← Tributary

What changed in the January 2025 SEC adviser roster

869 events across 741 firms · 666 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

236state expansion
134deregistered
92new office
70new registration
48aum up
47disclosure added
40pending approved
35headcount up
28headcount down
25custody started
25relocation
25website changed

Top 25 signals — US wealth firms

98
CURRY WEBB WEALTH MANAGEMENT LLC (INDIANAPOLIS, IN) is newly SEC-registered with $293.8M RAUM and 4 advisory reps. IAPD ↗
$293.8M RAUM · 4 reps · 317-999-5323 · currywebb.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE CHIP MONEY MANAGEMENT, LLC (location n/a) is newly SEC-registered with $41.5M RAUM and 1 advisory reps. IAPD ↗
$41.5M RAUM · 1 reps · 540 431-5802
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BERKELEY ADVISORS, INC. (ATLANTA, GA) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
$102.0M RAUM · 2 reps · 404-580-9560 · berkeleyadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLADWYN FINANCIAL ADVISORS, INC. (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
$141.9M RAUM · 1 reps · 703-810-8424 · gladwynfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HEALTHVIEW ASSET MANAGEMENT, INC. (PITTSBURGH, PA) is newly SEC-registered with $100.4M RAUM and 3 advisory reps. IAPD ↗
$100.4M RAUM · 3 reps · 412-782-5400 · healthviewria.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORTRESS FINANCIAL SOLUTIONS, LLC (TUCSON, AZ) is newly SEC-registered with $117.9M RAUM and 6 advisory reps. IAPD ↗
$117.9M RAUM · 6 reps · 520-751-8600 · fortresscompany.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALISADE WEALTH MANAGEMENT (DRAPER, UT) is newly SEC-registered with $116.0M RAUM and 3 advisory reps. IAPD ↗
$116.0M RAUM · 3 reps · 650-387-3808 · jacobsequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AVENTUS INVESTMENT ADVISORS, INC. (CORNELIUS, NC) is newly SEC-registered with $118.5M RAUM and 2 advisory reps. IAPD ↗
$118.5M RAUM · 2 reps · 704-237-4207
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLAIR HALL ADVISORS, LLC (location n/a) is newly SEC-registered with $110.9M RAUM and 2 advisory reps. IAPD ↗
$110.9M RAUM · 2 reps · (206) 397-0325 · blairhalladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GARNETT INVESTMENT STRATEGIES (BEATRICE, NE) is newly SEC-registered with $122.9M RAUM and 2 advisory reps. IAPD ↗
$122.9M RAUM · 2 reps · 402-223-3433 · garnettinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRILLIANT ADVICE, LLC (CINCINNATI, OH) is newly SEC-registered with $133.7M RAUM and 2 advisory reps. IAPD ↗
$133.7M RAUM · 2 reps · 513-703-2100 · brilliantadvice.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TEPP WEALTH MANAGEMENT (WESTFIELD, NJ) is newly SEC-registered with $149.2M RAUM and 2 advisory reps. IAPD ↗
$149.2M RAUM · 2 reps · 908-301-1200 · teppwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLF ASSET MANAGEMENT, INC. (MADISON, WI) is newly SEC-registered with $105.9M RAUM and 5 advisory reps. IAPD ↗
$105.9M RAUM · 5 reps · 8885053956 · clfasset.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UNIFIED WEALTH MANAGEMENT LLC (OLDSMAR, FL) is newly SEC-registered with $106.5M RAUM and 2 advisory reps. IAPD ↗
$106.5M RAUM · 2 reps · 727-216-8051
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UNITED VALUE CAPITAL, LLC (location n/a) is newly SEC-registered with $129.0M RAUM and 1 advisory reps. IAPD ↗
$129.0M RAUM · 1 reps · 801-310-8101 · unitedvaluecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GUNDER WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $103.1M RAUM and 2 advisory reps. IAPD ↗
$103.1M RAUM · 2 reps · 248-686-0820
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPREHENSIVE FINANCIAL CONSULTANTS (CICERO, IN) is newly SEC-registered with $140.3M RAUM and 2 advisory reps. IAPD ↗
$140.3M RAUM · 2 reps · 317-984-7693 · cfcplans.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CURTIS WEALTH MANAGEMENT LLC (HENDERSON, NV) is newly SEC-registered with $144.9M RAUM and 2 advisory reps. IAPD ↗
$144.9M RAUM · 2 reps · 702-720-3551
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHEPHERD WEALTH MANAGEMENT (CINCINNATI, OH) is newly SEC-registered with $101.6M RAUM and 2 advisory reps. IAPD ↗
$101.6M RAUM · 2 reps · (513) 630-2664 · shepherdwm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KERUSSO CAPITAL MANAGEMENT, LLC (WINSTON-SALEM, NC) is newly SEC-registered with $163.1M RAUM and 2 advisory reps. IAPD ↗
$163.1M RAUM · 2 reps · 404-226-2537
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRICKSTONE ADVISORS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 954-856-5532 · brickstoneadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RBG WEALTH ADVISORS LLC (MEMPHIS, TN) is newly SEC-registered with $103.0M RAUM and 3 advisory reps. IAPD ↗
$103.0M RAUM · 3 reps · 901-244-2980
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HALLSTATT ADVISORS L.P. (NEW YORK, NY) is newly SEC-registered with $67.3M RAUM and 1 advisory reps. IAPD ↗
$67.3M RAUM · 1 reps · 212-804-9085
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WALLEM ASSOCIATES, INC. (LOVES PARK, IL) is newly SEC-registered with $107.0M RAUM and 2 advisory reps. IAPD ↗
$107.0M RAUM · 2 reps · 815-636-4459 · wallemassociates.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TREND TRADE PRO, LLC (PASADENA, CA) is newly SEC-registered with $182.3M RAUM and 1 advisory reps. IAPD ↗
$182.3M RAUM · 1 reps · 818-288-6338
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 223 firms

98
CURRY WEBB WEALTH MANAGEMENT LLC (INDIANAPOLIS, IN) is newly SEC-registered with $293.8M RAUM and 4 advisory reps. IAPD ↗
$293.8M RAUM · 4 reps · 317-999-5323 · currywebb.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE CHIP MONEY MANAGEMENT, LLC (location n/a) is newly SEC-registered with $41.5M RAUM and 1 advisory reps. IAPD ↗
$41.5M RAUM · 1 reps · 540 431-5802
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BERKELEY ADVISORS, INC. (ATLANTA, GA) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
$102.0M RAUM · 2 reps · 404-580-9560 · berkeleyadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLADWYN FINANCIAL ADVISORS, INC. (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
$141.9M RAUM · 1 reps · 703-810-8424 · gladwynfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HEALTHVIEW ASSET MANAGEMENT, INC. (PITTSBURGH, PA) is newly SEC-registered with $100.4M RAUM and 3 advisory reps. IAPD ↗
$100.4M RAUM · 3 reps · 412-782-5400 · healthviewria.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORTRESS FINANCIAL SOLUTIONS, LLC (TUCSON, AZ) is newly SEC-registered with $117.9M RAUM and 6 advisory reps. IAPD ↗
$117.9M RAUM · 6 reps · 520-751-8600 · fortresscompany.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALISADE WEALTH MANAGEMENT (DRAPER, UT) is newly SEC-registered with $116.0M RAUM and 3 advisory reps. IAPD ↗
$116.0M RAUM · 3 reps · 650-387-3808 · jacobsequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AVENTUS INVESTMENT ADVISORS, INC. (CORNELIUS, NC) is newly SEC-registered with $118.5M RAUM and 2 advisory reps. IAPD ↗
$118.5M RAUM · 2 reps · 704-237-4207
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLAIR HALL ADVISORS, LLC (location n/a) is newly SEC-registered with $110.9M RAUM and 2 advisory reps. IAPD ↗
$110.9M RAUM · 2 reps · (206) 397-0325 · blairhalladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GARNETT INVESTMENT STRATEGIES (BEATRICE, NE) is newly SEC-registered with $122.9M RAUM and 2 advisory reps. IAPD ↗
$122.9M RAUM · 2 reps · 402-223-3433 · garnettinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 213 more in the CSV export.

Financial planning software 137 firms

98
CURRY WEBB WEALTH MANAGEMENT LLC (INDIANAPOLIS, IN) is newly SEC-registered with $293.8M RAUM and 4 advisory reps. IAPD ↗
$293.8M RAUM · 4 reps · 317-999-5323 · currywebb.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE CHIP MONEY MANAGEMENT, LLC (location n/a) is newly SEC-registered with $41.5M RAUM and 1 advisory reps. IAPD ↗
$41.5M RAUM · 1 reps · 540 431-5802
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BERKELEY ADVISORS, INC. (ATLANTA, GA) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
$102.0M RAUM · 2 reps · 404-580-9560 · berkeleyadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLADWYN FINANCIAL ADVISORS, INC. (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
$141.9M RAUM · 1 reps · 703-810-8424 · gladwynfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HEALTHVIEW ASSET MANAGEMENT, INC. (PITTSBURGH, PA) is newly SEC-registered with $100.4M RAUM and 3 advisory reps. IAPD ↗
$100.4M RAUM · 3 reps · 412-782-5400 · healthviewria.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORTRESS FINANCIAL SOLUTIONS, LLC (TUCSON, AZ) is newly SEC-registered with $117.9M RAUM and 6 advisory reps. IAPD ↗
$117.9M RAUM · 6 reps · 520-751-8600 · fortresscompany.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALISADE WEALTH MANAGEMENT (DRAPER, UT) is newly SEC-registered with $116.0M RAUM and 3 advisory reps. IAPD ↗
$116.0M RAUM · 3 reps · 650-387-3808 · jacobsequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AVENTUS INVESTMENT ADVISORS, INC. (CORNELIUS, NC) is newly SEC-registered with $118.5M RAUM and 2 advisory reps. IAPD ↗
$118.5M RAUM · 2 reps · 704-237-4207
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLAIR HALL ADVISORS, LLC (location n/a) is newly SEC-registered with $110.9M RAUM and 2 advisory reps. IAPD ↗
$110.9M RAUM · 2 reps · (206) 397-0325 · blairhalladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GARNETT INVESTMENT STRATEGIES (BEATRICE, NE) is newly SEC-registered with $122.9M RAUM and 2 advisory reps. IAPD ↗
$122.9M RAUM · 2 reps · 402-223-3433 · garnettinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 127 more in the CSV export.

Compliance 383 firms

98
CURRY WEBB WEALTH MANAGEMENT LLC (INDIANAPOLIS, IN) is newly SEC-registered with $293.8M RAUM and 4 advisory reps. IAPD ↗
$293.8M RAUM · 4 reps · 317-999-5323 · currywebb.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE CHIP MONEY MANAGEMENT, LLC (location n/a) is newly SEC-registered with $41.5M RAUM and 1 advisory reps. IAPD ↗
$41.5M RAUM · 1 reps · 540 431-5802
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BERKELEY ADVISORS, INC. (ATLANTA, GA) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
$102.0M RAUM · 2 reps · 404-580-9560 · berkeleyadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLADWYN FINANCIAL ADVISORS, INC. (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
$141.9M RAUM · 1 reps · 703-810-8424 · gladwynfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HEALTHVIEW ASSET MANAGEMENT, INC. (PITTSBURGH, PA) is newly SEC-registered with $100.4M RAUM and 3 advisory reps. IAPD ↗
$100.4M RAUM · 3 reps · 412-782-5400 · healthviewria.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORTRESS FINANCIAL SOLUTIONS, LLC (TUCSON, AZ) is newly SEC-registered with $117.9M RAUM and 6 advisory reps. IAPD ↗
$117.9M RAUM · 6 reps · 520-751-8600 · fortresscompany.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALISADE WEALTH MANAGEMENT (DRAPER, UT) is newly SEC-registered with $116.0M RAUM and 3 advisory reps. IAPD ↗
$116.0M RAUM · 3 reps · 650-387-3808 · jacobsequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AVENTUS INVESTMENT ADVISORS, INC. (CORNELIUS, NC) is newly SEC-registered with $118.5M RAUM and 2 advisory reps. IAPD ↗
$118.5M RAUM · 2 reps · 704-237-4207
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLAIR HALL ADVISORS, LLC (location n/a) is newly SEC-registered with $110.9M RAUM and 2 advisory reps. IAPD ↗
$110.9M RAUM · 2 reps · (206) 397-0325 · blairhalladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GARNETT INVESTMENT STRATEGIES (BEATRICE, NE) is newly SEC-registered with $122.9M RAUM and 2 advisory reps. IAPD ↗
$122.9M RAUM · 2 reps · 402-223-3433 · garnettinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 373 more in the CSV export.

Portfolio / reporting / TAMP 119 firms

98
CURRY WEBB WEALTH MANAGEMENT LLC (INDIANAPOLIS, IN) is newly SEC-registered with $293.8M RAUM and 4 advisory reps. IAPD ↗
$293.8M RAUM · 4 reps · 317-999-5323 · currywebb.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE CHIP MONEY MANAGEMENT, LLC (location n/a) is newly SEC-registered with $41.5M RAUM and 1 advisory reps. IAPD ↗
$41.5M RAUM · 1 reps · 540 431-5802
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BERKELEY ADVISORS, INC. (ATLANTA, GA) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
$102.0M RAUM · 2 reps · 404-580-9560 · berkeleyadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLADWYN FINANCIAL ADVISORS, INC. (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
$141.9M RAUM · 1 reps · 703-810-8424 · gladwynfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HEALTHVIEW ASSET MANAGEMENT, INC. (PITTSBURGH, PA) is newly SEC-registered with $100.4M RAUM and 3 advisory reps. IAPD ↗
$100.4M RAUM · 3 reps · 412-782-5400 · healthviewria.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORTRESS FINANCIAL SOLUTIONS, LLC (TUCSON, AZ) is newly SEC-registered with $117.9M RAUM and 6 advisory reps. IAPD ↗
$117.9M RAUM · 6 reps · 520-751-8600 · fortresscompany.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALISADE WEALTH MANAGEMENT (DRAPER, UT) is newly SEC-registered with $116.0M RAUM and 3 advisory reps. IAPD ↗
$116.0M RAUM · 3 reps · 650-387-3808 · jacobsequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AVENTUS INVESTMENT ADVISORS, INC. (CORNELIUS, NC) is newly SEC-registered with $118.5M RAUM and 2 advisory reps. IAPD ↗
$118.5M RAUM · 2 reps · 704-237-4207
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLAIR HALL ADVISORS, LLC (location n/a) is newly SEC-registered with $110.9M RAUM and 2 advisory reps. IAPD ↗
$110.9M RAUM · 2 reps · (206) 397-0325 · blairhalladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GARNETT INVESTMENT STRATEGIES (BEATRICE, NE) is newly SEC-registered with $122.9M RAUM and 2 advisory reps. IAPD ↗
$122.9M RAUM · 2 reps · 402-223-3433 · garnettinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 109 more in the CSV export.

Custodian 68 firms

98
CURRY WEBB WEALTH MANAGEMENT LLC (INDIANAPOLIS, IN) is newly SEC-registered with $293.8M RAUM and 4 advisory reps. IAPD ↗
$293.8M RAUM · 4 reps · 317-999-5323 · currywebb.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE CHIP MONEY MANAGEMENT, LLC (location n/a) is newly SEC-registered with $41.5M RAUM and 1 advisory reps. IAPD ↗
$41.5M RAUM · 1 reps · 540 431-5802
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BERKELEY ADVISORS, INC. (ATLANTA, GA) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
$102.0M RAUM · 2 reps · 404-580-9560 · berkeleyadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLADWYN FINANCIAL ADVISORS, INC. (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
$141.9M RAUM · 1 reps · 703-810-8424 · gladwynfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HEALTHVIEW ASSET MANAGEMENT, INC. (PITTSBURGH, PA) is newly SEC-registered with $100.4M RAUM and 3 advisory reps. IAPD ↗
$100.4M RAUM · 3 reps · 412-782-5400 · healthviewria.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORTRESS FINANCIAL SOLUTIONS, LLC (TUCSON, AZ) is newly SEC-registered with $117.9M RAUM and 6 advisory reps. IAPD ↗
$117.9M RAUM · 6 reps · 520-751-8600 · fortresscompany.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALISADE WEALTH MANAGEMENT (DRAPER, UT) is newly SEC-registered with $116.0M RAUM and 3 advisory reps. IAPD ↗
$116.0M RAUM · 3 reps · 650-387-3808 · jacobsequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AVENTUS INVESTMENT ADVISORS, INC. (CORNELIUS, NC) is newly SEC-registered with $118.5M RAUM and 2 advisory reps. IAPD ↗
$118.5M RAUM · 2 reps · 704-237-4207
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLAIR HALL ADVISORS, LLC (location n/a) is newly SEC-registered with $110.9M RAUM and 2 advisory reps. IAPD ↗
$110.9M RAUM · 2 reps · (206) 397-0325 · blairhalladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GARNETT INVESTMENT STRATEGIES (BEATRICE, NE) is newly SEC-registered with $122.9M RAUM and 2 advisory reps. IAPD ↗
$122.9M RAUM · 2 reps · 402-223-3433 · garnettinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 58 more in the CSV export.

Marketing & brand 345 firms

98
CURRY WEBB WEALTH MANAGEMENT LLC (INDIANAPOLIS, IN) is newly SEC-registered with $293.8M RAUM and 4 advisory reps. IAPD ↗
$293.8M RAUM · 4 reps · 317-999-5323 · currywebb.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE CHIP MONEY MANAGEMENT, LLC (location n/a) is newly SEC-registered with $41.5M RAUM and 1 advisory reps. IAPD ↗
$41.5M RAUM · 1 reps · 540 431-5802
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BERKELEY ADVISORS, INC. (ATLANTA, GA) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
$102.0M RAUM · 2 reps · 404-580-9560 · berkeleyadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLADWYN FINANCIAL ADVISORS, INC. (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
$141.9M RAUM · 1 reps · 703-810-8424 · gladwynfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HEALTHVIEW ASSET MANAGEMENT, INC. (PITTSBURGH, PA) is newly SEC-registered with $100.4M RAUM and 3 advisory reps. IAPD ↗
$100.4M RAUM · 3 reps · 412-782-5400 · healthviewria.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORTRESS FINANCIAL SOLUTIONS, LLC (TUCSON, AZ) is newly SEC-registered with $117.9M RAUM and 6 advisory reps. IAPD ↗
$117.9M RAUM · 6 reps · 520-751-8600 · fortresscompany.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALISADE WEALTH MANAGEMENT (DRAPER, UT) is newly SEC-registered with $116.0M RAUM and 3 advisory reps. IAPD ↗
$116.0M RAUM · 3 reps · 650-387-3808 · jacobsequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AVENTUS INVESTMENT ADVISORS, INC. (CORNELIUS, NC) is newly SEC-registered with $118.5M RAUM and 2 advisory reps. IAPD ↗
$118.5M RAUM · 2 reps · 704-237-4207
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLAIR HALL ADVISORS, LLC (location n/a) is newly SEC-registered with $110.9M RAUM and 2 advisory reps. IAPD ↗
$110.9M RAUM · 2 reps · (206) 397-0325 · blairhalladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GARNETT INVESTMENT STRATEGIES (BEATRICE, NE) is newly SEC-registered with $122.9M RAUM and 2 advisory reps. IAPD ↗
$122.9M RAUM · 2 reps · 402-223-3433 · garnettinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 335 more in the CSV export.

Recruiting & transitions 208 firms

85
RAYMOND JAMES & ASSOCIATES, INC. grew from 5254 to 5537 advisory reps. IAPD ↗
$433.81B RAUM · 5537 reps · 727-567-1000
CRMRecruiting & transitionsComplianceFinancial planning software
85
FRANKLIN ADVISERS, INC. grew from 184 to 254 advisory reps. IAPD ↗
$467.02B RAUM · 254 reps · (650) 312-3000
CRMRecruiting & transitionsComplianceFinancial planning software
85
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS grew from 59 to 83 advisory reps. IAPD ↗
$3.38B RAUM · 83 reps · 214-210-3092 · texascapitalbank.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
SUMMIT FINANCIAL, LLC grew from 73 to 119 advisory reps. IAPD ↗
$11.55B RAUM · 119 reps · 973-285-3600
CRMRecruiting & transitionsComplianceFinancial planning software
78
VESTGEN ADVISORS, LLC grew from 20 to 30 advisory reps. IAPD ↗
$660.3M RAUM · 30 reps · 312-237-4446 · investwithwmg.com
CRMRecruiting & transitionsComplianceFinancial planning software
77
GRIES FINANCIAL PARTNERS grew from 10 to 17 advisory reps. IAPD ↗
$1.28B RAUM · 17 reps · 833-309-9900 · gries.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
O'SHAUGHNESSY ASSET MANAGEMENT, LLC grew from 41 to 47 advisory reps. IAPD ↗
$12.60B RAUM · 47 reps · 203-975-3333
CRMRecruiting & transitionsComplianceFinancial planning software
76
PRAIRIE CAPITAL MANAGEMENT GROUP, LLC grew from 18 to 24 advisory reps. IAPD ↗
$6.51B RAUM · 24 reps · 860-596-8126
CRMRecruiting & transitionsComplianceFinancial planning software
75
INGALLS & SNYDER LLC grew from 45 to 50 advisory reps. IAPD ↗
$6.90B RAUM · 50 reps · 212-269-7800 · ingalls.net
CRMRecruiting & transitionsComplianceFinancial planning software
74
NEW AGE ALPHA grew from 6 to 10 advisory reps. IAPD ↗
$2.67B RAUM · 10 reps · (212) 922-2699 · newagealpha.com
CRMRecruiting & transitionsComplianceFinancial planning software

…and 198 more in the CSV export.

Integration & migration consulting 15 firms

85
MISSIONSQUARE RETIREMENT crossed $1B in regulatory AUM ($668.2M -> $6.11B). IAPD ↗
$6.11B RAUM · 224 reps · 202-962-4600
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
SOFI WEALTH LLC crossed $1B in regulatory AUM ($943.5M -> $1.37B). IAPD ↗
$1.37B RAUM · 10 reps · 855-525-7634
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
CHEQUERS FINANCIAL MANAGEMENT LLC crossed $1B in regulatory AUM ($812.0M -> $1.01B). IAPD ↗
$1.01B RAUM · 5 reps · 415-964-5001
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
NEW AGE ALPHA crossed $1B in regulatory AUM ($195.9M -> $2.67B). IAPD ↗
$2.67B RAUM · 10 reps · (212) 922-2699 · newagealpha.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
MADISON PARTNERS crossed $1B in regulatory AUM ($559.0M -> $1.09B). IAPD ↗
$1.09B RAUM · 12 reps · 608-210-1021
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
CALDWELL SUTTER CAPITAL, INC. crossed $500M in regulatory AUM ($488.4M -> $571.1M). IAPD ↗
$571.1M RAUM · 6 reps · 415-962-2526 · cald.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FCA CORP crossed $500M in regulatory AUM ($465.4M -> $525.7M). IAPD ↗
$525.7M RAUM · 11 reps · 713-781-2856
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
QUANTUM FINANCIAL PLANNING SERVICES, INC. crossed $500M in regulatory AUM ($466.4M -> $591.6M). IAPD ↗
$591.6M RAUM · 9 reps · 509-328-6653 · quantumplanning.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
O'ROURKE & COMPANY, INCORPORATED crossed $500M in regulatory AUM ($412.1M -> $518.1M). IAPD ↗
$518.1M RAUM · 2 reps · 617-482-4200
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
SFE INVESTMENT COUNSEL INC. crossed $500M in regulatory AUM ($441.8M -> $581.6M). IAPD ↗
$581.6M RAUM · 8 reps · 213-612-0220 · sfeic.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting

…and 5 more in the CSV export.

Fund administration 4 firms

75
OPEROSE ADVISORS LLC now reports 1 private fund(s) ($0 gross). IAPD ↗
$1.25B RAUM · 7 reps · 414-209-3280
Fund administrationCompliance
75
TSCHETTER GROUP now reports 1 private fund(s) ($0 gross). IAPD ↗
$1.81B RAUM · 11 reps · 425-998-9960 · tschettergroup.com
Fund administrationCompliance
73
ROTHSCHILD WEALTH LLC now reports 1 private fund(s) ($1.8M gross). IAPD ↗
$615.6M RAUM · 9 reps · 630-448-5711 · rothschildwealth.com
Fund administrationCompliance
70
CONCURRENT ASSET MANAGEMENT, LLC now reports 2 private fund(s) ($32.4M gross). IAPD ↗
$0 RAUM · 2 reps · 813-575-2652 · concurrentam.com
Fund administrationCompliance

Office IT & facilities 97 firms

55
D.A. DAVIDSON & CO. added office(s): 87 -> 98 additional locations. IAPD ↗
$36.18B RAUM · 410 reps · 406-727-4200 · dadavidson.com
Office IT & facilitiesCRMRecruiting & transitions
55
FRANKLIN ADVISERS, INC. added office(s): 6 -> 7 additional locations. IAPD ↗
$467.02B RAUM · 254 reps · (650) 312-3000
Office IT & facilitiesCRMRecruiting & transitions
55
SAVANT WEALTH MANAGEMENT added office(s): 39 -> 40 additional locations. IAPD ↗
$28.60B RAUM · 185 reps · 815-227-0300 · savantwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
THOMAS DOLL added office(s): 0 -> 1 additional locations. IAPD ↗
$1.42B RAUM · 11 reps · 925.939.2500 · thomasdoll.com
Office IT & facilitiesCRMRecruiting & transitions
55
CAPSTONE FINANCIAL ADVISORS INC added office(s): 0 -> 1 additional locations. IAPD ↗
$2.12B RAUM · 25 reps · 630-241-0833 · capstone-advisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
MOISAND FITZGERALD TAMAYO, LLC added office(s): 2 -> 11 additional locations. IAPD ↗
$1.03B RAUM · 9 reps · 407-869-6228
Office IT & facilitiesCRMRecruiting & transitions
55
REDW WEALTH LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$1.00B RAUM · 9 reps · 505-998-3200
Office IT & facilitiesCRMRecruiting & transitions
55
GRIES FINANCIAL PARTNERS added office(s): 6 -> 9 additional locations. IAPD ↗
$1.28B RAUM · 17 reps · 833-309-9900 · gries.com
Office IT & facilitiesCRMRecruiting & transitions
55
WAVERLY ADVISORS, LLC added office(s): 28 -> 34 additional locations. IAPD ↗
$14.54B RAUM · 141 reps · 205-871-3334 · waverly-advisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
FRANKLIN TEMPLETON INSTITUTIONAL, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$28.93B RAUM · 28 reps · (212) 632-3000
Office IT & facilitiesCRMRecruiting & transitions

…and 87 more in the CSV export.

M&A & valuation 107 firms

65
AGILI, P.C. (RICHMOND, VA) left the SEC roster (was $1.10B RAUM, 11 reps). IAPD ↗
$1.10B RAUM · 11 reps · 804-358-2702 · agilipersonalcfo.com
Recruiting & transitionsM&A & valuation
65
CRESTONE ASSET MANAGEMENT LLC (BOULDER, CO) left the SEC roster (was $3.62B RAUM, 28 reps). IAPD ↗
$3.62B RAUM · 28 reps · 303-442-4447 · crestoneinvestmentski.com
Recruiting & transitionsM&A & valuation
65
STEWART & PATTEN CO LLC (LAFAYETTE, CA) left the SEC roster (was $1.03B RAUM, 5 reps). IAPD ↗
$1.03B RAUM · 5 reps · 415-421-4932 · stewartandpatten.com
Recruiting & transitionsM&A & valuation
65
STEWART CAPITAL ADVISORS, LLC (INDIANA, PA) left the SEC roster (was $1.09B RAUM, 4 reps). IAPD ↗
$1.09B RAUM · 4 reps · 724-465-3458 · stewartcap.com
Recruiting & transitionsM&A & valuation
65
GRATUS CAPITAL, LLC (ATLANTA, GA) left the SEC roster (was $2.74B RAUM, 26 reps). IAPD ↗
$2.74B RAUM · 26 reps · 404-961-6000
Recruiting & transitionsM&A & valuation
65
FORT PITT CAPITAL GROUP, LLC (PITTSBURGH, PA) left the SEC roster (was $5.16B RAUM, 47 reps). IAPD ↗
$5.16B RAUM · 47 reps · 412-921-1822 · focusfinancialpartners.com
Recruiting & transitionsM&A & valuation
65
PETSO FINANCIAL CONSULTANTS LLC (BOISE, ID) left the SEC roster (was $1.19B RAUM, 5 reps). IAPD ↗
$1.19B RAUM · 5 reps · 208-853-2000 · petsofinancial.com
Recruiting & transitionsM&A & valuation
65
GYL FINANCIAL SYNERGIES, LLC (WEST HARTFORD, CT) left the SEC roster (was $6.07B RAUM, 42 reps). IAPD ↗
$6.07B RAUM · 42 reps · 844-248-9998 · focusfinancialpartners.com
Recruiting & transitionsM&A & valuation
65
CEDAR BROOK GROUP (CLEVELAND, OH) left the SEC roster (was $1.72B RAUM, 18 reps). IAPD ↗
$1.72B RAUM · 18 reps · 440-683-9200 · msfaonline.com
Recruiting & transitionsM&A & valuation
65
9258 WEALTH MANAGEMENT, LLC (BLUE ASH, OH) left the SEC roster (was $1.03B RAUM, 10 reps). IAPD ↗
$1.03B RAUM · 10 reps · 513-791-9258
Recruiting & transitionsM&A & valuation

…and 97 more in the CSV export.

Everything else — all segments

state expansion — 236 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
WILMINGTON TRUST INVESTMENT ADVISORS, INC. notice-filed in AZ, CA, MA, ME, OH, VT. IAPD ↗
$16.50B RAUM · 95 reps · (302) 651-8118
ComplianceMarketing & brand
55
BRIGHTON JONES LLC notice-filed in AL, AR, DE, HI, IA, IN, KS, KY, ME, MS, ND, NE, OK, SD, VT, WV, WY. IAPD ↗
$12.49B RAUM · 149 reps · 206-258-5000
ComplianceMarketing & brand
55
WASHINGTON TRUST ADVISORS notice-filed in CO, GA, MT, NJ, NM, SC, TX. IAPD ↗
$1.91B RAUM · 12 reps · 781-235-7055
ComplianceMarketing & brand
55
TOWNSEND notice-filed in AR, IL, IN, MI, NM, NY, OH, OR. IAPD ↗
$1.12B RAUM · 13 reps · 303-452-5986
ComplianceMarketing & brand
55
NORTHEAST FINANCIAL GROUP, INC. notice-filed in CA, FL, NC, NH, SC. IAPD ↗
$1.00B RAUM · 9 reps · 570-688-9898
ComplianceMarketing & brand
55
PROVENANCE WEALTH ADVISORS notice-filed in AR, DC, DE, IA, OR, PR. IAPD ↗
$2.62B RAUM · 23 reps · 954-712-8888
ComplianceMarketing & brand
55
SRS CAPITAL ADVISORS, LLC notice-filed in AL, ID, MI, MN, NJ. IAPD ↗
$1.44B RAUM · 15 reps · 303-633-5900 · simondavisinc.com
ComplianceMarketing & brand
55
INTRUA FINANCIAL notice-filed in AK, DC, DE, NY, OH, OR, SC. IAPD ↗
$1.66B RAUM · 42 reps · 713-355-9910
ComplianceMarketing & brand
55
CALIBER WEALTH MANAGEMENT, LLC notice-filed in AZ, MA, OH, OR, VA. IAPD ↗
$1.14B RAUM · 10 reps · 913-303-3920
ComplianceMarketing & brand
55
MOMENT PARTNERS, LLC notice-filed in AZ, FL, NV, NY, OR, TX, WA. IAPD ↗
$1.11B RAUM · 4 reps · 415-523-6868 · momentpartners.com
ComplianceMarketing & brand
53
FORT WASHINGTON INVESTMENT ADVISORS INC notice-filed in DE, HI, ID, WV. IAPD ↗
$79.46B RAUM · 94 reps · 513-361-7600 · ohiocapitalfund.com
ComplianceMarketing & brand
53
ARGENT CAPITAL MANAGEMENT LLC notice-filed in GA, MD, MI, OR. IAPD ↗
$3.43B RAUM · 21 reps · 314-725-6000
ComplianceMarketing & brand
53
WAVERLY ADVISORS, LLC notice-filed in ND, UT, VT, WY. IAPD ↗
$14.54B RAUM · 141 reps · 205-871-3334 · waverly-advisors.com
ComplianceMarketing & brand
53
5TH STREET ADVISORS, LLC notice-filed in CO, DC, MA, MD, VA. IAPD ↗
$462.6M RAUM · 5 reps · 203-327-1212 · 5thstreetadvisors.com
ComplianceMarketing & brand
53
KRILOGY notice-filed in AR, IN, ME, MT. IAPD ↗
$3.50B RAUM · 49 reps · 314-884-2800 · krilogy.com
ComplianceMarketing & brand
53
APTUS CAPITAL ADVISORS, LLC notice-filed in IA, NV, RI, WY. IAPD ↗
$5.29B RAUM · 16 reps · 251-517-7198 · aptuscapitaladvisors.com
ComplianceMarketing & brand
53
BERKELEY CAPITAL PARTNERS, LLC notice-filed in AL, AR, CO, NM, SC, VA. IAPD ↗
$914.8M RAUM · 9 reps · 678-690-8700 · berkeleycp.com
ComplianceMarketing & brand
53
LAKERIDGE WEALTH MANAGEMENT LLC notice-filed in IN, OR, PA, SC, WA. IAPD ↗
$605.8M RAUM · 11 reps · (440) 510-1901
ComplianceMarketing & brand
53
CRUX WEALTH ADVISORS notice-filed in FL, LA, NC, NH, OR, WA. IAPD ↗
$250.8M RAUM · 13 reps · 562.735.3875
ComplianceMarketing & brand
53
MFP FINANCIAL SERVICES, LLC notice-filed in IL, LA, MA, MN, PA. IAPD ↗
$314.1M RAUM · 3 reps · 727-443-3300
ComplianceMarketing & brand
51
EMBREE FINANCIAL GROUP notice-filed in IA, OR, SC. IAPD ↗
$2.04B RAUM · 15 reps · 312-527-5565
ComplianceMarketing & brand
51
COLDSTREAM WEALTH MANAGEMENT notice-filed in ME, MO, SC. IAPD ↗
$9.66B RAUM · 141 reps · 425-283-1600
ComplianceMarketing & brand
51
NOVEM GROUP notice-filed in IA, KS, VT. IAPD ↗
$1.17B RAUM · 50 reps · 585-348-9525 · novemgroup.com
ComplianceMarketing & brand
51
SILVERLAKE WEALTH MANAGEMENT LLC notice-filed in MD, ME, OR, SC. IAPD ↗
$485.7M RAUM · 7 reps · (802) 857-5083
ComplianceMarketing & brand
51
CARRICK LANE LLC notice-filed in IL, NE, NH. IAPD ↗
$1.44B RAUM · 5 reps · 212-433-8450 · carricklane.com
ComplianceMarketing & brand
51
JOURNEY STRATEGIC WEALTH LLC notice-filed in HI, OR, SC. IAPD ↗
$3.07B RAUM · 12 reps · (201) 905-0070 · journeysw.com
ComplianceMarketing & brand
51
DSG CAPITAL ADVISORS, LLC notice-filed in CA, CO, FL, WI. IAPD ↗
$655.1M RAUM · 7 reps · (612) 515-9900 · dsgcapitaladvisors.com
ComplianceMarketing & brand
51
BURLING WEALTH PARTNERS notice-filed in AZ, CO, FL, TX. IAPD ↗
$747.4M RAUM · 5 reps · 1-312-825-0262 · burlingwealthpartners.com
ComplianceMarketing & brand
50
XYPN INVEST notice-filed in CO, DC, GA, MD, NY, WA. IAPD ↗
$133.3M RAUM · 15 reps · (360) 301-7579 · hundredfp.com
ComplianceMarketing & brand
50
ELEMENT SQUARED PRIVATE WEALTH notice-filed in AZ, CT, IN, LA, NY, WA. IAPD ↗
$106.5M RAUM · 5 reps · 612-325-5920 · elementsquaredllc.com
ComplianceMarketing & brand
50
DOMAIN MONEY ADVISORS, LLC notice-filed in DC, IN, MN, NV, OR, VA. IAPD ↗
$0 RAUM · 5 reps · 760-378-5853
ComplianceMarketing & brand
50
ALLIO ADVISORS notice-filed in AK, DC, HI, IA, ID, ME, MT, ND, NM, RI, SD, VI, VT, WV, WY. IAPD ↗
$234,911 RAUM · 3 reps · (845) 475-7905 · alliocapital.com
ComplianceMarketing & brand
50
ARTA FINANCE notice-filed in AZ, CT, DC, GA, MD, MI, NC, NV, OH, PA, UT. IAPD ↗
$59.1M RAUM · 18 reps · 650-318-3898
ComplianceMarketing & brand
50
CATALYST WEALTH MANAGEMENT LLC notice-filed in CT, ID, MD, NC, SC, UT, VA. IAPD ↗
$20.6M RAUM · 18 reps · 832-657-7735 · catalystfg.com
ComplianceMarketing & brand
50
SMITH WYND CAPITAL LLC notice-filed in AL, CA, FL, KY, LA, TX. IAPD ↗
$0 RAUM · 3 reps · (615) 794-8881 · smithwynd.com
ComplianceMarketing & brand
50
PIEDMONT WEALTH ADVISORY notice-filed in CA, FL, MA, MD, NY, PA. IAPD ↗
$0 RAUM · 3 reps · (571) 313-5125 · piedmontwealthadvisory.com
ComplianceMarketing & brand
49
FERGUSON WELLMAN CAPITAL MANAGEMENT, INC. notice-filed in MD, VA. IAPD ↗
$8.39B RAUM · 26 reps · 503-226-1444 · fergusonwellman.com
ComplianceMarketing & brand
49
MOUNTAIN PACIFIC INVESTMENT ADVISERS, LLC notice-filed in CO, NY. IAPD ↗
$1.93B RAUM · 6 reps · 208-336-1422 · mountain-pacific.com
ComplianceMarketing & brand
49
GREENWOOD GEARHART INC. notice-filed in AZ, WA. IAPD ↗
$1.11B RAUM · 8 reps · 479-521-5353 · greenwoodgearhart.com
ComplianceMarketing & brand
49
GREENSPRING ADVISORS, LLC notice-filed in LA, MA. IAPD ↗
$6.90B RAUM · 28 reps · 443-564-4600
ComplianceMarketing & brand
49
AUXANO ADVISORS notice-filed in ID, PA. IAPD ↗
$1.27B RAUM · 8 reps · (425) 889-1261 · auxanoadvisors.com
ComplianceMarketing & brand
49
SFE INVESTMENT COUNSEL INC. notice-filed in DC, NV, NY. IAPD ↗
$581.6M RAUM · 8 reps · 213-612-0220 · sfeic.com
ComplianceMarketing & brand
49
ANDINA FAMILY OFFICES notice-filed in FL, ID, NV. IAPD ↗
$808.5M RAUM · 11 reps · 801-653-0564 · andinafamilyoffices.com
ComplianceMarketing & brand
49
CLEAR HARBOR ASSET MANAGEMENT, LLC notice-filed in AZ, TN. IAPD ↗
$1.46B RAUM · 14 reps · 212-867-7310
ComplianceMarketing & brand
49
DESTINY WEALTH PARTNERS, LLC notice-filed in MD, PA, UT. IAPD ↗
$996.8M RAUM · 11 reps · 352.343.2700
ComplianceMarketing & brand
49
PFG ADVISORS notice-filed in AL, NJ. IAPD ↗
$2.33B RAUM · 99 reps · (800) 405-8850 · myoccu.org
ComplianceMarketing & brand
49
LEADING EDGE FINANCIAL PLANNING LLC notice-filed in NH, PA, WI. IAPD ↗
$273.7M RAUM · 8 reps · 865-240-2292
ComplianceMarketing & brand
49
ALPHA CAPITAL MANAGEMENT GROUP LLC notice-filed in IL, NH, OR. IAPD ↗
$421.9M RAUM · 4 reps · 303-900-1919 · alphacmg.com
ComplianceMarketing & brand
49
KMG FIDUCIARY PARTNERS, LLC notice-filed in CO, MA. IAPD ↗
$1.26B RAUM · 9 reps · (419) 517-8040
ComplianceMarketing & brand
49
UPTICK PARTNERS, LLC notice-filed in GA, LA, NH. IAPD ↗
$398.6M RAUM · 6 reps · (936) 800-0800 · holisticplanning.com
ComplianceMarketing & brand
49
BARLOW WEALTH PARTNERS, LLC notice-filed in NH, VA. IAPD ↗
$1.01B RAUM · 5 reps · (502) 308-4270 · barlowwealth.com
ComplianceMarketing & brand
48
PLANVEST FINANCIAL, INC. notice-filed in DC, NC, NY, PA. IAPD ↗
$110.9M RAUM · 5 reps · (301) 977-7123
ComplianceMarketing & brand
48
CARBON COLLECTIVE INVESTING, LLC notice-filed in MT, NM, NV, VT. IAPD ↗
$122.9M RAUM · 3 reps · 925-268-8041 · carboncollectivefunds.com
ComplianceMarketing & brand
48
TREASURY INTERACTIVE INVESTMENT ADVISERS LLC notice-filed in DC, MS, ND, PR. IAPD ↗
$0 RAUM · 2 reps · 6466853046 · treasury.app
ComplianceMarketing & brand
48
WHITWELL ADVISORS notice-filed in HI, LA, MN, NV. IAPD ↗
$55.4M RAUM · 3 reps · 512-766-7775 · whitwelladvisors.com
ComplianceMarketing & brand
48
INDIVISIBLE PARTNERS notice-filed in IL, NH, NY, TX. IAPD ↗
$0 RAUM · 1 reps · 732-306-5490 · indivisible.com
ComplianceMarketing & brand
48
ADVISIFI LLC notice-filed in FL, GA, NC, OK. IAPD ↗
$0 RAUM · 1 reps · 888 983-2897 · advisifi.co
ComplianceMarketing & brand
47
NORTHERN TRUST SECURITIES, INC notice-filed in KY. IAPD ↗
$1.03B RAUM · 70 reps · 312-557-2000 · northerntrust.com
ComplianceMarketing & brand
47
ANCORA RETIREMENT PLAN ADVISORS, LLC notice-filed in IL. IAPD ↗
$1.06B RAUM · 23 reps · 216-593-5090
ComplianceMarketing & brand
47
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC notice-filed in AK, AR. IAPD ↗
$456.4M RAUM · 30 reps · 763-923-2270 · oakridgefinancial.com
ComplianceMarketing & brand
47
FINANCIAL SYNERGIES notice-filed in MO. IAPD ↗
$1.29B RAUM · 14 reps · 713-623-6600
ComplianceMarketing & brand
47
EVERHART ADVISORS notice-filed in AR. IAPD ↗
$1.45B RAUM · 22 reps · 614-717-9705
ComplianceMarketing & brand
47
EAGLE GLOBAL ADVISORS LLC notice-filed in NV. IAPD ↗
$1.94B RAUM · 10 reps · 713-952-3550 · eagleglobal.com
ComplianceMarketing & brand
47
PEKIN HARDY STRAUSS, INC. notice-filed in NM. IAPD ↗
$1.04B RAUM · 8 reps · 312-554-7525
ComplianceMarketing & brand
47
THOMAS DOLL notice-filed in CT. IAPD ↗
$1.42B RAUM · 11 reps · 925.939.2500 · thomasdoll.com
ComplianceMarketing & brand
47
MCCARTER PRIVATE WEALTH SERVICES LLC notice-filed in NH, TX. IAPD ↗
$381.4M RAUM · 2 reps · 617-449-6500 · mccarterpws.com
ComplianceMarketing & brand
47
THOMAS J. HERZFELD ADVISORS, INC. notice-filed in NH, TN. IAPD ↗
$726.9M RAUM · 4 reps · 305-777-1660
ComplianceMarketing & brand
47
REDW WEALTH LLC notice-filed in OK. IAPD ↗
$1.00B RAUM · 9 reps · 505-998-3200
ComplianceMarketing & brand
47
FINANCIAL SENSE ADVISORS, INC. notice-filed in AZ, SC. IAPD ↗
$568.4M RAUM · 8 reps · 858-487-3939 · financialsensewealth.com
ComplianceMarketing & brand
47
STEIGERWALD, GORDON & KOCH - WEALTH ADVISORS notice-filed in WI. IAPD ↗
$1.05B RAUM · 7 reps · 703-777-8826
ComplianceMarketing & brand
47
STRATEGIC PLANNING GROUP notice-filed in FL, MT. IAPD ↗
$513.8M RAUM · 5 reps · 801-627-2200 · spgutah.com
ComplianceMarketing & brand
47
NOVARE CAPITAL MANAGEMENT notice-filed in NJ. IAPD ↗
$1.51B RAUM · 17 reps · 704-334-3698
ComplianceMarketing & brand
47
SAX WEALTH ADVISORS, LLC notice-filed in NE. IAPD ↗
$1.74B RAUM · 15 reps · 973-859-2199
ComplianceMarketing & brand
47
HEDEKER WEALTH LLC notice-filed in CA, NH. IAPD ↗
$367.0M RAUM · 2 reps · 847-913-5594
ComplianceMarketing & brand
47
JOHNSON FINANCIAL GROUP LLC notice-filed in IL. IAPD ↗
$2.48B RAUM · 26 reps · 720-475-1195 · jfgllc.net
ComplianceMarketing & brand
47
CSENGE ADVISORY GROUP, LLC notice-filed in RI. IAPD ↗
$2.75B RAUM · 76 reps · 727-437-6000
ComplianceMarketing & brand
47
BLUE CHIP PARTNERS, LLC notice-filed in MA. IAPD ↗
$1.28B RAUM · 15 reps · 248-848-1111
ComplianceMarketing & brand
47
WHARTON BUSINESS GROUP, LLC notice-filed in NE. IAPD ↗
$3.65B RAUM · 3 reps · 484-328-3590 · whartonbusinessgroupllc.com
ComplianceMarketing & brand
47
ARMOR INVESTMENT ADVISORS, LLC notice-filed in SC, VA. IAPD ↗
$339.8M RAUM · 5 reps · 919-571-4382
ComplianceMarketing & brand
47
WEST FINANCIAL SERVICES, INC. notice-filed in CT. IAPD ↗
$2.16B RAUM · 22 reps · 703-847-2500 · westfinancial.com
ComplianceMarketing & brand
47
PINNACLE INVESTMENTS, LLC notice-filed in DC. IAPD ↗
$1.07B RAUM · 51 reps · 315-251-1101 · pinnacleinvestments.com
ComplianceMarketing & brand
47
BENEFIT FINANCIAL SERVICES GROUP notice-filed in NC. IAPD ↗
$1.15B RAUM · 26 reps · 949-955-2552 · bfsg-az.com
ComplianceMarketing & brand
47
FORT POINT CAPITAL PARTNERS LLC notice-filed in PR. IAPD ↗
$1.49B RAUM · 16 reps · (415) 449-0570 · fortpointcap.com
ComplianceMarketing & brand
47
ROUNDVIEW CAPITAL, LLC notice-filed in NH. IAPD ↗
$1.41B RAUM · 5 reps · 609-688-9500 · roundviewcapital.com
ComplianceMarketing & brand
47
HOEY INVESTMENTS, INC. notice-filed in SC, VA. IAPD ↗
$427.5M RAUM · 4 reps · 610-738-4280
ComplianceMarketing & brand
47
JAG CAPITAL MANAGEMENT LLC notice-filed in AK. IAPD ↗
$1.55B RAUM · 15 reps · 314-997-1277
ComplianceMarketing & brand
47
THE PORTFOLIO STRATEGY GROUP, LLC notice-filed in TX. IAPD ↗
$2.16B RAUM · 7 reps · 9142884900
ComplianceMarketing & brand
47
BAKER TILLY WEALTH MANAGEMENT, LLC notice-filed in MT. IAPD ↗
$4.41B RAUM · 16 reps · 833-761-0673 · bakertilly.com
ComplianceMarketing & brand
47
FIRST LIGHT ASSET MANAGEMENT, LLC notice-filed in PA. IAPD ↗
$1.39B RAUM · 8 reps · 952-831-6500
ComplianceMarketing & brand
47
GOOD LIFE ADVISORS, LLC notice-filed in NH. IAPD ↗
$2.90B RAUM · 100 reps · 610-898-6927 · chrisrondinelli.com
ComplianceMarketing & brand
47
IFG ADVISORS, LLC notice-filed in NC, OH. IAPD ↗
$554.0M RAUM · 2 reps · 314-569-0500
ComplianceMarketing & brand
47
ALPHACORE CAPITAL LLC notice-filed in DE. IAPD ↗
$2.44B RAUM · 23 reps · 858-875-4100
ComplianceMarketing & brand
47
GIBBS WEALTH MANAGEMENT, LLC notice-filed in MS, NY. IAPD ↗
$391.4M RAUM · 10 reps · 678-694-8770
ComplianceMarketing & brand
47
SPINNAKER INVESTMENT GROUP, LLC notice-filed in GA, OR. IAPD ↗
$676.8M RAUM · 8 reps · (949) 396-6700
ComplianceMarketing & brand
47
EVERSOURCE WEALTH ADVISORS, LLC notice-filed in OK. IAPD ↗
$2.69B RAUM · 40 reps · 205-982-5515 · clarionwealth.com
ComplianceMarketing & brand
47
ASSET ADVISORS notice-filed in TN. IAPD ↗
$1.15B RAUM · 6 reps · 706-650-9900 · focusfinancialpartners.com
ComplianceMarketing & brand
47
AARON WEALTH ADVISORS notice-filed in NY. IAPD ↗
$1.95B RAUM · 9 reps · 312-506-5780 · aaronwealth.com
ComplianceMarketing & brand
47
ALETHEIAN WEALTH ADVISORS LLC notice-filed in AZ, TN. IAPD ↗
$350.0M RAUM · 5 reps · 425-458-2840 · aletheianadvisors.com
ComplianceMarketing & brand
47
GREYSTONE FINANCIAL GROUP, LLC notice-filed in TN. IAPD ↗
$1.03B RAUM · 12 reps · 248-267-1270
ComplianceMarketing & brand
47
MAIN STREET RETIREMENT PLANNING, LLC notice-filed in AZ, MI. IAPD ↗
$613.0M RAUM · 3 reps · 972-393-0376
ComplianceMarketing & brand
47
PARK EDGE ADVISORS, LLC notice-filed in CA, NY. IAPD ↗
$460.2M RAUM · 5 reps · (216) 727-0144 · parkedgeadvisors.com
ComplianceMarketing & brand
47
BALANCED WEALTH GROUP LLC notice-filed in CA, TN. IAPD ↗
$341.5M RAUM · 7 reps · (440) 871-6501
ComplianceMarketing & brand
46
SCHOLAR FINANCIAL ADVISING, LLC notice-filed in MA, MI, NH. IAPD ↗
$0 RAUM · 6 reps · (336) 360-6833 · scholarfinancialadvising.com
ComplianceMarketing & brand
46
THREE CORD TRUE WEALTH MANAGEMENT, LLC notice-filed in NC, NY, VA. IAPD ↗
$191.2M RAUM · 8 reps · 724-683-3456
ComplianceMarketing & brand
46
KIRK CAPITAL ADVISORS LLC notice-filed in FL, SC, TX. IAPD ↗
$149.7M RAUM · 2 reps · 888.340.5475 · kirkcapitaladvisors.com
ComplianceMarketing & brand
46
MOMENTUM WEALTH PLANNING notice-filed in FL, NY, VA. IAPD ↗
$160.7M RAUM · 2 reps · 919-323-4219 · momentumwealthplanning.com
ComplianceMarketing & brand
45
FIRST KENTUCKY SECURITIES CORP notice-filed in AZ. IAPD ↗
$678.6M RAUM · 17 reps · 502-893-7288 · firstky.com
ComplianceMarketing & brand
45
DOVER PARTNERS INC notice-filed in TX. IAPD ↗
$429.8M RAUM · 3 reps · 937-299-4105 · dover-consulting.com
ComplianceMarketing & brand
45
ELDRIDGE INVESTMENT ADVISORS INC notice-filed in VT. IAPD ↗
$735.3M RAUM · 8 reps · 603-625-8559 · eldridgeco.com
ComplianceMarketing & brand
45
FRAZIER FINANCIAL ADVISORS, LLC notice-filed in ME. IAPD ↗
$767.9M RAUM · 14 reps · 614-793-8297
ComplianceMarketing & brand
45
TRUST ADVISORY GROUP LTD notice-filed in AL. IAPD ↗
$560.4M RAUM · 41 reps · 800-292-2411 · orionwealthadvisors.com
ComplianceMarketing & brand
45
SMH CAPITAL ADVISORS LLC notice-filed in DE. IAPD ↗
$394.7M RAUM · 4 reps · 817-569-7000 · smhca.com
ComplianceMarketing & brand
45
MARIETTA INVESTMENT PARTNERS, LLC notice-filed in LA. IAPD ↗
$535.6M RAUM · 4 reps · 414-289-9080 · mariettallc.com
ComplianceMarketing & brand
45
ALPHAMARK ADVISORS, LLC notice-filed in CA. IAPD ↗
$399.4M RAUM · 4 reps · 859-957-1803 · alphamarkadvisors.com
ComplianceMarketing & brand
45
NOESIS CAPITAL MANAGEMENT CORP notice-filed in MN. IAPD ↗
$707.2M RAUM · 7 reps · 561-999-9888 · noesis-capital.com
ComplianceMarketing & brand
45
PAUL MANNERS & ASSOCIATES, INC. notice-filed in LA. IAPD ↗
$337.2M RAUM · 2 reps · 404-231-8611 · paulmanners.net
ComplianceMarketing & brand
45
NORTH POINT PORTFOLIO MANAGERS CORPORATION notice-filed in NC. IAPD ↗
$723.0M RAUM · 4 reps · 440-720-1100 · nppmcorp.com
ComplianceMarketing & brand
45
TILLER PRIVATE WEALTH, INC. notice-filed in SC. IAPD ↗
$590.7M RAUM · 6 reps · (610) 954-9940 · tillerpw.com
ComplianceMarketing & brand
45
HUNTLEIGH ADVISORS, INC. notice-filed in MS. IAPD ↗
$445.4M RAUM · 53 reps · 314-236-2400 · huntleighadvisors.com
ComplianceMarketing & brand
45
WEALTH ADVISORS NETWORK, INC. notice-filed in SC. IAPD ↗
$297.0M RAUM · 12 reps · 402-463-6769 · bspwm.com
ComplianceMarketing & brand
45
LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C. notice-filed in CO. IAPD ↗
$711.7M RAUM · 7 reps · 509-972-3686
ComplianceMarketing & brand
45
AMERANT INVESTMENTS, INC. notice-filed in IL. IAPD ↗
$632.8M RAUM · 14 reps · 305-460-8599 · amerantinvestments.com
ComplianceMarketing & brand
45
COPPERLEAF CAPITAL, LLC notice-filed in NH. IAPD ↗
$255.1M RAUM · 4 reps · 919-787-9725
ComplianceMarketing & brand
45
ALPHA FINANCIAL ADVISORS, LLC notice-filed in VA. IAPD ↗
$444.1M RAUM · 8 reps · 704-716-1100 · alphafa.com
ComplianceMarketing & brand
45
COOPER/HAIMS ADVISORS, LLC notice-filed in MD. IAPD ↗
$852.6M RAUM · 9 reps · 585-248-6400 · esl.org
ComplianceMarketing & brand
45
WATTS GWILLIAM & COMPANY, LLC notice-filed in MA. IAPD ↗
$604.6M RAUM · 7 reps · 480-889-8998 · wattsgwilliam.com
ComplianceMarketing & brand
45
PAPAMARKOU WELLNER PERKIN ADVISORS notice-filed in NV. IAPD ↗
$332.4M RAUM · 9 reps · 212-223-2020 · papamarkou.com
ComplianceMarketing & brand
45
O'ROURKE & COMPANY, INCORPORATED notice-filed in CA. IAPD ↗
$518.1M RAUM · 2 reps · 617-482-4200
ComplianceMarketing & brand
45
CAPITAL MARKETS IQ, LLC notice-filed in OR. IAPD ↗
$392.3M RAUM · 21 reps · 310.882.6380
ComplianceMarketing & brand
45
PORTFOLIO MEDICS, LLC notice-filed in DC. IAPD ↗
$499.6M RAUM · 75 reps · (239) 444-1766 · portfoliomedics.com
ComplianceMarketing & brand
45
BISHOP & COMPANY INVESTMENT MANAGEMENT, LLC notice-filed in CO. IAPD ↗
$318.5M RAUM · 1 reps · 814-314-0344 · bishopinvestmentmanagement.com
ComplianceMarketing & brand
45
PRINCETON GLOBAL ASSET MANAGEMENT LLC notice-filed in MD. IAPD ↗
$605.8M RAUM · 13 reps · 609-945-1781 · princetonglobal.com
ComplianceMarketing & brand
45
ARQ WEALTH ADVISORS, LLC notice-filed in FL. IAPD ↗
$520.1M RAUM · 6 reps · 480-214-9572 · arqwealth.com
ComplianceMarketing & brand
45
WESTHILL FINANCIAL ADVISORS, INC. notice-filed in NH. IAPD ↗
$588.8M RAUM · 7 reps · 415-456-2292
ComplianceMarketing & brand
45
MARKET STREET WEALTH MANAGEMENT notice-filed in IN. IAPD ↗
$589.2M RAUM · 11 reps · (610) 692-3200 · marketstreetwealth.net
ComplianceMarketing & brand
45
FIELDER CAPITAL GROUP LLC notice-filed in MA. IAPD ↗
$834.6M RAUM · 3 reps · 212-918-4860
ComplianceMarketing & brand
45
INVESTOR FAN notice-filed in PA. IAPD ↗
$255.4M RAUM · 10 reps · 425-372-7517 · thewaytoinvest.com
ComplianceMarketing & brand
45
COPPER HARBOR INVESTMENT ADVISORS, LLC notice-filed in CO. IAPD ↗
$575.0M RAUM · 6 reps · (920)441-0267 · copperharbor.us
ComplianceMarketing & brand
45
ADK WEALTH ADVISORY GROUP notice-filed in VT. IAPD ↗
$598.9M RAUM · 6 reps · (314) 878-1489 · discoverindependence.com
ComplianceMarketing & brand
45
ALTMAN ADVISORS notice-filed in SC. IAPD ↗
$372.9M RAUM · 8 reps · (312) 759-7801 · altmanadvisors.com
ComplianceMarketing & brand
45
LEGACY BRIDGE PRIVATE FAMILY OFFICES notice-filed in CA. IAPD ↗
$286.5M RAUM · 3 reps · 515-421-4870
ComplianceMarketing & brand
45
BOSTONPREMIER WEALTH notice-filed in SC. IAPD ↗
$322.4M RAUM · 5 reps · (617) 934-1100
ComplianceMarketing & brand
45
SUMMIT WEALTH PARTNERS, LLC notice-filed in NY. IAPD ↗
$629.5M RAUM · 9 reps · 407-656-2252 · mysummitwealth.com
ComplianceMarketing & brand
45
JFG WEALTH MANAGEMENT, LLC notice-filed in IL. IAPD ↗
$901.0M RAUM · 26 reps · 720-778-4467 · jfgwealth.net
ComplianceMarketing & brand
45
FINANCIAL SERVICES OF AMERICA ADVISORS notice-filed in VA. IAPD ↗
$292.1M RAUM · 22 reps · (800) 977-9292 · fsa1.com
ComplianceMarketing & brand
45
DYNAMIC FINANCIAL GROUP notice-filed in NE. IAPD ↗
$415.7M RAUM · 4 reps · 319-277-2727 · dynamicfinancial.net
ComplianceMarketing & brand
45
KPP ADVISORY SERVICES LLC notice-filed in AR. IAPD ↗
$880.6M RAUM · 24 reps · 502-394-0400 · money411.info
ComplianceMarketing & brand
45
STAGE HARBOR FINANCIAL notice-filed in ME. IAPD ↗
$876.6M RAUM · 6 reps · (781) 934-3130
ComplianceMarketing & brand
45
WPG FINANCIAL GROUP, LLC notice-filed in TX. IAPD ↗
$301.2M RAUM · 6 reps · 410-522-2030
ComplianceMarketing & brand
45
CARLSON FINANCIAL notice-filed in AZ. IAPD ↗
$508.6M RAUM · 15 reps · (844) 227-5766
ComplianceMarketing & brand
45
ORBA WEALTH ADVISORS, LLC notice-filed in ID. IAPD ↗
$257.1M RAUM · 16 reps · (312) 670-6262
ComplianceMarketing & brand
45
AVAII WEALTH MANAGEMENT, LLC notice-filed in GA. IAPD ↗
$409.6M RAUM · 7 reps · (920) 214-1212
ComplianceMarketing & brand
45
CONVERGENCE FINANCIAL notice-filed in OH. IAPD ↗
$422.4M RAUM · 13 reps · (573) 818-2264
ComplianceMarketing & brand
45
PRESIDIO CAPITAL MANAGEMENT, LLC notice-filed in FL. IAPD ↗
$288.1M RAUM · 5 reps · 858-461-4959
ComplianceMarketing & brand
45
FCG INVESTMENT COMPANY notice-filed in CA. IAPD ↗
$419.3M RAUM · 9 reps · 901-309-2681 · fcgtn.com
ComplianceMarketing & brand
45
TAYLOR HOFFMAN CAPITAL MANAGEMENT notice-filed in CO. IAPD ↗
$388.7M RAUM · 4 reps · 804-964-2500 · taylorhoffman.com
ComplianceMarketing & brand
45
INTEGRATED QUANTITATIVE INVESTMENTS LLC notice-filed in IL. IAPD ↗
$389.0M RAUM · 5 reps · 12067175559 · integratedquant.com
ComplianceMarketing & brand
45
PURE PORTFOLIOS notice-filed in ID. IAPD ↗
$293.4M RAUM · 4 reps · 877-261-0015 · pureportfolios.com
ComplianceMarketing & brand
45
WEALTHPLAN INVESTMENT MANAGEMENT LLC notice-filed in NC. IAPD ↗
$988.9M RAUM · 8 reps · 402-691-0200
ComplianceMarketing & brand
45
BROOKWOOD INVESTMENT GROUP notice-filed in NV. IAPD ↗
$689.1M RAUM · 17 reps · 480-744-9628 · ckwmg.com
ComplianceMarketing & brand
45
MAXWELL WEALTH notice-filed in NY. IAPD ↗
$290.4M RAUM · 3 reps · 925-523-3288
ComplianceMarketing & brand
45
BREAKWATER CAPITAL GROUP notice-filed in NC. IAPD ↗
$579.7M RAUM · 3 reps · (551) 342-3733 · breakwatercapitalgroup.com
ComplianceMarketing & brand
45
LRI INVESTMENTS notice-filed in MD. IAPD ↗
$932.9M RAUM · 12 reps · 561-323-2265
ComplianceMarketing & brand
45
GRATUS WEALTH ADVISORS LLC notice-filed in NY. IAPD ↗
$590.6M RAUM · 7 reps · 757-909-5505 · gratuswealthadvisors.com
ComplianceMarketing & brand
45
PLATFORM WEALTH ADVISORS notice-filed in NJ. IAPD ↗
$295.1M RAUM · 6 reps · (385) 243-0553 · platformadvise.com
ComplianceMarketing & brand
45
BRISTOL WEALTH GROUP notice-filed in GA. IAPD ↗
$754.4M RAUM · 5 reps · (508) 738-6248 · bristolcountysavings.com
ComplianceMarketing & brand
45
PARKWOODS WEALTH PARTNERS, LLC notice-filed in MO. IAPD ↗
$403.5M RAUM · 3 reps · 315-757-1100 · parkwoodswealth.com
ComplianceMarketing & brand
44
CALVERT WEALTH MANAGEMENT, INC. notice-filed in GA, TX. IAPD ↗
$138.2M RAUM · 3 reps · 301-812-1550 · calvertwealth.com
ComplianceMarketing & brand
44
PROVIDER FINANCIAL, INC. notice-filed in IL, OH. IAPD ↗
$240.0M RAUM · 1 reps · (317)706-0890 · provider-financial.com
ComplianceMarketing & brand
44
WINDLE WEALTH notice-filed in AL, FL. IAPD ↗
$159.3M RAUM · 1 reps · 405-261-5202
ComplianceMarketing & brand
44
STRONGTOWER WEALTH MANAGEMENT, PLC notice-filed in FL, MI. IAPD ↗
$129.0M RAUM · 4 reps · 501-623-1141
ComplianceMarketing & brand
44
CONSTITUTION WEALTH LLC notice-filed in GA, OH. IAPD ↗
$22.9M RAUM · 5 reps · 866-463-1776 · constitutionwealth.com
ComplianceMarketing & brand
44
IPSEN ADVISOR GROUP notice-filed in LA, TN. IAPD ↗
$192.0M RAUM · 2 reps · (501) 614-4700 · ipsenadvisorgroup.com
ComplianceMarketing & brand
44
FOGUTH WEALTH MANAGEMENT, LLC. notice-filed in CA, LA. IAPD ↗
$237.0M RAUM · 10 reps · (810) 522-5650
ComplianceMarketing & brand
44
WHALE notice-filed in NJ, PA. IAPD ↗
$229,407 RAUM · 1 reps · 8884887104 · getwhale.co
ComplianceMarketing & brand
44
ARCHLIGHT WEALTH MANAGEMENT LLC notice-filed in CA, NY. IAPD ↗
$0 RAUM · 0 reps · 2016613416
ComplianceMarketing & brand
44
MARTINSEN WEALTH MANAGEMENT notice-filed in NC, NM. IAPD ↗
$100.3M RAUM · 5 reps · 480-550-6556 · martinsenwealth.com
ComplianceMarketing & brand
44
HOLISTIC WEALTH ADVISORS notice-filed in CT, TX. IAPD ↗
$0 RAUM · 5 reps · 518.357.3858 · holisticwealthadvisors.com
ComplianceMarketing & brand
42
AMERICAN WEALTH MANAGEMENT, INC. notice-filed in WV. IAPD ↗
$217.5M RAUM · 10 reps · 770-392-8740 · awminc.biz
ComplianceMarketing & brand
42
NED DAVIS RESEARCH, INC. notice-filed in PA. IAPD ↗
$248,514 RAUM · 59 reps · 941-412-2300
ComplianceMarketing & brand
42
STEWARDSHIP PARTNERS INVESTMENT COUNSEL, INC. notice-filed in NV. IAPD ↗
$62.0M RAUM · 3 reps · 1-800-930-6949 · stewardshippartners.com
ComplianceMarketing & brand
42
VIA IV INVESTMENTS, LLC notice-filed in NH. IAPD ↗
$190.6M RAUM · 4 reps · 630-674-7226 · viaiv.com
ComplianceMarketing & brand
42
ALJEN ASSET MANAGEMENT LLC notice-filed in TX. IAPD ↗
$126.5M RAUM · 1 reps · 973-316-1212 · aljenam.com
ComplianceMarketing & brand
42
PRINCE FINANCIAL ADVISORY LLC notice-filed in FL. IAPD ↗
$50.6M RAUM · 1 reps · 212-286-1372
ComplianceMarketing & brand
42
WEALTH ANALYTICS PARTNERS, LLC notice-filed in HI. IAPD ↗
$237.7M RAUM · 5 reps · 858-794-2100
ComplianceMarketing & brand
42
AMERICAN CAPITAL ADVISORY, LLC notice-filed in OR. IAPD ↗
$234.0M RAUM · 6 reps · 208-710-8669
ComplianceMarketing & brand
42
DES MOINES INVESTMENTS, LLC notice-filed in MN. IAPD ↗
$170.0M RAUM · 2 reps · 515-777-1149 · investdsmi.com
ComplianceMarketing & brand
42
WELLS GLOBAL INVESTMENT ADVISERS LLC notice-filed in NH. IAPD ↗
$91.5M RAUM · 2 reps · 863-294-3361
ComplianceMarketing & brand
42
CLS FINANCIAL ADVISORS, INC. notice-filed in CA. IAPD ↗
$138.9M RAUM · 3 reps · (503) 244-8879 · clsadvisors.com
ComplianceMarketing & brand
42
WEALTH TEAMS ALLIANCE notice-filed in SC. IAPD ↗
$199.3M RAUM · 10 reps · 877-282-4768 · wealth-teams.com
ComplianceMarketing & brand
42
REFINED WEALTH MANAGEMENT notice-filed in CO. IAPD ↗
$163.4M RAUM · 3 reps · 385-351-0200 · refinedwm.com
ComplianceMarketing & brand
42
F5 FINANCIAL PLANNING, L.L.C. notice-filed in NH. IAPD ↗
$127.6M RAUM · 3 reps · 309-370-5577
ComplianceMarketing & brand
42
LEICHT FINANCIAL PLANNING AND WEALTH MANAGEMENT notice-filed in VA. IAPD ↗
$190.5M RAUM · 1 reps · 973-599-0400
ComplianceMarketing & brand
42
PERISSOS PRIVATE WEALTH MANAGEMENT notice-filed in FL. IAPD ↗
$141.7M RAUM · 3 reps · 405-212-9690
ComplianceMarketing & brand
42
LAKE ROAD ADVISORS, LLC notice-filed in NE. IAPD ↗
$67.9M RAUM · 2 reps · (607) 438-2914
ComplianceMarketing & brand
42
401K INVESTMENT PROFESSIONALS notice-filed in WA. IAPD ↗
$215.0M RAUM · 4 reps · (608) 334-9367
ComplianceMarketing & brand
42
ATLATL ADVISERS notice-filed in IL. IAPD ↗
$123.1M RAUM · 6 reps · (608) 351-4500
ComplianceMarketing & brand
42
BANNERMAN WEALTH notice-filed in VA. IAPD ↗
$110.8M RAUM · 3 reps · (214) 919-4448
ComplianceMarketing & brand
42
VANGUARD CAPITAL notice-filed in TN. IAPD ↗
$194.6M RAUM · 0 reps · 844-861-7504 · vcapwa.com
ComplianceMarketing & brand
42
LEVATUS LLC notice-filed in NH. IAPD ↗
$137.5M RAUM · 3 reps · (617) 505-4710
ComplianceMarketing & brand
42
PROXY WEALTH ADVISORS LLC notice-filed in TX. IAPD ↗
$132.8M RAUM · 12 reps · 646-289-5075 · proxywealth.com
ComplianceMarketing & brand
42
BUSH WEALTH MANAGEMENT notice-filed in TN. IAPD ↗
$180.3M RAUM · 4 reps · 229-247-1474 · bushwealthmanagement.com
ComplianceMarketing & brand
42
GREENBRIDGE PARTNERS LLC notice-filed in AL. IAPD ↗
$178.7M RAUM · 1 reps · 863-688-5938
ComplianceMarketing & brand
42
QUILITY FINANCIAL ADVISORS notice-filed in AZ. IAPD ↗
$44.5M RAUM · 6 reps · 321-888-2599
ComplianceMarketing & brand
42
FUTURE YOU WEALTH notice-filed in NC. IAPD ↗
$101.0M RAUM · 4 reps · (917) 397-6531 · futureyouwealth.com
ComplianceMarketing & brand
42
BURKHOLDER WEALTH MANAGEMENT notice-filed in LA. IAPD ↗
$144.0M RAUM · 4 reps · 918-727-7100
ComplianceMarketing & brand
42
GREAT POINT ADVISORS, LLC notice-filed in KY. IAPD ↗
$14.6M RAUM · 20 reps · 312-356-4475
ComplianceMarketing & brand
42
ADVISOR SHARE WEALTH MANAGEMENT, LLC notice-filed in AR. IAPD ↗
$48.0M RAUM · 22 reps · 866-232-3251 · aswealthmanagement.com
ComplianceMarketing & brand
42
CASSADY WEALTH & RETIREMENT PLANNING L.L.C. notice-filed in CA. IAPD ↗
$140.5M RAUM · 6 reps · 702-650-4480 · cassadywealth.com
ComplianceMarketing & brand
42
TRUMIX ADVISORS notice-filed in WI. IAPD ↗
$112.3M RAUM · 3 reps · 952-222-8286
ComplianceMarketing & brand
42
TRANSITUS WEALTH PARTNERS LLC notice-filed in VA. IAPD ↗
$227.9M RAUM · 2 reps · 910-395-1991 · transituswealth.com
ComplianceMarketing & brand
42
WILON WEALTH MANAGEMENT notice-filed in MN. IAPD ↗
$183.6M RAUM · 5 reps · 515-225-9500
ComplianceMarketing & brand
42
EARNED WEALTH notice-filed in CT. IAPD ↗
$106.6M RAUM · 7 reps · (914) 417-4556 · earnedwealth.com
ComplianceMarketing & brand
42
WINNOW WEALTH, LLC notice-filed in NY. IAPD ↗
$101.0M RAUM · 3 reps · 254-776-8400 · winnowwealth.com
ComplianceMarketing & brand
42
ALPHA ZERO LLC notice-filed in CO. IAPD ↗
$172.0M RAUM · 6 reps · (561) 576-2599 · alphazerowealth.com
ComplianceMarketing & brand
42
HERBEIN FINANCIAL GROUP, LLC notice-filed in NJ. IAPD ↗
$0 RAUM · 2 reps · 484-509-1136 · herbein.com
ComplianceMarketing & brand
42
CYPRESS WEALTH MANAGEMENT notice-filed in MN. IAPD ↗
$226.2M RAUM · 3 reps · (224) 330-9662 · cypresshldings.com
ComplianceMarketing & brand
42
LUMINVEST WEALTH MANAGEMENT LLC notice-filed in CA. IAPD ↗
$202.5M RAUM · 2 reps · 480-701-6620
ComplianceMarketing & brand
42
NEW DAY WEALTH MANAGEMENT, LLC notice-filed in TX. IAPD ↗
$0 RAUM · 1 reps · 479-967-1200
ComplianceMarketing & brand
42
DECISIONMAP WEALTH MANAGEMENT, LLC notice-filed in GA. IAPD ↗
$177.4M RAUM · 4 reps · (703) 520-1160 · decisionmap.com
ComplianceMarketing & brand
42
MÉTIER CAPITAL, LLC notice-filed in LA. IAPD ↗
$53.0M RAUM · 2 reps · (585) 636-2232 · metier-capital.com
ComplianceMarketing & brand
42
EXPRESSIVE WEALTH LLC notice-filed in MI. IAPD ↗
$124.8M RAUM · 7 reps · 847-595-8812 · expressivewealth.com
ComplianceMarketing & brand
42
CORNERSTONE ALTERNATIVES notice-filed in MI. IAPD ↗
$103.3M RAUM · 2 reps · 315-416-3384 · cornerstonealternatives.com
ComplianceMarketing & brand
42
CANTATA WEALTH MANAGEMENT, LLC notice-filed in TX. IAPD ↗
$32.3M RAUM · 3 reps · 844-226-8282 · cantatawealth.com
ComplianceMarketing & brand
42
BASTION FIDUCIARY notice-filed in LA. IAPD ↗
$0 RAUM · 6 reps · (305) 522-1333 · lastbastion.com
ComplianceMarketing & brand
42
AERIE ADVISORY GROUP LLC notice-filed in MD. IAPD ↗
$0 RAUM · 2 reps · (253) 209-7425
ComplianceMarketing & brand
37
MEEDER PUBLIC FUNDS, INC. notice-filed in AK. IAPD ↗institutional
$54.57B RAUM · 32 reps · 800-325-3539 · meederinvestment.com
ComplianceMarketing & brand
32
CAPITAL CLIENT GROUP, INC. notice-filed in GA. IAPD ↗institutional
$0 RAUM · 655 reps · 213-486-9200
ComplianceMarketing & brand
32
FS GLOBAL ADVISOR, LLC notice-filed in CT. IAPD ↗fund
$2.65B RAUM · 15 reps · 215-220-6651
ComplianceMarketing & brand
32
EKON ADVISORS, LLC notice-filed in OR. IAPD ↗institutional
$203.6M RAUM · 3 reps · 314-367-6327 · ekonadvisors.com
ComplianceMarketing & brand
27
OZE CAPITAL LLC notice-filed in DE. IAPD ↗fund
$170.8M RAUM · 3 reps · 973-446-6876 · ozecapital.com
ComplianceMarketing & brand
21
RAYMOND JAMES (USA) LTD notice-filed in IN, ME, RI. IAPD ↗foreign
$1.54B RAUM · 125 reps · 877-570-7558 · rjlu.com
ComplianceMarketing & brand
17
CARDINAL CAPITAL MANAGEMENT, INC. notice-filed in FL. IAPD ↗foreign
$3.59B RAUM · 13 reps · 1-800-310-4664
ComplianceMarketing & brand
17
KAISER PARTNER FINANCIAL ADVISORS LTD. notice-filed in DE, NH. IAPD ↗foreign
$563.9M RAUM · 5 reps · +41 44 752 51 52
ComplianceMarketing & brand
15
AUGUST GROUP notice-filed in TX. IAPD ↗foreign
$515.9M RAUM · 3 reps · 438-792-5161
ComplianceMarketing & brand
14
NATWEALTH MANAGEMENT notice-filed in IL, WA. IAPD ↗foreign
$93.8M RAUM · 121 reps · 833-946-1589 · nbfwm.ca
ComplianceMarketing & brand
deregistered — 134 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
AGILI, P.C. (RICHMOND, VA) left the SEC roster (was $1.10B RAUM, 11 reps). IAPD ↗
$1.10B RAUM · 11 reps · 804-358-2702 · agilipersonalcfo.com
Recruiting & transitionsM&A & valuation
65
CRESTONE ASSET MANAGEMENT LLC (BOULDER, CO) left the SEC roster (was $3.62B RAUM, 28 reps). IAPD ↗
$3.62B RAUM · 28 reps · 303-442-4447 · crestoneinvestmentski.com
Recruiting & transitionsM&A & valuation
65
STEWART & PATTEN CO LLC (LAFAYETTE, CA) left the SEC roster (was $1.03B RAUM, 5 reps). IAPD ↗
$1.03B RAUM · 5 reps · 415-421-4932 · stewartandpatten.com
Recruiting & transitionsM&A & valuation
65
STEWART CAPITAL ADVISORS, LLC (INDIANA, PA) left the SEC roster (was $1.09B RAUM, 4 reps). IAPD ↗
$1.09B RAUM · 4 reps · 724-465-3458 · stewartcap.com
Recruiting & transitionsM&A & valuation
65
GRATUS CAPITAL, LLC (ATLANTA, GA) left the SEC roster (was $2.74B RAUM, 26 reps). IAPD ↗
$2.74B RAUM · 26 reps · 404-961-6000
Recruiting & transitionsM&A & valuation
65
FORT PITT CAPITAL GROUP, LLC (PITTSBURGH, PA) left the SEC roster (was $5.16B RAUM, 47 reps). IAPD ↗
$5.16B RAUM · 47 reps · 412-921-1822 · focusfinancialpartners.com
Recruiting & transitionsM&A & valuation
65
PETSO FINANCIAL CONSULTANTS LLC (BOISE, ID) left the SEC roster (was $1.19B RAUM, 5 reps). IAPD ↗
$1.19B RAUM · 5 reps · 208-853-2000 · petsofinancial.com
Recruiting & transitionsM&A & valuation
65
GYL FINANCIAL SYNERGIES, LLC (WEST HARTFORD, CT) left the SEC roster (was $6.07B RAUM, 42 reps). IAPD ↗
$6.07B RAUM · 42 reps · 844-248-9998 · focusfinancialpartners.com
Recruiting & transitionsM&A & valuation
65
CEDAR BROOK GROUP (CLEVELAND, OH) left the SEC roster (was $1.72B RAUM, 18 reps). IAPD ↗
$1.72B RAUM · 18 reps · 440-683-9200 · msfaonline.com
Recruiting & transitionsM&A & valuation
65
9258 WEALTH MANAGEMENT, LLC (BLUE ASH, OH) left the SEC roster (was $1.03B RAUM, 10 reps). IAPD ↗
$1.03B RAUM · 10 reps · 513-791-9258
Recruiting & transitionsM&A & valuation
65
FIRST TRUST DIRECT INDEXING (BOSTON, MA) left the SEC roster (was $1.42B RAUM, 3 reps). IAPD ↗
$1.42B RAUM · 3 reps · 617-752-6010
Recruiting & transitionsM&A & valuation
65
REGIS MANAGEMENT, A MERCER ADVISORS COMPANY (DENVER, CO) left the SEC roster (was $2.87B RAUM, 6 reps). IAPD ↗
$2.87B RAUM · 6 reps · 650-838-1030
Recruiting & transitionsM&A & valuation
63
CARMICHAEL HILL & ASSOCIATES INC (GAITHERSBURG, MD) left the SEC roster (was $342.9M RAUM, 5 reps). IAPD ↗
$342.9M RAUM · 5 reps · 301-217-9300
Recruiting & transitionsM&A & valuation
63
WEALTHSPIRE ADVISORS (MIDLOTHIAN, VA) left the SEC roster (was $518.1M RAUM, 4 reps). IAPD ↗
$518.1M RAUM · 4 reps · 804-323-1886
Recruiting & transitionsM&A & valuation
63
XPYRIA INVESTMENT ADVISORS, INC. (PITTSBURGH, PA) left the SEC roster (was $823.3M RAUM, 8 reps). IAPD ↗
$823.3M RAUM · 8 reps · 412-232-3310 · xpyriainvest.com
Recruiting & transitionsM&A & valuation
63
ARBOR CAPITAL MANAGEMENT CORP (AMHERST, NY) left the SEC roster (was $934.2M RAUM, 5 reps). IAPD ↗
$934.2M RAUM · 5 reps · 716-446-9111 · arborcapitalmgt.com
Recruiting & transitionsM&A & valuation
63
MCSHANE PARTNERS (CHARLOTTE, NC) left the SEC roster (was $709.0M RAUM, 8 reps). IAPD ↗
$709.0M RAUM · 8 reps · 980-585-3390 · rinehartwealthmanagement.com
Recruiting & transitionsM&A & valuation
63
CENTERPOINT WEALTH MANAGEMENT, LLC (ZIONSVILLE, IN) left the SEC roster (was $287.9M RAUM, 3 reps). IAPD ↗
$287.9M RAUM · 3 reps · (317) 973-7700 · centerpointwm.com
Recruiting & transitionsM&A & valuation
63
SALING, SIMMS, ASSOCIATES INC. (COLUMBUS, OH) left the SEC roster (was $296.7M RAUM, 4 reps). IAPD ↗
$296.7M RAUM · 4 reps · 614-841-1881 · salingsimms.com
Recruiting & transitionsM&A & valuation
63
GREENWICH INVESTMENT MANAGEMENT, INC. (NORWALK, CT) left the SEC roster (was $592.7M RAUM, 4 reps). IAPD ↗
$592.7M RAUM · 4 reps · 203-930-7200 · greenwichinvestmentmgt.com
Recruiting & transitionsM&A & valuation
63
BRIDGE ADVISORY LLC (PASADENA, CA) left the SEC roster (was $452.6M RAUM, 18 reps). IAPD ↗
$452.6M RAUM · 18 reps · 626-798-4453 · bridgeadvisory.com
Recruiting & transitionsM&A & valuation
63
PILLAR WEALTH ADVISORS, LLC (location n/a) left the SEC roster (was $296.2M RAUM, 5 reps). IAPD ↗
$296.2M RAUM · 5 reps · 302-409-3500 · pillarwealthadvisors.com
Recruiting & transitionsM&A & valuation
63
PRUDENT STREET FINANCIAL ADVISORS, LLC (BRENTWOOD, TN) left the SEC roster (was $302.7M RAUM, 5 reps). IAPD ↗
$302.7M RAUM · 5 reps · 615-523-0660 · prudentstreet.com
Recruiting & transitionsM&A & valuation
63
SOURCE FINANCIAL ADVISORS, LLC (NEW YORK, NY) left the SEC roster (was $519.5M RAUM, 1 reps). IAPD ↗
$519.5M RAUM · 1 reps · 212-273-0400
Recruiting & transitionsM&A & valuation
63
EDMONDS DUNCAN REGISTERED INVESTMENT ADVISORS, LLC (LAWRENCE, KS) left the SEC roster (was $440.5M RAUM, 4 reps). IAPD ↗
$440.5M RAUM · 4 reps · (785) 856-2222 · edmondsduncan.com
Recruiting & transitionsM&A & valuation
63
CIC WEALTH, LLC (ROCKVILLE, MD) left the SEC roster (was $658.8M RAUM, 11 reps). IAPD ↗
$658.8M RAUM · 11 reps · 301.816.4683
Recruiting & transitionsM&A & valuation
63
LEVY WEALTH MANAGEMENT GROUP (PHILADELPHIA, PA) left the SEC roster (was $943.4M RAUM, 7 reps). IAPD ↗
$943.4M RAUM · 7 reps · 215-875-8720 · levywealth.com
Recruiting & transitionsM&A & valuation
63
WEALTHGATE FAMILY OFFICE LLC (BOULDER, CO) left the SEC roster (was $472.8M RAUM, 7 reps). IAPD ↗
$472.8M RAUM · 7 reps · (303) 351-2380
Recruiting & transitionsM&A & valuation
63
TRUE NORTH FINANCIAL (BILLINGS, MT) left the SEC roster (was $357.4M RAUM, 4 reps). IAPD ↗
$357.4M RAUM · 4 reps · 406-294-5000 · planwithtruenorth.com
Recruiting & transitionsM&A & valuation
63
FIRST TRUST INVESTMENT SOLUTIONS L.P. (NAPLES, FL) left the SEC roster (was $518.1M RAUM, 7 reps). IAPD ↗
$518.1M RAUM · 7 reps · (239) 219-0550 · ftsma.com
Recruiting & transitionsM&A & valuation
60
CURTIS & BISSONETTE INC (LAKE PLACID, NY) left the SEC roster (was $47.4M RAUM, 1 reps). IAPD ↗
$47.4M RAUM · 1 reps · 518-523-2443 · curtisandbissonette.com
Recruiting & transitionsM&A & valuation
60
OCEAN PARK ASSET MANAGEMENT, INC. (SANTA MONICA, CA) left the SEC roster (was $146.8M RAUM, 8 reps). IAPD ↗
$146.8M RAUM · 8 reps · 310-452-1887
Recruiting & transitionsM&A & valuation
60
STONEBRIDGE CAPITAL MANAGEMENT (PARAMUS, NJ) left the SEC roster (was $197.8M RAUM, 2 reps). IAPD ↗
$197.8M RAUM · 2 reps · 973-244-9696 · sbcm.net
Recruiting & transitionsM&A & valuation
60
FALCON CAPITAL MANAGEMENT INC (WILTON, CT) left the SEC roster (was $97.2M RAUM, 1 reps). IAPD ↗
$97.2M RAUM · 1 reps · 203-834-1404 · falconcap.com
Recruiting & transitionsM&A & valuation
60
C. G. HUGHES COMPANY, LLC (BAY SHORE, NY) left the SEC roster (was $35.6M RAUM, 1 reps). IAPD ↗
$35.6M RAUM · 1 reps · 631-665-7881
Recruiting & transitionsM&A & valuation
60
OREGON PACIFIC FINANCIAL ADVISORS INC (MEDFORD, OR) left the SEC roster (was $157.1M RAUM, 6 reps). IAPD ↗
$157.1M RAUM · 6 reps · 541-772-1116
Recruiting & transitionsM&A & valuation
60
ALL SEASON FINANCIAL ADVISORS, INC. (DENVER, CO) left the SEC roster (was $164.3M RAUM, 1 reps). IAPD ↗
$164.3M RAUM · 1 reps · 303-837-1187
Recruiting & transitionsM&A & valuation
60
WILEN INVESTMENT MANAGEMENT CORP. (location n/a) left the SEC roster (was $169.0M RAUM, 1 reps). IAPD ↗
$169.0M RAUM · 1 reps · 1-239-676-8281
Recruiting & transitionsM&A & valuation
60
DUNTON AMMON GRESHAM JR (WHITE STONE, VA) left the SEC roster (was $214.2M RAUM, 0 reps). IAPD ↗
$214.2M RAUM · 0 reps · 804-435-4000
Recruiting & transitionsM&A & valuation
60
ROUMELL ASSET MANAGEMENT, LLC (location n/a) left the SEC roster (was $95.4M RAUM, 3 reps). IAPD ↗
$95.4M RAUM · 3 reps · 301-656-8500 · roumellasset.com
Recruiting & transitionsM&A & valuation
60
JMA FINANCIAL ADVISORS, INC. (IRVING, TX) left the SEC roster (was $105.7M RAUM, 2 reps). IAPD ↗
$105.7M RAUM · 2 reps · 972-541-1121
Recruiting & transitionsM&A & valuation
60
WIXON ADVISORS, INC. (MAPLE GROVE, MN) left the SEC roster (was $108.6M RAUM, 2 reps). IAPD ↗
$108.6M RAUM · 2 reps · 763-543-1819
Recruiting & transitionsM&A & valuation
60
GORDON ASSET MANAGEMENT, LLC (DURHAM, NC) left the SEC roster (was $199.4M RAUM, 5 reps). IAPD ↗
$199.4M RAUM · 5 reps · 919-313-6650
Recruiting & transitionsM&A & valuation
60
ATLANTIC FINANCIAL SERVICES, INC. (TOWSON, MD) left the SEC roster (was $140.7M RAUM, 2 reps). IAPD ↗
$140.7M RAUM · 2 reps · 410-296-0470
Recruiting & transitionsM&A & valuation
60
MERCADIEN ASSET MANAGEMENT, LLC (HAMILTON, NJ) left the SEC roster (was $243.0M RAUM, 5 reps). IAPD ↗
$243.0M RAUM · 5 reps · 609-689-9700
Recruiting & transitionsM&A & valuation
60
FINANCIAL SOLUTIONS, INC. (TULSA, OK) left the SEC roster (was $74.5M RAUM, 2 reps). IAPD ↗
$74.5M RAUM · 2 reps · 918-585-5858
Recruiting & transitionsM&A & valuation
60
ROTH ASSET MANAGEMENT, INC. (location n/a) left the SEC roster (was $132.0M RAUM, 1 reps). IAPD ↗
$132.0M RAUM · 1 reps · 206-780-5550
Recruiting & transitionsM&A & valuation
60
JLFRANKLIN WEALTH PLANNING (SAN RAFAEL, CA) left the SEC roster (was $201.4M RAUM, 2 reps). IAPD ↗
$201.4M RAUM · 2 reps · (415) 925-3400 · jlfwealth.com
Recruiting & transitionsM&A & valuation
60
ASCENSION ASSET MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $200.1M RAUM, 2 reps). IAPD ↗
$200.1M RAUM · 2 reps · 212-935-0782
Recruiting & transitionsM&A & valuation
60
FINANCIAL NAVIGATORS INC. (location n/a) left the SEC roster (was $182.2M RAUM, 6 reps). IAPD ↗
$182.2M RAUM · 6 reps · 978-952-6800
Recruiting & transitionsM&A & valuation
60
AVERY WEALTH, INC. (JACKSON, MI) left the SEC roster (was $201.7M RAUM, 3 reps). IAPD ↗
$201.7M RAUM · 3 reps · 517-783-1695 · averywealth.com
Recruiting & transitionsM&A & valuation
60
EJM WEALTH MANAGEMENT, LLC (location n/a) left the SEC roster (was $125.1M RAUM, 1 reps). IAPD ↗
$125.1M RAUM · 1 reps · 847-894-3371
Recruiting & transitionsM&A & valuation
60
SOUTHEAST FINANCIAL GROUP (RALEIGH, NC) left the SEC roster (was $177.8M RAUM, 3 reps). IAPD ↗
$177.8M RAUM · 3 reps · 919-544-0500 · sefgroup.com
Recruiting & transitionsM&A & valuation
60
STEP CHANGE ADVISORS, LLC (SAINT LOUIS, MO) left the SEC roster (was $110.7M RAUM, 1 reps). IAPD ↗
$110.7M RAUM · 1 reps · 314-517-6845 · stepchangeadvisors.com
Recruiting & transitionsM&A & valuation
60
CUSTOM PORTFOLIO GROUP (ENGLEWOOD, CO) left the SEC roster (was $175.6M RAUM, 1 reps). IAPD ↗
$175.6M RAUM · 1 reps · 720.259.5113 · custompg.com
Recruiting & transitionsM&A & valuation
60
BRS FINANCIAL LLC (LITTLE ROCK, AR) left the SEC roster (was $72.6M RAUM, 5 reps). IAPD ↗
$72.6M RAUM · 5 reps · 877-588-3217 · brsconsulting.com
Recruiting & transitionsM&A & valuation
60
THE KINNEY GROUP, LLC (PASADENA, CA) left the SEC roster (was $92.7M RAUM, 1 reps). IAPD ↗
$92.7M RAUM · 1 reps · (626) 796-1860 · kinneygroupwm.com
Recruiting & transitionsM&A & valuation
60
SPORTS & ENTERTAINMENT INVESTMENT ADVISERS, LLC (MONTEBELLO, NY) left the SEC roster (was $18.9M RAUM, 3 reps). IAPD ↗
$18.9M RAUM · 3 reps · 845-369-9422 · seinvestmentadvisers.com
Recruiting & transitionsM&A & valuation
60
BRIDGEMARK WEALTH MANAGEMENT (ROCKVILLE, MD) left the SEC roster (was $216.3M RAUM, 3 reps). IAPD ↗
$216.3M RAUM · 3 reps · (301) 850-0680 · bridgemarkwealth.com
Recruiting & transitionsM&A & valuation
60
CHARLESTON INVESTMENT ADVISORS, LLC (MT. PLEASANT, SC) left the SEC roster (was $140.5M RAUM, 2 reps). IAPD ↗
$140.5M RAUM · 2 reps · (843) 763-4499 · charlestoninvestmentadvisors.com
Recruiting & transitionsM&A & valuation
60
FNZ ADVISERS LLC (NEW YORK, NY) left the SEC roster (was $61.0M RAUM, 1 reps). IAPD ↗
$61.0M RAUM · 1 reps · 646-946-1614 · fnz.com
Recruiting & transitionsM&A & valuation
60
WEALTHDRIVE ADVISORY LLC (RUSTBURG, VA) left the SEC roster (was $25.0M RAUM, 1 reps). IAPD ↗
$25.0M RAUM · 1 reps · 434-444-4250 · wealthdriveadvisory.com
Recruiting & transitionsM&A & valuation
60
AFS FINANCIAL GROUP, LLC (BETHESDA, MD) left the SEC roster (was $244.9M RAUM, 4 reps). IAPD ↗
$244.9M RAUM · 4 reps · (301) 951-2642
Recruiting & transitionsM&A & valuation
60
180 DEGREE CAPITAL CORP. (MONTCLAIR, NJ) left the SEC roster (was $60.8M RAUM, 3 reps). IAPD ↗
$60.8M RAUM · 3 reps · 973-746-4500 · ir.180degreecapital.com
Recruiting & transitionsM&A & valuation
60
OWLFI (LENEXA, KS) left the SEC roster (was $125.1M RAUM, 8 reps). IAPD ↗
$125.1M RAUM · 8 reps · 913-441-8380 · owlfi.com
Recruiting & transitionsM&A & valuation
60
QUANTS COMPETE (BRENTWOOD, TN) left the SEC roster (was $1.8M RAUM, 1 reps). IAPD ↗
$1.8M RAUM · 1 reps · (510) 788-0774
Recruiting & transitionsM&A & valuation
60
HEDGEHOG ADVISERS, LLC (SAN FRANCISCO, CA) left the SEC roster (was $534,799 RAUM, 1 reps). IAPD ↗
$534,799 RAUM · 1 reps · 949-354-4184 · hedgehogadvisers.com
Recruiting & transitionsM&A & valuation
60
CIRCULAR (location n/a) left the SEC roster (was $1.8M RAUM, 1 reps). IAPD ↗
$1.8M RAUM · 1 reps · 954-205-2149 · circularwealthadvisors.com
Recruiting & transitionsM&A & valuation
60
KEY WEALTH ADVISORS LLC (NEW YORK, NY) left the SEC roster (was $9.3M RAUM, 1 reps). IAPD ↗
$9.3M RAUM · 1 reps · (256) 715-9611
Recruiting & transitionsM&A & valuation
60
WALKTHROUGH (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 5044284071 · walkthrough.co
Recruiting & transitionsM&A & valuation
60
PEBBLE FINANCE (LEXINGTON, MA) left the SEC roster (was $38,670 RAUM, 0 reps). IAPD ↗
$38,670 RAUM · 0 reps · 203-249-0473 · pebble.finance
Recruiting & transitionsM&A & valuation
60
AUA PRIVATE WEALTH ADVISORS, LLC (WEST CONSHOHOCKEN, PA) left the SEC roster (was $98.2M RAUM, 3 reps). IAPD ↗
$98.2M RAUM · 3 reps · (484) 965-0991
Recruiting & transitionsM&A & valuation
60
MOMENT ADVISORS, LLC (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · (551) 775-2340
Recruiting & transitionsM&A & valuation
60
ARCH INDICES INVESTMENT ADVISORS (location n/a) left the SEC roster (was $530,000 RAUM, 2 reps). IAPD ↗
$530,000 RAUM · 2 reps · 646-389-2422
Recruiting & transitionsM&A & valuation
60
HOLDINGS (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 888-806-1639 · holdings.io
Recruiting & transitionsM&A & valuation
60
PERIDOT INVESTMENT RESEARCH INC (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 · (480) 665-7706 · peridotfunds.com
Recruiting & transitionsM&A & valuation
60
SOLOMON CAPITAL PARTNERS LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 248-875-5700
Recruiting & transitionsM&A & valuation
60
CARNEGIE WEALTH MANAGEMENT LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $41.5M RAUM, 2 reps). IAPD ↗
$41.5M RAUM · 2 reps · 818-679-2724
Recruiting & transitionsM&A & valuation
60
FINFARE ADVISORS (IRVINE, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 888-281-3273 · invest.finfare.com
Recruiting & transitionsM&A & valuation
60
VERIDIAN PRIVATE WEALTH MANAGEMENT (WARRENVILLE, IL) left the SEC roster (was $100.0M RAUM, 1 reps). IAPD ↗
$100.0M RAUM · 1 reps · 815-814-2763 · veridian-wealth.com
Recruiting & transitionsM&A & valuation
60
OVERLOCK CAPITAL LLC (WASHINGTON, DC) left the SEC roster (was $115.2M RAUM, 3 reps). IAPD ↗
$115.2M RAUM · 3 reps · 202-670-2574 · overlockcapital.com
Recruiting & transitionsM&A & valuation
60
HARMONY WEALTH PARTNERS (BOSTON, MA) left the SEC roster — its 120-day provisional registration did not convert (was $48.1M RAUM, 2 reps). IAPD ↗
$48.1M RAUM · 2 reps · (617) 359-0438 · harmonywealth.com
Recruiting & transitionsM&A & valuation
60
RBT WEALTH LLC (NEWBURGH, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · 845-567-9000
Recruiting & transitionsM&A & valuation
60
NN INVESTMENT ADVISORY, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $4.2M RAUM, 1 reps). IAPD ↗
$4.2M RAUM · 1 reps · 917-673-2324 · nninvestmentadvisory.com
Recruiting & transitionsM&A & valuation
60
ELEVATE PLANNERS (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 347-506-6061 · lvtplanners.com
Recruiting & transitionsM&A & valuation
60
STAR WEALTH ADVISORS (BOCA RATON, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 561-427-2424
Recruiting & transitionsM&A & valuation
60
SERENITY CAPITAL ADVISORS INC. (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 · 585-662-8111 · serenitycapadvisors.com
Recruiting & transitionsM&A & valuation
60
PATEL CAPITAL MANAGEMENT (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $7.0M RAUM, 1 reps). IAPD ↗
$7.0M RAUM · 1 reps · 415-867-4301 · patelcapitalmgmt.com
Recruiting & transitionsM&A & valuation
60
CEDRUS (LITTLETON, CO) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 303-710-2708
Recruiting & transitionsM&A & valuation
60
THECE WEALTH MANAGEMENT (NEWPORT BEACH, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · (949) 775-5115 · thece.com
Recruiting & transitionsM&A & valuation
55
ALBION INVESTORS LLC (NEW YORK, NY) left the SEC roster (was $1.46B RAUM, 7 reps). IAPD ↗institutional
$1.46B RAUM · 7 reps · 212-277-7533 · albioninvestors.com
Recruiting & transitionsM&A & valuation
55
RANGER GLOBAL REAL ESTATE ADVISORS, LLC (NEW YORK, NY) left the SEC roster (was $1.33B RAUM, 6 reps). IAPD ↗institutional
$1.33B RAUM · 6 reps · 8663230555
Recruiting & transitionsM&A & valuation
55
BLUE WATER FINANCIAL TECHNOLOGIES LLC (DEEPHAVEN, MN) left the SEC roster (was $6.64B RAUM, 4 reps). IAPD ↗institutional
$6.64B RAUM · 4 reps · 866-217-0246 · bluewater-fintech.com
Recruiting & transitionsM&A & valuation
53
NSI RETAIL ADVISORS, LLC (WARRENDALE, PA) left the SEC roster (was $702.9M RAUM, 4 reps). IAPD ↗institutional
$702.9M RAUM · 4 reps · 412-566-1234
Recruiting & transitionsM&A & valuation
50
WBG ADVISORS LLC (location n/a) left the SEC roster (was $101.8M RAUM, 1 reps). IAPD ↗institutional
$101.8M RAUM · 1 reps · 203-227-3738
Recruiting & transitionsM&A & valuation
50
RCG LONGVIEW (NEW YORK, NY) left the SEC roster (was $1.14B RAUM, 12 reps). IAPD ↗fund
$1.14B RAUM · 12 reps · 212-356-9200 · rcglongview.com
Recruiting & transitionsM&A & valuation
50
SYNTAX ADVISORS, LLC (NEW YORK, NY) left the SEC roster (was $126.3M RAUM, 5 reps). IAPD ↗institutional
$126.3M RAUM · 5 reps · (212) 880-0200
Recruiting & transitionsM&A & valuation
50
CIRCULARIS PARTNERS LP (THE WOODLANDS, TX) left the SEC roster (was $123.4M RAUM, 2 reps). IAPD ↗institutional
$123.4M RAUM · 2 reps · 713-503-0891 · circularis.com
Recruiting & transitionsM&A & valuation
50
FEDERATED INTERNATIONAL SECURITIES CORP. (PITTSBURGH, PA) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · (412) 288-1900
Recruiting & transitionsM&A & valuation
50
LIFESCI FUND MANAGEMENT (NEW YORK, NY) left the SEC roster (was $103.2M RAUM, 1 reps). IAPD ↗institutional
$103.2M RAUM · 1 reps · 646-597-6987 · lifescifunds.com
Recruiting & transitionsM&A & valuation
50
PHORCYS INVESTMENT ADVISORS, LLC (GUAYNABO, PR) left the SEC roster (was $1.24B RAUM, 1 reps). IAPD ↗fund
$1.24B RAUM · 1 reps · 787-979-2163
Recruiting & transitionsM&A & valuation
50
TYPHON CAPITAL MANAGEMENT, LLC (MIAMI BEACH, FL) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 312-836-1180
Recruiting & transitionsM&A & valuation
50
ACRISURE ASSET & WEALTH MANAGEMENT, LLC (GRAND RAPIDS, MI) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 616-541-6752
Recruiting & transitionsM&A & valuation
50
MAG ADVISORS LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 817-421-3823
Recruiting & transitionsM&A & valuation
50
STARTINVEST FINANCIAL LLC (LOS ANGELES, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 424-303-3666
Recruiting & transitionsM&A & valuation
50
WEST BASIN CAPITAL MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 646-494-3862 · westbasincapital.com
Recruiting & transitionsM&A & valuation
50
CARO INVESTORS (CHEVY CHASE, MD) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · (301) 241- 8680 · caroinvestors.com
Recruiting & transitionsM&A & valuation
48
QCM CAYMAN, LTD. (HOUSTON, TX) left the SEC roster (was $270.4M RAUM, 13 reps). IAPD ↗fund
$270.4M RAUM · 13 reps · 713-333-5440 · quantlab.com
Recruiting & transitionsM&A & valuation
48
RK CAPITAL MANAGEMENT, LLC (DENVER, CO) left the SEC roster (was $549.0M RAUM, 6 reps). IAPD ↗fund
$549.0M RAUM · 6 reps · 303-394-0101 · rkcap.com
Recruiting & transitionsM&A & valuation
48
TACONIC PARTNERS (NEW YORK, NY) left the SEC roster (was $431.5M RAUM, 27 reps). IAPD ↗fund
$431.5M RAUM · 27 reps · 212-220-9945 · taconicpartners.com
Recruiting & transitionsM&A & valuation
48
KEY SQUARE GROUP LP (STAMFORD, CT) left the SEC roster (was $557.0M RAUM, 5 reps). IAPD ↗fund
$557.0M RAUM · 5 reps · 212-624-0550 · keysq.com
Recruiting & transitionsM&A & valuation
48
PIPER SANDLER ADVISORS LLC (MINNEAPOLIS, MN) left the SEC roster (was $364.6M RAUM, 7 reps). IAPD ↗fund
$364.6M RAUM · 7 reps · 800-333-6000
Recruiting & transitionsM&A & valuation
48
MKH CAPITAL PARTNERS LP (MIAMI, FL) left the SEC roster (was $265.0M RAUM, 6 reps). IAPD ↗fund
$265.0M RAUM · 6 reps · 305-901-6050 · mkhpartners.com
Recruiting & transitionsM&A & valuation
45
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC (NORFOLK, VA) left the SEC roster (was $190.8M RAUM, 6 reps). IAPD ↗fund
$190.8M RAUM · 6 reps · 757-623-3676 · wstcm.com
Recruiting & transitionsM&A & valuation
45
WINDHAM CAPITAL MANAGEMENT, LLC (CAMBRIDGE, MA) left the SEC roster (was $192.1M RAUM, 5 reps). IAPD ↗fund
$192.1M RAUM · 5 reps · 617-419-3900
Recruiting & transitionsM&A & valuation
45
FCCI CONSULTING, LLC (location n/a) left the SEC roster (was $170.8M RAUM, 2 reps). IAPD ↗fund
$170.8M RAUM · 2 reps · 516-765-7400
Recruiting & transitionsM&A & valuation
45
QUANTLAB CAPITAL MANAGEMENT, LLC (HOUSTON, TX) left the SEC roster (was $16.3M RAUM, 13 reps). IAPD ↗fund
$16.3M RAUM · 13 reps · 713-333-5440 · quantlab.com
Recruiting & transitionsM&A & valuation
45
RESOLUTION RECOVERY PARTNERS MANAGER, LLC (NEW YORK, NY) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗fund
$0 RAUM · 2 reps · (212) 829-4952 · cantor.com
Recruiting & transitionsM&A & valuation
45
LUFKIN ADVISORS, LLC (location n/a) left the SEC roster (was $115.8M RAUM, 0 reps). IAPD ↗fund
$115.8M RAUM · 0 reps · 650-573-1187 · lufkinadvisors.com
Recruiting & transitionsM&A & valuation
45
THAYER GP VI LLC (NEW YORK, NY) left the SEC roster (was $55.1M RAUM, 4 reps). IAPD ↗fund
$55.1M RAUM · 4 reps · 212-417-7000
Recruiting & transitionsM&A & valuation
45
MERIT FUND ADVISORS (BIRMINGHAM, AL) left the SEC roster (was $188.6M RAUM, 13 reps). IAPD ↗fund
$188.6M RAUM · 13 reps · (205) 313-4809
Recruiting & transitionsM&A & valuation
45
BANGTAIL MANAGEMENT, LP (STEAMBOAT SPRINGS, CO) left the SEC roster (was $156.7M RAUM, 8 reps). IAPD ↗fund
$156.7M RAUM · 8 reps · 970-457-4340
Recruiting & transitionsM&A & valuation
45
PACIFIC GENERAL (NEW YORK, NY) left the SEC roster (was $25.0M RAUM, 5 reps). IAPD ↗fund
$25.0M RAUM · 5 reps · 646-470-7631
Recruiting & transitionsM&A & valuation
45
BLUE BEACH CAPITAL (location n/a) left the SEC roster (was $141.8M RAUM, 1 reps). IAPD ↗fund
$141.8M RAUM · 1 reps · 787-647-7123 · bluebeachcap.com
Recruiting & transitionsM&A & valuation
45
DIGITAL ASSET MANAGEMENT (PHOENIX, AZ) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · 6029101254 · damx.us
Recruiting & transitionsM&A & valuation
35
ZEAL ASSET MANAGEMENT LIMITED (HONG KONG, Hong Kong) left the SEC roster (was $1.22B RAUM, 17 reps). IAPD ↗foreign
$1.22B RAUM · 17 reps · 85236269700 · zealasset.com
Recruiting & transitionsM&A & valuation
35
INVESCO ASSET MANAGEMENT (INDIA) PVT. LTD. (MUMBAI, MAHARASHTRA, India) left the SEC roster (was $10.25B RAUM, 21 reps). IAPD ↗foreign
$10.25B RAUM · 21 reps · 91 22 6731 0000 · invescomutualfund.com
Recruiting & transitionsM&A & valuation
35
EIGHTEEN48 PARTNERS (LONDON, United Kingdom) left the SEC roster (was $1.86B RAUM, 18 reps). IAPD ↗foreign
$1.86B RAUM · 18 reps · +44 (0) 20 3670 1855 · eighteen48.com
Recruiting & transitionsM&A & valuation
33
LGIM INTERNATIONAL LTD (LONDON, United Kingdom) left the SEC roster (was $983.5M RAUM, 74 reps). IAPD ↗foreign
$983.5M RAUM · 74 reps · +44 203 124 3942
Recruiting & transitionsM&A & valuation
33
CRYSTAL ASSET MANAGEMENT AG (PFAEFFIKON, Switzerland) left the SEC roster (was $299.2M RAUM, 3 reps). IAPD ↗foreign
$299.2M RAUM · 3 reps · +41 44 389 11 22 · cr-am.ch
Recruiting & transitionsM&A & valuation
33
HEWARD INVESTMENT MANAGEMENT INC. (MONTREAL, QUEBEC, Canada) left the SEC roster (was $445.5M RAUM, 6 reps). IAPD ↗foreign
$445.5M RAUM · 6 reps · 514-985-5757 · heward.com
Recruiting & transitionsM&A & valuation
30
DELTEC INVESTMENT ADVISERS LIMITED (NASSAU, Bahamas, The) left the SEC roster (was $20.1M RAUM, 2 reps). IAPD ↗foreign
$20.1M RAUM · 2 reps · 1-242-302-4100
Recruiting & transitionsM&A & valuation
30
ALVENTO CAPITAL PARTNERS LLP (LONDON, United Kingdom) left the SEC roster (was $202.3M RAUM, 3 reps). IAPD ↗foreign
$202.3M RAUM · 3 reps · +44 203 696 6030 · alventocap.com
Recruiting & transitionsM&A & valuation
30
COMPOSER TECHNOLOGIES (TORONTO, ONTARIO, Canada) left the SEC roster (was $46.7M RAUM, 1 reps). IAPD ↗foreign
$46.7M RAUM · 1 reps · (647) 254-3904 · investcomposer.com
Recruiting & transitionsM&A & valuation
new office — 92 Count of additional offices increased.
55
D.A. DAVIDSON & CO. added office(s): 87 -> 98 additional locations. IAPD ↗
$36.18B RAUM · 410 reps · 406-727-4200 · dadavidson.com
Office IT & facilitiesCRMRecruiting & transitions
55
FRANKLIN ADVISERS, INC. added office(s): 6 -> 7 additional locations. IAPD ↗
$467.02B RAUM · 254 reps · (650) 312-3000
Office IT & facilitiesCRMRecruiting & transitions
55
SAVANT WEALTH MANAGEMENT added office(s): 39 -> 40 additional locations. IAPD ↗
$28.60B RAUM · 185 reps · 815-227-0300 · savantwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
THOMAS DOLL added office(s): 0 -> 1 additional locations. IAPD ↗
$1.42B RAUM · 11 reps · 925.939.2500 · thomasdoll.com
Office IT & facilitiesCRMRecruiting & transitions
55
CAPSTONE FINANCIAL ADVISORS INC added office(s): 0 -> 1 additional locations. IAPD ↗
$2.12B RAUM · 25 reps · 630-241-0833 · capstone-advisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
MOISAND FITZGERALD TAMAYO, LLC added office(s): 2 -> 11 additional locations. IAPD ↗
$1.03B RAUM · 9 reps · 407-869-6228
Office IT & facilitiesCRMRecruiting & transitions
55
REDW WEALTH LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$1.00B RAUM · 9 reps · 505-998-3200
Office IT & facilitiesCRMRecruiting & transitions
55
GRIES FINANCIAL PARTNERS added office(s): 6 -> 9 additional locations. IAPD ↗
$1.28B RAUM · 17 reps · 833-309-9900 · gries.com
Office IT & facilitiesCRMRecruiting & transitions
55
WAVERLY ADVISORS, LLC added office(s): 28 -> 34 additional locations. IAPD ↗
$14.54B RAUM · 141 reps · 205-871-3334 · waverly-advisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
FRANKLIN TEMPLETON INSTITUTIONAL, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$28.93B RAUM · 28 reps · (212) 632-3000
Office IT & facilitiesCRMRecruiting & transitions
55
TORTOISE INVESTMENT MANAGEMENT, LLC added office(s): 1 -> 14 additional locations. IAPD ↗
$1.46B RAUM · 16 reps · 914-686-0024 · tortoiseinvestment.com
Office IT & facilitiesCRMRecruiting & transitions
55
SRS CAPITAL ADVISORS, LLC added office(s): 5 -> 11 additional locations. IAPD ↗
$1.44B RAUM · 15 reps · 303-633-5900 · simondavisinc.com
Office IT & facilitiesCRMRecruiting & transitions
55
CLEAR HARBOR ASSET MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.46B RAUM · 14 reps · 212-867-7310
Office IT & facilitiesCRMRecruiting & transitions
55
MODERA WEALTH MANAGEMENT, LLC added office(s): 21 -> 26 additional locations. IAPD ↗
$12.53B RAUM · 100 reps · (201) 768-4600
Office IT & facilitiesCRMRecruiting & transitions
55
FOURSTAR WEALTH ADVISORS, LLC added office(s): 25 -> 26 additional locations. IAPD ↗
$1.02B RAUM · 39 reps · (312) 667-1750 · timeto.planyourexitstrategy.com
Office IT & facilitiesCRMRecruiting & transitions
55
COMPOUND PLANNING added office(s): 44 -> 45 additional locations. IAPD ↗
$1.40B RAUM · 13 reps · 888-533-9364 · lifeplan2retire.com
Office IT & facilitiesCRMRecruiting & transitions
55
ONEASCENT FINANCIAL SERVICES LLC added office(s): 31 -> 32 additional locations. IAPD ↗
$1.79B RAUM · 39 reps · 205-313-9142 · adventurefinancial.net
Office IT & facilitiesCRMRecruiting & transitions
55
EVERSOURCE WEALTH ADVISORS, LLC added office(s): 23 -> 25 additional locations. IAPD ↗
$2.69B RAUM · 40 reps · 205-982-5515 · clarionwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
ALERA INVESTMENT ADVISORS, LLC added office(s): 12 -> 13 additional locations. IAPD ↗
$2.73B RAUM · 52 reps · (847) 457-3000 · aleragroup.com
Office IT & facilitiesCRMRecruiting & transitions
55
PRAIRIE CAPITAL MANAGEMENT GROUP, LLC added office(s): 3 -> 5 additional locations. IAPD ↗
$6.51B RAUM · 24 reps · 860-596-8126
Office IT & facilitiesCRMRecruiting & transitions
55
CONCURRENT INVESTMENT ADVISORS, LLC added office(s): 39 -> 42 additional locations. IAPD ↗
$6.26B RAUM · 133 reps · (813) 575-2652 · concurrentboca.com
Office IT & facilitiesCRMRecruiting & transitions
53
WEINBERGER ASSET MANAGEMENT, INC added office(s): 0 -> 1 additional locations. IAPD ↗
$360.2M RAUM · 3 reps · 310-442-8472 · wamasset.com
Office IT & facilitiesCRMRecruiting & transitions
53
AMERICA FIRST INVESTMENT ADVISORS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$476.0M RAUM · 7 reps · 402-991-3388
Office IT & facilitiesCRMRecruiting & transitions
53
WINANS INVESTMENTS added office(s): 1 -> 2 additional locations. IAPD ↗
$258.2M RAUM · 2 reps · 800-494-6267
Office IT & facilitiesCRMRecruiting & transitions
53
CTS FINANCIAL PLANNING, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$298.7M RAUM · 4 reps · 312-337-1040
Office IT & facilitiesCRMRecruiting & transitions
53
CONSOLIDATED PORTFOLIO REVIEW CORP added office(s): 17 -> 19 additional locations. IAPD ↗
$905.6M RAUM · 28 reps · 631-845-5100 · 3dwealthadvisory.com
Office IT & facilitiesCRMRecruiting & transitions
53
COPPERLEAF CAPITAL, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$255.1M RAUM · 4 reps · 919-787-9725
Office IT & facilitiesCRMRecruiting & transitions
53
HOPWOOD FINANCIAL SERVICES, INC. added office(s): 5 -> 6 additional locations. IAPD ↗
$548.1M RAUM · 6 reps · 703-787-0008
Office IT & facilitiesCRMRecruiting & transitions
53
NAMCOA added office(s): 7 -> 8 additional locations. IAPD ↗
$277.7M RAUM · 17 reps · (239) 593-5525 · dstnews.org
Office IT & facilitiesCRMRecruiting & transitions
53
MACROVIEW INVESTMENT MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$270.9M RAUM · 4 reps · 301-907-6794
Office IT & facilitiesCRMRecruiting & transitions
53
DESTINY WEALTH PARTNERS, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$996.8M RAUM · 11 reps · 352.343.2700
Office IT & facilitiesCRMRecruiting & transitions
53
EQUITA FINANCIAL NETWORK, INC. added office(s): 13 -> 14 additional locations. IAPD ↗
$283.1M RAUM · 13 reps · 800.604.0176
Office IT & facilitiesCRMRecruiting & transitions
53
BOSTONPREMIER WEALTH added office(s): 1 -> 2 additional locations. IAPD ↗
$322.4M RAUM · 5 reps · (617) 934-1100
Office IT & facilitiesCRMRecruiting & transitions
53
STRATA WEALTH ADVISORS, LLC added office(s): 0 -> 10 additional locations. IAPD ↗
$795.5M RAUM · 11 reps · (214) 420-7020 · stratawealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
ORBA WEALTH ADVISORS, LLC added office(s): 12 -> 13 additional locations. IAPD ↗
$257.1M RAUM · 16 reps · (312) 670-6262
Office IT & facilitiesCRMRecruiting & transitions
53
INSPIRE ADVISORS, LLC added office(s): 28 -> 29 additional locations. IAPD ↗
$835.3M RAUM · 45 reps · 877-859-6383 · inspireadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
CONVERGENCE FINANCIAL added office(s): 9 -> 10 additional locations. IAPD ↗
$422.4M RAUM · 13 reps · (573) 818-2264
Office IT & facilitiesCRMRecruiting & transitions
53
ALETHEIAN WEALTH ADVISORS LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$350.0M RAUM · 5 reps · 425-458-2840 · aletheianadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
PALUMBO WEALTH MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$322.7M RAUM · 4 reps · (516) 629-7073 · palumbowm.com
Office IT & facilitiesCRMRecruiting & transitions
53
ALPHA FINANCIAL PARTNERS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$295.0M RAUM · 3 reps · (859) 785-2660
Office IT & facilitiesCRMRecruiting & transitions
53
WEALTHPLAN INVESTMENT MANAGEMENT LLC added office(s): 1 -> 3 additional locations. IAPD ↗
$988.9M RAUM · 8 reps · 402-691-0200
Office IT & facilitiesCRMRecruiting & transitions
53
RIDGECREST WEALTH PARTNERS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$542.8M RAUM · 2 reps · 415-260-2616 · ridgecrestwp.com
Office IT & facilitiesCRMRecruiting & transitions
53
GADDIS PREMIER WEALTH ADVISORS LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$278.6M RAUM · 7 reps · 580-745-8133
Office IT & facilitiesCRMRecruiting & transitions
53
WEALTH SCIENCE ADVISORS LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$368.9M RAUM · 7 reps · 678-837-5438 · wealthscienceadvisors.net
Office IT & facilitiesCRMRecruiting & transitions
53
ETHOS FINANCIAL GROUP, LLC added office(s): 3 -> 5 additional locations. IAPD ↗
$913.9M RAUM · 20 reps · 484-889-7270 · ethosfg.com
Office IT & facilitiesCRMRecruiting & transitions
53
PORTSIDE WEALTH GROUP, LLC added office(s): 33 -> 34 additional locations. IAPD ↗
$884.8M RAUM · 37 reps · 385-412-1222
Office IT & facilitiesCRMRecruiting & transitions
53
CRUX WEALTH ADVISORS added office(s): 3 -> 5 additional locations. IAPD ↗
$250.8M RAUM · 13 reps · 562.735.3875
Office IT & facilitiesCRMRecruiting & transitions
50
BRADFORD FINANCIAL CENTER added office(s): 3 -> 4 additional locations. IAPD ↗
$209.8M RAUM · 12 reps · 515.532.6661 · bradfordfinancialcenter.com
Office IT & facilitiesCRMRecruiting & transitions
50
THE FOUNDRY FINANCIAL GROUP, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$207.9M RAUM · 5 reps · 603-528-5171
Office IT & facilitiesCRMRecruiting & transitions
50
ORION CAPITAL MANAGEMENT LLC added office(s): 4 -> 6 additional locations. IAPD ↗
$218.5M RAUM · 3 reps · (619) 319-0520 · sierra-ws.com
Office IT & facilitiesCRMRecruiting & transitions
50
LONGVIEW FINANCIAL ADVISORS, INC. added office(s): 1 -> 3 additional locations. IAPD ↗
$180.5M RAUM · 4 reps · 256-534-1196 · longviewfa.com
Office IT & facilitiesCRMRecruiting & transitions
50
PRINCE FINANCIAL ADVISORY LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$50.6M RAUM · 1 reps · 212-286-1372
Office IT & facilitiesCRMRecruiting & transitions
50
ALPHA DOG ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$168.1M RAUM · 2 reps · 401-351-4900
Office IT & facilitiesCRMRecruiting & transitions
50
SYNTAL CAPITAL PARTNERS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$60.3M RAUM · 1 reps · 432-262-8111 · syntal.com
Office IT & facilitiesCRMRecruiting & transitions
50
SHADOWRIDGE ASSET MANAGEMENT, LLC added office(s): 4 -> 6 additional locations. IAPD ↗
$108.5M RAUM · 6 reps · 888-434-1427
Office IT & facilitiesCRMRecruiting & transitions
50
VANGUARD CAPITAL added office(s): 1 -> 2 additional locations. IAPD ↗
$194.6M RAUM · 0 reps · 844-861-7504 · vcapwa.com
Office IT & facilitiesCRMRecruiting & transitions
50
XYPN INVEST added office(s): 15 -> 17 additional locations. IAPD ↗
$133.3M RAUM · 15 reps · (360) 301-7579 · hundredfp.com
Office IT & facilitiesCRMRecruiting & transitions
50
INVEST CAPITAL PARTNERS added office(s): 4 -> 5 additional locations. IAPD ↗
$144.5M RAUM · 9 reps · 937-557-3200 · mwm.financial
Office IT & facilitiesCRMRecruiting & transitions
50
PROXY WEALTH ADVISORS LLC added office(s): 8 -> 9 additional locations. IAPD ↗
$132.8M RAUM · 12 reps · 646-289-5075 · proxywealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
SUCCESS WEALTH MANAGEMENT LLC added office(s): 13 -> 14 additional locations. IAPD ↗
$40.1M RAUM · 14 reps · 724-934-8128
Office IT & facilitiesCRMRecruiting & transitions
50
THEPARTNERS WEALTH MANAGEMENT added office(s): 10 -> 11 additional locations. IAPD ↗
$172.5M RAUM · 7 reps · 800-324-3010 · wilkinswealthmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
50
BLUEPRINT FINANCIAL ADVISORS added office(s): 13 -> 14 additional locations. IAPD ↗
$132.5M RAUM · 14 reps · 336-609-7522 · buildyourblueprint.com
Office IT & facilitiesCRMRecruiting & transitions
50
EARNED WEALTH added office(s): 9 -> 10 additional locations. IAPD ↗
$106.6M RAUM · 7 reps · (914) 417-4556 · earnedwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
WINNOW WEALTH, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$101.0M RAUM · 3 reps · 254-776-8400 · winnowwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
ALLIO ADVISORS added office(s): 0 -> 2 additional locations. IAPD ↗
$234,911 RAUM · 3 reps · (845) 475-7905 · alliocapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
ARTA FINANCE added office(s): 0 -> 1 additional locations. IAPD ↗
$59.1M RAUM · 18 reps · 650-318-3898
Office IT & facilitiesCRMRecruiting & transitions
50
ALPHA ZERO LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$172.0M RAUM · 6 reps · (561) 576-2599 · alphazerowealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
ATHENA WEALTH MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$107.7M RAUM · 1 reps · (408) 684-3705 · athenawm.com
Office IT & facilitiesCRMRecruiting & transitions
50
BROADSTREET GLOBAL ADVISORS, INC. added office(s): 2 -> 3 additional locations. IAPD ↗
$102.7M RAUM · 4 reps · 914-427-8036 · broadstreetglobaladvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
MARIDEA WEALTH MANAGEMENT added office(s): 7 -> 8 additional locations. IAPD ↗
$25.2M RAUM · 9 reps · 269-598-0939 · marideawealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
FOGUTH WEALTH MANAGEMENT, LLC. added office(s): 9 -> 10 additional locations. IAPD ↗
$237.0M RAUM · 10 reps · (810) 522-5650
Office IT & facilitiesCRMRecruiting & transitions
50
DECISIONMAP WEALTH MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$177.4M RAUM · 4 reps · (703) 520-1160 · decisionmap.com
Office IT & facilitiesCRMRecruiting & transitions
50
BROADSTREET FAMILY OFFICE LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · (914) 427-8036 · broadstreetfamilyoffice.com
Office IT & facilitiesCRMRecruiting & transitions
50
EXPRESSIVE WEALTH LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$124.8M RAUM · 7 reps · 847-595-8812 · expressivewealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
CORNERSTONE ALTERNATIVES added office(s): 1 -> 2 additional locations. IAPD ↗
$103.3M RAUM · 2 reps · 315-416-3384 · cornerstonealternatives.com
Office IT & facilitiesCRMRecruiting & transitions
50
HARBORFRONT FINANCIAL GROUP added office(s): 1 -> 2 additional locations. IAPD ↗
$0 RAUM · 4 reps · 231-843-1516 · custerfinancialadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
LIFT ASSET MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · 303-887-1729
Office IT & facilitiesCRMRecruiting & transitions
50
CANTATA WEALTH MANAGEMENT, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$32.3M RAUM · 3 reps · 844-226-8282 · cantatawealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
SMITH WYND CAPITAL LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 3 reps · (615) 794-8881 · smithwynd.com
Office IT & facilitiesCRMRecruiting & transitions
50
AERIE ADVISORY GROUP LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 2 reps · (253) 209-7425
Office IT & facilitiesCRMRecruiting & transitions
45
PUBLIC TRUST ADVISORS, LLC added office(s): 5 -> 6 additional locations. IAPD ↗institutional
$81.14B RAUM · 16 reps · 855-395-3954 · publictrustadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
40
SENVEST MANAGEMENT, LLC added office(s): 4 -> 5 additional locations. IAPD ↗fund
$3.67B RAUM · 14 reps · 212-202-3250 · senvest.com
Office IT & facilitiesCRMRecruiting & transitions
40
ALPHADYNE ASSET MANAGEMENT LP added office(s): 4 -> 5 additional locations. IAPD ↗fund
$115.31B RAUM · 21 reps · 212-806-3700 · adyne.com
Office IT & facilitiesCRMRecruiting & transitions
40
HUDSON BAY CAPITAL MANAGEMENT LP added office(s): 4 -> 5 additional locations. IAPD ↗fund
$31.12B RAUM · 100 reps · (475) 900-9550 · hudsonbaycapital.com
Office IT & facilitiesCRMRecruiting & transitions
40
BLUEARC CAPITAL MANAGEMENT added office(s): 0 -> 2 additional locations. IAPD ↗fund
$1.68B RAUM · 4 reps · 404-419-6130 · bluearccapital.com
Office IT & facilitiesCRMRecruiting & transitions
40
FS GLOBAL ADVISOR, LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$2.65B RAUM · 15 reps · 215-220-6651
Office IT & facilitiesCRMRecruiting & transitions
40
ACTIVANT CAPITAL GROUP LLC added office(s): 2 -> 3 additional locations. IAPD ↗fund
$1.24B RAUM · 8 reps · 203-489-9080 · activantcapital.com
Office IT & facilitiesCRMRecruiting & transitions
40
ARC70 ADVISERS LP added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.34B RAUM · 6 reps · (415) 322-3260 · arc70.com
Office IT & facilitiesCRMRecruiting & transitions
40
MARTIS CAPITAL MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$1.96B RAUM · 18 reps · 202-975-1281
Office IT & facilitiesCRMRecruiting & transitions
35
ARTESIAN CAPITAL MANAGEMENT (DELAWARE) LP added office(s): 0 -> 1 additional locations. IAPD ↗fund
$25.0M RAUM · 4 reps · (646) 270-4224 · artesianinvest.com
Office IT & facilitiesCRMRecruiting & transitions
25
RAYMOND JAMES (USA) LTD added office(s): 60 -> 65 additional locations. IAPD ↗foreign
$1.54B RAUM · 125 reps · 877-570-7558 · rjlu.com
Office IT & facilitiesCRMRecruiting & transitions
23
J. SAFRA SARASIN ASSET MANAGEMENT (NORTH AMERICA) LTD added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$922.8M RAUM · 3 reps · 41583176400 · jsafrasarasin.com
Office IT & facilitiesCRMRecruiting & transitions
new registration — 70 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
98
CURRY WEBB WEALTH MANAGEMENT LLC (INDIANAPOLIS, IN) is newly SEC-registered with $293.8M RAUM and 4 advisory reps. IAPD ↗
$293.8M RAUM · 4 reps · 317-999-5323 · currywebb.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE CHIP MONEY MANAGEMENT, LLC (location n/a) is newly SEC-registered with $41.5M RAUM and 1 advisory reps. IAPD ↗
$41.5M RAUM · 1 reps · 540 431-5802
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BERKELEY ADVISORS, INC. (ATLANTA, GA) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
$102.0M RAUM · 2 reps · 404-580-9560 · berkeleyadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLADWYN FINANCIAL ADVISORS, INC. (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
$141.9M RAUM · 1 reps · 703-810-8424 · gladwynfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HEALTHVIEW ASSET MANAGEMENT, INC. (PITTSBURGH, PA) is newly SEC-registered with $100.4M RAUM and 3 advisory reps. IAPD ↗
$100.4M RAUM · 3 reps · 412-782-5400 · healthviewria.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORTRESS FINANCIAL SOLUTIONS, LLC (TUCSON, AZ) is newly SEC-registered with $117.9M RAUM and 6 advisory reps. IAPD ↗
$117.9M RAUM · 6 reps · 520-751-8600 · fortresscompany.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALISADE WEALTH MANAGEMENT (DRAPER, UT) is newly SEC-registered with $116.0M RAUM and 3 advisory reps. IAPD ↗
$116.0M RAUM · 3 reps · 650-387-3808 · jacobsequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AVENTUS INVESTMENT ADVISORS, INC. (CORNELIUS, NC) is newly SEC-registered with $118.5M RAUM and 2 advisory reps. IAPD ↗
$118.5M RAUM · 2 reps · 704-237-4207
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLAIR HALL ADVISORS, LLC (location n/a) is newly SEC-registered with $110.9M RAUM and 2 advisory reps. IAPD ↗
$110.9M RAUM · 2 reps · (206) 397-0325 · blairhalladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GARNETT INVESTMENT STRATEGIES (BEATRICE, NE) is newly SEC-registered with $122.9M RAUM and 2 advisory reps. IAPD ↗
$122.9M RAUM · 2 reps · 402-223-3433 · garnettinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRILLIANT ADVICE, LLC (CINCINNATI, OH) is newly SEC-registered with $133.7M RAUM and 2 advisory reps. IAPD ↗
$133.7M RAUM · 2 reps · 513-703-2100 · brilliantadvice.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TEPP WEALTH MANAGEMENT (WESTFIELD, NJ) is newly SEC-registered with $149.2M RAUM and 2 advisory reps. IAPD ↗
$149.2M RAUM · 2 reps · 908-301-1200 · teppwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLF ASSET MANAGEMENT, INC. (MADISON, WI) is newly SEC-registered with $105.9M RAUM and 5 advisory reps. IAPD ↗
$105.9M RAUM · 5 reps · 8885053956 · clfasset.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UNIFIED WEALTH MANAGEMENT LLC (OLDSMAR, FL) is newly SEC-registered with $106.5M RAUM and 2 advisory reps. IAPD ↗
$106.5M RAUM · 2 reps · 727-216-8051
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UNITED VALUE CAPITAL, LLC (location n/a) is newly SEC-registered with $129.0M RAUM and 1 advisory reps. IAPD ↗
$129.0M RAUM · 1 reps · 801-310-8101 · unitedvaluecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GUNDER WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $103.1M RAUM and 2 advisory reps. IAPD ↗
$103.1M RAUM · 2 reps · 248-686-0820
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPREHENSIVE FINANCIAL CONSULTANTS (CICERO, IN) is newly SEC-registered with $140.3M RAUM and 2 advisory reps. IAPD ↗
$140.3M RAUM · 2 reps · 317-984-7693 · cfcplans.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CURTIS WEALTH MANAGEMENT LLC (HENDERSON, NV) is newly SEC-registered with $144.9M RAUM and 2 advisory reps. IAPD ↗
$144.9M RAUM · 2 reps · 702-720-3551
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHEPHERD WEALTH MANAGEMENT (CINCINNATI, OH) is newly SEC-registered with $101.6M RAUM and 2 advisory reps. IAPD ↗
$101.6M RAUM · 2 reps · (513) 630-2664 · shepherdwm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KERUSSO CAPITAL MANAGEMENT, LLC (WINSTON-SALEM, NC) is newly SEC-registered with $163.1M RAUM and 2 advisory reps. IAPD ↗
$163.1M RAUM · 2 reps · 404-226-2537
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRICKSTONE ADVISORS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 954-856-5532 · brickstoneadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RBG WEALTH ADVISORS LLC (MEMPHIS, TN) is newly SEC-registered with $103.0M RAUM and 3 advisory reps. IAPD ↗
$103.0M RAUM · 3 reps · 901-244-2980
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HALLSTATT ADVISORS L.P. (NEW YORK, NY) is newly SEC-registered with $67.3M RAUM and 1 advisory reps. IAPD ↗
$67.3M RAUM · 1 reps · 212-804-9085
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WALLEM ASSOCIATES, INC. (LOVES PARK, IL) is newly SEC-registered with $107.0M RAUM and 2 advisory reps. IAPD ↗
$107.0M RAUM · 2 reps · 815-636-4459 · wallemassociates.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TREND TRADE PRO, LLC (PASADENA, CA) is newly SEC-registered with $182.3M RAUM and 1 advisory reps. IAPD ↗
$182.3M RAUM · 1 reps · 818-288-6338
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PARADIGM INSTITUTIONAL INVESTORS (DALLAS, TX) is newly SEC-registered with $189.5M RAUM and 1 advisory reps. IAPD ↗
$189.5M RAUM · 1 reps · 216-505-0835 · paradigmii.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VINEYARD WEALTH GROUP, LLC (WEST TISBURY, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (508) 696-2000 · vineyardwealthgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BEATRICE ADVISORS LP (NEW YORK, NY) is newly SEC-registered with $64.7M RAUM and 2 advisory reps. IAPD ↗
$64.7M RAUM · 2 reps · 212-688-1261 · beatriceadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VINTRIS WEALTH MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 203-231-0496 · vintriswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INRI (MOUNTAIN VIEW, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 9143202771 · goinri.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EVERY SECURITIES LLC (SACRAMENTO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 516-236-9277
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SINDIA CAPITAL ADVISERS, LLC (SOMERS POINT, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 484-908-9118
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HEWELL FINANCIAL GROUP, INC. (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (530) 400-4851 · hewellfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JW NOVA WEALTH PARTNERS (NEWTOWN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 267-753-7067
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REVV CAPITAL, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 207-664-3652 · revvinvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MON CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 6466435540
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VIAQUEST ADVISORS LLC (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 281-335-7609
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MORA FINANCIAL (SANTA ANA, CA) is newly SEC-registered with $500,000 RAUM and 1 advisory reps. IAPD ↗
$500,000 RAUM · 1 reps · 341-206-3396 · mora.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALIGN FINANCIAL ADVISORS, LLC (MCKINNEY, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 214-519-8750 · alignfinancialadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
B.SIDE INVESTMENTS LLC (DORAL, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 305-801-2263
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CREATIVE INVESTMENT GROUP (NASHVILLE, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 615 949 9629 · creativeinvests.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROOKSIDE STRATEGY AND CONSULTING (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 818-429-7419
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LUNIN-PACK PLANNING AND ADVICE, LLC (COLD SPRING, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 845-265-4300
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SELBY WEALTH MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 650-766-5984
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BRIGHT PORTFOLIOS, LLC (LEE'S SUMMIT, MO) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 877-274-7678 · brightportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
HARMONT FIXED INCOME, LLC (location n/a) is newly SEC-registered with $125.1M RAUM and 1 advisory reps. IAPD ↗institutional
$125.1M RAUM · 1 reps · 602-791-1800 · harmontfixedincome.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
POP VENTURE ADVISERS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-693-2798
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
NEW CATALYST (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 202-240-8775 · newcatalystsp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ZACKS INTELLIGENCE LLC (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · (312)-265-9500 · zacksintelligence.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
IDIRECT PRIVATE CREDIT ADVISORS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗institutional
$0 RAUM · 10 reps · 212-994-7400 · icapitalnetwork.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SARDIS GROUP, LLC (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · (404) 282-5552 · sardisgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
RECKONER CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 917 573 9058
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ELMIND CAPITAL LP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 650-796-6466
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
1823 PARTNERS (US) LLC (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
$0 RAUM · 8 reps · 202-431-7882
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TACTICAL ROTATION MANAGEMENT, LLC (FOREST HILLS, NY) is newly SEC-registered with $65.5M RAUM and 1 advisory reps. IAPD ↗institutional
$65.5M RAUM · 1 reps · 646-755-9843 · tacticalrotation.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CIFC PRIVATE CREDIT MANAGEMENT LLC (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 100 advisory reps. IAPD ↗institutional
$0 RAUM · 100 reps · 786-652-3250 · cifc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
LORD ABBETT CLO MANAGEMENT LP (JERSEY CITY, NJ) is newly SEC-registered with $0 RAUM and 264 advisory reps. IAPD ↗institutional
$0 RAUM · 264 reps · 201-827-2000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SOCOTRA MANAGEMENT, INC. (SACRAMENTO, CA) is newly SEC-registered with $408.2M RAUM and 3 advisory reps. IAPD ↗fund
$408.2M RAUM · 3 reps · 916-617-2221 · socotracapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MIZZEN MANAGEMENT LLC (STAMFORD, CT) is newly SEC-registered with $354.3M RAUM and 10 advisory reps. IAPD ↗fund
$354.3M RAUM · 10 reps · 203-293-7820 · mizzencapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CYPRESS POINT INVESTMENT MANAGEMENT LP (MILL VALLEY, CA) is newly SEC-registered (provisional 120-day approval) with $77.4M RAUM and 4 advisory reps. IAPD ↗fund
$77.4M RAUM · 4 reps · 415-598-1040 · cypresspointlp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
PROSSER CREEK ASSET MANAGEMENT LLC (CORTE MADERA, CA) is newly SEC-registered (provisional 120-day approval) with $41.1M RAUM and 1 advisory reps. IAPD ↗fund
$41.1M RAUM · 1 reps · 415-294-3507
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
RAVENSWOOD PARTNERS LP (MCLEAN, VA) is newly SEC-registered with $162.6M RAUM and 3 advisory reps. IAPD ↗fund
$162.6M RAUM · 3 reps · 703-382-8689
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
LONG ANGLE MANAGEMENT, LLC (location n/a) is newly SEC-registered with $234.9M RAUM and 2 advisory reps. IAPD ↗fund
$234.9M RAUM · 2 reps · 808-651-4737
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
GFI INVESTMENT COUNSEL (TORONTO, ONTARIO, Canada) is newly SEC-registered with $1.65B RAUM and 7 advisory reps. IAPD ↗foreign
$1.65B RAUM · 7 reps · 416-488-8825 · gfiic.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
BAYFOREST (LONDON, United Kingdom) is newly SEC-registered with $290.5M RAUM and 8 advisory reps. IAPD ↗foreign
$290.5M RAUM · 8 reps · 442039685227 · bayforest.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
ARROW CAPITAL PTY LTD (SYDNEY NSW, Australia) is newly SEC-registered with $749.5M RAUM and 2 advisory reps. IAPD ↗foreign
$749.5M RAUM · 2 reps · +61 2 9169 7770 · arrow-cap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
TOTUS ALPHA MANAGEMENT PTY LTD (SYDNEY, NSW, Australia) is newly SEC-registered with $189.4M RAUM and 3 advisory reps. IAPD ↗foreign
$189.4M RAUM · 3 reps · 61-2-80729945 · totuscapital.com.au
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
SENGU CAPITAL LIMITED (HONG KONG, Hong Kong) is newly SEC-registered with $135.0M RAUM and 2 advisory reps. IAPD ↗foreign
$135.0M RAUM · 2 reps · 852 3428 2949 · sengu-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
TH GARP (LONDON, United Kingdom) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 447778863790
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
OPTIMIZE WEALTH MANAGEMENT (TORONTO, ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 866-209-6862
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
aum up — 48 Regulatory AUM up >=25% since last filing.
74
EAGLE ASSET MANAGEMENT INC reported RAUM up 74% ($33.55B -> $58.48B). IAPD ↗
$58.48B RAUM · 44 reps · 727-573-2453
Portfolio / reporting / TAMPCRMFinancial planning software
73
NOMAD reported RAUM up 81% ($215.0M -> $389.5M). IAPD ↗
$389.5M RAUM · 22 reps · 1-888-998-2261 · nomadglobal.com
Portfolio / reporting / TAMPCRMFinancial planning software
73
PUREFI WEALTH, LLC reported RAUM up 147% ($107.6M -> $265.9M). IAPD ↗
$265.9M RAUM · 5 reps · (617) 488-9320
Portfolio / reporting / TAMPCRMFinancial planning software
71
O'SHAUGHNESSY ASSET MANAGEMENT, LLC reported RAUM up 58% ($7.98B -> $12.60B). IAPD ↗
$12.60B RAUM · 47 reps · 203-975-3333
Portfolio / reporting / TAMPCRMFinancial planning software
70
FINANCIAL GRAVITY ASSET MANAGEMENT, INC. reported RAUM up 61% ($290.6M -> $469.1M). IAPD ↗
$469.1M RAUM · 1 reps · 1-800-920-9722 · financialgravityassetmanagement.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
GAMMA ASSET MANAGEMENT LLC reported RAUM up 143% ($100.6M -> $244.1M). IAPD ↗
$244.1M RAUM · 7 reps · 787-957-3260 · gammaam.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
SSB&T WEALTH MANAGEMENT, LLC reported RAUM up 182% ($35.4M -> $100.0M). IAPD ↗
$100.0M RAUM · 1 reps · 830-997-7575 · ssbtwealth.com
Portfolio / reporting / TAMPCRMFinancial planning software
68
SUMMIT FINANCIAL, LLC reported RAUM up 44% ($8.02B -> $11.55B). IAPD ↗
$11.55B RAUM · 119 reps · 973-285-3600
Portfolio / reporting / TAMPCRMFinancial planning software
68
MANNA WEALTH MANAGEMENT reported RAUM up 68% ($74.2M -> $125.0M). IAPD ↗
$125.0M RAUM · 1 reps · 305-306-7107 · mannawealthmanagement.com
Portfolio / reporting / TAMPCRMFinancial planning software
67
FRANKLIN ADVISERS, INC. reported RAUM up 38% ($339.18B -> $467.02B). IAPD ↗
$467.02B RAUM · 254 reps · (650) 312-3000
Portfolio / reporting / TAMPCRMFinancial planning software
67
RFM FINANCIAL SOLUTIONS, LLC reported RAUM up 64% ($138.7M -> $227.6M). IAPD ↗
$227.6M RAUM · 3 reps · 989.772.1209 · rfmfinancialsolutions.com
Portfolio / reporting / TAMPCRMFinancial planning software
67
KRILOGY reported RAUM up 40% ($2.51B -> $3.50B). IAPD ↗
$3.50B RAUM · 49 reps · 314-884-2800 · krilogy.com
Portfolio / reporting / TAMPCRMFinancial planning software
67
STONEX ADVISORS INC. reported RAUM up 36% ($3.32B -> $4.52B). IAPD ↗
$4.52B RAUM · 233 reps · 800-292-2411
Portfolio / reporting / TAMPCRMFinancial planning software
67
CORNERSTONE ADVISORS LLC reported RAUM up 50% ($182.6M -> $273.7M). IAPD ↗
$273.7M RAUM · 9 reps · 501-943-7132
Portfolio / reporting / TAMPCRMFinancial planning software
66
INGALLS & SNYDER LLC reported RAUM up 32% ($5.23B -> $6.90B). IAPD ↗
$6.90B RAUM · 50 reps · 212-269-7800 · ingalls.net
Portfolio / reporting / TAMPCRMFinancial planning software
66
RAMIREZ ASSET MANAGEMENT, INC. reported RAUM up 33% ($9.13B -> $12.14B). IAPD ↗
$12.14B RAUM · 19 reps · 212-248-0500
Portfolio / reporting / TAMPCRMFinancial planning software
66
PITTENGER & ANDERSON INC reported RAUM up 34% ($2.48B -> $3.31B). IAPD ↗
$3.31B RAUM · 14 reps · 402-328-8800 · pittand.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
D.A. DAVIDSON & CO. reported RAUM up 30% ($27.93B -> $36.18B). IAPD ↗
$36.18B RAUM · 410 reps · 406-727-4200 · dadavidson.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
L.M. KOHN & COMPANY reported RAUM up 25% ($1.67B -> $2.09B). IAPD ↗
$2.09B RAUM · 63 reps · 513-792-0301 · lmkohn.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
COPPERLEAF CAPITAL, LLC reported RAUM up 37% ($185.8M -> $255.1M). IAPD ↗
$255.1M RAUM · 4 reps · 919-787-9725
Portfolio / reporting / TAMPCRMFinancial planning software
65
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC reported RAUM up 25% ($275.43B -> $344.87B). IAPD ↗
$344.87B RAUM · 5720 reps · 727-567-3020
Portfolio / reporting / TAMPCRMFinancial planning software
65
INTEGRATED QUANTITATIVE INVESTMENTS LLC reported RAUM up 39% ($280.0M -> $389.0M). IAPD ↗
$389.0M RAUM · 5 reps · 12067175559 · integratedquant.com
Portfolio / reporting / TAMPCRMFinancial planning software
64
NOESIS CAPITAL MANAGEMENT CORP reported RAUM up 31% ($539.9M -> $707.2M). IAPD ↗
$707.2M RAUM · 7 reps · 561-999-9888 · noesis-capital.com
Portfolio / reporting / TAMPCRMFinancial planning software
64
HIGHLAND INVESTMENT ADVISORS LLC reported RAUM up 31% ($239.2M -> $314.1M). IAPD ↗
$314.1M RAUM · 9 reps · 414-755-2309 · highlandinvestmentadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
FIRST KENTUCKY SECURITIES CORP reported RAUM up 27% ($535.3M -> $678.6M). IAPD ↗
$678.6M RAUM · 17 reps · 502-893-7288 · firstky.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
INVESTMENT ADVISORY PROFESSIONALS LLC reported RAUM up 26% ($275.4M -> $347.9M). IAPD ↗
$347.9M RAUM · 3 reps · 561-391-4477
Portfolio / reporting / TAMPCRMFinancial planning software
63
SMITH & HOWARD WEALTH MANAGEMENT, LLC reported RAUM up 29% ($502.5M -> $646.5M). IAPD ↗
$646.5M RAUM · 6 reps · 404-874-6244
Portfolio / reporting / TAMPCRMFinancial planning software
63
HENNESSY ADVISORS, INC. reported RAUM up 68% ($3.07B -> $5.15B). IAPD ↗institutional
$5.15B RAUM · 8 reps · 415-899-1555 · hennessyadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, INC. reported RAUM up 25% ($369.2M -> $463.0M). IAPD ↗
$463.0M RAUM · 3 reps · 516-887-4433
Portfolio / reporting / TAMPCRMFinancial planning software
63
FIDUCIARY FINANCIAL GROUP, LLC reported RAUM up 27% ($544.6M -> $692.9M). IAPD ↗
$692.9M RAUM · 8 reps · 415-352-1100
Portfolio / reporting / TAMPCRMFinancial planning software
63
VALKYRIE FUNDS LLC reported RAUM up 126% ($152.1M -> $343.2M). IAPD ↗institutional
$343.2M RAUM · 1 reps · 218-255-9743 · valkyrie-funds.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC reported RAUM up 28% ($365.4M -> $467.2M). IAPD ↗
$467.2M RAUM · 16 reps · 800-588-3893
Portfolio / reporting / TAMPCRMFinancial planning software
63
MAXWELL WEALTH reported RAUM up 26% ($231.1M -> $290.4M). IAPD ↗
$290.4M RAUM · 3 reps · 925-523-3288
Portfolio / reporting / TAMPCRMFinancial planning software
59
MOTLEY FOOL ASSET MANAGEMENT reported RAUM up 48% ($1.24B -> $1.84B). IAPD ↗institutional
$1.84B RAUM · 10 reps · 703-302-1100 · foolfunds.com
Portfolio / reporting / TAMPCRMFinancial planning software
56
RAFFERTY ASSET MANAGEMENT, LLC reported RAUM up 32% ($38.30B -> $50.53B). IAPD ↗institutional
$50.53B RAUM · 13 reps · 646-572-3390
Portfolio / reporting / TAMPCRMFinancial planning software
55
ARTESIAN CAPITAL MANAGEMENT (DELAWARE) LP reported RAUM up 150% ($10.0M -> $25.0M). IAPD ↗fund
$25.0M RAUM · 4 reps · (646) 270-4224 · artesianinvest.com
Portfolio / reporting / TAMPCRMFinancial planning software
53
BLUEARC CAPITAL MANAGEMENT reported RAUM up 43% ($1.17B -> $1.68B). IAPD ↗fund
$1.68B RAUM · 4 reps · 404-419-6130 · bluearccapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
53
FS STRUCTURED PRODUCTS ADVISOR, LLC reported RAUM up 41% ($1.04B -> $1.47B). IAPD ↗fund
$1.47B RAUM · 16 reps · 215-220-6651 · fskkradvisor.com
Portfolio / reporting / TAMPCRMFinancial planning software
50
ARTEMIS CAPITAL PARTNERS reported RAUM up 38% ($202.2M -> $278.5M). IAPD ↗fund
$278.5M RAUM · 7 reps · 857-327-5606 · artemislp.com
Portfolio / reporting / TAMPCRMFinancial planning software
39
FRANKLIN TEMPLETON INVESTMENTS CORP. reported RAUM up 50% ($14.42B -> $21.59B). IAPD ↗foreign
$21.59B RAUM · 26 reps · 416-957-6000
Portfolio / reporting / TAMPCRMFinancial planning software
39
CORONATION INVESTMENT MANAGEMENT INTERNATIONAL (PTY) LTD reported RAUM up 47% ($4.13B -> $6.06B). IAPD ↗foreign
$6.06B RAUM · 20 reps · +27 21 6802000
Portfolio / reporting / TAMPCRMFinancial planning software
38
GIVERNY CAPITAL reported RAUM up 40% ($1.76B -> $2.47B). IAPD ↗foreign
$2.47B RAUM · 5 reps · 514-842-5589 · givernycapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
37
TEMPLETON ASSET MANAGEMENT LTD. reported RAUM up 35% ($26.30B -> $35.63B). IAPD ↗foreign
$35.63B RAUM · 41 reps · 65-6241-0777 · franklintempleton.com.sg
Portfolio / reporting / TAMPCRMFinancial planning software
36
ASSET VALUE INVESTORS LIMITED reported RAUM up 34% ($1.57B -> $2.11B). IAPD ↗foreign
$2.11B RAUM · 12 reps · 44-207-659-4800
Portfolio / reporting / TAMPCRMFinancial planning software
36
J. SAFRA SARASIN ASSET MANAGEMENT (NORTH AMERICA) LTD reported RAUM up 42% ($651.0M -> $922.8M). IAPD ↗foreign
$922.8M RAUM · 3 reps · 41583176400 · jsafrasarasin.com
Portfolio / reporting / TAMPCRMFinancial planning software
35
CUMBERLAND INVESTMENT COUNSEL INC. reported RAUM up 26% ($1.01B -> $1.27B). IAPD ↗foreign
$1.27B RAUM · 17 reps · 416-482-5337 · cumberlandcounsel.com
Portfolio / reporting / TAMPCRMFinancial planning software
35
CARDINAL CAPITAL MANAGEMENT, INC. reported RAUM up 28% ($2.81B -> $3.59B). IAPD ↗foreign
$3.59B RAUM · 13 reps · 1-800-310-4664
Portfolio / reporting / TAMPCRMFinancial planning software
32
NATWEALTH MANAGEMENT reported RAUM up 39% ($67.6M -> $93.8M). IAPD ↗foreign
$93.8M RAUM · 121 reps · 833-946-1589 · nbfwm.ca
Portfolio / reporting / TAMPCRMFinancial planning software
disclosure added — 47 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
INGALLS & SNYDER LLC's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
$6.90B RAUM · 50 reps · 212-269-7800 · ingalls.net
ComplianceMarketing & brand
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 4 (501 -> 505). IAPD ↗
$1271.59B RAUM · 26251 reps · 800-637-7455
ComplianceMarketing & brand
55
MML INVESTORS SERVICES, LLC's Item 11 disclosure-reporting entries rose by 2 (74 -> 76). IAPD ↗
$72.83B RAUM · 4764 reps · (413)737-8400
ComplianceMarketing & brand
55
HSBC SECURITIES (USA) INC.'s Item 11 disclosure-reporting entries rose by 1 (110 -> 111). IAPD ↗
$3.02B RAUM · 340 reps · 212-525-2879 · us.hsbc.com
ComplianceMarketing & brand
55
WELLS FARGO ADVISORS's Item 11 disclosure-reporting entries rose by 3 (649 -> 652). IAPD ↗
$558.46B RAUM · 8623 reps · 314-875-3000
ComplianceMarketing & brand
55
CETERA INVESTMENT ADVISERS LLC's Item 11 disclosure-reporting entries rose by 5 (41 -> 46). IAPD ↗
$104.47B RAUM · 5928 reps · 310-257-7880
ComplianceMarketing & brand
55
BLACKROCK ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 2 (26 -> 28). IAPD ↗
$869.68B RAUM · 156 reps · 212 810 5300
ComplianceMarketing & brand
55
VANGUARD ADVISERS, INC.'s Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗
$333.07B RAUM · 1558 reps · 610-669-1000 · investor.vanguard.com
ComplianceMarketing & brand
55
BLACKROCK FINANCIAL MANAGEMENT, INC's Item 11 disclosure-reporting entries rose by 2 (38 -> 40). IAPD ↗
$1288.50B RAUM · 1038 reps · 212 810 5300
ComplianceMarketing & brand
55
BLACKROCK CAPITAL MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 2 (29 -> 31). IAPD ↗
$110.92B RAUM · 154 reps · 302 797 2000
ComplianceMarketing & brand
55
BLACKROCK INVESTMENT MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (25 -> 27). IAPD ↗
$458.19B RAUM · 536 reps · 609 282 2000
ComplianceMarketing & brand
55
APERIO GROUP, LLC's Item 11 disclosure-reporting entries rose by 2 (12 -> 14). IAPD ↗
$80.21B RAUM · 73 reps · 415-339-4300 · aperiogroup.com
ComplianceMarketing & brand
55
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 2 (30 -> 32). IAPD ↗
$87.37B RAUM · 3274 reps · 641-472-5100
ComplianceMarketing & brand
55
MORGAN STANLEY's Item 11 disclosure-reporting entries rose by 3 (215 -> 218). IAPD ↗
$1402.43B RAUM · 13000 reps · 914-225-5510 · morganstanley.com
ComplianceMarketing & brand
55
SPIDERROCK ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 2 (5 -> 7). IAPD ↗
$4.85B RAUM · 10 reps · (312) 847-0300 · spiderrockadvisors.com
ComplianceMarketing & brand
55
VANGUARD PERSONALIZED INDEXING MANAGEMENT's Item 11 disclosure-reporting entries rose by 1 (9 -> 10). IAPD ↗
$4.35B RAUM · 4 reps · 510-462-5230
ComplianceMarketing & brand
53
BARRETT & COMPANY's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
$370.1M RAUM · 5 reps · 401-351-1000
ComplianceMarketing & brand
53
BOK FINANCIAL ADVISORS's Item 11 disclosure-reporting entries rose by 1 (21 -> 22). IAPD ↗
$737.6M RAUM · 151 reps · 877-781-6889
ComplianceMarketing & brand
53
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗
$456.4M RAUM · 30 reps · 763-923-2270 · oakridgefinancial.com
ComplianceMarketing & brand
53
FIRST FINANCIAL COACHING, INC.'s Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$254.7M RAUM · 8 reps · 586-463-1880 · firstfinancialcoach.com
ComplianceMarketing & brand
50
SMITH, BROWN & GROOVER INC. D/B/A SBG WEALTH MANAGEMENT's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$240.8M RAUM · 5 reps · 478-474-7004 · sbgwealth.com
ComplianceMarketing & brand
50
UNION CAPITAL COMPANY's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$180.0M RAUM · 14 reps · 520-664-2001 · unioncapital.com
ComplianceMarketing & brand
50
DICK RIVERA & ASSOCIATES's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$144.2M RAUM · 2 reps · 972-380-9550
ComplianceMarketing & brand
50
DESERT ROSE CAPITAL MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$79.6M RAUM · 8 reps · 208 297-2710
ComplianceMarketing & brand
50
FSAM LLC's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
$71.5M RAUM · 8 reps · 770-777-9373
ComplianceMarketing & brand
45
BLACKROCK FUND ADVISORS's Item 11 disclosure-reporting entries rose by 2 (25 -> 27). IAPD ↗institutional
$3047.29B RAUM · 283 reps · 415 670 2000
ComplianceMarketing & brand
45
FRANKLIN ADVISORY SERVICES, LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
$9.18B RAUM · 2 reps · (650) 312-3000
ComplianceMarketing & brand
45
VEST FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗institutional
$24.38B RAUM · 10 reps · 855-979-6060
ComplianceMarketing & brand
40
DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 3 (682 -> 685). IAPD ↗institutional
$0 RAUM · 149 reps · 212-250-2500 · dbresearch.com
ComplianceMarketing & brand
40
VANGUARD GROUP INC's Item 11 disclosure-reporting entries rose by 1 (20 -> 21). IAPD ↗fund
$7909.76B RAUM · 445 reps · 610-669-1000
ComplianceMarketing & brand
40
BLACKROCK REALTY ADVISORS INC's Item 11 disclosure-reporting entries rose by 2 (23 -> 25). IAPD ↗fund
$2.14B RAUM · 61 reps · 212 810 5300
ComplianceMarketing & brand
40
TENNENBAUM CAPITAL PARTNERS, LLC's Item 11 disclosure-reporting entries rose by 2 (29 -> 31). IAPD ↗fund
$6.09B RAUM · 19 reps · 310 566 1000
ComplianceMarketing & brand
40
APOLLO CAPITAL MANAGEMENT, L.P.'s Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗fund
$504.07B RAUM · 774 reps · 212-515-3200
ComplianceMarketing & brand
40
VERITION FUND MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$107.25B RAUM · 293 reps · 203-742-7700
ComplianceMarketing & brand
40
VANGUARD GLOBAL ADVISERS, LLC's Item 11 disclosure-reporting entries rose by 1 (19 -> 20). IAPD ↗fund
$432.75B RAUM · 105 reps · 610-669-1000
ComplianceMarketing & brand
40
BLACKROCK ALTERNATIVES MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (25 -> 27). IAPD ↗fund
$14.60B RAUM · 16 reps · 212 810 5300
ComplianceMarketing & brand
40
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 2 (28 -> 30). IAPD ↗fund
$50.71B RAUM · 26 reps · 302 797 2000 · douyin.com
ComplianceMarketing & brand
40
ELMWOOD ASSET MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗fund
$14.94B RAUM · 19 reps · 646-876-2350 · elmwoodasset.com
ComplianceMarketing & brand
35
SVOF/MM, LLC's Item 11 disclosure-reporting entries rose by 2 (28 -> 30). IAPD ↗fund
$203.5M RAUM · 19 reps · 310 566 1000
ComplianceMarketing & brand
35
ALAMOS CAPITAL, LLC's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗fund
$0 RAUM · 1 reps · 520-664-2001
ComplianceMarketing & brand
25
BLACKROCK INTERNATIONAL LIMITED's Item 11 disclosure-reporting entries rose by 2 (25 -> 27). IAPD ↗foreign
$48.14B RAUM · 27 reps · 44 131 4727200 · mp.weixin.qq.com
ComplianceMarketing & brand
25
CUMBERLAND INVESTMENT COUNSEL INC.'s Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
$1.27B RAUM · 17 reps · 416-482-5337 · cumberlandcounsel.com
ComplianceMarketing & brand
25
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG's Item 11 disclosure-reporting entries rose by 2 (25 -> 27). IAPD ↗foreign
$1.27B RAUM · 19 reps · 41 44 297 7373
ComplianceMarketing & brand
25
BLACKROCK (SINGAPORE) LIMITED's Item 11 disclosure-reporting entries rose by 2 (25 -> 27). IAPD ↗foreign
$50.66B RAUM · 99 reps · 65 6411 3000 · mp.weixin.qq.com
ComplianceMarketing & brand
25
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED's Item 11 disclosure-reporting entries rose by 2 (25 -> 27). IAPD ↗foreign
$96.93B RAUM · 102 reps · 852 3903 2800 · douyin.com
ComplianceMarketing & brand
25
VANGUARD ASSET MANAGEMENT, LIMITED's Item 11 disclosure-reporting entries rose by 1 (16 -> 17). IAPD ↗foreign
$403.34B RAUM · 68 reps · 44 203 7535600
ComplianceMarketing & brand
25
VANGUARD INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 1 (16 -> 17). IAPD ↗foreign
$83.78B RAUM · 56 reps · 61 3 8888 3888
ComplianceMarketing & brand
pending approved — 40 120-day provisional registration became a full approval.
75
MOMENT PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗
$1.11B RAUM · 4 reps · 415-523-6868 · momentpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
75
PCM ENCORE, LLC's provisional registration is now fully approved. IAPD ↗
$1.28B RAUM · 4 reps · 888-697-0204 · encoreinvestment.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
CASTLE ROCK ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$830.2M RAUM · 22 reps · 617-227-0050
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
MFP FINANCIAL SERVICES, LLC's provisional registration is now fully approved. IAPD ↗
$314.1M RAUM · 3 reps · 727-443-3300
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
LIFELONG WEALTH ADVISORS, INC.'s provisional registration is now fully approved. IAPD ↗
$634.6M RAUM · 8 reps · 651-444-6500
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
KEYVANTAGE WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$284.3M RAUM · 4 reps · 484-935-3003 · keyvantagewealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
DSG CAPITAL ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$655.1M RAUM · 7 reps · (612) 515-9900 · dsgcapitaladvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
MOREY & QUINN WEALTH PARTNERS's provisional registration is now fully approved. IAPD ↗
$321.2M RAUM · 3 reps · (402) 502-9900 · moreyandquinn.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
BURLING WEALTH PARTNERS's provisional registration is now fully approved. IAPD ↗
$747.4M RAUM · 5 reps · 1-312-825-0262 · burlingwealthpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
NAVISTA WEALTH MANAGEMENT, INC.'s provisional registration is now fully approved. IAPD ↗
$623.0M RAUM · 3 reps · 612-315-2400
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
PRASAD WEALTH PARTNERS's provisional registration is now fully approved. IAPD ↗
$474.9M RAUM · 5 reps · 216-313-9999 · prasadwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
AVENTURA PRIVATE WEALTH, LLC's provisional registration is now fully approved. IAPD ↗
$280.2M RAUM · 3 reps · 305-610-7218 · aventuraprivatewealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SSB&T WEALTH MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$100.0M RAUM · 1 reps · 830-997-7575 · ssbtwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
RHL GROUP, LLC's provisional registration is now fully approved. IAPD ↗
$123.7M RAUM · 2 reps · 248-634-7720 · rhlgroup.us
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
XXI WEALTH, LLC's provisional registration is now fully approved. IAPD ↗
$183.1M RAUM · 3 reps · (312) 300-2670 · xxiwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
QTR FAMILY WEALTH, LLC's provisional registration is now fully approved. IAPD ↗
$107.3M RAUM · 3 reps · 407-745-0715 · qtrfamilycapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PLANWISER FINANCIAL's provisional registration is now fully approved. IAPD ↗
$137.2M RAUM · 2 reps · 719-822-0808 · planwiser.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
AGP FRANKLIN, LLC's provisional registration is now fully approved. IAPD ↗
$190.0M RAUM · 3 reps · 615-778-9842 · aspengroveassetmanagement.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SEAL COVE CAPITAL LLC's provisional registration is now fully approved. IAPD ↗
$113.9M RAUM · 1 reps · (415) 306-2583
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CORRALES & CO.'s provisional registration is now fully approved. IAPD ↗
$139.2M RAUM · 3 reps · (239) 421-5359
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
WEALTHPOINT ADVISORS's provisional registration is now fully approved. IAPD ↗
$121.1M RAUM · 4 reps · 704-675-5300 · wealthpointadvisorsnc.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MANNA WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$125.0M RAUM · 1 reps · 305-306-7107 · mannawealthmanagement.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FORONJY FINANCIAL's provisional registration is now fully approved. IAPD ↗
$237.9M RAUM · 4 reps · 805-543-1033 · foronjyfinancial.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PEAK WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$25.5M RAUM · 1 reps · 518-441-2285 · peakwealthmgmt.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TIDECREST WEALTH MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$201.0M RAUM · 2 reps · 949-335-5202 · tidecrestwm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TRUE WEALTH GROUP's provisional registration is now fully approved. IAPD ↗
$108.3M RAUM · 2 reps · 5037994008 · mytruewealthgroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MARTINSEN WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$100.3M RAUM · 5 reps · 480-550-6556 · martinsenwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PERSPECTIVE WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$112.4M RAUM · 3 reps · 970-732-7975
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
YANDELL INVESTMENTS, LLC's provisional registration is now fully approved. IAPD ↗
$150.5M RAUM · 1 reps · 407-898-5777
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
THE WELLINGTON GRP LLC's provisional registration is now fully approved. IAPD ↗
$120.4M RAUM · 8 reps · 317-846-5055 · wellingtonwealthstrategies.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
COLLABORATIVE PORTFOLIO MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$120.7M RAUM · 3 reps · 816-471-5556
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
65
COMPOSITION CAPITAL LP's provisional registration is now fully approved. IAPD ↗institutional
$1.09B RAUM · 7 reps · 949-244-6836 · compositioncap.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
PROTOCOL VC LLC's provisional registration is now fully approved. IAPD ↗institutional
$310.5M RAUM · 2 reps · 415-370-5155
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
MISSION INVESTMENT ADVISORS LLC's provisional registration is now fully approved. IAPD ↗institutional
$152.2M RAUM · 5 reps · 1-800-683-8529
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
UNIFI ASSET MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗institutional
$120.0M RAUM · 4 reps · 212-351-5601 · unifiam.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
BAYPOINTE PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗institutional
$110.0M RAUM · 2 reps · 516-381-5246 · baypointepartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
PERMIRA CREDIT LLC's provisional registration is now fully approved. IAPD ↗fund
$183.2M RAUM · 17 reps · 650-681-4701
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
HERITAGE HOLDING's provisional registration is now fully approved. IAPD ↗fund
$225.3M RAUM · 12 reps · 617-938-3664
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
RAVEN MUSIC PARTNERS LLC's provisional registration is now fully approved. IAPD ↗fund
$248.5M RAUM · 13 reps · 212-966-7926
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
GQG PRIVATE CAPITAL SOLUTIONS LLC's provisional registration is now fully approved. IAPD ↗fund
$92.8M RAUM · 7 reps · 754-218-5500
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
headcount up — 35 Advisory representative count grew materially (>=20% or >=5 reps).
85
RAYMOND JAMES & ASSOCIATES, INC. grew from 5254 to 5537 advisory reps. IAPD ↗
$433.81B RAUM · 5537 reps · 727-567-1000
CRMRecruiting & transitionsComplianceFinancial planning software
85
FRANKLIN ADVISERS, INC. grew from 184 to 254 advisory reps. IAPD ↗
$467.02B RAUM · 254 reps · (650) 312-3000
CRMRecruiting & transitionsComplianceFinancial planning software
85
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS grew from 59 to 83 advisory reps. IAPD ↗
$3.38B RAUM · 83 reps · 214-210-3092 · texascapitalbank.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
SUMMIT FINANCIAL, LLC grew from 73 to 119 advisory reps. IAPD ↗
$11.55B RAUM · 119 reps · 973-285-3600
CRMRecruiting & transitionsComplianceFinancial planning software
78
VESTGEN ADVISORS, LLC grew from 20 to 30 advisory reps. IAPD ↗
$660.3M RAUM · 30 reps · 312-237-4446 · investwithwmg.com
CRMRecruiting & transitionsComplianceFinancial planning software
77
GRIES FINANCIAL PARTNERS grew from 10 to 17 advisory reps. IAPD ↗
$1.28B RAUM · 17 reps · 833-309-9900 · gries.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
O'SHAUGHNESSY ASSET MANAGEMENT, LLC grew from 41 to 47 advisory reps. IAPD ↗
$12.60B RAUM · 47 reps · 203-975-3333
CRMRecruiting & transitionsComplianceFinancial planning software
76
PRAIRIE CAPITAL MANAGEMENT GROUP, LLC grew from 18 to 24 advisory reps. IAPD ↗
$6.51B RAUM · 24 reps · 860-596-8126
CRMRecruiting & transitionsComplianceFinancial planning software
75
INGALLS & SNYDER LLC grew from 45 to 50 advisory reps. IAPD ↗
$6.90B RAUM · 50 reps · 212-269-7800 · ingalls.net
CRMRecruiting & transitionsComplianceFinancial planning software
74
NEW AGE ALPHA grew from 6 to 10 advisory reps. IAPD ↗
$2.67B RAUM · 10 reps · (212) 922-2699 · newagealpha.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
MADISON PARTNERS grew from 9 to 12 advisory reps. IAPD ↗
$1.09B RAUM · 12 reps · 608-210-1021
CRMRecruiting & transitionsComplianceFinancial planning software
72
DAVIDSON INVESTMENT ADVISORS, INC. grew from 10 to 12 advisory reps. IAPD ↗
$4.81B RAUM · 12 reps · 406-727-6111 · dadco.com
CRMRecruiting & transitionsComplianceFinancial planning software
72
CAPITAL INVESTMENT SERVICES OF AMERICA INC grew from 7 to 9 advisory reps. IAPD ↗
$1.23B RAUM · 9 reps · 414-278-7744 · capinv.com
CRMRecruiting & transitionsComplianceFinancial planning software
72
BURLING WEALTH PARTNERS grew from 1 to 5 advisory reps. IAPD ↗
$747.4M RAUM · 5 reps · 1-312-825-0262 · burlingwealthpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
72
PCM ENCORE, LLC grew from 2 to 4 advisory reps. IAPD ↗
$1.28B RAUM · 4 reps · 888-697-0204 · encoreinvestment.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
QUANTUM FINANCIAL PLANNING SERVICES, INC. grew from 6 to 9 advisory reps. IAPD ↗
$591.6M RAUM · 9 reps · 509-328-6653 · quantumplanning.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
ROBERT HARRELL, INCORPORATED grew from 3 to 5 advisory reps. IAPD ↗
$840.9M RAUM · 5 reps · 512-795-9100 · harrell.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
LEXINGTON PARTNERS L.P. grew from 131 to 152 advisory reps. IAPD ↗fund
$73.34B RAUM · 152 reps · 212-754-0411 · lexingtonpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
69
IMPAX ASSET MANAGEMENT LLC grew from 27 to 36 advisory reps. IAPD ↗institutional
$9.64B RAUM · 36 reps · 603-431-8022
CRMRecruiting & transitionsComplianceFinancial planning software
69
COLUMBIA ADVISORY PARTNERS, LLC grew from 7 to 11 advisory reps. IAPD ↗
$240.2M RAUM · 11 reps · 509-822-3850 · capnorthwest.com
CRMRecruiting & transitionsComplianceFinancial planning software
69
GAMMA ASSET MANAGEMENT LLC grew from 3 to 7 advisory reps. IAPD ↗
$244.1M RAUM · 7 reps · 787-957-3260 · gammaam.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
SIXTH STREET SPECIALTY LENDING ADVISERS, LLC grew from 39 to 47 advisory reps. IAPD ↗institutional
$3.34B RAUM · 47 reps · 469-621-3001
CRMRecruiting & transitionsComplianceFinancial planning software
68
SIXTH STREET LENDING PARTNERS ADVISERS, LLC grew from 39 to 47 advisory reps. IAPD ↗institutional
$3.14B RAUM · 47 reps · 469-621-3001
CRMRecruiting & transitionsComplianceFinancial planning software
67
REYES FINANCIAL ARCHITECTURE INC. grew from 2 to 4 advisory reps. IAPD ↗
$134.7M RAUM · 4 reps · 858-597-1966 · reyesplan.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
INVEST CAPITAL PARTNERS grew from 7 to 9 advisory reps. IAPD ↗
$144.5M RAUM · 9 reps · 937-557-3200 · mwm.financial
CRMRecruiting & transitionsComplianceFinancial planning software
65
LEXINGTON ADVISORS LLC grew from 131 to 152 advisory reps. IAPD ↗fund
$243.3M RAUM · 152 reps · 212-754-0411
CRMRecruiting & transitionsComplianceFinancial planning software
61
WEISS ASSET MANAGEMENT grew from 48 to 54 advisory reps. IAPD ↗fund
$6.72B RAUM · 54 reps · 617-778-7780 · weissasset.com
CRMRecruiting & transitionsComplianceFinancial planning software
60
SIXTH STREET ADVISERS, LLC grew from 291 to 296 advisory reps. IAPD ↗fund
$70.98B RAUM · 296 reps · 469-621-3001
CRMRecruiting & transitionsComplianceFinancial planning software
59
MARTIS CAPITAL MANAGEMENT, LLC grew from 14 to 18 advisory reps. IAPD ↗fund
$1.96B RAUM · 18 reps · 202-975-1281
CRMRecruiting & transitionsComplianceFinancial planning software
58
MISSION INVESTMENT ADVISORS LLC grew from 2 to 5 advisory reps. IAPD ↗institutional
$152.2M RAUM · 5 reps · 1-800-683-8529
CRMRecruiting & transitionsComplianceFinancial planning software
55
IMPAX ASSET MANAGEMENT, LTD. grew from 43 to 58 advisory reps. IAPD ↗foreign
$40.55B RAUM · 58 reps · 011 44 20 3912 3000 · impaxam.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
IMPAX ASSET MANAGEMENT grew from 43 to 58 advisory reps. IAPD ↗foreign
$2.43B RAUM · 58 reps · +44 (0)20 3912 3000
CRMRecruiting & transitionsComplianceFinancial planning software
55
PEMBERTON CAPITAL ADVISORS LLP grew from 48 to 77 advisory reps. IAPD ↗foreign
$24.45B RAUM · 77 reps · 44 (0) 20 7993 9300 · pembertonam.com
CRMRecruiting & transitionsComplianceFinancial planning software
50
RAYMOND JAMES (USA) LTD grew from 115 to 125 advisory reps. IAPD ↗foreign
$1.54B RAUM · 125 reps · 877-570-7558 · rjlu.com
CRMRecruiting & transitionsComplianceFinancial planning software
42
AMELIORA WEALTH MANAGEMENT LTD. grew from 5 to 9 advisory reps. IAPD ↗foreign
$823.9M RAUM · 9 reps · +41 43 336 10 90
CRMRecruiting & transitionsComplianceFinancial planning software
headcount down — 28 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
L.M. KOHN & COMPANY shrank from 70 to 63 advisory reps. IAPD ↗
$2.09B RAUM · 63 reps · 513-792-0301 · lmkohn.com
Recruiting & transitionsM&A & valuation
55
PUTNAM INVESTMENT MANAGEMENT, LLC shrank from 165 to 51 advisory reps. IAPD ↗
$85.21B RAUM · 51 reps · 617-292-1000
Recruiting & transitionsM&A & valuation
55
LORD, ABBETT & CO. LLC shrank from 264 to 188 advisory reps. IAPD ↗
$238.76B RAUM · 188 reps · 201-827-2000
Recruiting & transitionsM&A & valuation
55
WESTERN ASSET MANAGEMENT COMPANY shrank from 114 to 68 advisory reps. IAPD ↗
$298.75B RAUM · 68 reps · 626-844-9400
Recruiting & transitionsM&A & valuation
55
EAGLE ASSET MANAGEMENT INC shrank from 54 to 44 advisory reps. IAPD ↗
$58.48B RAUM · 44 reps · 727-573-2453
Recruiting & transitionsM&A & valuation
55
CLEARBRIDGE INVESTMENTS, LLC shrank from 79 to 62 advisory reps. IAPD ↗
$180.79B RAUM · 62 reps · 212-805-2000 · stitcher.com
Recruiting & transitionsM&A & valuation
55
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC shrank from 5773 to 5720 advisory reps. IAPD ↗
$344.87B RAUM · 5720 reps · 727-567-3020
Recruiting & transitionsM&A & valuation
55
STONEX ADVISORS INC. shrank from 242 to 233 advisory reps. IAPD ↗
$4.52B RAUM · 233 reps · 800-292-2411
Recruiting & transitionsM&A & valuation
53
HOLCOMBE FINANCIAL, INC. shrank from 3 to 1 advisory reps. IAPD ↗
$347.1M RAUM · 1 reps · 404-257-3317
Recruiting & transitionsM&A & valuation
53
BRITE ADVISORS USA, INC. shrank from 6 to 0 advisory reps. IAPD ↗
$468.1M RAUM · 0 reps · 646-449-7253
Recruiting & transitionsM&A & valuation
53
CAPASSO PLANNING PARTNERS LLC shrank from 10 to 6 advisory reps. IAPD ↗
$332.8M RAUM · 6 reps · 843-608-8487 · capassoplanningpartners.com
Recruiting & transitionsM&A & valuation
50
THE FOUNDRY FINANCIAL GROUP, INC. shrank from 8 to 5 advisory reps. IAPD ↗
$207.9M RAUM · 5 reps · 603-528-5171
Recruiting & transitionsM&A & valuation
50
OAKMONT WEALTH ADVISORY, LLC shrank from 5 to 2 advisory reps. IAPD ↗
$96.2M RAUM · 2 reps · 443-741-9101 · whiteoakwealthmanagement.com
Recruiting & transitionsM&A & valuation
50
CARDEA CAPITAL ADVISORS, LLC shrank from 9 to 7 advisory reps. IAPD ↗
$147.5M RAUM · 7 reps · 770-977-7779
Recruiting & transitionsM&A & valuation
50
COPE CONNELLY shrank from 6 to 4 advisory reps. IAPD ↗
$244.9M RAUM · 4 reps · (888) 336-8402 · govconwealth.com
Recruiting & transitionsM&A & valuation
45
CLARIVEST ASSET MANAGEMENT LLC shrank from 14 to 10 advisory reps. IAPD ↗institutional
$2.55B RAUM · 10 reps · 858-480-2440 · clarivest.com
Recruiting & transitionsM&A & valuation
43
TREMONT REALTY CAPITAL LLC shrank from 24 to 18 advisory reps. IAPD ↗institutional
$751.6M RAUM · 18 reps · 617-867-0700 · tremontcapital.com
Recruiting & transitionsM&A & valuation
43
FIELDVIEW CAPITAL MANAGEMENT, LLC shrank from 12 to 8 advisory reps. IAPD ↗institutional
$671.3M RAUM · 8 reps · 269-479-1493
Recruiting & transitionsM&A & valuation
40
PRUCO SECURITIES, LLC shrank from 2700 to 116 advisory reps. IAPD ↗institutional
$0 RAUM · 116 reps · 973-802-6000 · prudential.com
Recruiting & transitionsM&A & valuation
40
CLARION PARTNERS shrank from 189 to 177 advisory reps. IAPD ↗fund
$73.35B RAUM · 177 reps · 212-883-2500 · clarionpartners.com
Recruiting & transitionsM&A & valuation
40
K2/D&S MANAGEMENT CO., L.L.C. shrank from 21 to 15 advisory reps. IAPD ↗fund
$9.44B RAUM · 15 reps · 203-348-5252 · k2advisors.com
Recruiting & transitionsM&A & valuation
40
WALTON STREET CAPITAL, L.L.C. shrank from 77 to 60 advisory reps. IAPD ↗fund
$11.75B RAUM · 60 reps · 312-915-2800
Recruiting & transitionsM&A & valuation
40
PLATO'S PHILOSOPHY, LLC shrank from 4 to 1 advisory reps. IAPD ↗institutional
$39.4M RAUM · 1 reps · 805-888-2024 · stockhack.com
Recruiting & transitionsM&A & valuation
25
WESTERN ASSET MANAGEMENT COMPANY LIMITED shrank from 22 to 14 advisory reps. IAPD ↗foreign
$33.56B RAUM · 14 reps · 011-44-20-7422-3000
Recruiting & transitionsM&A & valuation
25
MARTIN CURRIE INC shrank from 33 to 0 advisory reps. IAPD ↗foreign
$7.31B RAUM · 0 reps · 44 131 229 5252
Recruiting & transitionsM&A & valuation
25
CARDINAL CAPITAL MANAGEMENT, INC. shrank from 29 to 13 advisory reps. IAPD ↗foreign
$3.59B RAUM · 13 reps · 1-800-310-4664
Recruiting & transitionsM&A & valuation
25
WESTERN ASSET MANAGEMENT COMPANY PTE LTD shrank from 7 to 5 advisory reps. IAPD ↗foreign
$3.99B RAUM · 5 reps · 65-6428-3600
Recruiting & transitionsM&A & valuation
25
WESTERN ASSET MANAGEMENT COMPANY LTD shrank from 6 to 3 advisory reps. IAPD ↗foreign
$3.04B RAUM · 3 reps · 011-81-3-4520-4300
Recruiting & transitionsM&A & valuation
custody started — 25 Firm now reports custody of client assets — surprise exams and controls follow.
70
CALIFORNIA FINANCIAL ADVISORS now reports custody of client assets ($1.43B). IAPD ↗
$1.74B RAUM · 11 reps · 925.275.1000
ComplianceCustodian
70
LORD, ABBETT & CO. LLC now reports custody of client assets ($73.6M). IAPD ↗
$238.76B RAUM · 188 reps · 201-827-2000
ComplianceCustodian
70
HIGHPOINT PLANNING PARTNERS now reports custody of client assets ($1.82B). IAPD ↗
$3.00B RAUM · 94 reps · 630-719-9222
ComplianceCustodian
70
PANDI, LLC now reports custody of client assets ($2.5M). IAPD ↗
$2.01B RAUM · 6 reps · 913-437-9900 · pandikc.com
ComplianceCustodian
68
GOOD HARBOR ADVISORS, INC. now reports custody of client assets ($48.8M). IAPD ↗
$268.6M RAUM · 3 reps · 978-515-7119 · goodharboradvisors.com
ComplianceCustodian
68
OCCIDENTAL ASSET MANAGEMENT, LLC now reports custody of client assets ($152.3M). IAPD ↗
$625.5M RAUM · 10 reps · 650-344-1600 · ymwadvisors.com
ComplianceCustodian
68
EAGLE BAY FAMILY OFFICE now reports custody of client assets ($142.5M). IAPD ↗
$886.8M RAUM · 4 reps · 212-634-7879 · eaglebayfamilyoffice.com
ComplianceCustodian
68
INNEALTA CAPITAL now reports custody of client assets ($11.2M). IAPD ↗
$305.0M RAUM · 9 reps · (737) 808-4640
ComplianceCustodian
68
FOCUSED ALPHA, LLC now reports custody of client assets ($132.0M). IAPD ↗
$306.8M RAUM · 3 reps · 303-529-5100
ComplianceCustodian
68
TIEMPO CAPITAL PARTNERS now reports custody of client assets ($46,000). IAPD ↗
$264.5M RAUM · 2 reps · 954-849-3099
ComplianceCustodian
68
CASTLE ROCK ADVISORS LLC now reports custody of client assets ($230.6M). IAPD ↗
$830.2M RAUM · 22 reps · 617-227-0050
ComplianceCustodian
68
MFP FINANCIAL SERVICES, LLC now reports custody of client assets ($65.4M). IAPD ↗
$314.1M RAUM · 3 reps · 727-443-3300
ComplianceCustodian
68
LIFELONG WEALTH ADVISORS, INC. now reports custody of client assets ($450.1M). IAPD ↗
$634.6M RAUM · 8 reps · 651-444-6500
ComplianceCustodian
68
MOREY & QUINN WEALTH PARTNERS now reports custody of client assets ($500,000). IAPD ↗
$321.2M RAUM · 3 reps · (402) 502-9900 · moreyandquinn.com
ComplianceCustodian
68
BURLING WEALTH PARTNERS now reports custody of client assets ($72.1M). IAPD ↗
$747.4M RAUM · 5 reps · 1-312-825-0262 · burlingwealthpartners.com
ComplianceCustodian
68
VIRTUS WEALTH SOLUTIONS now reports custody of client assets ($46.4M). IAPD ↗
$481.5M RAUM · 4 reps · 908-967-6360 · virtuswealthsolutions.com
ComplianceCustodian
65
GAMMA ASSET MANAGEMENT LLC now reports custody of client assets ($59.8M). IAPD ↗
$244.1M RAUM · 7 reps · 787-957-3260 · gammaam.com
ComplianceCustodian
65
BROADSTREET GLOBAL ADVISORS, INC. now reports custody of client assets ($6.2M). IAPD ↗
$102.7M RAUM · 4 reps · 914-427-8036 · broadstreetglobaladvisors.com
ComplianceCustodian
65
PERSPECTIVE WEALTH ADVISORS now reports custody of client assets ($2.6M). IAPD ↗
$112.4M RAUM · 3 reps · 970-732-7975
ComplianceCustodian
58
GARDEN INVESTMENTS now reports custody of client assets ($466.5M). IAPD ↗institutional
$466.5M RAUM · 6 reps · (203) 242-8370
ComplianceCustodian
55
OC INVESTMENT MANAGEMENT LP now reports custody of client assets ($628.0M). IAPD ↗fund
$22.91B RAUM · 3 reps · +1 305 842-5062
ComplianceCustodian
53
ANANYM CAPITAL MANAGEMENT, LP now reports custody of client assets ($512.7M). IAPD ↗fund
$256.3M RAUM · 5 reps · 347-974-1040 · ananymcapital.com
ComplianceCustodian
50
REEF INVESTMENT MANAGEMENT LLC now reports custody of client assets ($484.2M). IAPD ↗fund
$113.4M RAUM · 1 reps · 801-216-8850 · reefim.com
ComplianceCustodian
50
ARTESIAN CAPITAL MANAGEMENT (DELAWARE) LP now reports custody of client assets ($1.4M). IAPD ↗fund
$25.0M RAUM · 4 reps · (646) 270-4224 · artesianinvest.com
ComplianceCustodian
40
PEMBERTON CAPITAL ADVISORS LLP now reports custody of client assets ($1.14B). IAPD ↗foreign
$24.45B RAUM · 77 reps · 44 (0) 20 7993 9300 · pembertonam.com
ComplianceCustodian
relocation — 25 Main office moved to a different city or state.
50
EULAV ASSET MANAGEMENT moved its main office from NEW YORK, NY to SARASOTA, FL. IAPD ↗
$4.79B RAUM · 5 reps · 212-907-1900 · eulavam.com
Office IT & facilitiesMarketing & brand
48
FINANCIAL CONNECTIONS GROUP, INC. moved its main office from CORTE MADERA, CA to LARKSPUR, CA. IAPD ↗
$427.2M RAUM · 3 reps · 415-924-1091 · financialconnections.com
Office IT & facilitiesMarketing & brand
48
ASPEN INVESTMENT MANAGEMENT INC. moved its main office from ADA, MI to GRAND RAPIDS, MI. IAPD ↗
$257.1M RAUM · 4 reps · 616-361-2500 · aspenim.com
Office IT & facilitiesMarketing & brand
48
PRAIRIE SKY FINANCIAL GROUP moved its main office from WESTCHESTER, IL to LAKE BLUFF, IL. IAPD ↗
$275.6M RAUM · 2 reps · 847-512-8820
Office IT & facilitiesMarketing & brand
48
RIDGECREST WEALTH PARTNERS, LLC moved its main office from MILL VALLEY, CA to SAN RAFAEL, CA. IAPD ↗
$542.8M RAUM · 2 reps · 415-260-2616 · ridgecrestwp.com
Office IT & facilitiesMarketing & brand
48
503 CAPITAL PARTNERS, LLC moved its main office from OVERLAND PARK, KS to LEAWOOD, KS. IAPD ↗
$382.0M RAUM · 10 reps · 913-279-0177 · 503capitalpartners.com
Office IT & facilitiesMarketing & brand
45
KENSINGTON FINANCIAL ADVISORS LLC moved its main office from FLORHAM PARK, NJ to ROSELAND, NJ. IAPD ↗
$130.0M RAUM · 2 reps · 201-201-0439 · kfinadvisors.com
Office IT & facilitiesMarketing & brand
45
MARIACA WEALTH MANAGEMENT, LLC moved its main office from LAKE WORTH, FL to WELLINGTON, FL. IAPD ↗
$212.1M RAUM · 2 reps · 561-650-8061 · fiduciaryessentials.com
Office IT & facilitiesMarketing & brand
45
NEWDAY moved its main office from TIBURON, CA to SOUTHBURY, CT. IAPD ↗
$175.4M RAUM · 3 reps · 415-935-0550
Office IT & facilitiesMarketing & brand
45
KENNON-GREEN & CO. moved its main office from NEWPORT BEACH, CA to NEW ALBANY, OH. IAPD ↗
$129.5M RAUM · 2 reps · (614) 656-3638 · kennongreen.com
Office IT & facilitiesMarketing & brand
45
ABLE WEALTH MANAGEMENT LLC moved its main office from LAKEWOOD, NJ to TOMS RIVER, NJ. IAPD ↗
$244.4M RAUM · 6 reps · 212-634-7842
Office IT & facilitiesMarketing & brand
45
OAKMONT WEALTH ADVISORY, LLC moved its main office from RESTON, VA to COLUMBIA, MD. IAPD ↗
$96.2M RAUM · 2 reps · 443-741-9101 · whiteoakwealthmanagement.com
Office IT & facilitiesMarketing & brand
45
PALADINO WEALTH moved its main office from CONROE, TX to MONTGOMERY, TX. IAPD ↗
$129.1M RAUM · 2 reps · (936) 444-2583 · paladinowealth.com
Office IT & facilitiesMarketing & brand
45
AEM ASSET MANAGEMENT, LLC moved its main office from SOMERSET, NY to SOMERSET, NJ. IAPD ↗
$127.9M RAUM · 2 reps · 973-714-6437 · aemadvisory.com
Office IT & facilitiesMarketing & brand
45
CALLAHAN FINANCIAL PLANNING moved its main office from OMAHA, NE to COUNCIL BLUFFS, IA. IAPD ↗
$100.4M RAUM · 5 reps · (800) 991-5195 · callahanfp.com
Office IT & facilitiesMarketing & brand
45
QUANTBASE moved its main office from NEW YORK CITY, NY to NEW YORK, NY. IAPD ↗
$20.0M RAUM · 1 reps · 9296821617 · getquantbase.com
Office IT & facilitiesMarketing & brand
45
ATHENA WEALTH MANAGEMENT, LLC moved its main office from INCLINE VILLAGE, NV to RENO, NV. IAPD ↗
$107.7M RAUM · 1 reps · (408) 684-3705 · athenawm.com
Office IT & facilitiesMarketing & brand
35
OBRA CAPITAL MANAGEMENT, LLC. moved its main office from AUSTIN, TX to NEW YORK, NY. IAPD ↗fund
$2.68B RAUM · 54 reps · 8773150520 · obra.com
Office IT & facilitiesMarketing & brand
35
HUDSON BAY CAPITAL MANAGEMENT LP moved its main office from GREENWICH, CT to STAMFORD, CT. IAPD ↗fund
$31.12B RAUM · 100 reps · (475) 900-9550 · hudsonbaycapital.com
Office IT & facilitiesMarketing & brand
35
NEWFOUND RESEARCH LLC moved its main office from WELLESLEY HILLS, MA to ST. PETERSBURG, FL. IAPD ↗institutional
$122.1M RAUM · 2 reps · (617) 531-9773 · blog.thinknewfound.com
Office IT & facilitiesMarketing & brand
35
OBRA FUND MANAGEMENT, LLC moved its main office from AUSTIN, TX to NEW YORK, NY. IAPD ↗institutional
$0 RAUM · 18 reps · 8773150520
Office IT & facilitiesMarketing & brand
33
PARALLAXES CAPITAL moved its main office from NEW YORK, NY to LOS ANGELES, CA. IAPD ↗fund
$389.1M RAUM · 3 reps · 217-255-3906
Office IT & facilitiesMarketing & brand
33
PINEGROVE OPPORTUNITY PARTNERS LLC moved its main office from MENLO PARK, CA to SAN FRANCISCO, CA. IAPD ↗fund
$804.1M RAUM · 7 reps · 626-676-0710 · pinegrovecp.com
Office IT & facilitiesMarketing & brand
30
RAVEN MUSIC PARTNERS LLC moved its main office from NEW YORK, NY to PALM BEACH GARDENS, FL. IAPD ↗fund
$248.5M RAUM · 13 reps · 212-966-7926
Office IT & facilitiesMarketing & brand
18
INDIA CAPITAL MANAGEMENT LIMITED moved its main office from EBENE, to TRIANON, . IAPD ↗foreign
$398.9M RAUM · 5 reps · 230.404.8800 · indiacapital.com
Office IT & facilitiesMarketing & brand
website changed — 25 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
SLAVIC MUTUAL FUNDS MANAGEMENT CORP. changed its website from alcott401kportal.com to ebenefitspep.401ksite.com. IAPD ↗
$5.59B RAUM · 4 reps · 561-241-9244 · ebenefitspep.401ksite.com
Marketing & brand
30
ROCKY MOUNTAIN ADVISERS, LLC changed its website from investrma.com to srhadvisorsllc.com. IAPD ↗
$2.57B RAUM · 4 reps · 785-823-3097 · srhadvisorsllc.com
Marketing & brand
30
CGN ADVISORS, LLC changed its website from petersonfinancialplanning.com to stowersfinancialplanning.com. IAPD ↗
$1.14B RAUM · 42 reps · 910-333-6659 · stowersfinancialplanning.com
Marketing & brand
30
APTUS CAPITAL ADVISORS, LLC changed its website from aptusetfs.com to aptuscapitaladvisors.com. IAPD ↗
$5.29B RAUM · 16 reps · 251-517-7198 · aptuscapitaladvisors.com
Marketing & brand
30
ALLY INVEST ADVISORS changed its website from ally.com to secure.ally.com. IAPD ↗
$1.13B RAUM · 12 reps · 855-880-2559 · secure.ally.com
Marketing & brand
30
ONEASCENT FINANCIAL SERVICES LLC changed its website from navigator-financial.com to adventurefinancial.net. IAPD ↗
$1.79B RAUM · 39 reps · 205-313-9142 · adventurefinancial.net
Marketing & brand
30
EVERSOURCE WEALTH ADVISORS, LLC changed its website from generouswealthaz.com to clarionwealth.com. IAPD ↗
$2.69B RAUM · 40 reps · 205-982-5515 · clarionwealth.com
Marketing & brand
30
MODERN WEALTH MANAGEMENT, LLC changed its website from studyretirement.com to mjamescpa.com. IAPD ↗
$2.07B RAUM · 36 reps · 913-393-1000 · mjamescpa.com
Marketing & brand
28
TRUST ADVISORY GROUP LTD changed its website from coromandelwm.com to orionwealthadvisors.com. IAPD ↗
$560.4M RAUM · 41 reps · 800-292-2411 · orionwealthadvisors.com
Marketing & brand
28
INVESTMENT MANAGEMENT ASSOCIATES changed its website from investor.fm to valuexvail.com. IAPD ↗
$515.4M RAUM · 2 reps · 303-796-8333 · valuexvail.com
Marketing & brand
28
VANTAGE WEALTH changed its website from oshervandevoorde.com to vantagewealth.com. IAPD ↗
$557.2M RAUM · 4 reps · 626-844-7184 · vantagewealth.com
Marketing & brand
28
LEGACY FINANCIAL GROUP changed its website from billelson.com to legendsatlegacycarshow.com. IAPD ↗
$726.3M RAUM · 13 reps · 515-255-3306 · legendsatlegacycarshow.com
Marketing & brand
28
NAPLES WEALTH PLANNING changed its website from napleswealthplanning.com to pricewm.com. IAPD ↗
$466.7M RAUM · 12 reps · 239-330-4183 · pricewm.com
Marketing & brand
25
VIA IV INVESTMENTS, LLC changed its website from thehollandportfolios.com to viaiv.com. IAPD ↗
$190.6M RAUM · 4 reps · 630-674-7226 · viaiv.com
Marketing & brand
25
CAMPBELL FINANCIAL PARTNERS, LLC changed its website from cambellfinancialplanning.com to campbellfinancialpartners.com. IAPD ↗
$166.1M RAUM · 2 reps · 239-454-5333 · campbellfinancialpartners.com
Marketing & brand
25
LUKEN INVESTMENT ANALYTICS, LLC changed its website from lukeninvestmentanalytics.com to smartdiversification.com. IAPD ↗
$200.9M RAUM · 5 reps · (615) 550-5570 · smartdiversification.com
Marketing & brand
25
OCEANSIDE ADVISORS LLC changed its website from podcasts.google.com to castbox.fm. IAPD ↗
$136.4M RAUM · 4 reps · 843-830-6568 · castbox.fm
Marketing & brand
25
XYPN INVEST changed its website from newleaffinancialguidance.com to hundredfp.com. IAPD ↗
$133.3M RAUM · 15 reps · (360) 301-7579 · hundredfp.com
Marketing & brand
25
COPPER BEECH FINANCIAL GROUP, LLC changed its website from copperbeechfg.com to variumip.com. IAPD ↗
$112.6M RAUM · 5 reps · 856-988-8300 · variumip.com
Marketing & brand
25
THEPARTNERS WEALTH MANAGEMENT changed its website from worthfinancialsolutions.com to wilkinswealthmanagement.com. IAPD ↗
$172.5M RAUM · 7 reps · 800-324-3010 · wilkinswealthmanagement.com
Marketing & brand
25
ALLIO ADVISORS changed its website from alliofinance.com to alliocapital.com. IAPD ↗
$234,911 RAUM · 3 reps · (845) 475-7905 · alliocapital.com
Marketing & brand
25
MARTINSEN WEALTH MANAGEMENT changed its website from universityofretirementplanning.com to martinsenwealth.com. IAPD ↗
$100.3M RAUM · 5 reps · 480-550-6556 · martinsenwealth.com
Marketing & brand
20
MOTLEY FOOL ASSET MANAGEMENT changed its website from fool100etf.com to foolfunds.com. IAPD ↗institutional
$1.84B RAUM · 10 reps · 703-302-1100 · foolfunds.com
Marketing & brand
1
MACQUARIE INVESTMENT MANAGEMENT AUSTRIA KAPITALANLAGE AG changed its website from macquarieinvestmentmanagement.at to macquarie.at. IAPD ↗foreign
$12.04B RAUM · 12 reps · 43 190400 0 · macquarie.at
Marketing & brand
1
SKERRYVORE ASSET MANAGEMENT changed its website from bennbridge.com to skerryvoream.com. IAPD ↗foreign
$1.32B RAUM · 8 reps · +44 131 202 3070 · skerryvoream.com
Marketing & brand
rename — 15 Primary business name changed: rebrand, merger, or ownership change.
60
OBERMEYER WOOD INVESTMENT COUNSEL, LLLP is now doing business as OBERMEYER WEALTH PARTNERS. IAPD ↗
$2.39B RAUM · 14 reps · 970-925-8747 · obermeyerwood.com
Marketing & brandCRM
60
MOUNT YALE INVESTMENT ADVISORS, LLC is now doing business as ELEVATION POINT WEALTH PARTNERS, LLC. IAPD ↗
$2.19B RAUM · 20 reps · 303-382-2880 · elevationpoint.com
Marketing & brandCRM
60
ELM PARTNERS MANAGEMENT LLC is now doing business as ELM WEALTH. IAPD ↗
$1.50B RAUM · 3 reps · (888) 676-3148
Marketing & brandCRM
60
MOSAIC FAMILY WEALTH is now doing business as MOSAIC WEALTH. IAPD ↗
$1.44B RAUM · 15 reps · 314-627-5220
Marketing & brandCRM
58
OSHER VAN DE VOORDE INVESTMENT MANAGEMENT is now doing business as VANTAGE WEALTH. IAPD ↗
$557.2M RAUM · 4 reps · 626-844-7184 · vantagewealth.com
Marketing & brandCRM
58
DLK INVESTMENT MANAGEMENT, LLC is now doing business as DLK INVESTMENT MANAGEMENT. IAPD ↗
$348.3M RAUM · 6 reps · 858.433.3200
Marketing & brandCRM
58
CEDRUS LLC is now doing business as CEDRUS. IAPD ↗
$651.1M RAUM · 17 reps · 720-724-2170 · cedrusfinancial.com
Marketing & brandCRM
58
MFP FINANCIAL SERVICES is now doing business as MFP FINANCIAL SERVICES, LLC. IAPD ↗
$314.1M RAUM · 3 reps · 727-443-3300
Marketing & brandCRM
55
KANE COMPANY WEALTH MANAGEMENT PC is now doing business as KANE COMPANY WEALTH MANAGEMENT, INC.. IAPD ↗
$199.9M RAUM · 3 reps · 515-270-2727 · kanecompanypc.com
Marketing & brandCRM
55
COPE CORRALES is now doing business as COPE CONNELLY. IAPD ↗
$244.9M RAUM · 4 reps · (888) 336-8402 · govconwealth.com
Marketing & brandCRM
55
MARICOPA CAPITAL PARTNERS, LLC is now doing business as SACHEM HILL, LLC. IAPD ↗
$0 RAUM · 1 reps · 720-930-0416
Marketing & brandCRM
45
PRUDENTIAL FINANCIAL PLANNING SERVICES is now doing business as PRUCO SECURITIES, LLC. IAPD ↗institutional
$0 RAUM · 116 reps · 973-802-6000 · prudential.com
Marketing & brandCRM
45
NAPIER PARK GLOBAL CAPITAL LLC is now doing business as NAPIER PARK GLOBAL CAPITAL (US) LP. IAPD ↗fund
$11.74B RAUM · 36 reps · 212-235-0717 · napierparkglobal.com
Marketing & brandCRM
45
GOPHER US MANAGEMENT COMPANY LLC is now doing business as OLIVE TECHNOLOGY VENTURES MANAGEMENT, LLC. IAPD ↗fund
$1.03B RAUM · 7 reps · 650-656-9673 · gopherasset.com
Marketing & brandCRM
43
PINEGROVE CAPITAL PARTNERS LLC is now doing business as PINEGROVE OPPORTUNITY PARTNERS LLC. IAPD ↗fund
$804.1M RAUM · 7 reps · 626-676-0710 · pinegrovecp.com
Marketing & brandCRM
planning clients up — 11 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
73
NAVISTA WEALTH MANAGEMENT, INC. reports 101-250 financial-planning clients, up from 0. IAPD ↗
$623.0M RAUM · 3 reps · 612-315-2400
Financial planning software
73
MARTINSEN WEALTH MANAGEMENT reports 251-500 financial-planning clients, up from 0. IAPD ↗
$100.3M RAUM · 5 reps · 480-550-6556 · martinsenwealth.com
Financial planning software
66
PANDI, LLC reports 11-25 financial-planning clients, up from 0. IAPD ↗
$2.01B RAUM · 6 reps · 913-437-9900 · pandikc.com
Financial planning software
63
INGALLS & SNYDER LLC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
$6.90B RAUM · 50 reps · 212-269-7800 · ingalls.net
Financial planning software
63
FINANCIAL MANAGEMENT NETWORK INC reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
$1.80B RAUM · 21 reps · 949-455-0300 · fmnbenefits.com
Financial planning software
63
MADISON PARTNERS reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
$1.09B RAUM · 12 reps · 608-210-1021
Financial planning software
61
INVESTMENT ADVISORY PROFESSIONALS LLC reports 26-50 financial-planning clients, up from 11-25. IAPD ↗
$347.9M RAUM · 3 reps · 561-391-4477
Financial planning software
61
HERBEIN FINANCIAL GROUP, LLC reports 26-50 financial-planning clients, up from 1-10. IAPD ↗
$0 RAUM · 2 reps · 484-509-1136 · herbein.com
Financial planning software
61
BURLING WEALTH PARTNERS reports 1-10 financial-planning clients, up from 0. IAPD ↗
$747.4M RAUM · 5 reps · 1-312-825-0262 · burlingwealthpartners.com
Financial planning software
61
TIDECREST WEALTH MANAGEMENT, LLC reports 11-25 financial-planning clients, up from 0. IAPD ↗
$201.0M RAUM · 2 reps · 949-335-5202 · tidecrestwm.com
Financial planning software
33
LETKO, BROSSEAU & ASSOCIATES INC. reports 26-50 financial-planning clients, up from 11-25. IAPD ↗foreign
$17.25B RAUM · 38 reps · 1-800-307-8557
Financial planning software
private funds started — 10 Firm reports private funds for the first time.
75
OPEROSE ADVISORS LLC now reports 1 private fund(s) ($0 gross). IAPD ↗
$1.25B RAUM · 7 reps · 414-209-3280
Fund administrationCompliance
75
TSCHETTER GROUP now reports 1 private fund(s) ($0 gross). IAPD ↗
$1.81B RAUM · 11 reps · 425-998-9960 · tschettergroup.com
Fund administrationCompliance
73
ROTHSCHILD WEALTH LLC now reports 1 private fund(s) ($1.8M gross). IAPD ↗
$615.6M RAUM · 9 reps · 630-448-5711 · rothschildwealth.com
Fund administrationCompliance
70
CONCURRENT ASSET MANAGEMENT, LLC now reports 2 private fund(s) ($32.4M gross). IAPD ↗
$0 RAUM · 2 reps · 813-575-2652 · concurrentam.com
Fund administrationCompliance
60
OC INVESTMENT MANAGEMENT LP now reports 1 private fund(s) ($314.0M gross). IAPD ↗fund
$22.91B RAUM · 3 reps · +1 305 842-5062
Fund administrationCompliance
58
ANANYM CAPITAL MANAGEMENT, LP now reports 2 private fund(s) ($256.3M gross). IAPD ↗fund
$256.3M RAUM · 5 reps · 347-974-1040 · ananymcapital.com
Fund administrationCompliance
55
KATE CAPITAL LLC now reports 3 private fund(s) ($37.4M gross). IAPD ↗fund
$218.7M RAUM · 2 reps · 203-362-7198 · katecapllc.com
Fund administrationCompliance
55
RAVEN MUSIC PARTNERS LLC now reports 7 private fund(s) ($248.5M gross). IAPD ↗fund
$248.5M RAUM · 13 reps · 212-966-7926
Fund administrationCompliance
55
GQG PRIVATE CAPITAL SOLUTIONS LLC now reports 4 private fund(s) ($92.8M gross). IAPD ↗fund
$92.8M RAUM · 7 reps · 754-218-5500
Fund administrationCompliance
55
CREDIT BRIDGE ADVISORS LLC now reports 1 private fund(s) ($200.0M gross). IAPD ↗fund
$200.0M RAUM · 3 reps · 786-505-4412 · creditbridge.com
Fund administrationCompliance
aum crossed 1b — 7 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
MISSIONSQUARE RETIREMENT crossed $1B in regulatory AUM ($668.2M -> $6.11B). IAPD ↗
$6.11B RAUM · 224 reps · 202-962-4600
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
SOFI WEALTH LLC crossed $1B in regulatory AUM ($943.5M -> $1.37B). IAPD ↗
$1.37B RAUM · 10 reps · 855-525-7634
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
CHEQUERS FINANCIAL MANAGEMENT LLC crossed $1B in regulatory AUM ($812.0M -> $1.01B). IAPD ↗
$1.01B RAUM · 5 reps · 415-964-5001
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
NEW AGE ALPHA crossed $1B in regulatory AUM ($195.9M -> $2.67B). IAPD ↗
$2.67B RAUM · 10 reps · (212) 922-2699 · newagealpha.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
MADISON PARTNERS crossed $1B in regulatory AUM ($559.0M -> $1.09B). IAPD ↗
$1.09B RAUM · 12 reps · 608-210-1021
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
ALLIANT RETIREMENT CONSULTING crossed $1B in regulatory AUM ($144.0M -> $3.62B). IAPD ↗institutional
$3.62B RAUM · 23 reps · (713) 470-4208 · alliantretirementconsulting.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
COLBECK CAPITAL MANAGEMENT, LLC crossed $1B in regulatory AUM ($821.3M -> $1.60B). IAPD ↗fund
$1.60B RAUM · 12 reps · +1 (212) 603-2800 (EST) · colbeck.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
aum crossed 500m — 6 Regulatory AUM crossed $500M.
70
CALDWELL SUTTER CAPITAL, INC. crossed $500M in regulatory AUM ($488.4M -> $571.1M). IAPD ↗
$571.1M RAUM · 6 reps · 415-962-2526 · cald.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FCA CORP crossed $500M in regulatory AUM ($465.4M -> $525.7M). IAPD ↗
$525.7M RAUM · 11 reps · 713-781-2856
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
QUANTUM FINANCIAL PLANNING SERVICES, INC. crossed $500M in regulatory AUM ($466.4M -> $591.6M). IAPD ↗
$591.6M RAUM · 9 reps · 509-328-6653 · quantumplanning.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
O'ROURKE & COMPANY, INCORPORATED crossed $500M in regulatory AUM ($412.1M -> $518.1M). IAPD ↗
$518.1M RAUM · 2 reps · 617-482-4200
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
SFE INVESTMENT COUNSEL INC. crossed $500M in regulatory AUM ($441.8M -> $581.6M). IAPD ↗
$581.6M RAUM · 8 reps · 213-612-0220 · sfeic.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
ZANBATO ADVISORS LLC crossed $500M in regulatory AUM ($335.2M -> $506.9M). IAPD ↗fund
$506.9M RAUM · 3 reps · 866-926-2286 · zanbato.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
wrap program started — 5 Firm began participating in a wrap-fee program (Item 5I(1)).
60
HENLEY & COMPANY WEALTH MANAGEMENT LLC began participating in a wrap-fee program. IAPD ↗
$90.9M RAUM · 5 reps · 516-794-5520 · henleyandcompany.com
Portfolio / reporting / TAMPCompliance
60
SOUND FINANCIAL STRATEGIES GROUP, LLC began participating in a wrap-fee program. IAPD ↗
$184.5M RAUM · 5 reps · 601-856-3825 · soundfsg.com
Portfolio / reporting / TAMPCompliance
60
FPNAVIGATORS began participating in a wrap-fee program. IAPD ↗
$0 RAUM · 3 reps · 763-265-4450
Portfolio / reporting / TAMPCompliance
35
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED began participating in a wrap-fee program. IAPD ↗foreign
$30.90B RAUM · 49 reps · 00442070738500 · xing.com
Portfolio / reporting / TAMPCompliance
35
TEMPLETON ASSET MANAGEMENT LTD. began participating in a wrap-fee program. IAPD ↗foreign
$35.63B RAUM · 41 reps · 65-6241-0777 · franklintempleton.com.sg
Portfolio / reporting / TAMPCompliance
aum down — 5 Regulatory AUM down >=25% since last filing.
45
OAKMONT WEALTH ADVISORY, LLC reported RAUM down 67% ($288.1M -> $96.2M). IAPD ↗
$96.2M RAUM · 2 reps · 443-741-9101 · whiteoakwealthmanagement.com
M&A & valuationRecruiting & transitions
45
ARTA FINANCE reported RAUM down 56% ($134.9M -> $59.1M). IAPD ↗
$59.1M RAUM · 18 reps · 650-318-3898
M&A & valuationRecruiting & transitions
35
THE PUTNAM ADVISORY COMPANY, LLC reported RAUM down 37% ($65.64B -> $41.47B). IAPD ↗fund
$41.47B RAUM · 6 reps · 617-292-1000
M&A & valuationRecruiting & transitions
30
HARBINGER CAPITAL PARTNERS LLC reported RAUM down 60% ($336.4M -> $134.2M). IAPD ↗fund
$134.2M RAUM · 1 reps · 212-518-4177 · harbingercapital.com
M&A & valuationRecruiting & transitions
30
REEF INVESTMENT MANAGEMENT LLC reported RAUM down 63% ($303.1M -> $113.4M). IAPD ↗fund
$113.4M RAUM · 1 reps · 801-216-8850 · reefim.com
M&A & valuationRecruiting & transitions
reorganization — 5 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
45
COMPREHENSIVE FINANCIAL MANAGEMENT LLC filed an Item 4A succession naming COMPREHENSIVE FINANCIAL MANAGEMENT LLC (CRD 159641) — an entity change, not a deal. IAPD ↗
$16.67B RAUM · 13 reps · 408-358-3316
Integration & migration consultingCompliance
43
COPPERLEAF CAPITAL, LLC filed an Item 4A succession naming COPPERLEAF CAPITAL, LLC (CRD 117823) — an entity change, not a deal. IAPD ↗
$255.1M RAUM · 4 reps · 919-787-9725
Integration & migration consultingCompliance
43
HANLON INVESTMENT MANAGEMENT, INC. filed an Item 4A succession naming HANLON INVESTMENT MANAGEMENT, INC. (CRD 118851) — an entity change, not a deal. IAPD ↗
$607.5M RAUM · 20 reps · 609-601-1200
Integration & migration consultingCompliance
40
PACIFICA WEALTH ADVISORS, INC. filed an Item 4A succession naming PACIFICA WEALTH ADVISORS, INC. (CRD 136054) — an entity change, not a deal. IAPD ↗
$161.1M RAUM · 1 reps · (855) 554-3677
Integration & migration consultingCompliance
40
TITAN CAPITAL MANAGEMENT filed an Item 4A succession naming TITAN CAPITAL MANAGEMENT (CRD 319447) — an entity change, not a deal. IAPD ↗
$100.9M RAUM · 2 reps · (209) 529-3089 · titanmanagers.com
Integration & migration consultingCompliance

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.