← Tributary

What changed in the October 2024 SEC adviser roster

868 events across 702 firms · 620 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

205state expansion
115new registration
114new office
53disclosure added
52headcount up
51deregistered
49pending approved
43relocation
35aum up
31custody started
27website changed
20headcount down

Top 25 signals — US wealth firms

98
FORM WEALTH ADVISORS, LLC (LAKE GENEVA, WI) is newly SEC-registered with $925.8M RAUM and 7 advisory reps. IAPD ↗
$925.8M RAUM · 7 reps · 262-686-3005
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HILLSPRING FINANCIAL, INC. (SURPRISE, AZ) is newly SEC-registered with $169.2M RAUM and 2 advisory reps. IAPD ↗
$169.2M RAUM · 2 reps · 623-583-6141 · hillspringfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GIBSON FINANCIAL SOLUTIONS, INC. (ELLSWORTH, ME) is newly SEC-registered with $122.2M RAUM and 1 advisory reps. IAPD ↗
$122.2M RAUM · 1 reps · 207-667-9993 · gibsonfinancialsolutions.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GCI FINANCIAL GROUP (MENDHAM, NJ) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
$101.1M RAUM · 2 reps · 973-543-2133 · gcifinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL LEGACY MANAGEMENT, NC. (LITTLE ROCK, AR) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 501-224-7526 · financiallegacymanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITE OAK FINANCIAL MANAGEMENT, INC (ASHEVILLE, NC) is newly SEC-registered with $105.6M RAUM and 3 advisory reps. IAPD ↗
$105.6M RAUM · 3 reps · 828-274-7844
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DDO ADVISORY SERVICES, LLC (RHINEBECK, NY) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
$34.8M RAUM · 1 reps · 646-234-4881 · ddoadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARTHUR STEIN FINANCIAL, LLC (BETHESDA, MD) is newly SEC-registered with $109.7M RAUM and 3 advisory reps. IAPD ↗
$109.7M RAUM · 3 reps · 301-377-9407 · arthursteinfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PENSERRA GLOBAL INVESTORS LLC (ORINDA, CA) is newly SEC-registered with $1.0M RAUM and 10 advisory reps. IAPD ↗
$1.0M RAUM · 10 reps · 800-456-8850 · penserra.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHERMAN WEALTH MANAGEMENT LLC (GAITHERSBURG, MD) is newly SEC-registered with $112.2M RAUM and 3 advisory reps. IAPD ↗
$112.2M RAUM · 3 reps · (240) 428-1622
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NOBSCOT INVESTMENT MANAGEMENT LLC (WELLESLEY, MA) is newly SEC-registered with $129.9M RAUM and 1 advisory reps. IAPD ↗
$129.9M RAUM · 1 reps · 781-237-2700 · nobscotinvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOGARTY WEALTH MANAGEMENT, INC. (MISSOURI CITY, TX) is newly SEC-registered with $110.0M RAUM and 1 advisory reps. IAPD ↗
$110.0M RAUM · 1 reps · 281-403-1818 · fogartywm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OUTBOUND FINANCIAL (BOULDER, CO) is newly SEC-registered with $100.1M RAUM and 1 advisory reps. IAPD ↗
$100.1M RAUM · 1 reps · (720) 642-9701 · outboundfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RISEMINT (EVERGREEN, CO) is newly SEC-registered with $106.5M RAUM and 5 advisory reps. IAPD ↗
$106.5M RAUM · 5 reps · (888) 998-3254
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PLANVEST FINANCIAL, INC. (GAITHERSBURG, MD) is newly SEC-registered with $110.9M RAUM and 5 advisory reps. IAPD ↗
$110.9M RAUM · 5 reps · (301) 977-7123
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRINDLE & BAY FINANCIAL ADVISORS, LLC (FRISCO, TX) is newly SEC-registered with $100.5M RAUM and 2 advisory reps. IAPD ↗
$100.5M RAUM · 2 reps · 214-988-9178 · brindleandbay.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROCHESTER WEALTH STRATEGIES, LLC (ROCHESTER, MI) is newly SEC-registered with $121.4M RAUM and 4 advisory reps. IAPD ↗
$121.4M RAUM · 4 reps · (248) 434-6550
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KISSLING FINANCIAL SERVICES, LLC (NEW CASTLE, PA) is newly SEC-registered with $104.3M RAUM and 1 advisory reps. IAPD ↗
$104.3M RAUM · 1 reps · 724-667-1617 · kisslingfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DIRECTIONAL ADVISORS (location n/a) is newly SEC-registered with $114.0M RAUM and 1 advisory reps. IAPD ↗
$114.0M RAUM · 1 reps · 214-714-5520 · quora.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AHARA ADVISORS (JERSEY CITY, NJ) is newly SEC-registered with $110.8M RAUM and 2 advisory reps. IAPD ↗
$110.8M RAUM · 2 reps · 412-908-0844
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MINT ASSET MANAGEMENT LLC (HOBOKEN, NJ) is newly SEC-registered with $43.9M RAUM and 3 advisory reps. IAPD ↗
$43.9M RAUM · 3 reps · 908-777-1717 · mintassetmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WINCAP FINANCIAL LLC (BOSTON, MA) is newly SEC-registered with $124.2M RAUM and 2 advisory reps. IAPD ↗
$124.2M RAUM · 2 reps · (617) 590-3250 · wincapfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
10ELMS LLP (location n/a) is newly SEC-registered with $103.4M RAUM and 2 advisory reps. IAPD ↗
$103.4M RAUM · 2 reps · 918-812-7998 · 10elms.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ECHO FINANCIAL ADVISORS, LLC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 330-703-7644
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NAUTA CAPITAL LLC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 510-912-2352
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 254 firms

98
FORM WEALTH ADVISORS, LLC (LAKE GENEVA, WI) is newly SEC-registered with $925.8M RAUM and 7 advisory reps. IAPD ↗
$925.8M RAUM · 7 reps · 262-686-3005
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HILLSPRING FINANCIAL, INC. (SURPRISE, AZ) is newly SEC-registered with $169.2M RAUM and 2 advisory reps. IAPD ↗
$169.2M RAUM · 2 reps · 623-583-6141 · hillspringfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GIBSON FINANCIAL SOLUTIONS, INC. (ELLSWORTH, ME) is newly SEC-registered with $122.2M RAUM and 1 advisory reps. IAPD ↗
$122.2M RAUM · 1 reps · 207-667-9993 · gibsonfinancialsolutions.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GCI FINANCIAL GROUP (MENDHAM, NJ) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
$101.1M RAUM · 2 reps · 973-543-2133 · gcifinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL LEGACY MANAGEMENT, NC. (LITTLE ROCK, AR) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 501-224-7526 · financiallegacymanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITE OAK FINANCIAL MANAGEMENT, INC (ASHEVILLE, NC) is newly SEC-registered with $105.6M RAUM and 3 advisory reps. IAPD ↗
$105.6M RAUM · 3 reps · 828-274-7844
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DDO ADVISORY SERVICES, LLC (RHINEBECK, NY) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
$34.8M RAUM · 1 reps · 646-234-4881 · ddoadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARTHUR STEIN FINANCIAL, LLC (BETHESDA, MD) is newly SEC-registered with $109.7M RAUM and 3 advisory reps. IAPD ↗
$109.7M RAUM · 3 reps · 301-377-9407 · arthursteinfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PENSERRA GLOBAL INVESTORS LLC (ORINDA, CA) is newly SEC-registered with $1.0M RAUM and 10 advisory reps. IAPD ↗
$1.0M RAUM · 10 reps · 800-456-8850 · penserra.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHERMAN WEALTH MANAGEMENT LLC (GAITHERSBURG, MD) is newly SEC-registered with $112.2M RAUM and 3 advisory reps. IAPD ↗
$112.2M RAUM · 3 reps · (240) 428-1622
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 244 more in the CSV export.

Financial planning software 153 firms

98
FORM WEALTH ADVISORS, LLC (LAKE GENEVA, WI) is newly SEC-registered with $925.8M RAUM and 7 advisory reps. IAPD ↗
$925.8M RAUM · 7 reps · 262-686-3005
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HILLSPRING FINANCIAL, INC. (SURPRISE, AZ) is newly SEC-registered with $169.2M RAUM and 2 advisory reps. IAPD ↗
$169.2M RAUM · 2 reps · 623-583-6141 · hillspringfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GIBSON FINANCIAL SOLUTIONS, INC. (ELLSWORTH, ME) is newly SEC-registered with $122.2M RAUM and 1 advisory reps. IAPD ↗
$122.2M RAUM · 1 reps · 207-667-9993 · gibsonfinancialsolutions.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GCI FINANCIAL GROUP (MENDHAM, NJ) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
$101.1M RAUM · 2 reps · 973-543-2133 · gcifinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL LEGACY MANAGEMENT, NC. (LITTLE ROCK, AR) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 501-224-7526 · financiallegacymanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITE OAK FINANCIAL MANAGEMENT, INC (ASHEVILLE, NC) is newly SEC-registered with $105.6M RAUM and 3 advisory reps. IAPD ↗
$105.6M RAUM · 3 reps · 828-274-7844
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DDO ADVISORY SERVICES, LLC (RHINEBECK, NY) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
$34.8M RAUM · 1 reps · 646-234-4881 · ddoadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARTHUR STEIN FINANCIAL, LLC (BETHESDA, MD) is newly SEC-registered with $109.7M RAUM and 3 advisory reps. IAPD ↗
$109.7M RAUM · 3 reps · 301-377-9407 · arthursteinfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PENSERRA GLOBAL INVESTORS LLC (ORINDA, CA) is newly SEC-registered with $1.0M RAUM and 10 advisory reps. IAPD ↗
$1.0M RAUM · 10 reps · 800-456-8850 · penserra.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHERMAN WEALTH MANAGEMENT LLC (GAITHERSBURG, MD) is newly SEC-registered with $112.2M RAUM and 3 advisory reps. IAPD ↗
$112.2M RAUM · 3 reps · (240) 428-1622
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 143 more in the CSV export.

Compliance 388 firms

98
FORM WEALTH ADVISORS, LLC (LAKE GENEVA, WI) is newly SEC-registered with $925.8M RAUM and 7 advisory reps. IAPD ↗
$925.8M RAUM · 7 reps · 262-686-3005
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HILLSPRING FINANCIAL, INC. (SURPRISE, AZ) is newly SEC-registered with $169.2M RAUM and 2 advisory reps. IAPD ↗
$169.2M RAUM · 2 reps · 623-583-6141 · hillspringfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GIBSON FINANCIAL SOLUTIONS, INC. (ELLSWORTH, ME) is newly SEC-registered with $122.2M RAUM and 1 advisory reps. IAPD ↗
$122.2M RAUM · 1 reps · 207-667-9993 · gibsonfinancialsolutions.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GCI FINANCIAL GROUP (MENDHAM, NJ) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
$101.1M RAUM · 2 reps · 973-543-2133 · gcifinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL LEGACY MANAGEMENT, NC. (LITTLE ROCK, AR) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 501-224-7526 · financiallegacymanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITE OAK FINANCIAL MANAGEMENT, INC (ASHEVILLE, NC) is newly SEC-registered with $105.6M RAUM and 3 advisory reps. IAPD ↗
$105.6M RAUM · 3 reps · 828-274-7844
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DDO ADVISORY SERVICES, LLC (RHINEBECK, NY) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
$34.8M RAUM · 1 reps · 646-234-4881 · ddoadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARTHUR STEIN FINANCIAL, LLC (BETHESDA, MD) is newly SEC-registered with $109.7M RAUM and 3 advisory reps. IAPD ↗
$109.7M RAUM · 3 reps · 301-377-9407 · arthursteinfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PENSERRA GLOBAL INVESTORS LLC (ORINDA, CA) is newly SEC-registered with $1.0M RAUM and 10 advisory reps. IAPD ↗
$1.0M RAUM · 10 reps · 800-456-8850 · penserra.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHERMAN WEALTH MANAGEMENT LLC (GAITHERSBURG, MD) is newly SEC-registered with $112.2M RAUM and 3 advisory reps. IAPD ↗
$112.2M RAUM · 3 reps · (240) 428-1622
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 378 more in the CSV export.

Portfolio / reporting / TAMP 125 firms

98
FORM WEALTH ADVISORS, LLC (LAKE GENEVA, WI) is newly SEC-registered with $925.8M RAUM and 7 advisory reps. IAPD ↗
$925.8M RAUM · 7 reps · 262-686-3005
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HILLSPRING FINANCIAL, INC. (SURPRISE, AZ) is newly SEC-registered with $169.2M RAUM and 2 advisory reps. IAPD ↗
$169.2M RAUM · 2 reps · 623-583-6141 · hillspringfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GIBSON FINANCIAL SOLUTIONS, INC. (ELLSWORTH, ME) is newly SEC-registered with $122.2M RAUM and 1 advisory reps. IAPD ↗
$122.2M RAUM · 1 reps · 207-667-9993 · gibsonfinancialsolutions.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GCI FINANCIAL GROUP (MENDHAM, NJ) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
$101.1M RAUM · 2 reps · 973-543-2133 · gcifinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL LEGACY MANAGEMENT, NC. (LITTLE ROCK, AR) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 501-224-7526 · financiallegacymanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITE OAK FINANCIAL MANAGEMENT, INC (ASHEVILLE, NC) is newly SEC-registered with $105.6M RAUM and 3 advisory reps. IAPD ↗
$105.6M RAUM · 3 reps · 828-274-7844
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DDO ADVISORY SERVICES, LLC (RHINEBECK, NY) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
$34.8M RAUM · 1 reps · 646-234-4881 · ddoadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARTHUR STEIN FINANCIAL, LLC (BETHESDA, MD) is newly SEC-registered with $109.7M RAUM and 3 advisory reps. IAPD ↗
$109.7M RAUM · 3 reps · 301-377-9407 · arthursteinfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PENSERRA GLOBAL INVESTORS LLC (ORINDA, CA) is newly SEC-registered with $1.0M RAUM and 10 advisory reps. IAPD ↗
$1.0M RAUM · 10 reps · 800-456-8850 · penserra.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHERMAN WEALTH MANAGEMENT LLC (GAITHERSBURG, MD) is newly SEC-registered with $112.2M RAUM and 3 advisory reps. IAPD ↗
$112.2M RAUM · 3 reps · (240) 428-1622
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 115 more in the CSV export.

Custodian 87 firms

98
FORM WEALTH ADVISORS, LLC (LAKE GENEVA, WI) is newly SEC-registered with $925.8M RAUM and 7 advisory reps. IAPD ↗
$925.8M RAUM · 7 reps · 262-686-3005
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HILLSPRING FINANCIAL, INC. (SURPRISE, AZ) is newly SEC-registered with $169.2M RAUM and 2 advisory reps. IAPD ↗
$169.2M RAUM · 2 reps · 623-583-6141 · hillspringfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GIBSON FINANCIAL SOLUTIONS, INC. (ELLSWORTH, ME) is newly SEC-registered with $122.2M RAUM and 1 advisory reps. IAPD ↗
$122.2M RAUM · 1 reps · 207-667-9993 · gibsonfinancialsolutions.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GCI FINANCIAL GROUP (MENDHAM, NJ) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
$101.1M RAUM · 2 reps · 973-543-2133 · gcifinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL LEGACY MANAGEMENT, NC. (LITTLE ROCK, AR) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 501-224-7526 · financiallegacymanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITE OAK FINANCIAL MANAGEMENT, INC (ASHEVILLE, NC) is newly SEC-registered with $105.6M RAUM and 3 advisory reps. IAPD ↗
$105.6M RAUM · 3 reps · 828-274-7844
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DDO ADVISORY SERVICES, LLC (RHINEBECK, NY) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
$34.8M RAUM · 1 reps · 646-234-4881 · ddoadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARTHUR STEIN FINANCIAL, LLC (BETHESDA, MD) is newly SEC-registered with $109.7M RAUM and 3 advisory reps. IAPD ↗
$109.7M RAUM · 3 reps · 301-377-9407 · arthursteinfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PENSERRA GLOBAL INVESTORS LLC (ORINDA, CA) is newly SEC-registered with $1.0M RAUM and 10 advisory reps. IAPD ↗
$1.0M RAUM · 10 reps · 800-456-8850 · penserra.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHERMAN WEALTH MANAGEMENT LLC (GAITHERSBURG, MD) is newly SEC-registered with $112.2M RAUM and 3 advisory reps. IAPD ↗
$112.2M RAUM · 3 reps · (240) 428-1622
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 77 more in the CSV export.

Marketing & brand 350 firms

98
FORM WEALTH ADVISORS, LLC (LAKE GENEVA, WI) is newly SEC-registered with $925.8M RAUM and 7 advisory reps. IAPD ↗
$925.8M RAUM · 7 reps · 262-686-3005
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HILLSPRING FINANCIAL, INC. (SURPRISE, AZ) is newly SEC-registered with $169.2M RAUM and 2 advisory reps. IAPD ↗
$169.2M RAUM · 2 reps · 623-583-6141 · hillspringfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GIBSON FINANCIAL SOLUTIONS, INC. (ELLSWORTH, ME) is newly SEC-registered with $122.2M RAUM and 1 advisory reps. IAPD ↗
$122.2M RAUM · 1 reps · 207-667-9993 · gibsonfinancialsolutions.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GCI FINANCIAL GROUP (MENDHAM, NJ) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
$101.1M RAUM · 2 reps · 973-543-2133 · gcifinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL LEGACY MANAGEMENT, NC. (LITTLE ROCK, AR) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 501-224-7526 · financiallegacymanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITE OAK FINANCIAL MANAGEMENT, INC (ASHEVILLE, NC) is newly SEC-registered with $105.6M RAUM and 3 advisory reps. IAPD ↗
$105.6M RAUM · 3 reps · 828-274-7844
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DDO ADVISORY SERVICES, LLC (RHINEBECK, NY) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
$34.8M RAUM · 1 reps · 646-234-4881 · ddoadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARTHUR STEIN FINANCIAL, LLC (BETHESDA, MD) is newly SEC-registered with $109.7M RAUM and 3 advisory reps. IAPD ↗
$109.7M RAUM · 3 reps · 301-377-9407 · arthursteinfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PENSERRA GLOBAL INVESTORS LLC (ORINDA, CA) is newly SEC-registered with $1.0M RAUM and 10 advisory reps. IAPD ↗
$1.0M RAUM · 10 reps · 800-456-8850 · penserra.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHERMAN WEALTH MANAGEMENT LLC (GAITHERSBURG, MD) is newly SEC-registered with $112.2M RAUM and 3 advisory reps. IAPD ↗
$112.2M RAUM · 3 reps · (240) 428-1622
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 340 more in the CSV export.

Recruiting & transitions 170 firms

85
WEALTHSPIRE ADVISORS grew from 140 to 160 advisory reps. IAPD ↗
$21.69B RAUM · 160 reps · (212) 973-1200
CRMRecruiting & transitionsComplianceFinancial planning software
85
PRIVATE ADVISOR GROUP, LLC grew from 721 to 742 advisory reps. IAPD ↗
$35.29B RAUM · 742 reps · 973-538-7010
CRMRecruiting & transitionsComplianceFinancial planning software
85
THE COLONY GROUP, LLC grew from 660 to 688 advisory reps. IAPD ↗
$21.47B RAUM · 688 reps · 617-723-8200 · debrabrede.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
THURSTON SPRINGER ADVISORS grew from 51 to 68 advisory reps. IAPD ↗
$3.96B RAUM · 68 reps · 317.581.4000 · conservationwm.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
CAPITAL RESEARCH AND MANAGEMENT COMPANY grew from 362 to 372 advisory reps. IAPD ↗
$3315.36B RAUM · 372 reps · 213-486-9200 · icanretire.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
STIRLINGSHIRE INVESTMENTS grew from 11 to 28 advisory reps. IAPD ↗
$69.2M RAUM · 28 reps · 877-600-7026
CRMRecruiting & transitionsComplianceFinancial planning software
76
MOORS & CABOT, INC grew from 67 to 73 advisory reps. IAPD ↗
$3.09B RAUM · 73 reps · 800-426-0501
CRMRecruiting & transitionsComplianceFinancial planning software
76
NEW YORK LIFE INVESTMENT MANAGEMENT LLC grew from 14 to 20 advisory reps. IAPD ↗
$109.07B RAUM · 20 reps · 888-474-7725 · reddit.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
SANCTUARY ADVISORS, LLC grew from 319 to 324 advisory reps. IAPD ↗
$22.02B RAUM · 324 reps · 317-975-7729
CRMRecruiting & transitionsComplianceFinancial planning software
75
CONFLUENCE FINANCIAL PARTNERS grew from 29 to 34 advisory reps. IAPD ↗
$3.06B RAUM · 34 reps · 724-271-8801
CRMRecruiting & transitionsComplianceFinancial planning software

…and 160 more in the CSV export.

Integration & migration consulting 11 firms

85
LVM CAPITAL MANAGEMENT LTD crossed $1B in regulatory AUM ($974.6M -> $1.18B). IAPD ↗
$1.18B RAUM · 7 reps · 269-321-8120 · lvmcapital.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
VISE AI ADVISORS crossed $1B in regulatory AUM ($637.9M -> $1.07B). IAPD ↗
$1.07B RAUM · 17 reps · 201-375-3969
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
GAMMA INVESTING LLC crossed $1B in regulatory AUM ($705.4M -> $1.01B). IAPD ↗
$1.01B RAUM · 5 reps · 888-585-1755 · gammainvesting.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
WESTCHESTER CAPITAL MANAGEMENT INC crossed $500M in regulatory AUM ($452.5M -> $502.7M). IAPD ↗
$502.7M RAUM · 3 reps · 402-392-2418 · westchestercapital.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
WOLF GROUP CAPITAL ADVISORS crossed $500M in regulatory AUM ($445.9M -> $526.8M). IAPD ↗
$526.8M RAUM · 11 reps · (703) 652-6255
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
COMPASS CAPITAL CORPORATION crossed $500M in regulatory AUM ($475.5M -> $590.7M). IAPD ↗
$590.7M RAUM · 15 reps · 781-535-6083 · compassfinancialservicesgroup.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
ROCKPORT WEALTH ADVISORS crossed $500M in regulatory AUM ($143.7M -> $513.7M). IAPD ↗
$513.7M RAUM · 9 reps · (216) 226-4560 · jarnoldwealth.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
45
MUTUAL ADVISORS, LLC filed an Item 4A succession naming MUTUAL ADVISORS, LLC (CRD 167658) — an entity change, not a deal. IAPD ↗
$6.95B RAUM · 132 reps · 307-439-6357 · barberfinancialgroup.com
Integration & migration consultingCompliance
40
LIFE PLANNING ADVISORS LLC filed an Item 4A succession naming SIERRA WEALTH GROUP, LLC (CRD 151292) — an entity change, not a deal. IAPD ↗
$133.3M RAUM · 4 reps · 760-918-0304 · lifeplanningadvisors.com
Integration & migration consultingCompliance
40
UPSTART WEALTH MANAGEMENT, LLC filed an Item 4A succession naming UPSTART WEALTH MANAGEMENT, LLC (CRD 173728) — an entity change, not a deal. IAPD ↗
$248.0M RAUM · 4 reps · (415) 549-0646
Integration & migration consultingCompliance

…and 1 more in the CSV export.

Fund administration 4 firms

75
CANNELL & SPEARS LLC now reports 2 private fund(s) ($10.0M gross). IAPD ↗
$5.86B RAUM · 19 reps · 212-752-5255 · thebeehivefund.com
Fund administrationCompliance
73
SOUTHERN EQUITY ADVISORS LLC now reports 6 private fund(s) ($179.6M gross). IAPD ↗
$389.2M RAUM · 2 reps · 877-240-9233 · southernequity.com
Fund administrationCompliance
70
DESERT ROSE CAPITAL MANAGEMENT, INC. now reports 1 private fund(s) ($24.6M gross). IAPD ↗
$79.6M RAUM · 8 reps · 208 297-2710
Fund administrationCompliance
70
OUTRUNNER CAPITAL, LLC now reports 1 private fund(s) ($7.3M gross). IAPD ↗
$172.0M RAUM · 3 reps · 512-649-3192 · outrunnercapital.com
Fund administrationCompliance

Office IT & facilities 125 firms

55
MOORS & CABOT, INC added office(s): 12 -> 13 additional locations. IAPD ↗
$3.09B RAUM · 73 reps · 800-426-0501
Office IT & facilitiesCRMRecruiting & transitions
55
AUSDAL FINANCIAL PARTNERS, INC. added office(s): 86 -> 88 additional locations. IAPD ↗
$1.53B RAUM · 110 reps · 563-326-2064 · retirewellusa.com
Office IT & facilitiesCRMRecruiting & transitions
55
A.G.P / ALLIANCE GLOBAL PARTNERS added office(s): 15 -> 17 additional locations. IAPD ↗
$1.69B RAUM · 149 reps · 800-727-7922 · allianceg.com
Office IT & facilitiesCRMRecruiting & transitions
55
PROSPERA FINANCIAL SERVICES, INC. added office(s): 105 -> 123 additional locations. IAPD ↗
$9.81B RAUM · 159 reps · 972-581-3000
Office IT & facilitiesCRMRecruiting & transitions
55
WEALTHSPIRE ADVISORS added office(s): 18 -> 21 additional locations. IAPD ↗
$21.69B RAUM · 160 reps · (212) 973-1200
Office IT & facilitiesCRMRecruiting & transitions
55
TANGLEWOOD TOTAL WEALTH MANAGEMENT, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$1.31B RAUM · 4 reps · 713-840-8880 · tanglewoodwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. added office(s): 14 -> 15 additional locations. IAPD ↗
$45.17B RAUM · 99 reps · 800-621-4421 · mesirowfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
FIRST PACIFIC ADVISORS, LP added office(s): 8 -> 12 additional locations. IAPD ↗
$24.80B RAUM · 21 reps · 800-982-4372 · fpafunds.com
Office IT & facilitiesCRMRecruiting & transitions
55
ADVOCACY WEALTH MANAGEMENT, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$1.72B RAUM · 21 reps · 404.836.7100 · advocacywealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
CHICAGO PARTNERS INVESTMENT GROUP LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$4.59B RAUM · 33 reps · 312 284 6363
Office IT & facilitiesCRMRecruiting & transitions

…and 115 more in the CSV export.

M&A & valuation 48 firms

65
NEW PARAGON, LLC (SHAKER HEIGHTS, OH) left the SEC roster (was $1.00B RAUM, 10 reps). IAPD ↗
$1.00B RAUM · 10 reps · 216-491-3990 · paragonadvisors.net
Recruiting & transitionsM&A & valuation
65
WEALTHSPIRE ADVISORS (SAN RAFAEL, CA) left the SEC roster (was $2.82B RAUM, 21 reps). IAPD ↗
$2.82B RAUM · 21 reps · 415-526-2900 · wealthspire.com
Recruiting & transitionsM&A & valuation
65
REGIS MANAGEMENT COMPANY, LLC (MENLO PARK, CA) left the SEC roster (was $1.35B RAUM, 6 reps). IAPD ↗
$1.35B RAUM · 6 reps · 650-838-1030 · regisllc.com
Recruiting & transitionsM&A & valuation
65
IFAM CAPITAL (FORT COLLINS, CO) left the SEC roster (was $1.71B RAUM, 6 reps). IAPD ↗
$1.71B RAUM · 6 reps · 970-530-5021
Recruiting & transitionsM&A & valuation
65
ICA GROUP WEALTH MANAGEMENT, LLC (DENVER, CO) left the SEC roster (was $1.16B RAUM, 45 reps). IAPD ↗
$1.16B RAUM · 45 reps · 720-758-8000 · dunniganfinancial.com
Recruiting & transitionsM&A & valuation
63
KARPAS STRATEGIES LLC (LITCHFIELD, CT) left the SEC roster (was $401.2M RAUM, 2 reps). IAPD ↗
$401.2M RAUM · 2 reps · 212-223-7280 · karpasstrategies.com
Recruiting & transitionsM&A & valuation
63
CAUSEY DEMGEN & MOORE P.C. (DENVER, CO) left the SEC roster (was $436.0M RAUM, 9 reps). IAPD ↗
$436.0M RAUM · 9 reps · 303-296-2229 · cdmcpa.com
Recruiting & transitionsM&A & valuation
63
FMF&E WEALTH MANAGEMENT, LLC (SYRACUSE, NY) left the SEC roster (was $357.6M RAUM, 3 reps). IAPD ↗
$357.6M RAUM · 3 reps · 315-472-7045 · fmfewealthmgt.com
Recruiting & transitionsM&A & valuation
63
WALPOLE FINANCIAL ADVISORS, LLC (GOLETA, CA) left the SEC roster (was $280.5M RAUM, 6 reps). IAPD ↗
$280.5M RAUM · 6 reps · 805-845-6587 · walpoleadvisors.com
Recruiting & transitionsM&A & valuation
63
SLOAN INVESTMENT MANAGEMENT, L.L.C. (DALLAS, TX) left the SEC roster (was $716.2M RAUM, 3 reps). IAPD ↗
$716.2M RAUM · 3 reps · 214-720-7500 · sloanim.com
Recruiting & transitionsM&A & valuation

…and 38 more in the CSV export.

Everything else — all segments

state expansion — 205 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
JOHNSON INVESTMENT COUNSEL, INC. notice-filed in AK, HI, KS, MS, NV, RI, VT. IAPD ↗
$18.61B RAUM · 79 reps · 513-661-3100 · johnsonmutualfunds.com
ComplianceMarketing & brand
55
MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC notice-filed in CA, CT, DC, FL, GA, MA, ME, NH, OK, PA, SC, TX, WA, WI. IAPD ↗
$1.66B RAUM · 4 reps · 704-743-3335 · miracenter.com
ComplianceMarketing & brand
55
JAFFE TILCHIN INVESTMENT PARTNERS, LLC notice-filed in AL, CO, DC, MD, NJ, NV, UT. IAPD ↗
$1.47B RAUM · 27 reps · 813-963-2500 · jaffetilchin.com
ComplianceMarketing & brand
55
SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC notice-filed in DE, KS, MD, MI, NC, PA, SC. IAPD ↗
$4.02B RAUM · 17 reps · 317-975-5033
ComplianceMarketing & brand
55
PRIVATE WEALTH ASSET MANAGEMENT notice-filed in AZ, CA, CO, FL, IL, LA, NH, SC, TN, WY. IAPD ↗
$1.61B RAUM · 20 reps · 402-227-4208
ComplianceMarketing & brand
55
MODERN WEALTH MANAGEMENT, LLC notice-filed in CT, DC, DE, ID, KY, LA, MA, OR, WA. IAPD ↗
$2.07B RAUM · 36 reps · 913-393-1000 · midwestfinancial.us
ComplianceMarketing & brand
53
PROSPERITY - AN EISNERAMPER COMPANY notice-filed in AL, AZ, MI, NV. IAPD ↗
$1.07B RAUM · 31 reps · 410-363-7211
ComplianceMarketing & brand
53
FIRST TRUST DIRECT INDEXING notice-filed in DE, OK, OR, RI. IAPD ↗
$1.42B RAUM · 3 reps · 617-752-6010
ComplianceMarketing & brand
53
CARRICK LANE LLC notice-filed in KY, LA, RI, TN. IAPD ↗
$1.44B RAUM · 5 reps · 212-433-8450 · carricklane.com
ComplianceMarketing & brand
53
EVERNEST FINANCIAL ADVISORS notice-filed in CA, CT, FL, IL, NJ, NY, TX, VA, WA. IAPD ↗
$484.8M RAUM · 4 reps · 317-556-1015 · evernestfa.com
ComplianceMarketing & brand
53
PARR MCKNIGHT WEALTH MANAGEMENT GROUP notice-filed in CA, CO, FL, IL, MA, TX, WA, WI. IAPD ↗
$949.2M RAUM · 7 reps · 612-324-0235 · parrmcknightwmg.com
ComplianceMarketing & brand
53
BRISTOL WEALTH GROUP notice-filed in FL, ME, NH, NY, RI, TX, VA, VT. IAPD ↗
$754.4M RAUM · 5 reps · (508) 738-6248 · bristolcountysavings.com
ComplianceMarketing & brand
53
CARRERA CAPITAL ADVISORS notice-filed in CA, FL, GA, IL, MD, NC, NY, OH, OK, TX, VA, WA. IAPD ↗
$617.3M RAUM · 6 reps · 248-362-5009
ComplianceMarketing & brand
53
TOPSAIL WEALTH MANAGEMENT LLC notice-filed in CT, GA, IL, MA, NE, OH. IAPD ↗
$875.7M RAUM · 3 reps · 980-308-9901 · topsailwealthmanagement.com
ComplianceMarketing & brand
53
PARKWOODS WEALTH PARTNERS, LLC notice-filed in CA, FL, MD, NC, NH, SC, TX, VA. IAPD ↗
$403.5M RAUM · 3 reps · 315-757-1100 · parkwoodswealth.com
ComplianceMarketing & brand
51
JACOBSON & SCHMITT ADVISORS, LLC notice-filed in GA, MI, NC, VA. IAPD ↗
$461.2M RAUM · 11 reps · (608) 662-7500
ComplianceMarketing & brand
51
GENTRUST notice-filed in IL, MA, VT. IAPD ↗
$4.06B RAUM · 15 reps · 305-677-6688 · gentrustwm.com
ComplianceMarketing & brand
51
BRASS TAX WEALTH MANAGEMENT notice-filed in IL, NY, PA, SC. IAPD ↗
$674.3M RAUM · 12 reps · 513-605-3394 · brasstaxwealth.com
ComplianceMarketing & brand
51
CX INSTITUTIONAL, LLC notice-filed in MS, MT, OR. IAPD ↗
$2.39B RAUM · 47 reps · 260-927-1830
ComplianceMarketing & brand
50
WEALTHYX notice-filed in DE, KS, ME, NE, NH, VA, VT, WI, WV. IAPD ↗
$74.1M RAUM · 1 reps · 888-952-7482 · saveday.com
ComplianceMarketing & brand
50
GOLDEN RESERVE RETIREMENT, LLC notice-filed in AL, IL, KS, MO, NE, NH, NJ, OK, OR. IAPD ↗
$201.1M RAUM · 6 reps · 855-456-4777
ComplianceMarketing & brand
50
SYNERGY INVESTMENT MANAGEMENT LLC notice-filed in CA, GA, MD, MI, SC, TN, VA. IAPD ↗
$101.6M RAUM · 10 reps · 321-203-4458
ComplianceMarketing & brand
50
FUNDIFY ADVISORS LLC notice-filed in AL, HI, MI, MN, MS, NH, OH, SC, TN, UT, VA, WA, WI. IAPD ↗
$0 RAUM · 3 reps · 512-645-1010 · fundify.com
ComplianceMarketing & brand
50
WEALTH MORE ENTERPRISE, INC. notice-filed in AZ, CA, CO, GA, IL, LA, NE, NH, NV. IAPD ↗
$115,332 RAUM · 6 reps · 888-303-6361 · hellowealthmore.com
ComplianceMarketing & brand
50
WEALTHCARE CAPITAL PARTNERS, LLC notice-filed in DC, FL, LA, NC, NE, OH, SC, TX, WA. IAPD ↗
$160.6M RAUM · 8 reps · 804.644.4711
ComplianceMarketing & brand
50
ZERO DAY CAPITAL ENTERPRISES LLC notice-filed in AZ, KS, NM, NV, TX, WA. IAPD ↗
$35.0M RAUM · 1 reps · (617) 800-0388
ComplianceMarketing & brand
50
LIFELONG WEALTH ADVISORS, INC. notice-filed in AZ, CA, FL, IL, MI, NC, OH, SD, TX, WA. IAPD ↗
$0 RAUM · 8 reps · 651-444-6500
ComplianceMarketing & brand
49
SATURNA CAPITAL CORPORATION notice-filed in DC, NJ. IAPD ↗
$8.39B RAUM · 15 reps · 360-734-9900
ComplianceMarketing & brand
49
BALDWIN WEALTH PARTNERS, LLC notice-filed in IN, MT. IAPD ↗
$2.28B RAUM · 12 reps · (508) 748-0800 · baldwinbrothersinc.com
ComplianceMarketing & brand
49
CLARFELD notice-filed in MN, NV. IAPD ↗
$9.52B RAUM · 160 reps · 914-846-0100
ComplianceMarketing & brand
49
BEAIRD HARRIS notice-filed in AR, LA. IAPD ↗
$1.67B RAUM · 13 reps · 972-503-1040
ComplianceMarketing & brand
49
KIELY WEALTH ADVISORY GROUP, INC. notice-filed in GA, MD, PA. IAPD ↗
$515.0M RAUM · 3 reps · 252-439-1888 · thekielygroup.com
ComplianceMarketing & brand
49
GREENWOOD GEARHART INC. notice-filed in NH, OH. IAPD ↗
$1.11B RAUM · 8 reps · 479-521-5353 · greenwoodgearhart.com
ComplianceMarketing & brand
49
IRONWOOD INVESTMENT COUNSEL, LLC notice-filed in FL, WI. IAPD ↗
$1.40B RAUM · 13 reps · 480-609-4700
ComplianceMarketing & brand
49
CAPITAL WEALTH PLANNING, LLC notice-filed in CA, CT. IAPD ↗
$9.24B RAUM · 4 reps · 239-593-2100
ComplianceMarketing & brand
49
PETTINGA FINANCIAL ADVISORS, LLC notice-filed in CA, MN. IAPD ↗
$1.00B RAUM · 7 reps · 812-436-4000
ComplianceMarketing & brand
49
TVAMP, LLC notice-filed in MI, OH, SC. IAPD ↗
$677.0M RAUM · 19 reps · 865-226-9982
ComplianceMarketing & brand
49
HUB INVESTMENT ADVISORS, INC notice-filed in ND, NM. IAPD ↗
$1.51B RAUM · 6 reps · 402-964-5400
ComplianceMarketing & brand
49
VESTOR CAPITAL, LLC notice-filed in NJ, SC. IAPD ↗
$1.77B RAUM · 21 reps · 312-641-2400
ComplianceMarketing & brand
49
PERENNIAL FINANCIAL SERVICES notice-filed in NE, PA. IAPD ↗
$1.48B RAUM · 32 reps · 310-445-2504
ComplianceMarketing & brand
49
DAKOTA WEALTH, LLC notice-filed in IA, WY. IAPD ↗
$6.12B RAUM · 54 reps · (561) 774-8101 · persimmoncapitalmanagement.sharefile.com
ComplianceMarketing & brand
48
MURPHY WEALTH MANAGEMENT GROUP notice-filed in GA, MA, NH, SC. IAPD ↗
$177.4M RAUM · 2 reps · 845-226-1200
ComplianceMarketing & brand
48
FORTRESS PRIVATE LEDGER, LLC notice-filed in DC, GA, NV, TN. IAPD ↗
$200.7M RAUM · 15 reps · 919-322-2761 · fortressretirementplanadvisors.com
ComplianceMarketing & brand
48
DISCIPLINE WEALTH SOLUTIONS, INC. notice-filed in CA, MI, MN, VA. IAPD ↗
$93.0M RAUM · 8 reps · 864-322-6046 · stahlneckergroup.com
ComplianceMarketing & brand
48
INTEGRITY WEALTH LLC notice-filed in CA, NM, TX, WA. IAPD ↗
$238.8M RAUM · 3 reps · (541) 650-6061 · integritywealthnw.com
ComplianceMarketing & brand
47
WATERS, PARKERSON & CO., LLC notice-filed in SC. IAPD ↗
$2.49B RAUM · 6 reps · 504-581-2022 · watersparkerson.com
ComplianceMarketing & brand
47
HOLLENCREST CAPITAL MANAGEMENT notice-filed in WA. IAPD ↗
$2.37B RAUM · 18 reps · 949-737-7700 · hollencrest.com
ComplianceMarketing & brand
47
FINANCIAL SYNERGIES notice-filed in CT. IAPD ↗
$1.29B RAUM · 14 reps · 713-623-6600
ComplianceMarketing & brand
47
EVERHART ADVISORS notice-filed in OR. IAPD ↗
$1.45B RAUM · 22 reps · 614-717-9705
ComplianceMarketing & brand
47
LITMAN GREGORY WEALTH MANAGEMENT, LLC notice-filed in KS. IAPD ↗
$2.41B RAUM · 8 reps · 415-461-8999
ComplianceMarketing & brand
47
TANGLEWOOD TOTAL WEALTH MANAGEMENT, INC. notice-filed in AR. IAPD ↗
$1.31B RAUM · 4 reps · 713-840-8880 · tanglewoodwealth.com
ComplianceMarketing & brand
47
PLANNING ALTERNATIVES LTD notice-filed in AZ. IAPD ↗
$1.16B RAUM · 9 reps · 248-645-1520
ComplianceMarketing & brand
47
WESTCHESTER CAPITAL MANAGEMENT INC notice-filed in CO, MO. IAPD ↗
$502.7M RAUM · 3 reps · 402-392-2418 · westchestercapital.com
ComplianceMarketing & brand
47
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP notice-filed in NH. IAPD ↗
$2.56B RAUM · 9 reps · 480-890-8088 · stokerostler.com
ComplianceMarketing & brand
47
MISSION WEALTH MANAGEMENT, LP notice-filed in OK. IAPD ↗
$7.07B RAUM · 72 reps · 805-882-2360
ComplianceMarketing & brand
47
JSF FINANCIAL, LLC notice-filed in GA. IAPD ↗
$1.47B RAUM · 14 reps · 323-866-0833
ComplianceMarketing & brand
47
THE PLANNING CENTER, INC. notice-filed in VA. IAPD ↗
$1.09B RAUM · 10 reps · 309-797-4030
ComplianceMarketing & brand
47
ABSOLUTE CAPITAL MANAGEMENT, LLC notice-filed in MS, WI. IAPD ↗
$400.6M RAUM · 2 reps · 412-388-1600
ComplianceMarketing & brand
47
WEALTHSTREAM ADVISORS, INC. notice-filed in MI. IAPD ↗
$1.35B RAUM · 12 reps · (212) 971-9241 · wealthstreamadvisors.com
ComplianceMarketing & brand
47
CERTUITY, LLC notice-filed in MD. IAPD ↗
$3.96B RAUM · 16 reps · 561-693-3255 · certuity.com
ComplianceMarketing & brand
47
SMITH ANGLIN FINANCIAL, LLC notice-filed in AK. IAPD ↗
$1.57B RAUM · 16 reps · (972) 267-1244
ComplianceMarketing & brand
47
SGL INVESTMENT ADVISORS, INC. notice-filed in CO, CT. IAPD ↗
$351.3M RAUM · 7 reps · 406-721-0999 · sglinvestmentadvisors.com
ComplianceMarketing & brand
47
FORT POINT CAPITAL PARTNERS LLC notice-filed in PA. IAPD ↗
$1.49B RAUM · 16 reps · (415) 449-0570 · fortpointcap.com
ComplianceMarketing & brand
47
ROCKY MOUNTAIN ADVISERS, LLC notice-filed in NE. IAPD ↗
$2.57B RAUM · 4 reps · 785-823-3097 · investrma.com
ComplianceMarketing & brand
47
TELOS CAPITAL MANAGEMENT, INC. notice-filed in VA. IAPD ↗
$1.25B RAUM · 7 reps · (858) 271-6350
ComplianceMarketing & brand
47
PROSPERITY CAPITAL ADVISORS notice-filed in KS. IAPD ↗
$2.25B RAUM · 104 reps · 888-240-0064
ComplianceMarketing & brand
47
FIELDER CAPITAL GROUP LLC notice-filed in NC, NJ. IAPD ↗
$834.6M RAUM · 3 reps · 212-918-4860 · vimeo.com
ComplianceMarketing & brand
47
ALPHA CUBED INVESTMENTS, LLC notice-filed in TN. IAPD ↗
$2.49B RAUM · 25 reps · (800) 701-2457
ComplianceMarketing & brand
47
MUTUAL ADVISORS, LLC notice-filed in RI. IAPD ↗
$6.95B RAUM · 132 reps · 307-439-6357 · barberfinancialgroup.com
ComplianceMarketing & brand
47
GYL FINANCIAL SYNERGIES, LLC notice-filed in TN. IAPD ↗
$6.07B RAUM · 42 reps · 844-248-9998 · focusfinancialpartners.com
ComplianceMarketing & brand
47
NIA IMPACT CAPITAL notice-filed in ID, LA. IAPD ↗
$433.3M RAUM · 4 reps · 510-319-9221 · niaimpactadvisors.com
ComplianceMarketing & brand
47
STEPHENS GROUP ASSET MANAGEMENT, LLC notice-filed in FL. IAPD ↗
$1.14B RAUM · 4 reps · 501-246-7500 · sgassetmgt.com
ComplianceMarketing & brand
47
TRIVIUM POINT ADVISORY, LLC notice-filed in GA, TN. IAPD ↗
$716.2M RAUM · 14 reps · (203) 221-3085
ComplianceMarketing & brand
47
ALTA WEALTH ADVISORS LLC notice-filed in CO, ME. IAPD ↗
$400.2M RAUM · 6 reps · 781-404-6909 · altawealthadvisors.com
ComplianceMarketing & brand
47
MAG CAP notice-filed in CA. IAPD ↗
$1.15B RAUM · 13 reps · 601-362-5872
ComplianceMarketing & brand
47
BISON ADVISORS notice-filed in MA. IAPD ↗
$1.16B RAUM · 33 reps · (706) 376 - 4882 · armisadvisers.com
ComplianceMarketing & brand
47
AUSTIN PRIVATE WEALTH, LLC notice-filed in ID. IAPD ↗
$1.06B RAUM · 20 reps · (512) 886-4114
ComplianceMarketing & brand
47
MADISON PARTNERS notice-filed in ID, NV. IAPD ↗
$559.0M RAUM · 9 reps · 608-210-1021
ComplianceMarketing & brand
47
JOURNEY STRATEGIC WEALTH LLC notice-filed in OH. IAPD ↗
$3.07B RAUM · 12 reps · (201) 905-0070 · journeysw.com
ComplianceMarketing & brand
47
MORAN WEALTH MANAGEMENT, LLC notice-filed in NE. IAPD ↗
$4.27B RAUM · 26 reps · 239-920-4440
ComplianceMarketing & brand
46
PHYSICIAN WEALTH SOLUTIONS notice-filed in CA, MA, MD. IAPD ↗
$230.7M RAUM · 1 reps · 404-386-7641
ComplianceMarketing & brand
46
VICTRIX INVESTMENT ADVISORS notice-filed in CA, CO, NY. IAPD ↗
$180.6M RAUM · 6 reps · 772-320-9658
ComplianceMarketing & brand
46
MARIDEA WEALTH MANAGEMENT notice-filed in LA, NE, WV. IAPD ↗
$25.2M RAUM · 9 reps · 269-598-0939 · marideawealth.com
ComplianceMarketing & brand
46
TREASURY INTERACTIVE INVESTMENT ADVISERS LLC notice-filed in DE, RI, WY. IAPD ↗
$0 RAUM · 2 reps · 6466853046 · treasury.app
ComplianceMarketing & brand
46
WEALTHPOINT ADVISORS notice-filed in FL, PA, SC. IAPD ↗
$0 RAUM · 4 reps · 704-675-5300 · wealthpointadvisorsnc.com
ComplianceMarketing & brand
45
FINANCIAL SERVICES ADVISORY notice-filed in GA. IAPD ↗
$693.7M RAUM · 9 reps · 301-949-7300 · fsainvest.com
ComplianceMarketing & brand
45
BRAND ASSET MANAGEMENT GROUP, INC. notice-filed in AZ. IAPD ↗
$834.0M RAUM · 10 reps · 636-532-7333
ComplianceMarketing & brand
45
ROOF EIDAM MAYCOCK PERALTA LLC notice-filed in LA. IAPD ↗
$693.1M RAUM · 4 reps · 415-788-4600 · rempadvisors.com
ComplianceMarketing & brand
45
VERUS FINANCIAL PARTNERS notice-filed in WA. IAPD ↗
$920.8M RAUM · 11 reps · 804-592-3465 · verusfp.com
ComplianceMarketing & brand
45
DROMS STRAUSS WEALTH MANAGEMENT notice-filed in GA. IAPD ↗
$676.2M RAUM · 6 reps · 314-862-9100 · droms-strauss.com
ComplianceMarketing & brand
45
AVISEN ADVISORS, LLC notice-filed in TX. IAPD ↗
$305.4M RAUM · 9 reps · 916-480-2747
ComplianceMarketing & brand
45
FINANCIAL SECURITY MANAGEMENT, INC notice-filed in KS. IAPD ↗
$439.4M RAUM · 5 reps · 303-988-1411 · fsm-inc.com
ComplianceMarketing & brand
45
CAMBRIDGE FINANCIAL GROUP, LLC notice-filed in TX. IAPD ↗
$468.7M RAUM · 5 reps · 520-531-0550 · cambridgefinancialgroup.com
ComplianceMarketing & brand
45
DICKMEYER BOYCE FINANCIAL MANAGEMENT, INC notice-filed in TX. IAPD ↗
$322.6M RAUM · 7 reps · 260-436-2051 · dickmeyerboyce.com
ComplianceMarketing & brand
45
COLTON GROOME FINANCIAL ADVISORS, LLC notice-filed in VA. IAPD ↗
$350.8M RAUM · 9 reps · 828-252-1816 · coltongroome.com
ComplianceMarketing & brand
45
WATTS GWILLIAM & COMPANY, LLC notice-filed in PA. IAPD ↗
$604.6M RAUM · 7 reps · 480-889-8998 · wattsgwilliam.com
ComplianceMarketing & brand
45
EAGLECLAW CAPITAL MANAGEMENT LLC notice-filed in GA. IAPD ↗
$665.6M RAUM · 3 reps · 617-314-0213 · eagleclawcapital.com
ComplianceMarketing & brand
45
TRADEWINDS CAPITAL MANAGEMENT, LLC notice-filed in NC. IAPD ↗
$523.7M RAUM · 7 reps · 360-715-9000
ComplianceMarketing & brand
45
CAPITAL WEALTH MANAGEMENT, LLC notice-filed in CA. IAPD ↗
$858.0M RAUM · 8 reps · (401) 885-1060
ComplianceMarketing & brand
45
PACIFIC CAPITAL notice-filed in LA. IAPD ↗
$661.2M RAUM · 5 reps · 844-777-8777 · pacificcapital.com
ComplianceMarketing & brand
45
FINANCIAL PLANNING SOLUTIONS, LLC notice-filed in FL. IAPD ↗
$283.6M RAUM · 5 reps · 617-630-4978 · elderplan.com
ComplianceMarketing & brand
45
OCCIDENTAL ASSET MANAGEMENT, LLC notice-filed in WI. IAPD ↗
$625.5M RAUM · 10 reps · 650-344-1600 · yourmentalwealthadvisors.com
ComplianceMarketing & brand
45
SANCHEZ WEALTH MANAGEMENT GROUP, LLC notice-filed in OR. IAPD ↗
$342.2M RAUM · 2 reps · 904-281-9261 · sanchezwealth.com
ComplianceMarketing & brand
45
BIRCHWOOD FINANCIAL PARTNERS, INC. notice-filed in IA. IAPD ↗
$716.8M RAUM · 9 reps · 952-885-9088
ComplianceMarketing & brand
45
LAZARI CAPITAL MANAGEMENT, INC. notice-filed in CT. IAPD ↗
$471.1M RAUM · 8 reps · 818-264-0610 · lazaricapital.com
ComplianceMarketing & brand
45
BLUE WATER ASSET MANAGEMENT notice-filed in TN. IAPD ↗
$334.7M RAUM · 7 reps · 616-447-1600 · bluewaterassetmanagement.com
ComplianceMarketing & brand
45
EQUITA FINANCIAL NETWORK, INC. notice-filed in CT. IAPD ↗
$283.1M RAUM · 13 reps · 800.604.0176
ComplianceMarketing & brand
45
STERLING INVESTMENT COUNSEL, LLC notice-filed in CT. IAPD ↗
$656.8M RAUM · 8 reps · (716) 783-7054 · sterinv.com
ComplianceMarketing & brand
45
LEXAURUM ADVISORS notice-filed in CO. IAPD ↗
$784.2M RAUM · 31 reps · 913-261-9316 · tdcwealthmgmt.com
ComplianceMarketing & brand
45
SPG ADVISORS LLC notice-filed in CO. IAPD ↗
$401.0M RAUM · 7 reps · 425-821-9442
ComplianceMarketing & brand
45
FINANCIAL STRATEGIES GROUP, INC notice-filed in AZ. IAPD ↗
$468.6M RAUM · 6 reps · (800) 804-0420
ComplianceMarketing & brand
45
FAMILYWEALTH notice-filed in AR. IAPD ↗
$316.3M RAUM · 12 reps · (866) 746-3743
ComplianceMarketing & brand
45
ELLSWORTH ADVISORS, LLC notice-filed in GA. IAPD ↗
$913.6M RAUM · 10 reps · (234) 200-0703 · advisorclient.com
ComplianceMarketing & brand
45
ASPIRE CAPITAL ADVISORS LLC notice-filed in UT. IAPD ↗
$817.7M RAUM · 11 reps · (206) 939-5615 · investwithaspire.com
ComplianceMarketing & brand
45
MAYFAIR ADVISORY GROUP, LLC notice-filed in TN. IAPD ↗
$604.4M RAUM · 3 reps · (205) 395-6970
ComplianceMarketing & brand
45
ALAETHES WEALTH, LLC notice-filed in NH. IAPD ↗
$385.9M RAUM · 3 reps · 858-735-9685 · alaethes.com
ComplianceMarketing & brand
45
FORTRESS WEALTH GROUP notice-filed in TN. IAPD ↗
$294.7M RAUM · 6 reps · 407-999-8998
ComplianceMarketing & brand
45
TACTIVE ADVISORS, LLC notice-filed in WI. IAPD ↗
$405.8M RAUM · 0 reps · 855-282-2848 · pcliftonfinancial.com
ComplianceMarketing & brand
45
ATLANTIC PRIVATE WEALTH, LLC notice-filed in FL. IAPD ↗
$689.7M RAUM · 3 reps · 919-968-2977 · atlanticpwa.com
ComplianceMarketing & brand
45
WEST MICHIGAN ADVISORS, LLC notice-filed in WI. IAPD ↗
$494.8M RAUM · 11 reps · (616) 820-1040
ComplianceMarketing & brand
45
APOLLON FINANCIAL, LLC notice-filed in PA. IAPD ↗
$482.3M RAUM · 7 reps · 843-579-0018 · apollonfinancial.com
ComplianceMarketing & brand
45
NOBLE WEALTH MANAGEMENT P.B.C. notice-filed in UT. IAPD ↗
$329.6M RAUM · 4 reps · 303-325-3061 · mynoblewealth.com
ComplianceMarketing & brand
45
UPTICK PARTNERS, LLC notice-filed in FL. IAPD ↗
$398.6M RAUM · 6 reps · (936) 800-0800 · holisticplanning.com
ComplianceMarketing & brand
45
GUILBAULT CAPITAL notice-filed in TX. IAPD ↗
$313.0M RAUM · 1 reps · 504-612-9250 · guilbaultcapital.com
ComplianceMarketing & brand
45
FISHER RETIREMENT SOLUTIONS LLC notice-filed in AK, AL, AR, AZ, CO, CT, DC, 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, RI, SC, TN, VA, WI, WV, WY. IAPD ↗institutional
$4.90B RAUM · 4 reps · 650-350-5254
ComplianceMarketing & brand
45
PANORAMIC CAPITAL PARTNERS LLC notice-filed in MT. IAPD ↗
$263.2M RAUM · 2 reps · 503-937-7420 · panoramiccp.com
ComplianceMarketing & brand
44
CLOSED-END FUND ADVISORS notice-filed in GA, LA. IAPD ↗
$159.0M RAUM · 2 reps · 804-288-2482 · cefadvisors.com
ComplianceMarketing & brand
44
MBIA CAPITAL ADVISORS notice-filed in IN, TX. IAPD ↗
$135.2M RAUM · 3 reps · 513-324-2201
ComplianceMarketing & brand
44
DESERT ROSE CAPITAL MANAGEMENT, INC. notice-filed in GA, NM. IAPD ↗
$79.6M RAUM · 8 reps · 208 297-2710
ComplianceMarketing & brand
44
HENDERSHOTT WEALTH MANAGEMENT, LLC notice-filed in GA, OR. IAPD ↗
$169.3M RAUM · 5 reps · 877-743-6500 · hilaryhendershottwealthmanagement.com
ComplianceMarketing & brand
44
IAMS WEALTH MANAGEMENT, LLC notice-filed in LA, NY. IAPD ↗
$213.2M RAUM · 56 reps · (888)255-7670 · iamswm.com
ComplianceMarketing & brand
44
SUCCESS WEALTH MANAGEMENT LLC notice-filed in KY, TN. IAPD ↗
$40.1M RAUM · 14 reps · 724-934-8128
ComplianceMarketing & brand
44
EKO notice-filed in CO, KS. IAPD ↗
$3.8M RAUM · 1 reps · (917)7449432
ComplianceMarketing & brand
44
ARK WEALTH MANAGEMENT notice-filed in CA, FL. IAPD ↗
$144.6M RAUM · 1 reps · 512-660-5703
ComplianceMarketing & brand
44
SPARTA WEALTH PARTNERS notice-filed in AZ, CA. IAPD ↗
$219.5M RAUM · 4 reps · 704-575-1148
ComplianceMarketing & brand
44
MISSION HILLS FINANCIAL ADVISORY LLC notice-filed in NE, TX. IAPD ↗
$157.5M RAUM · 3 reps · 619-294-9420 · missionhillsfinancial.com
ComplianceMarketing & brand
44
MKT AND ASSOCIATES LLC notice-filed in FL, WI. IAPD ↗
$113.0M RAUM · 1 reps · 253-252-2359
ComplianceMarketing & brand
44
BINGHAM PRIVATE WEALTH, LLC notice-filed in NE, TX. IAPD ↗
$180.9M RAUM · 2 reps · 415-426-5652 · binghamprivate.com
ComplianceMarketing & brand
44
A&M PRIVATE WEALTH PARTNERS, LLC notice-filed in GA, NY. IAPD ↗
$0 RAUM · 1 reps · 561-437-6738
ComplianceMarketing & brand
42
WESBANCO SECURITIES, INC. notice-filed in CO. IAPD ↗
$132.7M RAUM · 23 reps · 8003683369
ComplianceMarketing & brand
42
NETWORTH ASSET MANAGEMENT, INC notice-filed in NJ. IAPD ↗
$105.8M RAUM · 3 reps · 352 268 2080 · nwam.net
ComplianceMarketing & brand
42
MOS CAPITAL, INC. notice-filed in GA. IAPD ↗
$183.4M RAUM · 2 reps · 757-222-3710 · moscapital.com
ComplianceMarketing & brand
42
CALLAHAN CAPITAL MANAGEMENT notice-filed in LA. IAPD ↗
$179.6M RAUM · 4 reps · 970-870-8750 · callahancapital.com
ComplianceMarketing & brand
42
THE FOUNDRY FINANCIAL GROUP, INC. notice-filed in FL. IAPD ↗
$198.8M RAUM · 8 reps · 603-528-5171
ComplianceMarketing & brand
42
STOLZ & ASSOCIATES, PS notice-filed in CA. IAPD ↗
$199.4M RAUM · 5 reps · (253) 272-3441
ComplianceMarketing & brand
42
INDEPENDENT WEALTH MANAGEMENT, LLC notice-filed in TX. IAPD ↗
$161.7M RAUM · 3 reps · 231-929-1086
ComplianceMarketing & brand
42
DRAWBRIDGE CAPITAL notice-filed in LA. IAPD ↗
$162.3M RAUM · 9 reps · 918-493-4190 · drawbridge.capital
ComplianceMarketing & brand
42
DAVIES FINANCIAL ADVISORS, INC. notice-filed in NE. IAPD ↗
$165.3M RAUM · 4 reps · 951-677-3960
ComplianceMarketing & brand
42
INTEGRATED WEALTH MANAGEMENT, INC. notice-filed in FL. IAPD ↗
$139.2M RAUM · 4 reps · 330-896-1644 · iwmgameplan.com
ComplianceMarketing & brand
42
INSIGHT FINANCIAL SERVICES notice-filed in OK. IAPD ↗
$173.6M RAUM · 5 reps · 913-402-2020
ComplianceMarketing & brand
42
FAMILYWEALTH ASSET MANAGEMENT notice-filed in AR. IAPD ↗
$175.1M RAUM · 4 reps · 214-624-1185 · familywealth.us
ComplianceMarketing & brand
42
LANDMARK WEALTH ADVISORS, LLC notice-filed in NH. IAPD ↗
$108.3M RAUM · 2 reps · 801-295-8700 · landmarkwa.com
ComplianceMarketing & brand
42
BRIGHT WEALTH MANAGEMENT, LLC notice-filed in VA. IAPD ↗
$160.0M RAUM · 5 reps · (972) 410-6623
ComplianceMarketing & brand
42
MONSON WEALTH MANAGEMENT, INC. notice-filed in ID. IAPD ↗
$115.4M RAUM · 1 reps · 509-628-1358
ComplianceMarketing & brand
42
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC notice-filed in SC. IAPD ↗
$116.6M RAUM · 4 reps · 475-241-6966
ComplianceMarketing & brand
42
SIMMONS CAPITAL GROUP notice-filed in NJ. IAPD ↗
$211.5M RAUM · 4 reps · (518) 406-5624 · simmonscapitalgroup.com
ComplianceMarketing & brand
42
Q3 ADVISORS, LLC notice-filed in OK. IAPD ↗
$0 RAUM · 7 reps · 720-730-9892
ComplianceMarketing & brand
42
RIDGELINE WEALTH ADVISORS, LLC. notice-filed in TN. IAPD ↗
$117.7M RAUM · 3 reps · 919-782-0494 · ridgelinewealthadvisors.com
ComplianceMarketing & brand
42
BLACKTOWER FINANCIAL MANAGEMENT (US) LLC notice-filed in IN. IAPD ↗
$183.2M RAUM · 31 reps · 1-407-362-7753
ComplianceMarketing & brand
42
WILDES FINANCIAL STRATEGIES, INC notice-filed in GA. IAPD ↗
$105.4M RAUM · 2 reps · 843-485-4371
ComplianceMarketing & brand
42
MINDFUL WEALTH LLC notice-filed in LA. IAPD ↗
$132.9M RAUM · 1 reps · 312-953-9900 · mindfulwealthllc.com
ComplianceMarketing & brand
42
BOURKE WEALTH MANAGEMENT notice-filed in MD. IAPD ↗
$115.9M RAUM · 4 reps · (805) 966-2122
ComplianceMarketing & brand
42
CAPITAL DESIGN PRIVATE WEALTH LLC notice-filed in SC. IAPD ↗
$131.8M RAUM · 3 reps · 603-610-8290 · capitaldesignpw.com
ComplianceMarketing & brand
42
ECIO, INC. notice-filed in PA. IAPD ↗
$146.0M RAUM · 4 reps · 608-535-8317 · getecio.com
ComplianceMarketing & brand
42
RIDGELINE WEALTH PLANNING LLC notice-filed in KY. IAPD ↗
$147.4M RAUM · 3 reps · (937)-739-3744
ComplianceMarketing & brand
42
FOREFRONT notice-filed in NC. IAPD ↗
$118.2M RAUM · 7 reps · 512-617-1984
ComplianceMarketing & brand
42
WINTER & ASSOCIATES, INC. notice-filed in NE. IAPD ↗
$116.2M RAUM · 3 reps · (651) 414-5000
ComplianceMarketing & brand
42
ABICH FINANCIAL WEALTH MANAGEMENT, LLC notice-filed in TN. IAPD ↗
$150.1M RAUM · 4 reps · (571) 577-9968
ComplianceMarketing & brand
42
PROSPERITY ADVISORY GROUP LLC notice-filed in TX. IAPD ↗
$196.8M RAUM · 2 reps · (585) 381-5900 · prosperityadv.com
ComplianceMarketing & brand
42
BULMAN WEALTH GROUP notice-filed in ID. IAPD ↗
$148.2M RAUM · 5 reps · 916-458-8199 · bulmanwealth.com
ComplianceMarketing & brand
42
THEPARTNERS WEALTH MANAGEMENT notice-filed in CO. IAPD ↗
$172.5M RAUM · 7 reps · 800-324-3010 · centralcoastfm.com
ComplianceMarketing & brand
42
EARNED WEALTH notice-filed in PA. IAPD ↗
$106.6M RAUM · 7 reps · (914) 417-4556
ComplianceMarketing & brand
42
RETIREMENT WEALTH SOLUTIONS LLC notice-filed in NH. IAPD ↗
$140.7M RAUM · 2 reps · 715-384-5481 · retirementwealthsolutions.com
ComplianceMarketing & brand
42
THE CLIFFORD GROUP LLC notice-filed in FL. IAPD ↗
$166.3M RAUM · 2 reps · (617) 600-2083 · thecliffordgrp.com
ComplianceMarketing & brand
42
BIG SKY WEALTH ADVISORS, LLC notice-filed in TX. IAPD ↗
$107.8M RAUM · 1 reps · 406-315-2627 · bigskywealthadvisors.com
ComplianceMarketing & brand
42
VIRTUS FINANCIAL PARTNERS notice-filed in AR. IAPD ↗
$77.6M RAUM · 3 reps · 4072678445
ComplianceMarketing & brand
42
MEMBERS WEALTH LLC notice-filed in TX. IAPD ↗
$119.3M RAUM · 3 reps · 267-367-5453 · memberswealthllc.com
ComplianceMarketing & brand
42
ATFS ADVISERS notice-filed in VA. IAPD ↗
$13,408 RAUM · 3 reps · 805-557-8713
ComplianceMarketing & brand
42
ROSSBY FINANCIAL, LLC notice-filed in NH. IAPD ↗
$107.3M RAUM · 8 reps · 321-209-0111
ComplianceMarketing & brand
42
COUNTERWEIGHT PRIVATE WEALTH notice-filed in FL. IAPD ↗
$137.0M RAUM · 2 reps · 919-726-6124
ComplianceMarketing & brand
42
STONEPATH WEALTH MANAGEMENT notice-filed in TN. IAPD ↗
$178.0M RAUM · 7 reps · (231) 668-6999
ComplianceMarketing & brand
42
WHALE notice-filed in NY. IAPD ↗
$229,407 RAUM · 1 reps · 8884887104 · getwhale.co
ComplianceMarketing & brand
42
SLO MONEY MANAGERS notice-filed in LA. IAPD ↗
$0 RAUM · 1 reps · (949) 466-7519 · slomoneymanagers.com
ComplianceMarketing & brand
42
HAMPTON ROCK WEALTH MANAGEMENT notice-filed in CO. IAPD ↗
$0 RAUM · 1 reps · 512-256-9272
ComplianceMarketing & brand
42
LEGACY CAPITAL notice-filed in CO. IAPD ↗
$181.5M RAUM · 3 reps · (281) 595-1996 · lead-a-legacy.com
ComplianceMarketing & brand
42
MARTINSEN WEALTH MANAGEMENT notice-filed in TX. IAPD ↗
$0 RAUM · 6 reps · 480-550-6556
ComplianceMarketing & brand
41
SIMPLIFY ASSET MANAGEMENT INC. notice-filed in AZ, FL, PA. IAPD ↗institutional
$4.66B RAUM · 13 reps · 646-585-0476 · simplify.us
ComplianceMarketing & brand
37
PIPER SANDLER & CO. notice-filed in CO. IAPD ↗institutional
$1.58B RAUM · 24 reps · 612-303-6000 · pipersandler.com
ComplianceMarketing & brand
35
NEWFRONT RETIREMENT SERVICES, INC. notice-filed in SC. IAPD ↗institutional
$366.8M RAUM · 20 reps · 415-754-3635 · newfront.com
ComplianceMarketing & brand
34
TOWERS WATSON INVESTMENT SERVICES, INC. notice-filed in KY, TN. IAPD ↗fund
$51.37B RAUM · 201 reps · 312-288-7700 · wtwco.com
ComplianceMarketing & brand
34
COMMONFUND OCIO, INC. notice-filed in NC, WA. IAPD ↗fund
$20.19B RAUM · 31 reps · 203-563-5000
ComplianceMarketing & brand
34
LIGHTHOUSE INVESTMENT PARTNERS, LLC notice-filed in AZ, MA. IAPD ↗fund
$74.15B RAUM · 171 reps · 561-741-0820
ComplianceMarketing & brand
32
CAPITAL CLIENT GROUP, INC. notice-filed in FL. IAPD ↗institutional
$0 RAUM · 655 reps · 213-486-9200
ComplianceMarketing & brand
32
CAPSTONE INVESTMENT ADVISORS, LLC notice-filed in MD. IAPD ↗fund
$69.25B RAUM · 108 reps · 212-232-1420
ComplianceMarketing & brand
32
JOHCM (USA) INC notice-filed in DE. IAPD ↗fund
$10.23B RAUM · 31 reps · 617-993-0701
ComplianceMarketing & brand
32
GLOBAL BETA ADVISORS notice-filed in NJ. IAPD ↗institutional
$20.8M RAUM · 2 reps · 215-531-8234
ComplianceMarketing & brand
32
RCF ASSET MANAGEMENT GROUP 3, LLC notice-filed in IN. IAPD ↗institutional
$0 RAUM · 5 reps · (310) 598-7070 · rangesummit.com
ComplianceMarketing & brand
32
RSC INDUSTRIAL ASSET MANAGEMENT GROUP 2, LLC notice-filed in IN. IAPD ↗institutional
$0 RAUM · 5 reps · 310-598-7073 · rangesummit.com
ComplianceMarketing & brand
32
CORIENT IA LLC notice-filed in OH. IAPD ↗fund
$4.60B RAUM · 45 reps · (786) 530-4306
ComplianceMarketing & brand
32
RCF ASSET MANAGEMENT GROUP 4, LLC notice-filed in IN. IAPD ↗institutional
$0 RAUM · 5 reps · 310-598-7070 · rangesummit.com
ComplianceMarketing & brand
32
MEKETA CAPITAL, LLC notice-filed in NC. IAPD ↗institutional
$100,000 RAUM · 6 reps · 720-697-1010 · meketacapital.com
ComplianceMarketing & brand
30
DEEPWATER ASSET MANAGEMENT, LLC notice-filed in PA. IAPD ↗fund
$333.0M RAUM · 5 reps · 612-424-1393
ComplianceMarketing & brand
27
CHANGE GLOBAL INVESTMENT, LLC notice-filed in NY. IAPD ↗fund
$208.0M RAUM · 6 reps · 360-844-5826 · changegi.com
ComplianceMarketing & brand
27
RSC ASSET MANAGEMENT GROUP, LLC notice-filed in IN. IAPD ↗fund
$155.3M RAUM · 5 reps · (310) 598-7073 · rangesummit.com
ComplianceMarketing & brand
17
MASECO PRIVATE WEALTH notice-filed in MD. IAPD ↗foreign
$3.27B RAUM · 23 reps · +44 20 7043 0455 · instagram.com\masecopw
ComplianceMarketing & brand
new registration — 115 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
98
FORM WEALTH ADVISORS, LLC (LAKE GENEVA, WI) is newly SEC-registered with $925.8M RAUM and 7 advisory reps. IAPD ↗
$925.8M RAUM · 7 reps · 262-686-3005
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HILLSPRING FINANCIAL, INC. (SURPRISE, AZ) is newly SEC-registered with $169.2M RAUM and 2 advisory reps. IAPD ↗
$169.2M RAUM · 2 reps · 623-583-6141 · hillspringfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GIBSON FINANCIAL SOLUTIONS, INC. (ELLSWORTH, ME) is newly SEC-registered with $122.2M RAUM and 1 advisory reps. IAPD ↗
$122.2M RAUM · 1 reps · 207-667-9993 · gibsonfinancialsolutions.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GCI FINANCIAL GROUP (MENDHAM, NJ) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
$101.1M RAUM · 2 reps · 973-543-2133 · gcifinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL LEGACY MANAGEMENT, NC. (LITTLE ROCK, AR) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 501-224-7526 · financiallegacymanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITE OAK FINANCIAL MANAGEMENT, INC (ASHEVILLE, NC) is newly SEC-registered with $105.6M RAUM and 3 advisory reps. IAPD ↗
$105.6M RAUM · 3 reps · 828-274-7844
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DDO ADVISORY SERVICES, LLC (RHINEBECK, NY) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
$34.8M RAUM · 1 reps · 646-234-4881 · ddoadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARTHUR STEIN FINANCIAL, LLC (BETHESDA, MD) is newly SEC-registered with $109.7M RAUM and 3 advisory reps. IAPD ↗
$109.7M RAUM · 3 reps · 301-377-9407 · arthursteinfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PENSERRA GLOBAL INVESTORS LLC (ORINDA, CA) is newly SEC-registered with $1.0M RAUM and 10 advisory reps. IAPD ↗
$1.0M RAUM · 10 reps · 800-456-8850 · penserra.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHERMAN WEALTH MANAGEMENT LLC (GAITHERSBURG, MD) is newly SEC-registered with $112.2M RAUM and 3 advisory reps. IAPD ↗
$112.2M RAUM · 3 reps · (240) 428-1622
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NOBSCOT INVESTMENT MANAGEMENT LLC (WELLESLEY, MA) is newly SEC-registered with $129.9M RAUM and 1 advisory reps. IAPD ↗
$129.9M RAUM · 1 reps · 781-237-2700 · nobscotinvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOGARTY WEALTH MANAGEMENT, INC. (MISSOURI CITY, TX) is newly SEC-registered with $110.0M RAUM and 1 advisory reps. IAPD ↗
$110.0M RAUM · 1 reps · 281-403-1818 · fogartywm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OUTBOUND FINANCIAL (BOULDER, CO) is newly SEC-registered with $100.1M RAUM and 1 advisory reps. IAPD ↗
$100.1M RAUM · 1 reps · (720) 642-9701 · outboundfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RISEMINT (EVERGREEN, CO) is newly SEC-registered with $106.5M RAUM and 5 advisory reps. IAPD ↗
$106.5M RAUM · 5 reps · (888) 998-3254
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PLANVEST FINANCIAL, INC. (GAITHERSBURG, MD) is newly SEC-registered with $110.9M RAUM and 5 advisory reps. IAPD ↗
$110.9M RAUM · 5 reps · (301) 977-7123
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRINDLE & BAY FINANCIAL ADVISORS, LLC (FRISCO, TX) is newly SEC-registered with $100.5M RAUM and 2 advisory reps. IAPD ↗
$100.5M RAUM · 2 reps · 214-988-9178 · brindleandbay.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROCHESTER WEALTH STRATEGIES, LLC (ROCHESTER, MI) is newly SEC-registered with $121.4M RAUM and 4 advisory reps. IAPD ↗
$121.4M RAUM · 4 reps · (248) 434-6550
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KISSLING FINANCIAL SERVICES, LLC (NEW CASTLE, PA) is newly SEC-registered with $104.3M RAUM and 1 advisory reps. IAPD ↗
$104.3M RAUM · 1 reps · 724-667-1617 · kisslingfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DIRECTIONAL ADVISORS (location n/a) is newly SEC-registered with $114.0M RAUM and 1 advisory reps. IAPD ↗
$114.0M RAUM · 1 reps · 214-714-5520 · quora.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AHARA ADVISORS (JERSEY CITY, NJ) is newly SEC-registered with $110.8M RAUM and 2 advisory reps. IAPD ↗
$110.8M RAUM · 2 reps · 412-908-0844
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MINT ASSET MANAGEMENT LLC (HOBOKEN, NJ) is newly SEC-registered with $43.9M RAUM and 3 advisory reps. IAPD ↗
$43.9M RAUM · 3 reps · 908-777-1717 · mintassetmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WINCAP FINANCIAL LLC (BOSTON, MA) is newly SEC-registered with $124.2M RAUM and 2 advisory reps. IAPD ↗
$124.2M RAUM · 2 reps · (617) 590-3250 · wincapfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
10ELMS LLP (location n/a) is newly SEC-registered with $103.4M RAUM and 2 advisory reps. IAPD ↗
$103.4M RAUM · 2 reps · 918-812-7998 · 10elms.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ECHO FINANCIAL ADVISORS, LLC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 330-703-7644
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NAUTA CAPITAL LLC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 510-912-2352
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
QUANTCA FINANCIAL (DOVER, DE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 3023215022 · quantca.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COVE (SANTA CLARA, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 651-442-9483 · usecove.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PANDI, LLC (LEAWOOD, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · (913) 406-9929 · pandikc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTH2B (PONCE, PR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 1 (205) 953-6526 · wealth2b.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MAYNERICH FINANCIAL (VIRDEN, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 217-965-5796
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HARBORFRONT FINANCIAL GROUP (LUDINGTON, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 231-843-1516
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GFG SOLUTIONS (ORLANDO, FL) is newly SEC-registered with $151.1M RAUM and 6 advisory reps. IAPD ↗
$151.1M RAUM · 6 reps · (407) 627-0091 · gfgsolutions.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOUNTAINHEAD MULTI-FAMILY OFFICE, LLC (NEW CANAAN, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 917-617-7149
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHPRIME (SAN JOSE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 8557746340 · wealthprime.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARCH OTC LLC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 954-261-3960 · arch.finance
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PARK SQUARE FINANCIAL GROUP LLC (ROSWELL, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 770-641-1401
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HEADLAND CAPITAL (MT. PLEASANT, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 843-388-4300 · headland.capital
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OCM PRIVATE WEALTH, LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 216-456-1515 · ocmprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UNITING WEALTH PARTNERS (MISSION, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 479-903-7111 · unitingwealthpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NAVISTA WEALTH MANAGEMENT, INC. (MINNEAPOLIS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 612-315-2400
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PATEL CAPITAL MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 609-841-9305 · patelcapitalmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PERSPECTIVE WEALTH ADVISORS (LOVELAND, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 970-732-7975
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LINEPOINT PARTNERS & CO. (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 323-886-3635
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
YANDELL INVESTMENTS, LLC (ORLANDO, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 407-898-5777
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAGEWATER WEALTH MANAGEMENT LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $2.0M RAUM and 2 advisory reps. IAPD ↗
$2.0M RAUM · 2 reps · 310-574-2866
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HUNTER KEITH INDUSTRIES, INC. (WAYZATA, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (612) 204-0405
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MOMENT PARTNERS, LLC (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 415-395-22523
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OXFORD WEALTH MANAGEMENT (LINDON, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 801-369-1429 · oxfordwealthmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VINCENT WEALTH ADVISORS, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (617) 458-2593
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UPSKILL WEALTH MANAGEMENT, LLC (CORTLAND, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 315-882-1770 · upskillwm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OLDFIELD WEALTH PARTNERS (BANGOR, ME) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 207-573-3001 · oldfieldwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ELEVATE CAPITAL GROUP, LLC (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 949-577-2578 · elevatefinsvcs.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE WELLINGTON GRP LLC (INDIANAPOLIS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 317-846-5055 · wellingtonwealthstrategies.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LECLAIR WEALTH PARTNERS (DUBLIN, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 888-277-5704 · leclairwealthpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STONE TEMPLE PARTNERS LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 917-837-4617
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTELLUS ADVISORS, LLC (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 239-649-3600 · intellusadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLLABORATIVE PORTFOLIO MANAGEMENT (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $120.7M RAUM and 3 advisory reps. IAPD ↗
$120.7M RAUM · 3 reps · 816-471-5556
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MORANGIE MANAGEMENT LLC (MARSHFIELD, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 908-285-6686 · morangiemanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CEDRUS (LITTLETON, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 303-710-2708
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MATAURO, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 14 advisory reps. IAPD ↗
$0 RAUM · 14 reps · 845-273-6211 · matauro.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRAMBLE WEALTH PLANNING (CINCINNATI, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 513-977-8646
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TFR CAPITAL (PLANO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 800-765-0397
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VAQUITA SUN, INC. (FORT LAUDERDALE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 954-620-9900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CARVAL CLO MANAGEMENT LLC (MINNEAPOLIS, MN) is newly SEC-registered with $4.92B RAUM and 1 advisory reps. IAPD ↗fund
$4.92B RAUM · 1 reps · 952-444-4780 · abcarval.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CALPA ADVISORS LLC (KIRKLAND, WA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 425-495-5504
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TWO SIGMA REAL ESTATE, LP (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗institutional
$0 RAUM · 12 reps · (212) 625-5700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MAG 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 · 817-421-3823
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MISSION INVESTMENT ADVISORS LLC (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 1-800-683-8529
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BAYPOINTE PARTNERS, LLC (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 516-381-5246
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ACCEL MANAGEMENT CO. L.L.C (PALO ALTO, CA) is newly SEC-registered with $29.94B RAUM and 44 advisory reps. IAPD ↗fund
$29.94B RAUM · 44 reps · 650-614-4800 · accel.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GUGGENHEIM PRIVATE INVESTMENTS, LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · 1-212-739-0700 · guggenheiminvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
INFINITY CREDIT ADVISORY, LLC (ATLANTA, GA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 404-458-4448
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FPLF MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗institutional
$0 RAUM · 15 reps · 212-798-6100
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
NIOBRARA CAPITAL PARTNERS (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-650-2169 · niobraracap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CARO INVESTORS (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · (301) 241- 8680 · caroinvestors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FUNDSTRAT CAPITAL (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 212-293-7136 · fundstratcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TEMA ETFS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 332-287-2270 · tremaetfs.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CREDIT BRIDGE ADVISORS LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 786-505-4412 · creditbridge.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
AVATHON CAPITAL MANAGEMENT LP (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
$0 RAUM · 7 reps · 312-351-2301 · avathoncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
HAUSSMANN 1864 CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 212-278-6000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FIN FINANCIAL LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-545-7427 · finnyai.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FIRST TRYON ADVISORS (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 704-926-2453
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
VARIADIC LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
$0 RAUM · 8 reps · 646-384-8680 · variadic.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
AXXES ADVISORS I LLC (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 786-885-4821 · axxescapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
10X CAPITAL PARTNERS (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 212-220-7218
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SCI CAPITAL PARTNERS 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 · 424-316-2061
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
LORD ABBETT PRIVATE CREDIT ADVISOR LLC (JERSEY CITY, NJ) is newly SEC-registered with $0 RAUM and 264 advisory reps. IAPD ↗institutional
$0 RAUM · 264 reps · 201-827-2000 · lordabbett.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
THIRD POINT PRIVATE CAPITAL LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 41 advisory reps. IAPD ↗institutional
$0 RAUM · 41 reps · 212-715-3880
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TALOS ASSET MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (646) 849-6758 · talosfunds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BOW RIVER CREDIT ADVISERS, LLC. (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 303-861-8466 · bowrivercapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MANTEIO SCALABLE TECHNOLOGIES LLC (JERSEY CITY, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 917-736-9209
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
FIO ADVISORS LP (NEW YORK, NY) is newly SEC-registered with $445.8M RAUM and 3 advisory reps. IAPD ↗fund
$445.8M RAUM · 3 reps · 646-467-8050 · foundationcredit.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
BLACK DRAGON CAPITAL INVESTMENT MANAGEMENT, INC (location n/a) is newly SEC-registered with $452.7M RAUM and 12 advisory reps. IAPD ↗fund
$452.7M RAUM · 12 reps · 305-539-9415 · blackdragoncap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
DYNASTY EQUITY PARTNERS MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $343.6M RAUM and 9 advisory reps. IAPD ↗fund
$343.6M RAUM · 9 reps · 212-970-9850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ROSCOMMON ANALYTICS LLC (NEW YORK, NY) is newly SEC-registered with $753.8M RAUM and 45 advisory reps. IAPD ↗fund
$753.8M RAUM · 45 reps · 212-850-8860
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
LYNWOOD PRICE CAPITAL MANAGEMENT LP (AUSTIN, TX) is newly SEC-registered with $36.0M RAUM and 2 advisory reps. IAPD ↗fund
$36.0M RAUM · 2 reps · 512-521-0075
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CHRISTOPHER & CO., LLC (AUSTIN, TX) is newly SEC-registered with $196.1M RAUM and 3 advisory reps. IAPD ↗fund
$196.1M RAUM · 3 reps · 512-785-9710 · astoconsumer.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
NORTH SHIELD CAPITAL LLC (NEW YORK, NY) is newly SEC-registered with $54.7M RAUM and 4 advisory reps. IAPD ↗fund
$54.7M RAUM · 4 reps · 917-546-2079
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CORDOBA CAPITAL PARTNERS, LLC (NEW YORK, NY) is newly SEC-registered with $55.3M RAUM and 6 advisory reps. IAPD ↗fund
$55.3M RAUM · 6 reps · 917-746-4806 · cordobacapital.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SOUNDCORE CAPITAL PARTNERS, LP (NEW YORK, NY) is newly SEC-registered with $187.5M RAUM and 12 advisory reps. IAPD ↗fund
$187.5M RAUM · 12 reps · 212-812-1180
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
GENERAL INNOVATION CAPITAL, LLC (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗fund
$0 RAUM · 6 reps · 917-816-1744 · generalinnovation.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
PERRYRIDGE CAPITAL LP (GREENWICH, CT) is newly SEC-registered with $128.7M RAUM and 3 advisory reps. IAPD ↗fund
$128.7M RAUM · 3 reps · (203) 489-6554
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
FIVESPAN PARTNERS, LP (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
$0 RAUM · 5 reps · (415) 318-7900 · fivespan.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
WHITE ROCK RESOURCES HOLDINGS, LLC (PLANO, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗fund
$0 RAUM · 3 reps · 2149811400 · whiterock-resources.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
NINE LEFT CAPITAL LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
$0 RAUM · 3 reps · 212-202-3010 · nineleftcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ALAMOS CAPITAL, LLC (TUCSON, AZ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗fund
$0 RAUM · 1 reps · 520-664-2001
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
LINCOLN ENERGY HOLDINGS LLC (ENGLEWOOD, CO) is newly SEC-registered with $126.9M RAUM and 7 advisory reps. IAPD ↗fund
$126.9M RAUM · 7 reps · 720-909-6608 · delrioroyalty.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
RUSHMONT CAPITAL MANAGEMENT (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
$0 RAUM · 3 reps · 1-212-680-4980
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
REGENTS GATE CAPITAL LLP (LONDON, United Kingdom) is newly SEC-registered with $783.1M RAUM and 4 advisory reps. IAPD ↗foreign
$783.1M RAUM · 4 reps · 02038394680 · regentsgatecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
SCOTT CAPITAL PARTNERS (LONDON, United Kingdom) is newly SEC-registered with $689.5M RAUM and 6 advisory reps. IAPD ↗foreign
$689.5M RAUM · 6 reps · 442045742828 · scottcp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
NAVI INTL-ADMINISTRADORA E GESTORA DE RECURSOS FINANCEIROS LTDA. (SAO PAULO, Brazil) is newly SEC-registered with $587.0M RAUM and 4 advisory reps. IAPD ↗foreign
$587.0M RAUM · 4 reps · 55 21 3590 2410 · navi.com.br
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
NINE MASTS CAPITAL ADVISERS LLC (HONG KONG, Hong Kong) is newly SEC-registered with $100.0M RAUM and 1 advisory reps. IAPD ↗foreign
$100.0M RAUM · 1 reps · 85228689973 · ninemasts.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
SARTORIAL WEALTH (USA) INC. (MISSISSAUGA, ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 647-998-9705
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
ARCHER PORTFOLIO MANAGEMENT INC. (MONTREAL, QUEBEC, Canada) is newly SEC-registered with $190.4M RAUM and 2 advisory reps. IAPD ↗foreign
$190.4M RAUM · 2 reps · 514-395-2151 · archer.ca
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
BRICKWOOD ASSET MANAGEMENT (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · 0 204-603-3122
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 114 Count of additional offices increased.
55
MOORS & CABOT, INC added office(s): 12 -> 13 additional locations. IAPD ↗
$3.09B RAUM · 73 reps · 800-426-0501
Office IT & facilitiesCRMRecruiting & transitions
55
AUSDAL FINANCIAL PARTNERS, INC. added office(s): 86 -> 88 additional locations. IAPD ↗
$1.53B RAUM · 110 reps · 563-326-2064 · retirewellusa.com
Office IT & facilitiesCRMRecruiting & transitions
55
A.G.P / ALLIANCE GLOBAL PARTNERS added office(s): 15 -> 17 additional locations. IAPD ↗
$1.69B RAUM · 149 reps · 800-727-7922 · allianceg.com
Office IT & facilitiesCRMRecruiting & transitions
55
PROSPERA FINANCIAL SERVICES, INC. added office(s): 105 -> 123 additional locations. IAPD ↗
$9.81B RAUM · 159 reps · 972-581-3000
Office IT & facilitiesCRMRecruiting & transitions
55
WEALTHSPIRE ADVISORS added office(s): 18 -> 21 additional locations. IAPD ↗
$21.69B RAUM · 160 reps · (212) 973-1200
Office IT & facilitiesCRMRecruiting & transitions
55
TANGLEWOOD TOTAL WEALTH MANAGEMENT, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$1.31B RAUM · 4 reps · 713-840-8880 · tanglewoodwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. added office(s): 14 -> 15 additional locations. IAPD ↗
$45.17B RAUM · 99 reps · 800-621-4421 · mesirowfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
FIRST PACIFIC ADVISORS, LP added office(s): 8 -> 12 additional locations. IAPD ↗
$24.80B RAUM · 21 reps · 800-982-4372 · fpafunds.com
Office IT & facilitiesCRMRecruiting & transitions
55
ADVOCACY WEALTH MANAGEMENT, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$1.72B RAUM · 21 reps · 404.836.7100 · advocacywealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
CHICAGO PARTNERS INVESTMENT GROUP LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$4.59B RAUM · 33 reps · 312 284 6363
Office IT & facilitiesCRMRecruiting & transitions
55
JACOBI CAPITAL MANAGEMENT, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$1.69B RAUM · 24 reps · 570-826-1801
Office IT & facilitiesCRMRecruiting & transitions
55
SOLTIS INVESTMENT ADVISORS, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$6.82B RAUM · 45 reps · 435-674-1600 · soltisadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
THE COLONY GROUP, LLC added office(s): 92 -> 96 additional locations. IAPD ↗
$21.47B RAUM · 688 reps · 617-723-8200 · debrabrede.com
Office IT & facilitiesCRMRecruiting & transitions
55
ONEASCENT FINANCIAL SERVICES LLC added office(s): 29 -> 30 additional locations. IAPD ↗
$1.79B RAUM · 39 reps · 205-313-9142
Office IT & facilitiesCRMRecruiting & transitions
55
GPS WEALTH STRATEGIES GROUP, LLC added office(s): 6 -> 9 additional locations. IAPD ↗
$1.07B RAUM · 21 reps · 7204145412 · lizwindisch.com
Office IT & facilitiesCRMRecruiting & transitions
55
LIBERTY WEALTH MANAGEMENT, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$1.22B RAUM · 18 reps · 510-658-1880
Office IT & facilitiesCRMRecruiting & transitions
55
EVERSOURCE WEALTH ADVISORS, LLC added office(s): 21 -> 22 additional locations. IAPD ↗
$2.69B RAUM · 40 reps · 205-982-5515 · generouswealthaz.com
Office IT & facilitiesCRMRecruiting & transitions
55
SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC added office(s): 2 -> 4 additional locations. IAPD ↗
$4.02B RAUM · 17 reps · 317-975-5033
Office IT & facilitiesCRMRecruiting & transitions
55
NEW EDGE WEALTH added office(s): 11 -> 13 additional locations. IAPD ↗
$8.61B RAUM · 62 reps · 2034242262
Office IT & facilitiesCRMRecruiting & transitions
55
MAYFLOWER ADVISORS added office(s): 3 -> 4 additional locations. IAPD ↗
$4.69B RAUM · 21 reps · 617-259-1767
Office IT & facilitiesCRMRecruiting & transitions
55
NEW REPUBLIC PARTNERS added office(s): 6 -> 7 additional locations. IAPD ↗
$2.28B RAUM · 17 reps · 704-626-1526 · newrepublicpartners.com
Office IT & facilitiesCRMRecruiting & transitions
55
CONFLUENCE FINANCIAL PARTNERS added office(s): 3 -> 7 additional locations. IAPD ↗
$3.06B RAUM · 34 reps · 724-271-8801
Office IT & facilitiesCRMRecruiting & transitions
55
HOMRICH BERG added office(s): 6 -> 7 additional locations. IAPD ↗
$15.20B RAUM · 80 reps · 404-264-1400
Office IT & facilitiesCRMRecruiting & transitions
55
MODERN WEALTH MANAGEMENT, LLC added office(s): 14 -> 15 additional locations. IAPD ↗
$2.07B RAUM · 36 reps · 913-393-1000 · midwestfinancial.us
Office IT & facilitiesCRMRecruiting & transitions
53
THE PACIFIC CENTER FOR FINANCIAL SERVICES added office(s): 0 -> 4 additional locations. IAPD ↗
$878.8M RAUM · 4 reps · (925) 838-7700
Office IT & facilitiesCRMRecruiting & transitions
53
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$563.8M RAUM · 14 reps · 719-478-7036
Office IT & facilitiesCRMRecruiting & transitions
53
WOLF GROUP CAPITAL ADVISORS added office(s): 11 -> 13 additional locations. IAPD ↗
$526.8M RAUM · 11 reps · (703) 652-6255
Office IT & facilitiesCRMRecruiting & transitions
53
IMA ADVISORY SERVICES, INC. added office(s): 4 -> 6 additional locations. IAPD ↗
$911.6M RAUM · 19 reps · 316-266-6574
Office IT & facilitiesCRMRecruiting & transitions
53
RIDGEWOOD INVESTMENTS added office(s): 2 -> 3 additional locations. IAPD ↗
$325.7M RAUM · 6 reps · 973-544-6970 · ridgewoodinvestments.com
Office IT & facilitiesCRMRecruiting & transitions
53
EXCHANGE PLACE ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$308.9M RAUM · 3 reps · 978-443-2713
Office IT & facilitiesCRMRecruiting & transitions
53
SECURE ASSET MANAGEMENT, L.L.C. added office(s): 18 -> 20 additional locations. IAPD ↗
$599.6M RAUM · 48 reps · 248-414-1562 · re-transition.com
Office IT & facilitiesCRMRecruiting & transitions
53
TRADEWINDS CAPITAL MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$523.7M RAUM · 7 reps · 360-715-9000
Office IT & facilitiesCRMRecruiting & transitions
53
HFG WEALTH MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$406.1M RAUM · 4 reps · 832-585-0110 · hfgwm.com
Office IT & facilitiesCRMRecruiting & transitions
53
NORTHWEST WEALTH MANAGEMENT, LLC added office(s): 10 -> 11 additional locations. IAPD ↗
$717.8M RAUM · 17 reps · 877-207-0994
Office IT & facilitiesCRMRecruiting & transitions
53
EAGLE'S VIEW CAPITAL MANAGEMENT LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$415.0M RAUM · 3 reps · 212-421-7300 · evhedge.com
Office IT & facilitiesCRMRecruiting & transitions
53
FSA INVESTMENT GROUP, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$598.2M RAUM · 9 reps · (850) 696-1550
Office IT & facilitiesCRMRecruiting & transitions
53
LAZARI CAPITAL MANAGEMENT, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$471.1M RAUM · 8 reps · 818-264-0610 · lazaricapital.com
Office IT & facilitiesCRMRecruiting & transitions
53
CERTIOR FINANCIAL GROUP, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$363.9M RAUM · 7 reps · 610-783-7010
Office IT & facilitiesCRMRecruiting & transitions
53
FAMILYWEALTH added office(s): 8 -> 9 additional locations. IAPD ↗
$316.3M RAUM · 12 reps · (866) 746-3743
Office IT & facilitiesCRMRecruiting & transitions
53
PRACTICE FINANCIAL GROUP added office(s): 3 -> 4 additional locations. IAPD ↗
$295.4M RAUM · 6 reps · (541) 973-2602 · practicefinancialgroup.com
Office IT & facilitiesCRMRecruiting & transitions
53
TRUEWEALTH ADVISORS, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$355.9M RAUM · 12 reps · 205-588-4800
Office IT & facilitiesCRMRecruiting & transitions
53
CATALYST PRIVATE WEALTH, LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$306.7M RAUM · 5 reps · 415-887-1430
Office IT & facilitiesCRMRecruiting & transitions
53
TACTIVE ADVISORS, LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$405.8M RAUM · 0 reps · 855-282-2848 · pcliftonfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
BOS ASSET MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$747.3M RAUM · 7 reps · 833-943-8090 · bosassetmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
53
SMART WEALTH, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$302.9M RAUM · 12 reps · 402-369-7777
Office IT & facilitiesCRMRecruiting & transitions
53
PARK EDGE ADVISORS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$460.2M RAUM · 5 reps · (216) 727-0144 · parkedgeadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
49 FINANCIAL added office(s): 8 -> 9 additional locations. IAPD ↗
$566.2M RAUM · 74 reps · 214-563-1190
Office IT & facilitiesCRMRecruiting & transitions
53
NOBLE WEALTH MANAGEMENT P.B.C. added office(s): 0 -> 1 additional locations. IAPD ↗
$329.6M RAUM · 4 reps · 303-325-3061 · mynoblewealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
TWIN PEAKS WEALTH ADVISORS added office(s): 8 -> 9 additional locations. IAPD ↗
$318.5M RAUM · 7 reps · (650) 200-0308 · twinpwa.com
Office IT & facilitiesCRMRecruiting & transitions
53
DOWNTOWN WEALTH STUDIOS, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$886.3M RAUM · 4 reps · 888-240-2737 · dtwn.co
Office IT & facilitiesCRMRecruiting & transitions
53
SYKON CAPITAL LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$292.9M RAUM · 4 reps · 914-898-3694 · sykoncapital.com
Office IT & facilitiesCRMRecruiting & transitions
53
PANORAMIC CAPITAL PARTNERS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$263.2M RAUM · 2 reps · 503-937-7420 · panoramiccp.com
Office IT & facilitiesCRMRecruiting & transitions
50
BENJAMIN SECURITIES, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$33.9M RAUM · 3 reps · 516-931-1090 · benjaminsecurities.com
Office IT & facilitiesCRMRecruiting & transitions
50
NEW CENTURY FINANCIAL GROUP, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$201.7M RAUM · 18 reps · (609)924-2049 · newcenturygroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
ARNOLD CASTELLANO AND ASSOCIATES, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$113.8M RAUM · 3 reps · 318-683-1040 · todaycpa.com
Office IT & facilitiesCRMRecruiting & transitions
50
STONECREST ADVISORS, INC. added office(s): 6 -> 8 additional locations. IAPD ↗
$133.8M RAUM · 13 reps · 866-342-1069 · stonecrestpartners.com
Office IT & facilitiesCRMRecruiting & transitions
50
ROI FINANCIAL added office(s): 2 -> 3 additional locations. IAPD ↗
$161.6M RAUM · 3 reps · 503-941-5925
Office IT & facilitiesCRMRecruiting & transitions
50
SAGEOAK FINANCIAL, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$129.1M RAUM · 3 reps · (918) 627-3700
Office IT & facilitiesCRMRecruiting & transitions
50
BRIGHT WEALTH MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$160.0M RAUM · 5 reps · (972) 410-6623
Office IT & facilitiesCRMRecruiting & transitions
50
TACTIVEST, LLC added office(s): 2 -> 5 additional locations. IAPD ↗
$122.3M RAUM · 1 reps · (415) 752-7311
Office IT & facilitiesCRMRecruiting & transitions
50
UPSTART WEALTH MANAGEMENT, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$248.0M RAUM · 4 reps · (415) 549-0646
Office IT & facilitiesCRMRecruiting & transitions
50
FIGURE 8 INVESTMENT STRATEGIES LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$166.4M RAUM · 4 reps · (208) 385-0078
Office IT & facilitiesCRMRecruiting & transitions
50
Q3 ADVISORS, LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$0 RAUM · 7 reps · 720-730-9892
Office IT & facilitiesCRMRecruiting & transitions
50
XYPN INVEST added office(s): 14 -> 15 additional locations. IAPD ↗
$133.3M RAUM · 15 reps · (360) 301-7579 · newleaffinancialguidance.com
Office IT & facilitiesCRMRecruiting & transitions
50
VAN CLEMENS WEALTH MANAGEMENT, LLC added office(s): 1 -> 3 additional locations. IAPD ↗
$105.9M RAUM · 16 reps · 612-758-9140 · vanclemens.com
Office IT & facilitiesCRMRecruiting & transitions
50
BRIDGES CAPITAL LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$52.2M RAUM · 1 reps · 954-271-1075
Office IT & facilitiesCRMRecruiting & transitions
50
AVANT FINANCIAL ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$126.6M RAUM · 2 reps · 512-910-2467
Office IT & facilitiesCRMRecruiting & transitions
50
PROXY WEALTH ADVISORS LLC added office(s): 6 -> 8 additional locations. IAPD ↗
$132.8M RAUM · 12 reps · 646-289-5075 · proxywealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
SUCCESS WEALTH MANAGEMENT LLC added office(s): 12 -> 13 additional locations. IAPD ↗
$40.1M RAUM · 14 reps · 724-934-8128
Office IT & facilitiesCRMRecruiting & transitions
50
BROWNLEE WEALTH MANAGEMENT added office(s): 3 -> 5 additional locations. IAPD ↗
$212.0M RAUM · 3 reps · 281-377-3170 · brownleewealthmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
50
BLACK KNIGHT WEALTH MANAGEMENT, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$163.2M RAUM · 3 reps · 972-786-6527 · blackknightwm.com
Office IT & facilitiesCRMRecruiting & transitions
50
CLEARVIEW WEALTH ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$175.4M RAUM · 2 reps · 503-400-7800 · cwa2020.com
Office IT & facilitiesCRMRecruiting & transitions
50
SYNERGY INVESTMENT MANAGEMENT LLC added office(s): 1 -> 3 additional locations. IAPD ↗
$101.6M RAUM · 10 reps · 321-203-4458
Office IT & facilitiesCRMRecruiting & transitions
50
MARYGOLD & CO. ADVISORY SERVICES, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$30,725 RAUM · 1 reps · (937) 481-1211
Office IT & facilitiesCRMRecruiting & transitions
50
ABICH FINANCIAL WEALTH MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$150.1M RAUM · 4 reps · (571) 577-9968
Office IT & facilitiesCRMRecruiting & transitions
50
INTEGRITY FINANCIAL ADVISORS, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$103.6M RAUM · 8 reps · 978-338-4830 · integrityfa.com
Office IT & facilitiesCRMRecruiting & transitions
50
HAMILTON CAPITAL PARTNERS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$215.9M RAUM · 3 reps · 678-802-4974
Office IT & facilitiesCRMRecruiting & transitions
50
THEPARTNERS WEALTH MANAGEMENT added office(s): 6 -> 11 additional locations. IAPD ↗
$172.5M RAUM · 7 reps · 800-324-3010 · centralcoastfm.com
Office IT & facilitiesCRMRecruiting & transitions
50
DISCIPLINE WEALTH SOLUTIONS, INC. added office(s): 3 -> 5 additional locations. IAPD ↗
$93.0M RAUM · 8 reps · 864-322-6046 · stahlneckergroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
PEAK RETIREMENT PLANNING, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$151.9M RAUM · 6 reps · (614) 500-4121 · peakretirementplanning.com
Office IT & facilitiesCRMRecruiting & transitions
50
SPARTA WEALTH PARTNERS added office(s): 2 -> 3 additional locations. IAPD ↗
$219.5M RAUM · 4 reps · 704-575-1148
Office IT & facilitiesCRMRecruiting & transitions
50
SCHAMBERGER, GREYLAK & UTTERBACK WEALTH MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$230.4M RAUM · 5 reps · 608-784-9100 · s-gwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
VIABLE added office(s): 0 -> 1 additional locations. IAPD ↗
$124.9M RAUM · 2 reps · 215-370-9067 · viableplans.com
Office IT & facilitiesCRMRecruiting & transitions
50
ENCOMPASS MORE ASSET MANAGEMENT LLC added office(s): 8 -> 11 additional locations. IAPD ↗
$228.5M RAUM · 43 reps · 925-272-8850 · encompassmore.com
Office IT & facilitiesCRMRecruiting & transitions
50
LONGWALL FAMILY OFFICE added office(s): 5 -> 6 additional locations. IAPD ↗
$207.4M RAUM · 5 reps · 203-209-2785
Office IT & facilitiesCRMRecruiting & transitions
50
ROSSBY FINANCIAL, LLC added office(s): 3 -> 9 additional locations. IAPD ↗
$107.3M RAUM · 8 reps · 321-209-0111
Office IT & facilitiesCRMRecruiting & transitions
50
MARIDEA WEALTH MANAGEMENT added office(s): 5 -> 7 additional locations. IAPD ↗
$25.2M RAUM · 9 reps · 269-598-0939 · marideawealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
SLP WEALTH added office(s): 14 -> 15 additional locations. IAPD ↗
$9.0M RAUM · 16 reps · (910) 315-0973 · slpwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
STIRLINGSHIRE INVESTMENTS added office(s): 0 -> 22 additional locations. IAPD ↗
$69.2M RAUM · 28 reps · 877-600-7026
Office IT & facilitiesCRMRecruiting & transitions
50
COUNTERWEIGHT PRIVATE WEALTH added office(s): 0 -> 2 additional locations. IAPD ↗
$137.0M RAUM · 2 reps · 919-726-6124
Office IT & facilitiesCRMRecruiting & transitions
50
WAYSTONE ADVISORS LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$111.0M RAUM · 2 reps · (425) 484-0045 · waystoneadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
RBT WEALTH LLC added office(s): 0 -> 3 additional locations. IAPD ↗
$0 RAUM · 4 reps · 845-567-9000
Office IT & facilitiesCRMRecruiting & transitions
50
OUTRUNNER CAPITAL, LLC added office(s): 1 -> 3 additional locations. IAPD ↗
$172.0M RAUM · 3 reps · 512-649-3192 · outrunnercapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
A&M PRIVATE WEALTH PARTNERS, LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$0 RAUM · 1 reps · 561-437-6738
Office IT & facilitiesCRMRecruiting & transitions
45
VALLEY VIEW CONSULTING LLC added office(s): 5 -> 6 additional locations. IAPD ↗institutional
$14.13B RAUM · 6 reps · (540)297-3419 · valleyviewconsultingllc.com
Office IT & facilitiesCRMRecruiting & transitions
45
SIMPLIFY ASSET MANAGEMENT INC. added office(s): 10 -> 11 additional locations. IAPD ↗institutional
$4.66B RAUM · 13 reps · 646-585-0476 · simplify.us
Office IT & facilitiesCRMRecruiting & transitions
45
MERIDIEM CAPITAL PARTNERS LP added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$1.26B RAUM · 10 reps · (469) 317-2120 · meridiemcapital.com
Office IT & facilitiesCRMRecruiting & transitions
40
CAPITAL CLIENT GROUP, INC. added office(s): 8 -> 10 additional locations. IAPD ↗institutional
$0 RAUM · 655 reps · 213-486-9200
Office IT & facilitiesCRMRecruiting & transitions
40
TOWERS WATSON INVESTMENT SERVICES, INC. added office(s): 13 -> 14 additional locations. IAPD ↗fund
$51.37B RAUM · 201 reps · 312-288-7700 · wtwco.com
Office IT & facilitiesCRMRecruiting & transitions
40
CF PRIVATE EQUITY, INC. added office(s): 4 -> 5 additional locations. IAPD ↗fund
$15.25B RAUM · 42 reps · 203-563-5000 · commonfund.org
Office IT & facilitiesCRMRecruiting & transitions
40
FRONTIER PARTNERS, INC. added office(s): 0 -> 2 additional locations. IAPD ↗institutional
$0 RAUM · 0 reps · 847-509-9860 · frontierpartners.com
Office IT & facilitiesCRMRecruiting & transitions
40
TUDOR INVESTMENT CORPORATION added office(s): 9 -> 10 additional locations. IAPD ↗fund
$63.59B RAUM · 183 reps · 203-863-6700 · tudorfunds.com
Office IT & facilitiesCRMRecruiting & transitions
40
QUONA CAPITAL MANAGEMENT LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.12B RAUM · 13 reps · 202-706-5886 · crunchbase.com
Office IT & facilitiesCRMRecruiting & transitions
40
RCF ASSET MANAGEMENT GROUP 3, LLC added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$0 RAUM · 5 reps · (310) 598-7070 · rangesummit.com
Office IT & facilitiesCRMRecruiting & transitions
40
READYSTATE ASSET MANAGEMENT added office(s): 3 -> 4 additional locations. IAPD ↗fund
$5.58B RAUM · 16 reps · 312-471-8600
Office IT & facilitiesCRMRecruiting & transitions
40
RSC INDUSTRIAL ASSET MANAGEMENT GROUP 2, LLC added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$0 RAUM · 5 reps · 310-598-7073 · rangesummit.com
Office IT & facilitiesCRMRecruiting & transitions
40
CORIENT IA LLC added office(s): 9 -> 10 additional locations. IAPD ↗fund
$4.60B RAUM · 45 reps · (786) 530-4306
Office IT & facilitiesCRMRecruiting & transitions
40
RCF ASSET MANAGEMENT GROUP 4, LLC added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$0 RAUM · 5 reps · 310-598-7070 · rangesummit.com
Office IT & facilitiesCRMRecruiting & transitions
38
RDST CAPITAL LLC added office(s): 2 -> 3 additional locations. IAPD ↗fund
$712.6M RAUM · 5 reps · 206.332.1227 · readestreet.com
Office IT & facilitiesCRMRecruiting & transitions
38
GDA LUMA CAPITAL MANAGEMENT, LP added office(s): 0 -> 1 additional locations. IAPD ↗fund
$331.9M RAUM · 13 reps · 917-312-6701 · gdaluma.com
Office IT & facilitiesCRMRecruiting & transitions
35
CHANGE GLOBAL INVESTMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$208.0M RAUM · 6 reps · 360-844-5826 · changegi.com
Office IT & facilitiesCRMRecruiting & transitions
35
RSC ASSET MANAGEMENT GROUP, LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$155.3M RAUM · 5 reps · (310) 598-7073 · rangesummit.com
Office IT & facilitiesCRMRecruiting & transitions
25
J O HAMBRO CAPITAL MANAGEMENT LIMITED added office(s): 0 -> 2 additional locations. IAPD ↗foreign
$25.22B RAUM · 45 reps · +44 20 7747 5678
Office IT & facilitiesCRMRecruiting & transitions
20
ORASIS CAPITAL added office(s): 0 -> 2 additional locations. IAPD ↗foreign
$97.0M RAUM · 2 reps · 00971558695487 · orasis-capital.com
Office IT & facilitiesCRMRecruiting & transitions
disclosure added — 53 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 1 (237 -> 238). IAPD ↗
$249.73B RAUM · 7426 reps · 800-999-2000
ComplianceMarketing & brand
55
EDWARD JONES's Item 11 disclosure-reporting entries rose by 1 (107 -> 108). IAPD ↗
$692.25B RAUM · 21219 reps · 314-515-2000 · vimeo.com
ComplianceMarketing & brand
55
GOLDMAN SACHS & CO. LLC's Item 11 disclosure-reporting entries rose by 2 (759 -> 761). IAPD ↗
$222.74B RAUM · 2406 reps · 212-902-1000
ComplianceMarketing & brand
55
RAYMOND JAMES & ASSOCIATES, INC.'s Item 11 disclosure-reporting entries rose by 4 (177 -> 181). IAPD ↗
$350.04B RAUM · 5254 reps · 727-567-1000
ComplianceMarketing & brand
55
AMERIPRISE FINANCIAL SERVICES, LLC's Item 11 disclosure-reporting entries rose by 2 (239 -> 241). IAPD ↗
$479.79B RAUM · 12518 reps · 612-671-3131
ComplianceMarketing & brand
55
LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 3 (286 -> 289). IAPD ↗
$463.48B RAUM · 27045 reps · 704-733-3300
ComplianceMarketing & brand
55
CITIGROUP GLOBAL MARKETS INC.'s Item 11 disclosure-reporting entries rose by 4 (197 -> 201). IAPD ↗
$40.52B RAUM · 4880 reps · 212-816-6000 · privatebank.citibank.com
ComplianceMarketing & brand
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 13 (480 -> 493). IAPD ↗
$1271.59B RAUM · 26251 reps · 800-637-7455
ComplianceMarketing & brand
55
PRIMERICA ADVISORS's Item 11 disclosure-reporting entries rose by 4 (24 -> 28). IAPD ↗
$8.46B RAUM · 3560 reps · 833-786-0550
ComplianceMarketing & brand
55
WELLS FARGO ADVISORS's Item 11 disclosure-reporting entries rose by 1 (320 -> 321). IAPD ↗
$154.19B RAUM · 1978 reps · 314-875-3000 · stories.wf.com
ComplianceMarketing & brand
55
FIRST HORIZON ADVISORS, INC's Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗
$12.36B RAUM · 180 reps · 1-800-213-3702 · firsthorizon.com
ComplianceMarketing & brand
55
OSAIC WEALTH, INC.'s Item 11 disclosure-reporting entries rose by 2 (63 -> 65). IAPD ↗
$94.56B RAUM · 4397 reps · 800-821-5100 · strategicallianceinc.com
ComplianceMarketing & brand
55
WESTERN INTERNATIONAL SECURITIES's Item 11 disclosure-reporting entries rose by 6 (19 -> 25). IAPD ↗
$3.69B RAUM · 245 reps · (888) 793-7717 · joinwestern.com
ComplianceMarketing & brand
55
VALIC FINANCIAL ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 2 (48 -> 50). IAPD ↗
$25.25B RAUM · 1289 reps · 866-544-4968 · corebridgefinancial.com
ComplianceMarketing & brand
55
THE PACIFIC FINANCIAL GROUP, INC.'s Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$3.73B RAUM · 22 reps · 425 451-7722
ComplianceMarketing & brand
55
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST's Item 11 disclosure-reporting entries rose by 4 (3 -> 7). IAPD ↗
$190.96B RAUM · 168 reps · 215-255-2300 · macquarieim.com
ComplianceMarketing & brand
55
CETERA INVESTMENT ADVISERS LLC's Item 11 disclosure-reporting entries rose by 3 (38 -> 41). IAPD ↗
$104.47B RAUM · 5928 reps · 310-257-7880
ComplianceMarketing & brand
55
OAKTREE CAPITAL MANAGEMENT, L.P.'s Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗
$161.48B RAUM · 277 reps · 213-830-6300
ComplianceMarketing & brand
55
FIRST TRUST ADVISORS LP's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
$210.88B RAUM · 95 reps · 630-765-8000
ComplianceMarketing & brand
55
APERIO GROUP, LLC's Item 11 disclosure-reporting entries rose by 2 (10 -> 12). IAPD ↗
$80.21B RAUM · 73 reps · 415-339-4300 · aperiogroup.com
ComplianceMarketing & brand
55
FOCUS FINANCIAL's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$5.39B RAUM · 121 reps · 651-631-8166
ComplianceMarketing & brand
55
PNC INVESTMENTS's Item 11 disclosure-reporting entries rose by 4 (18 -> 22). IAPD ↗
$23.90B RAUM · 778 reps · 800-762-6111 · pnc.com
ComplianceMarketing & brand
55
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 2 (28 -> 30). IAPD ↗
$87.37B RAUM · 3274 reps · 641-472-5100
ComplianceMarketing & brand
55
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 3 (51 -> 54). IAPD ↗
$1.69B RAUM · 118 reps · 407-254-1500
ComplianceMarketing & brand
55
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC's Item 11 disclosure-reporting entries rose by 1 (41 -> 42). IAPD ↗
$275.43B RAUM · 5773 reps · 727-567-3020
ComplianceMarketing & brand
55
MORGAN STANLEY's Item 11 disclosure-reporting entries rose by 3 (243 -> 246). IAPD ↗
$1402.43B RAUM · 13000 reps · 914-225-5510 · morganstanley.com
ComplianceMarketing & brand
55
RICHARD BERNSTEIN ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$5.24B RAUM · 8 reps · 212-692-4000
ComplianceMarketing & brand
55
TD PRIVATE CLIENT WEALTH LLC's Item 11 disclosure-reporting entries rose by 1 (19 -> 20). IAPD ↗
$4.82B RAUM · 284 reps · 877-703-9896 · td.com
ComplianceMarketing & brand
55
INTEGRATED ADVISORS NETWORK LLC's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗
$4.21B RAUM · 82 reps · 855-729-4222
ComplianceMarketing & brand
55
SPIDERROCK ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 2 (3 -> 5). IAPD ↗
$4.85B RAUM · 10 reps · (312) 847-0300 · spiderrockadvisors.com
ComplianceMarketing & brand
55
KESTRA ADVISORY SERVICES, LLC's Item 11 disclosure-reporting entries rose by 4 (29 -> 33). IAPD ↗
$48.32B RAUM · 1266 reps · 8445537872
ComplianceMarketing & brand
55
FIRST TRUST DIRECT INDEXING's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
$1.42B RAUM · 3 reps · 617-752-6010
ComplianceMarketing & brand
53
SANTORI & PETERS's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$330.3M RAUM · 4 reps · 412-373-6904
ComplianceMarketing & brand
53
DROMS STRAUSS WEALTH MANAGEMENT's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$676.2M RAUM · 6 reps · 314-862-9100 · droms-strauss.com
ComplianceMarketing & brand
53
STRATEGY ASSET MANAGERS L.L.C.'s Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$631.0M RAUM · 6 reps · 626-657-0559
ComplianceMarketing & brand
53
NPA ASSET MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 5 (4 -> 9). IAPD ↗
$882.6M RAUM · 53 reps · 201-476-0029 · nationwideplanning.com
ComplianceMarketing & brand
53
TUCKER ASSET MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 4 (7 -> 11). IAPD ↗
$476.5M RAUM · 78 reps · 303-734-1234 · tuckeram.com
ComplianceMarketing & brand
50
LIFEMARK SECURITIES CORP.'s Item 11 disclosure-reporting entries rose by 7 (12 -> 19). IAPD ↗
$246.1M RAUM · 86 reps · 585-424-5672 · lifemark.com
ComplianceMarketing & brand
50
FOUR POINTS ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗
$30.6M RAUM · 5 reps · 646-300-6129 · 4pointsadvisors.com
ComplianceMarketing & brand
50
WEALTHYX's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$74.1M RAUM · 1 reps · 888-952-7482 · saveday.com
ComplianceMarketing & brand
50
TRIBRIDGE PARTNERS FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$0 RAUM · 8 reps · 240-422-8799
ComplianceMarketing & brand
50
CURA WEALTH ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$0 RAUM · 2 reps · 312-608-8806 · curawealth.com
ComplianceMarketing & brand
45
THE VARIABLE ANNUITY LIFE INSURANCE COMPANY's Item 11 disclosure-reporting entries rose by 2 (42 -> 44). IAPD ↗institutional
$31.71B RAUM · 6 reps · 713-522-1111
ComplianceMarketing & brand
45
VEST FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗institutional
$24.38B RAUM · 10 reps · 855-979-6060
ComplianceMarketing & brand
43
BMO CAPITAL MARKETS CORP.'s Item 11 disclosure-reporting entries rose by 3 (31 -> 34). IAPD ↗institutional
$796.4M RAUM · 25 reps · (212) 605-1504 · bmocm.com
ComplianceMarketing & brand
43
NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC.'s Item 11 disclosure-reporting entries rose by 1 (9 -> 10). IAPD ↗institutional
$884.0M RAUM · 2 reps · 212-318-9300
ComplianceMarketing & brand
40
BMO ASSET MANAGEMENT CORP.'s Item 11 disclosure-reporting entries rose by 2 (6 -> 8). IAPD ↗fund
$4.25B RAUM · 4 reps · 312-461-4002
ComplianceMarketing & brand
40
GLAZER CAPITAL, LLC.'s Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$2.46B RAUM · 18 reps · 212-808-7304
ComplianceMarketing & brand
40
ADAGE CAPITAL MANAGEMENT, L.P.'s Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$51.96B RAUM · 35 reps · 617-867-2800 · adagecapital.com
ComplianceMarketing & brand
40
TZP MANAGEMENT ASSOCIATES, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$2.40B RAUM · 50 reps · 212-398-0300
ComplianceMarketing & brand
40
BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 8 (116 -> 124). IAPD ↗institutional
$0 RAUM · 314 reps · 646-743-2734 · bankofamerica.com
ComplianceMarketing & brand
40
FPA REAL ESTATE ADVISERS GROUP, LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$5.66B RAUM · 15 reps · 949-399-2500 · fpamf.com
ComplianceMarketing & brand
25
DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 2 (111 -> 113). IAPD ↗foreign
$3.45B RAUM · 20 reps · 852-2203-8888
ComplianceMarketing & brand
headcount up — 52 Advisory representative count grew materially (>=20% or >=5 reps).
85
WEALTHSPIRE ADVISORS grew from 140 to 160 advisory reps. IAPD ↗
$21.69B RAUM · 160 reps · (212) 973-1200
CRMRecruiting & transitionsComplianceFinancial planning software
85
PRIVATE ADVISOR GROUP, LLC grew from 721 to 742 advisory reps. IAPD ↗
$35.29B RAUM · 742 reps · 973-538-7010
CRMRecruiting & transitionsComplianceFinancial planning software
85
THE COLONY GROUP, LLC grew from 660 to 688 advisory reps. IAPD ↗
$21.47B RAUM · 688 reps · 617-723-8200 · debrabrede.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
THURSTON SPRINGER ADVISORS grew from 51 to 68 advisory reps. IAPD ↗
$3.96B RAUM · 68 reps · 317.581.4000 · conservationwm.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
CAPITAL RESEARCH AND MANAGEMENT COMPANY grew from 362 to 372 advisory reps. IAPD ↗
$3315.36B RAUM · 372 reps · 213-486-9200 · icanretire.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
STIRLINGSHIRE INVESTMENTS grew from 11 to 28 advisory reps. IAPD ↗
$69.2M RAUM · 28 reps · 877-600-7026
CRMRecruiting & transitionsComplianceFinancial planning software
76
MOORS & CABOT, INC grew from 67 to 73 advisory reps. IAPD ↗
$3.09B RAUM · 73 reps · 800-426-0501
CRMRecruiting & transitionsComplianceFinancial planning software
76
NEW YORK LIFE INVESTMENT MANAGEMENT LLC grew from 14 to 20 advisory reps. IAPD ↗
$109.07B RAUM · 20 reps · 888-474-7725 · reddit.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
SANCTUARY ADVISORS, LLC grew from 319 to 324 advisory reps. IAPD ↗
$22.02B RAUM · 324 reps · 317-975-7729
CRMRecruiting & transitionsComplianceFinancial planning software
75
CONFLUENCE FINANCIAL PARTNERS grew from 29 to 34 advisory reps. IAPD ↗
$3.06B RAUM · 34 reps · 724-271-8801
CRMRecruiting & transitionsComplianceFinancial planning software
75
CONCURRENT INVESTMENT ADVISORS, LLC grew from 126 to 131 advisory reps. IAPD ↗
$6.26B RAUM · 131 reps · (813) 575-2652 · stamperwealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
74
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC grew from 8 to 14 advisory reps. IAPD ↗
$563.8M RAUM · 14 reps · 719-478-7036
CRMRecruiting & transitionsComplianceFinancial planning software
73
WOLF GROUP CAPITAL ADVISORS grew from 6 to 11 advisory reps. IAPD ↗
$526.8M RAUM · 11 reps · (703) 652-6255
CRMRecruiting & transitionsComplianceFinancial planning software
71
LAZARI CAPITAL MANAGEMENT, INC. grew from 5 to 8 advisory reps. IAPD ↗
$471.1M RAUM · 8 reps · 818-264-0610 · lazaricapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
CAPITAL CLIENT GROUP, INC. grew from 494 to 655 advisory reps. IAPD ↗institutional
$0 RAUM · 655 reps · 213-486-9200
CRMRecruiting & transitionsComplianceFinancial planning software
70
LIGHTHOUSE INVESTMENT PARTNERS, LLC grew from 124 to 171 advisory reps. IAPD ↗fund
$74.15B RAUM · 171 reps · 561-741-0820
CRMRecruiting & transitionsComplianceFinancial planning software
70
GAUGE CAPITAL grew from 35 to 61 advisory reps. IAPD ↗fund
$3.34B RAUM · 61 reps · 682-334-5800
CRMRecruiting & transitionsComplianceFinancial planning software
70
TSFG, LLC grew from 9 to 11 advisory reps. IAPD ↗
$649.1M RAUM · 11 reps · 847-735-7100
CRMRecruiting & transitionsComplianceFinancial planning software
70
GOLDSTONE FINANCIAL GROUP, LLC grew from 10 to 12 advisory reps. IAPD ↗
$662.4M RAUM · 12 reps · 630-620-9300 · goldstonefinancialgroup.net
CRMRecruiting & transitionsComplianceFinancial planning software
70
WEALTH DIMENSIONS FAMILY OFFICE, INC grew from 9 to 11 advisory reps. IAPD ↗
$583.8M RAUM · 11 reps · (513) 945-1030
CRMRecruiting & transitionsComplianceFinancial planning software
70
SYNERGY INVESTMENT MANAGEMENT LLC grew from 5 to 10 advisory reps. IAPD ↗
$101.6M RAUM · 10 reps · 321-203-4458
CRMRecruiting & transitionsComplianceFinancial planning software
70
DISCIPLINE WEALTH SOLUTIONS, INC. grew from 3 to 8 advisory reps. IAPD ↗
$93.0M RAUM · 8 reps · 864-322-6046 · stahlneckergroup.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
JAIN GLOBAL LLC grew from 35 to 103 advisory reps. IAPD ↗fund
$5.91B RAUM · 103 reps · 212-671-4011 · jainglobal.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
TOPSAIL WEALTH MANAGEMENT LLC grew from 1 to 3 advisory reps. IAPD ↗
$875.7M RAUM · 3 reps · 980-308-9901 · topsailwealthmanagement.com
CRMRecruiting & transitionsComplianceFinancial planning software
69
WEALTH MORE ENTERPRISE, INC. grew from 2 to 6 advisory reps. IAPD ↗
$115,332 RAUM · 6 reps · 888-303-6361 · hellowealthmore.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
MINDORO CAPITAL PARTNERS LLC grew from 3 to 6 advisory reps. IAPD ↗
$100.2M RAUM · 6 reps · (617) 214-2313 · mindoro.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
CF PRIVATE EQUITY, INC. grew from 30 to 42 advisory reps. IAPD ↗fund
$15.25B RAUM · 42 reps · 203-563-5000 · commonfund.org
CRMRecruiting & transitionsComplianceFinancial planning software
67
HENDERSHOTT WEALTH MANAGEMENT, LLC grew from 3 to 5 advisory reps. IAPD ↗
$169.3M RAUM · 5 reps · 877-743-6500 · hilaryhendershottwealthmanagement.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
SAS FINANCIAL ADVISORS, LLC. grew from 3 to 5 advisory reps. IAPD ↗
$133.7M RAUM · 5 reps · 415-277-5955 · sasadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
WISDOM CAPITAL ASSET MANAGEMENT, LLC grew from 1 to 3 advisory reps. IAPD ↗
$52.8M RAUM · 3 reps · (646) 450-3794 · wisdom-cap.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
PRESTIGE WEALTHWIDE, LLC grew from 3 to 5 advisory reps. IAPD ↗
$207.7M RAUM · 5 reps · 720-449-3656
CRMRecruiting & transitionsComplianceFinancial planning software
67
MARIDEA WEALTH MANAGEMENT grew from 7 to 9 advisory reps. IAPD ↗
$25.2M RAUM · 9 reps · 269-598-0939 · marideawealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
LEGACY CAPITAL grew from 1 to 3 advisory reps. IAPD ↗
$181.5M RAUM · 3 reps · (281) 595-1996 · lead-a-legacy.com
CRMRecruiting & transitionsComplianceFinancial planning software
63
FISHER RETIREMENT SOLUTIONS LLC grew from 1 to 4 advisory reps. IAPD ↗institutional
$4.90B RAUM · 4 reps · 650-350-5254
CRMRecruiting & transitionsComplianceFinancial planning software
63
AGILE INVESTMENT MANAGEMENT, LLC grew from 1 to 6 advisory reps. IAPD ↗institutional
$540.0M RAUM · 6 reps · 917-969-8982
CRMRecruiting & transitionsComplianceFinancial planning software
62
BRIGHAM MANAGEMENT, LLC grew from 9 to 18 advisory reps. IAPD ↗fund
$855.7M RAUM · 18 reps · 512-871-1001 · brighamexploration.com
CRMRecruiting & transitionsComplianceFinancial planning software
61
WHITEBARK INVESTORS grew from 1 to 4 advisory reps. IAPD ↗institutional
$333.3M RAUM · 4 reps · 212-468-5131
CRMRecruiting & transitionsComplianceFinancial planning software
60
PALISADE INFRASTRUCTURE grew from 2 to 4 advisory reps. IAPD ↗institutional
$354.4M RAUM · 4 reps · (914) 886 7452 · palisadeinfrastructure.com
CRMRecruiting & transitionsComplianceFinancial planning software
60
MAIN CAPITAL PARTNERS NORTH AMERICA LLC grew from 4 to 6 advisory reps. IAPD ↗institutional
$370.8M RAUM · 6 reps · 617-207-4175
CRMRecruiting & transitionsComplianceFinancial planning software
59
NASSAU GLOBAL CREDIT LLC grew from 14 to 18 advisory reps. IAPD ↗fund
$8.39B RAUM · 18 reps · (646) 630-8376 · ngc.nfg.com
CRMRecruiting & transitionsComplianceFinancial planning software
58
RCF ASSET MANAGEMENT GROUP 3, LLC grew from 2 to 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · (310) 598-7070 · rangesummit.com
CRMRecruiting & transitionsComplianceFinancial planning software
58
RSC INDUSTRIAL ASSET MANAGEMENT GROUP 2, LLC grew from 2 to 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 310-598-7073 · rangesummit.com
CRMRecruiting & transitionsComplianceFinancial planning software
58
RCF ASSET MANAGEMENT GROUP 4, LLC grew from 2 to 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 310-598-7070 · rangesummit.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
IFM INVESTORS PTY LTD grew from 114 to 189 advisory reps. IAPD ↗foreign
$143.91B RAUM · 189 reps · 61 1300 651 607
CRMRecruiting & transitionsComplianceFinancial planning software
53
GREE CAPITAL PARTNERS, LLC grew from 4 to 7 advisory reps. IAPD ↗fund
$172.1M RAUM · 7 reps · 415-302-1431 · gfrfund.com
CRMRecruiting & transitionsComplianceFinancial planning software
53
RSC ASSET MANAGEMENT GROUP, LLC grew from 2 to 5 advisory reps. IAPD ↗fund
$155.3M RAUM · 5 reps · (310) 598-7073 · rangesummit.com
CRMRecruiting & transitionsComplianceFinancial planning software
52
POLUS CAPITAL MANAGEMENT LIMITED grew from 23 to 35 advisory reps. IAPD ↗foreign
$4.28B RAUM · 35 reps · 44-20-7259-4800 · poluscapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
52
SCIENCE & TECHNOLOGY PARTNERS, L.P. grew from 1 to 3 advisory reps. IAPD ↗fund
$227.3M RAUM · 3 reps · 212-306-2600 · sandtpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
45
GRAND ALLIANCE ASSET MANAGEMENT LTD. grew from 22 to 27 advisory reps. IAPD ↗foreign
$2.21B RAUM · 27 reps · (852) 3852 6351 · gaamhk.com
CRMRecruiting & transitionsComplianceFinancial planning software
44
IVYROCK ASSET MANAGEMENT (HK) LIMITED grew from 3 to 7 advisory reps. IAPD ↗foreign
$1.02B RAUM · 7 reps · +852 2620 0482
CRMRecruiting & transitionsComplianceFinancial planning software
42
AIKYA INVESTMENT MANAGEMENT LIMITED grew from 9 to 11 advisory reps. IAPD ↗foreign
$1.58B RAUM · 11 reps · +44 20 3965 4392 · aikya.co.uk
CRMRecruiting & transitionsComplianceFinancial planning software
40
KING RIVER CAPITAL MANAGEMENT PTY LTD grew from 8 to 10 advisory reps. IAPD ↗foreign
$425.6M RAUM · 10 reps · 61 417 637 684
CRMRecruiting & transitionsComplianceFinancial planning software
deregistered — 51 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
NEW PARAGON, LLC (SHAKER HEIGHTS, OH) left the SEC roster (was $1.00B RAUM, 10 reps). IAPD ↗
$1.00B RAUM · 10 reps · 216-491-3990 · paragonadvisors.net
Recruiting & transitionsM&A & valuation
65
WEALTHSPIRE ADVISORS (SAN RAFAEL, CA) left the SEC roster (was $2.82B RAUM, 21 reps). IAPD ↗
$2.82B RAUM · 21 reps · 415-526-2900 · wealthspire.com
Recruiting & transitionsM&A & valuation
65
REGIS MANAGEMENT COMPANY, LLC (MENLO PARK, CA) left the SEC roster (was $1.35B RAUM, 6 reps). IAPD ↗
$1.35B RAUM · 6 reps · 650-838-1030 · regisllc.com
Recruiting & transitionsM&A & valuation
65
IFAM CAPITAL (FORT COLLINS, CO) left the SEC roster (was $1.71B RAUM, 6 reps). IAPD ↗
$1.71B RAUM · 6 reps · 970-530-5021
Recruiting & transitionsM&A & valuation
65
ICA GROUP WEALTH MANAGEMENT, LLC (DENVER, CO) left the SEC roster (was $1.16B RAUM, 45 reps). IAPD ↗
$1.16B RAUM · 45 reps · 720-758-8000 · dunniganfinancial.com
Recruiting & transitionsM&A & valuation
63
KARPAS STRATEGIES LLC (LITCHFIELD, CT) left the SEC roster (was $401.2M RAUM, 2 reps). IAPD ↗
$401.2M RAUM · 2 reps · 212-223-7280 · karpasstrategies.com
Recruiting & transitionsM&A & valuation
63
CAUSEY DEMGEN & MOORE P.C. (DENVER, CO) left the SEC roster (was $436.0M RAUM, 9 reps). IAPD ↗
$436.0M RAUM · 9 reps · 303-296-2229 · cdmcpa.com
Recruiting & transitionsM&A & valuation
63
FMF&E WEALTH MANAGEMENT, LLC (SYRACUSE, NY) left the SEC roster (was $357.6M RAUM, 3 reps). IAPD ↗
$357.6M RAUM · 3 reps · 315-472-7045 · fmfewealthmgt.com
Recruiting & transitionsM&A & valuation
63
WALPOLE FINANCIAL ADVISORS, LLC (GOLETA, CA) left the SEC roster (was $280.5M RAUM, 6 reps). IAPD ↗
$280.5M RAUM · 6 reps · 805-845-6587 · walpoleadvisors.com
Recruiting & transitionsM&A & valuation
63
SLOAN INVESTMENT MANAGEMENT, L.L.C. (DALLAS, TX) left the SEC roster (was $716.2M RAUM, 3 reps). IAPD ↗
$716.2M RAUM · 3 reps · 214-720-7500 · sloanim.com
Recruiting & transitionsM&A & valuation
63
FIDUCIARY WEALTH MANAGEMENT, LLC (RESTON, VA) left the SEC roster (was $451.6M RAUM, 4 reps). IAPD ↗
$451.6M RAUM · 4 reps · 703-242-1231
Recruiting & transitionsM&A & valuation
63
HERR INVESTMENT GROUP LLC (location n/a) left the SEC roster (was $747.6M RAUM, 4 reps). IAPD ↗
$747.6M RAUM · 4 reps · 312-971-7800 · herrinvest.com
Recruiting & transitionsM&A & valuation
60
RUBICON WEALTH MANAGEMENT, LLC (BLUE BELL, PA) left the SEC roster (was $231.1M RAUM, 1 reps). IAPD ↗
$231.1M RAUM · 1 reps · 610-668-4615 · rubiconwealth.com
Recruiting & transitionsM&A & valuation
60
TREGER & ASSOCIATES (location n/a) left the SEC roster (was $130.0M RAUM, 2 reps). IAPD ↗
$130.0M RAUM · 2 reps · 540-464-1418
Recruiting & transitionsM&A & valuation
60
WUNDERLICH CAPITAL MANAGEMENT (MEMPHIS, TN) left the SEC roster (was $231.4M RAUM, 1 reps). IAPD ↗
$231.4M RAUM · 1 reps · 901-251-1343
Recruiting & transitionsM&A & valuation
60
HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC. (VENTURA, CA) left the SEC roster (was $25.1M RAUM, 2 reps). IAPD ↗
$25.1M RAUM · 2 reps · 805-648-5300 · hoffmanwm.com
Recruiting & transitionsM&A & valuation
60
BOSTON MOUNTAIN MONEY MANAGEMENT, INC. (BENTONVILLE, AR) left the SEC roster (was $196.4M RAUM, 2 reps). IAPD ↗
$196.4M RAUM · 2 reps · (479) 657-6940 · bostonmmm.com
Recruiting & transitionsM&A & valuation
60
BFG WEALTH (EDMOND, OK) left the SEC roster (was $182.4M RAUM, 3 reps). IAPD ↗
$182.4M RAUM · 3 reps · 405-341-9245 · bfgwealth.net
Recruiting & transitionsM&A & valuation
60
PUSHKIN ADVISORY GROUP, LLC (location n/a) left the SEC roster (was $36.7M RAUM, 1 reps). IAPD ↗
$36.7M RAUM · 1 reps · 315-269-2828
Recruiting & transitionsM&A & valuation
60
PARROTT WEALTH MANAGEMENT, LLC (location n/a) left the SEC roster (was $184.5M RAUM, 2 reps). IAPD ↗
$184.5M RAUM · 2 reps · 719-440-2662 · parrottwealth.com
Recruiting & transitionsM&A & valuation
60
PLEASANT STREET WEALTH ADVISORS, LLC (location n/a) left the SEC roster (was $113.4M RAUM, 2 reps). IAPD ↗
$113.4M RAUM · 2 reps · (978) 732-3115
Recruiting & transitionsM&A & valuation
60
PHASE LINE CAPITAL, LLC (ATLANTA, GA) left the SEC roster (was $34.0M RAUM, 2 reps). IAPD ↗
$34.0M RAUM · 2 reps · 404-806-9505 · phaselinecapital.com
Recruiting & transitionsM&A & valuation
60
ENVEL (BOSTON, MA) left the SEC roster (was $35,868 RAUM, 0 reps). IAPD ↗
$35,868 RAUM · 0 reps · (202) 374-8391 · envel.ai
Recruiting & transitionsM&A & valuation
60
LION TRADING (BOALSBURG, PA) left the SEC roster (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · 814-280-6319 · ltpro.co
Recruiting & transitionsM&A & valuation
60
PROXY INTERNATIONAL (NEW YORK, NY) left the SEC roster (was $26.4M RAUM, 1 reps). IAPD ↗
$26.4M RAUM · 1 reps · 646-328-9856
Recruiting & transitionsM&A & valuation
60
MEASURED (NEW YORK, NY) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · (323) 788-8474 · measuredhq.com
Recruiting & transitionsM&A & valuation
60
SHARE (location n/a) left the SEC roster (was $200,000 RAUM, 1 reps). IAPD ↗
$200,000 RAUM · 1 reps · (914) 677-1039 · tryshare.app
Recruiting & transitionsM&A & valuation
60
WEALTH STRATEGIES GROUP (NEWPORT BEACH, CA) left the SEC roster — its 120-day provisional registration did not convert (was $16.3M RAUM, 2 reps). IAPD ↗
$16.3M RAUM · 2 reps · 888-848-4144
Recruiting & transitionsM&A & valuation
60
LASHLEY WEALTH MANAGEMENT (SARASOTA, FL) left the SEC roster — its 120-day provisional registration did not convert (was $61.8M RAUM, 1 reps). IAPD ↗
$61.8M RAUM · 1 reps · 913 338-2400
Recruiting & transitionsM&A & valuation
60
MENDOZA PRIVATE WEALTH (MIAMI, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 305-503-5133 · mendozaprivatewealth.com
Recruiting & transitionsM&A & valuation
60
YIELD WEALTH LTD. (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 770.823.7211
Recruiting & transitionsM&A & valuation
60
UPSTREAM LIFE WEALTH MANAGEMENT LLC (OXFORD, MS) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 6628011029
Recruiting & transitionsM&A & valuation
60
MONOLITH HOLDINGS, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 347-276-8518
Recruiting & transitionsM&A & valuation
60
PRESCOTT TAX AND WEALTH MANAGEMENT (SAN JUAN CAPISTRANO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 949-248-9815 · prescott500.com
Recruiting & transitionsM&A & valuation
50
CORNERSTONE CAPITAL CORP. (NEW YORK, NY) left the SEC roster (was $82.7M RAUM, 1 reps). IAPD ↗institutional
$82.7M RAUM · 1 reps · 212-641-3200
Recruiting & transitionsM&A & valuation
50
ROSEMOUNT CAPITAL LLC (NEW YORK, NY) left the SEC roster (was $82.7M RAUM, 1 reps). IAPD ↗institutional
$82.7M RAUM · 1 reps · 212-641-3200
Recruiting & transitionsM&A & valuation
50
FOUR WOOD CAPITAL ADVISORS (MONTCLAIR, NJ) left the SEC roster (was $125.0M RAUM, 0 reps). IAPD ↗institutional
$125.0M RAUM · 0 reps · 212-300-7006 · fourwoodcapital.com
Recruiting & transitionsM&A & valuation
50
NGC CAPITAL MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $2.24B RAUM, 8 reps). IAPD ↗fund
$2.24B RAUM · 8 reps · (646) 630-8376 · ngc.nfg.com
Recruiting & transitionsM&A & valuation
50
DUALITY GROUP (MIAMI, FL) left the SEC roster (was $1.36B RAUM, 9 reps). IAPD ↗fund
$1.36B RAUM · 9 reps · 646-690-9960 · dualitygroup.com
Recruiting & transitionsM&A & valuation
50
SHIKHARA INVESTMENT MANAGEMENT LP (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 646-809-5433 · shikhara.com
Recruiting & transitionsM&A & valuation
50
POP VENTURE ADVISERS LLC (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 917-693-2798
Recruiting & transitionsM&A & valuation
48
NEW FALMOUTH, LLC (SHAKER HEIGHTS, OH) left the SEC roster (was $519.1M RAUM, 0 reps). IAPD ↗fund
$519.1M RAUM · 0 reps · 216-491-3990 · corient.com
Recruiting & transitionsM&A & valuation
48
AMHERST ADVISORY & MANAGEMENT LLC (AUSTIN, TX) left the SEC roster (was $418.8M RAUM, 1 reps). IAPD ↗fund
$418.8M RAUM · 1 reps · 512-342-3080
Recruiting & transitionsM&A & valuation
48
B-29 ADVISORS, LLC (ADDISON, TX) left the SEC roster (was $348.1M RAUM, 5 reps). IAPD ↗fund
$348.1M RAUM · 5 reps · (940) 612-5341
Recruiting & transitionsM&A & valuation
48
SAHANA CAPITAL MANAGEMENT LP (GREENWICH, CT) left the SEC roster (was $708.8M RAUM, 4 reps). IAPD ↗fund
$708.8M RAUM · 4 reps · (203) 489-7092 · sahanacapital.com
Recruiting & transitionsM&A & valuation
45
1623 CAPITAL LLC (ALEXANDRIA, VA) left the SEC roster (was $202.2M RAUM, 2 reps). IAPD ↗fund
$202.2M RAUM · 2 reps · 703-832-8232
Recruiting & transitionsM&A & valuation
45
MCP ADVISERS, LLC (ATLANTA, GA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · 404-239-2222
Recruiting & transitionsM&A & valuation
45
A.P. GILFOYLE MANAGEMENT & RESEARCH COMPANY, L.L.C. (NEW YORK, NY) left the SEC roster (was $1.9M RAUM, 2 reps). IAPD ↗fund
$1.9M RAUM · 2 reps · 212-529-4550 · apgilfoyle.com
Recruiting & transitionsM&A & valuation
35
ONEX CANADA ASSET MANAGEMENT INC. (TORONTO ON, Canada) left the SEC roster (was $2.19B RAUM, 16 reps). IAPD ↗foreign
$2.19B RAUM · 16 reps · 416-681-6000 · onex.com
Recruiting & transitionsM&A & valuation
35
INNOCAP INVESTMENT MANAGEMENT INC. (MONTREAL, Canada) left the SEC roster (was $2.59B RAUM, 6 reps). IAPD ↗foreign
$2.59B RAUM · 6 reps · 514-412-1052 · innocap.com
Recruiting & transitionsM&A & valuation
30
SCOTT INVESTMENT PARTNERS (HENLEY-ON-THAMES, United Kingdom) left the SEC roster (was $51.8M RAUM, 4 reps). IAPD ↗foreign
$51.8M RAUM · 4 reps · +44 (0) 1491 412 172 · scottinvestment.com
Recruiting & transitionsM&A & valuation
pending approved — 49 120-day provisional registration became a full approval.
73
SOLANO WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$343.9M RAUM · 4 reps · (707) 435-8400 · solanowealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
503 CAPITAL PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗
$382.0M RAUM · 10 reps · 913-279-0177 · 503capitalpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
VERIDAN WEALTH's provisional registration is now fully approved. IAPD ↗
$288.9M RAUM · 4 reps · 503-946-9733 · veridanwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
PARR MCKNIGHT WEALTH MANAGEMENT GROUP's provisional registration is now fully approved. IAPD ↗
$949.2M RAUM · 7 reps · 612-324-0235 · parrmcknightwmg.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
BRISTOL WEALTH GROUP's provisional registration is now fully approved. IAPD ↗
$754.4M RAUM · 5 reps · (508) 738-6248 · bristolcountysavings.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ALLEGIANT WEALTH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$393.1M RAUM · 1 reps · (918) 623-4500 · allegiantwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
IMPACT RETIREMENT ADVISORS's provisional registration is now fully approved. IAPD ↗
$625.7M RAUM · 2 reps · 507-581-6131
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
SOUTHERN EQUITY ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$389.2M RAUM · 2 reps · 877-240-9233 · southernequity.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
CARRERA CAPITAL ADVISORS's provisional registration is now fully approved. IAPD ↗
$617.3M RAUM · 6 reps · 248-362-5009
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
TOPSAIL WEALTH MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$875.7M RAUM · 3 reps · 980-308-9901 · topsailwealthmanagement.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
GUILBAULT CAPITAL's provisional registration is now fully approved. IAPD ↗
$313.0M RAUM · 1 reps · 504-612-9250 · guilbaultcapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
PANORAMIC CAPITAL PARTNERS LLC's provisional registration is now fully approved. IAPD ↗
$263.2M RAUM · 2 reps · 503-937-7420 · panoramiccp.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
FOUNDERS GROVE WEALTH PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗
$423.2M RAUM · 2 reps · (804) 910-0001 · fgwp.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
PARKWOODS WEALTH PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗
$403.5M RAUM · 3 reps · 315-757-1100 · parkwoodswealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
WEALTH MORE ENTERPRISE, INC.'s provisional registration is now fully approved. IAPD ↗
$115,332 RAUM · 6 reps · 888-303-6361 · hellowealthmore.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TRUVIUS's provisional registration is now fully approved. IAPD ↗
$37,574 RAUM · 2 reps · 617-518-5423 · truvius.io
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CAVALCADE CAPITAL LLC's provisional registration is now fully approved. IAPD ↗
$138.0M RAUM · 1 reps · 212-287-7727 · cavalcade.capital
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SPHINX INVESTMENTS LLC's provisional registration is now fully approved. IAPD ↗
$12.6M RAUM · 1 reps · 833-247-7833 · sphinx.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
1015 CAPITAL PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗
$101.7M RAUM · 2 reps · 610-574-7036 · 1015capitalpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MINDORO CAPITAL PARTNERS LLC's provisional registration is now fully approved. IAPD ↗
$100.2M RAUM · 6 reps · (617) 214-2313 · mindoro.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FIRST FINANCIAL SERVICES, LLC's provisional registration is now fully approved. IAPD ↗
$103.9M RAUM · 4 reps · 501-666-0302 · firstfinservices.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FUTUREMONEY RIA's provisional registration is now fully approved. IAPD ↗
$9,500 RAUM · 1 reps · 603-812-0108
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
WHALE's provisional registration is now fully approved. IAPD ↗
$229,407 RAUM · 1 reps · 8884887104 · getwhale.co
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BASSAM WEALTH MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$192.2M RAUM · 1 reps · (561) 231-5642 · bassamwealthmanagement.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
KETRON FINANCIAL LLC's provisional registration is now fully approved. IAPD ↗
$109.5M RAUM · 2 reps · 415-892-0928
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
INTEGRITY WEALTH LLC's provisional registration is now fully approved. IAPD ↗
$238.8M RAUM · 3 reps · (541) 650-6061 · integritywealthnw.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PACIFIC WEALTH ADVISORY SERVICES LLC's provisional registration is now fully approved. IAPD ↗
$101.9M RAUM · 1 reps · 925-838-7567
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
GULFSTREAM ASSET MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$34.4M RAUM · 1 reps · 786-512-1989
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BONA FIDE WEALTH's provisional registration is now fully approved. IAPD ↗
$100.9M RAUM · 1 reps · 512-636-5747 · bonafide-wealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
THE KIECKHEFER GROUP's provisional registration is now fully approved. IAPD ↗
$168.0M RAUM · 2 reps · 4147043826 · kieckhefergroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
DOUGLASS INVESTMENT GROUP's provisional registration is now fully approved. IAPD ↗
$162.0M RAUM · 2 reps · 316-854-8495 · douglassgroup.net
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ZERO DAY CAPITAL ENTERPRISES LLC's provisional registration is now fully approved. IAPD ↗
$35.0M RAUM · 1 reps · (617) 800-0388
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
OSPREY PRIVATE WEALTH LLC's provisional registration is now fully approved. IAPD ↗
$158.8M RAUM · 1 reps · 646-445-5107
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
OUTRUNNER CAPITAL, LLC's provisional registration is now fully approved. IAPD ↗
$172.0M RAUM · 3 reps · 512-649-3192 · outrunnercapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
917 ADVISORY SERVICES LLC's provisional registration is now fully approved. IAPD ↗
$113.9M RAUM · 2 reps · 509-328-5627 · johnschram.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ROUTE 20 PRIVATE WEALTH INC.'s provisional registration is now fully approved. IAPD ↗
$0 RAUM · 2 reps · 561-843-4678 · route20wealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
65
MERIDIEM CAPITAL PARTNERS LP's provisional registration is now fully approved. IAPD ↗institutional
$1.26B RAUM · 10 reps · (469) 317-2120 · meridiemcapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
65
VENERABLE INVESTMENT ADVISERS, LLC's provisional registration is now fully approved. IAPD ↗institutional
$9.71B RAUM · 2 reps · 610-249-2916
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
65
BLUE OWL INSURANCE SOLUTIONS's provisional registration is now fully approved. IAPD ↗institutional
$20.77B RAUM · 30 reps · (212) 419-3000
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
WHITEBARK INVESTORS's provisional registration is now fully approved. IAPD ↗institutional
$333.3M RAUM · 4 reps · 212-468-5131
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
AGILE INVESTMENT MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗institutional
$540.0M RAUM · 6 reps · 917-969-8982
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
ACADIA INFRASTRUCTURE CAPITAL LP's provisional registration is now fully approved. IAPD ↗institutional
$107.4M RAUM · 9 reps · 6464992075 · acadiainfrastructure.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
TWIN OAK ETF COMPANY's provisional registration is now fully approved. IAPD ↗institutional
$10.2M RAUM · 2 reps · 617-402-5495
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
ORG PARTNERS ASSET MANAGEMENT's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 1 reps · 214-440-3909
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
KIAN CAPITAL PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗fund
$263.3M RAUM · 15 reps · 704-943-2500
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
CCS PARTNERS LLC's provisional registration is now fully approved. IAPD ↗fund
$105.9M RAUM · 6 reps · 212 224-9400 · ccs-partners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
CAPZONE MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗fund
$208.0M RAUM · 2 reps · 646-580-3195
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
SCIENCE & TECHNOLOGY PARTNERS, L.P.'s provisional registration is now fully approved. IAPD ↗fund
$227.3M RAUM · 3 reps · 212-306-2600 · sandtpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
SLG CAPITAL MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗fund
$25.0M RAUM · 20 reps · 212-594-2700
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
relocation — 43 Main office moved to a different city or state.
50
FIRST PACIFIC ADVISORS, LP moved its main office from LOS ANGELES, CA to EL SEGUNDO, CA. IAPD ↗
$24.80B RAUM · 21 reps · 800-982-4372 · fpafunds.com
Office IT & facilitiesMarketing & brand
50
GLADSTONE WEALTH PARTNERS moved its main office from BOCA RATON, FL to PALM BEACH GARDENS, FL. IAPD ↗
$4.00B RAUM · 104 reps · (908)-719-1313
Office IT & facilitiesMarketing & brand
48
SANTORI & PETERS moved its main office from MONROEVILLE, PA to CANONSBURG, PA. IAPD ↗
$330.3M RAUM · 4 reps · 412-373-6904
Office IT & facilitiesMarketing & brand
48
TRUST ADVISORY GROUP LTD moved its main office from READING, MA to BIRMINGHAM, AL. IAPD ↗
$560.4M RAUM · 41 reps · 800-292-2411 · coromandelwm.com
Office IT & facilitiesMarketing & brand
48
WHITE PINE CAPITAL LLC moved its main office from GOLDEN VALLEY, MN to BLOOMINGTON, MN. IAPD ↗
$324.8M RAUM · 3 reps · 612-376-9765 · whitepinecapital.com
Office IT & facilitiesMarketing & brand
48
IMA ADVISORY SERVICES, INC. moved its main office from WICHITA, KS to DENVER, CO. IAPD ↗
$911.6M RAUM · 19 reps · 316-266-6574
Office IT & facilitiesMarketing & brand
48
ROBINSON SMITH WEALTH ADVISORS, LLC moved its main office from PORTLAND, ME to SOUTH PORTLAND, ME. IAPD ↗
$334.3M RAUM · 5 reps · 207-874-9840
Office IT & facilitiesMarketing & brand
48
MINNEAPOLIS PORTFOLIO MANAGEMENT GROUP, LLC moved its main office from MINNEAPOLIS, MN to WAYZATA, MN. IAPD ↗
$889.0M RAUM · 3 reps · (612) 334-2000
Office IT & facilitiesMarketing & brand
48
NAMCOA moved its main office from NAPLES, FL to MOORESVILLE, NC. IAPD ↗
$277.7M RAUM · 17 reps · (239) 593-5525 · flretire.com
Office IT & facilitiesMarketing & brand
48
REGIS METRO ASSOCIATES, INC. moved its main office from LOS ANGELES, CA to SAN FRANCISCO, CA. IAPD ↗
$779.6M RAUM · 3 reps · 415-421-0500
Office IT & facilitiesMarketing & brand
48
AUOUR INVESTMENTS LLC moved its main office from WENHAM, MA to WOBURN, MA. IAPD ↗
$317.0M RAUM · 4 reps · 978-338-4830 · auour.com
Office IT & facilitiesMarketing & brand
48
CATALYST PRIVATE WEALTH, LLC moved its main office from SAN FRANCISCO, CA to SAN MATEO, CA. IAPD ↗
$306.7M RAUM · 5 reps · 415-887-1430
Office IT & facilitiesMarketing & brand
48
BR CAPITAL moved its main office from MIAMI, FL to CORAL GABLES, FL. IAPD ↗
$350.4M RAUM · 1 reps · 305-448-0014
Office IT & facilitiesMarketing & brand
45
BENJAMIN SECURITIES, INC. moved its main office from PENSACOLA, FL to ALBANY, NY. IAPD ↗
$33.9M RAUM · 3 reps · 516-931-1090 · benjaminsecurities.com
Office IT & facilitiesMarketing & brand
45
PRING TURNER moved its main office from WALNUT CREEK, CA to ALAMO, CA. IAPD ↗
$238.6M RAUM · 2 reps · (925) 287-8527
Office IT & facilitiesMarketing & brand
45
WILLIAMS FINANCIAL, LLC moved its main office from BENNINGTON, VT to NORTH BENNINGTON, VT. IAPD ↗
$174.5M RAUM · 4 reps · 866-986-4469
Office IT & facilitiesMarketing & brand
45
VANNOY ADVISORY GROUP, INC. moved its main office from ROUND ROCK, TX to AUSTIN, TX. IAPD ↗
$130.9M RAUM · 1 reps · 512-759-7759 · vannoyadvisorygroup.com
Office IT & facilitiesMarketing & brand
45
BAKER & YOEST INVESTMENT ADVISERS, INC. moved its main office from NORTHFIELD, IL to DEERFIELD, IL. IAPD ↗
$114.1M RAUM · 2 reps · 847-504-1455 · bakeryoest.com
Office IT & facilitiesMarketing & brand
45
KEYSTONE GLOBAL PARTNERS LLC moved its main office from NEW YORK, NY to DENVER, CO. IAPD ↗
$212.7M RAUM · 2 reps · 646-998-8141
Office IT & facilitiesMarketing & brand
45
BOARDWALK FINANCIAL STRATEGIES LLC moved its main office from DELAFIELD, WI to HARTLAND, WI. IAPD ↗
$142.3M RAUM · 3 reps · 262-423-7552
Office IT & facilitiesMarketing & brand
45
NEWBRIDGE WEALTH MANAGEMENT moved its main office from BERWYN, PA to BRYN MAWR, PA. IAPD ↗
$160.0M RAUM · 3 reps · 610-564-8042 · newbridgewealth.com
Office IT & facilitiesMarketing & brand
45
FIT WEALTH MANAGEMENT moved its main office from ENGLEWOOD, CO to CENTENNIAL, CO. IAPD ↗
$101.0M RAUM · 3 reps · (303) 618-3587
Office IT & facilitiesMarketing & brand
45
CAPSTONE WEALTH MANAGEMENT GROUP, LLC moved its main office from CLARKS GREEN, PA to DUNMORE, PA. IAPD ↗
$248.8M RAUM · 4 reps · (888) 587-7526
Office IT & facilitiesMarketing & brand
45
SMITH & WYATT moved its main office from BRYAN, TX to COLLEGE STATION, TX. IAPD ↗
$119.8M RAUM · 6 reps · 979-431-5440
Office IT & facilitiesMarketing & brand
45
INVICTA ADVISORS LLC moved its main office from MONROEVILLE, PA to OAKMONT, PA. IAPD ↗
$192.3M RAUM · 9 reps · 412-349-8684 · invictacapitaladvisors.com
Office IT & facilitiesMarketing & brand
45
INTEGRITY FINANCIAL ADVISORS, LLC moved its main office from WENHAM, MA to WOBURN, MA. IAPD ↗
$103.6M RAUM · 8 reps · 978-338-4830 · integrityfa.com
Office IT & facilitiesMarketing & brand
45
REGENTS PARTNERS, LLC moved its main office from SALT LAKE CITY, UT to SAN JUAN, PR. IAPD ↗
$217.0M RAUM · 5 reps · (925) 261-8330 · regentsparkadvisors.com
Office IT & facilitiesMarketing & brand
45
KORZO FINANCIAL LLC moved its main office from PALO ALTO, CA to SAN FRANCISCO, CA. IAPD ↗
$0 RAUM · 1 reps · 415-449-5555
Office IT & facilitiesMarketing & brand
45
INVESTING ONLINE LLC moved its main office from SANTA MONICA, CA to LOS ANGELES, CA. IAPD ↗
$0 RAUM · 1 reps · 310-818-3740 · investing-online.com
Office IT & facilitiesMarketing & brand
45
MKT AND ASSOCIATES LLC moved its main office from FEDERAL WAY, WA to TACOMA, WA. IAPD ↗
$113.0M RAUM · 1 reps · 253-252-2359
Office IT & facilitiesMarketing & brand
45
TRUEHAVEN CAPITAL moved its main office from ST PETERSBURG, FL to BRADENTON, FL. IAPD ↗
$100.3M RAUM · 1 reps · 210-260-8668 · truehaven.net
Office IT & facilitiesMarketing & brand
40
SIMPLIFY ASSET MANAGEMENT INC. moved its main office from NEW YORK, NY to LAS VEGAS, NV. IAPD ↗institutional
$4.66B RAUM · 13 reps · 646-585-0476 · simplify.us
Office IT & facilitiesMarketing & brand
38
FRONTEGRA ASSET MANAGEMENT INC moved its main office from NORTHBROOK, IL to WESTMONT, IL. IAPD ↗institutional
$439.7M RAUM · 3 reps · 847-509-9860
Office IT & facilitiesMarketing & brand
35
FRONTIER PARTNERS, INC. moved its main office from NORTHBROOK, IL to WESTMONT, IL. IAPD ↗institutional
$0 RAUM · 0 reps · 847-509-9860 · frontierpartners.com
Office IT & facilitiesMarketing & brand
35
EAB INVESTMENT GROUP, LLC moved its main office from PHILADELPHIA, PA to BALA CYNWYD, PA. IAPD ↗institutional
$136.1M RAUM · 4 reps · 646-583-0032 · eabinvestmentgroup.com
Office IT & facilitiesMarketing & brand
35
GLOBAL BETA ADVISORS moved its main office from NORTH WALES, PA to WEST CHESTER, PA. IAPD ↗institutional
$20.8M RAUM · 2 reps · 215-531-8234
Office IT & facilitiesMarketing & brand
35
EASTERLY EAB RISK SOLUTIONS LLC moved its main office from PHILADELPHIA, PA to BALA CYNWYD, PA. IAPD ↗institutional
$0 RAUM · 3 reps · 646-583-0032 · easterlyeab.com
Office IT & facilitiesMarketing & brand
35
KELLY INTELLIGENCE moved its main office from DENVER, CT to DENVER, CO. IAPD ↗institutional
$17.0M RAUM · 2 reps · 303-499-1959
Office IT & facilitiesMarketing & brand
33
JADE MOUNTAIN PARTNERS, LLC moved its main office from NEW YORK, NY to WHITE PLAINS, NY. IAPD ↗fund
$960.3M RAUM · 3 reps · 212-433-4324
Office IT & facilitiesMarketing & brand
30
EXCOLERE EQUITY PARTNERS, LLC moved its main office from LOS ANGELES, CA to SANTA MONICA, CA. IAPD ↗fund
$190.0M RAUM · 7 reps · 310-867-2758 · excolerepartners.com
Office IT & facilitiesMarketing & brand
20
SKERRYVORE ASSET MANAGEMENT moved its main office from LONDON, to EDINBURGH, . IAPD ↗foreign
$1.32B RAUM · 8 reps · +44 131 202 3070 · bennbridge.com
Office IT & facilitiesMarketing & brand
18
T VENTURES MANAGEMENT CO, LTD. moved its main office from SYDNEY, to SYDNEY NSW, . IAPD ↗foreign
$777.6M RAUM · 14 reps · 61 416 493 313 · ti.vc
Office IT & facilitiesMarketing & brand
15
ORASIS CAPITAL moved its main office from LONDON, to DUBAI, . IAPD ↗foreign
$97.0M RAUM · 2 reps · 00971558695487 · orasis-capital.com
Office IT & facilitiesMarketing & brand
aum up — 35 Regulatory AUM up >=25% since last filing.
75
THURSTON SPRINGER ADVISORS reported RAUM up 192% ($1.35B -> $3.96B). IAPD ↗
$3.96B RAUM · 68 reps · 317.581.4000 · conservationwm.com
Portfolio / reporting / TAMPCRMFinancial planning software
73
CAPITAL BANK AND TRUST COMPANY reported RAUM up 67% ($45.43B -> $75.86B). IAPD ↗
$75.86B RAUM · 0 reps · (949) 975-5000
Portfolio / reporting / TAMPCRMFinancial planning software
73
HMV WEALTH ADVISORS, LLC reported RAUM up 159% ($117.9M -> $305.2M). IAPD ↗
$305.2M RAUM · 3 reps · 318-517-6255 · hmvwealth.com
Portfolio / reporting / TAMPCRMFinancial planning software
72
INTEGRATED QUANTITATIVE INVESTMENTS LLC reported RAUM up 71% ($163.5M -> $280.0M). IAPD ↗
$280.0M RAUM · 5 reps · 12067175559 · integratedquant.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
NEXUS338 reported RAUM up 174% ($47.6M -> $130.5M). IAPD ↗
$130.5M RAUM · 1 reps · 571-348-0800 · nexus338.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
STIRLINGSHIRE INVESTMENTS reported RAUM up 87% ($37.0M -> $69.2M). IAPD ↗
$69.2M RAUM · 28 reps · 877-600-7026
Portfolio / reporting / TAMPCRMFinancial planning software
70
STAVIS WEALTH TRANSFER SOLUTIONS reported RAUM up 101% ($53.8M -> $108.4M). IAPD ↗
$108.4M RAUM · 1 reps · 713-391-8200 · wealthtransfersolutions.com
Portfolio / reporting / TAMPCRMFinancial planning software
69
ARISTA WEALTH MANAGEMENT, LLC reported RAUM up 60% ($621.2M -> $993.2M). IAPD ↗
$993.2M RAUM · 7 reps · 702-309-9970 · aristawealth.com
Portfolio / reporting / TAMPCRMFinancial planning software
68
ONESEVEN reported RAUM up 43% ($2.57B -> $3.68B). IAPD ↗
$3.68B RAUM · 48 reps · 216-865-1700 · pillarwealthgroup.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
WEDBUSH SECURITIES INC. reported RAUM up 28% ($4.50B -> $5.74B). IAPD ↗
$5.74B RAUM · 214 reps · 213-688-8000
Portfolio / reporting / TAMPCRMFinancial planning software
65
A.G.P / ALLIANCE GLOBAL PARTNERS reported RAUM up 28% ($1.32B -> $1.69B). IAPD ↗
$1.69B RAUM · 149 reps · 800-727-7922 · allianceg.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
SATURNA CAPITAL CORPORATION reported RAUM up 26% ($6.64B -> $8.39B). IAPD ↗
$8.39B RAUM · 15 reps · 360-734-9900
Portfolio / reporting / TAMPCRMFinancial planning software
65
NGC FINANCIAL, LLC reported RAUM up 51% ($25.9M -> $39.1M). IAPD ↗
$39.1M RAUM · 1 reps · 718-423-1100 · ngcfinancial.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
PALOUSE CAPITAL MANAGEMENT, INC. reported RAUM up 26% ($228.6M -> $288.5M). IAPD ↗
$288.5M RAUM · 3 reps · (509)624-5591 · palousecap.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
PACIFIC CAPITAL reported RAUM up 26% ($525.9M -> $661.2M). IAPD ↗
$661.2M RAUM · 5 reps · 844-777-8777 · pacificcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
PEAK RETIREMENT PLANNING, INC. reported RAUM up 43% ($106.0M -> $151.9M). IAPD ↗
$151.9M RAUM · 6 reps · (614) 500-4121 · peakretirementplanning.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
PALISADE INFRASTRUCTURE reported RAUM up 79% ($198.0M -> $354.4M). IAPD ↗institutional
$354.4M RAUM · 4 reps · (914) 886 7452 · palisadeinfrastructure.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
MAIN CAPITAL PARTNERS NORTH AMERICA LLC reported RAUM up 804% ($41.0M -> $370.8M). IAPD ↗institutional
$370.8M RAUM · 6 reps · 617-207-4175
Portfolio / reporting / TAMPCRMFinancial planning software
61
BENJAMIN SECURITIES, INC. reported RAUM up 31% ($26.0M -> $33.9M). IAPD ↗
$33.9M RAUM · 3 reps · 516-931-1090 · benjaminsecurities.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
QIC reported RAUM up 188% ($2.19B -> $6.30B). IAPD ↗fund
$6.30B RAUM · 16 reps · 212-224-8900 · qic.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
NASSAU GLOBAL CREDIT LLC reported RAUM up 81% ($4.62B -> $8.39B). IAPD ↗fund
$8.39B RAUM · 18 reps · (646) 630-8376 · ngc.nfg.com
Portfolio / reporting / TAMPCRMFinancial planning software
58
AIP CAPITAL ADVISORS LLC reported RAUM up 192% ($125.0M -> $365.0M). IAPD ↗fund
$365.0M RAUM · 7 reps · 203-487-8200 · aipcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
55
CACHE ADVISORS LLC reported RAUM up 444% ($32.0M -> $174.0M). IAPD ↗fund
$174.0M RAUM · 1 reps · 408-409-4296 · usecache.com
Portfolio / reporting / TAMPCRMFinancial planning software
53
CRESSET PARTNERS LLC reported RAUM up 40% ($4.14B -> $5.81B). IAPD ↗fund
$5.81B RAUM · 5 reps · 312-429-2400 · cressetpartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
51
LIGHTHOUSE INVESTMENT PARTNERS, LLC reported RAUM up 33% ($55.83B -> $74.15B). IAPD ↗fund
$74.15B RAUM · 171 reps · 561-741-0820
Portfolio / reporting / TAMPCRMFinancial planning software
49
PEARL LANE ADVISORS, LLC reported RAUM up 49% ($50.0M -> $74.6M). IAPD ↗fund
$74.6M RAUM · 8 reps · 212-240-9721
Portfolio / reporting / TAMPCRMFinancial planning software
49
RDST CAPITAL LLC reported RAUM up 30% ($548.1M -> $712.6M). IAPD ↗fund
$712.6M RAUM · 5 reps · 206.332.1227 · readestreet.com
Portfolio / reporting / TAMPCRMFinancial planning software
48
ARCAPITA INVESTMENT MANAGEMENT US INC. reported RAUM up 27% ($280.4M -> $356.7M). IAPD ↗fund
$356.7M RAUM · 10 reps · (404) 920-9000
Portfolio / reporting / TAMPCRMFinancial planning software
48
LS BDC ADVISER, LLC reported RAUM up 29% ($548.9M -> $709.4M). IAPD ↗fund
$709.4M RAUM · 35 reps · 786 598 2089
Portfolio / reporting / TAMPCRMFinancial planning software
36
ASSET RISK CONSULTANTS (UK) LIMITED reported RAUM up 34% ($1.02B -> $1.37B). IAPD ↗foreign
$1.37B RAUM · 13 reps · 442039462860 · assetrisk.com
Portfolio / reporting / TAMPCRMFinancial planning software
36
PACIFIC ASSET MANAGEMENT reported RAUM up 31% ($4.71B -> $6.17B). IAPD ↗foreign
$6.17B RAUM · 15 reps · +44 203 970 3100 · pacificam.co.uk
Portfolio / reporting / TAMPCRMFinancial planning software
36
GRAND ALLIANCE ASSET MANAGEMENT LTD. reported RAUM up 32% ($1.67B -> $2.21B). IAPD ↗foreign
$2.21B RAUM · 27 reps · (852) 3852 6351 · gaamhk.com
Portfolio / reporting / TAMPCRMFinancial planning software
36
COOLABAH CAPITAL INSTITUTIONAL INVESTMENTS PTY LIMITED reported RAUM up 31% ($5.17B -> $6.80B). IAPD ↗foreign
$6.80B RAUM · 27 reps · 4402080668340 · coolabahcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
34
SARONA ASSET MANAGEMENT INC. reported RAUM up 34% ($283.6M -> $379.0M). IAPD ↗foreign
$379.0M RAUM · 9 reps · 1-519-883-7557 · emiif.fund
Portfolio / reporting / TAMPCRMFinancial planning software
33
KING RIVER CAPITAL MANAGEMENT PTY LTD reported RAUM up 26% ($338.5M -> $425.6M). IAPD ↗foreign
$425.6M RAUM · 10 reps · 61 417 637 684
Portfolio / reporting / TAMPCRMFinancial planning software
custody started — 31 Firm now reports custody of client assets — surprise exams and controls follow.
70
CAPITAL RESEARCH AND MANAGEMENT COMPANY now reports custody of client assets ($13.94B). IAPD ↗
$3315.36B RAUM · 372 reps · 213-486-9200 · icanretire.com
ComplianceCustodian
70
INNOVIA WEALTH, LLC now reports custody of client assets ($1.11B). IAPD ↗
$2.23B RAUM · 18 reps · 616-719-5007
ComplianceCustodian
70
AARON WEALTH ADVISORS now reports custody of client assets. IAPD ↗
$1.95B RAUM · 9 reps · 312-506-5780 · aaronwealth.com
ComplianceCustodian
68
HORAN WEALTH MANAGEMENT now reports custody of client assets ($293.1M). IAPD ↗
$545.2M RAUM · 10 reps · 513-745-0707
ComplianceCustodian
68
HORAN CAPITAL ADVISORS, LLC now reports custody of client assets ($302.0M). IAPD ↗
$533.6M RAUM · 5 reps · 513-745-0707
ComplianceCustodian
68
C.J. LAWRENCE now reports custody of client assets ($378.7M). IAPD ↗
$484.5M RAUM · 3 reps · 1-877-466-1783 · cjlawrence.com
ComplianceCustodian
68
KEUDELL MORRISON WEALTH MANAGEMENT, LLC now reports custody of client assets ($459.9M). IAPD ↗
$724.0M RAUM · 6 reps · (971) 209-4500 · kmwm.com
ComplianceCustodian
68
MOTIVE WEALTH ADVISORS, LLC now reports custody of client assets ($16.4M). IAPD ↗
$279.3M RAUM · 2 reps · 248-987-5731 · motivewealth.com
ComplianceCustodian
68
VERIDAN WEALTH now reports custody of client assets ($101.2M). IAPD ↗
$288.9M RAUM · 4 reps · 503-946-9733 · veridanwealth.com
ComplianceCustodian
68
SOUTHERN EQUITY ADVISORS LLC now reports custody of client assets ($389.2M). IAPD ↗
$389.2M RAUM · 2 reps · 877-240-9233 · southernequity.com
ComplianceCustodian
68
TOPSAIL WEALTH MANAGEMENT LLC now reports custody of client assets ($454.2M). IAPD ↗
$875.7M RAUM · 3 reps · 980-308-9901 · topsailwealthmanagement.com
ComplianceCustodian
68
GUILBAULT CAPITAL now reports custody of client assets ($17.6M). IAPD ↗
$313.0M RAUM · 1 reps · 504-612-9250 · guilbaultcapital.com
ComplianceCustodian
68
PANORAMIC CAPITAL PARTNERS LLC now reports custody of client assets ($802,815). IAPD ↗
$263.2M RAUM · 2 reps · 503-937-7420 · panoramiccp.com
ComplianceCustodian
65
BENCHMARK CAPITAL GROUP LTD. now reports custody of client assets ($6.0M). IAPD ↗
$149.5M RAUM · 3 reps · 815-777-0600 · benchmarkcapitalgroup.com
ComplianceCustodian
65
NOVA WEALTH MANAGEMENT, INC. now reports custody of client assets ($1.0M). IAPD ↗
$152.2M RAUM · 5 reps · 239-444-1794 · novawealthmanagement.com
ComplianceCustodian
65
WEALTHYX now reports custody of client assets ($74.1M). IAPD ↗
$74.1M RAUM · 1 reps · 888-952-7482 · saveday.com
ComplianceCustodian
65
MILLENNIAL WEALTH now reports custody of client assets ($125.0M). IAPD ↗
$145.6M RAUM · 3 reps · (206) 207-8426 · millennialwealthllc.com
ComplianceCustodian
65
RETIREMENT WEALTH SOLUTIONS LLC now reports custody of client assets ($39.3M). IAPD ↗
$140.7M RAUM · 2 reps · 715-384-5481 · retirementwealthsolutions.com
ComplianceCustodian
65
LAKE WATER ADVISORY, LLC now reports custody of client assets ($40.0M). IAPD ↗
$40.0M RAUM · 1 reps · 315-730-7432 · lakewatercap.com
ComplianceCustodian
65
SOLIST WEALTH MANAGEMENT now reports custody of client assets. IAPD ↗
$0 RAUM · 2 reps · 813-493-3833 · solistfinancial.com
ComplianceCustodian
65
OUTRUNNER CAPITAL, LLC now reports custody of client assets ($7.3M). IAPD ↗
$172.0M RAUM · 3 reps · 512-649-3192 · outrunnercapital.com
ComplianceCustodian
58
WHITEBARK INVESTORS now reports custody of client assets. IAPD ↗institutional
$333.3M RAUM · 4 reps · 212-468-5131
ComplianceCustodian
55
GAUGE CAPITAL now reports custody of client assets ($3.34B). IAPD ↗fund
$3.34B RAUM · 61 reps · 682-334-5800
ComplianceCustodian
55
DEEPCURRENTS INVESTMENT GROUP LLC now reports custody of client assets ($4.46B). IAPD ↗fund
$3.16B RAUM · 5 reps · 646-350-4621 · deepcurrentsinvestment.com
ComplianceCustodian
55
JAIN GLOBAL LLC now reports custody of client assets ($6.51B). IAPD ↗fund
$5.91B RAUM · 103 reps · 212-671-4011 · jainglobal.com
ComplianceCustodian
55
SUNRISE MANAGER LLC now reports custody of client assets ($115.0M). IAPD ↗institutional
$115.0M RAUM · 6 reps · 561-510-3315 · sunriserealtytrust.com
ComplianceCustodian
53
KENT LAKE PR LLC now reports custody of client assets ($285.5M). IAPD ↗fund
$496.5M RAUM · 5 reps · 415-799-2720
ComplianceCustodian
53
BRIGHAM MANAGEMENT, LLC now reports custody of client assets ($1.71B). IAPD ↗fund
$855.7M RAUM · 18 reps · 512-871-1001 · brighamexploration.com
ComplianceCustodian
53
ANNAPURNA CAPITAL MANAGEMENT LP now reports custody of client assets ($534.4M). IAPD ↗fund
$267.2M RAUM · 4 reps · 561-328-2235 · annapurnacm.com
ComplianceCustodian
50
OT MANAGEMENT, LLC now reports custody of client assets ($208.3M). IAPD ↗fund
$208.3M RAUM · 3 reps · 617-462-3524 · olivetreecapital.com
ComplianceCustodian
50
SCIENCE & TECHNOLOGY PARTNERS, L.P. now reports custody of client assets ($454.5M). IAPD ↗fund
$227.3M RAUM · 3 reps · 212-306-2600 · sandtpartners.com
ComplianceCustodian
website changed — 27 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
CFM ADVISORS INC changed its website from ccg1800.com to cfmadvisorsinc.com. IAPD ↗
$1.75B RAUM · 3 reps · 631.249.0500 · cfmadvisorsinc.com
Marketing & brand
30
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS changed its website from atlwm.com to billsydor.com. IAPD ↗
$1.31B RAUM · 41 reps · 602-604-0600 · billsydor.com
Marketing & brand
30
BISON ADVISORS changed its website from thehollowaypartnership.com to armisadvisers.com. IAPD ↗
$1.16B RAUM · 33 reps · (706) 376 - 4882 · armisadvisers.com
Marketing & brand
30
CW ADVISORS, LLC changed its website from congresswealth.com to cwadvisorsgroup.com. IAPD ↗
$6.92B RAUM · 38 reps · (617) 428-7600 · cwadvisorsgroup.com
Marketing & brand
30
NFJ INVESTMENT GROUP, LLC changed its website from nfjinv.com to virtus.com. IAPD ↗
$4.23B RAUM · 9 reps · 214-754-1780 · virtus.com
Marketing & brand
30
MODERN WEALTH MANAGEMENT, LLC changed its website from modwm.com to midwestfinancial.us. IAPD ↗
$2.07B RAUM · 36 reps · 913-393-1000 · midwestfinancial.us
Marketing & brand
28
COMPASS CAPITAL CORPORATION changed its website from compasscapital.co to compassfinancialservicesgroup.com. IAPD ↗
$590.7M RAUM · 15 reps · 781-535-6083 · compassfinancialservicesgroup.com
Marketing & brand
28
SAGE CAPITAL ADVISORS, LLC changed its website from retirementpowerplay.buzzsprout.com to sage-cap.com. IAPD ↗
$581.5M RAUM · 7 reps · 844-279-7243 · sage-cap.com
Marketing & brand
28
BLUEPOINTE CAPITAL MANAGEMENT, LLC changed its website from bluepointecapital.com to bluepointeventures.com. IAPD ↗
$764.2M RAUM · 4 reps · 650-293-4545 · bluepointeventures.com
Marketing & brand
28
MKD WEALTH changed its website from mkdwealthcoach.com to mkdwealth.com. IAPD ↗
$359.8M RAUM · 4 reps · 248-418-5100 · mkdwealth.com
Marketing & brand
28
MASCOMA WEALTH MANAGEMENT changed its website from mascomabank.com to mascoma.bank. IAPD ↗
$435.3M RAUM · 8 reps · 603-676-8813 · mascoma.bank
Marketing & brand
28
NIA IMPACT CAPITAL changed its website from niaimpactcapital.com to niaimpactadvisors.com. IAPD ↗
$433.3M RAUM · 4 reps · 510-319-9221 · niaimpactadvisors.com
Marketing & brand
28
ELLSWORTH ADVISORS, LLC changed its website from login.orionadvisor.com to advisorclient.com. IAPD ↗
$913.6M RAUM · 10 reps · (234) 200-0703 · advisorclient.com
Marketing & brand
25
CLOSED-END FUND ADVISORS changed its website from cefuniverse.com to cefadvisors.com. IAPD ↗
$159.0M RAUM · 2 reps · 804-288-2482 · cefadvisors.com
Marketing & brand
25
TRICAPITAL WEALTH MANAGEMENT, INC. changed its website from tricapitalwealthmanagement.com to tricapitaladviosr.com. IAPD ↗
$103.9M RAUM · 2 reps · 704-571-8778 · tricapitaladviosr.com
Marketing & brand
25
VIA IV INVESTMENTS, LLC changed its website from viaiv.com to thehollandportfolios.com. IAPD ↗
$190.6M RAUM · 4 reps · 630-674-7226 · thehollandportfolios.com
Marketing & brand
25
LIFE PLANNING ADVISORS LLC changed its website from sierrawg.com to lifeplanningadvisors.com. IAPD ↗
$133.3M RAUM · 4 reps · 760-918-0304 · lifeplanningadvisors.com
Marketing & brand
25
ONEWEALTH changed its website from onewealthmgmt.com to investmentadvisoryservices.com. IAPD ↗
$127.8M RAUM · 2 reps · (561) 289-8105 · investmentadvisoryservices.com
Marketing & brand
25
724 CAPITAL, LLC changed its website from cigfinancialservices.com to 724cap.com. IAPD ↗
$197.4M RAUM · 11 reps · 517-256-4319 · 724cap.com
Marketing & brand
25
WEALTH MORE ENTERPRISE, INC. changed its website from getwealthmore.com to hellowealthmore.com. IAPD ↗
$115,332 RAUM · 6 reps · 888-303-6361 · hellowealthmore.com
Marketing & brand
20
VALLEY VIEW CONSULTING LLC changed its website from valleyviewconsulting.net to valleyviewconsultingllc.com. IAPD ↗institutional
$14.13B RAUM · 6 reps · (540)297-3419 · valleyviewconsultingllc.com
Marketing & brand
20
BAMCO, INC. changed its website from baronfunds.com to baroncapitalgroup.com. IAPD ↗institutional
$39.11B RAUM · 45 reps · 212-583-2000 · baroncapitalgroup.com
Marketing & brand
20
TPG RE FINANCE TRUST MANAGEMENT, L.P. changed its website from tpg.com to tpgrefinance.com. IAPD ↗institutional
$4.21B RAUM · 19 reps · 817-871-4000 · tpgrefinance.com
Marketing & brand
15
TENNENBAUM CAPITAL PARTNERS, LLC changed its website from douyin.com to line.naver.jp. IAPD ↗fund
$6.09B RAUM · 19 reps · 310 566 1000 · line.naver.jp
Marketing & brand
15
NASSAU GLOBAL CREDIT LLC changed its website from ncc.nfg.com to ngc.nfg.com. IAPD ↗fund
$8.39B RAUM · 18 reps · (646) 630-8376 · ngc.nfg.com
Marketing & brand
1
CALEDONIA (PRIVATE) INVESTMENTS PTY LIMITED changed its website from caledonia.com.au to caledoniafund.com. IAPD ↗foreign
$8.51B RAUM · 10 reps · 011-612-92557600 · caledoniafund.com
Marketing & brand
1
T VENTURES MANAGEMENT CO, LTD. changed its website from telstraventures.com to ti.vc. IAPD ↗foreign
$777.6M RAUM · 14 reps · 61 416 493 313 · ti.vc
Marketing & brand
headcount down — 20 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
WEDBUSH SECURITIES INC. shrank from 227 to 214 advisory reps. IAPD ↗
$5.74B RAUM · 214 reps · 213-688-8000
Recruiting & transitionsM&A & valuation
55
A.G.P / ALLIANCE GLOBAL PARTNERS shrank from 163 to 149 advisory reps. IAPD ↗
$1.69B RAUM · 149 reps · 800-727-7922 · allianceg.com
Recruiting & transitionsM&A & valuation
55
PLANTE MORAN FINANCIAL ADVISORS shrank from 139 to 132 advisory reps. IAPD ↗
$20.53B RAUM · 132 reps · 248-352-2500 · wealth.plantemoran.com
Recruiting & transitionsM&A & valuation
55
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. shrank from 65 to 60 advisory reps. IAPD ↗
$38.34B RAUM · 60 reps · 213-486-9200
Recruiting & transitionsM&A & valuation
53
APEX FINANCIAL ADVISORS, INC shrank from 4 to 2 advisory reps. IAPD ↗
$537.9M RAUM · 2 reps · 215-493-1900
Recruiting & transitionsM&A & valuation
53
INTELLIGENCE DRIVEN ADVISERS, LLC shrank from 16 to 12 advisory reps. IAPD ↗
$977.9M RAUM · 12 reps · (888) 401-2083 · plus.google.com
Recruiting & transitionsM&A & valuation
53
SWEET FINANCIAL PARTNERS, LLC shrank from 6 to 4 advisory reps. IAPD ↗
$779.2M RAUM · 4 reps · 507-235-5587
Recruiting & transitionsM&A & valuation
50
ERNST & YOUNG INVESTMENT ADVISERS LLP shrank from 190 to 160 advisory reps. IAPD ↗
$0 RAUM · 160 reps · 800-273-0588 · ey.com
Recruiting & transitionsM&A & valuation
50
ONEWEALTH shrank from 6 to 2 advisory reps. IAPD ↗
$127.8M RAUM · 2 reps · (561) 289-8105 · investmentadvisoryservices.com
Recruiting & transitionsM&A & valuation
43
PLANTE MORAN REAL ESTATE INVESTMENT ADVISORS shrank from 11 to 8 advisory reps. IAPD ↗institutional
$268.1M RAUM · 8 reps · (248) 603-5001 · pmreia.com
Recruiting & transitionsM&A & valuation
40
QIC shrank from 22 to 16 advisory reps. IAPD ↗fund
$6.30B RAUM · 16 reps · 212-224-8900 · qic.com
Recruiting & transitionsM&A & valuation
40
PARADICE INVESTMENT MANAGEMENT LLC shrank from 9 to 5 advisory reps. IAPD ↗fund
$1.40B RAUM · 5 reps · 720-751-2100 · paradice.com
Recruiting & transitionsM&A & valuation
40
LEDGER ILS MANAGERS, LLC shrank from 4 to 2 advisory reps. IAPD ↗institutional
$102.1M RAUM · 2 reps · 202-365-3175
Recruiting & transitionsM&A & valuation
35
CREDIT VALUE PARTNERS, LLC shrank from 6 to 2 advisory reps. IAPD ↗fund
$161.5M RAUM · 2 reps · 203-893-4700
Recruiting & transitionsM&A & valuation
25
PLATINUM ASSET MANAGEMENT shrank from 34 to 27 advisory reps. IAPD ↗foreign
$8.45B RAUM · 27 reps · 61 2 9255 7576 · platinum.com.au
Recruiting & transitionsM&A & valuation
25
QIC INVESTMENTS NO. 1 PTY LTD shrank from 34 to 26 advisory reps. IAPD ↗foreign
$5.13B RAUM · 26 reps · 011-617-3360-3922
Recruiting & transitionsM&A & valuation
25
CALEDONIA (PRIVATE) INVESTMENTS PTY LIMITED shrank from 13 to 10 advisory reps. IAPD ↗foreign
$8.51B RAUM · 10 reps · 011-612-92557600 · caledoniafund.com
Recruiting & transitionsM&A & valuation
25
ANTIPODES PARTNERS LIMITED shrank from 36 to 31 advisory reps. IAPD ↗foreign
$6.30B RAUM · 31 reps · +612 8970 7718 · antipodespartners.com
Recruiting & transitionsM&A & valuation
25
COOLABAH CAPITAL INSTITUTIONAL INVESTMENTS PTY LIMITED shrank from 40 to 27 advisory reps. IAPD ↗foreign
$6.80B RAUM · 27 reps · 4402080668340 · coolabahcapital.com
Recruiting & transitionsM&A & valuation
23
BRILLIANCE ASSET MANAGEMENT LIMITED shrank from 6 to 4 advisory reps. IAPD ↗foreign
$686.6M RAUM · 4 reps · +852 38502633 · brilliancecap.com
Recruiting & transitionsM&A & valuation
aum down — 16 Regulatory AUM down >=25% since last filing.
50
FELDMAN, INGARDONA & CO reported RAUM down 43% ($2.64B -> $1.51B). IAPD ↗
$1.51B RAUM · 6 reps · 630-663-1800 · feldmaningardona.com
M&A & valuationRecruiting & transitions
50
TD PRIVATE CLIENT WEALTH LLC reported RAUM down 61% ($12.26B -> $4.82B). IAPD ↗
$4.82B RAUM · 284 reps · 877-703-9896 · td.com
M&A & valuationRecruiting & transitions
45
DESERT ROSE CAPITAL MANAGEMENT, INC. reported RAUM down 32% ($117.2M -> $79.6M). IAPD ↗
$79.6M RAUM · 8 reps · 208 297-2710
M&A & valuationRecruiting & transitions
45
ONEWEALTH reported RAUM down 63% ($343.8M -> $127.8M). IAPD ↗
$127.8M RAUM · 2 reps · (561) 289-8105 · investmentadvisoryservices.com
M&A & valuationRecruiting & transitions
45
ZEST reported RAUM down 40% ($170.9M -> $102.7M). IAPD ↗
$102.7M RAUM · 1 reps · 305-376-0317
M&A & valuationRecruiting & transitions
40
U.S. GLOBAL INVESTORS, INC. reported RAUM down 34% ($2.37B -> $1.56B). IAPD ↗institutional
$1.56B RAUM · 6 reps · 210-308-1234 · usfunds.com
M&A & valuationRecruiting & transitions
38
FRONTEGRA ASSET MANAGEMENT INC reported RAUM down 39% ($716.8M -> $439.7M). IAPD ↗institutional
$439.7M RAUM · 3 reps · 847-509-9860
M&A & valuationRecruiting & transitions
35
AQUILA INVESTMENT MANAGEMENT LLC reported RAUM down 73% ($615.9M -> $166.4M). IAPD ↗institutional
$166.4M RAUM · 4 reps · 212-697-6666 · aquilafunds.com
M&A & valuationRecruiting & transitions
35
FRANKLIN PARK reported RAUM down 56% ($19.70B -> $8.63B). IAPD ↗fund
$8.63B RAUM · 29 reps · 610-822-0500 · franklinparkllc.com
M&A & valuationRecruiting & transitions
35
PARADICE INVESTMENT MANAGEMENT LLC reported RAUM down 51% ($2.86B -> $1.40B). IAPD ↗fund
$1.40B RAUM · 5 reps · 720-751-2100 · paradice.com
M&A & valuationRecruiting & transitions
35
LEDGER ILS MANAGERS, LLC reported RAUM down 67% ($309.4M -> $102.1M). IAPD ↗institutional
$102.1M RAUM · 2 reps · 202-365-3175
M&A & valuationRecruiting & transitions
35
2XIDEAS reported RAUM down 68% ($253.1M -> $80.7M). IAPD ↗institutional
$80.7M RAUM · 4 reps · 929 577 6260
M&A & valuationRecruiting & transitions
30
CREDIT VALUE PARTNERS, LLC reported RAUM down 39% ($263.9M -> $161.5M). IAPD ↗fund
$161.5M RAUM · 2 reps · 203-893-4700
M&A & valuationRecruiting & transitions
20
QIC INVESTMENTS NO. 1 PTY LTD reported RAUM down 38% ($8.23B -> $5.13B). IAPD ↗foreign
$5.13B RAUM · 26 reps · 011-617-3360-3922
M&A & valuationRecruiting & transitions
20
ARDEA INVESTMENT MANAGEMENT reported RAUM down 37% ($15.02B -> $9.47B). IAPD ↗foreign
$9.47B RAUM · 24 reps · 61 2 9994 7000 · ardea.com.au
M&A & valuationRecruiting & transitions
18
BRILLIANCE ASSET MANAGEMENT LIMITED reported RAUM down 34% ($1.03B -> $686.6M). IAPD ↗foreign
$686.6M RAUM · 4 reps · +852 38502633 · brilliancecap.com
M&A & valuationRecruiting & transitions
rename — 15 Primary business name changed: rebrand, merger, or ownership change.
60
BALDWIN BROTHERS LLC is now doing business as BALDWIN WEALTH PARTNERS, LLC. IAPD ↗
$2.28B RAUM · 12 reps · (508) 748-0800 · baldwinbrothersinc.com
Marketing & brandCRM
60
CCG INVESTMENTS is now doing business as CFM ADVISORS INC. IAPD ↗
$1.75B RAUM · 3 reps · 631.249.0500 · cfmadvisorsinc.com
Marketing & brandCRM
58
MKD WEALTH COACHES, LLC is now doing business as MKD WEALTH. IAPD ↗
$359.8M RAUM · 4 reps · 248-418-5100 · mkdwealth.com
Marketing & brandCRM
55
SIERRA WEALTH GROUP, LLC is now doing business as LIFE PLANNING ADVISORS LLC. IAPD ↗
$133.3M RAUM · 4 reps · 760-918-0304 · lifeplanningadvisors.com
Marketing & brandCRM
55
VALIDUS GLOBAL INVESTING is now doing business as VALIDEX GLOBAL INVESTING. IAPD ↗
$248.7M RAUM · 3 reps · 858-410-1410 · validusgrowth.com
Marketing & brandCRM
55
GUERRA ADVISORY SERVICES is now doing business as GUERRA WEALTH ADVISORS. IAPD ↗
$139.0M RAUM · 8 reps · 305-448-1011 · guerrafinancial.com
Marketing & brandCRM
55
ONE WEALTH MANAGEMENT is now doing business as ONEWEALTH. IAPD ↗
$127.8M RAUM · 2 reps · (561) 289-8105 · investmentadvisoryservices.com
Marketing & brandCRM
55
PLAYBOOK is now doing business as PLAYBOOK ADVISER. IAPD ↗
$2.2M RAUM · 3 reps · 415-805-2040
Marketing & brandCRM
55
MAXX WEALTH ADVISORS is now doing business as STAR WEALTH ADVISORS. IAPD ↗
$0 RAUM · 1 reps · 561-427-2424
Marketing & brandCRM
48
MACQUARIE PRIVATE DEBT ASSET MANAGEMENT, LLC is now doing business as MACQUARIE ASSET MANAGEMENT CREDIT ADVISERS US, LLC. IAPD ↗institutional
$450.0M RAUM · 6 reps · 1 212 231-1000 · macquarie.com
Marketing & brandCRM
43
KENT LAKE CAPITAL LLC is now doing business as KENT LAKE PR LLC. IAPD ↗fund
$496.5M RAUM · 5 reps · 415-799-2720
Marketing & brandCRM
40
PANDION MINE FINANCE, LP is now doing business as PANDION ASSET MANAGEMENT, LP. IAPD ↗fund
$125.2M RAUM · 3 reps · (346)509-4955
Marketing & brandCRM
30
EDELWEISS ALTERNATIVE ASSET ADVISORS PTE LIMITED is now doing business as EAAA PTE. LIMITED. IAPD ↗foreign
$4.10B RAUM · 7 reps · 65 6692 6120
Marketing & brandCRM
30
BENNBRIDGE LTD is now doing business as SKERRYVORE ASSET MANAGEMENT. IAPD ↗foreign
$1.32B RAUM · 8 reps · +44 131 202 3070 · bennbridge.com
Marketing & brandCRM
25
ALVEO WEALTH MANAGEMENT, LLC is now doing business as NAVALFA ACTIVOS ALTERNATIVOS. IAPD ↗foreign
$12.9M RAUM · 3 reps · 52 55 3701 6429
Marketing & brandCRM
aum crossed 1b — 10 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
LVM CAPITAL MANAGEMENT LTD crossed $1B in regulatory AUM ($974.6M -> $1.18B). IAPD ↗
$1.18B RAUM · 7 reps · 269-321-8120 · lvmcapital.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
VISE AI ADVISORS crossed $1B in regulatory AUM ($637.9M -> $1.07B). IAPD ↗
$1.07B RAUM · 17 reps · 201-375-3969
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
GAMMA INVESTING LLC crossed $1B in regulatory AUM ($705.4M -> $1.01B). IAPD ↗
$1.01B RAUM · 5 reps · 888-585-1755 · gammainvesting.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
INVESTCORP INVESTMENT SOLUTIONS LLC crossed $1B in regulatory AUM ($356.0M -> $1.11B). IAPD ↗institutional
$1.11B RAUM · 3 reps · 212-599-4700
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
OMNI BRIDGEWAY MANAGEMENT (USA) LLC crossed $1B in regulatory AUM ($882.8M -> $1.95B). IAPD ↗fund
$1.95B RAUM · 31 reps · 212-488-5331 · omnibridgeway.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
ISAM FUNDS (USA) LLC crossed $1B in regulatory AUM ($259.7M -> $2.11B). IAPD ↗fund
$2.11B RAUM · 4 reps · +1 212 561 1200 · isamfunds.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
BRONTE CAPITAL crossed $1B in regulatory AUM ($970.1M -> $1.18B). IAPD ↗foreign
$1.18B RAUM · 10 reps · + 61 2 9389 3293 · brontecapital.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
SANTA LUCIA ASSET MANAGEMENT PTE. LTD. crossed $1B in regulatory AUM ($927.6M -> $1.09B). IAPD ↗foreign
$1.09B RAUM · 6 reps · 00-65-6513-4104 · slam.com.sg
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
ISAM FUNDS (UK) LIMITED crossed $1B in regulatory AUM ($259.7M -> $2.11B). IAPD ↗foreign
$2.11B RAUM · 35 reps · 44 207 258 9940 · isamfunds.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
AIKYA INVESTMENT MANAGEMENT LIMITED crossed $1B in regulatory AUM ($172.2M -> $1.58B). IAPD ↗foreign
$1.58B RAUM · 11 reps · +44 20 3965 4392 · aikya.co.uk
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
private funds started — 9 Firm reports private funds for the first time.
75
CANNELL & SPEARS LLC now reports 2 private fund(s) ($10.0M gross). IAPD ↗
$5.86B RAUM · 19 reps · 212-752-5255 · thebeehivefund.com
Fund administrationCompliance
73
SOUTHERN EQUITY ADVISORS LLC now reports 6 private fund(s) ($179.6M gross). IAPD ↗
$389.2M RAUM · 2 reps · 877-240-9233 · southernequity.com
Fund administrationCompliance
70
DESERT ROSE CAPITAL MANAGEMENT, INC. now reports 1 private fund(s) ($24.6M gross). IAPD ↗
$79.6M RAUM · 8 reps · 208 297-2710
Fund administrationCompliance
70
OUTRUNNER CAPITAL, LLC now reports 1 private fund(s) ($7.3M gross). IAPD ↗
$172.0M RAUM · 3 reps · 512-649-3192 · outrunnercapital.com
Fund administrationCompliance
60
JAIN GLOBAL LLC now reports 1 private fund(s) ($5.91B gross). IAPD ↗fund
$5.91B RAUM · 103 reps · 212-671-4011 · jainglobal.com
Fund administrationCompliance
58
AIP CAPITAL ADVISORS LLC now reports 1 private fund(s) ($240.0M gross). IAPD ↗fund
$365.0M RAUM · 7 reps · 203-487-8200 · aipcapital.com
Fund administrationCompliance
58
ANNAPURNA CAPITAL MANAGEMENT LP now reports 2 private fund(s) ($267.2M gross). IAPD ↗fund
$267.2M RAUM · 4 reps · 561-328-2235 · annapurnacm.com
Fund administrationCompliance
55
PF ADVISORS LLC now reports 1 private fund(s) ($0 gross). IAPD ↗fund
$0 RAUM · 1 reps · 720-751-4795 · petrofunders.com
Fund administrationCompliance
55
SCIENCE & TECHNOLOGY PARTNERS, L.P. now reports 1 private fund(s) ($227.3M gross). IAPD ↗fund
$227.3M RAUM · 3 reps · 212-306-2600 · sandtpartners.com
Fund administrationCompliance
planning clients up — 7 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
73
PARR MCKNIGHT WEALTH MANAGEMENT GROUP reports 251-500 financial-planning clients, up from 1-10. IAPD ↗
$949.2M RAUM · 7 reps · 612-324-0235 · parrmcknightwmg.com
Financial planning software
70
MOTIVE WEALTH ADVISORS, LLC reports 51-100 financial-planning clients, up from 0. IAPD ↗
$279.3M RAUM · 2 reps · 248-987-5731 · motivewealth.com
Financial planning software
63
LVM CAPITAL MANAGEMENT LTD reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
$1.18B RAUM · 7 reps · 269-321-8120 · lvmcapital.com
Financial planning software
58
FUTURE YOU WEALTH reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
$101.0M RAUM · 3 reps · (917) 397-6531 · futureyouwealth.com
Financial planning software
58
STAVIS WEALTH TRANSFER SOLUTIONS reports 1-10 financial-planning clients, up from 0. IAPD ↗
$108.4M RAUM · 1 reps · 713-391-8200 · wealthtransfersolutions.com
Financial planning software
58
MINDORO CAPITAL PARTNERS LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$100.2M RAUM · 6 reps · (617) 214-2313 · mindoro.com
Financial planning software
33
ASSET RISK CONSULTANTS (UK) LIMITED reports 11-25 financial-planning clients, up from 1-10. IAPD ↗foreign
$1.37B RAUM · 13 reps · 442039462860 · assetrisk.com
Financial planning software
aum crossed 500m — 6 Regulatory AUM crossed $500M.
70
WESTCHESTER CAPITAL MANAGEMENT INC crossed $500M in regulatory AUM ($452.5M -> $502.7M). IAPD ↗
$502.7M RAUM · 3 reps · 402-392-2418 · westchestercapital.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
WOLF GROUP CAPITAL ADVISORS crossed $500M in regulatory AUM ($445.9M -> $526.8M). IAPD ↗
$526.8M RAUM · 11 reps · (703) 652-6255
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
COMPASS CAPITAL CORPORATION crossed $500M in regulatory AUM ($475.5M -> $590.7M). IAPD ↗
$590.7M RAUM · 15 reps · 781-535-6083 · compassfinancialservicesgroup.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
ROCKPORT WEALTH ADVISORS crossed $500M in regulatory AUM ($143.7M -> $513.7M). IAPD ↗
$513.7M RAUM · 9 reps · (216) 226-4560 · jarnoldwealth.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
60
BRIDGE CAPITAL ADVISORS crossed $500M in regulatory AUM ($443.0M -> $548.0M). IAPD ↗institutional
$548.0M RAUM · 2 reps · 2813560193 · bridgecapitalglobal.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
NEO IVY CAPITAL MANAGEMENT, LLC crossed $500M in regulatory AUM ($79.9M -> $989.4M). IAPD ↗fund
$989.4M RAUM · 7 reps · 646-389-9813 · neoivycapital.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
reorganization — 5 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
45
MUTUAL ADVISORS, LLC filed an Item 4A succession naming MUTUAL ADVISORS, LLC (CRD 167658) — an entity change, not a deal. IAPD ↗
$6.95B RAUM · 132 reps · 307-439-6357 · barberfinancialgroup.com
Integration & migration consultingCompliance
40
LIFE PLANNING ADVISORS LLC filed an Item 4A succession naming SIERRA WEALTH GROUP, LLC (CRD 151292) — an entity change, not a deal. IAPD ↗
$133.3M RAUM · 4 reps · 760-918-0304 · lifeplanningadvisors.com
Integration & migration consultingCompliance
40
UPSTART WEALTH MANAGEMENT, LLC filed an Item 4A succession naming UPSTART WEALTH MANAGEMENT, LLC (CRD 173728) — an entity change, not a deal. IAPD ↗
$248.0M RAUM · 4 reps · (415) 549-0646
Integration & migration consultingCompliance
40
CURA WEALTH ADVISORS, LLC filed an Item 4A succession naming CURA WEALTH ADVISORS, LLC (CRD 332511) — an entity change, not a deal. IAPD ↗
$0 RAUM · 2 reps · 312-608-8806 · curawealth.com
Integration & migration consultingCompliance
25
ASTEROZOA MANAGEMENT filed an Item 4A succession naming ASTEROZOA MANAGEMENT (CRD 316870) — an entity change, not a deal. IAPD ↗fund
$106.0M RAUM · 3 reps · 858-692-8461 · asterozoacapital.com
Integration & migration consultingCompliance
planning started — 3 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
80
ATLANTA CONSULTING GROUP ADVISORS, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$13.60B RAUM · 11 reps · 888-317-2810
Financial planning softwareCRM
78
STOLPER & CO., INC. now offers financial planning (Item 5G(1)). IAPD ↗
$615.6M RAUM · 3 reps · 619-231-9102 · stolperco.com
Financial planning softwareCRM
75
SOLIST WEALTH MANAGEMENT now offers financial planning (Item 5G(1)). IAPD ↗
$0 RAUM · 2 reps · 813-493-3833 · solistfinancial.com
Financial planning softwareCRM
wrap program started — 2 Firm began participating in a wrap-fee program (Item 5I(1)).
63
NAMCOA began participating in a wrap-fee program. IAPD ↗
$277.7M RAUM · 17 reps · (239) 593-5525 · flretire.com
Portfolio / reporting / TAMPCompliance
63
FIDUCIARY FINANCIAL ADVISORS began participating in a wrap-fee program. IAPD ↗
$555.4M RAUM · 22 reps · 6166223062
Portfolio / reporting / TAMPCompliance

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