← Tributary

What changed in the September 2026 SEC adviser roster

886 events across 771 firms · 674 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

249state expansion
207new registration
88new office
76deregistered
45pending approved
34relocation
27rename
22headcount up
22aum up
21custody started
18website changed
16disclosure added

Top 25 signals — US wealth firms

98
FLORIDA ATLANTIC SECURITIES CORP. (MIAMI, FL) is newly SEC-registered with $590.0M RAUM and 4 advisory reps. IAPD ↗
$590.0M RAUM · 4 reps · 305-670-9250 · floridaatlantic.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PEARSON FINANCIAL SERVICES (DENNIS, MA) is newly SEC-registered with $885.0M RAUM and 3 advisory reps. IAPD ↗
$885.0M RAUM · 3 reps · 508-385-7925 · spearsonfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VENTURI PRIVATE WEALTH filed an Item 4A succession naming THE CAPROCK GROUP, LLC (CRD 124272) — one firm absorbed the other. IAPD ↗
$3.58B RAUM · 12 reps · 208-368-9600 · venturiwealth.com
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
95
FIRST GEORGETOWN SECURITIES, INC (ALEXANDRIA, VA) is newly SEC-registered with $115.7M RAUM and 2 advisory reps. IAPD ↗
$115.7M RAUM · 2 reps · 703-519-7700 · firstgeorgetown.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDEPENDENCE CAPITAL CO., INC. (PARMA, OH) is newly SEC-registered with $118.7M RAUM and 25 advisory reps. IAPD ↗
$118.7M RAUM · 25 reps · 440-888-7000 · indcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCOFIELD & COMPANY, LLC (FAIRLAWN, OH) is newly SEC-registered with $113.6M RAUM and 3 advisory reps. IAPD ↗
$113.6M RAUM · 3 reps · 330-668-2616
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PETERSON INVESTMENT MANAGEMENT INC (location n/a) is newly SEC-registered with $146.1M RAUM and 2 advisory reps. IAPD ↗
$146.1M RAUM · 2 reps · 509-991-0894
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOWLAND AND ASSOCIATES, LLC (ST PETERSBURG, FL) is newly SEC-registered with $138.7M RAUM and 4 advisory reps. IAPD ↗
$138.7M RAUM · 4 reps · 813-333-2900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITOL WEALTH MANAGEMENT, INC. (MCLEAN, VA) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
$111.9M RAUM · 1 reps · 703-891-4070 · capitolwealthmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILNE FINANCIAL PLANNING, INC. (SAINT JOHNSBURY, VT) is newly SEC-registered with $111.3M RAUM and 1 advisory reps. IAPD ↗
$111.3M RAUM · 1 reps · 802-249-7107 · milnefeeonly.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE CHIP FINANCIAL ADVISORS, LLC (EAST PROVIDENCE, RI) is newly SEC-registered with $104.1M RAUM and 5 advisory reps. IAPD ↗
$104.1M RAUM · 5 reps · 401-435-4239 · bcfa.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE MARIN GROUP INC. (ATLANTA, GA) is newly SEC-registered with $128.1M RAUM and 2 advisory reps. IAPD ↗
$128.1M RAUM · 2 reps · 404-607-8014 · maringroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SALTBOX FINANCIAL LLC (PORTSMOUTH, NH) is newly SEC-registered with $104.6M RAUM and 3 advisory reps. IAPD ↗
$104.6M RAUM · 3 reps · (978) 572-2071 · saltboxfinancial.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HEATON FINANCIAL, PC (CEDAR CITY, UT) is newly SEC-registered with $140.1M RAUM and 2 advisory reps. IAPD ↗
$140.1M RAUM · 2 reps · 435-865-9991
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDEX FINANCIAL ADVISORS LLC (location n/a) is newly SEC-registered with $125.6M RAUM and 1 advisory reps. IAPD ↗
$125.6M RAUM · 1 reps · 510-910-8720
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IMBER FINANCIAL GROUP, LLC (ANN ARBOR, MI) is newly SEC-registered with $106.0M RAUM and 4 advisory reps. IAPD ↗
$106.0M RAUM · 4 reps · 734-769-1719 · imberwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KMF INVESTMENTS MANAGEMENT, LLC (location n/a) is newly SEC-registered with $146.0M RAUM and 4 advisory reps. IAPD ↗
$146.0M RAUM · 4 reps · 832-754-8874 · kmfinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NORTH COMPASS FINANCIAL ADVISORS, LLC (GRAND RAPIDS, MN) is newly SEC-registered with $146.0M RAUM and 3 advisory reps. IAPD ↗
$146.0M RAUM · 3 reps · 218-326-4722 · northcompassfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIGHTON WEALTH MANAGEMENT, INC. (COTTONWOOD HEIGHTS, UT) is newly SEC-registered with $131.9M RAUM and 1 advisory reps. IAPD ↗
$131.9M RAUM · 1 reps · 801-261-1611
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAIRWAY INVESTMENT GROUP, LLC (EAST LANSING, MI) is newly SEC-registered with $107.1M RAUM and 26 advisory reps. IAPD ↗
$107.1M RAUM · 26 reps · 800-292-1950 · meafs.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INFINITY 8 INVESTMENTS, LLC (CUPERTINO, CA) is newly SEC-registered with $123.9M RAUM and 1 advisory reps. IAPD ↗
$123.9M RAUM · 1 reps · 408-501-8848 · infinity8investments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
O'CONNOR CAPITAL ADVISORY, LLC (SCOTTSDALE, AZ) is newly SEC-registered with $112.1M RAUM and 1 advisory reps. IAPD ↗
$112.1M RAUM · 1 reps · 480-729-6260 · occap.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AXIA WEALTH MANAGEMENT INC (BEND, OR) is newly SEC-registered with $148.0M RAUM and 3 advisory reps. IAPD ↗
$148.0M RAUM · 3 reps · (541) 647-1500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRA WEALTH ADVISORS, LLC (HOUSTON, TX) is newly SEC-registered with $117.3M RAUM and 2 advisory reps. IAPD ↗
$117.3M RAUM · 2 reps · 713-966-6156 · integrawealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MEDIATE FINANCIAL INVESTMENT ADVISORY SERVICES, LLC (CANFIELD, OH) is newly SEC-registered with $106.4M RAUM and 3 advisory reps. IAPD ↗
$106.4M RAUM · 3 reps · 330-702-3556
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 282 firms

98
FLORIDA ATLANTIC SECURITIES CORP. (MIAMI, FL) is newly SEC-registered with $590.0M RAUM and 4 advisory reps. IAPD ↗
$590.0M RAUM · 4 reps · 305-670-9250 · floridaatlantic.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PEARSON FINANCIAL SERVICES (DENNIS, MA) is newly SEC-registered with $885.0M RAUM and 3 advisory reps. IAPD ↗
$885.0M RAUM · 3 reps · 508-385-7925 · spearsonfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VENTURI PRIVATE WEALTH filed an Item 4A succession naming THE CAPROCK GROUP, LLC (CRD 124272) — one firm absorbed the other. IAPD ↗
$3.58B RAUM · 12 reps · 208-368-9600 · venturiwealth.com
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
95
FIRST GEORGETOWN SECURITIES, INC (ALEXANDRIA, VA) is newly SEC-registered with $115.7M RAUM and 2 advisory reps. IAPD ↗
$115.7M RAUM · 2 reps · 703-519-7700 · firstgeorgetown.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDEPENDENCE CAPITAL CO., INC. (PARMA, OH) is newly SEC-registered with $118.7M RAUM and 25 advisory reps. IAPD ↗
$118.7M RAUM · 25 reps · 440-888-7000 · indcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCOFIELD & COMPANY, LLC (FAIRLAWN, OH) is newly SEC-registered with $113.6M RAUM and 3 advisory reps. IAPD ↗
$113.6M RAUM · 3 reps · 330-668-2616
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PETERSON INVESTMENT MANAGEMENT INC (location n/a) is newly SEC-registered with $146.1M RAUM and 2 advisory reps. IAPD ↗
$146.1M RAUM · 2 reps · 509-991-0894
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOWLAND AND ASSOCIATES, LLC (ST PETERSBURG, FL) is newly SEC-registered with $138.7M RAUM and 4 advisory reps. IAPD ↗
$138.7M RAUM · 4 reps · 813-333-2900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITOL WEALTH MANAGEMENT, INC. (MCLEAN, VA) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
$111.9M RAUM · 1 reps · 703-891-4070 · capitolwealthmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILNE FINANCIAL PLANNING, INC. (SAINT JOHNSBURY, VT) is newly SEC-registered with $111.3M RAUM and 1 advisory reps. IAPD ↗
$111.3M RAUM · 1 reps · 802-249-7107 · milnefeeonly.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 272 more in the CSV export.

Financial planning software 184 firms

98
FLORIDA ATLANTIC SECURITIES CORP. (MIAMI, FL) is newly SEC-registered with $590.0M RAUM and 4 advisory reps. IAPD ↗
$590.0M RAUM · 4 reps · 305-670-9250 · floridaatlantic.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PEARSON FINANCIAL SERVICES (DENNIS, MA) is newly SEC-registered with $885.0M RAUM and 3 advisory reps. IAPD ↗
$885.0M RAUM · 3 reps · 508-385-7925 · spearsonfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FIRST GEORGETOWN SECURITIES, INC (ALEXANDRIA, VA) is newly SEC-registered with $115.7M RAUM and 2 advisory reps. IAPD ↗
$115.7M RAUM · 2 reps · 703-519-7700 · firstgeorgetown.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDEPENDENCE CAPITAL CO., INC. (PARMA, OH) is newly SEC-registered with $118.7M RAUM and 25 advisory reps. IAPD ↗
$118.7M RAUM · 25 reps · 440-888-7000 · indcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCOFIELD & COMPANY, LLC (FAIRLAWN, OH) is newly SEC-registered with $113.6M RAUM and 3 advisory reps. IAPD ↗
$113.6M RAUM · 3 reps · 330-668-2616
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PETERSON INVESTMENT MANAGEMENT INC (location n/a) is newly SEC-registered with $146.1M RAUM and 2 advisory reps. IAPD ↗
$146.1M RAUM · 2 reps · 509-991-0894
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOWLAND AND ASSOCIATES, LLC (ST PETERSBURG, FL) is newly SEC-registered with $138.7M RAUM and 4 advisory reps. IAPD ↗
$138.7M RAUM · 4 reps · 813-333-2900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITOL WEALTH MANAGEMENT, INC. (MCLEAN, VA) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
$111.9M RAUM · 1 reps · 703-891-4070 · capitolwealthmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILNE FINANCIAL PLANNING, INC. (SAINT JOHNSBURY, VT) is newly SEC-registered with $111.3M RAUM and 1 advisory reps. IAPD ↗
$111.3M RAUM · 1 reps · 802-249-7107 · milnefeeonly.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE CHIP FINANCIAL ADVISORS, LLC (EAST PROVIDENCE, RI) is newly SEC-registered with $104.1M RAUM and 5 advisory reps. IAPD ↗
$104.1M RAUM · 5 reps · 401-435-4239 · bcfa.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 174 more in the CSV export.

Compliance 450 firms

98
FLORIDA ATLANTIC SECURITIES CORP. (MIAMI, FL) is newly SEC-registered with $590.0M RAUM and 4 advisory reps. IAPD ↗
$590.0M RAUM · 4 reps · 305-670-9250 · floridaatlantic.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PEARSON FINANCIAL SERVICES (DENNIS, MA) is newly SEC-registered with $885.0M RAUM and 3 advisory reps. IAPD ↗
$885.0M RAUM · 3 reps · 508-385-7925 · spearsonfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VENTURI PRIVATE WEALTH filed an Item 4A succession naming THE CAPROCK GROUP, LLC (CRD 124272) — one firm absorbed the other. IAPD ↗
$3.58B RAUM · 12 reps · 208-368-9600 · venturiwealth.com
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
95
FIRST GEORGETOWN SECURITIES, INC (ALEXANDRIA, VA) is newly SEC-registered with $115.7M RAUM and 2 advisory reps. IAPD ↗
$115.7M RAUM · 2 reps · 703-519-7700 · firstgeorgetown.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDEPENDENCE CAPITAL CO., INC. (PARMA, OH) is newly SEC-registered with $118.7M RAUM and 25 advisory reps. IAPD ↗
$118.7M RAUM · 25 reps · 440-888-7000 · indcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCOFIELD & COMPANY, LLC (FAIRLAWN, OH) is newly SEC-registered with $113.6M RAUM and 3 advisory reps. IAPD ↗
$113.6M RAUM · 3 reps · 330-668-2616
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PETERSON INVESTMENT MANAGEMENT INC (location n/a) is newly SEC-registered with $146.1M RAUM and 2 advisory reps. IAPD ↗
$146.1M RAUM · 2 reps · 509-991-0894
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOWLAND AND ASSOCIATES, LLC (ST PETERSBURG, FL) is newly SEC-registered with $138.7M RAUM and 4 advisory reps. IAPD ↗
$138.7M RAUM · 4 reps · 813-333-2900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITOL WEALTH MANAGEMENT, INC. (MCLEAN, VA) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
$111.9M RAUM · 1 reps · 703-891-4070 · capitolwealthmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILNE FINANCIAL PLANNING, INC. (SAINT JOHNSBURY, VT) is newly SEC-registered with $111.3M RAUM and 1 advisory reps. IAPD ↗
$111.3M RAUM · 1 reps · 802-249-7107 · milnefeeonly.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 440 more in the CSV export.

Portfolio / reporting / TAMP 172 firms

98
FLORIDA ATLANTIC SECURITIES CORP. (MIAMI, FL) is newly SEC-registered with $590.0M RAUM and 4 advisory reps. IAPD ↗
$590.0M RAUM · 4 reps · 305-670-9250 · floridaatlantic.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PEARSON FINANCIAL SERVICES (DENNIS, MA) is newly SEC-registered with $885.0M RAUM and 3 advisory reps. IAPD ↗
$885.0M RAUM · 3 reps · 508-385-7925 · spearsonfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VENTURI PRIVATE WEALTH filed an Item 4A succession naming THE CAPROCK GROUP, LLC (CRD 124272) — one firm absorbed the other. IAPD ↗
$3.58B RAUM · 12 reps · 208-368-9600 · venturiwealth.com
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
95
FIRST GEORGETOWN SECURITIES, INC (ALEXANDRIA, VA) is newly SEC-registered with $115.7M RAUM and 2 advisory reps. IAPD ↗
$115.7M RAUM · 2 reps · 703-519-7700 · firstgeorgetown.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDEPENDENCE CAPITAL CO., INC. (PARMA, OH) is newly SEC-registered with $118.7M RAUM and 25 advisory reps. IAPD ↗
$118.7M RAUM · 25 reps · 440-888-7000 · indcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCOFIELD & COMPANY, LLC (FAIRLAWN, OH) is newly SEC-registered with $113.6M RAUM and 3 advisory reps. IAPD ↗
$113.6M RAUM · 3 reps · 330-668-2616
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PETERSON INVESTMENT MANAGEMENT INC (location n/a) is newly SEC-registered with $146.1M RAUM and 2 advisory reps. IAPD ↗
$146.1M RAUM · 2 reps · 509-991-0894
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOWLAND AND ASSOCIATES, LLC (ST PETERSBURG, FL) is newly SEC-registered with $138.7M RAUM and 4 advisory reps. IAPD ↗
$138.7M RAUM · 4 reps · 813-333-2900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITOL WEALTH MANAGEMENT, INC. (MCLEAN, VA) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
$111.9M RAUM · 1 reps · 703-891-4070 · capitolwealthmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILNE FINANCIAL PLANNING, INC. (SAINT JOHNSBURY, VT) is newly SEC-registered with $111.3M RAUM and 1 advisory reps. IAPD ↗
$111.3M RAUM · 1 reps · 802-249-7107 · milnefeeonly.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 162 more in the CSV export.

Custodian 139 firms

98
FLORIDA ATLANTIC SECURITIES CORP. (MIAMI, FL) is newly SEC-registered with $590.0M RAUM and 4 advisory reps. IAPD ↗
$590.0M RAUM · 4 reps · 305-670-9250 · floridaatlantic.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PEARSON FINANCIAL SERVICES (DENNIS, MA) is newly SEC-registered with $885.0M RAUM and 3 advisory reps. IAPD ↗
$885.0M RAUM · 3 reps · 508-385-7925 · spearsonfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FIRST GEORGETOWN SECURITIES, INC (ALEXANDRIA, VA) is newly SEC-registered with $115.7M RAUM and 2 advisory reps. IAPD ↗
$115.7M RAUM · 2 reps · 703-519-7700 · firstgeorgetown.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDEPENDENCE CAPITAL CO., INC. (PARMA, OH) is newly SEC-registered with $118.7M RAUM and 25 advisory reps. IAPD ↗
$118.7M RAUM · 25 reps · 440-888-7000 · indcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCOFIELD & COMPANY, LLC (FAIRLAWN, OH) is newly SEC-registered with $113.6M RAUM and 3 advisory reps. IAPD ↗
$113.6M RAUM · 3 reps · 330-668-2616
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PETERSON INVESTMENT MANAGEMENT INC (location n/a) is newly SEC-registered with $146.1M RAUM and 2 advisory reps. IAPD ↗
$146.1M RAUM · 2 reps · 509-991-0894
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOWLAND AND ASSOCIATES, LLC (ST PETERSBURG, FL) is newly SEC-registered with $138.7M RAUM and 4 advisory reps. IAPD ↗
$138.7M RAUM · 4 reps · 813-333-2900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITOL WEALTH MANAGEMENT, INC. (MCLEAN, VA) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
$111.9M RAUM · 1 reps · 703-891-4070 · capitolwealthmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILNE FINANCIAL PLANNING, INC. (SAINT JOHNSBURY, VT) is newly SEC-registered with $111.3M RAUM and 1 advisory reps. IAPD ↗
$111.3M RAUM · 1 reps · 802-249-7107 · milnefeeonly.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE CHIP FINANCIAL ADVISORS, LLC (EAST PROVIDENCE, RI) is newly SEC-registered with $104.1M RAUM and 5 advisory reps. IAPD ↗
$104.1M RAUM · 5 reps · 401-435-4239 · bcfa.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 129 more in the CSV export.

Marketing & brand 423 firms

98
FLORIDA ATLANTIC SECURITIES CORP. (MIAMI, FL) is newly SEC-registered with $590.0M RAUM and 4 advisory reps. IAPD ↗
$590.0M RAUM · 4 reps · 305-670-9250 · floridaatlantic.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PEARSON FINANCIAL SERVICES (DENNIS, MA) is newly SEC-registered with $885.0M RAUM and 3 advisory reps. IAPD ↗
$885.0M RAUM · 3 reps · 508-385-7925 · spearsonfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FIRST GEORGETOWN SECURITIES, INC (ALEXANDRIA, VA) is newly SEC-registered with $115.7M RAUM and 2 advisory reps. IAPD ↗
$115.7M RAUM · 2 reps · 703-519-7700 · firstgeorgetown.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDEPENDENCE CAPITAL CO., INC. (PARMA, OH) is newly SEC-registered with $118.7M RAUM and 25 advisory reps. IAPD ↗
$118.7M RAUM · 25 reps · 440-888-7000 · indcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCOFIELD & COMPANY, LLC (FAIRLAWN, OH) is newly SEC-registered with $113.6M RAUM and 3 advisory reps. IAPD ↗
$113.6M RAUM · 3 reps · 330-668-2616
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PETERSON INVESTMENT MANAGEMENT INC (location n/a) is newly SEC-registered with $146.1M RAUM and 2 advisory reps. IAPD ↗
$146.1M RAUM · 2 reps · 509-991-0894
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOWLAND AND ASSOCIATES, LLC (ST PETERSBURG, FL) is newly SEC-registered with $138.7M RAUM and 4 advisory reps. IAPD ↗
$138.7M RAUM · 4 reps · 813-333-2900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITOL WEALTH MANAGEMENT, INC. (MCLEAN, VA) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
$111.9M RAUM · 1 reps · 703-891-4070 · capitolwealthmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILNE FINANCIAL PLANNING, INC. (SAINT JOHNSBURY, VT) is newly SEC-registered with $111.3M RAUM and 1 advisory reps. IAPD ↗
$111.3M RAUM · 1 reps · 802-249-7107 · milnefeeonly.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE CHIP FINANCIAL ADVISORS, LLC (EAST PROVIDENCE, RI) is newly SEC-registered with $104.1M RAUM and 5 advisory reps. IAPD ↗
$104.1M RAUM · 5 reps · 401-435-4239 · bcfa.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 413 more in the CSV export.

Recruiting & transitions 154 firms

77
RUBINBROWN ADVISORS LLC grew from 21 to 28 advisory reps. IAPD ↗
$3.86B RAUM · 28 reps · 314-290-3300 · rubinbrownadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
74
BLEICHROEDER LP grew from 6 to 10 advisory reps. IAPD ↗
$2.43B RAUM · 10 reps · (212) 984-3815 · bleichroederlp.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
ETHIC grew from 10 to 13 advisory reps. IAPD ↗
$10.12B RAUM · 13 reps · (646) 687-6744
CRMRecruiting & transitionsComplianceFinancial planning software
72
ARQ WEALTH ADVISORS, LLC grew from 9 to 11 advisory reps. IAPD ↗
$1.21B RAUM · 11 reps · 480-214-9572 · arqwealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
TAMALPAIS ASSET MANAGEMENT grew from 4 to 7 advisory reps. IAPD ↗
$262.5M RAUM · 7 reps · 415-723-8300 · tamalpaisam.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
EMPOWER WEALTH MANAGEMENT grew from 5 to 8 advisory reps. IAPD ↗
$349.3M RAUM · 8 reps · 512-833-6557 · empoweringretirement.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
DESIGNED WEALTH USA LTD. grew from 1 to 7 advisory reps. IAPD ↗
$5.3M RAUM · 7 reps · 416-898-5568 · designedwealth-usa.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
SILVER BIRCH FINANCIAL LLC grew from 1 to 4 advisory reps. IAPD ↗
$399.5M RAUM · 4 reps · (802) 302-5122 · silverbirchfinancial.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
MACDOUGALL FINANCIAL COUNSELING grew from 2 to 4 advisory reps. IAPD ↗
$424.8M RAUM · 4 reps · 724-468-1300
CRMRecruiting & transitionsComplianceFinancial planning software
67
PACIFIC EXCEL WEALTH ADVISORS, INC. grew from 1 to 3 advisory reps. IAPD ↗
$110.8M RAUM · 3 reps · (925) 464-7445
CRMRecruiting & transitionsComplianceFinancial planning software

…and 144 more in the CSV export.

Integration & migration consulting 13 firms

95
VENTURI PRIVATE WEALTH filed an Item 4A succession naming THE CAPROCK GROUP, LLC (CRD 124272) — one firm absorbed the other. IAPD ↗
$3.58B RAUM · 12 reps · 208-368-9600 · venturiwealth.com
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
90
IQVESTMENT, LLC filed an Item 4A succession naming MARSTONE LLC (CRD 164810) — one firm absorbed the other. IAPD ↗
$22.3M RAUM · 3 reps · 877-486-4702 · iqvestment.io
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
85
OLIVER LUXXE ASSETS LLC crossed $1B in regulatory AUM ($981.9M -> $1.00B). IAPD ↗
$1.00B RAUM · 6 reps · 908-741-4884 · oliverluxxe.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
XYPN SAPPHIRE crossed $1B in regulatory AUM ($881.5M -> $1.25B). IAPD ↗
$1.25B RAUM · 60 reps · (360) 301-7579 · deltalakewm.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
FAITHWARD CAPITAL crossed $1B in regulatory AUM ($922.7M -> $1.18B). IAPD ↗
$1.18B RAUM · 1 reps · (844) 970-4055 · sevenonesevencapital.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
BOS ASSET MANAGEMENT, LLC crossed $1B in regulatory AUM ($933.2M -> $1.03B). IAPD ↗
$1.03B RAUM · 8 reps · 833-943-8090 · bosassetmanagement.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
FOGUTH WEALTH MANAGEMENT, LLC. crossed $1B in regulatory AUM ($825.1M -> $1.07B). IAPD ↗
$1.07B RAUM · 32 reps · (810) 522-5650
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
ELYXIUM WEALTH LLC crossed $1B in regulatory AUM ($819.0M -> $1.39B). IAPD ↗
$1.39B RAUM · 7 reps · (310) 221-8349*224 · elyxwealth.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
CROWN WEALTH GROUP LLC crossed $500M in regulatory AUM ($437.5M -> $502.4M). IAPD ↗
$502.4M RAUM · 8 reps · (704) 360-3995 · crownwealthgroup.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
45
GREYCOURT & CO., INC. filed an Item 4A succession naming GREYCOURT & CO., INC. (CRD 111936) — an entity change, not a deal. IAPD ↗
$6.61B RAUM · 19 reps · 412-361-0100
Integration & migration consultingCompliance

…and 3 more in the CSV export.

Fund administration 6 firms

75
CAMBIAR INVESTORS, LLC now reports 1 private fund(s) ($318.0M gross). IAPD ↗
$2.92B RAUM · 8 reps · 888-673-9950 · cambiar.com
Fund administrationCompliance
75
WALDRON PRIVATE WEALTH now reports 1 private fund(s) ($0 gross). IAPD ↗
$5.50B RAUM · 47 reps · 412-221-1005
Fund administrationCompliance
73
FOUNDER FAMILY FINANCIAL, LLC now reports 3 private fund(s) ($1.6M gross). IAPD ↗
$321.0M RAUM · 1 reps · 843-621-0435
Fund administrationCompliance
70
AHARA ADVISORS now reports 1 private fund(s) ($2.9M gross). IAPD ↗
$185.4M RAUM · 2 reps · 412-908-0844
Fund administrationCompliance
70
MUSEUM MILE FUNDS LLC now reports 1 private fund(s) ($0 gross). IAPD ↗
$26.9M RAUM · 1 reps · 646-580-8330
Fund administrationCompliance
70
CHILDRESS & CO LLC now reports 2 private fund(s) ($58.9M gross). IAPD ↗
$120.3M RAUM · 1 reps · 307-734-7141
Fund administrationCompliance

Office IT & facilities 102 firms

55
NOTTINGHAM ADVISORS INC. added office(s): 4 -> 5 additional locations. IAPD ↗
$1.43B RAUM · 7 reps · 716-633-3800 · yelp.com
Office IT & facilitiesCRMRecruiting & transitions
55
1834 INVESTMENT ADVISORS CO. added office(s): 9 -> 10 additional locations. IAPD ↗
$2.20B RAUM · 30 reps · (414) 615-1012 · 1834investmentadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
DRIEHAUS CAPITAL MANAGEMENT LLC added office(s): 0 -> 3 additional locations. IAPD ↗
$26.12B RAUM · 27 reps · 312-587-3800
Office IT & facilitiesCRMRecruiting & transitions
55
ROFFMAN MILLER ASSOCIATES INC added office(s): 0 -> 1 additional locations. IAPD ↗
$3.20B RAUM · 14 reps · 215-981-1030 · roffmanmiller.com
Office IT & facilitiesCRMRecruiting & transitions
55
PLANCORP, LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$10.63B RAUM · 52 reps · (636) 532-7824
Office IT & facilitiesCRMRecruiting & transitions
55
OAKTREE CAPITAL MANAGEMENT, L.P. added office(s): 16 -> 17 additional locations. IAPD ↗
$183.29B RAUM · 282 reps · 213-830-6300
Office IT & facilitiesCRMRecruiting & transitions
55
INVESTMENT CONSULTING GROUP INC added office(s): 0 -> 1 additional locations. IAPD ↗
$2.84B RAUM · 3 reps · 563-322-2322 · investmentconsultinggroupinc.com
Office IT & facilitiesCRMRecruiting & transitions
55
CORDA INVESTMENT MANAGEMENT, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$2.00B RAUM · 26 reps · 713-439-0665 · cordamanagement.com
Office IT & facilitiesCRMRecruiting & transitions
55
FORVIS MAZARS WEALTH ADVISORS, LLC added office(s): 62 -> 65 additional locations. IAPD ↗
$12.01B RAUM · 82 reps · 417.831.7283 · forvismazars.us
Office IT & facilitiesCRMRecruiting & transitions
55
FOCUS FINANCIAL added office(s): 35 -> 36 additional locations. IAPD ↗
$6.82B RAUM · 114 reps · 651-631-8166 · focusfinancial.com
Office IT & facilitiesCRMRecruiting & transitions

…and 92 more in the CSV export.

M&A & valuation 61 firms

65
CAPITAL ADVISORS, INC. (TULSA, OK) left the SEC roster (was $7.43B RAUM, 35 reps). IAPD ↗
$7.43B RAUM · 35 reps · (866) 230-5879 · capadvfunds.com
Recruiting & transitionsM&A & valuation
65
TEACHERS ADVISORS, LLC (NEW YORK, NY) left the SEC roster (was $436.33B RAUM, 296 reps). IAPD ↗
$436.33B RAUM · 296 reps · 212-490-9000
Recruiting & transitionsM&A & valuation
65
CHARTER OAK CAPITAL MANAGEMENT (PORTSMOUTH, NH) left the SEC roster (was $1.57B RAUM, 13 reps). IAPD ↗
$1.57B RAUM · 13 reps · 800-646-5720
Recruiting & transitionsM&A & valuation
65
GIA PARTNERS, LLC. (NEW YORK, NY) left the SEC roster (was $1.06B RAUM, 5 reps). IAPD ↗
$1.06B RAUM · 5 reps · 212-893-7810 · giallc.com
Recruiting & transitionsM&A & valuation
65
ANFIELD CAPITAL MANAGEMENT, LLC (IRVINE, CA) left the SEC roster (was $2.16B RAUM, 7 reps). IAPD ↗
$2.16B RAUM · 7 reps · 949-891-0600 · anfieldfunds.com
Recruiting & transitionsM&A & valuation
65
LWM ADVISORY SERVICES, LLC (PLANTATION, FL) left the SEC roster (was $1.09B RAUM, 8 reps). IAPD ↗
$1.09B RAUM · 8 reps · 954-474-7100 · lwmfl.com
Recruiting & transitionsM&A & valuation
65
WADDELL & ASSOCIATES, LLC (MEMPHIS, TN) left the SEC roster (was $2.38B RAUM, 9 reps). IAPD ↗
$2.38B RAUM · 9 reps · 901-767-9187 · vimeo.com
Recruiting & transitionsM&A & valuation
65
ONE CHARLES PRIVATE WEALTH (HINGHAM, MA) left the SEC roster (was $1.09B RAUM, 5 reps). IAPD ↗
$1.09B RAUM · 5 reps · 617-337-4208 · focusfinancialpartners.com
Recruiting & transitionsM&A & valuation
63
PALOUSE CAPITAL MANAGEMENT, INC. (SPOKANE, WA) left the SEC roster (was $408.5M RAUM, 2 reps). IAPD ↗
$408.5M RAUM · 2 reps · (509) 624-5591 · palousecap.com
Recruiting & transitionsM&A & valuation
63
HSC WEALTH ADVISORS (FOREST, VA) left the SEC roster (was $449.2M RAUM, 9 reps). IAPD ↗
$449.2M RAUM · 9 reps · 434-316-9356 · hscwealthadvisors.com
Recruiting & transitionsM&A & valuation

…and 51 more in the CSV export.

Everything else — all segments

state expansion — 249 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
APRIO WEALTH MANAGEMENT, LLC notice-filed in AR, DC, MO, NE, NH, NM, OK, OR. IAPD ↗
$4.15B RAUM · 32 reps · 404-892-9651 · wealth.aprio.com
ComplianceMarketing & brand
55
GRYPHON WEALTH notice-filed in CA, GA, MA, NC, NJ, NY, TX, VA. IAPD ↗
$3.24B RAUM · 6 reps · 904-450-5330
ComplianceMarketing & brand
55
TANARA WEALTH MANAGEMENT LLC notice-filed in CA, ID, NV, OR, TX, WA. IAPD ↗
$1.09B RAUM · 5 reps · 801-653-0564 · tanarawm.com
ComplianceMarketing & brand
53
MCF ADVISORS, LLC notice-filed in LA, MN, NE, NH. IAPD ↗
$4.68B RAUM · 30 reps · 859-967-0999
ComplianceMarketing & brand
53
PRIVATE ADVISORY notice-filed in GA, NV, TN, WY. IAPD ↗
$2.14B RAUM · 12 reps · 425-498-2320 · privateadvisory.com
ComplianceMarketing & brand
53
GOVERNMENT PORTFOLIO ADVISORS LLC notice-filed in CO, OH, SD, WI. IAPD ↗
$35.09B RAUM · 6 reps · 503-248-9973 · gpafixedincome.com
ComplianceMarketing & brand
53
GR FINANCIAL GROUP, LLC notice-filed in FL, MI, SC, VA. IAPD ↗
$1.05B RAUM · 6 reps · 520-577-4711 · gr-financialgroup.com
ComplianceMarketing & brand
53
IMZ ADVISORY INC. notice-filed in CA, GA, NE, NJ, NY, PA, SC, WA, WI. IAPD ↗
$452.7M RAUM · 3 reps · 561-368-2336 · imzfinancialservices.com
ComplianceMarketing & brand
53
DRUCKER WEALTH notice-filed in CT, FL, GA, MA, MN, NC, PA, VA. IAPD ↗
$891.2M RAUM · 6 reps · (212) 681-0460
ComplianceMarketing & brand
53
GFG SOLUTIONS notice-filed in IN, KY, LA, MO, NE, NH, VA. IAPD ↗
$306.6M RAUM · 4 reps · 407-627-0091 · gfgsolutions.com
ComplianceMarketing & brand
53
BODEN WEALTH notice-filed in FL, IN, MD, NJ, SC, VA. IAPD ↗
$581.8M RAUM · 8 reps · 717-657-8878 · bodenwealth.com
ComplianceMarketing & brand
51
DRIEHAUS CAPITAL MANAGEMENT LLC notice-filed in ID, TN, WY. IAPD ↗
$26.12B RAUM · 27 reps · 312-587-3800
ComplianceMarketing & brand
51
STEELE CAPITAL MANAGEMENT, INC. notice-filed in LA, NH, RI. IAPD ↗
$3.55B RAUM · 13 reps · 563-588-2097
ComplianceMarketing & brand
51
UNITED ADVISORS AMERICA notice-filed in CT, MA, ME, NH. IAPD ↗
$446.5M RAUM · 24 reps · 877-443-0610
ComplianceMarketing & brand
51
ARQ WEALTH ADVISORS, LLC notice-filed in NC, OR, TN. IAPD ↗
$1.21B RAUM · 11 reps · 480-214-9572 · arqwealth.com
ComplianceMarketing & brand
51
XYPN SAPPHIRE notice-filed in NH, NJ, TN. IAPD ↗
$1.25B RAUM · 60 reps · (360) 301-7579 · deltalakewm.com
ComplianceMarketing & brand
51
WINTHROP WEALTH notice-filed in DC, LA, MD. IAPD ↗
$3.10B RAUM · 27 reps · 617-530-1010
ComplianceMarketing & brand
51
ROOT FINANCIAL PARTNERS notice-filed in MS, RI, WV. IAPD ↗
$2.15B RAUM · 59 reps · (760) 452-0720
ComplianceMarketing & brand
51
WEALTHPLAN INVESTMENT MANAGEMENT LLC notice-filed in GA, OH, OK. IAPD ↗
$2.19B RAUM · 14 reps · 402-691-0200 · wealthplan.group
ComplianceMarketing & brand
50
WALLICK INVESTMENTS, LLC notice-filed in IN, NY, PA, WA, WI. IAPD ↗
$168.3M RAUM · 3 reps · 803-699-9400
ComplianceMarketing & brand
50
FOUNDRY FINANCIAL LLC notice-filed in CO, MI, NE, NJ, NY, PA. IAPD ↗
$232.6M RAUM · 7 reps · (213) 802-8662 · foundryfinancial.org
ComplianceMarketing & brand
50
EKO notice-filed in AL, AR, IA, IL, OH, PA, UT. IAPD ↗
$74.9M RAUM · 2 reps · (917)7449432
ComplianceMarketing & brand
50
WHALE notice-filed in AR, IA, IN, KS, ME, MI, MN, MO, MT, NE, NV, OK, SC, WI, WV, WY. IAPD ↗
$2.5M RAUM · 2 reps · 8884887104 · getwhale.co
ComplianceMarketing & brand
49
DONALDSON CAPITAL MANAGEMENT LLC notice-filed in MS, NV. IAPD ↗
$3.46B RAUM · 36 reps · 812-421-3211
ComplianceMarketing & brand
49
HERITAGE INVESTORS MANAGEMENT CORP notice-filed in AZ, VT. IAPD ↗
$4.63B RAUM · 8 reps · 301-951-0440
ComplianceMarketing & brand
49
FORVIS MAZARS WEALTH ADVISORS, LLC notice-filed in DE, NM. IAPD ↗
$12.01B RAUM · 82 reps · 417.831.7283 · forvismazars.us
ComplianceMarketing & brand
49
RUBINBROWN ADVISORS LLC notice-filed in CT, MD. IAPD ↗
$3.86B RAUM · 28 reps · 314-290-3300 · rubinbrownadvisors.com
ComplianceMarketing & brand
49
SAX WEALTH ADVISORS, LLC notice-filed in MN, NM. IAPD ↗
$3.60B RAUM · 37 reps · 973-859-2199
ComplianceMarketing & brand
49
WILLIS JOHNSON WEALTH notice-filed in AL, CO. IAPD ↗
$1.85B RAUM · 21 reps · 713-439-1200
ComplianceMarketing & brand
49
JDL ADVISERS notice-filed in IL, MN. IAPD ↗
$2.28B RAUM · 10 reps · 949-752-9096
ComplianceMarketing & brand
49
FAI CAPITAL MANAGEMENT notice-filed in CA, LA, TN. IAPD ↗
$842.1M RAUM · 3 reps · 813-874-6621
ComplianceMarketing & brand
49
CAPITA FINANCIAL NETWORK, LLC notice-filed in IN, WI. IAPD ↗
$2.32B RAUM · 22 reps · 801-566-5058 · capitafinancial.com
ComplianceMarketing & brand
49
RESURGENT ADVISORS notice-filed in AL, LA, SC. IAPD ↗
$354.7M RAUM · 10 reps · 404-654-0531 · encompassadvising.net
ComplianceMarketing & brand
49
CYNDEO WEALTH PARTNERS notice-filed in PA, WI. IAPD ↗
$3.15B RAUM · 27 reps · (727) 472-3700 · cyndeowp.com
ComplianceMarketing & brand
49
ARG PRIVATE WEALTH, LLC notice-filed in AL, KY, OK. IAPD ↗
$280.0M RAUM · 2 reps · 513-488-1600 · argprivatewealth.com
ComplianceMarketing & brand
49
MARATHON FINANCIAL GROUP notice-filed in CA, GA, ME. IAPD ↗
$307.8M RAUM · 3 reps · 857-201-3420
ComplianceMarketing & brand
49
N10° WEALTH notice-filed in CA, FL, NJ. IAPD ↗
$553.1M RAUM · 5 reps · 203-930-2881 · n10wealth.com
ComplianceMarketing & brand
49
N10° ASSETS notice-filed in CA, FL, NJ. IAPD ↗
$306.9M RAUM · 5 reps · 203-930-2880 · n10assets.com
ComplianceMarketing & brand
47
ALLEGHENY FINANCIAL GROUP notice-filed in CO. IAPD ↗
$5.59B RAUM · 28 reps · 412-367-3880
ComplianceMarketing & brand
47
MANCHESTER FINANCIAL INC notice-filed in NC. IAPD ↗
$1.05B RAUM · 14 reps · 805-495-4405
ComplianceMarketing & brand
47
WILMINGTON TRUST INVESTMENT ADVISORS, INC. notice-filed in NJ. IAPD ↗
$17.83B RAUM · 74 reps · 646-531-7248
ComplianceMarketing & brand
47
INVESTMENT CONSULTING GROUP INC notice-filed in NY. IAPD ↗
$2.84B RAUM · 3 reps · 563-322-2322 · investmentconsultinggroupinc.com
ComplianceMarketing & brand
47
CHECK CAPITAL MANAGEMENT INC notice-filed in CO. IAPD ↗
$2.37B RAUM · 9 reps · 714-641-3579
ComplianceMarketing & brand
47
WILLIAM MACK & ASSOCIATES INC notice-filed in MA. IAPD ↗
$1.03B RAUM · 10 reps · 248-643-4310 · wmack.com
ComplianceMarketing & brand
47
ENTRUST GLOBAL PARTNERS LLC notice-filed in PR. IAPD ↗
$11.82B RAUM · 40 reps · 212-888-1040 · entrustglobal.com
ComplianceMarketing & brand
47
FBB CAPITAL PARTNERS notice-filed in CO. IAPD ↗
$2.39B RAUM · 15 reps · 301-657-8870
ComplianceMarketing & brand
47
SUMMIT FINANCIAL STRATEGIES INC notice-filed in CO. IAPD ↗
$2.31B RAUM · 31 reps · 614-885-1115 · summitfin.com
ComplianceMarketing & brand
47
NEW ENGLAND RESEARCH & MANAGEMENT, INC. notice-filed in CA, NY. IAPD ↗
$337.1M RAUM · 3 reps · 312-212-1704 · nerminc.com
ComplianceMarketing & brand
47
THE WELCH GROUP, LLC notice-filed in CO. IAPD ↗
$3.68B RAUM · 26 reps · 205-879-5001 · welchgroup.com
ComplianceMarketing & brand
47
BOULAY WEALTH notice-filed in NC. IAPD ↗
$3.01B RAUM · 31 reps · 952-893-9320
ComplianceMarketing & brand
47
RATHER & KITTRELL, INC. notice-filed in CO. IAPD ↗
$2.25B RAUM · 17 reps · 865-218-8400 · rkcapital.com
ComplianceMarketing & brand
47
VAN HULZEN FINANCIAL ADVISORS notice-filed in SC. IAPD ↗
$2.14B RAUM · 16 reps · (916) 608-4284 · vaminstituional.com
ComplianceMarketing & brand
47
NADLER FINANCIAL GROUP, INC. notice-filed in CO. IAPD ↗
$2.18B RAUM · 18 reps · 847-940-4040 · nadlerfinancial.com
ComplianceMarketing & brand
47
THE CAPROCK GROUP, LLC notice-filed in OK. IAPD ↗
$12.48B RAUM · 38 reps · (208) 368-9600
ComplianceMarketing & brand
47
GENERATION CAPITAL MANAGEMENT LLC notice-filed in MA. IAPD ↗
$1.15B RAUM · 1 reps · 585-232-8560
ComplianceMarketing & brand
47
THOMPSON INVESTMENT MANAGEMENT, INC. notice-filed in CA. IAPD ↗
$3.08B RAUM · 6 reps · 608-827-5700 · thompsonim.com
ComplianceMarketing & brand
47
INVESTOLOGY INC. notice-filed in NC, PA. IAPD ↗
$250.0M RAUM · 3 reps · 703-429-1975 · investologyinc.net
ComplianceMarketing & brand
47
BAKERAVENUE notice-filed in MN. IAPD ↗
$5.09B RAUM · 29 reps · 415-986-1110 · bakerave.com
ComplianceMarketing & brand
47
PROSPERITY - AN EISNERAMPER COMPANY notice-filed in MO. IAPD ↗
$5.04B RAUM · 60 reps · 410-363-7211 · prosperityconsult.com
ComplianceMarketing & brand
47
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC notice-filed in VA. IAPD ↗
$1.40B RAUM · 9 reps · (408) 217-2000
ComplianceMarketing & brand
47
JFS WEALTH ADVISORS, LLC notice-filed in CO. IAPD ↗
$4.73B RAUM · 32 reps · 724-962-3200
ComplianceMarketing & brand
47
LJI WEALTH MANAGEMENT, LLC notice-filed in AL. IAPD ↗
$1.37B RAUM · 13 reps · 317-466-9702 · ljiwm.com
ComplianceMarketing & brand
47
GLASSMAN WEALTH SERVICES, LLC notice-filed in SC. IAPD ↗
$2.56B RAUM · 13 reps · 703-534-4444
ComplianceMarketing & brand
47
CAPITAL ADVISORS, LTD., LLC notice-filed in CO. IAPD ↗
$1.37B RAUM · 11 reps · 216-295-7900 · capitaladvisorsltd.com
ComplianceMarketing & brand
47
TWO WEST CAPITAL ADVISORS LLC notice-filed in CO. IAPD ↗
$3.89B RAUM · 15 reps · 913-825-1722 · twowestcompanies.com
ComplianceMarketing & brand
47
CHEVIOT VALUE MANAGEMENT, LLC notice-filed in KY. IAPD ↗
$1.17B RAUM · 7 reps · 310-451-8600
ComplianceMarketing & brand
47
THRIVE WEALTH MANAGEMENT, LLC notice-filed in NE. IAPD ↗
$1.58B RAUM · 11 reps · 215-376-5530
ComplianceMarketing & brand
47
TWELVE POINTS WEALTH MANAGEMENT notice-filed in CO. IAPD ↗
$2.24B RAUM · 13 reps · 978-318-9500
ComplianceMarketing & brand
47
B.O.S.S. RETIREMENT ADVISORS, LLC notice-filed in CO. IAPD ↗
$1.38B RAUM · 49 reps · 801-990-5055
ComplianceMarketing & brand
47
JOURNEY ADVISORY GROUP, LLC notice-filed in TN. IAPD ↗
$1.65B RAUM · 15 reps · 859-888-0356 · discover.journeyadvisory.group
ComplianceMarketing & brand
47
WATERFRONT WEALTH INC. notice-filed in CO. IAPD ↗
$1.14B RAUM · 9 reps · 913-951-5800
ComplianceMarketing & brand
47
RIVER WEALTH ADVISORS LLC notice-filed in CO. IAPD ↗
$1.47B RAUM · 9 reps · 717-888-9830
ComplianceMarketing & brand
47
NAVIGATE WEALTH MANAGEMENT, LLC notice-filed in FL, GA. IAPD ↗
$429.6M RAUM · 6 reps · 205-224-9500
ComplianceMarketing & brand
47
ALPHACORE CAPITAL LLC notice-filed in WV. IAPD ↗
$12.96B RAUM · 70 reps · 858-875-4100 · alphacore.com
ComplianceMarketing & brand
47
ARCA WEALTH, LLC notice-filed in GA. IAPD ↗
$1.27B RAUM · 11 reps · 603-610-8881
ComplianceMarketing & brand
47
HURLOW WEALTH MANAGEMENT GROUP, INC. notice-filed in CO, WI. IAPD ↗
$794.4M RAUM · 10 reps · (812) 333-4726 · hurlowwealth.com
ComplianceMarketing & brand
47
STERLING INVESTMENT COUNSEL, LLC notice-filed in CO. IAPD ↗
$1.03B RAUM · 8 reps · (716) 783-7054 · sterinv.com
ComplianceMarketing & brand
47
ABOUND WEALTH MANAGEMENT, LLC notice-filed in MS. IAPD ↗
$1.95B RAUM · 26 reps · 615-226-3667
ComplianceMarketing & brand
47
PERENNIAL FINANCIAL SERVICES notice-filed in MA. IAPD ↗
$2.50B RAUM · 39 reps · 310-445-2504
ComplianceMarketing & brand
47
ETON ADVISORS notice-filed in DC. IAPD ↗
$1.89B RAUM · 5 reps · 919-442-1550 · focusfinancialpartners.com
ComplianceMarketing & brand
47
PRINCIPLE WEALTH notice-filed in IL. IAPD ↗
$3.20B RAUM · 22 reps · 203-318-8892
ComplianceMarketing & brand
47
CHICAGO CAPITAL, LLC notice-filed in MT. IAPD ↗
$4.82B RAUM · 12 reps · 312-429-2333
ComplianceMarketing & brand
47
SIGNAL ADVISORS WEALTH, LLC notice-filed in MO. IAPD ↗
$1.69B RAUM · 37 reps · 1-866-774-4625
ComplianceMarketing & brand
47
SIMPLIFY ASSET MANAGEMENT INC. notice-filed in MA. IAPD ↗
$14.05B RAUM · 14 reps · 702-389-9705 · simplify.us
ComplianceMarketing & brand
47
BOS ASSET MANAGEMENT, LLC notice-filed in TN. IAPD ↗
$1.03B RAUM · 8 reps · 833-943-8090 · bosassetmanagement.com
ComplianceMarketing & brand
47
MOMENT PRIVATE WEALTH notice-filed in AZ, NC. IAPD ↗
$357.2M RAUM · 6 reps · (636) 591-1050 · momentprivatewealth.com
ComplianceMarketing & brand
47
HILL ISLAND FINANCIAL LLC notice-filed in AZ, IN. IAPD ↗
$623.8M RAUM · 8 reps · (616) 977-2639
ComplianceMarketing & brand
47
UNIVERSAL FINANCIAL ADVISORS, LLC notice-filed in CA, NC. IAPD ↗
$277.5M RAUM · 8 reps · 314-721-5522 · universaladvisorsgroup.com
ComplianceMarketing & brand
47
VESTGEN ADVISORS, LLC notice-filed in HI. IAPD ↗
$6.67B RAUM · 58 reps · 312-237-4446 · vestgen.com
ComplianceMarketing & brand
47
ELYXIUM WEALTH LLC notice-filed in WA. IAPD ↗
$1.39B RAUM · 7 reps · (310) 221-8349*224 · elyxwealth.com
ComplianceMarketing & brand
47
PANDI, LLC notice-filed in IL. IAPD ↗
$1.38B RAUM · 7 reps · 913-437-9900 · pandikc.com
ComplianceMarketing & brand
47
CALIBER WEALTH MANAGEMENT, LLC notice-filed in CO. IAPD ↗
$1.76B RAUM · 15 reps · 913-303-3920
ComplianceMarketing & brand
47
ALCYON WEALTH PARTNERS notice-filed in CO, LA. IAPD ↗
$356.5M RAUM · 4 reps · (330) 797-4088
ComplianceMarketing & brand
47
ACTIV8 FAMILY OFFICE LLC notice-filed in PA. IAPD ↗
$1.54B RAUM · 7 reps · 978-870-0255 · activ8familyoffice.com
ComplianceMarketing & brand
46
SAVILE PRIVATE WEALTH LLC notice-filed in FL, PR, TX. IAPD ↗
$0 RAUM · 1 reps · 307-655-1008
ComplianceMarketing & brand
45
W&S BROKERAGE SERVICES, INC. notice-filed in HI. IAPD ↗
$257.2M RAUM · 86 reps · 800-257-2135
ComplianceMarketing & brand
45
FIDUCIARY ADVISORS, LLC notice-filed in OH. IAPD ↗
$520.2M RAUM · 1 reps · 801-492-7341 · fiduciaryadvisors.com
ComplianceMarketing & brand
45
MACDOUGALL FINANCIAL COUNSELING notice-filed in MA. IAPD ↗
$424.8M RAUM · 4 reps · 724-468-1300
ComplianceMarketing & brand
45
RBF WEALTH ADVISORS notice-filed in CO. IAPD ↗
$716.1M RAUM · 16 reps · 314-997-1652 · dentalwealthrx.com
ComplianceMarketing & brand
45
THE ARKANSAS FINANCIAL GROUP, INC. notice-filed in CO. IAPD ↗
$971.1M RAUM · 5 reps · 501-376-9051
ComplianceMarketing & brand
45
NICHOLSON MEYER CAPITAL MANAGEMENT, INC. notice-filed in CO. IAPD ↗
$338.1M RAUM · 2 reps · 816-931-5757 · nicholsoncap.com
ComplianceMarketing & brand
45
M. KRAUS & COMPANY notice-filed in CA. IAPD ↗
$559.3M RAUM · 5 reps · 802-985-2620 · mkrausco.com
ComplianceMarketing & brand
45
AMERICA FIRST INVESTMENT ADVISORS LLC notice-filed in NH. IAPD ↗
$665.1M RAUM · 7 reps · 402-991-3388 · am1st.com
ComplianceMarketing & brand
45
BNB WEALTH MANGAGEMENT, LLC notice-filed in TN. IAPD ↗
$264.6M RAUM · 4 reps · 301-562-7300
ComplianceMarketing & brand
45
AMERICAN RETIREMENT PLANNING GROUP INC notice-filed in IA. IAPD ↗
$348.1M RAUM · 2 reps · 702-655-8300 · intelligentinvestment.com
ComplianceMarketing & brand
45
TRINITY WEALTH ADVISORS LLC notice-filed in CO. IAPD ↗
$281.5M RAUM · 4 reps · 314-966-0033 · trinitywealth.com
ComplianceMarketing & brand
45
WISCONSIN CAPITAL MANAGEMENT, LLC notice-filed in FL. IAPD ↗
$293.6M RAUM · 2 reps · 608-960-4616 · plumbfunds.com
ComplianceMarketing & brand
45
S&A FINANCIAL SERVICES, INC. notice-filed in CO. IAPD ↗
$392.3M RAUM · 3 reps · 913-362-2712
ComplianceMarketing & brand
45
HEFFERNAN ADVISORY, INC. notice-filed in NY. IAPD ↗
$409.6M RAUM · 5 reps · 928-774-9598
ComplianceMarketing & brand
45
DIVERSIFIED FINANCIAL ADVISORS, LLC notice-filed in KS. IAPD ↗
$585.9M RAUM · 3 reps · 800-307-0376 · diversifiedfa.com
ComplianceMarketing & brand
45
CHESAPEAKE FINANCIAL ADVISORS notice-filed in NY. IAPD ↗
$310.1M RAUM · 7 reps · 410-823-5442
ComplianceMarketing & brand
45
SAXONY CAPITAL MANAGEMENT, LLC notice-filed in IA. IAPD ↗
$367.9M RAUM · 0 reps · 314-963-9336
ComplianceMarketing & brand
45
MADER & SHANNON WEALTH MANAGEMENT notice-filed in CA. IAPD ↗
$269.4M RAUM · 9 reps · 816-751-0585
ComplianceMarketing & brand
45
RFM FINANCIAL SOLUTIONS, LLC notice-filed in TX. IAPD ↗
$260.1M RAUM · 3 reps · 989.772.1209 · rfmfinancialsolutions.com
ComplianceMarketing & brand
45
HENNION & WALSH ASSET MANAGEMENT, INC. notice-filed in MO. IAPD ↗
$768.8M RAUM · 11 reps · 973-299-8989 · hennionandwalsh.com
ComplianceMarketing & brand
45
HOPWOOD FINANCIAL SERVICES, INC. notice-filed in CO. IAPD ↗
$750.3M RAUM · 6 reps · 703-787-0008
ComplianceMarketing & brand
45
CORNERSTONE FINANCIAL PLANNING, LLC notice-filed in NY. IAPD ↗
$400.7M RAUM · 6 reps · 603-431-1133 · cornerstoneplanning.com
ComplianceMarketing & brand
45
RIVERSTONE ADVISORS, LLC notice-filed in PA. IAPD ↗
$640.9M RAUM · 3 reps · 914 722-1700
ComplianceMarketing & brand
45
ODER INVESTMENT MANAGEMENT, LLC notice-filed in NH. IAPD ↗
$366.7M RAUM · 4 reps · (818) 676-0036 · oderllc.com
ComplianceMarketing & brand
45
HOLLAND ADVISORY SERVICES, INC. notice-filed in SC. IAPD ↗
$307.7M RAUM · 10 reps · 386-671-7526
ComplianceMarketing & brand
45
TORREY GROWTH & INCOME ADVISORS, LLC notice-filed in WA. IAPD ↗
$328.4M RAUM · 3 reps · 760-274-2744 · torreygrowth.com
ComplianceMarketing & brand
45
JACOBSON & SCHMITT ADVISORS, LLC notice-filed in OR. IAPD ↗
$676.4M RAUM · 12 reps · (608) 662-7500 · jandsadvisors.com
ComplianceMarketing & brand
45
MILLER FINANCIAL SERVICES LLC notice-filed in NE. IAPD ↗
$462.9M RAUM · 3 reps · 269-781-5129 · millerfinancialplanning.com
ComplianceMarketing & brand
45
PARKER FINANCIAL LLC notice-filed in FL. IAPD ↗
$272.0M RAUM · 3 reps · 360-337-2701
ComplianceMarketing & brand
45
SLAGLE FINANCIAL, LLC. notice-filed in CO. IAPD ↗
$411.7M RAUM · 7 reps · 618-692-1657
ComplianceMarketing & brand
45
CAISSA WEALTH STRATEGIES notice-filed in IL. IAPD ↗
$297.0M RAUM · 6 reps · 612-426-6007
ComplianceMarketing & brand
45
GUIDESTREAM FINANCIAL, INC. notice-filed in CO. IAPD ↗
$263.5M RAUM · 5 reps · (517) 750-2727 · guidestreamfinancial.com
ComplianceMarketing & brand
45
RCM WEALTH ADVISORS notice-filed in NC. IAPD ↗
$388.8M RAUM · 12 reps · 866-903-1822 · rcmwa.com
ComplianceMarketing & brand
45
PATHWAYS WEALTH MANAGEMENT, INC. notice-filed in TN. IAPD ↗
$287.0M RAUM · 3 reps · 937-552-9765 · pathwayswm.com
ComplianceMarketing & brand
45
THE GENWEALTH GROUP, INC. notice-filed in TX. IAPD ↗
$661.3M RAUM · 5 reps · 973-761-0400
ComplianceMarketing & brand
45
ALPHA SOLUTIONS INVESTMENT ADVISORS notice-filed in NV. IAPD ↗
$466.3M RAUM · 4 reps · 415-882-7088
ComplianceMarketing & brand
45
UNITED CAPITAL MANAGEMENT OF KANSAS, INC. notice-filed in NC. IAPD ↗
$884.8M RAUM · 23 reps · 785-823-7900 · ucmofkansas.com
ComplianceMarketing & brand
45
FORMIDABLE ASSET MANAGEMENT, LLC notice-filed in NJ. IAPD ↗
$903.0M RAUM · 14 reps · 513-655-5566 · formidableam.com
ComplianceMarketing & brand
45
FISCAL WISDOM WEALTH MANAGEMENT LLC notice-filed in SC. IAPD ↗
$386.0M RAUM · 10 reps · 678-202-4066 · fiscalwisdom.com
ComplianceMarketing & brand
45
NAVIGOE, LLC notice-filed in NV. IAPD ↗
$407.8M RAUM · 2 reps · 888-596-4636
ComplianceMarketing & brand
45
BROWN EDWARDS WEALTH STRATEGIES notice-filed in NC. IAPD ↗
$403.3M RAUM · 8 reps · 434 948-9000 · brownedwardswealth.com
ComplianceMarketing & brand
45
ADK WEALTH ADVISORY GROUP notice-filed in CO. IAPD ↗
$768.5M RAUM · 5 reps · (314) 878-1489
ComplianceMarketing & brand
45
MIDWEST FINANCIAL GROUP LLC notice-filed in CO. IAPD ↗
$566.1M RAUM · 9 reps · 913-696-0041 · midwestfinancialkc.com
ComplianceMarketing & brand
45
BETTERWEALTH LLC notice-filed in WA. IAPD ↗
$659.9M RAUM · 5 reps · 408-659-2390
ComplianceMarketing & brand
45
HACKMAN FINANCIAL GROUP notice-filed in TX. IAPD ↗
$426.7M RAUM · 6 reps · (513) 891-5300 · hackmanfinancial.com
ComplianceMarketing & brand
45
BRICKLEY WEALTH MANAGEMENT notice-filed in TX. IAPD ↗
$950.1M RAUM · 5 reps · (650) 638-0111
ComplianceMarketing & brand
45
FIRST OAK WEALTH MANAGEMENT, LLC notice-filed in TX. IAPD ↗
$316.2M RAUM · 1 reps · 919-421-1555
ComplianceMarketing & brand
45
IMPACT INVESTORS notice-filed in NM. IAPD ↗
$318.2M RAUM · 8 reps · 888-463-6861 · theimpactinvestors.com
ComplianceMarketing & brand
45
DAVIDSON KAHN CAPITAL MANAGEMENT, LLC notice-filed in DC. IAPD ↗
$415.5M RAUM · 3 reps · (310) 928-8192
ComplianceMarketing & brand
45
TANDEM FINANCIAL, LLC notice-filed in VA. IAPD ↗
$541.8M RAUM · 6 reps · (720) 845-5700 · tandem-financial.com
ComplianceMarketing & brand
45
WEALTHCARE INVESTMENT PARTNERS LLC notice-filed in PA. IAPD ↗
$859.6M RAUM · 5 reps · (401) 682-2335 · wcipllc.com
ComplianceMarketing & brand
45
GK WEALTH MANAGEMENT LLC notice-filed in NE. IAPD ↗
$258.8M RAUM · 5 reps · 775-354-6622 · gkwealthmanagement.com
ComplianceMarketing & brand
45
COUNCIL OAK WEALTH ADVISORS notice-filed in GA. IAPD ↗
$529.4M RAUM · 4 reps · 918-984-9110 · counciloakinvestments.com
ComplianceMarketing & brand
45
LANTZ FINANCIAL LLC notice-filed in CO. IAPD ↗
$994.1M RAUM · 6 reps · 331-204-6230
ComplianceMarketing & brand
45
WEALTHBRIDGE CAPITAL MANAGEMENT, LLC notice-filed in NH. IAPD ↗
$709.7M RAUM · 4 reps · (614) 591-4515
ComplianceMarketing & brand
45
CASTLE COAST WEALTH, LLC notice-filed in ID. IAPD ↗
$423.7M RAUM · 4 reps · (858) 546-1247 · castlecoastwealthllc.com
ComplianceMarketing & brand
45
LOGAN PARK WEALTH MANAGEMENT notice-filed in NY. IAPD ↗
$464.8M RAUM · 4 reps · (612) 315-2105 · lpwm.com
ComplianceMarketing & brand
45
EMERALD ADVISORS, LLC notice-filed in VA. IAPD ↗
$941.4M RAUM · 4 reps · (425) 458-3853 · emeraldadv.com
ComplianceMarketing & brand
45
BLACK KNIGHT WEALTH MANAGEMENT, LLC notice-filed in MA. IAPD ↗
$539.2M RAUM · 10 reps · 972-786-6527 · opgadvisors.com
ComplianceMarketing & brand
45
CANVAS WEALTH ADVISORS, LLC notice-filed in CO. IAPD ↗
$929.2M RAUM · 11 reps · 913-991-8471 · canvaswealthadvisors.com
ComplianceMarketing & brand
45
626 FINANCIAL, LLC notice-filed in NC. IAPD ↗
$379.6M RAUM · 5 reps · (269) 321-5040 · 626financial.com
ComplianceMarketing & brand
45
NORTHCAPE WEALTH MANAGEMENT notice-filed in LA. IAPD ↗
$706.1M RAUM · 3 reps · (71) 632-6565 · northcapewm.com
ComplianceMarketing & brand
45
ALLIANCE WEALTH ADVISORS, LLC notice-filed in FL. IAPD ↗
$552.0M RAUM · 7 reps · 801-683-6000
ComplianceMarketing & brand
45
FORTRESS FINANCIAL GROUP, LLC notice-filed in ND. IAPD ↗
$352.3M RAUM · 7 reps · (507) 529-1400 · retireandthrive.net
ComplianceMarketing & brand
45
EQUITY WEALTH PARTNERS, LLC notice-filed in CO. IAPD ↗
$258.6M RAUM · 6 reps · 816-373-1068 · equitywp.com
ComplianceMarketing & brand
45
SPARTA WEALTH PARTNERS notice-filed in MA. IAPD ↗
$315.8M RAUM · 8 reps · 704-575-1148
ComplianceMarketing & brand
45
CONQUIS FINANCIAL LLC notice-filed in NH. IAPD ↗
$280.0M RAUM · 2 reps · 650-651-3609
ComplianceMarketing & brand
45
KOOMAN & ASSOCIATES notice-filed in LA. IAPD ↗
$555.6M RAUM · 6 reps · 814-941-4800
ComplianceMarketing & brand
45
OUTWING PRIVATE WEALTH MANAGEMENT notice-filed in FL. IAPD ↗
$332.8M RAUM · 2 reps · (805) 880-9491 · outwingwealth.com
ComplianceMarketing & brand
45
CRAFT & SAGE WEALTH notice-filed in CO. IAPD ↗
$306.8M RAUM · 7 reps · 816-436-9939
ComplianceMarketing & brand
45
MARIDEA WEALTH MANAGEMENT notice-filed in PA. IAPD ↗
$958.7M RAUM · 26 reps · 347-289-5227
ComplianceMarketing & brand
45
KICKSTAND WEALTH ADVISORS notice-filed in PA. IAPD ↗
$633.5M RAUM · 5 reps · 585-382-8600
ComplianceMarketing & brand
45
CURIO WEALTH, LLC notice-filed in CO. IAPD ↗
$460.7M RAUM · 9 reps · 410-449-2599 · curiowealth.com
ComplianceMarketing & brand
45
FRIDAY FINANCIAL notice-filed in FL. IAPD ↗
$409.3M RAUM · 6 reps · (563) 552-7526
ComplianceMarketing & brand
45
INTEGRITY WEALTH LLC notice-filed in AZ. IAPD ↗
$304.8M RAUM · 5 reps · (541) 650-6061 · integritywealthnw.com
ComplianceMarketing & brand
45
LEGACY CAPITAL notice-filed in AR. IAPD ↗
$273.4M RAUM · 3 reps · (281) 595-1990 · lead-a-legacy.com
ComplianceMarketing & brand
45
UNITING WEALTH PARTNERS notice-filed in PA. IAPD ↗
$934.6M RAUM · 11 reps · 720-706-7180 · unitingwealthpartners.com
ComplianceMarketing & brand
45
THREE ARCH WEALTH MANAGEMENT LLC notice-filed in ID. IAPD ↗
$662.4M RAUM · 3 reps · (949) 400-7107 · threearchwealth.com
ComplianceMarketing & brand
45
BROADVIEW WEALTH PARTNERS notice-filed in NH. IAPD ↗
$304.7M RAUM · 7 reps · 303-323-4293 · broadviewwp.com
ComplianceMarketing & brand
45
LAS OLAS CAPITAL WEALTH LLC notice-filed in MA. IAPD ↗
$269.1M RAUM · 4 reps · 954 289 4692 · lasolascap.com
ComplianceMarketing & brand
45
WHITEROCK WEALTH DESIGN, LLC notice-filed in NE. IAPD ↗
$632.9M RAUM · 7 reps · (479) 439-5550 · whiterockwealthdesign.com
ComplianceMarketing & brand
44
FAMA FIDUCIARY WEALTH LLC notice-filed in FL, MO. IAPD ↗
$99.9M RAUM · 1 reps · 585-292-6007 · andrewfama.com
ComplianceMarketing & brand
44
KCD FINANCIAL, INC. notice-filed in AR, UT. IAPD ↗
$202.1M RAUM · 27 reps · 920-347-3400 · kcdfinancial.com
ComplianceMarketing & brand
44
PALADIN PARTNERS notice-filed in NH, TX. IAPD ↗
$198.5M RAUM · 2 reps · 414-367-4675 · paladinpartners.biz
ComplianceMarketing & brand
44
SEEDSAFE FINANCIAL LLC notice-filed in FL, NH. IAPD ↗
$125.2M RAUM · 4 reps · 360-602-1274 · seedsafefinancial.com
ComplianceMarketing & brand
44
ADVANCED WEALTH MANAGEMENT notice-filed in NH, TX. IAPD ↗
$110.7M RAUM · 3 reps · 941-451-8512
ComplianceMarketing & brand
44
YOUR IA, LLC notice-filed in OH, PA. IAPD ↗
$106.6M RAUM · 15 reps · 800-823-0489 · youria.com
ComplianceMarketing & brand
44
CMG WEALTH ADVISORS LLC notice-filed in IL, TX. IAPD ↗
$138.4M RAUM · 3 reps · 608-897-9265 · cmgwealthadvisors.com
ComplianceMarketing & brand
44
BISON WEALTH MANAGEMENT, LLC notice-filed in FL, SC. IAPD ↗
$131.0M RAUM · 3 reps · 216-270-4425 · bisonllc.com
ComplianceMarketing & brand
44
VERITAS WEALTH MANAGEMENT notice-filed in IL, SC. IAPD ↗
$219.9M RAUM · 2 reps · (401) 296-3606 · veritaswealthri.com
ComplianceMarketing & brand
42
R. F. LAFFERTY & CO., INC. notice-filed in ME. IAPD ↗
$129.8M RAUM · 10 reps · 212-293-9090 · rflafferty.com
ComplianceMarketing & brand
42
POTOMAC INVESTMENT COMPANY notice-filed in NY. IAPD ↗
$107.0M RAUM · 2 reps · 240-274-7810
ComplianceMarketing & brand
42
LYON CAPITAL MANAGEMENT, LLC notice-filed in LA. IAPD ↗
$94.8M RAUM · 2 reps · 585-248-9821
ComplianceMarketing & brand
42
WILLIAM B. WALKUP & ASSOCIATES, INC. notice-filed in IL. IAPD ↗
$178.3M RAUM · 4 reps · 803-462-9395
ComplianceMarketing & brand
42
MCM WEALTH notice-filed in PA. IAPD ↗
$170.8M RAUM · 6 reps · 844-626-4949 · mcmwealth.com
ComplianceMarketing & brand
42
ORTELIUS CAPITAL PARTNERS notice-filed in MA. IAPD ↗
$143.8M RAUM · 1 reps · 917-595-5010 · orteliusinvestments.com
ComplianceMarketing & brand
42
SKLOFF FINANCIAL GROUP notice-filed in AZ. IAPD ↗
$114.0M RAUM · 1 reps · 908-464-3060 · csn-connect.com
ComplianceMarketing & brand
42
FOREST ASSET MANAGEMENT LLC notice-filed in TX. IAPD ↗
$230.7M RAUM · 3 reps · 708-447-7086
ComplianceMarketing & brand
42
BAY CAPITAL ADVISORS, LLC notice-filed in NC. IAPD ↗
$228.3M RAUM · 5 reps · 757-816-0967
ComplianceMarketing & brand
42
SECURE INVESTMENT MANAGEMENT, LLC notice-filed in LA. IAPD ↗
$42.9M RAUM · 20 reps · 520-333-4719 · jlbfinancialinc.com
ComplianceMarketing & brand
42
AMERICAN WEALTH ADVISORS, LLC notice-filed in NH. IAPD ↗
$120.2M RAUM · 2 reps · 770-814-7236 · americanwealthadvisors.com
ComplianceMarketing & brand
42
ADVANTAGE INVESTMENT MANAGEMENT notice-filed in NY. IAPD ↗
$215.4M RAUM · 5 reps · 502-212-3000
ComplianceMarketing & brand
42
CORNERSTONE WEALTH PARTNERS, LLC notice-filed in WI. IAPD ↗
$145.9M RAUM · 8 reps · 517-381-3450
ComplianceMarketing & brand
42
INNOVATIVE ADVISORY GROUP notice-filed in MT. IAPD ↗
$194.0M RAUM · 8 reps · 781-577-2782
ComplianceMarketing & brand
42
INTEGRITY WEALTH MANAGEMENT, INC. notice-filed in CA. IAPD ↗
$163.2M RAUM · 2 reps · 509-315-9532 · integritywm.net
ComplianceMarketing & brand
42
CHELSEA ADVISORY SERVICES, INC notice-filed in GA. IAPD ↗
$147.4M RAUM · 25 reps · 718-967-8400 · chfs.com
ComplianceMarketing & brand
42
BELLINGHAM CAPITAL notice-filed in ID. IAPD ↗
$149.2M RAUM · 4 reps · 360-685-4240 · bellinghamcapital.com
ComplianceMarketing & brand
42
THE ARCHER CONSULTING GROUP, LLC notice-filed in ID. IAPD ↗
$192.2M RAUM · 2 reps · 985-227-4019 · archerconsulting.com
ComplianceMarketing & brand
42
STRATFI notice-filed in PA. IAPD ↗
$115.0M RAUM · 2 reps · 302-884-6742
ComplianceMarketing & brand
42
LEXINGTON AVENUE CAPITAL MANAGEMENT, LLC notice-filed in TX. IAPD ↗
$164.2M RAUM · 3 reps · 845-708-5306 · lexingtonave.com
ComplianceMarketing & brand
42
HAHN FINANCIAL GROUP notice-filed in WY. IAPD ↗
$188.7M RAUM · 9 reps · 605-275-3600 · hahnfinancialgroup.com
ComplianceMarketing & brand
42
DYNAMIC WEALTH ADVISORS notice-filed in CO. IAPD ↗
$193.3M RAUM · 4 reps · 623-466-6060 · dynamicwealthmgt.com
ComplianceMarketing & brand
42
PARADY WEALTH MANAGEMENT notice-filed in OH. IAPD ↗
$145.7M RAUM · 5 reps · 352-674-3911
ComplianceMarketing & brand
42
BALANCED WEALTH MANAGEMENT, LLC. notice-filed in NH. IAPD ↗
$102.0M RAUM · 2 reps · (401) 398-2000
ComplianceMarketing & brand
42
KERR WEALTH MANAGEMENT notice-filed in OH. IAPD ↗
$131.0M RAUM · 4 reps · (559) 277-4772 · kerrwealth.com
ComplianceMarketing & brand
42
GUIDE ADVISORS, INC. notice-filed in MO. IAPD ↗
$0 RAUM · 5 reps · 206-486-2477
ComplianceMarketing & brand
42
GREENLEAF FINANCIAL NETWORK, LLC notice-filed in CO. IAPD ↗
$123.7M RAUM · 11 reps · (913) 515-3517 · feenfinancial.com
ComplianceMarketing & brand
42
Q3 ADVISORS, LLC notice-filed in MO. IAPD ↗
$0 RAUM · 12 reps · 720-730-9892
ComplianceMarketing & brand
42
PIERSON WEALTH MANAGEMENT notice-filed in TN. IAPD ↗
$192.0M RAUM · 3 reps · 404-233-7272
ComplianceMarketing & brand
42
FAMILY LEGACY PLANNING notice-filed in MO. IAPD ↗
$169.1M RAUM · 3 reps · (479) 273-3040 · flpwealth.com
ComplianceMarketing & brand
42
BOLDIN ADVISORS notice-filed in AK. IAPD ↗
$0 RAUM · 14 reps · 415-462-5665
ComplianceMarketing & brand
42
SAN BLAS ADVISORY, INC. notice-filed in LA. IAPD ↗
$218.9M RAUM · 9 reps · 404.704.0406 · thehendersonfinancialgroup.com
ComplianceMarketing & brand
42
FOUNDRY WEALTH ADVISORS, LLC notice-filed in NH. IAPD ↗
$163.4M RAUM · 4 reps · 443-692-8833 · foundrywealth.com
ComplianceMarketing & brand
42
MANZIL INVESTMENT ADVISORS, LLC notice-filed in MI. IAPD ↗
$146,896 RAUM · 1 reps · 425-600-2991
ComplianceMarketing & brand
42
SOCIAL INVESTMENT MANAGERS AND ADVISORS, LLC notice-filed in NJ. IAPD ↗
$100.6M RAUM · 4 reps · 917 750-5588 · simafunds.com
ComplianceMarketing & brand
42
JACKSON WEALTH MANAGEMENT, LLC notice-filed in TX. IAPD ↗
$107.0M RAUM · 1 reps · 303-808-5229
ComplianceMarketing & brand
42
PARAGON INVESTING, LLC notice-filed in NV. IAPD ↗
$138.2M RAUM · 3 reps · 734-649-6710 · paragoninvesting.com
ComplianceMarketing & brand
42
FAIRFAX GLOBAL INVESTMENT MANAGEMENT LLC notice-filed in LA. IAPD ↗
$147.7M RAUM · 1 reps · 1(540) 905-5858 · fairfax-global.com
ComplianceMarketing & brand
42
SOLYCO WEALTH LLC notice-filed in KS. IAPD ↗
$116.2M RAUM · 5 reps · 947-208-4035
ComplianceMarketing & brand
42
BUCHANAN WEALTH MANAGEMENT notice-filed in PA. IAPD ↗
$212.0M RAUM · 2 reps · 703-956-2633
ComplianceMarketing & brand
42
MOORE WEALTH notice-filed in UT. IAPD ↗
$156.9M RAUM · 5 reps · (301) 631-1207 · moorewealthinc.com
ComplianceMarketing & brand
42
KUCHARO WEALTH notice-filed in PA. IAPD ↗
$123.7M RAUM · 1 reps · 704.251.9550 · kucharowealth.com
ComplianceMarketing & brand
42
ZERO DAY CAPITAL ENTERPRISES LLC notice-filed in CO. IAPD ↗
$30.7M RAUM · 15 reps · 702 271 3265 · zerodaycapital.com
ComplianceMarketing & brand
42
SANDRO WEALTH MANAGEMENT LLC notice-filed in CO. IAPD ↗
$227.6M RAUM · 11 reps · 2016613416 · sandrowealth.com
ComplianceMarketing & brand
42
IGW ADVISORY INVESTMENT MANAGEMENT LLC notice-filed in CA. IAPD ↗
$170.5M RAUM · 5 reps · 737-710-6061 · igwadvisory.com
ComplianceMarketing & brand
42
DESIGNED WEALTH USA LTD. notice-filed in CA. IAPD ↗
$5.3M RAUM · 7 reps · 416-898-5568 · designedwealth-usa.com
ComplianceMarketing & brand
42
COUNTRYSIDE FINANCIAL LLC notice-filed in FL. IAPD ↗
$73.2M RAUM · 3 reps · 716-256-1330 · countrysidefinancialny.com
ComplianceMarketing & brand
42
3ROOTS WEALTH PARTNERS LLC notice-filed in MI. IAPD ↗
$92.6M RAUM · 3 reps · 402-980-1525
ComplianceMarketing & brand
42
PRISM PLANNING AND SOLUTIONS GROUP notice-filed in IL. IAPD ↗
$157.0M RAUM · 3 reps · (914) 831-3050 · ppsgrp.com
ComplianceMarketing & brand
42
FARRCREST CAPITAL LLC notice-filed in VA. IAPD ↗
$110.5M RAUM · 1 reps · 2027537700 · farrcrest.com
ComplianceMarketing & brand
42
BAY POINTE FINANCIAL notice-filed in MO. IAPD ↗
$115.9M RAUM · 2 reps · (586) 273-6007 X1
ComplianceMarketing & brand
42
AWAKEN WEALTH PARTNERS LLC notice-filed in FL. IAPD ↗
$237.3M RAUM · 4 reps · 281-358-0134 · awakenwealthpartners.com
ComplianceMarketing & brand
42
3D ADVISOR GROUP, INC. notice-filed in NH. IAPD ↗
$0 RAUM · 2 reps · (508) 808-1423 · 3dadvisorgroup.com
ComplianceMarketing & brand
42
ROTHSCHILD FINANCIAL PARTNERS, LLC notice-filed in CO. IAPD ↗
$0 RAUM · 2 reps · 630-448-5711
ComplianceMarketing & brand
37
TUTTLE CAPITAL MANAGEMENT, LLC notice-filed in FL. IAPD ↗institutional
$3.91B RAUM · 10 reps · 888-723-2821 · tuttlecap.com
ComplianceMarketing & brand
36
DYNASTY WEALTH MANAGEMENT, LLC notice-filed in IN, NE, NH. IAPD ↗fund
$13.88B RAUM · 3 reps · 212-373-1000
ComplianceMarketing & brand
35
CORGI STRATEGIES, LLC notice-filed in IL. IAPD ↗institutional
$825.1M RAUM · 5 reps · 855-552-6744 · founderledfunds.com
ComplianceMarketing & brand
34
CAPITAL CLIENT GROUP, INC. notice-filed in KS, KY. IAPD ↗institutional
$0 RAUM · 699 reps · 213-486-9200 · retirementsolutions.financialtrans.com
ComplianceMarketing & brand
32
ACCEL-KKR notice-filed in NY. IAPD ↗fund
$23.81B RAUM · 79 reps · 650-289-2460
ComplianceMarketing & brand
32
COLUMBIA CAPITAL notice-filed in TX. IAPD ↗fund
$13.84B RAUM · 25 reps · 703-519-2000 · colcap.com
ComplianceMarketing & brand
32
LMR PARTNERS LLC notice-filed in UT. IAPD ↗fund
$140.11B RAUM · 66 reps · 646-891-5701 · lmrpartners.com
ComplianceMarketing & brand
32
XDUS FUND ADVISOR notice-filed in MA. IAPD ↗institutional
$414,767 RAUM · 2 reps · 860-338-8384
ComplianceMarketing & brand
29
CROWDSTREET ADVISORS, LLC notice-filed in NC, NY. IAPD ↗fund
$231.9M RAUM · 0 reps · (888) 432-7693 · crowdstreet.com
ComplianceMarketing & brand
25
MASECO PRIVATE WEALTH notice-filed in AK, AL, AR, DE, ID, IN, KS, KY, MN, MO, MS, MT, ND, NE, NM, OK, OR, PR, SD, VI, WV, WY. IAPD ↗foreign
$4.96B RAUM · 24 reps · +44 20 7043 0455
ComplianceMarketing & brand
new registration — 207 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
98
FLORIDA ATLANTIC SECURITIES CORP. (MIAMI, FL) is newly SEC-registered with $590.0M RAUM and 4 advisory reps. IAPD ↗
$590.0M RAUM · 4 reps · 305-670-9250 · floridaatlantic.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
98
PEARSON FINANCIAL SERVICES (DENNIS, MA) is newly SEC-registered with $885.0M RAUM and 3 advisory reps. IAPD ↗
$885.0M RAUM · 3 reps · 508-385-7925 · spearsonfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FIRST GEORGETOWN SECURITIES, INC (ALEXANDRIA, VA) is newly SEC-registered with $115.7M RAUM and 2 advisory reps. IAPD ↗
$115.7M RAUM · 2 reps · 703-519-7700 · firstgeorgetown.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDEPENDENCE CAPITAL CO., INC. (PARMA, OH) is newly SEC-registered with $118.7M RAUM and 25 advisory reps. IAPD ↗
$118.7M RAUM · 25 reps · 440-888-7000 · indcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCOFIELD & COMPANY, LLC (FAIRLAWN, OH) is newly SEC-registered with $113.6M RAUM and 3 advisory reps. IAPD ↗
$113.6M RAUM · 3 reps · 330-668-2616
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PETERSON INVESTMENT MANAGEMENT INC (location n/a) is newly SEC-registered with $146.1M RAUM and 2 advisory reps. IAPD ↗
$146.1M RAUM · 2 reps · 509-991-0894
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOWLAND AND ASSOCIATES, LLC (ST PETERSBURG, FL) is newly SEC-registered with $138.7M RAUM and 4 advisory reps. IAPD ↗
$138.7M RAUM · 4 reps · 813-333-2900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITOL WEALTH MANAGEMENT, INC. (MCLEAN, VA) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
$111.9M RAUM · 1 reps · 703-891-4070 · capitolwealthmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MILNE FINANCIAL PLANNING, INC. (SAINT JOHNSBURY, VT) is newly SEC-registered with $111.3M RAUM and 1 advisory reps. IAPD ↗
$111.3M RAUM · 1 reps · 802-249-7107 · milnefeeonly.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE CHIP FINANCIAL ADVISORS, LLC (EAST PROVIDENCE, RI) is newly SEC-registered with $104.1M RAUM and 5 advisory reps. IAPD ↗
$104.1M RAUM · 5 reps · 401-435-4239 · bcfa.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THE MARIN GROUP INC. (ATLANTA, GA) is newly SEC-registered with $128.1M RAUM and 2 advisory reps. IAPD ↗
$128.1M RAUM · 2 reps · 404-607-8014 · maringroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SALTBOX FINANCIAL LLC (PORTSMOUTH, NH) is newly SEC-registered with $104.6M RAUM and 3 advisory reps. IAPD ↗
$104.6M RAUM · 3 reps · (978) 572-2071 · saltboxfinancial.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HEATON FINANCIAL, PC (CEDAR CITY, UT) is newly SEC-registered with $140.1M RAUM and 2 advisory reps. IAPD ↗
$140.1M RAUM · 2 reps · 435-865-9991
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INDEX FINANCIAL ADVISORS LLC (location n/a) is newly SEC-registered with $125.6M RAUM and 1 advisory reps. IAPD ↗
$125.6M RAUM · 1 reps · 510-910-8720
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IMBER FINANCIAL GROUP, LLC (ANN ARBOR, MI) is newly SEC-registered with $106.0M RAUM and 4 advisory reps. IAPD ↗
$106.0M RAUM · 4 reps · 734-769-1719 · imberwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KMF INVESTMENTS MANAGEMENT, LLC (location n/a) is newly SEC-registered with $146.0M RAUM and 4 advisory reps. IAPD ↗
$146.0M RAUM · 4 reps · 832-754-8874 · kmfinvestments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NORTH COMPASS FINANCIAL ADVISORS, LLC (GRAND RAPIDS, MN) is newly SEC-registered with $146.0M RAUM and 3 advisory reps. IAPD ↗
$146.0M RAUM · 3 reps · 218-326-4722 · northcompassfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BRIGHTON WEALTH MANAGEMENT, INC. (COTTONWOOD HEIGHTS, UT) is newly SEC-registered with $131.9M RAUM and 1 advisory reps. IAPD ↗
$131.9M RAUM · 1 reps · 801-261-1611
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FAIRWAY INVESTMENT GROUP, LLC (EAST LANSING, MI) is newly SEC-registered with $107.1M RAUM and 26 advisory reps. IAPD ↗
$107.1M RAUM · 26 reps · 800-292-1950 · meafs.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INFINITY 8 INVESTMENTS, LLC (CUPERTINO, CA) is newly SEC-registered with $123.9M RAUM and 1 advisory reps. IAPD ↗
$123.9M RAUM · 1 reps · 408-501-8848 · infinity8investments.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
O'CONNOR CAPITAL ADVISORY, LLC (SCOTTSDALE, AZ) is newly SEC-registered with $112.1M RAUM and 1 advisory reps. IAPD ↗
$112.1M RAUM · 1 reps · 480-729-6260 · occap.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AXIA WEALTH MANAGEMENT INC (BEND, OR) is newly SEC-registered with $148.0M RAUM and 3 advisory reps. IAPD ↗
$148.0M RAUM · 3 reps · (541) 647-1500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRA WEALTH ADVISORS, LLC (HOUSTON, TX) is newly SEC-registered with $117.3M RAUM and 2 advisory reps. IAPD ↗
$117.3M RAUM · 2 reps · 713-966-6156 · integrawealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MEDIATE FINANCIAL INVESTMENT ADVISORY SERVICES, LLC (CANFIELD, OH) is newly SEC-registered with $106.4M RAUM and 3 advisory reps. IAPD ↗
$106.4M RAUM · 3 reps · 330-702-3556
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HILPAN MOXIE WEALTH MANAGEMENT, LLC (location n/a) is newly SEC-registered with $100.4M RAUM and 1 advisory reps. IAPD ↗
$100.4M RAUM · 1 reps · 949-559-1852
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAWYER CAPITAL MANAGEMENT (location n/a) is newly SEC-registered with $124.9M RAUM and 1 advisory reps. IAPD ↗
$124.9M RAUM · 1 reps · 314-401-8604
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COBALT FINANCIAL PARTNERS LLC (location n/a) is newly SEC-registered with $108.1M RAUM and 1 advisory reps. IAPD ↗
$108.1M RAUM · 1 reps · 410-309-4200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
THREE OAKS WEALTH (GOLD RIVER, CA) is newly SEC-registered with $100.0M RAUM and 2 advisory reps. IAPD ↗
$100.0M RAUM · 2 reps · 916-318-4849
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARCWOOD FINANCIAL, LLC (PHOENIX, AZ) is newly SEC-registered with $186.6M RAUM and 3 advisory reps. IAPD ↗
$186.6M RAUM · 3 reps · 602-726-6282 · arcwood.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SEAGULL LANE ASSET MANAGEMENT LLC (HUNTINGTON BEACH, CA) is newly SEC-registered with $207.9M RAUM and 2 advisory reps. IAPD ↗
$207.9M RAUM · 2 reps · 714-960-2316 · bairdwalker.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROBERT CHARLES CAPITAL MANAGEMENT (GRAND RAPIDS, MI) is newly SEC-registered with $110.3M RAUM and 1 advisory reps. IAPD ↗
$110.3M RAUM · 1 reps · 616-293-6292
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PATINA WEALTH (location n/a) is newly SEC-registered with $129.2M RAUM and 2 advisory reps. IAPD ↗
$129.2M RAUM · 2 reps · 434-282-4284
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EDEN CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
$108.7M RAUM · 3 reps · 904-891-6255 · edencapital.org
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AFS WEALTH MANAGEMENT, LLC (FARMINGTON HILLS, MI) is newly SEC-registered with $118.0M RAUM and 2 advisory reps. IAPD ↗
$118.0M RAUM · 2 reps · 248-888-7530
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SABRE ASSET MANAGEMENT LLC (PEPPER PIKE, OH) is newly SEC-registered with $127.3M RAUM and 1 advisory reps. IAPD ↗
$127.3M RAUM · 1 reps · 216-245-6622 · sabreasset.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STRONG INVESTMENT MANAGEMENT, LLC (CANTON, OH) is newly SEC-registered with $111.9M RAUM and 3 advisory reps. IAPD ↗
$111.9M RAUM · 3 reps · 330-492-4470
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAPITAL WEALTH, LLC (LEHI, UT) is newly SEC-registered with $116.0M RAUM and 2 advisory reps. IAPD ↗
$116.0M RAUM · 2 reps · 8012102800 · capitalwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ENGAGE WEALTH ADVISORS, LLC (OVERLAND PARK, KS) is newly SEC-registered with $112.1M RAUM and 3 advisory reps. IAPD ↗
$112.1M RAUM · 3 reps · 913-681-9155 · engageadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SNYDER ASSET MANAGEMENT, LLC (HUNT VALLEY, MD) is newly SEC-registered with $112.3M RAUM and 1 advisory reps. IAPD ↗
$112.3M RAUM · 1 reps · (410) 216-1249 · snyderassetmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WESFAIR ADVISORY GROUP, INC. (CHAPPAQUA, NY) is newly SEC-registered with $30.3M RAUM and 2 advisory reps. IAPD ↗
$30.3M RAUM · 2 reps · (914) 238-3734 · wesfairadvisory.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RCPLANNERS (location n/a) is newly SEC-registered with $112.1M RAUM and 4 advisory reps. IAPD ↗
$112.1M RAUM · 4 reps · 804-372-7337 · rcplanners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HAWS FINANCIAL PLANNING LLC (SIERRA VISTA, AZ) is newly SEC-registered with $105.0M RAUM and 3 advisory reps. IAPD ↗
$105.0M RAUM · 3 reps · (520) 843-1559 · planyourfederalbenefits.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CB CAPITAL LLC (NORTH SMITHFIELD, RI) is newly SEC-registered with $124.5M RAUM and 1 advisory reps. IAPD ↗
$124.5M RAUM · 1 reps · (401) 768-3361 · cbcapitalllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ETORO USA ADVISERS INC. (HOBOKEN, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 201-479-0267 · etoro.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ENDURANCE FINANCIAL PLANNING, LLC (MCALLEN, TX) is newly SEC-registered with $101.8M RAUM and 4 advisory reps. IAPD ↗
$101.8M RAUM · 4 reps · (956) 630 - 7231 · letsmakeaplan.org
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TWIN RIVERS WEALTH MANAGEMENT (SACRAMENTO, CA) is newly SEC-registered with $121.5M RAUM and 4 advisory reps. IAPD ↗
$121.5M RAUM · 4 reps · 916-545-2581 · tr-wealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MESCHEL WEALTH MANAGEMENT LLC (location n/a) is newly SEC-registered with $107.5M RAUM and 2 advisory reps. IAPD ↗
$107.5M RAUM · 2 reps · 267-573-0015 · meschelwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ENGAGE WEALTH GROUP, LLC (NORTHFIELD, IL) is newly SEC-registered with $119.5M RAUM and 2 advisory reps. IAPD ↗
$119.5M RAUM · 2 reps · 847-794-5000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINCERA (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (917) 804-6422 · fincera.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GIVING TREE WEALTH ADVISORS (SAN RAMON, CA) is newly SEC-registered with $138.0M RAUM and 2 advisory reps. IAPD ↗
$138.0M RAUM · 2 reps · 844-434-6435 · givingtreewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
UPLEVEL WEALTH (PORTLAND, OR) is newly SEC-registered with $131.4M RAUM and 2 advisory reps. IAPD ↗
$131.4M RAUM · 2 reps · (503)308-9067 · uplevelwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EQUINOX FINANCIAL ADVISORS, INC. (MANCHESTER CENTER, VT) is newly SEC-registered with $110.9M RAUM and 1 advisory reps. IAPD ↗
$110.9M RAUM · 1 reps · (802) 367-7750
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ARCAP PARTNERS LLC (PLAINVIEW, NY) is newly SEC-registered with $40.5M RAUM and 2 advisory reps. IAPD ↗
$40.5M RAUM · 2 reps · 516-729-5251 · arcapfo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAREGEN WEALTH MANAGEMENT (SAN MATEO, CA) is newly SEC-registered with $109.9M RAUM and 1 advisory reps. IAPD ↗
$109.9M RAUM · 1 reps · 650-288-3060 · caregenwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MYTIMEEQUITY (PLANO, TX) is newly SEC-registered with $184.0M RAUM and 3 advisory reps. IAPD ↗
$184.0M RAUM · 3 reps · 9723302771 · mytimeequity.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SWAD WEALTH MANAGEMENT LLC (SANTA ROSA, CA) is newly SEC-registered with $111.1M RAUM and 2 advisory reps. IAPD ↗
$111.1M RAUM · 2 reps · (707) 899-1010
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REDFISH CAPITAL (CYPRESS, TX) is newly SEC-registered with $119.0M RAUM and 4 advisory reps. IAPD ↗
$119.0M RAUM · 4 reps · 281-256-3100 · redfish-cap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OAKLEIGH WEALTH SERVICES (CROZET, VA) is newly SEC-registered with $102.5M RAUM and 2 advisory reps. IAPD ↗
$102.5M RAUM · 2 reps · (434) 422-5220 · oakleighwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CANTATA WEALTH MANAGEMENT, LLC (CORAL GABLES, FL) is newly SEC-registered with $101.1M RAUM and 3 advisory reps. IAPD ↗
$101.1M RAUM · 3 reps · 844-226-8282 · cantatawealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INVESTLINC WEALTH SERVICES (BREA, CA) is newly SEC-registered with $115.6M RAUM and 2 advisory reps. IAPD ↗
$115.6M RAUM · 2 reps · 714-563-3500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ACACIA GROVE WEALTH MANAGEMENT (SCHENECTADY, NY) is newly SEC-registered with $41.6M RAUM and 1 advisory reps. IAPD ↗
$41.6M RAUM · 1 reps · 518-217-5097 · acaciagrovewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BACK BAY FINANCIAL PLANNING & INVESTMENTS (BETHANY BEACH, DE) is newly SEC-registered with $120.5M RAUM and 2 advisory reps. IAPD ↗
$120.5M RAUM · 2 reps · 3023161820 · backbayfp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SFUMATO CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $51.3M RAUM and 2 advisory reps. IAPD ↗
$51.3M RAUM · 2 reps · 908-343-9346 · sfumato.holdings
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POWERHOUSE FINANCIAL ADVISORS, INC. (MINDEN, NV) is newly SEC-registered with $108.2M RAUM and 1 advisory reps. IAPD ↗
$108.2M RAUM · 1 reps · 775-266-8867
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTERCHANGE ADVISERS LLC (VANCOUVER, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 855-468-7934 · interchange.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REGIMENT CAPITAL ADVISORS, LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 773-480-7561
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALTURA PRIVATE WEALTH LLC (CENTERVILLE, UT) is newly SEC-registered with $129.1M RAUM and 4 advisory reps. IAPD ↗
$129.1M RAUM · 4 reps · 801-574-0308 · alturapw.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GALLATIN RIVER CAPITAL LLC (LITTLETON, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (303) 656-3175 · gallatinwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VANTHEON (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 833.336.8632 · vantheon.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BUCKS CAPITAL ADVISERS (NEWTOWN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 267-907-6650 · buckscap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MIFEL CAPITAL PARTNERS LLC (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 786 702 0078
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
REGFI USA, LLC (MIAMI, FL) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 305-845-2740 · regfiusa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUISSA PRIVATE WEALTH (BETHESDA, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 202-490-0318 · suissaprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AURA INVESTMENTS LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · +4475950459611
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CARAZO WEALTH MANAGEMENT (METAIRIE, LA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 504-833-2281 · carazowealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEURALVEST LLC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 4083919822 · neuralvest.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SWISS FINANCE PRIVATE WEALTH MANAGEMENT LLC (SOUTHBURY, CT) is newly SEC-registered with $101.2M RAUM and 1 advisory reps. IAPD ↗
$101.2M RAUM · 1 reps · +1 (646) 791-6848 · swissfinancewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OWNIT TECHNOLOGIES LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · +598 98219622 · appownit.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALPINE ADVISORY PARTNERS, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 716-329-3794 · alpineadvisorypartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PALUS ADVISORY LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (415)-205-2185
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOAINVEST LLC (IRVINE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 11 advisory reps. IAPD ↗
$0 RAUM · 11 reps · (760) 818 7035 · hoainvest.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DITTO & POWERS, LLC (COCKEYSVILLE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 410-371-8705
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTENTIONAL WEALTH PLANNING (BRENTWOOD, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 888-688-4097
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GSP FINANCIAL (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · +55 51 9 9255 9427 · spfinancialconsultancy.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STRUCTURE WEALTH MANAGEMENT, LLC (TAMPA, FL) is newly SEC-registered with $165.7M RAUM and 2 advisory reps. IAPD ↗
$165.7M RAUM · 2 reps · 813-295-8906 · structurewm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COVA PRIVATE WEALTH LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 631-831-9669
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COINAGE APP (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 7473443389 · coinage-app.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RBG CAPITAL LLC (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 6022300444 · rbgcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
1977 WEALTH, LLC (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 561-419-9444 · 1977wealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALDER CAPITAL (SAN DIEGO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 858-442-2722 · aldercap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WRIGHT FINANCIAL (ROCKLAND, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 843-200-8712
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TWIN BRIDGES ADVISORY (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 1 (212) 493-3318 · twinbridges.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WESTMONT ADVISORY, LLC (FLOWER MOUND, TX) is newly SEC-registered with $100.0M RAUM and 2 advisory reps. IAPD ↗
$100.0M RAUM · 2 reps · 2144337354 · westmontadvisory.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MOMENTUM WEALTH MANAGEMENT (OREM, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 8016554898 · retiremomentum.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SUM ZERO WEALTH (ST. PETERSBURG, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 212-660-4800 · sumzerowealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOLID STATE WEALTH ADVISORY GROUP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 8587747947 · solidstatewealthadvisorygroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRIVERA WEALTH MANAGEMENT, LLC (TUCSON, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 520-719-1433
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CXL CAPITAL MANAGEMENT LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (206) 880-1719
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FOSTER FINANCIAL SERVICES, LLC (FORT WAYNE, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 260-234-2200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GENERATIONAL FINANCIAL PARTNERS, LLC (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 770-559-0815
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALISIO CAPITAL PARTNERS LLC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · +31622110777 · alisiocp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IRON HORSE ASSET MANAGEMENT LLC (NEENAH, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 920 944 5480
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SCSC ADVISORS, LLC (RANCHO SANTA FE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (858) 204-0113 · scscadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROSSLIGHT GLOBAL INVESTMENT PARTNERS, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (914) 224-5775 · crosslightglobal.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AMPLE WEALTH PARTNERS LLC (ORLANDO, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 407-800-5919 · amplewealthpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TWENTY FOUR WEALTH (DARIEN, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 203-445-6965
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHRISE (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 404-729-0478 · getwealthrise.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ETHOS INVESTMENT ADVISORY GROUP LLC (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (786) 303-2447
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ASCENTIO CAPITAL, LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-664-0741 · ascentiocapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WATCH HILL FINANCIAL INC (RICHMOND, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 804-677-9685 · watchhillfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RIDGE ROAD WEALTH MANAGEMENT, LLC (NEW ORLEANS, LA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 504-615-0777
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SAVLAN WEALTH PARTNERS (NEW CITY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 718-771-0887 · savlanwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AUTHENTIC WEALTH PARTNERS LLC (CULPEPER, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (703) 986-8164 · authenticwealthpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALDEBARAN CAPITAL (BROOKLYN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (504) 258-7110 · aldebarancapital.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
88
NUMERIXS INVESTMENT TECHNOLOGIES INC (CHANDLER, AZ) is newly SEC-registered with $400.0M RAUM and 3 advisory reps. IAPD ↗institutional
$400.0M RAUM · 3 reps · 979-365-0221 · numerixsquant.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
88
ACCESS FIDUCIARY SERVICES, LLC (location n/a) is newly SEC-registered with $466.2M RAUM and 1 advisory reps. IAPD ↗institutional
$466.2M RAUM · 1 reps · 888-388-8627
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ALPHAENGINE GLOBAL INVESTMENT SOLUTION LLC (PLANO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 214-550-0460 · alphaengine.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PSG CREDIT GP, LLC (COLUMBIA, MD) is newly SEC-registered with $190.9M RAUM and 18 advisory reps. IAPD ↗institutional
$190.9M RAUM · 18 reps · 410-888-3644 · povernisheikh.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
WNDRCO CAPITAL MANAGEMENT LLC (SAN FRANCISCO, CA) is newly SEC-registered with $1.05B RAUM and 14 advisory reps. IAPD ↗fund
$1.05B RAUM · 14 reps · 650-542-8778
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
INVISION MANAGEMENT, INC. (CHICAGO, IL) is newly SEC-registered with $1.34B RAUM and 26 advisory reps. IAPD ↗fund
$1.34B RAUM · 26 reps · 312-236-4600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ACCESS VENTURES (NEW YORK, NY) is newly SEC-registered with $1.88B RAUM and 3 advisory reps. IAPD ↗fund
$1.88B RAUM · 3 reps · (215) 715-4739 · accessventures.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
EXCORDE CAPITAL LLC (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 19 advisory reps. IAPD ↗institutional
$0 RAUM · 19 reps · 6106202440 · excordecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CORRUM CAPITAL MANAGEMENT LLC (CHARLOTTE, NC) is newly SEC-registered with $1.39B RAUM and 10 advisory reps. IAPD ↗fund
$1.39B RAUM · 10 reps · 704-330-7300 · corrumcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ULTRA CAPITAL MANAGEMENT LLC (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 415-349-3488 · ultracm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CONSTITUTION CAPITAL HORIZON ADVISOR, LP (ANDOVER, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 25 advisory reps. IAPD ↗institutional
$0 RAUM · 25 reps · 978-749-9600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
WEST RIM II UGP, LLC (LEHI, UT) is newly SEC-registered with $1.77B RAUM and 20 advisory reps. IAPD ↗fund
$1.77B RAUM · 20 reps · 801-407-8400 · sorensoncapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
JUSTICE SETTLEMENT CONSULTING INC. (CASPER, WY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 925-786-1548
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MML CAPITAL PARTNERS NY, LLC (NEW YORK CITY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 1-646-367-9697 · mmlcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CHARLTON MANAGEMENT, LLC (CLAWSON, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 586-350-2224
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
LONGNOOK ETF LLC (location n/a) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 508-687-0659 · longnookventures.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CHAMPION CAPITAL LLC (GREENWOOD, CO) is newly SEC-registered (provisional 120-day approval) with $100,000 RAUM and 2 advisory reps. IAPD ↗institutional
$100,000 RAUM · 2 reps · 701-429-7796 · championcapital.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CLEARLAKE CAPITAL RIC MANAGEMENT, LLC (SANTA MONICA, CA) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 310-400-8800 · clearlake.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
UDY ROAD HOLDINGS (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (347) 305-7616 · udyroad.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
EVERLONG CAPITAL FUND MANAGEMENT, LP (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 214-753-4312
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BRITE AVENUE CAPITAL LP (SCARSDALE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · (917)209-7103
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
WELTHY ADVISERS, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 347-883-2051
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
WISDOMTREE VENTURES MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · 212-801-2080
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
PEAK NINE CAPITAL ADVISORS, LLC (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 239 777 1054
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
NAVIAN INVESTMENT MANAGEMENT (CINCINNATI, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 513-980-3264
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
CRUX CAPITAL LTD (DALLAS, TX) is newly SEC-registered with $427.6M RAUM and 8 advisory reps. IAPD ↗fund
$427.6M RAUM · 8 reps · 469-389-1244 · crux-cap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ACP VENTURE CAPITAL MANAGEMENT FUND LLC (HAUPPAUGE, NY) is newly SEC-registered with $785.7M RAUM and 1 advisory reps. IAPD ↗fund
$785.7M RAUM · 1 reps · 631-870-3090
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
3B1 PARTNERS, LLC (NEW YORK, NY) is newly SEC-registered with $391.6M RAUM and 4 advisory reps. IAPD ↗fund
$391.6M RAUM · 4 reps · 212-916-2403
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
3SPOKE MANAGEMENT, LLC (IRVINE, CA) is newly SEC-registered with $254.3M RAUM and 5 advisory reps. IAPD ↗fund
$254.3M RAUM · 5 reps · 415-322-5096
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
UNLESS MANAGEMENT LP (BOULDER, CO) is newly SEC-registered with $252.7M RAUM and 4 advisory reps. IAPD ↗fund
$252.7M RAUM · 4 reps · 7206631211 · unless.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
CERTUM GROUP (NEWARK, NJ) is newly SEC-registered with $275.6M RAUM and 16 advisory reps. IAPD ↗fund
$275.6M RAUM · 16 reps · 973-954-2000 · certumgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
CHAMPION HILL LABS, LLC (location n/a) is newly SEC-registered with $289.1M RAUM and 2 advisory reps. IAPD ↗fund
$289.1M RAUM · 2 reps · 919-475-5863 · championhillventures.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
LEVEL VENTURES MANAGEMENT LLC (SUNNY ISLES BEACH, FL) is newly SEC-registered with $310.9M RAUM and 2 advisory reps. IAPD ↗fund
$310.9M RAUM · 2 reps · (646) 522-7183 · levelvc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ADVAITA CAPITAL LLC (BOSTON, MA) is newly SEC-registered with $315.7M RAUM and 3 advisory reps. IAPD ↗fund
$315.7M RAUM · 3 reps · 978-846-4458
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MONARCH COLLECTIVE (location n/a) is newly SEC-registered with $252.0M RAUM and 4 advisory reps. IAPD ↗fund
$252.0M RAUM · 4 reps · 312-515-9851
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
BREYTA CAPITAL PARTNERS (BROOKLYN, NY) is newly SEC-registered with $377.6M RAUM and 4 advisory reps. IAPD ↗fund
$377.6M RAUM · 4 reps · 414-426-8267 · breytacap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
NEW VINTAGE PARTNERS LLC (NEW YORK, NY) is newly SEC-registered with $281.5M RAUM and 4 advisory reps. IAPD ↗fund
$281.5M RAUM · 4 reps · 917-364-0641
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
N.L.C. LLC (BOCA RATON, FL) is newly SEC-registered with $286.1M RAUM and 2 advisory reps. IAPD ↗fund
$286.1M RAUM · 2 reps · (631) 896-0041
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
PONTEM INVESTMENT MANAGEMENT COMPANY (HOUSTON, TX) is newly SEC-registered with $279.1M RAUM and 6 advisory reps. IAPD ↗fund
$279.1M RAUM · 6 reps · 7132915785 · pontemec.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
NEMAN VENTURES LLC (location n/a) is newly SEC-registered with $853.7M RAUM and 1 advisory reps. IAPD ↗fund
$853.7M RAUM · 1 reps · (917) 834-3207 · nemanventures.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SWAN INVESTMENT PARTNERS (OLD GREENWICH, CT) is newly SEC-registered with $334.2M RAUM and 4 advisory reps. IAPD ↗fund
$334.2M RAUM · 4 reps · 917-843-1082
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MARATHON MANAGEMENT PARTNERS LLC (BEVERLY HILLS, CA) is newly SEC-registered with $340.0M RAUM and 5 advisory reps. IAPD ↗fund
$340.0M RAUM · 5 reps · 818-858-5316 · marathonmp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SHENANDOAH ENERGY MANAGEMENT, LLC (HIGHLANDS RANCH, CO) is newly SEC-registered with $253.9M RAUM and 3 advisory reps. IAPD ↗fund
$253.9M RAUM · 3 reps · 304-907-1555 · shenandoahenergy.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
154 PARTNERS INVESTMENT MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $438.1M RAUM and 12 advisory reps. IAPD ↗fund
$438.1M RAUM · 12 reps · 347-629-9140
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
DOMINARI IM LLC (NEW YORK, NY) is newly SEC-registered with $302.4M RAUM and 2 advisory reps. IAPD ↗fund
$302.4M RAUM · 2 reps · 212-393-4500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SQUADRON CAPITAL MANAGEMENT LLC (OAK BROOK, IL) is newly SEC-registered with $385.7M RAUM and 3 advisory reps. IAPD ↗fund
$385.7M RAUM · 3 reps · 214-478-3862 · squadroncapitalmgmt.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
NOVO HOLDINGS US INVESTMENT ADVISOR, INC. (BOSTON, MA) is newly SEC-registered with $338.6M RAUM and 15 advisory reps. IAPD ↗fund
$338.6M RAUM · 15 reps · 781-307-2686
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
SEVEN FLEET CAPITAL MANAGEMENT LP (location n/a) is newly SEC-registered with $434.6M RAUM and 3 advisory reps. IAPD ↗fund
$434.6M RAUM · 3 reps · 650-660-3618
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
CSR CAPITAL (DALLAS, TX) is newly SEC-registered with $268.7M RAUM and 6 advisory reps. IAPD ↗fund
$268.7M RAUM · 6 reps · 214-380-4149
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
AMERICAN VENTURES IM LLC (PALM BEACH GARDENS, FL) is newly SEC-registered with $835.2M RAUM and 2 advisory reps. IAPD ↗fund
$835.2M RAUM · 2 reps · 917-608-7234
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
PELICAN CAPITAL MANAGEMENT LLC (location n/a) is newly SEC-registered with $347.8M RAUM and 2 advisory reps. IAPD ↗fund
$347.8M RAUM · 2 reps · 917-573-8448
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
BROAD REACH RETAIL PARTNERS LLC (MILLERSVILLE, MD) is newly SEC-registered with $309.0M RAUM and 4 advisory reps. IAPD ↗fund
$309.0M RAUM · 4 reps · 786-385-8446 · broadreachretail.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
LEH III MANAGEMENT LLC (ENGLEWOOD, CO) is newly SEC-registered with $335.9M RAUM and 7 advisory reps. IAPD ↗fund
$335.9M RAUM · 7 reps · 720-909-6608 · lincolnenergypartners.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
CANYON ABF MANAGER LLC (DALLAS, TX) is newly SEC-registered with $300.0M RAUM and 14 advisory reps. IAPD ↗fund
$300.0M RAUM · 14 reps · 214 253 6000 · canyonpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
KVP CAPITAL ADVISORS, LP (location n/a) is newly SEC-registered with $220.9M RAUM and 2 advisory reps. IAPD ↗fund
$220.9M RAUM · 2 reps · 415-875-7777 · kearnyvp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ARMATUS CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered with $241.0M RAUM and 2 advisory reps. IAPD ↗fund
$241.0M RAUM · 2 reps · 952-935-5014 · armatuscapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SUN MOUNTAIN PARTNERS, LLC (location n/a) is newly SEC-registered with $187.2M RAUM and 1 advisory reps. IAPD ↗fund
$187.2M RAUM · 1 reps · 914-806-6072 · sunmountainpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
MARA RIVER CAPITAL MANAGEMENT, LP (CORAL GABLES, FL) is newly SEC-registered with $217.7M RAUM and 3 advisory reps. IAPD ↗fund
$217.7M RAUM · 3 reps · (214) 478-8750 · mararivercapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
LAS OLAS VENTURE CAPITAL (FORT LAUDERDALE, FL) is newly SEC-registered with $231.2M RAUM and 6 advisory reps. IAPD ↗fund
$231.2M RAUM · 6 reps · (954) 667-7159
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
HMC CAPITAL US (NEW YORK, NY) is newly SEC-registered with $174.7M RAUM and 2 advisory reps. IAPD ↗fund
$174.7M RAUM · 2 reps · 212-786-6086 · hmccap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ALTURA CAPITAL (CORAL GABLES, FL) is newly SEC-registered with $159.5M RAUM and 10 advisory reps. IAPD ↗fund
$159.5M RAUM · 10 reps · 786-501-8850
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
PARATAXIS CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $83.7M RAUM and 3 advisory reps. IAPD ↗fund
$83.7M RAUM · 3 reps · 917-828-6313
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
THE NEWCASTLE NETWORK LP (WELLESLEY, MA) is newly SEC-registered with $222.8M RAUM and 7 advisory reps. IAPD ↗fund
$222.8M RAUM · 7 reps · 617-640-7020 · thenewcastlenetwork.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
MISSION TRAIL CAPITAL MANAGEMENT, LLC (AUSTIN, TX) is newly SEC-registered with $214.5M RAUM and 3 advisory reps. IAPD ↗fund
$214.5M RAUM · 3 reps · 512-537-8677 · missiontrailcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SNOW PEAK CAPITAL, LLC (BROOMFIELD, CO) is newly SEC-registered with $174.3M RAUM and 7 advisory reps. IAPD ↗fund
$174.3M RAUM · 7 reps · 720-909-3406 · snowpeakcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
INVESTX ASSET MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $206.8M RAUM and 16 advisory reps. IAPD ↗fund
$206.8M RAUM · 16 reps · 212-390-9270 · investx.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CYPRESS RIDGE CAPITAL, L.P. (NEW YORK, NY) is newly SEC-registered with $194.1M RAUM and 6 advisory reps. IAPD ↗fund
$194.1M RAUM · 6 reps · 212-871-4489
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
EXPECT EQUITY LLC (PIKESVILLE, MD) is newly SEC-registered with $167.2M RAUM and 4 advisory reps. IAPD ↗fund
$167.2M RAUM · 4 reps · 443-843-0862
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BALANCE CAPITAL PARTNERS L.P. (MIAMI, FL) is newly SEC-registered with $195.7M RAUM and 2 advisory reps. IAPD ↗fund
$195.7M RAUM · 2 reps · 646-970-4008
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ERIE STREET GROWTH PARTNERS (CHICAGO, IL) is newly SEC-registered with $221.2M RAUM and 2 advisory reps. IAPD ↗fund
$221.2M RAUM · 2 reps · 312-640-7080 · eriestreet.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ROUND2 INVESTMENT PARTNERS LLC (NEW YORK, NY) is newly SEC-registered with $196.4M RAUM and 2 advisory reps. IAPD ↗fund
$196.4M RAUM · 2 reps · 917 972 5921 · round2ny.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SORYN IP CAPITAL MANAGEMENT (MILLBURN, NJ) is newly SEC-registered with $168.1M RAUM and 3 advisory reps. IAPD ↗fund
$168.1M RAUM · 3 reps · 973-218-2414 · sorynipcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
KONEKTIS CAPITAL (NEW YORK, NY) is newly SEC-registered with $149.8M RAUM and 2 advisory reps. IAPD ↗fund
$149.8M RAUM · 2 reps · 917-584-7648
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
HIGHLAND RIM CAPITAL, L.P. (NASHVILLE, TN) is newly SEC-registered with $209.7M RAUM and 7 advisory reps. IAPD ↗fund
$209.7M RAUM · 7 reps · 615-502-5999
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
COVALENCE INVESTMENT PARTNERS, L.P. (HOUSTON, TX) is newly SEC-registered with $238.4M RAUM and 7 advisory reps. IAPD ↗fund
$238.4M RAUM · 7 reps · (832)579-0455 · covalenceip.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
F3 PARTNERS LLC (NEW YORK, NY) is newly SEC-registered with $204.6M RAUM and 5 advisory reps. IAPD ↗fund
$204.6M RAUM · 5 reps · 212-373-4000 · f3partnersllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CONIFER INFRASTRUCTURE PARTNERS (SEWICKLEY, PA) is newly SEC-registered with $164.8M RAUM and 6 advisory reps. IAPD ↗fund
$164.8M RAUM · 6 reps · 254-541-4323 · conifer-infra.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CLARA VISTA MANAGEMENT COMPANY LLC (NEW YORK, NY) is newly SEC-registered with $169.4M RAUM and 3 advisory reps. IAPD ↗fund
$169.4M RAUM · 3 reps · (201) 218-3834 · claravistapartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
WINGMAN GROWTH PARTNERS (GREENWICH, CT) is newly SEC-registered with $167.2M RAUM and 6 advisory reps. IAPD ↗fund
$167.2M RAUM · 6 reps · 203-309-2625 · wingmangrowth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CLEANHILL PARTNERS (NEW YORK, NY) is newly SEC-registered with $184.4M RAUM and 5 advisory reps. IAPD ↗fund
$184.4M RAUM · 5 reps · 917-748-4425
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SP FUNDS (LAKE MARY, FL) is newly SEC-registered with $10.2M RAUM and 1 advisory reps. IAPD ↗fund
$10.2M RAUM · 1 reps · 425-409-9500 · sp-funds.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
NDH OPPORTUNITY LLC (location n/a) is newly SEC-registered with $235.4M RAUM and 1 advisory reps. IAPD ↗fund
$235.4M RAUM · 1 reps · (650) 200-0970 · storycapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
SILVERCAP PARTNERS (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
$0 RAUM · 5 reps · (704) 790-6750 · silvercappartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
VICTORYARC HOLDINGS LP (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $41.2M RAUM and 2 advisory reps. IAPD ↗fund
$41.2M RAUM · 2 reps · 2037183935 · victoryarc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
LENDISTRY CAPITAL PARTNERS, LLC (LOS ANGELES, CA) is newly SEC-registered with $213.4M RAUM and 5 advisory reps. IAPD ↗fund
$213.4M RAUM · 5 reps · 855-476-5870 · lendistrycapitalpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
QUAERO CAPITAL SA (GENEVA, Switzerland) is newly SEC-registered with $3.21B RAUM and 22 advisory reps. IAPD ↗foreign
$3.21B RAUM · 22 reps · +4122 518 83 00 · quaerocapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
COVALIS (GIBRALTAR) LIMITED (MIDTOWN, QUEENSWAY, Gibraltar) is newly SEC-registered with $4.76B RAUM and 1 advisory reps. IAPD ↗foreign
$4.76B RAUM · 1 reps · +350 2250 4600 · covaliscapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
CINVEN LIMITED (LONDON, United Kingdom) is newly SEC-registered with $42.71B RAUM and 100 advisory reps. IAPD ↗foreign
$42.71B RAUM · 100 reps · 020 7661 3333 · cinven.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
AQUAMARINE FINANCIAL (CAYMAN) LTD (GRAND CAYMAN, Cayman Islands) is newly SEC-registered with $5.76B RAUM and 2 advisory reps. IAPD ↗foreign
$5.76B RAUM · 2 reps · 345-745-2782 · aquamarineam.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
BANYAN TREE ADVISORS PVT. LTD. (BANGALORE, India) is newly SEC-registered with $561.5M RAUM and 21 advisory reps. IAPD ↗foreign
$561.5M RAUM · 21 reps · +91-8046428500 · banyantreeadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
JUBARTE ASSET MANAGEMENT LTDA. (SAO PAULO, SAO PAULO, Brazil) is newly SEC-registered with $57.0M RAUM and 4 advisory reps. IAPD ↗foreign
$57.0M RAUM · 4 reps · 55 11 991790368 · jubartecapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
WORLDLINE CAPITAL PTE. LTD. (HONG KONG, Hong Kong) is newly SEC-registered with $24.1M RAUM and 3 advisory reps. IAPD ↗foreign
$24.1M RAUM · 3 reps · 85269981347 · worldlinecap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
MERCOR INVESTMENT (SAN ANDRES CHOLULA, PUEBLA, Mexico) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 52 222 113 19 77
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 88 Count of additional offices increased.
55
NOTTINGHAM ADVISORS INC. added office(s): 4 -> 5 additional locations. IAPD ↗
$1.43B RAUM · 7 reps · 716-633-3800 · yelp.com
Office IT & facilitiesCRMRecruiting & transitions
55
1834 INVESTMENT ADVISORS CO. added office(s): 9 -> 10 additional locations. IAPD ↗
$2.20B RAUM · 30 reps · (414) 615-1012 · 1834investmentadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
DRIEHAUS CAPITAL MANAGEMENT LLC added office(s): 0 -> 3 additional locations. IAPD ↗
$26.12B RAUM · 27 reps · 312-587-3800
Office IT & facilitiesCRMRecruiting & transitions
55
ROFFMAN MILLER ASSOCIATES INC added office(s): 0 -> 1 additional locations. IAPD ↗
$3.20B RAUM · 14 reps · 215-981-1030 · roffmanmiller.com
Office IT & facilitiesCRMRecruiting & transitions
55
PLANCORP, LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$10.63B RAUM · 52 reps · (636) 532-7824
Office IT & facilitiesCRMRecruiting & transitions
55
OAKTREE CAPITAL MANAGEMENT, L.P. added office(s): 16 -> 17 additional locations. IAPD ↗
$183.29B RAUM · 282 reps · 213-830-6300
Office IT & facilitiesCRMRecruiting & transitions
55
INVESTMENT CONSULTING GROUP INC added office(s): 0 -> 1 additional locations. IAPD ↗
$2.84B RAUM · 3 reps · 563-322-2322 · investmentconsultinggroupinc.com
Office IT & facilitiesCRMRecruiting & transitions
55
CORDA INVESTMENT MANAGEMENT, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$2.00B RAUM · 26 reps · 713-439-0665 · cordamanagement.com
Office IT & facilitiesCRMRecruiting & transitions
55
FORVIS MAZARS WEALTH ADVISORS, LLC added office(s): 62 -> 65 additional locations. IAPD ↗
$12.01B RAUM · 82 reps · 417.831.7283 · forvismazars.us
Office IT & facilitiesCRMRecruiting & transitions
55
FOCUS FINANCIAL added office(s): 35 -> 36 additional locations. IAPD ↗
$6.82B RAUM · 114 reps · 651-631-8166 · focusfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
SAX WEALTH ADVISORS, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$3.60B RAUM · 37 reps · 973-859-2199
Office IT & facilitiesCRMRecruiting & transitions
55
GENERATION CAPITAL MANAGEMENT LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$1.15B RAUM · 1 reps · 585-232-8560
Office IT & facilitiesCRMRecruiting & transitions
55
PROSPERITY - AN EISNERAMPER COMPANY added office(s): 13 -> 14 additional locations. IAPD ↗
$5.04B RAUM · 60 reps · 410-363-7211 · prosperityconsult.com
Office IT & facilitiesCRMRecruiting & transitions
55
ELEVATION POINT WEALTH PARTNERS, LLC added office(s): 12 -> 13 additional locations. IAPD ↗
$8.29B RAUM · 54 reps · 303-382-2880
Office IT & facilitiesCRMRecruiting & transitions
55
PURE FINANCIAL ADVISORS, LLC added office(s): 12 -> 13 additional locations. IAPD ↗
$11.05B RAUM · 76 reps · 866-876-7873
Office IT & facilitiesCRMRecruiting & transitions
55
FORUM FINANCIAL MANAGEMENT, LP added office(s): 54 -> 59 additional locations. IAPD ↗
$8.69B RAUM · 94 reps · (630) 873-8520
Office IT & facilitiesCRMRecruiting & transitions
55
SEACREST WEALTH MANAGEMENT, LLC added office(s): 21 -> 22 additional locations. IAPD ↗
$1.53B RAUM · 36 reps · 914-502-1900 · seacrestwm.com
Office IT & facilitiesCRMRecruiting & transitions
55
EVERMAY WEALTH MANAGEMENT, LLC added office(s): 5 -> 7 additional locations. IAPD ↗
$1.33B RAUM · 17 reps · 703 822-5696
Office IT & facilitiesCRMRecruiting & transitions
55
ALPHA OMEGA WEALTH MANAGEMENT, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$1.02B RAUM · 9 reps · 804-955-1600
Office IT & facilitiesCRMRecruiting & transitions
55
ELWOOD & GOETZ added office(s): 3 -> 6 additional locations. IAPD ↗
$1.07B RAUM · 26 reps · 706-548-1025
Office IT & facilitiesCRMRecruiting & transitions
55
KINTEGRAL ADVISORY, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$2.14B RAUM · 10 reps · 646-519-4333
Office IT & facilitiesCRMRecruiting & transitions
55
BEIRNE. added office(s): 1 -> 2 additional locations. IAPD ↗
$2.26B RAUM · 5 reps · 203-701-8606
Office IT & facilitiesCRMRecruiting & transitions
55
VENTURI PRIVATE WEALTH added office(s): 1 -> 2 additional locations. IAPD ↗
$3.58B RAUM · 12 reps · 208-368-9600 · venturiwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
SYMPHONY FINANCIAL, LTD. CO. added office(s): 6 -> 7 additional locations. IAPD ↗
$1.35B RAUM · 23 reps · 281-272-6800 · thegreensagegroup.com
Office IT & facilitiesCRMRecruiting & transitions
55
CAPTRUST WEALTH ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$2.00B RAUM · 20 reps · (616) 392-5332 · ctwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
ALPHACORE CAPITAL LLC added office(s): 27 -> 30 additional locations. IAPD ↗
$12.96B RAUM · 70 reps · 858-875-4100 · alphacore.com
Office IT & facilitiesCRMRecruiting & transitions
55
THE FIDUCIARY ALLIANCE added office(s): 23 -> 26 additional locations. IAPD ↗
$2.53B RAUM · 45 reps · 864-385-7999
Office IT & facilitiesCRMRecruiting & transitions
55
XYPN SAPPHIRE added office(s): 38 -> 39 additional locations. IAPD ↗
$1.25B RAUM · 60 reps · (360) 301-7579 · deltalakewm.com
Office IT & facilitiesCRMRecruiting & transitions
55
CORNERSTONE WEALTH added office(s): 7 -> 8 additional locations. IAPD ↗
$2.49B RAUM · 50 reps · 704-987-3410
Office IT & facilitiesCRMRecruiting & transitions
55
CATALYST FINANCIAL PARTNERS added office(s): 2 -> 3 additional locations. IAPD ↗
$1.72B RAUM · 6 reps · 617-239-8101
Office IT & facilitiesCRMRecruiting & transitions
55
ONEPOINT BFG WEALTH PARTNERS added office(s): 21 -> 22 additional locations. IAPD ↗
$15.13B RAUM · 104 reps · (973) 575-4180
Office IT & facilitiesCRMRecruiting & transitions
55
ETHOS FINANCIAL GROUP, LLC added office(s): 8 -> 9 additional locations. IAPD ↗
$2.14B RAUM · 33 reps · 610-822-5246
Office IT & facilitiesCRMRecruiting & transitions
55
TRIAD WEALTH PARTNERS, LLC added office(s): 28 -> 29 additional locations. IAPD ↗
$1.53B RAUM · 33 reps · 785-830-0000
Office IT & facilitiesCRMRecruiting & transitions
55
FOGUTH WEALTH MANAGEMENT, LLC. added office(s): 14 -> 15 additional locations. IAPD ↗
$1.07B RAUM · 32 reps · (810) 522-5650
Office IT & facilitiesCRMRecruiting & transitions
55
DIVERSIFY WEALTH MANAGEMENT, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$4.11B RAUM · 70 reps · 8018389999 · caliberwealthmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
55
DIVERSIFIED, LLC added office(s): 10 -> 11 additional locations. IAPD ↗
$2.79B RAUM · 34 reps · 302-765-3500
Office IT & facilitiesCRMRecruiting & transitions
55
TANARA WEALTH MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.09B RAUM · 5 reps · 801-653-0564 · tanarawm.com
Office IT & facilitiesCRMRecruiting & transitions
53
MACDOUGALL FINANCIAL COUNSELING added office(s): 0 -> 1 additional locations. IAPD ↗
$424.8M RAUM · 4 reps · 724-468-1300
Office IT & facilitiesCRMRecruiting & transitions
53
NEW PERSPECTIVES, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$308.7M RAUM · 4 reps · 601-991-3158 · newper.com
Office IT & facilitiesCRMRecruiting & transitions
53
REAP FINANCIAL GROUP, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$648.2M RAUM · 6 reps · 512-249-7300 · reapfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
FAI CAPITAL MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$842.1M RAUM · 3 reps · 813-874-6621
Office IT & facilitiesCRMRecruiting & transitions
53
LANTERN WEALTH ADVISORS, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$319.9M RAUM · 26 reps · 631-454-2000 · heroldlantern.com
Office IT & facilitiesCRMRecruiting & transitions
53
FIDUCIARY FINANCIAL PARTNERS, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$293.3M RAUM · 5 reps · 630-780-1534 · fiduciaryfinancialpartners.com
Office IT & facilitiesCRMRecruiting & transitions
53
AQUILANT ADVISORS added office(s): 0 -> 1 additional locations. IAPD ↗
$278.8M RAUM · 2 reps · 314-309-2078
Office IT & facilitiesCRMRecruiting & transitions
53
DENVER WEALTH MANAGEMENT, INC. added office(s): 3 -> 4 additional locations. IAPD ↗
$529.8M RAUM · 9 reps · (303) 261-8015
Office IT & facilitiesCRMRecruiting & transitions
53
STRATA WEALTH ADVISORS, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$886.1M RAUM · 9 reps · (214) 420-7020 · stratawealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
CAPITAL SQUARE, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$449.9M RAUM · 11 reps · 423-877-6708
Office IT & facilitiesCRMRecruiting & transitions
53
MARTHA'S VINEYARD INVESTMENT ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$342.9M RAUM · 4 reps · (508) 693-8850 · mvinvestmentadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
TAMALPAIS ASSET MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗
$262.5M RAUM · 7 reps · 415-723-8300 · tamalpaisam.com
Office IT & facilitiesCRMRecruiting & transitions
53
CONVERGENCE FINANCIAL added office(s): 14 -> 15 additional locations. IAPD ↗
$904.0M RAUM · 13 reps · (573) 818-2264
Office IT & facilitiesCRMRecruiting & transitions
53
EMPOWER WEALTH MANAGEMENT added office(s): 2 -> 3 additional locations. IAPD ↗
$349.3M RAUM · 8 reps · 512-833-6557 · empoweringretirement.com
Office IT & facilitiesCRMRecruiting & transitions
53
BLACK KNIGHT WEALTH MANAGEMENT, LLC added office(s): 8 -> 9 additional locations. IAPD ↗
$539.2M RAUM · 10 reps · 972-786-6527 · opgadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
ELYSIUM WEALTH MANAGEMENT, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$352.3M RAUM · 10 reps · 385-276-4716 · saltwealthpartners.com
Office IT & facilitiesCRMRecruiting & transitions
53
FORTRESS FINANCIAL GROUP, LLC added office(s): 1 -> 3 additional locations. IAPD ↗
$352.3M RAUM · 7 reps · (507) 529-1400 · retireandthrive.net
Office IT & facilitiesCRMRecruiting & transitions
53
OUTWING PRIVATE WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$332.8M RAUM · 2 reps · (805) 880-9491 · outwingwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
MARIDEA WEALTH MANAGEMENT added office(s): 18 -> 19 additional locations. IAPD ↗
$958.7M RAUM · 26 reps · 347-289-5227
Office IT & facilitiesCRMRecruiting & transitions
50
GLOBAL BROKERAGE SERVICES, INC. added office(s): 3 -> 4 additional locations. IAPD ↗
$162.8M RAUM · 6 reps · 410-785-4990 · globalbrokers.net
Office IT & facilitiesCRMRecruiting & transitions
50
WILLIAM B. WALKUP & ASSOCIATES, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$178.3M RAUM · 4 reps · 803-462-9395
Office IT & facilitiesCRMRecruiting & transitions
50
MILLER WEALTH ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$225.5M RAUM · 3 reps · (713) 252-1661 · miller-wealthadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
PACIFIC EXCEL WEALTH ADVISORS, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$110.8M RAUM · 3 reps · (925) 464-7445
Office IT & facilitiesCRMRecruiting & transitions
50
BALANCED WEALTH MANAGEMENT, LLC. added office(s): 0 -> 1 additional locations. IAPD ↗
$102.0M RAUM · 2 reps · (401) 398-2000
Office IT & facilitiesCRMRecruiting & transitions
50
KERR WEALTH MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗
$131.0M RAUM · 4 reps · (559) 277-4772 · kerrwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
ARROW WEALTH ADVISORS added office(s): 1 -> 2 additional locations. IAPD ↗
$121.2M RAUM · 2 reps · 210-541-9967
Office IT & facilitiesCRMRecruiting & transitions
50
ADVANCED PLANNING ADVISORS GROUP INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$120.4M RAUM · 2 reps · 630-780-1099 · apadvisorsgroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
SOLYCO WEALTH LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$116.2M RAUM · 5 reps · 947-208-4035
Office IT & facilitiesCRMRecruiting & transitions
50
WINDWARD MANAGEMENT LP added office(s): 0 -> 2 additional locations. IAPD ↗
$191.6M RAUM · 3 reps · 772-304-4901 · windwardmg.com
Office IT & facilitiesCRMRecruiting & transitions
50
BUCHANAN WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations. IAPD ↗
$212.0M RAUM · 2 reps · 703-956-2633
Office IT & facilitiesCRMRecruiting & transitions
50
FJELL CAPITAL added office(s): 1 -> 2 additional locations. IAPD ↗
$187.0M RAUM · 3 reps · 701-491-7600
Office IT & facilitiesCRMRecruiting & transitions
50
BAM WEALTH MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$202.0M RAUM · 8 reps · 303-531-5055 · bamadvisorygroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
RHL GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$155.1M RAUM · 2 reps · 248-634-7720 · rhlgroup.us
Office IT & facilitiesCRMRecruiting & transitions
50
QUANTITATIVE FINANCIAL STRATEGIES added office(s): 0 -> 2 additional locations. IAPD ↗
$156.2M RAUM · 2 reps · 714-300-5143 · quantitativefinancialstrategies.com
Office IT & facilitiesCRMRecruiting & transitions
50
BXM WEALTH LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$231.3M RAUM · 5 reps · 303-704-2592 · bxmwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
STRICKLER INVESTMENT SERVICES, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$107.3M RAUM · 3 reps · 5176189000 · stricklerfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
ADVICEONLY added office(s): 5 -> 9 additional locations. IAPD ↗
$0 RAUM · 5 reps · (619) 374- 2261 · adviceonly.com
Office IT & facilitiesCRMRecruiting & transitions
50
DESIGNED WEALTH USA LTD. added office(s): 0 -> 7 additional locations. IAPD ↗
$5.3M RAUM · 7 reps · 416-898-5568 · designedwealth-usa.com
Office IT & facilitiesCRMRecruiting & transitions
50
MANHATTAN WEALTH MANAGEMENT GROUP added office(s): 0 -> 2 additional locations. IAPD ↗
$153.1M RAUM · 3 reps · 212-810-6961
Office IT & facilitiesCRMRecruiting & transitions
50
CMG WEALTH ADVISORS LLC added office(s): 0 -> 4 additional locations. IAPD ↗
$138.4M RAUM · 3 reps · 608-897-9265 · cmgwealthadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
BISON WEALTH MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$131.0M RAUM · 3 reps · 216-270-4425 · bisonllc.com
Office IT & facilitiesCRMRecruiting & transitions
50
ANCHOR & OAK WEALTH ADVISORS, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$0 RAUM · 3 reps · 516-662-2546
Office IT & facilitiesCRMRecruiting & transitions
50
ROTHSCHILD FINANCIAL PARTNERS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 2 reps · 630-448-5711
Office IT & facilitiesCRMRecruiting & transitions
45
OAKTREE FUND ADVISORS, LLC added office(s): 11 -> 12 additional locations. IAPD ↗institutional
$14.10B RAUM · 225 reps · 213-830-6300 · osc.brookfieldoaktree.com
Office IT & facilitiesCRMRecruiting & transitions
40
CAPSTONE INVESTMENT ADVISORS, LLC added office(s): 6 -> 7 additional locations. IAPD ↗fund
$91.53B RAUM · 115 reps · 212-232-1420
Office IT & facilitiesCRMRecruiting & transitions
40
ACCEL-KKR added office(s): 3 -> 4 additional locations. IAPD ↗fund
$23.81B RAUM · 79 reps · 650-289-2460
Office IT & facilitiesCRMRecruiting & transitions
40
BOOTHBAY FUND MANAGEMENT added office(s): 2 -> 3 additional locations. IAPD ↗fund
$17.99B RAUM · 18 reps · 212-332-2676
Office IT & facilitiesCRMRecruiting & transitions
40
WARWICK INVESTMENT GROUP, LLC added office(s): 1 -> 3 additional locations. IAPD ↗fund
$2.05B RAUM · 13 reps · 405-607-3400
Office IT & facilitiesCRMRecruiting & transitions
40
LMR PARTNERS LLC added office(s): 6 -> 7 additional locations. IAPD ↗fund
$140.11B RAUM · 66 reps · 646-891-5701 · lmrpartners.com
Office IT & facilitiesCRMRecruiting & transitions
38
MONTICELLOAM, LLC added office(s): 5 -> 6 additional locations. IAPD ↗fund
$923.3M RAUM · 62 reps · 646-844-3600
Office IT & facilitiesCRMRecruiting & transitions
20
RICHARDSON WEALTH (USA) LIMITED added office(s): 12 -> 16 additional locations. IAPD ↗foreign
$243.9M RAUM · 74 reps · 1-855-204-7467 · usa.richardsonwealth.com
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
CAPITAL ADVISORS, INC. (TULSA, OK) left the SEC roster (was $7.43B RAUM, 35 reps). IAPD ↗
$7.43B RAUM · 35 reps · (866) 230-5879 · capadvfunds.com
Recruiting & transitionsM&A & valuation
65
TEACHERS ADVISORS, LLC (NEW YORK, NY) left the SEC roster (was $436.33B RAUM, 296 reps). IAPD ↗
$436.33B RAUM · 296 reps · 212-490-9000
Recruiting & transitionsM&A & valuation
65
CHARTER OAK CAPITAL MANAGEMENT (PORTSMOUTH, NH) left the SEC roster (was $1.57B RAUM, 13 reps). IAPD ↗
$1.57B RAUM · 13 reps · 800-646-5720
Recruiting & transitionsM&A & valuation
65
GIA PARTNERS, LLC. (NEW YORK, NY) left the SEC roster (was $1.06B RAUM, 5 reps). IAPD ↗
$1.06B RAUM · 5 reps · 212-893-7810 · giallc.com
Recruiting & transitionsM&A & valuation
65
ANFIELD CAPITAL MANAGEMENT, LLC (IRVINE, CA) left the SEC roster (was $2.16B RAUM, 7 reps). IAPD ↗
$2.16B RAUM · 7 reps · 949-891-0600 · anfieldfunds.com
Recruiting & transitionsM&A & valuation
65
LWM ADVISORY SERVICES, LLC (PLANTATION, FL) left the SEC roster (was $1.09B RAUM, 8 reps). IAPD ↗
$1.09B RAUM · 8 reps · 954-474-7100 · lwmfl.com
Recruiting & transitionsM&A & valuation
65
WADDELL & ASSOCIATES, LLC (MEMPHIS, TN) left the SEC roster (was $2.38B RAUM, 9 reps). IAPD ↗
$2.38B RAUM · 9 reps · 901-767-9187 · vimeo.com
Recruiting & transitionsM&A & valuation
65
ONE CHARLES PRIVATE WEALTH (HINGHAM, MA) left the SEC roster (was $1.09B RAUM, 5 reps). IAPD ↗
$1.09B RAUM · 5 reps · 617-337-4208 · focusfinancialpartners.com
Recruiting & transitionsM&A & valuation
63
PALOUSE CAPITAL MANAGEMENT, INC. (SPOKANE, WA) left the SEC roster (was $408.5M RAUM, 2 reps). IAPD ↗
$408.5M RAUM · 2 reps · (509) 624-5591 · palousecap.com
Recruiting & transitionsM&A & valuation
63
HSC WEALTH ADVISORS (FOREST, VA) left the SEC roster (was $449.2M RAUM, 9 reps). IAPD ↗
$449.2M RAUM · 9 reps · 434-316-9356 · hscwealthadvisors.com
Recruiting & transitionsM&A & valuation
63
IMS CAPITAL MANAGEMENT (CLACKAMAS, OR) left the SEC roster (was $380.9M RAUM, 7 reps). IAPD ↗
$380.9M RAUM · 7 reps · 503-788-4200
Recruiting & transitionsM&A & valuation
63
SEASCAPE CAPITAL MANAGEMENT,LLC (PORTSMOUTH, NH) left the SEC roster (was $466.9M RAUM, 3 reps). IAPD ↗
$466.9M RAUM · 3 reps · (603)964-4480 · seascape-capital.com
Recruiting & transitionsM&A & valuation
63
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC (PHOENIX, AZ) left the SEC roster (was $538.8M RAUM, 7 reps). IAPD ↗
$538.8M RAUM · 7 reps · 952-831-8243 · brettmachtig.com
Recruiting & transitionsM&A & valuation
63
CORDANT WEALTH PARTNERS (PORTLAND, OR) left the SEC roster (was $370.5M RAUM, 5 reps). IAPD ↗
$370.5M RAUM · 5 reps · (503) 621-9207 · cordantwealth.com
Recruiting & transitionsM&A & valuation
63
FINANCIALLY IN TUNE (STONEHAM, MA) left the SEC roster (was $326.2M RAUM, 4 reps). IAPD ↗
$326.2M RAUM · 4 reps · 781-587-0582 · financiallyintune.com
Recruiting & transitionsM&A & valuation
63
THE O'DONNELL GROUP (CHICO, CA) left the SEC roster (was $492.0M RAUM, 2 reps). IAPD ↗
$492.0M RAUM · 2 reps · 530-564-0960
Recruiting & transitionsM&A & valuation
63
HOLISTIC FINANCIAL PARTNERS, LLC (INDIANAPOLIS, IN) left the SEC roster (was $444.6M RAUM, 4 reps). IAPD ↗
$444.6M RAUM · 4 reps · 317-550-3400 · holisticfinancialpartners.com
Recruiting & transitionsM&A & valuation
63
SENECA HOUSE ADVISORS (RICHMOND, VA) left the SEC roster (was $506.1M RAUM, 4 reps). IAPD ↗
$506.1M RAUM · 4 reps · (804) 332-6574 · senecahouseadvisors.com
Recruiting & transitionsM&A & valuation
63
MIRAMAR CAPITAL (NORTHBROOK, IL) left the SEC roster (was $550.3M RAUM, 3 reps). IAPD ↗
$550.3M RAUM · 3 reps · 847-291-7300
Recruiting & transitionsM&A & valuation
63
RUNNING POINT CAPITAL ADVISORS LLC (EL SEGUNDO, CA) left the SEC roster (was $745.6M RAUM, 6 reps). IAPD ↗
$745.6M RAUM · 6 reps · 424-502-3501 · runningpointcapital.com
Recruiting & transitionsM&A & valuation
63
EATON FINANCIAL GROUP (CORAL SPRINGS, FL) left the SEC roster (was $382.2M RAUM, 1 reps). IAPD ↗
$382.2M RAUM · 1 reps · 954-575-9323
Recruiting & transitionsM&A & valuation
63
TRUE VISION FINANCIAL ADVISORS (WOODBURY, MN) left the SEC roster (was $271.7M RAUM, 3 reps). IAPD ↗
$271.7M RAUM · 3 reps · 612-256-2208 · truevisionadvice.com
Recruiting & transitionsM&A & valuation
63
EVERNEST FINANCIAL ADVISORS (CARMEL, IN) left the SEC roster (was $963.0M RAUM, 5 reps). IAPD ↗
$963.0M RAUM · 5 reps · 317-556-1015 · evernestfa.com
Recruiting & transitionsM&A & valuation
60
PROFIT INVESTMENTS (NORTH BETHESDA, MD) left the SEC roster (was $26.8M RAUM, 2 reps). IAPD ↗
$26.8M RAUM · 2 reps · 301-650-0059
Recruiting & transitionsM&A & valuation
60
HFG ADVISORS (GREENWOOD VILLAGE, CO) left the SEC roster (was $108.8M RAUM, 4 reps). IAPD ↗
$108.8M RAUM · 4 reps · 303-369-3800 · hfgcolorado.com
Recruiting & transitionsM&A & valuation
60
AMERICAN ASSET MANAGEMENT INC. (BOCA RATON, FL) left the SEC roster (was $153.3M RAUM, 1 reps). IAPD ↗
$153.3M RAUM · 1 reps · 561-955-8500 · americanasset.com
Recruiting & transitionsM&A & valuation
60
EAGLESON ARNDT FINANCIAL ADVISORS (THOUSAND OAKS, CA) left the SEC roster (was $106.6M RAUM, 1 reps). IAPD ↗
$106.6M RAUM · 1 reps · 805-496-8450
Recruiting & transitionsM&A & valuation
60
DIPSEA CAPITAL, LLC (MILL VALLEY, CA) left the SEC roster (was $61.3M RAUM, 1 reps). IAPD ↗
$61.3M RAUM · 1 reps · 415-925-9022
Recruiting & transitionsM&A & valuation
60
UP FINTECH ASSET MANAGEMENT (NEWTOWN SQUARE, PA) left the SEC roster (was $1.5M RAUM, 2 reps). IAPD ↗
$1.5M RAUM · 2 reps · 480-631-4700 · upfintecham.com
Recruiting & transitionsM&A & valuation
60
DIAMOND WEALTH MANAGEMENT, LLC (ALPINE, UT) left the SEC roster (was $212.0M RAUM, 6 reps). IAPD ↗
$212.0M RAUM · 6 reps · 801-216-4811 · diamondwealthmgt.com
Recruiting & transitionsM&A & valuation
60
MARATHON WEALTH MANAGEMENT, INC. (MELVILLE, NY) left the SEC roster (was $150.5M RAUM, 1 reps). IAPD ↗
$150.5M RAUM · 1 reps · (631) 760-8385 · marathonwealth.net
Recruiting & transitionsM&A & valuation
60
KOWALSKI FINANCIAL INC. (MINNEAPOLIS, MN) left the SEC roster (was $202.0M RAUM, 2 reps). IAPD ↗
$202.0M RAUM · 2 reps · 952-297-8589
Recruiting & transitionsM&A & valuation
60
CLEARVIEW WEALTH ADVISORS, LLC (SALEM, OR) left the SEC roster (was $201.8M RAUM, 2 reps). IAPD ↗
$201.8M RAUM · 2 reps · 503-400-7800
Recruiting & transitionsM&A & valuation
60
TROVE INVESTMENT ADVISORS LLC (DALLAS, TX) left the SEC roster (was $387,586 RAUM, 1 reps). IAPD ↗
$387,586 RAUM · 1 reps · 469-655-0025 · troveadvisors.com
Recruiting & transitionsM&A & valuation
60
REDMONT WEALTH (CHICAGO, IL) left the SEC roster (was $4.8M RAUM, 1 reps). IAPD ↗
$4.8M RAUM · 1 reps · 312-848-1136
Recruiting & transitionsM&A & valuation
60
UNITY WEALTH PARTNERS (NEWPORT BEACH, CA) left the SEC roster (was $7.1M RAUM, 2 reps). IAPD ↗
$7.1M RAUM · 2 reps · (949) 688-0928 · unitywealthpartners.com
Recruiting & transitionsM&A & valuation
60
HERBEIN FINANCIAL GROUP, LLC (ALLENTOWN, PA) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 484-509-1136 · herbein.com
Recruiting & transitionsM&A & valuation
60
AURORA WEALTH ADVISORS (SAN DIEGO, CA) left the SEC roster (was $148.8M RAUM, 2 reps). IAPD ↗
$148.8M RAUM · 2 reps · 858-326-0046 · aurorawealth.com
Recruiting & transitionsM&A & valuation
60
ACCESS CAPITAL, LLC (WICHITA, KS) left the SEC roster (was $105.6M RAUM, 1 reps). IAPD ↗
$105.6M RAUM · 1 reps · 316-633-8013 · accesscapitaladvisors.com
Recruiting & transitionsM&A & valuation
60
INNOVATIVE FAMILY OFFICE LLC (SOMERS, NY) left the SEC roster (was $65.8M RAUM, 8 reps). IAPD ↗
$65.8M RAUM · 8 reps · (914) 427-8036 · innovativefo.com
Recruiting & transitionsM&A & valuation
60
EMPOWER PRIVATE WEALTH (NEW YORK, NY) left the SEC roster (was $34.5M RAUM, 1 reps). IAPD ↗
$34.5M RAUM · 1 reps · 941-340-0404 · empowerpw.com
Recruiting & transitionsM&A & valuation
60
US FINANCIAL PLANNERS, LLC (ASHEVILLE, NC) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 7 reps). IAPD ↗
$0 RAUM · 7 reps · 980-286-1170 · usfinancialplanners.com
Recruiting & transitionsM&A & valuation
60
EMBERVEST (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 322-536-2326 · embervest.com
Recruiting & transitionsM&A & valuation
60
GRAY LION CAPITAL (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $7.0M RAUM, 1 reps). IAPD ↗
$7.0M RAUM · 1 reps · 480-284-0384 · graylioncapital.com
Recruiting & transitionsM&A & valuation
60
CATTON CAPITAL PARTNERS, LLC (SAN FRANCISCO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $39.6M RAUM, 2 reps). IAPD ↗
$39.6M RAUM · 2 reps · 415-234-0470
Recruiting & transitionsM&A & valuation
60
PROPEL PRIVATE WEALTH LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $2.8M RAUM, 1 reps). IAPD ↗
$2.8M RAUM · 1 reps · (424) 222-5767 · propelprivatewealth.com
Recruiting & transitionsM&A & valuation
60
JM FINANCIAL PRIVATE WEALTH, INC. (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 1-332-900-4958
Recruiting & transitionsM&A & valuation
55
EPFC CAPITAL PARTNERS (NEW YORK, NY) left the SEC roster (was $1.99B RAUM, 11 reps). IAPD ↗institutional
$1.99B RAUM · 11 reps · 929-447-0490 · epfc.capital
Recruiting & transitionsM&A & valuation
50
STONERIDGE INVESTMENT PARTNERS (RADNOR, PA) left the SEC roster (was $152.3M RAUM, 6 reps). IAPD ↗institutional
$152.3M RAUM · 6 reps · 484-254-5400 · stoneridgeinvestments.com
Recruiting & transitionsM&A & valuation
50
MAZARS WEALTH ADVISORS (NEW YORK, NY) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 212-812-7000
Recruiting & transitionsM&A & valuation
50
CANTILLON CAPITAL MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $22.77B RAUM, 8 reps). IAPD ↗fund
$22.77B RAUM · 8 reps · 212-603-3300 · cantillon.com
Recruiting & transitionsM&A & valuation
50
INSIGHT INVESTMENT RESEARCH (location n/a) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · +44 203 397 9182 · insightir.com
Recruiting & transitionsM&A & valuation
50
ONE STONE GLOBAL LLC (BOSTON, MA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 347-264-2399 · onestoneglobal.com
Recruiting & transitionsM&A & valuation
50
ADLER ASSET MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $4.4M RAUM, 1 reps). IAPD ↗institutional
$4.4M RAUM · 1 reps · 646-571-2595 · adlervaluefund.com
Recruiting & transitionsM&A & valuation
50
QUADRATURE US INC. (NEW YORK, NY) left the SEC roster (was $28.80B RAUM, 120 reps). IAPD ↗fund
$28.80B RAUM · 120 reps · 2125164800
Recruiting & transitionsM&A & valuation
50
MPACT CAPITAL (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗institutional
$0 RAUM · 3 reps · 917-348-8649 · mpactcap.com
Recruiting & transitionsM&A & valuation
50
SANDPATH LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 914 886 3119
Recruiting & transitionsM&A & valuation
50
FORVM GLOBAL INVESTMENTS LLC (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 212-713-1680 EXT 3 · forvmglobal.com
Recruiting & transitionsM&A & valuation
50
ORION PARTNERS, LLC (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 3107952188
Recruiting & transitionsM&A & valuation
48
OAKUM BAY CAPITAL, LLC (location n/a) left the SEC roster (was $374.0M RAUM, 1 reps). IAPD ↗fund
$374.0M RAUM · 1 reps · 475-477-3301 · oakumbaycapital.com
Recruiting & transitionsM&A & valuation
48
VOLT INVESTMENT HOLDINGS LLC (BROOKLYN, NY) left the SEC roster (was $383.5M RAUM, 4 reps). IAPD ↗fund
$383.5M RAUM · 4 reps · 917-983-0505 · voltinvestmentholdings.com
Recruiting & transitionsM&A & valuation
48
SYMBIOSIS CAPITAL PARTNERS, LLC (BENTONVILLE, AR) left the SEC roster (was $357.2M RAUM, 6 reps). IAPD ↗fund
$357.2M RAUM · 6 reps · 4793786655
Recruiting & transitionsM&A & valuation
48
TAPROOT MANAGEMENT LP (NEW YORK, NY) left the SEC roster (was $940.1M RAUM, 15 reps). IAPD ↗fund
$940.1M RAUM · 15 reps · (646) 846-4427 · taprootmanagement.com
Recruiting & transitionsM&A & valuation
45
ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C. (SUGAR LAND, TX) left the SEC roster (was $23.5M RAUM, 1 reps). IAPD ↗fund
$23.5M RAUM · 1 reps · 281-778-4900 · rmpwm.com
Recruiting & transitionsM&A & valuation
45
LIONSTONE INVESTMENTS (BOSTON, MA) left the SEC roster (was $224.4M RAUM, 0 reps). IAPD ↗fund
$224.4M RAUM · 0 reps · 8002252365 · lionstoneinvestments.com
Recruiting & transitionsM&A & valuation
45
MIURA GLOBAL MANAGEMENT, LLC (location n/a) left the SEC roster (was $150.2M RAUM, 3 reps). IAPD ↗fund
$150.2M RAUM · 3 reps · 212-984-8832
Recruiting & transitionsM&A & valuation
45
AMS CHILDREN'S FUND, LP (location n/a) left the SEC roster (was $15.2M RAUM, 1 reps). IAPD ↗fund
$15.2M RAUM · 1 reps · 214-716-0786 · amsopportunities.com
Recruiting & transitionsM&A & valuation
45
ARCTIS GLOBAL LLC (location n/a) left the SEC roster (was $106.0M RAUM, 1 reps). IAPD ↗fund
$106.0M RAUM · 1 reps · 001 787 525 9031 · arctisglobal.com
Recruiting & transitionsM&A & valuation
45
FLATIRON FUND MANAGEMENT LP (WEST PALM BEACH, FL) left the SEC roster — its 120-day provisional registration did not convert (was $27.3M RAUM, 2 reps). IAPD ↗fund
$27.3M RAUM · 2 reps · 561-412-4929 · flatironassets.com
Recruiting & transitionsM&A & valuation
45
MRWM CAPITAL MANAGEMENT, LLC (NASHVILLE, TN) left the SEC roster (was $8.8M RAUM, 2 reps). IAPD ↗fund
$8.8M RAUM · 2 reps · (615) 647-5882
Recruiting & transitionsM&A & valuation
45
VIRIDIAN CAPITAL (PURCHASE, NY) left the SEC roster (was $33.2M RAUM, 5 reps). IAPD ↗fund
$33.2M RAUM · 5 reps · 914-589-5969
Recruiting & transitionsM&A & valuation
45
MPI INFINITE INVESTORS, LLC (GILBERT, AZ) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗fund
$0 RAUM · 2 reps · 480-695-3214 · mpiinfiniteinvestors.com
Recruiting & transitionsM&A & valuation
45
HAVEN CAPITAL ADVISORS, LLC (CHARLOTTE, NC) left the SEC roster — its 120-day provisional registration did not convert (was $5.4M RAUM, 1 reps). IAPD ↗fund
$5.4M RAUM · 1 reps · 704-926-2018
Recruiting & transitionsM&A & valuation
45
CALLODINE STRATEGIC CREDIT FUND III MANAGEMENT, LLC (ATLANTA, GA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗fund
$0 RAUM · 4 reps · 404-795-6468 · callodinesbic.com
Recruiting & transitionsM&A & valuation
35
CANTILLON CAPITAL MANAGEMENT LLP (LONDON, United Kingdom) left the SEC roster (was $22.77B RAUM, 6 reps). IAPD ↗foreign
$22.77B RAUM · 6 reps · 44 (0) 20 7811 4100 · cantillon.com
Recruiting & transitionsM&A & valuation
30
ETNA CAPITAL (HONG KONG, Hong Kong) left the SEC roster (was $143.3M RAUM, 5 reps). IAPD ↗foreign
$143.3M RAUM · 5 reps · 85228188309 · etnalabs.co
Recruiting & transitionsM&A & valuation
pending approved — 45 120-day provisional registration became a full approval.
75
EVERTERN WEALTH, LLC's provisional registration is now fully approved. IAPD ↗
$1.56B RAUM · 2 reps · 239-508-7700 · everternwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
IKALON ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$442.1M RAUM · 2 reps · 786 702 0078
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
15 WEALTH ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$481.5M RAUM · 13 reps · 847-735-7103 · 15wealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
PRAIRIE ADVISORY, LLC's provisional registration is now fully approved. IAPD ↗
$554.3M RAUM · 9 reps · 913-963-1054 · prairieadvisoryllc.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
LAS OLAS CAPITAL WEALTH LLC's provisional registration is now fully approved. IAPD ↗
$269.1M RAUM · 4 reps · 954 289 4692 · lasolascap.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
SHAH WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$606.2M RAUM · 3 reps · 909-262-1430 · shahwealthadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
FACTORPOINT PLANNING, LLC's provisional registration is now fully approved. IAPD ↗
$287.9M RAUM · 2 reps · (585) 895-7506 · factorplanning.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
TBG-BEDFORD GROUP LLC's provisional registration is now fully approved. IAPD ↗
$758.1M RAUM · 9 reps · (314) 957-5737
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
N10° WEALTH's provisional registration is now fully approved. IAPD ↗
$553.1M RAUM · 5 reps · 203-930-2881 · n10wealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
VENEROSO WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$298.8M RAUM · 1 reps · 631-559-7713 · venerosowealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
N10° ASSETS's provisional registration is now fully approved. IAPD ↗
$306.9M RAUM · 5 reps · 203-930-2880 · n10assets.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
MARDIN CAPITAL GROUP's provisional registration is now fully approved. IAPD ↗
$306.2M RAUM · 3 reps · (603) 766-4700 · mardincapitalgroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
VALEN PRIVATE CAPITAL, LLC.'s provisional registration is now fully approved. IAPD ↗
$482.6M RAUM · 2 reps · 835-262-8100 · valenpc.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
LIBERTY FORGE LLC's provisional registration is now fully approved. IAPD ↗
$250.8M RAUM · 5 reps · (617) 239-9340 · civicfinancial.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PATHFINDER PLANNING AND INVESTMENTS's provisional registration is now fully approved. IAPD ↗
$122.3M RAUM · 2 reps · 406-541-3733 · pathfinderplanmt.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SAVILE PRIVATE WEALTH LLC's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 307-655-1008
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
WLT PARTNERS's provisional registration is now fully approved. IAPD ↗
$104.3M RAUM · 2 reps · 305 200-8877 · wltpartnersria.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CULTIVATE WEALTH PARTNERS's provisional registration is now fully approved. IAPD ↗
$125.3M RAUM · 1 reps · (720) 961-2805 · cultivatewealthpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
JQL WEALTH's provisional registration is now fully approved. IAPD ↗
$44.9M RAUM · 1 reps · 570-332-5680
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CMG WEALTH ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$138.4M RAUM · 3 reps · 608-897-9265 · cmgwealthadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CUSTOM WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$201.0M RAUM · 3 reps · 734-844-3400 · custom-wm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
TAO PRIVATE WEALTH, LLC's provisional registration is now fully approved. IAPD ↗
$104.2M RAUM · 2 reps · (918) 986 7282 · taoprivatewealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
AWAKEN WEALTH PARTNERS LLC's provisional registration is now fully approved. IAPD ↗
$237.3M RAUM · 4 reps · 281-358-0134 · awakenwealthpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
WHITE HAWK WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$131.2M RAUM · 2 reps · 303-800-0620 · whitehawkwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
VERITAS WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$219.9M RAUM · 2 reps · (401) 296-3606 · veritaswealthri.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SAHARA INVESTMENT GROUP's provisional registration is now fully approved. IAPD ↗
$218.1M RAUM · 5 reps · 702-907-0005 · saharainvestmentgroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CHILDRESS & CO LLC's provisional registration is now fully approved. IAPD ↗
$120.3M RAUM · 1 reps · 307-734-7141
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CAMBIER CAPITAL, LLC's provisional registration is now fully approved. IAPD ↗
$165.5M RAUM · 4 reps · (239) 289-1218
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FACTORY CAPITAL LLC's provisional registration is now fully approved. IAPD ↗
$102.5M RAUM · 4 reps · 954-803-9987 · thefactoryhq.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
PRAIRIE VIEW WEALTH PARTNERS LLC's provisional registration is now fully approved. IAPD ↗
$171.2M RAUM · 2 reps · (605) 777-1851 · prairieviewwp.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
NOW ASSET MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗
$39.8M RAUM · 2 reps · +1-914-901-1040
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
QUEST WEALTH SOLUTIONS, INC.'s provisional registration is now fully approved. IAPD ↗
$214.6M RAUM · 2 reps · 419-525-2525 · questwealthsolutions.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
NEARSIDE ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$188.6M RAUM · 3 reps · 317-610-6650 · nearsideadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
NEXT UP WEALTH ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$100.2M RAUM · 2 reps · 480-450-7407 · nextupwealthadvisors.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
65
GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC's provisional registration is now fully approved. IAPD ↗institutional
$1.44B RAUM · 6 reps · 2125189542 · guggenheimpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
AJAX HEALTH MANAGEMENT COMPANY, LLC's provisional registration is now fully approved. IAPD ↗institutional
$214.5M RAUM · 12 reps · 800-991-6564 · ajaxhealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
THE OPERATORS FUND INVESTMENT MANAGEMENT, L.P.'s provisional registration is now fully approved. IAPD ↗fund
$303.0M RAUM · 4 reps · (914) 361-5146 · operatorsfund.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
QSO CAPITAL MANAGEMENT LLC's provisional registration is now fully approved. IAPD ↗fund
$250.0M RAUM · 2 reps · 732-332-2494 · qsocapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
GLD ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗fund
$257.3M RAUM · 3 reps · 212-257-5790
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
MERIT CAPITAL PARTNERS VI, LLC's provisional registration is now fully approved. IAPD ↗fund
$448.2M RAUM · 16 reps · 312-592-6111 · meritcapital.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
SKYLAR CAPITAL MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗fund
$437.7M RAUM · 11 reps · (713) 341-7942
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
ARÈNE CAPITAL MANAGEMENT LP's provisional registration is now fully approved. IAPD ↗fund
$49.1M RAUM · 4 reps · 646-277-6425
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
SOUTHPAW CP MANAGER LP's provisional registration is now fully approved. IAPD ↗fund
$138.9M RAUM · 1 reps · (917) 837-8846
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
37SPRUCE INVESTMENT PARTNERS, LLC's provisional registration is now fully approved. IAPD ↗fund
$150.0M RAUM · 4 reps · 203-961-3113 · 37spruce.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
43
KYNANCE COVE CAPITAL LLP's provisional registration is now fully approved. IAPD ↗foreign
$365.0M RAUM · 2 reps · +442046469274
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
relocation — 34 Main office moved to a different city or state.
50
GREAT VALLEY ADVISOR GROUP, LLC moved its main office from WILMINGTON, DE to BERWYN, PA. IAPD ↗
$10.60B RAUM · 192 reps · 610-296-7630 · formationfinancial.net
Office IT & facilitiesMarketing & brand
50
TALSON CAPITAL MANAGEMENT L.P. moved its main office from DARIEN, CT to STAMFORD, CT. IAPD ↗
$1.06B RAUM · 3 reps · 203-202-7500
Office IT & facilitiesMarketing & brand
50
BEIRNE. moved its main office from SHELTON, CT to DARIEN, CT. IAPD ↗
$2.26B RAUM · 5 reps · 203-701-8606
Office IT & facilitiesMarketing & brand
50
VENTURI PRIVATE WEALTH moved its main office from AUSTIN, TX to BOISE, ID. IAPD ↗
$3.58B RAUM · 12 reps · 208-368-9600 · venturiwealth.com
Office IT & facilitiesMarketing & brand
50
DIVERSIFY ADVISORY SERVICES, LLC moved its main office from SANDY, UT to SOUTH JORDAN, UT. IAPD ↗
$4.65B RAUM · 110 reps · 801-890.7577 · providencewealthadv.com
Office IT & facilitiesMarketing & brand
50
DIVERSIFY WEALTH MANAGEMENT, LLC moved its main office from SANDY, UT to SOUTH JORDAN, UT. IAPD ↗
$4.11B RAUM · 70 reps · 8018389999 · caliberwealthmanagement.com
Office IT & facilitiesMarketing & brand
48
NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC moved its main office from SOUTH MERIDEN, CT to CHESHIRE, CT. IAPD ↗
$768.0M RAUM · 12 reps · 203-935-0265 · newenglandcapital.com
Office IT & facilitiesMarketing & brand
48
SWEENEY FINANCIAL ADVISORS moved its main office from MANCHESTER, NH to BEDFORD, NH. IAPD ↗
$403.2M RAUM · 4 reps · 603-625-8400
Office IT & facilitiesMarketing & brand
48
TIMBERCHASE FINANCIAL, LLC moved its main office from HOOVER, AL to HOMEWOOD, AL. IAPD ↗
$280.2M RAUM · 3 reps · 205-980-7118
Office IT & facilitiesMarketing & brand
48
RUNNING OAK CAPITAL LLC moved its main office from EDINA, MN to MINNEAPOLIS, MN. IAPD ↗
$874.7M RAUM · 2 reps · 919-656-3712 · runningoak.com
Office IT & facilitiesMarketing & brand
48
FORTRESS WEALTH PLANNING moved its main office from PONTE VEDRA BEACH, FL to JACKSONVILLE BEACH, FL. IAPD ↗
$793.9M RAUM · 6 reps · 904-301-4545 · fortresswealthplanning.com
Office IT & facilitiesMarketing & brand
48
REDWOOD FAMILY WEALTH LLC moved its main office from ADDISON, TX to PLANO, TX. IAPD ↗
$258.5M RAUM · 3 reps · 469-965-4001 · redwoodfamilywealth.com
Office IT & facilitiesMarketing & brand
45
JOHNSON & SHUTE INVESTMENT ADVISORS, INC. moved its main office from BOTHELL, WA to BELLEVUE, WA. IAPD ↗
$137.3M RAUM · 2 reps · 425-615-6808
Office IT & facilitiesMarketing & brand
45
HERITAGE WEALTH MANAGEMENT moved its main office from MEDFORD, MA to WOBURN, MA. IAPD ↗
$153.2M RAUM · 2 reps · 800-620-9330
Office IT & facilitiesMarketing & brand
45
SIMA WEALTH PARTNERS, LLC moved its main office from NORTH CHESTERFIELD, VA to RICHMOND, VA. IAPD ↗
$156.7M RAUM · 4 reps · 804-285-5700 · simafinancialgroup.com
Office IT & facilitiesMarketing & brand
45
LIFE STRATEGIES, INC. moved its main office from LA JOLLA, CA to CARDIFF, CA. IAPD ↗
$121.2M RAUM · 1 reps · 916-541-3846
Office IT & facilitiesMarketing & brand
45
BALANCED WEALTH MANAGEMENT, LLC. moved its main office from EAST GREENWICH, RI to WEST WARWICK, RI. IAPD ↗
$102.0M RAUM · 2 reps · (401) 398-2000
Office IT & facilitiesMarketing & brand
45
ARROW WEALTH ADVISORS moved its main office from AUBURN, CA to LYNCHBURG, VA. IAPD ↗
$121.2M RAUM · 2 reps · 210-541-9967
Office IT & facilitiesMarketing & brand
45
STEP ADVISERS, LLC moved its main office from PALO ALTO, CA to SAN MATEO, CA. IAPD ↗
$0 RAUM · 1 reps · 650-241-8184 · step.com
Office IT & facilitiesMarketing & brand
45
MENDOZA PRIVATE WEALTH moved its main office from MIAMI, FL to NORTH MIAMI, FL. IAPD ↗
$101.4M RAUM · 1 reps · 305-503-5133 · mendozaprivatewealth.com
Office IT & facilitiesMarketing & brand
45
DREAMS INVESTMENT SOLUTIONS moved its main office from SARASOTA, FL to FOLSOM, CA. IAPD ↗
$0 RAUM · 1 reps · 9162141820 · investwithdreams.com
Office IT & facilitiesMarketing & brand
45
SAVILE PRIVATE WEALTH LLC moved its main office from SHERIDAN, WY to SAN JUAN, PR. IAPD ↗
$0 RAUM · 1 reps · 307-655-1008
Office IT & facilitiesMarketing & brand
40
ASCENSUS INVESTMENT ADVISORS, LLC moved its main office from NEWTON, MA to NEEDHAM, MA. IAPD ↗institutional
$12.97B RAUM · 2 reps · 617-454-6400
Office IT & facilitiesMarketing & brand
38
CORGI STRATEGIES, LLC moved its main office from SAN FRANCISCO, CA to CHICAGO, IL. IAPD ↗institutional
$825.1M RAUM · 5 reps · 855-552-6744 · founderledfunds.com
Office IT & facilitiesMarketing & brand
35
ULLICO INVESTMENT ADVISORS, INC. moved its main office from SILVER SPRING, MD to BETHESDA, MD. IAPD ↗fund
$13.92B RAUM · 58 reps · 202-962-8951 · ullico-urs.com
Office IT & facilitiesMarketing & brand
35
CONTEXT CAPITAL MANAGEMENT LLC moved its main office from LA JOLLA, CA to GREENWICH, CT. IAPD ↗fund
$8.01B RAUM · 8 reps · 203-962-2727 · contextfunds.com
Office IT & facilitiesMarketing & brand
35
HEALTHCARE ROYALTY MANAGEMENT, LLC moved its main office from STAMFORD, CT to NEW YORK, NY. IAPD ↗fund
$3.78B RAUM · 19 reps · 646-630-7750
Office IT & facilitiesMarketing & brand
35
SIMA RETIREMENT SOLUTIONS, LLC moved its main office from NORTH CHESTERFIELD, VA to RICHMOND, VA. IAPD ↗institutional
$0 RAUM · 6 reps · 804-285-5700 · simafinancialgroup.com
Office IT & facilitiesMarketing & brand
35
US INNOVATIVE TECHNOLOGY CAPITAL MANAGEMENT, LLC moved its main office from MOON TOWNSHIP, PA to CORAOPOLIS, PA. IAPD ↗fund
$7.03B RAUM · 12 reps · 312-948-9899 · usitfund.com
Office IT & facilitiesMarketing & brand
33
AWANI CAPITAL MANAGEMENT LP moved its main office from FULTON, MD to WASHINGTON, DC. IAPD ↗fund
$268.7M RAUM · 5 reps · 202-856-3386 · awanicapitcal.com
Office IT & facilitiesMarketing & brand
30
THREE BRIDGES CAPITAL, LP moved its main office from NEW YORK, NY to MONMOUTH BEACH, NJ. IAPD ↗fund
$175.5M RAUM · 3 reps · 212-523-9700 · threebridgescap.com
Office IT & facilitiesMarketing & brand
30
CROWDSTREET ADVISORS, LLC moved its main office from AUSTIN, TX to NEW YORK, NY. IAPD ↗fund
$231.9M RAUM · 0 reps · (888) 432-7693 · crowdstreet.com
Office IT & facilitiesMarketing & brand
30
EPIC FUNDS moved its main office from MANHATTAN BEACH, CA to HERMOSA BEACH, CA. IAPD ↗fund
$166.5M RAUM · 5 reps · 720-593-6399 · epic-funds.com
Office IT & facilitiesMarketing & brand
15
442 CAPITAL PTY LTD moved its main office from SOUTH MELBOURNE, to MELBOURNE, . IAPD ↗foreign
$225.0M RAUM · 2 reps · 0400 581 801 · 442capital.com.au
Office IT & facilitiesMarketing & brand
rename — 27 Primary business name changed: rebrand, merger, or ownership change.
60
DIAMOND HILL CAPITAL MANAGEMENT INC is now doing business as DIAMOND HILL CAPITAL MANAGEMENT, LLC. IAPD ↗
$29.38B RAUM · 42 reps · 614-255-3333 · diamond-hill.com
Marketing & brandCRM
60
SAGEVIEW ADVISORY GROUP, LLC is now doing business as CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC. IAPD ↗
$37.50B RAUM · 112 reps · 800-814-8742
Marketing & brandCRM
60
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC is now doing business as FOCUS ADVISOR SOLUTIONS, LLC. IAPD ↗
$41.48B RAUM · 46 reps · 314-725-0455
Marketing & brandCRM
60
FINACCESS ADVISORS, LLC is now doing business as FINACCESS ADVISORS LLC. IAPD ↗
$4.11B RAUM · 7 reps · 305.377.1112
Marketing & brandCRM
60
XYPN INVEST is now doing business as XYPN SAPPHIRE. IAPD ↗
$1.25B RAUM · 60 reps · (360) 301-7579 · deltalakewm.com
Marketing & brandCRM
58
SFM, LLC is now doing business as SWEENEY FINANCIAL ADVISORS. IAPD ↗
$403.2M RAUM · 4 reps · 603-625-8400
Marketing & brandCRM
58
TRUE WAVE WEALTH PLANNERS is now doing business as TRUE WAVE FINANCIAL PLANNERS. IAPD ↗
$456.5M RAUM · 3 reps · 916-921-9220 · truewavefinancial.com
Marketing & brandCRM
58
LONESTAR REGISTERED INVESTMENT ADVISORS, PLLC is now doing business as LONESTAR REGISTERED INVESTMENT ADVISORS, LLC. IAPD ↗
$336.2M RAUM · 12 reps · 866-785-5350 · retirewithlonestar.com
Marketing & brandCRM
58
TYME ADVISORS is now doing business as VALINOR WEALTH MANAGEMENT. IAPD ↗
$678.3M RAUM · 1 reps · 469-480-7904
Marketing & brandCRM
58
BR CAPITAL is now doing business as INVERIS US LLC. IAPD ↗
$568.4M RAUM · 2 reps · 305-448-0014
Marketing & brandCRM
55
GREYLOCK PEAK INVESTMENTS, LLC is now doing business as WEALTHION. IAPD ↗
$0 RAUM · 2 reps · 646-822-1269 · greylockpeak.com
Marketing & brandCRM
55
COMPASS RETIREMENT GROUP LLC is now doing business as COMPASS WEALTH. IAPD ↗
$111.9M RAUM · 7 reps · 314-373-1598 · compasswealth.com
Marketing & brandCRM
55
GLR INVESTMENT ADVISORY LLC is now doing business as LATI CAPITAL. IAPD ↗
$663,433 RAUM · 1 reps · 347-470-8781
Marketing & brandCRM
55
FINVEST is now doing business as FINN. IAPD ↗
$4.1M RAUM · 1 reps · 6188233733 · getfinn.us
Marketing & brandCRM
55
ADVICE ONLY is now doing business as ADVICEONLY. IAPD ↗
$0 RAUM · 5 reps · (619) 374- 2261 · adviceonly.com
Marketing & brandCRM
55
LUEDTKE & ASSOCIATES is now doing business as LUEDTKE & ASSOCIATES LLC. IAPD ↗
$248.2M RAUM · 3 reps · 262-626-4783
Marketing & brandCRM
55
ARAGON FAMILY OFFICE LLC is now doing business as ARAGON CAPITAL, LLC. IAPD ↗
$112.0M RAUM · 2 reps · 719-244-4814
Marketing & brandCRM
55
MRP LEGACY ADVISORS, LLC is now doing business as MRP ADVISORS, LLC. IAPD ↗
$96.1M RAUM · 1 reps · 770-462-4233 · mrpadvisors.com
Marketing & brandCRM
55
MACRO QUANT PRIVATE WEALTH, LLC is now doing business as MQ PRIVATE WEALTH. IAPD ↗
$0 RAUM · 1 reps · (310) 269-0869 · mqprivatewealth.com
Marketing & brandCRM
55
LUCENT FINANCIAL is now doing business as SPRINGHILL WEALTH MANAGEMENT, LLC. IAPD ↗
$0 RAUM · 1 reps · 406-750-3515 · lucent-financial.com
Marketing & brandCRM
55
LYNCH FINANCIAL ADVISORS, INC is now doing business as LYNCH FINANCIAL ADVISORS. IAPD ↗
$112.9M RAUM · 3 reps · 916-772-3103 · lynchfinancialadvisors.com
Marketing & brandCRM
55
WALTON CREEK INVESTMENT ADVISORS is now doing business as HUDSON & ASSOCIATES WEALTH MANAGEMENT LLC. IAPD ↗
$0 RAUM · 1 reps · 918-394-1966
Marketing & brandCRM
50
CHURCHILL INVESTMENT MANAGEMENT, LLC is now doing business as CHURCHILL INVESTMENT MANAGEMENT LLC. IAPD ↗institutional
$12.14B RAUM · 16 reps · 646-517-5353
Marketing & brandCRM
45
TTCP MANAGEMENT SERVICES, LLC is now doing business as TRUEHELM, LLC. IAPD ↗fund
$1.28B RAUM · 5 reps · 952-540-4500 · truehelm.com
Marketing & brandCRM
45
DWIGHT SECURITIES MANAGEMENT LLC is now doing business as DWIGHT INVESTMENT MANAGEMENT LLC. IAPD ↗fund
$4.56B RAUM · 34 reps · 212-960-3750 · dwightmortgagetrust.com
Marketing & brandCRM
45
SWISS RE INSURANCE-LINKED INVESTMENT ADVISORS CORPORATION is now doing business as SWISS RE INSURANCE-LINKED STRATEGIES INC.. IAPD ↗fund
$4.91B RAUM · 8 reps · 12123175151 · swissre.com
Marketing & brandCRM
30
THE FORUM FINANCE GROUP SA is now doing business as FORUM FINANCE. IAPD ↗foreign
$2.21B RAUM · 19 reps · +41 22 552 83 00 · business.google.com
Marketing & brandCRM
headcount up — 22 Advisory representative count grew materially (>=20% or >=5 reps).
77
RUBINBROWN ADVISORS LLC grew from 21 to 28 advisory reps. IAPD ↗
$3.86B RAUM · 28 reps · 314-290-3300 · rubinbrownadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
74
BLEICHROEDER LP grew from 6 to 10 advisory reps. IAPD ↗
$2.43B RAUM · 10 reps · (212) 984-3815 · bleichroederlp.com
CRMRecruiting & transitionsComplianceFinancial planning software
73
ETHIC grew from 10 to 13 advisory reps. IAPD ↗
$10.12B RAUM · 13 reps · (646) 687-6744
CRMRecruiting & transitionsComplianceFinancial planning software
72
ARQ WEALTH ADVISORS, LLC grew from 9 to 11 advisory reps. IAPD ↗
$1.21B RAUM · 11 reps · 480-214-9572 · arqwealth.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
TAMALPAIS ASSET MANAGEMENT grew from 4 to 7 advisory reps. IAPD ↗
$262.5M RAUM · 7 reps · 415-723-8300 · tamalpaisam.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
EMPOWER WEALTH MANAGEMENT grew from 5 to 8 advisory reps. IAPD ↗
$349.3M RAUM · 8 reps · 512-833-6557 · empoweringretirement.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
DESIGNED WEALTH USA LTD. grew from 1 to 7 advisory reps. IAPD ↗
$5.3M RAUM · 7 reps · 416-898-5568 · designedwealth-usa.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
SILVER BIRCH FINANCIAL LLC grew from 1 to 4 advisory reps. IAPD ↗
$399.5M RAUM · 4 reps · (802) 302-5122 · silverbirchfinancial.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
MACDOUGALL FINANCIAL COUNSELING grew from 2 to 4 advisory reps. IAPD ↗
$424.8M RAUM · 4 reps · 724-468-1300
CRMRecruiting & transitionsComplianceFinancial planning software
67
COLUMBIA CAPITAL grew from 13 to 25 advisory reps. IAPD ↗fund
$13.84B RAUM · 25 reps · 703-519-2000 · colcap.com
CRMRecruiting & transitionsComplianceFinancial planning software
67
PACIFIC EXCEL WEALTH ADVISORS, INC. grew from 1 to 3 advisory reps. IAPD ↗
$110.8M RAUM · 3 reps · (925) 464-7445
CRMRecruiting & transitionsComplianceFinancial planning software
67
LUEDTKE & ASSOCIATES LLC grew from 1 to 3 advisory reps. IAPD ↗
$248.2M RAUM · 3 reps · 262-626-4783
CRMRecruiting & transitionsComplianceFinancial planning software
67
MANHATTAN WEALTH MANAGEMENT GROUP grew from 1 to 3 advisory reps. IAPD ↗
$153.1M RAUM · 3 reps · 212-810-6961
CRMRecruiting & transitionsComplianceFinancial planning software
67
CMG WEALTH ADVISORS LLC grew from 1 to 3 advisory reps. IAPD ↗
$138.4M RAUM · 3 reps · 608-897-9265 · cmgwealthadvisors.com
CRMRecruiting & transitionsComplianceFinancial planning software
66
GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC grew from 0 to 6 advisory reps. IAPD ↗institutional
$1.44B RAUM · 6 reps · 2125189542 · guggenheimpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
63
UPLIFT grew from 8 to 16 advisory reps. IAPD ↗fund
$1.08B RAUM · 16 reps · 908-256-4073
CRMRecruiting & transitionsComplianceFinancial planning software
62
STONERIDGE PMG ADVISORS, LLC grew from 2 to 6 advisory reps. IAPD ↗institutional
$774.2M RAUM · 6 reps · 484-254-5400 · srpmga.com
CRMRecruiting & transitionsComplianceFinancial planning software
62
CORGI STRATEGIES, LLC grew from 1 to 5 advisory reps. IAPD ↗institutional
$825.1M RAUM · 5 reps · 855-552-6744 · founderledfunds.com
CRMRecruiting & transitionsComplianceFinancial planning software
62
SKYLAR CAPITAL MANAGEMENT LP grew from 2 to 11 advisory reps. IAPD ↗fund
$437.7M RAUM · 11 reps · (713) 341-7942
CRMRecruiting & transitionsComplianceFinancial planning software
60
DIAMETER CAPITAL PARTNERS LP grew from 62 to 67 advisory reps. IAPD ↗fund
$28.76B RAUM · 67 reps · 212-655-1400 · diametercap.com
CRMRecruiting & transitionsComplianceFinancial planning software
57
PAVAKI CAPITAL MANAGEMENT, LLC grew from 2 to 6 advisory reps. IAPD ↗fund
$410.1M RAUM · 6 reps · 719-542-7223 · spotifyanchor-web.app.link
CRMRecruiting & transitionsComplianceFinancial planning software
55
GLD ADVISORS, LLC grew from 1 to 3 advisory reps. IAPD ↗fund
$257.3M RAUM · 3 reps · 212-257-5790
CRMRecruiting & transitionsComplianceFinancial planning software
aum up — 22 Regulatory AUM up >=25% since last filing.
72
CASTLE ROCK ADVISORS LLC reported RAUM up 62% ($2.38B -> $3.86B). IAPD ↗
$3.86B RAUM · 27 reps · 617-227-0050
Portfolio / reporting / TAMPCRMFinancial planning software
71
PROSPERITY - AN EISNERAMPER COMPANY reported RAUM up 58% ($3.20B -> $5.04B). IAPD ↗
$5.04B RAUM · 60 reps · 410-363-7211 · prosperityconsult.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
MANHATTAN WEALTH MANAGEMENT GROUP reported RAUM up 283% ($40.0M -> $153.1M). IAPD ↗
$153.1M RAUM · 3 reps · 212-810-6961
Portfolio / reporting / TAMPCRMFinancial planning software
70
SAHARA INVESTMENT GROUP reported RAUM up 315% ($52.6M -> $218.1M). IAPD ↗
$218.1M RAUM · 5 reps · 702-907-0005 · saharainvestmentgroup.com
Portfolio / reporting / TAMPCRMFinancial planning software
69
SIMPLIFY ASSET MANAGEMENT INC. reported RAUM up 46% ($9.64B -> $14.05B). IAPD ↗
$14.05B RAUM · 14 reps · 702-389-9705 · simplify.us
Portfolio / reporting / TAMPCRMFinancial planning software
69
WINDWARD MANAGEMENT LP reported RAUM up 73% ($110.5M -> $191.6M). IAPD ↗
$191.6M RAUM · 3 reps · 772-304-4901 · windwardmg.com
Portfolio / reporting / TAMPCRMFinancial planning software
68
ALPHACORE CAPITAL LLC reported RAUM up 44% ($9.03B -> $12.96B). IAPD ↗
$12.96B RAUM · 70 reps · 858-875-4100 · alphacore.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
ETHIC reported RAUM up 29% ($7.82B -> $10.12B). IAPD ↗
$10.12B RAUM · 13 reps · (646) 687-6744
Portfolio / reporting / TAMPCRMFinancial planning software
62
DYNAMIC WEALTH ADVISORS reported RAUM up 38% ($140.1M -> $193.3M). IAPD ↗
$193.3M RAUM · 4 reps · 623-466-6060 · dynamicwealthmgt.com
Portfolio / reporting / TAMPCRMFinancial planning software
61
MH & ASSOCIATES SECURITIES MANAGEMENT CORPORATION reported RAUM up 33% ($150.5M -> $200.2M). IAPD ↗
$200.2M RAUM · 3 reps · 626-440-9694 · mhinvestments.net
Portfolio / reporting / TAMPCRMFinancial planning software
61
WALLICK INVESTMENTS, LLC reported RAUM up 33% ($126.5M -> $168.3M). IAPD ↗
$168.3M RAUM · 3 reps · 803-699-9400
Portfolio / reporting / TAMPCRMFinancial planning software
61
NORTHWIND FINANCIAL LLC reported RAUM up 35% ($105.4M -> $142.2M). IAPD ↗
$142.2M RAUM · 2 reps · 541-318-7871 · northwindfinancial.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
NGC FINANCIAL, LLC reported RAUM up 26% ($57.1M -> $71.9M). IAPD ↗
$71.9M RAUM · 1 reps · 718-423-1100 · ngcfinancial.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
DISRUPTIVE TECHNOLOGY ADVISERS LLC reported RAUM up 146% ($3.12B -> $7.68B). IAPD ↗fund
$7.68B RAUM · 3 reps · (214) 668-1536 · disruptive.tech
Portfolio / reporting / TAMPCRMFinancial planning software
55
COLUMBIA CAPITAL reported RAUM up 52% ($9.10B -> $13.84B). IAPD ↗fund
$13.84B RAUM · 25 reps · 703-519-2000 · colcap.com
Portfolio / reporting / TAMPCRMFinancial planning software
55
ARÈNE CAPITAL MANAGEMENT LP reported RAUM up 277% ($13.0M -> $49.1M). IAPD ↗fund
$49.1M RAUM · 4 reps · 646-277-6425
Portfolio / reporting / TAMPCRMFinancial planning software
53
CARRONADE CAPITAL MANAGEMENT, LP reported RAUM up 40% ($3.43B -> $4.82B). IAPD ↗fund
$4.82B RAUM · 8 reps · 203- 485-0880
Portfolio / reporting / TAMPCRMFinancial planning software
48
BRIDGEPORT PARTNERS reported RAUM up 28% ($372.8M -> $476.5M). IAPD ↗fund
$476.5M RAUM · 9 reps · 9736000274 · bgptpartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
48
PARK LANE ADVISORS, LLC reported RAUM up 28% ($623.9M -> $799.0M). IAPD ↗fund
$799.0M RAUM · 4 reps · (205) 383-8782 · tenet-partners.com
Portfolio / reporting / TAMPCRMFinancial planning software
45
MORK CAPITAL MANAGEMENT reported RAUM up 26% ($157.4M -> $198.5M). IAPD ↗fund
$198.5M RAUM · 1 reps · 707-431-1057 · morkcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
45
OCTOPUS ENERGY GENERATION reported RAUM up 84% ($6.40B -> $11.80B). IAPD ↗foreign
$11.80B RAUM · 55 reps · 0808 164 1088
Portfolio / reporting / TAMPCRMFinancial planning software
35
442 CAPITAL PTY LTD reported RAUM up 50% ($150.0M -> $225.0M). IAPD ↗foreign
$225.0M RAUM · 2 reps · 0400 581 801 · 442capital.com.au
Portfolio / reporting / TAMPCRMFinancial planning software
custody started — 21 Firm now reports custody of client assets — surprise exams and controls follow.
70
CAMBIAR INVESTORS, LLC now reports custody of client assets ($636.1M). IAPD ↗
$2.92B RAUM · 8 reps · 888-673-9950 · cambiar.com
ComplianceCustodian
70
ARQ WEALTH ADVISORS, LLC now reports custody of client assets ($739.0M). IAPD ↗
$1.21B RAUM · 11 reps · 480-214-9572 · arqwealth.com
ComplianceCustodian
70
BAKER TILLY WEALTH MANAGEMENT, LLC now reports custody of client assets ($117.7M). IAPD ↗
$5.19B RAUM · 21 reps · 833-761-0673 · bakertilly.com
ComplianceCustodian
70
NEWEDGE ADVISORS now reports custody of client assets ($14.80B). IAPD ↗
$43.21B RAUM · 515 reps · 504-459-4391 · continuitywealth.com
ComplianceCustodian
68
NEW ENGLAND RESEARCH & MANAGEMENT, INC. now reports custody of client assets ($210.7M). IAPD ↗
$337.1M RAUM · 3 reps · 312-212-1704 · nerminc.com
ComplianceCustodian
68
CL WEALTH MANAGEMENT LLC now reports custody of client assets ($369.6M). IAPD ↗
$733.6M RAUM · 39 reps · 212-388-6200 · leadingedgefinancialgroup.com
ComplianceCustodian
68
THREE BEARINGS FIDUCIARY ADVISORS, INC. now reports custody of client assets ($321.0M). IAPD ↗
$350.7M RAUM · 2 reps · 603-926-1775
ComplianceCustodian
68
O'BRIEN INVESTMENT MANAGEMENT, LLC now reports custody of client assets ($132.0M). IAPD ↗
$254.3M RAUM · 2 reps · 310-363-2360 · obrienim.com
ComplianceCustodian
68
SANDS CAPITAL HORIZONS, LLC now reports custody of client assets ($346.7M). IAPD ↗
$466.9M RAUM · 4 reps · 703-562-4000 · sandscapital.com
ComplianceCustodian
68
N10° WEALTH now reports custody of client assets ($1.3M). IAPD ↗
$553.1M RAUM · 5 reps · 203-930-2881 · n10wealth.com
ComplianceCustodian
68
WHITEROCK WEALTH DESIGN, LLC now reports custody of client assets ($150.6M). IAPD ↗
$632.9M RAUM · 7 reps · (479) 439-5550 · whiterockwealthdesign.com
ComplianceCustodian
68
VALEN PRIVATE CAPITAL, LLC. now reports custody of client assets ($121.7M). IAPD ↗
$482.6M RAUM · 2 reps · 835-262-8100 · valenpc.com
ComplianceCustodian
65
INTERACTIVE FINANCIAL ADVISORS now reports custody of client assets ($234.8M). IAPD ↗
$240.4M RAUM · 33 reps · 630-472-1300 · someonewhocares.com
ComplianceCustodian
65
COHESION WEALTH MANAGEMENT, LLC now reports custody of client assets ($20.1M). IAPD ↗
$171.0M RAUM · 3 reps · 303-442-3670 · cohesionwm.com
ComplianceCustodian
65
INTELLICAPITAL ADVISORS LLC now reports custody of client assets ($9.2M). IAPD ↗
$116.3M RAUM · 2 reps · 866-438-1958 · opensea.io
ComplianceCustodian
65
SCHAMBERGER, GREYLAK & UTTERBACK WEALTH MANAGEMENT, LLC now reports custody of client assets ($71.6M). IAPD ↗
$236.4M RAUM · 5 reps · 608-784-9100
ComplianceCustodian
65
VIRTUS FINANCIAL PARTNERS now reports custody of client assets ($35.2M). IAPD ↗
$152.5M RAUM · 3 reps · 407-267-8445
ComplianceCustodian
65
LUEDTKE & ASSOCIATES LLC now reports custody of client assets ($63.6M). IAPD ↗
$248.2M RAUM · 3 reps · 262-626-4783
ComplianceCustodian
65
NEARSIDE ADVISORS, LLC now reports custody of client assets ($10.3M). IAPD ↗
$188.6M RAUM · 3 reps · 317-610-6650 · nearsideadvisors.com
ComplianceCustodian
53
GLD ADVISORS, LLC now reports custody of client assets ($257.3M). IAPD ↗fund
$257.3M RAUM · 3 reps · 212-257-5790
ComplianceCustodian
53
SKYLAR CAPITAL MANAGEMENT LP now reports custody of client assets ($875.0M). IAPD ↗fund
$437.7M RAUM · 11 reps · (713) 341-7942
ComplianceCustodian
website changed — 18 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
DINUZZO PRIVATE WEALTH, INC. changed its website from dinuzzo.com to dinuzzofamilyoffice.com. IAPD ↗
$1.18B RAUM · 8 reps · 724-728-6564 · dinuzzofamilyoffice.com
Marketing & brand
30
VAN HULZEN FINANCIAL ADVISORS changed its website from vanhulzenadvisors.com to vaminstituional.com. IAPD ↗
$2.14B RAUM · 16 reps · (916) 608-4284 · vaminstituional.com
Marketing & brand
30
THEPARTNERS WEALTH MANAGEMENT changed its website from oceanpointefg.com to thepartnersfinancialsolutions.com. IAPD ↗
$1.18B RAUM · 36 reps · 800-324-3010 · thepartnersfinancialsolutions.com
Marketing & brand
30
TITLEIST ASSET MANAGEMENT, LLC changed its website from highpoint-wealth.com to visionbasedplanning.com. IAPD ↗
$2.66B RAUM · 25 reps · 210-826-2424 · visionbasedplanning.com
Marketing & brand
28
TRUE WAVE FINANCIAL PLANNERS changed its website from truewavewealth.com to truewavefinancial.com. IAPD ↗
$456.5M RAUM · 3 reps · 916-921-9220 · truewavefinancial.com
Marketing & brand
28
ADVISORY SOLUTIONS GROUP changed its website from advisorysolutions.com to oakandvinewm.com. IAPD ↗
$408.4M RAUM · 33 reps · 763-417-1700 · oakandvinewm.com
Marketing & brand
25
CAROTA WEALTH MANAGEMENT changed its website from brandywinefinancialgroup.com to carotawealth.com. IAPD ↗
$135.0M RAUM · 2 reps · 610-828-1155 · carotawealth.com
Marketing & brand
25
ALLEN CAPITAL MANAGEMENT, LLC changed its website from allencapital.com to allentrust.com. IAPD ↗
$200.0M RAUM · 2 reps · 503-292-1041 · allentrust.com
Marketing & brand
25
SECURE INVESTMENT MANAGEMENT, LLC changed its website from secureinvestmentmanagement.com to jlbfinancialinc.com. IAPD ↗
$42.9M RAUM · 20 reps · 520-333-4719 · jlbfinancialinc.com
Marketing & brand
25
CAPSTONE INVESTMENT GROUP changed its website from wisdomanddiscipline.com to yourcapstone.com. IAPD ↗
$176.4M RAUM · 7 reps · 360-570-9888 · yourcapstone.com
Marketing & brand
25
COMPASS WEALTH changed its website from crsretirement.com to compasswealth.com. IAPD ↗
$111.9M RAUM · 7 reps · 314-373-1598 · compasswealth.com
Marketing & brand
25
SMARTPATH ADVISORS changed its website from getfrank.com to smartpathadvisors.co. IAPD ↗
$0 RAUM · 7 reps · (678) 538-9420 · smartpathadvisors.co
Marketing & brand
25
THE WEALTHPLAN LLC changed its website from indyfin.com to thewealthplan.com. IAPD ↗
$87.5M RAUM · 1 reps · 516-400-7111 · thewealthplan.com
Marketing & brand
25
FINN changed its website from getfinvest.com to getfinn.us. IAPD ↗
$4.1M RAUM · 1 reps · 6188233733 · getfinn.us
Marketing & brand
25
BREITER WEALTH MANAGEMENT, LLC changed its website from breiterwealthmanagement.com to breiterwealth.com. IAPD ↗
$72.3M RAUM · 2 reps · 636-373-9300 · breiterwealth.com
Marketing & brand
15
TRUEHELM, LLC changed its website from ttcapitalpartners.com to truehelm.com. IAPD ↗fund
$1.28B RAUM · 5 reps · 952-540-4500 · truehelm.com
Marketing & brand
15
TIFIN GIVE changed its website from tifin.com to tifingive.com. IAPD ↗institutional
$30.9M RAUM · 2 reps · 646 389-0402 · tifingive.com
Marketing & brand
10
SPRING LAKE EQUITY GP LLC changed its website from springlakeequitypartners.com to springlep.com. IAPD ↗fund
$179.2M RAUM · 2 reps · 617 391 6341 · springlep.com
Marketing & brand
disclosure added — 16 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 2 (210 -> 212). IAPD ↗
$197.53B RAUM · 3079 reps · 314-342-2000 · thumbcoastfinancial.com
ComplianceMarketing & brand
55
UBS FINANCIAL SERVICES INC.'s Item 11 disclosure-reporting entries rose by 3 (1081 -> 1084). IAPD ↗
$915.79B RAUM · 9149 reps · 201-352-3000 · instragram.com
ComplianceMarketing & brand
55
OSAIC WEALTH, INC.'s Item 11 disclosure-reporting entries rose by 10 (116 -> 126). IAPD ↗
$234.86B RAUM · 7143 reps · 800-821-5100 · dianacurran.net
ComplianceMarketing & brand
55
RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 4 (159 -> 163). IAPD ↗
$310.43B RAUM · 5908 reps · 212-858-7000 · us.rbcwealthmanagement.com
ComplianceMarketing & brand
55
VANGUARD ADVISERS, INC.'s Item 11 disclosure-reporting entries rose by 2 (114 -> 116). IAPD ↗
$344.62B RAUM · 1903 reps · 610-669-1000
ComplianceMarketing & brand
55
HARVEY INVESTMENT COMPANY, LLC's Item 11 disclosure-reporting entries rose by 1 (8 -> 9). IAPD ↗
$1.03B RAUM · 4 reps · 502-339-8270 · harveyinvestment.com
ComplianceMarketing & brand
55
INTEGRATED ADVISORS NETWORK LLC's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗
$5.52B RAUM · 81 reps · 855-729-4222
ComplianceMarketing & brand
55
SIMPLIFY ASSET MANAGEMENT INC.'s Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$14.05B RAUM · 14 reps · 702-389-9705 · simplify.us
ComplianceMarketing & brand
55
TANARA WEALTH MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$1.09B RAUM · 5 reps · 801-653-0564 · tanarawm.com
ComplianceMarketing & brand
50
MUTUAL OF OMAHA INVESTOR SERVICES, INC.'s Item 11 disclosure-reporting entries rose by 2 (25 -> 27). IAPD ↗
$32.0M RAUM · 285 reps · 402-351-3102 · mutualofomaha.com
ComplianceMarketing & brand
50
UNION CAPITAL COMPANY's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
$150.0M RAUM · 11 reps · 520-664-2001 · unioncapital.com
ComplianceMarketing & brand
40
NOMURA SECURITIES INTERNATIONAL, INC.'s Item 11 disclosure-reporting entries rose by 2 (131 -> 133). IAPD ↗institutional
$0 RAUM · 14 reps · 212-667-9000 · nomura.com
ComplianceMarketing & brand
40
ADVENT INTERNATIONAL, L.P.'s Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$91.63B RAUM · 103 reps · 617-951-9400 · adventinternational.co
ComplianceMarketing & brand
40
INSTITUTIONAL SHAREHOLDER SERVICES INC.'s Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗institutional
$0 RAUM · 1762 reps · 301-556-0500 · protectshareholders.com
ComplianceMarketing & brand
40
MADISON AVENUE SOLUTIONS, LLC's Item 11 disclosure-reporting entries rose by 1 (8 -> 9). IAPD ↗fund
$2.06B RAUM · 0 reps · 312-962-3800 · hightoweradvisors.com
ComplianceMarketing & brand
25
UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD's Item 11 disclosure-reporting entries rose by 2 (58 -> 60). IAPD ↗foreign
$11.05B RAUM · 0 reps · +44 20 7888 8888 · ubs.com
ComplianceMarketing & brand
headcount down — 13 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
NOTTINGHAM ADVISORS INC. shrank from 9 to 7 advisory reps. IAPD ↗
$1.43B RAUM · 7 reps · 716-633-3800 · yelp.com
Recruiting & transitionsM&A & valuation
55
TEAMWORK FINANCIAL ADVISORS, LLC shrank from 14 to 11 advisory reps. IAPD ↗
$1.01B RAUM · 11 reps · 210-687-1333 · teamworkfinancial.com
Recruiting & transitionsM&A & valuation
55
VENTURI PRIVATE WEALTH shrank from 19 to 12 advisory reps. IAPD ↗
$3.58B RAUM · 12 reps · 208-368-9600 · venturiwealth.com
Recruiting & transitionsM&A & valuation
55
FAITHWARD CAPITAL shrank from 3 to 1 advisory reps. IAPD ↗
$1.18B RAUM · 1 reps · (844) 970-4055 · sevenonesevencapital.com
Recruiting & transitionsM&A & valuation
53
LAS OLAS CAPITAL ADVISORS, LLC shrank from 7 to 4 advisory reps. IAPD ↗
$267.2M RAUM · 4 reps · 954-289-4692
Recruiting & transitionsM&A & valuation
53
RICHMOND INVESTMENT SERVICES LLC shrank from 14 to 11 advisory reps. IAPD ↗
$453.2M RAUM · 11 reps · 262-242-4200
Recruiting & transitionsM&A & valuation
53
LAS OLAS CAPITAL WEALTH LLC shrank from 6 to 4 advisory reps. IAPD ↗
$269.1M RAUM · 4 reps · 954 289 4692 · lasolascap.com
Recruiting & transitionsM&A & valuation
50
INTEGRATED FINANCIAL STRATEGIES, LLC shrank from 5 to 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 954-526-8339
Recruiting & transitionsM&A & valuation
50
SOONER PRIVATE FINANCIAL LLC shrank from 3 to 1 advisory reps. IAPD ↗
$9.0M RAUM · 1 reps · 603-321-6531
Recruiting & transitionsM&A & valuation
45
MERK INVESTMENTS LLC shrank from 5 to 3 advisory reps. IAPD ↗institutional
$2.54B RAUM · 3 reps · 650-323-4341
Recruiting & transitionsM&A & valuation
40
PETERSON PARTNERS shrank from 27 to 20 advisory reps. IAPD ↗fund
$2.63B RAUM · 20 reps · 801-417-0748 · petersonpartners.com
Recruiting & transitionsM&A & valuation
38
AETHON ENERGY MANAGEMENT shrank from 14 to 7 advisory reps. IAPD ↗fund
$700.1M RAUM · 7 reps · 214-750-3820
Recruiting & transitionsM&A & valuation
38
DEEPWATER ASSET MANAGEMENT, LLC shrank from 8 to 5 advisory reps. IAPD ↗fund
$566.5M RAUM · 5 reps · 612-424-1393
Recruiting & transitionsM&A & valuation
private funds started — 10 Firm reports private funds for the first time.
75
CAMBIAR INVESTORS, LLC now reports 1 private fund(s) ($318.0M gross). IAPD ↗
$2.92B RAUM · 8 reps · 888-673-9950 · cambiar.com
Fund administrationCompliance
75
WALDRON PRIVATE WEALTH now reports 1 private fund(s) ($0 gross). IAPD ↗
$5.50B RAUM · 47 reps · 412-221-1005
Fund administrationCompliance
73
FOUNDER FAMILY FINANCIAL, LLC now reports 3 private fund(s) ($1.6M gross). IAPD ↗
$321.0M RAUM · 1 reps · 843-621-0435
Fund administrationCompliance
70
AHARA ADVISORS now reports 1 private fund(s) ($2.9M gross). IAPD ↗
$185.4M RAUM · 2 reps · 412-908-0844
Fund administrationCompliance
70
MUSEUM MILE FUNDS LLC now reports 1 private fund(s) ($0 gross). IAPD ↗
$26.9M RAUM · 1 reps · 646-580-8330
Fund administrationCompliance
70
CHILDRESS & CO LLC now reports 2 private fund(s) ($58.9M gross). IAPD ↗
$120.3M RAUM · 1 reps · 307-734-7141
Fund administrationCompliance
60
CVC ADVISORS (U.S.) INC. now reports 1 private fund(s) ($213.7M gross). IAPD ↗fund
$25.56B RAUM · 54 reps · +1 212-265-6222
Fund administrationCompliance
58
PARK LANE ADVISORS, LLC now reports 3 private fund(s) ($49.4M gross). IAPD ↗fund
$799.0M RAUM · 4 reps · (205) 383-8782 · tenet-partners.com
Fund administrationCompliance
58
GLD ADVISORS, LLC now reports 1 private fund(s) ($257.3M gross). IAPD ↗fund
$257.3M RAUM · 3 reps · 212-257-5790
Fund administrationCompliance
58
SKYLAR CAPITAL MANAGEMENT LP now reports 2 private fund(s) ($437.5M gross). IAPD ↗fund
$437.7M RAUM · 11 reps · (713) 341-7942
Fund administrationCompliance
aum crossed 1b — 8 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
OLIVER LUXXE ASSETS LLC crossed $1B in regulatory AUM ($981.9M -> $1.00B). IAPD ↗
$1.00B RAUM · 6 reps · 908-741-4884 · oliverluxxe.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
XYPN SAPPHIRE crossed $1B in regulatory AUM ($881.5M -> $1.25B). IAPD ↗
$1.25B RAUM · 60 reps · (360) 301-7579 · deltalakewm.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
FAITHWARD CAPITAL crossed $1B in regulatory AUM ($922.7M -> $1.18B). IAPD ↗
$1.18B RAUM · 1 reps · (844) 970-4055 · sevenonesevencapital.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
BOS ASSET MANAGEMENT, LLC crossed $1B in regulatory AUM ($933.2M -> $1.03B). IAPD ↗
$1.03B RAUM · 8 reps · 833-943-8090 · bosassetmanagement.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
FOGUTH WEALTH MANAGEMENT, LLC. crossed $1B in regulatory AUM ($825.1M -> $1.07B). IAPD ↗
$1.07B RAUM · 32 reps · (810) 522-5650
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
ELYXIUM WEALTH LLC crossed $1B in regulatory AUM ($819.0M -> $1.39B). IAPD ↗
$1.39B RAUM · 7 reps · (310) 221-8349*224 · elyxwealth.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
SATOR GROVE MANAGEMENT COMPANY, LLC crossed $1B in regulatory AUM ($903.9M -> $1.05B). IAPD ↗fund
$1.05B RAUM · 3 reps · 574-329-3054
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
UPLIFT crossed $1B in regulatory AUM ($230.5M -> $1.08B). IAPD ↗fund
$1.08B RAUM · 16 reps · 908-256-4073
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
planning clients up — 7 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
73
SILVER BIRCH FINANCIAL LLC reports 101-250 financial-planning clients, up from 0. IAPD ↗
$399.5M RAUM · 4 reps · (802) 302-5122 · silverbirchfinancial.com
Financial planning software
70
AWAKEN WEALTH PARTNERS LLC reports 101-250 financial-planning clients, up from 0. IAPD ↗
$237.3M RAUM · 4 reps · 281-358-0134 · awakenwealthpartners.com
Financial planning software
70
NEARSIDE ADVISORS, LLC reports 101-250 financial-planning clients, up from 0. IAPD ↗
$188.6M RAUM · 3 reps · 317-610-6650 · nearsideadvisors.com
Financial planning software
70
LIBERTY FORGE LLC reports 51-100 financial-planning clients, up from 0. IAPD ↗
$250.8M RAUM · 5 reps · (617) 239-9340 · civicfinancial.com
Financial planning software
63
ARQ WEALTH ADVISORS, LLC reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
$1.21B RAUM · 11 reps · 480-214-9572 · arqwealth.com
Financial planning software
61
BIG INVESTMENT SERVICES reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
$425.4M RAUM · 4 reps · 302-734-7526
Financial planning software
58
NOW ASSET MANAGEMENT LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$39.8M RAUM · 2 reps · +1-914-901-1040
Financial planning software
aum down — 7 Regulatory AUM down >=25% since last filing.
48
WAYPOINT WEALTH COUNSEL LLC reported RAUM down 47% ($824.3M -> $433.3M). IAPD ↗
$433.3M RAUM · 3 reps · 404-955-7481 · waypointwc.com
M&A & valuationRecruiting & transitions
48
TSFG, LLC reported RAUM down 36% ($997.2M -> $642.8M). IAPD ↗
$642.8M RAUM · 6 reps · 847-735-7100
M&A & valuationRecruiting & transitions
48
LAS OLAS CAPITAL ADVISORS, LLC reported RAUM down 52% ($551.9M -> $267.2M). IAPD ↗
$267.2M RAUM · 4 reps · 954-289-4692
M&A & valuationRecruiting & transitions
45
PENSERRA GLOBAL INVESTORS LLC reported RAUM down 100% ($96.2M -> $2). IAPD ↗
$2 RAUM · 10 reps · 800-456-8850 · penserra.com
M&A & valuationRecruiting & transitions
45
MFT WEALTH MANAGEMENT reported RAUM down 78% ($136.3M -> $30.6M). IAPD ↗
$30.6M RAUM · 1 reps · 617-800-7922
M&A & valuationRecruiting & transitions
40
MERK INVESTMENTS LLC reported RAUM down 32% ($3.71B -> $2.54B). IAPD ↗institutional
$2.54B RAUM · 3 reps · 650-323-4341
M&A & valuationRecruiting & transitions
35
RICHARD BERNSTEIN ADVISORS LLC reported RAUM down 95% ($3.79B -> $180.8M). IAPD ↗institutional
$180.8M RAUM · 7 reps · 212-692-4000 · rbadvisors.com
M&A & valuationRecruiting & transitions
reorganization — 5 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
45
GREYCOURT & CO., INC. filed an Item 4A succession naming GREYCOURT & CO., INC. (CRD 111936) — an entity change, not a deal. IAPD ↗
$6.61B RAUM · 19 reps · 412-361-0100
Integration & migration consultingCompliance
45
FINACCESS ADVISORS LLC filed an Item 4A succession naming FINACCESS GLOBAL WEALTH & ASSET MANAGEMENT, LLC (CRD 150697) — an entity change, not a deal. IAPD ↗
$4.11B RAUM · 7 reps · 305.377.1112
Integration & migration consultingCompliance
45
FALCON WEALTH PLANNING, INC. filed an Item 4A succession naming FALCON WEALTH PLANNING, INC. (CRD 174092) — an entity change, not a deal. IAPD ↗
$1.96B RAUM · 23 reps · 855-963-2526
Integration & migration consultingCompliance
43
SMART MONEY GROUP, LLC filed an Item 4A succession naming SMART MONEY GROUP, LLC (CRD 284187) — an entity change, not a deal. IAPD ↗
$424.3M RAUM · 9 reps · 254-629-3866
Integration & migration consultingCompliance
30
TRIBE CAPITAL filed an Item 4A succession naming TRIBE CAPITAL (CRD 304697) — an entity change, not a deal. IAPD ↗fund
$3.44B RAUM · 10 reps · (707) 653-5302
Integration & migration consultingCompliance
aum crossed 500m — 4 Regulatory AUM crossed $500M.
70
CROWN WEALTH GROUP LLC crossed $500M in regulatory AUM ($437.5M -> $502.4M). IAPD ↗
$502.4M RAUM · 8 reps · (704) 360-3995 · crownwealthgroup.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
60
STONERIDGE PMG ADVISORS, LLC crossed $500M in regulatory AUM ($390.7M -> $774.2M). IAPD ↗institutional
$774.2M RAUM · 6 reps · 484-254-5400 · srpmga.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
60
CORGI STRATEGIES, LLC crossed $500M in regulatory AUM ($10.0M -> $825.1M). IAPD ↗institutional
$825.1M RAUM · 5 reps · 855-552-6744 · founderledfunds.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
10 EAST PARTNERS LLC crossed $500M in regulatory AUM ($490.3M -> $602.7M). IAPD ↗fund
$602.7M RAUM · 7 reps · (646) 532-2440 · app.10east.co
Portfolio / reporting / TAMPCRMIntegration & migration consulting
planning started — 3 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
80
TD PRIVATE CLIENT WEALTH LLC now offers financial planning (Item 5G(1)). IAPD ↗
$8.57B RAUM · 482 reps · 877-703-9896 · td.com
Financial planning softwareCRM
78
RF&L WEALTH MANAGEMENT, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$381.1M RAUM · 3 reps · 978-263-3435
Financial planning softwareCRM
75
EVOLUTION VISION WEALTH MANAGEMENT now offers financial planning (Item 5G(1)). IAPD ↗
$65.4M RAUM · 2 reps · (800) 810-5410 · evolutionvisionwm.com
Financial planning softwareCRM
acquisition — 2 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.
95
VENTURI PRIVATE WEALTH filed an Item 4A succession naming THE CAPROCK GROUP, LLC (CRD 124272) — one firm absorbed the other. IAPD ↗
$3.58B RAUM · 12 reps · 208-368-9600 · venturiwealth.com
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
90
IQVESTMENT, LLC filed an Item 4A succession naming MARSTONE LLC (CRD 164810) — one firm absorbed the other. IAPD ↗
$22.3M RAUM · 3 reps · 877-486-4702 · iqvestment.io
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
wrap program started — 2 Firm began participating in a wrap-fee program (Item 5I(1)).
60
GUDORF FINANCIAL GROUP, LLC began participating in a wrap-fee program. IAPD ↗
$121.1M RAUM · 2 reps · (937) 898-5430 · gudorffinancial.com
Portfolio / reporting / TAMPCompliance
60
CMG WEALTH ADVISORS LLC began participating in a wrap-fee program. IAPD ↗
$138.4M RAUM · 3 reps · 608-897-9265 · cmgwealthadvisors.com
Portfolio / reporting / TAMPCompliance

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