% ($213.3M -> $283.2M). IAPD ↗foreign
$283.2M RAUM · 2 reps · 442031482240
Portfolio / reporting / TAMPCRMFinancial planning software
disclosure added — 36 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 3 (223 -> 226). IAPD ↗
$249.73B RAUM · 7426 reps · 800-999-2000
ComplianceMarketing & brand
55
GOLDMAN SACHS & CO. LLC's Item 11 disclosure-reporting entries rose by 1 (758 -> 759). IAPD ↗
$222.74B RAUM · 2406 reps · 212-902-1000
ComplianceMarketing & brand
55
RAYMOND JAMES & ASSOCIATES, INC.'s Item 11 disclosure-reporting entries rose by 2 (173 -> 175). IAPD ↗
$350.04B RAUM · 5254 reps · 727-567-1000
ComplianceMarketing & brand
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 1 (157 -> 158). IAPD ↗
$149.25B RAUM · 3027 reps · 314-342-2000 · ashlockwealthmanagement.com
ComplianceMarketing & brand
55
PRUDENTIAL FINANCIAL PLANNING SERVICES's Item 11 disclosure-reporting entries rose by 3 (44 -> 47). IAPD ↗
$16.38B RAUM · 2700 reps · 800-235-7637
ComplianceMarketing & brand
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 7 (484 -> 491). IAPD ↗
$1271.59B RAUM · 26251 reps · 800-637-7455
ComplianceMarketing & brand
55
ROBERT W. BAIRD & CO. INCORPORATED's Item 11 disclosure-reporting entries rose by 1 (36 -> 37). IAPD ↗
$287.51B RAUM · 2966 reps · 414-765-3500
ComplianceMarketing & brand
55
THRIVENT INVESTMENT MANAGEMENT INC.'s Item 11 disclosure-reporting entries rose by 2 (20 -> 22). IAPD ↗
$14.81B RAUM · 2509 reps · 800-847-4836 · thrivent.com
ComplianceMarketing & brand
55
WELLS FARGO ADVISORS's Item 11 disclosure-reporting entries rose by 1 (646 -> 647). IAPD ↗
$558.46B RAUM · 8623 reps · 314-875-3000 · stories.wf.com
ComplianceMarketing & brand
55
OSAIC WEALTH, INC.'s Item 11 disclosure-reporting entries rose by 11 (52 -> 63). IAPD ↗
$94.56B RAUM · 4397 reps · 800-821-5100 · worldfinancialadvisors.com
ComplianceMarketing & brand
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC.'s Item 11 disclosure-reporting entries rose by 2 (101 -> 103). IAPD ↗
$173.04B RAUM · 206 reps · 212-454-4500
ComplianceMarketing & brand
55
JOHN HANCOCK INVESTMENT MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 1 (15 -> 16). IAPD ↗
$189.59B RAUM · 34 reps · 617-663-3000
ComplianceMarketing & brand
55
RREEF AMERICA L.L.C.'s Item 11 disclosure-reporting entries rose by 2 (101 -> 103). IAPD ↗
$31.83B RAUM · 138 reps · 312-537-7000
ComplianceMarketing & brand
55
KEY INVESTMENT SERVICES LLC's Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗
$4.19B RAUM · 350 reps · (888) 547-2968 · key.com
ComplianceMarketing & brand
55
WEALTH MANAGEMENT's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
$2.78B RAUM · 48 reps · 402-371-1160 · dashboard.wealthmgmtllc.com
ComplianceMarketing & brand
55
LION STREET ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$2.34B RAUM · 141 reps · 512-776-8400 · cowart-group.com
ComplianceMarketing & brand
53
GIBBS WEALTH MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$391.4M RAUM · 10 reps · 678-694-8770
ComplianceMarketing & brand
50
THE PUTNEY FINANCIAL GROUP LLC's Item 11 disclosure-reporting entries rose by 3 (5 -> 8). IAPD ↗
$177.1M RAUM · 4 reps · 415-460-1990 · putneyfinancial.com
ComplianceMarketing & brand
50
ADAMS FINANCIAL CONCEPTS, LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$60.4M RAUM · 2 reps · 206-903-1019 · adamsfinancialconcepts.com
ComplianceMarketing & brand
50
SCHWAB WEALTH ADVISORY, INC.'s Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
$0 RAUM · 898 reps · 415-667-7000
ComplianceMarketing & brand
50
FINANCIAL MANAGEMENT ASSOCIATES, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$110.1M RAUM · 2 reps · 978-687-2867 · fmallc.com
ComplianceMarketing & brand
45
JOHN HANCOCK VARIABLE TRUST ADVISERS LLC's Item 11 disclosure-reporting entries rose by 1 (17 -> 18). IAPD ↗institutional
$65.09B RAUM · 34 reps · 617-663-3000 · johnhancock.com
ComplianceMarketing & brand
45
AST INVESTMENT SERVICES, INC.'s Item 11 disclosure-reporting entries rose by 3 (30 -> 33). IAPD ↗institutional
$105.94B RAUM · 14 reps · 973-802-9908
ComplianceMarketing & brand
45
CATALYST CAPITAL ADVISORS LLC's Item 11 disclosure-reporting entries rose by 4 (11 -> 15). IAPD ↗institutional
$7.91B RAUM · 9 reps · 787-334-1781 · catalystmf.com
ComplianceMarketing & brand
45
DBX ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (101 -> 103). IAPD ↗institutional
$20.04B RAUM · 11 reps · 212-454-4500
ComplianceMarketing & brand
45
PRUDENTIAL SELECT STRATEGIES LLC's Item 11 disclosure-reporting entries rose by 3 (26 -> 29). IAPD ↗institutional
$19.73B RAUM · 36 reps · 973-802-3137
ComplianceMarketing & brand
40
DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 2 (661 -> 663). IAPD ↗institutional
$0 RAUM · 149 reps · 212-250-2500 · dbresearch.com
ComplianceMarketing & brand
40
MANULIFE INVESTMENT MANAGEMENT TIMBERLAND AND AGRICULTURE INC's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗fund
$9.47B RAUM · 85 reps · 617-747-1600 · manulifeim.com
ComplianceMarketing & brand
40
BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 7 (105 -> 112). IAPD ↗institutional
$0 RAUM · 314 reps · 646-743-2734 · bankofamerica.com
ComplianceMarketing & brand
38
CREDIT SUISSE SECURITIES (USA) LLC's Item 11 disclosure-reporting entries rose by 1 (460 -> 461). IAPD ↗fund
$805.3M RAUM · 2 reps · (212) 325-2000 · credit-suisse.com
ComplianceMarketing & brand
25
DWS INTERNATIONAL GMBH's Item 11 disclosure-reporting entries rose by 2 (101 -> 103). IAPD ↗foreign
$44.97B RAUM · 75 reps · 49 69 910 12371
ComplianceMarketing & brand
25
DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 2 (100 -> 102). IAPD ↗foreign
$1.93B RAUM · 8 reps · 011 612 8258 1234 · dws.com
ComplianceMarketing & brand
25
DWS ALTERNATIVES GLOBAL LIMITED's Item 11 disclosure-reporting entries rose by 2 (102 -> 104). IAPD ↗foreign
$16.10B RAUM · 76 reps · 44 207 547 5344
ComplianceMarketing & brand
25
DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 2 (102 -> 104). IAPD ↗foreign
$3.45B RAUM · 20 reps · 852-2203-8888
ComplianceMarketing & brand
25
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD.'s Item 11 disclosure-reporting entries rose by 4 (15 -> 19). IAPD ↗foreign
$5.24B RAUM · 7 reps · 6563956970 · kotakglobal.com
ComplianceMarketing & brand
20
GENERAL INDUSTRIAL PARTNERS LLP's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
$47.5M RAUM · 2 reps · +44 (0) 20 7496 1900 · generalindustrialpartners.com
ComplianceMarketing & brand
website changed — 27 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
NBT CAPITAL MANAGEMENT, INC. changed its website from nbtcapm.com to navigateretirement.com. IAPD ↗
$1.32B RAUM · 8 reps · 607-584-4141 · navigateretirement.com
Marketing & brand
30
CONWAY INVESTMENT SOLUTIONS changed its website from conwayir.com to conwayis.com. IAPD ↗
$1.00B RAUM · 13 reps · 314-721-9696 · conwayis.com
Marketing & brand
30
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS changed its website from billsydor.com to atlwm.com. IAPD ↗
$1.31B RAUM · 42 reps · 602-604-0600 · atlwm.com
Marketing & brand
30
GUARDIAN WEALTH ADVISORS, LLC changed its website from guardian-wa.com to silowealth.com. IAPD ↗
$1.66B RAUM · 23 reps · 919-874-1900 · silowealth.com
Marketing & brand
28
EVEREST FINANCIAL GROUP changed its website from everestfg.us to sincerefinancial.com. IAPD ↗
$828.9M RAUM · 14 reps · 763-923-7525 · sincerefinancial.com
Marketing & brand
28
STRATEGIC INVESTMENT ADVISORS, LLC changed its website from seniorplanningadvisors.com to retirementplanningedu.com. IAPD ↗
$947.1M RAUM · 11 reps · 248-567-6688 · retirementplanningedu.com
Marketing & brand
28
GOLDSTONE FINANCIAL GROUP, LLC changed its website from pinterest.com to goldstonefinancialgroup.net. IAPD ↗
$557.2M RAUM · 10 reps · 630-620-9300 · goldstonefinancialgroup.net
Marketing & brand
28
RIDGEVIEW ASSET MANAGEMENT PARTNERS, LLC changed its website from ridgeviewasset.com to smore.com. IAPD ↗
$272.9M RAUM · 2 reps · 203-595-5535 · smore.com
Marketing & brand
28
KPP ADVISORY SERVICES LLC changed its website from kpp-lpl.com to money411.info. IAPD ↗
$880.6M RAUM · 25 reps · 502-394-0400 · money411.info
Marketing & brand
28
BELLWETHER WEALTH changed its website from bellww.com to vimeo.com. IAPD ↗
$516.6M RAUM · 4 reps · 402-476-8844 · vimeo.com
Marketing & brand
28
TRANSCE3ND LLC changed its website from transcendim.com to e3wealth.com. IAPD ↗
$313.2M RAUM · 28 reps · 512-268-9220 · e3wealth.com
Marketing & brand
28
GOLDEN STATE EQUITY PARTNERS, LLC changed its website from schneider-wealth.com to vector3wealth.com. IAPD ↗
$743.7M RAUM · 24 reps · 866-273-1563 · vector3wealth.com
Marketing & brand
25
SUMMIT FINANCIAL WORKING WITH PEOPLE YOU TRUST changed its website from workingwithpeopleyoutrust.com to misocialsecurity.com. IAPD ↗
$115.1M RAUM · 5 reps · 586-226-2100 · misocialsecurity.com
Marketing & brand
25
CASTLE ISLAND WEALTH changed its website from seahuntercapital.com to castleislandwealth.com. IAPD ↗
$117.4M RAUM · 1 reps · 561-208-3883 · castleislandwealth.com
Marketing & brand
25
BROWNLEE WEALTH MANAGEMENT changed its website from bwmplanning.com to brownleewealthmanagement.com. IAPD ↗
$212.0M RAUM · 3 reps · 281-377-3170 · brownleewealthmanagement.com
Marketing & brand
25
ELYSIUM WEALTH MANAGEMENT, LLC changed its website from ut.myelysium.com to saltwealthpartners.com. IAPD ↗
$116.0M RAUM · 6 reps · 801-735-8407 · saltwealthpartners.com
Marketing & brand
25
SPECIALIZED RETIREMENT CONSULTANTS LLC changed its website from specializedretire.com to usa4o1k.tech. IAPD ↗
$153.6M RAUM · 1 reps · 920-858-8957 · usa4o1k.tech
Marketing & brand
25
BROADSTREET FAMILY OFFICE LLC changed its website from broadstreetglobaladvisors.com to broadstreetfamilyoffice.com. IAPD ↗
$0 RAUM · 1 reps · (914) 427-8036 · broadstreetfamilyoffice.com
Marketing & brand
25
CORNERSTONE ALTERNATIVES changed its website from 506investorgroup.com to cornerstonealternatives.com. IAPD ↗
$103.3M RAUM · 2 reps · 315-416-3384 · cornerstonealternatives.com
Marketing & brand
20
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC changed its website from nomura.com to nomuracapitalmanagement.com. IAPD ↗institutional
$37.71B RAUM · 25 reps · (212) 667-9000 · nomuracapitalmanagement.com
Marketing & brand
13
NEW FALMOUTH, LLC changed its website from paragonadvisors.net to corient.com. IAPD ↗fund
$519.1M RAUM · 0 reps · 216-491-3990 · corient.com
Marketing & brand
13
HEADLANDS CAPITAL changed its website from headlandscap.com to headlandscap.net. IAPD ↗fund
$877.7M RAUM · 5 reps · 415-263-7300 · headlandscap.net
Marketing & brand
10
13D MANAGEMENT LLC changed its website from 13dactivistfund.com to 13dmanagement.com. IAPD ↗fund
$176.0M RAUM · 5 reps · 212-223-2282 · 13dmanagement.com
Marketing & brand
1
ALEXANDER BEARD (USA), INC. changed its website from abg-usa.net to abg.net. IAPD ↗foreign
$43.6M RAUM · 2 reps · 650-684-0450 · abg.net
Marketing & brand
1
FUNDSMITH, LLP changed its website from fundsmith.eu to fundsmith.us. IAPD ↗foreign
$37.50B RAUM · 5 reps · 44 20 3551 6337 · fundsmith.us
Marketing & brand
1
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. changed its website from kotakamc.sg to kotakglobal.com. IAPD ↗foreign
$5.24B RAUM · 7 reps · 6563956970 · kotakglobal.com
Marketing & brand
1
MOTILAL OSWAL CAPITAL LIMITED changed its website from motilaloswalcapital.com to motilaloswalmf.com. IAPD ↗foreign
$33.2M RAUM · 1 reps · 011912239804263/39825500 · motilaloswalmf.com
Marketing & brand
relocation — 26 Main office moved to a different city or state.
50
OSAIC WEALTH, INC. moved its main office from JERSEY CITY, NJ to SCOTTSDALE, AZ. IAPD ↗
$94.56B RAUM · 4397 reps · 800-821-5100 · worldfinancialadvisors.com
Office IT & facilitiesMarketing & brand
50
TRANSAMERICA RETIREMENT ADVISORS, LLC moved its main office from ST PAUL, MN to CEDAR RAPIDS, IA. IAPD ↗
$12.68B RAUM · 126 reps · 866-368-0566 · transamerica.com
Office IT & facilitiesMarketing & brand
50
KORNITZER CAPITAL MANAGEMENT, INC. moved its main office from SHAWNEE MISSION, KS to MISSION, KS. IAPD ↗
$7.21B RAUM · 23 reps · 913-677-7778 · kornitzercapitalmanagement.com
Office IT & facilitiesMarketing & brand
50
REDWOOD INVESTMENTS, LLC moved its main office from NEWTON, MA to BOSTON, MA. IAPD ↗
$1.69B RAUM · 8 reps · 617-467-3000
Office IT & facilitiesMarketing & brand
48
WINANS INVESTMENTS moved its main office from NOVATO, CA to LAS VEGAS, NV. IAPD ↗
$258.2M RAUM · 2 reps · 800-494-6267
Office IT & facilitiesMarketing & brand
48
CHELSEA MANAGEMENT COMPANY moved its main office from LOS ANGELES, CA to WOODLAND HILLS, CA. IAPD ↗
$497.4M RAUM · 3 reps · 213-362-9200
Office IT & facilitiesMarketing & brand
48
FAI ADVISORS, INC. moved its main office from NOVI, MI to FARMINGTON HILLS, MI. IAPD ↗
$250.0M RAUM · 8 reps · 248-482-3600
Office IT & facilitiesMarketing & brand
48
PRIVATE WEALTH SOLUTIONS, LLC moved its main office from WOODLAND HILLS, CA to CALABASAS, CA. IAPD ↗
$359.0M RAUM · 1 reps · 818-264-0600 · privatewealthsolutions.com
Office IT & facilitiesMarketing & brand
48
BEACON BRIDGE WEALTH PARTNERS, LLC moved its main office from CONSHOHOCKEN, PA to LOWER GWYNEDD, PA. IAPD ↗
$307.7M RAUM · 5 reps · 484-533-6600
Office IT & facilitiesMarketing & brand
48
7TWO moved its main office from GREENWOOD VILLAGE, CO to DENVER, CO. IAPD ↗
$377.5M RAUM · 4 reps · (720) 477-7274 · 7two.co
Office IT & facilitiesMarketing & brand
45
EQUITY ADVISORS OF KENTUCKY INC moved its main office from WADDY, KY to LEXINGTON, KY. IAPD ↗
$115.9M RAUM · 2 reps · 502-829-9244 · ea-ky.com
Office IT & facilitiesMarketing & brand
45
WH CORNERSTONE INVESTMENTS INC. moved its main office from KINGSTON, MA to DUXBURY, MA. IAPD ↗
$160.0M RAUM · 2 reps · (888) 797-9009
Office IT & facilitiesMarketing & brand
45
ASPIRE ADVISORS, LLC moved its main office from PURCHASE, NY to NORTH WHITE PLAINS, NY. IAPD ↗
$104.7M RAUM · 5 reps · 877-760-3540
Office IT & facilitiesMarketing & brand
45
BULL OAK CAPITAL, LLC moved its main office from SAN DIEGO, CA to RANCHO SANTA FE, CA. IAPD ↗
$157.1M RAUM · 3 reps · (858) 999-3550
Office IT & facilitiesMarketing & brand
45
THE PROFESSIONAL FINANCIAL COMPANY LLC moved its main office from PLEASANT GROVE, UT to OREM, UT. IAPD ↗
$206.2M RAUM · 3 reps · (801) 701-2345
Office IT & facilitiesMarketing & brand
45
BROWNLEE WEALTH MANAGEMENT moved its main office from HOUSTON, TX to THE WOODLANDS, TX. IAPD ↗
$212.0M RAUM · 3 reps · 281-377-3170 · brownleewealthmanagement.com
Office IT & facilitiesMarketing & brand
45
INVSTR FINANCIAL LLC moved its main office from SAN ANTONIO, TX to LAREDO, TX. IAPD ↗
$1.1M RAUM · 2 reps · 8334468787 · invstr.com
Office IT & facilitiesMarketing & brand
45
PROSPERITY WEALTH PLANNING LLC moved its main office from LONG BEACH, CA to IRVINE, CA. IAPD ↗
$172.9M RAUM · 1 reps · 877-878-7860 · prosperitywealthplanning.com
Office IT & facilitiesMarketing & brand
38
INDUSTRIAL DEVELOPMENT FUNDING LLC moved its main office from MIAMI, FL to MIAMI BEACH, FL. IAPD ↗institutional
$613.3M RAUM · 1 reps · 917-658-7661
Office IT & facilitiesMarketing & brand
35
ANGELES EQUITY PARTNERS, LLC moved its main office from SANTA MONICA, CA to LOS ANGELES, CA. IAPD ↗fund
$1.09B RAUM · 24 reps · (310) 844-9200 · angelesequity.com
Office IT & facilitiesMarketing & brand
35
FINANCEHQ LLC moved its main office from SAN FRANCISCO, CA to CORAL GABLES, FL. IAPD ↗institutional
$0 RAUM · 0 reps · 415-234-3727 · financehq.com
Office IT & facilitiesMarketing & brand
35
CANAL ROAD CAPITAL, LLC moved its main office from MIAMI BEACH, FL to MIAMI, FL. IAPD ↗institutional
$100.0M RAUM · 9 reps · 305-488-6000 · canalroadgroup.com
Office IT & facilitiesMarketing & brand
35
FISAI US MANAGEMENT LLC moved its main office from MALIBU, CA to LOS ANGELES, CA. IAPD ↗institutional
$227.7M RAUM · 2 reps · 310-906-9537 · fisai.com
Office IT & facilitiesMarketing & brand
33
SEGRA CAPITAL MANAGEMENT, LLC moved its main office from WEST PALM BEACH, FL to PALM BEACH, FL. IAPD ↗fund
$449.9M RAUM · 2 reps · 561-890-9127
Office IT & facilitiesMarketing & brand
33
LIQUID CAPITAL MANAGEMENT LLC moved its main office from SAN RAFAEL, CA to LOS ANGELES, CA. IAPD ↗fund
$255.8M RAUM · 5 reps · 707-616-4901 · liquidstock.com
Office IT & facilitiesMarketing & brand
20
MORRISON US, LLC moved its main office from NEW YORK, NY to WELLINGTON, . IAPD ↗foreign
$25.69B RAUM · 14 reps · 3479526718
Office IT & facilitiesMarketing & brand
rename — 24 Primary business name changed: rebrand, merger, or ownership change.
60
LINCOLN FINANCIAL SECURITIES CORPORATION is now doing business as OSAIC FS, INC.. IAPD ↗
$4.48B RAUM · 337 reps · 800-237-3813
Marketing & brandCRM
60
LINCOLN FINANCIAL ADVISORS CORPORATION is now doing business as OSAIC FA, INC.. IAPD ↗
$37.13B RAUM · 940 reps · 800-237-3813
Marketing & brandCRM
60
TFS ADVISORY SERVICES is now doing business as WORLD ADVISORY SERVICES. IAPD ↗
$1.32B RAUM · 115 reps · 732-758-9300 · buyholdplus.com, http
Marketing & brandCRM
60
BNY MELLON ADVISORS, INC. is now doing business as BNY ADVISORS. IAPD ↗
$19.69B RAUM · 43 reps · 800-200-3033, OPTION 3
Marketing & brandCRM
60
GRIES FINANCIAL LLC is now doing business as GRIES FINANCIAL PARTNERS. IAPD ↗
$1.28B RAUM · 10 reps · 216-861-1148 · gries.com
Marketing & brandCRM
60
FORVIS WEALTH ADVISORS, LLC is now doing business as FORVIS MAZARS WEALTH ADVISORS, LLC. IAPD ↗
$7.89B RAUM · 77 reps · 417.831.7283 · forvismazars.us
Marketing & brandCRM
60
GM ADVISORY GROUP, LLC is now doing business as WEALTHSPIRE ADVISORS. IAPD ↗
$3.05B RAUM · 14 reps · 631-227-3900
Marketing & brandCRM
58
SPENCE ASSET MANAGEMENT is now doing business as WESTWIND CAPITAL. IAPD ↗
$623.3M RAUM · 8 reps · 575-556-8500 · ww-capital.com
Marketing & brandCRM
58
DLK INVESTMENT MANAGEMENT is now doing business as DLK INVESTMENT MANAGEMENT, LLC. IAPD ↗
$348.3M RAUM · 6 reps · 858.433.3200 · dlkinvest.com
Marketing & brandCRM
58
ROWLING & ASSOCIATES LLC is now doing business as PATHVIEW WEALTH ADVISORS. IAPD ↗
$545.1M RAUM · 6 reps · 619 295 0200 · pathview.com
Marketing & brandCRM
58
LINDBERG & RIPPLE is now doing business as LRI INVESTMENTS. IAPD ↗
$932.9M RAUM · 12 reps · 561-323-2265
Marketing & brandCRM
58
SEVENTWO, LLC is now doing business as 7TWO. IAPD ↗
$377.5M RAUM · 4 reps · (720) 477-7274 · 7two.co
Marketing & brandCRM
55
GPWM LLC is now doing business as ATMOS ADVISORY, LLC. IAPD ↗
$130.0M RAUM · 3 reps · (412) 497-1766
Marketing & brandCRM
55
PARAMOUNT ASSOCIATES, LLC is now doing business as PARAMOUNT ASSOCIATES WEALTH MANAGEMENT. IAPD ↗
$101.7M RAUM · 2 reps · 720-921-1000 · paramountassoc.com
Marketing & brandCRM
55
AURA FINANCE is now doing business as AURA FINANCE, INC.. IAPD ↗
$409,074 RAUM · 1 reps · 312-813-0089
Marketing & brandCRM
55
OCHO INVESTMENT ADVISORS, LLC is now doing business as CARRY ADVISORS LLC. IAPD ↗
$16.5M RAUM · 3 reps · 2014720612 · carrymoney.com
Marketing & brandCRM
55
TRAVIS ALLEN INC. DBA WEALTH STRATEGIES GROUP is now doing business as WEALTH STRATEGIES GROUP. IAPD ↗
$16.3M RAUM · 2 reps · 888-848-4144
Marketing & brandCRM
55
DLK INSTITUTIONAL PARTNERS is now doing business as DLK INVESTMENT ADVISORS, LLC. IAPD ↗
$0 RAUM · 3 reps · 206.203.0010
Marketing & brandCRM
48
MORRISON STREET CAPITAL, LLC is now doing business as NORTHMARQ FUND MANAGEMENT, LLC. IAPD ↗institutional
$505.2M RAUM · 10 reps · 503-952-0700 · morrisonstreetcapital.com
Marketing & brandCRM
45
VOSS CAPITAL LLC is now doing business as VOSS CAPITAL, LP. IAPD ↗fund
$1.22B RAUM · 5 reps · 832-519-9427
Marketing & brandCRM
45
DSS WEALTH MANAGEMENT, INC. is now doing business as AMERICAFIRST WEALTH MANAGEMENT, INC.. IAPD ↗institutional
$29.0M RAUM · 4 reps · 916 865-9070 · americafirst.fund
Marketing & brandCRM
43
RUSSIA PARTNERS MANAGEMENT, LLC is now doing business as RPM CAPITAL PARTNERS, LLC. IAPD ↗fund
$310.0M RAUM · 4 reps · 212-332-5100
Marketing & brandCRM
43
ACRE CAPITAL ADVISORS, LLC is now doing business as ELDRIDGE ACRE PARTNERS, LP. IAPD ↗fund
$892.5M RAUM · 10 reps · 213-394-2506 · eldridgeacre.com
Marketing & brandCRM
25
ECHELON PARTNERS USA INC. is now doing business as VENTUM ADVISORS CORP.. IAPD ↗foreign
$20.3M RAUM · 6 reps · 416-572-5523 · echelonpartnersusa.com
Marketing & brandCRM
headcount down — 24 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
GRIES FINANCIAL PARTNERS shrank from 13 to 10 advisory reps. IAPD ↗
$1.28B RAUM · 10 reps · 216-861-1148 · gries.com
Recruiting & transitionsM&A & valuation
55
COHO PARTNERS, LTD. shrank from 10 to 8 advisory reps. IAPD ↗
$4.56B RAUM · 8 reps · 484-318-7575 · cohofunds.com
Recruiting & transitionsM&A & valuation
55
BAKER TILLY WEALTH MANAGEMENT, LLC shrank from 22 to 16 advisory reps. IAPD ↗
$4.41B RAUM · 16 reps · 833-761-0673 · bakertilly.com
Recruiting & transitionsM&A & valuation
55
NINETY ONE NORTH AMERICA, INC. shrank from 44 to 29 advisory reps. IAPD ↗
$39.54B RAUM · 29 reps · 1 917 206 5179 · ninetyone.com
Recruiting & transitionsM&A & valuation
53
AMERICAN INVESTORS CO shrank from 37 to 32 advisory reps. IAPD ↗
$616.9M RAUM · 32 reps · 925-866-2882 · americaninvestorsco.com
Recruiting & transitionsM&A & valuation
53
TMD WEALTH MANAGEMENT shrank from 8 to 6 advisory reps. IAPD ↗
$780.8M RAUM · 6 reps · 602-279-2020
Recruiting & transitionsM&A & valuation
53
SINGER WEALTH ADVISORS LLC shrank from 12 to 9 advisory reps. IAPD ↗
$424.6M RAUM · 9 reps · 561-998-9985
Recruiting & transitionsM&A & valuation
50
FINANCIAL COUNSELING ASSOCIATES, INC shrank from 4 to 2 advisory reps. IAPD ↗
$107.2M RAUM · 2 reps · 720-272-4419 · fca-inc.com
Recruiting & transitionsM&A & valuation
45
DAIWA ASSET MANAGEMENT (AMERICA) LTD shrank from 8 to 6 advisory reps. IAPD ↗institutional
$2.10B RAUM · 6 reps · 212-612-6250
Recruiting & transitionsM&A & valuation
45
LUMENT INVESTMENT MANAGEMENT, LLC shrank from 53 to 42 advisory reps. IAPD ↗institutional
$2.13B RAUM · 42 reps · 212-317-5700
Recruiting & transitionsM&A & valuation
40
FISAI US MANAGEMENT LLC shrank from 4 to 2 advisory reps. IAPD ↗institutional
$227.7M RAUM · 2 reps · 310-906-9537 · fisai.com
Recruiting & transitionsM&A & valuation
25
NIKKO ASSET MANAGEMENT CO LTD shrank from 140 to 130 advisory reps. IAPD ↗foreign
$222.46B RAUM · 130 reps · 81-3-6447-6000 · en.nikkoam.com
Recruiting & transitionsM&A & valuation
25
EGERTON CAPITAL (UK) LLP shrank from 11 to 7 advisory reps. IAPD ↗foreign
$16.05B RAUM · 7 reps · +44(0)2074109090 · egertoncapital.com
Recruiting & transitionsM&A & valuation
25
AVENDUS WEALTH MANAGEMENT PRIVATE LIMITED shrank from 6 to 4 advisory reps. IAPD ↗foreign
$1.67B RAUM · 4 reps · -7488
Recruiting & transitionsM&A & valuation
25
SECURIS INVESTMENT PARTNERS LLP shrank from 22 to 17 advisory reps. IAPD ↗foreign
$3.33B RAUM · 17 reps · 44 020 7847 3700
Recruiting & transitionsM&A & valuation
25
BOUSSARD & GAVAUDAN INVESTMENT MANAGEMENT LLP shrank from 14 to 11 advisory reps. IAPD ↗foreign
$3.70B RAUM · 11 reps · -6310 · boussard-gavaudan.com
Recruiting & transitionsM&A & valuation
25
DUNDAS GLOBAL INVESTORS shrank from 9 to 7 advisory reps. IAPD ↗foreign
$2.55B RAUM · 7 reps · 44 131 556 2627
Recruiting & transitionsM&A & valuation
25
STEPSTONE GROUP EUROPE ALTERNATIVE INVESTMENTS LIMITED shrank from 85 to 33 advisory reps. IAPD ↗foreign
$33.01B RAUM · 33 reps · +353 1 536 14 00
Recruiting & transitionsM&A & valuation
25
RUFFER LLP shrank from 177 to 133 advisory reps. IAPD ↗foreign
$27.09B RAUM · 133 reps · 00 44 20 7963 8100
Recruiting & transitionsM&A & valuation
25
CLEAN ENERGY TRANSITION LLP shrank from 8 to 5 advisory reps. IAPD ↗foreign
$3.72B RAUM · 5 reps · 442038705963 · cleanenergytransition.com
Recruiting & transitionsM&A & valuation
25
KOTAK ALTERNATE ASSET MANAGERS LIMITED shrank from 64 to 45 advisory reps. IAPD ↗foreign
$17.65B RAUM · 45 reps · -43360632
Recruiting & transitionsM&A & valuation
23
NW1 PARTNERS shrank from 14 to 11 advisory reps. IAPD ↗foreign
$450.0M RAUM · 11 reps · 2074481448 · nw1partners.com
Recruiting & transitionsM&A & valuation
23
NW1 PARTNERS shrank from 14 to 11 advisory reps. IAPD ↗foreign
$477.5M RAUM · 11 reps · 2074481448 · nw1partners.com
Recruiting & transitionsM&A & valuation
23
OLD BRIDGE CAPITAL MANAGEMENT PRIVATE LIMITED shrank from 6 to 2 advisory reps. IAPD ↗foreign
$337.8M RAUM · 2 reps · 91-22-69459999 · oldbridgecapital.com
Recruiting & transitionsM&A & valuation
pending approved — 21 120-day provisional registration became a full approval.
73
RICHMOND INVESTMENT SERVICES LLC's provisional registration is now fully approved. IAPD ↗
$360.3M RAUM · 21 reps · 262-242-4200
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
7TWO's provisional registration is now fully approved. IAPD ↗
$377.5M RAUM · 4 reps · (720) 477-7274 · 7two.co
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
IMPACT CAPITAL PARTNERS LLC's provisional registration is now fully approved. IAPD ↗
$437.1M RAUM · 2 reps · 888-304-6722 · impactcapitalpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ADVANTAGE RETIREMENT GROUP's provisional registration is now fully approved. IAPD ↗
$459.0M RAUM · 3 reps · 239-561-1155 · advantageretirementgroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ATLAS LEGACY ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$586.1M RAUM · 4 reps · 310-707-1275 · atlaslegacy.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MARIDEA WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$25.2M RAUM · 4 reps · 269-598-0939 · marideawealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$100.2M RAUM · 1 reps · 727-734-3334
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BBVA GLOBAL WEALTH ADVISORS, INC.'s provisional registration is now fully approved. IAPD ↗
$111.1M RAUM · 14 reps · 434-242-0068 · bbvaglobalwealthadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
IFS GROUP's provisional registration is now fully approved. IAPD ↗
$200.0M RAUM · 7 reps · 717-766-1144 · ifsgroup1.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TORREN MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$147.1M RAUM · 3 reps · 619-649-0700 · torren.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BLACK POINT WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$187.5M RAUM · 2 reps · 239-306-6300
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
DOUBLE FINANCE INC.'s provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 415-366-3893 · double.finance
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
RDG CAPITAL MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$55.4M RAUM · 1 reps · 585-673-2690 · rdgcapitalmanagement.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SALUS FINANCIAL ADVISORS's provisional registration is now fully approved. IAPD ↗
$166.4M RAUM · 4 reps · 866-999-1655 · salusfinancialadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SILVER LAKE CAPITAL PARTNERS's provisional registration is now fully approved. IAPD ↗
$149.7M RAUM · 3 reps · 972-701-2040
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CORNERSTONE ALTERNATIVES's provisional registration is now fully approved. IAPD ↗
$103.3M RAUM · 2 reps · 315-416-3384 · cornerstonealternatives.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
RESHAPE WEALTH's provisional registration is now fully approved. IAPD ↗
$150.0M RAUM · 1 reps · 646-626-7902
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
65
SWIFT CREEK PARTNERS's provisional registration is now fully approved. IAPD ↗institutional
$1.85B RAUM · 7 reps · 214-692-4200 · swiftcreekpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
CURAFIN ADVISORS's provisional registration is now fully approved. IAPD ↗institutional
$229.2M RAUM · 3 reps · 480-284-7080 · curafinadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
COPPER PLACE GLOBAL CAPITAL LLC's provisional registration is now fully approved. IAPD ↗institutional
$24.4M RAUM · 2 reps · 206-743-5907
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
MESIROW RE-IA, INC.'s provisional registration is now fully approved. IAPD ↗fund
$532.4M RAUM · 3 reps · 312-595-6000
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
custody started — 18 Firm now reports custody of client assets — surprise exams and controls follow.
70
CERITY PARTNERS OCIO LLC now reports custody of client assets ($14.93B). IAPD ↗
$14.98B RAUM · 21 reps · 212-850-4260 · ceritypartners.com
ComplianceCustodian
70
TCG ADVISORS, LLC A HUB INTERNATIONAL COMPANY now reports custody of client assets ($3.18B). IAPD ↗
$7.32B RAUM · 50 reps · 512-600-5390
ComplianceCustodian
68
COHEN CAPITAL MANAGEMENT INC now reports custody of client assets ($68.6M). IAPD ↗
$884.8M RAUM · 4 reps · (415) 927-8011
ComplianceCustodian
68
NORTHSTAR FINANCIAL COMPANIES, INC. now reports custody of client assets ($14.0M). IAPD ↗
$284.6M RAUM · 4 reps · 610-629-6100 · northstarfci.com
ComplianceCustodian
68
TWO PRIME LLC now reports custody of client assets ($250.0M). IAPD ↗
$250.0M RAUM · 5 reps · 480-290-4951 · twoprime.io
ComplianceCustodian
65
THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC now reports custody of client assets ($15.3M). IAPD ↗
$100.2M RAUM · 1 reps · 727-734-3334
ComplianceCustodian
65
APERTURE ADVISORS LLC now reports custody of client assets. IAPD ↗
$0 RAUM · 2 reps · 561.203.6803 · apertureadvisors.io
ComplianceCustodian
65
CORAL REEF ADVISORS LLC now reports custody of client assets ($105.3M). IAPD ↗
$52.7M RAUM · 2 reps · 904-582-5449
ComplianceCustodian
65
CIRO CAPITAL LLC now reports custody of client assets ($58.6M). IAPD ↗
$58.6M RAUM · 1 reps · 646-785-6201
ComplianceCustodian
65
RDG CAPITAL MANAGEMENT LLC now reports custody of client assets ($626,665). IAPD ↗
$55.4M RAUM · 1 reps · 585-673-2690 · rdgcapitalmanagement.com
ComplianceCustodian
65
SALUS FINANCIAL ADVISORS now reports custody of client assets ($6.6M). IAPD ↗
$166.4M RAUM · 4 reps · 866-999-1655 · salusfinancialadvisors.com
ComplianceCustodian
55
FISAI US MANAGEMENT LLC now reports custody of client assets ($227.7M). IAPD ↗institutional
$227.7M RAUM · 2 reps · 310-906-9537 · fisai.com
ComplianceCustodian
53
EMBASSY ASSET MANAGEMENT LP now reports custody of client assets. IAPD ↗fund
$261.6M RAUM · 0 reps · 862.278.2113 · embassyfunds.com
ComplianceCustodian
53
MESIROW RE-IA, INC. now reports custody of client assets ($532.4M). IAPD ↗fund
$532.4M RAUM · 3 reps · 312-595-6000
ComplianceCustodian
53
ELDRIDGE ACRE PARTNERS, LP now reports custody of client assets. IAPD ↗fund
$892.5M RAUM · 10 reps · 213-394-2506 · eldridgeacre.com
ComplianceCustodian
53
DUNDEE MAESTRO MANAGEMENT, LP now reports custody of client assets ($641.8M). IAPD ↗fund
$641.8M RAUM · 3 reps · 914-815-0896
ComplianceCustodian
50
FORTWOOD CAPITAL LP now reports custody of client assets ($93.4M). IAPD ↗fund
$204.0M RAUM · 4 reps · 475-303-3380
ComplianceCustodian
35
GENERAL INDUSTRIAL PARTNERS LLP now reports custody of client assets ($95.0M). IAPD ↗foreign
$47.5M RAUM · 2 reps · +44 (0) 20 7496 1900 · generalindustrialpartners.com
ComplianceCustodian
aum down — 16 Regulatory AUM down >=25% since last filing.
48
CARDINAL CAPITAL MANAGEMENT, L.L.C. reported RAUM down 74% ($1.47B -> $386.3M). IAPD ↗
$386.3M RAUM · 7 reps · 203-863-8990 · cardcap.com
M&A & valuationRecruiting & transitions
45
COORDINATED CAPITAL SECURITIES, INC. reported RAUM down 37% ($232.5M -> $145.7M). IAPD ↗
$145.7M RAUM · 20 reps · 608-221-4545
M&A & valuationRecruiting & transitions
45
FINANCIAL COUNSELING ASSOCIATES, INC reported RAUM down 63% ($293.0M -> $107.2M). IAPD ↗
$107.2M RAUM · 2 reps · 720-272-4419 · fca-inc.com
M&A & valuationRecruiting & transitions
45
WATTS CAPITAL PARTNERS LLC reported RAUM down 76% ($423.9M -> $100.0M). IAPD ↗
$100.0M RAUM · 5 reps · 212-735-8921 · wattscapital.com
M&A & valuationRecruiting & transitions
45
ATLANTIS ASSET MANAGEMENT, LLC reported RAUM down 35% ($25.0M -> $16.2M). IAPD ↗
$16.2M RAUM · 2 reps · 212-945-8501 · atlantisasset.com
M&A & valuationRecruiting & transitions
45
FLEISHER, MARTIN reported RAUM down 87% ($1.15B -> $147.4M). IAPD ↗
$147.4M RAUM · 1 reps · 212-767-7307
M&A & valuationRecruiting & transitions
45
SOUND & SECURE ADVISORS LLC reported RAUM down 36% ($46.7M -> $30.0M). IAPD ↗
$30.0M RAUM · 1 reps · (516) 536-1438
M&A & valuationRecruiting & transitions
38
POLAR CAPITAL (AMERICA) CORPORATION reported RAUM down 35% ($706.4M -> $456.6M). IAPD ↗institutional
$456.6M RAUM · 3 reps · 203-604-1550 · polarcapital.co.uk
M&A & valuationRecruiting & transitions
35
HAMILTON LANE reported RAUM down 85% ($856.99B -> $124.41B). IAPD ↗fund
$124.41B RAUM · 225 reps · 610-934-2222
M&A & valuationRecruiting & transitions
33
ARLON ADVISOR LLC reported RAUM down 34% ($1.45B -> $955.4M). IAPD ↗fund
$955.4M RAUM · 22 reps · 212-207-5200
M&A & valuationRecruiting & transitions
33
ESTUARY CAPITAL MANAGEMENT LP reported RAUM down 27% ($573.0M -> $418.2M). IAPD ↗fund
$418.2M RAUM · 11 reps · 612-895-5515
M&A & valuationRecruiting & transitions
30
LOMBARD reported RAUM down 26% ($304.6M -> $224.0M). IAPD ↗fund
$224.0M RAUM · 6 reps · 415-397-5900 · lombardinvestments.com
M&A & valuationRecruiting & transitions
20
HIGHCLERE INTERNATIONAL INVESTORS reported RAUM down 25% ($2.89B -> $2.17B). IAPD ↗foreign
$2.17B RAUM · 12 reps · +44 207-258-9830 · highclereinvestors.com
M&A & valuationRecruiting & transitions
20
TOSCAFUND ASSET MANAGEMENT reported RAUM down 32% ($2.05B -> $1.40B). IAPD ↗foreign
$1.40B RAUM · 23 reps · +44 20 7845 6100
M&A & valuationRecruiting & transitions
18
OSMOSIS INVESTMENT MANAGEMENT US LLC reported RAUM down 34% ($648.6M -> $426.4M). IAPD ↗foreign
$426.4M RAUM · 21 reps · +44 (0) 203 928 6555
M&A & valuationRecruiting & transitions
15
SEPHIRA INVESTMENT ADVISORS (UK) LIMITED reported RAUM down 41% ($113.1M -> $66.8M). IAPD ↗foreign
$66.8M RAUM · 5 reps · 44 (0) 203 598 5419 · sephira-em.com
M&A & valuationRecruiting & transitions
private funds started — 14 Firm reports private funds for the first time.
75
A.G.P / ALLIANCE GLOBAL PARTNERS now reports 1 private fund(s) ($1.0M gross). IAPD ↗
$1.32B RAUM · 163 reps · 800-727-7922 · allianceg.com
Fund administrationCompliance
75
CERITY PARTNERS OCIO LLC now reports 2 private fund(s) ($4.28B gross). IAPD ↗
$14.98B RAUM · 21 reps · 212-850-4260 · ceritypartners.com
Fund administrationCompliance
73
CANVAS WEALTH ADVISORS, LLC now reports 10 private fund(s) ($302.6M gross). IAPD ↗
$527.2M RAUM · 9 reps · 913-991-8471 · canvaswealthadvisors.com
Fund administrationCompliance
60
STEPSTONE GROUP PRIVATE DEBT LLC now reports 1 private fund(s) ($1.12B gross). IAPD ↗fund
$2.37B RAUM · 0 reps · 858-558-9700 · stepstonegroup.com
Fund administrationCompliance
58
EMBASSY ASSET MANAGEMENT LP now reports 1 private fund(s) ($0 gross). IAPD ↗fund
$261.6M RAUM · 0 reps · 862.278.2113 · embassyfunds.com
Fund administrationCompliance
58
NOMURA CAPITAL MANAGEMENT LLC now reports 1 private fund(s) ($199.9M gross). IAPD ↗fund
$420.8M RAUM · 11 reps · 212-667-9996 · nomuracapitalmanagement.com
Fund administrationCompliance
58
MESIROW RE-IA, INC. now reports 2 private fund(s) ($538.4M gross). IAPD ↗fund
$532.4M RAUM · 3 reps · 312-595-6000
Fund administrationCompliance
58
ELDRIDGE ACRE PARTNERS, LP now reports 2 private fund(s) ($0 gross). IAPD ↗fund
$892.5M RAUM · 10 reps · 213-394-2506 · eldridgeacre.com
Fund administrationCompliance
58
DUNDEE MAESTRO MANAGEMENT, LP now reports 7 private fund(s) ($641.8M gross). IAPD ↗fund
$641.8M RAUM · 3 reps · 914-815-0896
Fund administrationCompliance
58
BENCHSTONE CAPITAL MANAGEMENT LP now reports 1 private fund(s) ($26.5M gross). IAPD ↗fund
$465.5M RAUM · 5 reps · 646-908-6000 · benchstonecapital.com
Fund administrationCompliance
55
FORTWOOD CAPITAL LP now reports 1 private fund(s) ($93.4M gross). IAPD ↗fund
$204.0M RAUM · 4 reps · 475-303-3380
Fund administrationCompliance
45
MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED now reports 3 private fund(s) ($999.0M gross). IAPD ↗foreign
$11.09B RAUM · 61 reps · 44 203 037 2000 · macquarieim.com
Fund administrationCompliance
45
ONE QUEEN CAPITAL INC. now reports 4 private fund(s) ($8.93B gross). IAPD ↗foreign
$8.93B RAUM · 6 reps · 416-603-2116
Fund administrationCompliance
43
BFI INFINITY LTD. now reports 3 private fund(s) ($46.8M gross). IAPD ↗foreign
$600.8M RAUM · 14 reps · +41 58 806 2210
Fund administrationCompliance
aum crossed 1b — 8 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
WOODSTOCK CORPORATION crossed $1B in regulatory AUM ($921.7M -> $1.12B). IAPD ↗
$1.12B RAUM · 8 reps · 617-227-0600
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC. crossed $1B in regulatory AUM ($951.2M -> $1.16B). IAPD ↗
$1.16B RAUM · 12 reps · 312-595-6000
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
HBC GROUP LLC. crossed $1B in regulatory AUM ($376.5M -> $1.13B). IAPD ↗institutional
$1.13B RAUM · 1 reps · 239-529-0763
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
VOSS CAPITAL, LP crossed $1B in regulatory AUM ($937.0M -> $1.22B). IAPD ↗fund
$1.22B RAUM · 5 reps · 832-519-9427
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
STEPSTONE GROUP PRIVATE DEBT LLC crossed $1B in regulatory AUM ($38.7M -> $2.37B). IAPD ↗fund
$2.37B RAUM · 0 reps · 858-558-9700 · stepstonegroup.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
S.W. MITCHELL CAPITAL LLP crossed $1B in regulatory AUM ($780.1M -> $1.95B). IAPD ↗foreign
$1.95B RAUM · 2 reps · 020 7290 3588 · swmitchellcapital.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
PRYTANIA INVESTMENT ADVISORS LLP crossed $1B in regulatory AUM ($340.0M -> $1.76B). IAPD ↗foreign
$1.76B RAUM · 6 reps · 020 4570 5514 · prytania.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
J. STERN & CO. LLP crossed $1B in regulatory AUM ($835.0M -> $1.28B). IAPD ↗foreign
$1.28B RAUM · 10 reps · +44(0)20 3478 1800 · jsternco.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
planning clients up — 6 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
70
BIGELOW INVESTMENT ADVISORS, LLC reports 101-250 financial-planning clients, up from 1-10. IAPD ↗
$467.4M RAUM · 4 reps · 207-772-2900 · bigelowadvisors.com
Financial planning software
70
ZURAW FINANCIAL ADVISORS, LLC reports 101-250 financial-planning clients, up from 1-10. IAPD ↗
$424.8M RAUM · 1 reps · 336. 290 7062 EXT 101
Financial planning software
70
THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC reports 101-250 financial-planning clients, up from 0. IAPD ↗
$100.2M RAUM · 1 reps · 727-734-3334
Financial planning software
64
PGP WEALTH SERVICES, LLC reports 26-50 financial-planning clients, up from 0. IAPD ↗
$83.1M RAUM · 1 reps · 818-842-5625 · pgpwealthservices.com
Financial planning software
63
LUTHER KING CAPITAL MANAGEMENT CORPORATION reports 1-10 financial-planning clients, up from 0. IAPD ↗
$30.49B RAUM · 67 reps · 817-332-3235 · lkcm.com
Financial planning software
61
RDG CAPITAL MANAGEMENT LLC reports 11-25 financial-planning clients, up from 0. IAPD ↗
$55.4M RAUM · 1 reps · 585-673-2690 · rdgcapitalmanagement.com
Financial planning software
aum crossed 500m — 5 Regulatory AUM crossed $500M.
70
GAMMA INVESTING LLC crossed $500M in regulatory AUM ($445.1M -> $705.4M). IAPD ↗
$705.4M RAUM · 5 reps · 888-585-1755 · gammainvesting.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
40
BFI INFINITY LTD. crossed $500M in regulatory AUM ($481.5M -> $600.8M). IAPD ↗foreign
$600.8M RAUM · 14 reps · +41 58 806 2210
Portfolio / reporting / TAMPCRMIntegration & migration consulting
40
PETRA CAPITAL MANAGEMENT, INC. crossed $500M in regulatory AUM ($459.0M -> $660.9M). IAPD ↗foreign
$660.9M RAUM · 8 reps · -4672 · petracm.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
40
TAVIRA FINANCIAL crossed $500M in regulatory AUM ($481.0M -> $531.3M). IAPD ↗foreign
$531.3M RAUM · 13 reps · 44 0207 100 5100 · tavira.group
Portfolio / reporting / TAMPCRMIntegration & migration consulting
40
PRAXIS ALPHA PARTNERS LLP crossed $500M in regulatory AUM ($481.2M -> $526.1M). IAPD ↗foreign
$526.1M RAUM · 5 reps · 4420331 40830 · praxisim.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
wrap program started — 4 Firm began participating in a wrap-fee program (Item 5I(1)).
65
SUNCOAST EQUITY MANAGEMENT, LLC began participating in a wrap-fee program. IAPD ↗
$1.36B RAUM · 11 reps · (813) 963-0502 · suncoastequity.com
Portfolio / reporting / TAMPCompliance
60
COMPASS RETIREMENT GROUP LLC began participating in a wrap-fee program. IAPD ↗
$99.4M RAUM · 6 reps · 314-373-1598 · crsretirement.com
Portfolio / reporting / TAMPCompliance
60
TOPSAIL WEALTH MANAGEMENT LLC began participating in a wrap-fee program. IAPD ↗
$0 RAUM · 1 reps · 980-308-9901 · topsailwealthmanagement.com
Portfolio / reporting / TAMPCompliance
35
CAPITAL FUND MANAGEMENT S.A. began participating in a wrap-fee program. IAPD ↗foreign
$10.18B RAUM · 66 reps · +33-1-4949 5949 · cfm.com
Portfolio / reporting / TAMPCompliance
reorganization — 3 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
45
PROVENIO CAPITAL filed an Item 4A succession naming PROVENIO CAPITAL (CRD 284541) — an entity change, not a deal. IAPD ↗
$1.62B RAUM · 6 reps · 949-301-9060
Integration & migration consultingCompliance
43
TORREYANA CAPITAL filed an Item 4A succession naming TORREYANA CAPITAL (CRD 329075) — an entity change, not a deal. IAPD ↗
$736.0M RAUM · 3 reps · 6198377996
Integration & migration consultingCompliance
30
VOSS CAPITAL, LP filed an Item 4A succession naming VOSS CAPITAL LLC (CRD 158929) — an entity change, not a deal. IAPD ↗fund
$1.22B RAUM · 5 reps · 832-519-9427
Integration & migration consultingCompliance
planning started — 2 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
80
LUTHER KING CAPITAL MANAGEMENT CORPORATION now offers financial planning (Item 5G(1)). IAPD ↗
$30.49B RAUM · 67 reps · 817-332-3235 · lkcm.com
Financial planning softwareCRM
75
COMPASS RETIREMENT GROUP LLC now offers financial planning (Item 5G(1)). IAPD ↗
$99.4M RAUM · 6 reps · 314-373-1598 · crsretirement.com
Financial planning softwareCRM

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