← Tributary

What changed in the June 2025 SEC adviser roster

758 events across 658 firms · 577 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

237state expansion
146new registration
81new office
54deregistered
39disclosure added
29pending approved
27relocation
27website changed
26headcount up
21rename
17aum up
15custody started

Top 25 signals — US wealth firms

98
KINEO CAPITAL LLC (NEW YORK, NY) is newly SEC-registered with $258.0M RAUM and 2 advisory reps. IAPD ↗
$258.0M RAUM · 2 reps · 212-457-1268 · kineocapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
55 NORTH PRIVATE WEALTH (WINTER PARK, FL) is newly SEC-registered with $366.8M RAUM and 5 advisory reps. IAPD ↗
$366.8M RAUM · 5 reps · 407-960-4769 · 55northprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SANDS CAPITAL HORIZONS, LLC (ARLINGTON, VA) is newly SEC-registered with $428.0M RAUM and 2 advisory reps. IAPD ↗
$428.0M RAUM · 2 reps · 703-562-4000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HECKMAN FINANCIAL & INSURANCE SERVICES, INC. (SAN JOSE, CA) is newly SEC-registered with $114.4M RAUM and 4 advisory reps. IAPD ↗
$114.4M RAUM · 4 reps · 408-297-9800 · worrylesswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CERTIFIED FINANCIAL STRATEGIES CORPORATION (DALLAS, TX) is newly SEC-registered with $118.1M RAUM and 2 advisory reps. IAPD ↗
$118.1M RAUM · 2 reps · 972-702-8121 · cfscorp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL FINANCIAL PLANNING GROUP, LLC (TROY, MI) is newly SEC-registered with $125.6M RAUM and 2 advisory reps. IAPD ↗
$125.6M RAUM · 2 reps · 248-643-4820 · gfpgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUMMIT FINANCIAL PARTNERS, INC. (GLEN ALLEN, VA) is newly SEC-registered with $124.5M RAUM and 1 advisory reps. IAPD ↗
$124.5M RAUM · 1 reps · 804-290-0162 · summitfinancialpartnersrva.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG INVESTMENTS, LLC (MEDFORD, NJ) is newly SEC-registered with $121.0M RAUM and 5 advisory reps. IAPD ↗
$121.0M RAUM · 5 reps · 609-714-0546
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCLAUGHLIN ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $125.3M RAUM and 3 advisory reps. IAPD ↗
$125.3M RAUM · 3 reps · 217-442-6484
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG WEALTH MANAGEMENT, INC. (INDIANAPOLIS, IN) is newly SEC-registered with $111.8M RAUM and 3 advisory reps. IAPD ↗
$111.8M RAUM · 3 reps · 317-780-1006
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARRIVAL CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $38.2M RAUM and 1 advisory reps. IAPD ↗
$38.2M RAUM · 1 reps · 212-369-1700 · arrivalcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NETWORTH FINANCIAL SERVICES, LLC (JOHNS CREEK, GA) is newly SEC-registered with $121.8M RAUM and 2 advisory reps. IAPD ↗
$121.8M RAUM · 2 reps · 678-319-0111
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRADYCO FINANCIAL (location n/a) is newly SEC-registered with $175.7M RAUM and 1 advisory reps. IAPD ↗
$175.7M RAUM · 1 reps · (617) 945-1991 · bradycofinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HERITAGE CAPITAL, LLC (WOODBRIDGE, CT) is newly SEC-registered with $128.9M RAUM and 3 advisory reps. IAPD ↗
$128.9M RAUM · 3 reps · 203-389-3553 · investfortomorrow.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REXFORD CAPITAL (location n/a) is newly SEC-registered with $128.1M RAUM and 2 advisory reps. IAPD ↗
$128.1M RAUM · 2 reps · 713.838.8383 · rexfordcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLUMBIA BENEFITS, LLC (DENVER, CO) is newly SEC-registered with $107.7M RAUM and 1 advisory reps. IAPD ↗
$107.7M RAUM · 1 reps · 303-759-1100 · cbadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROADHURST FINANCIAL ADVISORS, INC. (WEST POINT, PA) is newly SEC-registered with $110.0M RAUM and 1 advisory reps. IAPD ↗
$110.0M RAUM · 1 reps · 215-325-1595 · broadhurstfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OUTLOOK CAPITAL MANAGEMENT, LLC (ARLINGTON HEIGHTS, IL) is newly SEC-registered with $101.4M RAUM and 2 advisory reps. IAPD ↗
$101.4M RAUM · 2 reps · 847-797-0600 · outlookcapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BULWARK CAPITAL CORPORATION (location n/a) is newly SEC-registered with $117.1M RAUM and 2 advisory reps. IAPD ↗
$117.1M RAUM · 2 reps · 703-740-6870
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HACKETT FINANCIAL GROUP, LLC (WIMBERLEY, TX) is newly SEC-registered with $133.2M RAUM and 2 advisory reps. IAPD ↗
$133.2M RAUM · 2 reps · (512) 847-0630
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AGDEAVOR INVESTMENTS (WORTHINGTON, OH) is newly SEC-registered with $24.8M RAUM and 3 advisory reps. IAPD ↗
$24.8M RAUM · 3 reps · 614-516-0792 · agdeavorinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAST ROCK FINANCIAL SERVICES, LLC (location n/a) is newly SEC-registered with $111.4M RAUM and 2 advisory reps. IAPD ↗
$111.4M RAUM · 2 reps · 415-779-2008 · eastrockfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
A.T. LLOYD'S, INC (SEATTLE, WA) is newly SEC-registered with $118.6M RAUM and 1 advisory reps. IAPD ↗
$118.6M RAUM · 1 reps · 206-443-6214 · atlloydinc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BERKELEY CAPITAL MANAGEMENT, LLC (ELLSWORTH, KS) is newly SEC-registered with $100.0M RAUM and 2 advisory reps. IAPD ↗
$100.0M RAUM · 2 reps · (785) 472-2375 · berkeleycapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALLEN FINANCIAL MANAGEMENT (OXFORD, MI) is newly SEC-registered with $114.6M RAUM and 1 advisory reps. IAPD ↗
$114.6M RAUM · 1 reps · 248-572-4731 · afmwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 237 firms

98
KINEO CAPITAL LLC (NEW YORK, NY) is newly SEC-registered with $258.0M RAUM and 2 advisory reps. IAPD ↗
$258.0M RAUM · 2 reps · 212-457-1268 · kineocapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
55 NORTH PRIVATE WEALTH (WINTER PARK, FL) is newly SEC-registered with $366.8M RAUM and 5 advisory reps. IAPD ↗
$366.8M RAUM · 5 reps · 407-960-4769 · 55northprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SANDS CAPITAL HORIZONS, LLC (ARLINGTON, VA) is newly SEC-registered with $428.0M RAUM and 2 advisory reps. IAPD ↗
$428.0M RAUM · 2 reps · 703-562-4000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HECKMAN FINANCIAL & INSURANCE SERVICES, INC. (SAN JOSE, CA) is newly SEC-registered with $114.4M RAUM and 4 advisory reps. IAPD ↗
$114.4M RAUM · 4 reps · 408-297-9800 · worrylesswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CERTIFIED FINANCIAL STRATEGIES CORPORATION (DALLAS, TX) is newly SEC-registered with $118.1M RAUM and 2 advisory reps. IAPD ↗
$118.1M RAUM · 2 reps · 972-702-8121 · cfscorp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL FINANCIAL PLANNING GROUP, LLC (TROY, MI) is newly SEC-registered with $125.6M RAUM and 2 advisory reps. IAPD ↗
$125.6M RAUM · 2 reps · 248-643-4820 · gfpgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUMMIT FINANCIAL PARTNERS, INC. (GLEN ALLEN, VA) is newly SEC-registered with $124.5M RAUM and 1 advisory reps. IAPD ↗
$124.5M RAUM · 1 reps · 804-290-0162 · summitfinancialpartnersrva.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG INVESTMENTS, LLC (MEDFORD, NJ) is newly SEC-registered with $121.0M RAUM and 5 advisory reps. IAPD ↗
$121.0M RAUM · 5 reps · 609-714-0546
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCLAUGHLIN ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $125.3M RAUM and 3 advisory reps. IAPD ↗
$125.3M RAUM · 3 reps · 217-442-6484
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG WEALTH MANAGEMENT, INC. (INDIANAPOLIS, IN) is newly SEC-registered with $111.8M RAUM and 3 advisory reps. IAPD ↗
$111.8M RAUM · 3 reps · 317-780-1006
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 227 more in the CSV export.

Financial planning software 160 firms

98
KINEO CAPITAL LLC (NEW YORK, NY) is newly SEC-registered with $258.0M RAUM and 2 advisory reps. IAPD ↗
$258.0M RAUM · 2 reps · 212-457-1268 · kineocapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
55 NORTH PRIVATE WEALTH (WINTER PARK, FL) is newly SEC-registered with $366.8M RAUM and 5 advisory reps. IAPD ↗
$366.8M RAUM · 5 reps · 407-960-4769 · 55northprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SANDS CAPITAL HORIZONS, LLC (ARLINGTON, VA) is newly SEC-registered with $428.0M RAUM and 2 advisory reps. IAPD ↗
$428.0M RAUM · 2 reps · 703-562-4000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HECKMAN FINANCIAL & INSURANCE SERVICES, INC. (SAN JOSE, CA) is newly SEC-registered with $114.4M RAUM and 4 advisory reps. IAPD ↗
$114.4M RAUM · 4 reps · 408-297-9800 · worrylesswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CERTIFIED FINANCIAL STRATEGIES CORPORATION (DALLAS, TX) is newly SEC-registered with $118.1M RAUM and 2 advisory reps. IAPD ↗
$118.1M RAUM · 2 reps · 972-702-8121 · cfscorp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL FINANCIAL PLANNING GROUP, LLC (TROY, MI) is newly SEC-registered with $125.6M RAUM and 2 advisory reps. IAPD ↗
$125.6M RAUM · 2 reps · 248-643-4820 · gfpgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUMMIT FINANCIAL PARTNERS, INC. (GLEN ALLEN, VA) is newly SEC-registered with $124.5M RAUM and 1 advisory reps. IAPD ↗
$124.5M RAUM · 1 reps · 804-290-0162 · summitfinancialpartnersrva.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG INVESTMENTS, LLC (MEDFORD, NJ) is newly SEC-registered with $121.0M RAUM and 5 advisory reps. IAPD ↗
$121.0M RAUM · 5 reps · 609-714-0546
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCLAUGHLIN ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $125.3M RAUM and 3 advisory reps. IAPD ↗
$125.3M RAUM · 3 reps · 217-442-6484
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG WEALTH MANAGEMENT, INC. (INDIANAPOLIS, IN) is newly SEC-registered with $111.8M RAUM and 3 advisory reps. IAPD ↗
$111.8M RAUM · 3 reps · 317-780-1006
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 150 more in the CSV export.

Compliance 395 firms

98
KINEO CAPITAL LLC (NEW YORK, NY) is newly SEC-registered with $258.0M RAUM and 2 advisory reps. IAPD ↗
$258.0M RAUM · 2 reps · 212-457-1268 · kineocapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
55 NORTH PRIVATE WEALTH (WINTER PARK, FL) is newly SEC-registered with $366.8M RAUM and 5 advisory reps. IAPD ↗
$366.8M RAUM · 5 reps · 407-960-4769 · 55northprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SANDS CAPITAL HORIZONS, LLC (ARLINGTON, VA) is newly SEC-registered with $428.0M RAUM and 2 advisory reps. IAPD ↗
$428.0M RAUM · 2 reps · 703-562-4000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HECKMAN FINANCIAL & INSURANCE SERVICES, INC. (SAN JOSE, CA) is newly SEC-registered with $114.4M RAUM and 4 advisory reps. IAPD ↗
$114.4M RAUM · 4 reps · 408-297-9800 · worrylesswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CERTIFIED FINANCIAL STRATEGIES CORPORATION (DALLAS, TX) is newly SEC-registered with $118.1M RAUM and 2 advisory reps. IAPD ↗
$118.1M RAUM · 2 reps · 972-702-8121 · cfscorp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL FINANCIAL PLANNING GROUP, LLC (TROY, MI) is newly SEC-registered with $125.6M RAUM and 2 advisory reps. IAPD ↗
$125.6M RAUM · 2 reps · 248-643-4820 · gfpgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUMMIT FINANCIAL PARTNERS, INC. (GLEN ALLEN, VA) is newly SEC-registered with $124.5M RAUM and 1 advisory reps. IAPD ↗
$124.5M RAUM · 1 reps · 804-290-0162 · summitfinancialpartnersrva.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG INVESTMENTS, LLC (MEDFORD, NJ) is newly SEC-registered with $121.0M RAUM and 5 advisory reps. IAPD ↗
$121.0M RAUM · 5 reps · 609-714-0546
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCLAUGHLIN ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $125.3M RAUM and 3 advisory reps. IAPD ↗
$125.3M RAUM · 3 reps · 217-442-6484
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG WEALTH MANAGEMENT, INC. (INDIANAPOLIS, IN) is newly SEC-registered with $111.8M RAUM and 3 advisory reps. IAPD ↗
$111.8M RAUM · 3 reps · 317-780-1006
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 385 more in the CSV export.

Portfolio / reporting / TAMP 135 firms

98
KINEO CAPITAL LLC (NEW YORK, NY) is newly SEC-registered with $258.0M RAUM and 2 advisory reps. IAPD ↗
$258.0M RAUM · 2 reps · 212-457-1268 · kineocapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
55 NORTH PRIVATE WEALTH (WINTER PARK, FL) is newly SEC-registered with $366.8M RAUM and 5 advisory reps. IAPD ↗
$366.8M RAUM · 5 reps · 407-960-4769 · 55northprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SANDS CAPITAL HORIZONS, LLC (ARLINGTON, VA) is newly SEC-registered with $428.0M RAUM and 2 advisory reps. IAPD ↗
$428.0M RAUM · 2 reps · 703-562-4000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HECKMAN FINANCIAL & INSURANCE SERVICES, INC. (SAN JOSE, CA) is newly SEC-registered with $114.4M RAUM and 4 advisory reps. IAPD ↗
$114.4M RAUM · 4 reps · 408-297-9800 · worrylesswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CERTIFIED FINANCIAL STRATEGIES CORPORATION (DALLAS, TX) is newly SEC-registered with $118.1M RAUM and 2 advisory reps. IAPD ↗
$118.1M RAUM · 2 reps · 972-702-8121 · cfscorp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL FINANCIAL PLANNING GROUP, LLC (TROY, MI) is newly SEC-registered with $125.6M RAUM and 2 advisory reps. IAPD ↗
$125.6M RAUM · 2 reps · 248-643-4820 · gfpgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUMMIT FINANCIAL PARTNERS, INC. (GLEN ALLEN, VA) is newly SEC-registered with $124.5M RAUM and 1 advisory reps. IAPD ↗
$124.5M RAUM · 1 reps · 804-290-0162 · summitfinancialpartnersrva.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG INVESTMENTS, LLC (MEDFORD, NJ) is newly SEC-registered with $121.0M RAUM and 5 advisory reps. IAPD ↗
$121.0M RAUM · 5 reps · 609-714-0546
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCLAUGHLIN ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $125.3M RAUM and 3 advisory reps. IAPD ↗
$125.3M RAUM · 3 reps · 217-442-6484
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG WEALTH MANAGEMENT, INC. (INDIANAPOLIS, IN) is newly SEC-registered with $111.8M RAUM and 3 advisory reps. IAPD ↗
$111.8M RAUM · 3 reps · 317-780-1006
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 125 more in the CSV export.

Custodian 117 firms

98
KINEO CAPITAL LLC (NEW YORK, NY) is newly SEC-registered with $258.0M RAUM and 2 advisory reps. IAPD ↗
$258.0M RAUM · 2 reps · 212-457-1268 · kineocapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
55 NORTH PRIVATE WEALTH (WINTER PARK, FL) is newly SEC-registered with $366.8M RAUM and 5 advisory reps. IAPD ↗
$366.8M RAUM · 5 reps · 407-960-4769 · 55northprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SANDS CAPITAL HORIZONS, LLC (ARLINGTON, VA) is newly SEC-registered with $428.0M RAUM and 2 advisory reps. IAPD ↗
$428.0M RAUM · 2 reps · 703-562-4000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HECKMAN FINANCIAL & INSURANCE SERVICES, INC. (SAN JOSE, CA) is newly SEC-registered with $114.4M RAUM and 4 advisory reps. IAPD ↗
$114.4M RAUM · 4 reps · 408-297-9800 · worrylesswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CERTIFIED FINANCIAL STRATEGIES CORPORATION (DALLAS, TX) is newly SEC-registered with $118.1M RAUM and 2 advisory reps. IAPD ↗
$118.1M RAUM · 2 reps · 972-702-8121 · cfscorp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL FINANCIAL PLANNING GROUP, LLC (TROY, MI) is newly SEC-registered with $125.6M RAUM and 2 advisory reps. IAPD ↗
$125.6M RAUM · 2 reps · 248-643-4820 · gfpgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUMMIT FINANCIAL PARTNERS, INC. (GLEN ALLEN, VA) is newly SEC-registered with $124.5M RAUM and 1 advisory reps. IAPD ↗
$124.5M RAUM · 1 reps · 804-290-0162 · summitfinancialpartnersrva.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG INVESTMENTS, LLC (MEDFORD, NJ) is newly SEC-registered with $121.0M RAUM and 5 advisory reps. IAPD ↗
$121.0M RAUM · 5 reps · 609-714-0546
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCLAUGHLIN ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $125.3M RAUM and 3 advisory reps. IAPD ↗
$125.3M RAUM · 3 reps · 217-442-6484
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG WEALTH MANAGEMENT, INC. (INDIANAPOLIS, IN) is newly SEC-registered with $111.8M RAUM and 3 advisory reps. IAPD ↗
$111.8M RAUM · 3 reps · 317-780-1006
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 107 more in the CSV export.

Marketing & brand 393 firms

98
KINEO CAPITAL LLC (NEW YORK, NY) is newly SEC-registered with $258.0M RAUM and 2 advisory reps. IAPD ↗
$258.0M RAUM · 2 reps · 212-457-1268 · kineocapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
55 NORTH PRIVATE WEALTH (WINTER PARK, FL) is newly SEC-registered with $366.8M RAUM and 5 advisory reps. IAPD ↗
$366.8M RAUM · 5 reps · 407-960-4769 · 55northprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SANDS CAPITAL HORIZONS, LLC (ARLINGTON, VA) is newly SEC-registered with $428.0M RAUM and 2 advisory reps. IAPD ↗
$428.0M RAUM · 2 reps · 703-562-4000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HECKMAN FINANCIAL & INSURANCE SERVICES, INC. (SAN JOSE, CA) is newly SEC-registered with $114.4M RAUM and 4 advisory reps. IAPD ↗
$114.4M RAUM · 4 reps · 408-297-9800 · worrylesswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CERTIFIED FINANCIAL STRATEGIES CORPORATION (DALLAS, TX) is newly SEC-registered with $118.1M RAUM and 2 advisory reps. IAPD ↗
$118.1M RAUM · 2 reps · 972-702-8121 · cfscorp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL FINANCIAL PLANNING GROUP, LLC (TROY, MI) is newly SEC-registered with $125.6M RAUM and 2 advisory reps. IAPD ↗
$125.6M RAUM · 2 reps · 248-643-4820 · gfpgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUMMIT FINANCIAL PARTNERS, INC. (GLEN ALLEN, VA) is newly SEC-registered with $124.5M RAUM and 1 advisory reps. IAPD ↗
$124.5M RAUM · 1 reps · 804-290-0162 · summitfinancialpartnersrva.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG INVESTMENTS, LLC (MEDFORD, NJ) is newly SEC-registered with $121.0M RAUM and 5 advisory reps. IAPD ↗
$121.0M RAUM · 5 reps · 609-714-0546
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCLAUGHLIN ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $125.3M RAUM and 3 advisory reps. IAPD ↗
$125.3M RAUM · 3 reps · 217-442-6484
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG WEALTH MANAGEMENT, INC. (INDIANAPOLIS, IN) is newly SEC-registered with $111.8M RAUM and 3 advisory reps. IAPD ↗
$111.8M RAUM · 3 reps · 317-780-1006
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 383 more in the CSV export.

Recruiting & transitions 131 firms

83
ALPHACORE CAPITAL LLC grew from 29 to 42 advisory reps. IAPD ↗
$6.06B RAUM · 42 reps · 858-875-4100
CRMRecruiting & transitionsComplianceFinancial planning software
83
SANCTUARY ADVISORS, LLC grew from 332 to 345 advisory reps. IAPD ↗
$27.70B RAUM · 345 reps · 317-975-7729 · mercer-wm.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
ROBINHOOD ASSET MANAGEMENT grew from 6 to 47 advisory reps. IAPD ↗
$158.7M RAUM · 47 reps · 650-940-2700 EXT 31450
CRMRecruiting & transitionsComplianceFinancial planning software
78
CS MCKEE grew from 12 to 20 advisory reps. IAPD ↗
$10.31B RAUM · 20 reps · 412-566-1234 · csmckee.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
BAILARD, INC. grew from 36 to 42 advisory reps. IAPD ↗
$6.54B RAUM · 42 reps · 650-571-5800
CRMRecruiting & transitionsComplianceFinancial planning software
75
BRADLEY FOSTER & SARGENT INC grew from 25 to 30 advisory reps. IAPD ↗
$7.68B RAUM · 30 reps · 860-527-8050 · bfsinvest.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
BERMAN MCALEER grew from 11 to 14 advisory reps. IAPD ↗
$1.60B RAUM · 14 reps · 410-560-9960
CRMRecruiting & transitionsComplianceFinancial planning software
71
BRAND ASSET MANAGEMENT GROUP, INC. grew from 10 to 13 advisory reps. IAPD ↗
$930.4M RAUM · 13 reps · 636-532-7333
CRMRecruiting & transitionsComplianceFinancial planning software
71
COMPASS FINANCIAL ADVISORY SERVICES, LLC grew from 4 to 7 advisory reps. IAPD ↗
$443.8M RAUM · 7 reps · (386) 673-5191 · compassfinancial.us
CRMRecruiting & transitionsComplianceFinancial planning software
70
INVESTMENT MANAGEMENT ASSOCIATES grew from 2 to 4 advisory reps. IAPD ↗
$572.7M RAUM · 4 reps · 303-796-8333
CRMRecruiting & transitionsComplianceFinancial planning software

…and 121 more in the CSV export.

Integration & migration consulting 2 firms

40
CHARMARLINE WEALTH MANAGEMENT LLC filed an Item 4A succession naming LANEVE FINANCIAL GUIDANCE LLC (CRD 152697) — an entity change, not a deal. IAPD ↗
$111.9M RAUM · 1 reps · (434) 455-3036
Integration & migration consultingCompliance
40
AVENTUS INVESTMENT ADVISORS, INC. filed an Item 4A succession naming AVENTUS INVESTMENT ADVISORS, INC. (CRD 153390) — an entity change, not a deal. IAPD ↗
$130.4M RAUM · 2 reps · 239-673-0020
Integration & migration consultingCompliance

Fund administration 3 firms

75
TOWER BRIDGE ADVISORS now reports 2 private fund(s) ($15.3M gross). IAPD ↗
$1.32B RAUM · 8 reps · 610-260-2200 · towerbridgeadvisors.com
Fund administrationCompliance
73
ACCUVEST GLOBAL ADVISORS, INC. now reports 1 private fund(s) ($17.8M gross). IAPD ↗
$937.7M RAUM · 4 reps · 925-930-2882
Fund administrationCompliance
73
NIGHT SQUARED LP now reports 1 private fund(s) ($194.1M gross). IAPD ↗
$355.2M RAUM · 9 reps · 917-451-0055 · nightsquared.com
Fund administrationCompliance

Office IT & facilities 87 firms

55
BALDWIN WEALTH PARTNERS, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$2.51B RAUM · 14 reps · (508) 748-0800 · baldwin-llc.com
Office IT & facilitiesCRMRecruiting & transitions
55
BRADLEY FOSTER & SARGENT INC added office(s): 6 -> 8 additional locations. IAPD ↗
$7.68B RAUM · 30 reps · 860-527-8050 · bfsinvest.com
Office IT & facilitiesCRMRecruiting & transitions
55
SAVANT WEALTH MANAGEMENT added office(s): 42 -> 43 additional locations. IAPD ↗
$29.65B RAUM · 178 reps · 815-227-0300 · savantwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
EAGLE GLOBAL ADVISORS LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$2.46B RAUM · 10 reps · 713-952-3550 · eagleglobal.com
Office IT & facilitiesCRMRecruiting & transitions
55
INTELLICENTS INVESTMENT SOLUTIONS INC added office(s): 9 -> 10 additional locations. IAPD ↗
$7.36B RAUM · 46 reps · 507-377-2919
Office IT & facilitiesCRMRecruiting & transitions
55
PRIVATE CLIENT SERVICES, LLC added office(s): 20 -> 22 additional locations. IAPD ↗
$1.05B RAUM · 50 reps · 502-451-0600
Office IT & facilitiesCRMRecruiting & transitions
55
WALDRON PRIVATE WEALTH added office(s): 2 -> 3 additional locations. IAPD ↗
$4.52B RAUM · 41 reps · 412-221-1005
Office IT & facilitiesCRMRecruiting & transitions
55
PARALLEL ADVISORS, LLC added office(s): 17 -> 18 additional locations. IAPD ↗
$8.74B RAUM · 64 reps · 866-627-6984 · paralleladvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
ROYAL FUND MANAGEMENT, LLC added office(s): 89 -> 90 additional locations. IAPD ↗
$1.31B RAUM · 83 reps · 352-750-1637
Office IT & facilitiesCRMRecruiting & transitions
55
COMPASS ION ADVISORS, LLC added office(s): 15 -> 16 additional locations. IAPD ↗
$1.33B RAUM · 15 reps · (610) 228-2200 · ionadv.com
Office IT & facilitiesCRMRecruiting & transitions

…and 77 more in the CSV export.

M&A & valuation 44 firms

65
CALLAN CAPITAL, LLC (LA JOLLA, CA) left the SEC roster (was $2.33B RAUM, 8 reps). IAPD ↗
$2.33B RAUM · 8 reps · 858-551-3800
Recruiting & transitionsM&A & valuation
65
FOUNDRY PARTNERS, LLC (CLEVELAND, OH) left the SEC roster (was $2.05B RAUM, 10 reps). IAPD ↗
$2.05B RAUM · 10 reps · 612-376-2800 · foundrypartnersllc.com
Recruiting & transitionsM&A & valuation
65
TRANSFORM WEALTH, LLC (GREENWOOD VILLAGE, CO) left the SEC roster (was $3.38B RAUM, 18 reps). IAPD ↗
$3.38B RAUM · 18 reps · 303-741-2560 · transformwealth.com
Recruiting & transitionsM&A & valuation
63
TAYLOR SECURITIES, INC. (BRENTWOOD, TN) left the SEC roster (was $283.8M RAUM, 4 reps). IAPD ↗
$283.8M RAUM · 4 reps · 615-372-1356 · taylorwealthsolutions.com
Recruiting & transitionsM&A & valuation
63
SELWAY ASSET MANAGEMENT, INC. (BOISE, ID) left the SEC roster (was $315.2M RAUM, 3 reps). IAPD ↗
$315.2M RAUM · 3 reps · 208-343-7556 · selwayinvest.com
Recruiting & transitionsM&A & valuation
63
BEACH INVESTMENT COUNSEL, INC (WEST CONSHOHOCKEN, PA) left the SEC roster (was $981.7M RAUM, 6 reps). IAPD ↗
$981.7M RAUM · 6 reps · 610-940-1111
Recruiting & transitionsM&A & valuation
63
NBS FINANCIAL SERVICES, INC. (WESTLAKE VILLAGE, CA) left the SEC roster (was $273.3M RAUM, 5 reps). IAPD ↗
$273.3M RAUM · 5 reps · 805.497.2497 · nbscompanies.com
Recruiting & transitionsM&A & valuation
63
WOLF GROUP CAPITAL ADVISORS (FAIRFAX, VA) left the SEC roster (was $526.8M RAUM, 11 reps). IAPD ↗
$526.8M RAUM · 11 reps · (703) 652-6255
Recruiting & transitionsM&A & valuation
63
RIGGS CAPITAL MANAGEMENT, LLC (AMERICAN FORK, UT) left the SEC roster (was $306.8M RAUM, 6 reps). IAPD ↗
$306.8M RAUM · 6 reps · 801-221-7923 · riggscapmgt.com
Recruiting & transitionsM&A & valuation
63
EVEREST CONSULTANTS, LLC (SYRACUSE, NY) left the SEC roster (was $633.1M RAUM, 3 reps). IAPD ↗
$633.1M RAUM · 3 reps · 315-234-8173 · everestconsultants.net
Recruiting & transitionsM&A & valuation

…and 34 more in the CSV export.

Everything else — all segments

state expansion — 237 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
NWF ADVISORY SERVICES INC notice-filed in CT, IN, KS, MN, NE, NJ, PA, TN. IAPD ↗
$3.82B RAUM · 71 reps · 310-475-5854
ComplianceMarketing & brand
55
BERMAN MCALEER notice-filed in CA, CO, DE, FL, GA, LA, MA, NC, NJ, NY, PA, SC, TX, VA. IAPD ↗
$1.60B RAUM · 14 reps · 410-560-9960
ComplianceMarketing & brand
55
PARKWAY WEALTH MANAGEMENT GROUP, LLC notice-filed in AR, AZ, CA, CO, FL, GA, IL, KS, LA, MI, NC, NE, NH, NY, OK, TN, WA. IAPD ↗
$1.09B RAUM · 16 reps · 972-502-9340
ComplianceMarketing & brand
53
COMPOSITION WEALTH, LLC notice-filed in DE, IN, MA, OH. IAPD ↗
$6.71B RAUM · 46 reps · (310) 246-1243
ComplianceMarketing & brand
53
THAYER PARTNERS LLC notice-filed in CO, IL, IN, MD, NC, SC. IAPD ↗
$401.3M RAUM · 7 reps · 617-275-5430
ComplianceMarketing & brand
53
LIBERTY SQUARE WEALTH PARTNERS LLC notice-filed in CA, CT, LA, MD, NC, NE, NJ, NY, SC, TX, VA. IAPD ↗
$476.0M RAUM · 2 reps · (610) 865-5803 · libertysquarewealth.com
ComplianceMarketing & brand
53
HENDERSON BROTHERS FINANCIAL PARTNERS LLC notice-filed in CA, FL, NJ, NY, SC. IAPD ↗
$327.3M RAUM · 22 reps · 412-261-3333 · hendersonbrothersfinancialpartners.com
ComplianceMarketing & brand
53
THREE ARCH WEALTH MANAGEMENT LLC notice-filed in FL, IL, MA, NY, UT, WA. IAPD ↗
$503.0M RAUM · 4 reps · (949) 400-7107 · threearchwealth.com
ComplianceMarketing & brand
51
INTEGRATED FINANCIAL STRATEGIES, LLC notice-filed in CT, MD, TN, WI. IAPD ↗
$455.0M RAUM · 6 reps · 704-643-5000 · ifsinvest.com
ComplianceMarketing & brand
51
MYSTIC ASSET MANAGEMENT notice-filed in FL, MA, NH, TX. IAPD ↗
$529.3M RAUM · 2 reps · 866-206-5272 · mysticassetmanagement.com
ComplianceMarketing & brand
51
ALPHACORE CAPITAL LLC notice-filed in IN, MT, WY. IAPD ↗
$6.06B RAUM · 42 reps · 858-875-4100
ComplianceMarketing & brand
51
GIBBS WEALTH MANAGEMENT, LLC notice-filed in ID, MN, MO, VA. IAPD ↗
$639.2M RAUM · 49 reps · 678-694-8770 · investsafefinancial.com
ComplianceMarketing & brand
51
TRIAD WEALTH PARTNERS, LLC notice-filed in ID, LA, MS, TN. IAPD ↗
$425.0M RAUM · 13 reps · 785-830-0000 · triadwealthpartners.com
ComplianceMarketing & brand
51
GC WEALTH MANAGEMENT RIA, LLC notice-filed in DC, MD, VA. IAPD ↗
$2.15B RAUM · 17 reps · 617-234-7000 · generalcatalyst.com
ComplianceMarketing & brand
50
ALPHA WEALTH FUNDS, LLC notice-filed in AK, AZ, CA, FL, ID, IL, MD, MI, NC, NJ, NV, OH, OK, OR, VA, WA, WI, WY. IAPD ↗
$118.5M RAUM · 7 reps · 435-269-4100 · alphawealthfunds.com
ComplianceMarketing & brand
50
VILLAGE WEALTH ADVISORS notice-filed in AZ, CO, FL, ID, MA, NC, NV, NY, OH, OR, WA. IAPD ↗
$211.7M RAUM · 3 reps · 805-603-4960 · villagewealthadvisors.com
ComplianceMarketing & brand
50
CARRY ADVISORS LLC notice-filed in AR, AZ, CA, CO, CT, DC, FL, GA, HI, ID, IL, IN, KS, LA, MA, MD, ME, MI, MN, NC, NE, NH, NJ, NV, OH, OK, OR, PA, PR, SC, SD, TN, TX, UT, VA, WA, WI, WY. IAPD ↗
$99.7M RAUM · 2 reps · 2014720612 · carry.com
ComplianceMarketing & brand
50
CATALYST WEALTH MANAGEMENT LLC notice-filed in DE, IA, IN, ME, MN, MS, MT, ND, NH, NJ, OK, RI, SD, VI, VT, WV, WY. IAPD ↗
$47.7M RAUM · 14 reps · 832-657-7735 · catalystfg.com
ComplianceMarketing & brand
50
WHALE notice-filed in DC, NC, OR, TN, UT, VA, WA. IAPD ↗
$252,394 RAUM · 3 reps · 8884887104 · getwhale.co
ComplianceMarketing & brand
50
STOCKPILE INVESTMENT ADVISORS, INC. notice-filed in AZ, CO, FL, GA, IL, MD, MI, MO, NC, NJ, NY, OH, PA, SC, TN, TX, VA, WA, WI. IAPD ↗
$0 RAUM · 2 reps · (877) 374-2584 · stockpile.com
ComplianceMarketing & brand
50
STRIVE FINANCIAL GROUP, LLC notice-filed in CA, CO, FL, MT, OH, TN, WI. IAPD ↗
$188.0M RAUM · 6 reps · (317) 590-0146
ComplianceMarketing & brand
50
ALONGSIDE, LLC notice-filed in AZ, CA, CO, FL, IL, WA, WI. IAPD ↗
$0 RAUM · 3 reps · 214-563-1190
ComplianceMarketing & brand
50
OASIS ADVISORS notice-filed in CA, CO, FL, GA, IL, KS, LA, MN, NC, NE, NM, NV, OK, PA, TN, UT, VA, WA, WY. IAPD ↗
$0 RAUM · 11 reps · 715-843-5518
ComplianceMarketing & brand
49
FINANCIAL SYNERGIES notice-filed in HI, TN. IAPD ↗
$1.57B RAUM · 15 reps · 713-623-6600
ComplianceMarketing & brand
49
DISCIPLINED INVESTORS, L.L.C. notice-filed in CA, CO, OK. IAPD ↗
$702.5M RAUM · 7 reps · 254-265-7410 · dinvestors.com
ComplianceMarketing & brand
49
AMERAUDI ASSET MANAGEMENT, INC. notice-filed in MD, SD. IAPD ↗
$1.74B RAUM · 5 reps · 212-833-1090 · ameraudi.com
ComplianceMarketing & brand
49
BLUE CHIP PARTNERS, LLC notice-filed in CO, SC. IAPD ↗
$1.54B RAUM · 17 reps · 248-848-1111
ComplianceMarketing & brand
49
KRILOGY notice-filed in WA, WI. IAPD ↗
$3.54B RAUM · 56 reps · 314-884-2800 · krilogy.com
ComplianceMarketing & brand
49
GLASSMAN WEALTH SERVICES, LLC notice-filed in CT, IL. IAPD ↗
$2.19B RAUM · 13 reps · 703-534-4444
ComplianceMarketing & brand
49
ABOUND WEALTH MANAGEMENT, LLC notice-filed in KS, OR. IAPD ↗
$1.39B RAUM · 22 reps · 615-226-3667 · moneyguy.com
ComplianceMarketing & brand
49
XYPN INVEST notice-filed in ID, ME, WV. IAPD ↗
$321.0M RAUM · 27 reps · (360) 301-7579
ComplianceMarketing & brand
49
BROOKLYN INVESTMENT GROUP, LLC notice-filed in CA, FL, NE. IAPD ↗
$522.7M RAUM · 6 reps · 617-319-7229
ComplianceMarketing & brand
49
THE NORDEN GROUP LLC notice-filed in MI, NH. IAPD ↗
$1.74B RAUM · 21 reps · 801-331-5511
ComplianceMarketing & brand
49
GREATER MIDWEST FINANCIAL GROUP, LLC notice-filed in AZ, CA, WI. IAPD ↗
$511.9M RAUM · 3 reps · 651-490-9790 · greater-midwest.com
ComplianceMarketing & brand
49
TIDEMARK, LLC notice-filed in ID, NV, PA. IAPD ↗
$344.6M RAUM · 8 reps · 888-791-0197
ComplianceMarketing & brand
49
SPARTAN WEALTH MANAGEMENT notice-filed in CA, NY, OH. IAPD ↗
$406.6M RAUM · 15 reps · 248-297-6600 · spartanwealth.com
ComplianceMarketing & brand
48
BIRKS FINANCIAL CORP. notice-filed in LA, MD, NH, TX. IAPD ↗
$236.3M RAUM · 3 reps · 703-481-6202
ComplianceMarketing & brand
48
KAGAN COCOZZA ASSET MANAGEMENT notice-filed in CA, FL, NY, TX. IAPD ↗
$139.8M RAUM · 2 reps · 484-334-8201 · kagancocozza.com
ComplianceMarketing & brand
48
ADVISOR SHARE WEALTH MANAGEMENT, LLC notice-filed in CO, KY, MA, NJ. IAPD ↗
$185.2M RAUM · 35 reps · 866-232-3251 · advisorsharewm.com
ComplianceMarketing & brand
48
GLOBAL INVESTMENT ADVISORY notice-filed in NJ, OK, SC, WI. IAPD ↗
$21.5M RAUM · 3 reps · (678) 583-1120
ComplianceMarketing & brand
48
ELYSIUM WEALTH MANAGEMENT, LLC notice-filed in AZ, MN, NE, NH. IAPD ↗
$159.2M RAUM · 8 reps · 801-735-8407 · saltwealthpartners.com
ComplianceMarketing & brand
47
COZAD ASSET MANAGEMENT INC notice-filed in AR. IAPD ↗
$2.24B RAUM · 20 reps · 217-356-8363
ComplianceMarketing & brand
47
ARCADIA INVESTMENT MANAGEMENT CORP notice-filed in LA, NE. IAPD ↗
$687.9M RAUM · 3 reps · 269/349-0800 · arcimc.com
ComplianceMarketing & brand
47
BALDWIN WEALTH PARTNERS, LLC notice-filed in NC. IAPD ↗
$2.51B RAUM · 14 reps · (508) 748-0800 · baldwin-llc.com
ComplianceMarketing & brand
47
EVERHART ADVISORS notice-filed in NJ. IAPD ↗
$1.87B RAUM · 26 reps · 614-717-9705
ComplianceMarketing & brand
47
LORING, WOLCOTT & COOLIDGE FIDUCIARY ADVISORS, LLP notice-filed in NM. IAPD ↗
$12.91B RAUM · 13 reps · 617-523-6531
ComplianceMarketing & brand
47
CHANDLER ASSET MANAGEMENT INC notice-filed in MT. IAPD ↗
$41.58B RAUM · 18 reps · 858.546.3737
ComplianceMarketing & brand
47
AMERICAN FINANCIAL ADVISORS INC notice-filed in ID. IAPD ↗
$1.04B RAUM · 9 reps · 407-207-9006
ComplianceMarketing & brand
47
GFP PRIVATE WEALTH notice-filed in AZ. IAPD ↗
$1.35B RAUM · 18 reps · 833-309-9900 · gries.com
ComplianceMarketing & brand
47
MADDEN ADVISORY SERVICES, INC. notice-filed in LA, NC. IAPD ↗
$258.5M RAUM · 2 reps · 904-296-1127
ComplianceMarketing & brand
47
JACKSON THORNTON WEALTH MANAGEMENT, LLC notice-filed in NH. IAPD ↗
$1.67B RAUM · 9 reps · (334) 834-7660
ComplianceMarketing & brand
47
MACRO ADVISORS, INC. notice-filed in NC, VT. IAPD ↗
$253.3M RAUM · 8 reps · 717-764-4566 · macroadv.com
ComplianceMarketing & brand
47
SENSIBLE FINANCIAL PLANNING AND MANAGEMENT, LLC notice-filed in IL, NJ. IAPD ↗
$885.4M RAUM · 14 reps · 781-642-0890
ComplianceMarketing & brand
47
CHARTER OAK CAPITAL MANAGEMENT notice-filed in IL. IAPD ↗
$1.42B RAUM · 14 reps · 800-646-5720 · charteroakcm.com
ComplianceMarketing & brand
47
HERITAGE FINANCIAL SERVICES notice-filed in LA. IAPD ↗
$2.99B RAUM · 23 reps · 781-255-0214
ComplianceMarketing & brand
47
PROSPERITY - AN EISNERAMPER COMPANY notice-filed in TN. IAPD ↗
$2.91B RAUM · 46 reps · 410-363-7211 · prosperityconsult.com
ComplianceMarketing & brand
47
LONGVIEW WEALTH MANAGEMENT notice-filed in NE. IAPD ↗
$1.10B RAUM · 24 reps · 404-843-3100 · longviewwealthmanagement.com
ComplianceMarketing & brand
47
WEST FINANCIAL SERVICES, INC. notice-filed in WV. IAPD ↗
$2.57B RAUM · 22 reps · 703-847-2500 · westfinancial.com
ComplianceMarketing & brand
47
CYPRESS POINT WEALTH MANAGEMENT, LLC notice-filed in NE. IAPD ↗
$1.07B RAUM · 4 reps · 214-736-8887 · cypresspointwealth.com
ComplianceMarketing & brand
47
ASHTON THOMAS PRIVATE WEALTH notice-filed in HI. IAPD ↗
$4.05B RAUM · 35 reps · 602-732-4745
ComplianceMarketing & brand
47
FOUNTAINHEAD ADVISORS notice-filed in SC. IAPD ↗
$1.02B RAUM · 18 reps · 732-346-1900
ComplianceMarketing & brand
47
LVW ADVISORS, LLC notice-filed in AZ. IAPD ↗
$2.28B RAUM · 11 reps · 585-267-4900 · lvwadvisors.com
ComplianceMarketing & brand
47
THREE BELL CAPITAL LLC notice-filed in VA. IAPD ↗
$3.80B RAUM · 14 reps · 650-843-9836
ComplianceMarketing & brand
47
ANGELES WEALTH MANAGEMENT, LLC notice-filed in MA. IAPD ↗
$2.27B RAUM · 6 reps · 310-393-6300 · angeleswealth.com
ComplianceMarketing & brand
47
LAKE TAHOE WEALTH MANAGEMENT, INC. notice-filed in NJ, PA. IAPD ↗
$257.2M RAUM · 3 reps · 855-515-5896 · laketahoewealthmanagement.org
ComplianceMarketing & brand
47
OCCIDENTAL ASSET MANAGEMENT, LLC notice-filed in MN, ND. IAPD ↗
$796.1M RAUM · 10 reps · 650-344-1600 · ymwadvisors.com
ComplianceMarketing & brand
47
VIZCAYA CAPITAL, LLC notice-filed in NY, TX. IAPD ↗
$529.8M RAUM · 5 reps · 305-602-5725 · vizcayacapital.com
ComplianceMarketing & brand
47
JOURNEY ADVISORY GROUP, LLC notice-filed in WI. IAPD ↗
$1.47B RAUM · 13 reps · 859-888-0356
ComplianceMarketing & brand
47
THE PATRIOT FINANCIAL GROUP, LLC notice-filed in ND. IAPD ↗
$2.41B RAUM · 48 reps · 508-251-6100
ComplianceMarketing & brand
47
CREWE ADVISORS notice-filed in VA. IAPD ↗
$2.51B RAUM · 16 reps · 385-355-2700 · crewe.com
ComplianceMarketing & brand
47
QUARTZ PARTNERS INVESTMENT MANAGEMENT notice-filed in MA, VA. IAPD ↗
$281.0M RAUM · 13 reps · 800-433-0422
ComplianceMarketing & brand
47
WADDELL & ASSOCIATES, LLC notice-filed in PA. IAPD ↗
$1.70B RAUM · 11 reps · 901-767-9187 · vimeo.com
ComplianceMarketing & brand
47
LIFEGUIDE FINANCIAL ADVISORS, LLC notice-filed in CO, CT. IAPD ↗
$455.6M RAUM · 14 reps · (717) 796-1700
ComplianceMarketing & brand
47
BORDEAUX WEALTH ADVISORS notice-filed in MI. IAPD ↗
$5.64B RAUM · 27 reps · 650-289-1105 · focusfinancialpartners.com
ComplianceMarketing & brand
47
ALERA INVESTMENT ADVISORS, LLC notice-filed in DE. IAPD ↗
$3.57B RAUM · 53 reps · (847) 457-3000 · aleragroup.com
ComplianceMarketing & brand
47
PROCYON notice-filed in VT. IAPD ↗
$7.77B RAUM · 34 reps · (475) 232-2704
ComplianceMarketing & brand
47
PETERSON WEALTH SERVICES INC. notice-filed in FL, GA. IAPD ↗
$462.7M RAUM · 5 reps · 801-475-4002
ComplianceMarketing & brand
47
STEPHENS GROUP ASSET MANAGEMENT, LLC notice-filed in MS. IAPD ↗
$1.41B RAUM · 4 reps · 501-246-7500 · sgassetmgt.com
ComplianceMarketing & brand
47
CAPITA FINANCIAL NETWORK, LLC notice-filed in OH. IAPD ↗
$1.85B RAUM · 22 reps · 801-566-5058
ComplianceMarketing & brand
47
FCG INVESTMENT COMPANY notice-filed in AR, KY. IAPD ↗
$457.9M RAUM · 9 reps · 901-309-2681 · fcgtn.com
ComplianceMarketing & brand
47
GREAT WATERS FINANCIAL notice-filed in NE. IAPD ↗
$1.18B RAUM · 25 reps · 612-360-2127
ComplianceMarketing & brand
47
BADGLEY PHELPS WEALTH MANAGERS notice-filed in IL. IAPD ↗
$5.90B RAUM · 26 reps · 206-623-6172
ComplianceMarketing & brand
47
SAVVY notice-filed in RI. IAPD ↗
$1.30B RAUM · 52 reps · 833-745-6789
ComplianceMarketing & brand
47
VESTGEN ADVISORS, LLC notice-filed in KS. IAPD ↗
$3.47B RAUM · 30 reps · 312-237-4446 · vestgen.com
ComplianceMarketing & brand
47
ARMSTRONG ADVISORY GROUP INC. notice-filed in WI. IAPD ↗
$1.44B RAUM · 10 reps · (781) 433-0001 · armstrongadvisory.com
ComplianceMarketing & brand
47
UNITED ADVISOR GROUP notice-filed in CT. IAPD ↗
$1.09B RAUM · 43 reps · 888.242.4912 · thestrategicfinancial.com
ComplianceMarketing & brand
47
BULL HARBOR CAPITAL LLC. notice-filed in GA, VA. IAPD ↗
$344.0M RAUM · 16 reps · 804-965-5408 · bullharborcapital.com
ComplianceMarketing & brand
46
A4 WEALTH ADVISORS LLC notice-filed in GA, MD, NY. IAPD ↗
$179.3M RAUM · 5 reps · 704-509-1141
ComplianceMarketing & brand
46
APPLE TREE ASSET MANAGEMENT, LLC notice-filed in FL, MI, OH. IAPD ↗
$129.9M RAUM · 6 reps · 260-637-7278 · appletreefinancialgroup.com
ComplianceMarketing & brand
46
ACCELERATE RETIREMENT notice-filed in ID, NV, VA. IAPD ↗
$242.8M RAUM · 25 reps · 888-439-7071 · vpisfinancial.com
ComplianceMarketing & brand
45
FAGAN ASSOCIATES INC notice-filed in NJ. IAPD ↗
$801.6M RAUM · 2 reps · (518) 279-1044
ComplianceMarketing & brand
45
BLUE OCEAN CAPITAL notice-filed in NY. IAPD ↗
$517.3M RAUM · 5 reps · 561-659-3301 · blueoceancpa.com
ComplianceMarketing & brand
45
HANSON & DOREMUS INVESTMENT MANAGEMENT notice-filed in ME. IAPD ↗
$849.6M RAUM · 11 reps · 802-658-2668
ComplianceMarketing & brand
45
ESSEX LLC notice-filed in OH. IAPD ↗
$563.1M RAUM · 7 reps · 847-777-7800
ComplianceMarketing & brand
45
INVESTMENT ADVISORY GROUP LLC notice-filed in VT. IAPD ↗
$994.4M RAUM · 5 reps · 781-826-1235 · maritimewealthadvisors.com
ComplianceMarketing & brand
45
COMPREHENSIVE FINANCIAL PLANNING, INC. notice-filed in VA. IAPD ↗
$419.3M RAUM · 6 reps · 717-569-6667
ComplianceMarketing & brand
45
DESTINY CAPITAL CORPORATION notice-filed in MN. IAPD ↗
$333.3M RAUM · 8 reps · 720-715-7570
ComplianceMarketing & brand
45
CRESCENT ADVISOR GROUP, INC. notice-filed in NH. IAPD ↗
$283.0M RAUM · 17 reps · 972-490-0150
ComplianceMarketing & brand
45
MARATHON CAPITAL MANAGEMENT notice-filed in CO. IAPD ↗
$694.3M RAUM · 5 reps · 410-329-1522 · insidemarathon.com
ComplianceMarketing & brand
45
PURKISS CAPITAL ADVISORS, LLC notice-filed in VA. IAPD ↗
$633.0M RAUM · 3 reps · (203) 431-5862 · pcapadvisors.com
ComplianceMarketing & brand
45
AEQUITAS INVESTMENT ADVISORS, LLC notice-filed in CT. IAPD ↗
$766.0M RAUM · 5 reps · 781-740-1199 · aequitas-inv.com
ComplianceMarketing & brand
45
SALEM PARTNERS WEALTH MANAGEMENT, LLC notice-filed in NY. IAPD ↗
$413.3M RAUM · 3 reps · 310-806-4200 · salempartners.com
ComplianceMarketing & brand
45
BONTEMPO OHLY CAPITAL MANAGEMENT, LLC notice-filed in NJ. IAPD ↗
$368.2M RAUM · 4 reps · 240-497-1300
ComplianceMarketing & brand
45
AVION WEALTH notice-filed in AZ. IAPD ↗
$848.7M RAUM · 10 reps · 281-528-1200 · avionwealth.com
ComplianceMarketing & brand
45
SAGE CAPITAL ADVISORS, LLC notice-filed in NE. IAPD ↗
$581.5M RAUM · 7 reps · 844-279-7243
ComplianceMarketing & brand
45
TORREY GROWTH & INCOME ADVISORS, LLC notice-filed in NC. IAPD ↗
$322.2M RAUM · 2 reps · 760-274-2744 · torreygrowth.com
ComplianceMarketing & brand
45
WORTHPOINTE notice-filed in FL. IAPD ↗
$885.6M RAUM · 10 reps · 800-620-4232 · worthpointeinvest.com
ComplianceMarketing & brand
45
SECURE ASSET MANAGEMENT, L.L.C. notice-filed in IA. IAPD ↗
$890.0M RAUM · 49 reps · 248-414-1562 · re-transition.com
ComplianceMarketing & brand
45
PARADIGM WEALTH MANAGEMENT, LLC notice-filed in TX. IAPD ↗
$475.6M RAUM · 6 reps · 440-892-5900 · investpwm.com
ComplianceMarketing & brand
45
HUDOCK CAPITAL GROUP notice-filed in CO. IAPD ↗
$849.1M RAUM · 7 reps · 570-326-9500
ComplianceMarketing & brand
45
PAULSON WEALTH MANAGEMENT INC. notice-filed in VA. IAPD ↗
$503.8M RAUM · 5 reps · 407-957-0074
ComplianceMarketing & brand
45
MOSS, LUSE & WOMBLE, LLC notice-filed in MD. IAPD ↗
$595.2M RAUM · 18 reps · 972-674-2584
ComplianceMarketing & brand
45
QUAD-CITIES INVESTMENT GROUP, LLC notice-filed in MN. IAPD ↗
$375.6M RAUM · 6 reps · 563-484-5000
ComplianceMarketing & brand
45
BLACK CORAL FINANCIAL ADVISORS, LLC notice-filed in NH. IAPD ↗
$936.0M RAUM · 6 reps · 973-352-8600 · blackcoralfa.com
ComplianceMarketing & brand
45
EMPIRICAL ASSET MANAGEMENT, LLC notice-filed in SC. IAPD ↗
$467.0M RAUM · 11 reps · 781-431-2223 · empiricalam.com
ComplianceMarketing & brand
45
HOBBS GROUP ADVISORS LLC notice-filed in OH. IAPD ↗
$479.1M RAUM · 8 reps · 803-540-3034 · hobbsgroupadvisors.com
ComplianceMarketing & brand
45
ARES CAPITAL MANAGEMENT II LLC notice-filed in CO, IL, MO, NC, NJ, VA. IAPD ↗institutional
$8.96B RAUM · 653 reps · 310-201-4100
ComplianceMarketing & brand
45
NORTHWEST QUADRANT WEALTH MANAGEMENT notice-filed in LA. IAPD ↗
$534.0M RAUM · 2 reps · 541-388-9888
ComplianceMarketing & brand
45
KINGSBRIDGE WEALTH MANAGEMENT, INC. notice-filed in TX. IAPD ↗
$489.3M RAUM · 4 reps · 702-947-5160 · kingsbridgewm.us.com
ComplianceMarketing & brand
45
ALJIAN CAPITAL MANAGEMENT notice-filed in WA. IAPD ↗
$575.8M RAUM · 3 reps · 707-230-2158 · aljiancapital.com
ComplianceMarketing & brand
45
PRACTICECFO INVESTMENTS notice-filed in NY. IAPD ↗
$332.1M RAUM · 9 reps · 800-675-2712
ComplianceMarketing & brand
45
MARQUETTE WEALTH MANAGEMENT notice-filed in CO. IAPD ↗
$817.1M RAUM · 3 reps · 612-661-3770
ComplianceMarketing & brand
45
SUNPOINTE INVESTMENTS notice-filed in NJ. IAPD ↗
$559.2M RAUM · 9 reps · (314) 880-0821 · sunpointeinvestments.com
ComplianceMarketing & brand
45
COMPASS ADVISORS notice-filed in PA. IAPD ↗
$644.1M RAUM · 5 reps · (516) 938-2400 · compassadvisors.com
ComplianceMarketing & brand
45
FINANCIAL PARTNERS GROUP, INC. notice-filed in VA. IAPD ↗
$973.3M RAUM · 9 reps · 913-826-6982
ComplianceMarketing & brand
45
KPP ADVISORY SERVICES LLC notice-filed in OR. IAPD ↗
$874.3M RAUM · 21 reps · 502-394-0400 · money411.info
ComplianceMarketing & brand
45
PANORAMIC INVESTMENT ADVISORS notice-filed in ID. IAPD ↗
$292.5M RAUM · 8 reps · 303-691-1808 · insightassetmgmt.com
ComplianceMarketing & brand
45
NEW WORLD ADVISORS LLC notice-filed in FL. IAPD ↗
$722.8M RAUM · 3 reps · 781-749-6922
ComplianceMarketing & brand
45
GREAT DIAMOND PARTNERS, LLC notice-filed in VT. IAPD ↗
$613.4M RAUM · 5 reps · 207-274-2500
ComplianceMarketing & brand
45
PRECISION WEALTH STRATEGIES, LLC notice-filed in CA. IAPD ↗
$386.3M RAUM · 7 reps · 314-994-6460
ComplianceMarketing & brand
45
PALATINE HILL WEALTH MANAGEMENT notice-filed in NY. IAPD ↗
$254.4M RAUM · 4 reps · 734-218-0085 · palatinehillwealth.com
ComplianceMarketing & brand
45
GETTINGS BUSCH WEALTH MANAGEMENT notice-filed in NC. IAPD ↗
$444.1M RAUM · 7 reps · 765-742-7366 · auroramgt.com
ComplianceMarketing & brand
45
THE MILLSTONE EVANS GROUP, LLC notice-filed in AZ. IAPD ↗
$777.9M RAUM · 8 reps · 720-728-2801
ComplianceMarketing & brand
45
LAKERIDGE WEALTH MANAGEMENT LLC notice-filed in KY. IAPD ↗
$700.5M RAUM · 12 reps · (440) 510-1901
ComplianceMarketing & brand
45
THEPARTNERS WEALTH MANAGEMENT notice-filed in IA. IAPD ↗
$454.5M RAUM · 19 reps · 800-324-3010 · twsfinancialplanning.com
ComplianceMarketing & brand
45
COMPASS FINANCIAL ADVISORY SERVICES, LLC notice-filed in KY. IAPD ↗
$443.8M RAUM · 7 reps · (386) 673-5191 · compassfinancial.us
ComplianceMarketing & brand
45
SECOND 50 FINANCIAL notice-filed in FL. IAPD ↗
$271.5M RAUM · 3 reps · 424-260-1551
ComplianceMarketing & brand
45
THE PINES WEALTH MANAGEMENT, LLC notice-filed in NY. IAPD ↗
$419.5M RAUM · 3 reps · (910) 475-8312 · thepineswealth.com
ComplianceMarketing & brand
45
THREE SEASONS WEALTH notice-filed in IL. IAPD ↗
$361.7M RAUM · 6 reps · 801-662-0585 · threeseasonswealth.com
ComplianceMarketing & brand
45
BBVA GLOBAL WEALTH ADVISORS, INC. notice-filed in CA. IAPD ↗
$523.7M RAUM · 24 reps · 3052057752 · bbvaglobalwealthadvisors.com
ComplianceMarketing & brand
45
FOGUTH WEALTH MANAGEMENT, LLC. notice-filed in VA. IAPD ↗
$439.6M RAUM · 29 reps · (810) 522-5650
ComplianceMarketing & brand
45
CAPITAL A WEALTH MANAGEMENT notice-filed in SC. IAPD ↗
$412.3M RAUM · 9 reps · 724-658-4211
ComplianceMarketing & brand
45
ALTERI WEALTH notice-filed in CO. IAPD ↗
$771.3M RAUM · 3 reps · 805-809-0400
ComplianceMarketing & brand
45
PARKWOODS WEALTH PARTNERS, LLC notice-filed in CT. IAPD ↗
$408.6M RAUM · 3 reps · (877) 278-2716 · parkwoodswealth.com
ComplianceMarketing & brand
45
UNITING WEALTH PARTNERS notice-filed in NY. IAPD ↗
$544.7M RAUM · 7 reps · 479-364-0686 · unitingwealthpartners.com
ComplianceMarketing & brand
45
SELBY WEALTH MANAGEMENT notice-filed in TX. IAPD ↗
$494.6M RAUM · 3 reps · 415-857-9670 · selbywealth.com
ComplianceMarketing & brand
45
ELEVATED FINANCIAL GROUP notice-filed in IA. IAPD ↗
$399.3M RAUM · 4 reps · 317-533-7721 · elevatedfg.com
ComplianceMarketing & brand
44
W&S BROKERAGE SERVICES, INC. notice-filed in MA, MS. IAPD ↗
$175.8M RAUM · 67 reps · 800-257-2135
ComplianceMarketing & brand
44
BANYAN CAPITAL MANAGEMENT, INC. notice-filed in AL, MS. IAPD ↗
$220.3M RAUM · 2 reps · 770-951-2129 · banyancapital.com
ComplianceMarketing & brand
44
KCD FINANCIAL, INC. notice-filed in NC, TN. IAPD ↗
$182.6M RAUM · 27 reps · 920-347-3400 · kcdfinancial.com
ComplianceMarketing & brand
44
RICHWOOD INVESTMENT ADVISORS, LLC notice-filed in FL, NY. IAPD ↗
$137.4M RAUM · 1 reps · (513) 871-0123 · richwoodia.com
ComplianceMarketing & brand
44
EASTSOUND CAPITAL ADVISORS, LLC notice-filed in NC, NY. IAPD ↗
$167.7M RAUM · 5 reps · 360-317-4688
ComplianceMarketing & brand
44
PARADY WEALTH MANAGEMENT notice-filed in IN, NC. IAPD ↗
$156.1M RAUM · 2 reps · 352-674-3911
ComplianceMarketing & brand
44
ARES FINANCIAL CONSULTING LLC notice-filed in AZ, NH. IAPD ↗
$193.3M RAUM · 4 reps · 818-986-1479
ComplianceMarketing & brand
44
ATLATL ADVISERS notice-filed in FL, NY. IAPD ↗
$229.9M RAUM · 6 reps · (608) 351-4500
ComplianceMarketing & brand
44
MOMENT PRIVATE WEALTH notice-filed in FL, NE. IAPD ↗
$156.7M RAUM · 3 reps · (636) 591-1050 · momentprivatewealth.com
ComplianceMarketing & brand
44
BALANCE WEALTH notice-filed in CA, FL. IAPD ↗
$187.6M RAUM · 8 reps · (216) 965-5045 · balancewealth.com
ComplianceMarketing & brand
44
HOLISTIC WEALTH ADVISORS notice-filed in MA, NC. IAPD ↗
$234.3M RAUM · 5 reps · 518.357.3858 · holisticwealthadvisors.com
ComplianceMarketing & brand
44
INFLECTION CAPITAL MANAGEMENT, LLC notice-filed in MA, NH. IAPD ↗
$188.5M RAUM · 5 reps · 415-805-8682
ComplianceMarketing & brand
44
SYNERGY CAPITAL notice-filed in AZ, MS. IAPD ↗
$0 RAUM · 3 reps · 970-837-3088 · synergy-colorado.com
ComplianceMarketing & brand
44
W&S ADVISORY SERVICES, LLC notice-filed in GA, LA. IAPD ↗
$0 RAUM · 0 reps · 513-362-8176 · meetfabric.com
ComplianceMarketing & brand
42
CREWS & ASSOCIATES, INC. notice-filed in OK. IAPD ↗
$149.4M RAUM · 20 reps · 501-907-2000 · crewsfs.com
ComplianceMarketing & brand
42
BOND TECH INC notice-filed in FL. IAPD ↗
$184.0M RAUM · 2 reps · 937-836-3991 · creeksidewealth.com
ComplianceMarketing & brand
42
PRIVATE ASSET MANAGEMENT INC notice-filed in TX. IAPD ↗
$105.2M RAUM · 2 reps · 425-213-1600
ComplianceMarketing & brand
42
RESOURCE 1, INC. notice-filed in FL. IAPD ↗
$120.3M RAUM · 2 reps · 757-616-0600 · r1advisor.com
ComplianceMarketing & brand
42
CARMICHAEL CREEL INVESTMENTS notice-filed in LA. IAPD ↗
$141.9M RAUM · 2 reps · 615-595-5825
ComplianceMarketing & brand
42
AMERICAN ASSET MANAGEMENT INC. notice-filed in TX. IAPD ↗
$144.9M RAUM · 1 reps · 561-955-8500 · aaminc.net
ComplianceMarketing & brand
42
DBS INVESTMENT ADVISERS, LLC notice-filed in IN. IAPD ↗
$244.5M RAUM · 4 reps · 800-327-2377
ComplianceMarketing & brand
42
KALTBAUM CAPITAL MANAGEMENT notice-filed in AZ. IAPD ↗
$118.0M RAUM · 1 reps · 407-514-3180 · garykaltbaum.com
ComplianceMarketing & brand
42
KEYSTONE FINANCIAL GROUP, INC. notice-filed in FL. IAPD ↗
$199.6M RAUM · 4 reps · 770-698-9816 · keystonefg.com
ComplianceMarketing & brand
42
MERRION INVESTMENT MANAGEMENT CO, LLC notice-filed in CT. IAPD ↗
$212.7M RAUM · 3 reps · 908-654-0033 · merriongroup.net
ComplianceMarketing & brand
42
TRUEMAN BROWN notice-filed in NY. IAPD ↗
$173.3M RAUM · 1 reps · 847-228-1968
ComplianceMarketing & brand
42
PERIOPE, LC notice-filed in CA. IAPD ↗
$152.0M RAUM · 2 reps · 435-634-9008 · periope.com
ComplianceMarketing & brand
42
KINGSBURY CAPITAL INVESTMENT ADVISORS LLC notice-filed in PA. IAPD ↗
$154.5M RAUM · 8 reps · 312-380-5300
ComplianceMarketing & brand
42
INTEGRATED CAPITAL MANAGEMENT, INC. notice-filed in UT. IAPD ↗
$212.3M RAUM · 6 reps · 570-344-0100
ComplianceMarketing & brand
42
LIFE PLANNING ADVISORS LLC notice-filed in TX. IAPD ↗
$154.0M RAUM · 4 reps · 760-918-0304 · lifeplanningadvisors.com
ComplianceMarketing & brand
42
CARBAHAL OLSEN FINANCIAL SERVICES GROUP LLC notice-filed in LA. IAPD ↗
$212.8M RAUM · 1 reps · 530-758-4921 · carbahalolsen.com
ComplianceMarketing & brand
42
CAITLIN JOHN, LLC notice-filed in NV. IAPD ↗
$183.4M RAUM · 19 reps · 810-355-1325 · caitlinjohn.com
ComplianceMarketing & brand
42
SGL FINANCIAL, LLC notice-filed in TN. IAPD ↗
$218.6M RAUM · 15 reps · 888-245-2388
ComplianceMarketing & brand
42
FIFTH SET PRIVATE WEALTH MANAGEMENT LLC notice-filed in FL. IAPD ↗
$146.9M RAUM · 2 reps · 646-783-9717
ComplianceMarketing & brand
42
MCBEATH FINANCIAL GROUP notice-filed in NE. IAPD ↗
$223.2M RAUM · 6 reps · 309-808-2224 · mcbeathfinancial.com
ComplianceMarketing & brand
42
COHEN INVESTMENT ADVISORS, LLC notice-filed in CA. IAPD ↗
$225.6M RAUM · 4 reps · (603) 232-8350 · investwithcohen.com
ComplianceMarketing & brand
42
TRUTORO notice-filed in MS. IAPD ↗
$130.7M RAUM · 14 reps · 501-358-6131 · trutoro.com
ComplianceMarketing & brand
42
YES WEALTH MANAGEMENT notice-filed in FL. IAPD ↗
$116.8M RAUM · 3 reps · (651) 426-5854
ComplianceMarketing & brand
42
COPIA WEALTH MANAGEMENT notice-filed in AZ. IAPD ↗
$122.8M RAUM · 4 reps · 541-647-2545 · copiawealthmanagement.com
ComplianceMarketing & brand
42
DERIVE WEALTH notice-filed in NH. IAPD ↗
$112.6M RAUM · 1 reps · 626-800-3864
ComplianceMarketing & brand
42
MOTIV8 INVESTMENTS LLC notice-filed in CO. IAPD ↗
$187.1M RAUM · 15 reps · 772-247-4488
ComplianceMarketing & brand
42
LEVATUS LLC notice-filed in LA. IAPD ↗
$151.8M RAUM · 3 reps · (617) 505-4710
ComplianceMarketing & brand
42
BONFIRE FINANCIAL, LLC notice-filed in CA. IAPD ↗
$198.2M RAUM · 3 reps · 719-394-3900 · bonfirefinancial.com
ComplianceMarketing & brand
42
WATERROCK WEALTH MANAGEMENT notice-filed in CO. IAPD ↗
$132.5M RAUM · 5 reps · 505-831-6342
ComplianceMarketing & brand
42
CONNECTIVE PORTFOLIO MANAGEMENT, LLC notice-filed in LA. IAPD ↗
$111.0M RAUM · 2 reps · 212 332-7932 · connectivepm.com
ComplianceMarketing & brand
42
B.A. SCHROCK WEALTH MANAGEMENT notice-filed in TX. IAPD ↗
$200.8M RAUM · 5 reps · 330-473-1060
ComplianceMarketing & brand
42
OPTIMA CAPITAL MANAGEMENT notice-filed in CO. IAPD ↗
$116.5M RAUM · 4 reps · 480-757-9052
ComplianceMarketing & brand
42
FARNAM FINANCIAL notice-filed in FL. IAPD ↗
$122.1M RAUM · 2 reps · (602) 603-4000 · farnamfinancial.com
ComplianceMarketing & brand
42
DIRECT FINANCIAL CARE notice-filed in PA. IAPD ↗
$192.3M RAUM · 1 reps · 608-630-7974 · directfinancialcare.com
ComplianceMarketing & brand
42
QUANTEL ASSET MANAGEMENT LLC notice-filed in VA. IAPD ↗
$20.8M RAUM · 1 reps · 844-836-5461
ComplianceMarketing & brand
42
PEACE OF MIND WEALTH MANAGEMENT notice-filed in FL. IAPD ↗
$214.1M RAUM · 6 reps · 919-787-8866
ComplianceMarketing & brand
42
CLOUD CAPITAL notice-filed in TX. IAPD ↗
$189.9M RAUM · 4 reps · 8007954303 · cloudcapital.us
ComplianceMarketing & brand
42
ENTREWEALTH notice-filed in CT. IAPD ↗
$222.6M RAUM · 9 reps · 512-240-2244
ComplianceMarketing & brand
42
GAMBIT CAPITAL MANAGEMENT, LLC notice-filed in WI. IAPD ↗
$101.3M RAUM · 4 reps · (615) 237-2142
ComplianceMarketing & brand
42
SCRATCH CAPITAL notice-filed in CA. IAPD ↗
$141.2M RAUM · 4 reps · 208-901-8018 · scratch-capital.com
ComplianceMarketing & brand
42
OXFORD WEALTH GROUP, LLC notice-filed in NC. IAPD ↗
$235.9M RAUM · 8 reps · 407-495-2004
ComplianceMarketing & brand
42
PALM WEALTH PARTNERS notice-filed in GA. IAPD ↗
$132.1M RAUM · 9 reps · (954) 632-2555
ComplianceMarketing & brand
42
LUMIDA WEALTH MANAGEMENT LLC notice-filed in NJ. IAPD ↗
$83.1M RAUM · 1 reps · (833) 512-5111 · podcasts.google.com
ComplianceMarketing & brand
42
FORTHRIGHT CAPITAL ADVISORY notice-filed in TN. IAPD ↗
$65.0M RAUM · 28 reps · (702) 217-7676 · forthrightcps.com
ComplianceMarketing & brand
42
ATLAS notice-filed in NC. IAPD ↗
$121.3M RAUM · 5 reps · 805-557-8713
ComplianceMarketing & brand
42
MACK & CO. PARTNERS, LP notice-filed in NY. IAPD ↗
$102.5M RAUM · 3 reps · (945) 293-6405 · mackco.com
ComplianceMarketing & brand
42
RIGDEN CAPITAL STRATEGIES notice-filed in SC. IAPD ↗
$0 RAUM · 3 reps · 303-351-1618 · rigdencapital.com
ComplianceMarketing & brand
42
MINDORO CAPITAL PARTNERS LLC notice-filed in NH. IAPD ↗
$134.3M RAUM · 5 reps · (617) 214-2313 · mindoro.com
ComplianceMarketing & brand
42
WAYSTONE ADVISORS LLC notice-filed in AZ. IAPD ↗
$136.1M RAUM · 4 reps · (425) 484-0045
ComplianceMarketing & brand
42
PARADIGM INSTITUTIONAL INVESTORS notice-filed in CA. IAPD ↗
$189.5M RAUM · 1 reps · 216-505-0835 · paradigmii.com
ComplianceMarketing & brand
42
IWEALTH notice-filed in AZ. IAPD ↗
$230.7M RAUM · 5 reps · 507-835-9111
ComplianceMarketing & brand
42
MOMENTUM WEALTH PLANNING notice-filed in TX. IAPD ↗
$167.6M RAUM · 2 reps · 919-323-4219 · momentumwealthplanning.com
ComplianceMarketing & brand
42
MUNIFI, LLC notice-filed in NE. IAPD ↗
$20,000 RAUM · 1 reps · 310-729-3421 · munifi.app
ComplianceMarketing & brand
42
AIML TRADING PARTNERS notice-filed in TX. IAPD ↗
$35.0M RAUM · 1 reps · (631) 944-5699
ComplianceMarketing & brand
42
COQUINA PRIVATE WEALTH ADVISORS notice-filed in SC. IAPD ↗
$0 RAUM · 8 reps · 941-206-5120 · coquinaprivatewealth.com
ComplianceMarketing & brand
40
NERDWALLET ADVISORY notice-filed in HI, ID, KS, ME, MT, NE, NM, RI, SD, WY. IAPD ↗institutional
$0 RAUM · 1 reps · 415-549-8913 · nerdwalletcoach.uprise.us
ComplianceMarketing & brand
39
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS notice-filed in AZ, NC. IAPD ↗institutional
$18.95B RAUM · 68 reps · 212-850-4260
ComplianceMarketing & brand
37
BAMCO, INC. notice-filed in FL. IAPD ↗institutional
$38.17B RAUM · 44 reps · 212-583-2000 · baroncapitalgroup.com
ComplianceMarketing & brand
37
TRPC ADVISORY SERVICES notice-filed in UT. IAPD ↗institutional
$1.05B RAUM · 8 reps · 888-673-5440
ComplianceMarketing & brand
36
ARES CAPITAL MANAGEMENT LLC notice-filed in IL, MA, MO. IAPD ↗fund
$85.09B RAUM · 477 reps · 310-201-4100
ComplianceMarketing & brand
35
WHEELER RETIREMENT PLANS LLC notice-filed in WI. IAPD ↗institutional
$520.0M RAUM · 1 reps · 218-336-8524 · wheelerrp.com
ComplianceMarketing & brand
34
ARES MANAGEMENT LLC notice-filed in IL, OH. IAPD ↗fund
$359.15B RAUM · 1092 reps · 310-201-4100 · aresacquisitioncorporationii.com
ComplianceMarketing & brand
32
CAPITAL CLIENT GROUP, INC. notice-filed in TN. IAPD ↗institutional
$0 RAUM · 655 reps · 213-486-9200
ComplianceMarketing & brand
32
USI SECURITIES, INC. notice-filed in NV. IAPD ↗institutional
$0 RAUM · 19 reps · 860-652-3239
ComplianceMarketing & brand
32
AFFINIUS CAPITAL notice-filed in GA. IAPD ↗fund
$10.99B RAUM · 279 reps · 212-605-1000 · affiniuscapital.com
ComplianceMarketing & brand
32
ARES COMMERCIAL REAL ESTATE MANAGEMENT LLC notice-filed in IL. IAPD ↗fund
$27.14B RAUM · 243 reps · 310-201-4100 · arescre.com
ComplianceMarketing & brand
32
PEAKLINE PARTNERS, LLC notice-filed in CA. IAPD ↗fund
$2.51B RAUM · 10 reps · 214-661-8167 · peakline.com
ComplianceMarketing & brand
32
ELDRIDGE GP1 ADVISERS notice-filed in IL. IAPD ↗institutional
$0 RAUM · 20 reps · (212) 895-2000 · eldridge.com
ComplianceMarketing & brand
30
EYRE STREET CAPITAL notice-filed in NY. IAPD ↗fund
$344.9M RAUM · 5 reps · 771-772-8856
ComplianceMarketing & brand
27
EPIC FUNDS notice-filed in CA. IAPD ↗fund
$146.0M RAUM · 6 reps · 720-593-6399 · epic-funds.com
ComplianceMarketing & brand
27
ACCORDANT INVESTMENTS LLC notice-filed in NY. IAPD ↗fund
$52.2M RAUM · 4 reps · 602-609-2193 · accordantinvestments.com
ComplianceMarketing & brand
27
NOVAWAVE CAPITAL notice-filed in FL. IAPD ↗fund
$90.0M RAUM · 6 reps · 781-710-3455 · novawavecapital.com
ComplianceMarketing & brand
19
BRISTOL GATE CAPITAL PARTNERS INC. notice-filed in WA, WI. IAPD ↗foreign
$2.08B RAUM · 11 reps · 416-921-7076
ComplianceMarketing & brand
17
MARCUARD FAMILY OFFICE LTD notice-filed in TX. IAPD ↗foreign
$6.83B RAUM · 18 reps · 41 (43) 344 60 00 · marcuardfamilyoffice.com
ComplianceMarketing & brand
15
1832 ASSET MANAGEMENT U.S. INC. notice-filed in TN. IAPD ↗foreign
$922.3M RAUM · 23 reps · 416-840-7986
ComplianceMarketing & brand
15
BFI INFINITY LTD. notice-filed in NH. IAPD ↗foreign
$610.1M RAUM · 15 reps · +41 58 806 2210
ComplianceMarketing & brand
new registration — 146 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
98
KINEO CAPITAL LLC (NEW YORK, NY) is newly SEC-registered with $258.0M RAUM and 2 advisory reps. IAPD ↗
$258.0M RAUM · 2 reps · 212-457-1268 · kineocapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
55 NORTH PRIVATE WEALTH (WINTER PARK, FL) is newly SEC-registered with $366.8M RAUM and 5 advisory reps. IAPD ↗
$366.8M RAUM · 5 reps · 407-960-4769 · 55northprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
SANDS CAPITAL HORIZONS, LLC (ARLINGTON, VA) is newly SEC-registered with $428.0M RAUM and 2 advisory reps. IAPD ↗
$428.0M RAUM · 2 reps · 703-562-4000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HECKMAN FINANCIAL & INSURANCE SERVICES, INC. (SAN JOSE, CA) is newly SEC-registered with $114.4M RAUM and 4 advisory reps. IAPD ↗
$114.4M RAUM · 4 reps · 408-297-9800 · worrylesswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CERTIFIED FINANCIAL STRATEGIES CORPORATION (DALLAS, TX) is newly SEC-registered with $118.1M RAUM and 2 advisory reps. IAPD ↗
$118.1M RAUM · 2 reps · 972-702-8121 · cfscorp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLOBAL FINANCIAL PLANNING GROUP, LLC (TROY, MI) is newly SEC-registered with $125.6M RAUM and 2 advisory reps. IAPD ↗
$125.6M RAUM · 2 reps · 248-643-4820 · gfpgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUMMIT FINANCIAL PARTNERS, INC. (GLEN ALLEN, VA) is newly SEC-registered with $124.5M RAUM and 1 advisory reps. IAPD ↗
$124.5M RAUM · 1 reps · 804-290-0162 · summitfinancialpartnersrva.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG INVESTMENTS, LLC (MEDFORD, NJ) is newly SEC-registered with $121.0M RAUM and 5 advisory reps. IAPD ↗
$121.0M RAUM · 5 reps · 609-714-0546
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCLAUGHLIN ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $125.3M RAUM and 3 advisory reps. IAPD ↗
$125.3M RAUM · 3 reps · 217-442-6484
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFG WEALTH MANAGEMENT, INC. (INDIANAPOLIS, IN) is newly SEC-registered with $111.8M RAUM and 3 advisory reps. IAPD ↗
$111.8M RAUM · 3 reps · 317-780-1006
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARRIVAL CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $38.2M RAUM and 1 advisory reps. IAPD ↗
$38.2M RAUM · 1 reps · 212-369-1700 · arrivalcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NETWORTH FINANCIAL SERVICES, LLC (JOHNS CREEK, GA) is newly SEC-registered with $121.8M RAUM and 2 advisory reps. IAPD ↗
$121.8M RAUM · 2 reps · 678-319-0111
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRADYCO FINANCIAL (location n/a) is newly SEC-registered with $175.7M RAUM and 1 advisory reps. IAPD ↗
$175.7M RAUM · 1 reps · (617) 945-1991 · bradycofinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HERITAGE CAPITAL, LLC (WOODBRIDGE, CT) is newly SEC-registered with $128.9M RAUM and 3 advisory reps. IAPD ↗
$128.9M RAUM · 3 reps · 203-389-3553 · investfortomorrow.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REXFORD CAPITAL (location n/a) is newly SEC-registered with $128.1M RAUM and 2 advisory reps. IAPD ↗
$128.1M RAUM · 2 reps · 713.838.8383 · rexfordcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLUMBIA BENEFITS, LLC (DENVER, CO) is newly SEC-registered with $107.7M RAUM and 1 advisory reps. IAPD ↗
$107.7M RAUM · 1 reps · 303-759-1100 · cbadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROADHURST FINANCIAL ADVISORS, INC. (WEST POINT, PA) is newly SEC-registered with $110.0M RAUM and 1 advisory reps. IAPD ↗
$110.0M RAUM · 1 reps · 215-325-1595 · broadhurstfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OUTLOOK CAPITAL MANAGEMENT, LLC (ARLINGTON HEIGHTS, IL) is newly SEC-registered with $101.4M RAUM and 2 advisory reps. IAPD ↗
$101.4M RAUM · 2 reps · 847-797-0600 · outlookcapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BULWARK CAPITAL CORPORATION (location n/a) is newly SEC-registered with $117.1M RAUM and 2 advisory reps. IAPD ↗
$117.1M RAUM · 2 reps · 703-740-6870
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HACKETT FINANCIAL GROUP, LLC (WIMBERLEY, TX) is newly SEC-registered with $133.2M RAUM and 2 advisory reps. IAPD ↗
$133.2M RAUM · 2 reps · (512) 847-0630
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AGDEAVOR INVESTMENTS (WORTHINGTON, OH) is newly SEC-registered with $24.8M RAUM and 3 advisory reps. IAPD ↗
$24.8M RAUM · 3 reps · 614-516-0792 · agdeavorinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAST ROCK FINANCIAL SERVICES, LLC (location n/a) is newly SEC-registered with $111.4M RAUM and 2 advisory reps. IAPD ↗
$111.4M RAUM · 2 reps · 415-779-2008 · eastrockfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
A.T. LLOYD'S, INC (SEATTLE, WA) is newly SEC-registered with $118.6M RAUM and 1 advisory reps. IAPD ↗
$118.6M RAUM · 1 reps · 206-443-6214 · atlloydinc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BERKELEY CAPITAL MANAGEMENT, LLC (ELLSWORTH, KS) is newly SEC-registered with $100.0M RAUM and 2 advisory reps. IAPD ↗
$100.0M RAUM · 2 reps · (785) 472-2375 · berkeleycapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALLEN FINANCIAL MANAGEMENT (OXFORD, MI) is newly SEC-registered with $114.6M RAUM and 1 advisory reps. IAPD ↗
$114.6M RAUM · 1 reps · 248-572-4731 · afmwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MERIDIAN ASSET MANAGEMENT, LLC (location n/a) is newly SEC-registered with $114.4M RAUM and 2 advisory reps. IAPD ↗
$114.4M RAUM · 2 reps · 610-866-2224 · meridianportfolio.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
QUANTUM CAPITAL INVESTMENTS, INC. (location n/a) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗
$125.0M RAUM · 1 reps · 708-267-0627 · quantumcapitalinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HERITAGE WEALTH MANAGEMENT (MEDFORD, MA) is newly SEC-registered with $118.3M RAUM and 2 advisory reps. IAPD ↗
$118.3M RAUM · 2 reps · 800-620-9330
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OPAL ADVISORS (BELLEVUE, WA) is newly SEC-registered with $121.5M RAUM and 3 advisory reps. IAPD ↗
$121.5M RAUM · 3 reps · 425-835-3276 · opaladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THIELEN CAPITAL CORPORATION (LADERA RANCH, CA) is newly SEC-registered with $100.4M RAUM and 1 advisory reps. IAPD ↗
$100.4M RAUM · 1 reps · 949-293-8345 · thielencapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALLUVIAL CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered with $105.2M RAUM and 1 advisory reps. IAPD ↗
$105.2M RAUM · 1 reps · 412-368-2321
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRUADVISORS (TAMPA, FL) is newly SEC-registered with $100.0M RAUM and 3 advisory reps. IAPD ↗
$100.0M RAUM · 3 reps · 888-721-2040 · truadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UPTOWN CAPITAL ADVISORS (DALLAS, TX) is newly SEC-registered with $125.3M RAUM and 2 advisory reps. IAPD ↗
$125.3M RAUM · 2 reps · 214-628-9508 · uptowncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REI WEALTH MANAGEMENT (location n/a) is newly SEC-registered with $163.0M RAUM and 1 advisory reps. IAPD ↗
$163.0M RAUM · 1 reps · 813-335-1757 · reiwealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RED REEF ADVISORS LLC (BOCA RATON, FL) is newly SEC-registered with $125.5M RAUM and 3 advisory reps. IAPD ↗
$125.5M RAUM · 3 reps · 561-400-3285 · redreefadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALVIN CLAY FINANCIAL ADVISORS, LLC (JENKINTOWN, PA) is newly SEC-registered with $154.6M RAUM and 5 advisory reps. IAPD ↗
$154.6M RAUM · 5 reps · 267-626-2382 · alvinclay.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINEC ASSET MANAGEMENT (SAN DIEGO, CA) is newly SEC-registered with $126.3M RAUM and 6 advisory reps. IAPD ↗
$126.3M RAUM · 6 reps · 858-945-3192 · finec.us
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOREFRONT ASSET MANAGEMENT, LLC (VIRGINIA BEACH, VA) is newly SEC-registered with $122.9M RAUM and 3 advisory reps. IAPD ↗
$122.9M RAUM · 3 reps · 757-222-1880 · forefrontam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOCUS PLANNING GROUP (location n/a) is newly SEC-registered with $35.6M RAUM and 1 advisory reps. IAPD ↗
$35.6M RAUM · 1 reps · 631-714-6044 EXT 302
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OCTOBER EFFECT LTD. (VIRGINIA BEACH, VA) is newly SEC-registered with $111.7M RAUM and 4 advisory reps. IAPD ↗
$111.7M RAUM · 4 reps · 757-390-3341 · financialplanning-vab.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PROVIDENT LIVING FINANCIAL SERVICES (LEHI, UT) is newly SEC-registered with $130.4M RAUM and 2 advisory reps. IAPD ↗
$130.4M RAUM · 2 reps · 801-753-5639 · getprovident.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KUHN CAPITAL PARTNERS (NAPERVILLE, IL) is newly SEC-registered with $125.8M RAUM and 5 advisory reps. IAPD ↗
$125.8M RAUM · 5 reps · 800-674-3217 · kuhncp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FRA WEALTH MANAGEMENT LLC (O'FALLON, IL) is newly SEC-registered with $100.0M RAUM and 2 advisory reps. IAPD ↗
$100.0M RAUM · 2 reps · 888-915-0930 · frawealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ELITE INCOME ADVISORS, INC. (ELLICOTT CITY, MD) is newly SEC-registered with $150.1M RAUM and 8 advisory reps. IAPD ↗
$150.1M RAUM · 8 reps · 443-274-3002
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NORTH BAY WEALTH MANAGEMENT (PETALUMA, CA) is newly SEC-registered with $102.1M RAUM and 1 advisory reps. IAPD ↗
$102.1M RAUM · 1 reps · 707-971-7069 · northbaywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TONE CAPITAL, LLC (RICHMOND, VA) is newly SEC-registered with $103.2M RAUM and 3 advisory reps. IAPD ↗
$103.2M RAUM · 3 reps · (804) 447-1404 · tonecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPLETE WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $125.1M RAUM and 2 advisory reps. IAPD ↗
$125.1M RAUM · 2 reps · 940-382-9300
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KNOX AVENUE FINANCIAL CORP. (ST. PAUL, MN) is newly SEC-registered with $118.9M RAUM and 1 advisory reps. IAPD ↗
$118.9M RAUM · 1 reps · 952-426-4352 · knoxavenuefinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEAK FINANCIAL CONSULTING, INC. (BLOOMINGTON, MN) is newly SEC-registered with $110.2M RAUM and 2 advisory reps. IAPD ↗
$110.2M RAUM · 2 reps · 952-303-8200 · peakfinancialconsulting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ELLERBROCK-NORRIS WEALTH STRATEGIES LLC (OMAHA, NE) is newly SEC-registered with $110.6M RAUM and 3 advisory reps. IAPD ↗
$110.6M RAUM · 3 reps · (402) 884-1320 · en-ws.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ZINNIA WEALTH ADVISORY, LLC (OCALA, FL) is newly SEC-registered with $146.6M RAUM and 2 advisory reps. IAPD ↗
$146.6M RAUM · 2 reps · 352-368-3680 · zinniawealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TCG WEALTH MANAGEMENT (NASHUA, NH) is newly SEC-registered with $121.3M RAUM and 3 advisory reps. IAPD ↗
$121.3M RAUM · 3 reps · 603-324-0171
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POLARIS FINANCIAL PARTNERS, LLC (WESTERVILLE, OH) is newly SEC-registered with $191.5M RAUM and 3 advisory reps. IAPD ↗
$191.5M RAUM · 3 reps · 614-901-3400 · polarisfinancial.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TOWN CAPITAL (BEL AIR, MD) is newly SEC-registered with $121.9M RAUM and 3 advisory reps. IAPD ↗
$121.9M RAUM · 3 reps · 410-864-0209 · towncapitalllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
1818 PRIVATE CLIENT GROUP, LLC (AVENTURA, FL) is newly SEC-registered with $107.9M RAUM and 1 advisory reps. IAPD ↗
$107.9M RAUM · 1 reps · (305) 684-8331
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
METIS WEALTH MANAGEMENT & PLANNING LLC (BLUFFTON, SC) is newly SEC-registered with $107.6M RAUM and 2 advisory reps. IAPD ↗
$107.6M RAUM · 2 reps · 843-271-6088 · metiswealthllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WISDOM PLANNING GROUP (ORLANDO, FL) is newly SEC-registered with $105.3M RAUM and 3 advisory reps. IAPD ↗
$105.3M RAUM · 3 reps · (407) 462-5486 · wisdompg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STRATTON CAPITAL INVESTMENT ADVISORY LLC (NEW YORK, NY) is newly SEC-registered with $75.2M RAUM and 5 advisory reps. IAPD ↗
$75.2M RAUM · 5 reps · (914) 471-3377 · stratton-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FIFIT LLC (location n/a) is newly SEC-registered with $113.6M RAUM and 1 advisory reps. IAPD ↗
$113.6M RAUM · 1 reps · 3469014434
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DIPAOLO FINANCIAL GROUP, INC. (LUTZ, FL) is newly SEC-registered with $125.9M RAUM and 4 advisory reps. IAPD ↗
$125.9M RAUM · 4 reps · 813-475-3130 · dipaolofinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PCB CAPITAL LLC (EAST BRUNSWICK, NJ) is newly SEC-registered with $122.5M RAUM and 1 advisory reps. IAPD ↗
$122.5M RAUM · 1 reps · (732) 634-3620 · pcbfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CABIN ADVISORS, LLC (OVERLAND PARK, KS) is newly SEC-registered with $133.6M RAUM and 14 advisory reps. IAPD ↗
$133.6M RAUM · 14 reps · 913-933-3351 · financialarchitects.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRUST BEYOND CORP (location n/a) is newly SEC-registered with $114.9M RAUM and 1 advisory reps. IAPD ↗
$114.9M RAUM · 1 reps · 786-472-0187
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APEX WEALTH ADVISORS LLC (location n/a) is newly SEC-registered with $102.6M RAUM and 3 advisory reps. IAPD ↗
$102.6M RAUM · 3 reps · 623-292-5560 · apexwealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FIRST STEP WEALTH PLANNING (location n/a) is newly SEC-registered with $26.4M RAUM and 1 advisory reps. IAPD ↗
$26.4M RAUM · 1 reps · (518) 893-1592
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COGENT PRIVATE WEALTH (ORLANDO, FL) is newly SEC-registered with $141.5M RAUM and 4 advisory reps. IAPD ↗
$141.5M RAUM · 4 reps · (407) 887-4965 · cogentprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALIANZA CORP. INVESTMENT ADVISOR (MIAMI, FL) is newly SEC-registered with $108.9M RAUM and 1 advisory reps. IAPD ↗
$108.9M RAUM · 1 reps · 954-330-1741
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REID FINANCIAL INC (BROOKLYN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 347-954-0544
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLR PARTNERS (COLUMBIA, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 410-446-9094
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STAR HARBOR INVESTMENTS INC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 813-716-3581 · starharborinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MATSON CAPITAL LLC (MASON, OH) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · (513) 204-8084
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEQUINOX WEALTH MANAGEMENT, LLC (LANCASTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 717-397-7957
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BINVESTING (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 713-980-4690 · binvesting.us
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PIVOT CAPITAL PARTNERS LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 888-585-9981 · pivotcapitalllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CYPRESS CAPITAL (TALLAHASSEE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 850-583-5377
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLOVERPOINT, LLC (MINNEAPOLIS, MN) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 952-208-8620
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J.P.MORGAN WEALTH MANAGEMENT SOLUTIONS INC. (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 11 advisory reps. IAPD ↗
$0 RAUM · 11 reps · 212-464-2070 · chase.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EVERGREEN WEALTH PARTNERS LLC (KALISPELL, MT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 406-862-4400 · willamettewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAMBRIA WEALTH MANAGEMENT (SARASOTA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (941) 444-1120 · cambriawealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ANCHYRA PARTNERS LLC (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 813-758-1430
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THIRD VIEW PRIVATE WEALTH (WESTPORT, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 8607590650 · thirdviewpw.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CONNECTIVE WEALTH PARTNERS, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · (603) 498-1854
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FREEDOM ASSET MANAGEMENT (SPOKANE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 509 496 2890 · freedomasset.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LYONS CAPITAL GROUP (SHREVEPORT, LA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 318-455-7790 · lyonscapgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAO WEALTH INC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (203) 435-8402 · faowealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLOVER LEAF FINANCIAL LLC (FAIRPORT, NY) is newly SEC-registered with $54.0M RAUM and 2 advisory reps. IAPD ↗
$54.0M RAUM · 2 reps · 585-899-3940 · cloverleafteam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GREENSTONE BELT WEALTH ADVISORS, LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 312-952-6550
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DACHTLER WEALTH ADVISORS, LLC (FOLSOM, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 916-933-3076 · dachtlerwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STRIVE WEALTH MANAGEMENT, LLC (DALLAS, TX) is newly SEC-registered with $179.1M RAUM and 5 advisory reps. IAPD ↗
$179.1M RAUM · 5 reps · 872-270-5406 · strive.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JOURNEY EQUITY WEALTH MANAGEMENT LLC (DOWNEY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 562-774-5931
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BELLINGRATH WEALTH MANAGEMENT, L.L.C. (NEW ORLEANS, LA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 646-395-3900 · bellingrathwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRAVE NEW WEALTH (WESTLAKE VILLAGE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 8052439474 · bravenewwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TE ADVISORS LLC (QUINCY, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 617-221-6545 · tappengine.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WINFORD WEALTH, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 818-324-8118 · winfordwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEINWOLD & CO. LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 408-891-7991 · steinwold.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
M4A3 LLC (BOULDER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (303) 819-2998
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAMARA CAPITAL (LAKE OSWEGO, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 503-741-2167 · samara-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARG PRIVATE WEALTH, LLC (CINCINNATI, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 513-488-1600 · argprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SANCHEZ GAUNT CAPITAL MANAGEMENT, LLC (RENO, NV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 775-800-1801 · sanchezgaunt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRESTIGE WEALTH MANAGEMENT (SOUTHLAKE, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 8176378121 · pwealthmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SLEDGE AND COMPANY WEALTH ADVISORS (HIGH POINT, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 336-889-3013 · sledgeandco.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TEMPO WEALTH (AVON, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 440-665-2383 · tempowealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FIVANCIAL ADVISORS, INC. (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 855-568-3275 · banksocial.io
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BEAU MORGAN ADVISORS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 585-301-7970 · beaumorgan.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AGILIS INVESTMENT MANAGEMENT LLC (WILTON, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (203) 920-1011 · agilisim.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DISHMI CAPITAL, LLC (SOUTH PASADENA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (213) 373-1949 · dishmicap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
88
RAMPART ASSET MANAGEMENT LLC (STAMFORD, CT) is newly SEC-registered with $411.2M RAUM and 2 advisory reps. IAPD ↗institutional
$411.2M RAUM · 2 reps · 475-477-9899 · rampartasset.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FAROPOINT VENTURES, LLC (HOBOKEN, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 44 advisory reps. IAPD ↗institutional
$0 RAUM · 44 reps · 408-609-3725 · faropoint.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
IH2 ADVISORS & COMPANY (WILMINGTON, DE) is newly SEC-registered with $105.0M RAUM and 2 advisory reps. IAPD ↗institutional
$105.0M RAUM · 2 reps · 302-345-6404
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
DOCKSIDE PLATFORMS (NEW YORK, NY) is newly SEC-registered with $1.12B RAUM and 2 advisory reps. IAPD ↗fund
$1.12B RAUM · 2 reps · 646-756-1199
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
COUNTERPOINTE INVESTMENT MANAGEMENT LLC (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 23 advisory reps. IAPD ↗institutional
$0 RAUM · 23 reps · 855-431-4400
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
DELTROIT ASSET MANAGEMENT (US) LLC (WILTON, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · +1 347-482-4556 · deltroit.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PACIFIC WAY CAPITAL MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 2129511288
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TAPROOT MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗institutional
$0 RAUM · 9 reps · (646) 846-4427 · taprootmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
UPLIFT (DARIEN, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 877-369-0756
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
HARMONIC CAPITAL, LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 224-529-3605
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MLG FUND MANAGER LLC (BROOKFIELD, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 30 advisory reps. IAPD ↗institutional
$0 RAUM · 30 reps · 262-797-9400 · mlgcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PROSPECT ENHANCED YIELD MANAGEMENT, LLC (WEST PALM BEACH, FL) is newly SEC-registered with $0 RAUM and 9 advisory reps. IAPD ↗institutional
$0 RAUM · 9 reps · 561-285-4044
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
RYO CAPITAL PARTNERS LLC (KEY BISCAYNE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 646-395-3900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
RUSSELL INVESTMENTS (SEATTLE, WA) is newly SEC-registered with $0 RAUM and 122 advisory reps. IAPD ↗institutional
$0 RAUM · 122 reps · 206-505-7877 · russellinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
RUSSELL INVESTMENTS (SEATTLE, WA) is newly SEC-registered with $0 RAUM and 122 advisory reps. IAPD ↗institutional
$0 RAUM · 122 reps · 206-505-7877 · russellinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CNL RESIDENTIAL CREDIT MANAGER (ORLANDO, FL) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 407-650-1000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
HEDGEYE ASSET MANAGEMENT, LLC (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 212 433-1559 · hedgeyeam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SYKON ASSET MANAGEMENT LLC (HARRISON, NY) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 914-898-3694
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ALPHABOND LLC (PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 561-948-3414
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CLAREN ROAD PRIVATE CREDIT SOLUTIONS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 212-888-1433
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CONCOURSE CAPITAL ADVISORS, LLC (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 404-751-0100 · concoursecap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
PILLSBURY LAKE CAPITAL, LLC (location n/a) is newly SEC-registered with $329.6M RAUM and 1 advisory reps. IAPD ↗fund
$329.6M RAUM · 1 reps · 510-387-2820 · pillsburycap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ASILIA CREDIT INVESTMENTS (SALT LAKE CITY, UT) is newly SEC-registered with $304.4M RAUM and 2 advisory reps. IAPD ↗fund
$304.4M RAUM · 2 reps · 203-832-8888 · asiliainvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MED VENTURE MANAGEMENT, LLC (SALT LAKE CITY, UT) is newly SEC-registered with $474.9M RAUM and 5 advisory reps. IAPD ↗fund
$474.9M RAUM · 5 reps · (801) 867-5269 · medventurehealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CENTER LAKE CAPITAL MANAGEMENT, LLC (WEST PALM BEACH, FL) is newly SEC-registered with $71.3M RAUM and 1 advisory reps. IAPD ↗fund
$71.3M RAUM · 1 reps · (212) 390 8839
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SREP CAPITAL MANAGEMENT, LLC (GREENWICH, CT) is newly SEC-registered with $155.4M RAUM and 6 advisory reps. IAPD ↗fund
$155.4M RAUM · 6 reps · 203-542-2870 · silfern.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
KARMEL CAPITAL MANAGEMENT LLC (SOLANA BEACH, CA) is newly SEC-registered with $170.3M RAUM and 8 advisory reps. IAPD ↗fund
$170.3M RAUM · 8 reps · 858-208-3588 · karmelcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ELI CIRCLE CAPITAL, LP (LOS ANGELES, CA) is newly SEC-registered with $141.0M RAUM and 3 advisory reps. IAPD ↗fund
$141.0M RAUM · 3 reps · 310-571-5914
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BRIGHT PATH SPORTS PARTNERS, LLC (CLEVELAND, OH) is newly SEC-registered with $151.6M RAUM and 3 advisory reps. IAPD ↗fund
$151.6M RAUM · 3 reps · 216-235-3292 · brightpathsports.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
MCT ENTERTAINMENT ADVISORS LLC (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $53.9M RAUM and 5 advisory reps. IAPD ↗fund
$53.9M RAUM · 5 reps · 310-650-1526
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
DIGITAL ASSET MANAGEMENT (PHOENIX, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
$0 RAUM · 1 reps · 602-910-1254 · damx.us
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BEQUEST CAPITAL LLC (SARASOTA, FL) is newly SEC-registered with $28.2M RAUM and 3 advisory reps. IAPD ↗fund
$28.2M RAUM · 3 reps · 941-957-9979 · bqfunds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
GRAYSTREET PARTNERS (SAN ANTONIO, TX) is newly SEC-registered with $155.0M RAUM and 3 advisory reps. IAPD ↗fund
$155.0M RAUM · 3 reps · 210-736-5400 · graystreet.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ASA ASSET MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $30.9M RAUM and 1 advisory reps. IAPD ↗fund
$30.9M RAUM · 1 reps · 646-727-4151
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
PROJECT LEVEL MANAGEMENT COMPANY, LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
$0 RAUM · 5 reps · 312-726-0140 · projectlevel.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
PEAK XV PARTNERS OPERATIONS LLC (TRIANON, Mauritius) is newly SEC-registered with $14.96B RAUM and 50 advisory reps. IAPD ↗foreign
$14.96B RAUM · 50 reps · +230 467 3000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
TWENTYFOUR ASSET MANAGEMENT LLP (LONDON, United Kingdom) is newly SEC-registered with $26.50B RAUM and 24 advisory reps. IAPD ↗foreign
$26.50B RAUM · 24 reps · 44 207 015 8905 · twentyfouram.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
CANSO INVESTMENT COUNSEL LTD. (RICHMOND HILL, ONTARIO, Canada) is newly SEC-registered with $37.76B RAUM and 29 advisory reps. IAPD ↗foreign
$37.76B RAUM · 29 reps · 1-905-881-8853 · cansofunds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
MARCHANT (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · +44 020 7002 7944
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
H.G. STRUDWICK & COMPANY (LONDON, United Kingdom) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · (212) 293-1031 · hgstrudwick.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 81 Count of additional offices increased.
55
BALDWIN WEALTH PARTNERS, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$2.51B RAUM · 14 reps · (508) 748-0800 · baldwin-llc.com
Office IT & facilitiesCRMRecruiting & transitions
55
BRADLEY FOSTER & SARGENT INC added office(s): 6 -> 8 additional locations. IAPD ↗
$7.68B RAUM · 30 reps · 860-527-8050 · bfsinvest.com
Office IT & facilitiesCRMRecruiting & transitions
55
SAVANT WEALTH MANAGEMENT added office(s): 42 -> 43 additional locations. IAPD ↗
$29.65B RAUM · 178 reps · 815-227-0300 · savantwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
EAGLE GLOBAL ADVISORS LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$2.46B RAUM · 10 reps · 713-952-3550 · eagleglobal.com
Office IT & facilitiesCRMRecruiting & transitions
55
INTELLICENTS INVESTMENT SOLUTIONS INC added office(s): 9 -> 10 additional locations. IAPD ↗
$7.36B RAUM · 46 reps · 507-377-2919
Office IT & facilitiesCRMRecruiting & transitions
55
PRIVATE CLIENT SERVICES, LLC added office(s): 20 -> 22 additional locations. IAPD ↗
$1.05B RAUM · 50 reps · 502-451-0600
Office IT & facilitiesCRMRecruiting & transitions
55
WALDRON PRIVATE WEALTH added office(s): 2 -> 3 additional locations. IAPD ↗
$4.52B RAUM · 41 reps · 412-221-1005
Office IT & facilitiesCRMRecruiting & transitions
55
PARALLEL ADVISORS, LLC added office(s): 17 -> 18 additional locations. IAPD ↗
$8.74B RAUM · 64 reps · 866-627-6984 · paralleladvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
ROYAL FUND MANAGEMENT, LLC added office(s): 89 -> 90 additional locations. IAPD ↗
$1.31B RAUM · 83 reps · 352-750-1637
Office IT & facilitiesCRMRecruiting & transitions
55
COMPASS ION ADVISORS, LLC added office(s): 15 -> 16 additional locations. IAPD ↗
$1.33B RAUM · 15 reps · (610) 228-2200 · ionadv.com
Office IT & facilitiesCRMRecruiting & transitions
55
REVISOR WEALTH MANAGEMENT LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$2.06B RAUM · 7 reps · 330-864-9516
Office IT & facilitiesCRMRecruiting & transitions
55
MCADAM LLC added office(s): 68 -> 70 additional locations. IAPD ↗
$2.29B RAUM · 138 reps · (888) 614-5323
Office IT & facilitiesCRMRecruiting & transitions
55
SUMMIT FINANCIAL WEALTH ADVISORS added office(s): 3 -> 5 additional locations. IAPD ↗
$1.42B RAUM · 12 reps · 337-232-1141
Office IT & facilitiesCRMRecruiting & transitions
55
ALPHACORE CAPITAL LLC added office(s): 7 -> 12 additional locations. IAPD ↗
$6.06B RAUM · 42 reps · 858-875-4100
Office IT & facilitiesCRMRecruiting & transitions
55
FIRST PACIFIC FINANCIAL, INC. added office(s): 3 -> 4 additional locations. IAPD ↗
$1.51B RAUM · 18 reps · (360) 254-2585 · fp-financial.com
Office IT & facilitiesCRMRecruiting & transitions
55
EVERSOURCE WEALTH ADVISORS, LLC added office(s): 25 -> 27 additional locations. IAPD ↗
$3.95B RAUM · 40 reps · 205-982-5515 · cornerstone360advisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
CS MCKEE added office(s): 0 -> 1 additional locations. IAPD ↗
$10.31B RAUM · 20 reps · 412-566-1234 · csmckee.com
Office IT & facilitiesCRMRecruiting & transitions
55
CW ADVISORS, LLC added office(s): 22 -> 26 additional locations. IAPD ↗
$9.30B RAUM · 62 reps · (617) 428-7600 · cwadvisorsgroup.com
Office IT & facilitiesCRMRecruiting & transitions
55
TURTLE CREEK WEALTH ADVISORS, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$1.71B RAUM · 19 reps · 214-214-3110
Office IT & facilitiesCRMRecruiting & transitions
55
UNITED ADVISOR GROUP added office(s): 23 -> 24 additional locations. IAPD ↗
$1.09B RAUM · 43 reps · 888.242.4912 · thestrategicfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
BRAND ASSET MANAGEMENT GROUP, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$930.4M RAUM · 13 reps · 636-532-7333
Office IT & facilitiesCRMRecruiting & transitions
53
SK WEALTH MANAGEMENT, LLC added office(s): 0 -> 4 additional locations. IAPD ↗
$555.3M RAUM · 4 reps · 401-331-1575 · skwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
ROEHL & YI INVESTMENT ADVISORS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$857.8M RAUM · 11 reps · 541-683-2085 · roehl-yi.com
Office IT & facilitiesCRMRecruiting & transitions
53
INVESTMENT ADVISORY GROUP LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$994.4M RAUM · 5 reps · 781-826-1235 · maritimewealthadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
INTEGRIS WEALTH MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$635.1M RAUM · 11 reps · 831-333-1717
Office IT & facilitiesCRMRecruiting & transitions
53
SHARPER & GRANITE LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$318.3M RAUM · 4 reps · 310-426-2909 · sharpergranite.com
Office IT & facilitiesCRMRecruiting & transitions
53
TORREY GROWTH & INCOME ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$322.2M RAUM · 2 reps · 760-274-2744 · torreygrowth.com
Office IT & facilitiesCRMRecruiting & transitions
53
THE MARSHALL FINANCIAL GROUP LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$593.0M RAUM · 11 reps · (410) 563-1190
Office IT & facilitiesCRMRecruiting & transitions
53
ESSEX PRIVATE WEALTH MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$293.6M RAUM · 4 reps · (978) 887-5981 · huntwicke.com
Office IT & facilitiesCRMRecruiting & transitions
53
CMH WEALTH MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$774.0M RAUM · 5 reps · (603) 379-8161
Office IT & facilitiesCRMRecruiting & transitions
53
BLACK CORAL FINANCIAL ADVISORS, LLC added office(s): 0 -> 5 additional locations. IAPD ↗
$936.0M RAUM · 6 reps · 973-352-8600 · blackcoralfa.com
Office IT & facilitiesCRMRecruiting & transitions
53
INTEGRATED FINANCIAL STRATEGIES, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$455.0M RAUM · 6 reps · 704-643-5000 · ifsinvest.com
Office IT & facilitiesCRMRecruiting & transitions
53
OAK GROVE CAPITAL, LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$616.2M RAUM · 2 reps · 412-515-8899
Office IT & facilitiesCRMRecruiting & transitions
53
VIZCAYA CAPITAL, LLC added office(s): 1 -> 3 additional locations. IAPD ↗
$529.8M RAUM · 5 reps · 305-602-5725 · vizcayacapital.com
Office IT & facilitiesCRMRecruiting & transitions
53
SUMMIT FINANCIAL added office(s): 0 -> 3 additional locations. IAPD ↗
$255.0M RAUM · 6 reps · 410-584-9600
Office IT & facilitiesCRMRecruiting & transitions
53
LIFEGUIDE FINANCIAL ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$455.6M RAUM · 14 reps · (717) 796-1700
Office IT & facilitiesCRMRecruiting & transitions
53
XYPN INVEST added office(s): 25 -> 26 additional locations. IAPD ↗
$321.0M RAUM · 27 reps · (360) 301-7579
Office IT & facilitiesCRMRecruiting & transitions
53
ROYAL OAK FINANCIAL ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$309.2M RAUM · 7 reps · 248-709-6134
Office IT & facilitiesCRMRecruiting & transitions
53
VEERY CAPITAL, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$802.0M RAUM · 6 reps · (302) 660-3350 · veerycapital.com
Office IT & facilitiesCRMRecruiting & transitions
53
CONVERGENCE FINANCIAL added office(s): 10 -> 11 additional locations. IAPD ↗
$703.4M RAUM · 13 reps · (573) 818-2264
Office IT & facilitiesCRMRecruiting & transitions
53
BROOKLYN INVESTMENT GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$522.7M RAUM · 6 reps · 617-319-7229
Office IT & facilitiesCRMRecruiting & transitions
53
WEST WEALTH GROUP, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$472.1M RAUM · 9 reps · 949-682-9105
Office IT & facilitiesCRMRecruiting & transitions
53
49 FINANCIAL added office(s): 9 -> 10 additional locations. IAPD ↗
$871.4M RAUM · 128 reps · 214-563-1190
Office IT & facilitiesCRMRecruiting & transitions
53
AMERITY WEALTH MANAGEMENT, LLC added office(s): 15 -> 17 additional locations. IAPD ↗
$277.3M RAUM · 16 reps · (863) 683-1750 · ameritywm.com
Office IT & facilitiesCRMRecruiting & transitions
53
BKM WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$582.0M RAUM · 5 reps · 262-955-7147 · bkmwm.com
Office IT & facilitiesCRMRecruiting & transitions
53
EVERNEST FINANCIAL ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$761.2M RAUM · 4 reps · 317-556-1015 · evernestfa.com
Office IT & facilitiesCRMRecruiting & transitions
53
PARKWOODS WEALTH PARTNERS, LLC added office(s): 4 -> 7 additional locations. IAPD ↗
$408.6M RAUM · 3 reps · (877) 278-2716 · parkwoodswealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
UNITING WEALTH PARTNERS added office(s): 4 -> 5 additional locations. IAPD ↗
$544.7M RAUM · 7 reps · 479-364-0686 · unitingwealthpartners.com
Office IT & facilitiesCRMRecruiting & transitions
50
LIFECOURSE CAPITAL, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$159.3M RAUM · 4 reps · 256-489-4400 · lccapital.net
Office IT & facilitiesCRMRecruiting & transitions
50
FEDERMANN FINANCIAL ADVISORS INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$89.3M RAUM · 2 reps · 631-981-1904 · fedadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
VISTICA WEALTH ADVISORS, LLC added office(s): 2 -> 4 additional locations. IAPD ↗
$131.6M RAUM · 4 reps · 760-854-4003
Office IT & facilitiesCRMRecruiting & transitions
50
MONEY MANAGERS, INC. added office(s): 2 -> 3 additional locations. IAPD ↗
$53.2M RAUM · 3 reps · (725) 254-5220
Office IT & facilitiesCRMRecruiting & transitions
50
TANDEM WEALTH ADVISORS added office(s): 2 -> 3 additional locations. IAPD ↗
$223.4M RAUM · 7 reps · 602-297-8600
Office IT & facilitiesCRMRecruiting & transitions
50
INVESTALL, INC. added office(s): 0 -> 2 additional locations. IAPD ↗
$53.1M RAUM · 9 reps · 212-995-9191
Office IT & facilitiesCRMRecruiting & transitions
50
ARI GROUP, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$125.8M RAUM · 4 reps · (212) 419-0400 · arinvgroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
KISSLING FINANCIAL SERVICES, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$112.8M RAUM · 1 reps · 724-667-1617 · kisslingfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
BLACK KNIGHT WEALTH MANAGEMENT, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$240.0M RAUM · 6 reps · 972-786-6527 · opgadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
ELYSIUM WEALTH MANAGEMENT, LLC added office(s): 2 -> 5 additional locations. IAPD ↗
$159.2M RAUM · 8 reps · 801-735-8407 · saltwealthpartners.com
Office IT & facilitiesCRMRecruiting & transitions
50
BLUEPRINT FINANCIAL ADVISORS added office(s): 13 -> 14 additional locations. IAPD ↗
$201.5M RAUM · 17 reps · 844-200-2568 · bluegrasscapadv.com
Office IT & facilitiesCRMRecruiting & transitions
50
LUMIDA WEALTH MANAGEMENT LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$83.1M RAUM · 1 reps · (833) 512-5111 · podcasts.google.com
Office IT & facilitiesCRMRecruiting & transitions
50
ROBINHOOD ASSET MANAGEMENT added office(s): 1 -> 5 additional locations. IAPD ↗
$158.7M RAUM · 47 reps · 650-940-2700 EXT 31450
Office IT & facilitiesCRMRecruiting & transitions
50
RIGDEN CAPITAL STRATEGIES added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 3 reps · 303-351-1618 · rigdencapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
CATALYST WEALTH MANAGEMENT LLC added office(s): 13 -> 14 additional locations. IAPD ↗
$47.7M RAUM · 14 reps · 832-657-7735 · catalystfg.com
Office IT & facilitiesCRMRecruiting & transitions
50
BALANCE WEALTH added office(s): 2 -> 8 additional locations. IAPD ↗
$187.6M RAUM · 8 reps · (216) 965-5045 · balancewealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
TERRAFIRMA WEALTH PARTNERS added office(s): 1 -> 2 additional locations. IAPD ↗
$83.0M RAUM · 1 reps · 925-587-8882 · terrafirmawealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
BEATRICE ADVISORS LP added office(s): 0 -> 1 additional locations. IAPD ↗
$64.6M RAUM · 2 reps · 212-688-1261
Office IT & facilitiesCRMRecruiting & transitions
50
INFLECTION CAPITAL MANAGEMENT, LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$188.5M RAUM · 5 reps · 415-805-8682
Office IT & facilitiesCRMRecruiting & transitions
50
FIVE ELEVEN FAMILY OFFICE LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$131.4M RAUM · 4 reps · 917-685-1360 · five11partners.com
Office IT & facilitiesCRMRecruiting & transitions
50
W&S ADVISORY SERVICES, LLC added office(s): 0 -> 3 additional locations. IAPD ↗
$0 RAUM · 0 reps · 513-362-8176 · meetfabric.com
Office IT & facilitiesCRMRecruiting & transitions
50
PENDULUM WEALTH PARTNERS added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 9 reps · 630-861-6143 · pendulum.partners
Office IT & facilitiesCRMRecruiting & transitions
45
BAMCO, INC. added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$38.17B RAUM · 44 reps · 212-583-2000 · baroncapitalgroup.com
Office IT & facilitiesCRMRecruiting & transitions
40
SIGULER GUFF ADVISERS LLC added office(s): 11 -> 12 additional locations. IAPD ↗fund
$16.87B RAUM · 66 reps · 212-332-5100 · sigulerguff.com
Office IT & facilitiesCRMRecruiting & transitions
40
ZAIS GROUP added office(s): 0 -> 1 additional locations. IAPD ↗fund
$5.41B RAUM · 21 reps · 732-530-3610 · zaisesg.net
Office IT & facilitiesCRMRecruiting & transitions
40
AFFINIUS CAPITAL added office(s): 7 -> 8 additional locations. IAPD ↗fund
$10.99B RAUM · 279 reps · 212-605-1000 · affiniuscapital.com
Office IT & facilitiesCRMRecruiting & transitions
40
CLEARLAKE CAPITAL ASSET MANAGEMENT, LLC added office(s): 2 -> 3 additional locations. IAPD ↗fund
$2.08B RAUM · 36 reps · (310) 400-8800 · whitestaram.com
Office IT & facilitiesCRMRecruiting & transitions
40
SUMMITTX CAPITAL, L.P. added office(s): 0 -> 1 additional locations. IAPD ↗fund
$8.25B RAUM · 39 reps · 817-769-1578 · summittxcapital.com
Office IT & facilitiesCRMRecruiting & transitions
40
ELDRIDGE GP1 ADVISERS added office(s): 1 -> 3 additional locations. IAPD ↗institutional
$0 RAUM · 20 reps · (212) 895-2000 · eldridge.com
Office IT & facilitiesCRMRecruiting & transitions
38
MAKARORA added office(s): 1 -> 2 additional locations. IAPD ↗fund
$353.3M RAUM · 13 reps · 646-647-4133
Office IT & facilitiesCRMRecruiting & transitions
35
NOVAWAVE CAPITAL added office(s): 0 -> 5 additional locations. IAPD ↗fund
$90.0M RAUM · 6 reps · 781-710-3455 · novawavecapital.com
Office IT & facilitiesCRMRecruiting & transitions
23
AUBREY CAPITAL MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗foreign
$963.6M RAUM · 11 reps · +44 131 226 2083
Office IT & facilitiesCRMRecruiting & transitions
20
ALETHEIA ANALYST NETWORK LIMITED added office(s): 2 -> 3 additional locations. IAPD ↗foreign
$0 RAUM · 21 reps · 852 25347432 · aletheia-capital.com
Office IT & facilitiesCRMRecruiting & transitions
deregistered — 54 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
CALLAN CAPITAL, LLC (LA JOLLA, CA) left the SEC roster (was $2.33B RAUM, 8 reps). IAPD ↗
$2.33B RAUM · 8 reps · 858-551-3800
Recruiting & transitionsM&A & valuation
65
FOUNDRY PARTNERS, LLC (CLEVELAND, OH) left the SEC roster (was $2.05B RAUM, 10 reps). IAPD ↗
$2.05B RAUM · 10 reps · 612-376-2800 · foundrypartnersllc.com
Recruiting & transitionsM&A & valuation
65
TRANSFORM WEALTH, LLC (GREENWOOD VILLAGE, CO) left the SEC roster (was $3.38B RAUM, 18 reps). IAPD ↗
$3.38B RAUM · 18 reps · 303-741-2560 · transformwealth.com
Recruiting & transitionsM&A & valuation
63
TAYLOR SECURITIES, INC. (BRENTWOOD, TN) left the SEC roster (was $283.8M RAUM, 4 reps). IAPD ↗
$283.8M RAUM · 4 reps · 615-372-1356 · taylorwealthsolutions.com
Recruiting & transitionsM&A & valuation
63
SELWAY ASSET MANAGEMENT, INC. (BOISE, ID) left the SEC roster (was $315.2M RAUM, 3 reps). IAPD ↗
$315.2M RAUM · 3 reps · 208-343-7556 · selwayinvest.com
Recruiting & transitionsM&A & valuation
63
BEACH INVESTMENT COUNSEL, INC (WEST CONSHOHOCKEN, PA) left the SEC roster (was $981.7M RAUM, 6 reps). IAPD ↗
$981.7M RAUM · 6 reps · 610-940-1111
Recruiting & transitionsM&A & valuation
63
NBS FINANCIAL SERVICES, INC. (WESTLAKE VILLAGE, CA) left the SEC roster (was $273.3M RAUM, 5 reps). IAPD ↗
$273.3M RAUM · 5 reps · 805.497.2497 · nbscompanies.com
Recruiting & transitionsM&A & valuation
63
WOLF GROUP CAPITAL ADVISORS (FAIRFAX, VA) left the SEC roster (was $526.8M RAUM, 11 reps). IAPD ↗
$526.8M RAUM · 11 reps · (703) 652-6255
Recruiting & transitionsM&A & valuation
63
RIGGS CAPITAL MANAGEMENT, LLC (AMERICAN FORK, UT) left the SEC roster (was $306.8M RAUM, 6 reps). IAPD ↗
$306.8M RAUM · 6 reps · 801-221-7923 · riggscapmgt.com
Recruiting & transitionsM&A & valuation
63
EVEREST CONSULTANTS, LLC (SYRACUSE, NY) left the SEC roster (was $633.1M RAUM, 3 reps). IAPD ↗
$633.1M RAUM · 3 reps · 315-234-8173 · everestconsultants.net
Recruiting & transitionsM&A & valuation
63
MILLER EQUITY CAPITAL ADVISORS (IRVING, TX) left the SEC roster (was $402.5M RAUM, 4 reps). IAPD ↗
$402.5M RAUM · 4 reps · (972) 490-4345 · mecadvisors.com
Recruiting & transitionsM&A & valuation
63
GENEX CONSULTING (KIRKWOOD, MO) left the SEC roster (was $635.0M RAUM, 18 reps). IAPD ↗
$635.0M RAUM · 18 reps · 314-590-5900
Recruiting & transitionsM&A & valuation
63
BRAY CAPITAL ADVISORS, LLC (NAPLES, FL) left the SEC roster (was $413.4M RAUM, 3 reps). IAPD ↗
$413.4M RAUM · 3 reps · 239-451-6008 · braycapitaladvisors.com
Recruiting & transitionsM&A & valuation
63
COOK WEALTH, LLC (RALEIGH, NC) left the SEC roster (was $529.4M RAUM, 11 reps). IAPD ↗
$529.4M RAUM · 11 reps · (919) 784-9100
Recruiting & transitionsM&A & valuation
63
BOULEVARD FAMILY WEALTH (BEVERLY HILLS, CA) left the SEC roster (was $933.0M RAUM, 3 reps). IAPD ↗
$933.0M RAUM · 3 reps · 877-556-5550 · boulevardfw.com
Recruiting & transitionsM&A & valuation
63
UNIONVIEW WEALTH PARTNERS (SEATTLE, WA) left the SEC roster (was $291.5M RAUM, 3 reps). IAPD ↗
$291.5M RAUM · 3 reps · 206-708-1048 · unionviewwealthpartners.com
Recruiting & transitionsM&A & valuation
60
TRENT CAPITAL MANAGEMENT INC (GREENSBORO, NC) left the SEC roster (was $140.9M RAUM, 1 reps). IAPD ↗
$140.9M RAUM · 1 reps · 336-282-9302
Recruiting & transitionsM&A & valuation
60
CROW FINANCIAL ADVISORS (ALBUQUERQUE, NM) left the SEC roster (was $143.7M RAUM, 2 reps). IAPD ↗
$143.7M RAUM · 2 reps · 505-243-2281
Recruiting & transitionsM&A & valuation
60
BERSOT CAPITAL MANAGEMENT, LLC (TIBURON, CA) left the SEC roster (was $186.2M RAUM, 2 reps). IAPD ↗
$186.2M RAUM · 2 reps · (415) 797-6925 · bersotcm.com
Recruiting & transitionsM&A & valuation
60
NAVIGEN WEALTH MANAGEMENT (GREEN BAY, WI) left the SEC roster (was $187.8M RAUM, 2 reps). IAPD ↗
$187.8M RAUM · 2 reps · 920-676-3334 · navigenwealth.com
Recruiting & transitionsM&A & valuation
60
RH BUCHANAN (ANCHORAGE, AK) left the SEC roster (was $165.2M RAUM, 2 reps). IAPD ↗
$165.2M RAUM · 2 reps · (907) 225-0833 · rhbuchanan.com
Recruiting & transitionsM&A & valuation
60
CABRERA, ENIER J (location n/a) left the SEC roster (was $1.0M RAUM, 1 reps). IAPD ↗
$1.0M RAUM · 1 reps · 00584241162990
Recruiting & transitionsM&A & valuation
60
ADVANTAGE WEALTH ADVISORS (ALAMO, CA) left the SEC roster (was $136.4M RAUM, 6 reps). IAPD ↗
$136.4M RAUM · 6 reps · (925) 837-1600 · advantagewealth.com
Recruiting & transitionsM&A & valuation
60
NABERS WEALTH LLC (SCOTTSDALE, AZ) left the SEC roster (was $21.8M RAUM, 1 reps). IAPD ↗
$21.8M RAUM · 1 reps · 480-401-1787 · naberswealth.com
Recruiting & transitionsM&A & valuation
60
TAPP ENGINE ADVISORS LLC (QUINCY, MA) left the SEC roster (was $15 RAUM, 2 reps). IAPD ↗
$15 RAUM · 2 reps · 617-221-6545
Recruiting & transitionsM&A & valuation
60
JACKSON & ASSOCIATES, INC. (ALBUQUERQUE, NM) left the SEC roster (was $119.8M RAUM, 2 reps). IAPD ↗
$119.8M RAUM · 2 reps · 505-944-8404 · jacksonrfw.com
Recruiting & transitionsM&A & valuation
60
RADIANT GLOBAL INVESTORS LLC (location n/a) left the SEC roster (was $53.3M RAUM, 4 reps). IAPD ↗
$53.3M RAUM · 4 reps · 925-899-3600
Recruiting & transitionsM&A & valuation
60
BRICKSTONE ADVISORS (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $1.6M RAUM, 1 reps). IAPD ↗
$1.6M RAUM · 1 reps · 954-944-9072 · brickstoneadvisors.com
Recruiting & transitionsM&A & valuation
60
INTRINSIC VALUE CAPITAL, LLC (LITTLE ROCK, AR) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 501-563-5929
Recruiting & transitionsM&A & valuation
60
STOCK MARK3T (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (214) 310-0333 · stockmark3t.com
Recruiting & transitionsM&A & valuation
60
SAAY FINANCE (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (647) 801-4618 · saay.finance
Recruiting & transitionsM&A & valuation
60
MAVROS CAPITAL MANAGEMENT, LLC (LOS ANGELES, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · (424) 522-2524 · mavroscapitalgroup.com
Recruiting & transitionsM&A & valuation
60
TRUSS (SAN FRANCISCO, CA) left the SEC roster (was $1,000 RAUM, 1 reps). IAPD ↗
$1,000 RAUM · 1 reps · (415) 649-9317 · trusspayments.com
Recruiting & transitionsM&A & valuation
55
SOUTHERN RIDGES CAPITAL (USA) LLC (NEW YORK, NY) left the SEC roster (was $1.68B RAUM, 10 reps). IAPD ↗institutional
$1.68B RAUM · 10 reps · +1 332 910 5167
Recruiting & transitionsM&A & valuation
53
PARADOXIOM CAPITAL (STAMFORD, CT) left the SEC roster (was $489.3M RAUM, 3 reps). IAPD ↗institutional
$489.3M RAUM · 3 reps · 267-975-4728
Recruiting & transitionsM&A & valuation
50
CARDINAL INVESTMENT ADVISORS, L.L.C. (CHICAGO, IL) left the SEC roster (was $0 RAUM, 40 reps). IAPD ↗institutional
$0 RAUM · 40 reps · 312-212-4000 · cia-llc.com
Recruiting & transitionsM&A & valuation
50
PLEXUS FINANCIAL SERVICES, LLC (DEER PARK, IL) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 847-307-6222
Recruiting & transitionsM&A & valuation
50
ASCRIBE CAPITAL LLC (NEW YORK CITY, NY) left the SEC roster (was $1.09B RAUM, 4 reps). IAPD ↗fund
$1.09B RAUM · 4 reps · 212-476-8000
Recruiting & transitionsM&A & valuation
50
AS BIRCH GROVE LP (NEW YORK, NY) left the SEC roster (was $6.04B RAUM, 18 reps). IAPD ↗fund
$6.04B RAUM · 18 reps · 212-753-7510
Recruiting & transitionsM&A & valuation
50
WEALTHSHIELD LLC (CARY, NC) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 919-948-4453 · wealthshield.co
Recruiting & transitionsM&A & valuation
50
GLP CAPITAL PARTNERS LLC (SANTA MONICA, CA) left the SEC roster (was $9.42B RAUM, 30 reps). IAPD ↗fund
$9.42B RAUM · 30 reps · 213-819-9450 · gcp.com
Recruiting & transitionsM&A & valuation
50
WAGN ADVISORY SERVICES, LLC (MISSION, KS) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 513-295-6777
Recruiting & transitionsM&A & valuation
50
IRRADIANT PARTNERS, LP (SANTA MONICA, CA) left the SEC roster (was $13.03B RAUM, 28 reps). IAPD ↗fund
$13.03B RAUM · 28 reps · 424-222-8380
Recruiting & transitionsM&A & valuation
50
VEGTECH LLC (location n/a) left the SEC roster (was $6.2M RAUM, 3 reps). IAPD ↗institutional
$6.2M RAUM · 3 reps · 310-892-1110 · vegtechinvest.com
Recruiting & transitionsM&A & valuation
50
CARO INVESTORS (CHEVY CHASE, MD) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 571.679.3476 · caroinvestors.com
Recruiting & transitionsM&A & valuation
50
TESSELLIS CAPITAL MANAGEMENT LP (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗institutional
$0 RAUM · 3 reps · 646-830-0976 · tesselliscapital.com
Recruiting & transitionsM&A & valuation
50
PRUNE (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 855-778-6367 · prune.com
Recruiting & transitionsM&A & valuation
48
TCA FUND MANAGEMENT GROUP (AVENTURA, FL) left the SEC roster (was $496.8M RAUM, 15 reps). IAPD ↗fund
$496.8M RAUM · 15 reps · 786-323-1650 · tcaglobalfund.com
Recruiting & transitionsM&A & valuation
45
LOMBARD (DALY CITY, CA) left the SEC roster (was $224.0M RAUM, 6 reps). IAPD ↗fund
$224.0M RAUM · 6 reps · 415-397-5900 · lombardinvestments.com
Recruiting & transitionsM&A & valuation
45
AON ADVANTAGE FUNDS LLC (CHICAGO, IL) left the SEC roster (was $148.7M RAUM, 8 reps). IAPD ↗fund
$148.7M RAUM · 8 reps · 312-381-0132 · aon.com
Recruiting & transitionsM&A & valuation
45
IPCC ADVISOR, LP (SANTA MONICA, CA) left the SEC roster (was $191.3M RAUM, 28 reps). IAPD ↗fund
$191.3M RAUM · 28 reps · 424-222-8380
Recruiting & transitionsM&A & valuation
45
PF ADVISORS LLC (LAKEWOOD, CO) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · 720-751-4795 · petrofunders.com
Recruiting & transitionsM&A & valuation
30
STOCK MARKETS INSTITUTE (MOSCOW, Russia) left the SEC roster (was $4.0M RAUM, 2 reps). IAPD ↗foreign
$4.0M RAUM · 2 reps · +1 941 306 1819 · beneficious.com
Recruiting & transitionsM&A & valuation
30
BRITE ADVISORS PTY LTD (SYDNEY, Australia) left the SEC roster (was $0 RAUM, 3 reps). IAPD ↗foreign
$0 RAUM · 3 reps · 61408028205 · brite-advisors.com
Recruiting & transitionsM&A & valuation
disclosure added — 39 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 7 (179 -> 186). IAPD ↗
$352.61B RAUM · 8097 reps · 800-999-2000 · wa.me
ComplianceMarketing & brand
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 1 (157 -> 158). IAPD ↗
$171.21B RAUM · 3045 reps · 314-342-2000 · mancingwm.com
ComplianceMarketing & brand
55
LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 2 (341 -> 343). IAPD ↗
$618.92B RAUM · 28347 reps · 704-733-3300
ComplianceMarketing & brand
55
PRIMERICA ADVISORS's Item 11 disclosure-reporting entries rose by 1 (33 -> 34). IAPD ↗
$11.16B RAUM · 3732 reps · 833-786-0550
ComplianceMarketing & brand
55
MML INVESTORS SERVICES, LLC's Item 11 disclosure-reporting entries rose by 2 (74 -> 76). IAPD ↗
$90.02B RAUM · 4935 reps · (413)737-8400
ComplianceMarketing & brand
55
WELLS FARGO ADVISORS's Item 11 disclosure-reporting entries rose by 1 (642 -> 643). IAPD ↗
$606.04B RAUM · 8410 reps · 314-875-3000
ComplianceMarketing & brand
55
OSAIC WEALTH, INC.'s Item 11 disclosure-reporting entries rose by 6 (132 -> 138). IAPD ↗
$200.27B RAUM · 6276 reps · 800-821-5100
ComplianceMarketing & brand
55
VALIC FINANCIAL ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 8 (53 -> 61). IAPD ↗
$26.37B RAUM · 1239 reps · 866-544-4968
ComplianceMarketing & brand
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC.'s Item 11 disclosure-reporting entries rose by 10 (127 -> 137). IAPD ↗
$193.11B RAUM · 92 reps · 212-454-4500
ComplianceMarketing & brand
55
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC's Item 11 disclosure-reporting entries rose by 1 (15 -> 16). IAPD ↗
$2990.16B RAUM · 564 reps · (949) 720-6000 · pimco.com
ComplianceMarketing & brand
55
NORTHEAST INVESTMENT MANAGEMENT INC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$2.94B RAUM · 9 reps · 617-523-3588 · northeastinvest.com
ComplianceMarketing & brand
55
CETERA INVESTMENT ADVISERS LLC's Item 11 disclosure-reporting entries rose by 3 (49 -> 52). IAPD ↗
$163.79B RAUM · 6825 reps · 310-257-7880 · ceteraholdings.com
ComplianceMarketing & brand
55
BARINGS LLC's Item 11 disclosure-reporting entries rose by 2 (6 -> 8). IAPD ↗
$345.21B RAUM · 419 reps · 704-805-7200
ComplianceMarketing & brand
55
VANGUARD ADVISERS, INC.'s Item 11 disclosure-reporting entries rose by 15 (53 -> 68). IAPD ↗
$300.43B RAUM · 1567 reps · 610-669-1000
ComplianceMarketing & brand
55
RREEF AMERICA L.L.C.'s Item 11 disclosure-reporting entries rose by 10 (127 -> 137). IAPD ↗
$29.47B RAUM · 135 reps · 312-537-7000
ComplianceMarketing & brand
55
ADVANCE CAPITAL MANAGEMENT INC's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
$4.50B RAUM · 30 reps · 248-350-8543 · acadviser.com
ComplianceMarketing & brand
55
PINNACLE INVESTMENTS, LLC's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
$1.06B RAUM · 50 reps · 315-251-1101
ComplianceMarketing & brand
55
OSAIC ADVISORY SERVICES, LLC's Item 11 disclosure-reporting entries rose by 2 (12 -> 14). IAPD ↗
$12.47B RAUM · 389 reps · 866-580-8219 · indiconinc.com
ComplianceMarketing & brand
55
WORLD INVESTMENT ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 23 (8 -> 31). IAPD ↗
$56.28B RAUM · 156 reps · 888-201-5488 · swm3.com
ComplianceMarketing & brand
55
VANGUARD PERSONALIZED INDEXING MANAGEMENT's Item 11 disclosure-reporting entries rose by 14 (51 -> 65). IAPD ↗
$7.26B RAUM · 4 reps · 844-317-5190 · advisors.vanguard.com
ComplianceMarketing & brand
55
VENTURE VISIONARY PARTNERS LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$4.36B RAUM · 16 reps · (419) 464-7401
ComplianceMarketing & brand
53
ELEMENT WEALTH, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$641.9M RAUM · 7 reps · 601-957-6006 · myelementwealth.com
ComplianceMarketing & brand
50
HANSEN & ASSOCIATES FINANCIAL GROUP INC.'s Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$229.8M RAUM · 4 reps · (916) 706-1234
ComplianceMarketing & brand
50
STEADTRUST's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$0 RAUM · 5 reps · 972-876-8422 · concordfinancialgroup.com
ComplianceMarketing & brand
45
SUNAMERICA ASSET MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (28 -> 30). IAPD ↗institutional
$57.42B RAUM · 13 reps · 201-324-6300 · corebridgefinancial.com
ComplianceMarketing & brand
45
DBX ADVISORS LLC's Item 11 disclosure-reporting entries rose by 10 (127 -> 137). IAPD ↗institutional
$24.91B RAUM · 11 reps · 212-454-4500
ComplianceMarketing & brand
45
MML INVESTMENT ADVISERS, LLC's Item 11 disclosure-reporting entries rose by 2 (10 -> 12). IAPD ↗institutional
$41.00B RAUM · 15 reps · 413-744-1000
ComplianceMarketing & brand
40
DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 10 (691 -> 701). 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 (61 -> 75). 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 (61 -> 75). IAPD ↗fund
$491.43B RAUM · 84 reps · 610-669-1000
ComplianceMarketing & brand
40
BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 4 (129 -> 133). IAPD ↗institutional
$0 RAUM · 319 reps · 646-743-2734 · bankofamerica.com
ComplianceMarketing & brand
38
SUMMIT PEAK INVESTMENTS, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$807.5M RAUM · 6 reps · 817-350-4312 · summitpeak.com
ComplianceMarketing & brand
25
DWS INTERNATIONAL GMBH's Item 11 disclosure-reporting entries rose by 10 (127 -> 137). IAPD ↗foreign
$178.52B RAUM · 71 reps · 49 69 910 12371 · rreefpropertytrust.com
ComplianceMarketing & brand
25
BARING INTERNATIONAL INVESTMENT LTD's Item 11 disclosure-reporting entries rose by 2 (6 -> 8). IAPD ↗foreign
$17.06B RAUM · 170 reps · +44(0)20-7628-6000
ComplianceMarketing & brand
25
DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 10 (126 -> 136). 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 12 (128 -> 140). 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 10 (127 -> 137). 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 (58 -> 72). 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 (58 -> 72). IAPD ↗foreign
$92.43B RAUM · 55 reps · 61 3 8888 3888
ComplianceMarketing & brand
pending approved — 29 120-day provisional registration became a full approval.
75
SLK PRIVATE WEALTH MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$1.65B RAUM · 8 reps · (424) 500-4613
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
75
PARKWAY WEALTH MANAGEMENT GROUP, LLC's provisional registration is now fully approved. IAPD ↗
$1.09B RAUM · 16 reps · 972-502-9340
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
HENDERSON BROTHERS FINANCIAL PARTNERS LLC's provisional registration is now fully approved. IAPD ↗
$327.3M RAUM · 22 reps · 412-261-3333 · hendersonbrothersfinancialpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
THREE ARCH WEALTH MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$503.0M RAUM · 4 reps · (949) 400-7107 · threearchwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
NIGHT SQUARED LP's provisional registration is now fully approved. IAPD ↗
$355.2M RAUM · 9 reps · 917-451-0055 · nightsquared.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
SELBY WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$494.6M RAUM · 3 reps · 415-857-9670 · selbywealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
CLARION WEALTH MANAGEMENT PARTNERS's provisional registration is now fully approved. IAPD ↗
$312.4M RAUM · 4 reps · (703) 631-4800 · clarionwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ROBINHOOD ASSET MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$158.7M RAUM · 47 reps · 650-940-2700 EXT 31450
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
GENESIS FINANCIAL GROUP, LLC's provisional registration is now fully approved. IAPD ↗
$102.0M RAUM · 1 reps · 551-284-4023 · genesisfinancialgroupllc.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SANDRO WEALTH MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$101.7M RAUM · 5 reps · 2016613416 · sandrowealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BLUE CURVE ADVISORY, LLC's provisional registration is now fully approved. IAPD ↗
$103.2M RAUM · 1 reps · 410-339-5771 · bluecurveadvisory.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FIVE ELEVEN FAMILY OFFICE LLC's provisional registration is now fully approved. IAPD ↗
$131.4M RAUM · 4 reps · 917-685-1360 · five11partners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
REDWOOD FAMILY WEALTH LLC's provisional registration is now fully approved. IAPD ↗
$221.7M RAUM · 3 reps · 469-965-4001 · redwoodfamilywealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MOOLA COPILOT LLC's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 352-812-4320
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PERSIMMON CAPITAL MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 215-815-4587
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TREEVIEW CAPITAL's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 425-224-2552 · treeview.capital
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CONVERSE TEAM FINANCIAL SERVICES, LLC's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 5 reps · 316-600-4015
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
65
ANCALA PARTNERS LLC's provisional registration is now fully approved. IAPD ↗institutional
$3.12B RAUM · 4 reps · 212-364-5110 · ancala.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
NEWMILE CAPITAL LLC's provisional registration is now fully approved. IAPD ↗institutional
$198.9M RAUM · 5 reps · 703-307-5527 · newmilecapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
SUMMITTX CAPITAL, L.P.'s provisional registration is now fully approved. IAPD ↗fund
$8.25B RAUM · 39 reps · 817-769-1578 · summittxcapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
ELDRIDGE GP1 ADVISERS's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 20 reps · (212) 895-2000 · eldridge.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
WEDBUSH FUND ADVISERS, LLC's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 2 reps · 213-688-8000 · wedbushfunds.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
NASSAU CORAMERICA LLC's provisional registration is now fully approved. IAPD ↗fund
$3.17B RAUM · 6 reps · 310-606-8440 · coramerica.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
AZORIA CAPITAL, INC.'s provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 3 reps · 305-542-9112 · azoriapartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
CORINTHIA GLOBAL MANAGEMENT's provisional registration is now fully approved. IAPD ↗fund
$275.0M RAUM · 13 reps · +1 (980) 418-2215 · corinthiagm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
PACT's provisional registration is now fully approved. IAPD ↗fund
$520.0M RAUM · 8 reps · 646-650-8024 · pactcapitalpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
EYRE STREET CAPITAL's provisional registration is now fully approved. IAPD ↗fund
$344.9M RAUM · 5 reps · 771-772-8856
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
GATEMORE's provisional registration is now fully approved. IAPD ↗fund
$213.7M RAUM · 4 reps · 1 212-251-6700 · gvpclimate.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
SQ CAPITAL LLC's provisional registration is now fully approved. IAPD ↗fund
$125.7M RAUM · 9 reps · 646-435-3720 · sqcapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
relocation — 27 Main office moved to a different city or state.
50
VERIS WEALTH PARTNERS, LLC moved its main office from SAN FRANCISCO, CA to OAKLAND, CA. IAPD ↗
$2.26B RAUM · 14 reps · (415) 814-0580
Office IT & facilitiesMarketing & brand
50
PANDI, LLC moved its main office from LEAWOOD, KS to KANSAS CITY, MO. IAPD ↗
$2.04B RAUM · 6 reps · 913-437-9900 · pandikc.com
Office IT & facilitiesMarketing & brand
48
FIRESTONE CAPITAL MANAGEMENT INC moved its main office from CORAL GABLES, FL to SOUTH MIAMI, FL. IAPD ↗
$710.3M RAUM · 5 reps · (305) 669-2119 · firestonecapital.com
Office IT & facilitiesMarketing & brand
48
DELTA FINANCIAL ADVISORS, L.L.C. moved its main office from NEW ORLEANS, LA to METAIRIE, LA. IAPD ↗
$429.7M RAUM · 2 reps · 504 522-9019 · deltafinad.com
Office IT & facilitiesMarketing & brand
48
PAULSON WEALTH MANAGEMENT INC. moved its main office from WHEATON, IL to WEST PALM BEACH, FL. IAPD ↗
$503.8M RAUM · 5 reps · 407-957-0074
Office IT & facilitiesMarketing & brand
48
BOYUM WEALTH ARCHITECTS LLC moved its main office from MENDOTA HEIGHTS, MN to BLOOMINGTON, MN. IAPD ↗
$316.2M RAUM · 5 reps · 651-289-6444 · myboyum.com
Office IT & facilitiesMarketing & brand
48
BIRCHWOOD FINANCIAL PARTNERS, INC. moved its main office from EDINA, MN to BLOOMINGTON, MN. IAPD ↗
$744.0M RAUM · 10 reps · 952-885-9088
Office IT & facilitiesMarketing & brand
48
HAMILTON WEALTH, LLC moved its main office from ENCINO, CA to LOS ANGELES, CA. IAPD ↗
$553.7M RAUM · 3 reps · 747-208-4300
Office IT & facilitiesMarketing & brand
48
PARKWOODS WEALTH PARTNERS, LLC moved its main office from SYRACUSE, NY to CLAYTON, MO. IAPD ↗
$408.6M RAUM · 3 reps · (877) 278-2716 · parkwoodswealth.com
Office IT & facilitiesMarketing & brand
45
ADVISOR FINANCIAL SERVICES, INC. moved its main office from GLEN ALLEN, VA to CHATHAM, NY. IAPD ↗
$56.0M RAUM · 1 reps · 804-234-8600 · advisor.org
Office IT & facilitiesMarketing & brand
45
AVENTUS INVESTMENT ADVISORS, INC. moved its main office from CORNELIUS, NC to NAPLES, FL. IAPD ↗
$130.4M RAUM · 2 reps · 239-673-0020
Office IT & facilitiesMarketing & brand
45
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC moved its main office from WASHINGTON, D.C., DC to WASHINGTON, DC. IAPD ↗
$225.9M RAUM · 6 reps · 202-780-7726 · grahamcapitalwealth.com
Office IT & facilitiesMarketing & brand
45
GENESIS FINANCIAL GROUP, LLC moved its main office from MAHWAH, NJ to PARAMUS, NJ. IAPD ↗
$102.0M RAUM · 1 reps · 551-284-4023 · genesisfinancialgroupllc.com
Office IT & facilitiesMarketing & brand
45
QUANTCA FINANCIAL moved its main office from DOVER, DE to EDMONDS, WA. IAPD ↗
$10,029 RAUM · 1 reps · 3023215022 · quantca.com
Office IT & facilitiesMarketing & brand
45
ADVISIFI LLC moved its main office from NEW YORK, NY to ST PETERSBURG, FL. IAPD ↗
$0 RAUM · 2 reps · 888 983-2897 · advisifi.co
Office IT & facilitiesMarketing & brand
45
ACTIVA FINANCIAL moved its main office from KEY BISCAYNE, FL to MIAMI, FL. IAPD ↗
$0 RAUM · 1 reps · 305-686-7910
Office IT & facilitiesMarketing & brand
45
CAMBIENT FAMILY OFFICE, LLC moved its main office from FRUITPORT, MI to ADA, MI. IAPD ↗
$0 RAUM · 3 reps · (616) 330-2270
Office IT & facilitiesMarketing & brand
38
VALKYRIE FUNDS LLC moved its main office from BRENTWOOD, TN to NEW YORK, NY. IAPD ↗institutional
$258.6M RAUM · 1 reps · 218-255-9743 · coinshares.com
Office IT & facilitiesMarketing & brand
35
STERLING INVESTMENT PARTNERS ADVISERS, LLC moved its main office from WESTPORT, CT to GREENWICH, CT. IAPD ↗fund
$1.85B RAUM · 14 reps · 203-226-8711
Office IT & facilitiesMarketing & brand
35
CLEARLAKE CAPITAL ASSET MANAGEMENT, LLC moved its main office from DALLAS, TX to SANTA MONICA, CA. IAPD ↗fund
$2.08B RAUM · 36 reps · (310) 400-8800 · whitestaram.com
Office IT & facilitiesMarketing & brand
35
ARDSLEY PARTNERS moved its main office from ROWAYTON, CT to NORWALK, CT. IAPD ↗fund
$1.14B RAUM · 9 reps · 203-564-4200 · ardsley.com
Office IT & facilitiesMarketing & brand
35
THE FAMILY OFFICES GLOBAL VENTURES INC. moved its main office from NEW YORK, NY to MIAMI, FL. IAPD ↗institutional
$0 RAUM · 2 reps · 310 994 0619
Office IT & facilitiesMarketing & brand
33
BANDERA PARTNERS moved its main office from NEW YORK, NY to BROOKLYN, NY. IAPD ↗fund
$363.7M RAUM · 2 reps · 212-232-0117 · banderapartners.com
Office IT & facilitiesMarketing & brand
33
SCIENCE & TECHNOLOGY PARTNERS, L.P. moved its main office from NEW YORK, NY to GREENWICH, CT. IAPD ↗fund
$356.6M RAUM · 5 reps · 212-306-2600 · sandtpartners.com
Office IT & facilitiesMarketing & brand
33
CORINTHIA GLOBAL MANAGEMENT moved its main office from CHICAGO, IL to NEW YORK, NY. IAPD ↗fund
$275.0M RAUM · 13 reps · +1 (980) 418-2215 · corinthiagm.com
Office IT & facilitiesMarketing & brand
33
EYRE STREET CAPITAL moved its main office from WASHINGTON, DC to NEW YORK, NY. IAPD ↗fund
$344.9M RAUM · 5 reps · 771-772-8856
Office IT & facilitiesMarketing & brand
30
GREE CAPITAL PARTNERS, LLC moved its main office from BURLINGAME, CA to SAN FRANCISCO, CA. IAPD ↗fund
$172.1M RAUM · 7 reps · 415-390-8310
Office IT & facilitiesMarketing & brand
website changed — 27 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
SCHWARTZ INVESTMENT COUNSEL INC changed its website from schwartzvaluefocusedfund.com to avemariafunds.com. IAPD ↗
$3.65B RAUM · 11 reps · 7344557777 · avemariafunds.com
Marketing & brand
30
CAVANAL HILL INVESTMENT MANAGEMENT, INC. changed its website from cavanalhill.com to cavanalhillim.com. IAPD ↗
$14.22B RAUM · 36 reps · 800-958-2942 · cavanalhillim.com
Marketing & brand
30
CS PLANNING CORP changed its website from seltunfg.com to richardsonwealthmanagement.com. IAPD ↗
$1.27B RAUM · 48 reps · 503-292-5853 · richardsonwealthmanagement.com
Marketing & brand
30
COMPASS ION ADVISORS, LLC changed its website from compass-ionadvisors.com to ionadv.com. IAPD ↗
$1.33B RAUM · 15 reps · (610) 228-2200 · ionadv.com
Marketing & brand
30
UNITED ADVISOR GROUP changed its website from uagria.com to thestrategicfinancial.com. IAPD ↗
$1.09B RAUM · 43 reps · 888.242.4912 · thestrategicfinancial.com
Marketing & brand
28
WEALTH OKLAHOMA changed its website from stolperassetmanagement.com to wealthoklahoma.com. IAPD ↗
$307.4M RAUM · 3 reps · 918-745-6060 · wealthoklahoma.com
Marketing & brand
28
BCA PRIVATE WEALTH, INC. changed its website from plus.google.com to greenvillefinancialplanning.com. IAPD ↗
$262.3M RAUM · 5 reps · 864-322-6046 · greenvillefinancialplanning.com
Marketing & brand
28
BOYUM WEALTH ARCHITECTS LLC changed its website from heritagewa.com to myboyum.com. IAPD ↗
$316.2M RAUM · 5 reps · 651-289-6444 · myboyum.com
Marketing & brand
28
DOVETAIL FINANCIAL GROUP LLC changed its website from transituswealth.com to dovetailfin.com. IAPD ↗
$258.5M RAUM · 2 reps · 910-395-1991 · dovetailfin.com
Marketing & brand
28
GOLDEN STATE EQUITY PARTNERS, LLC changed its website from schneider-wealth.com to heartmtwm.com. IAPD ↗
$880.4M RAUM · 24 reps · 866-273-1563 · heartmtwm.com
Marketing & brand
25
AMERICAN ASSET MANAGEMENT INC. changed its website from americanasset.net to aaminc.net. IAPD ↗
$144.9M RAUM · 1 reps · 561-955-8500 · aaminc.net
Marketing & brand
25
SORRENTO PACIFIC FINANCIAL, LLC changed its website from cusonet.com to spfdisclosure.com. IAPD ↗
$222.3M RAUM · 29 reps · 800-686-4724 · spfdisclosure.com
Marketing & brand
25
MCKINLEY MONEY, LLC changed its website from wealthmanagement.com to wpr.com. IAPD ↗
$134.8M RAUM · 2 reps · (715) 835-2732 · wpr.com
Marketing & brand
25
MCBEATH FINANCIAL GROUP changed its website from vimeo.com to mcbeathfinancial.com. IAPD ↗
$223.2M RAUM · 6 reps · 309-808-2224 · mcbeathfinancial.com
Marketing & brand
25
BLACK KNIGHT WEALTH MANAGEMENT, LLC changed its website from blackknightwm.com to opgadvisors.com. IAPD ↗
$240.0M RAUM · 6 reps · 972-786-6527 · opgadvisors.com
Marketing & brand
25
VIVID WEALTH MANAGEMENT, LLC changed its website from rwww.retirevivid.com to retirevivid.com. IAPD ↗
$234.7M RAUM · 2 reps · (515) 480-7593 · retirevivid.com
Marketing & brand
25
ACCELERATE RETIREMENT changed its website from accelerateretirement.com to vpisfinancial.com. IAPD ↗
$242.8M RAUM · 25 reps · 888-439-7071 · vpisfinancial.com
Marketing & brand
15
ZAIS GROUP changed its website from zaisesg.info to zaisesg.net. IAPD ↗fund
$5.41B RAUM · 21 reps · 732-530-3610 · zaisesg.net
Marketing & brand
15
RIDGEWOOD ENERGY CORPORATION changed its website from pinterest.com to ridgewoodenergy1.weebly.com. IAPD ↗fund
$4.53B RAUM · 20 reps · 201-447-9000 · ridgewoodenergy1.weebly.com
Marketing & brand
15
FIVE POINT INFRASTRUCTURE LLC changed its website from fivepointenergy.com to fpinfra.com. IAPD ↗fund
$8.40B RAUM · 9 reps · 713-351-0700 · fpinfra.com
Marketing & brand
15
MPFA INC. changed its website from myperfectfinancialadvisor.com to gobenfi.com. IAPD ↗institutional
$0 RAUM · 1 reps · 917-533-5593 · gobenfi.com
Marketing & brand
15
WEDBUSH FUND ADVISERS, LLC changed its website from wedbush.com to wedbushfunds.com. IAPD ↗institutional
$0 RAUM · 2 reps · 213-688-8000 · wedbushfunds.com
Marketing & brand
13
PACT changed its website from pactcp.com to pactcapitalpartners.com. IAPD ↗fund
$520.0M RAUM · 8 reps · 646-650-8024 · pactcapitalpartners.com
Marketing & brand
10
FORSYTH STREET ASSET MANAGEMENT LLC changed its website from forsythstreet.com to newgenerationfund.com. IAPD ↗fund
$241.0M RAUM · 3 reps · 212-697-1640 · newgenerationfund.com
Marketing & brand
1
SUMITOMO MITSUI DS ASSET MANAGEMENT (HONG KONG) LIMITED changed its website from asia.smd-am.com to smd-am.hk. IAPD ↗foreign
$511.5M RAUM · 13 reps · 852-2521-8883 · smd-am.hk
Marketing & brand
1
MUDITA MANAGEMENT changed its website from muditamanagement.com to muditaadvisors.com. IAPD ↗foreign
$1.26B RAUM · 4 reps · +44 20 3848 7530 · muditaadvisors.com
Marketing & brand
1
ONEUP changed its website from one-up.io to oneupinvest.com. IAPD ↗foreign
$100 RAUM · 2 reps · +44 207 126 8430 · oneupinvest.com
Marketing & brand
headcount up — 26 Advisory representative count grew materially (>=20% or >=5 reps).
83
ALPHACORE CAPITAL LLC grew from 29 to 42 advisory reps. IAPD ↗
$6.06B RAUM · 42 reps · 858-875-4100
CRMRecruiting & transitionsComplianceFinancial planning software
83
SANCTUARY ADVISORS, LLC grew from 332 to 345 advisory reps. IAPD ↗
$27.70B RAUM · 345 reps · 317-975-7729 · mercer-wm.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
ROBINHOOD ASSET MANAGEMENT grew from 6 to 47 advisory reps. IAPD ↗
$158.7M RAUM · 47 reps · 650-940-2700 EXT 31450
CRMRecruiting & transitionsComplianceFinancial planning software
78
CS MCKEE grew from 12 to 20 advisory reps. IAPD ↗
$10.31B RAUM · 20 reps · 412-566-1234 · csmckee.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
BAILARD, INC. grew from 36 to 42 advisory reps. IAPD ↗
$6.54B RAUM · 42 reps · 650-571-5800
CRMRecruiting & transitionsComplianceFinancial planning software
75
BRADLEY FOSTER & SARGENT INC grew from 25 to 30 advisory reps. IAPD ↗
$7.68B RAUM · 30 reps · 860-527-8050 · bfsinvest.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
BERMAN MCALEER grew from 11 to 14 advisory reps. IAPD ↗
$1.60B RAUM · 14 reps · 410-560-9960
CRMRecruiting & transitionsComplianceFinancial planning software
71
BRAND ASSET MANAGEMENT GROUP, INC. grew from 10 to 13 advisory reps. IAPD ↗
$930.4M RAUM · 13 reps · 636-532-7333
CRMRecruiting & transitionsComplianceFinancial planning software
71
COMPASS FINANCIAL ADVISORY SERVICES, LLC grew from 4 to 7 advisory reps. IAPD ↗
$443.8M RAUM · 7 reps · (386) 673-5191 · compassfinancial.us
CRMRecruiting & transitionsComplianceFinancial planning software
70
INVESTMENT MANAGEMENT ASSOCIATES grew from 2 to 4 advisory reps. IAPD ↗
$572.7M RAUM · 4 reps · 303-796-8333
CRMRecruiting & transitionsComplianceFinancial planning software
70
MARSHALL WACE NORTH AMERICA L.P. grew from 89 to 109 advisory reps. IAPD ↗fund
$33.00B RAUM · 109 reps · 212-235-2800 · mwam.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
THREE ARCH WEALTH MANAGEMENT LLC grew from 2 to 4 advisory reps. IAPD ↗
$503.0M RAUM · 4 reps · (949) 400-7107 · threearchwealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
69
BALANCE WEALTH grew from 4 to 8 advisory reps. IAPD ↗
$187.6M RAUM · 8 reps · (216) 965-5045 · balancewealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
69
STEADTRUST grew from 1 to 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 972-876-8422 · concordfinancialgroup.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
INFLECTION CAPITAL MANAGEMENT, LLC grew from 2 to 5 advisory reps. IAPD ↗
$188.5M RAUM · 5 reps · 415-805-8682
CRMRecruiting & transitionsComplianceFinancial planning software
67
LEWIS ASSET MANAGEMENT grew from 3 to 5 advisory reps. IAPD ↗
$214.3M RAUM · 5 reps · 925-284-4033 · lewisam.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
LONESTAR REGISTERED INVESTMENT ADVISORS, PLLC grew from 3 to 5 advisory reps. IAPD ↗
$164.2M RAUM · 5 reps · 866-785-5350 · retirewithlonestar.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
CAMBIENT FAMILY OFFICE, LLC grew from 1 to 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (616) 330-2270
CRMRecruiting & transitionsComplianceFinancial planning software
65
SENIORS HOUSING FUND MANAGER LLC grew from 12 to 24 advisory reps. IAPD ↗fund
$799.8M RAUM · 24 reps · 419-247-2800
CRMRecruiting & transitionsComplianceFinancial planning software
62
ANCALA PARTNERS LLC grew from 2 to 4 advisory reps. IAPD ↗institutional
$3.12B RAUM · 4 reps · 212-364-5110 · ancala.com
CRMRecruiting & transitionsComplianceFinancial planning software
61
REDDING RIDGE ASSET MANAGEMENT LLC grew from 33 to 39 advisory reps. IAPD ↗fund
$29.81B RAUM · 39 reps · (877) 256-7726
CRMRecruiting & transitionsComplianceFinancial planning software
60
CORINTHIA GLOBAL MANAGEMENT grew from 6 to 13 advisory reps. IAPD ↗fund
$275.0M RAUM · 13 reps · +1 (980) 418-2215 · corinthiagm.com
CRMRecruiting & transitionsComplianceFinancial planning software
57
PACT grew from 4 to 8 advisory reps. IAPD ↗fund
$520.0M RAUM · 8 reps · 646-650-8024 · pactcapitalpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
57
EYRE STREET CAPITAL grew from 1 to 5 advisory reps. IAPD ↗fund
$344.9M RAUM · 5 reps · 771-772-8856
CRMRecruiting & transitionsComplianceFinancial planning software
53
SQ CAPITAL LLC grew from 6 to 9 advisory reps. IAPD ↗fund
$125.7M RAUM · 9 reps · 646-435-3720 · sqcapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
47
WFM ASIA (BVI) LIMITED grew from 0 to 7 advisory reps. IAPD ↗foreign
$3.20B RAUM · 7 reps · 852-2581-2500 · wfmasia.com
CRMRecruiting & transitionsComplianceFinancial planning software
rename — 21 Primary business name changed: rebrand, merger, or ownership change.
60
GRIMES & COMPANY, LLC is now doing business as GRIMES & COMPANY. IAPD ↗
$5.59B RAUM · 29 reps · 508-366-3883
Marketing & brandCRM
60
PRINCIPAL STREET PARTNERS, LLC is now doing business as CALYDON CAPITAL, LLC. IAPD ↗
$2.86B RAUM · 5 reps · 844-678-6900 · principalstreet.com
Marketing & brandCRM
58
BALLENTINE CAPITAL ADVISORS, INC. is now doing business as BCA PRIVATE WEALTH, INC.. IAPD ↗
$262.3M RAUM · 5 reps · 864-322-6046 · greenvillefinancialplanning.com
Marketing & brandCRM
58
HERITAGE WEALTH ARCHITECTS, INC. is now doing business as BOYUM WEALTH ARCHITECTS LLC. IAPD ↗
$316.2M RAUM · 5 reps · 651-289-6444 · myboyum.com
Marketing & brandCRM
58
INVESTMENT PLANNING ADVISORS is now doing business as TRUFP. IAPD ↗
$334.1M RAUM · 4 reps · 770-205-4394 · investplanadvise.com
Marketing & brandCRM
58
TRANSITUS WEALTH PARTNERS LLC is now doing business as DOVETAIL FINANCIAL GROUP LLC. IAPD ↗
$258.5M RAUM · 2 reps · 910-395-1991 · dovetailfin.com
Marketing & brandCRM
55
DESERANNO WEALTH PLANNING is now doing business as DWP. IAPD ↗
$195.1M RAUM · 4 reps · 313-885-0114 · deseranno.com
Marketing & brandCRM
55
SUPERIOR PLANNING, LLC is now doing business as SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE. IAPD ↗
$192.1M RAUM · 7 reps · 858-546-1046
Marketing & brandCRM
55
LANEVE FINANCIAL GUIDANCE LLC is now doing business as CHARMARLINE WEALTH MANAGEMENT LLC. IAPD ↗
$111.9M RAUM · 1 reps · (434) 455-3036
Marketing & brandCRM
55
SMITH BRUER ADVISORS is now doing business as SMITH BRUER. IAPD ↗
$198.2M RAUM · 5 reps · 850-877-0803 · smithbruer.com
Marketing & brandCRM
55
ATFS ADVISERS is now doing business as ATLAS. IAPD ↗
$121.3M RAUM · 5 reps · 805-557-8713
Marketing & brandCRM
55
BROADSTREET GLOBAL ADVISORS, INC. is now doing business as INNOVATIVE PRIVATE WEALTH MANAGEMENT INC.. IAPD ↗
$118.3M RAUM · 7 reps · 914-427-8036 · broadstreetglobaladvisors.com
Marketing & brandCRM
55
ALCYON WEALTH ADVISORS, LLC is now doing business as ALCYON WEALTH PARTNERS. IAPD ↗
$0 RAUM · 4 reps · (330) 797-4088
Marketing & brandCRM
55
SONOMA FAMILY WEALTH is now doing business as SONOMA ALLOCATIONS. IAPD ↗
$0 RAUM · 2 reps · 707-490-8842
Marketing & brandCRM
45
FREEMAN SPOGLI & CO. is now doing business as FREEMAN SPOGLI. IAPD ↗fund
$7.10B RAUM · 27 reps · 310-444-1822 · freemanspogli.com
Marketing & brandCRM
45
WHITESTAR ASSET MANAGEMENT LLC is now doing business as CLEARLAKE CAPITAL ASSET MANAGEMENT, LLC. IAPD ↗fund
$2.08B RAUM · 36 reps · (310) 400-8800 · whitestaram.com
Marketing & brandCRM
45
FIVE POINT ENERGY LLC is now doing business as FIVE POINT INFRASTRUCTURE LLC. IAPD ↗fund
$8.40B RAUM · 9 reps · 713-351-0700 · fpinfra.com
Marketing & brandCRM
40
CONGRUENCE CAPITAL, PB LLC is now doing business as CONGRUENCE CAPITAL, LLC. IAPD ↗fund
$124.3M RAUM · 3 reps · 213-757-8220 · congruencecapital.com
Marketing & brandCRM
30
WHITE OAK CAPITAL PARTNERS PTE. LTD. is now doing business as ASHOKA WHITEOAK CAPITAL PTE. LTD.. IAPD ↗foreign
$4.29B RAUM · 12 reps · 6569777473 · whiteoakcapitalpartners.com
Marketing & brandCRM
25
FINAPORT ASSET MANAGEMENT is now doing business as TRIGON INVESTMENT ADVISORS AG. IAPD ↗foreign
$0 RAUM · 0 reps · 0041 44 304 22 05
Marketing & brandCRM
25
TYTON WEALTH is now doing business as NEMO CAPITAL. IAPD ↗foreign
$1.4M RAUM · 1 reps · 307-269-0914
Marketing & brandCRM
aum up — 17 Regulatory AUM up >=25% since last filing.
75
ALPHACORE CAPITAL LLC reported RAUM up 102% ($3.00B -> $6.06B). IAPD ↗
$6.06B RAUM · 42 reps · 858-875-4100
Portfolio / reporting / TAMPCRMFinancial planning software
73
VISION RETIREMENT reported RAUM up 107% ($240.5M -> $497.3M). IAPD ↗
$497.3M RAUM · 5 reps · 201-447-2212
Portfolio / reporting / TAMPCRMFinancial planning software
70
FOLIOBEYOND, LLC reported RAUM up 84% ($95.7M -> $176.3M). IAPD ↗
$176.3M RAUM · 2 reps · 212-397-7539 · foliobeyond.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
ATLAS reported RAUM up 211% ($39.1M -> $121.3M). IAPD ↗
$121.3M RAUM · 5 reps · 805-557-8713
Portfolio / reporting / TAMPCRMFinancial planning software
68
BARON CAPITAL MANAGEMENT, INC. reported RAUM up 41% ($4.08B -> $5.76B). IAPD ↗
$5.76B RAUM · 44 reps · 212-583-2000
Portfolio / reporting / TAMPCRMFinancial planning software
66
SB ADVISORY, LLC reported RAUM up 42% ($285.9M -> $404.8M). IAPD ↗
$404.8M RAUM · 29 reps · 404-704-0406 · pnwadvisory.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
SMITH CAPITAL INVESTORS, LLC reported RAUM up 136% ($5.27B -> $12.45B). IAPD ↗institutional
$12.45B RAUM · 12 reps · 303-597-5555
Portfolio / reporting / TAMPCRMFinancial planning software
65
TURTLE CREEK WEALTH ADVISORS, LLC reported RAUM up 28% ($1.33B -> $1.71B). IAPD ↗
$1.71B RAUM · 19 reps · 214-214-3110
Portfolio / reporting / TAMPCRMFinancial planning software
64
ADVISOR FINANCIAL SERVICES, INC. reported RAUM up 47% ($38.0M -> $56.0M). IAPD ↗
$56.0M RAUM · 1 reps · 804-234-8600 · advisor.org
Portfolio / reporting / TAMPCRMFinancial planning software
62
EXCELSIOR ADVISOR NETWORK LLC reported RAUM up 37% ($109.5M -> $150.0M). IAPD ↗
$150.0M RAUM · 4 reps · 303-351-6436 · excelsioradvisor.com
Portfolio / reporting / TAMPCRMFinancial planning software
61
CARRY ADVISORS LLC reported RAUM up 34% ($74.5M -> $99.7M). IAPD ↗
$99.7M RAUM · 2 reps · 2014720612 · carry.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
SACHEM INVESTMENT COUNSEL LLC reported RAUM up 26% ($164.7M -> $207.2M). IAPD ↗
$207.2M RAUM · 1 reps · (440) 725-2807
Portfolio / reporting / TAMPCRMFinancial planning software
60
SMART PORTFOLIO reported RAUM up 25% ($28.0M -> $35.0M). IAPD ↗
$35.0M RAUM · 1 reps · 858-898-8000 · smrtportfolio.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
BOOSTER ASSET MANAGEMENT, LLC reported RAUM up 62165% ($100,000 -> $62.3M). IAPD ↗institutional
$62.3M RAUM · 1 reps · 630-653-1400
Portfolio / reporting / TAMPCRMFinancial planning software
56
REDDING RIDGE ASSET MANAGEMENT LLC reported RAUM up 57% ($19.01B -> $29.81B). IAPD ↗fund
$29.81B RAUM · 39 reps · (877) 256-7726
Portfolio / reporting / TAMPCRMFinancial planning software
55
RIVO ALTO CAPITAL FUNDING LLC reported RAUM up 149% ($11.1M -> $27.6M). IAPD ↗fund
$27.6M RAUM · 2 reps · 305-512-1124 · rivoalto.com
Portfolio / reporting / TAMPCRMFinancial planning software
45
DFN MANAGEMENT LLC. reported RAUM up 29% ($155.4M -> $201.0M). IAPD ↗fund
$201.0M RAUM · 3 reps · (866) 296-4420
Portfolio / reporting / TAMPCRMFinancial planning software
custody started — 15 Firm now reports custody of client assets — surprise exams and controls follow.
70
TOWER BRIDGE ADVISORS now reports custody of client assets ($15.3M). IAPD ↗
$1.32B RAUM · 8 reps · 610-260-2200 · towerbridgeadvisors.com
ComplianceCustodian
70
BARLOW WEALTH PARTNERS, LLC now reports custody of client assets ($660.0M). IAPD ↗
$1.22B RAUM · 5 reps · (502) 308-4270 · barlowwealth.com
ComplianceCustodian
70
BERMAN MCALEER now reports custody of client assets ($281.6M). IAPD ↗
$1.60B RAUM · 14 reps · 410-560-9960
ComplianceCustodian
70
PARKWAY WEALTH MANAGEMENT GROUP, LLC now reports custody of client assets ($1.65B). IAPD ↗
$1.09B RAUM · 16 reps · 972-502-9340
ComplianceCustodian
68
INVESTMENT MANAGEMENT ASSOCIATES now reports custody of client assets ($10.3M). IAPD ↗
$572.7M RAUM · 4 reps · 303-796-8333
ComplianceCustodian
68
JACKSON FINANCIAL SERVICES, LLC now reports custody of client assets ($4.4M). IAPD ↗
$475.9M RAUM · 3 reps · 800-752-2354 · jacksonfinancial.org
ComplianceCustodian
68
VEERY CAPITAL, LLC now reports custody of client assets ($305.8M). IAPD ↗
$802.0M RAUM · 6 reps · (302) 660-3350 · veerycapital.com
ComplianceCustodian
68
AERIE ADVISORY GROUP LLC now reports custody of client assets ($405.3M). IAPD ↗
$481.8M RAUM · 3 reps · (253) 209-7425
ComplianceCustodian
65
CYPRESS CAPITAL GROUP now reports custody of client assets ($46,220). IAPD ↗
$57.5M RAUM · 2 reps · 561-659-5889
ComplianceCustodian
65
RETIREWISE TAX AND WEALTH ADVISORS, INC. now reports custody of client assets ($170.1M). IAPD ↗
$170.1M RAUM · 6 reps · 785-228-1234
ComplianceCustodian
65
WEALTHETIC LLC now reports custody of client assets ($7.7M). IAPD ↗
$13.2M RAUM · 1 reps · (858) 750-1618 · wealthetic.com
ComplianceCustodian
55
GMS GROUP now reports custody of client assets ($13.9M). IAPD ↗institutional
$13.9M RAUM · 3 reps · 973-535-5000 · gmsgroup.com
ComplianceCustodian
53
PACT now reports custody of client assets. IAPD ↗fund
$520.0M RAUM · 8 reps · 646-650-8024 · pactcapitalpartners.com
ComplianceCustodian
53
EYRE STREET CAPITAL now reports custody of client assets ($689.8M). IAPD ↗fund
$344.9M RAUM · 5 reps · 771-772-8856
ComplianceCustodian
50
NOVAWAVE CAPITAL now reports custody of client assets ($9.5M). IAPD ↗fund
$90.0M RAUM · 6 reps · 781-710-3455 · novawavecapital.com
ComplianceCustodian
headcount down — 11 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
KEEL POINT, LLC shrank from 45 to 39 advisory reps. IAPD ↗
$3.46B RAUM · 39 reps · 256-704-5111
Recruiting & transitionsM&A & valuation
55
CLEVELAND WEALTH, LLC shrank from 6 to 2 advisory reps. IAPD ↗
$1.01B RAUM · 2 reps · (216) 810-5900 · clevelandwealth.com
Recruiting & transitionsM&A & valuation
53
WORLD EQUITY GROUP, INC. shrank from 60 to 52 advisory reps. IAPD ↗
$944.8M RAUM · 52 reps · 847-342-1700 · worldequitygroup.com
Recruiting & transitionsM&A & valuation
53
BROOKER WEALTH MANAGEMENT shrank from 7 to 4 advisory reps. IAPD ↗
$592.4M RAUM · 4 reps · 510-638-1815 · brooker-cpa.com
Recruiting & transitionsM&A & valuation
53
NAVELLIER & ASSOCIATES INC shrank from 4 to 2 advisory reps. IAPD ↗
$882.8M RAUM · 2 reps · 775-785-2300 · navellier.com
Recruiting & transitionsM&A & valuation
53
GUERRA WEALTH ADVISORS shrank from 10 to 8 advisory reps. IAPD ↗
$260.0M RAUM · 8 reps · 305-448-1011 · guerrawealth.com
Recruiting & transitionsM&A & valuation
53
CORNERSTONE ADVISORS LLC shrank from 9 to 5 advisory reps. IAPD ↗
$276.9M RAUM · 5 reps · 501-943-7132
Recruiting & transitionsM&A & valuation
50
STRATEGIC FINANCIAL PLANNING, INC. shrank from 4 to 2 advisory reps. IAPD ↗
$191.5M RAUM · 2 reps · 972-403-1234
Recruiting & transitionsM&A & valuation
50
LIONSBRIDGE WEALTH MANAGEMENT LLC shrank from 3 to 0 advisory reps. IAPD ↗
$132.3M RAUM · 0 reps · 904-897-0390 · lbwm.net
Recruiting & transitionsM&A & valuation
25
VALUE PARTNERS HONG KONG LIMITED shrank from 30 to 24 advisory reps. IAPD ↗foreign
$4.08B RAUM · 24 reps · 852 28809263 · valuepartners-group.com
Recruiting & transitionsM&A & valuation
25
PORTMAN SQUARE CAPITAL LLP shrank from 8 to 6 advisory reps. IAPD ↗foreign
$3.36B RAUM · 6 reps · 44 203 627 6800 · portmansquarecapital.com
Recruiting & transitionsM&A & valuation
private funds started — 9 Firm reports private funds for the first time.
75
TOWER BRIDGE ADVISORS now reports 2 private fund(s) ($15.3M gross). IAPD ↗
$1.32B RAUM · 8 reps · 610-260-2200 · towerbridgeadvisors.com
Fund administrationCompliance
73
ACCUVEST GLOBAL ADVISORS, INC. now reports 1 private fund(s) ($17.8M gross). IAPD ↗
$937.7M RAUM · 4 reps · 925-930-2882
Fund administrationCompliance
73
NIGHT SQUARED LP now reports 1 private fund(s) ($194.1M gross). IAPD ↗
$355.2M RAUM · 9 reps · 917-451-0055 · nightsquared.com
Fund administrationCompliance
60
SUMMITTX CAPITAL, L.P. now reports 3 private fund(s) ($8.25B gross). IAPD ↗fund
$8.25B RAUM · 39 reps · 817-769-1578 · summittxcapital.com
Fund administrationCompliance
58
CORINTHIA GLOBAL MANAGEMENT now reports 3 private fund(s) ($275.0M gross). IAPD ↗fund
$275.0M RAUM · 13 reps · +1 (980) 418-2215 · corinthiagm.com
Fund administrationCompliance
58
PACT now reports 1 private fund(s) ($520.0M gross). IAPD ↗fund
$520.0M RAUM · 8 reps · 646-650-8024 · pactcapitalpartners.com
Fund administrationCompliance
58
EYRE STREET CAPITAL now reports 1 private fund(s) ($344.9M gross). IAPD ↗fund
$344.9M RAUM · 5 reps · 771-772-8856
Fund administrationCompliance
58
SENIORS HOUSING FUND MANAGER LLC now reports 1 private fund(s) ($799.8M gross). IAPD ↗fund
$799.8M RAUM · 24 reps · 419-247-2800
Fund administrationCompliance
55
SQ CAPITAL LLC now reports 2 private fund(s) ($125.7M gross). IAPD ↗fund
$125.7M RAUM · 9 reps · 646-435-3720 · sqcapital.com
Fund administrationCompliance
planning clients up — 7 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
79
WORLD EQUITY GROUP, INC. reports More than 500 financial-planning clients, up from 0. IAPD ↗
$944.8M RAUM · 52 reps · 847-342-1700 · worldequitygroup.com
Financial planning software
78
BERMAN MCALEER reports 251-500 financial-planning clients, up from 0. IAPD ↗
$1.60B RAUM · 14 reps · 410-560-9960
Financial planning software
67
MERKKURI WEALTH ADVISORS LLC reports 51-100 financial-planning clients, up from 0. IAPD ↗
$181.9M RAUM · 2 reps · 516-268-3446
Financial planning software
61
XYPN INVEST reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
$321.0M RAUM · 27 reps · (360) 301-7579
Financial planning software
61
HENDERSON BROTHERS FINANCIAL PARTNERS LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$327.3M RAUM · 22 reps · 412-261-3333 · hendersonbrothersfinancialpartners.com
Financial planning software
58
AURORA INVESTMENT COUNSEL reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
$237.5M RAUM · 3 reps · 770.226.5323 · aurora-invest.com
Financial planning software
58
GENESIS FINANCIAL GROUP, LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$102.0M RAUM · 1 reps · 551-284-4023 · genesisfinancialgroupllc.com
Financial planning software
aum down — 5 Regulatory AUM down >=25% since last filing.
48
TINGEY ADVISORS INC reported RAUM down 38% ($619.0M -> $385.0M). IAPD ↗
$385.0M RAUM · 3 reps · 801-352-8166 · tingeyadvisors.com
M&A & valuationRecruiting & transitions
45
ARISTOTLE CREDIT PARTNERS, LLC reported RAUM down 64% ($225.0M -> $81.1M). IAPD ↗
$81.1M RAUM · 2 reps · 949-681-2100
M&A & valuationRecruiting & transitions
35
TRANSWESTERN CAPITAL ADVISORS, LLC reported RAUM down 36% ($116.0M -> $74.1M). IAPD ↗institutional
$74.1M RAUM · 1 reps · 800-997-0718 · transwestcap.com
M&A & valuationRecruiting & transitions
35
LMR PARTNERS LLC reported RAUM down 48% ($147.55B -> $77.25B). IAPD ↗fund
$77.25B RAUM · 42 reps · 6468915738 · lmrpartners.com
M&A & valuationRecruiting & transitions
33
TAIYO PACIFIC PARTNERS L.P. reported RAUM down 45% ($1.72B -> $946.0M). IAPD ↗fund
$946.0M RAUM · 19 reps · 425-896-5300 · taiyofunds.com
M&A & valuationRecruiting & transitions
aum crossed 1b — 2 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
75
DEFIANCE ETFS, LLC crossed $1B in regulatory AUM ($850.0M -> $1.44B). IAPD ↗institutional
$1.44B RAUM · 2 reps · 8333339383
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
GREEN CITIES INVESTMENT MANAGEMENT, LLC crossed $1B in regulatory AUM ($939.3M -> $1.07B). IAPD ↗fund
$1.07B RAUM · 13 reps · 503-299-6000 · gerdingedlen.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
aum crossed 500m — 2 Regulatory AUM crossed $500M.
60
AC FUNDS, LLC crossed $500M in regulatory AUM ($343.5M -> $578.6M). IAPD ↗institutional
$578.6M RAUM · 1 reps · 201-426-0081 · advisorscapfunds.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
ROG VI L.L.C. crossed $500M in regulatory AUM ($455.2M -> $518.3M). IAPD ↗fund
$518.3M RAUM · 16 reps · 713-874-9000 · riverbendenergygroup.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
reorganization — 2 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
40
CHARMARLINE WEALTH MANAGEMENT LLC filed an Item 4A succession naming LANEVE FINANCIAL GUIDANCE LLC (CRD 152697) — an entity change, not a deal. IAPD ↗
$111.9M RAUM · 1 reps · (434) 455-3036
Integration & migration consultingCompliance
40
AVENTUS INVESTMENT ADVISORS, INC. filed an Item 4A succession naming AVENTUS INVESTMENT ADVISORS, INC. (CRD 153390) — an entity change, not a deal. IAPD ↗
$130.4M RAUM · 2 reps · 239-673-0020
Integration & migration consultingCompliance
planning started — 1 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
75
BISHOP & ASSOCIATES INC now offers financial planning (Item 5G(1)). IAPD ↗
$106.1M RAUM · 2 reps · 215-568-5450 · bishop-associates.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.