← Tributary

What changed in the August 2026 SEC adviser roster

897 events across 784 firms · 696 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

275state expansion
159new registration
97new office
76deregistered
36disclosure added
35relocation
34website changed
31pending approved
27rename
26aum up
25headcount up
22custody started

Top 25 signals — US wealth firms

100
INGALLS INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $7.83B RAUM and 50 advisory reps. IAPD ↗
$7.83B RAUM · 50 reps · 2122697800 · ingalls.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
THIRD EYE CAPITAL MANAGEMENT, LLC (MIAMI BEACH, FL) is newly SEC-registered with $291.3M RAUM and 1 advisory reps. IAPD ↗
$291.3M RAUM · 1 reps · (732) 447-3019 · thirdeyecapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CHARBETH ADVISORY L.L.C. (location n/a) is newly SEC-registered with $370.0M RAUM and 1 advisory reps. IAPD ↗
$370.0M RAUM · 1 reps · 919-768-3474
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALADIN PARTNERS (HARTLAND, WI) is newly SEC-registered with $198.5M RAUM and 2 advisory reps. IAPD ↗
$198.5M RAUM · 2 reps · 414-367-4675 · paladinpartners.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WASHINGTON FINANCIAL GROUP, INC. (OSTERVILLE, MA) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 508-420-8341
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLLEEN WEBER CPA, LLC (CHANHASSEN, MN) is newly SEC-registered with $120.6M RAUM and 2 advisory reps. IAPD ↗
$120.6M RAUM · 2 reps · 952-470-0750 · colleenweber.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NCU INVESTMENT SOLUTIONS (SMITHFILED, RI) is newly SEC-registered with $107.6M RAUM and 6 advisory reps. IAPD ↗
$107.6M RAUM · 6 reps · 401-228-0100
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEFOCUS FINANCIAL ADVISORS, LLC (WALLA WALLA, WA) is newly SEC-registered with $103.5M RAUM and 2 advisory reps. IAPD ↗
$103.5M RAUM · 2 reps · 509-526-4521 · lifefocusadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE ADVISORY FIRM (ALPHARETTA, GA) is newly SEC-registered with $126.4M RAUM and 1 advisory reps. IAPD ↗
$126.4M RAUM · 1 reps · 678-566-3711 · theadvisoryfirm.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GFN CAPITAL MANAGEMENT (RICHARDSON, TX) is newly SEC-registered with $120.1M RAUM and 4 advisory reps. IAPD ↗
$120.1M RAUM · 4 reps · 972-385-0007 · glazerfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J.P. CAPITAL MANAGEMENT, INC. (EUGENE, OR) is newly SEC-registered with $166.6M RAUM and 1 advisory reps. IAPD ↗
$166.6M RAUM · 1 reps · 541-343-2064
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DC CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered with $107.0M RAUM and 1 advisory reps. IAPD ↗
$107.0M RAUM · 1 reps · 970-468-1339 · dc-cm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRG CAPITAL MANAGEMENT, INC. (RALEIGH, NC) is newly SEC-registered with $118.2M RAUM and 4 advisory reps. IAPD ↗
$118.2M RAUM · 4 reps · 919-239-4163 · trgcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MIDWAY CAPITAL RESEARCH & MANAGEMENT LLC (CHICAGO, IL) is newly SEC-registered with $110.4M RAUM and 2 advisory reps. IAPD ↗
$110.4M RAUM · 2 reps · (312) 445-8562 · midwaymgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MATHIES FINANCIAL PARTNERS (PUEBLO, CO) is newly SEC-registered with $104.0M RAUM and 4 advisory reps. IAPD ↗
$104.0M RAUM · 4 reps · 719-434-3939 · mathiesfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BAS CAPITAL (location n/a) is newly SEC-registered with $117.0M RAUM and 1 advisory reps. IAPD ↗
$117.0M RAUM · 1 reps · 901-486-9216
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
C.L. SHELDON & COMPANY, LLC (location n/a) is newly SEC-registered with $110.7M RAUM and 3 advisory reps. IAPD ↗
$110.7M RAUM · 3 reps · 703-542-4000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UNDERDOG WEALTH MANAGEMENT, LLC (MAPLE GROVE, MN) is newly SEC-registered with $111.9M RAUM and 2 advisory reps. IAPD ↗
$111.9M RAUM · 2 reps · 763-497-3000 · underdogwealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMMON CENTS WEALTH MANAGEMENT, LLC (PEMBROKE PINES, FL) is newly SEC-registered with $113.7M RAUM and 2 advisory reps. IAPD ↗
$113.7M RAUM · 2 reps · 954-769-0837 · cc-wealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLBURN WEALTH MANAGEMENT, LLC (GROVE CITY, OH) is newly SEC-registered with $116.2M RAUM and 3 advisory reps. IAPD ↗
$116.2M RAUM · 3 reps · 740.831.4004
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RIVERSTONE ASSET MANAGEMENT, LLC (LOUISVILLE, KY) is newly SEC-registered with $103.0M RAUM and 2 advisory reps. IAPD ↗
$103.0M RAUM · 2 reps · 502-882-5580
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STABILITY PARTNERS ADVISORY GROUP, LLC (SPRING, TX) is newly SEC-registered with $140.9M RAUM and 3 advisory reps. IAPD ↗
$140.9M RAUM · 3 reps · 832-559-8393 · stabilityfinancialtalk.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MINKO WEALTH (BROOKLYN, NY) is newly SEC-registered with $119.1M RAUM and 2 advisory reps. IAPD ↗
$119.1M RAUM · 2 reps · 718-748-1700 · minkowealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EGSI INVESTMENT MANAGEMENT (DUBLIN, OH) is newly SEC-registered with $144.7M RAUM and 4 advisory reps. IAPD ↗
$144.7M RAUM · 4 reps · 614-526-4118 · egsifinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JAYCO WEALTH MANAGEMENT (location n/a) is newly SEC-registered with $107.9M RAUM and 1 advisory reps. IAPD ↗
$107.9M RAUM · 1 reps · 404-731-7592
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 264 firms

100
INGALLS INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $7.83B RAUM and 50 advisory reps. IAPD ↗
$7.83B RAUM · 50 reps · 2122697800 · ingalls.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
THIRD EYE CAPITAL MANAGEMENT, LLC (MIAMI BEACH, FL) is newly SEC-registered with $291.3M RAUM and 1 advisory reps. IAPD ↗
$291.3M RAUM · 1 reps · (732) 447-3019 · thirdeyecapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CHARBETH ADVISORY L.L.C. (location n/a) is newly SEC-registered with $370.0M RAUM and 1 advisory reps. IAPD ↗
$370.0M RAUM · 1 reps · 919-768-3474
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALADIN PARTNERS (HARTLAND, WI) is newly SEC-registered with $198.5M RAUM and 2 advisory reps. IAPD ↗
$198.5M RAUM · 2 reps · 414-367-4675 · paladinpartners.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WASHINGTON FINANCIAL GROUP, INC. (OSTERVILLE, MA) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 508-420-8341
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLLEEN WEBER CPA, LLC (CHANHASSEN, MN) is newly SEC-registered with $120.6M RAUM and 2 advisory reps. IAPD ↗
$120.6M RAUM · 2 reps · 952-470-0750 · colleenweber.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NCU INVESTMENT SOLUTIONS (SMITHFILED, RI) is newly SEC-registered with $107.6M RAUM and 6 advisory reps. IAPD ↗
$107.6M RAUM · 6 reps · 401-228-0100
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEFOCUS FINANCIAL ADVISORS, LLC (WALLA WALLA, WA) is newly SEC-registered with $103.5M RAUM and 2 advisory reps. IAPD ↗
$103.5M RAUM · 2 reps · 509-526-4521 · lifefocusadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE ADVISORY FIRM (ALPHARETTA, GA) is newly SEC-registered with $126.4M RAUM and 1 advisory reps. IAPD ↗
$126.4M RAUM · 1 reps · 678-566-3711 · theadvisoryfirm.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GFN CAPITAL MANAGEMENT (RICHARDSON, TX) is newly SEC-registered with $120.1M RAUM and 4 advisory reps. IAPD ↗
$120.1M RAUM · 4 reps · 972-385-0007 · glazerfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 254 more in the CSV export.

Financial planning software 167 firms

100
INGALLS INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $7.83B RAUM and 50 advisory reps. IAPD ↗
$7.83B RAUM · 50 reps · 2122697800 · ingalls.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
THIRD EYE CAPITAL MANAGEMENT, LLC (MIAMI BEACH, FL) is newly SEC-registered with $291.3M RAUM and 1 advisory reps. IAPD ↗
$291.3M RAUM · 1 reps · (732) 447-3019 · thirdeyecapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CHARBETH ADVISORY L.L.C. (location n/a) is newly SEC-registered with $370.0M RAUM and 1 advisory reps. IAPD ↗
$370.0M RAUM · 1 reps · 919-768-3474
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALADIN PARTNERS (HARTLAND, WI) is newly SEC-registered with $198.5M RAUM and 2 advisory reps. IAPD ↗
$198.5M RAUM · 2 reps · 414-367-4675 · paladinpartners.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WASHINGTON FINANCIAL GROUP, INC. (OSTERVILLE, MA) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 508-420-8341
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLLEEN WEBER CPA, LLC (CHANHASSEN, MN) is newly SEC-registered with $120.6M RAUM and 2 advisory reps. IAPD ↗
$120.6M RAUM · 2 reps · 952-470-0750 · colleenweber.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NCU INVESTMENT SOLUTIONS (SMITHFILED, RI) is newly SEC-registered with $107.6M RAUM and 6 advisory reps. IAPD ↗
$107.6M RAUM · 6 reps · 401-228-0100
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEFOCUS FINANCIAL ADVISORS, LLC (WALLA WALLA, WA) is newly SEC-registered with $103.5M RAUM and 2 advisory reps. IAPD ↗
$103.5M RAUM · 2 reps · 509-526-4521 · lifefocusadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE ADVISORY FIRM (ALPHARETTA, GA) is newly SEC-registered with $126.4M RAUM and 1 advisory reps. IAPD ↗
$126.4M RAUM · 1 reps · 678-566-3711 · theadvisoryfirm.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GFN CAPITAL MANAGEMENT (RICHARDSON, TX) is newly SEC-registered with $120.1M RAUM and 4 advisory reps. IAPD ↗
$120.1M RAUM · 4 reps · 972-385-0007 · glazerfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 157 more in the CSV export.

Compliance 449 firms

100
INGALLS INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $7.83B RAUM and 50 advisory reps. IAPD ↗
$7.83B RAUM · 50 reps · 2122697800 · ingalls.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
THIRD EYE CAPITAL MANAGEMENT, LLC (MIAMI BEACH, FL) is newly SEC-registered with $291.3M RAUM and 1 advisory reps. IAPD ↗
$291.3M RAUM · 1 reps · (732) 447-3019 · thirdeyecapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CHARBETH ADVISORY L.L.C. (location n/a) is newly SEC-registered with $370.0M RAUM and 1 advisory reps. IAPD ↗
$370.0M RAUM · 1 reps · 919-768-3474
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALADIN PARTNERS (HARTLAND, WI) is newly SEC-registered with $198.5M RAUM and 2 advisory reps. IAPD ↗
$198.5M RAUM · 2 reps · 414-367-4675 · paladinpartners.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WASHINGTON FINANCIAL GROUP, INC. (OSTERVILLE, MA) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 508-420-8341
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLLEEN WEBER CPA, LLC (CHANHASSEN, MN) is newly SEC-registered with $120.6M RAUM and 2 advisory reps. IAPD ↗
$120.6M RAUM · 2 reps · 952-470-0750 · colleenweber.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NCU INVESTMENT SOLUTIONS (SMITHFILED, RI) is newly SEC-registered with $107.6M RAUM and 6 advisory reps. IAPD ↗
$107.6M RAUM · 6 reps · 401-228-0100
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEFOCUS FINANCIAL ADVISORS, LLC (WALLA WALLA, WA) is newly SEC-registered with $103.5M RAUM and 2 advisory reps. IAPD ↗
$103.5M RAUM · 2 reps · 509-526-4521 · lifefocusadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE ADVISORY FIRM (ALPHARETTA, GA) is newly SEC-registered with $126.4M RAUM and 1 advisory reps. IAPD ↗
$126.4M RAUM · 1 reps · 678-566-3711 · theadvisoryfirm.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GFN CAPITAL MANAGEMENT (RICHARDSON, TX) is newly SEC-registered with $120.1M RAUM and 4 advisory reps. IAPD ↗
$120.1M RAUM · 4 reps · 972-385-0007 · glazerfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 439 more in the CSV export.

Portfolio / reporting / TAMP 140 firms

100
INGALLS INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $7.83B RAUM and 50 advisory reps. IAPD ↗
$7.83B RAUM · 50 reps · 2122697800 · ingalls.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
THIRD EYE CAPITAL MANAGEMENT, LLC (MIAMI BEACH, FL) is newly SEC-registered with $291.3M RAUM and 1 advisory reps. IAPD ↗
$291.3M RAUM · 1 reps · (732) 447-3019 · thirdeyecapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CHARBETH ADVISORY L.L.C. (location n/a) is newly SEC-registered with $370.0M RAUM and 1 advisory reps. IAPD ↗
$370.0M RAUM · 1 reps · 919-768-3474
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALADIN PARTNERS (HARTLAND, WI) is newly SEC-registered with $198.5M RAUM and 2 advisory reps. IAPD ↗
$198.5M RAUM · 2 reps · 414-367-4675 · paladinpartners.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WASHINGTON FINANCIAL GROUP, INC. (OSTERVILLE, MA) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 508-420-8341
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLLEEN WEBER CPA, LLC (CHANHASSEN, MN) is newly SEC-registered with $120.6M RAUM and 2 advisory reps. IAPD ↗
$120.6M RAUM · 2 reps · 952-470-0750 · colleenweber.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NCU INVESTMENT SOLUTIONS (SMITHFILED, RI) is newly SEC-registered with $107.6M RAUM and 6 advisory reps. IAPD ↗
$107.6M RAUM · 6 reps · 401-228-0100
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEFOCUS FINANCIAL ADVISORS, LLC (WALLA WALLA, WA) is newly SEC-registered with $103.5M RAUM and 2 advisory reps. IAPD ↗
$103.5M RAUM · 2 reps · 509-526-4521 · lifefocusadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE ADVISORY FIRM (ALPHARETTA, GA) is newly SEC-registered with $126.4M RAUM and 1 advisory reps. IAPD ↗
$126.4M RAUM · 1 reps · 678-566-3711 · theadvisoryfirm.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GFN CAPITAL MANAGEMENT (RICHARDSON, TX) is newly SEC-registered with $120.1M RAUM and 4 advisory reps. IAPD ↗
$120.1M RAUM · 4 reps · 972-385-0007 · glazerfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 130 more in the CSV export.

Custodian 112 firms

100
INGALLS INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $7.83B RAUM and 50 advisory reps. IAPD ↗
$7.83B RAUM · 50 reps · 2122697800 · ingalls.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
THIRD EYE CAPITAL MANAGEMENT, LLC (MIAMI BEACH, FL) is newly SEC-registered with $291.3M RAUM and 1 advisory reps. IAPD ↗
$291.3M RAUM · 1 reps · (732) 447-3019 · thirdeyecapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CHARBETH ADVISORY L.L.C. (location n/a) is newly SEC-registered with $370.0M RAUM and 1 advisory reps. IAPD ↗
$370.0M RAUM · 1 reps · 919-768-3474
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALADIN PARTNERS (HARTLAND, WI) is newly SEC-registered with $198.5M RAUM and 2 advisory reps. IAPD ↗
$198.5M RAUM · 2 reps · 414-367-4675 · paladinpartners.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WASHINGTON FINANCIAL GROUP, INC. (OSTERVILLE, MA) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 508-420-8341
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLLEEN WEBER CPA, LLC (CHANHASSEN, MN) is newly SEC-registered with $120.6M RAUM and 2 advisory reps. IAPD ↗
$120.6M RAUM · 2 reps · 952-470-0750 · colleenweber.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NCU INVESTMENT SOLUTIONS (SMITHFILED, RI) is newly SEC-registered with $107.6M RAUM and 6 advisory reps. IAPD ↗
$107.6M RAUM · 6 reps · 401-228-0100
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEFOCUS FINANCIAL ADVISORS, LLC (WALLA WALLA, WA) is newly SEC-registered with $103.5M RAUM and 2 advisory reps. IAPD ↗
$103.5M RAUM · 2 reps · 509-526-4521 · lifefocusadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE ADVISORY FIRM (ALPHARETTA, GA) is newly SEC-registered with $126.4M RAUM and 1 advisory reps. IAPD ↗
$126.4M RAUM · 1 reps · 678-566-3711 · theadvisoryfirm.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GFN CAPITAL MANAGEMENT (RICHARDSON, TX) is newly SEC-registered with $120.1M RAUM and 4 advisory reps. IAPD ↗
$120.1M RAUM · 4 reps · 972-385-0007 · glazerfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 102 more in the CSV export.

Marketing & brand 444 firms

100
INGALLS INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $7.83B RAUM and 50 advisory reps. IAPD ↗
$7.83B RAUM · 50 reps · 2122697800 · ingalls.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
THIRD EYE CAPITAL MANAGEMENT, LLC (MIAMI BEACH, FL) is newly SEC-registered with $291.3M RAUM and 1 advisory reps. IAPD ↗
$291.3M RAUM · 1 reps · (732) 447-3019 · thirdeyecapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CHARBETH ADVISORY L.L.C. (location n/a) is newly SEC-registered with $370.0M RAUM and 1 advisory reps. IAPD ↗
$370.0M RAUM · 1 reps · 919-768-3474
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALADIN PARTNERS (HARTLAND, WI) is newly SEC-registered with $198.5M RAUM and 2 advisory reps. IAPD ↗
$198.5M RAUM · 2 reps · 414-367-4675 · paladinpartners.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WASHINGTON FINANCIAL GROUP, INC. (OSTERVILLE, MA) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 508-420-8341
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLLEEN WEBER CPA, LLC (CHANHASSEN, MN) is newly SEC-registered with $120.6M RAUM and 2 advisory reps. IAPD ↗
$120.6M RAUM · 2 reps · 952-470-0750 · colleenweber.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NCU INVESTMENT SOLUTIONS (SMITHFILED, RI) is newly SEC-registered with $107.6M RAUM and 6 advisory reps. IAPD ↗
$107.6M RAUM · 6 reps · 401-228-0100
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEFOCUS FINANCIAL ADVISORS, LLC (WALLA WALLA, WA) is newly SEC-registered with $103.5M RAUM and 2 advisory reps. IAPD ↗
$103.5M RAUM · 2 reps · 509-526-4521 · lifefocusadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE ADVISORY FIRM (ALPHARETTA, GA) is newly SEC-registered with $126.4M RAUM and 1 advisory reps. IAPD ↗
$126.4M RAUM · 1 reps · 678-566-3711 · theadvisoryfirm.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GFN CAPITAL MANAGEMENT (RICHARDSON, TX) is newly SEC-registered with $120.1M RAUM and 4 advisory reps. IAPD ↗
$120.1M RAUM · 4 reps · 972-385-0007 · glazerfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 434 more in the CSV export.

Recruiting & transitions 172 firms

85
CENTAURUS FINANCIAL, INC. grew from 375 to 426 advisory reps. IAPD ↗
$9.74B RAUM · 426 reps · 714-456-1790 · centaurusfinancial.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
MISSION WEALTH MANAGEMENT, LP grew from 117 to 135 advisory reps. IAPD ↗
$17.00B RAUM · 135 reps · 805-882-2360
CRMRecruiting & transitionsComplianceFinancial planning software
85
ARAX ADVISORY PARTNERS grew from 140 to 167 advisory reps. IAPD ↗
$26.52B RAUM · 167 reps · 646-777-1823 · swsllc.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
BLUESPRING WEALTH MANAGEMENT, LLC grew from 31 to 47 advisory reps. IAPD ↗
$5.43B RAUM · 47 reps · 737-443-2122 · bluespringwealthcalifornia.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
RFG ADVISORY, LLC grew from 162 to 178 advisory reps. IAPD ↗
$7.97B RAUM · 178 reps · 205-397-2450
CRMRecruiting & transitionsComplianceFinancial planning software
85
FACET grew from 55 to 77 advisory reps. IAPD ↗
$7.60B RAUM · 77 reps · (443)376-6222 · reddit.com
CRMRecruiting & transitionsComplianceFinancial planning software
81
BLUEPRINT FINANCIAL ADVISORS grew from 28 to 39 advisory reps. IAPD ↗
$1.41B RAUM · 39 reps · 844-200-2568 · komaracap.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
CITIZENS PRIVATE WEALTH grew from 204 to 214 advisory reps. IAPD ↗
$16.63B RAUM · 214 reps · 914-846-0100 · citizensbank.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
ETHOS FINANCIAL GROUP, LLC grew from 27 to 33 advisory reps. IAPD ↗
$2.14B RAUM · 33 reps · 610-822-5246
CRMRecruiting & transitionsComplianceFinancial planning software
74
DIGITAL ASCENSION GROUP - WEALTH grew from 17 to 23 advisory reps. IAPD ↗
$555.1M RAUM · 23 reps · 307-396-0295
CRMRecruiting & transitionsComplianceFinancial planning software

…and 162 more in the CSV export.

Integration & migration consulting 6 firms

93
ROSE CAPITAL ADVISORS, LLC filed an Item 4A succession naming PREMIA GLOBAL ADVISORS, LLC (CRD 282426) — one firm absorbed the other. IAPD ↗
$608.3M RAUM · 9 reps · 305-534-7673
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
85
RIVERBEND CAPITAL ADVISORS, LLC crossed $1B in regulatory AUM ($964.8M -> $1.10B). IAPD ↗
$1.10B RAUM · 3 reps · 312-948-5100 · riverbendcapitaladvisors.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
BLUEPRINT FINANCIAL ADVISORS crossed $1B in regulatory AUM ($966.6M -> $1.41B). IAPD ↗
$1.41B RAUM · 39 reps · 844-200-2568 · komaracap.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
AERIE ADVISORY GROUP LLC crossed $1B in regulatory AUM ($618.1M -> $2.52B). IAPD ↗
$2.52B RAUM · 5 reps · (253) 857-1616
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
SAGE TRADING COLLECTIVE crossed $1B in regulatory AUM ($505.0M -> $1.22B). IAPD ↗
$1.22B RAUM · 2 reps · 419-350-8981 · sagetradingcollective.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
MONETARY MANAGEMENT GROUP INC crossed $500M in regulatory AUM ($492.3M -> $583.8M). IAPD ↗
$583.8M RAUM · 5 reps · 314-909-0646 · monetarymanagementgroup.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting

Fund administration 3 firms

70
LEACH, BICKMORE & WEISS WEALTH MANAGEMENT, LLC now reports 1 private fund(s) ($0 gross). IAPD ↗
$115.3M RAUM · 1 reps · 608-286-1321
Fund administrationCompliance
70
ONE OAK now reports 1 private fund(s) ($1.1M gross). IAPD ↗
$110.4M RAUM · 3 reps · (302) 754-1625 · investonewell.com
Fund administrationCompliance
70
ARDEN GLOBAL FAMILY OFFICES now reports 2 private fund(s) ($8.7M gross). IAPD ↗
$146.0M RAUM · 2 reps · 650-808-0875
Fund administrationCompliance

Office IT & facilities 114 firms

55
BALDWIN WEALTH PARTNERS, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$2.33B RAUM · 14 reps · (508) 748-0800 · baldwinbrothersinc.com
Office IT & facilitiesCRMRecruiting & transitions
55
CLEARSTEAD; CLEARSTEAD ADVISORY SOLUTIONS added office(s): 8 -> 10 additional locations. IAPD ↗
$33.88B RAUM · 104 reps · 216-621-1090 · clearstead.com
Office IT & facilitiesCRMRecruiting & transitions
55
TIMUCUAN ASSET MANAGEMENT INC added office(s): 2 -> 3 additional locations. IAPD ↗
$3.81B RAUM · 4 reps · 904-356-1739 · timucuan.com
Office IT & facilitiesCRMRecruiting & transitions
55
FIRST FOUNDATION ADVISORS added office(s): 10 -> 11 additional locations. IAPD ↗
$5.06B RAUM · 28 reps · 949-476-0300
Office IT & facilitiesCRMRecruiting & transitions
55
F L PUTNAM INVESTMENT MANAGEMENT CO. added office(s): 13 -> 14 additional locations. IAPD ↗
$9.72B RAUM · 90 reps · 800-344-3435 · flputnam.com
Office IT & facilitiesCRMRecruiting & transitions
55
PLANCORP, LLC added office(s): 10 -> 11 additional locations. IAPD ↗
$9.94B RAUM · 51 reps · (636) 532-7824
Office IT & facilitiesCRMRecruiting & transitions
55
MATTER FAMILY OFFICE added office(s): 2 -> 3 additional locations. IAPD ↗
$3.81B RAUM · 40 reps · 314-862-5190 · matterfamilyoffice.com
Office IT & facilitiesCRMRecruiting & transitions
55
BRIGHTON JONES LLC added office(s): 31 -> 33 additional locations. IAPD ↗
$18.88B RAUM · 156 reps · 206-258-5000 · blueprintcap.com
Office IT & facilitiesCRMRecruiting & transitions
55
CPC ADVISORS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$1.68B RAUM · 17 reps · 404-879-3000
Office IT & facilitiesCRMRecruiting & transitions
55
THE WELCH GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$3.68B RAUM · 26 reps · 205-879-5001 · welchgroup.com
Office IT & facilitiesCRMRecruiting & transitions

…and 104 more in the CSV export.

M&A & valuation 61 firms

65
IWP WEALTH MANAGEMENT LLC (DENVER, CO) left the SEC roster (was $4.32B RAUM, 14 reps). IAPD ↗
$4.32B RAUM · 14 reps · 720-328-9700
Recruiting & transitionsM&A & valuation
65
D'ANNUNZIO CONSULTING GROUP, LLC (TACOMA, WA) left the SEC roster (was $1.90B RAUM, 2 reps). IAPD ↗
$1.90B RAUM · 2 reps · 253-272-1972 · dannunzioconsulting.com
Recruiting & transitionsM&A & valuation
65
WELLSPRING FINANCIAL PARTNERS (TUCSON, AZ) left the SEC roster (was $1.22B RAUM, 3 reps). IAPD ↗
$1.22B RAUM · 3 reps · 520-327-1019
Recruiting & transitionsM&A & valuation
65
VIVALDI CAPITAL MANAGEMENT LP (CHICAGO, IL) left the SEC roster (was $5.64B RAUM, 27 reps). IAPD ↗
$5.64B RAUM · 27 reps · 312.248.8300
Recruiting & transitionsM&A & valuation
63
OLSTEIN CAPITAL MANAGEMENT, L.P. (PURCHASE, NY) left the SEC roster (was $564.1M RAUM, 6 reps). IAPD ↗
$564.1M RAUM · 6 reps · 914-269-6100 · olsteinfunds.com
Recruiting & transitionsM&A & valuation
63
THE HOGAN-KNOTTS FINANCIAL GROUP, INC. (RED BANK, NJ) left the SEC roster (was $331.6M RAUM, 4 reps). IAPD ↗
$331.6M RAUM · 4 reps · 732-842-7400 · hkfg.biz
Recruiting & transitionsM&A & valuation
63
IMC ADVISORS, LLC (COLUMBUS, IN) left the SEC roster (was $540.0M RAUM, 3 reps). IAPD ↗
$540.0M RAUM · 3 reps · 812-376-3331 · imcadvisors.com
Recruiting & transitionsM&A & valuation
63
RESOURCE FINANCIAL GROUP, LTD. (WILMETTE, IL) left the SEC roster (was $637.4M RAUM, 2 reps). IAPD ↗
$637.4M RAUM · 2 reps · 847-256-7495 · rfgltd.com
Recruiting & transitionsM&A & valuation
63
NORTHSTAR FINANCIAL PLANNERS, INC. (PLANTATION, FL) left the SEC roster (was $311.6M RAUM, 4 reps). IAPD ↗
$311.6M RAUM · 4 reps · 954-693-0030
Recruiting & transitionsM&A & valuation
63
ALIGN IMPACT, LLC (DENVER, CO) left the SEC roster (was $715.4M RAUM, 11 reps). IAPD ↗
$715.4M RAUM · 11 reps · 805-243-8055
Recruiting & transitionsM&A & valuation

…and 51 more in the CSV export.

Everything else — all segments

state expansion — 275 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
PKS ADVISORY SERVICES, LLC notice-filed in AK, HI, IA, KS, KY, ME, MO, MT, ND, NE, NV, WY. IAPD ↗
$1.09B RAUM · 36 reps · (518) 426-5791 · woehlerfinancialgroup.com
ComplianceMarketing & brand
55
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC notice-filed in IN, KY, MI, MT, NC, NM. IAPD ↗
$9.55B RAUM · 7 reps · 800-458-6589 · stephensimg.com
ComplianceMarketing & brand
55
COASTAL BRIDGE ADVISORS notice-filed in AL, AR, DC, HI, ID, IN, KY, MI, MO, MS, MT, OH, UT. IAPD ↗
$5.02B RAUM · 25 reps · 203-683-1530 · focusfinancialpartners.com
ComplianceMarketing & brand
55
LEGACY FINANCIAL ADVISORS, INC. notice-filed in GA, LA, NY, OR, WA. IAPD ↗
$1.52B RAUM · 12 reps · 859-655-5225 · legacyfinancialadvisors.com
ComplianceMarketing & brand
55
EVERTERN WEALTH, LLC notice-filed in CO, IL, MA, MI, NH, NJ, NY, OH, WI. IAPD ↗
$1.56B RAUM · 2 reps · 239-508-7700 · everternwealth.com
ComplianceMarketing & brand
53
SECURA FINANCIAL notice-filed in AK, AZ, FL, NE, NH, NM, NV, NY, TX. IAPD ↗
$319.9M RAUM · 9 reps · 714-704-6616 · securawm.com
ComplianceMarketing & brand
53
TRAYNOR CAPITAL MANAGEMENT notice-filed in ME, MT, RI, WV. IAPD ↗
$2.42B RAUM · 6 reps · 610-993-9050 · traynorcapital.com
ComplianceMarketing & brand
53
GATEWAY INVESTMENT ADVISERS, LLC notice-filed in LA, MO, OR, VA. IAPD ↗
$11.59B RAUM · 10 reps · 513-719-1100
ComplianceMarketing & brand
53
TRINITY PORTFOLIO ADVISORS, LLC notice-filed in AZ, GA, KY, NE, NH. IAPD ↗
$530.5M RAUM · 9 reps · 817-416-7227 · trinityportfolio.com
ComplianceMarketing & brand
53
BLUESPRING WEALTH MANAGEMENT, LLC notice-filed in GA, MI, MO, NJ. IAPD ↗
$5.43B RAUM · 47 reps · 737-443-2122 · bluespringwealthcalifornia.com
ComplianceMarketing & brand
53
PROCYON notice-filed in IA, ID, NE, UT. IAPD ↗
$9.20B RAUM · 49 reps · (475) 232-2704
ComplianceMarketing & brand
53
KWB WEALTH notice-filed in OH, SC, TN, VA. IAPD ↗
$1.23B RAUM · 8 reps · 909-307-8220
ComplianceMarketing & brand
53
ASSET ONE WEALTH MANAGEMENT, LLC notice-filed in AK, AZ, CO, GA, HI, ID, LA, MD, MI, MO, NC, NH, NV, NY, TN, TX, VA. IAPD ↗
$982.5M RAUM · 9 reps · (425) 504-8200 · assetone.com
ComplianceMarketing & brand
53
15 WEALTH ADVISORS LLC notice-filed in IA, MN, MO, NC, NY, TN, VA. IAPD ↗
$481.5M RAUM · 12 reps · 847-735-7103 · 15wealth.com
ComplianceMarketing & brand
53
SAGE TRADING COLLECTIVE notice-filed in CA, MD, NJ, VA. IAPD ↗
$1.22B RAUM · 2 reps · 419-350-8981 · sagetradingcollective.com
ComplianceMarketing & brand
53
AUGUST WEALTH ADVISORS LLC notice-filed in LA, MA, NH, NJ, NY, TX. IAPD ↗
$436.6M RAUM · 4 reps · (800) 985-9477 · augustwealthadvisors.com
ComplianceMarketing & brand
51
BALLENTINE PARTNERS notice-filed in HI, MD, SC. IAPD ↗
$15.32B RAUM · 87 reps · 781-314-1300
ComplianceMarketing & brand
51
SUMMIT INVESTMENT ADVISORY SERVICES notice-filed in GA, IA, IL, OR. IAPD ↗
$745.8M RAUM · 8 reps · (651) 490-2939
ComplianceMarketing & brand
51
GIBBS WEALTH MANAGEMENT, LLC notice-filed in NH, WA, WY. IAPD ↗
$1.06B RAUM · 59 reps · 678-694-8770 · cosaintadvisors.com
ComplianceMarketing & brand
51
LAKE STREET notice-filed in MD, VA, WA. IAPD ↗
$1.16B RAUM · 6 reps · 312-766 7040 · clarity-fg.com
ComplianceMarketing & brand
51
BLUEPRINT FINANCIAL ADVISORS notice-filed in AK, WA, WY. IAPD ↗
$1.41B RAUM · 39 reps · 844-200-2568 · komaracap.com
ComplianceMarketing & brand
51
PARKWOODS WEALTH PARTNERS, LLC notice-filed in HI, ID, NJ. IAPD ↗
$1.79B RAUM · 21 reps · (877) 278-2716 · parkwoods.com
ComplianceMarketing & brand
51
SUMMIT WEALTH GROUP notice-filed in MT, NV, UT. IAPD ↗
$2.31B RAUM · 29 reps · 7196334033
ComplianceMarketing & brand
51
WOODLAND WEALTH PARTNERS notice-filed in FL, IL, MA, NY. IAPD ↗
$711.9M RAUM · 2 reps · 330-416-5509 · woodlandwealthpartners.com
ComplianceMarketing & brand
50
NINE30 ADVISORS LLC notice-filed in AL, CT, IN, KY, MA, MD, MN, MO, NC, NE, NJ, PA, SC, TN, WA. IAPD ↗
$654,553 RAUM · 2 reps · (650) 391-4391 · nine30.com
ComplianceMarketing & brand
50
ENRICH FINANCE LLC notice-filed in AZ, FL, IL, MA, MD, PA, TX, VA. IAPD ↗
$0 RAUM · 1 reps · 415-949-7080 · enrichfinance.com
ComplianceMarketing & brand
50
ALTRUIST ADVISORS LLC 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, PA, PR, RI, SC, SD, TN, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
$0 RAUM · 2 reps · 202 494 0435 · altruist.com
ComplianceMarketing & brand
50
TBG-BEDFORD GROUP LLC notice-filed in AR, AZ, CO, NC, VA. IAPD ↗
$0 RAUM · 9 reps · (314) 957-5737
ComplianceMarketing & brand
50
STACKSTONE WEALTH, LLC notice-filed in CO, FL, MN, MO, NE, NH, TX. IAPD ↗
$0 RAUM · 18 reps · 563-552-7000
ComplianceMarketing & brand
49
FRAZIER FINANCIAL ADVISORS, LLC notice-filed in GA, MO. IAPD ↗
$1.16B RAUM · 15 reps · 614-793-8297
ComplianceMarketing & brand
49
LASALLE ST. INVESTMENT ADVISORS, L.L.C. notice-filed in ND, SD. IAPD ↗
$5.74B RAUM · 146 reps · 630-600-0500
ComplianceMarketing & brand
49
DOCK STREET ASSET MANAGEMENT INC notice-filed in OH, PA. IAPD ↗
$1.11B RAUM · 4 reps · 203-532-9470 · dockstreet.com
ComplianceMarketing & brand
49
BURTON ENRIGHT WELCH notice-filed in GA, NV. IAPD ↗
$1.55B RAUM · 11 reps · (925) 932-8010 · bewinvest.com
ComplianceMarketing & brand
49
PATHWAY FINANCIAL ADVISORS, LLC notice-filed in AZ, NC. IAPD ↗
$1.65B RAUM · 7 reps · 802-660-7086
ComplianceMarketing & brand
49
CETERA PLANNING PARTNERS notice-filed in NM, RI. IAPD ↗
$4.16B RAUM · 33 reps · 913-498-8898
ComplianceMarketing & brand
49
CORE PLANNING notice-filed in HI, RI, WY. IAPD ↗
$525.0M RAUM · 61 reps · 636-734-7507 · flamesfp.com
ComplianceMarketing & brand
49
ASCENT WEALTH PARTNERS, LLC notice-filed in CT, LA. IAPD ↗
$1.52B RAUM · 15 reps · 315-624-7300 · ascentwealthpartners.com
ComplianceMarketing & brand
49
VAN CLEMENS WEALTH MANAGEMENT, LLC notice-filed in FL, IA, OH. IAPD ↗
$470.4M RAUM · 24 reps · 612-758-9140 · vanclemens.com
ComplianceMarketing & brand
49
MATTERN CAPITAL MANAGEMENT, LLC notice-filed in IL, NE. IAPD ↗
$1.07B RAUM · 7 reps · 720-710-2934
ComplianceMarketing & brand
49
JEPPSON WEALTH MANAGEMENT, LLC notice-filed in AL, NC, TN. IAPD ↗
$763.2M RAUM · 6 reps · 424-456-3111 · jeppson-wealth.com
ComplianceMarketing & brand
49
BELZBERG & CO. notice-filed in CA, TX. IAPD ↗
$2.33B RAUM · 14 reps · 212-390-9768
ComplianceMarketing & brand
49
ULLMANN WEALTH PARTNERS notice-filed in OH, PA. IAPD ↗
$1.25B RAUM · 7 reps · 904-280-3700 · ullmannwealthpartners.com
ComplianceMarketing & brand
49
AERIE ADVISORY GROUP LLC notice-filed in CA, TX. IAPD ↗
$2.52B RAUM · 5 reps · (253) 857-1616
ComplianceMarketing & brand
49
OPENARC CORPORATE ADVISORY, LLC notice-filed in ND, SD. IAPD ↗
$10.09B RAUM · 80 reps · 844-648-6001
ComplianceMarketing & brand
48
FRUITFUL notice-filed in AR, HI, IN, NV. IAPD ↗
$25.2M RAUM · 17 reps · 833-784-8050
ComplianceMarketing & brand
48
ATLAS notice-filed in KY, MD, NE, SC. IAPD ↗
$153.9M RAUM · 5 reps · 805-557-8713
ComplianceMarketing & brand
47
MOORS & CABOT, INC notice-filed in MS. IAPD ↗
$3.44B RAUM · 85 reps · 800-426-0501
ComplianceMarketing & brand
47
WEITZEL FINANCIAL SERVICES, INC. notice-filed in NE, SD. IAPD ↗
$327.8M RAUM · 4 reps · 563-583-6020 · weitzelfinancial.com
ComplianceMarketing & brand
47
PRIVATE MANAGEMENT GROUP INC notice-filed in MT. IAPD ↗
$4.90B RAUM · 21 reps · 949-752-7500 · privatemanagementgroup.com
ComplianceMarketing & brand
47
LEE FINANCIAL COMPANY, LLC notice-filed in AZ. IAPD ↗
$1.68B RAUM · 22 reps · 972-960-1001
ComplianceMarketing & brand
47
DAVID VAUGHAN INVESTMENTS, LLC notice-filed in KS. IAPD ↗
$5.33B RAUM · 48 reps · 309-685-0033
ComplianceMarketing & brand
47
DONALDSON CAPITAL MANAGEMENT LLC notice-filed in MA. IAPD ↗
$3.46B RAUM · 36 reps · 812-421-3211
ComplianceMarketing & brand
47
MATTER FAMILY OFFICE notice-filed in NC. IAPD ↗
$3.81B RAUM · 40 reps · 314-862-5190 · matterfamilyoffice.com
ComplianceMarketing & brand
47
SFMG WEALTH ADVISORS notice-filed in GA. IAPD ↗
$2.96B RAUM · 16 reps · 972-960-6460 · sfmg.com
ComplianceMarketing & brand
47
HANSON & DOREMUS INVESTMENT MANAGEMENT notice-filed in CT. IAPD ↗
$1.06B RAUM · 10 reps · 802-658-2668 · hansondoremus.com
ComplianceMarketing & brand
47
J. L. BAINBRIDGE & CO., INC. notice-filed in DE. IAPD ↗
$1.37B RAUM · 6 reps · 941-365-3435
ComplianceMarketing & brand
47
MANAGED ASSET PORTFOLIOS, LLC notice-filed in MT. IAPD ↗
$1.27B RAUM · 6 reps · 248-601-6677
ComplianceMarketing & brand
47
THE WELCH GROUP, LLC notice-filed in KY. IAPD ↗
$3.68B RAUM · 26 reps · 205-879-5001 · welchgroup.com
ComplianceMarketing & brand
47
ADVICEONE ADVISORY SERVICES, LLC notice-filed in ID. IAPD ↗
$2.05B RAUM · 14 reps · 860-659-4900
ComplianceMarketing & brand
47
IAS WEALTH MANAGEMENT, INC. notice-filed in CO, TN. IAPD ↗
$588.5M RAUM · 5 reps · 281-364-0606 · iaswealth.com
ComplianceMarketing & brand
47
MISSION WEALTH MANAGEMENT, LP notice-filed in AR. IAPD ↗
$17.00B RAUM · 135 reps · 805-882-2360
ComplianceMarketing & brand
47
JSF FINANCIAL, LLC notice-filed in OR. IAPD ↗
$1.97B RAUM · 13 reps · 323-866-0833 · jsffinancial.com
ComplianceMarketing & brand
47
MAROTTA WEALTH MANAGEMENT, INC. notice-filed in AZ, WI. IAPD ↗
$686.0M RAUM · 12 reps · 434-244-0000 · emarotta.com
ComplianceMarketing & brand
47
LUTZ FINANCIAL notice-filed in WA. IAPD ↗
$3.19B RAUM · 15 reps · 402-827-2300
ComplianceMarketing & brand
47
NADLER FINANCIAL GROUP, INC. notice-filed in GA. IAPD ↗
$2.18B RAUM · 18 reps · 847-940-4040 · nadlerfinancial.com
ComplianceMarketing & brand
47
RETIREMENT PLAN ADVISORS, LLC notice-filed in SC. IAPD ↗
$3.54B RAUM · 47 reps · 312-701-1100 · retirementplanadvisors.com
ComplianceMarketing & brand
47
HEDEKER WEALTH LLC notice-filed in IN, PA. IAPD ↗
$595.1M RAUM · 2 reps · 847-913-5594
ComplianceMarketing & brand
47
ABACUS WEALTH PARTNERS notice-filed in MN. IAPD ↗
$3.58B RAUM · 37 reps · 888-422-2287 · doneby60.com
ComplianceMarketing & brand
47
WATTS GWILLIAM & COMPANY, LLC notice-filed in TN. IAPD ↗
$1.03B RAUM · 6 reps · 480-889-8998 · wattsgwilliam.com
ComplianceMarketing & brand
47
CENTRIC WEALTH MANAGEMENT, LLC notice-filed in MA, WA. IAPD ↗
$792.9M RAUM · 8 reps · 312-429-6100 · faroadvisory.com
ComplianceMarketing & brand
47
HAMMOND ILES WEALTH ADVISORS notice-filed in MD, NJ. IAPD ↗
$474.9M RAUM · 5 reps · 860-258-2600
ComplianceMarketing & brand
47
PINNACLE INVESTMENTS, LLC notice-filed in MT. IAPD ↗
$1.29B RAUM · 55 reps · 315-251-1101
ComplianceMarketing & brand
47
JAFFE TILCHIN INVESTMENT PARTNERS, LLC notice-filed in AZ. IAPD ↗
$2.45B RAUM · 36 reps · 813-963-2500 · jaffetilchin.com
ComplianceMarketing & brand
47
HARVEST FINANCIAL ADVISORS, LLC notice-filed in CA, TN. IAPD ↗
$671.0M RAUM · 5 reps · 513-779-3030 · harvestadvisors.com
ComplianceMarketing & brand
47
KEENER FINANCIAL PLANNING notice-filed in MO, NE. IAPD ↗
$479.0M RAUM · 10 reps · 817-993-0401 · keenerfinancialplanning.com
ComplianceMarketing & brand
47
NORTHWEST WEALTH MANAGEMENT, LLC notice-filed in WI. IAPD ↗
$1.03B RAUM · 14 reps · 877-207-0994
ComplianceMarketing & brand
47
RED DOOR WEALTH MANAGEMENT, LLC notice-filed in MN. IAPD ↗
$3.09B RAUM · 10 reps · 901-681-0018
ComplianceMarketing & brand
47
MOUNTAIN CAPITAL INVESTMENT ADVISORS INC notice-filed in AL, SD. IAPD ↗
$929.1M RAUM · 15 reps · 720-500-0050 · mountaincapital.us
ComplianceMarketing & brand
47
REBALANCE LLC notice-filed in UT. IAPD ↗
$1.93B RAUM · 7 reps · 650-396-3900
ComplianceMarketing & brand
47
OAK CITY INVESTMENT CONSULTING notice-filed in LA. IAPD ↗
$1.43B RAUM · 3 reps · 919-844-6450 · oakcityinvestmentconsulting.com
ComplianceMarketing & brand
47
B.O.S.S. RETIREMENT ADVISORS, LLC notice-filed in TN. IAPD ↗
$1.38B RAUM · 49 reps · 801-990-5055
ComplianceMarketing & brand
47
SUMMIT FINANCIAL WEALTH ADVISORS notice-filed in NC. IAPD ↗
$1.80B RAUM · 17 reps · 337-232-1141
ComplianceMarketing & brand
47
LINEWEAVER WEALTH ADVISORS notice-filed in NH. IAPD ↗
$1.08B RAUM · 7 reps · 216-520-1711 · ohioretire.com
ComplianceMarketing & brand
47
ALPHACORE CAPITAL LLC notice-filed in MO. IAPD ↗
$9.03B RAUM · 69 reps · 858-875-4100 · alphacore.com
ComplianceMarketing & brand
47
AERODIGM WEALTH LLC notice-filed in FL. IAPD ↗
$1.46B RAUM · 5 reps · (503) 697-4118 · delapwa.com
ComplianceMarketing & brand
47
AE WEALTH MANAGEMENT, LLC notice-filed in PR. IAPD ↗
$49.84B RAUM · 448 reps · 866-363-9595
ComplianceMarketing & brand
47
VESTWELL ADVISORS LLC notice-filed in CO. IAPD ↗
$1.03B RAUM · 30 reps · 917-979-5358
ComplianceMarketing & brand
47
MERIDIAN WEALTH PARTNERS, LLC notice-filed in NH. IAPD ↗
$1.37B RAUM · 11 reps · 610-272-4700
ComplianceMarketing & brand
47
CAPITA FINANCIAL NETWORK, LLC notice-filed in KY. IAPD ↗
$2.32B RAUM · 22 reps · 801-566-5058
ComplianceMarketing & brand
47
TEAM HEWINS, LLC notice-filed in NC. IAPD ↗
$3.97B RAUM · 21 reps · 650-620-3040
ComplianceMarketing & brand
47
SALOMON AND LUDWIN notice-filed in SC. IAPD ↗
$1.34B RAUM · 6 reps · 804-592-4999
ComplianceMarketing & brand
47
PASADENA PRIVATE WEALTH, LLC notice-filed in FL. IAPD ↗
$1.62B RAUM · 8 reps · 626-993-9300 · pasadenaprivatewealth.com
ComplianceMarketing & brand
47
BRANDYWINE OAK PRIVATE WEALTH LLC notice-filed in RI. IAPD ↗
$1.57B RAUM · 10 reps · (484) 785-0050
ComplianceMarketing & brand
47
ACCURATE WEALTH MANAGEMENT, LLC notice-filed in WV. IAPD ↗
$1.71B RAUM · 47 reps · 813-994-0984 · providentwealthllc.com
ComplianceMarketing & brand
47
PALLAS CAPITAL ADVISORS, LLC notice-filed in NE. IAPD ↗
$4.31B RAUM · 23 reps · (781) 971-5052 · pallascapitaladvisors.com
ComplianceMarketing & brand
47
CONFLUENCE FINANCIAL PARTNERS notice-filed in ME. IAPD ↗
$6.84B RAUM · 38 reps · 724-271-8801 · confluencefp.com
ComplianceMarketing & brand
47
VESTGEN ADVISORS, LLC notice-filed in MT. IAPD ↗
$6.67B RAUM · 58 reps · 312-237-4446 · vestgen.com
ComplianceMarketing & brand
47
GOLDSTEIN ADVISORS, LLC notice-filed in NE. IAPD ↗
$1.08B RAUM · 10 reps · 608-831-3230
ComplianceMarketing & brand
47
SYNTEGRA PRIVATE WEALTH GROUP LLC notice-filed in MA. IAPD ↗
$1.39B RAUM · 13 reps · 314-802-7232
ComplianceMarketing & brand
47
UPTICK PARTNERS, LLC notice-filed in IN. IAPD ↗
$1.06B RAUM · 25 reps · (936) 800-0800
ComplianceMarketing & brand
47
MODERN WEALTH MANAGEMENT, LLC notice-filed in PR. IAPD ↗
$10.90B RAUM · 102 reps · 913-393-1000 · cjis.online
ComplianceMarketing & brand
47
ROSSBY FINANCIAL, LLC notice-filed in TN, VT. IAPD ↗
$854.8M RAUM · 2 reps · 321-209-0111
ComplianceMarketing & brand
47
COREVISION FINANCIAL GROUP notice-filed in LA. IAPD ↗
$1.15B RAUM · 6 reps · 317-398-8200
ComplianceMarketing & brand
47
TRIAD WEALTH PARTNERS, LLC notice-filed in OK. IAPD ↗
$1.53B RAUM · 33 reps · 785-830-0000 · vwpwealth.com
ComplianceMarketing & brand
47
KAUFMAN HALL INVESTMENT MANAGEMENT notice-filed in DE. IAPD ↗
$2.82B RAUM · 7 reps · 224-7243809 · khim.com
ComplianceMarketing & brand
47
BLUE SKY CAPITAL CONSULTANTS GROUP, INC. notice-filed in CO, VA. IAPD ↗
$306.3M RAUM · 7 reps · 858-513-8445
ComplianceMarketing & brand
47
DIVERSIFIED, LLC notice-filed in VT. IAPD ↗
$2.79B RAUM · 34 reps · 302-765-3500
ComplianceMarketing & brand
47
BEARING POINT CAPITAL notice-filed in NH. IAPD ↗
$1.11B RAUM · 4 reps · 952-800-6301 · bearingpointcap.com
ComplianceMarketing & brand
47
BASECAMP WEALTH ADVISORS, LLC notice-filed in ID. IAPD ↗
$1.08B RAUM · 4 reps · 425-553-0031 · basecampwealthadvisors.com
ComplianceMarketing & brand
47
VANTUS WEALTH notice-filed in IL, SC. IAPD ↗
$439.8M RAUM · 5 reps · 844-682-6887
ComplianceMarketing & brand
47
TRINITY STRATEGIC WEALTH notice-filed in VA. IAPD ↗
$1.54B RAUM · 16 reps · 918-492-2150 · trinitystrategicwealth.com
ComplianceMarketing & brand
46
DIVERSIFIED PLANNING STRATEGIES ADVISORS LLC notice-filed in FL, NY, PA. IAPD ↗
$154.4M RAUM · 4 reps · 973-226-6000
ComplianceMarketing & brand
46
VERITAS WEALTH MANAGEMENT notice-filed in FL, MA, TX. IAPD ↗
$0 RAUM · 2 reps · (401) 296-3606 · veritaswealthri.com
ComplianceMarketing & brand
46
SCHEELER FINANCIAL GROUP notice-filed in FL, KY, TX. IAPD ↗
$0 RAUM · 2 reps · 513-939-5164 · scheelerfinancialgroup.com
ComplianceMarketing & brand
45
CORNERSTONE WEALTH MANAGEMENT notice-filed in AZ. IAPD ↗
$628.7M RAUM · 4 reps · 440-899-4000 · fee-onlyadvisor.com
ComplianceMarketing & brand
45
GRANT STREET ASSET MANAGEMENT INC notice-filed in AR. IAPD ↗
$768.9M RAUM · 6 reps · 412-257-8060
ComplianceMarketing & brand
45
DHJJ FINANCIAL ADVISORS notice-filed in CA. IAPD ↗
$623.4M RAUM · 8 reps · 630-420-1360 · dhjjfinancial.com
ComplianceMarketing & brand
45
REDW WEALTH LLC notice-filed in SC. IAPD ↗
$869.2M RAUM · 9 reps · 505-998-3200
ComplianceMarketing & brand
45
REZNY WEALTH MANAGEMENT, INC. notice-filed in NC. IAPD ↗
$576.0M RAUM · 2 reps · 800-618-8577 · reznywealth.com
ComplianceMarketing & brand
45
EVANS CAPITAL MANAGEMENT ASSOCIATES notice-filed in IL. IAPD ↗
$682.6M RAUM · 3 reps · 425-455-0501 · rlevansco.com
ComplianceMarketing & brand
45
THE WEALTH CONSERVANCY, INC. notice-filed in CA. IAPD ↗
$260.0M RAUM · 3 reps · 303-444-1919
ComplianceMarketing & brand
45
THE CAPITAL MANAGEMENT CORPORATION notice-filed in MD. IAPD ↗
$825.6M RAUM · 7 reps · 804-270-4000 · cmcva.com
ComplianceMarketing & brand
45
ASTORIA STRATEGIC WEALTH, INC. notice-filed in CA. IAPD ↗
$482.5M RAUM · 7 reps · 888.321.7374
ComplianceMarketing & brand
45
HEFFERNAN ADVISORY, INC. notice-filed in WA. IAPD ↗
$409.6M RAUM · 5 reps · 928-774-9598
ComplianceMarketing & brand
45
MENGIS CAPITAL MANAGEMENT, INC. notice-filed in NH. IAPD ↗
$903.5M RAUM · 6 reps · 503-916-0776 · mengiscapital.com
ComplianceMarketing & brand
45
STRATEGIC WEALTH MANAGEMENT GROUP notice-filed in LA. IAPD ↗
$832.9M RAUM · 5 reps · 212-489-0100 · swmgrp.com
ComplianceMarketing & brand
45
FINER WEALTH MANAGEMENT, INC. notice-filed in CO. IAPD ↗
$305.8M RAUM · 2 reps · 978-740-1011 · finer.com
ComplianceMarketing & brand
45
WILSEY ASSET MANAGEMENT INCORPORATED notice-filed in GA. IAPD ↗
$768.5M RAUM · 2 reps · 858-224-0004
ComplianceMarketing & brand
45
SENESCHAL FAMILY OFFICE notice-filed in AZ. IAPD ↗
$301.3M RAUM · 3 reps · (253) 460-3430 · seneschalfamilyoffice.com
ComplianceMarketing & brand
45
BOYLE CAPITAL notice-filed in IL. IAPD ↗
$342.0M RAUM · 4 reps · 515-327-1870
ComplianceMarketing & brand
45
STONE HOUSE INVESTMENT MANAGEMENT, LLC notice-filed in IL. IAPD ↗
$841.7M RAUM · 17 reps · (570) 836-7020
ComplianceMarketing & brand
45
TOTAL CLARITY WEALTH MANAGEMENT, INC notice-filed in VA. IAPD ↗
$755.4M RAUM · 20 reps · 630-762-9352
ComplianceMarketing & brand
45
SGL INVESTMENT ADVISORS, INC. notice-filed in WY. IAPD ↗
$391.6M RAUM · 6 reps · 406-721-0999 · sglinvestmentadvisors.com
ComplianceMarketing & brand
45
WOMACK WEALTH MANAGEMENT, INC. notice-filed in OR. IAPD ↗
$406.9M RAUM · 7 reps · 310-684-3868 · womackwealthmanagement.com
ComplianceMarketing & brand
45
GUIDESTREAM FINANCIAL, INC. notice-filed in VA. IAPD ↗
$263.5M RAUM · 5 reps · (517) 750-2727 · guidestreamfinancial.com
ComplianceMarketing & brand
45
BLUEPRINT INVESTING LLC notice-filed in MT. IAPD ↗
$436.3M RAUM · 2 reps · 415-963-9815 · blueprintinvest.com
ComplianceMarketing & brand
45
BALLAST, INC. notice-filed in VA. IAPD ↗
$751.5M RAUM · 8 reps · 859-226-0625 · ballastplan.com
ComplianceMarketing & brand
45
HARDIN CAPITAL PARTNERS, LLC notice-filed in GA. IAPD ↗
$447.8M RAUM · 1 reps · 864-252-4200 · hardincapitalpartners.com
ComplianceMarketing & brand
45
TILIA FIDUCIARY PARTNERS, INC. notice-filed in CA. IAPD ↗
$403.7M RAUM · 6 reps · 910-679-4093 · tiliapartners.com
ComplianceMarketing & brand
45
BLUE WATER WEALTH notice-filed in NV. IAPD ↗
$472.8M RAUM · 12 reps · 503-296-8700 · bluewaterwealth.com
ComplianceMarketing & brand
45
HC ADVISORS LLC notice-filed in NC. IAPD ↗
$500.2M RAUM · 6 reps · 404-705-4593 · hc-adv.com
ComplianceMarketing & brand
45
SWMG, LLC notice-filed in CA. IAPD ↗
$430.4M RAUM · 5 reps · 817-210-3444
ComplianceMarketing & brand
45
KOTYS WEALTH PROFESSIONALS notice-filed in FL. IAPD ↗
$308.0M RAUM · 4 reps · 219-465-6924 · kotyswealthpro.com
ComplianceMarketing & brand
45
JIM SAULNIER & ASSOCIATES, LLC notice-filed in IA. IAPD ↗
$286.4M RAUM · 3 reps · 970-530-0556 · jimhelps.com
ComplianceMarketing & brand
45
WRENNE FINANCIAL PLANNING LLC notice-filed in NV. IAPD ↗
$297.9M RAUM · 6 reps · 859-538-6044
ComplianceMarketing & brand
45
HUGHES FINANCIAL SERVICES, LLC notice-filed in LA. IAPD ↗
$759.8M RAUM · 6 reps · 703-669-3660 · h4fs.com
ComplianceMarketing & brand
45
STABLEFORD CAPITAL LLC notice-filed in WI. IAPD ↗
$305.3M RAUM · 3 reps · 480-493-2300 · stablefordcapital.com
ComplianceMarketing & brand
45
RUBICON ADVISORS notice-filed in FL. IAPD ↗
$420.7M RAUM · 19 reps · 530-223-5357
ComplianceMarketing & brand
45
EQUITA FINANCIAL NETWORK, INC. notice-filed in NJ. IAPD ↗
$391.0M RAUM · 15 reps · 800.604.0176
ComplianceMarketing & brand
45
ALTMAN ADVISORS notice-filed in GA. IAPD ↗
$483.4M RAUM · 7 reps · (312) 759-7801 · altmanadvisors.com
ComplianceMarketing & brand
45
CURRAN FINANCIAL PARTNERS, LLC notice-filed in NJ. IAPD ↗
$749.4M RAUM · 10 reps · (843) 300-1182
ComplianceMarketing & brand
45
CLEVELAND WEALTH, LLC notice-filed in LA. IAPD ↗
$506.6M RAUM · 3 reps · (216) 810-5900
ComplianceMarketing & brand
45
HURLOW WEALTH MANAGEMENT GROUP, INC. notice-filed in IL. IAPD ↗
$794.4M RAUM · 10 reps · (812) 333-4726 · hurlowwealth.com
ComplianceMarketing & brand
45
RUNNING OAK CAPITAL LLC notice-filed in ME. IAPD ↗
$874.7M RAUM · 2 reps · 919-656-3712 · runningoak.com
ComplianceMarketing & brand
45
ALL TERRAIN FINANCIAL ADVISORS notice-filed in CO. IAPD ↗
$379.2M RAUM · 4 reps · 612-216-3501 · alltfa.com
ComplianceMarketing & brand
45
ALLIUM FINANCIAL ADVISORS, LLC notice-filed in GA. IAPD ↗
$733.5M RAUM · 4 reps · 877-487-6860 · alliumfinancial.com
ComplianceMarketing & brand
45
ROYAL OAK FINANCIAL ADVISORS, LLC notice-filed in OH. IAPD ↗
$366.1M RAUM · 7 reps · 248-709-6134
ComplianceMarketing & brand
45
CHICORY WEALTH notice-filed in CT. IAPD ↗
$840.4M RAUM · 12 reps · (404) 294-5917
ComplianceMarketing & brand
45
THE DALA GROUP, LLC notice-filed in TN. IAPD ↗
$265.2M RAUM · 7 reps · 847-485-0248
ComplianceMarketing & brand
45
TANDEM FINANCIAL, LLC notice-filed in NM. IAPD ↗
$541.8M RAUM · 6 reps · (720) 845-5700 · tandem-financial.com
ComplianceMarketing & brand
45
FINANCIAL TRANSPARENCY notice-filed in WA. IAPD ↗
$322.3M RAUM · 16 reps · (336) 715-3300 · financialtransparencyllc.com
ComplianceMarketing & brand
45
HOWARD WEALTH MANAGEMENT, LLC notice-filed in NC. IAPD ↗
$397.0M RAUM · 2 reps · 203-421-8339
ComplianceMarketing & brand
45
OPTIVISE ADVISORY SERVICES LLC notice-filed in WA. IAPD ↗
$287.9M RAUM · 22 reps · 855-378-1806 · optiviseria.com
ComplianceMarketing & brand
45
KAUFMAN ROSSIN WEALTH, LLC notice-filed in NY. IAPD ↗
$506.7M RAUM · 7 reps · 305-646-6071 · kaufmanrossinwealth.com
ComplianceMarketing & brand
45
TRUNORTH ADVISORS notice-filed in NY. IAPD ↗
$300.8M RAUM · 8 reps · (864) 800-1831
ComplianceMarketing & brand
45
LEGACY WEALTH MANAGEMENT, LLC notice-filed in FL. IAPD ↗
$458.6M RAUM · 3 reps · 601-499-1970 · mylegacy.ms
ComplianceMarketing & brand
45
CANVAS WEALTH ADVISORS, LLC notice-filed in FL. IAPD ↗
$929.2M RAUM · 10 reps · 913-991-8471 · canvaswealthadvisors.com
ComplianceMarketing & brand
45
CMG WEALTH MANAGEMENT notice-filed in GA. IAPD ↗
$379.4M RAUM · 5 reps · 469-729-7084
ComplianceMarketing & brand
45
RETIRE AGILE notice-filed in NC. IAPD ↗
$433.7M RAUM · 5 reps · 218-336-2506
ComplianceMarketing & brand
45
ATLANTIC PRIVATE WEALTH, LLC notice-filed in MD. IAPD ↗
$894.0M RAUM · 4 reps · 919-968-2977 · atlanticpwa.com
ComplianceMarketing & brand
45
COGENTBLUE notice-filed in PA. IAPD ↗
$606.0M RAUM · 4 reps · 865-309-5892 · cogentbluewealth.com
ComplianceMarketing & brand
45
POWER WEALTH MANAGEMENT notice-filed in NE. IAPD ↗
$429.9M RAUM · 6 reps · 404-889-8919
ComplianceMarketing & brand
45
WEST WEALTH GROUP, LLC notice-filed in IL. IAPD ↗
$616.7M RAUM · 13 reps · 949-682-9105 · yelp.com
ComplianceMarketing & brand
45
LEES MONSOUR GROUP notice-filed in AR. IAPD ↗
$681.2M RAUM · 3 reps · (318) 506-8635 · leesmonsourgroup.com
ComplianceMarketing & brand
45
PRESILIUM PRIVATE WEALTH, LLC notice-filed in IL. IAPD ↗
$671.7M RAUM · 3 reps · 215-982-4140 · presiliumpw.com
ComplianceMarketing & brand
45
AURELIUS FAMILY OFFICE, LLC notice-filed in AR. IAPD ↗
$315.3M RAUM · 1 reps · 603-413-6060
ComplianceMarketing & brand
45
INVENIO WEALTH PARTNERS, LLC notice-filed in CA. IAPD ↗
$364.0M RAUM · 2 reps · 971-371-3450 · inveniowealth.com
ComplianceMarketing & brand
45
THE SALVETTI GROUP notice-filed in NV. IAPD ↗
$633.7M RAUM · 4 reps · 916-414-8282 · thesalvettigroup.com
ComplianceMarketing & brand
45
WATERSTONE FINANCIAL ADVISORY LLC notice-filed in NY. IAPD ↗
$262.5M RAUM · 3 reps · 239-288-0977 · waterstonefs.com
ComplianceMarketing & brand
45
MDRN CAPITAL notice-filed in IA. IAPD ↗
$338.6M RAUM · 22 reps · 410-533-9966 · go.aaroncirksena.com
ComplianceMarketing & brand
45
RELATION WEALTH MANAGEMENT, INC. notice-filed in CA. IAPD ↗
$541.2M RAUM · 7 reps · (918) 999-9138 · relationwealth.com
ComplianceMarketing & brand
45
MINDSET WEALTH MANAGEMENT, LLC notice-filed in PA. IAPD ↗
$445.5M RAUM · 4 reps · 317-348-4655 · mindsetwealthmanagement.com
ComplianceMarketing & brand
45
BIRCH FINANCIAL GROUP notice-filed in VA. IAPD ↗
$264.7M RAUM · 2 reps · 603-338-3838
ComplianceMarketing & brand
45
ARENA PRIVATE WEALTH notice-filed in CA. IAPD ↗
$404.7M RAUM · 8 reps · 312-798-9045
ComplianceMarketing & brand
45
PRASAD WEALTH PARTNERS notice-filed in MD. IAPD ↗
$572.1M RAUM · 5 reps · 216-313-9999
ComplianceMarketing & brand
45
XCELSIOR ADVISOR PARTNERS LLC notice-filed in IA. IAPD ↗
$650.7M RAUM · 13 reps · 480-866-8616 · xcelsiorpartners.com
ComplianceMarketing & brand
45
CAMBIENT FAMILY OFFICE, LLC notice-filed in FL. IAPD ↗
$857.9M RAUM · 3 reps · (616) 330-2270 · cambient.com
ComplianceMarketing & brand
45
PROSPERITY FINANCIAL GROUP, INC. notice-filed in IL. IAPD ↗
$503.0M RAUM · 8 reps · 925-314-8500 · 401kprosperityfg.com
ComplianceMarketing & brand
45
EXCEPTIONAL WEALTH & FAMILY OFFICE notice-filed in FL. IAPD ↗
$292.2M RAUM · 5 reps · 719-715-4179
ComplianceMarketing & brand
44
CONTINENTAL INVESTORS SERVICES, INC. notice-filed in MT, NC. IAPD ↗
$196.8M RAUM · 8 reps · 360-423-5110 · cisinvest.com
ComplianceMarketing & brand
44
GLOBAL FINANCIAL PLANNING GROUP, LLC notice-filed in IL, OH. IAPD ↗
$135.3M RAUM · 2 reps · 248-643-4820 · gfpgroup.com
ComplianceMarketing & brand
44
WATER VALLEY INVESTMENT ADVISORS, INC. notice-filed in CA, NE. IAPD ↗
$157.2M RAUM · 3 reps · 712-395-0764 · wviainc.com
ComplianceMarketing & brand
44
ELE ADVISORY SERVICES, INC notice-filed in ID, KY. IAPD ↗
$136.5M RAUM · 12 reps · 248-356-6555 · elewealth.com
ComplianceMarketing & brand
44
CAPSTONE INVESTMENT GROUP notice-filed in GA, MI. IAPD ↗
$176.4M RAUM · 8 reps · 360-570-9888 · wisdomanddiscipline.com
ComplianceMarketing & brand
44
ARNOLD AND MOTE WEALTH MANAGEMENT notice-filed in CA, MN. IAPD ↗
$168.2M RAUM · 5 reps · 319-393-4020
ComplianceMarketing & brand
44
WMK INVESTMENT PARTNERS notice-filed in AZ, CA. IAPD ↗
$211.0M RAUM · 4 reps · (818) 804-1508 · wmkinvestmentpartners.com
ComplianceMarketing & brand
44
INTELLICAPITAL ADVISORS LLC notice-filed in GA, TX. IAPD ↗
$118.9M RAUM · 2 reps · 866-438-1958 · opensea.io
ComplianceMarketing & brand
44
POSITION WEALTH notice-filed in NJ, PA. IAPD ↗
$242.1M RAUM · 3 reps · 281-968-2780
ComplianceMarketing & brand
44
PROTOCOL WEALTH, LLC notice-filed in FL, NY. IAPD ↗
$127.1M RAUM · 3 reps · 720-439-9055 · protocolwealth.io
ComplianceMarketing & brand
44
YOUR IA, LLC notice-filed in KY, NY. IAPD ↗
$106.6M RAUM · 15 reps · 800-823-0489 · youria.com
ComplianceMarketing & brand
44
OXFORD HARRIMAN PRIVATE WEALTH MANAGEMENT notice-filed in MI, TX. IAPD ↗
$0 RAUM · 1 reps · 317-581-4003 · ohcpwm.com
ComplianceMarketing & brand
44
ANCHOR & OAK WEALTH ADVISORS, LLC notice-filed in CA, DC. IAPD ↗
$0 RAUM · 3 reps · 516-662-2546
ComplianceMarketing & brand
42
GLOBAL BROKERAGE SERVICES, INC. notice-filed in DE. IAPD ↗
$137.3M RAUM · 5 reps · 410-785-4990 · globalbrokers.net
ComplianceMarketing & brand
42
CONCORDE FINANCIAL RESOURCES notice-filed in VA. IAPD ↗
$231.0M RAUM · 2 reps · 336-838-4100 · concordefinancialresources.com
ComplianceMarketing & brand
42
KAPUSTA FINANCIAL GROUP notice-filed in TX. IAPD ↗
$199.6M RAUM · 3 reps · 412-851-1400 · kapustafinancial.com
ComplianceMarketing & brand
42
INGRAM ADVISORY SERVICES, LLC notice-filed in OH. IAPD ↗
$109.3M RAUM · 2 reps · 863-326-9833 · ingramfinancialgroup.com
ComplianceMarketing & brand
42
BENCHMARK CAPITAL GROUP LTD. notice-filed in WI. IAPD ↗
$173.6M RAUM · 2 reps · 815-777-0600 · benchmarkcapitalgroup.com
ComplianceMarketing & brand
42
BARTLEY FINANCIAL ADVISORS, LLC notice-filed in MD. IAPD ↗
$151.6M RAUM · 1 reps · 603-625-9900 · truthsocial.com
ComplianceMarketing & brand
42
CIOVACCO CAPITAL MANAGEMENT notice-filed in AL. IAPD ↗
$217.3M RAUM · 1 reps · 678-362-7698 · ccmmarketmodel.com
ComplianceMarketing & brand
42
AJF CAPITAL MANAGEMENT, INC. notice-filed in CO. IAPD ↗
$178.5M RAUM · 4 reps · 212-779-0789
ComplianceMarketing & brand
42
KCD FINANCIAL, INC. notice-filed in ME. IAPD ↗
$202.1M RAUM · 27 reps · 920-347-3400 · kcdfinancial.com
ComplianceMarketing & brand
42
CONDON WEALTH MANAGEMENT, INC. notice-filed in NH. IAPD ↗
$122.1M RAUM · 2 reps · 508-746-7763
ComplianceMarketing & brand
42
PROSPECT FINANCIAL GROUP LLC notice-filed in IL. IAPD ↗
$204.4M RAUM · 2 reps · (703) 852-9673 · prospect-group.com
ComplianceMarketing & brand
42
SERVANT FINANCIAL, LTD. notice-filed in MI. IAPD ↗
$143.6M RAUM · 1 reps · 630-264-0127
ComplianceMarketing & brand
42
KENSINGTON FINANCIAL ADVISORS LLC notice-filed in NY. IAPD ↗
$159.9M RAUM · 2 reps · 201-201-0439 · kfinadvisors.com
ComplianceMarketing & brand
42
HONU WEALTH MANAGEMENT notice-filed in OR. IAPD ↗
$161.8M RAUM · 4 reps · (650) 917-3400
ComplianceMarketing & brand
42
VALUES FIRST ADVISORS, INC. notice-filed in NH. IAPD ↗
$215.4M RAUM · 9 reps · 877-832-3847 · valuesfirst.com
ComplianceMarketing & brand
42
CHELSEA ADVISORY SERVICES, INC notice-filed in AL. IAPD ↗
$147.4M RAUM · 25 reps · 718-967-8400 · chfs.com
ComplianceMarketing & brand
42
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC notice-filed in UT. IAPD ↗
$238.1M RAUM · 35 reps · 212-687-5650 · axiows.com
ComplianceMarketing & brand
42
FULCRUM WEALTH MANAGEMENT notice-filed in KY. IAPD ↗
$192.8M RAUM · 3 reps · 888-304-6942 · fulcrumeq.com
ComplianceMarketing & brand
42
CAPSTONE WEALTH MANAGEMENT CORP. notice-filed in CA. IAPD ↗
$109.4M RAUM · 3 reps · (866) 596-9886 · careformywealth.com
ComplianceMarketing & brand
42
STASH WEALTH, LLC notice-filed in PA. IAPD ↗
$51.7M RAUM · 3 reps · 212-913-9904 · stashwealth.com
ComplianceMarketing & brand
42
FULCRUM WEALTH ADVISORS, LLC notice-filed in IL. IAPD ↗
$208.0M RAUM · 2 reps · 425-250-6280
ComplianceMarketing & brand
42
PARADY WEALTH MANAGEMENT notice-filed in NJ. IAPD ↗
$145.7M RAUM · 5 reps · 352-674-3911
ComplianceMarketing & brand
42
WISDOM WEALTH STRATEGIES notice-filed in AZ. IAPD ↗
$190.5M RAUM · 2 reps · 720-314-8009
ComplianceMarketing & brand
42
SOPHIS INVESTMENTS LLC notice-filed in NE. IAPD ↗
$129.9M RAUM · 5 reps · 212-572-6360 · sophis.co
ComplianceMarketing & brand
42
FORTUNE 45, LLC. notice-filed in MS. IAPD ↗
$237.7M RAUM · 3 reps · 225-614-9599 · fortune45.com
ComplianceMarketing & brand
42
INTEGRAS PARTNERS, LLC notice-filed in NC. IAPD ↗
$244.8M RAUM · 3 reps · 404-941-2800
ComplianceMarketing & brand
42
TRADEMARK CAPITAL MANAGEMENT INC. notice-filed in MD. IAPD ↗
$150.8M RAUM · 4 reps · 706-534-2351
ComplianceMarketing & brand
42
THE LIFE GROUP FINANCIAL SERVICES notice-filed in MD. IAPD ↗
$146.2M RAUM · 4 reps · 563-587-7840 · thelifegroupllc.com
ComplianceMarketing & brand
42
RED MOUNTAIN FINANCIAL, LLC notice-filed in WY. IAPD ↗
$184.4M RAUM · 1 reps · 970-658-0946 · redmountainfinancial.com
ComplianceMarketing & brand
42
SHERMAN WEALTH MANAGEMENT LLC notice-filed in CO. IAPD ↗
$160.3M RAUM · 3 reps · (240) 428-1622
ComplianceMarketing & brand
42
M WEALTH MANAGEMENT, LLC notice-filed in LA. IAPD ↗
$177.6M RAUM · 3 reps · 855-635-2763
ComplianceMarketing & brand
42
TIDEHAVEN WEALTH, LLC notice-filed in GA. IAPD ↗
$125.0M RAUM · 2 reps · 843-284-8040
ComplianceMarketing & brand
42
DAVIS WEALTH ADVISORS notice-filed in TX. IAPD ↗
$197.1M RAUM · 5 reps · 603-836-3477
ComplianceMarketing & brand
42
RETIREMENT SOLUTIONS GROUP notice-filed in TX. IAPD ↗
$159.6M RAUM · 3 reps · 615-467-6300 · rsginfo.com
ComplianceMarketing & brand
42
BRINDLE & BAY FINANCIAL ADVISORS, LLC notice-filed in WI. IAPD ↗
$184.8M RAUM · 3 reps · 214-988-9178 · brindleandbay.com
ComplianceMarketing & brand
42
FORTIFY WEALTH, INC. notice-filed in PA. IAPD ↗
$115.0M RAUM · 3 reps · 314-726-0055 · fortifywealth.com
ComplianceMarketing & brand
42
ABUNDO WEALTH notice-filed in CT. IAPD ↗
$0 RAUM · 13 reps · 612-502-5806
ComplianceMarketing & brand
42
CORAL WEALTH MANAGEMENT, LLC notice-filed in TX. IAPD ↗
$124.3M RAUM · 1 reps · 305-671-3914 · coralwm.com
ComplianceMarketing & brand
42
CLARIVOR notice-filed in FL. IAPD ↗
$4.4M RAUM · 1 reps · 212-810-1187
ComplianceMarketing & brand
42
MAINE ADVISORY ASSOCIATES notice-filed in TX. IAPD ↗
$116.5M RAUM · 2 reps · 207-778-2250 · maineadvisory.com
ComplianceMarketing & brand
42
MINT ASSET MANAGEMENT LLC notice-filed in PA. IAPD ↗
$64.5M RAUM · 4 reps · 908-777-1717 · mintassetmanagement.com
ComplianceMarketing & brand
42
LIBERTY ONE WEALTH ADVISORS notice-filed in MA. IAPD ↗
$178.4M RAUM · 5 reps · 215-776-4918 · libertyonewealth.com
ComplianceMarketing & brand
42
PEAK FINANCIAL PLANNING notice-filed in AZ. IAPD ↗
$93.0M RAUM · 7 reps · (818) 600-6099 · thepeakfp.com
ComplianceMarketing & brand
42
DBA BIG MONEY RETIREMENT AND BIG RETIREMENT notice-filed in GA. IAPD ↗
$147.1M RAUM · 9 reps · 864-920-3155 · bigmoneyretirement.com
ComplianceMarketing & brand
42
SOLID POINT WEALTH ADVISORS, LLC notice-filed in FL. IAPD ↗
$119.7M RAUM · 5 reps · 518-681-0107 · solidpointwealth.com
ComplianceMarketing & brand
42
VIRTUS FINANCIAL PARTNERS notice-filed in MI. IAPD ↗
$152.5M RAUM · 3 reps · 407-267-8445
ComplianceMarketing & brand
42
44 NORTH CAPITAL, LLC notice-filed in NH. IAPD ↗
$125.1M RAUM · 2 reps · 802-300-0614 · 44ncap.com
ComplianceMarketing & brand
42
PROMETHIUM notice-filed in FL. IAPD ↗
$235.3M RAUM · 4 reps · 202-978-2519 · promethiumadvisors.com
ComplianceMarketing & brand
42
TUMOLO WEALTH MANAGEMENT LLC notice-filed in NH. IAPD ↗
$134.0M RAUM · 4 reps · (860) 650-3005 · tumolofinancial.com
ComplianceMarketing & brand
42
PLANWISER FINANCIAL notice-filed in AR. IAPD ↗
$169.1M RAUM · 2 reps · 719-822-0808
ComplianceMarketing & brand
42
WHITWELL ADVISORS notice-filed in SC. IAPD ↗
$116.8M RAUM · 6 reps · 512-766-7775 · linktr.ee
ComplianceMarketing & brand
42
INFINITY TAX & FINANCIAL PLANNING notice-filed in TN. IAPD ↗
$100.0M RAUM · 4 reps · 256-527-4214
ComplianceMarketing & brand
42
BEACON CAPITAL ADVISORY GROUP notice-filed in TX. IAPD ↗
$223.5M RAUM · 2 reps · 877-801-2322
ComplianceMarketing & brand
42
INTEGRITY ROAD WEALTH PARTNERS LLC notice-filed in NH. IAPD ↗
$126.0M RAUM · 3 reps · 832-585-8699 · integrityroadwealth.com
ComplianceMarketing & brand
42
ALLVET FINANCIAL notice-filed in PA. IAPD ↗
$1.3M RAUM · 2 reps · (804) 201-4615
ComplianceMarketing & brand
42
GRANITE ISLANDS PRIVATE WEALTH, LLC notice-filed in NH. IAPD ↗
$229.9M RAUM · 4 reps · 203-889-3890 · graniteislands.com
ComplianceMarketing & brand
42
FORWARD WEALTH notice-filed in TX. IAPD ↗
$111.1M RAUM · 8 reps · 720-739-3930 · fwd-wealth.com
ComplianceMarketing & brand
42
FIDUCIARY CAPITAL MANAGEMENT LLC notice-filed in MI. IAPD ↗
$149.8M RAUM · 10 reps · 503 515 1313 · fiduciarycm.com
ComplianceMarketing & brand
42
3D ADVISOR GROUP, INC. notice-filed in TX. IAPD ↗
$0 RAUM · 2 reps · (508) 808-1423 · 3dadvisorgroup.com
ComplianceMarketing & brand
39
NEWFRONT RETIREMENT SERVICES, INC. notice-filed in GA, PA. IAPD ↗institutional
$1.04B RAUM · 26 reps · 415-754-3635
ComplianceMarketing & brand
38
D. E. SHAW & CO., L.P. notice-filed in CA, CO, KS, MA. IAPD ↗fund
$213.36B RAUM · 526 reps · 212-478-0000
ComplianceMarketing & brand
37
NEWFOUND RESEARCH LLC notice-filed in OH. IAPD ↗institutional
$1.11B RAUM · 1 reps · (617) 531-9773 · blog.thinknewfound.com
ComplianceMarketing & brand
37
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS notice-filed in PR. IAPD ↗institutional
$40.25B RAUM · 153 reps · 212-850-4260
ComplianceMarketing & brand
37
ROBINSON CAPITAL MANAGEMENT, LLC notice-filed in AZ. IAPD ↗institutional
$1.54B RAUM · 7 reps · 313-821-7000
ComplianceMarketing & brand
34
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. notice-filed in CA, CO. IAPD ↗fund
$33.37B RAUM · 45 reps · 212-478-0000 · deshaw.com
ComplianceMarketing & brand
34
VERDARA PPP LLC notice-filed in MA, WI. IAPD ↗institutional
$0 RAUM · 1 reps · 813-395-9515
ComplianceMarketing & brand
32
LOS ANGELES CAPITAL MANAGEMENT LLC notice-filed in RI. IAPD ↗fund
$40.58B RAUM · 46 reps · 310-479-9998 · lacapm.com
ComplianceMarketing & brand
32
VEGA CAPITAL PARTNERS LLC notice-filed in SC. IAPD ↗institutional
$100,000 RAUM · 2 reps · (347) 405-2881
ComplianceMarketing & brand
30
CHICAGO ATLANTIC ADVISERS, LLC notice-filed in MI. IAPD ↗fund
$970.3M RAUM · 30 reps · 312-625-9295
ComplianceMarketing & brand
15
BG INVESTMENT SERVICES, LLC notice-filed in MA. IAPD ↗foreign
$868.5M RAUM · 5 reps · 671-472-5490 · asctrust.com
ComplianceMarketing & brand
12
THE ANALYST notice-filed in CA. IAPD ↗foreign
$0 RAUM · 10 reps · +44 207 498 6593 · theanalyst.co.uk
ComplianceMarketing & brand
12
WISE MONEY ISRAEL notice-filed in MO. IAPD ↗foreign
$94.9M RAUM · 2 reps · +972-79-6984545
ComplianceMarketing & brand
12
LIBERTY ATLANTIC ADVISORS notice-filed in NV. IAPD ↗foreign
$185.8M RAUM · 4 reps · (720) 655-7510
ComplianceMarketing & brand
new registration — 159 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
100
INGALLS INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $7.83B RAUM and 50 advisory reps. IAPD ↗
$7.83B RAUM · 50 reps · 2122697800 · ingalls.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
THIRD EYE CAPITAL MANAGEMENT, LLC (MIAMI BEACH, FL) is newly SEC-registered with $291.3M RAUM and 1 advisory reps. IAPD ↗
$291.3M RAUM · 1 reps · (732) 447-3019 · thirdeyecapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
CHARBETH ADVISORY L.L.C. (location n/a) is newly SEC-registered with $370.0M RAUM and 1 advisory reps. IAPD ↗
$370.0M RAUM · 1 reps · 919-768-3474
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALADIN PARTNERS (HARTLAND, WI) is newly SEC-registered with $198.5M RAUM and 2 advisory reps. IAPD ↗
$198.5M RAUM · 2 reps · 414-367-4675 · paladinpartners.biz
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WASHINGTON FINANCIAL GROUP, INC. (OSTERVILLE, MA) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 508-420-8341
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLLEEN WEBER CPA, LLC (CHANHASSEN, MN) is newly SEC-registered with $120.6M RAUM and 2 advisory reps. IAPD ↗
$120.6M RAUM · 2 reps · 952-470-0750 · colleenweber.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NCU INVESTMENT SOLUTIONS (SMITHFILED, RI) is newly SEC-registered with $107.6M RAUM and 6 advisory reps. IAPD ↗
$107.6M RAUM · 6 reps · 401-228-0100
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIFEFOCUS FINANCIAL ADVISORS, LLC (WALLA WALLA, WA) is newly SEC-registered with $103.5M RAUM and 2 advisory reps. IAPD ↗
$103.5M RAUM · 2 reps · 509-526-4521 · lifefocusadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE ADVISORY FIRM (ALPHARETTA, GA) is newly SEC-registered with $126.4M RAUM and 1 advisory reps. IAPD ↗
$126.4M RAUM · 1 reps · 678-566-3711 · theadvisoryfirm.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GFN CAPITAL MANAGEMENT (RICHARDSON, TX) is newly SEC-registered with $120.1M RAUM and 4 advisory reps. IAPD ↗
$120.1M RAUM · 4 reps · 972-385-0007 · glazerfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
J.P. CAPITAL MANAGEMENT, INC. (EUGENE, OR) is newly SEC-registered with $166.6M RAUM and 1 advisory reps. IAPD ↗
$166.6M RAUM · 1 reps · 541-343-2064
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DC CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered with $107.0M RAUM and 1 advisory reps. IAPD ↗
$107.0M RAUM · 1 reps · 970-468-1339 · dc-cm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRG CAPITAL MANAGEMENT, INC. (RALEIGH, NC) is newly SEC-registered with $118.2M RAUM and 4 advisory reps. IAPD ↗
$118.2M RAUM · 4 reps · 919-239-4163 · trgcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MIDWAY CAPITAL RESEARCH & MANAGEMENT LLC (CHICAGO, IL) is newly SEC-registered with $110.4M RAUM and 2 advisory reps. IAPD ↗
$110.4M RAUM · 2 reps · (312) 445-8562 · midwaymgt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MATHIES FINANCIAL PARTNERS (PUEBLO, CO) is newly SEC-registered with $104.0M RAUM and 4 advisory reps. IAPD ↗
$104.0M RAUM · 4 reps · 719-434-3939 · mathiesfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BAS CAPITAL (location n/a) is newly SEC-registered with $117.0M RAUM and 1 advisory reps. IAPD ↗
$117.0M RAUM · 1 reps · 901-486-9216
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
C.L. SHELDON & COMPANY, LLC (location n/a) is newly SEC-registered with $110.7M RAUM and 3 advisory reps. IAPD ↗
$110.7M RAUM · 3 reps · 703-542-4000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UNDERDOG WEALTH MANAGEMENT, LLC (MAPLE GROVE, MN) is newly SEC-registered with $111.9M RAUM and 2 advisory reps. IAPD ↗
$111.9M RAUM · 2 reps · 763-497-3000 · underdogwealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMMON CENTS WEALTH MANAGEMENT, LLC (PEMBROKE PINES, FL) is newly SEC-registered with $113.7M RAUM and 2 advisory reps. IAPD ↗
$113.7M RAUM · 2 reps · 954-769-0837 · cc-wealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COLBURN WEALTH MANAGEMENT, LLC (GROVE CITY, OH) is newly SEC-registered with $116.2M RAUM and 3 advisory reps. IAPD ↗
$116.2M RAUM · 3 reps · 740.831.4004
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RIVERSTONE ASSET MANAGEMENT, LLC (LOUISVILLE, KY) is newly SEC-registered with $103.0M RAUM and 2 advisory reps. IAPD ↗
$103.0M RAUM · 2 reps · 502-882-5580
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STABILITY PARTNERS ADVISORY GROUP, LLC (SPRING, TX) is newly SEC-registered with $140.9M RAUM and 3 advisory reps. IAPD ↗
$140.9M RAUM · 3 reps · 832-559-8393 · stabilityfinancialtalk.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MINKO WEALTH (BROOKLYN, NY) is newly SEC-registered with $119.1M RAUM and 2 advisory reps. IAPD ↗
$119.1M RAUM · 2 reps · 718-748-1700 · minkowealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EGSI INVESTMENT MANAGEMENT (DUBLIN, OH) is newly SEC-registered with $144.7M RAUM and 4 advisory reps. IAPD ↗
$144.7M RAUM · 4 reps · 614-526-4118 · egsifinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JAYCO WEALTH MANAGEMENT (location n/a) is newly SEC-registered with $107.9M RAUM and 1 advisory reps. IAPD ↗
$107.9M RAUM · 1 reps · 404-731-7592
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NITOR CAPITAL MANAGEMENT (ENGLEWOOD CLIFFS, NJ) is newly SEC-registered with $158.6M RAUM and 1 advisory reps. IAPD ↗
$158.6M RAUM · 1 reps · (646) 322-3715 · nitorcapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FUTURE BRIGHT (location n/a) is newly SEC-registered with $120.6M RAUM and 3 advisory reps. IAPD ↗
$120.6M RAUM · 3 reps · (701) 306-7631
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GREENPORT CAPITAL ADVISORS (MARLBOROUGH, MA) is newly SEC-registered with $119.2M RAUM and 2 advisory reps. IAPD ↗
$119.2M RAUM · 2 reps · 978-393-3090 · greenportca.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL ZEN (SAN FRANCISCO, CA) is newly SEC-registered with $167.6M RAUM and 2 advisory reps. IAPD ↗
$167.6M RAUM · 2 reps · (415) 792-0345
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCHAUER INVESTMENT MANAGEMENT, INC. (NORTHRIDGE, CA) is newly SEC-registered with $119.7M RAUM and 4 advisory reps. IAPD ↗
$119.7M RAUM · 4 reps · (818) 727-9960
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ADVANCED WEALTH MANAGEMENT (SARASOTA, FL) is newly SEC-registered with $110.7M RAUM and 3 advisory reps. IAPD ↗
$110.7M RAUM · 3 reps · 941-451-8512
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OXFORD PLANNING GROUP, LLC (WOODSTOCK, MD) is newly SEC-registered with $112.9M RAUM and 3 advisory reps. IAPD ↗
$112.9M RAUM · 3 reps · 410-995-8711 · oxfordplanning.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARROW WEALTH ADVISORS (AUBURN, CA) is newly SEC-registered with $121.2M RAUM and 2 advisory reps. IAPD ↗
$121.2M RAUM · 2 reps · 210-541-9967
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
56 CAPITAL PARTNERS, LTD (COLORADO SPRINGS, CO) is newly SEC-registered with $113.3M RAUM and 2 advisory reps. IAPD ↗
$113.3M RAUM · 2 reps · 719-418-3773
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RIVER RAISIN INVESTMENT PARTNERS, INC. (MONROE, MI) is newly SEC-registered with $163.5M RAUM and 2 advisory reps. IAPD ↗
$163.5M RAUM · 2 reps · (734) 241-5771
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PINETREE ADVISORS CORP. (MIAMI, FL) is newly SEC-registered with $120.0M RAUM and 2 advisory reps. IAPD ↗
$120.0M RAUM · 2 reps · 305-510-8772 · pinetreeadvisors.us
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SINGER WEALTH MANAGEMENT (location n/a) is newly SEC-registered with $119.0M RAUM and 3 advisory reps. IAPD ↗
$119.0M RAUM · 3 reps · 206-300-7464
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALLPOINT FINANCIAL GROUP (PETALUMA, CA) is newly SEC-registered with $116.8M RAUM and 4 advisory reps. IAPD ↗
$116.8M RAUM · 4 reps · 707-303-7000 · allpointfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OPULUS (DOYLESTOWN, PA) is newly SEC-registered with $104.9M RAUM and 2 advisory reps. IAPD ↗
$104.9M RAUM · 2 reps · 215-859-8095
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OLD VINE CAPITAL (location n/a) is newly SEC-registered with $167.0M RAUM and 1 advisory reps. IAPD ↗
$167.0M RAUM · 1 reps · 415-990-1420
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EXPERIENCE YOUR WEALTH, LLC (location n/a) is newly SEC-registered with $105.3M RAUM and 2 advisory reps. IAPD ↗
$105.3M RAUM · 2 reps · (401) 227-7881
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JPS ADVISORS LLC (location n/a) is newly SEC-registered with $26.6M RAUM and 1 advisory reps. IAPD ↗
$26.6M RAUM · 1 reps · (646) 458-1574 · jps-advisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CORINTHIAN WEALTH MANAGEMENT (SAN JOSE, CA) is newly SEC-registered with $131.7M RAUM and 3 advisory reps. IAPD ↗
$131.7M RAUM · 3 reps · 408-995-0915
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PVA FINANCIAL, LLC (location n/a) is newly SEC-registered with $136.9M RAUM and 1 advisory reps. IAPD ↗
$136.9M RAUM · 1 reps · 773-825-9090
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STILLWATER CAPITAL MANAGEMENT (CARMEL-BY-THE-SEA, CA) is newly SEC-registered with $102.5M RAUM and 2 advisory reps. IAPD ↗
$102.5M RAUM · 2 reps · 831-877-1095
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REDEEM WEALTH MANAGEMENT (GILBERT, AZ) is newly SEC-registered with $118.6M RAUM and 3 advisory reps. IAPD ↗
$118.6M RAUM · 3 reps · 480-680-7975
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KI CAPITAL WEALTH MANAGEMENT US LLC (MIAMI, FL) is newly SEC-registered with $145.9M RAUM and 3 advisory reps. IAPD ↗
$145.9M RAUM · 3 reps · 520-710-0826
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CJC WEALTH MANAGEMENT (location n/a) is newly SEC-registered with $121.9M RAUM and 4 advisory reps. IAPD ↗
$121.9M RAUM · 4 reps · 301-761-3880
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FULLY FINANCIAL (ATHENS, GA) is newly SEC-registered with $111.1M RAUM and 2 advisory reps. IAPD ↗
$111.1M RAUM · 2 reps · (706) 389-8426 · fullyfin.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOLIST FINANCIAL (TAMPA, FL) is newly SEC-registered with $130.1M RAUM and 1 advisory reps. IAPD ↗
$130.1M RAUM · 1 reps · 8132943737
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KUKUI TREE CAPITAL MANAGEMENT LLC (PALO ALTO, CA) is newly SEC-registered with $105.2M RAUM and 1 advisory reps. IAPD ↗
$105.2M RAUM · 1 reps · 650-434-0488 · kukuitreecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FREEDOM VALUE PARTNERS, LLC (location n/a) is newly SEC-registered with $119.1M RAUM and 2 advisory reps. IAPD ↗
$119.1M RAUM · 2 reps · 913-558-2054
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTH SCRIPT ADVISORS (SAN FRANCISCO, CA) is newly SEC-registered with $121.4M RAUM and 1 advisory reps. IAPD ↗
$121.4M RAUM · 1 reps · (415)300-0610 · mywealthscript.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UNSTOPPABLE ASSET (PHOENIX, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 8603680224 · unstoppableasset.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AETERNITAS INVESTMENT MANAGEMENT, LLC (YARDLEY, PA) is newly SEC-registered with $172.5M RAUM and 2 advisory reps. IAPD ↗
$172.5M RAUM · 2 reps · 2673947872 · aeternitasinvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BISON WEALTH MANAGEMENT, LLC (LYNDHURST, OH) is newly SEC-registered with $131.0M RAUM and 3 advisory reps. IAPD ↗
$131.0M RAUM · 3 reps · 216-270-4425 · bisonllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INOVO WEALTH ARCHITECTS (UNION, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 973 567-7526
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SKYLAR WEALTH MANAGEMENT, LLC (PASADENA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 213-836-9100 · skylarwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GOALPOST WEALTH MANAGEMENT, LLC (RADNOR, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 610-293-7390
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ASTRAVIA FAMILY WEALTH OFFICE LLC (EL SEGUNDO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 310-275-5059
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILLER WEALTH MANAGEMENT (GILBERT, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 480-613-7400
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COMMUNITY 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 · 877 296 5657
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
QUASAR (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 332-262-3228
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RAC STRATEGIC PARTNERS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (786) 496-2338
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LYNCH FINANCIAL ADVISORS, INC (ROSEVILLE, CA) is newly SEC-registered with $108.6M RAUM and 3 advisory reps. IAPD ↗
$108.6M RAUM · 3 reps · 916-772-3103 · lynchfinancialadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GOLDEN RATIO WEALTH MANAGEMENT LLC (RADNOR, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (610) 293-7310
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EYRA (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · +1 248 376 1480
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BARTHOLOMEW & COMPANY WEALTH MANAGEMENT, LLC (WORCESTER, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 508-753-8807
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EARLYBIRD ADVISORS LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 302-750-5989 · investearlybird.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL POTENTIAL WEALTH MANAGEMENT (GAINESVILLE, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 770-287-8718 · yourfinancialpotential.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VELARA WEALTH MANAGEMENT INC. (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 2129671428 · velarawealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PUBLIC SAFETY FINANCIAL GROUP, LLC (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 832-200-3418
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WICK (UNION CITY, NJ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 2015789203
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAST WEST WEALTH ADVISORS LLC (PASADENA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 888-928-8189
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EDYN (PHILADELPHIA, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 8564484685 · growedyn.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EHG WEALTH MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · (717) 947-8555
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PELORUS CAPITAL MANAGEMENT, LLC (IRVINE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 717-902-2727 · peloruscapital.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OLDE RALEIGH FINANCIAL GROUP (RALEIGH, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 919-861-8212
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HIRST FINANCIAL INDEPENDENCE PLANNING, INC. (FALL RIVER, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (508) 636-3595 · hirstfip.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALLEN FINANCIAL PARTNERS (PRESCOTT, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 602-677-7546 · allenfinancialpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LANGAN FINANCIAL GROUP (CAMP HILL, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 717-288-1880 · langanfinancialgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STEWARDWELL LLC (FRANKLIN, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · (615) 538-6110 · stewardwellwp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KAHN ASSET MANAGEMENT (LOS ANGELES, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 310-480-6709
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MAN ADVISERS LLC (BOSTON, MA) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · +1 617-897-7800 · man.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VECTOR3 WEALTH MANAGEMENT (SAN DIEGO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (858) 771-4700 · vector3wealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
W.B. EDWARDS & CO. (KNOXVILLE, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (865) 999-2032
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MY ADVISORS US LLC (TUSTIN, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 9493441208 · myadvisors.us
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WALTON CREEK INVESTMENT ADVISORS (TULSA, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 918-394-1966
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIBERTY FORGE LLC (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · (617) 239-9340 · civicfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NAPLES WEALTH ADVISORS, LLC (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 239-325-1811 · napleswa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MIDFIELD PRIVATE WEALTH, LLC (WHITE PLAINS, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-992-7618
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
88
ASSET GROWTH SOLUTIONS, LLC (SCOTTSDALE, AZ) is newly SEC-registered with $702.7M RAUM and 4 advisory reps. IAPD ↗institutional
$702.7M RAUM · 4 reps · 480-660-9770 · assetgrowthsolutions.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
88
NEOSTELLAR ADVISORS LLC (NEW YORK, NY) is newly SEC-registered with $433.3M RAUM and 9 advisory reps. IAPD ↗institutional
$433.3M RAUM · 9 reps · 212-931-6331
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SCOTIA PARTNERS, LLC (location n/a) is newly SEC-registered with $110.7M RAUM and 1 advisory reps. IAPD ↗institutional
$110.7M RAUM · 1 reps · (484)932-8560 · scotiapartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
GREEN HORIZON PARTNERS CAPITAL LLC (location n/a) is newly SEC-registered with $159.6M RAUM and 2 advisory reps. IAPD ↗institutional
$159.6M RAUM · 2 reps · 917-365-4031
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BLUE OWL REAL ASSETS ADVISORS LLC (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 140 advisory reps. IAPD ↗institutional
$0 RAUM · 140 reps · 212-419-3000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
STRATEGIQ FUNDS, INC. (SAN ANTONIO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 720-203-5632
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SUMITOMO MITSUI TRUST ASSET MANAGEMENT AMERICAS, INC. (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 212-258-1080
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CAMBWICK US LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · +447751317440
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SOLSTICE GUARD CAPITAL (ST. CHARLES, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 636-573-1236
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
VOXEL CAPITAL PARTNERS LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 917 751 0273 · voxelcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
LEGGETT VENTURES (HOUSTON, TX) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 832-804-8301 · leggettventures.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
COBBLERS COVE CAPITAL LP (CHARLESTON, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 310-699-0444
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FUTURECORP ASSET MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 2135249594 · futurecorp.vc
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
IRISH CREEK CAPITAL (CAMDEN, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 703-716-3305
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
POLOIDAL CAPITAL 9D ADVISORS LLC (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 786-224-6890 · poloidalcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SLR SECURED LENDING PARTNERS, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 34 advisory reps. IAPD ↗institutional
$0 RAUM · 34 reps · 212-993-1670
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ARIAM GLOBAL INC. (SAN DIEGO, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 858 218 6268 · ariamglobal.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
3A CAPITAL, LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 516-410-3463
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
THIRD HARBOR (COLD SPRING HARBOR, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (917) 535-9360
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
OPTOS REAL ESTATE CREDIT, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 212-308-7700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
THOREAU MANAGEMENT PARTNERS, LP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 502-592-5555
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
EMXETF (location n/a) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 415-533-2249 · emqqglobaletfs.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
NORTH RUN CAPITAL, LP (BOSTON, MA) is newly SEC-registered with $334.5M RAUM and 3 advisory reps. IAPD ↗fund
$334.5M RAUM · 3 reps · 617-310-6130 · northruncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
COMPOUND ADVISORS, LLC (NEW YORK, NY) is newly SEC-registered with $732.3M RAUM and 6 advisory reps. IAPD ↗fund
$732.3M RAUM · 6 reps · 917-664-4297 · compound.vc
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MULTIPLIER CAPITAL, LLC (WASHINGTON, DC) is newly SEC-registered with $503.0M RAUM and 14 advisory reps. IAPD ↗fund
$503.0M RAUM · 14 reps · 240-345-1005 · multipliercapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MARNELL MANAGEMENT LLC (FARMINGTON HILLS, MI) is newly SEC-registered with $306.1M RAUM and 1 advisory reps. IAPD ↗fund
$306.1M RAUM · 1 reps · 248-579-4531 · marnellmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MINK BROOK ASSET MANAGEMENT LLC (location n/a) is newly SEC-registered with $280.7M RAUM and 1 advisory reps. IAPD ↗fund
$280.7M RAUM · 1 reps · 314-323-0752
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
WELLSPRING GBL, LLC (NEW YORK, NY) is newly SEC-registered with $300.5M RAUM and 4 advisory reps. IAPD ↗fund
$300.5M RAUM · 4 reps · 212-869-2647 · wellspringgbl.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SECURITIZE CAPITAL LLC (MIAMI, FL) is newly SEC-registered with $530.2M RAUM and 1 advisory reps. IAPD ↗fund
$530.2M RAUM · 1 reps · 415-745-3030 · securitize.io
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
GRIDLINE (ATLANTA, GA) is newly SEC-registered with $332.1M RAUM and 5 advisory reps. IAPD ↗fund
$332.1M RAUM · 5 reps · 4706326887
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
TCP MANAGEMENT LLC (ATLANTA, GA) is newly SEC-registered with $463.5M RAUM and 7 advisory reps. IAPD ↗fund
$463.5M RAUM · 7 reps · 706-231-1204
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
NEXT HORIZON CAPITAL (SAN FRANCISCO, CA) is newly SEC-registered with $505.8M RAUM and 5 advisory reps. IAPD ↗fund
$505.8M RAUM · 5 reps · 415-271-6410 · nexthorizoncap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
DEFINITION CAPITAL (NEW YORK, NY) is newly SEC-registered with $791.9M RAUM and 2 advisory reps. IAPD ↗fund
$791.9M RAUM · 2 reps · 917-382-1141 · definitioncap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
TRANSITION EQUITY PARTNERS, LLC (CHICAGO, IL) is newly SEC-registered with $501.8M RAUM and 8 advisory reps. IAPD ↗fund
$501.8M RAUM · 8 reps · 773-805-2463
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ISLAND GREEN CAPITAL MANAGEMENT LLC (location n/a) is newly SEC-registered with $416.9M RAUM and 4 advisory reps. IAPD ↗fund
$416.9M RAUM · 4 reps · 310-975-0265 · islandgreencapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
DAYAH CAPITAL LLC (STAMFORD, CT) is newly SEC-registered with $264.8M RAUM and 5 advisory reps. IAPD ↗fund
$264.8M RAUM · 5 reps · 848-206-0010 · dayahcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MAXWELL STREET CAPITAL PARTNERS, LP (EVANSTON, IL) is newly SEC-registered with $284.3M RAUM and 8 advisory reps. IAPD ↗fund
$284.3M RAUM · 8 reps · (888) 608-8674 · maxwellstreetcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
COTULLA HOLDINGS LLC (location n/a) is newly SEC-registered with $432.5M RAUM and 1 advisory reps. IAPD ↗fund
$432.5M RAUM · 1 reps · 757-490-3151
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
NEXTBIO CAPITAL MANAGEMENT LP (AUSTIN, TX) is newly SEC-registered with $305.2M RAUM and 4 advisory reps. IAPD ↗fund
$305.2M RAUM · 4 reps · 650-501-0882 · nextbiocapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
EMERGENT STRATEGIC PARTNERS, LLC (location n/a) is newly SEC-registered with $598.7M RAUM and 1 advisory reps. IAPD ↗fund
$598.7M RAUM · 1 reps · 310-310-1092
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
FUSION CAPITAL (LOS ANGELES, CA) is newly SEC-registered with $461.4M RAUM and 9 advisory reps. IAPD ↗fund
$461.4M RAUM · 9 reps · 949-842-9308 · fcpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
POINT 41 CAPITAL PARTNERS, L.P. (COS COB, CT) is newly SEC-registered with $562.9M RAUM and 8 advisory reps. IAPD ↗fund
$562.9M RAUM · 8 reps · 310-968-6614 · point41capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
GDEV MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $459.7M RAUM and 9 advisory reps. IAPD ↗fund
$459.7M RAUM · 9 reps · 646-381-8784 · gdevmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
PALM PEAK CAPITAL, LLC (BOCA RATON, FL) is newly SEC-registered with $400.8M RAUM and 7 advisory reps. IAPD ↗fund
$400.8M RAUM · 7 reps · 561-941-6355
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
RARE CAPITAL MANAGEMENT, LLC (NASHVILLE, TN) is newly SEC-registered with $333.6M RAUM and 4 advisory reps. IAPD ↗fund
$333.6M RAUM · 4 reps · (651) 315-6610 · rarecap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
STONEPINE CAPITAL MANAGEMENT, LLC (BEND, OR) is newly SEC-registered with $181.0M RAUM and 3 advisory reps. IAPD ↗fund
$181.0M RAUM · 3 reps · 541-647-5673 · stonepinecap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BUTLER HALL CAPITAL LLC (LOS ANGELES, CA) is newly SEC-registered with $218.3M RAUM and 2 advisory reps. IAPD ↗fund
$218.3M RAUM · 2 reps · (424) 644-6009
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
EGIS CAPITAL PARTNERS LP (SUMMIT, NJ) is newly SEC-registered with $160.8M RAUM and 3 advisory reps. IAPD ↗fund
$160.8M RAUM · 3 reps · 973-994-0606 · egiscapitalpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CLAYMORE CAPITAL PARTNERS (CINCINNATI, OH) is newly SEC-registered with $183.9M RAUM and 5 advisory reps. IAPD ↗fund
$183.9M RAUM · 5 reps · 513-762-7615
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ESSENTIA FUND ADVISORS, LLC (location n/a) is newly SEC-registered with $173.4M RAUM and 3 advisory reps. IAPD ↗fund
$173.4M RAUM · 3 reps · 775-351-9439 · essentia-capital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
TWIN LIONS MANAGEMENT (STAMFORD, CT) is newly SEC-registered with $215.9M RAUM and 2 advisory reps. IAPD ↗fund
$215.9M RAUM · 2 reps · (212) 203-4428 · twinlionsmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
INCISION CAPITAL MANAGEMENT LP (SAN FRANCISCO, CA) is newly SEC-registered with $220.3M RAUM and 2 advisory reps. IAPD ↗fund
$220.3M RAUM · 2 reps · 415-374-0503 · incisioncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
H SQUARED MANAGEMENT LP (NEW YORK, NY) is newly SEC-registered with $151.9M RAUM and 4 advisory reps. IAPD ↗fund
$151.9M RAUM · 4 reps · 212-796-4956
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
WINFOREST PARTNERS (location n/a) is newly SEC-registered with $201.4M RAUM and 5 advisory reps. IAPD ↗fund
$201.4M RAUM · 5 reps · 3129525245
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
COUNTER GLOBAL, L.P. (SANTA MONICA, CA) is newly SEC-registered with $172.7M RAUM and 2 advisory reps. IAPD ↗fund
$172.7M RAUM · 2 reps · 310-339-5858 · counter-global.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
RIDGELINE CAPITAL MANAGEMENT, LLC (MEMPHIS, TN) is newly SEC-registered with $228.3M RAUM and 3 advisory reps. IAPD ↗fund
$228.3M RAUM · 3 reps · 202-670-2550 · ridgeline.vc
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SPICE EXPEDITIONS, LP (WESTPORT, CT) is newly SEC-registered with $195.9M RAUM and 3 advisory reps. IAPD ↗fund
$195.9M RAUM · 3 reps · 203-450-9909 · spice.vc
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
PATH CAPITAL PARTNERS, LLC (NORTH MIAMI BEACH, FL) is newly SEC-registered with $169.0M RAUM and 2 advisory reps. IAPD ↗fund
$169.0M RAUM · 2 reps · 305-808-6140
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BLUELINE CAPITAL (SAN FRANCISCO, CA) is newly SEC-registered with $240.4M RAUM and 7 advisory reps. IAPD ↗fund
$240.4M RAUM · 7 reps · 415-569-2762 · bluelinelp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
RISING POINT CAPITAL (CHICAGO, IL) is newly SEC-registered with $219.6M RAUM and 8 advisory reps. IAPD ↗fund
$219.6M RAUM · 8 reps · 312-479-8582 · risingpointcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SHADOWBOX LOGISTICS (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
$0 RAUM · 5 reps · 415-238-2850 · shadowboxlogistics.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CALLODINE BDC ADVISOR, LLC (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗fund
$0 RAUM · 10 reps · 617 588 3312
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
LRH CAPITAL ADVISING LLC (DALLAS, TX) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗fund
$113.9M RAUM · 1 reps · 2146801261
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
HIIVE ADVISORS INC. (VANCOUVER, Canada) is newly SEC-registered with $1.13B RAUM and 3 advisory reps. IAPD ↗foreign
$1.13B RAUM · 3 reps · 604-200-2405 · hiive.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
RAVENSTONE CAPITAL MANAGEMENT INC. (TORONTO, ONTARIO, Canada) is newly SEC-registered with $370.9M RAUM and 2 advisory reps. IAPD ↗foreign
$370.9M RAUM · 2 reps · 416-322-2067 · ravenstonecapital.ca
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
HEADWAY WEALTH (DURHAM, United Kingdom) is newly SEC-registered with $301.0M RAUM and 2 advisory reps. IAPD ↗foreign
$301.0M RAUM · 2 reps · 00442033935920 · headwaywealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
BEARBULL INVESTMENTS (DUBLIN 2, Ireland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · (510)-736-4710
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
BIASAFE SECURITIES USA CORP (MONTREAL, QC, Canada) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 438-373-7501 · biasafe.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 97 Count of additional offices increased.
55
BALDWIN WEALTH PARTNERS, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$2.33B RAUM · 14 reps · (508) 748-0800 · baldwinbrothersinc.com
Office IT & facilitiesCRMRecruiting & transitions
55
CLEARSTEAD; CLEARSTEAD ADVISORY SOLUTIONS added office(s): 8 -> 10 additional locations. IAPD ↗
$33.88B RAUM · 104 reps · 216-621-1090 · clearstead.com
Office IT & facilitiesCRMRecruiting & transitions
55
TIMUCUAN ASSET MANAGEMENT INC added office(s): 2 -> 3 additional locations. IAPD ↗
$3.81B RAUM · 4 reps · 904-356-1739 · timucuan.com
Office IT & facilitiesCRMRecruiting & transitions
55
FIRST FOUNDATION ADVISORS added office(s): 10 -> 11 additional locations. IAPD ↗
$5.06B RAUM · 28 reps · 949-476-0300
Office IT & facilitiesCRMRecruiting & transitions
55
F L PUTNAM INVESTMENT MANAGEMENT CO. added office(s): 13 -> 14 additional locations. IAPD ↗
$9.72B RAUM · 90 reps · 800-344-3435 · flputnam.com
Office IT & facilitiesCRMRecruiting & transitions
55
PLANCORP, LLC added office(s): 10 -> 11 additional locations. IAPD ↗
$9.94B RAUM · 51 reps · (636) 532-7824
Office IT & facilitiesCRMRecruiting & transitions
55
MATTER FAMILY OFFICE added office(s): 2 -> 3 additional locations. IAPD ↗
$3.81B RAUM · 40 reps · 314-862-5190 · matterfamilyoffice.com
Office IT & facilitiesCRMRecruiting & transitions
55
BRIGHTON JONES LLC added office(s): 31 -> 33 additional locations. IAPD ↗
$18.88B RAUM · 156 reps · 206-258-5000 · blueprintcap.com
Office IT & facilitiesCRMRecruiting & transitions
55
CPC ADVISORS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$1.68B RAUM · 17 reps · 404-879-3000
Office IT & facilitiesCRMRecruiting & transitions
55
THE WELCH GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$3.68B RAUM · 26 reps · 205-879-5001 · welchgroup.com
Office IT & facilitiesCRMRecruiting & transitions
55
PLANTE MORAN FINANCIAL ADVISORS added office(s): 12 -> 13 additional locations. IAPD ↗
$25.12B RAUM · 146 reps · 248-352-2500
Office IT & facilitiesCRMRecruiting & transitions
55
ANTOLINO WEALTH ADVISORS added office(s): 8 -> 9 additional locations. IAPD ↗
$1.42B RAUM · 11 reps · 614-442-3355
Office IT & facilitiesCRMRecruiting & transitions
55
THE INSTITUTE added office(s): 5 -> 6 additional locations. IAPD ↗
$1.37B RAUM · 17 reps · 303-572-3500
Office IT & facilitiesCRMRecruiting & transitions
55
COASTAL BRIDGE ADVISORS added office(s): 6 -> 10 additional locations. IAPD ↗
$5.02B RAUM · 25 reps · 203-683-1530 · focusfinancialpartners.com
Office IT & facilitiesCRMRecruiting & transitions
55
BLUESPRING WEALTH MANAGEMENT, LLC added office(s): 4 -> 7 additional locations. IAPD ↗
$5.43B RAUM · 47 reps · 737-443-2122 · bluespringwealthcalifornia.com
Office IT & facilitiesCRMRecruiting & transitions
55
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$4.11B RAUM · 36 reps · 310-399-6397
Office IT & facilitiesCRMRecruiting & transitions
55
SOLTIS INVESTMENT ADVISORS, LLC added office(s): 13 -> 19 additional locations. IAPD ↗
$12.04B RAUM · 63 reps · 435-674-1600 · soltisadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
STEELPEAK WEALTH, LLC added office(s): 12 -> 14 additional locations. IAPD ↗
$4.15B RAUM · 35 reps · (818) 835-8720 · steelpeak.com
Office IT & facilitiesCRMRecruiting & transitions
55
NORTHROCK PARTNERS, LLC added office(s): 18 -> 24 additional locations. IAPD ↗
$12.19B RAUM · 91 reps · (612) 367-8800
Office IT & facilitiesCRMRecruiting & transitions
55
THE PATRIOT FINANCIAL GROUP, LLC added office(s): 21 -> 24 additional locations. IAPD ↗
$2.64B RAUM · 33 reps · 508-251-6100 · provowealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
ALPHACORE CAPITAL LLC added office(s): 24 -> 27 additional locations. IAPD ↗
$9.03B RAUM · 69 reps · 858-875-4100 · alphacore.com
Office IT & facilitiesCRMRecruiting & transitions
55
NORTHCOAST ASSET MANAGEMENT LLC added office(s): 14 -> 15 additional locations. IAPD ↗
$4.97B RAUM · 28 reps · (203) 532-7000
Office IT & facilitiesCRMRecruiting & transitions
55
VANGUARD PERSONALIZED INDEXING MANAGEMENT added office(s): 6 -> 7 additional locations. IAPD ↗
$11.35B RAUM · 6 reps · 844-317-5190
Office IT & facilitiesCRMRecruiting & transitions
55
PASADENA PRIVATE WEALTH, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$1.62B RAUM · 8 reps · 626-993-9300 · pasadenaprivatewealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
LAKE STREET added office(s): 1 -> 2 additional locations. IAPD ↗
$1.16B RAUM · 6 reps · 312-766 7040 · clarity-fg.com
Office IT & facilitiesCRMRecruiting & transitions
55
EVOKE ADVISORS added office(s): 3 -> 4 additional locations. IAPD ↗
$17.29B RAUM · 25 reps · 424-372-1776 · mai.capital.evoke-advisors
Office IT & facilitiesCRMRecruiting & transitions
55
THEPARTNERS WEALTH MANAGEMENT added office(s): 23 -> 24 additional locations. IAPD ↗
$1.18B RAUM · 36 reps · 800-324-3010 · oceanpointefg.com
Office IT & facilitiesCRMRecruiting & transitions
55
BLUEPRINT FINANCIAL ADVISORS added office(s): 17 -> 21 additional locations. IAPD ↗
$1.41B RAUM · 39 reps · 844-200-2568 · komaracap.com
Office IT & facilitiesCRMRecruiting & transitions
55
DAYMARK WEALTH PARTNERS, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$5.04B RAUM · 21 reps · 513-838-2520 · music.amazon.com
Office IT & facilitiesCRMRecruiting & transitions
55
BREAKWATER CAPITAL GROUP added office(s): 5 -> 6 additional locations. IAPD ↗
$1.02B RAUM · 4 reps · (551) 342-3733 · breakwatercapitalgroup.com
Office IT & facilitiesCRMRecruiting & transitions
55
ETHOS FINANCIAL GROUP, LLC added office(s): 7 -> 8 additional locations. IAPD ↗
$2.14B RAUM · 33 reps · 610-822-5246
Office IT & facilitiesCRMRecruiting & transitions
55
UPTICK PARTNERS, LLC added office(s): 6 -> 8 additional locations. IAPD ↗
$1.06B RAUM · 25 reps · (936) 800-0800
Office IT & facilitiesCRMRecruiting & transitions
55
TRIAD WEALTH PARTNERS, LLC added office(s): 22 -> 28 additional locations. IAPD ↗
$1.53B RAUM · 33 reps · 785-830-0000 · vwpwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
BASECAMP WEALTH ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$1.08B RAUM · 4 reps · 425-553-0031 · basecampwealthadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
DARROW WEALTH MANAGEMENT added office(s): 4 -> 5 additional locations. IAPD ↗
$392.4M RAUM · 4 reps · 978-369-5144
Office IT & facilitiesCRMRecruiting & transitions
53
REDW WEALTH LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$869.2M RAUM · 9 reps · 505-998-3200
Office IT & facilitiesCRMRecruiting & transitions
53
PINNACLE WEALTH ADVISORS added office(s): 4 -> 5 additional locations. IAPD ↗
$549.7M RAUM · 14 reps · 503-654-5100 · thinkpinnacle.com.
Office IT & facilitiesCRMRecruiting & transitions
53
SAXONY CAPITAL MANAGEMENT, LLC added office(s): 18 -> 20 additional locations. IAPD ↗
$367.9M RAUM · 0 reps · 314-963-9336
Office IT & facilitiesCRMRecruiting & transitions
53
FINER WEALTH MANAGEMENT, INC. added office(s): 3 -> 4 additional locations. IAPD ↗
$305.8M RAUM · 2 reps · 978-740-1011 · finer.com
Office IT & facilitiesCRMRecruiting & transitions
53
RDA FINANCIAL NETWORK added office(s): 15 -> 16 additional locations. IAPD ↗
$675.2M RAUM · 17 reps · 888-300-4975
Office IT & facilitiesCRMRecruiting & transitions
53
FINANCIAL INDEPENDENCE, LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$288.1M RAUM · 4 reps · 401-681-4825
Office IT & facilitiesCRMRecruiting & transitions
53
BLUE WATER WEALTH added office(s): 1 -> 2 additional locations. IAPD ↗
$472.8M RAUM · 12 reps · 503-296-8700 · bluewaterwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
PRAIRIE WEALTH ADVISORS, INC. added office(s): 3 -> 4 additional locations. IAPD ↗
$558.0M RAUM · 10 reps · 402-505-6810
Office IT & facilitiesCRMRecruiting & transitions
53
MBE WEALTH MANAGEMENT, LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$977.1M RAUM · 10 reps · 608-372-5521
Office IT & facilitiesCRMRecruiting & transitions
53
ROSE CAPITAL ADVISORS, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$608.3M RAUM · 9 reps · 305-534-7673
Office IT & facilitiesCRMRecruiting & transitions
53
EXODUS WEALTH, LLC added office(s): 48 -> 49 additional locations. IAPD ↗
$483.6M RAUM · 51 reps · 925-791-4444 · thinkfloresfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
BETTERWEALTH LLC added office(s): 1 -> 3 additional locations. IAPD ↗
$659.9M RAUM · 5 reps · 408-659-2390 · betterwealth.us
Office IT & facilitiesCRMRecruiting & transitions
53
KINETIC INVESTMENT MANAGEMENT, INC. added office(s): 19 -> 20 additional locations. IAPD ↗
$450.9M RAUM · 31 reps · (800) 711-4818 · kineticfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
ROYAL OAK FINANCIAL ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$366.1M RAUM · 7 reps · 248-709-6134
Office IT & facilitiesCRMRecruiting & transitions
53
THE SUM added office(s): 0 -> 1 additional locations. IAPD ↗
$551.4M RAUM · 10 reps · 281-940-4859
Office IT & facilitiesCRMRecruiting & transitions
53
LGG FINANCIAL added office(s): 1 -> 2 additional locations. IAPD ↗
$563.9M RAUM · 2 reps · 301-312-6660 · lggfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
CMG WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$379.4M RAUM · 5 reps · 469-729-7084
Office IT & facilitiesCRMRecruiting & transitions
53
AURELIUS FAMILY OFFICE, LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$315.3M RAUM · 1 reps · 603-413-6060
Office IT & facilitiesCRMRecruiting & transitions
53
ROSSBY FINANCIAL, LLC added office(s): 15 -> 18 additional locations. IAPD ↗
$854.8M RAUM · 2 reps · 321-209-0111
Office IT & facilitiesCRMRecruiting & transitions
53
MDRN CAPITAL added office(s): 23 -> 24 additional locations. IAPD ↗
$338.6M RAUM · 22 reps · 410-533-9966 · go.aaroncirksena.com
Office IT & facilitiesCRMRecruiting & transitions
53
PROSPERA CAPITAL MANAGEMENT, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$343.9M RAUM · 3 reps · 480-648-9369 · deterswealthmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
53
PANDORA WEALTH, INC. added office(s): 1 -> 3 additional locations. IAPD ↗
$285.0M RAUM · 4 reps · (630) 230-6841
Office IT & facilitiesCRMRecruiting & transitions
53
ARENA PRIVATE WEALTH added office(s): 6 -> 7 additional locations. IAPD ↗
$404.7M RAUM · 8 reps · 312-798-9045
Office IT & facilitiesCRMRecruiting & transitions
53
ASSET ONE WEALTH MANAGEMENT, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$982.5M RAUM · 9 reps · (425) 504-8200 · assetone.com
Office IT & facilitiesCRMRecruiting & transitions
53
PROSPERITY FINANCIAL GROUP, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$503.0M RAUM · 8 reps · 925-314-8500 · 401kprosperityfg.com
Office IT & facilitiesCRMRecruiting & transitions
53
ADVISORY SOLUTIONS GROUP added office(s): 0 -> 13 additional locations. IAPD ↗
$408.4M RAUM · 33 reps · 763-417-1700 · advisorysolutions.com
Office IT & facilitiesCRMRecruiting & transitions
53
WEALTH INTELLIGENTLY NAVIGATED, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$532.9M RAUM · 7 reps · (864) 375-4031
Office IT & facilitiesCRMRecruiting & transitions
50
VORPAHL WING ADVISORS, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$124.4M RAUM · 4 reps · 509-747-1749 · vorpahlwing.com
Office IT & facilitiesCRMRecruiting & transitions
50
DRUM HILL CAPITAL, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$194.3M RAUM · 2 reps · 203-349-8182
Office IT & facilitiesCRMRecruiting & transitions
50
BARTLEY FINANCIAL ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$151.6M RAUM · 1 reps · 603-625-9900 · truthsocial.com
Office IT & facilitiesCRMRecruiting & transitions
50
AJF CAPITAL MANAGEMENT, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$178.5M RAUM · 4 reps · 212-779-0789
Office IT & facilitiesCRMRecruiting & transitions
50
SERVANT FINANCIAL, LTD. added office(s): 0 -> 1 additional locations. IAPD ↗
$143.6M RAUM · 1 reps · 630-264-0127
Office IT & facilitiesCRMRecruiting & transitions
50
INSIGHT FINANCIAL SERVICES added office(s): 0 -> 3 additional locations. IAPD ↗
$213.8M RAUM · 8 reps · 913-402-2020 · ifsadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
FULCRUM WEALTH MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗
$192.8M RAUM · 3 reps · 888-304-6942 · fulcrumeq.com
Office IT & facilitiesCRMRecruiting & transitions
50
PRAKASH INVESTMENT ADVISORS LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$161.5M RAUM · 2 reps · (978) 273-9747
Office IT & facilitiesCRMRecruiting & transitions
50
ANKERSTAR WEALTH, LLC added office(s): 0 -> 3 additional locations. IAPD ↗
$152.5M RAUM · 6 reps · 512-614-0085
Office IT & facilitiesCRMRecruiting & transitions
50
FOLIOBEYOND, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$206.6M RAUM · 3 reps · 212-397-7539 · foliobeyond.com
Office IT & facilitiesCRMRecruiting & transitions
50
AEGIS WEALTH MANAGEMENT, INC. added office(s): 28 -> 29 additional locations. IAPD ↗
$216.5M RAUM · 27 reps · (833) 483-8383 · oakwayfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
PEERLESS WEALTH added office(s): 0 -> 1 additional locations. IAPD ↗
$148.7M RAUM · 3 reps · 614-824-2824
Office IT & facilitiesCRMRecruiting & transitions
50
UMB PRIVATE WEALTH MANAGEMENT, LLC added office(s): 13 -> 14 additional locations. IAPD ↗
$124.7M RAUM · 41 reps · 816-860-7000 · umb.com
Office IT & facilitiesCRMRecruiting & transitions
50
CLARIVOR added office(s): 0 -> 1 additional locations. IAPD ↗
$4.4M RAUM · 1 reps · 212-810-1187
Office IT & facilitiesCRMRecruiting & transitions
50
MINT ASSET MANAGEMENT LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$64.5M RAUM · 4 reps · 908-777-1717 · mintassetmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
50
TRG INVESTMENT ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$167.1M RAUM · 6 reps · 800-222-6016
Office IT & facilitiesCRMRecruiting & transitions
50
GASSMAN FINANCIAL LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$112.6M RAUM · 1 reps · (603) 898-3663
Office IT & facilitiesCRMRecruiting & transitions
50
PEAK FINANCIAL PLANNING added office(s): 3 -> 6 additional locations. IAPD ↗
$93.0M RAUM · 7 reps · (818) 600-6099 · thepeakfp.com
Office IT & facilitiesCRMRecruiting & transitions
50
DBA BIG MONEY RETIREMENT AND BIG RETIREMENT added office(s): 4 -> 5 additional locations. IAPD ↗
$147.1M RAUM · 9 reps · 864-920-3155 · bigmoneyretirement.com
Office IT & facilitiesCRMRecruiting & transitions
50
ALTAR ROCK added office(s): 0 -> 4 additional locations. IAPD ↗
$158.7M RAUM · 5 reps · (917) 226-0565
Office IT & facilitiesCRMRecruiting & transitions
50
RIVERTREE WEALTH added office(s): 2 -> 3 additional locations. IAPD ↗
$143.1M RAUM · 4 reps · (501) 500-0893 · rivertreewealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
WURZ FINANCIAL SERVICES, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$117.0M RAUM · 3 reps · 859-291-9879
Office IT & facilitiesCRMRecruiting & transitions
50
STRIVE FINANCIAL GROUP, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$246.7M RAUM · 9 reps · (317) 590-0146 · firefighterfinancialadvisor.com
Office IT & facilitiesCRMRecruiting & transitions
50
RISE NORTH CAPITAL INVESTMENT ADVISORS added office(s): 1 -> 2 additional locations. IAPD ↗
$50.6M RAUM · 12 reps · (781) 519-6969
Office IT & facilitiesCRMRecruiting & transitions
50
COMMERCIAL TRUST FINANCIAL SERVICES added office(s): 0 -> 3 additional locations. IAPD ↗
$204.1M RAUM · 5 reps · 660-248-2223 · commercialtrustfs.com
Office IT & facilitiesCRMRecruiting & transitions
50
YOUR IA, LLC added office(s): 6 -> 19 additional locations. IAPD ↗
$106.6M RAUM · 15 reps · 800-823-0489 · youria.com
Office IT & facilitiesCRMRecruiting & transitions
50
OXFORD HARRIMAN PRIVATE WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · 317-581-4003 · ohcpwm.com
Office IT & facilitiesCRMRecruiting & transitions
43
CHICAGO ATLANTIC BDC ADVISERS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗institutional
$342.0M RAUM · 0 reps · 312-625-9295 · lien.chicagoatlantic.com
Office IT & facilitiesCRMRecruiting & transitions
40
AXA INVESTMENT MANAGERS US INC added office(s): 5 -> 6 additional locations. IAPD ↗fund
$79.24B RAUM · 87 reps · 212-681-3181 · bnpparibas-am.com
Office IT & facilitiesCRMRecruiting & transitions
40
THE MOLPUS WOODLANDS GROUP, LLC added office(s): 2 -> 5 additional locations. IAPD ↗fund
$1.83B RAUM · 23 reps · 601-948-8733
Office IT & facilitiesCRMRecruiting & transitions
40
BOFA SECURITIES, INC. added office(s): 5 -> 6 additional locations. IAPD ↗institutional
$0 RAUM · 317 reps · 646-743-2734 · bankofamerica.com
Office IT & facilitiesCRMRecruiting & transitions
38
SWS CAPITAL MANAGEMENT, LLC added office(s): 1 -> 3 additional locations. IAPD ↗fund
$413.1M RAUM · 4 reps · 212-461-6500
Office IT & facilitiesCRMRecruiting & transitions
38
CHICAGO ATLANTIC ADVISERS, LLC added office(s): 3 -> 4 additional locations. IAPD ↗fund
$970.3M RAUM · 30 reps · 312-625-9295
Office IT & facilitiesCRMRecruiting & transitions
25
BAILLIE GIFFORD OVERSEAS LTD added office(s): 1 -> 2 additional locations. IAPD ↗foreign
$144.00B RAUM · 144 reps · +44 131 275 2000
Office IT & facilitiesCRMRecruiting & transitions
25
VONTOBEL SWISS FINANCIAL ADVISERS added office(s): 3 -> 4 additional locations. IAPD ↗foreign
$11.94B RAUM · 60 reps · +41-58-2388111
Office IT & facilitiesCRMRecruiting & transitions
deregistered — 76 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
IWP WEALTH MANAGEMENT LLC (DENVER, CO) left the SEC roster (was $4.32B RAUM, 14 reps). IAPD ↗
$4.32B RAUM · 14 reps · 720-328-9700
Recruiting & transitionsM&A & valuation
65
D'ANNUNZIO CONSULTING GROUP, LLC (TACOMA, WA) left the SEC roster (was $1.90B RAUM, 2 reps). IAPD ↗
$1.90B RAUM · 2 reps · 253-272-1972 · dannunzioconsulting.com
Recruiting & transitionsM&A & valuation
65
WELLSPRING FINANCIAL PARTNERS (TUCSON, AZ) left the SEC roster (was $1.22B RAUM, 3 reps). IAPD ↗
$1.22B RAUM · 3 reps · 520-327-1019
Recruiting & transitionsM&A & valuation
65
VIVALDI CAPITAL MANAGEMENT LP (CHICAGO, IL) left the SEC roster (was $5.64B RAUM, 27 reps). IAPD ↗
$5.64B RAUM · 27 reps · 312.248.8300
Recruiting & transitionsM&A & valuation
63
OLSTEIN CAPITAL MANAGEMENT, L.P. (PURCHASE, NY) left the SEC roster (was $564.1M RAUM, 6 reps). IAPD ↗
$564.1M RAUM · 6 reps · 914-269-6100 · olsteinfunds.com
Recruiting & transitionsM&A & valuation
63
THE HOGAN-KNOTTS FINANCIAL GROUP, INC. (RED BANK, NJ) left the SEC roster (was $331.6M RAUM, 4 reps). IAPD ↗
$331.6M RAUM · 4 reps · 732-842-7400 · hkfg.biz
Recruiting & transitionsM&A & valuation
63
IMC ADVISORS, LLC (COLUMBUS, IN) left the SEC roster (was $540.0M RAUM, 3 reps). IAPD ↗
$540.0M RAUM · 3 reps · 812-376-3331 · imcadvisors.com
Recruiting & transitionsM&A & valuation
63
RESOURCE FINANCIAL GROUP, LTD. (WILMETTE, IL) left the SEC roster (was $637.4M RAUM, 2 reps). IAPD ↗
$637.4M RAUM · 2 reps · 847-256-7495 · rfgltd.com
Recruiting & transitionsM&A & valuation
63
NORTHSTAR FINANCIAL PLANNERS, INC. (PLANTATION, FL) left the SEC roster (was $311.6M RAUM, 4 reps). IAPD ↗
$311.6M RAUM · 4 reps · 954-693-0030
Recruiting & transitionsM&A & valuation
63
ALIGN IMPACT, LLC (DENVER, CO) left the SEC roster (was $715.4M RAUM, 11 reps). IAPD ↗
$715.4M RAUM · 11 reps · 805-243-8055
Recruiting & transitionsM&A & valuation
63
RED TORTOISE (ATLANTA, GA) left the SEC roster (was $382.3M RAUM, 4 reps). IAPD ↗
$382.3M RAUM · 4 reps · (833) 666-1200
Recruiting & transitionsM&A & valuation
63
NAPATREE CAPITAL LLC (WESTERLY, RI) left the SEC roster (was $260.0M RAUM, 4 reps). IAPD ↗
$260.0M RAUM · 4 reps · (401) 868-1115
Recruiting & transitionsM&A & valuation
63
RANSOM ADVISORY (location n/a) left the SEC roster (was $317.9M RAUM, 1 reps). IAPD ↗
$317.9M RAUM · 1 reps · (401) 601-0185
Recruiting & transitionsM&A & valuation
63
JOULE FINANCIAL, LLC (LEXINGTON, KY) left the SEC roster (was $478.6M RAUM, 6 reps). IAPD ↗
$478.6M RAUM · 6 reps · 859-881-0777 · joulefinancial.com
Recruiting & transitionsM&A & valuation
63
RITTER DANIHER FINANCIAL ADVISORY LLC (CINCINNATI, OH) left the SEC roster (was $936.5M RAUM, 10 reps). IAPD ↗
$936.5M RAUM · 10 reps · 513-233-0715 · ritterdaniher.com
Recruiting & transitionsM&A & valuation
60
V.M. MANNING & CO., INC. (GREENVILLE, SC) left the SEC roster (was $133.3M RAUM, 2 reps). IAPD ↗
$133.3M RAUM · 2 reps · 864-232-8231 · vmmanning.com
Recruiting & transitionsM&A & valuation
60
WARNKE/NICHOLS LTD. (DELAFIELD, WI) left the SEC roster (was $160.0M RAUM, 2 reps). IAPD ↗
$160.0M RAUM · 2 reps · 262-303-4113 · warnkenichols.com
Recruiting & transitionsM&A & valuation
60
SUMMIT CAPITAL INC. (location n/a) left the SEC roster (was $176.6M RAUM, 3 reps). IAPD ↗
$176.6M RAUM · 3 reps · 216-539-8444 · summit-capital.com
Recruiting & transitionsM&A & valuation
60
HODGE FINANCIAL SERVICES, LLC (location n/a) left the SEC roster (was $19.7M RAUM, 1 reps). IAPD ↗
$19.7M RAUM · 1 reps · 603-336-5942
Recruiting & transitionsM&A & valuation
60
WATERSTONE WEALTH ADVISORS, LLC (location n/a) left the SEC roster (was $164.9M RAUM, 1 reps). IAPD ↗
$164.9M RAUM · 1 reps · 732-873-0433
Recruiting & transitionsM&A & valuation
60
MERIDIAN WEALTH ADVISORS, LLC (ALBUQUERQUE, NM) left the SEC roster (was $156.2M RAUM, 1 reps). IAPD ↗
$156.2M RAUM · 1 reps · (505) 828-2220 · wealthtender.com
Recruiting & transitionsM&A & valuation
60
CROSSPOINT CAPITAL MANAGEMENT (ORINDA, CA) left the SEC roster (was $118.0M RAUM, 2 reps). IAPD ↗
$118.0M RAUM · 2 reps · 415-949-1443
Recruiting & transitionsM&A & valuation
60
LPK INVESTMENT GROUP, LLP (NEW YORK, NY) left the SEC roster (was $98.0M RAUM, 18 reps). IAPD ↗
$98.0M RAUM · 18 reps · 646-363-6433 · lpkinvestmentgroup.com
Recruiting & transitionsM&A & valuation
60
FOCUSED TRADING AND INVESTMENTS, INC. (location n/a) left the SEC roster (was $10,000 RAUM, 1 reps). IAPD ↗
$10,000 RAUM · 1 reps · 919-608-1259 · focusedtrading.com
Recruiting & transitionsM&A & valuation
60
ATLANTIC WEALTH PARTNERS, LLC (JUPITER, FL) left the SEC roster (was $198.1M RAUM, 4 reps). IAPD ↗
$198.1M RAUM · 4 reps · 561-632-0566 · atlanticwp.com
Recruiting & transitionsM&A & valuation
60
21PEAKS CAPITAL MANAGEMENT, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $618,799 RAUM, 5 reps). IAPD ↗
$618,799 RAUM · 5 reps · 833-948-6937
Recruiting & transitionsM&A & valuation
60
HEMISTA INC. (BOSTON, MA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 617-817-4663
Recruiting & transitionsM&A & valuation
60
WEALTHGAP (location n/a) left the SEC roster (was $40,719 RAUM, 1 reps). IAPD ↗
$40,719 RAUM · 1 reps · 917-831-0242 · ewealthgap.com
Recruiting & transitionsM&A & valuation
60
EARLYBIRD CENTRAL INC. (location n/a) left the SEC roster (was $14.0M RAUM, 1 reps). IAPD ↗
$14.0M RAUM · 1 reps · (347) 469-8150 · getearlybird.io
Recruiting & transitionsM&A & valuation
60
UNIFIMONEY RIA, INC. (location n/a) left the SEC roster (was $62,000 RAUM, 2 reps). IAPD ↗
$62,000 RAUM · 2 reps · 415-964-5877
Recruiting & transitionsM&A & valuation
60
OAKHURST CAPITAL ADVISORS, LLC (WASHINGTON, DC) left the SEC roster (was $5.7M RAUM, 3 reps). IAPD ↗
$5.7M RAUM · 3 reps · 202-839-4910
Recruiting & transitionsM&A & valuation
60
ELITE RETIREMENT GROUP (PLOVER, WI) left the SEC roster (was $168.4M RAUM, 4 reps). IAPD ↗
$168.4M RAUM · 4 reps · 715-341-8899
Recruiting & transitionsM&A & valuation
60
DINERAZO INC. (NORTH MIAMI, FL) left the SEC roster (was $7,500 RAUM, 1 reps). IAPD ↗
$7,500 RAUM · 1 reps · 503-804-4654 · dinerazo.com
Recruiting & transitionsM&A & valuation
60
DOUBLE I INVESTMENTS, LLC (location n/a) left the SEC roster (was $50,000 RAUM, 1 reps). IAPD ↗
$50,000 RAUM · 1 reps · 385-528-4042 · gamepick.com
Recruiting & transitionsM&A & valuation
60
FINTRON ADVISORS, LLC (STAMFORD, CT) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 203-557-4458 · fintroninvest.com
Recruiting & transitionsM&A & valuation
60
GIBERTINI, ANTHONY (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 219-380-9363 · anthonygibertini.carrd.co
Recruiting & transitionsM&A & valuation
60
EARTHQUAKE (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 617-866-7489 · earth-quake.us
Recruiting & transitionsM&A & valuation
60
OFF CAMBER CREATIVE LLC (PROSPECT, KY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 502-496-4316
Recruiting & transitionsM&A & valuation
60
SOUND ADVICE FINANCIAL INC. (BANNOCKBURN, IL) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 312-690-4163 · soundadvice.ai
Recruiting & transitionsM&A & valuation
60
TREASURY INTERACTIVE INVESTMENT ADVISERS LLC (BROOKLYN, NY) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 6466853046
Recruiting & transitionsM&A & valuation
60
DECODE FINANCE LLC (PALO ALTO, CA) left the SEC roster (was $1,000 RAUM, 1 reps). IAPD ↗
$1,000 RAUM · 1 reps · 408-500-8242 · decode.finance
Recruiting & transitionsM&A & valuation
60
ARCH OTC LLC (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 954-261-3960 · arch.finance
Recruiting & transitionsM&A & valuation
60
MM ADVISORS, LLC (AUBURN, AL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 334-887-7022
Recruiting & transitionsM&A & valuation
60
SCOUT WEALTH ADVISORS LLC (PASADENA, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 844-839-9100 · scoutwa.com
Recruiting & transitionsM&A & valuation
60
LANMAR CAPITAL MANAGEMENT (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $1.8M RAUM, 1 reps). IAPD ↗
$1.8M RAUM · 1 reps · 347-409-1302 · lanmarcapital.com
Recruiting & transitionsM&A & valuation
60
PECUSAVVY FINANCIAL (EL PASO, TX) left the SEC roster — its 120-day provisional registration did not convert (was $9.1M RAUM, 1 reps). IAPD ↗
$9.1M RAUM · 1 reps · (915) 944-1850 · pecusavvyfinancial.com
Recruiting & transitionsM&A & valuation
53
SUNFLOWER WEALTH ADVISORS LLC (SALINA, KS) left the SEC roster (was $812.8M RAUM, 3 reps). IAPD ↗institutional
$812.8M RAUM · 3 reps · 844-882-0193
Recruiting & transitionsM&A & valuation
53
REGENTS PARK FUNDS, LLC (IRVINE, CA) left the SEC roster (was $433.0M RAUM, 4 reps). IAPD ↗institutional
$433.0M RAUM · 4 reps · 949-891-0600 · regentsparkfunds.com
Recruiting & transitionsM&A & valuation
50
BNP PARIBAS ASSET MANAGEMENT USA, INC. (NEW YORK, NY) left the SEC roster (was $48.44B RAUM, 68 reps). IAPD ↗fund
$48.44B RAUM · 68 reps · 212-681-3181 · bnpparibas-am.com
Recruiting & transitionsM&A & valuation
50
SMITH GROUP ASSET MANAGEMENT (DALLAS, TX) left the SEC roster (was $182.2M RAUM, 10 reps). IAPD ↗institutional
$182.2M RAUM · 10 reps · 214-880-4600
Recruiting & transitionsM&A & valuation
50
REGATTA LOAN MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $3.33B RAUM, 0 reps). IAPD ↗fund
$3.33B RAUM · 0 reps · 212-235-0700
Recruiting & transitionsM&A & valuation
50
ALPHAQUEST LLC (NEW YORK, NY) left the SEC roster (was $2.21B RAUM, 20 reps). IAPD ↗fund
$2.21B RAUM · 20 reps · (212) 838-7222
Recruiting & transitionsM&A & valuation
50
TWO SIGMA VENTURES, LP (NEW YORK, NY) left the SEC roster (was $2.23B RAUM, 14 reps). IAPD ↗fund
$2.23B RAUM · 14 reps · (212) 625-5700 · twosigmaventures.com
Recruiting & transitionsM&A & valuation
50
8 KNOTS MANAGEMENT, LLC (DALLAS, TX) left the SEC roster (was $2.03B RAUM, 1 reps). IAPD ↗fund
$2.03B RAUM · 1 reps · 646-379-0396
Recruiting & transitionsM&A & valuation
50
FINEQUITIES LLC (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · N/A · finequities.com
Recruiting & transitionsM&A & valuation
50
FINANCE FRIENDS (location n/a) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · (424) 262-8340 · financefriends.org
Recruiting & transitionsM&A & valuation
50
FINSIE (BELMONT, CA) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 650-262-1863
Recruiting & transitionsM&A & valuation
50
CLEARUP LLC (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 617-545-5160 · clearupthis.com
Recruiting & transitionsM&A & valuation
50
WEALTH BUILDER FUNDS LLC (CARY, IL) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 847-639-7830
Recruiting & transitionsM&A & valuation
50
MIDBRIDGE ADVISORS LP (DENVER, CO) left the SEC roster (was $0 RAUM, 12 reps). IAPD ↗institutional
$0 RAUM · 12 reps · 303-454-5453 · midbridge.com
Recruiting & transitionsM&A & valuation
50
FMAC MANAGEMENT LLC (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 212-798-6100 · fortress.com
Recruiting & transitionsM&A & valuation
50
HURRICANE ADVISOR SOLUTIONS (NEW YORK, NY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 212-702-7101 · hurricaneadvisorsolutions.io
Recruiting & transitionsM&A & valuation
50
SPA RIA (SANTA MONICA, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 617 817-5344
Recruiting & transitionsM&A & valuation
50
BERENSON CAPITAL MANAGEMENT, 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) 935 7676
Recruiting & transitionsM&A & valuation
48
SPUR CAPITAL PARTNERS (BARTLESVILLE, OK) left the SEC roster (was $879.9M RAUM, 5 reps). IAPD ↗fund
$879.9M RAUM · 5 reps · 918-331-3800 · spurcap.com
Recruiting & transitionsM&A & valuation
48
TALARA CAPITAL MANAGEMENT, LLC (MONTCLAIR, NJ) left the SEC roster (was $317.6M RAUM, 2 reps). IAPD ↗fund
$317.6M RAUM · 2 reps · 845-213-8224 · talaracapital.com
Recruiting & transitionsM&A & valuation
45
ALCION VENTURES, L.P. (BURLINGTON, MA) left the SEC roster (was $153.8M RAUM, 3 reps). IAPD ↗fund
$153.8M RAUM · 3 reps · 617-603-1000 · alcionventures.com
Recruiting & transitionsM&A & valuation
45
VANSHAP CAPITAL, LLC (ARLINGTON, VA) left the SEC roster (was $76.7M RAUM, 2 reps). IAPD ↗fund
$76.7M RAUM · 2 reps · (571) 933-6950 · vanshapcapital.com
Recruiting & transitionsM&A & valuation
45
HUDSON EXECUTIVE CAPITAL LP (NEW YORK, NY) left the SEC roster (was $178.1M RAUM, 1 reps). IAPD ↗fund
$178.1M RAUM · 1 reps · 212-521-8495
Recruiting & transitionsM&A & valuation
45
CHANGE FORCES (PORTOLA VALLEY, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · (202) 413-4222
Recruiting & transitionsM&A & valuation
45
FIDEM CREDIT ADVISORS (PHILADELPHIA, PA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 5 reps). IAPD ↗fund
$0 RAUM · 5 reps · (215) 413-3170
Recruiting & transitionsM&A & valuation
45
ALPHA ONE ASSET MANAGEMENT LLC (PASADENA, CA) left the SEC roster (was $114.7M RAUM, 2 reps). IAPD ↗fund
$114.7M RAUM · 2 reps · 213-688-8000
Recruiting & transitionsM&A & valuation
35
INVESCO (TORONTO, ONTARIO, Canada) left the SEC roster (was $19.87B RAUM, 7 reps). IAPD ↗foreign
$19.87B RAUM · 7 reps · 1-800-874-6275
Recruiting & transitionsM&A & valuation
35
BOUSSARD & GAVAUDAN INVESTMENT MANAGEMENT LLP (LONDON, United Kingdom) left the SEC roster (was $3.68B RAUM, 4 reps). IAPD ↗foreign
$3.68B RAUM · 4 reps · +44-203-751-5400 · boussard-gavaudan.com
Recruiting & transitionsM&A & valuation
30
AMVOY WEALTH (DUBLIN, Ireland) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗foreign
$0 RAUM · 0 reps · +353 86 8225100 · amvoywealth.com
Recruiting & transitionsM&A & valuation
30
ALAMUT CAPITAL (TORONTO, Canada) left the SEC roster (was $123,392 RAUM, 1 reps). IAPD ↗foreign
$123,392 RAUM · 1 reps · 647 574 4093 · alamut.capital
Recruiting & transitionsM&A & valuation
disclosure added — 36 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 1 (163 -> 164). IAPD ↗
$429.69B RAUM · 8479 reps · 800-999-2000 · wealthpartners.jpmorgan.com
ComplianceMarketing & brand
55
EDWARD JONES's Item 11 disclosure-reporting entries rose by 4 (297 -> 301). IAPD ↗
$1013.61B RAUM · 20304 reps · 314-515-2000 · bridgebuildermutualfunds.edwardjones.com
ComplianceMarketing & brand
55
LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 4 (376 -> 380). IAPD ↗
$819.12B RAUM · 36280 reps · 704-733-3300
ComplianceMarketing & brand
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 3 (476 -> 479). IAPD ↗
$1781.57B RAUM · 25721 reps · 800-637-7455
ComplianceMarketing & brand
55
PRIMERICA ADVISORS's Item 11 disclosure-reporting entries rose by 1 (51 -> 52). IAPD ↗
$15.54B RAUM · 3959 reps · 833-786-0550 · landmark.primerica.com
ComplianceMarketing & brand
55
CENTAURUS FINANCIAL, INC.'s Item 11 disclosure-reporting entries rose by 1 (26 -> 27). IAPD ↗
$9.74B RAUM · 426 reps · 714-456-1790 · centaurusfinancial.com
ComplianceMarketing & brand
55
HIGHLAND ASSOCIATES INC's Item 11 disclosure-reporting entries rose by 2 (11 -> 13). IAPD ↗
$20.99B RAUM · 18 reps · 205-933-8664
ComplianceMarketing & brand
55
NEPC, LLC's Item 11 disclosure-reporting entries rose by 4 (4 -> 8). IAPD ↗
$152.72B RAUM · 132 reps · 617-374-1300
ComplianceMarketing & brand
55
EMPOWER ADVISORY GROUP, LLC's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗
$195.43B RAUM · 6138 reps · 866-575-4977 · empower.com
ComplianceMarketing & brand
55
DELTA ASSET MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 1 (8 -> 9). IAPD ↗
$1.53B RAUM · 6 reps · 901-767-4791
ComplianceMarketing & brand
55
NORTHEAST FINANCIAL GROUP, INC.'s Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$1.44B RAUM · 1 reps · 570-688-9898
ComplianceMarketing & brand
55
HIGHTOWER ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (8 -> 9). IAPD ↗
$198.58B RAUM · 953 reps · 312-962-3800 · cogneticcapital.com
ComplianceMarketing & brand
55
MERCER GLOBAL ADVISORS INC.'s Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$84.40B RAUM · 632 reps · (888) 885-8101 · vintagefs.com
ComplianceMarketing & brand
55
PRECISION FIDUCIARY PARTNERS, LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$24.08B RAUM · 8 reps · (512) 879-1505 · mesirowfinancial.com
ComplianceMarketing & brand
55
THE MATHER GROUP, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$13.45B RAUM · 97 reps · 888-537-1080
ComplianceMarketing & brand
55
VANGUARD PERSONALIZED INDEXING MANAGEMENT's Item 11 disclosure-reporting entries rose by 2 (110 -> 112). IAPD ↗
$11.35B RAUM · 6 reps · 844-317-5190
ComplianceMarketing & brand
55
CORIENT's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$165.25B RAUM · 620 reps · (305) 735-2020
ComplianceMarketing & brand
53
AXIOM ASSET MANAGEMENT's Item 11 disclosure-reporting entries rose by 10 (7 -> 17). IAPD ↗
$899.6M RAUM · 5 reps · 610-688-0050 · axiomasset.com
ComplianceMarketing & brand
53
FLORIDA FINANCIAL ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$456.1M RAUM · 667 reps · (813) 333-1683
ComplianceMarketing & brand
50
STATETRUST CAPITAL, LLC.'s Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$93.7M RAUM · 2 reps · 305-921-8101 · statetrust.com
ComplianceMarketing & brand
50
COMPASS RETIREMENT GROUP LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$111.9M RAUM · 7 reps · 314-373-1598 · crsretirement.com
ComplianceMarketing & brand
50
MASTERWORKS ADVISERS, LLC's Item 11 disclosure-reporting entries rose by 2 (4 -> 6). IAPD ↗
$8.1M RAUM · 13 reps · 203-518-5172 · masterworks.com
ComplianceMarketing & brand
45
THE VARIABLE ANNUITY LIFE INSURANCE COMPANY's Item 11 disclosure-reporting entries rose by 1 (66 -> 67). IAPD ↗institutional
$32.94B RAUM · 5 reps · 713-522-1111
ComplianceMarketing & brand
45
VANGUARD GROUP INC's Item 11 disclosure-reporting entries rose by 2 (120 -> 122). IAPD ↗institutional
$11092.67B RAUM · 19 reps · 610-669-1000 · vanguardjobs.com
ComplianceMarketing & brand
45
VANGUARD GLOBAL ADVISERS, LLC's Item 11 disclosure-reporting entries rose by 2 (117 -> 119). IAPD ↗institutional
$249.66B RAUM · 314 reps · 610-669-1000 · vanguardoffshore.com
ComplianceMarketing & brand
45
VANGUARD CAPITAL MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (104 -> 106). IAPD ↗institutional
$8436.18B RAUM · 235 reps · 610-669-1000
ComplianceMarketing & brand
45
VANGUARD PORTFOLIO MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (104 -> 106). IAPD ↗institutional
$2656.48B RAUM · 105 reps · 610-669-1000
ComplianceMarketing & brand
40
BENEFIT STREET PARTNERS L.L.C.'s Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗fund
$28.32B RAUM · 110 reps · 212-588-6770
ComplianceMarketing & brand
40
TPG CAPITAL ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗fund
$140.57B RAUM · 410 reps · 817-871-4000
ComplianceMarketing & brand
40
BERENBERG ASSET MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗institutional
$34.8M RAUM · 17 reps · 646-949-9000
ComplianceMarketing & brand
40
BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 1 (147 -> 148). IAPD ↗institutional
$0 RAUM · 317 reps · 646-743-2734 · bankofamerica.com
ComplianceMarketing & brand
40
TIKEHAU CAPITAL NORTH AMERICA LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$6.16B RAUM · 38 reps · 212-922-3734 · tikehaustarinfra.com
ComplianceMarketing & brand
40
VANGUARD ALTERNATIVE ASSETS ADVISER, LLC's Item 11 disclosure-reporting entries rose by 4 (104 -> 108). IAPD ↗institutional
$0 RAUM · 25 reps · 610-669-1000
ComplianceMarketing & brand
38
CANARAS CAPITAL MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$561.0M RAUM · 8 reps · 212-372-7444
ComplianceMarketing & brand
25
RATHBONES's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
$135.09B RAUM · 725 reps · +44-151 236 6666 · rathbones.com
ComplianceMarketing & brand
25
MASECO PRIVATE WEALTH's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗foreign
$4.96B RAUM · 24 reps · +44 20 7043 0455 · spotify.link
ComplianceMarketing & brand
relocation — 35 Main office moved to a different city or state.
50
STEELPEAK WEALTH, LLC moved its main office from WOODLAND HILLS, CA to LOS ANGELES, CA. IAPD ↗
$4.15B RAUM · 35 reps · (818) 835-8720 · steelpeak.com
Office IT & facilitiesMarketing & brand
50
QUATTRO FINANCIAL ADVISORS moved its main office from THE WOODLANDS, TX to MONTGOMERY, TX. IAPD ↗
$1.66B RAUM · 1 reps · 281 323 4007 · quattrofa.com
Office IT & facilitiesMarketing & brand
50
CORIENT moved its main office from MIAMI, IL to MIAMI, FL. IAPD ↗
$165.25B RAUM · 620 reps · (305) 735-2020
Office IT & facilitiesMarketing & brand
48
DOMINION PORTFOLIO MANAGEMENT, INC. moved its main office from MARBLE FALLS, TX to TAMPA, FL. IAPD ↗
$277.1M RAUM · 18 reps · 813-264-0440
Office IT & facilitiesMarketing & brand
48
AVALON CAPITAL MANAGEMENT moved its main office from PORT OF REDWOOD CITY, CA to MENLO PARK, CA. IAPD ↗
$582.2M RAUM · 3 reps · 650-306-1500 · avaloncapital.com
Office IT & facilitiesMarketing & brand
48
PARKVIEW US LLC moved its main office from NEW YORK CITY, NY to NEW YORK, NY. IAPD ↗
$312.3M RAUM · 4 reps · 1 646 213 4980 · parkviewgroup.com
Office IT & facilitiesMarketing & brand
48
ALMANACK INVESTMENT PARTNERS moved its main office from WAYNE, PA to NEWTOWN SQUARE, PA. IAPD ↗
$945.9M RAUM · 13 reps · 484-580-2277 · whiteknightcapital.net
Office IT & facilitiesMarketing & brand
48
CROSS FINANCIAL ADVISORS moved its main office from BEAVERTON, OR to PORTLAND, OR. IAPD ↗
$481.8M RAUM · 11 reps · (503) 430-0563 · crossfinancialmgmt.com
Office IT & facilitiesMarketing & brand
48
HOXTON WEALTH moved its main office from JERSEY CITY, NJ to ORLANDO, FL. IAPD ↗
$803.5M RAUM · 34 reps · 737-249-9620
Office IT & facilitiesMarketing & brand
48
GLOBAL KANDOR ADVISORS, LLC moved its main office from KEY BISCAYNE, FL to MIAMI, FL. IAPD ↗
$483.3M RAUM · 3 reps · (786) 558-0391 · globalkandor.com
Office IT & facilitiesMarketing & brand
48
PANDORA WEALTH, INC. moved its main office from OAKBROOK TERRACE, IL to LAS VEGAS, NV. IAPD ↗
$285.0M RAUM · 4 reps · (630) 230-6841
Office IT & facilitiesMarketing & brand
48
REVEL WEALTH MANAGEMENT moved its main office from TEANECK, NJ to ELMWOOD PARK, NJ. IAPD ↗
$258.9M RAUM · 2 reps · 316-518-3615 · revelwm.com
Office IT & facilitiesMarketing & brand
45
RENAUD & COMPANY, LLC moved its main office from OFALLON, MO to O'FALLON, MO. IAPD ↗
$210.7M RAUM · 2 reps · 636-240-5055
Office IT & facilitiesMarketing & brand
45
STEWARDSHIP FINANCIAL PLANNING moved its main office from IRVINGTON, NY to TARRYTOWN, NY. IAPD ↗
$65.5M RAUM · 1 reps · 914-380-1421 · stewardshipfp.com
Office IT & facilitiesMarketing & brand
45
DAVIDOV WEALTH GROUP, LLC moved its main office from NEW HYDE PARK, NY to GARDEN CITY, NY. IAPD ↗
$174.5M RAUM · 2 reps · (516) 587-5550 · davidovfinancial.com
Office IT & facilitiesMarketing & brand
45
LEGACY CORNERSTONE WEALTH LLC moved its main office from LAS VEGAS, NV to PEORIA, AZ. IAPD ↗
$22.4M RAUM · 1 reps · 702-767-9891 · legacycornerstonewealth.com
Office IT & facilitiesMarketing & brand
45
WINTHROP PARTNERS - EPA, LLC moved its main office from BUFFALO, NY to ORCHARD, NY. IAPD ↗
$82.2M RAUM · 3 reps · 716-508-8178
Office IT & facilitiesMarketing & brand
45
WINTHROP PARTNERS - WNY, LLC moved its main office from BUFFALO, NY to ORCHARD, NY. IAPD ↗
$186.2M RAUM · 4 reps · 716-508-8178 · winthroppartners.com
Office IT & facilitiesMarketing & brand
45
WINTHROP PARTNERS - WPA , LLC moved its main office from BUFFALO, NY to ORCHARD, NY. IAPD ↗
$44.1M RAUM · 2 reps · 716-508-8178
Office IT & facilitiesMarketing & brand
45
AUTHENTIKOS WEALTH ADVISORY LLC moved its main office from MORGAN HILL, CA to NEW BRAUNFELS, TX. IAPD ↗
$184.1M RAUM · 3 reps · (877) 457-4567
Office IT & facilitiesMarketing & brand
45
NINTH ETERNITY ASSET MANAGEMENT LLC moved its main office from CAMBRIDGE, MA to NEW YORK, NY. IAPD ↗
$238.6M RAUM · 2 reps · 5162866888 · neam-us.com.
Office IT & facilitiesMarketing & brand
45
ORMONDE INVESTMENT MANAGEMENT, LLC moved its main office from AYLSHAM, to DALLAS, TX. IAPD ↗
$105.3M RAUM · 2 reps · +1 833 689 6003 · ormondeinvestments.com
Office IT & facilitiesMarketing & brand
45
SUNDIAL WEALTH LLC moved its main office from BOCA RATON, FL to DELRAY BEACH, FL. IAPD ↗
$125.8M RAUM · 1 reps · 561-302-4371 · sundialwealth.com
Office IT & facilitiesMarketing & brand
45
FOREST CAPITAL moved its main office from CONCORD, NC to CHARLOTTE, NC. IAPD ↗
$143.2M RAUM · 1 reps · 704.533.9876 · forestcapital.net
Office IT & facilitiesMarketing & brand
45
STEELE STREET CAPITAL LLC moved its main office from KITTERY, ME to PORTSMOUTH, NH. IAPD ↗
$140.5M RAUM · 2 reps · 207-475-0060 · steelestreetcapital.com
Office IT & facilitiesMarketing & brand
40
RETIREMENT AND WEALTH AT ALLIANT, LLC moved its main office from ALPHARETTA, GA to WAYNE, PA. IAPD ↗institutional
$7.37B RAUM · 30 reps · 267 363 2865 · alliantretirementconsulting.com
Office IT & facilitiesMarketing & brand
38
LASALLE DEBT INVESTORS, LLC moved its main office from LOS ANGELES, CA to DENVER, CO. IAPD ↗institutional
$384.7M RAUM · 14 reps · 720-614-8939 · lasalle.com
Office IT & facilitiesMarketing & brand
35
AXA INVESTMENT MANAGERS US INC moved its main office from STAMFORD, CT to NEW YORK, NY. IAPD ↗fund
$79.24B RAUM · 87 reps · 212-681-3181 · bnpparibas-am.com
Office IT & facilitiesMarketing & brand
35
LOCKTON INVESTMENT ADVISORS, LLC moved its main office from KANSAS CITY, MO to OVERLAND PARK, KS. IAPD ↗institutional
$0 RAUM · 24 reps · 816-960-9000 · lockton.com
Office IT & facilitiesMarketing & brand
35
INCOME DISCOVERY moved its main office from LIBERTY CORNER, NJ to BASKING RIDGE, NJ. IAPD ↗institutional
$0 RAUM · 10 reps · 1-888-966-9469 · incomediscovery.com
Office IT & facilitiesMarketing & brand
35
ALPHA WAVE GLOBAL, LP moved its main office from MIAMI BEACH, FL to MIAMI, FL. IAPD ↗fund
$26.66B RAUM · 48 reps · 305-360-3020
Office IT & facilitiesMarketing & brand
35
GADSDEN moved its main office from WAYNE, PA to NEWTOWN SQUARE, PA. IAPD ↗institutional
$161.8M RAUM · 1 reps · 484-580-2277 · gadsdenfunds.com
Office IT & facilitiesMarketing & brand
35
RAYLIANT INVESTMENT RESEARCH moved its main office from NEWPORT BEACH, CA to WALNUT, CA. IAPD ↗institutional
$203.5M RAUM · 8 reps · 626-407-4581 · rayliant.com
Office IT & facilitiesMarketing & brand
33
ROSCOMMON ANALYTICS LLC moved its main office from HOUSTON, TX to NEW YORK, NY. IAPD ↗fund
$880.6M RAUM · 45 reps · 212-850-8865
Office IT & facilitiesMarketing & brand
30
GATEMORE moved its main office from NEW YORK, NY to ASPEN, CO. IAPD ↗fund
$239.5M RAUM · 3 reps · 970-746-4790 · gvpclimate.com
Office IT & facilitiesMarketing & brand
website changed — 34 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
WELLINGTON CONSULTING SERVICES INC changed its website from wellington401k.com to wrs401k.com. IAPD ↗
$1.69B RAUM · 9 reps · 877-836-1993 · wrs401k.com
Marketing & brand
30
TRILLIUM ASSET MANAGEMENT changed its website from trilliummutualfunds.com to trilliumassetmanagement.com. IAPD ↗
$4.31B RAUM · 38 reps · 617-423-6655 · trilliumassetmanagement.com
Marketing & brand
30
WATERLOO CAPITAL changed its website from elementconsultants.com to hapinvestments.com. IAPD ↗
$2.26B RAUM · 44 reps · 512-777-5900 · hapinvestments.com
Marketing & brand
30
MANAGED ACCOUNT ADVISORS LLC changed its website from utility.bankofamerica.com to pbig.ml.com. IAPD ↗
$994.99B RAUM · 25 reps · 201-557-0504 · pbig.ml.com
Marketing & brand
30
CGN ADVISORS, LLC changed its website from pearsonfinancialplanning.com to lincefinancialplanning.com. IAPD ↗
$1.60B RAUM · 37 reps · 910-333-6659 · lincefinancialplanning.com
Marketing & brand
30
OAK CITY INVESTMENT CONSULTING changed its website from oakcityconsulting.com to oakcityinvestmentconsulting.com. IAPD ↗
$1.43B RAUM · 3 reps · 919-844-6450 · oakcityinvestmentconsulting.com
Marketing & brand
30
THE PATRIOT FINANCIAL GROUP, LLC changed its website from joffreysmith.com to provowealth.com. IAPD ↗
$2.64B RAUM · 33 reps · 508-251-6100 · provowealth.com
Marketing & brand
30
SPYGLASS CAPITAL MANAGEMENT, LLC changed its website from spyglassfunds.com to spygx.com. IAPD ↗
$2.02B RAUM · 5 reps · 415-318-2366 · spygx.com
Marketing & brand
30
ATOM INVESTORS LP changed its website from atomlp.com to indexprogroup.com. IAPD ↗
$6.83B RAUM · 8 reps · (737) 249-0292 · indexprogroup.com
Marketing & brand
30
MAIN STREET FINANCIAL SOLUTIONS, LLC changed its website from exitfour.com to tblfinancial.com. IAPD ↗
$2.51B RAUM · 35 reps · 215-259-5021 · tblfinancial.com
Marketing & brand
30
SMITH GROUP ASSET MANAGEMENT, LLC changed its website from smithasset.com to cantorassetmanagement.com. IAPD ↗
$1.41B RAUM · 12 reps · 214-880-4600 · cantorassetmanagement.com
Marketing & brand
30
THEPARTNERS WEALTH MANAGEMENT changed its website from wilkinswealthmanagement.com to oceanpointefg.com. IAPD ↗
$1.18B RAUM · 36 reps · 800-324-3010 · oceanpointefg.com
Marketing & brand
30
BLUEPRINT FINANCIAL ADVISORS changed its website from buildyourblueprint.com to komaracap.com. IAPD ↗
$1.41B RAUM · 39 reps · 844-200-2568 · komaracap.com
Marketing & brand
30
TITLEIST ASSET MANAGEMENT, LLC changed its website from mosaicfinancialadvisers.com to highpoint-wealth.com. IAPD ↗
$2.66B RAUM · 25 reps · 210-826-2424 · highpoint-wealth.com
Marketing & brand
30
TRIAD WEALTH PARTNERS, LLC changed its website from milesfinancialgroup.com to vwpwealth.com. IAPD ↗
$1.53B RAUM · 33 reps · 785-830-0000 · vwpwealth.com
Marketing & brand
28
CLARK FINANCIAL SERVICES GROUP, INC. changed its website from clarkfin.com to clarkfin2.com. IAPD ↗
$498.7M RAUM · 5 reps · 314-469-5000 · clarkfin2.com
Marketing & brand
28
TOWLE & CO changed its website from towlefunds.com to smallcapvalue.com. IAPD ↗
$473.7M RAUM · 4 reps · 303-731-2494 · smallcapvalue.com
Marketing & brand
28
CLARITY ASSET MANAGEMENT, INC. changed its website from investmentclarity.com to clarityinvestments.com. IAPD ↗
$257.4M RAUM · 4 reps · 515-233-3152 · clarityinvestments.com
Marketing & brand
28
HARVEST FINANCIAL ADVISORS, LLC changed its website from harvest-advisor.com to harvestadvisors.com. IAPD ↗
$671.0M RAUM · 5 reps · 513-779-3030 · harvestadvisors.com
Marketing & brand
28
CAPE INVESTMENT ADVISORY, INC. changed its website from blfgonline.com to glacierwealthmanagement.com. IAPD ↗
$473.7M RAUM · 28 reps · 678-583-1120 · glacierwealthmanagement.com
Marketing & brand
28
BCU WEALTH ADVISORS, LLC changed its website from uhgcu.org to targetcu.org. IAPD ↗
$653.6M RAUM · 3 reps · 847-932-8007 · targetcu.org
Marketing & brand
28
THE LEWIS FINANCIAL GROUP changed its website from thelewisfinancialgroup.com to lewisprivatewealth.com. IAPD ↗
$482.4M RAUM · 3 reps · 703-288-1272 · lewisprivatewealth.com
Marketing & brand
28
ACCELERATE RETIREMENT changed its website from alkemefinancial.com to accelerateretirement.com. IAPD ↗
$315.4M RAUM · 31 reps · 888-439-7071 · accelerateretirement.com
Marketing & brand
25
SAFE HARBOR RETIREMENT PLANNERS changed its website from asset-management-services.com to shretirement.com. IAPD ↗
$108.7M RAUM · 3 reps · 410-538-6800 · shretirement.com
Marketing & brand
25
WEALTHKARE.COM, INC. changed its website from unlockretirement.seminarsoncall.com to unlockyourretirement.reinventingretirementebook.com. IAPD ↗
$136.7M RAUM · 7 reps · 814-542-5433 · unlockyourretirement.reinventingretirementebook.com
Marketing & brand
25
TRINITY INVESTMENT MANAGEMENT, LLC changed its website from trinityfiduciary.com to trinity-invest.com. IAPD ↗
$126.2M RAUM · 4 reps · 817-874-2700 · trinity-invest.com
Marketing & brand
25
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC changed its website from alexandercapitalwealthmanagement.com to axiows.com. IAPD ↗
$238.1M RAUM · 35 reps · 212-687-5650 · axiows.com
Marketing & brand
25
MODERNIST FINANCIAL, LLC changed its website from modernistfinancial.com to modernistuniversity.com. IAPD ↗
$113.3M RAUM · 3 reps · (971) 544-7417 · modernistuniversity.com
Marketing & brand
25
ORMONDE INVESTMENT MANAGEMENT, LLC changed its website from ormondepartners.com to ormondeinvestments.com. IAPD ↗
$105.3M RAUM · 2 reps · +1 833 689 6003 · ormondeinvestments.com
Marketing & brand
15
MONTANOVA CAPITAL, LLC changed its website from suvcap.com to montanova.com. IAPD ↗fund
$7.87B RAUM · 12 reps · 212-702-5200 · montanova.com
Marketing & brand
15
GALAXY DIGITAL CAPITAL MANAGEMENT LP changed its website from interactive.galaxy.com to am.galaxy.com. IAPD ↗fund
$1.72B RAUM · 22 reps · 212-499-0081 · am.galaxy.com
Marketing & brand
10
MEDICI CAPITAL LLC changed its website from soundcloud.com to medicicapitalfunds.com. IAPD ↗fund
$215.8M RAUM · 1 reps · (949) 706-1455 · medicicapitalfunds.com
Marketing & brand
1
GUARDIAN CAPITAL LP changed its website from guardiancapital.com to guardiancapitalfunds.com. IAPD ↗foreign
$10.68B RAUM · 38 reps · 416-364-8341 · guardiancapitalfunds.com
Marketing & brand
1
IQ EQ FUND MANAGEMENT (SINGAPORE) PRIVATE LIMITED changed its website from gordian-capital.com to iqeq.com. IAPD ↗foreign
$21.08B RAUM · 13 reps · 65 6597 6680 · iqeq.com
Marketing & brand
pending approved — 31 120-day provisional registration became a full approval.
75
TANARA WEALTH MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$1.09B RAUM · 5 reps · 801-653-0564 · tanarawm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
SAGEPOINT CAPITAL PARTNERS LLC's provisional registration is now fully approved. IAPD ↗
$888.3M RAUM · 3 reps · (615) 413-4340 · sagepointcp.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
ARKA CAPITAL A.M. LTD's provisional registration is now fully approved. IAPD ↗
$263.8M RAUM · 1 reps · +9 72 54 433 2642
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
EXCEPTIONAL WEALTH & FAMILY OFFICE's provisional registration is now fully approved. IAPD ↗
$292.2M RAUM · 5 reps · 719-715-4179
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
UNION STRATEGIC ADVISORS's provisional registration is now fully approved. IAPD ↗
$371.6M RAUM · 3 reps · 513-699-5200 · unionstrategic.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
MOSAIC WEALTH MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$285.0M RAUM · 2 reps · 812-333-3275
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
BRIDGECREEK FINANCIAL GROUP's provisional registration is now fully approved. IAPD ↗
$649.9M RAUM · 2 reps · 918-392-1990 · bridgecreekfinancial.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
WOODLAND WEALTH PARTNERS's provisional registration is now fully approved. IAPD ↗
$711.9M RAUM · 2 reps · 330-416-5509 · woodlandwealthpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
LIONHUNTER CAPITAL MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$266.8M RAUM · 1 reps · 212-602-0686
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
TRILLIUM WEALTH LLC's provisional registration is now fully approved. IAPD ↗
$544.6M RAUM · 7 reps · 321-295-8492 · trillium-wealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
GREEN CAPITAL PRIVATE WEALTH's provisional registration is now fully approved. IAPD ↗
$150.0M RAUM · 2 reps · 8006150794 · gcprivatewealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
COMMERCIAL TRUST FINANCIAL SERVICES's provisional registration is now fully approved. IAPD ↗
$204.1M RAUM · 5 reps · 660-248-2223 · commercialtrustfs.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
VESTIE's provisional registration is now fully approved. IAPD ↗
$125 RAUM · 1 reps · 903-910-3003
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
LILLIANO CAPITAL MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$167.9M RAUM · 1 reps · 480-678-0411 · lillianocapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FORWARD WEALTH's provisional registration is now fully approved. IAPD ↗
$111.1M RAUM · 8 reps · 720-739-3930 · fwd-wealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PRISM PLANNING AND SOLUTIONS GROUP's provisional registration is now fully approved. IAPD ↗
$157.0M RAUM · 3 reps · (914) 831-3050 · ppsgrp.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
WEALTHIE ADVISORS's provisional registration is now fully approved. IAPD ↗
$27,322 RAUM · 2 reps · (718) 550-1401 · bewealthie.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
LEMNIS CAPITAL's provisional registration is now fully approved. IAPD ↗
$97.9M RAUM · 13 reps · 972-928-6196
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
KOEHLER ASSET MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$111.0M RAUM · 2 reps · 631-332-2310
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ROSENBERG WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$231.0M RAUM · 2 reps · (248) 325-5500 · rwealthadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FIDUCIARY CAPITAL MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$149.8M RAUM · 10 reps · 503 515 1313 · fiduciarycm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
AXXETS WM's provisional registration is now fully approved. IAPD ↗
$101.3M RAUM · 1 reps · 305 405-9000 · axxets.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FARRCREST CAPITAL LLC's provisional registration is now fully approved. IAPD ↗
$110.5M RAUM · 1 reps · 2027537700 · farrcrest.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TELOS PARTNERS LLC's provisional registration is now fully approved. IAPD ↗
$139.5M RAUM · 3 reps · (646)907-9424 · teloswealthpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
BAY POINTE FINANCIAL's provisional registration is now fully approved. IAPD ↗
$115.9M RAUM · 2 reps · (586) 273-6007 X1
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
2201 CAPITAL, LLC's provisional registration is now fully approved. IAPD ↗
$40.0M RAUM · 2 reps · 201-446-2992
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
STONE OAK CAPITAL LLC's provisional registration is now fully approved. IAPD ↗
$33.7M RAUM · 2 reps · 585-695-5588 · stoneoakcap.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
UPSTATE ADVISERS INC's provisional registration is now fully approved. IAPD ↗
$34.1M RAUM · 1 reps · 5852099788 · upstateadvisers.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
DX ADVISORS LLC's provisional registration is now fully approved. IAPD ↗institutional
$753.3M RAUM · 4 reps · 415-639-9966
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
DS2 CAPITAL LLC's provisional registration is now fully approved. IAPD ↗fund
$250.6M RAUM · 5 reps · 704-210-8560 · ds2capital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
ETERNAL CAPITAL, LLC's provisional registration is now fully approved. IAPD ↗fund
$42.7M RAUM · 5 reps · 305-915-8805 · eternalcapitalgroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
rename — 27 Primary business name changed: rebrand, merger, or ownership change.
60
INGALLS & SNYDER LLC is now doing business as INGALLS INVESTMENT MANAGEMENT, LLC. IAPD ↗
$7.83B RAUM · 50 reps · 212-269-7800 · ingalls.net
Marketing & brandCRM
60
NBC SECURITIES, INC. is now doing business as LANARK FINANCIAL, INC.. IAPD ↗
$1.78B RAUM · 63 reps · 800-521-9390 · nbcsecurities.com
Marketing & brandCRM
60
BAHL & GAYNOR INC is now doing business as BAHL & GAYNOR LLC. IAPD ↗
$20.99B RAUM · 47 reps · 513-287-6100 · bahl-gaynor.com
Marketing & brandCRM
60
THE RETIREMENT PLANNING GROUP, LLC is now doing business as CETERA PLANNING PARTNERS. IAPD ↗
$4.16B RAUM · 33 reps · 913-498-8898
Marketing & brandCRM
60
LEAFHOUSE FINANCIAL ADVISORS, LLC is now doing business as PRECISION FIDUCIARY PARTNERS, LLC. IAPD ↗
$24.08B RAUM · 8 reps · (512) 879-1505 · mesirowfinancial.com
Marketing & brandCRM
60
FFT WEALTH MANAGEMENT is now doing business as CORIENT SHC WEALTH MANAGEMENT (US) LP. IAPD ↗
$2.34B RAUM · 22 reps · 610-545-6100 · fftwealth.com
Marketing & brandCRM
60
LGL PARTNERS, LLC is now doing business as CORIENT SHC PARTNERS (US) LP. IAPD ↗
$1.71B RAUM · 22 reps · 610-545-6100 · corient.com
Marketing & brandCRM
58
FLAGSTAR ADVISORS, INC. is now doing business as FLAGSTAR SECURITIES, INC.. IAPD ↗
$784.3M RAUM · 37 reps · 646-822-1475 · flagstar.com
Marketing & brandCRM
58
CANTY FINANCIAL MANAGEMENT, INC. is now doing business as CANTY WEALTH MANAGEMENT. IAPD ↗
$254.0M RAUM · 3 reps · 518-885-3230 · cantyfinancial.com
Marketing & brandCRM
58
OPTIMA ASSET MANAGEMENT LLC is now doing business as OPTIMA ASSET MANAGEMENT LP. IAPD ↗
$891.6M RAUM · 14 reps · 212-484-3000 · optima.com
Marketing & brandCRM
58
DIGITAL WEALTH PARTNERS is now doing business as DIGITAL ASCENSION GROUP - WEALTH. IAPD ↗
$555.1M RAUM · 23 reps · 307-396-0295
Marketing & brandCRM
58
HESMER WEALTH MANAGEMENT LLC is now doing business as OAK HARBOR WEALTH PARTNERS. IAPD ↗
$288.4M RAUM · 4 reps · 252-230-7699
Marketing & brandCRM
55
GOING CPAS AND WEALTH ADVISORS is now doing business as GOING CPAS & WEALTH ADVISORS, LLP. IAPD ↗
$160.8M RAUM · 8 reps · 337-942-3041 · going.cpa
Marketing & brandCRM
55
BRANDYWINE FINANCIAL GROUP, INC. is now doing business as CAROTA WEALTH MANAGEMENT. IAPD ↗
$135.0M RAUM · 2 reps · 610-828-1155 · brandywinefinancialgroup.com
Marketing & brandCRM
55
DAVIDOV FINANCIAL COACHING, LLC is now doing business as DAVIDOV WEALTH GROUP, LLC. IAPD ↗
$174.5M RAUM · 2 reps · (516) 587-5550 · davidovfinancial.com
Marketing & brandCRM
55
KEELEY-TETON ADVISORS, LLC is now doing business as G-LEGION, LLC. IAPD ↗
$12.6M RAUM · 1 reps · (312) 786-5000 · tetonadv.com
Marketing & brandCRM
50
ALLIANT RETIREMENT CONSULTING is now doing business as RETIREMENT AND WEALTH AT ALLIANT, LLC. IAPD ↗institutional
$7.37B RAUM · 30 reps · 267 363 2865 · alliantretirementconsulting.com
Marketing & brandCRM
48
LASALLE DEBT INVESTORS, INC. is now doing business as LASALLE DEBT INVESTORS, LLC. IAPD ↗institutional
$384.7M RAUM · 14 reps · 720-614-8939 · lasalle.com
Marketing & brandCRM
48
STELLUS CAPITAL INCOME PBDC, LLC is now doing business as STELLUS PRIVATE BDC ADVISOR, LLC. IAPD ↗institutional
$472.8M RAUM · 20 reps · 713-292-5400
Marketing & brandCRM
45
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS is now doing business as BAIRD STRATEGAS LLC. IAPD ↗institutional
$0 RAUM · 15 reps · 212-906-0130
Marketing & brandCRM
45
SAPPHIRE VENTURES, LLC is now doing business as SAPPHIRE VENTURES, LP. IAPD ↗fund
$10.44B RAUM · 22 reps · 650-382-1110
Marketing & brandCRM
45
SUVRETTA CAPITAL MANAGEMENT, LLC is now doing business as MONTANOVA CAPITAL, LLC. IAPD ↗fund
$7.87B RAUM · 12 reps · 212-702-5200 · montanova.com
Marketing & brandCRM
45
CORIENT IA LLC is now doing business as CORIENT IA LP. IAPD ↗fund
$5.11B RAUM · 49 reps · (305) 735-2020
Marketing & brandCRM
45
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC is now doing business as KINTRA INVESTMENTS, LLC. IAPD ↗institutional
$112.8M RAUM · 2 reps · 937-644-0351 · mccarthyandcox.com
Marketing & brandCRM
45
CIP ADVISORS, LLC is now doing business as CIP PE ADVISORS, LLC. IAPD ↗fund
$1.92B RAUM · 19 reps · 561-727-2000
Marketing & brandCRM
45
TERMINAL is now doing business as STERLING LABS. IAPD ↗institutional
$0 RAUM · 4 reps · 3479242009 · tryterminal.ai
Marketing & brandCRM
30
GORDIAN CAPITAL SINGAPORE PRIVATE LIMITED is now doing business as IQ EQ FUND MANAGEMENT (SINGAPORE) PRIVATE LIMITED. IAPD ↗foreign
$21.08B RAUM · 13 reps · 65 6597 6680 · iqeq.com
Marketing & brandCRM
aum up — 26 Regulatory AUM up >=25% since last filing.
72
BEIRNE. reported RAUM up 65% ($1.37B -> $2.26B). IAPD ↗
$2.26B RAUM · 5 reps · 203-701-8606
Portfolio / reporting / TAMPCRMFinancial planning software
70
TRIAN FUND MANAGEMENT, L.P. reported RAUM up 55% ($6.71B -> $10.39B). IAPD ↗
$10.39B RAUM · 14 reps · 212-451-3000
Portfolio / reporting / TAMPCRMFinancial planning software
70
GOLDEN BAY ADVISORS LLC reported RAUM up 64% ($179.8M -> $295.7M). IAPD ↗
$295.7M RAUM · 1 reps · 914-215-0194 · goldenbayadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
UMB PRIVATE WEALTH MANAGEMENT, LLC reported RAUM up 82% ($68.4M -> $124.7M). IAPD ↗
$124.7M RAUM · 41 reps · 816-860-7000 · umb.com
Portfolio / reporting / TAMPCRMFinancial planning software
67
BLUESPRING WEALTH MANAGEMENT, LLC reported RAUM up 35% ($4.02B -> $5.43B). IAPD ↗
$5.43B RAUM · 47 reps · 737-443-2122 · bluespringwealthcalifornia.com
Portfolio / reporting / TAMPCRMFinancial planning software
66
CENTAURUS FINANCIAL, INC. reported RAUM up 33% ($7.34B -> $9.74B). IAPD ↗
$9.74B RAUM · 426 reps · 714-456-1790 · centaurusfinancial.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
FACET reported RAUM up 26% ($6.04B -> $7.60B). IAPD ↗
$7.60B RAUM · 77 reps · (443)376-6222 · reddit.com
Portfolio / reporting / TAMPCRMFinancial planning software
64
STEVENS CAPITAL PARTNERS reported RAUM up 35% ($600.7M -> $810.3M). IAPD ↗
$810.3M RAUM · 10 reps · 402-251-5800 · mypurposefulwealth.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
EVANS CAPITAL MANAGEMENT ASSOCIATES reported RAUM up 25% ($545.0M -> $682.6M). IAPD ↗
$682.6M RAUM · 3 reps · 425-455-0501 · rlevansco.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
BENIN MANAGEMENT CORP reported RAUM up 27% ($521.0M -> $659.2M). IAPD ↗
$659.2M RAUM · 3 reps · 203-762-3295 · beninmanagement.com
Portfolio / reporting / TAMPCRMFinancial planning software
63
CREDIT CAPITAL INVESTMENTS reported RAUM up 26% ($351.3M -> $444.0M). IAPD ↗
$444.0M RAUM · 7 reps · 973-315-3000
Portfolio / reporting / TAMPCRMFinancial planning software
63
LEGACY WEALTH MANAGEMENT INC. reported RAUM up 25% ($251.0M -> $313.9M). IAPD ↗
$313.9M RAUM · 5 reps · 877-650-4738
Portfolio / reporting / TAMPCRMFinancial planning software
63
COPE CONNELLY reported RAUM up 40% ($107.6M -> $151.1M). IAPD ↗
$151.1M RAUM · 2 reps · (888) 336-8402 · copeconnelly.com
Portfolio / reporting / TAMPCRMFinancial planning software
62
ARDEN GLOBAL FAMILY OFFICES reported RAUM up 36% ($107.1M -> $146.0M). IAPD ↗
$146.0M RAUM · 2 reps · 650-808-0875
Portfolio / reporting / TAMPCRMFinancial planning software
60
PELTOMA CAPITAL PARTNERS reported RAUM up 25% ($168.9M -> $211.2M). IAPD ↗
$211.2M RAUM · 3 reps · 937-416-5966
Portfolio / reporting / TAMPCRMFinancial planning software
58
AUTILUS PARTNERS LLC reported RAUM up 310% ($101.0M -> $413.8M). IAPD ↗fund
$413.8M RAUM · 2 reps · 1-310-759-8160
Portfolio / reporting / TAMPCRMFinancial planning software
58
MBX INVESTORS LLC reported RAUM up 104% ($224.6M -> $457.8M). IAPD ↗fund
$457.8M RAUM · 2 reps · 248-960-1700
Portfolio / reporting / TAMPCRMFinancial planning software
56
COLLER CAPITAL INC reported RAUM up 33% ($9.00B -> $11.95B). IAPD ↗institutional
$11.95B RAUM · 25 reps · 1 212 644 8500 · collercapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
55
OPTO INVESTMENT MANAGEMENT, LLC reported RAUM up 64% ($565.4M -> $928.6M). IAPD ↗fund
$928.6M RAUM · 6 reps · 212-658-0382
Portfolio / reporting / TAMPCRMFinancial planning software
54
ALLIED ASSET ADVISORS INC reported RAUM up 31% ($199.8M -> $262.0M). IAPD ↗institutional
$262.0M RAUM · 1 reps · 877-417-6161 · investaaa.com
Portfolio / reporting / TAMPCRMFinancial planning software
53
MEROS INVESTMENT MANAGEMENT, LP reported RAUM up 26% ($255.5M -> $321.0M). IAPD ↗institutional
$321.0M RAUM · 2 reps · 214-871-5200 · merosinv.com
Portfolio / reporting / TAMPCRMFinancial planning software
53
AFFINITY ASSET ADVISORS, LLC reported RAUM up 45% ($1.69B -> $2.45B). IAPD ↗fund
$2.45B RAUM · 7 reps · 646-481-3856 · affinityadv.com
Portfolio / reporting / TAMPCRMFinancial planning software
50
RIOBLANCO CAPITAL LLC reported RAUM up 50% ($114.3M -> $172.0M). IAPD ↗fund
$172.0M RAUM · 3 reps · 787-474-8338
Portfolio / reporting / TAMPCRMFinancial planning software
50
MEKETA CAPITAL, LLC reported RAUM up 28% ($83.0M -> $106.6M). IAPD ↗institutional
$106.6M RAUM · 14 reps · 720-697-1010 · meketacapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
49
ATLA CAPITAL MANAGEMENT LLC reported RAUM up 50% ($60.8M -> $91.1M). IAPD ↗fund
$91.1M RAUM · 1 reps · 332-203-2580 · atlacap.com
Portfolio / reporting / TAMPCRMFinancial planning software
35
COLLER INVESTMENT MANAGEMENT LTD reported RAUM up 26% ($28.99B -> $36.66B). IAPD ↗foreign
$36.66B RAUM · 0 reps · +44 1481 745001
Portfolio / reporting / TAMPCRMFinancial planning software
headcount up — 25 Advisory representative count grew materially (>=20% or >=5 reps).
85
CENTAURUS FINANCIAL, INC. grew from 375 to 426 advisory reps. IAPD ↗
$9.74B RAUM · 426 reps · 714-456-1790 · centaurusfinancial.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
MISSION WEALTH MANAGEMENT, LP grew from 117 to 135 advisory reps. IAPD ↗
$17.00B RAUM · 135 reps · 805-882-2360
CRMRecruiting & transitionsComplianceFinancial planning software
85
ARAX ADVISORY PARTNERS grew from 140 to 167 advisory reps. IAPD ↗
$26.52B RAUM · 167 reps · 646-777-1823 · swsllc.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
BLUESPRING WEALTH MANAGEMENT, LLC grew from 31 to 47 advisory reps. IAPD ↗
$5.43B RAUM · 47 reps · 737-443-2122 · bluespringwealthcalifornia.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
RFG ADVISORY, LLC grew from 162 to 178 advisory reps. IAPD ↗
$7.97B RAUM · 178 reps · 205-397-2450
CRMRecruiting & transitionsComplianceFinancial planning software
85
FACET grew from 55 to 77 advisory reps. IAPD ↗
$7.60B RAUM · 77 reps · (443)376-6222 · reddit.com
CRMRecruiting & transitionsComplianceFinancial planning software
81
BLUEPRINT FINANCIAL ADVISORS grew from 28 to 39 advisory reps. IAPD ↗
$1.41B RAUM · 39 reps · 844-200-2568 · komaracap.com
CRMRecruiting & transitionsComplianceFinancial planning software
80
CITIZENS PRIVATE WEALTH grew from 204 to 214 advisory reps. IAPD ↗
$16.63B RAUM · 214 reps · 914-846-0100 · citizensbank.com
CRMRecruiting & transitionsComplianceFinancial planning software
76
ETHOS FINANCIAL GROUP, LLC grew from 27 to 33 advisory reps. IAPD ↗
$2.14B RAUM · 33 reps · 610-822-5246
CRMRecruiting & transitionsComplianceFinancial planning software
74
DIGITAL ASCENSION GROUP - WEALTH grew from 17 to 23 advisory reps. IAPD ↗
$555.1M RAUM · 23 reps · 307-396-0295
CRMRecruiting & transitionsComplianceFinancial planning software
73
15 WEALTH ADVISORS LLC grew from 7 to 12 advisory reps. IAPD ↗
$481.5M RAUM · 12 reps · 847-735-7103 · 15wealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
WEALTH INTELLIGENTLY NAVIGATED, LLC grew from 2 to 7 advisory reps. IAPD ↗
$532.9M RAUM · 7 reps · (864) 375-4031
CRMRecruiting & transitionsComplianceFinancial planning software
72
AERIE ADVISORY GROUP LLC grew from 3 to 5 advisory reps. IAPD ↗
$2.52B RAUM · 5 reps · (253) 857-1616
CRMRecruiting & transitionsComplianceFinancial planning software
71
THE SUM grew from 7 to 10 advisory reps. IAPD ↗
$551.4M RAUM · 10 reps · 281-940-4859
CRMRecruiting & transitionsComplianceFinancial planning software
71
SINGER WEALTH ADVISORS LLC grew from 15 to 18 advisory reps. IAPD ↗
$910.6M RAUM · 18 reps · 561-998-9985
CRMRecruiting & transitionsComplianceFinancial planning software
71
EXCEPTIONAL WEALTH & FAMILY OFFICE grew from 2 to 5 advisory reps. IAPD ↗
$292.2M RAUM · 5 reps · 719-715-4179
CRMRecruiting & transitionsComplianceFinancial planning software
70
SAND CREEK CAPITAL, LLC grew from 8 to 10 advisory reps. IAPD ↗
$471.2M RAUM · 10 reps · 208-356-9022 · centennialwealthmanagement.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
SAGEPOINT CAPITAL PARTNERS LLC grew from 1 to 3 advisory reps. IAPD ↗
$888.3M RAUM · 3 reps · (615) 413-4340 · sagepointcp.com
CRMRecruiting & transitionsComplianceFinancial planning software
69
URS ADVISORY grew from 2 to 6 advisory reps. IAPD ↗
$200.3M RAUM · 6 reps · 561-594-0100 · ursadvisory.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
PEAK FINANCIAL PLANNING grew from 4 to 7 advisory reps. IAPD ↗
$93.0M RAUM · 7 reps · (818) 600-6099 · thepeakfp.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
TRINITY INVESTMENT MANAGEMENT, LLC grew from 2 to 4 advisory reps. IAPD ↗
$126.2M RAUM · 4 reps · 817-874-2700 · trinity-invest.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
INSIGHT FINANCIAL SERVICES grew from 6 to 8 advisory reps. IAPD ↗
$213.8M RAUM · 8 reps · 913-402-2020 · ifsadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
60
THE MOLPUS WOODLANDS GROUP, LLC grew from 18 to 23 advisory reps. IAPD ↗fund
$1.83B RAUM · 23 reps · 601-948-8733
CRMRecruiting & transitionsComplianceFinancial planning software
55
THE OPERATORS FUND INVESTMENT MANAGEMENT, L.P. grew from 2 to 4 advisory reps. IAPD ↗fund
$303.0M RAUM · 4 reps · (914) 361-5146 · operatorsfund.com
CRMRecruiting & transitionsComplianceFinancial planning software
43
AVENDUS WEALTH MANAGEMENT PRIVATE LIMITED grew from 3 to 6 advisory reps. IAPD ↗foreign
$2.00B RAUM · 6 reps · +91-22-6648-0909
CRMRecruiting & transitionsComplianceFinancial planning software
custody started — 22 Firm now reports custody of client assets — surprise exams and controls follow.
70
MATTER FAMILY OFFICE now reports custody of client assets ($2.41B). IAPD ↗
$3.81B RAUM · 40 reps · 314-862-5190 · matterfamilyoffice.com
ComplianceCustodian
70
FIRST HEARTLAND CONSULTANTS, INC. now reports custody of client assets ($1.15B). IAPD ↗
$2.09B RAUM · 88 reps · 636-625-0900 · firstheartland.com
ComplianceCustodian
70
GIBBS WEALTH MANAGEMENT, LLC now reports custody of client assets. IAPD ↗
$1.06B RAUM · 59 reps · 678-694-8770 · cosaintadvisors.com
ComplianceCustodian
70
LAKE STREET now reports custody of client assets ($201.2M). IAPD ↗
$1.16B RAUM · 6 reps · 312-766 7040 · clarity-fg.com
ComplianceCustodian
70
EVERTERN WEALTH, LLC now reports custody of client assets ($247.8M). IAPD ↗
$1.56B RAUM · 2 reps · 239-508-7700 · everternwealth.com
ComplianceCustodian
68
FINANCIAL PLANS & STRATEGIES, INC. now reports custody of client assets ($40.1M). IAPD ↗
$610.6M RAUM · 5 reps · 317-882-7675 · finplans.com
ComplianceCustodian
68
PACIFIC WEALTH STRATEGIES GROUP, INC. now reports custody of client assets ($78.9M). IAPD ↗
$253.2M RAUM · 3 reps · 805-966-7775 · pwsg.net
ComplianceCustodian
68
AP WEALTH MANAGEMENT now reports custody of client assets ($104.8M). IAPD ↗
$339.6M RAUM · 5 reps · 706-364-4281
ComplianceCustodian
68
MFA WEALTH SERVICES now reports custody of client assets ($584.2M). IAPD ↗
$310.0M RAUM · 3 reps · 833-496-5474 · mfaws.com
ComplianceCustodian
68
EXCEPTIONAL WEALTH & FAMILY OFFICE now reports custody of client assets ($43.3M). IAPD ↗
$292.2M RAUM · 5 reps · 719-715-4179
ComplianceCustodian
68
TRILLIUM WEALTH LLC now reports custody of client assets ($50.9M). IAPD ↗
$544.6M RAUM · 7 reps · 321-295-8492 · trillium-wealth.com
ComplianceCustodian
65
WISDOM INDEX ADVISORS now reports custody of client assets ($27.4M). IAPD ↗
$221.3M RAUM · 1 reps · 972-931-0063 · wisdomindex.com
ComplianceCustodian
65
FINANCIAL DESIGN STUDIO, INC. now reports custody of client assets ($41.7M). IAPD ↗
$105.5M RAUM · 3 reps · (847) 238-8050
ComplianceCustodian
65
TUMOLO WEALTH MANAGEMENT LLC now reports custody of client assets ($13.1M). IAPD ↗
$134.0M RAUM · 4 reps · (860) 650-3005 · tumolofinancial.com
ComplianceCustodian
65
SEMINARIO ASSET MANAGEMENT LLC now reports custody of client assets. IAPD ↗
$0 RAUM · 4 reps · 786-292-0512
ComplianceCustodian
65
STERLING LEGACY ADVISORS INC. now reports custody of client assets. IAPD ↗
$0 RAUM · 2 reps · 201-655-2022
ComplianceCustodian
65
ROSENBERG WEALTH ADVISORS now reports custody of client assets ($201.5M). IAPD ↗
$231.0M RAUM · 2 reps · (248) 325-5500 · rwealthadvisors.com
ComplianceCustodian
55
FRANKLIN ADVISORY SERVICES, LLC now reports custody of client assets ($26.09B). IAPD ↗fund
$14.07B RAUM · 2 reps · (650) 312-3000 · franklintempletonoffshore.com
ComplianceCustodian
53
THE OPERATORS FUND INVESTMENT MANAGEMENT, L.P. now reports custody of client assets ($303.0M). IAPD ↗fund
$303.0M RAUM · 4 reps · (914) 361-5146 · operatorsfund.com
ComplianceCustodian
53
DS2 CAPITAL LLC now reports custody of client assets ($250.6M). IAPD ↗fund
$250.6M RAUM · 5 reps · 704-210-8560 · ds2capital.com
ComplianceCustodian
53
MERIT CAPITAL PARTNERS VI, LLC now reports custody of client assets ($389.6M). IAPD ↗fund
$448.2M RAUM · 16 reps · 312-592-6111 · meritcapital.com
ComplianceCustodian
40
MORRISON US, LLC now reports custody of client assets ($211.0M). IAPD ↗foreign
$32.53B RAUM · 14 reps · 3479526718
ComplianceCustodian
headcount down — 17 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
ANDINA ADVISORS shrank from 13 to 6 advisory reps. IAPD ↗
$1.26B RAUM · 6 reps · (435) 250 3700
Recruiting & transitionsM&A & valuation
55
EVERTERN WEALTH, LLC shrank from 5 to 2 advisory reps. IAPD ↗
$1.56B RAUM · 2 reps · 239-508-7700 · everternwealth.com
Recruiting & transitionsM&A & valuation
53
RIVERPLACE CAPITAL MANAGEMENT INC shrank from 5 to 3 advisory reps. IAPD ↗
$267.4M RAUM · 3 reps · 904-346-3460 · riverplacecapital.com
Recruiting & transitionsM&A & valuation
53
CASTLE WEALTH MANAGEMENT shrank from 6 to 3 advisory reps. IAPD ↗
$430.1M RAUM · 3 reps · 561-686-9604
Recruiting & transitionsM&A & valuation
53
TRUE WEALTH DESIGN, LLC shrank from 8 to 6 advisory reps. IAPD ↗
$494.0M RAUM · 6 reps · (330) 777-0688
Recruiting & transitionsM&A & valuation
53
HFG WEALTH MANAGEMENT, LLC shrank from 6 to 3 advisory reps. IAPD ↗
$505.6M RAUM · 3 reps · 832-585-0110 · hfgwm.com
Recruiting & transitionsM&A & valuation
53
TSFG, LLC shrank from 13 to 7 advisory reps. IAPD ↗
$997.2M RAUM · 7 reps · 847-735-7100
Recruiting & transitionsM&A & valuation
53
AURORA PRIVATE WEALTH, INC. shrank from 16 to 12 advisory reps. IAPD ↗
$374.0M RAUM · 12 reps · 973-394-0404
Recruiting & transitionsM&A & valuation
53
BDFS CAPITAL LLC shrank from 9 to 7 advisory reps. IAPD ↗
$411.3M RAUM · 7 reps · 302-265-2236 · blackdiamondfs.com
Recruiting & transitionsM&A & valuation
53
RETIREMENT PLANNING SOLUTIONS, LLC shrank from 8 to 5 advisory reps. IAPD ↗
$467.0M RAUM · 5 reps · 502-499-5668
Recruiting & transitionsM&A & valuation
50
FUNDIFY ADVISORS LLC shrank from 6 to 3 advisory reps. IAPD ↗
$888,512 RAUM · 3 reps · 512-645-1010 · fundify.com
Recruiting & transitionsM&A & valuation
40
GRAHAM PARTNERS, LLC shrank from 86 to 81 advisory reps. IAPD ↗fund
$5.00B RAUM · 81 reps · 610-408-0500 · gci-graham.com
Recruiting & transitionsM&A & valuation
40
CONSEQUENT CAPITAL MANAGEMENT, LLC shrank from 6 to 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · (404) 883-2500 · consequentgroup.com
Recruiting & transitionsM&A & valuation
40
GREENPOINT PARTNERS shrank from 9 to 7 advisory reps. IAPD ↗fund
$1.35B RAUM · 7 reps · 5163175972 · greenpointpartners.com
Recruiting & transitionsM&A & valuation
25
MCINROY & WOOD LIMITED shrank from 22 to 16 advisory reps. IAPD ↗foreign
$2.39B RAUM · 16 reps · 44 01620 825867 · mcinroy-wood.co.uk
Recruiting & transitionsM&A & valuation
23
ASTRA ASSET MANAGEMENT UK LIMITED shrank from 11 to 8 advisory reps. IAPD ↗foreign
$425.8M RAUM · 8 reps · +44 (0)20 3189 9700
Recruiting & transitionsM&A & valuation
23
ESCHLER ASSET MANAGEMENT LLP shrank from 31 to 25 advisory reps. IAPD ↗foreign
$588.1M RAUM · 25 reps · 447775824595
Recruiting & transitionsM&A & valuation
planning clients up — 10 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
70
WATER VALLEY INVESTMENT ADVISORS, INC. reports 101-250 financial-planning clients, up from 0. IAPD ↗
$157.2M RAUM · 3 reps · 712-395-0764 · wviainc.com
Financial planning software
70
KAUFMAN ROSSIN WEALTH, LLC reports 51-100 financial-planning clients, up from 0. IAPD ↗
$506.7M RAUM · 7 reps · 305-646-6071 · kaufmanrossinwealth.com
Financial planning software
70
15 WEALTH ADVISORS LLC reports 51-100 financial-planning clients, up from 0. IAPD ↗
$481.5M RAUM · 12 reps · 847-735-7103 · 15wealth.com
Financial planning software
67
IAS WEALTH MANAGEMENT, INC. reports 26-50 financial-planning clients, up from 0. IAPD ↗
$588.5M RAUM · 5 reps · 281-364-0606 · iaswealth.com
Financial planning software
64
BRIDGECREEK FINANCIAL GROUP reports 11-25 financial-planning clients, up from 0. IAPD ↗
$649.9M RAUM · 2 reps · 918-392-1990 · bridgecreekfinancial.com
Financial planning software
61
CAROTA WEALTH MANAGEMENT reports 101-250 financial-planning clients, up from 26-50. IAPD ↗
$135.0M RAUM · 2 reps · 610-828-1155 · brandywinefinancialgroup.com
Financial planning software
61
WEALTH INTELLIGENTLY NAVIGATED, LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$532.9M RAUM · 7 reps · (864) 375-4031
Financial planning software
58
MARIN WEALTH ADVISORS LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$76.1M RAUM · 2 reps · 415-458-5880
Financial planning software
58
STONE OAK CAPITAL LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$33.7M RAUM · 2 reps · 585-695-5588 · stoneoakcap.com
Financial planning software
58
UPSTATE ADVISERS INC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$34.1M RAUM · 1 reps · 5852099788 · upstateadvisers.com
Financial planning software
private funds started — 9 Firm reports private funds for the first time.
70
LEACH, BICKMORE & WEISS WEALTH MANAGEMENT, LLC now reports 1 private fund(s) ($0 gross). IAPD ↗
$115.3M RAUM · 1 reps · 608-286-1321
Fund administrationCompliance
70
ONE OAK now reports 1 private fund(s) ($1.1M gross). IAPD ↗
$110.4M RAUM · 3 reps · (302) 754-1625 · investonewell.com
Fund administrationCompliance
70
ARDEN GLOBAL FAMILY OFFICES now reports 2 private fund(s) ($8.7M gross). IAPD ↗
$146.0M RAUM · 2 reps · 650-808-0875
Fund administrationCompliance
60
FRANKLIN ADVISORY SERVICES, LLC now reports 6 private fund(s) ($49.3M gross). IAPD ↗fund
$14.07B RAUM · 2 reps · (650) 312-3000 · franklintempletonoffshore.com
Fund administrationCompliance
58
AUTILUS PARTNERS LLC now reports 5 private fund(s) ($403.3M gross). IAPD ↗fund
$413.8M RAUM · 2 reps · 1-310-759-8160
Fund administrationCompliance
58
THE OPERATORS FUND INVESTMENT MANAGEMENT, L.P. now reports 1 private fund(s) ($303.0M gross). IAPD ↗fund
$303.0M RAUM · 4 reps · (914) 361-5146 · operatorsfund.com
Fund administrationCompliance
58
MERIT CAPITAL PARTNERS VI, LLC now reports 3 private fund(s) ($448.2M gross). IAPD ↗fund
$448.2M RAUM · 16 reps · 312-592-6111 · meritcapital.com
Fund administrationCompliance
55
37SPRUCE INVESTMENT PARTNERS, LLC now reports 1 private fund(s) ($150.0M gross). IAPD ↗fund
$150.0M RAUM · 4 reps · 203-961-3113 · 37spruce.com
Fund administrationCompliance
45
MORRISON US, LLC now reports 1 private fund(s) ($105.5M gross). IAPD ↗foreign
$32.53B RAUM · 14 reps · 3479526718
Fund administrationCompliance
aum down — 8 Regulatory AUM down >=25% since last filing.
50
SMITH GROUP ASSET MANAGEMENT, LLC reported RAUM down 36% ($2.21B -> $1.41B). IAPD ↗
$1.41B RAUM · 12 reps · 214-880-4600 · cantorassetmanagement.com
M&A & valuationRecruiting & transitions
48
GRAVITALIX FINANCIAL reported RAUM down 27% ($542.5M -> $395.2M). IAPD ↗
$395.2M RAUM · 1 reps · 646-732-0299
M&A & valuationRecruiting & transitions
45
V DELIMA INVESTMENTS INC reported RAUM down 38% ($102.0M -> $63.3M). IAPD ↗
$63.3M RAUM · 1 reps · 305-484-2403
M&A & valuationRecruiting & transitions
45
EMETH VALUE CAPITAL, LLC reported RAUM down 70% ($193.7M -> $57.4M). IAPD ↗
$57.4M RAUM · 1 reps · 210-381-7262
M&A & valuationRecruiting & transitions
35
PINNACLE ASSET MANAGEMENT, L.P. reported RAUM down 30% ($8.89B -> $6.23B). IAPD ↗fund
$6.23B RAUM · 10 reps · 212-750-1778 · pinnacle-lp.com
M&A & valuationRecruiting & transitions
33
MERIT CAPITAL PARTNERS MANAGEMENT, L.L.C. reported RAUM down 31% ($1.44B -> $991.1M). IAPD ↗fund
$991.1M RAUM · 16 reps · 312-592-6111
M&A & valuationRecruiting & transitions
30
KELLY PARK INVESTMENT LLC reported RAUM down 41% ($241.5M -> $141.5M). IAPD ↗fund
$141.5M RAUM · 3 reps · 212 710 4111 · kellyparkcapital.com
M&A & valuationRecruiting & transitions
18
NIPPON VALUE INVESTORS reported RAUM down 34% ($898.5M -> $591.3M). IAPD ↗foreign
$591.3M RAUM · 6 reps · 011-813-6692-5992 · nippon-value.com
M&A & valuationRecruiting & transitions
aum crossed 1b — 5 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
RIVERBEND CAPITAL ADVISORS, LLC crossed $1B in regulatory AUM ($964.8M -> $1.10B). IAPD ↗
$1.10B RAUM · 3 reps · 312-948-5100 · riverbendcapitaladvisors.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
BLUEPRINT FINANCIAL ADVISORS crossed $1B in regulatory AUM ($966.6M -> $1.41B). IAPD ↗
$1.41B RAUM · 39 reps · 844-200-2568 · komaracap.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
AERIE ADVISORY GROUP LLC crossed $1B in regulatory AUM ($618.1M -> $2.52B). IAPD ↗
$2.52B RAUM · 5 reps · (253) 857-1616
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
SAGE TRADING COLLECTIVE crossed $1B in regulatory AUM ($505.0M -> $1.22B). IAPD ↗
$1.22B RAUM · 2 reps · 419-350-8981 · sagetradingcollective.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
75
RADIANX CAPITAL, LLC crossed $1B in regulatory AUM ($953.6M -> $1.02B). IAPD ↗institutional
$1.02B RAUM · 3 reps · 6464033807 · radianxcapital.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
aum crossed 500m — 3 Regulatory AUM crossed $500M.
70
MONETARY MANAGEMENT GROUP INC crossed $500M in regulatory AUM ($492.3M -> $583.8M). IAPD ↗
$583.8M RAUM · 5 reps · 314-909-0646 · monetarymanagementgroup.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
CARLSON CAPITAL, L.P. crossed $500M in regulatory AUM ($429.3M -> $597.2M). IAPD ↗fund
$597.2M RAUM · 10 reps · 214-932-9600 · carlsoncapital.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
40
ESCHLER ASSET MANAGEMENT LLP crossed $500M in regulatory AUM ($497.2M -> $588.1M). IAPD ↗foreign
$588.1M RAUM · 25 reps · 447775824595
Portfolio / reporting / TAMPCRMIntegration & migration consulting
acquisition — 1 Firm filed an Item 4A succession naming another adviser: a merger or acquisition between the two (the filing does not say which way the money went). Integration projects follow.
93
ROSE CAPITAL ADVISORS, LLC filed an Item 4A succession naming PREMIA GLOBAL ADVISORS, LLC (CRD 282426) — one firm absorbed the other. IAPD ↗
$608.3M RAUM · 9 reps · 305-534-7673
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
planning started — 1 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
75
ANCHOR & OAK WEALTH ADVISORS, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$0 RAUM · 3 reps · 516-662-2546
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.