← Tributary

What changed in the July 2025 SEC adviser roster

872 events across 753 firms · 595 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

216state expansion
128new registration
116new office
61deregistered
52headcount up
39website changed
37disclosure added
34aum up
32pending approved
29custody started
28headcount down
26relocation

Top 25 signals — US wealth firms

98
AIS PLANNING (ST. CLOUD, MN) is newly SEC-registered with $485.1M RAUM and 9 advisory reps. IAPD ↗
$485.1M RAUM · 9 reps · (320) 252-6552
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
V.M. MANNING & CO., INC. (GREENVILLE, SC) is newly SEC-registered with $115.5M RAUM and 2 advisory reps. IAPD ↗
$115.5M RAUM · 2 reps · 864-232-8231 · vmmanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
1ST DISCOUNT BROKERAGE, INC. (LAKE WORTH, FL) is newly SEC-registered with $108.1M RAUM and 9 advisory reps. IAPD ↗
$108.1M RAUM · 9 reps · 561-515-3200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOROWITZ & COMPANY, INC. (FORT LAUDERDALE, FL) is newly SEC-registered with $145.4M RAUM and 2 advisory reps. IAPD ↗
$145.4M RAUM · 2 reps · 954-349-0800 · dhunplugged.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LITTLEFIELD ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $124.2M RAUM and 1 advisory reps. IAPD ↗
$124.2M RAUM · 1 reps · 404-634-5404
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HUTCHINSON FINANCIAL ADVISORS, INC (GLEN ALLEN, VA) is newly SEC-registered with $120.9M RAUM and 1 advisory reps. IAPD ↗
$120.9M RAUM · 1 reps · 804-729-6420 · hutchinsonadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC (location n/a) is newly SEC-registered with $162.6M RAUM and 1 advisory reps. IAPD ↗
$162.6M RAUM · 1 reps · 786-261-6100 · comprehensivemoney.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPYGLASS INVESTMENT MANAGEMENT (TERRE HAUTE, IN) is newly SEC-registered with $140.0M RAUM and 3 advisory reps. IAPD ↗
$140.0M RAUM · 3 reps · (812) 238-8484 · spyglassinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PHILADELPHIA INVESTMENT PARTNERS, LLC (VOORHEES, NJ) is newly SEC-registered with $140.8M RAUM and 3 advisory reps. IAPD ↗
$140.8M RAUM · 3 reps · 856-210-6779 · piplp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL FINANCIAL, LLC (OLNEY, MD) is newly SEC-registered with $140.8M RAUM and 1 advisory reps. IAPD ↗
$140.8M RAUM · 1 reps · 301-260-8575 · capfinllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHEA FINANCIAL ADVISORS (location n/a) is newly SEC-registered with $116.5M RAUM and 2 advisory reps. IAPD ↗
$116.5M RAUM · 2 reps · 203-966-9651
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LORETTA NOLAN ASSOCIATES, LLC (OLD GREENWICH, CT) is newly SEC-registered with $121.6M RAUM and 1 advisory reps. IAPD ↗
$121.6M RAUM · 1 reps · 203.637.1402
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STAWNYCHY FINANCIAL SERVICES, INC. (KINNELON, NJ) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
$113.9M RAUM · 1 reps · 973-283-0024 · stawnychyfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TC FINANCIAL MANAGEMENT, CO INC. (MARGATE CITY, NJ) is newly SEC-registered with $123.6M RAUM and 2 advisory reps. IAPD ↗
$123.6M RAUM · 2 reps · 609-487-1805 · tcfinancialmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORNERSTONE FINANCIAL GROUP,LLC (OMAHA, NE) is newly SEC-registered with $247.0M RAUM and 5 advisory reps. IAPD ↗
$247.0M RAUM · 5 reps · 402-758-0700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCCORMACK FINANCIAL PLANNING INC. (ATLANTA, GA) is newly SEC-registered with $103.0M RAUM and 3 advisory reps. IAPD ↗
$103.0M RAUM · 3 reps · 404-236-7316 · mccormackfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORNERSTONE SECURITIES LLC (OVERLAND PARK, KS) is newly SEC-registered with $175.0M RAUM and 10 advisory reps. IAPD ↗
$175.0M RAUM · 10 reps · 913-538-5483 · tjstearns.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POULOS ADVISORS, INC. (SOUTH BURLINGTON, VT) is newly SEC-registered with $133.3M RAUM and 2 advisory reps. IAPD ↗
$133.3M RAUM · 2 reps · 802-862-7361
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOUGHERTY INVESTMENT ADVISORS (SPRING HILL, FL) is newly SEC-registered with $113.9M RAUM and 4 advisory reps. IAPD ↗
$113.9M RAUM · 4 reps · (352) 238-6411
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WISCONSIN WEALTH ADVISORS, LLC (SUN PRAIRIE, WI) is newly SEC-registered with $114.2M RAUM and 3 advisory reps. IAPD ↗
$114.2M RAUM · 3 reps · 608-837-9099 · wiwealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NATURAL BRIDGES FINANCIAL ADVISORS (SANTA CRUZ, CA) is newly SEC-registered with $106.3M RAUM and 2 advisory reps. IAPD ↗
$106.3M RAUM · 2 reps · 831-421-0700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DICCIANNI FINANCIAL GROUP, INC. (EAST NORRITON, PA) is newly SEC-registered with $111.2M RAUM and 2 advisory reps. IAPD ↗
$111.2M RAUM · 2 reps · 484-681-9046 · dfgpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ST. CLAIR FINANCIAL (ROSEVILLE, CA) is newly SEC-registered with $118.5M RAUM and 1 advisory reps. IAPD ↗
$118.5M RAUM · 1 reps · (916) 780-1848 · donstclair.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANSDOWNE WEALTH MANAGEMENT, LLC (MYSTIC, CT) is newly SEC-registered with $214.1M RAUM and 6 advisory reps. IAPD ↗
$214.1M RAUM · 6 reps · 860-245-5078
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORE WEALTH ADVISORS (INDIANAPOLIS, IN) is newly SEC-registered with $124.6M RAUM and 3 advisory reps. IAPD ↗
$124.6M RAUM · 3 reps · 317-497-0569 · mycorewealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 239 firms

98
AIS PLANNING (ST. CLOUD, MN) is newly SEC-registered with $485.1M RAUM and 9 advisory reps. IAPD ↗
$485.1M RAUM · 9 reps · (320) 252-6552
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
V.M. MANNING & CO., INC. (GREENVILLE, SC) is newly SEC-registered with $115.5M RAUM and 2 advisory reps. IAPD ↗
$115.5M RAUM · 2 reps · 864-232-8231 · vmmanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
1ST DISCOUNT BROKERAGE, INC. (LAKE WORTH, FL) is newly SEC-registered with $108.1M RAUM and 9 advisory reps. IAPD ↗
$108.1M RAUM · 9 reps · 561-515-3200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOROWITZ & COMPANY, INC. (FORT LAUDERDALE, FL) is newly SEC-registered with $145.4M RAUM and 2 advisory reps. IAPD ↗
$145.4M RAUM · 2 reps · 954-349-0800 · dhunplugged.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LITTLEFIELD ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $124.2M RAUM and 1 advisory reps. IAPD ↗
$124.2M RAUM · 1 reps · 404-634-5404
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HUTCHINSON FINANCIAL ADVISORS, INC (GLEN ALLEN, VA) is newly SEC-registered with $120.9M RAUM and 1 advisory reps. IAPD ↗
$120.9M RAUM · 1 reps · 804-729-6420 · hutchinsonadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC (location n/a) is newly SEC-registered with $162.6M RAUM and 1 advisory reps. IAPD ↗
$162.6M RAUM · 1 reps · 786-261-6100 · comprehensivemoney.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPYGLASS INVESTMENT MANAGEMENT (TERRE HAUTE, IN) is newly SEC-registered with $140.0M RAUM and 3 advisory reps. IAPD ↗
$140.0M RAUM · 3 reps · (812) 238-8484 · spyglassinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PHILADELPHIA INVESTMENT PARTNERS, LLC (VOORHEES, NJ) is newly SEC-registered with $140.8M RAUM and 3 advisory reps. IAPD ↗
$140.8M RAUM · 3 reps · 856-210-6779 · piplp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL FINANCIAL, LLC (OLNEY, MD) is newly SEC-registered with $140.8M RAUM and 1 advisory reps. IAPD ↗
$140.8M RAUM · 1 reps · 301-260-8575 · capfinllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 229 more in the CSV export.

Financial planning software 143 firms

98
AIS PLANNING (ST. CLOUD, MN) is newly SEC-registered with $485.1M RAUM and 9 advisory reps. IAPD ↗
$485.1M RAUM · 9 reps · (320) 252-6552
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
V.M. MANNING & CO., INC. (GREENVILLE, SC) is newly SEC-registered with $115.5M RAUM and 2 advisory reps. IAPD ↗
$115.5M RAUM · 2 reps · 864-232-8231 · vmmanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
1ST DISCOUNT BROKERAGE, INC. (LAKE WORTH, FL) is newly SEC-registered with $108.1M RAUM and 9 advisory reps. IAPD ↗
$108.1M RAUM · 9 reps · 561-515-3200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOROWITZ & COMPANY, INC. (FORT LAUDERDALE, FL) is newly SEC-registered with $145.4M RAUM and 2 advisory reps. IAPD ↗
$145.4M RAUM · 2 reps · 954-349-0800 · dhunplugged.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LITTLEFIELD ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $124.2M RAUM and 1 advisory reps. IAPD ↗
$124.2M RAUM · 1 reps · 404-634-5404
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HUTCHINSON FINANCIAL ADVISORS, INC (GLEN ALLEN, VA) is newly SEC-registered with $120.9M RAUM and 1 advisory reps. IAPD ↗
$120.9M RAUM · 1 reps · 804-729-6420 · hutchinsonadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC (location n/a) is newly SEC-registered with $162.6M RAUM and 1 advisory reps. IAPD ↗
$162.6M RAUM · 1 reps · 786-261-6100 · comprehensivemoney.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPYGLASS INVESTMENT MANAGEMENT (TERRE HAUTE, IN) is newly SEC-registered with $140.0M RAUM and 3 advisory reps. IAPD ↗
$140.0M RAUM · 3 reps · (812) 238-8484 · spyglassinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PHILADELPHIA INVESTMENT PARTNERS, LLC (VOORHEES, NJ) is newly SEC-registered with $140.8M RAUM and 3 advisory reps. IAPD ↗
$140.8M RAUM · 3 reps · 856-210-6779 · piplp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL FINANCIAL, LLC (OLNEY, MD) is newly SEC-registered with $140.8M RAUM and 1 advisory reps. IAPD ↗
$140.8M RAUM · 1 reps · 301-260-8575 · capfinllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 133 more in the CSV export.

Compliance 380 firms

98
AIS PLANNING (ST. CLOUD, MN) is newly SEC-registered with $485.1M RAUM and 9 advisory reps. IAPD ↗
$485.1M RAUM · 9 reps · (320) 252-6552
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
V.M. MANNING & CO., INC. (GREENVILLE, SC) is newly SEC-registered with $115.5M RAUM and 2 advisory reps. IAPD ↗
$115.5M RAUM · 2 reps · 864-232-8231 · vmmanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
1ST DISCOUNT BROKERAGE, INC. (LAKE WORTH, FL) is newly SEC-registered with $108.1M RAUM and 9 advisory reps. IAPD ↗
$108.1M RAUM · 9 reps · 561-515-3200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOROWITZ & COMPANY, INC. (FORT LAUDERDALE, FL) is newly SEC-registered with $145.4M RAUM and 2 advisory reps. IAPD ↗
$145.4M RAUM · 2 reps · 954-349-0800 · dhunplugged.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LITTLEFIELD ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $124.2M RAUM and 1 advisory reps. IAPD ↗
$124.2M RAUM · 1 reps · 404-634-5404
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HUTCHINSON FINANCIAL ADVISORS, INC (GLEN ALLEN, VA) is newly SEC-registered with $120.9M RAUM and 1 advisory reps. IAPD ↗
$120.9M RAUM · 1 reps · 804-729-6420 · hutchinsonadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC (location n/a) is newly SEC-registered with $162.6M RAUM and 1 advisory reps. IAPD ↗
$162.6M RAUM · 1 reps · 786-261-6100 · comprehensivemoney.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPYGLASS INVESTMENT MANAGEMENT (TERRE HAUTE, IN) is newly SEC-registered with $140.0M RAUM and 3 advisory reps. IAPD ↗
$140.0M RAUM · 3 reps · (812) 238-8484 · spyglassinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PHILADELPHIA INVESTMENT PARTNERS, LLC (VOORHEES, NJ) is newly SEC-registered with $140.8M RAUM and 3 advisory reps. IAPD ↗
$140.8M RAUM · 3 reps · 856-210-6779 · piplp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL FINANCIAL, LLC (OLNEY, MD) is newly SEC-registered with $140.8M RAUM and 1 advisory reps. IAPD ↗
$140.8M RAUM · 1 reps · 301-260-8575 · capfinllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 370 more in the CSV export.

Portfolio / reporting / TAMP 121 firms

98
AIS PLANNING (ST. CLOUD, MN) is newly SEC-registered with $485.1M RAUM and 9 advisory reps. IAPD ↗
$485.1M RAUM · 9 reps · (320) 252-6552
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
V.M. MANNING & CO., INC. (GREENVILLE, SC) is newly SEC-registered with $115.5M RAUM and 2 advisory reps. IAPD ↗
$115.5M RAUM · 2 reps · 864-232-8231 · vmmanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
1ST DISCOUNT BROKERAGE, INC. (LAKE WORTH, FL) is newly SEC-registered with $108.1M RAUM and 9 advisory reps. IAPD ↗
$108.1M RAUM · 9 reps · 561-515-3200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOROWITZ & COMPANY, INC. (FORT LAUDERDALE, FL) is newly SEC-registered with $145.4M RAUM and 2 advisory reps. IAPD ↗
$145.4M RAUM · 2 reps · 954-349-0800 · dhunplugged.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LITTLEFIELD ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $124.2M RAUM and 1 advisory reps. IAPD ↗
$124.2M RAUM · 1 reps · 404-634-5404
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HUTCHINSON FINANCIAL ADVISORS, INC (GLEN ALLEN, VA) is newly SEC-registered with $120.9M RAUM and 1 advisory reps. IAPD ↗
$120.9M RAUM · 1 reps · 804-729-6420 · hutchinsonadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC (location n/a) is newly SEC-registered with $162.6M RAUM and 1 advisory reps. IAPD ↗
$162.6M RAUM · 1 reps · 786-261-6100 · comprehensivemoney.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPYGLASS INVESTMENT MANAGEMENT (TERRE HAUTE, IN) is newly SEC-registered with $140.0M RAUM and 3 advisory reps. IAPD ↗
$140.0M RAUM · 3 reps · (812) 238-8484 · spyglassinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PHILADELPHIA INVESTMENT PARTNERS, LLC (VOORHEES, NJ) is newly SEC-registered with $140.8M RAUM and 3 advisory reps. IAPD ↗
$140.8M RAUM · 3 reps · 856-210-6779 · piplp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL FINANCIAL, LLC (OLNEY, MD) is newly SEC-registered with $140.8M RAUM and 1 advisory reps. IAPD ↗
$140.8M RAUM · 1 reps · 301-260-8575 · capfinllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 111 more in the CSV export.

Custodian 116 firms

98
AIS PLANNING (ST. CLOUD, MN) is newly SEC-registered with $485.1M RAUM and 9 advisory reps. IAPD ↗
$485.1M RAUM · 9 reps · (320) 252-6552
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
V.M. MANNING & CO., INC. (GREENVILLE, SC) is newly SEC-registered with $115.5M RAUM and 2 advisory reps. IAPD ↗
$115.5M RAUM · 2 reps · 864-232-8231 · vmmanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
1ST DISCOUNT BROKERAGE, INC. (LAKE WORTH, FL) is newly SEC-registered with $108.1M RAUM and 9 advisory reps. IAPD ↗
$108.1M RAUM · 9 reps · 561-515-3200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOROWITZ & COMPANY, INC. (FORT LAUDERDALE, FL) is newly SEC-registered with $145.4M RAUM and 2 advisory reps. IAPD ↗
$145.4M RAUM · 2 reps · 954-349-0800 · dhunplugged.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LITTLEFIELD ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $124.2M RAUM and 1 advisory reps. IAPD ↗
$124.2M RAUM · 1 reps · 404-634-5404
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HUTCHINSON FINANCIAL ADVISORS, INC (GLEN ALLEN, VA) is newly SEC-registered with $120.9M RAUM and 1 advisory reps. IAPD ↗
$120.9M RAUM · 1 reps · 804-729-6420 · hutchinsonadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC (location n/a) is newly SEC-registered with $162.6M RAUM and 1 advisory reps. IAPD ↗
$162.6M RAUM · 1 reps · 786-261-6100 · comprehensivemoney.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPYGLASS INVESTMENT MANAGEMENT (TERRE HAUTE, IN) is newly SEC-registered with $140.0M RAUM and 3 advisory reps. IAPD ↗
$140.0M RAUM · 3 reps · (812) 238-8484 · spyglassinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PHILADELPHIA INVESTMENT PARTNERS, LLC (VOORHEES, NJ) is newly SEC-registered with $140.8M RAUM and 3 advisory reps. IAPD ↗
$140.8M RAUM · 3 reps · 856-210-6779 · piplp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL FINANCIAL, LLC (OLNEY, MD) is newly SEC-registered with $140.8M RAUM and 1 advisory reps. IAPD ↗
$140.8M RAUM · 1 reps · 301-260-8575 · capfinllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 106 more in the CSV export.

Marketing & brand 367 firms

98
AIS PLANNING (ST. CLOUD, MN) is newly SEC-registered with $485.1M RAUM and 9 advisory reps. IAPD ↗
$485.1M RAUM · 9 reps · (320) 252-6552
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
V.M. MANNING & CO., INC. (GREENVILLE, SC) is newly SEC-registered with $115.5M RAUM and 2 advisory reps. IAPD ↗
$115.5M RAUM · 2 reps · 864-232-8231 · vmmanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
1ST DISCOUNT BROKERAGE, INC. (LAKE WORTH, FL) is newly SEC-registered with $108.1M RAUM and 9 advisory reps. IAPD ↗
$108.1M RAUM · 9 reps · 561-515-3200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOROWITZ & COMPANY, INC. (FORT LAUDERDALE, FL) is newly SEC-registered with $145.4M RAUM and 2 advisory reps. IAPD ↗
$145.4M RAUM · 2 reps · 954-349-0800 · dhunplugged.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LITTLEFIELD ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $124.2M RAUM and 1 advisory reps. IAPD ↗
$124.2M RAUM · 1 reps · 404-634-5404
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HUTCHINSON FINANCIAL ADVISORS, INC (GLEN ALLEN, VA) is newly SEC-registered with $120.9M RAUM and 1 advisory reps. IAPD ↗
$120.9M RAUM · 1 reps · 804-729-6420 · hutchinsonadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC (location n/a) is newly SEC-registered with $162.6M RAUM and 1 advisory reps. IAPD ↗
$162.6M RAUM · 1 reps · 786-261-6100 · comprehensivemoney.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPYGLASS INVESTMENT MANAGEMENT (TERRE HAUTE, IN) is newly SEC-registered with $140.0M RAUM and 3 advisory reps. IAPD ↗
$140.0M RAUM · 3 reps · (812) 238-8484 · spyglassinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PHILADELPHIA INVESTMENT PARTNERS, LLC (VOORHEES, NJ) is newly SEC-registered with $140.8M RAUM and 3 advisory reps. IAPD ↗
$140.8M RAUM · 3 reps · 856-210-6779 · piplp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL FINANCIAL, LLC (OLNEY, MD) is newly SEC-registered with $140.8M RAUM and 1 advisory reps. IAPD ↗
$140.8M RAUM · 1 reps · 301-260-8575 · capfinllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 357 more in the CSV export.

Recruiting & transitions 167 firms

85
COLDSTREAM WEALTH MANAGEMENT grew from 141 to 165 advisory reps. IAPD ↗
$12.44B RAUM · 165 reps · 425-283-1600
CRMRecruiting & transitionsComplianceFinancial planning software
85
STEPSTONE GROUP LP grew from 164 to 193 advisory reps. IAPD ↗
$95.63B RAUM · 193 reps · 858-558-9700 · vimeo.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
FOCUS PARTNERS WEALTH, LLC grew from 945 to 980 advisory reps. IAPD ↗
$95.89B RAUM · 980 reps · (314) 725-0455
CRMRecruiting & transitionsComplianceFinancial planning software
84
ARAX ADVISORY PARTNERS grew from 38 to 52 advisory reps. IAPD ↗
$7.32B RAUM · 52 reps · 303-633-5900 · simondavisinc.com
CRMRecruiting & transitionsComplianceFinancial planning software
78
NINETY ONE NORTH AMERICA, INC. grew from 29 to 37 advisory reps. IAPD ↗
$38.74B RAUM · 37 reps · 1 917 206 5188 · ninetyone.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
CONCURRENT INVESTMENT ADVISORS, LLC grew from 137 to 143 advisory reps. IAPD ↗
$9.90B RAUM · 143 reps · 813-709-8800 · cornerstonepw.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
OASIS ADVISORS grew from 11 to 22 advisory reps. IAPD ↗
$0 RAUM · 22 reps · 715-843-5518
CRMRecruiting & transitionsComplianceFinancial planning software
75
TOCQUEVILLE ASSET MANAGEMENT LP grew from 36 to 41 advisory reps. IAPD ↗
$9.66B RAUM · 41 reps · 212-698-0800
CRMRecruiting & transitionsComplianceFinancial planning software
75
LUTHER KING CAPITAL MANAGEMENT CORPORATION grew from 67 to 72 advisory reps. IAPD ↗
$30.15B RAUM · 72 reps · 817-332-3235 · lkcm.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
ACORN FINANCIAL ADVISORY SERVICES, INC. grew from 12 to 17 advisory reps. IAPD ↗
$1.23B RAUM · 17 reps · (703) 293-3100 · olddominionira.com
CRMRecruiting & transitionsComplianceFinancial planning software

…and 157 more in the CSV export.

Integration & migration consulting 2 firms

70
EVANS CAPITAL MANAGEMENT ASSOCIATES crossed $500M in regulatory AUM ($463.9M -> $545.0M). IAPD ↗
$545.0M RAUM · 3 reps · 425-455-0501 · rlevansco.net
Portfolio / reporting / TAMPCRMIntegration & migration consulting
43
INVESTMENT ADVISORY GROUP LLC filed an Item 4A succession naming INVESTMENT ADVISORY GROUP LLC (CRD 109445) — an entity change, not a deal. IAPD ↗
$994.4M RAUM · 5 reps · 781-826-1235 · maritimewealthadvisors.com
Integration & migration consultingCompliance

Fund administration 3 firms

73
PERMANENT CAPITAL MANAGEMENT, LP now reports 1 private fund(s) ($2.5M gross). IAPD ↗
$742.2M RAUM · 1 reps · 312-961-8251 · permanent-capital.com
Fund administrationCompliance
73
BLUE DIAMOND CAPITAL INVESTMENT ADVISORS now reports 8 private fund(s) ($68.1M gross). IAPD ↗
$322.8M RAUM · 3 reps · 801-932-0311 · bdc-ia.com
Fund administrationCompliance
70
GARRISON MURPHY WEALTH MANAGEMENT, LLC now reports 2 private fund(s) ($13.3M gross). IAPD ↗
$235.5M RAUM · 2 reps · 716-462-5468 · gmwmllc.com
Fund administrationCompliance

Office IT & facilities 111 firms

55
SMITH SHELLNUT WILSON added office(s): 6 -> 7 additional locations. IAPD ↗
$8.02B RAUM · 15 reps · 601-605-1776 · ssw1776.com
Office IT & facilitiesCRMRecruiting & transitions
55
COBBLESTONE CAPITAL ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$2.93B RAUM · 23 reps · 585-473-3333 · cobblestonecap.com
Office IT & facilitiesCRMRecruiting & transitions
55
COLDSTREAM WEALTH MANAGEMENT added office(s): 7 -> 8 additional locations. IAPD ↗
$12.44B RAUM · 165 reps · 425-283-1600
Office IT & facilitiesCRMRecruiting & transitions
55
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. added office(s): 10 -> 11 additional locations. IAPD ↗
$43.42B RAUM · 99 reps · 800-621-4421 · mesirowfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
CONSOLIDATED PORTFOLIO REVIEW CORP added office(s): 24 -> 25 additional locations. IAPD ↗
$1.29B RAUM · 28 reps · 631-845-5100 · delanceywealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
CARY STREET PARTNERS added office(s): 23 -> 24 additional locations. IAPD ↗
$8.26B RAUM · 81 reps · (804) 340-8100
Office IT & facilitiesCRMRecruiting & transitions
55
SIMON QUICK ADVISORS, LLC added office(s): 5 -> 7 additional locations. IAPD ↗
$7.07B RAUM · 57 reps · 973-525-1000 · simonquickadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
ARAX ADVISORY PARTNERS added office(s): 9 -> 15 additional locations. IAPD ↗
$7.32B RAUM · 52 reps · 303-633-5900 · simondavisinc.com
Office IT & facilitiesCRMRecruiting & transitions
55
L & S ADVISORS, INC added office(s): 0 -> 2 additional locations. IAPD ↗
$1.05B RAUM · 15 reps · 310-893-6060 · lsadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
STEPSTONE GROUP LP added office(s): 9 -> 10 additional locations. IAPD ↗
$95.63B RAUM · 193 reps · 858-558-9700 · vimeo.com
Office IT & facilitiesCRMRecruiting & transitions

…and 101 more in the CSV export.

M&A & valuation 56 firms

65
CORRIGAN FINANCIAL INC (MIDDLETOWN, RI) left the SEC roster (was $1.15B RAUM, 12 reps). IAPD ↗
$1.15B RAUM · 12 reps · 401-849-9313 · corriganfinancialinc.com
Recruiting & transitionsM&A & valuation
65
BUFFINGTON MOHR MCNEAL (BOISE, ID) left the SEC roster (was $1.05B RAUM, 10 reps). IAPD ↗
$1.05B RAUM · 10 reps · 208-338-5551 · bmmria.com
Recruiting & transitionsM&A & valuation
65
MONTEREY PRIVATE WEALTH, INC. (MONTEREY, CA) left the SEC roster (was $1.10B RAUM, 8 reps). IAPD ↗
$1.10B RAUM · 8 reps · (831) 372-3426
Recruiting & transitionsM&A & valuation
65
POPLAR FOREST CAPITAL LLC (PASADENA, CA) left the SEC roster (was $1.28B RAUM, 6 reps). IAPD ↗
$1.28B RAUM · 6 reps · 626-304-6000 · poplarforestllc.com
Recruiting & transitionsM&A & valuation
65
PRIVATE PORTFOLIO PARTNERS, LLC (PARAMUS, NJ) left the SEC roster (was $1.05B RAUM, 19 reps). IAPD ↗
$1.05B RAUM · 19 reps · 201-939-6644 · fairway-wealth.com
Recruiting & transitionsM&A & valuation
65
ADERO PARTNERS, LLC (WALNUT CREEK, CA) left the SEC roster (was $4.38B RAUM, 24 reps). IAPD ↗
$4.38B RAUM · 24 reps · 650-252-0550
Recruiting & transitionsM&A & valuation
65
SPECTRUM WEALTH MANAGEMENT (INDIANAPOLIS, IN) left the SEC roster (was $1.15B RAUM, 6 reps). IAPD ↗
$1.15B RAUM · 6 reps · 317-663-5600
Recruiting & transitionsM&A & valuation
63
DREHER INVESTMENT SERVICES, INC. (SAN ANGELO, TX) left the SEC roster (was $272.0M RAUM, 5 reps). IAPD ↗
$272.0M RAUM · 5 reps · 325-486-8600 · dreherinvestmentservices.com
Recruiting & transitionsM&A & valuation
63
PARSONS CAPITAL MANAGEMENT, LLC (NEW HOPE, PA) left the SEC roster (was $803.8M RAUM, 2 reps). IAPD ↗
$803.8M RAUM · 2 reps · 908-730-0011 · parsonscapitalmanagement.com
Recruiting & transitionsM&A & valuation
63
MICHAEL A. DUBIS FINANCIAL PLANNING, LLC (MIDDLETON, WI) left the SEC roster (was $272.5M RAUM, 1 reps). IAPD ↗
$272.5M RAUM · 1 reps · 608-827-6755 · michaeldubis.com
Recruiting & transitionsM&A & valuation

…and 46 more in the CSV export.

Everything else — all segments

state expansion — 216 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
SIMON QUICK ADVISORS, LLC notice-filed in AZ, NV, OR, WA, WI. IAPD ↗
$7.07B RAUM · 57 reps · 973-525-1000 · simonquickadvisors.com
ComplianceMarketing & brand
55
FOCUSED WEALTH MANAGEMENT, INC. notice-filed in DE, MO, NE, NH, TN. IAPD ↗
$1.89B RAUM · 13 reps · 845-691-4035
ComplianceMarketing & brand
55
ASSUREDPARTNERS INVESTMENT ADVISORS notice-filed in AR, DC, ND, NH, NM, OK, RI, SD, VT. IAPD ↗
$3.25B RAUM · 46 reps · 407-708-0050
ComplianceMarketing & brand
55
IMPACT PARTNERSHIP WEALTH, LLC notice-filed in ID, MS, MT, NH, RI, SD, VT, WI. IAPD ↗
$1.68B RAUM · 72 reps · 800-380-5040
ComplianceMarketing & brand
53
NINETY ONE NORTH AMERICA, INC. notice-filed in IN, MN, MS, NE. IAPD ↗
$38.74B RAUM · 37 reps · 1 917 206 5188 · ninetyone.com
ComplianceMarketing & brand
53
ARC ADVISORY LLC notice-filed in AZ, CO, CT, DC, FL, GA, IA, IL, KS, MA, MD, ME, MI, MN, MO, NC, NE, NH, NJ, NV, OH, OR, PA, PR, TN, TX, UT, VA, WA, WY. IAPD ↗
$440.5M RAUM · 9 reps · (510) 213-8085
ComplianceMarketing & brand
53
INDIVISIBLE PARTNERS notice-filed in AL, CA, CO, LA, SC, VA. IAPD ↗
$421.3M RAUM · 3 reps · 732-306-5490 · linkedin.company
ComplianceMarketing & brand
51
HAROLD DAVIDSON & ASSOCIATES INC notice-filed in AZ, FL, NV, NY. IAPD ↗
$358.5M RAUM · 3 reps · 310-553-5551
ComplianceMarketing & brand
51
MONTIS FINANCIAL, LLC notice-filed in LA, MI, OH. IAPD ↗
$1.01B RAUM · 17 reps · 781-541-5057 · montisfinancial.com
ComplianceMarketing & brand
51
CENTURA WEALTH ADVISORY notice-filed in GA, ID, NY, OR. IAPD ↗
$769.1M RAUM · 18 reps · 858-771-9500
ComplianceMarketing & brand
51
JOURNEY STRATEGIC WEALTH LLC notice-filed in LA, PA, SD. IAPD ↗
$3.76B RAUM · 20 reps · (201) 905-0070 · journeysw.com
ComplianceMarketing & brand
50
SANDERS & SCOTT, CHFC notice-filed in AL, FL, LA, SC, TX. IAPD ↗
$135.2M RAUM · 2 reps · 770-760-8933 · sandersandscott.com
ComplianceMarketing & brand
50
CABIN ADVISORS, LLC notice-filed in AK, AR, AZ, CO, FL, GA, ID, IL, LA, MD, MI, MN, MO, NC, ND, NE, NJ, NM, NY, OR, PA, PR, SC, VA, WA, WY. IAPD ↗
$133.6M RAUM · 14 reps · 913-933-3351 · aycockwealthmanagement.com
ComplianceMarketing & brand
50
MDRN CAPITAL notice-filed in MT, NM, OR, SC, TN. IAPD ↗
$160.9M RAUM · 23 reps · 410-533-9966 · go.aaroncirksena.com
ComplianceMarketing & brand
50
WYZE WEALTH ADVISORS, LLC notice-filed in FL, NC, OH, TX, VA. IAPD ↗
$230.0M RAUM · 3 reps · 724-747-6451 · wyzewealthadvisors.com
ComplianceMarketing & brand
50
W&S ADVISORY SERVICES, LLC notice-filed in FL, MS, NC, PA, SC, TX, VA. IAPD ↗
$0 RAUM · 0 reps · 513-362-8176 · meetfabric.com
ComplianceMarketing & brand
50
STEINBERGANNA WEALTH MANAGEMENT LLC notice-filed in CT, FL, MA, NC, NJ, TX. IAPD ↗
$0 RAUM · 2 reps · 631-271-6160 · steinberganna.com
ComplianceMarketing & brand
49
PARAGON CAPITAL MANAGEMENT notice-filed in NE, VA. IAPD ↗
$1.25B RAUM · 4 reps · 303-293-3680 · paragoncapitalco.com
ComplianceMarketing & brand
49
KORNITZER CAPITAL MANAGEMENT, INC. notice-filed in IA, UT. IAPD ↗
$6.75B RAUM · 24 reps · 913-677-7778 · kornitzercapitalmanagement.com
ComplianceMarketing & brand
49
ANCHOR INVESTMENT MANAGEMENT notice-filed in CA, LA. IAPD ↗
$1.36B RAUM · 10 reps · 803-790-6654
ComplianceMarketing & brand
49
FOUNTAINHEAD ADVISORS notice-filed in ID, OR. IAPD ↗
$1.02B RAUM · 18 reps · 732-346-1900
ComplianceMarketing & brand
49
GOVERNMENT PORTFOLIO ADVISORS LLC notice-filed in MO, UT. IAPD ↗
$25.90B RAUM · 6 reps · 503-248-9973 · gpafixedincome.com
ComplianceMarketing & brand
49
FORTIS GROUP ADVISORS LLC notice-filed in IA, SD, TN. IAPD ↗
$799.6M RAUM · 25 reps · 201-383-0630 · fortisgroupadvisors.com
ComplianceMarketing & brand
49
CX INSTITUTIONAL, LLC notice-filed in NV, UT. IAPD ↗
$3.34B RAUM · 59 reps · 260-927-1830 · personalwealthpartners.com
ComplianceMarketing & brand
49
MATTERN WEALTH MANAGEMENT LLC notice-filed in CT, NY, OK. IAPD ↗
$533.7M RAUM · 3 reps · 785-842-7680 · matternwealth.com
ComplianceMarketing & brand
49
BROOKWOOD INVESTMENT GROUP notice-filed in KS, MO. IAPD ↗
$1.06B RAUM · 24 reps · 4806463504 · ckwmg.com
ComplianceMarketing & brand
49
SLK PRIVATE WEALTH MANAGEMENT, LLC notice-filed in NH, VA. IAPD ↗
$1.65B RAUM · 8 reps · (424) 500-4613
ComplianceMarketing & brand
48
PATHWAYS WEALTH MANAGEMENT, INC. notice-filed in FL, IN, KY, WV. IAPD ↗
$133.3M RAUM · 3 reps · 937-552-9765 · pathwayswm.com
ComplianceMarketing & brand
48
ARIMATHEA notice-filed in LA, MO, NY, TX. IAPD ↗
$2.7M RAUM · 3 reps · 707-813-7070 · arimatheainvesting.com
ComplianceMarketing & brand
48
BLUE JEAN FINANCIAL LLC notice-filed in FL, MN, NC, PA. IAPD ↗
$94.7M RAUM · 7 reps · (518) 406-8488 · bluejeanfinancial.com
ComplianceMarketing & brand
47
SEARLE & CO. notice-filed in AL, TN. IAPD ↗
$649.0M RAUM · 7 reps · 203-869-4800 · searleco.com
ComplianceMarketing & brand
47
SUNBELT SECURITIES notice-filed in AK. IAPD ↗
$2.02B RAUM · 68 reps · 713-965-9510 · cwrawl.com
ComplianceMarketing & brand
47
TFC FINANCIAL MANAGEMENT INC notice-filed in NC. IAPD ↗
$1.54B RAUM · 10 reps · 617-210-6700
ComplianceMarketing & brand
47
BEDEL FINANCIAL CONSULTING INC notice-filed in WI. IAPD ↗
$2.47B RAUM · 15 reps · 317-843-1358
ComplianceMarketing & brand
47
EAGLE CAPITAL MANAGEMENT LLC notice-filed in IA. IAPD ↗
$31.19B RAUM · 12 reps · 212-293-4040 · eaglecap.com
ComplianceMarketing & brand
47
HUDSON VALLEY INVESTMENT ADVISORS, INC. notice-filed in WA. IAPD ↗
$1.65B RAUM · 8 reps · 845-294-6127 · hviaonline.com
ComplianceMarketing & brand
47
BEESE FULMER PRIVATE WEALTH MANAGEMENT notice-filed in TN. IAPD ↗
$1.58B RAUM · 5 reps · 330-454-6555 · beesefulmer.com
ComplianceMarketing & brand
47
NEWSOUTH CAPITAL MANAGEMENT INC notice-filed in WI. IAPD ↗
$2.21B RAUM · 8 reps · 901-761-5561 · newsouthcapital.com
ComplianceMarketing & brand
47
AMERICAN CAPITAL MANAGEMENT INC notice-filed in DE. IAPD ↗
$2.64B RAUM · 8 reps · 212-344-3300 · americancapitalmanagement.com
ComplianceMarketing & brand
47
JSF FINANCIAL, LLC notice-filed in PA. IAPD ↗
$1.73B RAUM · 13 reps · 323-866-0833 · jsffinancial.com
ComplianceMarketing & brand
47
CALLAHAN ADVISORS, LLC notice-filed in CO. IAPD ↗
$1.20B RAUM · 6 reps · 713-572-3366
ComplianceMarketing & brand
47
DISCIPLINED INVESTORS, L.L.C. notice-filed in FL, LA. IAPD ↗
$702.5M RAUM · 7 reps · 254-265-7410 · dinvestors.com
ComplianceMarketing & brand
47
GIBRALTAR CAPITAL MANAGEMENT, INC. notice-filed in FL, LA. IAPD ↗
$840.6M RAUM · 12 reps · (918) 492-4209 · gibraltar-capital.com
ComplianceMarketing & brand
47
VALEO FINANCIAL ADVISORS, LLC notice-filed in HI. IAPD ↗
$10.64B RAUM · 111 reps · 317.218.6000
ComplianceMarketing & brand
47
APRIO WEALTH MANAGEMENT, LLC notice-filed in CO. IAPD ↗
$2.64B RAUM · 24 reps · 404-892-9651 · wealth.aprio.com
ComplianceMarketing & brand
47
MJP WEALTH ADVISORS notice-filed in AZ. IAPD ↗
$1.32B RAUM · 6 reps · 860-677-7755
ComplianceMarketing & brand
47
BASSO CAPITAL MANAGEMENT, L.P. notice-filed in CA. IAPD ↗
$2.23B RAUM · 4 reps · 203 352-6100 · bassofamilyoffice.com
ComplianceMarketing & brand
47
FREESTONE CAPITAL MANAGEMENT, LLC notice-filed in KS. IAPD ↗
$11.49B RAUM · 42 reps · 206-707-7300
ComplianceMarketing & brand
47
MAINLINE WEST FUND MANAGER LLC notice-filed in OK. IAPD ↗
$1.68B RAUM · 4 reps · 720-536-3380 · mainlinewest.net
ComplianceMarketing & brand
47
STRATEGIC WEALTH PARTNERS, LTD. notice-filed in PR. IAPD ↗
$1.32B RAUM · 19 reps · (216) 800-9000 · swpconnect.com
ComplianceMarketing & brand
47
STILLWATER CAPITAL ADVISORS, LLC notice-filed in SC. IAPD ↗
$1.15B RAUM · 4 reps · 610-848-6760 · stillwateradv.com
ComplianceMarketing & brand
47
ASHTON THOMAS PRIVATE WEALTH notice-filed in IA. IAPD ↗
$4.05B RAUM · 35 reps · 602-732-4745
ComplianceMarketing & brand
47
VERITY ASSET MANAGEMENT notice-filed in VT. IAPD ↗
$1.04B RAUM · 57 reps · 919-490-6717
ComplianceMarketing & brand
47
ISC ADVISORS, INC. notice-filed in IN. IAPD ↗
$1.54B RAUM · 26 reps · 214 520 1115
ComplianceMarketing & brand
47
MBM WEALTH CONSULTANTS, LLC notice-filed in WA, WI. IAPD ↗
$417.9M RAUM · 6 reps · (636) 274-6262
ComplianceMarketing & brand
47
BEACON FINANCIAL ADVISORY LLC notice-filed in KY, UT. IAPD ↗
$677.6M RAUM · 13 reps · 216-910-1850
ComplianceMarketing & brand
47
BOSTONPREMIER WEALTH notice-filed in CA, NJ. IAPD ↗
$351.1M RAUM · 5 reps · (617) 934-1100
ComplianceMarketing & brand
47
ABOUND WEALTH MANAGEMENT, LLC notice-filed in KY. IAPD ↗
$1.39B RAUM · 22 reps · 615-226-3667 · moneyguy.com
ComplianceMarketing & brand
47
EVERSOURCE WEALTH ADVISORS, LLC notice-filed in KY. IAPD ↗
$3.95B RAUM · 40 reps · 205-982-5515 · centerpointstrategies.com
ComplianceMarketing & brand
47
SLATESTONE WEALTH LLC notice-filed in PA. IAPD ↗
$1.65B RAUM · 18 reps · 561-244-2504
ComplianceMarketing & brand
47
JORDAN PARK GROUP LLC notice-filed in MA. IAPD ↗
$18.12B RAUM · 92 reps · (415) 417-3000
ComplianceMarketing & brand
47
CAPITA FINANCIAL NETWORK, LLC notice-filed in TN. IAPD ↗
$1.85B RAUM · 22 reps · 801-566-5058
ComplianceMarketing & brand
47
WESTWOOD WEALTH MANAGEMENT notice-filed in LA, NV. IAPD ↗
$338.8M RAUM · 2 reps · (424) 255-3120 · wwmgmt.co
ComplianceMarketing & brand
47
LEGACY CAPITAL WEALTH PARTNERS, LLC notice-filed in MO. IAPD ↗
$1.32B RAUM · 16 reps · 501-376-7878 · legacycapitalwp.com
ComplianceMarketing & brand
47
THURSTON SPRINGER ADVISORS notice-filed in DE. IAPD ↗
$3.96B RAUM · 68 reps · 317.581.4000 · cohen-cap.com
ComplianceMarketing & brand
47
WEDMONT PRIVATE CAPITAL notice-filed in WI. IAPD ↗
$2.37B RAUM · 7 reps · 6108858200
ComplianceMarketing & brand
47
SYNERGY INVESTMENT MANAGEMENT LLC notice-filed in NH, NY. IAPD ↗
$461.2M RAUM · 9 reps · 321-203-4458
ComplianceMarketing & brand
47
TRIAGEN WEALTH MANAGEMENT LLC notice-filed in NH, NY. IAPD ↗
$473.6M RAUM · 3 reps · 818-732-8553
ComplianceMarketing & brand
47
WEALTHPLAN INVESTMENT MANAGEMENT LLC notice-filed in MT. IAPD ↗
$1.57B RAUM · 14 reps · 402-691-0200
ComplianceMarketing & brand
47
MARIPAU WEALTH MANAGEMENT LLC notice-filed in NC, NH. IAPD ↗
$296.1M RAUM · 18 reps · 260-493-3930
ComplianceMarketing & brand
47
GATEWAY WEALTH PARTNERS, LLC notice-filed in NM. IAPD ↗
$1.25B RAUM · 66 reps · (920) 731-9293 · integratedwealthpartners.com
ComplianceMarketing & brand
47
INTELLUS ADVISORS, LLC notice-filed in AZ. IAPD ↗
$1.18B RAUM · 7 reps · 239-649-3600 · intellusadvisors.com
ComplianceMarketing & brand
47
BERMAN MCALEER notice-filed in AZ. IAPD ↗
$1.60B RAUM · 14 reps · 410-560-9960
ComplianceMarketing & brand
46
ORCA INVESTMENT MANAGEMENT, LLC notice-filed in AZ, CO, KY. IAPD ↗
$183.4M RAUM · 3 reps · (503)582-9500 · orcaim.com
ComplianceMarketing & brand
46
DYNAMIC WEALTH ADVISORS notice-filed in FL, IN, WA. IAPD ↗
$140.1M RAUM · 4 reps · 623-466-6060 · dynamicwealthmgt.com
ComplianceMarketing & brand
46
YOUR FINANCIAL PHARMACIST notice-filed in KY, NE, NH. IAPD ↗
$35.4M RAUM · 4 reps · 614-618-5901
ComplianceMarketing & brand
46
AWH FINANCIAL, LLC notice-filed in HI, KS, SC. IAPD ↗
$0 RAUM · 47 reps · 610-660-4283
ComplianceMarketing & brand
46
INTEGRATED PLANNING & WEALTH MANAGEMENT, LLC notice-filed in CA, HI, PA. IAPD ↗
$80.4M RAUM · 4 reps · (317) 706-4748
ComplianceMarketing & brand
46
SUNBEAM CAPITAL MANAGEMENT, LLC notice-filed in LA, NY, TX. IAPD ↗
$213.2M RAUM · 2 reps · (901) 229-2132
ComplianceMarketing & brand
46
DOMAIN MONEY ADVISORS, LLC notice-filed in MA, MI, MO. IAPD ↗
$0 RAUM · 9 reps · 646-970-6926
ComplianceMarketing & brand
46
THE QUICK GROUP LLC notice-filed in FL, NJ, TX. IAPD ↗
$100.4M RAUM · 1 reps · 6464963900
ComplianceMarketing & brand
46
PERSIMMON CAPITAL MANAGEMENT notice-filed in CA, CO, WI. IAPD ↗
$0 RAUM · 2 reps · 484-572-0500
ComplianceMarketing & brand
45
AMERICAN INVESTORS CO notice-filed in VA. IAPD ↗
$578.1M RAUM · 30 reps · 925-866-2882 · americaninvestorsco.com
ComplianceMarketing & brand
45
APC FINANCIAL PLANNING notice-filed in MA. IAPD ↗
$406.6M RAUM · 6 reps · 865-690-1231
ComplianceMarketing & brand
45
WEALTH MANAGEMENT RESOURCES, INC. notice-filed in ME. IAPD ↗
$385.2M RAUM · 6 reps · (401) 356-1400 · wealthmanagers.com
ComplianceMarketing & brand
45
CLARITI WEALTH ADVISORS notice-filed in SC. IAPD ↗
$622.2M RAUM · 6 reps · 302-994-4444
ComplianceMarketing & brand
45
ATLAS CAPITAL MANAGEMENT CORP notice-filed in AZ. IAPD ↗
$562.6M RAUM · 4 reps · 260-637-2857 · atlascapitalmanagement.com
ComplianceMarketing & brand
45
PARK PLACE CAPITAL CORPORATION notice-filed in SC. IAPD ↗
$724.0M RAUM · 5 reps · 800-459-9084 · nashcap.com
ComplianceMarketing & brand
45
LINCOLN CAPITAL CORPORATION notice-filed in NC. IAPD ↗
$377.5M RAUM · 4 reps · (401) 454-3040 · lincolncapitalcorp.com
ComplianceMarketing & brand
45
NOESIS CAPITAL MANAGEMENT CORP notice-filed in KS. IAPD ↗
$707.2M RAUM · 7 reps · 561-999-9888 · noesis-capital.com
ComplianceMarketing & brand
45
THE CAPITAL MANAGEMENT CORPORATION notice-filed in GA. IAPD ↗
$710.1M RAUM · 7 reps · 804-270-4000 · cmcva.com
ComplianceMarketing & brand
45
GALLACHER CAPITAL MANAGEMENT, LLC notice-filed in MN. IAPD ↗
$487.8M RAUM · 10 reps · 303-708-1640 · gallachercapital.com
ComplianceMarketing & brand
45
FINANCIAL SECURITY MANAGEMENT, INC notice-filed in MT. IAPD ↗
$556.0M RAUM · 5 reps · 303-988-1411 · fsm-inc.com
ComplianceMarketing & brand
45
FINANCIAL MANAGEMENT STRATEGIES, INC. notice-filed in NY. IAPD ↗
$619.5M RAUM · 23 reps · 216-642-1099 · fmstrategies.biz
ComplianceMarketing & brand
45
HIXON ZUERCHER CAPITAL MANAGEMENT notice-filed in MI. IAPD ↗
$412.1M RAUM · 7 reps · 419-425-2400
ComplianceMarketing & brand
45
GRADIENT WEALTH MANAGEMENT notice-filed in ND. IAPD ↗
$591.1M RAUM · 62 reps · 866-991-1539 · gradientsecurities.com
ComplianceMarketing & brand
45
GOEPPER BURKHARDT LLC notice-filed in TN. IAPD ↗
$325.7M RAUM · 3 reps · 864-370-3244 · goepperburkhardt.com
ComplianceMarketing & brand
45
ETF PORTFOLIO PARTNERS, INC. notice-filed in NC. IAPD ↗
$369.0M RAUM · 3 reps · 913-851-1100 · etfpp.com
ComplianceMarketing & brand
45
CALIFORNIA CAPITAL MANAGEMENT notice-filed in NC. IAPD ↗
$321.0M RAUM · 5 reps · 818-766-0660 · calcapmgt.com
ComplianceMarketing & brand
45
FORUM PRIVATE CLIENT GROUP notice-filed in MI. IAPD ↗
$342.4M RAUM · 7 reps · 317-558-6322 · forumcu.com
ComplianceMarketing & brand
45
REAP FINANCIAL GROUP, LLC notice-filed in CO. IAPD ↗
$510.2M RAUM · 7 reps · 512-249-7300 · reapfinancial.com
ComplianceMarketing & brand
45
PARK, MILLER, LLC notice-filed in AZ. IAPD ↗
$288.4M RAUM · 3 reps · 925-974-3324 · parkmiller.com
ComplianceMarketing & brand
45
LANTERN WEALTH ADVISORS, LLC notice-filed in VA. IAPD ↗
$265.5M RAUM · 15 reps · 631-454-2000 · lanternwa.com
ComplianceMarketing & brand
45
PEDDOCK CAPITAL ADVISORS, LLC notice-filed in NH. IAPD ↗
$731.5M RAUM · 5 reps · (781) 848-0288
ComplianceMarketing & brand
45
UNITED FINANCIAL PLANNING GROUP LLC notice-filed in CT. IAPD ↗
$305.4M RAUM · 5 reps · (631) 234-0871
ComplianceMarketing & brand
45
MONTE FINANCIAL GROUP, LLC notice-filed in NJ. IAPD ↗
$426.6M RAUM · 6 reps · 203-453-6851
ComplianceMarketing & brand
45
GLOBAL VIEW CAPITAL MANAGEMENT LLC notice-filed in NJ. IAPD ↗
$708.0M RAUM · 85 reps · 262-650-1030 · gvcmanagement.com
ComplianceMarketing & brand
45
ROTHSCHILD CAPITAL PARTNERS notice-filed in VA. IAPD ↗
$467.8M RAUM · 5 reps · 212-931-5303
ComplianceMarketing & brand
45
FSA INVESTMENT GROUP, LLC notice-filed in NV. IAPD ↗
$709.5M RAUM · 13 reps · (850) 696-1550 · fsa-ig.com
ComplianceMarketing & brand
45
MOSAIC ADVISORS notice-filed in NV. IAPD ↗
$499.4M RAUM · 16 reps · 713-980-4100
ComplianceMarketing & brand
45
LAKE TAHOE WEALTH MANAGEMENT, INC. notice-filed in MN. IAPD ↗
$257.2M RAUM · 3 reps · 855-515-5896 · laketahoewealthmanagement.org
ComplianceMarketing & brand
45
GEOMETRIC WEALTH ADVISORS, LLC notice-filed in PA. IAPD ↗
$971.6M RAUM · 8 reps · (973) 525-4901
ComplianceMarketing & brand
45
ROSE CAPITAL ADVISORS, LLC notice-filed in CT. IAPD ↗
$663.6M RAUM · 7 reps · 305-534-7673 · rosecapitaladvisors.com
ComplianceMarketing & brand
45
NOVAPOINT CAPITAL LLC notice-filed in VA. IAPD ↗
$437.3M RAUM · 6 reps · (404) 445-7885
ComplianceMarketing & brand
45
PROFESSIONAL FINANCIAL ADVISORS, LLC notice-filed in LA. IAPD ↗
$614.1M RAUM · 6 reps · 308-534-8210
ComplianceMarketing & brand
45
FLEXPATH STRATEGIES notice-filed in DC, DE, FL, GA, IA, ID, IL, IN, KS, LA, MA, MD, MI, MN, MO, NC, NE, NJ, NM, NV, NY, OH, OK, PA, UT, WA, WI. IAPD ↗institutional
$79.85B RAUM · 12 reps · 949-418-6030 · flexpathstrategies.com
ComplianceMarketing & brand
45
LEADING EDGE FINANCIAL PLANNING LLC notice-filed in MD. IAPD ↗
$360.2M RAUM · 7 reps · 865-240-2292 · leadingedgeplanning.com
ComplianceMarketing & brand
45
GREAT OAK CAPITAL PARTNERS, LLC notice-filed in CT. IAPD ↗
$390.3M RAUM · 4 reps · (508) 230-7100
ComplianceMarketing & brand
45
GIBBS WEALTH MANAGEMENT, LLC notice-filed in WV. IAPD ↗
$639.2M RAUM · 49 reps · 678-694-8770 · investsafefinancial.com
ComplianceMarketing & brand
45
VERMILLION WEALTH MANAGEMENT INC. notice-filed in TX. IAPD ↗
$340.2M RAUM · 3 reps · 651-480-4601 · vermillionwealthmanagement.com
ComplianceMarketing & brand
45
ISTO ADVISORS, LLC notice-filed in NY. IAPD ↗
$871.6M RAUM · 18 reps · 248-458-1100 · istoadvisors.com
ComplianceMarketing & brand
45
OASIS WEALTH PLANNING ADVISORS notice-filed in SC. IAPD ↗
$267.8M RAUM · 6 reps · (615) 933-3314 · oasiswealthplanning.com
ComplianceMarketing & brand
45
XYPN INVEST notice-filed in OR. IAPD ↗
$321.0M RAUM · 28 reps · (360) 301-7579
ComplianceMarketing & brand
45
STRATA WEALTH ADVISORS, LLC notice-filed in MT. IAPD ↗
$927.3M RAUM · 9 reps · (214) 420-7020 · stratawealth.com
ComplianceMarketing & brand
45
WHITAKER-MYERS WEALTH MANAGERS, LTD. notice-filed in OR. IAPD ↗
$713.1M RAUM · 14 reps · (330) 345-5000 · whitaker-myers.com
ComplianceMarketing & brand
45
PLAN A WEALTH, LLC notice-filed in CA. IAPD ↗
$370.4M RAUM · 8 reps · 402-975-8008 · planawm.com
ComplianceMarketing & brand
45
PCG WEALTH MANAGEMENT notice-filed in MI. IAPD ↗
$765.5M RAUM · 23 reps · (913) 323-3112 · pcgstrategies.com
ComplianceMarketing & brand
45
BROOKLYN FI, LLC notice-filed in OH. IAPD ↗
$341.5M RAUM · 11 reps · 718-690-3600
ComplianceMarketing & brand
45
LAKE STREET notice-filed in MN. IAPD ↗
$961.8M RAUM · 6 reps · 312-766 7040 · clarity-fg.com
ComplianceMarketing & brand
45
TRUEWEALTH ADVISORS, LLC notice-filed in VA. IAPD ↗
$438.9M RAUM · 13 reps · 205-588-4800
ComplianceMarketing & brand
45
RANCH CAPITAL ADVISORS INC. notice-filed in NH. IAPD ↗
$338.2M RAUM · 6 reps · (941) 462-2666 · ranchcap.com
ComplianceMarketing & brand
45
BROWN | MILLER WEALTH MANAGEMENT, LLC notice-filed in SC. IAPD ↗
$827.9M RAUM · 9 reps · 703-972-1950 · brownmillerwm.com
ComplianceMarketing & brand
45
GRAYSTONE PARTNERS WEALTH MANAGEMENT, LLC notice-filed in FL. IAPD ↗
$348.9M RAUM · 3 reps · (480) 557-9727
ComplianceMarketing & brand
45
626 FINANCIAL, LLC notice-filed in OR. IAPD ↗
$326.4M RAUM · 5 reps · (269) 321-5040 · 626financial.com
ComplianceMarketing & brand
45
SERENITY INVESTMENT ADVISORS notice-filed in NM. IAPD ↗
$376.0M RAUM · 5 reps · 312-734-1415 · yelp.com
ComplianceMarketing & brand
45
ADAMSBROWN WEALTH CONSULTANTS LLC notice-filed in CA. IAPD ↗
$880.9M RAUM · 15 reps · (316) 683-2067
ComplianceMarketing & brand
45
EDGEROCK WEALTH MANAGEMENT notice-filed in LA. IAPD ↗
$470.5M RAUM · 9 reps · 303.780.7350
ComplianceMarketing & brand
45
ARGONAUTICA PRIVATE WEALTH MANAGEMENT, INC notice-filed in NC. IAPD ↗
$507.2M RAUM · 3 reps · 781-591-0200 · argonauticapwm.com
ComplianceMarketing & brand
45
PORTFOLIO DESIGN LABS, LLC notice-filed in KS. IAPD ↗
$501.8M RAUM · 1 reps · 310-755-0411
ComplianceMarketing & brand
45
ZENITH WEALTH ADVISORS notice-filed in CO. IAPD ↗
$303.0M RAUM · 4 reps · 480-999-9900 · zenithwealthadvisors.com
ComplianceMarketing & brand
45
JOYCE WEALTH MANAGEMENT, LLC notice-filed in GA. IAPD ↗
$420.0M RAUM · 3 reps · 713-714-8500 · joycewealthmanagement.com
ComplianceMarketing & brand
45
MARIDEA WEALTH MANAGEMENT notice-filed in IL. IAPD ↗
$469.2M RAUM · 15 reps · 347-289-5227 · hartshornegroup.com
ComplianceMarketing & brand
45
TRIAD WEALTH PARTNERS, LLC notice-filed in MT. IAPD ↗
$425.0M RAUM · 13 reps · 785-830-0000 · triadwealthpartners.com
ComplianceMarketing & brand
45
CURIO WEALTH, LLC notice-filed in CA. IAPD ↗
$384.3M RAUM · 7 reps · 410-449-2599 · curiowealth.com
ComplianceMarketing & brand
45
PITCAIRN WEALTH ADVISORS LLC notice-filed in FL. IAPD ↗
$775.8M RAUM · 2 reps · 215-881-6144 · pitcairn.com
ComplianceMarketing & brand
44
STERLING WEALTH ADVISORS, INC. notice-filed in NC, TN. IAPD ↗
$187.6M RAUM · 1 reps · 954-771-1313 · sterlingwealthadvisors.com
ComplianceMarketing & brand
44
CORE PLANNING notice-filed in AR, WA. IAPD ↗
$121.5M RAUM · 32 reps · 636-734-7507 · savor.financial
ComplianceMarketing & brand
44
O'CONNOR FINANCIAL GROUP LLC notice-filed in FL, NE. IAPD ↗
$235.1M RAUM · 3 reps · (217) 223-0113
ComplianceMarketing & brand
44
TOPTIER WEALTH MANAGEMENT notice-filed in IL, MN. IAPD ↗
$135.3M RAUM · 2 reps · 262-989-8551 · toptierwealthmanagement.com
ComplianceMarketing & brand
44
WINCAP FINANCIAL LLC notice-filed in CO, NJ. IAPD ↗
$153.3M RAUM · 5 reps · (617) 590-3250 · wincapfinancial.com
ComplianceMarketing & brand
42
COORDINATED CAPITAL SECURITIES, INC. notice-filed in OR. IAPD ↗
$159.9M RAUM · 20 reps · 608-221-4545
ComplianceMarketing & brand
42
WESTPARK CAPITAL, INC. notice-filed in MS. IAPD ↗
$47.6M RAUM · 10 reps · 347-429-8380 · diligentfinancialgroup.com
ComplianceMarketing & brand
42
CAROLINA FINANCIAL ADVISORS, INC. notice-filed in CO. IAPD ↗
$211.6M RAUM · 4 reps · 336-333-0176 · carolinafinancialadvisors.com
ComplianceMarketing & brand
42
RMG ADVISORS notice-filed in NY. IAPD ↗
$137.2M RAUM · 2 reps · 301-838-4111
ComplianceMarketing & brand
42
PACIFIC COAST INVESTMENT ADVISORS, LLC notice-filed in WA. IAPD ↗
$111.3M RAUM · 1 reps · 503-968-2500 · pacificcoastia.com
ComplianceMarketing & brand
42
SECURE INVESTMENT MANAGEMENT, LLC notice-filed in UT. IAPD ↗
$38.3M RAUM · 12 reps · 520-333-4719 · secureinvestmentmanagement.com
ComplianceMarketing & brand
42
SCHWALLIER WEALTH MANAGEMENT notice-filed in NE. IAPD ↗
$171.3M RAUM · 3 reps · 616-855-2051
ComplianceMarketing & brand
42
MARMO FINANCIAL GROUP, LLC notice-filed in LA. IAPD ↗
$248.8M RAUM · 3 reps · 423-282-0514
ComplianceMarketing & brand
42
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC notice-filed in VA. IAPD ↗
$227.6M RAUM · 10 reps · (949) 261-7726
ComplianceMarketing & brand
42
GLOBAL VALUE INVESTMENT CORPORATION notice-filed in WV. IAPD ↗
$194.3M RAUM · 7 reps · 262-478-0640 · gvi-corp.com
ComplianceMarketing & brand
42
GUARDIAN ASSET ADVISORS, LLC notice-filed in WV. IAPD ↗
$245.6M RAUM · 8 reps · 717-691-3003 · sentinelintegratedplanning.com
ComplianceMarketing & brand
42
FINANCIAL ELEMENTS, INC notice-filed in WA. IAPD ↗
$102.1M RAUM · 1 reps · 847-496-4179
ComplianceMarketing & brand
42
RGA INVESTMENT ADVISORS, LLC notice-filed in FL. IAPD ↗
$107.3M RAUM · 3 reps · 516-665-1945 · rgaia.com
ComplianceMarketing & brand
42
THE DOWLING GROUP WEALTH MANAGEMENT notice-filed in WA. IAPD ↗
$165.6M RAUM · 3 reps · 203-967-2231 · thedowlinggroup.com
ComplianceMarketing & brand
42
ONE ADVISORY PARTNERS, LLC notice-filed in NC. IAPD ↗
$243.3M RAUM · 4 reps · 913-663-2376 · oneadvisorypartners.com
ComplianceMarketing & brand
42
RETIREMENT STRATEGIES, LTD. notice-filed in CA. IAPD ↗
$242.9M RAUM · 5 reps · 614-799-8668
ComplianceMarketing & brand
42
LAUGHLIN FINANCIAL LLC notice-filed in IL. IAPD ↗
$167.7M RAUM · 2 reps · 812-552-2113 · laughlinfinancial.com
ComplianceMarketing & brand
42
RUTHERFORD INVESTMENT MANAGEMENT notice-filed in ID. IAPD ↗
$216.4M RAUM · 4 reps · 503-452-1210 · rutherfordinvestment.com
ComplianceMarketing & brand
42
REDWOOD INVESTMENT GROUP, INC notice-filed in ID. IAPD ↗
$176.4M RAUM · 3 reps · 707-964-9700 · myredwoodinvestments.com
ComplianceMarketing & brand
42
SIMS INVESTMENT MANAGEMENT LLC notice-filed in TN. IAPD ↗
$245.9M RAUM · 4 reps · 513-278-7467 · simsinvestment.com
ComplianceMarketing & brand
42
ANKERSTAR WEALTH, LLC notice-filed in NH. IAPD ↗
$107.6M RAUM · 6 reps · 512-614-0085
ComplianceMarketing & brand
42
WEATHERHELM CAPITAL MANAGEMENT LLC notice-filed in TX. IAPD ↗
$82.8M RAUM · 2 reps · 518-407-3886 · weatherhelm.com
ComplianceMarketing & brand
42
GATES PASS ADVISORS, LLC notice-filed in TX. IAPD ↗
$188.0M RAUM · 2 reps · 650-797-0280
ComplianceMarketing & brand
42
FIRST AMERICAN ASSET ADVISORY, LLC notice-filed in TX. IAPD ↗
$140.2M RAUM · 5 reps · (516) 622-3100 · firstaaa.com
ComplianceMarketing & brand
42
17 CAPITAL PARTNERS, LLC notice-filed in MI. IAPD ↗
$212.2M RAUM · 3 reps · (602) 718-1177 · 17capitalpartners.com
ComplianceMarketing & brand
42
BUCKET LIST WEALTH MANAGEMENT, LLC notice-filed in NH. IAPD ↗
$162.6M RAUM · 2 reps · 352-307-8652 · bucketlistwealth.com
ComplianceMarketing & brand
42
ALLARIA ASSET MANAGEMENT, LLC notice-filed in SC. IAPD ↗
$115.1M RAUM · 3 reps · 786-686-5400 · allariasecurities.com
ComplianceMarketing & brand
42
RHEECO, INC. notice-filed in NH. IAPD ↗
$116.2M RAUM · 2 reps · (508) 655-1185 · rhee.co
ComplianceMarketing & brand
42
STRATTON CAPITAL INVESTMENT ADVISORY LLC notice-filed in TX. IAPD ↗
$75.2M RAUM · 5 reps · (914) 471-3377 · stratton-capital.com
ComplianceMarketing & brand
42
CORNERSTONE WEALTH ADVISORS, INC. notice-filed in SC. IAPD ↗
$110.2M RAUM · 4 reps · 760-476-1376 · cwainvestors.com
ComplianceMarketing & brand
42
FREEDOM FAMILY OFFICE, LLC notice-filed in AZ. IAPD ↗
$143.5M RAUM · 3 reps · (855) 540-0400 · freedomfamilyoffice.com
ComplianceMarketing & brand
42
NYTRX LLC notice-filed in LA. IAPD ↗
$2.1M RAUM · 1 reps · (832) 827-3883 · nytrx.com
ComplianceMarketing & brand
42
TARGET ROCK WEALTH MANAGEMENT, LLC notice-filed in CT. IAPD ↗
$60.8M RAUM · 3 reps · 914-580-4530
ComplianceMarketing & brand
42
INVESTMENT ADVISOR GROUP notice-filed in DE. IAPD ↗
$72.3M RAUM · 3 reps · 607-930-4338 · investmentadvisorgroup.com
ComplianceMarketing & brand
42
GREAT RIVER FINANCIAL notice-filed in NH. IAPD ↗
$162.1M RAUM · 2 reps · 763-231-7581
ComplianceMarketing & brand
42
AXIM PLANNING & WEALTH notice-filed in ID. IAPD ↗
$119.3M RAUM · 1 reps · 937-291-2060 · aximwealth.com
ComplianceMarketing & brand
42
RETIREMENT FINANCIAL GROUP, LLC notice-filed in PA. IAPD ↗
$153.3M RAUM · 3 reps · 409-908-4160
ComplianceMarketing & brand
42
PRINCIPLED ADVISORS, INC. notice-filed in FL. IAPD ↗
$15.0M RAUM · 1 reps · 877-860-0900 · principled.com
ComplianceMarketing & brand
42
MEMBERS WEALTH LLC notice-filed in NY. IAPD ↗
$217.3M RAUM · 4 reps · 267-367-5453 · memberswealthllc.com
ComplianceMarketing & brand
42
GENERATIONAL PRIVATE WEALTH notice-filed in VA. IAPD ↗
$145.0M RAUM · 1 reps · 571-244-8764 · genprivatewealth.com
ComplianceMarketing & brand
42
NINE30 ADVISORS LLC notice-filed in VA. IAPD ↗
$189,507 RAUM · 2 reps · (650) 391-4391 · nine30.com
ComplianceMarketing & brand
42
RIGDEN CAPITAL STRATEGIES notice-filed in PA. IAPD ↗
$104.1M RAUM · 4 reps · 303-351-1618 · rigdencapital.com
ComplianceMarketing & brand
42
FJELL CAPITAL notice-filed in MN. IAPD ↗
$157.2M RAUM · 5 reps · 701-491-7600 · fjellcapital.com
ComplianceMarketing & brand
42
ALTITUDE CAPITAL MANAGEMENT LLC notice-filed in DE. IAPD ↗
$49.4M RAUM · 16 reps · 515-207-3310 · altitudecm.com
ComplianceMarketing & brand
42
XXI WEALTH, LLC notice-filed in TX. IAPD ↗
$202.7M RAUM · 2 reps · (312) 300-2670 · xxiwealth.com
ComplianceMarketing & brand
42
TRUEHAVEN CAPITAL notice-filed in TN. IAPD ↗
$117.2M RAUM · 1 reps · 210-260-8668 · truehaven.net
ComplianceMarketing & brand
42
STATERA WEALTH MANAGEMENT notice-filed in TX. IAPD ↗
$145.0M RAUM · 4 reps · 435-673-6350 · staterawealth.com
ComplianceMarketing & brand
42
ARIA WEALTH PARTNERS notice-filed in TX. IAPD ↗
$46.2M RAUM · 2 reps · 434-338-6840 · ariawealthpartners.com
ComplianceMarketing & brand
42
CONNECTIVE WEALTH PARTNERS, LLC notice-filed in OR. IAPD ↗
$0 RAUM · 7 reps · (603) 498-1854
ComplianceMarketing & brand
42
LYONS CAPITAL GROUP notice-filed in TX. IAPD ↗
$0 RAUM · 2 reps · 318-455-7790 · lyonscapgroup.com
ComplianceMarketing & brand
37
EHLERS notice-filed in TX. IAPD ↗institutional
$2.74B RAUM · 5 reps · 800-552-1171
ComplianceMarketing & brand
37
PTMA INVESTMENT ADVISORS notice-filed in OK. IAPD ↗institutional
$94.21B RAUM · 13 reps · 855-395-3954 · wyomingclass.com
ComplianceMarketing & brand
34
MARINER WEALTH notice-filed in OK, PR. IAPD ↗institutional
$0 RAUM · 50 reps · 913-904-5700 · mariner.com
ComplianceMarketing & brand
32
GABELLI FUNDS, LLC notice-filed in IL. IAPD ↗fund
$21.95B RAUM · 48 reps · 914-921-5000 · gabelli.com
ComplianceMarketing & brand
32
BLUE OWL REAL ESTATE CAPITAL LLC notice-filed in CA. IAPD ↗fund
$53.79B RAUM · 110 reps · (212) 419-3000 · blueowlproducts.com
ComplianceMarketing & brand
32
FIRST CITIZENS INSTITUTIONAL ASSET MANAGEMENT, LLC notice-filed in IL, NJ. IAPD ↗fund
$815.0M RAUM · 16 reps · 212-461-5761 · firstcitizens.com
ComplianceMarketing & brand
32
HALO INVESTMENT SERVICES, LLC notice-filed in MO. IAPD ↗institutional
$32.6M RAUM · 15 reps · 312-586-2790
ComplianceMarketing & brand
32
ELDRIDGE SME ADVISERS notice-filed in IL. IAPD ↗institutional
$0 RAUM · 8 reps · (212) 895-2000 · eldridge.com
ComplianceMarketing & brand
30
VINE INVESTMENT ADVISORS, LP notice-filed in FL. IAPD ↗fund
$546.3M RAUM · 1 reps · 9175127051
ComplianceMarketing & brand
30
MAKARORA notice-filed in MA. IAPD ↗fund
$353.3M RAUM · 13 reps · 646-647-4133
ComplianceMarketing & brand
23
MASECO PRIVATE WEALTH notice-filed in ME, RI, SC, TN. IAPD ↗foreign
$3.83B RAUM · 24 reps · +44 20 7043 0455
ComplianceMarketing & brand
21
360 ONE PORTFOLIO MANAGERS LIMITED notice-filed in MA, NH, NJ. IAPD ↗foreign
$3.85B RAUM · 1 reps · +91 22 4876 5600
ComplianceMarketing & brand
17
POLAR ASSET MANAGEMENT PARTNERS INC. notice-filed in CA. IAPD ↗foreign
$42.92B RAUM · 61 reps · 416-367-4364 · polaramp.com
ComplianceMarketing & brand
17
360 ONE ASSET MANAGEMENT LIMITED notice-filed in NH. IAPD ↗foreign
$4.82B RAUM · 2 reps · +91 022 4876 5600 · 360.one
ComplianceMarketing & brand
15
BELVOIR WEALTH MANAGEMENT AG notice-filed in LA. IAPD ↗foreign
$286.8M RAUM · 3 reps · 41-43-244-7550
ComplianceMarketing & brand
12
CANACCORD GENUITY WEALTH MANAGEMENT notice-filed in WA. IAPD ↗foreign
$101.2M RAUM · 31 reps · 604-643-7300
ComplianceMarketing & brand
new registration — 128 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
98
AIS PLANNING (ST. CLOUD, MN) is newly SEC-registered with $485.1M RAUM and 9 advisory reps. IAPD ↗
$485.1M RAUM · 9 reps · (320) 252-6552
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
V.M. MANNING & CO., INC. (GREENVILLE, SC) is newly SEC-registered with $115.5M RAUM and 2 advisory reps. IAPD ↗
$115.5M RAUM · 2 reps · 864-232-8231 · vmmanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
1ST DISCOUNT BROKERAGE, INC. (LAKE WORTH, FL) is newly SEC-registered with $108.1M RAUM and 9 advisory reps. IAPD ↗
$108.1M RAUM · 9 reps · 561-515-3200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOROWITZ & COMPANY, INC. (FORT LAUDERDALE, FL) is newly SEC-registered with $145.4M RAUM and 2 advisory reps. IAPD ↗
$145.4M RAUM · 2 reps · 954-349-0800 · dhunplugged.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LITTLEFIELD ASSET MANAGEMENT, INC. (location n/a) is newly SEC-registered with $124.2M RAUM and 1 advisory reps. IAPD ↗
$124.2M RAUM · 1 reps · 404-634-5404
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HUTCHINSON FINANCIAL ADVISORS, INC (GLEN ALLEN, VA) is newly SEC-registered with $120.9M RAUM and 1 advisory reps. IAPD ↗
$120.9M RAUM · 1 reps · 804-729-6420 · hutchinsonadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC (location n/a) is newly SEC-registered with $162.6M RAUM and 1 advisory reps. IAPD ↗
$162.6M RAUM · 1 reps · 786-261-6100 · comprehensivemoney.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPYGLASS INVESTMENT MANAGEMENT (TERRE HAUTE, IN) is newly SEC-registered with $140.0M RAUM and 3 advisory reps. IAPD ↗
$140.0M RAUM · 3 reps · (812) 238-8484 · spyglassinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PHILADELPHIA INVESTMENT PARTNERS, LLC (VOORHEES, NJ) is newly SEC-registered with $140.8M RAUM and 3 advisory reps. IAPD ↗
$140.8M RAUM · 3 reps · 856-210-6779 · piplp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL FINANCIAL, LLC (OLNEY, MD) is newly SEC-registered with $140.8M RAUM and 1 advisory reps. IAPD ↗
$140.8M RAUM · 1 reps · 301-260-8575 · capfinllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHEA FINANCIAL ADVISORS (location n/a) is newly SEC-registered with $116.5M RAUM and 2 advisory reps. IAPD ↗
$116.5M RAUM · 2 reps · 203-966-9651
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LORETTA NOLAN ASSOCIATES, LLC (OLD GREENWICH, CT) is newly SEC-registered with $121.6M RAUM and 1 advisory reps. IAPD ↗
$121.6M RAUM · 1 reps · 203.637.1402
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STAWNYCHY FINANCIAL SERVICES, INC. (KINNELON, NJ) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
$113.9M RAUM · 1 reps · 973-283-0024 · stawnychyfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TC FINANCIAL MANAGEMENT, CO INC. (MARGATE CITY, NJ) is newly SEC-registered with $123.6M RAUM and 2 advisory reps. IAPD ↗
$123.6M RAUM · 2 reps · 609-487-1805 · tcfinancialmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORNERSTONE FINANCIAL GROUP,LLC (OMAHA, NE) is newly SEC-registered with $247.0M RAUM and 5 advisory reps. IAPD ↗
$247.0M RAUM · 5 reps · 402-758-0700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCCORMACK FINANCIAL PLANNING INC. (ATLANTA, GA) is newly SEC-registered with $103.0M RAUM and 3 advisory reps. IAPD ↗
$103.0M RAUM · 3 reps · 404-236-7316 · mccormackfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORNERSTONE SECURITIES LLC (OVERLAND PARK, KS) is newly SEC-registered with $175.0M RAUM and 10 advisory reps. IAPD ↗
$175.0M RAUM · 10 reps · 913-538-5483 · tjstearns.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POULOS ADVISORS, INC. (SOUTH BURLINGTON, VT) is newly SEC-registered with $133.3M RAUM and 2 advisory reps. IAPD ↗
$133.3M RAUM · 2 reps · 802-862-7361
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOUGHERTY INVESTMENT ADVISORS (SPRING HILL, FL) is newly SEC-registered with $113.9M RAUM and 4 advisory reps. IAPD ↗
$113.9M RAUM · 4 reps · (352) 238-6411
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WISCONSIN WEALTH ADVISORS, LLC (SUN PRAIRIE, WI) is newly SEC-registered with $114.2M RAUM and 3 advisory reps. IAPD ↗
$114.2M RAUM · 3 reps · 608-837-9099 · wiwealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NATURAL BRIDGES FINANCIAL ADVISORS (SANTA CRUZ, CA) is newly SEC-registered with $106.3M RAUM and 2 advisory reps. IAPD ↗
$106.3M RAUM · 2 reps · 831-421-0700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DICCIANNI FINANCIAL GROUP, INC. (EAST NORRITON, PA) is newly SEC-registered with $111.2M RAUM and 2 advisory reps. IAPD ↗
$111.2M RAUM · 2 reps · 484-681-9046 · dfgpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ST. CLAIR FINANCIAL (ROSEVILLE, CA) is newly SEC-registered with $118.5M RAUM and 1 advisory reps. IAPD ↗
$118.5M RAUM · 1 reps · (916) 780-1848 · donstclair.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANSDOWNE WEALTH MANAGEMENT, LLC (MYSTIC, CT) is newly SEC-registered with $214.1M RAUM and 6 advisory reps. IAPD ↗
$214.1M RAUM · 6 reps · 860-245-5078
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORE WEALTH ADVISORS (INDIANAPOLIS, IN) is newly SEC-registered with $124.6M RAUM and 3 advisory reps. IAPD ↗
$124.6M RAUM · 3 reps · 317-497-0569 · mycorewealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIBERTAS WEALTH MANAGEMENT GROUP, INC. (COLUMBUS, OH) is newly SEC-registered with $123.9M RAUM and 1 advisory reps. IAPD ↗
$123.9M RAUM · 1 reps · 614-543-1350 · libertaswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WALLICK INVESTMENTS, LLC (COLUMBIA, SC) is newly SEC-registered with $112.4M RAUM and 2 advisory reps. IAPD ↗
$112.4M RAUM · 2 reps · 803-699-9400 · wifidelisindex.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCDONNELL CAPITAL MANAGEMENT (FRANKFORT, IL) is newly SEC-registered with $132.7M RAUM and 2 advisory reps. IAPD ↗
$132.7M RAUM · 2 reps · 708-925-9507 · mcdonnell-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CARDINAL RETIREMENT PLANNING, INC. (location n/a) is newly SEC-registered with $111.0M RAUM and 3 advisory reps. IAPD ↗
$111.0M RAUM · 3 reps · 919-439-2114 · cardinalretirementnc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUSTAINVEST ASSET MANAGEMENT, LLC (LINWOOD, NJ) is newly SEC-registered with $114.0M RAUM and 1 advisory reps. IAPD ↗
$114.0M RAUM · 1 reps · 609-904-6028 · sustainvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VISION FINANCIAL MANAGEMENT, LLC (CUYAHOGA FALLS, OH) is newly SEC-registered with $120.0M RAUM and 2 advisory reps. IAPD ↗
$120.0M RAUM · 2 reps · 330-929-9900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEWIS FINANCIAL, LLC (SAN LUIS OBISPO, CA) is newly SEC-registered with $108.1M RAUM and 3 advisory reps. IAPD ↗
$108.1M RAUM · 3 reps · (805) 548-0900 · lewisfinancialslo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KERR WEALTH MANAGEMENT (FRESNO, CA) is newly SEC-registered with $110.1M RAUM and 4 advisory reps. IAPD ↗
$110.1M RAUM · 4 reps · (559) 277-4772 · kerrwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALUMAN (location n/a) is newly SEC-registered with $114.1M RAUM and 2 advisory reps. IAPD ↗
$114.1M RAUM · 2 reps · 503-894-5688
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IFC (AUBURN, CA) is newly SEC-registered with $110.3M RAUM and 7 advisory reps. IAPD ↗
$110.3M RAUM · 7 reps · 530-886-8550 · ifcins.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HARRIS CONSULTING (ROSWELL, GA) is newly SEC-registered with $117.4M RAUM and 2 advisory reps. IAPD ↗
$117.4M RAUM · 2 reps · 770-642-2228 · harrismgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DELTA ACCUMULATION, LLC (SAUSALITO, CA) is newly SEC-registered with $210.0M RAUM and 3 advisory reps. IAPD ↗
$210.0M RAUM · 3 reps · 415-480-0485 · deltaaccumulation.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CIRRUS CAPITAL LLC (BIRMINGHAM, MI) is newly SEC-registered with $124.3M RAUM and 3 advisory reps. IAPD ↗
$124.3M RAUM · 3 reps · 248-290-6222 · axisfinancialgp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PROCORE ADVISORS, LLC (NEWPORT BEACH, CA) is newly SEC-registered with $110.9M RAUM and 5 advisory reps. IAPD ↗
$110.9M RAUM · 5 reps · 949-339-2990 · hicokfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLLECTIVE WEALTH ADVISORS LLC (COPPELL, TX) is newly SEC-registered with $139.8M RAUM and 5 advisory reps. IAPD ↗
$139.8M RAUM · 5 reps · 214-427-1427
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MORRISSEY WEALTH MANAGEMENT LLC (NORTH HAVEN, CT) is newly SEC-registered with $135.6M RAUM and 2 advisory reps. IAPD ↗
$135.6M RAUM · 2 reps · (860) 986-7881 · morrisseywealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BOLDIN ADVISORS (MILL VALLEY, CA) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 415-462-5665 · newretirementadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GREEN & DECKERT LLC (LUBBOCK, TX) is newly SEC-registered with $113.0M RAUM and 2 advisory reps. IAPD ↗
$113.0M RAUM · 2 reps · 806-744-2689
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE POINT FINANCIAL, INC. (SCARBOROUGH, ME) is newly SEC-registered with $113.3M RAUM and 2 advisory reps. IAPD ↗
$113.3M RAUM · 2 reps · 207-883-2009
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOUNDRY FINANCIAL LLC (LOS ANGELES, CA) is newly SEC-registered with $104.7M RAUM and 3 advisory reps. IAPD ↗
$104.7M RAUM · 3 reps · (213) 802-8662
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAGE WEALTH PLANNING (GEORGETOWN, TX) is newly SEC-registered with $113.7M RAUM and 2 advisory reps. IAPD ↗
$113.7M RAUM · 2 reps · (231) 221-2448 · sagewealthplans.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TAMALPAIS ASSET MANAGEMENT (LARKSPUR, CA) is newly SEC-registered with $209.5M RAUM and 5 advisory reps. IAPD ↗
$209.5M RAUM · 5 reps · 415-723-8300 · tamalpaisam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GOLDFARB FINANCIAL MANAGEMENT, LLC (location n/a) is newly SEC-registered with $119.7M RAUM and 1 advisory reps. IAPD ↗
$119.7M RAUM · 1 reps · 310-402-2152
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ILLUMINATE WEALTH MANAGEMENT (BARRINGTON, IL) is newly SEC-registered with $120.1M RAUM and 1 advisory reps. IAPD ↗
$120.1M RAUM · 1 reps · 847-595-1315 · illuminatewm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALLIANCE PRIVATE WEALTH, LLC (NORTH READING, MA) is newly SEC-registered with $102.3M RAUM and 3 advisory reps. IAPD ↗
$102.3M RAUM · 3 reps · 978-276-1300
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRIPLETAIL WEALTH MANAGEMENT (ORLANDO, FL) is newly SEC-registered with $109.8M RAUM and 3 advisory reps. IAPD ↗
$109.8M RAUM · 3 reps · 407-286-4072 · tripletailwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOG CITY ADVISORS, LLC (ALBANY, CA) is newly SEC-registered with $122.6M RAUM and 2 advisory reps. IAPD ↗
$122.6M RAUM · 2 reps · 650-508-2020
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE ZILLENNIAL ADVISORS (location n/a) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 9097759631 · thezillennialadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUESTONE PRIVATE WEALTH, LLC (location n/a) is newly SEC-registered with $147.9M RAUM and 2 advisory reps. IAPD ↗
$147.9M RAUM · 2 reps · 440-821-3459
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PONTA WEALTH PARTNERS, LLC (WINTER PARK, FL) is newly SEC-registered with $102.2M RAUM and 1 advisory reps. IAPD ↗
$102.2M RAUM · 1 reps · 407-617-5542 · pontawealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ABUNDANT WEALTH MANAGEMENT LLC (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 203-661-3441 · abundant-wealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MOR WEALTH MANAGEMENT, LLC (PHILADELPHIA, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 267-930-8300 · morwm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BQS FINANCIAL ADVISORS, LLC (NEW YORK, NY) is newly SEC-registered with $108.0M RAUM and 1 advisory reps. IAPD ↗
$108.0M RAUM · 1 reps · 714-488-1821 · bqsadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ELKWATER CAPITAL (NEW YORK, NY) is newly SEC-registered with $32.9M RAUM and 1 advisory reps. IAPD ↗
$32.9M RAUM · 1 reps · 212-347-7385 · elkwatercapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RARE WOLF CAPITAL LLC (BELLEVUE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 206-659-8704 · rarewolfcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
A & L PERSONAL BUSINESS MANAGEMENT, LLC (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (415) 823-7035 · alpbm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BEACON ADVISORS (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 512-612-4884 · beacon-adv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COPPERLINE WEALTH MANAGEMENT & PLANNING, LLC (CODY, WY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 307-586-1880 · copperlinewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TICINO WEALTH (MISSION VIEJO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 949-862-1233
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GRACE ADVISORS LLC (WILMINGTON, DE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 212-540-4295 · grace.money
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BZ WEALTH ADVISORS, LLC (LITTLETON, CO) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 303-292-9224 · bzwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEGEND CAPITAL (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (212) 606-2326 · legendcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
QUANT ALPHA LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 310 696 3287 · quantalpha.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ASSET ONE WEALTH MANAGEMENT, LLC (BELLEVUE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (425) 504-830
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JUNO FINANCIAL GROUP LLC (RICHMOND, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 804-500-6464 · junofinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUCCESSION FINANCIAL, INC (MCKINNEY, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 214-334-6261
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BORABOND, LLC (FRAMINGHAM, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 313-247-4604 · borabond.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GEMINI PORTFOLIO MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 503 440 6077
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PW ADVISORS (TALLAHASSEE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 850-972-9725 · pwadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PINCUS CAPITAL MANAGEMENT, LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 646-571-1730
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RBS WEALTH MANAGEMENT (ALTO, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 616-591-5080 · rbswealthmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MERITIS WEALTH MANAGEMENT, INC. (POTOMAC, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 240-396-6600 · meritiswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MAXQ ASSET MANAGEMENT LLC (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (949) 468-3710 · maxqam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEARL PLANNING (DEXTER, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 734.274.6744 · pearlplan.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PARK STATE ASSET MANAGEMENT LLC (BEVERLY, MA) is newly SEC-registered with $206.6M RAUM and 3 advisory reps. IAPD ↗
$206.6M RAUM · 3 reps · 978-828-2934
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ODYSSEY GROUP WEALTH ADVISORS (LANCASTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 717-553-4722
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPIEGELMAN WEALTH MANAGEMENT LLC (WALNUT CREEK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 609 881 0101
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILESTONE FINANCIAL ASSOCIATES, LLC (MACUNGIE, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 6098810101
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL JUSTUS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 262-240-4002
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TORREY-PAYNE WEALTH MANAGEMENT (PASADENA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 626-657-3451 · torreypaynewm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHARMARLINE WEALTH MANAGEMENT (LYNCHBURG, VA) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
$111.9M RAUM · 1 reps · 434-455-3036
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NAPIER FINANCIAL (BRAINTREE, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 781-884-2356 · napierfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHERPA CAPITAL MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 302-235-1284
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HERITAGE GROVE WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $110.5M RAUM and 1 advisory reps. IAPD ↗
$110.5M RAUM · 1 reps · 925-890-8839
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INNOVATIVE ASSET ADVISORS GROUP (SHELTON, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 203-444-3599 · innovativeaag.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPREADWISE LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 561-779-1764
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUMMITPOINT CAPITAL MANAGEMENT (LITTLETON, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 610-585-0905 · summitpoint-cap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUESTAR WEALTH MANAGEMENT (LAKE MARY, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 888-788-6478
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROSCI LAMB, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 646 479 9965 · roscilamb.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
88
NEW WAVE LOANS RESIDENTIAL, LLC (NORTH MIAMI BEACH, FL) is newly SEC-registered with $680.4M RAUM and 2 advisory reps. IAPD ↗institutional
$680.4M RAUM · 2 reps · (305) 512-1124 · newwaveloans.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
"THE PILOT'S ADVISOR," LLC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 843-475-3038 · retirepilots.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PCM MANAGEMENT ADVISOR, LLC (CHAGRIN FALLS, OH) is newly SEC-registered with $7.64B RAUM and 23 advisory reps. IAPD ↗fund
$7.64B RAUM · 23 reps · 440-528-0333
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CARO INVESTORS (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · (301) 241-8680 · caroinvestors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BLACKSUN (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 212.537.5808 · blacksun.pe
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GROWTH LENDING GP LLC (ROSWELL, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 7136147755 · growthlending.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
KOMPASS KAPITAL ADVISORS, LLC (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 913-381-4044
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CAMBERLINE CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 646-392-1654
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
OUTLIER GLOBAL MANAGEMENT (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 332-465-0360
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MATRIX CAPITAL PARTNERS, LLC (WESTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (508) 507-1493
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TRAILS EDGE CAPITAL PARTNERS, LP (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 631-255-7408
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SUPERSTATE ADVISERS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 201-497-4991 · superstate.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
DRONA PARTNERS CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 6463341998 · dronapartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CANTOR OCS ASSET MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 212-915-1722
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
KINGSBRIDGE INVESTMENT PARTNERS LLC (LAS VEGAS, NV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 7029475160 · kingsbridgealts.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TURAS CAPITAL MANAGEMENT (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (781)-691-9982 · turascap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MOTUM CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-733-8203 · motumcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GRIFFIN GLOBAL ASSET MANAGEMENT (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 310 909 8800
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ARIXA MANAGEMENT, LLC (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 20 advisory reps. IAPD ↗institutional
$0 RAUM · 20 reps · (310) 905-3050 · arixacapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
PRELUDE GROWTH PARTNERS MANAGEMENT COMPANY, LLC (NEW YORK, NY) is newly SEC-registered with $589.8M RAUM and 9 advisory reps. IAPD ↗fund
$589.8M RAUM · 9 reps · 917-409-0120 · preludegrowth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
RIVERSPAN PARTNERS LP (CHICAGO, IL) is newly SEC-registered with $312.3M RAUM and 8 advisory reps. IAPD ↗fund
$312.3M RAUM · 8 reps · 312-602-0777 · riverspan.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
CLEARLIST CAPITAL LLC (NEW YORK, NY) is newly SEC-registered with $434.1M RAUM and 2 advisory reps. IAPD ↗fund
$434.1M RAUM · 2 reps · 212-207-1370 · clearlist.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CHECKETTS PARTNERS INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $122.1M RAUM and 2 advisory reps. IAPD ↗fund
$122.1M RAUM · 2 reps · 917-846-0764
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
TOCCATA CAPITAL (location n/a) is newly SEC-registered with $50.0M RAUM and 1 advisory reps. IAPD ↗fund
$50.0M RAUM · 1 reps · +1 605 269 8889 · toccap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SFERMION (CHICAGO, IL) is newly SEC-registered with $119.5M RAUM and 5 advisory reps. IAPD ↗fund
$119.5M RAUM · 5 reps · 408-891-7991
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
XCELLERANT VENTURES, LLC (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $25.5M RAUM and 6 advisory reps. IAPD ↗fund
$25.5M RAUM · 6 reps · 480-710-0801 · xcellerantventures.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
LOCK 8 PARTNERS (NEW YORK, NY) is newly SEC-registered with $196.4M RAUM and 7 advisory reps. IAPD ↗fund
$196.4M RAUM · 7 reps · 202-460-4860 · lock8partners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
TORQUE ASSET MANAGEMENT LLC (location n/a) is newly SEC-registered with $216.6M RAUM and 3 advisory reps. IAPD ↗fund
$216.6M RAUM · 3 reps · 786-655-6494 · torqueam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
TABERNACLE EQUITY MANAGEMENT LLC (SOUTHLAKE, TX) is newly SEC-registered with $48.8M RAUM and 4 advisory reps. IAPD ↗fund
$48.8M RAUM · 4 reps · 8178981500 · prophetequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
O ASSET MANAGEMENT LLC (FAIRPORT, NY) is newly SEC-registered (provisional 120-day approval) with $16.0M RAUM and 10 advisory reps. IAPD ↗fund
$16.0M RAUM · 10 reps · 585 313 5978 · oamquant.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
WEALTH MANAGEMENT GROUP AG (ZURICH, Switzerland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · +41 43 443 80 95
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
VIRGO DIGITAL ASSET MANAGEMENT INC. (NORTH YORK, Canada) is newly SEC-registered with $9.9M RAUM and 2 advisory reps. IAPD ↗foreign
$9.9M RAUM · 2 reps · 416-854-0073 · vdam.virgo.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
MOMA INTERNATIONAL (PORTO ALEGRE, RIO GRANDE DO SUL, Brazil) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · +55 55 999146073
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
CAPSIGMA INVESTMENT PARTNERS LTDA (SAO PAULO, SP, Brazil) is newly SEC-registered with $19.3M RAUM and 5 advisory reps. IAPD ↗foreign
$19.3M RAUM · 5 reps · 55 (11) 5200-2246 · capsigma.com.br
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 116 Count of additional offices increased.
55
SMITH SHELLNUT WILSON added office(s): 6 -> 7 additional locations. IAPD ↗
$8.02B RAUM · 15 reps · 601-605-1776 · ssw1776.com
Office IT & facilitiesCRMRecruiting & transitions
55
COBBLESTONE CAPITAL ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$2.93B RAUM · 23 reps · 585-473-3333 · cobblestonecap.com
Office IT & facilitiesCRMRecruiting & transitions
55
COLDSTREAM WEALTH MANAGEMENT added office(s): 7 -> 8 additional locations. IAPD ↗
$12.44B RAUM · 165 reps · 425-283-1600
Office IT & facilitiesCRMRecruiting & transitions
55
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. added office(s): 10 -> 11 additional locations. IAPD ↗
$43.42B RAUM · 99 reps · 800-621-4421 · mesirowfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
CONSOLIDATED PORTFOLIO REVIEW CORP added office(s): 24 -> 25 additional locations. IAPD ↗
$1.29B RAUM · 28 reps · 631-845-5100 · delanceywealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
CARY STREET PARTNERS added office(s): 23 -> 24 additional locations. IAPD ↗
$8.26B RAUM · 81 reps · (804) 340-8100
Office IT & facilitiesCRMRecruiting & transitions
55
SIMON QUICK ADVISORS, LLC added office(s): 5 -> 7 additional locations. IAPD ↗
$7.07B RAUM · 57 reps · 973-525-1000 · simonquickadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
ARAX ADVISORY PARTNERS added office(s): 9 -> 15 additional locations. IAPD ↗
$7.32B RAUM · 52 reps · 303-633-5900 · simondavisinc.com
Office IT & facilitiesCRMRecruiting & transitions
55
L & S ADVISORS, INC added office(s): 0 -> 2 additional locations. IAPD ↗
$1.05B RAUM · 15 reps · 310-893-6060 · lsadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
STEPSTONE GROUP LP added office(s): 9 -> 10 additional locations. IAPD ↗
$95.63B RAUM · 193 reps · 858-558-9700 · vimeo.com
Office IT & facilitiesCRMRecruiting & transitions
55
ROYAL FUND MANAGEMENT, LLC added office(s): 90 -> 91 additional locations. IAPD ↗
$1.31B RAUM · 83 reps · 352-750-1637
Office IT & facilitiesCRMRecruiting & transitions
55
FORUM FINANCIAL MANAGEMENT, LP added office(s): 48 -> 49 additional locations. IAPD ↗
$9.03B RAUM · 87 reps · (630) 873-8520
Office IT & facilitiesCRMRecruiting & transitions
55
BALLENTINE PARTNERS added office(s): 3 -> 4 additional locations. IAPD ↗
$12.01B RAUM · 88 reps · 781-314-1300
Office IT & facilitiesCRMRecruiting & transitions
55
FOURSTAR WEALTH ADVISORS, LLC added office(s): 25 -> 26 additional locations. IAPD ↗
$1.24B RAUM · 45 reps · (312) 667-1750 · financialadvisorsworkshop.com
Office IT & facilitiesCRMRecruiting & transitions
55
1900 WEALTH added office(s): 1 -> 2 additional locations. IAPD ↗
$2.27B RAUM · 12 reps · 210-736-7770 · jeffersonbank.com
Office IT & facilitiesCRMRecruiting & transitions
55
PATTON ALBERTSON MILLER GROUP, LLC added office(s): 2 -> 4 additional locations. IAPD ↗
$1.54B RAUM · 16 reps · 423-414-2100 · focusfinancialpartners.com
Office IT & facilitiesCRMRecruiting & transitions
55
ONEASCENT FINANCIAL SERVICES LLC added office(s): 33 -> 34 additional locations. IAPD ↗
$2.61B RAUM · 57 reps · 205-313-9142
Office IT & facilitiesCRMRecruiting & transitions
55
THE FIDUCIARY ALLIANCE added office(s): 20 -> 21 additional locations. IAPD ↗
$1.92B RAUM · 38 reps · 864-385-7999
Office IT & facilitiesCRMRecruiting & transitions
55
VIDENT ASSET MANAGEMENT added office(s): 5 -> 6 additional locations. IAPD ↗
$12.09B RAUM · 8 reps · 404-267-1501 · videntam.com
Office IT & facilitiesCRMRecruiting & transitions
55
ALERA INVESTMENT ADVISORS, LLC added office(s): 14 -> 16 additional locations. IAPD ↗
$3.57B RAUM · 53 reps · (847) 457-3000 · aleragroup.com
Office IT & facilitiesCRMRecruiting & transitions
55
LEGACY CAPITAL WEALTH PARTNERS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.32B RAUM · 16 reps · 501-376-7878 · legacycapitalwp.com
Office IT & facilitiesCRMRecruiting & transitions
55
CANOPY WEALTH MANAGEMENT added office(s): 2 -> 3 additional locations. IAPD ↗
$1.47B RAUM · 7 reps · 608-662-9018 · canopy-wealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
AMERICANA PARTNERS, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$6.08B RAUM · 26 reps · 713-429-5552
Office IT & facilitiesCRMRecruiting & transitions
55
WEDMONT PRIVATE CAPITAL added office(s): 3 -> 4 additional locations. IAPD ↗
$2.37B RAUM · 7 reps · 6108858200
Office IT & facilitiesCRMRecruiting & transitions
55
WEALTHPLAN INVESTMENT MANAGEMENT LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$1.57B RAUM · 14 reps · 402-691-0200
Office IT & facilitiesCRMRecruiting & transitions
55
DAYMARK WEALTH PARTNERS, LLC added office(s): 6 -> 8 additional locations. IAPD ↗
$3.94B RAUM · 19 reps · 513-838-2520 · music.amazon.com
Office IT & facilitiesCRMRecruiting & transitions
55
PORTSIDE WEALTH GROUP, LLC added office(s): 35 -> 36 additional locations. IAPD ↗
$1.13B RAUM · 41 reps · 385-412-1222
Office IT & facilitiesCRMRecruiting & transitions
53
HEROLD ADVISORS, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$489.7M RAUM · 8 reps · 212-371-3950 · heroldlantern.com
Office IT & facilitiesCRMRecruiting & transitions
53
SANTORI & PETERS added office(s): 1 -> 2 additional locations. IAPD ↗
$389.7M RAUM · 4 reps · 412-373-6904
Office IT & facilitiesCRMRecruiting & transitions
53
AZA CAPITAL MANAGEMENT added office(s): 4 -> 5 additional locations. IAPD ↗
$314.0M RAUM · 8 reps · 312-429-0880
Office IT & facilitiesCRMRecruiting & transitions
53
NEUMANN CAPITAL MANAGEMENT added office(s): 3 -> 4 additional locations. IAPD ↗
$568.5M RAUM · 4 reps · 650-548-9200 · neumanncm.portal.tamaracinc.com
Office IT & facilitiesCRMRecruiting & transitions
53
SAXONY CAPITAL MANAGEMENT, LLC added office(s): 18 -> 19 additional locations. IAPD ↗
$297.9M RAUM · 0 reps · 314-963-9336 · saxonyadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
UNITED FINANCIAL PLANNING GROUP LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$305.4M RAUM · 5 reps · (631) 234-0871
Office IT & facilitiesCRMRecruiting & transitions
53
CYPRESS FINANCIAL PLANNING added office(s): 2 -> 3 additional locations. IAPD ↗
$395.0M RAUM · 6 reps · (856) 720-0029 · cypressplanning.com
Office IT & facilitiesCRMRecruiting & transitions
53
LODESTONE WEALTH MANAGEMENT LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$306.2M RAUM · 3 reps · 509-413-2386 · lodestonewm.com
Office IT & facilitiesCRMRecruiting & transitions
53
ETESIAN WEALTH ADVISORS, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$426.8M RAUM · 6 reps · 503-387-3615
Office IT & facilitiesCRMRecruiting & transitions
53
KING WEALTH MANAGEMENT GROUP, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$931.3M RAUM · 7 reps · 518-306-5640 · kingwealthmanagementgroup.com
Office IT & facilitiesCRMRecruiting & transitions
53
WALKNER CONDON FINANCIAL ADVISORS LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$732.8M RAUM · 13 reps · 608-234-4127 · walknercondon.com
Office IT & facilitiesCRMRecruiting & transitions
53
SEQUENT PLANNING, LLC added office(s): 20 -> 21 additional locations. IAPD ↗
$394.7M RAUM · 70 reps · 402-953-3544
Office IT & facilitiesCRMRecruiting & transitions
53
BOYUM WEALTH ARCHITECTS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$316.2M RAUM · 5 reps · 651-289-6444 · myboyum.com
Office IT & facilitiesCRMRecruiting & transitions
53
FSA INVESTMENT GROUP, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$709.5M RAUM · 13 reps · (850) 696-1550 · fsa-ig.com
Office IT & facilitiesCRMRecruiting & transitions
53
MOSAIC ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$499.4M RAUM · 16 reps · 713-980-4100
Office IT & facilitiesCRMRecruiting & transitions
53
GEOMETRIC WEALTH ADVISORS, LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$971.6M RAUM · 8 reps · (973) 525-4901
Office IT & facilitiesCRMRecruiting & transitions
53
ROSE CAPITAL ADVISORS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$663.6M RAUM · 7 reps · 305-534-7673 · rosecapitaladvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
OASIS WEALTH PLANNING ADVISORS added office(s): 6 -> 7 additional locations. IAPD ↗
$267.8M RAUM · 6 reps · (615) 933-3314 · oasiswealthplanning.com
Office IT & facilitiesCRMRecruiting & transitions
53
SUMMIT WEALTH AND RETIREMENT PARTNERS added office(s): 2 -> 3 additional locations. IAPD ↗
$824.8M RAUM · 6 reps · (925) 927-1900 · summitwealthandretirement.com
Office IT & facilitiesCRMRecruiting & transitions
53
FINANCIAL SERVICES OF AMERICA ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$396.2M RAUM · 24 reps · (800) 977-9292 · fsa1.com
Office IT & facilitiesCRMRecruiting & transitions
53
DUNHILL FINANCIAL added office(s): 3 -> 4 additional locations. IAPD ↗
$322.9M RAUM · 8 reps · (561) 685-2381 · dunhillfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
ASTORIA PORTFOLIO ADVISORS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$698.8M RAUM · 7 reps · 212-381-6185
Office IT & facilitiesCRMRecruiting & transitions
53
SOVEREIGN FINANCIAL GROUP, INC. added office(s): 19 -> 21 additional locations. IAPD ↗
$882.7M RAUM · 17 reps · (888) 765-8180
Office IT & facilitiesCRMRecruiting & transitions
53
ORBA WEALTH ADVISORS, LLC added office(s): 13 -> 15 additional locations. IAPD ↗
$257.1M RAUM · 16 reps · (312) 670-6262
Office IT & facilitiesCRMRecruiting & transitions
53
HOXTON WEALTH USA LLC added office(s): 6 -> 12 additional locations. IAPD ↗
$470.0M RAUM · 37 reps · 737-249-9620
Office IT & facilitiesCRMRecruiting & transitions
53
SERENITY INVESTMENT ADVISORS added office(s): 2 -> 3 additional locations. IAPD ↗
$376.0M RAUM · 5 reps · 312-734-1415 · yelp.com
Office IT & facilitiesCRMRecruiting & transitions
53
UNIQUE WEALTH, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$766.5M RAUM · 11 reps · 813-816-2030 · uniquewealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
ORG PARTNERS added office(s): 11 -> 12 additional locations. IAPD ↗
$772.6M RAUM · 15 reps · 260-469-9173 · tinkercapital.com
Office IT & facilitiesCRMRecruiting & transitions
53
THEPARTNERS WEALTH MANAGEMENT added office(s): 17 -> 18 additional locations. IAPD ↗
$454.5M RAUM · 22 reps · 800-324-3010 · twsfinancialplanning.com
Office IT & facilitiesCRMRecruiting & transitions
53
ENCOMPASS MORE ASSET MANAGEMENT LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$581.9M RAUM · 76 reps · 925-272-8850
Office IT & facilitiesCRMRecruiting & transitions
53
GOLDEN STATE EQUITY PARTNERS, LLC added office(s): 18 -> 19 additional locations. IAPD ↗
$880.4M RAUM · 25 reps · 866-273-1563 · heartmtwm.com
Office IT & facilitiesCRMRecruiting & transitions
53
ROSSBY FINANCIAL, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$358.6M RAUM · 2 reps · 321-209-0111
Office IT & facilitiesCRMRecruiting & transitions
53
GRATUS WEALTH ADVISORS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$690.7M RAUM · 6 reps · 757-909-5505 · gratuswealthadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
MAY HILL CAPITAL, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$380.7M RAUM · 3 reps · 617-800-0388 · mayhillwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
STERLING WEALTH ADVISORS, INC. added office(s): 0 -> 2 additional locations. IAPD ↗
$187.6M RAUM · 1 reps · 954-771-1313 · sterlingwealthadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$227.6M RAUM · 10 reps · (949) 261-7726
Office IT & facilitiesCRMRecruiting & transitions
50
CAITLIN JOHN, LLC added office(s): 14 -> 15 additional locations. IAPD ↗
$183.4M RAUM · 20 reps · 810-355-1325 · caitlinjohn.com
Office IT & facilitiesCRMRecruiting & transitions
50
SANKALA GROUP LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$116.1M RAUM · 4 reps · 720-310-0605
Office IT & facilitiesCRMRecruiting & transitions
50
NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$137.6M RAUM · 2 reps · 415.287-5100 · nollmac.com
Office IT & facilitiesCRMRecruiting & transitions
50
RUTHERFORD INVESTMENT MANAGEMENT added office(s): 2 -> 3 additional locations. IAPD ↗
$216.4M RAUM · 4 reps · 503-452-1210 · rutherfordinvestment.com
Office IT & facilitiesCRMRecruiting & transitions
50
CAERUS INVESTMENT ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$194.6M RAUM · 2 reps · 650-906-7666
Office IT & facilitiesCRMRecruiting & transitions
50
Q3 ADVISORS, LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$0 RAUM · 12 reps · 720-730-9892
Office IT & facilitiesCRMRecruiting & transitions
50
INTEGRATED PLANNING & WEALTH MANAGEMENT, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$80.4M RAUM · 4 reps · (317) 706-4748
Office IT & facilitiesCRMRecruiting & transitions
50
CENTENNIAL ADVISORS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$169.8M RAUM · 6 reps · (512) 265-5000 · iwanttoretirewell.com
Office IT & facilitiesCRMRecruiting & transitions
50
PROXY WEALTH ADVISORS LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$90.0M RAUM · 11 reps · 646-289-5075 · proxywealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
KENNONDALE CAPITAL MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗
$100.4M RAUM · 2 reps · (804) 350-3368 · kennondale.com
Office IT & facilitiesCRMRecruiting & transitions
50
CORNERSTONE WEALTH ADVISORS, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$110.2M RAUM · 4 reps · 760-476-1376 · cwainvestors.com
Office IT & facilitiesCRMRecruiting & transitions
50
FREEDOM FAMILY OFFICE, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$143.5M RAUM · 3 reps · (855) 540-0400 · freedomfamilyoffice.com
Office IT & facilitiesCRMRecruiting & transitions
50
MOMENT PRIVATE WEALTH added office(s): 1 -> 2 additional locations. IAPD ↗
$156.7M RAUM · 4 reps · (636) 591-1050 · momentprivatewealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
BOOSTER, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$239.8M RAUM · 2 reps · 410-216-1551 · booster401k.com
Office IT & facilitiesCRMRecruiting & transitions
50
WINCAP FINANCIAL LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$153.3M RAUM · 5 reps · (617) 590-3250 · wincapfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
ALPHA ZERO LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$183.2M RAUM · 7 reps · (561) 576-2599 · alphazerowealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
TABLEAUX WEALTH added office(s): 2 -> 4 additional locations. IAPD ↗
$154.3M RAUM · 5 reps · 413-264-2400
Office IT & facilitiesCRMRecruiting & transitions
50
AXIM PLANNING & WEALTH added office(s): 1 -> 2 additional locations. IAPD ↗
$119.3M RAUM · 1 reps · 937-291-2060 · aximwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
RIGDEN CAPITAL STRATEGIES added office(s): 1 -> 2 additional locations. IAPD ↗
$104.1M RAUM · 4 reps · 303-351-1618 · rigdencapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
BROADSTREET FAMILY OFFICE LLC added office(s): 2 -> 4 additional locations. IAPD ↗
$21.5M RAUM · 6 reps · (914) 427-8036 · broadstreetfamilyoffice.com
Office IT & facilitiesCRMRecruiting & transitions
50
BERLIN WEALTH GROUP ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$1.4M RAUM · 2 reps · +1 310 696 3704 · berlin-wealthadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
BLUE JEAN FINANCIAL LLC added office(s): 5 -> 8 additional locations. IAPD ↗
$94.7M RAUM · 7 reps · (518) 406-8488 · bluejeanfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
ZERO DAY CAPITAL ENTERPRISES LLC added office(s): 12 -> 14 additional locations. IAPD ↗
$38.2M RAUM · 14 reps · 702 271 3265 · zerodaycapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
CATOCTIN RIDGE WEALTH PARTNER added office(s): 0 -> 1 additional locations. IAPD ↗
$102.3M RAUM · 2 reps · 301-304-6004 · burhonfg.com
Office IT & facilitiesCRMRecruiting & transitions
50
VALOIR WEALTH LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$44.1M RAUM · 1 reps · (786) 505-2845
Office IT & facilitiesCRMRecruiting & transitions
50
ALONGSIDE, LLC added office(s): 0 -> 3 additional locations. IAPD ↗
$0 RAUM · 3 reps · 214-563-1190
Office IT & facilitiesCRMRecruiting & transitions
50
STORGATE, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$149.2M RAUM · 2 reps · (917) 690-7972 · storgate.com
Office IT & facilitiesCRMRecruiting & transitions
50
OASIS ADVISORS added office(s): 3 -> 8 additional locations. IAPD ↗
$0 RAUM · 22 reps · 715-843-5518
Office IT & facilitiesCRMRecruiting & transitions
50
CONNECTIVE WEALTH PARTNERS, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$0 RAUM · 7 reps · (603) 498-1854
Office IT & facilitiesCRMRecruiting & transitions
50
DISHMI CAPITAL, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · (213) 373-1949 · dishmicap.com
Office IT & facilitiesCRMRecruiting & transitions
45
PLANPILOT added office(s): 3 -> 10 additional locations. IAPD ↗institutional
$3.71B RAUM · 11 reps · 312-973-4911
Office IT & facilitiesCRMRecruiting & transitions
45
STEPSTONE PRIVATE WEALTH added office(s): 0 -> 2 additional locations. IAPD ↗institutional
$8.17B RAUM · 0 reps · 704-215-4300
Office IT & facilitiesCRMRecruiting & transitions
40
GABELLI FUNDS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$21.95B RAUM · 48 reps · 914-921-5000 · gabelli.com
Office IT & facilitiesCRMRecruiting & transitions
40
HAMILTON LANE added office(s): 21 -> 22 additional locations. IAPD ↗fund
$138.30B RAUM · 257 reps · 610-934-2222
Office IT & facilitiesCRMRecruiting & transitions
40
VANGUARD GLOBAL ADVISERS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$491.43B RAUM · 84 reps · 610-669-1000 · vanguardoffshore.com
Office IT & facilitiesCRMRecruiting & transitions
40
STEPSTONE GROUP REAL ASSETS LP added office(s): 7 -> 8 additional locations. IAPD ↗fund
$33.10B RAUM · 75 reps · 858-558-9700
Office IT & facilitiesCRMRecruiting & transitions
40
MAM AMERICAS, INC. added office(s): 3 -> 4 additional locations. IAPD ↗fund
$3.17B RAUM · 128 reps · 212-231-1000
Office IT & facilitiesCRMRecruiting & transitions
40
PARAFI CAPITAL LP added office(s): 1 -> 2 additional locations. IAPD ↗fund
$1.40B RAUM · 8 reps · (203) 326-1321 · parafi.com
Office IT & facilitiesCRMRecruiting & transitions
40
GREAT MOUNTAIN PARTNERS added office(s): 0 -> 1 additional locations. IAPD ↗fund
$11.32B RAUM · 10 reps · 203.993.6149
Office IT & facilitiesCRMRecruiting & transitions
40
PERCHERON CAPITAL added office(s): 0 -> 1 additional locations. IAPD ↗fund
$3.59B RAUM · 54 reps · (415)738-4340 · percheroncapital.com
Office IT & facilitiesCRMRecruiting & transitions
40
ELDRIDGE SME ADVISERS added office(s): 2 -> 3 additional locations. IAPD ↗institutional
$0 RAUM · 8 reps · (212) 895-2000 · eldridge.com
Office IT & facilitiesCRMRecruiting & transitions
38
POLAR CAPITAL (AMERICA) CORPORATION added office(s): 0 -> 2 additional locations. IAPD ↗fund
$505.6M RAUM · 6 reps · 203-604-1550 · polarcapital.co.uk
Office IT & facilitiesCRMRecruiting & transitions
25
POLAR CAPITAL added office(s): 5 -> 6 additional locations. IAPD ↗foreign
$29.11B RAUM · 58 reps · 011 44 20 72272700 · polarcapital.co.uk
Office IT & facilitiesCRMRecruiting & transitions
25
QUANTUM ADVISORS PRIVATE LIMITED added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$2.28B RAUM · 15 reps · 91-22-61447900
Office IT & facilitiesCRMRecruiting & transitions
25
AVENDUS WEALTH MANAGEMENT PRIVATE LIMITED added office(s): 6 -> 9 additional locations. IAPD ↗foreign
$2.01B RAUM · 3 reps · -7488
Office IT & facilitiesCRMRecruiting & transitions
25
POLAR ASSET MANAGEMENT PARTNERS INC. added office(s): 5 -> 7 additional locations. IAPD ↗foreign
$42.92B RAUM · 61 reps · 416-367-4364 · polaramp.com
Office IT & facilitiesCRMRecruiting & transitions
25
MACQUARIE INVESTMENT MANAGEMENT GLOBAL LIMITED added office(s): 2 -> 4 additional locations. IAPD ↗foreign
$160.25B RAUM · 73 reps · 612 8232 3333 · macquarie.com
Office IT & facilitiesCRMRecruiting & transitions
25
MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$15.72B RAUM · 55 reps · 44 203 037 2000 · macquarie.com
Office IT & facilitiesCRMRecruiting & transitions
25
CLEAN ENERGY TRANSITION LLP added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$4.02B RAUM · 5 reps · 442038705963 · cleanenergytransition.com
Office IT & facilitiesCRMRecruiting & transitions
23
ESCHLER ASSET MANAGEMENT LLP added office(s): 7 -> 12 additional locations. IAPD ↗foreign
$497.2M RAUM · 31 reps · 447775824595
Office IT & facilitiesCRMRecruiting & transitions
20
CANACCORD GENUITY WEALTH MANAGEMENT added office(s): 5 -> 6 additional locations. IAPD ↗foreign
$101.2M RAUM · 31 reps · 604-643-7300
Office IT & facilitiesCRMRecruiting & transitions
20
BFINANCE US LTD. added office(s): 2 -> 3 additional locations. IAPD ↗foreign
$0 RAUM · 3 reps · 442077478600 · bfinance.com
Office IT & facilitiesCRMRecruiting & transitions
20
OCEANIC INVESTMENT MANAGEMENT LIMITED added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$198.7M RAUM · 6 reps · +44 1624 663616 · oceanicim.com
Office IT & facilitiesCRMRecruiting & transitions
deregistered — 61 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
CORRIGAN FINANCIAL INC (MIDDLETOWN, RI) left the SEC roster (was $1.15B RAUM, 12 reps). IAPD ↗
$1.15B RAUM · 12 reps · 401-849-9313 · corriganfinancialinc.com
Recruiting & transitionsM&A & valuation
65
BUFFINGTON MOHR MCNEAL (BOISE, ID) left the SEC roster (was $1.05B RAUM, 10 reps). IAPD ↗
$1.05B RAUM · 10 reps · 208-338-5551 · bmmria.com
Recruiting & transitionsM&A & valuation
65
MONTEREY PRIVATE WEALTH, INC. (MONTEREY, CA) left the SEC roster (was $1.10B RAUM, 8 reps). IAPD ↗
$1.10B RAUM · 8 reps · (831) 372-3426
Recruiting & transitionsM&A & valuation
65
POPLAR FOREST CAPITAL LLC (PASADENA, CA) left the SEC roster (was $1.28B RAUM, 6 reps). IAPD ↗
$1.28B RAUM · 6 reps · 626-304-6000 · poplarforestllc.com
Recruiting & transitionsM&A & valuation
65
PRIVATE PORTFOLIO PARTNERS, LLC (PARAMUS, NJ) left the SEC roster (was $1.05B RAUM, 19 reps). IAPD ↗
$1.05B RAUM · 19 reps · 201-939-6644 · fairway-wealth.com
Recruiting & transitionsM&A & valuation
65
ADERO PARTNERS, LLC (WALNUT CREEK, CA) left the SEC roster (was $4.38B RAUM, 24 reps). IAPD ↗
$4.38B RAUM · 24 reps · 650-252-0550
Recruiting & transitionsM&A & valuation
65
SPECTRUM WEALTH MANAGEMENT (INDIANAPOLIS, IN) left the SEC roster (was $1.15B RAUM, 6 reps). IAPD ↗
$1.15B RAUM · 6 reps · 317-663-5600
Recruiting & transitionsM&A & valuation
63
DREHER INVESTMENT SERVICES, INC. (SAN ANGELO, TX) left the SEC roster (was $272.0M RAUM, 5 reps). IAPD ↗
$272.0M RAUM · 5 reps · 325-486-8600 · dreherinvestmentservices.com
Recruiting & transitionsM&A & valuation
63
PARSONS CAPITAL MANAGEMENT, LLC (NEW HOPE, PA) left the SEC roster (was $803.8M RAUM, 2 reps). IAPD ↗
$803.8M RAUM · 2 reps · 908-730-0011 · parsonscapitalmanagement.com
Recruiting & transitionsM&A & valuation
63
MICHAEL A. DUBIS FINANCIAL PLANNING, LLC (MIDDLETON, WI) left the SEC roster (was $272.5M RAUM, 1 reps). IAPD ↗
$272.5M RAUM · 1 reps · 608-827-6755 · michaeldubis.com
Recruiting & transitionsM&A & valuation
63
SALZINGER SHEAFF BROCK, LLC (INDIANAPOLIS, IN) left the SEC roster (was $317.1M RAUM, 4 reps). IAPD ↗
$317.1M RAUM · 4 reps · 317-705-5700 · salzingersheaffbrock.com
Recruiting & transitionsM&A & valuation
63
BLUEPOINTE CAPITAL MANAGEMENT, LLC (MENLO PARK, CA) left the SEC roster (was $838.1M RAUM, 4 reps). IAPD ↗
$838.1M RAUM · 4 reps · 650-293-4545
Recruiting & transitionsM&A & valuation
63
HORAN CAPITAL ADVISORS, LLC (CINCINNATI, OH) left the SEC roster (was $595.9M RAUM, 5 reps). IAPD ↗
$595.9M RAUM · 5 reps · 513-745-0707
Recruiting & transitionsM&A & valuation
63
LPF ADVISORS, LLC (SARASOTA, FL) left the SEC roster (was $277.5M RAUM, 4 reps). IAPD ↗
$277.5M RAUM · 4 reps · (941) 907-0101 · waypointadvisors.com
Recruiting & transitionsM&A & valuation
63
PROQUILITY PRIVATE WEALTH PARTNERS, LLC (location n/a) left the SEC roster (was $355.6M RAUM, 2 reps). IAPD ↗
$355.6M RAUM · 2 reps · 702-941-7860
Recruiting & transitionsM&A & valuation
63
MAXWELL WEALTH (PLEASANTON, CA) left the SEC roster (was $290.0M RAUM, 3 reps). IAPD ↗
$290.0M RAUM · 3 reps · 925-523-3288
Recruiting & transitionsM&A & valuation
63
KEELAN CAPITAL (location n/a) left the SEC roster (was $561.4M RAUM, 2 reps). IAPD ↗
$561.4M RAUM · 2 reps · 404-421-8000 · keelancap.com
Recruiting & transitionsM&A & valuation
60
PENSION PLANNING SOLUTIONS, INC. (GREENSBORO, NC) left the SEC roster (was $9.1M RAUM, 1 reps). IAPD ↗
$9.1M RAUM · 1 reps · 336-389-9922 · pensionplanningsolutions.com
Recruiting & transitionsM&A & valuation
60
MERIDIAN CAPITAL MANAGEMENT GROUP, INC. (UNIONTOWN, OH) left the SEC roster (was $182.3M RAUM, 2 reps). IAPD ↗
$182.3M RAUM · 2 reps · 330-899-0135 · mercapgroup.com
Recruiting & transitionsM&A & valuation
60
WIN TEAM ADVISORY SERVICES (IRVINE, CA) left the SEC roster (was $56.6M RAUM, 3 reps). IAPD ↗
$56.6M RAUM · 3 reps · 949-336-7300 · win-team.org
Recruiting & transitionsM&A & valuation
60
PILLAR WEALTH MANAGEMENT, LLC (location n/a) left the SEC roster (was $221.1M RAUM, 2 reps). IAPD ↗
$221.1M RAUM · 2 reps · 925-407-0320 · pillarwm.com
Recruiting & transitionsM&A & valuation
60
OLYMPIC WEALTH MANAGEMENT LLC (BOTHELL, WA) left the SEC roster (was $209.4M RAUM, 1 reps). IAPD ↗
$209.4M RAUM · 1 reps · (425) 485-4700 · olympicwm.com
Recruiting & transitionsM&A & valuation
60
AOG WEALTH MANAGEMENT (RESTON, VA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 703-757-8020 · aogwealth.com
Recruiting & transitionsM&A & valuation
60
MYLES WEALTH MANAGEMENT, LLC (FLORIDA, NY) left the SEC roster (was $97.1M RAUM, 1 reps). IAPD ↗
$97.1M RAUM · 1 reps · 845-651-3070 · myleswealthmanagement.com
Recruiting & transitionsM&A & valuation
60
NEW POTOMAC PARTNERS LLC (NORTH BETHESDA, MD) left the SEC roster (was $59.3M RAUM, 2 reps). IAPD ↗
$59.3M RAUM · 2 reps · 240-253-4280 · newpotomacpartners.com
Recruiting & transitionsM&A & valuation
60
SABRIENT SYSTEMS, LLC (location n/a) left the SEC roster (was $0 RAUM, 7 reps). IAPD ↗
$0 RAUM · 7 reps · 805-730-7777
Recruiting & transitionsM&A & valuation
60
TRIO ADVISORS, INC. (location n/a) left the SEC roster (was $47.1M RAUM, 2 reps). IAPD ↗
$47.1M RAUM · 2 reps · 646-529-1495
Recruiting & transitionsM&A & valuation
60
SPARI, INC. (DENVER, CO) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 785-537-6225 · spari.info
Recruiting & transitionsM&A & valuation
60
MEDIA WEALTH (WALNUT CREEK, CA) left the SEC roster (was $142.3M RAUM, 3 reps). IAPD ↗
$142.3M RAUM · 3 reps · 650-252-0550
Recruiting & transitionsM&A & valuation
60
KOMOREBI GLOBAL (location n/a) left the SEC roster (was $69.4M RAUM, 1 reps). IAPD ↗
$69.4M RAUM · 1 reps · 786-302-0667 · komorebi-global.com
Recruiting & transitionsM&A & valuation
60
ROSENBLATT GLOBAL ADVISORS (NEW YORK, NY) left the SEC roster (was $1.0M RAUM, 2 reps). IAPD ↗
$1.0M RAUM · 2 reps · 212-607-3100 · rbltga.com
Recruiting & transitionsM&A & valuation
60
CALLAHAN FINANCIAL PLANNING (TREYNOR, IA) left the SEC roster (was $86.3M RAUM, 3 reps). IAPD ↗
$86.3M RAUM · 3 reps · (800) 991-5195 · callahanfp.com
Recruiting & transitionsM&A & valuation
60
ANEW ADVISORS, LLC (WAUWATOSA, WI) left the SEC roster (was $67.8M RAUM, 2 reps). IAPD ↗
$67.8M RAUM · 2 reps · 414-704-2875
Recruiting & transitionsM&A & valuation
60
SNC WEALTH MANAGEMENT LLC (PLAINSBORO, NJ) left the SEC roster (was $21.0M RAUM, 1 reps). IAPD ↗
$21.0M RAUM · 1 reps · 908-510-3072
Recruiting & transitionsM&A & valuation
60
VESTO ADVISORS, LLC (NEW YORK, NY) left the SEC roster (was $65.4M RAUM, 2 reps). IAPD ↗
$65.4M RAUM · 2 reps · 856-219-4026 · getvesto.com
Recruiting & transitionsM&A & valuation
60
JOHNSON ADVISORS (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 4053349763 · johnsonadvisors.godaddysites.com
Recruiting & transitionsM&A & valuation
60
EDEN INTELLIGENCE FINANCIAL (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $3.4M RAUM, 1 reps). IAPD ↗
$3.4M RAUM · 1 reps · 206-747-0960
Recruiting & transitionsM&A & valuation
60
WIMER INVESTMENT MANAGEMENT (location n/a) left the SEC roster (was $69.0M RAUM, 1 reps). IAPD ↗
$69.0M RAUM · 1 reps · 7327639237
Recruiting & transitionsM&A & valuation
60
AIML TRADING PARTNERS (COLD SPRING HARBOR, NY) left the SEC roster (was $35.0M RAUM, 1 reps). IAPD ↗
$35.0M RAUM · 1 reps · (631) 944-5699
Recruiting & transitionsM&A & valuation
60
MORA FINANCIAL (SANTA ANA, CA) left the SEC roster (was $150 RAUM, 1 reps). IAPD ↗
$150 RAUM · 1 reps · 949-287-8068 · mora.com
Recruiting & transitionsM&A & valuation
60
ANGLIN INVESTMENT PARTNERS, LLC (ATLANTA, GA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 912-655-5481 · anglinpartners.com
Recruiting & transitionsM&A & valuation
60
AP INVESTMENT MANAGEMENT (MOUNTAIN VIEW, CA) left the SEC roster — its 120-day provisional registration did not convert (was $27.9M RAUM, 1 reps). IAPD ↗
$27.9M RAUM · 1 reps · 650-618-1091
Recruiting & transitionsM&A & valuation
53
CHIRON INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $440.2M RAUM, 4 reps). IAPD ↗institutional
$440.2M RAUM · 4 reps · 917-338-5082
Recruiting & transitionsM&A & valuation
50
NORTH COUNTRY INVESTMENT ADVISERS, INC. (GLENS FALLS, NY) left the SEC roster (was $124.9M RAUM, 4 reps). IAPD ↗institutional
$124.9M RAUM · 4 reps · 518-745-1000
Recruiting & transitionsM&A & valuation
50
BELSTAR MANAGEMENT COMPANY, LLC (NEW YORK, NY) left the SEC roster (was $0 RAUM, 3 reps). IAPD ↗institutional
$0 RAUM · 3 reps · 212-245-2800 · belstargroup.com
Recruiting & transitionsM&A & valuation
50
CMS FUND ADVISERS, LLC (WYNNEWOOD, PA) left the SEC roster (was $814,325 RAUM, 4 reps). IAPD ↗institutional
$814,325 RAUM · 4 reps · 610-896-3000 · cmsco.com (no longer available)
Recruiting & transitionsM&A & valuation
50
NATIONAL VALUATION CONSULTANTS, INC (CENTENNIAL, CO) left the SEC roster (was $0 RAUM, 5 reps). IAPD ↗institutional
$0 RAUM · 5 reps · 303-753-6900 · nvcinc.com
Recruiting & transitionsM&A & valuation
50
U.S. NEWS FINANCIAL CONNECT (NEW YORK, NY) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 212-716-6800 · money.usnews.com
Recruiting & transitionsM&A & valuation
50
SIMPLIFY EQLS LLC (LAS VEGAS, NV) left the SEC roster (was $114.3M RAUM, 13 reps). IAPD ↗institutional
$114.3M RAUM · 13 reps · 646-585-0476
Recruiting & transitionsM&A & valuation
50
CORYELL INVESTMENT MANAGEMENT LP (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗institutional
$0 RAUM · 3 reps · 646-907-5632 · coryell.com
Recruiting & transitionsM&A & valuation
50
MOZAYYX MANAGEMENT LLC (AUSTIN, TX) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 512-522-9690 · mozayyx.com
Recruiting & transitionsM&A & valuation
50
REPOWER HOLDINGS LLP (DOVER, DE) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 5 reps). IAPD ↗institutional
$0 RAUM · 5 reps · 248-786-9850 · repowerholdings.com
Recruiting & transitionsM&A & valuation
48
STONE ARCH CAPITAL, LLC (MINNEAPOLIS, MN) left the SEC roster (was $252.6M RAUM, 7 reps). IAPD ↗fund
$252.6M RAUM · 7 reps · 612-317-2980
Recruiting & transitionsM&A & valuation
45
WMS PARTNERS, LLC (TOWSON, MD) left the SEC roster (was $9.3M RAUM, 0 reps). IAPD ↗fund
$9.3M RAUM · 0 reps · 410-337-7575
Recruiting & transitionsM&A & valuation
45
CREDIT VALUE PARTNERS, LLC (SARASOTA, FL) left the SEC roster (was $161.5M RAUM, 2 reps). IAPD ↗fund
$161.5M RAUM · 2 reps · 203-893-4700
Recruiting & transitionsM&A & valuation
45
ACUTA CAPITAL PARTNERS, LLC (REDWOOD CITY, CA) left the SEC roster (was $154.3M RAUM, 3 reps). IAPD ↗fund
$154.3M RAUM · 3 reps · 650-486-0508 · acutacapital.com
Recruiting & transitionsM&A & valuation
45
PUISSANCE CAPITAL MANAGEMENT LP (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $14.9M RAUM, 1 reps). IAPD ↗fund
$14.9M RAUM · 1 reps · 212-878-3702 · puissancecapital.com
Recruiting & transitionsM&A & valuation
45
WHITNEY PEAK CAPITAL, LP (BOSTON, MA) left the SEC roster (was $80.2M RAUM, 1 reps). IAPD ↗fund
$80.2M RAUM · 1 reps · 617-646-4740
Recruiting & transitionsM&A & valuation
45
272 CAPITAL LP (DALLAS, TX) left the SEC roster (was $141.9M RAUM, 3 reps). IAPD ↗fund
$141.9M RAUM · 3 reps · 214-556-2465
Recruiting & transitionsM&A & valuation
45
ATHIR CAPITAL LP (CHICAGO, IL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗fund
$0 RAUM · 2 reps · 312-210-7565
Recruiting & transitionsM&A & valuation
30
HUESLER FINANCIAL CONSULTING AG (LUCERNE, Switzerland) left the SEC roster (was $104.9M RAUM, 1 reps). IAPD ↗foreign
$104.9M RAUM · 1 reps · 41412108484
Recruiting & transitionsM&A & valuation
headcount up — 52 Advisory representative count grew materially (>=20% or >=5 reps).
85
COLDSTREAM WEALTH MANAGEMENT grew from 141 to 165 advisory reps. IAPD ↗
$12.44B RAUM · 165 reps · 425-283-1600
CRMRecruiting & transitionsComplianceFinancial planning software
85
STEPSTONE GROUP LP grew from 164 to 193 advisory reps. IAPD ↗
$95.63B RAUM · 193 reps · 858-558-9700 · vimeo.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
FOCUS PARTNERS WEALTH, LLC grew from 945 to 980 advisory reps. IAPD ↗
$95.89B RAUM · 980 reps · (314) 725-0455
CRMRecruiting & transitionsComplianceFinancial planning software
84
ARAX ADVISORY PARTNERS grew from 38 to 52 advisory reps. IAPD ↗
$7.32B RAUM · 52 reps · 303-633-5900 · simondavisinc.com
CRMRecruiting & transitionsComplianceFinancial planning software
78
NINETY ONE NORTH AMERICA, INC. grew from 29 to 37 advisory reps. IAPD ↗
$38.74B RAUM · 37 reps · 1 917 206 5188 · ninetyone.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
CONCURRENT INVESTMENT ADVISORS, LLC grew from 137 to 143 advisory reps. IAPD ↗
$9.90B RAUM · 143 reps · 813-709-8800 · cornerstonepw.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
OASIS ADVISORS grew from 11 to 22 advisory reps. IAPD ↗
$0 RAUM · 22 reps · 715-843-5518
CRMRecruiting & transitionsComplianceFinancial planning software
75
TOCQUEVILLE ASSET MANAGEMENT LP grew from 36 to 41 advisory reps. IAPD ↗
$9.66B RAUM · 41 reps · 212-698-0800
CRMRecruiting & transitionsComplianceFinancial planning software
75
LUTHER KING CAPITAL MANAGEMENT CORPORATION grew from 67 to 72 advisory reps. IAPD ↗
$30.15B RAUM · 72 reps · 817-332-3235 · lkcm.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
ACORN FINANCIAL ADVISORY SERVICES, INC. grew from 12 to 17 advisory reps. IAPD ↗
$1.23B RAUM · 17 reps · (703) 293-3100 · olddominionira.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
SANCTUARY ADVISORS, LLC grew from 345 to 350 advisory reps. IAPD ↗
$27.70B RAUM · 350 reps · 317-975-7729 · newspringwealthpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
ROYALTY PHARMA MANAGER, LLC grew from 0 to 43 advisory reps. IAPD ↗institutional
$16.44B RAUM · 43 reps · 212.883.0200 · royaltypharma.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
MADISON ADVISORY SERVICES, INC. grew from 11 to 16 advisory reps. IAPD ↗
$428.9M RAUM · 16 reps · 914-328-8558 · madisonplanning.net
CRMRecruiting & transitionsComplianceFinancial planning software
72
THE WEALTH ALLIANCE, LLC grew from 9 to 11 advisory reps. IAPD ↗
$1.91B RAUM · 11 reps · (631) 670-0682
CRMRecruiting & transitionsComplianceFinancial planning software
72
WEDMONT PRIVATE CAPITAL grew from 5 to 7 advisory reps. IAPD ↗
$2.37B RAUM · 7 reps · 6108858200
CRMRecruiting & transitionsComplianceFinancial planning software
72
STEADTRUST grew from 5 to 9 advisory reps. IAPD ↗
$438.9M RAUM · 9 reps · 972-876-8422 · concordfinancialgroup.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
HAMILTON LANE grew from 225 to 257 advisory reps. IAPD ↗fund
$138.30B RAUM · 257 reps · 610-934-2222
CRMRecruiting & transitionsComplianceFinancial planning software
70
ASCENSION CAPITAL ADVISORS, INC. grew from 5 to 7 advisory reps. IAPD ↗
$634.3M RAUM · 7 reps · 713-952-6900 · ascensioncapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
WEAVER CAPITAL MANAGEMENT, LLC grew from 1 to 3 advisory reps. IAPD ↗
$434.1M RAUM · 3 reps · 678-341-1333
CRMRecruiting & transitionsComplianceFinancial planning software
70
STEPSTONE GROUP REAL ESTATE LP grew from 64 to 79 advisory reps. IAPD ↗fund
$16.36B RAUM · 79 reps · 858-558-9700 · vimeo.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
ROYALTY PHARMA SUB-MANAGER, LLC grew from 0 to 43 advisory reps. IAPD ↗fund
$17.63B RAUM · 43 reps · 212-883-0200
CRMRecruiting & transitionsComplianceFinancial planning software
67
ZENITH WEALTH PARTNERS grew from 6 to 8 advisory reps. IAPD ↗
$102.1M RAUM · 8 reps · (484) 278-1559
CRMRecruiting & transitionsComplianceFinancial planning software
62
SB INVESTMENT ADVISERS (US) INC. grew from 104 to 111 advisory reps. IAPD ↗fund
$60.92B RAUM · 111 reps · 650-562-8211
CRMRecruiting & transitionsComplianceFinancial planning software
61
APAX PARTNERS US, LLC grew from 81 to 89 advisory reps. IAPD ↗fund
$415.7M RAUM · 89 reps · 212-753-6300
CRMRecruiting & transitionsComplianceFinancial planning software
61
DRI CAPITAL (US), INC. grew from 3 to 6 advisory reps. IAPD ↗institutional
$520.1M RAUM · 6 reps · 908-577-2968
CRMRecruiting & transitionsComplianceFinancial planning software
60
MAM AMERICAS, INC. grew from 123 to 128 advisory reps. IAPD ↗fund
$3.17B RAUM · 128 reps · 212-231-1000
CRMRecruiting & transitionsComplianceFinancial planning software
59
3I CORPORATION grew from 19 to 23 advisory reps. IAPD ↗fund
$2.63B RAUM · 23 reps · 1 212 848 1400 · 3i.com
CRMRecruiting & transitionsComplianceFinancial planning software
58
LEGALIST grew from 13 to 16 advisory reps. IAPD ↗fund
$1.03B RAUM · 16 reps · 415-570-7878
CRMRecruiting & transitionsComplianceFinancial planning software
58
FORWARD CONSUMER PARTNERS, LLC grew from 6 to 11 advisory reps. IAPD ↗fund
$425.0M RAUM · 11 reps · 203-485-4700 · forwardconsumerpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
57
RECKONER CAPITAL MANAGEMENT LLC grew from 6 to 8 advisory reps. IAPD ↗institutional
$28.7M RAUM · 8 reps · 212-597-2500 · reckoner.com
CRMRecruiting & transitionsComplianceFinancial planning software
56
POLAR CAPITAL (AMERICA) CORPORATION grew from 3 to 6 advisory reps. IAPD ↗fund
$505.6M RAUM · 6 reps · 203-604-1550 · polarcapital.co.uk
CRMRecruiting & transitionsComplianceFinancial planning software
56
GARNET CREDIT MANAGEMENT LLC grew from 3 to 6 advisory reps. IAPD ↗fund
$552.4M RAUM · 6 reps · 212-970-6601 · garnetcredit.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
ROKOS CAPITAL MANAGEMENT LLP grew from 43 to 62 advisory reps. IAPD ↗foreign
$229.82B RAUM · 62 reps · +44(0)2036689000 · rokoscapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
52
BANDHAN AMC LIMITED grew from 30 to 42 advisory reps. IAPD ↗foreign
$20.59B RAUM · 42 reps · 22-6628-9999 EXTN: 22737 · bandhanamc.com
CRMRecruiting & transitionsComplianceFinancial planning software
52
NATURAL CAPITAL grew from 10 to 12 advisory reps. IAPD ↗fund
$218.2M RAUM · 12 reps · 501-517-3162 · naturalcapitalfirm.com
CRMRecruiting & transitionsComplianceFinancial planning software
51
ASSET MANAGEMENT ONE CO., LTD. grew from 271 to 282 advisory reps. IAPD ↗foreign
$450.65B RAUM · 282 reps · 81-3-6774-5000 · am-one.co.jp
CRMRecruiting & transitionsComplianceFinancial planning software
51
GSA CAPITAL PARTNERS LLP grew from 32 to 43 advisory reps. IAPD ↗foreign
$4.81B RAUM · 43 reps · 00-44-20-4603-5100 · gsacapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
50
CANACCORD GENUITY WEALTH MANAGEMENT grew from 7 to 31 advisory reps. IAPD ↗foreign
$101.2M RAUM · 31 reps · 604-643-7300
CRMRecruiting & transitionsComplianceFinancial planning software
50
NIKKO ASSET MANAGEMENT CO LTD grew from 130 to 140 advisory reps. IAPD ↗foreign
$213.77B RAUM · 140 reps · 81-3-6447-6000
CRMRecruiting & transitionsComplianceFinancial planning software
49
HOLLYPORT CAPITAL LLP grew from 56 to 65 advisory reps. IAPD ↗foreign
$5.86B RAUM · 65 reps · +44 207 478 3970 · hollyportcapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
48
POLAR ASSET MANAGEMENT PARTNERS INC. grew from 53 to 61 advisory reps. IAPD ↗foreign
$42.92B RAUM · 61 reps · 416-367-4364 · polaramp.com
CRMRecruiting & transitionsComplianceFinancial planning software
47
SOMPO ASSET MANAGEMENT CO., LTD. grew from 56 to 63 advisory reps. IAPD ↗foreign
$27.89B RAUM · 63 reps · 81-3-5290-3400
CRMRecruiting & transitionsComplianceFinancial planning software
46
SECURIS INVESTMENT PARTNERS LLP grew from 17 to 23 advisory reps. IAPD ↗foreign
$2.89B RAUM · 23 reps · 44 020 7847 3700
CRMRecruiting & transitionsComplianceFinancial planning software
45
MESARETE CAPITAL LLP grew from 6 to 11 advisory reps. IAPD ↗foreign
$4.35B RAUM · 11 reps · +44 (0) 203 148 2330
CRMRecruiting & transitionsComplianceFinancial planning software
44
PACIFIC ASSET MANAGEMENT grew from 15 to 19 advisory reps. IAPD ↗foreign
$11.18B RAUM · 19 reps · +44 203 970 3100 · pacificam.co.uk
CRMRecruiting & transitionsComplianceFinancial planning software
44
J. STERN & CO. LLP grew from 10 to 14 advisory reps. IAPD ↗foreign
$1.90B RAUM · 14 reps · +44(0)20 3478 1800 · jsternco.com
CRMRecruiting & transitionsComplianceFinancial planning software
44
BUOYANT CAPITAL PRIVATE LIMITED grew from 45 to 51 advisory reps. IAPD ↗foreign
$674.0M RAUM · 51 reps · +91 22 6931 9994 · buoyantcap.com
CRMRecruiting & transitionsComplianceFinancial planning software
43
GOODHART PARTNERS LLP grew from 1 to 6 advisory reps. IAPD ↗foreign
$683.0M RAUM · 6 reps · +44 (0)20 7379 3000 · goodhartpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
43
CAIUS CAPITAL LLP grew from 7 to 10 advisory reps. IAPD ↗foreign
$1.85B RAUM · 10 reps · 442071907940 · caiuscapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
42
TAVIRA FINANCIAL grew from 13 to 17 advisory reps. IAPD ↗foreign
$764.2M RAUM · 17 reps · 44 0207 100 5100
CRMRecruiting & transitionsComplianceFinancial planning software
40
UTI ASSET MANAGEMENT COMPANY LIMITED grew from 53 to 58 advisory reps. IAPD ↗foreign
$0 RAUM · 58 reps · 91 022 6678 6686 · utimf.com
CRMRecruiting & transitionsComplianceFinancial planning software
40
SCOTT CAPITAL PARTNERS grew from 6 to 8 advisory reps. IAPD ↗foreign
$739.3M RAUM · 8 reps · 442045742828 · scottcp.com
CRMRecruiting & transitionsComplianceFinancial planning software
website changed — 39 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
CONSOLIDATED PORTFOLIO REVIEW CORP changed its website from wwww.financialresourcesinc.com to delanceywealth.com. IAPD ↗
$1.29B RAUM · 28 reps · 631-845-5100 · delanceywealth.com
Marketing & brand
30
BASSO CAPITAL MANAGEMENT, L.P. changed its website from bassocap.com to bassofamilyoffice.com. IAPD ↗
$2.23B RAUM · 4 reps · 203 352-6100 · bassofamilyoffice.com
Marketing & brand
30
L & S ADVISORS, INC changed its website from lsadvisor.com to lsadvisors.com. IAPD ↗
$1.05B RAUM · 15 reps · 310-893-6060 · lsadvisors.com
Marketing & brand
30
OCEAN PARK ASSET MANAGEMENT, LLC changed its website from sierramutualfunds.com to oceanparkam.com. IAPD ↗
$4.87B RAUM · 8 reps · 310-452-1887 · oceanparkam.com
Marketing & brand
30
VERUS CAPITAL PARTNERS, LLC changed its website from geiserwealth.com to azeagleaz.com. IAPD ↗
$2.07B RAUM · 38 reps · 480-990-3719 · azeagleaz.com
Marketing & brand
30
FOURSTAR WEALTH ADVISORS, LLC changed its website from timeto.planyourexitstrategy.com to financialadvisorsworkshop.com. IAPD ↗
$1.24B RAUM · 45 reps · (312) 667-1750 · financialadvisorsworkshop.com
Marketing & brand
30
JOHNSON BRUNETTI changed its website from retire.johnsonbrunetti.com to listentojoel.com. IAPD ↗
$2.11B RAUM · 31 reps · 860-372-4800 · listentojoel.com
Marketing & brand
30
INVST, LLC changed its website from levinefinancial.net to 401khack.org. IAPD ↗
$1.79B RAUM · 39 reps · 317-202-1891 · 401khack.org
Marketing & brand
30
EVERSOURCE WEALTH ADVISORS, LLC changed its website from cornerstone360advisors.com to centerpointstrategies.com. IAPD ↗
$3.95B RAUM · 40 reps · 205-982-5515 · centerpointstrategies.com
Marketing & brand
30
THE ASCENT GROUP, LLC changed its website from tagwm.com to aleragroup.com. IAPD ↗
$4.93B RAUM · 4 reps · 757-499-8300 · aleragroup.com
Marketing & brand
30
ALTHUM ADVISORS LLC changed its website from lxgmfo.com to althumadvisors.com. IAPD ↗
$1.64B RAUM · 12 reps · +1 305-456-7645 · althumadvisors.com
Marketing & brand
28
AMERANT INVESTMENTS, INC. changed its website from amerantinvestments.com to amerantinvestments.marstone.com. IAPD ↗
$688.2M RAUM · 15 reps · 305-460-8599 · amerantinvestments.marstone.com
Marketing & brand
28
KEATING FINANCIAL ADVISORY SERVICES changed its website from purposefulwealthadvisors.com to keatingkc.com. IAPD ↗
$330.0M RAUM · 30 reps · 785-537-0366 · keatingkc.com
Marketing & brand
28
REAP FINANCIAL GROUP, LLC changed its website from taxfreedomsummit.com to reapfinancial.com. IAPD ↗
$510.2M RAUM · 7 reps · 512-249-7300 · reapfinancial.com
Marketing & brand
28
BUSKA WEALTH MANAGEMENT, LLC changed its website from retirewithbuska.com to buskabook.com. IAPD ↗
$425.2M RAUM · 9 reps · 715-355-4445 · buskabook.com
Marketing & brand
28
BLUE WATER ASSET MANAGEMENT changed its website from bluewaterassetmanagement.com to redfieldfinancialgroup.com. IAPD ↗
$386.8M RAUM · 7 reps · 616-447-1600 · redfieldfinancialgroup.com
Marketing & brand
28
KPP ADVISORY SERVICES LLC changed its website from money411.info to kpp-lpl.com. IAPD ↗
$874.3M RAUM · 24 reps · 502-394-0400 · kpp-lpl.com
Marketing & brand
28
INDIVISIBLE PARTNERS changed its website from indivisible.com to linkedin.company. IAPD ↗
$421.3M RAUM · 3 reps · 732-306-5490 · linkedin.company
Marketing & brand
25
LITTLEJOHN FINANCIAL SERVICES INC changed its website from blubrry.com to pinterest.com. IAPD ↗
$157.1M RAUM · 4 reps · 541-375-0898 · pinterest.com
Marketing & brand
25
TAVERIK CAPITAL, LLC changed its website from wcmglobalwealth.com to taverik.com. IAPD ↗
$104.2M RAUM · 3 reps · 864-967-9838 · taverik.com
Marketing & brand
25
WEALTHTRAK ADVISORS changed its website from wealthtrakcm.com to weathtrkadvisors.com. IAPD ↗
$164.6M RAUM · 3 reps · (757) 523-1250 · weathtrkadvisors.com
Marketing & brand
25
KEELEY-TETON ADVISORS, LLC changed its website from keeleyteton.com to tetonadv.com. IAPD ↗
$12.0M RAUM · 1 reps · (312) 786-5000 · tetonadv.com
Marketing & brand
25
CABIN ADVISORS, LLC changed its website from financialarchitects.com to aycockwealthmanagement.com. IAPD ↗
$133.6M RAUM · 14 reps · 913-933-3351 · aycockwealthmanagement.com
Marketing & brand
25
CORDINGLEY & PARKINSON WEALTH MANAGEMENT changed its website from cpwealthmanagement.com to sandcreekcap.com. IAPD ↗
$193.0M RAUM · 2 reps · 208-356-9022 · sandcreekcap.com
Marketing & brand
25
DEMETER TACTICAL INVESTMENTS CORP. changed its website from demeter-funds.com to demetertacticalinvestments.com. IAPD ↗
$185.0M RAUM · 3 reps · 2125184444 · demetertacticalinvestments.com
Marketing & brand
25
BRAVE NEW WEALTH changed its website from bravenewwealth.com to bravenewwealthwm.com. IAPD ↗
$0 RAUM · 1 reps · 8052439474 · bravenewwealthwm.com
Marketing & brand
20
PTMA INVESTMENT ADVISORS changed its website from publictrustadvisors.com to wyomingclass.com. IAPD ↗institutional
$94.21B RAUM · 13 reps · 855-395-3954 · wyomingclass.com
Marketing & brand
15
TENNENBAUM CAPITAL PARTNERS, LLC changed its website from mp.weixin.qq.com to mbank.95559.com.cn. IAPD ↗fund
$3.43B RAUM · 8 reps · 310 566 1000 · mbank.95559.com.cn
Marketing & brand
15
PINE RIVER CAPITAL MANAGEMENT L.P. changed its website from pinerivercapital.com to prcm.com. IAPD ↗fund
$24.05B RAUM · 15 reps · 612-238-3300 · prcm.com
Marketing & brand
15
RIDGEWOOD ENERGY CORPORATION changed its website from ridgewoodenergy1.weebly.com to flickr.com. IAPD ↗fund
$3.87B RAUM · 20 reps · 201-447-9000 · flickr.com
Marketing & brand
15
FIC PARTNERS MANAGEMENT, LP changed its website from firstinfrastructurecapital.com to ficfund.com. IAPD ↗fund
$1.81B RAUM · 4 reps · 713.337.7980 · ficfund.com
Marketing & brand
15
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC changed its website from ishares.com to m.zhangle.com. IAPD ↗fund
$39.21B RAUM · 35 reps · 302 797 2000 · m.zhangle.com
Marketing & brand
13
PASSPORT CAPITAL, LLC changed its website from nimblepartners.vc to passportcapital.com. IAPD ↗fund
$346.0M RAUM · 5 reps · 415-321-4600 · passportcapital.com
Marketing & brand
13
SARAZA MANAGEMENT LP changed its website from lts-one.com to sarazamgmt.com. IAPD ↗fund
$547.4M RAUM · 5 reps · 646-860-0200 · sarazamgmt.com
Marketing & brand
1
CARDINAL POINT WEALTH MANAGEMENT changed its website from cardinalpoint-capital.com to sportsmgt.cardinalpointwealth.com. IAPD ↗foreign
$2.25B RAUM · 18 reps · 866-213-2036 · sportsmgt.cardinalpointwealth.com
Marketing & brand
1
ATB CAPITAL MARKETS USA INC. changed its website from atbcapitalmarkets.com to atbcm.atb.com. IAPD ↗foreign
$0 RAUM · 17 reps · 403-539-8600 · atbcm.atb.com
Marketing & brand
1
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. changed its website from kotakglobal.com to kotak-international.com. IAPD ↗foreign
$5.07B RAUM · 7 reps · 6563956970 · kotak-international.com
Marketing & brand
1
360 ONE ASSET MANAGEMENT LIMITED changed its website from iiflamc.com to 360.one. IAPD ↗foreign
$4.82B RAUM · 2 reps · +91 022 4876 5600 · 360.one
Marketing & brand
1
HUDSON HOUSE CAPITAL INCORPORATED changed its website from hgstrudwick.com to hudsonhousecapital.com. IAPD ↗foreign
$0 RAUM · 2 reps · (212) 293-1031 · hudsonhousecapital.com
Marketing & brand
disclosure added — 37 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 1 (158 -> 159). IAPD ↗
$171.21B RAUM · 3045 reps · 314-342-2000
ComplianceMarketing & brand
55
WEDBUSH SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 1 (106 -> 107). IAPD ↗
$5.74B RAUM · 214 reps · 213-688-8000
ComplianceMarketing & brand
55
CITIGROUP GLOBAL MARKETS INC.'s Item 11 disclosure-reporting entries rose by 1 (171 -> 172). IAPD ↗
$46.87B RAUM · 4267 reps · 212-816-6000
ComplianceMarketing & brand
55
WELLS FARGO ADVISORS's Item 11 disclosure-reporting entries rose by 1 (643 -> 644). IAPD ↗
$606.04B RAUM · 8410 reps · 314-875-3000
ComplianceMarketing & brand
55
RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 1 (223 -> 224). IAPD ↗
$259.96B RAUM · 5680 reps · 212-858-7000 · us.rbcwealthmanagement.com
ComplianceMarketing & brand
55
SILVER OAK SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗
$2.03B RAUM · 106 reps · 731-668-3825 · silveroaksecurities.com
ComplianceMarketing & brand
55
SANFORD C. BERNSTEIN & CO., LLC's Item 11 disclosure-reporting entries rose by 1 (27 -> 28). IAPD ↗
$1.65B RAUM · 0 reps · 615-622-0000
ComplianceMarketing & brand
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC.'s Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗
$193.11B RAUM · 92 reps · 212-454-4500
ComplianceMarketing & brand
55
JOHN HANCOCK INVESTMENT MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 1 (14 -> 15). IAPD ↗
$202.19B RAUM · 28 reps · 617-663-3000
ComplianceMarketing & brand
55
RREEF AMERICA L.L.C.'s Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗
$29.47B RAUM · 135 reps · 312-537-7000
ComplianceMarketing & brand
55
KOSS-OLINGER CONSULTING, LLC.'s Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$2.08B RAUM · 14 reps · 352-373-3337 · kossolinger.com
ComplianceMarketing & brand
55
ARAX ADVISORY PARTNERS's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$7.32B RAUM · 52 reps · 303-633-5900 · simondavisinc.com
ComplianceMarketing & brand
55
GFS ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (3 -> 5). IAPD ↗
$3.27B RAUM · 9 reps · 713-968-0400 · globalhou.com
ComplianceMarketing & brand
55
BTG PACTUAL ASSET MANAGEMENT US , LLC's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$25.63B RAUM · 94 reps · 212-293-4600
ComplianceMarketing & brand
53
AB CUSTOM ALTERNATIVE SOLUTIONS LLC's Item 11 disclosure-reporting entries rose by 1 (10 -> 11). IAPD ↗
$746.0M RAUM · 1 reps · 615-622-0000 · asturiascapitalllc.com
ComplianceMarketing & brand
53
SECURE ASSET MANAGEMENT, L.L.C.'s Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
$890.0M RAUM · 51 reps · 248-414-1562 · re-transition.com
ComplianceMarketing & brand
53
TACTIVE ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 5 (0 -> 5). IAPD ↗
$456.9M RAUM · 13 reps · 855-282-2848 · pcliftonfinancial.com
ComplianceMarketing & brand
50
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗
$186.8M RAUM · 24 reps · 203-418-9000
ComplianceMarketing & brand
50
PACIFIC COAST INVESTMENT ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$111.3M RAUM · 1 reps · 503-968-2500 · pacificcoastia.com
ComplianceMarketing & brand
50
CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$124.7M RAUM · 4 reps · 888-392-8007 · cddwealth.com
ComplianceMarketing & brand
50
GLOBAL PREDICTIONS INC's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
$0 RAUM · 1 reps · (510) 426-6421
ComplianceMarketing & brand
45
JOHN HANCOCK VARIABLE TRUST ADVISERS LLC's Item 11 disclosure-reporting entries rose by 1 (15 -> 16). IAPD ↗institutional
$67.61B RAUM · 28 reps · 617-663-3000 · johnhancock.com
ComplianceMarketing & brand
45
DBX ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗institutional
$24.91B RAUM · 11 reps · 212-454-4500
ComplianceMarketing & brand
45
COMPASS GROUP MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
$4.05B RAUM · 15 reps · 203.221.1703 · compassdiversified.com
ComplianceMarketing & brand
40
DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 2 (701 -> 703). IAPD ↗institutional
$0 RAUM · 146 reps · 212-250-2500 · db.com
ComplianceMarketing & brand
40
ALLIANCEBERNSTEIN HOLDING L.P.'s Item 11 disclosure-reporting entries rose by 1 (12 -> 13). IAPD ↗institutional
$0 RAUM · 0 reps · 615-622-0000
ComplianceMarketing & brand
40
ALLIANCEBERNSTEIN CORPORATION's Item 11 disclosure-reporting entries rose by 1 (10 -> 11). IAPD ↗institutional
$0 RAUM · 0 reps · 212-969-1000
ComplianceMarketing & brand
40
BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 1 (133 -> 134). IAPD ↗institutional
$0 RAUM · 319 reps · 646-743-2734 · bankofamerica.com
ComplianceMarketing & brand
40
AB BROADLY SYNDICATED LOAN MANAGER LLC's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗fund
$1.71B RAUM · 1 reps · 615-622-0000
ComplianceMarketing & brand
40
ALTIUM INVESTMENT STRATEGIES LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗institutional
$113.0M RAUM · 1 reps · 813-215-7783
ComplianceMarketing & brand
38
GARNET CREDIT MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 1 (4 -> 5). IAPD ↗fund
$552.4M RAUM · 6 reps · 212-970-6601 · garnetcredit.com
ComplianceMarketing & brand
35
CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗fund
$177.6M RAUM · 1 reps · 646-794-8800
ComplianceMarketing & brand
25
DWS INTERNATIONAL GMBH's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗foreign
$178.52B RAUM · 71 reps · 49 69 910 12371
ComplianceMarketing & brand
25
DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 2 (136 -> 138). IAPD ↗foreign
$1.44B RAUM · 8 reps · 011 612 8258 1234 · dws.com
ComplianceMarketing & brand
25
DWS ALTERNATIVES GLOBAL LIMITED's Item 11 disclosure-reporting entries rose by 2 (140 -> 142). IAPD ↗foreign
$16.60B RAUM · 88 reps · 44 207 547 5344
ComplianceMarketing & brand
25
DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗foreign
$2.41B RAUM · 16 reps · 852-2203-8888 · etf.dws.com
ComplianceMarketing & brand
25
ICICI ASSET MANAGEMENT's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗foreign
$113.23B RAUM · 6 reps · +91 22 2652 5000
ComplianceMarketing & brand
aum up — 34 Regulatory AUM up >=25% since last filing.
75
ARAX ADVISORY PARTNERS reported RAUM up 161% ($2.81B -> $7.32B). IAPD ↗
$7.32B RAUM · 52 reps · 303-633-5900 · simondavisinc.com
Portfolio / reporting / TAMPCRMFinancial planning software
67
HOMRICH BERG reported RAUM up 39% ($18.59B -> $25.88B). IAPD ↗
$25.88B RAUM · 95 reps · 404-264-1400
Portfolio / reporting / TAMPCRMFinancial planning software
66
INDIVISIBLE PARTNERS reported RAUM up 41% ($298.6M -> $421.3M). IAPD ↗
$421.3M RAUM · 3 reps · 732-306-5490 · linkedin.company
Portfolio / reporting / TAMPCRMFinancial planning software
65
STEPSTONE PRIVATE WEALTH reported RAUM up 142% ($3.37B -> $8.17B). IAPD ↗institutional
$8.17B RAUM · 0 reps · 704-215-4300
Portfolio / reporting / TAMPCRMFinancial planning software
63
MEOW ADVISORY, LLC reported RAUM up 27% ($675.5M -> $856.8M). IAPD ↗
$856.8M RAUM · 1 reps · 929-333-3405 · meow.com
Portfolio / reporting / TAMPCRMFinancial planning software
62
ICON INFRASTRUCTURE NORTH AMERICA INC. reported RAUM up 62% ($1.45B -> $2.36B). IAPD ↗institutional
$2.36B RAUM · 14 reps · 1 929 6884283
Portfolio / reporting / TAMPCRMFinancial planning software
60
RK CAPITAL MANAGEMENT, LLC reported RAUM up 234% ($1.41B -> $4.71B). IAPD ↗fund
$4.71B RAUM · 9 reps · 561-408-1711 · rkcapl.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
SWISS RE INSURANCE-LINKED INVESTMENT ADVISORS CORPORATION reported RAUM up 75% ($2.06B -> $3.61B). IAPD ↗fund
$3.61B RAUM · 4 reps · 2123175205 · swissre.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
DOCKSIDE PLATFORMS reported RAUM up 437% ($1.12B -> $6.00B). IAPD ↗fund
$6.00B RAUM · 2 reps · 917-563-4874
Portfolio / reporting / TAMPCRMFinancial planning software
58
APAX PARTNERS US, LLC reported RAUM up 364% ($89.6M -> $415.7M). IAPD ↗fund
$415.7M RAUM · 89 reps · 212-753-6300
Portfolio / reporting / TAMPCRMFinancial planning software
58
MACQUARIE CAPITAL PARTNERS LLC reported RAUM up 179% ($118.2M -> $329.7M). IAPD ↗fund
$329.7M RAUM · 15 reps · (212) 231-1000
Portfolio / reporting / TAMPCRMFinancial planning software
56
COLLER CAPITAL INC reported RAUM up 33% ($6.78B -> $9.00B). IAPD ↗institutional
$9.00B RAUM · 25 reps · 1 212 644 8500 · collercapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
52
STEPSTONE GROUP PRIVATE DEBT LLC reported RAUM up 37% ($2.37B -> $3.25B). IAPD ↗fund
$3.25B RAUM · 0 reps · 858-558-9700 · stepstonegroup.com
Portfolio / reporting / TAMPCRMFinancial planning software
51
JLENS reported RAUM up 32% ($122.7M -> $162.2M). IAPD ↗institutional
$162.2M RAUM · 5 reps · 212-885-7870
Portfolio / reporting / TAMPCRMFinancial planning software
50
FIRST ASSOCIATED INVESTMENT ADVISORS, INC. reported RAUM up 27% ($41.1M -> $52.2M). IAPD ↗institutional
$52.2M RAUM · 1 reps · 218-722-8248 · tebergfund.com
Portfolio / reporting / TAMPCRMFinancial planning software
50
STEPSTONE GROUP REAL ASSETS LP reported RAUM up 26% ($26.34B -> $33.10B). IAPD ↗fund
$33.10B RAUM · 75 reps · 858-558-9700
Portfolio / reporting / TAMPCRMFinancial planning software
50
MSR CAPITAL PARTNERS, LLC reported RAUM up 27% ($3.60B -> $4.58B). IAPD ↗fund
$4.58B RAUM · 12 reps · 212-336-0650
Portfolio / reporting / TAMPCRMFinancial planning software
50
SNOWHAWK LP reported RAUM up 37% ($508.8M -> $699.3M). IAPD ↗fund
$699.3M RAUM · 8 reps · 888-335-3137
Portfolio / reporting / TAMPCRMFinancial planning software
48
BEQUEST CAPITAL LLC reported RAUM up 40% ($28.2M -> $39.5M). IAPD ↗fund
$39.5M RAUM · 3 reps · 941-957-9979 · bqfunds.com
Portfolio / reporting / TAMPCRMFinancial planning software
45
PACIFIC ASSET MANAGEMENT reported RAUM up 81% ($6.17B -> $11.18B). IAPD ↗foreign
$11.18B RAUM · 19 reps · +44 203 970 3100 · pacificam.co.uk
Portfolio / reporting / TAMPCRMFinancial planning software
42
BROAD REACH INVESTMENT MANAGEMENT LLP reported RAUM up 60% ($1.85B -> $2.96B). IAPD ↗foreign
$2.96B RAUM · 6 reps · +44 20 7531 2460 · broadreachllp.com
Portfolio / reporting / TAMPCRMFinancial planning software
40
MOTILAL OSWAL CAPITAL LIMITED reported RAUM up 253% ($33.2M -> $117.1M). IAPD ↗foreign
$117.1M RAUM · 1 reps · 011912239804263/39825500 · motilaloswalmf.com
Portfolio / reporting / TAMPCRMFinancial planning software
40
SEPHIRA INVESTMENT ADVISORS (UK) LIMITED reported RAUM up 86% ($66.8M -> $124.2M). IAPD ↗foreign
$124.2M RAUM · 5 reps · 44 (0) 203 598 5419 · sephira-em.com
Portfolio / reporting / TAMPCRMFinancial planning software
39
4BIO PARTNERS LLP reported RAUM up 58% ($167.3M -> $264.5M). IAPD ↗foreign
$264.5M RAUM · 3 reps · +44 203 940 6646 · 4biocapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
39
J. STERN & CO. LLP reported RAUM up 48% ($1.28B -> $1.90B). IAPD ↗foreign
$1.90B RAUM · 14 reps · +44(0)20 3478 1800 · jsternco.com
Portfolio / reporting / TAMPCRMFinancial planning software
38
MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED reported RAUM up 42% ($11.09B -> $15.72B). IAPD ↗foreign
$15.72B RAUM · 55 reps · 44 203 037 2000 · macquarie.com
Portfolio / reporting / TAMPCRMFinancial planning software
36
INDEPENDENT FRANCHISE PARTNERS LLP reported RAUM up 35% ($16.54B -> $22.30B). IAPD ↗foreign
$22.30B RAUM · 12 reps · +44 207 495 9070
Portfolio / reporting / TAMPCRMFinancial planning software
36
TAVIRA FINANCIAL reported RAUM up 44% ($531.3M -> $764.2M). IAPD ↗foreign
$764.2M RAUM · 17 reps · 44 0207 100 5100
Portfolio / reporting / TAMPCRMFinancial planning software
35
GSA CAPITAL PARTNERS LLP reported RAUM up 27% ($3.78B -> $4.81B). IAPD ↗foreign
$4.81B RAUM · 43 reps · 00-44-20-4603-5100 · gsacapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
35
POLAR ASSET MANAGEMENT PARTNERS INC. reported RAUM up 28% ($33.57B -> $42.92B). IAPD ↗foreign
$42.92B RAUM · 61 reps · 416-367-4364 · polaramp.com
Portfolio / reporting / TAMPCRMFinancial planning software
35
ASHOKA WHITEOAK CAPITAL PTE. LTD. reported RAUM up 27% ($4.29B -> $5.42B). IAPD ↗foreign
$5.42B RAUM · 13 reps · 6569777473 · whiteoakcapitalpartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
35
TAULA CAPITAL MANAGEMENT (UK) LLP reported RAUM up 28% ($160.37B -> $204.76B). IAPD ↗foreign
$204.76B RAUM · 20 reps · 44 20 4570 2067
Portfolio / reporting / TAMPCRMFinancial planning software
33
GOODHART PARTNERS LLP reported RAUM up 27% ($537.2M -> $683.0M). IAPD ↗foreign
$683.0M RAUM · 6 reps · +44 (0)20 7379 3000 · goodhartpartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
32
GENERAL INDUSTRIAL PARTNERS LLP reported RAUM up 36% ($47.5M -> $64.5M). IAPD ↗foreign
$64.5M RAUM · 2 reps · +44 (0) 20 7496 1900 · generalindustrialpartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
pending approved — 32 120-day provisional registration became a full approval.
75
BERMAN MCALEER's provisional registration is now fully approved. IAPD ↗
$1.60B RAUM · 14 reps · 410-560-9960
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
BLUE DIAMOND CAPITAL INVESTMENT ADVISORS's provisional registration is now fully approved. IAPD ↗
$322.8M RAUM · 3 reps · 801-932-0311 · bdc-ia.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
COQUINA PRIVATE WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$392.1M RAUM · 8 reps · 941-206-5120 · coquinaprivatewealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
BASECAMP WEALTH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$882.3M RAUM · 4 reps · 425-553-0031 · basecampwealthadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
STEADTRUST's provisional registration is now fully approved. IAPD ↗
$438.9M RAUM · 9 reps · 972-876-8422 · concordfinancialgroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
RIGDEN CAPITAL STRATEGIES's provisional registration is now fully approved. IAPD ↗
$104.1M RAUM · 4 reps · 303-351-1618 · rigdencapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
OPENVEST's provisional registration is now fully approved. IAPD ↗
$2,364 RAUM · 1 reps · 212-523-0920 · openvest.co
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
HONEOYE FALLS CAPITAL LLC's provisional registration is now fully approved. IAPD ↗
$30.0M RAUM · 2 reps · (585) 770-7171
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
STATERA WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$145.0M RAUM · 4 reps · 435-673-6350 · staterawealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MATTERS CAPITAL LLC's provisional registration is now fully approved. IAPD ↗
$174.3M RAUM · 2 reps · (305) 528-3701 · matters.capital
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
WING's provisional registration is now fully approved. IAPD ↗
$15,515 RAUM · 2 reps · 9492099584 · wing.app
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ARGO WEALTH ADVISORY, LLC's provisional registration is now fully approved. IAPD ↗
$211.0M RAUM · 2 reps · 703-966-6671 · argowealthadvisory.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SYNERGY CAPITAL's provisional registration is now fully approved. IAPD ↗
$102.2M RAUM · 2 reps · 970-837-3088 · synergy-colorado.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
THE QUICK GROUP LLC's provisional registration is now fully approved. IAPD ↗
$100.4M RAUM · 1 reps · 6464963900
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
STORGATE, LLC's provisional registration is now fully approved. IAPD ↗
$149.2M RAUM · 2 reps · (917) 690-7972 · storgate.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
AGMAN CAPITAL's provisional registration is now fully approved. IAPD ↗
$108.5M RAUM · 3 reps · (574) 607-7329
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ALTERIS CAPITAL PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗
$101.2M RAUM · 3 reps · 832-649-8111
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ROOTED FINANCIAL GROUP, LLC's provisional registration is now fully approved. IAPD ↗
$100.4M RAUM · 1 reps · 503-207-2067
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FORS FINANCIAL's provisional registration is now fully approved. IAPD ↗
$107.3M RAUM · 2 reps · 360-457-6116 · forsfinancialconsulting.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
CAIRD INVESTMENTS's provisional registration is now fully approved. IAPD ↗institutional
$456.1M RAUM · 5 reps · (469)729-0530 · cairdinvestments.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
CC CAPITAL INSURANCE ADVISORS LLC's provisional registration is now fully approved. IAPD ↗institutional
$320.0M RAUM · 1 reps · 212-355-5515 · cc.capital
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
RECKONER CAPITAL MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗institutional
$28.7M RAUM · 8 reps · 212-597-2500 · reckoner.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
ALTIUM INVESTMENT STRATEGIES LLC's provisional registration is now fully approved. IAPD ↗institutional
$113.0M RAUM · 1 reps · 813-215-7783
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
ELDRIDGE SME ADVISERS's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 8 reps · (212) 895-2000 · eldridge.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
RANGE ROCK CAPITAL's provisional registration is now fully approved. IAPD ↗institutional
$109.8M RAUM · 3 reps · 617-431-3030
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
ARROW INVESTMENT MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗institutional
$93.9M RAUM · 3 reps · (203) 247-7033 · arrow-ig.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
DARWINS RIVER CAPITAL's provisional registration is now fully approved. IAPD ↗institutional
$239.3M RAUM · 3 reps · 347-504-9817
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
THREE FIFTY EIGHT INVESTMENT GROUP, LLC's provisional registration is now fully approved. IAPD ↗fund
$25.00B RAUM · 3 reps · (203) 722-0526 · 358investmentgroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
SENIORS HOUSING FUND MANAGER LLC's provisional registration is now fully approved. IAPD ↗fund
$799.8M RAUM · 24 reps · 419-247-2800
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
GARNET CREDIT MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗fund
$552.4M RAUM · 6 reps · 212-970-6601 · garnetcredit.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
SEABURY CAPITAL MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗fund
$120.0M RAUM · 6 reps · 347-583-7807 · seaburycapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
40
FLAMEBACK CAPITAL USA, INC's provisional registration is now fully approved. IAPD ↗foreign
$0 RAUM · 2 reps · +91 80 23321099 · us.flamebackcapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
custody started — 29 Firm now reports custody of client assets — surprise exams and controls follow.
68
HAMEL ASSOCIATES,INC. now reports custody of client assets ($33.7M). IAPD ↗
$514.6M RAUM · 5 reps · 973-665-1400 · hamelassociatesinc.com
ComplianceCustodian
68
CHELSEA MANAGEMENT COMPANY now reports custody of client assets ($1.4M). IAPD ↗
$497.0M RAUM · 3 reps · 213-362-9200
ComplianceCustodian
68
PREMIER WEALTH ADVISORS, LLC now reports custody of client assets ($363,839). IAPD ↗
$523.1M RAUM · 6 reps · 212-752-4343
ComplianceCustodian
68
TONY WALKER FINANCIAL now reports custody of client assets ($128.5M). IAPD ↗
$312.8M RAUM · 4 reps · 270-843-9380 · tonywalkerfinancial.com
ComplianceCustodian
68
UNITED ADVISORS AMERICA now reports custody of client assets ($3.2M). IAPD ↗
$353.7M RAUM · 22 reps · 877-443-0610
ComplianceCustodian
68
HORIZON WEALTH MANAGEMENT now reports custody of client assets ($272.0M). IAPD ↗
$945.8M RAUM · 6 reps · (708) 352-4300
ComplianceCustodian
68
COQUINA PRIVATE WEALTH ADVISORS now reports custody of client assets ($5.8M). IAPD ↗
$392.1M RAUM · 8 reps · 941-206-5120 · coquinaprivatewealth.com
ComplianceCustodian
68
BASECAMP WEALTH ADVISORS, LLC now reports custody of client assets ($103.4M). IAPD ↗
$882.3M RAUM · 4 reps · 425-553-0031 · basecampwealthadvisors.com
ComplianceCustodian
68
PLAGENS & TAYLOR WEALTH MANAGEMENT now reports custody of client assets ($60.8M). IAPD ↗
$278.6M RAUM · 5 reps · 325-486-8600 · pt-wealth.com
ComplianceCustodian
65
JOHN T. MCCARTHY, LLC now reports custody of client assets. IAPD ↗
$57.8M RAUM · 1 reps · 941-292-9999
ComplianceCustodian
65
SANDERS & SCOTT, CHFC now reports custody of client assets ($44.4M). IAPD ↗
$135.2M RAUM · 2 reps · 770-760-8933 · sandersandscott.com
ComplianceCustodian
65
RM SINCERBEAUX CAPITAL MANAGEMENT, LLC. now reports custody of client assets ($6.6M). IAPD ↗
$230.0M RAUM · 1 reps · 917-324-1603
ComplianceCustodian
65
PARAMOUNT ASSOCIATES WEALTH MANAGEMENT now reports custody of client assets ($500,000). IAPD ↗
$125.1M RAUM · 2 reps · 720-921-1000 · paramountassoc.com
ComplianceCustodian
65
VESTED FINANCIAL PLANNING, LLC now reports custody of client assets ($28.2M). IAPD ↗
$129.2M RAUM · 1 reps · 650-315-7372
ComplianceCustodian
65
GOLDENSTONE WEALTH MANAGEMENT now reports custody of client assets ($62.0M). IAPD ↗
$188.2M RAUM · 2 reps · 916-799-6527 · goldenstonewealth.com
ComplianceCustodian
65
BOYER FINANCIAL SERVICES, INC. now reports custody of client assets ($108.9M). IAPD ↗
$144.6M RAUM · 2 reps · 949-336-4990
ComplianceCustodian
65
B.SIDE INVESTMENTS LLC now reports custody of client assets ($2.5M). IAPD ↗
$11.8M RAUM · 1 reps · 305-801-2263
ComplianceCustodian
65
THE QUICK GROUP LLC now reports custody of client assets ($7.3M). IAPD ↗
$100.4M RAUM · 1 reps · 6464963900
ComplianceCustodian
65
LIGHTCAP FINANCIAL GROUP, LLC now reports custody of client assets ($229,325). IAPD ↗
$11.3M RAUM · 1 reps · 858-752-4443
ComplianceCustodian
65
BARZIDEH & NADEAU WEALTH MANAGEMENT LLC now reports custody of client assets ($12.5M). IAPD ↗
$44.6M RAUM · 2 reps · 847-780-2980 · bnwealth.com
ComplianceCustodian
65
PELICAN FINANCIAL PLANNING AND WEALTH, PLLC now reports custody of client assets. IAPD ↗
$0 RAUM · 1 reps · 561-818-3003 · pelicanfinancialplanning.com
ComplianceCustodian
65
FORS FINANCIAL now reports custody of client assets ($14.8M). IAPD ↗
$107.3M RAUM · 2 reps · 360-457-6116 · forsfinancialconsulting.com
ComplianceCustodian
55
THREE FIFTY EIGHT INVESTMENT GROUP, LLC now reports custody of client assets ($25.00B). IAPD ↗fund
$25.00B RAUM · 3 reps · (203) 722-0526 · 358investmentgroup.com
ComplianceCustodian
55
ROYALTY PHARMA SUB-MANAGER, LLC now reports custody of client assets ($17.63B). IAPD ↗fund
$17.63B RAUM · 43 reps · 212-883-0200
ComplianceCustodian
53
CYPRESS CREEK PARTNERS now reports custody of client assets ($169.1M). IAPD ↗fund
$409.9M RAUM · 3 reps · 800-725-9456 · cypresscreekpartners.com
ComplianceCustodian
53
NOMURA CAPITAL MANAGEMENT LLC now reports custody of client assets ($82.9M). IAPD ↗fund
$384.1M RAUM · 10 reps · 212-667-9996
ComplianceCustodian
40
DELTROIT ASSET MANAGEMENT (UK) LLP now reports custody of client assets ($2.34B). IAPD ↗foreign
$1.17B RAUM · 12 reps · 442045705600 · deltroit.com
ComplianceCustodian
38
ESCHLER ASSET MANAGEMENT LLP now reports custody of client assets ($37.3M). IAPD ↗foreign
$497.2M RAUM · 31 reps · 447775824595
ComplianceCustodian
38
BUOYANT CAPITAL PRIVATE LIMITED now reports custody of client assets ($14.9M). IAPD ↗foreign
$674.0M RAUM · 51 reps · +91 22 6931 9994 · buoyantcap.com
ComplianceCustodian
headcount down — 28 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST shrank from 168 to 157 advisory reps. IAPD ↗
$164.32B RAUM · 157 reps · 215-255-2300 · macquarie.com
Recruiting & transitionsM&A & valuation
55
SCHOOLCRAFT CAPITAL LLC shrank from 8 to 5 advisory reps. IAPD ↗
$1.23B RAUM · 5 reps · 303-625-6868 · schoolcraftcapital.com
Recruiting & transitionsM&A & valuation
55
CANOPY WEALTH MANAGEMENT shrank from 13 to 7 advisory reps. IAPD ↗
$1.47B RAUM · 7 reps · 608-662-9018 · canopy-wealth.com
Recruiting & transitionsM&A & valuation
50
SUN VALLEY GOLD LLC shrank from 3 to 1 advisory reps. IAPD ↗
$87.0M RAUM · 1 reps · 208-726-2327
Recruiting & transitionsM&A & valuation
50
OAKVIEW CAPITAL MANAGEMENT, L.P. shrank from 3 to 1 advisory reps. IAPD ↗
$29.6M RAUM · 1 reps · 214-999-1175 · oakviewcm.com
Recruiting & transitionsM&A & valuation
50
KEELEY-TETON ADVISORS, LLC shrank from 11 to 1 advisory reps. IAPD ↗
$12.0M RAUM · 1 reps · (312) 786-5000 · tetonadv.com
Recruiting & transitionsM&A & valuation
50
COLORADO WEALTH GROUP LLC shrank from 9 to 6 advisory reps. IAPD ↗
$235.3M RAUM · 6 reps · 720-729-2500
Recruiting & transitionsM&A & valuation
50
ALLIO ADVISORS shrank from 3 to 1 advisory reps. IAPD ↗
$68,310 RAUM · 1 reps · (845) 475-7905 · alliocapital.com
Recruiting & transitionsM&A & valuation
50
SLP WEALTH shrank from 15 to 12 advisory reps. IAPD ↗
$29.2M RAUM · 12 reps · (910) 315-0973
Recruiting & transitionsM&A & valuation
40
ALBOURNE AMERICA LLC shrank from 77 to 70 advisory reps. IAPD ↗institutional
$0 RAUM · 70 reps · 415-489-7200
Recruiting & transitionsM&A & valuation
40
NXT CAPITAL INVESTMENT ADVISERS, LLC shrank from 67 to 56 advisory reps. IAPD ↗fund
$6.48B RAUM · 56 reps · 312-450-8000
Recruiting & transitionsM&A & valuation
40
RP MANAGEMENT, LLC shrank from 44 to 1 advisory reps. IAPD ↗fund
$1.36B RAUM · 1 reps · 212-883-0200
Recruiting & transitionsM&A & valuation
40
EMERGE CAPITAL MANAGEMENT shrank from 6 to 2 advisory reps. IAPD ↗institutional
$30.0M RAUM · 2 reps · 904-870-1092
Recruiting & transitionsM&A & valuation
38
HILLCREST CREDIT AND INCOME FUND II MANAGER, LLC shrank from 7 to 2 advisory reps. IAPD ↗fund
$414.9M RAUM · 2 reps · 646-889-2505 · hillcrestfinancellc.com
Recruiting & transitionsM&A & valuation
25
BAILLIE GIFFORD OVERSEAS LTD shrank from 152 to 144 advisory reps. IAPD ↗foreign
$162.55B RAUM · 144 reps · +44 131 275 2000
Recruiting & transitionsM&A & valuation
25
NIKKO ASSET MANAGEMENT EUROPE LTD shrank from 22 to 17 advisory reps. IAPD ↗foreign
$18.21B RAUM · 17 reps · INTL + 44 207796 9866
Recruiting & transitionsM&A & valuation
25
HIGHCLERE INTERNATIONAL INVESTORS shrank from 12 to 9 advisory reps. IAPD ↗foreign
$1.28B RAUM · 9 reps · +44 207-258-9830 · highclereinvestors.com
Recruiting & transitionsM&A & valuation
25
OLDFIELD PARTNERS LLP shrank from 12 to 8 advisory reps. IAPD ↗foreign
$1.52B RAUM · 8 reps · 44 20 7259 1000 · oldfieldpartners.com
Recruiting & transitionsM&A & valuation
25
MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED shrank from 61 to 55 advisory reps. IAPD ↗foreign
$15.72B RAUM · 55 reps · 44 203 037 2000 · macquarie.com
Recruiting & transitionsM&A & valuation
25
PHOENIX ASSET MANAGEMENT PARTNERS LIMITED shrank from 12 to 9 advisory reps. IAPD ↗foreign
$1.89B RAUM · 9 reps · +44 (0) 208 600 0100
Recruiting & transitionsM&A & valuation
25
SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED shrank from 254 to 204 advisory reps. IAPD ↗foreign
$157.09B RAUM · 204 reps · 81-3-6205-0200 · note.smd-am.co.jp
Recruiting & transitionsM&A & valuation
25
RUFFER LLP shrank from 133 to 42 advisory reps. IAPD ↗foreign
$24.20B RAUM · 42 reps · 00 44 20 7963 8100 · ruffer.co.uk
Recruiting & transitionsM&A & valuation
25
FORESIGHT GROUP LLP shrank from 150 to 135 advisory reps. IAPD ↗foreign
$8.48B RAUM · 135 reps · 44 020 3667 8100 · foresightgroup.eu
Recruiting & transitionsM&A & valuation
25
ALKEN ASSET MANAGEMENT LTD shrank from 12 to 9 advisory reps. IAPD ↗foreign
$2.25B RAUM · 9 reps · -223 · alken-am.com
Recruiting & transitionsM&A & valuation
25
VALUEQUEST INVESTMENT ADVISORS PRIVATE LTD shrank from 27 to 21 advisory reps. IAPD ↗foreign
$2.44B RAUM · 21 reps · 022-69925500 · valuequest.in
Recruiting & transitionsM&A & valuation
23
PRYTANIA INVESTMENT ADVISORS LLP shrank from 6 to 4 advisory reps. IAPD ↗foreign
$914.8M RAUM · 4 reps · 020 4570 5514 · prytania.com
Recruiting & transitionsM&A & valuation
23
WESTBECK CAPITAL MANAGEMENT LLP shrank from 6 to 2 advisory reps. IAPD ↗foreign
$286.7M RAUM · 2 reps · 442080510888
Recruiting & transitionsM&A & valuation
20
D.A.C. DAVIS INVESTMENT COUNSEL, INC. shrank from 4 to 0 advisory reps. IAPD ↗foreign
$12.3M RAUM · 0 reps · 416-324-2200
Recruiting & transitionsM&A & valuation
relocation — 26 Main office moved to a different city or state.
50
THE PACIFIC FINANCIAL GROUP, INC. moved its main office from BELLEVUE, WA to NASHVILLE, TN. IAPD ↗
$4.11B RAUM · 21 reps · 425 451-7722
Office IT & facilitiesMarketing & brand
50
CEREDEX VALUE ADVISORS LLC moved its main office from ORLANDO, FL to WINTER PARK, FL. IAPD ↗
$5.16B RAUM · 11 reps · 407-674-1270
Office IT & facilitiesMarketing & brand
50
FOCUS PARTNERS WEALTH, LLC moved its main office from BOSTON, MA to ST. LOUIS, MO. IAPD ↗
$95.89B RAUM · 980 reps · (314) 725-0455
Office IT & facilitiesMarketing & brand
48
MORGAN DEMPSEY CAPITAL MANAGEMENT LLC moved its main office from MENOMONEE FALLS, WI to MILWAUKEE, WI. IAPD ↗
$286.6M RAUM · 3 reps · 414-319-1080
Office IT & facilitiesMarketing & brand
48
INVESTMENT ADVISORY GROUP LLC moved its main office from HANOVER, MA to SARASOTA, FL. IAPD ↗
$994.4M RAUM · 5 reps · 781-826-1235 · maritimewealthadvisors.com
Office IT & facilitiesMarketing & brand
48
FOUNDERS CAPITAL MANAGEMENT, LLC moved its main office from EAST HARTFORD, CT to HARTFORD, CT. IAPD ↗
$794.9M RAUM · 4 reps · 860.308.0061 · foundcapital.com
Office IT & facilitiesMarketing & brand
48
M1 CAPITAL MANAGEMENT LLC moved its main office from BLOOMFIELD HILLS, MI to TROY, MI. IAPD ↗
$406.0M RAUM · 6 reps · 248-556-4600 · m1capitalmanagement.com
Office IT & facilitiesMarketing & brand
48
KING WEALTH MANAGEMENT GROUP, LLC moved its main office from NAPLES, FL to SARATOGA SPRINGS, NY. IAPD ↗
$931.3M RAUM · 7 reps · 518-306-5640 · kingwealthmanagementgroup.com
Office IT & facilitiesMarketing & brand
48
UNIQUE WEALTH, LLC moved its main office from CLEARWATER, FL to TAMPA, FL. IAPD ↗
$766.5M RAUM · 11 reps · 813-816-2030 · uniquewealth.com
Office IT & facilitiesMarketing & brand
45
COPPERLEAF CAPITAL, LLC moved its main office from RALEIGH, NC to CONCORD, NC. IAPD ↗
$249.7M RAUM · 4 reps · 919-787-9725
Office IT & facilitiesMarketing & brand
45
VALUES FIRST ADVISORS, INC. moved its main office from GRAY, TN to JOHNSON CITY, TN. IAPD ↗
$202.0M RAUM · 8 reps · 877-832-3847
Office IT & facilitiesMarketing & brand
45
COVE STREET CAPITAL, LLC moved its main office from EL SEGUNDO, CA to HERMOSA BEACH, CA. IAPD ↗
$126.7M RAUM · 1 reps · 424-221-5897 · covestreetcapital.com
Office IT & facilitiesMarketing & brand
45
DUTCH ASSET CORPORATION moved its main office from ALBANY, NY to SELKIRK, NY. IAPD ↗
$91.1M RAUM · 4 reps · 518-478-8077 · dutchasset.com
Office IT & facilitiesMarketing & brand
45
THINKING BIG FINANCIAL moved its main office from NEW YORK, NY to BROOKLYN, NY. IAPD ↗
$74.5M RAUM · 2 reps · (973) 224-1145
Office IT & facilitiesMarketing & brand
45
VERUS FINANCIAL GROUP moved its main office from HOUSTON, TX to SUGAR LAND, TX. IAPD ↗
$129.7M RAUM · 4 reps · (281) 727-0285 · verusfinancial.net
Office IT & facilitiesMarketing & brand
45
MAREST CAPITAL, LLC moved its main office from TARZANA, CA to ENCINO, CA. IAPD ↗
$217.9M RAUM · 2 reps · 818-216-4900
Office IT & facilitiesMarketing & brand
45
TRUEHAVEN CAPITAL moved its main office from BRADENTON, FL to FRANKLIN, TN. IAPD ↗
$117.2M RAUM · 1 reps · 210-260-8668 · truehaven.net
Office IT & facilitiesMarketing & brand
45
MESSINA WEALTH MANAGEMENT, LLC moved its main office from SPRING HILL, FL to DALLAS, TX. IAPD ↗
$60.9M RAUM · 2 reps · 214-205-2066 · messinawealthmanagement.com
Office IT & facilitiesMarketing & brand
40
PACIFIC FINANCIAL GROUP, LLC moved its main office from BELLEVUE, WA to NASHVILLE, TN. IAPD ↗institutional
$3.76B RAUM · 2 reps · 4254517722 · tpfg.com
Office IT & facilitiesMarketing & brand
35
FIVE ARROWS MANAGERS NORTH AMERICA LLC moved its main office from LOS ANGELES, CA to MANHATTAN BEACH, CA. IAPD ↗fund
$3.24B RAUM · 11 reps · 213-621-3700 · rothschildandco.com
Office IT & facilitiesMarketing & brand
35
CAPINSIGHTS PARTNERS, LLC moved its main office from GREENSBORO, NC to GREENWICH, CT. IAPD ↗institutional
$0 RAUM · 6 reps · 617.872.7174 · capinsights.partners
Office IT & facilitiesMarketing & brand
35
WEDBUSH FUND ADVISERS, LLC moved its main office from LOS ANGELES, CA to PASADENA, CA. IAPD ↗institutional
$0 RAUM · 2 reps · 213-688-8000 · wedbushfunds.com
Office IT & facilitiesMarketing & brand
33
LYNX1 CAPITAL MANAGEMENT LP moved its main office from SAN JUAN, PR to DORADO, PR. IAPD ↗fund
$310.3M RAUM · 1 reps · 929-888-7476
Office IT & facilitiesMarketing & brand
33
CRE VENTURE CAPITAL, INC. moved its main office from FRANKLIN LAKES, NJ to MAHWAH, NJ. IAPD ↗fund
$406.5M RAUM · 4 reps · 917 583 4687
Office IT & facilitiesMarketing & brand
20
ALPEN PARTNERS INTERNATIONAL AG moved its main office from BAECH, to FREIENBACH, . IAPD ↗foreign
$1.39B RAUM · 32 reps · 0041581057550 · alpeninternational.com
Office IT & facilitiesMarketing & brand
18
CEDERBERG CAPITAL ASIA LIMITED moved its main office from HONG KONG, KOWLOON, to TSIM SHA TSUI, KOWLOON, . IAPD ↗foreign
$772.8M RAUM · 3 reps · 90137758 · cederbergcap.com
Office IT & facilitiesMarketing & brand
aum down — 22 Regulatory AUM down >=25% since last filing.
45
CAPITAL CONSULTING & ASSET MANAGEMENT reported RAUM down 35% ($282.2M -> $182.2M). IAPD ↗
$182.2M RAUM · 3 reps · 402-477-2500 · ccam.net
M&A & valuationRecruiting & transitions
45
BRYDEN-ABRAMS INVESTMENT MANAGEMENT LLC reported RAUM down 33% ($50.6M -> $34.0M). IAPD ↗
$34.0M RAUM · 2 reps · 212-850-1127 · brydenabrams.com
M&A & valuationRecruiting & transitions
45
OAKVIEW CAPITAL MANAGEMENT, L.P. reported RAUM down 88% ($250.8M -> $29.6M). IAPD ↗
$29.6M RAUM · 1 reps · 214-999-1175 · oakviewcm.com
M&A & valuationRecruiting & transitions
45
KEELEY-TETON ADVISORS, LLC reported RAUM down 99% ($1.02B -> $12.0M). IAPD ↗
$12.0M RAUM · 1 reps · (312) 786-5000 · tetonadv.com
M&A & valuationRecruiting & transitions
45
BRUDERMAN PRIVATE WEALTH reported RAUM down 45% ($121.5M -> $66.3M). IAPD ↗
$66.3M RAUM · 4 reps · 516-930-4250 · brudermanprivatewealth.com
M&A & valuationRecruiting & transitions
38
NOMURA ASSET MANAGEMENT U.S.A. INC. reported RAUM down 30% ($826.6M -> $576.3M). IAPD ↗institutional
$576.3M RAUM · 7 reps · (212) 667-1414 · nomura.com
M&A & valuationRecruiting & transitions
35
RP MANAGEMENT, LLC reported RAUM down 93% ($18.34B -> $1.36B). IAPD ↗fund
$1.36B RAUM · 1 reps · 212-883-0200
M&A & valuationRecruiting & transitions
35
EMERGE CAPITAL MANAGEMENT reported RAUM down 73% ($112.8M -> $30.0M). IAPD ↗institutional
$30.0M RAUM · 2 reps · 904-870-1092
M&A & valuationRecruiting & transitions
35
LEDGER ILS MANAGERS, LLC reported RAUM down 70% ($105.6M -> $32.1M). IAPD ↗institutional
$32.1M RAUM · 2 reps · 510-590-2868
M&A & valuationRecruiting & transitions
33
MACQUARIE ASSET MANAGEMENT CREDIT ADVISERS US, LLC reported RAUM down 40% ($750.0M -> $448.2M). IAPD ↗fund
$448.2M RAUM · 7 reps · 1 212 231-1000 · macquarie.com
M&A & valuationRecruiting & transitions
20
COLLER INVESTMENT MANAGEMENT LTD reported RAUM down 43% ($51.19B -> $28.99B). IAPD ↗foreign
$28.99B RAUM · 0 reps · +44 1481 745001
M&A & valuationRecruiting & transitions
20
HIGHCLERE INTERNATIONAL INVESTORS reported RAUM down 41% ($2.17B -> $1.28B). IAPD ↗foreign
$1.28B RAUM · 9 reps · +44 207-258-9830 · highclereinvestors.com
M&A & valuationRecruiting & transitions
20
OLDFIELD PARTNERS LLP reported RAUM down 35% ($2.36B -> $1.52B). IAPD ↗foreign
$1.52B RAUM · 8 reps · 44 20 7259 1000 · oldfieldpartners.com
M&A & valuationRecruiting & transitions
20
KILTEARN PARTNERS reported RAUM down 44% ($3.10B -> $1.74B). IAPD ↗foreign
$1.74B RAUM · 8 reps · 011 44 131 460 1040 · kiltearnpartners.com
M&A & valuationRecruiting & transitions
20
360 ONE ASSET MANAGEMENT LIMITED reported RAUM down 45% ($8.69B -> $4.82B). IAPD ↗foreign
$4.82B RAUM · 2 reps · +91 022 4876 5600 · 360.one
M&A & valuationRecruiting & transitions
18
ANDA ASSET MANAGEMENT CO., LTD. reported RAUM down 33% ($972.1M -> $650.0M). IAPD ↗foreign
$650.0M RAUM · 19 reps · 822-2156-2800 · andaasset.com
M&A & valuationRecruiting & transitions
18
OSMOSIS INVESTMENT MANAGEMENT US LLC reported RAUM down 28% ($426.4M -> $307.0M). IAPD ↗foreign
$307.0M RAUM · 23 reps · +44 (0) 203 928 6555 · osmosisim.com
M&A & valuationRecruiting & transitions
18
OTUS CAPITAL MANAGEMENT LIMITED reported RAUM down 29% ($704.4M -> $501.0M). IAPD ↗foreign
$501.0M RAUM · 7 reps · 020 7227 0000
M&A & valuationRecruiting & transitions
18
PRYTANIA INVESTMENT ADVISORS LLP reported RAUM down 48% ($1.76B -> $914.8M). IAPD ↗foreign
$914.8M RAUM · 4 reps · 020 4570 5514 · prytania.com
M&A & valuationRecruiting & transitions
18
CEDERBERG CAPITAL LIMITED reported RAUM down 33% ($1.15B -> $772.8M). IAPD ↗foreign
$772.8M RAUM · 2 reps · +44 203 745 1701 · cederbergcap.com
M&A & valuationRecruiting & transitions
18
MARCELLUS INVESTMENT MANAGERS PRIVATE LIMITED reported RAUM down 41% ($1.03B -> $603.4M). IAPD ↗foreign
$603.4M RAUM · 32 reps · 0806-9199-400
M&A & valuationRecruiting & transitions
15
ALCHEMY INVESTMENT MANAGEMENT LLP reported RAUM down 76% ($208.4M -> $49.6M). IAPD ↗foreign
$49.6M RAUM · 1 reps · 079-61693000 · alchemyim.com
M&A & valuationRecruiting & transitions
rename — 16 Primary business name changed: rebrand, merger, or ownership change.
60
SENTINEL PENSION ADVISORS INC is now doing business as SENTINEL PENSION ADVISORS, LLC.. IAPD ↗
$10.73B RAUM · 48 reps · 781-914-1450 · sbgi.com
Marketing & brandCRM
60
GREAT VALLEY ADVISOR GROUP, INC. is now doing business as GREAT VALLEY ADVISOR GROUP, LLC. IAPD ↗
$9.73B RAUM · 191 reps · 302-483-7200 · kavefamilyfinancial.com
Marketing & brandCRM
60
FOSTER VICTOR WEALTH ADVISORS is now doing business as FOSTER VICTOR. IAPD ↗
$2.15B RAUM · 19 reps · (864) 720-2000 · fostervictor.com
Marketing & brandCRM
60
BRYN MAWR CAPITAL MANAGEMENT, LLC is now doing business as BRYN MAWR TRUST ADVISORS, LLC. IAPD ↗
$3.01B RAUM · 46 reps · 215.731.1820 · bmt.com
Marketing & brandCRM
60
LXG WEALTH ADVISORY LLC is now doing business as ALTHUM ADVISORS LLC. IAPD ↗
$1.64B RAUM · 12 reps · +1 305-456-7645 · althumadvisors.com
Marketing & brandCRM
58
SEEDS INVESTOR LLC is now doing business as SEEDS. IAPD ↗
$485.6M RAUM · 5 reps · (212) 287-7370
Marketing & brandCRM
55
OUI FINANCIAL is now doing business as WE FINANCIAL GROUP. IAPD ↗
$101.4M RAUM · 3 reps · 415-994-9767 · wefinancialgroup.us
Marketing & brandCRM
55
CENTERFIN is now doing business as CENTERFIN CAPITAL. IAPD ↗
$3.3M RAUM · 1 reps · 646-518-7913 · centerfin.co
Marketing & brandCRM
55
ACTIVA FINANCIAL is now doing business as CENTRICA WEALTH MANAGEMENT. IAPD ↗
$0 RAUM · 1 reps · 305-686-7910
Marketing & brandCRM
50
FISHER RETIREMENT SOLUTIONS LLC is now doing business as FISHER\SMB. IAPD ↗institutional
$5.46B RAUM · 4 reps · 888-674-4504
Marketing & brandCRM
48
TALOS ASSET MANAGEMENT LP is now doing business as TALOS EURISKO ASSET MANAGEMENT LP. IAPD ↗institutional
$938.2M RAUM · 4 reps · (646) 849-6758
Marketing & brandCRM
45
FIRST INFRASTRUCTURE CAPITAL ADVISORS, LLC is now doing business as FIC PARTNERS MANAGEMENT, LP. IAPD ↗fund
$1.81B RAUM · 4 reps · 713.337.7980 · ficfund.com
Marketing & brandCRM
43
LTS ONE MANAGEMENT LP is now doing business as SARAZA MANAGEMENT LP. IAPD ↗fund
$547.4M RAUM · 5 reps · 646-860-0200 · sarazamgmt.com
Marketing & brandCRM
30
GLADSTONE PARTNERS is now doing business as GLADSTONE MANAGEMENT. IAPD ↗foreign
$1.87B RAUM · 8 reps · +44 207 408 4771 · gladstone-management.com
Marketing & brandCRM
25
REDBURN ATLANTIC is now doing business as ROTHSCHILD & CO REDBURN. IAPD ↗foreign
$0 RAUM · 95 reps · 44 20 7000 2020
Marketing & brandCRM
25
H.G. STRUDWICK & COMPANY is now doing business as HUDSON HOUSE CAPITAL INCORPORATED. IAPD ↗foreign
$0 RAUM · 2 reps · (212) 293-1031 · hudsonhousecapital.com
Marketing & brandCRM
private funds started — 12 Firm reports private funds for the first time.
73
PERMANENT CAPITAL MANAGEMENT, LP now reports 1 private fund(s) ($2.5M gross). IAPD ↗
$742.2M RAUM · 1 reps · 312-961-8251 · permanent-capital.com
Fund administrationCompliance
73
BLUE DIAMOND CAPITAL INVESTMENT ADVISORS now reports 8 private fund(s) ($68.1M gross). IAPD ↗
$322.8M RAUM · 3 reps · 801-932-0311 · bdc-ia.com
Fund administrationCompliance
70
GARRISON MURPHY WEALTH MANAGEMENT, LLC now reports 2 private fund(s) ($13.3M gross). IAPD ↗
$235.5M RAUM · 2 reps · 716-462-5468 · gmwmllc.com
Fund administrationCompliance
60
THREE FIFTY EIGHT INVESTMENT GROUP, LLC now reports 1 private fund(s) ($25.00B gross). IAPD ↗fund
$25.00B RAUM · 3 reps · (203) 722-0526 · 358investmentgroup.com
Fund administrationCompliance
60
ROYALTY PHARMA SUB-MANAGER, LLC now reports 2 private fund(s) ($1.71B gross). IAPD ↗fund
$17.63B RAUM · 43 reps · 212-883-0200
Fund administrationCompliance
58
POLAR CAPITAL (AMERICA) CORPORATION now reports 1 private fund(s) ($0 gross). IAPD ↗fund
$505.6M RAUM · 6 reps · 203-604-1550 · polarcapital.co.uk
Fund administrationCompliance
58
GARNET CREDIT MANAGEMENT LLC now reports 1 private fund(s) ($552.4M gross). IAPD ↗fund
$552.4M RAUM · 6 reps · 212-970-6601 · garnetcredit.com
Fund administrationCompliance
55
SEABURY CAPITAL MANAGEMENT LLC now reports 1 private fund(s) ($120.0M gross). IAPD ↗fund
$120.0M RAUM · 6 reps · 347-583-7807 · seaburycapital.com
Fund administrationCompliance
45
FUNDSMITH INVESTMENT SERVICES LIMITED now reports 1 private fund(s) ($9.5M gross). IAPD ↗foreign
$40.03B RAUM · 2 reps · 00 230 483 3015
Fund administrationCompliance
45
TROY ASSET MANAGEMENT LTD now reports 1 private fund(s) ($0 gross). IAPD ↗foreign
$14.80B RAUM · 12 reps · 44 (0)20 7499 4030 · taml.co.uk
Fund administrationCompliance
45
VALUEQUEST INVESTMENT ADVISORS PRIVATE LTD now reports 1 private fund(s) ($22.1M gross). IAPD ↗foreign
$2.44B RAUM · 21 reps · 022-69925500 · valuequest.in
Fund administrationCompliance
45
DELTROIT ASSET MANAGEMENT (UK) LLP now reports 2 private fund(s) ($1.18B gross). IAPD ↗foreign
$1.17B RAUM · 12 reps · 442045705600 · deltroit.com
Fund administrationCompliance
aum crossed 500m — 9 Regulatory AUM crossed $500M.
70
EVANS CAPITAL MANAGEMENT ASSOCIATES crossed $500M in regulatory AUM ($463.9M -> $545.0M). IAPD ↗
$545.0M RAUM · 3 reps · 425-455-0501 · rlevansco.net
Portfolio / reporting / TAMPCRMIntegration & migration consulting
60
COLLER PRIVATE MARKET SECONDARIES ADVISORS, LLC crossed $500M in regulatory AUM ($323.9M -> $594.2M). IAPD ↗institutional
$594.2M RAUM · 0 reps · 212 644 8500
Portfolio / reporting / TAMPCRMIntegration & migration consulting
60
3FOURTEEN & SMI ADVISORY SERVICES, LLC crossed $500M in regulatory AUM ($446.0M -> $840.0M). IAPD ↗institutional
$840.0M RAUM · 6 reps · 800-796-4975
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
POLAR CAPITAL (AMERICA) CORPORATION crossed $500M in regulatory AUM ($456.6M -> $505.6M). IAPD ↗fund
$505.6M RAUM · 6 reps · 203-604-1550 · polarcapital.co.uk
Portfolio / reporting / TAMPCRMIntegration & migration consulting
40
HABROK CAPITAL MANAGEMENT LLP crossed $500M in regulatory AUM ($488.4M -> $906.1M). IAPD ↗foreign
$906.1M RAUM · 1 reps · 44-20-7851-3900 · habrokcapital.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
40
NW1 PARTNERS crossed $500M in regulatory AUM ($450.0M -> $686.0M). IAPD ↗foreign
$686.0M RAUM · 13 reps · 44 2074481448 · nw1partners.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
40
BAYFOREST crossed $500M in regulatory AUM ($290.5M -> $722.2M). IAPD ↗foreign
$722.2M RAUM · 8 reps · 442039685227 · bayforest.ai
Portfolio / reporting / TAMPCRMIntegration & migration consulting
40
DECAGON ASSET MANAGEMENT LLP crossed $500M in regulatory AUM ($283.2M -> $606.2M). IAPD ↗foreign
$606.2M RAUM · 2 reps · 00442031482240
Portfolio / reporting / TAMPCRMIntegration & migration consulting
40
BUOYANT CAPITAL PRIVATE LIMITED crossed $500M in regulatory AUM ($410.2M -> $674.0M). IAPD ↗foreign
$674.0M RAUM · 51 reps · +91 22 6931 9994 · buoyantcap.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
planning clients up — 7 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
79
COQUINA PRIVATE WEALTH ADVISORS reports More than 500 financial-planning clients, up from 0. IAPD ↗
$392.1M RAUM · 8 reps · 941-206-5120 · coquinaprivatewealth.com
Financial planning software
73
DOMAIN MONEY ADVISORS, LLC reports 251-500 financial-planning clients, up from 0. IAPD ↗
$0 RAUM · 9 reps · 646-970-6926
Financial planning software
66
ARAX ADVISORY PARTNERS reports 101-250 financial-planning clients, up from 26-50. IAPD ↗
$7.32B RAUM · 52 reps · 303-633-5900 · simondavisinc.com
Financial planning software
63
L & S ADVISORS, INC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$1.05B RAUM · 15 reps · 310-893-6060 · lsadvisors.com
Financial planning software
61
BLUE DIAMOND CAPITAL INVESTMENT ADVISORS reports 1-10 financial-planning clients, up from 0. IAPD ↗
$322.8M RAUM · 3 reps · 801-932-0311 · bdc-ia.com
Financial planning software
58
LI ENTERPRISES reports 1-10 financial-planning clients, up from 0. IAPD ↗
$0 RAUM · 0 reps · 510-325-9439 · li-enterprises.net
Financial planning software
58
BERLIN WEALTH GROUP ADVISORS reports 1-10 financial-planning clients, up from 0. IAPD ↗
$1.4M RAUM · 2 reps · +1 310 696 3704 · berlin-wealthadvisors.com
Financial planning software
aum crossed 1b — 3 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
70
LEGALIST crossed $1B in regulatory AUM ($973.5M -> $1.03B). IAPD ↗fund
$1.03B RAUM · 16 reps · 415-570-7878
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
MESIROW RE-IA, INC. crossed $1B in regulatory AUM ($532.4M -> $1.51B). IAPD ↗fund
$1.51B RAUM · 3 reps · 312-595-6000
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
BOLDHAVEN MANAGEMENT crossed $1B in regulatory AUM ($835.2M -> $1.41B). IAPD ↗foreign
$1.41B RAUM · 5 reps · 4402080174510 · boldhaven.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
wrap program started — 3 Firm began participating in a wrap-fee program (Item 5I(1)).
65
TOCQUEVILLE ASSET MANAGEMENT LP began participating in a wrap-fee program. IAPD ↗
$9.66B RAUM · 41 reps · 212-698-0800
Portfolio / reporting / TAMPCompliance
63
WILLOW GROVE ADVISORS, LLC began participating in a wrap-fee program. IAPD ↗
$300.1M RAUM · 5 reps · 510-705-1693 · willowgroveadvisors.com
Portfolio / reporting / TAMPCompliance
60
AXOS INVEST, INC began participating in a wrap-fee program. IAPD ↗
$147.0M RAUM · 10 reps · 858-376-6055 · wisebanyan.com
Portfolio / reporting / TAMPCompliance
planning started — 1 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
75
X ADVISORS, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$189.9M RAUM · 8 reps · 805-465-9232 · xadvisors.co
Financial planning softwareCRM
reorganization — 1 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
43
INVESTMENT ADVISORY GROUP LLC filed an Item 4A succession naming INVESTMENT ADVISORY GROUP LLC (CRD 109445) — an entity change, not a deal. IAPD ↗
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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.