← Tributary

What changed in the May 2025 SEC adviser roster

367 events across 332 firms · 306 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

93state expansion
72new registration
35new office
30deregistered
27disclosure added
16relocation
15website changed
14aum up
10custody started
9planning clients up
9aum down
8rename

Top 25 signals — US wealth firms

100
ARIS INVESTING (DEERFIELD, IL) is newly SEC-registered with $1.12B RAUM and 3 advisory reps. IAPD ↗
$1.12B RAUM · 3 reps · 3129102502 · arisinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROFESSIONAL FINANCIAL MANAGEMENT, INC. (BOZEMAN, MT) is newly SEC-registered with $265.3M RAUM and 2 advisory reps. IAPD ↗
$265.3M RAUM · 2 reps · 406-587-1604
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEEDHAM ADVISORY CORPORATION (NORTH ANDOVER, MA) is newly SEC-registered with $100.2M RAUM and 2 advisory reps. IAPD ↗
$100.2M RAUM · 2 reps · 978 681-8821
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KALTBAUM CAPITAL MANAGEMENT (location n/a) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
$118.0M RAUM · 1 reps · 407-514-3180 · garykaltbaum.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BURT ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $106.8M RAUM and 1 advisory reps. IAPD ↗
$106.8M RAUM · 1 reps · 770-475-3701
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAST COAST WEALTH MANAGEMENT, INC. (FLORHAM PARK, NJ) is newly SEC-registered with $124.8M RAUM and 2 advisory reps. IAPD ↗
$124.8M RAUM · 2 reps · 973-396-8626 · eastcoastwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOUCET ASSET MANAGEMENT, LLC (NEW ORLEANS, LA) is newly SEC-registered with $132.6M RAUM and 2 advisory reps. IAPD ↗
$132.6M RAUM · 2 reps · 205-414-9788 · doucetcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WOLF FINANCIAL ADVISORS LLC (PEKIN, IL) is newly SEC-registered with $111.5M RAUM and 1 advisory reps. IAPD ↗
$111.5M RAUM · 1 reps · 309-346-1106
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPHA WEALTH FUNDS, LLC (PARK CITY, UT) is newly SEC-registered with $118.5M RAUM and 7 advisory reps. IAPD ↗
$118.5M RAUM · 7 reps · 435-269-4100 · alphawealthfunds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WATKINSON CAPITAL ADVISORS LLC (BERWYN, PA) is newly SEC-registered with $125.0M RAUM and 3 advisory reps. IAPD ↗
$125.0M RAUM · 3 reps · 484-588-0120 · watkinsoncap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KDM WEALTH MANAGEMENT INC. (GENEVA, IL) is newly SEC-registered with $101.1M RAUM and 3 advisory reps. IAPD ↗
$101.1M RAUM · 3 reps · (630) 232-9097
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC (FLORHAM PARK, NJ) is newly SEC-registered with $127.2M RAUM and 16 advisory reps. IAPD ↗
$127.2M RAUM · 16 reps · 888-467-3636 · jeffreymatthews.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLEMENT STREET CAPITAL LLC (DOWNERS GROVE, IL) is newly SEC-registered with $129.3M RAUM and 2 advisory reps. IAPD ↗
$129.3M RAUM · 2 reps · 630-701-9359 · clementstreetcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THINAGEE INVESTMENTS INC. (CHEVY CHASE, MD) is newly SEC-registered with $210.0M RAUM and 1 advisory reps. IAPD ↗
$210.0M RAUM · 1 reps · 240-235-1846 · thinagee.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUEPRINT WEALTH MANAGEMENT (location n/a) is newly SEC-registered with $120.3M RAUM and 1 advisory reps. IAPD ↗
$120.3M RAUM · 1 reps · 678-807-4007 · blueprintyourwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STOLZER ROTHSCHILD LEVY LLC (BASKING RIDGE, NJ) is newly SEC-registered with $145.2M RAUM and 2 advisory reps. IAPD ↗
$145.2M RAUM · 2 reps · 7324812200 · srlam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NYE WEALTH MANAGEMENT LLC (HUDSON, OH) is newly SEC-registered with $106.8M RAUM and 1 advisory reps. IAPD ↗
$106.8M RAUM · 1 reps · (330) 656-0007
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEVEN HILLS CAPITAL ADVISORS (CINCINNATI, OH) is newly SEC-registered with $113.4M RAUM and 1 advisory reps. IAPD ↗
$113.4M RAUM · 1 reps · 513-515-3135
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MIDWESTERN FINANCIAL GROUP (IOWA CITY, IA) is newly SEC-registered with $139.3M RAUM and 3 advisory reps. IAPD ↗
$139.3M RAUM · 3 reps · 319-499-1620
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
T.R.U.E. COASTAL CAPITAL, LLC (SAVANNAH, GA) is newly SEC-registered with $109.2M RAUM and 2 advisory reps. IAPD ↗
$109.2M RAUM · 2 reps · 912-234-3657 · coastalcapmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BALLAST POINT FINANCIAL PLANNING, LLC (BURLINGAME, CA) is newly SEC-registered with $130.3M RAUM and 4 advisory reps. IAPD ↗
$130.3M RAUM · 4 reps · 650-636-7526
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GREENWAY FINANCIAL, LLC (FARMINGTON HILLS, MI) is newly SEC-registered with $137.8M RAUM and 3 advisory reps. IAPD ↗
$137.8M RAUM · 3 reps · 248-851-2727
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRESTON INVESTMENTS (KINGMAN, AZ) is newly SEC-registered with $146.3M RAUM and 3 advisory reps. IAPD ↗
$146.3M RAUM · 3 reps · 928-757-1600 · prestoninvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORTITUDE PRIVATE WEALTH (CARMEL, IN) is newly SEC-registered with $102.8M RAUM and 1 advisory reps. IAPD ↗
$102.8M RAUM · 1 reps · 317-819-8550
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLEAR RETIREMENT ADVICE LLC (SAN MATEO, CA) is newly SEC-registered with $108.2M RAUM and 1 advisory reps. IAPD ↗
$108.2M RAUM · 1 reps · 650-446-5440 · clearretirementadvice.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 127 firms

100
ARIS INVESTING (DEERFIELD, IL) is newly SEC-registered with $1.12B RAUM and 3 advisory reps. IAPD ↗
$1.12B RAUM · 3 reps · 3129102502 · arisinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROFESSIONAL FINANCIAL MANAGEMENT, INC. (BOZEMAN, MT) is newly SEC-registered with $265.3M RAUM and 2 advisory reps. IAPD ↗
$265.3M RAUM · 2 reps · 406-587-1604
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEEDHAM ADVISORY CORPORATION (NORTH ANDOVER, MA) is newly SEC-registered with $100.2M RAUM and 2 advisory reps. IAPD ↗
$100.2M RAUM · 2 reps · 978 681-8821
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KALTBAUM CAPITAL MANAGEMENT (location n/a) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
$118.0M RAUM · 1 reps · 407-514-3180 · garykaltbaum.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BURT ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $106.8M RAUM and 1 advisory reps. IAPD ↗
$106.8M RAUM · 1 reps · 770-475-3701
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAST COAST WEALTH MANAGEMENT, INC. (FLORHAM PARK, NJ) is newly SEC-registered with $124.8M RAUM and 2 advisory reps. IAPD ↗
$124.8M RAUM · 2 reps · 973-396-8626 · eastcoastwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOUCET ASSET MANAGEMENT, LLC (NEW ORLEANS, LA) is newly SEC-registered with $132.6M RAUM and 2 advisory reps. IAPD ↗
$132.6M RAUM · 2 reps · 205-414-9788 · doucetcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WOLF FINANCIAL ADVISORS LLC (PEKIN, IL) is newly SEC-registered with $111.5M RAUM and 1 advisory reps. IAPD ↗
$111.5M RAUM · 1 reps · 309-346-1106
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPHA WEALTH FUNDS, LLC (PARK CITY, UT) is newly SEC-registered with $118.5M RAUM and 7 advisory reps. IAPD ↗
$118.5M RAUM · 7 reps · 435-269-4100 · alphawealthfunds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WATKINSON CAPITAL ADVISORS LLC (BERWYN, PA) is newly SEC-registered with $125.0M RAUM and 3 advisory reps. IAPD ↗
$125.0M RAUM · 3 reps · 484-588-0120 · watkinsoncap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 117 more in the CSV export.

Financial planning software 92 firms

100
ARIS INVESTING (DEERFIELD, IL) is newly SEC-registered with $1.12B RAUM and 3 advisory reps. IAPD ↗
$1.12B RAUM · 3 reps · 3129102502 · arisinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROFESSIONAL FINANCIAL MANAGEMENT, INC. (BOZEMAN, MT) is newly SEC-registered with $265.3M RAUM and 2 advisory reps. IAPD ↗
$265.3M RAUM · 2 reps · 406-587-1604
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEEDHAM ADVISORY CORPORATION (NORTH ANDOVER, MA) is newly SEC-registered with $100.2M RAUM and 2 advisory reps. IAPD ↗
$100.2M RAUM · 2 reps · 978 681-8821
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KALTBAUM CAPITAL MANAGEMENT (location n/a) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
$118.0M RAUM · 1 reps · 407-514-3180 · garykaltbaum.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BURT ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $106.8M RAUM and 1 advisory reps. IAPD ↗
$106.8M RAUM · 1 reps · 770-475-3701
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAST COAST WEALTH MANAGEMENT, INC. (FLORHAM PARK, NJ) is newly SEC-registered with $124.8M RAUM and 2 advisory reps. IAPD ↗
$124.8M RAUM · 2 reps · 973-396-8626 · eastcoastwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOUCET ASSET MANAGEMENT, LLC (NEW ORLEANS, LA) is newly SEC-registered with $132.6M RAUM and 2 advisory reps. IAPD ↗
$132.6M RAUM · 2 reps · 205-414-9788 · doucetcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WOLF FINANCIAL ADVISORS LLC (PEKIN, IL) is newly SEC-registered with $111.5M RAUM and 1 advisory reps. IAPD ↗
$111.5M RAUM · 1 reps · 309-346-1106
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPHA WEALTH FUNDS, LLC (PARK CITY, UT) is newly SEC-registered with $118.5M RAUM and 7 advisory reps. IAPD ↗
$118.5M RAUM · 7 reps · 435-269-4100 · alphawealthfunds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WATKINSON CAPITAL ADVISORS LLC (BERWYN, PA) is newly SEC-registered with $125.0M RAUM and 3 advisory reps. IAPD ↗
$125.0M RAUM · 3 reps · 484-588-0120 · watkinsoncap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 82 more in the CSV export.

Compliance 191 firms

100
ARIS INVESTING (DEERFIELD, IL) is newly SEC-registered with $1.12B RAUM and 3 advisory reps. IAPD ↗
$1.12B RAUM · 3 reps · 3129102502 · arisinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROFESSIONAL FINANCIAL MANAGEMENT, INC. (BOZEMAN, MT) is newly SEC-registered with $265.3M RAUM and 2 advisory reps. IAPD ↗
$265.3M RAUM · 2 reps · 406-587-1604
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEEDHAM ADVISORY CORPORATION (NORTH ANDOVER, MA) is newly SEC-registered with $100.2M RAUM and 2 advisory reps. IAPD ↗
$100.2M RAUM · 2 reps · 978 681-8821
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KALTBAUM CAPITAL MANAGEMENT (location n/a) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
$118.0M RAUM · 1 reps · 407-514-3180 · garykaltbaum.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BURT ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $106.8M RAUM and 1 advisory reps. IAPD ↗
$106.8M RAUM · 1 reps · 770-475-3701
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAST COAST WEALTH MANAGEMENT, INC. (FLORHAM PARK, NJ) is newly SEC-registered with $124.8M RAUM and 2 advisory reps. IAPD ↗
$124.8M RAUM · 2 reps · 973-396-8626 · eastcoastwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOUCET ASSET MANAGEMENT, LLC (NEW ORLEANS, LA) is newly SEC-registered with $132.6M RAUM and 2 advisory reps. IAPD ↗
$132.6M RAUM · 2 reps · 205-414-9788 · doucetcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WOLF FINANCIAL ADVISORS LLC (PEKIN, IL) is newly SEC-registered with $111.5M RAUM and 1 advisory reps. IAPD ↗
$111.5M RAUM · 1 reps · 309-346-1106
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPHA WEALTH FUNDS, LLC (PARK CITY, UT) is newly SEC-registered with $118.5M RAUM and 7 advisory reps. IAPD ↗
$118.5M RAUM · 7 reps · 435-269-4100 · alphawealthfunds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WATKINSON CAPITAL ADVISORS LLC (BERWYN, PA) is newly SEC-registered with $125.0M RAUM and 3 advisory reps. IAPD ↗
$125.0M RAUM · 3 reps · 484-588-0120 · watkinsoncap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 181 more in the CSV export.

Portfolio / reporting / TAMP 79 firms

100
ARIS INVESTING (DEERFIELD, IL) is newly SEC-registered with $1.12B RAUM and 3 advisory reps. IAPD ↗
$1.12B RAUM · 3 reps · 3129102502 · arisinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROFESSIONAL FINANCIAL MANAGEMENT, INC. (BOZEMAN, MT) is newly SEC-registered with $265.3M RAUM and 2 advisory reps. IAPD ↗
$265.3M RAUM · 2 reps · 406-587-1604
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEEDHAM ADVISORY CORPORATION (NORTH ANDOVER, MA) is newly SEC-registered with $100.2M RAUM and 2 advisory reps. IAPD ↗
$100.2M RAUM · 2 reps · 978 681-8821
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KALTBAUM CAPITAL MANAGEMENT (location n/a) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
$118.0M RAUM · 1 reps · 407-514-3180 · garykaltbaum.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BURT ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $106.8M RAUM and 1 advisory reps. IAPD ↗
$106.8M RAUM · 1 reps · 770-475-3701
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAST COAST WEALTH MANAGEMENT, INC. (FLORHAM PARK, NJ) is newly SEC-registered with $124.8M RAUM and 2 advisory reps. IAPD ↗
$124.8M RAUM · 2 reps · 973-396-8626 · eastcoastwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOUCET ASSET MANAGEMENT, LLC (NEW ORLEANS, LA) is newly SEC-registered with $132.6M RAUM and 2 advisory reps. IAPD ↗
$132.6M RAUM · 2 reps · 205-414-9788 · doucetcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WOLF FINANCIAL ADVISORS LLC (PEKIN, IL) is newly SEC-registered with $111.5M RAUM and 1 advisory reps. IAPD ↗
$111.5M RAUM · 1 reps · 309-346-1106
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPHA WEALTH FUNDS, LLC (PARK CITY, UT) is newly SEC-registered with $118.5M RAUM and 7 advisory reps. IAPD ↗
$118.5M RAUM · 7 reps · 435-269-4100 · alphawealthfunds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WATKINSON CAPITAL ADVISORS LLC (BERWYN, PA) is newly SEC-registered with $125.0M RAUM and 3 advisory reps. IAPD ↗
$125.0M RAUM · 3 reps · 484-588-0120 · watkinsoncap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 69 more in the CSV export.

Custodian 69 firms

100
ARIS INVESTING (DEERFIELD, IL) is newly SEC-registered with $1.12B RAUM and 3 advisory reps. IAPD ↗
$1.12B RAUM · 3 reps · 3129102502 · arisinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROFESSIONAL FINANCIAL MANAGEMENT, INC. (BOZEMAN, MT) is newly SEC-registered with $265.3M RAUM and 2 advisory reps. IAPD ↗
$265.3M RAUM · 2 reps · 406-587-1604
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEEDHAM ADVISORY CORPORATION (NORTH ANDOVER, MA) is newly SEC-registered with $100.2M RAUM and 2 advisory reps. IAPD ↗
$100.2M RAUM · 2 reps · 978 681-8821
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KALTBAUM CAPITAL MANAGEMENT (location n/a) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
$118.0M RAUM · 1 reps · 407-514-3180 · garykaltbaum.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BURT ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $106.8M RAUM and 1 advisory reps. IAPD ↗
$106.8M RAUM · 1 reps · 770-475-3701
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAST COAST WEALTH MANAGEMENT, INC. (FLORHAM PARK, NJ) is newly SEC-registered with $124.8M RAUM and 2 advisory reps. IAPD ↗
$124.8M RAUM · 2 reps · 973-396-8626 · eastcoastwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOUCET ASSET MANAGEMENT, LLC (NEW ORLEANS, LA) is newly SEC-registered with $132.6M RAUM and 2 advisory reps. IAPD ↗
$132.6M RAUM · 2 reps · 205-414-9788 · doucetcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WOLF FINANCIAL ADVISORS LLC (PEKIN, IL) is newly SEC-registered with $111.5M RAUM and 1 advisory reps. IAPD ↗
$111.5M RAUM · 1 reps · 309-346-1106
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPHA WEALTH FUNDS, LLC (PARK CITY, UT) is newly SEC-registered with $118.5M RAUM and 7 advisory reps. IAPD ↗
$118.5M RAUM · 7 reps · 435-269-4100 · alphawealthfunds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WATKINSON CAPITAL ADVISORS LLC (BERWYN, PA) is newly SEC-registered with $125.0M RAUM and 3 advisory reps. IAPD ↗
$125.0M RAUM · 3 reps · 484-588-0120 · watkinsoncap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 59 more in the CSV export.

Marketing & brand 196 firms

100
ARIS INVESTING (DEERFIELD, IL) is newly SEC-registered with $1.12B RAUM and 3 advisory reps. IAPD ↗
$1.12B RAUM · 3 reps · 3129102502 · arisinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROFESSIONAL FINANCIAL MANAGEMENT, INC. (BOZEMAN, MT) is newly SEC-registered with $265.3M RAUM and 2 advisory reps. IAPD ↗
$265.3M RAUM · 2 reps · 406-587-1604
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEEDHAM ADVISORY CORPORATION (NORTH ANDOVER, MA) is newly SEC-registered with $100.2M RAUM and 2 advisory reps. IAPD ↗
$100.2M RAUM · 2 reps · 978 681-8821
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KALTBAUM CAPITAL MANAGEMENT (location n/a) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
$118.0M RAUM · 1 reps · 407-514-3180 · garykaltbaum.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BURT ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $106.8M RAUM and 1 advisory reps. IAPD ↗
$106.8M RAUM · 1 reps · 770-475-3701
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAST COAST WEALTH MANAGEMENT, INC. (FLORHAM PARK, NJ) is newly SEC-registered with $124.8M RAUM and 2 advisory reps. IAPD ↗
$124.8M RAUM · 2 reps · 973-396-8626 · eastcoastwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOUCET ASSET MANAGEMENT, LLC (NEW ORLEANS, LA) is newly SEC-registered with $132.6M RAUM and 2 advisory reps. IAPD ↗
$132.6M RAUM · 2 reps · 205-414-9788 · doucetcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WOLF FINANCIAL ADVISORS LLC (PEKIN, IL) is newly SEC-registered with $111.5M RAUM and 1 advisory reps. IAPD ↗
$111.5M RAUM · 1 reps · 309-346-1106
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPHA WEALTH FUNDS, LLC (PARK CITY, UT) is newly SEC-registered with $118.5M RAUM and 7 advisory reps. IAPD ↗
$118.5M RAUM · 7 reps · 435-269-4100 · alphawealthfunds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WATKINSON CAPITAL ADVISORS LLC (BERWYN, PA) is newly SEC-registered with $125.0M RAUM and 3 advisory reps. IAPD ↗
$125.0M RAUM · 3 reps · 484-588-0120 · watkinsoncap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 186 more in the CSV export.

Recruiting & transitions 67 firms

80
ARKOS GLOBAL ADVISORS, LLC grew from 4 to 14 advisory reps. IAPD ↗
$1.11B RAUM · 14 reps · (346) 352-2360
CRMRecruiting & transitionsComplianceFinancial planning software
74
STRATEGIC WEALTH GROUP grew from 20 to 24 advisory reps. IAPD ↗
$1.04B RAUM · 24 reps · 952-843-4944
CRMRecruiting & transitionsComplianceFinancial planning software
70
TRUE WEALTH DESIGN, LLC grew from 5 to 7 advisory reps. IAPD ↗
$424.8M RAUM · 7 reps · (330) 777-0688
CRMRecruiting & transitionsComplianceFinancial planning software
70
MARKETRIDERS grew from 2 to 4 advisory reps. IAPD ↗
$485.6M RAUM · 4 reps · (866) 990-3837 · power.sogotrade.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
ALCYON WEALTH ADVISORS, LLC grew from 1 to 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (330) 797-4088
CRMRecruiting & transitionsComplianceFinancial planning software
65
AMUNDI ASSET MANAGEMENT US, INC. (BOSTON, MA) left the SEC roster (was $122.06B RAUM, 109 reps). IAPD ↗
$122.06B RAUM · 109 reps · 617-422-4700 · amundi.com
Recruiting & transitionsM&A & valuation
63
PLANNED ASSET MANAGEMENT (CALABASAS, CA) left the SEC roster (was $385.3M RAUM, 3 reps). IAPD ↗
$385.3M RAUM · 3 reps · 818-708-6888
Recruiting & transitionsM&A & valuation
63
LATHROP INVESTMENT MANAGEMENT CORP (LITTLE ROCK, AR) left the SEC roster (was $868.4M RAUM, 4 reps). IAPD ↗
$868.4M RAUM · 4 reps · 501-227-4930 · limc.com
Recruiting & transitionsM&A & valuation
63
ALPHAMARK ADVISORS, LLC (FT. WRIGHT, KY) left the SEC roster (was $405.8M RAUM, 3 reps). IAPD ↗
$405.8M RAUM · 3 reps · 859-957-1803 · alphamarkadvisors.com
Recruiting & transitionsM&A & valuation
63
CAHILL WEALTH MANAGEMENT, LLC (PORTAGE, MI) left the SEC roster (was $442.1M RAUM, 2 reps). IAPD ↗
$442.1M RAUM · 2 reps · 269-321-6600 · cahillwealth.com
Recruiting & transitionsM&A & valuation

…and 57 more in the CSV export.

Integration & migration consulting 2 firms

70
PERSONAL FINANCIAL MANAGEMENT crossed $500M in regulatory AUM ($495.5M -> $505.2M). IAPD ↗
$505.2M RAUM · 2 reps · 619-435-1600
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
TALON PRIVATE WEALTH, LLC crossed $500M in regulatory AUM ($97.9M -> $876.9M). IAPD ↗
$876.9M RAUM · 8 reps · (352) 751-3200
Portfolio / reporting / TAMPCRMIntegration & migration consulting

Fund administration 3 firms

75
MEYER HANDELMAN COMPANY LLC now reports 1 private fund(s) ($5.7M gross). IAPD ↗
$2.92B RAUM · 7 reps · 914-939-4060
Fund administrationCompliance
75
SARGENT INVESTMENT GROUP now reports 1 private fund(s) ($0 gross). IAPD ↗
$1.28B RAUM · 12 reps · (202) 580-6400
Fund administrationCompliance
73
PHILOSMITH CAPITAL CORPORATION now reports 1 private fund(s) ($37.4M gross). IAPD ↗
$365.3M RAUM · 6 reps · 203-348-7365 · philosmith.com
Fund administrationCompliance

Office IT & facilities 46 firms

55
NORTHSIDE CAPITAL MANAGEMENT LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$5.82B RAUM · 7 reps · 541-387-2080 · northsidecap.com
Office IT & facilitiesCRMRecruiting & transitions
55
TFO WEALTH PARTNERS added office(s): 9 -> 10 additional locations. IAPD ↗
$4.85B RAUM · 55 reps · 419-891-9999 · tfopartners.com
Office IT & facilitiesCRMRecruiting & transitions
55
THE INSTITUTE added office(s): 7 -> 8 additional locations. IAPD ↗
$1.15B RAUM · 2 reps · 303-572-3500
Office IT & facilitiesCRMRecruiting & transitions
55
BAY COLONY ADVISORS added office(s): 19 -> 21 additional locations. IAPD ↗
$1.26B RAUM · 30 reps · 978-369-7200 · davidboczar.com
Office IT & facilitiesCRMRecruiting & transitions
55
ST. GERMAIN INVESTMENT MANAGEMENT added office(s): 4 -> 5 additional locations. IAPD ↗
$3.10B RAUM · 26 reps · 413-733-5111
Office IT & facilitiesCRMRecruiting & transitions
55
CGN ADVISORS, LLC added office(s): 35 -> 36 additional locations. IAPD ↗
$1.26B RAUM · 41 reps · 910-333-6659 · arcadiafs.com
Office IT & facilitiesCRMRecruiting & transitions
55
ONE WEALTH ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.05B RAUM · 12 reps · (415) 729-1770 · onewealth.net
Office IT & facilitiesCRMRecruiting & transitions
55
THE PATRIOT FINANCIAL GROUP, LLC added office(s): 26 -> 27 additional locations. IAPD ↗
$2.41B RAUM · 47 reps · 508-251-6100
Office IT & facilitiesCRMRecruiting & transitions
55
STRATEGIC WEALTH GROUP added office(s): 9 -> 10 additional locations. IAPD ↗
$1.04B RAUM · 24 reps · 952-843-4944
Office IT & facilitiesCRMRecruiting & transitions
55
ONEASCENT FINANCIAL SERVICES LLC added office(s): 32 -> 33 additional locations. IAPD ↗
$2.61B RAUM · 57 reps · 205-313-9142
Office IT & facilitiesCRMRecruiting & transitions

…and 36 more in the CSV export.

M&A & valuation 27 firms

65
AMUNDI ASSET MANAGEMENT US, INC. (BOSTON, MA) left the SEC roster (was $122.06B RAUM, 109 reps). IAPD ↗
$122.06B RAUM · 109 reps · 617-422-4700 · amundi.com
Recruiting & transitionsM&A & valuation
63
PLANNED ASSET MANAGEMENT (CALABASAS, CA) left the SEC roster (was $385.3M RAUM, 3 reps). IAPD ↗
$385.3M RAUM · 3 reps · 818-708-6888
Recruiting & transitionsM&A & valuation
63
LATHROP INVESTMENT MANAGEMENT CORP (LITTLE ROCK, AR) left the SEC roster (was $868.4M RAUM, 4 reps). IAPD ↗
$868.4M RAUM · 4 reps · 501-227-4930 · limc.com
Recruiting & transitionsM&A & valuation
63
ALPHAMARK ADVISORS, LLC (FT. WRIGHT, KY) left the SEC roster (was $405.8M RAUM, 3 reps). IAPD ↗
$405.8M RAUM · 3 reps · 859-957-1803 · alphamarkadvisors.com
Recruiting & transitionsM&A & valuation
63
CAHILL WEALTH MANAGEMENT, LLC (PORTAGE, MI) left the SEC roster (was $442.1M RAUM, 2 reps). IAPD ↗
$442.1M RAUM · 2 reps · 269-321-6600 · cahillwealth.com
Recruiting & transitionsM&A & valuation
63
SAFEGUARD WEALTH MANAGEMENT (location n/a) left the SEC roster (was $601.0M RAUM, 4 reps). IAPD ↗
$601.0M RAUM · 4 reps · 920-544-0576 · safeguardinvest.com
Recruiting & transitionsM&A & valuation
60
FINANCIAL STEWARD ASSOCIATES, LLC (BOULDER, CO) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · 303-444-5440 · financialstewardassociates.com
Recruiting & transitionsM&A & valuation
60
HAUSSMANN FINANCIAL INC. (LAKE FOREST, CA) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · 949-250-4973
Recruiting & transitionsM&A & valuation
60
BLUE CHIP MONEY MANAGEMENT, LLC (location n/a) left the SEC roster (was $41.5M RAUM, 1 reps). IAPD ↗
$41.5M RAUM · 1 reps · 540 431-5802
Recruiting & transitionsM&A & valuation
60
QUANTITATIVE STRATEGIES, INC. (CALABASAS, CA) left the SEC roster (was $186.8M RAUM, 2 reps). IAPD ↗
$186.8M RAUM · 2 reps · 818-708-6888 · qstrategiesinc.com
Recruiting & transitionsM&A & valuation

…and 17 more in the CSV export.

Everything else — all segments

state expansion — 93 Notice-filed in new state(s): the firm is taking clients somewhere new.
53
CONSOLIDATED PLANNING CORPORATION notice-filed in CT, MS, WV, WY. IAPD ↗
$2.10B RAUM · 24 reps · 404-879-3000 · cpcadvisors.com
ComplianceMarketing & brand
53
ETHOS FINANCIAL GROUP, LLC notice-filed in AL, AZ, CT, MI. IAPD ↗
$1.58B RAUM · 27 reps · 484-889-7270 · ethosfg.com
ComplianceMarketing & brand
53
WILKERSON ADVISORY GROUP LLC notice-filed in AR, AZ, CO, FL, IL, KS, LA, OH, TN, TX, WI. IAPD ↗
$271.9M RAUM · 4 reps · 573 400 6101 · wilkersonadvisorygroup.com
ComplianceMarketing & brand
51
NORTHSIDE CAPITAL MANAGEMENT LLC notice-filed in NH, NY, PA. IAPD ↗
$5.82B RAUM · 7 reps · 541-387-2080 · northsidecap.com
ComplianceMarketing & brand
51
OAK HARVEST INVESTMENT SERVICES notice-filed in MD, MO, MT, NV. IAPD ↗
$940.8M RAUM · 22 reps · 281-822-1350
ComplianceMarketing & brand
51
CAPITA FINANCIAL NETWORK, LLC notice-filed in LA, NH, NM. IAPD ↗
$1.85B RAUM · 22 reps · 801-566-5058
ComplianceMarketing & brand
50
TFP MANAGEMENT, LLC notice-filed in AL, CO, FL, GA, MN, NE, TX, WI. IAPD ↗
$217.7M RAUM · 3 reps · 563-359-8783 · truefinancialpartners.com
ComplianceMarketing & brand
50
ARGO WEALTH ADVISORY, LLC notice-filed in CA, DE, FL, LA, MD, NC, NH, NV, SC. IAPD ↗
$0 RAUM · 2 reps · 703-966-6671 · argowealthadvisory.com
ComplianceMarketing & brand
50
STEADTRUST notice-filed in DE, NH, NJ, NY, WY. IAPD ↗
$0 RAUM · 1 reps · 972-876-8422
ComplianceMarketing & brand
49
INSIGHT FOLIOS notice-filed in AL, LA, UT. IAPD ↗
$341.4M RAUM · 15 reps · (704) 529-9500 · dursocapital.com
ComplianceMarketing & brand
49
FORTEM FINANCIAL GROUP, LLC notice-filed in IL, OR, UT. IAPD ↗
$528.5M RAUM · 6 reps · 760-206-8500
ComplianceMarketing & brand
49
WEST WEALTH GROUP, LLC notice-filed in CT, NY, UT. IAPD ↗
$472.1M RAUM · 9 reps · 949-682-9105
ComplianceMarketing & brand
48
LIGHTSQUARE WEALTH MANAGEMENT, LLC notice-filed in FL, GA, MD, NY. IAPD ↗
$131.4M RAUM · 2 reps · 248-641-3540 · lightsquarewealth.com
ComplianceMarketing & brand
47
BALDWIN WEALTH PARTNERS, LLC notice-filed in NJ. IAPD ↗
$2.51B RAUM · 14 reps · (508) 748-0800 · baldwin-llc.com
ComplianceMarketing & brand
47
FINANCIAL SYNERGIES notice-filed in NJ. IAPD ↗
$1.57B RAUM · 15 reps · 713-623-6600
ComplianceMarketing & brand
47
PINNACLE ADVISORS notice-filed in GA. IAPD ↗
$1.94B RAUM · 19 reps · 419-526-5226 · pinnacleadvisors.com
ComplianceMarketing & brand
47
DESTINATION WEALTH MANAGEMENT notice-filed in CT. IAPD ↗
$4.15B RAUM · 34 reps · 925-935-2900 · destinationwm.com
ComplianceMarketing & brand
47
FINANCIAL MANAGEMENT NETWORK INC notice-filed in NY. IAPD ↗
$1.80B RAUM · 21 reps · 949-455-0300 · fmnbenefits.com
ComplianceMarketing & brand
47
AFFIANCE FINANCIAL LLC notice-filed in IN. IAPD ↗
$1.15B RAUM · 10 reps · 952-544-9818 · affiancefinancial.com
ComplianceMarketing & brand
47
PINKERTON WEALTH PARTNERS notice-filed in KS. IAPD ↗
$1.25B RAUM · 17 reps · 800-634-2008
ComplianceMarketing & brand
47
INVESTMARK ADVISORY GROUP LLC notice-filed in CA, DE. IAPD ↗
$812.2M RAUM · 10 reps · 203-953-3777 · investmark.net
ComplianceMarketing & brand
47
GREAT VALLEY ADVISOR GROUP, INC. notice-filed in PR. IAPD ↗
$9.73B RAUM · 191 reps · 302-483-7200 · knightwealthmanagement.com
ComplianceMarketing & brand
47
GRAYPOINT LLC notice-filed in RI. IAPD ↗
$4.65B RAUM · 36 reps · (518) 641-6860 · graypointllc.com
ComplianceMarketing & brand
47
LJI WEALTH MANAGEMENT, LLC notice-filed in CO. IAPD ↗
$1.07B RAUM · 13 reps · 317-466-9702 · ljiwm.com
ComplianceMarketing & brand
47
ROUNDVIEW CAPITAL, LLC notice-filed in TN. IAPD ↗
$1.88B RAUM · 5 reps · 609-688-9500 · roundviewcapital.com
ComplianceMarketing & brand
47
PROSPERITY CAPITAL ADVISORS notice-filed in OK. IAPD ↗
$3.68B RAUM · 102 reps · 888-240-0064
ComplianceMarketing & brand
47
JAG CAPITAL MANAGEMENT LLC notice-filed in KS. IAPD ↗
$1.70B RAUM · 14 reps · 314-997-1277
ComplianceMarketing & brand
47
MONTIS FINANCIAL, LLC notice-filed in PA. IAPD ↗
$1.01B RAUM · 17 reps · 781-541-5057 · montisfinancial.com
ComplianceMarketing & brand
47
VANTAGE POINT WEALTH MANAGEMENT notice-filed in NV, SD. IAPD ↗
$277.4M RAUM · 15 reps · (763) 587-7120 · vpwealthmgmt.com
ComplianceMarketing & brand
47
FLORIDA FINANCIAL ADVISORS, LLC notice-filed in AK, ME. IAPD ↗
$317.8M RAUM · 457 reps · (813) 333-1683
ComplianceMarketing & brand
47
CHICAGO CAPITAL, LLC notice-filed in ID. IAPD ↗
$4.48B RAUM · 13 reps · 312-429-2333
ComplianceMarketing & brand
47
LIBERTY ONE INVESTMENT MANAGEMENT notice-filed in DE. IAPD ↗
$2.38B RAUM · 19 reps · 847-680-9255 · libertyoneim.com
ComplianceMarketing & brand
47
NEXT LEVEL PRIVATE LLC notice-filed in IL. IAPD ↗
$1.05B RAUM · 8 reps · (914) 431-5255
ComplianceMarketing & brand
47
SMITH GROUP ASSET MANAGEMENT, LLC notice-filed in AK. IAPD ↗
$1.71B RAUM · 8 reps · 214-880-4600 · smithasset.com
ComplianceMarketing & brand
47
IMPACT PARTNERSHIP WEALTH, LLC notice-filed in KY. IAPD ↗
$1.68B RAUM · 72 reps · 800-380-5040
ComplianceMarketing & brand
47
THEPARTNERS WEALTH MANAGEMENT notice-filed in NJ, OH. IAPD ↗
$454.5M RAUM · 19 reps · 800-324-3010 · twsfinancialplanning.com
ComplianceMarketing & brand
47
MIDLAND WEALTH MANAGEMENT notice-filed in NY. IAPD ↗
$2.93B RAUM · 19 reps · 312-660-6516
ComplianceMarketing & brand
47
NAVISTA WEALTH MANAGEMENT, INC. notice-filed in AZ, NY. IAPD ↗
$632.6M RAUM · 3 reps · 612-315-2400 · navistawealth.com
ComplianceMarketing & brand
46
PR WEALTH MANAGEMENT GROUP notice-filed in MN, UT, WI. IAPD ↗
$142.0M RAUM · 4 reps · 309-792-8291
ComplianceMarketing & brand
46
HENDERSON BROTHERS FINANCIAL PARTNERS LLC notice-filed in NH, OH, WV. IAPD ↗
$0 RAUM · 22 reps · 412-261-3333 · hendersonbrothersfinancialpartners.com
ComplianceMarketing & brand
45
CAPITAL INVESTMENT COUNSEL INC notice-filed in IL. IAPD ↗
$889.4M RAUM · 4 reps · 919-831-2370 · capital-invest.com
ComplianceMarketing & brand
45
MPM WEALTH ADVISORS notice-filed in NH. IAPD ↗
$888.9M RAUM · 20 reps · 419-861-1400
ComplianceMarketing & brand
45
IRON FINANCIAL LLC notice-filed in NJ. IAPD ↗
$472.1M RAUM · 9 reps · 847-715-3200 · ironfinancial.com
ComplianceMarketing & brand
45
AVALON CAPITAL MANAGEMENT notice-filed in NV. IAPD ↗
$487.4M RAUM · 3 reps · 650-306-1500 · avaloncapital.com
ComplianceMarketing & brand
45
GS INVESTMENT INC notice-filed in MD. IAPD ↗
$270.9M RAUM · 3 reps · 612-371-0590 · gsinvestments.com
ComplianceMarketing & brand
45
BRIGHT FINANCIAL ADVISORS, INC. notice-filed in NY. IAPD ↗
$570.1M RAUM · 2 reps · 269-373-2700 · brightfinancialadvisors.com
ComplianceMarketing & brand
45
BOLTWOOD CAPITAL MANAGEMENT notice-filed in MT. IAPD ↗
$380.6M RAUM · 2 reps · 415-433-1550 · boltwoodcap.com
ComplianceMarketing & brand
45
JMF CAPSTONE WEALTH MANAGEMENT notice-filed in GA. IAPD ↗
$362.7M RAUM · 8 reps · 205-345-8440 · jmfcapstone.com
ComplianceMarketing & brand
45
WEBSTERROGERS FINANCIAL ADVISORS, LLC notice-filed in GA. IAPD ↗
$371.8M RAUM · 7 reps · 843-665-6321 · wrfasc.com
ComplianceMarketing & brand
45
MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY notice-filed in NC. IAPD ↗
$340.4M RAUM · 4 reps · 717-790-9001 · investwithmosaic.com
ComplianceMarketing & brand
45
INTERACTIVE FINANCIAL ADVISORS notice-filed in OR. IAPD ↗
$337.8M RAUM · 37 reps · 630-472-1300
ComplianceMarketing & brand
45
HENNION & WALSH ASSET MANAGEMENT, INC. notice-filed in NV. IAPD ↗
$590.1M RAUM · 11 reps · 973-299-8989 · hennionandwalsh.com
ComplianceMarketing & brand
45
ADIRONDACK CAPITAL ADVISORS, LLC notice-filed in PA. IAPD ↗
$350.1M RAUM · 4 reps · 315-434-5597 · adirondackadvisors.com
ComplianceMarketing & brand
45
SARA-BAY FINANCIAL CORP. notice-filed in GA. IAPD ↗
$318.3M RAUM · 3 reps · 941-371-8027 · sara-bay.com
ComplianceMarketing & brand
45
PERSPECTIVE WEALTH PARTNERS, LLC notice-filed in LA. IAPD ↗
$707.3M RAUM · 6 reps · 208-429-0960 · perspectivewealth.com
ComplianceMarketing & brand
45
TLWM FINANCIAL notice-filed in OH. IAPD ↗
$577.3M RAUM · 10 reps · 1-877-348-8822 · tlwmadvisor.com
ComplianceMarketing & brand
45
TRINITY LEGACY PARTNERS, LLC notice-filed in IN. IAPD ↗
$460.4M RAUM · 7 reps · 713-999-8053 · trinitylegacy.com
ComplianceMarketing & brand
45
OCCIDENTAL ASSET MANAGEMENT, LLC notice-filed in PR. IAPD ↗
$796.1M RAUM · 10 reps · 650-344-1600 · ymwadvisors.com
ComplianceMarketing & brand
45
DELAP WEALTH ADVISORY, LLC notice-filed in UT. IAPD ↗
$819.9M RAUM · 5 reps · (503) 697-4118 · delapwa.com
ComplianceMarketing & brand
45
BALBOA WEALTH PARTNERS, INC. notice-filed in CT. IAPD ↗
$804.8M RAUM · 23 reps · 949-445-1465
ComplianceMarketing & brand
45
BMSS WESSON WEALTH SOLUTIONS notice-filed in MD. IAPD ↗
$577.1M RAUM · 6 reps · 205-982-5555 · bmsswesson.com
ComplianceMarketing & brand
45
OASIS WEALTH PLANNING ADVISORS notice-filed in MA. IAPD ↗
$267.8M RAUM · 6 reps · (615) 933-3314 · oasiswealthplanning.com
ComplianceMarketing & brand
45
ALLRED HARRIS WEALTH MANAGEMENT. notice-filed in NC. IAPD ↗
$452.4M RAUM · 4 reps · 844-965-7695 · allredcapitalmanagement.com
ComplianceMarketing & brand
45
KEY CLIENT FIDUCIARY ADVISORS, LLC notice-filed in AZ. IAPD ↗
$782.0M RAUM · 10 reps · 973-244-4142 · keyclientfa.com
ComplianceMarketing & brand
45
PENSION & WEALTH MANAGEMENT ADVISORS notice-filed in IL. IAPD ↗
$452.2M RAUM · 5 reps · 781-810-0800 · pensionwealth.com
ComplianceMarketing & brand
45
GALAPAGOS ADVISORY LLC notice-filed in TX. IAPD ↗
$274.9M RAUM · 4 reps · 3055155878 · galapagoscapital.us
ComplianceMarketing & brand
45
STONEBROOK PRIVATE LLC notice-filed in NE. IAPD ↗
$794.2M RAUM · 4 reps · (248) 349-3027 · stonebrookprivate.com
ComplianceMarketing & brand
45
INDIVISIBLE PARTNERS notice-filed in NJ. IAPD ↗
$298.6M RAUM · 3 reps · 732-306-5490 · indivisible.com
ComplianceMarketing & brand
45
SHRIER WEALTH MANAGEMENT, LLC notice-filed in MA. IAPD ↗
$323.2M RAUM · 3 reps · 310-201-0200 · shrierwealth.com
ComplianceMarketing & brand
44
GRANTVEST FINANCIAL GROUP LLC notice-filed in CA, DE. IAPD ↗
$170.0M RAUM · 5 reps · (732) 970-6659 · grantvest.com
ComplianceMarketing & brand
44
WINTER & ASSOCIATES, INC. notice-filed in CA, TX. IAPD ↗
$147.5M RAUM · 4 reps · (651) 414-5000
ComplianceMarketing & brand
44
CONSTITUTION WEALTH LLC notice-filed in AZ, IN. IAPD ↗
$53.5M RAUM · 6 reps · 866-463-1776 · gab.com
ComplianceMarketing & brand
44
CRUSONIA WEALTH ADVISORS LLC notice-filed in PA, WI. IAPD ↗
$161.3M RAUM · 4 reps · 303-810-6366
ComplianceMarketing & brand
44
REDWOOD FAMILY WEALTH LLC notice-filed in LA, NY. IAPD ↗
$221.7M RAUM · 3 reps · 469-965-4001 · redwoodfamilywealth.com
ComplianceMarketing & brand
44
EXCELSIOR ADVISOR NETWORK LLC notice-filed in LA, OH. IAPD ↗
$109.5M RAUM · 4 reps · 773-331-4692 · excelsioradvisor.com
ComplianceMarketing & brand
42
CREWS & ASSOCIATES, INC. notice-filed in VA. IAPD ↗
$149.4M RAUM · 20 reps · 501-907-2000 · crewsfs.com
ComplianceMarketing & brand
42
GUNN & COMPANY INVESTMENT MANAGEMENT, INC. notice-filed in TX. IAPD ↗
$194.5M RAUM · 2 reps · 904-296-2025 · gunncoim.com
ComplianceMarketing & brand
42
ANDREW HILL INVESTMENT ADVISORS, INC. notice-filed in NY. IAPD ↗
$222.3M RAUM · 2 reps · 239-450-3999
ComplianceMarketing & brand
42
ONE ADVISORY PARTNERS, LLC notice-filed in CO. IAPD ↗
$243.3M RAUM · 4 reps · 913-663-2376 · oneadvisorypartners.com
ComplianceMarketing & brand
42
FSR WEALTH STRATEGIES notice-filed in TX. IAPD ↗
$237.1M RAUM · 9 reps · 630-993-8200 · fsrwealth.com
ComplianceMarketing & brand
42
LFN ADVISORS INC. notice-filed in PA. IAPD ↗
$15.7M RAUM · 3 reps · 616-589-4004 · legacyfinancialnetwork.net
ComplianceMarketing & brand
42
RELEVE FINANCIAL GROUP notice-filed in FL. IAPD ↗
$222.8M RAUM · 5 reps · 612-801-0556
ComplianceMarketing & brand
42
EPIC WEALTH MANAGEMENT, LLC notice-filed in AL. IAPD ↗
$112.3M RAUM · 4 reps · 405-257-0301 · epicwmg.com
ComplianceMarketing & brand
42
RM FINANCIAL SERVICES, LLC notice-filed in NC. IAPD ↗
$221.1M RAUM · 3 reps · (207) 781-7637 · rmfsllc.com
ComplianceMarketing & brand
42
IRONOAK WEALTH notice-filed in CA. IAPD ↗
$106.0M RAUM · 5 reps · 737-271-9421
ComplianceMarketing & brand
42
GRAVER CAPITAL MANAGEMENT, LLC notice-filed in FL. IAPD ↗
$122.0M RAUM · 2 reps · 614-499-2500 · gravercapmgmt.com
ComplianceMarketing & brand
42
WAYSTONE ADVISORS LLC notice-filed in NY. IAPD ↗
$136.1M RAUM · 4 reps · (425) 484-0045
ComplianceMarketing & brand
42
CATALYST WEALTH MANAGEMENT LLC notice-filed in WI. IAPD ↗
$47.7M RAUM · 14 reps · 832-657-7735 · catalystfg.com
ComplianceMarketing & brand
42
AGP FRANKLIN, LLC notice-filed in WA. IAPD ↗
$195.2M RAUM · 2 reps · 615-778-9842 · aspengroveassetmanagement.com
ComplianceMarketing & brand
42
CHURCHILL FINANCIAL ADVISORS, LLC notice-filed in WI. IAPD ↗
$243.8M RAUM · 3 reps · 502-895-3535 · churchillfa.com
ComplianceMarketing & brand
42
CATOCTIN RIDGE WEALTH PARTNER notice-filed in DC. IAPD ↗
$102.3M RAUM · 2 reps · 301-304-6004
ComplianceMarketing & brand
32
CAPITAL CLIENT GROUP, INC. notice-filed in VA. IAPD ↗institutional
$0 RAUM · 655 reps · 213-486-9200 · pro.capitalgroup.com
ComplianceMarketing & brand
32
PHASE 3 CAPITAL MANAGEMENT LLC notice-filed in FL. IAPD ↗fund
$2.80B RAUM · 4 reps · 312-858-3800 · p3cm.com
ComplianceMarketing & brand
new registration — 72 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
100
ARIS INVESTING (DEERFIELD, IL) is newly SEC-registered with $1.12B RAUM and 3 advisory reps. IAPD ↗
$1.12B RAUM · 3 reps · 3129102502 · arisinvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROFESSIONAL FINANCIAL MANAGEMENT, INC. (BOZEMAN, MT) is newly SEC-registered with $265.3M RAUM and 2 advisory reps. IAPD ↗
$265.3M RAUM · 2 reps · 406-587-1604
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEEDHAM ADVISORY CORPORATION (NORTH ANDOVER, MA) is newly SEC-registered with $100.2M RAUM and 2 advisory reps. IAPD ↗
$100.2M RAUM · 2 reps · 978 681-8821
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KALTBAUM CAPITAL MANAGEMENT (location n/a) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
$118.0M RAUM · 1 reps · 407-514-3180 · garykaltbaum.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BURT ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $106.8M RAUM and 1 advisory reps. IAPD ↗
$106.8M RAUM · 1 reps · 770-475-3701
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAST COAST WEALTH MANAGEMENT, INC. (FLORHAM PARK, NJ) is newly SEC-registered with $124.8M RAUM and 2 advisory reps. IAPD ↗
$124.8M RAUM · 2 reps · 973-396-8626 · eastcoastwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOUCET ASSET MANAGEMENT, LLC (NEW ORLEANS, LA) is newly SEC-registered with $132.6M RAUM and 2 advisory reps. IAPD ↗
$132.6M RAUM · 2 reps · 205-414-9788 · doucetcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WOLF FINANCIAL ADVISORS LLC (PEKIN, IL) is newly SEC-registered with $111.5M RAUM and 1 advisory reps. IAPD ↗
$111.5M RAUM · 1 reps · 309-346-1106
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPHA WEALTH FUNDS, LLC (PARK CITY, UT) is newly SEC-registered with $118.5M RAUM and 7 advisory reps. IAPD ↗
$118.5M RAUM · 7 reps · 435-269-4100 · alphawealthfunds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WATKINSON CAPITAL ADVISORS LLC (BERWYN, PA) is newly SEC-registered with $125.0M RAUM and 3 advisory reps. IAPD ↗
$125.0M RAUM · 3 reps · 484-588-0120 · watkinsoncap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KDM WEALTH MANAGEMENT INC. (GENEVA, IL) is newly SEC-registered with $101.1M RAUM and 3 advisory reps. IAPD ↗
$101.1M RAUM · 3 reps · (630) 232-9097
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC (FLORHAM PARK, NJ) is newly SEC-registered with $127.2M RAUM and 16 advisory reps. IAPD ↗
$127.2M RAUM · 16 reps · 888-467-3636 · jeffreymatthews.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLEMENT STREET CAPITAL LLC (DOWNERS GROVE, IL) is newly SEC-registered with $129.3M RAUM and 2 advisory reps. IAPD ↗
$129.3M RAUM · 2 reps · 630-701-9359 · clementstreetcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THINAGEE INVESTMENTS INC. (CHEVY CHASE, MD) is newly SEC-registered with $210.0M RAUM and 1 advisory reps. IAPD ↗
$210.0M RAUM · 1 reps · 240-235-1846 · thinagee.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUEPRINT WEALTH MANAGEMENT (location n/a) is newly SEC-registered with $120.3M RAUM and 1 advisory reps. IAPD ↗
$120.3M RAUM · 1 reps · 678-807-4007 · blueprintyourwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STOLZER ROTHSCHILD LEVY LLC (BASKING RIDGE, NJ) is newly SEC-registered with $145.2M RAUM and 2 advisory reps. IAPD ↗
$145.2M RAUM · 2 reps · 7324812200 · srlam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NYE WEALTH MANAGEMENT LLC (HUDSON, OH) is newly SEC-registered with $106.8M RAUM and 1 advisory reps. IAPD ↗
$106.8M RAUM · 1 reps · (330) 656-0007
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEVEN HILLS CAPITAL ADVISORS (CINCINNATI, OH) is newly SEC-registered with $113.4M RAUM and 1 advisory reps. IAPD ↗
$113.4M RAUM · 1 reps · 513-515-3135
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MIDWESTERN FINANCIAL GROUP (IOWA CITY, IA) is newly SEC-registered with $139.3M RAUM and 3 advisory reps. IAPD ↗
$139.3M RAUM · 3 reps · 319-499-1620
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
T.R.U.E. COASTAL CAPITAL, LLC (SAVANNAH, GA) is newly SEC-registered with $109.2M RAUM and 2 advisory reps. IAPD ↗
$109.2M RAUM · 2 reps · 912-234-3657 · coastalcapmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BALLAST POINT FINANCIAL PLANNING, LLC (BURLINGAME, CA) is newly SEC-registered with $130.3M RAUM and 4 advisory reps. IAPD ↗
$130.3M RAUM · 4 reps · 650-636-7526
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GREENWAY FINANCIAL, LLC (FARMINGTON HILLS, MI) is newly SEC-registered with $137.8M RAUM and 3 advisory reps. IAPD ↗
$137.8M RAUM · 3 reps · 248-851-2727
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRESTON INVESTMENTS (KINGMAN, AZ) is newly SEC-registered with $146.3M RAUM and 3 advisory reps. IAPD ↗
$146.3M RAUM · 3 reps · 928-757-1600 · prestoninvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORTITUDE PRIVATE WEALTH (CARMEL, IN) is newly SEC-registered with $102.8M RAUM and 1 advisory reps. IAPD ↗
$102.8M RAUM · 1 reps · 317-819-8550
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLEAR RETIREMENT ADVICE LLC (SAN MATEO, CA) is newly SEC-registered with $108.2M RAUM and 1 advisory reps. IAPD ↗
$108.2M RAUM · 1 reps · 650-446-5440 · clearretirementadvice.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUEBIRD WEALTH MANAGEMENT LLC (MEDFIELD, MA) is newly SEC-registered with $136.8M RAUM and 4 advisory reps. IAPD ↗
$136.8M RAUM · 4 reps · (508) 359-4349
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPARK FINANCIAL ADVISORS (RICHMOND, VA) is newly SEC-registered with $115.8M RAUM and 4 advisory reps. IAPD ↗
$115.8M RAUM · 4 reps · 804-451-1210
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HICKORY WEALTH MANAGEMENT, LLC (SPRINGFIELD, MO) is newly SEC-registered with $107.2M RAUM and 2 advisory reps. IAPD ↗
$107.2M RAUM · 2 reps · (417) 306-9891
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAYES WEALTH ADVISORS, LLC (location n/a) is newly SEC-registered with $102.1M RAUM and 2 advisory reps. IAPD ↗
$102.1M RAUM · 2 reps · (404) 905-7489 · hayeswealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KENNONDALE CAPITAL MANAGEMENT (RICHMOND, VA) is newly SEC-registered with $100.4M RAUM and 2 advisory reps. IAPD ↗
$100.4M RAUM · 2 reps · (804) 350-3368 · kennondale.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CASSILLY FINANCIAL (SEVERNA PARK, MD) is newly SEC-registered with $103.2M RAUM and 1 advisory reps. IAPD ↗
$103.2M RAUM · 1 reps · 410-793-5210 · cassillyfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FARNAM FINANCIAL (PHOENIX, AZ) is newly SEC-registered with $122.1M RAUM and 2 advisory reps. IAPD ↗
$122.1M RAUM · 2 reps · (602) 603-4000 · farnamfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VERTIS WEALTH, LLC (KALAMAZOO, MI) is newly SEC-registered with $115.1M RAUM and 6 advisory reps. IAPD ↗
$115.1M RAUM · 6 reps · 774-874-3686 · vertiswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORNERSTONE WEALTH ADVISORS, INC. (CARLSBAD, CA) is newly SEC-registered with $110.2M RAUM and 4 advisory reps. IAPD ↗
$110.2M RAUM · 4 reps · 760-476-1376 · cwainvestors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SILICON BEACH WEALTH, LLC (MARINA DEL REY, CA) is newly SEC-registered with $143.8M RAUM and 3 advisory reps. IAPD ↗
$143.8M RAUM · 3 reps · (424) 272-1638 · siliconbeachwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VILGA FINANCIAL PLANNING LLC (location n/a) is newly SEC-registered with $124.7M RAUM and 1 advisory reps. IAPD ↗
$124.7M RAUM · 1 reps · (201) 300-6097 · vilga.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SERVATUS CAPITAL (NAPLES, FL) is newly SEC-registered with $109.7M RAUM and 2 advisory reps. IAPD ↗
$109.7M RAUM · 2 reps · 314-750-1167
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AXIOM WEALTH STRATEGIES, LLC (BEND, OR) is newly SEC-registered with $100.1M RAUM and 3 advisory reps. IAPD ↗
$100.1M RAUM · 3 reps · 541-389-7777
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JACKSON & ASSOCIATES, INC. (ALBUQUERQUE, NM) is newly SEC-registered with $119.8M RAUM and 2 advisory reps. IAPD ↗
$119.8M RAUM · 2 reps · 505-944-8404 · jacksonrfw.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROSS BORDER FINANCIAL PLANNING USA LLC (PHILADELPHIA, PA) is newly SEC-registered with $114.7M RAUM and 3 advisory reps. IAPD ↗
$114.7M RAUM · 3 reps · 267-946-1099
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JANSEN WEALTH MANAGEMENT LLC (ALTOONA, WI) is newly SEC-registered with $104.7M RAUM and 2 advisory reps. IAPD ↗
$104.7M RAUM · 2 reps · 715-481-0499
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STONECREEK PRIVATE WEALTH, LLC (location n/a) is newly SEC-registered with $163.1M RAUM and 1 advisory reps. IAPD ↗
$163.1M RAUM · 1 reps · 214-415-6726 · stonecreekpw.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INFINITY ADVISORY GROUP (PORTAGE, MI) is newly SEC-registered with $102.7M RAUM and 3 advisory reps. IAPD ↗
$102.7M RAUM · 3 reps · 269-888-2301 · infinity-advisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE FINANCIAL (CHARLOTTE, NC) is newly SEC-registered with $100.4M RAUM and 3 advisory reps. IAPD ↗
$100.4M RAUM · 3 reps · 7043021141
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HUFFMAN & ROSS WEALTH MANAGEMENT LLC (MORGANTOWN, WV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 304-241-4478
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE BREIT GROUP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (704) 502-6069 · thebreitgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOLISTIC FINANCE LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 808-746-7774 · holisticfinance.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SESTANTE WEALTH MANAGEMENT, LLC (CORONADO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 619-268-6279 · sestantecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAGLE'S NEST ADVISORS, LLC (MELVILLE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 646-627-6030
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TENZING FINANCIAL LLC (WILLIAMSBURG, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 617-800-0388 · tenzingfinancial.us
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MARBLE WEALTH, LLC (MONTGOMERY, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · (334) 679-4800 · marblewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BERNICKE WEALTH MANAGEMENT (ALTOONA, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 715-832-1173
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SONOMA FAMILY WEALTH (SANTA ROSA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 707-490-8842
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WLTH CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 602-228-1417
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
M3 WEALTH MANAGEMENT (NORTH ROYALTON, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 440-652-6370 · m3wealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEINBERGANNA WEALTH MANAGEMENT LLC (HUNTINGTON, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 631-271-6160 · steinberganna.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TMB CAPITAL PARTNERS, LLC (LITTLE ROCK, AR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 501-671-1140 · tmbcapitalpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PENDULUM WEALTH PARTNERS (ITASCA, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · (617) 800-0388 · pendulum.partners
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STRONG RETIREMENT SOLUTIONS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 360-566-2264
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
LIGHTSPEED VENTURE PARTNERS (MENLO PARK, CA) is newly SEC-registered with $31.19B RAUM and 129 advisory reps. IAPD ↗fund
$31.19B RAUM · 129 reps · 650-234-8300 · lsvp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
LONGHORN CAPITAL PARTNERS, L.P. (FORT WORTH, TX) is newly SEC-registered (provisional 120-day approval) with $16.0M RAUM and 2 advisory reps. IAPD ↗institutional
$16.0M RAUM · 2 reps · 646-207-1743
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
VARCOV CO. (GLASTONBURY, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 203-543-9165 · varcov.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MAPLE PARK CAPITAL (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 214-302-5550
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MARKETS INFRASTRUCTURE PARTNERS (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 646 513 5976 · marketsinfrastructure.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
LANE42 (SANTA MONICA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · (212) 970-5740 · lane42.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MAKARORA (NEW YORK, NY) is newly SEC-registered with $353.3M RAUM and 13 advisory reps. IAPD ↗fund
$353.3M RAUM · 13 reps · 646-647-4133 · makarora-lp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SPRUCE STREET CAPITAL LP (NEW YORK, NY) is newly SEC-registered with $293.0M RAUM and 2 advisory reps. IAPD ↗fund
$293.0M RAUM · 2 reps · (646) 416-9712
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MILITIA CAPITAL MANAGEMENT, LLC (LAS VEGAS, NV) is newly SEC-registered with $370.2M RAUM and 1 advisory reps. IAPD ↗fund
$370.2M RAUM · 1 reps · 1-213-444-9705
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CONTINENTAL ADVISORS LLC (location n/a) is newly SEC-registered with $157.0M RAUM and 2 advisory reps. IAPD ↗fund
$157.0M RAUM · 2 reps · 312-560-7520
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
POPLAR POINT CAPITAL MANAGEMENT LLC (BURLINGAME, CA) is newly SEC-registered with $103.9M RAUM and 1 advisory reps. IAPD ↗fund
$103.9M RAUM · 1 reps · 650 239 9049
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
LEXINGTON CAPITAL MANAGEMENT LP (LAKEWOOD, NJ) is newly SEC-registered with $123.9M RAUM and 7 advisory reps. IAPD ↗fund
$123.9M RAUM · 7 reps · 732-666-0414
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
TEMERITY STRATEGIC PARTNERS (CHICAGO, IL) is newly SEC-registered with $180.0M RAUM and 8 advisory reps. IAPD ↗fund
$180.0M RAUM · 8 reps · 312-827-7102 · temeritystrategic.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 35 Count of additional offices increased.
55
NORTHSIDE CAPITAL MANAGEMENT LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$5.82B RAUM · 7 reps · 541-387-2080 · northsidecap.com
Office IT & facilitiesCRMRecruiting & transitions
55
TFO WEALTH PARTNERS added office(s): 9 -> 10 additional locations. IAPD ↗
$4.85B RAUM · 55 reps · 419-891-9999 · tfopartners.com
Office IT & facilitiesCRMRecruiting & transitions
55
THE INSTITUTE added office(s): 7 -> 8 additional locations. IAPD ↗
$1.15B RAUM · 2 reps · 303-572-3500
Office IT & facilitiesCRMRecruiting & transitions
55
BAY COLONY ADVISORS added office(s): 19 -> 21 additional locations. IAPD ↗
$1.26B RAUM · 30 reps · 978-369-7200 · davidboczar.com
Office IT & facilitiesCRMRecruiting & transitions
55
ST. GERMAIN INVESTMENT MANAGEMENT added office(s): 4 -> 5 additional locations. IAPD ↗
$3.10B RAUM · 26 reps · 413-733-5111
Office IT & facilitiesCRMRecruiting & transitions
55
CGN ADVISORS, LLC added office(s): 35 -> 36 additional locations. IAPD ↗
$1.26B RAUM · 41 reps · 910-333-6659 · arcadiafs.com
Office IT & facilitiesCRMRecruiting & transitions
55
ONE WEALTH ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.05B RAUM · 12 reps · (415) 729-1770 · onewealth.net
Office IT & facilitiesCRMRecruiting & transitions
55
THE PATRIOT FINANCIAL GROUP, LLC added office(s): 26 -> 27 additional locations. IAPD ↗
$2.41B RAUM · 47 reps · 508-251-6100
Office IT & facilitiesCRMRecruiting & transitions
55
STRATEGIC WEALTH GROUP added office(s): 9 -> 10 additional locations. IAPD ↗
$1.04B RAUM · 24 reps · 952-843-4944
Office IT & facilitiesCRMRecruiting & transitions
55
ONEASCENT FINANCIAL SERVICES LLC added office(s): 32 -> 33 additional locations. IAPD ↗
$2.61B RAUM · 57 reps · 205-313-9142
Office IT & facilitiesCRMRecruiting & transitions
53
MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY added office(s): 0 -> 1 additional locations. IAPD ↗
$340.4M RAUM · 4 reps · 717-790-9001 · investwithmosaic.com
Office IT & facilitiesCRMRecruiting & transitions
53
RB CAPITAL MANAGEMENT, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$817.2M RAUM · 12 reps · (775) 993-2900 · rbcapitalmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
53
PASSIVE CAPITAL MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$941.5M RAUM · 8 reps · 315-478-3130 · llinkedin.com
Office IT & facilitiesCRMRecruiting & transitions
53
GLOBAL TRUST added office(s): 0 -> 1 additional locations. IAPD ↗
$440.5M RAUM · 5 reps · 561-472-0191
Office IT & facilitiesCRMRecruiting & transitions
53
KEYSTONE GLOBAL PARTNERS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$445.6M RAUM · 2 reps · 646-998-8141
Office IT & facilitiesCRMRecruiting & transitions
53
BROWN FINANCIAL ADVISORY added office(s): 0 -> 1 additional locations. IAPD ↗
$344.0M RAUM · 6 reps · 251-928-9498
Office IT & facilitiesCRMRecruiting & transitions
53
VANTAGE POINT WEALTH MANAGEMENT added office(s): 6 -> 7 additional locations. IAPD ↗
$277.4M RAUM · 15 reps · (763) 587-7120 · vpwealthmgmt.com
Office IT & facilitiesCRMRecruiting & transitions
53
BETTER MONEY DECISIONS added office(s): 8 -> 10 additional locations. IAPD ↗
$326.8M RAUM · 6 reps · 844-507-0961 · bettermoneydecisions.com
Office IT & facilitiesCRMRecruiting & transitions
53
SAGE PRIVATE WEALTH GROUP, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$395.2M RAUM · 11 reps · 630-933-0000
Office IT & facilitiesCRMRecruiting & transitions
53
BMSS WESSON WEALTH SOLUTIONS added office(s): 5 -> 6 additional locations. IAPD ↗
$577.1M RAUM · 6 reps · 205-982-5555 · bmsswesson.com
Office IT & facilitiesCRMRecruiting & transitions
53
OASIS WEALTH PLANNING ADVISORS added office(s): 5 -> 6 additional locations. IAPD ↗
$267.8M RAUM · 6 reps · (615) 933-3314 · oasiswealthplanning.com
Office IT & facilitiesCRMRecruiting & transitions
53
XYPN INVEST added office(s): 20 -> 25 additional locations. IAPD ↗
$321.0M RAUM · 25 reps · (360) 301-7579 · newleaffinancialguidance.com
Office IT & facilitiesCRMRecruiting & transitions
53
FLORIDA FINANCIAL ADVISORS, LLC added office(s): 16 -> 21 additional locations. IAPD ↗
$317.8M RAUM · 457 reps · (813) 333-1683
Office IT & facilitiesCRMRecruiting & transitions
53
STONE TEMPLE PARTNERS LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$619.8M RAUM · 5 reps · (203) 253-1823 · stpartners.co
Office IT & facilitiesCRMRecruiting & transitions
50
VISION INVESTMENT ADVISORS, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$117.9M RAUM · 4 reps · 203-388-2700 · advicewithvision.com
Office IT & facilitiesCRMRecruiting & transitions
50
THE PUTNEY FINANCIAL GROUP LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$187.3M RAUM · 4 reps · 415-460-1990 · putneyfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
ANDREW HILL INVESTMENT ADVISORS, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$222.3M RAUM · 2 reps · 239-450-3999
Office IT & facilitiesCRMRecruiting & transitions
50
RADIUS WEALTH MANAGEMENT, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$171.4M RAUM · 2 reps · (617) 765-2200 · radiuswealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
SCHOLAR FINANCIAL ADVISING, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$0 RAUM · 6 reps · (336) 360-6833 · scholarfinancialadvising.com
Office IT & facilitiesCRMRecruiting & transitions
50
ASTRA VENTURES added office(s): 0 -> 1 additional locations. IAPD ↗
$134.5M RAUM · 2 reps · 901-230-5576 · astravc.com
Office IT & facilitiesCRMRecruiting & transitions
50
IRONOAK WEALTH added office(s): 0 -> 1 additional locations. IAPD ↗
$106.0M RAUM · 5 reps · 737-271-9421
Office IT & facilitiesCRMRecruiting & transitions
50
LIGHTSQUARE WEALTH MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$131.4M RAUM · 2 reps · 248-641-3540 · lightsquarewealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
HENDERSON BROTHERS FINANCIAL PARTNERS LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$0 RAUM · 22 reps · 412-261-3333 · hendersonbrothersfinancialpartners.com
Office IT & facilitiesCRMRecruiting & transitions
50
HOOT WEALTH LLC added office(s): 1 -> 3 additional locations. IAPD ↗
$0 RAUM · 4 reps · (983) 203-0215 · hootwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
STEADTRUST added office(s): 0 -> 4 additional locations. IAPD ↗
$0 RAUM · 1 reps · 972-876-8422
Office IT & facilitiesCRMRecruiting & transitions
deregistered — 30 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
AMUNDI ASSET MANAGEMENT US, INC. (BOSTON, MA) left the SEC roster (was $122.06B RAUM, 109 reps). IAPD ↗
$122.06B RAUM · 109 reps · 617-422-4700 · amundi.com
Recruiting & transitionsM&A & valuation
63
PLANNED ASSET MANAGEMENT (CALABASAS, CA) left the SEC roster (was $385.3M RAUM, 3 reps). IAPD ↗
$385.3M RAUM · 3 reps · 818-708-6888
Recruiting & transitionsM&A & valuation
63
LATHROP INVESTMENT MANAGEMENT CORP (LITTLE ROCK, AR) left the SEC roster (was $868.4M RAUM, 4 reps). IAPD ↗
$868.4M RAUM · 4 reps · 501-227-4930 · limc.com
Recruiting & transitionsM&A & valuation
63
ALPHAMARK ADVISORS, LLC (FT. WRIGHT, KY) left the SEC roster (was $405.8M RAUM, 3 reps). IAPD ↗
$405.8M RAUM · 3 reps · 859-957-1803 · alphamarkadvisors.com
Recruiting & transitionsM&A & valuation
63
CAHILL WEALTH MANAGEMENT, LLC (PORTAGE, MI) left the SEC roster (was $442.1M RAUM, 2 reps). IAPD ↗
$442.1M RAUM · 2 reps · 269-321-6600 · cahillwealth.com
Recruiting & transitionsM&A & valuation
63
SAFEGUARD WEALTH MANAGEMENT (location n/a) left the SEC roster (was $601.0M RAUM, 4 reps). IAPD ↗
$601.0M RAUM · 4 reps · 920-544-0576 · safeguardinvest.com
Recruiting & transitionsM&A & valuation
60
FINANCIAL STEWARD ASSOCIATES, LLC (BOULDER, CO) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · 303-444-5440 · financialstewardassociates.com
Recruiting & transitionsM&A & valuation
60
HAUSSMANN FINANCIAL INC. (LAKE FOREST, CA) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · 949-250-4973
Recruiting & transitionsM&A & valuation
60
BLUE CHIP MONEY MANAGEMENT, LLC (location n/a) left the SEC roster (was $41.5M RAUM, 1 reps). IAPD ↗
$41.5M RAUM · 1 reps · 540 431-5802
Recruiting & transitionsM&A & valuation
60
QUANTITATIVE STRATEGIES, INC. (CALABASAS, CA) left the SEC roster (was $186.8M RAUM, 2 reps). IAPD ↗
$186.8M RAUM · 2 reps · 818-708-6888 · qstrategiesinc.com
Recruiting & transitionsM&A & valuation
60
BILL SPALDING WEALTH MANAGEMENT (location n/a) left the SEC roster (was $117.0M RAUM, 1 reps). IAPD ↗
$117.0M RAUM · 1 reps · 404.255.3331 · billspaldingwealthmanagement.com
Recruiting & transitionsM&A & valuation
60
JARVIS FINANCIAL (FEDERAL WAY, WA) left the SEC roster (was $172.4M RAUM, 4 reps). IAPD ↗
$172.4M RAUM · 4 reps · 253-838-9703 · jarvisfinancial.com
Recruiting & transitionsM&A & valuation
60
ANCHOR POINTE WEALTH MANAGEMENT (CAPE GIRARDEAU, MO) left the SEC roster (was $140.2M RAUM, 2 reps). IAPD ↗
$140.2M RAUM · 2 reps · 573-334-0034
Recruiting & transitionsM&A & valuation
60
RAH, LLC (SEATTLE, WA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 3602397175 · roboadvisorhero.com
Recruiting & transitionsM&A & valuation
60
VINEYARD WEALTH GROUP, LLC (WEST TISBURY, MA) left the SEC roster — its 120-day provisional registration did not convert (was $441,010 RAUM, 1 reps). IAPD ↗
$441,010 RAUM · 1 reps · (508) 696-2000 · vineyardwealthgroup.com
Recruiting & transitionsM&A & valuation
60
LONGVIEW FINANCIAL PARTNERS (SCOTTSDALE, AZ) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 7 reps). IAPD ↗
$0 RAUM · 7 reps · 2039131621
Recruiting & transitionsM&A & valuation
60
ROMEN CAPITAL (location n/a) left the SEC roster (was $45.0M RAUM, 1 reps). IAPD ↗
$45.0M RAUM · 1 reps · 917-613-2887
Recruiting & transitionsM&A & valuation
60
LIFT ASSET MANAGEMENT (ENGLEWOOD, CO) left the SEC roster — its 120-day provisional registration did not convert (was $25.2M RAUM, 1 reps). IAPD ↗
$25.2M RAUM · 1 reps · 720-667-1593 · liftassetmanagent.com
Recruiting & transitionsM&A & valuation
60
PRESINT ASSET MANAGEMENT, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · (858) 379-2236
Recruiting & transitionsM&A & valuation
50
CITIZENS INVESTMENT ADVISORS (JOHNSTON, RI) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 1-800-942-8300
Recruiting & transitionsM&A & valuation
50
SKY HARBOR CAPITAL MANAGEMENT, LLC (GREENWICH, CT) left the SEC roster (was $3.88B RAUM, 10 reps). IAPD ↗fund
$3.88B RAUM · 10 reps · 203-769-8800 · skyharborglobalfunds.com
Recruiting & transitionsM&A & valuation
50
DRIVEADVISORY, LLC (NEW YORK, NY) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 800-461-2680 · drivewealth.com
Recruiting & transitionsM&A & valuation
50
AMPLIFIED ADVISORS (location n/a) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 725-215-7867 · amplifiedadvisors.io
Recruiting & transitionsM&A & valuation
50
IMPACT INVESTMENTS LLC (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 5 reps). IAPD ↗institutional
$0 RAUM · 5 reps · 212-957-7600
Recruiting & transitionsM&A & valuation
50
GROWTH LENDING LLC (ROSWELL, GA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 7136147755 · growthlending.com
Recruiting & transitionsM&A & valuation
48
BAYMOUNT MANAGEMENT LP (MIAMI, FL) left the SEC roster (was $485.7M RAUM, 2 reps). IAPD ↗fund
$485.7M RAUM · 2 reps · 305-847-9720 · baymount.com
Recruiting & transitionsM&A & valuation
45
WOODBOURNE INVESTMENT MANAGEMENT LLC (BOULDER, CO) left the SEC roster (was $5.1M RAUM, 2 reps). IAPD ↗fund
$5.1M RAUM · 2 reps · 303-413-1414
Recruiting & transitionsM&A & valuation
45
THE TOKARZ GROUP ADVISERS LLC (PURCHASE, NY) left the SEC roster (was $31.3M RAUM, 2 reps). IAPD ↗fund
$31.3M RAUM · 2 reps · 914-701-0310 · ttga.com
Recruiting & transitionsM&A & valuation
45
LANTERN CAPITAL PARTNERS, L.P. (DALLAS, TX) left the SEC roster (was $76.1M RAUM, 1 reps). IAPD ↗fund
$76.1M RAUM · 1 reps · 469-942-8342
Recruiting & transitionsM&A & valuation
33
PRAXIS ALPHA PARTNERS LLP (LONDON, United Kingdom) left the SEC roster (was $526.1M RAUM, 5 reps). IAPD ↗foreign
$526.1M RAUM · 5 reps · 4420331 40830 · praxisim.com
Recruiting & transitionsM&A & valuation
disclosure added — 27 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
ESI FINANCIAL ADVISORS's Item 11 disclosure-reporting entries rose by 3 (18 -> 21). IAPD ↗
$2.45B RAUM · 430 reps · 800-344-7437 · equity-services.com
ComplianceMarketing & brand
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC.'s Item 11 disclosure-reporting entries rose by 2 (125 -> 127). IAPD ↗
$193.11B RAUM · 92 reps · 212-454-4500
ComplianceMarketing & brand
55
VANGUARD ADVISERS, INC.'s Item 11 disclosure-reporting entries rose by 14 (39 -> 53). IAPD ↗
$300.43B RAUM · 1567 reps · 610-669-1000
ComplianceMarketing & brand
55
ALLIANCEBERNSTEIN L.P.'s Item 11 disclosure-reporting entries rose by 1 (10 -> 11). IAPD ↗
$709.16B RAUM · 871 reps · 615-622-0000
ComplianceMarketing & brand
55
RREEF AMERICA L.L.C.'s Item 11 disclosure-reporting entries rose by 2 (125 -> 127). IAPD ↗
$29.47B RAUM · 135 reps · 312-537-7000
ComplianceMarketing & brand
55
ASHTON THOMAS PRIVATE WEALTH's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$4.05B RAUM · 35 reps · 602-732-4745
ComplianceMarketing & brand
55
FOUNDATIONS INVESTMENT ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (6 -> 8). IAPD ↗
$7.18B RAUM · 229 reps · 480-626-2979 · fiwealth.com
ComplianceMarketing & brand
55
GLOBAL STRATEGIC NEXTGEN OCIO's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$1.45B RAUM · 4 reps · 480-935-2210
ComplianceMarketing & brand
55
VANGUARD PERSONALIZED INDEXING MANAGEMENT's Item 11 disclosure-reporting entries rose by 14 (37 -> 51). IAPD ↗
$7.26B RAUM · 4 reps · 844-317-5190
ComplianceMarketing & brand
53
DUNCKER STREETT & CO.'s Item 11 disclosure-reporting entries rose by 3 (4 -> 7). IAPD ↗
$665.0M RAUM · 3 reps · 314-726-2600 · dunckerstreett.com
ComplianceMarketing & brand
53
DEW WEALTH MANAGEMENT's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$361.9M RAUM · 20 reps · 480-614-9119
ComplianceMarketing & brand
53
ALTRUIST FINANCIAL ADVISORS LLC's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$328.3M RAUM · 1 reps · 269-857-2743 · altruistfa.com
ComplianceMarketing & brand
53
LODESTONE WEALTH MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$306.2M RAUM · 3 reps · 509-413-2386 · lodestonewm.com
ComplianceMarketing & brand
50
GRADIENT ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗
$218.6M RAUM · 169 reps · 877-885-0508 · thefinancialhq.com
ComplianceMarketing & brand
50
GUARDIAN CAPITAL, LLC's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
$102.6M RAUM · 4 reps · 724-934-3050 · guardiancapitalllc.com
ComplianceMarketing & brand
50
PACIFIC WEALTH ADVISORY SERVICES LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$98.7M RAUM · 1 reps · 925-838-7566 · pacificwealthadvisory.net
ComplianceMarketing & brand
45
DBX ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (125 -> 127). IAPD ↗institutional
$24.91B RAUM · 11 reps · 212-454-4500
ComplianceMarketing & brand
40
DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 2 (689 -> 691). IAPD ↗institutional
$0 RAUM · 146 reps · 212-250-2500 · db.com
ComplianceMarketing & brand
40
VANGUARD GROUP INC's Item 11 disclosure-reporting entries rose by 14 (47 -> 61). IAPD ↗fund
$10246.60B RAUM · 330 reps · 610-669-1000
ComplianceMarketing & brand
40
VANGUARD GLOBAL ADVISERS, LLC's Item 11 disclosure-reporting entries rose by 14 (47 -> 61). IAPD ↗fund
$491.43B RAUM · 84 reps · 610-669-1000
ComplianceMarketing & brand
40
BERNSTEIN INSTITUTIONAL SERVICES LLC's Item 11 disclosure-reporting entries rose by 1 (77 -> 78). IAPD ↗institutional
$0 RAUM · 90 reps · 9173448600 · autonomous.com
ComplianceMarketing & brand
25
DWS INTERNATIONAL GMBH's Item 11 disclosure-reporting entries rose by 2 (125 -> 127). IAPD ↗foreign
$178.52B RAUM · 71 reps · 49 69 910 12371 · rreefpropertytrust.com
ComplianceMarketing & brand
25
DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 2 (124 -> 126). IAPD ↗foreign
$1.44B RAUM · 8 reps · 011 612 8258 1234 · dws.com
ComplianceMarketing & brand
25
DWS ALTERNATIVES GLOBAL LIMITED's Item 11 disclosure-reporting entries rose by 2 (126 -> 128). IAPD ↗foreign
$16.60B RAUM · 88 reps · 44 207 547 5344
ComplianceMarketing & brand
25
DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 2 (125 -> 127). IAPD ↗foreign
$2.41B RAUM · 16 reps · 852-2203-8888 · etf.dws.com
ComplianceMarketing & brand
25
VANGUARD ASSET MANAGEMENT, LIMITED's Item 11 disclosure-reporting entries rose by 14 (44 -> 58). IAPD ↗foreign
$482.96B RAUM · 73 reps · 44 203 7535600 · vanguardinvestor.co.uk
ComplianceMarketing & brand
25
VANGUARD INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 14 (44 -> 58). IAPD ↗foreign
$92.43B RAUM · 55 reps · 61 3 8888 3888 · vanguard.com.au
ComplianceMarketing & brand
relocation — 16 Main office moved to a different city or state.
50
STAIRWAY PARTNERS, LLC moved its main office from CHICAGO, IL to MINNEAPOLIS, MN. IAPD ↗
$2.03B RAUM · 4 reps · 630-371-2626 · stairwaypartners.com
Office IT & facilitiesMarketing & brand
50
COASTEDGE PARTNERS, LLC moved its main office from LA JOLLA, CA to SAN DIEGO, CA. IAPD ↗
$1.75B RAUM · 6 reps · 858-997-2777
Office IT & facilitiesMarketing & brand
48
ELEVATION WEALTH PARTNERS, LLC moved its main office from SANTA ROSA, CA to WALNUT CREEK, CA. IAPD ↗
$582.1M RAUM · 7 reps · 707-524-6131 · elevationwp.com
Office IT & facilitiesMarketing & brand
48
VEERY CAPITAL, LLC moved its main office from WILMINGTON, DE to WEST CHESTER, PA. IAPD ↗
$802.0M RAUM · 5 reps · (302) 660-3350 · veerycapital.com
Office IT & facilitiesMarketing & brand
48
AMERICAN FUNDSTARS moved its main office from NEWPORT BEACH, CA to IRVINE, CA. IAPD ↗
$276.6M RAUM · 9 reps · 949-877-8838 · americanfundstars.com
Office IT & facilitiesMarketing & brand
45
UNEST ADVISERS, LLC moved its main office from NORTH HOLLYWOOD, CA to LARAMIE, WY. IAPD ↗
$35.7M RAUM · 2 reps · (818) 275-0041
Office IT & facilitiesMarketing & brand
45
FORTIS PORTFOLIO SOLUTIONS, LLC moved its main office from SCHAUMBURG, IL to CHICAGO, IL. IAPD ↗
$128.6M RAUM · 2 reps · 713-854-6442 · fortisportfolio.com
Office IT & facilitiesMarketing & brand
45
SOUND ADVICE FINANCIAL INC. moved its main office from CHICAGO, IL to BANNOCKBURN, IL. IAPD ↗
$0 RAUM · 1 reps · 312-690-4163 · soundadvice.ai
Office IT & facilitiesMarketing & brand
45
MAVROS CAPITAL MANAGEMENT, LLC moved its main office from BEVERLY HILLS, CA to LOS ANGELES, CA. IAPD ↗
$0 RAUM · 3 reps · (424) 522-2524 · mavroscapitalgroup.com
Office IT & facilitiesMarketing & brand
45
KMT WEALTH MANAGEMENT, LLC moved its main office from EL SEGUNDO, CA to HERMOSA BEACH, CA. IAPD ↗
$174.9M RAUM · 1 reps · 773-895-8962 · kmtwealth.com
Office IT & facilitiesMarketing & brand
45
ARGO WEALTH ADVISORY, LLC moved its main office from VIENNA, VA to MCLEAN, VA. IAPD ↗
$0 RAUM · 2 reps · 703-966-6671 · argowealthadvisory.com
Office IT & facilitiesMarketing & brand
40
LINCOLN ADVISORS moved its main office from DALLAS, TX to CHICAGO, IL. IAPD ↗institutional
$1.86B RAUM · 7 reps · 312-345-8780 · lincolnadvisors.com
Office IT & facilitiesMarketing & brand
40
LINCOLN ADVISORS moved its main office from DALLAS, TX to CHICAGO, IL. IAPD ↗institutional
$3.15B RAUM · 8 reps · 312-345-8780 · lincolnadvisors.com
Office IT & facilitiesMarketing & brand
35
PHASE 3 CAPITAL MANAGEMENT LLC moved its main office from NORTHBROOK, IL to BOCA RATON, FL. IAPD ↗fund
$2.80B RAUM · 4 reps · 312-858-3800 · p3cm.com
Office IT & facilitiesMarketing & brand
33
LNK PARTNERS, LLC moved its main office from RYE BROOK, NY to WHITE PLAINS, NY. IAPD ↗fund
$666.7M RAUM · 1 reps · 914-824-5900 · lnkpartners.com
Office IT & facilitiesMarketing & brand
30
FOREST ROAD ASSET MANAGEMENT LLC moved its main office from LOS ANGELES, CA to EL SEGUNDO, CA. IAPD ↗fund
$173.5M RAUM · 12 reps · 302-265-0167
Office IT & facilitiesMarketing & brand
website changed — 15 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
NBT CAPITAL MANAGEMENT, INC. changed its website from navigateretirement.com to clevelandhauswirth.com. IAPD ↗
$1.49B RAUM · 4 reps · 607-584-4141 · clevelandhauswirth.com
Marketing & brand
30
ONE CAPITAL MANAGEMENT, LLC changed its website from onecapital.com to onesportsglobal.com. IAPD ↗
$7.00B RAUM · 46 reps · 805.409.8150 · onesportsglobal.com
Marketing & brand
30
VERUS CAPITAL PARTNERS, LLC changed its website from guardianwb.com to geiserwealth.com. IAPD ↗
$2.07B RAUM · 38 reps · 480-990-3719 · geiserwealth.com
Marketing & brand
28
SAXONY CAPITAL MANAGEMENT, LLC changed its website from saxonycapitalmanagement.com to saxonyadvisors.com. IAPD ↗
$297.9M RAUM · 0 reps · 314-963-9336 · saxonyadvisors.com
Marketing & brand
28
MCNAMARA FINANCIAL SERVICES, INC. changed its website from rpcontributor.com to podbean.com. IAPD ↗
$680.1M RAUM · 4 reps · 781-834-2010 · podbean.com
Marketing & brand
28
SMART MONEY GROUP, LLC changed its website from kennedy-financial.com to smartmoneygroup.net. IAPD ↗
$368.9M RAUM · 9 reps · 254-629-3866 · smartmoneygroup.net
Marketing & brand
28
WMG FINANCIAL ADVISORS, LLC changed its website from wmgfa.com to markashfordadvisor.com. IAPD ↗
$614.9M RAUM · 11 reps · (865) 290-4000 · markashfordadvisor.com
Marketing & brand
28
XYPN INVEST changed its website from charlesmichaelfinancial.com to newleaffinancialguidance.com. IAPD ↗
$321.0M RAUM · 25 reps · (360) 301-7579 · newleaffinancialguidance.com
Marketing & brand
28
ACCEL WEALTH MANAGEMENT changed its website from accelwealthmanagement.com to acceladvantage.com. IAPD ↗
$974.0M RAUM · 10 reps · 319-596-1101 · acceladvantage.com
Marketing & brand
25
MAINLINE INVESTMENT ADVISERS, LLC changed its website from mainlineco.com to mainlineinvestmentadvisers.com. IAPD ↗
$200.8M RAUM · 4 reps · 610-896-3000 · mainlineinvestmentadvisers.com
Marketing & brand
25
WEALTHCARE ASSET MANAGEMENT, LLC changed its website from wealthcareassetmanagement.com to wealthcarecorp.com. IAPD ↗
$161.2M RAUM · 4 reps · 417-865-0936 · wealthcarecorp.com
Marketing & brand
25
STEWARDS ADVISORY SERVICES changed its website from stewardsadvisory.com to wealth.emaplan.com. IAPD ↗
$108.4M RAUM · 2 reps · 319-229-7439 · wealth.emaplan.com
Marketing & brand
25
CONSTITUTION WEALTH LLC changed its website from constitutionwealth.com to gab.com. IAPD ↗
$53.5M RAUM · 6 reps · 866-463-1776 · gab.com
Marketing & brand
15
MERCATOR INVESTMENT MANAGEMENT changed its website from mercatormutualfunds.com to mercatorinvestments.com. IAPD ↗institutional
$0 RAUM · 1 reps · 646 764 4769 · mercatorinvestments.com
Marketing & brand
15
INVESTATURE changed its website from investature.biz to investature.com. IAPD ↗institutional
$0 RAUM · 4 reps · 917-836-8653 · investature.com
Marketing & brand
aum up — 14 Regulatory AUM up >=25% since last filing.
73
SYON CAPITAL LLC reported RAUM up 66% ($1.77B -> $2.93B). IAPD ↗
$2.93B RAUM · 2 reps · 415-520-7966 · syoncap.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
ALLIED PRIVATE WEALTH reported RAUM up 76% ($106.3M -> $187.0M). IAPD ↗
$187.0M RAUM · 3 reps · 9545769192 · alliedprivatewealth.com
Portfolio / reporting / TAMPCRMFinancial planning software
68
GALLAGHER FIDUCIARY ADVISORS, LLC reported RAUM up 44% ($125.75B -> $180.61B). IAPD ↗
$180.61B RAUM · 160 reps · 212-330-1011 · ajg.com
Portfolio / reporting / TAMPCRMFinancial planning software
68
PENSION & WEALTH MANAGEMENT ADVISORS reported RAUM up 50% ($301.3M -> $452.2M). IAPD ↗
$452.2M RAUM · 5 reps · 781-810-0800 · pensionwealth.com
Portfolio / reporting / TAMPCRMFinancial planning software
66
CONSOLIDATED PLANNING CORPORATION reported RAUM up 33% ($1.58B -> $2.10B). IAPD ↗
$2.10B RAUM · 24 reps · 404-879-3000 · cpcadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
66
CASTELLAN reported RAUM up 40% ($353.5M -> $496.1M). IAPD ↗
$496.1M RAUM · 4 reps · 859.494.0523 · castellangroup.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
VALUEWORKS, LLC reported RAUM up 38% ($312.0M -> $429.4M). IAPD ↗
$429.4M RAUM · 3 reps · 212-819-1818
Portfolio / reporting / TAMPCRMFinancial planning software
65
HEALTHEQUITY ADVISORS reported RAUM up 26% ($1.19B -> $1.51B). IAPD ↗
$1.51B RAUM · 1 reps · 801-508-3248 · healthequityadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
64
KIMERY WEALTH MANAGEMENT, LLC reported RAUM up 34% ($329.0M -> $440.8M). IAPD ↗
$440.8M RAUM · 6 reps · (901) 291-5500
Portfolio / reporting / TAMPCRMFinancial planning software
63
CAPITAL INVESTMENT COUNSEL INC reported RAUM up 29% ($691.5M -> $889.4M). IAPD ↗
$889.4M RAUM · 4 reps · 919-831-2370 · capital-invest.com
Portfolio / reporting / TAMPCRMFinancial planning software
62
UNEST ADVISERS, LLC reported RAUM up 35% ($26.4M -> $35.7M). IAPD ↗
$35.7M RAUM · 2 reps · (818) 275-0041
Portfolio / reporting / TAMPCRMFinancial planning software
60
CAPITOLIS ADVISORS LLC reported RAUM up 234% ($30.0M -> $100.3M). IAPD ↗institutional
$100.3M RAUM · 10 reps · 212-388-5204
Portfolio / reporting / TAMPCRMFinancial planning software
48
MUIRFIELD CAPITAL GLOBAL ADVISORS LLC reported RAUM up 45% ($61.4M -> $88.7M). IAPD ↗fund
$88.7M RAUM · 3 reps · 212-332-2500 · muirfieldcap.com
Portfolio / reporting / TAMPCRMFinancial planning software
45
PALISADES MANAGEMENT, LLC reported RAUM up 26% ($131.6M -> $166.3M). IAPD ↗fund
$166.3M RAUM · 3 reps · 310-571-6214 · palisadesgrowth.com
Portfolio / reporting / TAMPCRMFinancial planning software
custody started — 10 Firm now reports custody of client assets — surprise exams and controls follow.
70
GALLAGHER FIDUCIARY ADVISORS, LLC now reports custody of client assets ($309.4M). IAPD ↗
$180.61B RAUM · 160 reps · 212-330-1011 · ajg.com
ComplianceCustodian
70
ADVISORY ALPHA, LLC now reports custody of client assets ($132.0M). IAPD ↗
$3.47B RAUM · 57 reps · 866-530-1400 · advisoryalpha.com
ComplianceCustodian
68
LEGACY WEALTH PARTNERS, LLC now reports custody of client assets ($6.7M). IAPD ↗
$563.9M RAUM · 8 reps · 720-552-8287 · lwp-llc.com
ComplianceCustodian
68
WILKERSON ADVISORY GROUP LLC now reports custody of client assets ($57,400). IAPD ↗
$271.9M RAUM · 4 reps · 573 400 6101 · wilkersonadvisorygroup.com
ComplianceCustodian
65
BLUE WATER CAPITAL MANAGEMENT, LLC now reports custody of client assets ($244,000). IAPD ↗
$140.6M RAUM · 3 reps · 919-589-2528 · bluewaterportfolios.com
ComplianceCustodian
65
NEW DIMENSIONS WEALTH MANAGEMENT, L.L.C. now reports custody of client assets ($79.3M). IAPD ↗
$153.6M RAUM · 2 reps · 972-972-8565
ComplianceCustodian
65
MARSH WEALTH MANAGEMENT, LLC now reports custody of client assets ($24.4M). IAPD ↗
$168.4M RAUM · 2 reps · 865-622-2162
ComplianceCustodian
65
GREAT HILL ADVISORY now reports custody of client assets ($300,000). IAPD ↗
$178.4M RAUM · 3 reps · 516-500-1248 · baysidetaxandwealth.com
ComplianceCustodian
65
MESSINA WEALTH MANAGEMENT, LLC now reports custody of client assets. IAPD ↗
$60.9M RAUM · 2 reps · 214-205-2066 · messinawealthmanagement.com
ComplianceCustodian
65
TRUMAN WEALTH ADVISORS now reports custody of client assets ($39.8M). IAPD ↗
$142.1M RAUM · 3 reps · 573-227-2077 · trumanwealthadvisors.com
ComplianceCustodian
planning clients up — 9 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
76
PENSION & WEALTH MANAGEMENT ADVISORS reports 251-500 financial-planning clients, up from 0. IAPD ↗
$452.2M RAUM · 5 reps · 781-810-0800 · pensionwealth.com
Financial planning software
72
ROTHSCHILD INVESTMENT reports 51-100 financial-planning clients, up from 0. IAPD ↗
$2.31B RAUM · 18 reps · 312-983-8900 · rothschildwealth.com
Financial planning software
67
RISEMINT reports 101-250 financial-planning clients, up from 1-10. IAPD ↗
$121.0M RAUM · 2 reps · (888) 998-3254
Financial planning software
63
CONSOLIDATED PLANNING CORPORATION reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
$2.10B RAUM · 24 reps · 404-879-3000 · cpcadvisors.com
Financial planning software
61
SECURA FINANCIAL reports 26-50 financial-planning clients, up from 11-25. IAPD ↗
$261.8M RAUM · 9 reps · 714-704-6616 · securawm.com
Financial planning software
61
WAYSTONE ADVISORS LLC reports 251-500 financial-planning clients, up from 51-100. IAPD ↗
$136.1M RAUM · 4 reps · (425) 484-0045
Financial planning software
58
FC WEALTH SOLUTIONS LLC reports 101-250 financial-planning clients, up from 51-100. IAPD ↗
$199.4M RAUM · 4 reps · (614) 212-1015 · fcwealthsolutions.com
Financial planning software
58
REDWOOD FAMILY WEALTH LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$221.7M RAUM · 3 reps · 469-965-4001 · redwoodfamilywealth.com
Financial planning software
28
KEYQUANT reports 1-10 financial-planning clients, up from 0. IAPD ↗foreign
$0 RAUM · 2 reps · 33-1-84-13-83.00 · keyquant.com
Financial planning software
aum down — 9 Regulatory AUM down >=25% since last filing.
50
FINANCIAL INTEGRITY ADVISORS, LLC reported RAUM down 74% ($13.71B -> $3.52B). IAPD ↗
$3.52B RAUM · 3 reps · 215-557-7622 · firmadvisor.com
M&A & valuationRecruiting & transitions
45
LOTUS INVESTMENT ADVISORS reported RAUM down 46% ($46.0M -> $25.0M). IAPD ↗
$25.0M RAUM · 1 reps · 917-208-8661
M&A & valuationRecruiting & transitions
45
FC WEALTH SOLUTIONS LLC reported RAUM down 39% ($326.0M -> $199.4M). IAPD ↗
$199.4M RAUM · 4 reps · (614) 212-1015 · fcwealthsolutions.com
M&A & valuationRecruiting & transitions
45
TREASURE INVESTMENT MANAGEMENT, LLC reported RAUM down 51% ($222.1M -> $108.5M). IAPD ↗
$108.5M RAUM · 1 reps · 310-957-9428 · treasure.tech
M&A & valuationRecruiting & transitions
35
BLACKSTONE STRATEGIC CAPITAL ADVISORS, L.L.C. reported RAUM down 25% ($19.21B -> $14.37B). IAPD ↗fund
$14.37B RAUM · 20 reps · 212-583-5000
M&A & valuationRecruiting & transitions
33
HONTE ADVISORS LLC reported RAUM down 43% ($1.24B -> $703.8M). IAPD ↗fund
$703.8M RAUM · 3 reps · 415-801-4250
M&A & valuationRecruiting & transitions
30
ORBIS INVESTMENT MANAGEMENT (U.S.), L.P. reported RAUM down 35% ($192.9M -> $124.6M). IAPD ↗fund
$124.6M RAUM · 7 reps · +1 415 489 3600 · orbis.com
M&A & valuationRecruiting & transitions
30
AON ADVANTAGE FUNDS LLC reported RAUM down 45% ($268.0M -> $148.7M). IAPD ↗fund
$148.7M RAUM · 8 reps · 312-381-0132 · aon.com
M&A & valuationRecruiting & transitions
30
X CUBED CAPITAL MANAGEMENT LLC reported RAUM down 34% ($257.0M -> $170.4M). IAPD ↗fund
$170.4M RAUM · 5 reps · 612-457-0070 · x3cmllc.com
M&A & valuationRecruiting & transitions
rename — 8 Primary business name changed: rebrand, merger, or ownership change.
58
CARL STUART INVESTMENT ADVISOR, INC. is now doing business as STUART INVESTMENT ADVISORS, INC.. IAPD ↗
$515.2M RAUM · 2 reps · 512-478-2275
Marketing & brandCRM
58
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. is now doing business as NFSG CORPORATION. IAPD ↗
$813.5M RAUM · 66 reps · 954-334-3450 · elwealthadvisors.com
Marketing & brandCRM
58
ORIN GREEN FINANCIAL, LLC is now doing business as WILLOW CREEK FINANCIAL. IAPD ↗
$463.8M RAUM · 4 reps · (858) 634-3232 · willowcreekfinancial..com
Marketing & brandCRM
55
CYPRESS STRATEGIES is now doing business as SIERRA LEGACY GROUP. IAPD ↗
$123.3M RAUM · 3 reps · 775-322-4500 · cypressnv.com
Marketing & brandCRM
55
HANKE & CO. WEALTH MANAGEMENT, LLC is now doing business as HANKE & APOLONIO WEALTH ADVISORS LLC. IAPD ↗
$145.4M RAUM · 2 reps · 415-781-6300
Marketing & brandCRM
55
PLANROCK INVESTMENTS LLC is now doing business as PLANROCK WEALTH STRATEGIES, LLC. IAPD ↗
$64.4M RAUM · 4 reps · 800-677-6025 · planrock.com
Marketing & brandCRM
45
PARVUS ASSET MANAGEMENT EUROPE LIMITED is now doing business as PARVUS ASSET MANAGEMENT JERSEY LIMITED. IAPD ↗fund
$11.55B RAUM · 1 reps · 44 1534 680959
Marketing & brandCRM
30
LONDON AND CAPITAL WEALTH ADVISERS LTD is now doing business as W1M WEALTH MANAGEMENT LIMITED. IAPD ↗foreign
$1.99B RAUM · 16 reps · +44 207 396 3200
Marketing & brandCRM
pending approved — 7 120-day provisional registration became a full approval.
73
LEGACY WEALTH PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗
$563.9M RAUM · 8 reps · 720-552-8287 · lwp-llc.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
WILKERSON ADVISORY GROUP LLC's provisional registration is now fully approved. IAPD ↗
$271.9M RAUM · 4 reps · 573 400 6101 · wilkersonadvisorygroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ATHENA ADVISORY's provisional registration is now fully approved. IAPD ↗
$2,000 RAUM · 1 reps · (773) 814-6337 · advicebyathena.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CHURCHILL FINANCIAL ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$243.8M RAUM · 3 reps · 502-895-3535 · churchillfa.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FORESEE WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$118.7M RAUM · 2 reps · 425-943-6875 · foreseewealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CAPSTONE RIA's provisional registration is now fully approved. IAPD ↗
$198.9M RAUM · 1 reps · 877-739-6007 · capstoneria.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TRUMAN WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$142.1M RAUM · 3 reps · 573-227-2077 · trumanwealthadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
headcount up — 6 Advisory representative count grew materially (>=20% or >=5 reps).
80
ARKOS GLOBAL ADVISORS, LLC grew from 4 to 14 advisory reps. IAPD ↗
$1.11B RAUM · 14 reps · (346) 352-2360
CRMRecruiting & transitionsComplianceFinancial planning software
74
STRATEGIC WEALTH GROUP grew from 20 to 24 advisory reps. IAPD ↗
$1.04B RAUM · 24 reps · 952-843-4944
CRMRecruiting & transitionsComplianceFinancial planning software
70
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC grew from 0 to 15 advisory reps. IAPD ↗institutional
$0 RAUM · 15 reps · 866-950-4644
CRMRecruiting & transitionsComplianceFinancial planning software
70
TRUE WEALTH DESIGN, LLC grew from 5 to 7 advisory reps. IAPD ↗
$424.8M RAUM · 7 reps · (330) 777-0688
CRMRecruiting & transitionsComplianceFinancial planning software
70
MARKETRIDERS grew from 2 to 4 advisory reps. IAPD ↗
$485.6M RAUM · 4 reps · (866) 990-3837 · power.sogotrade.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
ALCYON WEALTH ADVISORS, LLC grew from 1 to 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (330) 797-4088
CRMRecruiting & transitionsComplianceFinancial planning software
headcount down — 6 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
SANCTUARY ADVISORS, LLC shrank from 337 to 332 advisory reps. IAPD ↗
$27.70B RAUM · 332 reps · 317-975-7729
Recruiting & transitionsM&A & valuation
53
JMAC ENTERPRISES LLC shrank from 5 to 3 advisory reps. IAPD ↗
$918.8M RAUM · 3 reps · 267-753-7066 · brickhousestrategicwealth.com
Recruiting & transitionsM&A & valuation
50
RISEMINT shrank from 5 to 2 advisory reps. IAPD ↗
$121.0M RAUM · 2 reps · (888) 998-3254
Recruiting & transitionsM&A & valuation
50
FREEDOM FAMILY OFFICE, LLC shrank from 5 to 3 advisory reps. IAPD ↗
$143.5M RAUM · 3 reps · (855) 540-0400 · freedomfamilyoffice.com
Recruiting & transitionsM&A & valuation
40
CAPITOLIS ADVISORS LLC shrank from 29 to 10 advisory reps. IAPD ↗institutional
$100.3M RAUM · 10 reps · 212-388-5204
Recruiting & transitionsM&A & valuation
38
SANDLOT PARTNERS, LLC shrank from 13 to 10 advisory reps. IAPD ↗fund
$626.2M RAUM · 10 reps · 203-233-5797
Recruiting & transitionsM&A & valuation
aum crossed 500m — 5 Regulatory AUM crossed $500M.
70
PERSONAL FINANCIAL MANAGEMENT crossed $500M in regulatory AUM ($495.5M -> $505.2M). IAPD ↗
$505.2M RAUM · 2 reps · 619-435-1600
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
TALON PRIVATE WEALTH, LLC crossed $500M in regulatory AUM ($97.9M -> $876.9M). IAPD ↗
$876.9M RAUM · 8 reps · (352) 751-3200
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
WAVE EQUITY PARTNERS crossed $500M in regulatory AUM ($498.6M -> $516.8M). IAPD ↗fund
$516.8M RAUM · 4 reps · 617-350-9808 · waveep.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
RED ARTS CAPITAL MANAGEMENT, LLC crossed $500M in regulatory AUM ($373.4M -> $541.3M). IAPD ↗fund
$541.3M RAUM · 13 reps · 312-678-4251
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
CIVITAS CAPITAL MANAGEMENT, LLC crossed $500M in regulatory AUM ($413.5M -> $513.9M). IAPD ↗fund
$513.9M RAUM · 16 reps · 214-572-2300
Portfolio / reporting / TAMPCRMIntegration & migration consulting
private funds started — 3 Firm reports private funds for the first time.
75
MEYER HANDELMAN COMPANY LLC now reports 1 private fund(s) ($5.7M gross). IAPD ↗
$2.92B RAUM · 7 reps · 914-939-4060
Fund administrationCompliance
75
SARGENT INVESTMENT GROUP now reports 1 private fund(s) ($0 gross). IAPD ↗
$1.28B RAUM · 12 reps · (202) 580-6400
Fund administrationCompliance
73
PHILOSMITH CAPITAL CORPORATION now reports 1 private fund(s) ($37.4M gross). IAPD ↗
$365.3M RAUM · 6 reps · 203-348-7365 · philosmith.com
Fund administrationCompliance
planning started — 2 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
80
ROTHSCHILD INVESTMENT now offers financial planning (Item 5G(1)). IAPD ↗
$2.31B RAUM · 18 reps · 312-983-8900 · rothschildwealth.com
Financial planning softwareCRM
78
CASTELLAN now offers financial planning (Item 5G(1)). IAPD ↗
$496.1M RAUM · 4 reps · 859.494.0523 · castellangroup.com
Financial planning softwareCRM

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.