← Tributary

What changed in the September 2024 SEC adviser roster

812 events across 681 firms · 639 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

242state expansion
116new registration
98new office
65disclosure added
53deregistered
41pending approved
33headcount up
25relocation
25website changed
22aum up
22custody started
18rename

Top 25 signals — US wealth firms

100
DIVERSIFIED, LLC (WILMINGTON, DE) is newly SEC-registered with $1.55B RAUM and 25 advisory reps. IAPD ↗
$1.55B RAUM · 25 reps · 302-765-3500 · pinterest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
100
CAUSEY PUBLIC FINANCE (location n/a) is newly SEC-registered with $1.37B RAUM and 10 advisory reps. IAPD ↗
$1.37B RAUM · 10 reps · 303-518-3825 · causeypf.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
COHALO (SNOQUALMIE, WA) is newly SEC-registered with $838.2M RAUM and 1 advisory reps. IAPD ↗
$838.2M RAUM · 1 reps · 833-426-4256 · cohalo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LPL ENTERPRISE, LLC (FORT MILL, SC) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗
$0 RAUM · 12 reps · 704-733-3300 · lpl.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPINE WEALTH ADVISORS, LLC (DENVER, CO) is newly SEC-registered with $102.5M RAUM and 1 advisory reps. IAPD ↗
$102.5M RAUM · 1 reps · 7203186634 · alpinewealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANE BROTHERS INVESTMENT COUNSEL (PRESCOTT, AZ) is newly SEC-registered with $162.3M RAUM and 4 advisory reps. IAPD ↗
$162.3M RAUM · 4 reps · 928-776-8870 · lanebrothers.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT (HANOVER, NH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · 603-643-1415
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEXINGTON INVESTMENT CONSULTING, LLC (NASHVILLE, TN) is newly SEC-registered with $120.4M RAUM and 2 advisory reps. IAPD ↗
$120.4M RAUM · 2 reps · 615-492-1011 · lex-life.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALJEN ASSET MANAGEMENT LLC (CEDAR KNOLLS, NJ) is newly SEC-registered with $126.5M RAUM and 1 advisory reps. IAPD ↗
$126.5M RAUM · 1 reps · 973-316-1212
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INVESTOLOGY INC. (RESTON, VA) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
$138.0M RAUM · 3 reps · 703-429-1975 · investologyinc.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FRISCO FINANCIAL PLANNING (location n/a) is newly SEC-registered with $109.8M RAUM and 1 advisory reps. IAPD ↗
$109.8M RAUM · 1 reps · 469-248-6237 · friscofinancialplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SERVANT FINANCIAL, LTD. (location n/a) is newly SEC-registered with $116.5M RAUM and 1 advisory reps. IAPD ↗
$116.5M RAUM · 1 reps · 630-264-0127 · servantfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GRANITE CAPITAL (OAKLAND, CA) is newly SEC-registered with $215.3M RAUM and 2 advisory reps. IAPD ↗
$215.3M RAUM · 2 reps · 510-336-9120 · granitecapitalllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROAD REACH CAPITAL LLC (RALEIGH, NC) is newly SEC-registered with $110.7M RAUM and 2 advisory reps. IAPD ↗
$110.7M RAUM · 2 reps · 919-309-1406 · broadreachpartnersllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COTE FINANCIAL MANAGEMENT (location n/a) is newly SEC-registered with $120.0M RAUM and 1 advisory reps. IAPD ↗
$120.0M RAUM · 1 reps · 978-767-9501 · cotefinancialservices.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STRATEGIC PORTFOLIO SOLUTIONS, LLC (DALLAS, TX) is newly SEC-registered with $101.8M RAUM and 5 advisory reps. IAPD ↗
$101.8M RAUM · 5 reps · (214) 446-4910
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SERVO WEALTH MANAGEMENT LLC (OKLAHOMA CITY, OK) is newly SEC-registered with $130.5M RAUM and 1 advisory reps. IAPD ↗
$130.5M RAUM · 1 reps · (405) 384-5132 · servowealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PARRISH CAPITAL, LLC (KENNESAW, GA) is newly SEC-registered with $112.3M RAUM and 2 advisory reps. IAPD ↗
$112.3M RAUM · 2 reps · (800) 618-1940 · parrishcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WOMACK FINANCIAL LLC (DALLAS, TX) is newly SEC-registered with $110.5M RAUM and 2 advisory reps. IAPD ↗
$110.5M RAUM · 2 reps · 214-843-0070 · womackfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FPFOCO (FORT COLLINS, CO) is newly SEC-registered with $101.5M RAUM and 3 advisory reps. IAPD ↗
$101.5M RAUM · 3 reps · 970-225-0504
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
L&S INVESTMENT ADVISORS, LLC (MIAMI, FL) is newly SEC-registered with $130.6M RAUM and 5 advisory reps. IAPD ↗
$130.6M RAUM · 5 reps · 786-241-7000 · ls.finance
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VANWEELDEN WEALTH MANAGEMENT, LLC (WEST CHESTER TOWNSHIP, OH) is newly SEC-registered with $104.0M RAUM and 2 advisory reps. IAPD ↗
$104.0M RAUM · 2 reps · (513) 942-8961 · vanweeldengroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MALVERN CAPITAL MANAGEMENT (MALVERN, PA) is newly SEC-registered with $223.4M RAUM and 4 advisory reps. IAPD ↗
$223.4M RAUM · 4 reps · 610-979-1462 · malverncap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GRANT PRIVATE WEALTH MANAGEMENT (PLEASANTON, CA) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
$105.8M RAUM · 3 reps · 925-378-5000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MACERATIO LLC (MIAMI, FL) is newly SEC-registered with $129.4M RAUM and 2 advisory reps. IAPD ↗
$129.4M RAUM · 2 reps · 305-398-9010
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 244 firms

100
DIVERSIFIED, LLC (WILMINGTON, DE) is newly SEC-registered with $1.55B RAUM and 25 advisory reps. IAPD ↗
$1.55B RAUM · 25 reps · 302-765-3500 · pinterest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
100
CAUSEY PUBLIC FINANCE (location n/a) is newly SEC-registered with $1.37B RAUM and 10 advisory reps. IAPD ↗
$1.37B RAUM · 10 reps · 303-518-3825 · causeypf.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
COHALO (SNOQUALMIE, WA) is newly SEC-registered with $838.2M RAUM and 1 advisory reps. IAPD ↗
$838.2M RAUM · 1 reps · 833-426-4256 · cohalo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LPL ENTERPRISE, LLC (FORT MILL, SC) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗
$0 RAUM · 12 reps · 704-733-3300 · lpl.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPINE WEALTH ADVISORS, LLC (DENVER, CO) is newly SEC-registered with $102.5M RAUM and 1 advisory reps. IAPD ↗
$102.5M RAUM · 1 reps · 7203186634 · alpinewealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANE BROTHERS INVESTMENT COUNSEL (PRESCOTT, AZ) is newly SEC-registered with $162.3M RAUM and 4 advisory reps. IAPD ↗
$162.3M RAUM · 4 reps · 928-776-8870 · lanebrothers.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT (HANOVER, NH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · 603-643-1415
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEXINGTON INVESTMENT CONSULTING, LLC (NASHVILLE, TN) is newly SEC-registered with $120.4M RAUM and 2 advisory reps. IAPD ↗
$120.4M RAUM · 2 reps · 615-492-1011 · lex-life.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALJEN ASSET MANAGEMENT LLC (CEDAR KNOLLS, NJ) is newly SEC-registered with $126.5M RAUM and 1 advisory reps. IAPD ↗
$126.5M RAUM · 1 reps · 973-316-1212
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INVESTOLOGY INC. (RESTON, VA) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
$138.0M RAUM · 3 reps · 703-429-1975 · investologyinc.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 234 more in the CSV export.

Financial planning software 153 firms

100
DIVERSIFIED, LLC (WILMINGTON, DE) is newly SEC-registered with $1.55B RAUM and 25 advisory reps. IAPD ↗
$1.55B RAUM · 25 reps · 302-765-3500 · pinterest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
100
CAUSEY PUBLIC FINANCE (location n/a) is newly SEC-registered with $1.37B RAUM and 10 advisory reps. IAPD ↗
$1.37B RAUM · 10 reps · 303-518-3825 · causeypf.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
COHALO (SNOQUALMIE, WA) is newly SEC-registered with $838.2M RAUM and 1 advisory reps. IAPD ↗
$838.2M RAUM · 1 reps · 833-426-4256 · cohalo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LPL ENTERPRISE, LLC (FORT MILL, SC) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗
$0 RAUM · 12 reps · 704-733-3300 · lpl.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPINE WEALTH ADVISORS, LLC (DENVER, CO) is newly SEC-registered with $102.5M RAUM and 1 advisory reps. IAPD ↗
$102.5M RAUM · 1 reps · 7203186634 · alpinewealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANE BROTHERS INVESTMENT COUNSEL (PRESCOTT, AZ) is newly SEC-registered with $162.3M RAUM and 4 advisory reps. IAPD ↗
$162.3M RAUM · 4 reps · 928-776-8870 · lanebrothers.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT (HANOVER, NH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · 603-643-1415
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEXINGTON INVESTMENT CONSULTING, LLC (NASHVILLE, TN) is newly SEC-registered with $120.4M RAUM and 2 advisory reps. IAPD ↗
$120.4M RAUM · 2 reps · 615-492-1011 · lex-life.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALJEN ASSET MANAGEMENT LLC (CEDAR KNOLLS, NJ) is newly SEC-registered with $126.5M RAUM and 1 advisory reps. IAPD ↗
$126.5M RAUM · 1 reps · 973-316-1212
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INVESTOLOGY INC. (RESTON, VA) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
$138.0M RAUM · 3 reps · 703-429-1975 · investologyinc.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 143 more in the CSV export.

Compliance 425 firms

100
DIVERSIFIED, LLC (WILMINGTON, DE) is newly SEC-registered with $1.55B RAUM and 25 advisory reps. IAPD ↗
$1.55B RAUM · 25 reps · 302-765-3500 · pinterest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
100
CAUSEY PUBLIC FINANCE (location n/a) is newly SEC-registered with $1.37B RAUM and 10 advisory reps. IAPD ↗
$1.37B RAUM · 10 reps · 303-518-3825 · causeypf.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
COHALO (SNOQUALMIE, WA) is newly SEC-registered with $838.2M RAUM and 1 advisory reps. IAPD ↗
$838.2M RAUM · 1 reps · 833-426-4256 · cohalo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LPL ENTERPRISE, LLC (FORT MILL, SC) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗
$0 RAUM · 12 reps · 704-733-3300 · lpl.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPINE WEALTH ADVISORS, LLC (DENVER, CO) is newly SEC-registered with $102.5M RAUM and 1 advisory reps. IAPD ↗
$102.5M RAUM · 1 reps · 7203186634 · alpinewealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANE BROTHERS INVESTMENT COUNSEL (PRESCOTT, AZ) is newly SEC-registered with $162.3M RAUM and 4 advisory reps. IAPD ↗
$162.3M RAUM · 4 reps · 928-776-8870 · lanebrothers.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT (HANOVER, NH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · 603-643-1415
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEXINGTON INVESTMENT CONSULTING, LLC (NASHVILLE, TN) is newly SEC-registered with $120.4M RAUM and 2 advisory reps. IAPD ↗
$120.4M RAUM · 2 reps · 615-492-1011 · lex-life.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALJEN ASSET MANAGEMENT LLC (CEDAR KNOLLS, NJ) is newly SEC-registered with $126.5M RAUM and 1 advisory reps. IAPD ↗
$126.5M RAUM · 1 reps · 973-316-1212
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INVESTOLOGY INC. (RESTON, VA) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
$138.0M RAUM · 3 reps · 703-429-1975 · investologyinc.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 415 more in the CSV export.

Portfolio / reporting / TAMP 128 firms

100
DIVERSIFIED, LLC (WILMINGTON, DE) is newly SEC-registered with $1.55B RAUM and 25 advisory reps. IAPD ↗
$1.55B RAUM · 25 reps · 302-765-3500 · pinterest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
100
CAUSEY PUBLIC FINANCE (location n/a) is newly SEC-registered with $1.37B RAUM and 10 advisory reps. IAPD ↗
$1.37B RAUM · 10 reps · 303-518-3825 · causeypf.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
COHALO (SNOQUALMIE, WA) is newly SEC-registered with $838.2M RAUM and 1 advisory reps. IAPD ↗
$838.2M RAUM · 1 reps · 833-426-4256 · cohalo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LPL ENTERPRISE, LLC (FORT MILL, SC) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗
$0 RAUM · 12 reps · 704-733-3300 · lpl.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPINE WEALTH ADVISORS, LLC (DENVER, CO) is newly SEC-registered with $102.5M RAUM and 1 advisory reps. IAPD ↗
$102.5M RAUM · 1 reps · 7203186634 · alpinewealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANE BROTHERS INVESTMENT COUNSEL (PRESCOTT, AZ) is newly SEC-registered with $162.3M RAUM and 4 advisory reps. IAPD ↗
$162.3M RAUM · 4 reps · 928-776-8870 · lanebrothers.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT (HANOVER, NH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · 603-643-1415
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEXINGTON INVESTMENT CONSULTING, LLC (NASHVILLE, TN) is newly SEC-registered with $120.4M RAUM and 2 advisory reps. IAPD ↗
$120.4M RAUM · 2 reps · 615-492-1011 · lex-life.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALJEN ASSET MANAGEMENT LLC (CEDAR KNOLLS, NJ) is newly SEC-registered with $126.5M RAUM and 1 advisory reps. IAPD ↗
$126.5M RAUM · 1 reps · 973-316-1212
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INVESTOLOGY INC. (RESTON, VA) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
$138.0M RAUM · 3 reps · 703-429-1975 · investologyinc.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 118 more in the CSV export.

Custodian 96 firms

100
DIVERSIFIED, LLC (WILMINGTON, DE) is newly SEC-registered with $1.55B RAUM and 25 advisory reps. IAPD ↗
$1.55B RAUM · 25 reps · 302-765-3500 · pinterest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
100
CAUSEY PUBLIC FINANCE (location n/a) is newly SEC-registered with $1.37B RAUM and 10 advisory reps. IAPD ↗
$1.37B RAUM · 10 reps · 303-518-3825 · causeypf.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
COHALO (SNOQUALMIE, WA) is newly SEC-registered with $838.2M RAUM and 1 advisory reps. IAPD ↗
$838.2M RAUM · 1 reps · 833-426-4256 · cohalo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LPL ENTERPRISE, LLC (FORT MILL, SC) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗
$0 RAUM · 12 reps · 704-733-3300 · lpl.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPINE WEALTH ADVISORS, LLC (DENVER, CO) is newly SEC-registered with $102.5M RAUM and 1 advisory reps. IAPD ↗
$102.5M RAUM · 1 reps · 7203186634 · alpinewealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANE BROTHERS INVESTMENT COUNSEL (PRESCOTT, AZ) is newly SEC-registered with $162.3M RAUM and 4 advisory reps. IAPD ↗
$162.3M RAUM · 4 reps · 928-776-8870 · lanebrothers.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT (HANOVER, NH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · 603-643-1415
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEXINGTON INVESTMENT CONSULTING, LLC (NASHVILLE, TN) is newly SEC-registered with $120.4M RAUM and 2 advisory reps. IAPD ↗
$120.4M RAUM · 2 reps · 615-492-1011 · lex-life.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALJEN ASSET MANAGEMENT LLC (CEDAR KNOLLS, NJ) is newly SEC-registered with $126.5M RAUM and 1 advisory reps. IAPD ↗
$126.5M RAUM · 1 reps · 973-316-1212
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INVESTOLOGY INC. (RESTON, VA) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
$138.0M RAUM · 3 reps · 703-429-1975 · investologyinc.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 86 more in the CSV export.

Marketing & brand 394 firms

100
DIVERSIFIED, LLC (WILMINGTON, DE) is newly SEC-registered with $1.55B RAUM and 25 advisory reps. IAPD ↗
$1.55B RAUM · 25 reps · 302-765-3500 · pinterest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
100
CAUSEY PUBLIC FINANCE (location n/a) is newly SEC-registered with $1.37B RAUM and 10 advisory reps. IAPD ↗
$1.37B RAUM · 10 reps · 303-518-3825 · causeypf.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
COHALO (SNOQUALMIE, WA) is newly SEC-registered with $838.2M RAUM and 1 advisory reps. IAPD ↗
$838.2M RAUM · 1 reps · 833-426-4256 · cohalo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LPL ENTERPRISE, LLC (FORT MILL, SC) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗
$0 RAUM · 12 reps · 704-733-3300 · lpl.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPINE WEALTH ADVISORS, LLC (DENVER, CO) is newly SEC-registered with $102.5M RAUM and 1 advisory reps. IAPD ↗
$102.5M RAUM · 1 reps · 7203186634 · alpinewealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANE BROTHERS INVESTMENT COUNSEL (PRESCOTT, AZ) is newly SEC-registered with $162.3M RAUM and 4 advisory reps. IAPD ↗
$162.3M RAUM · 4 reps · 928-776-8870 · lanebrothers.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT (HANOVER, NH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · 603-643-1415
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEXINGTON INVESTMENT CONSULTING, LLC (NASHVILLE, TN) is newly SEC-registered with $120.4M RAUM and 2 advisory reps. IAPD ↗
$120.4M RAUM · 2 reps · 615-492-1011 · lex-life.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALJEN ASSET MANAGEMENT LLC (CEDAR KNOLLS, NJ) is newly SEC-registered with $126.5M RAUM and 1 advisory reps. IAPD ↗
$126.5M RAUM · 1 reps · 973-316-1212
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INVESTOLOGY INC. (RESTON, VA) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
$138.0M RAUM · 3 reps · 703-429-1975 · investologyinc.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 384 more in the CSV export.

Recruiting & transitions 161 firms

85
COLDSTREAM WEALTH MANAGEMENT grew from 125 to 141 advisory reps. IAPD ↗
$9.66B RAUM · 141 reps · 425-283-1600
CRMRecruiting & transitionsComplianceFinancial planning software
85
THE COLONY GROUP, LLC grew from 630 to 660 advisory reps. IAPD ↗
$21.47B RAUM · 660 reps · 617-723-8200
CRMRecruiting & transitionsComplianceFinancial planning software
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC grew from 122 to 138 advisory reps. IAPD ↗
$11.29B RAUM · 138 reps · 312-334-7300
CRMRecruiting & transitionsComplianceFinancial planning software
77
503 CAPITAL PARTNERS, LLC grew from 1 to 10 advisory reps. IAPD ↗
$382.0M RAUM · 10 reps · 913-279-0177 · 503capitalpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
ORBA WEALTH ADVISORS, LLC grew from 8 to 16 advisory reps. IAPD ↗
$257.1M RAUM · 16 reps · (312) 670-6262
CRMRecruiting & transitionsComplianceFinancial planning software
76
TRB WEALTH MANAGEMENT, LLC grew from 8 to 14 advisory reps. IAPD ↗
$1.19B RAUM · 14 reps · 832-810-3565 · trb.bank
CRMRecruiting & transitionsComplianceFinancial planning software
75
BOULAY FINANCIAL ADVISORS, LLC grew from 22 to 27 advisory reps. IAPD ↗
$2.13B RAUM · 27 reps · 952-893-9320
CRMRecruiting & transitionsComplianceFinancial planning software
75
SANCTUARY ADVISORS, LLC grew from 314 to 319 advisory reps. IAPD ↗
$22.02B RAUM · 319 reps · 317-975-7729
CRMRecruiting & transitionsComplianceFinancial planning software
73
EQUITA FINANCIAL NETWORK, INC. grew from 8 to 13 advisory reps. IAPD ↗
$283.1M RAUM · 13 reps · 800.604.0176
CRMRecruiting & transitionsComplianceFinancial planning software
72
WEALTHCARE CAPITAL PARTNERS, LLC grew from 1 to 8 advisory reps. IAPD ↗
$160.6M RAUM · 8 reps · 804.644.4711
CRMRecruiting & transitionsComplianceFinancial planning software

…and 151 more in the CSV export.

Integration & migration consulting 4 firms

85
CAPITAL CREEK PARTNERS crossed $1B in regulatory AUM ($680.7M -> $1.20B). IAPD ↗
$1.20B RAUM · 13 reps · 512-316-3397 · capitalcreek.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC crossed $500M in regulatory AUM ($379.7M -> $501.2M). IAPD ↗
$501.2M RAUM · 10 reps · 913-295-9500
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FORTITUDE FAMILY OFFICE crossed $500M in regulatory AUM ($434.3M -> $505.2M). IAPD ↗
$505.2M RAUM · 9 reps · (602) 834-0089
Portfolio / reporting / TAMPCRMIntegration & migration consulting
40
CHESAPEAKE FINANCIAL PLANNING filed an Item 4A succession naming CHESAPEAKE FINANCIAL PLANNING (CRD 283715) — an entity change, not a deal. IAPD ↗
$0 RAUM · 2 reps · 410-974-0410 · chesapeake-financial.com
Integration & migration consultingCompliance

Fund administration 7 firms

73
WELLINGTON WEALTH STRATEGIES, LLC now reports 1 private fund(s) ($10.0M gross). IAPD ↗
$289.6M RAUM · 15 reps · 317-789-8800 · twealth.com
Fund administrationCompliance
73
503 CAPITAL PARTNERS, LLC now reports 5 private fund(s) ($233.6M gross). IAPD ↗
$382.0M RAUM · 10 reps · 913-279-0177 · 503capitalpartners.com
Fund administrationCompliance
70
ACCELERATED WEALTH ADVISORS LLC now reports 1 private fund(s) ($15.5M gross). IAPD ↗
$216.9M RAUM · 4 reps · 719-466-5631
Fund administrationCompliance
70
BLACK TORO LLC now reports 1 private fund(s) ($3.0M gross). IAPD ↗
$229.1M RAUM · 2 reps · 786 753-7009 · blacktoro.us
Fund administrationCompliance
70
33 CAPITAL MANAGEMENT LLC now reports 1 private fund(s) ($2.5M gross). IAPD ↗
$103.3M RAUM · 4 reps · 203-391-9340 · 33capitalmanagement.com
Fund administrationCompliance
70
FUNDAMENTAL INVESTMENT SERVICES, LLC now reports 2 private fund(s) ($33.8M gross). IAPD ↗
$33.8M RAUM · 1 reps · 1-917-495-9582
Fund administrationCompliance
70
TRUEHAVEN CAPITAL now reports 3 private fund(s) ($11.6M gross). IAPD ↗
$100.3M RAUM · 1 reps · 210-260-8668 · truehaven.net
Fund administrationCompliance

Office IT & facilities 106 firms

55
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS added office(s): 7 -> 8 additional locations. IAPD ↗
$22.37B RAUM · 80 reps · 216-621-1090 · clearsteadinvestmentforum.buzzsprout.com
Office IT & facilitiesCRMRecruiting & transitions
55
F L PUTNAM INVESTMENT MANAGEMENT CO. added office(s): 10 -> 14 additional locations. IAPD ↗
$6.17B RAUM · 60 reps · 800-344-3435
Office IT & facilitiesCRMRecruiting & transitions
55
COLDSTREAM WEALTH MANAGEMENT added office(s): 6 -> 7 additional locations. IAPD ↗
$9.66B RAUM · 141 reps · 425-283-1600
Office IT & facilitiesCRMRecruiting & transitions
55
BEACON POINTE ADVISORS, LLC added office(s): 26 -> 52 additional locations. IAPD ↗
$31.28B RAUM · 296 reps · 949-718-1600
Office IT & facilitiesCRMRecruiting & transitions
55
PERIGON WEALTH MANAGEMENT, LLC added office(s): 41 -> 44 additional locations. IAPD ↗
$6.94B RAUM · 77 reps · (877) 977-2555
Office IT & facilitiesCRMRecruiting & transitions
55
PROSPERITY - AN EISNERAMPER COMPANY added office(s): 7 -> 8 additional locations. IAPD ↗
$1.07B RAUM · 31 reps · 410-363-7211
Office IT & facilitiesCRMRecruiting & transitions
55
MOUNT YALE INVESTMENT ADVISORS, LLC added office(s): 2 -> 4 additional locations. IAPD ↗
$2.19B RAUM · 20 reps · 303-382-2880
Office IT & facilitiesCRMRecruiting & transitions
55
PYA WALTMAN CAPITAL, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.03B RAUM · 9 reps · 865-693-6301
Office IT & facilitiesCRMRecruiting & transitions
55
THE COLONY GROUP, LLC added office(s): 34 -> 92 additional locations. IAPD ↗
$21.47B RAUM · 660 reps · 617-723-8200
Office IT & facilitiesCRMRecruiting & transitions
55
THE PATRIOT FINANCIAL GROUP, LLC added office(s): 27 -> 28 additional locations. IAPD ↗
$2.12B RAUM · 50 reps · 508-251-6100
Office IT & facilitiesCRMRecruiting & transitions

…and 96 more in the CSV export.

M&A & valuation 50 firms

65
TRIAD ADVISORS, LLC (ATLANTA, GA) left the SEC roster (was $1.11B RAUM, 89 reps). IAPD ↗
$1.11B RAUM · 89 reps · 800-720-4003 · mc2wealthsolutions.com
Recruiting & transitionsM&A & valuation
65
ARNERICH MASSENA, INC. (PORTLAND, OR) left the SEC roster (was $1.73B RAUM, 9 reps). IAPD ↗
$1.73B RAUM · 9 reps · 503-239-0475 · am-a.com
Recruiting & transitionsM&A & valuation
65
STRATEGIC WEALTH PARTNERS (DEERFIELD, IL) left the SEC roster (was $3.48B RAUM, 22 reps). IAPD ↗
$3.48B RAUM · 22 reps · (224) 632-1600
Recruiting & transitionsM&A & valuation
65
HIGHMORE GROUP (NEW YORK, NY) left the SEC roster (was $2.83B RAUM, 6 reps). IAPD ↗
$2.83B RAUM · 6 reps · 212-255-2221
Recruiting & transitionsM&A & valuation
65
RELATIVE VALUE PARTNERS, LLC (NORTHBROOK, IL) left the SEC roster (was $2.57B RAUM, 16 reps). IAPD ↗
$2.57B RAUM · 16 reps · 847-513-6300 · rvpllc.com
Recruiting & transitionsM&A & valuation
65
CORNERSTONE WEALTH STRATEGIES, INC. (KENNEWICK, WA) left the SEC roster (was $1.01B RAUM, 10 reps). IAPD ↗
$1.01B RAUM · 10 reps · 509-396-0588
Recruiting & transitionsM&A & valuation
63
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC (PORTLAND, OR) left the SEC roster (was $990.9M RAUM, 471 reps). IAPD ↗
$990.9M RAUM · 471 reps · 971-353-7800 · dcarbiener.stewardpartnersis.com
Recruiting & transitionsM&A & valuation
63
TRANSITIONS WEALTH MANAGEMENT, LLC (DENVER, CO) left the SEC roster (was $478.4M RAUM, 5 reps). IAPD ↗
$478.4M RAUM · 5 reps · 303-221-4867 · transitionswm.com
Recruiting & transitionsM&A & valuation
63
GREYLIN INVESTMENT MANAGEMENT (location n/a) left the SEC roster (was $641.7M RAUM, 1 reps). IAPD ↗
$641.7M RAUM · 1 reps · 540-661-0191
Recruiting & transitionsM&A & valuation
63
FINANCIAL MANAGEMENT SERVICES (location n/a) left the SEC roster (was $280.3M RAUM, 1 reps). IAPD ↗
$280.3M RAUM · 1 reps · 214-505-1170 · financialmgmtsvcs.com
Recruiting & transitionsM&A & valuation

…and 40 more in the CSV export.

Everything else — all segments

state expansion — 242 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
THE RETIREMENT PLANNING GROUP, LLC notice-filed in CT, ID, MA, NV, UT, VA. IAPD ↗
$2.31B RAUM · 19 reps · 913-498-8898
ComplianceMarketing & brand
55
CRESSET ASSET MANAGEMENT, LLC notice-filed in AL, AR, DE, HI, ID, KS, KY, ME, MS, ND, NM, RI, VT, WV. IAPD ↗
$52.51B RAUM · 133 reps · 312-429-2400 · cressetpartners.com
ComplianceMarketing & brand
55
CW ADVISORS, LLC notice-filed in AK, AL, AR, HI, IA, ID, KS, MS, MT, ND, OK, SD, WV, WY. IAPD ↗
$6.92B RAUM · 38 reps · (617) 428-7600 · congresswealth.com
ComplianceMarketing & brand
55
QUOTIENT WEALTH PARTNERS, LLC notice-filed in AL, AR, AZ, LA, MT, NE, NH, NM, OH, PA, TN, UT, VA. IAPD ↗
$3.12B RAUM · 21 reps · (972) 807-0003
ComplianceMarketing & brand
53
MUTUAL ADVISORS, LLC notice-filed in DC, MS, VT, WV. IAPD ↗
$6.95B RAUM · 132 reps · 307-439-6357 · mutual.group
ComplianceMarketing & brand
53
JOURNEY STRATEGIC WEALTH LLC notice-filed in GA, ID, KY, MI. IAPD ↗
$3.07B RAUM · 12 reps · (201) 905-0070 · journeysw.com
ComplianceMarketing & brand
53
PROSPERA PRIVATE WEALTH, LLC notice-filed in CO, FL, KS, LA, MO, NY, WA. IAPD ↗
$470.1M RAUM · 3 reps · (405) 253-6080 · prosperaprivatewealth.com
ComplianceMarketing & brand
53
BUCK WEALTH STRATEGIES, LLC notice-filed in AK, ID, IL, MI, MT, NE, SD, VA, WY. IAPD ↗
$299.9M RAUM · 20 reps · 888-210-6567
ComplianceMarketing & brand
53
BEAUMONT FINANCIAL PARTNERS notice-filed in CO, MI, VA, WA. IAPD ↗
$2.96B RAUM · 15 reps · 781-400-2800
ComplianceMarketing & brand
53
ZEGA INVESTMENTS notice-filed in AL, AR, AZ, CA, CO, CT, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, NC, NE, NH, NJ, NM, NV, NY, OH, OK, SC, TN, TX, UT, VA, WA, WI. IAPD ↗
$508.1M RAUM · 9 reps · 800.380.9342
ComplianceMarketing & brand
53
ALTERI WEALTH notice-filed in AZ, DE, FL, TX, WA. IAPD ↗
$656.6M RAUM · 3 reps · 805-809-0400 · alteriwealth.com
ComplianceMarketing & brand
51
MOUNT YALE INVESTMENT ADVISORS, LLC notice-filed in AL, IN, RI. IAPD ↗
$2.19B RAUM · 20 reps · 303-382-2880
ComplianceMarketing & brand
51
EXPAND FINANCIAL, LLC notice-filed in CT, DC, ID. IAPD ↗
$1.40B RAUM · 3 reps · 720-387-8158 · expandfinancial.com
ComplianceMarketing & brand
51
FORTEM FINANCIAL GROUP, LLC notice-filed in CO, FL, ID, WI. IAPD ↗
$438.1M RAUM · 5 reps · 760-206-8500
ComplianceMarketing & brand
51
TRIVIUM POINT ADVISORY, LLC notice-filed in MD, NC, PA, VA. IAPD ↗
$716.2M RAUM · 14 reps · (203) 221-3085
ComplianceMarketing & brand
51
CYNDEO WEALTH PARTNERS notice-filed in AZ, IL, WA. IAPD ↗
$2.00B RAUM · 11 reps · (727) 472-3700 · cyndeowp.com
ComplianceMarketing & brand
51
CEDRUS LLC notice-filed in ID, MN, SC, TN. IAPD ↗
$651.1M RAUM · 17 reps · 720-724-2170 · cedrusfinancial.com
ComplianceMarketing & brand
51
TRANSCE3ND LLC notice-filed in LA, OH, OK, WI. IAPD ↗
$313.2M RAUM · 28 reps · 512-268-9220 · e3wealth.com
ComplianceMarketing & brand
51
DAYMARK WEALTH PARTNERS, LLC notice-filed in MN, NJ, TN. IAPD ↗
$2.50B RAUM · 16 reps · 513-838-2520
ComplianceMarketing & brand
50
TURNER FINANCIAL GROUP, INC. notice-filed in AZ, NJ, PA, SC, VA. IAPD ↗
$115.7M RAUM · 4 reps · 850-995-1797 · seelan.com
ComplianceMarketing & brand
50
GUGGENHEIM WEALTH SOLUTIONS, LLC notice-filed in AK, AL, AR, AZ, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
$0 RAUM · 0 reps · 310-576-1270 · guggenheimpartners.com
ComplianceMarketing & brand
50
PATH DIGITAL ADVISORS, LLC notice-filed in AK, AL, AR, AZ, CA, 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, UT, VI, VT, WA, WI, WV, WY. IAPD ↗
$380,000 RAUM · 2 reps · 872.272.0483 · pathcrypto.com
ComplianceMarketing & brand
50
FUNDIFY ADVISORS LLC notice-filed in CO, GA, IL, LA, MD, NC, NE, NJ, NY, PA. IAPD ↗
$0 RAUM · 3 reps · 512-645-1010 · fundify.com
ComplianceMarketing & brand
50
ROSSBY FINANCIAL, LLC notice-filed in CO, DE, MA, NJ, NM, OR, WA. IAPD ↗
$107.3M RAUM · 8 reps · 321-209-0111
ComplianceMarketing & brand
50
WEALTH MORE ENTERPRISE, INC. notice-filed in FL, NC, NJ, NY, TX. IAPD ↗
$0 RAUM · 2 reps · 888-303-6361 · getwealthmore.com
ComplianceMarketing & brand
50
MDRN CAPITAL notice-filed in AZ, CO, DE, GA, IL, NH, NJ, NY, WA. IAPD ↗
$101.6M RAUM · 7 reps · 410-533-9966
ComplianceMarketing & brand
50
TRIAD WEALTH PARTNERS, LLC notice-filed in CO, MA, RI, SC, UT. IAPD ↗
$153.4M RAUM · 5 reps · 785-830-0000
ComplianceMarketing & brand
50
DIGITAL WEALTH PARTNERS notice-filed in CA, DC, GA, IN, LA, NC, NE, NH, NY, PA, SD, VI, WY. IAPD ↗
$0 RAUM · 2 reps · 307-214-0780
ComplianceMarketing & brand
50
AGP FRANKLIN, LLC notice-filed in AL, FL, GA, LA, MS, TX. IAPD ↗
$0 RAUM · 3 reps · 615-778-9842 · aspengroveassetmanagement.com
ComplianceMarketing & brand
49
COLDSTREAM WEALTH MANAGEMENT notice-filed in MN, NH. IAPD ↗
$9.66B RAUM · 141 reps · 425-283-1600
ComplianceMarketing & brand
49
BOULAY FINANCIAL ADVISORS, LLC notice-filed in OR, VA. IAPD ↗
$2.13B RAUM · 27 reps · 952-893-9320
ComplianceMarketing & brand
49
CHATTERTON & ASSOCIATES notice-filed in VA, WA. IAPD ↗
$1.05B RAUM · 9 reps · 714-572-2050 · chattertoninc.com
ComplianceMarketing & brand
49
ELSER FINANCIAL PLANNING, INC. notice-filed in LA, NE. IAPD ↗
$2.06B RAUM · 10 reps · 317-731-5615 · elserfp.com
ComplianceMarketing & brand
49
OCCIDENTAL ASSET MANAGEMENT, LLC notice-filed in AK, AR, MI. IAPD ↗
$625.5M RAUM · 10 reps · 650-344-1600 · yourmentalwealthadvisors.com
ComplianceMarketing & brand
49
RIVER WEALTH ADVISORS LLC notice-filed in SC, TN. IAPD ↗
$1.06B RAUM · 7 reps · 717-888-9830 · riverwealthadvisors.com
ComplianceMarketing & brand
49
KOVITZ INVESTMENT GROUP PARTNERS, LLC notice-filed in HI, ID. IAPD ↗
$11.29B RAUM · 138 reps · 312-334-7300
ComplianceMarketing & brand
49
WHITAKER-MYERS WEALTH MANAGERS, LTD. notice-filed in AR, CO, NE. IAPD ↗
$513.0M RAUM · 13 reps · (330) 345-5000 · whitaker-myers.com
ComplianceMarketing & brand
49
CONVERGENCE FINANCIAL notice-filed in NC, TN, UT. IAPD ↗
$422.4M RAUM · 13 reps · (573) 818-2264
ComplianceMarketing & brand
49
PERFORMANCE WEALTH notice-filed in LA, NY. IAPD ↗
$2.55B RAUM · 9 reps · (630) 686-5655
ComplianceMarketing & brand
49
NAPLES WEALTH PLANNING notice-filed in MO, NY, OH. IAPD ↗
$466.7M RAUM · 12 reps · 239-330-4183 · napleswealthplanning.com
ComplianceMarketing & brand
48
KIKER WEALTH MANAGEMENT, LLC notice-filed in IL, MD, MI, NY. IAPD ↗
$161.5M RAUM · 3 reps · 706-253-7285
ComplianceMarketing & brand
47
RETIREMENT RESOURCES INVESTMENT CORPORATION notice-filed in TX. IAPD ↗
$1.67B RAUM · 2 reps · 978-536-9000 · retirewithmore.com
ComplianceMarketing & brand
47
FINANCIAL SYNERGIES notice-filed in NC. IAPD ↗
$1.29B RAUM · 14 reps · 713-623-6600
ComplianceMarketing & brand
47
PARSONS CAPITAL MANAGEMENT INC notice-filed in NC. IAPD ↗
$1.88B RAUM · 11 reps · 401-521-2440 · parsonscapital.com
ComplianceMarketing & brand
47
INGHAM RETIREMENT GROUP notice-filed in PA. IAPD ↗
$2.06B RAUM · 10 reps · 305-671-2200 · ingham.com
ComplianceMarketing & brand
47
FORT WASHINGTON INVESTMENT ADVISORS INC notice-filed in KS. IAPD ↗
$79.46B RAUM · 94 reps · 513-361-7600 · ohiocapitalfund.com
ComplianceMarketing & brand
47
THE ADVISORY GROUP OF SAN FRANCISCO, LLC notice-filed in OH, VA. IAPD ↗
$831.4M RAUM · 4 reps · 415-977-1200
ComplianceMarketing & brand
47
GKV CAPITAL MANAGEMENT CO INC notice-filed in NV, TX. IAPD ↗
$260.5M RAUM · 2 reps · 925-627-8680 · gkvcapital.com
ComplianceMarketing & brand
47
MANAGED ASSET PORTFOLIOS, LLC notice-filed in NV. IAPD ↗
$1.09B RAUM · 5 reps · 248-601-6677
ComplianceMarketing & brand
47
SUMMIT FINANCIAL STRATEGIES INC notice-filed in IN. IAPD ↗
$1.78B RAUM · 27 reps · 614-885-1115 · summitfin.com
ComplianceMarketing & brand
47
FINANCIAL SECURITY ADVISORY INC notice-filed in MI. IAPD ↗
$1.32B RAUM · 45 reps · 757-431-1414 · gofsg.com
ComplianceMarketing & brand
47
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP notice-filed in MD. IAPD ↗
$2.56B RAUM · 9 reps · 480-890-8088 · stokerostler.com
ComplianceMarketing & brand
47
STEIGERWALD, GORDON & KOCH - WEALTH ADVISORS notice-filed in OK. IAPD ↗
$1.05B RAUM · 7 reps · 703-777-8826
ComplianceMarketing & brand
47
BOUCHEY FINANCIAL GROUP LTD notice-filed in MI. IAPD ↗
$1.16B RAUM · 19 reps · 518-720-3333 · boucheyfinancial.com
ComplianceMarketing & brand
47
MAIN STREET RESEARCH LLC notice-filed in DC. IAPD ↗
$1.82B RAUM · 11 reps · 415-289-1010
ComplianceMarketing & brand
47
CHARTER OAK CAPITAL MANAGEMENT notice-filed in MD. IAPD ↗
$1.11B RAUM · 13 reps · 800-646-5720 · charteroakcm.com
ComplianceMarketing & brand
47
PINKERTON RETIREMENT SPECIALISTS, LLC notice-filed in MO. IAPD ↗
$1.02B RAUM · 12 reps · 800-634-2008 · pinkertonretirement.com
ComplianceMarketing & brand
47
ABSOLUTE CAPITAL MANAGEMENT, LLC notice-filed in AL, OK. IAPD ↗
$351.5M RAUM · 2 reps · 412-388-1600
ComplianceMarketing & brand
47
INVESTMENT MANAGEMENT GROUP notice-filed in ID. IAPD ↗
$4.78B RAUM · 23 reps · 406-655-3960
ComplianceMarketing & brand
47
GREAT VALLEY ADVISOR GROUP, INC. notice-filed in ND. IAPD ↗
$7.34B RAUM · 154 reps · 302-483-7200 · omarcujar-lpl.com
ComplianceMarketing & brand
47
PERIGON WEALTH MANAGEMENT, LLC notice-filed in WI. IAPD ↗
$6.94B RAUM · 77 reps · (877) 977-2555
ComplianceMarketing & brand
47
NAMCOA notice-filed in OK, VA. IAPD ↗
$277.7M RAUM · 17 reps · (239) 593-5525 · flretire.com
ComplianceMarketing & brand
47
GELLER ADVISORS LLC notice-filed in AK. IAPD ↗
$5.91B RAUM · 15 reps · (212) 583-6001
ComplianceMarketing & brand
47
CALLAN CAPITAL, LLC notice-filed in IL. IAPD ↗
$1.88B RAUM · 7 reps · 858-551-3800
ComplianceMarketing & brand
47
PEACHTREE INVESTMENT PARTNERS, LLC notice-filed in TN, VA. IAPD ↗
$265.0M RAUM · 2 reps · 404-226-2728 · peachtreeinvestmentpartners.com
ComplianceMarketing & brand
47
MIRACLE MILE ADVISORS, LLC notice-filed in GA. IAPD ↗
$4.90B RAUM · 41 reps · (310) 246-1243
ComplianceMarketing & brand
47
INTEGRAL WEALTH MANAGEMENT notice-filed in NC, NV. IAPD ↗
$497.1M RAUM · 5 reps · 209-633-3101
ComplianceMarketing & brand
47
NORTHWEST ASSET MANAGEMENT notice-filed in OK. IAPD ↗
$3.27B RAUM · 48 reps · 206-838-3680 · farrellwealthgroup.com
ComplianceMarketing & brand
47
ROSEMAN WAGNER WEALTH MANAGEMENT notice-filed in WY. IAPD ↗
$1.11B RAUM · 5 reps · (916) 652-1525 · rosemanwagner.com
ComplianceMarketing & brand
47
THREE BELL CAPITAL LLC notice-filed in AZ. IAPD ↗
$3.25B RAUM · 11 reps · 650-843-9836
ComplianceMarketing & brand
47
ELM PARTNERS MANAGEMENT LLC notice-filed in NC. IAPD ↗
$1.50B RAUM · 3 reps · (888) 676-3148
ComplianceMarketing & brand
47
GOLDEN STATE WEALTH MANAGEMENT, LLC notice-filed in GA. IAPD ↗
$1.69B RAUM · 51 reps · 866.273.1563 · teamgoldenstate.com
ComplianceMarketing & brand
47
JOURNEY ADVISORY GROUP, LLC notice-filed in IL. IAPD ↗
$1.02B RAUM · 11 reps · 859-888-0356
ComplianceMarketing & brand
47
GLOBAL RETIREMENT PARTNERS LLC notice-filed in WY. IAPD ↗
$140.72B RAUM · 493 reps · 415-526-2753 · grpfinancial.com
ComplianceMarketing & brand
47
WORLD INVESTMENT ADVISORS, LLC notice-filed in PR. IAPD ↗
$37.76B RAUM · 166 reps · 888-201-5488
ComplianceMarketing & brand
47
FORT PITT CAPITAL GROUP, LLC notice-filed in ID. IAPD ↗
$5.16B RAUM · 47 reps · 412-921-1822 · focusfinancialpartners.com
ComplianceMarketing & brand
47
ACUMEN WEALTH ADVISORS, LLC notice-filed in CO, PA. IAPD ↗
$427.3M RAUM · 10 reps · 423-825-4796 · acumenwealth.com
ComplianceMarketing & brand
47
MERIDIAN WEALTH ADVISORS, LLC notice-filed in NM. IAPD ↗
$1.22B RAUM · 8 reps · 512-717-5580
ComplianceMarketing & brand
47
ONEASCENT FINANCIAL SERVICES LLC notice-filed in MT. IAPD ↗
$1.79B RAUM · 39 reps · 205-313-9142
ComplianceMarketing & brand
47
CBIZ INVESTMENT ADVISORY SERVICES, LLC notice-filed in NH. IAPD ↗
$8.86B RAUM · 86 reps · 216-447-9000
ComplianceMarketing & brand
47
KEELEY-TETON ADVISORS, LLC notice-filed in CA, MD. IAPD ↗
$888.8M RAUM · 11 reps · (312) 786-5000 · keeleyteton.com
ComplianceMarketing & brand
47
JORDAN PARK GROUP LLC notice-filed in IL. IAPD ↗
$15.41B RAUM · 86 reps · (415) 417-3000 · jordanpark.com
ComplianceMarketing & brand
47
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC notice-filed in CO, VA. IAPD ↗
$501.2M RAUM · 10 reps · 913-295-9500
ComplianceMarketing & brand
47
KINGSWOOD WEALTH ADVISORS, LLC notice-filed in NE. IAPD ↗
$1.04B RAUM · 73 reps · 800-535-6981 · kingswoodus.com
ComplianceMarketing & brand
47
STEPHENS GROUP ASSET MANAGEMENT, LLC notice-filed in OK. IAPD ↗
$1.14B RAUM · 4 reps · 501-246-7500 · sgassetmgt.com
ComplianceMarketing & brand
47
ETON ADVISORS notice-filed in PA. IAPD ↗
$1.96B RAUM · 5 reps · 919-442-1550
ComplianceMarketing & brand
47
CAPITA FINANCIAL NETWORK, LLC notice-filed in NY. IAPD ↗
$1.46B RAUM · 18 reps · 801-566-5058 · capitaonline.com
ComplianceMarketing & brand
47
ALTIORA FINANCIAL GROUP, LLC notice-filed in VA, WI. IAPD ↗
$758.5M RAUM · 1 reps · 513-652-5776 · altiora.com
ComplianceMarketing & brand
47
BRIDGEWEALTH ADVISORY GROUP, LLC notice-filed in ID, WA. IAPD ↗
$530.1M RAUM · 3 reps · (559) 432-6100 · bridgewealth.com
ComplianceMarketing & brand
47
LIGHTHOUSE WEALTH STRATEGIES, LLC notice-filed in ID, MT. IAPD ↗
$636.6M RAUM · 11 reps · 253-948-3725 · lighthousegigharbor.com
ComplianceMarketing & brand
47
REMBERT PENDLETON JACKSON notice-filed in IL. IAPD ↗
$2.12B RAUM · 13 reps · 703-821-6655
ComplianceMarketing & brand
47
OCTAVIA WEALTH ADVISORS LLC notice-filed in MN. IAPD ↗
$1.44B RAUM · 28 reps · (513) 762-7701
ComplianceMarketing & brand
47
MAYFLOWER ADVISORS notice-filed in WV. IAPD ↗
$4.69B RAUM · 21 reps · 617-259-1767 · mayfloweradvisors.com
ComplianceMarketing & brand
47
ORG PARTNERS notice-filed in DC, VA. IAPD ↗
$983.9M RAUM · 16 reps · 260-469-9173
ComplianceMarketing & brand
47
SOLLINDA CAPITAL MANAGEMENT LLC notice-filed in CA, TX. IAPD ↗
$916.8M RAUM · 9 reps · 828-455-4264 · sollinda.com
ComplianceMarketing & brand
47
ABLE FINANCIAL GROUP, LLC notice-filed in IL, NY. IAPD ↗
$467.4M RAUM · 7 reps · 480-258-6104 · ablefinancialgroup.com
ComplianceMarketing & brand
47
SYNTRINSIC LLC notice-filed in CA. IAPD ↗
$1.75B RAUM · 12 reps · 303-296-7100
ComplianceMarketing & brand
47
PLATFORM WEALTH ADVISORS notice-filed in LA, OR. IAPD ↗
$295.1M RAUM · 6 reps · (385) 243-0553 · platformadvise.com
ComplianceMarketing & brand
46
WEALTHCARE ASSET MANAGEMENT, LLC notice-filed in AR, IL, KS. IAPD ↗
$131.5M RAUM · 3 reps · 417-865-0936 · wealthcareassetmanagement.com
ComplianceMarketing & brand
46
XYPN INVEST notice-filed in FL, PA, WI. IAPD ↗
$133.3M RAUM · 14 reps · (360) 301-7579 · newleaffinancialguidance.com
ComplianceMarketing & brand
46
REGENTS PARTNERS, LLC notice-filed in AZ, ID, PR. IAPD ↗
$217.0M RAUM · 5 reps · (925) 261-8330 · regentsparkadvisors.com
ComplianceMarketing & brand
46
PACIFIC WEALTH ADVISORY SERVICES LLC notice-filed in AZ, ID, TX. IAPD ↗
$0 RAUM · 1 reps · 925-838-7567
ComplianceMarketing & brand
45
AULL & MONROE notice-filed in LA. IAPD ↗
$329.7M RAUM · 1 reps · (251) 342-3339 · aullmonroe.com
ComplianceMarketing & brand
45
FRAZIER FINANCIAL ADVISORS, LLC notice-filed in TN. IAPD ↗
$767.9M RAUM · 14 reps · 614-793-8297
ComplianceMarketing & brand
45
PORTFOLIO STRATEGIES INC NY notice-filed in LA. IAPD ↗
$723.7M RAUM · 3 reps · 201-571-4100 · psiinvest.com
ComplianceMarketing & brand
45
HALL CAPITAL MANAGEMENT COMPANY, INC. notice-filed in SC. IAPD ↗
$342.7M RAUM · 3 reps · (401) 245-0049
ComplianceMarketing & brand
45
LEVEL FINANCIAL ADVISORS, INC. notice-filed in NH. IAPD ↗
$620.8M RAUM · 8 reps · 716-634-6113 · levelfa.com
ComplianceMarketing & brand
45
EXCALIBUR MANAGEMENT CORP notice-filed in AZ. IAPD ↗
$606.4M RAUM · 8 reps · (617) 916-9669 · excalmgmt.com
ComplianceMarketing & brand
45
INVESTMENT MANAGEMENT ASSOCIATES notice-filed in AZ. IAPD ↗
$515.4M RAUM · 2 reps · 303-796-8333 · investor.fm
ComplianceMarketing & brand
45
IAS WEALTH MANAGEMENT, INC. notice-filed in IN. IAPD ↗
$447.5M RAUM · 4 reps · 281-364-0606 · iaswealth.com
ComplianceMarketing & brand
45
DINUZZO PRIVATE WEALTH, INC. notice-filed in VA. IAPD ↗
$946.5M RAUM · 8 reps · 724-728-6564
ComplianceMarketing & brand
45
ACCESS WEALTH notice-filed in SC. IAPD ↗
$404.0M RAUM · 6 reps · 973-740-2400 · access-wealth.com
ComplianceMarketing & brand
45
CALLAHAN ADVISORS, LLC notice-filed in OK. IAPD ↗
$932.9M RAUM · 6 reps · 713-572-3366
ComplianceMarketing & brand
45
MARQUIS WEALTH MANAGEMENT GROUP notice-filed in LA. IAPD ↗
$361.1M RAUM · 6 reps · 239-454-1117 · marquiswealthgroup.com
ComplianceMarketing & brand
45
FINANCIAL & TAX ARCHITECTS, LLC notice-filed in SC. IAPD ↗
$409.9M RAUM · 23 reps · 314-858-1122 · scoutfinancialgroup.com
ComplianceMarketing & brand
45
ROBLE, BELKO AND COMPANY, INC. notice-filed in MD. IAPD ↗
$953.2M RAUM · 7 reps · (724) 935-4990
ComplianceMarketing & brand
45
WAYPOINT WEALTH PARTNERS notice-filed in CO. IAPD ↗
$935.8M RAUM · 6 reps · 877-768-4802 · waypointwp.com
ComplianceMarketing & brand
45
HEADINVEST notice-filed in PA. IAPD ↗
$897.6M RAUM · 8 reps · 207-773-5333 · headinvest.com
ComplianceMarketing & brand
45
SAMALIN WEALTH notice-filed in MD. IAPD ↗
$364.5M RAUM · 8 reps · 914-666-6600 · samalinwealth.com
ComplianceMarketing & brand
45
SGL INVESTMENT ADVISORS, INC. notice-filed in MD. IAPD ↗
$292.4M RAUM · 6 reps · 406-721-0999 · sglinvestmentadvisors.com
ComplianceMarketing & brand
45
CAPITAL INSIGHT PARTNERS, LLC notice-filed in FL. IAPD ↗
$737.0M RAUM · 6 reps · 480-295-7070 · cipinvest.com
ComplianceMarketing & brand
45
KEENER FINANCIAL PLANNING notice-filed in PA. IAPD ↗
$293.7M RAUM · 9 reps · 817-993-0401 · keenermoney.com
ComplianceMarketing & brand
45
COORDINATED FINANCIAL SERVICES, INC. notice-filed in MN. IAPD ↗
$318.1M RAUM · 3 reps · 303-770-5401 · lifetime-capital.com
ComplianceMarketing & brand
45
SB ADVISORY, LLC notice-filed in ND. IAPD ↗
$285.9M RAUM · 29 reps · 404-704-0406 · pnwadvisory.com
ComplianceMarketing & brand
45
WELLSPRING FINANCIAL PARTNERS notice-filed in VA. IAPD ↗
$832.9M RAUM · 4 reps · 520-327-1019
ComplianceMarketing & brand
45
VEST FINANCIAL LLC notice-filed in AZ, CA, IL, MA, MD, SC. IAPD ↗institutional
$24.38B RAUM · 10 reps · 855-979-6060
ComplianceMarketing & brand
45
SHEPHERD FINANCIAL PARTNERS, LLC notice-filed in NC. IAPD ↗
$975.4M RAUM · 8 reps · (781) 756-1804
ComplianceMarketing & brand
45
CONCENTUS WEALTH ADVISORS notice-filed in LA. IAPD ↗
$799.9M RAUM · 7 reps · (610) 994-9190 · vimeo.com
ComplianceMarketing & brand
45
G&S CAPITAL LLC notice-filed in IN. IAPD ↗
$338.0M RAUM · 4 reps · 303-773-8000 · gandscapital.com
ComplianceMarketing & brand
45
CATALINA CAPITAL GROUP, LLC notice-filed in WA. IAPD ↗
$629.6M RAUM · 5 reps · 310-540-5544
ComplianceMarketing & brand
45
INSIGHT FOLIOS notice-filed in WI. IAPD ↗
$279.0M RAUM · 15 reps · (704) 529-9500
ComplianceMarketing & brand
45
THE GLEASON GROUP, INC. notice-filed in HI. IAPD ↗
$785.4M RAUM · 5 reps · (502) 882-7300
ComplianceMarketing & brand
45
DEDORA CAPITAL, INC. notice-filed in PA. IAPD ↗
$424.7M RAUM · 4 reps · 707-253-0681
ComplianceMarketing & brand
45
AVIVAR CAPITAL, LLC notice-filed in NM. IAPD ↗
$443.2M RAUM · 19 reps · 818-681-6833
ComplianceMarketing & brand
45
EQUITA FINANCIAL NETWORK, INC. notice-filed in VA. IAPD ↗
$283.1M RAUM · 13 reps · 800.604.0176
ComplianceMarketing & brand
45
GREAT OAK CAPITAL PARTNERS, LLC notice-filed in PA. IAPD ↗
$320.5M RAUM · 4 reps · (508) 230-7100
ComplianceMarketing & brand
45
GIBBS WEALTH MANAGEMENT, LLC notice-filed in UT. IAPD ↗
$391.4M RAUM · 10 reps · 678-694-8770
ComplianceMarketing & brand
45
COMPTON WEALTH ADVISORY GROUP, LLC notice-filed in FL. IAPD ↗
$637.2M RAUM · 3 reps · 757-351-0741 · comptonwealth.com
ComplianceMarketing & brand
45
BALBOA WEALTH PARTNERS, INC. notice-filed in PA. IAPD ↗
$776.0M RAUM · 21 reps · 949-445-1465
ComplianceMarketing & brand
45
OLIO FINANCIAL PLANNING notice-filed in KS. IAPD ↗
$412.7M RAUM · 7 reps · 703.459.9299
ComplianceMarketing & brand
45
GLEN EAGLE ADVISORS, LLC notice-filed in NH. IAPD ↗
$714.2M RAUM · 17 reps · 609-631-8231
ComplianceMarketing & brand
45
OASIS WEALTH PLANNING ADVISORS notice-filed in NC. IAPD ↗
$254.4M RAUM · 7 reps · (615) 933-3314 · oasiswealthplanning.com
ComplianceMarketing & brand
45
CYPRESS CAPITAL ADVISORS, LLC notice-filed in MA. IAPD ↗
$323.6M RAUM · 4 reps · 615-467-6075 · musicrowwealthmanagement.com
ComplianceMarketing & brand
45
OXINAS PARTNERS WEALTH MANAGEMENT notice-filed in GA. IAPD ↗
$297.0M RAUM · 8 reps · (812) 725-8649
ComplianceMarketing & brand
45
ELLSWORTH ADVISORS, LLC notice-filed in CO. IAPD ↗
$913.6M RAUM · 10 reps · (234) 200-0703 · login.orionadvisor.com
ComplianceMarketing & brand
45
LOGAN PARK WEALTH MANAGEMENT notice-filed in MA. IAPD ↗
$315.1M RAUM · 3 reps · (612) 315-2105 · lpwm.com
ComplianceMarketing & brand
45
SOCHA FINANCIAL GROUP, LLC notice-filed in OH. IAPD ↗
$354.3M RAUM · 5 reps · 607-962-0605 · nsocha.com
ComplianceMarketing & brand
45
TSG ADVICE PARTNERS, LLC notice-filed in TN. IAPD ↗
$613.3M RAUM · 10 reps · (614) 697-2750
ComplianceMarketing & brand
45
JACKSONVILLE WEALTH MANAGEMENT notice-filed in VA. IAPD ↗
$340.2M RAUM · 5 reps · 904-923-7526 · jaxwealth.com
ComplianceMarketing & brand
45
TOWER WEALTH PARTNERS notice-filed in IN. IAPD ↗
$307.9M RAUM · 3 reps · (570) 524-7200
ComplianceMarketing & brand
45
WEST MICHIGAN ADVISORS, LLC notice-filed in TN. IAPD ↗
$494.8M RAUM · 11 reps · (616) 820-1040
ComplianceMarketing & brand
45
EDGEROCK WEALTH MANAGEMENT notice-filed in NH. IAPD ↗
$325.1M RAUM · 9 reps · 303.780.7350
ComplianceMarketing & brand
45
SMITH THORNTON ADVISORS, LLC notice-filed in TX. IAPD ↗
$735.4M RAUM · 4 reps · 256-715-7715 · smiththornton.com
ComplianceMarketing & brand
45
NEXT LEVEL PRIVATE LLC notice-filed in SC. IAPD ↗
$810.7M RAUM · 7 reps · (914) 431-5255
ComplianceMarketing & brand
45
TWO PRIME LLC notice-filed in NC. IAPD ↗
$250.0M RAUM · 5 reps · 480-290-4951 · twoprime.io
ComplianceMarketing & brand
45
ULLMANN WEALTH PARTNERS notice-filed in LA. IAPD ↗
$877.1M RAUM · 6 reps · 904-280-3700
ComplianceMarketing & brand
45
PORTFOLIO DESIGN LABS, LLC notice-filed in NH. IAPD ↗
$276.2M RAUM · 1 reps · 310-755-0411
ComplianceMarketing & brand
45
CORA CAPITAL ADVISORS notice-filed in CO. IAPD ↗
$513.0M RAUM · 7 reps · 856-513-8600
ComplianceMarketing & brand
45
PRESILIUM PRIVATE WEALTH, LLC notice-filed in MD. IAPD ↗
$442.9M RAUM · 3 reps · 215-982-4140 · presiliumpw.com
ComplianceMarketing & brand
45
GOLDEN STATE EQUITY PARTNERS, LLC notice-filed in NJ. IAPD ↗
$743.7M RAUM · 24 reps · 866-273-1563 · vector3wealth.com
ComplianceMarketing & brand
45
FREEDOM FIDUCIARIES LLC notice-filed in CA. IAPD ↗
$331.6M RAUM · 3 reps · 208-900-4331
ComplianceMarketing & brand
45
TWIN PEAKS WEALTH ADVISORS notice-filed in AZ. IAPD ↗
$318.5M RAUM · 7 reps · (650) 200-0308 · twinpwa.com
ComplianceMarketing & brand
45
BALANCED WEALTH GROUP LLC notice-filed in PA. IAPD ↗
$341.5M RAUM · 7 reps · (440) 871-6501
ComplianceMarketing & brand
45
CURIO WEALTH, LLC notice-filed in WI. IAPD ↗
$330.7M RAUM · 6 reps · 410-449-2599 · curiowealth.com
ComplianceMarketing & brand
44
SUCCESSFUL MONEY STRATEGIES INC notice-filed in NY, TX. IAPD ↗
$174.9M RAUM · 1 reps · (508) 730-2300
ComplianceMarketing & brand
44
FINANCIAL LIFE PLANNERS notice-filed in FL, PA. IAPD ↗
$133.0M RAUM · 3 reps · 480-477-8530
ComplianceMarketing & brand
44
RLB FINANCIAL notice-filed in NY, WA. IAPD ↗
$128.0M RAUM · 3 reps · 866-686-8097 · rlbfinancial.com
ComplianceMarketing & brand
44
MODERN CAPITAL GROUP LLC notice-filed in CO, TX. IAPD ↗
$30.1M RAUM · 1 reps · 212-531-5600 · modern.net
ComplianceMarketing & brand
44
NAVIGATION WEALTH MANAGEMENT notice-filed in CA, NM. IAPD ↗
$140.0M RAUM · 10 reps · 970-672-1236
ComplianceMarketing & brand
44
TENON FINANCIAL notice-filed in IL, MA. IAPD ↗
$130.9M RAUM · 2 reps · 732-902-0066 · tenonfinancial.com
ComplianceMarketing & brand
44
SYNERGY INVESTMENT MANAGEMENT LLC notice-filed in NC, NJ. IAPD ↗
$101.6M RAUM · 5 reps · 321-203-4458 · synergywealthalliance.com
ComplianceMarketing & brand
44
WEALTHSPAN INVESTMENT MANAGEMENT, LLC notice-filed in FL, SC. IAPD ↗
$7.2M RAUM · 3 reps · 616-655-1696
ComplianceMarketing & brand
44
THEPARTNERS WEALTH MANAGEMENT notice-filed in AZ, NV. IAPD ↗
$172.5M RAUM · 7 reps · 800-324-3010 · centralcoastfm.com
ComplianceMarketing & brand
42
WEALTH ASSET MANAGERS notice-filed in WY. IAPD ↗
$242.5M RAUM · 9 reps · 509-838-1313 · nelson-securities.com
ComplianceMarketing & brand
42
SUPREME ALLIANCE LLC notice-filed in OK. IAPD ↗
$11.1M RAUM · 13 reps · 561-460-2870 · supremealliancellc.com
ComplianceMarketing & brand
42
BOYD FINANCIAL STRATEGIES, INC. notice-filed in NH. IAPD ↗
$109.5M RAUM · 2 reps · (508) 754-3226 · boydstrategy.com
ComplianceMarketing & brand
42
ROBERT STEPHEN CAPITAL MANAGEMENT LLC notice-filed in FL. IAPD ↗
$224.0M RAUM · 3 reps · 918-481-6262 · robertstephen.net
ComplianceMarketing & brand
42
SAXONY CAPITAL MANAGEMENT, LLC notice-filed in MA. IAPD ↗
$239.3M RAUM · 0 reps · 314-963-9336 · saxonycapitalmanagement.com
ComplianceMarketing & brand
42
ROTH ASSET MANAGEMENT, INC. notice-filed in TX. IAPD ↗
$132.0M RAUM · 1 reps · 206-780-5550
ComplianceMarketing & brand
42
ANSON ANALYTICS notice-filed in MN. IAPD ↗
$203.7M RAUM · 3 reps · 678-216-0795
ComplianceMarketing & brand
42
SAGEVIEW PRIVATE CLIENT GROUP, LLC notice-filed in TX. IAPD ↗
$0 RAUM · 5 reps · 949-955-1395
ComplianceMarketing & brand
42
HOLLAND ADVISORY SERVICES, INC. notice-filed in PA. IAPD ↗
$232.5M RAUM · 7 reps · 386-671-7526
ComplianceMarketing & brand
42
TOWNSEND FINANCIAL PLANNING notice-filed in FL. IAPD ↗
$116.0M RAUM · 3 reps · 859-498-2020
ComplianceMarketing & brand
42
GLOBAL VALUE INVESTMENT CORPORATION notice-filed in CO. IAPD ↗
$171.1M RAUM · 6 reps · 262-478-0640
ComplianceMarketing & brand
42
BEACON WEALTH CONSULTANTS, INC. notice-filed in MI. IAPD ↗
$203.8M RAUM · 12 reps · 540-345-3891 · lightpointportfoliosolutions.com
ComplianceMarketing & brand
42
WORTH ADVISORS notice-filed in CO. IAPD ↗
$179.3M RAUM · 11 reps · 704-731-0121 · coachnetworth.com
ComplianceMarketing & brand
42
TOTAL WEALTH PLANNING AND MANAGEMENT, INC. notice-filed in AK. IAPD ↗
$178.3M RAUM · 9 reps · (866) 568-0003
ComplianceMarketing & brand
42
MD FINANCIAL / VESTMENT FINANCIAL notice-filed in AZ. IAPD ↗
$213.4M RAUM · 4 reps · 888-256-6855
ComplianceMarketing & brand
42
UCAP AMERICAS notice-filed in LA. IAPD ↗
$165.4M RAUM · 7 reps · 646-809-3600 · ucapamericas.com
ComplianceMarketing & brand
42
11 FINANCIAL notice-filed in NH. IAPD ↗
$12.4M RAUM · 6 reps · (936) 899-5629
ComplianceMarketing & brand
42
PERISSOS PRIVATE WEALTH MANAGEMENT notice-filed in NE. IAPD ↗
$141.7M RAUM · 3 reps · 405-212-9690
ComplianceMarketing & brand
42
CONNECTED WEALTH SOLUTIONS, LLC notice-filed in WA. IAPD ↗
$145.5M RAUM · 2 reps · (541) 963-7800 · connectedwealthllc.com
ComplianceMarketing & brand
42
ARBOR FINANCIAL notice-filed in TX. IAPD ↗
$167.2M RAUM · 1 reps · 734-761-6626 · arborfinancial.com
ComplianceMarketing & brand
42
NICHOLAS WEALTH MANAGEMENT notice-filed in AZ. IAPD ↗
$203.1M RAUM · 6 reps · 404-890-5606
ComplianceMarketing & brand
42
FOUR FINANCIAL MANAGEMENT notice-filed in NC. IAPD ↗
$119.8M RAUM · 6 reps · 734-272-4322
ComplianceMarketing & brand
42
SLOAN ADVISORY GROUP, INC. notice-filed in OR. IAPD ↗
$50.9M RAUM · 1 reps · 888-978-8880 · sloanadvisorygroup.com
ComplianceMarketing & brand
42
GIBSON WEALTH ADVISORS, LLC notice-filed in LA. IAPD ↗
$140.1M RAUM · 2 reps · 214-347-7475 · gibsonwealthadvisors.com
ComplianceMarketing & brand
42
ANTONELLI FINANCIAL ADVISORS, LLC notice-filed in IL. IAPD ↗
$139.3M RAUM · 3 reps · 313-290-2602 · antonelliadvisors.com
ComplianceMarketing & brand
42
SIEBERT ADVISORNXT, LLC. notice-filed in KS. IAPD ↗
$212.6M RAUM · 24 reps · 800-872-0444 · siebertnxt.com
ComplianceMarketing & brand
42
FLORIDA FINANCIAL ADVISORS, LLC notice-filed in HI. IAPD ↗
$199.0M RAUM · 294 reps · (813) 333-1683
ComplianceMarketing & brand
42
PRISM PLANNING PARTNERS notice-filed in FL. IAPD ↗
$163.9M RAUM · 3 reps · (847) 250-9870
ComplianceMarketing & brand
42
OUTFITTER FINANCIAL notice-filed in WA. IAPD ↗
$145.6M RAUM · 2 reps · 978-865-3787
ComplianceMarketing & brand
42
BIG INVESTMENT SERVICES notice-filed in NH. IAPD ↗
$238.6M RAUM · 1 reps · 302-734-7526
ComplianceMarketing & brand
42
RCS FINANCIAL PLANNING, LLC notice-filed in NC. IAPD ↗
$198.8M RAUM · 3 reps · 410-224-0097 · rcsplanning.com
ComplianceMarketing & brand
42
LIBRETTO notice-filed in LA. IAPD ↗
$0 RAUM · 3 reps · (424) 290-1308
ComplianceMarketing & brand
42
FIDELIS WEALTH ADVISORS notice-filed in MN. IAPD ↗
$192.9M RAUM · 4 reps · 303-800-4683
ComplianceMarketing & brand
42
VAN CLEMENS WEALTH MANAGEMENT, LLC notice-filed in MA. IAPD ↗
$105.9M RAUM · 16 reps · 612-758-9140 · vanclemens.com
ComplianceMarketing & brand
42
SCHOLAR FINANCIAL ADVISING, LLC notice-filed in NE. IAPD ↗
$0 RAUM · 7 reps · (336) 360-6833 · scholarfinancialadvising.com
ComplianceMarketing & brand
42
CAVU WEALTH MANAGEMENT notice-filed in FL. IAPD ↗
$114.5M RAUM · 8 reps · 858-360-7800 · cavuwealthmanagement.com
ComplianceMarketing & brand
42
BIRCH WEALTH MANAGEMENT notice-filed in FL. IAPD ↗
$38.3M RAUM · 1 reps · 315-795-2005
ComplianceMarketing & brand
42
ECHO45 ADVISORS LLC notice-filed in AZ. IAPD ↗
$167.8M RAUM · 5 reps · 877-432-4645 · echo45advisors.com
ComplianceMarketing & brand
42
ADVISOR SHARE WEALTH MANAGEMENT notice-filed in KS. IAPD ↗
$48.0M RAUM · 22 reps · 866-232-3251 · aswealthmanagement.com
ComplianceMarketing & brand
42
SOUTHCOL ADVISORS notice-filed in ID. IAPD ↗
$126.9M RAUM · 4 reps · 239-228-8747
ComplianceMarketing & brand
42
FOREFRONT notice-filed in NJ. IAPD ↗
$118.2M RAUM · 7 reps · 512-617-1984
ComplianceMarketing & brand
42
TALISMAN WEALTH ADVISORS, LLC notice-filed in NC. IAPD ↗
$192.1M RAUM · 2 reps · (908) 519-8120 · talismanwealthadvisors.com
ComplianceMarketing & brand
42
GOLDEN ROAD ADVISORS LLC notice-filed in NJ. IAPD ↗
$143.2M RAUM · 3 reps · 813-491-1593 · goldenroadadvisors.com
ComplianceMarketing & brand
42
ELEVATION WEALTH MANAGEMENT notice-filed in MA. IAPD ↗
$113.4M RAUM · 2 reps · 952-905-3042
ComplianceMarketing & brand
42
ENTREWEALTH notice-filed in MO. IAPD ↗
$174.7M RAUM · 4 reps · 512-240-2244 · jeffsocha.com
ComplianceMarketing & brand
42
PEAK RETIREMENT PLANNING, INC. notice-filed in NC. IAPD ↗
$106.0M RAUM · 6 reps · (614) 500-4121 · peakretirementplanning.com
ComplianceMarketing & brand
42
IPSEN ADVISOR GROUP notice-filed in AZ. IAPD ↗
$192.0M RAUM · 2 reps · (501) 614-4700 · ipsenadvisorgroup.com
ComplianceMarketing & brand
42
ENCOMPASS MORE ASSET MANAGEMENT LLC notice-filed in WI. IAPD ↗
$228.5M RAUM · 43 reps · 925-272-8850 · encompassmore.com
ComplianceMarketing & brand
42
ONEASCENT FAMILY OFFICES notice-filed in SC. IAPD ↗
$93.8M RAUM · 2 reps · (205) 313-9142 · sovereignfamilyoffice.co
ComplianceMarketing & brand
42
BULL HARBOR CAPITAL LLC. notice-filed in IN. IAPD ↗
$173.9M RAUM · 16 reps · 804-965-5408 · bullharborcapital.com
ComplianceMarketing & brand
42
DECISIONMAP WEALTH MANAGEMENT, LLC notice-filed in TX. IAPD ↗
$177.4M RAUM · 3 reps · (703) 520-1160 · decisionmap.com
ComplianceMarketing & brand
42
JB WEALTH ADVISORS LLC notice-filed in AZ. IAPD ↗
$11.2M RAUM · 2 reps · 615-560-8268
ComplianceMarketing & brand
42
FRIDAY FINANCIAL notice-filed in LA. IAPD ↗
$129.1M RAUM · 4 reps · (563) 552-7526
ComplianceMarketing & brand
42
EXPRESSIVE WEALTH LLC notice-filed in TX. IAPD ↗
$120.0M RAUM · 6 reps · 847-595-8812 · expressivewealth.com
ComplianceMarketing & brand
42
BASSAM WEALTH MANAGEMENT, LLC notice-filed in VA. IAPD ↗
$0 RAUM · 1 reps · (561) 231-5642 · bassamwealthmanagement.com
ComplianceMarketing & brand
42
SUMMITAS INVESTMENT MANAGEMENT LLC notice-filed in OK. IAPD ↗
$127.0M RAUM · 1 reps · 254-275-5326
ComplianceMarketing & brand
42
NEWERA WEALTH notice-filed in TX. IAPD ↗
$0 RAUM · 1 reps · 786 788-5199
ComplianceMarketing & brand
42
GENEVA FINANCIAL GROUP notice-filed in NY. IAPD ↗
$0 RAUM · 1 reps · 732-719-4101
ComplianceMarketing & brand
40
GREENPORTFOLIO INC. notice-filed in AK, LA, NE, TN, TX. IAPD ↗institutional
$0 RAUM · 1 reps · 917-719-0206 · greenportfolio.com
ComplianceMarketing & brand
37
SIMPLIFY ASSET MANAGEMENT INC. notice-filed in NH. IAPD ↗institutional
$4.66B RAUM · 13 reps · 646-585-0476 · simplify.us
ComplianceMarketing & brand
34
CAPITAL CLIENT GROUP, INC. notice-filed in IL, NY. IAPD ↗institutional
$0 RAUM · 494 reps · 213-486-9200
ComplianceMarketing & brand
32
USI SECURITIES, INC. notice-filed in WI. IAPD ↗institutional
$0 RAUM · 19 reps · 860-652-3239
ComplianceMarketing & brand
32
DYNAMIC BETA INVESTMENTS LLC notice-filed in CT. IAPD ↗fund
$2.65B RAUM · 3 reps · 646-837-7030 · dbi.co
ComplianceMarketing & brand
32
KENNEDY LEWIS MANAGEMENT LP notice-filed in PA. IAPD ↗fund
$8.97B RAUM · 38 reps · 212-782-3480
ComplianceMarketing & brand
32
GHISALLO CAPITAL MANAGEMENT LLC notice-filed in MA. IAPD ↗fund
$2.79B RAUM · 19 reps · 617-502-5735 · ghisallo.com
ComplianceMarketing & brand
32
DATALIGN notice-filed in VI. IAPD ↗institutional
$0 RAUM · 0 reps · 781-228-5678
ComplianceMarketing & brand
32
MIDBRIDGE ADVISORS LP notice-filed in NY. IAPD ↗institutional
$0 RAUM · 12 reps · 303-454-5453
ComplianceMarketing & brand
30
KENT LAKE CAPITAL LLC notice-filed in PR. IAPD ↗fund
$496.5M RAUM · 5 reps · 415-799-2720
ComplianceMarketing & brand
29
CACHE ADVISORS LLC notice-filed in IA, NY. IAPD ↗fund
$32.0M RAUM · 1 reps · 408-409-4296 · usecache.com
ComplianceMarketing & brand
new registration — 116 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
100
DIVERSIFIED, LLC (WILMINGTON, DE) is newly SEC-registered with $1.55B RAUM and 25 advisory reps. IAPD ↗
$1.55B RAUM · 25 reps · 302-765-3500 · pinterest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
100
CAUSEY PUBLIC FINANCE (location n/a) is newly SEC-registered with $1.37B RAUM and 10 advisory reps. IAPD ↗
$1.37B RAUM · 10 reps · 303-518-3825 · causeypf.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
COHALO (SNOQUALMIE, WA) is newly SEC-registered with $838.2M RAUM and 1 advisory reps. IAPD ↗
$838.2M RAUM · 1 reps · 833-426-4256 · cohalo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LPL ENTERPRISE, LLC (FORT MILL, SC) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗
$0 RAUM · 12 reps · 704-733-3300 · lpl.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPINE WEALTH ADVISORS, LLC (DENVER, CO) is newly SEC-registered with $102.5M RAUM and 1 advisory reps. IAPD ↗
$102.5M RAUM · 1 reps · 7203186634 · alpinewealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANE BROTHERS INVESTMENT COUNSEL (PRESCOTT, AZ) is newly SEC-registered with $162.3M RAUM and 4 advisory reps. IAPD ↗
$162.3M RAUM · 4 reps · 928-776-8870 · lanebrothers.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT (HANOVER, NH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · 603-643-1415
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEXINGTON INVESTMENT CONSULTING, LLC (NASHVILLE, TN) is newly SEC-registered with $120.4M RAUM and 2 advisory reps. IAPD ↗
$120.4M RAUM · 2 reps · 615-492-1011 · lex-life.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALJEN ASSET MANAGEMENT LLC (CEDAR KNOLLS, NJ) is newly SEC-registered with $126.5M RAUM and 1 advisory reps. IAPD ↗
$126.5M RAUM · 1 reps · 973-316-1212
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INVESTOLOGY INC. (RESTON, VA) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
$138.0M RAUM · 3 reps · 703-429-1975 · investologyinc.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FRISCO FINANCIAL PLANNING (location n/a) is newly SEC-registered with $109.8M RAUM and 1 advisory reps. IAPD ↗
$109.8M RAUM · 1 reps · 469-248-6237 · friscofinancialplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SERVANT FINANCIAL, LTD. (location n/a) is newly SEC-registered with $116.5M RAUM and 1 advisory reps. IAPD ↗
$116.5M RAUM · 1 reps · 630-264-0127 · servantfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GRANITE CAPITAL (OAKLAND, CA) is newly SEC-registered with $215.3M RAUM and 2 advisory reps. IAPD ↗
$215.3M RAUM · 2 reps · 510-336-9120 · granitecapitalllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROAD REACH CAPITAL LLC (RALEIGH, NC) is newly SEC-registered with $110.7M RAUM and 2 advisory reps. IAPD ↗
$110.7M RAUM · 2 reps · 919-309-1406 · broadreachpartnersllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COTE FINANCIAL MANAGEMENT (location n/a) is newly SEC-registered with $120.0M RAUM and 1 advisory reps. IAPD ↗
$120.0M RAUM · 1 reps · 978-767-9501 · cotefinancialservices.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STRATEGIC PORTFOLIO SOLUTIONS, LLC (DALLAS, TX) is newly SEC-registered with $101.8M RAUM and 5 advisory reps. IAPD ↗
$101.8M RAUM · 5 reps · (214) 446-4910
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SERVO WEALTH MANAGEMENT LLC (OKLAHOMA CITY, OK) is newly SEC-registered with $130.5M RAUM and 1 advisory reps. IAPD ↗
$130.5M RAUM · 1 reps · (405) 384-5132 · servowealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PARRISH CAPITAL, LLC (KENNESAW, GA) is newly SEC-registered with $112.3M RAUM and 2 advisory reps. IAPD ↗
$112.3M RAUM · 2 reps · (800) 618-1940 · parrishcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WOMACK FINANCIAL LLC (DALLAS, TX) is newly SEC-registered with $110.5M RAUM and 2 advisory reps. IAPD ↗
$110.5M RAUM · 2 reps · 214-843-0070 · womackfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FPFOCO (FORT COLLINS, CO) is newly SEC-registered with $101.5M RAUM and 3 advisory reps. IAPD ↗
$101.5M RAUM · 3 reps · 970-225-0504
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
L&S INVESTMENT ADVISORS, LLC (MIAMI, FL) is newly SEC-registered with $130.6M RAUM and 5 advisory reps. IAPD ↗
$130.6M RAUM · 5 reps · 786-241-7000 · ls.finance
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VANWEELDEN WEALTH MANAGEMENT, LLC (WEST CHESTER TOWNSHIP, OH) is newly SEC-registered with $104.0M RAUM and 2 advisory reps. IAPD ↗
$104.0M RAUM · 2 reps · (513) 942-8961 · vanweeldengroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MALVERN CAPITAL MANAGEMENT (MALVERN, PA) is newly SEC-registered with $223.4M RAUM and 4 advisory reps. IAPD ↗
$223.4M RAUM · 4 reps · 610-979-1462 · malverncap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GRANT PRIVATE WEALTH MANAGEMENT (PLEASANTON, CA) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
$105.8M RAUM · 3 reps · 925-378-5000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MACERATIO LLC (MIAMI, FL) is newly SEC-registered with $129.4M RAUM and 2 advisory reps. IAPD ↗
$129.4M RAUM · 2 reps · 305-398-9010
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ATX FINANCIAL PLANNING, LLC (AUSTIN, TX) is newly SEC-registered with $107.7M RAUM and 2 advisory reps. IAPD ↗
$107.7M RAUM · 2 reps · 512-693-4040 · atxfinancialplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PMG FAMILY OFFICE, LLC (PLANO, TX) is newly SEC-registered with $109.6M RAUM and 1 advisory reps. IAPD ↗
$109.6M RAUM · 1 reps · 214-550-8790
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
X ADVISORS, LLC (SANTA MARIA, CA) is newly SEC-registered with $117.8M RAUM and 6 advisory reps. IAPD ↗
$117.8M RAUM · 6 reps · 805-465-9232 · xadvisors.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REAL TALK CAPITAL, LLC (FRANKLIN, TN) is newly SEC-registered with $102.6M RAUM and 4 advisory reps. IAPD ↗
$102.6M RAUM · 4 reps · 833-856-2088 · realtalkcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCRATCH CAPITAL (BOISE, ID) is newly SEC-registered with $114.6M RAUM and 3 advisory reps. IAPD ↗
$114.6M RAUM · 3 reps · 208-901-8018 · scratch-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FLATROCK WEALTH PARTNERS LLC (NEWPORT BEACH, CA) is newly SEC-registered with $115.2M RAUM and 2 advisory reps. IAPD ↗
$115.2M RAUM · 2 reps · (949) 687-2615 · flatrockwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROOKLINE WEALTH, LLC (AUSTIN, TX) is newly SEC-registered with $128.6M RAUM and 1 advisory reps. IAPD ↗
$128.6M RAUM · 1 reps · 512-222-9169 · brooklinewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UNIFY FINANCIAL ADVISORS (CLEARWATER, FL) is newly SEC-registered with $116.3M RAUM and 2 advisory reps. IAPD ↗
$116.3M RAUM · 2 reps · 727-306-0299 · unifyfa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WAGNER WEALTH MANAGEMENT, CORP. (SUGARLOAF, PA) is newly SEC-registered with $100.8M RAUM and 2 advisory reps. IAPD ↗
$100.8M RAUM · 2 reps · 570-987-6244 · wwmcorp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLOUT CAPITAL (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 561-931-8430 · cloutcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEGOAL WEALTH ADVISORS LLC (location n/a) is newly SEC-registered with $82.0M RAUM and 3 advisory reps. IAPD ↗
$82.0M RAUM · 3 reps · 607-434-0742 · lifegoalwealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EL MENUDO CUENTA LLC (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 786-845-6878 · elmenudocuenta.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MURPHY & MULLICK CAPITAL MANAGEMENT CORP (SMITHTOWN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 631-257-0080 · murphyfinancialgrp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KMT WEALTH MANAGEMENT, LLC (EL SEGUNDO, CA) is newly SEC-registered with $133.9M RAUM and 1 advisory reps. IAPD ↗
$133.9M RAUM · 1 reps · 773-895-8962 · kmtwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RHL GROUP, LLC (HOLLY, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 248-634-7720 · rhlgroup.us
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
XXI WEALTH, LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (312) 300-2670
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CASTLE ROCK ADVISORS LLC (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 22 advisory reps. IAPD ↗
$0 RAUM · 22 reps · 617-227-0050
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEELE STREET CAPITAL LLC (KITTERY, ME) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 207-475-0060
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TERRAFIRMA WEALTH PARTNERS (WALNUT CREEK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 925-639-4592 · terrafirmawealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SLO MONEY MANAGERS (ATASCADERO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (949) 466-7519 · slomoneymanagers.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALECTRA WEALTH ADVISORS, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 859-402-1460 · qtrfamilycapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PLANWISER FINANCIAL (COLORADO SPRINGS, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 719-822-0808 · planwiser.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFP FINANCIAL SERVICES (SAFETY HARBOR, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 727-443-3300 · mfpfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUEHEEL LLC (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 214-559-9972
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFELONG WEALTH ADVISORS, INC. (ARDEN HILLS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 651-444-6500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DECODE FINANCE LLC (PALO ALTO, CA) is newly SEC-registered with $1,000 RAUM and 1 advisory reps. IAPD ↗
$1,000 RAUM · 1 reps · 408-500-8242 · decode.finance
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BEARING POINT CAPITAL (BLOOMINGTON, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 952-800-6301 · bearingpointcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DSG CAPITAL ADVISORS, LLC (EDINA, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · (612) 515-9900 · dsgcapitaladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RAINIER FAMILY WEALTH, INC. (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 253-973-7744
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MOREY & QUINN WEALTH PARTNERS (OMAHA, NE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (402) 502-9900 · moreyandquinn.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BREAKTHRU ADVISORY SERVICES, LLC (MUSKEGO, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 262 977-9907 · breakthruadvisoryservices.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OLD BRIDGE WEALTH, INC (SYOSSET, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 347-723-8943 · oldbridgewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEGACY CAPITAL (THE WOODLANDS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (281) 595-1996
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORRALES & CO. (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (202) 580-2068
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BURLING WEALTH PARTNERS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 1-312-825-0601 · burlingwealthpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ELEVATE PLANNERS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 347-506-6061 · lvtplanners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MANNA WEALTH MANAGEMENT (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 305-306-7107 · mannawealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORONJY FINANCIAL (SANTA BARBARA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 805-543-1033 · foronjyfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SERENITY CAPITAL ADVISORS INC. (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 585-662-8111 · serenitycapadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEAK WEALTH MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 518-441-2285
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TIDECREST WEALTH MANAGEMENT, LLC (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 949-244-7910
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRUE WEALTH GROUP (BEND, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 5037994008 · mytruewealthgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MARTINSEN WEALTH MANAGEMENT (TEMPE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 480-550-6556 · martinsenwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRADEWELL SECURITIES, LLC (FORT WAYNE, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 260-490-2084 · tradewelltax.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIBERTY SQUARE WEALTH PARTNERS LLC (BETHLEHEM, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (610) 865-5803 · libertysquarewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ADVISIFI LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-553-3553 · advisifi.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFT ASSET MANAGEMENT (ENGLEWOOD, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 303-887-1729
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRASAD WEALTH PARTNERS (INDEPENDENCE, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 216-313-9999 · prasadwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CURA WEALTH ADVISORS, LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 312-608-8806 · curawealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CANTATA WEALTH MANAGEMENT, LLC (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 844-226-8282 · cantatawealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VIRTUS WEALTH SOLUTIONS (CRANFORD, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 908-967-6360 · virtuswealthsolutions.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROUTE 20 PRIVATE WEALTH INC. (FORT LAUDERDALE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 561-843-4678 · route20wealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AVENTURA PRIVATE WEALTH, LLC (AVENTURA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 305-610-7218
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GARDEN INVESTMENTS (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · (203) 242-8370
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
STARTINVEST FINANCIAL LLC (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 424-303-3666
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CORYELL INVESTMENT MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 646-907-5632 · coryell.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
UNIFI ASSET MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 212-351-5601 · unifiam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ARINI CAPITAL MANAGEMENT US LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 332-225-3450 · arini.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BRYANT PARK FUNDING CLO MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 44 advisory reps. IAPD ↗institutional
$0 RAUM · 44 reps · 212-500-3000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
VISTASHARES (location n/a) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 917-319-4683 · vistashares.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
WISDOM FIXED INCOME MANAGEMENT (DALLAS, TX) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 214-871-5200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
RAVEN MUSIC PARTNERS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 13 advisory reps. IAPD ↗institutional
$0 RAUM · 13 reps · 212-966-7926 · ravencm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
X CAPITAL ADVISORS 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 · 201-502-7070
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
COMPOSITION CAPITAL LP (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
$0 RAUM · 7 reps · 949-244-6836
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GQG PRIVATE CAPITAL SOLUTIONS LLC (TACOMA, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
$0 RAUM · 7 reps · 754-218-5500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
STONE POINT CREDIT INCOME ADVISER LLC (GREENWICH, CT) is newly SEC-registered with $0 RAUM and 39 advisory reps. IAPD ↗institutional
$0 RAUM · 39 reps · 203-862-2900 · stonepoint.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PROTOCOL VC LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 415-370-5155 · protocol.vc
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FORMA CASHMERE (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 310-904-9331 · thecashmerefund.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FIELDVIEW CAPITAL MANAGEMENT, LLC (NILES, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps. IAPD ↗institutional
$0 RAUM · 12 reps · 312-420-2441
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ANANYM CAPITAL MANAGEMENT, LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 347-974-1040 · ananymcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
INVESTATURE (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 917-836-8653 · investature.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FOURTH SAIL CAPITAL US LP (location n/a) is newly SEC-registered with $1.51B RAUM and 2 advisory reps. IAPD ↗fund
$1.51B RAUM · 2 reps · 646-355-2764 · fourthsailcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
INTELLIGENT ALPHA LLC (MINNEAPOLIS, MN) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 215-469-1717 · intelligentalpha.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
KHROM CAPITAL MANAGEMENT (MIAMI, FL) is newly SEC-registered with $389.6M RAUM and 3 advisory reps. IAPD ↗fund
$389.6M RAUM · 3 reps · 6464366643 · khromcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
HUNTER STREET PARTNERS, LP (WAYZATA, MN) is newly SEC-registered with $279.7M RAUM and 5 advisory reps. IAPD ↗fund
$279.7M RAUM · 5 reps · 612-404-3100 · hunterst.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SCIENTECH RESEARCH LLC (JERSEY CITY, NJ) is newly SEC-registered with $439.7M RAUM and 4 advisory reps. IAPD ↗fund
$439.7M RAUM · 4 reps · 201-292-3789
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
BY CRYPTO MANAGEMENT, LLC (LITTLE ROCK, AR) is newly SEC-registered with $747.4M RAUM and 8 advisory reps. IAPD ↗fund
$747.4M RAUM · 8 reps · 917-561-4905
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SYMBIOSIS CAPITAL PARTNERS, LLC (BENTONVILLE, AR) is newly SEC-registered with $278.8M RAUM and 6 advisory reps. IAPD ↗fund
$278.8M RAUM · 6 reps · 4793786655
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
13D MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $176.0M RAUM and 5 advisory reps. IAPD ↗fund
$176.0M RAUM · 5 reps · 212-223-2282 · 13dmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
HIGHBURY PARK LLC (location n/a) is newly SEC-registered with $155.1M RAUM and 1 advisory reps. IAPD ↗fund
$155.1M RAUM · 1 reps · 401-651-1059
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BRAESWOOD CARBON MANAGEMENT, LLC (SAN FRANCISCO, CA) is newly SEC-registered with $185.9M RAUM and 3 advisory reps. IAPD ↗fund
$185.9M RAUM · 3 reps · 415-325-2523 · braeswoodcarbon.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
REMORA CAPITAL PARTNERS (NASHVILLE, TN) is newly SEC-registered with $245.0M RAUM and 3 advisory reps. IAPD ↗fund
$245.0M RAUM · 3 reps · 615-380-1095 · remoracap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
FLOW STATE INVESTMENTS, LP (CHICAGO, IL) is newly SEC-registered with $188.4M RAUM and 11 advisory reps. IAPD ↗fund
$188.4M RAUM · 11 reps · 773-938-9600 · flowstateinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CONTINUIM EQUITY PARTNERS, LP (PITTSBURGH, PA) is newly SEC-registered with $167.3M RAUM and 13 advisory reps. IAPD ↗fund
$167.3M RAUM · 13 reps · 412-586-7651
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
DIGITAL ASSET MANAGEMENT (PHOENIX, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
$0 RAUM · 1 reps · 6029101254 · damx.us
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
PINE VALLEY CAPITAL PARTNERS LLC (AUSTIN, TX) is newly SEC-registered with $238.1M RAUM and 4 advisory reps. IAPD ↗fund
$238.1M RAUM · 4 reps · 713-417-4441 · pvcapitalpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
QUADRATURE US INC. (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 80 advisory reps. IAPD ↗fund
$0 RAUM · 80 reps · 646-224-7425 · quadrature.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
TRINETRA INVESTMENT MANAGEMENT LLP (LONDON, United Kingdom) is newly SEC-registered with $224.0M RAUM and 4 advisory reps. IAPD ↗foreign
$224.0M RAUM · 4 reps · +44 20 3908 8900 · trinetra-im.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
NUTSHELL ASSET MANAGEMENT LIMITED (SEVENOAKS, United Kingdom) is newly SEC-registered with $165.0M RAUM and 2 advisory reps. IAPD ↗foreign
$165.0M RAUM · 2 reps · +44 (0)20 78560520 · nutshellam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
ARINI CAPITAL MANAGEMENT LIMITED (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 26 advisory reps. IAPD ↗foreign
$0 RAUM · 26 reps · +44 (0) 204 571 0034 · arini.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
ROSEN GROUP PRIVATE WEALTH MANAGEMENT, LLC (POINTE-CLAIRE. QC, Canada) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 514-782-5966
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 98 Count of additional offices increased.
55
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS added office(s): 7 -> 8 additional locations. IAPD ↗
$22.37B RAUM · 80 reps · 216-621-1090 · clearsteadinvestmentforum.buzzsprout.com
Office IT & facilitiesCRMRecruiting & transitions
55
F L PUTNAM INVESTMENT MANAGEMENT CO. added office(s): 10 -> 14 additional locations. IAPD ↗
$6.17B RAUM · 60 reps · 800-344-3435
Office IT & facilitiesCRMRecruiting & transitions
55
COLDSTREAM WEALTH MANAGEMENT added office(s): 6 -> 7 additional locations. IAPD ↗
$9.66B RAUM · 141 reps · 425-283-1600
Office IT & facilitiesCRMRecruiting & transitions
55
BEACON POINTE ADVISORS, LLC added office(s): 26 -> 52 additional locations. IAPD ↗
$31.28B RAUM · 296 reps · 949-718-1600
Office IT & facilitiesCRMRecruiting & transitions
55
PERIGON WEALTH MANAGEMENT, LLC added office(s): 41 -> 44 additional locations. IAPD ↗
$6.94B RAUM · 77 reps · (877) 977-2555
Office IT & facilitiesCRMRecruiting & transitions
55
PROSPERITY - AN EISNERAMPER COMPANY added office(s): 7 -> 8 additional locations. IAPD ↗
$1.07B RAUM · 31 reps · 410-363-7211
Office IT & facilitiesCRMRecruiting & transitions
55
MOUNT YALE INVESTMENT ADVISORS, LLC added office(s): 2 -> 4 additional locations. IAPD ↗
$2.19B RAUM · 20 reps · 303-382-2880
Office IT & facilitiesCRMRecruiting & transitions
55
PYA WALTMAN CAPITAL, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.03B RAUM · 9 reps · 865-693-6301
Office IT & facilitiesCRMRecruiting & transitions
55
THE COLONY GROUP, LLC added office(s): 34 -> 92 additional locations. IAPD ↗
$21.47B RAUM · 660 reps · 617-723-8200
Office IT & facilitiesCRMRecruiting & transitions
55
THE PATRIOT FINANCIAL GROUP, LLC added office(s): 27 -> 28 additional locations. IAPD ↗
$2.12B RAUM · 50 reps · 508-251-6100
Office IT & facilitiesCRMRecruiting & transitions
55
KOVITZ INVESTMENT GROUP PARTNERS, LLC added office(s): 29 -> 35 additional locations. IAPD ↗
$11.29B RAUM · 138 reps · 312-334-7300
Office IT & facilitiesCRMRecruiting & transitions
55
ONEASCENT FINANCIAL SERVICES LLC added office(s): 27 -> 29 additional locations. IAPD ↗
$1.79B RAUM · 39 reps · 205-313-9142
Office IT & facilitiesCRMRecruiting & transitions
55
VIDENT ASSET MANAGEMENT added office(s): 3 -> 4 additional locations. IAPD ↗
$8.99B RAUM · 6 reps · 404-267-1501 · videntam.com
Office IT & facilitiesCRMRecruiting & transitions
55
CRESSET ASSET MANAGEMENT, LLC added office(s): 20 -> 22 additional locations. IAPD ↗
$52.51B RAUM · 133 reps · 312-429-2400 · cressetpartners.com
Office IT & facilitiesCRMRecruiting & transitions
55
STEPHENS GROUP ASSET MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$1.14B RAUM · 4 reps · 501-246-7500 · sgassetmgt.com
Office IT & facilitiesCRMRecruiting & transitions
55
ROBERTSON STEPHENS added office(s): 23 -> 24 additional locations. IAPD ↗
$4.93B RAUM · 51 reps · 415-500-6810 · divorceplanningofaustin.com
Office IT & facilitiesCRMRecruiting & transitions
55
SUMMIT FINANCIAL, LLC added office(s): 40 -> 47 additional locations. IAPD ↗
$8.02B RAUM · 73 reps · 973-285-3600
Office IT & facilitiesCRMRecruiting & transitions
55
EVOKE ADVISORS added office(s): 1 -> 2 additional locations. IAPD ↗
$26.69B RAUM · 27 reps · 424-372-1775 · evokewealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
CYNDEO WEALTH PARTNERS added office(s): 3 -> 4 additional locations. IAPD ↗
$2.00B RAUM · 11 reps · (727) 472-3700 · cyndeowp.com
Office IT & facilitiesCRMRecruiting & transitions
55
JOURNEY STRATEGIC WEALTH LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$3.07B RAUM · 12 reps · (201) 905-0070 · journeysw.com
Office IT & facilitiesCRMRecruiting & transitions
55
ARS WEALTH ADVISORS added office(s): 1 -> 3 additional locations. IAPD ↗
$1.27B RAUM · 13 reps · 727-322-7681 · focusfinancialpartners.com
Office IT & facilitiesCRMRecruiting & transitions
55
MODERN WEALTH MANAGEMENT, LLC added office(s): 9 -> 14 additional locations. IAPD ↗
$2.07B RAUM · 36 reps · 913-393-1000 · modwm.com
Office IT & facilitiesCRMRecruiting & transitions
55
SYNTRINSIC LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.75B RAUM · 12 reps · 303-296-7100
Office IT & facilitiesCRMRecruiting & transitions
53
THE ADVISORY GROUP OF SAN FRANCISCO, LLC added office(s): 4 -> 6 additional locations. IAPD ↗
$831.4M RAUM · 4 reps · 415-977-1200
Office IT & facilitiesCRMRecruiting & transitions
53
WOOSTER CORTHELL WEALTH MANAGEMENT, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$453.1M RAUM · 3 reps · 860-430-9766
Office IT & facilitiesCRMRecruiting & transitions
53
VOISARD ASSET MANAGEMENT GROUP added office(s): 0 -> 1 additional locations. IAPD ↗
$379.8M RAUM · 5 reps · 616-988-5778
Office IT & facilitiesCRMRecruiting & transitions
53
FINANCIAL & TAX ARCHITECTS, LLC added office(s): 17 -> 18 additional locations. IAPD ↗
$409.9M RAUM · 23 reps · 314-858-1122 · scoutfinancialgroup.com
Office IT & facilitiesCRMRecruiting & transitions
53
COLTON GROOME FINANCIAL ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$350.8M RAUM · 9 reps · 828-252-1816 · coltongroome.com
Office IT & facilitiesCRMRecruiting & transitions
53
WOMACK WEALTH MANAGEMENT, INC. added office(s): 2 -> 3 additional locations. IAPD ↗
$329.8M RAUM · 5 reps · 888-314-5554
Office IT & facilitiesCRMRecruiting & transitions
53
INVESTOR FAN added office(s): 8 -> 9 additional locations. IAPD ↗
$255.4M RAUM · 10 reps · 425-372-7517 · thewaytoinvest.com
Office IT & facilitiesCRMRecruiting & transitions
53
FORMIDABLE ASSET MANAGEMENT, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$886.8M RAUM · 12 reps · 513-655-5566 · formidableam.com
Office IT & facilitiesCRMRecruiting & transitions
53
OMNIA FAMILY WEALTH, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$759.7M RAUM · 5 reps · 305-602-9080
Office IT & facilitiesCRMRecruiting & transitions
53
B.O.S.S. RETIREMENT ADVISORS, LLC added office(s): 8 -> 9 additional locations. IAPD ↗
$764.0M RAUM · 36 reps · 801-990-5055 · getmorewithboss.com
Office IT & facilitiesCRMRecruiting & transitions
53
BROWN EDWARDS WEALTH STRATEGIES added office(s): 11 -> 12 additional locations. IAPD ↗
$272.2M RAUM · 7 reps · 434 948-9000 · brownedwardswealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. added office(s): 20 -> 21 additional locations. IAPD ↗
$270.2M RAUM · 19 reps · 860.973.3214
Office IT & facilitiesCRMRecruiting & transitions
53
EQUITA FINANCIAL NETWORK, INC. added office(s): 1 -> 13 additional locations. IAPD ↗
$283.1M RAUM · 13 reps · 800.604.0176
Office IT & facilitiesCRMRecruiting & transitions
53
OASIS WEALTH PLANNING ADVISORS added office(s): 4 -> 5 additional locations. IAPD ↗
$254.4M RAUM · 7 reps · (615) 933-3314 · oasiswealthplanning.com
Office IT & facilitiesCRMRecruiting & transitions
53
TCP ASSET MANAGEMENT, LLC added office(s): 10 -> 11 additional locations. IAPD ↗
$641.8M RAUM · 19 reps · 614-761-9378 · tcpasset.com
Office IT & facilitiesCRMRecruiting & transitions
53
WHITAKER-MYERS WEALTH MANAGERS, LTD. added office(s): 22 -> 23 additional locations. IAPD ↗
$513.0M RAUM · 13 reps · (330) 345-5000 · whitaker-myers.com
Office IT & facilitiesCRMRecruiting & transitions
53
INVICTA FINANCIAL GROUP added office(s): 4 -> 5 additional locations. IAPD ↗
$251.0M RAUM · 10 reps · 928-344-8000 · invictafg.com
Office IT & facilitiesCRMRecruiting & transitions
53
TRIVIUM POINT ADVISORY, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$716.2M RAUM · 14 reps · (203) 221-3085
Office IT & facilitiesCRMRecruiting & transitions
53
SIGNAL ADVISORS WEALTH, LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$465.3M RAUM · 5 reps · 1-866-774-4625
Office IT & facilitiesCRMRecruiting & transitions
53
TOWER WEALTH PARTNERS added office(s): 0 -> 1 additional locations. IAPD ↗
$307.9M RAUM · 3 reps · (570) 524-7200
Office IT & facilitiesCRMRecruiting & transitions
53
CEDRUS LLC added office(s): 0 -> 5 additional locations. IAPD ↗
$651.1M RAUM · 17 reps · 720-724-2170 · cedrusfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
SAVVY added office(s): 10 -> 11 additional locations. IAPD ↗
$401.3M RAUM · 10 reps · 833-745-6789
Office IT & facilitiesCRMRecruiting & transitions
53
TWIN PEAKS WEALTH ADVISORS added office(s): 2 -> 8 additional locations. IAPD ↗
$318.5M RAUM · 7 reps · (650) 200-0308 · twinpwa.com
Office IT & facilitiesCRMRecruiting & transitions
53
UNITED ADVISOR GROUP added office(s): 18 -> 22 additional locations. IAPD ↗
$578.8M RAUM · 28 reps · 888.242.4912 · uagria.com
Office IT & facilitiesCRMRecruiting & transitions
53
SIGNATURE EQUITY PARTNERS, LLC added office(s): 5 -> 8 additional locations. IAPD ↗
$250.9M RAUM · 21 reps · 614-846-6000
Office IT & facilitiesCRMRecruiting & transitions
53
CURIO WEALTH, LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$330.7M RAUM · 6 reps · 410-449-2599 · curiowealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
NAPLES WEALTH PLANNING added office(s): 0 -> 1 additional locations. IAPD ↗
$466.7M RAUM · 12 reps · 239-330-4183 · napleswealthplanning.com
Office IT & facilitiesCRMRecruiting & transitions
53
HS WEALTH PARTNERS added office(s): 1 -> 2 additional locations. IAPD ↗
$366.5M RAUM · 3 reps · 505-717-1680 · hswealthpartners.com
Office IT & facilitiesCRMRecruiting & transitions
53
ONE WEALTH CAPITAL MANAGEMENT, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$270.6M RAUM · 6 reps · 855-663-9584
Office IT & facilitiesCRMRecruiting & transitions
50
PALOUSE CAPITAL MANAGEMENT, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$228.6M RAUM · 3 reps · (509)624-5591 · palousecap.com
Office IT & facilitiesCRMRecruiting & transitions
50
FARROW FINANCIAL INC added office(s): 0 -> 3 additional locations. IAPD ↗
$227.9M RAUM · 1 reps · 802-728-4287 · farrowfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
JDM FINANCIAL GROUP LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$245.2M RAUM · 3 reps · (310) 479-4122 · jdmfinance.com
Office IT & facilitiesCRMRecruiting & transitions
50
C.W. O'CONNER WEALTH ADVISORS, INC. added office(s): 0 -> 2 additional locations. IAPD ↗
$214.7M RAUM · 3 reps · 770-368-9919 · cwoconner.com
Office IT & facilitiesCRMRecruiting & transitions
50
ALLEN CAPITAL MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$179.3M RAUM · 4 reps · 503-292-1041 · allencapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
KRUSEN CAPITAL MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$213.6M RAUM · 2 reps · 561-370-7439 · krusencapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
CONTINUUM WEALTH ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$207.1M RAUM · 4 reps · 518-583-4050
Office IT & facilitiesCRMRecruiting & transitions
50
WORTH ADVISORS added office(s): 1 -> 2 additional locations. IAPD ↗
$179.3M RAUM · 11 reps · 704-731-0121 · coachnetworth.com
Office IT & facilitiesCRMRecruiting & transitions
50
TOTAL WEALTH PLANNING AND MANAGEMENT, INC. added office(s): 7 -> 8 additional locations. IAPD ↗
$178.3M RAUM · 9 reps · (866) 568-0003
Office IT & facilitiesCRMRecruiting & transitions
50
HANSEN & ASSOCIATES FINANCIAL GROUP INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$204.5M RAUM · 2 reps · (916) 706-1234
Office IT & facilitiesCRMRecruiting & transitions
50
MODERN CAPITAL GROUP LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$30.1M RAUM · 1 reps · 212-531-5600 · modern.net
Office IT & facilitiesCRMRecruiting & transitions
50
11 FINANCIAL added office(s): 17 -> 19 additional locations. IAPD ↗
$12.4M RAUM · 6 reps · (936) 899-5629
Office IT & facilitiesCRMRecruiting & transitions
50
WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY added office(s): 0 -> 1 additional locations. IAPD ↗
$164.1M RAUM · 12 reps · 866-929-3258 · walserwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
NICHOLAS WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$203.1M RAUM · 6 reps · 404-890-5606
Office IT & facilitiesCRMRecruiting & transitions
50
GUGGENHEIM WEALTH SOLUTIONS, LLC added office(s): 0 -> 3 additional locations. IAPD ↗
$0 RAUM · 0 reps · 310-576-1270 · guggenheimpartners.com
Office IT & facilitiesCRMRecruiting & transitions
50
FOUR FINANCIAL MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$119.8M RAUM · 6 reps · 734-272-4322
Office IT & facilitiesCRMRecruiting & transitions
50
RIDGELINE WEALTH ADVISORS, LLC. added office(s): 0 -> 1 additional locations. IAPD ↗
$117.7M RAUM · 3 reps · 919-782-0494 · ridgelinewealthadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
BAYBRIDGE CAPITAL GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$169.4M RAUM · 4 reps · (888) 440-2224 · baybridgecg.com
Office IT & facilitiesCRMRecruiting & transitions
50
GIBSON WEALTH ADVISORS, LLC added office(s): 2 -> 4 additional locations. IAPD ↗
$140.1M RAUM · 2 reps · 214-347-7475 · gibsonwealthadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
XYPN INVEST added office(s): 10 -> 14 additional locations. IAPD ↗
$133.3M RAUM · 14 reps · (360) 301-7579 · newleaffinancialguidance.com
Office IT & facilitiesCRMRecruiting & transitions
50
SCHOLAR FINANCIAL ADVISING, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$0 RAUM · 7 reps · (336) 360-6833 · scholarfinancialadvising.com
Office IT & facilitiesCRMRecruiting & transitions
50
PORTUS WEALTH ADVISORS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$136.6M RAUM · 3 reps · 704-936-0084 · portusadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
BROWNLEE WEALTH MANAGEMENT added office(s): 2 -> 3 additional locations. IAPD ↗
$212.0M RAUM · 3 reps · 281-377-3170 · brownleewealthmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
50
CHIRON CAPITAL MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$223.7M RAUM · 3 reps · 850-775-1939 · chironcapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
WEALTHSPAN INVESTMENT MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$7.2M RAUM · 3 reps · 616-655-1696
Office IT & facilitiesCRMRecruiting & transitions
50
THEPARTNERS WEALTH MANAGEMENT added office(s): 3 -> 6 additional locations. IAPD ↗
$172.5M RAUM · 7 reps · 800-324-3010 · centralcoastfm.com
Office IT & facilitiesCRMRecruiting & transitions
50
BLUEPRINT FINANCIAL ADVISORS added office(s): 12 -> 13 additional locations. IAPD ↗
$132.5M RAUM · 14 reps · 336-609-7522 · buildyourblueprint.com
Office IT & facilitiesCRMRecruiting & transitions
50
DISCIPLINE WEALTH SOLUTIONS, INC. added office(s): 1 -> 3 additional locations. IAPD ↗
$93.0M RAUM · 3 reps · 864-322-6046 · stahlneckergroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
ONEASCENT FAMILY OFFICES added office(s): 2 -> 3 additional locations. IAPD ↗
$93.8M RAUM · 2 reps · (205) 313-9142 · sovereignfamilyoffice.co
Office IT & facilitiesCRMRecruiting & transitions
50
BULL HARBOR CAPITAL LLC. added office(s): 1 -> 2 additional locations. IAPD ↗
$173.9M RAUM · 16 reps · 804-965-5408 · bullharborcapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
FOGUTH WEALTH MANAGEMENT, LLC. added office(s): 7 -> 9 additional locations. IAPD ↗
$237.0M RAUM · 10 reps · (810) 522-5650
Office IT & facilitiesCRMRecruiting & transitions
50
DIGITAL WEALTH PARTNERS added office(s): 0 -> 4 additional locations. IAPD ↗
$0 RAUM · 2 reps · 307-214-0780
Office IT & facilitiesCRMRecruiting & transitions
50
MKT AND ASSOCIATES LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$113.0M RAUM · 1 reps · 253-252-2359
Office IT & facilitiesCRMRecruiting & transitions
50
HAMPTON ROCK WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · 512-256-9272
Office IT & facilitiesCRMRecruiting & transitions
45
DURATION CAPITAL PARTNERS LLC added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$3.34B RAUM · 14 reps · (646) 303-7130 · durationcapitalpartners.com
Office IT & facilitiesCRMRecruiting & transitions
43
PL3 CAPITAL LP added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$300.7M RAUM · 1 reps · 917-484-0819
Office IT & facilitiesCRMRecruiting & transitions
43
SOPHRON CAPITAL MANAGEMENT added office(s): 2 -> 3 additional locations. IAPD ↗institutional
$251.7M RAUM · 2 reps · 212-970-9451
Office IT & facilitiesCRMRecruiting & transitions
40
III CAPITAL MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗fund
$39.51B RAUM · 8 reps · 561-544-4600 · iiicm.com
Office IT & facilitiesCRMRecruiting & transitions
40
HQ CAPITAL PRIVATE EQUITY LLC added office(s): 3 -> 4 additional locations. IAPD ↗fund
$7.77B RAUM · 21 reps · 212-863-2300
Office IT & facilitiesCRMRecruiting & transitions
40
I SQUARED CAPITAL ADVISORS (US) LLC added office(s): 0 -> 8 additional locations. IAPD ↗fund
$47.87B RAUM · 196 reps · (786) 693-5700 · isquaredcapital.com
Office IT & facilitiesCRMRecruiting & transitions
40
KENNEDY LEWIS MANAGEMENT LP added office(s): 2 -> 3 additional locations. IAPD ↗fund
$8.97B RAUM · 38 reps · 212-782-3480
Office IT & facilitiesCRMRecruiting & transitions
40
CAPROCK PARTNERS MANAGEMENT, INC. added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.68B RAUM · 15 reps · 949-342-8000 · caprock-partners.com
Office IT & facilitiesCRMRecruiting & transitions
40
KRANE CAPITAL MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$15.2M RAUM · 5 reps · 212-933-0393 · kranecapitalmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
40
MIDBRIDGE ADVISORS LP added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$0 RAUM · 12 reps · 303-454-5453
Office IT & facilitiesCRMRecruiting & transitions
38
INCA INVESTMENTS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$486.0M RAUM · 7 reps · 305-722-4300 · incainvestments.com
Office IT & facilitiesCRMRecruiting & transitions
38
VINCI PARTNERS USA added office(s): 0 -> 1 additional locations. IAPD ↗fund
$357.6M RAUM · 3 reps · 1 646 559 8000 · vincipartners.com
Office IT & facilitiesCRMRecruiting & transitions
disclosure added — 65 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 11 (226 -> 237). IAPD ↗
$249.73B RAUM · 7426 reps · 800-999-2000
ComplianceMarketing & brand
55
BNY MELLON SECURITIES CORPORATION's Item 11 disclosure-reporting entries rose by 6 (14 -> 20). IAPD ↗
$6.12B RAUM · 94 reps · 212-635-8827 · bnymellon.com
ComplianceMarketing & brand
55
EDWARD JONES's Item 11 disclosure-reporting entries rose by 3 (104 -> 107). IAPD ↗
$692.25B RAUM · 21219 reps · 314-515-2000 · vimeo.com
ComplianceMarketing & brand
55
RAYMOND JAMES & ASSOCIATES, INC.'s Item 11 disclosure-reporting entries rose by 2 (175 -> 177). IAPD ↗
$350.04B RAUM · 5254 reps · 727-567-1000
ComplianceMarketing & brand
55
HILLTOP SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 3 (91 -> 94). IAPD ↗
$1.87B RAUM · 113 reps · 214-859-1800 · advisor.hilltopsecurities.com
ComplianceMarketing & brand
55
AMERIPRISE FINANCIAL SERVICES, LLC's Item 11 disclosure-reporting entries rose by 4 (235 -> 239). IAPD ↗
$479.79B RAUM · 12518 reps · 612-671-3131
ComplianceMarketing & brand
55
CITIGROUP GLOBAL MARKETS INC.'s Item 11 disclosure-reporting entries rose by 1 (196 -> 197). IAPD ↗
$40.52B RAUM · 4880 reps · 212-816-6000 · citibankonline.com
ComplianceMarketing & brand
55
CADARET GRANT & CO INC's Item 11 disclosure-reporting entries rose by 3 (40 -> 43). IAPD ↗
$6.87B RAUM · 489 reps · 800-288-8601
ComplianceMarketing & brand
55
MOMENTUM INDEPENDENT NETWORK INC.'s Item 11 disclosure-reporting entries rose by 3 (96 -> 99). IAPD ↗
$1.12B RAUM · 139 reps · 214-859-1800 · jeffneisler.com
ComplianceMarketing & brand
55
THRIVENT INVESTMENT MANAGEMENT INC.'s Item 11 disclosure-reporting entries rose by 1 (22 -> 23). IAPD ↗
$14.81B RAUM · 2509 reps · 800-847-4836 · thrivent.com
ComplianceMarketing & brand
55
WELLS FARGO ADVISORS's Item 11 disclosure-reporting entries rose by 1 (648 -> 649). IAPD ↗
$558.46B RAUM · 8623 reps · 314-875-3000 · wellsfargoclearingservicesllc.com
ComplianceMarketing & brand
55
ADVICE AND PLANNING SERVICES's Item 11 disclosure-reporting entries rose by 1 (35 -> 36). IAPD ↗
$32.68B RAUM · 1115 reps · 212-490-9000
ComplianceMarketing & brand
55
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER's Item 11 disclosure-reporting entries rose by 2 (10 -> 12). IAPD ↗
$9.33B RAUM · 484 reps · 480-991-0225
ComplianceMarketing & brand
55
RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 1 (229 -> 230). 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 6 (106 -> 112). IAPD ↗
$173.04B RAUM · 206 reps · 212-454-4500
ComplianceMarketing & brand
55
TIAA KASPICK, LLC's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗
$8.09B RAUM · 16 reps · 650-585-4100 · kaspick.com
ComplianceMarketing & brand
55
F L PUTNAM INVESTMENT MANAGEMENT CO.'s Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
$6.17B RAUM · 60 reps · 800-344-3435
ComplianceMarketing & brand
55
BLACKROCK ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (40 -> 41). IAPD ↗
$869.68B RAUM · 156 reps · 212 810 5300
ComplianceMarketing & brand
55
BLACKROCK FINANCIAL MANAGEMENT, INC's Item 11 disclosure-reporting entries rose by 1 (53 -> 54). IAPD ↗
$1288.50B RAUM · 1038 reps · 212 810 5300
ComplianceMarketing & brand
55
BLACKROCK CAPITAL MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 1 (43 -> 44). IAPD ↗
$110.92B RAUM · 154 reps · 302 797 2000 · ishares.com
ComplianceMarketing & brand
55
BLACKROCK INVESTMENT MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 1 (39 -> 40). IAPD ↗
$458.19B RAUM · 536 reps · 609 282 2000
ComplianceMarketing & brand
55
RREEF AMERICA L.L.C.'s Item 11 disclosure-reporting entries rose by 6 (106 -> 112). IAPD ↗
$31.83B RAUM · 138 reps · 312-537-7000
ComplianceMarketing & brand
55
MAI CAPITAL MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$19.71B RAUM · 137 reps · (216) 920-4800 · mai.capital
ComplianceMarketing & brand
55
SOWELL MANAGEMENT's Item 11 disclosure-reporting entries rose by 3 (13 -> 16). IAPD ↗
$3.33B RAUM · 84 reps · 501-219-2434
ComplianceMarketing & brand
55
EPOCH INVESTMENT PARTNERS, INC.'s Item 11 disclosure-reporting entries rose by 3 (1 -> 4). IAPD ↗
$34.28B RAUM · 133 reps · 212-303-7200
ComplianceMarketing & brand
55
OSAIC ADVISORY SERVICES, LLC's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗
$4.94B RAUM · 141 reps · 866-580-8219 · morgancapitalsolutions.com
ComplianceMarketing & brand
55
TRUIST ADVISORY SERVICES, INC.'s Item 11 disclosure-reporting entries rose by 4 (48 -> 52). IAPD ↗
$61.37B RAUM · 2105 reps · 404-813-7713 · truist.com
ComplianceMarketing & brand
55
SCS's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$1.29B RAUM · 20 reps · 425-452-1222 · northwestscs.com
ComplianceMarketing & brand
53
KEY CLIENT FIDUCIARY ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (4 -> 5). IAPD ↗
$636.1M RAUM · 10 reps · 973-244-4142 · keyclientfa.com
ComplianceMarketing & brand
53
DST WEALTH MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$405.2M RAUM · 5 reps · 760-340-1448
ComplianceMarketing & brand
53
COGENTBLUE's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$625.8M RAUM · 4 reps · 865-309-5892 · cogentbluewealth.com
ComplianceMarketing & brand
50
BTS ASSET MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 4 (4 -> 8). IAPD ↗
$208.5M RAUM · 4 reps · 781-863-2545 · btsmanagement.com
ComplianceMarketing & brand
50
NICHOLAS WEALTH MANAGEMENT's Item 11 disclosure-reporting entries rose by 15 (0 -> 15). IAPD ↗
$203.1M RAUM · 6 reps · 404-890-5606
ComplianceMarketing & brand
50
PLEASANT STREET WEALTH ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$113.4M RAUM · 2 reps · (978) 732-3115
ComplianceMarketing & brand
50
FG ADVISORY SERVICES, LLC.'s Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗
$0 RAUM · 0 reps · 646-609-2225 EXT. 6
ComplianceMarketing & brand
45
PIPER SANDLER & CO.'s Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗institutional
$1.58B RAUM · 24 reps · 612-303-6000 · pipersandler.com
ComplianceMarketing & brand
45
BLACKROCK FUND ADVISORS's Item 11 disclosure-reporting entries rose by 1 (38 -> 39). IAPD ↗institutional
$3047.29B RAUM · 283 reps · 415 670 2000 · douyin.com
ComplianceMarketing & brand
45
TIAA-CREF TUITION FINANCING, INC.'s Item 11 disclosure-reporting entries rose by 1 (4 -> 5). IAPD ↗institutional
$43.09B RAUM · 3 reps · 212-916-4724
ComplianceMarketing & brand
45
HILLTOP SECURITIES ASSET MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
$27.23B RAUM · 12 reps · 214-953-4000 · hilltopsecurities.com
ComplianceMarketing & brand
45
DBX ADVISORS LLC's Item 11 disclosure-reporting entries rose by 6 (106 -> 112). IAPD ↗institutional
$20.04B RAUM · 11 reps · 212-454-4500
ComplianceMarketing & brand
45
SOUND POINT COMMERCIAL REAL ESTATE FINANCE LLC's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗institutional
$2.42B RAUM · 15 reps · 212-895-2280
ComplianceMarketing & brand
43
NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC.'s Item 11 disclosure-reporting entries rose by 1 (8 -> 9). IAPD ↗institutional
$884.0M RAUM · 2 reps · 212-318-9300
ComplianceMarketing & brand
40
DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 6 (666 -> 672). IAPD ↗institutional
$0 RAUM · 149 reps · 212-250-2500 · dbresearch.com
ComplianceMarketing & brand
40
BNY MELLON INVESTMENT ADVISER, INC.'s Item 11 disclosure-reporting entries rose by 3 (16 -> 19). IAPD ↗fund
$339.70B RAUM · 23 reps · 212-635-8827 · bnymellonim.com
ComplianceMarketing & brand
40
BLACKROCK REALTY ADVISORS INC's Item 11 disclosure-reporting entries rose by 1 (37 -> 38). IAPD ↗fund
$2.14B RAUM · 61 reps · 212 810 5300
ComplianceMarketing & brand
40
TENNENBAUM CAPITAL PARTNERS, LLC's Item 11 disclosure-reporting entries rose by 1 (42 -> 43). IAPD ↗fund
$6.09B RAUM · 19 reps · 310 566 1000 · douyin.com
ComplianceMarketing & brand
40
SOUND POINT LUNA LLC's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗fund
$13.80B RAUM · 9 reps · 212-895-2280 · soundpointcap.com
ComplianceMarketing & brand
40
P. SCHOENFELD ASSET MANAGEMENT LP's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$1.82B RAUM · 12 reps · 212-649-9500 · psam.com
ComplianceMarketing & brand
40
OBRA CAPITAL MANAGEMENT, LLC.'s Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗fund
$2.68B RAUM · 54 reps · 512-961-8265 · obra.com
ComplianceMarketing & brand
40
SOUND POINT CAPITAL MANAGEMENT, LP's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗fund
$38.38B RAUM · 76 reps · (212) 895-2280 · soundpointcap.com
ComplianceMarketing & brand
40
BLACKROCK ALTERNATIVES MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 1 (39 -> 40). IAPD ↗fund
$14.60B RAUM · 16 reps · 212 810 5300
ComplianceMarketing & brand
40
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (42 -> 43). IAPD ↗fund
$50.71B RAUM · 26 reps · 302 797 2000
ComplianceMarketing & brand
40
SOUND POINT CLO C-MOA, LLC's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗fund
$4.49B RAUM · 15 reps · 212-895-2280
ComplianceMarketing & brand
40
SOUND POINT MERIDIAN MANAGEMENT COMPANY LLC's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗institutional
$2 RAUM · 4 reps · 212-895-2280 · soundpointcap.com
ComplianceMarketing & brand
38
GFO ADVISORY SERVICES, LLC's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗fund
$257.0M RAUM · 0 reps · 203-661-6616
ComplianceMarketing & brand
35
SVOF/MM, LLC's Item 11 disclosure-reporting entries rose by 1 (42 -> 43). IAPD ↗fund
$203.5M RAUM · 19 reps · 310 566 1000
ComplianceMarketing & brand
25
DWS INTERNATIONAL GMBH's Item 11 disclosure-reporting entries rose by 6 (106 -> 112). IAPD ↗foreign
$44.97B RAUM · 75 reps · 49 69 910 12371
ComplianceMarketing & brand
25
HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED's Item 11 disclosure-reporting entries rose by 1 (13 -> 14). IAPD ↗foreign
$87.57B RAUM · 98 reps · 852-2284-1111
ComplianceMarketing & brand
25
BLACKROCK INTERNATIONAL LIMITED's Item 11 disclosure-reporting entries rose by 1 (39 -> 40). IAPD ↗foreign
$48.14B RAUM · 27 reps · 44 131 4727200
ComplianceMarketing & brand
25
DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 6 (105 -> 111). 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 6 (107 -> 113). 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 4 (107 -> 111). IAPD ↗foreign
$3.45B RAUM · 20 reps · 852-2203-8888
ComplianceMarketing & brand
25
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG's Item 11 disclosure-reporting entries rose by 1 (39 -> 40). IAPD ↗foreign
$1.27B RAUM · 19 reps · 41 44 297 7373
ComplianceMarketing & brand
25
BLACKROCK (SINGAPORE) LIMITED's Item 11 disclosure-reporting entries rose by 1 (40 -> 41). IAPD ↗foreign
$50.66B RAUM · 99 reps · 65 6411 3000
ComplianceMarketing & brand
25
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED's Item 11 disclosure-reporting entries rose by 1 (39 -> 40). IAPD ↗foreign
$96.93B RAUM · 102 reps · 852 3903 2800
ComplianceMarketing & brand
deregistered — 53 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
TRIAD ADVISORS, LLC (ATLANTA, GA) left the SEC roster (was $1.11B RAUM, 89 reps). IAPD ↗
$1.11B RAUM · 89 reps · 800-720-4003 · mc2wealthsolutions.com
Recruiting & transitionsM&A & valuation
65
ARNERICH MASSENA, INC. (PORTLAND, OR) left the SEC roster (was $1.73B RAUM, 9 reps). IAPD ↗
$1.73B RAUM · 9 reps · 503-239-0475 · am-a.com
Recruiting & transitionsM&A & valuation
65
STRATEGIC WEALTH PARTNERS (DEERFIELD, IL) left the SEC roster (was $3.48B RAUM, 22 reps). IAPD ↗
$3.48B RAUM · 22 reps · (224) 632-1600
Recruiting & transitionsM&A & valuation
65
HIGHMORE GROUP (NEW YORK, NY) left the SEC roster (was $2.83B RAUM, 6 reps). IAPD ↗
$2.83B RAUM · 6 reps · 212-255-2221
Recruiting & transitionsM&A & valuation
65
RELATIVE VALUE PARTNERS, LLC (NORTHBROOK, IL) left the SEC roster (was $2.57B RAUM, 16 reps). IAPD ↗
$2.57B RAUM · 16 reps · 847-513-6300 · rvpllc.com
Recruiting & transitionsM&A & valuation
65
CORNERSTONE WEALTH STRATEGIES, INC. (KENNEWICK, WA) left the SEC roster (was $1.01B RAUM, 10 reps). IAPD ↗
$1.01B RAUM · 10 reps · 509-396-0588
Recruiting & transitionsM&A & valuation
63
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC (PORTLAND, OR) left the SEC roster (was $990.9M RAUM, 471 reps). IAPD ↗
$990.9M RAUM · 471 reps · 971-353-7800 · dcarbiener.stewardpartnersis.com
Recruiting & transitionsM&A & valuation
63
TRANSITIONS WEALTH MANAGEMENT, LLC (DENVER, CO) left the SEC roster (was $478.4M RAUM, 5 reps). IAPD ↗
$478.4M RAUM · 5 reps · 303-221-4867 · transitionswm.com
Recruiting & transitionsM&A & valuation
63
GREYLIN INVESTMENT MANAGEMENT (location n/a) left the SEC roster (was $641.7M RAUM, 1 reps). IAPD ↗
$641.7M RAUM · 1 reps · 540-661-0191
Recruiting & transitionsM&A & valuation
63
FINANCIAL MANAGEMENT SERVICES (location n/a) left the SEC roster (was $280.3M RAUM, 1 reps). IAPD ↗
$280.3M RAUM · 1 reps · 214-505-1170 · financialmgmtsvcs.com
Recruiting & transitionsM&A & valuation
63
SCHMIDT FINANCIAL GROUP, INC. (KIRKLAND, WA) left the SEC roster (was $475.2M RAUM, 3 reps). IAPD ↗
$475.2M RAUM · 3 reps · 425-893-9195 · schmidtadvantage.com
Recruiting & transitionsM&A & valuation
63
W.P. STEWART ASSET MANAGEMENT LTD. (NASHVILLE, TN) left the SEC roster (was $266.0M RAUM, 0 reps). IAPD ↗
$266.0M RAUM · 0 reps · 615-622-0000
Recruiting & transitionsM&A & valuation
63
VANTAGE FINANCIAL PARTNERS LIMITED (ARLINGTON HEIGHTS, IL) left the SEC roster (was $572.4M RAUM, 9 reps). IAPD ↗
$572.4M RAUM · 9 reps · 847-590-9191
Recruiting & transitionsM&A & valuation
63
DERBEND ASSET MANAGEMENT (PEACHTREE CITY, GA) left the SEC roster (was $290.1M RAUM, 4 reps). IAPD ↗
$290.1M RAUM · 4 reps · 770-631-4007
Recruiting & transitionsM&A & valuation
63
SOCIUS FAMILY OFFICE, LLC (FORT LAUDERDALE, FL) left the SEC roster (was $915.0M RAUM, 7 reps). IAPD ↗
$915.0M RAUM · 7 reps · 561-404-0484 · socius.com
Recruiting & transitionsM&A & valuation
63
BYRON FINANCIAL, LLC (CHARLOTTE, NC) left the SEC roster (was $600.2M RAUM, 2 reps). IAPD ↗
$600.2M RAUM · 2 reps · 704-442-4402 · byronfin.com
Recruiting & transitionsM&A & valuation
63
FINANCIAL LIFE FOCUS, LLC (PHILADELPHIA, PA) left the SEC roster (was $379.4M RAUM, 7 reps). IAPD ↗
$379.4M RAUM · 7 reps · (973) 533-0666 · financial-lifefocus.com
Recruiting & transitionsM&A & valuation
63
RAIN CAPITAL MANAGEMENT (LAKE OSWEGO, OR) left the SEC roster (was $379.0M RAUM, 3 reps). IAPD ↗
$379.0M RAUM · 3 reps · 503-822-1700 · raincapital.com
Recruiting & transitionsM&A & valuation
63
SOLANO WEALTH MANAGEMENT, INC. (FAIRFIELD, CA) left the SEC roster (was $322.3M RAUM, 4 reps). IAPD ↗
$322.3M RAUM · 4 reps · 707-435-8400 · solanowealth.com
Recruiting & transitionsM&A & valuation
63
WEALTH MANAGEMENT SOLUTIONS (EXTON, PA) left the SEC roster (was $388.9M RAUM, 4 reps). IAPD ↗
$388.9M RAUM · 4 reps · 610-524-7031 · wmsplan.com
Recruiting & transitionsM&A & valuation
63
EMFO, LLC (WESTON, FL) left the SEC roster (was $501.7M RAUM, 7 reps). IAPD ↗
$501.7M RAUM · 7 reps · 954-385-9624 · emeraldfamilyoffice.com
Recruiting & transitionsM&A & valuation
63
RATIO WEALTH GROUP LLC (DENVER, CO) left the SEC roster (was $577.2M RAUM, 6 reps). IAPD ↗
$577.2M RAUM · 6 reps · 720-420-4863 · ratiowealthgroup.com
Recruiting & transitionsM&A & valuation
63
TMD WEALTH MANAGEMENT (SCOTTSDALE, AZ) left the SEC roster (was $780.8M RAUM, 6 reps). IAPD ↗
$780.8M RAUM · 6 reps · 602-279-2020
Recruiting & transitionsM&A & valuation
60
CANON CAPITAL INVESTMENT ADVISORY (HARLEYSVILLE, PA) left the SEC roster (was $210.5M RAUM, 7 reps). IAPD ↗
$210.5M RAUM · 7 reps · 215-723-4881 · canoncapital.com
Recruiting & transitionsM&A & valuation
60
LEGACY ASSET MANAGEMENT, INC. (HOUSTON, TX) left the SEC roster (was $161.7M RAUM, 3 reps). IAPD ↗
$161.7M RAUM · 3 reps · 713-355-7171
Recruiting & transitionsM&A & valuation
60
TLS ADVISORY SERVICES, INC. (TOWSON, MD) left the SEC roster (was $154.6M RAUM, 0 reps). IAPD ↗
$154.6M RAUM · 0 reps · 410-825-1295 · tlsadvisoryservices.com
Recruiting & transitionsM&A & valuation
60
JASMIJN CAPITAL MANAGEMENT, LLC (HIGHLAND, UT) left the SEC roster (was $69.9M RAUM, 2 reps). IAPD ↗
$69.9M RAUM · 2 reps · 303-991-6409 · agiliswealth.com
Recruiting & transitionsM&A & valuation
60
ADAMS FINANCIAL CONCEPTS, LLC (SEATTLE, WA) left the SEC roster (was $60.4M RAUM, 2 reps). IAPD ↗
$60.4M RAUM · 2 reps · 206-903-1019 · adamsfinancialconcepts.com
Recruiting & transitionsM&A & valuation
60
COLUMN CAPITAL ADVISORS, LLC (INDIANAPOLIS, IN) left the SEC roster (was $0 RAUM, 22 reps). IAPD ↗
$0 RAUM · 22 reps · 317-663-6500
Recruiting & transitionsM&A & valuation
60
VUEFOLIO, INC (location n/a) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 650-813-9624 · vuefolio.com
Recruiting & transitionsM&A & valuation
60
ACUITY WEALTH MANAGEMENT ADVISORS (LEXINGTON, KY) left the SEC roster (was $101.4M RAUM, 1 reps). IAPD ↗
$101.4M RAUM · 1 reps · 859-492-7405
Recruiting & transitionsM&A & valuation
60
MARTORELL CAPITAL PARTNERS, LLC (GREENWICH, CT) left the SEC roster (was $18.0M RAUM, 1 reps). IAPD ↗
$18.0M RAUM · 1 reps · 619-708-2752 · martorellcapitalpartners.com
Recruiting & transitionsM&A & valuation
60
WESTFIELD FINANCIAL PLANNING (WESTFIELD, NJ) left the SEC roster (was $190.8M RAUM, 2 reps). IAPD ↗
$190.8M RAUM · 2 reps · 908-379-2706 · twitter.com.markfswinglecfp
Recruiting & transitionsM&A & valuation
60
RETURN ADVISORS INC (location n/a) left the SEC roster (was $49.0M RAUM, 1 reps). IAPD ↗
$49.0M RAUM · 1 reps · 917-495-5376
Recruiting & transitionsM&A & valuation
60
VERIDIEN GLOBAL INVESTORS LLC (DARIEN, CT) left the SEC roster (was $23.2M RAUM, 3 reps). IAPD ↗
$23.2M RAUM · 3 reps · 888-318-0133 · veridienglobalinvestors.com
Recruiting & transitionsM&A & valuation
60
HIGHLANDS INVESTMENT MANAGEMENT (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 786 910-6009 · wm-advisors.com
Recruiting & transitionsM&A & valuation
60
SEMLER ADVISING (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 6097423254 · semleradvising.com
Recruiting & transitionsM&A & valuation
60
DLK INVESTMENT ADVISORS, LLC (MERCER ISLAND, WA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · 206.203.0010
Recruiting & transitionsM&A & valuation
60
CORAL REEF ADVISORS LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $52.7M RAUM, 2 reps). IAPD ↗
$52.7M RAUM · 2 reps · 904-582-5449
Recruiting & transitionsM&A & valuation
60
EMBARCADERO CAPITAL ADVISORS (LAGUNA HILLS, CA) left the SEC roster — its 120-day provisional registration did not convert (was $40.0M RAUM, 2 reps). IAPD ↗
$40.0M RAUM · 2 reps · 949-371-9796 · embarcaderocapitaladvisors.com
Recruiting & transitionsM&A & valuation
60
CONSTANT (NEW YORK, NY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 332-900-7227 · useconstant.com
Recruiting & transitionsM&A & valuation
55
ABRDN ETFS ADVISORS LLC (PHILADELPHIA, PA) left the SEC roster (was $1.04B RAUM, 2 reps). IAPD ↗institutional
$1.04B RAUM · 2 reps · 215-405-5700 · abrdn.com
Recruiting & transitionsM&A & valuation
55
SEGANTII CAPITAL MANAGEMENT (USA) LLC (NEW YORK CITY, NY) left the SEC roster (was $11.10B RAUM, 12 reps). IAPD ↗institutional
$11.10B RAUM · 12 reps · +1 212 818 8900
Recruiting & transitionsM&A & valuation
53
YOUR OCIO (SANTA MONICA, CA) left the SEC roster (was $315.1M RAUM, 1 reps). IAPD ↗institutional
$315.1M RAUM · 1 reps · 310-471-0640
Recruiting & transitionsM&A & valuation
50
HCAP ADVISORS LLC (NEW YORK, NY) left the SEC roster (was $128.9M RAUM, 4 reps). IAPD ↗institutional
$128.9M RAUM · 4 reps · 212-906-3589 · harvestcapitalcredit.com
Recruiting & transitionsM&A & valuation
50
SUBVERSIVE CAPITAL ADVISOR LLC (location n/a) left the SEC roster (was $31.1M RAUM, 2 reps). IAPD ↗institutional
$31.1M RAUM · 2 reps · 212-461-4825
Recruiting & transitionsM&A & valuation
50
BAR POINT MANAGEMENT LIMITED PARTNERSHIP (BOSTON, MA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗institutional
$0 RAUM · 3 reps · 617-466-7749
Recruiting & transitionsM&A & valuation
50
GLADE ARCH CAPITAL LP (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗institutional
$0 RAUM · 3 reps · 646-948-1900 · gladearchlp.com
Recruiting & transitionsM&A & valuation
48
V3 CAPITAL MANAGEMENT, L.P. (WHITE PLAINS, NY) left the SEC roster (was $639.4M RAUM, 4 reps). IAPD ↗fund
$639.4M RAUM · 4 reps · 212-421-7548 · v3capmgmt.com
Recruiting & transitionsM&A & valuation
48
COMMONWEALTH ASSET MANAGEMENT LP (LOS ANGELES, CA) left the SEC roster (was $911.6M RAUM, 6 reps). IAPD ↗fund
$911.6M RAUM · 6 reps · 424-363-0170 · cwamgroup.com
Recruiting & transitionsM&A & valuation
48
PHAEACIAN PARTNERS LLC (EL SEGUNDO, CA) left the SEC roster (was $640.6M RAUM, 6 reps). IAPD ↗fund
$640.6M RAUM · 6 reps · 203-604-1550 · phaeacianpartners.com
Recruiting & transitionsM&A & valuation
45
BHZ CAPITAL MANAGEMENT, LP (SAN JOSE, CA) left the SEC roster (was $153.0M RAUM, 4 reps). IAPD ↗fund
$153.0M RAUM · 4 reps · 408-998-5438 · bhzcapital.com
Recruiting & transitionsM&A & valuation
45
ASCENDANCE ASSET MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗fund
$0 RAUM · 3 reps · 646-206-4119
Recruiting & transitionsM&A & valuation
pending approved — 41 120-day provisional registration became a full approval.
75
WELLTH ADVISORY SERVICES, LLC's provisional registration is now fully approved. IAPD ↗
$21.91B RAUM · 67 reps · 866-777-4015 · srpretire.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ELYXIUM WEALTH LLC's provisional registration is now fully approved. IAPD ↗
$260.4M RAUM · 4 reps · 415-264-0468 · elyxwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
SOVRAN ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$841.6M RAUM · 45 reps · 619-281-9890 · sovranadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
NAPLES WEALTH PLANNING's provisional registration is now fully approved. IAPD ↗
$466.7M RAUM · 12 reps · 239-330-4183 · napleswealthplanning.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ZEGA INVESTMENTS's provisional registration is now fully approved. IAPD ↗
$508.1M RAUM · 9 reps · 800.380.9342
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
BIP ALLIANCE, LLC's provisional registration is now fully approved. IAPD ↗
$280.7M RAUM · 4 reps · 404-495-5230
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
HS WEALTH PARTNERS's provisional registration is now fully approved. IAPD ↗
$366.5M RAUM · 3 reps · 505-717-1680 · hswealthpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
U. S. BOSTON CAPITAL CORPORATION's provisional registration is now fully approved. IAPD ↗
$131.1M RAUM · 1 reps · 781-259-1144 · usboston.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
DIGITAL WEALTH PARTNERS's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 2 reps · 307-214-0780
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
GATEPASS CAPITAL, LLC's provisional registration is now fully approved. IAPD ↗
$103.2M RAUM · 3 reps · 833-428-3727 · gatepass.capital
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MKT AND ASSOCIATES LLC's provisional registration is now fully approved. IAPD ↗
$113.0M RAUM · 1 reps · 253-252-2359
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
IWEALTH's provisional registration is now fully approved. IAPD ↗
$191.8M RAUM · 4 reps · 507-835-9111
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ACME JACK WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$173.1M RAUM · 1 reps · 3308023036
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FUNDAMENTAL INVESTMENT SERVICES, LLC's provisional registration is now fully approved. IAPD ↗
$33.8M RAUM · 1 reps · 1-917-495-9582
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ARC ADVISORY LLC's provisional registration is now fully approved. IAPD ↗
$108.2M RAUM · 9 reps · (510) 213-8085 · joinarc.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MURPHY CLARKE WILLIAMS & STONE LLC's provisional registration is now fully approved. IAPD ↗
$130.7M RAUM · 2 reps · (305) 954-1521 · mcwstone.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
WEALTHCARE CAPITAL PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗
$160.6M RAUM · 8 reps · 804.644.4711
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
KILTER GROUP's provisional registration is now fully approved. IAPD ↗
$181.3M RAUM · 4 reps · 646-438-6557 · kiltergroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
OVERLOCK CAPITAL LLC's provisional registration is now fully approved. IAPD ↗
$115.2M RAUM · 3 reps · 202-670-2574 · overlockcapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BINGHAM PRIVATE WEALTH, LLC's provisional registration is now fully approved. IAPD ↗
$180.9M RAUM · 2 reps · 415-426-5652 · binghamprivate.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SUMMITAS INVESTMENT MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$127.0M RAUM · 1 reps · 254-275-5326
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ORG WEALTH PARTNERS's provisional registration is now fully approved. IAPD ↗
$247.9M RAUM · 1 reps · 214-440-3909
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
WIMER INVESTMENT MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$55.0M RAUM · 1 reps · 7327639237
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
HIGHROAD WEALTH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$131.0M RAUM · 2 reps · 541-266-7623 · highroadwa.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TRUEHAVEN CAPITAL's provisional registration is now fully approved. IAPD ↗
$100.3M RAUM · 1 reps · 210-260-8668 · truehaven.net
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
65
DURATION CAPITAL PARTNERS LLC's provisional registration is now fully approved. IAPD ↗institutional
$3.34B RAUM · 14 reps · (646) 303-7130 · durationcapitalpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
TALLVINE PARTNERS MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗institutional
$250.0M RAUM · 4 reps · 786-475-3890
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
PARADOXIOM CAPITAL's provisional registration is now fully approved. IAPD ↗institutional
$446.1M RAUM · 3 reps · 267-975-4728
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
PL3 CAPITAL LP's provisional registration is now fully approved. IAPD ↗institutional
$300.7M RAUM · 1 reps · 917-484-0819
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
SOPHRON CAPITAL MANAGEMENT's provisional registration is now fully approved. IAPD ↗institutional
$251.7M RAUM · 2 reps · 212-970-9451
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
5CLP ADVISOR's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 3 reps · 212-516-3171 · 5cinvest.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
SLW MANAGEMENT COMPANY's provisional registration is now fully approved. IAPD ↗fund
$1.32B RAUM · 8 reps · 415-851-9870 · slw.vc
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
MIDBRIDGE ADVISORS LP's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 12 reps · 303-454-5453
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
CION GROSVENOR MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 2 reps · 646-253-8235 · cioninvestments.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
INDAGO CAPITAL LLC's provisional registration is now fully approved. IAPD ↗institutional
$199.9M RAUM · 4 reps · 212-680-4970
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
FINANCEBUZZ's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 5 reps · 443-326-1434 · financebuzz.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
AGELLUS CAPITAL, LLC's provisional registration is now fully approved. IAPD ↗fund
$410.0M RAUM · 5 reps · 314-408-5600
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
EMBLEM GROUP, L.P.'s provisional registration is now fully approved. IAPD ↗fund
$191.9M RAUM · 4 reps · 781-208-2409 · emblem.investments
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
TRITON PACIFIC HEALTHCARE PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗fund
$233.4M RAUM · 5 reps · 804-893-3712
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
DV CAPITAL ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗fund
$109.2M RAUM · 3 reps · 312-663-7111
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
5C ADVISOR's provisional registration is now fully approved. IAPD ↗fund
$25.0M RAUM · 3 reps · 212-516-3171 · 5cinvest.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
headcount up — 33 Advisory representative count grew materially (>=20% or >=5 reps).
85
COLDSTREAM WEALTH MANAGEMENT grew from 125 to 141 advisory reps. IAPD ↗
$9.66B RAUM · 141 reps · 425-283-1600
CRMRecruiting & transitionsComplianceFinancial planning software
85
THE COLONY GROUP, LLC grew from 630 to 660 advisory reps. IAPD ↗
$21.47B RAUM · 660 reps · 617-723-8200
CRMRecruiting & transitionsComplianceFinancial planning software
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC grew from 122 to 138 advisory reps. IAPD ↗
$11.29B RAUM · 138 reps · 312-334-7300
CRMRecruiting & transitionsComplianceFinancial planning software
77
503 CAPITAL PARTNERS, LLC grew from 1 to 10 advisory reps. IAPD ↗
$382.0M RAUM · 10 reps · 913-279-0177 · 503capitalpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
ORBA WEALTH ADVISORS, LLC grew from 8 to 16 advisory reps. IAPD ↗
$257.1M RAUM · 16 reps · (312) 670-6262
CRMRecruiting & transitionsComplianceFinancial planning software
76
TRB WEALTH MANAGEMENT, LLC grew from 8 to 14 advisory reps. IAPD ↗
$1.19B RAUM · 14 reps · 832-810-3565 · trb.bank
CRMRecruiting & transitionsComplianceFinancial planning software
75
BOULAY FINANCIAL ADVISORS, LLC grew from 22 to 27 advisory reps. IAPD ↗
$2.13B RAUM · 27 reps · 952-893-9320
CRMRecruiting & transitionsComplianceFinancial planning software
75
SANCTUARY ADVISORS, LLC grew from 314 to 319 advisory reps. IAPD ↗
$22.02B RAUM · 319 reps · 317-975-7729
CRMRecruiting & transitionsComplianceFinancial planning software
73
EQUITA FINANCIAL NETWORK, INC. grew from 8 to 13 advisory reps. IAPD ↗
$283.1M RAUM · 13 reps · 800.604.0176
CRMRecruiting & transitionsComplianceFinancial planning software
72
DURATION CAPITAL PARTNERS LLC grew from 2 to 14 advisory reps. IAPD ↗institutional
$3.34B RAUM · 14 reps · (646) 303-7130 · durationcapitalpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
72
WEALTHCARE CAPITAL PARTNERS, LLC grew from 1 to 8 advisory reps. IAPD ↗
$160.6M RAUM · 8 reps · 804.644.4711
CRMRecruiting & transitionsComplianceFinancial planning software
71
INVESTOR FAN grew from 7 to 10 advisory reps. IAPD ↗
$255.4M RAUM · 10 reps · 425-372-7517 · thewaytoinvest.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
WHITAKER-MYERS WEALTH MANAGERS, LTD. grew from 10 to 13 advisory reps. IAPD ↗
$513.0M RAUM · 13 reps · (330) 345-5000 · whitaker-myers.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
FAMILY LEGACY, INC. grew from 10 to 12 advisory reps. IAPD ↗
$300.1M RAUM · 12 reps · (864) 233-0808 · familylegacyinc.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
LAUREL WEALTH ADVISORS, LLC grew from 4 to 6 advisory reps. IAPD ↗
$860.4M RAUM · 6 reps · 704-927-4379
CRMRecruiting & transitionsComplianceFinancial planning software
70
HENRICKSON NAUTA WEALTH ADVISORS, INC. grew from 6 to 8 advisory reps. IAPD ↗
$702.7M RAUM · 8 reps · 616-361-9308 · hnwealthadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
INTEGRAL WEALTH MANAGEMENT grew from 3 to 5 advisory reps. IAPD ↗
$497.1M RAUM · 5 reps · 209-633-3101
CRMRecruiting & transitionsComplianceFinancial planning software
70
OASIS WEALTH PLANNING ADVISORS grew from 5 to 7 advisory reps. IAPD ↗
$254.4M RAUM · 7 reps · (615) 933-3314 · oasiswealthplanning.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
FORTITUDE FAMILY OFFICE grew from 7 to 9 advisory reps. IAPD ↗
$505.2M RAUM · 9 reps · (602) 834-0089
CRMRecruiting & transitionsComplianceFinancial planning software
70
EIGHT 31 FINANCIAL, LLC grew from 2 to 4 advisory reps. IAPD ↗
$350.5M RAUM · 4 reps · 432-282-0251
CRMRecruiting & transitionsComplianceFinancial planning software
70
TC43 LLC grew from 6 to 8 advisory reps. IAPD ↗
$311.7M RAUM · 8 reps · 917-363-7217
CRMRecruiting & transitionsComplianceFinancial planning software
69
XYPN INVEST grew from 10 to 14 advisory reps. IAPD ↗
$133.3M RAUM · 14 reps · (360) 301-7579 · newleaffinancialguidance.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
TEEPLE SNYDER NEWSOME WEALTH MANAGEMENT grew from 9 to 12 advisory reps. IAPD ↗
$169.5M RAUM · 12 reps · 317-350-4255 · tsnwealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
MORALIS TECHNOLOGIES, LLC grew from 7 to 10 advisory reps. IAPD ↗
$17.2M RAUM · 10 reps · 833-730-3700 · aquinaswealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
COLE WEALTH MANAGEMENT, LLC grew from 3 to 5 advisory reps. IAPD ↗
$143.1M RAUM · 5 reps · 480-275-6354 · colewealthmanagement.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
WYZE WEALTH ADVISORS, LLC grew from 1 to 3 advisory reps. IAPD ↗
$219.0M RAUM · 3 reps · 724-747-6451 · wyzewealthadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
65
DIAMETER PRINCIPAL FINANCE LLC grew from 39 to 46 advisory reps. IAPD ↗institutional
$622.9M RAUM · 46 reps · 212-665-1400 · diametercap.com
CRMRecruiting & transitionsComplianceFinancial planning software
63
SIMPLIFY ASSET MANAGEMENT INC. grew from 10 to 13 advisory reps. IAPD ↗institutional
$4.66B RAUM · 13 reps · 646-585-0476 · simplify.us
CRMRecruiting & transitionsComplianceFinancial planning software
62
SIXTH STREET ADVISERS, LLC grew from 277 to 284 advisory reps. IAPD ↗fund
$70.98B RAUM · 284 reps · 469-621-3001
CRMRecruiting & transitionsComplianceFinancial planning software
61
DIAMETER CAPITAL PARTNERS LP grew from 50 to 56 advisory reps. IAPD ↗fund
$18.31B RAUM · 56 reps · 212-655-1400 · diametercap.com
CRMRecruiting & transitionsComplianceFinancial planning software
56
AGELLUS CAPITAL, LLC grew from 2 to 5 advisory reps. IAPD ↗fund
$410.0M RAUM · 5 reps · 314-408-5600
CRMRecruiting & transitionsComplianceFinancial planning software
52
EMBLEM GROUP, L.P. grew from 2 to 4 advisory reps. IAPD ↗fund
$191.9M RAUM · 4 reps · 781-208-2409 · emblem.investments
CRMRecruiting & transitionsComplianceFinancial planning software
40
SUMITOMO MITSUI DS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. grew from 9 to 11 advisory reps. IAPD ↗foreign
$632.0M RAUM · 11 reps · 65 6297 6811 · asia.smd-am.com
CRMRecruiting & transitionsComplianceFinancial planning software
relocation — 25 Main office moved to a different city or state.
50
JACKSON SQUARE PARTNERS, LLC moved its main office from SAN FRANCISCO, CA to LARKSPUR, CA. IAPD ↗
$3.11B RAUM · 8 reps · 415 635-0220 · jspartners.com
Office IT & facilitiesMarketing & brand
50
CENTERSQUARE INVESTMENT MANAGEMENT LLC moved its main office from PLYMOUTH MEETING, PA to CONSHOHOCKEN, PA. IAPD ↗
$12.16B RAUM · 57 reps · 610-834-9500
Office IT & facilitiesMarketing & brand
50
TRB WEALTH MANAGEMENT, LLC moved its main office from HARLINGEN, TX to HOUSTON, TX. IAPD ↗
$1.19B RAUM · 14 reps · 832-810-3565 · trb.bank
Office IT & facilitiesMarketing & brand
48
KEYES, STANGE & WOOTEN WEALTH MANAGEMENT, LLC moved its main office from PALM COAST, FL to DAYTONA BEACH, FL. IAPD ↗
$316.5M RAUM · 3 reps · 386-253-1980 · kswwealthmanagement.com
Office IT & facilitiesMarketing & brand
48
ALPHAQ ADVISORS moved its main office from ORLANDO, FL to WINTER PARK, FL. IAPD ↗
$332.5M RAUM · 2 reps · 407-982-4550 · alphaqadvisors.com
Office IT & facilitiesMarketing & brand
48
THREE BRIDGE WEALTH ADVISORS moved its main office from PORTOLA VALLEY, CA to LOS ALTOS, CA. IAPD ↗
$756.4M RAUM · 3 reps · 650-433-3500 · threebridgewa.com
Office IT & facilitiesMarketing & brand
48
WARREN STREET WEALTH ADVISORS, LLC moved its main office from NEWPORT BEACH, CA to IRVINE, CA. IAPD ↗
$357.8M RAUM · 8 reps · 714-876-6200
Office IT & facilitiesMarketing & brand
48
REDWOOD WEALTH MANAGEMENT GROUP, LLC moved its main office from MOORESTOWN, NJ to MEDFORD, NJ. IAPD ↗
$262.1M RAUM · 4 reps · 856-500-2900 · redwoodwmg.com
Office IT & facilitiesMarketing & brand
48
CURRAN FINANCIAL PARTNERS, LLC moved its main office from CHARLESTON, SC to DANIEL ISLAND, SC. IAPD ↗
$472.7M RAUM · 10 reps · (843) 300-1182
Office IT & facilitiesMarketing & brand
48
PHRACTION MANAGEMENT LLC moved its main office from STAMFORD, CT to COLCHESTER, CT. IAPD ↗
$451.0M RAUM · 3 reps · 860-531-9590 · phraction.net
Office IT & facilitiesMarketing & brand
48
TC43 LLC moved its main office from ROCKVILLE CENTRE, NY to NEW YORK, NY. IAPD ↗
$311.7M RAUM · 8 reps · 917-363-7217
Office IT & facilitiesMarketing & brand
45
ARGUS INVESTORS' COUNSEL, INC. moved its main office from STAMFORD, CT to NEW YORK, NY. IAPD ↗
$143.0M RAUM · 5 reps · 212-425-7500 · argusinvest.com
Office IT & facilitiesMarketing & brand
45
LESLIE MARIE GIORDANO moved its main office from MINEOLA, NY to GARDEN CITY, NY. IAPD ↗
$55.3M RAUM · 1 reps · 516-747-5210 · lesliegiordano.com
Office IT & facilitiesMarketing & brand
45
HANSEN & ASSOCIATES FINANCIAL GROUP INC. moved its main office from SACRAMENTO, CA to ROSEVILLE, CA. IAPD ↗
$204.5M RAUM · 2 reps · (916) 706-1234
Office IT & facilitiesMarketing & brand
45
ANCHOR POINTE WEALTH MANAGEMENT moved its main office from JACKSON, MO to CAPE GIRARDEAU, MO. IAPD ↗
$112.5M RAUM · 2 reps · 573-334-0034
Office IT & facilitiesMarketing & brand
45
CASTLE ISLAND WEALTH moved its main office from WEST PALM BEACH, FL to PALM BEACH GARDENS, FL. IAPD ↗
$117.4M RAUM · 1 reps · 561-208-3883 · castleislandwealth.com
Office IT & facilitiesMarketing & brand
45
GREAT RIVER FINANCIAL moved its main office from GOLDEN VALLEY, MN to PLYMOUTH, MN. IAPD ↗
$142.4M RAUM · 2 reps · 763-231-7581
Office IT & facilitiesMarketing & brand
45
MKT AND ASSOCIATES LLC moved its main office from CAVE CREEK, AZ to FEDERAL WAY, WA. IAPD ↗
$113.0M RAUM · 1 reps · 253-252-2359
Office IT & facilitiesMarketing & brand
45
MURPHY CLARKE WILLIAMS & STONE LLC moved its main office from MIAMI BEACH, FL to CORAL GABLES, FL. IAPD ↗
$130.7M RAUM · 2 reps · (305) 954-1521 · mcwstone.com
Office IT & facilitiesMarketing & brand
45
TRUEHAVEN CAPITAL moved its main office from BRADENTON, FL to ST PETERSBURG, FL. IAPD ↗
$100.3M RAUM · 1 reps · 210-260-8668 · truehaven.net
Office IT & facilitiesMarketing & brand
35
AMPERSAND CAPITAL PARTNERS moved its main office from WELLESLEY, MA to BOSTON, MA. IAPD ↗fund
$2.79B RAUM · 28 reps · 781-239-0700 · ampersandcapital.com
Office IT & facilitiesMarketing & brand
35
DYNAMIC BETA INVESTMENTS LLC moved its main office from NEW YORK, NY to GREENWICH, CT. IAPD ↗fund
$2.65B RAUM · 3 reps · 646-837-7030 · dbi.co
Office IT & facilitiesMarketing & brand
35
BREAKWALL INVESTMENT ADVISOR LLC moved its main office from NEWPORT, RI to PORT WASHINGTON, NY. IAPD ↗fund
$1.76B RAUM · 7 reps · 516-363-2004 · breakwallcap.com
Office IT & facilitiesMarketing & brand
33
KENT LAKE CAPITAL LLC moved its main office from RENO, NV to ANASCO, PR. IAPD ↗fund
$496.5M RAUM · 5 reps · 415-799-2720
Office IT & facilitiesMarketing & brand
30
NATURAL CAPITAL moved its main office from NORTH LITTLE ROCK, AR to LITTLE ROCK, AR. IAPD ↗fund
$217.0M RAUM · 10 reps · 501-517-3162 · naturalcapitalfirm.com
Office IT & facilitiesMarketing & brand
website changed — 25 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
VALLEY NATIONAL ADVISERS INC changed its website from theweeklycommentary.com to vimeo.com. IAPD ↗
$1.30B RAUM · 15 reps · 610-868-9000 · vimeo.com
Marketing & brand
30
STRAIGHTLINE changed its website from straightline.com to straightlineadvisors.com. IAPD ↗
$1.12B RAUM · 9 reps · 248-269-8366 · straightlineadvisors.com
Marketing & brand
30
LVW ADVISORS, LLC changed its website from focusfinancialpartners.com to lvwadvisors.com. IAPD ↗
$2.14B RAUM · 11 reps · 585-267-4900 · lvwadvisors.com
Marketing & brand
30
USA FINANCIAL EXCHANGE changed its website from usafinancial.com to usafinancialexchange.com. IAPD ↗
$1.40B RAUM · 0 reps · 888-444-0125 · usafinancialexchange.com
Marketing & brand
30
CAPITA FINANCIAL NETWORK, LLC changed its website from capitafinancialnetwork.com to capitaonline.com. IAPD ↗
$1.46B RAUM · 18 reps · 801-566-5058 · capitaonline.com
Marketing & brand
28
FINANCIAL & TAX ARCHITECTS, LLC changed its website from professionalgroupinc.com to scoutfinancialgroup.com. IAPD ↗
$409.9M RAUM · 23 reps · 314-858-1122 · scoutfinancialgroup.com
Marketing & brand
28
ALPHAQ ADVISORS changed its website from havenprivate.com to alphaqadvisors.com. IAPD ↗
$332.5M RAUM · 2 reps · 407-982-4550 · alphaqadvisors.com
Marketing & brand
28
REGISTER FINANCIAL ADVISORS, LLC changed its website from registerfinancial.com to maywealthstrategies.com. IAPD ↗
$296.1M RAUM · 14 reps · 404-364-2180 · maywealthstrategies.com
Marketing & brand
28
KEENER FINANCIAL PLANNING changed its website from keenerfinancial.com to keenermoney.com. IAPD ↗
$293.7M RAUM · 9 reps · 817-993-0401 · keenermoney.com
Marketing & brand
28
BUSKA WEALTH MANAGEMENT, LLC changed its website from planwithbuska.com to retirewithbuska.com. IAPD ↗
$268.0M RAUM · 6 reps · 715-355-4445 · retirewithbuska.com
Marketing & brand
28
BROWN EDWARDS WEALTH STRATEGIES changed its website from awsadvisorsllc.com to brownedwardswealth.com. IAPD ↗
$272.2M RAUM · 7 reps · 434 948-9000 · brownedwardswealth.com
Marketing & brand
28
BLUE WATER ASSET MANAGEMENT changed its website from redfieldfinancialgroup.com to bluewaterassetmanagement.com. IAPD ↗
$334.7M RAUM · 7 reps · 616-447-1600 · bluewaterassetmanagement.com
Marketing & brand
28
LIFEGUIDE FINANCIAL ADVISORS, LLC changed its website from lifeplan.lifeguidefa.com to vimeo.com. IAPD ↗
$372.5M RAUM · 11 reps · (717) 796-1700 · vimeo.com
Marketing & brand
28
CAPSTONE TRITON FINANCIAL GROUP INC changed its website from capfinancial.com to ctfg.co. IAPD ↗
$282.6M RAUM · 3 reps · 405-696-7140 · ctfg.co
Marketing & brand
28
ELYXIUM WEALTH LLC changed its website from elyfo.com to elyxwealth.com. IAPD ↗
$260.4M RAUM · 4 reps · 415-264-0468 · elyxwealth.com
Marketing & brand
28
PLATFORM WEALTH ADVISORS changed its website from walpoleadvisors.com to platformadvise.com. IAPD ↗
$295.1M RAUM · 6 reps · (385) 243-0553 · platformadvise.com
Marketing & brand
25
ABBIT MANAGEMENT CORP changed its website from abbit.biz to abbitmanagement.com. IAPD ↗
$232.7M RAUM · 3 reps · 616-842-0280 · abbitmanagement.com
Marketing & brand
25
TURNER FINANCIAL GROUP, INC. changed its website from turnerfg.com to seelan.com. IAPD ↗
$115.7M RAUM · 4 reps · 850-995-1797 · seelan.com
Marketing & brand
25
WORTH ADVISORS changed its website from worthadvisors.com to coachnetworth.com. IAPD ↗
$179.3M RAUM · 11 reps · 704-731-0121 · coachnetworth.com
Marketing & brand
25
STOEVER GLASS WEALTH MANAGEMENT, INC. changed its website from stoeverglass.com to stoeverwealth.com. IAPD ↗
$247.9M RAUM · 7 reps · 212-952-1910 · stoeverwealth.com
Marketing & brand
25
WEALTHBUILDERS INVESTMENTS changed its website from investmentmastery.store to wealthbuilders.net. IAPD ↗
$121.7M RAUM · 5 reps · 972-719-2557 · wealthbuilders.net
Marketing & brand
25
ROOTED WEALTH ADVISORS changed its website from playbook4retirement.com to retirementincomechecklist.com. IAPD ↗
$223.0M RAUM · 5 reps · 815-918-4727 · retirementincomechecklist.com
Marketing & brand
15
FREEPORT FINANCIAL PARTNERS LLC changed its website from freeportfinancialpartners.com to moelisassetmanagement.com. IAPD ↗fund
$3.37B RAUM · 16 reps · 312-281-4600 · moelisassetmanagement.com
Marketing & brand
15
RIDGEWOOD INFRASTRUCTURE changed its website from bit.ly to quora.com. IAPD ↗fund
$1.70B RAUM · 12 reps · 212-867-0050 · quora.com
Marketing & brand
13
ACORN CAPITAL MANAGEMENT changed its website from acorngrowthcompanies.com to acorncapitalmanagement.com. IAPD ↗fund
$574.1M RAUM · 12 reps · 405-737-2676 · acorncapitalmanagement.com
Marketing & brand
aum up — 22 Regulatory AUM up >=25% since last filing.
75
EVOKE ADVISORS reported RAUM up 100% ($13.36B -> $26.69B). IAPD ↗
$26.69B RAUM · 27 reps · 424-372-1775 · evokewealth.com
Portfolio / reporting / TAMPCRMFinancial planning software
73
INTEGRAL WEALTH MANAGEMENT reported RAUM up 92% ($259.0M -> $497.1M). IAPD ↗
$497.1M RAUM · 5 reps · 209-633-3101
Portfolio / reporting / TAMPCRMFinancial planning software
73
BLAKE SCHUTTER THEIL WEALTH ADVISORS, LLC reported RAUM up 151% ($181.6M -> $456.5M). IAPD ↗
$456.5M RAUM · 4 reps · 9379567875 · blakeschutter.com
Portfolio / reporting / TAMPCRMFinancial planning software
73
SIGNATURE EQUITY PARTNERS, LLC reported RAUM up 151% ($100.0M -> $250.9M). IAPD ↗
$250.9M RAUM · 21 reps · 614-846-6000
Portfolio / reporting / TAMPCRMFinancial planning software
73
TC43 LLC reported RAUM up 368% ($66.7M -> $311.7M). IAPD ↗
$311.7M RAUM · 8 reps · 917-363-7217
Portfolio / reporting / TAMPCRMFinancial planning software
70
CAPITAL INNOVATIONS, LLC reported RAUM up 87% ($109.1M -> $204.3M). IAPD ↗
$204.3M RAUM · 4 reps · 262-746-3100 · capinnovations.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
STEWARD INC. reported RAUM up 153% ($18.3M -> $46.4M). IAPD ↗
$46.4M RAUM · 1 reps · 917-547-3227
Portfolio / reporting / TAMPCRMFinancial planning software
70
BBVA GLOBAL WEALTH ADVISORS, INC. reported RAUM up 101% ($111.1M -> $222.8M). IAPD ↗
$222.8M RAUM · 14 reps · 434-242-0068 · bbvaglobalwealthadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
69
ORBA WEALTH ADVISORS, LLC reported RAUM up 58% ($162.5M -> $257.1M). IAPD ↗
$257.1M RAUM · 16 reps · (312) 670-6262
Portfolio / reporting / TAMPCRMFinancial planning software
66
RUBINBROWN ADVISORS LLC reported RAUM up 32% ($2.35B -> $3.09B). IAPD ↗
$3.09B RAUM · 16 reps · 314-290-3300 · rubinbrownadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
66
STEWARD PARTNERS INVESTMENT ADVISORY, LLC reported RAUM up 33% ($15.39B -> $20.43B). IAPD ↗
$20.43B RAUM · 327 reps · 212-364-0364
Portfolio / reporting / TAMPCRMFinancial planning software
65
COLDSTREAM WEALTH MANAGEMENT reported RAUM up 27% ($7.58B -> $9.66B). IAPD ↗
$9.66B RAUM · 141 reps · 425-283-1600
Portfolio / reporting / TAMPCRMFinancial planning software
65
WEALTH MANAGEMENT CPAS, LLC reported RAUM up 51% ($156.8M -> $236.1M). IAPD ↗
$236.1M RAUM · 6 reps · 801-272-4357
Portfolio / reporting / TAMPCRMFinancial planning software
64
HENRICKSON NAUTA WEALTH ADVISORS, INC. reported RAUM up 33% ($528.4M -> $702.7M). IAPD ↗
$702.7M RAUM · 8 reps · 616-361-9308 · hnwealthadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
64
ZEGA FINANCIAL, LLC reported RAUM up 74% ($2.61B -> $4.55B). IAPD ↗institutional
$4.55B RAUM · 14 reps · 800-380-9342
Portfolio / reporting / TAMPCRMFinancial planning software
63
FREEDOM FIDUCIARIES LLC reported RAUM up 26% ($263.8M -> $331.6M). IAPD ↗
$331.6M RAUM · 3 reps · 208-900-4331
Portfolio / reporting / TAMPCRMFinancial planning software
62
FOUNDATION CAPITAL MANAGEMENT, LLC reported RAUM up 37% ($134.4M -> $184.4M). IAPD ↗
$184.4M RAUM · 2 reps · 610-278-6961 · myfcm.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
FALCON BRIDGE CAPITAL reported RAUM up 63% ($161.8M -> $263.3M). IAPD ↗institutional
$263.3M RAUM · 5 reps · 925-979-4280 · falconbridgecapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
59
SIMPLIFY ASSET MANAGEMENT INC. reported RAUM up 46% ($3.18B -> $4.66B). IAPD ↗institutional
$4.66B RAUM · 13 reps · 646-585-0476 · simplify.us
Portfolio / reporting / TAMPCRMFinancial planning software
56
PAMPLONA CAPITAL MANAGEMENT LLC reported RAUM up 58% ($2.20B -> $3.48B). IAPD ↗fund
$3.48B RAUM · 6 reps · (212 ) 207-6820 · pamplonafunds.com
Portfolio / reporting / TAMPCRMFinancial planning software
52
DYNAMIC BETA INVESTMENTS LLC reported RAUM up 36% ($1.94B -> $2.65B). IAPD ↗fund
$2.65B RAUM · 3 reps · 646-837-7030 · dbi.co
Portfolio / reporting / TAMPCRMFinancial planning software
51
EXODUSPOINT CAPITAL MANAGEMENT, LP reported RAUM up 31% ($85.73B -> $111.94B). IAPD ↗fund
$111.94B RAUM · 308 reps · (646) 940 - 9600 · exoduspoint.com
Portfolio / reporting / TAMPCRMFinancial planning software
custody started — 22 Firm now reports custody of client assets — surprise exams and controls follow.
70
WORLD INVESTMENT ADVISORS, LLC now reports custody of client assets ($1.04B). IAPD ↗
$37.76B RAUM · 166 reps · 888-201-5488
ComplianceCustodian
68
ASPEN INVESTMENT MANAGEMENT INC. now reports custody of client assets ($124.8M). IAPD ↗
$257.1M RAUM · 4 reps · 616-361-2500 · aspenim.com
ComplianceCustodian
68
PRIVATE WEALTH ADVISORS now reports custody of client assets ($324.1M). IAPD ↗
$352.8M RAUM · 2 reps · 559-451-3463 · pwa.net
ComplianceCustodian
68
503 CAPITAL PARTNERS, LLC now reports custody of client assets ($471.5M). IAPD ↗
$382.0M RAUM · 10 reps · 913-279-0177 · 503capitalpartners.com
ComplianceCustodian
68
ELYXIUM WEALTH LLC now reports custody of client assets ($46.4M). IAPD ↗
$260.4M RAUM · 4 reps · 415-264-0468 · elyxwealth.com
ComplianceCustodian
68
PLATFORM WEALTH ADVISORS now reports custody of client assets ($201.4M). IAPD ↗
$295.1M RAUM · 6 reps · (385) 243-0553 · platformadvise.com
ComplianceCustodian
68
BIP ALLIANCE, LLC now reports custody of client assets ($56.3M). IAPD ↗
$280.7M RAUM · 4 reps · 404-495-5230
ComplianceCustodian
65
DB & C ADVISORS, LLC now reports custody of client assets ($5.9M). IAPD ↗
$189.1M RAUM · 7 reps · 616-355-3455 · dbc-advisors.com
ComplianceCustodian
65
WAYPOINTS FINANCIAL now reports custody of client assets ($56.8M). IAPD ↗
$114.7M RAUM · 3 reps · 863-402-5650 · waypointsfinancial.com
ComplianceCustodian
65
LAUGHLIN FINANCIAL LLC now reports custody of client assets ($140.3M). IAPD ↗
$140.3M RAUM · 1 reps · 812-552-2113 · laughlinfinancial.com
ComplianceCustodian
65
STEEL TOWER INVESTMENTS now reports custody of client assets. IAPD ↗
$115.6M RAUM · 4 reps · 412-586-2060 · upswia.com
ComplianceCustodian
65
EVERSPIRE now reports custody of client assets ($30.8M). IAPD ↗
$156.2M RAUM · 15 reps · 801-545-8706 · synchronywealth.com
ComplianceCustodian
65
COLARION now reports custody of client assets ($7.8M). IAPD ↗
$125.9M RAUM · 4 reps · 205 410 9443
ComplianceCustodian
65
33 CAPITAL MANAGEMENT LLC now reports custody of client assets ($2.4M). IAPD ↗
$103.3M RAUM · 4 reps · 203-391-9340 · 33capitalmanagement.com
ComplianceCustodian
65
MKT AND ASSOCIATES LLC now reports custody of client assets ($45.0M). IAPD ↗
$113.0M RAUM · 1 reps · 253-252-2359
ComplianceCustodian
65
OSSIA IM now reports custody of client assets. IAPD ↗
$52.0M RAUM · 1 reps · 305-923-7212
ComplianceCustodian
65
DOUGLASS INVESTMENT GROUP now reports custody of client assets ($1.5M). IAPD ↗
$162.0M RAUM · 2 reps · 316-854-8495 · douglassgroup.net
ComplianceCustodian
60
DURATION CAPITAL PARTNERS LLC now reports custody of client assets ($6.67B). IAPD ↗institutional
$3.34B RAUM · 14 reps · (646) 303-7130 · durationcapitalpartners.com
ComplianceCustodian
50
ARAVALLI CAPITAL MANAGEMENT LP now reports custody of client assets ($213.0M). IAPD ↗fund
$106.5M RAUM · 4 reps · 212-680-4950 · aravallicap.com
ComplianceCustodian
50
EMBLEM GROUP, L.P. now reports custody of client assets ($383.9M). IAPD ↗fund
$191.9M RAUM · 4 reps · 781-208-2409 · emblem.investments
ComplianceCustodian
50
CCS PARTNERS LLC now reports custody of client assets ($211.7M). IAPD ↗fund
$105.9M RAUM · 6 reps · 212 224-9400 · ccs-partners.com
ComplianceCustodian
50
5C ADVISOR now reports custody of client assets ($50.0M). IAPD ↗fund
$25.0M RAUM · 3 reps · 212-516-3171 · 5cinvest.com
ComplianceCustodian
rename — 18 Primary business name changed: rebrand, merger, or ownership change.
60
SRS CAPITAL ADVISORS, INC. is now doing business as SRS CAPITAL ADVISORS, LLC. IAPD ↗
$1.44B RAUM · 15 reps · 303-633-5900 · simondavisinc.com
Marketing & brandCRM
58
HAVEN PRIVATE is now doing business as ALPHAQ ADVISORS. IAPD ↗
$332.5M RAUM · 2 reps · 407-982-4550 · alphaqadvisors.com
Marketing & brandCRM
58
TENNESSEE VALLEY ASSET MANAGEMENT PARTNERS, LLC is now doing business as TVAMP, LLC. IAPD ↗
$677.0M RAUM · 19 reps · 865-226-9982
Marketing & brandCRM
58
CAPSTONE TRITON FINANCIAL GROUP LLC is now doing business as CAPSTONE TRITON FINANCIAL GROUP INC. IAPD ↗
$282.6M RAUM · 3 reps · 405-696-7140 · ctfg.co
Marketing & brandCRM
55
PERSONAL CHOICE FINANCIAL ADVISORS, LLC is now doing business as FINANCIAL ROUNDS. IAPD ↗
$159.0M RAUM · 5 reps · 513-588-8080
Marketing & brandCRM
55
VALIDUS GROWTH INVESTING is now doing business as VALIDUS GLOBAL INVESTING. IAPD ↗
$248.7M RAUM · 3 reps · 858-410-1410 · validusgrowth.com
Marketing & brandCRM
55
GUGGENHEIM PARTNERS ADVISORS, LLC is now doing business as GUGGENHEIM WEALTH SOLUTIONS, LLC. IAPD ↗
$0 RAUM · 0 reps · 310-576-1270 · guggenheimpartners.com
Marketing & brandCRM
55
NORTHWEST WEALTH ADVISORS is now doing business as WEST INVEST. IAPD ↗
$152.3M RAUM · 4 reps · 360-738-6019
Marketing & brandCRM
55
WEALTHPOINT FINANCIAL LLC is now doing business as WEALTHPOINT ADVISORS. IAPD ↗
$0 RAUM · 4 reps · 704-675-5300 · wealthpointadvisorsnc.com
Marketing & brandCRM
50
NEOS INVESTMENT MANAGEMENT, LLC is now doing business as NEOS INVESTMENTS. IAPD ↗institutional
$1.36B RAUM · 3 reps · 203-298-7300 · neosfunds.com
Marketing & brandCRM
48
OTRESEARCH is now doing business as OT RESEARCH. IAPD ↗institutional
$802.4M RAUM · 5 reps · 617-308-5935
Marketing & brandCRM
45
NEW MOUNTAIN FINANCE ADVISERS BDC, L.L.C. is now doing business as NEW MOUNTAIN FINANCE ADVISERS, L.L.C.. IAPD ↗fund
$9.71B RAUM · 28 reps · 212-720-0300 · newmountainfinance.com
Marketing & brandCRM
45
BROOKFIELD ASSET MANAGEMENT CREDIT AND INSURANCE SOLUTIONS is now doing business as BAM CREDIT AND INSURANCE SOLUTIONS ADVISOR LLC. IAPD ↗fund
$34.50B RAUM · 998 reps · 2124177000 · brookfield.com
Marketing & brandCRM
43
ACORN GROWTH COMPANIES, LLC is now doing business as ACORN CAPITAL MANAGEMENT. IAPD ↗fund
$574.1M RAUM · 12 reps · 405-737-2676 · acorncapitalmanagement.com
Marketing & brandCRM
43
GREAT ELM CAPITAL MANAGEMENT, INC. is now doing business as GREAT ELM CAPITAL MANAGEMENT, LLC. IAPD ↗fund
$288.4M RAUM · 8 reps · 561-214-7901 · greatelmgroup.com
Marketing & brandCRM
40
A.P. GILFOYLE & CO., L.P. is now doing business as A.P. GILFOYLE MANAGEMENT & RESEARCH COMPANY, L.L.C.. IAPD ↗fund
$1.9M RAUM · 2 reps · 212-529-4550 · apgilfoyle.com
Marketing & brandCRM
40
CCS CREDIT SOLUTIONS LLC is now doing business as CCS PARTNERS LLC. IAPD ↗fund
$105.9M RAUM · 6 reps · 212 224-9400 · ccs-partners.com
Marketing & brandCRM
28
NOVACAP MANAGEMENT FINANCIAL SERVICES I INC. is now doing business as NOVACAP MANAGEMENT FINANCIAL SERVICES INC.. IAPD ↗foreign
$492.2M RAUM · 7 reps · 1-450-651-5000 · novacap.ca
Marketing & brandCRM
private funds started — 13 Firm reports private funds for the first time.
73
WELLINGTON WEALTH STRATEGIES, LLC now reports 1 private fund(s) ($10.0M gross). IAPD ↗
$289.6M RAUM · 15 reps · 317-789-8800 · twealth.com
Fund administrationCompliance
73
503 CAPITAL PARTNERS, LLC now reports 5 private fund(s) ($233.6M gross). IAPD ↗
$382.0M RAUM · 10 reps · 913-279-0177 · 503capitalpartners.com
Fund administrationCompliance
70
ACCELERATED WEALTH ADVISORS LLC now reports 1 private fund(s) ($15.5M gross). IAPD ↗
$216.9M RAUM · 4 reps · 719-466-5631
Fund administrationCompliance
70
BLACK TORO LLC now reports 1 private fund(s) ($3.0M gross). IAPD ↗
$229.1M RAUM · 2 reps · 786 753-7009 · blacktoro.us
Fund administrationCompliance
70
33 CAPITAL MANAGEMENT LLC now reports 1 private fund(s) ($2.5M gross). IAPD ↗
$103.3M RAUM · 4 reps · 203-391-9340 · 33capitalmanagement.com
Fund administrationCompliance
70
FUNDAMENTAL INVESTMENT SERVICES, LLC now reports 2 private fund(s) ($33.8M gross). IAPD ↗
$33.8M RAUM · 1 reps · 1-917-495-9582
Fund administrationCompliance
70
TRUEHAVEN CAPITAL now reports 3 private fund(s) ($11.6M gross). IAPD ↗
$100.3M RAUM · 1 reps · 210-260-8668 · truehaven.net
Fund administrationCompliance
58
KIAN CAPITAL PARTNERS, LLC now reports 2 private fund(s) ($263.3M gross). IAPD ↗fund
$263.3M RAUM · 15 reps · 704-943-2500
Fund administrationCompliance
55
FISAI US MANAGEMENT LLC now reports 1 private fund(s) ($235.9M gross). IAPD ↗fund
$235.9M RAUM · 2 reps · 310-916-9537 · fisai.com
Fund administrationCompliance
55
EMBLEM GROUP, L.P. now reports 3 private fund(s) ($191.9M gross). IAPD ↗fund
$191.9M RAUM · 4 reps · 781-208-2409 · emblem.investments
Fund administrationCompliance
55
TRITON PACIFIC HEALTHCARE PARTNERS, LLC now reports 5 private fund(s) ($233.4M gross). IAPD ↗fund
$233.4M RAUM · 5 reps · 804-893-3712
Fund administrationCompliance
55
CCS PARTNERS LLC now reports 1 private fund(s) ($105.9M gross). IAPD ↗fund
$105.9M RAUM · 6 reps · 212 224-9400 · ccs-partners.com
Fund administrationCompliance
55
5C ADVISOR now reports 1 private fund(s) ($25.0M gross). IAPD ↗fund
$25.0M RAUM · 3 reps · 212-516-3171 · 5cinvest.com
Fund administrationCompliance
headcount down — 10 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
53
MITCHELL CAPITAL MANAGEMENT CO shrank from 8 to 6 advisory reps. IAPD ↗
$762.7M RAUM · 6 reps · 913-428-3222 · mitchcap.com
Recruiting & transitionsM&A & valuation
53
ALPHAQ ADVISORS shrank from 6 to 2 advisory reps. IAPD ↗
$332.5M RAUM · 2 reps · 407-982-4550 · alphaqadvisors.com
Recruiting & transitionsM&A & valuation
53
TRUE WEALTH DESIGN, LLC shrank from 9 to 7 advisory reps. IAPD ↗
$561.1M RAUM · 7 reps · (330) 777-0688
Recruiting & transitionsM&A & valuation
53
EATON FINANCIAL GROUP shrank from 9 to 2 advisory reps. IAPD ↗
$432.8M RAUM · 2 reps · 954-575-9323
Recruiting & transitionsM&A & valuation
53
RICHMOND INVESTMENT SERVICES LLC shrank from 22 to 11 advisory reps. IAPD ↗
$365.8M RAUM · 11 reps · 262-242-4200
Recruiting & transitionsM&A & valuation
50
ORIGIN INVESTMENT ADVISORY LLC shrank from 72 to 52 advisory reps. IAPD ↗
$896,331 RAUM · 52 reps · 6172273825 · useorigin.com
Recruiting & transitionsM&A & valuation
43
AQUILA INVESTMENT MANAGEMENT LLC shrank from 10 to 5 advisory reps. IAPD ↗institutional
$615.9M RAUM · 5 reps · 212-697-6666 · aquilafunds.com
Recruiting & transitionsM&A & valuation
40
GOLDBERG LINDSAY & CO. LLC shrank from 41 to 34 advisory reps. IAPD ↗fund
$9.41B RAUM · 34 reps · 212-651-1100 · lindsaygoldbergllc.com
Recruiting & transitionsM&A & valuation
40
PGIA shrank from 3 to 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · 312-702-0696 · perpetual.com
Recruiting & transitionsM&A & valuation
38
TORONADO PARTNERS LLC shrank from 5 to 1 advisory reps. IAPD ↗fund
$335.9M RAUM · 1 reps · 415-969-8681
Recruiting & transitionsM&A & valuation
planning clients up — 7 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
79
SIGNATURE EQUITY PARTNERS, LLC reports More than 500 financial-planning clients, up from 0. IAPD ↗
$250.9M RAUM · 21 reps · 614-846-6000
Financial planning software
73
SCHMIDT FINANCIAL MANAGEMENT reports 101-250 financial-planning clients, up from 0. IAPD ↗
$412.1M RAUM · 2 reps · 425-893-9195 · schmidtfm.com
Financial planning software
73
BIP ALLIANCE, LLC reports 101-250 financial-planning clients, up from 0. IAPD ↗
$280.7M RAUM · 4 reps · 404-495-5230
Financial planning software
64
BONA FIDE WEALTH reports 26-50 financial-planning clients, up from 0. IAPD ↗
$100.9M RAUM · 1 reps · 512-636-5747 · bonafide-wealth.com
Financial planning software
61
NAPLES WEALTH PLANNING reports 1-10 financial-planning clients, up from 0. IAPD ↗
$466.7M RAUM · 12 reps · 239-330-4183 · napleswealthplanning.com
Financial planning software
58
MKT AND ASSOCIATES LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$113.0M RAUM · 1 reps · 253-252-2359
Financial planning software
53
KAUFMAN HALL INVESTMENT MANAGEMENT reports 1-10 financial-planning clients, up from 0. IAPD ↗institutional
$1.26B RAUM · 4 reps · 615-690-5541 · kaufmanhall.com
Financial planning software
wrap program started — 6 Firm began participating in a wrap-fee program (Item 5I(1)).
63
MAGNETIC NORTH ADVISORS began participating in a wrap-fee program. IAPD ↗
$404.0M RAUM · 6 reps · 763-543-3803
Portfolio / reporting / TAMPCompliance
63
ZEGA INVESTMENTS began participating in a wrap-fee program. IAPD ↗
$508.1M RAUM · 9 reps · 800.380.9342
Portfolio / reporting / TAMPCompliance
60
ROBINSON VALUE MANAGEMENT, LTD. began participating in a wrap-fee program. IAPD ↗
$173.3M RAUM · 4 reps · 210-490-2545 · skepticalinvestor.com
Portfolio / reporting / TAMPCompliance
60
GUGGENHEIM WEALTH SOLUTIONS, LLC began participating in a wrap-fee program. IAPD ↗
$0 RAUM · 0 reps · 310-576-1270 · guggenheimpartners.com
Portfolio / reporting / TAMPCompliance
60
ORG WEALTH PARTNERS began participating in a wrap-fee program. IAPD ↗
$247.9M RAUM · 1 reps · 214-440-3909
Portfolio / reporting / TAMPCompliance
60
AGP FRANKLIN, LLC began participating in a wrap-fee program. IAPD ↗
$0 RAUM · 3 reps · 615-778-9842 · aspengroveassetmanagement.com
Portfolio / reporting / TAMPCompliance
aum down — 6 Regulatory AUM down >=25% since last filing.
45
ACCELERATED WEALTH ADVISORS LLC reported RAUM down 29% ($303.8M -> $216.9M). IAPD ↗
$216.9M RAUM · 4 reps · 719-466-5631
M&A & valuationRecruiting & transitions
45
PRECISE INVESTMENT MANAGEMENT, INC. reported RAUM down 40% ($114.2M -> $69.0M). IAPD ↗
$69.0M RAUM · 4 reps · 702-906-0940
M&A & valuationRecruiting & transitions
45
BESPOKE ADVISORY reported RAUM down 70% ($372.6M -> $111.0M). IAPD ↗
$111.0M RAUM · 4 reps · 877-777-6845 · bespokeadvisory.io
M&A & valuationRecruiting & transitions
38
AQUILA INVESTMENT MANAGEMENT LLC reported RAUM down 70% ($2.09B -> $615.9M). IAPD ↗institutional
$615.9M RAUM · 5 reps · 212-697-6666 · aquilafunds.com
M&A & valuationRecruiting & transitions
18
KEEL CAPITAL AB reported RAUM down 29% ($713.6M -> $503.4M). IAPD ↗foreign
$503.4M RAUM · 6 reps · 46 84122245 · keelcapital.se
M&A & valuationRecruiting & transitions
15
XY INVESTMENTS reported RAUM down 70% ($107.0M -> $31.9M). IAPD ↗foreign
$31.9M RAUM · 1 reps · +852 3511 6033 · xy-inv.com
M&A & valuationRecruiting & transitions
planning started — 3 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
80
TRB WEALTH MANAGEMENT, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$1.19B RAUM · 14 reps · 832-810-3565 · trb.bank
Financial planning softwareCRM
75
U. S. BOSTON CAPITAL CORPORATION now offers financial planning (Item 5G(1)). IAPD ↗
$131.1M RAUM · 1 reps · 781-259-1144 · usboston.com
Financial planning softwareCRM
75
SPHINX INVESTMENTS LLC now offers financial planning (Item 5G(1)). IAPD ↗
$12.6M RAUM · 1 reps · 833-247-7833 · sphinx.com
Financial planning softwareCRM
reorganization — 3 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
40
CHESAPEAKE FINANCIAL PLANNING filed an Item 4A succession naming CHESAPEAKE FINANCIAL PLANNING (CRD 283715) — an entity change, not a deal. IAPD ↗
$0 RAUM · 2 reps · 410-974-0410 · chesapeake-financial.com
Integration & migration consultingCompliance
28
GREAT ELM CAPITAL MANAGEMENT, LLC filed an Item 4A succession naming GREAT ELM CAPITAL MANAGEMENT, INC. (CRD 284304) — an entity change, not a deal. IAPD ↗fund
$288.4M RAUM · 8 reps · 561-214-7901 · greatelmgroup.com
Integration & migration consultingCompliance
25
A.P. GILFOYLE MANAGEMENT & RESEARCH COMPANY, L.L.C. filed an Item 4A succession naming A.P. GILFOYLE & CO., L.P. (CRD 329643) — an entity change, not a deal. IAPD ↗fund
$1.9M RAUM · 2 reps · 212-529-4550 · apgilfoyle.com
Integration & migration consultingCompliance
aum crossed 1b — 2 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
CAPITAL CREEK PARTNERS crossed $1B in regulatory AUM ($680.7M -> $1.20B). IAPD ↗
$1.20B RAUM · 13 reps · 512-316-3397 · capitalcreek.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
CQS (US), LLC crossed $1B in regulatory AUM ($894.6M -> $3.55B). IAPD ↗fund
$3.55B RAUM · 12 reps · 212-259-2900 · cqscapital.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
aum crossed 500m — 2 Regulatory AUM crossed $500M.
70
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC crossed $500M in regulatory AUM ($379.7M -> $501.2M). IAPD ↗
$501.2M RAUM · 10 reps · 913-295-9500
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FORTITUDE FAMILY OFFICE crossed $500M in regulatory AUM ($434.3M -> $505.2M). IAPD ↗
$505.2M RAUM · 9 reps · (602) 834-0089
Portfolio / reporting / TAMPCRMIntegration & migration consulting

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.