← Tributary

What changed in the August 2024 SEC adviser roster

882 events across 752 firms · 627 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

232state expansion
179new registration
84new office
73deregistered
51pending approved
37disclosure added
31website changed
30relocation
28aum up
27headcount up
24rename
22custody started

Top 25 signals — US wealth firms

100
HIGHMORE CAPITAL, LLC (NEW YORK, NY) is newly SEC-registered with $2.66B RAUM and 3 advisory reps. IAPD ↗
$2.66B RAUM · 3 reps · 646-206-4345
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BOSTONPREMIER WEALTH (HANOVER, MA) is newly SEC-registered with $322.4M RAUM and 5 advisory reps. IAPD ↗
$322.4M RAUM · 5 reps · (617) 934-1100 · bostonpremierwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
OASIS WEALTH PLANNING ADVISORS (location n/a) is newly SEC-registered with $254.4M RAUM and 5 advisory reps. IAPD ↗
$254.4M RAUM · 5 reps · (615) 933-3314 · oasiswealthplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AMERICAN INVESTMENT ADVISORS INC (MADISON, WI) is newly SEC-registered with $114.0M RAUM and 2 advisory reps. IAPD ↗
$114.0M RAUM · 2 reps · 608-238-3500 · aiai.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEWARDSHIP CAPITAL (INDEPENDENCE, MO) is newly SEC-registered with $136.3M RAUM and 3 advisory reps. IAPD ↗
$136.3M RAUM · 3 reps · 816-833-6650 · getyourmoneymoving.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEAK INVESTMENT ADVISORS, INC. (COLORADO SPRINGS, CO) is newly SEC-registered with $130.5M RAUM and 1 advisory reps. IAPD ↗
$130.5M RAUM · 1 reps · 719-260-6475 · peakinvestmentadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TREGER & ASSOCIATES (location n/a) is newly SEC-registered with $130.0M RAUM and 2 advisory reps. IAPD ↗
$130.0M RAUM · 2 reps · 540-464-1418
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DESMOND WEALTH MANAGEMENT, INC. (WALNUT CREEK, CA) is newly SEC-registered with $103.2M RAUM and 2 advisory reps. IAPD ↗
$103.2M RAUM · 2 reps · (925) 932-1994 · desmondwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J M BROWN FINANCIAL PARTNERS (TULSA, OK) is newly SEC-registered with $120.0M RAUM and 4 advisory reps. IAPD ↗
$120.0M RAUM · 4 reps · 918-496-5460 · perfectcalendar.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SULLIVAN FINANCIAL, LLC (ESSEX, CT) is newly SEC-registered with $103.8M RAUM and 2 advisory reps. IAPD ↗
$103.8M RAUM · 2 reps · (860)657-4150 · sullfin.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SONAS FINANCIAL GROUP, INC. (KANSAS CITY, MO) is newly SEC-registered with $116.9M RAUM and 2 advisory reps. IAPD ↗
$116.9M RAUM · 2 reps · 816-753-2210 · sonasfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROUSSARD FINANCIAL GROUP, LLC (KAPLAN, LA) is newly SEC-registered with $100.4M RAUM and 1 advisory reps. IAPD ↗
$100.4M RAUM · 1 reps · 337-643-8319 · broussardfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPASS FINANCIAL GROUP, INC. (DUBLIN, OH) is newly SEC-registered with $114.8M RAUM and 2 advisory reps. IAPD ↗
$114.8M RAUM · 2 reps · 614-791-0093
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HULL WEALTH MANAGEMENT (MURFREESBORO, TN) is newly SEC-registered with $128.0M RAUM and 2 advisory reps. IAPD ↗
$128.0M RAUM · 2 reps · 615 896-1181 · hullwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OFC WEALTH MANAGEMENT (location n/a) is newly SEC-registered with $122.2M RAUM and 2 advisory reps. IAPD ↗
$122.2M RAUM · 2 reps · 973-258-1007
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFS WEALTH MANAGEMENT (MACON, GA) is newly SEC-registered with $135.6M RAUM and 3 advisory reps. IAPD ↗
$135.6M RAUM · 3 reps · 478 471-1875 · cfswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TOWNSEND FINANCIAL PLANNING (MT. STERLING, KY) is newly SEC-registered with $116.0M RAUM and 3 advisory reps. IAPD ↗
$116.0M RAUM · 3 reps · 859-498-2020
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AQUA CAPITAL ADVISORS (LOS ANGELES, CA) is newly SEC-registered with $120.1M RAUM and 2 advisory reps. IAPD ↗
$120.1M RAUM · 2 reps · 310-492-9680 · aquaca.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PATHWAYS WEALTH MANAGEMENT, INC. (location n/a) is newly SEC-registered with $124.8M RAUM and 2 advisory reps. IAPD ↗
$124.8M RAUM · 2 reps · 937-552-9765 · pathwayswm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARBOR INVESTMENT MANAGEMENT (ANN ARBOR, MI) is newly SEC-registered with $122.0M RAUM and 2 advisory reps. IAPD ↗
$122.0M RAUM · 2 reps · 734-6453622 · arborim.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE DOWLING GROUP WEALTH MANAGEMENT (GREENWICH, CT) is newly SEC-registered with $139.7M RAUM and 3 advisory reps. IAPD ↗
$139.7M RAUM · 3 reps · 203-967-2231 · thedowlinggroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WAYPOINTS FINANCIAL (SEBRING, FL) is newly SEC-registered with $114.7M RAUM and 3 advisory reps. IAPD ↗
$114.7M RAUM · 3 reps · 863-402-5650 · waypointsfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SIMA WEALTH PARTNERS, LLC (NORTH CHESTERFIELD, VA) is newly SEC-registered with $135.7M RAUM and 5 advisory reps. IAPD ↗
$135.7M RAUM · 5 reps · 804-285-5700 · simawealthpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
QUANTUM LEAP CAPITAL, LLC (SOUTH BURLINGTON, VT) is newly SEC-registered with $105.0M RAUM and 3 advisory reps. IAPD ↗
$105.0M RAUM · 3 reps · (802) 448-2882
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GREENWICH ADVISORS, LLC (location n/a) is newly SEC-registered with $160.9M RAUM and 2 advisory reps. IAPD ↗
$160.9M RAUM · 2 reps · 203-489-0700 · greenwichadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 253 firms

100
HIGHMORE CAPITAL, LLC (NEW YORK, NY) is newly SEC-registered with $2.66B RAUM and 3 advisory reps. IAPD ↗
$2.66B RAUM · 3 reps · 646-206-4345
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BOSTONPREMIER WEALTH (HANOVER, MA) is newly SEC-registered with $322.4M RAUM and 5 advisory reps. IAPD ↗
$322.4M RAUM · 5 reps · (617) 934-1100 · bostonpremierwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
OASIS WEALTH PLANNING ADVISORS (location n/a) is newly SEC-registered with $254.4M RAUM and 5 advisory reps. IAPD ↗
$254.4M RAUM · 5 reps · (615) 933-3314 · oasiswealthplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AMERICAN INVESTMENT ADVISORS INC (MADISON, WI) is newly SEC-registered with $114.0M RAUM and 2 advisory reps. IAPD ↗
$114.0M RAUM · 2 reps · 608-238-3500 · aiai.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEWARDSHIP CAPITAL (INDEPENDENCE, MO) is newly SEC-registered with $136.3M RAUM and 3 advisory reps. IAPD ↗
$136.3M RAUM · 3 reps · 816-833-6650 · getyourmoneymoving.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEAK INVESTMENT ADVISORS, INC. (COLORADO SPRINGS, CO) is newly SEC-registered with $130.5M RAUM and 1 advisory reps. IAPD ↗
$130.5M RAUM · 1 reps · 719-260-6475 · peakinvestmentadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TREGER & ASSOCIATES (location n/a) is newly SEC-registered with $130.0M RAUM and 2 advisory reps. IAPD ↗
$130.0M RAUM · 2 reps · 540-464-1418
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DESMOND WEALTH MANAGEMENT, INC. (WALNUT CREEK, CA) is newly SEC-registered with $103.2M RAUM and 2 advisory reps. IAPD ↗
$103.2M RAUM · 2 reps · (925) 932-1994 · desmondwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J M BROWN FINANCIAL PARTNERS (TULSA, OK) is newly SEC-registered with $120.0M RAUM and 4 advisory reps. IAPD ↗
$120.0M RAUM · 4 reps · 918-496-5460 · perfectcalendar.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SULLIVAN FINANCIAL, LLC (ESSEX, CT) is newly SEC-registered with $103.8M RAUM and 2 advisory reps. IAPD ↗
$103.8M RAUM · 2 reps · (860)657-4150 · sullfin.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 243 more in the CSV export.

Financial planning software 162 firms

100
HIGHMORE CAPITAL, LLC (NEW YORK, NY) is newly SEC-registered with $2.66B RAUM and 3 advisory reps. IAPD ↗
$2.66B RAUM · 3 reps · 646-206-4345
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BOSTONPREMIER WEALTH (HANOVER, MA) is newly SEC-registered with $322.4M RAUM and 5 advisory reps. IAPD ↗
$322.4M RAUM · 5 reps · (617) 934-1100 · bostonpremierwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
OASIS WEALTH PLANNING ADVISORS (location n/a) is newly SEC-registered with $254.4M RAUM and 5 advisory reps. IAPD ↗
$254.4M RAUM · 5 reps · (615) 933-3314 · oasiswealthplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AMERICAN INVESTMENT ADVISORS INC (MADISON, WI) is newly SEC-registered with $114.0M RAUM and 2 advisory reps. IAPD ↗
$114.0M RAUM · 2 reps · 608-238-3500 · aiai.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEWARDSHIP CAPITAL (INDEPENDENCE, MO) is newly SEC-registered with $136.3M RAUM and 3 advisory reps. IAPD ↗
$136.3M RAUM · 3 reps · 816-833-6650 · getyourmoneymoving.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEAK INVESTMENT ADVISORS, INC. (COLORADO SPRINGS, CO) is newly SEC-registered with $130.5M RAUM and 1 advisory reps. IAPD ↗
$130.5M RAUM · 1 reps · 719-260-6475 · peakinvestmentadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TREGER & ASSOCIATES (location n/a) is newly SEC-registered with $130.0M RAUM and 2 advisory reps. IAPD ↗
$130.0M RAUM · 2 reps · 540-464-1418
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DESMOND WEALTH MANAGEMENT, INC. (WALNUT CREEK, CA) is newly SEC-registered with $103.2M RAUM and 2 advisory reps. IAPD ↗
$103.2M RAUM · 2 reps · (925) 932-1994 · desmondwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J M BROWN FINANCIAL PARTNERS (TULSA, OK) is newly SEC-registered with $120.0M RAUM and 4 advisory reps. IAPD ↗
$120.0M RAUM · 4 reps · 918-496-5460 · perfectcalendar.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SULLIVAN FINANCIAL, LLC (ESSEX, CT) is newly SEC-registered with $103.8M RAUM and 2 advisory reps. IAPD ↗
$103.8M RAUM · 2 reps · (860)657-4150 · sullfin.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 152 more in the CSV export.

Compliance 409 firms

100
HIGHMORE CAPITAL, LLC (NEW YORK, NY) is newly SEC-registered with $2.66B RAUM and 3 advisory reps. IAPD ↗
$2.66B RAUM · 3 reps · 646-206-4345
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BOSTONPREMIER WEALTH (HANOVER, MA) is newly SEC-registered with $322.4M RAUM and 5 advisory reps. IAPD ↗
$322.4M RAUM · 5 reps · (617) 934-1100 · bostonpremierwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
OASIS WEALTH PLANNING ADVISORS (location n/a) is newly SEC-registered with $254.4M RAUM and 5 advisory reps. IAPD ↗
$254.4M RAUM · 5 reps · (615) 933-3314 · oasiswealthplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AMERICAN INVESTMENT ADVISORS INC (MADISON, WI) is newly SEC-registered with $114.0M RAUM and 2 advisory reps. IAPD ↗
$114.0M RAUM · 2 reps · 608-238-3500 · aiai.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEWARDSHIP CAPITAL (INDEPENDENCE, MO) is newly SEC-registered with $136.3M RAUM and 3 advisory reps. IAPD ↗
$136.3M RAUM · 3 reps · 816-833-6650 · getyourmoneymoving.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEAK INVESTMENT ADVISORS, INC. (COLORADO SPRINGS, CO) is newly SEC-registered with $130.5M RAUM and 1 advisory reps. IAPD ↗
$130.5M RAUM · 1 reps · 719-260-6475 · peakinvestmentadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TREGER & ASSOCIATES (location n/a) is newly SEC-registered with $130.0M RAUM and 2 advisory reps. IAPD ↗
$130.0M RAUM · 2 reps · 540-464-1418
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DESMOND WEALTH MANAGEMENT, INC. (WALNUT CREEK, CA) is newly SEC-registered with $103.2M RAUM and 2 advisory reps. IAPD ↗
$103.2M RAUM · 2 reps · (925) 932-1994 · desmondwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J M BROWN FINANCIAL PARTNERS (TULSA, OK) is newly SEC-registered with $120.0M RAUM and 4 advisory reps. IAPD ↗
$120.0M RAUM · 4 reps · 918-496-5460 · perfectcalendar.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SULLIVAN FINANCIAL, LLC (ESSEX, CT) is newly SEC-registered with $103.8M RAUM and 2 advisory reps. IAPD ↗
$103.8M RAUM · 2 reps · (860)657-4150 · sullfin.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 399 more in the CSV export.

Portfolio / reporting / TAMP 145 firms

100
HIGHMORE CAPITAL, LLC (NEW YORK, NY) is newly SEC-registered with $2.66B RAUM and 3 advisory reps. IAPD ↗
$2.66B RAUM · 3 reps · 646-206-4345
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BOSTONPREMIER WEALTH (HANOVER, MA) is newly SEC-registered with $322.4M RAUM and 5 advisory reps. IAPD ↗
$322.4M RAUM · 5 reps · (617) 934-1100 · bostonpremierwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
OASIS WEALTH PLANNING ADVISORS (location n/a) is newly SEC-registered with $254.4M RAUM and 5 advisory reps. IAPD ↗
$254.4M RAUM · 5 reps · (615) 933-3314 · oasiswealthplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AMERICAN INVESTMENT ADVISORS INC (MADISON, WI) is newly SEC-registered with $114.0M RAUM and 2 advisory reps. IAPD ↗
$114.0M RAUM · 2 reps · 608-238-3500 · aiai.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEWARDSHIP CAPITAL (INDEPENDENCE, MO) is newly SEC-registered with $136.3M RAUM and 3 advisory reps. IAPD ↗
$136.3M RAUM · 3 reps · 816-833-6650 · getyourmoneymoving.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEAK INVESTMENT ADVISORS, INC. (COLORADO SPRINGS, CO) is newly SEC-registered with $130.5M RAUM and 1 advisory reps. IAPD ↗
$130.5M RAUM · 1 reps · 719-260-6475 · peakinvestmentadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TREGER & ASSOCIATES (location n/a) is newly SEC-registered with $130.0M RAUM and 2 advisory reps. IAPD ↗
$130.0M RAUM · 2 reps · 540-464-1418
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DESMOND WEALTH MANAGEMENT, INC. (WALNUT CREEK, CA) is newly SEC-registered with $103.2M RAUM and 2 advisory reps. IAPD ↗
$103.2M RAUM · 2 reps · (925) 932-1994 · desmondwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J M BROWN FINANCIAL PARTNERS (TULSA, OK) is newly SEC-registered with $120.0M RAUM and 4 advisory reps. IAPD ↗
$120.0M RAUM · 4 reps · 918-496-5460 · perfectcalendar.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SULLIVAN FINANCIAL, LLC (ESSEX, CT) is newly SEC-registered with $103.8M RAUM and 2 advisory reps. IAPD ↗
$103.8M RAUM · 2 reps · (860)657-4150 · sullfin.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 135 more in the CSV export.

Custodian 109 firms

100
HIGHMORE CAPITAL, LLC (NEW YORK, NY) is newly SEC-registered with $2.66B RAUM and 3 advisory reps. IAPD ↗
$2.66B RAUM · 3 reps · 646-206-4345
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BOSTONPREMIER WEALTH (HANOVER, MA) is newly SEC-registered with $322.4M RAUM and 5 advisory reps. IAPD ↗
$322.4M RAUM · 5 reps · (617) 934-1100 · bostonpremierwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
OASIS WEALTH PLANNING ADVISORS (location n/a) is newly SEC-registered with $254.4M RAUM and 5 advisory reps. IAPD ↗
$254.4M RAUM · 5 reps · (615) 933-3314 · oasiswealthplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AMERICAN INVESTMENT ADVISORS INC (MADISON, WI) is newly SEC-registered with $114.0M RAUM and 2 advisory reps. IAPD ↗
$114.0M RAUM · 2 reps · 608-238-3500 · aiai.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEWARDSHIP CAPITAL (INDEPENDENCE, MO) is newly SEC-registered with $136.3M RAUM and 3 advisory reps. IAPD ↗
$136.3M RAUM · 3 reps · 816-833-6650 · getyourmoneymoving.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEAK INVESTMENT ADVISORS, INC. (COLORADO SPRINGS, CO) is newly SEC-registered with $130.5M RAUM and 1 advisory reps. IAPD ↗
$130.5M RAUM · 1 reps · 719-260-6475 · peakinvestmentadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TREGER & ASSOCIATES (location n/a) is newly SEC-registered with $130.0M RAUM and 2 advisory reps. IAPD ↗
$130.0M RAUM · 2 reps · 540-464-1418
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DESMOND WEALTH MANAGEMENT, INC. (WALNUT CREEK, CA) is newly SEC-registered with $103.2M RAUM and 2 advisory reps. IAPD ↗
$103.2M RAUM · 2 reps · (925) 932-1994 · desmondwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J M BROWN FINANCIAL PARTNERS (TULSA, OK) is newly SEC-registered with $120.0M RAUM and 4 advisory reps. IAPD ↗
$120.0M RAUM · 4 reps · 918-496-5460 · perfectcalendar.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SULLIVAN FINANCIAL, LLC (ESSEX, CT) is newly SEC-registered with $103.8M RAUM and 2 advisory reps. IAPD ↗
$103.8M RAUM · 2 reps · (860)657-4150 · sullfin.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 99 more in the CSV export.

Marketing & brand 398 firms

100
HIGHMORE CAPITAL, LLC (NEW YORK, NY) is newly SEC-registered with $2.66B RAUM and 3 advisory reps. IAPD ↗
$2.66B RAUM · 3 reps · 646-206-4345
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BOSTONPREMIER WEALTH (HANOVER, MA) is newly SEC-registered with $322.4M RAUM and 5 advisory reps. IAPD ↗
$322.4M RAUM · 5 reps · (617) 934-1100 · bostonpremierwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
OASIS WEALTH PLANNING ADVISORS (location n/a) is newly SEC-registered with $254.4M RAUM and 5 advisory reps. IAPD ↗
$254.4M RAUM · 5 reps · (615) 933-3314 · oasiswealthplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AMERICAN INVESTMENT ADVISORS INC (MADISON, WI) is newly SEC-registered with $114.0M RAUM and 2 advisory reps. IAPD ↗
$114.0M RAUM · 2 reps · 608-238-3500 · aiai.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEWARDSHIP CAPITAL (INDEPENDENCE, MO) is newly SEC-registered with $136.3M RAUM and 3 advisory reps. IAPD ↗
$136.3M RAUM · 3 reps · 816-833-6650 · getyourmoneymoving.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEAK INVESTMENT ADVISORS, INC. (COLORADO SPRINGS, CO) is newly SEC-registered with $130.5M RAUM and 1 advisory reps. IAPD ↗
$130.5M RAUM · 1 reps · 719-260-6475 · peakinvestmentadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TREGER & ASSOCIATES (location n/a) is newly SEC-registered with $130.0M RAUM and 2 advisory reps. IAPD ↗
$130.0M RAUM · 2 reps · 540-464-1418
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DESMOND WEALTH MANAGEMENT, INC. (WALNUT CREEK, CA) is newly SEC-registered with $103.2M RAUM and 2 advisory reps. IAPD ↗
$103.2M RAUM · 2 reps · (925) 932-1994 · desmondwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J M BROWN FINANCIAL PARTNERS (TULSA, OK) is newly SEC-registered with $120.0M RAUM and 4 advisory reps. IAPD ↗
$120.0M RAUM · 4 reps · 918-496-5460 · perfectcalendar.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SULLIVAN FINANCIAL, LLC (ESSEX, CT) is newly SEC-registered with $103.8M RAUM and 2 advisory reps. IAPD ↗
$103.8M RAUM · 2 reps · (860)657-4150 · sullfin.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 388 more in the CSV export.

Recruiting & transitions 156 firms

85
&PARTNERS grew from 87 to 174 advisory reps. IAPD ↗
$1.17B RAUM · 174 reps · 615-255-6431 · prairieheritagefinancial.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC grew from 0 to 615 advisory reps. IAPD ↗
$72.02B RAUM · 615 reps · 763-417-1700
CRMRecruiting & transitionsComplianceFinancial planning software
85
THE COLONY GROUP, LLC grew from 315 to 630 advisory reps. IAPD ↗
$21.47B RAUM · 630 reps · 617-723-8200 · debrabrede.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC grew from 99 to 122 advisory reps. IAPD ↗
$11.29B RAUM · 122 reps · 312-334-7300 · kovitz.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
WELLTH ADVISORY SERVICES, LLC grew from 1 to 67 advisory reps. IAPD ↗
$0 RAUM · 67 reps · 866-777-4015 · srpretire.com
CRMRecruiting & transitionsComplianceFinancial planning software
78
ASHTON THOMAS PRIVATE WEALTH grew from 47 to 55 advisory reps. IAPD ↗
$2.89B RAUM · 55 reps · 602-732-4745
CRMRecruiting & transitionsComplianceFinancial planning software
75
CONCURRENT INVESTMENT ADVISORS, LLC grew from 118 to 123 advisory reps. IAPD ↗
$6.26B RAUM · 123 reps · (813) 575-2652 · adalanpw.com
CRMRecruiting & transitionsComplianceFinancial planning software
72
QP GLOBAL FAMILY OFFICES, LLC grew from 6 to 8 advisory reps. IAPD ↗
$1.48B RAUM · 8 reps · 203-954-6214
CRMRecruiting & transitionsComplianceFinancial planning software
72
BRIDGEPORT FINANCIAL SOLUTIONS grew from 0 to 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 877-411-2737 · bridgeport.financial
CRMRecruiting & transitionsComplianceFinancial planning software
72
IFS GROUP grew from 7 to 14 advisory reps. IAPD ↗
$200.0M RAUM · 14 reps · 717-766-1144 · ifsgroup1.com
CRMRecruiting & transitionsComplianceFinancial planning software

…and 146 more in the CSV export.

Integration & migration consulting 12 firms

85
J. L. BAINBRIDGE & CO., INC. crossed $1B in regulatory AUM ($963.5M -> $1.11B). IAPD ↗
$1.11B RAUM · 4 reps · 941-365-3435
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
FALCON WEALTH PLANNING, INC. crossed $1B in regulatory AUM ($825.8M -> $1.02B). IAPD ↗
$1.02B RAUM · 18 reps · 855-963-2526
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
SEASONS OF ADVICE WEALTH MANAGEMENT crossed $1B in regulatory AUM ($931.8M -> $1.03B). IAPD ↗
$1.03B RAUM · 12 reps · 212-977-3111 · soaplanning.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
DASH INVESTMENTS crossed $500M in regulatory AUM ($427.1M -> $501.2M). IAPD ↗
$501.2M RAUM · 5 reps · 800-549-3227
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
PGI WEALTH MANAGEMENT crossed $500M in regulatory AUM ($211.1M -> $934.4M). IAPD ↗
$934.4M RAUM · 7 reps · (888) 493-9022
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
SINGER WEALTH ADVISORS LLC crossed $500M in regulatory AUM ($424.6M -> $502.9M). IAPD ↗
$502.9M RAUM · 10 reps · 561-998-9985
Portfolio / reporting / TAMPCRMIntegration & migration consulting
45
RODGERS & ASSOCIATES filed an Item 4A succession naming RODGERS & ASSOCIATES (CRD 121700) — an entity change, not a deal. IAPD ↗
$1.34B RAUM · 12 reps · 717-560-3800
Integration & migration consultingCompliance
43
FINANCIAL COUNCIL, LLC filed an Item 4A succession naming FINANCIAL COUNCIL, LLC (CRD 110748) — an entity change, not a deal. IAPD ↗
$959.4M RAUM · 7 reps · 410-821-9200 · financialcouncil.com
Integration & migration consultingCompliance
40
MICHAEL J. PORRO & CO. FINANCIAL ADVISOR INC filed an Item 4A succession naming MICHAEL J. PORRO & CO. FINANCIAL ADVISORS, LLC (CRD 125584) — an entity change, not a deal. IAPD ↗
$119.6M RAUM · 2 reps · 201-768-0218 · porrofinancialadvisors.com
Integration & migration consultingCompliance
40
FINLEY FINANCIAL, LLC filed an Item 4A succession naming FINLEY FINANCIAL, LLC (CRD 131442) — an entity change, not a deal. IAPD ↗
$176.0M RAUM · 1 reps · 503-474-3535 · finleyfinancial.com
Integration & migration consultingCompliance

…and 2 more in the CSV export.

Fund administration 3 firms

75
BRIDGES INVESTMENT MANAGEMENT INC now reports 1 private fund(s) ($10.1M gross). IAPD ↗
$9.88B RAUM · 28 reps · 402-397-4700 · bridgesinv.com
Fund administrationCompliance
73
IRON FINANCIAL LLC now reports 1 private fund(s) ($4.3M gross). IAPD ↗
$421.1M RAUM · 8 reps · 847-715-3200 · ironfinancial.com
Fund administrationCompliance
70
BRANDYWINE ASSET MANAGEMENT now reports 1 private fund(s) ($80.0M gross). IAPD ↗
$140.0M RAUM · 2 reps · 610-361-1000
Fund administrationCompliance

Office IT & facilities 96 firms

55
&PARTNERS added office(s): 29 -> 50 additional locations. IAPD ↗
$1.17B RAUM · 174 reps · 615-255-6431 · prairieheritagefinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
CANTERBURY CONSULTING INCORPORATED added office(s): 3 -> 4 additional locations. IAPD ↗
$6.61B RAUM · 21 reps · 949-721-9580
Office IT & facilitiesCRMRecruiting & transitions
55
CAPITAL ADVISORS, INC. added office(s): 10 -> 11 additional locations. IAPD ↗
$5.50B RAUM · 38 reps · (918) 599-0045 · capadvfunds.com
Office IT & facilitiesCRMRecruiting & transitions
55
BALDWIN BROTHERS LLC added office(s): 5 -> 11 additional locations. IAPD ↗
$2.28B RAUM · 12 reps · (508) 748-0800 · baldwinbrothersinc.com
Office IT & facilitiesCRMRecruiting & transitions
55
UNITED ASSET STRATEGIES INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$1.72B RAUM · 16 reps · 516-222-0021 · unitedasset.com
Office IT & facilitiesCRMRecruiting & transitions
55
ECLECTIC ASSOCIATES, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$1.05B RAUM · 9 reps · 714-738-0220
Office IT & facilitiesCRMRecruiting & transitions
55
OVERBROOK MANAGEMENT CORPORATION added office(s): 0 -> 1 additional locations. IAPD ↗
$1.23B RAUM · 3 reps · 212-661-8710 · overbrook.com
Office IT & facilitiesCRMRecruiting & transitions
55
SAX WEALTH ADVISORS, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$1.74B RAUM · 15 reps · 973-859-2199
Office IT & facilitiesCRMRecruiting & transitions
55
AVIDIAN WEALTH SOLUTIONS added office(s): 3 -> 4 additional locations. IAPD ↗
$3.11B RAUM · 32 reps · 281-822-8800 · retirementsurvivalguide.com
Office IT & facilitiesCRMRecruiting & transitions
55
PERIGON WEALTH MANAGEMENT, LLC added office(s): 40 -> 41 additional locations. IAPD ↗
$6.94B RAUM · 77 reps · (877) 977-2555
Office IT & facilitiesCRMRecruiting & transitions

…and 86 more in the CSV export.

M&A & valuation 58 firms

65
CROWN CAPITAL SECURITIES, L.P. (ORANGE, CA) left the SEC roster (was $1.22B RAUM, 164 reps). IAPD ↗
$1.22B RAUM · 164 reps · 714-547-9481 · crowncapitalsecurities.com
Recruiting & transitionsM&A & valuation
65
THE FINANCIAL ADVISORY GROUP, LLC (HOUSTON, TX) left the SEC roster (was $1.24B RAUM, 10 reps). IAPD ↗
$1.24B RAUM · 10 reps · 713-627-7660 · finadvisors.com
Recruiting & transitionsM&A & valuation
65
ATLAS PRIVATE WEALTH MANAGEMENT, LLC (ALBANY, NY) left the SEC roster (was $1.26B RAUM, 10 reps). IAPD ↗
$1.26B RAUM · 10 reps · (518) 482-5777
Recruiting & transitionsM&A & valuation
65
WACKER WEALTH PARTNERS, LLC (SAN LUIS OBISPO, CA) left the SEC roster (was $1.14B RAUM, 12 reps). IAPD ↗
$1.14B RAUM · 12 reps · 805-541-1308
Recruiting & transitionsM&A & valuation
65
ENVOI LLC (MINNEAPOLIS, MN) left the SEC roster (was $2.85B RAUM, 8 reps). IAPD ↗
$2.85B RAUM · 8 reps · 952-358-6260 · envoillc.com
Recruiting & transitionsM&A & valuation
65
ADVANCED RESEARCH INVESTMENT SOLUTIONS, LLC (LOS ANGELES, CA) left the SEC roster (was $12.87B RAUM, 3 reps). IAPD ↗
$12.87B RAUM · 3 reps · 424-372-1775
Recruiting & transitionsM&A & valuation
65
INTEROCEAN CAPITAL (NASHVILLE, TN) left the SEC roster (was $5.81B RAUM, 30 reps). IAPD ↗
$5.81B RAUM · 30 reps · 312-648-1720 · focusfinancialpartners.com
Recruiting & transitionsM&A & valuation
65
CONNECTUS WEALTH (HUNT VALLEY, MD) left the SEC roster (was $8.67B RAUM, 83 reps). IAPD ↗
$8.67B RAUM · 83 reps · 513-832-5463 · connectuswealth.com
Recruiting & transitionsM&A & valuation
63
HIGHLANDER CAPITAL MANAGEMENT LLC (SHORT HILLS, NJ) left the SEC roster (was $351.8M RAUM, 8 reps). IAPD ↗
$351.8M RAUM · 8 reps · 973-718-3511 · highlandereport.com
Recruiting & transitionsM&A & valuation
63
LAFISE SECURITIES CORPORATION (MIAMI, FL) left the SEC roster (was $736.0M RAUM, 1 reps). IAPD ↗
$736.0M RAUM · 1 reps · 305-374-6001
Recruiting & transitionsM&A & valuation

…and 48 more in the CSV export.

Everything else — all segments

state expansion — 232 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS notice-filed in AR, HI, IA, ID, KS, MO, MS, MT, ND, NM, PR, RI, SD. IAPD ↗
$22.37B RAUM · 80 reps · 216-621-1090 · clearsteadinvestmentforum.buzzsprout.com
ComplianceMarketing & brand
55
M FINANCIAL ASSET MANAGEMENT, INC. notice-filed in CT, IA, IL, LA, MI, NC, NJ, NY. IAPD ↗
$1.30B RAUM · 5 reps · 503-232-6960 · mfinwealth.com
ComplianceMarketing & brand
55
DIVERSIFY ADVISORY SERVICES, LLC notice-filed in AR, CT, DC, GA, IA, ID, IN, KS, KY, LA, MA, MD, ME, MI, MN, MS, NC, NE, NH, NM, NV, OH, OK, RI, SD, TN, VT, WA, WI, WV, WY. IAPD ↗
$2.87B RAUM · 87 reps · 801-890.7577
ComplianceMarketing & brand
53
DENALI ADVISORS, LLC notice-filed in AK, AL, AR, AZ, CO, CT, DC, DE, FL, GA, HI, IA, ID, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY. IAPD ↗
$493.4M RAUM · 11 reps · 858-558-3600 · denaliadvisors.com
ComplianceMarketing & brand
53
DT INVESTMENT PARTNERS, LLC notice-filed in LA, NC, NJ, NY. IAPD ↗
$1.52B RAUM · 5 reps · 4847784425 · dtinvestmentpartners.com
ComplianceMarketing & brand
53
BRASS TAX WEALTH MANAGEMENT notice-filed in AZ, CA, KY, NC, TN. IAPD ↗
$674.3M RAUM · 12 reps · 513-605-3394 · brasstaxwealth.com
ComplianceMarketing & brand
53
CONVERGENCE FINANCIAL notice-filed in AZ, IA, NE, NY, PA, VA. IAPD ↗
$422.4M RAUM · 13 reps · (573) 818-2264
ComplianceMarketing & brand
53
SMART WEALTH, LLC notice-filed in IN, KY, MD, NV, OH, VA. IAPD ↗
$302.9M RAUM · 12 reps · 402-369-7777 · retiresmartomaha.com
ComplianceMarketing & brand
53
VANTAGE FINANCIAL PARTNERS, LLC notice-filed in CO, GA, IN, KY, PA, WV. IAPD ↗
$612.1M RAUM · 11 reps · 262-439-8587 · vantagefinancialwi.com
ComplianceMarketing & brand
53
CENTURION WEALTH MANAGEMENT notice-filed in CA, CT, DC, FL, LA, MA, MD, NC, NH, NJ, NY, TN. IAPD ↗
$518.1M RAUM · 6 reps · 571-765-1890 · centurionwealth.com
ComplianceMarketing & brand
53
CONCURRENT INVESTMENT ADVISORS, LLC notice-filed in DE, RI, SD, WY. IAPD ↗
$6.26B RAUM · 123 reps · (813) 575-2652 · adalanpw.com
ComplianceMarketing & brand
53
UNITED ADVISOR GROUP notice-filed in AR, AZ, GA, LA, NY, OK, PA, VA. IAPD ↗
$578.8M RAUM · 28 reps · 888.242.4912 · uagria.com
ComplianceMarketing & brand
53
THE PINES WEALTH MANAGEMENT, LLC notice-filed in CA, MD, NH, NJ, TX, VA. IAPD ↗
$338.1M RAUM · 3 reps · (910) 475-8312 · thepineswealth.com
ComplianceMarketing & brand
53
EAGLE WEALTH MANAGEMENT GROUP INC. notice-filed in AZ, GA, NV, PA, SC, TX. IAPD ↗
$310.7M RAUM · 4 reps · 661-257-9800 · eagleretirementplans.com
ComplianceMarketing & brand
53
FAIRVOY PRIVATE WEALTH, LLC notice-filed in FL, GA, LA, MS, NH, NY, TN, TX. IAPD ↗
$460.2M RAUM · 6 reps · (205)578-6250 · fairvoypw.com
ComplianceMarketing & brand
53
DIVERSIFY WEALTH MANAGEMENT, LLC notice-filed in AK, AL, AR, CA, CT, DC, GA, HI, IA, ID, IL, IN, KS, KY, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NH, NJ, NM, NV, NY, OH, OK, OR, RI, SC, SD, TN, VT, WI, WV, WY. IAPD ↗
$458.1M RAUM · 24 reps · 801-838-9999 · caliberwealthmanagement.com
ComplianceMarketing & brand
53
FELLOWSHIP FINANCIAL PLANNING notice-filed in AZ, CA, FL, MT, OR, TX. IAPD ↗
$312.7M RAUM · 6 reps · 5094739483 · fellowshipfinancialplanning.com
ComplianceMarketing & brand
51
AVIOR WEALTH MANAGEMENT, LLC notice-filed in MA, MT, PA. IAPD ↗
$3.99B RAUM · 97 reps · 402-218-4064
ComplianceMarketing & brand
51
WR WEALTH PLANNERS LLC notice-filed in CA, SC, TN, WI. IAPD ↗
$482.2M RAUM · 14 reps · 573-875-3939 · wrwealth.com
ComplianceMarketing & brand
51
CARRICK LANE LLC notice-filed in AZ, DE, MI. IAPD ↗
$1.44B RAUM · 5 reps · 212-433-8450
ComplianceMarketing & brand
50
GLENORCHY CAPITAL LIMITED notice-filed in HI, MN, MO, OR, TN, WA. IAPD ↗
$174.6M RAUM · 2 reps · 61416433041 · glenorchycapital.net
ComplianceMarketing & brand
50
TREASURY INTERACTIVE INVESTMENT ADVISERS LLC notice-filed in AK, AL, AR, CT, HI, ID, KY, MO, MT, NV, VT, WV. IAPD ↗
$0 RAUM · 2 reps · 6466853046 · treasury.app
ComplianceMarketing & brand
50
DEMETER TACTICAL INVESTMENTS CORP. notice-filed in FL, IN, LA, MD, NC, OH, TX, VA, WI. IAPD ↗
$101.0M RAUM · 1 reps · 2125184444 · demeter-funds.com
ComplianceMarketing & brand
50
ROCKBRIDGE CAPITAL MANAGEMENT notice-filed in CA, DC, FL, GA, HI, MD, SC. IAPD ↗
$137.9M RAUM · 3 reps · 703.628.1036
ComplianceMarketing & brand
50
WELLTH ADVISORY SERVICES, LLC notice-filed in CO, CT, DC, KS, LA, MA, ME, MO, MS, NE, NH, PA, UT, WV. IAPD ↗
$0 RAUM · 67 reps · 866-777-4015 · srpretire.com
ComplianceMarketing & brand
49
PLAN GROUP FINANCIAL, INC. notice-filed in AZ, GA, NC. IAPD ↗
$346.9M RAUM · 14 reps · 405-848-1099 · plangroup.com
ComplianceMarketing & brand
49
THE RETIREMENT PLANNING GROUP, LLC notice-filed in NJ, NY. IAPD ↗
$2.01B RAUM · 19 reps · 913-498-8898
ComplianceMarketing & brand
49
TIEDEMANN ADVISORS, LLC notice-filed in IL, MN. IAPD ↗
$25.30B RAUM · 64 reps · 212-396-5900
ComplianceMarketing & brand
49
KINGDOM FINANCIAL GROUP, LLC notice-filed in FL, MO, SC. IAPD ↗
$295.0M RAUM · 17 reps · 623-974-0300
ComplianceMarketing & brand
49
GREENUP STREET WEALTH MANAGEMENT LLC notice-filed in GA, KY, OR. IAPD ↗
$510.8M RAUM · 14 reps · 734-656-8121
ComplianceMarketing & brand
49
SMITH THORNTON ADVISORS, LLC notice-filed in FL, GA, TN. IAPD ↗
$735.4M RAUM · 4 reps · 256-715-7715 · smiththornton.com
ComplianceMarketing & brand
49
ARMSTRONG ADVISORY GROUP INC. notice-filed in LA, MN. IAPD ↗
$1.22B RAUM · 10 reps · (781) 433-0001 · armstrongadvisory.com
ComplianceMarketing & brand
48
NECTARINE notice-filed in MO, SC, TN, UT. IAPD ↗
$0 RAUM · 19 reps · (858) 779-0115
ComplianceMarketing & brand
48
917 ADVISORY SERVICES LLC notice-filed in CA, ID, MT, OR. IAPD ↗
$0 RAUM · 2 reps · 509-328-5627 · johnschram.com
ComplianceMarketing & brand
47
CANTERBURY CONSULTING INCORPORATED notice-filed in CO. IAPD ↗
$6.61B RAUM · 21 reps · 949-721-9580
ComplianceMarketing & brand
47
PRIVATE MANAGEMENT GROUP INC notice-filed in AL. IAPD ↗
$4.17B RAUM · 18 reps · 949-752-7500 · privatemanagementgroup.com
ComplianceMarketing & brand
47
WINGATE WEALTH ADVISORS, INC. notice-filed in MD. IAPD ↗
$1.21B RAUM · 15 reps · 781-862-7100
ComplianceMarketing & brand
47
BARROW HANLEY GLOBAL INVESTORS notice-filed in HI. IAPD ↗
$49.87B RAUM · 46 reps · 214-665-1900 · barrowhanley.com
ComplianceMarketing & brand
47
VANTAGE FINANCIAL GROUP, INC. notice-filed in OR, VA. IAPD ↗
$720.3M RAUM · 21 reps · 216-642-7878 · vanfin.com
ComplianceMarketing & brand
47
F L PUTNAM INVESTMENT MANAGEMENT CO. notice-filed in LA. IAPD ↗
$6.17B RAUM · 60 reps · 800-344-3435
ComplianceMarketing & brand
47
ONEDIGITAL INVESTMENT ADVISORS notice-filed in VI. IAPD ↗
$107.10B RAUM · 380 reps · 877-742-2021
ComplianceMarketing & brand
47
WINDWARD CAPITAL MANAGEMENT CO notice-filed in AZ. IAPD ↗
$1.18B RAUM · 5 reps · 310-893-3000 · windwardcapital.com
ComplianceMarketing & brand
47
MSA FINANCIAL notice-filed in WA. IAPD ↗
$1.00B RAUM · 8 reps · 781-843-3500
ComplianceMarketing & brand
47
J. L. BAINBRIDGE & CO., INC. notice-filed in IN. IAPD ↗
$1.11B RAUM · 4 reps · 941-365-3435
ComplianceMarketing & brand
47
NORTHWEST CAPITAL MANAGEMENT INC. notice-filed in TX. IAPD ↗
$6.86B RAUM · 8 reps · 503-597-1616
ComplianceMarketing & brand
47
MANCHESTER CAPITAL MANAGEMENT LLC notice-filed in NY. IAPD ↗
$3.69B RAUM · 12 reps · 802-362-4410 · mcmllc.com
ComplianceMarketing & brand
47
FINANCIAL SECURITY ADVISORY INC notice-filed in DC. IAPD ↗
$1.32B RAUM · 45 reps · 757-431-1414 · gofsg.com
ComplianceMarketing & brand
47
BENIN MANAGEMENT CORP notice-filed in PA, SC. IAPD ↗
$488.7M RAUM · 3 reps · 203-762-3295 · beninmanagement.com
ComplianceMarketing & brand
47
SFM, LLC notice-filed in CA, VT. IAPD ↗
$279.8M RAUM · 4 reps · 603-625-8400
ComplianceMarketing & brand
47
FINANCIAL & TAX ARCHITECTS, LLC notice-filed in AL, IN. IAPD ↗
$409.9M RAUM · 23 reps · 314-858-1122 · professionalgroupinc.com
ComplianceMarketing & brand
47
AVIDIAN WEALTH SOLUTIONS notice-filed in IL. IAPD ↗
$3.11B RAUM · 32 reps · 281-822-8800 · retirementsurvivalguide.com
ComplianceMarketing & brand
47
ESSEX FINANCIAL SERVICES, INC. notice-filed in LA. IAPD ↗
$3.38B RAUM · 39 reps · 860-767-4300 · essexfinancialservices.net
ComplianceMarketing & brand
47
MJP WEALTH ADVISORS notice-filed in OH. IAPD ↗
$1.06B RAUM · 11 reps · 860-677-7755
ComplianceMarketing & brand
47
SUMMITRY, LLC notice-filed in MO. IAPD ↗
$2.45B RAUM · 19 reps · 650-212-2240 · summitry.com
ComplianceMarketing & brand
47
STAIRWAY PARTNERS, LLC notice-filed in CO. IAPD ↗
$1.98B RAUM · 4 reps · 630-371-2626 · stairwaypartners.com
ComplianceMarketing & brand
47
J.J. BURNS & COMPANY notice-filed in GA, NC. IAPD ↗
$885.3M RAUM · 7 reps · 631-390-0500
ComplianceMarketing & brand
47
CLINTON INVESTMENT MANAGEMENT, LLC notice-filed in DE. IAPD ↗
$2.85B RAUM · 10 reps · (203) 276-6246 · clintoninvestment.com
ComplianceMarketing & brand
47
INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC notice-filed in AZ, GA. IAPD ↗
$953.8M RAUM · 16 reps · 716-568-8566 · iswealthmanagement.com
ComplianceMarketing & brand
47
CORE CAPITAL MANAGEMENT AND RESEARCH INC. notice-filed in MN. IAPD ↗
$1.33B RAUM · 4 reps · 713-864-4300 · ccmr.io
ComplianceMarketing & brand
47
MALAGA COVE CAPITAL, LLC notice-filed in AZ, NH. IAPD ↗
$260.6M RAUM · 3 reps · (310) 421-2141 · malagacovecapital.com
ComplianceMarketing & brand
47
SOVEREIGN INVESTMENT ADVISORS LLC notice-filed in NE. IAPD ↗
$2.33B RAUM · 6 reps · 480-385-2850 · sovereigninvestmentadvisors.com
ComplianceMarketing & brand
47
MODERA WEALTH MANAGEMENT, LLC notice-filed in VT. IAPD ↗
$12.53B RAUM · 100 reps · (201) 768-4600
ComplianceMarketing & brand
47
PROSPERITY CAPITAL ADVISORS notice-filed in SD. IAPD ↗
$2.25B RAUM · 104 reps · 888-240-0064
ComplianceMarketing & brand
47
EAST ROCK CAPITAL, LLC notice-filed in FL. IAPD ↗
$3.64B RAUM · 14 reps · 212-630-5000 · eastrockcap.com
ComplianceMarketing & brand
47
CLARO ADVISORS, LLC notice-filed in VT. IAPD ↗
$1.02B RAUM · 17 reps · (800) 604-2838 · claroadvisorspatrickmcnamara.com
ComplianceMarketing & brand
47
TRUE PRIVATE WEALTH ADVISORS, LLC notice-filed in NH. IAPD ↗
$1.24B RAUM · 21 reps · 503-400-3311
ComplianceMarketing & brand
47
B.O.S.S. RETIREMENT ADVISORS, LLC notice-filed in OK, VT. IAPD ↗
$764.0M RAUM · 36 reps · 801-990-5055 · getmorewithboss.com
ComplianceMarketing & brand
47
GLOBAL RETIREMENT PARTNERS LLC notice-filed in VI. IAPD ↗
$140.72B RAUM · 493 reps · 415-526-2753 · grpfinancial.com
ComplianceMarketing & brand
47
FORT PITT CAPITAL GROUP, LLC notice-filed in AL. IAPD ↗
$5.16B RAUM · 47 reps · 412-921-1822 · focusfinancialpartners.com
ComplianceMarketing & brand
47
KOVITZ INVESTMENT GROUP PARTNERS, LLC notice-filed in SD. IAPD ↗
$11.29B RAUM · 122 reps · 312-334-7300 · kovitz.com
ComplianceMarketing & brand
47
REQUISITE CAPITAL MANAGEMENT LLC notice-filed in AZ. IAPD ↗
$1.66B RAUM · 6 reps · (469) 373-3399
ComplianceMarketing & brand
47
BOGART WEALTH, LLC notice-filed in WA. IAPD ↗
$2.62B RAUM · 20 reps · (703) 570-8651 · bogartwealth.com
ComplianceMarketing & brand
47
VANGUARD PERSONALIZED INDEXING MANAGEMENT notice-filed in IL. IAPD ↗
$4.35B RAUM · 4 reps · 510-462-5230
ComplianceMarketing & brand
47
PENOBSCOT FINANCIAL ADVISORS notice-filed in NC, PA. IAPD ↗
$405.0M RAUM · 9 reps · (207) 990-1901
ComplianceMarketing & brand
47
VENTURE VISIONARY PARTNERS LLC notice-filed in WA. IAPD ↗
$3.92B RAUM · 16 reps · (419) 464-7401
ComplianceMarketing & brand
47
VON BORSTEL & ASSOCIATES notice-filed in CO, ID. IAPD ↗
$504.4M RAUM · 3 reps · 541-296-6669
ComplianceMarketing & brand
47
SONORA INVESTMENT MANAGEMENT notice-filed in LA. IAPD ↗
$1.96B RAUM · 12 reps · 520-624-4554 · focusfinancialpartners.com
ComplianceMarketing & brand
47
PRIVATE WEALTH ASSET MANAGEMENT notice-filed in MN. IAPD ↗
$1.61B RAUM · 20 reps · 515-328- 8872
ComplianceMarketing & brand
47
PREMIER PATH WEALTH PARTNERS, LLC notice-filed in GA, NC. IAPD ↗
$814.5M RAUM · 4 reps · 973-671-6530 · premierpath.com
ComplianceMarketing & brand
47
SYNTRINSIC LLC notice-filed in VA. IAPD ↗
$1.75B RAUM · 12 reps · 303-296-7100
ComplianceMarketing & brand
46
RELATION WEALTH MANAGEMENT, INC. notice-filed in AR, NC, TX. IAPD ↗
$0 RAUM · 5 reps · 918-295-7410 · relationwealth.com
ComplianceMarketing & brand
45
TOBIAS FINANCIAL ADVISORS notice-filed in MA. IAPD ↗
$756.2M RAUM · 8 reps · 954-424-1660
ComplianceMarketing & brand
45
EXCHANGE CAPITAL MANAGEMENT INC notice-filed in CO. IAPD ↗
$744.1M RAUM · 10 reps · 734-761-6500
ComplianceMarketing & brand
45
BURT WEALTH ADVISORS notice-filed in NH. IAPD ↗
$796.1M RAUM · 9 reps · 301-770-9880
ComplianceMarketing & brand
45
SIGNET FINANCIAL MANAGEMENT, LLC notice-filed in AZ. IAPD ↗
$949.4M RAUM · 15 reps · (973) 543-6660
ComplianceMarketing & brand
45
NIGHT OWL CAPITAL MANAGEMENT, LLC notice-filed in LA. IAPD ↗
$652.7M RAUM · 6 reps · 203-302-3870 · nightowlcapital.com
ComplianceMarketing & brand
45
WFA ASSET MANAGEMENT CORP notice-filed in AZ. IAPD ↗
$373.9M RAUM · 5 reps · 414-727-8181
ComplianceMarketing & brand
45
ASSET ADVISORY GROUP, INC. notice-filed in TX. IAPD ↗
$374.1M RAUM · 2 reps · 973-492-0808 · assetadvisorygroup.com
ComplianceMarketing & brand
45
FRAZIER FINANCIAL ADVISORS, LLC notice-filed in WA. IAPD ↗
$767.9M RAUM · 14 reps · 614-793-8297 · frazierfinancial.com
ComplianceMarketing & brand
45
ESSEX LLC notice-filed in VA. IAPD ↗
$474.3M RAUM · 7 reps · 847-777-7800
ComplianceMarketing & brand
45
SK WEALTH MANAGEMENT, LLC notice-filed in NY. IAPD ↗
$429.2M RAUM · 4 reps · 401-331-1575 · skwealth.com
ComplianceMarketing & brand
45
EVANS CAPITAL MANAGEMENT ASSOCIATES notice-filed in TX. IAPD ↗
$463.9M RAUM · 3 reps · 425-455-0501 · rlevansco.net
ComplianceMarketing & brand
45
MILLENNIUM ADVISORY SERVICES, INC. notice-filed in DC. IAPD ↗
$707.5M RAUM · 18 reps · 804-346-1040 · mas-edu.com
ComplianceMarketing & brand
45
WRIGHT ASSOCIATES notice-filed in NY. IAPD ↗
$305.6M RAUM · 4 reps · 412-854-2100 · kswrightassociates.com
ComplianceMarketing & brand
45
QUANTUM FINANCIAL SERVICES INC. notice-filed in CA. IAPD ↗
$486.4M RAUM · 2 reps · 317-845-1786 · quantumfinancialinc.com
ComplianceMarketing & brand
45
DOPKINS WEALTH MANAGEMENT, LLC notice-filed in MA. IAPD ↗
$618.0M RAUM · 5 reps · 716-634-8800
ComplianceMarketing & brand
45
JEFFREY N. MEHLER, CFP LLC notice-filed in NJ. IAPD ↗
$323.2M RAUM · 3 reps · 860-767-9700 · jnmehler.com
ComplianceMarketing & brand
45
THE INSTITUTE notice-filed in TN. IAPD ↗
$926.9M RAUM · 0 reps · 303-572-3500
ComplianceMarketing & brand
45
GENERATION CAPITAL MANAGEMENT LLC notice-filed in OH. IAPD ↗
$916.6M RAUM · 2 reps · 585-232-8560
ComplianceMarketing & brand
45
PERENNIAL ADVISORS GROUP, LLC notice-filed in ME. IAPD ↗
$287.1M RAUM · 3 reps · 978-577-6025 · perennialadvisorsgroup.com
ComplianceMarketing & brand
45
WATTS GWILLIAM & COMPANY, LLC notice-filed in NC. IAPD ↗
$604.6M RAUM · 7 reps · 480-889-8998 · wattsgwilliam.com
ComplianceMarketing & brand
45
CL WEALTH MANAGEMENT LLC notice-filed in ME. IAPD ↗
$532.8M RAUM · 43 reps · 212-388-6200 · bridgeportinvest.com
ComplianceMarketing & brand
45
ARCHER INVESTMENT CORPORATION notice-filed in HI. IAPD ↗
$749.2M RAUM · 82 reps · 317-581-5664 · jwesofinancial.com
ComplianceMarketing & brand
45
EDGE FINANCIAL ADVISORS, LLC notice-filed in CA. IAPD ↗
$362.4M RAUM · 6 reps · 630-221-1000
ComplianceMarketing & brand
45
STONE HOUSE INVESTMENT MANAGEMENT, LLC notice-filed in SC. IAPD ↗
$544.5M RAUM · 12 reps · (570) 836-7020
ComplianceMarketing & brand
45
CEDAR MOUNTAIN ADVISORS, LLC notice-filed in WI. IAPD ↗
$870.1M RAUM · 6 reps · 503-224-6868 · cmapdx.com
ComplianceMarketing & brand
45
PEIRCE CAPITAL MANAGEMENT, LLC notice-filed in NH. IAPD ↗
$407.2M RAUM · 5 reps · (281) 858-3524 · peircecap.com
ComplianceMarketing & brand
45
BAYSHORE WEALTH ADVISORS notice-filed in TX. IAPD ↗
$595.4M RAUM · 3 reps · 786-888-9400 · bayshorewealth.com
ComplianceMarketing & brand
45
CAPE INVESTMENT ADVISORY, INC. notice-filed in UT. IAPD ↗
$365.2M RAUM · 40 reps · 678-583-1120 · sequoiaadvisoryservices.com
ComplianceMarketing & brand
45
CMH WEALTH MANAGEMENT, LLC notice-filed in PA. IAPD ↗
$695.1M RAUM · 5 reps · (603) 379-8161
ComplianceMarketing & brand
45
LATITUDE ADVISORS, LLC notice-filed in WI. IAPD ↗
$340.4M RAUM · 73 reps · 772-770-1950 · latitudefinancial.net
ComplianceMarketing & brand
45
CHERRY TREE WEALTH MANAGEMENT, LLC notice-filed in MI. IAPD ↗
$553.9M RAUM · 8 reps · 952-893-9012
ComplianceMarketing & brand
45
STRATEGIC INVESTMENT ADVISORS, LLC notice-filed in NV. IAPD ↗
$947.1M RAUM · 11 reps · 248-567-6688 · retirementplanningedu.com
ComplianceMarketing & brand
45
FINANCIAL CONCEPTS notice-filed in IL. IAPD ↗
$760.0M RAUM · 3 reps · 662-327-1480
ComplianceMarketing & brand
45
UNITED CAPITAL MANAGEMENT OF KANSAS, INC. notice-filed in WI. IAPD ↗
$459.8M RAUM · 19 reps · 785-823-7900 · ucmofkansas.com
ComplianceMarketing & brand
45
SOLOMON API LLC notice-filed in IL. IAPD ↗
$280.0M RAUM · 3 reps · 321-888-2599 · arseneauadvisory.com
ComplianceMarketing & brand
45
OAK GROVE CAPITAL, LLC notice-filed in NJ. IAPD ↗
$340.9M RAUM · 1 reps · 412-515-8899 · oakgrovecapitalllc.com
ComplianceMarketing & brand
45
OCCIDENTAL ASSET MANAGEMENT, LLC notice-filed in VA. IAPD ↗
$625.5M RAUM · 10 reps · 650-344-1600 · yourmentalwealthadvisors.com
ComplianceMarketing & brand
45
JPS FINANCIAL, LLC notice-filed in TX. IAPD ↗
$285.9M RAUM · 3 reps · 440-899-6350 · jpsfinancial.com
ComplianceMarketing & brand
45
BLUEPRINT INVESTMENT PARTNERS LLC notice-filed in TX. IAPD ↗
$849.4M RAUM · 7 reps · 336-609-7522
ComplianceMarketing & brand
45
GEOMETRIC WEALTH ADVISORS, LLC notice-filed in NC. IAPD ↗
$843.7M RAUM · 7 reps · (973) 525-4901 · geometricadvisors.com
ComplianceMarketing & brand
45
FIDUCIARY FINANCIAL ADVISORS notice-filed in MD. IAPD ↗
$555.4M RAUM · 22 reps · 6166223062
ComplianceMarketing & brand
45
TSFG, LLC notice-filed in ME. IAPD ↗
$649.1M RAUM · 9 reps · 847-735-7100
ComplianceMarketing & brand
45
KEELER & NADLER FAMILY WEALTH notice-filed in NC. IAPD ↗
$409.0M RAUM · 7 reps · 614-791-4123
ComplianceMarketing & brand
45
LINEWEAVER WEALTH ADVISORS notice-filed in NC. IAPD ↗
$751.2M RAUM · 6 reps · 216-520-1711 · lineweaver.net
ComplianceMarketing & brand
45
MIDWEST FINANCIAL GROUP LLC notice-filed in IL. IAPD ↗
$433.7M RAUM · 7 reps · 913-696-0041 · midwestfinancialkc.com
ComplianceMarketing & brand
45
GIBBS WEALTH MANAGEMENT, LLC notice-filed in SC. IAPD ↗
$391.4M RAUM · 10 reps · 678-694-8770
ComplianceMarketing & brand
45
HILLTOP WEALTH ADVISORS, LLC notice-filed in GA. IAPD ↗
$432.7M RAUM · 6 reps · (919) 401-1500
ComplianceMarketing & brand
45
PLUM STREET ADVISORS, LLC notice-filed in SC. IAPD ↗
$261.5M RAUM · 6 reps · 504-517-5107 · plumstreetadvisors.com
ComplianceMarketing & brand
45
CLARK ASSET MANAGEMENT, LLC notice-filed in TN. IAPD ↗
$457.3M RAUM · 4 reps · 603-237-1341
ComplianceMarketing & brand
45
SFG WEALTH MANAGEMENT notice-filed in OH. IAPD ↗
$556.3M RAUM · 15 reps · 410-825-3200
ComplianceMarketing & brand
45
O'KEEFE STEVENS ADVISORY, INC. notice-filed in DC. IAPD ↗
$323.1M RAUM · 3 reps · 585-340-6538 · okeefestevens.com
ComplianceMarketing & brand
45
LITTLE HOUSE CAPITAL, LLC notice-filed in DE. IAPD ↗
$532.1M RAUM · 7 reps · 617-545-5600
ComplianceMarketing & brand
45
CENTURA WEALTH ADVISORY notice-filed in PA. IAPD ↗
$643.0M RAUM · 20 reps · 858-771-9500
ComplianceMarketing & brand
45
MEADOW CREEK WEALTH ADVISORS, LLC notice-filed in LA. IAPD ↗
$569.8M RAUM · 5 reps · 470-359-9270 · meadowcreekwealthadvisors.com
ComplianceMarketing & brand
45
WEALTHSPRING CAPITAL LLC notice-filed in IL. IAPD ↗
$503.4M RAUM · 3 reps · 914-419-2207 · wealthspringcapital.com
ComplianceMarketing & brand
45
MADISON PARTNERS notice-filed in TN. IAPD ↗
$559.0M RAUM · 9 reps · 608-210-1021
ComplianceMarketing & brand
45
VELA INVESTMENT MANAGEMENT, LLC notice-filed in TX. IAPD ↗
$397.9M RAUM · 14 reps · (614) 653-8352 · vela-im.com
ComplianceMarketing & brand
45
ATTESSA CAPITAL LLC notice-filed in CA. IAPD ↗
$259.1M RAUM · 8 reps · 520-600-3064 · attessacapital.com
ComplianceMarketing & brand
45
INTERCHANGE CAPITAL PARTNERS notice-filed in MA. IAPD ↗
$269.6M RAUM · 6 reps · 412-307-4230 · interchangecp.com
ComplianceMarketing & brand
45
RETIREMENT PLANNING SOLUTIONS, LLC notice-filed in SC. IAPD ↗
$285.4M RAUM · 11 reps · 502-499-5668 · retirementplanningsolutions.com
ComplianceMarketing & brand
45
UNIQUE WEALTH, LLC notice-filed in NJ. IAPD ↗
$626.5M RAUM · 9 reps · 813-816-2030 · uniquewealth.com
ComplianceMarketing & brand
45
GOLDEN STATE ASSET MANAGEMENT notice-filed in WY. IAPD ↗
$515.0M RAUM · 5 reps · 866-273-1563 · goldenstateam.com
ComplianceMarketing & brand
45
KOOMAN & ASSOCIATES notice-filed in SC. IAPD ↗
$411.3M RAUM · 5 reps · 814-941-4800 · kooman.com
ComplianceMarketing & brand
45
UPTICK PARTNERS, LLC notice-filed in AL. IAPD ↗
$398.6M RAUM · 6 reps · (936) 800-0800 · holisticplanning.com
ComplianceMarketing & brand
45
FIDUCIARY BENEFITS GROUP notice-filed in ID. IAPD ↗
$651.5M RAUM · 3 reps · 844-967-8491
ComplianceMarketing & brand
45
DRUCKER WEALTH notice-filed in LA. IAPD ↗
$580.5M RAUM · 5 reps · (212) 681-0460
ComplianceMarketing & brand
45
AURDAN CAPITAL MANAGEMENT, LLC notice-filed in NJ. IAPD ↗
$401.0M RAUM · 3 reps · 484-254-1935 · aurdancapital.com
ComplianceMarketing & brand
44
SMITH ASSET MANAGEMENT CO., LLC notice-filed in NC, TN. IAPD ↗
$233.7M RAUM · 4 reps · 352-493-7700
ComplianceMarketing & brand
44
SOUTHEAST FINANCIAL GROUP notice-filed in IL, MA. IAPD ↗
$177.8M RAUM · 3 reps · 919-544-0500 · sefgroup.com
ComplianceMarketing & brand
44
ASSUREDPARTNERS INVESTMENT ADVISORS notice-filed in MO, UT. IAPD ↗
$179.0M RAUM · 15 reps · 407-708-0050
ComplianceMarketing & brand
44
ENVISION FINANCIAL LLC notice-filed in FL, IL. IAPD ↗
$227.6M RAUM · 2 reps · 262-354-7155 · envisionfinancial-llc.com
ComplianceMarketing & brand
44
DISCIPLINE WEALTH SOLUTIONS, INC. notice-filed in NJ, NY. IAPD ↗
$93.0M RAUM · 3 reps · 864-322-6046 · stahlneckergroup.com
ComplianceMarketing & brand
44
EARNED WEALTH notice-filed in LA, VA. IAPD ↗
$106.6M RAUM · 7 reps · (914) 417-4556
ComplianceMarketing & brand
44
FUNDIFY ADVISORS LLC notice-filed in CA, FL. IAPD ↗
$0 RAUM · 3 reps · 512-645-1010 · fundify.com
ComplianceMarketing & brand
44
WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC notice-filed in FL, MA. IAPD ↗
$237.5M RAUM · 4 reps · 626-689-7181 · williamsnovakwm.com
ComplianceMarketing & brand
44
POSITION WEALTH notice-filed in AZ, NV. IAPD ↗
$166.4M RAUM · 2 reps · 281-968-2780
ComplianceMarketing & brand
44
ACCELERATE RETIREMENT notice-filed in FL, OR. IAPD ↗
$173.5M RAUM · 18 reps · 888-439-7071
ComplianceMarketing & brand
44
WEALTHCARE CAPITAL PARTNERS, LLC notice-filed in IA, VA. IAPD ↗
$0 RAUM · 1 reps · 804.644.4711
ComplianceMarketing & brand
42
NORTHLAND ASSET MANAGEMENT notice-filed in VT. IAPD ↗
$236.7M RAUM · 19 reps · 800-851-2920
ComplianceMarketing & brand
42
GARDEY FINANCIAL ADVISORS INC notice-filed in MA. IAPD ↗
$228.4M RAUM · 2 reps · 989-791-3880
ComplianceMarketing & brand
42
FLYING POINT FINANCIAL, INC. notice-filed in SC. IAPD ↗
$168.5M RAUM · 3 reps · 978-975-3000 · flyingpointfinancial.com
ComplianceMarketing & brand
42
MWA FINANCIAL SERVICES, INC. notice-filed in CT. IAPD ↗
$216.1M RAUM · 115 reps · 309-558-3100
ComplianceMarketing & brand
42
CLARITY ASSET MANAGEMENT, INC. notice-filed in NE. IAPD ↗
$204.3M RAUM · 4 reps · 515-233-3152 · clarityinvestments.com
ComplianceMarketing & brand
42
TURLOFF FINANCIAL CONSULTING INC. notice-filed in TX. IAPD ↗
$134.9M RAUM · 1 reps · 206 842-1422 · turloff.com
ComplianceMarketing & brand
42
MICHAEL J. PORRO & CO. FINANCIAL ADVISOR INC notice-filed in FL. IAPD ↗
$119.6M RAUM · 2 reps · 201-768-0218 · porrofinancialadvisors.com
ComplianceMarketing & brand
42
ECONOLOGICS FINANCIAL ADVISORS notice-filed in WA. IAPD ↗
$114.2M RAUM · 5 reps · 727-588-1540
ComplianceMarketing & brand
42
FINLEY FINANCIAL, LLC notice-filed in NV. IAPD ↗
$176.0M RAUM · 1 reps · 503-474-3535 · finleyfinancial.com
ComplianceMarketing & brand
42
TURNER FINANCIAL GROUP, INC. notice-filed in DE. IAPD ↗
$115.7M RAUM · 4 reps · 850-995-1797 · turnerfg.com
ComplianceMarketing & brand
42
GUNDERSON CAPITAL MANAGEMENT notice-filed in NY. IAPD ↗
$227.7M RAUM · 2 reps · 760-846-2046 · pwstreet.podbean.com
ComplianceMarketing & brand
42
HIGHLAND INVESTMENT ADVISORS LLC notice-filed in TX. IAPD ↗
$239.2M RAUM · 10 reps · 414-755-2309 · highlandinvestmentadvisors.com
ComplianceMarketing & brand
42
YANNI & ASSOCIATES INVESTMENT ADVISORS, LLC notice-filed in CA. IAPD ↗
$141.0M RAUM · 2 reps · 724-940-0310 · yanniassociates.com
ComplianceMarketing & brand
42
CAIM LLC notice-filed in TX. IAPD ↗
$111.6M RAUM · 2 reps · 941-388-7249
ComplianceMarketing & brand
42
FREESTATE ADVISORS LLC notice-filed in AZ. IAPD ↗
$134.8M RAUM · 8 reps · 913-890-2065
ComplianceMarketing & brand
42
MAIN STREET INVESTMENT ADVISORS, LLC notice-filed in CA. IAPD ↗
$175.0M RAUM · 3 reps · 847-480-7055 · mainstinvest.com
ComplianceMarketing & brand
42
ELE ADVISORY SERVICES, INC notice-filed in SC. IAPD ↗
$99.9M RAUM · 11 reps · 248-356-6555 · elewealth.com
ComplianceMarketing & brand
42
BREAKWATER INVESTMENT MANAGEMENT notice-filed in VA. IAPD ↗
$234.2M RAUM · 1 reps · 206.621.8832 · breakwater.com
ComplianceMarketing & brand
42
PHYSICIAN WEALTH SOLUTIONS notice-filed in TN. IAPD ↗
$230.7M RAUM · 1 reps · 404-386-7641
ComplianceMarketing & brand
42
WELCY CAPITAL ADVISORS LLC notice-filed in NJ. IAPD ↗
$150.6M RAUM · 3 reps · 786.353.0036 · welcycap.com
ComplianceMarketing & brand
42
ALLOS INVESTMENT ADVISORS, LLC notice-filed in AR. IAPD ↗
$51.3M RAUM · 7 reps · 913-948-7788
ComplianceMarketing & brand
42
WAYPOINT WEALTH MANAGEMENT notice-filed in VA. IAPD ↗
$193.6M RAUM · 3 reps · 410-561-3994 · waypointwm.com
ComplianceMarketing & brand
42
WEALTHTRAK ADVISORS notice-filed in SC. IAPD ↗
$140.6M RAUM · 4 reps · 757-523-1250 · wealthtrakcm.com
ComplianceMarketing & brand
42
LANDMARK WEALTH ADVISORS, LLC notice-filed in TX. IAPD ↗
$108.3M RAUM · 2 reps · 801-295-8700 · landmarkwa.com
ComplianceMarketing & brand
42
YES WEALTH MANAGEMENT notice-filed in MI. IAPD ↗
$113.4M RAUM · 3 reps · (651) 426-5854
ComplianceMarketing & brand
42
MARSHALL INVESTMENT MANAGEMENT, LLC notice-filed in PA. IAPD ↗
$221.6M RAUM · 7 reps · 303-991-6415 · investwithmarshall.com
ComplianceMarketing & brand
42
CITY CENTER ADVISORS, LLC notice-filed in NV. IAPD ↗
$127.9M RAUM · 7 reps · 888-267-1321
ComplianceMarketing & brand
42
GOODSTEIN WEALTH MANAGEMENT LLC notice-filed in WA. IAPD ↗
$128.8M RAUM · 3 reps · 818-995-3500 · goodsteinwealthmanagement.com
ComplianceMarketing & brand
42
DUNHAM LANE CAPITAL PARTNERS LLC notice-filed in CT. IAPD ↗
$98.4M RAUM · 2 reps · 914-607-6950
ComplianceMarketing & brand
42
RETIREWISE TAX AND WEALTH ADVISORS, INC. notice-filed in NE. IAPD ↗
$115.3M RAUM · 5 reps · 785-228-1234
ComplianceMarketing & brand
42
SIEBERT ADVISORNXT, LLC. notice-filed in IA. IAPD ↗
$212.6M RAUM · 24 reps · 800-872-0444 · siebertnxt.com
ComplianceMarketing & brand
42
CEDAR SPRING ADVISORS, LLC notice-filed in NJ. IAPD ↗
$115.4M RAUM · 4 reps · 717-224-1238
ComplianceMarketing & brand
42
BROOKLYN FI, LLC notice-filed in MT. IAPD ↗
$227.5M RAUM · 10 reps · 718-690-3600
ComplianceMarketing & brand
42
ORBA WEALTH ADVISORS, LLC notice-filed in WY. IAPD ↗
$162.5M RAUM · 8 reps · (312) 670-6262
ComplianceMarketing & brand
42
MERITED WEALTH, LLC notice-filed in WI. IAPD ↗
$105.7M RAUM · 4 reps · 305.722.0091 · satwealthman.com
ComplianceMarketing & brand
42
KAUFMAN ROSSIN WEALTH, LLC notice-filed in TX. IAPD ↗
$224.8M RAUM · 6 reps · 305-646-6071 · kaufmanrossinwealth.com
ComplianceMarketing & brand
42
AEGIS WEALTH MANAGEMENT, INC. notice-filed in HI. IAPD ↗
$143.1M RAUM · 30 reps · (833) 483-8383 · mindiemolina.com
ComplianceMarketing & brand
42
TAYLOR SECURITIES SERVICES, INC. notice-filed in TX. IAPD ↗
$124.8M RAUM · 3 reps · 717-232-5808 · taylorretirementservices.com
ComplianceMarketing & brand
42
SMARTPATH ADVISORS notice-filed in IN. IAPD ↗
$0 RAUM · 11 reps · (678) 538-9420
ComplianceMarketing & brand
42
QUILITY FINANCIAL ADVISORS notice-filed in TN. IAPD ↗
$44.5M RAUM · 6 reps · 321-888-2599
ComplianceMarketing & brand
42
YEARWOOD YOUNG ADVISORS notice-filed in NH. IAPD ↗
$55.1M RAUM · 1 reps · 347-338-0278 · yy-advisors.com
ComplianceMarketing & brand
42
NEW AMSTERDAM WEALTH PLANNING notice-filed in NJ. IAPD ↗
$44.4M RAUM · 1 reps · 917-647-5698
ComplianceMarketing & brand
42
INTEGRATED QUANTITATIVE INVESTMENTS LLC notice-filed in MD. IAPD ↗
$163.5M RAUM · 5 reps · 12067175559 · integratedquant.com
ComplianceMarketing & brand
42
CITY DIFFERENT INVESTMENTS notice-filed in NY. IAPD ↗
$114.6M RAUM · 9 reps · 505-416-4550
ComplianceMarketing & brand
42
ADOLOS ASSET MANAGEMENT notice-filed in TX. IAPD ↗
$169.5M RAUM · 2 reps · 3368171604 · adolosam.com
ComplianceMarketing & brand
42
BLUEPRINT FINANCIAL ADVISORS notice-filed in PA. IAPD ↗
$132.5M RAUM · 14 reps · 336-609-7522 · buildyourblueprint.com
ComplianceMarketing & brand
42
WEALTHTECH PARTNERS LLC notice-filed in GA. IAPD ↗
$115.2M RAUM · 3 reps · 866-528-3660
ComplianceMarketing & brand
42
WILLIAMSON LEGACY GROUP, LLC notice-filed in CO. IAPD ↗
$164.9M RAUM · 5 reps · 317-447-3212 · williamsonlegacygroup.com
ComplianceMarketing & brand
42
CAPITAL AND PLANNING, LLC notice-filed in TN. IAPD ↗
$135.2M RAUM · 2 reps · 678-519-5733 · capitalandplanning.com
ComplianceMarketing & brand
42
BURR FINANCIAL SERVICES, LLC notice-filed in WA. IAPD ↗
$118.5M RAUM · 3 reps · 925-676-6007
ComplianceMarketing & brand
42
VIRTUS FINANCIAL PARTNERS notice-filed in MN. IAPD ↗
$77.6M RAUM · 3 reps · 4072678445
ComplianceMarketing & brand
42
CORNERSTONE ADVISORS LLC notice-filed in GA. IAPD ↗
$182.6M RAUM · 7 reps · 501-943-7132
ComplianceMarketing & brand
42
BBVA GLOBAL WEALTH ADVISORS, INC. notice-filed in NY. IAPD ↗
$111.1M RAUM · 14 reps · 434-242-0068 · bbvaglobalwealthadvisors.com
ComplianceMarketing & brand
42
NEW HORIZONS WEALTH MANAGEMENT notice-filed in NH. IAPD ↗
$151.1M RAUM · 2 reps · 973-540-1066
ComplianceMarketing & brand
42
210 FINANCIAL notice-filed in LA. IAPD ↗
$116.8M RAUM · 3 reps · 309-263-1333
ComplianceMarketing & brand
42
STONEPATH WEALTH MANAGEMENT notice-filed in CO. IAPD ↗
$178.0M RAUM · 7 reps · (231) 668-6999
ComplianceMarketing & brand
42
CATALYST WEALTH MANAGEMENT LLC notice-filed in PA. IAPD ↗
$20.6M RAUM · 17 reps · 832-657-7735 · catalystfg.com
ComplianceMarketing & brand
42
IWEALTH notice-filed in IA. IAPD ↗
$191.8M RAUM · 4 reps · 507-835-9111
ComplianceMarketing & brand
42
EPOGEE CAPITAL MANAGEMENT, LLC notice-filed in FL. IAPD ↗
$0 RAUM · 1 reps · 9788867388
ComplianceMarketing & brand
42
BRADY MARTZ WEALTH SOLUTIONS, LLC notice-filed in IA. IAPD ↗
$0 RAUM · 3 reps · 701-223-1717
ComplianceMarketing & brand
39
SIMPLIFY ASSET MANAGEMENT INC. notice-filed in GA, TX. IAPD ↗institutional
$3.18B RAUM · 10 reps · 646-585-0476 · simplify.us
ComplianceMarketing & brand
37
MEEDER PUBLIC FUNDS, INC. notice-filed in SC. IAPD ↗institutional
$54.57B RAUM · 32 reps · 800-325-3539 · meederinvestment.com
ComplianceMarketing & brand
36
FISHER RETIREMENT SOLUTIONS LLC notice-filed in FL, UT, WA. IAPD ↗institutional
$0 RAUM · 1 reps · 650-350-5254
ComplianceMarketing & brand
35
OTRESEARCH notice-filed in CA. IAPD ↗institutional
$802.4M RAUM · 5 reps · 617-308-5935
ComplianceMarketing & brand
32
INVESTMENT CONSULTING SERVICES, LLC notice-filed in KS. IAPD ↗institutional
$0 RAUM · 0 reps · 630-928-1052 · icsllc.org
ComplianceMarketing & brand
32
GLG LLC notice-filed in TX. IAPD ↗fund
$7.42B RAUM · 30 reps · 212-649-6600 · man.com
ComplianceMarketing & brand
32
AUREANA CAPITAL MANAGEMENT, LLC notice-filed in CT. IAPD ↗institutional
$173.6M RAUM · 3 reps · 212-677-7011
ComplianceMarketing & brand
32
CAPSTONE INVESTMENT ADVISORS, LLC notice-filed in TX. IAPD ↗fund
$69.25B RAUM · 108 reps · 212-232-1420
ComplianceMarketing & brand
32
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC notice-filed in FL. IAPD ↗institutional
$169.4M RAUM · 1 reps · 206-745-2136 · euclidean.com
ComplianceMarketing & brand
32
MARINER WEALTH notice-filed in GA. IAPD ↗institutional
$0 RAUM · 37 reps · 913-904-5700
ComplianceMarketing & brand
30
TROLUCE CAPITAL ADVISORS LLC notice-filed in NY. IAPD ↗fund
$449.4M RAUM · 3 reps · 646-347-8801 · troluce.com
ComplianceMarketing & brand
27
MAINLINE INVESTMENT ADVISERS, LLC notice-filed in FL. IAPD ↗fund
$244.8M RAUM · 6 reps · 610-896-3000 · mainlineco.com
ComplianceMarketing & brand
15
SSA WEALTH ADVISORS notice-filed in DE. IAPD ↗foreign
$629.8M RAUM · 5 reps · +41 44 206 60 40 · ssa-wa.com
ComplianceMarketing & brand
new registration — 179 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
100
HIGHMORE CAPITAL, LLC (NEW YORK, NY) is newly SEC-registered with $2.66B RAUM and 3 advisory reps. IAPD ↗
$2.66B RAUM · 3 reps · 646-206-4345
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BOSTONPREMIER WEALTH (HANOVER, MA) is newly SEC-registered with $322.4M RAUM and 5 advisory reps. IAPD ↗
$322.4M RAUM · 5 reps · (617) 934-1100 · bostonpremierwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
OASIS WEALTH PLANNING ADVISORS (location n/a) is newly SEC-registered with $254.4M RAUM and 5 advisory reps. IAPD ↗
$254.4M RAUM · 5 reps · (615) 933-3314 · oasiswealthplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AMERICAN INVESTMENT ADVISORS INC (MADISON, WI) is newly SEC-registered with $114.0M RAUM and 2 advisory reps. IAPD ↗
$114.0M RAUM · 2 reps · 608-238-3500 · aiai.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEWARDSHIP CAPITAL (INDEPENDENCE, MO) is newly SEC-registered with $136.3M RAUM and 3 advisory reps. IAPD ↗
$136.3M RAUM · 3 reps · 816-833-6650 · getyourmoneymoving.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEAK INVESTMENT ADVISORS, INC. (COLORADO SPRINGS, CO) is newly SEC-registered with $130.5M RAUM and 1 advisory reps. IAPD ↗
$130.5M RAUM · 1 reps · 719-260-6475 · peakinvestmentadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TREGER & ASSOCIATES (location n/a) is newly SEC-registered with $130.0M RAUM and 2 advisory reps. IAPD ↗
$130.0M RAUM · 2 reps · 540-464-1418
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DESMOND WEALTH MANAGEMENT, INC. (WALNUT CREEK, CA) is newly SEC-registered with $103.2M RAUM and 2 advisory reps. IAPD ↗
$103.2M RAUM · 2 reps · (925) 932-1994 · desmondwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J M BROWN FINANCIAL PARTNERS (TULSA, OK) is newly SEC-registered with $120.0M RAUM and 4 advisory reps. IAPD ↗
$120.0M RAUM · 4 reps · 918-496-5460 · perfectcalendar.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SULLIVAN FINANCIAL, LLC (ESSEX, CT) is newly SEC-registered with $103.8M RAUM and 2 advisory reps. IAPD ↗
$103.8M RAUM · 2 reps · (860)657-4150 · sullfin.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SONAS FINANCIAL GROUP, INC. (KANSAS CITY, MO) is newly SEC-registered with $116.9M RAUM and 2 advisory reps. IAPD ↗
$116.9M RAUM · 2 reps · 816-753-2210 · sonasfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROUSSARD FINANCIAL GROUP, LLC (KAPLAN, LA) is newly SEC-registered with $100.4M RAUM and 1 advisory reps. IAPD ↗
$100.4M RAUM · 1 reps · 337-643-8319 · broussardfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPASS FINANCIAL GROUP, INC. (DUBLIN, OH) is newly SEC-registered with $114.8M RAUM and 2 advisory reps. IAPD ↗
$114.8M RAUM · 2 reps · 614-791-0093
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HULL WEALTH MANAGEMENT (MURFREESBORO, TN) is newly SEC-registered with $128.0M RAUM and 2 advisory reps. IAPD ↗
$128.0M RAUM · 2 reps · 615 896-1181 · hullwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OFC WEALTH MANAGEMENT (location n/a) is newly SEC-registered with $122.2M RAUM and 2 advisory reps. IAPD ↗
$122.2M RAUM · 2 reps · 973-258-1007
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFS WEALTH MANAGEMENT (MACON, GA) is newly SEC-registered with $135.6M RAUM and 3 advisory reps. IAPD ↗
$135.6M RAUM · 3 reps · 478 471-1875 · cfswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TOWNSEND FINANCIAL PLANNING (MT. STERLING, KY) is newly SEC-registered with $116.0M RAUM and 3 advisory reps. IAPD ↗
$116.0M RAUM · 3 reps · 859-498-2020
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AQUA CAPITAL ADVISORS (LOS ANGELES, CA) is newly SEC-registered with $120.1M RAUM and 2 advisory reps. IAPD ↗
$120.1M RAUM · 2 reps · 310-492-9680 · aquaca.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PATHWAYS WEALTH MANAGEMENT, INC. (location n/a) is newly SEC-registered with $124.8M RAUM and 2 advisory reps. IAPD ↗
$124.8M RAUM · 2 reps · 937-552-9765 · pathwayswm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARBOR INVESTMENT MANAGEMENT (ANN ARBOR, MI) is newly SEC-registered with $122.0M RAUM and 2 advisory reps. IAPD ↗
$122.0M RAUM · 2 reps · 734-6453622 · arborim.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE DOWLING GROUP WEALTH MANAGEMENT (GREENWICH, CT) is newly SEC-registered with $139.7M RAUM and 3 advisory reps. IAPD ↗
$139.7M RAUM · 3 reps · 203-967-2231 · thedowlinggroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WAYPOINTS FINANCIAL (SEBRING, FL) is newly SEC-registered with $114.7M RAUM and 3 advisory reps. IAPD ↗
$114.7M RAUM · 3 reps · 863-402-5650 · waypointsfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SIMA WEALTH PARTNERS, LLC (NORTH CHESTERFIELD, VA) is newly SEC-registered with $135.7M RAUM and 5 advisory reps. IAPD ↗
$135.7M RAUM · 5 reps · 804-285-5700 · simawealthpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
QUANTUM LEAP CAPITAL, LLC (SOUTH BURLINGTON, VT) is newly SEC-registered with $105.0M RAUM and 3 advisory reps. IAPD ↗
$105.0M RAUM · 3 reps · (802) 448-2882
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GREENWICH ADVISORS, LLC (location n/a) is newly SEC-registered with $160.9M RAUM and 2 advisory reps. IAPD ↗
$160.9M RAUM · 2 reps · 203-489-0700 · greenwichadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PINAFORE WEALTH COUNSEL INC. (DURHAM, NC) is newly SEC-registered with $128.7M RAUM and 2 advisory reps. IAPD ↗
$128.7M RAUM · 2 reps · 919-213-0458 · pinaforewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOUNDHAVEN CAPITAL MANAGEMENT (location n/a) is newly SEC-registered with $120.4M RAUM and 1 advisory reps. IAPD ↗
$120.4M RAUM · 1 reps · 818-292-1474 · soundhavencapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARBOR FINANCIAL (ANN ARBOR, MI) is newly SEC-registered with $167.2M RAUM and 1 advisory reps. IAPD ↗
$167.2M RAUM · 1 reps · 734-761-6626 · arborfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FIT WEALTH MANAGEMENT (ENGLEWOOD, CO) is newly SEC-registered with $101.0M RAUM and 3 advisory reps. IAPD ↗
$101.0M RAUM · 3 reps · (303) 618-3587
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BYRON PLACE CAPITAL MANAGEMENT, LLC (METUCHEN, NJ) is newly SEC-registered with $28.8M RAUM and 1 advisory reps. IAPD ↗
$28.8M RAUM · 1 reps · 732-841-6641 · byronplacecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MARSH WEALTH MANAGEMENT, LLC (KNOXVILLE, TN) is newly SEC-registered with $138.5M RAUM and 2 advisory reps. IAPD ↗
$138.5M RAUM · 2 reps · 865-622-2162
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DUET ADVISORY SERVICES LLC (BINGHAM FARMS, MI) is newly SEC-registered with $239.4M RAUM and 2 advisory reps. IAPD ↗
$239.4M RAUM · 2 reps · 248.723.4321
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ENTELECHY (location n/a) is newly SEC-registered with $179.3M RAUM and 1 advisory reps. IAPD ↗
$179.3M RAUM · 1 reps · 202-770-2007
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRATED PLANNING & WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $68.1M RAUM and 3 advisory reps. IAPD ↗
$68.1M RAUM · 3 reps · (317) 706-4748
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DAVIS WEALTH ADVISORS (SALEM, NH) is newly SEC-registered with $135.8M RAUM and 3 advisory reps. IAPD ↗
$135.8M RAUM · 3 reps · 603-836-3477
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WALL STREET FINANCIAL GROUP, INC. (CARLINVILLE, IL) is newly SEC-registered with $115.6M RAUM and 3 advisory reps. IAPD ↗
$115.6M RAUM · 3 reps · 800-303-9255
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE ADVISORS GROUP (LUBBOCK, TX) is newly SEC-registered with $109.8M RAUM and 2 advisory reps. IAPD ↗
$109.8M RAUM · 2 reps · 806-794-3848 · theadvisorsgroup.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAMILY LEGACY PLANNING (BENTONVILLE, AR) is newly SEC-registered with $112.1M RAUM and 3 advisory reps. IAPD ↗
$112.1M RAUM · 3 reps · (479) 273-3040 · flpwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APPLE TREE ASSET MANAGEMENT, LLC (FORT WAYNE, IN) is newly SEC-registered with $115.1M RAUM and 6 advisory reps. IAPD ↗
$115.1M RAUM · 6 reps · 260-637-7278 · appletreefinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BENCHMARK WEALTH MANAGEMENT (BLUE ASH, OH) is newly SEC-registered with $120.6M RAUM and 3 advisory reps. IAPD ↗
$120.6M RAUM · 3 reps · 513-328-0272 · benchmark-wealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ODYSSEY CAPITAL ADVISORS INC. (BALA CYNWYD, PA) is newly SEC-registered with $122.1M RAUM and 3 advisory reps. IAPD ↗
$122.1M RAUM · 3 reps · 484-278-4497 · odysseyadvice.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HILTON HEAD CAPITAL PARTNERS, LLC (HILTON HEAD ISLAND, SC) is newly SEC-registered with $228.2M RAUM and 2 advisory reps. IAPD ↗
$228.2M RAUM · 2 reps · 843-790-7573
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MAVEN CAPITAL PARTNERS, LLC (ATLANTA, GA) is newly SEC-registered with $107.3M RAUM and 4 advisory reps. IAPD ↗
$107.3M RAUM · 4 reps · 404-798-7612 · maven-cap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ASTRA VENTURES (location n/a) is newly SEC-registered with $128.4M RAUM and 2 advisory reps. IAPD ↗
$128.4M RAUM · 2 reps · 901-230-5576 · astravc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOREFRONT (AUSTIN, TX) is newly SEC-registered with $118.2M RAUM and 7 advisory reps. IAPD ↗
$118.2M RAUM · 7 reps · 512-617-1984
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MANUKA FINANCIAL (location n/a) is newly SEC-registered with $109.2M RAUM and 1 advisory reps. IAPD ↗
$109.2M RAUM · 1 reps · 804-293-0397
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RIVER'S EDGE (BEAVER, PA) is newly SEC-registered with $102.3M RAUM and 3 advisory reps. IAPD ↗
$102.3M RAUM · 3 reps · 412-526-8939
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BERGEN PARK CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
$102.2M RAUM · 2 reps · 954 980 5626 · bergenparkcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DAYTONA STREET CAPITAL (SAINT LOUIS, MO) is newly SEC-registered with $141.6M RAUM and 4 advisory reps. IAPD ↗
$141.6M RAUM · 4 reps · 314-727-9479
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BFI WEALTH SOLUTIONS, LLC (DALLAS, TX) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗
$125.0M RAUM · 1 reps · 469-646-0429
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MONTHIE WEALTH ADVISORS (LATHAM, NY) is newly SEC-registered with $29.4M RAUM and 2 advisory reps. IAPD ↗
$29.4M RAUM · 2 reps · 518-786-3534
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAVVLY ADVISOR (BOULDER, CO) is newly SEC-registered (provisional 120-day approval) with $75,208 RAUM and 1 advisory reps. IAPD ↗
$75,208 RAUM · 1 reps · (888)-372-8859
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOLANO WEALTH MANAGEMENT (FAIRFIELD, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · (707) 435-8400 · solanowealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MDRN CAPITAL (ANNAPOLIS, MD) is newly SEC-registered with $101.6M RAUM and 7 advisory reps. IAPD ↗
$101.6M RAUM · 7 reps · 410-533-9966
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STONE WALL FINANCIAL GROUP LLC (SAN ANTONIO, TX) is newly SEC-registered with $1.4M RAUM and 1 advisory reps. IAPD ↗
$1.4M RAUM · 1 reps · (210) 321-9300, EXT. 101 · stonewallfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EL CASTILLO INVESTMENTS (location n/a) is newly SEC-registered with $50,000 RAUM and 1 advisory reps. IAPD ↗
$50,000 RAUM · 1 reps · 786-838-2669 · elcastilloinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BARNES DENNIG PRIVATE WEALTH MANAGEMENT, LLC (CINCINNATI, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · (513) 241-8313 · barnesdennigprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ASHTON THOMAS ADVISORS LLC (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 602-732-4745
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALLEGIANT WEALTH ADVISORS, LLC (TULSA, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (918) 623-4500 · allegiantwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NASEEB (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 630-441-8495 · naseeb.io
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RBT WEALTH LLC (NEWBURGH, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 845-567-9000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CONCURRENT ASSET MANAGEMENT, LLC (TAMPA, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 813-575-2652 · concurrentam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE JEAN FINANCIAL LLC (ALBANY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · (518) 406-8488 · bluejeanfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE ENSEMBLE TEAM (SEATTLE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 360-726-2672 · ensembleteam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CALIBER WEALTH MANAGEMENT, LLC (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗
$0 RAUM · 10 reps · 913-303-3920
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EMPOWER PRIVATE WEALTH (SARASOTA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 941-340-0404 · empowerpw.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DA WEALTH ADVISORS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 847-977-3752
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STURMAN WEALTH ADVISORS (CHARLOTTESVILLE, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (434) 201-2255 · sturmanwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MOMENTUM WEALTH PLANNING (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 716-913-0855 · momentumwealthplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRESCOTT TAX AND WEALTH MANAGEMENT (SAN JUAN CAPISTRANO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 949-248-9815 · prescott500.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAMPTON ROCK WEALTH MANAGEMENT (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 214-251-8210
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIDGE GENERATIONS WEALTH MANAGEMENT (SOUTH MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 305-666-9411 · bridgewm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AGP FRANKLIN, LLC (FRANKLIN, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 615-778-9842 · aspengroveassetmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AUTOPILOT (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 646-574-4316
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PANDORA WEALTH, INC. (OAKBROOK TERRACE, IL) is newly SEC-registered with $205.1M RAUM and 3 advisory reps. IAPD ↗
$205.1M RAUM · 3 reps · (630) 230-6841
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PREMIER PRIVATE WEALTH MANAGEMENT, LLC (PALM HARBOR, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 727-281-2882
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GENEVA FINANCIAL GROUP (JACKSON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 732-719-4101
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AVIATOR WEALTH GROUP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 720-371-3135
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KEYVANTAGE WEALTH ADVISORS (BETHLEHEM, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 610-349-3101
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRUEHAVEN CAPITAL (BRADENTON, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 210-260-8668 · truehaven.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DEFINED PURPOSE CAPITAL LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (925) 639-6351 · definedpurposecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WAYVE CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered with $146.0M RAUM and 3 advisory reps. IAPD ↗
$146.0M RAUM · 3 reps · 215-834-0615 · wayvecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEAL COVE CAPITAL LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (415) 306-2583
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SERENUS WEALTH ADVISORS, LLC (SANTA MONICA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-539-2411 · serenusadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BENTHAM WEALTH ADVISORS (WILLIAMSVILLE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (716) 580-1500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MASTER RIA, LLC (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 786-530.6274
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MOSTT INC. (SHERMAN OAKS, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 310-923-0363
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MAY HILL CAPITAL, LLC (COHASSET, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 617-800-0388 · mayhillwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WAVVEST WEALTH (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 630-699-8602 · wavvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARGENTARII, LLC (CINCINNATI, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 304-638-9062 · argentarii.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SYRIOS WEALTH MANAGEMENT GROUP (LA JOLLA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 858-456-5460
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IFC ADVISORS LLC (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 310-444-6515
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DEGREEN PRIVATE WEALTH, LLC (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 480-771-7000 · degreenprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NN INVESTMENT 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 · 917-673-2324 · nninvestmentadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHPOINT FINANCIAL LLC (CRAMERTON, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 704-675-5300 · wealthpointadvisorsnc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MAXX WEALTH ADVISORS (BOCA RATON, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 561-427-2424
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
88
HST VENTURES, LLC (PARK CITY, UT) is newly SEC-registered with $286.1M RAUM and 3 advisory reps. IAPD ↗institutional
$286.1M RAUM · 3 reps · 435-962-9194
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CAIS ADVISORS 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 · 212-300-9350 · caisgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
NEOS PARTNERS, LP (SAN DIEGO, CA) is newly SEC-registered with $1.06B RAUM and 16 advisory reps. IAPD ↗fund
$1.06B RAUM · 16 reps · 858-727-9690
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ATLAS CAPITAL (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (347) 388-2658
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
VISDOM INVESTMENT GROUP LLC (WESTPORT, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · (203) 803-7222
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BOOSTER ASSET MANAGEMENT, LLC (WHEATON, IL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 630-653-1400
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
IRTH CAPITAL MANAGEMENT, LP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 212-597-2476 · irth.capital
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
AVATAR CAPITAL MANAGEMENT LLC (SEATTLE, WA) is newly SEC-registered with $162.6M RAUM and 3 advisory reps. IAPD ↗institutional
$162.6M RAUM · 3 reps · 206-508-6139 · avatarfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PERMIRA CREDIT LLC (MENLO PARK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗institutional
$0 RAUM · 15 reps · 650-681-4701
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ECOBRIDGE CAPITAL MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 917-574-6122 · ecobridgecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
INVIDIA CAPITAL MANAGEMENT, L.P. (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 212-970-6430 · invidiacap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
3A PARTNERS, LLC (COLUMBUS, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 614-406-8192 · 3apartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GLADE ARCH CAPITAL 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 · 646-948-1900 · gladearchlp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ACRISURE CAPITAL ADVISERS, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 616-541-6752
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
RAVEN CREDIT CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $1.23B RAUM and 13 advisory reps. IAPD ↗fund
$1.23B RAUM · 13 reps · 212-966-7926 · ravencm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
WEST BASIN CAPITAL MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 646-494-3862 · westbasincapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
HERITAGE HOLDING (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps. IAPD ↗institutional
$0 RAUM · 12 reps · 617-938-3664
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TRADERS A.I., INC. (FAIRFAX, VA) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 201-654-5385
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
WHITEBARK INVESTORS (INCLINE VILLAGE, NV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 212-468-5131
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
AGILE INVESTMENT MANAGEMENT, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-969-8982
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
TOPLINE CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered with $375.0M RAUM and 1 advisory reps. IAPD ↗fund
$375.0M RAUM · 1 reps · 310-804-0737 · toplinecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
TURNSPIRE CAPITAL PARTNERS LLC (NEW YORK, NY) is newly SEC-registered with $473.3M RAUM and 7 advisory reps. IAPD ↗fund
$473.3M RAUM · 7 reps · 646-558-1617
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ZANBATO ADVISORS LLC (MOUNTAIN VIEW, CA) is newly SEC-registered with $335.2M RAUM and 3 advisory reps. IAPD ↗fund
$335.2M RAUM · 3 reps · 866-926-2286 · zanbato.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
GODSPEED CAPITAL MANAGEMENT LP (location n/a) is newly SEC-registered with $455.5M RAUM and 6 advisory reps. IAPD ↗fund
$455.5M RAUM · 6 reps · 202-765-1010 · godspeedcm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ENTRYPOINT CAPITAL, LLC (NEW YORK, NY) is newly SEC-registered with $437.0M RAUM and 5 advisory reps. IAPD ↗fund
$437.0M RAUM · 5 reps · (646) 993-4864 · entrypointcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
CITY CAPITAL VENTURES, LLC (CHICAGO, IL) is newly SEC-registered with $286.1M RAUM and 8 advisory reps. IAPD ↗fund
$286.1M RAUM · 8 reps · 312-546-8140
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
PONDERA HOLDINGS LLC (CHICAGO, IL) is newly SEC-registered with $268.3M RAUM and 4 advisory reps. IAPD ↗fund
$268.3M RAUM · 4 reps · 312-930-9050 · ponderaholdings.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
CENTER CAPITAL PARTNERS LLC (BEVERLY HILLS, CA) is newly SEC-registered with $324.6M RAUM and 6 advisory reps. IAPD ↗fund
$324.6M RAUM · 6 reps · 310-456-1000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ARKVIEW CAPITAL, L.P. (STAMFORD, CT) is newly SEC-registered with $277.3M RAUM and 3 advisory reps. IAPD ↗fund
$277.3M RAUM · 3 reps · 917-623-4643
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SEA CLIFF PARTNERS MANAGEMENT, LP (SAN FRANCISCO, CA) is newly SEC-registered with $310.7M RAUM and 6 advisory reps. IAPD ↗fund
$310.7M RAUM · 6 reps · 415-535-6563 · seaclifflp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
THURSTON ADVISORS (VERO BEACH, FL) is newly SEC-registered with $315.9M RAUM and 9 advisory reps. IAPD ↗fund
$315.9M RAUM · 9 reps · 312-255-0077 · thurstongroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
FIRST PRINCIPLES GROUP (location n/a) is newly SEC-registered with $340.2M RAUM and 2 advisory reps. IAPD ↗fund
$340.2M RAUM · 2 reps · 847-668-7950 · firstprinciples.group
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
CONNELLY CAPITAL MANAGEMENT LLC (GUAYNABO, PR) is newly SEC-registered with $587.2M RAUM and 2 advisory reps. IAPD ↗fund
$587.2M RAUM · 2 reps · 787-231-8042 · connellycap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ARKHOUSE (NEW YORK, NY) is newly SEC-registered with $289.3M RAUM and 7 advisory reps. IAPD ↗fund
$289.3M RAUM · 7 reps · 212-465-1301 · arkhousefund.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SOURCE CAPITAL, LLC (ATLANTA, GA) is newly SEC-registered with $285.1M RAUM and 11 advisory reps. IAPD ↗fund
$285.1M RAUM · 11 reps · 404-844-5381 · source-cap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
3 BOOMERANG CAPITAL, LP (GREENWICH, CT) is newly SEC-registered with $376.3M RAUM and 8 advisory reps. IAPD ↗fund
$376.3M RAUM · 8 reps · 203-653-5300 · 3boomerang.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
BANNER CAPITAL MANAGEMENT, LLC (LEHI, UT) is newly SEC-registered with $415.5M RAUM and 6 advisory reps. IAPD ↗fund
$415.5M RAUM · 6 reps · 801-447-1534 · bannercap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SPRINGCOAST CAPITAL PARTNERS, L.P. (NEW YORK, NY) is newly SEC-registered with $713.8M RAUM and 8 advisory reps. IAPD ↗fund
$713.8M RAUM · 8 reps · 212-857-6955 · springcoast.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
OTRO CAPITAL (NEW YORK, NY) is newly SEC-registered with $276.9M RAUM and 6 advisory reps. IAPD ↗fund
$276.9M RAUM · 6 reps · 1-212-235-7056 · otrocapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
CYTIUM INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $467.0M RAUM and 3 advisory reps. IAPD ↗fund
$467.0M RAUM · 3 reps · 347-503-1338
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
GUMSHOE CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $342.2M RAUM and 4 advisory reps. IAPD ↗fund
$342.2M RAUM · 4 reps · 646-264-4403 · gumshoecap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ONE FUNDS, LLC (COLORADO SPRINGS, CO) is newly SEC-registered with $350.4M RAUM and 13 advisory reps. IAPD ↗fund
$350.4M RAUM · 13 reps · 719-445-5050
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
GREENSTONE PARTNERS, LLC (LARKSPUR, CA) is newly SEC-registered with $219.7M RAUM and 2 advisory reps. IAPD ↗fund
$219.7M RAUM · 2 reps · 415-298-6493 · greenstonepartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
RANGELEY CAPITAL, LLC (NEW CANAAN, CT) is newly SEC-registered with $196.9M RAUM and 3 advisory reps. IAPD ↗fund
$196.9M RAUM · 3 reps · (203) 801-9975 · rangeleycapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
KP MANAGEMENT LLC (location n/a) is newly SEC-registered with $206.4M RAUM and 2 advisory reps. IAPD ↗fund
$206.4M RAUM · 2 reps · 612-332-7606
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ENGLISH CAPITAL MANAGEMENT LLC (BLOOMFIELD HILLS, MI) is newly SEC-registered with $201.5M RAUM and 2 advisory reps. IAPD ↗fund
$201.5M RAUM · 2 reps · 248-457-5280
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SYGNUS CAPITAL PR LLC (GUAYNABO, PR) is newly SEC-registered with $118.0M RAUM and 3 advisory reps. IAPD ↗fund
$118.0M RAUM · 3 reps · 787-706-9292
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BURNHAM STERLING ASSET MANAGEMENT LLC (COS COB, CT) is newly SEC-registered with $200.0M RAUM and 4 advisory reps. IAPD ↗fund
$200.0M RAUM · 4 reps · 203-862-4800 · burnhamsterling.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CAPRIA VENTURES LLC (SEATTLE, WA) is newly SEC-registered with $156.0M RAUM and 8 advisory reps. IAPD ↗fund
$156.0M RAUM · 8 reps · (206) 880-0360 · capria.vc
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
WHITE HAT CAPITAL PARTNERS LP (NEW YORK, NY) is newly SEC-registered with $165.1M RAUM and 4 advisory reps. IAPD ↗fund
$165.1M RAUM · 4 reps · 212.257.5940
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
TECA PARTNERS, LP (AUSTIN, TX) is newly SEC-registered with $173.1M RAUM and 2 advisory reps. IAPD ↗fund
$173.1M RAUM · 2 reps · 212-266-0104
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
TONKA CAPITAL PARTNERS, LLC (MINNETONKA, MN) is newly SEC-registered with $132.4M RAUM and 3 advisory reps. IAPD ↗fund
$132.4M RAUM · 3 reps · 952-204-5085 · tonkacapitalpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
AUTHENTIC VENTURES INVESTMENT MANAGER, LLC (OAKLAND, CA) is newly SEC-registered with $151.2M RAUM and 3 advisory reps. IAPD ↗fund
$151.2M RAUM · 3 reps · 510-877-0805 · authentic-ventures.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
INDEPENDENT ACCESS PARTNERS, LLC (HUNT VALLEY, MD) is newly SEC-registered with $196.5M RAUM and 3 advisory reps. IAPD ↗fund
$196.5M RAUM · 3 reps · 410-828-5523 · independentaccesspartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
NATURAL CAPITAL (NORTH LITTLE ROCK, AR) is newly SEC-registered with $217.0M RAUM and 10 advisory reps. IAPD ↗fund
$217.0M RAUM · 10 reps · 501-517-3162 · naturalcapitalfirm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CANDELO CAPITAL MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $214.4M RAUM and 4 advisory reps. IAPD ↗fund
$214.4M RAUM · 4 reps · 332-207-4634
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
LB PARTNERS LLC (CHARLOTTESVILLE, VA) is newly SEC-registered with $190.3M RAUM and 1 advisory reps. IAPD ↗fund
$190.3M RAUM · 1 reps · 434-886-1101
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
POWER INNOVATION PARTNERS, L.P. (NEW YORK, NY) is newly SEC-registered with $239.3M RAUM and 6 advisory reps. IAPD ↗fund
$239.3M RAUM · 6 reps · 307-421-6700 · powerinnovationpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ARDAN EQUITY PARTNERS, LLC (MIAMI, FL) is newly SEC-registered with $160.3M RAUM and 3 advisory reps. IAPD ↗fund
$160.3M RAUM · 3 reps · 917-304-7294 · ardanequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BLUEPRINT LOCAL LLC (location n/a) is newly SEC-registered with $173.4M RAUM and 4 advisory reps. IAPD ↗fund
$173.4M RAUM · 4 reps · 404-281-1254 · blueprint-local.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CROSS RAPIDS CAPITAL LP (NEW YORK, NY) is newly SEC-registered with $225.7M RAUM and 5 advisory reps. IAPD ↗fund
$225.7M RAUM · 5 reps · 212-301-7700 · crossrapids.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ORVIETO PARTNERS, L.P. (BOSTON, MA) is newly SEC-registered with $172.8M RAUM and 3 advisory reps. IAPD ↗fund
$172.8M RAUM · 3 reps · 781-733-4745
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
5TH CENTURY PARTNERS (CHICAGO, IL) is newly SEC-registered with $241.7M RAUM and 11 advisory reps. IAPD ↗fund
$241.7M RAUM · 11 reps · 312-242-0071
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
EDEN GLOBAL ADVISORS LLC (NEW YORK, NY) is newly SEC-registered with $226.0M RAUM and 10 advisory reps. IAPD ↗fund
$226.0M RAUM · 10 reps · 212-466-6790 · edengp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CUREWELL CAPITAL MANAGEMENT, LLC (LOS ANGELES, CA) is newly SEC-registered with $173.5M RAUM and 4 advisory reps. IAPD ↗fund
$173.5M RAUM · 4 reps · 310-361-1510
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
14B CAPITAL MANAGEMENT LP (location n/a) is newly SEC-registered with $203.1M RAUM and 2 advisory reps. IAPD ↗fund
$203.1M RAUM · 2 reps · 646-777-5951 · 14bcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
TRM ADVISORS LP (SOUTHFIELD, MI) is newly SEC-registered with $166.0M RAUM and 7 advisory reps. IAPD ↗fund
$166.0M RAUM · 7 reps · 800-817-4152 · trmequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
COASTAL INVESTMENT COMPANY, LLC (WINTER PARK, FL) is newly SEC-registered with $161.3M RAUM and 7 advisory reps. IAPD ↗fund
$161.3M RAUM · 7 reps · 888-411-2280 · coastalinvestmentco.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
GROVE MOUNTAIN PARTNERS, LLC (ATLANTA, GA) is newly SEC-registered with $181.5M RAUM and 6 advisory reps. IAPD ↗fund
$181.5M RAUM · 6 reps · 678-655-6794 · grovemountainpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
EQUITABLE PROSPERITY MANAGER LLC (ARLINGTON, VA) is newly SEC-registered with $173.5M RAUM and 8 advisory reps. IAPD ↗fund
$173.5M RAUM · 8 reps · 703-647-2300
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
GROWTH BEVERAGE GROUP, LP (CHICAGO, IL) is newly SEC-registered with $190.6M RAUM and 8 advisory reps. IAPD ↗fund
$190.6M RAUM · 8 reps · 800-953-1312 · investbev.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ALBERT BRIDGE CAPITAL (NAPLES, FL) is newly SEC-registered with $105.4M RAUM and 3 advisory reps. IAPD ↗fund
$105.4M RAUM · 3 reps · 239-216-0599
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SADDLE POINT MANAGEMENT, L.P. (NEW YORK, NY) is newly SEC-registered with $73.2M RAUM and 4 advisory reps. IAPD ↗fund
$73.2M RAUM · 4 reps · 212-951-1223
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SRT GROUP LLC (WEST PALM BEACH, FL) is newly SEC-registered with $58.0M RAUM and 6 advisory reps. IAPD ↗fund
$58.0M RAUM · 6 reps · 561-510-1919 · thesrtgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
FORTINBRAS ENTERPRISES LP (NEW YORK, NY) is newly SEC-registered with $122.8M RAUM and 4 advisory reps. IAPD ↗fund
$122.8M RAUM · 4 reps · (646) 993-5321 · fortinbras.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
KINTAYL CAPITAL LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗fund
$0 RAUM · 2 reps · 631-807-6647 · kintayl.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SONE CAPITAL MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗fund
$0 RAUM · 2 reps · 212-647-8295 · sonecap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CORIGLIANO INVESTMENT ADVISERS, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $11.7M RAUM and 2 advisory reps. IAPD ↗fund
$11.7M RAUM · 2 reps · 919-225-6496 · coriglianoenergy.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
EIGHTEEN48 PARTNERS (LONDON, United Kingdom) is newly SEC-registered with $1.86B RAUM and 18 advisory reps. IAPD ↗foreign
$1.86B RAUM · 18 reps · +44 (0) 20 3670 1855 · eighteen48.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
TENSAI HOLDING COMPANY, LLC (LONDON, United Kingdom) is newly SEC-registered with $9.33B RAUM and 37 advisory reps. IAPD ↗foreign
$9.33B RAUM · 37 reps · +44 7 937 978 606 · tensai-holding.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
HEWARD INVESTMENT MANAGEMENT INC. (MONTREAL, QUEBEC, Canada) is newly SEC-registered with $445.5M RAUM and 6 advisory reps. IAPD ↗foreign
$445.5M RAUM · 6 reps · 514-985-5757 · heward.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
PENSIONBEE (LONDON, United Kingdom) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · (718) 502-9433 · pensionbee.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
MODEL SIX OPERATIONS INC. (VANCOUVER, BC, Canada) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 867-794-0742 · modelsix.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 84 Count of additional offices increased.
55
&PARTNERS added office(s): 29 -> 50 additional locations. IAPD ↗
$1.17B RAUM · 174 reps · 615-255-6431 · prairieheritagefinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
CANTERBURY CONSULTING INCORPORATED added office(s): 3 -> 4 additional locations. IAPD ↗
$6.61B RAUM · 21 reps · 949-721-9580
Office IT & facilitiesCRMRecruiting & transitions
55
CAPITAL ADVISORS, INC. added office(s): 10 -> 11 additional locations. IAPD ↗
$5.50B RAUM · 38 reps · (918) 599-0045 · capadvfunds.com
Office IT & facilitiesCRMRecruiting & transitions
55
BALDWIN BROTHERS LLC added office(s): 5 -> 11 additional locations. IAPD ↗
$2.28B RAUM · 12 reps · (508) 748-0800 · baldwinbrothersinc.com
Office IT & facilitiesCRMRecruiting & transitions
55
UNITED ASSET STRATEGIES INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$1.72B RAUM · 16 reps · 516-222-0021 · unitedasset.com
Office IT & facilitiesCRMRecruiting & transitions
55
ECLECTIC ASSOCIATES, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$1.05B RAUM · 9 reps · 714-738-0220
Office IT & facilitiesCRMRecruiting & transitions
55
OVERBROOK MANAGEMENT CORPORATION added office(s): 0 -> 1 additional locations. IAPD ↗
$1.23B RAUM · 3 reps · 212-661-8710 · overbrook.com
Office IT & facilitiesCRMRecruiting & transitions
55
SAX WEALTH ADVISORS, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$1.74B RAUM · 15 reps · 973-859-2199
Office IT & facilitiesCRMRecruiting & transitions
55
AVIDIAN WEALTH SOLUTIONS added office(s): 3 -> 4 additional locations. IAPD ↗
$3.11B RAUM · 32 reps · 281-822-8800 · retirementsurvivalguide.com
Office IT & facilitiesCRMRecruiting & transitions
55
PERIGON WEALTH MANAGEMENT, LLC added office(s): 40 -> 41 additional locations. IAPD ↗
$6.94B RAUM · 77 reps · (877) 977-2555
Office IT & facilitiesCRMRecruiting & transitions
55
ROYAL FUND MANAGEMENT, LLC added office(s): 83 -> 84 additional locations. IAPD ↗
$1.36B RAUM · 83 reps · 352-750-1637 · 401kmaneuver.com
Office IT & facilitiesCRMRecruiting & transitions
55
TIEDEMANN ADVISORS, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$25.30B RAUM · 64 reps · 212-396-5900
Office IT & facilitiesCRMRecruiting & transitions
55
AVIOR WEALTH MANAGEMENT, LLC added office(s): 12 -> 14 additional locations. IAPD ↗
$3.99B RAUM · 97 reps · 402-218-4064
Office IT & facilitiesCRMRecruiting & transitions
55
HHM WEALTH ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.07B RAUM · 12 reps · 423-826-1670
Office IT & facilitiesCRMRecruiting & transitions
55
MODERA WEALTH MANAGEMENT, LLC added office(s): 20 -> 21 additional locations. IAPD ↗
$12.53B RAUM · 100 reps · (201) 768-4600
Office IT & facilitiesCRMRecruiting & transitions
55
EAST ROCK CAPITAL, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$3.64B RAUM · 14 reps · 212-630-5000 · eastrockcap.com
Office IT & facilitiesCRMRecruiting & transitions
55
MCADAM LLC added office(s): 68 -> 69 additional locations. IAPD ↗
$1.74B RAUM · 156 reps · (888) 614-5323 · cooneymcadamfa.com
Office IT & facilitiesCRMRecruiting & transitions
55
KOVITZ INVESTMENT GROUP PARTNERS, LLC added office(s): 25 -> 29 additional locations. IAPD ↗
$11.29B RAUM · 122 reps · 312-334-7300 · kovitz.com
Office IT & facilitiesCRMRecruiting & transitions
55
WINTHROP WEALTH added office(s): 14 -> 17 additional locations. IAPD ↗
$2.21B RAUM · 22 reps · 617-530-1010
Office IT & facilitiesCRMRecruiting & transitions
55
VALLEY WEALTH STRATEGIES, LLC added office(s): 21 -> 22 additional locations. IAPD ↗
$1.02B RAUM · 25 reps · (209) 366-1264 · valleywealthstrategies.com
Office IT & facilitiesCRMRecruiting & transitions
55
IEQ CAPITAL, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$23.58B RAUM · 100 reps · 650-581-9807 · ieqcapital.com
Office IT & facilitiesCRMRecruiting & transitions
55
GREAT WATERS FINANCIAL added office(s): 2 -> 3 additional locations. IAPD ↗
$1.02B RAUM · 26 reps · 612-360-2127
Office IT & facilitiesCRMRecruiting & transitions
55
CW ADVISORS, LLC added office(s): 12 -> 14 additional locations. IAPD ↗
$6.92B RAUM · 38 reps · (617) 428-7600 · congresswealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
CONCURRENT INVESTMENT ADVISORS, LLC added office(s): 37 -> 38 additional locations. IAPD ↗
$6.26B RAUM · 123 reps · (813) 575-2652 · adalanpw.com
Office IT & facilitiesCRMRecruiting & transitions
55
MIDLAND WEALTH MANAGEMENT added office(s): 6 -> 7 additional locations. IAPD ↗
$2.53B RAUM · 16 reps · 312-660-6516
Office IT & facilitiesCRMRecruiting & transitions
53
FINANCIAL CONSULATE added office(s): 2 -> 3 additional locations. IAPD ↗
$782.3M RAUM · 12 reps · 410-823-7283 · financialphysical.net
Office IT & facilitiesCRMRecruiting & transitions
53
BBJS FINANCIAL ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$259.9M RAUM · 2 reps · 206-682-4840 · bbjsadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$286.7M RAUM · 5 reps · 847-247-8959
Office IT & facilitiesCRMRecruiting & transitions
53
THE INSTITUTE added office(s): 6 -> 7 additional locations. IAPD ↗
$926.9M RAUM · 0 reps · 303-572-3500
Office IT & facilitiesCRMRecruiting & transitions
53
NEPSIS, INC. added office(s): 3 -> 4 additional locations. IAPD ↗
$350.8M RAUM · 15 reps · 952-746-2003 · investingforsuccessforyou.com
Office IT & facilitiesCRMRecruiting & transitions
53
DELTA INVESTMENT MANAGEMENT, LLC added office(s): 10 -> 11 additional locations. IAPD ↗
$628.9M RAUM · 25 reps · (415) 249-6337 · northstar65.com
Office IT & facilitiesCRMRecruiting & transitions
53
RESEARCH FINANCIAL STRATEGIES added office(s): 5 -> 6 additional locations. IAPD ↗
$273.0M RAUM · 6 reps · 301-294-7500 · rfsadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
SOLOMON API LLC added office(s): 1 -> 4 additional locations. IAPD ↗
$280.0M RAUM · 3 reps · 321-888-2599 · arseneauadvisory.com
Office IT & facilitiesCRMRecruiting & transitions
53
GEOMETRIC WEALTH ADVISORS, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$843.7M RAUM · 7 reps · (973) 525-4901 · geometricadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
TSFG, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$649.1M RAUM · 9 reps · 847-735-7100
Office IT & facilitiesCRMRecruiting & transitions
53
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. added office(s): 19 -> 20 additional locations. IAPD ↗
$270.2M RAUM · 19 reps · 860.973.3214 · wjcmllc.com
Office IT & facilitiesCRMRecruiting & transitions
53
ALMANACK INVESTMENT PARTNERS added office(s): 6 -> 7 additional locations. IAPD ↗
$802.2M RAUM · 13 reps · 484-580-2277
Office IT & facilitiesCRMRecruiting & transitions
53
MY LEGACY ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$374.1M RAUM · 5 reps · 541-330-0220 · myeaglewealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
TRUVESTMENTS CAPITAL LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$362.7M RAUM · 12 reps · 941-753-3814
Office IT & facilitiesCRMRecruiting & transitions
53
CASTLE COAST WEALTH, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$324.3M RAUM · 5 reps · (858) 546-1247 · castlecoastwealthllc.com
Office IT & facilitiesCRMRecruiting & transitions
53
CONVERGENCE FINANCIAL added office(s): 5 -> 6 additional locations. IAPD ↗
$422.4M RAUM · 13 reps · (573) 818-2264
Office IT & facilitiesCRMRecruiting & transitions
53
LEVERTY FINANCIAL GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$481.3M RAUM · 5 reps · 715-377-2080
Office IT & facilitiesCRMRecruiting & transitions
53
SMART WEALTH, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$302.9M RAUM · 12 reps · 402-369-7777 · retiresmartomaha.com
Office IT & facilitiesCRMRecruiting & transitions
53
BROOKWOOD INVESTMENT GROUP added office(s): 4 -> 5 additional locations. IAPD ↗
$689.1M RAUM · 17 reps · 480-744-9628 · ckwmg.com
Office IT & facilitiesCRMRecruiting & transitions
53
TRANSCE3ND LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$313.2M RAUM · 28 reps · 512-268-9220 · e3wealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
LANDMARK WEALTH MANAGEMENT GROUP added office(s): 3 -> 4 additional locations. IAPD ↗
$824.4M RAUM · 12 reps · (800) 251-9932 · landmarkwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
THE NORDEN GROUP LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$987.2M RAUM · 12 reps · 801-331-5511 · thenordengroup.com
Office IT & facilitiesCRMRecruiting & transitions
53
UPTICK PARTNERS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$398.6M RAUM · 6 reps · (936) 800-0800 · holisticplanning.com
Office IT & facilitiesCRMRecruiting & transitions
53
DIVERSIFY WEALTH MANAGEMENT, LLC added office(s): 3 -> 5 additional locations. IAPD ↗
$458.1M RAUM · 24 reps · 801-838-9999 · caliberwealthmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
53
RATSON ADVISORY LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$405.5M RAUM · 1 reps · 917-325-7440 · ratsonadvisory.com
Office IT & facilitiesCRMRecruiting & transitions
50
FLYING POINT FINANCIAL, INC. added office(s): 1 -> 4 additional locations. IAPD ↗
$168.5M RAUM · 3 reps · 978-975-3000 · flyingpointfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
SAXONY CAPITAL MANAGEMENT, LLC added office(s): 19 -> 21 additional locations. IAPD ↗
$239.3M RAUM · 0 reps · 314-963-9336 · saxonycapitalmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
50
STOREHOUSE FINANCIAL LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$174.1M RAUM · 3 reps · 877-305-3233 · storehousefinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
CRYSTAL ROCK CAPITAL MANAGEMENT, LLC. added office(s): 0 -> 1 additional locations. IAPD ↗
$161.6M RAUM · 4 reps · 847-282-7010 · crystalrockcap.com
Office IT & facilitiesCRMRecruiting & transitions
50
RUTHERFORD INVESTMENT MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗
$173.4M RAUM · 4 reps · 503-452-1210 · rutherfordinvestment.com
Office IT & facilitiesCRMRecruiting & transitions
50
FOUNDATION WEALTH MANAGEMENT, LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$167.3M RAUM · 3 reps · 610-548-7170
Office IT & facilitiesCRMRecruiting & transitions
50
YES WEALTH MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗
$113.4M RAUM · 3 reps · (651) 426-5854
Office IT & facilitiesCRMRecruiting & transitions
50
APTUS FINANCIAL, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$0 RAUM · 9 reps · 501-907-1993
Office IT & facilitiesCRMRecruiting & transitions
50
GOODSTEIN WEALTH MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$128.8M RAUM · 3 reps · 818-995-3500 · goodsteinwealthmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
50
PROVIDENT FINANCIAL PLANNING, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$132.5M RAUM · 1 reps · 888-752-6234 · providentfp.com
Office IT & facilitiesCRMRecruiting & transitions
50
WATERROCK WEALTH MANAGEMENT added office(s): 2 -> 3 additional locations. IAPD ↗
$113.2M RAUM · 5 reps · (505) 831-6342
Office IT & facilitiesCRMRecruiting & transitions
50
ORBA WEALTH ADVISORS, LLC added office(s): 2 -> 12 additional locations. IAPD ↗
$162.5M RAUM · 8 reps · (312) 670-6262
Office IT & facilitiesCRMRecruiting & transitions
50
SMARTPATH ADVISORS added office(s): 0 -> 12 additional locations. IAPD ↗
$0 RAUM · 11 reps · (678) 538-9420
Office IT & facilitiesCRMRecruiting & transitions
50
BLACK KNIGHT WEALTH MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$163.2M RAUM · 3 reps · 972-786-6527 · blackknightwm.com
Office IT & facilitiesCRMRecruiting & transitions
50
ASSUREDPARTNERS INVESTMENT ADVISORS added office(s): 12 -> 14 additional locations. IAPD ↗
$179.0M RAUM · 15 reps · 407-708-0050
Office IT & facilitiesCRMRecruiting & transitions
50
WEALTHTECH PARTNERS LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$115.2M RAUM · 3 reps · 866-528-3660
Office IT & facilitiesCRMRecruiting & transitions
50
EARNED WEALTH added office(s): 8 -> 9 additional locations. IAPD ↗
$106.6M RAUM · 7 reps · (914) 417-4556
Office IT & facilitiesCRMRecruiting & transitions
50
SAVVY LABS INC added office(s): 0 -> 1 additional locations. IAPD ↗
$117.0M RAUM · 11 reps · 888-401-5517 · getsavvy.io
Office IT & facilitiesCRMRecruiting & transitions
50
WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$237.5M RAUM · 4 reps · 626-689-7181 · williamsnovakwm.com
Office IT & facilitiesCRMRecruiting & transitions
50
POSITION WEALTH added office(s): 1 -> 3 additional locations. IAPD ↗
$166.4M RAUM · 2 reps · 281-968-2780
Office IT & facilitiesCRMRecruiting & transitions
50
BRIDGEPORT FINANCIAL SOLUTIONS added office(s): 1 -> 5 additional locations. IAPD ↗
$0 RAUM · 7 reps · 877-411-2737 · bridgeport.financial
Office IT & facilitiesCRMRecruiting & transitions
50
MARIDEA WEALTH MANAGEMENT added office(s): 4 -> 5 additional locations. IAPD ↗
$25.2M RAUM · 7 reps · 269-598-0939 · marideawealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
BBVA GLOBAL WEALTH ADVISORS, INC. added office(s): 1 -> 9 additional locations. IAPD ↗
$111.1M RAUM · 14 reps · 434-242-0068 · bbvaglobalwealthadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
CATALYST WEALTH MANAGEMENT LLC added office(s): 0 -> 16 additional locations. IAPD ↗
$20.6M RAUM · 17 reps · 832-657-7735 · catalystfg.com
Office IT & facilitiesCRMRecruiting & transitions
50
RELATION WEALTH MANAGEMENT, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 5 reps · 918-295-7410 · relationwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
WEALTHCARE CAPITAL PARTNERS, LLC added office(s): 1 -> 3 additional locations. IAPD ↗
$0 RAUM · 1 reps · 804.644.4711
Office IT & facilitiesCRMRecruiting & transitions
50
KILTER GROUP added office(s): 2 -> 4 additional locations. IAPD ↗
$181.3M RAUM · 4 reps · 646-438-6557 · kiltergroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
BRADY MARTZ WEALTH SOLUTIONS, LLC added office(s): 8 -> 10 additional locations. IAPD ↗
$0 RAUM · 3 reps · 701-223-1717
Office IT & facilitiesCRMRecruiting & transitions
45
MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC added office(s): 0 -> 2 additional locations. IAPD ↗institutional
$7.73B RAUM · 41 reps · 303-333-7770 · hyasgroup.com
Office IT & facilitiesCRMRecruiting & transitions
40
TOWERS WATSON INVESTMENT SERVICES, INC. added office(s): 12 -> 13 additional locations. IAPD ↗fund
$51.37B RAUM · 201 reps · 312-288-7700
Office IT & facilitiesCRMRecruiting & transitions
40
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$169.4M RAUM · 1 reps · 206-745-2136 · euclidean.com
Office IT & facilitiesCRMRecruiting & transitions
40
JEFFERIES RESEARCH SERVICES LLC added office(s): 5 -> 6 additional locations. IAPD ↗institutional
$0 RAUM · 248 reps · 212-284-2300 · jefferies.com
Office IT & facilitiesCRMRecruiting & transitions
40
FISHER RETIREMENT SOLUTIONS LLC added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$0 RAUM · 1 reps · 650-350-5254
Office IT & facilitiesCRMRecruiting & transitions
25
JAMES HAMBRO & PARTNERS LLP added office(s): 2 -> 3 additional locations. IAPD ↗foreign
$8.47B RAUM · 23 reps · 44 20 3817 3500
Office IT & facilitiesCRMRecruiting & transitions
deregistered — 73 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
CROWN CAPITAL SECURITIES, L.P. (ORANGE, CA) left the SEC roster (was $1.22B RAUM, 164 reps). IAPD ↗
$1.22B RAUM · 164 reps · 714-547-9481 · crowncapitalsecurities.com
Recruiting & transitionsM&A & valuation
65
THE FINANCIAL ADVISORY GROUP, LLC (HOUSTON, TX) left the SEC roster (was $1.24B RAUM, 10 reps). IAPD ↗
$1.24B RAUM · 10 reps · 713-627-7660 · finadvisors.com
Recruiting & transitionsM&A & valuation
65
ATLAS PRIVATE WEALTH MANAGEMENT, LLC (ALBANY, NY) left the SEC roster (was $1.26B RAUM, 10 reps). IAPD ↗
$1.26B RAUM · 10 reps · (518) 482-5777
Recruiting & transitionsM&A & valuation
65
WACKER WEALTH PARTNERS, LLC (SAN LUIS OBISPO, CA) left the SEC roster (was $1.14B RAUM, 12 reps). IAPD ↗
$1.14B RAUM · 12 reps · 805-541-1308
Recruiting & transitionsM&A & valuation
65
ENVOI LLC (MINNEAPOLIS, MN) left the SEC roster (was $2.85B RAUM, 8 reps). IAPD ↗
$2.85B RAUM · 8 reps · 952-358-6260 · envoillc.com
Recruiting & transitionsM&A & valuation
65
ADVANCED RESEARCH INVESTMENT SOLUTIONS, LLC (LOS ANGELES, CA) left the SEC roster (was $12.87B RAUM, 3 reps). IAPD ↗
$12.87B RAUM · 3 reps · 424-372-1775
Recruiting & transitionsM&A & valuation
65
INTEROCEAN CAPITAL (NASHVILLE, TN) left the SEC roster (was $5.81B RAUM, 30 reps). IAPD ↗
$5.81B RAUM · 30 reps · 312-648-1720 · focusfinancialpartners.com
Recruiting & transitionsM&A & valuation
65
CONNECTUS WEALTH (HUNT VALLEY, MD) left the SEC roster (was $8.67B RAUM, 83 reps). IAPD ↗
$8.67B RAUM · 83 reps · 513-832-5463 · connectuswealth.com
Recruiting & transitionsM&A & valuation
63
HIGHLANDER CAPITAL MANAGEMENT LLC (SHORT HILLS, NJ) left the SEC roster (was $351.8M RAUM, 8 reps). IAPD ↗
$351.8M RAUM · 8 reps · 973-718-3511 · highlandereport.com
Recruiting & transitionsM&A & valuation
63
LAFISE SECURITIES CORPORATION (MIAMI, FL) left the SEC roster (was $736.0M RAUM, 1 reps). IAPD ↗
$736.0M RAUM · 1 reps · 305-374-6001
Recruiting & transitionsM&A & valuation
63
KLR INVESTMENT ADVISORS, LLC (PROVIDENCE, RI) left the SEC roster (was $254.5M RAUM, 5 reps). IAPD ↗
$254.5M RAUM · 5 reps · 401-274-2001
Recruiting & transitionsM&A & valuation
63
BROMFIELD SNEIDER WEALTH ADVISORS, INC. (WESTWOOD, MA) left the SEC roster (was $436.7M RAUM, 2 reps). IAPD ↗
$436.7M RAUM · 2 reps · (617) 252-3400 · bromfieldsneider.com
Recruiting & transitionsM&A & valuation
63
C & J WEALTH ADVISORS (KNOXVILLE, TN) left the SEC roster (was $269.9M RAUM, 6 reps). IAPD ↗
$269.9M RAUM · 6 reps · 865-481-0385
Recruiting & transitionsM&A & valuation
63
STARFOX FINANCIAL SERVICES, LLC (THE WOODLANDS, TX) left the SEC roster (was $252.9M RAUM, 3 reps). IAPD ↗
$252.9M RAUM · 3 reps · 281-764-8239
Recruiting & transitionsM&A & valuation
63
CUBIC ASSET MANAGEMENT, LLC (BOSTON, MA) left the SEC roster (was $679.3M RAUM, 3 reps). IAPD ↗
$679.3M RAUM · 3 reps · 617-456-1373 · cubic-am.com
Recruiting & transitionsM&A & valuation
63
DIVERSIFY WEALTH MANAGEMENT LLC (OREM, UT) left the SEC roster (was $540.2M RAUM, 24 reps). IAPD ↗
$540.2M RAUM · 24 reps · 801-221-2939 · ljcooper.com
Recruiting & transitionsM&A & valuation
63
THE RETIREMENT GROUP, LLC (SAN DIEGO, CA) left the SEC roster (was $544.5M RAUM, 20 reps). IAPD ↗
$544.5M RAUM · 20 reps · 800-900-5867
Recruiting & transitionsM&A & valuation
63
RMR WEALTH ADVISORS LLC (MADISON, WI) left the SEC roster (was $369.3M RAUM, 2 reps). IAPD ↗
$369.3M RAUM · 2 reps · 608-663-7676 · rmradvisors.com
Recruiting & transitionsM&A & valuation
63
CALIBER WEALTH MANAGEMENT, LLC (OREM, UT) left the SEC roster (was $503.2M RAUM, 5 reps). IAPD ↗
$503.2M RAUM · 5 reps · 385-223-8688
Recruiting & transitionsM&A & valuation
63
RETURN ON INVESTMENT, LLC (location n/a) left the SEC roster (was $884.8M RAUM, 1 reps). IAPD ↗
$884.8M RAUM · 1 reps · (307) 314-3211
Recruiting & transitionsM&A & valuation
60
FIRSTWAVE FINANCIAL (SATELLITE BEACH, FL) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · 321-773-7773
Recruiting & transitionsM&A & valuation
60
ASSET STRATEGIES, INC. (AVON, CT) left the SEC roster (was $140.1M RAUM, 2 reps). IAPD ↗
$140.1M RAUM · 2 reps · 860-673-5500 · assetstrats.com
Recruiting & transitionsM&A & valuation
60
WATTERS FINANCIAL SERVICES, LLC (PARAMUS, NJ) left the SEC roster (was $178.1M RAUM, 2 reps). IAPD ↗
$178.1M RAUM · 2 reps · (201) 843-0044 · wattersfinancial.com
Recruiting & transitionsM&A & valuation
60
PORTFOLIO DESIGN ADVISORS, INC. (ENGLEWOOD, CO) left the SEC roster (was $38.9M RAUM, 3 reps). IAPD ↗
$38.9M RAUM · 3 reps · 303-785-8470 · portfoliodesign.us
Recruiting & transitionsM&A & valuation
60
SUNDANCE ADVISORS (PITTSBURGH, PA) left the SEC roster (was $226.0M RAUM, 2 reps). IAPD ↗
$226.0M RAUM · 2 reps · 412-366-2813
Recruiting & transitionsM&A & valuation
60
KNOWLEDGE LEADERS CAPITAL, LLC (DENVER, CO) left the SEC roster (was $166.9M RAUM, 3 reps). IAPD ↗
$166.9M RAUM · 3 reps · 303-717-5987
Recruiting & transitionsM&A & valuation
60
INTEGRATED WEALTH ADVISORS, LLC (WILMINGTON, DE) left the SEC roster (was $107.4M RAUM, 1 reps). IAPD ↗
$107.4M RAUM · 1 reps · (302) 442-4233 · intwealthmgt.com
Recruiting & transitionsM&A & valuation
60
PGP WEALTH SERVICES, LLC (location n/a) left the SEC roster (was $83.1M RAUM, 1 reps). IAPD ↗
$83.1M RAUM · 1 reps · 818-842-5625 · pgpwealthservices.com
Recruiting & transitionsM&A & valuation
60
TRIUMPH WEALTH ADVISORS, INC. (WOODSTOCK, GA) left the SEC roster (was $28.1M RAUM, 4 reps). IAPD ↗
$28.1M RAUM · 4 reps · 770-924-9322 · triumphwealthadvisors.com
Recruiting & transitionsM&A & valuation
60
ALTERITY FINANCIAL GROUP, LLC (BANGOR, ME) left the SEC roster (was $120.9M RAUM, 5 reps). IAPD ↗
$120.9M RAUM · 5 reps · 800-966-7730
Recruiting & transitionsM&A & valuation
60
DFPG INVESTMENTS, LLC (SANDY, UT) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗
$0 RAUM · 0 reps · 801-838-9999 · globalwealthpartnersinc.com
Recruiting & transitionsM&A & valuation
60
RAY|THEIL WEALTH MANAGEMENT, LLC (BEAVERCREEK, OH) left the SEC roster (was $220.9M RAUM, 2 reps). IAPD ↗
$220.9M RAUM · 2 reps · 9375317972 · raytheil.com
Recruiting & transitionsM&A & valuation
60
MERLIN ASSET MANAGEMENT (NEWPORT, RI) left the SEC roster (was $36.3M RAUM, 1 reps). IAPD ↗
$36.3M RAUM · 1 reps · 617 366-2650 · merlinam.com
Recruiting & transitionsM&A & valuation
60
ROCK HOUSE FINANCIAL (FARMINGTON, UT) left the SEC roster (was $214.9M RAUM, 6 reps). IAPD ↗
$214.9M RAUM · 6 reps · (801) 447-4200
Recruiting & transitionsM&A & valuation
60
HARON CAPITAL MANAGEMENT, LLC (COCOA BEACH, FL) left the SEC roster (was $42.2M RAUM, 2 reps). IAPD ↗
$42.2M RAUM · 2 reps · 646-965-6700
Recruiting & transitionsM&A & valuation
60
BAY STREET CAPITAL HOLDINGS (location n/a) left the SEC roster (was $75.9M RAUM, 4 reps). IAPD ↗
$75.9M RAUM · 4 reps · 650-464-8275
Recruiting & transitionsM&A & valuation
60
CAPITAL OPTIONS, INC. (location n/a) left the SEC roster (was $154.6M RAUM, 1 reps). IAPD ↗
$154.6M RAUM · 1 reps · 828-696-3828 · capital-options-inc.com
Recruiting & transitionsM&A & valuation
60
R CUBED GLOBAL CAPITAL INC. (BELLEVUE, WA) left the SEC roster (was $25.2M RAUM, 1 reps). IAPD ↗
$25.2M RAUM · 1 reps · 206-743-5907 · rcubedgc.com
Recruiting & transitionsM&A & valuation
60
NEXT FINANCIAL ADVISORS LLC (SEATTLE, WA) left the SEC roster (was $377,728 RAUM, 0 reps). IAPD ↗
$377,728 RAUM · 0 reps · 202-831-0684
Recruiting & transitionsM&A & valuation
60
PIN WEALTH (NORTH READING, MA) left the SEC roster (was $83.5M RAUM, 2 reps). IAPD ↗
$83.5M RAUM · 2 reps · 781-239-1187
Recruiting & transitionsM&A & valuation
60
PRECESSION CAPITAL MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $20.8M RAUM, 1 reps). IAPD ↗
$20.8M RAUM · 1 reps · (203) 240-1058
Recruiting & transitionsM&A & valuation
60
INNOVIS ASSET MANAGEMENT LLC (CHICAGO, IL) left the SEC roster (was $1.8M RAUM, 1 reps). IAPD ↗
$1.8M RAUM · 1 reps · 858-414-3929
Recruiting & transitionsM&A & valuation
60
RIPPLE CAPITAL MANAGEMENT LLC (ASPEN, CO) left the SEC roster (was $100.0M RAUM, 1 reps). IAPD ↗
$100.0M RAUM · 1 reps · 8088963264 · ripplecap.com
Recruiting & transitionsM&A & valuation
60
ALCALA MULTI FAMILY OFFICE (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (646) 559-0560
Recruiting & transitionsM&A & valuation
60
BLACKWATCH FINANCIAL GROUP, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 630-380-9430
Recruiting & transitionsM&A & valuation
60
235 WEALTH MANAGEMENT, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $9.1M RAUM, 1 reps). IAPD ↗
$9.1M RAUM · 1 reps · 303-886-3322 · 235wealth.com
Recruiting & transitionsM&A & valuation
60
WEALTHSTONE PRIVATE WEALTH MANAGEMENT, LLC (SCOTTSDALE, AZ) left the SEC roster — its 120-day provisional registration did not convert (was $19.5M RAUM, 1 reps). IAPD ↗
$19.5M RAUM · 1 reps · 480-973-3560 · wealthstonepwm.com
Recruiting & transitionsM&A & valuation
60
PONTA WEALTH PARTNERS, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 407-234-5343
Recruiting & transitionsM&A & valuation
55
OPUS INVESTMENT MANAGEMENT, INC. (WORCESTER, MA) left the SEC roster (was $11.39B RAUM, 15 reps). IAPD ↗institutional
$11.39B RAUM · 15 reps · 508-855-6689 · opusinvestment.com
Recruiting & transitionsM&A & valuation
55
COOK STREET CONSULTING, INC. (GREENWOOD VILLAGE, CO) left the SEC roster (was $7.08B RAUM, 31 reps). IAPD ↗institutional
$7.08B RAUM · 31 reps · 303-333-7770 · cookstreetconsulting.com
Recruiting & transitionsM&A & valuation
50
GSAM STRATEGIST PORTFOLIOS, LLC (NEW YORK, NY) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 212-902-1000
Recruiting & transitionsM&A & valuation
50
COLEMAN CAPITAL (US) LLC (location n/a) left the SEC roster (was $30.0M RAUM, 1 reps). IAPD ↗institutional
$30.0M RAUM · 1 reps · 8439372301
Recruiting & transitionsM&A & valuation
50
NORIAS CAPITAL MANAGEMENT LP (WEST PALM BEACH, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 27 reps). IAPD ↗institutional
$0 RAUM · 27 reps · 917-440-5835
Recruiting & transitionsM&A & valuation
50
FMI TECHNOLOGIES LLC (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 212-729-8490 · fmitech.net
Recruiting & transitionsM&A & valuation
48
BENNBRIDGE US LLC (BOSTON, MA) left the SEC roster (was $371.6M RAUM, 1 reps). IAPD ↗fund
$371.6M RAUM · 1 reps · 781-923-6040 · bennbridge.com
Recruiting & transitionsM&A & valuation
48
CAMSHAFT CAPITAL ADVISORS LLC (MIAMI, FL) left the SEC roster (was $581.1M RAUM, 1 reps). IAPD ↗fund
$581.1M RAUM · 1 reps · +1 (305) 619-1383 · camshaftgroup.com
Recruiting & transitionsM&A & valuation
45
13D MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $176.0M RAUM, 5 reps). IAPD ↗fund
$176.0M RAUM · 5 reps · 212-223-2282 · 13dmanagement.com
Recruiting & transitionsM&A & valuation
45
BACHRACH ASSET MANAGEMENT INC (ROCKVILLE, MD) left the SEC roster (was $193.6M RAUM, 4 reps). IAPD ↗fund
$193.6M RAUM · 4 reps · 301-365-8880
Recruiting & transitionsM&A & valuation
45
ORTHOGON PARTNERS INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $161.0M RAUM, 5 reps). IAPD ↗fund
$161.0M RAUM · 5 reps · 212.658.0732 · orthogon.partners
Recruiting & transitionsM&A & valuation
45
HI2 INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $52.3M RAUM, 1 reps). IAPD ↗fund
$52.3M RAUM · 1 reps · 646-969-6868
Recruiting & transitionsM&A & valuation
45
FAIRWAY AMERICA INVESTMENT ADVISORS, LLC (PORTLAND, OR) left the SEC roster (was $140.7M RAUM, 17 reps). IAPD ↗fund
$140.7M RAUM · 17 reps · 503.906.9100
Recruiting & transitionsM&A & valuation
45
FARADAY CAPITAL, L.P. (ROCKLIN, CA) left the SEC roster (was $64.6M RAUM, 3 reps). IAPD ↗fund
$64.6M RAUM · 3 reps · (916) 251 7146 · faradaycap.com
Recruiting & transitionsM&A & valuation
45
INHERENT GROUP, LP (NEW YORK, NY) left the SEC roster (was $186.8M RAUM, 5 reps). IAPD ↗fund
$186.8M RAUM · 5 reps · 646-494-0202 · inherentgroup.com
Recruiting & transitionsM&A & valuation
45
EGIS CAPITAL PARTNERS LP (SUMMIT, NJ) left the SEC roster (was $115.0M RAUM, 3 reps). IAPD ↗fund
$115.0M RAUM · 3 reps · 973-994-0606
Recruiting & transitionsM&A & valuation
45
NORBURY PARTNERS LP (STAMFORD, CT) left the SEC roster (was $73.8M RAUM, 3 reps). IAPD ↗fund
$73.8M RAUM · 3 reps · 646-460-4601 · norburypartners.com
Recruiting & transitionsM&A & valuation
45
CLADRIUS PARTNERS LLC (MONTVALE, NJ) left the SEC roster (was $211.2M RAUM, 4 reps). IAPD ↗fund
$211.2M RAUM · 4 reps · 646-993-6301 · cladrius.com
Recruiting & transitionsM&A & valuation
45
ARCANO CAPITAL USA, INC. (NEWPORT BEACH, CA) left the SEC roster (was $29.4M RAUM, 3 reps). IAPD ↗fund
$29.4M RAUM · 3 reps · 714-856-6052
Recruiting & transitionsM&A & valuation
45
GENERAL INNOVATION CAPITAL, LLC (MIAMI, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 6 reps). IAPD ↗fund
$0 RAUM · 6 reps · 917-816-1744 · generalinnovation.com
Recruiting & transitionsM&A & valuation
35
INSIGHT INVESTMENT (LONDON, United Kingdom) left the SEC roster (was $3.04B RAUM, 1 reps). IAPD ↗foreign
$3.04B RAUM · 1 reps · +44 20 7163 4000
Recruiting & transitionsM&A & valuation
35
PRIME CAPITAL MANAGEMENT COMPANY LIMITED (HONG KONG, Hong Kong) left the SEC roster (was $1.02B RAUM, 8 reps). IAPD ↗foreign
$1.02B RAUM · 8 reps · 852-36025100
Recruiting & transitionsM&A & valuation
33
CP2 LIMITED (SYDNEY, Australia) left the SEC roster (was $915.3M RAUM, 5 reps). IAPD ↗foreign
$915.3M RAUM · 5 reps · 61 2 8075 4521 · cp2.com
Recruiting & transitionsM&A & valuation
30
RAYMOND JAMES INVESTMENT COUNSEL LTD. (VANCOUVER, BRITISH COLUMBIA, Canada) left the SEC roster (was $27.7M RAUM, 13 reps). IAPD ↗foreign
$27.7M RAUM · 13 reps · 6046541526 · raymondjamesinvestmentcounsel.ca
Recruiting & transitionsM&A & valuation
30
TAULA CAPITAL MANAGEMENT (DIFC) LTD (ST HELIER, Jersey) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗foreign
$0 RAUM · 3 reps · +97 14323 0800
Recruiting & transitionsM&A & valuation
pending approved — 51 120-day provisional registration became a full approval.
73
THE PINES WEALTH MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$338.1M RAUM · 3 reps · (910) 475-8312 · thepineswealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
MASTER'S WEALTH MANAGEMENT INC.'s provisional registration is now fully approved. IAPD ↗
$379.7M RAUM · 6 reps · (717) 581-1323
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
FIRESIDE CAPITAL ADVISORS's provisional registration is now fully approved. IAPD ↗
$270.4M RAUM · 2 reps · 469-357-6370 · firesidecapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
FAIRVOY PRIVATE WEALTH, LLC's provisional registration is now fully approved. IAPD ↗
$460.2M RAUM · 6 reps · (205)578-6250 · fairvoypw.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
CARNEGIE LAKE ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$356.7M RAUM · 5 reps · 201-240-6443
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
RATSON ADVISORY LLC's provisional registration is now fully approved. IAPD ↗
$405.5M RAUM · 1 reps · 917-325-7440 · ratsonadvisory.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
AURDAN CAPITAL MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$401.0M RAUM · 3 reps · 484-254-1935 · aurdancapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
FELLOWSHIP FINANCIAL PLANNING's provisional registration is now fully approved. IAPD ↗
$312.7M RAUM · 6 reps · 5094739483 · fellowshipfinancialplanning.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ALTERI WEALTH's provisional registration is now fully approved. IAPD ↗
$656.6M RAUM · 3 reps · 805-809-0400 · alteriwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ONE WEALTH CAPITAL MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$270.6M RAUM · 6 reps · 855-663-9584 · onewealthmgmt.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SAVVY LABS INC's provisional registration is now fully approved. IAPD ↗
$117.0M RAUM · 11 reps · 888-401-5517 · getsavvy.io
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
WILIAN SECURITIES, LLC's provisional registration is now fully approved. IAPD ↗
$120.8M RAUM · 5 reps · 651-243-0535 · wilianfinancial.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ALOOOLA's provisional registration is now fully approved. IAPD ↗
$27.4M RAUM · 2 reps · 484.275.5525 · alooola.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
STIRLING FINANCIAL GROUP's provisional registration is now fully approved. IAPD ↗
$140.7M RAUM · 3 reps · 619-435-1210 · stirlingfinancialgroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
LORD AND RICHARDS's provisional registration is now fully approved. IAPD ↗
$95.5M RAUM · 7 reps · 720-214-6801
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TRUST INVESTMENT ADVISORS WEALTH MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 2 reps · 317-253-2000
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ANCHOR WEALTH MANAGEMENT GROUP LLC's provisional registration is now fully approved. IAPD ↗
$178.1M RAUM · 1 reps · (561) 228-8688 · anchorwealthgroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
DEMETER TACTICAL INVESTMENTS CORP.'s provisional registration is now fully approved. IAPD ↗
$101.0M RAUM · 1 reps · 2125184444 · demeter-funds.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CATALYST WEALTH MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$20.6M RAUM · 17 reps · 832-657-7735 · catalystfg.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
INMAN JAGER WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$171.6M RAUM · 2 reps · (601) 602-3571 · inmanjagerwm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ROCKBRIDGE CAPITAL MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$137.9M RAUM · 3 reps · 703.628.1036
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CONSTANT's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 332-900-7227 · useconstant.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FCIG WEALTH MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$102.7M RAUM · 2 reps · 877-420-5234
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
EXPRESSIVE WEALTH LLC's provisional registration is now fully approved. IAPD ↗
$120.0M RAUM · 5 reps · 847-595-8812 · expressivewealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CRUSONIA WEALTH ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$152.4M RAUM · 2 reps · 303-810-6366 · crusoniawealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MERKKURI WEALTH ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$156.2M RAUM · 2 reps · 516-268-3446
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FULL FINANCIAL INC.'s provisional registration is now fully approved. IAPD ↗
$217.5M RAUM · 2 reps · 7203723410 · fullfinancial.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
65
QUANTESSENCE CAPITAL's provisional registration is now fully approved. IAPD ↗institutional
$1.46B RAUM · 3 reps · 212-655-9622
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
LANDMARK INVESTMENT PARTNERS, L.P.'s provisional registration is now fully approved. IAPD ↗institutional
$873.0M RAUM · 4 reps · 561-210-3331
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
AIP CAPITAL ADVISORS LLC's provisional registration is now fully approved. IAPD ↗institutional
$125.0M RAUM · 7 reps · 203-487-8200 · aipcapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
GID MULTIFAMILY INVESTMENT MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗fund
$3.82B RAUM · 102 reps · 833-259-7511 · gid.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
APOLLO S3 RIC MANAGEMENT, L.P.'s provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 2540 reps · 212-515-3200 · apollo.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
HARVEST GROWTH CAPITAL's provisional registration is now fully approved. IAPD ↗fund
$292.1M RAUM · 1 reps · 512-466-9118 · harvestgrowthcapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
ELDRIDGE ACRE PARTNERS, LP's provisional registration is now fully approved. IAPD ↗fund
$892.5M RAUM · 10 reps · 213-394-2506 · eldridgeacre.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
SHORENSTEIN INVESTMENT ADVISERS LLC's provisional registration is now fully approved. IAPD ↗fund
$753.1M RAUM · 45 reps · 415-772-7000 · shorenstein.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
DUNDEE MAESTRO MANAGEMENT, LP's provisional registration is now fully approved. IAPD ↗fund
$641.8M RAUM · 3 reps · 914-815-0896
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
BENCHSTONE CAPITAL MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗fund
$465.5M RAUM · 5 reps · 646-908-6000 · benchstonecapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
STRAWBERRY TREE MANAGEMENT COMPANY's provisional registration is now fully approved. IAPD ↗fund
$271.3M RAUM · 1 reps · 206-880-1869 · strawberrytree.co
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
POSITIVE SELECTION INVESTMENT MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗fund
$500.0M RAUM · 2 reps · 203-485-0443 · regeneronventures.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
MACQUARIE CAPITAL PARTNERS LLC's provisional registration is now fully approved. IAPD ↗fund
$118.2M RAUM · 15 reps · (212) 231-1000
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
GLOBAL DELTA CAPITAL, LLC's provisional registration is now fully approved. IAPD ↗fund
$111.0M RAUM · 5 reps · 617-430-5460 · globaldeltacapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
TRINITY CAPITAL ADVISER, LLC's provisional registration is now fully approved. IAPD ↗fund
$60.0M RAUM · 47 reps · 480-374-5350
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
CHARTER OAK ADVISORS LP's provisional registration is now fully approved. IAPD ↗fund
$225.7M RAUM · 4 reps · 212-404-2500 · charteroakadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
FORTWOOD CAPITAL LP's provisional registration is now fully approved. IAPD ↗fund
$204.0M RAUM · 4 reps · 475-303-3380
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
NILES INVESTMENT MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗fund
$114.5M RAUM · 1 reps · (305) 813-0484 · danniles.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
GALLO PARTNERS LP's provisional registration is now fully approved. IAPD ↗fund
$144.7M RAUM · 5 reps · (973) 200-1755
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
OBION CAPITAL MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗fund
$98.3M RAUM · 2 reps · 305-317-5100 · obioncapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
45
TAULA CAPITAL MANAGEMENT (UK) LLP's provisional registration is now fully approved. IAPD ↗foreign
$75.87B RAUM · 13 reps · 44 20 4570 2067 · taulacapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
45
TAULA CAPITAL MANAGEMENT (US) LLC's provisional registration is now fully approved. IAPD ↗foreign
$75.87B RAUM · 9 reps · 44-20-4570-2067 · taulacapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
45
BENNBRIDGE LTD's provisional registration is now fully approved. IAPD ↗foreign
$1.30B RAUM · 8 reps · +44 (0) 20 7872 7600 · bennbridge.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
45
TAULA CAPITAL MANAGEMENT (JERSEY) LIMITED's provisional registration is now fully approved. IAPD ↗foreign
$75.87B RAUM · 3 reps · 44-20-4570-2067 · taulacapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
disclosure added — 37 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 1 (158 -> 159). IAPD ↗
$149.25B RAUM · 3027 reps · 314-342-2000 · ashlockwealthmanagement.com
ComplianceMarketing & brand
55
WELLS FARGO ADVISORS's Item 11 disclosure-reporting entries rose by 1 (647 -> 648). IAPD ↗
$558.46B RAUM · 8623 reps · 314-875-3000
ComplianceMarketing & brand
55
RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 1 (228 -> 229). IAPD ↗
$201.26B RAUM · 2042 reps · 212-858-7000 · us.rbcwealthmanagement.com
ComplianceMarketing & brand
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC.'s Item 11 disclosure-reporting entries rose by 3 (103 -> 106). IAPD ↗
$173.04B RAUM · 206 reps · 212-454-4500
ComplianceMarketing & brand
55
WELLINGTON MANAGEMENT COMPANY LLP's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
$1282.73B RAUM · 541 reps · 617-951-5000
ComplianceMarketing & brand
55
ONEDIGITAL INVESTMENT ADVISORS's Item 11 disclosure-reporting entries rose by 5 (7 -> 12). IAPD ↗
$107.10B RAUM · 380 reps · 877-742-2021
ComplianceMarketing & brand
55
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (24 -> 26). IAPD ↗
$86.27B RAUM · 603 reps · 415-392-1400
ComplianceMarketing & brand
55
VOYA INVESTMENT MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 1 (4 -> 5). IAPD ↗
$33.83B RAUM · 306 reps · 770-690-4600
ComplianceMarketing & brand
55
RREEF AMERICA L.L.C.'s Item 11 disclosure-reporting entries rose by 3 (103 -> 106). IAPD ↗
$31.83B RAUM · 138 reps · 312-537-7000
ComplianceMarketing & brand
55
MORGAN STANLEY's Item 11 disclosure-reporting entries rose by 1 (242 -> 243). IAPD ↗
$1402.43B RAUM · 13000 reps · 914-225-5510 · morganstanley.com
ComplianceMarketing & brand
55
INTEGRATED ADVISORS NETWORK LLC's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
$4.21B RAUM · 82 reps · 855-729-4222
ComplianceMarketing & brand
55
GROVE POINT ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗
$2.36B RAUM · 322 reps · 301-944-5900
ComplianceMarketing & brand
55
AMERITAS ADVISORY SERVICES, LLC's Item 11 disclosure-reporting entries rose by 2 (24 -> 26). IAPD ↗
$10.29B RAUM · 470 reps · 800-335-9858 · ameritas.com
ComplianceMarketing & brand
53
BNA WEALTH's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$374.6M RAUM · 3 reps · 803-324-7100
ComplianceMarketing & brand
53
PVG ASSET MANAGEMENT CORP's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$500.4M RAUM · 3 reps · 303-526-0548 · pvgassetmanagement.com
ComplianceMarketing & brand
53
CONCORDE ASSET MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (13 -> 15). IAPD ↗
$395.1M RAUM · 67 reps · 248-824-6710
ComplianceMarketing & brand
53
KINGDOM FINANCIAL GROUP, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$295.0M RAUM · 17 reps · 623-974-0300
ComplianceMarketing & brand
53
KINGDON CAPITAL MANAGEMENT, L.L.C.'s Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$823.5M RAUM · 9 reps · 212-333-0100 · kingdon.com
ComplianceMarketing & brand
53
GOLDEN STATE EQUITY PARTNERS, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$743.7M RAUM · 24 reps · 866-273-1563 · vector3wealth.com
ComplianceMarketing & brand
53
CARNEGIE LAKE ADVISORS LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$356.7M RAUM · 5 reps · 201-240-6443
ComplianceMarketing & brand
53
ONE WEALTH CAPITAL MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$270.6M RAUM · 6 reps · 855-663-9584 · onewealthmgmt.com
ComplianceMarketing & brand
50
MUTUAL OF OMAHA INVESTOR SERVICES, INC.'s Item 11 disclosure-reporting entries rose by 2 (31 -> 33). IAPD ↗
$15.5M RAUM · 285 reps · 402-351-3102 · mutualofomaha.com
ComplianceMarketing & brand
50
MASTERWORKS ADVISERS, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$37.2M RAUM · 20 reps · 203-518-5172 · masterworks.com
ComplianceMarketing & brand
45
DBX ADVISORS LLC's Item 11 disclosure-reporting entries rose by 3 (103 -> 106). IAPD ↗institutional
$20.04B RAUM · 11 reps · 212-454-4500
ComplianceMarketing & brand
45
ALLIANCE PARTNERS LLC's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗institutional
$2.59B RAUM · 16 reps · 301-232-5400
ComplianceMarketing & brand
40
DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 3 (663 -> 666). IAPD ↗institutional
$0 RAUM · 149 reps · 212-250-2500 · dbresearch.com
ComplianceMarketing & brand
40
ANSON FUNDS MANAGEMENT LP's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$2.48B RAUM · 1 reps · 214.866.0200
ComplianceMarketing & brand
40
REDMILE GROUP's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗fund
$6.47B RAUM · 20 reps · 415-489-9980 · redmilegroup.com
ComplianceMarketing & brand
40
WELLINGTON ALTERNATIVE INVESTMENTS's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗fund
$50.60B RAUM · 1 reps · 617-951-5372
ComplianceMarketing & brand
40
BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 4 (112 -> 116). IAPD ↗institutional
$0 RAUM · 314 reps · 646-743-2734 · bankofamerica.com
ComplianceMarketing & brand
40
WELLINGTON FUNDS (US) LLC's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗fund
$5.01B RAUM · 0 reps · 617-951-5786
ComplianceMarketing & brand
25
DWS INTERNATIONAL GMBH's Item 11 disclosure-reporting entries rose by 3 (103 -> 106). 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 3 (102 -> 105). 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 3 (104 -> 107). 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 3 (104 -> 107). IAPD ↗foreign
$3.45B RAUM · 20 reps · 852-2203-8888
ComplianceMarketing & brand
25
WELLINGTON MANAGEMENT JAPAN PTE LTD's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗foreign
$18.12B RAUM · 9 reps · 813-5533-0011
ComplianceMarketing & brand
25
WELLINGTON MANAGEMENT HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗foreign
$11.79B RAUM · 34 reps · 852-2846-6000
ComplianceMarketing & brand
website changed — 31 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
COOPER MCMANUS changed its website from larsonfs.com to crossfinancial.com. IAPD ↗
$1.58B RAUM · 38 reps · 800-516-5333 · crossfinancial.com
Marketing & brand
30
CERTUITY, LLC changed its website from altsplus.com to certuity.com. IAPD ↗
$3.96B RAUM · 16 reps · 561-693-3255 · certuity.com
Marketing & brand
30
SUMMIT GLOBAL INVESTMENTS, LLC changed its website from sgiam.com to sgimutualfunds.com. IAPD ↗
$2.03B RAUM · 15 reps · 888-251-4847 · sgimutualfunds.com
Marketing & brand
28
FINANCIAL CONSULATE changed its website from moneyrichesandwealth.com to financialphysical.net. IAPD ↗
$782.3M RAUM · 12 reps · 410-823-7283 · financialphysical.net
Marketing & brand
28
MERIDIAN INVESTMENT ADVISORS changed its website from facebook.com - meridian investment advisors to linkedin.com - meridian investment advisors. IAPD ↗
$772.1M RAUM · 3 reps · 501-663-7055 · linkedin.com - meridian investment advisors
Marketing & brand
28
RHODES INVESTMENT ADVISORS, INC. changed its website from burgess-investments.com to palmerretirement.com. IAPD ↗
$266.2M RAUM · 9 reps · 817-334-0455 · palmerretirement.com
Marketing & brand
28
FINANCIAL & TAX ARCHITECTS, LLC changed its website from knoxvilleretirementplanner.com to professionalgroupinc.com. IAPD ↗
$409.9M RAUM · 23 reps · 314-858-1122 · professionalgroupinc.com
Marketing & brand
28
CL WEALTH MANAGEMENT LLC changed its website from barbarakice.com to bridgeportinvest.com. IAPD ↗
$532.8M RAUM · 43 reps · 212-388-6200 · bridgeportinvest.com
Marketing & brand
28
RIA ADVISORY GROUP, LLC changed its website from dakotaadvisoryteam.com to riaadvisorygroup.com. IAPD ↗
$398.9M RAUM · 22 reps · 515 965-8588 · riaadvisorygroup.com
Marketing & brand
28
RESEARCH FINANCIAL STRATEGIES changed its website from winstonpaul.com to rfsadvisors.com. IAPD ↗
$273.0M RAUM · 6 reps · 301-294-7500 · rfsadvisors.com
Marketing & brand
28
PRIVATE PORTFOLIO PARTNERS, LLC changed its website from archwaywealth.com to fairway-wealth.com. IAPD ↗
$899.9M RAUM · 19 reps · 201-939-6644 · fairway-wealth.com
Marketing & brand
28
CREDICORP CAPITAL ADVISORS LLC changed its website from credicorpcapitalinvest.com to credicorpcapital.com. IAPD ↗
$694.6M RAUM · 7 reps · 305-455-0975 · credicorpcapital.com
Marketing & brand
28
PROSPERA PRIVATE WEALTH, LLC changed its website from reuterjameswealth.com to prosperaprivatewealth.com. IAPD ↗
$470.1M RAUM · 3 reps · (405) 253-6080 · prosperaprivatewealth.com
Marketing & brand
28
SMART WEALTH, LLC changed its website from soundcloud.com to retiresmartomaha.com. IAPD ↗
$302.9M RAUM · 12 reps · 402-369-7777 · retiresmartomaha.com
Marketing & brand
28
OCTOGONE NA changed its website from focusfinancialpartners.com to octogone-na.com. IAPD ↗
$378.6M RAUM · 7 reps · 305-677-9559 · octogone-na.com
Marketing & brand
25
SUTTERFIELD FINANCIAL GROUP, INC. changed its website from sutterfieldfinancial.com to longviewfinancialsolutions.com. IAPD ↗
$202.2M RAUM · 13 reps · (918) 338-2255 · longviewfinancialsolutions.com
Marketing & brand
25
MCM WEALTH changed its website from marincapitalmanagement.com to mcmwealth.com. IAPD ↗
$133.7M RAUM · 6 reps · 844-626-4949 · mcmwealth.com
Marketing & brand
25
MERIDIAN WEALTH ADVISORS, LLC changed its website from napfa.org to wealthtender.com. IAPD ↗
$108.8M RAUM · 1 reps · (505) 828-2220 · wealthtender.com
Marketing & brand
25
SANCTUARY WEALTH MANAGEMENT, LLC changed its website from sanctuarywealth.net to esoprollover.com. IAPD ↗
$229.0M RAUM · 8 reps · 208-233-0080 · esoprollover.com
Marketing & brand
25
PEACHCAP TAX & ADVISORY, LLC changed its website from peachcap.com to idexfinancial.com. IAPD ↗
$115.8M RAUM · 4 reps · 404-220-8958 · idexfinancial.com
Marketing & brand
25
TRANSGLOBAL ADVISORY, LLC changed its website from transglobalus.com to transglobaladvisory.com. IAPD ↗
$39.9M RAUM · 27 reps · 626-447-7888 · transglobaladvisory.com
Marketing & brand
25
COMPASS RETIREMENT GROUP LLC changed its website from crsretirement.com to compassretirementsolutions.com. IAPD ↗
$99.4M RAUM · 6 reps · 314-373-1598 · compassretirementsolutions.com
Marketing & brand
25
INVEST CAPITAL PARTNERS changed its website from mwmrj.com to mwm.financial. IAPD ↗
$144.5M RAUM · 7 reps · 937-557-3200 · mwm.financial
Marketing & brand
25
MERITED WEALTH, LLC changed its website from meritedwealth.com to satwealthman.com. IAPD ↗
$105.7M RAUM · 4 reps · 305.722.0091 · satwealthman.com
Marketing & brand
25
ADOLOS ASSET MANAGEMENT changed its website from adolosassetmanagement.com to adolosam.com. IAPD ↗
$169.5M RAUM · 2 reps · 3368171604 · adolosam.com
Marketing & brand
25
VIABLE changed its website from viaable.com to viableplans.com. IAPD ↗
$124.9M RAUM · 2 reps · 215-370-9067 · viableplans.com
Marketing & brand
25
DAUS FINANCIAL GROUP, LLC changed its website from dausfinancial.com to dausfinancial.co. IAPD ↗
$154.1M RAUM · 3 reps · (269) 321-7472 · dausfinancial.co
Marketing & brand
25
BRIDGEPORT FINANCIAL SOLUTIONS changed its website from bridgeport.financial.com to bridgeport.financial. IAPD ↗
$0 RAUM · 7 reps · 877-411-2737 · bridgeport.financial
Marketing & brand
15
MEDALIST PARTNERS LP changed its website from medalistpartners.com to medalistpartnersfunds.com. IAPD ↗fund
$2.02B RAUM · 12 reps · 212-493-4477 · medalistpartnersfunds.com
Marketing & brand
13
CQS (US), LLC changed its website from cqs.com to cqscapital.com. IAPD ↗fund
$894.6M RAUM · 12 reps · 212-259-2900 · cqscapital.com
Marketing & brand
13
STRAWBERRY TREE MANAGEMENT COMPANY changed its website from strawberrymanagement.co to strawberrytree.co. IAPD ↗fund
$271.3M RAUM · 1 reps · 206-880-1869 · strawberrytree.co
Marketing & brand
relocation — 30 Main office moved to a different city or state.
50
HUDSON EDGE INVESTMENT PARTNERS, INC. moved its main office from 740272, DE to JERSEY CITY, NJ. IAPD ↗
$2.48B RAUM · 8 reps · 201-659-3700 · hudsonedgeip.com
Office IT & facilitiesMarketing & brand
48
SYNERGY ASSET MANAGEMENT, LLC moved its main office from BELLEVUE, WA to VANCOUVER, WA. IAPD ↗
$823.7M RAUM · 6 reps · 206-386-5455 · advisorempowerment.com
Office IT & facilitiesMarketing & brand
48
SHIRA RIDGE WEALTH MANAGEMENT moved its main office from LARKSPUR, CA to SAN RAFAEL, CA. IAPD ↗
$272.4M RAUM · 2 reps · 415-721-0275 · shiraridge.com
Office IT & facilitiesMarketing & brand
48
ST. JAMES INVESTMENT COMPANY, LLC moved its main office from DALLAS, TX to SOUTHLAKE, TX. IAPD ↗
$661.9M RAUM · 2 reps · 214-484-7250 · stjic.com
Office IT & facilitiesMarketing & brand
48
BELLATORE FINANCIAL, INC. moved its main office from PLEASANT HILL, CA to THE WOODLANDS, TX. IAPD ↗
$513.3M RAUM · 2 reps · 832-585-0110 · whygofeebased.com
Office IT & facilitiesMarketing & brand
48
PACIFIC SAGE PARTNERS, LLC moved its main office from SHORELINE, WA to EDMONDS, WA. IAPD ↗
$767.3M RAUM · 4 reps · (206) 533-0500 · pacificsagepartners.com
Office IT & facilitiesMarketing & brand
45
AMERICAN WEALTH MANAGEMENT, INC. moved its main office from ATLANTA, GA to ALPHARETTA, GA. IAPD ↗
$217.5M RAUM · 10 reps · 770-392-8740 · awminc.biz
Office IT & facilitiesMarketing & brand
45
JASMIJN CAPITAL MANAGEMENT, LLC moved its main office from LEHI, UT to HIGHLAND, UT. IAPD ↗
$69.9M RAUM · 2 reps · 303-991-6409 · agiliswealth.com
Office IT & facilitiesMarketing & brand
45
FINLEY FINANCIAL, LLC moved its main office from MCMINNVILLE, OR to LAS VEGAS, NV. IAPD ↗
$176.0M RAUM · 1 reps · 503-474-3535 · finleyfinancial.com
Office IT & facilitiesMarketing & brand
45
GLOBAL WEALTH MANAGEMENT, L.C. moved its main office from ZÜRICH, to DEERFIELD BEACH, FL. IAPD ↗
$124.6M RAUM · 2 reps · -3631 · gwm-ch.com
Office IT & facilitiesMarketing & brand
45
TANDEM INVESTMENT PARTNERS, LLC moved its main office from PRINCETON, NJ to BORDENTOWN, NJ. IAPD ↗
$158.8M RAUM · 3 reps · 609-452-2100 · tandeminvestment.com
Office IT & facilitiesMarketing & brand
45
MARSHALL INVESTMENT MANAGEMENT, LLC moved its main office from LITTLETON, CO to GREENWOOD VILLAGE, CO. IAPD ↗
$221.6M RAUM · 7 reps · 303-991-6415 · investwithmarshall.com
Office IT & facilitiesMarketing & brand
45
PROVIDENT FINANCIAL PLANNING, LLC moved its main office from SOUTHLAKE, TX to PLANO, TX. IAPD ↗
$132.5M RAUM · 1 reps · 888-752-6234 · providentfp.com
Office IT & facilitiesMarketing & brand
45
ADVISOR SHARE WEALTH MANAGEMENT moved its main office from BELLEVUE, WA to VANCOUVER, WA. IAPD ↗
$48.0M RAUM · 22 reps · 866-232-3251 · aswealthmanagement.com
Office IT & facilitiesMarketing & brand
45
SNC WEALTH MANAGEMENT LLC moved its main office from WANTAGH, NY to PLAINSBORO, NJ. IAPD ↗
$12.2M RAUM · 1 reps · 908-510-3072
Office IT & facilitiesMarketing & brand
45
PETERSON ROGERS PRIVATE WEALTH, LLC moved its main office from LEHI, UT to SALT LAKE CITY, UT. IAPD ↗
$160.5M RAUM · 4 reps · 8019929783
Office IT & facilitiesMarketing & brand
45
ARIMATHEA moved its main office from SOUTH COAST METRO, CA to POWELL, WY. IAPD ↗
$0 RAUM · 1 reps · 707-813-7070 · arimatheainvesting.com
Office IT & facilitiesMarketing & brand
45
MINDSET WEALTH MANAGEMENT, LLC moved its main office from FISHERS, IN to INDIANAPOLIS, IN. IAPD ↗
$205.7M RAUM · 4 reps · 317-348-4655 · mindsetwealthmanagement.com
Office IT & facilitiesMarketing & brand
40
MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC moved its main office from PORTLAND, OR to GREENWOOD VILLAGE, CO. IAPD ↗institutional
$7.73B RAUM · 41 reps · 303-333-7770 · hyasgroup.com
Office IT & facilitiesMarketing & brand
38
DRI CAPITAL (US), INC. moved its main office from NEW YORK, NY to SHORT HILLS, NJ. IAPD ↗institutional
$551.7M RAUM · 3 reps · 908-577-2968
Office IT & facilitiesMarketing & brand
35
VISION2020 WEALTH MANAGEMENT CORP. moved its main office from PHOENIX, AZ to SCOTTSDALE, AZ. IAPD ↗institutional
$0 RAUM · 0 reps · 800-552-3319
Office IT & facilitiesMarketing & brand
35
WESTPORT CAPITAL PARTNERS LLC moved its main office from STAMFORD, CT to DARIEN, CT. IAPD ↗fund
$6.52B RAUM · 14 reps · 203-429-8600 · westportcp.com
Office IT & facilitiesMarketing & brand
35
ONEFUND, LLC moved its main office from ST. PETERSBURG, OH to ST. PETERSBURG, FL. IAPD ↗institutional
$105.7M RAUM · 1 reps · 7275020808 · onefund.io
Office IT & facilitiesMarketing & brand
35
CLEAR SKY ADVISERS, LLC moved its main office from HOUSTON, TX to BELLAIRE, TX. IAPD ↗fund
$1.04B RAUM · 5 reps · 713-263-3300 · clearskyim.com
Office IT & facilitiesMarketing & brand
35
TWIN OAK ETF COMPANY moved its main office from NATICK, MA to WELLESLEY, MA. IAPD ↗institutional
$0 RAUM · 2 reps · 617-402-5495
Office IT & facilitiesMarketing & brand
33
FLEXIS CAPITAL moved its main office from MIAMI BEACH, FL to MIAMI, FL. IAPD ↗fund
$295.9M RAUM · 3 reps · 212-378-4000 · flexiscapital.com
Office IT & facilitiesMarketing & brand
33
IRON PATH CAPITAL, L.P. moved its main office from NASHVILLE, TN to CHARLOTTESVILLE, VA. IAPD ↗fund
$357.2M RAUM · 14 reps · 434-257-3288
Office IT & facilitiesMarketing & brand
30
WINDHAM CAPITAL MANAGEMENT, LLC moved its main office from BOSTON, MA to CAMBRIDGE, MA. IAPD ↗fund
$192.1M RAUM · 5 reps · 617-419-3900
Office IT & facilitiesMarketing & brand
30
GREENFIELD PARTNERS, LLC moved its main office from STAMFORD, CT to GREENWICH, CT. IAPD ↗fund
$132.3M RAUM · 2 reps · 203-354-5000 · greenfieldpartners.com
Office IT & facilitiesMarketing & brand
15
LOBNEK WEALTH MANAGEMENT INC. moved its main office from NEW YORK, NY to GENEVA, . IAPD ↗foreign
$168.8M RAUM · 3 reps · 011417189030 · lobnek-inc.com
Office IT & facilitiesMarketing & brand
aum up — 28 Regulatory AUM up >=25% since last filing.
75
STAIRWAY PARTNERS, LLC reported RAUM up 90% ($1.04B -> $1.98B). IAPD ↗
$1.98B RAUM · 4 reps · 630-371-2626 · stairwaypartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
73
ATTESSA CAPITAL LLC reported RAUM up 139% ($108.3M -> $259.1M). IAPD ↗
$259.1M RAUM · 8 reps · 520-600-3064 · attessacapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
EVANS CAPITAL MANAGEMENT ASSOCIATES reported RAUM up 63% ($284.8M -> $463.9M). IAPD ↗
$463.9M RAUM · 3 reps · 425-455-0501 · rlevansco.net
Portfolio / reporting / TAMPCRMFinancial planning software
70
ACCESS CAPITAL, LLC reported RAUM up 103% ($34.7M -> $70.5M). IAPD ↗
$70.5M RAUM · 1 reps · 316-633-8013 · accesscapitaladvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
69
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS reported RAUM up 46% ($15.32B -> $22.37B). IAPD ↗
$22.37B RAUM · 80 reps · 216-621-1090 · clearsteadinvestmentforum.buzzsprout.com
Portfolio / reporting / TAMPCRMFinancial planning software
69
ACTIVEST WEALTH MANAGEMENT, LLC reported RAUM up 56% ($613.4M -> $956.5M). IAPD ↗
$956.5M RAUM · 8 reps · 954-399-8121 · activestwm.com
Portfolio / reporting / TAMPCRMFinancial planning software
69
APPLIED FINANCE CAPITAL MANAGEMENT, LLC reported RAUM up 46% ($3.01B -> $4.39B). IAPD ↗
$4.39B RAUM · 2 reps · 800-673-0400 · appliedfinance.com
Portfolio / reporting / TAMPCRMFinancial planning software
68
ACCELERATE RETIREMENT reported RAUM up 67% ($104.0M -> $173.5M). IAPD ↗
$173.5M RAUM · 18 reps · 888-439-7071
Portfolio / reporting / TAMPCRMFinancial planning software
67
FACET reported RAUM up 37% ($2.54B -> $3.49B). IAPD ↗
$3.49B RAUM · 86 reps · (443)376-6222
Portfolio / reporting / TAMPCRMFinancial planning software
67
WILIAN SECURITIES, LLC reported RAUM up 61% ($75.2M -> $120.8M). IAPD ↗
$120.8M RAUM · 5 reps · 651-243-0535 · wilianfinancial.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
TERRA WEALTH reported RAUM up 36% ($250.1M -> $340.7M). IAPD ↗
$340.7M RAUM · 52 reps · 855-708-3772
Portfolio / reporting / TAMPCRMFinancial planning software
64
WEALTHEDGE INVESTMENT ADVISORS LLC reported RAUM up 32% ($287.4M -> $379.0M). IAPD ↗
$379.0M RAUM · 4 reps · 212-687-3600 · wealthedge.com
Portfolio / reporting / TAMPCRMFinancial planning software
64
PENSERRA CAPITAL MANAGEMENT LLC reported RAUM up 71% ($6.71B -> $11.44B). IAPD ↗institutional
$11.44B RAUM · 8 reps · 800-456-8850 · penserracapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
BOYD CAPITAL reported RAUM up 41% ($88.3M -> $124.5M). IAPD ↗
$124.5M RAUM · 2 reps · 585-269-8511 · boydcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
INVUS FINANCIAL ADVISORS, LLC reported RAUM up 277% ($2.95B -> $11.13B). IAPD ↗fund
$11.13B RAUM · 34 reps · 212-616-2555 · invus.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
AMERICAN FUNDSTARS reported RAUM up 26% ($177.1M -> $222.9M). IAPD ↗
$222.9M RAUM · 6 reps · 949-877-8838 · americanfundstars.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
21SHARES US LLC reported RAUM up 104% ($18.7M -> $38.1M). IAPD ↗institutional
$38.1M RAUM · 10 reps · 646-370-6016
Portfolio / reporting / TAMPCRMFinancial planning software
60
GENESIA INVESTMENTS LLC reported RAUM up 135% ($100.2M -> $235.8M). IAPD ↗institutional
$235.8M RAUM · 1 reps · 864-334-5188 · genesiainvestments.com
Portfolio / reporting / TAMPCRMFinancial planning software
52
VANCE STREET CAPITAL LLC reported RAUM up 39% ($1.97B -> $2.74B). IAPD ↗fund
$2.74B RAUM · 19 reps · 310-231-7100 · vancestreetcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
52
MLC ASSET MANAGEMENT US LLC reported RAUM up 39% ($1.90B -> $2.65B). IAPD ↗fund
$2.65B RAUM · 3 reps · 617-953-1416
Portfolio / reporting / TAMPCRMFinancial planning software
51
RK CAPITAL MANAGEMENT, LLC reported RAUM up 41% ($691.8M -> $975.5M). IAPD ↗fund
$975.5M RAUM · 9 reps · 561-408-1711 · rkcapl.com
Portfolio / reporting / TAMPCRMFinancial planning software
51
PROSPECT PARTNERS ADVISORS LLC reported RAUM up 41% ($301.8M -> $425.0M). IAPD ↗fund
$425.0M RAUM · 10 reps · (312) 782-7400
Portfolio / reporting / TAMPCRMFinancial planning software
51
NILES INVESTMENT MANAGEMENT, LLC reported RAUM up 60% ($71.6M -> $114.5M). IAPD ↗fund
$114.5M RAUM · 1 reps · (305) 813-0484 · danniles.com
Portfolio / reporting / TAMPCRMFinancial planning software
49
PHOENIX MERCHANT PARTNERS, LP reported RAUM up 33% ($751.5M -> $997.4M). IAPD ↗fund
$997.4M RAUM · 10 reps · 212-804-9990 · phoenix-merchant.com
Portfolio / reporting / TAMPCRMFinancial planning software
45
COLLER INVESTMENT MANAGEMENT LTD reported RAUM up 140% ($21.33B -> $51.19B). IAPD ↗foreign
$51.19B RAUM · 0 reps · +44 1481 745001
Portfolio / reporting / TAMPCRMFinancial planning software
43
ASTRA ASSET MANAGEMENT UK LIMITED reported RAUM up 266% ($92.4M -> $338.0M). IAPD ↗foreign
$338.0M RAUM · 12 reps · +44 (0)20 3189 9700
Portfolio / reporting / TAMPCRMFinancial planning software
40
ALCHEMY INVESTMENT MANAGEMENT LLP reported RAUM up 711% ($25.7M -> $208.4M). IAPD ↗foreign
$208.4M RAUM · 1 reps · 079-61693000 · alchemyim.com
Portfolio / reporting / TAMPCRMFinancial planning software
39
OCTOPUS ENERGY GENERATION reported RAUM up 46% ($5.18B -> $7.57B). IAPD ↗foreign
$7.57B RAUM · 74 reps · 0808 164 1088 · octopusenergygeneration.com
Portfolio / reporting / TAMPCRMFinancial planning software
headcount up — 27 Advisory representative count grew materially (>=20% or >=5 reps).
85
&PARTNERS grew from 87 to 174 advisory reps. IAPD ↗
$1.17B RAUM · 174 reps · 615-255-6431 · prairieheritagefinancial.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC grew from 0 to 615 advisory reps. IAPD ↗
$72.02B RAUM · 615 reps · 763-417-1700
CRMRecruiting & transitionsComplianceFinancial planning software
85
THE COLONY GROUP, LLC grew from 315 to 630 advisory reps. IAPD ↗
$21.47B RAUM · 630 reps · 617-723-8200 · debrabrede.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC grew from 99 to 122 advisory reps. IAPD ↗
$11.29B RAUM · 122 reps · 312-334-7300 · kovitz.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
WELLTH ADVISORY SERVICES, LLC grew from 1 to 67 advisory reps. IAPD ↗
$0 RAUM · 67 reps · 866-777-4015 · srpretire.com
CRMRecruiting & transitionsComplianceFinancial planning software
78
ASHTON THOMAS PRIVATE WEALTH grew from 47 to 55 advisory reps. IAPD ↗
$2.89B RAUM · 55 reps · 602-732-4745
CRMRecruiting & transitionsComplianceFinancial planning software
75
MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC grew from 10 to 41 advisory reps. IAPD ↗institutional
$7.73B RAUM · 41 reps · 303-333-7770 · hyasgroup.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
CONCURRENT INVESTMENT ADVISORS, LLC grew from 118 to 123 advisory reps. IAPD ↗
$6.26B RAUM · 123 reps · (813) 575-2652 · adalanpw.com
CRMRecruiting & transitionsComplianceFinancial planning software
72
QP GLOBAL FAMILY OFFICES, LLC grew from 6 to 8 advisory reps. IAPD ↗
$1.48B RAUM · 8 reps · 203-954-6214
CRMRecruiting & transitionsComplianceFinancial planning software
72
BRIDGEPORT FINANCIAL SOLUTIONS grew from 0 to 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 877-411-2737 · bridgeport.financial
CRMRecruiting & transitionsComplianceFinancial planning software
72
IFS GROUP grew from 7 to 14 advisory reps. IAPD ↗
$200.0M RAUM · 14 reps · 717-766-1144 · ifsgroup1.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
THE MARSHALL FINANCIAL GROUP LLC grew from 5 to 8 advisory reps. IAPD ↗
$468.7M RAUM · 8 reps · (410) 563-1190
CRMRecruiting & transitionsComplianceFinancial planning software
70
DENT WEALTH ADVISORS grew from 2 to 4 advisory reps. IAPD ↗
$275.8M RAUM · 4 reps · 225-922-9955
CRMRecruiting & transitionsComplianceFinancial planning software
70
INVUS FINANCIAL ADVISORS, LLC grew from 9 to 34 advisory reps. IAPD ↗fund
$11.13B RAUM · 34 reps · 212-616-2555 · invus.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
PENOBSCOT FINANCIAL ADVISORS grew from 7 to 9 advisory reps. IAPD ↗
$405.0M RAUM · 9 reps · (207) 990-1901
CRMRecruiting & transitionsComplianceFinancial planning software
68
SMARTPATH ADVISORS grew from 8 to 11 advisory reps. IAPD ↗
$0 RAUM · 11 reps · (678) 538-9420
CRMRecruiting & transitionsComplianceFinancial planning software
68
SAVVY LABS INC grew from 8 to 11 advisory reps. IAPD ↗
$117.0M RAUM · 11 reps · 888-401-5517 · getsavvy.io
CRMRecruiting & transitionsComplianceFinancial planning software
68
MARIDEA WEALTH MANAGEMENT grew from 4 to 7 advisory reps. IAPD ↗
$25.2M RAUM · 7 reps · 269-598-0939 · marideawealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
HIGHLAND INVESTMENT ADVISORS LLC grew from 8 to 10 advisory reps. IAPD ↗
$239.2M RAUM · 10 reps · 414-755-2309 · highlandinvestmentadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
STIRLING FINANCIAL GROUP grew from 1 to 3 advisory reps. IAPD ↗
$140.7M RAUM · 3 reps · 619-435-1210 · stirlingfinancialgroup.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
ROCKBRIDGE CAPITAL MANAGEMENT grew from 1 to 3 advisory reps. IAPD ↗
$137.9M RAUM · 3 reps · 703.628.1036
CRMRecruiting & transitionsComplianceFinancial planning software
67
KILTER GROUP grew from 2 to 4 advisory reps. IAPD ↗
$181.3M RAUM · 4 reps · 646-438-6557 · kiltergroup.com
CRMRecruiting & transitionsComplianceFinancial planning software
65
TRINITY CAPITAL ADVISER, LLC grew from 29 to 47 advisory reps. IAPD ↗fund
$60.0M RAUM · 47 reps · 480-374-5350
CRMRecruiting & transitionsComplianceFinancial planning software
62
SLW MANAGEMENT COMPANY grew from 1 to 8 advisory reps. IAPD ↗fund
$1.32B RAUM · 8 reps · 415-851-9870 · slw.vc
CRMRecruiting & transitionsComplianceFinancial planning software
55
OCTOPUS ENERGY GENERATION grew from 50 to 74 advisory reps. IAPD ↗foreign
$7.57B RAUM · 74 reps · 0808 164 1088 · octopusenergygeneration.com
CRMRecruiting & transitionsComplianceFinancial planning software
44
TAULA CAPITAL MANAGEMENT (UK) LLP grew from 9 to 13 advisory reps. IAPD ↗foreign
$75.87B RAUM · 13 reps · 44 20 4570 2067 · taulacapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
42
TAULA CAPITAL MANAGEMENT (US) LLC grew from 7 to 9 advisory reps. IAPD ↗foreign
$75.87B RAUM · 9 reps · 44-20-4570-2067 · taulacapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
rename — 24 Primary business name changed: rebrand, merger, or ownership change.
60
CUSO FINANCIAL SERVICES is now doing business as CUSO FINANCIAL SERVICES, L.P.. IAPD ↗
$4.66B RAUM · 571 reps · 800-686-4724
Marketing & brandCRM
60
HARRIS ASSOCIATES LP is now doing business as HARRIS | OAKMARK. IAPD ↗
$101.25B RAUM · 46 reps · 312-646-3600
Marketing & brandCRM
60
AVIDIAN WEALTH SOLUTIONS, LLC is now doing business as AVIDIAN WEALTH SOLUTIONS. IAPD ↗
$3.11B RAUM · 32 reps · 281-822-8800 · retirementsurvivalguide.com
Marketing & brandCRM
60
PENSIONMARK FINANCIAL GROUP, LLC is now doing business as WORLD INVESTMENT ADVISORS, LLC. IAPD ↗
$37.76B RAUM · 166 reps · 888-201-5488
Marketing & brandCRM
60
PRIME CAPITAL INVESTMENT ADVISORS, LLC is now doing business as PRIME CAPITAL FINANCIAL. IAPD ↗
$24.36B RAUM · 198 reps · (800) 493-6226 · pciacharleston.com
Marketing & brandCRM
60
TCG ADVISORS, LLC A HUB INTERNATIONAL COMPANY is now doing business as HUB INVESTMENT PARTNERS, LLC. IAPD ↗
$7.32B RAUM · 50 reps · 512-600-5390
Marketing & brandCRM
55
MICHAEL J. PORRO & CO. FINANCIAL ADVISORS, LLC is now doing business as MICHAEL J. PORRO & CO. FINANCIAL ADVISOR INC. IAPD ↗
$119.6M RAUM · 2 reps · 201-768-0218 · porrofinancialadvisors.com
Marketing & brandCRM
55
GEASPHERE ADVISORS is now doing business as ALPHA DOG ADVISORS. IAPD ↗
$168.1M RAUM · 2 reps · 401-351-4900
Marketing & brandCRM
55
ATLATL ADVISERS is now doing business as ATLATL ADVISERS LLC. IAPD ↗
$123.1M RAUM · 6 reps · (608) 351-4500
Marketing & brandCRM
55
LOWENBERG GROUP, LLC is now doing business as MASTERPIECE CAPITAL, LLC. IAPD ↗
$148.2M RAUM · 2 reps · (512) 472-9033
Marketing & brandCRM
55
BLAKE SCHUTTER WEALTH is now doing business as BLAKE SCHUTTER THEIL WEALTH ADVISORS, LLC. IAPD ↗
$181.6M RAUM · 4 reps · 9379567875 · blakeschutter.com
Marketing & brandCRM
55
CODEX CAPITAL, L.L.C. is now doing business as CODEX CAPITAL ASSET MANAGEMENT, L.L.C.. IAPD ↗
$195.5M RAUM · 1 reps · 917-595-7500
Marketing & brandCRM
55
MADDIX HOLDINGS is now doing business as PETERSON ROGERS PRIVATE WEALTH, LLC. IAPD ↗
$160.5M RAUM · 4 reps · 8019929783
Marketing & brandCRM
55
PACIFIC FINANCIAL ADVISORY SERVICES is now doing business as PACIFIC WEALTH ADVISORY SERVICES LLC. IAPD ↗
$0 RAUM · 1 reps · 925-838-7567
Marketing & brandCRM
50
BUCK is now doing business as GALLAGHER. IAPD ↗institutional
$53.55B RAUM · 27 reps · 212-330-1000 · buck.com
Marketing & brandCRM
48
ELLINGTON RESIDENTIAL MORTGAGE MANAGEMENT LLC is now doing business as ELLINGTON CREDIT COMPANY MANAGEMENT LLC. IAPD ↗institutional
$945.7M RAUM · 69 reps · 203-698-1200 · ellington.com
Marketing & brandCRM
48
OAK THISTLE LLC is now doing business as OTRESEARCH. IAPD ↗institutional
$802.4M RAUM · 5 reps · 617-308-5935
Marketing & brandCRM
45
AMERICAN FUNDS DISTRIBUTORS, INC. is now doing business as CAPITAL CLIENT GROUP, INC.. IAPD ↗institutional
$0 RAUM · 494 reps · 213-486-9200
Marketing & brandCRM
45
ONEX FALCON INVESTMENT ADVISORS, LLC is now doing business as FALCON INVESTMENT ADVISORS, LLC. IAPD ↗fund
$4.58B RAUM · 20 reps · (617) 412-2700
Marketing & brandCRM
45
BROOKFIELD ASSET MANAGEMENT INSURANCE ADVISOR LLC is now doing business as BROOKFIELD ASSET MANAGEMENT CREDIT AND INSURANCE SOLUTIONS. IAPD ↗fund
$34.50B RAUM · 998 reps · 2124177000 · brookfield.com
Marketing & brandCRM
40
CTF CAPITAL MANAGEMENT LP is now doing business as WATCHTOWER ADVISORS, LP. IAPD ↗fund
$231.4M RAUM · 3 reps · 203-413-8793
Marketing & brandCRM
30
ALATUS CAPITAL LTD is now doing business as ALATUS CAPITAL LLC. IAPD ↗foreign
$2.04B RAUM · 6 reps · 41 22 735 00 11
Marketing & brandCRM
30
WHITEHORSE LIQUIDITY PARTNERS INC. is now doing business as DAWSON PARTNERS. IAPD ↗foreign
$14.43B RAUM · 39 reps · 647-925-1284
Marketing & brandCRM
28
AUGUST CAPITAL is now doing business as AUGUST GROUP. IAPD ↗foreign
$515.9M RAUM · 3 reps · 438-792-5161 · augustgroup.com
Marketing & brandCRM
custody started — 22 Firm now reports custody of client assets — surprise exams and controls follow.
70
SMITH SHELLNUT WILSON now reports custody of client assets ($530.4M). IAPD ↗
$7.23B RAUM · 14 reps · 601-605-1776 · ssw1776.com
ComplianceCustodian
70
ALM FIRST FINANCIAL ADVISORS LLC now reports custody of client assets ($25.0M). IAPD ↗
$68.65B RAUM · 10 reps · 800-752-4628
ComplianceCustodian
70
CAHABA WEALTH MANAGEMENT, INC. now reports custody of client assets ($366.4M). IAPD ↗
$1.50B RAUM · 12 reps · 404-549-7678
ComplianceCustodian
68
TAYLOR FRIGON CAPITAL MANAGEMENT LLC now reports custody of client assets ($75.4M). IAPD ↗
$301.3M RAUM · 5 reps · 805-226-0280
ComplianceCustodian
68
POWER WEALTH MANAGEMENT now reports custody of client assets ($67.4M). IAPD ↗
$293.8M RAUM · 4 reps · 404-889-8919 · powerwm.com
ComplianceCustodian
68
COMMONWEALTH FINANCIAL SERVICES now reports custody of client assets ($149.3M). IAPD ↗
$649.5M RAUM · 11 reps · 304-422-3531 · cfswv.com
ComplianceCustodian
68
FIRESIDE CAPITAL ADVISORS now reports custody of client assets ($34.2M). IAPD ↗
$270.4M RAUM · 2 reps · 469-357-6370 · firesidecapital.com
ComplianceCustodian
68
ALTERI WEALTH now reports custody of client assets ($650,000). IAPD ↗
$656.6M RAUM · 3 reps · 805-809-0400 · alteriwealth.com
ComplianceCustodian
65
FARRELL FINANCIAL now reports custody of client assets ($4.1M). IAPD ↗
$142.2M RAUM · 2 reps · 716-508-8504
ComplianceCustodian
65
ANCHOR WEALTH MANAGEMENT GROUP LLC now reports custody of client assets ($20.2M). IAPD ↗
$178.1M RAUM · 1 reps · (561) 228-8688 · anchorwealthgroup.com
ComplianceCustodian
60
FERMAT CAPITAL MANAGEMENT, LLC now reports custody of client assets. IAPD ↗institutional
$10.95B RAUM · 13 reps · 203-454-6811 · fcm.com
ComplianceCustodian
58
GIRARD PENSION SERVICES, LLC now reports custody of client assets ($495.0M). IAPD ↗institutional
$557.0M RAUM · 4 reps · 610-821-1331
ComplianceCustodian
55
MLC ASSET MANAGEMENT US LLC now reports custody of client assets ($643.6M). IAPD ↗fund
$2.65B RAUM · 3 reps · 617-953-1416
ComplianceCustodian
53
HARVEST GROWTH CAPITAL now reports custody of client assets ($292.1M). IAPD ↗fund
$292.1M RAUM · 1 reps · 512-466-9118 · harvestgrowthcapital.com
ComplianceCustodian
53
SHORENSTEIN INVESTMENT ADVISERS LLC now reports custody of client assets ($125.4M). IAPD ↗fund
$753.1M RAUM · 45 reps · 415-772-7000 · shorenstein.com
ComplianceCustodian
50
PERIPHAS CAPITAL, LP now reports custody of client assets ($285.5M). IAPD ↗fund
$142.7M RAUM · 5 reps · 646-876-6351
ComplianceCustodian
50
MACQUARIE CAPITAL PARTNERS LLC now reports custody of client assets ($118.2M). IAPD ↗fund
$118.2M RAUM · 15 reps · (212) 231-1000
ComplianceCustodian
50
TRINITY CAPITAL ADVISER, LLC now reports custody of client assets ($60.0M). IAPD ↗fund
$60.0M RAUM · 47 reps · 480-374-5350
ComplianceCustodian
50
GALLO PARTNERS LP now reports custody of client assets ($35.4M). IAPD ↗fund
$144.7M RAUM · 5 reps · (973) 200-1755
ComplianceCustodian
50
OBION CAPITAL MANAGEMENT LP now reports custody of client assets ($96.8M). IAPD ↗fund
$98.3M RAUM · 2 reps · 305-317-5100 · obioncapital.com
ComplianceCustodian
40
BENNBRIDGE LTD now reports custody of client assets ($233.2M). IAPD ↗foreign
$1.30B RAUM · 8 reps · +44 (0) 20 7872 7600 · bennbridge.com
ComplianceCustodian
35
PORTLAND HILL ASSET MANAGEMENT LIMITED now reports custody of client assets ($63.2M). IAPD ↗foreign
$159.3M RAUM · 3 reps · 44 203 890 9288 · portlandhill.com
ComplianceCustodian
private funds started — 15 Firm reports private funds for the first time.
75
BRIDGES INVESTMENT MANAGEMENT INC now reports 1 private fund(s) ($10.1M gross). IAPD ↗
$9.88B RAUM · 28 reps · 402-397-4700 · bridgesinv.com
Fund administrationCompliance
73
IRON FINANCIAL LLC now reports 1 private fund(s) ($4.3M gross). IAPD ↗
$421.1M RAUM · 8 reps · 847-715-3200 · ironfinancial.com
Fund administrationCompliance
70
BRANDYWINE ASSET MANAGEMENT now reports 1 private fund(s) ($80.0M gross). IAPD ↗
$140.0M RAUM · 2 reps · 610-361-1000
Fund administrationCompliance
60
BROOKFIELD ASSET MANAGEMENT CREDIT AND INSURANCE SOLUTIONS now reports 1 private fund(s) ($0 gross). IAPD ↗fund
$34.50B RAUM · 998 reps · 2124177000 · brookfield.com
Fund administrationCompliance
60
MLC ASSET MANAGEMENT US LLC now reports 1 private fund(s) ($569.9M gross). IAPD ↗fund
$2.65B RAUM · 3 reps · 617-953-1416
Fund administrationCompliance
58
HARVEST GROWTH CAPITAL now reports 6 private fund(s) ($292.1M gross). IAPD ↗fund
$292.1M RAUM · 1 reps · 512-466-9118 · harvestgrowthcapital.com
Fund administrationCompliance
58
SHORENSTEIN INVESTMENT ADVISERS LLC now reports 3 private fund(s) ($753.1M gross). IAPD ↗fund
$753.1M RAUM · 45 reps · 415-772-7000 · shorenstein.com
Fund administrationCompliance
58
STRAWBERRY TREE MANAGEMENT COMPANY now reports 20 private fund(s) ($271.3M gross). IAPD ↗fund
$271.3M RAUM · 1 reps · 206-880-1869 · strawberrytree.co
Fund administrationCompliance
55
MACQUARIE CAPITAL PARTNERS LLC now reports 1 private fund(s) ($118.2M gross). IAPD ↗fund
$118.2M RAUM · 15 reps · (212) 231-1000
Fund administrationCompliance
55
TRINITY CAPITAL ADVISER, LLC now reports 1 private fund(s) ($60.0M gross). IAPD ↗fund
$60.0M RAUM · 47 reps · 480-374-5350
Fund administrationCompliance
55
MERCER ADVISORS PRIVATE ASSET MANAGEMENT, INC. now reports 2 private fund(s) ($31.8M gross). IAPD ↗fund
$41.0M RAUM · 2 reps · 888-885-8101
Fund administrationCompliance
55
GALLO PARTNERS LP now reports 1 private fund(s) ($17.7M gross). IAPD ↗fund
$144.7M RAUM · 5 reps · (973) 200-1755
Fund administrationCompliance
55
OBION CAPITAL MANAGEMENT LP now reports 1 private fund(s) ($48.4M gross). IAPD ↗fund
$98.3M RAUM · 2 reps · 305-317-5100 · obioncapital.com
Fund administrationCompliance
45
BENNBRIDGE LTD now reports 1 private fund(s) ($116.6M gross). IAPD ↗foreign
$1.30B RAUM · 8 reps · +44 (0) 20 7872 7600 · bennbridge.com
Fund administrationCompliance
45
TAULA CAPITAL MANAGEMENT (JERSEY) LIMITED now reports 1 private fund(s) ($75.87B gross). IAPD ↗foreign
$75.87B RAUM · 3 reps · 44-20-4570-2067 · taulacapital.com
Fund administrationCompliance
headcount down — 15 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
CENTAURUS FINANCIAL, INC. shrank from 444 to 432 advisory reps. IAPD ↗
$6.28B RAUM · 432 reps · 714-456-1790 · centaurusfinancial.com
Recruiting & transitionsM&A & valuation
55
FACET shrank from 98 to 86 advisory reps. IAPD ↗
$3.49B RAUM · 86 reps · (443)376-6222
Recruiting & transitionsM&A & valuation
55
FIRST TRUST DIRECT INDEXING shrank from 6 to 3 advisory reps. IAPD ↗
$1.42B RAUM · 3 reps · 617-752-6010
Recruiting & transitionsM&A & valuation
53
STONERIDGE PMG ADVISORS, LLC shrank from 6 to 2 advisory reps. IAPD ↗
$981.7M RAUM · 2 reps · 484-254-5400 · srpmga.com
Recruiting & transitionsM&A & valuation
53
DENALI WEALTH MANAGEMENT, INC. shrank from 6 to 4 advisory reps. IAPD ↗
$256.5M RAUM · 4 reps · 414-978-0020 · denaliwm.com
Recruiting & transitionsM&A & valuation
53
360 FINANCIAL shrank from 9 to 7 advisory reps. IAPD ↗
$475.4M RAUM · 7 reps · 952-542-8900
Recruiting & transitionsM&A & valuation
50
WEALTHTRUST ASSET MANAGEMENT, LLC shrank from 8 to 6 advisory reps. IAPD ↗
$180.0M RAUM · 6 reps · 850-460-8444 · canyoncreekc.com
Recruiting & transitionsM&A & valuation
50
ADVANCED PORTFOLIO STRATEGIES shrank from 5 to 3 advisory reps. IAPD ↗
$127.7M RAUM · 3 reps · (310) 776-5948
Recruiting & transitionsM&A & valuation
43
CHATHAM INVESTMENT ADVISORS, LLC shrank from 3 to 1 advisory reps. IAPD ↗institutional
$697.9M RAUM · 1 reps · 610-925-3120 · chathamfig.com
Recruiting & transitionsM&A & valuation
43
DRI CAPITAL (US), INC. shrank from 5 to 3 advisory reps. IAPD ↗institutional
$551.7M RAUM · 3 reps · 908-577-2968
Recruiting & transitionsM&A & valuation
40
SIXTH STREET ADVISERS, LLC shrank from 282 to 277 advisory reps. IAPD ↗fund
$70.98B RAUM · 277 reps · 469-621-3001
Recruiting & transitionsM&A & valuation
40
WHITE DEER shrank from 10 to 8 advisory reps. IAPD ↗fund
$1.34B RAUM · 8 reps · 713.581.6900 · whitedeerenergy.com
Recruiting & transitionsM&A & valuation
38
PERELLA WEINBERG PARTNERS CAPITAL MANAGEMENT LP shrank from 22 to 1 advisory reps. IAPD ↗fund
$421.0M RAUM · 1 reps · 212-287-3200
Recruiting & transitionsM&A & valuation
35
AETOS CAPITAL REAL ESTATE shrank from 6 to 3 advisory reps. IAPD ↗fund
$215.7M RAUM · 3 reps · +1 (212) 710-3200 · aetoscapitalasia.com
Recruiting & transitionsM&A & valuation
35
ATEGRA CAPITAL MANAGEMENT, LLC shrank from 7 to 5 advisory reps. IAPD ↗fund
$117.3M RAUM · 5 reps · 703-564-9131 · ategracapital.com
Recruiting & transitionsM&A & valuation
aum down — 8 Regulatory AUM down >=25% since last filing.
45
LOGIX INVESTMENTS LLC reported RAUM down 45% ($376.3M -> $205.9M). IAPD ↗
$205.9M RAUM · 5 reps · 216-861-1148 · logixsv.com
M&A & valuationRecruiting & transitions
45
ADVISOR.COM reported RAUM down 52% ($58.2M -> $27.8M). IAPD ↗
$27.8M RAUM · 1 reps · 888-868-1944 · advisor.com
M&A & valuationRecruiting & transitions
38
PERRY CAPITAL PARTNERS LLC reported RAUM down 60% ($980.0M -> $395.0M). IAPD ↗institutional
$395.0M RAUM · 0 reps · 847-668-1560 · perrycapitalpartners.com
M&A & valuationRecruiting & transitions
33
PERELLA WEINBERG PARTNERS CAPITAL MANAGEMENT LP reported RAUM down 97% ($15.40B -> $421.0M). IAPD ↗fund
$421.0M RAUM · 1 reps · 212-287-3200
M&A & valuationRecruiting & transitions
33
CQS (US), LLC reported RAUM down 42% ($1.55B -> $894.6M). IAPD ↗fund
$894.6M RAUM · 12 reps · 212-259-2900 · cqscapital.com
M&A & valuationRecruiting & transitions
30
WINDHAM CAPITAL MANAGEMENT, LLC reported RAUM down 69% ($611.9M -> $192.1M). IAPD ↗fund
$192.1M RAUM · 5 reps · 617-419-3900
M&A & valuationRecruiting & transitions
30
ATEGRA CAPITAL MANAGEMENT, LLC reported RAUM down 65% ($334.2M -> $117.3M). IAPD ↗fund
$117.3M RAUM · 5 reps · 703-564-9131 · ategracapital.com
M&A & valuationRecruiting & transitions
30
IMPACT ENGINE reported RAUM down 29% ($239.0M -> $168.6M). IAPD ↗fund
$168.6M RAUM · 8 reps · 872-228-5197
M&A & valuationRecruiting & transitions
reorganization — 7 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
45
RODGERS & ASSOCIATES filed an Item 4A succession naming RODGERS & ASSOCIATES (CRD 121700) — an entity change, not a deal. IAPD ↗
$1.34B RAUM · 12 reps · 717-560-3800
Integration & migration consultingCompliance
43
FINANCIAL COUNCIL, LLC filed an Item 4A succession naming FINANCIAL COUNCIL, LLC (CRD 110748) — an entity change, not a deal. IAPD ↗
$959.4M RAUM · 7 reps · 410-821-9200 · financialcouncil.com
Integration & migration consultingCompliance
40
MICHAEL J. PORRO & CO. FINANCIAL ADVISOR INC filed an Item 4A succession naming MICHAEL J. PORRO & CO. FINANCIAL ADVISORS, LLC (CRD 125584) — an entity change, not a deal. IAPD ↗
$119.6M RAUM · 2 reps · 201-768-0218 · porrofinancialadvisors.com
Integration & migration consultingCompliance
40
FINLEY FINANCIAL, LLC filed an Item 4A succession naming FINLEY FINANCIAL, LLC (CRD 131442) — an entity change, not a deal. IAPD ↗
$176.0M RAUM · 1 reps · 503-474-3535 · finleyfinancial.com
Integration & migration consultingCompliance
40
INVEST CAPITAL PARTNERS filed an Item 4A succession naming INVEST CAPITAL PARTNERS (CRD 287987) — an entity change, not a deal. IAPD ↗
$144.5M RAUM · 7 reps · 937-557-3200 · mwm.financial
Integration & migration consultingCompliance
40
CODEX CAPITAL ASSET MANAGEMENT, L.L.C. filed an Item 4A succession naming CODEX CAPITAL, L.L.C. (CRD 309373) — an entity change, not a deal. IAPD ↗
$195.5M RAUM · 1 reps · 917-595-7500
Integration & migration consultingCompliance
15
ALATUS CAPITAL LLC filed an Item 4A succession naming ALATUS CAPITAL LTD (CRD 281625) — an entity change, not a deal. IAPD ↗foreign
$2.04B RAUM · 6 reps · 41 22 735 00 11
Integration & migration consultingCompliance
aum crossed 1b — 6 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
J. L. BAINBRIDGE & CO., INC. crossed $1B in regulatory AUM ($963.5M -> $1.11B). IAPD ↗
$1.11B RAUM · 4 reps · 941-365-3435
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
FALCON WEALTH PLANNING, INC. crossed $1B in regulatory AUM ($825.8M -> $1.02B). IAPD ↗
$1.02B RAUM · 18 reps · 855-963-2526
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
SEASONS OF ADVICE WEALTH MANAGEMENT crossed $1B in regulatory AUM ($931.8M -> $1.03B). IAPD ↗
$1.03B RAUM · 12 reps · 212-977-3111 · soaplanning.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC crossed $1B in regulatory AUM ($644.7M -> $7.73B). IAPD ↗institutional
$7.73B RAUM · 41 reps · 303-333-7770 · hyasgroup.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
ARLON ADVISOR LLC crossed $1B in regulatory AUM ($955.4M -> $1.11B). IAPD ↗fund
$1.11B RAUM · 22 reps · 212-207-5200
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
HM INTERNATIONAL L.L.C. crossed $1B in regulatory AUM ($809.9M -> $1.09B). IAPD ↗fund
$1.09B RAUM · 4 reps · 918-664-1914 · hmintl.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
aum crossed 500m — 6 Regulatory AUM crossed $500M.
70
DASH INVESTMENTS crossed $500M in regulatory AUM ($427.1M -> $501.2M). IAPD ↗
$501.2M RAUM · 5 reps · 800-549-3227
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
PGI WEALTH MANAGEMENT crossed $500M in regulatory AUM ($211.1M -> $934.4M). IAPD ↗
$934.4M RAUM · 7 reps · (888) 493-9022
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
SINGER WEALTH ADVISORS LLC crossed $500M in regulatory AUM ($424.6M -> $502.9M). IAPD ↗
$502.9M RAUM · 10 reps · 561-998-9985
Portfolio / reporting / TAMPCRMIntegration & migration consulting
60
DRI CAPITAL (US), INC. crossed $500M in regulatory AUM ($368.4M -> $551.7M). IAPD ↗institutional
$551.7M RAUM · 3 reps · 908-577-2968
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
RIVO ALTO CAPITAL FUNDING LLC crossed $500M in regulatory AUM ($12.1M -> $660.3M). IAPD ↗fund
$660.3M RAUM · 2 reps · 305-512-1124 · rivoalto.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
BAILLIE GIFFORD INTERNATIONAL LLC crossed $500M in regulatory AUM ($351.0M -> $678.0M). IAPD ↗fund
$678.0M RAUM · 3 reps · (212) 319 4633
Portfolio / reporting / TAMPCRMIntegration & migration consulting
planning clients up — 4 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
73
AURDAN CAPITAL MANAGEMENT, LLC reports 101-250 financial-planning clients, up from 0. IAPD ↗
$401.0M RAUM · 3 reps · 484-254-1935 · aurdancapital.com
Financial planning software
69
EIDE BAILLY ADVISORS, LLC reports More than 500 financial-planning clients, up from 51-100. IAPD ↗
$1.58B RAUM · 16 reps · 866-740-4100 · eidebaillywealth.com
Financial planning software
61
ALOOOLA reports 11-25 financial-planning clients, up from 0. IAPD ↗
$27.4M RAUM · 2 reps · 484.275.5525 · alooola.com
Financial planning software
58
BOYD CAPITAL reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
$124.5M RAUM · 2 reps · 585-269-8511 · boydcapital.com
Financial planning software
wrap program started — 2 Firm began participating in a wrap-fee program (Item 5I(1)).
65
WEAVER C. BARKSDALE & ASSOCIATES, INC. began participating in a wrap-fee program. IAPD ↗
$3.59B RAUM · 8 reps · 615-665-1085 · barksdaleim.com
Portfolio / reporting / TAMPCompliance
63
MASTER'S WEALTH MANAGEMENT INC. began participating in a wrap-fee program. IAPD ↗
$379.7M RAUM · 6 reps · (717) 581-1323
Portfolio / reporting / TAMPCompliance
planning started — 1 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
78
FIRESIDE CAPITAL ADVISORS now offers financial planning (Item 5G(1)). IAPD ↗
$270.4M RAUM · 2 reps · 469-357-6370 · firesidecapital.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.