← Tributary

What changed in the May 2026 SEC adviser roster

966 events across 819 firms · 766 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

229state expansion
206new registration
96new office
54aum up
48deregistered
43disclosure added
42pending approved
37headcount up
32website changed
26headcount down
26aum down
24custody started

Top 25 signals — US wealth firms

100
MESON QUANTITATIVE MANAGEMENT LLC (SAN FRANCISCO, CA) is newly SEC-registered with $1.09B RAUM and 11 advisory reps. IAPD ↗
$1.09B RAUM · 11 reps · 415-322-0486 · mesoncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
MWA INVESTMENTS, LLC (WHITE STONE, VA) is newly SEC-registered with $250.4M RAUM and 1 advisory reps. IAPD ↗
$250.4M RAUM · 1 reps · 804-761-1969
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RJJ PASADENA SECURITIES, INC. (HENDERSON, NV) is newly SEC-registered with $110.3M RAUM and 2 advisory reps. IAPD ↗
$110.3M RAUM · 2 reps · 626-792-1244
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WORTH FINANCIAL GROUP INC. (DALLAS, TX) is newly SEC-registered with $122.8M RAUM and 5 advisory reps. IAPD ↗
$122.8M RAUM · 5 reps · (469) 916-4287 · worthfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POTOMAC INVESTMENT COMPANY (location n/a) is newly SEC-registered with $107.0M RAUM and 2 advisory reps. IAPD ↗
$107.0M RAUM · 2 reps · 240-274-7810
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALAMO CAPITAL (WALNUT CREEK, CA) is newly SEC-registered with $103.6M RAUM and 2 advisory reps. IAPD ↗
$103.6M RAUM · 2 reps · 925-472-5700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ABENS FINANCIAL SERVICES INC (EDINA, MN) is newly SEC-registered with $120.1M RAUM and 3 advisory reps. IAPD ↗
$120.1M RAUM · 3 reps · 952-933-9650 · abens.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KINNAMON & ASSOCIATES LTD II (BARRINGTON, IL) is newly SEC-registered with $117.6M RAUM and 2 advisory reps. IAPD ↗
$117.6M RAUM · 2 reps · 847-381-1053 · kinnamoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JAFFE ASSET MANAGEMENT LLC (BEVERLY HILLS, CA) is newly SEC-registered with $116.2M RAUM and 1 advisory reps. IAPD ↗
$116.2M RAUM · 1 reps · 310-858-0700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG WEALTH MANAGEMENT SERVICES INC (INDIANAPOLIS, IN) is newly SEC-registered with $110.2M RAUM and 2 advisory reps. IAPD ↗
$110.2M RAUM · 2 reps · 317-841-7959
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEE-WAY FINANCIAL SERVICES, INC (HATTIESBURG, MS) is newly SEC-registered with $132.1M RAUM and 1 advisory reps. IAPD ↗
$132.1M RAUM · 1 reps · 9179524262 · leewayfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PORTFOLIO ADVISORY GROUP, INC. (ALEXANDRIA, VA) is newly SEC-registered with $115.8M RAUM and 2 advisory reps. IAPD ↗
$115.8M RAUM · 2 reps · 703-461-9193
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HULSEY CAPITAL MANAGEMENT, INC. (HEBER SPRINGS, AR) is newly SEC-registered with $113.2M RAUM and 1 advisory reps. IAPD ↗
$113.2M RAUM · 1 reps · 501-362-1681
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WYNN CAPITAL MANAGEMENT, LLC (SANTA CRUZ, CA) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
$102.0M RAUM · 2 reps · 831.600.7326
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ODA AND COMPANY, INC. (MEDINA, OH) is newly SEC-registered with $125.6M RAUM and 1 advisory reps. IAPD ↗
$125.6M RAUM · 1 reps · 330-725-8911
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SERA CAPITAL MANAGEMENT, LLC (ANNAPOLIS, MD) is newly SEC-registered with $114.3M RAUM and 5 advisory reps. IAPD ↗
$114.3M RAUM · 5 reps · 301-464-8333 · seracapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
S.C. THOMAS & ASSOCIATES, CPA, LLC (MEDINA, OH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · 330-725-3162 · scthomascpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRATED INVESTMENT STRATEGIES,INC. (CARMEL, IN) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
$104.5M RAUM · 3 reps · 317-843-5577 · integratedinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PATHFINDER ADVISORY, INC. (ROCKFORD, IL) is newly SEC-registered with $121.4M RAUM and 3 advisory reps. IAPD ↗
$121.4M RAUM · 3 reps · 815.399.9806
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROCKY HILL ADVISORS INC. (PEABODY, MA) is newly SEC-registered with $102.4M RAUM and 1 advisory reps. IAPD ↗
$102.4M RAUM · 1 reps · 978-531-5900 · rockyhilladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RECHTER WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $133.5M RAUM and 2 advisory reps. IAPD ↗
$133.5M RAUM · 2 reps · 703-304-9195 · rechterwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORNERSTONE FINANCIAL (ATLANTA, GA) is newly SEC-registered with $118.0M RAUM and 3 advisory reps. IAPD ↗
$118.0M RAUM · 3 reps · 404-874-3111 · corstonefinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE GRANITE CAPITAL, LLC (CHARLESTON, SC) is newly SEC-registered with $108.8M RAUM and 3 advisory reps. IAPD ↗
$108.8M RAUM · 3 reps · 843-722-7330 · bluegranitecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPHA FINANCIAL MANAGEMENT, INC. (SAVANNAH, GA) is newly SEC-registered with $109.4M RAUM and 3 advisory reps. IAPD ↗
$109.4M RAUM · 3 reps · 912-353-9343 · michaeldayoub.wordpress.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ASHWOOD ADVISORS (MEDFIELD, MA) is newly SEC-registered with $126.9M RAUM and 2 advisory reps. IAPD ↗
$126.9M RAUM · 2 reps · 508-359-9442 · geremiainvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 366 firms

100
MESON QUANTITATIVE MANAGEMENT LLC (SAN FRANCISCO, CA) is newly SEC-registered with $1.09B RAUM and 11 advisory reps. IAPD ↗
$1.09B RAUM · 11 reps · 415-322-0486 · mesoncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
MWA INVESTMENTS, LLC (WHITE STONE, VA) is newly SEC-registered with $250.4M RAUM and 1 advisory reps. IAPD ↗
$250.4M RAUM · 1 reps · 804-761-1969
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RJJ PASADENA SECURITIES, INC. (HENDERSON, NV) is newly SEC-registered with $110.3M RAUM and 2 advisory reps. IAPD ↗
$110.3M RAUM · 2 reps · 626-792-1244
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WORTH FINANCIAL GROUP INC. (DALLAS, TX) is newly SEC-registered with $122.8M RAUM and 5 advisory reps. IAPD ↗
$122.8M RAUM · 5 reps · (469) 916-4287 · worthfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POTOMAC INVESTMENT COMPANY (location n/a) is newly SEC-registered with $107.0M RAUM and 2 advisory reps. IAPD ↗
$107.0M RAUM · 2 reps · 240-274-7810
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALAMO CAPITAL (WALNUT CREEK, CA) is newly SEC-registered with $103.6M RAUM and 2 advisory reps. IAPD ↗
$103.6M RAUM · 2 reps · 925-472-5700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ABENS FINANCIAL SERVICES INC (EDINA, MN) is newly SEC-registered with $120.1M RAUM and 3 advisory reps. IAPD ↗
$120.1M RAUM · 3 reps · 952-933-9650 · abens.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KINNAMON & ASSOCIATES LTD II (BARRINGTON, IL) is newly SEC-registered with $117.6M RAUM and 2 advisory reps. IAPD ↗
$117.6M RAUM · 2 reps · 847-381-1053 · kinnamoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JAFFE ASSET MANAGEMENT LLC (BEVERLY HILLS, CA) is newly SEC-registered with $116.2M RAUM and 1 advisory reps. IAPD ↗
$116.2M RAUM · 1 reps · 310-858-0700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG WEALTH MANAGEMENT SERVICES INC (INDIANAPOLIS, IN) is newly SEC-registered with $110.2M RAUM and 2 advisory reps. IAPD ↗
$110.2M RAUM · 2 reps · 317-841-7959
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 356 more in the CSV export.

Financial planning software 279 firms

100
MESON QUANTITATIVE MANAGEMENT LLC (SAN FRANCISCO, CA) is newly SEC-registered with $1.09B RAUM and 11 advisory reps. IAPD ↗
$1.09B RAUM · 11 reps · 415-322-0486 · mesoncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
MWA INVESTMENTS, LLC (WHITE STONE, VA) is newly SEC-registered with $250.4M RAUM and 1 advisory reps. IAPD ↗
$250.4M RAUM · 1 reps · 804-761-1969
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RJJ PASADENA SECURITIES, INC. (HENDERSON, NV) is newly SEC-registered with $110.3M RAUM and 2 advisory reps. IAPD ↗
$110.3M RAUM · 2 reps · 626-792-1244
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WORTH FINANCIAL GROUP INC. (DALLAS, TX) is newly SEC-registered with $122.8M RAUM and 5 advisory reps. IAPD ↗
$122.8M RAUM · 5 reps · (469) 916-4287 · worthfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POTOMAC INVESTMENT COMPANY (location n/a) is newly SEC-registered with $107.0M RAUM and 2 advisory reps. IAPD ↗
$107.0M RAUM · 2 reps · 240-274-7810
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALAMO CAPITAL (WALNUT CREEK, CA) is newly SEC-registered with $103.6M RAUM and 2 advisory reps. IAPD ↗
$103.6M RAUM · 2 reps · 925-472-5700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ABENS FINANCIAL SERVICES INC (EDINA, MN) is newly SEC-registered with $120.1M RAUM and 3 advisory reps. IAPD ↗
$120.1M RAUM · 3 reps · 952-933-9650 · abens.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KINNAMON & ASSOCIATES LTD II (BARRINGTON, IL) is newly SEC-registered with $117.6M RAUM and 2 advisory reps. IAPD ↗
$117.6M RAUM · 2 reps · 847-381-1053 · kinnamoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JAFFE ASSET MANAGEMENT LLC (BEVERLY HILLS, CA) is newly SEC-registered with $116.2M RAUM and 1 advisory reps. IAPD ↗
$116.2M RAUM · 1 reps · 310-858-0700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG WEALTH MANAGEMENT SERVICES INC (INDIANAPOLIS, IN) is newly SEC-registered with $110.2M RAUM and 2 advisory reps. IAPD ↗
$110.2M RAUM · 2 reps · 317-841-7959
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 269 more in the CSV export.

Compliance 496 firms

100
MESON QUANTITATIVE MANAGEMENT LLC (SAN FRANCISCO, CA) is newly SEC-registered with $1.09B RAUM and 11 advisory reps. IAPD ↗
$1.09B RAUM · 11 reps · 415-322-0486 · mesoncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
MWA INVESTMENTS, LLC (WHITE STONE, VA) is newly SEC-registered with $250.4M RAUM and 1 advisory reps. IAPD ↗
$250.4M RAUM · 1 reps · 804-761-1969
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RJJ PASADENA SECURITIES, INC. (HENDERSON, NV) is newly SEC-registered with $110.3M RAUM and 2 advisory reps. IAPD ↗
$110.3M RAUM · 2 reps · 626-792-1244
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WORTH FINANCIAL GROUP INC. (DALLAS, TX) is newly SEC-registered with $122.8M RAUM and 5 advisory reps. IAPD ↗
$122.8M RAUM · 5 reps · (469) 916-4287 · worthfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POTOMAC INVESTMENT COMPANY (location n/a) is newly SEC-registered with $107.0M RAUM and 2 advisory reps. IAPD ↗
$107.0M RAUM · 2 reps · 240-274-7810
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALAMO CAPITAL (WALNUT CREEK, CA) is newly SEC-registered with $103.6M RAUM and 2 advisory reps. IAPD ↗
$103.6M RAUM · 2 reps · 925-472-5700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ABENS FINANCIAL SERVICES INC (EDINA, MN) is newly SEC-registered with $120.1M RAUM and 3 advisory reps. IAPD ↗
$120.1M RAUM · 3 reps · 952-933-9650 · abens.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KINNAMON & ASSOCIATES LTD II (BARRINGTON, IL) is newly SEC-registered with $117.6M RAUM and 2 advisory reps. IAPD ↗
$117.6M RAUM · 2 reps · 847-381-1053 · kinnamoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JAFFE ASSET MANAGEMENT LLC (BEVERLY HILLS, CA) is newly SEC-registered with $116.2M RAUM and 1 advisory reps. IAPD ↗
$116.2M RAUM · 1 reps · 310-858-0700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG WEALTH MANAGEMENT SERVICES INC (INDIANAPOLIS, IN) is newly SEC-registered with $110.2M RAUM and 2 advisory reps. IAPD ↗
$110.2M RAUM · 2 reps · 317-841-7959
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 486 more in the CSV export.

Portfolio / reporting / TAMP 240 firms

100
MESON QUANTITATIVE MANAGEMENT LLC (SAN FRANCISCO, CA) is newly SEC-registered with $1.09B RAUM and 11 advisory reps. IAPD ↗
$1.09B RAUM · 11 reps · 415-322-0486 · mesoncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
MWA INVESTMENTS, LLC (WHITE STONE, VA) is newly SEC-registered with $250.4M RAUM and 1 advisory reps. IAPD ↗
$250.4M RAUM · 1 reps · 804-761-1969
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RJJ PASADENA SECURITIES, INC. (HENDERSON, NV) is newly SEC-registered with $110.3M RAUM and 2 advisory reps. IAPD ↗
$110.3M RAUM · 2 reps · 626-792-1244
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WORTH FINANCIAL GROUP INC. (DALLAS, TX) is newly SEC-registered with $122.8M RAUM and 5 advisory reps. IAPD ↗
$122.8M RAUM · 5 reps · (469) 916-4287 · worthfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POTOMAC INVESTMENT COMPANY (location n/a) is newly SEC-registered with $107.0M RAUM and 2 advisory reps. IAPD ↗
$107.0M RAUM · 2 reps · 240-274-7810
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALAMO CAPITAL (WALNUT CREEK, CA) is newly SEC-registered with $103.6M RAUM and 2 advisory reps. IAPD ↗
$103.6M RAUM · 2 reps · 925-472-5700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ABENS FINANCIAL SERVICES INC (EDINA, MN) is newly SEC-registered with $120.1M RAUM and 3 advisory reps. IAPD ↗
$120.1M RAUM · 3 reps · 952-933-9650 · abens.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KINNAMON & ASSOCIATES LTD II (BARRINGTON, IL) is newly SEC-registered with $117.6M RAUM and 2 advisory reps. IAPD ↗
$117.6M RAUM · 2 reps · 847-381-1053 · kinnamoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JAFFE ASSET MANAGEMENT LLC (BEVERLY HILLS, CA) is newly SEC-registered with $116.2M RAUM and 1 advisory reps. IAPD ↗
$116.2M RAUM · 1 reps · 310-858-0700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG WEALTH MANAGEMENT SERVICES INC (INDIANAPOLIS, IN) is newly SEC-registered with $110.2M RAUM and 2 advisory reps. IAPD ↗
$110.2M RAUM · 2 reps · 317-841-7959
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 230 more in the CSV export.

Custodian 188 firms

100
MESON QUANTITATIVE MANAGEMENT LLC (SAN FRANCISCO, CA) is newly SEC-registered with $1.09B RAUM and 11 advisory reps. IAPD ↗
$1.09B RAUM · 11 reps · 415-322-0486 · mesoncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
MWA INVESTMENTS, LLC (WHITE STONE, VA) is newly SEC-registered with $250.4M RAUM and 1 advisory reps. IAPD ↗
$250.4M RAUM · 1 reps · 804-761-1969
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RJJ PASADENA SECURITIES, INC. (HENDERSON, NV) is newly SEC-registered with $110.3M RAUM and 2 advisory reps. IAPD ↗
$110.3M RAUM · 2 reps · 626-792-1244
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WORTH FINANCIAL GROUP INC. (DALLAS, TX) is newly SEC-registered with $122.8M RAUM and 5 advisory reps. IAPD ↗
$122.8M RAUM · 5 reps · (469) 916-4287 · worthfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POTOMAC INVESTMENT COMPANY (location n/a) is newly SEC-registered with $107.0M RAUM and 2 advisory reps. IAPD ↗
$107.0M RAUM · 2 reps · 240-274-7810
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALAMO CAPITAL (WALNUT CREEK, CA) is newly SEC-registered with $103.6M RAUM and 2 advisory reps. IAPD ↗
$103.6M RAUM · 2 reps · 925-472-5700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ABENS FINANCIAL SERVICES INC (EDINA, MN) is newly SEC-registered with $120.1M RAUM and 3 advisory reps. IAPD ↗
$120.1M RAUM · 3 reps · 952-933-9650 · abens.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KINNAMON & ASSOCIATES LTD II (BARRINGTON, IL) is newly SEC-registered with $117.6M RAUM and 2 advisory reps. IAPD ↗
$117.6M RAUM · 2 reps · 847-381-1053 · kinnamoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JAFFE ASSET MANAGEMENT LLC (BEVERLY HILLS, CA) is newly SEC-registered with $116.2M RAUM and 1 advisory reps. IAPD ↗
$116.2M RAUM · 1 reps · 310-858-0700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG WEALTH MANAGEMENT SERVICES INC (INDIANAPOLIS, IN) is newly SEC-registered with $110.2M RAUM and 2 advisory reps. IAPD ↗
$110.2M RAUM · 2 reps · 317-841-7959
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 178 more in the CSV export.

Marketing & brand 456 firms

100
MESON QUANTITATIVE MANAGEMENT LLC (SAN FRANCISCO, CA) is newly SEC-registered with $1.09B RAUM and 11 advisory reps. IAPD ↗
$1.09B RAUM · 11 reps · 415-322-0486 · mesoncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
MWA INVESTMENTS, LLC (WHITE STONE, VA) is newly SEC-registered with $250.4M RAUM and 1 advisory reps. IAPD ↗
$250.4M RAUM · 1 reps · 804-761-1969
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RJJ PASADENA SECURITIES, INC. (HENDERSON, NV) is newly SEC-registered with $110.3M RAUM and 2 advisory reps. IAPD ↗
$110.3M RAUM · 2 reps · 626-792-1244
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WORTH FINANCIAL GROUP INC. (DALLAS, TX) is newly SEC-registered with $122.8M RAUM and 5 advisory reps. IAPD ↗
$122.8M RAUM · 5 reps · (469) 916-4287 · worthfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POTOMAC INVESTMENT COMPANY (location n/a) is newly SEC-registered with $107.0M RAUM and 2 advisory reps. IAPD ↗
$107.0M RAUM · 2 reps · 240-274-7810
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALAMO CAPITAL (WALNUT CREEK, CA) is newly SEC-registered with $103.6M RAUM and 2 advisory reps. IAPD ↗
$103.6M RAUM · 2 reps · 925-472-5700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ABENS FINANCIAL SERVICES INC (EDINA, MN) is newly SEC-registered with $120.1M RAUM and 3 advisory reps. IAPD ↗
$120.1M RAUM · 3 reps · 952-933-9650 · abens.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KINNAMON & ASSOCIATES LTD II (BARRINGTON, IL) is newly SEC-registered with $117.6M RAUM and 2 advisory reps. IAPD ↗
$117.6M RAUM · 2 reps · 847-381-1053 · kinnamoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JAFFE ASSET MANAGEMENT LLC (BEVERLY HILLS, CA) is newly SEC-registered with $116.2M RAUM and 1 advisory reps. IAPD ↗
$116.2M RAUM · 1 reps · 310-858-0700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG WEALTH MANAGEMENT SERVICES INC (INDIANAPOLIS, IN) is newly SEC-registered with $110.2M RAUM and 2 advisory reps. IAPD ↗
$110.2M RAUM · 2 reps · 317-841-7959
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 446 more in the CSV export.

Recruiting & transitions 177 firms

85
WEALTHSPIRE ADVISORS grew from 195 to 220 advisory reps. IAPD ↗
$34.32B RAUM · 220 reps · (212) 973-1200
CRMRecruiting & transitionsComplianceFinancial planning software
85
ONEDIGITAL grew from 333 to 367 advisory reps. IAPD ↗
$155.41B RAUM · 367 reps · 877-742-2021
CRMRecruiting & transitionsComplianceFinancial planning software
80
LYNX INVESTMENT ADVISORY, LLC grew from 0 to 10 advisory reps. IAPD ↗
$1.11B RAUM · 10 reps · 202-833-3700
CRMRecruiting & transitionsComplianceFinancial planning software
77
VESTWELL ADVISORS LLC grew from 23 to 30 advisory reps. IAPD ↗
$1.03B RAUM · 30 reps · 917-979-5358
CRMRecruiting & transitionsComplianceFinancial planning software
76
SANCTUARY ADVISORS, LLC grew from 380 to 386 advisory reps. IAPD ↗
$34.88B RAUM · 386 reps · 317-975-7729
CRMRecruiting & transitionsComplianceFinancial planning software
75
PLANCORP, LLC grew from 43 to 48 advisory reps. IAPD ↗
$9.94B RAUM · 48 reps · (636) 532-7824
CRMRecruiting & transitionsComplianceFinancial planning software
75
TRIBUTARY CAPITAL MANAGEMENT, LLC grew from 8 to 13 advisory reps. IAPD ↗
$1.90B RAUM · 13 reps · 877-458-0021 · tributarycapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
THEPARTNERS WEALTH MANAGEMENT grew from 31 to 36 advisory reps. IAPD ↗
$1.18B RAUM · 36 reps · 800-324-3010 · wilkinswealthmanagement.com
CRMRecruiting & transitionsComplianceFinancial planning software
74
LINDEN THOMAS ADVISORY SERVICES, LLC grew from 4 to 8 advisory reps. IAPD ↗
$1.77B RAUM · 8 reps · (704) 554-8150 · lindenthomas.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
SECURE INVESTMENT MANAGEMENT, LLC grew from 12 to 20 advisory reps. IAPD ↗
$42.9M RAUM · 20 reps · 520-333-4719 · secureinvestmentmanagement.com
CRMRecruiting & transitionsComplianceFinancial planning software

…and 167 more in the CSV export.

Integration & migration consulting 13 firms

85
CAPITAL INVESTMENT COUNSEL INC crossed $1B in regulatory AUM ($889.4M -> $1.02B). IAPD ↗
$1.02B RAUM · 4 reps · 919-831-2370 · capital-invest.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
WILLIAM MACK & ASSOCIATES INC crossed $1B in regulatory AUM ($820.4M -> $1.03B). IAPD ↗
$1.03B RAUM · 10 reps · 248-643-4310 · wmack.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
JOHN MOORE & ASSOCIATES INC crossed $1B in regulatory AUM ($970.2M -> $1.03B). IAPD ↗
$1.03B RAUM · 9 reps · 505-881-5100 · johnmoore.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
ARQ WEALTH ADVISORS, LLC crossed $1B in regulatory AUM ($844.3M -> $1.11B). IAPD ↗
$1.11B RAUM · 9 reps · 480-214-9572 · arqwealth.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
SEQUENT ASSET MANAGEMENT, LLC crossed $1B in regulatory AUM ($972.7M -> $1.06B). IAPD ↗
$1.06B RAUM · 2 reps · 713-467-0008 · sequentasset.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
ENCLAVE ADVISORS, LLC crossed $1B in regulatory AUM ($983.1M -> $1.10B). IAPD ↗
$1.10B RAUM · 3 reps · 512-527-3105
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
BOLTWOOD CAPITAL MANAGEMENT crossed $500M in regulatory AUM ($380.6M -> $502.5M). IAPD ↗
$502.5M RAUM · 2 reps · 415-433-1550 · boltwoodcap.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
MINDFUL ASSET PLANNING crossed $500M in regulatory AUM ($452.0M -> $529.5M). IAPD ↗
$529.5M RAUM · 2 reps · 952-432-4666
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
VALUEWORKS, LLC crossed $500M in regulatory AUM ($429.4M -> $577.3M). IAPD ↗
$577.3M RAUM · 3 reps · 212-819-1818
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
THE ENTERPRISE INVESTMENT COMPANY crossed $500M in regulatory AUM ($479.6M -> $607.1M). IAPD ↗
$607.1M RAUM · 7 reps · 248-539-8282 · pappasfinancial.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting

…and 3 more in the CSV export.

Fund administration 2 firms

73
LRZ CAPITAL LLC now reports 2 private fund(s) ($369.8M gross). IAPD ↗
$370.0M RAUM · 3 reps · 305-615-0215 · lrzcapital.com
Fund administrationCompliance
70
SL CAPITAL now reports 1 private fund(s) ($7.4M gross). IAPD ↗
$230.3M RAUM · 4 reps · 480-359-7092 · slcapitalwealth.com
Fund administrationCompliance

Office IT & facilities 100 firms

55
HANTZ FINANCIAL SERVICES, INC. added office(s): 19 -> 20 additional locations. IAPD ↗
$10.00B RAUM · 333 reps · 248-304-2855 · hantzgroup.com
Office IT & facilitiesCRMRecruiting & transitions
55
BLOOM ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$1.62B RAUM · 11 reps · 248-932-5200
Office IT & facilitiesCRMRecruiting & transitions
55
WEALTHSPIRE ADVISORS added office(s): 22 -> 26 additional locations. IAPD ↗
$34.32B RAUM · 220 reps · (212) 973-1200
Office IT & facilitiesCRMRecruiting & transitions
55
PLANCORP, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$9.94B RAUM · 48 reps · (636) 532-7824
Office IT & facilitiesCRMRecruiting & transitions
55
ONEDIGITAL added office(s): 83 -> 173 additional locations. IAPD ↗
$155.41B RAUM · 367 reps · 877-742-2021
Office IT & facilitiesCRMRecruiting & transitions
55
SAVANT WEALTH MANAGEMENT added office(s): 49 -> 65 additional locations. IAPD ↗
$49.57B RAUM · 238 reps · 815-227-0300
Office IT & facilitiesCRMRecruiting & transitions
55
BRIGHTON JONES LLC added office(s): 23 -> 24 additional locations. IAPD ↗
$18.88B RAUM · 156 reps · 206-258-5000
Office IT & facilitiesCRMRecruiting & transitions
55
TRIBUTARY CAPITAL MANAGEMENT, LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$1.90B RAUM · 13 reps · 877-458-0021 · tributarycapital.com
Office IT & facilitiesCRMRecruiting & transitions
55
BEACON POINTE ADVISORS, LLC added office(s): 65 -> 89 additional locations. IAPD ↗
$54.87B RAUM · 440 reps · 949-718-1600 · beaconpointefunds.com
Office IT & facilitiesCRMRecruiting & transitions
55
TFO WEALTH PARTNERS added office(s): 10 -> 11 additional locations. IAPD ↗
$5.66B RAUM · 55 reps · 419-891-9999
Office IT & facilitiesCRMRecruiting & transitions

…and 90 more in the CSV export.

M&A & valuation 62 firms

65
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL, MN) left the SEC roster (was $22.94B RAUM, 944 reps). IAPD ↗
$22.94B RAUM · 944 reps · 800-888-4700
Recruiting & transitionsM&A & valuation
65
REGENCY INVESTMENT ADVISORS INC (FRESNO, CA) left the SEC roster (was $1.14B RAUM, 8 reps). IAPD ↗
$1.14B RAUM · 8 reps · 559-438-2640 · regencyinvests.com
Recruiting & transitionsM&A & valuation
65
COVENANT PARTNERS, LLC (NASHVILLE, TN) left the SEC roster (was $1.08B RAUM, 5 reps). IAPD ↗
$1.08B RAUM · 5 reps · 615-665-1801 · covenantpartnersllc.com
Recruiting & transitionsM&A & valuation
65
EXENCIAL WEALTH ADVISORS (OKLAHOMA CITY, OK) left the SEC roster (was $5.98B RAUM, 47 reps). IAPD ↗
$5.98B RAUM · 47 reps · 405-478-1971
Recruiting & transitionsM&A & valuation
65
ALPHA CUBED INVESTMENTS, LLC (COSTA MESA, CA) left the SEC roster (was $3.78B RAUM, 22 reps). IAPD ↗
$3.78B RAUM · 22 reps · (800) 701-2457
Recruiting & transitionsM&A & valuation
65
JOURNEY STRATEGIC WEALTH LLC (SUMMIT, NJ) left the SEC roster (was $4.64B RAUM, 21 reps). IAPD ↗
$4.64B RAUM · 21 reps · (201) 905-0070 · journeysw.com
Recruiting & transitionsM&A & valuation
63
VANTAGE WEALTH (PASADENA, CA) left the SEC roster (was $683.8M RAUM, 4 reps). IAPD ↗
$683.8M RAUM · 4 reps · 626-844-7184 · vantagewealth.com
Recruiting & transitionsM&A & valuation
63
STUART CHAUSSÉE & ASSOCIATES, INC. (location n/a) left the SEC roster (was $407.9M RAUM, 2 reps). IAPD ↗
$407.9M RAUM · 2 reps · (310) 373-3732 · preservingwealth.com
Recruiting & transitionsM&A & valuation
63
EDGE FINANCIAL ADVISORS, LLC (WHEATON, IL) left the SEC roster (was $512.5M RAUM, 8 reps). IAPD ↗
$512.5M RAUM · 8 reps · 630-221-1000
Recruiting & transitionsM&A & valuation
63
DEMPSEY LORD SMITH, LLC (ROME, GA) left the SEC roster (was $580.5M RAUM, 78 reps). IAPD ↗
$580.5M RAUM · 78 reps · 706.238.9575 · wealthretirementsolutions.net
Recruiting & transitionsM&A & valuation

…and 52 more in the CSV export.

Everything else — all segments

state expansion — 229 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
THE RETIREMENT PLANNING GROUP, LLC notice-filed in AL, DC, DE, MS, MT, ND, NH, VT, WV. IAPD ↗
$4.16B RAUM · 33 reps · 913-498-8898 · planningretirements.com
ComplianceMarketing & brand
55
ARQ WEALTH ADVISORS, LLC notice-filed in ID, IN, MA, MI, NV. IAPD ↗
$1.11B RAUM · 9 reps · 480-214-9572 · arqwealth.com
ComplianceMarketing & brand
55
APOLLON FINANCIAL, LLC notice-filed in DC, DE, LA, MA, NE, TN. IAPD ↗
$1.45B RAUM · 18 reps · 843-579-0018 · apollonfinancial.com
ComplianceMarketing & brand
55
COREVISION FINANCIAL GROUP notice-filed in AL, AR, MI, NC, VA. IAPD ↗
$1.15B RAUM · 6 reps · 317-398-8200 · corevisionfg.com
ComplianceMarketing & brand
53
NORTH PIER FIDUCIARY MANAGEMENT, LLC notice-filed in CA, NV, TX, UT. IAPD ↗
$1.28B RAUM · 5 reps · 800-403-7065 · npier.com
ComplianceMarketing & brand
53
MOMENTUM ADVISORS notice-filed in GA, LA, MA, NC, PA, TX. IAPD ↗
$414.7M RAUM · 7 reps · 917-997-4297
ComplianceMarketing & brand
53
CLARK ASSET MANAGEMENT, LLC notice-filed in HI, NE, OR, SC. IAPD ↗
$1.32B RAUM · 6 reps · 603-237-1341
ComplianceMarketing & brand
53
GADDIS PREMIER WEALTH ADVISORS LLC notice-filed in AR, CA, GA, MN, MO. IAPD ↗
$368.5M RAUM · 7 reps · 580-745-8133
ComplianceMarketing & brand
53
ALPHA ZERO LLC notice-filed in CA, GA, LA, NC, OH, VA, WA. IAPD ↗
$269.8M RAUM · 8 reps · (561) 576-2599 · alphazerowealth.com
ComplianceMarketing & brand
53
SAND CREEK CAPITAL, LLC notice-filed in CA, GA, LA, MT, NH, WA. IAPD ↗
$471.2M RAUM · 8 reps · 208-356-9022 · sandcreekcap.com
ComplianceMarketing & brand
53
STONEBRIDGE FINANCIAL GROUP notice-filed in AZ, CO, CT, FL, GA, IL, IN, MA, MI, MO, NC, NJ, NV, NY, OR, PA, TN, TX, UT, VA, WA. IAPD ↗
$896.0M RAUM · 12 reps · 4154614961 · sb-fg.com
ComplianceMarketing & brand
51
WESCOTT FINANCIAL ADVISORY GROUP LLC notice-filed in IL, SC, WA. IAPD ↗
$4.16B RAUM · 27 reps · 215-979-1619
ComplianceMarketing & brand
51
ALTUS WEALTH MANAGEMENT, LLC notice-filed in FL, NY, TN, TX. IAPD ↗
$405.2M RAUM · 5 reps · 859-815-8566 · altuswm.com
ComplianceMarketing & brand
51
KINTRA WEALTH, LLC notice-filed in GA, MA, MI. IAPD ↗
$1.50B RAUM · 28 reps · 570-601-6960 · evergreenwealthsolutions.com
ComplianceMarketing & brand
50
AXIOM INVESTMENT MANAGEMENT LLC notice-filed in AZ, DE, NM, NV, SD, WI. IAPD ↗
$236.8M RAUM · 4 reps · 212-521-3800
ComplianceMarketing & brand
50
M1 ADVISORY notice-filed in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
$633,573 RAUM · 0 reps · 312-600-2883 · m1.com
ComplianceMarketing & brand
50
UHY WEALTH MANAGEMENT RIA LLC notice-filed in AK, AL, AR, AZ, CA, CO, CT, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY. IAPD ↗
$102.6M RAUM · 1 reps · 2486091610
ComplianceMarketing & brand
50
ASCENT ADVISORS notice-filed in CA, FL, IL, NE, TX, WA. IAPD ↗
$101.0M RAUM · 8 reps · 952-444-3100
ComplianceMarketing & brand
50
RISE NORTH CAPITAL INVESTMENT ADVISORS notice-filed in GA, ME, MN, NC, NE, NY, OH, RI, SC, TN, UT, WI. IAPD ↗
$50.6M RAUM · 13 reps · (781) 519-6969
ComplianceMarketing & brand
50
PARROT FINANCE, INC. notice-filed in AK, AL, AR, AZ, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
$30.1M RAUM · 1 reps · (707) 343-8594 · parrotfinance.io
ComplianceMarketing & brand
50
PRAIRIE ADVISORY, LLC notice-filed in CA, FL, LA, MO, NE. IAPD ↗
$0 RAUM · 6 reps · 913-963-1054 · prairieadvisoryllc.com
ComplianceMarketing & brand
50
FIDUCIARY CAPITAL MANAGEMENT LLC notice-filed in ID, IN, NC, OH, PR, UT. IAPD ↗
$142.5M RAUM · 6 reps · 503 515 1313 · fiduciarycm.com
ComplianceMarketing & brand
49
BRIGHTON SECURITIES CORP. notice-filed in DE, VT, WI. IAPD ↗
$931.0M RAUM · 21 reps · 585-473-3590 · brightonsecurities.com
ComplianceMarketing & brand
49
PINNACLE ADVISORS notice-filed in LA, MA. IAPD ↗
$2.14B RAUM · 19 reps · 419-526-5226 · pinnacleadvisors.com
ComplianceMarketing & brand
49
PROVIDENT TRUST COMPANY notice-filed in NC, NY. IAPD ↗
$6.86B RAUM · 2 reps · 262-521-2300 · provtrust.com
ComplianceMarketing & brand
49
TRIBUTARY CAPITAL MANAGEMENT, LLC notice-filed in KS, MO. IAPD ↗
$1.90B RAUM · 13 reps · 877-458-0021 · tributarycapital.com
ComplianceMarketing & brand
49
ANNEX WEALTH MANAGEMENT, LLC notice-filed in AR, WY. IAPD ↗
$8.05B RAUM · 74 reps · 262-786-6363 · annexwealth.wistia.com
ComplianceMarketing & brand
49
TREBUCHET CONSULTING, LLC notice-filed in LA, WA. IAPD ↗
$1.08B RAUM · 7 reps · 412-388-0715 · trebuchetconsultingllc.com
ComplianceMarketing & brand
49
KEY CAPITAL MANAGEMENT, INC. notice-filed in CO, IN, MI. IAPD ↗
$393.0M RAUM · 9 reps · 615-826-5749
ComplianceMarketing & brand
49
HEIRLOOM WEALTH MANAGEMENT LLC notice-filed in LA, WI. IAPD ↗
$1.11B RAUM · 17 reps · 720-328-2877 · heirloomwm.com
ComplianceMarketing & brand
49
ASPIRE CAPITAL ADVISORS LLC notice-filed in MD, NJ. IAPD ↗
$1.23B RAUM · 12 reps · (206) 939-5615 · investwithaspire.com
ComplianceMarketing & brand
49
ACCRETIVE WEALTH PARTNERS, LLC notice-filed in MA, NC, VA. IAPD ↗
$504.5M RAUM · 3 reps · (973) 970-2627
ComplianceMarketing & brand
49
KWB WEALTH notice-filed in MO, NC. IAPD ↗
$1.23B RAUM · 8 reps · 909-307-8220
ComplianceMarketing & brand
49
AMERICANA PARTNERS, LLC notice-filed in DE, PA. IAPD ↗
$9.10B RAUM · 34 reps · 713-429-5552 · americanapartners.podbean.com
ComplianceMarketing & brand
49
MADISON PARTNERS notice-filed in CT, GA. IAPD ↗
$1.30B RAUM · 17 reps · 608-210-1021
ComplianceMarketing & brand
49
BLUEPRINT FINANCIAL ADVISORS notice-filed in CO, ID, UT. IAPD ↗
$966.6M RAUM · 28 reps · 844-200-2568 · buildyourblueprint.com
ComplianceMarketing & brand
49
ENTREWEALTH notice-filed in IA, MI, NJ. IAPD ↗
$326.3M RAUM · 10 reps · 512-240-2244
ComplianceMarketing & brand
49
REVEL WEALTH MANAGEMENT notice-filed in CA, NY, TX. IAPD ↗
$258.9M RAUM · 2 reps · 316-518-3615 · revelwm.com
ComplianceMarketing & brand
48
KEENAN FINANCIAL notice-filed in DC, KS, MO, MS. IAPD ↗
$202.5M RAUM · 26 reps · (978) 270-1193
ComplianceMarketing & brand
48
CASTLE ISLAND WEALTH notice-filed in CA, LA, NE, NY. IAPD ↗
$117.2M RAUM · 3 reps · 561-208-3883 · castleislandwealth.com
ComplianceMarketing & brand
48
PROXY WEALTH ADVISORS LLC notice-filed in MS, OH, OK, TN. IAPD ↗
$83.3M RAUM · 11 reps · 646-289-5075 · proxywealth.com
ComplianceMarketing & brand
47
LINCOLN INVESTMENT notice-filed in WY. IAPD ↗
$21.99B RAUM · 874 reps · 215-887-8111
ComplianceMarketing & brand
47
ASSOCIATED INVESTMENT SERVICES, INC. notice-filed in NH. IAPD ↗
$1.17B RAUM · 27 reps · 800-595-7722 · associatedbank.com
ComplianceMarketing & brand
47
PACKERLAND BROKERAGE SERVICES, INC. notice-filed in PR. IAPD ↗
$1.36B RAUM · 165 reps · 920-662-9500
ComplianceMarketing & brand
47
RMC INVESTMENT ADVISORS notice-filed in NJ. IAPD ↗
$1.07B RAUM · 7 reps · 860-561-1245 · rmcinvestmentadvisors.com
ComplianceMarketing & brand
47
PRIVATE MANAGEMENT GROUP INC notice-filed in AL. IAPD ↗
$4.90B RAUM · 21 reps · 949-752-7500 · privatemanagementgroup.com
ComplianceMarketing & brand
47
SIGMA INVESTMENT COUNSELORS notice-filed in NJ. IAPD ↗
$2.17B RAUM · 10 reps · 248-223-0122 · sigmainvestments.com
ComplianceMarketing & brand
47
DOMINION PORTFOLIO MANAGEMENT, INC. notice-filed in KY, SC. IAPD ↗
$277.1M RAUM · 18 reps · 813-264-0440
ComplianceMarketing & brand
47
J.W.BURNS & COMPANY, INC. notice-filed in AZ. IAPD ↗
$1.03B RAUM · 5 reps · 315-449-1341 · jwburns.com
ComplianceMarketing & brand
47
ECLECTIC ASSOCIATES, INC. notice-filed in NY. IAPD ↗
$1.47B RAUM · 10 reps · 714-738-0220 · eclecticassociates.com
ComplianceMarketing & brand
47
XPONANCE LLC notice-filed in CA. IAPD ↗
$24.27B RAUM · 15 reps · 215-567-1100 · xponance.com
ComplianceMarketing & brand
47
LYNX INVESTMENT ADVISORY, LLC notice-filed in NH. IAPD ↗
$1.11B RAUM · 10 reps · 202-833-3700
ComplianceMarketing & brand
47
PLANTE MORAN FINANCIAL ADVISORS notice-filed in NM. IAPD ↗
$25.12B RAUM · 146 reps · 248-352-2500
ComplianceMarketing & brand
47
NORTH STAR INVESTMENT MANAGEMENT CORPORATION notice-filed in LA. IAPD ↗
$2.50B RAUM · 14 reps · 312-580-0900
ComplianceMarketing & brand
47
PINKERTON WEALTH PARTNERS notice-filed in NE. IAPD ↗
$1.44B RAUM · 16 reps · 800-634-2008
ComplianceMarketing & brand
47
TFO WEALTH PARTNERS notice-filed in HI. IAPD ↗
$5.66B RAUM · 55 reps · 419-891-9999
ComplianceMarketing & brand
47
VALEO FINANCIAL ADVISORS, LLC notice-filed in ID. IAPD ↗
$12.96B RAUM · 119 reps · 317.218.6000
ComplianceMarketing & brand
47
ROCKWOOD WEALTH MANAGEMENT, LLC notice-filed in GA. IAPD ↗
$2.87B RAUM · 47 reps · 267-983-6400
ComplianceMarketing & brand
47
HIGHTOWER ADVISORS, LLC notice-filed in VI. IAPD ↗
$198.58B RAUM · 953 reps · 312-962-3800 · lyon.hightoweradvisors.com
ComplianceMarketing & brand
47
C2 PRIVATE WEALTH notice-filed in OR. IAPD ↗
$1.82B RAUM · 11 reps · 248-567-6688 · c2privatewealth.com
ComplianceMarketing & brand
47
RED DOOR WEALTH MANAGEMENT, LLC notice-filed in SC. IAPD ↗
$3.09B RAUM · 10 reps · 901-681-0018
ComplianceMarketing & brand
47
PETTINGA FINANCIAL ADVISORS, LLC notice-filed in SC. IAPD ↗
$1.28B RAUM · 7 reps · 812-436-4000 · pettinga.com
ComplianceMarketing & brand
47
CAPITAL WEALTH MANAGEMENT, LLC notice-filed in SC. IAPD ↗
$1.14B RAUM · 9 reps · (401) 885-1060 · capitalwealthllc.com
ComplianceMarketing & brand
47
THREE BELL CAPITAL LLC notice-filed in NV. IAPD ↗
$5.05B RAUM · 14 reps · 650-843-9836
ComplianceMarketing & brand
47
SAVOIE CAPITAL LLC notice-filed in IL. IAPD ↗
$1.32B RAUM · 3 reps · 773-573-9043 · savoiecapital.com
ComplianceMarketing & brand
47
OAKTREE ADVISORS LLC notice-filed in NJ, SC. IAPD ↗
$282.8M RAUM · 3 reps · (610) 882-5670
ComplianceMarketing & brand
47
OCCIDENTAL ASSET MANAGEMENT, LLC notice-filed in CT. IAPD ↗
$1.07B RAUM · 9 reps · 650-344-1600 · occamllc.net
ComplianceMarketing & brand
47
DRIVE WEALTH ADVISERS notice-filed in NC. IAPD ↗
$1.50B RAUM · 15 reps · 801-901-6150 · drivewealthadvisers.com
ComplianceMarketing & brand
47
ALMANACK INVESTMENT PARTNERS notice-filed in DE, TN. IAPD ↗
$945.9M RAUM · 13 reps · 484-580-2277 · whiteknightcapital.net
ComplianceMarketing & brand
47
STANCE CAPITAL LLC notice-filed in DC, MD. IAPD ↗
$354.2M RAUM · 5 reps · 617-875-1062
ComplianceMarketing & brand
47
SEPIO CAPITAL, LP notice-filed in AR. IAPD ↗
$5.64B RAUM · 18 reps · (415) 915-3708 · sepiocap.com
ComplianceMarketing & brand
47
PARKSIDE INVESTMENTS, LLC notice-filed in GA. IAPD ↗
$1.44B RAUM · 5 reps · (312) 778-7700
ComplianceMarketing & brand
47
CFO4LIFE notice-filed in NY. IAPD ↗
$1.94B RAUM · 14 reps · 214-637-9500
ComplianceMarketing & brand
47
BRENDEL FINANCIAL ADVISORS LLC notice-filed in CT, RI. IAPD ↗
$260.2M RAUM · 2 reps · 603-643-4441 · brendelfinancial.com
ComplianceMarketing & brand
47
KPP ADVISORY SERVICES LLC notice-filed in NV. IAPD ↗
$1.24B RAUM · 25 reps · 502-394-0400 · kpp-lpl.com
ComplianceMarketing & brand
47
HIGH PROBABILITY ADVISORS, LLC notice-filed in MA. IAPD ↗
$1.05B RAUM · 13 reps · 585-485-0135 · highprobabilityadvisors.com
ComplianceMarketing & brand
47
BRIO FINANCIAL GROUP notice-filed in PA. IAPD ↗
$1.06B RAUM · 13 reps · 415-623-2450 · briofg.com
ComplianceMarketing & brand
47
ROOT FINANCIAL PARTNERS notice-filed in UT. IAPD ↗
$2.15B RAUM · 59 reps · (760) 452-0720
ComplianceMarketing & brand
47
VAN CLEMENS WEALTH MANAGEMENT, LLC notice-filed in AR, MO. IAPD ↗
$470.4M RAUM · 24 reps · 612-758-9140 · vanclemens.com
ComplianceMarketing & brand
47
MACH-1 FINANCIAL GROUP, LLC notice-filed in GA, KY. IAPD ↗
$546.3M RAUM · 8 reps · 479-876-2100 · mach-1financial.com
ComplianceMarketing & brand
47
EVOKE ADVISORS notice-filed in NH. IAPD ↗
$17.29B RAUM · 25 reps · 424-372-1776 · mai.capital.evoke-advisors
ComplianceMarketing & brand
47
ECIO, INC. notice-filed in CO, NY. IAPD ↗
$395.6M RAUM · 4 reps · 608-291-4646
ComplianceMarketing & brand
47
LOFTIN WEALTH PARTNERS notice-filed in IL, VA. IAPD ↗
$344.5M RAUM · 6 reps · (888) 556-3846
ComplianceMarketing & brand
47
GREAT WATERS FINANCIAL notice-filed in IL. IAPD ↗
$1.24B RAUM · 23 reps · 612-360-2127
ComplianceMarketing & brand
47
SEEDS notice-filed in PA. IAPD ↗
$1.00B RAUM · 5 reps · (212) 287-7370
ComplianceMarketing & brand
47
MARIPAU WEALTH MANAGEMENT LLC notice-filed in AZ, PA. IAPD ↗
$363.8M RAUM · 21 reps · 260-493-3930
ComplianceMarketing & brand
47
TFB ADVISORS, LLC notice-filed in LA, MD. IAPD ↗
$840.2M RAUM · 19 reps · 913-648-5526 · taxfavoredbenefits.com
ComplianceMarketing & brand
47
BUCK WEALTH STRATEGIES, LLC notice-filed in NH. IAPD ↗
$1.64B RAUM · 39 reps · 888-210-6567
ComplianceMarketing & brand
47
ATLANTIC EDGE PRIVATE WEALTH MANAGEMENT notice-filed in NC, TX. IAPD ↗
$604.3M RAUM · 5 reps · 904-784-3343 · atlanticedgewealth.com
ComplianceMarketing & brand
47
KAI WEALTH LLC notice-filed in AZ, TX. IAPD ↗
$275.2M RAUM · 2 reps · 312-605-8020
ComplianceMarketing & brand
47
ECHELON GROUP notice-filed in OR, WA. IAPD ↗
$265.2M RAUM · 5 reps · 208-345-9944 · echelongroup.com
ComplianceMarketing & brand
47
THRYVE WEALTH MANAGEMENT notice-filed in HI, WA. IAPD ↗
$304.0M RAUM · 4 reps · 805-451-2909 · thryvewealthmanagement.com
ComplianceMarketing & brand
46
INTERCAROLINA FINANCIAL SERVICES, INC. notice-filed in IL, VA, WA. IAPD ↗
$85.4M RAUM · 9 reps · 336-288-6890 · intercarolina.net
ComplianceMarketing & brand
46
NAVIGO WEALTH MANAGEMENT, LLC notice-filed in AL, LA, OK. IAPD ↗
$129.9M RAUM · 6 reps · 281-804-4392
ComplianceMarketing & brand
46
SECOND HALF FINANCIAL PARTNERS, LLC notice-filed in LA, NH, TN. IAPD ↗
$128.0M RAUM · 3 reps · 863-385-1101 · statlerfinancial.com
ComplianceMarketing & brand
46
PENSERRA WEALTH MANAGEMENT notice-filed in AZ, MI, WA. IAPD ↗
$2.5M RAUM · 1 reps · 4157179276 · penserrawealth.com
ComplianceMarketing & brand
45
UNITED BROKERAGE SERVICES INC notice-filed in TN. IAPD ↗
$372.3M RAUM · 55 reps · 888-424-6158 · united-brokerage.com
ComplianceMarketing & brand
45
PLANNED SOLUTIONS, INC. notice-filed in CO. IAPD ↗
$671.0M RAUM · 6 reps · 916-361-0100 · plannedsolutions.com
ComplianceMarketing & brand
45
PVG ASSET MANAGEMENT CORP notice-filed in IN. IAPD ↗
$624.9M RAUM · 6 reps · 303-526-0548 · facebook.com\pvgasset
ComplianceMarketing & brand
45
MWA FINANCIAL SERVICES, INC. notice-filed in RI. IAPD ↗
$640.0M RAUM · 164 reps · 309-558-3100
ComplianceMarketing & brand
45
KANE COMPANY WEALTH MANAGEMENT, INC. notice-filed in CA. IAPD ↗
$284.7M RAUM · 4 reps · 515-270-2727
ComplianceMarketing & brand
45
EATON-CAMBRIDGE INC. notice-filed in NY. IAPD ↗
$480.7M RAUM · 4 reps · (480) 385-7399 · eatoncambridge.com
ComplianceMarketing & brand
45
FMI notice-filed in AR. IAPD ↗
$318.3M RAUM · 4 reps · 580-226-4058
ComplianceMarketing & brand
45
IFC PERSONAL MONEY MANAGERS, INC. notice-filed in LA. IAPD ↗
$450.9M RAUM · 1 reps · 212-721-8713 · objectiveadvice.com
ComplianceMarketing & brand
45
FRISCH FINANCIAL GROUP, INC. notice-filed in OK. IAPD ↗
$931.6M RAUM · 7 reps · 516-694-7900 · frischfinancial.com
ComplianceMarketing & brand
45
HOGANTAYLOR WEALTH notice-filed in MO. IAPD ↗
$592.8M RAUM · 6 reps · 918.388.2690 · hogantaylorwealth.com
ComplianceMarketing & brand
45
CAPITAL TRUST ADVISORS notice-filed in NH. IAPD ↗
$402.6M RAUM · 3 reps · (415) 399-9100 · capitaltrustadvisors.com
ComplianceMarketing & brand
45
ATWATER MALICK notice-filed in NH. IAPD ↗
$687.4M RAUM · 2 reps · (717) 400-1505 · atwatermalick.com
ComplianceMarketing & brand
45
GUIDESTREAM FINANCIAL, INC. notice-filed in NE. IAPD ↗
$263.5M RAUM · 5 reps · (517) 750-2727 · guidestreamfinancial.com
ComplianceMarketing & brand
45
LATITUDE ADVISORS, LLC notice-filed in WA. IAPD ↗
$566.5M RAUM · 65 reps · 630-553-3730 · latitudefinancial.net
ComplianceMarketing & brand
45
MINICHMACGREGOR WEALTH MANAGEMENT, LLC notice-filed in PA. IAPD ↗
$722.9M RAUM · 7 reps · (518) 499-4565 · minichmacgregor.com
ComplianceMarketing & brand
45
CORE PLANNING notice-filed in MD. IAPD ↗
$525.0M RAUM · 61 reps · 636-734-7507 · dawncabernathy.com
ComplianceMarketing & brand
45
OLD PEAK FINANCE notice-filed in MA. IAPD ↗
$714.1M RAUM · 8 reps · 919 459 8181
ComplianceMarketing & brand
45
SEQUENT PLANNING, LLC notice-filed in AR. IAPD ↗
$589.5M RAUM · 76 reps · 402-953-3544
ComplianceMarketing & brand
45
PACIFIC CAPITAL ASSOCIATES notice-filed in AZ. IAPD ↗
$258.8M RAUM · 3 reps · 858-560-5244
ComplianceMarketing & brand
45
MD FINANCIAL ADVISORS / VESTMENT FINANCIAL notice-filed in MI. IAPD ↗
$304.3M RAUM · 11 reps · (888) 256-6855
ComplianceMarketing & brand
45
MBM WEALTH CONSULTANTS, LLC notice-filed in IA. IAPD ↗
$476.7M RAUM · 7 reps · (636) 274-6262 · mbmadvisorservices.com
ComplianceMarketing & brand
45
ONE DEGREE ADVISORS, INC. notice-filed in FL. IAPD ↗
$489.0M RAUM · 6 reps · 619-282-3288
ComplianceMarketing & brand
45
WRENNE FINANCIAL PLANNING LLC notice-filed in KS. IAPD ↗
$297.9M RAUM · 6 reps · 859-538-6044
ComplianceMarketing & brand
45
LONG ISLAND WEALTH MANAGEMENT, INC. notice-filed in TX. IAPD ↗
$291.7M RAUM · 1 reps · 516-238-7629 · liwealth.com
ComplianceMarketing & brand
45
BLUE WATER ASSET MANAGEMENT notice-filed in OH. IAPD ↗
$428.5M RAUM · 7 reps · 616-447-1600 · jaygreer.com
ComplianceMarketing & brand
45
LEADING EDGE FINANCIAL PLANNING LLC notice-filed in OH. IAPD ↗
$521.8M RAUM · 9 reps · 865-240-2292 · pilotmoneyguyspodcast.com
ComplianceMarketing & brand
45
GREAT OAK CAPITAL PARTNERS, LLC notice-filed in CA. IAPD ↗
$477.9M RAUM · 5 reps · (508) 230-7100
ComplianceMarketing & brand
45
WYNN CAPITAL notice-filed in VA. IAPD ↗
$320.2M RAUM · 3 reps · 706-869-3451 · wynncap.com
ComplianceMarketing & brand
45
DUDLEY CAPITAL MANAGEMENT LLC notice-filed in NH. IAPD ↗
$291.7M RAUM · 2 reps · 540-687-4600
ComplianceMarketing & brand
45
COPLEY FINANCIAL GROUP, INC. notice-filed in CT. IAPD ↗
$331.2M RAUM · 7 reps · 619-294-6008
ComplianceMarketing & brand
45
MILESTONE FINANCIAL PLANNING, LLC notice-filed in NY. IAPD ↗
$590.3M RAUM · 12 reps · 603-589-8010
ComplianceMarketing & brand
45
SUNBURST FINANCIAL GROUP, LLC notice-filed in PA. IAPD ↗
$808.1M RAUM · 6 reps · 205-823-4949 · sunburstfinancial.com
ComplianceMarketing & brand
45
RELEVE FINANCIAL GROUP notice-filed in NJ. IAPD ↗
$255.6M RAUM · 4 reps · 612-801-5440
ComplianceMarketing & brand
45
IAMS WEALTH MANAGEMENT, LLC notice-filed in AR. IAPD ↗
$397.2M RAUM · 53 reps · (888)255-7670
ComplianceMarketing & brand
45
ELITE FINANCIAL, INC. notice-filed in HI. IAPD ↗
$274.2M RAUM · 1 reps · 208-746-2007 · elitefinancialinc.net
ComplianceMarketing & brand
45
VILLAGE WEALTH ADVISORS notice-filed in KS. IAPD ↗
$257.9M RAUM · 3 reps · 805-603-4960
ComplianceMarketing & brand
45
KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC. notice-filed in NH. IAPD ↗
$813.4M RAUM · 2 reps · 303-847-4045
ComplianceMarketing & brand
45
BLUEDOOR PRIVATE WEALTH, LLC notice-filed in OR. IAPD ↗
$337.3M RAUM · 4 reps · 781-810-4604 · bluedoorprivate.com
ComplianceMarketing & brand
45
CAYSIDE PARTNERS notice-filed in TX. IAPD ↗
$353.0M RAUM · 4 reps · 561-768-9621
ComplianceMarketing & brand
45
RETIRE AGILE notice-filed in CO. IAPD ↗
$433.7M RAUM · 5 reps · 218-336-2506 · align.financial
ComplianceMarketing & brand
45
NAVIGATE 401K, LLC notice-filed in TN. IAPD ↗
$317.9M RAUM · 4 reps · 205-224-9502 · navigate401k.com
ComplianceMarketing & brand
45
ROSEMEYER MANAGEMENT GROUP notice-filed in MT. IAPD ↗
$914.0M RAUM · 9 reps · 608-348-2274 · rosemeyermg.com
ComplianceMarketing & brand
45
GREENUP STREET WEALTH MANAGEMENT LLC notice-filed in AK. IAPD ↗
$900.4M RAUM · 18 reps · 734-656-8121
ComplianceMarketing & brand
45
WEST WEALTH GROUP, LLC notice-filed in TN. IAPD ↗
$616.7M RAUM · 13 reps · 949-682-9105 · ensemblewm.com
ComplianceMarketing & brand
45
PACE FINANCIAL ADVISORS notice-filed in NC. IAPD ↗
$362.1M RAUM · 9 reps · 971-727-8434 · pace-fa.com
ComplianceMarketing & brand
45
AMERITY WEALTH MANAGEMENT, LLC notice-filed in MN. IAPD ↗
$338.8M RAUM · 16 reps · (863) 683-1750 · ameritywm.com
ComplianceMarketing & brand
45
ENCOMPASS MORE ASSET MANAGEMENT LLC notice-filed in IA. IAPD ↗
$984.9M RAUM · 85 reps · 925-272-8850 · encompassmore.com
ComplianceMarketing & brand
45
SEVEN MILE ADVISORY LLC notice-filed in MA. IAPD ↗
$416.8M RAUM · 4 reps · 212-365-5562
ComplianceMarketing & brand
45
SYKON CAPITAL LLC notice-filed in SC. IAPD ↗
$350.1M RAUM · 6 reps · 914-898-3694
ComplianceMarketing & brand
45
ABOUND FINANCIAL notice-filed in IN. IAPD ↗
$428.0M RAUM · 2 reps · 916-846-7780
ComplianceMarketing & brand
45
RELATION WEALTH MANAGEMENT, INC. notice-filed in FL. IAPD ↗
$541.2M RAUM · 5 reps · (918) 999-9138 · relationwealth.com
ComplianceMarketing & brand
45
MOREY & QUINN WEALTH PARTNERS notice-filed in IL. IAPD ↗
$373.4M RAUM · 3 reps · (402) 502-9900 · moreyandquinn.com
ComplianceMarketing & brand
45
PRASAD WEALTH PARTNERS notice-filed in LA. IAPD ↗
$572.1M RAUM · 5 reps · 216-313-9999
ComplianceMarketing & brand
45
INFLECTION CAPITAL MANAGEMENT, LLC notice-filed in OR. IAPD ↗
$365.6M RAUM · 8 reps · 415-450-6556
ComplianceMarketing & brand
45
XCELSIOR ADVISOR PARTNERS LLC notice-filed in MN. IAPD ↗
$650.7M RAUM · 13 reps · 480-866-8616 · xcelsiorpartners.com
ComplianceMarketing & brand
45
ASSET ONE WEALTH MANAGEMENT, LLC notice-filed in CA. IAPD ↗
$982.5M RAUM · 9 reps · (425) 504-830 · assetone.com
ComplianceMarketing & brand
45
LIVET WEALTH, LLC notice-filed in NV. IAPD ↗
$322.2M RAUM · 3 reps · 801-893-8320 · livetwealth.com
ComplianceMarketing & brand
44
PENSERRA GLOBAL INVESTORS LLC notice-filed in AZ, MI. IAPD ↗
$96.2M RAUM · 10 reps · 800-456-8850 · penserra.com
ComplianceMarketing & brand
44
BAYNTREE WEALTH ADVISORS, LLC notice-filed in IL, MD. IAPD ↗
$241.1M RAUM · 6 reps · 480.494.2750
ComplianceMarketing & brand
44
AUREUM WEALTH MANAGEMENT, LLC notice-filed in CA, PA. IAPD ↗
$150.6M RAUM · 3 reps · (561) 209-1120 · aureumwealthmanagement.com
ComplianceMarketing & brand
44
CYR FINANCIAL INC. notice-filed in CA, NH. IAPD ↗
$180.5M RAUM · 5 reps · (815) 925-7501
ComplianceMarketing & brand
44
ETHOS CAPITAL MANAGEMENT, INC. notice-filed in SC, TX. IAPD ↗
$155.4M RAUM · 4 reps · 215-968-1820
ComplianceMarketing & brand
44
KAIYO WEALTH LLC notice-filed in AZ, ID. IAPD ↗
$240.1M RAUM · 3 reps · (858) 252-4403 · kaiyowealth.com
ComplianceMarketing & brand
44
DOMAIN MONEY ADVISORS, LLC notice-filed in MT, VT. IAPD ↗
$0 RAUM · 14 reps · 646-970-6926 · reddit.com
ComplianceMarketing & brand
44
BALANZ notice-filed in MA, TX. IAPD ↗
$152.6M RAUM · 4 reps · 786 292-7009 · balanz.us
ComplianceMarketing & brand
44
CROSSOVER CAPITAL notice-filed in FL, NY. IAPD ↗
$179.5M RAUM · 2 reps · 215-396-5580
ComplianceMarketing & brand
44
ZERO DAY CAPITAL ENTERPRISES LLC notice-filed in NV, OR. IAPD ↗
$30.7M RAUM · 16 reps · 702 271 3265 · zerodaycapital.com
ComplianceMarketing & brand
44
YOUR IA, LLC notice-filed in NJ, SC. IAPD ↗
$106.6M RAUM · 15 reps · 800-823-0489 · youria.com
ComplianceMarketing & brand
44
VANDALIA WEALTH notice-filed in PA, TX. IAPD ↗
$0 RAUM · 14 reps · 304-915-0260
ComplianceMarketing & brand
43
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS notice-filed in IN, NV, OR, WA. IAPD ↗institutional
$40.25B RAUM · 153 reps · 212-850-4260
ComplianceMarketing & brand
42
FINANCIAL MANAGEMENT, INC. notice-filed in TN. IAPD ↗
$224.5M RAUM · 5 reps · 501-227-7400 · fmioffice.com
ComplianceMarketing & brand
42
MILLENNIUM CAPITAL ADVISORS, LLC notice-filed in NH. IAPD ↗
$232.2M RAUM · 1 reps · 501-975-0256 · mca-ar.com
ComplianceMarketing & brand
42
ADVISOR FINANCIAL SERVICES, INC. notice-filed in FL. IAPD ↗
$62.6M RAUM · 1 reps · 518-392-3400 · advisor.org
ComplianceMarketing & brand
42
PHASE III ADVISORY SERVICES, LTD notice-filed in GA. IAPD ↗
$210.9M RAUM · 3 reps · 847-520-5545
ComplianceMarketing & brand
42
PASNAU INVESTMENT MANAGEMENT, INC. notice-filed in NY. IAPD ↗
$128.8M RAUM · 2 reps · 860-354-9903 · pasnauinvestments.com
ComplianceMarketing & brand
42
KEYSTONE FINANCIAL GROUP, INC. notice-filed in AL. IAPD ↗
$247.4M RAUM · 5 reps · 770-698-9816 · keystonefg.com
ComplianceMarketing & brand
42
FINANCIAL SOLUTIONS ASSOCIATES notice-filed in VA. IAPD ↗
$171.9M RAUM · 2 reps · 781-251-0505 · govermanfinancialsolutions.net
ComplianceMarketing & brand
42
MOORE FINANCIAL ADVISORS, LTD. notice-filed in NH. IAPD ↗
$127.2M RAUM · 3 reps · 617-393-9999 · mooreadvisors.com
ComplianceMarketing & brand
42
WALLENDER, TIMOTHY JOSEPH notice-filed in TX. IAPD ↗
$137.3M RAUM · 1 reps · 310-318-3255 · strategicindex.com
ComplianceMarketing & brand
42
SECURE INVESTMENT MANAGEMENT, LLC notice-filed in NY. IAPD ↗
$42.9M RAUM · 20 reps · 520-333-4719 · secureinvestmentmanagement.com
ComplianceMarketing & brand
42
FORTRESS FINANCIAL SOLUTIONS, LLC notice-filed in NY. IAPD ↗
$142.0M RAUM · 8 reps · 520-751-8600
ComplianceMarketing & brand
42
KEEN CAPITAL, LTD notice-filed in FL. IAPD ↗
$179.7M RAUM · 3 reps · 803-941-4444 · coreadvisors.com
ComplianceMarketing & brand
42
SUMMA GLOBAL ADVISORS, LLC notice-filed in NY. IAPD ↗
$144.1M RAUM · 2 reps · 503-636-2022
ComplianceMarketing & brand
42
QUEST 10 WEALTH BUILDERS, INC. notice-filed in PA. IAPD ↗
$237.7M RAUM · 8 reps · 919-552-4286 · completefinancialsolutions.org
ComplianceMarketing & brand
42
FMSA notice-filed in KS. IAPD ↗
$216.4M RAUM · 20 reps · 5612892602 · myfmsa.com
ComplianceMarketing & brand
42
OAKMONT ADVISORY GROUP, LLC notice-filed in LA. IAPD ↗
$149.5M RAUM · 3 reps · 505-821-6966
ComplianceMarketing & brand
42
TIMMONS WEALTH MANAGEMENT notice-filed in CA. IAPD ↗
$179.2M RAUM · 1 reps · (774) 331-2172 · twealthmanagement.com
ComplianceMarketing & brand
42
MEIXLER INVESTMENT MANAGEMENT, LTD. notice-filed in CO. IAPD ↗
$228.4M RAUM · 1 reps · 928-537-8700 · showlowadvisors.com
ComplianceMarketing & brand
42
COASTAL WEALTH ADVISORS, LLC notice-filed in TN. IAPD ↗
$106.6M RAUM · 2 reps · 843-870-9568 · pinterest.com
ComplianceMarketing & brand
42
BLACKRIDGE ASSET MANAGEMENT, LLC notice-filed in WV. IAPD ↗
$196.8M RAUM · 59 reps · 561-641-5050
ComplianceMarketing & brand
42
APTUS FINANCIAL, LLC notice-filed in AZ. IAPD ↗
$0 RAUM · 10 reps · 501-907-1993
ComplianceMarketing & brand
42
FLORENCE CAPITAL ADVISORS, LLC notice-filed in DE. IAPD ↗
$65.2M RAUM · 1 reps · (212) 202-3296
ComplianceMarketing & brand
42
SYMPHONY WEALTH MANAGEMENT notice-filed in MO. IAPD ↗
$111.7M RAUM · 1 reps · 813-318-1526
ComplianceMarketing & brand
42
Q3 ADVISORS, LLC notice-filed in SD. IAPD ↗
$0 RAUM · 12 reps · 720-730-9892
ComplianceMarketing & brand
42
CARMANDALIAN FINANCIAL GROUP, LLC notice-filed in AZ. IAPD ↗
$150.8M RAUM · 1 reps · 818-707-5304 · cfgclientwealth.com
ComplianceMarketing & brand
42
BOLDIN ADVISORS notice-filed in NM. IAPD ↗
$0 RAUM · 14 reps · 415-462-5665
ComplianceMarketing & brand
42
CWM ADVISORY, LLC notice-filed in FL. IAPD ↗
$101.0M RAUM · 3 reps · (410) 208-1091
ComplianceMarketing & brand
42
THREE SIXTY WEALTH MANAGEMENT, LLC notice-filed in NJ. IAPD ↗
$190.1M RAUM · 3 reps · (630) 219-1695
ComplianceMarketing & brand
42
ABUNDO WEALTH notice-filed in MT. IAPD ↗
$0 RAUM · 11 reps · 612-502-5806 · reddit.com
ComplianceMarketing & brand
42
FORM PROSPERITY WEALTH ADVISORS, LLC notice-filed in LA. IAPD ↗
$112.9M RAUM · 1 reps · 480-382-3676 · formprosperity.com
ComplianceMarketing & brand
42
WINTER & ASSOCIATES, INC. notice-filed in WI. IAPD ↗
$179.7M RAUM · 4 reps · (651) 414-5000
ComplianceMarketing & brand
42
DALE Q. RICE INVESTMENT MANAGEMENT notice-filed in NV. IAPD ↗
$156.6M RAUM · 1 reps · 360-693-7577
ComplianceMarketing & brand
42
NETWORTH ADVISORS, LLC notice-filed in FL. IAPD ↗
$185.4M RAUM · 6 reps · 724-746-3585
ComplianceMarketing & brand
42
NORTHSTAR INVESTMENT ADVISORY LLC notice-filed in AK. IAPD ↗
$0 RAUM · 9 reps · 708-306-9566
ComplianceMarketing & brand
42
SCHERER FINANCIAL ADVISORY SERVICES, LLC notice-filed in NH. IAPD ↗
$158.3M RAUM · 3 reps · 972-267-9655 · schererfinancial.net
ComplianceMarketing & brand
42
SOLID POINT WEALTH ADVISORS, LLC notice-filed in NH. IAPD ↗
$119.7M RAUM · 5 reps · 518-681-0107 · solidpointwealth.com
ComplianceMarketing & brand
42
BLAKELY WALTERS WEALTH MANAGEMENT notice-filed in NC. IAPD ↗
$173.7M RAUM · 5 reps · 480-776-5897 · blakelywalters.com
ComplianceMarketing & brand
42
CAIRN FINANCIAL PLANNING notice-filed in TX. IAPD ↗
$0 RAUM · 1 reps · (360) 362-4922
ComplianceMarketing & brand
42
WAYSTONE ADVISORS LLC notice-filed in NJ. IAPD ↗
$179.3M RAUM · 4 reps · (425) 484-0045 · waystoneadvisors.com
ComplianceMarketing & brand
42
POINT NEMO CAPITAL, LLC notice-filed in VA. IAPD ↗
$103.8M RAUM · 3 reps · 713-858-7966 · pointnemocapital.com
ComplianceMarketing & brand
42
INNOVATIVE FAMILY OFFICE LLC notice-filed in FL. IAPD ↗
$65.8M RAUM · 8 reps · (914) 427-8036 · innovativefo.com
ComplianceMarketing & brand
42
EAGLE'S CREST ADVISORS, LLC notice-filed in FL. IAPD ↗
$65.3M RAUM · 1 reps · 646-627-6030
ComplianceMarketing & brand
42
SLEDGE AND COMPANY WEALTH ADVISORS notice-filed in TX. IAPD ↗
$183.4M RAUM · 4 reps · 336-889-3013 · sledgeandcompany.com
ComplianceMarketing & brand
42
SAVILE CAPITAL MANAGEMENT LLC notice-filed in PR. IAPD ↗
$0 RAUM · 1 reps · 787-763-5868
ComplianceMarketing & brand
42
TUTTLE WEALTH PARTNERS LLC notice-filed in NY. IAPD ↗
$75.1M RAUM · 3 reps · (800) 781-1219 · tuttlewealth.com
ComplianceMarketing & brand
42
PULLIAM FAMILY OFFICE, LLC notice-filed in TX. IAPD ↗
$141.7M RAUM · 1 reps · 972-947-9400 · pulliamfamilyoffice.com
ComplianceMarketing & brand
42
ADVISORY SOLUTIONS GROUP notice-filed in NJ. IAPD ↗
$0 RAUM · 4 reps · 763-417-1700 · advisorysolutions.com
ComplianceMarketing & brand
42
EXCEPTIONAL WEALTH & FAMILY OFFICE notice-filed in CA. IAPD ↗
$0 RAUM · 2 reps · 719-715-4179 · exceptionalwealth.us
ComplianceMarketing & brand
40
INFINITE GIVING ADVISORY SERVICES, INC. notice-filed in CT, DE, IA, MD, MI, MN, NV, OH, TN. IAPD ↗institutional
$112.8M RAUM · 6 reps · (888) 926-4483
ComplianceMarketing & brand
37
PENN MUTUAL ASSET MANAGEMENT, LLC notice-filed in DE. IAPD ↗institutional
$42.29B RAUM · 30 reps · 215-956-8114 · pennmutualam.com
ComplianceMarketing & brand
37
FIDUCIARY CONSULTING GROUP notice-filed in GA. IAPD ↗institutional
$14.73B RAUM · 33 reps · 303-333-7770
ComplianceMarketing & brand
37
HAUSER RETIREMENT SOLUTIONS 2 LLC notice-filed in TN. IAPD ↗institutional
$1.21B RAUM · 5 reps · 513-745-9200 · thehausergroup.com
ComplianceMarketing & brand
35
FLOWSTONE PARTNERS, LLC notice-filed in IL. IAPD ↗institutional
$767.4M RAUM · 5 reps · 312-288-7700
ComplianceMarketing & brand
35
KURV INVESTMENT MANAGEMENT LLC notice-filed in MA. IAPD ↗institutional
$279.2M RAUM · 2 reps · 888-393-5878
ComplianceMarketing & brand
35
HUNTERS MOON CAPITAL (US) LP notice-filed in NY. IAPD ↗institutional
$734.5M RAUM · 2 reps · 860-965-2735
ComplianceMarketing & brand
34
"THE PILOT'S ADVISOR," LLC notice-filed in MD, MO. IAPD ↗institutional
$0 RAUM · 1 reps · 843-475-3038 · retirepilots.com
ComplianceMarketing & brand
34
THOUGHTFUL MONEY LLC notice-filed in MD, MI. IAPD ↗institutional
$0 RAUM · 1 reps · 408-398-9944
ComplianceMarketing & brand
32
CAPITAL CLIENT GROUP, INC. notice-filed in WA. IAPD ↗institutional
$0 RAUM · 699 reps · 213-486-9200 · retirementsolutions.financialtrans.com
ComplianceMarketing & brand
32
FLORIN PENSIONS LLC notice-filed in MD. IAPD ↗institutional
$0 RAUM · 4 reps · 415-230-5377 · florinpensions.com
ComplianceMarketing & brand
30
VALUE HOLDINGS MANAGEMENT CO. LLC notice-filed in UT. IAPD ↗fund
$694.5M RAUM · 1 reps · 917-836-9480
ComplianceMarketing & brand
30
AUGMENT ADVISORS, LLC notice-filed in CT. IAPD ↗fund
$342.6M RAUM · 3 reps · 757-298-9839
ComplianceMarketing & brand
23
SCHRODER WEALTH MANAGEMENT (US) LIMITED notice-filed in GA, IL, TN, WY. IAPD ↗foreign
$1.40B RAUM · 5 reps · 00 44 (0)20 7658 6000 · schroders.com
ComplianceMarketing & brand
12
ROC PARTNERS (US) LLC notice-filed in TX. IAPD ↗foreign
$105.4M RAUM · 2 reps · 61290991900 · rocp.com
ComplianceMarketing & brand
new registration — 206 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
100
MESON QUANTITATIVE MANAGEMENT LLC (SAN FRANCISCO, CA) is newly SEC-registered with $1.09B RAUM and 11 advisory reps. IAPD ↗
$1.09B RAUM · 11 reps · 415-322-0486 · mesoncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
MWA INVESTMENTS, LLC (WHITE STONE, VA) is newly SEC-registered with $250.4M RAUM and 1 advisory reps. IAPD ↗
$250.4M RAUM · 1 reps · 804-761-1969
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RJJ PASADENA SECURITIES, INC. (HENDERSON, NV) is newly SEC-registered with $110.3M RAUM and 2 advisory reps. IAPD ↗
$110.3M RAUM · 2 reps · 626-792-1244
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WORTH FINANCIAL GROUP INC. (DALLAS, TX) is newly SEC-registered with $122.8M RAUM and 5 advisory reps. IAPD ↗
$122.8M RAUM · 5 reps · (469) 916-4287 · worthfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POTOMAC INVESTMENT COMPANY (location n/a) is newly SEC-registered with $107.0M RAUM and 2 advisory reps. IAPD ↗
$107.0M RAUM · 2 reps · 240-274-7810
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALAMO CAPITAL (WALNUT CREEK, CA) is newly SEC-registered with $103.6M RAUM and 2 advisory reps. IAPD ↗
$103.6M RAUM · 2 reps · 925-472-5700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ABENS FINANCIAL SERVICES INC (EDINA, MN) is newly SEC-registered with $120.1M RAUM and 3 advisory reps. IAPD ↗
$120.1M RAUM · 3 reps · 952-933-9650 · abens.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KINNAMON & ASSOCIATES LTD II (BARRINGTON, IL) is newly SEC-registered with $117.6M RAUM and 2 advisory reps. IAPD ↗
$117.6M RAUM · 2 reps · 847-381-1053 · kinnamoninvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JAFFE ASSET MANAGEMENT LLC (BEVERLY HILLS, CA) is newly SEC-registered with $116.2M RAUM and 1 advisory reps. IAPD ↗
$116.2M RAUM · 1 reps · 310-858-0700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CFG WEALTH MANAGEMENT SERVICES INC (INDIANAPOLIS, IN) is newly SEC-registered with $110.2M RAUM and 2 advisory reps. IAPD ↗
$110.2M RAUM · 2 reps · 317-841-7959
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEE-WAY FINANCIAL SERVICES, INC (HATTIESBURG, MS) is newly SEC-registered with $132.1M RAUM and 1 advisory reps. IAPD ↗
$132.1M RAUM · 1 reps · 9179524262 · leewayfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PORTFOLIO ADVISORY GROUP, INC. (ALEXANDRIA, VA) is newly SEC-registered with $115.8M RAUM and 2 advisory reps. IAPD ↗
$115.8M RAUM · 2 reps · 703-461-9193
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HULSEY CAPITAL MANAGEMENT, INC. (HEBER SPRINGS, AR) is newly SEC-registered with $113.2M RAUM and 1 advisory reps. IAPD ↗
$113.2M RAUM · 1 reps · 501-362-1681
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WYNN CAPITAL MANAGEMENT, LLC (SANTA CRUZ, CA) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
$102.0M RAUM · 2 reps · 831.600.7326
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ODA AND COMPANY, INC. (MEDINA, OH) is newly SEC-registered with $125.6M RAUM and 1 advisory reps. IAPD ↗
$125.6M RAUM · 1 reps · 330-725-8911
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SERA CAPITAL MANAGEMENT, LLC (ANNAPOLIS, MD) is newly SEC-registered with $114.3M RAUM and 5 advisory reps. IAPD ↗
$114.3M RAUM · 5 reps · 301-464-8333 · seracapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
S.C. THOMAS & ASSOCIATES, CPA, LLC (MEDINA, OH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · 330-725-3162 · scthomascpa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRATED INVESTMENT STRATEGIES,INC. (CARMEL, IN) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
$104.5M RAUM · 3 reps · 317-843-5577 · integratedinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PATHFINDER ADVISORY, INC. (ROCKFORD, IL) is newly SEC-registered with $121.4M RAUM and 3 advisory reps. IAPD ↗
$121.4M RAUM · 3 reps · 815.399.9806
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROCKY HILL ADVISORS INC. (PEABODY, MA) is newly SEC-registered with $102.4M RAUM and 1 advisory reps. IAPD ↗
$102.4M RAUM · 1 reps · 978-531-5900 · rockyhilladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RECHTER WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $133.5M RAUM and 2 advisory reps. IAPD ↗
$133.5M RAUM · 2 reps · 703-304-9195 · rechterwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORNERSTONE FINANCIAL (ATLANTA, GA) is newly SEC-registered with $118.0M RAUM and 3 advisory reps. IAPD ↗
$118.0M RAUM · 3 reps · 404-874-3111 · corstonefinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE GRANITE CAPITAL, LLC (CHARLESTON, SC) is newly SEC-registered with $108.8M RAUM and 3 advisory reps. IAPD ↗
$108.8M RAUM · 3 reps · 843-722-7330 · bluegranitecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPHA FINANCIAL MANAGEMENT, INC. (SAVANNAH, GA) is newly SEC-registered with $109.4M RAUM and 3 advisory reps. IAPD ↗
$109.4M RAUM · 3 reps · 912-353-9343 · michaeldayoub.wordpress.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ASHWOOD ADVISORS (MEDFIELD, MA) is newly SEC-registered with $126.9M RAUM and 2 advisory reps. IAPD ↗
$126.9M RAUM · 2 reps · 508-359-9442 · geremiainvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL EMPOWERMENT LLC (BURNSVILLE, MN) is newly SEC-registered with $126.4M RAUM and 2 advisory reps. IAPD ↗
$126.4M RAUM · 2 reps · 952-646-0026 · finempowerment.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RALL CAPITAL MANAGEMENT, INC. (ROCKLEDGE, FL) is newly SEC-registered with $122.7M RAUM and 2 advisory reps. IAPD ↗
$122.7M RAUM · 2 reps · 321-452-1251 · rallcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHAPPELWOOD FINANCIAL SERVICES (EDMOND, OK) is newly SEC-registered with $113.1M RAUM and 3 advisory reps. IAPD ↗
$113.1M RAUM · 3 reps · 405-348-0909 · chappelwood.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SALVINI FINANCIAL PLANNING (location n/a) is newly SEC-registered with $116.2M RAUM and 1 advisory reps. IAPD ↗
$116.2M RAUM · 1 reps · (805) 543-6622 · salvinifinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL ACTION, INC. (MONUMENT, CO) is newly SEC-registered with $100.3M RAUM and 4 advisory reps. IAPD ↗
$100.3M RAUM · 4 reps · 719-357-7189 · faiinv.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WILLIAMS AND SCHILLER WEALTH MANAGEMENT, LLC (SANDPOINT, ID) is newly SEC-registered with $120.7M RAUM and 2 advisory reps. IAPD ↗
$120.7M RAUM · 2 reps · 208-265-5959 · wswealthmanagementllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCHUYLKILL FINANCIAL, LLC (WYOMISSING, PA) is newly SEC-registered with $123.6M RAUM and 2 advisory reps. IAPD ↗
$123.6M RAUM · 2 reps · 610-670-1656
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEGASUS FINANCIAL GROUP LLC (CHANTILLY, VA) is newly SEC-registered with $122.3M RAUM and 3 advisory reps. IAPD ↗
$122.3M RAUM · 3 reps · 703-956-6662
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEBBLE VALLEY WEALTH MANAGEMENT (WESTERN SPRINGS, IL) is newly SEC-registered with $129.5M RAUM and 2 advisory reps. IAPD ↗
$129.5M RAUM · 2 reps · 708-246-2366
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AMERICAN WEALTH ADVISORS, LLC (JOHNS CREEK, GA) is newly SEC-registered with $120.2M RAUM and 2 advisory reps. IAPD ↗
$120.2M RAUM · 2 reps · 770-814-7236 · americanwealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRIAD INVESTMENT MANAGEMENT, LLC (NEWPORT BEACH, CA) is newly SEC-registered with $119.5M RAUM and 2 advisory reps. IAPD ↗
$119.5M RAUM · 2 reps · (949) 679-3991 · triadinvestmentmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MTR FINANCIAL SERVICES, LLC (KINGWOOD, TX) is newly SEC-registered with $119.9M RAUM and 1 advisory reps. IAPD ↗
$119.9M RAUM · 1 reps · 281-913-1844
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMMENCEMENT FINANCIAL PLANNING LLC (location n/a) is newly SEC-registered with $121.7M RAUM and 1 advisory reps. IAPD ↗
$121.7M RAUM · 1 reps · 253-820-6432 · commencefp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LINCOLN DOUGLAS INVESTMENTS, LLC (MOUNT VERNON, OH) is newly SEC-registered with $130.5M RAUM and 8 advisory reps. IAPD ↗
$130.5M RAUM · 8 reps · 740-397-1397
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TWEET MANAGEMENT SERVICES, INC. (LA MESA, CA) is newly SEC-registered with $120.5M RAUM and 1 advisory reps. IAPD ↗
$120.5M RAUM · 1 reps · 619-867-4855 · kyletweet.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WAX ASSET MANAGEMENT LLC (location n/a) is newly SEC-registered with $181.2M RAUM and 1 advisory reps. IAPD ↗
$181.2M RAUM · 1 reps · (203) 941-0111 · waxasset.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RYAN POAGE & CO. (KANSAS CITY, MO) is newly SEC-registered with $114.2M RAUM and 3 advisory reps. IAPD ↗
$114.2M RAUM · 3 reps · (816) 531-4555
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SETARCOS WEALTH ADVISORS LLC (PHILADELPHIA, PA) is newly SEC-registered with $111.7M RAUM and 2 advisory reps. IAPD ↗
$111.7M RAUM · 2 reps · 267-504-4905
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GOLDBERG FINANCIAL ADVISORS, LLC (EL SEGUNDO, CA) is newly SEC-registered with $120.3M RAUM and 1 advisory reps. IAPD ↗
$120.3M RAUM · 1 reps · (310) 995-3396 · goldbergfinancialadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMPASS RETIREMENT, LLC (location n/a) is newly SEC-registered with $105.1M RAUM and 1 advisory reps. IAPD ↗
$105.1M RAUM · 1 reps · 860-661-3821 · compass-retirement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MIDWEST FINANCIAL ASSOCIATES, INC. (ROCKFORD, IL) is newly SEC-registered with $123.9M RAUM and 1 advisory reps. IAPD ↗
$123.9M RAUM · 1 reps · (779) 210-2930
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NOSURIS, INC. (LYNBROOK, NY) is newly SEC-registered with $95.0M RAUM and 2 advisory reps. IAPD ↗
$95.0M RAUM · 2 reps · 516-887-7788 · odifinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COGENT INDEPENDENT ADVISORS, INC. (location n/a) is newly SEC-registered with $112.4M RAUM and 1 advisory reps. IAPD ↗
$112.4M RAUM · 1 reps · 9042988282 · cogentadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BEYOND WEALTH (OVERLAND PARK, KS) is newly SEC-registered with $122.5M RAUM and 3 advisory reps. IAPD ↗
$122.5M RAUM · 3 reps · 913-871-7980
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NPM CONSULTING, LLC (location n/a) is newly SEC-registered with $116.1M RAUM and 1 advisory reps. IAPD ↗
$116.1M RAUM · 1 reps · 201-670-7728 · npmconsulting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GIRA & GIRA INVESTMENT ADVISORS LLC (HARRISONBURG, VA) is newly SEC-registered with $121.4M RAUM and 2 advisory reps. IAPD ↗
$121.4M RAUM · 2 reps · (540) 433 7600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LAMINAR WEALTH LLC (CLAYTON, MO) is newly SEC-registered with $131.8M RAUM and 2 advisory reps. IAPD ↗
$131.8M RAUM · 2 reps · (800) 929-6530
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STREAMSONG ADVISORS, LLC (GRAND RAPIDS, MI) is newly SEC-registered with $124.4M RAUM and 4 advisory reps. IAPD ↗
$124.4M RAUM · 4 reps · (616) 433-6006 · streamsongadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRECEDENT FINANCIAL STRATEGIES (INDIANAPOLIS, IN) is newly SEC-registered with $111.5M RAUM and 1 advisory reps. IAPD ↗
$111.5M RAUM · 1 reps · 800-264-9908 · precedentstrategies.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TEN PEAKS PARTNERS L.L.C. (CLAYTON, MO) is newly SEC-registered with $108.6M RAUM and 1 advisory reps. IAPD ↗
$108.6M RAUM · 1 reps · 888-762-7145
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MOSAIC FI LLC (LINCOLNSHIRE, IL) is newly SEC-registered with $112.8M RAUM and 2 advisory reps. IAPD ↗
$112.8M RAUM · 2 reps · 847-371-5203
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BOSTON PORTFOLIO ADVISERS (BOSTON, MA) is newly SEC-registered with $121.5M RAUM and 2 advisory reps. IAPD ↗
$121.5M RAUM · 2 reps · 617-227-7807
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LAUREATE WEALTH MANAGEMENT, LLC (GLEN ELLYN, IL) is newly SEC-registered with $121.9M RAUM and 4 advisory reps. IAPD ↗
$121.9M RAUM · 4 reps · 312-300-6765 · laureate-wealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COX & COOK WEALTH ADVISORS (DUBLIN, OH) is newly SEC-registered with $119.5M RAUM and 2 advisory reps. IAPD ↗
$119.5M RAUM · 2 reps · 614-764-2366 · plans2retire.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BALANCED WEALTH MANAGEMENT, LLC. (EAST GREENWICH, RI) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
$102.0M RAUM · 2 reps · (401) 398-2000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WGS MANAGEMENT SERVICES, INC (ROCHESTER, NY) is newly SEC-registered with $41.6M RAUM and 1 advisory reps. IAPD ↗
$41.6M RAUM · 1 reps · 585-720-9970
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EDEN ADVISORY SERVICES, LLC (ALBANY, NY) is newly SEC-registered with $27.8M RAUM and 2 advisory reps. IAPD ↗
$27.8M RAUM · 2 reps · (518) 203-8833 · edenasc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEACH, BICKMORE & WEISS WEALTH MANAGEMENT, LLC (MADISON, WI) is newly SEC-registered with $115.3M RAUM and 1 advisory reps. IAPD ↗
$115.3M RAUM · 1 reps · 608-286-1321
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EVIDENT FINANCIAL (ERIE, PA) is newly SEC-registered with $149.7M RAUM and 3 advisory reps. IAPD ↗
$149.7M RAUM · 3 reps · (814) 425-5182
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VENTURE FORTH FINANCIAL (location n/a) is newly SEC-registered with $105.0M RAUM and 1 advisory reps. IAPD ↗
$105.0M RAUM · 1 reps · 415-308-8438 · ventureforthfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PATHWAY WEALTH MANAGEMENT, LLC (DALLAS, TX) is newly SEC-registered with $116.0M RAUM and 1 advisory reps. IAPD ↗
$116.0M RAUM · 1 reps · 972-863-7671
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRUE ABUNDANCE ADVISORS (location n/a) is newly SEC-registered with $32.0M RAUM and 1 advisory reps. IAPD ↗
$32.0M RAUM · 1 reps · 914-222-0832
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALOMAR ADVISORS INC. (location n/a) is newly SEC-registered with $101.3M RAUM and 2 advisory reps. IAPD ↗
$101.3M RAUM · 2 reps · 760-417-5709
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MARIVA GLOBAL ASSET MANAGEMENT, LLC (MIAMI, FL) is newly SEC-registered with $129.0M RAUM and 2 advisory reps. IAPD ↗
$129.0M RAUM · 2 reps · 305-712-6999 · marivacm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILE WEALTH MANAGEMENT (IRVINE, CA) is newly SEC-registered with $120.1M RAUM and 1 advisory reps. IAPD ↗
$120.1M RAUM · 1 reps · 949-441-4410 · milewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEVENSON WEALTH LLC (location n/a) is newly SEC-registered with $111.0M RAUM and 2 advisory reps. IAPD ↗
$111.0M RAUM · 2 reps · 617-527-1623
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HUNT WEALTH MANAGEMENT (CONCORD, CA) is newly SEC-registered with $110.0M RAUM and 2 advisory reps. IAPD ↗
$110.0M RAUM · 2 reps · 925-279-1102 · huntwealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SULLIVAN INVESTMENT MANAGEMENT LLC (WISCONSIN RAPIDS, WI) is newly SEC-registered with $111.8M RAUM and 1 advisory reps. IAPD ↗
$111.8M RAUM · 1 reps · 7154220701 · sullivanmgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CRYSTAL COVE ASSET MANAGEMENT (NEWPORT BEACH, CA) is newly SEC-registered with $135.2M RAUM and 2 advisory reps. IAPD ↗
$135.2M RAUM · 2 reps · (949) 359-1399 · crystalcoveam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RIHO PARTNERS, LLC (location n/a) is newly SEC-registered with $182.2M RAUM and 1 advisory reps. IAPD ↗
$182.2M RAUM · 1 reps · (415) 544-5090 · rihopartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
URS ADVISORY (JUPITER, FL) is newly SEC-registered with $158.8M RAUM and 2 advisory reps. IAPD ↗
$158.8M RAUM · 2 reps · 561-594-0100 · ursadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TROTT BROOK FINANCIAL (ANOKA, MN) is newly SEC-registered with $120.5M RAUM and 1 advisory reps. IAPD ↗
$120.5M RAUM · 1 reps · (763) 213-1000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TITAN INVESTMENT MANAGEMENT LLC (INDIANAPOLIS, IN) is newly SEC-registered with $123.9M RAUM and 4 advisory reps. IAPD ↗
$123.9M RAUM · 4 reps · 765-418-8223 · titaninvestmentmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILBORN ADVISORS, LTD (MILWAUKEE, WI) is newly SEC-registered with $107.7M RAUM and 2 advisory reps. IAPD ↗
$107.7M RAUM · 2 reps · 414-585-0070
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFELONG WEALTH MANAGEMENT GROUP, LLC (LAKE OSWEGO, OR) is newly SEC-registered with $121.7M RAUM and 2 advisory reps. IAPD ↗
$121.7M RAUM · 2 reps · 503-747-6534 · llwmg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAN BLAS ADVISORY, INC. (ATLANTA, GA) is newly SEC-registered with $218.9M RAUM and 9 advisory reps. IAPD ↗
$218.9M RAUM · 9 reps · 404.704.0406 · thehendersonfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
O.F.O. PARTNERS, LLC (HINGHAM, MA) is newly SEC-registered with $110.0M RAUM and 1 advisory reps. IAPD ↗
$110.0M RAUM · 1 reps · (617) 829-8800
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SETTIAN CAPITAL LP (SAINT AUGUSTINE, FL) is newly SEC-registered with $156.5M RAUM and 1 advisory reps. IAPD ↗
$156.5M RAUM · 1 reps · 203-257-0925
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STOIC POINT CAPITAL MANAGEMENT LLC (PALO ALTO, CA) is newly SEC-registered with $119.5M RAUM and 2 advisory reps. IAPD ↗
$119.5M RAUM · 2 reps · 650-503-9750
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEBSTER STREET INVESTMENT ADVISORS LLC (location n/a) is newly SEC-registered with $113.7M RAUM and 2 advisory reps. IAPD ↗
$113.7M RAUM · 2 reps · (267) 254-3854 · websterstreetadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AJAX CAPITAL LLC (location n/a) is newly SEC-registered with $114.6M RAUM and 1 advisory reps. IAPD ↗
$114.6M RAUM · 1 reps · 305-912-7022
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MANA FINANCIAL LIFE DESIGN (location n/a) is newly SEC-registered with $106.1M RAUM and 3 advisory reps. IAPD ↗
$106.1M RAUM · 3 reps · 412-721-3443
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NOBLE WEALTH PARTNERS (DENVER, CO) is newly SEC-registered with $118.5M RAUM and 2 advisory reps. IAPD ↗
$118.5M RAUM · 2 reps · 720-588-4103
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEQUENTIS CAPITAL LLC (BOSTON, MA) is newly SEC-registered with $101.5M RAUM and 3 advisory reps. IAPD ↗
$101.5M RAUM · 3 reps · (617) 419-7133 · sequentis-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRAILS EDGE WEALTH ADVISERS, LLC (location n/a) is newly SEC-registered with $153.7M RAUM and 1 advisory reps. IAPD ↗
$153.7M RAUM · 1 reps · 847-682-0105 · trailswealth.com.
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STERLING BRIDGE FINANCIAL GROUP LLC (PALM HARBOR, FL) is newly SEC-registered with $131.1M RAUM and 4 advisory reps. IAPD ↗
$131.1M RAUM · 4 reps · (727) 250-4130
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MD WEALTH ADVISORS INC (CRANFORD, NJ) is newly SEC-registered with $105.2M RAUM and 1 advisory reps. IAPD ↗
$105.2M RAUM · 1 reps · 908-440-0811 · mdwealthinc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BURKE WEALTH MANAGEMENT, LLC (HOUSTON, TX) is newly SEC-registered with $95.2M RAUM and 3 advisory reps. IAPD ↗
$95.2M RAUM · 3 reps · 713-933-5402 · burkewealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ADVOCACY FINANCIAL LLC (COVINGTON, LA) is newly SEC-registered with $103.4M RAUM and 2 advisory reps. IAPD ↗
$103.4M RAUM · 2 reps · 888-787-4590 · advocacyfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GENEROUSWEALTH, LLC (SUMMERVILLE, SC) is newly SEC-registered with $110.4M RAUM and 2 advisory reps. IAPD ↗
$110.4M RAUM · 2 reps · 843-376-3544
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARK WEALTH ADVISORS, LLC (YORBA LINDA, CA) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
$118.0M RAUM · 1 reps · 714-333-3550 · arkwealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PARAGON INVESTING, LLC (location n/a) is newly SEC-registered with $138.2M RAUM and 3 advisory reps. IAPD ↗
$138.2M RAUM · 3 reps · 734-649-6710 · paragoninvesting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LARSON WILLIAMS WEALTH ADVISORS, LLC (CEDAR CITY, UT) is newly SEC-registered with $140.0M RAUM and 2 advisory reps. IAPD ↗
$140.0M RAUM · 2 reps · 435-867-5685 · larsonfinancialcompanies.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOUTH SHORE INVESTMENT SERVICES LLC (NORWELL, MA) is newly SEC-registered with $117.9M RAUM and 2 advisory reps. IAPD ↗
$117.9M RAUM · 2 reps · (781) 887-8978 · southshoreis.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THINK DIFFERENT FINANCIAL PLANNING (location n/a) is newly SEC-registered with $141.5M RAUM and 1 advisory reps. IAPD ↗
$141.5M RAUM · 1 reps · 650-387-0533 · thinkdifferentfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOLYCO WEALTH LLC (BIRMINGHAM, MI) is newly SEC-registered with $116.2M RAUM and 5 advisory reps. IAPD ↗
$116.2M RAUM · 5 reps · 713-444-3560
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRANDON HILL WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $48.4M RAUM and 1 advisory reps. IAPD ↗
$48.4M RAUM · 1 reps · 914-582-0839 · brandonhillwealthmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RETIRE READY WEALTH MANAGEMENT (RADNOR, PA) is newly SEC-registered with $100.1M RAUM and 1 advisory reps. IAPD ↗
$100.1M RAUM · 1 reps · 610-727-1727 · retirereadyfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEAK FINANCIAL PLANNING (CANOGA PARK, CA) is newly SEC-registered with $93.0M RAUM and 4 advisory reps. IAPD ↗
$93.0M RAUM · 4 reps · (818) 600-6099 · thepeakfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITE OAK WEALTH PARTNERS (RALEIGH, NC) is newly SEC-registered with $110.5M RAUM and 1 advisory reps. IAPD ↗
$110.5M RAUM · 1 reps · 919-858-6490 · whiteoakwealthpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VIRTUS FINANCIAL GROUP (OLIVETTE, MO) is newly SEC-registered with $119.4M RAUM and 5 advisory reps. IAPD ↗
$119.4M RAUM · 5 reps · (314) 395-6133 · thevirtusfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BENSON WEALTH MANAGEMENT, INC. (location n/a) is newly SEC-registered with $116.0M RAUM and 2 advisory reps. IAPD ↗
$116.0M RAUM · 2 reps · (530) 891-0719 · bensonwm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GOI (MIAMI, FL) is newly SEC-registered with $111.3M RAUM and 2 advisory reps. IAPD ↗
$111.3M RAUM · 2 reps · 888-464-4742
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHARTON WEALTH PLANNING, LLC (NEW YORK, NY) is newly SEC-registered with $30.7M RAUM and 1 advisory reps. IAPD ↗
$30.7M RAUM · 1 reps · 646-450-7021 · whartonwealthplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WINCHESTER ASSET MANAGEMENT, LLC (CHICAGO, IL) is newly SEC-registered with $154.0M RAUM and 2 advisory reps. IAPD ↗
$154.0M RAUM · 2 reps · 312-858-3359 · winchesteram.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIGHT LAKE WEALTH MANAGEMENT, LLC (ROSEVILLE, CA) is newly SEC-registered with $103.6M RAUM and 4 advisory reps. IAPD ↗
$103.6M RAUM · 4 reps · 916-749-1881 · brightlakewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCES FOR REAL LIFE (LOMPOC, CA) is newly SEC-registered with $108.6M RAUM and 2 advisory reps. IAPD ↗
$108.6M RAUM · 2 reps · 805-733-2700 · financesforreallife.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ACCESS CAPITAL, LLC (WICHITA, KS) is newly SEC-registered with $105.6M RAUM and 1 advisory reps. IAPD ↗
$105.6M RAUM · 1 reps · 316-633-8013 · accesscapitaladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TOTAL WEALTH SOLUTIONS (LOS ALTOS, CA) is newly SEC-registered with $148.0M RAUM and 1 advisory reps. IAPD ↗
$148.0M RAUM · 1 reps · (510) 252-0135 · onetws.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MENDOZA PRIVATE WEALTH (MIAMI, FL) is newly SEC-registered with $101.4M RAUM and 1 advisory reps. IAPD ↗
$101.4M RAUM · 1 reps · 305-503-5133 · mendozaprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PORT CAPITAL MANAGEMENT (MASSAPEQUA, NY) is newly SEC-registered with $29.8M RAUM and 1 advisory reps. IAPD ↗
$29.8M RAUM · 1 reps · 212-597-2249 · portcapitalmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
QUANTITATIVE FINANCIAL STRATEGIES (location n/a) is newly SEC-registered with $156.2M RAUM and 2 advisory reps. IAPD ↗
$156.2M RAUM · 2 reps · 714-300-5143 · quantitativefinancialstrategies.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
K2 WEALTH MANAGEMENT LLC (CHICAGO, IL) is newly SEC-registered with $120.0M RAUM and 3 advisory reps. IAPD ↗
$120.0M RAUM · 3 reps · 872-227-7652 · k2wealthllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IKALON ADVISORS LLC (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 786 702 0078
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MGFS PRIVATE WEALTH, LLC (location n/a) is newly SEC-registered with $116.7M RAUM and 2 advisory reps. IAPD ↗
$116.7M RAUM · 2 reps · 312-758-3997 · mgfsprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPRINGLAKE FINANCIAL PARTNERS (location n/a) is newly SEC-registered with $104.8M RAUM and 2 advisory reps. IAPD ↗
$104.8M RAUM · 2 reps · (615) 659-0220 · springlakefp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHEALTHY EMPOWERMENT NETWORK (location n/a) is newly SEC-registered with $107.8M RAUM and 2 advisory reps. IAPD ↗
$107.8M RAUM · 2 reps · 419-340-6462 · whealthyempowerment.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ONE OAK (location n/a) is newly SEC-registered with $110.4M RAUM and 3 advisory reps. IAPD ↗
$110.4M RAUM · 3 reps · (302) 754-1625 · investonewell.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VIP WEALTH ADVISORS (DECATUR, GA) is newly SEC-registered with $126.1M RAUM and 1 advisory reps. IAPD ↗
$126.1M RAUM · 1 reps · 917-319-8281 · vipwealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
US FINANCIAL PLANNERS, LLC (ASHEVILLE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 980-286-1170 · usfinancialplanners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEXTMOVE CAPITAL INC. (location n/a) is newly SEC-registered with $190 RAUM and 1 advisory reps. IAPD ↗
$190 RAUM · 1 reps · +1 201-463-1030 · nextmovecap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KEYSTONE BITCOIN (PITTSBURGH, PA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 412 844 4994 · keystonebitcoin.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VOSS 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 · (440) 213-8644 · vosswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAVILE PRIVATE WEALTH 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
SAGEWOOD CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 212-231-8777 · sagewoodam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
R.I.T. WEALTH ADVISORS (SAN LUIS OBISPO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (949) 340-1701 · ritwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARKA CAPITAL A.M. LTD (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · +9 72 54 433 2642
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OXFORD HARRIMAN PRIVATE WEALTH MANAGEMENT (INDIANAPOLIS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 317-581-4003 · ohcpwm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CULTIVATE WEALTH PARTNERS (BROOMFIELD, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (720) 961-2805
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOW FAMILY OFFICE ADVISORY, LLC (LAKEWOOD RANCH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 207-200-2200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JQL WEALTH (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 570-332-5680
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BODEN WEALTH (LEMOYNE, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 717-657-8878 · bodenwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LAS OLAS CAPITAL WEALTH LLC (FORT LAUDERDALE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 954 289 4692 · lasolascap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOONER PRIVATE FINANCIAL LLC (SALEM, NH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 603-321-6531
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REA FINANCIAL (ORLANDO, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 407-787-9700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TELOS PARTNERS LLC (AVON, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (646)907-9424
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TAO PRIVATE WEALTH, LLC (TULSA, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (918) 986 7282
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MEADOWCREST WEALTH MANAGEMENT (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 281-358-0134
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GREG JENNINGS, LLC (DEWITT, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 315-427-3261
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AMALTASH ADVISORS (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 217-417-1142 · amaltash.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JM FINANCIAL PRIVATE WEALTH, INC. (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 1-332-900-4958
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIONHUNTER CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 212-602-0686
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAHARA INVESTMENT GROUP (LAS VEGAS, NV) is newly SEC-registered (provisional 120-day approval) with $52.6M RAUM and 5 advisory reps. IAPD ↗
$52.6M RAUM · 5 reps · 702-907-0005 · saharainvestmentgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAIRLEAD STRATEGIES LLC (GREENWICH, CT) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 203-872-6500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAMBIER CAPITAL, LLC (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · (239) 289-1218
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FACTORPOINT PLANNING, LLC (PITTSFORD, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (585) 895-7506 · factorplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FACTORY CAPITAL (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 5185383413
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HYCO RIVER INVESTMENTS, INCORPORATED (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 703-338-9419 · hycoinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRAIRIE VIEW WEALTH PARTNERS LLC (SIOUX FALLS, SD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (605) 777-1851 · prairieviewwp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STONE OAK CAPITAL LLC (ROCHESTER, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 585-406-0220
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UPSTATE ADVISERS INC (PITTSFORD, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 5852099788
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GIBERT 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 · 7045755349 · gibertwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
QUEEQUEG & MUNGER, LLC (FESTUS, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 314-607-4821
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
QUEST WEALTH SOLUTIONS, INC. (MANSFIELD, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 419-525-2525 · questwealthsolutions.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ADAMS ADVISORY SERVICES, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 434-825-3764
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FULCRUM EQUITY PARTNERS, INC. (ATLANTA, GA) is newly SEC-registered with $1.16B RAUM and 16 advisory reps. IAPD ↗fund
$1.16B RAUM · 16 reps · 770-551-6300 · fulcrumep.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
EVERKEY FINANCIAL LLC (KATY, TX) is newly SEC-registered with $10.6M RAUM and 1 advisory reps. IAPD ↗institutional
$10.6M RAUM · 1 reps · (713) 382-1880
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PLH FAMILY OFFICE, LLC (GARDEN CITY, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · (646) 518-2800
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FAMILY OFFICE INVESTMENT ADVISORY LLC (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (800) 447-7090
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SPA RIA (SANTA MONICA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 617 817-5344
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GCM GROSVENOR WEALTH L.P. (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 166 advisory reps. IAPD ↗institutional
$0 RAUM · 166 reps · 312-506-6500 · gcmgrosvenor.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · 2125189542 · guggenheimpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
WORTH CHARTING LLC (NEW YORK, NY) is newly SEC-registered with $2.5M RAUM and 2 advisory reps. IAPD ↗institutional
$2.5M RAUM · 2 reps · 212-624-2383 · worthcharting.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FOURNORTH CAPITAL LLC (WEST CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 215-217-2360
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GLD ADVISORS, LLC (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 212-257-5790
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
COOLABAH INVESTMENT MANAGEMENT (USA) INC (MIAMI, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 305-722-7789 · coolabahcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
HARBOURVEST REGISTERED ADVISERS II (BOSTON, MA) is newly SEC-registered with $0 RAUM and 296 advisory reps. IAPD ↗institutional
$0 RAUM · 296 reps · 617-348-3707 · harbourvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
VANGUARD ALTERNATIVE ASSETS ADVISER, LLC (MALVERN, PA) is newly SEC-registered with $0 RAUM and 25 advisory reps. IAPD ↗institutional
$0 RAUM · 25 reps · 610-669-1000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SKYLAR CAPITAL MANAGEMENT LP (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · (713) 341-7942
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
WILLIAM RAVEIS - MORAN WEALTH MANAGEMENT, LLC (NAPLES, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 239-920-4521
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BANCREEK CAPITAL STRATEGIES, LLC (SANTA MONICA, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 424-252-4813, EXT 5013
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
DX ADVISORS LLC (LAS VEGAS, NV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 415-639-9966
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
OCA VENTURES, LLC (CHICAGO, IL) is newly SEC-registered with $316.4M RAUM and 15 advisory reps. IAPD ↗fund
$316.4M RAUM · 15 reps · 312-443-5028
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SCIENS WATER (NEW YORK, NY) is newly SEC-registered with $743.5M RAUM and 9 advisory reps. IAPD ↗fund
$743.5M RAUM · 9 reps · 212-471-6100
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
THE O.H.I.O. FUND (CLEVELAND, OH) is newly SEC-registered with $474.6M RAUM and 4 advisory reps. IAPD ↗fund
$474.6M RAUM · 4 reps · 216-270-7377 · theohiofund.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
LEGEIS CAPITAL ADVISORS, LLC (GREAT NECK, NY) is newly SEC-registered with $497.4M RAUM and 1 advisory reps. IAPD ↗fund
$497.4M RAUM · 1 reps · 516-329-9923 · legeiscapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
VRM PENZINI CAPITAL L.L.C. (SAN JUAN, PR) is newly SEC-registered with $269.2M RAUM and 3 advisory reps. IAPD ↗fund
$269.2M RAUM · 3 reps · 787-305-1015 · vrmpenzini.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ERA GLOBAL TECHNOLOGIES (NEW YORK, NY) is newly SEC-registered with $259.9M RAUM and 2 advisory reps. IAPD ↗fund
$259.9M RAUM · 2 reps · 614-458-8722
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MAGARIAN CAPITAL MANAGEMENT, LLC (SAN ANTONIO, TX) is newly SEC-registered with $259.7M RAUM and 1 advisory reps. IAPD ↗fund
$259.7M RAUM · 1 reps · 856-334-8260
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
WEBER CAPITAL MANAGEMENT LLC (location n/a) is newly SEC-registered with $120.2M RAUM and 1 advisory reps. IAPD ↗fund
$120.2M RAUM · 1 reps · 415-317-1798 · webercapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
GLC INVESTMENT ADVISORS, LLC (location n/a) is newly SEC-registered with $245.9M RAUM and 1 advisory reps. IAPD ↗fund
$245.9M RAUM · 1 reps · 415-962-8500 · glcmerchantbank.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
MAP FUNDS MANAGEMENT, LLC (MARBLEHEAD, MA) is newly SEC-registered with $25.8M RAUM and 1 advisory reps. IAPD ↗fund
$25.8M RAUM · 1 reps · 781-639-2750
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
KITTYHAWK VENTURES, LLC (LOS ANGELES, CA) is newly SEC-registered with $184.0M RAUM and 1 advisory reps. IAPD ↗fund
$184.0M RAUM · 1 reps · (415) 244-5641 · kittyhawk.vc
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ROPPEL CAPITAL MANAGEMENT LLC (PARK RIDGE, IL) is newly SEC-registered with $231.5M RAUM and 2 advisory reps. IAPD ↗fund
$231.5M RAUM · 2 reps · 847-318-9001
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
IG BETTER FUTURE MANAGEMENT, LLC (MENLO PARK, CA) is newly SEC-registered with $128.3M RAUM and 4 advisory reps. IAPD ↗fund
$128.3M RAUM · 4 reps · (615)437-7299 · integragroupe.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
GRAPHENE CAPITAL MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $238.1M RAUM and 9 advisory reps. IAPD ↗fund
$238.1M RAUM · 9 reps · 646-585-6503 · graphenelp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
FLATIRON FUND MANAGEMENT LP (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $27.3M RAUM and 2 advisory reps. IAPD ↗fund
$27.3M RAUM · 2 reps · 561-412-4929 · flatironassets.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CHANGE FORCES (PORTOLA VALLEY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
$0 RAUM · 1 reps · (202) 413-4222
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ACCESS REAL ESTATE, LLC (LOUISVILLE, KY) is newly SEC-registered with $63.4M RAUM and 1 advisory reps. IAPD ↗fund
$63.4M RAUM · 1 reps · 502-292-5500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ARÈNE CAPITAL MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $13.0M RAUM and 4 advisory reps. IAPD ↗fund
$13.0M RAUM · 4 reps · 646-277-6425
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SOUTHPAW CP MANAGER LP (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
$0 RAUM · 1 reps · (917) 837-8846
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
MBX INVESTORS LLC (FARMINGTON HILLS, MI) is newly SEC-registered with $224.6M RAUM and 2 advisory reps. IAPD ↗fund
$224.6M RAUM · 2 reps · 248-960-1700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
A.G.P. ASSET MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $144.5M RAUM and 2 advisory reps. IAPD ↗fund
$144.5M RAUM · 2 reps · (646) 905-2167 · allianceg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CALLODINE STRATEGIC CREDIT FUND III MANAGEMENT, LLC (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗fund
$0 RAUM · 4 reps · 404-795-6468 · callodinesbic.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
DS2 CAPITAL LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
$0 RAUM · 5 reps · 704-210-8560 · ds2capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ACCUMULATOR OPERATIONS LLC (CORAL GABLES, FL) is newly SEC-registered with $148.4M RAUM and 8 advisory reps. IAPD ↗fund
$148.4M RAUM · 8 reps · 305-813-2420 · accumulator.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CLEVELAND CAPITAL MANAGEMENT, L.L.C. (ROCKY RIVER, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗fund
$0 RAUM · 2 reps · 440 333 4925 · clevelandcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
EDGEWORTH CAPITAL PTY LTD (BONDI JUNCTION, NEW SOUTH WALES, Australia) is newly SEC-registered with $330.9M RAUM and 2 advisory reps. IAPD ↗foreign
$330.9M RAUM · 2 reps · 61409341500 · edgeworthcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
TIMEFOLIO ASSET MANAGEMENT SINGAPORE PTE. LTD. (SINGAPORE, SINGAPORE, Singapore) is newly SEC-registered with $965.9M RAUM and 5 advisory reps. IAPD ↗foreign
$965.9M RAUM · 5 reps · +65 6359 1526 · timefolio.sg
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
ARTHSCIENCE CAPITAL (MUMBAI, MAHARASHTRA, India) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 918452940541
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
ALERA MANAGEMENT PARTNERS (BUENOS AIRES, Argentina) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · +1 (315) 305-2521 · aleramp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 96 Count of additional offices increased.
55
HANTZ FINANCIAL SERVICES, INC. added office(s): 19 -> 20 additional locations. IAPD ↗
$10.00B RAUM · 333 reps · 248-304-2855 · hantzgroup.com
Office IT & facilitiesCRMRecruiting & transitions
55
BLOOM ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$1.62B RAUM · 11 reps · 248-932-5200
Office IT & facilitiesCRMRecruiting & transitions
55
WEALTHSPIRE ADVISORS added office(s): 22 -> 26 additional locations. IAPD ↗
$34.32B RAUM · 220 reps · (212) 973-1200
Office IT & facilitiesCRMRecruiting & transitions
55
PLANCORP, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$9.94B RAUM · 48 reps · (636) 532-7824
Office IT & facilitiesCRMRecruiting & transitions
55
ONEDIGITAL added office(s): 83 -> 173 additional locations. IAPD ↗
$155.41B RAUM · 367 reps · 877-742-2021
Office IT & facilitiesCRMRecruiting & transitions
55
SAVANT WEALTH MANAGEMENT added office(s): 49 -> 65 additional locations. IAPD ↗
$49.57B RAUM · 238 reps · 815-227-0300
Office IT & facilitiesCRMRecruiting & transitions
55
BRIGHTON JONES LLC added office(s): 23 -> 24 additional locations. IAPD ↗
$18.88B RAUM · 156 reps · 206-258-5000
Office IT & facilitiesCRMRecruiting & transitions
55
TRIBUTARY CAPITAL MANAGEMENT, LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$1.90B RAUM · 13 reps · 877-458-0021 · tributarycapital.com
Office IT & facilitiesCRMRecruiting & transitions
55
BEACON POINTE ADVISORS, LLC added office(s): 65 -> 89 additional locations. IAPD ↗
$54.87B RAUM · 440 reps · 949-718-1600 · beaconpointefunds.com
Office IT & facilitiesCRMRecruiting & transitions
55
TFO WEALTH PARTNERS added office(s): 10 -> 11 additional locations. IAPD ↗
$5.66B RAUM · 55 reps · 419-891-9999
Office IT & facilitiesCRMRecruiting & transitions
55
PKS ADVISORY SERVICES, LLC added office(s): 22 -> 23 additional locations. IAPD ↗
$1.09B RAUM · 36 reps · (518) 426-5791 · woehlerfinancialgroup.com
Office IT & facilitiesCRMRecruiting & transitions
55
GLASSMAN WEALTH SERVICES, LLC added office(s): 15 -> 16 additional locations. IAPD ↗
$2.56B RAUM · 13 reps · 703-534-4444
Office IT & facilitiesCRMRecruiting & transitions
55
THREE BELL CAPITAL LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$5.05B RAUM · 14 reps · 650-843-9836
Office IT & facilitiesCRMRecruiting & transitions
55
B.O.S.S. RETIREMENT ADVISORS, LLC added office(s): 10 -> 11 additional locations. IAPD ↗
$1.38B RAUM · 49 reps · 801-990-5055
Office IT & facilitiesCRMRecruiting & transitions
55
DESTINY WEALTH PARTNERS, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$1.50B RAUM · 11 reps · 352.343.2700 · destinywealthpartners.com
Office IT & facilitiesCRMRecruiting & transitions
55
ALPHACORE CAPITAL LLC added office(s): 23 -> 24 additional locations. IAPD ↗
$9.03B RAUM · 69 reps · 858-875-4100 · alphacore.com
Office IT & facilitiesCRMRecruiting & transitions
55
SUMMIT TRAIL ADVISORS, LLC added office(s): 16 -> 17 additional locations. IAPD ↗
$19.94B RAUM · 31 reps · 212-812-7010 · summittrail.com
Office IT & facilitiesCRMRecruiting & transitions
55
ONESEVEN added office(s): 37 -> 47 additional locations. IAPD ↗
$7.72B RAUM · 95 reps · 216-865-1700
Office IT & facilitiesCRMRecruiting & transitions
55
THE FIDUCIARY ALLIANCE added office(s): 23 -> 24 additional locations. IAPD ↗
$2.53B RAUM · 45 reps · 864-385-7999
Office IT & facilitiesCRMRecruiting & transitions
55
BRYN MAWR TRUST ADVISORS, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$3.51B RAUM · 55 reps · 215.731.1820 · bmt.com
Office IT & facilitiesCRMRecruiting & transitions
55
ONEPOINT BFG WEALTH PARTNERS added office(s): 20 -> 21 additional locations. IAPD ↗
$15.13B RAUM · 104 reps · (973) 575-4180
Office IT & facilitiesCRMRecruiting & transitions
55
PORTSIDE WEALTH GROUP, LLC added office(s): 42 -> 43 additional locations. IAPD ↗
$1.43B RAUM · 47 reps · 385-412-1222
Office IT & facilitiesCRMRecruiting & transitions
55
QUOTIENT WEALTH PARTNERS, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$4.61B RAUM · 29 reps · (469) 912-2522
Office IT & facilitiesCRMRecruiting & transitions
55
LEGACY EDGE ADVISORS added office(s): 4 -> 5 additional locations. IAPD ↗
$1.23B RAUM · 16 reps · 516-447-4200
Office IT & facilitiesCRMRecruiting & transitions
53
MCCLARREN FINANCIAL ADVISORS added office(s): 1 -> 2 additional locations. IAPD ↗
$453.0M RAUM · 8 reps · 814-235-1940
Office IT & facilitiesCRMRecruiting & transitions
53
STONECREST ADVISORS, INC. added office(s): 10 -> 12 additional locations. IAPD ↗
$398.8M RAUM · 24 reps · 866-342-1069 · stonecrestpartners.com
Office IT & facilitiesCRMRecruiting & transitions
53
CORNERSTONE SELECT ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$315.3M RAUM · 4 reps · 314-862-5155 · csastl.com
Office IT & facilitiesCRMRecruiting & transitions
53
DELTA INVESTMENT MANAGEMENT, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$856.7M RAUM · 25 reps · (415) 249-6337
Office IT & facilitiesCRMRecruiting & transitions
53
RESEARCH FINANCIAL STRATEGIES added office(s): 7 -> 8 additional locations. IAPD ↗
$251.6M RAUM · 6 reps · 301-294-7500 · rfsadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
MBM WEALTH CONSULTANTS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$476.7M RAUM · 7 reps · (636) 274-6262 · mbmadvisorservices.com
Office IT & facilitiesCRMRecruiting & transitions
53
EQUITA FINANCIAL NETWORK, INC. added office(s): 17 -> 18 additional locations. IAPD ↗
$391.0M RAUM · 15 reps · 800.604.0176
Office IT & facilitiesCRMRecruiting & transitions
53
ALMANACK INVESTMENT PARTNERS added office(s): 2 -> 3 additional locations. IAPD ↗
$945.9M RAUM · 13 reps · 484-580-2277 · whiteknightcapital.net
Office IT & facilitiesCRMRecruiting & transitions
53
KINETIC INVESTMENT MANAGEMENT, INC. added office(s): 15 -> 16 additional locations. IAPD ↗
$450.9M RAUM · 24 reps · (800) 711-4818
Office IT & facilitiesCRMRecruiting & transitions
53
OASIS WEALTH PLANNING ADVISORS added office(s): 14 -> 15 additional locations. IAPD ↗
$275.9M RAUM · 7 reps · (615) 933-3314 · oasiswealthatlanta.com
Office IT & facilitiesCRMRecruiting & transitions
53
SHERWOOD FINANCIAL PARTNERS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$293.8M RAUM · 3 reps · 805.870.5591
Office IT & facilitiesCRMRecruiting & transitions
53
BLUEDOOR PRIVATE WEALTH, LLC added office(s): 1 -> 5 additional locations. IAPD ↗
$337.3M RAUM · 4 reps · 781-810-4604 · bluedoorprivate.com
Office IT & facilitiesCRMRecruiting & transitions
53
TRU INDEPENDENCE ASSET MANAGEMENT 2, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$264.7M RAUM · 3 reps · 971-371-3444 · meritwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
RETIRE AGILE added office(s): 4 -> 5 additional locations. IAPD ↗
$433.7M RAUM · 5 reps · 218-336-2506 · align.financial
Office IT & facilitiesCRMRecruiting & transitions
53
FAITH INVESTOR SERVICES added office(s): 2 -> 3 additional locations. IAPD ↗
$279.7M RAUM · 6 reps · 314-214-1404
Office IT & facilitiesCRMRecruiting & transitions
53
BLUEPRINT FINANCIAL ADVISORS added office(s): 15 -> 17 additional locations. IAPD ↗
$966.6M RAUM · 28 reps · 844-200-2568 · buildyourblueprint.com
Office IT & facilitiesCRMRecruiting & transitions
53
PACE FINANCIAL ADVISORS added office(s): 1 -> 2 additional locations. IAPD ↗
$362.1M RAUM · 9 reps · 971-727-8434 · pace-fa.com
Office IT & facilitiesCRMRecruiting & transitions
53
BESPOKE ADVISORY added office(s): 0 -> 1 additional locations. IAPD ↗
$284.0M RAUM · 9 reps · 877-777-6845 · bespokeadvisory.io
Office IT & facilitiesCRMRecruiting & transitions
53
SEVEN MILE ADVISORY LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$416.8M RAUM · 4 reps · 212-365-5562
Office IT & facilitiesCRMRecruiting & transitions
53
INNOVATIVE PRIVATE WEALTH MANAGEMENT INC. added office(s): 4 -> 6 additional locations. IAPD ↗
$367.0M RAUM · 7 reps · 914-427-8036
Office IT & facilitiesCRMRecruiting & transitions
53
SAND CREEK CAPITAL, LLC added office(s): 0 -> 5 additional locations. IAPD ↗
$471.2M RAUM · 8 reps · 208-356-9022 · sandcreekcap.com
Office IT & facilitiesCRMRecruiting & transitions
53
RELATION WEALTH MANAGEMENT, INC. added office(s): 2 -> 3 additional locations. IAPD ↗
$541.2M RAUM · 5 reps · (918) 999-9138 · relationwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
INFLECTION CAPITAL MANAGEMENT, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$365.6M RAUM · 8 reps · 415-450-6556
Office IT & facilitiesCRMRecruiting & transitions
53
ALONGSIDE, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$878.6M RAUM · 3 reps · (512) 241-7341
Office IT & facilitiesCRMRecruiting & transitions
53
XCELSIOR ADVISOR PARTNERS LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$650.7M RAUM · 13 reps · 480-866-8616 · xcelsiorpartners.com
Office IT & facilitiesCRMRecruiting & transitions
53
ASSET ONE WEALTH MANAGEMENT, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$982.5M RAUM · 9 reps · (425) 504-830 · assetone.com
Office IT & facilitiesCRMRecruiting & transitions
50
INTERCAROLINA FINANCIAL SERVICES, INC. added office(s): 8 -> 9 additional locations. IAPD ↗
$85.4M RAUM · 9 reps · 336-288-6890 · intercarolina.net
Office IT & facilitiesCRMRecruiting & transitions
50
CEF ADVISORS added office(s): 0 -> 4 additional locations. IAPD ↗
$186.3M RAUM · 2 reps · 804-288-2482 · cefdata.com
Office IT & facilitiesCRMRecruiting & transitions
50
DAVENPORT WATTS & DRAKE INVESTMENT ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$157.1M RAUM · 3 reps · 601-898-8069 · davenportwattsdrake.com
Office IT & facilitiesCRMRecruiting & transitions
50
SECURE INVESTMENT MANAGEMENT, LLC added office(s): 0 -> 4 additional locations. IAPD ↗
$42.9M RAUM · 20 reps · 520-333-4719 · secureinvestmentmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
50
KEEN CAPITAL, LTD added office(s): 3 -> 4 additional locations. IAPD ↗
$179.7M RAUM · 3 reps · 803-941-4444 · coreadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
MCKINLEY MONEY, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$163.7M RAUM · 2 reps · (715) 835-2732 · wpr.com
Office IT & facilitiesCRMRecruiting & transitions
50
CAPSTONE WEALTH PARTNERS added office(s): 1 -> 2 additional locations. IAPD ↗
$114.9M RAUM · 3 reps · (614) 754-7805 · capstonewealthpartners.com
Office IT & facilitiesCRMRecruiting & transitions
50
PLANVISION, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$0 RAUM · 5 reps · (612) 965-4286
Office IT & facilitiesCRMRecruiting & transitions
50
TOTAL WEALTH PLANNING AND MANAGEMENT, INC. added office(s): 5 -> 6 additional locations. IAPD ↗
$238.8M RAUM · 7 reps · (866) 568-0003 · buzzsprout.com
Office IT & facilitiesCRMRecruiting & transitions
50
COASTAL WEALTH ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$106.6M RAUM · 2 reps · 843-870-9568 · pinterest.com
Office IT & facilitiesCRMRecruiting & transitions
50
RAI WEALTH MANAGEMENT added office(s): 0 -> 2 additional locations. IAPD ↗
$159.7M RAUM · 4 reps · (714) 449-9696
Office IT & facilitiesCRMRecruiting & transitions
50
CRAFT WEALTH SERVICES added office(s): 5 -> 6 additional locations. IAPD ↗
$120.8M RAUM · 7 reps · 813-394-0984
Office IT & facilitiesCRMRecruiting & transitions
50
SUCCESS WEALTH MANAGEMENT LLC added office(s): 13 -> 14 additional locations. IAPD ↗
$110.5M RAUM · 13 reps · 724-934-8128 · successwealth.org
Office IT & facilitiesCRMRecruiting & transitions
50
CWM ADVISORY, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$101.0M RAUM · 3 reps · (410) 208-1091
Office IT & facilitiesCRMRecruiting & transitions
50
LEGACY CHIEF FINANCIAL OFFICE, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$105.1M RAUM · 1 reps · 832-510-9099 · legacycfo.com
Office IT & facilitiesCRMRecruiting & transitions
50
THREE SIXTY WEALTH MANAGEMENT, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$190.1M RAUM · 3 reps · (630) 219-1695
Office IT & facilitiesCRMRecruiting & transitions
50
SMARTPATH ADVISORS added office(s): 7 -> 8 additional locations. IAPD ↗
$0 RAUM · 7 reps · (678) 538-9420 · getfrank.com
Office IT & facilitiesCRMRecruiting & transitions
50
API FINANCIAL ADVISORS, LLC added office(s): 4 -> 7 additional locations. IAPD ↗
$84.7M RAUM · 13 reps · 321-888-2599
Office IT & facilitiesCRMRecruiting & transitions
50
KUHN & COMPANY INVESTMENT COUNSEL, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$182.7M RAUM · 3 reps · 630-416-7700
Office IT & facilitiesCRMRecruiting & transitions
50
GREYCLIFF WEALTH MANAGEMENT, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$83.8M RAUM · 4 reps · 201-738-2818
Office IT & facilitiesCRMRecruiting & transitions
50
TEAM WEALTH & TAX ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$233.3M RAUM · 6 reps · 951-308-6444 · g.co
Office IT & facilitiesCRMRecruiting & transitions
50
DALE Q. RICE INVESTMENT MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$156.6M RAUM · 1 reps · 360-693-7577
Office IT & facilitiesCRMRecruiting & transitions
50
CSP FINANCIAL GROUP LLC added office(s): 16 -> 17 additional locations. IAPD ↗
$119.2M RAUM · 20 reps · 480-600-9626 · cspfgllc.com
Office IT & facilitiesCRMRecruiting & transitions
50
FIDUCIARY FINANCIAL PLANNING NETWORK added office(s): 0 -> 1 additional locations. IAPD ↗
$175.7M RAUM · 5 reps · (608) 534-4444
Office IT & facilitiesCRMRecruiting & transitions
50
TSG ALPHA PARTNERS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$134.9M RAUM · 9 reps · 631-403-5364 · tsginvest.com
Office IT & facilitiesCRMRecruiting & transitions
50
PARA WEALTH ADVISORS, INC. added office(s): 1 -> 3 additional locations. IAPD ↗
$221.0M RAUM · 2 reps · 3605587058 · parawealthadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
WAYSTONE ADVISORS LLC added office(s): 2 -> 4 additional locations. IAPD ↗
$179.3M RAUM · 4 reps · (425) 484-0045 · waystoneadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
AVISE FINANCIAL added office(s): 3 -> 6 additional locations. IAPD ↗
$169.4M RAUM · 6 reps · 310-807-5778 · primerosfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
INNOVATIVE FAMILY OFFICE LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$65.8M RAUM · 8 reps · (914) 427-8036 · innovativefo.com
Office IT & facilitiesCRMRecruiting & transitions
50
ZERO DAY CAPITAL ENTERPRISES LLC added office(s): 15 -> 16 additional locations. IAPD ↗
$30.7M RAUM · 16 reps · 702 271 3265 · zerodaycapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
PARK SQUARE FINANCIAL GROUP LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$218.6M RAUM · 4 reps · 770-641-1401
Office IT & facilitiesCRMRecruiting & transitions
50
COLAB CAPITAL added office(s): 0 -> 1 additional locations. IAPD ↗
$1.4M RAUM · 1 reps · 415-317-5100 · colab-capital.com
Office IT & facilitiesCRMRecruiting & transitions
50
TUTTLE WEALTH PARTNERS LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$75.1M RAUM · 3 reps · (800) 781-1219 · tuttlewealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
YOUR IA, LLC added office(s): 0 -> 6 additional locations. IAPD ↗
$106.6M RAUM · 15 reps · 800-823-0489 · youria.com
Office IT & facilitiesCRMRecruiting & transitions
50
SAGEPOINT CAPITAL PARTNERS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · 239-307-8180
Office IT & facilitiesCRMRecruiting & transitions
50
STILLWATER PRIVATE WEALTH added office(s): 1 -> 2 additional locations. IAPD ↗
$0 RAUM · 2 reps · 6102910232 · swprivatewealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
VANDALIA WEALTH added office(s): 4 -> 5 additional locations. IAPD ↗
$0 RAUM · 14 reps · 304-915-0260
Office IT & facilitiesCRMRecruiting & transitions
45
FIDUCIARY CONSULTING GROUP added office(s): 2 -> 3 additional locations. IAPD ↗institutional
$14.73B RAUM · 33 reps · 303-333-7770
Office IT & facilitiesCRMRecruiting & transitions
45
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS added office(s): 29 -> 33 additional locations. IAPD ↗institutional
$40.25B RAUM · 153 reps · 212-850-4260
Office IT & facilitiesCRMRecruiting & transitions
40
LGT CAPITAL PARTNERS (USA) INC. added office(s): 5 -> 7 additional locations. IAPD ↗fund
$59.78B RAUM · 49 reps · 212-336-0650 · lgtcp.com
Office IT & facilitiesCRMRecruiting & transitions
40
WEALTHRAMP, INC. added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$0 RAUM · 2 reps · (877) 260-9545 · wealthramp.com
Office IT & facilitiesCRMRecruiting & transitions
38
AUGMENT ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$342.6M RAUM · 3 reps · 757-298-9839
Office IT & facilitiesCRMRecruiting & transitions
35
KELLY PARK INVESTMENT LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$241.5M RAUM · 3 reps · 212 710 4111 · kellyparkcapital.com
Office IT & facilitiesCRMRecruiting & transitions
35
NOVAWAVE CAPITAL added office(s): 4 -> 5 additional locations. IAPD ↗fund
$90.0M RAUM · 3 reps · 781-710-3455 · novawavecapital.com
Office IT & facilitiesCRMRecruiting & transitions
25
INFRARED CAPITAL PARTNERS LIMITED added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$14.30B RAUM · 53 reps · 44 0 20 7484 1800
Office IT & facilitiesCRMRecruiting & transitions
25
VITTORIA AND PARTNERS LLP added office(s): 7 -> 8 additional locations. IAPD ↗foreign
$3.65B RAUM · 2 reps · 02030393214 · vittoriapartners.com
Office IT & facilitiesCRMRecruiting & transitions
aum up — 54 Regulatory AUM up >=25% since last filing.
73
STONECREST ADVISORS, INC. reported RAUM up 157% ($155.3M -> $398.8M). IAPD ↗
$398.8M RAUM · 24 reps · 866-342-1069 · stonecrestpartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
73
SGL FINANCIAL, LLC reported RAUM up 96% ($211.8M -> $416.0M). IAPD ↗
$416.0M RAUM · 13 reps · 8474993330
Portfolio / reporting / TAMPCRMFinancial planning software
73
BESPOKE ADVISORY reported RAUM up 171% ($105.0M -> $284.0M). IAPD ↗
$284.0M RAUM · 9 reps · 877-777-6845 · bespokeadvisory.io
Portfolio / reporting / TAMPCRMFinancial planning software
73
INNOVATIVE PRIVATE WEALTH MANAGEMENT INC. reported RAUM up 210% ($118.3M -> $367.0M). IAPD ↗
$367.0M RAUM · 7 reps · 914-427-8036
Portfolio / reporting / TAMPCRMFinancial planning software
73
SAND CREEK CAPITAL, LLC reported RAUM up 105% ($229.8M -> $471.2M). IAPD ↗
$471.2M RAUM · 8 reps · 208-356-9022 · sandcreekcap.com
Portfolio / reporting / TAMPCRMFinancial planning software
73
ECHELON GROUP reported RAUM up 160% ($102.1M -> $265.2M). IAPD ↗
$265.2M RAUM · 5 reps · 208-345-9944 · echelongroup.com
Portfolio / reporting / TAMPCRMFinancial planning software
71
ONESEVEN reported RAUM up 59% ($4.85B -> $7.72B). IAPD ↗
$7.72B RAUM · 95 reps · 216-865-1700
Portfolio / reporting / TAMPCRMFinancial planning software
70
PUBLIC EQUITY PARTNERS reported RAUM up 419% ($36.0M -> $187.0M). IAPD ↗
$187.0M RAUM · 1 reps · 512-422-7559
Portfolio / reporting / TAMPCRMFinancial planning software
70
ATCAP PARTNERS, LLC reported RAUM up 211% ($62.8M -> $195.5M). IAPD ↗
$195.5M RAUM · 23 reps · 866-842-3356
Portfolio / reporting / TAMPCRMFinancial planning software
70
BLUEPRINT INVESTMENT PARTNERS LLC reported RAUM up 52% ($1.23B -> $1.87B). IAPD ↗
$1.87B RAUM · 3 reps · 336-609-7522
Portfolio / reporting / TAMPCRMFinancial planning software
70
CYGNUS CAPITAL ADVISORS, LLC reported RAUM up 128% ($100.8M -> $229.7M). IAPD ↗
$229.7M RAUM · 2 reps · 404-443-4762 · cygnuscapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
LINCOLN PARK CAPITAL LLC reported RAUM up 104% ($22.1M -> $45.1M). IAPD ↗
$45.1M RAUM · 1 reps · 866-938-6540
Portfolio / reporting / TAMPCRMFinancial planning software
70
COLUCCI WEALTH MANAGEMENT LLC reported RAUM up 223% ($25.0M -> $80.8M). IAPD ↗
$80.8M RAUM · 1 reps · 212-763-4840
Portfolio / reporting / TAMPCRMFinancial planning software
70
FIDUCIARY CAPITAL MANAGEMENT LLC reported RAUM up 2848937% ($5,000 -> $142.5M). IAPD ↗
$142.5M RAUM · 6 reps · 503 515 1313 · fiduciarycm.com
Portfolio / reporting / TAMPCRMFinancial planning software
67
TEEWINOT CAPITAL ADVISERS, L.L.C. reported RAUM up 35% ($1.19B -> $1.61B). IAPD ↗
$1.61B RAUM · 9 reps · 212-984-2360 · teewinotfunds.com
Portfolio / reporting / TAMPCRMFinancial planning software
67
WEST RIDGE ADVISORS reported RAUM up 48% ($268.1M -> $396.0M). IAPD ↗
$396.0M RAUM · 13 reps · (702) 547-9483 · westridgeadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
66
SAVANT WEALTH MANAGEMENT reported RAUM up 30% ($38.13B -> $49.57B). IAPD ↗
$49.57B RAUM · 238 reps · 815-227-0300
Portfolio / reporting / TAMPCRMFinancial planning software
66
ELEVATION POINT WEALTH PARTNERS, LLC reported RAUM up 32% ($6.30B -> $8.29B). IAPD ↗
$8.29B RAUM · 38 reps · 303-382-2880
Portfolio / reporting / TAMPCRMFinancial planning software
66
FAITH INVESTOR SERVICES reported RAUM up 42% ($196.8M -> $279.7M). IAPD ↗
$279.7M RAUM · 6 reps · 314-214-1404
Portfolio / reporting / TAMPCRMFinancial planning software
65
NEWPORT WEALTH ADVISORS, INC. reported RAUM up 36% ($193.3M -> $262.6M). IAPD ↗
$262.6M RAUM · 6 reps · (877) 692-7227 · newportwealthadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
GAME CREEK CAPITAL, LP reported RAUM up 37% ($240.5M -> $329.0M). IAPD ↗
$329.0M RAUM · 7 reps · 617-849-6589 · gamecreekcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS reported RAUM up 93% ($20.82B -> $40.25B). IAPD ↗institutional
$40.25B RAUM · 153 reps · 212-850-4260
Portfolio / reporting / TAMPCRMFinancial planning software
65
CALYDON CAPITAL, LLC reported RAUM up 25% ($2.86B -> $3.58B). IAPD ↗
$3.58B RAUM · 4 reps · 844-678-6900 · calydoncap.com
Portfolio / reporting / TAMPCRMFinancial planning software
64
GRANITE CAPITAL reported RAUM up 32% ($238.1M -> $314.6M). IAPD ↗
$314.6M RAUM · 2 reps · 510-336-9120 · granitecapitalllc.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
INVESTOLOGY INC. reported RAUM up 25% ($200.0M -> $250.0M). IAPD ↗
$250.0M RAUM · 3 reps · 703-429-1975 · investologyinc.net
Portfolio / reporting / TAMPCRMFinancial planning software
63
HACKMAN FINANCIAL GROUP reported RAUM up 27% ($336.5M -> $426.7M). IAPD ↗
$426.7M RAUM · 6 reps · (513) 891-5300 · hackmanfinancial.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
THE FAUSER GROUP, LLC reported RAUM up 26% ($250.0M -> $314.5M). IAPD ↗
$314.5M RAUM · 1 reps · 206-466-2542
Portfolio / reporting / TAMPCRMFinancial planning software
62
CAPITAL INSIGHTS GROUP OF WNY, LLC. reported RAUM up 37% ($42.7M -> $58.6M). IAPD ↗
$58.6M RAUM · 3 reps · 716-309-4109
Portfolio / reporting / TAMPCRMFinancial planning software
62
PRATTES WEALTH PARTNERS reported RAUM up 35% ($180.3M -> $243.6M). IAPD ↗
$243.6M RAUM · 3 reps · 949-271-6333 · sprivecap.com
Portfolio / reporting / TAMPCRMFinancial planning software
62
STONEBRIAR WEALTH, LLC reported RAUM up 39% ($100.0M -> $139.0M). IAPD ↗
$139.0M RAUM · 3 reps · 385-314-3300 · stonebriarwealthadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
61
WJ FINANCIAL ADVISORS, LLC reported RAUM up 31% ($154.9M -> $203.4M). IAPD ↗
$203.4M RAUM · 3 reps · 860-663-3646 · wjadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
RCN WEALTH ADVISORS, INC. reported RAUM up 28% ($58.4M -> $74.5M). IAPD ↗
$74.5M RAUM · 1 reps · 410-956-6003 · rcnwa.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
MVP MANAGER LLC reported RAUM up 145% ($1.14B -> $2.81B). IAPD ↗fund
$2.81B RAUM · 1 reps · 212-858-9900
Portfolio / reporting / TAMPCRMFinancial planning software
60
UNEST ADVISERS, LLC reported RAUM up 28% ($35.7M -> $45.6M). IAPD ↗
$45.6M RAUM · 1 reps · (818) 275-0041
Portfolio / reporting / TAMPCRMFinancial planning software
60
ADVISORENGINE PORTFOLIO SOLUTIONS INC. reported RAUM up 195% ($35.0M -> $103.4M). IAPD ↗institutional
$103.4M RAUM · 2 reps · 888-225-7216 · advisorengine-portfolio-solutions.com
Portfolio / reporting / TAMPCRMFinancial planning software
57
ANCALA PARTNERS LLC reported RAUM up 40% ($3.12B -> $4.36B). IAPD ↗institutional
$4.36B RAUM · 5 reps · 212-555-7550 · ancala.com
Portfolio / reporting / TAMPCRMFinancial planning software
55
ORRELL CAPITAL MANAGEMENT reported RAUM up 160% ($90.9M -> $236.3M). IAPD ↗fund
$236.3M RAUM · 2 reps · 925-455-0802 · ocmgoldfund.com
Portfolio / reporting / TAMPCRMFinancial planning software
55
SPARKLINE CAPITAL LP reported RAUM up 82% ($49.5M -> $90.2M). IAPD ↗fund
$90.2M RAUM · 1 reps · 212-655-9870 · sparklinecapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
54
GOLDENTREE ASSET MANAGEMENT CREDIT ADVISOR LLC reported RAUM up 34% ($237.5M -> $318.5M). IAPD ↗institutional
$318.5M RAUM · 80 reps · 212-847-3459 · goldentreefunds.com
Portfolio / reporting / TAMPCRMFinancial planning software
53
VORTUS INVESTMENT ADVISORS, LLC reported RAUM up 54% ($266.6M -> $411.7M). IAPD ↗fund
$411.7M RAUM · 5 reps · 817-945-2400 · vortus.com
Portfolio / reporting / TAMPCRMFinancial planning software
51
THIRD POINT LLC reported RAUM up 32% ($21.78B -> $28.73B). IAPD ↗fund
$28.73B RAUM · 68 reps · 212-715-3880 · thirdpointventures.com
Portfolio / reporting / TAMPCRMFinancial planning software
51
REVITATE FUND ADVISOR LLC reported RAUM up 41% ($282.8M -> $398.6M). IAPD ↗fund
$398.6M RAUM · 6 reps · 949-522-5604 · revitate.com
Portfolio / reporting / TAMPCRMFinancial planning software
50
GSB CAPITAL, LLC reported RAUM up 29% ($73.3M -> $94.8M). IAPD ↗institutional
$94.8M RAUM · 1 reps · 415-516-5164
Portfolio / reporting / TAMPCRMFinancial planning software
46
UNLIMITED reported RAUM up 32% ($132.3M -> $174.5M). IAPD ↗fund
$174.5M RAUM · 3 reps · 617-233-7280 · unlimitedfunds.com
Portfolio / reporting / TAMPCRMFinancial planning software
45
NAPIER PARK GLOBAL CAPITAL LTD reported RAUM up 163% ($3.51B -> $9.22B). IAPD ↗foreign
$9.22B RAUM · 13 reps · 011-44-207-866-4772
Portfolio / reporting / TAMPCRMFinancial planning software
45
KELLY PARK INVESTMENT LLC reported RAUM up 30% ($186.2M -> $241.5M). IAPD ↗fund
$241.5M RAUM · 3 reps · 212 710 4111 · kellyparkcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
45
ACE & COMPANY NEW YORK, INC. reported RAUM up 27% ($52.0M -> $65.8M). IAPD ↗fund
$65.8M RAUM · 4 reps · 212-220-2777 · aceandcompany.com
Portfolio / reporting / TAMPCRMFinancial planning software
44
MARBLE BAR ASSET MANAGEMENT LLP reported RAUM up 72% ($2.08B -> $3.57B). IAPD ↗foreign
$3.57B RAUM · 38 reps · 44 (0) 20 3023 8100 · marblebar.com
Portfolio / reporting / TAMPCRMFinancial planning software
40
HEITMAN INTERNATIONAL HK LIMITED reported RAUM up 63% ($264.6M -> $431.9M). IAPD ↗foreign
$431.9M RAUM · 27 reps · 852 3976 6800
Portfolio / reporting / TAMPCRMFinancial planning software
39
ZENITH AM reported RAUM up 56% ($619.2M -> $963.6M). IAPD ↗foreign
$963.6M RAUM · 8 reps · 0033180980050 · zenith-am.com
Portfolio / reporting / TAMPCRMFinancial planning software
36
SPRINGS CAPITAL (HONG KONG) LIMITED reported RAUM up 31% ($5.49B -> $7.17B). IAPD ↗foreign
$7.17B RAUM · 11 reps · 852-22591601/22591619 · springs-capital.com
Portfolio / reporting / TAMPCRMFinancial planning software
36
HOVER4PI CAPITAL MANAGEMENT LIMITED reported RAUM up 59% ($132.0M -> $209.9M). IAPD ↗foreign
$209.9M RAUM · 5 reps · +852 2639 9033
Portfolio / reporting / TAMPCRMFinancial planning software
35
FIERA CAPITAL (UK) LIMITED reported RAUM up 25% ($3.98B -> $4.99B). IAPD ↗foreign
$4.99B RAUM · 13 reps · +44 (0)20 7518 2100
Portfolio / reporting / TAMPCRMFinancial planning software
35
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED reported RAUM up 27% ($13.60B -> $17.26B). IAPD ↗foreign
$17.26B RAUM · 15 reps · 852-2537-6658 · bosera.com.hk
Portfolio / reporting / TAMPCRMFinancial planning software
deregistered — 48 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL, MN) left the SEC roster (was $22.94B RAUM, 944 reps). IAPD ↗
$22.94B RAUM · 944 reps · 800-888-4700
Recruiting & transitionsM&A & valuation
65
REGENCY INVESTMENT ADVISORS INC (FRESNO, CA) left the SEC roster (was $1.14B RAUM, 8 reps). IAPD ↗
$1.14B RAUM · 8 reps · 559-438-2640 · regencyinvests.com
Recruiting & transitionsM&A & valuation
65
COVENANT PARTNERS, LLC (NASHVILLE, TN) left the SEC roster (was $1.08B RAUM, 5 reps). IAPD ↗
$1.08B RAUM · 5 reps · 615-665-1801 · covenantpartnersllc.com
Recruiting & transitionsM&A & valuation
65
EXENCIAL WEALTH ADVISORS (OKLAHOMA CITY, OK) left the SEC roster (was $5.98B RAUM, 47 reps). IAPD ↗
$5.98B RAUM · 47 reps · 405-478-1971
Recruiting & transitionsM&A & valuation
65
ALPHA CUBED INVESTMENTS, LLC (COSTA MESA, CA) left the SEC roster (was $3.78B RAUM, 22 reps). IAPD ↗
$3.78B RAUM · 22 reps · (800) 701-2457
Recruiting & transitionsM&A & valuation
65
JOURNEY STRATEGIC WEALTH LLC (SUMMIT, NJ) left the SEC roster (was $4.64B RAUM, 21 reps). IAPD ↗
$4.64B RAUM · 21 reps · (201) 905-0070 · journeysw.com
Recruiting & transitionsM&A & valuation
63
VANTAGE WEALTH (PASADENA, CA) left the SEC roster (was $683.8M RAUM, 4 reps). IAPD ↗
$683.8M RAUM · 4 reps · 626-844-7184 · vantagewealth.com
Recruiting & transitionsM&A & valuation
63
STUART CHAUSSÉE & ASSOCIATES, INC. (location n/a) left the SEC roster (was $407.9M RAUM, 2 reps). IAPD ↗
$407.9M RAUM · 2 reps · (310) 373-3732 · preservingwealth.com
Recruiting & transitionsM&A & valuation
63
EDGE FINANCIAL ADVISORS, LLC (WHEATON, IL) left the SEC roster (was $512.5M RAUM, 8 reps). IAPD ↗
$512.5M RAUM · 8 reps · 630-221-1000
Recruiting & transitionsM&A & valuation
63
DEMPSEY LORD SMITH, LLC (ROME, GA) left the SEC roster (was $580.5M RAUM, 78 reps). IAPD ↗
$580.5M RAUM · 78 reps · 706.238.9575 · wealthretirementsolutions.net
Recruiting & transitionsM&A & valuation
63
TJT CAPITAL GROUP, LLC (STAMFORD, CT) left the SEC roster (was $294.1M RAUM, 2 reps). IAPD ↗
$294.1M RAUM · 2 reps · 203-504-8850 · tjtcapital.com
Recruiting & transitionsM&A & valuation
63
HARBOR WEALTH MANAGEMENT, LLC (GREEN BAY, WI) left the SEC roster (was $410.5M RAUM, 5 reps). IAPD ↗
$410.5M RAUM · 5 reps · 920-434-5310 · harbor-wealth.com
Recruiting & transitionsM&A & valuation
63
DIVERGENT PLANNING (BETHESDA, MD) left the SEC roster (was $423.1M RAUM, 4 reps). IAPD ↗
$423.1M RAUM · 4 reps · (240) 428-8911
Recruiting & transitionsM&A & valuation
63
PATHFINDER WEALTH CONSULTING (WILMINGTON, NC) left the SEC roster (was $865.5M RAUM, 9 reps). IAPD ↗
$865.5M RAUM · 9 reps · (910) 793-0616
Recruiting & transitionsM&A & valuation
60
WOOTTON FINANCIAL GROUP INC (CONROE, TX) left the SEC roster (was $156.0M RAUM, 1 reps). IAPD ↗
$156.0M RAUM · 1 reps · 936-449-5952 · woottonfinancial.com
Recruiting & transitionsM&A & valuation
60
MCBRIDE FINANCIAL ADVISORS, LLC (location n/a) left the SEC roster (was $170.0M RAUM, 1 reps). IAPD ↗
$170.0M RAUM · 1 reps · 206-223-0561 · mcbridefinancialadvisors.com
Recruiting & transitionsM&A & valuation
60
RESOURCE 1, INC. (NORFOLK, VA) left the SEC roster (was $132.7M RAUM, 2 reps). IAPD ↗
$132.7M RAUM · 2 reps · 757-616-0600 · r1advisor.com
Recruiting & transitionsM&A & valuation
60
COMPLETE FINANCIAL PLANNING,INC. (location n/a) left the SEC roster (was $32.0M RAUM, 1 reps). IAPD ↗
$32.0M RAUM · 1 reps · 845-638-6505 · thecompletefinancialplan.com
Recruiting & transitionsM&A & valuation
60
FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC. (location n/a) left the SEC roster (was $41.9M RAUM, 2 reps). IAPD ↗
$41.9M RAUM · 2 reps · 402-445-9333
Recruiting & transitionsM&A & valuation
60
CH DOUGLAS & GRAY WEALTH MANAGEMENT (INDIANAPOLIS, IN) left the SEC roster (was $187.2M RAUM, 6 reps). IAPD ↗
$187.2M RAUM · 6 reps · 317-843-8300
Recruiting & transitionsM&A & valuation
60
CRESCENT FINANCIAL ADVISORS (SENECA, SC) left the SEC roster (was $192.8M RAUM, 3 reps). IAPD ↗
$192.8M RAUM · 3 reps · (864) 888-2666 · crescentfa.com
Recruiting & transitionsM&A & valuation
60
TRUTORO (CONWAY, AR) left the SEC roster (was $142.0M RAUM, 8 reps). IAPD ↗
$142.0M RAUM · 8 reps · 501-730-0303 · trutoro.com
Recruiting & transitionsM&A & valuation
60
STEVARD LLC (location n/a) left the SEC roster (was $42.9M RAUM, 1 reps). IAPD ↗
$42.9M RAUM · 1 reps · 773-275-3262
Recruiting & transitionsM&A & valuation
60
LOGIX INVESTMENTS LLC (CLEVELAND, OH) left the SEC roster (was $100.4M RAUM, 3 reps). IAPD ↗
$100.4M RAUM · 3 reps · 216-861-1148 · logixinvestment.com
Recruiting & transitionsM&A & valuation
60
FIFIT LLC (location n/a) left the SEC roster (was $123.1M RAUM, 1 reps). IAPD ↗
$123.1M RAUM · 1 reps · 3469014434
Recruiting & transitionsM&A & valuation
60
REMBRANDT FINANCIAL GROUP LLC (AUSTIN, TX) left the SEC roster (was $188.6M RAUM, 3 reps). IAPD ↗
$188.6M RAUM · 3 reps · (512) 306-1314 · rembrandtfinancialgroup.com
Recruiting & transitionsM&A & valuation
60
A|C MANAGEMENT TECH LLC (MIAMI, FL) left the SEC roster (was $98,361 RAUM, 2 reps). IAPD ↗
$98,361 RAUM · 2 reps · 786-527-0038 · assetmanagertech.com
Recruiting & transitionsM&A & valuation
60
STRIVE RETIREMENT GROUP (DAYTONA BEACH, FL) left the SEC roster — its 120-day provisional registration did not convert (was $6.1M RAUM, 3 reps). IAPD ↗
$6.1M RAUM · 3 reps · 407-357-0123
Recruiting & transitionsM&A & valuation
60
STEINWOLD & CO. LLC (CHICAGO, IL) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 408-891-7991 · steinwold.com
Recruiting & transitionsM&A & valuation
60
CHARTERED WEALTH PARTNERS, LP (BEVERLY HILLS, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (323)868-6668 · charteredwealth.com
Recruiting & transitionsM&A & valuation
60
BECKETT CLARK PRIVATE WEALTH, LLC (BETHESDA, MD) left the SEC roster — its 120-day provisional registration did not convert (was $28.6M RAUM, 1 reps). IAPD ↗
$28.6M RAUM · 1 reps · 301-708-8911 · bcprivatewealth.com
Recruiting & transitionsM&A & valuation
60
OASYS WEALTH, INC. (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 617-608-8702 · oasyswealth.com
Recruiting & transitionsM&A & valuation
60
GUIDED PATH FINANCIAL (PLANO, TX) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · 972-755-9000 · guidedpathfinancial.com
Recruiting & transitionsM&A & valuation
53
CCM INVESTMENT GROUP, LLC (NORTHFIELD, MN) left the SEC roster (was $951.6M RAUM, 2 reps). IAPD ↗institutional
$951.6M RAUM · 2 reps · 507-645-8887 · ccm-etf.com
Recruiting & transitionsM&A & valuation
50
AKSIA CA LLC (SAN DIEGO, CA) left the SEC roster (was $2.08B RAUM, 28 reps). IAPD ↗fund
$2.08B RAUM · 28 reps · 858-456-6000 · aksia.com
Recruiting & transitionsM&A & valuation
50
TRUE PARTNER CAPITAL USA (CHICAGO, IL) left the SEC roster (was $145.6M RAUM, 1 reps). IAPD ↗institutional
$145.6M RAUM · 1 reps · 312-961-5596 · truepartnercapital.com
Recruiting & transitionsM&A & valuation
50
OTTER ROCK ADVISORS LP (STAMFORD, CT) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 415-830-0509 · otterrocklp.com
Recruiting & transitionsM&A & valuation
50
NAYANA INVESTMENT MANAGEMENT LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 347-675-4780
Recruiting & transitionsM&A & valuation
50
SNOWBALL ADVISORS, LLC (MIAMI BEACH, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗institutional
$0 RAUM · 3 reps · (212) 337-5215 · snowballetf.com
Recruiting & transitionsM&A & valuation
48
NITORUM CAPITAL, L.P. (NEW YORK, NY) left the SEC roster (was $852.1M RAUM, 5 reps). IAPD ↗fund
$852.1M RAUM · 5 reps · 212-356-6300
Recruiting & transitionsM&A & valuation
45
AXEL CAPITAL MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $21.7M RAUM, 1 reps). IAPD ↗fund
$21.7M RAUM · 1 reps · 212-935-7111 · axelcapital.com
Recruiting & transitionsM&A & valuation
45
SKY CREEK CAPITAL MANAGEMENT (location n/a) left the SEC roster (was $64,970 RAUM, 1 reps). IAPD ↗fund
$64,970 RAUM · 1 reps · (312)961-7577 · skycreekcap.com
Recruiting & transitionsM&A & valuation
45
SFERMION (CHICAGO, IL) left the SEC roster (was $91.6M RAUM, 4 reps). IAPD ↗fund
$91.6M RAUM · 4 reps · 408-891-7991
Recruiting & transitionsM&A & valuation
45
GRIZZLY CAPITAL MANAGEMENT LP (NEW YORK, NY) left the SEC roster (was $34.2M RAUM, 5 reps). IAPD ↗fund
$34.2M RAUM · 5 reps · 585-201-2154
Recruiting & transitionsM&A & valuation
45
ALGEBRAIC CAPITAL MANAGEMENT LLC (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · 646-819-0012
Recruiting & transitionsM&A & valuation
30
CENTRICUS ASSET MANAGEMENT LIMITED (LONDON, United Kingdom) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗foreign
$0 RAUM · 1 reps · 44 (0) 20 7139 4500 · centricus.com
Recruiting & transitionsM&A & valuation
30
EQUITY STORY USA (SYDNEY NSW, Australia) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗foreign
$0 RAUM · 2 reps · +61 488 424 441
Recruiting & transitionsM&A & valuation
30
VENICE CAPITAL LLC (SAO PAULO, Brazil) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗foreign
$0 RAUM · 2 reps · +55 (11) 96406-9906
Recruiting & transitionsM&A & valuation
disclosure added — 43 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 8 (276 -> 284). IAPD ↗
$1013.61B RAUM · 20304 reps · 314-515-2000 · bridgebuildermutualfunds.edwardjones.com
ComplianceMarketing & brand
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 4 (199 -> 203). IAPD ↗
$197.53B RAUM · 3079 reps · 314-342-2000 · krimigiswealthmanagementgroup.com
ComplianceMarketing & brand
55
AMERIPRISE FINANCIAL SERVICES, LLC's Item 11 disclosure-reporting entries rose by 1 (242 -> 243). IAPD ↗
$660.47B RAUM · 12681 reps · 612-671-3131
ComplianceMarketing & brand
55
LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 14 (352 -> 366). IAPD ↗
$819.12B RAUM · 36280 reps · 704-733-3300
ComplianceMarketing & brand
55
ROBERT W. BAIRD & CO. INCORPORATED's Item 11 disclosure-reporting entries rose by 1 (25 -> 26). IAPD ↗
$394.07B RAUM · 3170 reps · 414-765-3500
ComplianceMarketing & brand
55
WELLS FARGO ADVISORS's Item 11 disclosure-reporting entries rose by 4 (644 -> 648). IAPD ↗
$671.42B RAUM · 7957 reps · 314-875-3000 · wellsfargoadvisors.com
ComplianceMarketing & brand
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC.'s Item 11 disclosure-reporting entries rose by 3 (130 -> 133). IAPD ↗
$199.66B RAUM · 91 reps · 212-454-4500
ComplianceMarketing & brand
55
ONEDIGITAL's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗
$155.41B RAUM · 367 reps · 877-742-2021
ComplianceMarketing & brand
55
RREEF AMERICA L.L.C.'s Item 11 disclosure-reporting entries rose by 3 (130 -> 133). IAPD ↗
$34.34B RAUM · 132 reps · 312-537-7000
ComplianceMarketing & brand
55
HIGHTOWER ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗
$198.58B RAUM · 953 reps · 312-962-3800 · lyon.hightoweradvisors.com
ComplianceMarketing & brand
55
CARNEGIE INVESTMENT COUNSEL's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$7.51B RAUM · 39 reps · 216-367-4114
ComplianceMarketing & brand
55
RICHARD BERNSTEIN ADVISORS LLC's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
$3.79B RAUM · 7 reps · 212-692-4000
ComplianceMarketing & brand
55
FOCUS PARTNERS WEALTH, LLC's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗
$181.86B RAUM · 1025 reps · (314) 725-0455
ComplianceMarketing & brand
55
ALLY INVEST ADVISORS's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
$1.73B RAUM · 8 reps · 855-880-2559 · ally.com
ComplianceMarketing & brand
55
WAHED's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
$1.14B RAUM · 1 reps · 1-855-976-4747
ComplianceMarketing & brand
55
GIBBS WEALTH MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (3 -> 5). IAPD ↗
$1.06B RAUM · 59 reps · 678-694-8770 · cosaintadvisors.com
ComplianceMarketing & brand
55
KESTRA ADVISORY SERVICES, LLC's Item 11 disclosure-reporting entries rose by 2 (22 -> 24). IAPD ↗
$79.80B RAUM · 1359 reps · 8445537872
ComplianceMarketing & brand
55
CALYDON CAPITAL, LLC's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
$3.58B RAUM · 4 reps · 844-678-6900 · calydoncap.com
ComplianceMarketing & brand
55
EASTERLY INVESTMENT PARTNERS LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$2.83B RAUM · 27 reps · 617-231-4300
ComplianceMarketing & brand
55
MORAN WEALTH MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$5.10B RAUM · 37 reps · 239-920-4440
ComplianceMarketing & brand
55
CONCURRENT INVESTMENT ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$15.73B RAUM · 161 reps · 813-709-8800 · lccassoc.com
ComplianceMarketing & brand
55
UNITED ADVISOR GROUP's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
$1.43B RAUM · 51 reps · 888-242-4912 · mvfp.net
ComplianceMarketing & brand
53
PVG ASSET MANAGEMENT CORP's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$624.9M RAUM · 6 reps · 303-526-0548 · facebook.com\pvgasset
ComplianceMarketing & brand
53
PHYSICIAN FAMILY FINANCIAL ADVISORS INC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$284.9M RAUM · 3 reps · 541-463-0899
ComplianceMarketing & brand
50
IBN FINANCIAL SERVICES, INC's Item 11 disclosure-reporting entries rose by 2 (9 -> 11). IAPD ↗
$87.7M RAUM · 15 reps · 315-652-4426 · ibrokernet.com
ComplianceMarketing & brand
50
SAUBERAN & COMPANY, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$5.8M RAUM · 1 reps · 716-439-1265 · sauberanandcompany.com
ComplianceMarketing & brand
50
LAIDLAW WEALTH MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$108.1M RAUM · 5 reps · 212-953-4910 · laidlawwealthmanagement.com
ComplianceMarketing & brand
50
ZERO DAY CAPITAL ENTERPRISES LLC's Item 11 disclosure-reporting entries rose by 3 (4 -> 7). IAPD ↗
$30.7M RAUM · 16 reps · 702 271 3265 · zerodaycapital.com
ComplianceMarketing & brand
45
DBX ADVISORS LLC's Item 11 disclosure-reporting entries rose by 3 (130 -> 133). IAPD ↗institutional
$28.99B RAUM · 10 reps · 212-454-4500
ComplianceMarketing & brand
45
INNOVATOR CAPITAL MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 28 (0 -> 28). IAPD ↗institutional
$30.24B RAUM · 6 reps · 800-208-5212
ComplianceMarketing & brand
40
DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 2 (708 -> 710). IAPD ↗institutional
$0 RAUM · 134 reps · 212-250-2500 · db.com
ComplianceMarketing & brand
40
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗fund
$351.32B RAUM · 102 reps · 617-919-0000 · arrowstreetcapital.com
ComplianceMarketing & brand
40
BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 1 (143 -> 144). IAPD ↗institutional
$0 RAUM · 317 reps · 646-743-2734 · bankofamerica.com
ComplianceMarketing & brand
40
AXXES ADVISORS LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
$100,000 RAUM · 1 reps · 800-684-1006
ComplianceMarketing & brand
40
AXXES ADVISORS I LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
$6.8M RAUM · 1 reps · 800-684-1006 · axxescapital.com
ComplianceMarketing & brand
38
JGB CAPITAL MANAGEMENT L.P.'s Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$421.0M RAUM · 8 reps · 212-355-5771 · jgbcap.com
ComplianceMarketing & brand
35
PHORCYS CAPITAL PARTNERS, LLC's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗fund
$191.5M RAUM · 4 reps · 770-777-9373 · phorcyscp.com
ComplianceMarketing & brand
25
DWS INTERNATIONAL GMBH's Item 11 disclosure-reporting entries rose by 3 (130 -> 133). IAPD ↗foreign
$228.87B RAUM · 80 reps · 49 69 910 12371
ComplianceMarketing & brand
25
DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 3 (129 -> 132). IAPD ↗foreign
$1.90B RAUM · 8 reps · 011 612 8258 1234 · dws.com
ComplianceMarketing & brand
25
DWS ALTERNATIVES GLOBAL LIMITED's Item 11 disclosure-reporting entries rose by 3 (146 -> 149). IAPD ↗foreign
$24.51B RAUM · 89 reps · 44 207 547 5344
ComplianceMarketing & brand
25
DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 3 (132 -> 135). IAPD ↗foreign
$5.10B RAUM · 17 reps · 852-2203-8888 · etf.dws.com
ComplianceMarketing & brand
25
SAMSUNG ASSET MANAGEMENT COMPANY, LTD.'s Item 11 disclosure-reporting entries rose by 1 (22 -> 23). IAPD ↗foreign
$300.82B RAUM · 365 reps · 82-2-3774-7554 · mpost.naver.com
ComplianceMarketing & brand
25
PETERCAM INSTITUTIONAL ASSET MANAGEMENT's Item 11 disclosure-reporting entries rose by 4 (19 -> 23). IAPD ↗foreign
$16.87B RAUM · 85 reps · 00 32 2 287 95 15 · degroofpetercam.com
ComplianceMarketing & brand
pending approved — 42 120-day provisional registration became a full approval.
75
HOBE MOUNTAIN CAPITAL MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$1.35B RAUM · 3 reps · 728-300-6754
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ARSENAL CAPITAL ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$267.1M RAUM · 2 reps · 610-564-9134 · arsenalcapitaladvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
AHAKISTA CAPITAL LLC's provisional registration is now fully approved. IAPD ↗
$345.0M RAUM · 2 reps · 212-698-0706
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
STOREN FINANCIAL's provisional registration is now fully approved. IAPD ↗
$438.3M RAUM · 6 reps · 317-733-1000 · storenfinancial.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
STONEBRIDGE FINANCIAL GROUP's provisional registration is now fully approved. IAPD ↗
$896.0M RAUM · 12 reps · 4154614961 · sb-fg.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
REVEL WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$258.9M RAUM · 2 reps · 316-518-3615 · revelwm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CLOUT CAPITAL's provisional registration is now fully approved. IAPD ↗
$105.0M RAUM · 1 reps · 561-931-8430 · cloutcapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
LINCOLN PARK CAPITAL LLC's provisional registration is now fully approved. IAPD ↗
$45.1M RAUM · 1 reps · 866-938-6540
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
IGW ADVISORY INVESTMENT MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$145.1M RAUM · 4 reps · 646-717-4509 · igwadvisory.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
INGOT FINANCE's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 702 326 5885
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SENSTOMI's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 917-771-7197 · senstomi.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SIMCO FINANCIAL's provisional registration is now fully approved. IAPD ↗
$26.0M RAUM · 1 reps · (585) 750-2818
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
RISE NORTH CAPITAL INVESTMENT ADVISORS's provisional registration is now fully approved. IAPD ↗
$50.6M RAUM · 13 reps · (781) 519-6969
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SAUL WEALTH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$201.5M RAUM · 1 reps · 212-457-1990 · saulwealthadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
LEO WEALTH MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$33.0M RAUM · 1 reps · 201-951-6828 · leowealthmgmt.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SAVILE CAPITAL MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 787-763-5868
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ASK DOLLY's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 3 reps · 720-432-6841 · askdolly.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
COLAB CAPITAL's provisional registration is now fully approved. IAPD ↗
$1.4M RAUM · 1 reps · 415-317-5100 · colab-capital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MANHATTAN WEALTH MANAGEMENT GROUP's provisional registration is now fully approved. IAPD ↗
$40.0M RAUM · 1 reps · 212-810-6961
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
R2 WEALTH MANAGEMENT PARTNERS's provisional registration is now fully approved. IAPD ↗
$236.0M RAUM · 3 reps · 402-489-9375 · r2wealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
YOUR IA, LLC's provisional registration is now fully approved. IAPD ↗
$106.6M RAUM · 15 reps · 800-823-0489 · youria.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
EMBERVEST's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 322-536-2326 · embervest.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MARY & PIP's provisional registration is now fully approved. IAPD ↗
$544 RAUM · 1 reps · 212-281-9546
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BRIGHT ADVISORS's provisional registration is now fully approved. IAPD ↗
$128.2M RAUM · 1 reps · 253-970-4935 · brightadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PULLIAM FAMILY OFFICE, LLC's provisional registration is now fully approved. IAPD ↗
$141.7M RAUM · 1 reps · 972-947-9400 · pulliamfamilyoffice.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
IMPERITY WEALTH ALLIANCE LLC's provisional registration is now fully approved. IAPD ↗
$139.7M RAUM · 10 reps · 800-203-2702 · huntfinancialsolutions.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MFT WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$136.3M RAUM · 1 reps · 617-800-7922 · mftwealth.net
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SPENDVEST's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 775-636-2906
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TECTONIC CAPITAL ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$154.4M RAUM · 2 reps · (713) 250-4200
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
L&S PRIVATE WEALTH, LLC's provisional registration is now fully approved. IAPD ↗
$108.5M RAUM · 1 reps · 405-614-3106
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PIEDMONT WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$156.1M RAUM · 2 reps · (703) 518 - 8361 · piedmontwm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
MRE MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗institutional
$458.0M RAUM · 6 reps · 301-708-9294 · mre-capital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
EMERY PARTNERS LLC's provisional registration is now fully approved. IAPD ↗institutional
$78.4M RAUM · 2 reps · 617-762-0090 · emerypartnersllc.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
CORGI STRATEGIES, LLC's provisional registration is now fully approved. IAPD ↗institutional
$10.0M RAUM · 1 reps · 855-552-6744 · founderledfunds.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
ALKA PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗institutional
$2 RAUM · 1 reps · 650-704-9297
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
HURRICANE ADVISOR SOLUTIONS's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 1 reps · 212-702-7101 · hurricaneadvisorsolutions.io
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
VAULT FIDUCIARY LLC's provisional registration is now fully approved. IAPD ↗institutional
$92.5M RAUM · 1 reps · 212-540-5000
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
ETERNA GROWTH PARTNERS's provisional registration is now fully approved. IAPD ↗fund
$3.55B RAUM · 34 reps · 508-776-0094 · eternagrowth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
WILLIS ASSET FINANCE MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗fund
$349.0M RAUM · 15 reps · (561) 349-9989
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
NINTH AVENUE CAPITAL, LP's provisional registration is now fully approved. IAPD ↗fund
$536.0M RAUM · 7 reps · (816) 427-8758 · ninthavenuecapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
501 NORTH, LLC's provisional registration is now fully approved. IAPD ↗fund
$329.4M RAUM · 6 reps · (212) 887-7777 · 501northgrowthequity.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
SHOTEN CAPITAL LP's provisional registration is now fully approved. IAPD ↗fund
$622.4M RAUM · 5 reps · 512-265-3800 · shotencapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
headcount up — 37 Advisory representative count grew materially (>=20% or >=5 reps).
85
WEALTHSPIRE ADVISORS grew from 195 to 220 advisory reps. IAPD ↗
$34.32B RAUM · 220 reps · (212) 973-1200
CRMRecruiting & transitionsComplianceFinancial planning software
85
ONEDIGITAL grew from 333 to 367 advisory reps. IAPD ↗
$155.41B RAUM · 367 reps · 877-742-2021
CRMRecruiting & transitionsComplianceFinancial planning software
80
LYNX INVESTMENT ADVISORY, LLC grew from 0 to 10 advisory reps. IAPD ↗
$1.11B RAUM · 10 reps · 202-833-3700
CRMRecruiting & transitionsComplianceFinancial planning software
77
VESTWELL ADVISORS LLC grew from 23 to 30 advisory reps. IAPD ↗
$1.03B RAUM · 30 reps · 917-979-5358
CRMRecruiting & transitionsComplianceFinancial planning software
76
SANCTUARY ADVISORS, LLC grew from 380 to 386 advisory reps. IAPD ↗
$34.88B RAUM · 386 reps · 317-975-7729
CRMRecruiting & transitionsComplianceFinancial planning software
75
PLANCORP, LLC grew from 43 to 48 advisory reps. IAPD ↗
$9.94B RAUM · 48 reps · (636) 532-7824
CRMRecruiting & transitionsComplianceFinancial planning software
75
TRIBUTARY CAPITAL MANAGEMENT, LLC grew from 8 to 13 advisory reps. IAPD ↗
$1.90B RAUM · 13 reps · 877-458-0021 · tributarycapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS grew from 75 to 153 advisory reps. IAPD ↗institutional
$40.25B RAUM · 153 reps · 212-850-4260
CRMRecruiting & transitionsComplianceFinancial planning software
75
THEPARTNERS WEALTH MANAGEMENT grew from 31 to 36 advisory reps. IAPD ↗
$1.18B RAUM · 36 reps · 800-324-3010 · wilkinswealthmanagement.com
CRMRecruiting & transitionsComplianceFinancial planning software
74
LINDEN THOMAS ADVISORY SERVICES, LLC grew from 4 to 8 advisory reps. IAPD ↗
$1.77B RAUM · 8 reps · (704) 554-8150 · lindenthomas.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
SECURE INVESTMENT MANAGEMENT, LLC grew from 12 to 20 advisory reps. IAPD ↗
$42.9M RAUM · 20 reps · 520-333-4719 · secureinvestmentmanagement.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
ARQ WEALTH ADVISORS, LLC grew from 6 to 9 advisory reps. IAPD ↗
$1.11B RAUM · 9 reps · 480-214-9572 · arqwealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
BESPOKE ADVISORY grew from 4 to 9 advisory reps. IAPD ↗
$284.0M RAUM · 9 reps · 877-777-6845 · bespokeadvisory.io
CRMRecruiting & transitionsComplianceFinancial planning software
72
KIMELMAN & BAIRD, LLC grew from 4 to 6 advisory reps. IAPD ↗
$1.48B RAUM · 6 reps · 212-686-0021
CRMRecruiting & transitionsComplianceFinancial planning software
72
MARK ASSET MANAGEMENT LP grew from 5 to 7 advisory reps. IAPD ↗
$1.14B RAUM · 7 reps · 212-372-2500 · markasset.com
CRMRecruiting & transitionsComplianceFinancial planning software
72
JOHN MOORE & ASSOCIATES INC grew from 7 to 9 advisory reps. IAPD ↗
$1.03B RAUM · 9 reps · 505-881-5100 · johnmoore.com
CRMRecruiting & transitionsComplianceFinancial planning software
72
STONECREST ADVISORS, INC. grew from 20 to 24 advisory reps. IAPD ↗
$398.8M RAUM · 24 reps · 866-342-1069 · stonecrestpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
72
PENSION & WEALTH MANAGEMENT ADVISORS grew from 5 to 9 advisory reps. IAPD ↗
$529.8M RAUM · 9 reps · 781-810-0800
CRMRecruiting & transitionsComplianceFinancial planning software
71
FLOWER CITY CAPITAL LLC grew from 3 to 6 advisory reps. IAPD ↗
$444.6M RAUM · 6 reps · 585-236-8501
CRMRecruiting & transitionsComplianceFinancial planning software
71
WEST RIDGE ADVISORS grew from 10 to 13 advisory reps. IAPD ↗
$396.0M RAUM · 13 reps · (702) 547-9483 · westridgeadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
SAND CREEK CAPITAL, LLC grew from 5 to 8 advisory reps. IAPD ↗
$471.2M RAUM · 8 reps · 208-356-9022 · sandcreekcap.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
RYAN INVESTMENTS grew from 2 to 4 advisory reps. IAPD ↗
$272.0M RAUM · 4 reps · 970-429-1100 · ryaninvest.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
FAITH INVESTOR SERVICES grew from 4 to 6 advisory reps. IAPD ↗
$279.7M RAUM · 6 reps · 314-214-1404
CRMRecruiting & transitionsComplianceFinancial planning software
70
FIDUCIARY CAPITAL MANAGEMENT LLC grew from 1 to 6 advisory reps. IAPD ↗
$142.5M RAUM · 6 reps · 503 515 1313 · fiduciarycm.com
CRMRecruiting & transitionsComplianceFinancial planning software
69
IBN ADVISORY SERVICES, INC. grew from 4 to 8 advisory reps. IAPD ↗
$69.8M RAUM · 8 reps · 315-652-4426
CRMRecruiting & transitionsComplianceFinancial planning software
68
MADISON GLOBAL ADVISORS LLC grew from 5 to 8 advisory reps. IAPD ↗
$71.4M RAUM · 8 reps · 631-240-4155
CRMRecruiting & transitionsComplianceFinancial planning software
67
APFORIA grew from 9 to 11 advisory reps. IAPD ↗
$101.9M RAUM · 11 reps · (833) 780-2487 · apforia.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
OLDFIELD WEALTH PARTNERS grew from 1 to 3 advisory reps. IAPD ↗
$110.0M RAUM · 3 reps · 207-573-3001 · oldfieldwealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
IGW ADVISORY INVESTMENT MANAGEMENT LLC grew from 2 to 4 advisory reps. IAPD ↗
$145.1M RAUM · 4 reps · 646-717-4509 · igwadvisory.com
CRMRecruiting & transitionsComplianceFinancial planning software
61
OLYMPUS CAPITAL HOLDINGS ASIA LLC grew from 15 to 23 advisory reps. IAPD ↗fund
$852.1M RAUM · 23 reps · 201-888-1703 · olympuscap.com
CRMRecruiting & transitionsComplianceFinancial planning software
56
GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC grew from 2 to 8 advisory reps. IAPD ↗fund
$155.4M RAUM · 8 reps · 203-202-8606 · guggenheiminvestments.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
AUGMENT ADVISORS, LLC grew from 1 to 3 advisory reps. IAPD ↗fund
$342.6M RAUM · 3 reps · 757-298-9839
CRMRecruiting & transitionsComplianceFinancial planning software
55
WASATCH HEALTH PARTNERS grew from 5 to 7 advisory reps. IAPD ↗fund
$495.2M RAUM · 7 reps · (385) 501-5979 · wasatch-health.com
CRMRecruiting & transitionsComplianceFinancial planning software
52
MARBLE BAR ASSET MANAGEMENT LLP grew from 26 to 38 advisory reps. IAPD ↗foreign
$3.57B RAUM · 38 reps · 44 (0) 20 3023 8100 · marblebar.com
CRMRecruiting & transitionsComplianceFinancial planning software
44
SPRINGS CAPITAL (HONG KONG) LIMITED grew from 7 to 11 advisory reps. IAPD ↗foreign
$7.17B RAUM · 11 reps · 852-22591601/22591619 · springs-capital.com
CRMRecruiting & transitionsComplianceFinancial planning software
42
SCHRODER WEALTH MANAGEMENT (US) LIMITED grew from 3 to 5 advisory reps. IAPD ↗foreign
$1.40B RAUM · 5 reps · 00 44 (0)20 7658 6000 · schroders.com
CRMRecruiting & transitionsComplianceFinancial planning software
37
LEGACY PRIVATE CLIENT SERVICES grew from 1 to 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · 514-782-5966
CRMRecruiting & transitionsComplianceFinancial planning software
website changed — 32 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
BPS WEALTH ADVISORS, INC. changed its website from beardpension.com to bpswealthgroup.com. IAPD ↗
$1.08B RAUM · 5 reps · 330-758-0575 · bpswealthgroup.com
Marketing & brand
30
PETTINGA FINANCIAL ADVISORS, LLC changed its website from focusfinancialpartners.com to pettinga.com. IAPD ↗
$1.28B RAUM · 7 reps · 812-436-4000 · pettinga.com
Marketing & brand
30
CGN ADVISORS, LLC changed its website from stowersfinancialplanning.com to cherylober.com. IAPD ↗
$1.60B RAUM · 41 reps · 910-333-6659 · cherylober.com
Marketing & brand
30
OCCIDENTAL ASSET MANAGEMENT, LLC changed its website from yourmentalwealthadvisors.com to occamllc.net. IAPD ↗
$1.07B RAUM · 9 reps · 650-344-1600 · occamllc.net
Marketing & brand
30
INVST, LLC changed its website from 401khack.org to lloydeasters.com. IAPD ↗
$1.57B RAUM · 39 reps · 317-202-1891 · lloydeasters.com
Marketing & brand
30
CALYDON CAPITAL, LLC changed its website from principalstreet.com to calydoncap.com. IAPD ↗
$3.58B RAUM · 4 reps · 844-678-6900 · calydoncap.com
Marketing & brand
30
ASCENTIS INDEPENDENT ADVISORS, LLC changed its website from marshallwealthadvisors.com to ascentisadvisors.com. IAPD ↗
$2.09B RAUM · 39 reps · 866-273-1563 · ascentisadvisors.com
Marketing & brand
28
CWC ADVISORS, LLC changed its website from cwcadvisors.com to cwcgroup.com. IAPD ↗
$445.3M RAUM · 8 reps · 503-968-0950 · cwcgroup.com
Marketing & brand
28
GENERATIONAL WEALTH ADVISORS changed its website from generationalwealthadv.com to talisadvisors.com. IAPD ↗
$568.8M RAUM · 11 reps · 972-378-1795 · talisadvisors.com
Marketing & brand
28
FINANCIAL INSTITUTION SERVICES, LLC changed its website from adviceman.net to advicefam.com. IAPD ↗
$258.7M RAUM · 2 reps · 248-661-8190 · advicefam.com
Marketing & brand
28
CURTIS ADVISORY GROUP, LLC changed its website from curtisadvisory.com to curtisadvisorygroup.com. IAPD ↗
$573.7M RAUM · 3 reps · 805-963-6181 · curtisadvisorygroup.com
Marketing & brand
28
MBM WEALTH CONSULTANTS, LLC changed its website from mbmwealth.com to mbmadvisorservices.com. IAPD ↗
$476.7M RAUM · 7 reps · (636) 274-6262 · mbmadvisorservices.com
Marketing & brand
28
CORDGRASS CAPITAL ADVISORS, LLC changed its website from oakharborwealthpartners.com to cordgrasscapital.com. IAPD ↗
$729.9M RAUM · 4 reps · 919-800-0705 · cordgrasscapital.com
Marketing & brand
28
BLUEPRINT FINANCIAL ADVISORS changed its website from fulcrumwealth.com to buildyourblueprint.com. IAPD ↗
$966.6M RAUM · 28 reps · 844-200-2568 · buildyourblueprint.com
Marketing & brand
28
ONEASCENT FAMILY OFFICES changed its website from sovereignfamilyoffice.co to oneascent.com. IAPD ↗
$544.5M RAUM · 10 reps · (205) 313-9142 · oneascent.com
Marketing & brand
28
XCELSIOR ADVISOR PARTNERS LLC changed its website from bvprivatewealth.com to xcelsiorpartners.com. IAPD ↗
$650.7M RAUM · 13 reps · 480-866-8616 · xcelsiorpartners.com
Marketing & brand
28
STONEBRIDGE FINANCIAL GROUP changed its website from stonebridgefinancialgrp.com to sb-fg.com. IAPD ↗
$896.0M RAUM · 12 reps · 4154614961 · sb-fg.com
Marketing & brand
25
NEWPORT INVESTMENT ADVISORS INC changed its website from newport.investments to newport.us. IAPD ↗
$198.0M RAUM · 2 reps · 216-514-5151 · newport.us
Marketing & brand
25
PROFESSIONAL FINANCIAL changed its website from paulbyronhill.com to professionalfinancial.com. IAPD ↗
$225.8M RAUM · 3 reps · 585-218-9080 · professionalfinancial.com
Marketing & brand
25
PALISADE WEALTH MANAGEMENT changed its website from jacobsequity.com to palisadeadvisor.com. IAPD ↗
$133.2M RAUM · 3 reps · 650-387-3808 · palisadeadvisor.com
Marketing & brand
25
ASTRA VENTURES changed its website from astravc.com to astraalts.com. IAPD ↗
$179.6M RAUM · 2 reps · 901-230-5576 · astraalts.com
Marketing & brand
25
ASCENTIS ASSET MANAGEMENT, LLC changed its website from ascentisasset.com to am.ascentis.co. IAPD ↗
$0 RAUM · 6 reps · 866-273-1563 · am.ascentis.co
Marketing & brand
25
SPHINX INVESTMENTS LLC changed its website from sphinx.com to sphinxinvests.com. IAPD ↗
$46.1M RAUM · 2 reps · 833-247-7833 · sphinxinvests.com
Marketing & brand
25
EXPRESSIVE WEALTH LLC changed its website from expressivewealth.com to nextdoor.com. IAPD ↗
$165.2M RAUM · 9 reps · 847-595-8812 · nextdoor.com
Marketing & brand
25
BREAKTHRU ADVISORY SERVICES, LLC changed its website from breakthruadvisoryservices.com to breakthrufamily.com. IAPD ↗
$125.7M RAUM · 2 reps · 4148375337 · breakthrufamily.com
Marketing & brand
18
FORMULA GROWTH MANAGEMENT CORP changed its website from formulagrowth.ca to formulagrowth.com. IAPD ↗institutional
$343.5M RAUM · 2 reps · 917-265-8286 · formulagrowth.com
Marketing & brand
15
ALAIA CAPITAL, LLC changed its website from mplusfunds.com to icapital.com.. IAPD ↗institutional
$0 RAUM · 3 reps · 212-994-7400 · icapital.com.
Marketing & brand
15
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC changed its website from douyin.com to mp.weixin.qq.com. IAPD ↗fund
$66.93B RAUM · 35 reps · 302 797 2000 · mp.weixin.qq.com
Marketing & brand
15
GALAXY DIGITAL CAPITAL MANAGEMENT LP changed its website from am.galaxy.com to interactive.galaxy.com. IAPD ↗fund
$1.72B RAUM · 22 reps · 212-499-0081 · interactive.galaxy.com
Marketing & brand
15
PRELUDE INVESTMENT SERVICES changed its website from prelude.ai to portfoliobridge.co. IAPD ↗institutional
$0 RAUM · 4 reps · 707-394-8355 · portfoliobridge.co
Marketing & brand
13
FIRST SENTIER INVESTORS (US) LLC changed its website from firstsentierfunds.com to firstsentiergroup.com. IAPD ↗fund
$968.6M RAUM · 17 reps · 212-497-9980 · firstsentiergroup.com
Marketing & brand
13
WASATCH HEALTH PARTNERS changed its website from medventurehealth.com to wasatch-health.com. IAPD ↗fund
$495.2M RAUM · 7 reps · (385) 501-5979 · wasatch-health.com
Marketing & brand
headcount down — 26 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
TRUWEALTH ADVISORS, LLC shrank from 18 to 14 advisory reps. IAPD ↗
$3.05B RAUM · 14 reps · 504-779-7799
Recruiting & transitionsM&A & valuation
53
BATES FINANCIAL ADVISORS, INC. shrank from 7 to 5 advisory reps. IAPD ↗
$439.2M RAUM · 5 reps · 815-332-4020 · batesfinancialadvisors.com
Recruiting & transitionsM&A & valuation
53
MODERN CAPITAL ADVISORS, LLC shrank from 24 to 18 advisory reps. IAPD ↗
$254.8M RAUM · 18 reps · 800-440-0442 · moderncap.com
Recruiting & transitionsM&A & valuation
53
ADAMS WEALTH ADVISORS shrank from 16 to 11 advisory reps. IAPD ↗
$565.8M RAUM · 11 reps · (435)752-1702
Recruiting & transitionsM&A & valuation
53
CAPASSO PLANNING PARTNERS LLC shrank from 7 to 4 advisory reps. IAPD ↗
$274.2M RAUM · 4 reps · 843-608-8487
Recruiting & transitionsM&A & valuation
53
CACHETECH shrank from 6 to 2 advisory reps. IAPD ↗
$547.4M RAUM · 2 reps · 435-752-1702
Recruiting & transitionsM&A & valuation
50
WAYPOINT WEALTH MANAGEMENT shrank from 3 to 1 advisory reps. IAPD ↗
$242.5M RAUM · 1 reps · 410-561-3994 · waypointwm.com
Recruiting & transitionsM&A & valuation
50
KG CAPITAL MANAGEMENT, LLC shrank from 8 to 3 advisory reps. IAPD ↗
$199.5M RAUM · 3 reps · 225-245-5153 · kgcapitalmanagement.com
Recruiting & transitionsM&A & valuation
50
NEWDAY shrank from 3 to 1 advisory reps. IAPD ↗
$6.5M RAUM · 1 reps · 415-935-0550
Recruiting & transitionsM&A & valuation
50
PARADIGM WEALTH MANAGEMENT shrank from 5 to 2 advisory reps. IAPD ↗
$116.3M RAUM · 2 reps · 531-333-2728
Recruiting & transitionsM&A & valuation
50
GANIM PRIVATE WEALTH shrank from 6 to 4 advisory reps. IAPD ↗
$238.6M RAUM · 4 reps · (203) 335-0851 · ganimfinancial.com
Recruiting & transitionsM&A & valuation
50
ARIA WEALTH MANAGEMENT shrank from 8 to 6 advisory reps. IAPD ↗
$130.0M RAUM · 6 reps · 669-222-1155 · ariawm.com
Recruiting & transitionsM&A & valuation
50
VITA PLANNING GROUP LLC shrank from 5 to 3 advisory reps. IAPD ↗
$83.7M RAUM · 3 reps · 650-567-9300 · vita401k.com
Recruiting & transitionsM&A & valuation
50
SPHINX INVESTMENTS LLC shrank from 4 to 2 advisory reps. IAPD ↗
$46.1M RAUM · 2 reps · 833-247-7833 · sphinxinvests.com
Recruiting & transitionsM&A & valuation
50
WILLOW PARTNER ADVISORS, LLC shrank from 10 to 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 617-279-3685 · my.trustwillow.com
Recruiting & transitionsM&A & valuation
50
ENCORE WEALTH ADVISORS shrank from 3 to 1 advisory reps. IAPD ↗
$121.7M RAUM · 1 reps · 320-288-4084
Recruiting & transitionsM&A & valuation
50
IMPERITY WEALTH ALLIANCE LLC shrank from 14 to 10 advisory reps. IAPD ↗
$139.7M RAUM · 10 reps · 800-203-2702 · huntfinancialsolutions.com
Recruiting & transitionsM&A & valuation
45
PENN MUTUAL ASSET MANAGEMENT, LLC shrank from 35 to 30 advisory reps. IAPD ↗institutional
$42.29B RAUM · 30 reps · 215-956-8114 · pennmutualam.com
Recruiting & transitionsM&A & valuation
43
TRILINC ADVISORS, LLC shrank from 11 to 8 advisory reps. IAPD ↗institutional
$282.8M RAUM · 8 reps · 310-997-0580 · trilincglobal.com
Recruiting & transitionsM&A & valuation
40
ORIGAMI CAPITAL PARTNERS, LLC shrank from 13 to 10 advisory reps. IAPD ↗fund
$1.48B RAUM · 10 reps · 312-263-7800
Recruiting & transitionsM&A & valuation
40
SAPPHIRE VENTURES, LLC shrank from 30 to 22 advisory reps. IAPD ↗fund
$10.44B RAUM · 22 reps · 650-382-1110
Recruiting & transitionsM&A & valuation
40
AXXES ADVISORS LLC shrank from 3 to 1 advisory reps. IAPD ↗institutional
$100,000 RAUM · 1 reps · 800-684-1006
Recruiting & transitionsM&A & valuation
40
AXXES ADVISORS I LLC shrank from 3 to 1 advisory reps. IAPD ↗institutional
$6.8M RAUM · 1 reps · 800-684-1006 · axxescapital.com
Recruiting & transitionsM&A & valuation
35
TRILINC GLOBAL ADVISORS, LLC shrank from 11 to 8 advisory reps. IAPD ↗fund
$181.7M RAUM · 8 reps · 310-997-0580
Recruiting & transitionsM&A & valuation
35
EPILOG PARTNERS, LP. shrank from 4 to 2 advisory reps. IAPD ↗fund
$181.6M RAUM · 2 reps · 203-263-1454
Recruiting & transitionsM&A & valuation
35
NOVAWAVE CAPITAL shrank from 5 to 3 advisory reps. IAPD ↗fund
$90.0M RAUM · 3 reps · 781-710-3455 · novawavecapital.com
Recruiting & transitionsM&A & valuation
aum down — 26 Regulatory AUM down >=25% since last filing.
48
BROOKLINE INVESTMENTS, INC. reported RAUM down 30% ($402.6M -> $281.5M). IAPD ↗
$281.5M RAUM · 2 reps · 205-263-2332
M&A & valuationRecruiting & transitions
45
INTERCAROLINA FINANCIAL SERVICES, INC. reported RAUM down 35% ($130.8M -> $85.4M). IAPD ↗
$85.4M RAUM · 9 reps · 336-288-6890 · intercarolina.net
M&A & valuationRecruiting & transitions
45
IBN FINANCIAL SERVICES, INC reported RAUM down 51% ($180.5M -> $87.7M). IAPD ↗
$87.7M RAUM · 15 reps · 315-652-4426 · ibrokernet.com
M&A & valuationRecruiting & transitions
45
NEWDAY reported RAUM down 96% ($172.4M -> $6.5M). IAPD ↗
$6.5M RAUM · 1 reps · 415-935-0550
M&A & valuationRecruiting & transitions
45
LEGACY CORNERSTONE WEALTH LLC reported RAUM down 79% ($106.1M -> $22.4M). IAPD ↗
$22.4M RAUM · 1 reps · 702-767-9891
M&A & valuationRecruiting & transitions
45
PARADIGM WEALTH MANAGEMENT reported RAUM down 72% ($421.2M -> $116.3M). IAPD ↗
$116.3M RAUM · 2 reps · 531-333-2728
M&A & valuationRecruiting & transitions
45
FC WEALTH SOLUTIONS LLC reported RAUM down 49% ($199.4M -> $101.0M). IAPD ↗
$101.0M RAUM · 4 reps · (614) 212-1015 · fcwealthsolutions.com
M&A & valuationRecruiting & transitions
45
IBN ADVISORY SERVICES, INC. reported RAUM down 62% ($184.9M -> $69.8M). IAPD ↗
$69.8M RAUM · 8 reps · 315-652-4426
M&A & valuationRecruiting & transitions
45
EVESTIA FINANCIAL reported RAUM down 37% ($52.6M -> $33.3M). IAPD ↗
$33.3M RAUM · 2 reps · 801-960-3228 · evestia.com
M&A & valuationRecruiting & transitions
45
SPHINX INVESTMENTS LLC reported RAUM down 29% ($64.7M -> $46.1M). IAPD ↗
$46.1M RAUM · 2 reps · 833-247-7833 · sphinxinvests.com
M&A & valuationRecruiting & transitions
45
NAPLES WEALTH PLANNING reported RAUM down 36% ($356.3M -> $226.9M). IAPD ↗
$226.9M RAUM · 10 reps · 239-330-4183 · napleswealthplanning.com
M&A & valuationRecruiting & transitions
45
BREAKTHRU ADVISORY SERVICES, LLC reported RAUM down 48% ($243.0M -> $125.7M). IAPD ↗
$125.7M RAUM · 2 reps · 4148375337 · breakthrufamily.com
M&A & valuationRecruiting & transitions
38
BROCK FIDUCIARY SERVICES LLC reported RAUM down 27% ($805.0M -> $588.2M). IAPD ↗institutional
$588.2M RAUM · 1 reps · 212-209-3000 · brockcapital.com
M&A & valuationRecruiting & transitions
38
MAN GLOBAL PRIVATE MARKETS (USA) INC. reported RAUM down 31% ($1.43B -> $988.2M). IAPD ↗institutional
$988.2M RAUM · 5 reps · 980 321 7560 · man.com
M&A & valuationRecruiting & transitions
33
OLYMPUS CAPITAL HOLDINGS ASIA LLC reported RAUM down 34% ($1.29B -> $852.1M). IAPD ↗fund
$852.1M RAUM · 23 reps · 201-888-1703 · olympuscap.com
M&A & valuationRecruiting & transitions
33
P2 CAPITAL PARTNERS, LLC reported RAUM down 35% ($1.26B -> $824.4M). IAPD ↗fund
$824.4M RAUM · 9 reps · 212-508-5500 · p2capital.com
M&A & valuationRecruiting & transitions
33
SFW CAPITAL PARTNERS LP reported RAUM down 49% ($929.7M -> $476.8M). IAPD ↗fund
$476.8M RAUM · 6 reps · 914-510-8910 · sfwcap.com
M&A & valuationRecruiting & transitions
33
FALL LINE CAPITAL, LLC reported RAUM down 31% ($479.0M -> $332.4M). IAPD ↗fund
$332.4M RAUM · 10 reps · 650-235-4032 · fall-line-capital.com
M&A & valuationRecruiting & transitions
33
HONTE ADVISORS LLC reported RAUM down 38% ($668.5M -> $417.7M). IAPD ↗fund
$417.7M RAUM · 3 reps · 415-801-4250
M&A & valuationRecruiting & transitions
33
CORINTHIA GLOBAL MANAGEMENT reported RAUM down 26% ($1.20B -> $886.5M). IAPD ↗fund
$886.5M RAUM · 19 reps · +1 (980) 418-2215 · corinthiagm.com
M&A & valuationRecruiting & transitions
30
ARIAS RESOURCE CAPITAL MANAGEMENT LP reported RAUM down 48% ($174.2M -> $90.8M). IAPD ↗fund
$90.8M RAUM · 6 reps · 305-913-5402 · arc-fund.com
M&A & valuationRecruiting & transitions
30
CONNECTIVE CAPITAL MANAGEMENT, LLC reported RAUM down 26% ($312.5M -> $230.1M). IAPD ↗fund
$230.1M RAUM · 3 reps · (650) 321-4545 · connectcap.com
M&A & valuationRecruiting & transitions
20
LINDSELL TRAIN LIMITED reported RAUM down 37% ($14.70B -> $9.25B). IAPD ↗foreign
$9.25B RAUM · 6 reps · 4420 7808 1210 · lindselltrain.com
M&A & valuationRecruiting & transitions
20
KILTEARN PARTNERS reported RAUM down 27% ($1.74B -> $1.27B). IAPD ↗foreign
$1.27B RAUM · 8 reps · 011 44 131 460 1040 · kiltearnpartners.com
M&A & valuationRecruiting & transitions
18
COELI FRONTIER MARKETS AB reported RAUM down 38% ($524.3M -> $325.2M). IAPD ↗foreign
$325.2M RAUM · 3 reps · +46850622300
M&A & valuationRecruiting & transitions
15
RAISON ASSET MANAGEMENT reported RAUM down 52% ($219.9M -> $106.1M). IAPD ↗foreign
$106.1M RAUM · 5 reps · +372 6600288 · wealth.raison.app
M&A & valuationRecruiting & transitions
custody started — 24 Firm now reports custody of client assets — surprise exams and controls follow.
70
DESTINATION WEALTH MANAGEMENT now reports custody of client assets ($371.2M). IAPD ↗
$4.95B RAUM · 31 reps · 925-935-2900 · destinationwm.com
ComplianceCustodian
70
NORTH PIER FIDUCIARY MANAGEMENT, LLC now reports custody of client assets ($8.6M). IAPD ↗
$1.28B RAUM · 5 reps · 800-403-7065 · npier.com
ComplianceCustodian
70
RED OAK FINANCIAL GROUP now reports custody of client assets ($197.8M). IAPD ↗
$1.04B RAUM · 6 reps · 410-321-0168
ComplianceCustodian
70
MIDLAND WEALTH MANAGEMENT now reports custody of client assets ($3.10B). IAPD ↗
$3.16B RAUM · 19 reps · 312-660-6516
ComplianceCustodian
68
WESTWIND CAPITAL now reports custody of client assets ($216.9M). IAPD ↗
$795.9M RAUM · 8 reps · 575-556-8500 · ww-capital.com
ComplianceCustodian
68
GLASS WEALTH MANAGEMENT CO., LLC now reports custody of client assets ($60.8M). IAPD ↗
$311.9M RAUM · 4 reps · 210-930-5141
ComplianceCustodian
68
BRIGHT WEALTH MANAGEMENT, LLC now reports custody of client assets ($69.8M). IAPD ↗
$265.0M RAUM · 7 reps · (972) 410-6623
ComplianceCustodian
68
NATIONAL WEALTH MANAGEMENT GROUP, LLC now reports custody of client assets ($935,150). IAPD ↗
$534.9M RAUM · 18 reps · 513-772-2592 · jimlewiswm.com
ComplianceCustodian
68
FAITH INVESTOR SERVICES now reports custody of client assets ($52,085). IAPD ↗
$279.7M RAUM · 6 reps · 314-214-1404
ComplianceCustodian
68
GENERATIONAL PRIVATE WEALTH now reports custody of client assets ($184.1M). IAPD ↗
$271.9M RAUM · 3 reps · 571-244-8764 · genprivatewealth.com
ComplianceCustodian
68
RAINIER FAMILY WEALTH, INC. now reports custody of client assets ($308.7M). IAPD ↗
$331.5M RAUM · 3 reps · 253-448-2107
ComplianceCustodian
68
STONEBRIDGE FINANCIAL GROUP now reports custody of client assets ($75.7M). IAPD ↗
$896.0M RAUM · 12 reps · 4154614961 · sb-fg.com
ComplianceCustodian
68
REVEL WEALTH MANAGEMENT now reports custody of client assets ($3.0M). IAPD ↗
$258.9M RAUM · 2 reps · 316-518-3615 · revelwm.com
ComplianceCustodian
65
MEYER GATES FINANCIAL ADVISORS, INC now reports custody of client assets ($30.5M). IAPD ↗
$168.7M RAUM · 6 reps · 937-220-4915 · meyergates.com
ComplianceCustodian
65
GOLDEN K PLANS AND WEALTH MANAGEMENT A DBA OF GOLDEN K WEALTH MG now reports custody of client assets ($2.5M). IAPD ↗
$179.4M RAUM · 1 reps · 818-587-4455 · goldenkplans.com
ComplianceCustodian
65
SUMMIT WEALTH MANAGEMENT GROUP, INC. now reports custody of client assets ($14.4M). IAPD ↗
$249.5M RAUM · 2 reps · 805-384-1186
ComplianceCustodian
65
COLUCCI WEALTH MANAGEMENT LLC now reports custody of client assets ($80.8M). IAPD ↗
$80.8M RAUM · 1 reps · 212-763-4840
ComplianceCustodian
65
MADSON WEALTH ADVISORS INC. now reports custody of client assets ($4.0M). IAPD ↗
$208.7M RAUM · 2 reps · 707-578-6850 · madsonwealth.com
ComplianceCustodian
65
PULLIAM FAMILY OFFICE, LLC now reports custody of client assets ($345,898). IAPD ↗
$141.7M RAUM · 1 reps · 972-947-9400 · pulliamfamilyoffice.com
ComplianceCustodian
65
IMPERITY WEALTH ALLIANCE LLC now reports custody of client assets ($6.1M). IAPD ↗
$139.7M RAUM · 10 reps · 800-203-2702 · huntfinancialsolutions.com
ComplianceCustodian
65
SCHULZ FINANCIAL GROUP now reports custody of client assets ($325,042). IAPD ↗
$114.9M RAUM · 3 reps · (520) 495-2800 · schulzfinancialgroup.com
ComplianceCustodian
65
KIN STEWARDS LLC now reports custody of client assets. IAPD ↗
$3.4M RAUM · 1 reps · (747) 383-4282
ComplianceCustodian
53
SHOTEN CAPITAL LP now reports custody of client assets ($994.9M). IAPD ↗fund
$622.4M RAUM · 5 reps · 512-265-3800 · shotencapital.com
ComplianceCustodian
53
LOON LAKE CAPITAL MANAGEMENT LP now reports custody of client assets ($336.0M). IAPD ↗fund
$336.0M RAUM · 3 reps · 857-228-6012 · loonlakecapital.com
ComplianceCustodian
planning clients up — 23 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
70
ECHO WEALTH MANAGEMENT, LLC reports 101-250 financial-planning clients, up from 1-10. IAPD ↗
$288.2M RAUM · 3 reps · 763-432-7875 · echowm.com
Financial planning software
64
BRICK & KYLE ASSOCIATES INC reports 251-500 financial-planning clients, up from 51-100. IAPD ↗
$491.7M RAUM · 3 reps · 215-493-8787 · brick-kyle.com
Financial planning software
64
LUESINK STENSTROM FINANCIAL reports 51-100 financial-planning clients, up from 1-10. IAPD ↗
$94.1M RAUM · 2 reps · 212-405-1609 · luesinkstenstrom.com
Financial planning software
63
CAPITAL INVESTMENT COUNSEL INC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$1.02B RAUM · 4 reps · 919-831-2370 · capital-invest.com
Financial planning software
63
ONEDIGITAL reports 101-250 financial-planning clients, up from 51-100. IAPD ↗
$155.41B RAUM · 367 reps · 877-742-2021
Financial planning software
63
ELEVATION POINT WEALTH PARTNERS, LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$8.29B RAUM · 38 reps · 303-382-2880
Financial planning software
61
THE ENTERPRISE INVESTMENT COMPANY reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
$607.1M RAUM · 7 reps · 248-539-8282 · pappasfinancial.com
Financial planning software
61
FAITH INVESTOR SERVICES reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
$279.7M RAUM · 6 reps · 314-214-1404
Financial planning software
61
BESPOKE ADVISORY reports 26-50 financial-planning clients, up from 11-25. IAPD ↗
$284.0M RAUM · 9 reps · 877-777-6845 · bespokeadvisory.io
Financial planning software
61
THE ZILLENNIAL ADVISORS reports 26-50 financial-planning clients, up from 1-10. IAPD ↗
$1.5M RAUM · 3 reps · N/A · thezillennialadvisors.com
Financial planning software
61
SAND CREEK CAPITAL, LLC reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
$471.2M RAUM · 8 reps · 208-356-9022 · sandcreekcap.com
Financial planning software
61
BREAKTHRU ADVISORY SERVICES, LLC reports 11-25 financial-planning clients, up from 0. IAPD ↗
$125.7M RAUM · 2 reps · 4148375337 · breakthrufamily.com
Financial planning software
61
SCHULZ FINANCIAL GROUP reports 11-25 financial-planning clients, up from 0. IAPD ↗
$114.9M RAUM · 3 reps · (520) 495-2800 · schulzfinancialgroup.com
Financial planning software
58
MATRIX PLANNING INC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$121.4M RAUM · 1 reps · 310-399-0457
Financial planning software
58
SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP. reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
$102.0M RAUM · 3 reps · 925-855-4300 · secureretire.com
Financial planning software
58
WJ FINANCIAL ADVISORS, LLC reports 101-250 financial-planning clients, up from 51-100. IAPD ↗
$203.4M RAUM · 3 reps · 860-663-3646 · wjadvisors.com
Financial planning software
58
PALISADE WEALTH MANAGEMENT reports 1-10 financial-planning clients, up from 0. IAPD ↗
$133.2M RAUM · 3 reps · 650-387-3808 · palisadeadvisor.com
Financial planning software
58
RAI WEALTH MANAGEMENT reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
$159.7M RAUM · 4 reps · (714) 449-9696
Financial planning software
58
ASCENT CAPITAL PARTNERS, LLC reports 26-50 financial-planning clients, up from 11-25. IAPD ↗
$172.0M RAUM · 2 reps · (480) 841-6956
Financial planning software
58
CLOUT CAPITAL reports 1-10 financial-planning clients, up from 0. IAPD ↗
$105.0M RAUM · 1 reps · 561-931-8430 · cloutcapital.com
Financial planning software
58
WILLOW PARTNER ADVISORS, LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$0 RAUM · 5 reps · 617-279-3685 · my.trustwillow.com
Financial planning software
58
INGOT FINANCE reports 1-10 financial-planning clients, up from 0. IAPD ↗
$0 RAUM · 1 reps · 702 326 5885
Financial planning software
58
PULLIAM FAMILY OFFICE, LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$141.7M RAUM · 1 reps · 972-947-9400 · pulliamfamilyoffice.com
Financial planning software
rename — 21 Primary business name changed: rebrand, merger, or ownership change.
60
WILLIS JOHNSON & ASSOCIATES, INC. is now doing business as WILLIS JOHNSON WEALTH. IAPD ↗
$1.85B RAUM · 21 reps · 713-439-1200
Marketing & brandCRM
60
GUIDELINE INVESTMENTS, LLC is now doing business as GUSTO INVESTMENT SERVICES, LLC. IAPD ↗
$16.49B RAUM · 2 reps · (888) 228-3491 · retirement.gusto.com
Marketing & brandCRM
58
EVOADVISERS is now doing business as EVOADVISORS. IAPD ↗
$337.2M RAUM · 6 reps · 804-794-1981
Marketing & brandCRM
58
SEROS FINANCIAL, LLC is now doing business as SEROS WEALTH PARTNERS. IAPD ↗
$359.2M RAUM · 7 reps · 480-967-1155
Marketing & brandCRM
58
DIVERSIFI CAPITAL LLC is now doing business as DIVERSIFI CAPITAL INC. IAPD ↗
$671.4M RAUM · 9 reps · 650-632-5667 · diversificapital.com
Marketing & brandCRM
58
GENERATIONAL WEALTH MANAGEMENT is now doing business as GENERATIONAL WEALTH, INC.. IAPD ↗
$394.8M RAUM · 8 reps · 616-931-1270
Marketing & brandCRM
58
CLEARWELL ADVISORS, LLC is now doing business as CLEARWELL GROUP. IAPD ↗
$413.5M RAUM · 6 reps · (813) 435-5600 · clearwellgroup.com
Marketing & brandCRM
58
ALIGN FINANCIAL, LLC is now doing business as RETIRE AGILE. IAPD ↗
$433.7M RAUM · 5 reps · 218-336-2506 · align.financial
Marketing & brandCRM
58
OAK HARBOR WEALTH PARTNERS, LLC is now doing business as CORDGRASS CAPITAL ADVISORS, LLC. IAPD ↗
$729.9M RAUM · 4 reps · 919-800-0705 · cordgrasscapital.com
Marketing & brandCRM
55
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO is now doing business as PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY. IAPD ↗
$87.5M RAUM · 1 reps · 800-404-6693 · pacificglobal.us
Marketing & brandCRM
55
LEGACY CORNERSTONE WEALTH is now doing business as LEGACY CORNERSTONE WEALTH LLC. IAPD ↗
$22.4M RAUM · 1 reps · 702-767-9891
Marketing & brandCRM
55
R2 WEALTH MANAGEMENT PARTNERS is now doing business as PARADIGM WEALTH MANAGEMENT. IAPD ↗
$116.3M RAUM · 2 reps · 531-333-2728
Marketing & brandCRM
55
QUILITY FINANCIAL ADVISORS is now doing business as API FINANCIAL ADVISORS, LLC. IAPD ↗
$84.7M RAUM · 13 reps · 321-888-2599
Marketing & brandCRM
55
WILIAN SECURITIES, LLC is now doing business as TAILWINDS WEALTH, LLC. IAPD ↗
$192.7M RAUM · 7 reps · 651-243-0535 · wilianfinancial.com
Marketing & brandCRM
55
CYGNUS CAPITAL ADVISERS, LLC is now doing business as CYGNUS CAPITAL ADVISORS, LLC. IAPD ↗
$229.7M RAUM · 2 reps · 404-443-4762 · cygnuscapital.com
Marketing & brandCRM
55
CLANCY WEALTH ADVISORS is now doing business as SHAH WEALTH ADVISORS. IAPD ↗
$0 RAUM · 3 reps · 909-262-1430 · shahwealthadvisors.com
Marketing & brandCRM
55
EVERTERN WEALTH is now doing business as EVERTERN WEALTH, LLC. IAPD ↗
$0 RAUM · 5 reps · 239-508-7700 · everternwealth.com
Marketing & brandCRM
48
AKKADIAN CEF MANAGER, LLC is now doing business as POWERLAW FUND ADVISER, LLC. IAPD ↗institutional
$496.3M RAUM · 7 reps · 707-653-6892 · akkadian.vc
Marketing & brandCRM
45
VR ADVISER, LLC is now doing business as VENROCK ADVISER, LLC. IAPD ↗fund
$4.50B RAUM · 11 reps · 212-444-4100
Marketing & brandCRM
43
OGCI CLIMATE INVESTMENTS MANAGEMENT COMPANY (USA), LLC is now doing business as CLIMATE INVESTMENT. IAPD ↗fund
$831.4M RAUM · 25 reps · 1-713-402-8266
Marketing & brandCRM
43
MED VENTURE MANAGEMENT, LLC is now doing business as WASATCH HEALTH PARTNERS. IAPD ↗fund
$495.2M RAUM · 7 reps · (385) 501-5979 · wasatch-health.com
Marketing & brandCRM
relocation — 20 Main office moved to a different city or state.
50
GUSTO INVESTMENT SERVICES, LLC moved its main office from BURLINGAME, CA to SAN FRANCISCO, CA. IAPD ↗
$16.49B RAUM · 2 reps · (888) 228-3491 · retirement.gusto.com
Office IT & facilitiesMarketing & brand
50
INTEGRITY ADVISORY SOLUTIONS moved its main office from DALLAS, TX to DALLAS, IA. IAPD ↗
$1.10B RAUM · 108 reps · (214) 919-2165 · integritywealthsolutions.com
Office IT & facilitiesMarketing & brand
50
BEARING POINT CAPITAL moved its main office from BLOOMINGTON, MN to RICHFIELD, MN. IAPD ↗
$1.11B RAUM · 4 reps · 952-800-6301 · bearingpointcap.com
Office IT & facilitiesMarketing & brand
48
LAZARI CAPITAL MANAGEMENT, INC. moved its main office from WOODLAND HILLS, CA to BURBANK, CA. IAPD ↗
$691.1M RAUM · 8 reps · 818-264-0610 · lazaricapital.com
Office IT & facilitiesMarketing & brand
48
BOSTONPREMIER WEALTH moved its main office from HANOVER, MA to HINGHAM, MA. IAPD ↗
$525.2M RAUM · 4 reps · (617) 934-1100
Office IT & facilitiesMarketing & brand
48
MASTER'S WEALTH MANAGEMENT INC. moved its main office from LANCASTER, PA to LEOLA, PA. IAPD ↗
$589.5M RAUM · 9 reps · (717) 581-1323
Office IT & facilitiesMarketing & brand
45
CONTEGO CAPITAL GROUP, INC. moved its main office from MINNEAPOLIS, MN to EDINA, MN. IAPD ↗
$88.0M RAUM · 8 reps · 952-697-2579
Office IT & facilitiesMarketing & brand
45
U.S.A. FINANCIAL & TAX SERVICES, LLC moved its main office from GLASTONBURY, CT to FARMINGTON, CT. IAPD ↗
$159.3M RAUM · 3 reps · 860-430-2138 · usafinancialandtaxservices.com
Office IT & facilitiesMarketing & brand
45
VITA PLANNING GROUP LLC moved its main office from VANCOUVER, WA to CAMAS, WA. IAPD ↗
$83.7M RAUM · 3 reps · 650-567-9300 · vita401k.com
Office IT & facilitiesMarketing & brand
45
TSG ALPHA PARTNERS, LLC moved its main office from JERSEY CITY, NJ to OLD BRIDGE, NJ. IAPD ↗
$134.9M RAUM · 9 reps · 631-403-5364 · tsginvest.com
Office IT & facilitiesMarketing & brand
45
EL MENUDO CUENTA LLC moved its main office from CORAL GABLES, FL to MIAMI, FL. IAPD ↗
$3,600 RAUM · 1 reps · 7862066036 · elmenudocuenta.com
Office IT & facilitiesMarketing & brand
45
SAVILE CAPITAL MANAGEMENT LLC moved its main office from SHERIDAN, WY to SAN JUAN, PR. IAPD ↗
$0 RAUM · 1 reps · 787-763-5868
Office IT & facilitiesMarketing & brand
45
EVERTERN WEALTH, LLC moved its main office from SAINT PETERSBURG, FL to NAPLES, FL. IAPD ↗
$0 RAUM · 5 reps · 239-508-7700 · everternwealth.com
Office IT & facilitiesMarketing & brand
35
VALLIANCE ASSET MANAGEMENT LLC moved its main office from CHICAGO, IL to NEW YORK, NY. IAPD ↗institutional
$123.0M RAUM · 1 reps · +1 312 573 5677 · valliance.com
Office IT & facilitiesMarketing & brand
35
HURRICANE ADVISOR SOLUTIONS moved its main office from MIAMI, FL to NEW YORK, NY. IAPD ↗institutional
$0 RAUM · 1 reps · 212-702-7101 · hurricaneadvisorsolutions.io
Office IT & facilitiesMarketing & brand
33
REDWOOD GROVE CAPITAL, LLC moved its main office from PALO ALTO, CA to NEW YORK, NY. IAPD ↗fund
$364.0M RAUM · 4 reps · 650-622-8739 · redwoodgrovecapital.com
Office IT & facilitiesMarketing & brand
30
MAPLE PARK CAPITAL moved its main office from DALLAS, TX to DALLAS, TN. IAPD ↗fund
$162.2M RAUM · 5 reps · 214-302-5550
Office IT & facilitiesMarketing & brand
20
FUNDSMITH INVESTMENT SERVICES LIMITED moved its main office from BLACK RIVER, to BEAUX SONGES, . IAPD ↗foreign
$40.03B RAUM · 2 reps · 00 230 483 3015
Office IT & facilitiesMarketing & brand
18
PASCAL INVESTMENT ADVISERS SA moved its main office from GENEVA, to NYON, . IAPD ↗foreign
$874.3M RAUM · 4 reps · 41227187400 · pascaladvisers.com
Office IT & facilitiesMarketing & brand
15
TORMA CAPITAL LLP moved its main office from LONDON, LONDON, to LONDON, . IAPD ↗foreign
$26.5M RAUM · 4 reps · 0044 20 7096 6299 · tormacapital.com
Office IT & facilitiesMarketing & brand
aum crossed 500m — 11 Regulatory AUM crossed $500M.
70
BOLTWOOD CAPITAL MANAGEMENT crossed $500M in regulatory AUM ($380.6M -> $502.5M). IAPD ↗
$502.5M RAUM · 2 reps · 415-433-1550 · boltwoodcap.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
MINDFUL ASSET PLANNING crossed $500M in regulatory AUM ($452.0M -> $529.5M). IAPD ↗
$529.5M RAUM · 2 reps · 952-432-4666
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
VALUEWORKS, LLC crossed $500M in regulatory AUM ($429.4M -> $577.3M). IAPD ↗
$577.3M RAUM · 3 reps · 212-819-1818
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
THE ENTERPRISE INVESTMENT COMPANY crossed $500M in regulatory AUM ($479.6M -> $607.1M). IAPD ↗
$607.1M RAUM · 7 reps · 248-539-8282 · pappasfinancial.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
TOLSMA INVESTMENTS, LLC crossed $500M in regulatory AUM ($410.9M -> $552.7M). IAPD ↗
$552.7M RAUM · 1 reps · (425) 458-3999 · tolsmainvestments.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
PENSION & WEALTH MANAGEMENT ADVISORS crossed $500M in regulatory AUM ($452.2M -> $529.8M). IAPD ↗
$529.8M RAUM · 9 reps · 781-810-0800
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
PASSPORT CAPITAL, LLC crossed $500M in regulatory AUM ($346.0M -> $532.4M). IAPD ↗fund
$532.4M RAUM · 5 reps · 415-321-4600 · passportcapital.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
KALEIDOSCOPE CAPITAL crossed $500M in regulatory AUM ($496.1M -> $706.2M). IAPD ↗fund
$706.2M RAUM · 6 reps · 617-765-2064 · kldscap.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
BIG LEAGUE ADVANTAGE crossed $500M in regulatory AUM ($382.5M -> $548.3M). IAPD ↗fund
$548.3M RAUM · 1 reps · 617-875-8770
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
TYRO CAPITAL MANAGEMENT, LLC crossed $500M in regulatory AUM ($392.9M -> $570.9M). IAPD ↗fund
$570.9M RAUM · 5 reps · 330-307-6147
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
SETPOINT CAPITAL crossed $500M in regulatory AUM ($483.5M -> $835.1M). IAPD ↗fund
$835.1M RAUM · 12 reps · 512-240-2478 · setpointcapital.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
aum crossed 1b — 10 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
CAPITAL INVESTMENT COUNSEL INC crossed $1B in regulatory AUM ($889.4M -> $1.02B). IAPD ↗
$1.02B RAUM · 4 reps · 919-831-2370 · capital-invest.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
WILLIAM MACK & ASSOCIATES INC crossed $1B in regulatory AUM ($820.4M -> $1.03B). IAPD ↗
$1.03B RAUM · 10 reps · 248-643-4310 · wmack.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
JOHN MOORE & ASSOCIATES INC crossed $1B in regulatory AUM ($970.2M -> $1.03B). IAPD ↗
$1.03B RAUM · 9 reps · 505-881-5100 · johnmoore.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
ARQ WEALTH ADVISORS, LLC crossed $1B in regulatory AUM ($844.3M -> $1.11B). IAPD ↗
$1.11B RAUM · 9 reps · 480-214-9572 · arqwealth.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
SEQUENT ASSET MANAGEMENT, LLC crossed $1B in regulatory AUM ($972.7M -> $1.06B). IAPD ↗
$1.06B RAUM · 2 reps · 713-467-0008 · sequentasset.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
ENCLAVE ADVISORS, LLC crossed $1B in regulatory AUM ($983.1M -> $1.10B). IAPD ↗
$1.10B RAUM · 3 reps · 512-527-3105
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
CAPITOLIS ADVISORS LLC crossed $1B in regulatory AUM ($100.3M -> $4.50B). IAPD ↗institutional
$4.50B RAUM · 10 reps · 212-388-5204
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
WEDBUSH FUND ADVISERS, LLC crossed $1B in regulatory AUM ($754.2M -> $1.02B). IAPD ↗institutional
$1.02B RAUM · 2 reps · 213-688-8000 · wedbushfunds.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
RIOT VENTURES MANAGEMENT, LLC crossed $1B in regulatory AUM ($948.3M -> $1.09B). IAPD ↗fund
$1.09B RAUM · 7 reps · (310) 243-6433 · riot.vc
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
SCHRODER WEALTH MANAGEMENT (US) LIMITED crossed $1B in regulatory AUM ($922.4M -> $1.40B). IAPD ↗foreign
$1.40B RAUM · 5 reps · 00 44 (0)20 7658 6000 · schroders.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
private funds started — 7 Firm reports private funds for the first time.
73
LRZ CAPITAL LLC now reports 2 private fund(s) ($369.8M gross). IAPD ↗
$370.0M RAUM · 3 reps · 305-615-0215 · lrzcapital.com
Fund administrationCompliance
70
SL CAPITAL now reports 1 private fund(s) ($7.4M gross). IAPD ↗
$230.3M RAUM · 4 reps · 480-359-7092 · slcapitalwealth.com
Fund administrationCompliance
60
SYMETRA INVESTMENT MANAGEMENT COMPANY now reports 1 private fund(s) ($411.4M gross). IAPD ↗fund
$88.78B RAUM · 61 reps · 860-370-7812 · symetra.com
Fund administrationCompliance
58
SHOTEN CAPITAL LP now reports 1 private fund(s) ($497.4M gross). IAPD ↗fund
$622.4M RAUM · 5 reps · 512-265-3800 · shotencapital.com
Fund administrationCompliance
58
LOON LAKE CAPITAL MANAGEMENT LP now reports 1 private fund(s) ($336.0M gross). IAPD ↗fund
$336.0M RAUM · 3 reps · 857-228-6012 · loonlakecapital.com
Fund administrationCompliance
55
ARGO INFRASTRUCTURE MANAGEMENT, LP now reports 1 private fund(s) ($130.0M gross). IAPD ↗fund
$133.5M RAUM · 13 reps · 212-521 5096
Fund administrationCompliance
55
GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC now reports 3 private fund(s) ($155.4M gross). IAPD ↗fund
$155.4M RAUM · 8 reps · 203-202-8606 · guggenheiminvestments.com
Fund administrationCompliance
planning started — 5 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
78
BECK CAPITAL MANAGEMENT LLC now offers financial planning (Item 5G(1)). IAPD ↗
$562.4M RAUM · 7 reps · 512-345-6789
Financial planning softwareCRM
78
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$931.8M RAUM · 31 reps · 913-295-9500
Financial planning softwareCRM
78
KAI WEALTH LLC now offers financial planning (Item 5G(1)). IAPD ↗
$275.2M RAUM · 2 reps · 312-605-8020
Financial planning softwareCRM
75
PALISADE WEALTH MANAGEMENT now offers financial planning (Item 5G(1)). IAPD ↗
$133.2M RAUM · 3 reps · 650-387-3808 · palisadeadvisor.com
Financial planning softwareCRM
75
WILLOW PARTNER ADVISORS, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$0 RAUM · 5 reps · 617-279-3685 · my.trustwillow.com
Financial planning softwareCRM
wrap program started — 5 Firm began participating in a wrap-fee program (Item 5I(1)).
65
WEALTHSPIRE ADVISORS began participating in a wrap-fee program. IAPD ↗
$34.32B RAUM · 220 reps · (212) 973-1200
Portfolio / reporting / TAMPCompliance
63
CAPITAL INVESTMENT ADVISORS began participating in a wrap-fee program. IAPD ↗
$302.3M RAUM · 6 reps · 240-482-4000
Portfolio / reporting / TAMPCompliance
63
ALMANACK INVESTMENT PARTNERS began participating in a wrap-fee program. IAPD ↗
$945.9M RAUM · 13 reps · 484-580-2277 · whiteknightcapital.net
Portfolio / reporting / TAMPCompliance
60
WILLOW PARTNER ADVISORS, LLC began participating in a wrap-fee program. IAPD ↗
$0 RAUM · 5 reps · 617-279-3685 · my.trustwillow.com
Portfolio / reporting / TAMPCompliance
60
IMPERITY WEALTH ALLIANCE LLC began participating in a wrap-fee program. IAPD ↗
$139.7M RAUM · 10 reps · 800-203-2702 · huntfinancialsolutions.com
Portfolio / reporting / TAMPCompliance
reorganization — 1 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
40
PROTOCOL WEALTH, LLC filed an Item 4A succession naming PROTOCOL WEALTH, LLC (CRD 335298) — an entity change, not a deal. IAPD ↗
$127.1M RAUM · 3 reps · 720-439-9055 · protocolwealth.io
Integration & migration consultingCompliance

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