← Tributary

What changed in the June 2026 SEC adviser roster

811 events across 704 firms · 635 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

219state expansion
154new registration
88new office
57deregistered
48disclosure added
47pending approved
28website changed
27relocation
25headcount up
24aum up
24custody started
17rename

Top 25 signals — US wealth firms

98
PROFITS PLUS CAPITAL MANAGEMENT, LLC (NAMPA, ID) is newly SEC-registered with $258.1M RAUM and 1 advisory reps. IAPD ↗
$258.1M RAUM · 1 reps · 208-468-3600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PRINCIPLED WEALTH ADVISORS, LLC (COVINGTON, KY) is newly SEC-registered with $252.1M RAUM and 2 advisory reps. IAPD ↗
$252.1M RAUM · 2 reps · 859-957-2737 · principledwealth.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
AG DILLON ASSET MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $262.0M RAUM and 1 advisory reps. IAPD ↗
$262.0M RAUM · 1 reps · +1 347 642 2640 · agdillon.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
VISTAMARK INVESTMENTS (HINSDALE, IL) is newly SEC-registered with $317.2M RAUM and 4 advisory reps. IAPD ↗
$317.2M RAUM · 4 reps · 312-498-5703 · vistamarkllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
REMEDIUM CAPITAL PARTNERS (WEST PALM BEACH, FL) is newly SEC-registered with $319.0M RAUM and 1 advisory reps. IAPD ↗
$319.0M RAUM · 1 reps · 305.851.6223 · remediumcp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BULLETPROOF CAPITAL, LLC (CHICAGO, IL) is newly SEC-registered with $575.8M RAUM and 4 advisory reps. IAPD ↗
$575.8M RAUM · 4 reps · 847-922-7460 · bulletproof-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
DAHER CAPITAL GROUP, LLC (JUPITER, FL) is newly SEC-registered with $490.0M RAUM and 0 advisory reps. IAPD ↗
$490.0M RAUM · 0 reps · 561-422-0160
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J K R & COMPANY, INC. (VAN NUYS, CA) is newly SEC-registered with $136.3M RAUM and 5 advisory reps. IAPD ↗
$136.3M RAUM · 5 reps · 818-781-7721 · jkrco.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DEMERS FINANCIAL PLANNING (COLUMBUS, OH) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 614-451-4505
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PAVLIC INVESTMENT ADVISORS, INC. (DELAFIELD, WI) is newly SEC-registered with $108.8M RAUM and 2 advisory reps. IAPD ↗
$108.8M RAUM · 2 reps · 262-646-4300
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TABER ASSET MANAGEMENT L.L.C. (location n/a) is newly SEC-registered with $110.0M RAUM and 3 advisory reps. IAPD ↗
$110.0M RAUM · 3 reps · 515-557-1860
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
QUALITY FINANCIAL CONCEPTS (MARYVILLE, TN) is newly SEC-registered with $128.8M RAUM and 2 advisory reps. IAPD ↗
$128.8M RAUM · 2 reps · 865-984-3550
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CW SECURITIES, LLC (KNOXVILLE, TN) is newly SEC-registered with $113.5M RAUM and 1 advisory reps. IAPD ↗
$113.5M RAUM · 1 reps · 865 690-9886
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NAYLOR & COMPANY (location n/a) is newly SEC-registered with $103.4M RAUM and 4 advisory reps. IAPD ↗
$103.4M RAUM · 4 reps · 415-741-7280 · naylorinvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KANOS CAPITAL MANAGEMENT, LLC (HOUSTON, TX) is newly SEC-registered with $133.2M RAUM and 1 advisory reps. IAPD ↗
$133.2M RAUM · 1 reps · 713-807-0200 · kanoscapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HARLOW CAPITAL MANAGEMENT LLC (location n/a) is newly SEC-registered with $132.9M RAUM and 1 advisory reps. IAPD ↗
$132.9M RAUM · 1 reps · 214 754 0800 · harlow-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRACKENWOOD CAPITAL MANAGEMENT, LLC (BAINBRIDGE ISLAND, WA) is newly SEC-registered with $126.6M RAUM and 2 advisory reps. IAPD ↗
$126.6M RAUM · 2 reps · 206.446.0157 · bcmportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANG & BECKER, INC. (WASHINGTON, MO) is newly SEC-registered with $123.2M RAUM and 2 advisory reps. IAPD ↗
$123.2M RAUM · 2 reps · 636-390-8339
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE SKY INVESTMENT PARTNERS, INC. (EVANSTON, IL) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
$118.0M RAUM · 1 reps · 847-864-5070 · blueskyinvestments.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUPERIOR FINANCIAL, LLC (ROCHESTER, MN) is newly SEC-registered with $112.2M RAUM and 1 advisory reps. IAPD ↗
$112.2M RAUM · 1 reps · 507-316-0160 · superiorfinancialllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FRUGE' CAPITAL ADVISORS, LLC (FORMERLY OXFORD INVESTMENT ADV) (OXFORD, MS) is newly SEC-registered with $141.2M RAUM and 2 advisory reps. IAPD ↗
$141.2M RAUM · 2 reps · 662-550-4554 · frugecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROSSPOINT CAPITAL MANAGEMENT (ORINDA, CA) is newly SEC-registered with $118.0M RAUM and 2 advisory reps. IAPD ↗
$118.0M RAUM · 2 reps · 415-949-1443
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EBERT CAPITAL MANAGEMENT INC. (EUREKA, CA) is newly SEC-registered with $116.3M RAUM and 1 advisory reps. IAPD ↗
$116.3M RAUM · 1 reps · 707-407-3813 · ebertcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RWR INVESTMENTS LLC (DALLAS, TX) is newly SEC-registered with $170.9M RAUM and 1 advisory reps. IAPD ↗
$170.9M RAUM · 1 reps · 214.308.1970
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PATHFINDER PLANNING AND INVESTMENTS (MISSOULA, MT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 406-541-3733
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 282 firms

98
PROFITS PLUS CAPITAL MANAGEMENT, LLC (NAMPA, ID) is newly SEC-registered with $258.1M RAUM and 1 advisory reps. IAPD ↗
$258.1M RAUM · 1 reps · 208-468-3600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PRINCIPLED WEALTH ADVISORS, LLC (COVINGTON, KY) is newly SEC-registered with $252.1M RAUM and 2 advisory reps. IAPD ↗
$252.1M RAUM · 2 reps · 859-957-2737 · principledwealth.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
AG DILLON ASSET MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $262.0M RAUM and 1 advisory reps. IAPD ↗
$262.0M RAUM · 1 reps · +1 347 642 2640 · agdillon.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
VISTAMARK INVESTMENTS (HINSDALE, IL) is newly SEC-registered with $317.2M RAUM and 4 advisory reps. IAPD ↗
$317.2M RAUM · 4 reps · 312-498-5703 · vistamarkllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
REMEDIUM CAPITAL PARTNERS (WEST PALM BEACH, FL) is newly SEC-registered with $319.0M RAUM and 1 advisory reps. IAPD ↗
$319.0M RAUM · 1 reps · 305.851.6223 · remediumcp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BULLETPROOF CAPITAL, LLC (CHICAGO, IL) is newly SEC-registered with $575.8M RAUM and 4 advisory reps. IAPD ↗
$575.8M RAUM · 4 reps · 847-922-7460 · bulletproof-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
DAHER CAPITAL GROUP, LLC (JUPITER, FL) is newly SEC-registered with $490.0M RAUM and 0 advisory reps. IAPD ↗
$490.0M RAUM · 0 reps · 561-422-0160
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J K R & COMPANY, INC. (VAN NUYS, CA) is newly SEC-registered with $136.3M RAUM and 5 advisory reps. IAPD ↗
$136.3M RAUM · 5 reps · 818-781-7721 · jkrco.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DEMERS FINANCIAL PLANNING (COLUMBUS, OH) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 614-451-4505
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PAVLIC INVESTMENT ADVISORS, INC. (DELAFIELD, WI) is newly SEC-registered with $108.8M RAUM and 2 advisory reps. IAPD ↗
$108.8M RAUM · 2 reps · 262-646-4300
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 272 more in the CSV export.

Financial planning software 199 firms

98
PROFITS PLUS CAPITAL MANAGEMENT, LLC (NAMPA, ID) is newly SEC-registered with $258.1M RAUM and 1 advisory reps. IAPD ↗
$258.1M RAUM · 1 reps · 208-468-3600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PRINCIPLED WEALTH ADVISORS, LLC (COVINGTON, KY) is newly SEC-registered with $252.1M RAUM and 2 advisory reps. IAPD ↗
$252.1M RAUM · 2 reps · 859-957-2737 · principledwealth.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
AG DILLON ASSET MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $262.0M RAUM and 1 advisory reps. IAPD ↗
$262.0M RAUM · 1 reps · +1 347 642 2640 · agdillon.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
VISTAMARK INVESTMENTS (HINSDALE, IL) is newly SEC-registered with $317.2M RAUM and 4 advisory reps. IAPD ↗
$317.2M RAUM · 4 reps · 312-498-5703 · vistamarkllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
REMEDIUM CAPITAL PARTNERS (WEST PALM BEACH, FL) is newly SEC-registered with $319.0M RAUM and 1 advisory reps. IAPD ↗
$319.0M RAUM · 1 reps · 305.851.6223 · remediumcp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BULLETPROOF CAPITAL, LLC (CHICAGO, IL) is newly SEC-registered with $575.8M RAUM and 4 advisory reps. IAPD ↗
$575.8M RAUM · 4 reps · 847-922-7460 · bulletproof-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
DAHER CAPITAL GROUP, LLC (JUPITER, FL) is newly SEC-registered with $490.0M RAUM and 0 advisory reps. IAPD ↗
$490.0M RAUM · 0 reps · 561-422-0160
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J K R & COMPANY, INC. (VAN NUYS, CA) is newly SEC-registered with $136.3M RAUM and 5 advisory reps. IAPD ↗
$136.3M RAUM · 5 reps · 818-781-7721 · jkrco.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DEMERS FINANCIAL PLANNING (COLUMBUS, OH) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 614-451-4505
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PAVLIC INVESTMENT ADVISORS, INC. (DELAFIELD, WI) is newly SEC-registered with $108.8M RAUM and 2 advisory reps. IAPD ↗
$108.8M RAUM · 2 reps · 262-646-4300
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 189 more in the CSV export.

Compliance 433 firms

98
PROFITS PLUS CAPITAL MANAGEMENT, LLC (NAMPA, ID) is newly SEC-registered with $258.1M RAUM and 1 advisory reps. IAPD ↗
$258.1M RAUM · 1 reps · 208-468-3600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PRINCIPLED WEALTH ADVISORS, LLC (COVINGTON, KY) is newly SEC-registered with $252.1M RAUM and 2 advisory reps. IAPD ↗
$252.1M RAUM · 2 reps · 859-957-2737 · principledwealth.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
AG DILLON ASSET MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $262.0M RAUM and 1 advisory reps. IAPD ↗
$262.0M RAUM · 1 reps · +1 347 642 2640 · agdillon.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
VISTAMARK INVESTMENTS (HINSDALE, IL) is newly SEC-registered with $317.2M RAUM and 4 advisory reps. IAPD ↗
$317.2M RAUM · 4 reps · 312-498-5703 · vistamarkllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
REMEDIUM CAPITAL PARTNERS (WEST PALM BEACH, FL) is newly SEC-registered with $319.0M RAUM and 1 advisory reps. IAPD ↗
$319.0M RAUM · 1 reps · 305.851.6223 · remediumcp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BULLETPROOF CAPITAL, LLC (CHICAGO, IL) is newly SEC-registered with $575.8M RAUM and 4 advisory reps. IAPD ↗
$575.8M RAUM · 4 reps · 847-922-7460 · bulletproof-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
DAHER CAPITAL GROUP, LLC (JUPITER, FL) is newly SEC-registered with $490.0M RAUM and 0 advisory reps. IAPD ↗
$490.0M RAUM · 0 reps · 561-422-0160
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J K R & COMPANY, INC. (VAN NUYS, CA) is newly SEC-registered with $136.3M RAUM and 5 advisory reps. IAPD ↗
$136.3M RAUM · 5 reps · 818-781-7721 · jkrco.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DEMERS FINANCIAL PLANNING (COLUMBUS, OH) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 614-451-4505
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PAVLIC INVESTMENT ADVISORS, INC. (DELAFIELD, WI) is newly SEC-registered with $108.8M RAUM and 2 advisory reps. IAPD ↗
$108.8M RAUM · 2 reps · 262-646-4300
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 423 more in the CSV export.

Portfolio / reporting / TAMP 169 firms

98
PROFITS PLUS CAPITAL MANAGEMENT, LLC (NAMPA, ID) is newly SEC-registered with $258.1M RAUM and 1 advisory reps. IAPD ↗
$258.1M RAUM · 1 reps · 208-468-3600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PRINCIPLED WEALTH ADVISORS, LLC (COVINGTON, KY) is newly SEC-registered with $252.1M RAUM and 2 advisory reps. IAPD ↗
$252.1M RAUM · 2 reps · 859-957-2737 · principledwealth.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
AG DILLON ASSET MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $262.0M RAUM and 1 advisory reps. IAPD ↗
$262.0M RAUM · 1 reps · +1 347 642 2640 · agdillon.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
VISTAMARK INVESTMENTS (HINSDALE, IL) is newly SEC-registered with $317.2M RAUM and 4 advisory reps. IAPD ↗
$317.2M RAUM · 4 reps · 312-498-5703 · vistamarkllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
REMEDIUM CAPITAL PARTNERS (WEST PALM BEACH, FL) is newly SEC-registered with $319.0M RAUM and 1 advisory reps. IAPD ↗
$319.0M RAUM · 1 reps · 305.851.6223 · remediumcp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BULLETPROOF CAPITAL, LLC (CHICAGO, IL) is newly SEC-registered with $575.8M RAUM and 4 advisory reps. IAPD ↗
$575.8M RAUM · 4 reps · 847-922-7460 · bulletproof-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
DAHER CAPITAL GROUP, LLC (JUPITER, FL) is newly SEC-registered with $490.0M RAUM and 0 advisory reps. IAPD ↗
$490.0M RAUM · 0 reps · 561-422-0160
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J K R & COMPANY, INC. (VAN NUYS, CA) is newly SEC-registered with $136.3M RAUM and 5 advisory reps. IAPD ↗
$136.3M RAUM · 5 reps · 818-781-7721 · jkrco.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DEMERS FINANCIAL PLANNING (COLUMBUS, OH) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 614-451-4505
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PAVLIC INVESTMENT ADVISORS, INC. (DELAFIELD, WI) is newly SEC-registered with $108.8M RAUM and 2 advisory reps. IAPD ↗
$108.8M RAUM · 2 reps · 262-646-4300
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 159 more in the CSV export.

Custodian 141 firms

98
PROFITS PLUS CAPITAL MANAGEMENT, LLC (NAMPA, ID) is newly SEC-registered with $258.1M RAUM and 1 advisory reps. IAPD ↗
$258.1M RAUM · 1 reps · 208-468-3600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PRINCIPLED WEALTH ADVISORS, LLC (COVINGTON, KY) is newly SEC-registered with $252.1M RAUM and 2 advisory reps. IAPD ↗
$252.1M RAUM · 2 reps · 859-957-2737 · principledwealth.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
AG DILLON ASSET MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $262.0M RAUM and 1 advisory reps. IAPD ↗
$262.0M RAUM · 1 reps · +1 347 642 2640 · agdillon.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
VISTAMARK INVESTMENTS (HINSDALE, IL) is newly SEC-registered with $317.2M RAUM and 4 advisory reps. IAPD ↗
$317.2M RAUM · 4 reps · 312-498-5703 · vistamarkllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
REMEDIUM CAPITAL PARTNERS (WEST PALM BEACH, FL) is newly SEC-registered with $319.0M RAUM and 1 advisory reps. IAPD ↗
$319.0M RAUM · 1 reps · 305.851.6223 · remediumcp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BULLETPROOF CAPITAL, LLC (CHICAGO, IL) is newly SEC-registered with $575.8M RAUM and 4 advisory reps. IAPD ↗
$575.8M RAUM · 4 reps · 847-922-7460 · bulletproof-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
DAHER CAPITAL GROUP, LLC (JUPITER, FL) is newly SEC-registered with $490.0M RAUM and 0 advisory reps. IAPD ↗
$490.0M RAUM · 0 reps · 561-422-0160
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J K R & COMPANY, INC. (VAN NUYS, CA) is newly SEC-registered with $136.3M RAUM and 5 advisory reps. IAPD ↗
$136.3M RAUM · 5 reps · 818-781-7721 · jkrco.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DEMERS FINANCIAL PLANNING (COLUMBUS, OH) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 614-451-4505
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PAVLIC INVESTMENT ADVISORS, INC. (DELAFIELD, WI) is newly SEC-registered with $108.8M RAUM and 2 advisory reps. IAPD ↗
$108.8M RAUM · 2 reps · 262-646-4300
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 131 more in the CSV export.

Marketing & brand 415 firms

98
PROFITS PLUS CAPITAL MANAGEMENT, LLC (NAMPA, ID) is newly SEC-registered with $258.1M RAUM and 1 advisory reps. IAPD ↗
$258.1M RAUM · 1 reps · 208-468-3600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PRINCIPLED WEALTH ADVISORS, LLC (COVINGTON, KY) is newly SEC-registered with $252.1M RAUM and 2 advisory reps. IAPD ↗
$252.1M RAUM · 2 reps · 859-957-2737 · principledwealth.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
AG DILLON ASSET MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $262.0M RAUM and 1 advisory reps. IAPD ↗
$262.0M RAUM · 1 reps · +1 347 642 2640 · agdillon.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
VISTAMARK INVESTMENTS (HINSDALE, IL) is newly SEC-registered with $317.2M RAUM and 4 advisory reps. IAPD ↗
$317.2M RAUM · 4 reps · 312-498-5703 · vistamarkllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
REMEDIUM CAPITAL PARTNERS (WEST PALM BEACH, FL) is newly SEC-registered with $319.0M RAUM and 1 advisory reps. IAPD ↗
$319.0M RAUM · 1 reps · 305.851.6223 · remediumcp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BULLETPROOF CAPITAL, LLC (CHICAGO, IL) is newly SEC-registered with $575.8M RAUM and 4 advisory reps. IAPD ↗
$575.8M RAUM · 4 reps · 847-922-7460 · bulletproof-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
DAHER CAPITAL GROUP, LLC (JUPITER, FL) is newly SEC-registered with $490.0M RAUM and 0 advisory reps. IAPD ↗
$490.0M RAUM · 0 reps · 561-422-0160
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J K R & COMPANY, INC. (VAN NUYS, CA) is newly SEC-registered with $136.3M RAUM and 5 advisory reps. IAPD ↗
$136.3M RAUM · 5 reps · 818-781-7721 · jkrco.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DEMERS FINANCIAL PLANNING (COLUMBUS, OH) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 614-451-4505
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PAVLIC INVESTMENT ADVISORS, INC. (DELAFIELD, WI) is newly SEC-registered with $108.8M RAUM and 2 advisory reps. IAPD ↗
$108.8M RAUM · 2 reps · 262-646-4300
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 405 more in the CSV export.

Recruiting & transitions 138 firms

83
ADVISORY SOLUTIONS GROUP grew from 4 to 33 advisory reps. IAPD ↗
$408.4M RAUM · 33 reps · 763-417-1700 · advisorysolutions.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
UMB PRIVATE WEALTH MANAGEMENT, LLC grew from 1 to 41 advisory reps. IAPD ↗
$68.4M RAUM · 41 reps · 816-860-7000 · umb.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
BLACKRIDGE ASSET MANAGEMENT, LLC grew from 59 to 67 advisory reps. IAPD ↗
$370.3M RAUM · 67 reps · 561-641-5050
CRMRecruiting & transitionsComplianceFinancial planning software
74
EVANSON FINANCIAL, LLC DBA EVANSON ASSET MANAGEMENT grew from 4 to 8 advisory reps. IAPD ↗
$5.85B RAUM · 8 reps · 831-333-2060 · evansonasset.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
KINETIC INVESTMENT MANAGEMENT, INC. grew from 24 to 29 advisory reps. IAPD ↗
$450.9M RAUM · 29 reps · (800) 711-4818
CRMRecruiting & transitionsComplianceFinancial planning software
73
TBG-BEDFORD GROUP LLC grew from 1 to 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · (314) 957-5737
CRMRecruiting & transitionsComplianceFinancial planning software
72
COHEN CAPITAL grew from 5 to 7 advisory reps. IAPD ↗
$1.10B RAUM · 7 reps · (312) 477-3155 · coheninvest.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
ALPHA ZERO LLC grew from 8 to 11 advisory reps. IAPD ↗
$269.8M RAUM · 11 reps · (561) 576-2599 · alphazerowealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
LONESTAR REGISTERED INVESTMENT ADVISORS, PLLC grew from 9 to 11 advisory reps. IAPD ↗
$274.0M RAUM · 11 reps · 866-785-5350 · retirewithlonestar.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
ARCADIA WEALTH MANAGEMENT, LLC grew from 9 to 11 advisory reps. IAPD ↗
$445.5M RAUM · 11 reps · 603-681-9190
CRMRecruiting & transitionsComplianceFinancial planning software

…and 128 more in the CSV export.

Integration & migration consulting 5 firms

85
WORLD EQUITY GROUP, INC. crossed $1B in regulatory AUM ($944.8M -> $1.00B). IAPD ↗
$1.00B RAUM · 52 reps · 847-342-1700 · worldequitygroup.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
BRILLIANT ADVICE, LLC crossed $500M in regulatory AUM ($384.1M -> $569.5M). IAPD ↗
$569.5M RAUM · 2 reps · 513-703-2100
Portfolio / reporting / TAMPCRMIntegration & migration consulting
45
DIAMOND HILL CAPITAL MANAGEMENT INC filed an Item 4A succession naming DIAMOND HILL CAPITAL MANAGEMENT INC (CRD 110638) — an entity change, not a deal. IAPD ↗
$29.38B RAUM · 42 reps · 614-255-3333 · diamond-hill.com
Integration & migration consultingCompliance
45
ACORN FINANCIAL ADVISORY SERVICES, INC. filed an Item 4A succession naming ACORN FINANCIAL ADVISORY SERVICES, INC. (CRD 116763) — an entity change, not a deal. IAPD ↗
$1.40B RAUM · 11 reps · (703) 293-3100 · acorn-financial.com
Integration & migration consultingCompliance
40
BERLA INVESTMENT CONSULTING filed an Item 4A succession naming BERLA INVESTMENT CONSULTING (CRD 112847) — an entity change, not a deal. IAPD ↗
$0 RAUM · 2 reps · 925-947-0326 · berlainv.com
Integration & migration consultingCompliance

Fund administration 4 firms

75
HOOD RIVER CAPITAL MANAGEMENT LLC now reports 1 private fund(s) ($10.7M gross). IAPD ↗
$9.45B RAUM · 20 reps · 561-484-5699
Fund administrationCompliance
75
PREMIER PATH WEALTH PARTNERS, LLC now reports 1 private fund(s) ($0 gross). IAPD ↗
$1.22B RAUM · 5 reps · 973-671-6530
Fund administrationCompliance
70
LANE GENERATIONAL LLC now reports 1 private fund(s) ($0 gross). IAPD ↗
$139.3M RAUM · 2 reps · 617-865-3949 · lanegenerational.com
Fund administrationCompliance
70
PEAK ALTITUDE PARTNERS, LP now reports 1 private fund(s) ($4.2M gross). IAPD ↗
$68.1M RAUM · 4 reps · 212-970-6451 · peakalts.com
Fund administrationCompliance

Office IT & facilities 95 firms

55
MANNING & NAPIER ADVISORS, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$17.03B RAUM · 159 reps · 585-325-6880
Office IT & facilitiesCRMRecruiting & transitions
55
F L PUTNAM INVESTMENT MANAGEMENT CO. added office(s): 12 -> 13 additional locations. IAPD ↗
$9.72B RAUM · 90 reps · 800-344-3435 · flputnam.com
Office IT & facilitiesCRMRecruiting & transitions
55
PLANCORP, LLC added office(s): 8 -> 10 additional locations. IAPD ↗
$9.94B RAUM · 50 reps · (636) 532-7824
Office IT & facilitiesCRMRecruiting & transitions
55
BRIGHTON JONES LLC added office(s): 24 -> 31 additional locations. IAPD ↗
$18.88B RAUM · 156 reps · 206-258-5000 · blueprintcap.com
Office IT & facilitiesCRMRecruiting & transitions
55
IMA ADVISORY SERVICES, INC. added office(s): 6 -> 7 additional locations. IAPD ↗
$3.90B RAUM · 40 reps · 316-266-6574
Office IT & facilitiesCRMRecruiting & transitions
55
CRA FINANCIAL SERVICES, L.L.C. added office(s): 0 -> 1 additional locations. IAPD ↗
$1.69B RAUM · 11 reps · 609-380-3500
Office IT & facilitiesCRMRecruiting & transitions
55
CS PLANNING CORP added office(s): 33 -> 36 additional locations. IAPD ↗
$1.96B RAUM · 49 reps · 503-292-5853
Office IT & facilitiesCRMRecruiting & transitions
55
GALVIN, GAUSTAD & STEIN, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$1.35B RAUM · 17 reps · 480-776-1445 · ggsadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
GEOMETRIC WEALTH ADVISORS, LLC added office(s): 8 -> 9 additional locations. IAPD ↗
$1.33B RAUM · 9 reps · (973) 525-4901
Office IT & facilitiesCRMRecruiting & transitions
55
LIBERTY WEALTH MANAGEMENT, LLC added office(s): 6 -> 8 additional locations. IAPD ↗
$1.73B RAUM · 23 reps · 510-903-5489
Office IT & facilitiesCRMRecruiting & transitions

…and 85 more in the CSV export.

M&A & valuation 43 firms

65
GFP PRIVATE WEALTH (CLEVELAND, OH) left the SEC roster (was $1.35B RAUM, 18 reps). IAPD ↗
$1.35B RAUM · 18 reps · 833-309-9900
Recruiting & transitionsM&A & valuation
65
MORETON ASSET MANAGEMENT, LLC (FARMINGTON, UT) left the SEC roster (was $4.71B RAUM, 5 reps). IAPD ↗
$4.71B RAUM · 5 reps · 801-869-4200 · moretonadvisors.com
Recruiting & transitionsM&A & valuation
65
EVANSON ASSET MANAGEMENT, LLC (location n/a) left the SEC roster (was $5.91B RAUM, 4 reps). IAPD ↗
$5.91B RAUM · 4 reps · 831-333-2060 · evansonasset.com
Recruiting & transitionsM&A & valuation
65
TRUWEALTH ADVISORS, LLC (METAIRIE, LA) left the SEC roster (was $3.05B RAUM, 14 reps). IAPD ↗
$3.05B RAUM · 14 reps · 504-779-7799
Recruiting & transitionsM&A & valuation
65
BROOKLYN INVESTMENT GROUP, LLC (NEW YORK, NY) left the SEC roster (was $3.98B RAUM, 9 reps). IAPD ↗
$3.98B RAUM · 9 reps · 617-319-7229
Recruiting & transitionsM&A & valuation
63
ARCADIA INVESTMENT MANAGEMENT CORP (KALAMAZOO, MI) left the SEC roster (was $697.3M RAUM, 3 reps). IAPD ↗
$697.3M RAUM · 3 reps · 269/349-0800 · arcimc.com
Recruiting & transitionsM&A & valuation
63
FINANCIAL CONNECTIONS GROUP, INC. (LARKSPUR, CA) left the SEC roster (was $624.6M RAUM, 3 reps). IAPD ↗
$624.6M RAUM · 3 reps · 415-924-1091
Recruiting & transitionsM&A & valuation
63
PERRITT CAPITAL MANAGEMENT INC (CHICAGO, IL) left the SEC roster (was $279.8M RAUM, 3 reps). IAPD ↗
$279.8M RAUM · 3 reps · 312-669-1650
Recruiting & transitionsM&A & valuation
63
MARIN FINANCIAL ADVISORS LLC (LARKSPUR, CA) left the SEC roster (was $388.8M RAUM, 1 reps). IAPD ↗
$388.8M RAUM · 1 reps · 415-925-1212 · marinfa.com
Recruiting & transitionsM&A & valuation
63
MARMO FINANCIAL GROUP, LLC (JOHNSON CITY, TN) left the SEC roster (was $295.2M RAUM, 3 reps). IAPD ↗
$295.2M RAUM · 3 reps · 423-282-0514
Recruiting & transitionsM&A & valuation

…and 33 more in the CSV export.

Everything else — all segments

state expansion — 219 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
LINDEN THOMAS ADVISORY SERVICES, LLC notice-filed in AZ, CO, KY, MA, PA. IAPD ↗
$1.77B RAUM · 8 reps · (704) 554-8150 · lindenthomas.com
ComplianceMarketing & brand
55
ASCENTIS INDEPENDENT ADVISORS, LLC notice-filed in AL, IN, KY, LA, MD, NE, VT, WV. IAPD ↗
$2.09B RAUM · 39 reps · 866-273-1563 · marshallwealthadvisors.com
ComplianceMarketing & brand
53
CORE PLANNING notice-filed in CO, DC, IA, IN, LA, MA, MS, NH, OH, WV. IAPD ↗
$525.0M RAUM · 61 reps · 636-734-7507 · reninvestmentadviser.com
ComplianceMarketing & brand
53
BUSKA WEALTH MANAGEMENT, LLC notice-filed in CA, IL, MI, MN, NH, TN, TX. IAPD ↗
$538.7M RAUM · 8 reps · 715-355-4445 · buskabook.com
ComplianceMarketing & brand
53
GRANITE BAY WEALTH MANAGEMENT, LLC notice-filed in DC, LA, MD, MI, NJ, PA, VA. IAPD ↗
$588.0M RAUM · 6 reps · 603-610-8881
ComplianceMarketing & brand
53
WEALTHCARE CAPITAL PARTNERS, LLC notice-filed in CA, NJ, NM, TN, WV. IAPD ↗
$407.4M RAUM · 9 reps · 804.644.4711
ComplianceMarketing & brand
53
ARBORSTONE FINANCIAL, LLC notice-filed in AZ, CA, FL, ME, NY, SC, VA. IAPD ↗
$476.0M RAUM · 4 reps · 978-269-6344 · arborstonefinancial.com
ComplianceMarketing & brand
53
JC CAPITAL ADVISORS GROUP LLC notice-filed in AZ, CO, GA, IA, KS, MD, ME, MI, MN, NC, NJ, NM, NV, OH, OR, PA, SC, WI, WV. IAPD ↗
$263.0M RAUM · 1 reps · 203-889-3400 · jccapitaladvisors.com
ComplianceMarketing & brand
53
ADVISORY SOLUTIONS GROUP notice-filed in AK, AL, AR, CT, DC, DE, GA, HI, IA, ID, IN, KY, LA, MD, ME, MI, MO, MS, MT, ND, NH, NM, NV, OK, PA, RI, SD, TN, UT, VA, VT, WI, WV, WY. IAPD ↗
$408.4M RAUM · 33 reps · 763-417-1700 · advisorysolutions.com
ComplianceMarketing & brand
51
THE RETIREMENT PLANNING GROUP, LLC notice-filed in AK, ME, WY. IAPD ↗
$4.16B RAUM · 33 reps · 913-498-8898 · planningretirements.com
ComplianceMarketing & brand
51
KILEY JUERGENS WEALTH MANAGEMENT, LLC notice-filed in MI, NE, UT. IAPD ↗
$2.20B RAUM · 6 reps · 360-350-4747 · kj-wm.com
ComplianceMarketing & brand
50
PROVIDENCE FINANCIAL AND INSURANCES, INC. notice-filed in AZ, CO, FL, NE, NH, NV, TN, TX. IAPD ↗
$215.0M RAUM · 6 reps · 818-887-6443 · providencefinancialradio.com
ComplianceMarketing & brand
50
INSIGHT FINANCIAL SERVICES notice-filed in AZ, CA, IA, IL, NC, OH. IAPD ↗
$213.8M RAUM · 6 reps · 913-402-2020 · ifsadvisors.com
ComplianceMarketing & brand
50
CORNERSTONE ADVISORS LLC notice-filed in AL, CO, FL, ID, KS, MO, MS, MT, TN, WY. IAPD ↗
$7.2M RAUM · 7 reps · 501-943-7132
ComplianceMarketing & brand
50
KRAKEN ADVISER LLC notice-filed in AK, AL, AR, AZ, CA, CO, CT, DC, DE, 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 ↗
$377 RAUM · 5 reps · 888-837-8818
ComplianceMarketing & brand
50
VANDALIA WEALTH notice-filed in CA, IN, MI, NJ, NY, OH, VA. IAPD ↗
$0 RAUM · 14 reps · 304-915-0260
ComplianceMarketing & brand
49
EVERHART ADVISORS notice-filed in ID, UT. IAPD ↗
$2.46B RAUM · 28 reps · 614-717-9705
ComplianceMarketing & brand
49
SMITH ASSET MANAGEMENT CO., LLC notice-filed in CA, IN, MT. IAPD ↗
$281.2M RAUM · 4 reps · 352-493-7700 · smithamco.com
ComplianceMarketing & brand
49
LONGVIEW WEALTH MANAGEMENT notice-filed in OK, UT. IAPD ↗
$1.15B RAUM · 13 reps · 404-843-3100
ComplianceMarketing & brand
49
GALVIN, GAUSTAD & STEIN, LLC notice-filed in MI, TN. IAPD ↗
$1.35B RAUM · 17 reps · 480-776-1445 · ggsadvisors.com
ComplianceMarketing & brand
49
SIGNAL ADVISORS WEALTH, LLC notice-filed in DE, GA. IAPD ↗
$1.69B RAUM · 37 reps · 1-866-774-4625
ComplianceMarketing & brand
49
MADISON PARTNERS notice-filed in VT, WV. IAPD ↗
$1.30B RAUM · 17 reps · 608-210-1021
ComplianceMarketing & brand
49
DISCIPLINE WEALTH SOLUTIONS, INC. notice-filed in AR, KS, MT. IAPD ↗
$746.7M RAUM · 18 reps · 864-322-6046 · lindedin.com
ComplianceMarketing & brand
49
SYNTEGRA PRIVATE WEALTH GROUP LLC notice-filed in UT, VA. IAPD ↗
$1.39B RAUM · 13 reps · 314-802-7232
ComplianceMarketing & brand
49
PCM ENCORE, LLC notice-filed in IL, NJ. IAPD ↗
$1.94B RAUM · 6 reps · 425-214-1755
ComplianceMarketing & brand
49
TRITONPOINT PARTNERS, LLC notice-filed in IN, NJ, TX. IAPD ↗
$286.5M RAUM · 3 reps · 301-799-9001
ComplianceMarketing & brand
47
SHELTON CAPITAL MANAGEMENT notice-filed in OH. IAPD ↗
$6.52B RAUM · 23 reps · 800-955-9988 · shelton401k.com
ComplianceMarketing & brand
47
PLANCORP, LLC notice-filed in UT. IAPD ↗
$9.94B RAUM · 50 reps · (636) 532-7824
ComplianceMarketing & brand
47
CJM WEALTH ADVISERS, LTD. notice-filed in WV. IAPD ↗
$1.47B RAUM · 11 reps · 703-425-0700
ComplianceMarketing & brand
47
CALIFORNIA FINANCIAL ADVISORS notice-filed in IL. IAPD ↗
$2.26B RAUM · 14 reps · 925.275.1000
ComplianceMarketing & brand
47
WELCH & FORBES LLC notice-filed in LA. IAPD ↗
$9.90B RAUM · 12 reps · 617-523-1635 · welchforbes.com
ComplianceMarketing & brand
47
SAGE FINANCIAL GROUP INC. notice-filed in LA. IAPD ↗
$4.29B RAUM · 21 reps · 484-342-4400
ComplianceMarketing & brand
47
FINANCIAL SYMMETRY INC. notice-filed in MA. IAPD ↗
$1.54B RAUM · 15 reps · 919-851-8200 · financialsymmetry.com
ComplianceMarketing & brand
47
SAX WEALTH ADVISORS, LLC notice-filed in TN. IAPD ↗
$3.60B RAUM · 37 reps · 973-859-2199
ComplianceMarketing & brand
47
SAXONY CAPITAL MANAGEMENT, LLC notice-filed in NH, OR. IAPD ↗
$367.9M RAUM · 0 reps · 314-963-9336
ComplianceMarketing & brand
47
MIDWEST CAPITAL ADVISORS, LLC notice-filed in TX. IAPD ↗
$1.36B RAUM · 8 reps · 616-454-9600
ComplianceMarketing & brand
47
KLINGMAN AND ASSOCIATES, LLC notice-filed in OH. IAPD ↗
$5.66B RAUM · 14 reps · 212-867-7647 · klingmanria.com
ComplianceMarketing & brand
47
ABACUS WEALTH PARTNERS notice-filed in SD. IAPD ↗
$3.58B RAUM · 37 reps · 888-422-2287 · doneby60.com
ComplianceMarketing & brand
47
MCF ADVISORS, LLC notice-filed in KS. IAPD ↗
$4.68B RAUM · 30 reps · 859-967-0999
ComplianceMarketing & brand
47
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE notice-filed in FL, IA. IAPD ↗
$349.6M RAUM · 8 reps · 858-546-1046 · superiorplanning.com
ComplianceMarketing & brand
47
OMNISTAR FINANCIAL GROUP, INC. notice-filed in MA, VA. IAPD ↗
$285.7M RAUM · 5 reps · 910-319-7834
ComplianceMarketing & brand
47
CLEARWATER CAPITAL PARTNERS notice-filed in MA. IAPD ↗
$1.68B RAUM · 15 reps · 847-841-8650
ComplianceMarketing & brand
47
CMH WEALTH MANAGEMENT, LLC notice-filed in IL, MD. IAPD ↗
$813.4M RAUM · 7 reps · (603) 379-8161
ComplianceMarketing & brand
47
INTEGRITY INVESTMENT ADVISORS notice-filed in NC, WA. IAPD ↗
$394.3M RAUM · 2 reps · 303-549-4720
ComplianceMarketing & brand
47
NAPLES GLOBAL ADVISORS notice-filed in CA. IAPD ↗
$2.00B RAUM · 11 reps · 239-776-7900 · verobeachglobaladvisors.com
ComplianceMarketing & brand
47
DE GROOTE FINANCIAL GROUP, LLC notice-filed in UT. IAPD ↗
$1.22B RAUM · 3 reps · (805) 230-0111
ComplianceMarketing & brand
47
WRENNE FINANCIAL PLANNING LLC notice-filed in NE, NJ. IAPD ↗
$297.9M RAUM · 6 reps · 859-538-6044
ComplianceMarketing & brand
47
CAPTRUST notice-filed in VI. IAPD ↗
$1236.70B RAUM · 885 reps · 919-870-6822
ComplianceMarketing & brand
47
SUMMIT TRAIL ADVISORS, LLC notice-filed in DC. IAPD ↗
$19.94B RAUM · 31 reps · 212-812-7010 · summittrail.com
ComplianceMarketing & brand
47
BALBOA WEALTH PARTNERS, INC. notice-filed in GA. IAPD ↗
$1.07B RAUM · 25 reps · 480-801-5010 · gregoryday.com
ComplianceMarketing & brand
47
INTEGRITY ADVISORY SOLUTIONS notice-filed in RI. IAPD ↗
$1.10B RAUM · 108 reps · (214) 919-2165 · integritywealthsolutions.com
ComplianceMarketing & brand
47
VALUEWEALTH SERVICES, LLC notice-filed in CO, IL. IAPD ↗
$319.0M RAUM · 4 reps · 410-286-9230 · valuewealthservices.com
ComplianceMarketing & brand
47
SERENITY INVESTMENT ADVISORS notice-filed in GA, PA. IAPD ↗
$513.6M RAUM · 5 reps · 312-734-1415 · serenitywm.com
ComplianceMarketing & brand
47
NAVITER WEALTH, LLC notice-filed in KY. IAPD ↗
$1.60B RAUM · 13 reps · (501) 333-9800 · naviterwealth.com
ComplianceMarketing & brand
47
MOMENT PRIVATE WEALTH notice-filed in IL, LA. IAPD ↗
$357.2M RAUM · 6 reps · (636) 591-1050 · momentprivatewealth.com
ComplianceMarketing & brand
47
ALLIANCE WEALTH ADVISORS, LLC notice-filed in AK, VA. IAPD ↗
$552.0M RAUM · 7 reps · 801-683-6000
ComplianceMarketing & brand
47
PEAK RETIREMENT PLANNING, INC. notice-filed in NV, TN. IAPD ↗
$631.0M RAUM · 16 reps · (614) 500-4121
ComplianceMarketing & brand
47
OPAL CAPITAL LLC notice-filed in MD, VA. IAPD ↗
$348.3M RAUM · 6 reps · 917-716-6257
ComplianceMarketing & brand
47
COREVISION FINANCIAL GROUP notice-filed in NH. IAPD ↗
$1.15B RAUM · 6 reps · 317-398-8200
ComplianceMarketing & brand
47
BBVA GLOBAL WEALTH ADVISORS, INC. notice-filed in DE. IAPD ↗
$1.36B RAUM · 29 reps · 3052057752 · bbvaglobalwealthadvisors.com
ComplianceMarketing & brand
47
WAVVEST WEALTH notice-filed in CA, OH. IAPD ↗
$268.5M RAUM · 3 reps · 630-699-8602
ComplianceMarketing & brand
47
PRASAD WEALTH PARTNERS notice-filed in AZ, MA. IAPD ↗
$572.1M RAUM · 5 reps · 216-313-9999
ComplianceMarketing & brand
47
ELEVATED FINANCIAL GROUP notice-filed in NJ, NY. IAPD ↗
$532.0M RAUM · 8 reps · 317-533-7721
ComplianceMarketing & brand
46
SETARCOS WEALTH ADVISORS LLC notice-filed in CA, GA, TX. IAPD ↗
$111.7M RAUM · 2 reps · 267-504-4905
ComplianceMarketing & brand
46
BOLDIN ADVISORS notice-filed in ID, ME, UT. IAPD ↗
$0 RAUM · 14 reps · 415-462-5665
ComplianceMarketing & brand
46
SOLYCO WEALTH LLC notice-filed in IL, MD, NC. IAPD ↗
$116.2M RAUM · 5 reps · 713-444-3560
ComplianceMarketing & brand
46
DOMAIN MONEY ADVISORS, LLC notice-filed in KS, KY, NH. IAPD ↗
$43.3M RAUM · 14 reps · 646-970-6926 · reddit.com
ComplianceMarketing & brand
46
KUCHARO WEALTH notice-filed in IL, KY, NE. IAPD ↗
$123.7M RAUM · 1 reps · 704.251.9550 · kucharowealth.com
ComplianceMarketing & brand
45
WESTERN FINANCIAL CORPORATION notice-filed in NV. IAPD ↗
$309.2M RAUM · 2 reps · 619-544-0260
ComplianceMarketing & brand
45
WEALTH MANAGEMENT RESOURCES, INC. notice-filed in NJ. IAPD ↗
$385.2M RAUM · 6 reps · (401) 356-1400 · wealthmanagers.com
ComplianceMarketing & brand
45
SEARCY FINANCIAL SERVICES, INC. notice-filed in ID. IAPD ↗
$514.0M RAUM · 9 reps · 913-814-3800 · searcyfinancial.com
ComplianceMarketing & brand
45
M.Z. KARK & ASSOCIATES, INC notice-filed in PA. IAPD ↗
$369.6M RAUM · 2 reps · 303-623-1818 · mzkark.com
ComplianceMarketing & brand
45
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC notice-filed in IN. IAPD ↗
$905.2M RAUM · 12 reps · 719-478-7036
ComplianceMarketing & brand
45
HORIZON INVESTMENT SERVICES, LLC. notice-filed in NY. IAPD ↗
$363.8M RAUM · 6 reps · 219-852-3215
ComplianceMarketing & brand
45
INVESTMENT MANAGEMENT ASSOCIATES notice-filed in CT. IAPD ↗
$810.0M RAUM · 4 reps · 303-796-8333
ComplianceMarketing & brand
45
INTREPID FINANCIAL PLANNING GROUP, LLC notice-filed in GA. IAPD ↗
$390.4M RAUM · 3 reps · 317-818-1776
ComplianceMarketing & brand
45
MADDEN ADVISORY SERVICES, INC. notice-filed in TN. IAPD ↗
$291.7M RAUM · 2 reps · 904-296-1127
ComplianceMarketing & brand
45
FINANCIAL SECURITY MANAGEMENT, INC notice-filed in MO. IAPD ↗
$611.5M RAUM · 7 reps · 303-988-1411 · fsm-inc.com
ComplianceMarketing & brand
45
MACRO ADVISORS, INC. notice-filed in DE. IAPD ↗
$370.9M RAUM · 8 reps · 717-764-4566 · macroadv.com
ComplianceMarketing & brand
45
ABSOLUTE CAPITAL MANAGEMENT, LLC notice-filed in NV. IAPD ↗
$554.0M RAUM · 2 reps · 412-388-1600 · abscapfunds.com
ComplianceMarketing & brand
45
PURKISS CAPITAL ADVISORS, LLC notice-filed in GA. IAPD ↗
$842.2M RAUM · 4 reps · (203) 431-5862 · pcapadvisors.com
ComplianceMarketing & brand
45
CRAVENS & COMPANY WEALTH MANAGEMENT notice-filed in FL. IAPD ↗
$311.1M RAUM · 3 reps · (931) 528-6865
ComplianceMarketing & brand
45
NORTHEAST PLANNING ASSOCIATES, INC. notice-filed in CT. IAPD ↗
$414.0M RAUM · 69 reps · (603) 471-0900 · paulhbrock.com
ComplianceMarketing & brand
45
PHOCAS FINANCIAL CORPORATION notice-filed in FL. IAPD ↗
$682.7M RAUM · 5 reps · 510-523-5800 · phocasfinancial.com
ComplianceMarketing & brand
45
BIGELOW INVESTMENT ADVISORS, LLC notice-filed in VA. IAPD ↗
$555.2M RAUM · 4 reps · 207-772-2900
ComplianceMarketing & brand
45
SCHEAR INVESTMENT ADVISERS, LLC notice-filed in KY. IAPD ↗
$268.8M RAUM · 3 reps · 513-984-5700
ComplianceMarketing & brand
45
LANTERN WEALTH ADVISORS, LLC notice-filed in UT. IAPD ↗
$319.9M RAUM · 26 reps · 631-454-2000 · heroldlantern.com
ComplianceMarketing & brand
45
ILLUMINATION WEALTH MANAGEMENT notice-filed in VA. IAPD ↗
$471.1M RAUM · 9 reps · 858-246-6855 · illuminationwealth.com
ComplianceMarketing & brand
45
VISIONARY HORIZONS, LLC notice-filed in NY. IAPD ↗
$396.7M RAUM · 12 reps · 865-675-8496
ComplianceMarketing & brand
45
FIRST FINANCIAL COACHING, INC. notice-filed in MD. IAPD ↗
$670.6M RAUM · 14 reps · 586-463-1880 · firstfinancialcoach.com
ComplianceMarketing & brand
45
LIFESTEPS FINANCIAL notice-filed in AL. IAPD ↗
$442.7M RAUM · 3 reps · 909-267-3770
ComplianceMarketing & brand
45
KIKER WEALTH MANAGEMENT, LLC notice-filed in MN. IAPD ↗
$395.1M RAUM · 4 reps · 706-253-7285 · kikerwealth.com
ComplianceMarketing & brand
45
COVENANT WEALTH ADVISORS notice-filed in MA. IAPD ↗
$909.6M RAUM · 12 reps · (804) 729-5265
ComplianceMarketing & brand
45
SEQUENT PLANNING, LLC notice-filed in RI. IAPD ↗
$589.5M RAUM · 76 reps · 402-953-3544
ComplianceMarketing & brand
45
MKT ADVISORS LLC notice-filed in TN. IAPD ↗
$463.7M RAUM · 4 reps · (760) 658-8780 · mktadvisorsllc.com
ComplianceMarketing & brand
45
EPIQ PARTNERS, LLC notice-filed in TX. IAPD ↗
$290.9M RAUM · 6 reps · (612) 843-4800
ComplianceMarketing & brand
45
ELMWOOD WEALTH MANAGEMENT notice-filed in WA. IAPD ↗
$477.9M RAUM · 4 reps · 510-858-2722 · plus.google.com
ComplianceMarketing & brand
45
CADENT CAPITAL ADVISORS, LLC notice-filed in TN. IAPD ↗
$785.8M RAUM · 11 reps · 918-935-3450 · cadcapital.com
ComplianceMarketing & brand
45
G&S CAPITAL LLC notice-filed in VA. IAPD ↗
$475.6M RAUM · 5 reps · 303-773-8000 · gandscapital.com
ComplianceMarketing & brand
45
UPSTART WEALTH MANAGEMENT, LLC notice-filed in CT. IAPD ↗
$385.9M RAUM · 4 reps · (415) 549-0646 · upstartwealth.com
ComplianceMarketing & brand
45
QUARTZ PARTNERS INVESTMENT MANAGEMENT notice-filed in NJ. IAPD ↗
$397.8M RAUM · 22 reps · 800-433-0422 · eticofinancial.com
ComplianceMarketing & brand
45
SIGHTLINE WEALTH ADVISORS, LLC notice-filed in VA. IAPD ↗
$354.2M RAUM · 4 reps · (860) 448-0611 · sightlinewa.com
ComplianceMarketing & brand
45
GRANITE HARBOR ADVISORS, INC. notice-filed in WI. IAPD ↗
$642.1M RAUM · 6 reps · 832-461-0789
ComplianceMarketing & brand
45
FORTHRIGHT WEALTH MANAGEMENT, LLC notice-filed in CO. IAPD ↗
$773.4M RAUM · 6 reps · 470-395-4749
ComplianceMarketing & brand
45
MIRAMONTES CAPITAL, LLC notice-filed in NY. IAPD ↗
$396.9M RAUM · 8 reps · 1-800-460-1595
ComplianceMarketing & brand
45
CASTLEVIEW PARTNERS, LLC notice-filed in UT. IAPD ↗
$416.9M RAUM · 12 reps · 214-710-1995 · castleviewpartners.com
ComplianceMarketing & brand
45
FWG INVESTMENTS, LLC notice-filed in MS. IAPD ↗
$349.0M RAUM · 10 reps · 859-309-0349 · thefamilywealthgroup.com
ComplianceMarketing & brand
45
RUNNING OAK CAPITAL LLC notice-filed in CA. IAPD ↗
$874.7M RAUM · 2 reps · 919-656-3712 · runningoak.com
ComplianceMarketing & brand
45
LIFEWORKS ADVISORS, LLC notice-filed in NV. IAPD ↗
$966.7M RAUM · 40 reps · (616) 200-6512
ComplianceMarketing & brand
45
LONGVIEW FINANCIAL ADVISORS, LLC notice-filed in VA. IAPD ↗
$383.9M RAUM · 2 reps · 415-256-7700
ComplianceMarketing & brand
45
MORTON BROWN FAMILY WEALTH LLC notice-filed in CA. IAPD ↗
$483.5M RAUM · 5 reps · 610-709-5072
ComplianceMarketing & brand
45
VAN CLEMENS WEALTH MANAGEMENT, LLC notice-filed in GA. IAPD ↗
$470.4M RAUM · 24 reps · 612-758-9140 · vanclemens.com
ComplianceMarketing & brand
45
FERGUSON SHAPIRO LLC notice-filed in SC. IAPD ↗
$415.2M RAUM · 5 reps · (404) 567-6771 · fergusonshapiro.com
ComplianceMarketing & brand
45
ACCRETIVE WEALTH PARTNERS, LLC notice-filed in NH. IAPD ↗
$504.5M RAUM · 3 reps · (973) 970-2627
ComplianceMarketing & brand
45
OPES WEALTH MANAGEMENT, LLC notice-filed in VA. IAPD ↗
$822.3M RAUM · 5 reps · 408-831-5800
ComplianceMarketing & brand
45
ECIO, INC. notice-filed in VA. IAPD ↗
$395.6M RAUM · 4 reps · 608-291-4646
ComplianceMarketing & brand
45
HOXTON WEALTH notice-filed in ME. IAPD ↗
$803.5M RAUM · 34 reps · 737-249-9620
ComplianceMarketing & brand
45
AMARA FINANCIAL, LLC notice-filed in MA. IAPD ↗
$250.5M RAUM · 2 reps · 415-319-1071 · amarafinancial.com
ComplianceMarketing & brand
45
THE INVICTUS COLLECTIVE, LLC notice-filed in MA. IAPD ↗
$476.0M RAUM · 2 reps · (866) 636-3468
ComplianceMarketing & brand
45
MISSION FINANCIAL GROUP, LLC notice-filed in MI. IAPD ↗
$310.9M RAUM · 5 reps · 808-445-9965 · missionfinancial.com
ComplianceMarketing & brand
45
WILON WEALTH MANAGEMENT notice-filed in SD. IAPD ↗
$264.1M RAUM · 5 reps · 515-225-9500
ComplianceMarketing & brand
45
FAITH INVESTOR SERVICES notice-filed in MN. IAPD ↗
$279.7M RAUM · 6 reps · 314-214-1404
ComplianceMarketing & brand
45
H. L. ORMOND & COMPANY, LLC notice-filed in GA. IAPD ↗
$401.4M RAUM · 4 reps · (252) 756-4010 · hlormond.com
ComplianceMarketing & brand
45
EMPOWER FINANCIAL ADVISORY, LLC notice-filed in PA. IAPD ↗
$635.8M RAUM · 4 reps · (860) 494-2600 · empowerfa.com
ComplianceMarketing & brand
45
FYRA CAPITAL MANAGEMENT notice-filed in KS. IAPD ↗
$504.2M RAUM · 7 reps · 636-573-1212 · fyracapital.com
ComplianceMarketing & brand
45
NOBLE FAMILY WEALTH notice-filed in CO. IAPD ↗
$527.5M RAUM · 5 reps · 727-674-1462 · noblefamilywealth.com
ComplianceMarketing & brand
45
GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC notice-filed in GA. IAPD ↗
$457.0M RAUM · 9 reps · 720-420-4870 · gwsa.us
ComplianceMarketing & brand
45
TRUEWEALTH FINANCIAL PARTNERS notice-filed in WI. IAPD ↗
$273.7M RAUM · 3 reps · 425-615-7360 · truewealthaz.com
ComplianceMarketing & brand
45
BLODGETT WEALTH ADVISORS, LLC notice-filed in ID. IAPD ↗
$250.9M RAUM · 2 reps · 801-707-0002 · blodgettwealth.com
ComplianceMarketing & brand
45
STEVENS CAPITAL PARTNERS notice-filed in LA. IAPD ↗
$600.7M RAUM · 10 reps · 402-251-5800 · mypurposefulwealth.com
ComplianceMarketing & brand
45
PORTFOLIO DESIGN LABS, LLC notice-filed in OR. IAPD ↗
$624.9M RAUM · 1 reps · 310-755-0411 · portfoliolabs.com
ComplianceMarketing & brand
45
UNIVERSAL FINANCIAL ADVISORS, LLC notice-filed in VA. IAPD ↗
$277.5M RAUM · 8 reps · 314-721-5522 · universaladvisorsgroup.com
ComplianceMarketing & brand
45
OXFORD WEALTH GROUP, LLC notice-filed in AL. IAPD ↗
$327.9M RAUM · 8 reps · 407-495-2004
ComplianceMarketing & brand
45
CENTRAL PINE CAPITAL, LLC notice-filed in FL. IAPD ↗
$332.4M RAUM · 3 reps · 212-430-1030
ComplianceMarketing & brand
45
IDB LIDO WEALTH, LLC notice-filed in TX. IAPD ↗
$478.4M RAUM · 9 reps · 646-839-9793 · idblidowealth.com
ComplianceMarketing & brand
45
DODDS WEALTH, LLC notice-filed in GA. IAPD ↗
$706.2M RAUM · 7 reps · 303-539-3900 · doddswealth.com
ComplianceMarketing & brand
45
EVEXIA WEALTH, LLC notice-filed in TN. IAPD ↗
$386.1M RAUM · 8 reps · (715) 344-9496
ComplianceMarketing & brand
45
MDRN CAPITAL notice-filed in KY. IAPD ↗
$338.6M RAUM · 22 reps · 410-533-9966
ComplianceMarketing & brand
45
LIFEGOAL INVESTMENTS, LLC notice-filed in PA. IAPD ↗
$356.0M RAUM · 5 reps · 607-434-0742
ComplianceMarketing & brand
45
RELATION WEALTH MANAGEMENT, INC. notice-filed in CO. IAPD ↗
$541.2M RAUM · 7 reps · (918) 999-9138 · relationwealth.com
ComplianceMarketing & brand
45
PARKWOODS WEALTH PARTNERS, LLC notice-filed in WA. IAPD ↗
$961.9M RAUM · 14 reps · (877) 278-2716 · parkwoods.com
ComplianceMarketing & brand
45
BERNICKE WEALTH MANAGEMENT notice-filed in CO. IAPD ↗
$887.4M RAUM · 6 reps · 715-832-1173
ComplianceMarketing & brand
45
TMB CAPITAL PARTNERS, LLC notice-filed in NY. IAPD ↗
$867.8M RAUM · 4 reps · 501-671-1140
ComplianceMarketing & brand
44
COLE WEALTH MANAGEMENT, LLC notice-filed in ID, WA. IAPD ↗
$181.1M RAUM · 4 reps · 480-275-6354 · colewealthmanagement.com
ComplianceMarketing & brand
44
LAUREATE WEALTH MANAGEMENT, LLC notice-filed in MN, TN. IAPD ↗
$121.9M RAUM · 4 reps · 312-300-6765 · laureate-wealth.com
ComplianceMarketing & brand
44
MPI WEALTH MANAGEMENT LLC notice-filed in FL, TX. IAPD ↗
$233.6M RAUM · 3 reps · 630-325-6900
ComplianceMarketing & brand
44
CITY DIFFERENT INVESTMENTS notice-filed in FL, OR. IAPD ↗
$244.4M RAUM · 9 reps · 505-416-4550
ComplianceMarketing & brand
44
VANQUOUR LLC notice-filed in CT, FL. IAPD ↗
$67.0M RAUM · 3 reps · (646) 797-1616 · vanquour.com
ComplianceMarketing & brand
44
ARTA FINANCE notice-filed in DE, SD. IAPD ↗
$153.4M RAUM · 18 reps · 650-318-3898
ComplianceMarketing & brand
44
CAPITAL AND PLANNING, LLC notice-filed in MO, WA. IAPD ↗
$193.9M RAUM · 2 reps · 678-519-5733 · capitalandplanning.com
ComplianceMarketing & brand
44
PELTOMA CAPITAL PARTNERS notice-filed in NC, OR. IAPD ↗
$168.9M RAUM · 3 reps · 937-416-5966
ComplianceMarketing & brand
44
HORIZON WEALTH notice-filed in CA, WY. IAPD ↗
$147.2M RAUM · 4 reps · 303-777-7124 · myhorizonwealth.com
ComplianceMarketing & brand
44
DOW FAMILY OFFICE ADVISORY, LLC notice-filed in CT, NJ. IAPD ↗
$0 RAUM · 2 reps · 207-200-2200
ComplianceMarketing & brand
42
CONTINENTAL INVESTORS SERVICES, INC. notice-filed in SD. IAPD ↗
$196.8M RAUM · 8 reps · 360-423-5110 · cisinvest.com
ComplianceMarketing & brand
42
SECURE PLANNING notice-filed in AZ. IAPD ↗
$187.0M RAUM · 3 reps · 603-433-5515
ComplianceMarketing & brand
42
SIGNIA CAPITAL MANAGEMENT notice-filed in TX. IAPD ↗
$109.4M RAUM · 2 reps · 509-789-8970 · signiacapital.com
ComplianceMarketing & brand
42
RMG ADVISORS notice-filed in WA. IAPD ↗
$200.5M RAUM · 3 reps · 301-838-4111
ComplianceMarketing & brand
42
KCD FINANCIAL, INC. notice-filed in AL. IAPD ↗
$202.1M RAUM · 27 reps · 920-347-3400 · kcdfinancial.com
ComplianceMarketing & brand
42
KENSINGTON FINANCIAL GROUP, INC. notice-filed in SC. IAPD ↗
$169.5M RAUM · 2 reps · 336-712-9743
ComplianceMarketing & brand
42
STEWARDSHIP FINANCIAL PLANNING notice-filed in TX. IAPD ↗
$65.5M RAUM · 1 reps · 914-380-1421 · stewardshipfp.com
ComplianceMarketing & brand
42
ALPHA PLANNING AND FINANCIAL SERVICES, INC. notice-filed in TX. IAPD ↗
$112.8M RAUM · 2 reps · 440-519-0300 · alphaplanners.com
ComplianceMarketing & brand
42
MCM WEALTH notice-filed in NJ. IAPD ↗
$170.8M RAUM · 6 reps · 844-626-4949 · mcmwealth.com
ComplianceMarketing & brand
42
WRIGHT PRIVATE ASSET MANAGEMENT LLC notice-filed in TN. IAPD ↗
$74.1M RAUM · 10 reps · 203-783-4400 · wrightpam.com
ComplianceMarketing & brand
42
CAMPBELL FINANCIAL PARTNERS, LLC notice-filed in TX. IAPD ↗
$202.7M RAUM · 2 reps · 239-454-5333 · campbellfinancialpartners.com
ComplianceMarketing & brand
42
J. FREEMAN & ASSOCIATES notice-filed in NH. IAPD ↗
$175.0M RAUM · 1 reps · 864-331-4400
ComplianceMarketing & brand
42
ORCA INVESTMENT MANAGEMENT, LLC notice-filed in NY. IAPD ↗
$211.7M RAUM · 3 reps · (503)582-9500 · orcaim.com
ComplianceMarketing & brand
42
VANNOY ADVISORY GROUP, INC. notice-filed in WA. IAPD ↗
$172.4M RAUM · 1 reps · 512-759-7759 · vannoyadvisorygroup.com
ComplianceMarketing & brand
42
ALLOS INVESTMENT ADVISORS, LLC notice-filed in ID. IAPD ↗
$73.6M RAUM · 9 reps · 913-948-7788
ComplianceMarketing & brand
42
BALANCED ROCK INVESTMENT ADVISORS notice-filed in NY. IAPD ↗
$193.2M RAUM · 4 reps · 617-971-8323 · yelp.com
ComplianceMarketing & brand
42
HIPPOCRATIC FINANCIAL ADVISORS notice-filed in NY. IAPD ↗
$229.0M RAUM · 5 reps · 866-447-2380
ComplianceMarketing & brand
42
PACIFIC EXCEL WEALTH ADVISORS, INC. notice-filed in TX. IAPD ↗
$110.8M RAUM · 1 reps · (925) 464-7445
ComplianceMarketing & brand
42
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC notice-filed in RI. IAPD ↗
$131.3M RAUM · 3 reps · 860-659-8299
ComplianceMarketing & brand
42
EPIC ADVISORY SERVICES CORP notice-filed in SD. IAPD ↗
$134.3M RAUM · 19 reps · 561-829-2173 · epiccapitalfl.com
ComplianceMarketing & brand
42
ALVIN CLAY FINANCIAL ADVISORS, LLC notice-filed in NJ. IAPD ↗
$186.6M RAUM · 5 reps · 267-626-2382 · alvinclay.com
ComplianceMarketing & brand
42
HELIUM ADVISORS LLC notice-filed in GA. IAPD ↗
$233.8M RAUM · 4 reps · (425) 214-1533
ComplianceMarketing & brand
42
COMPASS RETIREMENT GROUP LLC notice-filed in KS. IAPD ↗
$111.9M RAUM · 7 reps · 314-373-1598
ComplianceMarketing & brand
42
TESSARA WEALTH notice-filed in OH. IAPD ↗
$162.4M RAUM · 4 reps · 650-636-7526
ComplianceMarketing & brand
42
SEEDSAFE FINANCIAL LLC notice-filed in NY. IAPD ↗
$125.2M RAUM · 4 reps · 360-602-1274 · seedsafefinancial.com
ComplianceMarketing & brand
42
PMG WEALTH MANAGEMENT notice-filed in NH. IAPD ↗
$198.3M RAUM · 4 reps · 847-550-6100
ComplianceMarketing & brand
42
ELEVATE CAPITAL ADVISORS notice-filed in NV. IAPD ↗
$183.3M RAUM · 5 reps · 970-328-7526
ComplianceMarketing & brand
42
ACRYLIC FINANCIAL, INC. notice-filed in NJ. IAPD ↗
$73.5M RAUM · 21 reps · 833-422-7954 · acrylicfinancial.com
ComplianceMarketing & brand
42
BONFIRE FINANCIAL, LLC notice-filed in MN. IAPD ↗
$234.0M RAUM · 4 reps · 719-394-3900 · bonfirefinancial.com
ComplianceMarketing & brand
42
SAN BLAS ADVISORY, INC. notice-filed in PR. IAPD ↗
$218.9M RAUM · 9 reps · 404.704.0406 · thehendersonfinancialgroup.com
ComplianceMarketing & brand
42
SCHOLAR FINANCIAL ADVISING, LLC notice-filed in CT. IAPD ↗
$0 RAUM · 6 reps · (336) 360-6833
ComplianceMarketing & brand
42
ODYSSEY CAPITAL ADVISORS INC. notice-filed in TN. IAPD ↗
$189.2M RAUM · 4 reps · 484-278-4497 · odysseyadvice.com
ComplianceMarketing & brand
42
INFINITY FINANCIAL SERVICES ADVISORY notice-filed in PR. IAPD ↗
$174.0M RAUM · 35 reps · 510-588-8000 · infinitysecurities.com
ComplianceMarketing & brand
42
ALGORITHMIC INVESTMENT MODELS notice-filed in VI. IAPD ↗
$90.9M RAUM · 8 reps · 888-777-0535 · algomodels.com
ComplianceMarketing & brand
42
ILLUMINATE WEALTH MANAGEMENT notice-filed in VA. IAPD ↗
$167.6M RAUM · 2 reps · 847-595-1315 · illuminatewm.com
ComplianceMarketing & brand
42
WEIGELFAM notice-filed in ID. IAPD ↗
$64.3M RAUM · 1 reps · 646-872-0632
ComplianceMarketing & brand
42
BLOM & HOWELL FINANCIAL PLANNING, INC. notice-filed in IL. IAPD ↗
$161.5M RAUM · 2 reps · 209-857-5207
ComplianceMarketing & brand
42
CHARIS LEGACY PARTNERS notice-filed in AZ. IAPD ↗
$132.7M RAUM · 1 reps · 979-406-7875
ComplianceMarketing & brand
42
HEISTEN WRENN PRIVATE WEALTH, LLC notice-filed in LA. IAPD ↗
$231.8M RAUM · 2 reps · 907-222-6270 · heistenfinancial.com
ComplianceMarketing & brand
42
PEAK FINANCIAL PLANNING notice-filed in UT. IAPD ↗
$93.0M RAUM · 4 reps · (818) 600-6099 · thepeakfp.com
ComplianceMarketing & brand
42
VINCIMUS CAPITAL, LLC notice-filed in WA. IAPD ↗
$183.7M RAUM · 4 reps · 904.226.4946 · vincimus.com
ComplianceMarketing & brand
42
TOTAL WEALTH SOLUTIONS notice-filed in TX. IAPD ↗
$148.0M RAUM · 1 reps · (510) 252-0135 · onetws.com
ComplianceMarketing & brand
42
POINT NEMO CAPITAL, LLC notice-filed in LA. IAPD ↗
$103.8M RAUM · 3 reps · 713-858-7966 · pointnemocapital.com
ComplianceMarketing & brand
42
RIVERTREE WEALTH notice-filed in VA. IAPD ↗
$143.1M RAUM · 3 reps · (501) 500-0893 · rivertreewealth.com
ComplianceMarketing & brand
42
QUANTITATIVE FINANCIAL STRATEGIES notice-filed in TX. IAPD ↗
$156.2M RAUM · 2 reps · 714-300-5143 · quantitativefinancialstrategies.com
ComplianceMarketing & brand
42
VAN DIEST CAPITAL notice-filed in MO. IAPD ↗
$144.1M RAUM · 7 reps · 515-620-2085
ComplianceMarketing & brand
42
RISE NORTH CAPITAL INVESTMENT ADVISORS notice-filed in KS. IAPD ↗
$50.6M RAUM · 14 reps · (781) 519-6969
ComplianceMarketing & brand
42
CYNOSURE PORTFOLIO ADVISORS LLC notice-filed in CA. IAPD ↗
$5.8M RAUM · 7 reps · 801-521-3100 · cynosureportfolioadvisors.com
ComplianceMarketing & brand
42
MUSAFFA LLC notice-filed in NJ. IAPD ↗
$2,000 RAUM · 1 reps · 1 929-415-9392 · musaffa.com
ComplianceMarketing & brand
42
MCKINNEY CAPITAL MANAGEMENT notice-filed in MI. IAPD ↗
$246.1M RAUM · 2 reps · 713-888-0841
ComplianceMarketing & brand
42
BAYTRUST WEALTH MANAGEMENT, LLC notice-filed in CA. IAPD ↗
$97.7M RAUM · 1 reps · 813-820-0069 · baytrust.com
ComplianceMarketing & brand
42
CHAMBERLAIN LANE CAPITAL, LLC notice-filed in TX. IAPD ↗
$100.0M RAUM · 1 reps · 615-944-7116 · chamberlainlane.com
ComplianceMarketing & brand
42
SOONER PRIVATE FINANCIAL LLC notice-filed in MA. IAPD ↗
$0 RAUM · 3 reps · 603-321-6531
ComplianceMarketing & brand
42
GREG JENNINGS, LLC notice-filed in TX. IAPD ↗
$0 RAUM · 2 reps · 315-446-8720
ComplianceMarketing & brand
40
INFINITE GIVING ADVISORY SERVICES, INC. notice-filed in ID, KY, MO, NJ, NM, OR, SC, UT. IAPD ↗institutional
$112.8M RAUM · 6 reps · (888) 926-4483
ComplianceMarketing & brand
40
CHOREO PARTNER ALLIANCE, LLC notice-filed in KY, LA, MA, MI, SD. IAPD ↗institutional
$0 RAUM · 5 reps · 888-312-8467 · choreoadvisors.com
ComplianceMarketing & brand
37
SOUNDWATCH CAPITAL, LLC notice-filed in TX. IAPD ↗institutional
$1.02B RAUM · 4 reps · 646-442-9655 · soundwatchfunds.com
ComplianceMarketing & brand
37
NPPG PLAN PROFESSIONALS, LLC notice-filed in VI. IAPD ↗institutional
$6.27B RAUM · 2 reps · 732-758-1577 · nppg.com
ComplianceMarketing & brand
35
ICR PARTNERS notice-filed in KS. IAPD ↗institutional
$798.7M RAUM · 1 reps · (817) 854-3253
ComplianceMarketing & brand
32
ADVANTAGE CAPITAL MANAGEMENT notice-filed in FL. IAPD ↗fund
$8.26B RAUM · 26 reps · (332) 245 3563
ComplianceMarketing & brand
32
ATLANTIC UNION MUNICIPAL ADVISORS, INC notice-filed in NC. IAPD ↗institutional
$134.3M RAUM · 4 reps · 804-802-4955X6055 · vamint.com
ComplianceMarketing & brand
32
SIRENIA CAPITAL MANAGEMENT LP notice-filed in CT. IAPD ↗fund
$4.26B RAUM · 10 reps · 212-516-4765
ComplianceMarketing & brand
30
BARRAMUNDI ADVISORS LLC notice-filed in DE. IAPD ↗fund
$390.4M RAUM · 5 reps · 561-462-1200
ComplianceMarketing & brand
21
1832 ASSET MANAGEMENT U.S. INC. notice-filed in IN, ME, ND. IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
ComplianceMarketing & brand
17
BRISTOL GATE CAPITAL PARTNERS INC. notice-filed in KY. IAPD ↗foreign
$1.51B RAUM · 12 reps · 416-921-7076
ComplianceMarketing & brand
12
MAGNUM RESEARCH GLOBAL LIMITED notice-filed in MN. IAPD ↗foreign
$5.0M RAUM · 2 reps · 852-98833050 · aqumon.com
ComplianceMarketing & brand
new registration — 154 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
98
PROFITS PLUS CAPITAL MANAGEMENT, LLC (NAMPA, ID) is newly SEC-registered with $258.1M RAUM and 1 advisory reps. IAPD ↗
$258.1M RAUM · 1 reps · 208-468-3600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PRINCIPLED WEALTH ADVISORS, LLC (COVINGTON, KY) is newly SEC-registered with $252.1M RAUM and 2 advisory reps. IAPD ↗
$252.1M RAUM · 2 reps · 859-957-2737 · principledwealth.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
AG DILLON ASSET MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $262.0M RAUM and 1 advisory reps. IAPD ↗
$262.0M RAUM · 1 reps · +1 347 642 2640 · agdillon.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
VISTAMARK INVESTMENTS (HINSDALE, IL) is newly SEC-registered with $317.2M RAUM and 4 advisory reps. IAPD ↗
$317.2M RAUM · 4 reps · 312-498-5703 · vistamarkllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
REMEDIUM CAPITAL PARTNERS (WEST PALM BEACH, FL) is newly SEC-registered with $319.0M RAUM and 1 advisory reps. IAPD ↗
$319.0M RAUM · 1 reps · 305.851.6223 · remediumcp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
BULLETPROOF CAPITAL, LLC (CHICAGO, IL) is newly SEC-registered with $575.8M RAUM and 4 advisory reps. IAPD ↗
$575.8M RAUM · 4 reps · 847-922-7460 · bulletproof-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
DAHER CAPITAL GROUP, LLC (JUPITER, FL) is newly SEC-registered with $490.0M RAUM and 0 advisory reps. IAPD ↗
$490.0M RAUM · 0 reps · 561-422-0160
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J K R & COMPANY, INC. (VAN NUYS, CA) is newly SEC-registered with $136.3M RAUM and 5 advisory reps. IAPD ↗
$136.3M RAUM · 5 reps · 818-781-7721 · jkrco.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DEMERS FINANCIAL PLANNING (COLUMBUS, OH) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 614-451-4505
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PAVLIC INVESTMENT ADVISORS, INC. (DELAFIELD, WI) is newly SEC-registered with $108.8M RAUM and 2 advisory reps. IAPD ↗
$108.8M RAUM · 2 reps · 262-646-4300
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TABER ASSET MANAGEMENT L.L.C. (location n/a) is newly SEC-registered with $110.0M RAUM and 3 advisory reps. IAPD ↗
$110.0M RAUM · 3 reps · 515-557-1860
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
QUALITY FINANCIAL CONCEPTS (MARYVILLE, TN) is newly SEC-registered with $128.8M RAUM and 2 advisory reps. IAPD ↗
$128.8M RAUM · 2 reps · 865-984-3550
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CW SECURITIES, LLC (KNOXVILLE, TN) is newly SEC-registered with $113.5M RAUM and 1 advisory reps. IAPD ↗
$113.5M RAUM · 1 reps · 865 690-9886
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NAYLOR & COMPANY (location n/a) is newly SEC-registered with $103.4M RAUM and 4 advisory reps. IAPD ↗
$103.4M RAUM · 4 reps · 415-741-7280 · naylorinvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KANOS CAPITAL MANAGEMENT, LLC (HOUSTON, TX) is newly SEC-registered with $133.2M RAUM and 1 advisory reps. IAPD ↗
$133.2M RAUM · 1 reps · 713-807-0200 · kanoscapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HARLOW CAPITAL MANAGEMENT LLC (location n/a) is newly SEC-registered with $132.9M RAUM and 1 advisory reps. IAPD ↗
$132.9M RAUM · 1 reps · 214 754 0800 · harlow-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRACKENWOOD CAPITAL MANAGEMENT, LLC (BAINBRIDGE ISLAND, WA) is newly SEC-registered with $126.6M RAUM and 2 advisory reps. IAPD ↗
$126.6M RAUM · 2 reps · 206.446.0157 · bcmportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANG & BECKER, INC. (WASHINGTON, MO) is newly SEC-registered with $123.2M RAUM and 2 advisory reps. IAPD ↗
$123.2M RAUM · 2 reps · 636-390-8339
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE SKY INVESTMENT PARTNERS, INC. (EVANSTON, IL) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
$118.0M RAUM · 1 reps · 847-864-5070 · blueskyinvestments.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUPERIOR FINANCIAL, LLC (ROCHESTER, MN) is newly SEC-registered with $112.2M RAUM and 1 advisory reps. IAPD ↗
$112.2M RAUM · 1 reps · 507-316-0160 · superiorfinancialllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FRUGE' CAPITAL ADVISORS, LLC (FORMERLY OXFORD INVESTMENT ADV) (OXFORD, MS) is newly SEC-registered with $141.2M RAUM and 2 advisory reps. IAPD ↗
$141.2M RAUM · 2 reps · 662-550-4554 · frugecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROSSPOINT CAPITAL MANAGEMENT (ORINDA, CA) is newly SEC-registered with $118.0M RAUM and 2 advisory reps. IAPD ↗
$118.0M RAUM · 2 reps · 415-949-1443
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EBERT CAPITAL MANAGEMENT INC. (EUREKA, CA) is newly SEC-registered with $116.3M RAUM and 1 advisory reps. IAPD ↗
$116.3M RAUM · 1 reps · 707-407-3813 · ebertcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RWR INVESTMENTS LLC (DALLAS, TX) is newly SEC-registered with $170.9M RAUM and 1 advisory reps. IAPD ↗
$170.9M RAUM · 1 reps · 214.308.1970
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PATHFINDER PLANNING AND INVESTMENTS (MISSOULA, MT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 406-541-3733
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
QUABBIN ADVISORS (AMHERST, MA) is newly SEC-registered with $109.8M RAUM and 1 advisory reps. IAPD ↗
$109.8M RAUM · 1 reps · 413-313-5037 · quabbinadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CRAVENS BROTHERS PRIVATE WEALTH MANAGEMENT LLC (DALLAS, TX) is newly SEC-registered with $139.3M RAUM and 2 advisory reps. IAPD ↗
$139.3M RAUM · 2 reps · (214) 234-9503 · cravensbrothers.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MAR WEALTH MANAGEMENT SERVICES, LLC (WEST PALM BEACH, FL) is newly SEC-registered with $125.1M RAUM and 3 advisory reps. IAPD ↗
$125.1M RAUM · 3 reps · 800-708-6285 · marwealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BEYOND YOUR HAMMOCK LLC (BOSTON, MA) is newly SEC-registered with $115.4M RAUM and 2 advisory reps. IAPD ↗
$115.4M RAUM · 2 reps · 617-446-3841 · beyondyourhammock.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WISDOM WEALTH INVESTMENT ADVISORS LLC (PHOENIX, AZ) is newly SEC-registered with $138.8M RAUM and 2 advisory reps. IAPD ↗
$138.8M RAUM · 2 reps · (602) 494-4100 · wisdomwealth.solutions
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILLENNIAL WEALTH ADVISORS (location n/a) is newly SEC-registered with $146.0M RAUM and 2 advisory reps. IAPD ↗
$146.0M RAUM · 2 reps · 312-637-1850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J. L. PERKINS WEALTH MANAGEMENT, LLC (MACON, GA) is newly SEC-registered with $142.2M RAUM and 2 advisory reps. IAPD ↗
$142.2M RAUM · 2 reps · 478-254-3550 · myretirementclarity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CATUM ADVISORY GROUP, LLC. (WILTON, CT) is newly SEC-registered with $128.6M RAUM and 2 advisory reps. IAPD ↗
$128.6M RAUM · 2 reps · (203) 344-7770
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHNEST CAPITAL INC. (STATEN ISLAND, NY) is newly SEC-registered with $34.9M RAUM and 2 advisory reps. IAPD ↗
$34.9M RAUM · 2 reps · 929-699-8020
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ONE LIFE FINANCIAL GROUP, INC. (location n/a) is newly SEC-registered with $118.0M RAUM and 3 advisory reps. IAPD ↗
$118.0M RAUM · 3 reps · 763-251-8040 · onelifefg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MCKINLEY FINANCIAL (BROOKVILLE, PA) is newly SEC-registered with $117.2M RAUM and 4 advisory reps. IAPD ↗
$117.2M RAUM · 4 reps · 814-849-8586 · mckinleyfin.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRINITY NECHES (location n/a) is newly SEC-registered with $120.4M RAUM and 2 advisory reps. IAPD ↗
$120.4M RAUM · 2 reps · 713-248-8129
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BSC CAPITAL PARTNERS, LLC (WEST DES MOINES, IA) is newly SEC-registered with $125.8M RAUM and 3 advisory reps. IAPD ↗
$125.8M RAUM · 3 reps · 515-225-1185 · bsccapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEDER FIDUCIARY CAPITAL LLC (BELLAIRE, TX) is newly SEC-registered with $120.6M RAUM and 1 advisory reps. IAPD ↗
$120.6M RAUM · 1 reps · 713-870-9516 · lederfidcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TIDAL CREEK CAPITAL ADVISORS (BLUFFTON, SC) is newly SEC-registered with $126.0M RAUM and 4 advisory reps. IAPD ↗
$126.0M RAUM · 4 reps · 843-540-1149 · tidalcreekinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RETIREMENT SOLUTIONS GROUP (FRANKLIN, TN) is newly SEC-registered with $159.6M RAUM and 3 advisory reps. IAPD ↗
$159.6M RAUM · 3 reps · 615-467-6300 · rsginfo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLASS LAKES CAPITAL MANAGEMENT LLC (OVERLAND PARK, KS) is newly SEC-registered with $178.3M RAUM and 2 advisory reps. IAPD ↗
$178.3M RAUM · 2 reps · 913-647-9555 · glasslakesadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GOLDMAN WEALTH MANAGEMENT (SAN DIEGO, CA) is newly SEC-registered with $120.0M RAUM and 1 advisory reps. IAPD ↗
$120.0M RAUM · 1 reps · 858-361-3698
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FIRST LIGHT WEALTH ADVISORS, LLC (LITTLE FALLS, NJ) is newly SEC-registered with $116.3M RAUM and 2 advisory reps. IAPD ↗
$116.3M RAUM · 2 reps · 973-435-4520 · firstlightwa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APPROACH CAPITAL LLC (location n/a) is newly SEC-registered with $100.0M RAUM and 1 advisory reps. IAPD ↗
$100.0M RAUM · 1 reps · (480) 993-9733 · approachcp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PEARL WEALTH LLC (location n/a) is newly SEC-registered with $129.9M RAUM and 1 advisory reps. IAPD ↗
$129.9M RAUM · 1 reps · 303-250-0036 · pearlwealth.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GREENLINE WEALTH MANAGEMENT (BOCA RATON, FL) is newly SEC-registered with $117.0M RAUM and 6 advisory reps. IAPD ↗
$117.0M RAUM · 6 reps · 561-405-6609
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UYANA PARTNERS LLC (MIAMI, FL) is newly SEC-registered with $115.0M RAUM and 6 advisory reps. IAPD ↗
$115.0M RAUM · 6 reps · 786-238-4314
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLUMBUS STREET WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $144.5M RAUM and 1 advisory reps. IAPD ↗
$144.5M RAUM · 1 reps · 614-662-4250 · columbusstreetfin.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TOLLEY FINANCIAL GROUP, LLC (RALEIGH, NC) is newly SEC-registered with $121.9M RAUM and 1 advisory reps. IAPD ↗
$121.9M RAUM · 1 reps · 919-747-9698 · tolleyfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAMILY WEALTH PARTNERS LLC (MEDFORD, NJ) is newly SEC-registered with $130.9M RAUM and 2 advisory reps. IAPD ↗
$130.9M RAUM · 2 reps · 609 975-8389
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TEMPLER WEALTH MANAGEMENT, LLC (VIENNA, VA) is newly SEC-registered with $102.9M RAUM and 1 advisory reps. IAPD ↗
$102.9M RAUM · 1 reps · 703-927-4126
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IM WEALTH PARTNERS (BLUE BELL, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 610-650-1848 · imwealthpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TIDWELL WEALTH MANAGEMENT LLC (ROCKLIN, CA) is newly SEC-registered with $116.7M RAUM and 3 advisory reps. IAPD ↗
$116.7M RAUM · 3 reps · 916-784-1818
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BERGAMOT ASSET MANAGEMENT LP (PRINCETON, NJ) is newly SEC-registered with $106.5M RAUM and 3 advisory reps. IAPD ↗
$106.5M RAUM · 3 reps · 609-917-7900 · bergamotam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VANTAGE FINANCIAL GROUP (AUBURN, CA) is newly SEC-registered with $118.6M RAUM and 4 advisory reps. IAPD ↗
$118.6M RAUM · 4 reps · 530-906-1948
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RILEX CAPITAL LLC (MANASQUAN, NJ) is newly SEC-registered with $124.3M RAUM and 1 advisory reps. IAPD ↗
$124.3M RAUM · 1 reps · 732 223-5600 · mccoadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JACKSON WEALTH MANAGEMENT, LLC (CASTLE ROCK, CO) is newly SEC-registered with $107.0M RAUM and 1 advisory reps. IAPD ↗
$107.0M RAUM · 1 reps · 303-808-5229
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MAINE ADVISORY ASSOCIATES (FALMOUTH, ME) is newly SEC-registered with $116.5M RAUM and 2 advisory reps. IAPD ↗
$116.5M RAUM · 2 reps · 207-778-2250 · maineadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PARAMOUNT WEALTH ADVISORS (BUFFALO, NY) is newly SEC-registered with $37.6M RAUM and 2 advisory reps. IAPD ↗
$37.6M RAUM · 2 reps · 716-712-0127
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DARK HORSE ADVISORS LLC (location n/a) is newly SEC-registered with $181.7M RAUM and 5 advisory reps. IAPD ↗
$181.7M RAUM · 5 reps · (858) 200-0616 · pw.darkhorse.cpa
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PELICAN INVESTMENT ADVISORS, LLC (BATON ROUGE, LA) is newly SEC-registered with $128.5M RAUM and 10 advisory reps. IAPD ↗
$128.5M RAUM · 10 reps · 225-293-9283 · pelicanadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PERCENT ADVISORS LLC (NEW YORK, NY) is newly SEC-registered with $70.0M RAUM and 2 advisory reps. IAPD ↗
$70.0M RAUM · 2 reps · 646-876-5141 · percent.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WOLFSTONE WEALTH (location n/a) is newly SEC-registered with $110.3M RAUM and 1 advisory reps. IAPD ↗
$110.3M RAUM · 1 reps · 630-640-3582 · wolfstonewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PANTELES ADVISORS (ARGYLE, TX) is newly SEC-registered with $108.2M RAUM and 4 advisory reps. IAPD ↗
$108.2M RAUM · 4 reps · (940) 239-8042
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MOMENT ADVISORS, LLC (NEW YORK, NY) is newly SEC-registered with $56.3M RAUM and 3 advisory reps. IAPD ↗
$56.3M RAUM · 3 reps · (551) 775-2340 · moment.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ENSIGN ADVISORY PARTNERS LLC (GILBERT, AZ) is newly SEC-registered with $101.0M RAUM and 3 advisory reps. IAPD ↗
$101.0M RAUM · 3 reps · 480-626-5855
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SANCTUARY FINANCIAL PLANNING, LLC (location n/a) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
$102.2M RAUM · 2 reps · (704) 705-8773 · sanctuaryfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TAX & INVESTMENT ADVISORS (NEWBURYPORT, MA) is newly SEC-registered with $101.5M RAUM and 1 advisory reps. IAPD ↗
$101.5M RAUM · 1 reps · (978) 255-1128
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CASTFIRM ADVISORS LLC (GARDEN CITY, NY) is newly SEC-registered with $30.0M RAUM and 3 advisory reps. IAPD ↗
$30.0M RAUM · 3 reps · (516) 888-9986
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VALLEY WEALTH MANAGEMENT (OSHKOSH, WI) is newly SEC-registered with $111.5M RAUM and 1 advisory reps. IAPD ↗
$111.5M RAUM · 1 reps · 920-966-9520
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CIRO CAPITAL LLC (JERSEY CITY, NJ) is newly SEC-registered with $117.4M RAUM and 2 advisory reps. IAPD ↗
$117.4M RAUM · 2 reps · 646-785-6201 · cirocapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IHS WEALTH MANAGEMENT LLC (OYSTER BAY, NY) is newly SEC-registered with $39.4M RAUM and 2 advisory reps. IAPD ↗
$39.4M RAUM · 2 reps · 516-314-0514 · ihswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SIGNIFICANCE CAPITAL MANAGEMENT LLC (MILWAUKEE, WI) is newly SEC-registered with $3.8M RAUM and 2 advisory reps. IAPD ↗
$3.8M RAUM · 2 reps · 414--293-3926 · significancecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ONE-UP FINANCIAL (ERIE, PA) is newly SEC-registered with $107.5M RAUM and 9 advisory reps. IAPD ↗
$107.5M RAUM · 9 reps · 814-325-2699 · oneupfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALLVET FINANCIAL (location n/a) is newly SEC-registered with $1.3M RAUM and 2 advisory reps. IAPD ↗
$1.3M RAUM · 2 reps · (804) 201-4615
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RILEY S. CROSBIE ADVISORY, LLC (LOGAN, UT) is newly SEC-registered with $118.9M RAUM and 3 advisory reps. IAPD ↗
$118.9M RAUM · 3 reps · 435-752-5558
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JACK CREEK PARTNERS LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 212-518-3717
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SHARPE ADVISORS, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 908-455-0600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DORIAN INVESTMENT ADVISORY LLC (MEMPHIS, TN) is newly SEC-registered with $102.6M RAUM and 1 advisory reps. IAPD ↗
$102.6M RAUM · 1 reps · 901-482-8444
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
YOSHI ADVISORY (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (877) 665-7734
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROWNSTONE ADVISORY & INVESTMENT CORP (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 858-444-5933 · crownstoneinvestmentadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AI STOCK PROPHET, LLC (AKRON, OH) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 786-292-8649 · aistockprophet.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGROUS WEALTH STRATEGIES (HAMILTON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 609-586-9308 · infinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIDGECREEK FINANCIAL GROUP (TULSA, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 918-392-1990 · bridgecreekfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALTRUIST ADVISORS LLC (CULVER CITY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 202 494 0435 · altruist.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AURANSER INC. (FORT MILL, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 888-311-9964 · auranser.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AXXETS WM (AVENTURA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 305 405-9000 · axxets.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CUSTOM WEALTH MANAGEMENT (PLYMOUTH, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 734-844-3400 · custom-wm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BAY POINTE WEALTH, LLC (NEW BALTIMORE, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (810) 734-0754
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITE HAWK WEALTH MANAGEMENT (BROOMFIELD, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 303-800-0620 · whitehawkwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MACRO QUANT PRIVATE WEALTH, LLC (TORRANCE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (310) 269-0869 · mqprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VERITAS WEALTH MANAGEMENT (NORTH KINGSTOWN, RI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (401) 296-3606 · veritaswealthri.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE HORIZON EQUITY, INC. (PITTSFORD, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 45 advisory reps. IAPD ↗
$0 RAUM · 45 reps · 1 585 641 7900 · itppartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHARLESBRIDGE ADVISORS (DEDHAM, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (781) 682-3299
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CHILDRESS & CO LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 307-734-7141
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NOW ASSET MANAGEMENT LLC (PURCHASE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · +1-914-901-1040
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IRM MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 203-788-4371
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GENOA WEALTH, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 985- 869-6070
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UNIFIED RETIREMENT PLANNING GROUP (BRIARCLIFF MANOR, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 914 432-5800 · myurpg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TREASURE VALLEY FINANCIAL PLANNING (MERIDIAN, ID) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 208-789-0888
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COSMOS WEALTH, LLC (LA JOLLA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 8582903300 · cosmoswealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SILVER BIRCH FINANCIAL LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 802-238-7591 · silverbirchfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEARSIDE ADVISORS, LLC (INDIANAPOLIS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 317-610-6650
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALIUS CAPITAL PARTNERS (AVENTURA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 3054955440 · aliuscp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTENTGEN FINANCIAL PARTNERS (NAPERVILLE, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 630-821-6990 · intentgen.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NETWORK CAPITAL (KALISPELL, MT) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (406) 416-4620 · networkcap.us
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NORTHWIND FINANCIAL LLC (BEND, OR) is newly SEC-registered (provisional 120-day approval) with $105.4M RAUM and 2 advisory reps. IAPD ↗
$105.4M RAUM · 2 reps · 541-318-7871 · northwindfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RAIJIN AI (ALPHARETTA, GA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 6785594058 · raijinai.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLAIRALPHA ADVISORS LLC (RICHARDSON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 713 364 3839 · clairalpha.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
3D ADVISOR GROUP, INC. (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (508) 808-1423 · 3dadvisorgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OMAZ HOLDCO, LLC (WOODY CREEK, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 443 334 5070
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ZAI TECHNOLOGIES LLC (THOUSAND OAKS, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 4245421838
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEXT UP WEALTH ADVISORS, LLC (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 480-450-7407 · nextupwealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LUCENT FINANCIAL (BELGRADE, MT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 406-750-3515 · lucent-financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLEARVIEW FAMILY WEALTH, LLC (PEABODY, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (978) 717-0077 · clearviewfw.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TUTELA ADVISORY GROUP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 609-200-4333
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MARDIN CAPITAL GROUP (RYE, NH) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (603) 766-4700 · mardincapitalgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RIPL WEALTH (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 619 933 1211
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCWM, LLC (PORTLAND, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 503-635-5244
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COINBASE ADVISORS (STAMFORD, CT) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 203-489 -1450 · coinbase.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VALEN PRIVATE CAPITAL, LLC. (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 971-371-3450 · valenpc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DIGNUM ET JUSTUM (SAINT AUGUSTINE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (904) 680-2848 · dej-investments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KUTUMB INVESTMENTS LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (717) 495-6791 · kutumbinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SMBC ASSET MANAGEMENT, INC. (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 212-418-3030
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MONROE CAPITAL REAL ESTATE CREDIT ADVISORS, LLC (CHICAGO, IL) is newly SEC-registered with $140.2M RAUM and 5 advisory reps. IAPD ↗institutional
$140.2M RAUM · 5 reps · 312-258-8300
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FORVM GLOBAL INVESTMENTS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 212-713-1680 EXT 3 · forvmglobal.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MERIT CAPITAL PARTNERS VI, LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 16 advisory reps. IAPD ↗institutional
$0 RAUM · 16 reps · 312-592-6111 · meritcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
AMBROSE CAPITAL ADVISORS, LLC (INDIANAPOLIS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗institutional
$0 RAUM · 15 reps · 1 317-573-4600 · ambrosepg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ORION PARTNERS, LLC (SAN FRANCISCO, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 3107952188
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MERAKI CAPITAL PARTNERS LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 332-249-4944 · meraki-cap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
EF PORTFOLIO (SACRAMENTO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 669-326-7221 · efportfolio.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ROCKFORD TOWER ASSET MANAGEMENT, L.L.C. (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 99 advisory reps. IAPD ↗institutional
$0 RAUM · 99 reps · 212-812-3100 · kingstreet.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
CULTIVATION CAPITAL, LLC (ST. LOUIS, MO) is newly SEC-registered with $416.4M RAUM and 1 advisory reps. IAPD ↗fund
$416.4M RAUM · 1 reps · 314-216-2051 · cultivationcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MERRITT POINT PARTNERS LLC (OAKLAND, CA) is newly SEC-registered with $636.1M RAUM and 3 advisory reps. IAPD ↗fund
$636.1M RAUM · 3 reps · (510) 244-0170
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
PAVAKI CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered with $410.1M RAUM and 2 advisory reps. IAPD ↗fund
$410.1M RAUM · 2 reps · 719-542-7223
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
GRAND CENTRAL MUSIC (location n/a) is newly SEC-registered with $287.6M RAUM and 4 advisory reps. IAPD ↗fund
$287.6M RAUM · 4 reps · (323) 409-9576
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
THE CONNOR GROUP FUND MANAGER, LLC (MIAMISBURG, OH) is newly SEC-registered with $494.3M RAUM and 2 advisory reps. IAPD ↗fund
$494.3M RAUM · 2 reps · 937 434 3095
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
TRELLUS MANAGEMENT COMPANY, LLC (DELRAY BEACH, FL) is newly SEC-registered with $156.3M RAUM and 2 advisory reps. IAPD ↗fund
$156.3M RAUM · 2 reps · 646-561-2620
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
QUALIVIAN INVESTMENT PARTNERS (location n/a) is newly SEC-registered with $2.8M RAUM and 1 advisory reps. IAPD ↗fund
$2.8M RAUM · 1 reps · 617-970-9583
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
MEDICI CAPITAL LLC (NEWPORT BEACH, CA) is newly SEC-registered with $215.8M RAUM and 1 advisory reps. IAPD ↗fund
$215.8M RAUM · 1 reps · (949) 706-1455 · soundcloud.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BLUHAUS CAPITAL MANAGEMENT LLC (GUAYNABO, PR) is newly SEC-registered with $230.8M RAUM and 3 advisory reps. IAPD ↗fund
$230.8M RAUM · 3 reps · 787-708-6747
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
OVERLAY MANAGEMENT, LLC (ALPHARETTA, GA) is newly SEC-registered with $168.6M RAUM and 8 advisory reps. IAPD ↗fund
$168.6M RAUM · 8 reps · 770-415-0596 · overlaycapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
GLOBAL VENTURE MANAGEMENT LLC (SAN JUAN, PR) is newly SEC-registered with $130.0M RAUM and 1 advisory reps. IAPD ↗fund
$130.0M RAUM · 1 reps · 5166501451 · globalventuremanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
HAYBEACH CAPITAL MANAGEMENT, LLC (RYE, NY) is newly SEC-registered with $172.8M RAUM and 4 advisory reps. IAPD ↗fund
$172.8M RAUM · 4 reps · 646-846-9100 · haybeach.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
AI FUNDS (SAUSALITO, CA) is newly SEC-registered with $2.1M RAUM and 2 advisory reps. IAPD ↗fund
$2.1M RAUM · 2 reps · 510-400-4495
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
42 AM, LLC (NEW YORK, NY) is newly SEC-registered with $51.9M RAUM and 5 advisory reps. IAPD ↗fund
$51.9M RAUM · 5 reps · (212) 516-6345 · 42am.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
PARK ROAD PARTNERS LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
$0 RAUM · 5 reps · 203-437-0692 · parkrd.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
CARNELIAN ASSET MANAGEMENT & ADVISORS PRIVATE LIMITED (MUMBAI, MAHARASHTRA, India) is newly SEC-registered with $1.50B RAUM and 4 advisory reps. IAPD ↗foreign
$1.50B RAUM · 4 reps · +919892038960 · carneliancapital.co.in
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
KRISTAL.AI (SINGAPORE, Singapore) is newly SEC-registered with $1.27B RAUM and 15 advisory reps. IAPD ↗foreign
$1.27B RAUM · 15 reps · 65 97872429 · kristal.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
ALPHA INNOVATIONS LTD. (HAMILTON, Bermuda) is newly SEC-registered with $231.5M RAUM and 8 advisory reps. IAPD ↗foreign
$231.5M RAUM · 8 reps · 441.531.1180 · alphainnovations.io
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
GOLDSTANDARD WEALTH (MUMBAI, India) is newly SEC-registered with $64.6M RAUM and 12 advisory reps. IAPD ↗foreign
$64.6M RAUM · 12 reps · +91 2243367000 · thegoldstandard.in
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
KYNANCE COVE CAPITAL LLP (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · +442046469274
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
KALEIDO CAPITAL PARTNERS LIMITED (HONG KONG, Hong Kong) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗foreign
$0 RAUM · 4 reps · +852-3595-0905 · kaleido-cap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 88 Count of additional offices increased.
55
MANNING & NAPIER ADVISORS, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$17.03B RAUM · 159 reps · 585-325-6880
Office IT & facilitiesCRMRecruiting & transitions
55
F L PUTNAM INVESTMENT MANAGEMENT CO. added office(s): 12 -> 13 additional locations. IAPD ↗
$9.72B RAUM · 90 reps · 800-344-3435 · flputnam.com
Office IT & facilitiesCRMRecruiting & transitions
55
PLANCORP, LLC added office(s): 8 -> 10 additional locations. IAPD ↗
$9.94B RAUM · 50 reps · (636) 532-7824
Office IT & facilitiesCRMRecruiting & transitions
55
BRIGHTON JONES LLC added office(s): 24 -> 31 additional locations. IAPD ↗
$18.88B RAUM · 156 reps · 206-258-5000 · blueprintcap.com
Office IT & facilitiesCRMRecruiting & transitions
55
IMA ADVISORY SERVICES, INC. added office(s): 6 -> 7 additional locations. IAPD ↗
$3.90B RAUM · 40 reps · 316-266-6574
Office IT & facilitiesCRMRecruiting & transitions
55
CRA FINANCIAL SERVICES, L.L.C. added office(s): 0 -> 1 additional locations. IAPD ↗
$1.69B RAUM · 11 reps · 609-380-3500
Office IT & facilitiesCRMRecruiting & transitions
55
CS PLANNING CORP added office(s): 33 -> 36 additional locations. IAPD ↗
$1.96B RAUM · 49 reps · 503-292-5853
Office IT & facilitiesCRMRecruiting & transitions
55
GALVIN, GAUSTAD & STEIN, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$1.35B RAUM · 17 reps · 480-776-1445 · ggsadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
GEOMETRIC WEALTH ADVISORS, LLC added office(s): 8 -> 9 additional locations. IAPD ↗
$1.33B RAUM · 9 reps · (973) 525-4901
Office IT & facilitiesCRMRecruiting & transitions
55
LIBERTY WEALTH MANAGEMENT, LLC added office(s): 6 -> 8 additional locations. IAPD ↗
$1.73B RAUM · 23 reps · 510-903-5489
Office IT & facilitiesCRMRecruiting & transitions
55
HIGH PROBABILITY ADVISORS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$1.05B RAUM · 13 reps · 585-485-0135 · vimeo.com
Office IT & facilitiesCRMRecruiting & transitions
55
AARON WEALTH ADVISORS added office(s): 2 -> 3 additional locations. IAPD ↗
$4.29B RAUM · 9 reps · 312-506-5780 · aaronwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
WEDMONT PRIVATE CAPITAL added office(s): 9 -> 10 additional locations. IAPD ↗
$3.44B RAUM · 12 reps · (610) 885-8200 · wedmont.com
Office IT & facilitiesCRMRecruiting & transitions
55
ONYX BRIDGE WEALTH GROUP LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$1.37B RAUM · 19 reps · (914) 909-6699 · onyxbridge.com
Office IT & facilitiesCRMRecruiting & transitions
55
ADVUS FINANCIAL PARTNERS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$3.97B RAUM · 10 reps · 407-585-1160 · vimeo.com
Office IT & facilitiesCRMRecruiting & transitions
55
WHITTIER ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.89B RAUM · 6 reps · 949-341-4250 · whittieradvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
PCM ENCORE, LLC added office(s): 7 -> 9 additional locations. IAPD ↗
$1.94B RAUM · 6 reps · 425-214-1755
Office IT & facilitiesCRMRecruiting & transitions
53
SEARCY FINANCIAL SERVICES, INC. added office(s): 1 -> 3 additional locations. IAPD ↗
$514.0M RAUM · 9 reps · 913-814-3800 · searcyfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC added office(s): 8 -> 9 additional locations. IAPD ↗
$905.2M RAUM · 12 reps · 719-478-7036
Office IT & facilitiesCRMRecruiting & transitions
53
LEVEL FINANCIAL ADVISORS, INC. added office(s): 4 -> 5 additional locations. IAPD ↗
$862.7M RAUM · 9 reps · 716-634-6113
Office IT & facilitiesCRMRecruiting & transitions
53
AFFINITY INVESTMENT GROUP, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$595.1M RAUM · 3 reps · 603-778-6436
Office IT & facilitiesCRMRecruiting & transitions
53
FINANCIAL & TAX ARCHITECTS, LLC added office(s): 20 -> 21 additional locations. IAPD ↗
$506.2M RAUM · 40 reps · 314-858-1122 · summitretirementplanning.com
Office IT & facilitiesCRMRecruiting & transitions
53
ELEVATION WEALTH PARTNERS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$670.7M RAUM · 6 reps · 925-962-5600 · elevationwp.com
Office IT & facilitiesCRMRecruiting & transitions
53
HILLCREST WEALTH ADVISORS - NY, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$390.7M RAUM · 1 reps · 732-837-4455 · hcwadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
FIRST FINANCIAL GROUP added office(s): 0 -> 1 additional locations. IAPD ↗
$317.0M RAUM · 4 reps · 919-876-4926
Office IT & facilitiesCRMRecruiting & transitions
53
STRATEGIC FINANCIAL CONCEPTS, LLC added office(s): 22 -> 23 additional locations. IAPD ↗
$927.7M RAUM · 41 reps · 210-737-7800 · ccutx.org
Office IT & facilitiesCRMRecruiting & transitions
53
LONESTAR REGISTERED INVESTMENT ADVISORS, PLLC added office(s): 8 -> 10 additional locations. IAPD ↗
$274.0M RAUM · 11 reps · 866-785-5350 · retirewithlonestar.com
Office IT & facilitiesCRMRecruiting & transitions
53
FIDUCIARY EXPERTS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$985.8M RAUM · 3 reps · 951-412-6283 · 401kfe.com
Office IT & facilitiesCRMRecruiting & transitions
53
VISIONARY HORIZONS, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$396.7M RAUM · 12 reps · 865-675-8496
Office IT & facilitiesCRMRecruiting & transitions
53
WELLMENT FINANCIAL added office(s): 1 -> 3 additional locations. IAPD ↗
$312.7M RAUM · 11 reps · 630-993-8200 · academy.wellment.com
Office IT & facilitiesCRMRecruiting & transitions
53
J. HAGAN CAPITAL, INC. added office(s): 2 -> 5 additional locations. IAPD ↗
$341.8M RAUM · 10 reps · (502) 690-5635
Office IT & facilitiesCRMRecruiting & transitions
53
GRANITE BAY WEALTH MANAGEMENT, LLC added office(s): 1 -> 5 additional locations. IAPD ↗
$588.0M RAUM · 6 reps · 603-610-8881
Office IT & facilitiesCRMRecruiting & transitions
53
GRANITE HARBOR ADVISORS, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$642.1M RAUM · 6 reps · 832-461-0789
Office IT & facilitiesCRMRecruiting & transitions
53
MIRAMONTES CAPITAL, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$396.9M RAUM · 8 reps · 1-800-460-1595
Office IT & facilitiesCRMRecruiting & transitions
53
KINETIC INVESTMENT MANAGEMENT, INC. added office(s): 16 -> 19 additional locations. IAPD ↗
$450.9M RAUM · 29 reps · (800) 711-4818
Office IT & facilitiesCRMRecruiting & transitions
53
ATLAS PRIVATE WEALTH ADVISORS added office(s): 11 -> 12 additional locations. IAPD ↗
$859.8M RAUM · 14 reps · (888) 996-2666
Office IT & facilitiesCRMRecruiting & transitions
53
BENCHMARK FINANCIAL WEALTH ADVISORS LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$766.1M RAUM · 7 reps · (561) 416-2992 · bfllc.com
Office IT & facilitiesCRMRecruiting & transitions
53
PEAK PLANNING GROUP, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$710.0M RAUM · 7 reps · 303-991-0056 · peakplan.com
Office IT & facilitiesCRMRecruiting & transitions
53
BROOKLYN FI, LLC added office(s): 0 -> 10 additional locations. IAPD ↗
$563.1M RAUM · 10 reps · (332) 296-1660
Office IT & facilitiesCRMRecruiting & transitions
53
VAN CLEMENS WEALTH MANAGEMENT, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$470.4M RAUM · 24 reps · 612-758-9140 · vanclemens.com
Office IT & facilitiesCRMRecruiting & transitions
53
CIMARRON WEALTH MANAGEMENT, INC. added office(s): 3 -> 4 additional locations. IAPD ↗
$327.3M RAUM · 7 reps · 970-249-9882 · wealthwithapurpose.com
Office IT & facilitiesCRMRecruiting & transitions
53
VALUEWEALTH SERVICES, LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$319.0M RAUM · 4 reps · 410-286-9230 · valuewealthservices.com
Office IT & facilitiesCRMRecruiting & transitions
53
MISSION FINANCIAL GROUP, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$310.9M RAUM · 5 reps · 808-445-9965 · missionfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
ENDEAVOR PRIVATE WEALTH, INC. added office(s): 3 -> 4 additional locations. IAPD ↗
$595.3M RAUM · 9 reps · 785-329-2510
Office IT & facilitiesCRMRecruiting & transitions
53
H. L. ORMOND & COMPANY, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$401.4M RAUM · 4 reps · (252) 756-4010 · hlormond.com
Office IT & facilitiesCRMRecruiting & transitions
53
TRUEWEALTH FINANCIAL PARTNERS added office(s): 2 -> 3 additional locations. IAPD ↗
$273.7M RAUM · 3 reps · 425-615-7360 · truewealthaz.com
Office IT & facilitiesCRMRecruiting & transitions
53
EQUITY WEALTH PARTNERS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$258.6M RAUM · 6 reps · 816-373-1068 · equitywp.com
Office IT & facilitiesCRMRecruiting & transitions
53
CENTRAL PINE CAPITAL, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$332.4M RAUM · 3 reps · 212-430-1030
Office IT & facilitiesCRMRecruiting & transitions
53
INNOVATIVE PRIVATE WEALTH MANAGEMENT INC. added office(s): 6 -> 10 additional locations. IAPD ↗
$367.0M RAUM · 7 reps · 914-427-8036
Office IT & facilitiesCRMRecruiting & transitions
53
MDRN CAPITAL added office(s): 22 -> 23 additional locations. IAPD ↗
$338.6M RAUM · 22 reps · 410-533-9966
Office IT & facilitiesCRMRecruiting & transitions
53
ELYXIUM WEALTH LLC added office(s): 0 -> 4 additional locations. IAPD ↗
$819.0M RAUM · 6 reps · (310) 221-8349*224 · elyxwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
RELATION WEALTH MANAGEMENT, INC. added office(s): 3 -> 4 additional locations. IAPD ↗
$541.2M RAUM · 7 reps · (918) 999-9138 · relationwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
PARKWOODS WEALTH PARTNERS, LLC added office(s): 12 -> 14 additional locations. IAPD ↗
$961.9M RAUM · 14 reps · (877) 278-2716 · parkwoods.com
Office IT & facilitiesCRMRecruiting & transitions
53
TRITONPOINT PARTNERS, LLC added office(s): 3 -> 6 additional locations. IAPD ↗
$286.5M RAUM · 3 reps · 301-799-9001
Office IT & facilitiesCRMRecruiting & transitions
50
BERLA INVESTMENT CONSULTING added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 2 reps · 925-947-0326 · berlainv.com
Office IT & facilitiesCRMRecruiting & transitions
50
WRIGHT PRIVATE ASSET MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$74.1M RAUM · 10 reps · 203-783-4400 · wrightpam.com
Office IT & facilitiesCRMRecruiting & transitions
50
ALLOS INVESTMENT ADVISORS, LLC added office(s): 1 -> 3 additional locations. IAPD ↗
$73.6M RAUM · 9 reps · 913-948-7788
Office IT & facilitiesCRMRecruiting & transitions
50
LEWINTER WEALTH ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$162.5M RAUM · 1 reps · 973-294-2621 · lewinterwealthadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
BAMBOO WEALTH STRATEGIES added office(s): 1 -> 2 additional locations. IAPD ↗
$235.7M RAUM · 4 reps · (619) 289-9670 · bamboowealthstrategies.com
Office IT & facilitiesCRMRecruiting & transitions
50
TRUADVISORS added office(s): 0 -> 2 additional locations. IAPD ↗
$132.7M RAUM · 4 reps · (813) 212-4000 · truadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
LAUREATE WEALTH MANAGEMENT, LLC added office(s): 0 -> 3 additional locations. IAPD ↗
$121.9M RAUM · 4 reps · 312-300-6765 · laureate-wealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
THE LIFE GROUP FINANCIAL SERVICES added office(s): 3 -> 4 additional locations. IAPD ↗
$146.2M RAUM · 4 reps · 563-587-7840 · thelifegroupllc.com
Office IT & facilitiesCRMRecruiting & transitions
50
BRASIL PLURAL INVESTMENT ADVISOR LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$201.6M RAUM · 14 reps · (305) 904-9496
Office IT & facilitiesCRMRecruiting & transitions
50
VINES CAPITAL MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$192.2M RAUM · 3 reps · 318-450-4664 · vinescapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
SUCCESS WEALTH MANAGEMENT LLC added office(s): 14 -> 15 additional locations. IAPD ↗
$110.5M RAUM · 15 reps · 724-934-8128 · successwealth.org
Office IT & facilitiesCRMRecruiting & transitions
50
FOUNDRY FINANCIAL LLC added office(s): 4 -> 6 additional locations. IAPD ↗
$232.6M RAUM · 7 reps · (213) 802-8662 · foundryfinancial.org
Office IT & facilitiesCRMRecruiting & transitions
50
SMARTPATH ADVISORS added office(s): 8 -> 9 additional locations. IAPD ↗
$0 RAUM · 8 reps · (678) 538-9420 · getfrank.com
Office IT & facilitiesCRMRecruiting & transitions
50
BIRCH WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$62.1M RAUM · 2 reps · 315-795-2005
Office IT & facilitiesCRMRecruiting & transitions
50
UMB PRIVATE WEALTH MANAGEMENT, LLC added office(s): 0 -> 13 additional locations. IAPD ↗
$68.4M RAUM · 41 reps · 816-860-7000 · umb.com
Office IT & facilitiesCRMRecruiting & transitions
50
SONOMA PRIVATE WEALTH LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$158.5M RAUM · 3 reps · 415-806-0073 · sonomaprivatewealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
CLARUS GROUP LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$158.0M RAUM · 2 reps · (732) 325-0456 · clarusfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
PEAK FINANCIAL PLANNING added office(s): 2 -> 3 additional locations. IAPD ↗
$93.0M RAUM · 4 reps · (818) 600-6099 · thepeakfp.com
Office IT & facilitiesCRMRecruiting & transitions
50
VINCIMUS CAPITAL, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$183.7M RAUM · 4 reps · 904.226.4946 · vincimus.com
Office IT & facilitiesCRMRecruiting & transitions
50
VOSS WEALTH MANAGEMENT added office(s): 0 -> 3 additional locations. IAPD ↗
$0 RAUM · 1 reps · (607) 444-2234 · vosswealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
GUARDANT WEALTH ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$149.3M RAUM · 3 reps · 305-845-7511 · guardantwealthadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
TBG-BEDFORD GROUP LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$0 RAUM · 9 reps · (314) 957-5737
Office IT & facilitiesCRMRecruiting & transitions
45
SOUNDWATCH CAPITAL, LLC added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$1.02B RAUM · 4 reps · 646-442-9655 · soundwatchfunds.com
Office IT & facilitiesCRMRecruiting & transitions
45
VETA INVESTMENT PARTNERS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$2.79B RAUM · 2 reps · 646-630-3218 · vetainvestmentpartners.com
Office IT & facilitiesCRMRecruiting & transitions
43
KURV INVESTMENT MANAGEMENT LLC added office(s): 3 -> 4 additional locations. IAPD ↗institutional
$279.2M RAUM · 2 reps · 888-393-5878
Office IT & facilitiesCRMRecruiting & transitions
40
HARBOURVEST PARTNERS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$191.18B RAUM · 296 reps · 617-348-3707
Office IT & facilitiesCRMRecruiting & transitions
40
PETERSON PARTNERS added office(s): 1 -> 2 additional locations. IAPD ↗fund
$2.96B RAUM · 27 reps · 801-417-0748 · petersonpartners.com
Office IT & facilitiesCRMRecruiting & transitions
40
SPEAR ADVISORS LLC added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$181.3M RAUM · 1 reps · 347-597-2738 · spear-invest.com
Office IT & facilitiesCRMRecruiting & transitions
40
DATALIGN added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$0 RAUM · 2 reps · 781-228-5678
Office IT & facilitiesCRMRecruiting & transitions
40
SIRENIA CAPITAL MANAGEMENT LP added office(s): 0 -> 2 additional locations. IAPD ↗fund
$4.26B RAUM · 10 reps · 212-516-4765
Office IT & facilitiesCRMRecruiting & transitions
38
THE AMBRUS GROUP LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$485.1M RAUM · 3 reps · 917-270-6563 · ambrusgroup.com
Office IT & facilitiesCRMRecruiting & transitions
38
FATHOM POINT CAPITAL LLC added office(s): 0 -> 2 additional locations. IAPD ↗fund
$280.0M RAUM · 2 reps · 415-636-5500 · fathompointcapital.com
Office IT & facilitiesCRMRecruiting & transitions
35
TENERE CAPITAL, LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$241.1M RAUM · 2 reps · 303-376-4800 · tenerecapital.com
Office IT & facilitiesCRMRecruiting & transitions
20
BFINANCE US LTD. added office(s): 3 -> 4 additional locations. IAPD ↗foreign
$0 RAUM · 4 reps · +442077478600 · bfinance.com
Office IT & facilitiesCRMRecruiting & transitions
deregistered — 57 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
GFP PRIVATE WEALTH (CLEVELAND, OH) left the SEC roster (was $1.35B RAUM, 18 reps). IAPD ↗
$1.35B RAUM · 18 reps · 833-309-9900
Recruiting & transitionsM&A & valuation
65
MORETON ASSET MANAGEMENT, LLC (FARMINGTON, UT) left the SEC roster (was $4.71B RAUM, 5 reps). IAPD ↗
$4.71B RAUM · 5 reps · 801-869-4200 · moretonadvisors.com
Recruiting & transitionsM&A & valuation
65
EVANSON ASSET MANAGEMENT, LLC (location n/a) left the SEC roster (was $5.91B RAUM, 4 reps). IAPD ↗
$5.91B RAUM · 4 reps · 831-333-2060 · evansonasset.com
Recruiting & transitionsM&A & valuation
65
TRUWEALTH ADVISORS, LLC (METAIRIE, LA) left the SEC roster (was $3.05B RAUM, 14 reps). IAPD ↗
$3.05B RAUM · 14 reps · 504-779-7799
Recruiting & transitionsM&A & valuation
65
BROOKLYN INVESTMENT GROUP, LLC (NEW YORK, NY) left the SEC roster (was $3.98B RAUM, 9 reps). IAPD ↗
$3.98B RAUM · 9 reps · 617-319-7229
Recruiting & transitionsM&A & valuation
63
ARCADIA INVESTMENT MANAGEMENT CORP (KALAMAZOO, MI) left the SEC roster (was $697.3M RAUM, 3 reps). IAPD ↗
$697.3M RAUM · 3 reps · 269/349-0800 · arcimc.com
Recruiting & transitionsM&A & valuation
63
FINANCIAL CONNECTIONS GROUP, INC. (LARKSPUR, CA) left the SEC roster (was $624.6M RAUM, 3 reps). IAPD ↗
$624.6M RAUM · 3 reps · 415-924-1091
Recruiting & transitionsM&A & valuation
63
PERRITT CAPITAL MANAGEMENT INC (CHICAGO, IL) left the SEC roster (was $279.8M RAUM, 3 reps). IAPD ↗
$279.8M RAUM · 3 reps · 312-669-1650
Recruiting & transitionsM&A & valuation
63
MARIN FINANCIAL ADVISORS LLC (LARKSPUR, CA) left the SEC roster (was $388.8M RAUM, 1 reps). IAPD ↗
$388.8M RAUM · 1 reps · 415-925-1212 · marinfa.com
Recruiting & transitionsM&A & valuation
63
MARMO FINANCIAL GROUP, LLC (JOHNSON CITY, TN) left the SEC roster (was $295.2M RAUM, 3 reps). IAPD ↗
$295.2M RAUM · 3 reps · 423-282-0514
Recruiting & transitionsM&A & valuation
63
COORDINATED FINANCIAL SERVICES, INC. (DENVER, CO) left the SEC roster (was $427.3M RAUM, 3 reps). IAPD ↗
$427.3M RAUM · 3 reps · 303-770-5401 · lifetime-capital.com
Recruiting & transitionsM&A & valuation
63
LAKE TAHOE WEALTH MANAGEMENT, INC. (FOLSOM, CA) left the SEC roster (was $301.9M RAUM, 3 reps). IAPD ↗
$301.9M RAUM · 3 reps · 855-515-5896 · laketahoewealthmanagement.org
Recruiting & transitionsM&A & valuation
63
FULLCIRCLE WEALTH LLC (MCKINNEY, TX) left the SEC roster (was $257.4M RAUM, 2 reps). IAPD ↗
$257.4M RAUM · 2 reps · 972-480-6200
Recruiting & transitionsM&A & valuation
63
FRG FAMILY WEALTH ADVISORS (BELLEVUE, WA) left the SEC roster (was $833.7M RAUM, 2 reps). IAPD ↗
$833.7M RAUM · 2 reps · 425-453-4122 · frgwealth.com
Recruiting & transitionsM&A & valuation
63
SWMG HOLDINGS, LLC (ATLANTA, GA) left the SEC roster (was $428.5M RAUM, 4 reps). IAPD ↗
$428.5M RAUM · 4 reps · 678-932-2500
Recruiting & transitionsM&A & valuation
63
QUESTMONT VIRTUAL FAMILY OFFICE, LLC (TAMPA, FL) left the SEC roster (was $435.6M RAUM, 4 reps). IAPD ↗
$435.6M RAUM · 4 reps · 813-212-1701 · questmont.com
Recruiting & transitionsM&A & valuation
60
TAGLICH BROTHERS, INC. (COLD SPRING HARBOR, NY) left the SEC roster (was $37.7M RAUM, 2 reps). IAPD ↗
$37.7M RAUM · 2 reps · 631-757-1500 · taglichbrothers.com
Recruiting & transitionsM&A & valuation
60
CFO CAPITAL MANAGEMENT, LLC (FAIRFIELD, CT) left the SEC roster (was $243.9M RAUM, 4 reps). IAPD ↗
$243.9M RAUM · 4 reps · 203-221-0202 · cruicefinancial.com
Recruiting & transitionsM&A & valuation
60
INTEGRATED INVESTMENT STRATEGIES,INC. (CARMEL, IN) left the SEC roster (was $104.5M RAUM, 3 reps). IAPD ↗
$104.5M RAUM · 3 reps · 317-843-5577 · integratedinvestments.com
Recruiting & transitionsM&A & valuation
60
FENWAY FINANCIAL ADVISORS, LLC (ARLINGTON, VA) left the SEC roster (was $247.7M RAUM, 2 reps). IAPD ↗
$247.7M RAUM · 2 reps · 617-704-7805
Recruiting & transitionsM&A & valuation
60
NBW CAPITAL LLC (BOSTON, MA) left the SEC roster (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · 617-482-2222
Recruiting & transitionsM&A & valuation
60
ROUNDANGLE ADVISORS LLC (RED BANK, NJ) left the SEC roster (was $215.5M RAUM, 2 reps). IAPD ↗
$215.5M RAUM · 2 reps · 732-889-3774
Recruiting & transitionsM&A & valuation
60
MILESTONE WEALTH (GREENVILLE, NC) left the SEC roster (was $221.5M RAUM, 3 reps). IAPD ↗
$221.5M RAUM · 3 reps · 252-756-7005 · milestonewealthusa.com
Recruiting & transitionsM&A & valuation
60
ORBA WEALTH ADVISORS, LLC (CHICAGO, IL) left the SEC roster (was $136.9M RAUM, 16 reps). IAPD ↗
$136.9M RAUM · 16 reps · (312) 670-6262
Recruiting & transitionsM&A & valuation
60
BRAINS INVESTMENTS, LLC (location n/a) left the SEC roster (was $2 RAUM, 1 reps). IAPD ↗
$2 RAUM · 1 reps · 571-344-2032 · brains.com
Recruiting & transitionsM&A & valuation
60
AUSTIN PRIVATE WEALTH, LLC (AUSTIN, TX) left the SEC roster (was $0 RAUM, 20 reps). IAPD ↗
$0 RAUM · 20 reps · (512) 886-4114
Recruiting & transitionsM&A & valuation
60
EXOS ASSET MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $1.9M RAUM, 11 reps). IAPD ↗
$1.9M RAUM · 11 reps · (646) 814-0996 · exosfinancial.com
Recruiting & transitionsM&A & valuation
60
STRATEGIC ADVOCATES, LLC (SACRAMENTO, CA) left the SEC roster (was $33.7M RAUM, 3 reps). IAPD ↗
$33.7M RAUM · 3 reps · (888)247-7753
Recruiting & transitionsM&A & valuation
60
PARADIGM INSTITUTIONAL INVESTORS (DALLAS, TX) left the SEC roster (was $189.5M RAUM, 1 reps). IAPD ↗
$189.5M RAUM · 1 reps · 216-505-0835 · paradigmii.com
Recruiting & transitionsM&A & valuation
60
STOCKPILE INVESTMENT ADVISORS, INC. (SAN FRANCISCO, CA) left the SEC roster (was $562,222 RAUM, 2 reps). IAPD ↗
$562,222 RAUM · 2 reps · (877) 374-2584 · stockpile.com
Recruiting & transitionsM&A & valuation
60
REID FINANCIAL INC (BROOKLYN, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 347-954-0544
Recruiting & transitionsM&A & valuation
60
SKYVIEW PINNACLE (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $10.5M RAUM, 3 reps). IAPD ↗
$10.5M RAUM · 3 reps · 656-245-3491 · skyviewpinnacle.com
Recruiting & transitionsM&A & valuation
60
STRUCTURE WEALTH PARTNERS LLC (ORLANDO, FL) left the SEC roster — its 120-day provisional registration did not convert (was $68.2M RAUM, 1 reps). IAPD ↗
$68.2M RAUM · 1 reps · 407-739-5094 · structurewealth.com
Recruiting & transitionsM&A & valuation
60
TWENTY-FIVE CAPITAL PARTNERS (NEWPORT BEACH, CA) left the SEC roster — its 120-day provisional registration did not convert (was $54.6M RAUM, 3 reps). IAPD ↗
$54.6M RAUM · 3 reps · 9498492992 · twenty-fivecapital.com
Recruiting & transitionsM&A & valuation
60
PARKSIDE FAMILY OFFICE LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $52.4M RAUM, 1 reps). IAPD ↗
$52.4M RAUM · 1 reps · 425-238-4356 · parksidefamilyoffice.com
Recruiting & transitionsM&A & valuation
60
MANEY WEALTH (SAN FRANCISCO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $9.4M RAUM, 1 reps). IAPD ↗
$9.4M RAUM · 1 reps · 303-589-6050 · maneywealth.com
Recruiting & transitionsM&A & valuation
50
EXCORDE CAPITAL LLC (CONSHOHOCKEN, PA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 19 reps). IAPD ↗institutional
$0 RAUM · 19 reps · 6106202440 · excordecapital.com
Recruiting & transitionsM&A & valuation
50
BLUE WATER VENTURE MANAGEMENT, LLC (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 321-365-4544
Recruiting & transitionsM&A & valuation
50
TILLMAN INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 8 reps). IAPD ↗institutional
$0 RAUM · 8 reps · 212-706-1677
Recruiting & transitionsM&A & valuation
50
ITC ADVISORY SERVICES, LLC (IRVINE, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 5 reps). IAPD ↗institutional
$0 RAUM · 5 reps · (818) 629-2636
Recruiting & transitionsM&A & valuation
50
CONSTITUTION CAPITAL HORIZON ADVISOR, LP (ANDOVER, MA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 25 reps). IAPD ↗institutional
$0 RAUM · 25 reps · 978-749-9600
Recruiting & transitionsM&A & valuation
45
YOST CAPITAL MANAGEMENT, LP (HOUSTON, TX) left the SEC roster (was $189.3M RAUM, 4 reps). IAPD ↗fund
$189.3M RAUM · 4 reps · 817.350.6333 · yostfunds.com
Recruiting & transitionsM&A & valuation
45
MAKAIRA PARTNERS, LLC (LA JOLLA, CA) left the SEC roster (was $209.8M RAUM, 3 reps). IAPD ↗fund
$209.8M RAUM · 3 reps · 858-626-2929 · makairapartners.com
Recruiting & transitionsM&A & valuation
45
HGI CAPITAL MANAGEMENT, LLC. (NEW YORK, NY) left the SEC roster (was $41.6M RAUM, 7 reps). IAPD ↗fund
$41.6M RAUM · 7 reps · 212-644-0515
Recruiting & transitionsM&A & valuation
45
STRUCK CAPITAL MANAGEMENT LLC (SANTA MONICA, CA) left the SEC roster (was $84.9M RAUM, 3 reps). IAPD ↗fund
$84.9M RAUM · 3 reps · 561-289-0486 · struckcapital.com
Recruiting & transitionsM&A & valuation
45
WINTHROP CAPITAL ADVISORS, LLC (BOSTON, MA) left the SEC roster (was $82.4M RAUM, 2 reps). IAPD ↗fund
$82.4M RAUM · 2 reps · 617-570-4600
Recruiting & transitionsM&A & valuation
45
SCHECHTER PRIVATE CAPITAL, LLC (BIRMINGHAM, MI) left the SEC roster (was $171.7M RAUM, 3 reps). IAPD ↗fund
$171.7M RAUM · 3 reps · 248-731-9500 · schechterwealth.com
Recruiting & transitionsM&A & valuation
45
ALPINE PEAKS CAPITAL, LP (NEW YORK, NY) left the SEC roster (was $137.3M RAUM, 2 reps). IAPD ↗fund
$137.3M RAUM · 2 reps · 347-990-2940 · alpinepeakscapital.com
Recruiting & transitionsM&A & valuation
45
EM ADVISOR (NEW YORK, NY) left the SEC roster (was $140.1M RAUM, 10 reps). IAPD ↗fund
$140.1M RAUM · 10 reps · 646-844-9918
Recruiting & transitionsM&A & valuation
45
STOCKWELL VENTURES, LLC (NEW YORK, NY) left the SEC roster (was $30.0M RAUM, 5 reps). IAPD ↗fund
$30.0M RAUM · 5 reps · 212-257-5757
Recruiting & transitionsM&A & valuation
45
3 MANAGEMENT CO, LLC (SAN FRANCISCO, CA) left the SEC roster (was $88.6M RAUM, 1 reps). IAPD ↗fund
$88.6M RAUM · 1 reps · 415-615-5000
Recruiting & transitionsM&A & valuation
30
UNITAS CAPITAL (HONG KONG, China) left the SEC roster (was $53.5M RAUM, 2 reps). IAPD ↗foreign
$53.5M RAUM · 2 reps · (852) 2533 1818 · unitascapital.com
Recruiting & transitionsM&A & valuation
30
UNITAS CAPITAL (HONG KONG, China) left the SEC roster (was $53.5M RAUM, 3 reps). IAPD ↗foreign
$53.5M RAUM · 3 reps · (852) 2533 1818 · unitascapital.com
Recruiting & transitionsM&A & valuation
30
SUPERFUND ADVISORS, INC. (ST. GEORGE, Grenada) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗foreign
$0 RAUM · 0 reps · 1-473-439-6704
Recruiting & transitionsM&A & valuation
30
ALPSTONE CAPITAL (SUISSE) S.A. (GENEVE, Switzerland) left the SEC roster (was $199.0M RAUM, 5 reps). IAPD ↗foreign
$199.0M RAUM · 5 reps · 0041223179761 · alpstonecapital.com
Recruiting & transitionsM&A & valuation
30
TANCOOK INVESTMENT MANAGEMENT LIMITED (TORONTO, ONTARIO, Canada) left the SEC roster (was $27.5M RAUM, 4 reps). IAPD ↗foreign
$27.5M RAUM · 4 reps · (647) 338-1915 · tancookinvestment.com
Recruiting & transitionsM&A & valuation
30
GINSLER WEALTH MANAGEMENT INC. (TORONTO, ONTARIO, Canada) left the SEC roster (was $215.5M RAUM, 3 reps). IAPD ↗foreign
$215.5M RAUM · 3 reps · 416-635-7159 · ginslerwealth.com
Recruiting & transitionsM&A & valuation
disclosure added — 48 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 1 (162 -> 163). IAPD ↗
$429.69B RAUM · 8479 reps · 800-999-2000
ComplianceMarketing & brand
55
BNY MELLON SECURITIES CORPORATION's Item 11 disclosure-reporting entries rose by 6 (19 -> 25). IAPD ↗
$8.45B RAUM · 91 reps · 2129226273 · bny.com
ComplianceMarketing & brand
55
OPPENHEIMER & CO. INC.'s Item 11 disclosure-reporting entries rose by 1 (103 -> 104). IAPD ↗
$36.71B RAUM · 1219 reps · 212-668-8000 · oppenheimer.com
ComplianceMarketing & brand
55
EDWARD JONES's Item 11 disclosure-reporting entries rose by 6 (284 -> 290). IAPD ↗
$1013.61B RAUM · 20304 reps · 314-515-2000 · bridgebuildermutualfunds.edwardjones.com
ComplianceMarketing & brand
55
FIFTH THIRD SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 2 (8 -> 10). IAPD ↗
$10.92B RAUM · 848 reps · 888-889-1025
ComplianceMarketing & brand
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 2 (203 -> 205). IAPD ↗
$197.53B RAUM · 3079 reps · 314-342-2000 · glmadvisorygroup.com
ComplianceMarketing & brand
55
LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 6 (366 -> 372). IAPD ↗
$819.12B RAUM · 36280 reps · 704-733-3300
ComplianceMarketing & brand
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 6 (470 -> 476). IAPD ↗
$1781.57B RAUM · 25721 reps · 800-637-7455 · careers.bankofamerica.com
ComplianceMarketing & brand
55
NORTHERN TRUST SECURITIES, INC's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
$1.66B RAUM · 41 reps · 312-630-6000 · northerntrust.com
ComplianceMarketing & brand
55
WELLS FARGO ADVISORS's Item 11 disclosure-reporting entries rose by 2 (648 -> 650). 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 2 (133 -> 135). IAPD ↗
$199.66B RAUM · 91 reps · 212-454-4500 · dws.com
ComplianceMarketing & brand
55
MPM WEALTH ADVISORS's Item 11 disclosure-reporting entries rose by 3 (1 -> 4). IAPD ↗
$1.04B RAUM · 18 reps · 419-861-1400 · mpmwealth.com
ComplianceMarketing & brand
55
NORTHERN TRUST INVESTMENTS, INCORPORATED's Item 11 disclosure-reporting entries rose by 5 (6 -> 11). IAPD ↗
$1245.25B RAUM · 219 reps · 312-630-6000 · ntam.northerntrust.com
ComplianceMarketing & brand
55
OAK RIDGE INVESTMENTS, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$1.70B RAUM · 11 reps · 312-857-1040
ComplianceMarketing & brand
55
GOLDMAN SACHS ASSET MANAGEMENT, L.P.'s Item 11 disclosure-reporting entries rose by 2 (33 -> 35). IAPD ↗
$2648.90B RAUM · 1379 reps · 212-902-1000 · petershillpartners.com
ComplianceMarketing & brand
55
RREEF AMERICA L.L.C.'s Item 11 disclosure-reporting entries rose by 2 (133 -> 135). IAPD ↗
$34.34B RAUM · 132 reps · 312-537-7000
ComplianceMarketing & brand
55
HARVEY INVESTMENT COMPANY, LLC's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗
$1.03B RAUM · 4 reps · 502-339-8270 · harveyinvestment.com
ComplianceMarketing & brand
55
NEPC, LLC's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
$152.72B RAUM · 132 reps · 617-374-1300
ComplianceMarketing & brand
55
CAPITAL RESEARCH AND MANAGEMENT COMPANY's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$3753.54B RAUM · 393 reps · 213-486-9200 · retirementsolutions.financialtrans.com
ComplianceMarketing & brand
55
DELTA ASSET MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗
$1.53B RAUM · 6 reps · 901-767-4791
ComplianceMarketing & brand
55
CAPITAL BANK AND TRUST COMPANY's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$139.29B RAUM · 0 reps · (949) 975-5000
ComplianceMarketing & brand
55
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.'s Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$42.71B RAUM · 96 reps · 213-486-9200
ComplianceMarketing & brand
55
GRANT TANI BARASH & ALTMAN, LLC's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗
$2.28B RAUM · 7 reps · 310-288-6267
ComplianceMarketing & brand
53
DUNCKER STREETT & CO.'s Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗
$707.3M RAUM · 2 reps · 314-726-2600 · dunckerstreett.com
ComplianceMarketing & brand
53
MWA FINANCIAL SERVICES, INC.'s Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$640.0M RAUM · 164 reps · 309-558-3100
ComplianceMarketing & brand
53
ARISTIDES CAPITAL LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$541.4M RAUM · 8 reps · (502) 694-8001 · aristidescapital.com
ComplianceMarketing & brand
53
BRILLIANT ADVICE, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$569.5M RAUM · 2 reps · 513-703-2100
ComplianceMarketing & brand
50
VISION INVESTMENT ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 2 (13 -> 15). IAPD ↗
$137.4M RAUM · 4 reps · 203-388-2700 · advicewithvision.com
ComplianceMarketing & brand
50
PENBROOK MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
$175.4M RAUM · 4 reps · 212-792-6952 · penbrookllc.com
ComplianceMarketing & brand
50
BAUMAN WEALTH ADVISORS's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$206.4M RAUM · 8 reps · 702-897-9997 · scoremyretirement.com
ComplianceMarketing & brand
50
SCHWAB WEALTH ADVISORY, INC.'s Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
$0 RAUM · 1375 reps · 415-667-7000
ComplianceMarketing & brand
45
DBX ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (133 -> 135). IAPD ↗institutional
$28.99B RAUM · 10 reps · 212-454-4500
ComplianceMarketing & brand
40
DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 2 (710 -> 712). IAPD ↗institutional
$0 RAUM · 134 reps · 212-250-2500 · db.com
ComplianceMarketing & brand
40
CAPITAL CLIENT GROUP, INC.'s Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗institutional
$0 RAUM · 699 reps · 213-486-9200 · retirementsolutions.financialtrans.com
ComplianceMarketing & brand
40
CAPITAL INTERNATIONAL, INC.'s Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗fund
$51.92B RAUM · 46 reps · 213-486-9200 · mymanagedfunds.com.au
ComplianceMarketing & brand
40
CAPITAL RESEARCH COMPANY's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗institutional
$0 RAUM · 118 reps · 213-486-9200 · capitalgroup.com
ComplianceMarketing & brand
40
INDUSTRY VENTURES's Item 11 disclosure-reporting entries rose by 2 (25 -> 27). IAPD ↗fund
$9.06B RAUM · 26 reps · 415-273-4201
ComplianceMarketing & brand
40
LMR PARTNERS LLC's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗fund
$140.11B RAUM · 66 reps · 646-891-5701 · lmrpartners.com
ComplianceMarketing & brand
40
MADISON AVENUE SOLUTIONS, LLC's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗fund
$2.06B RAUM · 0 reps · 312-962-3800 · hightoweradvisors.com
ComplianceMarketing & brand
38
HCIP ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$339.3M RAUM · 1 reps · 210-274-0985
ComplianceMarketing & brand
25
DWS INTERNATIONAL GMBH's Item 11 disclosure-reporting entries rose by 2 (133 -> 135). IAPD ↗foreign
$228.87B RAUM · 80 reps · 49 69 910 12371
ComplianceMarketing & brand
25
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL's Item 11 disclosure-reporting entries rose by 2 (29 -> 31). IAPD ↗foreign
$621.02B RAUM · 412 reps · 44-207-774-1000 · am.gs.com
ComplianceMarketing & brand
25
DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 2 (132 -> 134). 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 2 (149 -> 151). 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 2 (135 -> 137). IAPD ↗foreign
$5.10B RAUM · 17 reps · 852-2203-8888 · etf.dws.com
ComplianceMarketing & brand
25
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD.'s Item 11 disclosure-reporting entries rose by 2 (33 -> 35). IAPD ↗foreign
$71.83B RAUM · 86 reps · 81-3-4587-6000
ComplianceMarketing & brand
25
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED's Item 11 disclosure-reporting entries rose by 2 (33 -> 35). IAPD ↗foreign
$21.19B RAUM · 53 reps · 852 2978 1000
ComplianceMarketing & brand
25
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD.'s Item 11 disclosure-reporting entries rose by 2 (33 -> 35). IAPD ↗foreign
$13.78B RAUM · 56 reps · 65 6889 1000
ComplianceMarketing & brand
pending approved — 47 120-day provisional registration became a full approval.
75
COHEN CAPITAL's provisional registration is now fully approved. IAPD ↗
$1.10B RAUM · 7 reps · (312) 477-3155 · coheninvest.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
75
EVANSON FINANCIAL, LLC DBA EVANSON ASSET MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$5.85B RAUM · 8 reps · 831-333-2060 · evansonasset.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
WILLOW CREEK CAPITAL MANAGEMENT, INC.'s provisional registration is now fully approved. IAPD ↗
$280.0M RAUM · 4 reps · 406-830-3286 · raymondjames.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
PRIVATE WEALTH CONSULTING, LLC's provisional registration is now fully approved. IAPD ↗
$259.3M RAUM · 4 reps · (816) 888-9888 · privatewealthconsultingllc.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
MAUNEY-PITT FINANCIAL MANAGEMENT, INC.'s provisional registration is now fully approved. IAPD ↗
$418.0M RAUM · 2 reps · (704) 481-0101 · mauney-pitt.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
WILLIAMS ASSET MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$661.1M RAUM · 6 reps · 410-740-0220 · williamsassetmanagement.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ARBORSTONE FINANCIAL, LLC's provisional registration is now fully approved. IAPD ↗
$476.0M RAUM · 4 reps · 978-269-6344 · arborstonefinancial.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
OCEAN PATH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$559.5M RAUM · 5 reps · 310 302 7685 · oceanpath.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ADVISORY SOLUTIONS GROUP's provisional registration is now fully approved. IAPD ↗
$408.4M RAUM · 33 reps · 763-417-1700 · advisorysolutions.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
HESMER WEALTH MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$288.4M RAUM · 4 reps · 252-230-7699
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
AUTONOMOUS WEALTH MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 914-650-1988 · autonomouswealthmanagement.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PEAK ALTITUDE PARTNERS, LP's provisional registration is now fully approved. IAPD ↗
$68.1M RAUM · 4 reps · 212-970-6451 · peakalts.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ANGELES FAMILY OFFICE's provisional registration is now fully approved. IAPD ↗
$182.0M RAUM · 2 reps · 310-393-6300
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MADSON WEALTH ADVISORS INC.'s provisional registration is now fully approved. IAPD ↗
$208.7M RAUM · 2 reps · 707-578-6850 · madsonwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ENDOWE ADVISORY LLC's provisional registration is now fully approved. IAPD ↗
$300 RAUM · 1 reps · 650-469-3120 · endowe.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
KRM FINANCIAL PLANNING & WEALTH MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$211.5M RAUM · 1 reps · 630-377-8760 · krmfinancial.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
GUIDED WEALTH, LLC's provisional registration is now fully approved. IAPD ↗
$105.3M RAUM · 3 reps · (508) 980-0999 · guidedwealthplanning.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PFLUEGER WEALTH's provisional registration is now fully approved. IAPD ↗
$100.7M RAUM · 2 reps · 215-499-6850 · pfluegerwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
VALOREM LLC's provisional registration is now fully approved. IAPD ↗
$54.3M RAUM · 1 reps · 917-837-8846 · valoremwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
THIRTEEN TWENTY-TWO ADVISORS's provisional registration is now fully approved. IAPD ↗
$163.5M RAUM · 6 reps · 817-484-9800 · 1322advisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
IRONHORN ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$103.0M RAUM · 1 reps · 512-584-9606 · ironhorn.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SCHULZ FINANCIAL GROUP's provisional registration is now fully approved. IAPD ↗
$114.9M RAUM · 3 reps · (520) 495-2800 · schulzfinancialgroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
GUARDANT WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$149.3M RAUM · 3 reps · 305-845-7511 · guardantwealthadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
STILLWATER PRIVATE WEALTH's provisional registration is now fully approved. IAPD ↗
$176.8M RAUM · 4 reps · 6102910232 · swprivatewealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TENET WEALTH PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗
$246.9M RAUM · 3 reps · 217-281-4250 · tenetwealthpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CHAMBERLAIN LANE CAPITAL, LLC's provisional registration is now fully approved. IAPD ↗
$100.0M RAUM · 1 reps · 615-944-7116 · chamberlainlane.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CAVU WEALTH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$171.6M RAUM · 3 reps · 925.289.9902 · cavuwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
BROOKWOOD ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗institutional
$964.5M RAUM · 3 reps · 978-720-7500
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
INLAND ADVISORY SERVICES, LLC's provisional registration is now fully approved. IAPD ↗institutional
$443.1M RAUM · 36 reps · 630-218-8000
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
ROBINHOOD VENTURES's provisional registration is now fully approved. IAPD ↗institutional
$655.3M RAUM · 8 reps · (650)389-9581
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
ORANGE AVENUE ADVISORS LLC's provisional registration is now fully approved. IAPD ↗institutional
$480.7M RAUM · 2 reps · 407-280-5857
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
RIVERWEST INVESTMENT MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗institutional
$254.1M RAUM · 3 reps · 212-292-7878 · riverwestnyc.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
CHRONOMETER PARTNERS LP's provisional registration is now fully approved. IAPD ↗institutional
$308.4M RAUM · 8 reps · 917.468.7879 · chrono-partners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
FERGHANA INVESTMENT PARTNERS, LP's provisional registration is now fully approved. IAPD ↗institutional
$100.0M RAUM · 4 reps · (212) 763-4823 · ferghanaip.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
SERONE CAPITAL MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗institutional
$116.1M RAUM · 2 reps · 1-646-781-7394
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
XETFS's provisional registration is now fully approved. IAPD ↗institutional
$957,278 RAUM · 2 reps · 347-647-0193
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
VERDARA PPP LLC's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 1 reps · 813-395-9515
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
SIRENIA CAPITAL MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗fund
$4.26B RAUM · 10 reps · 212-516-4765
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
JONES HILL CAPITAL LP's provisional registration is now fully approved. IAPD ↗fund
$642.4M RAUM · 4 reps · (212) 328-9320 · joneshillcapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
FATHOM POINT CAPITAL LLC's provisional registration is now fully approved. IAPD ↗fund
$280.0M RAUM · 2 reps · 415-636-5500 · fathompointcapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
LOON LAKE CAPITAL MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗fund
$336.0M RAUM · 3 reps · 857-228-6012 · loonlakecapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
HCIP ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗fund
$339.3M RAUM · 1 reps · 210-274-0985
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
BLANTYRE CAPITAL US LLC's provisional registration is now fully approved. IAPD ↗fund
$101.6M RAUM · 3 reps · +44 (20) 7534 0450 · blantyrecapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗fund
$155.4M RAUM · 8 reps · 203-202-8606 · guggenheiminvestments.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
COVE VIEW INVESTMENT PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗fund
$127.8M RAUM · 2 reps · (516) 456-4468 · coveviewinvestmentpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
PC3 PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗fund
$156.0M RAUM · 3 reps · 305-686-5900 · pc3partners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
CLEVELAND CAPITAL MANAGEMENT, L.L.C.'s provisional registration is now fully approved. IAPD ↗fund
$215.8M RAUM · 2 reps · 440 333 4925 · clevelandcapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
website changed — 28 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
ALLSPRING FUNDS MANAGEMENT, LLC changed its website from allspringglobal.com to music.amazon.com. IAPD ↗
$324.65B RAUM · 3 reps · 833-289-5038 · music.amazon.com
Marketing & brand
30
ZACKS INVESTMENT MANAGEMENT, INC. changed its website from zacksandassociates.com to zacksintelligence.com. IAPD ↗
$14.59B RAUM · 11 reps · 312-265-9266 · zacksintelligence.com
Marketing & brand
30
CONSOLIDATED PORTFOLIO REVIEW CORP changed its website from martinsonstolleradvisors.com to amcapwealth.com. IAPD ↗
$1.59B RAUM · 47 reps · 631-845-5100 · amcapwealth.com
Marketing & brand
30
ACORN FINANCIAL ADVISORY SERVICES, INC. changed its website from olddominionira.com to acorn-financial.com. IAPD ↗
$1.40B RAUM · 11 reps · (703) 293-3100 · acorn-financial.com
Marketing & brand
30
TWO WEST CAPITAL ADVISORS LLC changed its website from stewartadvisory.com to twowestcompanies.com. IAPD ↗
$3.89B RAUM · 15 reps · 913-825-1722 · twowestcompanies.com
Marketing & brand
30
THE PATRIOT FINANCIAL GROUP, LLC changed its website from rulefinancialservices.com to bankgloucester.com. IAPD ↗
$2.64B RAUM · 32 reps · 508-251-6100 · bankgloucester.com
Marketing & brand
30
HIGH PROBABILITY ADVISORS, LLC changed its website from highprobabilityadvisors.com to vimeo.com. IAPD ↗
$1.05B RAUM · 13 reps · 585-485-0135 · vimeo.com
Marketing & brand
30
ASCENTIS INDEPENDENT ADVISORS, LLC changed its website from ascentisadvisors.com to marshallwealthadvisors.com. IAPD ↗
$2.09B RAUM · 39 reps · 866-273-1563 · marshallwealthadvisors.com
Marketing & brand
28
LANTERN WEALTH ADVISORS, LLC changed its website from lanternwa.com to heroldlantern.com. IAPD ↗
$319.9M RAUM · 26 reps · 631-454-2000 · heroldlantern.com
Marketing & brand
28
KEENER FINANCIAL PLANNING changed its website from objectivefinancialplanning.com to keenerfinancialplanning.com. IAPD ↗
$479.0M RAUM · 10 reps · 817-993-0401 · keenerfinancialplanning.com
Marketing & brand
28
WELLMENT FINANCIAL changed its website from fsrwealth.com to academy.wellment.com. IAPD ↗
$312.7M RAUM · 11 reps · 630-993-8200 · academy.wellment.com
Marketing & brand
28
SUNCAP MANAGEMENT changed its website from hackett-group.com to 4suncap.com. IAPD ↗
$380.0M RAUM · 4 reps · (800) 478-6227 · 4suncap.com
Marketing & brand
28
SERENITY INVESTMENT ADVISORS changed its website from yelp.com to serenitywm.com. IAPD ↗
$513.6M RAUM · 5 reps · 312-734-1415 · serenitywm.com
Marketing & brand
28
WEST WEALTH GROUP, LLC changed its website from ensemblewm.com to yelp.com. IAPD ↗
$616.7M RAUM · 13 reps · 949-682-9105 · yelp.com
Marketing & brand
28
STEVENS CAPITAL PARTNERS changed its website from stevenscapitalpartners.com to mypurposefulwealth.com. IAPD ↗
$600.7M RAUM · 10 reps · 402-251-5800 · mypurposefulwealth.com
Marketing & brand
28
PARKWOODS WEALTH PARTNERS, LLC changed its website from parkwoodswealth.com to parkwoods.com. IAPD ↗
$961.9M RAUM · 14 reps · (877) 278-2716 · parkwoods.com
Marketing & brand
25
WEALTH MANAGEMENT SOLUTIONS changed its website from nextdoor.com to findyourindependentadvisor.com. IAPD ↗
$172.6M RAUM · 2 reps · 480-609-4334 · findyourindependentadvisor.com
Marketing & brand
25
KEEN CAPITAL, LTD changed its website from coreadvisors.com to keeninvestors.com. IAPD ↗
$179.7M RAUM · 4 reps · 803-941-4444 · keeninvestors.com
Marketing & brand
25
BAMBOO WEALTH STRATEGIES changed its website from bamboowealth.com to bamboowealthstrategies.com. IAPD ↗
$235.7M RAUM · 4 reps · (619) 289-9670 · bamboowealthstrategies.com
Marketing & brand
25
FOREFRONT ASSET MANAGEMENT, LLC changed its website from bookameetingwithus.com to forefrontam.com. IAPD ↗
$136.9M RAUM · 3 reps · 757-222-1880 · forefrontam.com
Marketing & brand
25
HAZLETT WEALTH MANAGEMENT LLC changed its website from hazlettwealth.com to hazlettwealthmanagement.com. IAPD ↗
$160.0M RAUM · 1 reps · 208-726-0605 · hazlettwealthmanagement.com
Marketing & brand
25
WEALTHIE ADVISORS changed its website from wealthieadvisors.com to bewealthie.com. IAPD ↗
$18,108 RAUM · 2 reps · (718) 550-1401 · bewealthie.com
Marketing & brand
20
SOUNDWATCH CAPITAL, LLC changed its website from soundwatch.com to soundwatchfunds.com. IAPD ↗institutional
$1.02B RAUM · 4 reps · 646-442-9655 · soundwatchfunds.com
Marketing & brand
18
TEUCRIUM INVESTMENT ADVISORS, LLC changed its website from teucrium.com to insights.teucrium.com. IAPD ↗institutional
$277.4M RAUM · 5 reps · 802-540-0019 · insights.teucrium.com
Marketing & brand
18
FREIF ADVISORS LLC changed its website from forumig.com to freif.com. IAPD ↗institutional
$569.9M RAUM · 29 reps · 303-501-8860 · freif.com
Marketing & brand
15
SABA CAPITAL MANAGEMENT, L.P. changed its website from sabacapital.com to sabacef.com. IAPD ↗fund
$18.30B RAUM · 17 reps · 212-542-3610 · sabacef.com
Marketing & brand
15
LOVELL MINNICK changed its website from lmpartners.com to lovellminnick.com. IAPD ↗fund
$5.21B RAUM · 23 reps · 610-995-9660 · lovellminnick.com
Marketing & brand
13
FIRST SENTIER INVESTORS (US) LLC changed its website from firstsentiergroup.com to firstsentierfunds.com. IAPD ↗fund
$968.6M RAUM · 17 reps · 212-497-9980 · firstsentierfunds.com
Marketing & brand
relocation — 27 Main office moved to a different city or state.
50
THREADLINE WEALTH moved its main office from SEATTLE, WA to BELLEVUE, WA. IAPD ↗
$5.77B RAUM · 30 reps · 425-650-9500
Office IT & facilitiesMarketing & brand
50
PENTEGRA INVESTORS, INC. moved its main office from WHITE PLAINS, NY to SHELTON, CT. IAPD ↗
$5.60B RAUM · 5 reps · (800) 872-3473 · pentegra.com
Office IT & facilitiesMarketing & brand
50
ARTEMIS WEALTH ADVISORS, LLC moved its main office from NEW YORK, NY to PORT WASHINGTON, NY. IAPD ↗
$1.91B RAUM · 5 reps · 212-838-9000 · artemiswa.com
Office IT & facilitiesMarketing & brand
50
REAGAN COMPANIES ASSET MANAGEMENT, INC moved its main office from MARCELLUS, NY to SYRACUSE, NY. IAPD ↗
$1.16B RAUM · 4 reps · 315-673-2094 · reaganinvesting.com
Office IT & facilitiesMarketing & brand
48
HILLCREST WEALTH ADVISORS - NY, LLC moved its main office from HAZLET, NJ to HOLMDEL, NJ. IAPD ↗
$390.7M RAUM · 1 reps · 732-837-4455 · hcwadvisors.com
Office IT & facilitiesMarketing & brand
48
LEGACIES WEALTH LLC moved its main office from WAYZATA, MN to MINNETONKA, MN. IAPD ↗
$505.4M RAUM · 3 reps · 612-376-4040
Office IT & facilitiesMarketing & brand
48
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC moved its main office from NEW YORK, NY to HOLMDEL, NJ. IAPD ↗
$706.0M RAUM · 10 reps · 212-417-8247 · empiream.com
Office IT & facilitiesMarketing & brand
48
AIFAM GROUP LLC moved its main office from WHITE PLAINS, NY to RYE, NY. IAPD ↗
$289.2M RAUM · 6 reps · 212-682-6100 · aifaminc.com
Office IT & facilitiesMarketing & brand
48
PREPARED RETIREMENT INSTITUTE LLC moved its main office from LANSDALE, PA to MONTGOMERYVILLE, PA. IAPD ↗
$307.6M RAUM · 4 reps · 215-997-5700
Office IT & facilitiesMarketing & brand
48
INNOVA ADVISORS moved its main office from MIAMI, FL to CORAL GABLES, FL. IAPD ↗
$264.8M RAUM · 2 reps · 305-646-1557 · innovadvisors.com
Office IT & facilitiesMarketing & brand
45
RIDGE CAPITAL MANAGEMENT, LLC moved its main office from ALPHARETTA, GA to JOHN CREEK, GA. IAPD ↗
$186.0M RAUM · 4 reps · 770-516-7747
Office IT & facilitiesMarketing & brand
45
HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC. moved its main office from NOVATO, CA to SAN RAFAEL, CA. IAPD ↗
$235.4M RAUM · 2 reps · 415-259-3933 · hzadvisors.com
Office IT & facilitiesMarketing & brand
45
MINDFUL WEALTH LLC moved its main office from NORTHBROOK, IL to GLENCOE, IL. IAPD ↗
$225.3M RAUM · 1 reps · 312-953-9900 · mindfulwealthllc.com
Office IT & facilitiesMarketing & brand
45
MILLSTONE FINANCIAL GROUP moved its main office from MILLSTONE, NJ to PRINCETON, NJ. IAPD ↗
$104.4M RAUM · 6 reps · 732-385-8544
Office IT & facilitiesMarketing & brand
45
BRIGHT LAKE WEALTH MANAGEMENT, LLC moved its main office from ROSEVILLE, CA to REDDING, CA. IAPD ↗
$103.6M RAUM · 4 reps · (530) 395-0202 · brightlakewealth.com
Office IT & facilitiesMarketing & brand
45
FINANCEHQ LLC moved its main office from CORAL GABLES, FL to NEW YORK, NY. IAPD ↗
$0 RAUM · 0 reps · 415-234-3727
Office IT & facilitiesMarketing & brand
45
CLERA moved its main office from COSTA MESA, CA to BAKERSFIELD, CA. IAPD ↗
$0 RAUM · 2 reps · +1 (661) 889-7456 · askclera.com
Office IT & facilitiesMarketing & brand
45
CAVU WEALTH ADVISORS, LLC moved its main office from MORAGA, CA to WALNUT CREEK, CA. IAPD ↗
$171.6M RAUM · 3 reps · 925.289.9902 · cavuwealth.com
Office IT & facilitiesMarketing & brand
45
TBG-BEDFORD GROUP LLC moved its main office from FESTUS, MO to SAINT LOUIS, MO. IAPD ↗
$0 RAUM · 9 reps · (314) 957-5737
Office IT & facilitiesMarketing & brand
40
SOUNDWATCH CAPITAL, LLC moved its main office from ROWAYTON, CT to DALLAS, TX. IAPD ↗institutional
$1.02B RAUM · 4 reps · 646-442-9655 · soundwatchfunds.com
Office IT & facilitiesMarketing & brand
35
MESIROW FINANCIAL PRIVATE EQUITY ADVISORS, INC. moved its main office from CHICAGO, IL to CHICAGO, CT. IAPD ↗fund
$7.09B RAUM · 6 reps · 312-595-6000 · mesirow.com
Office IT & facilitiesMarketing & brand
33
HIGHCREST CAPITAL, LLC moved its main office from FREDRICKSBURG, TX to FREDERICKSBURG, TX. IAPD ↗fund
$823.7M RAUM · 10 reps · 830-214-2770 · highcrestcapital.com
Office IT & facilitiesMarketing & brand
33
ARDAN EQUITY PARTNERS, LLC moved its main office from MIAMI, FL to WEST PALM BEACH, FL. IAPD ↗fund
$441.4M RAUM · 6 reps · 917-304-7294
Office IT & facilitiesMarketing & brand
33
HAMILTON SQUARE PARTNERS MANAGEMENT, LP moved its main office from PRINCETON, NJ to NEW YORK, NY. IAPD ↗fund
$319.3M RAUM · 5 reps · (646) 649-6790 · hsqhealthcare.com
Office IT & facilitiesMarketing & brand
33
HCIP ADVISORS, LLC moved its main office from CHICAGO, IL to NASHVILLE, TN. IAPD ↗fund
$339.3M RAUM · 1 reps · 210-274-0985
Office IT & facilitiesMarketing & brand
30
STROBE VENTURES moved its main office from NEW YORK, NY to BROOKLYN, NY. IAPD ↗fund
$245.2M RAUM · 4 reps · 702-659-1042 · strobe.fund
Office IT & facilitiesMarketing & brand
30
MAPLE PARK CAPITAL moved its main office from DALLAS, TN to DALLAS, TX. IAPD ↗fund
$162.2M RAUM · 5 reps · 214-302-5550
Office IT & facilitiesMarketing & brand
headcount up — 25 Advisory representative count grew materially (>=20% or >=5 reps).
83
ADVISORY SOLUTIONS GROUP grew from 4 to 33 advisory reps. IAPD ↗
$408.4M RAUM · 33 reps · 763-417-1700 · advisorysolutions.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
UMB PRIVATE WEALTH MANAGEMENT, LLC grew from 1 to 41 advisory reps. IAPD ↗
$68.4M RAUM · 41 reps · 816-860-7000 · umb.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
BLACKRIDGE ASSET MANAGEMENT, LLC grew from 59 to 67 advisory reps. IAPD ↗
$370.3M RAUM · 67 reps · 561-641-5050
CRMRecruiting & transitionsComplianceFinancial planning software
74
EVANSON FINANCIAL, LLC DBA EVANSON ASSET MANAGEMENT grew from 4 to 8 advisory reps. IAPD ↗
$5.85B RAUM · 8 reps · 831-333-2060 · evansonasset.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
KINETIC INVESTMENT MANAGEMENT, INC. grew from 24 to 29 advisory reps. IAPD ↗
$450.9M RAUM · 29 reps · (800) 711-4818
CRMRecruiting & transitionsComplianceFinancial planning software
73
INLAND ADVISORY SERVICES, LLC grew from 1 to 36 advisory reps. IAPD ↗institutional
$443.1M RAUM · 36 reps · 630-218-8000
CRMRecruiting & transitionsComplianceFinancial planning software
73
TBG-BEDFORD GROUP LLC grew from 1 to 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · (314) 957-5737
CRMRecruiting & transitionsComplianceFinancial planning software
72
COHEN CAPITAL grew from 5 to 7 advisory reps. IAPD ↗
$1.10B RAUM · 7 reps · (312) 477-3155 · coheninvest.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
ALPHA ZERO LLC grew from 8 to 11 advisory reps. IAPD ↗
$269.8M RAUM · 11 reps · (561) 576-2599 · alphazerowealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
LONESTAR REGISTERED INVESTMENT ADVISORS, PLLC grew from 9 to 11 advisory reps. IAPD ↗
$274.0M RAUM · 11 reps · 866-785-5350 · retirewithlonestar.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
ARCADIA WEALTH MANAGEMENT, LLC grew from 9 to 11 advisory reps. IAPD ↗
$445.5M RAUM · 11 reps · 603-681-9190
CRMRecruiting & transitionsComplianceFinancial planning software
70
H. L. ORMOND & COMPANY, LLC grew from 2 to 4 advisory reps. IAPD ↗
$401.4M RAUM · 4 reps · (252) 756-4010 · hlormond.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
RELATION WEALTH MANAGEMENT, INC. grew from 5 to 7 advisory reps. IAPD ↗
$541.2M RAUM · 7 reps · (918) 999-9138 · relationwealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
SHAFFER CAPITAL grew from 2 to 4 advisory reps. IAPD ↗
$211.1M RAUM · 4 reps · 614-891-1200 · shaffercapital.net
CRMRecruiting & transitionsComplianceFinancial planning software
67
A4 WEALTH ADVISORS LLC grew from 6 to 8 advisory reps. IAPD ↗
$213.7M RAUM · 8 reps · 704-509-1141 · a4cfp.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
FOUNDRY FINANCIAL LLC grew from 5 to 7 advisory reps. IAPD ↗
$232.6M RAUM · 7 reps · (213) 802-8662 · foundryfinancial.org
CRMRecruiting & transitionsComplianceFinancial planning software
67
VINCIMUS CAPITAL, LLC grew from 2 to 4 advisory reps. IAPD ↗
$183.7M RAUM · 4 reps · 904.226.4946 · vincimus.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
BAM WEALTH MANAGEMENT LLC grew from 7 to 9 advisory reps. IAPD ↗
$202.0M RAUM · 9 reps · 303-531-5055 · bamadvisorygroup.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
HAMPTON ROCK WEALTH MANAGEMENT grew from 5 to 7 advisory reps. IAPD ↗
$192.4M RAUM · 7 reps · 512-256-9272 · hamptonrock.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
STILLWATER PRIVATE WEALTH grew from 2 to 4 advisory reps. IAPD ↗
$176.8M RAUM · 4 reps · 6102910232 · swprivatewealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
64
SIRENIA CAPITAL MANAGEMENT LP grew from 1 to 10 advisory reps. IAPD ↗fund
$4.26B RAUM · 10 reps · 212-516-4765
CRMRecruiting & transitionsComplianceFinancial planning software
62
CHRONOMETER PARTNERS LP grew from 4 to 8 advisory reps. IAPD ↗institutional
$308.4M RAUM · 8 reps · 917.468.7879 · chrono-partners.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
LIGHT ARC CAPITAL MANAGEMENT LLC grew from 2 to 4 advisory reps. IAPD ↗fund
$324.1M RAUM · 4 reps · 475-385-2289 · lightarccm.com
CRMRecruiting & transitionsComplianceFinancial planning software
46
7RIDGE LIMITED grew from 7 to 13 advisory reps. IAPD ↗foreign
$1.23B RAUM · 13 reps · +44 20 8148 1378 · 7ridge.com
CRMRecruiting & transitionsComplianceFinancial planning software
37
HIGHGATE GROUP USA INC. grew from 3 to 5 advisory reps. IAPD ↗foreign
$17.0M RAUM · 5 reps · 514-789-7140
CRMRecruiting & transitionsComplianceFinancial planning software
aum up — 24 Regulatory AUM up >=25% since last filing.
75
BARON CAPITAL MANAGEMENT, INC. reported RAUM up 87% ($5.76B -> $10.79B). IAPD ↗
$10.79B RAUM · 41 reps · 212-583-2000
Portfolio / reporting / TAMPCRMFinancial planning software
73
SOLOMON API LLC reported RAUM up 125% ($173.1M -> $389.0M). IAPD ↗
$389.0M RAUM · 3 reps · 321-888-2599
Portfolio / reporting / TAMPCRMFinancial planning software
73
BLACKRIDGE ASSET MANAGEMENT, LLC reported RAUM up 88% ($196.8M -> $370.3M). IAPD ↗
$370.3M RAUM · 67 reps · 561-641-5050
Portfolio / reporting / TAMPCRMFinancial planning software
73
WAVVEST WEALTH reported RAUM up 8179% ($3.2M -> $268.5M). IAPD ↗
$268.5M RAUM · 3 reps · 630-699-8602
Portfolio / reporting / TAMPCRMFinancial planning software
70
M2 CAPITAL ADVISORS reported RAUM up 298% ($39.7M -> $158.0M). IAPD ↗
$158.0M RAUM · 6 reps · (661) 347-0202
Portfolio / reporting / TAMPCRMFinancial planning software
68
ROSSBY FINANCIAL, LLC reported RAUM up 51% ($566.0M -> $854.8M). IAPD ↗
$854.8M RAUM · 2 reps · 321-209-0111
Portfolio / reporting / TAMPCRMFinancial planning software
66
INVESTMENT MANAGEMENT ASSOCIATES reported RAUM up 41% ($572.7M -> $810.0M). IAPD ↗
$810.0M RAUM · 4 reps · 303-796-8333
Portfolio / reporting / TAMPCRMFinancial planning software
66
INDIVISIBLE PARTNERS reported RAUM up 34% ($1.55B -> $2.08B). IAPD ↗
$2.08B RAUM · 13 reps · 732-306-5490 · linkedin.company
Portfolio / reporting / TAMPCRMFinancial planning software
65
DMK ADVISOR GROUP, INC. reported RAUM up 55% ($84.5M -> $130.8M). IAPD ↗
$130.8M RAUM · 28 reps · 813-996-6100
Portfolio / reporting / TAMPCRMFinancial planning software
65
NEUMEIER POMA INVESTMENT COUNSEL LLC reported RAUM up 26% ($1.09B -> $1.37B). IAPD ↗
$1.37B RAUM · 6 reps · 831-625-6355 · npsmallvalue.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
TAURUS FINANCIAL reported RAUM up 53% ($106.4M -> $162.5M). IAPD ↗
$162.5M RAUM · 3 reps · 201 500 6322
Portfolio / reporting / TAMPCRMFinancial planning software
63
PINION WEALTH MANAGEMENT, LLC reported RAUM up 29% ($649.0M -> $837.1M). IAPD ↗
$837.1M RAUM · 8 reps · 316-682-8344
Portfolio / reporting / TAMPCRMFinancial planning software
63
NORTH CAPITAL reported RAUM up 25% ($292.6M -> $365.8M). IAPD ↗
$365.8M RAUM · 6 reps · 888-625-7768 X1 · northcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
62
BOYD CAPITAL reported RAUM up 35% ($124.5M -> $168.3M). IAPD ↗
$168.3M RAUM · 2 reps · 585-269-8511 · boydcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
MARSHALL WACE NORTH AMERICA L.P. reported RAUM up 78% ($33.00B -> $58.87B). IAPD ↗fund
$58.87B RAUM · 112 reps · 212-235-2800 · mwam.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
OBP CAPITAL reported RAUM up 115% ($78.5M -> $168.8M). IAPD ↗institutional
$168.8M RAUM · 2 reps · 252-984-3808
Portfolio / reporting / TAMPCRMFinancial planning software
60
SPEAR ADVISORS LLC reported RAUM up 198% ($60.8M -> $181.3M). IAPD ↗institutional
$181.3M RAUM · 1 reps · 347-597-2738 · spear-invest.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
PFLUEGER WEALTH reported RAUM up 27% ($79.1M -> $100.7M). IAPD ↗
$100.7M RAUM · 2 reps · 215-499-6850 · pfluegerwealth.com
Portfolio / reporting / TAMPCRMFinancial planning software
59
COMMUNITY DEVELOPMENT FUND ADVISORS, LLC reported RAUM up 58% ($206.1M -> $326.4M). IAPD ↗institutional
$326.4M RAUM · 2 reps · 305-663-0100 · communitydevelopmentfund.com
Portfolio / reporting / TAMPCRMFinancial planning software
55
RLH CAPITAL, LLC reported RAUM up 210% ($63.5M -> $196.8M). IAPD ↗fund
$196.8M RAUM · 1 reps · (561) 302-5183
Portfolio / reporting / TAMPCRMFinancial planning software
53
REVELATION CAPITAL MANAGEMENT, LLC reported RAUM up 44% ($1.61B -> $2.32B). IAPD ↗fund
$2.32B RAUM · 12 reps · 415-636-5420 · revelation-partners.com
Portfolio / reporting / TAMPCRMFinancial planning software
41
PERPETUA reported RAUM up 59% ($1.05B -> $1.67B). IAPD ↗foreign
$1.67B RAUM · 11 reps · + 27 021 180 4900
Portfolio / reporting / TAMPCRMFinancial planning software
40
TORMA CAPITAL LLP reported RAUM up 134% ($26.5M -> $62.1M). IAPD ↗foreign
$62.1M RAUM · 4 reps · 0044 20 7096 6299 · tormacapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
37
PORTMAN SQUARE CAPITAL LLP reported RAUM up 36% ($3.36B -> $4.58B). IAPD ↗foreign
$4.58B RAUM · 6 reps · 44 203 627 6800 · portmansquarecapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
custody started — 24 Firm now reports custody of client assets — surprise exams and controls follow.
70
HOOD RIVER CAPITAL MANAGEMENT LLC now reports custody of client assets ($10.7M). IAPD ↗
$9.45B RAUM · 20 reps · 561-484-5699
ComplianceCustodian
70
ADVUS FINANCIAL PARTNERS, LLC now reports custody of client assets ($10.1M). IAPD ↗
$3.97B RAUM · 10 reps · 407-585-1160 · vimeo.com
ComplianceCustodian
70
COHEN CAPITAL now reports custody of client assets ($735.3M). IAPD ↗
$1.10B RAUM · 7 reps · (312) 477-3155 · coheninvest.com
ComplianceCustodian
70
GRYPHON WEALTH now reports custody of client assets ($408.3M). IAPD ↗
$3.24B RAUM · 6 reps · 904-450-5330
ComplianceCustodian
68
PETERSON WEALTH MANAGEMENT, LLC now reports custody of client assets ($3.1M). IAPD ↗
$251.1M RAUM · 3 reps · 775-673-1100
ComplianceCustodian
68
1808 CAPITAL PARTNERS now reports custody of client assets ($65.1M). IAPD ↗
$644.6M RAUM · 4 reps · 336-814-9800 · 1808capital.com
ComplianceCustodian
65
PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY now reports custody of client assets. IAPD ↗
$87.5M RAUM · 1 reps · 800-404-6693 · pacificglobal.us
ComplianceCustodian
65
OAK STREET ADVISORS now reports custody of client assets ($54.8M). IAPD ↗
$126.2M RAUM · 2 reps · 843-946-9868 · oakadvisors.com
ComplianceCustodian
65
HIGHPASS ASSET MANAGEMENT LLC now reports custody of client assets ($5.1M). IAPD ↗
$218.2M RAUM · 2 reps · 303-357-4602 · highpassasset.com
ComplianceCustodian
65
COX & COOK WEALTH ADVISORS now reports custody of client assets ($119.5M). IAPD ↗
$119.5M RAUM · 2 reps · 614-764-2366 · plans2retire.com
ComplianceCustodian
65
MEDICUS WEALTH PLANNING, INC. now reports custody of client assets ($53.4M). IAPD ↗
$160.8M RAUM · 4 reps · 801-994-4777
ComplianceCustodian
65
PEAK ALTITUDE PARTNERS, LP now reports custody of client assets. IAPD ↗
$68.1M RAUM · 4 reps · 212-970-6451 · peakalts.com
ComplianceCustodian
65
ANGELES FAMILY OFFICE now reports custody of client assets ($9.8M). IAPD ↗
$182.0M RAUM · 2 reps · 310-393-6300
ComplianceCustodian
65
STILLWATER PRIVATE WEALTH now reports custody of client assets ($37.0M). IAPD ↗
$176.8M RAUM · 4 reps · 6102910232 · swprivatewealth.com
ComplianceCustodian
65
PROPEL PRIVATE WEALTH LLC now reports custody of client assets ($320,968). IAPD ↗
$2.8M RAUM · 1 reps · (424) 222-5767 · propelprivatewealth.com
ComplianceCustodian
65
EVOLUTION VISION WEALTH MANAGEMENT now reports custody of client assets ($65.4M). IAPD ↗
$65.4M RAUM · 2 reps · (800) 810-5410 · evolutionvisionwm.com
ComplianceCustodian
58
BROOKWOOD ADVISORS, LLC now reports custody of client assets ($964.5M). IAPD ↗institutional
$964.5M RAUM · 3 reps · 978-720-7500
ComplianceCustodian
55
MARKETS INFRASTRUCTURE PARTNERS now reports custody of client assets ($80.8M). IAPD ↗fund
$1.11B RAUM · 4 reps · (646) 464-0315 · marketsinfrastructure.com
ComplianceCustodian
55
SIRENIA CAPITAL MANAGEMENT LP now reports custody of client assets ($198.1M). IAPD ↗fund
$4.26B RAUM · 10 reps · 212-516-4765
ComplianceCustodian
53
LIGHT ARC CAPITAL MANAGEMENT LLC now reports custody of client assets ($398.8M). IAPD ↗fund
$324.1M RAUM · 4 reps · 475-385-2289 · lightarccm.com
ComplianceCustodian
50
THORNBURG BOW RIVER ADVISERS, LLC. now reports custody of client assets ($448.3M). IAPD ↗fund
$224.2M RAUM · 7 reps · 303-861-8466
ComplianceCustodian
50
ARGO MANAGEMENT AND RESEARCH COMPANY, LLC now reports custody of client assets ($38.5M). IAPD ↗fund
$200.6M RAUM · 2 reps · 646-584-5514 · argomrc.com
ComplianceCustodian
50
COVE VIEW INVESTMENT PARTNERS, LLC now reports custody of client assets ($255.7M). IAPD ↗fund
$127.8M RAUM · 2 reps · (516) 456-4468 · coveviewinvestmentpartners.com
ComplianceCustodian
50
PC3 PARTNERS, LLC now reports custody of client assets ($312.1M). IAPD ↗fund
$156.0M RAUM · 3 reps · 305-686-5900 · pc3partners.com
ComplianceCustodian
rename — 17 Primary business name changed: rebrand, merger, or ownership change.
60
MOSS ADAMS WEALTH ADVISORS LLC is now doing business as THREADLINE WEALTH. IAPD ↗
$5.77B RAUM · 30 reps · 425-650-9500
Marketing & brandCRM
60
J.DEREK LEWIS & ASSOCIATES, INC. is now doing business as JDL ADVISERS. IAPD ↗
$2.28B RAUM · 10 reps · 949-752-9096
Marketing & brandCRM
58
MERIDIAN FINANCIAL, LLC is now doing business as MERIDIAN FINANCIAL ADVISORS, LLC. IAPD ↗
$283.9M RAUM · 2 reps · (508) 429-2600
Marketing & brandCRM
58
DOUGHERTY WEALTH ADVISERS LLC is now doing business as LEGACIES WEALTH LLC. IAPD ↗
$505.4M RAUM · 3 reps · 612-376-4040
Marketing & brandCRM
58
HACKETT ROBERTSON TOBE GROUP is now doing business as SUNCAP MANAGEMENT. IAPD ↗
$380.0M RAUM · 4 reps · (800) 478-6227 · 4suncap.com
Marketing & brandCRM
55
VORPAHL WING SECURITIES, INC. is now doing business as VORPAHL WING ADVISORS, INC.. IAPD ↗
$124.4M RAUM · 4 reps · 509-747-1749 · vorpahlwing.com
Marketing & brandCRM
55
COBLER CAPITAL MANAGEMENT, LLC is now doing business as SCHWARZ INVESTMENT PARTNERS. IAPD ↗
$184.9M RAUM · 2 reps · (785) 582-5805 · schwarzinvestmentpartners.com
Marketing & brandCRM
55
DYCHE WEALTH MANAGEMENT, INC is now doing business as DYCHE, RILEY, & SELMAN WEALTH MANAGEMENT. IAPD ↗
$162.3M RAUM · 3 reps · 770-461-8191
Marketing & brandCRM
55
WNNW WEALTH is now doing business as WINNACLE WEALTH, LLC. IAPD ↗
$145.0M RAUM · 5 reps · 254-776-8400 · winnaclewealth.com
Marketing & brandCRM
55
MEADOWCREST WEALTH MANAGEMENT is now doing business as AWAKEN WEALTH PARTNERS LLC. IAPD ↗
$0 RAUM · 4 reps · 281-358-0134 · awakenwealthpartners.com
Marketing & brandCRM
55
FACTORY CAPITAL is now doing business as FACTORY CAPITAL LLC. IAPD ↗
$0 RAUM · 4 reps · 954-803-9987 · thefactoryhq.com
Marketing & brandCRM
55
QUEEQUEG & MUNGER, LLC is now doing business as TBG-BEDFORD GROUP LLC. IAPD ↗
$0 RAUM · 9 reps · (314) 957-5737
Marketing & brandCRM
45
THE ROCK CREEK GROUP, LP is now doing business as ROCK CREEK GROUP LLC. IAPD ↗fund
$18.38B RAUM · 26 reps · 202-331-3400 · therockcreekgroup.com
Marketing & brandCRM
45
LOVELL MINNICK PARTNERS LLC is now doing business as LOVELL MINNICK. IAPD ↗fund
$5.21B RAUM · 23 reps · 610-995-9660 · lovellminnick.com
Marketing & brandCRM
45
DAYBREAK FUND ADVISORS LLC is now doing business as PELICAN ENERGY PARTNERS. IAPD ↗fund
$1.01B RAUM · 15 reps · 713-559-7110 · pelicanenergypartners.com
Marketing & brandCRM
45
APPLIED QUANTITATIVE INVESTMENTS LLC is now doing business as AQI. IAPD ↗institutional
$0 RAUM · 5 reps · 303-708-1640
Marketing & brandCRM
43
ONE RIVER VOLATILITY ARBITRAGE LLC is now doing business as LIGHT ARC CAPITAL MANAGEMENT LLC. IAPD ↗fund
$324.1M RAUM · 4 reps · 475-385-2289 · lightarccm.com
Marketing & brandCRM
private funds started — 11 Firm reports private funds for the first time.
75
HOOD RIVER CAPITAL MANAGEMENT LLC now reports 1 private fund(s) ($10.7M gross). IAPD ↗
$9.45B RAUM · 20 reps · 561-484-5699
Fund administrationCompliance
75
PREMIER PATH WEALTH PARTNERS, LLC now reports 1 private fund(s) ($0 gross). IAPD ↗
$1.22B RAUM · 5 reps · 973-671-6530
Fund administrationCompliance
70
LANE GENERATIONAL LLC now reports 1 private fund(s) ($0 gross). IAPD ↗
$139.3M RAUM · 2 reps · 617-865-3949 · lanegenerational.com
Fund administrationCompliance
70
PEAK ALTITUDE PARTNERS, LP now reports 1 private fund(s) ($4.2M gross). IAPD ↗
$68.1M RAUM · 4 reps · 212-970-6451 · peakalts.com
Fund administrationCompliance
60
MARKETS INFRASTRUCTURE PARTNERS now reports 1 private fund(s) ($40.4M gross). IAPD ↗fund
$1.11B RAUM · 4 reps · (646) 464-0315 · marketsinfrastructure.com
Fund administrationCompliance
60
SIRENIA CAPITAL MANAGEMENT LP now reports 2 private fund(s) ($3.49B gross). IAPD ↗fund
$4.26B RAUM · 10 reps · 212-516-4765
Fund administrationCompliance
58
FATHOM POINT CAPITAL LLC now reports 2 private fund(s) ($68.0M gross). IAPD ↗fund
$280.0M RAUM · 2 reps · 415-636-5500 · fathompointcapital.com
Fund administrationCompliance
58
LIGHT ARC CAPITAL MANAGEMENT LLC now reports 1 private fund(s) ($199.4M gross). IAPD ↗fund
$324.1M RAUM · 4 reps · 475-385-2289 · lightarccm.com
Fund administrationCompliance
58
HCIP ADVISORS, LLC now reports 1 private fund(s) ($339.3M gross). IAPD ↗fund
$339.3M RAUM · 1 reps · 210-274-0985
Fund administrationCompliance
55
COVE VIEW INVESTMENT PARTNERS, LLC now reports 1 private fund(s) ($127.8M gross). IAPD ↗fund
$127.8M RAUM · 2 reps · (516) 456-4468 · coveviewinvestmentpartners.com
Fund administrationCompliance
55
PC3 PARTNERS, LLC now reports 1 private fund(s) ($156.0M gross). IAPD ↗fund
$156.0M RAUM · 3 reps · 305-686-5900 · pc3partners.com
Fund administrationCompliance
aum down — 10 Regulatory AUM down >=25% since last filing.
50
GUSTO INVESTMENT SERVICES, LLC reported RAUM down 27% ($16.49B -> $12.01B). IAPD ↗
$12.01B RAUM · 2 reps · (888) 228-3491 · retirement.gusto.com
M&A & valuationRecruiting & transitions
48
UNIPLAN INVESTMENT COUNSEL, INC. reported RAUM down 68% ($1.04B -> $330.5M). IAPD ↗
$330.5M RAUM · 10 reps · 262-534-3000
M&A & valuationRecruiting & transitions
45
JRB CAPITAL MANAGEMENT reported RAUM down 73% ($48.2M -> $13.2M). IAPD ↗
$13.2M RAUM · 1 reps · 650-644-5480
M&A & valuationRecruiting & transitions
45
REDMONT WEALTH reported RAUM down 98% ($260.0M -> $4.8M). IAPD ↗
$4.8M RAUM · 1 reps · 312-848-1136
M&A & valuationRecruiting & transitions
45
CORNERSTONE ADVISORS LLC reported RAUM down 97% ($276.9M -> $7.2M). IAPD ↗
$7.2M RAUM · 7 reps · 501-943-7132
M&A & valuationRecruiting & transitions
45
FIDUCIARY CAPITAL MANAGEMENT LLC reported RAUM down 63% ($142.5M -> $52.5M). IAPD ↗
$52.5M RAUM · 6 reps · 503 515 1313 · fiduciarycm.com
M&A & valuationRecruiting & transitions
33
FORUM CAPITAL ADVISORS LLC reported RAUM down 39% ($1.33B -> $815.2M). IAPD ↗fund
$815.2M RAUM · 29 reps · 303-501-8860 · forumcapadvisors.com
M&A & valuationRecruiting & transitions
33
MILITIA CAPITAL MANAGEMENT, LLC reported RAUM down 35% ($1.48B -> $958.6M). IAPD ↗fund
$958.6M RAUM · 5 reps · 1-213-444-9705 · militiacapital.com
M&A & valuationRecruiting & transitions
30
MGM INNOVA CAP MANAGEMENT LLC reported RAUM down 40% ($129.1M -> $78.0M). IAPD ↗fund
$78.0M RAUM · 6 reps · +1.786.437.2335 X180
M&A & valuationRecruiting & transitions
20
BRISTOL GATE CAPITAL PARTNERS INC. reported RAUM down 27% ($2.08B -> $1.51B). IAPD ↗foreign
$1.51B RAUM · 12 reps · 416-921-7076
M&A & valuationRecruiting & transitions
aum crossed 1b — 9 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
WORLD EQUITY GROUP, INC. crossed $1B in regulatory AUM ($944.8M -> $1.00B). IAPD ↗
$1.00B RAUM · 52 reps · 847-342-1700 · worldequitygroup.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
SOUNDWATCH CAPITAL, LLC crossed $1B in regulatory AUM ($958.2M -> $1.02B). IAPD ↗institutional
$1.02B RAUM · 4 reps · 646-442-9655 · soundwatchfunds.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
INTERMEDE GLOBAL PARTNERS INC crossed $1B in regulatory AUM ($369.7M -> $2.14B). IAPD ↗institutional
$2.14B RAUM · 4 reps · 1 (415)9693370 · intermede.co.uk
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
TWIN OAK ETF COMPANY crossed $1B in regulatory AUM ($566.1M -> $1.06B). IAPD ↗institutional
$1.06B RAUM · 3 reps · 617-402-5495 · twinoaketfs.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
1932 INVESTMENT MANAGEMENT crossed $1B in regulatory AUM ($788.0M -> $4.60B). IAPD ↗institutional
$4.60B RAUM · 5 reps · 800-355-2583
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
ELEQUIN CAPITAL, LP crossed $1B in regulatory AUM ($520.2M -> $2.07B). IAPD ↗fund
$2.07B RAUM · 13 reps · 929.226.2115 · elequincapital.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
ARCHITECT CAPITAL CORP. crossed $1B in regulatory AUM ($695.6M -> $1.23B). IAPD ↗fund
$1.23B RAUM · 6 reps · 650-769-7630 · architect.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
MARKETS INFRASTRUCTURE PARTNERS crossed $1B in regulatory AUM ($535.0M -> $1.11B). IAPD ↗fund
$1.11B RAUM · 4 reps · (646) 464-0315 · marketsinfrastructure.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
CORDIANT CAPITAL INC. crossed $1B in regulatory AUM ($61.9M -> $2.77B). IAPD ↗foreign
$2.77B RAUM · 9 reps · 1-514-286-1142 · cordiantcap.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
planning started — 8 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
78
ROGAN & ASSOCIATES now offers financial planning (Item 5G(1)). IAPD ↗
$709.6M RAUM · 9 reps · 727-712-3400
Financial planning softwareCRM
78
ZOE FINANCIAL, INC. now offers financial planning (Item 5G(1)). IAPD ↗
$283.5M RAUM · 2 reps · 646-680-9244
Financial planning softwareCRM
78
H. L. ORMOND & COMPANY, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$401.4M RAUM · 4 reps · (252) 756-4010 · hlormond.com
Financial planning softwareCRM
78
WAVVEST WEALTH now offers financial planning (Item 5G(1)). IAPD ↗
$268.5M RAUM · 3 reps · 630-699-8602
Financial planning softwareCRM
75
CLIO ASSET MANAGEMENT LLC now offers financial planning (Item 5G(1)). IAPD ↗
$121.8M RAUM · 1 reps · 434-329-7463 · clioam.com
Financial planning softwareCRM
75
UMB PRIVATE WEALTH MANAGEMENT, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$68.4M RAUM · 41 reps · 816-860-7000 · umb.com
Financial planning softwareCRM
75
ZACKS INTELLIGENCE LLC now offers financial planning (Item 5G(1)). IAPD ↗
$2 RAUM · 3 reps · (312)-265-9500 · zacksintelligence.com
Financial planning softwareCRM
75
CATTON CAPITAL PARTNERS, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$39.6M RAUM · 2 reps · 415-234-0470 · cattoncapital.com
Financial planning softwareCRM
planning clients up — 6 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
81
GRYPHON WEALTH reports More than 500 financial-planning clients, up from 0. IAPD ↗
$3.24B RAUM · 6 reps · 904-450-5330
Financial planning software
73
HESMER WEALTH MANAGEMENT LLC reports 101-250 financial-planning clients, up from 0. IAPD ↗
$288.4M RAUM · 4 reps · 252-230-7699
Financial planning software
70
VARIANT PRIVATE WEALTH LLC reports 101-250 financial-planning clients, up from 1-10. IAPD ↗
$267.5M RAUM · 3 reps · 703-760-7600 · variantprivatewealth.com
Financial planning software
67
HAZLETT WEALTH MANAGEMENT LLC reports 51-100 financial-planning clients, up from 0. IAPD ↗
$160.0M RAUM · 1 reps · 208-726-0605 · hazlettwealthmanagement.com
Financial planning software
61
SECURA FINANCIAL reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
$319.9M RAUM · 8 reps · 714-704-6616 · securawm.com
Financial planning software
58
TENET WEALTH PARTNERS, LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$246.9M RAUM · 3 reps · 217-281-4250 · tenetwealthpartners.com
Financial planning software
reorganization — 5 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
45
DIAMOND HILL CAPITAL MANAGEMENT INC filed an Item 4A succession naming DIAMOND HILL CAPITAL MANAGEMENT INC (CRD 110638) — an entity change, not a deal. IAPD ↗
$29.38B RAUM · 42 reps · 614-255-3333 · diamond-hill.com
Integration & migration consultingCompliance
45
ACORN FINANCIAL ADVISORY SERVICES, INC. filed an Item 4A succession naming ACORN FINANCIAL ADVISORY SERVICES, INC. (CRD 116763) — an entity change, not a deal. IAPD ↗
$1.40B RAUM · 11 reps · (703) 293-3100 · acorn-financial.com
Integration & migration consultingCompliance
40
BERLA INVESTMENT CONSULTING filed an Item 4A succession naming BERLA INVESTMENT CONSULTING (CRD 112847) — an entity change, not a deal. IAPD ↗
$0 RAUM · 2 reps · 925-947-0326 · berlainv.com
Integration & migration consultingCompliance
35
SOUNDWATCH CAPITAL, LLC filed an Item 4A succession naming SOUNDWATCH CAPITAL, LLC (CRD 173151) — an entity change, not a deal. IAPD ↗institutional
$1.02B RAUM · 4 reps · 646-442-9655 · soundwatchfunds.com
Integration & migration consultingCompliance
30
FCP filed an Item 4A succession naming FCP (CRD 161468) — an entity change, not a deal. IAPD ↗fund
$3.48B RAUM · 28 reps · 240-395-2000
Integration & migration consultingCompliance
headcount down — 2 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
EPOCH INVESTMENT PARTNERS, INC. shrank from 130 to 91 advisory reps. IAPD ↗
$29.73B RAUM · 91 reps · 212-303-7200 · tdassetmanagement.com
Recruiting & transitionsM&A & valuation
40
BREAKWALL INVESTMENT ADVISOR LLC shrank from 8 to 6 advisory reps. IAPD ↗fund
$3.52B RAUM · 6 reps · 516-363-2004 · breakwallcap.com
Recruiting & transitionsM&A & valuation
aum crossed 500m — 1 Regulatory AUM crossed $500M.
70
BRILLIANT ADVICE, LLC crossed $500M in regulatory AUM ($384.1M -> $569.5M). IAPD ↗
$569.5M RAUM · 2 reps · 513-703-2100
Portfolio / reporting / TAMPCRMIntegration & migration consulting
wrap program started — 1 Firm began participating in a wrap-fee program (Item 5I(1)).
60
MARY & PIP began participating in a wrap-fee program. IAPD ↗
$544 RAUM · 1 reps · 212-281-9546
Portfolio / reporting / TAMPCompliance

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