← Tributary

What changed in the January 2026 SEC adviser roster

866 events across 728 firms · 633 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

212state expansion
124deregistered
115new registration
84new office
45pending approved
43headcount up
33disclosure added
27headcount down
27relocation
23aum up
23custody started
22rename

Top 25 signals — US wealth firms

98
TACTICA LLC (location n/a) is newly SEC-registered with $418.0M RAUM and 1 advisory reps. IAPD ↗
$418.0M RAUM · 1 reps · 787-585-8095
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROSPERITY FINANCIAL GROUP, INC. (SAN RAMON, CA) is newly SEC-registered with $358.9M RAUM and 9 advisory reps. IAPD ↗
$358.9M RAUM · 9 reps · 925-314-8500 · 401kprosperityfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SYCAMORE INVESTMENT CONSULTING SERVICES, LLC (MADISON, WI) is newly SEC-registered with $159.6M RAUM and 2 advisory reps. IAPD ↗
$159.6M RAUM · 2 reps · 608-827-6414
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRITY WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $105.4M RAUM and 3 advisory reps. IAPD ↗
$105.4M RAUM · 3 reps · 513-289-2625 · iwmcfp.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BELLEAIR WEALTH MANAGEMENT, LLC (BELLEAIR BLUFFS, FL) is newly SEC-registered with $113.0M RAUM and 5 advisory reps. IAPD ↗
$113.0M RAUM · 5 reps · 727-586-5655
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
A SLING & A STONE, INCORPORATED (BURNET, TX) is newly SEC-registered with $105.2M RAUM and 2 advisory reps. IAPD ↗
$105.2M RAUM · 2 reps · 512-553-5151 · investorsadv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARM FINANCIAL LLC (location n/a) is newly SEC-registered with $45.1M RAUM and 1 advisory reps. IAPD ↗
$45.1M RAUM · 1 reps · 617-520-4044 · indexplus.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GENESIS ADVISORS, LLC (FISHERS, IN) is newly SEC-registered with $120.6M RAUM and 4 advisory reps. IAPD ↗
$120.6M RAUM · 4 reps · 317-577-6900 · genesisadvisors.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ESMEB INC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 703-340-8011 · waterfallwealth.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL AVENUES (location n/a) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
$127.7M RAUM · 2 reps · 913-735-7283 · myfinancialavenues.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORTITUDE WEALTH MANAGEMENT (MURFREESBORO, TN) is newly SEC-registered with $103.0M RAUM and 1 advisory reps. IAPD ↗
$103.0M RAUM · 1 reps · 615-878-2134 · jasonquallscfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SIGNAL RIDGE CAPITAL PARTNERS, LLC (FRAMINGHAM, MA) is newly SEC-registered with $110.6M RAUM and 4 advisory reps. IAPD ↗
$110.6M RAUM · 4 reps · 617-607-3222
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VERSATILE CAPITAL MANAGEMENT L.L.C. (CHICAGO, IL) is newly SEC-registered with $114.2M RAUM and 2 advisory reps. IAPD ↗
$114.2M RAUM · 2 reps · 312-981-9848
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIA CAPITAL GROUP, LLC (WESLEY CHAPEL, FL) is newly SEC-registered with $113.4M RAUM and 3 advisory reps. IAPD ↗
$113.4M RAUM · 3 reps · 813-448-1122
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LDN WEALTH, LLC (ORLANDO, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (407) 567 1945
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHRISE FINANCIAL PLANNING, LLC (CARLSBAD, CA) is newly SEC-registered with $124.2M RAUM and 2 advisory reps. IAPD ↗
$124.2M RAUM · 2 reps · (760) 508-0368
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IMPACT FIDUCIARY LLC (PASADENA, CA) is newly SEC-registered with $116.0M RAUM and 2 advisory reps. IAPD ↗
$116.0M RAUM · 2 reps · 323-615-1427
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PROSPERO WEALTH, LLC (location n/a) is newly SEC-registered with $100.3M RAUM and 7 advisory reps. IAPD ↗
$100.3M RAUM · 7 reps · 971-716-1991
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CENTRAL WEALTH MANAGEMENT LLC (MADISON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 608-841-1555
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE JAY FINANCIAL GROUP, LLC (DEFIANCE, OH) is newly SEC-registered with $107.1M RAUM and 2 advisory reps. IAPD ↗
$107.1M RAUM · 2 reps · 419-785-4525
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MODERN FINANCIAL PLANNING (GEORGETOWN, TX) is newly SEC-registered with $110.0M RAUM and 2 advisory reps. IAPD ↗
$110.0M RAUM · 2 reps · (510) 519-7009 · modernfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MD WEALTH MANAGEMENT, LLC (CHELSEA, MI) is newly SEC-registered with $105.9M RAUM and 2 advisory reps. IAPD ↗
$105.9M RAUM · 2 reps · 734-433-9600 · mdwmllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OMNITRUST WEALTH MANAGEMENT, INC. (JACKSONVILLE, FL) is newly SEC-registered with $106.1M RAUM and 1 advisory reps. IAPD ↗
$106.1M RAUM · 1 reps · 904-619-4351
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINAMEX ASSET MANAGEMENT, LLC (HOUSTON, TX) is newly SEC-registered with $104.0M RAUM and 4 advisory reps. IAPD ↗
$104.0M RAUM · 4 reps · 713-589-7121
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MUSE CAPITAL MANAGEMENT LLC (SANTA MONICA, CA) is newly SEC-registered with $103.8M RAUM and 1 advisory reps. IAPD ↗
$103.8M RAUM · 1 reps · 908-752-1002 · musecap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 246 firms

98
TACTICA LLC (location n/a) is newly SEC-registered with $418.0M RAUM and 1 advisory reps. IAPD ↗
$418.0M RAUM · 1 reps · 787-585-8095
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROSPERITY FINANCIAL GROUP, INC. (SAN RAMON, CA) is newly SEC-registered with $358.9M RAUM and 9 advisory reps. IAPD ↗
$358.9M RAUM · 9 reps · 925-314-8500 · 401kprosperityfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SYCAMORE INVESTMENT CONSULTING SERVICES, LLC (MADISON, WI) is newly SEC-registered with $159.6M RAUM and 2 advisory reps. IAPD ↗
$159.6M RAUM · 2 reps · 608-827-6414
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRITY WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $105.4M RAUM and 3 advisory reps. IAPD ↗
$105.4M RAUM · 3 reps · 513-289-2625 · iwmcfp.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BELLEAIR WEALTH MANAGEMENT, LLC (BELLEAIR BLUFFS, FL) is newly SEC-registered with $113.0M RAUM and 5 advisory reps. IAPD ↗
$113.0M RAUM · 5 reps · 727-586-5655
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
A SLING & A STONE, INCORPORATED (BURNET, TX) is newly SEC-registered with $105.2M RAUM and 2 advisory reps. IAPD ↗
$105.2M RAUM · 2 reps · 512-553-5151 · investorsadv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARM FINANCIAL LLC (location n/a) is newly SEC-registered with $45.1M RAUM and 1 advisory reps. IAPD ↗
$45.1M RAUM · 1 reps · 617-520-4044 · indexplus.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GENESIS ADVISORS, LLC (FISHERS, IN) is newly SEC-registered with $120.6M RAUM and 4 advisory reps. IAPD ↗
$120.6M RAUM · 4 reps · 317-577-6900 · genesisadvisors.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ESMEB INC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 703-340-8011 · waterfallwealth.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL AVENUES (location n/a) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
$127.7M RAUM · 2 reps · 913-735-7283 · myfinancialavenues.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 236 more in the CSV export.

Financial planning software 160 firms

98
TACTICA LLC (location n/a) is newly SEC-registered with $418.0M RAUM and 1 advisory reps. IAPD ↗
$418.0M RAUM · 1 reps · 787-585-8095
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROSPERITY FINANCIAL GROUP, INC. (SAN RAMON, CA) is newly SEC-registered with $358.9M RAUM and 9 advisory reps. IAPD ↗
$358.9M RAUM · 9 reps · 925-314-8500 · 401kprosperityfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SYCAMORE INVESTMENT CONSULTING SERVICES, LLC (MADISON, WI) is newly SEC-registered with $159.6M RAUM and 2 advisory reps. IAPD ↗
$159.6M RAUM · 2 reps · 608-827-6414
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRITY WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $105.4M RAUM and 3 advisory reps. IAPD ↗
$105.4M RAUM · 3 reps · 513-289-2625 · iwmcfp.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BELLEAIR WEALTH MANAGEMENT, LLC (BELLEAIR BLUFFS, FL) is newly SEC-registered with $113.0M RAUM and 5 advisory reps. IAPD ↗
$113.0M RAUM · 5 reps · 727-586-5655
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
A SLING & A STONE, INCORPORATED (BURNET, TX) is newly SEC-registered with $105.2M RAUM and 2 advisory reps. IAPD ↗
$105.2M RAUM · 2 reps · 512-553-5151 · investorsadv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARM FINANCIAL LLC (location n/a) is newly SEC-registered with $45.1M RAUM and 1 advisory reps. IAPD ↗
$45.1M RAUM · 1 reps · 617-520-4044 · indexplus.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GENESIS ADVISORS, LLC (FISHERS, IN) is newly SEC-registered with $120.6M RAUM and 4 advisory reps. IAPD ↗
$120.6M RAUM · 4 reps · 317-577-6900 · genesisadvisors.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ESMEB INC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 703-340-8011 · waterfallwealth.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL AVENUES (location n/a) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
$127.7M RAUM · 2 reps · 913-735-7283 · myfinancialavenues.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 150 more in the CSV export.

Compliance 368 firms

98
TACTICA LLC (location n/a) is newly SEC-registered with $418.0M RAUM and 1 advisory reps. IAPD ↗
$418.0M RAUM · 1 reps · 787-585-8095
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROSPERITY FINANCIAL GROUP, INC. (SAN RAMON, CA) is newly SEC-registered with $358.9M RAUM and 9 advisory reps. IAPD ↗
$358.9M RAUM · 9 reps · 925-314-8500 · 401kprosperityfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SYCAMORE INVESTMENT CONSULTING SERVICES, LLC (MADISON, WI) is newly SEC-registered with $159.6M RAUM and 2 advisory reps. IAPD ↗
$159.6M RAUM · 2 reps · 608-827-6414
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRITY WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $105.4M RAUM and 3 advisory reps. IAPD ↗
$105.4M RAUM · 3 reps · 513-289-2625 · iwmcfp.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BELLEAIR WEALTH MANAGEMENT, LLC (BELLEAIR BLUFFS, FL) is newly SEC-registered with $113.0M RAUM and 5 advisory reps. IAPD ↗
$113.0M RAUM · 5 reps · 727-586-5655
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
A SLING & A STONE, INCORPORATED (BURNET, TX) is newly SEC-registered with $105.2M RAUM and 2 advisory reps. IAPD ↗
$105.2M RAUM · 2 reps · 512-553-5151 · investorsadv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARM FINANCIAL LLC (location n/a) is newly SEC-registered with $45.1M RAUM and 1 advisory reps. IAPD ↗
$45.1M RAUM · 1 reps · 617-520-4044 · indexplus.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GENESIS ADVISORS, LLC (FISHERS, IN) is newly SEC-registered with $120.6M RAUM and 4 advisory reps. IAPD ↗
$120.6M RAUM · 4 reps · 317-577-6900 · genesisadvisors.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ESMEB INC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 703-340-8011 · waterfallwealth.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL AVENUES (location n/a) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
$127.7M RAUM · 2 reps · 913-735-7283 · myfinancialavenues.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 358 more in the CSV export.

Portfolio / reporting / TAMP 129 firms

98
TACTICA LLC (location n/a) is newly SEC-registered with $418.0M RAUM and 1 advisory reps. IAPD ↗
$418.0M RAUM · 1 reps · 787-585-8095
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROSPERITY FINANCIAL GROUP, INC. (SAN RAMON, CA) is newly SEC-registered with $358.9M RAUM and 9 advisory reps. IAPD ↗
$358.9M RAUM · 9 reps · 925-314-8500 · 401kprosperityfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SYCAMORE INVESTMENT CONSULTING SERVICES, LLC (MADISON, WI) is newly SEC-registered with $159.6M RAUM and 2 advisory reps. IAPD ↗
$159.6M RAUM · 2 reps · 608-827-6414
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRITY WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $105.4M RAUM and 3 advisory reps. IAPD ↗
$105.4M RAUM · 3 reps · 513-289-2625 · iwmcfp.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BELLEAIR WEALTH MANAGEMENT, LLC (BELLEAIR BLUFFS, FL) is newly SEC-registered with $113.0M RAUM and 5 advisory reps. IAPD ↗
$113.0M RAUM · 5 reps · 727-586-5655
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
A SLING & A STONE, INCORPORATED (BURNET, TX) is newly SEC-registered with $105.2M RAUM and 2 advisory reps. IAPD ↗
$105.2M RAUM · 2 reps · 512-553-5151 · investorsadv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARM FINANCIAL LLC (location n/a) is newly SEC-registered with $45.1M RAUM and 1 advisory reps. IAPD ↗
$45.1M RAUM · 1 reps · 617-520-4044 · indexplus.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GENESIS ADVISORS, LLC (FISHERS, IN) is newly SEC-registered with $120.6M RAUM and 4 advisory reps. IAPD ↗
$120.6M RAUM · 4 reps · 317-577-6900 · genesisadvisors.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ESMEB INC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 703-340-8011 · waterfallwealth.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL AVENUES (location n/a) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
$127.7M RAUM · 2 reps · 913-735-7283 · myfinancialavenues.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 119 more in the CSV export.

Custodian 94 firms

98
TACTICA LLC (location n/a) is newly SEC-registered with $418.0M RAUM and 1 advisory reps. IAPD ↗
$418.0M RAUM · 1 reps · 787-585-8095
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROSPERITY FINANCIAL GROUP, INC. (SAN RAMON, CA) is newly SEC-registered with $358.9M RAUM and 9 advisory reps. IAPD ↗
$358.9M RAUM · 9 reps · 925-314-8500 · 401kprosperityfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SYCAMORE INVESTMENT CONSULTING SERVICES, LLC (MADISON, WI) is newly SEC-registered with $159.6M RAUM and 2 advisory reps. IAPD ↗
$159.6M RAUM · 2 reps · 608-827-6414
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRITY WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $105.4M RAUM and 3 advisory reps. IAPD ↗
$105.4M RAUM · 3 reps · 513-289-2625 · iwmcfp.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BELLEAIR WEALTH MANAGEMENT, LLC (BELLEAIR BLUFFS, FL) is newly SEC-registered with $113.0M RAUM and 5 advisory reps. IAPD ↗
$113.0M RAUM · 5 reps · 727-586-5655
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
A SLING & A STONE, INCORPORATED (BURNET, TX) is newly SEC-registered with $105.2M RAUM and 2 advisory reps. IAPD ↗
$105.2M RAUM · 2 reps · 512-553-5151 · investorsadv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARM FINANCIAL LLC (location n/a) is newly SEC-registered with $45.1M RAUM and 1 advisory reps. IAPD ↗
$45.1M RAUM · 1 reps · 617-520-4044 · indexplus.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GENESIS ADVISORS, LLC (FISHERS, IN) is newly SEC-registered with $120.6M RAUM and 4 advisory reps. IAPD ↗
$120.6M RAUM · 4 reps · 317-577-6900 · genesisadvisors.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ESMEB INC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 703-340-8011 · waterfallwealth.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL AVENUES (location n/a) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
$127.7M RAUM · 2 reps · 913-735-7283 · myfinancialavenues.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 84 more in the CSV export.

Marketing & brand 339 firms

98
TACTICA LLC (location n/a) is newly SEC-registered with $418.0M RAUM and 1 advisory reps. IAPD ↗
$418.0M RAUM · 1 reps · 787-585-8095
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROSPERITY FINANCIAL GROUP, INC. (SAN RAMON, CA) is newly SEC-registered with $358.9M RAUM and 9 advisory reps. IAPD ↗
$358.9M RAUM · 9 reps · 925-314-8500 · 401kprosperityfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SYCAMORE INVESTMENT CONSULTING SERVICES, LLC (MADISON, WI) is newly SEC-registered with $159.6M RAUM and 2 advisory reps. IAPD ↗
$159.6M RAUM · 2 reps · 608-827-6414
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRITY WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $105.4M RAUM and 3 advisory reps. IAPD ↗
$105.4M RAUM · 3 reps · 513-289-2625 · iwmcfp.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BELLEAIR WEALTH MANAGEMENT, LLC (BELLEAIR BLUFFS, FL) is newly SEC-registered with $113.0M RAUM and 5 advisory reps. IAPD ↗
$113.0M RAUM · 5 reps · 727-586-5655
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
A SLING & A STONE, INCORPORATED (BURNET, TX) is newly SEC-registered with $105.2M RAUM and 2 advisory reps. IAPD ↗
$105.2M RAUM · 2 reps · 512-553-5151 · investorsadv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARM FINANCIAL LLC (location n/a) is newly SEC-registered with $45.1M RAUM and 1 advisory reps. IAPD ↗
$45.1M RAUM · 1 reps · 617-520-4044 · indexplus.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GENESIS ADVISORS, LLC (FISHERS, IN) is newly SEC-registered with $120.6M RAUM and 4 advisory reps. IAPD ↗
$120.6M RAUM · 4 reps · 317-577-6900 · genesisadvisors.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ESMEB INC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 703-340-8011 · waterfallwealth.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL AVENUES (location n/a) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
$127.7M RAUM · 2 reps · 913-735-7283 · myfinancialavenues.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 329 more in the CSV export.

Recruiting & transitions 211 firms

85
RAYMOND JAMES & ASSOCIATES, INC. grew from 5537 to 5683 advisory reps. IAPD ↗
$500.96B RAUM · 5683 reps · 727-567-1000
CRMRecruiting & transitionsComplianceFinancial planning software
85
FRANKLIN ADVISERS, INC. grew from 254 to 272 advisory reps. IAPD ↗
$509.45B RAUM · 272 reps · (650) 312-3000
CRMRecruiting & transitionsComplianceFinancial planning software
85
PUTNAM INVESTMENT MANAGEMENT, LLC grew from 51 to 72 advisory reps. IAPD ↗
$117.24B RAUM · 72 reps · 617-292-1000
CRMRecruiting & transitionsComplianceFinancial planning software
85
LNW grew from 58 to 93 advisory reps. IAPD ↗
$12.23B RAUM · 93 reps · 206-464-5100
CRMRecruiting & transitionsComplianceFinancial planning software
85
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC grew from 5720 to 6024 advisory reps. IAPD ↗
$390.04B RAUM · 6024 reps · 727-567-3020
CRMRecruiting & transitionsComplianceFinancial planning software
84
WESTERN ASSET MANAGEMENT COMPANY grew from 68 to 82 advisory reps. IAPD ↗
$184.99B RAUM · 82 reps · 626-844-9400
CRMRecruiting & transitionsComplianceFinancial planning software
82
PRIVATE CAPITAL MANAGEMENT, LLC grew from 13 to 25 advisory reps. IAPD ↗
$1.54B RAUM · 25 reps · 303-370-0055 · pcm-inc.com
CRMRecruiting & transitionsComplianceFinancial planning software
79
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC grew from 47 to 56 advisory reps. IAPD ↗
$65.44B RAUM · 56 reps · 215-609-3500
CRMRecruiting & transitionsComplianceFinancial planning software
79
CLEARBRIDGE INVESTMENTS, LLC grew from 62 to 71 advisory reps. IAPD ↗
$184.81B RAUM · 71 reps · 212-805-2000
CRMRecruiting & transitionsComplianceFinancial planning software
78
EARNED WEALTH ADVISORS, LLC grew from 20 to 28 advisory reps. IAPD ↗
$1.92B RAUM · 28 reps · 925.939.2500
CRMRecruiting & transitionsComplianceFinancial planning software

…and 201 more in the CSV export.

Integration & migration consulting 12 firms

70
FIRST WASHINGTON CORPORATION crossed $500M in regulatory AUM ($427.5M -> $501.2M). IAPD ↗
$501.2M RAUM · 3 reps · 206-624-8320 · first-wash.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC crossed $500M in regulatory AUM ($456.4M -> $668.6M). IAPD ↗
$668.6M RAUM · 32 reps · 763-923-2270 · oakridgefinancial.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
HINDS FINANCIAL GROUP INC crossed $500M in regulatory AUM ($496.1M -> $536.9M). IAPD ↗
$536.9M RAUM · 5 reps · 303-985-9889 · cccandc.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
AZIMUT INVESTMENT ADVISORS LLC crossed $500M in regulatory AUM ($447.0M -> $639.1M). IAPD ↗
$639.1M RAUM · 8 reps · 786 866 3700
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FINANCIAL GRAVITY ASSET MANAGEMENT, INC. crossed $500M in regulatory AUM ($469.1M -> $523.4M). IAPD ↗
$523.4M RAUM · 1 reps · 1-800-920-9722 · financialgravityassetmanagement.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
MONEX ASSET MANAGEMENT, INC. crossed $500M in regulatory AUM ($386.3M -> $556.8M). IAPD ↗
$556.8M RAUM · 14 reps · 713-877-8234 · monexsec.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
ATLAS ASSET MANAGEMENT LLC crossed $500M in regulatory AUM ($334.0M -> $700.6M). IAPD ↗
$700.6M RAUM · 2 reps · 787 781-1301 · atlasam.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC crossed $500M in regulatory AUM ($467.2M -> $590.5M). IAPD ↗
$590.5M RAUM · 16 reps · 800-588-3893
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FRANKLIN MANAGED OPTIONS STRATEGIES, LLC crossed $500M in regulatory AUM ($447.4M -> $972.5M). IAPD ↗
$972.5M RAUM · 3 reps · (888) 865-7268 · franklintempleton.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
45
GREENWOOD GEARHART, LLC filed an Item 4A succession naming GREENWOOD GEARHART INC. (CRD 110379) — an entity change, not a deal. IAPD ↗
$1.64B RAUM · 11 reps · 479-521-5353
Integration & migration consultingCompliance

…and 2 more in the CSV export.

Fund administration 2 firms

73
COLLABORATIVE CAPITAL ADVISORS LLC now reports 1 private fund(s) ($5.0M gross). IAPD ↗
$381.9M RAUM · 2 reps · 646-933-5730 · collaborativecapitaladvisors.com
Fund administrationCompliance
70
TRITONPOINT CAPITAL, LLC now reports 1 private fund(s) ($23.0M gross). IAPD ↗
$112.2M RAUM · 3 reps · 301-799-9001
Fund administrationCompliance

Office IT & facilities 91 firms

55
D.A. DAVIDSON & CO. added office(s): 98 -> 100 additional locations. IAPD ↗
$41.84B RAUM · 410 reps · 406-727-4200
Office IT & facilitiesCRMRecruiting & transitions
55
RAYMOND JAMES & ASSOCIATES, INC. added office(s): 635 -> 817 additional locations. IAPD ↗
$500.96B RAUM · 5683 reps · 727-567-1000
Office IT & facilitiesCRMRecruiting & transitions
55
NOTTINGHAM ADVISORS INC. added office(s): 4 -> 5 additional locations. IAPD ↗
$1.65B RAUM · 6 reps · 716-633-3800
Office IT & facilitiesCRMRecruiting & transitions
55
EARNED WEALTH ADVISORS, LLC added office(s): 15 -> 20 additional locations. IAPD ↗
$1.92B RAUM · 28 reps · 925.939.2500
Office IT & facilitiesCRMRecruiting & transitions
55
EMBREE FINANCIAL GROUP added office(s): 4 -> 5 additional locations. IAPD ↗
$2.28B RAUM · 14 reps · 312-527-5565
Office IT & facilitiesCRMRecruiting & transitions
55
CAPITAL ADVANTAGE, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$1.11B RAUM · 9 reps · 925-299-1500
Office IT & facilitiesCRMRecruiting & transitions
55
FINANCIAL MANAGEMENT NETWORK INC added office(s): 1 -> 2 additional locations. IAPD ↗
$2.14B RAUM · 21 reps · 949-455-0300 · fmnbenefits.com
Office IT & facilitiesCRMRecruiting & transitions
55
WAVERLY ADVISORS, LLC added office(s): 42 -> 43 additional locations. IAPD ↗
$28.26B RAUM · 197 reps · 205-871-3334 · waverly-advisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
CERTUITY, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$3.10B RAUM · 10 reps · 561-693-3255 · certuity.com
Office IT & facilitiesCRMRecruiting & transitions
55
CLEARBRIDGE INVESTMENTS, LLC added office(s): 6 -> 8 additional locations. IAPD ↗
$184.81B RAUM · 71 reps · 212-805-2000
Office IT & facilitiesCRMRecruiting & transitions

…and 81 more in the CSV export.

M&A & valuation 110 firms

65
CADARET GRANT & CO INC (SYRACUSE, NY) left the SEC roster (was $7.67B RAUM, 429 reps). IAPD ↗
$7.67B RAUM · 429 reps · 800-288-8601
Recruiting & transitionsM&A & valuation
65
WORLD ADVISORY SERVICES (LINCROFT, NJ) left the SEC roster (was $1.73B RAUM, 118 reps). IAPD ↗
$1.73B RAUM · 118 reps · 732-758-9300 · buyholdplus.com, http
Recruiting & transitionsM&A & valuation
65
L.M. KOHN & COMPANY (CINCINNATI, OH) left the SEC roster (was $2.09B RAUM, 63 reps). IAPD ↗
$2.09B RAUM · 63 reps · 513-792-0301 · lmkohn.com
Recruiting & transitionsM&A & valuation
65
CUSO FINANCIAL SERVICES, L.P. (SAN DIEGO, CA) left the SEC roster (was $5.38B RAUM, 523 reps). IAPD ↗
$5.38B RAUM · 523 reps · 858-530-4400
Recruiting & transitionsM&A & valuation
65
NEXT FINANCIAL GROUP, INC. (HOUSTON, TX) left the SEC roster (was $3.77B RAUM, 307 reps). IAPD ↗
$3.77B RAUM · 307 reps · 877-876-6398
Recruiting & transitionsM&A & valuation
65
SPC FINANCIAL INC (ROCKVILLE, MD) left the SEC roster (was $1.39B RAUM, 15 reps). IAPD ↗
$1.39B RAUM · 15 reps · 301-770-6800 · spcfinancial.com
Recruiting & transitionsM&A & valuation
65
COBBLESTONE CAPITAL ADVISORS, LLC (ROCHESTER, NY) left the SEC roster (was $2.93B RAUM, 23 reps). IAPD ↗
$2.93B RAUM · 23 reps · 585-473-3333 · cobblestonecap.com
Recruiting & transitionsM&A & valuation
65
FNB WEALTH MANAGEMENT (PITTSBURGH, PA) left the SEC roster (was $6.70B RAUM, 28 reps). IAPD ↗
$6.70B RAUM · 28 reps · 855-688-0001 · fnb-online.com
Recruiting & transitionsM&A & valuation
65
COHO PARTNERS, LTD. (BERWYN, PA) left the SEC roster (was $2.20B RAUM, 6 reps). IAPD ↗
$2.20B RAUM · 6 reps · 484-318-7575 · cohofunds.com
Recruiting & transitionsM&A & valuation
65
PRISM FINANCIAL GROUP, L.L.C. (OVERLAND PARK, KS) left the SEC roster (was $1.70B RAUM, 5 reps). IAPD ↗
$1.70B RAUM · 5 reps · 913-345-1444 · prismfg.com
Recruiting & transitionsM&A & valuation

…and 100 more in the CSV export.

Everything else — all segments

state expansion — 212 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
VICTORY CAPITAL MANAGEMENT INC. notice-filed in MT, ND, NM, PR, SD, VI, WV, WY. IAPD ↗
$152.29B RAUM · 135 reps · 877-660-4400 · vcm.com
ComplianceMarketing & brand
55
LNW notice-filed in AK, AZ, ID, MI, MN. IAPD ↗
$12.23B RAUM · 93 reps · 206-464-5100
ComplianceMarketing & brand
55
ARCHFORD CAPITAL STRATEGIES, LLC notice-filed in CA, KY, NC, OH, TN. IAPD ↗
$1.28B RAUM · 8 reps · 618-416-7085
ComplianceMarketing & brand
55
PROCYON notice-filed in AL, IN, KS, MN, MO, MT, NM, NV, WI, WV. IAPD ↗
$7.77B RAUM · 34 reps · (475) 232-2704
ComplianceMarketing & brand
55
PINE GROVE FINANCIAL GROUP notice-filed in AZ, CA, CO, FL, IA, IL, MD, NC, OH, PA, SC, WA, WI. IAPD ↗
$1.48B RAUM · 15 reps · 651 714 0323
ComplianceMarketing & brand
55
CALIBER WEALTH MANAGEMENT, LLC notice-filed in CT, GA, IA, MN, WA. IAPD ↗
$1.17B RAUM · 15 reps · 913-303-3920
ComplianceMarketing & brand
55
STONEBRIDGE FINANCIAL GROUP, LLC notice-filed in AZ, CA, CO, FL, ID, IL, LA, NE, NH, TX. IAPD ↗
$2.35B RAUM · 7 reps · 617-800-0388 · stonebridgefin.com
ComplianceMarketing & brand
53
ELM WEALTH notice-filed in AZ, GA, NV, WI. IAPD ↗
$2.02B RAUM · 7 reps · (888) 676-3148
ComplianceMarketing & brand
51
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC notice-filed in DC, PA, UT, VT. IAPD ↗
$668.6M RAUM · 32 reps · 763-923-2270 · oakridgefinancial.com
ComplianceMarketing & brand
51
PROVIDENT INVESTMENT MANAGEMENT, INC. notice-filed in NE, NH, OR. IAPD ↗
$1.23B RAUM · 6 reps · 248-380-1700 · investprovident.com
ComplianceMarketing & brand
51
RAMIREZ ASSET MANAGEMENT, INC. notice-filed in LA, MN, NE. IAPD ↗
$12.27B RAUM · 21 reps · 212-248-0500
ComplianceMarketing & brand
51
TRUE NORTH ADVISORS, LLC notice-filed in CT, NY, WA. IAPD ↗
$4.48B RAUM · 28 reps · 214-360-7300
ComplianceMarketing & brand
51
GALVIN, GAUSTAD & STEIN, LLC notice-filed in MA, MD, SC. IAPD ↗
$1.22B RAUM · 17 reps · 480-776-1445 · ggsadvisors.com
ComplianceMarketing & brand
51
REDWOOD WEALTH MANAGEMENT, LLC notice-filed in IL, NJ, TN, VA. IAPD ↗
$493.0M RAUM · 3 reps · 888-552-1905 · redwoodwealth.com
ComplianceMarketing & brand
51
GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC. notice-filed in MA, NE, OH, TN. IAPD ↗
$529.1M RAUM · 11 reps · 866-405-1031 · askglobalwealth.com
ComplianceMarketing & brand
51
RELIANT WEALTH PLANNING, LLC notice-filed in AK, AL, NM, WA. IAPD ↗
$520.6M RAUM · 5 reps · 502-398-5050 · reliantwealthplanning.com
ComplianceMarketing & brand
51
LONG RUN WEALTH ADVISORS, LLC notice-filed in CO, MA, ME, NJ. IAPD ↗
$514.2M RAUM · 7 reps · 518-523-8050
ComplianceMarketing & brand
51
ASTRA WEALTH MANAGEMENT GROUP notice-filed in AZ, KS, UT. IAPD ↗
$1.30B RAUM · 10 reps · 972-464-1571
ComplianceMarketing & brand
51
JW NOVA WEALTH PARTNERS notice-filed in AZ, MA, MD, NY. IAPD ↗
$307.9M RAUM · 3 reps · 267-753-7067
ComplianceMarketing & brand
50
OATH PLANNING, LLC notice-filed in CA, CT, IN, KS, KY, ME, MI, MO, MS, PA, SC, UT, VA, WI. IAPD ↗
$200.6M RAUM · 5 reps · 918-200-9094
ComplianceMarketing & brand
50
REGENTS PARTNERS, LLC notice-filed in CO, FL, IL, WA, WY. IAPD ↗
$165.5M RAUM · 5 reps · (925) 261-8330 · regentsparkadvisors.com
ComplianceMarketing & brand
49
AMERICAN WEALTH MANAGEMENT, INC. notice-filed in LA, NE, TN. IAPD ↗
$309.9M RAUM · 10 reps · 770-392-8741 · awminc.biz
ComplianceMarketing & brand
49
FACTOR WEALTH MANAGEMENT notice-filed in MD, NH, WI. IAPD ↗
$630.1M RAUM · 4 reps · (312) 644-5040 · factorwealth.com
ComplianceMarketing & brand
49
POTOMAC notice-filed in AR, MN. IAPD ↗
$2.41B RAUM · 25 reps · (301) 901-3466 · potomac.com
ComplianceMarketing & brand
49
ASSET PRESERVATION ADVISORS, LLC notice-filed in ID, SD. IAPD ↗
$10.65B RAUM · 21 reps · 404-261-1333 · assetpreservationadvisors.com
ComplianceMarketing & brand
49
EAGLE GLOBAL ADVISORS LLC notice-filed in MS, NC. IAPD ↗
$2.46B RAUM · 10 reps · 713-952-3550
ComplianceMarketing & brand
49
UNITED ASSET STRATEGIES INC. notice-filed in LA, NV. IAPD ↗
$1.84B RAUM · 21 reps · 516-222-0021 · unitedasset.com
ComplianceMarketing & brand
49
COLDSTREAM WEALTH MANAGEMENT notice-filed in LA, NJ. IAPD ↗
$12.44B RAUM · 165 reps · 425-283-1600
ComplianceMarketing & brand
49
COX CAPITAL MANAGEMENT LLC notice-filed in CA, GA, NC. IAPD ↗
$328.7M RAUM · 4 reps · 978-475-3325
ComplianceMarketing & brand
49
MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC notice-filed in LA, OH. IAPD ↗
$1.37B RAUM · 8 reps · 800-344-4038 · miracenter.com
ComplianceMarketing & brand
49
FINANCIAL & TAX ARCHITECTS, LLC notice-filed in NE, VT, WI. IAPD ↗
$443.0M RAUM · 24 reps · 314-858-1122 · scoutfinancialgroup.com
ComplianceMarketing & brand
49
COLTON GROOME FINANCIAL ADVISORS, LLC notice-filed in NH, TN, TX. IAPD ↗
$444.0M RAUM · 12 reps · 828-252-1816 · coltongroome.com
ComplianceMarketing & brand
49
PRIVATE CAPITAL MANAGEMENT, LLC notice-filed in GA, SC. IAPD ↗
$1.54B RAUM · 25 reps · 303-370-0055 · pcm-inc.com
ComplianceMarketing & brand
49
FLOWER CITY CAPITAL LLC notice-filed in CO, MA, VA. IAPD ↗
$333.6M RAUM · 2 reps · 585-236-8501
ComplianceMarketing & brand
49
LIBERTY WEALTH MANAGEMENT, LLC notice-filed in MD, SC. IAPD ↗
$1.47B RAUM · 18 reps · 510-658-1880
ComplianceMarketing & brand
49
NIA IMPACT CAPITAL notice-filed in MI, NE, RI. IAPD ↗
$525.7M RAUM · 4 reps · 510-319-9221 · niaimpactadvisors.com
ComplianceMarketing & brand
49
CAPITA FINANCIAL NETWORK, LLC notice-filed in PA, SD. IAPD ↗
$1.85B RAUM · 22 reps · 801-566-5058
ComplianceMarketing & brand
49
RESONANT CAPITAL ADVISORS, LLC notice-filed in AZ, OR. IAPD ↗
$2.22B RAUM · 14 reps · (608)-733-6220
ComplianceMarketing & brand
49
SYNERGY INVESTMENT MANAGEMENT LLC notice-filed in AZ, IL, OH. IAPD ↗
$461.2M RAUM · 9 reps · 321-203-4458 · synergywealthalliance.com
ComplianceMarketing & brand
49
HAYS FINANCIAL GROUP, LLC notice-filed in LA, NH. IAPD ↗
$6.09B RAUM · 4 reps · (612) 373-9863
ComplianceMarketing & brand
49
STEINBERGANNA WEALTH MANAGEMENT LLC notice-filed in CA, NH, SC. IAPD ↗
$320.9M RAUM · 2 reps · 631-271-6160 · steinberganna.com
ComplianceMarketing & brand
49
CLEAR TRAIL ADVISORS, LLC notice-filed in GA, LA, OK. IAPD ↗
$797.1M RAUM · 4 reps · (713) 893-9870
ComplianceMarketing & brand
48
CROSS BORDER WEALTH, LLC notice-filed in DC, MD, OH, WA. IAPD ↗
$138.8M RAUM · 7 reps · 646-688-5333
ComplianceMarketing & brand
48
COVINGTONALSINA notice-filed in CO, DC, NC, TN. IAPD ↗
$189.3M RAUM · 5 reps · (904) 449-7326
ComplianceMarketing & brand
48
EXCELSIOR ADVISOR NETWORK LLC notice-filed in FL, MI, PA, WI. IAPD ↗
$150.0M RAUM · 4 reps · 303-351-6436 · bvprivatewealth.com
ComplianceMarketing & brand
48
COASTLINE COMPLETE WEALTH LLC notice-filed in FL, LA, NC, TX. IAPD ↗
$0 RAUM · 2 reps · 843-379-1300 · coastlinecw.com
ComplianceMarketing & brand
47
CAMPBELL NEWMAN ASSET MANAGEMENT INC notice-filed in CT. IAPD ↗
$1.29B RAUM · 3 reps · 414-908-6670 · campbellnewman.com
ComplianceMarketing & brand
47
BEAIRD HARRIS notice-filed in WA. IAPD ↗
$1.91B RAUM · 13 reps · 972-503-1040
ComplianceMarketing & brand
47
SYM FINANCIAL ADVISORS notice-filed in WI. IAPD ↗
$4.88B RAUM · 41 reps · 800-888-7968
ComplianceMarketing & brand
47
JACOBS & COMPANY, LLC notice-filed in AZ. IAPD ↗
$1.10B RAUM · 3 reps · 415-777-1617
ComplianceMarketing & brand
47
THE L. WARNER COMPANIES, INC notice-filed in CT, DE. IAPD ↗
$744.6M RAUM · 12 reps · 410-252-0808 · lwarner.com
ComplianceMarketing & brand
47
EMBREE FINANCIAL GROUP notice-filed in KS. IAPD ↗
$2.28B RAUM · 14 reps · 312-527-5565
ComplianceMarketing & brand
47
JAMES INVESTMENT RESEARCH INC notice-filed in TN. IAPD ↗
$1.21B RAUM · 8 reps · 937-426-7640
ComplianceMarketing & brand
47
DAVIDSON INVESTMENT ADVISORS, INC. notice-filed in SD. IAPD ↗
$5.20B RAUM · 13 reps · 406-727-6111 · caprinbonds.com
ComplianceMarketing & brand
47
VISTA CAPITAL PARTNERS, INC. notice-filed in NY. IAPD ↗
$2.72B RAUM · 19 reps · 503-772-9500
ComplianceMarketing & brand
47
QUANTUM FINANCIAL PLANNING SERVICES, INC. notice-filed in FL, NV. IAPD ↗
$727.2M RAUM · 13 reps · 509-328-6653
ComplianceMarketing & brand
47
APRIO WEALTH MANAGEMENT, LLC notice-filed in WI. IAPD ↗
$2.64B RAUM · 24 reps · 404-892-9651 · wealth.aprio.com
ComplianceMarketing & brand
47
CERTUITY, LLC notice-filed in GA. IAPD ↗
$3.10B RAUM · 10 reps · 561-693-3255 · certuity.com
ComplianceMarketing & brand
47
VERSANT CAPITAL MANAGEMENT, INC. notice-filed in FL. IAPD ↗
$1.24B RAUM · 13 reps · 602-635-3760 · tamethemoneymonkey.com
ComplianceMarketing & brand
47
FINANCIAL PERSPECTIVES notice-filed in SD. IAPD ↗
$1.00B RAUM · 14 reps · 763-553-7779 · fpwealth.com
ComplianceMarketing & brand
47
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC notice-filed in IA. IAPD ↗
$1.13B RAUM · 7 reps · (408) 217-2000 · wrpwealth.com
ComplianceMarketing & brand
47
RESTON WEALTH MANAGEMENT notice-filed in DC, SC. IAPD ↗
$477.1M RAUM · 4 reps · 703-481-2280 · financialfieldnotes.com
ComplianceMarketing & brand
47
KRILOGY notice-filed in DC. IAPD ↗
$4.95B RAUM · 56 reps · 314-884-2800
ComplianceMarketing & brand
47
TELOS CAPITAL MANAGEMENT, INC. notice-filed in MO. IAPD ↗
$1.42B RAUM · 7 reps · (858) 271-6350
ComplianceMarketing & brand
47
C2 PRIVATE WEALTH notice-filed in PA. IAPD ↗
$1.18B RAUM · 11 reps · 248-567-6688 · retirementplanningedu.com
ComplianceMarketing & brand
47
EMPIRICAL WEALTH MANAGEMENT notice-filed in TN. IAPD ↗
$6.70B RAUM · 53 reps · 206-923-3474
ComplianceMarketing & brand
47
TWO WEST CAPITAL ADVISORS LLC notice-filed in CA. IAPD ↗
$3.24B RAUM · 14 reps · 913-825-1722 · stewartadvisory.com
ComplianceMarketing & brand
47
BLUE WATER WEALTH notice-filed in CO, RI. IAPD ↗
$384.2M RAUM · 11 reps · 503-296-8700 · bluewaterwealth.com
ComplianceMarketing & brand
47
STRATEGIC WEALTH INVESTMENT GROUP, LLC notice-filed in NY. IAPD ↗
$1.11B RAUM · 41 reps · 502-412-3354
ComplianceMarketing & brand
47
COMPASS ION ADVISORS, LLC notice-filed in OH. IAPD ↗
$1.33B RAUM · 15 reps · (610) 228-2200 · ionadv.com
ComplianceMarketing & brand
47
THRIVE WEALTH MANAGEMENT, LLC notice-filed in MI. IAPD ↗
$1.32B RAUM · 12 reps · 215-376-5530 · thrivewealth.com
ComplianceMarketing & brand
47
BEACON FINANCIAL ADVISORY LLC notice-filed in MD, TN. IAPD ↗
$677.6M RAUM · 13 reps · 216-910-1850
ComplianceMarketing & brand
47
INSIGNEO ADVISORY SERVICES, LLC notice-filed in MI. IAPD ↗
$3.61B RAUM · 188 reps · 305.373.9000 · insigneo.com
ComplianceMarketing & brand
47
REVOLVE WEALTH PARTNERS, LLC notice-filed in IL. IAPD ↗
$1.18B RAUM · 13 reps · 201-373-2163
ComplianceMarketing & brand
47
KELLY FINANCIAL SERVICES LLC notice-filed in CT, VT. IAPD ↗
$506.5M RAUM · 5 reps · 781-849-3090 · kellyfinancial.org
ComplianceMarketing & brand
47
INSPIRE ADVISORS, LLC notice-filed in AK. IAPD ↗
$1.03B RAUM · 46 reps · 877-859-6383 · inspireadvisors.com
ComplianceMarketing & brand
47
WEDMONT PRIVATE CAPITAL notice-filed in MO. IAPD ↗
$2.37B RAUM · 10 reps · 6108858200
ComplianceMarketing & brand
47
GAMMA INVESTING LLC notice-filed in CO. IAPD ↗
$1.42B RAUM · 6 reps · 888-585-1755 · gammainvesting.com
ComplianceMarketing & brand
47
THEPARTNERS WEALTH MANAGEMENT notice-filed in MA, MD. IAPD ↗
$454.5M RAUM · 32 reps · 800-324-3010 · trivam.com
ComplianceMarketing & brand
47
SAVVY notice-filed in UT. IAPD ↗
$1.30B RAUM · 52 reps · 833-745-6789 · savvywealth.com
ComplianceMarketing & brand
47
ROSSBY FINANCIAL, LLC notice-filed in AK, IA. IAPD ↗
$358.6M RAUM · 2 reps · 321-209-0111
ComplianceMarketing & brand
47
PORTSIDE WEALTH GROUP, LLC notice-filed in NH. IAPD ↗
$1.13B RAUM · 42 reps · 385-412-1222 · frontieradvisorgroup.com
ComplianceMarketing & brand
47
WARNER WEALTH notice-filed in NC, SC. IAPD ↗
$362.8M RAUM · 5 reps · 203-929-2727 · warnerwealthct.com
ComplianceMarketing & brand
47
COLLABORATIVE CAPITAL ADVISORS LLC notice-filed in MA, OK. IAPD ↗
$381.9M RAUM · 2 reps · 646-933-5730 · collaborativecapitaladvisors.com
ComplianceMarketing & brand
46
TWENTY TWENTY INVESTMENT ADVISORS, LLC notice-filed in CA, MT, OR. IAPD ↗
$123.4M RAUM · 3 reps · 509-892-3512
ComplianceMarketing & brand
46
LIGHTSQUARE WEALTH MANAGEMENT, LLC notice-filed in AL, IL, VI. IAPD ↗
$131.4M RAUM · 2 reps · 248-641-3540 · lightsquarewealth.com
ComplianceMarketing & brand
46
WISER ADVISOR GROUP notice-filed in FL, SD, UT. IAPD ↗
$115.1M RAUM · 2 reps · 480-500-9055
ComplianceMarketing & brand
45
FIRST KENTUCKY SECURITIES CORP notice-filed in VA. IAPD ↗
$566.0M RAUM · 16 reps · 502-893-7288 · firstky.com
ComplianceMarketing & brand
45
CALDWELL SUTTER CAPITAL, INC. notice-filed in FL. IAPD ↗
$605.7M RAUM · 5 reps · 415-962-2526 · cald.com
ComplianceMarketing & brand
45
SHARKEY HOWES & JAVER INC notice-filed in NE. IAPD ↗
$917.0M RAUM · 9 reps · 303-639-5100
ComplianceMarketing & brand
45
COOPERATIVE FUNERAL FUND INC notice-filed in CO. IAPD ↗
$710.7M RAUM · 2 reps · 800-336-1102 · cffinc.com
ComplianceMarketing & brand
45
LEGEND FINANCIAL ADVISORS INC notice-filed in NH. IAPD ↗
$335.4M RAUM · 3 reps · 412-635-9210 · legend-financial.com
ComplianceMarketing & brand
45
CHESAPEAKE ASSET MANAGEMENT LLC notice-filed in NE. IAPD ↗
$721.3M RAUM · 5 reps · 212-218-4040 · chesman.com
ComplianceMarketing & brand
45
YUKON WEALTH MANAGEMENT, INC. notice-filed in LA. IAPD ↗
$392.0M RAUM · 2 reps · 913-681-9200 · yukoncm.com
ComplianceMarketing & brand
45
STUART INVESTMENT ADVISORS, INC. notice-filed in CO. IAPD ↗
$515.2M RAUM · 2 reps · 512-478-2275
ComplianceMarketing & brand
45
LEELYN SMITH, LLC notice-filed in MI. IAPD ↗
$722.2M RAUM · 20 reps · 630-232-8995
ComplianceMarketing & brand
45
NEW ENGLAND RESEARCH & MANAGEMENT, INC. notice-filed in LA. IAPD ↗
$285.2M RAUM · 3 reps · 312-212-1704 · nerminc.com
ComplianceMarketing & brand
45
EXCALIBUR MANAGEMENT CORP notice-filed in TX. IAPD ↗
$657.0M RAUM · 7 reps · (617) 916-9669 · excalmgmt.com
ComplianceMarketing & brand
45
BOURNE LENT ASSET MANAGAMENT, INC. notice-filed in CA. IAPD ↗
$303.2M RAUM · 3 reps · 845-855-1590 · bournelent.com
ComplianceMarketing & brand
45
IMPAX ASSET MANAGEMENT LLC notice-filed in CA, CO, CT, FL, IL, MA, MD, ME, NY. IAPD ↗institutional
$8.94B RAUM · 30 reps · 603-431-8022 · impaxam.com
ComplianceMarketing & brand
45
RAINEY & RANDALL WEALTH ADVISORS, INC. notice-filed in TN. IAPD ↗
$820.4M RAUM · 4 reps · 727-344-7711 · raineyrandall.com
ComplianceMarketing & brand
45
FAITHWARD ADVISORS, LLC notice-filed in OR. IAPD ↗
$906.0M RAUM · 14 reps · 717-560-8300
ComplianceMarketing & brand
45
FREEGULLIVER, LLC notice-filed in NY. IAPD ↗
$798.1M RAUM · 8 reps · 504-899-0300 · freegulliver.com
ComplianceMarketing & brand
45
COSTELLO ASSET MANAGEMENT, INC. notice-filed in NH. IAPD ↗
$347.9M RAUM · 4 reps · 215 856 9290 · costelloassetmanagement.com
ComplianceMarketing & brand
45
ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, LLC notice-filed in OH. IAPD ↗
$464.3M RAUM · 3 reps · 516-887-4433
ComplianceMarketing & brand
45
KORHORN FINANCIAL GROUP notice-filed in SC. IAPD ↗
$934.5M RAUM · 41 reps · 574-247-5898
ComplianceMarketing & brand
45
NAMCOA notice-filed in MA. IAPD ↗
$312.3M RAUM · 16 reps · (239) 593-5525 · namcoa.com
ComplianceMarketing & brand
45
CAPITAL TRUST ADVISORS notice-filed in NV. IAPD ↗
$356.8M RAUM · 4 reps · (415) 399-9100 · capitaltrustadvisors.com
ComplianceMarketing & brand
45
HOLLAND ADVISORY SERVICES, INC. notice-filed in NY. IAPD ↗
$263.5M RAUM · 11 reps · 386-671-7526
ComplianceMarketing & brand
45
WEALTHVIEW CAPITAL, LLC notice-filed in OH. IAPD ↗
$286.8M RAUM · 2 reps · 601-981-4040
ComplianceMarketing & brand
45
SLAGLE FINANCIAL, LLC. notice-filed in SC. IAPD ↗
$315.0M RAUM · 7 reps · 618-692-1657
ComplianceMarketing & brand
45
IRONWOOD FINANCIAL, LLC notice-filed in FL. IAPD ↗
$574.9M RAUM · 6 reps · 520-318-4600 · ironwoodfinancial.com
ComplianceMarketing & brand
45
BUTTONWOOD FINANCIAL GROUP, LLC notice-filed in ND. IAPD ↗
$696.8M RAUM · 7 reps · 816-285-9000
ComplianceMarketing & brand
45
ALTUS WEALTH MANAGEMENT, LLC notice-filed in CA. IAPD ↗
$359.3M RAUM · 4 reps · 859-815-8566 · altuswm.com
ComplianceMarketing & brand
45
SENSIBLE MONEY, LLC notice-filed in NE. IAPD ↗
$603.7M RAUM · 11 reps · 480-719-7290 · sensiblemoney.com
ComplianceMarketing & brand
45
INVESTOR FAN notice-filed in NY. IAPD ↗
$427.7M RAUM · 13 reps · 425-372-7517 · panfili-financial.com
ComplianceMarketing & brand
45
MB, LEVIS & ASSOCIATES,LLC notice-filed in NY. IAPD ↗
$374.8M RAUM · 3 reps · 610-419-9690 · mblevis.com
ComplianceMarketing & brand
45
TREBUCHET CONSULTING, LLC notice-filed in NE. IAPD ↗
$921.4M RAUM · 7 reps · 412-388-0715 · trebuchetconsulting.com
ComplianceMarketing & brand
45
GEOMETRIC WEALTH ADVISORS, LLC notice-filed in MD. IAPD ↗
$971.6M RAUM · 9 reps · (973) 525-4901
ComplianceMarketing & brand
45
WEALTH WATCH ADVISORS, INC notice-filed in KS. IAPD ↗
$473.7M RAUM · 47 reps · 855-822-3708 · altuswealthstrategies.com
ComplianceMarketing & brand
45
AUSTIN WEALTH MANAGEMENT, LLC notice-filed in FL. IAPD ↗
$766.4M RAUM · 10 reps · 512-467-2000
ComplianceMarketing & brand
45
ADK WEALTH ADVISORY GROUP notice-filed in AR. IAPD ↗
$685.7M RAUM · 6 reps · (314) 878-1489 · discoverindependence.com
ComplianceMarketing & brand
45
STERLING INVESTMENT COUNSEL, LLC notice-filed in NJ. IAPD ↗
$819.3M RAUM · 9 reps · (716) 783-7054 · sterinv.com
ComplianceMarketing & brand
45
FLORIDA FINANCIAL ADVISORS, LLC notice-filed in WY. IAPD ↗
$317.8M RAUM · 457 reps · (813) 333-1683
ComplianceMarketing & brand
45
INTEGRITY ADVISORY SOLUTIONS notice-filed in WV. IAPD ↗
$512.3M RAUM · 90 reps · (214) 919-2165 · integritywealthsolutions.com
ComplianceMarketing & brand
45
STAGE HARBOR FINANCIAL notice-filed in GA. IAPD ↗
$972.9M RAUM · 7 reps · (781) 934-3130
ComplianceMarketing & brand
45
ERGAWEALTH ADVISORS, INC. notice-filed in SC. IAPD ↗
$316.7M RAUM · 4 reps · (630) 320-2078 · ergawealth.com
ComplianceMarketing & brand
45
SOVEREIGN FINANCIAL GROUP, INC. notice-filed in TN. IAPD ↗
$882.7M RAUM · 17 reps · (888) 765-8180
ComplianceMarketing & brand
45
OXINAS PARTNERS WEALTH MANAGEMENT notice-filed in NJ. IAPD ↗
$344.6M RAUM · 6 reps · (812) 725-8649
ComplianceMarketing & brand
45
IVC WEALTH ADVISORS LLC notice-filed in LA. IAPD ↗
$405.2M RAUM · 7 reps · (215)-392-6631
ComplianceMarketing & brand
45
OPTIVISE ADVISORY SERVICES LLC notice-filed in MO. IAPD ↗
$267.4M RAUM · 22 reps · 855-378-1806
ComplianceMarketing & brand
45
EIGER WEALTH MANAGEMENT, LLC notice-filed in AZ. IAPD ↗
$322.1M RAUM · 3 reps · 858-769-0100
ComplianceMarketing & brand
45
FINANCIAL FORUM, INC. notice-filed in FL. IAPD ↗
$276.0M RAUM · 3 reps · 509 458 5373 · financialforum.io
ComplianceMarketing & brand
45
ONEASCENT WEALTH MANAGEMENT notice-filed in VA. IAPD ↗
$431.7M RAUM · 9 reps · 205-313-9142 · oneascentwealth.com
ComplianceMarketing & brand
45
RETIREMENT PLANNING SOLUTIONS, LLC notice-filed in MD. IAPD ↗
$376.8M RAUM · 11 reps · 502-499-5668
ComplianceMarketing & brand
45
NOBLE FAMILY WEALTH notice-filed in LA. IAPD ↗
$400.6M RAUM · 4 reps · 727-674-1462 · noblefamilywealth.com
ComplianceMarketing & brand
45
COVE PRIVATE WEALTH, LLC notice-filed in CT. IAPD ↗
$269.9M RAUM · 2 reps · 516-588-1123 · coveprivatewealth.com
ComplianceMarketing & brand
45
PINE HARBOR WEALTH MANAGEMENT LLC notice-filed in IL. IAPD ↗
$444.8M RAUM · 1 reps · 703-589-9100 · pineharborwealth.com
ComplianceMarketing & brand
45
TRANSCE3ND LLC notice-filed in UT. IAPD ↗
$362.0M RAUM · 39 reps · 512-268-9220 · transcendim.com
ComplianceMarketing & brand
45
SPARTA WEALTH PARTNERS notice-filed in LA. IAPD ↗
$265.4M RAUM · 5 reps · 704-575-1148
ComplianceMarketing & brand
45
BUCK WEALTH STRATEGIES, LLC notice-filed in AR. IAPD ↗
$565.4M RAUM · 20 reps · 888-210-6567
ComplianceMarketing & brand
45
VICTORY FINANCIAL notice-filed in KS. IAPD ↗
$687.6M RAUM · 34 reps · (512) 763-7671 · l5wealthplanning.com
ComplianceMarketing & brand
45
MKT AND ASSOCIATES LLC notice-filed in NC. IAPD ↗
$275.5M RAUM · 1 reps · 253-252-2359 · mktandassociates.com
ComplianceMarketing & brand
45
HENDERSON BROTHERS FINANCIAL PARTNERS LLC notice-filed in NE. IAPD ↗
$327.3M RAUM · 22 reps · 412-261-3333 · hendersonbrothersfinancialpartners.com
ComplianceMarketing & brand
45
OAKWORTH ASSET MANAGEMENT, LLC notice-filed in MS. IAPD ↗
$757.4M RAUM · 15 reps · 205-263-4700 · oakworth.com
ComplianceMarketing & brand
45
PENDULUM WEALTH PARTNERS notice-filed in FL. IAPD ↗
$254.4M RAUM · 9 reps · 630-861-6143 · pendulum.partners
ComplianceMarketing & brand
44
NESTLERODE & LOY, INC. notice-filed in FL, MD. IAPD ↗
$199.1M RAUM · 2 reps · 814-238-6249 · nestlerode.com
ComplianceMarketing & brand
44
BLUEPRINT FINANCIAL ADVISORS notice-filed in MA, VT. IAPD ↗
$201.5M RAUM · 17 reps · 844-200-2568 · bluegrasscapadv.com
ComplianceMarketing & brand
42
CLAREMONT FINANCIAL GROUP,INC. notice-filed in IL. IAPD ↗
$119.0M RAUM · 2 reps · 909-624-9200 · claremontfinancial.com
ComplianceMarketing & brand
42
STEWARDSHIP PARTNERS INVESTMENT COUNSEL, INC. notice-filed in MI. IAPD ↗
$73.2M RAUM · 3 reps · 1-800-930-6949 · stewardshippartners.com
ComplianceMarketing & brand
42
CALVERT WEALTH MANAGEMENT, INC. notice-filed in SC. IAPD ↗
$167.5M RAUM · 3 reps · 301-812-1550 · calvertwealth.com
ComplianceMarketing & brand
42
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE notice-filed in OR. IAPD ↗
$192.1M RAUM · 7 reps · 858-546-1046 · superiorplanning.com
ComplianceMarketing & brand
42
WATERSTONE WEALTH ADVISORS, LLC notice-filed in NH. IAPD ↗
$150.0M RAUM · 1 reps · 732-873-0433
ComplianceMarketing & brand
42
WRIGHT PRIVATE ASSET MANAGEMENT LLC notice-filed in CO. IAPD ↗
$62.4M RAUM · 8 reps · 203-783-4400 · wrightpam.com
ComplianceMarketing & brand
42
FORTUNE FINANCIAL ADVISORS, LLC notice-filed in FL. IAPD ↗
$202.4M RAUM · 5 reps · 913-393-0038 · fortunefinancialadvisors.com
ComplianceMarketing & brand
42
WISCONSIN WEALTH ADVISORS, LLC notice-filed in TX. IAPD ↗
$114.2M RAUM · 3 reps · 608-837-9099 · wiwealthadvisors.com
ComplianceMarketing & brand
42
A4 WEALTH ADVISORS LLC notice-filed in VA. IAPD ↗
$190.0M RAUM · 6 reps · 704-509-1141
ComplianceMarketing & brand
42
CAPSTONE INVESTMENT GROUP notice-filed in NE. IAPD ↗
$152.4M RAUM · 8 reps · 360-570-9888 · wisdomanddiscipline.com
ComplianceMarketing & brand
42
WALLICK INVESTMENTS, LLC notice-filed in GA. IAPD ↗
$112.4M RAUM · 1 reps · 803-699-9400 · wallickinvestments.com
ComplianceMarketing & brand
42
MYECFO notice-filed in WA. IAPD ↗
$211.3M RAUM · 9 reps · 6502314609 · myecfo.com
ComplianceMarketing & brand
42
STASH WEALTH, LLC notice-filed in MD. IAPD ↗
$41.1M RAUM · 2 reps · 212-913-9904 · stashwealth.com
ComplianceMarketing & brand
42
LEGACY WEALTH MANAGEMENT INC. notice-filed in LA. IAPD ↗
$223.4M RAUM · 3 reps · 877-650-4738
ComplianceMarketing & brand
42
EMERGENT WEALTH ADVISORS, LLC notice-filed in TN. IAPD ↗
$241.2M RAUM · 3 reps · 716-828-8390 · emergentwa.com
ComplianceMarketing & brand
42
CITY CENTER ADVISORS, LLC notice-filed in NH. IAPD ↗
$132.4M RAUM · 7 reps · 888-267-1321
ComplianceMarketing & brand
42
HARVEST CAPITAL ASSETS, LLC notice-filed in TX. IAPD ↗
$67.0M RAUM · 3 reps · (716)-597-8372
ComplianceMarketing & brand
42
AWH FINANCIAL, LLC notice-filed in OK. IAPD ↗
$0 RAUM · 61 reps · 610-660-4283
ComplianceMarketing & brand
42
STONEBRIDGE WEALTH MANAGEMENT LLC notice-filed in FL. IAPD ↗
$232.1M RAUM · 3 reps · (630) 230-1830
ComplianceMarketing & brand
42
HIGGINS & SCHMIDT WEALTH STRATEGIES LLC notice-filed in CA. IAPD ↗
$215.1M RAUM · 3 reps · (720) 287-0918 · hdwscolorado.com
ComplianceMarketing & brand
42
FSAM LLC notice-filed in TX. IAPD ↗
$112.9M RAUM · 8 reps · 770-777-9373 · fssec.com
ComplianceMarketing & brand
42
KANANI ADVISORY GROUP INC. notice-filed in NY. IAPD ↗
$201.5M RAUM · 4 reps · (949) 502-7001 · kananiadvisorygroup.com
ComplianceMarketing & brand
42
PALADIN FINANCIAL notice-filed in FL. IAPD ↗
$182.5M RAUM · 7 reps · 651-842-8406 · paladingivesback.com
ComplianceMarketing & brand
42
NRG WEALTH MANAGEMENT notice-filed in WA. IAPD ↗
$193.3M RAUM · 4 reps · (520) 818-7822 · navigationretirement.com
ComplianceMarketing & brand
42
SCHOLAR FINANCIAL ADVISING, LLC notice-filed in TN. IAPD ↗
$0 RAUM · 5 reps · (336) 360-6833
ComplianceMarketing & brand
42
REFLECTION ASSET MANAGEMENT notice-filed in CO. IAPD ↗
$164.9M RAUM · 1 reps · 617-584-4042
ComplianceMarketing & brand
42
ALIGN FINANCIAL, LLC notice-filed in VA. IAPD ↗
$101.5M RAUM · 1 reps · 218-336-2506 · align.financial
ComplianceMarketing & brand
42
TRUE BLUE FINANCIAL, LLC notice-filed in FL. IAPD ↗
$193.7M RAUM · 4 reps · (269) 982-2710
ComplianceMarketing & brand
42
GRAVER CAPITAL MANAGEMENT, LLC notice-filed in IL. IAPD ↗
$122.0M RAUM · 2 reps · 614-499-2500
ComplianceMarketing & brand
42
WINNOW WEALTH, LLC notice-filed in ND. IAPD ↗
$123.0M RAUM · 5 reps · 254-776-8400 · winnowwealth.com
ComplianceMarketing & brand
42
CLOUD CAPITAL notice-filed in AZ. IAPD ↗
$189.9M RAUM · 4 reps · 8007954303 · cloudcapital.us
ComplianceMarketing & brand
42
TABLEAUX WEALTH notice-filed in TX. IAPD ↗
$154.3M RAUM · 5 reps · 413-264-2400
ComplianceMarketing & brand
42
NEIL JESANI WEALTH MANAGEMENT notice-filed in MN. IAPD ↗
$125.9M RAUM · 4 reps · (954) 800-0460
ComplianceMarketing & brand
42
VIVID WEALTH MANAGEMENT, LLC notice-filed in TX. IAPD ↗
$234.7M RAUM · 3 reps · (515) 480-7593
ComplianceMarketing & brand
42
WAGNER WEALTH MANAGEMENT, CORP. notice-filed in VA. IAPD ↗
$104.7M RAUM · 2 reps · 570-987-6244 · wwmcorp.com
ComplianceMarketing & brand
42
ACCELERATE RETIREMENT notice-filed in MS. IAPD ↗
$242.8M RAUM · 31 reps · 888-439-7071
ComplianceMarketing & brand
42
MAVROS CAPITAL MANAGEMENT, LLC notice-filed in NY. IAPD ↗
$32.1M RAUM · 3 reps · (424) 522-2524 · mavrosgroup.com
ComplianceMarketing & brand
42
AVISE FINANCIAL notice-filed in AZ. IAPD ↗
$125.9M RAUM · 4 reps · 310-807-5778
ComplianceMarketing & brand
42
SYNTHETICFI LLC notice-filed in ME. IAPD ↗
$153.2M RAUM · 2 reps · (628) 600-2699 · syntheticfi.com
ComplianceMarketing & brand
42
LFG WEALTH PARTNERS, LLC notice-filed in IL. IAPD ↗
$112.0M RAUM · 7 reps · 877-573-2043
ComplianceMarketing & brand
42
CORRALES & CO. notice-filed in GA. IAPD ↗
$167.5M RAUM · 5 reps · (239) 421-5359
ComplianceMarketing & brand
42
TRITONPOINT PARTNERS, LLC notice-filed in FL. IAPD ↗
$110.3M RAUM · 4 reps · 301-799-9001
ComplianceMarketing & brand
42
TRITONPOINT CAPITAL, LLC notice-filed in DE. IAPD ↗
$112.2M RAUM · 3 reps · 301-799-9001
ComplianceMarketing & brand
42
INNOVATIVE ASSET ADVISORS GROUP notice-filed in NH. IAPD ↗
$134.5M RAUM · 4 reps · 203-444-3599 · innovativeaag.com
ComplianceMarketing & brand
37
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS notice-filed in MD. IAPD ↗institutional
$18.95B RAUM · 68 reps · 212-850-4260
ComplianceMarketing & brand
36
GREYLOCK PEAK INVESTMENTS, LLC notice-filed in AL, MD, WY. IAPD ↗institutional
$0 RAUM · 1 reps · 646-822-1269 · greylockpeak.com
ComplianceMarketing & brand
34
COLLABORATIVE FUND ADVISORS notice-filed in CT, IL. IAPD ↗institutional
$39.0M RAUM · 7 reps · 203-629-3300 · anydrusfunds.com
ComplianceMarketing & brand
32
TWO SIGMA INVESTOR SOLUTIONS, LP notice-filed in GA. IAPD ↗institutional
$0 RAUM · 2 reps · (212) 625-5700
ComplianceMarketing & brand
32
OXFORD FINANCE ADVISORS, LLC notice-filed in GA. IAPD ↗fund
$1.60B RAUM · 76 reps · 703-519-4900
ComplianceMarketing & brand
32
MODERN CAPITAL MANAGEMENT, CO. notice-filed in ME. IAPD ↗institutional
$100.8M RAUM · 4 reps · 843-892-0244 · moderncap.com
ComplianceMarketing & brand
32
IH2 ADVISORS & COMPANY notice-filed in CA. IAPD ↗institutional
$105.0M RAUM · 2 reps · 302-345-6404
ComplianceMarketing & brand
32
BUFFERLABS notice-filed in WA. IAPD ↗institutional
$0 RAUM · 2 reps · 253-777-8784 · bufferlabsetfs.com
ComplianceMarketing & brand
30
NEWPORT INVESTMENT MANAGEMENT, LLC notice-filed in NC. IAPD ↗fund
$582.6M RAUM · 12 reps · 312-724-7031 · investors.newportcapitalptrs.com
ComplianceMarketing & brand
30
GULLANE CAPITAL, LLC notice-filed in FL. IAPD ↗fund
$320.9M RAUM · 1 reps · 901-766-1969 · gullanecapital-irm.investorflow.com
ComplianceMarketing & brand
27
RAND CAPITAL MANAGEMENT notice-filed in GA. IAPD ↗fund
$154.0M RAUM · 7 reps · 617-880-7494 · randcapital.com
ComplianceMarketing & brand
25
1832 ASSET MANAGEMENT U.S. INC. notice-filed in DE, HI, MS, MT, VA. IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
ComplianceMarketing & brand
25
IMPAX ASSET MANAGEMENT, LTD. notice-filed in CO, FL, MA, MD, ME, NH. IAPD ↗foreign
$25.84B RAUM · 53 reps · 011 44 20 3912 3000 · impaxam.com
ComplianceMarketing & brand
21
THE FORUM FINANCE GROUP SA notice-filed in FL, NY, TX. IAPD ↗foreign
$2.21B RAUM · 19 reps · +41 22 552 83 00 · business.google.com
ComplianceMarketing & brand
19
RATHBONES notice-filed in IL, LA. IAPD ↗foreign
$67.01B RAUM · 512 reps · +44-151 236 6666
ComplianceMarketing & brand
19
MASECO PRIVATE WEALTH notice-filed in IA, NV. IAPD ↗foreign
$3.83B RAUM · 24 reps · +44 20 7043 0455
ComplianceMarketing & brand
17
CARDINAL CAPITAL MANAGEMENT, INC. notice-filed in NY. IAPD ↗foreign
$4.02B RAUM · 16 reps · 1-800-310-4664
ComplianceMarketing & brand
17
KAISER PARTNER FINANCIAL ADVISORS LTD. notice-filed in NV, TN. IAPD ↗foreign
$981.7M RAUM · 5 reps · +41 44 752 51 52
ComplianceMarketing & brand
15
BFI INFINITY LTD. notice-filed in VA. IAPD ↗foreign
$610.1M RAUM · 15 reps · +41 58 806 2210
ComplianceMarketing & brand
12
NORTHFRONT FINANCIAL USA INC notice-filed in TX. IAPD ↗foreign
$9.8M RAUM · 1 reps · 403-571-8960
ComplianceMarketing & brand
deregistered — 124 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
CADARET GRANT & CO INC (SYRACUSE, NY) left the SEC roster (was $7.67B RAUM, 429 reps). IAPD ↗
$7.67B RAUM · 429 reps · 800-288-8601
Recruiting & transitionsM&A & valuation
65
WORLD ADVISORY SERVICES (LINCROFT, NJ) left the SEC roster (was $1.73B RAUM, 118 reps). IAPD ↗
$1.73B RAUM · 118 reps · 732-758-9300 · buyholdplus.com, http
Recruiting & transitionsM&A & valuation
65
L.M. KOHN & COMPANY (CINCINNATI, OH) left the SEC roster (was $2.09B RAUM, 63 reps). IAPD ↗
$2.09B RAUM · 63 reps · 513-792-0301 · lmkohn.com
Recruiting & transitionsM&A & valuation
65
CUSO FINANCIAL SERVICES, L.P. (SAN DIEGO, CA) left the SEC roster (was $5.38B RAUM, 523 reps). IAPD ↗
$5.38B RAUM · 523 reps · 858-530-4400
Recruiting & transitionsM&A & valuation
65
NEXT FINANCIAL GROUP, INC. (HOUSTON, TX) left the SEC roster (was $3.77B RAUM, 307 reps). IAPD ↗
$3.77B RAUM · 307 reps · 877-876-6398
Recruiting & transitionsM&A & valuation
65
SPC FINANCIAL INC (ROCKVILLE, MD) left the SEC roster (was $1.39B RAUM, 15 reps). IAPD ↗
$1.39B RAUM · 15 reps · 301-770-6800 · spcfinancial.com
Recruiting & transitionsM&A & valuation
65
COBBLESTONE CAPITAL ADVISORS, LLC (ROCHESTER, NY) left the SEC roster (was $2.93B RAUM, 23 reps). IAPD ↗
$2.93B RAUM · 23 reps · 585-473-3333 · cobblestonecap.com
Recruiting & transitionsM&A & valuation
65
FNB WEALTH MANAGEMENT (PITTSBURGH, PA) left the SEC roster (was $6.70B RAUM, 28 reps). IAPD ↗
$6.70B RAUM · 28 reps · 855-688-0001 · fnb-online.com
Recruiting & transitionsM&A & valuation
65
COHO PARTNERS, LTD. (BERWYN, PA) left the SEC roster (was $2.20B RAUM, 6 reps). IAPD ↗
$2.20B RAUM · 6 reps · 484-318-7575 · cohofunds.com
Recruiting & transitionsM&A & valuation
65
PRISM FINANCIAL GROUP, L.L.C. (OVERLAND PARK, KS) left the SEC roster (was $1.70B RAUM, 5 reps). IAPD ↗
$1.70B RAUM · 5 reps · 913-345-1444 · prismfg.com
Recruiting & transitionsM&A & valuation
65
PARK PIEDMONT ADVISORS LLC (CHICAGO, IL) left the SEC roster (was $1.03B RAUM, 5 reps). IAPD ↗
$1.03B RAUM · 5 reps · 312-722-6760
Recruiting & transitionsM&A & valuation
65
PACIFIC PORTFOLIO CONSULTING, LLC (SEATTLE, WA) left the SEC roster (was $4.79B RAUM, 12 reps). IAPD ↗
$4.79B RAUM · 12 reps · 206-623-6641 · pacific-portfolio.com
Recruiting & transitionsM&A & valuation
65
CAP STRAT (OAKBROOK TERRACE, IL) left the SEC roster (was $21.29B RAUM, 12 reps). IAPD ↗
$21.29B RAUM · 12 reps · 630-320-5100
Recruiting & transitionsM&A & valuation
65
AVEO CAPITAL PARTNERS, LLC (ENGLEWOOD, CO) left the SEC roster (was $1.64B RAUM, 21 reps). IAPD ↗
$1.64B RAUM · 21 reps · (303) 552-0945
Recruiting & transitionsM&A & valuation
65
HEMINGTON WEALTH MANAGEMENT (FALLS CHURCH, VA) left the SEC roster (was $1.06B RAUM, 10 reps). IAPD ↗
$1.06B RAUM · 10 reps · 703-828-2479
Recruiting & transitionsM&A & valuation
65
APEXIUM FINANCIAL LP (DALLAS, TX) left the SEC roster (was $4.02B RAUM, 10 reps). IAPD ↗
$4.02B RAUM · 10 reps · 212-225-9500
Recruiting & transitionsM&A & valuation
65
FULL SAIL CAPITAL, LLC (OKLAHOMA CITY, OK) left the SEC roster (was $2.03B RAUM, 10 reps). IAPD ↗
$2.03B RAUM · 10 reps · (405) 286-2100 · fullsailcapital.com
Recruiting & transitionsM&A & valuation
65
STONEGATE INVESTMENT GROUP, LLC (BIRMINGHAM, AL) left the SEC roster (was $5.67B RAUM, 12 reps). IAPD ↗
$5.67B RAUM · 12 reps · (205) 963-0840 · stonegateig.com
Recruiting & transitionsM&A & valuation
63
HORAN WEALTH MANAGEMENT (CINCINNATI, OH) left the SEC roster (was $698.2M RAUM, 10 reps). IAPD ↗
$698.2M RAUM · 10 reps · 513-745-0707 · horanwealth.com
Recruiting & transitionsM&A & valuation
63
GLOBAL INVESTMENT ADVISER LC (NORTH PALM BEACH, FL) left the SEC roster (was $276.4M RAUM, 1 reps). IAPD ↗
$276.4M RAUM · 1 reps · 561-881-9688
Recruiting & transitionsM&A & valuation
63
WFA ASSET MANAGEMENT CORP (WHITEFISH BAY, WI) left the SEC roster (was $439.3M RAUM, 4 reps). IAPD ↗
$439.3M RAUM · 4 reps · 414-727-8181
Recruiting & transitionsM&A & valuation
63
COURT PLACE ADVISORS LLC (ELLICOTT CITY, MD) left the SEC roster (was $375.9M RAUM, 4 reps). IAPD ↗
$375.9M RAUM · 4 reps · 410-465-4321 · courtplaceadvisors.com
Recruiting & transitionsM&A & valuation
63
GOODPASTURE GRAY (location n/a) left the SEC roster (was $311.0M RAUM, 2 reps). IAPD ↗
$311.0M RAUM · 2 reps · (615) 601-3330
Recruiting & transitionsM&A & valuation
63
KAYE CAPITAL MANAGEMENT (EL SEGUNDO, CA) left the SEC roster (was $743.2M RAUM, 3 reps). IAPD ↗
$743.2M RAUM · 3 reps · 310-207-5293
Recruiting & transitionsM&A & valuation
63
COLLEY ASSET MANAGEMENT, INC. (SARATOGA SPRINGS, NY) left the SEC roster (was $353.6M RAUM, 1 reps). IAPD ↗
$353.6M RAUM · 1 reps · 518-581-0500 · colleyassetmgmt.com
Recruiting & transitionsM&A & valuation
63
CROWLEY WEALTH MANAGEMENT, INC. (WILMINGTON, DE) left the SEC roster (was $383.4M RAUM, 4 reps). IAPD ↗
$383.4M RAUM · 4 reps · 302-994-4700 · crowleywealthmanagement.com
Recruiting & transitionsM&A & valuation
63
SHILANSKI & ASSOCIATES, INC. (ANCHORAGE, AK) left the SEC roster (was $420.3M RAUM, 6 reps). IAPD ↗
$420.3M RAUM · 6 reps · 907-278-1351
Recruiting & transitionsM&A & valuation
63
MOSER WEALTH ADVISORS (BELLEVUE, WA) left the SEC roster (was $279.0M RAUM, 2 reps). IAPD ↗
$279.0M RAUM · 2 reps · 425-451-1850
Recruiting & transitionsM&A & valuation
63
OJM GROUP, LLC (CINCINNATI, OH) left the SEC roster (was $803.3M RAUM, 8 reps). IAPD ↗
$803.3M RAUM · 8 reps · 513-791-7525
Recruiting & transitionsM&A & valuation
63
WEST OAK CAPITAL, LLC (EAGLE, ID) left the SEC roster (was $525.6M RAUM, 4 reps). IAPD ↗
$525.6M RAUM · 4 reps · 208-722-2280 · westoakcap.com
Recruiting & transitionsM&A & valuation
63
HERITAGE FINANCIAL PLANNING (DALLAS, TX) left the SEC roster (was $315.1M RAUM, 5 reps). IAPD ↗
$315.1M RAUM · 5 reps · 214-446-2100
Recruiting & transitionsM&A & valuation
63
GRYPHON ADVISORS, LLC (EVANSTON, IL) left the SEC roster (was $533.3M RAUM, 3 reps). IAPD ↗
$533.3M RAUM · 3 reps · 847-424-0465 · gryphonadvisors.net
Recruiting & transitionsM&A & valuation
63
SPECTRUM WEALTH MANAGEMENT, LLC (IRVINE, CA) left the SEC roster (was $269.5M RAUM, 3 reps). IAPD ↗
$269.5M RAUM · 3 reps · 949-597-0101 · swmadvisors.com
Recruiting & transitionsM&A & valuation
63
NAPA WEALTH MANAGEMENT (NAPA, CA) left the SEC roster (was $266.7M RAUM, 5 reps). IAPD ↗
$266.7M RAUM · 5 reps · (707) 252-1343 · napawealth.com
Recruiting & transitionsM&A & valuation
63
VERIPAX WEALTH MANAGEMENT, INC. (FOLSOM, CA) left the SEC roster (was $342.9M RAUM, 3 reps). IAPD ↗
$342.9M RAUM · 3 reps · 916-358-5635 · veripax.net
Recruiting & transitionsM&A & valuation
63
DAY HAGAN ASSET MANAGEMENT (SARASOTA, FL) left the SEC roster (was $842.8M RAUM, 5 reps). IAPD ↗
$842.8M RAUM · 5 reps · 941-330-1702
Recruiting & transitionsM&A & valuation
63
WISE WEALTH, LLC (LEE'S SUMMIT, MO) left the SEC roster (was $304.2M RAUM, 7 reps). IAPD ↗
$304.2M RAUM · 7 reps · 816-246-9473
Recruiting & transitionsM&A & valuation
63
PROSPERITY FINANCIAL GROUP, INC. (SAN RAMON, CA) left the SEC roster (was $358.9M RAUM, 9 reps). IAPD ↗
$358.9M RAUM · 9 reps · 925-314-8500
Recruiting & transitionsM&A & valuation
63
WELA STRATEGIES, INC. (ATLANTA, GA) left the SEC roster (was $255.5M RAUM, 11 reps). IAPD ↗
$255.5M RAUM · 11 reps · 678-608-0420 · welastrategies.com
Recruiting & transitionsM&A & valuation
63
CLOUD CAPITAL LLC (location n/a) left the SEC roster (was $410.9M RAUM, 1 reps). IAPD ↗
$410.9M RAUM · 1 reps · 9183141220
Recruiting & transitionsM&A & valuation
63
GITTERMAN WEALTH MANAGEMENT, LLC (EDISON, NJ) left the SEC roster (was $666.1M RAUM, 8 reps). IAPD ↗
$666.1M RAUM · 8 reps · 848-248-4405 · gittermanasset.com
Recruiting & transitionsM&A & valuation
63
GUIDANCE INVESTMENT ADVISORS, LLC (ELKHART, IN) left the SEC roster (was $307.6M RAUM, 4 reps). IAPD ↗
$307.6M RAUM · 4 reps · 574-333-2083 · guidancewealth.com
Recruiting & transitionsM&A & valuation
63
LOWE WEALTH ADVISORS, LLC (COLUMBIA, MD) left the SEC roster (was $460.2M RAUM, 6 reps). IAPD ↗
$460.2M RAUM · 6 reps · 443-766-7160 · lwamedical.com
Recruiting & transitionsM&A & valuation
63
LANE HIPPLE - WEALTH MANAGEMENT GROUP (MOORESTOWN, NJ) left the SEC roster (was $418.5M RAUM, 5 reps). IAPD ↗
$418.5M RAUM · 5 reps · 856-638-1855
Recruiting & transitionsM&A & valuation
63
PWA FINANCIAL (NEWTOWN, PA) left the SEC roster (was $267.9M RAUM, 3 reps). IAPD ↗
$267.9M RAUM · 3 reps · (215) 710-0737 · pwafinancial.com
Recruiting & transitionsM&A & valuation
63
OBSIDIAN PERSONAL PLANNING SOLUTIONS, LLC (ROCKVILLE, MD) left the SEC roster (was $407.2M RAUM, 7 reps). IAPD ↗
$407.2M RAUM · 7 reps · 301-990-4395
Recruiting & transitionsM&A & valuation
63
AMERICAN ASSETS CAPITAL ADVISERS, LLC (SAN DIEGO, CA) left the SEC roster (was $327.3M RAUM, 3 reps). IAPD ↗
$327.3M RAUM · 3 reps · 858-345-1470 · aacadvisers.com
Recruiting & transitionsM&A & valuation
63
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS (SCOTTSDALE, AZ) left the SEC roster (was $277.4M RAUM, 16 reps). IAPD ↗
$277.4M RAUM · 16 reps · 602-604-0600
Recruiting & transitionsM&A & valuation
63
JACKSON SQUARE PARTNERS, LLC (LARKSPUR, CA) left the SEC roster (was $995.1M RAUM, 4 reps). IAPD ↗
$995.1M RAUM · 4 reps · 415 635-0220 · jspartners.com
Recruiting & transitionsM&A & valuation
63
TYLER-STONE WEALTH MANAGEMENT, LLC (BEACHWOOD, OH) left the SEC roster (was $598.9M RAUM, 19 reps). IAPD ↗
$598.9M RAUM · 19 reps · 216-295-0945
Recruiting & transitionsM&A & valuation
63
SUMMIT WEALTH STRATEGIES (CHESTERFIELD, MO) left the SEC roster (was $978.7M RAUM, 22 reps). IAPD ↗
$978.7M RAUM · 22 reps · 636-532-0088
Recruiting & transitionsM&A & valuation
63
LOKKEN INVESTMENT GROUP, LLC (LEWES, DE) left the SEC roster (was $366.5M RAUM, 3 reps). IAPD ↗
$366.5M RAUM · 3 reps · 302-645-6650
Recruiting & transitionsM&A & valuation
63
WELLS TRECASO FINANCIAL GROUP, LLC (AKRON, OH) left the SEC roster (was $533.3M RAUM, 4 reps). IAPD ↗
$533.3M RAUM · 4 reps · 330-752-1547
Recruiting & transitionsM&A & valuation
63
PROTECTION POINT ADVISORS (ROSEVILLE, CA) left the SEC roster (was $578.4M RAUM, 13 reps). IAPD ↗
$578.4M RAUM · 13 reps · 916-367-4540 · protectionpointadvisors.com
Recruiting & transitionsM&A & valuation
63
VISHRIA BIRD FINANCIAL GROUP, LLC (MEMPHIS, TN) left the SEC roster (was $599.7M RAUM, 6 reps). IAPD ↗
$599.7M RAUM · 6 reps · 901-216-1600 · vbfinancialgroup.com
Recruiting & transitionsM&A & valuation
63
HART & PATTERSON FINANCIAL GROUP (AMHERST, MA) left the SEC roster (was $275.6M RAUM, 2 reps). IAPD ↗
$275.6M RAUM · 2 reps · (413) 253-9454 · hartpatterson.com
Recruiting & transitionsM&A & valuation
63
OLIVER LAGORE VANVALIN INVESTMENT GROUP, INC. (FLINT, MI) left the SEC roster (was $607.1M RAUM, 14 reps). IAPD ↗
$607.1M RAUM · 14 reps · 810-744-4450
Recruiting & transitionsM&A & valuation
63
BIP ALLIANCE, LLC (ATLANTA, GA) left the SEC roster (was $328.1M RAUM, 4 reps). IAPD ↗
$328.1M RAUM · 4 reps · 404-495-5230 · bipwealth.com
Recruiting & transitionsM&A & valuation
60
NEW CENTURY FINANCIAL GROUP, LLC (PRINCETON, NJ) left the SEC roster (was $192.9M RAUM, 14 reps). IAPD ↗
$192.9M RAUM · 14 reps · (609)924-2049 · newcenturygroup.com
Recruiting & transitionsM&A & valuation
60
STEVEN CHARLES CAPITAL LTD (ROCHESTER, NY) left the SEC roster (was $125.0M RAUM, 2 reps). IAPD ↗
$125.0M RAUM · 2 reps · 585-325-1870 · stevencharlescapital.com
Recruiting & transitionsM&A & valuation
60
BRETON CO (MEDFORD, NJ) left the SEC roster (was $134.0M RAUM, 2 reps). IAPD ↗
$134.0M RAUM · 2 reps · 609-654-1212
Recruiting & transitionsM&A & valuation
60
GARLAND CAPITAL MANAGEMENT INC (BELLEVUE, WA) left the SEC roster (was $178.7M RAUM, 2 reps). IAPD ↗
$178.7M RAUM · 2 reps · 425-646-7366 · garlandcapital.com
Recruiting & transitionsM&A & valuation
60
MORNINGSTAR INVESTMENT SERVICES LLC (CHICAGO, IL) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 312-696-6000
Recruiting & transitionsM&A & valuation
60
FINANCIAL STRATEGIES INVESTMENT ADVISOR SERVICES, INC. (BETHEL, CT) left the SEC roster (was $103.9M RAUM, 4 reps). IAPD ↗
$103.9M RAUM · 4 reps · 203-798-9873 · fsias.com
Recruiting & transitionsM&A & valuation
60
BROWN WEALTH MANAGEMENT, LLC (EDEN PRAIRIE, MN) left the SEC roster (was $199.5M RAUM, 2 reps). IAPD ↗
$199.5M RAUM · 2 reps · 952-303-6715 · brownwealth.com
Recruiting & transitionsM&A & valuation
60
SHORELINE WEALTH ADVISORS (NEW CASTLE, IN) left the SEC roster (was $245.0M RAUM, 6 reps). IAPD ↗
$245.0M RAUM · 6 reps · 765-593-2487
Recruiting & transitionsM&A & valuation
60
KAHLER FINANCIAL GROUP, INC. (RAPID CITY, SD) left the SEC roster (was $173.9M RAUM, 7 reps). IAPD ↗
$173.9M RAUM · 7 reps · 605-343-1400
Recruiting & transitionsM&A & valuation
60
BILKEYKATZ INVESTMENT CONSULTANTS (PITTSBURGH, PA) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · 412-803-9900 · bilkeykatz.com
Recruiting & transitionsM&A & valuation
60
SAGEVIEW PRIVATE CLIENT GROUP, LLC (NEWPORT BEACH, CA) left the SEC roster (was $0 RAUM, 6 reps). IAPD ↗
$0 RAUM · 6 reps · 949-955-1395
Recruiting & transitionsM&A & valuation
60
PARKS CAPITAL (PITTSFORD, NY) left the SEC roster (was $82.9M RAUM, 2 reps). IAPD ↗
$82.9M RAUM · 2 reps · 585-248-5700
Recruiting & transitionsM&A & valuation
60
EAGLESTONE WEALTH ADVISORS, INC. (ROCKVILLE, MD) left the SEC roster (was $197.7M RAUM, 5 reps). IAPD ↗
$197.7M RAUM · 5 reps · 301-924-2160 · estwa.com
Recruiting & transitionsM&A & valuation
60
LIVE OAK FAMILY OFFICES LLC (ST. PETERSBURG, FL) left the SEC roster (was $158.3M RAUM, 2 reps). IAPD ↗
$158.3M RAUM · 2 reps · 727-576-1245 · lofollc.com
Recruiting & transitionsM&A & valuation
60
KOBO WEALTH CONSERVANCY (HONOLULU, HI) left the SEC roster (was $155.4M RAUM, 2 reps). IAPD ↗
$155.4M RAUM · 2 reps · 808-546-1001 · kobowealth.com
Recruiting & transitionsM&A & valuation
60
A.T. LLOYD'S, INC (SEATTLE, WA) left the SEC roster (was $118.6M RAUM, 1 reps). IAPD ↗
$118.6M RAUM · 1 reps · 206-443-6214 · atlloydinc.com
Recruiting & transitionsM&A & valuation
60
GRAND STRATEGY CAPITAL, LLC (CHARLOTTESVILLE, VA) left the SEC roster (was $137.7M RAUM, 3 reps). IAPD ↗
$137.7M RAUM · 3 reps · 434-202-0238 · gscapllc.com
Recruiting & transitionsM&A & valuation
60
ARISTOTLE CREDIT PARTNERS, LLC (LOS ANGELES, CA) left the SEC roster (was $81.1M RAUM, 2 reps). IAPD ↗
$81.1M RAUM · 2 reps · 949-681-2100
Recruiting & transitionsM&A & valuation
60
ACCREDITED WEALTH MANAGEMENT LLC (LOUISVILLE, KY) left the SEC roster (was $158.9M RAUM, 3 reps). IAPD ↗
$158.9M RAUM · 3 reps · 502-290-1905 · accreditedwm.com
Recruiting & transitionsM&A & valuation
60
PUISSANCE CAPITAL MANAGEMENT LP (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 212-878-3702 · puissancecapital.com
Recruiting & transitionsM&A & valuation
60
BROWN FINANCIAL MANAGEMENT GROUP, LLC (LATHAM, NY) left the SEC roster (was $56.8M RAUM, 1 reps). IAPD ↗
$56.8M RAUM · 1 reps · 518-464-9974 · thomasjbrown.com
Recruiting & transitionsM&A & valuation
60
TOUCHSTONE CAPITAL, INC. (PITTSBURGH, PA) left the SEC roster (was $101.9M RAUM, 4 reps). IAPD ↗
$101.9M RAUM · 4 reps · (724) 933-8388 · touchstonecapital.com
Recruiting & transitionsM&A & valuation
60
NORTHSTAR FINANCIAL MANAGEMENT, INC. (MOSCOW, ID) left the SEC roster (was $119.4M RAUM, 3 reps). IAPD ↗
$119.4M RAUM · 3 reps · (208)810-4938
Recruiting & transitionsM&A & valuation
60
BRENTON POINT WEALTH ADVISORS LLC (NEW YORK, NY) left the SEC roster (was $27.7M RAUM, 4 reps). IAPD ↗
$27.7M RAUM · 4 reps · 212-451-1400 · brentonpoint.com
Recruiting & transitionsM&A & valuation
60
1858 WEALTH MANAGEMENT, LLC (AKRON, OH) left the SEC roster (was $207.4M RAUM, 2 reps). IAPD ↗
$207.4M RAUM · 2 reps · (234) 678-5183 · 1858wm.com
Recruiting & transitionsM&A & valuation
60
FORTHRIGHT PARTNERS LLC (ATLANTA, GA) left the SEC roster (was $136.5M RAUM, 2 reps). IAPD ↗
$136.5M RAUM · 2 reps · 404-596-4550 · forthrightinvestments.com
Recruiting & transitionsM&A & valuation
60
CONSTITUTION WEALTH LLC (location n/a) left the SEC roster (was $53.5M RAUM, 6 reps). IAPD ↗
$53.5M RAUM · 6 reps · 866-463-1776 · gab.com
Recruiting & transitionsM&A & valuation
60
BLUE HERON INFRASTRUCTURE (location n/a) left the SEC roster (was $43.7M RAUM, 1 reps). IAPD ↗
$43.7M RAUM · 1 reps · 781-729-0962 · blueheroninfrastructure.com
Recruiting & transitionsM&A & valuation
60
ALLIO ADVISORS (SEATTLE, WA) left the SEC roster (was $556,892 RAUM, 1 reps). IAPD ↗
$556,892 RAUM · 1 reps · 888-969-4932 · alliocapital.com
Recruiting & transitionsM&A & valuation
60
KORZO FINANCIAL LLC (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 415-449-5555
Recruiting & transitionsM&A & valuation
60
PLENTY FINANCIAL RIA, LLC (SAN FRANCISCO, CA) left the SEC roster (was $6.2M RAUM, 1 reps). IAPD ↗
$6.2M RAUM · 1 reps · 628-333-3863
Recruiting & transitionsM&A & valuation
60
16ROCK ASSET MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $66.9M RAUM, 1 reps). IAPD ↗
$66.9M RAUM · 1 reps · 212-332-1600 · 16rock.com
Recruiting & transitionsM&A & valuation
60
ATHENA ADVISORY (AUSTIN, TX) left the SEC roster (was $2,000 RAUM, 1 reps). IAPD ↗
$2,000 RAUM · 1 reps · (773) 814-6337 · advicebyathena.com
Recruiting & transitionsM&A & valuation
60
EDLY ADVISORS (WHITE PLAINS, NY) left the SEC roster (was $19.8M RAUM, 2 reps). IAPD ↗
$19.8M RAUM · 2 reps · (914) 785-8344 · edly.co
Recruiting & transitionsM&A & valuation
60
PRAESTANTIA CAPITAL, LLC (SAN ANTONIO, TX) left the SEC roster — its 120-day provisional registration did not convert (was $1.8M RAUM, 1 reps). IAPD ↗
$1.8M RAUM · 1 reps · 210-852-7206 · praestantia-capital.com
Recruiting & transitionsM&A & valuation
60
GRACE ADVISORS LLC (WILMINGTON, DE) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 0 reps). IAPD ↗
$0 RAUM · 0 reps · 212-540-4295 · grace.money
Recruiting & transitionsM&A & valuation
60
DESERT SKY ADVISORY, LLC (PORTLAND, OR) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 503-635-5244
Recruiting & transitionsM&A & valuation
60
HARPER GLOBAL GROUP (SAN FRANCISCO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 415-397-6200 · harperglobalgroup.com
Recruiting & transitionsM&A & valuation
55
EMSO ASSET MANAGEMENT US LLC (GREENWICH, CT) left the SEC roster (was $4.42B RAUM, 6 reps). IAPD ↗institutional
$4.42B RAUM · 6 reps · 212-307-8905 · emso.com
Recruiting & transitionsM&A & valuation
53
BRYCE POINT CAPITAL LLC (SCARSDALE, NY) left the SEC roster (was $713.1M RAUM, 2 reps). IAPD ↗institutional
$713.1M RAUM · 2 reps · 646-450-0445
Recruiting & transitionsM&A & valuation
50
KOLL BREN SCHREIBER REALTY ADVISORS, INC. (NEWPORT BEACH, CA) left the SEC roster (was $128,212 RAUM, 3 reps). IAPD ↗institutional
$128,212 RAUM · 3 reps · 949-417-6500
Recruiting & transitionsM&A & valuation
50
ALPHA ASSET CONSULTING LLC (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 303-321-3837
Recruiting & transitionsM&A & valuation
50
ALTEGRIS ADVISORS, LLC (SAN JUAN CAPISTRANO, CA) left the SEC roster (was $149.6M RAUM, 1 reps). IAPD ↗institutional
$149.6M RAUM · 1 reps · 858-459-7040
Recruiting & transitionsM&A & valuation
50
RIVULET CAPITAL, LLC (SUMMIT, NJ) left the SEC roster (was $1.84B RAUM, 8 reps). IAPD ↗fund
$1.84B RAUM · 8 reps · 212-756-8700 · rivuletcap.com
Recruiting & transitionsM&A & valuation
50
CAPITAL UNITED, LLC (HILLSBORO, OR) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · (424) 279-8308 · capunited.com
Recruiting & transitionsM&A & valuation
50
ELMTREE FUNDS, LLC (ST. LOUIS, MO) left the SEC roster (was $7.23B RAUM, 18 reps). IAPD ↗fund
$7.23B RAUM · 18 reps · (314) 828-4200 · elmtreefunds.com
Recruiting & transitionsM&A & valuation
50
CANDLESTICK CAPITAL MANAGEMENT LP (GREENWICH, CT) left the SEC roster (was $5.16B RAUM, 30 reps). IAPD ↗fund
$5.16B RAUM · 30 reps · 203-889-4340
Recruiting & transitionsM&A & valuation
50
GOALSETTER GOLD (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 1 800 746 9193 · goalsetter.co
Recruiting & transitionsM&A & valuation
50
EISLER CAPITAL (US) LLC (NEW YORK, NY) left the SEC roster (was $33.00B RAUM, 63 reps). IAPD ↗fund
$33.00B RAUM · 63 reps · +1 332 455 0400
Recruiting & transitionsM&A & valuation
50
LEDGER ILS MANAGERS, LLC (NEW YORK, NY) left the SEC roster (was $32.1M RAUM, 2 reps). IAPD ↗institutional
$32.1M RAUM · 2 reps · 510-590-2868
Recruiting & transitionsM&A & valuation
50
RUDOI S.R.L. (location n/a) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 415-226-7037 · rudoisrl.com
Recruiting & transitionsM&A & valuation
50
STRIVE ADVISORY, LLC (DALLAS, TX) left the SEC roster (was $0 RAUM, 5 reps). IAPD ↗institutional
$0 RAUM · 5 reps · 855-427-7360 · strive.com
Recruiting & transitionsM&A & valuation
50
PINEGROVE OPPORTUNITY PARTNERS LLC (SAN FRANCISCO, CA) left the SEC roster (was $1.18B RAUM, 8 reps). IAPD ↗fund
$1.18B RAUM · 8 reps · 626-676-0710 · pinegrovecp.com
Recruiting & transitionsM&A & valuation
50
ARCTRUST ADVISORS LLC (CLIFTON, NJ) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 9 reps). IAPD ↗institutional
$0 RAUM · 9 reps · 973-249-1000
Recruiting & transitionsM&A & valuation
48
INDABA CAPITAL MANAGEMENT, L.P. (SAN FRANCISCO, CA) left the SEC roster (was $736.8M RAUM, 7 reps). IAPD ↗fund
$736.8M RAUM · 7 reps · 415-680-1030 · indabacapital.com
Recruiting & transitionsM&A & valuation
48
APPIAN WAY ASSET MANAGEMENT LP (NEW YORK, NY) left the SEC roster (was $795.2M RAUM, 7 reps). IAPD ↗fund
$795.2M RAUM · 7 reps · 212-931-1173 · appianasset.com
Recruiting & transitionsM&A & valuation
48
KBIT MANAGEMENT LTD. (location n/a) left the SEC roster (was $306.1M RAUM, 13 reps). IAPD ↗fund
$306.1M RAUM · 13 reps · 775-902-2099
Recruiting & transitionsM&A & valuation
48
FIRMAMENT CAP ADVISORS, LLC (NEW YORK, NY) left the SEC roster (was $277.8M RAUM, 18 reps). IAPD ↗fund
$277.8M RAUM · 18 reps · 212-956-1061
Recruiting & transitionsM&A & valuation
45
IRVING PLACE CAPITAL MANAGEMENT, L.P. (NEW YORK, NY) left the SEC roster (was $113.9M RAUM, 8 reps). IAPD ↗fund
$113.9M RAUM · 8 reps · 212-551-4500 · irvingplacecapital.com
Recruiting & transitionsM&A & valuation
45
LAP LATIN AMERICAN PARTNERS (WASHINGTON, DC) left the SEC roster (was $156.7M RAUM, 9 reps). IAPD ↗fund
$156.7M RAUM · 9 reps · +1 (202) 530-3180 · latinamericanpartners.com
Recruiting & transitionsM&A & valuation
45
OMPHALOS PARTNERS, LLC (MARYVILLE, TN) left the SEC roster (was $45.0M RAUM, 2 reps). IAPD ↗fund
$45.0M RAUM · 2 reps · 865-740-0764
Recruiting & transitionsM&A & valuation
45
MIDWAY WEALTH PARTNERS, LLC (ARLINGTON HEIGHTS, IL) left the SEC roster (was $165.9M RAUM, 4 reps). IAPD ↗fund
$165.9M RAUM · 4 reps · (847) 787-1144 · midwaywp.com
Recruiting & transitionsM&A & valuation
45
SKKY PARTNERS, LP (BOSTON, MA) left the SEC roster (was $114.4M RAUM, 7 reps). IAPD ↗fund
$114.4M RAUM · 7 reps · 857-274-0383 · skky.com
Recruiting & transitionsM&A & valuation
35
MACQUARIE INVESTMENT MANAGEMENT AUSTRIA KAPITALANLAGE AG (VIENNA, Austria) left the SEC roster (was $12.27B RAUM, 12 reps). IAPD ↗foreign
$12.27B RAUM · 12 reps · 43 676 3030 961 · macquarie.at
Recruiting & transitionsM&A & valuation
30
QUIENA INVERSIONES (CIUDAD DE BUENOS AIRES, Argentina) left the SEC roster (was $8.2M RAUM, 1 reps). IAPD ↗foreign
$8.2M RAUM · 1 reps · +5491126596489 · quiena.com
Recruiting & transitionsM&A & valuation
30
HIGHER PARK LIMITED (LONDON, United Kingdom) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 10 reps). IAPD ↗foreign
$0 RAUM · 10 reps · +44 0203 763 3815 · higherpark.co
Recruiting & transitionsM&A & valuation
new registration — 115 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
98
TACTICA LLC (location n/a) is newly SEC-registered with $418.0M RAUM and 1 advisory reps. IAPD ↗
$418.0M RAUM · 1 reps · 787-585-8095
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PROSPERITY FINANCIAL GROUP, INC. (SAN RAMON, CA) is newly SEC-registered with $358.9M RAUM and 9 advisory reps. IAPD ↗
$358.9M RAUM · 9 reps · 925-314-8500 · 401kprosperityfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SYCAMORE INVESTMENT CONSULTING SERVICES, LLC (MADISON, WI) is newly SEC-registered with $159.6M RAUM and 2 advisory reps. IAPD ↗
$159.6M RAUM · 2 reps · 608-827-6414
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRITY WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $105.4M RAUM and 3 advisory reps. IAPD ↗
$105.4M RAUM · 3 reps · 513-289-2625 · iwmcfp.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BELLEAIR WEALTH MANAGEMENT, LLC (BELLEAIR BLUFFS, FL) is newly SEC-registered with $113.0M RAUM and 5 advisory reps. IAPD ↗
$113.0M RAUM · 5 reps · 727-586-5655
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
A SLING & A STONE, INCORPORATED (BURNET, TX) is newly SEC-registered with $105.2M RAUM and 2 advisory reps. IAPD ↗
$105.2M RAUM · 2 reps · 512-553-5151 · investorsadv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARM FINANCIAL LLC (location n/a) is newly SEC-registered with $45.1M RAUM and 1 advisory reps. IAPD ↗
$45.1M RAUM · 1 reps · 617-520-4044 · indexplus.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GENESIS ADVISORS, LLC (FISHERS, IN) is newly SEC-registered with $120.6M RAUM and 4 advisory reps. IAPD ↗
$120.6M RAUM · 4 reps · 317-577-6900 · genesisadvisors.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ESMEB INC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 703-340-8011 · waterfallwealth.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL AVENUES (location n/a) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
$127.7M RAUM · 2 reps · 913-735-7283 · myfinancialavenues.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORTITUDE WEALTH MANAGEMENT (MURFREESBORO, TN) is newly SEC-registered with $103.0M RAUM and 1 advisory reps. IAPD ↗
$103.0M RAUM · 1 reps · 615-878-2134 · jasonquallscfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SIGNAL RIDGE CAPITAL PARTNERS, LLC (FRAMINGHAM, MA) is newly SEC-registered with $110.6M RAUM and 4 advisory reps. IAPD ↗
$110.6M RAUM · 4 reps · 617-607-3222
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VERSATILE CAPITAL MANAGEMENT L.L.C. (CHICAGO, IL) is newly SEC-registered with $114.2M RAUM and 2 advisory reps. IAPD ↗
$114.2M RAUM · 2 reps · 312-981-9848
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIA CAPITAL GROUP, LLC (WESLEY CHAPEL, FL) is newly SEC-registered with $113.4M RAUM and 3 advisory reps. IAPD ↗
$113.4M RAUM · 3 reps · 813-448-1122
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LDN WEALTH, LLC (ORLANDO, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (407) 567 1945
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHRISE FINANCIAL PLANNING, LLC (CARLSBAD, CA) is newly SEC-registered with $124.2M RAUM and 2 advisory reps. IAPD ↗
$124.2M RAUM · 2 reps · (760) 508-0368
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IMPACT FIDUCIARY LLC (PASADENA, CA) is newly SEC-registered with $116.0M RAUM and 2 advisory reps. IAPD ↗
$116.0M RAUM · 2 reps · 323-615-1427
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PROSPERO WEALTH, LLC (location n/a) is newly SEC-registered with $100.3M RAUM and 7 advisory reps. IAPD ↗
$100.3M RAUM · 7 reps · 971-716-1991
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CENTRAL WEALTH MANAGEMENT LLC (MADISON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 608-841-1555
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE JAY FINANCIAL GROUP, LLC (DEFIANCE, OH) is newly SEC-registered with $107.1M RAUM and 2 advisory reps. IAPD ↗
$107.1M RAUM · 2 reps · 419-785-4525
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MODERN FINANCIAL PLANNING (GEORGETOWN, TX) is newly SEC-registered with $110.0M RAUM and 2 advisory reps. IAPD ↗
$110.0M RAUM · 2 reps · (510) 519-7009 · modernfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MD WEALTH MANAGEMENT, LLC (CHELSEA, MI) is newly SEC-registered with $105.9M RAUM and 2 advisory reps. IAPD ↗
$105.9M RAUM · 2 reps · 734-433-9600 · mdwmllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OMNITRUST WEALTH MANAGEMENT, INC. (JACKSONVILLE, FL) is newly SEC-registered with $106.1M RAUM and 1 advisory reps. IAPD ↗
$106.1M RAUM · 1 reps · 904-619-4351
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINAMEX ASSET MANAGEMENT, LLC (HOUSTON, TX) is newly SEC-registered with $104.0M RAUM and 4 advisory reps. IAPD ↗
$104.0M RAUM · 4 reps · 713-589-7121
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MUSE CAPITAL MANAGEMENT LLC (SANTA MONICA, CA) is newly SEC-registered with $103.8M RAUM and 1 advisory reps. IAPD ↗
$103.8M RAUM · 1 reps · 908-752-1002 · musecap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CALEO CAPITAL N.A. LLC (PONTE VEDRA, FL) is newly SEC-registered with $100.8M RAUM and 4 advisory reps. IAPD ↗
$100.8M RAUM · 4 reps · 609 838 1245 · caleocapital-usa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WMK INVESTMENT PARTNERS (location n/a) is newly SEC-registered with $129.3M RAUM and 4 advisory reps. IAPD ↗
$129.3M RAUM · 4 reps · (818) 804-1508 · wmkinvestmentpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COPPERWOOD FINANCIAL (BURR RIDGE, IL) is newly SEC-registered with $108.4M RAUM and 3 advisory reps. IAPD ↗
$108.4M RAUM · 3 reps · 630-581-8998
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SMP FINANCIAL PLANNING, LLC (location n/a) is newly SEC-registered with $64.4M RAUM and 2 advisory reps. IAPD ↗
$64.4M RAUM · 2 reps · (202) 450-0784 · smpfinancialplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BICE WEALTH MANAGEMENT LLC (MIAMI, FL) is newly SEC-registered with $147.7M RAUM and 2 advisory reps. IAPD ↗
$147.7M RAUM · 2 reps · 786-266-4597
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARSENAL CAPITAL ADVISORS LLC (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 610-564-9134 · arsenalcapitaladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SWIFTWATER CAPITAL (location n/a) is newly SEC-registered with $169.7M RAUM and 1 advisory reps. IAPD ↗
$169.7M RAUM · 1 reps · 971-453-0130 · swiftwater.capital
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRIVATE CLIENT ADVISOR GROUP, LLC (PALM CITY, FL) is newly SEC-registered with $110.2M RAUM and 5 advisory reps. IAPD ↗
$110.2M RAUM · 5 reps · 516-241-3934 · privateclientadvisor.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APRICITY FINANCIAL, LLC (location n/a) is newly SEC-registered with $108.8M RAUM and 4 advisory reps. IAPD ↗
$108.8M RAUM · 4 reps · 855-449-7100 · apricity-advisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KINGWOOD INVESTMENT GROUP (KINGWOOD, TX) is newly SEC-registered with $120.1M RAUM and 4 advisory reps. IAPD ↗
$120.1M RAUM · 4 reps · 281-359-7900 · thekig.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE BEAR FINANCIAL, LLC (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
$141.9M RAUM · 1 reps · (843) 654-1388
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
XENA FINANCIAL PLANNING, LLC (PORTLAND, OR) is newly SEC-registered with $100.2M RAUM and 2 advisory reps. IAPD ↗
$100.2M RAUM · 2 reps · (503) 714-7357 · xenafp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IGW ADVISORY INVESTMENT MANAGEMENT LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 646-717-4509 · igwadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WILLOW CREEK CAPITAL MANAGEMENT, INC. (MISSOULA, MT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 406-830-3286 · raymondjames.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ERA FINANCIAL ADVISORS (COVINA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 530-208-9249
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INGOT FINANCE (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 702 326 5885
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ASCENT ADVISORS (MANKATO, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 952-444-3100
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RISE NORTH CAPITAL INVESTMENT ADVISORS (BRAINTREE, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 13 advisory reps. IAPD ↗
$0 RAUM · 13 reps · (781) 519-6969
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OMEN ADVISORY, LLC (location n/a) is newly SEC-registered with $36,000 RAUM and 1 advisory reps. IAPD ↗
$36,000 RAUM · 1 reps · 330-583-4914
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAVILE CAPITAL MANAGEMENT LLC (SHERIDAN, WY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 307-655-1008
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ACTIV8 FAMILY OFFICE LLC (MCLEAN, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 978-870-0255 · activ8familyoffice.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FERGHANA INVESTMENT PARTNERS, LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (212) 763-4823 · ferghanaip.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ASK DOLLY (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 720-432-6841 · askdolly.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AHAKISTA CAPITAL LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 212-698-0706
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
8FIGURES (DOVER, DE) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 4158897717
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLERA (COSTA MESA, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · +1 (661) 889-7456 · askclera.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
501 NORTH, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · (212) 887-7777
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SENTINEL ADVISORY GROUP, LLC (MIDDLETON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 608-579-9350
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLAB CAPITAL (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 415-317-5100 · colab-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PARADIGM GLOBAL INVESTORS (DALLAS, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 774-836-6011 · paradigmglobalinvestors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HIGHBROOK CAPITAL PARTNERS (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 205-383-7962
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
R2 WEALTH MANAGEMENT PARTNERS (LINCOLN, NE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 402-489-9375
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EMBERVEST (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 301-523-8456 · embervest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ENDOWE ADVISORY LLC (SAN JOSE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 650-469-3120 · endowe.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BAYTRUST WEALTH MANAGEMENT, LLC (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 813-820-0069 · baytrust.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NAMSOFT ADVISORS, LLC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 425-736-6508 · runplutus.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PULLIAM FAMILY OFFICE, LLC (CRESTED BUTTE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 972-947-9400 · pulliamfamilyoffice.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FFO INVESTMENTS LLC (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · (302) 584-3415 · thefractionalfamilyoffice.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WASHINGTON PARK CAPITAL MANAGEMENT, LLC (PORTLAND, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 503-222-9917 · waparkadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IMPERITY WEALTH ALLIANCE LLC (MELVILLE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 14 advisory reps. IAPD ↗
$0 RAUM · 14 reps · 800-203-2702 · acsadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VALOREM LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-837-8846 · valoremwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILLER FINANCIAL SERVICES, INC. (SAN JUAN CAPISTRANO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 949-218-9419 · millerfinancialservicesinc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MODELL CAPITAL MANAGEMENT LLC (ROCHESTER, MI) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (248) 723-8000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PARKSIDE FAMILY OFFICE LLC (EDMONDS, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 425-238-4356
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CATTON CAPITAL PARTNERS, LLC (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 415-234-0470 · cattoncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NORTHILL AIMS, LLC (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (972) 480-6202
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MFT WEALTH MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 617-800-7922 · mftwealth.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANCASTER (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 917-859-2815 · lancaster.am
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEPHEN SMITH FINANCIAL INC. (SCHAUMBURG, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 847-337-1022
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HV CAPITAL MANAGEMENT (MONTGOMERY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 845-655-4826 · hvcapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPENDVEST (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 775-636-2906
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VERTRIX WEALTH MANAGEMENT, LLC (TROY, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (248) 602 0555 · vertrixwm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TECTONIC CAPITAL ADVISORS, LLC (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (713) 250-4200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OASYS WEALTH, INC. (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 617-608-8702 · oasyswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
88
PARK LANE ADVISORS, LLC (BIRMINGHAM, AL) is newly SEC-registered with $553.5M RAUM and 4 advisory reps. IAPD ↗institutional
$553.5M RAUM · 4 reps · 205-383-8782 · tenet-partners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
INFINITE GIVING ADVISORY SERVICES, INC. (ATLANTA, GA) is newly SEC-registered with $100.1M RAUM and 2 advisory reps. IAPD ↗institutional
$100.1M RAUM · 2 reps · (888) 926-4483
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
INTER US MANAGEMENT, LLC (MIAMI, FL) is newly SEC-registered with $77.8M RAUM and 5 advisory reps. IAPD ↗institutional
$77.8M RAUM · 5 reps · 786-671-3506
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FELIS ADVANTAGE, LP (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (617) 702-7450
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ARGO INFRASTRUCTURE MANAGEMENT, LP (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 13 advisory reps. IAPD ↗institutional
$0 RAUM · 13 reps · 212-521 5096
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
WILLIS ASSET FINANCE MANAGEMENT LLC (COCONUT CREEK, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · (561) 349-9989
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
EMERGING CAPITAL PARTNERS (WASHINGTON, DC) is newly SEC-registered with $1.06B RAUM and 5 advisory reps. IAPD ↗fund
$1.06B RAUM · 5 reps · 2022806200 · ecpinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
NINTH AVENUE CAPITAL, LP (KANSAS CITY, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
$0 RAUM · 7 reps · (816) 427-8758 · ninthavenuecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
COMVEST PE ADVISORS, LLC (WEST PALM BEACH, FL) is newly SEC-registered with $2.16B RAUM and 23 advisory reps. IAPD ↗fund
$2.16B RAUM · 23 reps · 561-727-2000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
OTTER ROCK ADVISORS LP (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 415-830-0509 · otterrocklp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
AUREON MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 917-767-3845
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MRE MANAGEMENT, LLC (ANNAPOLIS, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 443-808-1491 · mre-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PARK SQUARE CAPITAL USA LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $20.75B RAUM and 53 advisory reps. IAPD ↗fund
$20.75B RAUM · 53 reps · 1-646-681-4905
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
OLD BARN CAPITAL LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $105.3M RAUM and 1 advisory reps. IAPD ↗institutional
$105.3M RAUM · 1 reps · 717-329-7970
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BIRCHWOOD CREEK CAPITAL MANAGEMENT LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · 973-224-0169
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ELMTREE FUNDS, LLC (ST. LOUIS, MO) is newly SEC-registered with $7.51B RAUM and 18 advisory reps. IAPD ↗fund
$7.51B RAUM · 18 reps · (314) 828-4200 · elmtreefunds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
VAULT FIDUCIARY LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 845-304-4858
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PRELUDE INVESTMENT SERVICES (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 707-394-8355 · prelude.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TAMARISK CAPITAL MANAGEMENT (HOLLAND, MI) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 616-820-1040
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
DHM PARTNERS LLC (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 508-776-0094
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
OAKLAWN CAPITAL MANAGEMENT LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 646-370-0416
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
AVICENE (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 646-734-2620
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SHOTEN CAPITAL LP (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 512-265-3800 · shotencapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
FUTURE POSITIVE (NEW YORK, NY) is newly SEC-registered with $255.7M RAUM and 3 advisory reps. IAPD ↗fund
$255.7M RAUM · 3 reps · 646-867-9160 · futurepositive.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MOZAYYX MANAGEMENT LLC (AUSTIN, TX) is newly SEC-registered with $530.6M RAUM and 2 advisory reps. IAPD ↗fund
$530.6M RAUM · 2 reps · 512-522-9690 · mozayyx.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ARDINALL INVESTMENT MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $36.2M RAUM and 2 advisory reps. IAPD ↗fund
$36.2M RAUM · 2 reps · (212) 203-1210 · ardinall.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
DELLORA INVESTMENTS LP (GREENWICH, CT) is newly SEC-registered with $95.3M RAUM and 3 advisory reps. IAPD ↗fund
$95.3M RAUM · 3 reps · 203-632-6341 · dellora.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
THE COPIA GROUP (CHICAGO, IL) is newly SEC-registered with $118.9M RAUM and 6 advisory reps. IAPD ↗fund
$118.9M RAUM · 6 reps · 312-564-8521 · copiagroupllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BULLET VENTURES MANAGEMENT LTD (location n/a) is newly SEC-registered with $13.6M RAUM and 2 advisory reps. IAPD ↗fund
$13.6M RAUM · 2 reps · 972547693060
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
LIFE CYCLE INVESTMENT PARTNERS LIMITED (LONDON, United Kingdom) is newly SEC-registered with $17.30B RAUM and 8 advisory reps. IAPD ↗foreign
$17.30B RAUM · 8 reps · 44-20-4591-8446 · lcip.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
PASCAL INVESTMENT ADVISERS SA (GENEVA, Switzerland) is newly SEC-registered with $874.3M RAUM and 4 advisory reps. IAPD ↗foreign
$874.3M RAUM · 4 reps · 41227187400 · pascaladvisers.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
VULPES INVESTMENT MANAGEMENT PRIVATE LIMITED (SINGAPORE, Singapore) is newly SEC-registered with $157.5M RAUM and 3 advisory reps. IAPD ↗foreign
$157.5M RAUM · 3 reps · +65 6538 1998 · vulpesinvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
AFRICA MUTUAL GLOBAL INVESTMENT MANAGEMENT INC (ACCRA, Ghana) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 1 (857) 756-0377
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
ACTIVEALPHA INVESTMENT ADVISORS (MUMBAI, MAHARASHTRA, India) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗foreign
$0 RAUM · 6 reps · +91 999 666 9999 · activealphagroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
ROVIA ADVISORS LLC (BANGALORE, KAMATAKA, India) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 917710041211
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
BULLGROUND (CIUDAD DE MÉXICO, Mexico) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · +52 55 3120 7257 · bullground.mx
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 84 Count of additional offices increased.
55
D.A. DAVIDSON & CO. added office(s): 98 -> 100 additional locations. IAPD ↗
$41.84B RAUM · 410 reps · 406-727-4200
Office IT & facilitiesCRMRecruiting & transitions
55
RAYMOND JAMES & ASSOCIATES, INC. added office(s): 635 -> 817 additional locations. IAPD ↗
$500.96B RAUM · 5683 reps · 727-567-1000
Office IT & facilitiesCRMRecruiting & transitions
55
NOTTINGHAM ADVISORS INC. added office(s): 4 -> 5 additional locations. IAPD ↗
$1.65B RAUM · 6 reps · 716-633-3800
Office IT & facilitiesCRMRecruiting & transitions
55
EARNED WEALTH ADVISORS, LLC added office(s): 15 -> 20 additional locations. IAPD ↗
$1.92B RAUM · 28 reps · 925.939.2500
Office IT & facilitiesCRMRecruiting & transitions
55
EMBREE FINANCIAL GROUP added office(s): 4 -> 5 additional locations. IAPD ↗
$2.28B RAUM · 14 reps · 312-527-5565
Office IT & facilitiesCRMRecruiting & transitions
55
CAPITAL ADVANTAGE, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$1.11B RAUM · 9 reps · 925-299-1500
Office IT & facilitiesCRMRecruiting & transitions
55
FINANCIAL MANAGEMENT NETWORK INC added office(s): 1 -> 2 additional locations. IAPD ↗
$2.14B RAUM · 21 reps · 949-455-0300 · fmnbenefits.com
Office IT & facilitiesCRMRecruiting & transitions
55
WAVERLY ADVISORS, LLC added office(s): 42 -> 43 additional locations. IAPD ↗
$28.26B RAUM · 197 reps · 205-871-3334 · waverly-advisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
CERTUITY, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$3.10B RAUM · 10 reps · 561-693-3255 · certuity.com
Office IT & facilitiesCRMRecruiting & transitions
55
CLEARBRIDGE INVESTMENTS, LLC added office(s): 6 -> 8 additional locations. IAPD ↗
$184.81B RAUM · 71 reps · 212-805-2000
Office IT & facilitiesCRMRecruiting & transitions
55
MAINSTREET ADVISORS added office(s): 2 -> 4 additional locations. IAPD ↗
$5.41B RAUM · 6 reps · 312-223-0270
Office IT & facilitiesCRMRecruiting & transitions
55
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC added office(s): 2552 -> 3629 additional locations. IAPD ↗
$390.04B RAUM · 6024 reps · 727-567-3020
Office IT & facilitiesCRMRecruiting & transitions
55
GLASSMAN WEALTH SERVICES, LLC added office(s): 14 -> 15 additional locations. IAPD ↗
$2.19B RAUM · 13 reps · 703-534-4444
Office IT & facilitiesCRMRecruiting & transitions
55
GALVIN, GAUSTAD & STEIN, LLC added office(s): 8 -> 9 additional locations. IAPD ↗
$1.22B RAUM · 17 reps · 480-776-1445 · ggsadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
ASHTON THOMAS PRIVATE WEALTH added office(s): 23 -> 25 additional locations. IAPD ↗
$4.05B RAUM · 35 reps · 602-732-4745
Office IT & facilitiesCRMRecruiting & transitions
55
SOLTIS INVESTMENT ADVISORS, LLC added office(s): 9 -> 12 additional locations. IAPD ↗
$8.35B RAUM · 51 reps · 435-674-1600 · soltisadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
PRIVATE CAPITAL MANAGEMENT, LLC added office(s): 4 -> 9 additional locations. IAPD ↗
$1.54B RAUM · 25 reps · 303-370-0055 · pcm-inc.com
Office IT & facilitiesCRMRecruiting & transitions
55
MOTLEY FOOL WEALTH MANAGEMENT, LLC added office(s): 8 -> 12 additional locations. IAPD ↗
$1.60B RAUM · 28 reps · 844-408-4390
Office IT & facilitiesCRMRecruiting & transitions
55
STONEX ADVISORS INC. added office(s): 147 -> 155 additional locations. IAPD ↗
$5.09B RAUM · 220 reps · 800-292-2411
Office IT & facilitiesCRMRecruiting & transitions
55
SUMMIT TRAIL ADVISORS, LLC added office(s): 10 -> 12 additional locations. IAPD ↗
$26.16B RAUM · 34 reps · 212-812-7010 · summittrail.com
Office IT & facilitiesCRMRecruiting & transitions
55
WINTHROP WEALTH added office(s): 16 -> 17 additional locations. IAPD ↗
$2.60B RAUM · 24 reps · 617-530-1010
Office IT & facilitiesCRMRecruiting & transitions
55
PRIME CAPITAL FINANCIAL added office(s): 77 -> 83 additional locations. IAPD ↗
$30.11B RAUM · 245 reps · (800) 493-6226 · info.pciawealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
INNOVIA WEALTH, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$2.43B RAUM · 18 reps · 616-719-5007
Office IT & facilitiesCRMRecruiting & transitions
55
WEDMONT PRIVATE CAPITAL added office(s): 5 -> 7 additional locations. IAPD ↗
$2.37B RAUM · 10 reps · 6108858200
Office IT & facilitiesCRMRecruiting & transitions
55
MADISON PARTNERS added office(s): 4 -> 6 additional locations. IAPD ↗
$1.30B RAUM · 17 reps · 608-210-1021
Office IT & facilitiesCRMRecruiting & transitions
55
ETHOS FINANCIAL GROUP, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$2.06B RAUM · 29 reps · 610-822-5246 · ethosfg.com
Office IT & facilitiesCRMRecruiting & transitions
55
GC WEALTH MANAGEMENT RIA, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$2.15B RAUM · 17 reps · 617-234-7000
Office IT & facilitiesCRMRecruiting & transitions
55
DIVERSIFIED, LLC added office(s): 7 -> 9 additional locations. IAPD ↗
$2.08B RAUM · 28 reps · 302-765-3500
Office IT & facilitiesCRMRecruiting & transitions
53
QUANTUM FINANCIAL PLANNING SERVICES, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$727.2M RAUM · 13 reps · 509-328-6653
Office IT & facilitiesCRMRecruiting & transitions
53
PALISADE INVESTMENTS, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$513.0M RAUM · 6 reps · 775-299-4600 · palisadeinvestments.com
Office IT & facilitiesCRMRecruiting & transitions
53
GENEVA PARTNERS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$387.3M RAUM · 8 reps · 262-248-1350 · genevapartnersllc.com
Office IT & facilitiesCRMRecruiting & transitions
53
SECURE ASSET MANAGEMENT, L.L.C. added office(s): 26 -> 27 additional locations. IAPD ↗
$890.0M RAUM · 55 reps · 248-414-1562 · nevillefinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
M3 ADVISORY GROUP, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$310.0M RAUM · 3 reps · (781) 371-2670
Office IT & facilitiesCRMRecruiting & transitions
53
INVESTOR FAN added office(s): 10 -> 13 additional locations. IAPD ↗
$427.7M RAUM · 13 reps · 425-372-7517 · panfili-financial.com
Office IT & facilitiesCRMRecruiting & transitions
53
BRIGHT ROAD WEALTH MANAGEMENT, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$349.5M RAUM · 10 reps · (907) 339-1555
Office IT & facilitiesCRMRecruiting & transitions
53
QUARTZ PARTNERS INVESTMENT MANAGEMENT added office(s): 9 -> 12 additional locations. IAPD ↗
$397.8M RAUM · 22 reps · 800-433-0422 · eticofinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
GOLDSTONE FINANCIAL GROUP, LLC added office(s): 14 -> 16 additional locations. IAPD ↗
$917.5M RAUM · 11 reps · 630-620-9300 · anthony-pellegrino.com
Office IT & facilitiesCRMRecruiting & transitions
53
KINETIC INVESTMENT MANAGEMENT, INC. added office(s): 15 -> 16 additional locations. IAPD ↗
$348.2M RAUM · 20 reps · (800) 711-4818
Office IT & facilitiesCRMRecruiting & transitions
53
GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC. added office(s): 2 -> 4 additional locations. IAPD ↗
$529.1M RAUM · 11 reps · 866-405-1031 · askglobalwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
INSTRUMENTAL WEALTH, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$397.1M RAUM · 4 reps · 813-578-7001
Office IT & facilitiesCRMRecruiting & transitions
53
THEPARTNERS WEALTH MANAGEMENT added office(s): 22 -> 25 additional locations. IAPD ↗
$454.5M RAUM · 32 reps · 800-324-3010 · trivam.com
Office IT & facilitiesCRMRecruiting & transitions
53
VICTORY FINANCIAL added office(s): 24 -> 25 additional locations. IAPD ↗
$687.6M RAUM · 34 reps · (512) 763-7671 · l5wealthplanning.com
Office IT & facilitiesCRMRecruiting & transitions
53
STENGER FAMILY OFFICE, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$521.5M RAUM · 8 reps · 630-912-8295
Office IT & facilitiesCRMRecruiting & transitions
53
GGM FINANCIAL LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$425.7M RAUM · 6 reps · 614-310-2400
Office IT & facilitiesCRMRecruiting & transitions
53
MKT AND ASSOCIATES LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$275.5M RAUM · 1 reps · 253-252-2359 · mktandassociates.com
Office IT & facilitiesCRMRecruiting & transitions
53
MARATHON FINANCIAL GROUP added office(s): 1 -> 2 additional locations. IAPD ↗
$289.1M RAUM · 4 reps · 857-201-3420 · meetmarathon.com
Office IT & facilitiesCRMRecruiting & transitions
50
HEXIMER INVESTMENT MANAGEMENT INC. added office(s): 2 -> 3 additional locations. IAPD ↗
$113.9M RAUM · 2 reps · (614) 760-9100
Office IT & facilitiesCRMRecruiting & transitions
50
FORTUNE FINANCIAL GROUP, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$107.0M RAUM · 3 reps · 630-942-9007 · fortunefinancialgroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
INTEGRA FINANCIAL, INC. added office(s): 1 -> 3 additional locations. IAPD ↗
$181.0M RAUM · 3 reps · 303-220-5525
Office IT & facilitiesCRMRecruiting & transitions
50
REGAL ADVISORY SERVICES, INC. added office(s): 11 -> 12 additional locations. IAPD ↗
$113.5M RAUM · 15 reps · 877-488-6537
Office IT & facilitiesCRMRecruiting & transitions
50
CAMPION ASSET MANAGEMENT, LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$203.8M RAUM · 3 reps · 703-848-0399 · campionam.com
Office IT & facilitiesCRMRecruiting & transitions
50
WRIGHT PRIVATE ASSET MANAGEMENT LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$62.4M RAUM · 8 reps · 203-783-4400 · wrightpam.com
Office IT & facilitiesCRMRecruiting & transitions
50
LIFETIME WEALTH MANAGEMENT P.C. added office(s): 1 -> 2 additional locations. IAPD ↗
$179.5M RAUM · 5 reps · 972-771-0650
Office IT & facilitiesCRMRecruiting & transitions
50
RGA INVESTMENT ADVISORS, LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$107.3M RAUM · 3 reps · 516-665-1945 · rgaia.com
Office IT & facilitiesCRMRecruiting & transitions
50
FIDUCIARY FINANCIAL PARTNERS, LLC added office(s): 0 -> 4 additional locations. IAPD ↗
$247.7M RAUM · 5 reps · 630-780-1534
Office IT & facilitiesCRMRecruiting & transitions
50
SUMMIT WEALTH GROUP, LLC added office(s): 2 -> 5 additional locations. IAPD ↗
$150.0M RAUM · 4 reps · (888) 439-3041
Office IT & facilitiesCRMRecruiting & transitions
50
TRANSGLOBAL ADVISORY, LLC added office(s): 14 -> 15 additional locations. IAPD ↗
$46.8M RAUM · 26 reps · 626-447-7888 · transglobaladvisory.com
Office IT & facilitiesCRMRecruiting & transitions
50
HIPPOCRATIC FINANCIAL ADVISORS added office(s): 3 -> 4 additional locations. IAPD ↗
$170.2M RAUM · 3 reps · 866-447-2380 · hippocraticfa.com
Office IT & facilitiesCRMRecruiting & transitions
50
INVISOR added office(s): 1 -> 2 additional locations. IAPD ↗
$198.5M RAUM · 4 reps · 785-334-4100 · goinvisor.com
Office IT & facilitiesCRMRecruiting & transitions
50
PEAK WEALTH MANAGEMENT LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$137.7M RAUM · 3 reps · 603-488-2476
Office IT & facilitiesCRMRecruiting & transitions
50
PROSPERITEA PLANNING added office(s): 0 -> 2 additional locations. IAPD ↗
$125.0M RAUM · 2 reps · 413-829-4832
Office IT & facilitiesCRMRecruiting & transitions
50
CANDIDE GROUP added office(s): 0 -> 2 additional locations. IAPD ↗
$125.3M RAUM · 7 reps · (510) 761-8150
Office IT & facilitiesCRMRecruiting & transitions
50
SYNCHRONOUS WEALTH ADVISORS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$163.6M RAUM · 4 reps · (805) 452-5918 · synchronouswealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
CONSCIOUS WEALTH INVESTMENTS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$214.4M RAUM · 3 reps · (404) 826.7747
Office IT & facilitiesCRMRecruiting & transitions
50
NEIL JESANI WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$125.9M RAUM · 4 reps · (954) 800-0460
Office IT & facilitiesCRMRecruiting & transitions
50
JOSS BROWN WEALTH ADVISORS added office(s): 1 -> 2 additional locations. IAPD ↗
$139.3M RAUM · 5 reps · 757-903-2127
Office IT & facilitiesCRMRecruiting & transitions
50
INNOVATIVE FAMILY OFFICE LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$21.5M RAUM · 6 reps · (914) 427-8036 · innovativefo.com
Office IT & facilitiesCRMRecruiting & transitions
50
TRITONPOINT PARTNERS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$110.3M RAUM · 4 reps · 301-799-9001
Office IT & facilitiesCRMRecruiting & transitions
50
W&S ADVISORY SERVICES, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$0 RAUM · 0 reps · 513-362-8176 · meetfabric.com
Office IT & facilitiesCRMRecruiting & transitions
50
CONNECTIVE WEALTH PARTNERS, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$36.7M RAUM · 10 reps · (603) 498-1854
Office IT & facilitiesCRMRecruiting & transitions
50
LIFTPOINT FAMILY WEALTH ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$186.0M RAUM · 2 reps · (862) 412-8862
Office IT & facilitiesCRMRecruiting & transitions
50
SKYVIEW PINNACLE added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 2 reps · 656-245-3491 · skyviewpinnacle.com
Office IT & facilitiesCRMRecruiting & transitions
45
MEEDER PUBLIC FUNDS, INC. added office(s): 6 -> 7 additional locations. IAPD ↗institutional
$59.25B RAUM · 34 reps · 866-633-3371
Office IT & facilitiesCRMRecruiting & transitions
45
SMITH CAPITAL INVESTORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$12.45B RAUM · 12 reps · 303-597-5555
Office IT & facilitiesCRMRecruiting & transitions
40
LEXINGTON ADVISORS LLC added office(s): 7 -> 8 additional locations. IAPD ↗fund
$2.66B RAUM · 165 reps · 212-754-0411
Office IT & facilitiesCRMRecruiting & transitions
40
ALTARIS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$9.70B RAUM · 35 reps · 212-931-0250 · altariscap.com
Office IT & facilitiesCRMRecruiting & transitions
40
IFM INVESTORS (US) ADVISOR, LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$40.23B RAUM · 63 reps · 212-784-2260
Office IT & facilitiesCRMRecruiting & transitions
40
LEXINGTON PARTNERS L.P. added office(s): 7 -> 8 additional locations. IAPD ↗fund
$79.27B RAUM · 165 reps · 212-754-0411 · lexingtonpartners.com
Office IT & facilitiesCRMRecruiting & transitions
40
BLUEARC CAPITAL MANAGEMENT added office(s): 2 -> 3 additional locations. IAPD ↗fund
$2.44B RAUM · 7 reps · 404-419-6130 · bluearccapital.com
Office IT & facilitiesCRMRecruiting & transitions
40
COLLABORATIVE FUND ADVISORS added office(s): 1 -> 3 additional locations. IAPD ↗institutional
$39.0M RAUM · 7 reps · 203-629-3300 · anydrusfunds.com
Office IT & facilitiesCRMRecruiting & transitions
38
CLEARLIST CAPITAL LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$434.1M RAUM · 2 reps · 212-207-1350 · clearlist.com
Office IT & facilitiesCRMRecruiting & transitions
25
RAYMOND JAMES (USA) LTD added office(s): 65 -> 76 additional locations. IAPD ↗foreign
$1.99B RAUM · 145 reps · 877-570-7558 · rjlu.com
Office IT & facilitiesCRMRecruiting & transitions
25
1832 ASSET MANAGEMENT U.S. INC. added office(s): 30 -> 37 additional locations. IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
Office IT & facilitiesCRMRecruiting & transitions
25
CARDINAL CAPITAL MANAGEMENT, INC. added office(s): 5 -> 6 additional locations. IAPD ↗foreign
$4.02B RAUM · 16 reps · 1-800-310-4664
Office IT & facilitiesCRMRecruiting & transitions
pending approved — 45 120-day provisional registration became a full approval.
75
L 1 GLOBAL WEALTH LLC's provisional registration is now fully approved. IAPD ↗
$2.81B RAUM · 3 reps · 305-848-3411
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
75
TRINITY STRATEGIC WEALTH's provisional registration is now fully approved. IAPD ↗
$1.52B RAUM · 16 reps · 918-492-2150 · trinitystrategicwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
CEDAR COVE WEALTH PARTNERS's provisional registration is now fully approved. IAPD ↗
$431.7M RAUM · 10 reps · 952-358-3456 · cedarcovewealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
PATHFINDER WEALTH CONSULTING's provisional registration is now fully approved. IAPD ↗
$847.4M RAUM · 9 reps · (910) 793-0616
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ELEVATE WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$319.4M RAUM · 3 reps · 307 461-5550 · elevateasset.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
MACCO FINANCIAL GROUP, INC.'s provisional registration is now fully approved. IAPD ↗
$261.9M RAUM · 4 reps · (920) 617-6830 · maccofinancial.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
KTF INVESTMENTS, LLC's provisional registration is now fully approved. IAPD ↗
$691.8M RAUM · 3 reps · 513-618-4498 · ktfinvestments.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
COLLABORATIVE CAPITAL ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$381.9M RAUM · 2 reps · 646-933-5730 · collaborativecapitaladvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
CLEAR TRAIL ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$797.1M RAUM · 4 reps · (713) 893-9870
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
MARATHON FINANCIAL GROUP's provisional registration is now fully approved. IAPD ↗
$289.1M RAUM · 4 reps · 857-201-3420 · meetmarathon.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FUNDIFY ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$65,051 RAUM · 3 reps · 512-645-1010 · fundify.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MAVROS CAPITAL MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$32.1M RAUM · 3 reps · (424) 522-2524 · mavrosgroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SERENITY CAPITAL ADVISORS INC.'s provisional registration is now fully approved. IAPD ↗
$63.2M RAUM · 1 reps · 1-877-975-3383 · serenitycapadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
AFT US CAPITAL LLC's provisional registration is now fully approved. IAPD ↗
$216 RAUM · 0 reps · 213-454-0601 · aspireapp.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CRECER's provisional registration is now fully approved. IAPD ↗
$1,892 RAUM · 2 reps · 888-855-0874 · crecer.app
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
GRANITE ISLANDS PRIVATE WEALTH, LLC's provisional registration is now fully approved. IAPD ↗
$228.1M RAUM · 4 reps · 203-889-3899 · graniteislands.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CROSSGEN WEALTH LLC's provisional registration is now fully approved. IAPD ↗
$212.2M RAUM · 3 reps · 252-262-7301 · crossgenwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FIVANCIAL ADVISORS, INC.'s provisional registration is now fully approved. IAPD ↗
$512 RAUM · 1 reps · 855-568-3275 · banksocial.io
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
INTER ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 6 reps · 888-305-7264 · inter.co
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
KUBENCE's provisional registration is now fully approved. IAPD ↗
$650,000 RAUM · 4 reps · 650-308-8398 · kubence.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ENCORE WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$108.0M RAUM · 3 reps · 320-288-4084
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ARDEN GLOBAL FAMILY OFFICES's provisional registration is now fully approved. IAPD ↗
$103.6M RAUM · 1 reps · 650-680-8160
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
COUNTRYSIDE FINANCIAL LLC's provisional registration is now fully approved. IAPD ↗
$62.7M RAUM · 3 reps · 716-256-1330
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ROTHWELL INVESTMENT ADVISORS's provisional registration is now fully approved. IAPD ↗
$188.7M RAUM · 2 reps · 978-387-9997 · maitlandfinancialgroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
AVRIO WEALTH LLC's provisional registration is now fully approved. IAPD ↗
$26.1M RAUM · 3 reps · (646) 825-3957 · avriowealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BLACK WALNUT WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$129.0M RAUM · 1 reps · 231-421-7711 · blackwalnutwm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
LEGACY ROAD FAMILY OFFICES's provisional registration is now fully approved. IAPD ↗
$121.4M RAUM · 1 reps · 917-626-1042
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MARATHON WEALTH PARTNERS, INC's provisional registration is now fully approved. IAPD ↗
$137.4M RAUM · 1 reps · 512-587-6259 · marathonwealthpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
CANDER ASSET MANAGEMENT's provisional registration is now fully approved. IAPD ↗institutional
$775.7M RAUM · 3 reps · 917-541-5410
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
AUTILUS PARTNERS LLC's provisional registration is now fully approved. IAPD ↗institutional
$101.0M RAUM · 2 reps · 1-310-759-8160
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
NVERSES CAPITAL, LLC's provisional registration is now fully approved. IAPD ↗institutional
$99.5M RAUM · 2 reps · 732-742-7703 · nversescapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
MANISPACE CAPITAL's provisional registration is now fully approved. IAPD ↗institutional
$26.1M RAUM · 1 reps · 609-712-6527
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
DIAMETER DCF ADVISOR LLC's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 57 reps · 212-655-1400 · diametercap.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
TCG STRATEGIC INCOME ADVISOR LLC's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 4 reps · 561-530-3313 · tcgsx.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
LOGIQ CAPITAL LLC's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 1 reps · 848-230-4523
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
SADDLE POINT MANAGEMENT, L.P.'s provisional registration is now fully approved. IAPD ↗fund
$857.6M RAUM · 3 reps · 212-951-1223
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
PRITZKER ALTERNATIVE STRATEGIES's provisional registration is now fully approved. IAPD ↗fund
$333.6M RAUM · 6 reps · 312-447-6087 · pritzker-pas.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
AWANI CAPITAL MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗fund
$259.0M RAUM · 4 reps · (301) 798-5797
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
LOTUS's provisional registration is now fully approved. IAPD ↗fund
$262.0M RAUM · 5 reps · 628-212-8533 · lotusmgmt.co
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
APHIAS CAPITAL, L.P.'s provisional registration is now fully approved. IAPD ↗fund
$350.0M RAUM · 11 reps · 415-320-1644 · aphias.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
LEON CAPITAL MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗fund
$184.6M RAUM · 14 reps · 214-865-8082 · leoncapitalmanagement.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
ENCORE GLOBAL MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗fund
$112.5M RAUM · 2 reps · (713) 933-3838 · encoregm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
MALT PARTNERS MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗fund
$36.5M RAUM · 2 reps · 646-450-5521
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
40
JEFFERIES CREDIT PARTNERS EUROPE LIMITED's provisional registration is now fully approved. IAPD ↗foreign
$199.6M RAUM · 8 reps · +44 20 7029 8223
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
40
PRIMARY's provisional registration is now fully approved. IAPD ↗foreign
$0 RAUM · 3 reps · +61423411856 · primary.tech
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
headcount up — 43 Advisory representative count grew materially (>=20% or >=5 reps).
85
RAYMOND JAMES & ASSOCIATES, INC. grew from 5537 to 5683 advisory reps. IAPD ↗
$500.96B RAUM · 5683 reps · 727-567-1000
CRMRecruiting & transitionsComplianceFinancial planning software
85
FRANKLIN ADVISERS, INC. grew from 254 to 272 advisory reps. IAPD ↗
$509.45B RAUM · 272 reps · (650) 312-3000
CRMRecruiting & transitionsComplianceFinancial planning software
85
PUTNAM INVESTMENT MANAGEMENT, LLC grew from 51 to 72 advisory reps. IAPD ↗
$117.24B RAUM · 72 reps · 617-292-1000
CRMRecruiting & transitionsComplianceFinancial planning software
85
LNW grew from 58 to 93 advisory reps. IAPD ↗
$12.23B RAUM · 93 reps · 206-464-5100
CRMRecruiting & transitionsComplianceFinancial planning software
85
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC grew from 5720 to 6024 advisory reps. IAPD ↗
$390.04B RAUM · 6024 reps · 727-567-3020
CRMRecruiting & transitionsComplianceFinancial planning software
84
WESTERN ASSET MANAGEMENT COMPANY grew from 68 to 82 advisory reps. IAPD ↗
$184.99B RAUM · 82 reps · 626-844-9400
CRMRecruiting & transitionsComplianceFinancial planning software
82
PRIVATE CAPITAL MANAGEMENT, LLC grew from 13 to 25 advisory reps. IAPD ↗
$1.54B RAUM · 25 reps · 303-370-0055 · pcm-inc.com
CRMRecruiting & transitionsComplianceFinancial planning software
79
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC grew from 47 to 56 advisory reps. IAPD ↗
$65.44B RAUM · 56 reps · 215-609-3500
CRMRecruiting & transitionsComplianceFinancial planning software
79
CLEARBRIDGE INVESTMENTS, LLC grew from 62 to 71 advisory reps. IAPD ↗
$184.81B RAUM · 71 reps · 212-805-2000
CRMRecruiting & transitionsComplianceFinancial planning software
78
EARNED WEALTH ADVISORS, LLC grew from 20 to 28 advisory reps. IAPD ↗
$1.92B RAUM · 28 reps · 925.939.2500
CRMRecruiting & transitionsComplianceFinancial planning software
78
BEACON GLOBAL ADVISOR NETWORK, LLC grew from 50 to 60 advisory reps. IAPD ↗
$396.9M RAUM · 60 reps · 888-679-6474 · bganetwork.com
CRMRecruiting & transitionsComplianceFinancial planning software
77
FRANKLIN MUTUAL ADVISERS, LLC grew from 30 to 37 advisory reps. IAPD ↗
$42.59B RAUM · 37 reps · (973) 912-2000 · franklintempleton.com
CRMRecruiting & transitionsComplianceFinancial planning software
77
WAVERLY ADVISORS, LLC grew from 190 to 197 advisory reps. IAPD ↗
$28.26B RAUM · 197 reps · 205-871-3334 · waverly-advisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
77
QUARTZ PARTNERS INVESTMENT MANAGEMENT grew from 13 to 22 advisory reps. IAPD ↗
$397.8M RAUM · 22 reps · 800-433-0422 · eticofinancial.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
O'SHAUGHNESSY ASSET MANAGEMENT, LLC grew from 47 to 53 advisory reps. IAPD ↗
$19.78B RAUM · 53 reps · 203-975-3333 · canvas.osam.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
AWH FINANCIAL, LLC grew from 50 to 61 advisory reps. IAPD ↗
$0 RAUM · 61 reps · 610-660-4283
CRMRecruiting & transitionsComplianceFinancial planning software
76
PRIME CAPITAL FINANCIAL grew from 239 to 245 advisory reps. IAPD ↗
$30.11B RAUM · 245 reps · (800) 493-6226 · info.pciawealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
MADISON PARTNERS grew from 12 to 17 advisory reps. IAPD ↗
$1.30B RAUM · 17 reps · 608-210-1021
CRMRecruiting & transitionsComplianceFinancial planning software
73
SAGEGUARD FINANCIAL GROUP, LLC grew from 7 to 12 advisory reps. IAPD ↗
$607.7M RAUM · 12 reps · (615) 859-4567
CRMRecruiting & transitionsComplianceFinancial planning software
73
RAYMOND JAMES INVESTMENT MANAGEMENT grew from 2 to 5 advisory reps. IAPD ↗
$16.86B RAUM · 5 reps · 800-521-1195 · carillontower.com
CRMRecruiting & transitionsComplianceFinancial planning software
72
QUANTUM FINANCIAL PLANNING SERVICES, INC. grew from 9 to 13 advisory reps. IAPD ↗
$727.2M RAUM · 13 reps · 509-328-6653
CRMRecruiting & transitionsComplianceFinancial planning software
72
ELM WEALTH grew from 5 to 7 advisory reps. IAPD ↗
$2.02B RAUM · 7 reps · (888) 676-3148
CRMRecruiting & transitionsComplianceFinancial planning software
71
AZIMUT INVESTMENT ADVISORS LLC grew from 5 to 8 advisory reps. IAPD ↗
$639.1M RAUM · 8 reps · 786 866 3700
CRMRecruiting & transitionsComplianceFinancial planning software
70
HUTCHINSON CAPITAL MANAGEMENT grew from 3 to 5 advisory reps. IAPD ↗
$883.3M RAUM · 5 reps · 415-464-5650
CRMRecruiting & transitionsComplianceFinancial planning software
70
4:8 FINANCIAL grew from 1 to 3 advisory reps. IAPD ↗
$301.3M RAUM · 3 reps · 503-266-4848 · 48financial.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
LEXINGTON ADVISORS LLC grew from 152 to 165 advisory reps. IAPD ↗fund
$2.66B RAUM · 165 reps · 212-754-0411
CRMRecruiting & transitionsComplianceFinancial planning software
68
LEXINGTON PARTNERS L.P. grew from 152 to 165 advisory reps. IAPD ↗fund
$79.27B RAUM · 165 reps · 212-754-0411 · lexingtonpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
CONNECTIVE WEALTH PARTNERS, LLC grew from 7 to 10 advisory reps. IAPD ↗
$36.7M RAUM · 10 reps · (603) 498-1854
CRMRecruiting & transitionsComplianceFinancial planning software
67
CAPSTONE INVESTMENT GROUP grew from 6 to 8 advisory reps. IAPD ↗
$152.4M RAUM · 8 reps · 360-570-9888 · wisdomanddiscipline.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
PACIFIC POINT WEALTH MANAGEMENT grew from 2 to 4 advisory reps. IAPD ↗
$6.5M RAUM · 4 reps · (858)-248-7054
CRMRecruiting & transitionsComplianceFinancial planning software
67
STEELHEAD WEALTH MANAGEMENT grew from 1 to 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (804) 548-0781 · steelheadwealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
62
MOTLEY FOOL ASSET MANAGEMENT grew from 10 to 12 advisory reps. IAPD ↗institutional
$2.60B RAUM · 12 reps · 703-302-1100
CRMRecruiting & transitionsComplianceFinancial planning software
60
CANDER ASSET MANAGEMENT grew from 1 to 3 advisory reps. IAPD ↗institutional
$775.7M RAUM · 3 reps · 917-541-5410
CRMRecruiting & transitionsComplianceFinancial planning software
59
ABL WEALTH ADVISORS, LLC grew from 1 to 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 407-358-3332 · abacusgm.com
CRMRecruiting & transitionsComplianceFinancial planning software
59
KR CAPITAL LP grew from 7 to 11 advisory reps. IAPD ↗institutional
$0 RAUM · 11 reps · 212-317-0409 · krlp.com
CRMRecruiting & transitionsComplianceFinancial planning software
58
BLUEARC CAPITAL MANAGEMENT grew from 4 to 7 advisory reps. IAPD ↗fund
$2.44B RAUM · 7 reps · 404-419-6130 · bluearccapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
58
ANGELLIST ASSET MANAGEMENT, LLC grew from 2 to 7 advisory reps. IAPD ↗fund
$297.6M RAUM · 7 reps · 206-880-1869 · angellistmgmt.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
RAYMOND JAMES (USA) LTD grew from 125 to 145 advisory reps. IAPD ↗foreign
$1.99B RAUM · 145 reps · 877-570-7558 · rjlu.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED grew from 49 to 71 advisory reps. IAPD ↗foreign
$40.52B RAUM · 71 reps · 00442070738500 · franklintempleton.ro
CRMRecruiting & transitionsComplianceFinancial planning software
55
1832 ASSET MANAGEMENT U.S. INC. grew from 77 to 113 advisory reps. IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
CRMRecruiting & transitionsComplianceFinancial planning software
43
CARDINAL CAPITAL MANAGEMENT, INC. grew from 13 to 16 advisory reps. IAPD ↗foreign
$4.02B RAUM · 16 reps · 1-800-310-4664
CRMRecruiting & transitionsComplianceFinancial planning software
40
DUNHILL FINANCIAL grew from 9 to 11 advisory reps. IAPD ↗foreign
$322.9M RAUM · 11 reps · +1 561 685 2381 · dunhillfinancial.com
CRMRecruiting & transitionsComplianceFinancial planning software
37
STRATEGIC SWISS ADVISORS AG grew from 1 to 3 advisory reps. IAPD ↗foreign
$46.5M RAUM · 3 reps · +41 58 680 64 10 · strategic-swiss-advisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
disclosure added — 33 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
EDWARD JONES's Item 11 disclosure-reporting entries rose by 4 (259 -> 263). IAPD ↗
$824.99B RAUM · 22226 reps · 314-515-2000
ComplianceMarketing & brand
55
GOLDMAN SACHS & CO. LLC's Item 11 disclosure-reporting entries rose by 1 (766 -> 767). IAPD ↗
$114.90B RAUM · 2318 reps · 212-902-1000
ComplianceMarketing & brand
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 9 (201 -> 210). IAPD ↗
$171.21B RAUM · 3045 reps · 314-342-2000 · goldmancomfort.com
ComplianceMarketing & brand
55
CITIGROUP GLOBAL MARKETS INC.'s Item 11 disclosure-reporting entries rose by 1 (175 -> 176). IAPD ↗
$46.87B RAUM · 4267 reps · 212-816-6000 · citi.com
ComplianceMarketing & brand
55
RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 1 (224 -> 225). IAPD ↗
$259.96B RAUM · 5680 reps · 212-858-7000 · us.rbcwealthmanagement.com
ComplianceMarketing & brand
55
M HOLDINGS SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 3 (5 -> 8). IAPD ↗
$4.08B RAUM · 222 reps · 800-656-6960 · mfin.com
ComplianceMarketing & brand
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC.'s Item 11 disclosure-reporting entries rose by 1 (142 -> 143). IAPD ↗
$193.11B RAUM · 92 reps · 212-454-4500
ComplianceMarketing & brand
55
VANGUARD ADVISERS, INC.'s Item 11 disclosure-reporting entries rose by 8 (106 -> 114). IAPD ↗
$300.43B RAUM · 1567 reps · 610-669-1000
ComplianceMarketing & brand
55
FIRST TRUST ADVISORS LP's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
$256.33B RAUM · 125 reps · 630-765-8000
ComplianceMarketing & brand
55
RREEF AMERICA L.L.C.'s Item 11 disclosure-reporting entries rose by 1 (142 -> 143). IAPD ↗
$29.47B RAUM · 135 reps · 312-537-7000
ComplianceMarketing & brand
55
SAGEVIEW ADVISORY GROUP, LLC's Item 11 disclosure-reporting entries rose by 3 (1 -> 4). IAPD ↗
$238.55B RAUM · 133 reps · 800-814-8742
ComplianceMarketing & brand
55
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 2 (77 -> 79). IAPD ↗
$102.41B RAUM · 3327 reps · 641-472-5100
ComplianceMarketing & brand
55
M FINANCIAL ASSET MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$1.50B RAUM · 5 reps · 503-232-6960 · mfinwealth.com
ComplianceMarketing & brand
55
INTEGRITY ALLIANCE, LLC's Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗
$2.41B RAUM · 164 reps · 877-886-1939 · integritywealth.com
ComplianceMarketing & brand
55
KOVACK ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 2 (16 -> 18). IAPD ↗
$5.53B RAUM · 305 reps · 954-782-4771
ComplianceMarketing & brand
55
VECTORGLOBAL IAG, INC.'s Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$1.69B RAUM · 25 reps · 305-350-3350 · vectorglobaliag.com
ComplianceMarketing & brand
55
VANGUARD PERSONALIZED INDEXING MANAGEMENT's Item 11 disclosure-reporting entries rose by 8 (102 -> 110). IAPD ↗
$7.26B RAUM · 4 reps · 844-317-5190
ComplianceMarketing & brand
53
PUREFI WEALTH, LLC's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗
$262.5M RAUM · 5 reps · (617) 488-9320
ComplianceMarketing & brand
50
SKYVIEW PINNACLE's Item 11 disclosure-reporting entries rose by 5 (0 -> 5). IAPD ↗
$0 RAUM · 2 reps · 656-245-3491 · skyviewpinnacle.com
ComplianceMarketing & brand
45
DBX ADVISORS LLC's Item 11 disclosure-reporting entries rose by 1 (142 -> 143). IAPD ↗institutional
$24.91B RAUM · 11 reps · 212-454-4500
ComplianceMarketing & brand
45
VEST FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗institutional
$39.30B RAUM · 12 reps · 855-979-6060
ComplianceMarketing & brand
40
DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 2 (706 -> 708). IAPD ↗institutional
$0 RAUM · 146 reps · 212-250-2500 · dbresearch.com
ComplianceMarketing & brand
40
VANGUARD GROUP INC's Item 11 disclosure-reporting entries rose by 8 (112 -> 120). IAPD ↗fund
$10246.60B RAUM · 330 reps · 610-669-1000
ComplianceMarketing & brand
40
VANGUARD GLOBAL ADVISERS, LLC's Item 11 disclosure-reporting entries rose by 8 (109 -> 117). IAPD ↗fund
$491.43B RAUM · 84 reps · 610-669-1000 · vanguardoffshore.com
ComplianceMarketing & brand
40
VANGUARD CAPITAL MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 18 (86 -> 104). IAPD ↗institutional
$0 RAUM · 2 reps · 610-669-1000
ComplianceMarketing & brand
40
VANGUARD PORTFOLIO MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 18 (86 -> 104). IAPD ↗institutional
$0 RAUM · 1 reps · 610-669-1000
ComplianceMarketing & brand
25
DWS INTERNATIONAL GMBH's Item 11 disclosure-reporting entries rose by 1 (142 -> 143). 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 1 (141 -> 142). IAPD ↗foreign
$1.44B RAUM · 8 reps · 011 612 8258 1234 · dws.com
ComplianceMarketing & brand
25
WESTERN ASSET MANAGEMENT COMPANY LIMITED's Item 11 disclosure-reporting entries rose by 5 (0 -> 5). IAPD ↗foreign
$20.09B RAUM · 16 reps · 011-44-20-7422-3000
ComplianceMarketing & brand
25
DWS ALTERNATIVES GLOBAL LIMITED's Item 11 disclosure-reporting entries rose by 1 (145 -> 146). 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 1 (142 -> 143). IAPD ↗foreign
$2.41B RAUM · 16 reps · 852-2203-8888 · etf.dws.com
ComplianceMarketing & brand
25
WESTERN ASSET MANAGEMENT COMPANY PTE LTD's Item 11 disclosure-reporting entries rose by 5 (0 -> 5). IAPD ↗foreign
$2.80B RAUM · 5 reps · 65-6428-3600
ComplianceMarketing & brand
25
WESTERN ASSET MANAGEMENT COMPANY LTD's Item 11 disclosure-reporting entries rose by 5 (0 -> 5). IAPD ↗foreign
$2.58B RAUM · 3 reps · 011-81-3-4520-4300
ComplianceMarketing & brand
headcount down — 27 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
ACORN FINANCIAL ADVISORY SERVICES, INC. shrank from 17 to 11 advisory reps. IAPD ↗
$1.23B RAUM · 11 reps · (703) 293-3100 · olddominionira.com
Recruiting & transitionsM&A & valuation
55
STONEX ADVISORS INC. shrank from 233 to 220 advisory reps. IAPD ↗
$5.09B RAUM · 220 reps · 800-292-2411
Recruiting & transitionsM&A & valuation
55
GPS WEALTH STRATEGIES GROUP, LLC shrank from 26 to 5 advisory reps. IAPD ↗
$1.42B RAUM · 5 reps · 7204145412 · aspenwealthinc.com
Recruiting & transitionsM&A & valuation
53
CHRISTOPHER WEIL & CO INC shrank from 10 to 7 advisory reps. IAPD ↗
$896.2M RAUM · 7 reps · 858-724-6040 · cweil.com
Recruiting & transitionsM&A & valuation
53
WEALTH ADVISORS NETWORK, INC. shrank from 11 to 8 advisory reps. IAPD ↗
$300.3M RAUM · 8 reps · 402-463-6769 · wealthadvisorsnetwork.net
Recruiting & transitionsM&A & valuation
53
OBJECTIVE CAPITAL MANAGEMENT, LLC shrank from 8 to 4 advisory reps. IAPD ↗
$304.7M RAUM · 4 reps · 216-468-1231 · ocmwealth.com
Recruiting & transitionsM&A & valuation
50
HECKMAN FINANCIAL & INSURANCE SERVICES, INC. shrank from 4 to 2 advisory reps. IAPD ↗
$114.4M RAUM · 2 reps · 408-297-9800 · worrylesswealth.com
Recruiting & transitionsM&A & valuation
50
NED DAVIS RESEARCH, INC. shrank from 59 to 44 advisory reps. IAPD ↗
$2.2M RAUM · 44 reps · 941-412-2300
Recruiting & transitionsM&A & valuation
50
HERITAGE WEALTH MANAGEMENT GROUP, LTD shrank from 5 to 3 advisory reps. IAPD ↗
$124.1M RAUM · 3 reps · 757-321-3725 EXT. 205 · hwmgroup.com
Recruiting & transitionsM&A & valuation
45
IMPAX ASSET MANAGEMENT LLC shrank from 36 to 30 advisory reps. IAPD ↗institutional
$8.94B RAUM · 30 reps · 603-431-8022 · impaxam.com
Recruiting & transitionsM&A & valuation
45
FLEXPATH STRATEGIES shrank from 12 to 5 advisory reps. IAPD ↗institutional
$2.70B RAUM · 5 reps · 949-418-6030 · flexpathstrategies.com
Recruiting & transitionsM&A & valuation
40
K2/D&S MANAGEMENT CO., L.L.C. shrank from 15 to 10 advisory reps. IAPD ↗fund
$6.53B RAUM · 10 reps · 203-348-5252 · k2advisors.com
Recruiting & transitionsM&A & valuation
40
SIXTH STREET ADVISERS, LLC shrank from 344 to 339 advisory reps. IAPD ↗fund
$79.98B RAUM · 339 reps · 469-621-3001
Recruiting & transitionsM&A & valuation
40
PINEGROVE ADVISER LLC shrank from 1219 to 12 advisory reps. IAPD ↗fund
$2.05B RAUM · 12 reps · 626-676-0710 · pinegrove.vc
Recruiting & transitionsM&A & valuation
40
POST ROAD GROUP LLC shrank from 20 to 6 advisory reps. IAPD ↗fund
$1.04B RAUM · 6 reps · 203-518-8460
Recruiting & transitionsM&A & valuation
40
NVERSES CAPITAL, LLC shrank from 6 to 2 advisory reps. IAPD ↗institutional
$99.5M RAUM · 2 reps · 732-742-7703 · nversescapital.com
Recruiting & transitionsM&A & valuation
40
LORD ABBETT FIF ADVISOR LLC shrank from 264 to 191 advisory reps. IAPD ↗institutional
$190.4M RAUM · 191 reps · 201-827-2000 · lordabbett.com
Recruiting & transitionsM&A & valuation
40
LORD ABBETT CLO MANAGEMENT LP shrank from 264 to 191 advisory reps. IAPD ↗institutional
$0 RAUM · 191 reps · 201-827-2000
Recruiting & transitionsM&A & valuation
38
THACKERAY PARTNERS shrank from 21 to 11 advisory reps. IAPD ↗fund
$555.3M RAUM · 11 reps · 214-360-7830 · thackeraypartners.com
Recruiting & transitionsM&A & valuation
38
LOTUS shrank from 15 to 5 advisory reps. IAPD ↗fund
$262.0M RAUM · 5 reps · 628-212-8533 · lotusmgmt.co
Recruiting & transitionsM&A & valuation
35
ALBRIGHT CAPITAL MANAGEMENT LP shrank from 9 to 6 advisory reps. IAPD ↗fund
$73.0M RAUM · 6 reps · 202-370-3500 · albrightcapital.com
Recruiting & transitionsM&A & valuation
25
CREDIT SUISSE ASSET MANAGEMENT LIMITED shrank from 2 to 0 advisory reps. IAPD ↗foreign
$9.74B RAUM · 0 reps · +44 20 7888 8888 · ubs.com
Recruiting & transitionsM&A & valuation
25
CLEARBRIDGE INVESTMENT MANAGEMENT LIMITED shrank from 35 to 16 advisory reps. IAPD ↗foreign
$9.89B RAUM · 16 reps · 44 131 229 5252
Recruiting & transitionsM&A & valuation
25
IMPAX ASSET MANAGEMENT, LTD. shrank from 58 to 53 advisory reps. IAPD ↗foreign
$25.84B RAUM · 53 reps · 011 44 20 3912 3000 · impaxam.com
Recruiting & transitionsM&A & valuation
25
IMPAX ASSET MANAGEMENT shrank from 58 to 53 advisory reps. IAPD ↗foreign
$2.00B RAUM · 53 reps · +44 (0)20 3912 3000
Recruiting & transitionsM&A & valuation
25
CORONATION INTERNATIONAL LIMITED shrank from 6 to 4 advisory reps. IAPD ↗foreign
$4.31B RAUM · 4 reps · +442073898840 · coronation.com
Recruiting & transitionsM&A & valuation
20
NATWEALTH MANAGEMENT shrank from 118 to 109 advisory reps. IAPD ↗foreign
$115.0M RAUM · 109 reps · 833-946-1589 · nbfwm.ca
Recruiting & transitionsM&A & valuation
relocation — 27 Main office moved to a different city or state.
50
RETIREMENT RESOURCES INVESTMENT CORPORATION moved its main office from PEABODY, MA to ANDOVER, MA. IAPD ↗
$1.99B RAUM · 2 reps · 978-536-9000 · retirewithmore.com
Office IT & facilitiesMarketing & brand
50
BNY ADVISORS moved its main office from PENNINGTON, NJ to NEW YORK, NY. IAPD ↗
$23.96B RAUM · 46 reps · 800-200-3033, OPTION 3
Office IT & facilitiesMarketing & brand
50
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC moved its main office from SAN FRANCISCO, CA to LONE TREE, CO. IAPD ↗
$1436.97B RAUM · 173 reps · 800-650-9744
Office IT & facilitiesMarketing & brand
50
LNW moved its main office from SAN FRANCISCO, CA to SEATTLE, WA. IAPD ↗
$12.23B RAUM · 93 reps · 206-464-5100
Office IT & facilitiesMarketing & brand
50
MERIDIAN WEALTH PARTNERS, LLC moved its main office from EXTON, PA to EAST NORRITON, PA. IAPD ↗
$1.26B RAUM · 9 reps · 610-272-4700
Office IT & facilitiesMarketing & brand
48
OBJECTIVE CAPITAL MANAGEMENT, LLC moved its main office from PEPPER PIKE, OH to FAIRLAWN, OH. IAPD ↗
$304.7M RAUM · 4 reps · 216-468-1231 · ocmwealth.com
Office IT & facilitiesMarketing & brand
48
PACIFIC POINT ADVISORS, LLC moved its main office from RANCHO SANTA FE, CA to SAN DIEGO, CA. IAPD ↗
$345.6M RAUM · 4 reps · 858-356-6600 · pacificpointcapital.com
Office IT & facilitiesMarketing & brand
48
GOLDEN STATE EQUITY PARTNERS, LLC moved its main office from SOUTH COAST METRO, CA to DALLAS, TX. IAPD ↗
$880.4M RAUM · 25 reps · 866-273-1563 · heartmtwm.com
Office IT & facilitiesMarketing & brand
45
CHARLES SCHWAB & CO., INC. moved its main office from SAN FRANCISCO, CA to LONE TREE, CO. IAPD ↗
$0 RAUM · 3692 reps · 415-667-7000
Office IT & facilitiesMarketing & brand
45
MAIN STREET FINANCIAL moved its main office from HARRISON, NY to PURCHASE, NY. IAPD ↗
$61.3M RAUM · 3 reps · 914-698-8303 · mainstfinancial.com
Office IT & facilitiesMarketing & brand
45
CAMPION ASSET MANAGEMENT, LLC moved its main office from FALLS CHURCH, VA to FAIRFAX, VA. IAPD ↗
$203.8M RAUM · 3 reps · 703-848-0399 · campionam.com
Office IT & facilitiesMarketing & brand
45
REDBLACK ADVISERS, INC. moved its main office from ATLANTA, GA to ORADELL, NJ. IAPD ↗
$124.0M RAUM · 3 reps · 800-607-3340
Office IT & facilitiesMarketing & brand
45
SCHWAB WEALTH ADVISORY, INC. moved its main office from SAN FRANCISCO, CA to LONE TREE, CO. IAPD ↗
$0 RAUM · 987 reps · 415-667-7000
Office IT & facilitiesMarketing & brand
45
NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC moved its main office from MILL VALLEY, CA to SAUSALITO, CA. IAPD ↗
$137.6M RAUM · 2 reps · 415.287-5100 · nollmac.com
Office IT & facilitiesMarketing & brand
45
WEALTHBUILDERS INVESTMENTS moved its main office from ENGLEWOOD, CO to GREENWOOD VILLAGE, CO. IAPD ↗
$122.3M RAUM · 5 reps · 972-719-2557 · thekingdomfinanceshow.buzzsprout.co
Office IT & facilitiesMarketing & brand
45
LEGACY PCG, LLC moved its main office from IRVINE, CA to NEWPORT, CA. IAPD ↗
$206.2M RAUM · 2 reps · (949) 207-3241 · legacypcg.com
Office IT & facilitiesMarketing & brand
45
MAVROS CAPITAL MANAGEMENT, LLC moved its main office from LOS ANGELES, CA to NEW YORK, NY. IAPD ↗
$32.1M RAUM · 3 reps · (424) 522-2524 · mavrosgroup.com
Office IT & facilitiesMarketing & brand
45
SMITH & CO ADVISORY LLC moved its main office from FRANKLIN, TN to SPRING HILL, TN. IAPD ↗
$129.4M RAUM · 2 reps · (615) 682-4383 · smithcoadvisory.com
Office IT & facilitiesMarketing & brand
45
DISHMI CAPITAL, LLC moved its main office from SOUTH PASADENA, CA to PASADENA, CA. IAPD ↗
$144.2M RAUM · 1 reps · (323) 835-5560 · dishmicap.com
Office IT & facilitiesMarketing & brand
35
CF PRIVATE EQUITY, INC. moved its main office from WILTON, CT to NORWALK, CT. IAPD ↗fund
$15.78B RAUM · 38 reps · 203-563-5000 · cfprivateequity.com
Office IT & facilitiesMarketing & brand
35
COMMONFUND OCIO, INC. moved its main office from WILTON, CT to NORWALK, CT. IAPD ↗fund
$22.66B RAUM · 33 reps · 203-563-5000
Office IT & facilitiesMarketing & brand
35
SWANDER PACE CAPITAL moved its main office from SAN FRANCISCO, CA to BEDMINSTER, NJ. IAPD ↗fund
$1.09B RAUM · 18 reps · 908-719-2322 · spcap.com
Office IT & facilitiesMarketing & brand
35
PINEGROVE ADVISER LLC moved its main office from NEW YORK, NY to SAN FRANCISCO, CA. IAPD ↗fund
$2.05B RAUM · 12 reps · 626-676-0710 · pinegrove.vc
Office IT & facilitiesMarketing & brand
35
TRIARTISAN CAPITAL ADVISORS LLC moved its main office from NEW YORK, NY to WEST PALM BEACH, FL. IAPD ↗fund
$1.26B RAUM · 5 reps · (561) 295-3485 · triartisan.com
Office IT & facilitiesMarketing & brand
33
CORSAIR CAPITAL MANAGEMENT, L.P. moved its main office from SCARSDALE, NY to NEW YORK, NY. IAPD ↗fund
$643.5M RAUM · 2 reps · 212-949-3000 · corsaircap.com
Office IT & facilitiesMarketing & brand
30
SQUARE NINE CAPITAL, LP moved its main office from NEW YORK, NY to LOS ANGELES, CA. IAPD ↗fund
$181.5M RAUM · 5 reps · 818-254-7459
Office IT & facilitiesMarketing & brand
20
PARADICE INVESTMENT MANAGEMENT LLC moved its main office from DENVER, CO to SYDNEY, . IAPD ↗foreign
$1.39B RAUM · 4 reps · 720-751-2100
Office IT & facilitiesMarketing & brand
aum up — 23 Regulatory AUM up >=25% since last filing.
71
LNW reported RAUM up 60% ($7.66B -> $12.23B). IAPD ↗
$12.23B RAUM · 93 reps · 206-464-5100
Portfolio / reporting / TAMPCRMFinancial planning software
71
O'SHAUGHNESSY ASSET MANAGEMENT, LLC reported RAUM up 57% ($12.60B -> $19.78B). IAPD ↗
$19.78B RAUM · 53 reps · 203-975-3333 · canvas.osam.com
Portfolio / reporting / TAMPCRMFinancial planning software
69
INDEX TECHNOLOGIES GROUP LLC reported RAUM up 75% ($105.0M -> $183.4M). IAPD ↗
$183.4M RAUM · 4 reps · 212-466-6760
Portfolio / reporting / TAMPCRMFinancial planning software
68
LONESTAR REGISTERED INVESTMENT ADVISORS, PLLC reported RAUM up 53% ($164.2M -> $250.7M). IAPD ↗
$250.7M RAUM · 9 reps · 866-785-5350 · retirewithlonestar.com
Portfolio / reporting / TAMPCRMFinancial planning software
67
PUTNAM INVESTMENT MANAGEMENT, LLC reported RAUM up 38% ($85.21B -> $117.24B). IAPD ↗
$117.24B RAUM · 72 reps · 617-292-1000
Portfolio / reporting / TAMPCRMFinancial planning software
66
QUARTZ PARTNERS INVESTMENT MANAGEMENT reported RAUM up 42% ($281.0M -> $397.8M). IAPD ↗
$397.8M RAUM · 22 reps · 800-433-0422 · eticofinancial.com
Portfolio / reporting / TAMPCRMFinancial planning software
66
ETHOS FINANCIAL GROUP, LLC reported RAUM up 31% ($1.58B -> $2.06B). IAPD ↗
$2.06B RAUM · 29 reps · 610-822-5246 · ethosfg.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
CALTON & ASSOCIATES, INC. reported RAUM up 30% ($1.22B -> $1.58B). IAPD ↗
$1.58B RAUM · 221 reps · 813-264-0440 · calton.com
Portfolio / reporting / TAMPCRMFinancial planning software
64
OCTOGONE NA reported RAUM up 34% ($371.4M -> $497.8M). IAPD ↗
$497.8M RAUM · 3 reps · 305-677-9559 · octogone.ch
Portfolio / reporting / TAMPCRMFinancial planning software
63
SFE INVESTMENT COUNSEL INC. reported RAUM up 29% ($581.6M -> $748.4M). IAPD ↗
$748.4M RAUM · 9 reps · 213-612-0220 · sfeic.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
CREATIVE INVESTMENT GROUP reported RAUM up 41% ($145.8M -> $205.9M). IAPD ↗
$205.9M RAUM · 7 reps · 615 949 9629 · creativeinvests.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
FRANKLIN ADVISORY SERVICES, LLC reported RAUM up 53% ($9.18B -> $14.07B). IAPD ↗institutional
$14.07B RAUM · 2 reps · (650) 312-3000
Portfolio / reporting / TAMPCRMFinancial planning software
60
RECKONER CAPITAL MANAGEMENT LLC reported RAUM up 393% ($28.7M -> $141.1M). IAPD ↗institutional
$141.1M RAUM · 8 reps · 212-597-2500 · reckoner.com
Portfolio / reporting / TAMPCRMFinancial planning software
58
MOTLEY FOOL ASSET MANAGEMENT reported RAUM up 41% ($1.84B -> $2.60B). IAPD ↗institutional
$2.60B RAUM · 12 reps · 703-302-1100
Portfolio / reporting / TAMPCRMFinancial planning software
58
M83 INVESTMENT GROUP, LLC reported RAUM up 68% ($113.8M -> $191.0M). IAPD ↗institutional
$191.0M RAUM · 4 reps · 818-222-4727 · 83igfunds.com
Portfolio / reporting / TAMPCRMFinancial planning software
54
BLUEARC CAPITAL MANAGEMENT reported RAUM up 45% ($1.68B -> $2.44B). IAPD ↗fund
$2.44B RAUM · 7 reps · 404-419-6130 · bluearccapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
51
REEF INVESTMENT MANAGEMENT LLC reported RAUM up 55% ($151.0M -> $234.3M). IAPD ↗fund
$234.3M RAUM · 1 reps · 801-216-8850 · reefcp.com
Portfolio / reporting / TAMPCRMFinancial planning software
46
SAAS CAPITAL, LLC reported RAUM up 35% ($183.4M -> $247.3M). IAPD ↗fund
$247.3M RAUM · 6 reps · 303-870-9529 · saas-capital.com
Portfolio / reporting / TAMPCRMFinancial planning software
41
NORTH OF SOUTH CAPITAL LLP reported RAUM up 58% ($3.88B -> $6.12B). IAPD ↗foreign
$6.12B RAUM · 8 reps · + 44 207 152 6061 · northofsouth.com
Portfolio / reporting / TAMPCRMFinancial planning software
36
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED reported RAUM up 31% ($30.90B -> $40.52B). IAPD ↗foreign
$40.52B RAUM · 71 reps · 00442070738500 · franklintempleton.ro
Portfolio / reporting / TAMPCRMFinancial planning software
36
TEMPLETON GLOBAL ADVISORS LIMITED reported RAUM up 33% ($19.42B -> $25.85B). IAPD ↗foreign
$25.85B RAUM · 4 reps · 800-239-3894
Portfolio / reporting / TAMPCRMFinancial planning software
35
RAYMOND JAMES (USA) LTD reported RAUM up 29% ($1.54B -> $1.99B). IAPD ↗foreign
$1.99B RAUM · 145 reps · 877-570-7558 · rjlu.com
Portfolio / reporting / TAMPCRMFinancial planning software
31
DUBEAU CAPITAL USA INC. reported RAUM up 33% ($36.0M -> $47.9M). IAPD ↗foreign
$47.9M RAUM · 4 reps · 418-628-5533
Portfolio / reporting / TAMPCRMFinancial planning software
custody started — 23 Firm now reports custody of client assets — surprise exams and controls follow.
70
GC WEALTH MANAGEMENT RIA, LLC now reports custody of client assets ($1.93B). IAPD ↗
$2.15B RAUM · 17 reps · 617-234-7000
ComplianceCustodian
70
TRINITY STRATEGIC WEALTH now reports custody of client assets ($3.2M). IAPD ↗
$1.52B RAUM · 16 reps · 918-492-2150 · trinitystrategicwealth.com
ComplianceCustodian
68
TOWER VIEW WEALTH MANAGEMENT LLC now reports custody of client assets ($3.1M). IAPD ↗
$281.9M RAUM · 2 reps · 414-253-4096
ComplianceCustodian
68
DAI WEALTH, LLC now reports custody of client assets ($32.8M). IAPD ↗
$267.4M RAUM · 32 reps · 404-531-7080 · goodcounselwealth.com
ComplianceCustodian
68
MONEX ASSET MANAGEMENT, INC. now reports custody of client assets ($10.9M). IAPD ↗
$556.8M RAUM · 14 reps · 713-877-8234 · monexsec.com
ComplianceCustodian
68
PACIFIC CAPITAL now reports custody of client assets ($292.6M). IAPD ↗
$654.7M RAUM · 6 reps · 844-777-8777 · pacificcapital.com
ComplianceCustodian
68
Q CAPITAL SOLUTIONS now reports custody of client assets ($13.0M). IAPD ↗
$255.7M RAUM · 1 reps · 732-600-5557 · qcapitalsolutions.com
ComplianceCustodian
68
ARGO WEALTH ADVISORY, LLC now reports custody of client assets ($9.4M). IAPD ↗
$256.2M RAUM · 2 reps · 703-914-3830 · argowealthadvisory.com
ComplianceCustodian
68
PATHFINDER WEALTH CONSULTING now reports custody of client assets ($201.1M). IAPD ↗
$847.4M RAUM · 9 reps · (910) 793-0616
ComplianceCustodian
68
CLEAR TRAIL ADVISORS, LLC now reports custody of client assets ($260.2M). IAPD ↗
$797.1M RAUM · 4 reps · (713) 893-9870
ComplianceCustodian
65
THE FOUNDRY FINANCIAL GROUP, INC. now reports custody of client assets ($6.2M). IAPD ↗
$250.0M RAUM · 6 reps · 603-528-5171
ComplianceCustodian
65
LIVELSBERGER FINANCIAL ADVISORY now reports custody of client assets. IAPD ↗
$160.9M RAUM · 1 reps · 419-289-7165 · livelsbergerfinancial.com
ComplianceCustodian
65
STAR CAPITAL INC. now reports custody of client assets ($12.7M). IAPD ↗
$143.5M RAUM · 6 reps · 651-444-1116
ComplianceCustodian
65
CONNECTICUT CAPITAL MANAGEMENT GROUP, LLC now reports custody of client assets ($43.0M). IAPD ↗
$222.7M RAUM · 4 reps · 203-877-1520
ComplianceCustodian
65
GRANITE ISLANDS PRIVATE WEALTH, LLC now reports custody of client assets ($87.6M). IAPD ↗
$228.1M RAUM · 4 reps · 203-889-3899 · graniteislands.com
ComplianceCustodian
55
LORD ABBETT FIF ADVISOR LLC now reports custody of client assets ($13.9M). IAPD ↗institutional
$190.4M RAUM · 191 reps · 201-827-2000 · lordabbett.com
ComplianceCustodian
55
AVANTYR CAPITAL PARTNERS, LP now reports custody of client assets ($5.96B). IAPD ↗fund
$2.98B RAUM · 11 reps · 212-970-5700 · avantyrcapital.com
ComplianceCustodian
53
ANGELLIST ASSET MANAGEMENT, LLC now reports custody of client assets ($578.6M). IAPD ↗fund
$297.6M RAUM · 7 reps · 206-880-1869 · angellistmgmt.com
ComplianceCustodian
53
LOTUS now reports custody of client assets ($262.0M). IAPD ↗fund
$262.0M RAUM · 5 reps · 628-212-8533 · lotusmgmt.co
ComplianceCustodian
53
COVARA CAPITAL, LLC now reports custody of client assets ($402.0M). IAPD ↗fund
$402.0M RAUM · 4 reps · 212-970-6690
ComplianceCustodian
53
DEFILADE CAPITAL MANAGEMENT, L.P. now reports custody of client assets ($1.29B). IAPD ↗fund
$644.1M RAUM · 5 reps · 415 849 9478 · defcap.com
ComplianceCustodian
40
1832 ASSET MANAGEMENT U.S. INC. now reports custody of client assets ($761.3M). IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
ComplianceCustodian
38
BFI INFINITY LTD. now reports custody of client assets ($53.8M). IAPD ↗foreign
$610.1M RAUM · 15 reps · +41 58 806 2210
ComplianceCustodian
rename — 22 Primary business name changed: rebrand, merger, or ownership change.
60
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST is now doing business as NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST. IAPD ↗
$164.32B RAUM · 157 reps · 215-255-2300 · nomuraassetmanagement.com
Marketing & brandCRM
60
GREENWOOD GEARHART INC. is now doing business as GREENWOOD GEARHART, LLC. IAPD ↗
$1.64B RAUM · 11 reps · 479-521-5353
Marketing & brandCRM
60
EFG ASSET MANAGEMENT (AMERICAS) CORP. is now doing business as EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.. IAPD ↗
$1.92B RAUM · 21 reps · 305-482-8000 · efginternational.com
Marketing & brandCRM
58
CLUNE & ASSOCIATES is now doing business as FACTOR WEALTH MANAGEMENT. IAPD ↗
$630.1M RAUM · 4 reps · (312) 644-5040 · factorwealth.com
Marketing & brandCRM
58
ASCENDANT FINANCIAL SOLUTIONS, INC. is now doing business as HEFFERNAN ADVISORY, INC.. IAPD ↗
$315.9M RAUM · 4 reps · 928-774-9598
Marketing & brandCRM
58
ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, INC. is now doing business as ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, LLC. IAPD ↗
$464.3M RAUM · 3 reps · 516-887-4433
Marketing & brandCRM
58
AZIMUT GENESIS ADVISORS is now doing business as AZIMUT INVESTMENT ADVISORS LLC. IAPD ↗
$639.1M RAUM · 8 reps · 786 866 3700
Marketing & brandCRM
58
TAYLOR & MORGAN ASSET MANAGEMENT, LLC is now doing business as TAYLOR & MORGAN ASSET MANAGEMENT, LLC D/B/A TM ADVISORS, L. IAPD ↗
$327.0M RAUM · 7 reps · 248-688-9399 · tmcpa.com
Marketing & brandCRM
58
KG&L CAPITAL MANAGEMENT, LLC is now doing business as KG CAPITAL MANAGEMENT, LLC. IAPD ↗
$414.1M RAUM · 8 reps · 225-245-5153 · kgcapitalmanagement.com
Marketing & brandCRM
58
SIGNATURE WEALTH MANAGEMENT GROUP LLC is now doing business as SWMG HOLDINGS, LLC. IAPD ↗
$401.7M RAUM · 4 reps · 678-932-2500
Marketing & brandCRM
55
HARDING FINANCIAL GROUP, LLC. is now doing business as HARDING FINANCIAL GROUP. IAPD ↗
$135.6M RAUM · 3 reps · 614-515-4722
Marketing & brandCRM
55
MGO PRIVATE WEALTH, LLC is now doing business as LEGACY PCG, LLC. IAPD ↗
$206.2M RAUM · 2 reps · (949) 207-3241 · legacypcg.com
Marketing & brandCRM
55
HARPER INVESTING is now doing business as ALTURA WEALTH ADVISORS INC.. IAPD ↗
$169.0M RAUM · 4 reps · 408-642-1322 · harperinvesting.com
Marketing & brandCRM
55
SKYBOUND WEALTH MANAGEMENT USA, LLC is now doing business as SKYBOUND WEALTH USA. IAPD ↗
$160.6M RAUM · 6 reps · 1-346-845-0001
Marketing & brandCRM
55
SMITH WYND CAPITAL LLC is now doing business as SMITH & CO ADVISORY LLC. IAPD ↗
$129.4M RAUM · 2 reps · (615) 682-4383 · smithcoadvisory.com
Marketing & brandCRM
55
ARDEN GLOBAL FAMILY OFFICES LLC is now doing business as ARDEN GLOBAL FAMILY OFFICES. IAPD ↗
$103.6M RAUM · 1 reps · 650-680-8160
Marketing & brandCRM
45
FRONTEGRA ASSET MANAGEMENT INC is now doing business as MAGELLAN INVESTMENT PARTNERS NORTH AMERICA, INC.. IAPD ↗institutional
$119.3M RAUM · 3 reps · 847-509-9860 · us.magellaninvestmentpartners.com
Marketing & brandCRM
45
HARBERT FUND ADVISORS, INC. is now doing business as HARBERT FUND ADVISORS, LLC. IAPD ↗fund
$8.03B RAUM · 62 reps · 205/987-5500
Marketing & brandCRM
45
BROOKFIELD ASSET MGMT PRIVATE INST CAPITAL ADVISER (CREDIT), LLC is now doing business as PINEGROVE ADVISER LLC. IAPD ↗fund
$2.05B RAUM · 12 reps · 626-676-0710 · pinegrove.vc
Marketing & brandCRM
43
STRAWBERRY TREE MANAGEMENT COMPANY is now doing business as ANGELLIST ASSET MANAGEMENT, LLC. IAPD ↗fund
$297.6M RAUM · 7 reps · 206-880-1869 · angellistmgmt.com
Marketing & brandCRM
40
WOLF POINT ASSET MANAGEMENT LP is now doing business as WOLF POINT ASSET MANAGEMENT. IAPD ↗fund
$209.4M RAUM · 4 reps · 312-995-1400 · wolfpointam.com
Marketing & brandCRM
40
SQUARE NINE CAPITAL, LLC is now doing business as SQUARE NINE CAPITAL, LP. IAPD ↗fund
$181.5M RAUM · 5 reps · 818-254-7459
Marketing & brandCRM
website changed — 19 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
CGN ADVISORS, LLC changed its website from financialadvocateforyou.com to fairwindsadvice.com. IAPD ↗
$1.26B RAUM · 38 reps · 910-333-6659 · fairwindsadvice.com
Marketing & brand
30
GPS WEALTH STRATEGIES GROUP, LLC changed its website from lizwindisch.com to aspenwealthinc.com. IAPD ↗
$1.42B RAUM · 5 reps · 7204145412 · aspenwealthinc.com
Marketing & brand
30
EVERSOURCE WEALTH ADVISORS, LLC changed its website from insightwealthkc.com to reinholdfinancial.com. IAPD ↗
$3.95B RAUM · 40 reps · 205-982-5515 · reinholdfinancial.com
Marketing & brand
28
FACTOR WEALTH MANAGEMENT changed its website from clune.biz to factorwealth.com. IAPD ↗
$630.1M RAUM · 4 reps · (312) 644-5040 · factorwealth.com
Marketing & brand
28
NAMCOA changed its website from latoyamaddox.com to namcoa.com. IAPD ↗
$312.3M RAUM · 16 reps · (239) 593-5525 · namcoa.com
Marketing & brand
28
KG CAPITAL MANAGEMENT, LLC changed its website from kglcapitalmanagement.com to kgcapitalmanagement.com. IAPD ↗
$414.1M RAUM · 8 reps · 225-245-5153 · kgcapitalmanagement.com
Marketing & brand
28
FINANCIAL PLANNING SOLUTIONS, LLC changed its website from elderplan.com to yourdivorceisfinal.com. IAPD ↗
$312.4M RAUM · 6 reps · 617-630-4978 · yourdivorceisfinal.com
Marketing & brand
28
GOLDSTONE FINANCIAL GROUP, LLC changed its website from crunchbase.com to anthony-pellegrino.com. IAPD ↗
$917.5M RAUM · 11 reps · 630-620-9300 · anthony-pellegrino.com
Marketing & brand
28
THEPARTNERS WEALTH MANAGEMENT changed its website from coactivewealthstrategists.com to trivam.com. IAPD ↗
$454.5M RAUM · 32 reps · 800-324-3010 · trivam.com
Marketing & brand
28
OCTOGONE NA changed its website from octogone-na.com to octogone.ch. IAPD ↗
$497.8M RAUM · 3 reps · 305-677-9559 · octogone.ch
Marketing & brand
25
WALLICK INVESTMENTS, LLC changed its website from wifidelisindex.com to wallickinvestments.com. IAPD ↗
$112.4M RAUM · 1 reps · 803-699-9400 · wallickinvestments.com
Marketing & brand
25
LEGACY PCG, LLC changed its website from mgoprivatewealth.com to legacypcg.com. IAPD ↗
$206.2M RAUM · 2 reps · (949) 207-3241 · legacypcg.com
Marketing & brand
25
PALADIN CAPITAL changed its website from capitalpaladincomra.com to capitalpaladin.com. IAPD ↗
$4.0M RAUM · 4 reps · 651-842-8406 · capitalpaladin.com
Marketing & brand
25
SMITH & CO ADVISORY LLC changed its website from smithwynd.com to smithcoadvisory.com. IAPD ↗
$129.4M RAUM · 2 reps · (615) 682-4383 · smithcoadvisory.com
Marketing & brand
25
EXCELSIOR ADVISOR NETWORK LLC changed its website from jhardeeim.com to bvprivatewealth.com. IAPD ↗
$150.0M RAUM · 4 reps · 303-351-6436 · bvprivatewealth.com
Marketing & brand
15
PINEGROVE ADVISER LLC changed its website from brookfield.com to pinegrove.vc. IAPD ↗fund
$2.05B RAUM · 12 reps · 626-676-0710 · pinegrove.vc
Marketing & brand
15
ABL WEALTH ADVISORS, LLC changed its website from ablwealth.com to abacusgm.com. IAPD ↗institutional
$0 RAUM · 5 reps · 407-358-3332 · abacusgm.com
Marketing & brand
13
ANGELLIST ASSET MANAGEMENT, LLC changed its website from strawberrytree.co to angellistmgmt.com. IAPD ↗fund
$297.6M RAUM · 7 reps · 206-880-1869 · angellistmgmt.com
Marketing & brand
10
REEF INVESTMENT MANAGEMENT LLC changed its website from reefim.com to reefcp.com. IAPD ↗fund
$234.3M RAUM · 1 reps · 801-216-8850 · reefcp.com
Marketing & brand
aum down — 18 Regulatory AUM down >=25% since last filing.
50
GOLDMAN SACHS & CO. LLC reported RAUM down 51% ($233.16B -> $114.90B). IAPD ↗
$114.90B RAUM · 2318 reps · 212-902-1000
M&A & valuationRecruiting & transitions
50
WESTERN ASSET MANAGEMENT COMPANY reported RAUM down 38% ($298.75B -> $184.99B). IAPD ↗
$184.99B RAUM · 82 reps · 626-844-9400
M&A & valuationRecruiting & transitions
50
TEMPLETON INVESTMENT COUNSEL, LLC reported RAUM down 28% ($6.40B -> $4.61B). IAPD ↗
$4.61B RAUM · 17 reps · (954) 527-7500
M&A & valuationRecruiting & transitions
50
MOTLEY FOOL WEALTH MANAGEMENT, LLC reported RAUM down 27% ($2.18B -> $1.60B). IAPD ↗
$1.60B RAUM · 28 reps · 844-408-4390
M&A & valuationRecruiting & transitions
45
CANDIDE GROUP reported RAUM down 28% ($174.7M -> $125.3M). IAPD ↗
$125.3M RAUM · 7 reps · (510) 761-8150
M&A & valuationRecruiting & transitions
40
FLEXPATH STRATEGIES reported RAUM down 97% ($79.85B -> $2.70B). IAPD ↗institutional
$2.70B RAUM · 5 reps · 949-418-6030 · flexpathstrategies.com
M&A & valuationRecruiting & transitions
35
K2/D&S MANAGEMENT CO., L.L.C. reported RAUM down 31% ($9.44B -> $6.53B). IAPD ↗fund
$6.53B RAUM · 10 reps · 203-348-5252 · k2advisors.com
M&A & valuationRecruiting & transitions
35
POST ROAD GROUP LLC reported RAUM down 46% ($1.94B -> $1.04B). IAPD ↗fund
$1.04B RAUM · 6 reps · 203-518-8460
M&A & valuationRecruiting & transitions
35
21SHARES US LLC reported RAUM down 90% ($36.3M -> $3.7M). IAPD ↗institutional
$3.7M RAUM · 10 reps · 646-370-6016
M&A & valuationRecruiting & transitions
30
ALBRIGHT CAPITAL MANAGEMENT LP reported RAUM down 51% ($147.7M -> $73.0M). IAPD ↗fund
$73.0M RAUM · 6 reps · 202-370-3500 · albrightcapital.com
M&A & valuationRecruiting & transitions
30
CATHAY CAPITAL NA, LLC reported RAUM down 35% ($104.8M -> $68.5M). IAPD ↗fund
$68.5M RAUM · 4 reps · 212-858-9020 · cathaycapital.com
M&A & valuationRecruiting & transitions
20
WESTERN ASSET MANAGEMENT COMPANY LIMITED reported RAUM down 40% ($33.56B -> $20.09B). IAPD ↗foreign
$20.09B RAUM · 16 reps · 011-44-20-7422-3000
M&A & valuationRecruiting & transitions
20
FRANKLIN TEMPLETON INVESTMENTS CORP. reported RAUM down 41% ($21.59B -> $12.77B). IAPD ↗foreign
$12.77B RAUM · 28 reps · 416-957-6000 · franklintempleton.ca
M&A & valuationRecruiting & transitions
20
TEMPLETON ASSET MANAGEMENT LTD. reported RAUM down 33% ($35.63B -> $24.05B). IAPD ↗foreign
$24.05B RAUM · 39 reps · 65-6241-0777 · franklintempleton.com.sg
M&A & valuationRecruiting & transitions
20
WESTERN ASSET MANAGEMENT COMPANY PTE LTD reported RAUM down 30% ($3.99B -> $2.80B). IAPD ↗foreign
$2.80B RAUM · 5 reps · 65-6428-3600
M&A & valuationRecruiting & transitions
20
IMPAX ASSET MANAGEMENT, LTD. reported RAUM down 36% ($40.55B -> $25.84B). IAPD ↗foreign
$25.84B RAUM · 53 reps · 011 44 20 3912 3000 · impaxam.com
M&A & valuationRecruiting & transitions
20
COMGEST ASSET MANAGEMENT INTERNATIONAL LIMITED reported RAUM down 29% ($19.36B -> $13.66B). IAPD ↗foreign
$13.66B RAUM · 4 reps · +353 1 631 0100
M&A & valuationRecruiting & transitions
15
SETIA PARTNERS LIMITED reported RAUM down 97% ($280.0M -> $8.8M). IAPD ↗foreign
$8.8M RAUM · 2 reps · 852 3461 9479
M&A & valuationRecruiting & transitions
planning clients up — 12 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
79
JW NOVA WEALTH PARTNERS reports More than 500 financial-planning clients, up from 0. IAPD ↗
$307.9M RAUM · 3 reps · 267-753-7067
Financial planning software
76
ASPENRIDGE WEALTH ADVISORS reports 251-500 financial-planning clients, up from 0. IAPD ↗
$326.0M RAUM · 4 reps · 682-231-8331 · aspenridgewealthadvisors.com
Financial planning software
66
MOTLEY FOOL WEALTH MANAGEMENT, LLC reports 251-500 financial-planning clients, up from 51-100. IAPD ↗
$1.60B RAUM · 28 reps · 844-408-4390
Financial planning software
64
CIRCLE ADVISERS INC reports 101-250 financial-planning clients, up from 26-50. IAPD ↗
$868.2M RAUM · 7 reps · 212-885-4200 · cadvinc.com
Financial planning software
63
RAYMOND JAMES & ASSOCIATES, INC. reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
$500.96B RAUM · 5683 reps · 727-567-1000
Financial planning software
63
CALTON & ASSOCIATES, INC. reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
$1.58B RAUM · 221 reps · 813-264-0440 · calton.com
Financial planning software
63
JAMES INVESTMENT RESEARCH INC reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
$1.21B RAUM · 8 reps · 937-426-7640
Financial planning software
58
THE FOUNDRY FINANCIAL GROUP, INC. reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
$250.0M RAUM · 6 reps · 603-528-5171
Financial planning software
58
SOVEREIGN ASSET MANAGEMENT reports 1-10 financial-planning clients, up from 0. IAPD ↗
$150.6M RAUM · 2 reps · (716) 768-1463
Financial planning software
58
HERBEIN FINANCIAL GROUP, LLC reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
$0 RAUM · 2 reps · 484-509-1136 · herbein.com
Financial planning software
58
GRANITE ISLANDS PRIVATE WEALTH, LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$228.1M RAUM · 4 reps · 203-889-3899 · graniteislands.com
Financial planning software
33
LETKO, BROSSEAU & ASSOCIATES INC. reports 51-100 financial-planning clients, up from 26-50. IAPD ↗foreign
$18.83B RAUM · 36 reps · 1-800-307-8557
Financial planning software
private funds started — 11 Firm reports private funds for the first time.
73
COLLABORATIVE CAPITAL ADVISORS LLC now reports 1 private fund(s) ($5.0M gross). IAPD ↗
$381.9M RAUM · 2 reps · 646-933-5730 · collaborativecapitaladvisors.com
Fund administrationCompliance
70
TRITONPOINT CAPITAL, LLC now reports 1 private fund(s) ($23.0M gross). IAPD ↗
$112.2M RAUM · 3 reps · 301-799-9001
Fund administrationCompliance
60
AVANTYR CAPITAL PARTNERS, LP now reports 1 private fund(s) ($2.98B gross). IAPD ↗fund
$2.98B RAUM · 11 reps · 212-970-5700 · avantyrcapital.com
Fund administrationCompliance
58
LOTUS now reports 1 private fund(s) ($262.0M gross). IAPD ↗fund
$262.0M RAUM · 5 reps · 628-212-8533 · lotusmgmt.co
Fund administrationCompliance
58
COVARA CAPITAL, LLC now reports 1 private fund(s) ($402.0M gross). IAPD ↗fund
$402.0M RAUM · 4 reps · 212-970-6690
Fund administrationCompliance
58
DEFILADE CAPITAL MANAGEMENT, L.P. now reports 1 private fund(s) ($644.1M gross). IAPD ↗fund
$644.1M RAUM · 5 reps · 415 849 9478 · defcap.com
Fund administrationCompliance
55
FOXPATH CAPITAL PARTNERS LP now reports 1 private fund(s) ($50.0M gross). IAPD ↗fund
$50.0M RAUM · 4 reps · (212) 970-6490
Fund administrationCompliance
55
SQUARE NINE CAPITAL, LP now reports 1 private fund(s) ($93.8M gross). IAPD ↗fund
$181.5M RAUM · 5 reps · 818-254-7459
Fund administrationCompliance
55
ENCORE GLOBAL MANAGEMENT LP now reports 1 private fund(s) ($112.5M gross). IAPD ↗fund
$112.5M RAUM · 2 reps · (713) 933-3838 · encoregm.com
Fund administrationCompliance
55
MALT PARTNERS MANAGEMENT LLC now reports 2 private fund(s) ($59.1M gross). IAPD ↗fund
$36.5M RAUM · 2 reps · 646-450-5521
Fund administrationCompliance
45
1832 ASSET MANAGEMENT U.S. INC. now reports 1 private fund(s) ($25.9M gross). IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
Fund administrationCompliance
aum crossed 500m — 10 Regulatory AUM crossed $500M.
70
FIRST WASHINGTON CORPORATION crossed $500M in regulatory AUM ($427.5M -> $501.2M). IAPD ↗
$501.2M RAUM · 3 reps · 206-624-8320 · first-wash.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC crossed $500M in regulatory AUM ($456.4M -> $668.6M). IAPD ↗
$668.6M RAUM · 32 reps · 763-923-2270 · oakridgefinancial.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
HINDS FINANCIAL GROUP INC crossed $500M in regulatory AUM ($496.1M -> $536.9M). IAPD ↗
$536.9M RAUM · 5 reps · 303-985-9889 · cccandc.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
AZIMUT INVESTMENT ADVISORS LLC crossed $500M in regulatory AUM ($447.0M -> $639.1M). IAPD ↗
$639.1M RAUM · 8 reps · 786 866 3700
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FINANCIAL GRAVITY ASSET MANAGEMENT, INC. crossed $500M in regulatory AUM ($469.1M -> $523.4M). IAPD ↗
$523.4M RAUM · 1 reps · 1-800-920-9722 · financialgravityassetmanagement.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
MONEX ASSET MANAGEMENT, INC. crossed $500M in regulatory AUM ($386.3M -> $556.8M). IAPD ↗
$556.8M RAUM · 14 reps · 713-877-8234 · monexsec.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
ATLAS ASSET MANAGEMENT LLC crossed $500M in regulatory AUM ($334.0M -> $700.6M). IAPD ↗
$700.6M RAUM · 2 reps · 787 781-1301 · atlasam.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC crossed $500M in regulatory AUM ($467.2M -> $590.5M). IAPD ↗
$590.5M RAUM · 16 reps · 800-588-3893
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
FRANKLIN MANAGED OPTIONS STRATEGIES, LLC crossed $500M in regulatory AUM ($447.4M -> $972.5M). IAPD ↗
$972.5M RAUM · 3 reps · (888) 865-7268 · franklintempleton.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
THACKERAY PARTNERS crossed $500M in regulatory AUM ($309.4M -> $555.3M). IAPD ↗fund
$555.3M RAUM · 11 reps · 214-360-7830 · thackeraypartners.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
aum crossed 1b — 7 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
75
RCM GA MANAGER LLC crossed $1B in regulatory AUM ($977.3M -> $1.27B). IAPD ↗institutional
$1.27B RAUM · 10 reps · 212-850-7770 · rithmcap.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
LEXINGTON ADVISORS LLC crossed $1B in regulatory AUM ($243.3M -> $2.66B). IAPD ↗fund
$2.66B RAUM · 165 reps · 212-754-0411
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
PINEGROVE ADVISER LLC crossed $1B in regulatory AUM ($816.0M -> $2.05B). IAPD ↗fund
$2.05B RAUM · 12 reps · 626-676-0710 · pinegrove.vc
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
ADVANTAGE CAPITAL crossed $1B in regulatory AUM ($789.9M -> $1.29B). IAPD ↗fund
$1.29B RAUM · 95 reps · 504-522-4850
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
ZANBATO ADVISORS LLC crossed $1B in regulatory AUM ($506.9M -> $2.08B). IAPD ↗fund
$2.08B RAUM · 3 reps · 866-926-2286 · zanbato.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
LORD ABBETT PRIVATE CREDIT ADVISOR LLC crossed $1B in regulatory AUM ($844.7M -> $1.28B). IAPD ↗fund
$1.28B RAUM · 191 reps · 201-827-2000 · lordabbett.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
1832 ASSET MANAGEMENT U.S. INC. crossed $1B in regulatory AUM ($922.3M -> $1.43B). IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
reorganization — 5 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
45
GREENWOOD GEARHART, LLC filed an Item 4A succession naming GREENWOOD GEARHART INC. (CRD 110379) — an entity change, not a deal. IAPD ↗
$1.64B RAUM · 11 reps · 479-521-5353
Integration & migration consultingCompliance
45
FUTURE CAPITAL filed an Item 4A succession naming FUTURE CAPITAL (CRD 119081) — an entity change, not a deal. IAPD ↗
$1.03B RAUM · 2 reps · 423-648-1876 · futurecapital.com
Integration & migration consultingCompliance
43
ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, LLC filed an Item 4A succession naming ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, INC. (CRD 126685) — an entity change, not a deal. IAPD ↗
$464.3M RAUM · 3 reps · 516-887-4433
Integration & migration consultingCompliance
30
MAGELLAN INVESTMENT PARTNERS NORTH AMERICA, INC. filed an Item 4A succession naming FRONTEGRA ASSET MANAGEMENT INC (CRD 107420) — an entity change, not a deal. IAPD ↗institutional
$119.3M RAUM · 3 reps · 847-509-9860 · us.magellaninvestmentpartners.com
Integration & migration consultingCompliance
25
SQUARE NINE CAPITAL, LP filed an Item 4A succession naming SQUARE NINE CAPITAL, LP (CRD 336297) — an entity change, not a deal. IAPD ↗fund
$181.5M RAUM · 5 reps · 818-254-7459
Integration & migration consultingCompliance
wrap program started — 4 Firm began participating in a wrap-fee program (Item 5I(1)).
63
CAMBIENT FAMILY OFFICE, LLC began participating in a wrap-fee program. IAPD ↗
$668.8M RAUM · 3 reps · (616) 330-2270 · cambient.com
Portfolio / reporting / TAMPCompliance
60
FAMILY WEALTH PLANNING PARTNERS began participating in a wrap-fee program. IAPD ↗
$202.3M RAUM · 4 reps · 502-200-5210 · fwppartners.com
Portfolio / reporting / TAMPCompliance
35
1832 ASSET MANAGEMENT U.S. INC. began participating in a wrap-fee program. IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
Portfolio / reporting / TAMPCompliance
35
CLEARBRIDGE INVESTMENT MANAGEMENT LIMITED began participating in a wrap-fee program. IAPD ↗foreign
$9.89B RAUM · 16 reps · 44 131 229 5252
Portfolio / reporting / TAMPCompliance
planning started — 2 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
80
CAPITAL INVESTMENT SERVICES OF AMERICA INC now offers financial planning (Item 5G(1)). IAPD ↗
$1.31B RAUM · 9 reps · 414-278-7744 · capinv.com
Financial planning softwareCRM
78
AUOUR INVESTMENTS LLC now offers financial planning (Item 5G(1)). IAPD ↗
$340.9M RAUM · 4 reps · 978-338-4830 · auour.com
Financial planning softwareCRM

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