← Tributary

What changed in the November 2024 SEC adviser roster

1036 events across 876 firms · 780 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

277state expansion
123disclosure added
109new office
108deregistered
95new registration
48pending approved
41website changed
39relocation
34custody started
32headcount up
32aum up
24rename

Top 25 signals — US wealth firms

100
PROVENIO CAPITAL (NEWPORT BEACH, CA) is newly SEC-registered with $1.64B RAUM and 6 advisory reps. IAPD ↗
$1.64B RAUM · 6 reps · (949) 301-9060
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DENALI ADVISORS, LLC filed an Item 4A succession naming MCKINLEY CAPITAL MANAGEMENT, LLC (CRD 106173) — one firm absorbed the other. IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
95
H. C. DENISON CO. (SHEBOYGAN, WI) is newly SEC-registered with $101.4M RAUM and 4 advisory reps. IAPD ↗
$101.4M RAUM · 4 reps · 920 457-9451 · hcdenison.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL BROKERAGE SERVICES, INC. (HUNT VALLEY, MD) is newly SEC-registered with $117.8M RAUM and 5 advisory reps. IAPD ↗
$117.8M RAUM · 5 reps · 410-785-4990 · globalbrokers.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHKARE.COM, INC. (MOUNT UNION, PA) is newly SEC-registered with $106.2M RAUM and 6 advisory reps. IAPD ↗
$106.2M RAUM · 6 reps · 814-542-5433 · unlockretirement.seminarsoncall.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OXFORD CAPITAL MANAGEMENT (RICHM0ND, VA) is newly SEC-registered with $125.0M RAUM and 2 advisory reps. IAPD ↗
$125.0M RAUM · 2 reps · 804-282-2356
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUPERIOR PLANNING, LLC (SAN DIEGO, CA) is newly SEC-registered with $105.4M RAUM and 5 advisory reps. IAPD ↗
$105.4M RAUM · 5 reps · 858-546-1046
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPASS INVESTMENT ADVISERS, LLC (PORTLAND, OR) is newly SEC-registered with $101.3M RAUM and 2 advisory reps. IAPD ↗
$101.3M RAUM · 2 reps · 503-473-8422 · compassadv.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAIRWAY FINANCIAL, LLC (CASSELBERRY, FL) is newly SEC-registered with $122.4M RAUM and 2 advisory reps. IAPD ↗
$122.4M RAUM · 2 reps · 407-628-0850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PACIFIC COAST INVESTMENT ADVISORS, LLC (WEST LINN, OR) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
$113.9M RAUM · 1 reps · 503-968-2500 · pacificcoastia.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MUNTZ FINANCIAL, LLC (DOYLESTOWN, PA) is newly SEC-registered with $154.8M RAUM and 2 advisory reps. IAPD ↗
$154.8M RAUM · 2 reps · 215-262-6909 · muntzfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
METANOIA FINANCIAL, LLC (location n/a) is newly SEC-registered with $117.9M RAUM and 1 advisory reps. IAPD ↗
$117.9M RAUM · 1 reps · 267-367-6077
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DIRECTIONAL ASSET MANAGEMENT, LLC (ARLINGTON HEIGHTS, IL) is newly SEC-registered with $119.8M RAUM and 1 advisory reps. IAPD ↗
$119.8M RAUM · 1 reps · 847-749-2312
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
1650 WEALTH MANAGEMENT, LLC (LIGHTHOUSE POINT, FL) is newly SEC-registered with $111.0M RAUM and 1 advisory reps. IAPD ↗
$111.0M RAUM · 1 reps · 800-658-9560
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GALLAGHER WEALTH MANAGEMENT (DANVILLE, CA) is newly SEC-registered with $105.3M RAUM and 1 advisory reps. IAPD ↗
$105.3M RAUM · 1 reps · 925-831-3043 · gallagherwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHADOWRIDGE ASSET MANAGEMENT, LLC (AUSTIN, TX) is newly SEC-registered with $108.5M RAUM and 6 advisory reps. IAPD ↗
$108.5M RAUM · 6 reps · 888-434-1427
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APPIAN WAY FINANCIAL (PASADENA, CA) is newly SEC-registered with $121.2M RAUM and 1 advisory reps. IAPD ↗
$121.2M RAUM · 1 reps · (626) 210-2660
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLACK BARN FINANCIAL, LLC (AUSTIN, TX) is newly SEC-registered with $110.1M RAUM and 4 advisory reps. IAPD ↗
$110.1M RAUM · 4 reps · (512) 368-9179
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BREAKWATER FINANCIAL, LLC (NEEDHAM, MA) is newly SEC-registered with $106.5M RAUM and 1 advisory reps. IAPD ↗
$106.5M RAUM · 1 reps · 617-849-8019
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MIDDLETON & COMPANY (VANCOUVER, WA) is newly SEC-registered with $114.9M RAUM and 2 advisory reps. IAPD ↗
$114.9M RAUM · 2 reps · (360) 524-3517
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WAVE WEALTH MANAGEMENT, LLC (FRISCO, TX) is newly SEC-registered with $108.3M RAUM and 1 advisory reps. IAPD ↗
$108.3M RAUM · 1 reps · (972) 954-4100
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CRAFT ASSET MANAGEMENT (TAMPA, FL) is newly SEC-registered with $83.5M RAUM and 7 advisory reps. IAPD ↗
$83.5M RAUM · 7 reps · 813-337-7747
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL ACHIEVEMENTS, LLC (location n/a) is newly SEC-registered with $129.3M RAUM and 1 advisory reps. IAPD ↗
$129.3M RAUM · 1 reps · 512-399-3541 · capitalachievements.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RETIREMITTEN FINANCIAL LLC (MILFORD, MI) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
$108.7M RAUM · 3 reps · 248-935-0470 · retiremitten.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RIVERBEND WEALTH MANAGEMENT, LLC (MYRTLE BEACH, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (843) 970-1049 · riverbendwealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 257 firms

100
PROVENIO CAPITAL (NEWPORT BEACH, CA) is newly SEC-registered with $1.64B RAUM and 6 advisory reps. IAPD ↗
$1.64B RAUM · 6 reps · (949) 301-9060
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DENALI ADVISORS, LLC filed an Item 4A succession naming MCKINLEY CAPITAL MANAGEMENT, LLC (CRD 106173) — one firm absorbed the other. IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
95
H. C. DENISON CO. (SHEBOYGAN, WI) is newly SEC-registered with $101.4M RAUM and 4 advisory reps. IAPD ↗
$101.4M RAUM · 4 reps · 920 457-9451 · hcdenison.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL BROKERAGE SERVICES, INC. (HUNT VALLEY, MD) is newly SEC-registered with $117.8M RAUM and 5 advisory reps. IAPD ↗
$117.8M RAUM · 5 reps · 410-785-4990 · globalbrokers.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHKARE.COM, INC. (MOUNT UNION, PA) is newly SEC-registered with $106.2M RAUM and 6 advisory reps. IAPD ↗
$106.2M RAUM · 6 reps · 814-542-5433 · unlockretirement.seminarsoncall.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OXFORD CAPITAL MANAGEMENT (RICHM0ND, VA) is newly SEC-registered with $125.0M RAUM and 2 advisory reps. IAPD ↗
$125.0M RAUM · 2 reps · 804-282-2356
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUPERIOR PLANNING, LLC (SAN DIEGO, CA) is newly SEC-registered with $105.4M RAUM and 5 advisory reps. IAPD ↗
$105.4M RAUM · 5 reps · 858-546-1046
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPASS INVESTMENT ADVISERS, LLC (PORTLAND, OR) is newly SEC-registered with $101.3M RAUM and 2 advisory reps. IAPD ↗
$101.3M RAUM · 2 reps · 503-473-8422 · compassadv.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAIRWAY FINANCIAL, LLC (CASSELBERRY, FL) is newly SEC-registered with $122.4M RAUM and 2 advisory reps. IAPD ↗
$122.4M RAUM · 2 reps · 407-628-0850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PACIFIC COAST INVESTMENT ADVISORS, LLC (WEST LINN, OR) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
$113.9M RAUM · 1 reps · 503-968-2500 · pacificcoastia.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 247 more in the CSV export.

Financial planning software 156 firms

100
PROVENIO CAPITAL (NEWPORT BEACH, CA) is newly SEC-registered with $1.64B RAUM and 6 advisory reps. IAPD ↗
$1.64B RAUM · 6 reps · (949) 301-9060
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
H. C. DENISON CO. (SHEBOYGAN, WI) is newly SEC-registered with $101.4M RAUM and 4 advisory reps. IAPD ↗
$101.4M RAUM · 4 reps · 920 457-9451 · hcdenison.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL BROKERAGE SERVICES, INC. (HUNT VALLEY, MD) is newly SEC-registered with $117.8M RAUM and 5 advisory reps. IAPD ↗
$117.8M RAUM · 5 reps · 410-785-4990 · globalbrokers.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHKARE.COM, INC. (MOUNT UNION, PA) is newly SEC-registered with $106.2M RAUM and 6 advisory reps. IAPD ↗
$106.2M RAUM · 6 reps · 814-542-5433 · unlockretirement.seminarsoncall.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OXFORD CAPITAL MANAGEMENT (RICHM0ND, VA) is newly SEC-registered with $125.0M RAUM and 2 advisory reps. IAPD ↗
$125.0M RAUM · 2 reps · 804-282-2356
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUPERIOR PLANNING, LLC (SAN DIEGO, CA) is newly SEC-registered with $105.4M RAUM and 5 advisory reps. IAPD ↗
$105.4M RAUM · 5 reps · 858-546-1046
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPASS INVESTMENT ADVISERS, LLC (PORTLAND, OR) is newly SEC-registered with $101.3M RAUM and 2 advisory reps. IAPD ↗
$101.3M RAUM · 2 reps · 503-473-8422 · compassadv.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAIRWAY FINANCIAL, LLC (CASSELBERRY, FL) is newly SEC-registered with $122.4M RAUM and 2 advisory reps. IAPD ↗
$122.4M RAUM · 2 reps · 407-628-0850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PACIFIC COAST INVESTMENT ADVISORS, LLC (WEST LINN, OR) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
$113.9M RAUM · 1 reps · 503-968-2500 · pacificcoastia.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MUNTZ FINANCIAL, LLC (DOYLESTOWN, PA) is newly SEC-registered with $154.8M RAUM and 2 advisory reps. IAPD ↗
$154.8M RAUM · 2 reps · 215-262-6909 · muntzfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 146 more in the CSV export.

Compliance 479 firms

100
PROVENIO CAPITAL (NEWPORT BEACH, CA) is newly SEC-registered with $1.64B RAUM and 6 advisory reps. IAPD ↗
$1.64B RAUM · 6 reps · (949) 301-9060
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DENALI ADVISORS, LLC filed an Item 4A succession naming MCKINLEY CAPITAL MANAGEMENT, LLC (CRD 106173) — one firm absorbed the other. IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
95
H. C. DENISON CO. (SHEBOYGAN, WI) is newly SEC-registered with $101.4M RAUM and 4 advisory reps. IAPD ↗
$101.4M RAUM · 4 reps · 920 457-9451 · hcdenison.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL BROKERAGE SERVICES, INC. (HUNT VALLEY, MD) is newly SEC-registered with $117.8M RAUM and 5 advisory reps. IAPD ↗
$117.8M RAUM · 5 reps · 410-785-4990 · globalbrokers.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHKARE.COM, INC. (MOUNT UNION, PA) is newly SEC-registered with $106.2M RAUM and 6 advisory reps. IAPD ↗
$106.2M RAUM · 6 reps · 814-542-5433 · unlockretirement.seminarsoncall.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OXFORD CAPITAL MANAGEMENT (RICHM0ND, VA) is newly SEC-registered with $125.0M RAUM and 2 advisory reps. IAPD ↗
$125.0M RAUM · 2 reps · 804-282-2356
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUPERIOR PLANNING, LLC (SAN DIEGO, CA) is newly SEC-registered with $105.4M RAUM and 5 advisory reps. IAPD ↗
$105.4M RAUM · 5 reps · 858-546-1046
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPASS INVESTMENT ADVISERS, LLC (PORTLAND, OR) is newly SEC-registered with $101.3M RAUM and 2 advisory reps. IAPD ↗
$101.3M RAUM · 2 reps · 503-473-8422 · compassadv.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAIRWAY FINANCIAL, LLC (CASSELBERRY, FL) is newly SEC-registered with $122.4M RAUM and 2 advisory reps. IAPD ↗
$122.4M RAUM · 2 reps · 407-628-0850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PACIFIC COAST INVESTMENT ADVISORS, LLC (WEST LINN, OR) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
$113.9M RAUM · 1 reps · 503-968-2500 · pacificcoastia.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 469 more in the CSV export.

Portfolio / reporting / TAMP 130 firms

100
PROVENIO CAPITAL (NEWPORT BEACH, CA) is newly SEC-registered with $1.64B RAUM and 6 advisory reps. IAPD ↗
$1.64B RAUM · 6 reps · (949) 301-9060
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DENALI ADVISORS, LLC filed an Item 4A succession naming MCKINLEY CAPITAL MANAGEMENT, LLC (CRD 106173) — one firm absorbed the other. IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
95
H. C. DENISON CO. (SHEBOYGAN, WI) is newly SEC-registered with $101.4M RAUM and 4 advisory reps. IAPD ↗
$101.4M RAUM · 4 reps · 920 457-9451 · hcdenison.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL BROKERAGE SERVICES, INC. (HUNT VALLEY, MD) is newly SEC-registered with $117.8M RAUM and 5 advisory reps. IAPD ↗
$117.8M RAUM · 5 reps · 410-785-4990 · globalbrokers.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHKARE.COM, INC. (MOUNT UNION, PA) is newly SEC-registered with $106.2M RAUM and 6 advisory reps. IAPD ↗
$106.2M RAUM · 6 reps · 814-542-5433 · unlockretirement.seminarsoncall.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OXFORD CAPITAL MANAGEMENT (RICHM0ND, VA) is newly SEC-registered with $125.0M RAUM and 2 advisory reps. IAPD ↗
$125.0M RAUM · 2 reps · 804-282-2356
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUPERIOR PLANNING, LLC (SAN DIEGO, CA) is newly SEC-registered with $105.4M RAUM and 5 advisory reps. IAPD ↗
$105.4M RAUM · 5 reps · 858-546-1046
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPASS INVESTMENT ADVISERS, LLC (PORTLAND, OR) is newly SEC-registered with $101.3M RAUM and 2 advisory reps. IAPD ↗
$101.3M RAUM · 2 reps · 503-473-8422 · compassadv.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAIRWAY FINANCIAL, LLC (CASSELBERRY, FL) is newly SEC-registered with $122.4M RAUM and 2 advisory reps. IAPD ↗
$122.4M RAUM · 2 reps · 407-628-0850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PACIFIC COAST INVESTMENT ADVISORS, LLC (WEST LINN, OR) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
$113.9M RAUM · 1 reps · 503-968-2500 · pacificcoastia.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 120 more in the CSV export.

Custodian 92 firms

100
PROVENIO CAPITAL (NEWPORT BEACH, CA) is newly SEC-registered with $1.64B RAUM and 6 advisory reps. IAPD ↗
$1.64B RAUM · 6 reps · (949) 301-9060
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
H. C. DENISON CO. (SHEBOYGAN, WI) is newly SEC-registered with $101.4M RAUM and 4 advisory reps. IAPD ↗
$101.4M RAUM · 4 reps · 920 457-9451 · hcdenison.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL BROKERAGE SERVICES, INC. (HUNT VALLEY, MD) is newly SEC-registered with $117.8M RAUM and 5 advisory reps. IAPD ↗
$117.8M RAUM · 5 reps · 410-785-4990 · globalbrokers.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHKARE.COM, INC. (MOUNT UNION, PA) is newly SEC-registered with $106.2M RAUM and 6 advisory reps. IAPD ↗
$106.2M RAUM · 6 reps · 814-542-5433 · unlockretirement.seminarsoncall.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OXFORD CAPITAL MANAGEMENT (RICHM0ND, VA) is newly SEC-registered with $125.0M RAUM and 2 advisory reps. IAPD ↗
$125.0M RAUM · 2 reps · 804-282-2356
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUPERIOR PLANNING, LLC (SAN DIEGO, CA) is newly SEC-registered with $105.4M RAUM and 5 advisory reps. IAPD ↗
$105.4M RAUM · 5 reps · 858-546-1046
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPASS INVESTMENT ADVISERS, LLC (PORTLAND, OR) is newly SEC-registered with $101.3M RAUM and 2 advisory reps. IAPD ↗
$101.3M RAUM · 2 reps · 503-473-8422 · compassadv.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAIRWAY FINANCIAL, LLC (CASSELBERRY, FL) is newly SEC-registered with $122.4M RAUM and 2 advisory reps. IAPD ↗
$122.4M RAUM · 2 reps · 407-628-0850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PACIFIC COAST INVESTMENT ADVISORS, LLC (WEST LINN, OR) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
$113.9M RAUM · 1 reps · 503-968-2500 · pacificcoastia.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MUNTZ FINANCIAL, LLC (DOYLESTOWN, PA) is newly SEC-registered with $154.8M RAUM and 2 advisory reps. IAPD ↗
$154.8M RAUM · 2 reps · 215-262-6909 · muntzfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 82 more in the CSV export.

Marketing & brand 465 firms

100
PROVENIO CAPITAL (NEWPORT BEACH, CA) is newly SEC-registered with $1.64B RAUM and 6 advisory reps. IAPD ↗
$1.64B RAUM · 6 reps · (949) 301-9060
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
H. C. DENISON CO. (SHEBOYGAN, WI) is newly SEC-registered with $101.4M RAUM and 4 advisory reps. IAPD ↗
$101.4M RAUM · 4 reps · 920 457-9451 · hcdenison.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL BROKERAGE SERVICES, INC. (HUNT VALLEY, MD) is newly SEC-registered with $117.8M RAUM and 5 advisory reps. IAPD ↗
$117.8M RAUM · 5 reps · 410-785-4990 · globalbrokers.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHKARE.COM, INC. (MOUNT UNION, PA) is newly SEC-registered with $106.2M RAUM and 6 advisory reps. IAPD ↗
$106.2M RAUM · 6 reps · 814-542-5433 · unlockretirement.seminarsoncall.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OXFORD CAPITAL MANAGEMENT (RICHM0ND, VA) is newly SEC-registered with $125.0M RAUM and 2 advisory reps. IAPD ↗
$125.0M RAUM · 2 reps · 804-282-2356
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUPERIOR PLANNING, LLC (SAN DIEGO, CA) is newly SEC-registered with $105.4M RAUM and 5 advisory reps. IAPD ↗
$105.4M RAUM · 5 reps · 858-546-1046
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPASS INVESTMENT ADVISERS, LLC (PORTLAND, OR) is newly SEC-registered with $101.3M RAUM and 2 advisory reps. IAPD ↗
$101.3M RAUM · 2 reps · 503-473-8422 · compassadv.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAIRWAY FINANCIAL, LLC (CASSELBERRY, FL) is newly SEC-registered with $122.4M RAUM and 2 advisory reps. IAPD ↗
$122.4M RAUM · 2 reps · 407-628-0850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PACIFIC COAST INVESTMENT ADVISORS, LLC (WEST LINN, OR) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
$113.9M RAUM · 1 reps · 503-968-2500 · pacificcoastia.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MUNTZ FINANCIAL, LLC (DOYLESTOWN, PA) is newly SEC-registered with $154.8M RAUM and 2 advisory reps. IAPD ↗
$154.8M RAUM · 2 reps · 215-262-6909 · muntzfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 455 more in the CSV export.

Recruiting & transitions 201 firms

85
WAVERLY ADVISORS, LLC grew from 92 to 119 advisory reps. IAPD ↗
$13.30B RAUM · 119 reps · 205-871-3334 · waverly-advisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
PROSPERITY - AN EISNERAMPER COMPANY grew from 31 to 46 advisory reps. IAPD ↗
$2.91B RAUM · 46 reps · 410-363-7211 · prosperityconsult.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
FIRST COMMAND ADVISORY SERVICES grew from 1050 to 1155 advisory reps. IAPD ↗
$22.09B RAUM · 1155 reps · 817-731-8621
CRMRecruiting & transitionsComplianceFinancial planning software
85
THE BALDWIN GROUP WEALTH ADVISORS, LLC grew from 17 to 43 advisory reps. IAPD ↗
$4.81B RAUM · 43 reps · 866-279-0698 · baldwin.com
CRMRecruiting & transitionsComplianceFinancial planning software
81
FORTIS CAPITAL ADVISORS, LLC grew from 24 to 37 advisory reps. IAPD ↗
$630.6M RAUM · 37 reps · (775) 446-4208 · fortiscapitaladvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
79
WEALTHFRONT ADVISERS LLC grew from 11 to 20 advisory reps. IAPD ↗
$35.92B RAUM · 20 reps · 855-695-8437 · wealthfront.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
THE CAPROCK GROUP, LLC grew from 30 to 35 advisory reps. IAPD ↗
$9.36B RAUM · 35 reps · (208) 368-9600
CRMRecruiting & transitionsComplianceFinancial planning software
75
A&M PRIVATE WEALTH PARTNERS, LLC grew from 1 to 11 advisory reps. IAPD ↗
$103.2M RAUM · 11 reps · 561-437-6738
CRMRecruiting & transitionsComplianceFinancial planning software
74
SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC grew from 17 to 21 advisory reps. IAPD ↗
$4.02B RAUM · 21 reps · 317-975-5033
CRMRecruiting & transitionsComplianceFinancial planning software
74
VESTGEN ADVISORS, LLC grew from 7 to 13 advisory reps. IAPD ↗
$660.3M RAUM · 13 reps · 847-907-9600 · investwithwmg.com
CRMRecruiting & transitionsComplianceFinancial planning software

…and 191 more in the CSV export.

Integration & migration consulting 12 firms

95
DENALI ADVISORS, LLC filed an Item 4A succession naming MCKINLEY CAPITAL MANAGEMENT, LLC (CRD 106173) — one firm absorbed the other. IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
85
HODGES CAPITAL MANAGEMENT INC crossed $1B in regulatory AUM ($969.2M -> $1.09B). IAPD ↗
$1.09B RAUM · 10 reps · 888-878-4426
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
DENALI ADVISORS, LLC crossed $1B in regulatory AUM ($493.4M -> $1.20B). IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
PINNACLE INVESTMENTS, LLC crossed $1B in regulatory AUM ($964.9M -> $1.07B). IAPD ↗
$1.07B RAUM · 51 reps · 315-251-1101 · pinnacleinvestments.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
STRATEGIC INVESTMENT ADVISORS, LLC crossed $1B in regulatory AUM ($947.1M -> $1.12B). IAPD ↗
$1.12B RAUM · 12 reps · 248-567-6688 · retirementplanningedu.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
SOVRAN ADVISORS, LLC crossed $1B in regulatory AUM ($841.6M -> $1.17B). IAPD ↗
$1.17B RAUM · 43 reps · 619-281-9890 · sovranadvisors.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
ALEXANDER INVESTMENT SERVICES CO. crossed $500M in regulatory AUM ($488.7M -> $592.8M). IAPD ↗
$592.8M RAUM · 12 reps · 502-459-4414 · aisretirement.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
MAIA WEALTH crossed $500M in regulatory AUM ($392.5M -> $669.5M). IAPD ↗
$669.5M RAUM · 30 reps · (720) 644-8803
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FORTIS CAPITAL ADVISORS, LLC crossed $500M in regulatory AUM ($331.8M -> $630.6M). IAPD ↗
$630.6M RAUM · 37 reps · (775) 446-4208 · fortiscapitaladvisors.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
43
ARGYLE CAPITAL MANAGEMENT, LLC filed an Item 4A succession naming ARGYLE CAPITAL MANAGEMENT INC (CRD 106576) — an entity change, not a deal. IAPD ↗
$324.2M RAUM · 3 reps · 610-997-3777 · argylecapital.net
Integration & migration consultingCompliance

…and 2 more in the CSV export.

Fund administration 5 firms

75
DENALI ADVISORS, LLC now reports 1 private fund(s) ($144.3M gross). IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
Fund administrationCompliance
73
OLIVER LUXXE ASSETS LLC now reports 3 private fund(s) ($33.0M gross). IAPD ↗
$693.9M RAUM · 6 reps · 908-741-4884 · oliverluxxe.com
Fund administrationCompliance
70
GALLIOTT CAPITAL ADVISORS, LLC now reports 5 private fund(s) ($33.6M gross). IAPD ↗
$118.2M RAUM · 4 reps · 310-362-3320 · galliott.com
Fund administrationCompliance
70
CHAPEL BRIDGE WEALTH ADVISORS now reports 1 private fund(s) ($2.3M gross). IAPD ↗
$175.4M RAUM · 3 reps · 614-552-8200 · chapelbridge.com
Fund administrationCompliance
70
BROADSTREET GLOBAL ADVISORS, INC. now reports 1 private fund(s) ($0 gross). IAPD ↗
$102.7M RAUM · 4 reps · 914-427-8036 · broadstreetglobaladvisors.com
Fund administrationCompliance

Office IT & facilities 118 firms

55
SANFORD C. BERNSTEIN & CO., LLC added office(s): 22 -> 23 additional locations. IAPD ↗
$3.71B RAUM · 0 reps · 615-622-0000
Office IT & facilitiesCRMRecruiting & transitions
55
YHB INVESTMENT ADVISORS INC added office(s): 0 -> 3 additional locations. IAPD ↗
$1.75B RAUM · 16 reps · 860-561-7050 · yhbia.com
Office IT & facilitiesCRMRecruiting & transitions
55
WESCOTT FINANCIAL ADVISORY GROUP LLC added office(s): 3 -> 6 additional locations. IAPD ↗
$3.48B RAUM · 30 reps · 215-979-1619
Office IT & facilitiesCRMRecruiting & transitions
55
MATTER FAMILY OFFICE added office(s): 2 -> 3 additional locations. IAPD ↗
$3.39B RAUM · 38 reps · 314-862-5190
Office IT & facilitiesCRMRecruiting & transitions
55
SJS INVESTMENT SERVICES added office(s): 2 -> 3 additional locations. IAPD ↗
$2.24B RAUM · 16 reps · 419-885-2626
Office IT & facilitiesCRMRecruiting & transitions
55
LEAVELL INVESTMENT MANAGEMENT, INC. added office(s): 4 -> 5 additional locations. IAPD ↗
$2.49B RAUM · 24 reps · 251-433-3709 · leavellinvestments.com
Office IT & facilitiesCRMRecruiting & transitions
55
ALLIANCEBERNSTEIN L.P. added office(s): 53 -> 54 additional locations. IAPD ↗
$651.48B RAUM · 829 reps · 615-622-0000 · blog.naver.com
Office IT & facilitiesCRMRecruiting & transitions
55
VALLEY WEALTH MANAGERS, INC. added office(s): 11 -> 12 additional locations. IAPD ↗
$2.25B RAUM · 48 reps · 888-794-7940
Office IT & facilitiesCRMRecruiting & transitions
55
GRIMES & COMPANY, INC. added office(s): 19 -> 25 additional locations. IAPD ↗
$4.85B RAUM · 27 reps · 508-366-3883
Office IT & facilitiesCRMRecruiting & transitions
55
WAVERLY ADVISORS, LLC added office(s): 18 -> 25 additional locations. IAPD ↗
$13.30B RAUM · 119 reps · 205-871-3334 · waverly-advisors.com
Office IT & facilitiesCRMRecruiting & transitions

…and 108 more in the CSV export.

M&A & valuation 87 firms

65
GEORGE MCKELVEY CO., LLC (MANASQUAN, NJ) left the SEC roster (was $1.05B RAUM, 9 reps). IAPD ↗
$1.05B RAUM · 9 reps · 732-449-5323 · georgemckelvey.com
Recruiting & transitionsM&A & valuation
65
ROOSEVELT INVESTMENTS (NEW YORK, NY) left the SEC roster (was $2.69B RAUM, 6 reps). IAPD ↗
$2.69B RAUM · 6 reps · 646-452-6700 · rooseveltinvestments.com
Recruiting & transitionsM&A & valuation
65
HALPERN FINANCIAL, INC. (ASHBURN, VA) left the SEC roster (was $1.10B RAUM, 7 reps). IAPD ↗
$1.10B RAUM · 7 reps · 240.268.1000
Recruiting & transitionsM&A & valuation
65
AMERICAN PORTFOLIOS ADVISORS, INC (HOLBROOK, NY) left the SEC roster (was $13.08B RAUM, 600 reps). IAPD ↗
$13.08B RAUM · 600 reps · 631-439-4600 X156
Recruiting & transitionsM&A & valuation
65
ROCATON INVESTMENT ADVISORS (NORWALK, CT) left the SEC roster (was $12.98B RAUM, 20 reps). IAPD ↗
$12.98B RAUM · 20 reps · 203-621-1700
Recruiting & transitionsM&A & valuation
65
INDEXIQ ADVISORS LLC (NEW YORK, NY) left the SEC roster (was $10.44B RAUM, 6 reps). IAPD ↗
$10.44B RAUM · 6 reps · (888) 474-7725 · newyorklifeinvestments.com
Recruiting & transitionsM&A & valuation
65
FINTRUST CAPITAL ADVISORS, LLC (GREENVILLE, SC) left the SEC roster (was $1.74B RAUM, 26 reps). IAPD ↗
$1.74B RAUM · 26 reps · 864-288-2849
Recruiting & transitionsM&A & valuation
65
FORESIGHT WEALTH MANAGEMENT, LLC (DRAPER, UT) left the SEC roster (was $1.35B RAUM, 21 reps). IAPD ↗
$1.35B RAUM · 21 reps · 801-462-2200 · regentsparkadvisors.com
Recruiting & transitionsM&A & valuation
65
THE CAPITAL GROUP INVESTMENT ADVISORY SERVICES, LLC (BETHESDA, MD) left the SEC roster (was $1.18B RAUM, 17 reps). IAPD ↗
$1.18B RAUM · 17 reps · (301) 214-7666 · capgroupfinancial.com
Recruiting & transitionsM&A & valuation
65
ABBREA CAPITAL, LLC (GREENBRAE, CA) left the SEC roster (was $1.19B RAUM, 4 reps). IAPD ↗
$1.19B RAUM · 4 reps · (415) 894-0077 · abbrea.com
Recruiting & transitionsM&A & valuation

…and 77 more in the CSV export.

Everything else — all segments

state expansion — 277 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
CCM INVESTMENT ADVISERS, LLC notice-filed in MD, MI, NE, NH, NJ. IAPD ↗
$1.09B RAUM · 6 reps · 803-254-9500 · ccminc.com
ComplianceMarketing & brand
55
IRONWOOD INVESTMENT COUNSEL, LLC notice-filed in ID, IN, MN, MO, NJ, OH, OK, PA, VT. IAPD ↗
$1.40B RAUM · 13 reps · 480-609-4700 · ironwoodic.com
ComplianceMarketing & brand
55
OCEAN PARK ASSET MANAGEMENT, LLC notice-filed in CO, FL, LA, NH, NV, NY, OR, TX, VA, WI. IAPD ↗
$4.72B RAUM · 9 reps · 310-452-1887 · sierramutualfunds.com
ComplianceMarketing & brand
55
THE BALDWIN GROUP WEALTH ADVISORS, LLC notice-filed in AL, DC, DE, GA, IL, IN, LA, MA, MD, NH, NJ, NV, NY, OH, OR, PA, SC, TN, VA, WI. IAPD ↗
$4.81B RAUM · 43 reps · 866-279-0698 · baldwin.com
ComplianceMarketing & brand
53
AURORA PRIVATE WEALTH, INC. notice-filed in KY, NH, NV, TN, VT, WA, WI. IAPD ↗
$363.3M RAUM · 20 reps · 973-394-0404
ComplianceMarketing & brand
53
EVERSOURCE WEALTH ADVISORS, LLC notice-filed in CT, DE, NH, WV. IAPD ↗
$2.69B RAUM · 40 reps · 205-982-5515 · generouswealthaz.com
ComplianceMarketing & brand
53
ROOT FINANCIAL PARTNERS notice-filed in GA, IL, MD, NC, NJ, OR, PA, SC, WA. IAPD ↗
$399.2M RAUM · 9 reps · (760) 452-0720
ComplianceMarketing & brand
53
MAIA WEALTH notice-filed in AL, AR, MO, OK, SC. IAPD ↗
$669.5M RAUM · 30 reps · (720) 644-8803
ComplianceMarketing & brand
53
FORM WEALTH ADVISORS, LLC notice-filed in AZ, CA, CO, FL, IL, MN, NC, NE, TX, WA. IAPD ↗
$925.8M RAUM · 7 reps · 262-686-3005
ComplianceMarketing & brand
53
SIGNATURE EQUITY PARTNERS, LLC notice-filed in AZ, CA, FL, IL, LA, MD, MO, NC, OK, SC. IAPD ↗
$250.9M RAUM · 21 reps · 614-846-6000
ComplianceMarketing & brand
51
MIO PARTNERS, INC. notice-filed in ME, OR, WY. IAPD ↗
$47.80B RAUM · 57 reps · 212-203-4000 · miopartners.com
ComplianceMarketing & brand
51
GREENWOOD GEARHART INC. notice-filed in AL, DC, NY. IAPD ↗
$1.11B RAUM · 8 reps · 479-521-5353 · greenwoodgearhart.com
ComplianceMarketing & brand
51
MARINER INSTITUTIONAL, LLC notice-filed in AZ, KS, MO, NE. IAPD ↗
$976.6M RAUM · 89 reps · 844-442-6326
ComplianceMarketing & brand
51
SANDERSON WEALTH MANAGEMENT, LLC notice-filed in CT, ME, NJ. IAPD ↗
$1.12B RAUM · 13 reps · 716-566-2420 · sandersonllc.com
ComplianceMarketing & brand
51
KEENER FINANCIAL PLANNING notice-filed in AZ, CA, GA, NH. IAPD ↗
$293.7M RAUM · 9 reps · 817-993-0401 · keenermoney.com
ComplianceMarketing & brand
51
CHEVIOT VALUE MANAGEMENT, LLC notice-filed in CO, FL, MA, NM. IAPD ↗
$823.0M RAUM · 4 reps · 310-451-8600
ComplianceMarketing & brand
51
FORTIS CAPITAL ADVISORS, LLC notice-filed in AR, LA, NE, WA. IAPD ↗
$630.6M RAUM · 37 reps · (775) 446-4208 · fortiscapitaladvisors.com
ComplianceMarketing & brand
51
BRADY MARTZ WEALTH SOLUTIONS, LLC notice-filed in AZ, FL, MT, TX. IAPD ↗
$599.4M RAUM · 4 reps · 701-223-1717
ComplianceMarketing & brand
50
CLAY NORTHAM WEALTH MANAGEMENT notice-filed in FL, GA, NV, TN, WA. IAPD ↗
$249.1M RAUM · 2 reps · 562-431-9988 · claynortham.com
ComplianceMarketing & brand
50
365 WEALTH MANAGEMENT GROUP notice-filed in FL, IN, KY, SC, VA. IAPD ↗
$150.0M RAUM · 6 reps · 513-880-0002 · 365wmg.com
ComplianceMarketing & brand
50
PLENTY FINANCIAL RIA, LLC notice-filed in CO, IL, MA, OR, VA. IAPD ↗
$5.0M RAUM · 1 reps · 628-333-3863
ComplianceMarketing & brand
50
MURPHY & MULLICK CAPITAL MANAGEMENT CORP notice-filed in IL, MN, NJ, OH, PA. IAPD ↗
$0 RAUM · 2 reps · 631-257-0080 · murphyfinancialgrp.com
ComplianceMarketing & brand
50
PLANWISER FINANCIAL notice-filed in CA, FL, NE, TX, VA. IAPD ↗
$0 RAUM · 2 reps · 719-822-0808 · planwiser.com
ComplianceMarketing & brand
50
MOREY & QUINN WEALTH PARTNERS notice-filed in AZ, CO, FL, IA, MN, MO, SD, TX. IAPD ↗
$0 RAUM · 3 reps · (402) 502-9900 · moreyandquinn.com
ComplianceMarketing & brand
50
INTELLUS ADVISORS, LLC notice-filed in AK, AL, CA, CO, CT, GA, IL, IN, LA, MA, MD, MI, NC, NE, NH, NJ, NV, NY, OH, PA, SC, TN, TX, VA. IAPD ↗
$0 RAUM · 5 reps · 239-649-3600 · intellusadvisors.com
ComplianceMarketing & brand
49
SLOY, DAHL & HOLST, LLC notice-filed in AZ, NE. IAPD ↗
$1.34B RAUM · 5 reps · 503-248-9800 · sdh-inc.com
ComplianceMarketing & brand
49
WAVERLY ADVISORS, LLC notice-filed in MT, WV. IAPD ↗
$13.30B RAUM · 119 reps · 205-871-3334 · waverly-advisors.com
ComplianceMarketing & brand
49
SHIRA RIDGE WEALTH MANAGEMENT notice-filed in NV, OR, WA. IAPD ↗
$272.4M RAUM · 2 reps · 415-721-0275 · shiraridge.com
ComplianceMarketing & brand
49
MIRACLE MILE ADVISORS, LLC notice-filed in DC, ID. IAPD ↗
$4.90B RAUM · 41 reps · (310) 246-1243
ComplianceMarketing & brand
49
REGATTA CAPITAL GROUP, LLC notice-filed in CT, HI. IAPD ↗
$1.16B RAUM · 14 reps · 310-725-9102
ComplianceMarketing & brand
49
SUNPOINTE INVESTMENTS notice-filed in CA, KS, NC. IAPD ↗
$369.1M RAUM · 8 reps · (314) 880-0821 · sunpointeinvestments.com
ComplianceMarketing & brand
49
FOSTER VICTOR WEALTH ADVISORS notice-filed in CA, IL. IAPD ↗
$2.01B RAUM · 19 reps · (864) 720-2000 · fostervictor.com
ComplianceMarketing & brand
49
ADERO PARTNERS, LLC notice-filed in MA, OH. IAPD ↗
$4.04B RAUM · 25 reps · 650-252-0550
ComplianceMarketing & brand
49
STEPHENS CONSULTING, LLC notice-filed in MN, OR, SC. IAPD ↗
$918.4M RAUM · 12 reps · 810-732-7411
ComplianceMarketing & brand
49
TAYLOR HOFFMAN CAPITAL MANAGEMENT notice-filed in NC, SC, TN. IAPD ↗
$388.7M RAUM · 4 reps · 804-964-2500 · taylorhoffman.com
ComplianceMarketing & brand
49
MODERN WEALTH MANAGEMENT, LLC notice-filed in MT, WV. IAPD ↗
$2.07B RAUM · 36 reps · 913-393-1000 · studyretirement.com
ComplianceMarketing & brand
49
PORTSIDE WEALTH GROUP, LLC notice-filed in IA, KY, MT. IAPD ↗
$884.8M RAUM · 37 reps · 385-412-1222
ComplianceMarketing & brand
48
COMPREHENSIVE CAPITAL MANAGEMENT, INC. notice-filed in HI, IA, IN, MA. IAPD ↗
$48.3M RAUM · 11 reps · 973-394-0404 · harperandhodge.com
ComplianceMarketing & brand
48
ENCOMPASS MORE ASSET MANAGEMENT LLC notice-filed in DC, HI, ID, NH. IAPD ↗
$228.5M RAUM · 43 reps · 925-272-8850 · encompassmore.com
ComplianceMarketing & brand
47
ROMANO WEALTH MANAGEMENT notice-filed in LA. IAPD ↗
$1.24B RAUM · 7 reps · 847-866-7700 · romanowealth.com
ComplianceMarketing & brand
47
SPC FINANCIAL INC notice-filed in TN. IAPD ↗
$1.16B RAUM · 17 reps · 301-770-6800 · spcfinancial.com
ComplianceMarketing & brand
47
COZAD ASSET MANAGEMENT INC notice-filed in KS. IAPD ↗
$1.92B RAUM · 20 reps · 217-356-8363
ComplianceMarketing & brand
47
POTOMAC FUND MANAGEMENT notice-filed in NJ. IAPD ↗
$1.39B RAUM · 24 reps · (305) 824-2702
ComplianceMarketing & brand
47
SNYDER WEALTH GROUP notice-filed in CA, MA. IAPD ↗
$345.5M RAUM · 5 reps · 631-289-4224
ComplianceMarketing & brand
47
STACK FINANCIAL MANAGEMENT INC notice-filed in IA. IAPD ↗
$1.80B RAUM · 8 reps · 406-862-8000
ComplianceMarketing & brand
47
PINNACLE ADVISORS notice-filed in MO. IAPD ↗
$1.73B RAUM · 16 reps · 419-526-5226 · pinnacleadvisors.com
ComplianceMarketing & brand
47
EVERETT HARRIS & CO notice-filed in VA. IAPD ↗
$10.04B RAUM · 13 reps · 213-625-2677 · everettharris.com
ComplianceMarketing & brand
47
CONNORS INVESTOR SERVICES INC notice-filed in NM. IAPD ↗
$1.05B RAUM · 9 reps · 610-376-7418
ComplianceMarketing & brand
47
ABACUS PLANNING GROUP, INC. notice-filed in GA. IAPD ↗
$1.68B RAUM · 6 reps · 803-933-0054
ComplianceMarketing & brand
47
GEMMER ASSET MANAGEMENT LLC notice-filed in LA. IAPD ↗
$1.70B RAUM · 8 reps · 925-933-3786 · thejdinvestor.com
ComplianceMarketing & brand
47
REDW WEALTH LLC notice-filed in TN. IAPD ↗
$1.00B RAUM · 9 reps · 505-998-3200
ComplianceMarketing & brand
47
FORTE CAPITAL LLC notice-filed in RI. IAPD ↗
$1.28B RAUM · 5 reps · 585-586-8100 · fortecapital.com
ComplianceMarketing & brand
47
OBERMEYER WOOD INVESTMENT COUNSEL, LLLP notice-filed in TN. IAPD ↗
$2.39B RAUM · 14 reps · 970-925-8747 · obermeyerwood.com
ComplianceMarketing & brand
47
DESTINATION WEALTH MANAGEMENT notice-filed in NM. IAPD ↗
$3.70B RAUM · 32 reps · 925-935-2900 · destinationwm.com
ComplianceMarketing & brand
47
NEXT CAPITAL MANAGEMENT LLC notice-filed in DE. IAPD ↗
$1.44B RAUM · 9 reps · 212-433-1111
ComplianceMarketing & brand
47
CONSOLIDATED PLANNING CORPORATION notice-filed in MT. IAPD ↗
$1.58B RAUM · 22 reps · 404-879-3000 · cpcadvisors.com
ComplianceMarketing & brand
47
ECLECTIC ASSOCIATES, INC. notice-filed in TN. IAPD ↗
$1.05B RAUM · 9 reps · 714-738-0220
ComplianceMarketing & brand
47
MASON INVESTMENT ADVISORY SERVICES INC notice-filed in IA. IAPD ↗
$12.16B RAUM · 36 reps · 703-716-6000 · masoncompanies.com
ComplianceMarketing & brand
47
ASPEN INVESTMENT MANAGEMENT INC. notice-filed in LA, NH. IAPD ↗
$257.1M RAUM · 4 reps · 616-361-2500 · aspenim.com
ComplianceMarketing & brand
47
PARSONS CAPITAL MANAGEMENT, LLC notice-filed in AZ, GA. IAPD ↗
$660.9M RAUM · 2 reps · 908-730-0011 · parsonscapitalmanagement.com
ComplianceMarketing & brand
47
WHITNEY & COMPANY notice-filed in LA. IAPD ↗
$1.02B RAUM · 8 reps · 585-232-6200
ComplianceMarketing & brand
47
NORTH STAR INVESTMENT MANAGEMENT CORPORATION notice-filed in MT. IAPD ↗
$2.09B RAUM · 28 reps · 312-580-0900
ComplianceMarketing & brand
47
MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC notice-filed in CA, NH. IAPD ↗
$286.7M RAUM · 5 reps · 847-247-8959
ComplianceMarketing & brand
47
PHOENIX WEALTH ADVISORS INC. notice-filed in DC, IL. IAPD ↗
$488.4M RAUM · 8 reps · 919-929-4448 · pfinx.com
ComplianceMarketing & brand
47
INVESTMENT MANAGEMENT GROUP notice-filed in NH. IAPD ↗
$4.78B RAUM · 23 reps · 406-655-3960
ComplianceMarketing & brand
47
SEVEN SPRINGS WEALTH GROUP notice-filed in GA, MS. IAPD ↗
$765.1M RAUM · 8 reps · 615-370-1253 · sevenspringswealth.com
ComplianceMarketing & brand
47
COMPREHENSIVE FINANCIAL CONSULTANTS INSTITUTIONAL, INC. notice-filed in CA, VA. IAPD ↗
$432.4M RAUM · 18 reps · 812-334-3190 · cfci.us
ComplianceMarketing & brand
47
CANNON FINANCIAL STRATEGISTS, INC. notice-filed in VA. IAPD ↗
$1.35B RAUM · 26 reps · 706-548-3422 · cannonfinancialstrategists.com
ComplianceMarketing & brand
47
GENERAL ATLANTIC SERVICE COMPANY, L.P. notice-filed in TX. IAPD ↗
$96.93B RAUM · 209 reps · (212) 715-4000 · generalatlantic.com
ComplianceMarketing & brand
47
GELLER ADVISORS LLC notice-filed in VA. IAPD ↗
$5.91B RAUM · 15 reps · (212) 583-6001
ComplianceMarketing & brand
47
STONE HOUSE INVESTMENT MANAGEMENT, LLC notice-filed in VA, WI. IAPD ↗
$544.5M RAUM · 12 reps · (570) 836-7020
ComplianceMarketing & brand
47
COPPERWYND FINANCIAL notice-filed in FL, NC. IAPD ↗
$530.6M RAUM · 5 reps · 480-348-2100
ComplianceMarketing & brand
47
CAPE INVESTMENT ADVISORY, INC. notice-filed in DC, WV. IAPD ↗
$365.2M RAUM · 40 reps · 678-583-1120 · sequoiaadvisoryservices.com
ComplianceMarketing & brand
47
HHM WEALTH ADVISORS, LLC notice-filed in NH. IAPD ↗
$1.07B RAUM · 12 reps · 423-826-1670
ComplianceMarketing & brand
47
CAPITAL ADVISORS, LTD., LLC notice-filed in LA. IAPD ↗
$1.13B RAUM · 11 reps · 216-295-7900
ComplianceMarketing & brand
47
CWA ASSET MANAGEMENT GROUP notice-filed in DE. IAPD ↗
$2.53B RAUM · 28 reps · 239-434-7434
ComplianceMarketing & brand
47
ALPHA CUBED INVESTMENTS, LLC notice-filed in PA. IAPD ↗
$2.49B RAUM · 25 reps · (800) 701-2457
ComplianceMarketing & brand
47
TFO FAMILY OFFICE PARTNERS notice-filed in MA. IAPD ↗
$3.82B RAUM · 40 reps · 602-466-2611
ComplianceMarketing & brand
47
CONCENTRUM WEALTH MANAGEMENT notice-filed in NC, NV. IAPD ↗
$623.5M RAUM · 4 reps · 408-840-4030
ComplianceMarketing & brand
47
TL PRIVATE WEALTH notice-filed in GA, NH. IAPD ↗
$311.1M RAUM · 4 reps · 682-831-1048
ComplianceMarketing & brand
47
KEYSTONE FINANCIAL GROUP, LLC notice-filed in PA. IAPD ↗
$1.51B RAUM · 33 reps · 859-317-8316
ComplianceMarketing & brand
47
ONE DEGREE ADVISORS, INC. notice-filed in ID, IL. IAPD ↗
$306.5M RAUM · 7 reps · 619-282-3288
ComplianceMarketing & brand
47
LEXAURUM ADVISORS notice-filed in AK, GA. IAPD ↗
$784.2M RAUM · 31 reps · 913-261-9316 · kowitzfinancialgroup.com
ComplianceMarketing & brand
47
WADDELL & ASSOCIATES, LLC notice-filed in HI. IAPD ↗
$1.34B RAUM · 11 reps · 901-767-9187 · vimeo.com
ComplianceMarketing & brand
47
BOGART WEALTH, LLC notice-filed in MS. IAPD ↗
$2.62B RAUM · 20 reps · (703) 570-8651
ComplianceMarketing & brand
47
THE FIDUCIARY ALLIANCE notice-filed in WA. IAPD ↗
$1.23B RAUM · 34 reps · 864-385-7999
ComplianceMarketing & brand
47
RELIANT WEALTH PLANNING, LLC notice-filed in MI, NE. IAPD ↗
$469.1M RAUM · 4 reps · 502-398-5050
ComplianceMarketing & brand
47
GLOBAL FINANCIAL PRIVATE CLIENT notice-filed in CA, LA. IAPD ↗
$515.7M RAUM · 5 reps · 941-441-1624
ComplianceMarketing & brand
47
HEIRLOOM WEALTH MANAGEMENT LLC notice-filed in NV, WA. IAPD ↗
$500.4M RAUM · 11 reps · 720-328-2877
ComplianceMarketing & brand
47
TRINITYPOINT WEALTH, LLC notice-filed in MD. IAPD ↗
$1.42B RAUM · 10 reps · (203) 693-8525
ComplianceMarketing & brand
47
ELLSWORTH ADVISORS, LLC notice-filed in AL, MI. IAPD ↗
$913.6M RAUM · 10 reps · (234) 200-0703 · advisorclient.com
ComplianceMarketing & brand
47
SOUND VIEW WEALTH ADVISORS GROUP, LLC notice-filed in OH. IAPD ↗
$1.63B RAUM · 8 reps · 912-239-4630
ComplianceMarketing & brand
47
CONVERGENCE FINANCIAL notice-filed in IN, SC. IAPD ↗
$422.4M RAUM · 13 reps · (573) 818-2264
ComplianceMarketing & brand
47
VANCE WEALTH notice-filed in NV, OR. IAPD ↗
$670.8M RAUM · 10 reps · 888-775-0950
ComplianceMarketing & brand
47
ENZI WEALTH notice-filed in CA, VA. IAPD ↗
$337.0M RAUM · 4 reps · 512-795-0030
ComplianceMarketing & brand
47
SYNTEGRA PRIVATE WEALTH GROUP LLC notice-filed in IN. IAPD ↗
$1.02B RAUM · 12 reps · 314-802-7232
ComplianceMarketing & brand
47
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC notice-filed in NC, NE. IAPD ↗
$571.4M RAUM · 8 reps · 937-644-0351
ComplianceMarketing & brand
46
T&T CAPITAL MANAGEMENT notice-filed in MO, OR, TN. IAPD ↗
$131.4M RAUM · 4 reps · 805-886-8140 · ttvaluetalk.com
ComplianceMarketing & brand
46
GLENORCHY CAPITAL LIMITED notice-filed in NM, PA, WI. IAPD ↗
$174.6M RAUM · 2 reps · 61416433041 · glenorchycapital.net
ComplianceMarketing & brand
46
APFORIA notice-filed in MA, MO, RI. IAPD ↗
$73.7M RAUM · 8 reps · 757-407-4189 · myciwm.com
ComplianceMarketing & brand
46
ZERO DAY CAPITAL ENTERPRISES LLC notice-filed in ID, NJ, UT. IAPD ↗
$34.0M RAUM · 6 reps · 702 271 3265
ComplianceMarketing & brand
46
BENTHAM WEALTH ADVISORS notice-filed in CA, FL, NH. IAPD ↗
$74.0M RAUM · 2 reps · (716) 580-1500
ComplianceMarketing & brand
46
UNITING WEALTH PARTNERS notice-filed in AR, KS, TX. IAPD ↗
$0 RAUM · 0 reps · 479-903-7111 · unitingwealthpartners.com
ComplianceMarketing & brand
45
BCG SECURITIES, INC. notice-filed in MT. IAPD ↗
$685.8M RAUM · 30 reps · 856-393-1950 · wealthadvisorygrp.com
ComplianceMarketing & brand
45
SEARLE & CO. notice-filed in TX. IAPD ↗
$397.4M RAUM · 8 reps · 203-869-4800 · searleco.com
ComplianceMarketing & brand
45
CAPITAL CONSULTING & ASSET MANAGEMENT notice-filed in CO. IAPD ↗
$296.3M RAUM · 3 reps · 402-477-2500 · ccam.net
ComplianceMarketing & brand
45
PJS INVESTMENT MANAGEMENT notice-filed in MN. IAPD ↗
$720.3M RAUM · 6 reps · 262-377-0484 · pjsinvestment.com
ComplianceMarketing & brand
45
CAMBRIDGE ADVISORS INC notice-filed in OH. IAPD ↗
$557.9M RAUM · 5 reps · 402-697-1166
ComplianceMarketing & brand
45
PVG ASSET MANAGEMENT CORP notice-filed in NY. IAPD ↗
$500.4M RAUM · 3 reps · 303-526-0548 · facebook.com\pvgasset
ComplianceMarketing & brand
45
TRUSTMONT ADVISORY GROUP, INC. notice-filed in KY. IAPD ↗
$919.4M RAUM · 60 reps · 724-468-5665
ComplianceMarketing & brand
45
OAK RIDGE INVESTMENTS, LLC notice-filed in WY. IAPD ↗
$899.9M RAUM · 8 reps · 312-857-1040
ComplianceMarketing & brand
45
TGS FINANCIAL ADVISORS notice-filed in DE. IAPD ↗
$339.9M RAUM · 5 reps · 610-892-9900
ComplianceMarketing & brand
45
WILLIAM MACK & ASSOCIATES INC notice-filed in RI. IAPD ↗
$754.8M RAUM · 7 reps · 248-643-4310 · wmack.com
ComplianceMarketing & brand
45
FINANCIAL SERVICE GROUP INC notice-filed in NC. IAPD ↗
$284.2M RAUM · 3 reps · 262-554-4500 · toyourwealth.com
ComplianceMarketing & brand
45
A. N. CULBERTSON & COMPANY, INC. notice-filed in ME. IAPD ↗
$610.7M RAUM · 5 reps · 434-972-7766 · anculbertson.com
ComplianceMarketing & brand
45
ESSEX LLC notice-filed in NC. IAPD ↗
$474.3M RAUM · 7 reps · 847-777-7800
ComplianceMarketing & brand
45
JOHN E. SESTINA AND COMPANY notice-filed in NH. IAPD ↗
$547.0M RAUM · 12 reps · 614.326.3077 · managingtobewealthy.com
ComplianceMarketing & brand
45
MISSIONSQUARE RETIREMENT notice-filed in PR. IAPD ↗
$668.2M RAUM · 224 reps · 202-962-4600
ComplianceMarketing & brand
45
REZNY WEALTH MANAGEMENT, INC. notice-filed in TX. IAPD ↗
$389.2M RAUM · 2 reps · 800-618-8577 · reznywealth.com
ComplianceMarketing & brand
45
ASSET MANAGEMENT GROUP, INC. notice-filed in NC. IAPD ↗
$695.5M RAUM · 3 reps · 203-964-8300
ComplianceMarketing & brand
45
RUDNEY ASSOCIATES notice-filed in LA. IAPD ↗
$751.1M RAUM · 1 reps · 925-838-0696 · rudneyassociates.com
ComplianceMarketing & brand
45
PENN DAVIS MCFARLAND INC notice-filed in FL. IAPD ↗
$843.2M RAUM · 4 reps · 214-871-2772
ComplianceMarketing & brand
45
COYLE notice-filed in MD. IAPD ↗
$823.0M RAUM · 10 reps · 847-441-5644
ComplianceMarketing & brand
45
EVANS CAPITAL MANAGEMENT ASSOCIATES notice-filed in FL. IAPD ↗
$463.9M RAUM · 3 reps · 425-455-0501 · rlevansco.net
ComplianceMarketing & brand
45
NOESIS CAPITAL MANAGEMENT CORP notice-filed in IL. IAPD ↗
$539.9M RAUM · 7 reps · 561-999-9888 · noesis-capital.com
ComplianceMarketing & brand
45
EXCALIBUR MANAGEMENT CORP notice-filed in IL. IAPD ↗
$606.4M RAUM · 8 reps · (617) 916-9669 · excalmgmt.com
ComplianceMarketing & brand
45
FIRST FIDUCIARY INVESTMENT COUNSEL INC notice-filed in IN. IAPD ↗
$502.0M RAUM · 3 reps · 216-643-9100 · firstfiduciary.com
ComplianceMarketing & brand
45
DOCK STREET ASSET MANAGEMENT INC notice-filed in CO. IAPD ↗
$732.9M RAUM · 4 reps · 203-532-9470 · dockstreet.com
ComplianceMarketing & brand
45
SEM WEALTH MANAGEMENT notice-filed in AL. IAPD ↗
$584.1M RAUM · 4 reps · 520-749-4580
ComplianceMarketing & brand
45
BLUESKY WEALTH ADVISORS, LLC notice-filed in MI. IAPD ↗
$730.2M RAUM · 9 reps · 252-633-0107
ComplianceMarketing & brand
45
MELD FINANCIAL, INC. notice-filed in CA. IAPD ↗
$594.4M RAUM · 11 reps · 205-967-4200
ComplianceMarketing & brand
45
WRIGHT ASSOCIATES notice-filed in CA. IAPD ↗
$305.6M RAUM · 4 reps · 412-854-2100
ComplianceMarketing & brand
45
MCCLARREN FINANCIAL ADVISORS notice-filed in NY. IAPD ↗
$341.8M RAUM · 7 reps · 814-235-1940 · mcclarren.com
ComplianceMarketing & brand
45
INTERACTIVE FINANCIAL ADVISORS notice-filed in ID. IAPD ↗
$284.9M RAUM · 36 reps · 630-472-1300
ComplianceMarketing & brand
45
BARON SILVER STEVENS FINANCIAL ADVISORS, LLC notice-filed in TN. IAPD ↗
$866.2M RAUM · 8 reps · 561-447-1997 · bssfa.com
ComplianceMarketing & brand
45
CONFIDENCE WEALTH MANAGEMENT, LLC notice-filed in NC. IAPD ↗
$267.1M RAUM · 11 reps · 310-824-1000
ComplianceMarketing & brand
45
TRINITY FINANCIAL ADVISORS LLC notice-filed in TX. IAPD ↗
$487.3M RAUM · 5 reps · 614-848-7667 · tfadvisors.com
ComplianceMarketing & brand
45
CENTRIC WEALTH MANAGEMENT, LLC notice-filed in NY. IAPD ↗
$659.2M RAUM · 8 reps · 312-429-6100 · centricwealthmanagement.com
ComplianceMarketing & brand
45
NAMCOA notice-filed in WA. IAPD ↗
$277.7M RAUM · 17 reps · (239) 593-5525 · latoyamaddox.com
ComplianceMarketing & brand
45
BROADLEAF PARTNERS, LLC notice-filed in NY. IAPD ↗
$410.6M RAUM · 4 reps · 330-650-0921
ComplianceMarketing & brand
45
PORTFOLIO MEDICS, LLC notice-filed in MD. IAPD ↗
$499.6M RAUM · 75 reps · (239) 444-1766 · portfoliomedics.com
ComplianceMarketing & brand
45
DENTIST ADVISORS notice-filed in KY. IAPD ↗
$383.6M RAUM · 7 reps · 801-748-1243
ComplianceMarketing & brand
45
STILLWATER CAPITAL ADVISORS, LLC notice-filed in CT. IAPD ↗
$980.8M RAUM · 4 reps · 610-848-6760 · stillwateradv.com
ComplianceMarketing & brand
45
ETESIAN WEALTH ADVISORS, INC. notice-filed in TX. IAPD ↗
$284.7M RAUM · 4 reps · 503-387-3615
ComplianceMarketing & brand
45
LIFESTEPS FINANCIAL notice-filed in MO. IAPD ↗
$315.4M RAUM · 3 reps · 909-267-3770 · lifestepsfinancial.com
ComplianceMarketing & brand
45
COVENANT WEALTH ADVISORS notice-filed in LA. IAPD ↗
$496.3M RAUM · 9 reps · (804) 729-5265 · mycwa.com
ComplianceMarketing & brand
45
AVALAN, LLC notice-filed in FL. IAPD ↗
$405.4M RAUM · 10 reps · 805-962-7725 · avalanwealth.com
ComplianceMarketing & brand
45
UNITED CAPITAL MANAGEMENT OF KANSAS, INC. notice-filed in TN. IAPD ↗
$459.8M RAUM · 19 reps · 785-823-7900 · ucmofkansas.com
ComplianceMarketing & brand
45
GLOBAL VIEW CAPITAL MANAGEMENT LLC notice-filed in MS. IAPD ↗
$593.8M RAUM · 85 reps · 262-650-1030 · gvcmanagement.com
ComplianceMarketing & brand
45
STUDIO INVESTMENT MANAGEMENT notice-filed in AZ. IAPD ↗
$715.8M RAUM · 5 reps · 312-399-0828 · studioinvestment.com
ComplianceMarketing & brand
45
LANDMARK WEALTH MANAGEMENT, LLC notice-filed in NH. IAPD ↗
$252.6M RAUM · 4 reps · 888-342-6436
ComplianceMarketing & brand
45
AVIER WEALTH ADVISORS notice-filed in NV. IAPD ↗
$786.0M RAUM · 14 reps · 425-467-1011
ComplianceMarketing & brand
45
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. notice-filed in CO. IAPD ↗
$307.7M RAUM · 8 reps · 763-682-4014
ComplianceMarketing & brand
45
FI3 FINANCIAL ADVISORS, LLC notice-filed in IL. IAPD ↗
$791.7M RAUM · 18 reps · 317-426-8800 · twitter@fi3advisors.com
ComplianceMarketing & brand
45
TRU INDEPENDENCE ASSET MANAGEMENT, LLC notice-filed in MA. IAPD ↗
$557.2M RAUM · 7 reps · (971) 371-3444 · yellowwoodwealth.com
ComplianceMarketing & brand
45
CAPITAL PLANNING, LLC notice-filed in MT. IAPD ↗
$549.4M RAUM · 8 reps · 425-643-1800
ComplianceMarketing & brand
45
CADENT CAPITAL ADVISORS, LLC notice-filed in FL. IAPD ↗
$616.9M RAUM · 8 reps · 918-935-3450 · cadcapital.com
ComplianceMarketing & brand
45
MEASURED WEALTH PRIVATE CLIENT GROUP, LLC notice-filed in RI. IAPD ↗
$408.1M RAUM · 8 reps · 603-431-1444
ComplianceMarketing & brand
45
FLOURISH WEALTH MANAGEMENT INC. notice-filed in TX. IAPD ↗
$327.8M RAUM · 4 reps · (952) 392-4474
ComplianceMarketing & brand
45
DENVER PWM, LLC notice-filed in OR. IAPD ↗
$585.8M RAUM · 13 reps · 720-354-3850 · harmonypca.com
ComplianceMarketing & brand
45
HUGHES FINANCIAL SERVICES, LLC notice-filed in DE. IAPD ↗
$510.0M RAUM · 7 reps · 703-669-3660 · h4fs.com
ComplianceMarketing & brand
45
INSIGHT FOLIOS notice-filed in CO. IAPD ↗
$279.0M RAUM · 15 reps · (704) 529-9500
ComplianceMarketing & brand
45
RUBICON ADVISORS notice-filed in IL. IAPD ↗
$293.8M RAUM · 16 reps · 530-223-5357
ComplianceMarketing & brand
45
THE MAIN STREET GROUP notice-filed in AZ. IAPD ↗
$324.9M RAUM · 8 reps · 804-270-4470
ComplianceMarketing & brand
45
D.B. ROOT & COMPANY, LLC notice-filed in MI. IAPD ↗
$713.5M RAUM · 12 reps · 412-227-2800
ComplianceMarketing & brand
45
GOLDSTONE FINANCIAL GROUP, LLC notice-filed in MI. IAPD ↗
$662.4M RAUM · 12 reps · 630-620-9300
ComplianceMarketing & brand
45
PROVENCE WEALTH MANAGEMENT GROUP notice-filed in ID. IAPD ↗
$275.7M RAUM · 6 reps · (949) 222-6400
ComplianceMarketing & brand
45
ELEMENT POINTE FAMILY OFFICE notice-filed in CT. IAPD ↗
$836.9M RAUM · 10 reps · (786) 655-9790
ComplianceMarketing & brand
45
BMSS WESSON WEALTH SOLUTIONS notice-filed in LA. IAPD ↗
$493.5M RAUM · 6 reps · 205-982-5555 · bmsswesson.com
ComplianceMarketing & brand
45
LEBENTHAL GLOBAL ADVISORS, LLC notice-filed in AZ. IAPD ↗
$713.5M RAUM · 21 reps · 516-785-1800
ComplianceMarketing & brand
45
WOODSTOCK WEALTH MANAGEMENT, INC. notice-filed in MI. IAPD ↗
$511.2M RAUM · 26 reps · 800-279-4468 · assetmanagementstrategiesllc.com
ComplianceMarketing & brand
45
PSI ADVISORS, LLC notice-filed in AL. IAPD ↗
$624.2M RAUM · 13 reps · (813)343-3860
ComplianceMarketing & brand
45
TRUVESTMENTS CAPITAL LLC notice-filed in WA. IAPD ↗
$362.7M RAUM · 14 reps · 941-753-3814
ComplianceMarketing & brand
45
SOVEREIGN FINANCIAL GROUP, INC. notice-filed in OH. IAPD ↗
$716.9M RAUM · 16 reps · (888) 765-8180 · sfgroupinc.com
ComplianceMarketing & brand
45
ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLC notice-filed in TN. IAPD ↗
$409.3M RAUM · 6 reps · 717-403-6030 · zimllc.com
ComplianceMarketing & brand
45
KEY CLIENT FIDUCIARY ADVISORS, LLC notice-filed in MI. IAPD ↗
$636.1M RAUM · 10 reps · 973-244-4142 · keyclientfa.com
ComplianceMarketing & brand
45
WEALTHBRIDGE CAPITAL MANAGEMENT, LLC notice-filed in IL. IAPD ↗
$467.8M RAUM · 2 reps · (614) 591-4515
ComplianceMarketing & brand
45
HOWARD WEALTH MANAGEMENT, LLC notice-filed in OH. IAPD ↗
$290.5M RAUM · 2 reps · 203-421-8339
ComplianceMarketing & brand
45
BEACON HARBOR WEALTH ADVISORS notice-filed in GA. IAPD ↗
$522.3M RAUM · 4 reps · 757-644-4545 · beaconharborwealth.com
ComplianceMarketing & brand
45
VERUM PARTNERS LLC notice-filed in NY. IAPD ↗
$740.4M RAUM · 11 reps · (980) 771-3999
ComplianceMarketing & brand
45
DST WEALTH MANAGEMENT LLC notice-filed in ME. IAPD ↗
$405.2M RAUM · 5 reps · 760-340-1448
ComplianceMarketing & brand
45
FIVE OCEANS ADVISORS notice-filed in FL. IAPD ↗
$496.1M RAUM · 6 reps · (310) 507-9180
ComplianceMarketing & brand
45
PENSION & WEALTH MANAGEMENT ADVISORS notice-filed in IN. IAPD ↗
$301.3M RAUM · 5 reps · 781-810-0800 · pensionwealth.com
ComplianceMarketing & brand
45
REGIMEN WEALTH, LLC notice-filed in VA. IAPD ↗
$295.4M RAUM · 4 reps · 770-738-8200
ComplianceMarketing & brand
45
WEALTHPLAN INVESTMENT MANAGEMENT LLC notice-filed in CT. IAPD ↗
$988.9M RAUM · 8 reps · 402-691-0200
ComplianceMarketing & brand
45
LAVELLE CAPITAL notice-filed in TX. IAPD ↗
$267.4M RAUM · 3 reps · 415-501-9987
ComplianceMarketing & brand
45
VESTGEN ADVISORS, LLC notice-filed in NC. IAPD ↗
$660.3M RAUM · 13 reps · 847-907-9600 · investwithwmg.com
ComplianceMarketing & brand
45
HOXTON PLANNING & MANAGEMENT, LLC notice-filed in NC. IAPD ↗
$348.4M RAUM · 3 reps · 304-876-2619
ComplianceMarketing & brand
45
WEALTH SCIENCE ADVISORS LLC notice-filed in SC. IAPD ↗
$368.9M RAUM · 7 reps · 678-837-5438 · wealthscienceadvisors.net
ComplianceMarketing & brand
45
BEACON BRIDGE WEALTH PARTNERS, LLC notice-filed in NY. IAPD ↗
$307.7M RAUM · 5 reps · 484-533-6600
ComplianceMarketing & brand
45
ETHOS FINANCIAL GROUP, LLC notice-filed in UT. IAPD ↗
$913.9M RAUM · 20 reps · 484-889-7270 · ethosfg.com
ComplianceMarketing & brand
45
JESSUP WEALTH MANAGEMENT notice-filed in NC. IAPD ↗
$260.6M RAUM · 4 reps · (937) 938-9105
ComplianceMarketing & brand
45
DODDS WEALTH, LLC notice-filed in NC. IAPD ↗
$541.3M RAUM · 7 reps · 303-539-3900 · doddswealth.com
ComplianceMarketing & brand
45
ARCHWAY WEALTH MANAGEMENT, LLC notice-filed in NJ. IAPD ↗
$287.3M RAUM · 3 reps · (573) 999-2248 · archwaywealthstl.com
ComplianceMarketing & brand
45
FAIRVOY PRIVATE WEALTH, LLC notice-filed in NC. IAPD ↗
$460.2M RAUM · 6 reps · (205)578-6250 · fairvoypw.com
ComplianceMarketing & brand
45
RELATION WEALTH MANAGEMENT, INC. notice-filed in KS. IAPD ↗
$299.1M RAUM · 5 reps · 918-999-9137 · relationwealth.com
ComplianceMarketing & brand
44
U. S. BOSTON CAPITAL CORPORATION notice-filed in FL, NH. IAPD ↗
$131.1M RAUM · 1 reps · 781-259-1144 · usboston.com
ComplianceMarketing & brand
44
B.B. GRAHAM & COMPANY, INC. notice-filed in MI, SC. IAPD ↗
$172.7M RAUM · 27 reps · (714) 628-5200 · bbgraham.com
ComplianceMarketing & brand
44
TIMOTHY FINANCIAL COUNSEL, INC. notice-filed in GA, TN. IAPD ↗
$0 RAUM · 14 reps · 630-681-0700 · timothyfinancial.com
ComplianceMarketing & brand
44
GAMMA ASSET MANAGEMENT LLC notice-filed in FL, NY. IAPD ↗
$100.6M RAUM · 3 reps · 787-957-3260 · gammaam.com
ComplianceMarketing & brand
44
B.A. SCHROCK WEALTH MANAGEMENT notice-filed in NH, OK. IAPD ↗
$162.1M RAUM · 5 reps · 330-473-1060 · baschrock-fg.com
ComplianceMarketing & brand
44
EVERSTAR ASSET MANAGEMENT, LLC notice-filed in NJ, NY. IAPD ↗
$131.4M RAUM · 6 reps · 440-376-1629 · everstarassetmanagement.com
ComplianceMarketing & brand
44
THEPARTNERS WEALTH MANAGEMENT notice-filed in NM, UT. IAPD ↗
$172.5M RAUM · 7 reps · 800-324-3010 · worthfinancialsolutions.com
ComplianceMarketing & brand
44
CLOUD CAPITAL notice-filed in CO, FL. IAPD ↗
$157.4M RAUM · 3 reps · 8007954303 · cloudcapital.us
ComplianceMarketing & brand
44
ALTITUDE CAPITAL MANAGEMENT LLC notice-filed in IL, TN. IAPD ↗
$0 RAUM · 3 reps · 515-207-3310 · altitudecm.com
ComplianceMarketing & brand
44
BLUE JEAN FINANCIAL LLC notice-filed in NH, VT. IAPD ↗
$77.2M RAUM · 9 reps · (518) 406-8488 · bluejeanfinancial.com
ComplianceMarketing & brand
44
A&M PRIVATE WEALTH PARTNERS, LLC notice-filed in CA, TX. IAPD ↗
$103.2M RAUM · 11 reps · 561-437-6738
ComplianceMarketing & brand
44
OWL CREEK WEALTH PARTNERS notice-filed in LA, TX. IAPD ↗
$205.9M RAUM · 1 reps · 303-409-4409 · owlcreekwealth.com
ComplianceMarketing & brand
42
W&S BROKERAGE SERVICES, INC. notice-filed in NJ. IAPD ↗
$122.9M RAUM · 73 reps · 800-257-2135
ComplianceMarketing & brand
42
SUPREME ALLIANCE LLC notice-filed in LA. IAPD ↗
$11.1M RAUM · 13 reps · 561-460-2870 · supremealliancellc.com
ComplianceMarketing & brand
42
RACHOR INVESTMENT ADVISORY SERVICES, LLC notice-filed in NY. IAPD ↗
$185.6M RAUM · 14 reps · 810-732-7777 · rias.net
ComplianceMarketing & brand
42
GOODPASTURE GRAY notice-filed in NM. IAPD ↗
$192.3M RAUM · 2 reps · (615) 601-3330
ComplianceMarketing & brand
42
ELDERADO FINANCIAL, INC notice-filed in AZ. IAPD ↗
$194.9M RAUM · 5 reps · 970-249-9900
ComplianceMarketing & brand
42
HERGENROEDER FINANCIAL ADVISORS, INC. notice-filed in LA. IAPD ↗
$248.0M RAUM · 4 reps · 410-769-8262 · hfainc.net
ComplianceMarketing & brand
42
SAVANT INVESTMENT ADVISERS, INC. notice-filed in FL. IAPD ↗
$131.3M RAUM · 3 reps · 708-799-7477 · savantadvisers.com
ComplianceMarketing & brand
42
INVESCO, LLC notice-filed in WI. IAPD ↗
$232.7M RAUM · 4 reps · 847-824-4078 · invescollc.com
ComplianceMarketing & brand
42
REGAL ADVISORY SERVICES, INC. notice-filed in MN. IAPD ↗
$108.8M RAUM · 17 reps · 877-488-6537 · regaladvisoryservices.com
ComplianceMarketing & brand
42
SUMMIT FINANCIAL WORKING WITH PEOPLE YOU TRUST notice-filed in CA. IAPD ↗
$115.1M RAUM · 6 reps · 586-226-2100
ComplianceMarketing & brand
42
BARDEN CAPITAL MANAGEMENT, INC. notice-filed in NE. IAPD ↗
$157.1M RAUM · 3 reps · 512-366-8081
ComplianceMarketing & brand
42
VALUES FIRST ADVISORS, INC. notice-filed in AR. IAPD ↗
$190.1M RAUM · 9 reps · 877-832-3847
ComplianceMarketing & brand
42
ARBOR FINANCIAL SERVICES, LLC notice-filed in WI. IAPD ↗
$117.7M RAUM · 3 reps · 630-701-9080 · arborfinancialservices.com
ComplianceMarketing & brand
42
THIRD SIGMA INVESTMENT ADVISORS LLC notice-filed in MI. IAPD ↗
$112.6M RAUM · 2 reps · 302-656-1111 · thirdsigmaadvisors.com
ComplianceMarketing & brand
42
MBIA CAPITAL ADVISORS notice-filed in CO. IAPD ↗
$135.2M RAUM · 3 reps · 513-324-2201
ComplianceMarketing & brand
42
HORIZON FINANCIAL SERVICES, LLC notice-filed in TX. IAPD ↗
$177.8M RAUM · 4 reps · 336-659-7060
ComplianceMarketing & brand
42
PARSONEX ADVISORY SERVICES, INC. notice-filed in WA. IAPD ↗
$151.6M RAUM · 2 reps · 303-662-8700 · parsonexadvisory.com
ComplianceMarketing & brand
42
CHRISTIAN FINANCIAL ADVISORS notice-filed in WA. IAPD ↗
$171.4M RAUM · 5 reps · 830-609-6986 · christianfinancialadvisors.com
ComplianceMarketing & brand
42
LAGUNA WEALTH ADVISORS, LLC notice-filed in FL. IAPD ↗
$117.2M RAUM · 2 reps · 949 464-4466 · lagunawealthadvisors.com
ComplianceMarketing & brand
42
CATALYST FINANCIAL NW CORPORATION notice-filed in FL. IAPD ↗
$156.5M RAUM · 2 reps · 503-661-9010 · catalyst-nw.com
ComplianceMarketing & brand
42
MY WEALTH MANAGEMENT, INC notice-filed in TX. IAPD ↗
$151.7M RAUM · 2 reps · 301-330-7900
ComplianceMarketing & brand
42
BLUEPRINT WEALTH MANAGEMENT notice-filed in VA. IAPD ↗
$108.9M RAUM · 2 reps · 352-674-3911
ComplianceMarketing & brand
42
STANGIER WEALTH MANAGEMENT notice-filed in CA. IAPD ↗
$234.6M RAUM · 3 reps · 503-257-0057 · stangierwealthmanagement.com
ComplianceMarketing & brand
42
LAUFER WEALTH MANAGEMENT, LLC notice-filed in CA. IAPD ↗
$122.7M RAUM · 1 reps · 631-226-9600 · lauferllp.com
ComplianceMarketing & brand
42
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC notice-filed in NH. IAPD ↗
$116.6M RAUM · 4 reps · 475-241-6966
ComplianceMarketing & brand
42
CYR FINANCIAL INC. notice-filed in TX. IAPD ↗
$112.1M RAUM · 4 reps · (815) 925-7501
ComplianceMarketing & brand
42
LAKE ROAD ADVISORS, LLC notice-filed in WA. IAPD ↗
$67.9M RAUM · 2 reps · (607) 438-2914
ComplianceMarketing & brand
42
FPFOCO notice-filed in OR. IAPD ↗
$101.5M RAUM · 3 reps · 970-225-0504
ComplianceMarketing & brand
42
SPURSTONE notice-filed in TN. IAPD ↗
$123.6M RAUM · 2 reps · 860-264-1111 · vimeo.com
ComplianceMarketing & brand
42
KAIZEN RETIREMENT PLAN ADVISORS, LLC notice-filed in ME. IAPD ↗
$130.9M RAUM · 1 reps · 508-850-6401 · kaizenrpa.com
ComplianceMarketing & brand
42
TWIN GRYPHON ADVISORS LLC notice-filed in NH. IAPD ↗
$107.9M RAUM · 1 reps · (781) 319-0098
ComplianceMarketing & brand
42
Q CAPITAL SOLUTIONS notice-filed in KY. IAPD ↗
$245.9M RAUM · 2 reps · 732-600-5557 · qcapitalsolutions.com
ComplianceMarketing & brand
42
ORIGIN INVESTMENT ADVISORY LLC notice-filed in NV. IAPD ↗
$896,331 RAUM · 52 reps · 6172273825 · useorigin.com
ComplianceMarketing & brand
42
HALLETT ADVISORS notice-filed in LA. IAPD ↗
$130.4M RAUM · 6 reps · 360-457-6000
ComplianceMarketing & brand
42
HEGARTY ADVISORS, LLC notice-filed in TX. IAPD ↗
$93.4M RAUM · 2 reps · 516-280-2323 · hegartyadvisors.com
ComplianceMarketing & brand
42
GREAT POINT ADVISORS, LLC notice-filed in UT. IAPD ↗
$14.6M RAUM · 20 reps · 312-356-4475
ComplianceMarketing & brand
42
ADVISOR SHARE WEALTH MANAGEMENT notice-filed in MO. IAPD ↗
$48.0M RAUM · 22 reps · 866-232-3251 · aswealthmanagement.com
ComplianceMarketing & brand
42
FOREFRONT notice-filed in MA. IAPD ↗
$118.2M RAUM · 7 reps · 512-617-1984
ComplianceMarketing & brand
42
WINTERS FINANCIAL GROUP, INC. notice-filed in NV. IAPD ↗
$169.5M RAUM · 2 reps · 805-497-1717 · wintersfg.com
ComplianceMarketing & brand
42
COLORADO WEALTH GROUP LLC notice-filed in VA. IAPD ↗
$175.8M RAUM · 9 reps · 720-729-2500 · coloradowealthgroup.com
ComplianceMarketing & brand
42
MILLER AVENUE ADVISORS LLC notice-filed in LA. IAPD ↗
$123.2M RAUM · 3 reps · 415-888-8472 · milleraveadvisors.com
ComplianceMarketing & brand
42
PASSIVE MANAGEMENT LLC notice-filed in CT. IAPD ↗
$25.7M RAUM · 1 reps · 2126181416
ComplianceMarketing & brand
42
WINCAP FINANCIAL LLC notice-filed in TX. IAPD ↗
$124.2M RAUM · 2 reps · (617) 590-3250 · wincapfinancial.com
ComplianceMarketing & brand
42
DISCIPLINE WEALTH SOLUTIONS, INC. notice-filed in NM. IAPD ↗
$93.0M RAUM · 14 reps · 864-322-6046 · stahlneckergroup.com
ComplianceMarketing & brand
42
THE WEALTH BOUTIQUE notice-filed in GA. IAPD ↗
$100.2M RAUM · 7 reps · 732-752-9191 · melissamyersgroup.com
ComplianceMarketing & brand
42
ENTREWEALTH notice-filed in GA. IAPD ↗
$174.7M RAUM · 4 reps · 512-240-2244 · jeffsocha.com
ComplianceMarketing & brand
42
TRUE VISION FINANCIAL ADVISORS notice-filed in LA. IAPD ↗
$200.0M RAUM · 3 reps · 612-256-2208 · truevisionadvice.com
ComplianceMarketing & brand
42
FOGUTH WEALTH MANAGEMENT, LLC. notice-filed in AZ. IAPD ↗
$237.0M RAUM · 10 reps · (810) 522-5650
ComplianceMarketing & brand
42
COUNTERWEIGHT PRIVATE WEALTH notice-filed in TX. IAPD ↗
$137.0M RAUM · 2 reps · 919-726-6124
ComplianceMarketing & brand
42
PRAIRIEVIEW WEALTH PARTNERS, LLC notice-filed in OH. IAPD ↗
$134.9M RAUM · 2 reps · 708-326-4750
ComplianceMarketing & brand
42
CAPITAL A WEALTH MANAGEMENT notice-filed in LA. IAPD ↗
$149.2M RAUM · 8 reps · 724-658-4211
ComplianceMarketing & brand
42
ALPHA VEE ADVISORS notice-filed in FL. IAPD ↗
$0 RAUM · 1 reps · (617) 212-8691 · alphaveeadvisors.com
ComplianceMarketing & brand
42
ROUTE 20 PRIVATE WEALTH INC. notice-filed in OR. IAPD ↗
$0 RAUM · 2 reps · 561-843-4678 · route20wealth.com
ComplianceMarketing & brand
40
EVENTIDE ASSET MANAGEMENT, LLC notice-filed in AL, AR, AZ, CA, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, MD, ME, MI, MN, MO, MS, MT, ND, NJ, NM, NV, NY, OH, OK, OR, PR, RI, SC, SD, TN, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗fund
$6.98B RAUM · 20 reps · 877-771-3836
ComplianceMarketing & brand
40
ASPIRE STRATEGIST PORTFOLIOS LLC notice-filed in AK, AL, AR, AZ, CA, CO, CT, DC, DE, HI, IA, ID, KS, LA, MA, MD, ME, MN, MO, MS, MT, ND, NE, NH, NM, NV, OK, OR, PA, PR, RI, SD, TX, UT, VA, VI, VT, WA, WI, WY. IAPD ↗institutional
$33.6M RAUM · 3 reps · 212 292 3177 · aspiresp.com
ComplianceMarketing & brand
39
SIMPLIFY ASSET MANAGEMENT INC. notice-filed in ME, UT. IAPD ↗institutional
$4.66B RAUM · 13 reps · 646-585-0476 · simplify.us
ComplianceMarketing & brand
37
MEEDER PUBLIC FUNDS, INC. notice-filed in NH. IAPD ↗institutional
$54.57B RAUM · 32 reps · 800-325-3539 · meederinvestment.com
ComplianceMarketing & brand
37
VEST FINANCIAL LLC notice-filed in CO. IAPD ↗institutional
$24.38B RAUM · 10 reps · 855-979-6060
ComplianceMarketing & brand
35
NEWFRONT RETIREMENT SERVICES, INC. notice-filed in CO. IAPD ↗institutional
$366.8M RAUM · 20 reps · 415-754-3635 · newfront.com
ComplianceMarketing & brand
35
HAUSER RETIREMENT SOLUTIONS 2 LLC notice-filed in FL. IAPD ↗institutional
$965.7M RAUM · 6 reps · 513-745-9200 · thehausergroup.com
ComplianceMarketing & brand
32
GREYLOCK PEAK INVESTMENTS, LLC notice-filed in RI. IAPD ↗institutional
$0 RAUM · 1 reps · 646-822-1269 · greylockpeak.com
ComplianceMarketing & brand
32
HUDSON HOUSING CAPITAL LLC notice-filed in FL. IAPD ↗fund
$5.37B RAUM · 5 reps · 212-218-4456 · hudsonhousing.com
ComplianceMarketing & brand
32
FIRST INFRASTRUCTURE CAPITAL ADVISORS, LLC notice-filed in NC. IAPD ↗fund
$1.32B RAUM · 4 reps · 713.337.7980 · firstinfrastructurecapital.com
ComplianceMarketing & brand
32
ANDALUSIAN PRIVATE CAPITAL, LP notice-filed in NY. IAPD ↗fund
$1.70B RAUM · 9 reps · (646) 908-6030 · andalusian.com
ComplianceMarketing & brand
32
BELL PARTNERS notice-filed in GA. IAPD ↗fund
$5.72B RAUM · 65 reps · 336-232-1900 · bellpartnersinc.com
ComplianceMarketing & brand
30
ARISTIDES CAPITAL LLC notice-filed in KY. IAPD ↗fund
$377.9M RAUM · 6 reps · 502-419-2956 · aristidescapital.com
ComplianceMarketing & brand
30
NEW FORESTS INC. notice-filed in DE. IAPD ↗fund
$684.1M RAUM · 13 reps · 415-321-3300
ComplianceMarketing & brand
30
CHICAGO ATLANTIC ADVISERS, LLC notice-filed in NY. IAPD ↗fund
$679.1M RAUM · 36 reps · 312-809-7002 · chicagoatlantic.com
ComplianceMarketing & brand
12
DUNHILL FINANCIAL notice-filed in NY. IAPD ↗foreign
$240.6M RAUM · 4 reps · +44 7514 993 556
ComplianceMarketing & brand
disclosure added — 123 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
EDWARD JONES's Item 11 disclosure-reporting entries rose by 1 (108 -> 109). IAPD ↗
$692.25B RAUM · 21219 reps · 314-515-2000
ComplianceMarketing & brand
55
GOLDMAN SACHS & CO. LLC's Item 11 disclosure-reporting entries rose by 2 (761 -> 763). IAPD ↗
$222.74B RAUM · 2406 reps · 212-902-1000
ComplianceMarketing & brand
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 3 (159 -> 162). IAPD ↗
$149.25B RAUM · 3027 reps · 314-342-2000 · reidberrywm.com
ComplianceMarketing & brand
55
VOYA FINANCIAL ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 1 (53 -> 54). IAPD ↗
$3.05B RAUM · 529 reps · 1-800-356-2906 · voyafinancialadvisors.com
ComplianceMarketing & brand
55
LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 42 (289 -> 331). IAPD ↗
$463.48B RAUM · 27045 reps · 704-733-3300
ComplianceMarketing & brand
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 5 (493 -> 498). IAPD ↗
$1271.59B RAUM · 26251 reps · 800-637-7455
ComplianceMarketing & brand
55
INDEPENDENT FINANCIAL GROUP, LLC's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗
$6.75B RAUM · 444 reps · 858-436-3180 · ifgsd.com
ComplianceMarketing & brand
55
MML INVESTORS SERVICES, LLC's Item 11 disclosure-reporting entries rose by 2 (72 -> 74). IAPD ↗
$72.83B RAUM · 4764 reps · (413)737-8400
ComplianceMarketing & brand
55
THRIVENT INVESTMENT MANAGEMENT INC.'s Item 11 disclosure-reporting entries rose by 3 (23 -> 26). IAPD ↗
$14.81B RAUM · 2509 reps · 800-847-4836 · thrivent.com
ComplianceMarketing & brand
55
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER's Item 11 disclosure-reporting entries rose by 2 (12 -> 14). IAPD ↗
$9.33B RAUM · 484 reps · 480-991-0225 · unitedplanners.com
ComplianceMarketing & brand
55
VALIC FINANCIAL ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 4 (50 -> 54). IAPD ↗
$25.25B RAUM · 1289 reps · 866-544-4968 · corebridgefinancial.com
ComplianceMarketing & brand
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC.'s Item 11 disclosure-reporting entries rose by 10 (112 -> 122). IAPD ↗
$173.04B RAUM · 206 reps · 212-454-4500
ComplianceMarketing & brand
55
HIGHLAND ASSOCIATES INC's Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗
$23.57B RAUM · 18 reps · 205-933-8664
ComplianceMarketing & brand
55
INVESCO ADVISERS, INC.'s Item 11 disclosure-reporting entries rose by 2 (5 -> 7). IAPD ↗
$746.33B RAUM · 835 reps · 404-892-0896
ComplianceMarketing & brand
55
FINANCIAL SYNERGIES's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$1.29B RAUM · 14 reps · 713-623-6600
ComplianceMarketing & brand
55
BLACKROCK ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 3 (23 -> 26). IAPD ↗
$869.68B RAUM · 156 reps · 212 810 5300
ComplianceMarketing & brand
55
BLACKROCK FINANCIAL MANAGEMENT, INC's Item 11 disclosure-reporting entries rose by 3 (35 -> 38). IAPD ↗
$1288.50B RAUM · 1038 reps · 212 810 5300
ComplianceMarketing & brand
55
GOLDMAN SACHS ASSET MANAGEMENT, L.P.'s Item 11 disclosure-reporting entries rose by 3 (30 -> 33). IAPD ↗
$1661.29B RAUM · 801 reps · 212-902-1000 · nextcapital.lightning.force.com
ComplianceMarketing & brand
55
ABACUS PLANNING GROUP, INC.'s Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$1.68B RAUM · 6 reps · 803-933-0054
ComplianceMarketing & brand
55
BLACKROCK CAPITAL MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 3 (26 -> 29). IAPD ↗
$110.92B RAUM · 154 reps · 302 797 2000 · blackrock.com
ComplianceMarketing & brand
55
BLACKROCK INVESTMENT MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 3 (22 -> 25). IAPD ↗
$458.19B RAUM · 536 reps · 609 282 2000 · blackrock.com
ComplianceMarketing & brand
55
RREEF AMERICA L.L.C.'s Item 11 disclosure-reporting entries rose by 10 (112 -> 122). IAPD ↗
$31.83B RAUM · 138 reps · 312-537-7000
ComplianceMarketing & brand
55
CIBC PRIVATE WEALTH ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 4 (8 -> 12). IAPD ↗
$57.31B RAUM · 204 reps · 312-368-7700 · private-wealth.us.cibc.com
ComplianceMarketing & brand
55
DENALI ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
ComplianceMarketing & brand
55
NEPC, LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$95.39B RAUM · 120 reps · 617-374-1300
ComplianceMarketing & brand
55
MASON INVESTMENT ADVISORY SERVICES INC's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗
$12.16B RAUM · 36 reps · 703-716-6000 · masoncompanies.com
ComplianceMarketing & brand
55
AZZAD ASSET MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$1.49B RAUM · 8 reps · 703-207-7005
ComplianceMarketing & brand
55
THRIVENT FINANCIAL FOR LUTHERANS's Item 11 disclosure-reporting entries rose by 3 (5 -> 8). IAPD ↗
$121.60B RAUM · 153 reps · 800-847-4836
ComplianceMarketing & brand
55
NEUBERGER BERMAN INVESTMENT ADVISERS LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$337.28B RAUM · 691 reps · 212-476-9000 · nb.com
ComplianceMarketing & brand
55
STONEBRIDGE ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
$10.04B RAUM · 10 reps · 203-762-0004 · stonebridgeft.com
ComplianceMarketing & brand
55
BULLTICK WEALTH MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$1.60B RAUM · 20 reps · 305-533-1541 · bulltick.com
ComplianceMarketing & brand
55
NB ALTERNATIVES ADVISERS LLC's Item 11 disclosure-reporting entries rose by 1 (4 -> 5). IAPD ↗
$118.04B RAUM · 187 reps · 214-647-9500
ComplianceMarketing & brand
55
INVESCO MANAGED ACCOUNTS, LLC's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
$17.54B RAUM · 29 reps · 1-866-769-2773 · snwam.com
ComplianceMarketing & brand
55
FOCUSED WEALTH MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$1.18B RAUM · 12 reps · 845-691-4035
ComplianceMarketing & brand
55
TD PRIVATE CLIENT WEALTH LLC's Item 11 disclosure-reporting entries rose by 1 (20 -> 21). IAPD ↗
$4.82B RAUM · 284 reps · 877-703-9896 · td.com
ComplianceMarketing & brand
55
INSPIRE INVESTING, LLC's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
$2.56B RAUM · 2 reps · (877) 658-9473
ComplianceMarketing & brand
55
FOUNDATIONS INVESTMENT ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗
$6.71B RAUM · 187 reps · 480-626-2979
ComplianceMarketing & brand
55
GQG PARTNERS's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$120.57B RAUM · 24 reps · 754-218-5500
ComplianceMarketing & brand
55
ATOM INVESTORS LP's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$1.72B RAUM · 7 reps · (737) 249-0292
ComplianceMarketing & brand
53
G. A. REPPLE & COMPANY's Item 11 disclosure-reporting entries rose by 6 (9 -> 15). IAPD ↗
$612.9M RAUM · 58 reps · 407-339-9090 · garepple.com
ComplianceMarketing & brand
53
HUTCHINSON CAPITAL MANAGEMENT's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$833.0M RAUM · 3 reps · 415-464-5650
ComplianceMarketing & brand
53
TRUST ADVISORY GROUP LTD's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
$560.4M RAUM · 41 reps · 800-292-2411 · coromandelwm.com
ComplianceMarketing & brand
53
SB ADVISORY, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$285.9M RAUM · 29 reps · 404-704-0406 · pnwadvisory.com
ComplianceMarketing & brand
53
MANSKE WEALTH MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$513.3M RAUM · 6 reps · (713) 581-1994 · manskewealth.com
ComplianceMarketing & brand
53
GREYTOWN ADVISORS's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$846.7M RAUM · 5 reps · 305-901-1600 · greytownadvisors.com
ComplianceMarketing & brand
53
WEALTH WATCH ADVISORS, INC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$415.2M RAUM · 47 reps · 855-822-3708 · wealthwatchadvisors.com
ComplianceMarketing & brand
53
OAK HARVEST INVESTMENT SERVICES's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$728.8M RAUM · 22 reps · 281-822-1350
ComplianceMarketing & brand
53
KANEN WEALTH MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$292.5M RAUM · 2 reps · 631-863-3100 · kanenadvisory.com
ComplianceMarketing & brand
53
TACTIVE ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 21 (0 -> 21). IAPD ↗
$405.8M RAUM · 1 reps · 855-282-2848 · pcliftonfinancial.com
ComplianceMarketing & brand
50
MUTUAL OF OMAHA INVESTOR SERVICES, INC.'s Item 11 disclosure-reporting entries rose by 1 (33 -> 34). IAPD ↗
$15.5M RAUM · 285 reps · 402-351-3102 · mutualofomaha.com
ComplianceMarketing & brand
50
LPL ENTERPRISE, LLC's Item 11 disclosure-reporting entries rose by 42 (10 -> 52). IAPD ↗
$0 RAUM · 12 reps · 704-733-3300 · lpl.com
ComplianceMarketing & brand
50
THE KOCEN FINANCIAL GROUP, INC.'s Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$140.3M RAUM · 5 reps · 760-324-4015 · kfginc.com
ComplianceMarketing & brand
50
MUTUAL TRUST ASSET MGMT., INC.'s Item 11 disclosure-reporting entries rose by 5 (1 -> 6). IAPD ↗
$241.4M RAUM · 9 reps · 813-264-0440
ComplianceMarketing & brand
50
PROFESSIONAL FINANCIAL's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$191.5M RAUM · 3 reps · 585-218-9080 · paulbyronhill.com
ComplianceMarketing & brand
50
PARTNERS CAPITAL SERVICES, INC.'s Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$138.8M RAUM · 11 reps · 631-851-0918 · partcapservices.com
ComplianceMarketing & brand
50
HARVEST VOLATILITY MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$216.6M RAUM · 5 reps · 203-307-0600 · harvestvolatilitymanagement.com
ComplianceMarketing & brand
50
RETIREMENT SPECIALTY GROUP, INC.'s Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$0 RAUM · 2 reps · 931-738-4733 · investmentpreacher.com
ComplianceMarketing & brand
50
CALLAHAN FINANCIAL PLANNING's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$100.4M RAUM · 5 reps · (800) 991-5195 · callahanfp.com
ComplianceMarketing & brand
50
APERTURE ADVISORS LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$0 RAUM · 2 reps · 561.203.6803 · apertureadvisors.io
ComplianceMarketing & brand
50
COASTAL WEALTH MANAGEMENT's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$33.8M RAUM · 1 reps · 917-558-2468 · coastalprivatewealthmgmt.com
ComplianceMarketing & brand
50
CIRO CAPITAL LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$58.6M RAUM · 1 reps · 646-785-6201
ComplianceMarketing & brand
45
PIPER SANDLER & CO.'s Item 11 disclosure-reporting entries rose by 3 (6 -> 9). IAPD ↗institutional
$1.58B RAUM · 24 reps · 612-303-6000 · pipersandler.com
ComplianceMarketing & brand
45
STATE FARM INVESTMENT MANAGEMENT CORP.'s Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗institutional
$10.16B RAUM · 22 reps · 800-447-0740
ComplianceMarketing & brand
45
INVESCO INVESTMENT ADVISERS LLC's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗institutional
$5.09B RAUM · 10 reps · 713-214-1919 · invesco.com
ComplianceMarketing & brand
45
BLACKROCK FUND ADVISORS's Item 11 disclosure-reporting entries rose by 3 (22 -> 25). IAPD ↗institutional
$3047.29B RAUM · 283 reps · 415 670 2000
ComplianceMarketing & brand
45
SUNAMERICA ASSET MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 4 (22 -> 26). IAPD ↗institutional
$57.90B RAUM · 12 reps · 201-324-6300 · corebridgefinancial.com
ComplianceMarketing & brand
45
REGIONS INVESTMENT MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 8 (31 -> 39). IAPD ↗institutional
$16.99B RAUM · 25 reps · 205-326-7074 · regions.com
ComplianceMarketing & brand
45
DBX ADVISORS LLC's Item 11 disclosure-reporting entries rose by 10 (112 -> 122). IAPD ↗institutional
$20.04B RAUM · 11 reps · 212-454-4500
ComplianceMarketing & brand
45
KAUFMAN HALL INVESTMENT MANAGEMENT's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
$1.26B RAUM · 4 reps · 615-690-5541 · kaufmanhall.com
ComplianceMarketing & brand
40
DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 10 (672 -> 682). IAPD ↗institutional
$0 RAUM · 149 reps · 212-250-2500 · dbresearch.com
ComplianceMarketing & brand
40
NEUBERGER BERMAN BD LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗institutional
$0 RAUM · 695 reps · 212-476-9000 · nb.com
ComplianceMarketing & brand
40
NOMURA SECURITIES INTERNATIONAL, INC.'s Item 11 disclosure-reporting entries rose by 1 (130 -> 131). IAPD ↗institutional
$0 RAUM · 13 reps · 212-667-9000 · nomura.com
ComplianceMarketing & brand
40
INVESCO SENIOR SECURED MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 2 (6 -> 8). IAPD ↗fund
$31.07B RAUM · 59 reps · 212-278-9000
ComplianceMarketing & brand
40
BLACKROCK REALTY ADVISORS INC's Item 11 disclosure-reporting entries rose by 3 (20 -> 23). IAPD ↗fund
$2.14B RAUM · 61 reps · 212 810 5300
ComplianceMarketing & brand
40
TENNENBAUM CAPITAL PARTNERS, LLC's Item 11 disclosure-reporting entries rose by 3 (26 -> 29). IAPD ↗fund
$6.09B RAUM · 19 reps · 310 566 1000
ComplianceMarketing & brand
40
MARATHON ASSET MANAGEMENT, L.P.'s Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$24.93B RAUM · 92 reps · 212-500-3000
ComplianceMarketing & brand
40
FORTRESS INVESTMENT GROUP's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗fund
$79.96B RAUM · 369 reps · 212-798-6100
ComplianceMarketing & brand
40
WL ROSS & CO. LLC's Item 11 disclosure-reporting entries rose by 2 (10 -> 12). IAPD ↗fund
$1.25B RAUM · 2 reps · 972-715-7400 · invesco.com
ComplianceMarketing & brand
40
EW HEALTHCARE PARTNERS's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$2.24B RAUM · 16 reps · 281-364-1555 · ewhealthcare.com
ComplianceMarketing & brand
40
ECOR1 CAPITAL, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$5.00B RAUM · 8 reps · 415-754-3517
ComplianceMarketing & brand
40
BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 4 (124 -> 128). IAPD ↗institutional
$0 RAUM · 314 reps · 646-743-2734 · bofaml.com
ComplianceMarketing & brand
40
NEUBERGER BERMAN LOAN ADVISERS LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$6.39B RAUM · 3 reps · 312-325-7700
ComplianceMarketing & brand
40
BLACKROCK ALTERNATIVES MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 3 (22 -> 25). IAPD ↗fund
$14.60B RAUM · 16 reps · 212 810 5300
ComplianceMarketing & brand
40
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 3 (25 -> 28). IAPD ↗fund
$50.71B RAUM · 26 reps · 302 797 2000 · douyin.com
ComplianceMarketing & brand
40
LMR PARTNERS LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$148.50B RAUM · 43 reps · 6468915738 · lmrpartners.com
ComplianceMarketing & brand
40
NEUBERGER BERMAN LOAN ADVISERS II LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$9.33B RAUM · 3 reps · 312-325-7700
ComplianceMarketing & brand
40
INVESCO LOAN MANAGER, LLC's Item 11 disclosure-reporting entries rose by 2 (6 -> 8). IAPD ↗fund
$14.63B RAUM · 59 reps · 212 278-9000
ComplianceMarketing & brand
40
BRYANT PARK FUNDING CLO MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
$0 RAUM · 44 reps · 212-500-3000
ComplianceMarketing & brand
40
GQG PRIVATE CAPITAL SOLUTIONS LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
$0 RAUM · 7 reps · 754-218-5500
ComplianceMarketing & brand
38
INVESCO PRIVATE CAPITAL, INC.'s Item 11 disclosure-reporting entries rose by 2 (10 -> 12). IAPD ↗fund
$769.1M RAUM · 4 reps · 212-826-1100 · invesco.com
ComplianceMarketing & brand
38
STILWELL VALUE LLC's Item 11 disclosure-reporting entries rose by 2 (4 -> 6). IAPD ↗fund
$250.4M RAUM · 2 reps · 212-269-2005
ComplianceMarketing & brand
38
JZ PARTNERS's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$723.4M RAUM · 22 reps · 212-485-9410 · jzpartners.com
ComplianceMarketing & brand
38
COLONY CAPITAL INVESTMENT ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗fund
$801.9M RAUM · 2 reps · 561-570-4644 · digitalbridge.com
ComplianceMarketing & brand
38
NEBARI PARTNERS, LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$324.0M RAUM · 9 reps · 917-873-6776 · nebari.com
ComplianceMarketing & brand
38
CLOSED LOOP PARTNERS, LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$492.3M RAUM · 17 reps · 646-475-0201
ComplianceMarketing & brand
38
PIPER SANDLER ADVISORS LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$364.6M RAUM · 7 reps · 800-333-6000
ComplianceMarketing & brand
38
BLACK DRAGON CAPITAL INVESTMENT MANAGEMENT, INC's Item 11 disclosure-reporting entries rose by 2 (3 -> 5). IAPD ↗fund
$452.7M RAUM · 12 reps · 305-539-9415 · blackdragoncap.com
ComplianceMarketing & brand
38
NEUBERGER BERMAN LOAN ADVISERS IV LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$865.2M RAUM · 3 reps · 312-325-7700
ComplianceMarketing & brand
38
THORNBURG BOW RIVER ADVISERS, LLC.'s Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$340.9M RAUM · 6 reps · 303-861-8466 · thornburg.com
ComplianceMarketing & brand
35
OPPENHEIMERFUNDS INC's Item 11 disclosure-reporting entries rose by 2 (3 -> 5). IAPD ↗fund
$197.0M RAUM · 0 reps · 212-323-0200
ComplianceMarketing & brand
35
WAYZATA INVESTMENT PARTNERS LLC's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗fund
$183.8M RAUM · 5 reps · 952-345-0700 · wayzatainvestmentpartners.com
ComplianceMarketing & brand
35
SVOF/MM, LLC's Item 11 disclosure-reporting entries rose by 3 (25 -> 28). IAPD ↗fund
$203.5M RAUM · 19 reps · 310 566 1000
ComplianceMarketing & brand
25
DWS INTERNATIONAL GMBH's Item 11 disclosure-reporting entries rose by 10 (112 -> 122). IAPD ↗foreign
$44.97B RAUM · 75 reps · 49 69 910 12371
ComplianceMarketing & brand
25
CIBC ASSET MANAGEMENT INC.'s Item 11 disclosure-reporting entries rose by 4 (4 -> 8). IAPD ↗foreign
$108.43B RAUM · 265 reps · 888-888-3863 · cibc.com
ComplianceMarketing & brand
25
BLACKROCK INTERNATIONAL LIMITED's Item 11 disclosure-reporting entries rose by 3 (22 -> 25). IAPD ↗foreign
$48.14B RAUM · 27 reps · 44 131 4727200 · mp.weixin.qq.com
ComplianceMarketing & brand
25
JARISLOWSKY FRASER LTD's Item 11 disclosure-reporting entries rose by 4 (12 -> 16). IAPD ↗foreign
$34.18B RAUM · 73 reps · 514-842-2727
ComplianceMarketing & brand
25
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL's Item 11 disclosure-reporting entries rose by 3 (26 -> 29). IAPD ↗foreign
$405.22B RAUM · 202 reps · 44-207-774-1000 · gsam.com
ComplianceMarketing & brand
25
DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 10 (111 -> 121). IAPD ↗foreign
$1.93B RAUM · 8 reps · 011 612 8258 1234 · dws.com
ComplianceMarketing & brand
25
DWS ALTERNATIVES GLOBAL LIMITED's Item 11 disclosure-reporting entries rose by 10 (113 -> 123). IAPD ↗foreign
$16.10B RAUM · 76 reps · 44 207 547 5344
ComplianceMarketing & brand
25
DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 10 (113 -> 123). IAPD ↗foreign
$2.97B RAUM · 20 reps · 852-2203-8888
ComplianceMarketing & brand
25
NEUBERGER BERMAN ASIA LIMITED's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
$6.25B RAUM · 22 reps · 852 3664 8800
ComplianceMarketing & brand
25
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG's Item 11 disclosure-reporting entries rose by 3 (22 -> 25). IAPD ↗foreign
$1.27B RAUM · 19 reps · 41 44 297 7373
ComplianceMarketing & brand
25
NEUBERGER BERMAN EUROPE LIMITED's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
$79.37B RAUM · 53 reps · +44 203-214-9000
ComplianceMarketing & brand
25
ABRDN INVESTMENTS LIMITED's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
$183.69B RAUM · 354 reps · 44 1313729444
ComplianceMarketing & brand
25
BLACKROCK (SINGAPORE) LIMITED's Item 11 disclosure-reporting entries rose by 3 (22 -> 25). IAPD ↗foreign
$50.66B RAUM · 99 reps · 65 6411 3000 · mp.weixin.qq.com
ComplianceMarketing & brand
25
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED's Item 11 disclosure-reporting entries rose by 3 (22 -> 25). IAPD ↗foreign
$96.93B RAUM · 102 reps · 852 3903 2800
ComplianceMarketing & brand
25
NEUBERGER BERMAN SINGAPORE PTE. LIMITED's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
$28.41B RAUM · 10 reps · 65-6645-3760
ComplianceMarketing & brand
25
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD.'s Item 11 disclosure-reporting entries rose by 3 (30 -> 33). IAPD ↗foreign
$55.81B RAUM · 35 reps · -10509
ComplianceMarketing & brand
25
NEUBERGER BERMAN CANADA ULC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
$11.18B RAUM · 13 reps · 416-883-6904
ComplianceMarketing & brand
25
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED's Item 11 disclosure-reporting entries rose by 3 (30 -> 33). IAPD ↗foreign
$16.38B RAUM · 24 reps · 852 2978 1000
ComplianceMarketing & brand
25
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD.'s Item 11 disclosure-reporting entries rose by 3 (30 -> 33). IAPD ↗foreign
$14.43B RAUM · 30 reps · 65 6889 1000
ComplianceMarketing & brand
23
1832 ASSET MANAGEMENT U.S. INC.'s Item 11 disclosure-reporting entries rose by 4 (12 -> 16). IAPD ↗foreign
$787.2M RAUM · 22 reps · 416-840-7986
ComplianceMarketing & brand
20
PALOS MANAGEMENT INC.'s Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗foreign
$128.1M RAUM · 2 reps · 514-397-0188
ComplianceMarketing & brand
new office — 109 Count of additional offices increased.
55
SANFORD C. BERNSTEIN & CO., LLC added office(s): 22 -> 23 additional locations. IAPD ↗
$3.71B RAUM · 0 reps · 615-622-0000
Office IT & facilitiesCRMRecruiting & transitions
55
YHB INVESTMENT ADVISORS INC added office(s): 0 -> 3 additional locations. IAPD ↗
$1.75B RAUM · 16 reps · 860-561-7050 · yhbia.com
Office IT & facilitiesCRMRecruiting & transitions
55
WESCOTT FINANCIAL ADVISORY GROUP LLC added office(s): 3 -> 6 additional locations. IAPD ↗
$3.48B RAUM · 30 reps · 215-979-1619
Office IT & facilitiesCRMRecruiting & transitions
55
MATTER FAMILY OFFICE added office(s): 2 -> 3 additional locations. IAPD ↗
$3.39B RAUM · 38 reps · 314-862-5190
Office IT & facilitiesCRMRecruiting & transitions
55
SJS INVESTMENT SERVICES added office(s): 2 -> 3 additional locations. IAPD ↗
$2.24B RAUM · 16 reps · 419-885-2626
Office IT & facilitiesCRMRecruiting & transitions
55
LEAVELL INVESTMENT MANAGEMENT, INC. added office(s): 4 -> 5 additional locations. IAPD ↗
$2.49B RAUM · 24 reps · 251-433-3709 · leavellinvestments.com
Office IT & facilitiesCRMRecruiting & transitions
55
ALLIANCEBERNSTEIN L.P. added office(s): 53 -> 54 additional locations. IAPD ↗
$651.48B RAUM · 829 reps · 615-622-0000 · blog.naver.com
Office IT & facilitiesCRMRecruiting & transitions
55
VALLEY WEALTH MANAGERS, INC. added office(s): 11 -> 12 additional locations. IAPD ↗
$2.25B RAUM · 48 reps · 888-794-7940
Office IT & facilitiesCRMRecruiting & transitions
55
GRIMES & COMPANY, INC. added office(s): 19 -> 25 additional locations. IAPD ↗
$4.85B RAUM · 27 reps · 508-366-3883
Office IT & facilitiesCRMRecruiting & transitions
55
WAVERLY ADVISORS, LLC added office(s): 18 -> 25 additional locations. IAPD ↗
$13.30B RAUM · 119 reps · 205-871-3334 · waverly-advisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
THE CAPROCK GROUP, LLC added office(s): 4 -> 8 additional locations. IAPD ↗
$9.36B RAUM · 35 reps · (208) 368-9600
Office IT & facilitiesCRMRecruiting & transitions
55
CARY STREET PARTNERS added office(s): 16 -> 17 additional locations. IAPD ↗
$6.98B RAUM · 71 reps · (804) 340-8100
Office IT & facilitiesCRMRecruiting & transitions
55
AUXANO ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$1.27B RAUM · 8 reps · (425) 889-1261 · auxanoadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
CAPITAL ADVISORS, LTD., LLC added office(s): 0 -> 10 additional locations. IAPD ↗
$1.13B RAUM · 11 reps · 216-295-7900
Office IT & facilitiesCRMRecruiting & transitions
55
APELLA WEALTH added office(s): 15 -> 16 additional locations. IAPD ↗
$3.35B RAUM · 40 reps · 860.785.2260
Office IT & facilitiesCRMRecruiting & transitions
55
INSPIRE INVESTING, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$2.56B RAUM · 2 reps · (877) 658-9473
Office IT & facilitiesCRMRecruiting & transitions
55
AB PRIVATE CREDIT INVESTORS LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$7.10B RAUM · 1 reps · 615-622-0000
Office IT & facilitiesCRMRecruiting & transitions
55
FIRST COMMAND ADVISORY SERVICES added office(s): 176 -> 186 additional locations. IAPD ↗
$22.09B RAUM · 1155 reps · 817-731-8621
Office IT & facilitiesCRMRecruiting & transitions
55
ONEASCENT FINANCIAL SERVICES LLC added office(s): 30 -> 31 additional locations. IAPD ↗
$1.79B RAUM · 39 reps · 205-313-9142 · navigator-financial.com
Office IT & facilitiesCRMRecruiting & transitions
55
THE FIDUCIARY ALLIANCE added office(s): 14 -> 15 additional locations. IAPD ↗
$1.23B RAUM · 34 reps · 864-385-7999
Office IT & facilitiesCRMRecruiting & transitions
55
EVERSOURCE WEALTH ADVISORS, LLC added office(s): 22 -> 23 additional locations. IAPD ↗
$2.69B RAUM · 40 reps · 205-982-5515 · generouswealthaz.com
Office IT & facilitiesCRMRecruiting & transitions
55
ALERA INVESTMENT ADVISORS, LLC added office(s): 10 -> 12 additional locations. IAPD ↗
$2.73B RAUM · 52 reps · (847) 457-3000
Office IT & facilitiesCRMRecruiting & transitions
55
EVOKE ADVISORS added office(s): 2 -> 3 additional locations. IAPD ↗
$27.46B RAUM · 30 reps · 424-372-1776 · evokewealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
IEQ CAPITAL, LLC added office(s): 10 -> 14 additional locations. IAPD ↗
$23.58B RAUM · 100 reps · 650-581-9807 · ieqcapital.com
Office IT & facilitiesCRMRecruiting & transitions
55
JOURNEY STRATEGIC WEALTH LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$3.07B RAUM · 12 reps · (201) 905-0070 · journeysw.com
Office IT & facilitiesCRMRecruiting & transitions
55
THE BALDWIN GROUP WEALTH ADVISORS, LLC added office(s): 1 -> 5 additional locations. IAPD ↗
$4.81B RAUM · 43 reps · 866-279-0698 · baldwin.com
Office IT & facilitiesCRMRecruiting & transitions
55
BLEAKLEY FINANCIAL GROUP, LLC added office(s): 19 -> 21 additional locations. IAPD ↗
$9.18B RAUM · 152 reps · (973) 575-4180
Office IT & facilitiesCRMRecruiting & transitions
55
CONCURRENT INVESTMENT ADVISORS, LLC added office(s): 38 -> 39 additional locations. IAPD ↗
$6.26B RAUM · 132 reps · (813) 575-2652 · stamperwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
TITLEIST ASSET MANAGEMENT, LLC added office(s): 10 -> 11 additional locations. IAPD ↗
$1.40B RAUM · 18 reps · 210-826-2424 · tamgmt.com
Office IT & facilitiesCRMRecruiting & transitions
53
PVG ASSET MANAGEMENT CORP added office(s): 0 -> 2 additional locations. IAPD ↗
$500.4M RAUM · 3 reps · 303-526-0548 · facebook.com\pvgasset
Office IT & facilitiesCRMRecruiting & transitions
53
WILLIAM MACK & ASSOCIATES INC added office(s): 25 -> 26 additional locations. IAPD ↗
$754.8M RAUM · 7 reps · 248-643-4310 · wmack.com
Office IT & facilitiesCRMRecruiting & transitions
53
PENN DAVIS MCFARLAND INC added office(s): 0 -> 1 additional locations. IAPD ↗
$843.2M RAUM · 4 reps · 214-871-2772
Office IT & facilitiesCRMRecruiting & transitions
53
LEELYN SMITH, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$603.4M RAUM · 17 reps · 630-232-8995
Office IT & facilitiesCRMRecruiting & transitions
53
MUSTARD SEED WEALTH MANAGEMENT added office(s): 4 -> 5 additional locations. IAPD ↗
$364.0M RAUM · 7 reps · 870-234-1618 · mustardseedfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
NORTHSTAR FINANCIAL COMPANIES, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$284.6M RAUM · 4 reps · 610-629-6100 · northstarfci.com
Office IT & facilitiesCRMRecruiting & transitions
53
AA FINANCIAL ADVISORS, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$864.3M RAUM · 9 reps · 614-442-3355
Office IT & facilitiesCRMRecruiting & transitions
53
INTERACTIVE FINANCIAL ADVISORS added office(s): 21 -> 22 additional locations. IAPD ↗
$284.9M RAUM · 36 reps · 630-472-1300
Office IT & facilitiesCRMRecruiting & transitions
53
UNITED CAPITAL MANAGEMENT OF KANSAS, INC. added office(s): 7 -> 8 additional locations. IAPD ↗
$459.8M RAUM · 19 reps · 785-823-7900 · ucmofkansas.com
Office IT & facilitiesCRMRecruiting & transitions
53
OAKWELL PRIVATE WEALTH MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗
$411.8M RAUM · 8 reps · 1-800-55OAKWELL · oakwellpwm.com
Office IT & facilitiesCRMRecruiting & transitions
53
FOUNDERS FINANCIAL ALLIANCE, LLC added office(s): 14 -> 15 additional locations. IAPD ↗
$700.9M RAUM · 28 reps · 855-860-5940 · foundersfinancialalliance.com
Office IT & facilitiesCRMRecruiting & transitions
53
INSIGHT FOLIOS added office(s): 10 -> 11 additional locations. IAPD ↗
$279.0M RAUM · 15 reps · (704) 529-9500
Office IT & facilitiesCRMRecruiting & transitions
53
BMSS WESSON WEALTH SOLUTIONS added office(s): 2 -> 5 additional locations. IAPD ↗
$493.5M RAUM · 6 reps · 205-982-5555 · bmsswesson.com
Office IT & facilitiesCRMRecruiting & transitions
53
LEXAURUM ADVISORS added office(s): 19 -> 20 additional locations. IAPD ↗
$784.2M RAUM · 31 reps · 913-261-9316 · kowitzfinancialgroup.com
Office IT & facilitiesCRMRecruiting & transitions
53
WHITAKER-MYERS WEALTH MANAGERS, LTD. added office(s): 23 -> 24 additional locations. IAPD ↗
$513.0M RAUM · 15 reps · (330) 345-5000 · whitaker-myers.com
Office IT & facilitiesCRMRecruiting & transitions
53
LONGVIEW FINANCIAL ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$318.9M RAUM · 2 reps · 415-256-7700 · longviewfin.com
Office IT & facilitiesCRMRecruiting & transitions
53
TRUVESTMENTS CAPITAL LLC added office(s): 10 -> 12 additional locations. IAPD ↗
$362.7M RAUM · 14 reps · 941-753-3814
Office IT & facilitiesCRMRecruiting & transitions
53
INSPIRE ADVISORS, LLC added office(s): 29 -> 30 additional locations. IAPD ↗
$835.3M RAUM · 45 reps · 877-859-6383 · inspireadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
VERUM PARTNERS LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$740.4M RAUM · 11 reps · (980) 771-3999
Office IT & facilitiesCRMRecruiting & transitions
53
CONVERGENCE FINANCIAL added office(s): 6 -> 8 additional locations. IAPD ↗
$422.4M RAUM · 13 reps · (573) 818-2264
Office IT & facilitiesCRMRecruiting & transitions
53
FIVE OCEANS ADVISORS added office(s): 1 -> 2 additional locations. IAPD ↗
$496.1M RAUM · 6 reps · (310) 507-9180
Office IT & facilitiesCRMRecruiting & transitions
53
FORTIS CAPITAL ADVISORS, LLC added office(s): 20 -> 32 additional locations. IAPD ↗
$630.6M RAUM · 37 reps · (775) 446-4208 · fortiscapitaladvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
FOCUSED ALPHA, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$306.8M RAUM · 3 reps · 303-529-5100
Office IT & facilitiesCRMRecruiting & transitions
53
CARR FINANCIAL GROUP added office(s): 0 -> 3 additional locations. IAPD ↗
$553.6M RAUM · 5 reps · (508) 795-0264 · carrfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
VESTGEN ADVISORS, LLC added office(s): 1 -> 5 additional locations. IAPD ↗
$660.3M RAUM · 13 reps · 847-907-9600 · investwithwmg.com
Office IT & facilitiesCRMRecruiting & transitions
53
KOOMAN & ASSOCIATES added office(s): 0 -> 2 additional locations. IAPD ↗
$411.3M RAUM · 5 reps · 814-941-4800
Office IT & facilitiesCRMRecruiting & transitions
53
WEALTHSPRING added office(s): 4 -> 8 additional locations. IAPD ↗
$300.1M RAUM · 4 reps · 562-491-4410
Office IT & facilitiesCRMRecruiting & transitions
53
HAMPSHIRE FAMILY OFFICE added office(s): 0 -> 1 additional locations. IAPD ↗
$843.7M RAUM · 5 reps · 212-365-7624 · hampshirefamilyoffice.com
Office IT & facilitiesCRMRecruiting & transitions
53
TWIN PEAKS WEALTH ADVISORS added office(s): 9 -> 10 additional locations. IAPD ↗
$318.5M RAUM · 7 reps · (650) 200-0308
Office IT & facilitiesCRMRecruiting & transitions
53
PORTSIDE WEALTH GROUP, LLC added office(s): 28 -> 33 additional locations. IAPD ↗
$884.8M RAUM · 37 reps · 385-412-1222
Office IT & facilitiesCRMRecruiting & transitions
53
RELATION WEALTH MANAGEMENT, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$299.1M RAUM · 5 reps · 918-999-9137 · relationwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
HAWKINS INVESTMENT COUNSEL, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$145.4M RAUM · 2 reps · 360.536.2181 · hawkinscounsel.com
Office IT & facilitiesCRMRecruiting & transitions
50
MARMO FINANCIAL GROUP, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$226.0M RAUM · 4 reps · 423-282-0514 · marmofinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
COLLAR CAPITAL MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$105.8M RAUM · 2 reps · 920-903-9540 · collarcapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
TENCAP WEALTH COACHING added office(s): 9 -> 10 additional locations. IAPD ↗
$0 RAUM · 9 reps · 801-337-5032
Office IT & facilitiesCRMRecruiting & transitions
50
LAKE TAHOE WEALTH MANAGEMENT, INC. added office(s): 2 -> 3 additional locations. IAPD ↗
$191.6M RAUM · 3 reps · 855-515-5896 · laketahoewealthmanagement.org
Office IT & facilitiesCRMRecruiting & transitions
50
HGI CAPITAL MANAGEMENT, LLC. added office(s): 2 -> 3 additional locations. IAPD ↗
$186.5M RAUM · 3 reps · 212-644-0515
Office IT & facilitiesCRMRecruiting & transitions
50
GRUPP FINANCIAL LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$81.7M RAUM · 3 reps · 1.307.200.6579 · gruppfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
QUINT INVESTMENTS AND INSURANCE added office(s): 0 -> 1 additional locations. IAPD ↗
$56.0M RAUM · 8 reps · 845-345-3628 · quintii.com
Office IT & facilitiesCRMRecruiting & transitions
50
INVARIANT INVESTMENT MANAGEMENT added office(s): 3 -> 4 additional locations. IAPD ↗
$101.0M RAUM · 6 reps · (717) 317-9006 · invariantinvestments.com
Office IT & facilitiesCRMRecruiting & transitions
50
PATHWISE added office(s): 0 -> 1 additional locations. IAPD ↗
$162.5M RAUM · 2 reps · 925-939-5607 · pathwise.co
Office IT & facilitiesCRMRecruiting & transitions
50
APTUS FINANCIAL, LLC added office(s): 6 -> 9 additional locations. IAPD ↗
$0 RAUM · 9 reps · 501-907-1993
Office IT & facilitiesCRMRecruiting & transitions
50
LAKE ROAD ADVISORS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$67.9M RAUM · 2 reps · (607) 438-2914
Office IT & facilitiesCRMRecruiting & transitions
50
ARES FINANCIAL CONSULTING LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$185.9M RAUM · 5 reps · 818-986-1479 · aresfinancialconsulting.com
Office IT & facilitiesCRMRecruiting & transitions
50
MICHAEL TRAXLER WEALTH MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$141.1M RAUM · 3 reps · 952-758-8060 · michaeltraxler.com
Office IT & facilitiesCRMRecruiting & transitions
50
MODEL WEALTH added office(s): 0 -> 1 additional locations. IAPD ↗
$200.3M RAUM · 4 reps · (630) 381-1170 · modelwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
XANTOS LABS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.4M RAUM · 1 reps · (512) 843-2673
Office IT & facilitiesCRMRecruiting & transitions
50
WINTERS FINANCIAL GROUP, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$169.5M RAUM · 2 reps · 805-497-1717 · wintersfg.com
Office IT & facilitiesCRMRecruiting & transitions
50
ASSUREDPARTNERS INVESTMENT ADVISORS added office(s): 14 -> 15 additional locations. IAPD ↗
$179.0M RAUM · 15 reps · 407-708-0050
Office IT & facilitiesCRMRecruiting & transitions
50
WINCAP FINANCIAL LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$124.2M RAUM · 2 reps · (617) 590-3250 · wincapfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
DISCIPLINE WEALTH SOLUTIONS, INC. added office(s): 5 -> 11 additional locations. IAPD ↗
$93.0M RAUM · 14 reps · 864-322-6046 · stahlneckergroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
THE WEALTH BOUTIQUE added office(s): 2 -> 3 additional locations. IAPD ↗
$100.2M RAUM · 7 reps · 732-752-9191 · melissamyersgroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
CLOUD CAPITAL added office(s): 1 -> 2 additional locations. IAPD ↗
$157.4M RAUM · 3 reps · 8007954303 · cloudcapital.us
Office IT & facilitiesCRMRecruiting & transitions
50
LUMIERE FINANCIAL added office(s): 1 -> 4 additional locations. IAPD ↗
$45.0M RAUM · 8 reps · (212) 516-5900
Office IT & facilitiesCRMRecruiting & transitions
50
ONEASCENT FAMILY OFFICES added office(s): 3 -> 4 additional locations. IAPD ↗
$93.8M RAUM · 2 reps · (205) 313-9142 · sovereignfamilyoffice.co
Office IT & facilitiesCRMRecruiting & transitions
50
SLP WEALTH added office(s): 15 -> 16 additional locations. IAPD ↗
$9.0M RAUM · 17 reps · (910) 315-0973 · slpwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
HASENBERG FINANCIAL GROUP added office(s): 0 -> 1 additional locations. IAPD ↗
$199.6M RAUM · 3 reps · 715-839-6566 · hasenberginc.com
Office IT & facilitiesCRMRecruiting & transitions
50
ALPHA VEE ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · (617) 212-8691 · alphaveeadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
ALTITUDE CAPITAL MANAGEMENT LLC added office(s): 3 -> 6 additional locations. IAPD ↗
$0 RAUM · 3 reps · 515-207-3310 · altitudecm.com
Office IT & facilitiesCRMRecruiting & transitions
50
INTEGRITY WEALTH LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$238.8M RAUM · 3 reps · (541) 650-6061 · integritywealthnw.com
Office IT & facilitiesCRMRecruiting & transitions
50
PARK SQUARE FINANCIAL GROUP LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$0 RAUM · 4 reps · 770-641-1401
Office IT & facilitiesCRMRecruiting & transitions
50
PEAK WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$25.5M RAUM · 1 reps · 518-441-2285
Office IT & facilitiesCRMRecruiting & transitions
45
MEEDER PUBLIC FUNDS, INC. added office(s): 5 -> 6 additional locations. IAPD ↗institutional
$54.57B RAUM · 32 reps · 800-325-3539 · meederinvestment.com
Office IT & facilitiesCRMRecruiting & transitions
40
ALLIANCEBERNSTEIN HOLDING L.P. added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$0 RAUM · 0 reps · 615-622-0000
Office IT & facilitiesCRMRecruiting & transitions
40
ALLIANCEBERNSTEIN CORPORATION added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$0 RAUM · 0 reps · 615-622-0000
Office IT & facilitiesCRMRecruiting & transitions
40
BALYASNY ASSET MANAGEMENT L.P. added office(s): 27 -> 29 additional locations. IAPD ↗fund
$248.04B RAUM · 814 reps · 312-499-2999 · youtube.com@balyasny
Office IT & facilitiesCRMRecruiting & transitions
40
NORTH CASTLE PARTNERS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.64B RAUM · 12 reps · 203 862 3210
Office IT & facilitiesCRMRecruiting & transitions
40
FIRST INFRASTRUCTURE CAPITAL ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.32B RAUM · 4 reps · 713.337.7980 · firstinfrastructurecapital.com
Office IT & facilitiesCRMRecruiting & transitions
40
HARBOR GROUP INTERNATIONAL, LLC added office(s): 2 -> 3 additional locations. IAPD ↗fund
$3.77B RAUM · 50 reps · 757-640-0800
Office IT & facilitiesCRMRecruiting & transitions
40
JANA PARTNERS MANAGEMENT, LP added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.84B RAUM · 9 reps · 212-455-0900 · janapartners.com
Office IT & facilitiesCRMRecruiting & transitions
40
UNIGESTION (US) LTD added office(s): 0 -> 1 additional locations. IAPD ↗fund
$2.69B RAUM · 6 reps · +1 201-714-2400 · unigestion.com
Office IT & facilitiesCRMRecruiting & transitions
40
MARCYPEN CAPITAL PARTNERS LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.06B RAUM · 14 reps · 424-421-6040 · marcypen.com
Office IT & facilitiesCRMRecruiting & transitions
40
ANDALUSIAN PRIVATE CAPITAL, LP added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.70B RAUM · 9 reps · (646) 908-6030 · andalusian.com
Office IT & facilitiesCRMRecruiting & transitions
40
BELL PARTNERS added office(s): 8 -> 9 additional locations. IAPD ↗fund
$5.72B RAUM · 65 reps · 336-232-1900 · bellpartnersinc.com
Office IT & facilitiesCRMRecruiting & transitions
38
CHICAGO ATLANTIC ADVISERS, LLC added office(s): 2 -> 4 additional locations. IAPD ↗fund
$679.1M RAUM · 36 reps · 312-809-7002 · chicagoatlantic.com
Office IT & facilitiesCRMRecruiting & transitions
38
CORIGLIANO INVESTMENT ADVISERS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$461.6M RAUM · 4 reps · 919-225-6496 · coriglianoenergy.com
Office IT & facilitiesCRMRecruiting & transitions
38
THORNBURG BOW RIVER ADVISERS, LLC. added office(s): 0 -> 1 additional locations. IAPD ↗fund
$340.9M RAUM · 6 reps · 303-861-8466 · thornburg.com
Office IT & facilitiesCRMRecruiting & transitions
20
PORTLAND HILL ASSET MANAGEMENT LIMITED added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$159.3M RAUM · 3 reps · 44 203 890 9288 · portlandhill.com
Office IT & facilitiesCRMRecruiting & transitions
20
DUNHILL FINANCIAL added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$240.6M RAUM · 4 reps · +44 7514 993 556
Office IT & facilitiesCRMRecruiting & transitions
20
ESPRESSO CAPITAL ADVISORS INC. added office(s): 0 -> 3 additional locations. IAPD ↗foreign
$0 RAUM · 24 reps · 647-274-9033 · espressocapital.com
Office IT & facilitiesCRMRecruiting & transitions
deregistered — 108 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
GEORGE MCKELVEY CO., LLC (MANASQUAN, NJ) left the SEC roster (was $1.05B RAUM, 9 reps). IAPD ↗
$1.05B RAUM · 9 reps · 732-449-5323 · georgemckelvey.com
Recruiting & transitionsM&A & valuation
65
ROOSEVELT INVESTMENTS (NEW YORK, NY) left the SEC roster (was $2.69B RAUM, 6 reps). IAPD ↗
$2.69B RAUM · 6 reps · 646-452-6700 · rooseveltinvestments.com
Recruiting & transitionsM&A & valuation
65
HALPERN FINANCIAL, INC. (ASHBURN, VA) left the SEC roster (was $1.10B RAUM, 7 reps). IAPD ↗
$1.10B RAUM · 7 reps · 240.268.1000
Recruiting & transitionsM&A & valuation
65
AMERICAN PORTFOLIOS ADVISORS, INC (HOLBROOK, NY) left the SEC roster (was $13.08B RAUM, 600 reps). IAPD ↗
$13.08B RAUM · 600 reps · 631-439-4600 X156
Recruiting & transitionsM&A & valuation
65
ROCATON INVESTMENT ADVISORS (NORWALK, CT) left the SEC roster (was $12.98B RAUM, 20 reps). IAPD ↗
$12.98B RAUM · 20 reps · 203-621-1700
Recruiting & transitionsM&A & valuation
65
INDEXIQ ADVISORS LLC (NEW YORK, NY) left the SEC roster (was $10.44B RAUM, 6 reps). IAPD ↗
$10.44B RAUM · 6 reps · (888) 474-7725 · newyorklifeinvestments.com
Recruiting & transitionsM&A & valuation
65
FINTRUST CAPITAL ADVISORS, LLC (GREENVILLE, SC) left the SEC roster (was $1.74B RAUM, 26 reps). IAPD ↗
$1.74B RAUM · 26 reps · 864-288-2849
Recruiting & transitionsM&A & valuation
65
FORESIGHT WEALTH MANAGEMENT, LLC (DRAPER, UT) left the SEC roster (was $1.35B RAUM, 21 reps). IAPD ↗
$1.35B RAUM · 21 reps · 801-462-2200 · regentsparkadvisors.com
Recruiting & transitionsM&A & valuation
65
THE CAPITAL GROUP INVESTMENT ADVISORY SERVICES, LLC (BETHESDA, MD) left the SEC roster (was $1.18B RAUM, 17 reps). IAPD ↗
$1.18B RAUM · 17 reps · (301) 214-7666 · capgroupfinancial.com
Recruiting & transitionsM&A & valuation
65
ABBREA CAPITAL, LLC (GREENBRAE, CA) left the SEC roster (was $1.19B RAUM, 4 reps). IAPD ↗
$1.19B RAUM · 4 reps · (415) 894-0077 · abbrea.com
Recruiting & transitionsM&A & valuation
65
WEALTHSOURCE® (SAN LUIS OBISPO, CA) left the SEC roster (was $2.12B RAUM, 42 reps). IAPD ↗
$2.12B RAUM · 42 reps · 805-546-1000
Recruiting & transitionsM&A & valuation
63
MARKSTON INTERNATIONAL LLC (WHITE PLAINS, NY) left the SEC roster (was $861.8M RAUM, 4 reps). IAPD ↗
$861.8M RAUM · 4 reps · 914-761-4700 · markston.com
Recruiting & transitionsM&A & valuation
63
PHILLIPS CAPITAL ADVISORS, INC. (OKLAHOMA CITY, OK) left the SEC roster (was $588.6M RAUM, 15 reps). IAPD ↗
$588.6M RAUM · 15 reps · 405-943-9433 · phillipsinvestments.com
Recruiting & transitionsM&A & valuation
63
KENSHO CAPITAL LLC (location n/a) left the SEC roster (was $335.5M RAUM, 1 reps). IAPD ↗
$335.5M RAUM · 1 reps · 510-495-1514 · kenshocapital.net
Recruiting & transitionsM&A & valuation
63
DIVERGENT WEALTH ADVISORS, LLC (SOUTH JORDAN, UT) left the SEC roster (was $617.4M RAUM, 12 reps). IAPD ↗
$617.4M RAUM · 12 reps · 385-237-4000
Recruiting & transitionsM&A & valuation
63
JOSLIN CAPITAL ADVISORS LLC (REDMOND, WA) left the SEC roster (was $450.3M RAUM, 3 reps). IAPD ↗
$450.3M RAUM · 3 reps · (425) 688-0555 · joslincapital.com
Recruiting & transitionsM&A & valuation
63
TAYLOR HOFFMAN WEALTH MANAGEMENT, LLC (RICHMOND, VA) left the SEC roster (was $304.3M RAUM, 4 reps). IAPD ↗
$304.3M RAUM · 4 reps · (804) 964-2500
Recruiting & transitionsM&A & valuation
63
PEOPLE'S UNITED ADVISORS, INC. (BRIDGEPORT, CT) left the SEC roster (was $845.2M RAUM, 27 reps). IAPD ↗
$845.2M RAUM · 27 reps · 646-971-2505
Recruiting & transitionsM&A & valuation
63
HYPERION PARTNERS, LLC (BERWYN, PA) left the SEC roster (was $354.4M RAUM, 3 reps). IAPD ↗
$354.4M RAUM · 3 reps · (484) 584-4708 · hyperionpartnersllc.com
Recruiting & transitionsM&A & valuation
60
LINDNER CAPITAL ADVISORS, INC. (ATLANTA, GA) left the SEC roster (was $147.0M RAUM, 4 reps). IAPD ↗
$147.0M RAUM · 4 reps · 770-977-7779
Recruiting & transitionsM&A & valuation
60
RLC BUSINESS SERVICES, INC. (NAPLES, FL) left the SEC roster (was $75.5M RAUM, 1 reps). IAPD ↗
$75.5M RAUM · 1 reps · 239-280-1900
Recruiting & transitionsM&A & valuation
60
KEMP FINANCIAL MANAGEMENT, LLC (FULLERTON, CA) left the SEC roster (was $230.0M RAUM, 3 reps). IAPD ↗
$230.0M RAUM · 3 reps · 714-257-0800 · kempfm.com
Recruiting & transitionsM&A & valuation
60
INVESTMENT MANAGEMENT ADVISORS, INC. (NEW YORK, NY) left the SEC roster (was $56.8M RAUM, 1 reps). IAPD ↗
$56.8M RAUM · 1 reps · 212-741-0200 · prudentportfolios.com
Recruiting & transitionsM&A & valuation
60
FIDUCIARY CAPITAL ADVISORS INC (location n/a) left the SEC roster (was $111.5M RAUM, 2 reps). IAPD ↗
$111.5M RAUM · 2 reps · 908-419-9459
Recruiting & transitionsM&A & valuation
60
COBEY JACOBSON & GORDON INC (PASADENA, CA) left the SEC roster (was $99.4M RAUM, 1 reps). IAPD ↗
$99.4M RAUM · 1 reps · 626-584-3000
Recruiting & transitionsM&A & valuation
60
GCI INVESTORS (HOUSTON, TX) left the SEC roster (was $5.0M RAUM, 2 reps). IAPD ↗
$5.0M RAUM · 2 reps · 8324920314
Recruiting & transitionsM&A & valuation
60
CAMBRIDGE FINANCIAL ADVISORS, LLC (SALIDA, CO) left the SEC roster (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · 719-539-1040 · cambridgefinancialadvisors.com
Recruiting & transitionsM&A & valuation
60
COMPASS ADVISORY PARTNERS LLC (COOKEVILLE, TN) left the SEC roster (was $0 RAUM, 10 reps). IAPD ↗
$0 RAUM · 10 reps · 931-400-0012 · fidelisfinancialstrategies.com
Recruiting & transitionsM&A & valuation
60
WIMMER CONSULTING, LLC (IRVING, TX) left the SEC roster (was $105.9M RAUM, 2 reps). IAPD ↗
$105.9M RAUM · 2 reps · 214-219-7762
Recruiting & transitionsM&A & valuation
60
KAY QUINN FINANCIAL, LLC (NASHVILLE, TN) left the SEC roster (was $123.0M RAUM, 1 reps). IAPD ↗
$123.0M RAUM · 1 reps · 615-297-3434 · kayquinnfinancial.com
Recruiting & transitionsM&A & valuation
60
STONEHURST MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $20.9M RAUM, 1 reps). IAPD ↗
$20.9M RAUM · 1 reps · 212-993-7071 · stonehurst.net
Recruiting & transitionsM&A & valuation
60
CAPITAL GROWTH & SHELTER, INC. (location n/a) left the SEC roster (was $33.3M RAUM, 1 reps). IAPD ↗
$33.3M RAUM · 1 reps · 518-399-3372 · capitalgrowthonline.com
Recruiting & transitionsM&A & valuation
60
CONFIDENTIAL PLANNING I, LLC (EAST SYRACUSE, NY) left the SEC roster (was $53.8M RAUM, 8 reps). IAPD ↗
$53.8M RAUM · 8 reps · 315-251-1101 · cpcfs.com
Recruiting & transitionsM&A & valuation
60
BOLAN CAPITAL MANAGEMENT, LLC (CINCINNATI, OH) left the SEC roster (was $238.7M RAUM, 2 reps). IAPD ↗
$238.7M RAUM · 2 reps · 513-624-7070 · bolancapital.com
Recruiting & transitionsM&A & valuation
60
NUKU (BAINBRIDGE ISLAND, WA) left the SEC roster (was $3.2M RAUM, 1 reps). IAPD ↗
$3.2M RAUM · 1 reps · 206-596-2110 · nuku.com
Recruiting & transitionsM&A & valuation
60
WORTH CONSIDERING, INC. (ROCHESTER, NY) left the SEC roster (was $55.1M RAUM, 1 reps). IAPD ↗
$55.1M RAUM · 1 reps · 585-389-6197 · worthconsidering.com
Recruiting & transitionsM&A & valuation
60
INVERDALE CAPITAL MANAGEMENT, LLC (DALLAS, TX) left the SEC roster (was $81.8M RAUM, 2 reps). IAPD ↗
$81.8M RAUM · 2 reps · 214.871.2900 · inverdalecapital.com
Recruiting & transitionsM&A & valuation
60
CAFG WEALTH MANAGEMENT, INC. (NORTH BARRINGTON, IL) left the SEC roster (was $225.2M RAUM, 2 reps). IAPD ↗
$225.2M RAUM · 2 reps · 847-991-1099
Recruiting & transitionsM&A & valuation
60
ODIN CAPITAL MANAGEMENT (location n/a) left the SEC roster (was $249.9M RAUM, 4 reps). IAPD ↗
$249.9M RAUM · 4 reps · 203 252 1304
Recruiting & transitionsM&A & valuation
60
SORTINO ADVISORY PARTNERS, LLC (LOUISVILLE, KY) left the SEC roster (was $211.6M RAUM, 2 reps). IAPD ↗
$211.6M RAUM · 2 reps · (502) 371-9850 · sortinoadvisory.com
Recruiting & transitionsM&A & valuation
60
NEWE WEALTH MANAGEMENT LLC (location n/a) left the SEC roster (was $13,142 RAUM, 1 reps). IAPD ↗
$13,142 RAUM · 1 reps · (408) 966-2807
Recruiting & transitionsM&A & valuation
60
PEAK FINANCIAL SERVICES, INC. (NORTHBOROUGH, MA) left the SEC roster (was $150.5M RAUM, 1 reps). IAPD ↗
$150.5M RAUM · 1 reps · 508-351-9775
Recruiting & transitionsM&A & valuation
60
CATALYST WEALTH MANAGEMENT (NORTHBROOK, IL) left the SEC roster (was $71.7M RAUM, 1 reps). IAPD ↗
$71.7M RAUM · 1 reps · 773-774-2600 · catalystwealthmgmt.com
Recruiting & transitionsM&A & valuation
60
SMARTMONEY.CO, LLC (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 510-396-2953 · smartmoney.co
Recruiting & transitionsM&A & valuation
60
E*HEDGE SECURITIES, INC. (MIAMI, FL) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 800-407-3577 · ehedgesecurities.com
Recruiting & transitionsM&A & valuation
60
GOBE WEALTH MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $243,447 RAUM, 3 reps). IAPD ↗
$243,447 RAUM · 3 reps · 646-293-0913 · gobewealth.com
Recruiting & transitionsM&A & valuation
60
MATRIX ADVISORY (location n/a) left the SEC roster (was $28.0M RAUM, 1 reps). IAPD ↗
$28.0M RAUM · 1 reps · 9174992939
Recruiting & transitionsM&A & valuation
60
PARKRIDGE|JCAM (PIKESVILLE, MD) left the SEC roster (was $6.8M RAUM, 1 reps). IAPD ↗
$6.8M RAUM · 1 reps · 410-205-7967 · parkridgeco.com
Recruiting & transitionsM&A & valuation
60
ROCK CREEK WEALTH PLANNERS AND ADVISORS LLC (SILVER SPRING, MD) left the SEC roster (was $50.2M RAUM, 2 reps). IAPD ↗
$50.2M RAUM · 2 reps · 202-899-1400 · rockcreekwealth.com
Recruiting & transitionsM&A & valuation
60
BKS RETIREMENT SERVICES (TAMPA, FL) left the SEC roster (was $0 RAUM, 8 reps). IAPD ↗
$0 RAUM · 8 reps · 727-723-3676
Recruiting & transitionsM&A & valuation
60
WEALTHUP (SAN FRANCISCO, CA) left the SEC roster (was $1,496 RAUM, 1 reps). IAPD ↗
$1,496 RAUM · 1 reps · 415-861-9461 · personaladviser.com
Recruiting & transitionsM&A & valuation
60
HERCULES INVESTMENTS (LOS ANGELES, CA) left the SEC roster (was $33.2M RAUM, 1 reps). IAPD ↗
$33.2M RAUM · 1 reps · 800 729 0417
Recruiting & transitionsM&A & valuation
60
COMMUNITY CURE INC (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 917-763-7729 · mycommunitycure.com
Recruiting & transitionsM&A & valuation
60
QUANTITATIVE VALUE TECHNOLOGIES (location n/a) left the SEC roster (was $172.6M RAUM, 2 reps). IAPD ↗
$172.6M RAUM · 2 reps · 913-214-5000
Recruiting & transitionsM&A & valuation
60
CERTEZA FUND ADVISORS LLC (PROVIDENCE, UT) left the SEC roster (was $20.2M RAUM, 1 reps). IAPD ↗
$20.2M RAUM · 1 reps · 435-760-0923
Recruiting & transitionsM&A & valuation
60
DNDRO INC. (VANCOUVER, WA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 206-707-8960 · dndro.com
Recruiting & transitionsM&A & valuation
60
WEALTH STACK (AUSTIN, TX) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 737-444-9614
Recruiting & transitionsM&A & valuation
60
PLAYBOOK ADVISER (SAN FRANCISCO, CA) left the SEC roster (was $2.2M RAUM, 3 reps). IAPD ↗
$2.2M RAUM · 3 reps · 415-805-2040
Recruiting & transitionsM&A & valuation
60
NAMTAF ADVISORS, LLC (location n/a) left the SEC roster (was $159.3M RAUM, 1 reps). IAPD ↗
$159.3M RAUM · 1 reps · (314) 973-5059
Recruiting & transitionsM&A & valuation
60
BMO DIRECT INVEST INC. (CHICAGO, IL) left the SEC roster (was $4.7M RAUM, 0 reps). IAPD ↗
$4.7M RAUM · 0 reps · 877-685-9057 · bmo.com
Recruiting & transitionsM&A & valuation
60
WALKER (DOVER, DE) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 925-503-4551 · walkrfinance.com
Recruiting & transitionsM&A & valuation
60
DIGITAL FUNDS LLC (ST. PETERSBURG, FL) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 808-723-4144
Recruiting & transitionsM&A & valuation
60
MARTIN CLAUDE, MATTHEW (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 5045595092 · matthewmartin.tech
Recruiting & transitionsM&A & valuation
60
MAYA ADVISORS, L.L.C. (PALO ALTO, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (707) 438-6292 · getmaya.com
Recruiting & transitionsM&A & valuation
60
HORIZON FINANCIAL (SEWARD, NE) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 5 reps). IAPD ↗
$0 RAUM · 5 reps · 402-643-4557
Recruiting & transitionsM&A & valuation
60
KEYTRENDS INVESTMENTS LLC (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 · 757-816-1296 · keytrendsinvestments.com
Recruiting & transitionsM&A & valuation
60
INTENTIONAL FUNDS (PRINCETON, NJ) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 917-776-7237 · intentionalfunds.com
Recruiting & transitionsM&A & valuation
60
VAM GROUP, LLC (SEWICKLEY, PA) left the SEC roster (was $81.4M RAUM, 2 reps). IAPD ↗
$81.4M RAUM · 2 reps · 724-940-5400 · vescioassetmgt.com
Recruiting & transitionsM&A & valuation
60
VANCE FUNDS LIMITED (CLEVELAND, OH) left the SEC roster — its 120-day provisional registration did not convert (was $378,778 RAUM, 1 reps). IAPD ↗
$378,778 RAUM · 1 reps · (513) 289-9434
Recruiting & transitionsM&A & valuation
60
SLICESPACE (MT. LAUREL, NJ) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · (856) 874-6935 · slicespace.com
Recruiting & transitionsM&A & valuation
60
M26 CAPITAL (LAUDERDALE LAKES, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 305-720-8856
Recruiting & transitionsM&A & valuation
60
TRANEL INTELLIGENT INVESTING, LLC (LIBERTYVILLE, IL) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 847-680-9073 · tranelintelligentinvesting.com
Recruiting & transitionsM&A & valuation
60
ONE CAPITAL PARTNERS LLC (WESTLAKE VILLAGE, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 805-409-8150 · www.ocmfunding.com
Recruiting & transitionsM&A & valuation
60
ASG ADVISORY, 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 · 773-837-9648
Recruiting & transitionsM&A & valuation
60
PORT CAPITAL MANAGEMENT (MASSAPEQUA, NY) left the SEC roster — its 120-day provisional registration did not convert (was $8.4M RAUM, 1 reps). IAPD ↗
$8.4M RAUM · 1 reps · 212-597-2249 · portcapitalmgmt.com
Recruiting & transitionsM&A & valuation
55
PFM ASSET MANAGEMENT LLC (HARRISBURG, PA) left the SEC roster (was $176.88B RAUM, 215 reps). IAPD ↗institutional
$176.88B RAUM · 215 reps · 717-231-6200 · pfmam.com
Recruiting & transitionsM&A & valuation
55
EDGEHILL ENDOWMENT PARTNERS (NEW HAVEN, CT) left the SEC roster (was $2.18B RAUM, 11 reps). IAPD ↗institutional
$2.18B RAUM · 11 reps · 203-654-3552 · edgehillendowment.com
Recruiting & transitionsM&A & valuation
55
MONTAGU US ADVISORS LLC (NEW YORK, NY) left the SEC roster (was $4.40B RAUM, 1 reps). IAPD ↗institutional
$4.40B RAUM · 1 reps · 16465687321 · montagu.com
Recruiting & transitionsM&A & valuation
53
TOUCHDOWN VENTURES INC. (PHILADELPHIA, PA) left the SEC roster (was $458.5M RAUM, 65 reps). IAPD ↗institutional
$458.5M RAUM · 65 reps · 856-431-3535 · touchdownvc.com
Recruiting & transitionsM&A & valuation
53
PEARL RIVER CAPITAL, LLC (NILES, MI) left the SEC roster (was $719.1M RAUM, 9 reps). IAPD ↗institutional
$719.1M RAUM · 9 reps · 269-479-1493 · prcquant.com
Recruiting & transitionsM&A & valuation
50
VANTAGE ADVISORS, LLC (location n/a) left the SEC roster (was $19.7M RAUM, 1 reps). IAPD ↗institutional
$19.7M RAUM · 1 reps · 317-590-4404
Recruiting & transitionsM&A & valuation
50
SHASTA VENTURES (location n/a) left the SEC roster (was $2.02B RAUM, 4 reps). IAPD ↗fund
$2.02B RAUM · 4 reps · 650-543-1700 · shasta.vc
Recruiting & transitionsM&A & valuation
50
PIVOTALPATH (AMERICAS) LLC (NEW YORK, NY) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 212-257-4860
Recruiting & transitionsM&A & valuation
50
FOUNTAINHEAD RETIREMENT SERVICES (WARREN, NJ) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 732-346-1900
Recruiting & transitionsM&A & valuation
50
OATH ADVISORS LLC (NEW YORK, NY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 212-430-2100
Recruiting & transitionsM&A & valuation
50
MIX CAPITAL LTD (NEWPORT BEACH, CA) left the SEC roster (was $0 RAUM, 45 reps). IAPD ↗institutional
$0 RAUM · 45 reps · 870-860-8877
Recruiting & transitionsM&A & valuation
50
AE ADVISORS (location n/a) left the SEC roster (was $100.0M RAUM, 1 reps). IAPD ↗institutional
$100.0M RAUM · 1 reps · 239-710-4529
Recruiting & transitionsM&A & valuation
50
HAVEN ASSET MANAGEMENT (INTERVAL FUNDS) LLC (GREENWICH, CT) left the SEC roster (was $16.4M RAUM, 2 reps). IAPD ↗institutional
$16.4M RAUM · 2 reps · 203-302-1700
Recruiting & transitionsM&A & valuation
50
QUBE CAPITAL SOLUTIONS, LLC (location n/a) left the SEC roster (was $62.8M RAUM, 1 reps). IAPD ↗institutional
$62.8M RAUM · 1 reps · 4754670067 · qube-cs.com
Recruiting & transitionsM&A & valuation
50
ACRISURE CAPITAL 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 · 616-541-6752
Recruiting & transitionsM&A & valuation
48
SQN INVESTORS LP (MENLO PARK, CA) left the SEC roster (was $279.1M RAUM, 4 reps). IAPD ↗fund
$279.1M RAUM · 4 reps · 650-489-9100 · sqninvestors.com
Recruiting & transitionsM&A & valuation
48
YIELD CAPITAL PARTNERS LLC (MONTECITO, CA) left the SEC roster (was $267.2M RAUM, 1 reps). IAPD ↗fund
$267.2M RAUM · 1 reps · 212-883-3333 · yieldcapitalpartners.com
Recruiting & transitionsM&A & valuation
48
ECM U.S. INC. (COHASSET, MA) left the SEC roster (was $455.6M RAUM, 1 reps). IAPD ↗fund
$455.6M RAUM · 1 reps · 781-383-6600
Recruiting & transitionsM&A & valuation
48
SAX CAPITAL LLC (WASHINGTON, DC) left the SEC roster (was $769.5M RAUM, 4 reps). IAPD ↗fund
$769.5M RAUM · 4 reps · (202) 729-9729 · saxcapital.co
Recruiting & transitionsM&A & valuation
48
COWBIRD CAPITAL LP (NEW YORK, NY) left the SEC roster (was $355.5M RAUM, 3 reps). IAPD ↗fund
$355.5M RAUM · 3 reps · 212-350-8803 · cowbirdcapital.com
Recruiting & transitionsM&A & valuation
45
TOURADJI CAPITAL MANAGEMENT LP (BOCA RATON, FL) left the SEC roster (was $52.1M RAUM, 1 reps). IAPD ↗fund
$52.1M RAUM · 1 reps · 212-984-8888 · touradji.com
Recruiting & transitionsM&A & valuation
45
STRATEGOS CAPITAL MANAGEMENT, LLC (WAYNE, PA) left the SEC roster (was $21.6M RAUM, 3 reps). IAPD ↗fund
$21.6M RAUM · 3 reps · 215-701-9610 · strategoscm.com
Recruiting & transitionsM&A & valuation
45
STRIDE CAPITAL GROUP, LP (WESTPORT, CT) left the SEC roster (was $96.6M RAUM, 3 reps). IAPD ↗fund
$96.6M RAUM · 3 reps · 203-569-8920 · stridecapital.com
Recruiting & transitionsM&A & valuation
45
MARKETFIELD ASSET MANAGEMENT LLC (location n/a) left the SEC roster (was $154.0M RAUM, 3 reps). IAPD ↗fund
$154.0M RAUM · 3 reps · 212-514-2350 · marketfieldfund.com
Recruiting & transitionsM&A & valuation
45
JLP ASSET MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $212.1M RAUM, 5 reps). IAPD ↗fund
$212.1M RAUM · 5 reps · 212-578-1650 · jlpasset.com
Recruiting & transitionsM&A & valuation
45
JASPER ASSET MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $7.6M RAUM, 2 reps). IAPD ↗fund
$7.6M RAUM · 2 reps · 6466926003
Recruiting & transitionsM&A & valuation
45
HIGH HURDLE CAPITAL LLC (NEW YORK, NY) left the SEC roster (was $96.6M RAUM, 2 reps). IAPD ↗fund
$96.6M RAUM · 2 reps · 212-388-5976
Recruiting & transitionsM&A & valuation
35
ECOFIN ADVISORS LIMITED (LONDON, United Kingdom) left the SEC roster (was $1.38B RAUM, 9 reps). IAPD ↗foreign
$1.38B RAUM · 9 reps · 44-207-451-2929 · ecofininvest.com
Recruiting & transitionsM&A & valuation
35
PGIM WADHWANI LLP (LONDON, United Kingdom) left the SEC roster (was $1.60B RAUM, 25 reps). IAPD ↗foreign
$1.60B RAUM · 25 reps · 44 (0) 20 7663 3400
Recruiting & transitionsM&A & valuation
35
UNIGESTION (UK) LTD (LONDON, United Kingdom) left the SEC roster (was $1.50B RAUM, 12 reps). IAPD ↗foreign
$1.50B RAUM · 12 reps · +44 (0) 20 7529 5200
Recruiting & transitionsM&A & valuation
30
IMARA ASSET MANAGEMENT LIMITED (ROAD TOWN, TORTOLA, British Virgin Islands) left the SEC roster (was $42.8M RAUM, 2 reps). IAPD ↗foreign
$42.8M RAUM · 2 reps · +230 2631490 · imara.com
Recruiting & transitionsM&A & valuation
30
MAUND AND JONES INVESTMENTS LLC (CASTRIES, Saint Lucia) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗foreign
$0 RAUM · 2 reps · 1 (302) 261-2821
Recruiting & transitionsM&A & valuation
30
NEWLANDS INVESTMENT MANAGEMENT PTE LTD. (SINGAPORE, Singapore) left the SEC roster (was $41.3M RAUM, 3 reps). IAPD ↗foreign
$41.3M RAUM · 3 reps · +65 6221 3931 · newlandsim.com
Recruiting & transitionsM&A & valuation
new registration — 95 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
100
PROVENIO CAPITAL (NEWPORT BEACH, CA) is newly SEC-registered with $1.64B RAUM and 6 advisory reps. IAPD ↗
$1.64B RAUM · 6 reps · (949) 301-9060
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
H. C. DENISON CO. (SHEBOYGAN, WI) is newly SEC-registered with $101.4M RAUM and 4 advisory reps. IAPD ↗
$101.4M RAUM · 4 reps · 920 457-9451 · hcdenison.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL BROKERAGE SERVICES, INC. (HUNT VALLEY, MD) is newly SEC-registered with $117.8M RAUM and 5 advisory reps. IAPD ↗
$117.8M RAUM · 5 reps · 410-785-4990 · globalbrokers.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHKARE.COM, INC. (MOUNT UNION, PA) is newly SEC-registered with $106.2M RAUM and 6 advisory reps. IAPD ↗
$106.2M RAUM · 6 reps · 814-542-5433 · unlockretirement.seminarsoncall.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OXFORD CAPITAL MANAGEMENT (RICHM0ND, VA) is newly SEC-registered with $125.0M RAUM and 2 advisory reps. IAPD ↗
$125.0M RAUM · 2 reps · 804-282-2356
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUPERIOR PLANNING, LLC (SAN DIEGO, CA) is newly SEC-registered with $105.4M RAUM and 5 advisory reps. IAPD ↗
$105.4M RAUM · 5 reps · 858-546-1046
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPASS INVESTMENT ADVISERS, LLC (PORTLAND, OR) is newly SEC-registered with $101.3M RAUM and 2 advisory reps. IAPD ↗
$101.3M RAUM · 2 reps · 503-473-8422 · compassadv.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAIRWAY FINANCIAL, LLC (CASSELBERRY, FL) is newly SEC-registered with $122.4M RAUM and 2 advisory reps. IAPD ↗
$122.4M RAUM · 2 reps · 407-628-0850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PACIFIC COAST INVESTMENT ADVISORS, LLC (WEST LINN, OR) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
$113.9M RAUM · 1 reps · 503-968-2500 · pacificcoastia.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MUNTZ FINANCIAL, LLC (DOYLESTOWN, PA) is newly SEC-registered with $154.8M RAUM and 2 advisory reps. IAPD ↗
$154.8M RAUM · 2 reps · 215-262-6909 · muntzfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
METANOIA FINANCIAL, LLC (location n/a) is newly SEC-registered with $117.9M RAUM and 1 advisory reps. IAPD ↗
$117.9M RAUM · 1 reps · 267-367-6077
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DIRECTIONAL ASSET MANAGEMENT, LLC (ARLINGTON HEIGHTS, IL) is newly SEC-registered with $119.8M RAUM and 1 advisory reps. IAPD ↗
$119.8M RAUM · 1 reps · 847-749-2312
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
1650 WEALTH MANAGEMENT, LLC (LIGHTHOUSE POINT, FL) is newly SEC-registered with $111.0M RAUM and 1 advisory reps. IAPD ↗
$111.0M RAUM · 1 reps · 800-658-9560
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GALLAGHER WEALTH MANAGEMENT (DANVILLE, CA) is newly SEC-registered with $105.3M RAUM and 1 advisory reps. IAPD ↗
$105.3M RAUM · 1 reps · 925-831-3043 · gallagherwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHADOWRIDGE ASSET MANAGEMENT, LLC (AUSTIN, TX) is newly SEC-registered with $108.5M RAUM and 6 advisory reps. IAPD ↗
$108.5M RAUM · 6 reps · 888-434-1427
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APPIAN WAY FINANCIAL (PASADENA, CA) is newly SEC-registered with $121.2M RAUM and 1 advisory reps. IAPD ↗
$121.2M RAUM · 1 reps · (626) 210-2660
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLACK BARN FINANCIAL, LLC (AUSTIN, TX) is newly SEC-registered with $110.1M RAUM and 4 advisory reps. IAPD ↗
$110.1M RAUM · 4 reps · (512) 368-9179
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BREAKWATER FINANCIAL, LLC (NEEDHAM, MA) is newly SEC-registered with $106.5M RAUM and 1 advisory reps. IAPD ↗
$106.5M RAUM · 1 reps · 617-849-8019
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MIDDLETON & COMPANY (VANCOUVER, WA) is newly SEC-registered with $114.9M RAUM and 2 advisory reps. IAPD ↗
$114.9M RAUM · 2 reps · (360) 524-3517
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WAVE WEALTH MANAGEMENT, LLC (FRISCO, TX) is newly SEC-registered with $108.3M RAUM and 1 advisory reps. IAPD ↗
$108.3M RAUM · 1 reps · (972) 954-4100
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CRAFT ASSET MANAGEMENT (TAMPA, FL) is newly SEC-registered with $83.5M RAUM and 7 advisory reps. IAPD ↗
$83.5M RAUM · 7 reps · 813-337-7747
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL ACHIEVEMENTS, LLC (location n/a) is newly SEC-registered with $129.3M RAUM and 1 advisory reps. IAPD ↗
$129.3M RAUM · 1 reps · 512-399-3541 · capitalachievements.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RETIREMITTEN FINANCIAL LLC (MILFORD, MI) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
$108.7M RAUM · 3 reps · 248-935-0470 · retiremitten.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RIVERBEND WEALTH MANAGEMENT, LLC (MYRTLE BEACH, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (843) 970-1049 · riverbendwealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MIDWEST FINANCIAL NETWORK, LLC (TINLEY PARK, IL) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
$105.8M RAUM · 3 reps · 708-670-3083 · midwfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DELAWARE WEALTH PLANNERS (WILMINGTON, DE) is newly SEC-registered with $103.2M RAUM and 3 advisory reps. IAPD ↗
$103.2M RAUM · 3 reps · 302-254-2400
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL INVESTMENT ADVISORY (MCDONOUGH, GA) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (678) 583-1120
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRINCETON VALUE PARTNERS LLC (NEW YORK, NY) is newly SEC-registered with $25.9M RAUM and 2 advisory reps. IAPD ↗
$25.9M RAUM · 2 reps · 6095716687 · princetonvp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOWNSHIFT FINANCIAL (location n/a) is newly SEC-registered with $102.8M RAUM and 2 advisory reps. IAPD ↗
$102.8M RAUM · 2 reps · (720) 515-0564
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TABLEAUX WEALTH (location n/a) is newly SEC-registered with $109.3M RAUM and 3 advisory reps. IAPD ↗
$109.3M RAUM · 3 reps · 413-264-2400 · tableauxwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPLIT CREEK LLC DBA SPLIT CREEK CAPITAL LLC (location n/a) is newly SEC-registered with $109.9M RAUM and 1 advisory reps. IAPD ↗
$109.9M RAUM · 1 reps · 434-414-1477
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALM WEALTH PARTNERS (BOCA RATON, FL) is newly SEC-registered with $104.9M RAUM and 7 advisory reps. IAPD ↗
$104.9M RAUM · 7 reps · (954) 632-2555 · palmwealthpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARBALPHA (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 786-374-2620
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPARTAN WEALTH MANAGEMENT (BINGHAM FARMS, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 248-297-6600 · spartanwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BIRCH FINANCIAL GROUP (KEENE, NH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 603-338-3838
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRILLIONS CAPITAL (WARMINSTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 267-784-1718 · trillions.cc
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALKEME INVESTMENTS LLC (SCOTTSDALE, AZ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (480)588-0825
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALTON ROAD CAPITAL, LP (VERO BEACH, FL) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
$34.8M RAUM · 1 reps · 203-247-2194
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RIA GLOBAL RESEARCH, LLC (HOUSTON, TX) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 281-501-1791 · simpleadvisor.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PLUM POINTE WEALTH MANAGEMENT (PROVIDENCE, RI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 401-228-8258
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
QUANTOR CAPITAL LLC (HOUSTON, TX) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
$125.2M RAUM · 3 reps · 281-565-0355 · quantorcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
1808 CAPITAL PARTNERS (GREENSBORO, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 336-814-9800 · raymondjames.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STONEHAVEN WEALTH & TAX SOLUTIONS (APPLETON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 920-882-0427 · stonehavenwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HARBORVIEW ASSET MANAGEMENT LLC (GIG HARBOR, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 253-432-1001
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FPNAVIGATORS (MAPLE GROVE, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 763-265-4450
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MAAT INVESTMENT GROUP GMBH (location n/a) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · +49 17662308161 · maatinvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMMONWEALTH CONTINUUM ADVISORS (WALTHAM, MA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 833-959-0118 · continuumria.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE LIFE WEALTH GROUP (WINTER GARDEN, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 407-299-4129 · thelifewealthgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LOOMIS 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 · 203-249-6431 · loomiscapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SMITH WYND CAPITAL LLC (FRANKLIN, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (615) 794-8881 · smithwynd.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL AREA PLANNING GROUP (WASHINGTON, DC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 202-916-5624
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BEACON CAPITAL ADVISORY GROUP (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 877-801-2322
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CATOCTIN RIDGE WEALTH PARTNER (THURMONT, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 301-304-6004
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PCM ENCORE, LLC (ASPEN, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 360-708-3173
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HARVESTWISE WEALTH PLANNING (ESCONDIDO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 858-788-1920 · harvestwisewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GRP FINANCIAL SERVICES, LLC (FARMINGDALE, ME) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · (207) 622-4494 · grplans.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ECHELON GROUP (BOISE, ID) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 208-345-9944 · echelongroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PENSERRA WEALTH MANAGEMENT (ORINDA, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 4157179276 · penserrawealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THECE WEALTH MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 435-899-0172
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTH INTELLIGENCE, LLC (COLUMBUS, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 706-571-2100 · wealthintel.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRITONPOINT PARTNERS, LLC (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 301-799-9001
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PITCAIRN WEALTH ADVISORS LLC (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 215-881-6144 · pitcairn.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STRIVE FINANCIAL GROUP, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · (317) 590-0146
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GOETZKE CAPITAL LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (608) 332-8434
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TRINITY VENTURES (location n/a) is newly SEC-registered with $1.29B RAUM and 4 advisory reps. IAPD ↗fund
$1.29B RAUM · 4 reps · 650-854-9500 · trinityventures.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SENTINEL FUND ADVISORS, INC. (NEW YORK, NY) is newly SEC-registered with $3.18B RAUM and 56 advisory reps. IAPD ↗fund
$3.18B RAUM · 56 reps · 212-408-2900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ATOMIC VAULTS 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 · 203-535-2052
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
COAR HILL ASSET MANAGEMENT PARTNERS LP (NORWALK, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 203-764-2117 · coarhill.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MILITIA INVESTMENTS, LLC (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 773-442-2294
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
P74 BIO LP (ALLSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 862-754-2216
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
KAI WEALTH LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 312-605-8020
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
IMPACT INVESTMENTS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 212-957-7600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MW ADVISOR, LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 95 advisory reps. IAPD ↗institutional
$0 RAUM · 95 reps · 212-500-3000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLC (LOS ANGELES, CA) is newly SEC-registered with $0 RAUM and 72 advisory reps. IAPD ↗institutional
$0 RAUM · 72 reps · 213-244-0000 · tcw.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
24A CAPITAL MANAGEMENT LLC (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 713-398-9354 · 24acapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
COVE CAPITAL LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 650-436-9522
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
NESTYIELD ETFS (DOWNEY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 866-475-5050 · nestyield.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ILS ADVISORY SERVICES, LLC (NASHVILLE, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 804-399-0344
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TWO PARKS CAPITAL LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 1-212-207-6820
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
VERCAP MANAGEMENT LLC (LOS ANGELES, CA) is newly SEC-registered with $1.16B RAUM and 5 advisory reps. IAPD ↗fund
$1.16B RAUM · 5 reps · 469-564-4800 · vercapmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
WEBS INVESTMENTS INC. (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 1-630-235-1507
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BELLTOWER PARTNERS (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 212-960-8042
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
DXD CAPITAL (ALBUQUERQUE, NM) is newly SEC-registered with $258.9M RAUM and 14 advisory reps. IAPD ↗fund
$258.9M RAUM · 14 reps · 505-633-4190 · dxd.capital
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
AFBI LP (MIAMI BEACH, FL) is newly SEC-registered with $981.3M RAUM and 9 advisory reps. IAPD ↗fund
$981.3M RAUM · 9 reps · 917-865-5747
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
PEO PARTNERS, LLC (NEW YORK, NY) is newly SEC-registered with $34.7M RAUM and 5 advisory reps. IAPD ↗fund
$34.7M RAUM · 5 reps · 646-993-6350 · peo-partners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ELTURA CAPITAL MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $7.3M RAUM and 4 advisory reps. IAPD ↗fund
$7.3M RAUM · 4 reps · 201-394-6273 · eltura.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
DJA CAPITAL MANAGEMENT, LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $24.7M RAUM and 1 advisory reps. IAPD ↗fund
$24.7M RAUM · 1 reps · 646-693-4166
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
MACCABI CAPITAL MANAGEMENT LLC (location n/a) is newly SEC-registered with $600,000 RAUM and 1 advisory reps. IAPD ↗fund
$600,000 RAUM · 1 reps · 1-833-770-3863 · maccabicapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BRIGHAM ROYALTIES MANAGEMENT, LLC (AUSTIN, TX) is newly SEC-registered with $187.1M RAUM and 8 advisory reps. IAPD ↗fund
$187.1M RAUM · 8 reps · 512-220-1235
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
LINGOTTO INVESTMENT MANAGEMENT LLP (LONDON, United Kingdom) is newly SEC-registered with $6.63B RAUM and 12 advisory reps. IAPD ↗foreign
$6.63B RAUM · 12 reps · +44(0) 2037819349 · lingotto.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
SARGASSO PARTNERS LLP (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · +44 7900 501 478
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
MARNOA PRIVATE WEALTH COUNSEL LTD. (WATERLOO,ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 519-707-0049 · marnoa.ca
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
ROC PARTNERS (US) LLC (SYDNEY NSW, Australia) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗foreign
$0 RAUM · 0 reps · 61290991900 · rocp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
ALFA ALGORITHMS HK LIMITED (TSIM SHA TSUI, KOWLOON, Hong Kong) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · 972-54-6983288
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
POLYNOMIAL PARTNERS LLC (SINGAPORE, Singapore) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · +65 84051084
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
pending approved — 48 120-day provisional registration became a full approval.
73
RELATION WEALTH MANAGEMENT, INC.'s provisional registration is now fully approved. IAPD ↗
$299.1M RAUM · 5 reps · 918-999-9137 · relationwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
CRUX WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$250.8M RAUM · 13 reps · 562.735.3875
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
BRADY MARTZ WEALTH SOLUTIONS, LLC's provisional registration is now fully approved. IAPD ↗
$599.4M RAUM · 4 reps · 701-223-1717
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ALPHA VEE ADVISORS's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · (617) 212-8691 · alphaveeadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BLUEWATER WEALTH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$102.3M RAUM · 3 reps · 205-305-6352 · bluewaterwa.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FORMULATE FINANCIAL LLC's provisional registration is now fully approved. IAPD ↗
$211.8M RAUM · 1 reps · 5612690330
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
LITTLE RIVER CAPITAL PARTNERS, LP's provisional registration is now fully approved. IAPD ↗
$90.0M RAUM · 6 reps · 917-224-7259
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BLUE JEAN FINANCIAL LLC's provisional registration is now fully approved. IAPD ↗
$77.2M RAUM · 9 reps · (518) 406-8488 · bluejeanfinancial.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TORO WEST CAPITAL ADVISORS's provisional registration is now fully approved. IAPD ↗
$197.5M RAUM · 2 reps · 720-319-8517 · torowestcapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
LFG WEALTH PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗
$101.4M RAUM · 5 reps · 877-573-2043
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
STORYONE FAMILY OFFICE's provisional registration is now fully approved. IAPD ↗
$118.3M RAUM · 2 reps · 913-663-1800
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BELMONT PRIVATE WEALTH's provisional registration is now fully approved. IAPD ↗
$118.2M RAUM · 3 reps · 314-566-9887 · belmontpw.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
A&M PRIVATE WEALTH PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗
$103.2M RAUM · 11 reps · 561-437-6738
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
DA WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 847-977-3752
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PINVEST's provisional registration is now fully approved. IAPD ↗
$113.4M RAUM · 1 reps · 305-350-6115
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SLO MONEY MANAGERS's provisional registration is now fully approved. IAPD ↗
$132.4M RAUM · 1 reps · (805) 460-7232 · slomoneymanagers.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
WALTON FINANCIAL's provisional registration is now fully approved. IAPD ↗
$147.9M RAUM · 2 reps · (205) 871-0154 · waltonfin.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
KONZA GLOBAL WEALTH GROUP's provisional registration is now fully approved. IAPD ↗
$108.2M RAUM · 2 reps · (913) 318-5980 · konzaglobal.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
LEE-KELLEHER WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$192.0M RAUM · 2 reps · 301-450-2617 · lkwealthmanagement.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ROMEN CAPITAL's provisional registration is now fully approved. IAPD ↗
$45.0M RAUM · 1 reps · 917-613-2887
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TOTAL WEALTH SERVICES, LLC's provisional registration is now fully approved. IAPD ↗
$101.3M RAUM · 2 reps · 805-304-2886 · totalwealthservices.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
OWL CREEK WEALTH PARTNERS's provisional registration is now fully approved. IAPD ↗
$205.9M RAUM · 1 reps · 303-409-4409 · owlcreekwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BOYER FINANCIAL SERVICES, INC.'s provisional registration is now fully approved. IAPD ↗
$116.2M RAUM · 2 reps · 949-336-4990
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
GENEVA FINANCIAL GROUP's provisional registration is now fully approved. IAPD ↗
$155.1M RAUM · 1 reps · 732-719-4101
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BENTHAM WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$74.0M RAUM · 2 reps · (716) 580-1500
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
RAINIER FAMILY WEALTH, INC.'s provisional registration is now fully approved. IAPD ↗
$107.2M RAUM · 2 reps · 253-448-2107
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BREAKTHRU ADVISORY SERVICES, LLC's provisional registration is now fully approved. IAPD ↗
$177.9M RAUM · 2 reps · 262 977-9907 · breakthruadvisoryservices.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
LEGACY CAPITAL's provisional registration is now fully approved. IAPD ↗
$181.5M RAUM · 3 reps · (281) 595-1996 · lead-a-legacy.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
65
GE VERNOVA INVESTMENT ADVISERS, LLC's provisional registration is now fully approved. IAPD ↗institutional
$1.85B RAUM · 14 reps · +1 203-229-8520 · gevernova.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
65
FISHER RETIREMENT SOLUTIONS LLC's provisional registration is now fully approved. IAPD ↗institutional
$4.90B RAUM · 4 reps · 650-350-5254
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
MAIN CAPITAL PARTNERS NORTH AMERICA LLC's provisional registration is now fully approved. IAPD ↗institutional
$370.8M RAUM · 6 reps · 617-207-4175
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
PRECIDIAN FUNDS LLC's provisional registration is now fully approved. IAPD ↗institutional
$1.5M RAUM · 3 reps · 9087810560 · precidianfunds.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
CONNETIC VENTURES's provisional registration is now fully approved. IAPD ↗institutional
$37.0M RAUM · 3 reps · 859-201-6235 · conneticventures.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
BOXER CAPITAL MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗fund
$2.54B RAUM · 10 reps · 858.400.3115 · boxercap.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
JAIN GLOBAL LLC's provisional registration is now fully approved. IAPD ↗fund
$5.91B RAUM · 103 reps · 212-671-4011 · jainglobal.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
SUNRISE MANAGER LLC's provisional registration is now fully approved. IAPD ↗institutional
$115.0M RAUM · 6 reps · 561-510-3315 · sunriserealtytrust.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
PRIVACORE's provisional registration is now fully approved. IAPD ↗institutional
$56.0M RAUM · 3 reps · 1 800 304 3863
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
SWP INVESTMENT MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗institutional
$80.7M RAUM · 6 reps · 216-800-9000
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
D2 ASSET MANAGEMENT's provisional registration is now fully approved. IAPD ↗fund
$1.00B RAUM · 2 reps · 646-729-8315
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
QUADRATURE US INC.'s provisional registration is now fully approved. IAPD ↗fund
$14.28B RAUM · 89 reps · 646-224-7425
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
MFG PARTNERS LLC's provisional registration is now fully approved. IAPD ↗fund
$412.8M RAUM · 6 reps · 212-651-4615
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
ANNAPURNA CAPITAL MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗fund
$267.2M RAUM · 4 reps · 561-328-2235 · annapurnacm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
CORIGLIANO INVESTMENT ADVISERS, LLC's provisional registration is now fully approved. IAPD ↗fund
$461.6M RAUM · 4 reps · 919-225-6496 · coriglianoenergy.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
NORTHAMPTON CAPITAL PARTNERS's provisional registration is now fully approved. IAPD ↗fund
$125.0M RAUM · 9 reps · 914-309-1746
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
RIPPLE EFFECT ASSET MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗fund
$165.4M RAUM · 3 reps · 917-319-8088 · rippleeffectasset.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
WALK-ON CAPITAL, LLC's provisional registration is now fully approved. IAPD ↗fund
$100.1M RAUM · 6 reps · 970-948-2311 · walk-oncapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
GLADE CAPITAL MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗fund
$27.6M RAUM · 1 reps · 561-246-6330
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
DIADEMA PARTNERS LP's provisional registration is now fully approved. IAPD ↗fund
$143.7M RAUM · 3 reps · 646-979-8432 · diademapartnerslp.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
website changed — 41 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
BALDWIN WEALTH PARTNERS, LLC changed its website from baldwinbrothersinc.com to baldwin-llc.com. IAPD ↗
$2.28B RAUM · 12 reps · (508) 748-0800 · baldwin-llc.com
Marketing & brand
30
AMERISERV WEALTH ADVISORS INC changed its website from wccadvisors.com to ameriserv.com. IAPD ↗
$1.12B RAUM · 3 reps · 814-533-5338 · ameriserv.com
Marketing & brand
30
CGN ADVISORS, LLC changed its website from dekfinancialsolutions.com to petersonfinancialplanning.com. IAPD ↗
$1.14B RAUM · 42 reps · 910-333-6659 · petersonfinancialplanning.com
Marketing & brand
30
FOSTER DYKEMA CABOT & PARTNERS, LLC changed its website from fdcco.com to focusfinancialpartners.com. IAPD ↗
$1.71B RAUM · 8 reps · 617-423-3900 · focusfinancialpartners.com
Marketing & brand
30
THE BALDWIN GROUP WEALTH ADVISORS, LLC changed its website from burnhamgibson.com to baldwin.com. IAPD ↗
$4.81B RAUM · 43 reps · 866-279-0698 · baldwin.com
Marketing & brand
30
MODERN WEALTH MANAGEMENT, LLC changed its website from midwestfinancial.us to studyretirement.com. IAPD ↗
$2.07B RAUM · 36 reps · 913-393-1000 · studyretirement.com
Marketing & brand
28
BCG SECURITIES, INC. changed its website from michaelrochonchou.com to wealthadvisorygrp.com. IAPD ↗
$685.8M RAUM · 30 reps · 856-393-1950 · wealthadvisorygrp.com
Marketing & brand
28
PVG ASSET MANAGEMENT CORP changed its website from pvgassetmanagement.com to facebook.com\pvgasset. IAPD ↗
$500.4M RAUM · 3 reps · 303-526-0548 · facebook.com\pvgasset
Marketing & brand
28
ELEVATION WEALTH PARTNERS, LLC changed its website from zrcwm.com to elevationwp.com. IAPD ↗
$485.1M RAUM · 7 reps · 707-524-6131 · elevationwp.com
Marketing & brand
28
NAMCOA changed its website from flretire.com to latoyamaddox.com. IAPD ↗
$277.7M RAUM · 17 reps · (239) 593-5525 · latoyamaddox.com
Marketing & brand
28
ROTHSCHILD WEALTH LLC changed its website from sentinus.com to rothschildwealth.com. IAPD ↗
$615.6M RAUM · 9 reps · 630-448-5711 · rothschildwealth.com
Marketing & brand
28
KINGSBRIDGE WEALTH MANAGEMENT, INC. changed its website from kingsbridgepwm.com to kingsbridgewm.us.com. IAPD ↗
$453.1M RAUM · 3 reps · 702-947-5160 · kingsbridgewm.us.com
Marketing & brand
28
EAGLE BAY FAMILY OFFICE changed its website from eaglebayadvisors.com to eaglebayfamilyoffice.com. IAPD ↗
$886.8M RAUM · 4 reps · 212-634-7879 · eaglebayfamilyoffice.com
Marketing & brand
28
WOODSTOCK WEALTH MANAGEMENT, INC. changed its website from veritas-financial.com to assetmanagementstrategiesllc.com. IAPD ↗
$511.2M RAUM · 26 reps · 800-279-4468 · assetmanagementstrategiesllc.com
Marketing & brand
28
LEXAURUM ADVISORS changed its website from tdcwealthmgmt.com to kowitzfinancialgroup.com. IAPD ↗
$784.2M RAUM · 31 reps · 913-261-9316 · kowitzfinancialgroup.com
Marketing & brand
28
KEUDELL MORRISON WEALTH MANAGEMENT, LLC changed its website from kmwm.com to keudellmorrisonwm.com. IAPD ↗
$724.0M RAUM · 6 reps · (971) 209-4500 · keudellmorrisonwm.com
Marketing & brand
28
VINOBLE GROUP changed its website from ethixinsurance.com to vinoblegroup.com. IAPD ↗
$507.6M RAUM · 6 reps · (206) 317-6822 · vinoblegroup.com
Marketing & brand
28
MILESTONE ASSET MANAGEMENT, LLC changed its website from milestoneassetmanagement.com to legacycapitalplanners.com. IAPD ↗
$445.8M RAUM · 9 reps · 412-643-3058 · legacycapitalplanners.com
Marketing & brand
28
1836 ASSET MANAGEMENT, LLC changed its website from greyrockam.com to 1836assetmgmt.com. IAPD ↗
$417.7M RAUM · 3 reps · 888-808-8278 · 1836assetmgmt.com
Marketing & brand
28
TRI-AD CAPITAL MANAGEMENT I, LLC changed its website from tcmiadvisors.com to snapira.com. IAPD ↗
$408.6M RAUM · 2 reps · 760-743-7555 · snapira.com
Marketing & brand
28
DIVERSIFY WEALTH MANAGEMENT, LLC changed its website from caliberwealthmanagement.com to firstpurpose.com. IAPD ↗
$458.1M RAUM · 24 reps · 801-838-9999 · firstpurpose.com
Marketing & brand
25
J.K. FINANCIAL, INC. changed its website from street-cents.com to jkfinancialinc.com. IAPD ↗
$157.9M RAUM · 2 reps · 214-706-4300 · jkfinancialinc.com
Marketing & brand
25
CLARITY ASSET MANAGEMENT, INC. changed its website from clarityinvestments.com to investmentclarity.com. IAPD ↗
$204.3M RAUM · 4 reps · 515-233-3152 · investmentclarity.com
Marketing & brand
25
OMNI 360 WEALTH, INC. changed its website from pfg-planning.com to omni360advisors.com. IAPD ↗
$248.6M RAUM · 4 reps · 609-452-0889 · omni360advisors.com
Marketing & brand
25
PORTFOLIO RESOURCES ADVISOR GROUP, INC. changed its website from jmfs.com to prginc.net. IAPD ↗
$107.8M RAUM · 18 reps · 305-372-0299 · prginc.net
Marketing & brand
25
TONY WALKER FINANCIAL changed its website from 3personalities.com to tonywalkerfinancial.com. IAPD ↗
$239.3M RAUM · 4 reps · 270-843-9380 · tonywalkerfinancial.com
Marketing & brand
25
T&T CAPITAL MANAGEMENT changed its website from seekingalpha.com to ttvaluetalk.com. IAPD ↗
$131.4M RAUM · 4 reps · 805-886-8140 · ttvaluetalk.com
Marketing & brand
25
NEPSIS ADVISOR SERVICES, INC. changed its website from nepsiscapital.com to nepsisadvisors.com. IAPD ↗
$0 RAUM · 0 reps · 952-746-2003 · nepsisadvisors.com
Marketing & brand
25
VCP FINANCIAL LLC changed its website from lpsfinancial.com to vcpfinancial.com. IAPD ↗
$114.7M RAUM · 4 reps · 212.328.7876 · vcpfinancial.com
Marketing & brand
25
PALADIN CAPITAL changed its website from thefinancialhq.com to capitalpaladincomra.com. IAPD ↗
$2.2M RAUM · 3 reps · 651-842-8406 · capitalpaladincomra.com
Marketing & brand
25
LOGIX INVESTMENTS LLC changed its website from logixsv.com to logixinvestment.com. IAPD ↗
$118.6M RAUM · 5 reps · 216-861-1148 · logixinvestment.com
Marketing & brand
25
PALADIN FINANCIAL changed its website from paladinfinancial.com to thefinancialhq.com. IAPD ↗
$142.4M RAUM · 6 reps · 651-842-8406 · thefinancialhq.com
Marketing & brand
25
WATERROCK WEALTH MANAGEMENT changed its website from waterrockwealthmanagement.com to waterrockdividend.com. IAPD ↗
$113.2M RAUM · 5 reps · 505-831-6342 · waterrockdividend.com
Marketing & brand
25
ROOTED WEALTH ADVISORS changed its website from retirementincomechecklist.com to retirerwa.com. IAPD ↗
$223.0M RAUM · 5 reps · 815-918-4727 · retirerwa.com
Marketing & brand
25
THEPARTNERS WEALTH MANAGEMENT changed its website from centralcoastfm.com to worthfinancialsolutions.com. IAPD ↗
$172.5M RAUM · 7 reps · 800-324-3010 · worthfinancialsolutions.com
Marketing & brand
25
THE WEALTH BOUTIQUE changed its website from tanisfingroup.com to melissamyersgroup.com. IAPD ↗
$100.2M RAUM · 7 reps · 732-752-9191 · melissamyersgroup.com
Marketing & brand
25
VAULT CAPITAL changed its website from vaultcapital.org to vaultcapital.net. IAPD ↗
$0 RAUM · 2 reps · 310-457-1748 · vaultcapital.net
Marketing & brand
18
ANDALUSIAN CREDIT PARTNERS, LLC changed its website from andalusiancredit.com to andalusian.com. IAPD ↗institutional
$513.7M RAUM · 10 reps · 646-989-4070 · andalusian.com
Marketing & brand
15
MARCYPEN CAPITAL PARTNERS LLC changed its website from pendulumholdings.com to marcypen.com. IAPD ↗fund
$1.06B RAUM · 14 reps · 424-421-6040 · marcypen.com
Marketing & brand
15
ANDALUSIAN PRIVATE CAPITAL, LP changed its website from andalusianlp.com to andalusian.com. IAPD ↗fund
$1.70B RAUM · 9 reps · (646) 908-6030 · andalusian.com
Marketing & brand
13
THORNBURG BOW RIVER ADVISERS, LLC. changed its website from bowrivercapital.com to thornburg.com. IAPD ↗fund
$340.9M RAUM · 6 reps · 303-861-8466 · thornburg.com
Marketing & brand
relocation — 39 Main office moved to a different city or state.
50
HORNOR, TOWNSEND & KENT, LLC moved its main office from HORSHAM, PA to CONSHOHOCKEN, PA. IAPD ↗
$6.86B RAUM · 417 reps · 215-957-7300 · htk.com
Office IT & facilitiesMarketing & brand
50
SANFORD C. BERNSTEIN & CO., LLC moved its main office from NEW YORK, NY to NASHVILLE, TN. IAPD ↗
$3.71B RAUM · 0 reps · 615-622-0000
Office IT & facilitiesMarketing & brand
50
SHUSTER ADVISORY GROUP, LLC moved its main office from HONOLULU, HI to PASADENA, CA. IAPD ↗
$6.28B RAUM · 7 reps · (626) 578-0816 · sfgrpc.com
Office IT & facilitiesMarketing & brand
50
MONOGRAPH WEALTH ADVISORS, LLC moved its main office from EL SEGUNDO, CA to MANHATTAN BEACH, CA. IAPD ↗
$2.23B RAUM · 7 reps · 310-496-7377 · monographwealth.com
Office IT & facilitiesMarketing & brand
50
CAPITA FINANCIAL NETWORK, LLC moved its main office from SANDY, UT to DRAPER, UT. IAPD ↗
$1.46B RAUM · 18 reps · 801-566-5058
Office IT & facilitiesMarketing & brand
50
ADERO PARTNERS, LLC moved its main office from PLEASANTON, CA to WALNUT CREEK, CA. IAPD ↗
$4.04B RAUM · 25 reps · 650-252-0550
Office IT & facilitiesMarketing & brand
50
ADVUS FINANCIAL PARTNERS, LLC moved its main office from LAKE MARY, FL to WINTER PARK, FL. IAPD ↗
$2.76B RAUM · 11 reps · 407-585-1160 · vimeo.com
Office IT & facilitiesMarketing & brand
50
THE BALDWIN GROUP WEALTH ADVISORS, LLC moved its main office from IRVINE, CA to TAMPA, FL. IAPD ↗
$4.81B RAUM · 43 reps · 866-279-0698 · baldwin.com
Office IT & facilitiesMarketing & brand
50
IMPERIAL CAPITAL PARTNERS moved its main office from HOLLYWOOD, FL to FORT LAUDERDALE, FL. IAPD ↗
$6.98B RAUM · 4 reps · (855) 226-5200 · imperialfund.com
Office IT & facilitiesMarketing & brand
48
BROADMARK ASSET MANAGEMENT LLC moved its main office from SAN FRANCISCO, CA to DALLAS, TX. IAPD ↗
$311.1M RAUM · 4 reps · 2147566900 · broadmarkasset.com
Office IT & facilitiesMarketing & brand
48
THE RETIREMENT SOLUTION LLC moved its main office from REDMOND, WA to REDMOND, OH. IAPD ↗
$475.3M RAUM · 13 reps · 425-558-3700 · bbb.org
Office IT & facilitiesMarketing & brand
48
AVONDALE WEALTH MANAGEMENT LLC moved its main office from AUSTIN, TX to WEST LAKE HILLS, TX. IAPD ↗
$250.4M RAUM · 2 reps · 512-505-8148 · avondalewealth.com
Office IT & facilitiesMarketing & brand
48
TA CAPITAL MANAGEMENT, LLC moved its main office from TURNERSVILLE, NJ to SEWELL, NJ. IAPD ↗
$302.6M RAUM · 3 reps · 6462905660 · tacapitalmanagement.com
Office IT & facilitiesMarketing & brand
48
TCP ASSET MANAGEMENT, LLC moved its main office from COLUMBUS, OH to UPPER ARLINGTON, OH. IAPD ↗
$641.8M RAUM · 19 reps · 614-761-9378 · tcpasset.com
Office IT & facilitiesMarketing & brand
48
STAGE HARBOR FINANCIAL moved its main office from NEEDHAM, MA to WESTWOOD, MA. IAPD ↗
$876.6M RAUM · 6 reps · (781) 934-3130
Office IT & facilitiesMarketing & brand
48
ROOT FINANCIAL PARTNERS moved its main office from SOLANA BEACH, CA to ENCINITAS, CA. IAPD ↗
$399.2M RAUM · 9 reps · (760) 452-0720
Office IT & facilitiesMarketing & brand
45
MWA ASSET MANAGEMENT moved its main office from LEXINGTON, MA to DANVERS, MA. IAPD ↗
$231.3M RAUM · 2 reps · 781-263-1600 · mwa-am.com
Office IT & facilitiesMarketing & brand
45
PRAIRIEWOOD WEALTH MANAGEMENT moved its main office from WEST FARGO, ND to FARGO, ND. IAPD ↗
$216.8M RAUM · 3 reps · 701-234-0521
Office IT & facilitiesMarketing & brand
45
PERINI CAPITAL moved its main office from RANCHO SANTA FE, CA to SCOTTSDALE, AZ. IAPD ↗
$161.0M RAUM · 5 reps · 575-725-1978
Office IT & facilitiesMarketing & brand
45
INTEGRITY ADVISORY SOLUTIONS moved its main office from BURLINGTON, NC to DALLAS, TX. IAPD ↗
$147.5M RAUM · 39 reps · (214) 919-2165 · integritywealthsolutions.com
Office IT & facilitiesMarketing & brand
45
KDT ADVISORS, LLC moved its main office from BROOKLYN, NY to NEW YORK, NY. IAPD ↗
$143.3M RAUM · 4 reps · 929-293-1270 · kdtadvisors.com
Office IT & facilitiesMarketing & brand
45
MEDIA WEALTH moved its main office from PLEASANTON, CA to WALNUT CREEK, CA. IAPD ↗
$109.4M RAUM · 4 reps · 650-252-0550 · focusfinancialpartners.com
Office IT & facilitiesMarketing & brand
45
COPE CORRALES moved its main office from WASHINGTON, DC to ARLINGTON, VA. IAPD ↗
$153.4M RAUM · 6 reps · (888) 336-8402
Office IT & facilitiesMarketing & brand
45
MINT ASSET MANAGEMENT LLC moved its main office from HOBOKEN, NJ to NEW YORK, NY. IAPD ↗
$43.9M RAUM · 3 reps · 908-777-1717 · mintassetmanagement.com
Office IT & facilitiesMarketing & brand
45
A&M PRIVATE WEALTH PARTNERS, LLC moved its main office from WEST PALM BEACH, FL to PALM BEACH GARDENS, FL. IAPD ↗
$103.2M RAUM · 11 reps · 561-437-6738
Office IT & facilitiesMarketing & brand
45
HAMPTON ROCK WEALTH MANAGEMENT moved its main office from DALLAS, TX to AUSTIN, TX. IAPD ↗
$0 RAUM · 1 reps · 512-256-9272
Office IT & facilitiesMarketing & brand
45
BRAMBLE WEALTH PLANNING moved its main office from CINCINNATI, OH to CLARKSVILLE, TN. IAPD ↗
$0 RAUM · 2 reps · 931-905-0050 · retireconfident.com
Office IT & facilitiesMarketing & brand
40
ICON INFRASTRUCTURE NORTH AMERICA INC. moved its main office from TORONTO, to NEW YORK, NY. IAPD ↗institutional
$1.45B RAUM · 14 reps · 1 929 6884283 · iconinfrastructure.com
Office IT & facilitiesMarketing & brand
40
GE VERNOVA INVESTMENT ADVISERS, LLC moved its main office from NORWALK, CT to STAMFORD, CT. IAPD ↗institutional
$1.85B RAUM · 14 reps · +1 203-229-8520 · gevernova.com
Office IT & facilitiesMarketing & brand
38
ANDALUSIAN CREDIT PARTNERS, LLC moved its main office from SHORT HILLS, NJ to NEW YORK, NY. IAPD ↗institutional
$513.7M RAUM · 10 reps · 646-989-4070 · andalusian.com
Office IT & facilitiesMarketing & brand
35
ABS GLOBAL INVESTMENTS moved its main office from GREENWICH, CT to STAMFORD, CT. IAPD ↗fund
$7.52B RAUM · 14 reps · 203-618-3700 · absinv.com
Office IT & facilitiesMarketing & brand
35
RIDGEWOOD ENERGY CORPORATION moved its main office from MONTVALE, NJ to HOUSTON, TX. IAPD ↗fund
$4.04B RAUM · 20 reps · 201-447-9000
Office IT & facilitiesMarketing & brand
35
NORTH CASTLE PARTNERS, LLC moved its main office from GREENWICH, CT to NEW YORK, NY. IAPD ↗fund
$1.64B RAUM · 12 reps · 203 862 3210
Office IT & facilitiesMarketing & brand
35
QUANTITATIVE SYSTEMATIC STRATEGIES LLC moved its main office from PONTE VEDRA BEACH, FL to ST. AUGUSTINE, FL. IAPD ↗fund
$2.04B RAUM · 2 reps · 904-686-6100
Office IT & facilitiesMarketing & brand
35
ANDALUSIAN PRIVATE CAPITAL, LP moved its main office from SHORT HILLS, NJ to NEW YORK, NY. IAPD ↗fund
$1.70B RAUM · 9 reps · (646) 908-6030 · andalusian.com
Office IT & facilitiesMarketing & brand
33
CORSAIR CAPITAL MANAGEMENT, L.P. moved its main office from NEW YORK, NY to SCARSDALE, NY. IAPD ↗fund
$498.1M RAUM · 2 reps · 212-949-3000 · corsaircap.com
Office IT & facilitiesMarketing & brand
33
DARWIN VENTURES, LLC moved its main office from BURLINGAME, CA to SANDPOINT, ID. IAPD ↗fund
$593.4M RAUM · 3 reps · 415-362-0648 · darwinvc.com
Office IT & facilitiesMarketing & brand
33
SOLOMON HESS CAPITAL MANAGEMENT moved its main office from FALLS CHURCH, VA to ARLINGTON, VA. IAPD ↗fund
$937.1M RAUM · 4 reps · 703-356-3333 · solomonhess.com
Office IT & facilitiesMarketing & brand
30
WAYZATA INVESTMENT PARTNERS LLC moved its main office from PLYMOUTH, MN to WAYZATA, MN. IAPD ↗fund
$183.8M RAUM · 5 reps · 952-345-0700 · wayzatainvestmentpartners.com
Office IT & facilitiesMarketing & brand
custody started — 34 Firm now reports custody of client assets — surprise exams and controls follow.
70
PATTEN AND PATTEN, INC. now reports custody of client assets ($523.5M). IAPD ↗
$1.93B RAUM · 4 reps · 423.756.3480 · patteninc.com
ComplianceCustodian
70
DENALI ADVISORS, LLC now reports custody of client assets ($127.5M). IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
ComplianceCustodian
70
ALLWORTH FINANCIAL, L.P. now reports custody of client assets ($26.1M). IAPD ↗
$19.31B RAUM · 156 reps · 916-482-2196
ComplianceCustodian
70
OCEAN PARK ASSET MANAGEMENT, LLC now reports custody of client assets ($43.6M). IAPD ↗
$4.72B RAUM · 9 reps · 310-452-1887 · sierramutualfunds.com
ComplianceCustodian
68
U.S. FINANCIAL ADVISORS now reports custody of client assets ($10.8M). IAPD ↗
$348.6M RAUM · 8 reps · 781-849-9200 · napierfinancial.com
ComplianceCustodian
68
BLACK DIAMOND FINANCIAL, LLC now reports custody of client assets ($890,000). IAPD ↗
$701.4M RAUM · 9 reps · 443-841-7772 · blackdfinancial.com
ComplianceCustodian
68
TOWERCREST CAPITAL MANAGEMENT, LLC now reports custody of client assets ($4.3M). IAPD ↗
$633.0M RAUM · 1 reps · 215-809-2000
ComplianceCustodian
68
RED TORTOISE now reports custody of client assets ($63.0M). IAPD ↗
$357.5M RAUM · 4 reps · (833) 666-1200
ComplianceCustodian
68
BRUTON CHISNELL ADVISORS, LLC now reports custody of client assets ($56.9M). IAPD ↗
$644.5M RAUM · 3 reps · 610-518-3900 · bcadvisors.com
ComplianceCustodian
68
EDGEROCK WEALTH MANAGEMENT now reports custody of client assets ($58.0M). IAPD ↗
$325.1M RAUM · 9 reps · 303.780.7350
ComplianceCustodian
68
WATERSHED PRIVATE WEALTH LLC now reports custody of client assets ($122.2M). IAPD ↗
$263.4M RAUM · 3 reps · 630.645.3848
ComplianceCustodian
68
PERMANENT CAPITAL MANAGEMENT, LP now reports custody of client assets ($33.5M). IAPD ↗
$365.1M RAUM · 1 reps · 312-961-8251 · permanent-capital.com
ComplianceCustodian
65
AURORA INVESTMENT COUNSEL now reports custody of client assets ($30.0M). IAPD ↗
$219.3M RAUM · 3 reps · 770.226.5323 · aurora-invest.com
ComplianceCustodian
65
HORTER INVESTMENT MANAGEMENT, LLC now reports custody of client assets ($59.7M). IAPD ↗
$214.1M RAUM · 32 reps · 513-984-9933
ComplianceCustodian
65
CREW CAPITAL MANAGEMENT, LTD. now reports custody of client assets ($39.5M). IAPD ↗
$183.1M RAUM · 7 reps · 513-245-2620 · crewcapital.com
ComplianceCustodian
65
THINKING BIG FINANCIAL now reports custody of client assets ($18.4M). IAPD ↗
$60.1M RAUM · 2 reps · (973) 224-1145
ComplianceCustodian
65
MUNAKATA ASSOCIATES LLC now reports custody of client assets ($53.6M). IAPD ↗
$63.6M RAUM · 1 reps · 914-310-9863
ComplianceCustodian
65
NEW AMSTERDAM WEALTH PLANNING now reports custody of client assets ($44.4M). IAPD ↗
$44.4M RAUM · 1 reps · 917-647-5698
ComplianceCustodian
65
SURIENCE PRIVATE WEALTH LLC now reports custody of client assets ($42.1M). IAPD ↗
$111.4M RAUM · 1 reps · (509) 853-1597 · surience.com
ComplianceCustodian
65
BULMAN WEALTH GROUP now reports custody of client assets ($24.2M). IAPD ↗
$148.2M RAUM · 5 reps · 916-458-8199 · bulmanwealth.com
ComplianceCustodian
65
TWIN CITY PRIVATE WEALTH, LLC now reports custody of client assets ($117.0M). IAPD ↗
$110.9M RAUM · 3 reps · 336-930-9494 · twincitywealth.com
ComplianceCustodian
65
NEWERA WEALTH now reports custody of client assets ($7.9M). IAPD ↗
$7.9M RAUM · 1 reps · 786-577-9396
ComplianceCustodian
65
WALTON FINANCIAL now reports custody of client assets ($36.9M). IAPD ↗
$147.9M RAUM · 2 reps · (205) 871-0154 · waltonfin.com
ComplianceCustodian
58
ANDALUSIAN CREDIT PARTNERS, LLC now reports custody of client assets ($1.8M). IAPD ↗institutional
$513.7M RAUM · 10 reps · 646-989-4070 · andalusian.com
ComplianceCustodian
55
ATL ADVISOR LP now reports custody of client assets ($2.79B). IAPD ↗fund
$1.39B RAUM · 9 reps · 212-497-1381 · atlpartners.com
ComplianceCustodian
55
HELIX PARTNERS MANAGEMENT LP now reports custody of client assets ($3.16B). IAPD ↗fund
$1.58B RAUM · 7 reps · 212-379-4949
ComplianceCustodian
55
BOXER CAPITAL MANAGEMENT, LLC now reports custody of client assets ($2.54B). IAPD ↗fund
$2.54B RAUM · 10 reps · 858.400.3115 · boxercap.com
ComplianceCustodian
55
D2 ASSET MANAGEMENT now reports custody of client assets ($2.00B). IAPD ↗fund
$1.00B RAUM · 2 reps · 646-729-8315
ComplianceCustodian
53
MFG PARTNERS LLC now reports custody of client assets ($825.5M). IAPD ↗fund
$412.8M RAUM · 6 reps · 212-651-4615
ComplianceCustodian
53
THORNBURG BOW RIVER ADVISERS, LLC. now reports custody of client assets ($340.9M). IAPD ↗fund
$340.9M RAUM · 6 reps · 303-861-8466 · thornburg.com
ComplianceCustodian
50
NORTHAMPTON CAPITAL PARTNERS now reports custody of client assets. IAPD ↗fund
$125.0M RAUM · 9 reps · 914-309-1746
ComplianceCustodian
50
RIPPLE EFFECT ASSET MANAGEMENT LP now reports custody of client assets ($168.1M). IAPD ↗fund
$165.4M RAUM · 3 reps · 917-319-8088 · rippleeffectasset.com
ComplianceCustodian
50
GLADE CAPITAL MANAGEMENT LP now reports custody of client assets ($55.2M). IAPD ↗fund
$27.6M RAUM · 1 reps · 561-246-6330
ComplianceCustodian
50
DIADEMA PARTNERS LP now reports custody of client assets ($153.6M). IAPD ↗fund
$143.7M RAUM · 3 reps · 646-979-8432 · diademapartnerslp.com
ComplianceCustodian
headcount up — 32 Advisory representative count grew materially (>=20% or >=5 reps).
85
WAVERLY ADVISORS, LLC grew from 92 to 119 advisory reps. IAPD ↗
$13.30B RAUM · 119 reps · 205-871-3334 · waverly-advisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
PROSPERITY - AN EISNERAMPER COMPANY grew from 31 to 46 advisory reps. IAPD ↗
$2.91B RAUM · 46 reps · 410-363-7211 · prosperityconsult.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
FIRST COMMAND ADVISORY SERVICES grew from 1050 to 1155 advisory reps. IAPD ↗
$22.09B RAUM · 1155 reps · 817-731-8621
CRMRecruiting & transitionsComplianceFinancial planning software
85
THE BALDWIN GROUP WEALTH ADVISORS, LLC grew from 17 to 43 advisory reps. IAPD ↗
$4.81B RAUM · 43 reps · 866-279-0698 · baldwin.com
CRMRecruiting & transitionsComplianceFinancial planning software
81
FORTIS CAPITAL ADVISORS, LLC grew from 24 to 37 advisory reps. IAPD ↗
$630.6M RAUM · 37 reps · (775) 446-4208 · fortiscapitaladvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
79
WEALTHFRONT ADVISERS LLC grew from 11 to 20 advisory reps. IAPD ↗
$35.92B RAUM · 20 reps · 855-695-8437 · wealthfront.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
THE CAPROCK GROUP, LLC grew from 30 to 35 advisory reps. IAPD ↗
$9.36B RAUM · 35 reps · (208) 368-9600
CRMRecruiting & transitionsComplianceFinancial planning software
75
A&M PRIVATE WEALTH PARTNERS, LLC grew from 1 to 11 advisory reps. IAPD ↗
$103.2M RAUM · 11 reps · 561-437-6738
CRMRecruiting & transitionsComplianceFinancial planning software
74
SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC grew from 17 to 21 advisory reps. IAPD ↗
$4.02B RAUM · 21 reps · 317-975-5033
CRMRecruiting & transitionsComplianceFinancial planning software
74
VESTGEN ADVISORS, LLC grew from 7 to 13 advisory reps. IAPD ↗
$660.3M RAUM · 13 reps · 847-907-9600 · investwithwmg.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
SPC FINANCIAL INC grew from 14 to 17 advisory reps. IAPD ↗
$1.16B RAUM · 17 reps · 301-770-6800 · spcfinancial.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
DISCIPLINE WEALTH SOLUTIONS, INC. grew from 8 to 14 advisory reps. IAPD ↗
$93.0M RAUM · 14 reps · 864-322-6046 · stahlneckergroup.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
BBVA GLOBAL WEALTH ADVISORS, INC. grew from 14 to 17 advisory reps. IAPD ↗
$399.0M RAUM · 17 reps · 3052057752 · bbvaglobalwealthadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
INTEGRATED INVESTMENT CONSULTANTS, LLC grew from 7 to 9 advisory reps. IAPD ↗
$720.8M RAUM · 9 reps · 866-433-3581
CRMRecruiting & transitionsComplianceFinancial planning software
70
ALTA WEALTH ADVISORS LLC grew from 6 to 8 advisory reps. IAPD ↗
$400.2M RAUM · 8 reps · 781-404-6909 · altawealthadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
SMITH THORNTON ADVISORS, LLC grew from 4 to 6 advisory reps. IAPD ↗
$735.4M RAUM · 6 reps · 256-715-7715 · smiththornton.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
FORTITUDE FAMILY OFFICE grew from 9 to 11 advisory reps. IAPD ↗
$640.9M RAUM · 11 reps · (602) 834-0089
CRMRecruiting & transitionsComplianceFinancial planning software
70
ZERO DAY CAPITAL ENTERPRISES LLC grew from 1 to 6 advisory reps. IAPD ↗
$34.0M RAUM · 6 reps · 702 271 3265
CRMRecruiting & transitionsComplianceFinancial planning software
69
WEALTHFRONT STRATEGIES LLC grew from 5 to 14 advisory reps. IAPD ↗institutional
$1.33B RAUM · 14 reps · 844-995-8437
CRMRecruiting & transitionsComplianceFinancial planning software
68
PLATO'S PHILOSOPHY, LLC grew from 1 to 4 advisory reps. IAPD ↗
$40.2M RAUM · 4 reps · 805-888-2024 · stockhack.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
QUINT INVESTMENTS AND INSURANCE grew from 6 to 8 advisory reps. IAPD ↗
$56.0M RAUM · 8 reps · 845-345-3628 · quintii.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
CANDIDE GROUP grew from 5 to 7 advisory reps. IAPD ↗
$212.4M RAUM · 7 reps · (510)761-8151
CRMRecruiting & transitionsComplianceFinancial planning software
67
APFORIA grew from 6 to 8 advisory reps. IAPD ↗
$73.7M RAUM · 8 reps · 757-407-4189 · myciwm.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
FORONJY FINANCIAL grew from 2 to 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 805-543-1033 · foronjyfinancial.com
CRMRecruiting & transitionsComplianceFinancial planning software
64
BOXER CAPITAL MANAGEMENT, LLC grew from 1 to 10 advisory reps. IAPD ↗fund
$2.54B RAUM · 10 reps · 858.400.3115 · boxercap.com
CRMRecruiting & transitionsComplianceFinancial planning software
64
QUADRATURE US INC. grew from 80 to 89 advisory reps. IAPD ↗fund
$14.28B RAUM · 89 reps · 646-224-7425
CRMRecruiting & transitionsComplianceFinancial planning software
59
MARCYPEN CAPITAL PARTNERS LLC grew from 10 to 14 advisory reps. IAPD ↗fund
$1.06B RAUM · 14 reps · 424-421-6040 · marcypen.com
CRMRecruiting & transitionsComplianceFinancial planning software
57
FIRST INFRASTRUCTURE CAPITAL ADVISORS, LLC grew from 2 to 4 advisory reps. IAPD ↗fund
$1.32B RAUM · 4 reps · 713.337.7980 · firstinfrastructurecapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
CORIGLIANO INVESTMENT ADVISERS, LLC grew from 2 to 4 advisory reps. IAPD ↗fund
$461.6M RAUM · 4 reps · 919-225-6496 · coriglianoenergy.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
THORNBURG BOW RIVER ADVISERS, LLC. grew from 4 to 6 advisory reps. IAPD ↗fund
$340.9M RAUM · 6 reps · 303-861-8466 · thornburg.com
CRMRecruiting & transitionsComplianceFinancial planning software
53
WALK-ON CAPITAL, LLC grew from 3 to 6 advisory reps. IAPD ↗fund
$100.1M RAUM · 6 reps · 970-948-2311 · walk-oncapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
42
ENVISAGE grew from 1 to 5 advisory reps. IAPD ↗foreign
$448.0M RAUM · 5 reps · +41 44 552 0387 · envisage.ch
CRMRecruiting & transitionsComplianceFinancial planning software
aum up — 32 Regulatory AUM up >=25% since last filing.
75
PROSPERITY - AN EISNERAMPER COMPANY reported RAUM up 173% ($1.07B -> $2.91B). IAPD ↗
$2.91B RAUM · 46 reps · 410-363-7211 · prosperityconsult.com
Portfolio / reporting / TAMPCRMFinancial planning software
73
TAYLOR HOFFMAN CAPITAL MANAGEMENT reported RAUM up 1971% ($18.8M -> $388.7M). IAPD ↗
$388.7M RAUM · 4 reps · 804-964-2500 · taylorhoffman.com
Portfolio / reporting / TAMPCRMFinancial planning software
73
BBVA GLOBAL WEALTH ADVISORS, INC. reported RAUM up 79% ($222.8M -> $399.0M). IAPD ↗
$399.0M RAUM · 17 reps · 3052057752 · bbvaglobalwealthadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
73
GREAT HILL CAPITAL, LLC reported RAUM up 243% ($99.5M -> $341.0M). IAPD ↗
$341.0M RAUM · 1 reps · 212-951-1478
Portfolio / reporting / TAMPCRMFinancial planning software
72
CAYSIDE PARTNERS reported RAUM up 73% ($162.5M -> $281.8M). IAPD ↗
$281.8M RAUM · 4 reps · 561-768-9621 · caysidepartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
QUANTIFY FUNDS reported RAUM up 1779999900% ($2 -> $35.6M). IAPD ↗
$35.6M RAUM · 3 reps · 917-696-6359 · quantifyfunds.com
Portfolio / reporting / TAMPCRMFinancial planning software
69
THE BALDWIN GROUP WEALTH ADVISORS, LLC reported RAUM up 48% ($3.24B -> $4.81B). IAPD ↗
$4.81B RAUM · 43 reps · 866-279-0698 · baldwin.com
Portfolio / reporting / TAMPCRMFinancial planning software
69
LIFEGOAL WEALTH ADVISORS LLC reported RAUM up 71% ($82.0M -> $140.0M). IAPD ↗
$140.0M RAUM · 3 reps · 607-434-0742
Portfolio / reporting / TAMPCRMFinancial planning software
67
THE CAPROCK GROUP, LLC reported RAUM up 35% ($6.92B -> $9.36B). IAPD ↗
$9.36B RAUM · 35 reps · (208) 368-9600
Portfolio / reporting / TAMPCRMFinancial planning software
66
GBM WEALTH MANAGEMENT, INC. reported RAUM up 59% ($128.4M -> $203.6M). IAPD ↗
$203.6M RAUM · 4 reps · (281) 745-9100 · gbmwealth.com
Portfolio / reporting / TAMPCRMFinancial planning software
66
IMPERIAL CAPITAL PARTNERS reported RAUM up 31% ($5.35B -> $6.98B). IAPD ↗
$6.98B RAUM · 4 reps · (855) 226-5200 · imperialfund.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
FIRST COMMAND ADVISORY SERVICES reported RAUM up 26% ($17.48B -> $22.09B). IAPD ↗
$22.09B RAUM · 1155 reps · 817-731-8621
Portfolio / reporting / TAMPCRMFinancial planning software
64
WESTERN FINANCIAL CORPORATION reported RAUM up 31% ($200.3M -> $261.4M). IAPD ↗
$261.4M RAUM · 1 reps · 619-544-0260
Portfolio / reporting / TAMPCRMFinancial planning software
64
JAMES T. BORELLO & CO. reported RAUM up 32% ($323.7M -> $427.4M). IAPD ↗
$427.4M RAUM · 4 reps · 847-426-0200 · jamestborello.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
FIRST DALLAS SECURITIES, INC. reported RAUM up 27% ($234.3M -> $297.3M). IAPD ↗
$297.3M RAUM · 9 reps · 214-954-1177 · firstdallas.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
FCF ADVISORS LLC reported RAUM up 26% ($558.9M -> $705.7M). IAPD ↗
$705.7M RAUM · 2 reps · 212-217-2597
Portfolio / reporting / TAMPCRMFinancial planning software
63
FORTITUDE FAMILY OFFICE reported RAUM up 27% ($505.2M -> $640.9M). IAPD ↗
$640.9M RAUM · 11 reps · (602) 834-0089
Portfolio / reporting / TAMPCRMFinancial planning software
62
MUNAKATA ASSOCIATES LLC reported RAUM up 39% ($45.9M -> $63.6M). IAPD ↗
$63.6M RAUM · 1 reps · 914-310-9863
Portfolio / reporting / TAMPCRMFinancial planning software
62
RE-ENVISION WEALTH reported RAUM up 39% ($90.2M -> $125.8M). IAPD ↗
$125.8M RAUM · 3 reps · 301-233-7903 · re-envisionwealth.com
Portfolio / reporting / TAMPCRMFinancial planning software
61
CASSADY WEALTH & RETIREMENT PLANNING L.L.C. reported RAUM up 34% ($105.1M -> $140.5M). IAPD ↗
$140.5M RAUM · 5 reps · 702-650-4480 · cassadywealth.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
MIAI, INC. reported RAUM up 29% ($146.6M -> $189.4M). IAPD ↗
$189.4M RAUM · 4 reps · 214-739-5677 · maplewoodinvestments.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
CAPRA IBEX ADVISORS LLC reported RAUM up 120% ($66.7M -> $146.7M). IAPD ↗institutional
$146.7M RAUM · 5 reps · 646-968-9242 · capraibex.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
CAPRA CREDIT MANAGEMENT, LLC reported RAUM up 120% ($66.7M -> $146.7M). IAPD ↗institutional
$146.7M RAUM · 2 reps · 646-968-9242 · capraibex.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
IMG WEALTH MANAGEMENT, INC. reported RAUM up 25% ($119.9M -> $150.3M). IAPD ↗
$150.3M RAUM · 7 reps · 904-731-9955 · imgwealthmanagement.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
PALADIN FINANCIAL reported RAUM up 26% ($113.0M -> $142.4M). IAPD ↗
$142.4M RAUM · 6 reps · 651-842-8406 · thefinancialhq.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
SPEAR ADVISORS LLC reported RAUM up 675% ($8.7M -> $67.8M). IAPD ↗institutional
$67.8M RAUM · 1 reps · 347-597-2738 · spear-invest.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
DOUBLE DUTY MONEY MANAGEMENT LLC reported RAUM up 27% ($34.1M -> $43.2M). IAPD ↗
$43.2M RAUM · 4 reps · (212) 408-1750
Portfolio / reporting / TAMPCRMFinancial planning software
58
CORIGLIANO INVESTMENT ADVISERS, LLC reported RAUM up 3860% ($11.7M -> $461.6M). IAPD ↗fund
$461.6M RAUM · 4 reps · 919-225-6496 · coriglianoenergy.com
Portfolio / reporting / TAMPCRMFinancial planning software
52
HELIX PARTNERS MANAGEMENT LP reported RAUM up 37% ($1.15B -> $1.58B). IAPD ↗fund
$1.58B RAUM · 7 reps · 212-379-4949
Portfolio / reporting / TAMPCRMFinancial planning software
48
GAVILAN INVESTMENT PARTNERS LLC reported RAUM up 27% ($350.0M -> $443.7M). IAPD ↗fund
$443.7M RAUM · 1 reps · 650-334-4990 · gavilanpartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
38
MORANT WRIGHT MANAGEMENT LIMITED reported RAUM up 40% ($4.65B -> $6.52B). IAPD ↗foreign
$6.52B RAUM · 8 reps · 011-44-20-7499-9980 · morantwright.co.uk
Portfolio / reporting / TAMPCRMFinancial planning software
35
VAN BERKOM AND ASSOCIATES INC. reported RAUM up 29% ($3.15B -> $4.06B). IAPD ↗foreign
$4.06B RAUM · 15 reps · 514-985-5759 · vanberkomglobal.com
Portfolio / reporting / TAMPCRMFinancial planning software
rename — 24 Primary business name changed: rebrand, merger, or ownership change.
60
WEST CHESTER CAPITAL ADVISORS INC is now doing business as AMERISERV WEALTH ADVISORS INC. IAPD ↗
$1.12B RAUM · 3 reps · 814-533-5338 · ameriserv.com
Marketing & brandCRM
60
JACKSON THORNTON ASSET MANAGEMENT, LLC is now doing business as JACKSON THORNTON WEALTH MANAGEMENT, LLC. IAPD ↗
$1.55B RAUM · 10 reps · (334) 834-7660
Marketing & brandCRM
60
SELLWOOD CONSULTING LLC is now doing business as SELLWOOD INVESTMENT PARTNERS LLC. IAPD ↗
$1.88B RAUM · 14 reps · (503) 596-2880
Marketing & brandCRM
60
BURNHAM GIBSON WEALTH ADVISORS, LLC is now doing business as THE BALDWIN GROUP WEALTH ADVISORS, LLC. IAPD ↗
$4.81B RAUM · 43 reps · 866-279-0698 · baldwin.com
Marketing & brandCRM
58
ARGYLE CAPITAL MANAGEMENT INC is now doing business as ARGYLE CAPITAL MANAGEMENT, LLC. IAPD ↗
$324.2M RAUM · 3 reps · 610-997-3777 · argylecapital.net
Marketing & brandCRM
58
SIERRA INVESTMENT MANAGEMENT INC is now doing business as SIERRA INVESTMENT MANAGEMENT, LLC. IAPD ↗
$388.1M RAUM · 9 reps · 310-452-1887
Marketing & brandCRM
58
ZRC WEALTH MANAGEMENT, LLC is now doing business as ELEVATION WEALTH PARTNERS, LLC. IAPD ↗
$485.1M RAUM · 7 reps · 707-524-6131 · elevationwp.com
Marketing & brandCRM
58
ALVARIUM INVESTMENT ADVISORS (US), INC. is now doing business as ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC.. IAPD ↗
$840.2M RAUM · 4 reps · 305.373.8033 · alti-global.com
Marketing & brandCRM
58
SENTINUS, LLC is now doing business as ROTHSCHILD WEALTH LLC. IAPD ↗
$615.6M RAUM · 9 reps · 630-448-5711 · rothschildwealth.com
Marketing & brandCRM
58
GREY ROCK ASSET MANAGEMENT, LLC is now doing business as 1836 ASSET MANAGEMENT, LLC. IAPD ↗
$417.7M RAUM · 3 reps · 888-808-8278 · 1836assetmgmt.com
Marketing & brandCRM
58
WEALTH MANAGEMENT GROUP, L.L.C. is now doing business as VESTGEN ADVISORS, LLC. IAPD ↗
$660.3M RAUM · 13 reps · 847-907-9600 · investwithwmg.com
Marketing & brandCRM
55
ARNOLD CASTELLANO AND ASSOCIATES, LLC is now doing business as CASTELLANO & ASSOCIATES. IAPD ↗
$113.8M RAUM · 3 reps · 318-683-1040 · todaycpa.com
Marketing & brandCRM
55
GRIFFIN BLACK, INC. is now doing business as GRIFFIN BLACK, LLC. IAPD ↗
$219.8M RAUM · 3 reps · (650) 368-5785
Marketing & brandCRM
55
H&H RETIREMENT DESIGN AND MANAGEMENT INC is now doing business as ONE WEALTH MAP, LLC. IAPD ↗
$230.0M RAUM · 4 reps · 702-470-2660
Marketing & brandCRM
55
ATLATL ADVISERS LLC is now doing business as ATLATL ADVISERS. IAPD ↗
$123.1M RAUM · 6 reps · (608) 351-4500
Marketing & brandCRM
50
PGIM PORTFOLIO ADVISORY is now doing business as PGIM MULTI-ASSET SOLUTIONS LLC. IAPD ↗institutional
$13.39B RAUM · 26 reps · 973-802-3137 · pgim.com
Marketing & brandCRM
45
PENDULUM OPPORTUNITIES LLC is now doing business as MARCYPEN CAPITAL PARTNERS LLC. IAPD ↗fund
$1.06B RAUM · 14 reps · 424-421-6040 · marcypen.com
Marketing & brandCRM
45
SILVER SPIKE CAPITAL is now doing business as CHICAGO ATLANTIC BDC ADVISERS, LLC. IAPD ↗institutional
$88.6M RAUM · 6 reps · 212-905-4920 · silverspikecap.com
Marketing & brandCRM
45
FORMA CASHMERE is now doing business as CASHMERE. IAPD ↗institutional
$14.2M RAUM · 5 reps · 310-904-9331 · thecashmerefund.com
Marketing & brandCRM
43
BOW RIVER CREDIT ADVISERS, LLC. is now doing business as THORNBURG BOW RIVER ADVISERS, LLC.. IAPD ↗fund
$340.9M RAUM · 6 reps · 303-861-8466 · thornburg.com
Marketing & brandCRM
40
MICROVEST CAPITAL MANAGEMENT LLC is now doing business as DAI ASSET MANAGEMENT, LLC. IAPD ↗fund
$226.3M RAUM · 6 reps · 301-664-6680 · microvestfund.com
Marketing & brandCRM
40
ARCIS CAPITAL INVESTMENT ADVISORS LLC is now doing business as QUARTUS INVESTMENT ADVISORS LLC. IAPD ↗fund
$19.5M RAUM · 1 reps · 212-634-7173
Marketing & brandCRM
40
LONSDALE INVESTMENT MANAGEMENT, LLC is now doing business as OPTO INVESTMENT MANAGEMENT, LLC. IAPD ↗fund
$215.9M RAUM · 3 reps · 929-499-9817
Marketing & brandCRM
28
ENVISAGE ADVISORY is now doing business as ENVISAGE. IAPD ↗foreign
$448.0M RAUM · 5 reps · +41 44 552 0387 · envisage.ch
Marketing & brandCRM
private funds started — 13 Firm reports private funds for the first time.
75
DENALI ADVISORS, LLC now reports 1 private fund(s) ($144.3M gross). IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
Fund administrationCompliance
73
OLIVER LUXXE ASSETS LLC now reports 3 private fund(s) ($33.0M gross). IAPD ↗
$693.9M RAUM · 6 reps · 908-741-4884 · oliverluxxe.com
Fund administrationCompliance
70
GALLIOTT CAPITAL ADVISORS, LLC now reports 5 private fund(s) ($33.6M gross). IAPD ↗
$118.2M RAUM · 4 reps · 310-362-3320 · galliott.com
Fund administrationCompliance
70
CHAPEL BRIDGE WEALTH ADVISORS now reports 1 private fund(s) ($2.3M gross). IAPD ↗
$175.4M RAUM · 3 reps · 614-552-8200 · chapelbridge.com
Fund administrationCompliance
70
BROADSTREET GLOBAL ADVISORS, INC. now reports 1 private fund(s) ($0 gross). IAPD ↗
$102.7M RAUM · 4 reps · 914-427-8036 · broadstreetglobaladvisors.com
Fund administrationCompliance
60
BOXER CAPITAL MANAGEMENT, LLC now reports 1 private fund(s) ($2.54B gross). IAPD ↗fund
$2.54B RAUM · 10 reps · 858.400.3115 · boxercap.com
Fund administrationCompliance
60
D2 ASSET MANAGEMENT now reports 2 private fund(s) ($1.00B gross). IAPD ↗fund
$1.00B RAUM · 2 reps · 646-729-8315
Fund administrationCompliance
58
MFG PARTNERS LLC now reports 21 private fund(s) ($412.8M gross). IAPD ↗fund
$412.8M RAUM · 6 reps · 212-651-4615
Fund administrationCompliance
58
THORNBURG BOW RIVER ADVISERS, LLC. now reports 4 private fund(s) ($340.9M gross). IAPD ↗fund
$340.9M RAUM · 6 reps · 303-861-8466 · thornburg.com
Fund administrationCompliance
55
NORTHAMPTON CAPITAL PARTNERS now reports 1 private fund(s) ($125.0M gross). IAPD ↗fund
$125.0M RAUM · 9 reps · 914-309-1746
Fund administrationCompliance
55
RIPPLE EFFECT ASSET MANAGEMENT LP now reports 1 private fund(s) ($84.1M gross). IAPD ↗fund
$165.4M RAUM · 3 reps · 917-319-8088 · rippleeffectasset.com
Fund administrationCompliance
55
GLADE CAPITAL MANAGEMENT LP now reports 1 private fund(s) ($27.6M gross). IAPD ↗fund
$27.6M RAUM · 1 reps · 561-246-6330
Fund administrationCompliance
55
DIADEMA PARTNERS LP now reports 2 private fund(s) ($76.8M gross). IAPD ↗fund
$143.7M RAUM · 3 reps · 646-979-8432 · diademapartnerslp.com
Fund administrationCompliance
aum down — 11 Regulatory AUM down >=25% since last filing.
50
BULLTICK WEALTH MANAGEMENT, LLC reported RAUM down 38% ($2.59B -> $1.60B). IAPD ↗
$1.60B RAUM · 20 reps · 305-533-1541 · bulltick.com
M&A & valuationRecruiting & transitions
48
HAMPSHIRE FAMILY OFFICE reported RAUM down 53% ($1.81B -> $843.7M). IAPD ↗
$843.7M RAUM · 5 reps · 212-365-7624 · hampshirefamilyoffice.com
M&A & valuationRecruiting & transitions
45
S. R. SCHILL & ASSOCIATES, INC. reported RAUM down 44% ($243.4M -> $136.4M). IAPD ↗
$136.4M RAUM · 3 reps · 206-275-2700
M&A & valuationRecruiting & transitions
45
ATRATO ASSET MANAGEMENT LLC reported RAUM down 37% ($83.0M -> $52.4M). IAPD ↗
$52.4M RAUM · 1 reps · (505) 310-1783
M&A & valuationRecruiting & transitions
45
BRS FINANCIAL LLC reported RAUM down 64% ($200.3M -> $72.6M). IAPD ↗
$72.6M RAUM · 5 reps · 877-588-3217 · brsconsulting.com
M&A & valuationRecruiting & transitions
45
LOGIX INVESTMENTS LLC reported RAUM down 42% ($205.9M -> $118.6M). IAPD ↗
$118.6M RAUM · 5 reps · 216-861-1148 · logixinvestment.com
M&A & valuationRecruiting & transitions
45
CALLAHAN FINANCIAL PLANNING reported RAUM down 60% ($248.3M -> $100.4M). IAPD ↗
$100.4M RAUM · 5 reps · (800) 991-5195 · callahanfp.com
M&A & valuationRecruiting & transitions
38
CORNERCAP INVESTMENT COUNSEL INC reported RAUM down 71% ($1.21B -> $347.0M). IAPD ↗institutional
$347.0M RAUM · 3 reps · 404.870.0700 · cornercapfunds.com
M&A & valuationRecruiting & transitions
33
FCO ADVISORS LP reported RAUM down 44% ($1.40B -> $791.3M). IAPD ↗fund
$791.3M RAUM · 6 reps · 646-467-8050 · foundationcredit.com
M&A & valuationRecruiting & transitions
30
WAYZATA INVESTMENT PARTNERS LLC reported RAUM down 51% ($376.0M -> $183.8M). IAPD ↗fund
$183.8M RAUM · 5 reps · 952-345-0700 · wayzatainvestmentpartners.com
M&A & valuationRecruiting & transitions
30
GULLANE CAPITAL, LLC reported RAUM down 28% ($260.7M -> $186.5M). IAPD ↗fund
$186.5M RAUM · 1 reps · 901-766-1969
M&A & valuationRecruiting & transitions
planning clients up — 10 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
78
THE CAPROCK GROUP, LLC reports 251-500 financial-planning clients, up from 0. IAPD ↗
$9.36B RAUM · 35 reps · (208) 368-9600
Financial planning software
70
STORYONE FAMILY OFFICE reports 101-250 financial-planning clients, up from 0. IAPD ↗
$118.3M RAUM · 2 reps · 913-663-1800
Financial planning software
69
PROSPERITY - AN EISNERAMPER COMPANY reports More than 500 financial-planning clients, up from 51-100. IAPD ↗
$2.91B RAUM · 46 reps · 410-363-7211 · prosperityconsult.com
Financial planning software
64
TAYLOR HOFFMAN CAPITAL MANAGEMENT reports 251-500 financial-planning clients, up from 51-100. IAPD ↗
$388.7M RAUM · 4 reps · 804-964-2500 · taylorhoffman.com
Financial planning software
64
PLATO'S PHILOSOPHY, LLC reports 26-50 financial-planning clients, up from 0. IAPD ↗
$40.2M RAUM · 4 reps · 805-888-2024 · stockhack.com
Financial planning software
64
BELMONT PRIVATE WEALTH reports 26-50 financial-planning clients, up from 0. IAPD ↗
$118.2M RAUM · 3 reps · 314-566-9887 · belmontpw.com
Financial planning software
64
OWL CREEK WEALTH PARTNERS reports 26-50 financial-planning clients, up from 0. IAPD ↗
$205.9M RAUM · 1 reps · 303-409-4409 · owlcreekwealth.com
Financial planning software
63
THE BALDWIN GROUP WEALTH ADVISORS, LLC reports 101-250 financial-planning clients, up from 51-100. IAPD ↗
$4.81B RAUM · 43 reps · 866-279-0698 · baldwin.com
Financial planning software
63
SOVRAN ADVISORS, LLC reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
$1.17B RAUM · 43 reps · 619-281-9890 · sovranadvisors.com
Financial planning software
28
PATTERSON PARTNERS LTD. reports 11-25 financial-planning clients, up from 1-10. IAPD ↗foreign
$27.2M RAUM · 2 reps · 441-296-3528 · pattersonpartnersltd.com
Financial planning software
headcount down — 10 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
REDW WEALTH LLC shrank from 14 to 9 advisory reps. IAPD ↗
$1.00B RAUM · 9 reps · 505-998-3200
Recruiting & transitionsM&A & valuation
53
CPR INVESTMENTS INC shrank from 35 to 29 advisory reps. IAPD ↗
$295.2M RAUM · 29 reps · 800-213-1164
Recruiting & transitionsM&A & valuation
53
COVE STREET CAPITAL, LLC shrank from 4 to 2 advisory reps. IAPD ↗
$364.0M RAUM · 2 reps · 424-221-5897 · covestreetcapital.com
Recruiting & transitionsM&A & valuation
50
BRS FINANCIAL LLC shrank from 7 to 5 advisory reps. IAPD ↗
$72.6M RAUM · 5 reps · 877-588-3217 · brsconsulting.com
Recruiting & transitionsM&A & valuation
50
IFS GROUP shrank from 14 to 7 advisory reps. IAPD ↗
$200.0M RAUM · 7 reps · 717-766-1144 · ifsgroup1.com
Recruiting & transitionsM&A & valuation
45
PARK AVENUE INSTITUTIONAL ADVISERS LLC shrank from 55 to 23 advisory reps. IAPD ↗institutional
$74.86B RAUM · 23 reps · 212-919-2517
Recruiting & transitionsM&A & valuation
43
CORNERCAP INVESTMENT COUNSEL INC shrank from 14 to 3 advisory reps. IAPD ↗institutional
$347.0M RAUM · 3 reps · 404.870.0700 · cornercapfunds.com
Recruiting & transitionsM&A & valuation
40
AQUILA INVESTMENT MANAGEMENT LLC shrank from 4 to 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · 212-697-6666 · aquilafunds.com
Recruiting & transitionsM&A & valuation
40
MIDCAP FINANCIAL SERVICES CAPITAL MANAGEMENT, LLC shrank from 124 to 69 advisory reps. IAPD ↗fund
$8.22B RAUM · 69 reps · 301-760-7600
Recruiting & transitionsM&A & valuation
38
VINE INVESTMENT ADVISORS, LP shrank from 7 to 1 advisory reps. IAPD ↗fund
$928.4M RAUM · 1 reps · 917-512-7051
Recruiting & transitionsM&A & valuation
aum crossed 1b — 8 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
HODGES CAPITAL MANAGEMENT INC crossed $1B in regulatory AUM ($969.2M -> $1.09B). IAPD ↗
$1.09B RAUM · 10 reps · 888-878-4426
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
DENALI ADVISORS, LLC crossed $1B in regulatory AUM ($493.4M -> $1.20B). IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
PINNACLE INVESTMENTS, LLC crossed $1B in regulatory AUM ($964.9M -> $1.07B). IAPD ↗
$1.07B RAUM · 51 reps · 315-251-1101 · pinnacleinvestments.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
STRATEGIC INVESTMENT ADVISORS, LLC crossed $1B in regulatory AUM ($947.1M -> $1.12B). IAPD ↗
$1.12B RAUM · 12 reps · 248-567-6688 · retirementplanningedu.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
SOVRAN ADVISORS, LLC crossed $1B in regulatory AUM ($841.6M -> $1.17B). IAPD ↗
$1.17B RAUM · 43 reps · 619-281-9890 · sovranadvisors.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
TUTTLE CAPITAL MANAGEMENT, LLC crossed $1B in regulatory AUM ($680.9M -> $1.64B). IAPD ↗institutional
$1.64B RAUM · 4 reps · 888-723-2821 · tuttlecap.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
STANDPOINT ASSET MANAGEMENT, LLC crossed $1B in regulatory AUM ($804.3M -> $1.05B). IAPD ↗institutional
$1.05B RAUM · 6 reps · (602) 688-2918 · standpointfunds.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
MARCYPEN CAPITAL PARTNERS LLC crossed $1B in regulatory AUM ($386.1M -> $1.06B). IAPD ↗fund
$1.06B RAUM · 14 reps · 424-421-6040 · marcypen.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
planning started — 8 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
80
THE CAPROCK GROUP, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$9.36B RAUM · 35 reps · (208) 368-9600
Financial planning softwareCRM
78
ASTORIA PORTFOLIO ADVISORS LLC now offers financial planning (Item 5G(1)). IAPD ↗
$504.2M RAUM · 7 reps · 212-381-6185
Financial planning softwareCRM
78
BRADY MARTZ WEALTH SOLUTIONS, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$599.4M RAUM · 4 reps · 701-223-1717
Financial planning softwareCRM
75
INVESTMENT CONSULTING SERVICES, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$0 RAUM · 3 reps · 630-928-1052 · icsllc.org
Financial planning softwareCRM
75
SUCCESS WEALTH MANAGEMENT LLC now offers financial planning (Item 5G(1)). IAPD ↗
$40.1M RAUM · 14 reps · 724-934-8128
Financial planning softwareCRM
75
PLATO'S PHILOSOPHY, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$40.2M RAUM · 4 reps · 805-888-2024 · stockhack.com
Financial planning softwareCRM
75
AURELIUS FAMILY OFFICE, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$237.3M RAUM · 5 reps · 603-413-6060
Financial planning softwareCRM
75
ACCELERATE RETIREMENT now offers financial planning (Item 5G(1)). IAPD ↗
$173.5M RAUM · 20 reps · 888-439-7071
Financial planning softwareCRM
aum crossed 500m — 5 Regulatory AUM crossed $500M.
70
ALEXANDER INVESTMENT SERVICES CO. crossed $500M in regulatory AUM ($488.7M -> $592.8M). IAPD ↗
$592.8M RAUM · 12 reps · 502-459-4414 · aisretirement.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
MAIA WEALTH crossed $500M in regulatory AUM ($392.5M -> $669.5M). IAPD ↗
$669.5M RAUM · 30 reps · (720) 644-8803
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FORTIS CAPITAL ADVISORS, LLC crossed $500M in regulatory AUM ($331.8M -> $630.6M). IAPD ↗
$630.6M RAUM · 37 reps · (775) 446-4208 · fortiscapitaladvisors.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
60
ANDALUSIAN CREDIT PARTNERS, LLC crossed $500M in regulatory AUM ($940,916 -> $513.7M). IAPD ↗institutional
$513.7M RAUM · 10 reps · 646-989-4070 · andalusian.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
KIAN CAPITAL PARTNERS, LLC crossed $500M in regulatory AUM ($263.3M -> $594.6M). IAPD ↗fund
$594.6M RAUM · 15 reps · 704-943-2500
Portfolio / reporting / TAMPCRMIntegration & migration consulting
wrap program started — 5 Firm began participating in a wrap-fee program (Item 5I(1)).
65
DENALI ADVISORS, LLC began participating in a wrap-fee program. IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
Portfolio / reporting / TAMPCompliance
65
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC began participating in a wrap-fee program. IAPD ↗
$208.75B RAUM · 182 reps · 310-576-1270
Portfolio / reporting / TAMPCompliance
65
OCEAN PARK ASSET MANAGEMENT, LLC began participating in a wrap-fee program. IAPD ↗
$4.72B RAUM · 9 reps · 310-452-1887 · sierramutualfunds.com
Portfolio / reporting / TAMPCompliance
60
CENTENNIAL ADVISORS, LLC began participating in a wrap-fee program. IAPD ↗
$118.9M RAUM · 6 reps · (512) 265-5000 · iwanttoretirewell.com
Portfolio / reporting / TAMPCompliance
60
HARBORFRONT FINANCIAL GROUP began participating in a wrap-fee program. IAPD ↗
$0 RAUM · 4 reps · 231-843-1516
Portfolio / reporting / TAMPCompliance
reorganization — 3 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
43
ARGYLE CAPITAL MANAGEMENT, LLC filed an Item 4A succession naming ARGYLE CAPITAL MANAGEMENT INC (CRD 106576) — an entity change, not a deal. IAPD ↗
$324.2M RAUM · 3 reps · 610-997-3777 · argylecapital.net
Integration & migration consultingCompliance
43
GR FINANCIAL GROUP, LLC filed an Item 4A succession naming GR FINANCIAL GROUP, LLC (CRD 172370) — an entity change, not a deal. IAPD ↗
$814.8M RAUM · 6 reps · 520-577-4711 · gr-financialgroup.com
Integration & migration consultingCompliance
43
HIGHLINE WEALTH PARTNERS filed an Item 4A succession naming HIGHLINE WEALTH PARTNERS (CRD 284712) — an entity change, not a deal. IAPD ↗
$493.7M RAUM · 13 reps · 818-340-0157
Integration & migration consultingCompliance
acquisition — 1 Firm filed an Item 4A succession naming another adviser: a merger or acquisition between the two (the filing does not say which way the money went). Integration projects follow.
95
DENALI ADVISORS, LLC filed an Item 4A succession naming MCKINLEY CAPITAL MANAGEMENT, LLC (CRD 106173) — one firm absorbed the other. IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP

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.