← Tributary

What changed in the December 2024 SEC adviser roster

841 events across 707 firms · 663 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

283state expansion
96new registration
91new office
65deregistered
40disclosure added
37website changed
34pending approved
32custody started
30relocation
28headcount up
25rename
22aum up

Top 25 signals — US wealth firms

98
KERBEROS CAPITAL MANAGEMENT LLC (CHICAGO, IL) is newly SEC-registered with $270.0M RAUM and 4 advisory reps. IAPD ↗
$270.0M RAUM · 4 reps · (312) 854-8787 · kerberoscm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCMAHAN CAPITAL MANAGEMENT (CARMEL, IN) is newly SEC-registered with $112.5M RAUM and 2 advisory reps. IAPD ↗
$112.5M RAUM · 2 reps · 317-573-2202 · mcmahancapital.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEATHE & ASSOCIATES, LLC (location n/a) is newly SEC-registered with $122.8M RAUM and 1 advisory reps. IAPD ↗
$122.8M RAUM · 1 reps · 2077032247 · leatheassociates.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEPLAN FINANCIAL, LLC (MANKATO, MN) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
$125.2M RAUM · 3 reps · 507-625-3507 · lifeplan-financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRAL FINANCIAL PLANNING LLC (location n/a) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 630-219-3315 · integralfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
S HARRIS FINANCIAL GROUP, LLC (SAN ANTONIO, TX) is newly SEC-registered with $218.7M RAUM and 7 advisory reps. IAPD ↗
$218.7M RAUM · 7 reps · 210-547-3450
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
O'CONNOR WEALTH MANAGEMENT, INC. (MONROVIA, CA) is newly SEC-registered with $153.7M RAUM and 2 advisory reps. IAPD ↗
$153.7M RAUM · 2 reps · 626-386-5116 · oconnorwealthmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOWNING STREET WEALTH MANAGEMENT LLC (GREENWOOD VILLAGE, CO) is newly SEC-registered with $152.1M RAUM and 2 advisory reps. IAPD ↗
$152.1M RAUM · 2 reps · 720-360-0886 · downing-st.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BAUMAN WEALTH ADVISORS (LAS VEGAS, NV) is newly SEC-registered with $104.7M RAUM and 4 advisory reps. IAPD ↗
$104.7M RAUM · 4 reps · 702-897-9997
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REH WEALTH ADVISORS LLC (RALEIGH, NC) is newly SEC-registered with $106.2M RAUM and 1 advisory reps. IAPD ↗
$106.2M RAUM · 1 reps · 909-518-2134 · investwithsteve.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KAGAN COCOZZA ASSET MANAGEMENT (location n/a) is newly SEC-registered with $130.6M RAUM and 2 advisory reps. IAPD ↗
$130.6M RAUM · 2 reps · 484-334-8201 · kagancocozza.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GUARDIAN CAPITAL, LLC (WEXFORD, PA) is newly SEC-registered with $105.9M RAUM and 3 advisory reps. IAPD ↗
$105.9M RAUM · 3 reps · 724-934-3050 · guardiancapitalllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEABORN FINANCIAL, LLC (location n/a) is newly SEC-registered with $107.2M RAUM and 1 advisory reps. IAPD ↗
$107.2M RAUM · 1 reps · 512-814-7258 · seabornfinancial.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LAVA WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $30.5M RAUM and 1 advisory reps. IAPD ↗
$30.5M RAUM · 1 reps · 917-751-6077 · lavawealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OCTO CAPITAL, LLC (BINGHAM FARMS, MI) is newly SEC-registered with $133.9M RAUM and 1 advisory reps. IAPD ↗
$133.9M RAUM · 1 reps · 248-731-7729
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROADVIEW WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $109.0M RAUM and 1 advisory reps. IAPD ↗
$109.0M RAUM · 1 reps · 425-326-1120
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STONE STEPS FINANCIAL, LLC (ENCINITAS, CA) is newly SEC-registered with $105.0M RAUM and 3 advisory reps. IAPD ↗
$105.0M RAUM · 3 reps · 760-456-7147
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL AURORA, LLC. (AUSTIN, TX) is newly SEC-registered with $105.0M RAUM and 1 advisory reps. IAPD ↗
$105.0M RAUM · 1 reps · 512.213.6400 · financialaurora.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GUNCHEON FINANCIAL, LLC (location n/a) is newly SEC-registered with $108.2M RAUM and 4 advisory reps. IAPD ↗
$108.2M RAUM · 4 reps · 952-449-4467 · guncheonfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COPIA WEALTH MANAGEMENT (BEND, OR) is newly SEC-registered with $119.6M RAUM and 4 advisory reps. IAPD ↗
$119.6M RAUM · 4 reps · 541-647-2545 · copiawealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOUTH COVE FINANCIAL, LLC (location n/a) is newly SEC-registered with $130.0M RAUM and 3 advisory reps. IAPD ↗
$130.0M RAUM · 3 reps · 206-914-4132
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AFFINITY WEALTH LLC (CANTON, OH) is newly SEC-registered with $155.4M RAUM and 1 advisory reps. IAPD ↗
$155.4M RAUM · 1 reps · (330) 526-8412 · tagplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTELLIGENT INVESTING (location n/a) is newly SEC-registered with $108.5M RAUM and 1 advisory reps. IAPD ↗
$108.5M RAUM · 1 reps · 970-776-4346
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CMG FINANCIAL CONSULTING (location n/a) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
$105.1M RAUM · 2 reps · (877) 695-8004
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RICHMOND QUANTITATIVE ADVISORS, LLC (location n/a) is newly SEC-registered with $19.9M RAUM and 2 advisory reps. IAPD ↗
$19.9M RAUM · 2 reps · (804) 347-0126
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 224 firms

98
KERBEROS CAPITAL MANAGEMENT LLC (CHICAGO, IL) is newly SEC-registered with $270.0M RAUM and 4 advisory reps. IAPD ↗
$270.0M RAUM · 4 reps · (312) 854-8787 · kerberoscm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCMAHAN CAPITAL MANAGEMENT (CARMEL, IN) is newly SEC-registered with $112.5M RAUM and 2 advisory reps. IAPD ↗
$112.5M RAUM · 2 reps · 317-573-2202 · mcmahancapital.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEATHE & ASSOCIATES, LLC (location n/a) is newly SEC-registered with $122.8M RAUM and 1 advisory reps. IAPD ↗
$122.8M RAUM · 1 reps · 2077032247 · leatheassociates.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEPLAN FINANCIAL, LLC (MANKATO, MN) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
$125.2M RAUM · 3 reps · 507-625-3507 · lifeplan-financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRAL FINANCIAL PLANNING LLC (location n/a) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 630-219-3315 · integralfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
S HARRIS FINANCIAL GROUP, LLC (SAN ANTONIO, TX) is newly SEC-registered with $218.7M RAUM and 7 advisory reps. IAPD ↗
$218.7M RAUM · 7 reps · 210-547-3450
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
O'CONNOR WEALTH MANAGEMENT, INC. (MONROVIA, CA) is newly SEC-registered with $153.7M RAUM and 2 advisory reps. IAPD ↗
$153.7M RAUM · 2 reps · 626-386-5116 · oconnorwealthmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOWNING STREET WEALTH MANAGEMENT LLC (GREENWOOD VILLAGE, CO) is newly SEC-registered with $152.1M RAUM and 2 advisory reps. IAPD ↗
$152.1M RAUM · 2 reps · 720-360-0886 · downing-st.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BAUMAN WEALTH ADVISORS (LAS VEGAS, NV) is newly SEC-registered with $104.7M RAUM and 4 advisory reps. IAPD ↗
$104.7M RAUM · 4 reps · 702-897-9997
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REH WEALTH ADVISORS LLC (RALEIGH, NC) is newly SEC-registered with $106.2M RAUM and 1 advisory reps. IAPD ↗
$106.2M RAUM · 1 reps · 909-518-2134 · investwithsteve.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 214 more in the CSV export.

Financial planning software 132 firms

98
KERBEROS CAPITAL MANAGEMENT LLC (CHICAGO, IL) is newly SEC-registered with $270.0M RAUM and 4 advisory reps. IAPD ↗
$270.0M RAUM · 4 reps · (312) 854-8787 · kerberoscm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCMAHAN CAPITAL MANAGEMENT (CARMEL, IN) is newly SEC-registered with $112.5M RAUM and 2 advisory reps. IAPD ↗
$112.5M RAUM · 2 reps · 317-573-2202 · mcmahancapital.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEATHE & ASSOCIATES, LLC (location n/a) is newly SEC-registered with $122.8M RAUM and 1 advisory reps. IAPD ↗
$122.8M RAUM · 1 reps · 2077032247 · leatheassociates.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEPLAN FINANCIAL, LLC (MANKATO, MN) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
$125.2M RAUM · 3 reps · 507-625-3507 · lifeplan-financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRAL FINANCIAL PLANNING LLC (location n/a) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 630-219-3315 · integralfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
S HARRIS FINANCIAL GROUP, LLC (SAN ANTONIO, TX) is newly SEC-registered with $218.7M RAUM and 7 advisory reps. IAPD ↗
$218.7M RAUM · 7 reps · 210-547-3450
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
O'CONNOR WEALTH MANAGEMENT, INC. (MONROVIA, CA) is newly SEC-registered with $153.7M RAUM and 2 advisory reps. IAPD ↗
$153.7M RAUM · 2 reps · 626-386-5116 · oconnorwealthmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOWNING STREET WEALTH MANAGEMENT LLC (GREENWOOD VILLAGE, CO) is newly SEC-registered with $152.1M RAUM and 2 advisory reps. IAPD ↗
$152.1M RAUM · 2 reps · 720-360-0886 · downing-st.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BAUMAN WEALTH ADVISORS (LAS VEGAS, NV) is newly SEC-registered with $104.7M RAUM and 4 advisory reps. IAPD ↗
$104.7M RAUM · 4 reps · 702-897-9997
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REH WEALTH ADVISORS LLC (RALEIGH, NC) is newly SEC-registered with $106.2M RAUM and 1 advisory reps. IAPD ↗
$106.2M RAUM · 1 reps · 909-518-2134 · investwithsteve.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 122 more in the CSV export.

Compliance 434 firms

98
KERBEROS CAPITAL MANAGEMENT LLC (CHICAGO, IL) is newly SEC-registered with $270.0M RAUM and 4 advisory reps. IAPD ↗
$270.0M RAUM · 4 reps · (312) 854-8787 · kerberoscm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCMAHAN CAPITAL MANAGEMENT (CARMEL, IN) is newly SEC-registered with $112.5M RAUM and 2 advisory reps. IAPD ↗
$112.5M RAUM · 2 reps · 317-573-2202 · mcmahancapital.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEATHE & ASSOCIATES, LLC (location n/a) is newly SEC-registered with $122.8M RAUM and 1 advisory reps. IAPD ↗
$122.8M RAUM · 1 reps · 2077032247 · leatheassociates.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEPLAN FINANCIAL, LLC (MANKATO, MN) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
$125.2M RAUM · 3 reps · 507-625-3507 · lifeplan-financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRAL FINANCIAL PLANNING LLC (location n/a) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 630-219-3315 · integralfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
S HARRIS FINANCIAL GROUP, LLC (SAN ANTONIO, TX) is newly SEC-registered with $218.7M RAUM and 7 advisory reps. IAPD ↗
$218.7M RAUM · 7 reps · 210-547-3450
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
O'CONNOR WEALTH MANAGEMENT, INC. (MONROVIA, CA) is newly SEC-registered with $153.7M RAUM and 2 advisory reps. IAPD ↗
$153.7M RAUM · 2 reps · 626-386-5116 · oconnorwealthmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOWNING STREET WEALTH MANAGEMENT LLC (GREENWOOD VILLAGE, CO) is newly SEC-registered with $152.1M RAUM and 2 advisory reps. IAPD ↗
$152.1M RAUM · 2 reps · 720-360-0886 · downing-st.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BAUMAN WEALTH ADVISORS (LAS VEGAS, NV) is newly SEC-registered with $104.7M RAUM and 4 advisory reps. IAPD ↗
$104.7M RAUM · 4 reps · 702-897-9997
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REH WEALTH ADVISORS LLC (RALEIGH, NC) is newly SEC-registered with $106.2M RAUM and 1 advisory reps. IAPD ↗
$106.2M RAUM · 1 reps · 909-518-2134 · investwithsteve.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 424 more in the CSV export.

Portfolio / reporting / TAMP 111 firms

98
KERBEROS CAPITAL MANAGEMENT LLC (CHICAGO, IL) is newly SEC-registered with $270.0M RAUM and 4 advisory reps. IAPD ↗
$270.0M RAUM · 4 reps · (312) 854-8787 · kerberoscm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCMAHAN CAPITAL MANAGEMENT (CARMEL, IN) is newly SEC-registered with $112.5M RAUM and 2 advisory reps. IAPD ↗
$112.5M RAUM · 2 reps · 317-573-2202 · mcmahancapital.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEATHE & ASSOCIATES, LLC (location n/a) is newly SEC-registered with $122.8M RAUM and 1 advisory reps. IAPD ↗
$122.8M RAUM · 1 reps · 2077032247 · leatheassociates.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEPLAN FINANCIAL, LLC (MANKATO, MN) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
$125.2M RAUM · 3 reps · 507-625-3507 · lifeplan-financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRAL FINANCIAL PLANNING LLC (location n/a) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 630-219-3315 · integralfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
S HARRIS FINANCIAL GROUP, LLC (SAN ANTONIO, TX) is newly SEC-registered with $218.7M RAUM and 7 advisory reps. IAPD ↗
$218.7M RAUM · 7 reps · 210-547-3450
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
O'CONNOR WEALTH MANAGEMENT, INC. (MONROVIA, CA) is newly SEC-registered with $153.7M RAUM and 2 advisory reps. IAPD ↗
$153.7M RAUM · 2 reps · 626-386-5116 · oconnorwealthmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOWNING STREET WEALTH MANAGEMENT LLC (GREENWOOD VILLAGE, CO) is newly SEC-registered with $152.1M RAUM and 2 advisory reps. IAPD ↗
$152.1M RAUM · 2 reps · 720-360-0886 · downing-st.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BAUMAN WEALTH ADVISORS (LAS VEGAS, NV) is newly SEC-registered with $104.7M RAUM and 4 advisory reps. IAPD ↗
$104.7M RAUM · 4 reps · 702-897-9997
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REH WEALTH ADVISORS LLC (RALEIGH, NC) is newly SEC-registered with $106.2M RAUM and 1 advisory reps. IAPD ↗
$106.2M RAUM · 1 reps · 909-518-2134 · investwithsteve.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 101 more in the CSV export.

Custodian 89 firms

98
KERBEROS CAPITAL MANAGEMENT LLC (CHICAGO, IL) is newly SEC-registered with $270.0M RAUM and 4 advisory reps. IAPD ↗
$270.0M RAUM · 4 reps · (312) 854-8787 · kerberoscm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCMAHAN CAPITAL MANAGEMENT (CARMEL, IN) is newly SEC-registered with $112.5M RAUM and 2 advisory reps. IAPD ↗
$112.5M RAUM · 2 reps · 317-573-2202 · mcmahancapital.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEATHE & ASSOCIATES, LLC (location n/a) is newly SEC-registered with $122.8M RAUM and 1 advisory reps. IAPD ↗
$122.8M RAUM · 1 reps · 2077032247 · leatheassociates.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEPLAN FINANCIAL, LLC (MANKATO, MN) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
$125.2M RAUM · 3 reps · 507-625-3507 · lifeplan-financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRAL FINANCIAL PLANNING LLC (location n/a) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 630-219-3315 · integralfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
S HARRIS FINANCIAL GROUP, LLC (SAN ANTONIO, TX) is newly SEC-registered with $218.7M RAUM and 7 advisory reps. IAPD ↗
$218.7M RAUM · 7 reps · 210-547-3450
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
O'CONNOR WEALTH MANAGEMENT, INC. (MONROVIA, CA) is newly SEC-registered with $153.7M RAUM and 2 advisory reps. IAPD ↗
$153.7M RAUM · 2 reps · 626-386-5116 · oconnorwealthmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOWNING STREET WEALTH MANAGEMENT LLC (GREENWOOD VILLAGE, CO) is newly SEC-registered with $152.1M RAUM and 2 advisory reps. IAPD ↗
$152.1M RAUM · 2 reps · 720-360-0886 · downing-st.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BAUMAN WEALTH ADVISORS (LAS VEGAS, NV) is newly SEC-registered with $104.7M RAUM and 4 advisory reps. IAPD ↗
$104.7M RAUM · 4 reps · 702-897-9997
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REH WEALTH ADVISORS LLC (RALEIGH, NC) is newly SEC-registered with $106.2M RAUM and 1 advisory reps. IAPD ↗
$106.2M RAUM · 1 reps · 909-518-2134 · investwithsteve.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 79 more in the CSV export.

Marketing & brand 431 firms

98
KERBEROS CAPITAL MANAGEMENT LLC (CHICAGO, IL) is newly SEC-registered with $270.0M RAUM and 4 advisory reps. IAPD ↗
$270.0M RAUM · 4 reps · (312) 854-8787 · kerberoscm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCMAHAN CAPITAL MANAGEMENT (CARMEL, IN) is newly SEC-registered with $112.5M RAUM and 2 advisory reps. IAPD ↗
$112.5M RAUM · 2 reps · 317-573-2202 · mcmahancapital.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEATHE & ASSOCIATES, LLC (location n/a) is newly SEC-registered with $122.8M RAUM and 1 advisory reps. IAPD ↗
$122.8M RAUM · 1 reps · 2077032247 · leatheassociates.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEPLAN FINANCIAL, LLC (MANKATO, MN) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
$125.2M RAUM · 3 reps · 507-625-3507 · lifeplan-financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRAL FINANCIAL PLANNING LLC (location n/a) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 630-219-3315 · integralfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
S HARRIS FINANCIAL GROUP, LLC (SAN ANTONIO, TX) is newly SEC-registered with $218.7M RAUM and 7 advisory reps. IAPD ↗
$218.7M RAUM · 7 reps · 210-547-3450
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
O'CONNOR WEALTH MANAGEMENT, INC. (MONROVIA, CA) is newly SEC-registered with $153.7M RAUM and 2 advisory reps. IAPD ↗
$153.7M RAUM · 2 reps · 626-386-5116 · oconnorwealthmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOWNING STREET WEALTH MANAGEMENT LLC (GREENWOOD VILLAGE, CO) is newly SEC-registered with $152.1M RAUM and 2 advisory reps. IAPD ↗
$152.1M RAUM · 2 reps · 720-360-0886 · downing-st.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BAUMAN WEALTH ADVISORS (LAS VEGAS, NV) is newly SEC-registered with $104.7M RAUM and 4 advisory reps. IAPD ↗
$104.7M RAUM · 4 reps · 702-897-9997
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REH WEALTH ADVISORS LLC (RALEIGH, NC) is newly SEC-registered with $106.2M RAUM and 1 advisory reps. IAPD ↗
$106.2M RAUM · 1 reps · 909-518-2134 · investwithsteve.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 421 more in the CSV export.

Recruiting & transitions 152 firms

85
STATE FARM INVESTMENT MANAGEMENT CORP. grew from 22 to 110 advisory reps. IAPD ↗
$10.16B RAUM · 110 reps · 800-447-0740
CRMRecruiting & transitionsComplianceFinancial planning software
85
WAVERLY ADVISORS, LLC grew from 119 to 139 advisory reps. IAPD ↗
$13.30B RAUM · 139 reps · 205-871-3334 · waverly-advisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
VANDERBILT ADVISORY SERVICES grew from 107 to 124 advisory reps. IAPD ↗
$1.62B RAUM · 124 reps · 631-845-5100 · commoninterests.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
THE COLONY GROUP, LLC grew from 688 to 730 advisory reps. IAPD ↗
$21.47B RAUM · 730 reps · 617-723-8200
CRMRecruiting & transitionsComplianceFinancial planning software
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC grew from 138 to 184 advisory reps. IAPD ↗
$11.29B RAUM · 184 reps · 312-334-7300 · ifamcapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
BAHL & GAYNOR INC grew from 36 to 46 advisory reps. IAPD ↗
$20.23B RAUM · 46 reps · 513-287-6100
CRMRecruiting & transitionsComplianceFinancial planning software
75
VESTGEN ADVISORS, LLC grew from 13 to 20 advisory reps. IAPD ↗
$660.3M RAUM · 20 reps · 847-907-9600 · investwithwmg.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
SERENUS WEALTH ADVISORS, LLC grew from 1 to 4 advisory reps. IAPD ↗
$1.19B RAUM · 4 reps · 917-539-2411 · serenusadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
72
RVW WEALTH LLC grew from 10 to 12 advisory reps. IAPD ↗
$1.11B RAUM · 12 reps · 310-945-4000 · rvwwealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
72
HOOPOE ADVISORS grew from 5 to 9 advisory reps. IAPD ↗
$402.5M RAUM · 9 reps · 617-708-0639
CRMRecruiting & transitionsComplianceFinancial planning software

…and 142 more in the CSV export.

Integration & migration consulting 5 firms

85
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC crossed $1B in regulatory AUM ($854.3M -> $1.12B). IAPD ↗
$1.12B RAUM · 5 reps · (408) 217-2000 · wrpwealth.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
SEARLE & CO. crossed $500M in regulatory AUM ($397.4M -> $649.0M). IAPD ↗
$649.0M RAUM · 7 reps · 203-869-4800 · searleco.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
5C CAPITAL MANAGEMENT, LLC crossed $500M in regulatory AUM ($474.8M -> $525.0M). IAPD ↗
$525.0M RAUM · 7 reps · (347) 331-0648 · 5cwealth.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
45
HORNOR, TOWNSEND & KENT, LLC filed an Item 4A succession naming HORNOR, TOWNSEND & KENT, LLC (CRD 4031) — an entity change, not a deal. IAPD ↗
$6.86B RAUM · 417 reps · 215-957-7300 · htk.com
Integration & migration consultingCompliance
45
GUIDELINE INVESTMENTS, LLC filed an Item 4A succession naming GUIDELINE, INC. (CRD 281515) — an entity change, not a deal. IAPD ↗
$11.71B RAUM · 3 reps · (888) 228-3491
Integration & migration consultingCompliance

Fund administration 1 firms

70
ROUTE 20 PRIVATE WEALTH INC. now reports 1 private fund(s) ($5.3M gross). IAPD ↗
$5.3M RAUM · 4 reps · 561-843-4678 · route20wealth.com
Fund administrationCompliance

Office IT & facilities 102 firms

55
HALBERT HARGROVE added office(s): 9 -> 15 additional locations. IAPD ↗
$3.16B RAUM · 36 reps · 562-435-5657
Office IT & facilitiesCRMRecruiting & transitions
55
HBKS WEALTH ADVISORS added office(s): 12 -> 13 additional locations. IAPD ↗
$6.50B RAUM · 75 reps · 814-836-5776 · level3wealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
WAVERLY ADVISORS, LLC added office(s): 25 -> 28 additional locations. IAPD ↗
$13.30B RAUM · 139 reps · 205-871-3334 · waverly-advisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
VANDERBILT ADVISORY SERVICES added office(s): 25 -> 43 additional locations. IAPD ↗
$1.62B RAUM · 124 reps · 631-845-5100 · commoninterests.com
Office IT & facilitiesCRMRecruiting & transitions
55
PINKERTON RETIREMENT SPECIALISTS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$1.02B RAUM · 12 reps · 800-634-2008 · idahowm.org
Office IT & facilitiesCRMRecruiting & transitions
55
TORTOISE INVESTMENT MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$1.46B RAUM · 16 reps · 914-686-0024 · tortoiseinvestment.com
Office IT & facilitiesCRMRecruiting & transitions
55
J. SAFRA ASSET MANAGEMENT CORPORATION added office(s): 1 -> 2 additional locations. IAPD ↗
$3.68B RAUM · 6 reps · 212-704-5553 · jsinvestments.com
Office IT & facilitiesCRMRecruiting & transitions
55
HBW ADVISORY SERVICES LLC added office(s): 47 -> 50 additional locations. IAPD ↗
$1.48B RAUM · 63 reps · 800-473-3856
Office IT & facilitiesCRMRecruiting & transitions
55
PURE FINANCIAL ADVISORS, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$6.29B RAUM · 56 reps · 877-222-6044 · purefinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
SENDERO WEALTH MANAGEMENT, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$5.22B RAUM · 14 reps · 210-805-0171 · sendero.com
Office IT & facilitiesCRMRecruiting & transitions

…and 92 more in the CSV export.

M&A & valuation 53 firms

65
CHARLES D. HYMAN & COMPANY (PONTE VEDRA BEACH, FL) left the SEC roster (was $2.20B RAUM, 2 reps). IAPD ↗
$2.20B RAUM · 2 reps · 904-543-0360 · charlesdhyman.com
Recruiting & transitionsM&A & valuation
65
ENSEMBLE CAPITAL MANAGEMENT, LLC (SAN FRANCISCO, CA) left the SEC roster (was $1.66B RAUM, 10 reps). IAPD ↗
$1.66B RAUM · 10 reps · 650-696-1240 · ensemblecapital.com
Recruiting & transitionsM&A & valuation
65
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC (NEW YORK, NY) left the SEC roster (was $11.28B RAUM, 14 reps). IAPD ↗
$11.28B RAUM · 14 reps · 212-902-1000
Recruiting & transitionsM&A & valuation
65
FINANCIAL DIMENSIONS GROUP, INC. (ARDEN HILLS, MN) left the SEC roster (was $2.60B RAUM, 49 reps). IAPD ↗
$2.60B RAUM · 49 reps · 651-481-6280 · eliasonfa.com
Recruiting & transitionsM&A & valuation
65
SBC WEALTH MANAGEMENT (INDIANAPOLIS, IN) left the SEC roster (was $1.01B RAUM, 7 reps). IAPD ↗
$1.01B RAUM · 7 reps · 317-848-4744
Recruiting & transitionsM&A & valuation
65
DIVERSIFIED, LLC (WILMINGTON, DE) left the SEC roster (was $1.55B RAUM, 22 reps). IAPD ↗
$1.55B RAUM · 22 reps · 302-765-3500 · pinterest.com
Recruiting & transitionsM&A & valuation
65
HOYLECOHEN, LLC (SAN DIEGO, CA) left the SEC roster (was $3.43B RAUM, 28 reps). IAPD ↗
$3.43B RAUM · 28 reps · 858-576-7300 · focusfinancialpartners.com
Recruiting & transitionsM&A & valuation
65
BUCKINGHAM STRATEGIC WEALTH, LLC (ST LOUIS, MO) left the SEC roster (was $29.51B RAUM, 312 reps). IAPD ↗
$29.51B RAUM · 312 reps · 314-725-0455 · askbuckingham.com
Recruiting & transitionsM&A & valuation
65
ARBOR POINT ADVISORS (LAVISTA, NE) left the SEC roster (was $6.93B RAUM, 208 reps). IAPD ↗
$6.93B RAUM · 208 reps · 888-777-1992 · rdfintax.com
Recruiting & transitionsM&A & valuation
65
GREY STREET CAPITAL, LLC (CHICAGO, IL) left the SEC roster (was $2.03B RAUM, 8 reps). IAPD ↗
$2.03B RAUM · 8 reps · 312.635.7160
Recruiting & transitionsM&A & valuation

…and 43 more in the CSV export.

Everything else — all segments

state expansion — 283 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
BTG PACTUAL ASSET MANAGEMENT US , LLC notice-filed in AK, AL, AR, AZ, CA, CO, DC, DE, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, NC, ND, NE, NH, NJ, NM, NV, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WI, WV, WY. IAPD ↗
$27.79B RAUM · 68 reps · 212-293-4600 · timberlandinvestmentgroup.com
ComplianceMarketing & brand
55
CWA ASSET MANAGEMENT GROUP notice-filed in AK, AR, DC, HI, ID, KS, KY, ME, MS, MT, NM, NV, OK, OR, RI, SD, VI, WA, WY. IAPD ↗
$2.53B RAUM · 28 reps · 239-434-7434
ComplianceMarketing & brand
55
PRINCIPLE WEALTH notice-filed in GA, MD, MI, SC, TN. IAPD ↗
$2.22B RAUM · 21 reps · 203-318-8892
ComplianceMarketing & brand
55
IFC ADVISORS LLC notice-filed in AZ, CO, FL, LA, NE, NV, NY, SC, TX. IAPD ↗
$2.40B RAUM · 7 reps · 310-596-1250
ComplianceMarketing & brand
53
FOSTER GROUP, INC. notice-filed in CT, NY, OR, VT. IAPD ↗
$3.24B RAUM · 47 reps · 515-226-9000
ComplianceMarketing & brand
53
JOURNEY ADVISORY GROUP, LLC notice-filed in CO, NY, PA, SC. IAPD ↗
$1.02B RAUM · 11 reps · 859-888-0356
ComplianceMarketing & brand
53
CREEKMUR ASSET MANAGEMENT, LLC notice-filed in GA, IA, KY, NV, NY, OK, PA, SC, WA, WI. IAPD ↗
$410.6M RAUM · 10 reps · 309-925-2043
ComplianceMarketing & brand
53
KEYVANTAGE WEALTH ADVISORS notice-filed in FL, NJ, NY, SC, TX, UT. IAPD ↗
$284.3M RAUM · 4 reps · 484-935-3003 · keyvantagewealth.com
ComplianceMarketing & brand
53
BEARING POINT CAPITAL notice-filed in AZ, CA, FL, IL, NY, TX. IAPD ↗
$839.0M RAUM · 5 reps · 952-800-6301 · bearingpointcap.com
ComplianceMarketing & brand
51
PATTEN AND PATTEN, INC. notice-filed in KS, UT, VT. IAPD ↗
$1.93B RAUM · 4 reps · 423.756.3480 · patteninc.com
ComplianceMarketing & brand
51
ASPEN CAPITAL MANAGEMENT, LLC notice-filed in MT, NC, NE. IAPD ↗
$1.01B RAUM · 7 reps · 208-345-0174 · aspencapitalmgmt.com
ComplianceMarketing & brand
51
STRATEGIC INVESTMENT ADVISORS, LLC notice-filed in IN, NC, WI. IAPD ↗
$1.12B RAUM · 12 reps · 248-567-6688 · retirementplanningedu.com
ComplianceMarketing & brand
51
LIBERTY WEALTH MANAGEMENT, LLC notice-filed in GA, IN, UT. IAPD ↗
$1.22B RAUM · 18 reps · 510-658-1880
ComplianceMarketing & brand
51
CONFLUENCE FINANCIAL PARTNERS notice-filed in CO, DC, WA. IAPD ↗
$3.06B RAUM · 34 reps · 724-271-8801
ComplianceMarketing & brand
51
SYRIOS WEALTH MANAGEMENT GROUP notice-filed in AZ, FL, NV, TX. IAPD ↗
$398.3M RAUM · 1 reps · 858-333-6151 · syrioswmg.com
ComplianceMarketing & brand
50
RISEMINT notice-filed in CA, FL, NY, TX, WA. IAPD ↗
$106.5M RAUM · 5 reps · (888) 998-3254
ComplianceMarketing & brand
50
FORTRESS PRIVATE LEDGER, LLC notice-filed in AZ, MD, MS, NH, OK. IAPD ↗
$200.7M RAUM · 15 reps · 919-322-2761 · fortressretirementplanadvisors.com
ComplianceMarketing & brand
50
VISDOM INVESTMENT GROUP LLC notice-filed in FL, MD, MI, NE, TX, WI. IAPD ↗
$110.5M RAUM · 1 reps · (203) 803-7222
ComplianceMarketing & brand
50
MOSTT INC. notice-filed in AK, AL, AR, AZ, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
$1,001 RAUM · 1 reps · 310-923-0363 · mostt.co
ComplianceMarketing & brand
49
CITY NATIONAL SECURITIES, INC. notice-filed in DE, VA. IAPD ↗
$1.49B RAUM · 47 reps · 310-888-6400 · cnb.com
ComplianceMarketing & brand
49
RBF WEALTH ADVISORS notice-filed in NE, OR, SC. IAPD ↗
$517.5M RAUM · 17 reps · 314-997-1652
ComplianceMarketing & brand
49
MONTEREY PRIVATE WEALTH, INC. notice-filed in NC, VA. IAPD ↗
$1.01B RAUM · 8 reps · (831) 372-3426
ComplianceMarketing & brand
49
NVEST FINANCIAL, LLC notice-filed in CA, CT, LA. IAPD ↗
$379.8M RAUM · 7 reps · 207-985-8585
ComplianceMarketing & brand
49
L & S ADVISORS, INC notice-filed in MI, OR. IAPD ↗
$1.01B RAUM · 15 reps · 310-893-6060 · lsadvisor.com
ComplianceMarketing & brand
49
ADVOCACY WEALTH MANAGEMENT, LLC notice-filed in IN, KS. IAPD ↗
$1.72B RAUM · 21 reps · 404.836.7100 · advocacywealth.com
ComplianceMarketing & brand
49
BIP WEALTH, LLC notice-filed in ID, MD. IAPD ↗
$2.83B RAUM · 27 reps · 404-495-5230
ComplianceMarketing & brand
49
JACOBI CAPITAL MANAGEMENT, LLC notice-filed in IL, ME. IAPD ↗
$1.69B RAUM · 24 reps · 570-826-1801
ComplianceMarketing & brand
49
BALTIMORE-WASHINGTON FINANCIAL ADVISORS notice-filed in MA, TN. IAPD ↗
$1.94B RAUM · 11 reps · 410-461-3900
ComplianceMarketing & brand
49
RMR WEALTH BUILDERS, INC. notice-filed in LA, NE. IAPD ↗
$1.70B RAUM · 43 reps · (201) 836-2460
ComplianceMarketing & brand
49
FOURSTAR WEALTH ADVISORS, LLC notice-filed in KY, TN. IAPD ↗
$1.02B RAUM · 39 reps · (312) 667-1750 · timeto.planyourexitstrategy.com
ComplianceMarketing & brand
49
TWELVE POINTS WEALTH MANAGEMENT notice-filed in IL, PA. IAPD ↗
$1.21B RAUM · 10 reps · 978-318-9500
ComplianceMarketing & brand
49
ALTUS WEALTH GROUP, LLC notice-filed in HI, NY, OR. IAPD ↗
$445.0M RAUM · 8 reps · 719-900-1295 · altuswealthgroup.com
ComplianceMarketing & brand
49
HORIZON FINANCIAL notice-filed in MD, NH, VA. IAPD ↗
$422.8M RAUM · 11 reps · 585-334-3600 · horizonfinancial.net
ComplianceMarketing & brand
49
SOLLINDA CAPITAL MANAGEMENT LLC notice-filed in AR, PR, SC. IAPD ↗
$916.8M RAUM · 9 reps · 828-455-4264 · sollinda.com
ComplianceMarketing & brand
49
MAY HILL CAPITAL, LLC notice-filed in NH, NY, TX. IAPD ↗
$354.6M RAUM · 2 reps · 617-800-0388 · mayhillwealth.com
ComplianceMarketing & brand
48
LAW & ASSOCIATES INC notice-filed in CO, DE, NH, SC. IAPD ↗
$214.2M RAUM · 3 reps · [301]229-8500
ComplianceMarketing & brand
48
KEENAN FINANCIAL notice-filed in AL, ID, KY, WY. IAPD ↗
$102.7M RAUM · 11 reps · (978) 270-1193
ComplianceMarketing & brand
48
PREMIER PRIVATE WEALTH MANAGEMENT, LLC notice-filed in GA, NC, PA, TX. IAPD ↗
$107.8M RAUM · 2 reps · 727-281-2882 · premierprivatewealthmgt.com
ComplianceMarketing & brand
47
MIDWESTERN SECURITIES TRADING CO.,LLC notice-filed in HI. IAPD ↗
$1.26B RAUM · 38 reps · 309-699-6786
ComplianceMarketing & brand
47
PRIVATE MANAGEMENT GROUP INC notice-filed in WI. IAPD ↗
$4.17B RAUM · 18 reps · 949-752-7500 · privatemanagementgroup.com
ComplianceMarketing & brand
47
CONDOR CAPITAL WEALTH MANAGEMENT notice-filed in DC. IAPD ↗
$1.70B RAUM · 14 reps · 732-356-7323
ComplianceMarketing & brand
47
FINANCIAL CONSULATE notice-filed in DC, NE. IAPD ↗
$782.3M RAUM · 12 reps · 410-823-7283 · financialphysical.com
ComplianceMarketing & brand
47
NORTHSTAR ASSET MANAGEMENT INC notice-filed in NE, PA. IAPD ↗
$699.3M RAUM · 15 reps · 617-522-2635
ComplianceMarketing & brand
47
SJS INVESTMENT SERVICES notice-filed in NE. IAPD ↗
$2.24B RAUM · 18 reps · 419-885-2626 · sjsinvest.com
ComplianceMarketing & brand
47
BEAIRD HARRIS notice-filed in NV. IAPD ↗
$1.67B RAUM · 13 reps · 972-503-1040
ComplianceMarketing & brand
47
PROFESSIONAL PLANNING GROUP notice-filed in VA. IAPD ↗
$1.06B RAUM · 8 reps · (401) 596-2800 · ppgadvisors.com
ComplianceMarketing & brand
47
LASALLE ST. INVESTMENT ADVISORS, L.L.C. notice-filed in HI. IAPD ↗
$3.48B RAUM · 134 reps · 630-600-0500
ComplianceMarketing & brand
47
PLANNING ALTERNATIVES LTD notice-filed in OR. IAPD ↗
$1.16B RAUM · 9 reps · 248-645-1520
ComplianceMarketing & brand
47
COOPER MCMANUS notice-filed in NM. IAPD ↗
$1.58B RAUM · 38 reps · 800-516-5333
ComplianceMarketing & brand
47
ARGENT ADVISORS, INC. notice-filed in NC. IAPD ↗
$1.37B RAUM · 13 reps · 318-324-8000 · argentfinanical.com
ComplianceMarketing & brand
47
PINION WEALTH MANAGEMENT, LLC notice-filed in MS, WY. IAPD ↗
$493.9M RAUM · 7 reps · 316-682-8344
ComplianceMarketing & brand
47
SAGE FINANCIAL GROUP INC. notice-filed in MI. IAPD ↗
$3.21B RAUM · 21 reps · 484-342-4400
ComplianceMarketing & brand
47
FINANCIAL SYMMETRY INC. notice-filed in IL. IAPD ↗
$1.00B RAUM · 15 reps · 919-851-8200 · financialsymmetry.com
ComplianceMarketing & brand
47
PINKERTON RETIREMENT SPECIALISTS, LLC notice-filed in HI. IAPD ↗
$1.02B RAUM · 12 reps · 800-634-2008 · idahowm.org
ComplianceMarketing & brand
47
STRATEGIC WEALTH MANAGEMENT GROUP notice-filed in CO, PA. IAPD ↗
$667.7M RAUM · 5 reps · 212-489-0100 · swmgrp.com
ComplianceMarketing & brand
47
APRIO WEALTH MANAGEMENT, LLC notice-filed in AL. IAPD ↗
$1.84B RAUM · 23 reps · 404-892-9651 · wealth.aprio.com
ComplianceMarketing & brand
47
STRATEGIC FAMILY WEALTH COUNSELORS, L.L.C. notice-filed in DC. IAPD ↗
$1.18B RAUM · 6 reps · 973-575-3444 · strategicfamilywealth.com
ComplianceMarketing & brand
47
MCF ADVISORS, LLC notice-filed in AR. IAPD ↗
$2.89B RAUM · 18 reps · 859-392-8600 · mcfinstitutional.com
ComplianceMarketing & brand
47
FLAGSHIP WEALTH ADVISORS, LLC. notice-filed in RI, VT. IAPD ↗
$421.3M RAUM · 4 reps · 800-631-9997 · flagshipwealthadvisors.com
ComplianceMarketing & brand
47
PROSPERITY - AN EISNERAMPER COMPANY notice-filed in IN. IAPD ↗
$2.91B RAUM · 46 reps · 410-363-7211 · prosperityconsult.com
ComplianceMarketing & brand
47
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC notice-filed in NC, TN. IAPD ↗
$670.7M RAUM · 9 reps · 610-825-3540
ComplianceMarketing & brand
47
REDMOND ASSET MANAGEMENT, LLC notice-filed in CO, GA. IAPD ↗
$378.5M RAUM · 2 reps · 804-288-6080 · redmondassetmanagement.com
ComplianceMarketing & brand
47
THE HOERNER PLANNING GROUP, LLC notice-filed in NE. IAPD ↗
$1.33B RAUM · 3 reps · 540-687-5090
ComplianceMarketing & brand
47
CLEARWATER CAPITAL PARTNERS notice-filed in NH. IAPD ↗
$1.23B RAUM · 12 reps · 847-841-8650
ComplianceMarketing & brand
47
CALLAN CAPITAL, LLC notice-filed in NV. IAPD ↗
$1.88B RAUM · 7 reps · 858-551-3800
ComplianceMarketing & brand
47
BENEFIT FINANCIAL SERVICES GROUP notice-filed in NE. IAPD ↗
$1.15B RAUM · 26 reps · 949-955-2552 · bfsg-az.com
ComplianceMarketing & brand
47
SENDERO WEALTH MANAGEMENT, LLC notice-filed in IL. IAPD ↗
$5.22B RAUM · 14 reps · 210-805-0171 · sendero.com
ComplianceMarketing & brand
47
ALTERNA WEALTH MANAGEMENT, INC. notice-filed in AR, IA. IAPD ↗
$861.0M RAUM · 14 reps · 713-885-9843 · alternawealthmanagement.com
ComplianceMarketing & brand
47
TELOS CAPITAL MANAGEMENT, INC. notice-filed in TN. IAPD ↗
$1.25B RAUM · 7 reps · (858) 271-6350
ComplianceMarketing & brand
47
DYNAMIC WEALTH ADVISORS notice-filed in AR. IAPD ↗
$4.83B RAUM · 76 reps · (877) 257-3840 · lifemanaged.com
ComplianceMarketing & brand
47
GLASSMAN WEALTH SERVICES, LLC notice-filed in NH. IAPD ↗
$2.05B RAUM · 11 reps · 703-534-4444
ComplianceMarketing & brand
47
TRINITY PORTFOLIO ADVISORS, LLC notice-filed in CA, LA. IAPD ↗
$452.6M RAUM · 12 reps · 817-416-7227 · trinityportfolio.com
ComplianceMarketing & brand
47
JOEL ISAACSON & CO., LLC notice-filed in IL. IAPD ↗
$6.89B RAUM · 21 reps · 212-302-6300
ComplianceMarketing & brand
47
SUNESIS ADVISORS, LLC notice-filed in NH. IAPD ↗
$1.21B RAUM · 3 reps · 913-815-4460 · sunesisadvisors.com
ComplianceMarketing & brand
47
ALPHA CUBED INVESTMENTS, LLC notice-filed in OK. IAPD ↗
$2.49B RAUM · 25 reps · (800) 701-2457
ComplianceMarketing & brand
47
THREE BELL CAPITAL LLC notice-filed in MN. IAPD ↗
$3.30B RAUM · 13 reps · 650-843-9836
ComplianceMarketing & brand
47
CLARO ADVISORS, LLC notice-filed in OH. IAPD ↗
$1.02B RAUM · 17 reps · (800) 604-2838 · claroadvisorspatrickmcnamara.com
ComplianceMarketing & brand
47
INTEGRATED FINANCIAL STRATEGIES, LLC notice-filed in PA, VA. IAPD ↗
$397.7M RAUM · 6 reps · 704-643-5000 · ifsinvest.com
ComplianceMarketing & brand
47
GOLDEN STATE WEALTH MANAGEMENT, LLC notice-filed in IL. IAPD ↗
$1.69B RAUM · 51 reps · 866.273.1563 · lwstrategies.com
ComplianceMarketing & brand
47
ARROWROOT FAMILY OFFICE, LLC notice-filed in AZ, CO. IAPD ↗
$308.8M RAUM · 10 reps · 310.341.4774
ComplianceMarketing & brand
47
MONECO ADVISORS notice-filed in OR. IAPD ↗
$1.47B RAUM · 42 reps · 203-319-3550 · investwithwillow.com
ComplianceMarketing & brand
47
WATERFRONT WEALTH INC. notice-filed in NC, SC. IAPD ↗
$775.0M RAUM · 8 reps · 913-951-5800
ComplianceMarketing & brand
47
KOVITZ INVESTMENT GROUP PARTNERS, LLC notice-filed in WV. IAPD ↗
$11.29B RAUM · 184 reps · 312-334-7300 · ifamcapital.com
ComplianceMarketing & brand
47
MOODY, LYNN, LIEBERSON & WALKER, LLC notice-filed in LA. IAPD ↗
$1.61B RAUM · 8 reps · 617-973-0590 · moodylynn.com
ComplianceMarketing & brand
47
THE FIDUCIARY ALLIANCE notice-filed in AR. IAPD ↗
$1.23B RAUM · 34 reps · 864-385-7999
ComplianceMarketing & brand
47
WINTHROP WEALTH notice-filed in TN. IAPD ↗
$2.21B RAUM · 22 reps · 617-530-1010
ComplianceMarketing & brand
47
ETON ADVISORS notice-filed in VA. IAPD ↗
$1.96B RAUM · 5 reps · 919-442-1550
ComplianceMarketing & brand
47
ROOT FINANCIAL PARTNERS notice-filed in AR, OH. IAPD ↗
$399.2M RAUM · 9 reps · (760) 452-0720
ComplianceMarketing & brand
47
WEALTH ALLIANCE ADVISORY GROUP, LLC notice-filed in ID, NE. IAPD ↗
$646.6M RAUM · 8 reps · 316.221.3950 · wealthalliance.net
ComplianceMarketing & brand
47
CAPITA FINANCIAL NETWORK, LLC notice-filed in IA. IAPD ↗
$1.46B RAUM · 18 reps · 801-566-5058
ComplianceMarketing & brand
47
CANOPY WEALTH MANAGEMENT notice-filed in NH. IAPD ↗
$1.28B RAUM · 10 reps · 608-662-9018 · canopy-wealth.com
ComplianceMarketing & brand
47
RESONANT CAPITAL ADVISORS, LLC notice-filed in NY. IAPD ↗
$1.75B RAUM · 11 reps · (608)-733-6220
ComplianceMarketing & brand
47
FINDEC WEALTH SERVICES, INC. notice-filed in ID, NE. IAPD ↗
$963.9M RAUM · 2 reps · 209-957-7413 · findec.com
ComplianceMarketing & brand
47
PORTFOLIO DESIGN LABS, LLC notice-filed in WA, WI. IAPD ↗
$276.2M RAUM · 1 reps · 310-755-0411
ComplianceMarketing & brand
47
BUCK WEALTH STRATEGIES, LLC notice-filed in KS, MO. IAPD ↗
$299.9M RAUM · 20 reps · 888-210-6567
ComplianceMarketing & brand
47
BRISTOL WEALTH GROUP notice-filed in CT, SC. IAPD ↗
$754.4M RAUM · 5 reps · (508) 738-6248 · bristolcountysavings.com
ComplianceMarketing & brand
47
CURA WEALTH ADVISORS, LLC notice-filed in NH, WI. IAPD ↗
$433.9M RAUM · 2 reps · 312-608-8806 · curawealth.com
ComplianceMarketing & brand
46
HAROLD DANCE INVESTMENTS notice-filed in CA, NV, TX. IAPD ↗
$119.0M RAUM · 7 reps · 435-752-8484 · harolddance.com
ComplianceMarketing & brand
46
NICHOLSON MEYER CAPITAL MANAGEMENT, INC. notice-filed in FL, IA, VT. IAPD ↗
$248.2M RAUM · 2 reps · 816-931-5757 · nicholsoncap.com
ComplianceMarketing & brand
46
COMPASS PLANNING ASSOCIATES, INC. notice-filed in CT, ME, NV. IAPD ↗
$138.8M RAUM · 4 reps · 617-523-4666
ComplianceMarketing & brand
46
FSC WEALTH ADVISORS, LLC notice-filed in CA, MD, RI. IAPD ↗
$248.7M RAUM · 5 reps · 845-297-0300 · fscwealthadvisors.com
ComplianceMarketing & brand
46
THE PILLAR STRATEGIES notice-filed in NH, PA, TX. IAPD ↗
$133.3M RAUM · 3 reps · 908-782-0001
ComplianceMarketing & brand
46
FOREFRONT notice-filed in HI, MN, SC. IAPD ↗
$118.2M RAUM · 7 reps · 512-617-1984
ComplianceMarketing & brand
46
TABLEAUX WEALTH notice-filed in CA, CT, NH. IAPD ↗
$109.3M RAUM · 3 reps · 413-264-2400
ComplianceMarketing & brand
46
MURPHY & MULLICK CAPITAL MANAGEMENT CORP notice-filed in MA, NC, TN. IAPD ↗
$136.4M RAUM · 3 reps · 631-257-0080 · murphyfinancialgrp.com
ComplianceMarketing & brand
45
PECAUT WEALTH MANAGEMENT notice-filed in TX. IAPD ↗
$350.5M RAUM · 4 reps · 712-252-3268 · investsiouxland.com
ComplianceMarketing & brand
45
U. S. BOSTON CAPITAL CORPORATION notice-filed in NC. IAPD ↗
$335.5M RAUM · 1 reps · 781-259-1144 · usboston.com
ComplianceMarketing & brand
45
CASCADE INVESTMENT GROUP, INC. notice-filed in AL. IAPD ↗
$341.9M RAUM · 5 reps · 719-632-0818
ComplianceMarketing & brand
45
INTRINSIC WEALTH COUNSEL, INC. notice-filed in FL. IAPD ↗
$252.8M RAUM · 4 reps · 480-924-5613 · intrinsicwealthcounsel.com
ComplianceMarketing & brand
45
DOVER PARTNERS INC notice-filed in LA. IAPD ↗
$429.8M RAUM · 3 reps · 937-299-4105 · dover-consulting.com
ComplianceMarketing & brand
45
NORTHWEST FINANCIAL SERVICES INC notice-filed in KY. IAPD ↗
$482.3M RAUM · 7 reps · 317-844-0448 · northwestfinancial.net
ComplianceMarketing & brand
45
WHITENER CAPITAL MANAGEMENT, INC notice-filed in LA. IAPD ↗
$409.2M RAUM · 5 reps · 252-972-8909
ComplianceMarketing & brand
45
HALL CAPITAL MANAGEMENT COMPANY, INC. notice-filed in NC. IAPD ↗
$342.7M RAUM · 3 reps · (401) 245-0049
ComplianceMarketing & brand
45
LOMBARD ADVISERS INCORPORATED notice-filed in WV. IAPD ↗
$366.4M RAUM · 33 reps · 410-342-1300 · golombard.com
ComplianceMarketing & brand
45
KAYDAN WEALTH MANAGEMENT, INC. notice-filed in LA. IAPD ↗
$625.6M RAUM · 7 reps · (810) 593-1624
ComplianceMarketing & brand
45
PORTLAND GLOBAL ADVISORS LLC notice-filed in WA. IAPD ↗
$894.6M RAUM · 9 reps · 207-773-2773 · portlandglobal.com
ComplianceMarketing & brand
45
CHARLES FISH INVESTMENTS, INC. notice-filed in SC. IAPD ↗
$356.1M RAUM · 3 reps · 949-296-3970
ComplianceMarketing & brand
45
COMPREHENSIVE FINANCIAL PLANNING, INC. notice-filed in TX. IAPD ↗
$363.2M RAUM · 6 reps · 717-569-6667
ComplianceMarketing & brand
45
BENIN MANAGEMENT CORP notice-filed in MD. IAPD ↗
$488.7M RAUM · 3 reps · 203-762-3295 · beninmanagement.com
ComplianceMarketing & brand
45
INTEGRIS WEALTH MANAGEMENT, LLC notice-filed in ID. IAPD ↗
$573.9M RAUM · 7 reps · 831-333-1717
ComplianceMarketing & brand
45
ASSET PLANNING, INC notice-filed in TX. IAPD ↗
$446.5M RAUM · 6 reps · 714-827-5794 · assetplanninginc.com
ComplianceMarketing & brand
45
SPRINKLE FINANCIAL CONSULTANTS LLC notice-filed in NE. IAPD ↗
$797.8M RAUM · 4 reps · (303) 297-2185
ComplianceMarketing & brand
45
CAMARDA WEALTH ADVISORY GROUP notice-filed in MA. IAPD ↗
$331.1M RAUM · 8 reps · 904-278-1177
ComplianceMarketing & brand
45
PARSONS CAPITAL MANAGEMENT, LLC notice-filed in LA. IAPD ↗
$660.9M RAUM · 2 reps · 908-730-0011 · parsonscapitalmanagement.com
ComplianceMarketing & brand
45
LOUNTZIS ASSET MANAGEMENT, LLC notice-filed in IL. IAPD ↗
$504.5M RAUM · 3 reps · (610) 375-2585 · lountzis.com
ComplianceMarketing & brand
45
CONFIDENCE WEALTH MANAGEMENT, LLC notice-filed in MI. IAPD ↗
$267.1M RAUM · 11 reps · 310-824-1000
ComplianceMarketing & brand
45
PERSIUM ADVISORS, LLC notice-filed in NY. IAPD ↗
$436.5M RAUM · 9 reps · 678-322-3000
ComplianceMarketing & brand
45
ETF PORTFOLIO PARTNERS, INC. notice-filed in NE. IAPD ↗
$325.9M RAUM · 3 reps · 913-851-1100 · etfpp.com
ComplianceMarketing & brand
45
RIVERVIEW CAPITAL ADVISERS LLC notice-filed in TX. IAPD ↗
$527.5M RAUM · 6 reps · 617-423-0080 · riverviewcapital.com
ComplianceMarketing & brand
45
PUBLIC SAFETY FINANCIAL/GALLOWAY notice-filed in AL. IAPD ↗
$792.7M RAUM · 27 reps · 480-325-8668
ComplianceMarketing & brand
45
PETERSON WEALTH ADVISORS, LLC notice-filed in VA. IAPD ↗
$567.4M RAUM · 11 reps · 801-225-0000
ComplianceMarketing & brand
45
IRONVIEW CAPITAL MANAGEMENT, LLC notice-filed in SC. IAPD ↗
$851.0M RAUM · 8 reps · 215-793-0111 · ironview.com
ComplianceMarketing & brand
45
MINICHMACGREGOR WEALTH MANAGEMENT, LLC notice-filed in MA. IAPD ↗
$501.3M RAUM · 7 reps · (518) 499-4565 · minichmacgregor.com
ComplianceMarketing & brand
45
BLUEPRINT INVESTING LLC notice-filed in WA. IAPD ↗
$302.0M RAUM · 1 reps · 415-963-9815 · blueprintinvest.com
ComplianceMarketing & brand
45
ALLSQUARE WEALTH MANAGEMENT, LLC notice-filed in AZ. IAPD ↗
$269.0M RAUM · 4 reps · (518) 456-8900 · allsquarewealth.com
ComplianceMarketing & brand
45
CREAND MANAGEMENT notice-filed in PR. IAPD ↗
$508.3M RAUM · 17 reps · 305-358-8844 · creditandorragroup.com
ComplianceMarketing & brand
45
FINANCIAL CONCEPTS notice-filed in OH. IAPD ↗
$760.0M RAUM · 3 reps · 662-327-1480
ComplianceMarketing & brand
45
UNITED CAPITAL MANAGEMENT OF KANSAS, INC. notice-filed in AZ. IAPD ↗
$459.8M RAUM · 19 reps · 785-823-7900 · ucmofkansas.com
ComplianceMarketing & brand
45
WALLER FINANCIAL PLANNING GROUP, INC. notice-filed in SC. IAPD ↗
$578.7M RAUM · 11 reps · 614-457-7026
ComplianceMarketing & brand
45
MONUMENT WEALTH MANAGEMENT notice-filed in SC. IAPD ↗
$433.8M RAUM · 8 reps · 703-504-9600
ComplianceMarketing & brand
45
FIDELIS IM notice-filed in NE. IAPD ↗
$269.2M RAUM · 1 reps · 541-770-1311 · fidelisim.com
ComplianceMarketing & brand
45
LANE HIPPLE - WEALTH MANAGEMENT GROUP notice-filed in DE. IAPD ↗
$313.9M RAUM · 4 reps · 856-638-1855 · lanehipple.com
ComplianceMarketing & brand
45
ELMWOOD WEALTH MANAGEMENT notice-filed in TX. IAPD ↗
$277.2M RAUM · 4 reps · 510-858-2722
ComplianceMarketing & brand
45
ADKINS SEALE CAPITAL MANAGEMENT LLC notice-filed in AL. IAPD ↗
$384.0M RAUM · 3 reps · 318-703-3641 · ascm-llc.com
ComplianceMarketing & brand
45
OCCIDENTAL ASSET MANAGEMENT, LLC notice-filed in DE. IAPD ↗
$625.5M RAUM · 10 reps · 650-344-1600 · ymwadvisors.com
ComplianceMarketing & brand
45
ONE WEALTH ADVISORS, LLC notice-filed in NH. IAPD ↗
$841.6M RAUM · 9 reps · (415) 729-1770 · onewealth.net
ComplianceMarketing & brand
45
B.O.S.S. RETIREMENT ADVISORS, LLC notice-filed in MO. IAPD ↗
$764.0M RAUM · 36 reps · 801-990-5055 · getmorewithboss.com
ComplianceMarketing & brand
45
TSFG, LLC notice-filed in NY. IAPD ↗
$649.1M RAUM · 11 reps · 847-735-7100
ComplianceMarketing & brand
45
OAK HARVEST INVESTMENT SERVICES notice-filed in NJ. IAPD ↗
$728.8M RAUM · 22 reps · 281-822-1350
ComplianceMarketing & brand
45
INSIGHT FOLIOS notice-filed in PA. IAPD ↗
$279.0M RAUM · 15 reps · (704) 529-9500
ComplianceMarketing & brand
45
LEADING EDGE FINANCIAL PLANNING LLC notice-filed in KY. IAPD ↗
$273.7M RAUM · 8 reps · 865-240-2292
ComplianceMarketing & brand
45
HACKMAN FINANCIAL GROUP notice-filed in IN. IAPD ↗
$271.8M RAUM · 5 reps · (513) 891-5300 · hackmanfinancial.com
ComplianceMarketing & brand
45
R2 WEALTH MANAGEMENT PARTNERS notice-filed in WI. IAPD ↗
$308.6M RAUM · 5 reps · 402-489-9375
ComplianceMarketing & brand
45
MGO PRIVATE WEALTH, LLC notice-filed in NY. IAPD ↗
$287.5M RAUM · 2 reps · (949) 207-3241 · mgoprivatewealth.com
ComplianceMarketing & brand
45
CENTRAL FAMILY ADVISORS, LLC notice-filed in TX. IAPD ↗
$428.6M RAUM · 3 reps · 917-993-7115 · cenfam.com
ComplianceMarketing & brand
45
PACIFIC SUN FINANCIAL CORP notice-filed in FL. IAPD ↗
$268.0M RAUM · 3 reps · 949-716-8646 · pacsunfinancial.com
ComplianceMarketing & brand
45
KADES & CHEIFETZ, LLC notice-filed in MA. IAPD ↗
$407.2M RAUM · 2 reps · 610-834-1487 · kadescheifetz.com
ComplianceMarketing & brand
45
GOODMAN ADVISORY GROUP, LLC notice-filed in CT. IAPD ↗
$297.1M RAUM · 6 reps · (781) 559-0320 · goodmanadvisorygroup.com
ComplianceMarketing & brand
45
STONE OAK WEALTH MANAGEMENT, LLC notice-filed in NM. IAPD ↗
$302.3M RAUM · 7 reps · 210-339-2707
ComplianceMarketing & brand
45
BRIO FINANCIAL GROUP notice-filed in VA. IAPD ↗
$699.4M RAUM · 11 reps · 415-623-2450
ComplianceMarketing & brand
45
SHADE TREE ADVISORS LLC notice-filed in NJ. IAPD ↗
$794.7M RAUM · 23 reps · 518-290-9460 · shadetreeadvisors.com
ComplianceMarketing & brand
45
KELLY FINANCIAL SERVICES LLC notice-filed in VA. IAPD ↗
$488.6M RAUM · 4 reps · 781-849-3090 · kellyfinancial.org
ComplianceMarketing & brand
45
SOCHA FINANCIAL GROUP, LLC notice-filed in TN. IAPD ↗
$354.3M RAUM · 5 reps · 607-962-0605 · sochafinancial.com
ComplianceMarketing & brand
45
INSPIRE ADVISORS, LLC notice-filed in CT. IAPD ↗
$835.3M RAUM · 45 reps · 877-859-6383 · inspireadvisors.com
ComplianceMarketing & brand
45
RANCH CAPITAL ADVISORS INC. notice-filed in TN. IAPD ↗
$277.9M RAUM · 6 reps · (941) 462-2666 · ranchcap.com
ComplianceMarketing & brand
45
MID-AMERICAN WEALTH ADVISORY GROUP notice-filed in FL. IAPD ↗
$259.5M RAUM · 4 reps · 816-640-5888 · midamericanwealthadvisory.com
ComplianceMarketing & brand
45
CONVERGENCE FINANCIAL notice-filed in AR. IAPD ↗
$422.4M RAUM · 13 reps · (573) 818-2264
ComplianceMarketing & brand
45
MATTERN WEALTH MANAGEMENT LLC notice-filed in NE. IAPD ↗
$481.6M RAUM · 3 reps · 785-842-7680 · matternwealth.com
ComplianceMarketing & brand
45
ALAETHES WEALTH, LLC notice-filed in TX. IAPD ↗
$385.9M RAUM · 3 reps · 858-735-9685 · alaethes.com
ComplianceMarketing & brand
45
AEGIS FINANCIAL notice-filed in AZ. IAPD ↗
$356.9M RAUM · 6 reps · 920-233-4650
ComplianceMarketing & brand
45
EMERALD ADVISORS, LLC notice-filed in NE. IAPD ↗
$678.9M RAUM · 4 reps · (425) 458-3853 · emeraldadv.com
ComplianceMarketing & brand
45
MADISON PARTNERS notice-filed in IA. IAPD ↗
$559.0M RAUM · 9 reps · 608-210-1021
ComplianceMarketing & brand
45
GRAYSTONE PARTNERS WEALTH MANAGEMENT, LLC notice-filed in UT. IAPD ↗
$265.7M RAUM · 3 reps · (480) 557-9727
ComplianceMarketing & brand
45
ONYX BRIDGE WEALTH GROUP LLC notice-filed in IN. IAPD ↗
$815.7M RAUM · 15 reps · (914) 909-6699 · onyxbridge.com
ComplianceMarketing & brand
45
CANVAS WEALTH ADVISORS, LLC notice-filed in NH. IAPD ↗
$624.2M RAUM · 9 reps · 913-991-8471 · canvaswealthadvisors.com
ComplianceMarketing & brand
45
ALPHA FINANCIAL PARTNERS LLC notice-filed in IL. IAPD ↗
$295.0M RAUM · 3 reps · (859) 785-2660
ComplianceMarketing & brand
45
ELK RIVER WEALTH MANAGEMENT LLC notice-filed in MO. IAPD ↗
$930.8M RAUM · 8 reps · (720) 310-3275
ComplianceMarketing & brand
45
INTERCHANGE CAPITAL PARTNERS notice-filed in CA. IAPD ↗
$269.6M RAUM · 6 reps · 412-307-4230 · interchangecp.com
ComplianceMarketing & brand
45
FORTIS CAPITAL ADVISORS, LLC notice-filed in MS. IAPD ↗
$630.6M RAUM · 37 reps · (775) 446-4208 · fortiscapitaladvisors.com
ComplianceMarketing & brand
45
REFRAME WEALTH, LLC notice-filed in NY. IAPD ↗
$334.5M RAUM · 2 reps · (571) 354-8471 · reframewealth.com
ComplianceMarketing & brand
45
IMPACT PARTNERSHIP WEALTH, LLC notice-filed in AL. IAPD ↗
$751.6M RAUM · 50 reps · 800-380-5040
ComplianceMarketing & brand
45
WEALTH EFFECTS notice-filed in VI. IAPD ↗
$392.9M RAUM · 7 reps · 617-465-2560 · w-effects.com
ComplianceMarketing & brand
45
GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC notice-filed in NM. IAPD ↗
$290.5M RAUM · 7 reps · 720-420-4870 · gwsa.us
ComplianceMarketing & brand
45
SAVVY notice-filed in KS. IAPD ↗
$401.3M RAUM · 10 reps · 833-745-6789
ComplianceMarketing & brand
45
BREAKWATER CAPITAL GROUP notice-filed in CT. IAPD ↗
$579.7M RAUM · 3 reps · (551) 342-3733 · breakwatercapitalgroup.com
ComplianceMarketing & brand
45
GEARHART & ASSOCIATES notice-filed in NY. IAPD ↗
$638.2M RAUM · 4 reps · 513-985-3450 · gearhart-assoc.com
ComplianceMarketing & brand
45
HEDONOVA ADVISORS LLC notice-filed in MA. IAPD ↗
$643.2M RAUM · 11 reps · 213-340-1334
ComplianceMarketing & brand
45
VICTORY FINANCIAL notice-filed in CA. IAPD ↗
$288.8M RAUM · 12 reps · (512) 763-7671 · victoryfinancialgroup.com
ComplianceMarketing & brand
45
MASTER'S WEALTH MANAGEMENT INC. notice-filed in TX. IAPD ↗
$379.7M RAUM · 6 reps · (717) 581-1323
ComplianceMarketing & brand
45
IMPACT CAPITAL PARTNERS LLC notice-filed in LA. IAPD ↗
$437.1M RAUM · 2 reps · 888-304-6722 · impactcapitalpartners.com
ComplianceMarketing & brand
44
FORTERIS WEALTH MANAGEMENT, INC. notice-filed in CA, NH. IAPD ↗
$158.1M RAUM · 2 reps · 914-696-5300 · forteriswealth.com
ComplianceMarketing & brand
44
SWISHER FINANCIAL CONCEPTS, INC. notice-filed in MI, NC. IAPD ↗
$222.7M RAUM · 4 reps · 614-890-1930
ComplianceMarketing & brand
44
RUTHERFORD ASSET PLANNING, INC. notice-filed in LA, TX. IAPD ↗
$154.1M RAUM · 1 reps · 813-343-4501 · rutherfordasset.com
ComplianceMarketing & brand
44
COLOMB INVESTMENT MANAGEMENT COMPANY, LLC notice-filed in IN, ME. IAPD ↗
$1.6M RAUM · 4 reps · 504-520-8050 · colombim.com
ComplianceMarketing & brand
44
BROWN FINANCIAL ADVISORS, LLC notice-filed in OK, SC. IAPD ↗
$244.9M RAUM · 3 reps · 513-575-9654
ComplianceMarketing & brand
44
ADVOCATE INVESTING SERVICES notice-filed in CO, PA. IAPD ↗
$129.7M RAUM · 4 reps · 240-403-0039 · advocateinvesting.com
ComplianceMarketing & brand
44
SEYMOUR ASSET MANAGEMENT LLC notice-filed in ME, NC. IAPD ↗
$60.0M RAUM · 1 reps · 2123414030 · seymouram.com
ComplianceMarketing & brand
44
PALATINE HILL WEALTH MANAGEMENT notice-filed in CA, FL. IAPD ↗
$189.1M RAUM · 4 reps · 734-218-0085 · palatinehillwealth.com
ComplianceMarketing & brand
44
AMARA FINANCIAL, LLC notice-filed in OR, WA. IAPD ↗
$159.0M RAUM · 1 reps · 415-319-1071 · amarafinancial.com
ComplianceMarketing & brand
44
AVAIL INVESTMENT PARTNERS, LLC notice-filed in TX, VA. IAPD ↗
$105.4M RAUM · 5 reps · 814-996-7206 · availinvest.com
ComplianceMarketing & brand
44
BALLAST ROCK PRIVATE WEALTH notice-filed in CT, LA. IAPD ↗
$170.6M RAUM · 6 reps · (800) 204-2513 · ballastrockpw.com
ComplianceMarketing & brand
44
NINE30 ADVISORS LLC notice-filed in AR, TX. IAPD ↗
$0 RAUM · 2 reps · (650) 391-4391 · nine30.com
ComplianceMarketing & brand
44
MAYNERICH FINANCIAL notice-filed in AZ, FL. IAPD ↗
$109.4M RAUM · 2 reps · 217-965-5796 · richinwisdom.com
ComplianceMarketing & brand
44
PARK SQUARE FINANCIAL GROUP LLC notice-filed in NJ, PA. IAPD ↗
$107.8M RAUM · 4 reps · 770-641-1401
ComplianceMarketing & brand
44
UNITING WEALTH PARTNERS notice-filed in LA, NE. IAPD ↗
$0 RAUM · 7 reps · 479-364-0686 · unitingwealthpartners.com
ComplianceMarketing & brand
44
BEACON CAPITAL ADVISORY GROUP notice-filed in AK, NY. IAPD ↗
$105.5M RAUM · 2 reps · 877-801-2322
ComplianceMarketing & brand
42
B.B. GRAHAM & COMPANY, INC. notice-filed in KS. IAPD ↗
$172.7M RAUM · 27 reps · (714) 628-5200 · bbgraham.com
ComplianceMarketing & brand
42
MRD, INC. notice-filed in TX. IAPD ↗
$136.2M RAUM · 1 reps · (949) 365-0598
ComplianceMarketing & brand
42
MWA FINANCIAL SERVICES, INC. notice-filed in HI. IAPD ↗
$216.1M RAUM · 115 reps · 309-558-3100
ComplianceMarketing & brand
42
SAGE INVESTMENT COUNSEL notice-filed in NE. IAPD ↗
$129.7M RAUM · 4 reps · 615-591-1210
ComplianceMarketing & brand
42
GIBSON FINANCIAL SOLUTIONS, INC. notice-filed in FL. IAPD ↗
$122.2M RAUM · 1 reps · 207-667-9993 · gibsonfinancialsolutions.com
ComplianceMarketing & brand
42
JAMES RIVER ASSET MANAGEMENT, LLC notice-filed in SC. IAPD ↗
$149.1M RAUM · 5 reps · 804-323-0517 · jamesriverwealth.com
ComplianceMarketing & brand
42
DBS INVESTMENT ADVISERS, LLC notice-filed in NJ. IAPD ↗
$228.7M RAUM · 3 reps · 800-327-2377 · dbsia.net
ComplianceMarketing & brand
42
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT notice-filed in CA. IAPD ↗
$104.6M RAUM · 1 reps · 603-643-1415
ComplianceMarketing & brand
42
LIGHTHOUSE FINANCIAL MANAGEMENT, LLC notice-filed in NY. IAPD ↗
$171.1M RAUM · 3 reps · 401-596-3392 · lighthousefm.com
ComplianceMarketing & brand
42
T.T.G. FINANCIAL, INC. notice-filed in TX. IAPD ↗
$171.5M RAUM · 3 reps · 330-491-2220 · teamttg.com
ComplianceMarketing & brand
42
HURLEY CAPITAL, LLC notice-filed in NH. IAPD ↗
$197.6M RAUM · 2 reps · 212-605-0665 · hurleycapital.com
ComplianceMarketing & brand
42
NORTHSTAR FINANCIAL PLANNERS, INC. notice-filed in IL. IAPD ↗
$249.9M RAUM · 5 reps · 954-693-0030
ComplianceMarketing & brand
42
PARKWORTH WEALTH MANAGEMENT, INC. notice-filed in NY. IAPD ↗
$151.8M RAUM · 3 reps · 408-436-9800
ComplianceMarketing & brand
42
PACIFICA WEALTH ADVISORS, INC. notice-filed in TN. IAPD ↗
$161.1M RAUM · 1 reps · 949-305-0500
ComplianceMarketing & brand
42
WATERSTONE WEALTH ADVISORS, LLC notice-filed in NY. IAPD ↗
$135.5M RAUM · 1 reps · 732-873-0433
ComplianceMarketing & brand
42
ZYNERGY RETIREMENT PLANNING notice-filed in PA. IAPD ↗
$143.3M RAUM · 3 reps · (732) 822-9719 · zynergyretirement.com
ComplianceMarketing & brand
42
GLOBAL VALUE INVESTMENT CORPORATION notice-filed in PA. IAPD ↗
$171.1M RAUM · 6 reps · 262-478-0640 · gvi-corp.com
ComplianceMarketing & brand
42
CAP PARTNERS, LLC notice-filed in LA. IAPD ↗
$179.0M RAUM · 7 reps · 615-807-2030 · cap-partners.com
ComplianceMarketing & brand
42
FINANCIAL INSTITUTION SERVICES, LLC notice-filed in MN. IAPD ↗
$173.2M RAUM · 1 reps · 248-661-8190 · adviceman.net
ComplianceMarketing & brand
42
KEY GROUP MANAGEMENT, INC. notice-filed in MA. IAPD ↗
$210.0M RAUM · 4 reps · 480-477-5252 · keygroupwealth.com
ComplianceMarketing & brand
42
PRAKASH INVESTMENT ADVISORS LLC notice-filed in LA. IAPD ↗
$120.8M RAUM · 1 reps · (978) 273-9747
ComplianceMarketing & brand
42
REITZ CAPITAL ADVISORS LLC notice-filed in TX. IAPD ↗
$90.7M RAUM · 1 reps · (989) 791-3693 · reitzfg.com
ComplianceMarketing & brand
42
RIVERTREE ADVISORS, LLC notice-filed in TX. IAPD ↗
$168.7M RAUM · 1 reps · 407-599-1104 · rivertree.co
ComplianceMarketing & brand
42
POWERS ADVISORY GROUP, LLC notice-filed in NE. IAPD ↗
$205.6M RAUM · 3 reps · 618-654-6262 · powersinvest.com
ComplianceMarketing & brand
42
SIGHTLINE WEALTH ADVISORS, LLC notice-filed in NH. IAPD ↗
$242.4M RAUM · 4 reps · (860) 448-0611 · sightlinewa.com
ComplianceMarketing & brand
42
CYR FINANCIAL INC. notice-filed in NE. IAPD ↗
$112.1M RAUM · 4 reps · (815) 925-7501
ComplianceMarketing & brand
42
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC notice-filed in NC. IAPD ↗
$195.7M RAUM · 4 reps · 202-780-7726 · grahamcapitalwealth.com
ComplianceMarketing & brand
42
ROOTED PLANNING GROUP notice-filed in GA. IAPD ↗
$95.7M RAUM · 5 reps · 607-438-2761
ComplianceMarketing & brand
42
PRATO CAPITAL MANAGEMENT notice-filed in NH. IAPD ↗
$180.5M RAUM · 3 reps · 914-930-6871
ComplianceMarketing & brand
42
ANDERSON FINANCIAL STRATEGIES, LLC notice-filed in NE. IAPD ↗
$245.7M RAUM · 4 reps · (855)237-4545
ComplianceMarketing & brand
42
FENIX TRADING notice-filed in FL. IAPD ↗
$119.1M RAUM · 3 reps · (646) 652-6561
ComplianceMarketing & brand
42
BIG INVESTMENT SERVICES notice-filed in FL. IAPD ↗
$238.6M RAUM · 1 reps · 302-734-7526
ComplianceMarketing & brand
42
STRONGTOWER WEALTH MANAGEMENT, PLC notice-filed in NE. IAPD ↗
$129.0M RAUM · 4 reps · 501-623-1141
ComplianceMarketing & brand
42
SHORE POINT ADVISORS, LLC notice-filed in PA. IAPD ↗
$212.7M RAUM · 4 reps · 732-876-3777
ComplianceMarketing & brand
42
AVANT FINANCIAL ADVISORS notice-filed in LA. IAPD ↗
$126.6M RAUM · 2 reps · 512-910-2467
ComplianceMarketing & brand
42
CAPITAL WEALTH ALLIANCE, LLC notice-filed in MN. IAPD ↗
$235.5M RAUM · 4 reps · 480-948-7590 · capitalwealthalliance.com
ComplianceMarketing & brand
42
CAVU WEALTH MANAGEMENT notice-filed in LA. IAPD ↗
$114.5M RAUM · 7 reps · 858-360-7800 · cavuwealthmanagement.com
ComplianceMarketing & brand
42
AEGIS WEALTH MANAGEMENT, INC. notice-filed in KS. IAPD ↗
$143.1M RAUM · 30 reps · (833) 483-8383 · oakwayfinancial.com
ComplianceMarketing & brand
42
WICKHAM FINANCIAL & INSURANCE SERVICES notice-filed in FL. IAPD ↗
$144.4M RAUM · 2 reps · 770-424-8711 · wickhamservices.com
ComplianceMarketing & brand
42
THE HERBST GROUP, LLC notice-filed in TX. IAPD ↗
$206.6M RAUM · 2 reps · (212) 488-1701
ComplianceMarketing & brand
42
GOALFUSION WEALTH MANAGEMENT notice-filed in CA. IAPD ↗
$161.0M RAUM · 2 reps · 512-593-6367
ComplianceMarketing & brand
42
MARIPAU WEALTH MANAGEMENT LLC notice-filed in TN. IAPD ↗
$235.0M RAUM · 17 reps · 260-493-3930
ComplianceMarketing & brand
42
1230 ADVISORS, LLC notice-filed in FL. IAPD ↗
$88.0M RAUM · 1 reps · (917) 692-1095
ComplianceMarketing & brand
42
GOLDEN ROAD ADVISORS LLC notice-filed in NY. IAPD ↗
$143.2M RAUM · 3 reps · 813-491-1593 · goldenroadadvisors.com
ComplianceMarketing & brand
42
103 ADVISORY GROUP notice-filed in FL. IAPD ↗
$189.1M RAUM · 3 reps · 312-543-8759 · 103advisory.com
ComplianceMarketing & brand
42
DISCIPLINE WEALTH SOLUTIONS, INC. notice-filed in AZ. IAPD ↗
$93.0M RAUM · 14 reps · 864-322-6046 · stahlneckergroup.com
ComplianceMarketing & brand
42
THE WEALTH BOUTIQUE notice-filed in NY. IAPD ↗
$100.2M RAUM · 7 reps · 732-752-9191 · tanisfingroup.com
ComplianceMarketing & brand
42
HELIANTH INVESTMENT MANAGEMENT LLC notice-filed in NY. IAPD ↗
$39.5M RAUM · 1 reps · 203-302-3979
ComplianceMarketing & brand
42
BASE WEALTH MANAGEMENT notice-filed in NH. IAPD ↗
$213.8M RAUM · 5 reps · 941-203-6040
ComplianceMarketing & brand
42
TRUEDGE ASSET MANAGEMENT LLC notice-filed in AZ. IAPD ↗
$280,798 RAUM · 1 reps · 317-581-4010
ComplianceMarketing & brand
42
HERITAGE OAK WEALTH ADVISORS notice-filed in TX. IAPD ↗
$177.8M RAUM · 5 reps · (479) 230-3113
ComplianceMarketing & brand
42
ROSSBY FINANCIAL, LLC notice-filed in IN. IAPD ↗
$107.3M RAUM · 8 reps · 321-209-0111
ComplianceMarketing & brand
42
ACCELERATE RETIREMENT notice-filed in MI. IAPD ↗
$173.5M RAUM · 21 reps · 888-439-7071
ComplianceMarketing & brand
42
MDRN CAPITAL notice-filed in NE. IAPD ↗
$101.6M RAUM · 7 reps · 410-533-9966
ComplianceMarketing & brand
42
TRIAD WEALTH PARTNERS, LLC notice-filed in NJ. IAPD ↗
$153.4M RAUM · 5 reps · 785-830-0000 · triadwealthpartners.com
ComplianceMarketing & brand
42
DELARME WEALTH MANAGEMENT, INC. notice-filed in MO. IAPD ↗
$156.6M RAUM · 2 reps · 424-250-1725
ComplianceMarketing & brand
42
EDEN INTELLIGENCE FINANCIAL notice-filed in CA. IAPD ↗
$3.5M RAUM · 1 reps · 206-747-0960
ComplianceMarketing & brand
42
LINCOLN PARK CAPITAL LLC notice-filed in CO. IAPD ↗
$0 RAUM · 1 reps · 866-938-6540
ComplianceMarketing & brand
42
MERKKURI WEALTH ADVISORS LLC notice-filed in CA. IAPD ↗
$156.2M RAUM · 2 reps · 516-268-3446
ComplianceMarketing & brand
42
SYNTHETICFI LLC notice-filed in FL. IAPD ↗
$125.6M RAUM · 2 reps · (628) 600-2699 · syntheticfi.com
ComplianceMarketing & brand
42
ROXBURY FINANCIAL notice-filed in SC. IAPD ↗
$129.0M RAUM · 2 reps · 973-928-7181 · roxburyfinancial.com
ComplianceMarketing & brand
42
RHL GROUP, LLC notice-filed in CA. IAPD ↗
$123.7M RAUM · 2 reps · 248-634-7720 · rhlgroup.us
ComplianceMarketing & brand
42
ZERO DAY CAPITAL ENTERPRISES LLC notice-filed in FL. IAPD ↗
$34.0M RAUM · 6 reps · 702 271 3265
ComplianceMarketing & brand
42
RAINIER FAMILY WEALTH, INC. notice-filed in TX. IAPD ↗
$107.2M RAUM · 2 reps · 253-448-2107
ComplianceMarketing & brand
42
CANTATA WEALTH MANAGEMENT, LLC notice-filed in LA. IAPD ↗
$0 RAUM · 2 reps · 844-226-8282 · cantatawealth.com
ComplianceMarketing & brand
42
PCM ENCORE, LLC notice-filed in VA. IAPD ↗
$0 RAUM · 2 reps · 888-697-0204
ComplianceMarketing & brand
39
STRIVE ASSET MANAGEMENT notice-filed in CA, TX. IAPD ↗institutional
$1.08B RAUM · 4 reps · 614-704-0187
ComplianceMarketing & brand
32
USI SECURITIES, INC. notice-filed in NH. IAPD ↗institutional
$0 RAUM · 19 reps · 860-652-3239
ComplianceMarketing & brand
32
STRATEGIC ASSET ALLIANCE notice-filed in MO. IAPD ↗institutional
$0 RAUM · 4 reps · 360-255-2500 · saai.com
ComplianceMarketing & brand
32
FLORIN PENSIONS LLC notice-filed in VA. IAPD ↗institutional
$0 RAUM · 4 reps · 415-230-5377 · florinpensions.com
ComplianceMarketing & brand
32
MARCYPEN CAPITAL PARTNERS LLC notice-filed in NY. IAPD ↗fund
$1.06B RAUM · 14 reps · 424-421-6040 · marcypen.com
ComplianceMarketing & brand
30
CREO CAPITAL PARTNERS MANAGEMENT LLC notice-filed in FL. IAPD ↗fund
$394.2M RAUM · 5 reps · 305-998-0078 · creocapitalpartners.com
ComplianceMarketing & brand
27
CREDIT VALUE PARTNERS, LLC notice-filed in FL. IAPD ↗fund
$161.5M RAUM · 2 reps · 203-893-4700
ComplianceMarketing & brand
27
PIPER HEARTLAND HEALTHCARE CAPITAL, LLC notice-filed in CO. IAPD ↗fund
$232.3M RAUM · 4 reps · 612-303-6000 · pipersandler.com
ComplianceMarketing & brand
12
ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC. notice-filed in AZ. IAPD ↗foreign
$248.4M RAUM · 4 reps · 671-472-6400 · apfmg.com
ComplianceMarketing & brand
12
ARCHWAY PRIVATE WEALTH LLC notice-filed in CA. IAPD ↗foreign
$5.2M RAUM · 2 reps · 407-567-0095 · archwayprivatewealth.us
ComplianceMarketing & brand
12
AVRIO WEALTH PTE LTD notice-filed in NJ. IAPD ↗foreign
$135.6M RAUM · 5 reps · 6562406865
ComplianceMarketing & brand
new registration — 96 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
98
KERBEROS CAPITAL MANAGEMENT LLC (CHICAGO, IL) is newly SEC-registered with $270.0M RAUM and 4 advisory reps. IAPD ↗
$270.0M RAUM · 4 reps · (312) 854-8787 · kerberoscm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCMAHAN CAPITAL MANAGEMENT (CARMEL, IN) is newly SEC-registered with $112.5M RAUM and 2 advisory reps. IAPD ↗
$112.5M RAUM · 2 reps · 317-573-2202 · mcmahancapital.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEATHE & ASSOCIATES, LLC (location n/a) is newly SEC-registered with $122.8M RAUM and 1 advisory reps. IAPD ↗
$122.8M RAUM · 1 reps · 2077032247 · leatheassociates.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEPLAN FINANCIAL, LLC (MANKATO, MN) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
$125.2M RAUM · 3 reps · 507-625-3507 · lifeplan-financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRAL FINANCIAL PLANNING LLC (location n/a) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 630-219-3315 · integralfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
S HARRIS FINANCIAL GROUP, LLC (SAN ANTONIO, TX) is newly SEC-registered with $218.7M RAUM and 7 advisory reps. IAPD ↗
$218.7M RAUM · 7 reps · 210-547-3450
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
O'CONNOR WEALTH MANAGEMENT, INC. (MONROVIA, CA) is newly SEC-registered with $153.7M RAUM and 2 advisory reps. IAPD ↗
$153.7M RAUM · 2 reps · 626-386-5116 · oconnorwealthmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOWNING STREET WEALTH MANAGEMENT LLC (GREENWOOD VILLAGE, CO) is newly SEC-registered with $152.1M RAUM and 2 advisory reps. IAPD ↗
$152.1M RAUM · 2 reps · 720-360-0886 · downing-st.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BAUMAN WEALTH ADVISORS (LAS VEGAS, NV) is newly SEC-registered with $104.7M RAUM and 4 advisory reps. IAPD ↗
$104.7M RAUM · 4 reps · 702-897-9997
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REH WEALTH ADVISORS LLC (RALEIGH, NC) is newly SEC-registered with $106.2M RAUM and 1 advisory reps. IAPD ↗
$106.2M RAUM · 1 reps · 909-518-2134 · investwithsteve.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KAGAN COCOZZA ASSET MANAGEMENT (location n/a) is newly SEC-registered with $130.6M RAUM and 2 advisory reps. IAPD ↗
$130.6M RAUM · 2 reps · 484-334-8201 · kagancocozza.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GUARDIAN CAPITAL, LLC (WEXFORD, PA) is newly SEC-registered with $105.9M RAUM and 3 advisory reps. IAPD ↗
$105.9M RAUM · 3 reps · 724-934-3050 · guardiancapitalllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEABORN FINANCIAL, LLC (location n/a) is newly SEC-registered with $107.2M RAUM and 1 advisory reps. IAPD ↗
$107.2M RAUM · 1 reps · 512-814-7258 · seabornfinancial.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LAVA WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $30.5M RAUM and 1 advisory reps. IAPD ↗
$30.5M RAUM · 1 reps · 917-751-6077 · lavawealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OCTO CAPITAL, LLC (BINGHAM FARMS, MI) is newly SEC-registered with $133.9M RAUM and 1 advisory reps. IAPD ↗
$133.9M RAUM · 1 reps · 248-731-7729
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROADVIEW WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $109.0M RAUM and 1 advisory reps. IAPD ↗
$109.0M RAUM · 1 reps · 425-326-1120
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STONE STEPS FINANCIAL, LLC (ENCINITAS, CA) is newly SEC-registered with $105.0M RAUM and 3 advisory reps. IAPD ↗
$105.0M RAUM · 3 reps · 760-456-7147
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL AURORA, LLC. (AUSTIN, TX) is newly SEC-registered with $105.0M RAUM and 1 advisory reps. IAPD ↗
$105.0M RAUM · 1 reps · 512.213.6400 · financialaurora.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GUNCHEON FINANCIAL, LLC (location n/a) is newly SEC-registered with $108.2M RAUM and 4 advisory reps. IAPD ↗
$108.2M RAUM · 4 reps · 952-449-4467 · guncheonfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COPIA WEALTH MANAGEMENT (BEND, OR) is newly SEC-registered with $119.6M RAUM and 4 advisory reps. IAPD ↗
$119.6M RAUM · 4 reps · 541-647-2545 · copiawealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOUTH COVE FINANCIAL, LLC (location n/a) is newly SEC-registered with $130.0M RAUM and 3 advisory reps. IAPD ↗
$130.0M RAUM · 3 reps · 206-914-4132
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AFFINITY WEALTH LLC (CANTON, OH) is newly SEC-registered with $155.4M RAUM and 1 advisory reps. IAPD ↗
$155.4M RAUM · 1 reps · (330) 526-8412 · tagplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTELLIGENT INVESTING (location n/a) is newly SEC-registered with $108.5M RAUM and 1 advisory reps. IAPD ↗
$108.5M RAUM · 1 reps · 970-776-4346
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CMG FINANCIAL CONSULTING (location n/a) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
$105.1M RAUM · 2 reps · (877) 695-8004
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RICHMOND QUANTITATIVE ADVISORS, LLC (location n/a) is newly SEC-registered with $19.9M RAUM and 2 advisory reps. IAPD ↗
$19.9M RAUM · 2 reps · (804) 347-0126
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KW WEALTH MANAGEMENT LLC (location n/a) is newly SEC-registered with $100.3M RAUM and 1 advisory reps. IAPD ↗
$100.3M RAUM · 1 reps · 916-758-9218 · globalwealthadvisor.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIGHTER FINANCIAL CAPITAL MANAGEMENT, LLC (RESTON, VA) is newly SEC-registered with $112.1M RAUM and 2 advisory reps. IAPD ↗
$112.1M RAUM · 2 reps · 703-796-0957
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUEDOOR PRIVATE WEALTH, LLC (BEVERLY, MA) is newly SEC-registered with $102.7M RAUM and 1 advisory reps. IAPD ↗
$102.7M RAUM · 1 reps · 978-969-6115 · bluedoorprivate.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHEELS UP WEALTH, INC. (BENICIA, CA) is newly SEC-registered with $104.0M RAUM and 3 advisory reps. IAPD ↗
$104.0M RAUM · 3 reps · (707) 400-0992
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STARK WEALTH MANAGEMENT LLC (BETHLEHEM, PA) is newly SEC-registered with $131.7M RAUM and 1 advisory reps. IAPD ↗
$131.7M RAUM · 1 reps · 610-704-3535 · starkfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TOBERMAN BECKER WEALTH, LLC (ST. LOUIS, MO) is newly SEC-registered with $101.6M RAUM and 2 advisory reps. IAPD ↗
$101.6M RAUM · 2 reps · (314) 783-9860
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EMETH VALUE CAPITAL, LLC (NEW ORLEANS, LA) is newly SEC-registered with $119.5M RAUM and 1 advisory reps. IAPD ↗
$119.5M RAUM · 1 reps · 210-381-7262 · emethvaluecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SIGNAL TREE FINANCIAL PARTNERS LLC (COPLEY, OH) is newly SEC-registered with $134.7M RAUM and 3 advisory reps. IAPD ↗
$134.7M RAUM · 3 reps · (330) 590-5937
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHARIS LEGACY PARTNERS (BRYAN, TX) is newly SEC-registered with $102.4M RAUM and 1 advisory reps. IAPD ↗
$102.4M RAUM · 1 reps · 979-406-7875
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OMNI FINANCIAL LLC (MADISON, WI) is newly SEC-registered with $106.0M RAUM and 1 advisory reps. IAPD ↗
$106.0M RAUM · 1 reps · 608-467-4333 · youromni.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LT ADVISORS LLC (location n/a) is newly SEC-registered with $42.6M RAUM and 1 advisory reps. IAPD ↗
$42.6M RAUM · 1 reps · (914) 216-1739
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WILLOW (ROGERS, AR) is newly SEC-registered with $110.5M RAUM and 5 advisory reps. IAPD ↗
$110.5M RAUM · 5 reps · (479) 709-3949 · willowfinancialnwa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL SQUARED FINANCIAL LLC (ROCKVILLE, MD) is newly SEC-registered with $108.6M RAUM and 2 advisory reps. IAPD ↗
$108.6M RAUM · 2 reps · 240-600-1678 · csqfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DLK INVESTMENT ADVISORS, LLC (MERCER ISLAND, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 206.203.0010
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MARICOPA CAPITAL PARTNERS, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 720-930-0416
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AIML TRADING PARTNERS (COLD SPRING HARBOR, NY) is newly SEC-registered with $35.0M RAUM and 1 advisory reps. IAPD ↗
$35.0M RAUM · 1 reps · (631) 944-5699
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITWELL ADVISORS (location n/a) is newly SEC-registered (provisional 120-day approval) with $55.4M RAUM and 3 advisory reps. IAPD ↗
$55.4M RAUM · 3 reps · 512-766-7775 · whitwelladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARCHLIGHT WEALTH MANAGEMENT LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 2016613416
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MESSINA WEALTH MANAGEMENT, LLC (SPRING HILL, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 214-205-2066
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDIVISIBLE PARTNERS (CLEARWATER, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 732-306-5490 · indivisible.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOLISTIC WEALTH ADVISORS (CLIFTON PARK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 518.357.3858 · holisticwealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HENDERSON FINANCIAL GROUP LLC (VIRGINIA BEACH, VA) is newly SEC-registered with $105.5M RAUM and 3 advisory reps. IAPD ↗
$105.5M RAUM · 3 reps · 757-314-4638 · hendersonfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INFLECTION CAPITAL MANAGEMENT, LLC (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 415-805-8682
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GEN INVEST LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 12817440716 · gencapita.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CANDLESTICK AI (NUTLEY, NJ) is newly SEC-registered with $1,000 RAUM and 2 advisory reps. IAPD ↗
$1,000 RAUM · 2 reps · 973-932-9139
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MDT FINANCIAL ADVISORS (WEBSTER, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 281-938-1111
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INVESTABLE (DAYTON, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 937-369-9275 · myinvestable.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VALOIR WEALTH LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (573) 450-1564
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHICAGO OAKBROOK FINANCIAL GROUP (OAK BROOK, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · (630) 954-5572 · cofgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GBG WEALTH MANAGEMENT LLC (LONE TREE, CO) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 303-708-1640 · wealthgbg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GPS INVESTMENTS (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 602-558-1211
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRESIDIO WEALTH MANAGEMENT (MIDVALE, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 801-290-3201
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BASTION FIDUCIARY (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · (305) 522-1333 · lastbastion.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DICK ADVISORY GROUP (TEWKSBURY, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 978-851-4411
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLARION CALL CAPITAL (NEW YORK, NY) is newly SEC-registered with $54.3M RAUM and 1 advisory reps. IAPD ↗
$54.3M RAUM · 1 reps · 718-399-0857 · clarioncallcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL TRUST WEALTH MANAGEMENT LLC (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 561-207-9696 · globaltrustwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SANKOTA CAPITAL LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $26.0M RAUM and 2 advisory reps. IAPD ↗
$26.0M RAUM · 2 reps · 312.953.0106
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IGW ADVISORY INVESTMENT MANAGEMENT LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 646-717-4509 · igwadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APEX INVESTMENT GROUP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 978-994-0021
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AERIE ADVISORY GROUP LLC (GIG HARBOR, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (253) 209-7425
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PIEDMONT WEALTH ADVISORY (RESTON, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (571) 313-5125 · piedmontwealthadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
90
BC PARTNERS PE L.P. (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $33.34B RAUM and 30 advisory reps. IAPD ↗institutional
$33.34B RAUM · 30 reps · 212-891-2880 · bcpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SIMA RETIREMENT SOLUTIONS, LLC (NORTH CHESTERFIELD, VA) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 804-285-5700 · simaretirementsolutions.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GLOBAL STRATEGIC RISK MANAGEMENT, LLC (PROVIDENCE, RI) is newly SEC-registered with $1.52B RAUM and 7 advisory reps. IAPD ↗fund
$1.52B RAUM · 7 reps · 401-749-4589 · gsrm.io
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
KATE CAPITAL LLC (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 203-362-7198 · katecapllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
COASTAL EQUITY MANAGEMENT, LLC (PENSACOLA, FL) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 850-435-4844 · coastalequitymanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
JLENS (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 212-885-7870 · jlensnetwork.org
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
HARBOURVEST REGISTERED ADVISERS (BOSTON, MA) is newly SEC-registered with $0 RAUM and 293 advisory reps. IAPD ↗institutional
$0 RAUM · 293 reps · 617-807-2760 · harbourvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
M83 INVESTMENT GROUP, LLC (CALABASAS, CA) is newly SEC-registered with $112.4M RAUM and 4 advisory reps. IAPD ↗institutional
$112.4M RAUM · 4 reps · 818-222-4727
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MRBL MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (929) 224-2706
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CAPRA IBEX CREDIT OPPORTUNITIES, LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 646-968-9242 · capraibex.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
LORD ABBETT FIF ADVISOR LLC (JERSEY CITY, NJ) is newly SEC-registered with $0 RAUM and 264 advisory reps. IAPD ↗institutional
$0 RAUM · 264 reps · 201-827-2000 · lordabbett.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FLAGSHIP INVESTMENT MANAGEMENT LLC (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
$0 RAUM · 7 reps · 1-713-623-6000 · flagshipco.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GATEMORE (ASPEN, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 1 646 - 222 - 7560
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MARCELLUS INTERNATIONAL INVESTMENT MANAGERS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 9172540868
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PSP RESEARCH LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 617-483-5981
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ERIC M FLANAGAN TRADING, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 707-331-0617
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
KING RIDGE 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 · 617-797-2024
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BAYHUNT CAPITAL LLC (MILL VALLEY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 415-634-8897
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
KARL KAPITAL (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 650-796-8689
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PAINSWICK CAPITAL MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 212-644-5900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FORTUNA FUNDS, LLC (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 2142285229
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
NEXTGEN EMP (COLUMBUS, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 713-459-5254
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MCP ADVISERS, LLC (ATLANTA, GA) is newly SEC-registered with $400.0M RAUM and 1 advisory reps. IAPD ↗fund
$400.0M RAUM · 1 reps · 610-897-0900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
HC2 CAPITAL, LLC (DALLAS, TX) is newly SEC-registered with $195.1M RAUM and 4 advisory reps. IAPD ↗fund
$195.1M RAUM · 4 reps · 214-217-7808 · hc2capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
GRIZZLY CAPITAL MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $40.8M RAUM and 7 advisory reps. IAPD ↗fund
$40.8M RAUM · 7 reps · 585-201-2154
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
TCW PT MANAGEMENT COMPANY LLC (LOS ANGELES, CA) is newly SEC-registered with $0 RAUM and 28 advisory reps. IAPD ↗fund
$0 RAUM · 28 reps · 213-244-0000 · tcw.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ABF INVESTMENT MANAGEMENT, LLC (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗fund
$0 RAUM · 8 reps · 786-564-2029 · gr-am.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
AVIVA INVESTORS CANADA INC. (TORONTO, ONTARIO, Canada) is newly SEC-registered with $8.25B RAUM and 5 advisory reps. IAPD ↗foreign
$8.25B RAUM · 5 reps · 1 416 643 2709 · avivainvestors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
GUARDIAN PARTNERS INC. (TORONTO, ONTARIO, Canada) is newly SEC-registered with $388.2M RAUM and 8 advisory reps. IAPD ↗foreign
$388.2M RAUM · 8 reps · 416.840.8001 · guardiancapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
HIGHER PARK LIMITED (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗foreign
$0 RAUM · 10 reps · +44 0203 763 3815 · higherpark.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 91 Count of additional offices increased.
55
HALBERT HARGROVE added office(s): 9 -> 15 additional locations. IAPD ↗
$3.16B RAUM · 36 reps · 562-435-5657
Office IT & facilitiesCRMRecruiting & transitions
55
HBKS WEALTH ADVISORS added office(s): 12 -> 13 additional locations. IAPD ↗
$6.50B RAUM · 75 reps · 814-836-5776 · level3wealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
WAVERLY ADVISORS, LLC added office(s): 25 -> 28 additional locations. IAPD ↗
$13.30B RAUM · 139 reps · 205-871-3334 · waverly-advisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
VANDERBILT ADVISORY SERVICES added office(s): 25 -> 43 additional locations. IAPD ↗
$1.62B RAUM · 124 reps · 631-845-5100 · commoninterests.com
Office IT & facilitiesCRMRecruiting & transitions
55
PINKERTON RETIREMENT SPECIALISTS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$1.02B RAUM · 12 reps · 800-634-2008 · idahowm.org
Office IT & facilitiesCRMRecruiting & transitions
55
TORTOISE INVESTMENT MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$1.46B RAUM · 16 reps · 914-686-0024 · tortoiseinvestment.com
Office IT & facilitiesCRMRecruiting & transitions
55
J. SAFRA ASSET MANAGEMENT CORPORATION added office(s): 1 -> 2 additional locations. IAPD ↗
$3.68B RAUM · 6 reps · 212-704-5553 · jsinvestments.com
Office IT & facilitiesCRMRecruiting & transitions
55
HBW ADVISORY SERVICES LLC added office(s): 47 -> 50 additional locations. IAPD ↗
$1.48B RAUM · 63 reps · 800-473-3856
Office IT & facilitiesCRMRecruiting & transitions
55
PURE FINANCIAL ADVISORS, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$6.29B RAUM · 56 reps · 877-222-6044 · purefinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
SENDERO WEALTH MANAGEMENT, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$5.22B RAUM · 14 reps · 210-805-0171 · sendero.com
Office IT & facilitiesCRMRecruiting & transitions
55
CHICAGO PARTNERS INVESTMENT GROUP LLC added office(s): 10 -> 19 additional locations. IAPD ↗
$4.59B RAUM · 33 reps · 312 284 6363
Office IT & facilitiesCRMRecruiting & transitions
55
BTG PACTUAL ASSET MANAGEMENT US , LLC added office(s): 5 -> 8 additional locations. IAPD ↗
$27.79B RAUM · 68 reps · 212-293-4600 · timberlandinvestmentgroup.com
Office IT & facilitiesCRMRecruiting & transitions
55
VIVALDI CAPITAL MANAGEMENT LP added office(s): 4 -> 5 additional locations. IAPD ↗
$3.73B RAUM · 22 reps · 312.248.8300
Office IT & facilitiesCRMRecruiting & transitions
55
RMR WEALTH BUILDERS, INC. added office(s): 24 -> 25 additional locations. IAPD ↗
$1.70B RAUM · 43 reps · (201) 836-2460
Office IT & facilitiesCRMRecruiting & transitions
55
KEYSTONE FINANCIAL GROUP, LLC added office(s): 8 -> 9 additional locations. IAPD ↗
$1.51B RAUM · 33 reps · 859-317-8316
Office IT & facilitiesCRMRecruiting & transitions
55
COMPOUND PLANNING added office(s): 40 -> 44 additional locations. IAPD ↗
$1.40B RAUM · 13 reps · 888-533-9364 · lifeplan2retire.com
Office IT & facilitiesCRMRecruiting & transitions
55
GLOBAL STRATEGIC INVESTMENT SOLUTIONS added office(s): 0 -> 2 additional locations. IAPD ↗
$1.36B RAUM · 4 reps · 480-935-2210
Office IT & facilitiesCRMRecruiting & transitions
55
KOVITZ INVESTMENT GROUP PARTNERS, LLC added office(s): 35 -> 40 additional locations. IAPD ↗
$11.29B RAUM · 184 reps · 312-334-7300 · ifamcapital.com
Office IT & facilitiesCRMRecruiting & transitions
55
THE FIDUCIARY ALLIANCE added office(s): 15 -> 18 additional locations. IAPD ↗
$1.23B RAUM · 34 reps · 864-385-7999
Office IT & facilitiesCRMRecruiting & transitions
55
CRESSET ASSET MANAGEMENT, LLC added office(s): 22 -> 25 additional locations. IAPD ↗
$52.51B RAUM · 133 reps · 312-429-2400 · cressetpartners.com
Office IT & facilitiesCRMRecruiting & transitions
55
CX INSTITUTIONAL, LLC added office(s): 8 -> 11 additional locations. IAPD ↗
$3.31B RAUM · 47 reps · 260-927-1830
Office IT & facilitiesCRMRecruiting & transitions
55
PMA ASSET MANAGEMENT, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$26.99B RAUM · 64 reps · 630-657-6400 · pmanetwork.com
Office IT & facilitiesCRMRecruiting & transitions
55
QUOTIENT WEALTH PARTNERS, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$3.12B RAUM · 21 reps · (972) 807-0003
Office IT & facilitiesCRMRecruiting & transitions
55
IFC ADVISORS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$2.40B RAUM · 7 reps · 310-596-1250
Office IT & facilitiesCRMRecruiting & transitions
53
FINANCIAL CONSULATE added office(s): 3 -> 13 additional locations. IAPD ↗
$782.3M RAUM · 12 reps · 410-823-7283 · financialphysical.com
Office IT & facilitiesCRMRecruiting & transitions
53
NORTHSTAR ASSET MANAGEMENT INC added office(s): 0 -> 3 additional locations. IAPD ↗
$699.3M RAUM · 15 reps · 617-522-2635
Office IT & facilitiesCRMRecruiting & transitions
53
CAMARDA WEALTH ADVISORY GROUP added office(s): 5 -> 7 additional locations. IAPD ↗
$331.1M RAUM · 8 reps · 904-278-1177
Office IT & facilitiesCRMRecruiting & transitions
53
PLANNING DIRECTIONS, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$422.8M RAUM · 4 reps · 610-361-0865
Office IT & facilitiesCRMRecruiting & transitions
53
MARIN WEALTH ADVISORS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$296.0M RAUM · 5 reps · 415-458-5880 · marinwealthadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
SEVEN SPRINGS WEALTH GROUP added office(s): 0 -> 1 additional locations. IAPD ↗
$765.1M RAUM · 8 reps · 615-370-1253 · sevenspringswealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
HOPWOOD FINANCIAL SERVICES, INC. added office(s): 4 -> 5 additional locations. IAPD ↗
$548.1M RAUM · 6 reps · 703-787-0008
Office IT & facilitiesCRMRecruiting & transitions
53
PERENNIAL ADVISORS GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$287.1M RAUM · 3 reps · 978-577-6025 · perennialadvisorsgroup.com
Office IT & facilitiesCRMRecruiting & transitions
53
NVEST FINANCIAL, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$379.8M RAUM · 7 reps · 207-985-8585
Office IT & facilitiesCRMRecruiting & transitions
53
FINANCIAL PERSPECTIVES added office(s): 0 -> 3 additional locations. IAPD ↗
$864.6M RAUM · 13 reps · 763-553-7779 · fpwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
Q3 ASSET MANAGEMENT CORPORATION added office(s): 2 -> 3 additional locations. IAPD ↗
$713.0M RAUM · 6 reps · (248) 566-1122
Office IT & facilitiesCRMRecruiting & transitions
53
STRATEGIC FINANCIAL CONCEPTS, LLC added office(s): 24 -> 25 additional locations. IAPD ↗
$987.6M RAUM · 35 reps · 210-737-7800 · solinskygroup.com
Office IT & facilitiesCRMRecruiting & transitions
53
SECURE ASSET MANAGEMENT, L.L.C. added office(s): 20 -> 21 additional locations. IAPD ↗
$599.6M RAUM · 48 reps · 248-414-1562 · re-transition.com
Office IT & facilitiesCRMRecruiting & transitions
53
JACKSON WEALTH MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$820.9M RAUM · 6 reps · 407-585-0235 · jacksonwm.com
Office IT & facilitiesCRMRecruiting & transitions
53
DENTIST ADVISORS added office(s): 1 -> 2 additional locations. IAPD ↗
$383.6M RAUM · 7 reps · 801-748-1243
Office IT & facilitiesCRMRecruiting & transitions
53
IRONVIEW CAPITAL MANAGEMENT, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$851.0M RAUM · 8 reps · 215-793-0111 · ironview.com
Office IT & facilitiesCRMRecruiting & transitions
53
VISIONARY HORIZONS, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$252.6M RAUM · 9 reps · 865-675-8496 · vimeo.com
Office IT & facilitiesCRMRecruiting & transitions
53
COSTON, MCISAAC & SHEA FINANCIAL ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$424.7M RAUM · 10 reps · 207-288-4747 · costonshea.com
Office IT & facilitiesCRMRecruiting & transitions
53
SMART MONEY GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$286.5M RAUM · 7 reps · 254-629-3866 · kennedy-financial.com
Office IT & facilitiesCRMRecruiting & transitions
53
SOVEREIGN FINANCIAL GROUP, INC. added office(s): 18 -> 19 additional locations. IAPD ↗
$716.9M RAUM · 16 reps · (888) 765-8180 · sfgroupinc.com
Office IT & facilitiesCRMRecruiting & transitions
53
CONVERGENCE FINANCIAL added office(s): 8 -> 9 additional locations. IAPD ↗
$422.4M RAUM · 13 reps · (573) 818-2264
Office IT & facilitiesCRMRecruiting & transitions
53
MIDWEST HERITAGE FINANCIAL ADVISORS added office(s): 1 -> 2 additional locations. IAPD ↗
$314.2M RAUM · 4 reps · 515-246-8378 · midwestheritage.com
Office IT & facilitiesCRMRecruiting & transitions
53
ATTESSA CAPITAL LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$259.1M RAUM · 7 reps · 520-600-3064 · attessacapital.com
Office IT & facilitiesCRMRecruiting & transitions
53
ELK RIVER WEALTH MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$930.8M RAUM · 8 reps · (720) 310-3275
Office IT & facilitiesCRMRecruiting & transitions
53
SERENITY INVESTMENT ADVISORS added office(s): 2 -> 3 additional locations. IAPD ↗
$296.9M RAUM · 4 reps · 312-734-1415 · yelp.com
Office IT & facilitiesCRMRecruiting & transitions
53
OLDE WEALTH MANAGEMENT, LLC added office(s): 1 -> 3 additional locations. IAPD ↗
$284.2M RAUM · 2 reps · 4254957484
Office IT & facilitiesCRMRecruiting & transitions
53
MOTIVE WEALTH ADVISORS, LLC added office(s): 0 -> 3 additional locations. IAPD ↗
$279.3M RAUM · 3 reps · (248) 987-5731 · motivewealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
VESTGEN ADVISORS, LLC added office(s): 5 -> 7 additional locations. IAPD ↗
$660.3M RAUM · 20 reps · 847-907-9600 · investwithwmg.com
Office IT & facilitiesCRMRecruiting & transitions
53
LRI INVESTMENTS added office(s): 1 -> 3 additional locations. IAPD ↗
$932.9M RAUM · 12 reps · 561-323-2265
Office IT & facilitiesCRMRecruiting & transitions
53
HEDONOVA ADVISORS LLC added office(s): 0 -> 5 additional locations. IAPD ↗
$643.2M RAUM · 11 reps · 213-340-1334
Office IT & facilitiesCRMRecruiting & transitions
50
SCHAEFFER FINANCIAL LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$199.4M RAUM · 4 reps · 301-933-5550 · schaefferfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
PARKWORTH WEALTH MANAGEMENT, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$151.8M RAUM · 3 reps · 408-436-9800
Office IT & facilitiesCRMRecruiting & transitions
50
TURNER FINANCIAL GROUP, INC. added office(s): 3 -> 5 additional locations. IAPD ↗
$115.7M RAUM · 8 reps · 850-995-1797 · seelan.com
Office IT & facilitiesCRMRecruiting & transitions
50
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$218.8M RAUM · 9 reps · (949) 261-7726
Office IT & facilitiesCRMRecruiting & transitions
50
MAYA ADVISORS, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$103.7M RAUM · 1 reps · 650-704-3074
Office IT & facilitiesCRMRecruiting & transitions
50
PROSPETTIVA FINANCIAL added office(s): 3 -> 4 additional locations. IAPD ↗
$106.5M RAUM · 3 reps · 415-362-8636
Office IT & facilitiesCRMRecruiting & transitions
50
CLARITY INVESTMENTS + PLANNING LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$105.9M RAUM · 2 reps · (212) 730-7029 · clarityinv.com
Office IT & facilitiesCRMRecruiting & transitions
50
TRITON FINANCIAL GROUP, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$237.2M RAUM · 1 reps · 508-480-8383 · tritonfinancialgroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
NOVUS ADVISORS added office(s): 3 -> 4 additional locations. IAPD ↗
$211.8M RAUM · 5 reps · 864-272-3579 · novusadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
TENCAP WEALTH COACHING added office(s): 10 -> 11 additional locations. IAPD ↗
$0 RAUM · 9 reps · 801-337-5032
Office IT & facilitiesCRMRecruiting & transitions
50
FSAM LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$71.5M RAUM · 8 reps · 770-777-9373
Office IT & facilitiesCRMRecruiting & transitions
50
SHORE POINT ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$212.7M RAUM · 4 reps · 732-876-3777
Office IT & facilitiesCRMRecruiting & transitions
50
TRU INDEPENDENCE ASSET MANAGEMENT 2, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$117.2M RAUM · 4 reps · 971-371-3444 · meritwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
TRANSCEND ADVISOR GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$216.2M RAUM · 4 reps · 262-884-9983 · info@transcendadvisorgroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
AVAIL INVESTMENT PARTNERS, LLC added office(s): 1 -> 4 additional locations. IAPD ↗
$105.4M RAUM · 5 reps · 814-996-7206 · availinvest.com
Office IT & facilitiesCRMRecruiting & transitions
50
AXIM PLANNING & WEALTH added office(s): 0 -> 1 additional locations. IAPD ↗
$129.3M RAUM · 3 reps · 937-291-2060 · aximwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
BASE WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$213.8M RAUM · 5 reps · 941-203-6040
Office IT & facilitiesCRMRecruiting & transitions
50
RETIREMENT FINANCIAL GROUP, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$121.7M RAUM · 2 reps · 409-908-4160
Office IT & facilitiesCRMRecruiting & transitions
50
ACCELERATE RETIREMENT added office(s): 10 -> 11 additional locations. IAPD ↗
$173.5M RAUM · 21 reps · 888-439-7071
Office IT & facilitiesCRMRecruiting & transitions
50
MDRN CAPITAL added office(s): 8 -> 9 additional locations. IAPD ↗
$101.6M RAUM · 7 reps · 410-533-9966
Office IT & facilitiesCRMRecruiting & transitions
50
APERTURE ADVISORS LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$0 RAUM · 2 reps · 917-734-2804 · apertureadvisors.io
Office IT & facilitiesCRMRecruiting & transitions
50
CATALYST WEALTH MANAGEMENT LLC added office(s): 16 -> 18 additional locations. IAPD ↗
$20.6M RAUM · 19 reps · 832-657-7735 · catalystfg.com
Office IT & facilitiesCRMRecruiting & transitions
50
BLUE JEAN FINANCIAL LLC added office(s): 0 -> 5 additional locations. IAPD ↗
$77.2M RAUM · 9 reps · (518) 406-8488 · bluejeanfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
PREMIER PRIVATE WEALTH MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$107.8M RAUM · 2 reps · 727-281-2882 · premierprivatewealthmgt.com
Office IT & facilitiesCRMRecruiting & transitions
50
UNITING WEALTH PARTNERS added office(s): 1 -> 4 additional locations. IAPD ↗
$0 RAUM · 7 reps · 479-364-0686 · unitingwealthpartners.com
Office IT & facilitiesCRMRecruiting & transitions
50
BEACON CAPITAL ADVISORY GROUP added office(s): 0 -> 3 additional locations. IAPD ↗
$105.5M RAUM · 2 reps · 877-801-2322
Office IT & facilitiesCRMRecruiting & transitions
50
PCM ENCORE, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 2 reps · 888-697-0204
Office IT & facilitiesCRMRecruiting & transitions
45
STRIVE ASSET MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$1.08B RAUM · 4 reps · 614-704-0187
Office IT & facilitiesCRMRecruiting & transitions
43
LOGIA PORTFOLIO MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$713.6M RAUM · 1 reps · 844-882-0193
Office IT & facilitiesCRMRecruiting & transitions
40
WOODSON CAPITAL MANAGEMENT, LP added office(s): 1 -> 2 additional locations. IAPD ↗fund
$1.16B RAUM · 5 reps · 212-716-2624
Office IT & facilitiesCRMRecruiting & transitions
40
MONTICELLOAM, LLC added office(s): 2 -> 4 additional locations. IAPD ↗fund
$1.90B RAUM · 49 reps · 646-844-3600
Office IT & facilitiesCRMRecruiting & transitions
40
PHASE 3 CAPITAL MANAGEMENT LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.28B RAUM · 4 reps · 312-858-3800 · p3cm.com
Office IT & facilitiesCRMRecruiting & transitions
40
MARCYPEN CAPITAL PARTNERS LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$1.06B RAUM · 14 reps · 424-421-6040 · marcypen.com
Office IT & facilitiesCRMRecruiting & transitions
38
CREO CAPITAL PARTNERS MANAGEMENT LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$394.2M RAUM · 5 reps · 305-998-0078 · creocapitalpartners.com
Office IT & facilitiesCRMRecruiting & transitions
38
SOVEREIGN'S CAPITAL MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$867.2M RAUM · 28 reps · 404-260-2798 · sovereignscapital.com
Office IT & facilitiesCRMRecruiting & transitions
35
TRIATOMIC CAPITAL added office(s): 0 -> 1 additional locations. IAPD ↗fund
$181.8M RAUM · 4 reps · 917-887-0705 · hkcap.com
Office IT & facilitiesCRMRecruiting & transitions
35
GROUP RMC INVESTMENT ADVISOR LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$28.4M RAUM · 2 reps · 917-503-9730 · grouprmc.com
Office IT & facilitiesCRMRecruiting & transitions
deregistered — 65 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
CHARLES D. HYMAN & COMPANY (PONTE VEDRA BEACH, FL) left the SEC roster (was $2.20B RAUM, 2 reps). IAPD ↗
$2.20B RAUM · 2 reps · 904-543-0360 · charlesdhyman.com
Recruiting & transitionsM&A & valuation
65
ENSEMBLE CAPITAL MANAGEMENT, LLC (SAN FRANCISCO, CA) left the SEC roster (was $1.66B RAUM, 10 reps). IAPD ↗
$1.66B RAUM · 10 reps · 650-696-1240 · ensemblecapital.com
Recruiting & transitionsM&A & valuation
65
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC (NEW YORK, NY) left the SEC roster (was $11.28B RAUM, 14 reps). IAPD ↗
$11.28B RAUM · 14 reps · 212-902-1000
Recruiting & transitionsM&A & valuation
65
FINANCIAL DIMENSIONS GROUP, INC. (ARDEN HILLS, MN) left the SEC roster (was $2.60B RAUM, 49 reps). IAPD ↗
$2.60B RAUM · 49 reps · 651-481-6280 · eliasonfa.com
Recruiting & transitionsM&A & valuation
65
SBC WEALTH MANAGEMENT (INDIANAPOLIS, IN) left the SEC roster (was $1.01B RAUM, 7 reps). IAPD ↗
$1.01B RAUM · 7 reps · 317-848-4744
Recruiting & transitionsM&A & valuation
65
DIVERSIFIED, LLC (WILMINGTON, DE) left the SEC roster (was $1.55B RAUM, 22 reps). IAPD ↗
$1.55B RAUM · 22 reps · 302-765-3500 · pinterest.com
Recruiting & transitionsM&A & valuation
65
HOYLECOHEN, LLC (SAN DIEGO, CA) left the SEC roster (was $3.43B RAUM, 28 reps). IAPD ↗
$3.43B RAUM · 28 reps · 858-576-7300 · focusfinancialpartners.com
Recruiting & transitionsM&A & valuation
65
BUCKINGHAM STRATEGIC WEALTH, LLC (ST LOUIS, MO) left the SEC roster (was $29.51B RAUM, 312 reps). IAPD ↗
$29.51B RAUM · 312 reps · 314-725-0455 · askbuckingham.com
Recruiting & transitionsM&A & valuation
65
ARBOR POINT ADVISORS (LAVISTA, NE) left the SEC roster (was $6.93B RAUM, 208 reps). IAPD ↗
$6.93B RAUM · 208 reps · 888-777-1992 · rdfintax.com
Recruiting & transitionsM&A & valuation
65
GREY STREET CAPITAL, LLC (CHICAGO, IL) left the SEC roster (was $2.03B RAUM, 8 reps). IAPD ↗
$2.03B RAUM · 8 reps · 312.635.7160
Recruiting & transitionsM&A & valuation
65
CH INVESTMENT PARTNERS, LLC (DALLAS, TX) left the SEC roster (was $5.10B RAUM, 24 reps). IAPD ↗
$5.10B RAUM · 24 reps · 214-661-8333
Recruiting & transitionsM&A & valuation
63
M&R CAPITAL MANAGEMENT INC (SUMMIT, NJ) left the SEC roster (was $522.3M RAUM, 4 reps). IAPD ↗
$522.3M RAUM · 4 reps · 212-584-8999
Recruiting & transitionsM&A & valuation
63
ETFIDEA, LLC (SYRACUSE, NY) left the SEC roster (was $392.9M RAUM, 4 reps). IAPD ↗
$392.9M RAUM · 4 reps · 315-472-6221 · etfidea.com
Recruiting & transitionsM&A & valuation
63
BAY POINT WEALTH (ANNAPOLIS, MD) left the SEC roster (was $399.2M RAUM, 4 reps). IAPD ↗
$399.2M RAUM · 4 reps · 410-626-8198
Recruiting & transitionsM&A & valuation
63
RIVER CAPITAL ADVISORS, LC (JACKSONVILLE, FL) left the SEC roster (was $293.6M RAUM, 5 reps). IAPD ↗
$293.6M RAUM · 5 reps · 904-398-2075
Recruiting & transitionsM&A & valuation
63
KINGFISHER CAPITAL, LLC (CHARLOTTE, NC) left the SEC roster (was $606.8M RAUM, 6 reps). IAPD ↗
$606.8M RAUM · 6 reps · 704-333-1710 · kingfishercapital.com
Recruiting & transitionsM&A & valuation
63
GREYTOWN ADVISORS (MIAMI, FL) left the SEC roster (was $846.7M RAUM, 5 reps). IAPD ↗
$846.7M RAUM · 5 reps · 305-901-1600 · greytownadvisors.com
Recruiting & transitionsM&A & valuation
63
CLARIFY WEALTH MANAGEMENT (CINCINNATI, OH) left the SEC roster (was $410.0M RAUM, 8 reps). IAPD ↗
$410.0M RAUM · 8 reps · 513-381-0001 · clarifywealth.com
Recruiting & transitionsM&A & valuation
63
WALDEN WEALTH PARTNERS LLC (BEACHWOOD, OH) left the SEC roster (was $333.0M RAUM, 2 reps). IAPD ↗
$333.0M RAUM · 2 reps · 440-248-1632 · waldenwealth.com
Recruiting & transitionsM&A & valuation
63
CLEAR ROCK ADVISORS, LLC (KERRVILLE, TX) left the SEC roster (was $429.9M RAUM, 6 reps). IAPD ↗
$429.9M RAUM · 6 reps · 830-315-2555
Recruiting & transitionsM&A & valuation
63
CHESME CAPITAL MANAGEMENT (DEWITT, MI) left the SEC roster (was $648.6M RAUM, 3 reps). IAPD ↗
$648.6M RAUM · 3 reps · 517-669-1600 · chesme.com
Recruiting & transitionsM&A & valuation
63
BROWNLIE & BRADEN ADVISORS, LLC (DALLAS, TX) left the SEC roster (was $329.2M RAUM, 13 reps). IAPD ↗
$329.2M RAUM · 13 reps · 214-219-4650
Recruiting & transitionsM&A & valuation
63
SHORE MORGAN YOUNG WEALTH STRATEGIES (NEW ALBANY, OH) left the SEC roster (was $615.0M RAUM, 10 reps). IAPD ↗
$615.0M RAUM · 10 reps · (614) 888-2117 · shoremorganyoung.com
Recruiting & transitionsM&A & valuation
63
VESTBRIDGE ADVISORS, INC (EGG HARBOR TOWNSHIP, NJ) left the SEC roster (was $300.8M RAUM, 5 reps). IAPD ↗
$300.8M RAUM · 5 reps · 609-701-2900 · vestbridge.com
Recruiting & transitionsM&A & valuation
63
SYSTM WEALTH SOLUTIONS (CHICAGO, IL) left the SEC roster (was $839.2M RAUM, 0 reps). IAPD ↗
$839.2M RAUM · 0 reps · 312-236-1600 · systmwealth.com
Recruiting & transitionsM&A & valuation
63
LANDMARK WEALTH MANAGEMENT GROUP (LAKE ELMO, MN) left the SEC roster (was $824.4M RAUM, 12 reps). IAPD ↗
$824.4M RAUM · 12 reps · (800) 251-9932 · landmarkwealth.com
Recruiting & transitionsM&A & valuation
60
WHEAT GIVENS FINANCIAL, LLC (MCKINNEY, TX) left the SEC roster (was $144.1M RAUM, 2 reps). IAPD ↗
$144.1M RAUM · 2 reps · 214-385-2415
Recruiting & transitionsM&A & valuation
60
FOUR PONDS FINANCIAL PLANNING (MASHPEE, MA) left the SEC roster (was $150.2M RAUM, 4 reps). IAPD ↗
$150.2M RAUM · 4 reps · 888-285-7705
Recruiting & transitionsM&A & valuation
60
ATRATO ASSET MANAGEMENT LLC (location n/a) left the SEC roster (was $52.4M RAUM, 1 reps). IAPD ↗
$52.4M RAUM · 1 reps · (505) 310-1783
Recruiting & transitionsM&A & valuation
60
SPOTLIGHT ASSET GROUP (OAKBROOK TERRACE, IL) left the SEC roster (was $205.1M RAUM, 3 reps). IAPD ↗
$205.1M RAUM · 3 reps · 630-230-6840
Recruiting & transitionsM&A & valuation
60
NEW AMSTERDAM WEALTH PLANNING (location n/a) left the SEC roster (was $44.4M RAUM, 1 reps). IAPD ↗
$44.4M RAUM · 1 reps · 917-647-5698
Recruiting & transitionsM&A & valuation
60
RILEY PRIVATE CLIENT LLC (SOUTHLAKE, TX) left the SEC roster (was $64.9M RAUM, 1 reps). IAPD ↗
$64.9M RAUM · 1 reps · 817-870-4680
Recruiting & transitionsM&A & valuation
60
VITALSTONE FINANCIAL, LLC (SHAVANO PARK, TX) left the SEC roster (was $199.7M RAUM, 4 reps). IAPD ↗
$199.7M RAUM · 4 reps · (210) 782-9855 · vitalstonefinancial.com
Recruiting & transitionsM&A & valuation
60
MYWALLST ADVISORY LLC (NEW YORK, NY) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 332-203-4174 · mywallstadvisory.com
Recruiting & transitionsM&A & valuation
60
INHERENT WEALTH FUND, LLC (PALM DESERT, CA) left the SEC roster (was $700,000 RAUM, 1 reps). IAPD ↗
$700,000 RAUM · 1 reps · 415-399-9733 · inherentwealthfund.com
Recruiting & transitionsM&A & valuation
60
RICH DEWITT WEALTH MANAGEMENT LLC (CHATTANOOGA, TN) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 423.954.7273 · richdewittwealthmanagement.com
Recruiting & transitionsM&A & valuation
60
BLUE BEAR FINANCIAL, 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 · (843) 654-1388 · bluebearfinancial.com
Recruiting & transitionsM&A & valuation
60
DA WEALTH ADVISORS (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 847-977-3752
Recruiting & transitionsM&A & valuation
60
AVIATOR WEALTH GROUP (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 · 412-284-2867
Recruiting & transitionsM&A & valuation
60
DEFINED PURPOSE CAPITAL LLC (BERKELEY HEIGHTS, NJ) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (925) 639-6351 · definedpurposecapital.com
Recruiting & transitionsM&A & valuation
55
MINOT CAPITAL, LP (BROOMFIELD, CO) left the SEC roster (was $2.13B RAUM, 2 reps). IAPD ↗institutional
$2.13B RAUM · 2 reps · 720-465-9200 · minotcap.com
Recruiting & transitionsM&A & valuation
55
POLLEN STREET CAPITAL (US) LLC (AUSTIN, TX) left the SEC roster (was $1.01B RAUM, 2 reps). IAPD ↗institutional
$1.01B RAUM · 2 reps · 212-729-4688
Recruiting & transitionsM&A & valuation
55
TRASIMENE CAPITAL MANAGEMENT, LLC (LAS VEGAS, NV) left the SEC roster (was $2.17B RAUM, 2 reps). IAPD ↗institutional
$2.17B RAUM · 2 reps · 702-323-7330 · trasimenecapitalmgmt.com
Recruiting & transitionsM&A & valuation
50
AQUILA INVESTMENT MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 212-697-6666 · aquilafunds.com
Recruiting & transitionsM&A & valuation
50
ATALAYA CAPITAL MANAGEMENT LP (NEW YORK, NY) left the SEC roster (was $9.34B RAUM, 64 reps). IAPD ↗fund
$9.34B RAUM · 64 reps · 212-201-1910
Recruiting & transitionsM&A & valuation
50
APTITUDE INVESTMENT MANAGEMENT LP (SEATTLE, WA) left the SEC roster (was $6.07B RAUM, 7 reps). IAPD ↗fund
$6.07B RAUM · 7 reps · 212-902-1000
Recruiting & transitionsM&A & valuation
50
FICAST CORPORATION (TROY, MI) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 248-614-1100 · ficast.com
Recruiting & transitionsM&A & valuation
50
CONCINNITY ADVISORS, LP (location n/a) left the SEC roster (was $203.3M RAUM, 4 reps). IAPD ↗institutional
$203.3M RAUM · 4 reps · 914-591-0117 · concinnityadvisors.com
Recruiting & transitionsM&A & valuation
50
LAFAYETTE ADVISORS LLC (NORFOLK, VA) left the SEC roster (was $41.5M RAUM, 5 reps). IAPD ↗institutional
$41.5M RAUM · 5 reps · 757-623-3676
Recruiting & transitionsM&A & valuation
50
ASPIRATION FUND ADVISER, LLC (MARINA DEL REY, CA) left the SEC roster (was $147.0M RAUM, 1 reps). IAPD ↗institutional
$147.0M RAUM · 1 reps · 1-800-683-8529
Recruiting & transitionsM&A & valuation
50
FOUNDATIONAL RETIREMENT SOLUTIONS LLC (location n/a) left the SEC roster (was $138.2M RAUM, 2 reps). IAPD ↗institutional
$138.2M RAUM · 2 reps · 949-682-9232
Recruiting & transitionsM&A & valuation
50
GOSHEN ROCK CAPITAL, LLC (WAYNE, PA) left the SEC roster (was $116.5M RAUM, 3 reps). IAPD ↗institutional
$116.5M RAUM · 3 reps · 215-701-8990
Recruiting & transitionsM&A & valuation
50
GRAVIMARK LLC (location n/a) left the SEC roster (was $26.0M RAUM, 2 reps). IAPD ↗institutional
$26.0M RAUM · 2 reps · 914-268-8685
Recruiting & transitionsM&A & valuation
50
CORYELL INVESTMENT MANAGEMENT LP (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 646-907-5632 · coryell.com
Recruiting & transitionsM&A & valuation
50
3A PARTNERS, LLC (COLUMBUS, OH) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 614-406-8192 · 3apartners.com
Recruiting & transitionsM&A & valuation
48
25 CAPITAL PARTNERS, LLC (CHARLOTTE, NC) left the SEC roster (was $401.2M RAUM, 6 reps). IAPD ↗fund
$401.2M RAUM · 6 reps · 704-426-8849 · 25capital.com
Recruiting & transitionsM&A & valuation
48
BOW CAPITAL MANAGEMENT, LLC (MENLO PARK, CA) left the SEC roster (was $591.4M RAUM, 5 reps). IAPD ↗fund
$591.4M RAUM · 5 reps · 650-352-4877 · bowcapital.com
Recruiting & transitionsM&A & valuation
48
WINDMUEHLE, LLC (AUSTIN, TX) left the SEC roster (was $275.8M RAUM, 1 reps). IAPD ↗fund
$275.8M RAUM · 1 reps · 512-649-0903
Recruiting & transitionsM&A & valuation
48
CGI INVESTMENT MANAGEMENT LLC (CORAL GABLES, FL) left the SEC roster (was $950.6M RAUM, 8 reps). IAPD ↗fund
$950.6M RAUM · 8 reps · 786-581-4800
Recruiting & transitionsM&A & valuation
48
ANNAPURNA CAPITAL MANAGEMENT LP (WEST PALM BEACH, FL) left the SEC roster (was $267.2M RAUM, 4 reps). IAPD ↗fund
$267.2M RAUM · 4 reps · 561-328-2235 · annapurnacm.com
Recruiting & transitionsM&A & valuation
45
MITCHELL PORTFOLIO MANAGEMENT, L.P. (COSTA MESA, CA) left the SEC roster (was $163.0M RAUM, 2 reps). IAPD ↗fund
$163.0M RAUM · 2 reps · 714-432-5300 · mpmlp.com
Recruiting & transitionsM&A & valuation
45
COTTON CREEK CAPITAL MANAGEMENT, LLC (DALLAS, TX) left the SEC roster (was $1.2M RAUM, 2 reps). IAPD ↗fund
$1.2M RAUM · 2 reps · 214-219-4650
Recruiting & transitionsM&A & valuation
45
YARRA SQUARE PARTNERS LP (NEW YORK, NY) left the SEC roster (was $145.9M RAUM, 3 reps). IAPD ↗fund
$145.9M RAUM · 3 reps · 212-390-9580
Recruiting & transitionsM&A & valuation
35
MANIYAR CAPITAL ADVISORS UK LTD. (LONDON, United Kingdom) left the SEC roster (was $1.52B RAUM, 14 reps). IAPD ↗foreign
$1.52B RAUM · 14 reps · +44 203 994 1828 · maniyar.com
Recruiting & transitionsM&A & valuation
30
GRAYHAWK WEALTH US INC. (CALGARY, ALBERTA, Canada) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗foreign
$0 RAUM · 1 reps · 877-665-9951
Recruiting & transitionsM&A & valuation
disclosure added — 40 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 9 (238 -> 247). IAPD ↗
$249.73B RAUM · 7426 reps · 800-999-2000
ComplianceMarketing & brand
55
EDWARD JONES's Item 11 disclosure-reporting entries rose by 3 (109 -> 112). IAPD ↗
$692.25B RAUM · 21219 reps · 314-515-2000 · edwardjonesbenefits.com
ComplianceMarketing & brand
55
GOLDMAN SACHS & CO. LLC's Item 11 disclosure-reporting entries rose by 2 (763 -> 765). IAPD ↗
$222.74B RAUM · 2406 reps · 212-902-1000
ComplianceMarketing & brand
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 1 (162 -> 163). IAPD ↗
$149.25B RAUM · 3027 reps · 314-342-2000 · frenzelwealthadvisory.com
ComplianceMarketing & brand
55
AMERIPRISE FINANCIAL SERVICES, LLC's Item 11 disclosure-reporting entries rose by 1 (241 -> 242). IAPD ↗
$479.79B RAUM · 12518 reps · 612-671-3131
ComplianceMarketing & brand
55
CITIGROUP GLOBAL MARKETS INC.'s Item 11 disclosure-reporting entries rose by 1 (201 -> 202). IAPD ↗
$40.52B RAUM · 4880 reps · 212-816-6000 · privatebank.citibank.com
ComplianceMarketing & brand
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 3 (498 -> 501). IAPD ↗
$1271.59B RAUM · 26251 reps · 800-637-7455
ComplianceMarketing & brand
55
PRIMERICA ADVISORS's Item 11 disclosure-reporting entries rose by 3 (28 -> 31). IAPD ↗
$8.46B RAUM · 3560 reps · 833-786-0550
ComplianceMarketing & brand
55
CAPITOL SECURITIES MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 2 (13 -> 15). IAPD ↗
$1.40B RAUM · 127 reps · 888-612-1484
ComplianceMarketing & brand
55
OSAIC WEALTH, INC.'s Item 11 disclosure-reporting entries rose by 3 (65 -> 68). IAPD ↗
$94.56B RAUM · 4397 reps · 800-821-5100 · advocatefinancialadvisors.com
ComplianceMarketing & brand
55
INVESCO ADVISERS, INC.'s Item 11 disclosure-reporting entries rose by 2 (7 -> 9). IAPD ↗
$746.33B RAUM · 835 reps · 404-892-0896
ComplianceMarketing & brand
55
THE AYCO COMPANY, L.P.'s Item 11 disclosure-reporting entries rose by 1 (29 -> 30). IAPD ↗
$25.87B RAUM · 997 reps · 518-886-4000
ComplianceMarketing & brand
55
J.P. MORGAN INVESTMENT MANAGEMENT INC.'s Item 11 disclosure-reporting entries rose by 6 (23 -> 29). IAPD ↗
$2549.09B RAUM · 2112 reps · (800) 343-1113
ComplianceMarketing & brand
55
J.P. MORGAN PRIVATE INVESTMENTS INC.'s Item 11 disclosure-reporting entries rose by 3 (14 -> 17). IAPD ↗
$292.91B RAUM · 75 reps · 212-464-2070 · jpmorganaccessfunds.com
ComplianceMarketing & brand
55
EPOCH INVESTMENT PARTNERS, INC.'s Item 11 disclosure-reporting entries rose by 4 (4 -> 8). IAPD ↗
$34.28B RAUM · 133 reps · 212-303-7200
ComplianceMarketing & brand
55
INVESCO MANAGED ACCOUNTS, LLC's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗
$17.54B RAUM · 29 reps · 1-866-769-2773 · snwam.com
ComplianceMarketing & brand
55
TD PRIVATE CLIENT WEALTH LLC's Item 11 disclosure-reporting entries rose by 16 (21 -> 37). IAPD ↗
$4.82B RAUM · 284 reps · 877-703-9896 · td.com
ComplianceMarketing & brand
55
OSAIC ADVISORY SERVICES, LLC's Item 11 disclosure-reporting entries rose by 4 (7 -> 11). IAPD ↗
$4.94B RAUM · 141 reps · 866-580-8219 · morgancapitalsolutions.com
ComplianceMarketing & brand
53
CONCORDE ASSET MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 1 (15 -> 16). IAPD ↗
$395.1M RAUM · 67 reps · 248-824-6710
ComplianceMarketing & brand
53
COPPELL ADVISORY SOLUTIONS LLC's Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗
$849.6M RAUM · 76 reps · 817-888-8020 · fusioncm.com
ComplianceMarketing & brand
53
WAHED's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$523.6M RAUM · 1 reps · 1-855-976-4747 · wahedinvest.com
ComplianceMarketing & brand
53
AZ APICE CAPITAL MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$344.8M RAUM · 2 reps · 305-912-0915 · azapice.com
ComplianceMarketing & brand
53
HOWARD BAILEY SECURITIES, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$463.3M RAUM · 14 reps · 260-482-9559
ComplianceMarketing & brand
53
HEDONOVA ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$643.2M RAUM · 11 reps · 213-340-1334
ComplianceMarketing & brand
50
HUDSON COMPANIES's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
$112.1M RAUM · 1 reps · (845) 920-1600 · hudcos.com
ComplianceMarketing & brand
45
INVESCO INVESTMENT ADVISERS LLC's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗institutional
$5.09B RAUM · 10 reps · 713-214-1919 · invesco.com
ComplianceMarketing & brand
45
WISDOMTREE ASSET MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗institutional
$79.15B RAUM · 24 reps · 212 801 2080
ComplianceMarketing & brand
40
INVESCO SENIOR SECURED MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗fund
$31.07B RAUM · 59 reps · 212-278-9000
ComplianceMarketing & brand
40
GATES CAPITAL MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$3.64B RAUM · 8 reps · 212-626-1421
ComplianceMarketing & brand
40
WL ROSS & CO. LLC's Item 11 disclosure-reporting entries rose by 3 (12 -> 15). IAPD ↗fund
$1.25B RAUM · 2 reps · 972-715-7400 · invesco.com
ComplianceMarketing & brand
40
ARGENTIC's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗fund
$1.17B RAUM · 5 reps · 646 560-1700 · argentic.com
ComplianceMarketing & brand
40
INVESCO LOAN MANAGER, LLC's Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗fund
$14.63B RAUM · 59 reps · 212 278-9000
ComplianceMarketing & brand
40
ELLIOTT INVESTMENT MANAGEMENT L.P.'s Item 11 disclosure-reporting entries rose by 1 (8 -> 9). IAPD ↗fund
$97.37B RAUM · 238 reps · (561) 584-8800
ComplianceMarketing & brand
40
SVB CAPITAL's Item 11 disclosure-reporting entries rose by 2 (4 -> 6). IAPD ↗fund
$12.17B RAUM · 18 reps · 650-519-0540 · pinegrovecp.com
ComplianceMarketing & brand
40
FPLF MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗institutional
$0 RAUM · 15 reps · 212-798-6100
ComplianceMarketing & brand
38
INVESCO PRIVATE CAPITAL, INC.'s Item 11 disclosure-reporting entries rose by 3 (12 -> 15). IAPD ↗fund
$769.1M RAUM · 4 reps · 212-826-1100 · invesco.com
ComplianceMarketing & brand
38
FCO ADVISORS LP's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗fund
$791.3M RAUM · 6 reps · 646-467-8050 · foundationcredit.com
ComplianceMarketing & brand
38
FIO ADVISORS LP's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗fund
$445.8M RAUM · 3 reps · 646-467-8050 · foundationcredit.com
ComplianceMarketing & brand
35
OPPENHEIMERFUNDS INC's Item 11 disclosure-reporting entries rose by 2 (5 -> 7). IAPD ↗fund
$197.0M RAUM · 0 reps · 212-323-0200
ComplianceMarketing & brand
25
CIBC ASSET MANAGEMENT INC.'s Item 11 disclosure-reporting entries rose by 4 (8 -> 12). IAPD ↗foreign
$108.43B RAUM · 265 reps · 888-888-3863 · cibc.com
ComplianceMarketing & brand
website changed — 37 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
PINKERTON RETIREMENT SPECIALISTS, LLC changed its website from pinkertonretirement.com to idahowm.org. IAPD ↗
$1.02B RAUM · 12 reps · 800-634-2008 · idahowm.org
Marketing & brand
30
MOUNT YALE INVESTMENT ADVISORS, LLC changed its website from besterwealth.com to elevationpoint.com. IAPD ↗
$2.19B RAUM · 20 reps · 303-382-2880 · elevationpoint.com
Marketing & brand
30
WEALTHFRONT ADVISERS LLC changed its website from wealthfront.com to wealthfront.org. IAPD ↗
$35.92B RAUM · 20 reps · 855-695-8437 · wealthfront.org
Marketing & brand
30
FOURSTAR WEALTH ADVISORS, LLC changed its website from main.advisoryoptionsforcpas.com to timeto.planyourexitstrategy.com. IAPD ↗
$1.02B RAUM · 39 reps · (312) 667-1750 · timeto.planyourexitstrategy.com
Marketing & brand
30
COMPOUND PLANNING changed its website from thomasadvisoryservices.com to lifeplan2retire.com. IAPD ↗
$1.40B RAUM · 13 reps · 888-533-9364 · lifeplan2retire.com
Marketing & brand
30
ONESEVEN changed its website from pillarwealthgroup.com to mbwealthmanagementgroup.com. IAPD ↗
$3.68B RAUM · 48 reps · 216-865-1700 · mbwealthmanagementgroup.com
Marketing & brand
30
XML FINANCIAL GROUP changed its website from xmlfg.com to xmlfg-w.com. IAPD ↗
$2.75B RAUM · 30 reps · (301) 770-5234 · xmlfg-w.com
Marketing & brand
30
GC WEALTH MANAGEMENT RIA, LLC changed its website from catalyticwealth.com to generalcatalyst.com. IAPD ↗
$2.12B RAUM · 17 reps · 617-234-7000 · generalcatalyst.com
Marketing & brand
28
FINANCIAL CONSULATE changed its website from financialphysical.net to financialphysical.com. IAPD ↗
$782.3M RAUM · 12 reps · 410-823-7283 · financialphysical.com
Marketing & brand
28
MCCARTER PRIVATE WEALTH SERVICES LLC changed its website from blasset.com to mccarterpws.com. IAPD ↗
$344.3M RAUM · 2 reps · 617-449-6500 · mccarterpws.com
Marketing & brand
28
THE FAIRMAN GROUP, LLC changed its website from fairmangroup.com to fairmanfinancial.com. IAPD ↗
$778.6M RAUM · 14 reps · 610-889-7300 · fairmanfinancial.com
Marketing & brand
28
LVZ, INC. changed its website from tlpfg.com to lvzinc.com. IAPD ↗
$874.6M RAUM · 20 reps · 616-394-4994 · lvzinc.com
Marketing & brand
28
NAMCOA changed its website from latoyamaddox.com to dstnews.org. IAPD ↗
$277.7M RAUM · 17 reps · (239) 593-5525 · dstnews.org
Marketing & brand
28
THE RETIREMENT SOLUTION LLC changed its website from bbb.org to vimeo.com. IAPD ↗
$475.3M RAUM · 13 reps · 425-558-3700 · vimeo.com
Marketing & brand
28
VISIONARY HORIZONS, LLC changed its website from visionaryhorizons.com to vimeo.com. IAPD ↗
$252.6M RAUM · 9 reps · 865-675-8496 · vimeo.com
Marketing & brand
28
OCCIDENTAL ASSET MANAGEMENT, LLC changed its website from yourmentalwealthadvisors.com to ymwadvisors.com. IAPD ↗
$625.5M RAUM · 10 reps · 650-344-1600 · ymwadvisors.com
Marketing & brand
28
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS changed its website from billsydor.com to atlwm.com. IAPD ↗
$287.8M RAUM · 17 reps · 602-604-0600 · atlwm.com
Marketing & brand
28
CORE WEALTH ADVISORS, INC. changed its website from guidingyourwealth.com to followthegameplan.com. IAPD ↗
$506.4M RAUM · 8 reps · 863-904-4745 · followthegameplan.com
Marketing & brand
28
SOCHA FINANCIAL GROUP, LLC changed its website from nsocha.com to sochafinancial.com. IAPD ↗
$354.3M RAUM · 5 reps · 607-962-0605 · sochafinancial.com
Marketing & brand
28
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC changed its website from walledlakewealth.com to wlpwm.com. IAPD ↗
$556.6M RAUM · 5 reps · (847) 616-2590 · wlpwm.com
Marketing & brand
28
SERENITY INVESTMENT ADVISORS changed its website from serenitywm.com to yelp.com. IAPD ↗
$296.9M RAUM · 4 reps · 312-734-1415 · yelp.com
Marketing & brand
28
STONE POINT WEALTH LLC changed its website from stonepointwealth.com to stonesummitwealth.com. IAPD ↗
$320.8M RAUM · 3 reps · 305-491-9396 · stonesummitwealth.com
Marketing & brand
25
GCI FINANCIAL GROUP changed its website from gcifinancialgroup.com to gcifg.com. IAPD ↗
$101.1M RAUM · 2 reps · 973-543-2133 · gcifg.com
Marketing & brand
25
PORTFOLIO RESOURCES ADVISOR GROUP, INC. changed its website from prginc.net to ffsins.com. IAPD ↗
$116.0M RAUM · 16 reps · 305-372-0299 · ffsins.com
Marketing & brand
25
IQVESTMENT, LLC changed its website from iqvestment.com to iqvestment.io. IAPD ↗
$2.1M RAUM · 2 reps · 877-486-4702 · iqvestment.io
Marketing & brand
25
HENDERSHOTT WEALTH MANAGEMENT, LLC changed its website from hilaryhendershottwealthmanagement.com to hendershottwealth.com. IAPD ↗
$169.3M RAUM · 5 reps · 877-743-6500 · hendershottwealth.com
Marketing & brand
25
AEGIS WEALTH MANAGEMENT, INC. changed its website from mindiemolina.com to oakwayfinancial.com. IAPD ↗
$143.1M RAUM · 30 reps · (833) 483-8383 · oakwayfinancial.com
Marketing & brand
25
TRU INDEPENDENCE ASSET MANAGEMENT 2, LLC changed its website from relywealth.us to meritwealth.com. IAPD ↗
$117.2M RAUM · 4 reps · 971-371-3444 · meritwealth.com
Marketing & brand
25
CHILDFREE WEALTH changed its website from livelearnplan.com to reddit.com. IAPD ↗
$0 RAUM · 4 reps · 662-222-1227 · reddit.com
Marketing & brand
25
THE WEALTH BOUTIQUE changed its website from melissamyersgroup.com to tanisfingroup.com. IAPD ↗
$100.2M RAUM · 7 reps · 732-752-9191 · tanisfingroup.com
Marketing & brand
20
GLOBAL ATLANTIC INVESTMENT ADVISORS, LLC changed its website from connect.rightprospectus.com to globalatlantic.onlineprospectus.net. IAPD ↗institutional
$2.90B RAUM · 3 reps · 317-223-2708 · globalatlantic.onlineprospectus.net
Marketing & brand
15
EASTSPRING US changed its website from eastspring.com to eastspringinvestments.com. IAPD ↗institutional
$212.5M RAUM · 3 reps · 312-730-9600 · eastspringinvestments.com
Marketing & brand
15
TREVILLE CAPITAL MANAGEMENT LLC changed its website from angel.co to treville.com. IAPD ↗fund
$1.67B RAUM · 13 reps · 212-812-0210 · treville.com
Marketing & brand
15
CLEAR SKY ADVISERS, LLC changed its website from clearskyim.com to clearskycarbonsolutions.com. IAPD ↗fund
$1.04B RAUM · 5 reps · 713-263-3300 · clearskycarbonsolutions.com
Marketing & brand
13
BLACK BAY PARTNERS, LLC changed its website from blackbayenergy.com to blackbaypartners.com. IAPD ↗fund
$489.0M RAUM · 9 reps · 504-227-3020 · blackbaypartners.com
Marketing & brand
1
WFM ASIA (BVI) LIMITED changed its website from wardferry.com to wfmasia.com. IAPD ↗foreign
$3.18B RAUM · 0 reps · 852-2581-2500 · wfmasia.com
Marketing & brand
1
WFM ASIA (HK) LIMITED changed its website from wardferry.com to wfmasia.com. IAPD ↗foreign
$3.18B RAUM · 8 reps · 852-2581-2500 · wfmasia.com
Marketing & brand
pending approved — 34 120-day provisional registration became a full approval.
75
CALIBER WEALTH MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$1.14B RAUM · 10 reps · 913-303-3920
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
75
SERENUS WEALTH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$1.19B RAUM · 4 reps · 917-539-2411 · serenusadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
75
IFC ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$2.40B RAUM · 7 reps · 310-596-1250
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
BRIDGE GENERATIONS WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$268.8M RAUM · 4 reps · 305-666-9411 · bridgewm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
AUTOPILOT's provisional registration is now fully approved. IAPD ↗
$319.5M RAUM · 0 reps · 646-574-4316
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
BEARING POINT CAPITAL's provisional registration is now fully approved. IAPD ↗
$839.0M RAUM · 5 reps · 952-800-6301 · bearingpointcap.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
MAY HILL CAPITAL, LLC's provisional registration is now fully approved. IAPD ↗
$354.6M RAUM · 2 reps · 617-800-0388 · mayhillwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ARGENTARII, LLC's provisional registration is now fully approved. IAPD ↗
$286.2M RAUM · 2 reps · 5134881600 · argentarii.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
SYRIOS WEALTH MANAGEMENT GROUP's provisional registration is now fully approved. IAPD ↗
$398.3M RAUM · 1 reps · 858-333-6151 · syrioswmg.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
CURA WEALTH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$433.9M RAUM · 2 reps · 312-608-8806 · curawealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
VISDOM INVESTMENT GROUP LLC's provisional registration is now fully approved. IAPD ↗
$110.5M RAUM · 1 reps · (203) 803-7222
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MURPHY & MULLICK CAPITAL MANAGEMENT CORP's provisional registration is now fully approved. IAPD ↗
$136.4M RAUM · 3 reps · 631-257-0080 · murphyfinancialgrp.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PROSPERA CAPITAL MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$188.2M RAUM · 2 reps · (480) 235-0769 · amparanwm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
GREENPORTFOLIO INC.'s provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 917-719-0206 · greenportfolio.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
STURMAN WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$102.6M RAUM · 1 reps · (434) 201-2255 · sturmanwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MOMENTUM WEALTH PLANNING's provisional registration is now fully approved. IAPD ↗
$160.7M RAUM · 2 reps · 919-323-4219 · momentumwealthplanning.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
HAMPTON ROCK WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$154.6M RAUM · 1 reps · 512-256-9272
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BLUEHEEL LLC's provisional registration is now fully approved. IAPD ↗
$183.7M RAUM · 2 reps · 214-559-9972
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PREMIER PRIVATE WEALTH MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$107.8M RAUM · 2 reps · 727-281-2882 · premierprivatewealthmgt.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
WAVVEST WEALTH's provisional registration is now fully approved. IAPD ↗
$388,899 RAUM · 2 reps · 630-699-8602 · wavvest.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PARK SQUARE FINANCIAL GROUP LLC's provisional registration is now fully approved. IAPD ↗
$107.8M RAUM · 4 reps · 770-641-1401
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ADVISIFI LLC's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 888 983-2897 · advisifi.co
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BEACON CAPITAL ADVISORY GROUP's provisional registration is now fully approved. IAPD ↗
$105.5M RAUM · 2 reps · 877-801-2322
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
65
ARINI CAPITAL MANAGEMENT US LLC's provisional registration is now fully approved. IAPD ↗institutional
$11.03B RAUM · 6 reps · 332-225-3450
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
ATLAS CAPITAL's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 3 reps · (347) 388-2658
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
AXXES ADVISORS I LLC's provisional registration is now fully approved. IAPD ↗institutional
$100,000 RAUM · 3 reps · 786-885-4821 · axxescapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
WEBS INVESTMENTS INC.'s provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 4 reps · 1-630-235-1507
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
SONE CAPITAL MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗fund
$696.9M RAUM · 5 reps · 212-433-3400
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
THORNBURG BOW RIVER ADVISERS, LLC.'s provisional registration is now fully approved. IAPD ↗fund
$340.9M RAUM · 6 reps · 303-861-8466 · thornburg.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
CAIS ADVISORS LLC's provisional registration is now fully approved. IAPD ↗fund
$79.9M RAUM · 7 reps · 212-300-9350 · caisgroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
IRTH CAPITAL MANAGEMENT, LP's provisional registration is now fully approved. IAPD ↗fund
$202.2M RAUM · 5 reps · 212-597-2476 · irth.capital
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
INVIDIA CAPITAL MANAGEMENT, L.P.'s provisional registration is now fully approved. IAPD ↗fund
$102.2M RAUM · 7 reps · 212-970-6430 · invidiacap.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
KINTAYL CAPITAL LP's provisional registration is now fully approved. IAPD ↗fund
$234.6M RAUM · 3 reps · 631-807-6647 · kintayl.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
40
MODEL SIX OPERATIONS INC.'s provisional registration is now fully approved. IAPD ↗foreign
$46.7M RAUM · 3 reps · 867-794-0742 · modelsix.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
custody started — 32 Firm now reports custody of client assets — surprise exams and controls follow.
70
SERENUS WEALTH ADVISORS, LLC now reports custody of client assets ($316.3M). IAPD ↗
$1.19B RAUM · 4 reps · 917-539-2411 · serenusadvisors.com
ComplianceCustodian
70
IFC ADVISORS LLC now reports custody of client assets ($31.7M). IAPD ↗
$2.40B RAUM · 7 reps · 310-596-1250
ComplianceCustodian
68
UHLER VERTICH WHITE ADVISORS now reports custody of client assets ($640,000). IAPD ↗
$466.0M RAUM · 5 reps · 239-936-6300
ComplianceCustodian
68
JACKSON WEALTH MANAGEMENT, LLC now reports custody of client assets ($820.9M). IAPD ↗
$820.9M RAUM · 6 reps · 407-585-0235 · jacksonwm.com
ComplianceCustodian
68
STEADMONT ADVISORS, LLC now reports custody of client assets ($63.1M). IAPD ↗
$308.1M RAUM · 4 reps · (205) 721-7005 · steadmontadvisors.com
ComplianceCustodian
68
BRIDGE GENERATIONS WEALTH MANAGEMENT now reports custody of client assets ($113.6M). IAPD ↗
$268.8M RAUM · 4 reps · 305-666-9411 · bridgewm.com
ComplianceCustodian
68
KEYVANTAGE WEALTH ADVISORS now reports custody of client assets ($250.8M). IAPD ↗
$284.3M RAUM · 4 reps · 484-935-3003 · keyvantagewealth.com
ComplianceCustodian
68
BEARING POINT CAPITAL now reports custody of client assets ($10.4M). IAPD ↗
$839.0M RAUM · 5 reps · 952-800-6301 · bearingpointcap.com
ComplianceCustodian
68
PRASAD WEALTH PARTNERS now reports custody of client assets ($75.4M). IAPD ↗
$474.9M RAUM · 5 reps · 216-313-9999 · prasadwealth.com
ComplianceCustodian
68
CURA WEALTH ADVISORS, LLC now reports custody of client assets ($13). IAPD ↗
$433.9M RAUM · 2 reps · 312-608-8806 · curawealth.com
ComplianceCustodian
65
THOMPSON DAVIS ASSET MANAGEMENT now reports custody of client assets ($5.8M). IAPD ↗
$159.5M RAUM · 7 reps · 804-644-6380
ComplianceCustodian
65
WEALTH MANAGEMENT CORPORATION now reports custody of client assets ($29.8M). IAPD ↗
$196.6M RAUM · 2 reps · 850-894-7526 · wealthmanagementcorp.com
ComplianceCustodian
65
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT now reports custody of client assets ($45.4M). IAPD ↗
$104.6M RAUM · 1 reps · 603-643-1415
ComplianceCustodian
65
LEWIS ASSET MANAGEMENT now reports custody of client assets ($82.3M). IAPD ↗
$175.9M RAUM · 3 reps · 925-284-4033 · lewisam.com
ComplianceCustodian
65
QP WEALTH MANAGEMENT, LLC now reports custody of client assets ($39.1M). IAPD ↗
$222.1M RAUM · 4 reps · 732-526-2701 · qpwealthmanagement.com
ComplianceCustodian
65
E6 PORTFOLIOS now reports custody of client assets ($26.8M). IAPD ↗
$120.1M RAUM · 3 reps · 801-545-8706
ComplianceCustodian
65
ROCKBRIDGE CAPITAL MANAGEMENT now reports custody of client assets ($68.0M). IAPD ↗
$137.9M RAUM · 3 reps · 571.982.5398 · rockbridgecap.com
ComplianceCustodian
65
MOMENTUM WEALTH PLANNING now reports custody of client assets ($72.9M). IAPD ↗
$160.7M RAUM · 2 reps · 919-323-4219 · momentumwealthplanning.com
ComplianceCustodian
65
TERRAFIRMA WEALTH PARTNERS now reports custody of client assets ($62.9M). IAPD ↗
$80.0M RAUM · 1 reps · 925-639-4592 · terrafirmawealth.com
ComplianceCustodian
65
PLANWISER FINANCIAL now reports custody of client assets ($90.7M). IAPD ↗
$137.2M RAUM · 2 reps · 719-822-0808 · planwiser.com
ComplianceCustodian
65
DEGREEN PRIVATE WEALTH, LLC now reports custody of client assets ($35.1M). IAPD ↗
$80.9M RAUM · 1 reps · 480-771-7000 · degreenprivatewealth.com
ComplianceCustodian
65
YANDELL INVESTMENTS, LLC now reports custody of client assets ($35.0M). IAPD ↗
$150.5M RAUM · 1 reps · 407-898-5777
ComplianceCustodian
60
ARINI CAPITAL MANAGEMENT US LLC now reports custody of client assets ($22.05B). IAPD ↗institutional
$11.03B RAUM · 6 reps · 332-225-3450
ComplianceCustodian
55
INFINITY CAPITAL ADVISORS, LLC now reports custody of client assets ($946.7M). IAPD ↗fund
$1.21B RAUM · 3 reps · 404-458-4448
ComplianceCustodian
55
POLYMER CAPITAL MANAGEMENT (US), LLC now reports custody of client assets ($260.8M). IAPD ↗institutional
$130.4M RAUM · 12 reps · 646-660-0364
ComplianceCustodian
55
LORD ABBETT PRIVATE CREDIT ADVISOR LLC now reports custody of client assets ($38.0M). IAPD ↗institutional
$0 RAUM · 264 reps · 201-827-2000 · lordabbett.com
ComplianceCustodian
53
SONE CAPITAL MANAGEMENT, LLC now reports custody of client assets ($1.39B). IAPD ↗fund
$696.9M RAUM · 5 reps · 212-433-3400
ComplianceCustodian
50
PHORCYS CAPITAL PARTNERS, LLC now reports custody of client assets ($176.8M). IAPD ↗fund
$165.5M RAUM · 5 reps · 770-777-9373 · phorcyscp.com
ComplianceCustodian
50
IRTH CAPITAL MANAGEMENT, LP now reports custody of client assets ($404.5M). IAPD ↗fund
$202.2M RAUM · 5 reps · 212-597-2476 · irth.capital
ComplianceCustodian
50
HERITAGE HOLDING now reports custody of client assets ($5.3M). IAPD ↗fund
$225.3M RAUM · 12 reps · 617-938-3664
ComplianceCustodian
40
ARINI CAPITAL MANAGEMENT LIMITED now reports custody of client assets ($26.14B). IAPD ↗foreign
$13.07B RAUM · 28 reps · +44 (0) 204 571 0034 · arini.com
ComplianceCustodian
35
EQUILIBRIUM WEALTH LLC now reports custody of client assets ($3.1M). IAPD ↗foreign
$87.9M RAUM · 3 reps · (212) 321-0428
ComplianceCustodian
relocation — 30 Main office moved to a different city or state.
50
GOELZER INVESTMENT MANAGEMENT moved its main office from INDIANAPOLIS, IN to CARMEL, IN. IAPD ↗
$3.16B RAUM · 36 reps · 317-264-2600 · goelzerinc.com
Office IT & facilitiesMarketing & brand
50
SISUNG INVESTMENT MANAGEMENT SERVICES LLC moved its main office from NEW ORLEANS, LA to METAIRIE, LA. IAPD ↗
$2.00B RAUM · 4 reps · 504-544-7700 · sisunginvestments.com
Office IT & facilitiesMarketing & brand
50
MAIN STREET RESEARCH LLC moved its main office from SAUSALITO, CA to LAKEVILLE, CT. IAPD ↗
$1.82B RAUM · 11 reps · 860.435.2350
Office IT & facilitiesMarketing & brand
50
FIDUCIARY WEALTH PARTNERS, LLC moved its main office from BOSTON, MA to NEWTON LOWER FALLS, MA. IAPD ↗
$1.33B RAUM · 6 reps · 617-602-1900
Office IT & facilitiesMarketing & brand
50
MERIDIAN WEALTH PARTNERS, LLC moved its main office from BLUE BELL, PA to EXTON, PA. IAPD ↗
$1.12B RAUM · 9 reps · 610-272-4700
Office IT & facilitiesMarketing & brand
50
QUOTIENT WEALTH PARTNERS, LLC moved its main office from IRVING, TX to DALLAS, TX. IAPD ↗
$3.12B RAUM · 21 reps · (972) 807-0003
Office IT & facilitiesMarketing & brand
48
MARIN WEALTH ADVISORS LLC moved its main office from SAN RAFAEL, CA to NOVATO, CA. IAPD ↗
$296.0M RAUM · 5 reps · 415-458-5880 · marinwealthadvisors.com
Office IT & facilitiesMarketing & brand
48
THE RETIREMENT SOLUTION LLC moved its main office from REDMOND, OH to REDMOND, WA. IAPD ↗
$475.3M RAUM · 13 reps · 425-558-3700 · vimeo.com
Office IT & facilitiesMarketing & brand
48
DENVER WEALTH MANAGEMENT, INC. moved its main office from GREENWOOD VILLAGE, CO to DENVER, CO. IAPD ↗
$372.6M RAUM · 10 reps · (303) 261-8015
Office IT & facilitiesMarketing & brand
48
STEADMONT ADVISORS, LLC moved its main office from VESTAVIA HILLS, AL to BIRMINGHAM, AL. IAPD ↗
$308.1M RAUM · 4 reps · (205) 721-7005 · steadmontadvisors.com
Office IT & facilitiesMarketing & brand
45
GARY L. GREENBERG moved its main office from MINNEAPOLIS, MN to EDEN PRAIRIE, MN. IAPD ↗
$133.0M RAUM · 1 reps · 612-360-4557
Office IT & facilitiesMarketing & brand
45
ADVANTAGE INVESTING, INC. moved its main office from CHESAPEAKE, VA to CORAL GABLES, FL. IAPD ↗
$102.2M RAUM · 2 reps · 757-547-8257 · advantageinvesting.com
Office IT & facilitiesMarketing & brand
45
OAKBOURNE ADVISORS moved its main office from HACKETTSTOWN, NJ to BERKELEY HEIGHTS, NJ. IAPD ↗
$195.7M RAUM · 7 reps · 908-850-9991 · nstarinvest.com
Office IT & facilitiesMarketing & brand
45
GUARDIAN WEALTH ADVISORS, LLC moved its main office from BLOOMINGTON, MN to ST LOUIS PARK, MN. IAPD ↗
$249.2M RAUM · 3 reps · 952-746-3211
Office IT & facilitiesMarketing & brand
45
PORTFOLIO RESOURCES ADVISOR GROUP, INC. moved its main office from MIAMI, FL to CORAL GABLES, FL. IAPD ↗
$116.0M RAUM · 16 reps · 305-372-0299 · ffsins.com
Office IT & facilitiesMarketing & brand
45
HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC. moved its main office from SAN RAFAEL, CA to NOVATO, CA. IAPD ↗
$172.6M RAUM · 2 reps · 415-259-3933 · hzadvisors.com
Office IT & facilitiesMarketing & brand
45
BLUE SUMMIT WEALTH MANAGEMENT moved its main office from LA MESA, CA to SAN DIEGO, CA. IAPD ↗
$172.0M RAUM · 3 reps · 619-698-4330 · bluesummitwealth.com
Office IT & facilitiesMarketing & brand
45
FOUR CORNERS FINANCIAL moved its main office from HUNTINGTON, NY to MELVILLE, NY. IAPD ↗
$69.5M RAUM · 2 reps · (631) 271-1170
Office IT & facilitiesMarketing & brand
45
TREASURE INVESTMENT MANAGEMENT, LLC moved its main office from SAN FRANCISCO, CA to SCOTTSDALE, AZ. IAPD ↗
$222.1M RAUM · 1 reps · 224-309-9330 · treasure.tech
Office IT & facilitiesMarketing & brand
45
JB WEALTH ADVISORS LLC moved its main office from NASHVILLE, TN to NORFOLK, VA. IAPD ↗
$11.2M RAUM · 2 reps · 615-560-8268
Office IT & facilitiesMarketing & brand
45
STORYONE FAMILY OFFICE moved its main office from LEAWOOD, KS to OVERLAND PARK, KS. IAPD ↗
$118.3M RAUM · 2 reps · 913-544-0600
Office IT & facilitiesMarketing & brand
35
EIDE BAILLY ADVISORS, LLC moved its main office from FARGO, ND to SIOUX FALLS, SD. IAPD ↗institutional
$0 RAUM · 1 reps · 605-339-1999
Office IT & facilitiesMarketing & brand
35
ALTEGRIS ADVISORS, LLC moved its main office from LA JOLLA, CA to SAN JUAN CAPISTRANO, CA. IAPD ↗institutional
$234.1M RAUM · 1 reps · 858-459-7040
Office IT & facilitiesMarketing & brand
33
CALVERT STREET CAPITAL PARTNERS, INC. moved its main office from LUTHERVILLE, MD to TOWSON, MD. IAPD ↗fund
$389.2M RAUM · 16 reps · 443-573-3700
Office IT & facilitiesMarketing & brand
33
CREO CAPITAL PARTNERS MANAGEMENT LLC moved its main office from GREENWOOD VILLAGE, CO to MIAMI, FL. IAPD ↗fund
$394.2M RAUM · 5 reps · 305-998-0078 · creocapitalpartners.com
Office IT & facilitiesMarketing & brand
33
KENT LAKE PR LLC moved its main office from ANASCO, PR to RINCON, PR. IAPD ↗fund
$496.5M RAUM · 1 reps · 415-799-2720
Office IT & facilitiesMarketing & brand
30
RIVERROCK ASSET MANAGEMENT LLC moved its main office from AUSTIN, TX to HOUSTON, TX. IAPD ↗fund
$148.3M RAUM · 7 reps · 713-375-1300 · riverrockam.com
Office IT & facilitiesMarketing & brand
30
CREDIT VALUE PARTNERS, LLC moved its main office from GREENWICH, CT to SARASOTA, FL. IAPD ↗fund
$161.5M RAUM · 2 reps · 203-893-4700
Office IT & facilitiesMarketing & brand
30
TRIATOMIC CAPITAL moved its main office from NEW YORK, NY to PALO ALTO, CA. IAPD ↗fund
$181.8M RAUM · 4 reps · 917-887-0705 · hkcap.com
Office IT & facilitiesMarketing & brand
15
PARALLEL49 EQUITY moved its main office from LAKE FOREST, IL to VANCOUVER, . IAPD ↗foreign
$179.1M RAUM · 5 reps · +1 604 646 4367
Office IT & facilitiesMarketing & brand
headcount up — 28 Advisory representative count grew materially (>=20% or >=5 reps).
85
STATE FARM INVESTMENT MANAGEMENT CORP. grew from 22 to 110 advisory reps. IAPD ↗
$10.16B RAUM · 110 reps · 800-447-0740
CRMRecruiting & transitionsComplianceFinancial planning software
85
WAVERLY ADVISORS, LLC grew from 119 to 139 advisory reps. IAPD ↗
$13.30B RAUM · 139 reps · 205-871-3334 · waverly-advisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
VANDERBILT ADVISORY SERVICES grew from 107 to 124 advisory reps. IAPD ↗
$1.62B RAUM · 124 reps · 631-845-5100 · commoninterests.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
THE COLONY GROUP, LLC grew from 688 to 730 advisory reps. IAPD ↗
$21.47B RAUM · 730 reps · 617-723-8200
CRMRecruiting & transitionsComplianceFinancial planning software
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC grew from 138 to 184 advisory reps. IAPD ↗
$11.29B RAUM · 184 reps · 312-334-7300 · ifamcapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
BAHL & GAYNOR INC grew from 36 to 46 advisory reps. IAPD ↗
$20.23B RAUM · 46 reps · 513-287-6100
CRMRecruiting & transitionsComplianceFinancial planning software
75
VESTGEN ADVISORS, LLC grew from 13 to 20 advisory reps. IAPD ↗
$660.3M RAUM · 20 reps · 847-907-9600 · investwithwmg.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
SERENUS WEALTH ADVISORS, LLC grew from 1 to 4 advisory reps. IAPD ↗
$1.19B RAUM · 4 reps · 917-539-2411 · serenusadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
72
RVW WEALTH LLC grew from 10 to 12 advisory reps. IAPD ↗
$1.11B RAUM · 12 reps · 310-945-4000 · rvwwealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
72
HOOPOE ADVISORS grew from 5 to 9 advisory reps. IAPD ↗
$402.5M RAUM · 9 reps · 617-708-0639
CRMRecruiting & transitionsComplianceFinancial planning software
72
UNITING WEALTH PARTNERS grew from 0 to 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 479-364-0686 · unitingwealthpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
MIDWEST HERITAGE FINANCIAL ADVISORS grew from 2 to 4 advisory reps. IAPD ↗
$314.2M RAUM · 4 reps · 515-246-8378 · midwestheritage.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
KEYVANTAGE WEALTH ADVISORS grew from 2 to 4 advisory reps. IAPD ↗
$284.3M RAUM · 4 reps · 484-935-3003 · keyvantagewealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
69
TURNER FINANCIAL GROUP, INC. grew from 4 to 8 advisory reps. IAPD ↗
$115.7M RAUM · 8 reps · 850-995-1797 · seelan.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
THECE WEALTH MANAGEMENT grew from 1 to 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · (949) 775-5115 · thece.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
NORTON CAPITAL MANAGEMENT, INC. grew from 2 to 4 advisory reps. IAPD ↗
$132.9M RAUM · 4 reps · (757) 623-1200
CRMRecruiting & transitionsComplianceFinancial planning software
67
VISION RETIREMENT grew from 3 to 5 advisory reps. IAPD ↗
$142.1M RAUM · 5 reps · 201-447-2212
CRMRecruiting & transitionsComplianceFinancial planning software
67
ROUTE 20 PRIVATE WEALTH INC. grew from 2 to 4 advisory reps. IAPD ↗
$5.3M RAUM · 4 reps · 561-843-4678 · route20wealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
62
SIXTH STREET ADVISERS, LLC grew from 284 to 291 advisory reps. IAPD ↗fund
$70.98B RAUM · 291 reps · 469-621-3001
CRMRecruiting & transitionsComplianceFinancial planning software
60
3FOURTEEN & SMI ADVISORY SERVICES, LLC grew from 3 to 5 advisory reps. IAPD ↗institutional
$470.8M RAUM · 5 reps · 800-796-4975
CRMRecruiting & transitionsComplianceFinancial planning software
56
SONE CAPITAL MANAGEMENT, LLC grew from 2 to 5 advisory reps. IAPD ↗fund
$696.9M RAUM · 5 reps · 212-433-3400
CRMRecruiting & transitionsComplianceFinancial planning software
55
BLACK BAY PARTNERS, LLC grew from 7 to 9 advisory reps. IAPD ↗fund
$489.0M RAUM · 9 reps · 504-227-3020 · blackbaypartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
CREO CAPITAL PARTNERS MANAGEMENT LLC grew from 3 to 5 advisory reps. IAPD ↗fund
$394.2M RAUM · 5 reps · 305-998-0078 · creocapitalpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
ERA PARTNERS LLC grew from 9 to 11 advisory reps. IAPD ↗fund
$881.3M RAUM · 11 reps · 415-463-3965
CRMRecruiting & transitionsComplianceFinancial planning software
54
INVIDIA CAPITAL MANAGEMENT, L.P. grew from 3 to 7 advisory reps. IAPD ↗fund
$102.2M RAUM · 7 reps · 212-970-6430 · invidiacap.com
CRMRecruiting & transitionsComplianceFinancial planning software
53
IRTH CAPITAL MANAGEMENT, LP grew from 2 to 5 advisory reps. IAPD ↗fund
$202.2M RAUM · 5 reps · 212-597-2476 · irth.capital
CRMRecruiting & transitionsComplianceFinancial planning software
52
CAIS ADVISORS LLC grew from 5 to 7 advisory reps. IAPD ↗fund
$79.9M RAUM · 7 reps · 212-300-9350 · caisgroup.com
CRMRecruiting & transitionsComplianceFinancial planning software
37
DUNHILL FINANCIAL grew from 4 to 6 advisory reps. IAPD ↗foreign
$240.6M RAUM · 6 reps · +44 7514 993 556
CRMRecruiting & transitionsComplianceFinancial planning software
rename — 25 Primary business name changed: rebrand, merger, or ownership change.
60
BROKERS FINANCIAL is now doing business as INTEGRITY ALLIANCE, LLC. IAPD ↗
$2.00B RAUM · 173 reps · 877-886-1939 · brokersifs.com
Marketing & brandCRM
60
GUIDELINE, INC. is now doing business as GUIDELINE INVESTMENTS, LLC. IAPD ↗
$11.71B RAUM · 3 reps · (888) 228-3491
Marketing & brandCRM
60
PROCYON ADVISORS, LLC is now doing business as PROCYON. IAPD ↗
$6.28B RAUM · 34 reps · (475) 232-2704
Marketing & brandCRM
60
CATALYTIC WEALTH MANAGEMENT is now doing business as GC WEALTH MANAGEMENT RIA, LLC. IAPD ↗
$2.12B RAUM · 17 reps · 617-234-7000 · generalcatalyst.com
Marketing & brandCRM
58
BURNS & LEVINSON ASSET MANAGEMENT is now doing business as MCCARTER PRIVATE WEALTH SERVICES LLC. IAPD ↗
$344.3M RAUM · 2 reps · 617-449-6500 · mccarterpws.com
Marketing & brandCRM
58
COMPREHENSIVE FINANCIAL PLANNING INC is now doing business as COMPREHENSIVE FINANCIAL PLANNING, INC.. IAPD ↗
$363.2M RAUM · 6 reps · 717-569-6667
Marketing & brandCRM
58
WEST MICHIGAN ADVISORS, LLC is now doing business as WEST MICHIGAN ADVISORS. IAPD ↗
$494.8M RAUM · 11 reps · (616) 820-1040
Marketing & brandCRM
55
EPIC TRUST INVESTMENT ADVISORS LLC is now doing business as EPIC PRIVATE WEALTH. IAPD ↗
$241.6M RAUM · 6 reps · 509-591-0014
Marketing & brandCRM
55
APPLIED RESEARCH INVESTMENTS, LLC is now doing business as ARI GROUP, LLC. IAPD ↗
$102.1M RAUM · 5 reps · (212) 419-0400 · arinvgroup.com
Marketing & brandCRM
55
ADVISOR SHARE WEALTH MANAGEMENT is now doing business as ADVISOR SHARE WEALTH MANAGEMENT, LLC. IAPD ↗
$48.0M RAUM · 22 reps · 866-232-3251 · aswealthmanagement.com
Marketing & brandCRM
55
TRU INDEPENDENCE ASSET MANAGEMENT 2 is now doing business as TRU INDEPENDENCE ASSET MANAGEMENT 2, LLC. IAPD ↗
$117.2M RAUM · 4 reps · 971-371-3444 · meritwealth.com
Marketing & brandCRM
55
OMNIA WEALTH MANAGEMENT LLC is now doing business as LUMINVEST WEALTH MANAGEMENT LLC. IAPD ↗
$202.5M RAUM · 2 reps · 480-701-6620
Marketing & brandCRM
55
EVERGREEN MONEY ADVISORS is now doing business as EVERGREEN WEALTH ADVISORS. IAPD ↗
$110.5M RAUM · 14 reps · 888-884-0557 · evergreenmoney.com
Marketing & brandCRM
55
RICHMOND CAPITAL ADVISORS LLC is now doing business as RICHMOND CAPITAL. IAPD ↗
$0 RAUM · 1 reps · 305-510-8833 · richmondcapital.com
Marketing & brandCRM
55
ALECTRA WEALTH ADVISORS, LLC is now doing business as QTR FAMILY WEALTH, LLC. IAPD ↗
$0 RAUM · 3 reps · 407-745-0715 · qtrfamilycapital.com
Marketing & brandCRM
55
BRAMBLE WEALTH PLANNING is now doing business as ELLIS FINANCIAL PLANNING. IAPD ↗
$0 RAUM · 2 reps · 931-905-0050 · retireconfident.com
Marketing & brandCRM
55
GOETZKE CAPITAL LLC is now doing business as WALLEYE PARTNERS LLC. IAPD ↗
$0 RAUM · 1 reps · (608) 332-8434 · walleyepartners.com
Marketing & brandCRM
45
COVENTURE MANAGEMENT, LLC is now doing business as TREVILLE CAPITAL MANAGEMENT LLC. IAPD ↗fund
$1.67B RAUM · 13 reps · 212-812-0210 · treville.com
Marketing & brandCRM
45
THOMASLLOYD GLOBAL ASSET MANAGEMENT (AMERICAS) LLC is now doing business as THOMASLLOYD CLIMATE SOLUTIONS LLC. IAPD ↗institutional
$148.0M RAUM · 0 reps · 914 495-3630
Marketing & brandCRM
43
BLACK BAY ENERGY CAPITAL, LLC is now doing business as BLACK BAY PARTNERS, LLC. IAPD ↗fund
$489.0M RAUM · 9 reps · 504-227-3020 · blackbaypartners.com
Marketing & brandCRM
43
AIMPERA CAPITAL PARTNERS LLC is now doing business as ERA PARTNERS LLC. IAPD ↗fund
$881.3M RAUM · 11 reps · 415-463-3965
Marketing & brandCRM
40
TRIATOMIC MANAGEMENT LP is now doing business as TRIATOMIC CAPITAL. IAPD ↗fund
$181.8M RAUM · 4 reps · 917-887-0705 · hkcap.com
Marketing & brandCRM
30
WARD FERRY MANAGEMENT (BVI) LIMITED is now doing business as WFM ASIA (BVI) LIMITED. IAPD ↗foreign
$3.18B RAUM · 0 reps · 852-2581-2500 · wfmasia.com
Marketing & brandCRM
30
WARD FERRY MANAGEMENT LIMITED is now doing business as WFM ASIA (HK) LIMITED. IAPD ↗foreign
$3.18B RAUM · 8 reps · 852-2581-2500 · wfmasia.com
Marketing & brandCRM
25
KENSYS LTD is now doing business as ONEUP. IAPD ↗foreign
$10,000 RAUM · 2 reps · +44 207 126 8430 · one-up.io
Marketing & brandCRM
aum up — 22 Regulatory AUM up >=25% since last filing.
73
U. S. BOSTON CAPITAL CORPORATION reported RAUM up 156% ($131.1M -> $335.5M). IAPD ↗
$335.5M RAUM · 1 reps · 781-259-1144 · usboston.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
INVESTALL, INC. reported RAUM up 100% ($26.6M -> $53.1M). IAPD ↗
$53.1M RAUM · 8 reps · 212-995-9191
Portfolio / reporting / TAMPCRMFinancial planning software
70
E6 PORTFOLIOS reported RAUM up 2409% ($4.8M -> $120.1M). IAPD ↗
$120.1M RAUM · 3 reps · 801-545-8706
Portfolio / reporting / TAMPCRMFinancial planning software
69
VANDERBILT ADVISORY SERVICES reported RAUM up 47% ($1.10B -> $1.62B). IAPD ↗
$1.62B RAUM · 124 reps · 631-845-5100 · commoninterests.com
Portfolio / reporting / TAMPCRMFinancial planning software
68
TITLEIST ASSET MANAGEMENT, LLC reported RAUM up 41% ($1.40B -> $1.98B). IAPD ↗
$1.98B RAUM · 18 reps · 210-826-2424 · tamgmt.com
Portfolio / reporting / TAMPCRMFinancial planning software
67
CX INSTITUTIONAL, LLC reported RAUM up 39% ($2.39B -> $3.31B). IAPD ↗
$3.31B RAUM · 47 reps · 260-927-1830
Portfolio / reporting / TAMPCRMFinancial planning software
67
KERA CAPITAL PARTNERS reported RAUM up 50% ($507.6M -> $760.8M). IAPD ↗
$760.8M RAUM · 8 reps · 408-668-2201 · keracapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
66
CLARFELD reported RAUM up 33% ($9.52B -> $12.69B). IAPD ↗
$12.69B RAUM · 160 reps · 914-846-0100
Portfolio / reporting / TAMPCRMFinancial planning software
66
HBW ADVISORY SERVICES LLC reported RAUM up 30% ($1.13B -> $1.48B). IAPD ↗
$1.48B RAUM · 63 reps · 800-473-3856
Portfolio / reporting / TAMPCRMFinancial planning software
66
MIDWEST HERITAGE FINANCIAL ADVISORS reported RAUM up 41% ($223.0M -> $314.2M). IAPD ↗
$314.2M RAUM · 4 reps · 515-246-8378 · midwestheritage.com
Portfolio / reporting / TAMPCRMFinancial planning software
66
COPE CORRALES reported RAUM up 60% ($153.4M -> $244.9M). IAPD ↗
$244.9M RAUM · 6 reps · (888) 336-8402
Portfolio / reporting / TAMPCRMFinancial planning software
64
FPC INVESTMENT ADVISORY, INC. reported RAUM up 32% ($225.3M -> $297.2M). IAPD ↗
$297.2M RAUM · 3 reps · (707) 795-0500 · fpcinvestmentadvisory.com
Portfolio / reporting / TAMPCRMFinancial planning software
64
RADIANT GLOBAL INVESTORS LLC reported RAUM up 48% ($25.1M -> $37.0M). IAPD ↗
$37.0M RAUM · 4 reps · 925-899-3600
Portfolio / reporting / TAMPCRMFinancial planning software
63
ELITE LIFE MANAGEMENT LLC reported RAUM up 45% ($88.4M -> $127.9M). IAPD ↗
$127.9M RAUM · 4 reps · (814) 836-5776
Portfolio / reporting / TAMPCRMFinancial planning software
63
OPTIMIZED INVESTMENT PARTNERS, LLC reported RAUM up 171% ($140.0M -> $380.0M). IAPD ↗institutional
$380.0M RAUM · 2 reps · 858-335-1141 · optumizedip.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
3FOURTEEN & SMI ADVISORY SERVICES, LLC reported RAUM up 194% ($160.0M -> $470.8M). IAPD ↗institutional
$470.8M RAUM · 5 reps · 800-796-4975
Portfolio / reporting / TAMPCRMFinancial planning software
60
KELLY INTELLIGENCE reported RAUM up 119% ($17.0M -> $37.2M). IAPD ↗institutional
$37.2M RAUM · 2 reps · 303-499-1959
Portfolio / reporting / TAMPCRMFinancial planning software
60
TERRAFIRMA WEALTH PARTNERS reported RAUM up 29% ($62.0M -> $80.0M). IAPD ↗
$80.0M RAUM · 1 reps · 925-639-4592 · terrafirmawealth.com
Portfolio / reporting / TAMPCRMFinancial planning software
51
PHORCYS CAPITAL PARTNERS, LLC reported RAUM up 58% ($105.0M -> $165.5M). IAPD ↗fund
$165.5M RAUM · 5 reps · 770-777-9373 · phorcyscp.com
Portfolio / reporting / TAMPCRMFinancial planning software
43
CARDINAL POINT WEALTH MANAGEMENT reported RAUM up 69% ($1.58B -> $2.67B). IAPD ↗foreign
$2.67B RAUM · 22 reps · 866-213-2036 · canadausfinancialplanning.com
Portfolio / reporting / TAMPCRMFinancial planning software
33
GOODREID INVESTMENT COUNSEL CORP. reported RAUM up 29% ($356.0M -> $458.4M). IAPD ↗foreign
$458.4M RAUM · 7 reps · (416) 364-0890 · goodreid.com
Portfolio / reporting / TAMPCRMFinancial planning software
30
DUBEAU CAPITAL USA INC. reported RAUM up 27% ($28.3M -> $36.0M). IAPD ↗foreign
$36.0M RAUM · 4 reps · 418-628-5533
Portfolio / reporting / TAMPCRMFinancial planning software
headcount down — 13 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
KIMELMAN & BAIRD, LLC shrank from 6 to 4 advisory reps. IAPD ↗
$1.36B RAUM · 4 reps · 212-686-0021
Recruiting & transitionsM&A & valuation
55
BARES CAPITAL MANAGEMENT, INC. shrank from 9 to 7 advisory reps. IAPD ↗
$1.17B RAUM · 7 reps · 512-542-1083 · barescapital.com
Recruiting & transitionsM&A & valuation
53
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS shrank from 41 to 17 advisory reps. IAPD ↗
$287.8M RAUM · 17 reps · 602-604-0600 · atlwm.com
Recruiting & transitionsM&A & valuation
53
ACT ADVISORS shrank from 6 to 4 advisory reps. IAPD ↗
$374.1M RAUM · 4 reps · (828) 398-2802
Recruiting & transitionsM&A & valuation
53
MGO PRIVATE WEALTH, LLC shrank from 4 to 2 advisory reps. IAPD ↗
$287.5M RAUM · 2 reps · (949) 207-3241 · mgoprivatewealth.com
Recruiting & transitionsM&A & valuation
53
HEDONOVA ADVISORS LLC shrank from 16 to 11 advisory reps. IAPD ↗
$643.2M RAUM · 11 reps · 213-340-1334
Recruiting & transitionsM&A & valuation
50
TWEDDELL GOLDBERG INVESTMENT MANAGEMENT shrank from 4 to 2 advisory reps. IAPD ↗
$130.7M RAUM · 2 reps · 209-536-9734 · tginvesting.com
Recruiting & transitionsM&A & valuation
50
GUARDIAN WEALTH ADVISORS, LLC shrank from 5 to 3 advisory reps. IAPD ↗
$249.2M RAUM · 3 reps · 952-746-3211
Recruiting & transitionsM&A & valuation
50
FAMILY FINANCIAL shrank from 4 to 2 advisory reps. IAPD ↗
$184.9M RAUM · 2 reps · (310) 598-8481 · familyfinancial.biz
Recruiting & transitionsM&A & valuation
40
EIDE BAILLY ADVISORS, LLC shrank from 16 to 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 605-339-1999
Recruiting & transitionsM&A & valuation
40
AVIVA INVESTORS AMERICAS shrank from 20 to 0 advisory reps. IAPD ↗institutional
$59.1M RAUM · 0 reps · 312-873-5800
Recruiting & transitionsM&A & valuation
38
CROWDSTREET ADVISORS, LLC shrank from 2 to 0 advisory reps. IAPD ↗fund
$308.7M RAUM · 0 reps · (888) 432-7693 · crowdstreet.com
Recruiting & transitionsM&A & valuation
38
KENT LAKE PR LLC shrank from 5 to 1 advisory reps. IAPD ↗fund
$496.5M RAUM · 1 reps · 415-799-2720
Recruiting & transitionsM&A & valuation
private funds started — 11 Firm reports private funds for the first time.
70
ROUTE 20 PRIVATE WEALTH INC. now reports 1 private fund(s) ($5.3M gross). IAPD ↗
$5.3M RAUM · 4 reps · 561-843-4678 · route20wealth.com
Fund administrationCompliance
60
ARES CAPITAL MANAGEMENT II LLC now reports 1 private fund(s) ($372.8M gross). IAPD ↗fund
$5.26B RAUM · 519 reps · 310-201-4100
Fund administrationCompliance
60
ARGO INFRASTRUCTURE PARTNERS LP now reports 14 private fund(s) ($5.79B gross). IAPD ↗fund
$6.45B RAUM · 15 reps · 212-521-5096 · argoip.com
Fund administrationCompliance
60
DURATION CAPITAL PARTNERS LLC now reports 14 private fund(s) ($3.49B gross). IAPD ↗fund
$3.34B RAUM · 14 reps · (646) 303-7130 · durationcapitalpartners.com
Fund administrationCompliance
55
CAIS ADVISORS LLC now reports 1 private fund(s) ($0 gross). IAPD ↗fund
$79.9M RAUM · 7 reps · 212-300-9350 · caisgroup.com
Fund administrationCompliance
55
MOUNTAIN POINT CREDIT MANAGEMENT LLC now reports 1 private fund(s) ($0 gross). IAPD ↗fund
$0 RAUM · 1 reps · 203-900-5855
Fund administrationCompliance
55
IRTH CAPITAL MANAGEMENT, LP now reports 1 private fund(s) ($51.4M gross). IAPD ↗fund
$202.2M RAUM · 5 reps · 212-597-2476 · irth.capital
Fund administrationCompliance
55
PERMIRA CREDIT LLC now reports 1 private fund(s) ($183.2M gross). IAPD ↗fund
$183.2M RAUM · 17 reps · 650-681-4701
Fund administrationCompliance
55
INVIDIA CAPITAL MANAGEMENT, L.P. now reports 2 private fund(s) ($102.0M gross). IAPD ↗fund
$102.2M RAUM · 7 reps · 212-970-6430 · invidiacap.com
Fund administrationCompliance
55
HERITAGE HOLDING now reports 1 private fund(s) ($225.3M gross). IAPD ↗fund
$225.3M RAUM · 12 reps · 617-938-3664
Fund administrationCompliance
45
ARINI CAPITAL MANAGEMENT LIMITED now reports 12 private fund(s) ($13.07B gross). IAPD ↗foreign
$13.07B RAUM · 28 reps · +44 (0) 204 571 0034 · arini.com
Fund administrationCompliance
aum down — 11 Regulatory AUM down >=25% since last filing.
50
BARES CAPITAL MANAGEMENT, INC. reported RAUM down 57% ($2.72B -> $1.17B). IAPD ↗
$1.17B RAUM · 7 reps · 512-542-1083 · barescapital.com
M&A & valuationRecruiting & transitions
48
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS reported RAUM down 78% ($1.31B -> $287.8M). IAPD ↗
$287.8M RAUM · 17 reps · 602-604-0600 · atlwm.com
M&A & valuationRecruiting & transitions
45
CLOCKWISE CAPITAL LLC reported RAUM down 80% ($330.1M -> $67.3M). IAPD ↗
$67.3M RAUM · 2 reps · (305) 200-8800
M&A & valuationRecruiting & transitions
45
KEY WEALTH ADVISORS LLC reported RAUM down 87% ($71.5M -> $9.3M). IAPD ↗
$9.3M RAUM · 1 reps · (256) 715-9611
M&A & valuationRecruiting & transitions
35
AVIVA INVESTORS AMERICAS reported RAUM down 100% ($18.58B -> $59.1M). IAPD ↗institutional
$59.1M RAUM · 0 reps · 312-873-5800
M&A & valuationRecruiting & transitions
35
THOMASLLOYD CLIMATE SOLUTIONS LLC reported RAUM down 84% ($946.0M -> $148.0M). IAPD ↗institutional
$148.0M RAUM · 0 reps · 914 495-3630
M&A & valuationRecruiting & transitions
33
CROWDSTREET ADVISORS, LLC reported RAUM down 39% ($508.6M -> $308.7M). IAPD ↗fund
$308.7M RAUM · 0 reps · (888) 432-7693 · crowdstreet.com
M&A & valuationRecruiting & transitions
30
PRCE MANAGEMENT LLC reported RAUM down 31% ($38.0M -> $26.1M). IAPD ↗fund
$26.1M RAUM · 2 reps · 770-777-9373
M&A & valuationRecruiting & transitions
30
RAPID SCALE LLC reported RAUM down 82% ($85.0M -> $15.0M). IAPD ↗fund
$15.0M RAUM · 1 reps · 6509187684 · rapidscale.vc
M&A & valuationRecruiting & transitions
15
PARALLEL49 EQUITY reported RAUM down 42% ($310.9M -> $179.1M). IAPD ↗foreign
$179.1M RAUM · 5 reps · +1 604 646 4367
M&A & valuationRecruiting & transitions
15
HARWOOD CAPITAL LLP reported RAUM down 83% ($306.4M -> $50.9M). IAPD ↗foreign
$50.9M RAUM · 5 reps · 44 207 640 3200 · harwoodcapital.co.uk
M&A & valuationRecruiting & transitions
planning clients up — 8 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
73
FPC INVESTMENT ADVISORY, INC. reports 101-250 financial-planning clients, up from 0. IAPD ↗
$297.2M RAUM · 3 reps · (707) 795-0500 · fpcinvestmentadvisory.com
Financial planning software
70
PRASAD WEALTH PARTNERS reports 51-100 financial-planning clients, up from 0. IAPD ↗
$474.9M RAUM · 5 reps · 216-313-9999 · prasadwealth.com
Financial planning software
64
BEARING POINT CAPITAL reports 11-25 financial-planning clients, up from 0. IAPD ↗
$839.0M RAUM · 5 reps · 952-800-6301 · bearingpointcap.com
Financial planning software
63
VANDERBILT ADVISORY SERVICES reports 101-250 financial-planning clients, up from 51-100. IAPD ↗
$1.62B RAUM · 124 reps · 631-845-5100 · commoninterests.com
Financial planning software
61
KEYVANTAGE WEALTH ADVISORS reports 1-10 financial-planning clients, up from 0. IAPD ↗
$284.3M RAUM · 4 reps · 484-935-3003 · keyvantagewealth.com
Financial planning software
58
PORTFOLIO RESOURCES ADVISOR GROUP, INC. reports 1-10 financial-planning clients, up from 0. IAPD ↗
$116.0M RAUM · 16 reps · 305-372-0299 · ffsins.com
Financial planning software
58
APFORIA reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
$79.0M RAUM · 9 reps · 757-407-4189 · myciwm.com
Financial planning software
58
PATEL CAPITAL MANAGEMENT reports 1-10 financial-planning clients, up from 0. IAPD ↗
$7.0M RAUM · 1 reps · 415-867-4301 · patelcapitalmgmt.com
Financial planning software
reorganization — 5 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
45
HORNOR, TOWNSEND & KENT, LLC filed an Item 4A succession naming HORNOR, TOWNSEND & KENT, LLC (CRD 4031) — an entity change, not a deal. IAPD ↗
$6.86B RAUM · 417 reps · 215-957-7300 · htk.com
Integration & migration consultingCompliance
45
GUIDELINE INVESTMENTS, LLC filed an Item 4A succession naming GUIDELINE, INC. (CRD 281515) — an entity change, not a deal. IAPD ↗
$11.71B RAUM · 3 reps · (888) 228-3491
Integration & migration consultingCompliance
35
ICON INFRASTRUCTURE NORTH AMERICA INC. filed an Item 4A succession naming ICON INFRASTRUCTURE NORTH AMERICA INC. (CRD 306800) — an entity change, not a deal. IAPD ↗institutional
$1.45B RAUM · 14 reps · 1 929 6884283 · iconinfrastructure.com
Integration & migration consultingCompliance
30
PENN MUTUAL ASSET MANAGEMENT, LLC filed an Item 4A succession naming PENN MUTUAL ASSET MANAGEMENT, LLC (CRD 107518) — an entity change, not a deal. IAPD ↗fund
$33.66B RAUM · 33 reps · 215-956-8114 · pennmutualam.com
Integration & migration consultingCompliance
28
KENT LAKE PR LLC filed an Item 4A succession naming KENT LAKE PR LLC (CRD 299642) — an entity change, not a deal. IAPD ↗fund
$496.5M RAUM · 1 reps · 415-799-2720
Integration & migration consultingCompliance
wrap program started — 4 Firm began participating in a wrap-fee program (Item 5I(1)).
65
STATE FARM INVESTMENT MANAGEMENT CORP. began participating in a wrap-fee program. IAPD ↗
$10.16B RAUM · 110 reps · 800-447-0740
Portfolio / reporting / TAMPCompliance
65
THE COLONY GROUP, LLC began participating in a wrap-fee program. IAPD ↗
$21.47B RAUM · 730 reps · 617-723-8200
Portfolio / reporting / TAMPCompliance
63
REFRAME WEALTH, LLC began participating in a wrap-fee program. IAPD ↗
$334.5M RAUM · 2 reps · (571) 354-8471 · reframewealth.com
Portfolio / reporting / TAMPCompliance
60
CATOCTIN RIDGE WEALTH PARTNER began participating in a wrap-fee program. IAPD ↗
$0 RAUM · 2 reps · 301-304-6004
Portfolio / reporting / TAMPCompliance
aum crossed 1b — 2 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC crossed $1B in regulatory AUM ($854.3M -> $1.12B). IAPD ↗
$1.12B RAUM · 5 reps · (408) 217-2000 · wrpwealth.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
SHERMAN PORTFOLIOS, LLC crossed $1B in regulatory AUM ($202.5M -> $1.60B). IAPD ↗institutional
$1.60B RAUM · 4 reps · 800-634-2008 · shermanportfolios.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
planning started — 2 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
78
ASSETBUILDER, INC. now offers financial planning (Item 5G(1)). IAPD ↗
$687.0M RAUM · 7 reps · 972-535-4040
Financial planning softwareCRM
75
UNITING WEALTH PARTNERS now offers financial planning (Item 5G(1)). IAPD ↗
$0 RAUM · 7 reps · 479-364-0686 · unitingwealthpartners.com
Financial planning softwareCRM
aum crossed 500m — 2 Regulatory AUM crossed $500M.
70
SEARLE & CO. crossed $500M in regulatory AUM ($397.4M -> $649.0M). IAPD ↗
$649.0M RAUM · 7 reps · 203-869-4800 · searleco.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
5C CAPITAL MANAGEMENT, LLC crossed $500M in regulatory AUM ($474.8M -> $525.0M). IAPD ↗
$525.0M RAUM · 7 reps · (347) 331-0648 · 5cwealth.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting

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