← Tributary

What changed in the July 2026 SEC adviser roster

991 events across 837 firms · 675 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

240state expansion
137new registration
106new office
78deregistered
70aum up
60headcount up
48relocation
42disclosure added
31pending approved
29headcount down
29website changed
27rename

Top 25 signals — US wealth firms

98
TINGEY FINANCIAL GROUP INC. (location n/a) is newly SEC-registered with $257.0M RAUM and 3 advisory reps. IAPD ↗
$257.0M RAUM · 3 reps · 801-624-6850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
ARG PRIVATE WEALTH, LLC (CINCINNATI, OH) is newly SEC-registered with $280.0M RAUM and 2 advisory reps. IAPD ↗
$280.0M RAUM · 2 reps · 513-488-1600 · argprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIDGEVIEW CAPITAL ADVISORS, INC. (EL DORADO HILLS, CA) is newly SEC-registered with $114.1M RAUM and 2 advisory reps. IAPD ↗
$114.1M RAUM · 2 reps · 916-235-6857
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAFE HARBOR RETIREMENT PLANNERS (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
$108.7M RAUM · 3 reps · 410-538-6800 · asset-management-services.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAYKIN, MICHAEL (location n/a) is newly SEC-registered with $124.5M RAUM and 2 advisory reps. IAPD ↗
$124.5M RAUM · 2 reps · 303-699-9420
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE GARDNER GROUP (DALLAS, TX) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 214-706-4369 · gardnergrp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LYNCH INVESTMENT PLANNING, LLC (NEWTOWN SQUARE, PA) is newly SEC-registered with $143.3M RAUM and 3 advisory reps. IAPD ↗
$143.3M RAUM · 3 reps · (484) 472-8956
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEST FINANCIAL STRATEGIES, INC. (SANFORD, NC) is newly SEC-registered with $121.0M RAUM and 2 advisory reps. IAPD ↗
$121.0M RAUM · 2 reps · 919-774-8664 · westfinancialstrategies.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOUTHEAST FINANCIAL ADVISORS (GREENVILLE, SC) is newly SEC-registered with $133.0M RAUM and 2 advisory reps. IAPD ↗
$133.0M RAUM · 2 reps · 864-284-6511 · southeastfinancialadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRATED INVESTMENT STRATEGIES,INC. (CARMEL, IN) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
$104.5M RAUM · 3 reps · 317-843-5577 · integratedinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRIVATE LANE CAPITAL, LLC (location n/a) is newly SEC-registered with $144.1M RAUM and 1 advisory reps. IAPD ↗
$144.1M RAUM · 1 reps · 703-679-7394 · privatelanecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FIVE MILE RIVER INVESTMENT MANAGEMENT, LLC (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
$108.7M RAUM · 3 reps · 203-388-4848 · fivemileriver.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CONDON WEALTH MANAGEMENT, INC. (PLYMOUTH, MA) is newly SEC-registered with $122.1M RAUM and 2 advisory reps. IAPD ↗
$122.1M RAUM · 2 reps · 508-746-7763
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HARBOR LIGHT PLANNING (location n/a) is newly SEC-registered with $111.1M RAUM and 1 advisory reps. IAPD ↗
$111.1M RAUM · 1 reps · 248-344-9616
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
S&F INVESTMENT ADVISORS (ENCINO, CA) is newly SEC-registered with $106.4M RAUM and 1 advisory reps. IAPD ↗
$106.4M RAUM · 1 reps · 310-481-9320
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VAN WINKLE WEALTH MANAGEMENT GROUP LLC (NEWARK, OH) is newly SEC-registered with $120.8M RAUM and 1 advisory reps. IAPD ↗
$120.8M RAUM · 1 reps · 740-366-1110 · vanwinklewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEGACY FINANCIAL SERVICES GROUP, INC. (TRAVERSE CITY, MI) is newly SEC-registered with $122.8M RAUM and 2 advisory reps. IAPD ↗
$122.8M RAUM · 2 reps · 231-933-0631
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SIP FINANCIAL SERVICES (GLENVILLE, NY) is newly SEC-registered with $28.2M RAUM and 1 advisory reps. IAPD ↗
$28.2M RAUM · 1 reps · 518-384-2800 · sipfinancialservices.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JORDAN FINANCIAL LIFE PLANNING (KENOSHA, WI) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
$107.1M RAUM · 3 reps · 262-656-1141 · jordanfinancial.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FUERST FINANCIAL GROUP, INC. (CHATTANOOGA, TN) is newly SEC-registered with $100.9M RAUM and 2 advisory reps. IAPD ↗
$100.9M RAUM · 2 reps · 423-899-8555 · fuerstfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DALY INVESTMENT MANAGEMENT, LLC (MOUNT PROSPECT, IL) is newly SEC-registered with $123.5M RAUM and 1 advisory reps. IAPD ↗
$123.5M RAUM · 1 reps · 224-347-2623 · dalyinvestment.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRA WEALTH (CHATTANOOGA, TN) is newly SEC-registered with $116.5M RAUM and 1 advisory reps. IAPD ↗
$116.5M RAUM · 1 reps · 423-664-0344 · integrawealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DW INVESTMENT SOLUTIONS, INC. (location n/a) is newly SEC-registered with $111.4M RAUM and 2 advisory reps. IAPD ↗
$111.4M RAUM · 2 reps · 509-924-6526
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MONTELLO WEALTH MANAGEMENT, INC. (PALM BEACH GARDENS, FL) is newly SEC-registered with $108.4M RAUM and 1 advisory reps. IAPD ↗
$108.4M RAUM · 1 reps · (561) 222-3305
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PACIFIC FINANCIAL ADVISORS (BELLEVUE, WA) is newly SEC-registered with $110.2M RAUM and 5 advisory reps. IAPD ↗
$110.2M RAUM · 5 reps · 425-458-3292 · pacificfa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 272 firms

98
TINGEY FINANCIAL GROUP INC. (location n/a) is newly SEC-registered with $257.0M RAUM and 3 advisory reps. IAPD ↗
$257.0M RAUM · 3 reps · 801-624-6850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
ARG PRIVATE WEALTH, LLC (CINCINNATI, OH) is newly SEC-registered with $280.0M RAUM and 2 advisory reps. IAPD ↗
$280.0M RAUM · 2 reps · 513-488-1600 · argprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIDGEVIEW CAPITAL ADVISORS, INC. (EL DORADO HILLS, CA) is newly SEC-registered with $114.1M RAUM and 2 advisory reps. IAPD ↗
$114.1M RAUM · 2 reps · 916-235-6857
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAFE HARBOR RETIREMENT PLANNERS (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
$108.7M RAUM · 3 reps · 410-538-6800 · asset-management-services.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAYKIN, MICHAEL (location n/a) is newly SEC-registered with $124.5M RAUM and 2 advisory reps. IAPD ↗
$124.5M RAUM · 2 reps · 303-699-9420
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE GARDNER GROUP (DALLAS, TX) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 214-706-4369 · gardnergrp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LYNCH INVESTMENT PLANNING, LLC (NEWTOWN SQUARE, PA) is newly SEC-registered with $143.3M RAUM and 3 advisory reps. IAPD ↗
$143.3M RAUM · 3 reps · (484) 472-8956
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEST FINANCIAL STRATEGIES, INC. (SANFORD, NC) is newly SEC-registered with $121.0M RAUM and 2 advisory reps. IAPD ↗
$121.0M RAUM · 2 reps · 919-774-8664 · westfinancialstrategies.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOUTHEAST FINANCIAL ADVISORS (GREENVILLE, SC) is newly SEC-registered with $133.0M RAUM and 2 advisory reps. IAPD ↗
$133.0M RAUM · 2 reps · 864-284-6511 · southeastfinancialadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRATED INVESTMENT STRATEGIES,INC. (CARMEL, IN) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
$104.5M RAUM · 3 reps · 317-843-5577 · integratedinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 262 more in the CSV export.

Financial planning software 180 firms

98
TINGEY FINANCIAL GROUP INC. (location n/a) is newly SEC-registered with $257.0M RAUM and 3 advisory reps. IAPD ↗
$257.0M RAUM · 3 reps · 801-624-6850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
ARG PRIVATE WEALTH, LLC (CINCINNATI, OH) is newly SEC-registered with $280.0M RAUM and 2 advisory reps. IAPD ↗
$280.0M RAUM · 2 reps · 513-488-1600 · argprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIDGEVIEW CAPITAL ADVISORS, INC. (EL DORADO HILLS, CA) is newly SEC-registered with $114.1M RAUM and 2 advisory reps. IAPD ↗
$114.1M RAUM · 2 reps · 916-235-6857
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAFE HARBOR RETIREMENT PLANNERS (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
$108.7M RAUM · 3 reps · 410-538-6800 · asset-management-services.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAYKIN, MICHAEL (location n/a) is newly SEC-registered with $124.5M RAUM and 2 advisory reps. IAPD ↗
$124.5M RAUM · 2 reps · 303-699-9420
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE GARDNER GROUP (DALLAS, TX) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 214-706-4369 · gardnergrp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LYNCH INVESTMENT PLANNING, LLC (NEWTOWN SQUARE, PA) is newly SEC-registered with $143.3M RAUM and 3 advisory reps. IAPD ↗
$143.3M RAUM · 3 reps · (484) 472-8956
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEST FINANCIAL STRATEGIES, INC. (SANFORD, NC) is newly SEC-registered with $121.0M RAUM and 2 advisory reps. IAPD ↗
$121.0M RAUM · 2 reps · 919-774-8664 · westfinancialstrategies.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOUTHEAST FINANCIAL ADVISORS (GREENVILLE, SC) is newly SEC-registered with $133.0M RAUM and 2 advisory reps. IAPD ↗
$133.0M RAUM · 2 reps · 864-284-6511 · southeastfinancialadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRATED INVESTMENT STRATEGIES,INC. (CARMEL, IN) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
$104.5M RAUM · 3 reps · 317-843-5577 · integratedinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 170 more in the CSV export.

Compliance 439 firms

98
TINGEY FINANCIAL GROUP INC. (location n/a) is newly SEC-registered with $257.0M RAUM and 3 advisory reps. IAPD ↗
$257.0M RAUM · 3 reps · 801-624-6850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
ARG PRIVATE WEALTH, LLC (CINCINNATI, OH) is newly SEC-registered with $280.0M RAUM and 2 advisory reps. IAPD ↗
$280.0M RAUM · 2 reps · 513-488-1600 · argprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIDGEVIEW CAPITAL ADVISORS, INC. (EL DORADO HILLS, CA) is newly SEC-registered with $114.1M RAUM and 2 advisory reps. IAPD ↗
$114.1M RAUM · 2 reps · 916-235-6857
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAFE HARBOR RETIREMENT PLANNERS (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
$108.7M RAUM · 3 reps · 410-538-6800 · asset-management-services.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAYKIN, MICHAEL (location n/a) is newly SEC-registered with $124.5M RAUM and 2 advisory reps. IAPD ↗
$124.5M RAUM · 2 reps · 303-699-9420
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE GARDNER GROUP (DALLAS, TX) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 214-706-4369 · gardnergrp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LYNCH INVESTMENT PLANNING, LLC (NEWTOWN SQUARE, PA) is newly SEC-registered with $143.3M RAUM and 3 advisory reps. IAPD ↗
$143.3M RAUM · 3 reps · (484) 472-8956
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEST FINANCIAL STRATEGIES, INC. (SANFORD, NC) is newly SEC-registered with $121.0M RAUM and 2 advisory reps. IAPD ↗
$121.0M RAUM · 2 reps · 919-774-8664 · westfinancialstrategies.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOUTHEAST FINANCIAL ADVISORS (GREENVILLE, SC) is newly SEC-registered with $133.0M RAUM and 2 advisory reps. IAPD ↗
$133.0M RAUM · 2 reps · 864-284-6511 · southeastfinancialadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRATED INVESTMENT STRATEGIES,INC. (CARMEL, IN) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
$104.5M RAUM · 3 reps · 317-843-5577 · integratedinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 429 more in the CSV export.

Portfolio / reporting / TAMP 153 firms

98
TINGEY FINANCIAL GROUP INC. (location n/a) is newly SEC-registered with $257.0M RAUM and 3 advisory reps. IAPD ↗
$257.0M RAUM · 3 reps · 801-624-6850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
ARG PRIVATE WEALTH, LLC (CINCINNATI, OH) is newly SEC-registered with $280.0M RAUM and 2 advisory reps. IAPD ↗
$280.0M RAUM · 2 reps · 513-488-1600 · argprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIDGEVIEW CAPITAL ADVISORS, INC. (EL DORADO HILLS, CA) is newly SEC-registered with $114.1M RAUM and 2 advisory reps. IAPD ↗
$114.1M RAUM · 2 reps · 916-235-6857
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAFE HARBOR RETIREMENT PLANNERS (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
$108.7M RAUM · 3 reps · 410-538-6800 · asset-management-services.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAYKIN, MICHAEL (location n/a) is newly SEC-registered with $124.5M RAUM and 2 advisory reps. IAPD ↗
$124.5M RAUM · 2 reps · 303-699-9420
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE GARDNER GROUP (DALLAS, TX) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 214-706-4369 · gardnergrp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LYNCH INVESTMENT PLANNING, LLC (NEWTOWN SQUARE, PA) is newly SEC-registered with $143.3M RAUM and 3 advisory reps. IAPD ↗
$143.3M RAUM · 3 reps · (484) 472-8956
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEST FINANCIAL STRATEGIES, INC. (SANFORD, NC) is newly SEC-registered with $121.0M RAUM and 2 advisory reps. IAPD ↗
$121.0M RAUM · 2 reps · 919-774-8664 · westfinancialstrategies.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOUTHEAST FINANCIAL ADVISORS (GREENVILLE, SC) is newly SEC-registered with $133.0M RAUM and 2 advisory reps. IAPD ↗
$133.0M RAUM · 2 reps · 864-284-6511 · southeastfinancialadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRATED INVESTMENT STRATEGIES,INC. (CARMEL, IN) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
$104.5M RAUM · 3 reps · 317-843-5577 · integratedinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 143 more in the CSV export.

Custodian 125 firms

98
TINGEY FINANCIAL GROUP INC. (location n/a) is newly SEC-registered with $257.0M RAUM and 3 advisory reps. IAPD ↗
$257.0M RAUM · 3 reps · 801-624-6850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
ARG PRIVATE WEALTH, LLC (CINCINNATI, OH) is newly SEC-registered with $280.0M RAUM and 2 advisory reps. IAPD ↗
$280.0M RAUM · 2 reps · 513-488-1600 · argprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIDGEVIEW CAPITAL ADVISORS, INC. (EL DORADO HILLS, CA) is newly SEC-registered with $114.1M RAUM and 2 advisory reps. IAPD ↗
$114.1M RAUM · 2 reps · 916-235-6857
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAFE HARBOR RETIREMENT PLANNERS (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
$108.7M RAUM · 3 reps · 410-538-6800 · asset-management-services.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAYKIN, MICHAEL (location n/a) is newly SEC-registered with $124.5M RAUM and 2 advisory reps. IAPD ↗
$124.5M RAUM · 2 reps · 303-699-9420
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE GARDNER GROUP (DALLAS, TX) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 214-706-4369 · gardnergrp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LYNCH INVESTMENT PLANNING, LLC (NEWTOWN SQUARE, PA) is newly SEC-registered with $143.3M RAUM and 3 advisory reps. IAPD ↗
$143.3M RAUM · 3 reps · (484) 472-8956
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEST FINANCIAL STRATEGIES, INC. (SANFORD, NC) is newly SEC-registered with $121.0M RAUM and 2 advisory reps. IAPD ↗
$121.0M RAUM · 2 reps · 919-774-8664 · westfinancialstrategies.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOUTHEAST FINANCIAL ADVISORS (GREENVILLE, SC) is newly SEC-registered with $133.0M RAUM and 2 advisory reps. IAPD ↗
$133.0M RAUM · 2 reps · 864-284-6511 · southeastfinancialadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRATED INVESTMENT STRATEGIES,INC. (CARMEL, IN) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
$104.5M RAUM · 3 reps · 317-843-5577 · integratedinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 115 more in the CSV export.

Marketing & brand 422 firms

98
TINGEY FINANCIAL GROUP INC. (location n/a) is newly SEC-registered with $257.0M RAUM and 3 advisory reps. IAPD ↗
$257.0M RAUM · 3 reps · 801-624-6850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
ARG PRIVATE WEALTH, LLC (CINCINNATI, OH) is newly SEC-registered with $280.0M RAUM and 2 advisory reps. IAPD ↗
$280.0M RAUM · 2 reps · 513-488-1600 · argprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIDGEVIEW CAPITAL ADVISORS, INC. (EL DORADO HILLS, CA) is newly SEC-registered with $114.1M RAUM and 2 advisory reps. IAPD ↗
$114.1M RAUM · 2 reps · 916-235-6857
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAFE HARBOR RETIREMENT PLANNERS (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
$108.7M RAUM · 3 reps · 410-538-6800 · asset-management-services.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAYKIN, MICHAEL (location n/a) is newly SEC-registered with $124.5M RAUM and 2 advisory reps. IAPD ↗
$124.5M RAUM · 2 reps · 303-699-9420
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE GARDNER GROUP (DALLAS, TX) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 214-706-4369 · gardnergrp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LYNCH INVESTMENT PLANNING, LLC (NEWTOWN SQUARE, PA) is newly SEC-registered with $143.3M RAUM and 3 advisory reps. IAPD ↗
$143.3M RAUM · 3 reps · (484) 472-8956
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEST FINANCIAL STRATEGIES, INC. (SANFORD, NC) is newly SEC-registered with $121.0M RAUM and 2 advisory reps. IAPD ↗
$121.0M RAUM · 2 reps · 919-774-8664 · westfinancialstrategies.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOUTHEAST FINANCIAL ADVISORS (GREENVILLE, SC) is newly SEC-registered with $133.0M RAUM and 2 advisory reps. IAPD ↗
$133.0M RAUM · 2 reps · 864-284-6511 · southeastfinancialadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRATED INVESTMENT STRATEGIES,INC. (CARMEL, IN) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
$104.5M RAUM · 3 reps · 317-843-5577 · integratedinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 412 more in the CSV export.

Recruiting & transitions 165 firms

85
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST grew from 157 to 219 advisory reps. IAPD ↗
$144.04B RAUM · 219 reps · 215-531-6700 · nomuraassetmanagement.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. grew from 99 to 116 advisory reps. IAPD ↗
$50.44B RAUM · 116 reps · 800-621-4421
CRMRecruiting & transitionsComplianceFinancial planning software
85
KEEL POINT, LLC grew from 39 to 54 advisory reps. IAPD ↗
$4.07B RAUM · 54 reps · 256-704-5111
CRMRecruiting & transitionsComplianceFinancial planning software
85
ARAX ADVISORY PARTNERS grew from 55 to 140 advisory reps. IAPD ↗
$23.18B RAUM · 140 reps · 646-777-1823 · swsllc.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
ELEVATION POINT WEALTH PARTNERS, LLC grew from 38 to 54 advisory reps. IAPD ↗
$8.29B RAUM · 54 reps · 303-382-2880
CRMRecruiting & transitionsComplianceFinancial planning software
85
STEPSTONE GROUP LP grew from 193 to 209 advisory reps. IAPD ↗
$107.82B RAUM · 209 reps · 858-558-9700 · vimeo.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
BLUESPRING WEALTH MANAGEMENT, LLC grew from 14 to 31 advisory reps. IAPD ↗
$4.02B RAUM · 31 reps · 737-443-2122 · bluespringwealthcalifornia.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
KINTRA WEALTH, LLC grew from 28 to 43 advisory reps. IAPD ↗
$1.50B RAUM · 43 reps · 570-601-6960 · evergreenwealthsolutions.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
MACQUARIE WEALTH ADVISERS, LLC grew from 14 to 24 advisory reps. IAPD ↗
$4.82B RAUM · 24 reps · 212-317-9200
CRMRecruiting & transitionsComplianceFinancial planning software
80
BBVA GLOBAL WEALTH ADVISORS, INC. grew from 29 to 39 advisory reps. IAPD ↗
$1.36B RAUM · 39 reps · 3052057752 · bbvaglobalwealthadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software

…and 155 more in the CSV export.

Integration & migration consulting 9 firms

85
SB ADVISORY, LLC crossed $1B in regulatory AUM ($404.8M -> $1.10B). IAPD ↗
$1.10B RAUM · 30 reps · 404-704-0406 · pnwadvisory.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
MIRADOR CAPITAL PARTNERS crossed $1B in regulatory AUM ($934.3M -> $1.01B). IAPD ↗
$1.01B RAUM · 7 reps · 925-621-1000
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
ARCA WEALTH, LLC crossed $1B in regulatory AUM ($588.0M -> $1.27B). IAPD ↗
$1.27B RAUM · 11 reps · 603-610-8881
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
PARKWOODS WEALTH PARTNERS, LLC crossed $1B in regulatory AUM ($961.9M -> $1.79B). IAPD ↗
$1.79B RAUM · 21 reps · (877) 278-2716 · parkwoods.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
CHELSEA MANAGEMENT COMPANY crossed $500M in regulatory AUM ($497.0M -> $517.0M). IAPD ↗
$517.0M RAUM · 3 reps · 213-362-9200
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
ORION INVESTMENT CO crossed $500M in regulatory AUM ($443.5M -> $515.4M). IAPD ↗
$515.4M RAUM · 3 reps · 314-725-3800 · orioninvestmentco.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
QUARTZ PARTNERS INVESTMENT MANAGEMENT crossed $500M in regulatory AUM ($397.8M -> $611.9M). IAPD ↗
$611.9M RAUM · 22 reps · 800-433-0422 · eticofinancial.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
45
FFT WEALTH MANAGEMENT filed an Item 4A succession naming FFT WEALTH MANAGEMENT (CRD 151225) — an entity change, not a deal. IAPD ↗
$2.34B RAUM · 22 reps · 610-545-6100 · fftwealth.com
Integration & migration consultingCompliance
45
LGL PARTNERS, LLC filed an Item 4A succession naming LGL PARTNERS, LLC (CRD 289784) — an entity change, not a deal. IAPD ↗
$1.71B RAUM · 22 reps · 610-545-6100 · corient.com
Integration & migration consultingCompliance

Fund administration 4 firms

75
VISE AI ADVISORS now reports 1 private fund(s) ($24.2M gross). IAPD ↗
$8.53B RAUM · 20 reps · 201-375-3969 · vise.com
Fund administrationCompliance
70
GERVAIS CAPITAL MANAGEMENT, LLC now reports 1 private fund(s) ($739,752 gross). IAPD ↗
$155.9M RAUM · 1 reps · (914) 433-5223 · gervaiscapital.com
Fund administrationCompliance
70
PRIVATE FINANCIAL MANAGEMENT LLC now reports 2 private fund(s) ($1.9M gross). IAPD ↗
$158.7M RAUM · 1 reps · (925)254-3790 · privatefinancialmanagement.com
Fund administrationCompliance
70
ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM) now reports 1 private fund(s) ($1.1M gross). IAPD ↗
$224.4M RAUM · 4 reps · (310) 795-0622
Fund administrationCompliance

Office IT & facilities 116 firms

55
JANUS HENDERSON INVESTORS added office(s): 5 -> 6 additional locations. IAPD ↗
$380.43B RAUM · 152 reps · (303) 333-3863 · bsky.app
Office IT & facilitiesCRMRecruiting & transitions
55
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST added office(s): 4 -> 5 additional locations. IAPD ↗
$144.04B RAUM · 219 reps · 215-531-6700 · nomuraassetmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
55
INTELLICENTS INVESTMENT SOLUTIONS INC added office(s): 12 -> 13 additional locations. IAPD ↗
$9.92B RAUM · 48 reps · 507-377-2919
Office IT & facilitiesCRMRecruiting & transitions
55
COOPER MCMANUS added office(s): 25 -> 26 additional locations. IAPD ↗
$2.85B RAUM · 50 reps · 800-516-5333 · purmortgroup.com
Office IT & facilitiesCRMRecruiting & transitions
55
CROSSMARK GLOBAL INVESTMENTS, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$8.98B RAUM · 14 reps · 713-260-9000 · crossmarkglobal.com
Office IT & facilitiesCRMRecruiting & transitions
55
ONE CAPITAL MANAGEMENT, LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$8.53B RAUM · 55 reps · 805.409.8150 · fundxetfs.com
Office IT & facilitiesCRMRecruiting & transitions
55
PINKERTON WEALTH PARTNERS added office(s): 6 -> 7 additional locations. IAPD ↗
$1.44B RAUM · 16 reps · 800-634-2008
Office IT & facilitiesCRMRecruiting & transitions
55
PKS ADVISORY SERVICES, LLC added office(s): 23 -> 24 additional locations. IAPD ↗
$1.09B RAUM · 36 reps · (518) 426-5791 · woehlerfinancialgroup.com
Office IT & facilitiesCRMRecruiting & transitions
55
KEEL POINT, LLC added office(s): 8 -> 9 additional locations. IAPD ↗
$4.07B RAUM · 54 reps · 256-704-5111
Office IT & facilitiesCRMRecruiting & transitions
55
EHRENKRANZ PARTNERS L.P. added office(s): 0 -> 1 additional locations. IAPD ↗
$21.54B RAUM · 18 reps · 212-891-8600
Office IT & facilitiesCRMRecruiting & transitions

…and 106 more in the CSV export.

M&A & valuation 54 firms

65
MILL CREEK CAPITAL ADVISORS, LLC (CONSHOHOCKEN, PA) left the SEC roster (was $10.47B RAUM, 29 reps). IAPD ↗
$10.47B RAUM · 29 reps · 610-941-7700
Recruiting & transitionsM&A & valuation
65
VECTORGLOBAL IAG, INC. (MIAMI, FL) left the SEC roster (was $1.63B RAUM, 27 reps). IAPD ↗
$1.63B RAUM · 27 reps · 305-350-3350 · vectorglobaliag.com
Recruiting & transitionsM&A & valuation
65
WEALTHSPIRE ADVISORS (MELVILLE, NY) left the SEC roster (was $4.36B RAUM, 21 reps). IAPD ↗
$4.36B RAUM · 21 reps · 631-227-3900
Recruiting & transitionsM&A & valuation
65
EFFICIENT ADVISORS (location n/a) left the SEC roster (was $3.08B RAUM, 6 reps). IAPD ↗
$3.08B RAUM · 6 reps · 267-613-6250 · efficientadvisors.com
Recruiting & transitionsM&A & valuation
65
CAPITAL PLANNING ADVISORS LLC (ROSEVILLE, CA) left the SEC roster (was $1.50B RAUM, 8 reps). IAPD ↗
$1.50B RAUM · 8 reps · 916-286-7650
Recruiting & transitionsM&A & valuation
65
JACKSON HOLE CAPITAL PARTNERS, LLC (TULSA, OK) left the SEC roster (was $1.09B RAUM, 4 reps). IAPD ↗
$1.09B RAUM · 4 reps · 918-879-4698 · jacksonholepartners.com
Recruiting & transitionsM&A & valuation
65
VANTAGE FINANCIAL PARTNERS, LLC (ELM GROVE, WI) left the SEC roster (was $1.02B RAUM, 12 reps). IAPD ↗
$1.02B RAUM · 12 reps · 262-439-8587 · vantagefinancialwi.com
Recruiting & transitionsM&A & valuation
63
THE H GROUP, INC. (PORTLAND, OR) left the SEC roster (was $580.1M RAUM, 11 reps). IAPD ↗
$580.1M RAUM · 11 reps · 503-292-5853 · thehgroup.com
Recruiting & transitionsM&A & valuation
63
BEDELL FRAZIER INVESTMENT COUNSELLING, LLC. (WALNUT CREEK, CA) left the SEC roster (was $872.2M RAUM, 9 reps). IAPD ↗
$872.2M RAUM · 9 reps · 925-932-0344
Recruiting & transitionsM&A & valuation
63
PERSONAL FINANCIAL MANAGEMENT (CORONADO, CA) left the SEC roster (was $505.2M RAUM, 2 reps). IAPD ↗
$505.2M RAUM · 2 reps · 619-435-1600
Recruiting & transitionsM&A & valuation

…and 44 more in the CSV export.

Everything else — all segments

state expansion — 240 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
ARAX ADVISORY PARTNERS notice-filed in AK, DE, KY, ME, MS, SD, VI, VT, WV. IAPD ↗
$23.18B RAUM · 140 reps · 646-777-1823 · swsllc.com
ComplianceMarketing & brand
55
EMPIRICAL WEALTH MANAGEMENT notice-filed in AL, IA, MS, ND, NE, OK, RI, SD, VT, WV. IAPD ↗
$8.43B RAUM · 57 reps · 206-923-3474
ComplianceMarketing & brand
55
BLUESPRING WEALTH MANAGEMENT, LLC notice-filed in HI, KY, LA, NV, OH, PA, VA, WA. IAPD ↗
$4.02B RAUM · 31 reps · 737-443-2122 · bluespringwealthcalifornia.com
ComplianceMarketing & brand
55
ELWOOD & GOETZ notice-filed in AL, MD, NY, UT, WA. IAPD ↗
$1.07B RAUM · 26 reps · 706-548-1025
ComplianceMarketing & brand
55
NINETY ONE NORTH AMERICA, INC. notice-filed in AK, AR, IA, ID, IL, KS, KY, ME, MO, MT, ND, OK, OR, PR, RI, SD, UT, VI, VT, WI, WV, WY. IAPD ↗
$41.47B RAUM · 39 reps · 1 917 206 5175 · ninetyone.com
ComplianceMarketing & brand
55
KINTRA WEALTH, LLC notice-filed in AZ, CA, CT, DC, DE, IL, IN, KY, MD, ME, SC, TN, VA, WA, WV. IAPD ↗
$1.50B RAUM · 43 reps · 570-601-6960 · evergreenwealthsolutions.com
ComplianceMarketing & brand
53
GREENSPRING ADVISORS, LLC notice-filed in AZ, CO, MI, TN. IAPD ↗
$6.46B RAUM · 39 reps · 443-564-4600 · greenspringadvice.com
ComplianceMarketing & brand
53
KINGSVIEW WEALTH MANAGEMENT, LLC notice-filed in AK, ME, ND, RI. IAPD ↗
$8.96B RAUM · 95 reps · 312-870-6701 · monarchfunds.com
ComplianceMarketing & brand
53
ROOT FINANCIAL PARTNERS notice-filed in AL, IA, MT, NM. IAPD ↗
$2.15B RAUM · 59 reps · (760) 452-0720
ComplianceMarketing & brand
53
PARKWOODS WEALTH PARTNERS, LLC notice-filed in LA, MN, UT, WI. IAPD ↗
$1.79B RAUM · 21 reps · (877) 278-2716 · parkwoods.com
ComplianceMarketing & brand
53
JET WEALTH ADVISORS notice-filed in CO, FL, IL, IN, MI, TX. IAPD ↗
$546.5M RAUM · 6 reps · 858-457-1003 · jetwealthadvisors.com
ComplianceMarketing & brand
53
XCELSIOR ADVISOR PARTNERS LLC notice-filed in IN, MO, NC, TN, UT, VA, WA, WY. IAPD ↗
$650.7M RAUM · 13 reps · 480-866-8616 · xcelsiorpartners.com
ComplianceMarketing & brand
51
PRINCIPLED WEALTH ADVISORS, LLC notice-filed in LA, OH, PA, TX. IAPD ↗
$252.1M RAUM · 2 reps · 859-957-2737 · principledwealth.net
ComplianceMarketing & brand
51
L & S ADVISORS, INC notice-filed in GA, OH, UT. IAPD ↗
$1.16B RAUM · 9 reps · 310-893-6060
ComplianceMarketing & brand
51
INSIGNEO ADVISORY SERVICES, LLC notice-filed in DC, IA, NM. IAPD ↗
$5.16B RAUM · 178 reps · 305.373.9000 · insigneo.com
ComplianceMarketing & brand
51
PERFORMANCE WEALTH notice-filed in CT, HI, OR. IAPD ↗
$4.09B RAUM · 11 reps · (630) 686-5715
ComplianceMarketing & brand
51
ENCOMPASS MORE ASSET MANAGEMENT LLC notice-filed in ND, RI, SD, VI. IAPD ↗
$984.9M RAUM · 85 reps · 925-272-8850
ComplianceMarketing & brand
51
SPIREPOINT PRIVATE CLIENT, LLC notice-filed in CA, MI, VT. IAPD ↗
$1.44B RAUM · 8 reps · 772-316-1271 · spirepointpc.com
ComplianceMarketing & brand
50
WEALTHYX notice-filed in FL, NV, NY, RI, TX. IAPD ↗
$750 RAUM · 1 reps · 973-271-6928 · fatesfinancial.com
ComplianceMarketing & brand
50
BLUEVINE ADVISORY LLC notice-filed in AZ, CO, CT, DE, FL, GA, IL, IN, KY, LA, MA, MD, MI, MN, MO, NC, NE, NH, NV, NY, OH, OR, PA, SC, TN, TX, UT, VA, WA, WI. IAPD ↗
$8.9M RAUM · 1 reps · 1-800-216-9619 · bluevine.com
ComplianceMarketing & brand
50
ELEVATE FINANCIAL PLANNING AND WEALTH MANAGEMENT notice-filed in AZ, KS, MD, MI, MO, NY, OH, WV. IAPD ↗
$107.1M RAUM · 36 reps · 727-478-8886 · elevatefpwm.com
ComplianceMarketing & brand
50
EMVISION CAPITAL ADVISORS, LLC notice-filed in FL, IL, IN, MI, NC, NE, OR, PA, SC, TN, TX, VA, WV. IAPD ↗
$176.4M RAUM · 9 reps · 330-954-3770 · emvisioncapital.com
ComplianceMarketing & brand
50
SPENDVEST notice-filed in AK, AL, AR, AZ, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY. IAPD ↗
$0 RAUM · 1 reps · 775-636-2906
ComplianceMarketing & brand
50
WEALTHIE ADVISORS notice-filed in AZ, CT, FL, ID, IL, KS, LA, MI, NC, NE, NH, NJ, NV, OH, OR, TX. IAPD ↗
$27,322 RAUM · 2 reps · (718) 550-1401 · bewealthie.com
ComplianceMarketing & brand
50
VANDALIA WEALTH notice-filed in CO, FL, GA, MD, SC, TN. IAPD ↗
$249.6M RAUM · 15 reps · 304-915-0260
ComplianceMarketing & brand
50
FIDUCIARY CAPITAL MANAGEMENT LLC notice-filed in CO, CT, GA, IL, LA, MN. IAPD ↗
$149.2M RAUM · 10 reps · 503 515 1313 · fiduciarycm.com
ComplianceMarketing & brand
50
COINBASE ADVISORS notice-filed in AK, AL, AR, AZ, CA, CO, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
$0 RAUM · 1 reps · 203-489 -1450 · coinbase.com
ComplianceMarketing & brand
49
ASHTON THOMAS SECURITIES, LLC notice-filed in KY, NM. IAPD ↗
$1.86B RAUM · 26 reps · 800-323-3746 · ashtonthomaspw.com
ComplianceMarketing & brand
49
SJS INVESTMENT SERVICES notice-filed in LA, OR. IAPD ↗
$2.94B RAUM · 21 reps · 419-885-2626 · sjsinvest.com
ComplianceMarketing & brand
49
WATTS GWILLIAM & COMPANY, LLC notice-filed in OH, OR. IAPD ↗
$1.03B RAUM · 6 reps · 480-889-8998 · wattsgwilliam.com
ComplianceMarketing & brand
49
MCDONOUGH CAPITAL MANAGEMENT, INC. notice-filed in MD, NH, VA. IAPD ↗
$258.2M RAUM · 3 reps · 407-248-9647
ComplianceMarketing & brand
49
OCCIDENTAL ASSET MANAGEMENT, LLC notice-filed in MA, MO. IAPD ↗
$1.07B RAUM · 9 reps · 650-344-1600 · occamllc.net
ComplianceMarketing & brand
49
INTEGRATED ADVISORS NETWORK LLC notice-filed in NE, PR. IAPD ↗
$5.52B RAUM · 81 reps · 855-729-4222
ComplianceMarketing & brand
49
THE WEALTH CONSULTING GROUP notice-filed in VI, WV. IAPD ↗
$6.28B RAUM · 131 reps · 702-263-1919
ComplianceMarketing & brand
49
SCS notice-filed in NC, NY. IAPD ↗
$1.94B RAUM · 32 reps · 425-452-1222
ComplianceMarketing & brand
49
EQUITY WEALTH PARTNERS, LLC notice-filed in CA, MN, OH. IAPD ↗
$258.6M RAUM · 6 reps · 816-373-1068 · equitywp.com
ComplianceMarketing & brand
49
SOLLINDA CAPITAL MANAGEMENT LLC notice-filed in AZ, KY. IAPD ↗
$1.02B RAUM · 15 reps · 8446621211
ComplianceMarketing & brand
49
UNITING WEALTH PARTNERS notice-filed in GA, MN, NM. IAPD ↗
$934.6M RAUM · 11 reps · 720-706-7180 · unitingwealthpartners.com
ComplianceMarketing & brand
49
LAUREL OAK WEALTH MANAGEMENT, LLC notice-filed in AZ, OH. IAPD ↗
$1.40B RAUM · 10 reps · 856-519-0200 · laureloakwealth.com
ComplianceMarketing & brand
49
MDT FINANCIAL ADVISORS, LLC notice-filed in CA, CO, LA. IAPD ↗
$294.0M RAUM · 5 reps · 281-938-1111 · mdtfa.com
ComplianceMarketing & brand
49
GIBERT WEALTH MANAGEMENT notice-filed in GA, LA, SC. IAPD ↗
$316.0M RAUM · 1 reps · 7045755349 · gibertwealth.com
ComplianceMarketing & brand
47
COORDINATED FINANCIAL PLANNING CORP notice-filed in GA, NH. IAPD ↗
$343.2M RAUM · 4 reps · 513-769-3131 · coordinatedfinancialplanning.com
ComplianceMarketing & brand
47
FINANCIAL SYNERGIES notice-filed in VA. IAPD ↗
$1.81B RAUM · 16 reps · 713-623-6600
ComplianceMarketing & brand
47
PINNACLE ADVISORS notice-filed in PA. IAPD ↗
$2.14B RAUM · 19 reps · 419-526-5226 · pinnacleadvisors.com
ComplianceMarketing & brand
47
LORING, WOLCOTT & COOLIDGE FIDUCIARY ADVISORS, LLP notice-filed in NJ. IAPD ↗
$12.84B RAUM · 13 reps · 617-523-6531
ComplianceMarketing & brand
47
CJM WEALTH ADVISERS, LTD. notice-filed in UT. IAPD ↗
$1.47B RAUM · 11 reps · 703-425-0700
ComplianceMarketing & brand
47
COLONIAL TRUST ADVISORS, INC. notice-filed in LA. IAPD ↗
$1.85B RAUM · 15 reps · 864-582-3356 · colonialtrust.com
ComplianceMarketing & brand
47
PINKERTON WEALTH PARTNERS notice-filed in TN. IAPD ↗
$1.44B RAUM · 16 reps · 800-634-2008
ComplianceMarketing & brand
47
KEEL POINT, LLC notice-filed in PR. IAPD ↗
$4.07B RAUM · 54 reps · 256-704-5111
ComplianceMarketing & brand
47
PERIGON WEALTH MANAGEMENT, LLC notice-filed in VT. IAPD ↗
$11.29B RAUM · 92 reps · (877) 977-2555
ComplianceMarketing & brand
47
EHRENKRANZ PARTNERS L.P. notice-filed in CO. IAPD ↗
$21.54B RAUM · 18 reps · 212-891-8600
ComplianceMarketing & brand
47
PROSPERITY - AN EISNERAMPER COMPANY notice-filed in OK. IAPD ↗
$3.20B RAUM · 56 reps · 410-363-7211 · prosperityconsult.com
ComplianceMarketing & brand
47
PARAGON FINANCIAL ADVISORS notice-filed in LA. IAPD ↗
$1.05B RAUM · 14 reps · 979-693-3907
ComplianceMarketing & brand
47
DEAN CAPITAL MANAGEMENT notice-filed in UT. IAPD ↗
$1.15B RAUM · 5 reps · 913-944-4444 · deancapmgmt.com
ComplianceMarketing & brand
47
JACOBI CAPITAL MANAGEMENT, LLC notice-filed in NE. IAPD ↗
$2.64B RAUM · 31 reps · 570-826-1801
ComplianceMarketing & brand
47
PEDDOCK CAPITAL ADVISORS, LLC notice-filed in FL, NY. IAPD ↗
$836.2M RAUM · 5 reps · (781) 848-0288
ComplianceMarketing & brand
47
KILEY JUERGENS WEALTH MANAGEMENT, LLC notice-filed in GA. IAPD ↗
$2.20B RAUM · 6 reps · 360-350-4747 · kj-wm.com
ComplianceMarketing & brand
47
RIA ADVISORY GROUP, LLC notice-filed in IN, MS. IAPD ↗
$568.4M RAUM · 25 reps · (515) 965-8588 · dakotaadvisoryteam.com
ComplianceMarketing & brand
47
RIVER STREET ADVISORS, LLC notice-filed in AZ, CO. IAPD ↗
$539.2M RAUM · 9 reps · 630-906-5501 · oldsecond.com
ComplianceMarketing & brand
47
PETTINGA FINANCIAL ADVISORS, LLC notice-filed in WI. IAPD ↗
$1.28B RAUM · 7 reps · 812-436-4000 · pettinga.com
ComplianceMarketing & brand
47
SUMMIT GLOBAL INVESTMENTS, LLC notice-filed in RI. IAPD ↗
$2.29B RAUM · 8 reps · 888-251-4847 · silvx.com
ComplianceMarketing & brand
47
FINANCIAL CONCEPTS notice-filed in AK. IAPD ↗
$1.09B RAUM · 3 reps · 662-327-1480
ComplianceMarketing & brand
47
THREE BELL CAPITAL LLC notice-filed in VT. IAPD ↗
$5.05B RAUM · 14 reps · 650-843-9836
ComplianceMarketing & brand
47
CLARO ADVISORS INC. notice-filed in CO. IAPD ↗
$1.41B RAUM · 18 reps · (800) 604-2838
ComplianceMarketing & brand
47
TVAMP, LLC notice-filed in IA. IAPD ↗
$1.19B RAUM · 24 reps · 865-226-9982
ComplianceMarketing & brand
47
FOUNDATION WEALTH MANAGEMENT, LLC notice-filed in NH, TX. IAPD ↗
$411.9M RAUM · 4 reps · (610) 548-7170
ComplianceMarketing & brand
47
ARMSTRONG DIXON notice-filed in DE, OR. IAPD ↗
$447.5M RAUM · 6 reps · 443-563-1111
ComplianceMarketing & brand
47
EVERGREEN WEALTH notice-filed in IN. IAPD ↗
$1.18B RAUM · 6 reps · (217) 321-3210
ComplianceMarketing & brand
47
JIM SAULNIER & ASSOCIATES, LLC notice-filed in MN, NE. IAPD ↗
$286.4M RAUM · 3 reps · 970-530-0556 · jimhelps.com
ComplianceMarketing & brand
47
JOURNEY ADVISORY GROUP, LLC notice-filed in WV. IAPD ↗
$1.65B RAUM · 15 reps · 859-888-0356
ComplianceMarketing & brand
47
RIVER WEALTH ADVISORS LLC notice-filed in CT. IAPD ↗
$1.47B RAUM · 9 reps · 717-888-9830
ComplianceMarketing & brand
47
ELLEVEST notice-filed in SC. IAPD ↗
$1.13B RAUM · 13 reps · 844-355-7100
ComplianceMarketing & brand
47
ALTUS WEALTH GROUP, LLC notice-filed in SC, TN. IAPD ↗
$620.1M RAUM · 7 reps · 719-900-1295 · altuswealthgroup.com
ComplianceMarketing & brand
47
GRYPHON FINANCIAL PARTNERS notice-filed in WI. IAPD ↗
$2.44B RAUM · 15 reps · 614-929-2880
ComplianceMarketing & brand
47
VALLEY WEALTH STRATEGIES, LLC notice-filed in NH. IAPD ↗
$1.45B RAUM · 26 reps · (209) 366-1264 · zukfinancial.com
ComplianceMarketing & brand
47
BRIO FINANCIAL GROUP notice-filed in NV. IAPD ↗
$1.06B RAUM · 13 reps · 415-623-2450 · briofg.com
ComplianceMarketing & brand
47
LEGACY CAPITAL WEALTH PARTNERS, LLC notice-filed in NE. IAPD ↗
$1.52B RAUM · 17 reps · 501-376-7878 · legacycapitalwp.com
ComplianceMarketing & brand
47
TANDEM FINANCIAL, LLC notice-filed in VI, WI. IAPD ↗
$541.8M RAUM · 6 reps · (720) 845-5700 · tandem-financial.com
ComplianceMarketing & brand
47
VAN CLEMENS WEALTH MANAGEMENT, LLC notice-filed in AZ, PA. IAPD ↗
$470.4M RAUM · 24 reps · 612-758-9140 · vanclemens.com
ComplianceMarketing & brand
47
ECIO, INC. notice-filed in MA, MD. IAPD ↗
$395.6M RAUM · 4 reps · 608-291-4646
ComplianceMarketing & brand
47
MADISON PARTNERS notice-filed in MI. IAPD ↗
$1.30B RAUM · 17 reps · 608-210-1021
ComplianceMarketing & brand
47
OCTAVIA WEALTH ADVISORS LLC notice-filed in WI. IAPD ↗
$2.15B RAUM · 31 reps · (513) 762-7701
ComplianceMarketing & brand
47
SEEDS notice-filed in FL. IAPD ↗
$1.00B RAUM · 5 reps · (212) 287-7370
ComplianceMarketing & brand
47
ASPIRE GROWTH PARTNERS LLC notice-filed in NH. IAPD ↗
$1.19B RAUM · 3 reps · (330) 239-1776
ComplianceMarketing & brand
47
GATEWAY WEALTH PARTNERS, LLC notice-filed in ND. IAPD ↗
$2.28B RAUM · 83 reps · (920) 731-9293 · joingateway.com
ComplianceMarketing & brand
47
FCIG WEALTH MANAGEMENT, LLC notice-filed in RI, SC. IAPD ↗
$282.5M RAUM · 4 reps · 877-420-5234 · fcigglobal.com
ComplianceMarketing & brand
47
PARR MCKNIGHT WEALTH MANAGEMENT GROUP notice-filed in TN. IAPD ↗
$1.07B RAUM · 10 reps · 612-324-0240 · parrmcknightwmg.com
ComplianceMarketing & brand
47
ETZ ADVISORY LLC notice-filed in NY. IAPD ↗
$1.14B RAUM · 2 reps · 720-936-3368
ComplianceMarketing & brand
47
PEARL PLANNING notice-filed in CO, GA. IAPD ↗
$329.2M RAUM · 4 reps · 734.274.6744 · pearlplanning.com
ComplianceMarketing & brand
47
STONEBRIDGE FINANCIAL GROUP, LLC notice-filed in PA. IAPD ↗
$2.40B RAUM · 7 reps · 314-729-9500 · stonebridgefin.com
ComplianceMarketing & brand
47
TAILORED WEALTH SOLUTIONS notice-filed in FL, MA. IAPD ↗
$271.8M RAUM · 4 reps · 518-583-4800 · tailoredwealthsolutions.com
ComplianceMarketing & brand
46
FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO. notice-filed in CO, NY, TX. IAPD ↗
$137.5M RAUM · 1 reps · 918-743-5959 · ferimc.com
ComplianceMarketing & brand
46
7TWO notice-filed in CA, NY, RI. IAPD ↗
$230.4M RAUM · 5 reps · (720) 477-7274 · 7two.co
ComplianceMarketing & brand
46
RIGHTOAK ASSET MANAGEMENT, LLC notice-filed in CO, ID, WI. IAPD ↗
$111.9M RAUM · 6 reps · 517-306-4884 · revard.money
ComplianceMarketing & brand
45
ASCENSION CAPITAL ADVISORS, INC. notice-filed in CO. IAPD ↗
$938.5M RAUM · 7 reps · 713-952-6900 · ascensioncapital.com
ComplianceMarketing & brand
45
OBRIEN GREENE & CO INC notice-filed in NH. IAPD ↗
$464.3M RAUM · 4 reps · 610-891-7880
ComplianceMarketing & brand
45
DETTERBECK WEALTH MANAGEMENT notice-filed in CO. IAPD ↗
$279.2M RAUM · 3 reps · 847-934-6262 · dwmgmt.com
ComplianceMarketing & brand
45
MADRONA FINANCIAL & CPAS notice-filed in HI. IAPD ↗
$691.8M RAUM · 12 reps · 425-212-3777
ComplianceMarketing & brand
45
BATES FINANCIAL ADVISORS, INC. notice-filed in CT. IAPD ↗
$439.2M RAUM · 5 reps · 815-332-4020 · batesfinancialadvisors.com
ComplianceMarketing & brand
45
EATON-CAMBRIDGE INC. notice-filed in FL. IAPD ↗
$480.7M RAUM · 4 reps · (480) 385-7399 · eatoncambridge.com
ComplianceMarketing & brand
45
ACCORDANT ADVISORY GROUP, INC. notice-filed in NH. IAPD ↗
$278.0M RAUM · 2 reps · 410-348-1499 · planaccordingly.com
ComplianceMarketing & brand
45
AMERICAN WEALTH MANAGEMENT notice-filed in GA. IAPD ↗
$760.5M RAUM · 5 reps · (775) 332-7000 · financialhealth.com
ComplianceMarketing & brand
45
ALPHA FINANCIAL ADVISORS, LLC notice-filed in CT. IAPD ↗
$619.3M RAUM · 7 reps · 704-716-1100 · alphafa.com
ComplianceMarketing & brand
45
SAXONY CAPITAL MANAGEMENT, LLC notice-filed in WI. IAPD ↗
$367.9M RAUM · 0 reps · 314-963-9336
ComplianceMarketing & brand
45
DOPKINS WEALTH MANAGEMENT, LLC notice-filed in NC. IAPD ↗
$717.0M RAUM · 4 reps · 716-634-8800
ComplianceMarketing & brand
45
CORNERSTONE WEALTH ADVISORS, INC. notice-filed in OR. IAPD ↗
$608.7M RAUM · 8 reps · (952) 920-3900 · cornerstonewealthadvisors.com
ComplianceMarketing & brand
45
WISER WEALTH MANAGEMENT, INC notice-filed in KY. IAPD ↗
$513.6M RAUM · 5 reps · 678-905-4450
ComplianceMarketing & brand
45
FAMILY WEALTH ADVISORY GROUP, LLC notice-filed in IL. IAPD ↗
$396.2M RAUM · 3 reps · 513-469-8100
ComplianceMarketing & brand
45
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE notice-filed in OH. IAPD ↗
$349.6M RAUM · 8 reps · 858-546-1046 · superiorplanning.com
ComplianceMarketing & brand
45
WEAVER CAPITAL MANAGEMENT, LLC notice-filed in SC. IAPD ↗
$537.8M RAUM · 3 reps · 678-341-1333
ComplianceMarketing & brand
45
BROADLEAF PARTNERS, LLC notice-filed in MI. IAPD ↗
$551.3M RAUM · 4 reps · 330-650-0921
ComplianceMarketing & brand
45
FREEDOM DAY SOLUTIONS, LLC notice-filed in OR. IAPD ↗
$615.3M RAUM · 4 reps · 713-784-3878
ComplianceMarketing & brand
45
HENRICKSON NAUTA WEALTH ADVISORS, INC. notice-filed in OH. IAPD ↗
$805.4M RAUM · 10 reps · 616-361-9308 · hnwealthadvisors.com
ComplianceMarketing & brand
45
IRONWOOD FINANCIAL, LLC notice-filed in OR. IAPD ↗
$662.5M RAUM · 8 reps · 520-318-4600 · ironwoodfinancial.com
ComplianceMarketing & brand
45
TOWERCREST CAPITAL MANAGEMENT, LLC notice-filed in FL. IAPD ↗
$717.6M RAUM · 1 reps · 215-809-2000
ComplianceMarketing & brand
45
AGF INVESTMENTS notice-filed in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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 ↗institutional
$4.92B RAUM · 23 reps · 617-292-9804
ComplianceMarketing & brand
45
LIFESTEPS FINANCIAL notice-filed in KS. IAPD ↗
$442.7M RAUM · 3 reps · 909-267-3770
ComplianceMarketing & brand
45
BLACKHAWK CAPITAL PARTNERS, LLC notice-filed in MN. IAPD ↗
$452.0M RAUM · 6 reps · 262-242-4487
ComplianceMarketing & brand
45
STONEMARK WEALTH MANAGEMENT notice-filed in LA. IAPD ↗
$609.8M RAUM · 8 reps · 626-304-9888 · stonemarkwealth.com
ComplianceMarketing & brand
45
SOLOMON API LLC notice-filed in LA. IAPD ↗
$389.0M RAUM · 3 reps · 321-888-2599
ComplianceMarketing & brand
45
OMEGA FINANCIAL GROUP, LLC notice-filed in NV. IAPD ↗
$552.4M RAUM · 4 reps · 805-617-4363
ComplianceMarketing & brand
45
STRATEGIC INCOME GROUP LLC notice-filed in FL. IAPD ↗
$362.4M RAUM · 4 reps · 480-466-7070
ComplianceMarketing & brand
45
SWMG, LLC notice-filed in CO. IAPD ↗
$430.4M RAUM · 5 reps · 817-210-3444
ComplianceMarketing & brand
45
GENESEE CAPITAL ADVISORS, LLC notice-filed in LA. IAPD ↗
$420.3M RAUM · 2 reps · 315-554-3020 · geneseeadvisors.com
ComplianceMarketing & brand
45
VANTAGE POINT WEALTH MANAGEMENT notice-filed in OR. IAPD ↗
$326.6M RAUM · 14 reps · (763) 587-7120 · vpwealthmgmt.com
ComplianceMarketing & brand
45
ACORN WEALTH ADVISORS, LLC notice-filed in OH. IAPD ↗
$561.4M RAUM · 5 reps · 810-953-4444 · acornwealthadvisors.com
ComplianceMarketing & brand
45
COLUMBIA ADVISORY PARTNERS, LLC notice-filed in MI. IAPD ↗
$312.6M RAUM · 11 reps · 509-822-3850 · capnorthwest.com
ComplianceMarketing & brand
45
PROFESSIONAL FINANCIAL ADVISORS, LLC notice-filed in OH. IAPD ↗
$769.8M RAUM · 7 reps · 308-534-8210
ComplianceMarketing & brand
45
QUARTZ PARTNERS INVESTMENT MANAGEMENT notice-filed in OR. IAPD ↗
$611.9M RAUM · 22 reps · 800-433-0422 · eticofinancial.com
ComplianceMarketing & brand
45
CORE WEALTH ADVISORS, INC. notice-filed in LA. IAPD ↗
$702.1M RAUM · 10 reps · 863-904-4745
ComplianceMarketing & brand
45
BLUE WATER ASSET MANAGEMENT notice-filed in CA. IAPD ↗
$428.5M RAUM · 7 reps · 616-447-1600 · jaygreer.com
ComplianceMarketing & brand
45
THRIVE CAPITAL MANAGEMENT, LLC notice-filed in CT. IAPD ↗
$656.7M RAUM · 13 reps · 800-516-5861 · thrivefinancialservices.com
ComplianceMarketing & brand
45
COMPTON WEALTH ADVISORY GROUP, LLC notice-filed in NE. IAPD ↗
$800.3M RAUM · 3 reps · 757-351-0741 · comptonwealth.com
ComplianceMarketing & brand
45
LIFEGUIDE FINANCIAL ADVISORS, LLC notice-filed in NY. IAPD ↗
$562.9M RAUM · 16 reps · (717) 796-1700
ComplianceMarketing & brand
45
XYPN INVEST notice-filed in AZ. IAPD ↗
$881.5M RAUM · 56 reps · (360) 301-7579 · tenerewealthadvisors.com
ComplianceMarketing & brand
45
MILLENNIAL WEALTH notice-filed in TN. IAPD ↗
$278.7M RAUM · 4 reps · (206) 207-8426
ComplianceMarketing & brand
45
PCG WEALTH MANAGEMENT notice-filed in VA. IAPD ↗
$931.1M RAUM · 24 reps · (913) 323-3112 · pcgstrategies.com
ComplianceMarketing & brand
45
GRANT PRIVATE WEALTH MANAGEMENT notice-filed in VA. IAPD ↗
$255.0M RAUM · 5 reps · 925-378-5000
ComplianceMarketing & brand
45
REGENT PEAK WEALTH ADVISORS, LLC notice-filed in NJ. IAPD ↗
$785.9M RAUM · 7 reps · 470-867-3550 · regentpeakwealth.com
ComplianceMarketing & brand
45
BLUEDOOR PRIVATE WEALTH, LLC notice-filed in CA. IAPD ↗
$337.3M RAUM · 4 reps · 781-810-4604 · bluedoorprivate.com
ComplianceMarketing & brand
45
IAM ADVISORY LLC notice-filed in LA. IAPD ↗
$699.4M RAUM · 8 reps · 610-258-3269 · iamadvisoryllc.com
ComplianceMarketing & brand
45
ALPHA CAPITAL FAMILY OFFICE, LLC notice-filed in FL. IAPD ↗
$295.9M RAUM · 7 reps · 303-900-0185 · acfamilyoffice.com
ComplianceMarketing & brand
45
TRU INDEPENDENCE ASSET MANAGEMENT 2, LLC notice-filed in CO. IAPD ↗
$264.7M RAUM · 3 reps · 971-371-3444 · meritwealth.com
ComplianceMarketing & brand
45
CORNERSTONE PORTFOLIO RESEARCH notice-filed in WA. IAPD ↗
$444.3M RAUM · 4 reps · 484-631-3684
ComplianceMarketing & brand
45
OLIVEIRA WEALTH notice-filed in AZ. IAPD ↗
$332.4M RAUM · 2 reps · 209-579-2332
ComplianceMarketing & brand
45
LEES MONSOUR GROUP notice-filed in AK. IAPD ↗
$681.2M RAUM · 3 reps · (318) 506-8635 · leesmonsourgroup.com
ComplianceMarketing & brand
45
J.R. PRUNIER CAPITAL MANAGEMENT LLC notice-filed in WA. IAPD ↗
$407.0M RAUM · 2 reps · 508-756-8080 · jrprunier.com
ComplianceMarketing & brand
45
MARIDEA WEALTH MANAGEMENT notice-filed in OH. IAPD ↗
$958.7M RAUM · 26 reps · 347-289-5227
ComplianceMarketing & brand
45
ACCELERATE RETIREMENT notice-filed in CT. IAPD ↗
$315.4M RAUM · 31 reps · 888-439-7071 · alkemefinancial.com
ComplianceMarketing & brand
45
TIDEMARK, LLC notice-filed in NC. IAPD ↗
$462.5M RAUM · 8 reps · 888-791-0197 · tidemarkfp.com
ComplianceMarketing & brand
45
STONEPATH WEALTH MANAGEMENT notice-filed in SC. IAPD ↗
$299.5M RAUM · 9 reps · (231) 668-6999
ComplianceMarketing & brand
45
PROSPERA CAPITAL MANAGEMENT, LLC notice-filed in DC. IAPD ↗
$343.9M RAUM · 3 reps · 480-648-9369 · deterswealthmanagement.com
ComplianceMarketing & brand
45
BRADY MARTZ WEALTH SOLUTIONS, LLC notice-filed in NE. IAPD ↗
$795.3M RAUM · 8 reps · 701-223-1717 · bradymartz.com
ComplianceMarketing & brand
45
ALTERI WEALTH notice-filed in HI. IAPD ↗
$566.1M RAUM · 3 reps · 805-809-0400
ComplianceMarketing & brand
45
OUTRUNNER CAPITAL, LLC notice-filed in LA. IAPD ↗
$498.5M RAUM · 3 reps · 512-649-3192 · outrunnercapital.com
ComplianceMarketing & brand
45
LEE, KELLEHER & KLEIN WEALTH MANAGEMENT notice-filed in DE. IAPD ↗
$252.4M RAUM · 3 reps · 301-450-2617 · lkkwealth.com
ComplianceMarketing & brand
45
HEADLAND CAPITAL notice-filed in MD. IAPD ↗
$559.3M RAUM · 12 reps · 843-388-4300 · headland.capital
ComplianceMarketing & brand
45
GLR PARTNERS notice-filed in TX. IAPD ↗
$260.7M RAUM · 3 reps · 410-446-9094 · glrpartners.net
ComplianceMarketing & brand
45
CEDAR COVE WEALTH PARTNERS notice-filed in TX. IAPD ↗
$455.0M RAUM · 10 reps · 952-358-3456 · cedarcovewealth.com
ComplianceMarketing & brand
45
CANBY FINANCIAL ADVISORS notice-filed in TX. IAPD ↗
$729.4M RAUM · 5 reps · 508-598-1082 · canbyfinancial.com
ComplianceMarketing & brand
44
ASHWOOD ADVISORS notice-filed in RI, SC. IAPD ↗
$126.9M RAUM · 2 reps · (508) 359-9442 · geremiainvestments.com
ComplianceMarketing & brand
44
BROADHURST FINANCIAL ADVISORS, INC. notice-filed in MD, TX. IAPD ↗
$128.4M RAUM · 1 reps · 215-325-1595 · broadhurstfinancial.com
ComplianceMarketing & brand
44
QUANTUM FINANCIAL PARTNERS LLC notice-filed in CA, FL. IAPD ↗
$148.6M RAUM · 7 reps · 913-538-5753 · quantumfinancialpartners.com
ComplianceMarketing & brand
44
FLIGHT LINE FINANCIAL, LLC notice-filed in MN, SC. IAPD ↗
$0 RAUM · 1 reps · 609-955-3570
ComplianceMarketing & brand
44
BOLDIN ADVISORS notice-filed in DC, DE. IAPD ↗
$0 RAUM · 14 reps · 415-462-5665
ComplianceMarketing & brand
44
ARCH GLOBAL ADVISORS, LLC notice-filed in CA, OH. IAPD ↗
$230.9M RAUM · 10 reps · (212) 991-8807 · archglobaladvisors.com
ComplianceMarketing & brand
44
MILLSTONE FINANCIAL GROUP notice-filed in NH, PA. IAPD ↗
$104.4M RAUM · 6 reps · 732-385-8544
ComplianceMarketing & brand
44
API FINANCIAL ADVISORS, LLC notice-filed in LA, NH. IAPD ↗
$84.7M RAUM · 13 reps · 321-888-2599
ComplianceMarketing & brand
44
ABUNDO WEALTH notice-filed in ID, LA. IAPD ↗
$0 RAUM · 12 reps · 612-502-5806
ComplianceMarketing & brand
44
WINCAP FINANCIAL LLC notice-filed in CT, OH. IAPD ↗
$223.1M RAUM · 6 reps · (617) 590-3250 · wincapfinancial.com
ComplianceMarketing & brand
44
ALIANZA CORP. INVESTMENT ADVISOR notice-filed in NY, TX. IAPD ↗
$204.1M RAUM · 5 reps · 954-330-1741
ComplianceMarketing & brand
44
CREATIVE INVESTMENT GROUP notice-filed in IN, NY. IAPD ↗
$209.0M RAUM · 7 reps · 615 949 9629 · creativeinvests.com
ComplianceMarketing & brand
44
ALLVET FINANCIAL notice-filed in NE, WA. IAPD ↗
$1.3M RAUM · 2 reps · (804) 201-4615
ComplianceMarketing & brand
44
STILLWATER PRIVATE WEALTH notice-filed in FL, NY. IAPD ↗
$176.8M RAUM · 4 reps · 6102910232 · swprivatewealth.com
ComplianceMarketing & brand
44
ALTRUIST ADVISORS LLC notice-filed in OR, TX. IAPD ↗
$0 RAUM · 2 reps · 202 494 0435 · altruist.com
ComplianceMarketing & brand
42
COORDINATED CAPITAL SECURITIES, INC. notice-filed in NY. IAPD ↗
$136.8M RAUM · 15 reps · 608-221-4545 · mdressmancpa.com
ComplianceMarketing & brand
42
WESTPARK CAPITAL, INC. notice-filed in SC. IAPD ↗
$53.1M RAUM · 11 reps · 310-843-9300 · wpcapital.com
ComplianceMarketing & brand
42
SUPREME ALLIANCE LLC notice-filed in ME. IAPD ↗
$35.3M RAUM · 15 reps · 561-460-2870 · supremealliancellc.com
ComplianceMarketing & brand
42
WARD & ASSOCIATES notice-filed in TX. IAPD ↗
$187.2M RAUM · 2 reps · 858-759-5330 · wardinvest.com
ComplianceMarketing & brand
42
PEGASUS GROUP, LLC notice-filed in FL. IAPD ↗
$91.3M RAUM · 2 reps · 845-369-9422
ComplianceMarketing & brand
42
PRUNEYARD FINANCIAL GROUP, INC. notice-filed in TX. IAPD ↗
$90.9M RAUM · 1 reps · 408-377-4444 · pruneyardfinancial.com
ComplianceMarketing & brand
42
QUALITY FINANCIAL CONCEPTS notice-filed in NC. IAPD ↗
$128.8M RAUM · 2 reps · 865-984-3550
ComplianceMarketing & brand
42
COLMAN KNIGHT ADVISORY GROUP, LLC notice-filed in MD. IAPD ↗
$187.7M RAUM · 4 reps · 978-371-2015 · colmanknight.com
ComplianceMarketing & brand
42
CORNERSTONE FINANCIAL notice-filed in TX. IAPD ↗
$118.0M RAUM · 3 reps · 404-874-3111 · corstonefinancial.com
ComplianceMarketing & brand
42
PERSONAL ASSET STRATEGIES, INC. notice-filed in MA. IAPD ↗
$50.6M RAUM · 2 reps · 516-248-8811 · pasfinance.com
ComplianceMarketing & brand
42
SALVINI FINANCIAL PLANNING notice-filed in FL. IAPD ↗
$116.2M RAUM · 1 reps · (805) 543-6622 · salvinifinancial.com
ComplianceMarketing & brand
42
NGC FINANCIAL, LLC notice-filed in TX. IAPD ↗
$57.1M RAUM · 1 reps · 718-423-1100 · ngcfinancial.com
ComplianceMarketing & brand
42
FINANCIAL ACTION, INC. notice-filed in OK. IAPD ↗
$100.3M RAUM · 4 reps · 719-357-7189 · faiinv.com
ComplianceMarketing & brand
42
SECURE INVESTMENT MANAGEMENT, LLC notice-filed in NM. IAPD ↗
$42.9M RAUM · 20 reps · 520-333-4719 · secureinvestmentmanagement.com
ComplianceMarketing & brand
42
DES MOINES INVESTMENTS, LLC notice-filed in HI. IAPD ↗
$246.0M RAUM · 3 reps · 515-777-1149 · investdsmi.com
ComplianceMarketing & brand
42
BELLINGHAM CAPITAL notice-filed in IA. IAPD ↗
$149.2M RAUM · 4 reps · 360-685-4240 · bellinghamcapital.com
ComplianceMarketing & brand
42
CAPSTONE WEALTH PARTNERS notice-filed in PA. IAPD ↗
$114.9M RAUM · 3 reps · (614) 754-7805 · capstonewealthpartners.com
ComplianceMarketing & brand
42
FMSA notice-filed in TN. IAPD ↗
$216.4M RAUM · 20 reps · 5612892602 · myfmsa.com
ComplianceMarketing & brand
42
SIMPLYRIA ADVISOR NETWORK notice-filed in MN. IAPD ↗
$214.9M RAUM · 24 reps · 810-355-1325 · caitlinjohn.com
ComplianceMarketing & brand
42
FULCRUM WEALTH MANAGEMENT notice-filed in CT. IAPD ↗
$192.8M RAUM · 3 reps · 888-304-6942 · fulcrumeq.com
ComplianceMarketing & brand
42
NOSURIS, INC. notice-filed in TN. IAPD ↗
$95.0M RAUM · 2 reps · 516-887-7788 · odifinancial.com
ComplianceMarketing & brand
42
TRANSGLOBAL ADVISORY, LLC notice-filed in FL. IAPD ↗
$58.3M RAUM · 27 reps · 626-447-7888 · transglobalus.com
ComplianceMarketing & brand
42
SHELTER WEALTH STRATEGIES, LLC notice-filed in AL. IAPD ↗
$144.1M RAUM · 8 reps · 713-620-8500 · shelterwealth.com
ComplianceMarketing & brand
42
MODERNIST FINANCIAL, LLC notice-filed in NH. IAPD ↗
$113.3M RAUM · 3 reps · (971) 544-7417 · modernistfinancial.com
ComplianceMarketing & brand
42
PERISSOS PRIVATE WEALTH MANAGEMENT notice-filed in WA. IAPD ↗
$167.1M RAUM · 2 reps · 405-212-9690
ComplianceMarketing & brand
42
KASTEL CAPITAL ADVISORS, LLC notice-filed in NH. IAPD ↗
$193.3M RAUM · 3 reps · (888) 622-2285
ComplianceMarketing & brand
42
ADDICUS ADVISORY, LLC notice-filed in NE. IAPD ↗
$221.7M RAUM · 21 reps · 877-294-8658 · addicusadvisors.com
ComplianceMarketing & brand
42
ARNOLD AND MOTE WEALTH MANAGEMENT notice-filed in LA. IAPD ↗
$168.2M RAUM · 5 reps · 319-393-4020
ComplianceMarketing & brand
42
Q3 ADVISORS, LLC notice-filed in WI. IAPD ↗
$0 RAUM · 12 reps · 720-730-9892
ComplianceMarketing & brand
42
AFFINITY WEALTH LLC notice-filed in TX. IAPD ↗
$217.5M RAUM · 2 reps · (330) 526-8412 · tagplanning.com
ComplianceMarketing & brand
42
GREENWAY WEALTH ADVISORS, LLC notice-filed in CA. IAPD ↗
$184.5M RAUM · 4 reps · 704-981-1228 · greenwaywealth.com
ComplianceMarketing & brand
42
BLUE JAY FINANCIAL GROUP, LLC notice-filed in TX. IAPD ↗
$113.5M RAUM · 3 reps · 419-785-4525
ComplianceMarketing & brand
42
COOKSEN WEALTH, LLC notice-filed in VA. IAPD ↗
$206.2M RAUM · 3 reps · (832) 592-2554 · cooksenwealth.com
ComplianceMarketing & brand
42
PARABLE WEALTH ADVISORS notice-filed in TX. IAPD ↗
$176.3M RAUM · 4 reps · (904) 420-0008 · parableadvisors.com
ComplianceMarketing & brand
42
SECFI ADVISORY LIMITED notice-filed in MO. IAPD ↗
$225.9M RAUM · 9 reps · (707) 652-9961
ComplianceMarketing & brand
42
WEALTH ENGAGEMENT notice-filed in LA. IAPD ↗
$105.0M RAUM · 1 reps · (917) 826-5955 · wealthengagement.com
ComplianceMarketing & brand
42
PELICAN INVESTMENT ADVISORS, LLC notice-filed in NM. IAPD ↗
$128.5M RAUM · 10 reps · 225-293-9283 · pelicanadvisory.com
ComplianceMarketing & brand
42
JOURNEY RETIREMENT PLANNING AND INVESTMENT MANAGEMENT, LLC notice-filed in AZ. IAPD ↗
$187.3M RAUM · 5 reps · 208-552-9169
ComplianceMarketing & brand
42
COMPASS PRIVATE WEALTH GROUP LLC notice-filed in TX. IAPD ↗
$113.3M RAUM · 3 reps · (908) 615-2249 · compasspw.com
ComplianceMarketing & brand
42
DBA BIG MONEY RETIREMENT AND BIG RETIREMENT notice-filed in NC. IAPD ↗
$147.1M RAUM · 9 reps · 864-920-3155 · bigmoneyretirement.com
ComplianceMarketing & brand
42
PERCENT ADVISORS LLC notice-filed in PA. IAPD ↗
$70.0M RAUM · 2 reps · 646-876-5141 · percent.com
ComplianceMarketing & brand
42
BIG SKY WEALTH ADVISORS, LLC notice-filed in CA. IAPD ↗
$134.6M RAUM · 2 reps · 406-315-2627 · bigskywealthadvisors.com
ComplianceMarketing & brand
42
PEARL WEALTH GROUP notice-filed in TN. IAPD ↗
$102.9M RAUM · 2 reps · (616) 726-2090
ComplianceMarketing & brand
42
RIVERTREE WEALTH notice-filed in IL. IAPD ↗
$143.1M RAUM · 3 reps · (501) 500-0893 · rivertreewealth.com
ComplianceMarketing & brand
42
ZERO DAY CAPITAL ENTERPRISES LLC notice-filed in SC. IAPD ↗
$30.7M RAUM · 16 reps · 702 271 3265 · zerodaycapital.com
ComplianceMarketing & brand
42
WALTON FINANCIAL notice-filed in MS. IAPD ↗
$182.9M RAUM · 3 reps · (205) 871-0154
ComplianceMarketing & brand
42
MARTINSEN WEALTH MANAGEMENT notice-filed in OR. IAPD ↗
$143.2M RAUM · 7 reps · 480-550-6556 · 5wbook.com
ComplianceMarketing & brand
42
RILEY S. CROSBIE ADVISORY, LLC notice-filed in TX. IAPD ↗
$118.9M RAUM · 3 reps · 435-752-5558
ComplianceMarketing & brand
42
ANGELES FAMILY OFFICE notice-filed in TX. IAPD ↗
$182.0M RAUM · 2 reps · 310-393-6300
ComplianceMarketing & brand
42
LANCASTER notice-filed in TX. IAPD ↗
$0 RAUM · 3 reps · 917-859-2815
ComplianceMarketing & brand
42
GEVERS WEALTH MANAGEMENT notice-filed in TX. IAPD ↗
$223.7M RAUM · 3 reps · 4259024840 · geverswealth.com
ComplianceMarketing & brand
42
2201 CAPITAL, LLC notice-filed in NY. IAPD ↗
$40.0M RAUM · 2 reps · 201-446-2992
ComplianceMarketing & brand
42
FACTORY CAPITAL LLC notice-filed in GA. IAPD ↗
$0 RAUM · 4 reps · 954-803-9987 · thefactoryhq.com
ComplianceMarketing & brand
42
QUEST WEALTH SOLUTIONS, INC. notice-filed in TX. IAPD ↗
$0 RAUM · 2 reps · 419-525-2525 · questwealthsolutions.com
ComplianceMarketing & brand
41
CAPULA INVESTMENT US LP notice-filed in GA, IL, MI. IAPD ↗institutional
$137.44B RAUM · 51 reps · (646) 874-5400 · capulaglobal.com
ComplianceMarketing & brand
37
MILLIMAN ADVISORS, LLC notice-filed in TX. IAPD ↗institutional
$2.32B RAUM · 1 reps · 206-624-7940 · milliman.com
ComplianceMarketing & brand
34
MARINER WEALTH notice-filed in AZ, SC. IAPD ↗institutional
$0 RAUM · 65 reps · 913-904-5700 · mariner.com
ComplianceMarketing & brand
32
KOHLBERG KRAVIS ROBERTS & CO. L.P. notice-filed in NY. IAPD ↗fund
$399.90B RAUM · 706 reps · 212-750-8300 · kkr.com
ComplianceMarketing & brand
32
EXODUSPOINT CAPITAL MANAGEMENT, LP notice-filed in TX. IAPD ↗fund
$159.41B RAUM · 332 reps · (646) 940 - 9600
ComplianceMarketing & brand
32
SHAREBUILDER 401K notice-filed in PR. IAPD ↗institutional
$0 RAUM · 4 reps · 425-213-9035 · sharebuilder401k.com
ComplianceMarketing & brand
32
CORIENT IA LLC notice-filed in DE. IAPD ↗fund
$5.11B RAUM · 49 reps · (305) 735-2020
ComplianceMarketing & brand
32
GID MULTIFAMILY INVESTMENT MANAGEMENT LLC notice-filed in FL. IAPD ↗fund
$5.89B RAUM · 122 reps · 833-259-7511
ComplianceMarketing & brand
19
RAYMOND JAMES (USA) LTD notice-filed in DC, IA. IAPD ↗foreign
$1.99B RAUM · 145 reps · 877-570-7558 · rjlu.com
ComplianceMarketing & brand
19
KOTAK ALTERNATE ASSET MANAGERS LIMITED notice-filed in LA, MA. IAPD ↗foreign
$18.52B RAUM · 50 reps · +91-022-65292400 · kotakalternateasset.com
ComplianceMarketing & brand
18
WISE MONEY ISRAEL notice-filed in LA, NC, OH, WA. IAPD ↗foreign
$94.9M RAUM · 2 reps · +972-79-6984545
ComplianceMarketing & brand
new registration — 137 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
98
TINGEY FINANCIAL GROUP INC. (location n/a) is newly SEC-registered with $257.0M RAUM and 3 advisory reps. IAPD ↗
$257.0M RAUM · 3 reps · 801-624-6850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
ARG PRIVATE WEALTH, LLC (CINCINNATI, OH) is newly SEC-registered with $280.0M RAUM and 2 advisory reps. IAPD ↗
$280.0M RAUM · 2 reps · 513-488-1600 · argprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIDGEVIEW CAPITAL ADVISORS, INC. (EL DORADO HILLS, CA) is newly SEC-registered with $114.1M RAUM and 2 advisory reps. IAPD ↗
$114.1M RAUM · 2 reps · 916-235-6857
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAFE HARBOR RETIREMENT PLANNERS (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
$108.7M RAUM · 3 reps · 410-538-6800 · asset-management-services.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAYKIN, MICHAEL (location n/a) is newly SEC-registered with $124.5M RAUM and 2 advisory reps. IAPD ↗
$124.5M RAUM · 2 reps · 303-699-9420
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE GARDNER GROUP (DALLAS, TX) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 214-706-4369 · gardnergrp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LYNCH INVESTMENT PLANNING, LLC (NEWTOWN SQUARE, PA) is newly SEC-registered with $143.3M RAUM and 3 advisory reps. IAPD ↗
$143.3M RAUM · 3 reps · (484) 472-8956
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEST FINANCIAL STRATEGIES, INC. (SANFORD, NC) is newly SEC-registered with $121.0M RAUM and 2 advisory reps. IAPD ↗
$121.0M RAUM · 2 reps · 919-774-8664 · westfinancialstrategies.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOUTHEAST FINANCIAL ADVISORS (GREENVILLE, SC) is newly SEC-registered with $133.0M RAUM and 2 advisory reps. IAPD ↗
$133.0M RAUM · 2 reps · 864-284-6511 · southeastfinancialadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRATED INVESTMENT STRATEGIES,INC. (CARMEL, IN) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
$104.5M RAUM · 3 reps · 317-843-5577 · integratedinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PRIVATE LANE CAPITAL, LLC (location n/a) is newly SEC-registered with $144.1M RAUM and 1 advisory reps. IAPD ↗
$144.1M RAUM · 1 reps · 703-679-7394 · privatelanecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FIVE MILE RIVER INVESTMENT MANAGEMENT, LLC (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
$108.7M RAUM · 3 reps · 203-388-4848 · fivemileriver.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CONDON WEALTH MANAGEMENT, INC. (PLYMOUTH, MA) is newly SEC-registered with $122.1M RAUM and 2 advisory reps. IAPD ↗
$122.1M RAUM · 2 reps · 508-746-7763
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HARBOR LIGHT PLANNING (location n/a) is newly SEC-registered with $111.1M RAUM and 1 advisory reps. IAPD ↗
$111.1M RAUM · 1 reps · 248-344-9616
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
S&F INVESTMENT ADVISORS (ENCINO, CA) is newly SEC-registered with $106.4M RAUM and 1 advisory reps. IAPD ↗
$106.4M RAUM · 1 reps · 310-481-9320
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VAN WINKLE WEALTH MANAGEMENT GROUP LLC (NEWARK, OH) is newly SEC-registered with $120.8M RAUM and 1 advisory reps. IAPD ↗
$120.8M RAUM · 1 reps · 740-366-1110 · vanwinklewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEGACY FINANCIAL SERVICES GROUP, INC. (TRAVERSE CITY, MI) is newly SEC-registered with $122.8M RAUM and 2 advisory reps. IAPD ↗
$122.8M RAUM · 2 reps · 231-933-0631
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SIP FINANCIAL SERVICES (GLENVILLE, NY) is newly SEC-registered with $28.2M RAUM and 1 advisory reps. IAPD ↗
$28.2M RAUM · 1 reps · 518-384-2800 · sipfinancialservices.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JORDAN FINANCIAL LIFE PLANNING (KENOSHA, WI) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
$107.1M RAUM · 3 reps · 262-656-1141 · jordanfinancial.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FUERST FINANCIAL GROUP, INC. (CHATTANOOGA, TN) is newly SEC-registered with $100.9M RAUM and 2 advisory reps. IAPD ↗
$100.9M RAUM · 2 reps · 423-899-8555 · fuerstfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DALY INVESTMENT MANAGEMENT, LLC (MOUNT PROSPECT, IL) is newly SEC-registered with $123.5M RAUM and 1 advisory reps. IAPD ↗
$123.5M RAUM · 1 reps · 224-347-2623 · dalyinvestment.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRA WEALTH (CHATTANOOGA, TN) is newly SEC-registered with $116.5M RAUM and 1 advisory reps. IAPD ↗
$116.5M RAUM · 1 reps · 423-664-0344 · integrawealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DW INVESTMENT SOLUTIONS, INC. (location n/a) is newly SEC-registered with $111.4M RAUM and 2 advisory reps. IAPD ↗
$111.4M RAUM · 2 reps · 509-924-6526
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MONTELLO WEALTH MANAGEMENT, INC. (PALM BEACH GARDENS, FL) is newly SEC-registered with $108.4M RAUM and 1 advisory reps. IAPD ↗
$108.4M RAUM · 1 reps · (561) 222-3305
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PACIFIC FINANCIAL ADVISORS (BELLEVUE, WA) is newly SEC-registered with $110.2M RAUM and 5 advisory reps. IAPD ↗
$110.2M RAUM · 5 reps · 425-458-3292 · pacificfa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MAGGI INVESTMENT SERVICES, LLC (OLDMAR, FL) is newly SEC-registered with $154.0M RAUM and 3 advisory reps. IAPD ↗
$154.0M RAUM · 3 reps · 727-799-1701 · maggifinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RED SEVEN (ESCONDIDO, CA) is newly SEC-registered with $104.4M RAUM and 4 advisory reps. IAPD ↗
$104.4M RAUM · 4 reps · (760) 705-3520 · red7wm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAGLE CAPITAL ADVISORS, LLC (MIDDLEBURY, CT) is newly SEC-registered with $103.0M RAUM and 2 advisory reps. IAPD ↗
$103.0M RAUM · 2 reps · 203 574 0069 · eaglecapitaladvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SULZBERGER CAPITAL ADVISORS, INC. (MIAMI, FL) is newly SEC-registered with $117.1M RAUM and 2 advisory reps. IAPD ↗
$117.1M RAUM · 2 reps · 305-573-4900 · genesulzberger.myhomehq.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MIDDLE STREET CAPITAL, LLC (NEWFIELDS, NH) is newly SEC-registered with $132.1M RAUM and 1 advisory reps. IAPD ↗
$132.1M RAUM · 1 reps · 603-531-3773 · middlestreetcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RJ PATTERSON GROUP (SAN DIEGO, CA) is newly SEC-registered with $142.4M RAUM and 2 advisory reps. IAPD ↗
$142.4M RAUM · 2 reps · 619-331-4133 · rjpattersongroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PACIFIC SPECIALTY INVESTMENT GROUP, LLC (NEWPORT BEACH, CA) is newly SEC-registered with $123.2M RAUM and 2 advisory reps. IAPD ↗
$123.2M RAUM · 2 reps · (949) 379-7333 · psinvestmentgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TQM WEALTH PARTNERS (MARBLEHEAD, MA) is newly SEC-registered with $123.7M RAUM and 3 advisory reps. IAPD ↗
$123.7M RAUM · 3 reps · 781-990-3599
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOUTH TEXAS CAPITAL ADVISORS, LLC (NEW BRAUNFELS, TX) is newly SEC-registered with $167.2M RAUM and 2 advisory reps. IAPD ↗
$167.2M RAUM · 2 reps · 830-387-4110 · southtexascapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GREENLEAF FINANCIAL NETWORK, LLC (location n/a) is newly SEC-registered with $123.7M RAUM and 11 advisory reps. IAPD ↗
$123.7M RAUM · 11 reps · (913) 515-3517 · feenfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORESIGHT WEALTH ADVISORS (SKOKIE, IL) is newly SEC-registered with $121.2M RAUM and 1 advisory reps. IAPD ↗
$121.2M RAUM · 1 reps · 847-728-8304 · foresightwealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ORCHARD CITY WEALTH MANAGEMENT, LLC (LOS GATOS, CA) is newly SEC-registered with $116.1M RAUM and 1 advisory reps. IAPD ↗
$116.1M RAUM · 1 reps · (669) 237-3006
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAN FRANCISCO WEALTH PLANNING LLC (location n/a) is newly SEC-registered with $112.3M RAUM and 2 advisory reps. IAPD ↗
$112.3M RAUM · 2 reps · 415-375-0537
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALO FINANCIAL PLANNING (MOUNT PROSPECT, IL) is newly SEC-registered with $120.9M RAUM and 2 advisory reps. IAPD ↗
$120.9M RAUM · 2 reps · (224) 250-9373 · alo.financial
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GLASSBEAD CAPITAL MANAGEMENT LLC (MIAMI BEACH, FL) is newly SEC-registered with $140.3M RAUM and 1 advisory reps. IAPD ↗
$140.3M RAUM · 1 reps · (917) 251-4419 · glassbeadcm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROSS WEALTH ADVISORS, LLC (COLUMBUS, OH) is newly SEC-registered with $139.7M RAUM and 2 advisory reps. IAPD ↗
$139.7M RAUM · 2 reps · 614-545-0277 · 833armorup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VERAZ ADVISORS (SAN RAMON, CA) is newly SEC-registered with $109.6M RAUM and 3 advisory reps. IAPD ↗
$109.6M RAUM · 3 reps · 844-848-3729 · verazadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
A BETTER WAY FINANCIAL, LLC (ALLENTOWN, PA) is newly SEC-registered with $109.0M RAUM and 5 advisory reps. IAPD ↗
$109.0M RAUM · 5 reps · 610-440-1700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MK3 WEALTH LLC (CHERRY HILL, NJ) is newly SEC-registered with $113.1M RAUM and 3 advisory reps. IAPD ↗
$113.1M RAUM · 3 reps · 856-545-0077
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SIERRA MANAGEMENT GROUP (RENO, NV) is newly SEC-registered with $127.1M RAUM and 2 advisory reps. IAPD ↗
$127.1M RAUM · 2 reps · 775-284-2552 · sierramgmt.group
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LUNA CAPITAL MANAGEMENT, LLC (BURLINGAME, CA) is newly SEC-registered with $116.4M RAUM and 2 advisory reps. IAPD ↗
$116.4M RAUM · 2 reps · (415) 513-5257
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NORTHBROOK FINANCIAL (BALTIMORE, MD) is newly SEC-registered with $108.8M RAUM and 2 advisory reps. IAPD ↗
$108.8M RAUM · 2 reps · 410-941-9709
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WESTPOINT WEALTH MANAGEMENT, LLC (BEREA, OH) is newly SEC-registered with $106.0M RAUM and 9 advisory reps. IAPD ↗
$106.0M RAUM · 9 reps · 216-4344055
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ONTRACK WEALTH MANAGEMENT (CANTON, MI) is newly SEC-registered with $112.4M RAUM and 2 advisory reps. IAPD ↗
$112.4M RAUM · 2 reps · 734-751-6818 · ontrackplans.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WRIGHT WEALTH LLC (ATLANTA, GA) is newly SEC-registered with $188.5M RAUM and 6 advisory reps. IAPD ↗
$188.5M RAUM · 6 reps · 4703731044
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DIVERSIFIED PLANNING STRATEGIES ADVISORS LLC (ROSELAND, NJ) is newly SEC-registered with $154.4M RAUM and 4 advisory reps. IAPD ↗
$154.4M RAUM · 4 reps · 973-226-6000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINISH WELL RIA LLC (COLUMBUS, OH) is newly SEC-registered with $109.0M RAUM and 2 advisory reps. IAPD ↗
$109.0M RAUM · 2 reps · (833) 397-3847 · fwretire.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
QUORUS INC. (WESTPORT, CT) is newly SEC-registered with $148.2M RAUM and 3 advisory reps. IAPD ↗
$148.2M RAUM · 3 reps · (929) 560-2588 · quorus.io
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SPORTSOLOGY CAPITAL PARTNERS (NEW YORK, NY) is newly SEC-registered with $156.4M RAUM and 6 advisory reps. IAPD ↗
$156.4M RAUM · 6 reps · 347-429-1781
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DOUBLE EAGLE WEALTH MANAGEMENT LLC (DALLAS, TX) is newly SEC-registered with $108.6M RAUM and 1 advisory reps. IAPD ↗
$108.6M RAUM · 1 reps · 214-814-4978
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINDICIA, INC. (RALEIGH, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 212-420-0425 · findicia.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTH FOUNDATIONS PARTNERS, LLC (SALT LAKE CITY, UT) is newly SEC-registered with $110.5M RAUM and 10 advisory reps. IAPD ↗
$110.5M RAUM · 10 reps · (888) 785-0020
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TOP PRIVATE WEALTH (GLASTONBURY, CT) is newly SEC-registered with $106.5M RAUM and 2 advisory reps. IAPD ↗
$106.5M RAUM · 2 reps · 860-790-7992
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INFINITY TAX & FINANCIAL PLANNING (HUNTSVILLE, AL) is newly SEC-registered with $100.0M RAUM and 5 advisory reps. IAPD ↗
$100.0M RAUM · 5 reps · 256-527-4214
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VISIONX WEALTH PARTNERS (FORT DODGE, IA) is newly SEC-registered with $110.2M RAUM and 1 advisory reps. IAPD ↗
$110.2M RAUM · 1 reps · 515-570-4032 · visionxwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRADEUP WEALTH MANAGEMENT, INC. (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 646-978-5188
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PILOTAI WEALTH (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 305-310-7814 · pilotaiwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALDER POINT CAPITAL MANAGEMENT LLC (LAFAYETTE, CO) is newly SEC-registered with $121.3M RAUM and 6 advisory reps. IAPD ↗
$121.3M RAUM · 6 reps · 720-686-3508
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TOMORO (COLTS NECK, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 11 advisory reps. IAPD ↗
$0 RAUM · 11 reps · 732-528-2231 · tomoronow.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ASAL INVEST (ARLINGTON, VA) is newly SEC-registered with $270 RAUM and 2 advisory reps. IAPD ↗
$270 RAUM · 2 reps · +1 (646) 288-3548
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPHATRUST ADVISORS (PHOENIX, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (480) 681-0200 · alphatrustadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROI FINANCIAL PLANNING (CLARKSVILLE, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 931-919-0947 · roi-fg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL FINANCIAL PLANNERS LLC (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · (240)316-3956 · capitalfinancialplanners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TOGETHER WEALTH GROUP LLC (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (786) 245-3448 · togetherwealthgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KEYSTONE FINANCIAL RESOURCES, LLC (BRENTWOOD, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 707-932-5849 · keystonewealtalliance.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BEACON COAST PARTNERS, LLC (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · (415) 426-7520 · beaconcoastpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NAPLES PRIVATE CAPITAL, LLC (MOORESVILLE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 877-281-8282 · naplesprivatecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OVERWATCH CAPITAL ADVISORS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 212-632-0400
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DVB PRIVATE WEALTH (HARRISBURG, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 7176526901 · dvbprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEWISE WEALTH ADVISORS (CHAMPAIGN, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 217 351 8755 · lifewisewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAFELE INVESTMENTS (LOUISVILLE, KY) is newly SEC-registered (provisional 120-day approval) with $57.7M RAUM and 3 advisory reps. IAPD ↗
$57.7M RAUM · 3 reps · 502 365 1440
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STAR WEALTH MANAGEMENT CORPORATION (BINGHAM FARMS, MI) is newly SEC-registered with $156.5M RAUM and 1 advisory reps. IAPD ↗
$156.5M RAUM · 1 reps · 2487234321 · starwealth.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
N10° WEALTH (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 203-930-2881 · n10wealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VENEROSO WEALTH MANAGEMENT (WOODBURY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 631-559-7713
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CASTLE WEALTH GROUP (MOORESVILLE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 704-594-8000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MARTIN & COMPANY (VALENCIA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 661-295-9070
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
N10° ASSETS (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 203-930-2880 · n10assets.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROADSIDE WEALTH (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 628-218-5315 · broadsidewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FUTUREIT INC. (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 412-656-3103 · futureit.us
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WHITEROCK WEALTH DESIGN, LLC (FAYETTEVILLE, AR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · (479) 439-5550 · whiterockwealthdesign.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOFMAN WEALTH MANAGEMENT (CHESTERFIELD, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 636-530-3293
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VECTIS CAPITAL (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · (972) 777-1319 · vectiscapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BREITER WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 636-373-9300 · breiterwealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MERIDIAN WEALTH GROUP (DADE CITY, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 813-830-2736 · meridianwealthgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ELLIS WEALTH ADVISORS, LLC (MADISON, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 256-325-0410 · ewamadison.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ANCHOR & OAK WEALTH ADVISORS, LLC (MARCO ISLAND, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 516-662-2546
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEFFENS FINANCIAL CORP (BYRAM TOWNSHIP, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 973-786-3696 · steffensfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
755 FINANCIAL (WOODSTOCK, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 678-567-7915 · 755financial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POLSON WEALTH MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 515-901-8804 · polsonwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRUELINE WEALTH GROUP, LLC (HATTIESBURG, MS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 601-255-5457 · truelinewealthgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCHEELER FINANCIAL GROUP (WEST CHESTER, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 513-939-5164 · scheelerfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STACKSTONE WEALTH, LLC (DUBUQUE, IA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 18 advisory reps. IAPD ↗
$0 RAUM · 18 reps · 563-553-7000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROTHSCHILD FINANCIAL PARTNERS, LLC (OAK BROOK, IL) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 630-448-5711
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HERITAGE HAUS WEALTH PARTNERS LLC (NEW BRAUNFELS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 512-665-0773
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PFS SIGNATURE WEALTH (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 877-642-6110 · pfsfirm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
DRIVE CAPITAL LLC (COLUMBUS, OH) is newly SEC-registered with $4.38B RAUM and 13 advisory reps. IAPD ↗fund
$4.38B RAUM · 13 reps · 415-694-9581
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MORNINGSIDE ASSET MANAGEMENT (WILMINGTON, DE) is newly SEC-registered with $135.6M RAUM and 4 advisory reps. IAPD ↗institutional
$135.6M RAUM · 4 reps · 302-207-5292 · morningsideam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ANTARCTICA SAF PARTNERS, LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 13 advisory reps. IAPD ↗institutional
$0 RAUM · 13 reps · (646) 564-3356
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
APPLIED ACADEMICS (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 13 advisory reps. IAPD ↗institutional
$0 RAUM · 13 reps · 917 727 9216 · appliedacademics.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BLOCKBRIDGE INVESTMENTS LLC (MINNEAPOLIS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 6513793931 · blockbridgeinvesments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CENTRICUS INVESTMENT ADVISORS (US) LLC (BEVERLY HILLS, CA) is newly SEC-registered with $1.02B RAUM and 15 advisory reps. IAPD ↗fund
$1.02B RAUM · 15 reps · +44 (0) 20 7139 4500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
VISTA POINT ASSET MANAGEMENT LLC (IRVINE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 949-333-5399
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MONROE CAPITAL ASSET FINANCE ADVISORS, LLC (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 312-258-8300 · monroebdc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
AQUALIS PARTNERS LLC (DARIEN, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 203-490-6990 · aqualispartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
AMBER ROAD INVESTORS LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-819-5512 · ar-investors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
RAMP ADVISORY LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 8552067283 · ramp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
APPLESEED ADVISORY, LLC (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · 415-323-0325 · appleseedplanner.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CCAVENTUS GLOBAL CREDIT MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
$0 RAUM · 7 reps · 212-457-7428
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PROSHARE INVESTMENT MANAGEMENT LLC (BETHESDA, MD) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 240-497-6400
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ARCHIV CAPITAL MANAGEMENT LP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 617-510-9274
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
WARWICK GROUP II, INC. (location n/a) is newly SEC-registered with $369.8M RAUM and 1 advisory reps. IAPD ↗fund
$369.8M RAUM · 1 reps · 203-240-7897 · warwickgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SAGE RESIDENTIAL MANAGEMENT LLC (MORRISTOWN, NJ) is newly SEC-registered with $444.1M RAUM and 2 advisory reps. IAPD ↗fund
$444.1M RAUM · 2 reps · 646-693-6673 · sageresi.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MILLENNIA GLOBAL INVESTORS, LLC (NEW YORK, NY) is newly SEC-registered with $516.0M RAUM and 3 advisory reps. IAPD ↗fund
$516.0M RAUM · 3 reps · (408) 636-3782 · millenniallp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
MORK CAPITAL MANAGEMENT (HEALDSBURG, CA) is newly SEC-registered with $157.4M RAUM and 1 advisory reps. IAPD ↗fund
$157.4M RAUM · 1 reps · 707-431-1057 · morkcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
EMPIRICAL CAPITAL MANAGEMENT, LLC (HENDERSONVILLE, TN) is newly SEC-registered with $152.7M RAUM and 3 advisory reps. IAPD ↗fund
$152.7M RAUM · 3 reps · 615-824-1445 · empiricalcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
MKT CAPITAL LLC (location n/a) is newly SEC-registered with $158.2M RAUM and 3 advisory reps. IAPD ↗fund
$158.2M RAUM · 3 reps · (310) 751-2460
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ARROW CAPITAL MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $174.8M RAUM and 1 advisory reps. IAPD ↗fund
$174.8M RAUM · 1 reps · 212-243-7338 · arrowcapmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
PEREA CAPITAL (HOUSTON, TX) is newly SEC-registered with $164.2M RAUM and 1 advisory reps. IAPD ↗fund
$164.2M RAUM · 1 reps · 1-832-339-7449 · pereacapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SLOY DAHL & HOLST HOLDINGS, INC (VANCOUVER, WA) is newly SEC-registered with $186.6M RAUM and 3 advisory reps. IAPD ↗fund
$186.6M RAUM · 3 reps · 503-248-9800
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SCENIC MANAGEMENT LLC (SAN FRANCISCO, CA) is newly SEC-registered with $144.6M RAUM and 2 advisory reps. IAPD ↗fund
$144.6M RAUM · 2 reps · 415-844-0646 · scenicmanagement.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
INTERCAPITAL (AUSTIN, TX) is newly SEC-registered with $198.7M RAUM and 1 advisory reps. IAPD ↗fund
$198.7M RAUM · 1 reps · 504-610-8109 · intercapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
1 MAIN CAPITAL MANAGEMENT, LLC (WESTPORT, CT) is newly SEC-registered with $80.5M RAUM and 2 advisory reps. IAPD ↗fund
$80.5M RAUM · 2 reps · 305-710-8509
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SHIKHARA INVESTMENT MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $226.9M RAUM and 2 advisory reps. IAPD ↗fund
$226.9M RAUM · 2 reps · 646-809-5433 · shikhara.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BALLAST EQUITY PARTNERS MANAGEMENT COMPANY, LLC (PROVIDENCE, RI) is newly SEC-registered with $111.9M RAUM and 4 advisory reps. IAPD ↗fund
$111.9M RAUM · 4 reps · 401-484-0675
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
TUCKER'S FARM (FRAMINGHAM, MA) is newly SEC-registered with $217.0M RAUM and 12 advisory reps. IAPD ↗fund
$217.0M RAUM · 12 reps · 415-500-1367 · tuckersfarm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
GIDEON CAPITAL, LLC (LOS ANGELES, CA) is newly SEC-registered with $229.0M RAUM and 0 advisory reps. IAPD ↗fund
$229.0M RAUM · 0 reps · (310) 579-9560
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
TIDE ROCK LEVERAGECO MANAGER, LLC (SOLANA BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 11 advisory reps. IAPD ↗fund
$0 RAUM · 11 reps · (858) 367-0502 · tiderock.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
UPP MANAGEMENT, LP (HOUSTON, TX) is newly SEC-registered with $0 RAUM and 9 advisory reps. IAPD ↗fund
$0 RAUM · 9 reps · 713-659-3500 · unitedpp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
CAXTON ASSOCIATES LLP (LONDON, United Kingdom) is newly SEC-registered with $71.56B RAUM and 55 advisory reps. IAPD ↗foreign
$71.56B RAUM · 55 reps · +44 207 647 0770 · caxton.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
JUNGLE ROCK CAPITAL (LONDON, United Kingdom) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · +447495995803 · junglerockcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
VT PARTNERS AG (FREIENBACH, SCHWYZ, Switzerland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · +41762982492 · vtpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
APT WEALTH USA PTY LTD (SYDNEY, NEW SOUTH WALES, Australia) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · +61 2 8262 4000 · aptwealth.com.au
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 106 Count of additional offices increased.
55
JANUS HENDERSON INVESTORS added office(s): 5 -> 6 additional locations. IAPD ↗
$380.43B RAUM · 152 reps · (303) 333-3863 · bsky.app
Office IT & facilitiesCRMRecruiting & transitions
55
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST added office(s): 4 -> 5 additional locations. IAPD ↗
$144.04B RAUM · 219 reps · 215-531-6700 · nomuraassetmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
55
INTELLICENTS INVESTMENT SOLUTIONS INC added office(s): 12 -> 13 additional locations. IAPD ↗
$9.92B RAUM · 48 reps · 507-377-2919
Office IT & facilitiesCRMRecruiting & transitions
55
COOPER MCMANUS added office(s): 25 -> 26 additional locations. IAPD ↗
$2.85B RAUM · 50 reps · 800-516-5333 · purmortgroup.com
Office IT & facilitiesCRMRecruiting & transitions
55
CROSSMARK GLOBAL INVESTMENTS, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$8.98B RAUM · 14 reps · 713-260-9000 · crossmarkglobal.com
Office IT & facilitiesCRMRecruiting & transitions
55
ONE CAPITAL MANAGEMENT, LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$8.53B RAUM · 55 reps · 805.409.8150 · fundxetfs.com
Office IT & facilitiesCRMRecruiting & transitions
55
PINKERTON WEALTH PARTNERS added office(s): 6 -> 7 additional locations. IAPD ↗
$1.44B RAUM · 16 reps · 800-634-2008
Office IT & facilitiesCRMRecruiting & transitions
55
PKS ADVISORY SERVICES, LLC added office(s): 23 -> 24 additional locations. IAPD ↗
$1.09B RAUM · 36 reps · (518) 426-5791 · woehlerfinancialgroup.com
Office IT & facilitiesCRMRecruiting & transitions
55
KEEL POINT, LLC added office(s): 8 -> 9 additional locations. IAPD ↗
$4.07B RAUM · 54 reps · 256-704-5111
Office IT & facilitiesCRMRecruiting & transitions
55
EHRENKRANZ PARTNERS L.P. added office(s): 0 -> 1 additional locations. IAPD ↗
$21.54B RAUM · 18 reps · 212-891-8600
Office IT & facilitiesCRMRecruiting & transitions
55
ARAX ADVISORY PARTNERS added office(s): 35 -> 38 additional locations. IAPD ↗
$23.18B RAUM · 140 reps · 646-777-1823 · swsllc.com
Office IT & facilitiesCRMRecruiting & transitions
55
WATERLOO CAPITAL added office(s): 11 -> 12 additional locations. IAPD ↗
$2.26B RAUM · 44 reps · 512-777-5900 · elementconsultants.com
Office IT & facilitiesCRMRecruiting & transitions
55
ELEVATION POINT WEALTH PARTNERS, LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$8.29B RAUM · 54 reps · 303-382-2880
Office IT & facilitiesCRMRecruiting & transitions
55
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC added office(s): 2 -> 5 additional locations. IAPD ↗
$1.40B RAUM · 9 reps · (408) 217-2000
Office IT & facilitiesCRMRecruiting & transitions
55
PARALLEL ADVISORS, LLC added office(s): 19 -> 20 additional locations. IAPD ↗
$10.31B RAUM · 61 reps · 866-627-6984
Office IT & facilitiesCRMRecruiting & transitions
55
FORUM FINANCIAL MANAGEMENT, LP added office(s): 53 -> 54 additional locations. IAPD ↗
$8.69B RAUM · 94 reps · (630) 873-8520
Office IT & facilitiesCRMRecruiting & transitions
55
BLUESPRING WEALTH MANAGEMENT, LLC added office(s): 0 -> 4 additional locations. IAPD ↗
$4.02B RAUM · 31 reps · 737-443-2122 · bluespringwealthcalifornia.com
Office IT & facilitiesCRMRecruiting & transitions
55
SB ADVISORY, LLC added office(s): 22 -> 29 additional locations. IAPD ↗
$1.10B RAUM · 30 reps · 404-704-0406 · pnwadvisory.com
Office IT & facilitiesCRMRecruiting & transitions
55
CLARO ADVISORS INC. added office(s): 6 -> 7 additional locations. IAPD ↗
$1.41B RAUM · 18 reps · (800) 604-2838
Office IT & facilitiesCRMRecruiting & transitions
55
CHEVIOT VALUE MANAGEMENT, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$1.17B RAUM · 7 reps · 310-451-8600
Office IT & facilitiesCRMRecruiting & transitions
55
APELLA WEALTH added office(s): 36 -> 37 additional locations. IAPD ↗
$11.07B RAUM · 88 reps · 860.785.2260
Office IT & facilitiesCRMRecruiting & transitions
55
MONECO ADVISORS added office(s): 6 -> 7 additional locations. IAPD ↗
$2.28B RAUM · 44 reps · 203-319-3550
Office IT & facilitiesCRMRecruiting & transitions
55
FALCON WEALTH PLANNING, INC. added office(s): 43 -> 44 additional locations. IAPD ↗
$1.92B RAUM · 24 reps · 855-963-2526
Office IT & facilitiesCRMRecruiting & transitions
55
STANSBERRY ASSET MANAGEMENT, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$1.29B RAUM · 13 reps · 646-854-4370 · stansberryam.com
Office IT & facilitiesCRMRecruiting & transitions
55
NORTHCOAST ASSET MANAGEMENT LLC added office(s): 13 -> 14 additional locations. IAPD ↗
$4.97B RAUM · 28 reps · (203) 532-7000
Office IT & facilitiesCRMRecruiting & transitions
55
FIDUCIARY FINANCIAL GROUP, LLC added office(s): 2 -> 4 additional locations. IAPD ↗
$1.12B RAUM · 10 reps · 415-352-1100
Office IT & facilitiesCRMRecruiting & transitions
55
KINTRA WEALTH, LLC added office(s): 3 -> 8 additional locations. IAPD ↗
$1.50B RAUM · 43 reps · 570-601-6960 · evergreenwealthsolutions.com
Office IT & facilitiesCRMRecruiting & transitions
55
IEQ CAPITAL, LLC added office(s): 16 -> 19 additional locations. IAPD ↗
$56.77B RAUM · 193 reps · 650-581-9807 · ieqcapital.com
Office IT & facilitiesCRMRecruiting & transitions
55
VICTORY FINANCIAL added office(s): 31 -> 32 additional locations. IAPD ↗
$1.34B RAUM · 47 reps · (512) 763-7671 · steadfastwealthplanning.com
Office IT & facilitiesCRMRecruiting & transitions
55
PARKWOODS WEALTH PARTNERS, LLC added office(s): 14 -> 17 additional locations. IAPD ↗
$1.79B RAUM · 21 reps · (877) 278-2716 · parkwoods.com
Office IT & facilitiesCRMRecruiting & transitions
53
PEGASUS ASSET MANAGEMENT INC added office(s): 0 -> 1 additional locations. IAPD ↗
$553.6M RAUM · 3 reps · 845-369-9422 · pegasusassetmgt.com
Office IT & facilitiesCRMRecruiting & transitions
53
A. N. CULBERTSON & COMPANY, INC. added office(s): 1 -> 5 additional locations. IAPD ↗
$817.8M RAUM · 5 reps · 434-972-7766 · anculbertson.com
Office IT & facilitiesCRMRecruiting & transitions
53
SAGE CAPITAL MANAGEMENT LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$368.6M RAUM · 2 reps · 212-584-4110 · sageny.com
Office IT & facilitiesCRMRecruiting & transitions
53
HEFFERNAN ADVISORY, INC. added office(s): 6 -> 7 additional locations. IAPD ↗
$409.6M RAUM · 5 reps · 928-774-9598
Office IT & facilitiesCRMRecruiting & transitions
53
PINNACLE WEALTH ADVISORS added office(s): 3 -> 4 additional locations. IAPD ↗
$549.7M RAUM · 14 reps · 503-654-5100 · thinkpinnacle.com.
Office IT & facilitiesCRMRecruiting & transitions
53
FREEDOM DAY SOLUTIONS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$615.3M RAUM · 4 reps · 713-784-3878
Office IT & facilitiesCRMRecruiting & transitions
53
STRATEGIC FINANCIAL CONCEPTS, LLC added office(s): 23 -> 24 additional locations. IAPD ↗
$927.7M RAUM · 41 reps · 210-737-7800
Office IT & facilitiesCRMRecruiting & transitions
53
BETA WEALTH GROUP, INC added office(s): 1 -> 2 additional locations. IAPD ↗
$460.3M RAUM · 3 reps · 858-207-3377
Office IT & facilitiesCRMRecruiting & transitions
53
KERCHEVILLE ADVISORS LLC added office(s): 2 -> 4 additional locations. IAPD ↗
$554.7M RAUM · 3 reps · 210-694-5000 · kercheville.com
Office IT & facilitiesCRMRecruiting & transitions
53
EXODUS WEALTH, LLC added office(s): 47 -> 48 additional locations. IAPD ↗
$483.6M RAUM · 51 reps · 925-791-4444 · thinkfloresfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
MARSHALL INVESTMENT MANAGEMENT, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$298.0M RAUM · 8 reps · 303-991-6415
Office IT & facilitiesCRMRecruiting & transitions
53
D.B. ROOT & COMPANY, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$952.4M RAUM · 15 reps · 412-227-2800 · dbroot.com
Office IT & facilitiesCRMRecruiting & transitions
53
EARLY MCCLINTIC & MCMILLAN, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$652.2M RAUM · 6 reps · 281-491-5260
Office IT & facilitiesCRMRecruiting & transitions
53
BROOKLYN FI, LLC added office(s): 10 -> 11 additional locations. IAPD ↗
$563.1M RAUM · 10 reps · (332) 296-1660
Office IT & facilitiesCRMRecruiting & transitions
53
GLOBAL ASSETS ADVISORY, LLC added office(s): 16 -> 17 additional locations. IAPD ↗
$551.7M RAUM · 25 reps · 407-254-1500 · iaac.com
Office IT & facilitiesCRMRecruiting & transitions
53
CONVERGENCE FINANCIAL added office(s): 13 -> 14 additional locations. IAPD ↗
$904.0M RAUM · 13 reps · (573) 818-2264 · convergencemn.com
Office IT & facilitiesCRMRecruiting & transitions
53
MASON & ASSOCIATES, LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$471.4M RAUM · 7 reps · (757) 223-9898
Office IT & facilitiesCRMRecruiting & transitions
53
ALPHA CAPITAL FAMILY OFFICE, LLC added office(s): 0 -> 3 additional locations. IAPD ↗
$295.9M RAUM · 7 reps · 303-900-0185 · acfamilyoffice.com
Office IT & facilitiesCRMRecruiting & transitions
53
POWER WEALTH MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗
$429.9M RAUM · 6 reps · 404-889-8919
Office IT & facilitiesCRMRecruiting & transitions
53
SAND CREEK CAPITAL, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$471.2M RAUM · 8 reps · 208-356-9022 · centennialwealthmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
53
TIDEMARK, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$462.5M RAUM · 8 reps · 888-791-0197 · tidemarkfp.com
Office IT & facilitiesCRMRecruiting & transitions
53
STONEPATH WEALTH MANAGEMENT added office(s): 5 -> 6 additional locations. IAPD ↗
$299.5M RAUM · 9 reps · (231) 668-6999
Office IT & facilitiesCRMRecruiting & transitions
53
PLATFORM WEALTH ADVISORS added office(s): 2 -> 3 additional locations. IAPD ↗
$509.0M RAUM · 9 reps · (385) 243-0553
Office IT & facilitiesCRMRecruiting & transitions
53
LEE, KELLEHER & KLEIN WEALTH MANAGEMENT added office(s): 0 -> 2 additional locations. IAPD ↗
$252.4M RAUM · 3 reps · 301-450-2617 · lkkwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
ALONGSIDE, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$878.6M RAUM · 3 reps · (512) 241-7341
Office IT & facilitiesCRMRecruiting & transitions
50
SCHULTZ FINANCIAL GROUP INCORPORATED added office(s): 0 -> 1 additional locations. IAPD ↗
$214.8M RAUM · 4 reps · 775-850-5620
Office IT & facilitiesCRMRecruiting & transitions
50
PEGASUS GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$91.3M RAUM · 2 reps · 845-369-9422
Office IT & facilitiesCRMRecruiting & transitions
50
COLMAN KNIGHT ADVISORY GROUP, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$187.7M RAUM · 4 reps · 978-371-2015 · colmanknight.com
Office IT & facilitiesCRMRecruiting & transitions
50
SIMPLYRIA ADVISOR NETWORK added office(s): 10 -> 11 additional locations. IAPD ↗
$214.9M RAUM · 24 reps · 810-355-1325 · caitlinjohn.com
Office IT & facilitiesCRMRecruiting & transitions
50
TRUADVISORS added office(s): 2 -> 3 additional locations. IAPD ↗
$132.7M RAUM · 4 reps · (813) 212-4000 · truadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
APTUS FINANCIAL, LLC added office(s): 10 -> 11 additional locations. IAPD ↗
$0 RAUM · 11 reps · 501-907-1993
Office IT & facilitiesCRMRecruiting & transitions
50
LEGACY CORNERSTONE WEALTH LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$22.4M RAUM · 1 reps · 702-767-9891 · legacycornerstonewealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
VIRTUE ASSET MANAGEMENT LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$211.4M RAUM · 3 reps · 847-892-7145
Office IT & facilitiesCRMRecruiting & transitions
50
BANNERMAN WEALTH added office(s): 3 -> 4 additional locations. IAPD ↗
$176.6M RAUM · 4 reps · (214) 919-4448
Office IT & facilitiesCRMRecruiting & transitions
50
DAVIS WEALTH ADVISORS added office(s): 0 -> 4 additional locations. IAPD ↗
$197.1M RAUM · 5 reps · 603-836-3477
Office IT & facilitiesCRMRecruiting & transitions
50
FOUNDRY FINANCIAL LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$232.6M RAUM · 7 reps · (213) 802-8662 · foundryfinancial.org
Office IT & facilitiesCRMRecruiting & transitions
50
AEGIS WEALTH MANAGEMENT, INC. added office(s): 26 -> 28 additional locations. IAPD ↗
$216.5M RAUM · 27 reps · (833) 483-8383 · oakwayfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
MARKLE FINANCIAL LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$141.2M RAUM · 5 reps · (307) 721-1725
Office IT & facilitiesCRMRecruiting & transitions
50
CONCERT INVESTMENT ADVISORY LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$91.1M RAUM · 1 reps · 626-755-3613 · concertiai.com
Office IT & facilitiesCRMRecruiting & transitions
50
DBA BIG MONEY RETIREMENT AND BIG RETIREMENT added office(s): 3 -> 4 additional locations. IAPD ↗
$147.1M RAUM · 9 reps · 864-920-3155 · bigmoneyretirement.com
Office IT & facilitiesCRMRecruiting & transitions
50
CLARITY FINANCIAL ADVISORS LLC added office(s): 4 -> 6 additional locations. IAPD ↗
$149.5M RAUM · 6 reps · (816) 786-5031 · theclarityfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
IVANOFF WEALTH MANAGEMENT INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$174.0M RAUM · 3 reps · 714-262-1658 · ivanoffwealthmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
50
WILLOW added office(s): 0 -> 1 additional locations. IAPD ↗
$127.6M RAUM · 4 reps · (479) 709-3949
Office IT & facilitiesCRMRecruiting & transitions
50
ZERO DAY CAPITAL ENTERPRISES LLC added office(s): 16 -> 17 additional locations. IAPD ↗
$30.7M RAUM · 16 reps · 702 271 3265 · zerodaycapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
WALTON FINANCIAL added office(s): 0 -> 1 additional locations. IAPD ↗
$182.9M RAUM · 3 reps · (205) 871-0154
Office IT & facilitiesCRMRecruiting & transitions
50
ANGELES FAMILY OFFICE added office(s): 1 -> 3 additional locations. IAPD ↗
$182.0M RAUM · 2 reps · 310-393-6300
Office IT & facilitiesCRMRecruiting & transitions
50
STILLWATER PRIVATE WEALTH added office(s): 2 -> 3 additional locations. IAPD ↗
$176.8M RAUM · 4 reps · 6102910232 · swprivatewealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
2201 CAPITAL, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$40.0M RAUM · 2 reps · 201-446-2992
Office IT & facilitiesCRMRecruiting & transitions
50
345 INVESTMENT ADVISORY, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · (303) 887-8786
Office IT & facilitiesCRMRecruiting & transitions
50
COINBASE ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · 203-489 -1450 · coinbase.com
Office IT & facilitiesCRMRecruiting & transitions
45
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$4.76B RAUM · 55 reps · 646-690-9400 · robeco.com
Office IT & facilitiesCRMRecruiting & transitions
45
CAPULA INVESTMENT US LP added office(s): 1 -> 5 additional locations. IAPD ↗institutional
$137.44B RAUM · 51 reps · (646) 874-5400 · capulaglobal.com
Office IT & facilitiesCRMRecruiting & transitions
45
NEWFRONT RETIREMENT SERVICES, INC. added office(s): 22 -> 23 additional locations. IAPD ↗institutional
$1.04B RAUM · 25 reps · 415-754-3635
Office IT & facilitiesCRMRecruiting & transitions
40
BALYASNY ASSET MANAGEMENT L.P. added office(s): 33 -> 34 additional locations. IAPD ↗fund
$248.14B RAUM · 1026 reps · 312-499-2999
Office IT & facilitiesCRMRecruiting & transitions
40
REDMILE GROUP added office(s): 1 -> 2 additional locations. IAPD ↗fund
$4.70B RAUM · 15 reps · 415-489-9980 · redmilegroup.com
Office IT & facilitiesCRMRecruiting & transitions
40
KOHLBERG KRAVIS ROBERTS & CO. L.P. added office(s): 22 -> 25 additional locations. IAPD ↗fund
$399.90B RAUM · 706 reps · 212-750-8300 · kkr.com
Office IT & facilitiesCRMRecruiting & transitions
40
MACQUARIE INFRASTRUCTURE PARTNERS added office(s): 6 -> 7 additional locations. IAPD ↗fund
$48.84B RAUM · 112 reps · 212-231-1000 · macquarie.com
Office IT & facilitiesCRMRecruiting & transitions
40
BOW RIVER CAPITAL added office(s): 2 -> 3 additional locations. IAPD ↗fund
$4.20B RAUM · 36 reps · 303-861-8466 · bowriverevergreen.com
Office IT & facilitiesCRMRecruiting & transitions
40
VIRTUS REAL ESTATE LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.14B RAUM · 20 reps · 512-891-1230 · virtusre.com
Office IT & facilitiesCRMRecruiting & transitions
40
STEPSTONE GROUP REAL ASSETS LP added office(s): 8 -> 9 additional locations. IAPD ↗fund
$41.48B RAUM · 85 reps · 858-558-9700 · stepstonepw.com
Office IT & facilitiesCRMRecruiting & transitions
40
STEPSTONE GROUP REAL ESTATE LP added office(s): 10 -> 11 additional locations. IAPD ↗fund
$17.21B RAUM · 95 reps · 858-558-9700 · vimeo.com
Office IT & facilitiesCRMRecruiting & transitions
40
MAM AMERICAS, INC. added office(s): 4 -> 7 additional locations. IAPD ↗fund
$4.27B RAUM · 114 reps · 212-231-1000
Office IT & facilitiesCRMRecruiting & transitions
40
EXODUSPOINT CAPITAL MANAGEMENT, LP added office(s): 13 -> 15 additional locations. IAPD ↗fund
$159.41B RAUM · 332 reps · (646) 940 - 9600
Office IT & facilitiesCRMRecruiting & transitions
40
GID MULTIFAMILY INVESTMENT MANAGEMENT LLC added office(s): 5 -> 6 additional locations. IAPD ↗fund
$5.89B RAUM · 122 reps · 833-259-7511
Office IT & facilitiesCRMRecruiting & transitions
38
POLAR CAPITAL (AMERICA) CORPORATION added office(s): 1 -> 2 additional locations. IAPD ↗fund
$656.1M RAUM · 6 reps · 011442072272700 · polarcapital.co.uk
Office IT & facilitiesCRMRecruiting & transitions
38
MACQUARIE ASSET MANAGEMENT CREDIT ADVISERS US, LLC added office(s): 3 -> 4 additional locations. IAPD ↗fund
$525.6M RAUM · 100 reps · 1 212 231-1000 · macquarie.com
Office IT & facilitiesCRMRecruiting & transitions
38
POWER INNOVATION PARTNERS, L.P. added office(s): 0 -> 1 additional locations. IAPD ↗fund
$288.7M RAUM · 4 reps · 307-421-6700
Office IT & facilitiesCRMRecruiting & transitions
38
COINFUND MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$766.0M RAUM · 8 reps · 646-934-6177
Office IT & facilitiesCRMRecruiting & transitions
38
NOMURA CAPITAL MANAGEMENT LLC added office(s): 0 -> 5 additional locations. IAPD ↗fund
$651.3M RAUM · 11 reps · 212-667-9996 · nomuracapitalmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
25
360 ONE ASSET MANAGEMENT LIMITED added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$4.31B RAUM · 2 reps · +91 022 4876 5600 · 360.one
Office IT & facilitiesCRMRecruiting & transitions
25
PEAK XV PARTNERS OPERATIONS LLC added office(s): 6 -> 7 additional locations. IAPD ↗foreign
$15.30B RAUM · 44 reps · +230 467 3000
Office IT & facilitiesCRMRecruiting & transitions
25
360 ONE PORTFOLIO MANAGERS LIMITED added office(s): 1 -> 2 additional locations. IAPD ↗foreign
$3.65B RAUM · 2 reps · +91 22 4876 5600
Office IT & facilitiesCRMRecruiting & transitions
25
FORESIGHT GROUP LLP added office(s): 9 -> 12 additional locations. IAPD ↗foreign
$10.06B RAUM · 137 reps · 44 020 3667 8100 · foresightgroup.eu
Office IT & facilitiesCRMRecruiting & transitions
25
MESARETE CAPITAL LLP added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$4.75B RAUM · 14 reps · +44 (0) 203 148 2330
Office IT & facilitiesCRMRecruiting & transitions
25
VITTORIA AND PARTNERS LLP added office(s): 8 -> 11 additional locations. IAPD ↗foreign
$4.95B RAUM · 2 reps · 02030393214 · vittoriapartners.com
Office IT & facilitiesCRMRecruiting & transitions
20
BFINANCE US LTD. added office(s): 4 -> 5 additional locations. IAPD ↗foreign
$0 RAUM · 4 reps · +442077478600 · bfinance.com
Office IT & facilitiesCRMRecruiting & transitions
deregistered — 78 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
MILL CREEK CAPITAL ADVISORS, LLC (CONSHOHOCKEN, PA) left the SEC roster (was $10.47B RAUM, 29 reps). IAPD ↗
$10.47B RAUM · 29 reps · 610-941-7700
Recruiting & transitionsM&A & valuation
65
VECTORGLOBAL IAG, INC. (MIAMI, FL) left the SEC roster (was $1.63B RAUM, 27 reps). IAPD ↗
$1.63B RAUM · 27 reps · 305-350-3350 · vectorglobaliag.com
Recruiting & transitionsM&A & valuation
65
WEALTHSPIRE ADVISORS (MELVILLE, NY) left the SEC roster (was $4.36B RAUM, 21 reps). IAPD ↗
$4.36B RAUM · 21 reps · 631-227-3900
Recruiting & transitionsM&A & valuation
65
EFFICIENT ADVISORS (location n/a) left the SEC roster (was $3.08B RAUM, 6 reps). IAPD ↗
$3.08B RAUM · 6 reps · 267-613-6250 · efficientadvisors.com
Recruiting & transitionsM&A & valuation
65
CAPITAL PLANNING ADVISORS LLC (ROSEVILLE, CA) left the SEC roster (was $1.50B RAUM, 8 reps). IAPD ↗
$1.50B RAUM · 8 reps · 916-286-7650
Recruiting & transitionsM&A & valuation
65
JACKSON HOLE CAPITAL PARTNERS, LLC (TULSA, OK) left the SEC roster (was $1.09B RAUM, 4 reps). IAPD ↗
$1.09B RAUM · 4 reps · 918-879-4698 · jacksonholepartners.com
Recruiting & transitionsM&A & valuation
65
VANTAGE FINANCIAL PARTNERS, LLC (ELM GROVE, WI) left the SEC roster (was $1.02B RAUM, 12 reps). IAPD ↗
$1.02B RAUM · 12 reps · 262-439-8587 · vantagefinancialwi.com
Recruiting & transitionsM&A & valuation
63
THE H GROUP, INC. (PORTLAND, OR) left the SEC roster (was $580.1M RAUM, 11 reps). IAPD ↗
$580.1M RAUM · 11 reps · 503-292-5853 · thehgroup.com
Recruiting & transitionsM&A & valuation
63
BEDELL FRAZIER INVESTMENT COUNSELLING, LLC. (WALNUT CREEK, CA) left the SEC roster (was $872.2M RAUM, 9 reps). IAPD ↗
$872.2M RAUM · 9 reps · 925-932-0344
Recruiting & transitionsM&A & valuation
63
PERSONAL FINANCIAL MANAGEMENT (CORONADO, CA) left the SEC roster (was $505.2M RAUM, 2 reps). IAPD ↗
$505.2M RAUM · 2 reps · 619-435-1600
Recruiting & transitionsM&A & valuation
63
CATALINA CAPITAL GROUP, LLC (TORRANCE, CA) left the SEC roster (was $616.3M RAUM, 3 reps). IAPD ↗
$616.3M RAUM · 3 reps · 310-540-5544
Recruiting & transitionsM&A & valuation
63
SERVICE ACADEMY CAPITAL MANAGEMENT LLC (DALLAS, TX) left the SEC roster (was $734.0M RAUM, 5 reps). IAPD ↗
$734.0M RAUM · 5 reps · 4248354147 · sacmgt.com
Recruiting & transitionsM&A & valuation
63
JAZZ WEALTH MANAGERS, INC. (LARGO, FL) left the SEC roster (was $462.2M RAUM, 4 reps). IAPD ↗
$462.2M RAUM · 4 reps · 727.492.0314
Recruiting & transitionsM&A & valuation
63
THE H GROUP WASHINGTON, INC. (PORTLAND, OR) left the SEC roster (was $256.5M RAUM, 6 reps). IAPD ↗
$256.5M RAUM · 6 reps · 425-827-6236
Recruiting & transitionsM&A & valuation
63
SAYBROOK WEALTH GROUP, INC. (OLD SAYBROOK, CT) left the SEC roster (was $292.1M RAUM, 1 reps). IAPD ↗
$292.1M RAUM · 1 reps · (860) 388-2200 · saybrookwealth.com
Recruiting & transitionsM&A & valuation
60
DESMOND WEALTH MANAGEMENT, INC. (WALNUT CREEK, CA) left the SEC roster (was $145.0M RAUM, 2 reps). IAPD ↗
$145.0M RAUM · 2 reps · (925) 932-1994 · desmondwealth.com
Recruiting & transitionsM&A & valuation
60
AZNAR FINANCIAL ADVISORS, LLC (location n/a) left the SEC roster (was $169.6M RAUM, 1 reps). IAPD ↗
$169.6M RAUM · 1 reps · 973-540-8850 · aznaradvisors.com
Recruiting & transitionsM&A & valuation
60
WHALEN CAPITAL, INC. (WAUSAU, WI) left the SEC roster (was $75.1M RAUM, 2 reps). IAPD ↗
$75.1M RAUM · 2 reps · 715-241-6935 · whalenfg.com
Recruiting & transitionsM&A & valuation
60
KALEEL INVESTMENT ADVISORS, LLC (BOSTON, MA) left the SEC roster (was $145.4M RAUM, 2 reps). IAPD ↗
$145.4M RAUM · 2 reps · 617-338-8747 · kaleelcompany.com
Recruiting & transitionsM&A & valuation
60
PRINCE FINANCIAL ADVISORY LLC (NEW YORK, NY) left the SEC roster (was $62.2M RAUM, 1 reps). IAPD ↗
$62.2M RAUM · 1 reps · 212-286-1372
Recruiting & transitionsM&A & valuation
60
GFP WEALTH MANAGEMENT (THOUSAND OAKS, CA) left the SEC roster (was $196.7M RAUM, 1 reps). IAPD ↗
$196.7M RAUM · 1 reps · 805-494-8181 · goyettefinancial.com
Recruiting & transitionsM&A & valuation
60
ATHENAINVEST ADVISORS LLC (GREENWOOD VILLAGE, CO) left the SEC roster (was $80.4M RAUM, 3 reps). IAPD ↗
$80.4M RAUM · 3 reps · (877) 430-5675
Recruiting & transitionsM&A & valuation
60
NORTH RIDGE (BEAVERTON, OR) left the SEC roster (was $216.0M RAUM, 3 reps). IAPD ↗
$216.0M RAUM · 3 reps · 503-206-8784
Recruiting & transitionsM&A & valuation
60
ATLAS FINANCIAL ADVISORS, INC. (OROVILLE, CA) left the SEC roster (was $46.9M RAUM, 2 reps). IAPD ↗
$46.9M RAUM · 2 reps · 530 589 2515 · stevenvanmetre.com
Recruiting & transitionsM&A & valuation
60
ARTHUR STEIN FINANCIAL, LLC (BETHESDA, MD) left the SEC roster (was $141.2M RAUM, 3 reps). IAPD ↗
$141.2M RAUM · 3 reps · 301-377-9407 · arthursteinfinancial.com
Recruiting & transitionsM&A & valuation
60
SPRINGWATER WEALTH MANAGEMENT, LLC (LAKE OSWEGO, OR) left the SEC roster (was $203.9M RAUM, 2 reps). IAPD ↗
$203.9M RAUM · 2 reps · 888-998-4796
Recruiting & transitionsM&A & valuation
60
BROWNING CAPITAL MANAGEMENT LLC (location n/a) left the SEC roster (was $45.4M RAUM, 2 reps). IAPD ↗
$45.4M RAUM · 2 reps · 949-439-7457 · browningcm.com
Recruiting & transitionsM&A & valuation
60
ARBOR FINANCIAL (ANN ARBOR, MI) left the SEC roster (was $214.7M RAUM, 2 reps). IAPD ↗
$214.7M RAUM · 2 reps · 734-761-6626 · arborfinancial.com
Recruiting & transitionsM&A & valuation
60
DBA SEASIDE FINANCIAL & INSURANCE SERVICES (CARLSBAD, CA) left the SEC roster (was $81.2M RAUM, 4 reps). IAPD ↗
$81.2M RAUM · 4 reps · (760) 433-4632 · seasideadvisory.com
Recruiting & transitionsM&A & valuation
60
STERLING FINANCIAL GROUP, INC. (PASADENA, CA) left the SEC roster (was $16.1M RAUM, 4 reps). IAPD ↗
$16.1M RAUM · 4 reps · (626) 440-9192 · sterlingfg.com
Recruiting & transitionsM&A & valuation
60
JRB CAPITAL MANAGEMENT (STEAMBOAT SPRINGS, CO) left the SEC roster (was $13.2M RAUM, 1 reps). IAPD ↗
$13.2M RAUM · 1 reps · 650-644-5480
Recruiting & transitionsM&A & valuation
60
PURPOSE COMPREHENSIVE WEALTH MANAGEMENT, LLC (location n/a) left the SEC roster (was $131.0M RAUM, 7 reps). IAPD ↗
$131.0M RAUM · 7 reps · 262-939-1488 · purposecwm.com
Recruiting & transitionsM&A & valuation
60
XO CAPITAL LLC (location n/a) left the SEC roster (was $184.4M RAUM, 2 reps). IAPD ↗
$184.4M RAUM · 2 reps · 310-507-7957 · xocapital.team
Recruiting & transitionsM&A & valuation
60
TRUVIUS (BOSTON, MA) left the SEC roster (was $190,000 RAUM, 2 reps). IAPD ↗
$190,000 RAUM · 2 reps · 617-518-5423 · truvius.io
Recruiting & transitionsM&A & valuation
60
RELENTLESS RETURNS (MIAMI, FL) left the SEC roster (was $19,535 RAUM, 1 reps). IAPD ↗
$19,535 RAUM · 1 reps · 203-247-7072
Recruiting & transitionsM&A & valuation
60
NEXT STEP FINANCIAL PLANNING, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 773-573-4569
Recruiting & transitionsM&A & valuation
60
PM WEALTH ADVISORS LLC (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 212-643-0099
Recruiting & transitionsM&A & valuation
60
GRACE ADVISORS LLC (WILMINGTON, DE) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 0 reps). IAPD ↗
$0 RAUM · 0 reps · 212-540-4295 · grace.money
Recruiting & transitionsM&A & valuation
60
QUANT ALPHA LLC (NEW YORK, NY) left the SEC roster (was $417 RAUM, 1 reps). IAPD ↗
$417 RAUM · 1 reps · 310 696 3287 · quantalpha.net
Recruiting & transitionsM&A & valuation
60
ORIZON ANALYTICS (SHERIDAN, WY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 307-300-2522 · orizonanalytics.io
Recruiting & transitionsM&A & valuation
60
BERCH CAPITAL LLC (AUSTIN, TX) left the SEC roster — its 120-day provisional registration did not convert (was $6.6M RAUM, 2 reps). IAPD ↗
$6.6M RAUM · 2 reps · 512-426-8018 · berchcapital.com
Recruiting & transitionsM&A & valuation
60
KIN STEWARDS LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $3.4M RAUM, 1 reps). IAPD ↗
$3.4M RAUM · 1 reps · (747) 383-4282
Recruiting & transitionsM&A & valuation
55
VERUS ADVISORY, INC. (SEATTLE, WA) left the SEC roster (was $19.43B RAUM, 83 reps). IAPD ↗institutional
$19.43B RAUM · 83 reps · 206-622-3700
Recruiting & transitionsM&A & valuation
55
FOCUSPOINT SOLUTIONS, INC. (PORTLAND, OR) left the SEC roster (was $6.78B RAUM, 1 reps). IAPD ↗institutional
$6.78B RAUM · 1 reps · 503-445-1957 · focuspointsolutions.com
Recruiting & transitionsM&A & valuation
50
AILERON LTD (BINGHAM FARMS, MI) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 248-792-9826 · aileronconsult.com
Recruiting & transitionsM&A & valuation
50
MESIROW ADVANCED STRATEGIES INC (CHICAGO, IL) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 312-595-7300 · mesirow.com
Recruiting & transitionsM&A & valuation
50
RGM CAPITAL, LLC (NAPLES, FL) left the SEC roster (was $2.60B RAUM, 5 reps). IAPD ↗fund
$2.60B RAUM · 5 reps · 239-593-1280 · rgmcapital.com
Recruiting & transitionsM&A & valuation
50
QUADRANT REAL ESTATE ADVISORS LLC (ALPHARETTA, GA) left the SEC roster (was $24.9M RAUM, 2 reps). IAPD ↗institutional
$24.9M RAUM · 2 reps · 4045582011 · quadrantrea.com
Recruiting & transitionsM&A & valuation
50
SECOR INVESTMENT ADVISORS, LP (NEW YORK, NY) left the SEC roster (was $12.76B RAUM, 24 reps). IAPD ↗fund
$12.76B RAUM · 24 reps · 212-980-7350 · secor-am.com
Recruiting & transitionsM&A & valuation
50
WOLF POINT ASSET MANAGEMENT (CHICAGO, IL) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 312-995-1400
Recruiting & transitionsM&A & valuation
50
MOUNT STREET PORTFOLIO ADVISERS LLC (NEW YORK, NY) left the SEC roster (was $18.6M RAUM, 1 reps). IAPD ↗institutional
$18.6M RAUM · 1 reps · 917-412-7824 · mountstreet.com
Recruiting & transitionsM&A & valuation
50
RITTER ALPHA, LP (NEW YORK, NY) left the SEC roster (was $67.9M RAUM, 2 reps). IAPD ↗institutional
$67.9M RAUM · 2 reps · 203-945-7567
Recruiting & transitionsM&A & valuation
50
IRON TRIANGLE PARTNERS LP (COS COB, CT) left the SEC roster (was $1.05B RAUM, 3 reps). IAPD ↗fund
$1.05B RAUM · 3 reps · 646-779-6380 · irontrianglepartners.com
Recruiting & transitionsM&A & valuation
50
NEBULA RESEARCH & DEVELOPMENT LLC (location n/a) left the SEC roster (was $0 RAUM, 6 reps). IAPD ↗institutional
$0 RAUM · 6 reps · 646-547-1243 · nebularesearch.com
Recruiting & transitionsM&A & valuation
50
ARCTOS PARTNERS (DALLAS, TX) left the SEC roster (was $18.22B RAUM, 70 reps). IAPD ↗fund
$18.22B RAUM · 70 reps · 972-918-3800
Recruiting & transitionsM&A & valuation
50
KILONOVA CAPITAL (SAN FRANCISCO, CA) left the SEC roster (was $91.0M RAUM, 8 reps). IAPD ↗institutional
$91.0M RAUM · 8 reps · 650-800-3065 · kilonovacap.com
Recruiting & transitionsM&A & valuation
50
RYO CAPITAL PARTNERS LLC (KEY BISCAYNE, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 646-395-3900
Recruiting & transitionsM&A & valuation
50
TAP CAPITAL LLC (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 212-229-6098 · usetap.com
Recruiting & transitionsM&A & valuation
50
ULTRA CAPITAL MANAGEMENT LLC (SAN FRANCISCO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 415-349-3488 · ultracm.com
Recruiting & transitionsM&A & valuation
50
PARC STREET ADVISORS (SYOSSET, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 516-588-0994 · parcstreetadvisors.com
Recruiting & transitionsM&A & valuation
48
SCIENS DIVERSIFIED MANAGERS LLC (NEW YORK, NY) left the SEC roster (was $896.7M RAUM, 9 reps). IAPD ↗fund
$896.7M RAUM · 9 reps · 212-471-6100
Recruiting & transitionsM&A & valuation
48
CADEN CAPITAL PARTNERS, LP (location n/a) left the SEC roster (was $340.0M RAUM, 1 reps). IAPD ↗fund
$340.0M RAUM · 1 reps · 424-426-5126
Recruiting & transitionsM&A & valuation
48
CORIGLIANO INVESTMENT ADVISERS, LLC (RALEIGH, NC) left the SEC roster (was $495.5M RAUM, 4 reps). IAPD ↗fund
$495.5M RAUM · 4 reps · (919) 225-6496 · coriglianoenergy.com
Recruiting & transitionsM&A & valuation
45
STONETREE CAPITAL ADVISORS, LLC (location n/a) left the SEC roster (was $22.0M RAUM, 2 reps). IAPD ↗fund
$22.0M RAUM · 2 reps · 847-948-0755 · stonetreemgt.com
Recruiting & transitionsM&A & valuation
45
HIGH ROAD CAPITAL PARTNERS, LLC (location n/a) left the SEC roster (was $86.6M RAUM, 4 reps). IAPD ↗fund
$86.6M RAUM · 4 reps · 212-554-3266 · highroadcap.com
Recruiting & transitionsM&A & valuation
45
CANNON HILL INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $24.2M RAUM, 14 reps). IAPD ↗fund
$24.2M RAUM · 14 reps · (212)-763-1440 · cannonhillcap.com
Recruiting & transitionsM&A & valuation
45
FACTORIAL PARTNERS, LLC (MT. KISCO, NY) left the SEC roster (was $156.7M RAUM, 1 reps). IAPD ↗fund
$156.7M RAUM · 1 reps · 914-666-6830 · factorialpartnerslp.com
Recruiting & transitionsM&A & valuation
45
SAPPHIRE STAR CAPITAL LLC (REDMOND, WA) left the SEC roster (was $142.2M RAUM, 2 reps). IAPD ↗fund
$142.2M RAUM · 2 reps · (425) 576-4083
Recruiting & transitionsM&A & valuation
45
BCK CAPITAL MANAGEMENT LP (STAMFORD, CT) left the SEC roster (was $112.4M RAUM, 2 reps). IAPD ↗fund
$112.4M RAUM · 2 reps · 203-989-9660
Recruiting & transitionsM&A & valuation
45
HOUSE HANOVER LLC (NORTH ANDOVER, MA) left the SEC roster (was $19.7M RAUM, 1 reps). IAPD ↗fund
$19.7M RAUM · 1 reps · 978-794-3366
Recruiting & transitionsM&A & valuation
45
CRITERION AFRICA PARTNERS (BETHESDA, MD) left the SEC roster (was $85.9M RAUM, 7 reps). IAPD ↗fund
$85.9M RAUM · 7 reps · +27 73 222 2471 · criterionafrica.com
Recruiting & transitionsM&A & valuation
45
SILTSTONE CAPITAL, LLC (HOUSTON, TX) left the SEC roster (was $77.0M RAUM, 8 reps). IAPD ↗fund
$77.0M RAUM · 8 reps · 713-375-9200
Recruiting & transitionsM&A & valuation
45
TRADITIONAL DIGITAL (location n/a) left the SEC roster (was $74.5M RAUM, 1 reps). IAPD ↗fund
$74.5M RAUM · 1 reps · 770-286-9717
Recruiting & transitionsM&A & valuation
35
WESTERN ASSET MANAGEMENT COMPANY LTD (CHIYODA-KU, TOKYO, Japan) left the SEC roster (was $2.58B RAUM, 3 reps). IAPD ↗foreign
$2.58B RAUM · 3 reps · 011-81-3-4520-4300
Recruiting & transitionsM&A & valuation
35
BANDHAN AMC LIMITED (MUMBAI, India) left the SEC roster (was $20.59B RAUM, 42 reps). IAPD ↗foreign
$20.59B RAUM · 42 reps · 22-6628-9999 EXTN: 22737 · bandhanamc.com
Recruiting & transitionsM&A & valuation
35
SAND GROVE CAPITAL MANAGEMENT LLP (LONDON, United Kingdom) left the SEC roster (was $2.35B RAUM, 9 reps). IAPD ↗foreign
$2.35B RAUM · 9 reps · 44 20 3770 8610 · sandgrovecapital.com
Recruiting & transitionsM&A & valuation
30
TRINETRA INVESTMENT MANAGEMENT LLP (LONDON, United Kingdom) left the SEC roster (was $241.1M RAUM, 5 reps). IAPD ↗foreign
$241.1M RAUM · 5 reps · +44 20 3908 8900 · trinetra-im.com
Recruiting & transitionsM&A & valuation
30
TOTUS ALPHA MANAGEMENT PTY LTD (SYDNEY, NSW, Australia) left the SEC roster (was $177.6M RAUM, 3 reps). IAPD ↗foreign
$177.6M RAUM · 3 reps · 61-2-80729945
Recruiting & transitionsM&A & valuation
aum up — 70 Regulatory AUM up >=25% since last filing.
75
ARAX ADVISORY PARTNERS reported RAUM up 105% ($11.30B -> $23.18B). IAPD ↗
$23.18B RAUM · 140 reps · 646-777-1823 · swsllc.com
Portfolio / reporting / TAMPCRMFinancial planning software
75
BLUESPRING WEALTH MANAGEMENT, LLC reported RAUM up 144% ($1.64B -> $4.02B). IAPD ↗
$4.02B RAUM · 31 reps · 737-443-2122 · bluespringwealthcalifornia.com
Portfolio / reporting / TAMPCRMFinancial planning software
73
TAPPALPHA reported RAUM up 1134% ($31.3M -> $386.0M). IAPD ↗
$386.0M RAUM · 1 reps · 206-222-8646
Portfolio / reporting / TAMPCRMFinancial planning software
73
FCIG WEALTH MANAGEMENT, LLC reported RAUM up 104% ($138.4M -> $282.5M). IAPD ↗
$282.5M RAUM · 4 reps · 877-420-5234 · fcigglobal.com
Portfolio / reporting / TAMPCRMFinancial planning software
72
MICA CREEK CAPITAL LLC reported RAUM up 74% ($173.2M -> $300.5M). IAPD ↗
$300.5M RAUM · 3 reps · 917-399-0058
Portfolio / reporting / TAMPCRMFinancial planning software
70
JEFFERIES INVESTMENT ADVISERS LLC reported RAUM up 51% ($3.42B -> $5.15B). IAPD ↗
$5.15B RAUM · 107 reps · 212-284-2300 · jefferies.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
FIDUCIARY CAPITAL MANAGEMENT LLC reported RAUM up 184% ($52.5M -> $149.2M). IAPD ↗
$149.2M RAUM · 10 reps · 503 515 1313 · fiduciarycm.com
Portfolio / reporting / TAMPCRMFinancial planning software
68
VISE AI ADVISORS reported RAUM up 41% ($6.03B -> $8.53B). IAPD ↗
$8.53B RAUM · 20 reps · 201-375-3969 · vise.com
Portfolio / reporting / TAMPCRMFinancial planning software
66
SUNBELT SECURITIES reported RAUM up 30% ($2.02B -> $2.64B). IAPD ↗
$2.64B RAUM · 68 reps · 713-965-9510 · cwrawl.com
Portfolio / reporting / TAMPCRMFinancial planning software
66
BITWISE INVESTMENT MANAGER, LLC reported RAUM up 44% ($500.8M -> $721.8M). IAPD ↗
$721.8M RAUM · 6 reps · 415-707-3663 · btopetf.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
CROSSMARK GLOBAL INVESTMENTS, INC. reported RAUM up 27% ($7.09B -> $8.98B). IAPD ↗
$8.98B RAUM · 14 reps · 713-260-9000 · crossmarkglobal.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
DAIWA ASSET MANAGEMENT (AMERICA) LTD reported RAUM up 246% ($1.72B -> $5.96B). IAPD ↗institutional
$5.96B RAUM · 11 reps · 212-612-6254
Portfolio / reporting / TAMPCRMFinancial planning software
65
PRIVATE ADVISORY reported RAUM up 27% ($1.69B -> $2.14B). IAPD ↗
$2.14B RAUM · 12 reps · 425-498-2320 · privateadvisory.com
Portfolio / reporting / TAMPCRMFinancial planning software
64
ABSOLUTE CAPITAL MANAGEMENT, LLC reported RAUM up 34% ($554.0M -> $742.5M). IAPD ↗
$742.5M RAUM · 2 reps · 412-388-1600 · abscapfunds.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
EQUANIMITY FINANCIAL PARTNERS reported RAUM up 40% ($166.8M -> $234.3M). IAPD ↗
$234.3M RAUM · 1 reps · 626-529-8347 · equanimityfinancial.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
GRANT PRIVATE WEALTH MANAGEMENT reported RAUM up 30% ($196.3M -> $255.0M). IAPD ↗
$255.0M RAUM · 5 reps · 925-378-5000
Portfolio / reporting / TAMPCRMFinancial planning software
61
LANDOLT SECURITIES, INC. reported RAUM up 30% ($105.6M -> $137.8M). IAPD ↗
$137.8M RAUM · 13 reps · 847-838-5151 · landoltsecurities.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
FIRST ASSOCIATED INVESTMENT ADVISORS, INC. reported RAUM up 78% ($52.2M -> $93.1M). IAPD ↗institutional
$93.1M RAUM · 1 reps · 218-722-8248 · tebergfund.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
PERSONAL ASSET STRATEGIES, INC. reported RAUM up 26% ($40.3M -> $50.6M). IAPD ↗
$50.6M RAUM · 2 reps · 516-248-8811 · pasfinance.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
CQS (US), LLC reported RAUM up 85% ($2.96B -> $5.49B). IAPD ↗fund
$5.49B RAUM · 10 reps · 212-259-2900 · cqs.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
LEGALIST reported RAUM up 86% ($1.03B -> $1.92B). IAPD ↗fund
$1.92B RAUM · 16 reps · 415-570-7878
Portfolio / reporting / TAMPCRMFinancial planning software
60
STEPSTONE PRIVATE WEALTH reported RAUM up 119% ($8.17B -> $17.93B). IAPD ↗fund
$17.93B RAUM · 0 reps · 704-215-4300
Portfolio / reporting / TAMPCRMFinancial planning software
60
STEPSTONE GROUP PRIVATE DEBT LLC reported RAUM up 78% ($3.25B -> $5.79B). IAPD ↗fund
$5.79B RAUM · 0 reps · 858-558-9700
Portfolio / reporting / TAMPCRMFinancial planning software
60
SNOWHAWK LP reported RAUM up 82% ($1.01B -> $1.84B). IAPD ↗fund
$1.84B RAUM · 8 reps · 888-335-3137 · snowhawkpartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
RIGDEN CAPITAL STRATEGIES reported RAUM up 30% ($130.1M -> $168.9M). IAPD ↗
$168.9M RAUM · 6 reps · 303-351-1618 · biggerpockets.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
CNL RESIDENTIAL CREDIT MANAGER reported RAUM up 104% ($23.5M -> $48.0M). IAPD ↗institutional
$48.0M RAUM · 3 reps · 407-650-1000
Portfolio / reporting / TAMPCRMFinancial planning software
59
IMPACTASSETS CAPITAL PARTNERS PB LLC reported RAUM up 71% ($2.89B -> $4.95B). IAPD ↗fund
$4.95B RAUM · 15 reps · 855-920-2303 · impactassetscapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
59
MESIROW RE-IA, INC. reported RAUM up 75% ($1.51B -> $2.64B). IAPD ↗fund
$2.64B RAUM · 3 reps · 312-595-6000 · mesirowfinancial.com
Portfolio / reporting / TAMPCRMFinancial planning software
59
ADVISORENGINE PORTFOLIO SOLUTIONS INC. reported RAUM up 71% ($103.4M -> $176.4M). IAPD ↗institutional
$176.4M RAUM · 1 reps · 888-225-7216 · advisorengine-portfolio-solutions.com
Portfolio / reporting / TAMPCRMFinancial planning software
55
ETERNAL CAPITAL, LLC reported RAUM up 151% ($17.0M -> $42.7M). IAPD ↗fund
$42.7M RAUM · 5 reps · 305-915-8805 · eternalcapitalgroup.com
Portfolio / reporting / TAMPCRMFinancial planning software
53
DAIWA CAPITAL MANAGEMENT SILICON VALLEY INC. reported RAUM up 29% ($292.0M -> $376.4M). IAPD ↗institutional
$376.4M RAUM · 2 reps · 650-470-9596
Portfolio / reporting / TAMPCRMFinancial planning software
53
AVALA GLOBAL LP reported RAUM up 43% ($2.66B -> $3.82B). IAPD ↗fund
$3.82B RAUM · 12 reps · (212) 226-5900
Portfolio / reporting / TAMPCRMFinancial planning software
53
ADAMS STREET ADVISORS, LLC reported RAUM up 28% ($524.2M -> $672.1M). IAPD ↗institutional
$672.1M RAUM · 190 reps · 312-553-7890 · adamsstreetpartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
51
BOW RIVER CAPITAL reported RAUM up 33% ($3.15B -> $4.20B). IAPD ↗fund
$4.20B RAUM · 36 reps · 303-861-8466 · bowriverevergreen.com
Portfolio / reporting / TAMPCRMFinancial planning software
51
MAM AMERICAS, INC. reported RAUM up 35% ($3.17B -> $4.27B). IAPD ↗fund
$4.27B RAUM · 114 reps · 212-231-1000
Portfolio / reporting / TAMPCRMFinancial planning software
50
PERSHING SQUARE CAPITAL MANAGEMENT, L.P. reported RAUM up 27% ($19.77B -> $25.06B). IAPD ↗fund
$25.06B RAUM · 11 reps · 212-813-3700
Portfolio / reporting / TAMPCRMFinancial planning software
50
MACQUARIE INFRASTRUCTURE PARTNERS reported RAUM up 26% ($38.69B -> $48.84B). IAPD ↗fund
$48.84B RAUM · 112 reps · 212-231-1000 · macquarie.com
Portfolio / reporting / TAMPCRMFinancial planning software
50
STEPSTONE GROUP REAL ASSETS LP reported RAUM up 25% ($33.10B -> $41.48B). IAPD ↗fund
$41.48B RAUM · 85 reps · 858-558-9700 · stepstonepw.com
Portfolio / reporting / TAMPCRMFinancial planning software
48
POLAR CAPITAL (AMERICA) CORPORATION reported RAUM up 30% ($505.6M -> $656.1M). IAPD ↗fund
$656.1M RAUM · 6 reps · 011442072272700 · polarcapital.co.uk
Portfolio / reporting / TAMPCRMFinancial planning software
45
HOLLYPORT CAPITAL LLP reported RAUM up 108% ($5.86B -> $12.20B). IAPD ↗foreign
$12.20B RAUM · 56 reps · +44 207 478 3970 · hollyportcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
45
MUDITA MANAGEMENT reported RAUM up 90% ($1.26B -> $2.38B). IAPD ↗foreign
$2.38B RAUM · 5 reps · +44 20 3848 7530 · muditaadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
45
SPARX ASSET MANAGEMENT KOREA CO., LTD. reported RAUM up 95% ($1.09B -> $2.13B). IAPD ↗foreign
$2.13B RAUM · 8 reps · 82-2-570-1600 · sparxkorea.com
Portfolio / reporting / TAMPCRMFinancial planning software
43
ALKEN ASSET MANAGEMENT LTD reported RAUM up 69% ($2.25B -> $3.80B). IAPD ↗foreign
$3.80B RAUM · 10 reps · +44-207-44-016-00 · alken-am.com
Portfolio / reporting / TAMPCRMFinancial planning software
42
S.W. MITCHELL CAPITAL LLP reported RAUM up 60% ($1.96B -> $3.13B). IAPD ↗foreign
$3.13B RAUM · 2 reps · 020 7290 3588 · swmitchellcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
42
CAPE ANN ASSET MANAGEMENT reported RAUM up 63% ($2.32B -> $3.78B). IAPD ↗foreign
$3.78B RAUM · 9 reps · 011-44-203-4438480
Portfolio / reporting / TAMPCRMFinancial planning software
42
ONE QUEEN CAPITAL INC. reported RAUM up 61% ($9.86B -> $15.90B). IAPD ↗foreign
$15.90B RAUM · 6 reps · 416-603-2116
Portfolio / reporting / TAMPCRMFinancial planning software
41
MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED reported RAUM up 56% ($15.72B -> $24.51B). IAPD ↗foreign
$24.51B RAUM · 93 reps · 44 203 037 2000 · macquarie.com
Portfolio / reporting / TAMPCRMFinancial planning software
41
CLEAN ENERGY TRANSITION INTERNATIONAL S.A.M. reported RAUM up 57% ($2.05B -> $3.22B). IAPD ↗foreign
$3.22B RAUM · 1 reps · 44 203 870 5971 · cleanenergytransition.com
Portfolio / reporting / TAMPCRMFinancial planning software
40
HAVERSTOCK CAPITAL LLP reported RAUM up 86% ($75.0M -> $139.6M). IAPD ↗foreign
$139.6M RAUM · 3 reps · 44(0) 20 8264 9521
Portfolio / reporting / TAMPCRMFinancial planning software
39
POLAR CAPITAL reported RAUM up 49% ($29.11B -> $43.26B). IAPD ↗foreign
$43.26B RAUM · 56 reps · 011 44 20 72272700 · polarcapitalstrategies.com
Portfolio / reporting / TAMPCRMFinancial planning software
38
SEPHIRA INVESTMENT ADVISORS (UK) LIMITED reported RAUM up 68% ($124.2M -> $208.7M). IAPD ↗foreign
$208.7M RAUM · 5 reps · 44 (0) 203 598 5419 · sephira-em.com
Portfolio / reporting / TAMPCRMFinancial planning software
38
DELTROIT ASSET MANAGEMENT (UK) LLP reported RAUM up 41% ($1.17B -> $1.66B). IAPD ↗foreign
$1.66B RAUM · 12 reps · +442045705600 · deltroit.com
Portfolio / reporting / TAMPCRMFinancial planning software
37
BOLDHAVEN MANAGEMENT reported RAUM up 40% ($1.41B -> $1.97B). IAPD ↗foreign
$1.97B RAUM · 5 reps · +4402080174510 · boldhaven.com
Portfolio / reporting / TAMPCRMFinancial planning software
37
VITTORIA AND PARTNERS LLP reported RAUM up 36% ($3.65B -> $4.95B). IAPD ↗foreign
$4.95B RAUM · 2 reps · 02030393214 · vittoriapartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
36
AMOVA ASSET MANAGEMENT ASIA LIMITED reported RAUM up 32% ($10.81B -> $14.23B). IAPD ↗foreign
$14.23B RAUM · 65 reps · 65-6500-5700
Portfolio / reporting / TAMPCRMFinancial planning software
36
WESTBECK CAPITAL MANAGEMENT LLP reported RAUM up 41% ($286.7M -> $404.2M). IAPD ↗foreign
$404.2M RAUM · 2 reps · 442080510888
Portfolio / reporting / TAMPCRMFinancial planning software
36
TAULA CAPITAL MANAGEMENT (UK) LLP reported RAUM up 33% ($204.76B -> $273.22B). IAPD ↗foreign
$273.22B RAUM · 27 reps · 44 20 4570 2067
Portfolio / reporting / TAMPCRMFinancial planning software
35
SBI FUNDS MANAGEMENT LIMITED reported RAUM up 26% ($174.93B -> $219.93B). IAPD ↗foreign
$219.93B RAUM · 71 reps · 9122-6179-3000 · sbimf.com
Portfolio / reporting / TAMPCRMFinancial planning software
35
MASECO PRIVATE WEALTH reported RAUM up 29% ($3.83B -> $4.96B). IAPD ↗foreign
$4.96B RAUM · 24 reps · +44 20 7043 0455 · spotify.link
Portfolio / reporting / TAMPCRMFinancial planning software
35
LANSDOWNE PARTNERS (UK) LLP reported RAUM up 29% ($8.01B -> $10.30B). IAPD ↗foreign
$10.30B RAUM · 14 reps · 44-20-7290-5500 · lansdownepartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
35
PHOENIX ASSET MANAGEMENT PARTNERS LIMITED reported RAUM up 27% ($1.89B -> $2.40B). IAPD ↗foreign
$2.40B RAUM · 9 reps · +44 208 600 0100 · pamp.co.uk
Portfolio / reporting / TAMPCRMFinancial planning software
35
STEPSTONE GROUP EUROPE ALTERNATIVE INVESTMENTS LIMITED reported RAUM up 29% ($36.68B -> $47.29B). IAPD ↗foreign
$47.29B RAUM · 43 reps · +353 1 536 14 00 · vimeo.com
Portfolio / reporting / TAMPCRMFinancial planning software
35
NW1 PARTNERS reported RAUM up 36% ($686.0M -> $931.7M). IAPD ↗foreign
$931.7M RAUM · 13 reps · 44 2074481448 · nw1partners.com
Portfolio / reporting / TAMPCRMFinancial planning software
35
FIRST GLOBAL reported RAUM up 51% ($17.2M -> $26.0M). IAPD ↗foreign
$26.0M RAUM · 2 reps · +44 208 904 4942
Portfolio / reporting / TAMPCRMFinancial planning software
35
BUOYANT CAPITAL PRIVATE LIMITED reported RAUM up 37% ($674.0M -> $924.8M). IAPD ↗foreign
$924.8M RAUM · 11 reps · +91 22 6931 9912 · buoyantcap.com
Portfolio / reporting / TAMPCRMFinancial planning software
34
SCOTT CAPITAL PARTNERS reported RAUM up 31% ($739.3M -> $970.5M). IAPD ↗foreign
$970.5M RAUM · 8 reps · +442045742828 · scottcp.com
Portfolio / reporting / TAMPCRMFinancial planning software
34
SARGASSO PARTNERS LLP reported RAUM up 49% ($147.5M -> $220.0M). IAPD ↗foreign
$220.0M RAUM · 2 reps · +44 7900 501 478
Portfolio / reporting / TAMPCRMFinancial planning software
34
SATIS WEALTH MANAGEMENT reported RAUM up 32% ($586.2M -> $773.9M). IAPD ↗foreign
$773.9M RAUM · 9 reps · 44 0 203 840 9970
Portfolio / reporting / TAMPCRMFinancial planning software
33
STURGEON VENTURES LLP reported RAUM up 25% ($321.1M -> $402.3M). IAPD ↗foreign
$402.3M RAUM · 3 reps · 0203 167 4625 · sturgeonventures.com
Portfolio / reporting / TAMPCRMFinancial planning software
31
CANACCORD GENUITY WEALTH MANAGEMENT reported RAUM up 34% ($101.2M -> $135.5M). IAPD ↗foreign
$135.5M RAUM · 32 reps · 604-643-7300
Portfolio / reporting / TAMPCRMFinancial planning software
headcount up — 60 Advisory representative count grew materially (>=20% or >=5 reps).
85
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST grew from 157 to 219 advisory reps. IAPD ↗
$144.04B RAUM · 219 reps · 215-531-6700 · nomuraassetmanagement.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. grew from 99 to 116 advisory reps. IAPD ↗
$50.44B RAUM · 116 reps · 800-621-4421
CRMRecruiting & transitionsComplianceFinancial planning software
85
KEEL POINT, LLC grew from 39 to 54 advisory reps. IAPD ↗
$4.07B RAUM · 54 reps · 256-704-5111
CRMRecruiting & transitionsComplianceFinancial planning software
85
ARAX ADVISORY PARTNERS grew from 55 to 140 advisory reps. IAPD ↗
$23.18B RAUM · 140 reps · 646-777-1823 · swsllc.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
ELEVATION POINT WEALTH PARTNERS, LLC grew from 38 to 54 advisory reps. IAPD ↗
$8.29B RAUM · 54 reps · 303-382-2880
CRMRecruiting & transitionsComplianceFinancial planning software
85
STEPSTONE GROUP LP grew from 193 to 209 advisory reps. IAPD ↗
$107.82B RAUM · 209 reps · 858-558-9700 · vimeo.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
BLUESPRING WEALTH MANAGEMENT, LLC grew from 14 to 31 advisory reps. IAPD ↗
$4.02B RAUM · 31 reps · 737-443-2122 · bluespringwealthcalifornia.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
KINTRA WEALTH, LLC grew from 28 to 43 advisory reps. IAPD ↗
$1.50B RAUM · 43 reps · 570-601-6960 · evergreenwealthsolutions.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
MACQUARIE WEALTH ADVISERS, LLC grew from 14 to 24 advisory reps. IAPD ↗
$4.82B RAUM · 24 reps · 212-317-9200
CRMRecruiting & transitionsComplianceFinancial planning software
80
BBVA GLOBAL WEALTH ADVISORS, INC. grew from 29 to 39 advisory reps. IAPD ↗
$1.36B RAUM · 39 reps · 3052057752 · bbvaglobalwealthadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
77
PARKWOODS WEALTH PARTNERS, LLC grew from 14 to 21 advisory reps. IAPD ↗
$1.79B RAUM · 21 reps · (877) 278-2716 · parkwoods.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
MEEDER PUBLIC FUNDS, INC. grew from 52 to 58 advisory reps. IAPD ↗
$70.16B RAUM · 58 reps · 866-633-3371
CRMRecruiting & transitionsComplianceFinancial planning software
76
SANCTUARY ADVISORS, LLC grew from 390 to 396 advisory reps. IAPD ↗
$34.88B RAUM · 396 reps · 317-975-7729
CRMRecruiting & transitionsComplianceFinancial planning software
75
ARCA WEALTH, LLC grew from 6 to 11 advisory reps. IAPD ↗
$1.27B RAUM · 11 reps · 603-610-8881
CRMRecruiting & transitionsComplianceFinancial planning software
74
ADDICUS ADVISORY, LLC grew from 12 to 21 advisory reps. IAPD ↗
$221.7M RAUM · 21 reps · 877-294-8658 · addicusadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
CROSSMARK GLOBAL INVESTMENTS, INC. grew from 11 to 14 advisory reps. IAPD ↗
$8.98B RAUM · 14 reps · 713-260-9000 · crossmarkglobal.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
PRAIRIE WEALTH ADVISORS, INC. grew from 4 to 9 advisory reps. IAPD ↗
$558.0M RAUM · 9 reps · 402-505-6810
CRMRecruiting & transitionsComplianceFinancial planning software
72
ASSET STRATEGY CONSULTANTS LLC grew from 9 to 11 advisory reps. IAPD ↗
$5.16B RAUM · 11 reps · 410-528-8282
CRMRecruiting & transitionsComplianceFinancial planning software
72
PCM ENCORE, LLC grew from 6 to 8 advisory reps. IAPD ↗
$1.94B RAUM · 8 reps · 425-214-1755 · encoreinvestment.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
PRAIRIE ADVISORY, LLC grew from 6 to 9 advisory reps. IAPD ↗
$554.3M RAUM · 9 reps · 913-963-1054 · prairieadvisoryllc.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
MDT FINANCIAL ADVISORS, LLC grew from 2 to 5 advisory reps. IAPD ↗
$294.0M RAUM · 5 reps · 281-938-1111 · mdtfa.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
KOHLBERG KRAVIS ROBERTS & CO. L.P. grew from 636 to 706 advisory reps. IAPD ↗fund
$399.90B RAUM · 706 reps · 212-750-8300 · kkr.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
WOMACK WEALTH MANAGEMENT, INC. grew from 5 to 7 advisory reps. IAPD ↗
$406.9M RAUM · 7 reps · 310-684-3868 · womackwealthmanagement.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
STEPSTONE GROUP REAL ESTATE LP grew from 79 to 95 advisory reps. IAPD ↗fund
$17.21B RAUM · 95 reps · 858-558-9700 · vimeo.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
HILLTOP WEALTH ADVISORS, LLC grew from 8 to 10 advisory reps. IAPD ↗
$635.5M RAUM · 10 reps · (919) 401-1500
CRMRecruiting & transitionsComplianceFinancial planning software
70
EXODUSPOINT CAPITAL MANAGEMENT, LP grew from 313 to 332 advisory reps. IAPD ↗fund
$159.41B RAUM · 332 reps · (646) 940 - 9600
CRMRecruiting & transitionsComplianceFinancial planning software
69
FIDUCIARY CAPITAL MANAGEMENT LLC grew from 6 to 10 advisory reps. IAPD ↗
$149.2M RAUM · 10 reps · 503 515 1313 · fiduciarycm.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
LANDOLT SECURITIES, INC. grew from 10 to 13 advisory reps. IAPD ↗
$137.8M RAUM · 13 reps · 847-838-5151 · landoltsecurities.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY grew from 1 to 4 advisory reps. IAPD ↗
$87.5M RAUM · 4 reps · 800-404-6693 · pacificglobal.us
CRMRecruiting & transitionsComplianceFinancial planning software
68
MACQUARIE ASSET MANAGEMENT CREDIT ADVISERS US, LLC grew from 7 to 100 advisory reps. IAPD ↗fund
$525.6M RAUM · 100 reps · 1 212 231-1000 · macquarie.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
ALPHA WEALTH FUNDS, LLC grew from 9 to 11 advisory reps. IAPD ↗
$214.1M RAUM · 11 reps · 435-269-4100 · theinsidersfund.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
BLUE LINE CAPITAL grew from 5 to 7 advisory reps. IAPD ↗
$131.9M RAUM · 7 reps · 312-837-3944
CRMRecruiting & transitionsComplianceFinancial planning software
67
DBA BIG MONEY RETIREMENT AND BIG RETIREMENT grew from 7 to 9 advisory reps. IAPD ↗
$147.1M RAUM · 9 reps · 864-920-3155 · bigmoneyretirement.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
EAGLE'S CREST ADVISORS, LLC grew from 1 to 3 advisory reps. IAPD ↗
$65.3M RAUM · 3 reps · 646-627-6030
CRMRecruiting & transitionsComplianceFinancial planning software
67
CHARLESBRIDGE ADVISORS grew from 2 to 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · (781) 682-3299
CRMRecruiting & transitionsComplianceFinancial planning software
66
ORIX ADVISERS, LLC grew from 62 to 73 advisory reps. IAPD ↗fund
$9.63B RAUM · 73 reps · 212-468-5888 · orixcapitalpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
65
STEPSTONE GROUP REAL ASSETS LP grew from 75 to 85 advisory reps. IAPD ↗fund
$41.48B RAUM · 85 reps · 858-558-9700 · stepstonepw.com
CRMRecruiting & transitionsComplianceFinancial planning software
64
DAIWA ASSET MANAGEMENT (AMERICA) LTD grew from 7 to 11 advisory reps. IAPD ↗institutional
$5.96B RAUM · 11 reps · 212-612-6254
CRMRecruiting & transitionsComplianceFinancial planning software
62
AMOVA ASSET MANAGEMENT AMERICAS, INC. grew from 9 to 11 advisory reps. IAPD ↗institutional
$7.78B RAUM · 11 reps · 212-610-6100 · us.amova-am.com
CRMRecruiting & transitionsComplianceFinancial planning software
58
NOMURA SECURITIES INTERNATIONAL, INC. grew from 11 to 14 advisory reps. IAPD ↗institutional
$0 RAUM · 14 reps · 212-667-9000 · nomura.com
CRMRecruiting & transitionsComplianceFinancial planning software
56
CYPRESS CREEK PARTNERS grew from 3 to 6 advisory reps. IAPD ↗fund
$499.7M RAUM · 6 reps · 800-725-9456 · cypresscreekpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED grew from 55 to 93 advisory reps. IAPD ↗foreign
$24.51B RAUM · 93 reps · 44 203 037 2000 · macquarie.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
MITSUBISHI UFJ TRUST AND BANKING CORPORATION grew from 250 to 300 advisory reps. IAPD ↗foreign
$406.96B RAUM · 300 reps · +81-3-5220-3065 · tr.mufg.jp
CRMRecruiting & transitionsComplianceFinancial planning software
52
AMOVA ASSET MANAGEMENT CO.,LTD. grew from 140 to 152 advisory reps. IAPD ↗foreign
$247.43B RAUM · 152 reps · 81-3-6447-6000
CRMRecruiting & transitionsComplianceFinancial planning software
50
NOMURA ASSET MANAGEMENT CO., LTD. grew from 300 to 310 advisory reps. IAPD ↗foreign
$601.79B RAUM · 310 reps · 81 (3) 6387-4066 · global.nomura-am.co.jp
CRMRecruiting & transitionsComplianceFinancial planning software
49
SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED grew from 204 to 213 advisory reps. IAPD ↗foreign
$177.71B RAUM · 213 reps · 81-3-6205-0200
CRMRecruiting & transitionsComplianceFinancial planning software
48
ASSET MANAGEMENT ONE CO., LTD. grew from 282 to 290 advisory reps. IAPD ↗foreign
$470.54B RAUM · 290 reps · 81-3-6774-5000 · am-one.co.jp
CRMRecruiting & transitionsComplianceFinancial planning software
48
STEPSTONE GROUP EUROPE ALTERNATIVE INVESTMENTS LIMITED grew from 35 to 43 advisory reps. IAPD ↗foreign
$47.29B RAUM · 43 reps · +353 1 536 14 00 · vimeo.com
CRMRecruiting & transitionsComplianceFinancial planning software
47
TAULA CAPITAL MANAGEMENT (UK) LLP grew from 20 to 27 advisory reps. IAPD ↗foreign
$273.22B RAUM · 27 reps · 44 20 4570 2067
CRMRecruiting & transitionsComplianceFinancial planning software
46
GSA CAPITAL PARTNERS LLP grew from 43 to 49 advisory reps. IAPD ↗foreign
$4.91B RAUM · 49 reps · 00-44-20-4603-5100 · gsacapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
46
CHEYNE CAPITAL MANAGEMENT (UK) LLP grew from 36 to 42 advisory reps. IAPD ↗foreign
$39.92B RAUM · 42 reps · 44 (0) 207 968 7450 · cheynecapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
46
ROKOS CAPITAL MANAGEMENT LLP grew from 62 to 68 advisory reps. IAPD ↗foreign
$219.44B RAUM · 68 reps · +44(0)2036689000 · rokoscapital.com
CRMRecruiting & transitionsComplianceFinancial planning software
46
KOTAK ALTERNATE ASSET MANAGERS LIMITED grew from 44 to 50 advisory reps. IAPD ↗foreign
$18.52B RAUM · 50 reps · +91-022-65292400 · kotakalternateasset.com
CRMRecruiting & transitionsComplianceFinancial planning software
45
QUANTUM ADVISORS PRIVATE LIMITED grew from 15 to 20 advisory reps. IAPD ↗foreign
$1.75B RAUM · 20 reps · 91-22-61447900
CRMRecruiting & transitionsComplianceFinancial planning software
45
POLAR ASSET MANAGEMENT PARTNERS INC. grew from 61 to 66 advisory reps. IAPD ↗foreign
$37.86B RAUM · 66 reps · 416-367-4364 · polaramp.com
CRMRecruiting & transitionsComplianceFinancial planning software
44
ANDA ASSET MANAGEMENT CO., LTD. grew from 19 to 23 advisory reps. IAPD ↗foreign
$1.23B RAUM · 23 reps · 822-2156-2800 · andaasset.com
CRMRecruiting & transitionsComplianceFinancial planning software
44
BROAD REACH INVESTMENT MANAGEMENT LLP grew from 7 to 11 advisory reps. IAPD ↗foreign
$2.56B RAUM · 11 reps · +44 20 7531 2460 · broadreachllp.com
CRMRecruiting & transitionsComplianceFinancial planning software
43
MESARETE CAPITAL LLP grew from 11 to 14 advisory reps. IAPD ↗foreign
$4.75B RAUM · 14 reps · +44 (0) 203 148 2330
CRMRecruiting & transitionsComplianceFinancial planning software
40
ENTREPRENEUR FIRST INVESTMENT MANAGER LLP grew from 3 to 5 advisory reps. IAPD ↗foreign
$890.9M RAUM · 5 reps · +44 (0)7800905250 · joinef.com
CRMRecruiting & transitionsComplianceFinancial planning software
37
UTI INVESTMENTS AMERICA LIMITED grew from 2 to 4 advisory reps. IAPD ↗foreign
$0 RAUM · 4 reps · 65 8499 0103
CRMRecruiting & transitionsComplianceFinancial planning software
relocation — 48 Main office moved to a different city or state.
50
NBT CAPITAL MANAGEMENT, INC. moved its main office from JOHNSON CITY, NY to NORWICH, NY. IAPD ↗
$1.61B RAUM · 7 reps · 607-584-4141 · clevelandhauswirth.com
Office IT & facilitiesMarketing & brand
50
ENVESTNET PORTFOLIO SOLUTIONS, INC. moved its main office from CHICAGO, IL to BERWYN, PA. IAPD ↗
$17.35B RAUM · 178 reps · 312-827-2800 · vimeo.com
Office IT & facilitiesMarketing & brand
50
ENVESTNET PMC moved its main office from CHICAGO, IL to BERWYN, PA. IAPD ↗
$614.93B RAUM · 178 reps · 312-827-2800 · envestnet.com
Office IT & facilitiesMarketing & brand
50
HOWARD CAPITAL MANAGEMENT, LLC moved its main office from ROSWELL, GA to ALPHARETTA, GA. IAPD ↗
$8.01B RAUM · 10 reps · 770-642-4902 · howardcmetfs.com
Office IT & facilitiesMarketing & brand
50
ARAX ADVISORY PARTNERS moved its main office from DENVER, CO to NEW YORK, NY. IAPD ↗
$23.18B RAUM · 140 reps · 646-777-1823 · swsllc.com
Office IT & facilitiesMarketing & brand
50
BLUESPRING WEALTH MANAGEMENT, LLC moved its main office from MINNEAPOLIS, MN to AUSTIN, TX. IAPD ↗
$4.02B RAUM · 31 reps · 737-443-2122 · bluespringwealthcalifornia.com
Office IT & facilitiesMarketing & brand
50
WALKNER CONDON FINANCIAL ADVISORS LLC moved its main office from MADISON, WI to VERONA, WI. IAPD ↗
$1.03B RAUM · 16 reps · 608-234-4127 · walknercondon.com
Office IT & facilitiesMarketing & brand
50
ENVESTNET RETIREMENT SOLUTIONS, LLC moved its main office from CHICAGO, IL to BERWYN, PA. IAPD ↗
$16.30B RAUM · 15 reps · 1-866-318-4015 · envestnet.com
Office IT & facilitiesMarketing & brand
50
URBAN INVESTMENT ADVISORS moved its main office from LARKSPUR, CA to MILL VALLEY, CA. IAPD ↗
$2.45B RAUM · 2 reps · 415-461-8600 · urbaninv.com
Office IT & facilitiesMarketing & brand
50
SPYGLASS CAPITAL MANAGEMENT, LLC moved its main office from SAN FRANCISCO, CA to GREENBRAE, CA. IAPD ↗
$2.02B RAUM · 5 reps · 415-318-2366 · spyglassfunds.com
Office IT & facilitiesMarketing & brand
50
LEO WEALTH, LLC moved its main office from HURST, TX to EDISON, NJ. IAPD ↗
$3.21B RAUM · 31 reps · 732-903-2600
Office IT & facilitiesMarketing & brand
50
INTEGRITY ADVISORY SOLUTIONS moved its main office from DALLAS, IA to DALLAS, TX. IAPD ↗
$1.10B RAUM · 108 reps · (214) 919-2165 · integritywealthsolutions.com
Office IT & facilitiesMarketing & brand
50
QRG CAPITAL MANAGEMENT, INC. moved its main office from CHICAGO, IL to BERWYN, PA. IAPD ↗
$11.41B RAUM · 12 reps · 312-827-2800
Office IT & facilitiesMarketing & brand
50
FISHER\SMB moved its main office from PLANO, TX to CARROLLTON, TX. IAPD ↗
$6.85B RAUM · 4 reps · 888-674-4504
Office IT & facilitiesMarketing & brand
48
THE PACIFIC CENTER FOR FINANCIAL SERVICES moved its main office from SAN RAMON, CA to DANVILLE, CA. IAPD ↗
$960.6M RAUM · 4 reps · (925) 838-7700
Office IT & facilitiesMarketing & brand
48
FDX ADVISORS, INC. moved its main office from CHICAGO, IL to BERWYN, PA. IAPD ↗
$832.8M RAUM · 4 reps · 312-827-2800
Office IT & facilitiesMarketing & brand
48
COPPERLEAF CAPITAL, LLC moved its main office from CONCORD, NC to CLOVER, SC. IAPD ↗
$281.6M RAUM · 4 reps · 919-787-9725
Office IT & facilitiesMarketing & brand
48
LIGHTHOUSE FINANCIAL moved its main office from LARGO, FL to SAINT PETERSBURG, FL. IAPD ↗
$755.6M RAUM · 1 reps · 727-490-5797
Office IT & facilitiesMarketing & brand
48
ADVISORS FINANCIAL, INC. moved its main office from VIENNA, VA to MCLEAN, VA. IAPD ↗
$321.2M RAUM · 6 reps · (703) 883-0300 · advisorsfinancial.com
Office IT & facilitiesMarketing & brand
48
VALIDEX GLOBAL INVESTING moved its main office from SAN DIEGO, CA to IRVINE, CA. IAPD ↗
$352.9M RAUM · 2 reps · 858-410-1410 · validex.co
Office IT & facilitiesMarketing & brand
48
OCEANIQ CAPITAL, LLC moved its main office from REDWOOD CITY, CA to PALO ALTO, CA. IAPD ↗
$334.2M RAUM · 4 reps · (415) 432-7580 · oceaniqcapital.com
Office IT & facilitiesMarketing & brand
48
CHERRYDALE WEALTH MANAGEMENT, LLC moved its main office from HOBOKEN, NJ to MONTCLAIR, NJ. IAPD ↗
$495.5M RAUM · 1 reps · (917) 838-7507 · cherrydalewm.com
Office IT & facilitiesMarketing & brand
48
BURKHOLDER & ASSOCIATES, LLC moved its main office from CHEVY CHASE, MD to WASHINGTON, DC. IAPD ↗
$287.4M RAUM · 2 reps · 301-778-9970
Office IT & facilitiesMarketing & brand
48
MATTERS CAPITAL LLC moved its main office from MIAMI, FL to CORAL GABLES, FL. IAPD ↗
$296.8M RAUM · 2 reps · (305) 528-3701 · matters.capital
Office IT & facilitiesMarketing & brand
45
BROADHURST FINANCIAL ADVISORS, INC. moved its main office from WEST POINT, PA to AUSTIN, TX. IAPD ↗
$128.4M RAUM · 1 reps · 215-325-1595 · broadhurstfinancial.com
Office IT & facilitiesMarketing & brand
45
KEYSTONE WEALTH ADVISORS, INCORPORATED moved its main office from MINNEAPOLIS, MN to EAGAN, MN. IAPD ↗
$201.4M RAUM · 3 reps · 612-465-8118
Office IT & facilitiesMarketing & brand
45
OPTIMIZE FINANCIAL INC. moved its main office from LAGUNA HILLS, CA to IRVINE, CA. IAPD ↗
$221.7M RAUM · 3 reps · 949-471-0000
Office IT & facilitiesMarketing & brand
45
OPENVEST moved its main office from MIAMI, FL to AVENTURA, FL. IAPD ↗
$353,485 RAUM · 1 reps · 917-678-8797 · openvest.co
Office IT & facilitiesMarketing & brand
45
GENEVA FINANCIAL GROUP moved its main office from JACKSON, NJ to LAKEWOOD, NJ. IAPD ↗
$233.7M RAUM · 1 reps · 732-719-4101
Office IT & facilitiesMarketing & brand
45
2201 CAPITAL, LLC moved its main office from BOSTON, MA to NEW YORK, NY. IAPD ↗
$40.0M RAUM · 2 reps · 201-446-2992
Office IT & facilitiesMarketing & brand
45
RAIJIN AI moved its main office from ALPHARETTA, GA to BROOKLYN, NY. IAPD ↗
$0 RAUM · 2 reps · 6785594058 · raijinai.com
Office IT & facilitiesMarketing & brand
45
CLAIRALPHA ADVISORS LLC moved its main office from RICHARDSON, TX to FRISCO, TX. IAPD ↗
$0 RAUM · 1 reps · 713 364 3839 · clairalpha.com
Office IT & facilitiesMarketing & brand
45
345 INVESTMENT ADVISORY, LLC moved its main office from WOODY CREEK, CO to SCOTTSDALE, AZ. IAPD ↗
$0 RAUM · 1 reps · (303) 887-8786
Office IT & facilitiesMarketing & brand
45
LUCENT FINANCIAL moved its main office from BELGRADE, MT to BOZEMAN, MT. IAPD ↗
$0 RAUM · 1 reps · 406-750-3515 · lucent-financial.com
Office IT & facilitiesMarketing & brand
45
SCHONFELD WEALTH MANAGEMENT, LLC moved its main office from PORTLAND, OR to BROOKLYN, NY. IAPD ↗
$0 RAUM · 2 reps · 718-963-9700 · schonfeldwm.com
Office IT & facilitiesMarketing & brand
45
VALEN PRIVATE CAPITAL, LLC. moved its main office from MIAMI, FL to PAOLI, PA. IAPD ↗
$0 RAUM · 2 reps · 835-262-8100 · valenpc.com
Office IT & facilitiesMarketing & brand
40
FRANKLIN ADVISORY SERVICES, LLC moved its main office from SAN MATEO, CA to SAN MATEO, FL. IAPD ↗institutional
$14.07B RAUM · 2 reps · (650) 312-3000 · franklintempletonoffshore.com
Office IT & facilitiesMarketing & brand
35
MESIROW FINANCIAL PRIVATE EQUITY ADVISORS, INC. moved its main office from CHICAGO, CT to CHICAGO, IL. IAPD ↗fund
$6.94B RAUM · 7 reps · 312-595-6000 · mesirowfinancial.com
Office IT & facilitiesMarketing & brand
35
REDMILE GROUP moved its main office from SAN FRANCISCO, CA to LARKSPUR, CA. IAPD ↗fund
$4.70B RAUM · 15 reps · 415-489-9980 · redmilegroup.com
Office IT & facilitiesMarketing & brand
35
GREENOAKS moved its main office from ORINDA, CA to SAN FRANCISCO, CA. IAPD ↗fund
$18.27B RAUM · 19 reps · 415.942.5322 · greenoaks.com
Office IT & facilitiesMarketing & brand
35
XDUS FUND ADVISOR moved its main office from WINDSOR LOCKS, CT to EAST LONGMEADOW, MA. IAPD ↗institutional
$414,767 RAUM · 2 reps · 860-338-8384
Office IT & facilitiesMarketing & brand
35
PERMIRA CREDIT LLC moved its main office from MENLO PARK, CA to SAN FRANCISCO, CA. IAPD ↗fund
$1.34B RAUM · 20 reps · 650-407-9015
Office IT & facilitiesMarketing & brand
35
ADVISORENGINE PORTFOLIO SOLUTIONS INC. moved its main office from NEW YORK, NY to RALEIGH, NC. IAPD ↗institutional
$176.4M RAUM · 1 reps · 888-225-7216 · advisorengine-portfolio-solutions.com
Office IT & facilitiesMarketing & brand
33
TRIMER CAPITAL MANAGEMENT LP moved its main office from NEW YORK, NY to SAN FRANCISCO, CA. IAPD ↗fund
$901.5M RAUM · 6 reps · 415-294-1259
Office IT & facilitiesMarketing & brand
33
LUCASHILL, LLC moved its main office from PALO ALTO, CA to DALLAS, TX. IAPD ↗fund
$575.2M RAUM · 3 reps · (650) 254-8599
Office IT & facilitiesMarketing & brand
30
AZARIAS CAPITAL MANAGEMENT, L.P. moved its main office from BERWYN, PA to WESTCHESTER, PA. IAPD ↗fund
$188.8M RAUM · 3 reps · 215-494-3300
Office IT & facilitiesMarketing & brand
30
VALORAN CAPITAL MANAGEMENT moved its main office from NAPERVILLE, IL to CHICAGO, IL. IAPD ↗fund
$157.8M RAUM · 3 reps · 312-545-5572 · valorancapitalmanagement.com
Office IT & facilitiesMarketing & brand
18
INTERNATIONAL MONEY MATTERS PVT LTD moved its main office from BANGALORE, KARNATAKA, to BENGALURU, KARNATAKA, . IAPD ↗foreign
$278.3M RAUM · 22 reps · +91 8049904565 · immpl.com
Office IT & facilitiesMarketing & brand
disclosure added — 42 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
EDWARD JONES's Item 11 disclosure-reporting entries rose by 7 (290 -> 297). IAPD ↗
$1013.61B RAUM · 20304 reps · 314-515-2000
ComplianceMarketing & brand
55
GOLDMAN SACHS & CO. LLC's Item 11 disclosure-reporting entries rose by 1 (770 -> 771). IAPD ↗
$133.64B RAUM · 1765 reps · 212-902-1000
ComplianceMarketing & brand
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 5 (205 -> 210). IAPD ↗
$197.53B RAUM · 3079 reps · 314-342-2000 · glennwealthadvisory.com
ComplianceMarketing & brand
55
AMERIPRISE FINANCIAL SERVICES, LLC's Item 11 disclosure-reporting entries rose by 2 (241 -> 243). IAPD ↗
$660.47B RAUM · 12681 reps · 612-671-3131
ComplianceMarketing & brand
55
LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 4 (372 -> 376). IAPD ↗
$819.12B RAUM · 36280 reps · 704-733-3300
ComplianceMarketing & brand
55
NBC SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗
$1.78B RAUM · 63 reps · 800-521-9390 · nbcsecurities.com
ComplianceMarketing & brand
55
RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 7 (152 -> 159). IAPD ↗
$310.43B RAUM · 5908 reps · 212-858-7000 · us.rbcwealthmanagement.com
ComplianceMarketing & brand
55
GOLDMAN SACHS WEALTH SERVICES, L.P.'s Item 11 disclosure-reporting entries rose by 1 (30 -> 31). IAPD ↗
$31.69B RAUM · 1134 reps · 518-886-4000
ComplianceMarketing & brand
55
CIBC PRIVATE WEALTH ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 1 (12 -> 13). IAPD ↗
$67.84B RAUM · 220 reps · 312-368-7700 · vimeo.com
ComplianceMarketing & brand
55
SPIRE WEALTH MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 1 (15 -> 16). IAPD ↗
$4.51B RAUM · 76 reps · 703-657-6060 · barnettfinancialgroup.com
ComplianceMarketing & brand
55
ARAX ADVISORY PARTNERS's Item 11 disclosure-reporting entries rose by 2 (6 -> 8). IAPD ↗
$23.18B RAUM · 140 reps · 646-777-1823 · swsllc.com
ComplianceMarketing & brand
55
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 2 (79 -> 81). IAPD ↗
$138.69B RAUM · 3496 reps · 641-472-5100 · cambridgestronger.com
ComplianceMarketing & brand
55
KEY INVESTMENT SERVICES LLC's Item 11 disclosure-reporting entries rose by 8 (11 -> 19). IAPD ↗
$8.88B RAUM · 360 reps · (888) 547-2968 · key.com
ComplianceMarketing & brand
55
MORGAN STANLEY's Item 11 disclosure-reporting entries rose by 1 (226 -> 227). IAPD ↗
$1961.89B RAUM · 13000 reps · 914-225-5510 · morganstanley.com
ComplianceMarketing & brand
55
FOUNDATIONS INVESTMENT ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (11 -> 13). IAPD ↗
$10.10B RAUM · 289 reps · 480-626-2979 · fiwealth.com
ComplianceMarketing & brand
55
AE WEALTH MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (29 -> 31). IAPD ↗
$49.84B RAUM · 448 reps · 866-363-9595
ComplianceMarketing & brand
55
KESTRA ADVISORY SERVICES, LLC's Item 11 disclosure-reporting entries rose by 1 (24 -> 25). IAPD ↗
$79.80B RAUM · 1359 reps · 8445537872
ComplianceMarketing & brand
55
MACERATIO LLC's Item 11 disclosure-reporting entries rose by 2 (6 -> 8). IAPD ↗
$1.19B RAUM · 7 reps · 305-398-9010 · maceratio.com
ComplianceMarketing & brand
53
HILLTOP WEALTH ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$635.5M RAUM · 10 reps · (919) 401-1500
ComplianceMarketing & brand
50
SUPREME ALLIANCE LLC's Item 11 disclosure-reporting entries rose by 4 (2 -> 6). IAPD ↗
$35.3M RAUM · 15 reps · 561-460-2870 · supremealliancellc.com
ComplianceMarketing & brand
50
APERTURE ADVISORS LLC's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
$16.0M RAUM · 2 reps · 917-734-2804 · apertureadvisors.io
ComplianceMarketing & brand
45
INNOVATOR CAPITAL MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (28 -> 30). IAPD ↗institutional
$30.24B RAUM · 6 reps · 800-208-5212
ComplianceMarketing & brand
43
HORIZON TECHNOLOGY FINANCE's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗institutional
$811.1M RAUM · 14 reps · 860-676-8654 · horizontechfinance.com
ComplianceMarketing & brand
40
TENNENBAUM CAPITAL PARTNERS, LLC's Item 11 disclosure-reporting entries rose by 2 (28 -> 30). IAPD ↗fund
$3.16B RAUM · 7 reps · 310 566 1000
ComplianceMarketing & brand
40
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLC's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗institutional
$22.4M RAUM · 2 reps · 414-765-3500 · rwbaird.com
ComplianceMarketing & brand
40
BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 3 (144 -> 147). IAPD ↗institutional
$0 RAUM · 317 reps · 646-743-2734 · bankofamerica.com
ComplianceMarketing & brand
40
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 2 (27 -> 29). IAPD ↗fund
$66.93B RAUM · 35 reps · 302 797 2000 · mp.weixin.qq.com
ComplianceMarketing & brand
40
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY II, LLC's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗institutional
$81.7M RAUM · 2 reps · 414-765-3500 · rwbaird.com
ComplianceMarketing & brand
40
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗institutional
$83.7M RAUM · 2 reps · 414-765-3500 · rwbaird.com
ComplianceMarketing & brand
38
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY IV, LLC's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗fund
$252.1M RAUM · 2 reps · 414-765-3500 · rwbaird.com
ComplianceMarketing & brand
38
BAIRD CAPITAL MANAGEMENT COMPANY, LLC's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗fund
$737.9M RAUM · 3 reps · 414-765-3500 · rwbaird.com
ComplianceMarketing & brand
35
SVOF/MM, LLC's Item 11 disclosure-reporting entries rose by 2 (28 -> 30). IAPD ↗fund
$16.4M RAUM · 1 reps · 310 566 1000 · blackrock.com
ComplianceMarketing & brand
35
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗fund
$1.3M RAUM · 2 reps · 414-765-3500 · rwbaird.com
ComplianceMarketing & brand
35
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY V, LLC's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗fund
$195.2M RAUM · 2 reps · 414-765-3500 · rwbaird.com
ComplianceMarketing & brand
25
WESTERN ASSET MANAGEMENT COMPANY LIMITED's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗foreign
$20.09B RAUM · 16 reps · 011-44-20-7422-3000
ComplianceMarketing & brand
25
WESTERN ASSET MANAGEMENT COMPANY PTE LTD's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗foreign
$2.80B RAUM · 5 reps · 65-6428-3600
ComplianceMarketing & brand
25
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD.'s Item 11 disclosure-reporting entries rose by 1 (17 -> 18). IAPD ↗foreign
$4.70B RAUM · 8 reps · +6563956970 · kotak-international.com
ComplianceMarketing & brand
25
KOTAK ALTERNATE ASSET MANAGERS LIMITED's Item 11 disclosure-reporting entries rose by 8 (12 -> 20). IAPD ↗foreign
$18.52B RAUM · 50 reps · +91-022-65292400 · kotakalternateasset.com
ComplianceMarketing & brand
23
NS MANAGEMENT LTD's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
$850.3M RAUM · 2 reps · 441-232-5000 · nsmb.bm
ComplianceMarketing & brand
20
MOTILAL OSWAL CAPITAL LIMITED's Item 11 disclosure-reporting entries rose by 18 (9 -> 27). IAPD ↗foreign
$116.1M RAUM · 2 reps · +91 22 39804200 · motilaloswalmf.com
ComplianceMarketing & brand
20
DRAGON CAPITAL MANAGEMENT (HK) LIMITED's Item 11 disclosure-reporting entries rose by 7 (0 -> 7). IAPD ↗foreign
$168.3M RAUM · 1 reps · 85239798100 · dragoncapital.com
ComplianceMarketing & brand
20
FIRST GLOBAL's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗foreign
$26.0M RAUM · 2 reps · +44 208 904 4942
ComplianceMarketing & brand
pending approved — 31 120-day provisional registration became a full approval.
75
GRYPHON WEALTH's provisional registration is now fully approved. IAPD ↗
$3.24B RAUM · 6 reps · 904-450-5330
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
JET WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$546.5M RAUM · 6 reps · 858-457-1003 · jetwealthadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
RAIL-SPLITTER CAPITAL MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$484.1M RAUM · 3 reps · 773-294-6099 · rail-splitter.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
LEO WEALTH AMERICAS, LLC's provisional registration is now fully approved. IAPD ↗
$512.3M RAUM · 21 reps · 817-354-1090
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ROCKWALL WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$305.5M RAUM · 4 reps · 972-771-1472
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
TYLER STREET CAPITAL's provisional registration is now fully approved. IAPD ↗
$491.5M RAUM · 1 reps · 508-648-4684
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
TAILORED WEALTH SOLUTIONS's provisional registration is now fully approved. IAPD ↗
$271.8M RAUM · 4 reps · 518-583-4800 · tailoredwealthsolutions.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
HOMAGE WEALTH GROUP LLC's provisional registration is now fully approved. IAPD ↗
$366.2M RAUM · 2 reps · (713) 725-0696
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
MDT FINANCIAL ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$294.0M RAUM · 5 reps · 281-938-1111 · mdtfa.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
GIBERT WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$316.0M RAUM · 1 reps · 7045755349 · gibertwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
IVESTA CORP's provisional registration is now fully approved. IAPD ↗
$82.0M RAUM · 2 reps · 917-864-0407 · ivesta-fo.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ASTOR's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 650-661-9880 · joinastor.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
VOSS WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$93.9M RAUM · 1 reps · (607) 444-2234 · vosswealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
HAZLETT WEALTH MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$160.0M RAUM · 1 reps · 208-726-0605 · hazlettwealthmanagement.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CENTRUS FINANCIAL STRATEGIES's provisional registration is now fully approved. IAPD ↗
$125.1M RAUM · 3 reps · 1-800-779-4592 · centrusfs.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
GUDORF FINANCIAL GROUP, LLC's provisional registration is now fully approved. IAPD ↗
$121.1M RAUM · 2 reps · (937) 898-5430 · gudorffinancial.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
HAIRE WEALTH MANAGEMENT, INC.'s provisional registration is now fully approved. IAPD ↗
$102.0M RAUM · 1 reps · 662-844-3501
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
VANDALIA WEALTH's provisional registration is now fully approved. IAPD ↗
$249.6M RAUM · 15 reps · 304-915-0260
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CAPSTONE WEALTH MANAGEMENT GROUP, INC.'s provisional registration is now fully approved. IAPD ↗
$243.0M RAUM · 6 reps · 541.330.0266 · capstonewmg.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
COAST ADVISORY LLC's provisional registration is now fully approved. IAPD ↗
$122.5M RAUM · 2 reps · 262-977-9907 · coastadvisory.net
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SOULENCE WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$107.5M RAUM · 5 reps · 801-571-9900 · soulencewealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
VELARIS WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$128.7M RAUM · 3 reps · 786-657-1584 · velaris.global
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
VERA LAKE CAPITAL, LLC's provisional registration is now fully approved. IAPD ↗
$180.4M RAUM · 2 reps · 612-524-9165
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
CIBRA CAPITAL LLC's provisional registration is now fully approved. IAPD ↗institutional
$263.0M RAUM · 2 reps · 442037256245
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
CRESALTA INVESTMENT MANAGEMENT, INC.'s provisional registration is now fully approved. IAPD ↗institutional
$323.4M RAUM · 4 reps · 303-498-9699 · cresalta.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
AQI's provisional registration is now fully approved. IAPD ↗institutional
$107.9M RAUM · 5 reps · 303-708-1640 · aqinvest.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
OPTIMAL TAX ASSET MANAGEMENT's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 3 reps · (425)-523-1044 · optimaltaxinc.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
LIGHT ARC CAPITAL MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗fund
$324.1M RAUM · 4 reps · 475-385-2289 · lightarccm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
ARGO MANAGEMENT AND RESEARCH COMPANY, LLC's provisional registration is now fully approved. IAPD ↗fund
$200.6M RAUM · 2 reps · 646-584-5514 · argomrc.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
REINOVA CAPITAL ADVISORS LLC's provisional registration is now fully approved. IAPD ↗fund
$175.0M RAUM · 3 reps · +1 917-623-6635
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
GRADIENT RIDGE CAPITAL, L.P.'s provisional registration is now fully approved. IAPD ↗fund
$231.8M RAUM · 4 reps · 732-616-3877
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
headcount down — 29 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
L & S ADVISORS, INC shrank from 15 to 9 advisory reps. IAPD ↗
$1.16B RAUM · 9 reps · 310-893-6060
Recruiting & transitionsM&A & valuation
55
NEW LEGACY GROUP, LLC shrank from 8 to 6 advisory reps. IAPD ↗
$1.28B RAUM · 6 reps · (212) 616-8020
Recruiting & transitionsM&A & valuation
55
APELLA WEALTH shrank from 93 to 88 advisory reps. IAPD ↗
$11.07B RAUM · 88 reps · 860.785.2260
Recruiting & transitionsM&A & valuation
55
PRIME CAPITAL FINANCIAL shrank from 266 to 261 advisory reps. IAPD ↗
$39.14B RAUM · 261 reps · (800) 493-6226
Recruiting & transitionsM&A & valuation
53
NAMCOA shrank from 12 to 8 advisory reps. IAPD ↗
$404.3M RAUM · 8 reps · (239) 593-5525 · infinitewealthadvisors.com
Recruiting & transitionsM&A & valuation
53
BITWISE INVESTMENT MANAGER, LLC shrank from 8 to 6 advisory reps. IAPD ↗
$721.8M RAUM · 6 reps · 415-707-3663 · btopetf.com
Recruiting & transitionsM&A & valuation
50
COORDINATED CAPITAL SECURITIES, INC. shrank from 20 to 15 advisory reps. IAPD ↗
$136.8M RAUM · 15 reps · 608-221-4545 · mdressmancpa.com
Recruiting & transitionsM&A & valuation
50
FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO. shrank from 3 to 1 advisory reps. IAPD ↗
$137.5M RAUM · 1 reps · 918-743-5959 · ferimc.com
Recruiting & transitionsM&A & valuation
45
LUMENT INVESTMENT MANAGEMENT, LLC shrank from 41 to 35 advisory reps. IAPD ↗institutional
$1.94B RAUM · 35 reps · 212-317-5700
Recruiting & transitionsM&A & valuation
40
MACQUARIE INFRASTRUCTURE PARTNERS shrank from 122 to 112 advisory reps. IAPD ↗fund
$48.84B RAUM · 112 reps · 212-231-1000 · macquarie.com
Recruiting & transitionsM&A & valuation
40
MAM AMERICAS, INC. shrank from 128 to 114 advisory reps. IAPD ↗fund
$4.27B RAUM · 114 reps · 212-231-1000
Recruiting & transitionsM&A & valuation
40
SB INVESTMENT ADVISERS (US) INC. shrank from 111 to 67 advisory reps. IAPD ↗fund
$53.47B RAUM · 67 reps · 650-562-8211 · visionfund.com
Recruiting & transitionsM&A & valuation
40
ACRUENCE CAPITAL, LLC shrank from 3 to 1 advisory reps. IAPD ↗institutional
$37.4M RAUM · 1 reps · 833-653-6400 · acruence.com
Recruiting & transitionsM&A & valuation
38
JAGUAR GROWTH ASSET MANAGEMENT, LLC shrank from 8 to 4 advisory reps. IAPD ↗fund
$313.1M RAUM · 4 reps · 646-663-4950 · jaguargrowth.com
Recruiting & transitionsM&A & valuation
38
COINFUND MANAGEMENT LLC shrank from 15 to 8 advisory reps. IAPD ↗fund
$766.0M RAUM · 8 reps · 646-934-6177
Recruiting & transitionsM&A & valuation
35
ARKHOUSE shrank from 6 to 4 advisory reps. IAPD ↗fund
$122.9M RAUM · 4 reps · 212-465-1301 · arkhousefund.com
Recruiting & transitionsM&A & valuation
25
AROHI ASSET MANAGEMENT PTE LTD. shrank from 11 to 8 advisory reps. IAPD ↗foreign
$1.05B RAUM · 8 reps · (65) 6535 6171 · arohi.com
Recruiting & transitionsM&A & valuation
25
AMOVA ASSET MANAGEMENT ASIA LIMITED shrank from 76 to 65 advisory reps. IAPD ↗foreign
$14.23B RAUM · 65 reps · 65-6500-5700
Recruiting & transitionsM&A & valuation
25
AHL PARTNERS LLP shrank from 131 to 113 advisory reps. IAPD ↗foreign
$68.02B RAUM · 113 reps · +44 20 7144 1000 · man.com
Recruiting & transitionsM&A & valuation
25
LANSDOWNE PARTNERS (UK) LLP shrank from 18 to 14 advisory reps. IAPD ↗foreign
$10.30B RAUM · 14 reps · 44-20-7290-5500 · lansdownepartners.com
Recruiting & transitionsM&A & valuation
25
BOUSSARD & GAVAUDAN INVESTMENT MANAGEMENT LLP shrank from 10 to 4 advisory reps. IAPD ↗foreign
$3.68B RAUM · 4 reps · +44-203-751-5400 · boussard-gavaudan.com
Recruiting & transitionsM&A & valuation
25
MACQUARIE INVESTMENT MANAGEMENT GLOBAL LIMITED shrank from 73 to 61 advisory reps. IAPD ↗foreign
$187.35B RAUM · 61 reps · 612 8232 3333 · macquarie.com
Recruiting & transitionsM&A & valuation
25
HOLLYPORT CAPITAL LLP shrank from 65 to 56 advisory reps. IAPD ↗foreign
$12.20B RAUM · 56 reps · +44 207 478 3970 · hollyportcapital.com
Recruiting & transitionsM&A & valuation
25
RUFFER LLP shrank from 42 to 35 advisory reps. IAPD ↗foreign
$24.87B RAUM · 35 reps · 00 44 20 7963 8100 · ruffer.co.uk
Recruiting & transitionsM&A & valuation
25
ICICI ASSET MANAGEMENT shrank from 6 to 3 advisory reps. IAPD ↗foreign
$117.06B RAUM · 3 reps · +91 22 2652 5000
Recruiting & transitionsM&A & valuation
23
HIGHCLERE INTERNATIONAL INVESTORS shrank from 9 to 7 advisory reps. IAPD ↗foreign
$742.3M RAUM · 7 reps · +44 207-258-9830 · highclereinvestors.com
Recruiting & transitionsM&A & valuation
23
MARCELLUS INVESTMENT MANAGERS PRIVATE LIMITED shrank from 32 to 23 advisory reps. IAPD ↗foreign
$315.2M RAUM · 23 reps · 0806-9199-400 · marcellus-us.com
Recruiting & transitionsM&A & valuation
23
BUOYANT CAPITAL PRIVATE LIMITED shrank from 51 to 11 advisory reps. IAPD ↗foreign
$924.8M RAUM · 11 reps · +91 22 6931 9912 · buoyantcap.com
Recruiting & transitionsM&A & valuation
20
LEGACY PRIVATE CLIENT SERVICES shrank from 3 to 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 514-782-5966 · legacyprivateclientservices.com
Recruiting & transitionsM&A & valuation
website changed — 29 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
COOPER MCMANUS changed its website from fcguides.com to purmortgroup.com. IAPD ↗
$2.85B RAUM · 50 reps · 800-516-5333 · purmortgroup.com
Marketing & brand
30
CONSOLIDATED PORTFOLIO REVIEW CORP changed its website from amcapwealth.com to legacysolutionswm.com. IAPD ↗
$1.59B RAUM · 47 reps · 631-845-5100 · legacysolutionswm.com
Marketing & brand
30
REDHAWK WEALTH ADVISORS, INC. changed its website from kingdomcalling.com to thewittmangroup.com. IAPD ↗
$1.46B RAUM · 47 reps · 952-835-4295 · thewittmangroup.com
Marketing & brand
30
CGN ADVISORS, LLC changed its website from cherylober.com to pearsonfinancialplanning.com. IAPD ↗
$1.60B RAUM · 39 reps · 910-333-6659 · pearsonfinancialplanning.com
Marketing & brand
30
THE PATRIOT FINANCIAL GROUP, LLC changed its website from bankgloucester.com to joffreysmith.com. IAPD ↗
$2.64B RAUM · 33 reps · 508-251-6100 · joffreysmith.com
Marketing & brand
30
ASCENTIS INDEPENDENT ADVISORS, LLC changed its website from marshallwealthadvisors.com to schneider-wealth.com. IAPD ↗
$2.09B RAUM · 39 reps · 866-273-1563 · schneider-wealth.com
Marketing & brand
28
NAMCOA changed its website from dst.investments to infinitewealthadvisors.com. IAPD ↗
$404.3M RAUM · 8 reps · (239) 593-5525 · infinitewealthadvisors.com
Marketing & brand
28
TEEPLE SNYDER NEWSOME WEALTH & TAX MANAGEMENT changed its website from bedrockcpas.com to tsnadvisors.com. IAPD ↗
$287.0M RAUM · 14 reps · 317-350-4255 · tsnadvisors.com
Marketing & brand
28
RIA ADVISORY GROUP, LLC changed its website from riaadvisorygroup.com to dakotaadvisoryteam.com. IAPD ↗
$568.4M RAUM · 25 reps · (515) 965-8588 · dakotaadvisoryteam.com
Marketing & brand
28
FOURTH DIMENSION WEALTH, LLC changed its website from lakepointeadvisors.com to cleargoalfinancial.com. IAPD ↗
$356.4M RAUM · 11 reps · 440-664-4045 · cleargoalfinancial.com
Marketing & brand
28
TACTIVE ADVISORS, LLC changed its website from tactivewealth.com to jaaxfinancial.com. IAPD ↗
$619.0M RAUM · 14 reps · 855-282-2848 · jaaxfinancial.com
Marketing & brand
28
ACCELERATE RETIREMENT changed its website from tealretirement.com to alkemefinancial.com. IAPD ↗
$315.4M RAUM · 31 reps · 888-439-7071 · alkemefinancial.com
Marketing & brand
28
SAND CREEK CAPITAL, LLC changed its website from sandcreekcap.com to centennialwealthmanagement.com. IAPD ↗
$471.2M RAUM · 8 reps · 208-356-9022 · centennialwealthmanagement.com
Marketing & brand
28
LEE, KELLEHER & KLEIN WEALTH MANAGEMENT changed its website from lkwealthmanagement.com to lkkwealth.com. IAPD ↗
$252.4M RAUM · 3 reps · 301-450-2617 · lkkwealth.com
Marketing & brand
25
QUANTUM FINANCIAL PARTNERS LLC changed its website from qfp-llc.com to quantumfinancialpartners.com. IAPD ↗
$148.6M RAUM · 7 reps · 913-538-5753 · quantumfinancialpartners.com
Marketing & brand
25
TRANSGLOBAL ADVISORY, LLC changed its website from transglobaladvisory.com to transglobalus.com. IAPD ↗
$58.3M RAUM · 27 reps · 626-447-7888 · transglobalus.com
Marketing & brand
25
WEALTHYX changed its website from saveday.com to fatesfinancial.com. IAPD ↗
$750 RAUM · 1 reps · 973-271-6928 · fatesfinancial.com
Marketing & brand
25
ELEVATION ADVISORY PARTNERS LLC changed its website from harrisoncapitalmanagement.com to eap-advisors.com. IAPD ↗
$226.0M RAUM · 4 reps · 913-827-4588 · eap-advisors.com
Marketing & brand
25
UNITY WEALTH PARTNERS changed its website from nurtureplanning.com to unitywealthpartners.com. IAPD ↗
$7.1M RAUM · 2 reps · (949) 688-0928 · unitywealthpartners.com
Marketing & brand
25
DBA BIG MONEY RETIREMENT AND BIG RETIREMENT changed its website from retirerightuniversity.com to bigmoneyretirement.com. IAPD ↗
$147.1M RAUM · 9 reps · 864-920-3155 · bigmoneyretirement.com
Marketing & brand
25
TAILWINDS WEALTH, LLC changed its website from wilianfinancial.com to tailwindswealth.com. IAPD ↗
$192.7M RAUM · 7 reps · 651-243-0535 · tailwindswealth.com
Marketing & brand
25
AVISE FINANCIAL changed its website from primerosfinancial.com to equalisfinancial.com. IAPD ↗
$169.4M RAUM · 6 reps · 310-807-5778 · equalisfinancial.com
Marketing & brand
20
NOMURA ASSET MANAGEMENT U.S.A. INC. changed its website from nomura.com to nomura-asset.com. IAPD ↗institutional
$1.01B RAUM · 7 reps · (212) 667-1414 · nomura-asset.com
Marketing & brand
18
SLW INVESTMENT MANAGEMENT, LLC changed its website from wisdomfixedincome.com to slwinvest.com. IAPD ↗institutional
$464.2M RAUM · 2 reps · 214-871-5200 · slwinvest.com
Marketing & brand
15
MESIROW FINANCIAL PRIVATE EQUITY ADVISORS, INC. changed its website from mesirow.com to mesirowfinancial.com. IAPD ↗fund
$6.94B RAUM · 7 reps · 312-595-6000 · mesirowfinancial.com
Marketing & brand
15
VERGER CAPITAL MANAGEMENT changed its website from vergercapital.com to linked.in. IAPD ↗fund
$3.28B RAUM · 7 reps · 336-934-4101 · linked.in
Marketing & brand
15
WRONA INVESTMENT MANAGEMENT, LLC changed its website from onerockfund.com to truerockfund.com. IAPD ↗institutional
$34.1M RAUM · 2 reps · 910-603-9075 · truerockfund.com
Marketing & brand
13
ABR DYNAMIC FUNDS, LLC changed its website from abrfunds.com to abrdynamicfunds.com. IAPD ↗fund
$426.2M RAUM · 3 reps · 212-918-4664 · abrdynamicfunds.com
Marketing & brand
1
FUNDSMITH, LLP changed its website from fundsmith.us to fundsmith.mu. IAPD ↗foreign
$18.51B RAUM · 5 reps · 44 20 3551 6337 · fundsmith.mu
Marketing & brand
rename — 27 Primary business name changed: rebrand, merger, or ownership change.
60
HOWARD CAPITAL MANAGEMENT, INC. is now doing business as HOWARD CAPITAL MANAGEMENT, LLC. IAPD ↗
$8.01B RAUM · 10 reps · 770-642-4902 · howardcmetfs.com
Marketing & brandCRM
60
WELLSPRING FINANCIAL ADVISORS, LLC is now doing business as WELLSPRING FAMILY OFFICE. IAPD ↗
$5.06B RAUM · 11 reps · 216-367-0680 · wellspringadvisorsllc.com
Marketing & brandCRM
60
VECTOR WEALTH MANAGEMENT is now doing business as BLUESPRING WEALTH MANAGEMENT, LLC. IAPD ↗
$4.02B RAUM · 31 reps · 737-443-2122 · bluespringwealthcalifornia.com
Marketing & brandCRM
60
GRANITE BAY WEALTH MANAGEMENT, LLC is now doing business as ARCA WEALTH, LLC. IAPD ↗
$1.27B RAUM · 11 reps · 603-610-8881
Marketing & brandCRM
60
OBSIDIAN CIO, LLC is now doing business as OBSIDIAN CIO LLC. IAPD ↗
$1.28B RAUM · 4 reps · 917-403-2622 · obsidiancio.com
Marketing & brandCRM
58
MBI LLC is now doing business as COUNCILOR WEALTH LLC. IAPD ↗
$316.9M RAUM · 11 reps · (301) 986-0600 · cbmcpa.com
Marketing & brandCRM
58
INTEGRITY WEALTH ADVISORS, LLC is now doing business as INTEGRITY WEALTH ADVISORS, INC.. IAPD ↗
$285.5M RAUM · 3 reps · 805-339-0760 · iwaplan.com
Marketing & brandCRM
58
RESOLUTE CAPITAL, LLC is now doing business as TRUNORTH ADVISORS. IAPD ↗
$300.8M RAUM · 8 reps · (864) 800-1831
Marketing & brandCRM
58
LEE-KELLEHER WEALTH MANAGEMENT is now doing business as LEE, KELLEHER & KLEIN WEALTH MANAGEMENT. IAPD ↗
$252.4M RAUM · 3 reps · 301-450-2617 · lkkwealth.com
Marketing & brandCRM
55
SUMMIT PORTFOLIO MANAGEMENT LLC is now doing business as ADAPTIVE WEALTH ENGINEERING. IAPD ↗
$214.0M RAUM · 5 reps · 702 838 9999
Marketing & brandCRM
55
BURGESS INVESTMENT GROUP, LLC is now doing business as DBA BIG MONEY RETIREMENT AND BIG RETIREMENT. IAPD ↗
$147.1M RAUM · 9 reps · 864-920-3155 · bigmoneyretirement.com
Marketing & brandCRM
55
PECUSAVVY FINANCIAL, LLC is now doing business as PECUSAVVY FINANCIAL. IAPD ↗
$9.1M RAUM · 1 reps · (915) 944-1850 · pecusavvyfinancial.com
Marketing & brandCRM
55
BAY POINTE WEALTH, LLC is now doing business as BAY POINTE FINANCIAL. IAPD ↗
$0 RAUM · 2 reps · (586) 273-6007 X1
Marketing & brandCRM
55
OMAZ HOLDCO, LLC is now doing business as 345 INVESTMENT ADVISORY, LLC. IAPD ↗
$0 RAUM · 1 reps · (303) 887-8786
Marketing & brandCRM
55
SCWM, LLC is now doing business as SCHONFELD WEALTH MANAGEMENT, LLC. IAPD ↗
$0 RAUM · 2 reps · 718-963-9700 · schonfeldwm.com
Marketing & brandCRM
50
SECOR INVESTMENT MANAGEMENT, LP is now doing business as MERCER INVESTMENT SOLUTIONS LLC. IAPD ↗institutional
$2.17B RAUM · 21 reps · (212) 345-7000 · secor-am.com
Marketing & brandCRM
48
SANDIA INVESTMENT MANAGMENT LP is now doing business as SANDIA INVESTMENT MANAGEMENT LP. IAPD ↗institutional
$625.4M RAUM · 5 reps · (516) 946-8207 · sandialp.com
Marketing & brandCRM
48
VALKYRIE FUNDS LLC is now doing business as COINSHARES ASSET MANAGEMENT (US) LLC. IAPD ↗institutional
$251.9M RAUM · 1 reps · 218-255-9743 · coinshares.com
Marketing & brandCRM
48
WISDOM FIXED INCOME MANAGEMENT is now doing business as SLW INVESTMENT MANAGEMENT, LLC. IAPD ↗institutional
$464.2M RAUM · 2 reps · 214-871-5200 · slwinvest.com
Marketing & brandCRM
48
PLUM ISLAND PARTNERS LLC is now doing business as NEW HOLLAND TRADING LLC. IAPD ↗institutional
$550.0M RAUM · 8 reps · 212-600-9200
Marketing & brandCRM
45
AEA INVESTORS SBF LP is now doing business as AEA ENTERPRISE PARTNERS MANAGEMENT LP. IAPD ↗fund
$3.48B RAUM · 112 reps · 212-644-5900 · aeainvestors.com
Marketing & brandCRM
45
SCGE MANAGEMENT, L.P. is now doing business as SEQUOIA GLOBAL EQUITIES. IAPD ↗fund
$10.40B RAUM · 16 reps · 650-854-3927 · sequoiacap.com
Marketing & brandCRM
45
INTANDEM CAPITAL PARTNERS, LLC is now doing business as INTANDEM CAPITAL PARTNERS, LP. IAPD ↗fund
$2.68B RAUM · 27 reps · 646-930-1530 · intandemcapital.com
Marketing & brandCRM
45
FP STRATEGIES is now doing business as ROBOSTRATEGY ADVISORS. IAPD ↗institutional
$146.5M RAUM · 5 reps · 9298123667
Marketing & brandCRM
45
COMVEST PE ADVISORS, LLC is now doing business as CIP ADVISORS, LLC. IAPD ↗fund
$1.92B RAUM · 19 reps · 561-727-2000
Marketing & brandCRM
30
GCW GLOBAL CUSTOMISED WEALTH LLP is now doing business as GCW PARTNERS LLP. IAPD ↗foreign
$1.71B RAUM · 4 reps · +44 (0)203 961 0670
Marketing & brandCRM
28
KESTREL PARTNERS LLP ONLY I.E. NOT DIFFERENT is now doing business as KESTREL PARTNERS LLP. IAPD ↗foreign
$291.0M RAUM · 5 reps · +44 203 371 6100
Marketing & brandCRM
custody started — 26 Firm now reports custody of client assets — surprise exams and controls follow.
70
PRIME CAPITAL FINANCIAL now reports custody of client assets ($1.0M). IAPD ↗
$39.14B RAUM · 261 reps · (800) 493-6226
ComplianceCustodian
70
VISE AI ADVISORS now reports custody of client assets ($24.2M). IAPD ↗
$8.53B RAUM · 20 reps · 201-375-3969 · vise.com
ComplianceCustodian
68
LOTUSGROUP ADVISORS now reports custody of client assets ($12.2M). IAPD ↗
$286.0M RAUM · 7 reps · 720.593.9861 · lgadvisors.com
ComplianceCustodian
68
CERRO PACIFIC WEALTH ADVISORS, LLC now reports custody of client assets ($343.0M). IAPD ↗
$531.6M RAUM · 4 reps · 805-457-3300
ComplianceCustodian
68
TYLER STREET CAPITAL now reports custody of client assets ($310.1M). IAPD ↗
$491.5M RAUM · 1 reps · 508-648-4684
ComplianceCustodian
68
TAILORED WEALTH SOLUTIONS now reports custody of client assets ($53.5M). IAPD ↗
$271.8M RAUM · 4 reps · 518-583-4800 · tailoredwealthsolutions.com
ComplianceCustodian
68
UNION STRATEGIC ADVISORS now reports custody of client assets ($131.1M). IAPD ↗
$371.6M RAUM · 3 reps · 513-699-5200 · unionstrategic.com
ComplianceCustodian
68
MDT FINANCIAL ADVISORS, LLC now reports custody of client assets ($14.1M). IAPD ↗
$294.0M RAUM · 5 reps · 281-938-1111 · mdtfa.com
ComplianceCustodian
68
GIBERT WEALTH MANAGEMENT now reports custody of client assets ($23.9M). IAPD ↗
$316.0M RAUM · 1 reps · 7045755349 · gibertwealth.com
ComplianceCustodian
65
INTEGRITY WEALTH MANAGEMENT, LLC now reports custody of client assets ($16.7M). IAPD ↗
$111.1M RAUM · 3 reps · 513-289-2625 · iwmcfp.net
ComplianceCustodian
65
MONTGOMERY CAPITAL ADVISORS LLC now reports custody of client assets ($130.1M). IAPD ↗
$130.1M RAUM · 2 reps · 212-201-7911 · montcapital.net
ComplianceCustodian
65
SEABORN FINANCIAL, LLC now reports custody of client assets ($93.1M). IAPD ↗
$151.3M RAUM · 3 reps · 512-814-7258 · seabornfinancial.co
ComplianceCustodian
65
BRANDYWINE ASSET MANAGEMENT now reports custody of client assets ($11.0M). IAPD ↗
$156.0M RAUM · 1 reps · 610-361-1000
ComplianceCustodian
65
WEIGELFAM now reports custody of client assets ($38,400). IAPD ↗
$76.1M RAUM · 2 reps · 646-872-0632
ComplianceCustodian
65
PASSIVE MANAGEMENT LLC now reports custody of client assets ($22.6M). IAPD ↗
$22.6M RAUM · 2 reps · 2126181416
ComplianceCustodian
65
FUNDAMENTAL INVESTMENT SERVICES, LLC now reports custody of client assets ($12.2M). IAPD ↗
$12.2M RAUM · 2 reps · 1-917-495-9582 · myfundamental.net
ComplianceCustodian
65
ASA ASSET MANAGEMENT LLC now reports custody of client assets ($2.3M). IAPD ↗
$47.6M RAUM · 9 reps · 646-727-4576 · asa.com
ComplianceCustodian
65
COUNTRYSIDE FINANCIAL LLC now reports custody of client assets ($57.3M). IAPD ↗
$73.2M RAUM · 3 reps · 716-256-1330 · countrysidefinancialny.com
ComplianceCustodian
65
FORWARD WEALTH now reports custody of client assets ($51.1M). IAPD ↗
$111.1M RAUM · 8 reps · 303-708-1640 · fwd-wealth.com
ComplianceCustodian
65
ACORN ASSET MANAGEMENT LLC now reports custody of client assets ($6.6M). IAPD ↗
$6.6M RAUM · 1 reps · 609-455-1223 · acornassetmanagement.com
ComplianceCustodian
65
VERA LAKE CAPITAL, LLC now reports custody of client assets. IAPD ↗
$180.4M RAUM · 2 reps · 612-524-9165
ComplianceCustodian
55
BOW RIVER CAPITAL now reports custody of client assets ($8.39B). IAPD ↗fund
$4.20B RAUM · 36 reps · 303-861-8466 · bowriverevergreen.com
ComplianceCustodian
53
MACQUARIE ASSET MANAGEMENT CREDIT ADVISERS US, LLC now reports custody of client assets ($355.3M). IAPD ↗fund
$525.6M RAUM · 100 reps · 1 212 231-1000 · macquarie.com
ComplianceCustodian
53
ONE BOW RIVER ADVISERS, LLC. now reports custody of client assets ($1.05B). IAPD ↗fund
$525.9M RAUM · 9 reps · (303) 861-8466 · onebowriver.com
ComplianceCustodian
50
GRADIENT RIDGE CAPITAL, L.P. now reports custody of client assets ($92.0M). IAPD ↗fund
$231.8M RAUM · 4 reps · 732-616-3877
ComplianceCustodian
38
MARCHANT now reports custody of client assets ($245.1M). IAPD ↗foreign
$705.1M RAUM · 3 reps · +44 020 7002 7944
ComplianceCustodian
aum down — 18 Regulatory AUM down >=25% since last filing.
50
CERCANO MANAGEMENT LLC reported RAUM down 31% ($10.63B -> $7.28B). IAPD ↗
$7.28B RAUM · 25 reps · 425-371-7500 · cercanolp.com
M&A & valuationRecruiting & transitions
48
DESTINY WEALTH PARTNERS, LLC reported RAUM down 37% ($1.50B -> $947.3M). IAPD ↗
$947.3M RAUM · 11 reps · 352.343.2700
M&A & valuationRecruiting & transitions
45
WEALTHYX reported RAUM down 100% ($68.8M -> $750). IAPD ↗
$750 RAUM · 1 reps · 973-271-6928 · fatesfinancial.com
M&A & valuationRecruiting & transitions
45
FINANCIAL PLANNING SERVICES, INC. reported RAUM down 86% ($145.0M -> $20.0M). IAPD ↗
$20.0M RAUM · 1 reps · 954-526-8339
M&A & valuationRecruiting & transitions
35
TETRAGON PARTNERS L.P. reported RAUM down 50% ($12.89B -> $6.40B). IAPD ↗fund
$6.40B RAUM · 48 reps · 212-359-7300
M&A & valuationRecruiting & transitions
35
ACRUENCE CAPITAL, LLC reported RAUM down 67% ($112.9M -> $37.4M). IAPD ↗institutional
$37.4M RAUM · 1 reps · 833-653-6400 · acruence.com
M&A & valuationRecruiting & transitions
35
UNIFI ASSET MANAGEMENT LP reported RAUM down 41% ($4.30B -> $2.54B). IAPD ↗fund
$2.54B RAUM · 6 reps · 212-351-5601
M&A & valuationRecruiting & transitions
20
FUNDSMITH, LLP reported RAUM down 40% ($30.59B -> $18.51B). IAPD ↗foreign
$18.51B RAUM · 5 reps · 44 20 3551 6337 · fundsmith.mu
M&A & valuationRecruiting & transitions
20
FUNDSMITH INVESTMENT SERVICES LIMITED reported RAUM down 39% ($40.03B -> $24.58B). IAPD ↗foreign
$24.58B RAUM · 2 reps · 00 230 483 3015
M&A & valuationRecruiting & transitions
18
HIGHCLERE INTERNATIONAL INVESTORS reported RAUM down 42% ($1.28B -> $742.3M). IAPD ↗foreign
$742.3M RAUM · 7 reps · +44 207-258-9830 · highclereinvestors.com
M&A & valuationRecruiting & transitions
18
HERONBRIDGE reported RAUM down 31% ($1.35B -> $935.3M). IAPD ↗foreign
$935.3M RAUM · 4 reps · 011-441225 328300 · heronbridge.com
M&A & valuationRecruiting & transitions
18
KESTREL PARTNERS LLP reported RAUM down 27% ($399.7M -> $291.0M). IAPD ↗foreign
$291.0M RAUM · 5 reps · +44 203 371 6100
M&A & valuationRecruiting & transitions
18
TAVIRA FINANCIAL reported RAUM down 60% ($764.2M -> $305.9M). IAPD ↗foreign
$305.9M RAUM · 17 reps · 44 0207 100 5100
M&A & valuationRecruiting & transitions
18
BAYFOREST reported RAUM down 56% ($722.2M -> $318.1M). IAPD ↗foreign
$318.1M RAUM · 9 reps · +442039685227 · bayforest.ai
M&A & valuationRecruiting & transitions
18
MARCELLUS INVESTMENT MANAGERS PRIVATE LIMITED reported RAUM down 48% ($603.4M -> $315.2M). IAPD ↗foreign
$315.2M RAUM · 23 reps · 0806-9199-400 · marcellus-us.com
M&A & valuationRecruiting & transitions
15
OLD BRIDGE CAPITAL MANAGEMENT PRIVATE LIMITED reported RAUM down 26% ($301.6M -> $224.4M). IAPD ↗foreign
$224.4M RAUM · 3 reps · 91-22-69459999 · oldbridgecapital.com
M&A & valuationRecruiting & transitions
15
ATLAS SQUARE PARTNERS(HK) LIMITED reported RAUM down 100% ($158.6M -> $2). IAPD ↗foreign
$2 RAUM · 1 reps · +85266097626
M&A & valuationRecruiting & transitions
15
CHANAKYA CAPITAL PARTNERS IFSC LLP reported RAUM down 30% ($27.1M -> $19.0M). IAPD ↗foreign
$19.0M RAUM · 3 reps · 91-9428205544
M&A & valuationRecruiting & transitions
aum crossed 1b — 13 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
SB ADVISORY, LLC crossed $1B in regulatory AUM ($404.8M -> $1.10B). IAPD ↗
$1.10B RAUM · 30 reps · 404-704-0406 · pnwadvisory.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
MIRADOR CAPITAL PARTNERS crossed $1B in regulatory AUM ($934.3M -> $1.01B). IAPD ↗
$1.01B RAUM · 7 reps · 925-621-1000
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
ARCA WEALTH, LLC crossed $1B in regulatory AUM ($588.0M -> $1.27B). IAPD ↗
$1.27B RAUM · 11 reps · 603-610-8881
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
PARKWOODS WEALTH PARTNERS, LLC crossed $1B in regulatory AUM ($961.9M -> $1.79B). IAPD ↗
$1.79B RAUM · 21 reps · (877) 278-2716 · parkwoods.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
NOMURA ASSET MANAGEMENT U.S.A. INC. crossed $1B in regulatory AUM ($576.3M -> $1.01B). IAPD ↗institutional
$1.01B RAUM · 7 reps · (212) 667-1414 · nomura-asset.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
COLLER PRIVATE MARKET SECONDARIES ADVISORS, LLC crossed $1B in regulatory AUM ($594.2M -> $1.85B). IAPD ↗institutional
$1.85B RAUM · 0 reps · 212 644 8500 · pwss.collercapital.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
BAILLIE GIFFORD INTERNATIONAL LLC crossed $1B in regulatory AUM ($715.4M -> $1.81B). IAPD ↗fund
$1.81B RAUM · 3 reps · (212) 319 4633
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
FOREST ROAD ASSET MANAGEMENT LLC crossed $1B in regulatory AUM ($161.1M -> $1.16B). IAPD ↗fund
$1.16B RAUM · 7 reps · 302-265-0167
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
ASTARIS CAPITAL MANAGEMENT LLP crossed $1B in regulatory AUM ($789.8M -> $1.03B). IAPD ↗foreign
$1.03B RAUM · 5 reps · +44 20 7590 5400 · astaris.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
ANDA ASSET MANAGEMENT CO., LTD. crossed $1B in regulatory AUM ($650.0M -> $1.23B). IAPD ↗foreign
$1.23B RAUM · 23 reps · 822-2156-2800 · andaasset.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
PETRA CAPITAL MANAGEMENT, INC. crossed $1B in regulatory AUM ($747.6M -> $1.76B). IAPD ↗foreign
$1.76B RAUM · 8 reps · +82-2-3774-0978 · petracm.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
GCW PARTNERS LLP crossed $1B in regulatory AUM ($518.0M -> $1.71B). IAPD ↗foreign
$1.71B RAUM · 4 reps · +44 (0)203 961 0670
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
DECAGON ASSET MANAGEMENT LLP crossed $1B in regulatory AUM ($659.0M -> $1.03B). IAPD ↗foreign
$1.03B RAUM · 2 reps · 00442031482240
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
private funds started — 13 Firm reports private funds for the first time.
75
VISE AI ADVISORS now reports 1 private fund(s) ($24.2M gross). IAPD ↗
$8.53B RAUM · 20 reps · 201-375-3969 · vise.com
Fund administrationCompliance
70
GERVAIS CAPITAL MANAGEMENT, LLC now reports 1 private fund(s) ($739,752 gross). IAPD ↗
$155.9M RAUM · 1 reps · (914) 433-5223 · gervaiscapital.com
Fund administrationCompliance
70
PRIVATE FINANCIAL MANAGEMENT LLC now reports 2 private fund(s) ($1.9M gross). IAPD ↗
$158.7M RAUM · 1 reps · (925)254-3790 · privatefinancialmanagement.com
Fund administrationCompliance
70
ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM) now reports 1 private fund(s) ($1.1M gross). IAPD ↗
$224.4M RAUM · 4 reps · (310) 795-0622
Fund administrationCompliance
60
STEPSTONE PRIVATE WEALTH now reports 4 private fund(s) ($2.39B gross). IAPD ↗fund
$17.93B RAUM · 0 reps · 704-215-4300
Fund administrationCompliance
58
MACQUARIE ASSET MANAGEMENT CREDIT ADVISERS US, LLC now reports 3 private fund(s) ($355.3M gross). IAPD ↗fund
$525.6M RAUM · 100 reps · 1 212 231-1000 · macquarie.com
Fund administrationCompliance
55
REINOVA CAPITAL ADVISORS LLC now reports 1 private fund(s) ($175.0M gross). IAPD ↗fund
$175.0M RAUM · 3 reps · +1 917-623-6635
Fund administrationCompliance
55
GRADIENT RIDGE CAPITAL, L.P. now reports 1 private fund(s) ($46.0M gross). IAPD ↗fund
$231.8M RAUM · 4 reps · 732-616-3877
Fund administrationCompliance
45
QUANTUM ADVISORS PRIVATE LIMITED now reports 1 private fund(s) ($22.4M gross). IAPD ↗foreign
$1.75B RAUM · 20 reps · 91-22-61447900
Fund administrationCompliance
43
MARCHANT now reports 2 private fund(s) ($245.1M gross). IAPD ↗foreign
$705.1M RAUM · 3 reps · +44 020 7002 7944
Fund administrationCompliance
43
KARMA CAPITAL ADVISORS PVT LTD. now reports 1 private fund(s) ($18.6M gross). IAPD ↗foreign
$632.5M RAUM · 7 reps · +91 22 62327200 · karmacapital.co.in
Fund administrationCompliance
40
SARGASSO PARTNERS LLP now reports 1 private fund(s) ($20.0M gross). IAPD ↗foreign
$220.0M RAUM · 2 reps · +44 7900 501 478
Fund administrationCompliance
40
DT INVESTMENT MANAGEMENT IFSC LLP now reports 1 private fund(s) ($49.3M gross). IAPD ↗foreign
$192.3M RAUM · 4 reps · +91 96622 24602 · dt-fund.in
Fund administrationCompliance
aum crossed 500m — 8 Regulatory AUM crossed $500M.
70
CHELSEA MANAGEMENT COMPANY crossed $500M in regulatory AUM ($497.0M -> $517.0M). IAPD ↗
$517.0M RAUM · 3 reps · 213-362-9200
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
ORION INVESTMENT CO crossed $500M in regulatory AUM ($443.5M -> $515.4M). IAPD ↗
$515.4M RAUM · 3 reps · 314-725-3800 · orioninvestmentco.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
QUARTZ PARTNERS INVESTMENT MANAGEMENT crossed $500M in regulatory AUM ($397.8M -> $611.9M). IAPD ↗
$611.9M RAUM · 22 reps · 800-433-0422 · eticofinancial.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
CONSILIUM INVESTMENT MANAGEMENT LLC crossed $500M in regulatory AUM ($454.9M -> $540.6M). IAPD ↗fund
$540.6M RAUM · 13 reps · 954-315-9380
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
APAX PARTNERS US, LLC crossed $500M in regulatory AUM ($415.7M -> $768.3M). IAPD ↗fund
$768.3M RAUM · 86 reps · 212-753-6300
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
MACQUARIE ASSET MANAGEMENT CREDIT ADVISERS US, LLC crossed $500M in regulatory AUM ($201.0M -> $525.6M). IAPD ↗fund
$525.6M RAUM · 100 reps · 1 212 231-1000 · macquarie.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
NOMURA CAPITAL MANAGEMENT LLC crossed $500M in regulatory AUM ($384.1M -> $651.3M). IAPD ↗fund
$651.3M RAUM · 11 reps · 212-667-9996 · nomuracapitalmanagement.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
40
MARCHANT crossed $500M in regulatory AUM ($320.0M -> $705.1M). IAPD ↗foreign
$705.1M RAUM · 3 reps · +44 020 7002 7944
Portfolio / reporting / TAMPCRMIntegration & migration consulting
planning clients up — 6 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
75
QUANTUM FINANCIAL ADVISORS, LLC reports 251-500 financial-planning clients, up from 1-10. IAPD ↗
$1.48B RAUM · 11 reps · (424) 447-8268
Financial planning software
72
ARCA WEALTH, LLC reports 51-100 financial-planning clients, up from 0. IAPD ↗
$1.27B RAUM · 11 reps · 603-610-8881
Financial planning software
63
ARAX ADVISORY PARTNERS reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
$23.18B RAUM · 140 reps · 646-777-1823 · swsllc.com
Financial planning software
61
TYLER STREET CAPITAL reports 1-10 financial-planning clients, up from 0. IAPD ↗
$491.5M RAUM · 1 reps · 508-648-4684
Financial planning software
58
ADDICUS ADVISORY, LLC reports 26-50 financial-planning clients, up from 11-25. IAPD ↗
$221.7M RAUM · 21 reps · 877-294-8658 · addicusadvisors.com
Financial planning software
58
ALTAR ROCK reports 1-10 financial-planning clients, up from 0. IAPD ↗
$158.7M RAUM · 5 reps · (917) 226-0565
Financial planning software
wrap program started — 5 Firm began participating in a wrap-fee program (Item 5I(1)).
65
MEEDER PUBLIC FUNDS, INC. began participating in a wrap-fee program. IAPD ↗
$70.16B RAUM · 58 reps · 866-633-3371
Portfolio / reporting / TAMPCompliance
63
MATTSON FINANCIAL SERVICES, LLC began participating in a wrap-fee program. IAPD ↗
$515.0M RAUM · 9 reps · 800-536-8907
Portfolio / reporting / TAMPCompliance
60
INTEGRATED WEALTH ADVISORS, LLC began participating in a wrap-fee program. IAPD ↗
$122.4M RAUM · 2 reps · 425-818-0717 · integratedwa.com
Portfolio / reporting / TAMPCompliance
60
ACME JACK WEALTH MANAGEMENT began participating in a wrap-fee program. IAPD ↗
$178.0M RAUM · 1 reps · 330-909-1044
Portfolio / reporting / TAMPCompliance
60
COUNTRYSIDE FINANCIAL LLC began participating in a wrap-fee program. IAPD ↗
$73.2M RAUM · 3 reps · 716-256-1330 · countrysidefinancialny.com
Portfolio / reporting / TAMPCompliance
reorganization — 3 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
45
FFT WEALTH MANAGEMENT filed an Item 4A succession naming FFT WEALTH MANAGEMENT (CRD 151225) — an entity change, not a deal. IAPD ↗
$2.34B RAUM · 22 reps · 610-545-6100 · fftwealth.com
Integration & migration consultingCompliance
45
LGL PARTNERS, LLC filed an Item 4A succession naming LGL PARTNERS, LLC (CRD 289784) — an entity change, not a deal. IAPD ↗
$1.71B RAUM · 22 reps · 610-545-6100 · corient.com
Integration & migration consultingCompliance
35
MERCER INVESTMENT SOLUTIONS LLC filed an Item 4A succession naming SECOR INVESTMENT MANAGEMENT, LP (CRD 155919) — an entity change, not a deal. IAPD ↗institutional
$2.17B RAUM · 21 reps · (212) 345-7000 · secor-am.com
Integration & migration consultingCompliance
planning started — 2 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
75
FLFS ADVISORY LLC now offers financial planning (Item 5G(1)). IAPD ↗
$161.5M RAUM · 5 reps · 585-586-2600 · fingerlakesfinancialservicesinc.com
Financial planning softwareCRM
75
VERA LAKE CAPITAL, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$180.4M RAUM · 2 reps · 612-524-9165
Financial planning softwareCRM

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