← Tributary

What changed in the October 2026 SEC adviser roster

970 events across 813 firms · 725 at US wealth-management firms · source: SEC Form ADV monthly roster · generated 2026-10-05

285state expansion
134new registration
128new office
73deregistered
46aum up
41disclosure added
39headcount up
35relocation
33pending approved
26rename
26website changed
21custody started

Top 25 signals — US wealth firms

100
WILLOW RUN ADVISORS (NEW YORK, NY) is newly SEC-registered with $2.20B RAUM and 5 advisory reps. IAPD ↗
$2.20B RAUM · 5 reps · 646-600-8059
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HERNDON PLANT OAKLEY LTD (CORPUS CHRISTI, TX) is newly SEC-registered with $155.4M RAUM and 2 advisory reps. IAPD ↗
$155.4M RAUM · 2 reps · 361-888-7611 · hpo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JOHNSTON INVESTMENT COUNSEL, LTD. (PEORIA, IL) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗
$125.0M RAUM · 1 reps · 309-674-3330
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PTS BROKERAGE, LLC (MT. LAUREL, NJ) is newly SEC-registered with $131.7M RAUM and 14 advisory reps. IAPD ↗
$131.7M RAUM · 14 reps · 856-802-9400 · ptsbrokerage.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TIDMORE RETIREMENT PLANNING SPECIALISTS (BEACHWOOD, OH) is newly SEC-registered with $112.9M RAUM and 2 advisory reps. IAPD ↗
$112.9M RAUM · 2 reps · 440-498-1396
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEGACY PARTNERS FINANCIAL GROUP, LLC (WOODSTOCK, GA) is newly SEC-registered with $107.6M RAUM and 10 advisory reps. IAPD ↗
$107.6M RAUM · 10 reps · 678 388-2233 · mylpfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRAVER FINANCIAL CONSULTING NETWORK PA (LAKEWOOD RANCH, FL) is newly SEC-registered with $121.7M RAUM and 1 advisory reps. IAPD ↗
$121.7M RAUM · 1 reps · 917-576-0308
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIVE OAK FAMILY OFFICES LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (614) 266-8192 · lofollc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MURRAY SECURITIES, INC. (TYLER, TX) is newly SEC-registered with $116.6M RAUM and 1 advisory reps. IAPD ↗
$116.6M RAUM · 1 reps · 903-561-5588 · murraysecuritiesinc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROSSPOINT CAPITAL MANAGEMENT (ORINDA, CA) is newly SEC-registered with $117.0M RAUM and 2 advisory reps. IAPD ↗
$117.0M RAUM · 2 reps · 415-949-1443
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAGLE FINANCIAL ADVISORS, LLC (FRISCO, TX) is newly SEC-registered with $113.1M RAUM and 9 advisory reps. IAPD ↗
$113.1M RAUM · 9 reps · 800-994-1317 · eaglefinancialadvisors.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KUHN WEALTH MANAGEMENT INC. (SCHAUMBURG, IL) is newly SEC-registered with $150.8M RAUM and 3 advisory reps. IAPD ↗
$150.8M RAUM · 3 reps · (847) 607-4976 · kuhnwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KROEGER FINANCIAL PARTNERS (GRASS VALLEY, CA) is newly SEC-registered with $111.1M RAUM and 2 advisory reps. IAPD ↗
$111.1M RAUM · 2 reps · 530-478-9734 · kroegerfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CRAFTED FINANCE, LLC (location n/a) is newly SEC-registered with $102.9M RAUM and 1 advisory reps. IAPD ↗
$102.9M RAUM · 1 reps · (650) 336-0598
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CS TOMASI WEALTH MANAGEMENT (COSTA MESA, CA) is newly SEC-registered with $110.3M RAUM and 6 advisory reps. IAPD ↗
$110.3M RAUM · 6 reps · (562) 494-4668
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ASK CAPITAL INVESTMENT MANAGERS (AMARILLO, TX) is newly SEC-registered with $110.4M RAUM and 2 advisory reps. IAPD ↗
$110.4M RAUM · 2 reps · 806-322-7526
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BURLINGAME WEALTH MANAGEMENT, LLC (BURLINGAME, CA) is newly SEC-registered with $129.4M RAUM and 1 advisory reps. IAPD ↗
$129.4M RAUM · 1 reps · 6505972400 · burlingamewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EXOS ASSET MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $682,181 RAUM and 8 advisory reps. IAPD ↗
$682,181 RAUM · 8 reps · (646) 814-0996
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE ANCHOR WEALTH ADVISORS, LLC (KETCHIKAN, AK) is newly SEC-registered with $144.2M RAUM and 6 advisory reps. IAPD ↗
$144.2M RAUM · 6 reps · (907) 225-6110 · blueanchorwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ENDEAVOR ADVISORS LLC (PHOENIX, AZ) is newly SEC-registered with $114.4M RAUM and 4 advisory reps. IAPD ↗
$114.4M RAUM · 4 reps · 480-550-8316 · endeavoradvisorsllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DIVERSIFIED WEALTH ADVISORS, LLC (KANSAS CITY, MO) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
$138.0M RAUM · 3 reps · 816-984-8620 · diversifiedsolutionsllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALMEGA WEALTH MANAGEMENT (SCOTTSDALE, AZ) is newly SEC-registered with $134.3M RAUM and 4 advisory reps. IAPD ↗
$134.3M RAUM · 4 reps · 480-770-4700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WILLIS TOWERS WATSON SECURITIES, LLC (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 516-375-0126 · viaretirement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KNECHT CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered with $116.0M RAUM and 1 advisory reps. IAPD ↗
$116.0M RAUM · 1 reps · 707-947-3040 · knechtcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GREEN OCEAN GLOBAL ADVISORS LLC (SAN FRANCISCO, CA) is newly SEC-registered with $114.8M RAUM and 4 advisory reps. IAPD ↗
$114.8M RAUM · 4 reps · (206) 686-1594
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

By buying window

Who should be calling whom this month.

CRM 297 firms

100
WILLOW RUN ADVISORS (NEW YORK, NY) is newly SEC-registered with $2.20B RAUM and 5 advisory reps. IAPD ↗
$2.20B RAUM · 5 reps · 646-600-8059
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HERNDON PLANT OAKLEY LTD (CORPUS CHRISTI, TX) is newly SEC-registered with $155.4M RAUM and 2 advisory reps. IAPD ↗
$155.4M RAUM · 2 reps · 361-888-7611 · hpo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JOHNSTON INVESTMENT COUNSEL, LTD. (PEORIA, IL) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗
$125.0M RAUM · 1 reps · 309-674-3330
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PTS BROKERAGE, LLC (MT. LAUREL, NJ) is newly SEC-registered with $131.7M RAUM and 14 advisory reps. IAPD ↗
$131.7M RAUM · 14 reps · 856-802-9400 · ptsbrokerage.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TIDMORE RETIREMENT PLANNING SPECIALISTS (BEACHWOOD, OH) is newly SEC-registered with $112.9M RAUM and 2 advisory reps. IAPD ↗
$112.9M RAUM · 2 reps · 440-498-1396
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEGACY PARTNERS FINANCIAL GROUP, LLC (WOODSTOCK, GA) is newly SEC-registered with $107.6M RAUM and 10 advisory reps. IAPD ↗
$107.6M RAUM · 10 reps · 678 388-2233 · mylpfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRAVER FINANCIAL CONSULTING NETWORK PA (LAKEWOOD RANCH, FL) is newly SEC-registered with $121.7M RAUM and 1 advisory reps. IAPD ↗
$121.7M RAUM · 1 reps · 917-576-0308
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIVE OAK FAMILY OFFICES LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (614) 266-8192 · lofollc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MURRAY SECURITIES, INC. (TYLER, TX) is newly SEC-registered with $116.6M RAUM and 1 advisory reps. IAPD ↗
$116.6M RAUM · 1 reps · 903-561-5588 · murraysecuritiesinc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROSSPOINT CAPITAL MANAGEMENT (ORINDA, CA) is newly SEC-registered with $117.0M RAUM and 2 advisory reps. IAPD ↗
$117.0M RAUM · 2 reps · 415-949-1443
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 287 more in the CSV export.

Financial planning software 178 firms

100
WILLOW RUN ADVISORS (NEW YORK, NY) is newly SEC-registered with $2.20B RAUM and 5 advisory reps. IAPD ↗
$2.20B RAUM · 5 reps · 646-600-8059
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HERNDON PLANT OAKLEY LTD (CORPUS CHRISTI, TX) is newly SEC-registered with $155.4M RAUM and 2 advisory reps. IAPD ↗
$155.4M RAUM · 2 reps · 361-888-7611 · hpo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JOHNSTON INVESTMENT COUNSEL, LTD. (PEORIA, IL) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗
$125.0M RAUM · 1 reps · 309-674-3330
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PTS BROKERAGE, LLC (MT. LAUREL, NJ) is newly SEC-registered with $131.7M RAUM and 14 advisory reps. IAPD ↗
$131.7M RAUM · 14 reps · 856-802-9400 · ptsbrokerage.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TIDMORE RETIREMENT PLANNING SPECIALISTS (BEACHWOOD, OH) is newly SEC-registered with $112.9M RAUM and 2 advisory reps. IAPD ↗
$112.9M RAUM · 2 reps · 440-498-1396
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEGACY PARTNERS FINANCIAL GROUP, LLC (WOODSTOCK, GA) is newly SEC-registered with $107.6M RAUM and 10 advisory reps. IAPD ↗
$107.6M RAUM · 10 reps · 678 388-2233 · mylpfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRAVER FINANCIAL CONSULTING NETWORK PA (LAKEWOOD RANCH, FL) is newly SEC-registered with $121.7M RAUM and 1 advisory reps. IAPD ↗
$121.7M RAUM · 1 reps · 917-576-0308
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIVE OAK FAMILY OFFICES LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (614) 266-8192 · lofollc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MURRAY SECURITIES, INC. (TYLER, TX) is newly SEC-registered with $116.6M RAUM and 1 advisory reps. IAPD ↗
$116.6M RAUM · 1 reps · 903-561-5588 · murraysecuritiesinc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROSSPOINT CAPITAL MANAGEMENT (ORINDA, CA) is newly SEC-registered with $117.0M RAUM and 2 advisory reps. IAPD ↗
$117.0M RAUM · 2 reps · 415-949-1443
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 168 more in the CSV export.

Compliance 459 firms

100
WILLOW RUN ADVISORS (NEW YORK, NY) is newly SEC-registered with $2.20B RAUM and 5 advisory reps. IAPD ↗
$2.20B RAUM · 5 reps · 646-600-8059
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HERNDON PLANT OAKLEY LTD (CORPUS CHRISTI, TX) is newly SEC-registered with $155.4M RAUM and 2 advisory reps. IAPD ↗
$155.4M RAUM · 2 reps · 361-888-7611 · hpo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JOHNSTON INVESTMENT COUNSEL, LTD. (PEORIA, IL) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗
$125.0M RAUM · 1 reps · 309-674-3330
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PTS BROKERAGE, LLC (MT. LAUREL, NJ) is newly SEC-registered with $131.7M RAUM and 14 advisory reps. IAPD ↗
$131.7M RAUM · 14 reps · 856-802-9400 · ptsbrokerage.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TIDMORE RETIREMENT PLANNING SPECIALISTS (BEACHWOOD, OH) is newly SEC-registered with $112.9M RAUM and 2 advisory reps. IAPD ↗
$112.9M RAUM · 2 reps · 440-498-1396
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEGACY PARTNERS FINANCIAL GROUP, LLC (WOODSTOCK, GA) is newly SEC-registered with $107.6M RAUM and 10 advisory reps. IAPD ↗
$107.6M RAUM · 10 reps · 678 388-2233 · mylpfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRAVER FINANCIAL CONSULTING NETWORK PA (LAKEWOOD RANCH, FL) is newly SEC-registered with $121.7M RAUM and 1 advisory reps. IAPD ↗
$121.7M RAUM · 1 reps · 917-576-0308
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIVE OAK FAMILY OFFICES LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (614) 266-8192 · lofollc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MURRAY SECURITIES, INC. (TYLER, TX) is newly SEC-registered with $116.6M RAUM and 1 advisory reps. IAPD ↗
$116.6M RAUM · 1 reps · 903-561-5588 · murraysecuritiesinc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROSSPOINT CAPITAL MANAGEMENT (ORINDA, CA) is newly SEC-registered with $117.0M RAUM and 2 advisory reps. IAPD ↗
$117.0M RAUM · 2 reps · 415-949-1443
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 449 more in the CSV export.

Portfolio / reporting / TAMP 153 firms

100
WILLOW RUN ADVISORS (NEW YORK, NY) is newly SEC-registered with $2.20B RAUM and 5 advisory reps. IAPD ↗
$2.20B RAUM · 5 reps · 646-600-8059
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HERNDON PLANT OAKLEY LTD (CORPUS CHRISTI, TX) is newly SEC-registered with $155.4M RAUM and 2 advisory reps. IAPD ↗
$155.4M RAUM · 2 reps · 361-888-7611 · hpo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JOHNSTON INVESTMENT COUNSEL, LTD. (PEORIA, IL) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗
$125.0M RAUM · 1 reps · 309-674-3330
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PTS BROKERAGE, LLC (MT. LAUREL, NJ) is newly SEC-registered with $131.7M RAUM and 14 advisory reps. IAPD ↗
$131.7M RAUM · 14 reps · 856-802-9400 · ptsbrokerage.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TIDMORE RETIREMENT PLANNING SPECIALISTS (BEACHWOOD, OH) is newly SEC-registered with $112.9M RAUM and 2 advisory reps. IAPD ↗
$112.9M RAUM · 2 reps · 440-498-1396
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEGACY PARTNERS FINANCIAL GROUP, LLC (WOODSTOCK, GA) is newly SEC-registered with $107.6M RAUM and 10 advisory reps. IAPD ↗
$107.6M RAUM · 10 reps · 678 388-2233 · mylpfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRAVER FINANCIAL CONSULTING NETWORK PA (LAKEWOOD RANCH, FL) is newly SEC-registered with $121.7M RAUM and 1 advisory reps. IAPD ↗
$121.7M RAUM · 1 reps · 917-576-0308
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIVE OAK FAMILY OFFICES LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (614) 266-8192 · lofollc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MURRAY SECURITIES, INC. (TYLER, TX) is newly SEC-registered with $116.6M RAUM and 1 advisory reps. IAPD ↗
$116.6M RAUM · 1 reps · 903-561-5588 · murraysecuritiesinc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROSSPOINT CAPITAL MANAGEMENT (ORINDA, CA) is newly SEC-registered with $117.0M RAUM and 2 advisory reps. IAPD ↗
$117.0M RAUM · 2 reps · 415-949-1443
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 143 more in the CSV export.

Custodian 112 firms

100
WILLOW RUN ADVISORS (NEW YORK, NY) is newly SEC-registered with $2.20B RAUM and 5 advisory reps. IAPD ↗
$2.20B RAUM · 5 reps · 646-600-8059
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HERNDON PLANT OAKLEY LTD (CORPUS CHRISTI, TX) is newly SEC-registered with $155.4M RAUM and 2 advisory reps. IAPD ↗
$155.4M RAUM · 2 reps · 361-888-7611 · hpo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JOHNSTON INVESTMENT COUNSEL, LTD. (PEORIA, IL) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗
$125.0M RAUM · 1 reps · 309-674-3330
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PTS BROKERAGE, LLC (MT. LAUREL, NJ) is newly SEC-registered with $131.7M RAUM and 14 advisory reps. IAPD ↗
$131.7M RAUM · 14 reps · 856-802-9400 · ptsbrokerage.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TIDMORE RETIREMENT PLANNING SPECIALISTS (BEACHWOOD, OH) is newly SEC-registered with $112.9M RAUM and 2 advisory reps. IAPD ↗
$112.9M RAUM · 2 reps · 440-498-1396
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEGACY PARTNERS FINANCIAL GROUP, LLC (WOODSTOCK, GA) is newly SEC-registered with $107.6M RAUM and 10 advisory reps. IAPD ↗
$107.6M RAUM · 10 reps · 678 388-2233 · mylpfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRAVER FINANCIAL CONSULTING NETWORK PA (LAKEWOOD RANCH, FL) is newly SEC-registered with $121.7M RAUM and 1 advisory reps. IAPD ↗
$121.7M RAUM · 1 reps · 917-576-0308
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIVE OAK FAMILY OFFICES LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (614) 266-8192 · lofollc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MURRAY SECURITIES, INC. (TYLER, TX) is newly SEC-registered with $116.6M RAUM and 1 advisory reps. IAPD ↗
$116.6M RAUM · 1 reps · 903-561-5588 · murraysecuritiesinc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROSSPOINT CAPITAL MANAGEMENT (ORINDA, CA) is newly SEC-registered with $117.0M RAUM and 2 advisory reps. IAPD ↗
$117.0M RAUM · 2 reps · 415-949-1443
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 102 more in the CSV export.

Marketing & brand 433 firms

100
WILLOW RUN ADVISORS (NEW YORK, NY) is newly SEC-registered with $2.20B RAUM and 5 advisory reps. IAPD ↗
$2.20B RAUM · 5 reps · 646-600-8059
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HERNDON PLANT OAKLEY LTD (CORPUS CHRISTI, TX) is newly SEC-registered with $155.4M RAUM and 2 advisory reps. IAPD ↗
$155.4M RAUM · 2 reps · 361-888-7611 · hpo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JOHNSTON INVESTMENT COUNSEL, LTD. (PEORIA, IL) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗
$125.0M RAUM · 1 reps · 309-674-3330
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PTS BROKERAGE, LLC (MT. LAUREL, NJ) is newly SEC-registered with $131.7M RAUM and 14 advisory reps. IAPD ↗
$131.7M RAUM · 14 reps · 856-802-9400 · ptsbrokerage.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TIDMORE RETIREMENT PLANNING SPECIALISTS (BEACHWOOD, OH) is newly SEC-registered with $112.9M RAUM and 2 advisory reps. IAPD ↗
$112.9M RAUM · 2 reps · 440-498-1396
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEGACY PARTNERS FINANCIAL GROUP, LLC (WOODSTOCK, GA) is newly SEC-registered with $107.6M RAUM and 10 advisory reps. IAPD ↗
$107.6M RAUM · 10 reps · 678 388-2233 · mylpfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRAVER FINANCIAL CONSULTING NETWORK PA (LAKEWOOD RANCH, FL) is newly SEC-registered with $121.7M RAUM and 1 advisory reps. IAPD ↗
$121.7M RAUM · 1 reps · 917-576-0308
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIVE OAK FAMILY OFFICES LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (614) 266-8192 · lofollc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MURRAY SECURITIES, INC. (TYLER, TX) is newly SEC-registered with $116.6M RAUM and 1 advisory reps. IAPD ↗
$116.6M RAUM · 1 reps · 903-561-5588 · murraysecuritiesinc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROSSPOINT CAPITAL MANAGEMENT (ORINDA, CA) is newly SEC-registered with $117.0M RAUM and 2 advisory reps. IAPD ↗
$117.0M RAUM · 2 reps · 415-949-1443
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

…and 423 more in the CSV export.

Recruiting & transitions 190 firms

85
WEDBUSH SECURITIES INC. grew from 202 to 288 advisory reps. IAPD ↗
$6.75B RAUM · 288 reps · 213-688-8000 · wedbush.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
CAPITAL RESEARCH AND MANAGEMENT COMPANY grew from 393 to 411 advisory reps. IAPD ↗
$4320.75B RAUM · 411 reps · 213-486-9200 · retirementsolutions.financialtrans.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
PRIVATE ADVISOR GROUP, LLC grew from 670 to 885 advisory reps. IAPD ↗
$57.70B RAUM · 885 reps · 973-538-7010
CRMRecruiting & transitionsComplianceFinancial planning software
81
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. grew from 96 to 107 advisory reps. IAPD ↗
$48.37B RAUM · 107 reps · 213-486-9200
CRMRecruiting & transitionsComplianceFinancial planning software
79
XCELSIOR ADVISOR PARTNERS LLC grew from 13 to 22 advisory reps. IAPD ↗
$2.51B RAUM · 22 reps · 480-866-8616 · xcelsiorpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
SIGNATURE EQUITY PARTNERS, LLC grew from 25 to 32 advisory reps. IAPD ↗
$688.1M RAUM · 32 reps · 614-846-6000 · midwestretirementconsultants.net
CRMRecruiting & transitionsComplianceFinancial planning software
74
WPWEALTH LLP grew from 14 to 18 advisory reps. IAPD ↗
$1.17B RAUM · 18 reps · 817-259-9100
CRMRecruiting & transitionsComplianceFinancial planning software
73
345 INVESTMENT ADVISORY, LLC grew from 1 to 6 advisory reps. IAPD ↗
$295.1M RAUM · 6 reps · 480-624-5650
CRMRecruiting & transitionsComplianceFinancial planning software
72
CLARK ASSET MANAGEMENT, LLC grew from 6 to 8 advisory reps. IAPD ↗
$1.32B RAUM · 8 reps · 603-237-1341
CRMRecruiting & transitionsComplianceFinancial planning software
72
SHARPE ADVISORS, LLC grew from 2 to 4 advisory reps. IAPD ↗
$1.23B RAUM · 4 reps · 908-455-0600
CRMRecruiting & transitionsComplianceFinancial planning software

…and 180 more in the CSV export.

Integration & migration consulting 13 firms

85
THE PACIFIC CENTER FOR FINANCIAL SERVICES crossed $1B in regulatory AUM ($960.6M -> $1.10B). IAPD ↗
$1.10B RAUM · 5 reps · (925) 838-7700
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
SUMMA CORP. crossed $1B in regulatory AUM ($587.2M -> $1.59B). IAPD ↗
$1.59B RAUM · 3 reps · 281-362-9977 · summa-wealth.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
M1 ADVISORY crossed $1B in regulatory AUM ($633,573 -> $1.48B). IAPD ↗
$1.48B RAUM · 0 reps · 312-600-2883 · m1.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
MARQUETTE WEALTH MANAGEMENT crossed $1B in regulatory AUM ($871.6M -> $1.07B). IAPD ↗
$1.07B RAUM · 4 reps · 612-661-3770
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
RANGE ADVISORY, LLC crossed $1B in regulatory AUM ($653.9M -> $1.39B). IAPD ↗
$1.39B RAUM · 18 reps · (703) 261-4126
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
MARIDEA WEALTH MANAGEMENT crossed $1B in regulatory AUM ($958.7M -> $1.97B). IAPD ↗
$1.97B RAUM · 26 reps · 347-289-5227
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
XCELSIOR ADVISOR PARTNERS LLC crossed $1B in regulatory AUM ($650.7M -> $2.51B). IAPD ↗
$2.51B RAUM · 22 reps · 480-866-8616 · xcelsiorpartners.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
ALEXANDER INVESTMENT SERVICES CO. crossed $500M in regulatory AUM ($496.3M -> $576.8M). IAPD ↗
$576.8M RAUM · 9 reps · 502-459-4414 · aisretirement.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
QUINT CAPITAL MANAGEMENT crossed $500M in regulatory AUM ($162.1M -> $875.0M). IAPD ↗
$875.0M RAUM · 9 reps · 212-682-5090
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
HMV WEALTH ADVISORS, LLC crossed $500M in regulatory AUM ($464.8M -> $567.4M). IAPD ↗
$567.4M RAUM · 3 reps · 318-517-6255 · hmvwealth.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting

…and 3 more in the CSV export.

Fund administration 3 firms

73
QUINT CAPITAL MANAGEMENT now reports 1 private fund(s) ($1.5M gross). IAPD ↗
$875.0M RAUM · 9 reps · 212-682-5090
Fund administrationCompliance
73
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC now reports 1 private fund(s) ($25.0M gross). IAPD ↗
$706.0M RAUM · 10 reps · 212-417-8247 · empiream.com
Fund administrationCompliance
73
CAYSIDE PARTNERS now reports 1 private fund(s) ($3.0M gross). IAPD ↗
$438.0M RAUM · 4 reps · 561-768-9621
Fund administrationCompliance

Office IT & facilities 134 firms

55
A.G.P / ALLIANCE GLOBAL PARTNERS added office(s): 17 -> 19 additional locations. IAPD ↗
$2.95B RAUM · 144 reps · 800-727-7922 · agplowcountry.com
Office IT & facilitiesCRMRecruiting & transitions
55
PROSPERA FINANCIAL SERVICES, INC. added office(s): 139 -> 149 additional locations. IAPD ↗
$14.39B RAUM · 211 reps · 972-581-3000
Office IT & facilitiesCRMRecruiting & transitions
55
SATURNA CAPITAL CORPORATION added office(s): 0 -> 1 additional locations. IAPD ↗
$10.48B RAUM · 12 reps · 360-734-9900 · saturna.com
Office IT & facilitiesCRMRecruiting & transitions
55
NBT CAPITAL MANAGEMENT, INC. added office(s): 4 -> 5 additional locations. IAPD ↗
$1.61B RAUM · 6 reps · 607-584-4141 · clevelandhauswirth.com
Office IT & facilitiesCRMRecruiting & transitions
55
MELLON INVESTMENTS CORPORATION added office(s): 3 -> 4 additional locations. IAPD ↗
$873.87B RAUM · 61 reps · 617-248-3682
Office IT & facilitiesCRMRecruiting & transitions
55
LEAVELL INVESTMENT MANAGEMENT, INC. added office(s): 6 -> 7 additional locations. IAPD ↗
$3.40B RAUM · 24 reps · 251-433-3709 · leavellinvestments.com
Office IT & facilitiesCRMRecruiting & transitions
55
BAILARD, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$7.56B RAUM · 42 reps · 650-571-5800
Office IT & facilitiesCRMRecruiting & transitions
55
LVM CAPITAL MANAGEMENT LTD added office(s): 1 -> 2 additional locations. IAPD ↗
$1.56B RAUM · 8 reps · 269-321-8120
Office IT & facilitiesCRMRecruiting & transitions
55
ORLEANS CAPITAL MANAGEMENT CORP added office(s): 5 -> 6 additional locations. IAPD ↗
$2.13B RAUM · 6 reps · 504-592-4680 · orleanscapital.com
Office IT & facilitiesCRMRecruiting & transitions
55
COOPER MCMANUS added office(s): 26 -> 29 additional locations. IAPD ↗
$2.85B RAUM · 50 reps · 800-516-5333 · crossfinancial.com
Office IT & facilitiesCRMRecruiting & transitions

…and 124 more in the CSV export.

M&A & valuation 54 firms

65
INGALLS INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $7.83B RAUM, 50 reps). IAPD ↗
$7.83B RAUM · 50 reps · 212-269-7800 · ingalls.net
Recruiting & transitionsM&A & valuation
65
WESTEND ADVISORS, LLC (CHARLOTTE, NC) left the SEC roster (was $1.87B RAUM, 7 reps). IAPD ↗
$1.87B RAUM · 7 reps · 704-556-9300
Recruiting & transitionsM&A & valuation
65
SACHETTA, LLC (LYNNFIELD, MA) left the SEC roster (was $1.00B RAUM, 10 reps). IAPD ↗
$1.00B RAUM · 10 reps · 781-233-4138
Recruiting & transitionsM&A & valuation
65
STILLWATER CAPITAL ADVISORS, LLC (DEVON, PA) left the SEC roster (was $1.34B RAUM, 4 reps). IAPD ↗
$1.34B RAUM · 4 reps · 610-848-6760 · stillwateradv.com
Recruiting & transitionsM&A & valuation
65
MOTLEY FOOL WEALTH MANAGEMENT, LLC (ALEXANDRIA, VA) left the SEC roster (was $1.60B RAUM, 28 reps). IAPD ↗
$1.60B RAUM · 28 reps · 844-408-4390
Recruiting & transitionsM&A & valuation
65
WEALTHSHIELD PARTNERS, LLC (CARY, NC) left the SEC roster (was $1.27B RAUM, 13 reps). IAPD ↗
$1.27B RAUM · 13 reps · 919-948-4453 · madisonoakswp.com
Recruiting & transitionsM&A & valuation
65
U.S. CAPITAL WEALTH ADVISORS, LLC (HOUSTON, TX) left the SEC roster (was $8.76B RAUM, 71 reps). IAPD ↗
$8.76B RAUM · 71 reps · 713-366-0500
Recruiting & transitionsM&A & valuation
65
EVOKE ADVISORS (LOS ANGELES, CA) left the SEC roster (was $17.29B RAUM, 25 reps). IAPD ↗
$17.29B RAUM · 25 reps · 424-372-1776 · mai.capital.evoke-advisors
Recruiting & transitionsM&A & valuation
65
SAGE TRADING COLLECTIVE (location n/a) left the SEC roster (was $1.22B RAUM, 2 reps). IAPD ↗
$1.22B RAUM · 2 reps · 419-350-8981 · sagetradingcollective.com
Recruiting & transitionsM&A & valuation
63
BRAVE FAMILY ADVISORS (SUMMIT, NJ) left the SEC roster (was $624.3M RAUM, 5 reps). IAPD ↗
$624.3M RAUM · 5 reps · 908-522-8822
Recruiting & transitionsM&A & valuation

…and 44 more in the CSV export.

Everything else — all segments

state expansion — 285 Notice-filed in new state(s): the firm is taking clients somewhere new.
55
J.J. BURNS & COMPANY notice-filed in AZ, LA, MD, TN, VA. IAPD ↗
$1.25B RAUM · 8 reps · 631-390-0500
ComplianceMarketing & brand
55
XCELSIOR ADVISOR PARTNERS LLC notice-filed in AL, DE, KS, MD, NM, OR, SC. IAPD ↗
$2.51B RAUM · 22 reps · 480-866-8616 · xcelsiorpartners.com
ComplianceMarketing & brand
53
MCGOWAN GROUP ASSET MANAGEMENT, INC. notice-filed in MO, NC, TN, WA. IAPD ↗
$1.08B RAUM · 5 reps · 214-720-4400
ComplianceMarketing & brand
53
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC notice-filed in AL, AR, IL, MI, NC, NY, OR, SC, WA. IAPD ↗
$931.8M RAUM · 31 reps · 913-295-9500
ComplianceMarketing & brand
51
STALEY CAPITAL ADVISERS INC notice-filed in CO, OH, VA. IAPD ↗
$3.11B RAUM · 10 reps · 412-394-1292
ComplianceMarketing & brand
51
SMITH SALLEY WEALTH MANAGEMENT notice-filed in CO, IL, PA. IAPD ↗
$2.89B RAUM · 15 reps · 336-379-7556 · smith-salley.com
ComplianceMarketing & brand
51
BECK BODE LLC notice-filed in IN, NV, TN, WA. IAPD ↗
$666.4M RAUM · 16 reps · 617-209-2224
ComplianceMarketing & brand
51
INLIGHT WEALTH notice-filed in MI, NJ, SC, WA. IAPD ↗
$843.3M RAUM · 3 reps · 404-551-2808
ComplianceMarketing & brand
51
VESTGEN ADVISORS, LLC notice-filed in ME, NE, VT. IAPD ↗
$6.67B RAUM · 58 reps · 312-237-4446
ComplianceMarketing & brand
51
PARKWOODS WEALTH PARTNERS, LLC notice-filed in CO, IL, MI. IAPD ↗
$1.79B RAUM · 24 reps · (877) 278-2716 · parkwoods.com
ComplianceMarketing & brand
51
LIFEWISE WEALTH ADVISORS notice-filed in FL, IN, MO, TX. IAPD ↗
$491.9M RAUM · 6 reps · 217 351 8755 · lifewisewealth.com
ComplianceMarketing & brand
50
WEALTHRAMP, INC. notice-filed in AK, AL, AR, AZ, CO, CT, DC, DE, FL, GA, HI, IA, ID, IN, KS, KY, MD, ME, MI, MN, MO, MS, MT, NC, ND, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, UT, VA, VT, WI, WV, WY. IAPD ↗
$0 RAUM · 2 reps · (877) 260-9545 · wealthramp.com
ComplianceMarketing & brand
50
KINGDOM LEGACY ADVISORS notice-filed in AZ, CA, FL, LA, NE, TX. IAPD ↗
$196.5M RAUM · 1 reps · (952) 697-2225 · kingdomlegacyadv.com
ComplianceMarketing & brand
50
BUCKS CAPITAL ADVISERS notice-filed in FL, IL, NJ, NY, TX. IAPD ↗
$0 RAUM · 1 reps · 267-907-6650 · buckscap.com
ComplianceMarketing & brand
50
HERITAGE HAUS WEALTH PARTNERS LLC notice-filed in AZ, FL, LA, NE, OH, OK, TN, VA. IAPD ↗
$241.1M RAUM · 3 reps · 830-316-3590 · heritagehauswealth.com
ComplianceMarketing & brand
50
MOMENTUM WEALTH MANAGEMENT notice-filed in ID, NH, NV, TX, WA. IAPD ↗
$0 RAUM · 6 reps · 8016554898 · retiremomentum.com
ComplianceMarketing & brand
49
TOBIAS FINANCIAL ADVISORS notice-filed in NC, PA. IAPD ↗
$1.19B RAUM · 9 reps · 954-424-1660
ComplianceMarketing & brand
49
PRIME BUCHHOLZ LLC notice-filed in MD, PA. IAPD ↗
$14.07B RAUM · 69 reps · 603-433-1143 · primebuchholz.com
ComplianceMarketing & brand
49
SJS INVESTMENT SERVICES notice-filed in NH, VA. IAPD ↗
$2.94B RAUM · 22 reps · 419-885-2626 · sjsinvest.com
ComplianceMarketing & brand
49
PURE FINANCIAL ADVISORS, LLC notice-filed in DE, SD. IAPD ↗
$11.05B RAUM · 76 reps · 866-876-7873 · easiretirement.com
ComplianceMarketing & brand
49
AUXANO ADVISORS notice-filed in CO, MT. IAPD ↗
$1.78B RAUM · 8 reps · (425) 889-1261 · auxanoadvisors.com
ComplianceMarketing & brand
49
PROFICIO CAPITAL PARTNERS LLC notice-filed in ID, LA. IAPD ↗
$8.17B RAUM · 11 reps · 617-340-8425 · proficiocap.com
ComplianceMarketing & brand
49
PROWELL FINANCIAL MANAGEMENT, LLC notice-filed in NE, VI. IAPD ↗
$6.86B RAUM · 3 reps · 484-359-4057 · prowell-financial.com
ComplianceMarketing & brand
49
ABOUND WEALTH MANAGEMENT, LLC notice-filed in CO, IA. IAPD ↗
$1.95B RAUM · 26 reps · 615-226-3667
ComplianceMarketing & brand
49
CENTURA WEALTH ADVISORY notice-filed in OH, TN. IAPD ↗
$1.20B RAUM · 19 reps · 858-771-9500
ComplianceMarketing & brand
49
GREAT DIAMOND PARTNERS, LLC notice-filed in CA, NC, WA. IAPD ↗
$804.1M RAUM · 7 reps · 207-274-2500
ComplianceMarketing & brand
49
KERA CAPITAL PARTNERS notice-filed in HI, NV. IAPD ↗
$1.36B RAUM · 8 reps · 408-668-2201
ComplianceMarketing & brand
49
QUOTIENT WEALTH PARTNERS, LLC notice-filed in IL, MI. IAPD ↗
$4.91B RAUM · 29 reps · (469) 912-2522
ComplianceMarketing & brand
49
WAVVEST WEALTH notice-filed in FL, IN, TX. IAPD ↗
$339.9M RAUM · 5 reps · 630-699-8602
ComplianceMarketing & brand
49
PIEDMONT WEALTH ADVISORY notice-filed in NH, OH, TX. IAPD ↗
$353.7M RAUM · 3 reps · (571) 313-5125 · piedmontwealthadvisory.com
ComplianceMarketing & brand
49
MERAMEC FINANCIAL PLANNERS, LLC notice-filed in NH, TX. IAPD ↗
$1.13B RAUM · 7 reps · 314-579-3295
ComplianceMarketing & brand
49
BEACON COAST PARTNERS, LLC notice-filed in NH, TX. IAPD ↗
$2.28B RAUM · 4 reps · (415) 426-7520 · beaconcoastpartners.com
ComplianceMarketing & brand
48
RETIREMITTEN FINANCIAL LLC notice-filed in NJ, OR, VA, WI. IAPD ↗
$213.8M RAUM · 4 reps · 248-935-0470 · retiremitten.com
ComplianceMarketing & brand
48
DOMAIN MONEY ADVISORS, LLC notice-filed in AL, AR, ME, NM. IAPD ↗
$43.3M RAUM · 14 reps · 646-970-6926 · reddit.com
ComplianceMarketing & brand
48
WHALE notice-filed in AL, HI, MS, RI. IAPD ↗
$2.5M RAUM · 2 reps · 8884887104 · getwhale.co
ComplianceMarketing & brand
48
PENSERRA WEALTH MANAGEMENT notice-filed in FL, MA, PA, TX. IAPD ↗
$2.5M RAUM · 1 reps · 4157179276 · penserrawealth.com
ComplianceMarketing & brand
47
A.G.P / ALLIANCE GLOBAL PARTNERS notice-filed in VI. IAPD ↗
$2.95B RAUM · 144 reps · 800-727-7922 · agplowcountry.com
ComplianceMarketing & brand
47
NBT CAPITAL MANAGEMENT, INC. notice-filed in AZ. IAPD ↗
$1.61B RAUM · 6 reps · 607-584-4141 · clevelandhauswirth.com
ComplianceMarketing & brand
47
BALDWIN WEALTH PARTNERS, LLC notice-filed in CO. IAPD ↗
$2.33B RAUM · 14 reps · (508) 748-0800 · baldwinbrothersinc.com
ComplianceMarketing & brand
47
THE HARBOR GROUP, INC. notice-filed in CO. IAPD ↗
$2.00B RAUM · 9 reps · 603-668-0634
ComplianceMarketing & brand
47
EAGLE CAPITAL MANAGEMENT LLC notice-filed in SD. IAPD ↗
$35.80B RAUM · 12 reps · 212-293-4040 · eaglecap.com
ComplianceMarketing & brand
47
JNBA FINANCIAL ADVISORS, LLC notice-filed in NC. IAPD ↗
$2.01B RAUM · 31 reps · 952-844-0995
ComplianceMarketing & brand
47
CONNORS INVESTOR SERVICES INC notice-filed in WA. IAPD ↗
$1.28B RAUM · 10 reps · 610-376-7418
ComplianceMarketing & brand
47
EAGLE GLOBAL ADVISORS LLC notice-filed in AL. IAPD ↗
$3.10B RAUM · 11 reps · 713-952-3550
ComplianceMarketing & brand
47
EUBEL BRADY & SUTTMAN notice-filed in CO. IAPD ↗
$2.07B RAUM · 23 reps · 937-291-1223
ComplianceMarketing & brand
47
AFFINITY INVESTMENT ADVISORS, LLC notice-filed in NV. IAPD ↗
$1.16B RAUM · 4 reps · 949-660-6373
ComplianceMarketing & brand
47
KNIGHTSBRIDGE WEALTH MANAGEMENT notice-filed in NH. IAPD ↗
$1.12B RAUM · 10 reps · 949-644-4444 · knightsb.com
ComplianceMarketing & brand
47
CICCARELLI ADVISORY SERVICES INC notice-filed in NE. IAPD ↗
$1.59B RAUM · 13 reps · 239-262-6577
ComplianceMarketing & brand
47
ARBOR INVESTMENT ADVISORS notice-filed in PA. IAPD ↗
$1.29B RAUM · 4 reps · 336-777-1677 · arborinvest.com
ComplianceMarketing & brand
47
TOLLESON PRIVATE WEALTH MANAGEMENT notice-filed in TN. IAPD ↗
$9.26B RAUM · 73 reps · 214-252-3250
ComplianceMarketing & brand
47
MCMORGAN & COMPANY LLC notice-filed in FL. IAPD ↗
$7.61B RAUM · 14 reps · 415-788-9300 · mcmorgan.com
ComplianceMarketing & brand
47
FOCUS FINANCIAL notice-filed in HI. IAPD ↗
$6.82B RAUM · 114 reps · 651-631-8166 · focusfinancial.com
ComplianceMarketing & brand
47
KANAWHA CAPITAL MANAGEMENT, LLC notice-filed in CO. IAPD ↗
$1.84B RAUM · 4 reps · 804-359-3900 · kancap.com
ComplianceMarketing & brand
47
PINKERTON WEALTH PARTNERS notice-filed in GA. IAPD ↗
$1.44B RAUM · 16 reps · 800-634-2008 · woottonfinancial.com
ComplianceMarketing & brand
47
SAXONY CAPITAL MANAGEMENT, LLC notice-filed in MD, VA. IAPD ↗
$367.9M RAUM · 0 reps · 314-963-9336
ComplianceMarketing & brand
47
THOMPSON INVESTMENT MANAGEMENT, INC. notice-filed in AZ. IAPD ↗
$3.08B RAUM · 6 reps · 608-827-5700 · thompsonim.com
ComplianceMarketing & brand
47
WATERLOO CAPITAL notice-filed in VA. IAPD ↗
$2.26B RAUM · 44 reps · 512-777-5900 · hapinvestments.com
ComplianceMarketing & brand
47
IFRAH FINANCIAL SERVICES, INC. notice-filed in NE, NY. IAPD ↗
$489.1M RAUM · 9 reps · 501-821-7733 · ifrahfinancial.com
ComplianceMarketing & brand
47
CORNERSTONE ADVISORY notice-filed in SD. IAPD ↗
$2.25B RAUM · 9 reps · 410-468-1693 · cornerstoneadvisory.com
ComplianceMarketing & brand
47
ARGOS WEALTH ADVISORS LLC notice-filed in AZ. IAPD ↗
$1.04B RAUM · 10 reps · 707-633-9063 · argoswealth.com
ComplianceMarketing & brand
47
AVIANCE CAPITAL PARTNERS LLC notice-filed in CO. IAPD ↗
$1.13B RAUM · 6 reps · 239-598-4747
ComplianceMarketing & brand
47
ALPHA OMEGA WEALTH MANAGEMENT, LLC notice-filed in IL. IAPD ↗
$1.02B RAUM · 9 reps · 804-955-1600
ComplianceMarketing & brand
47
FINANCIAL PLANNING HAWAII, INC. notice-filed in CA, NY. IAPD ↗
$382.4M RAUM · 3 reps · 808-564-0654
ComplianceMarketing & brand
47
MATISSE CAPITAL notice-filed in TX. IAPD ↗
$1.63B RAUM · 10 reps · 503-210-3000
ComplianceMarketing & brand
47
MODERA WEALTH MANAGEMENT, LLC notice-filed in CO. IAPD ↗
$17.68B RAUM · 106 reps · (201) 768-4600 · moderawealth.com
ComplianceMarketing & brand
47
ASPEN GROVE CAPITAL, LLC notice-filed in NY. IAPD ↗
$6.67B RAUM · 12 reps · 970-688-4188 · aspengrovellc.com
ComplianceMarketing & brand
47
NOVEM GROUP notice-filed in MO. IAPD ↗
$1.72B RAUM · 50 reps · 585-348-9525 · novemgroup.com
ComplianceMarketing & brand
47
CAPSTONE INVESTMENT GROUP notice-filed in FL, NC. IAPD ↗
$342.7M RAUM · 8 reps · 360-570-9888 · wisdomanddiscipline.com
ComplianceMarketing & brand
47
TVAMP, LLC notice-filed in UT. IAPD ↗
$1.19B RAUM · 24 reps · 865-226-9982
ComplianceMarketing & brand
47
COMPASS ION ADVISORS, LLC notice-filed in CO. IAPD ↗
$1.59B RAUM · 15 reps · (610) 228-2200 · ionadv.com
ComplianceMarketing & brand
47
RIVER WEALTH ADVISORS LLC notice-filed in LA. IAPD ↗
$1.47B RAUM · 9 reps · 717-888-9830
ComplianceMarketing & brand
47
MIRAMONTES CAPITAL, LLC notice-filed in GA, OR. IAPD ↗
$396.9M RAUM · 8 reps · 1-800-460-1595
ComplianceMarketing & brand
47
HILLTOP WEALTH ADVISORS, LLC notice-filed in CA, MA. IAPD ↗
$635.5M RAUM · 11 reps · (919) 401-1500
ComplianceMarketing & brand
47
BOGART WEALTH, LLC notice-filed in CO. IAPD ↗
$3.19B RAUM · 29 reps · (703) 570-8651
ComplianceMarketing & brand
47
ONE DAY IN JULY LLC notice-filed in NC. IAPD ↗
$1.36B RAUM · 13 reps · (802) 503-8280
ComplianceMarketing & brand
47
ISTO ADVISORS, LLC notice-filed in MN. IAPD ↗
$1.06B RAUM · 19 reps · 248-458-1100 · istoadvisors.com
ComplianceMarketing & brand
47
GRYPHON FINANCIAL PARTNERS notice-filed in NH. IAPD ↗
$2.44B RAUM · 15 reps · 614-929-2880
ComplianceMarketing & brand
47
BRIO FINANCIAL GROUP notice-filed in MA. IAPD ↗
$1.06B RAUM · 13 reps · 415-623-2450 · briofg.com
ComplianceMarketing & brand
47
ROBERTSON STEPHENS notice-filed in WI. IAPD ↗
$8.76B RAUM · 67 reps · 415-500-6810
ComplianceMarketing & brand
47
CAPITA FINANCIAL NETWORK, LLC notice-filed in KS. IAPD ↗
$2.32B RAUM · 22 reps · 801-566-5058 · capitafinancial.com
ComplianceMarketing & brand
47
AARON WEALTH ADVISORS notice-filed in FL. IAPD ↗
$4.29B RAUM · 9 reps · 312-506-5780 · aaronwealth.com
ComplianceMarketing & brand
47
CATALYST FINANCIAL PARTNERS notice-filed in IL. IAPD ↗
$1.72B RAUM · 6 reps · 617-239-8101
ComplianceMarketing & brand
47
BURKHOLDER WEALTH MANAGEMENT notice-filed in CO, KS. IAPD ↗
$379.9M RAUM · 6 reps · 918-727-7100
ComplianceMarketing & brand
47
THE AMERIFLEX GROUP notice-filed in AL. IAPD ↗
$9.66B RAUM · 181 reps · (702) 987-9730 · ameriflex.com
ComplianceMarketing & brand
47
PLATFORM TECHNOLOGY PARTNERS notice-filed in MA. IAPD ↗
$1.23B RAUM · 9 reps · 212-444-2362 · neprivatewealth.com
ComplianceMarketing & brand
47
MADISON PARTNERS notice-filed in VA. IAPD ↗
$1.30B RAUM · 17 reps · 608-210-1021 · themadisonpartners.com
ComplianceMarketing & brand
47
FORTIS CAPITAL ADVISORS, LLC notice-filed in ID. IAPD ↗
$1.62B RAUM · 57 reps · (913) 222-8862 · fortiscapitaladvisors.com
ComplianceMarketing & brand
47
COGENTBLUE notice-filed in MA, TX. IAPD ↗
$606.0M RAUM · 4 reps · 865-309-5892 · cogentbluewealth.com
ComplianceMarketing & brand
47
IMPERIAL FUND ASSET MANAGEMENT LLC notice-filed in TX. IAPD ↗
$6.84B RAUM · 2 reps · (855) 226-5200
ComplianceMarketing & brand
47
SOLLINDA CAPITAL MANAGEMENT LLC notice-filed in MN. IAPD ↗
$1.02B RAUM · 15 reps · 8446621211
ComplianceMarketing & brand
47
EVERPAR ADVISORS LLC notice-filed in CO, FL. IAPD ↗
$587.8M RAUM · 9 reps · 918-221-9290
ComplianceMarketing & brand
47
SYKON CAPITAL LLC notice-filed in LA, NH. IAPD ↗
$350.1M RAUM · 6 reps · 914-898-3694 · sykoncapital.com
ComplianceMarketing & brand
47
BBVA GLOBAL WEALTH ADVISORS, INC. notice-filed in NJ. IAPD ↗
$1.36B RAUM · 39 reps · 3052057752 · bbvaglobalwealthadvisors.com
ComplianceMarketing & brand
47
SOVRAN ADVISORS, LLC notice-filed in DC. IAPD ↗
$1.87B RAUM · 60 reps · 619-281-9890
ComplianceMarketing & brand
47
PARR MCKNIGHT WEALTH MANAGEMENT GROUP notice-filed in NY. IAPD ↗
$1.07B RAUM · 10 reps · 612-324-0240 · parrmcknightwmg.com
ComplianceMarketing & brand
47
PCM ENCORE, LLC notice-filed in MA. IAPD ↗
$2.05B RAUM · 9 reps · 425-214-1755 · encoreinvestment.com
ComplianceMarketing & brand
47
CROWNSTONE ADVISORY & INVESTMENT CORP notice-filed in NY. IAPD ↗
$3.00B RAUM · 1 reps · 858-444-5933 · crownstoneinvestmentadvisory.com
ComplianceMarketing & brand
47
INTENTGEN FINANCIAL PARTNERS notice-filed in AL, IA. IAPD ↗
$756.6M RAUM · 6 reps · 630-821-6990 · intentgen.com
ComplianceMarketing & brand
46
HOLISTIC FINANCE LLC notice-filed in IL, MA, TN. IAPD ↗
$14.2M RAUM · 3 reps · 808-746-7774 · holisticfinance.com
ComplianceMarketing & brand
46
SANDLOT PRIVATE WEALTH LLC notice-filed in CO, CT, TX. IAPD ↗
$305,047 RAUM · 3 reps · 801 428 7744 · sandlotwealth.com
ComplianceMarketing & brand
46
BISON WEALTH MANAGEMENT, LLC notice-filed in NY, TX, VA. IAPD ↗
$131.0M RAUM · 3 reps · 216-270-4425 · bisonllc.com
ComplianceMarketing & brand
46
DVB PRIVATE WEALTH notice-filed in FL, LA, MD. IAPD ↗
$225.7M RAUM · 4 reps · 7176526901
ComplianceMarketing & brand
45
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM notice-filed in UT. IAPD ↗
$300.0M RAUM · 6 reps · 509-747-9144 · alliantsecurities.com
ComplianceMarketing & brand
45
ALLIANCE ADVISORY & SECURITIES, LLC notice-filed in NE. IAPD ↗
$687.4M RAUM · 14 reps · 805-371-8020 · aewealth.com
ComplianceMarketing & brand
45
B.B. GRAHAM & COMPANY, INC. notice-filed in AR. IAPD ↗
$321.7M RAUM · 32 reps · (714) 628-5200 · bbgraham.com
ComplianceMarketing & brand
45
CLAYTON WEALTH PARTNERS notice-filed in TN. IAPD ↗
$909.8M RAUM · 8 reps · 785-232-3266
ComplianceMarketing & brand
45
MENDEL MONEY MANAGEMENT INC notice-filed in CO. IAPD ↗
$317.1M RAUM · 4 reps · (847) 564-0970
ComplianceMarketing & brand
45
CORNERSTONE WEALTH MANAGEMENT notice-filed in IL. IAPD ↗
$628.7M RAUM · 4 reps · 440-899-4000 · fee-onlyadvisor.com
ComplianceMarketing & brand
45
SEAMOUNT FINANCIAL GROUP INC notice-filed in NC. IAPD ↗
$745.2M RAUM · 6 reps · 719-471-1171 · seamountfinancial.com
ComplianceMarketing & brand
45
MEIRA WEALTH notice-filed in CO. IAPD ↗
$317.8M RAUM · 5 reps · 305-670-4440 · meirawealth.com
ComplianceMarketing & brand
45
STERLING FINANCIAL PLANNING INC notice-filed in CO. IAPD ↗
$760.8M RAUM · 8 reps · 973-729-1234 · sterlingadvice.com
ComplianceMarketing & brand
45
FERGUSON-JOHNSON WEALTH MANAGEMENT, INC. notice-filed in NC. IAPD ↗
$316.4M RAUM · 2 reps · 301-670-0994 · mymoneymanager.com
ComplianceMarketing & brand
45
THE KARRAS COMPANY, INC. notice-filed in NE. IAPD ↗
$372.9M RAUM · 4 reps · 801-825-3000 · thekarrascompany.com
ComplianceMarketing & brand
45
NOESIS CAPITAL MANAGEMENT CORP notice-filed in DC. IAPD ↗
$876.9M RAUM · 7 reps · 561-999-9888
ComplianceMarketing & brand
45
ABBOT FINANCIAL MANAGEMENT, INC notice-filed in TX. IAPD ↗
$358.9M RAUM · 3 reps · (978) 688-9010 · abbotfm.com
ComplianceMarketing & brand
45
DEW WEALTH MANAGEMENT notice-filed in OH. IAPD ↗
$464.7M RAUM · 24 reps · 480-614-9119
ComplianceMarketing & brand
45
BENEDICT FINANCIAL ADVISORS, INC. notice-filed in NE. IAPD ↗
$529.4M RAUM · 5 reps · 770-671-8228
ComplianceMarketing & brand
45
LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C. notice-filed in SC. IAPD ↗
$958.1M RAUM · 9 reps · 509-972-3686
ComplianceMarketing & brand
45
SNIDER FINANCIAL GROUP notice-filed in MI. IAPD ↗
$549.7M RAUM · 8 reps · 425-453-7080
ComplianceMarketing & brand
45
COX CAPITAL MANAGEMENT LLC notice-filed in NJ. IAPD ↗
$361.0M RAUM · 4 reps · 978-475-3325
ComplianceMarketing & brand
45
EAGLECLAW CAPITAL MANAGEMENT LLC notice-filed in IL. IAPD ↗
$896.2M RAUM · 5 reps · 617-314-0213 · eagleclawcapital.com
ComplianceMarketing & brand
45
ALLODIUM INVESTMENT CONSULTANTS, LLC notice-filed in IL. IAPD ↗
$576.8M RAUM · 4 reps · 612-230-3700 · allodium.com
ComplianceMarketing & brand
45
LIGHTHOUSE FINANCIAL notice-filed in TX. IAPD ↗
$755.6M RAUM · 1 reps · 727-490-5797 · lighthousefinancial.info
ComplianceMarketing & brand
45
5TH STREET ADVISORS, LLC notice-filed in NC. IAPD ↗
$524.5M RAUM · 5 reps · 203-327-1212 · 5thstreetadvisors.com
ComplianceMarketing & brand
45
HENRICKSON NAUTA WEALTH ADVISORS, INC. notice-filed in CO. IAPD ↗
$998.5M RAUM · 10 reps · 616-361-9308 · hnwealthadvisors.com
ComplianceMarketing & brand
45
PATHWAYS ADVISORY GROUP, INC. notice-filed in WA. IAPD ↗
$388.5M RAUM · 5 reps · 559-431-4700
ComplianceMarketing & brand
45
PARKER FINANCIAL LLC notice-filed in OR. IAPD ↗
$272.0M RAUM · 3 reps · 360-337-2701
ComplianceMarketing & brand
45
ARCHER INVESTMENT MANAGEMENT notice-filed in LA. IAPD ↗
$370.8M RAUM · 4 reps · (512) 887-8651 · archerim.com
ComplianceMarketing & brand
45
THE ITHAKA GROUP, LLC notice-filed in CO. IAPD ↗
$572.1M RAUM · 4 reps · 240-395-5000 · ithakagroup.com
ComplianceMarketing & brand
45
MEMBERS ADVISORY GROUP, LLC notice-filed in CO. IAPD ↗
$443.2M RAUM · 4 reps · (716) 632-4066 · membersadvgrp.com
ComplianceMarketing & brand
45
LIFESTEPS FINANCIAL notice-filed in AZ. IAPD ↗
$442.7M RAUM · 3 reps · 909-267-3770
ComplianceMarketing & brand
45
KIKER WEALTH MANAGEMENT, LLC notice-filed in CO. IAPD ↗
$395.1M RAUM · 4 reps · 706-253-7285 · kikerwealth.com
ComplianceMarketing & brand
45
CORE PLANNING notice-filed in VI. IAPD ↗
$525.0M RAUM · 61 reps · 636-734-7507 · flamesfp.com
ComplianceMarketing & brand
45
DB & C ADVISORS, LLC notice-filed in FL. IAPD ↗
$252.2M RAUM · 9 reps · 616-355-3455 · dbc-advisors.com
ComplianceMarketing & brand
45
CLARITY WEALTH ADVISORS notice-filed in NY. IAPD ↗
$732.9M RAUM · 2 reps · 408-560-3220 · claritywealthadvisors.com
ComplianceMarketing & brand
45
BLACKHAWK CAPITAL PARTNERS, LLC notice-filed in NE. IAPD ↗
$452.0M RAUM · 6 reps · 262-242-4487
ComplianceMarketing & brand
45
MRAZ AND ASSOCIATES notice-filed in OR. IAPD ↗
$917.5M RAUM · 5 reps · (209) 593-5870 · mrazandassociates.com
ComplianceMarketing & brand
45
LANDMARK WEALTH MANAGEMENT, LLC notice-filed in NJ. IAPD ↗
$442.0M RAUM · 6 reps · 888-342-6436
ComplianceMarketing & brand
45
HILEY HUNT WEALTH MANAGEMENT, INC. notice-filed in NH. IAPD ↗
$289.6M RAUM · 3 reps · 402-504-9347
ComplianceMarketing & brand
45
THE RETIREMENT GUYS FORMULA notice-filed in NE. IAPD ↗
$276.9M RAUM · 7 reps · 419-842-0550
ComplianceMarketing & brand
45
MD FINANCIAL ADVISORS / VESTMENT FINANCIAL notice-filed in CO. IAPD ↗
$304.3M RAUM · 11 reps · (888) 256-6855 · music.amazon.com
ComplianceMarketing & brand
45
ONE DEGREE ADVISORS, INC. notice-filed in VA. IAPD ↗
$489.0M RAUM · 6 reps · 619-282-3288
ComplianceMarketing & brand
45
WRENNE FINANCIAL PLANNING LLC notice-filed in SC. IAPD ↗
$297.9M RAUM · 6 reps · 859-538-6044
ComplianceMarketing & brand
45
RUEDI WEALTH MANAGEMENT, INC. notice-filed in MA. IAPD ↗
$498.0M RAUM · 5 reps · 217-356-1400
ComplianceMarketing & brand
45
LONG ISLAND WEALTH MANAGEMENT, INC. notice-filed in AZ. IAPD ↗
$291.7M RAUM · 1 reps · 516-238-7629 · liwealth.com
ComplianceMarketing & brand
45
SAGE PRIVATE WEALTH GROUP, LLC notice-filed in TN. IAPD ↗
$440.8M RAUM · 3 reps · 630-933-0000
ComplianceMarketing & brand
45
RUBICON ADVISORS notice-filed in RI. IAPD ↗
$420.7M RAUM · 19 reps · 530-223-5357
ComplianceMarketing & brand
45
THE MAIN STREET GROUP notice-filed in DE. IAPD ↗
$515.3M RAUM · 8 reps · 804-270-4470 · themainstreetgroup.com
ComplianceMarketing & brand
45
KINETIC INVESTMENT MANAGEMENT, INC. notice-filed in SC. IAPD ↗
$450.9M RAUM · 31 reps · (800) 711-4818 · kineticfinancial.com
ComplianceMarketing & brand
45
LIFEGUIDE FINANCIAL ADVISORS, LLC notice-filed in NC. IAPD ↗
$562.9M RAUM · 16 reps · (717) 796-1700 · lifeplan.lifeguidefa.com
ComplianceMarketing & brand
45
CROSS FINANCIAL ADVISORS notice-filed in NJ. IAPD ↗
$481.8M RAUM · 11 reps · (503) 430-0563 · crossfinancialmgmt.com
ComplianceMarketing & brand
45
ASTORIA PORTFOLIO ADVISORS LLC notice-filed in WA. IAPD ↗
$977.6M RAUM · 9 reps · 212-381-6185
ComplianceMarketing & brand
45
ALTIORA FINANCIAL GROUP, LLC notice-filed in CO. IAPD ↗
$981.7M RAUM · 1 reps · 513-652-5776 · altiora.com
ComplianceMarketing & brand
45
BROOKLYN FI, LLC notice-filed in DE. IAPD ↗
$563.1M RAUM · 10 reps · (332) 296-1660
ComplianceMarketing & brand
45
VAN CLEMENS WEALTH MANAGEMENT, LLC notice-filed in NJ. IAPD ↗
$470.4M RAUM · 24 reps · 612-758-9140 · vanclemens.com
ComplianceMarketing & brand
45
FIRST NEBRASKA FINANCIAL SERVICES notice-filed in NH. IAPD ↗
$458.0M RAUM · 3 reps · (308) 534-1322 · firstnebraskafinancial.com
ComplianceMarketing & brand
45
GAMMA ASSET MANAGEMENT LLC notice-filed in CA. IAPD ↗
$424.8M RAUM · 8 reps · 787-957-3260 · gammaam.com
ComplianceMarketing & brand
45
ECIO, INC. notice-filed in LA. IAPD ↗
$395.6M RAUM · 4 reps · 608-291-4646
ComplianceMarketing & brand
45
GETTINGS BUSCH WEALTH MANAGEMENT notice-filed in CO. IAPD ↗
$541.5M RAUM · 8 reps · 765-742-7366
ComplianceMarketing & brand
45
RIDGELINE WEALTH PLANNING LLC notice-filed in SC. IAPD ↗
$259.6M RAUM · 5 reps · (937)-739-3744 · ridgelinewealthplanning.com
ComplianceMarketing & brand
45
ADVISOR SHARE WEALTH MANAGEMENT, LLC notice-filed in NM. IAPD ↗
$376.9M RAUM · 41 reps · 866-232-3251 · advisorsharewm.com
ComplianceMarketing & brand
45
PEAK RETIREMENT PLANNING, INC. notice-filed in KY. IAPD ↗
$631.0M RAUM · 16 reps · (614) 500-4121
ComplianceMarketing & brand
45
ALPHA ZERO LLC notice-filed in IN. IAPD ↗
$269.8M RAUM · 10 reps · (561) 576-2599 · alphazerowealth.com
ComplianceMarketing & brand
45
GUTIERREZ WEALTH ADVISORY, LLC notice-filed in NY. IAPD ↗
$329.3M RAUM · 4 reps · (501) 451-6900
ComplianceMarketing & brand
45
BEACON BRIDGE WEALTH PARTNERS, LLC notice-filed in SC. IAPD ↗
$426.6M RAUM · 6 reps · 484-533-6600
ComplianceMarketing & brand
45
OCTOGONE NA notice-filed in TX. IAPD ↗
$469.7M RAUM · 3 reps · 305-677-9559 · octogone.ch
ComplianceMarketing & brand
45
TWIN PEAKS WEALTH ADVISORS notice-filed in IL. IAPD ↗
$584.8M RAUM · 9 reps · (650) 200-0308
ComplianceMarketing & brand
45
ROCKLINE WEALTH MANAGEMENT LLC notice-filed in PA. IAPD ↗
$749.6M RAUM · 4 reps · 516-605-1624
ComplianceMarketing & brand
45
PRECEDENT WEALTH PARTNERS, LLC notice-filed in LA. IAPD ↗
$685.0M RAUM · 5 reps · (713)244-6450 · precedentwealth.com
ComplianceMarketing & brand
45
KICKSTAND WEALTH ADVISORS notice-filed in WA. IAPD ↗
$633.5M RAUM · 5 reps · 585-382-8600
ComplianceMarketing & brand
45
SIGNATURE EQUITY PARTNERS, LLC notice-filed in NH. IAPD ↗
$688.1M RAUM · 32 reps · 614-846-6000 · midwestretirementconsultants.net
ComplianceMarketing & brand
45
TIDEMARK, LLC notice-filed in NE. IAPD ↗
$462.5M RAUM · 8 reps · 888-791-0197 · tidemarkfp.com
ComplianceMarketing & brand
45
VISTA INVESTMENT PARTNERS notice-filed in LA. IAPD ↗
$383.1M RAUM · 6 reps · 765-962-5153 · vistainvestment.net
ComplianceMarketing & brand
45
ONE WEALTH CAPITAL MANAGEMENT, LLC notice-filed in WI. IAPD ↗
$306.8M RAUM · 5 reps · 855-663-9584
ComplianceMarketing & brand
45
MOREY & QUINN WEALTH PARTNERS notice-filed in CO. IAPD ↗
$373.4M RAUM · 3 reps · (402) 502-9900
ComplianceMarketing & brand
45
ARENA PRIVATE WEALTH notice-filed in NC. IAPD ↗
$404.7M RAUM · 8 reps · 312-798-9045
ComplianceMarketing & brand
45
STONE TEMPLE PARTNERS LLC notice-filed in TN. IAPD ↗
$668.7M RAUM · 8 reps · (203) 253-1823 · stpartners.co
ComplianceMarketing & brand
45
LRZ CAPITAL LLC notice-filed in CA. IAPD ↗
$500.8M RAUM · 4 reps · 305-615-0215 · lrzcapital.com
ComplianceMarketing & brand
45
SANTA BARBARA MANAGEMENT notice-filed in CO. IAPD ↗
$530.2M RAUM · 17 reps · 734-604-9891
ComplianceMarketing & brand
45
WARNER WEALTH notice-filed in GA. IAPD ↗
$458.5M RAUM · 7 reps · 203-929-2727
ComplianceMarketing & brand
45
NERDWALLET WEALTH PARTNERS, LLC notice-filed in IN. IAPD ↗
$262.8M RAUM · 11 reps · 917-275-7821
ComplianceMarketing & brand
45
BLUE HORIZON EQUITY, INC. notice-filed in IN. IAPD ↗
$745.9M RAUM · 45 reps · 1 585 641 7900 · abelwealthmanagement.com
ComplianceMarketing & brand
45
BROADSIDE WEALTH notice-filed in NY. IAPD ↗
$874.5M RAUM · 4 reps · 628-218-5315
ComplianceMarketing & brand
44
APPLIED CAPITAL notice-filed in NJ, WI. IAPD ↗
$157.4M RAUM · 2 reps · 561-690-9955 · appliedcapitalllc.com
ComplianceMarketing & brand
44
FINANCIAL ACTION, INC. notice-filed in AZ, NE. IAPD ↗
$100.3M RAUM · 4 reps · 719-357-7189 · faiinv.com
ComplianceMarketing & brand
44
ABRIDGE PARTNERS, LLC notice-filed in CA, LA. IAPD ↗
$124.0M RAUM · 2 reps · (601) 718-0000 · abridgepartners.com
ComplianceMarketing & brand
44
A4 WEALTH ADVISORS LLC notice-filed in CA, PA. IAPD ↗
$213.7M RAUM · 7 reps · 704-509-1141 · a4cfp.com
ComplianceMarketing & brand
44
SIMPLYRIA ADVISOR NETWORK notice-filed in MS, OH. IAPD ↗
$214.9M RAUM · 25 reps · 810-355-1325 · simplyria.com
ComplianceMarketing & brand
44
HIPPOCRATIC FINANCIAL ADVISORS notice-filed in OR, VT. IAPD ↗
$229.0M RAUM · 5 reps · 866-447-2380 · hippocratic.com
ComplianceMarketing & brand
44
GUIDE ADVISORS, INC. notice-filed in MA, NC. IAPD ↗
$0 RAUM · 5 reps · 206-486-2477
ComplianceMarketing & brand
44
SEAGULL LANE ASSET MANAGEMENT LLC notice-filed in AZ, TX. IAPD ↗
$207.9M RAUM · 2 reps · 714-960-2316 · bairdwalker.com
ComplianceMarketing & brand
44
PLAN CONFIDENCE CORPORATION notice-filed in MD, SC. IAPD ↗
$0 RAUM · 1 reps · 312-373-0772
ComplianceMarketing & brand
44
SKYBOUND WEALTH USA notice-filed in MO, NE. IAPD ↗
$166.5M RAUM · 12 reps · 1-346-845-0001
ComplianceMarketing & brand
44
DBA BIG MONEY RETIREMENT AND BIG RETIREMENT notice-filed in FL, TN. IAPD ↗
$147.1M RAUM · 10 reps · 864-920-3155 · bigmoneyretirement.com
ComplianceMarketing & brand
44
TAILWINDS WEALTH, LLC notice-filed in TN, WI. IAPD ↗
$192.7M RAUM · 7 reps · 651-243-0535 · tailwindswealth.com
ComplianceMarketing & brand
44
BLUE BEAR FINANCIAL, LLC notice-filed in CA, TX. IAPD ↗
$147.4M RAUM · 3 reps · 843-654-1377
ComplianceMarketing & brand
44
WALDO.AI, INC. notice-filed in CA, FL. IAPD ↗
$0 RAUM · 2 reps · 203 722 5218 · waldo.finance
ComplianceMarketing & brand
44
ENDURING WEALTH MANAGEMENT, LLC notice-filed in LA, TX. IAPD ↗
$205.0M RAUM · 1 reps · 208-409-0147 · enduringwealthmanagement.com
ComplianceMarketing & brand
44
TELOS PARTNERS LLC notice-filed in NY, SC. IAPD ↗
$139.5M RAUM · 4 reps · (646)907-9424 · teloswealthpartners.com
ComplianceMarketing & brand
42
BENJAMIN SECURITIES, INC. notice-filed in TX. IAPD ↗
$39.5M RAUM · 3 reps · 516-931-1090 · benjaminsecurities.com
ComplianceMarketing & brand
42
INDEPENDENCE CAPITAL CO., INC. notice-filed in NV. IAPD ↗
$118.7M RAUM · 25 reps · 440-888-7000 · indcap.com
ComplianceMarketing & brand
42
ST. LOUIS FINANCIAL PLANNERS ASSET MANAGEMENT, LLC notice-filed in TN. IAPD ↗
$234.0M RAUM · 2 reps · 636-532-3900
ComplianceMarketing & brand
42
KELLEY INVESTMENTS notice-filed in IA. IAPD ↗
$238.0M RAUM · 3 reps · 858-350-1010 · kelleyinvestments.com
ComplianceMarketing & brand
42
STRICKLAND DAVIS ADVISORS LLC notice-filed in TX. IAPD ↗
$121.3M RAUM · 3 reps · 770-977-6892
ComplianceMarketing & brand
42
MINERVA PLANNING GROUP notice-filed in OH. IAPD ↗
$236.9M RAUM · 4 reps · 404-816-6688
ComplianceMarketing & brand
42
DRAWBRIDGE CAPITAL notice-filed in VA. IAPD ↗
$224.6M RAUM · 6 reps · 918-493-4190 · drawbridge.capital
ComplianceMarketing & brand
42
FINANCIAL LEGACY MANAGEMENT, NC. notice-filed in LA. IAPD ↗
$153.1M RAUM · 2 reps · 501-224-7526 · financiallegacymanagement.com
ComplianceMarketing & brand
42
QUANTUM FINANCIAL PARTNERS LLC notice-filed in CO. IAPD ↗
$148.6M RAUM · 7 reps · 913-538-5753 · quantumfinancialpartners.com
ComplianceMarketing & brand
42
THE ADVISORY FIRM notice-filed in TX. IAPD ↗
$126.4M RAUM · 1 reps · 678-566-3711 · theadvisoryfirm.net
ComplianceMarketing & brand
42
FOREST ASSET MANAGEMENT LLC notice-filed in FL. IAPD ↗
$230.7M RAUM · 3 reps · 708-447-7086
ComplianceMarketing & brand
42
PEAK AMERICAN INVESTMENT ADVISORS, INC. notice-filed in LA. IAPD ↗
$162.1M RAUM · 10 reps · 972-212-9292
ComplianceMarketing & brand
42
BLUE SKY INVESTMENT PARTNERS, INC. notice-filed in TX. IAPD ↗
$118.0M RAUM · 1 reps · 847-864-5070 · blueskyinvestments.net
ComplianceMarketing & brand
42
INNOVATIVE ADVISORY GROUP notice-filed in TN. IAPD ↗
$194.0M RAUM · 8 reps · 781-577-2782
ComplianceMarketing & brand
42
ELE ADVISORY SERVICES, INC notice-filed in MT. IAPD ↗
$136.5M RAUM · 13 reps · 248-356-6555 · elewealth.com
ComplianceMarketing & brand
42
GOUWS CAPITAL LLC notice-filed in VA. IAPD ↗
$209.9M RAUM · 2 reps · 704-944-3233 · gouwscapital.com
ComplianceMarketing & brand
42
OCTOBER WEALTH ADVISORS, INC notice-filed in CO. IAPD ↗
$141.6M RAUM · 2 reps · 479-452-0996 · octwealth.com
ComplianceMarketing & brand
42
HAPPINESS IN RETIREMENT notice-filed in CT. IAPD ↗
$192.5M RAUM · 5 reps · 518-793-3851
ComplianceMarketing & brand
42
SIMA WEALTH PARTNERS, LLC notice-filed in TX. IAPD ↗
$156.7M RAUM · 4 reps · 804-285-5700 · simafinancialgroup.com
ComplianceMarketing & brand
42
TRUADVISORS notice-filed in MA. IAPD ↗
$132.7M RAUM · 4 reps · (813) 212-4000 · truadvisors.com
ComplianceMarketing & brand
42
ATWATER WEALTH MANAGEMENT, INC. notice-filed in TX. IAPD ↗
$248.2M RAUM · 2 reps · 617-723-1439 · atwaterwealth.com
ComplianceMarketing & brand
42
CITY CENTER ADVISORS, LLC notice-filed in OK. IAPD ↗
$187.1M RAUM · 7 reps · 888-267-1321
ComplianceMarketing & brand
42
TRADEMARK CAPITAL MANAGEMENT INC. notice-filed in AZ. IAPD ↗
$150.8M RAUM · 4 reps · 706-534-2351
ComplianceMarketing & brand
42
EDEN ADVISORY SERVICES, LLC notice-filed in FL. IAPD ↗
$27.8M RAUM · 3 reps · (518) 203-8833 · edenasc.com
ComplianceMarketing & brand
42
BRAVE EAGLE WEALTH MANAGEMENT notice-filed in FL. IAPD ↗
$101.0M RAUM · 1 reps · 212-918-4746 · braveeaglewealth.com
ComplianceMarketing & brand
42
VENTURE FORTH FINANCIAL notice-filed in NH. IAPD ↗
$105.0M RAUM · 1 reps · 415-308-8438 · ventureforthfinancial.com
ComplianceMarketing & brand
42
ENCOMPASS ADVISORY SERVICES, LLC notice-filed in IL. IAPD ↗
$121.3M RAUM · 7 reps · 281-371-6300
ComplianceMarketing & brand
42
SAS FINANCIAL ADVISORS, LLC. notice-filed in NY. IAPD ↗
$167.0M RAUM · 5 reps · 415-277-5955 · sasadvisors.com
ComplianceMarketing & brand
42
ELEVATE CAPITAL ADVISORS notice-filed in NJ. IAPD ↗
$183.3M RAUM · 5 reps · 970-328-7526
ComplianceMarketing & brand
42
CMG FINANCIAL CONSULTING notice-filed in SC. IAPD ↗
$149.6M RAUM · 2 reps · (877) 695-8004
ComplianceMarketing & brand
42
COLUMBIA RIVER FINANCIAL GROUP notice-filed in FL. IAPD ↗
$194.8M RAUM · 4 reps · 3603353350
ComplianceMarketing & brand
42
PROSPERO WEALTH, LLC notice-filed in NJ. IAPD ↗
$110.6M RAUM · 7 reps · 971-716-1991
ComplianceMarketing & brand
42
TRAILS EDGE WEALTH ADVISERS, LLC notice-filed in NC. IAPD ↗
$153.7M RAUM · 1 reps · 847-682-0105 · trailswealth.com.
ComplianceMarketing & brand
42
KENNONDALE CAPITAL MANAGEMENT notice-filed in NC. IAPD ↗
$141.9M RAUM · 3 reps · (804) 350-3368 · kennondale.com
ComplianceMarketing & brand
42
CB CAPITAL LLC notice-filed in NH. IAPD ↗
$124.5M RAUM · 1 reps · (401) 768-3361 · cbcapitalllc.com
ComplianceMarketing & brand
42
ABUNDO WEALTH notice-filed in SC. IAPD ↗
$0 RAUM · 13 reps · 612-502-5806
ComplianceMarketing & brand
42
GUIDED CAPITAL WEALTH MANAGEMENT, LLC notice-filed in NY. IAPD ↗
$249.2M RAUM · 4 reps · 832-975-0710 · guidedcapitalwealth.com
ComplianceMarketing & brand
42
CSP FINANCIAL GROUP LLC notice-filed in HI. IAPD ↗
$150.6M RAUM · 21 reps · 480-600-9626 · cspfgllc.com
ComplianceMarketing & brand
42
ELEMENT SQUARED PRIVATE WEALTH notice-filed in SC. IAPD ↗
$203.5M RAUM · 6 reps · 612-325-5920 · elementsquared.com
ComplianceMarketing & brand
42
FITZWILLIAMS WEALTH MANAGEMENT INC. notice-filed in TN. IAPD ↗
$123.5M RAUM · 6 reps · 757-961-0700 · fitzwilliamsfinancial.com
ComplianceMarketing & brand
42
CROSS BORDER FINANCIAL PLANNING USA LLC notice-filed in WA. IAPD ↗
$147.2M RAUM · 3 reps · 267-946-1099
ComplianceMarketing & brand
42
WHARTON WEALTH PLANNING, LLC notice-filed in NJ. IAPD ↗
$36.9M RAUM · 1 reps · 646-450-7021 · whartonwealthplanning.com
ComplianceMarketing & brand
42
WRIGHT WEALTH LLC notice-filed in NH. IAPD ↗
$188.5M RAUM · 7 reps · 4703731044
ComplianceMarketing & brand
42
TRIO WEALTH MANAGEMENT, LLC notice-filed in FL. IAPD ↗
$134.0M RAUM · 3 reps · (703) 459-9171
ComplianceMarketing & brand
42
DBD RETIREMENT AND FINANCIAL SERVICES notice-filed in PA. IAPD ↗
$133.7M RAUM · 1 reps · 703-791-5955 · dbdfinancial.com
ComplianceMarketing & brand
42
NIM WEALTH SOLUTIONS notice-filed in TX. IAPD ↗
$116.8M RAUM · 4 reps · 888 322 2009 · nimretirementgroup.com
ComplianceMarketing & brand
42
ELEVATED PRIVATE WEALTH notice-filed in TX. IAPD ↗
$122.7M RAUM · 4 reps · 715-797-3358
ComplianceMarketing & brand
42
CONNECTIVE WEALTH PARTNERS, LLC notice-filed in RI. IAPD ↗
$77.6M RAUM · 10 reps · (603) 498-1854 · connectivewealth.ai
ComplianceMarketing & brand
42
FREEDOM ASSET MANAGEMENT notice-filed in TX. IAPD ↗
$142.0M RAUM · 1 reps · 5096066676 · freedomasset.net
ComplianceMarketing & brand
42
ALLVET FINANCIAL notice-filed in NH. IAPD ↗
$1.3M RAUM · 2 reps · (804) 201-4615
ComplianceMarketing & brand
42
RIGHTOAK ASSET MANAGEMENT, LLC notice-filed in OR. IAPD ↗
$111.9M RAUM · 6 reps · 517-306-4884 · revard.money
ComplianceMarketing & brand
42
POWERHOUSE FINANCIAL ADVISORS, INC. notice-filed in CO. IAPD ↗
$108.2M RAUM · 1 reps · 775-266-8867
ComplianceMarketing & brand
42
INTERCHANGE ADVISERS LLC notice-filed in TN. IAPD ↗
$0 RAUM · 4 reps · 855-468-7934 · interchange.com
ComplianceMarketing & brand
42
FIDUCIARY CAPITAL MANAGEMENT LLC notice-filed in VA. IAPD ↗
$149.8M RAUM · 10 reps · 503 515 1313 · fiduciarycm.com
ComplianceMarketing & brand
42
ROTHSCHILD FINANCIAL PARTNERS, LLC notice-filed in AZ. IAPD ↗
$0 RAUM · 2 reps · 630-448-5711
ComplianceMarketing & brand
42
CARAZO WEALTH MANAGEMENT notice-filed in TX. IAPD ↗
$0 RAUM · 2 reps · 504-833-2281 · carazowealth.com
ComplianceMarketing & brand
42
EHG WEALTH MANAGEMENT notice-filed in GA. IAPD ↗
$0 RAUM · 10 reps · 3176232007
ComplianceMarketing & brand
42
DITTO & POWERS, LLC notice-filed in MA. IAPD ↗
$0 RAUM · 1 reps · 410-371-8705
ComplianceMarketing & brand
42
HUDSON & ASSOCIATES WEALTH MANAGEMENT LLC notice-filed in TX. IAPD ↗
$0 RAUM · 1 reps · 918-394-1966
ComplianceMarketing & brand
42
COVA PRIVATE WEALTH LLC notice-filed in FL. IAPD ↗
$0 RAUM · 7 reps · 631-831-9669
ComplianceMarketing & brand
42
SOLID STATE WEALTH ADVISORY GROUP notice-filed in MT. IAPD ↗
$0 RAUM · 1 reps · 8587747947 · solidstatewealthadvisorygroup.com
ComplianceMarketing & brand
40
CAPITAL CLIENT GROUP, INC. notice-filed in AL, AR, DC, DE, IA, LA, ME, MS, MT, ND, NE, NM, NV, OK, OR, SC, SD, UT, VT, WV, WY. IAPD ↗institutional
$0 RAUM · 693 reps · 213-486-9200 · retirementsolutions.financialtrans.com
ComplianceMarketing & brand
40
CHOREO PARTNER ALLIANCE, LLC notice-filed in AK, AL, AR, AZ, DE, HI, ID, KS, ME, MO, MS, MT, ND, NE, NH, NJ, NM, OH, OK, OR, PR, RI, TN, UT, VI, VT, WY. IAPD ↗institutional
$0 RAUM · 5 reps · 888-312-8467 · choreoadvisors.com
ComplianceMarketing & brand
40
RAMP ADVISORY LLC notice-filed in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗institutional
$0 RAUM · 4 reps · 8552067283 · ramp.com
ComplianceMarketing & brand
37
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS notice-filed in IA. IAPD ↗institutional
$40.25B RAUM · 153 reps · 212-850-4260
ComplianceMarketing & brand
35
MONARCH PLAN ADVISORS notice-filed in PA. IAPD ↗institutional
$792.6M RAUM · 5 reps · (818) 444-0376
ComplianceMarketing & brand
35
FIRST LIGHT RETIREMENT, LLC notice-filed in MN. IAPD ↗institutional
$843.7M RAUM · 2 reps · 858-692-1283 · firstlightretirement.com
ComplianceMarketing & brand
35
OPTIMIZED INVESTMENT PARTNERS, LLC notice-filed in WA. IAPD ↗institutional
$722.0M RAUM · 2 reps · 858-335-1141 · optimizedip.com
ComplianceMarketing & brand
34
LIGHTHOUSE INVESTMENT PARTNERS, LLC notice-filed in CT, MD. IAPD ↗fund
$107.45B RAUM · 203 reps · 561-741-0820 · northrockllc.com
ComplianceMarketing & brand
32
PBMARES WEALTH MANAGEMENT LLC notice-filed in VA. IAPD ↗institutional
$0 RAUM · 1 reps · 703-385-8577
ComplianceMarketing & brand
32
ARGA INVESTMENT MANAGEMENT, LP notice-filed in FL. IAPD ↗fund
$24.57B RAUM · 25 reps · 645-229-5501
ComplianceMarketing & brand
32
COLUMBIA CAPITAL notice-filed in CA. IAPD ↗fund
$13.84B RAUM · 25 reps · 703-519-2000 · colcap.com
ComplianceMarketing & brand
32
JOHCM (USA) INC notice-filed in TX. IAPD ↗fund
$8.91B RAUM · 25 reps · 617-993-0701 · johcm.com
ComplianceMarketing & brand
32
MARINER WEALTH notice-filed in MD. IAPD ↗institutional
$0 RAUM · 65 reps · 913-904-5700 · mariner.com
ComplianceMarketing & brand
32
STG PARTNERS, LLC notice-filed in NY. IAPD ↗fund
$13.43B RAUM · 87 reps · 650-935-9500 · stgpartners.com
ComplianceMarketing & brand
32
JUSTICE SETTLEMENT CONSULTING INC. notice-filed in TN. IAPD ↗institutional
$0 RAUM · 1 reps · 925-786-1548
ComplianceMarketing & brand
30
SYMPHONY TECHNOLOGY GROUP, LLC notice-filed in NY. IAPD ↗fund
$307.3M RAUM · 88 reps · 650-935-9500
ComplianceMarketing & brand
27
WARDROOM PARTNERS notice-filed in MD. IAPD ↗fund
$205.6M RAUM · 3 reps · 917-691-8007
ComplianceMarketing & brand
27
1 MAIN CAPITAL MANAGEMENT, LLC notice-filed in FL. IAPD ↗fund
$118.7M RAUM · 2 reps · 305-710-8509 · 1maincapital.com
ComplianceMarketing & brand
27
BALLAST EQUITY PARTNERS MANAGEMENT COMPANY, LLC notice-filed in NY. IAPD ↗fund
$111.9M RAUM · 4 reps · 401-484-0675
ComplianceMarketing & brand
21
RAYMOND JAMES (USA) LTD notice-filed in SC, UT, WI. IAPD ↗foreign
$1.99B RAUM · 145 reps · 877-570-7558 · rjlu.com
ComplianceMarketing & brand
18
NATWEALTH MANAGEMENT notice-filed in MI, NJ, PA, TN. IAPD ↗foreign
$115.0M RAUM · 109 reps · 833-946-1589 · nbfwm.ca
ComplianceMarketing & brand
17
PRIME QUADRANT notice-filed in NC, OH. IAPD ↗foreign
$849.3M RAUM · 3 reps · 212-365-7400
ComplianceMarketing & brand
17
TAULA CAPITAL MANAGEMENT (US) LLC notice-filed in VA. IAPD ↗foreign
$210.93B RAUM · 13 reps · 44-20-4570-2067 · taulacapital.com
ComplianceMarketing & brand
16
DELTA CAPITAL notice-filed in CA, FL, TX. IAPD ↗foreign
$11.1M RAUM · 2 reps · 2107990214 · deltacapitalpro.com
ComplianceMarketing & brand
12
BLUE3 INVESTMENTS LLC notice-filed in MD. IAPD ↗foreign
$0 RAUM · 2 reps · +55 11 4858-3040 · blue3investments.com
ComplianceMarketing & brand
new registration — 134 Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
100
WILLOW RUN ADVISORS (NEW YORK, NY) is newly SEC-registered with $2.20B RAUM and 5 advisory reps. IAPD ↗
$2.20B RAUM · 5 reps · 646-600-8059
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HERNDON PLANT OAKLEY LTD (CORPUS CHRISTI, TX) is newly SEC-registered with $155.4M RAUM and 2 advisory reps. IAPD ↗
$155.4M RAUM · 2 reps · 361-888-7611 · hpo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
JOHNSTON INVESTMENT COUNSEL, LTD. (PEORIA, IL) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗
$125.0M RAUM · 1 reps · 309-674-3330
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PTS BROKERAGE, LLC (MT. LAUREL, NJ) is newly SEC-registered with $131.7M RAUM and 14 advisory reps. IAPD ↗
$131.7M RAUM · 14 reps · 856-802-9400 · ptsbrokerage.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TIDMORE RETIREMENT PLANNING SPECIALISTS (BEACHWOOD, OH) is newly SEC-registered with $112.9M RAUM and 2 advisory reps. IAPD ↗
$112.9M RAUM · 2 reps · 440-498-1396
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEGACY PARTNERS FINANCIAL GROUP, LLC (WOODSTOCK, GA) is newly SEC-registered with $107.6M RAUM and 10 advisory reps. IAPD ↗
$107.6M RAUM · 10 reps · 678 388-2233 · mylpfg.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
TRAVER FINANCIAL CONSULTING NETWORK PA (LAKEWOOD RANCH, FL) is newly SEC-registered with $121.7M RAUM and 1 advisory reps. IAPD ↗
$121.7M RAUM · 1 reps · 917-576-0308
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LIVE OAK FAMILY OFFICES LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (614) 266-8192 · lofollc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MURRAY SECURITIES, INC. (TYLER, TX) is newly SEC-registered with $116.6M RAUM and 1 advisory reps. IAPD ↗
$116.6M RAUM · 1 reps · 903-561-5588 · murraysecuritiesinc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROSSPOINT CAPITAL MANAGEMENT (ORINDA, CA) is newly SEC-registered with $117.0M RAUM and 2 advisory reps. IAPD ↗
$117.0M RAUM · 2 reps · 415-949-1443
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAGLE FINANCIAL ADVISORS, LLC (FRISCO, TX) is newly SEC-registered with $113.1M RAUM and 9 advisory reps. IAPD ↗
$113.1M RAUM · 9 reps · 800-994-1317 · eaglefinancialadvisors.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KUHN WEALTH MANAGEMENT INC. (SCHAUMBURG, IL) is newly SEC-registered with $150.8M RAUM and 3 advisory reps. IAPD ↗
$150.8M RAUM · 3 reps · (847) 607-4976 · kuhnwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KROEGER FINANCIAL PARTNERS (GRASS VALLEY, CA) is newly SEC-registered with $111.1M RAUM and 2 advisory reps. IAPD ↗
$111.1M RAUM · 2 reps · 530-478-9734 · kroegerfinancial.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CRAFTED FINANCE, LLC (location n/a) is newly SEC-registered with $102.9M RAUM and 1 advisory reps. IAPD ↗
$102.9M RAUM · 1 reps · (650) 336-0598
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CS TOMASI WEALTH MANAGEMENT (COSTA MESA, CA) is newly SEC-registered with $110.3M RAUM and 6 advisory reps. IAPD ↗
$110.3M RAUM · 6 reps · (562) 494-4668
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ASK CAPITAL INVESTMENT MANAGERS (AMARILLO, TX) is newly SEC-registered with $110.4M RAUM and 2 advisory reps. IAPD ↗
$110.4M RAUM · 2 reps · 806-322-7526
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BURLINGAME WEALTH MANAGEMENT, LLC (BURLINGAME, CA) is newly SEC-registered with $129.4M RAUM and 1 advisory reps. IAPD ↗
$129.4M RAUM · 1 reps · 6505972400 · burlingamewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EXOS ASSET MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $682,181 RAUM and 8 advisory reps. IAPD ↗
$682,181 RAUM · 8 reps · (646) 814-0996
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BLUE ANCHOR WEALTH ADVISORS, LLC (KETCHIKAN, AK) is newly SEC-registered with $144.2M RAUM and 6 advisory reps. IAPD ↗
$144.2M RAUM · 6 reps · (907) 225-6110 · blueanchorwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ENDEAVOR ADVISORS LLC (PHOENIX, AZ) is newly SEC-registered with $114.4M RAUM and 4 advisory reps. IAPD ↗
$114.4M RAUM · 4 reps · 480-550-8316 · endeavoradvisorsllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DIVERSIFIED WEALTH ADVISORS, LLC (KANSAS CITY, MO) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
$138.0M RAUM · 3 reps · 816-984-8620 · diversifiedsolutionsllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALMEGA WEALTH MANAGEMENT (SCOTTSDALE, AZ) is newly SEC-registered with $134.3M RAUM and 4 advisory reps. IAPD ↗
$134.3M RAUM · 4 reps · 480-770-4700
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WILLIS TOWERS WATSON SECURITIES, LLC (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 516-375-0126 · viaretirement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
KNECHT CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered with $116.0M RAUM and 1 advisory reps. IAPD ↗
$116.0M RAUM · 1 reps · 707-947-3040 · knechtcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GREEN OCEAN GLOBAL ADVISORS LLC (SAN FRANCISCO, CA) is newly SEC-registered with $114.8M RAUM and 4 advisory reps. IAPD ↗
$114.8M RAUM · 4 reps · (206) 686-1594
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LEONARD ADVISORY GROUP LLC (SAINT JOSEPH, MI) is newly SEC-registered with $114.1M RAUM and 3 advisory reps. IAPD ↗
$114.1M RAUM · 3 reps · 269-588-1362
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTH STRATEGIES GROUP (NEWPORT BEACH, CA) is newly SEC-registered with $102.9M RAUM and 2 advisory reps. IAPD ↗
$102.9M RAUM · 2 reps · 888-848-4144
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WEALTHLYNK, INC. (FALLBROOK, CA) is newly SEC-registered with $112.0M RAUM and 1 advisory reps. IAPD ↗
$112.0M RAUM · 1 reps · 760-621-4471 · wealthlynk.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BETTER FINANCIAL SERVICES, LLC (FEDERAL WAY, WA) is newly SEC-registered with $110.8M RAUM and 2 advisory reps. IAPD ↗
$110.8M RAUM · 2 reps · 206-234-7516 · gotobfs.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BIG ROCK ADVISORS LLC (SAG HARBOR, NY) is newly SEC-registered with $27.8M RAUM and 3 advisory reps. IAPD ↗
$27.8M RAUM · 3 reps · 631-725-0300 · bigrockadvisorsllc.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PELICAN ADVISORY LLC (COVINGTON, LA) is newly SEC-registered with $119.0M RAUM and 4 advisory reps. IAPD ↗
$119.0M RAUM · 4 reps · 985-237-4033 · pelicanfo.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DANTES OUTLOOK (location n/a) is newly SEC-registered with $26.0M RAUM and 1 advisory reps. IAPD ↗
$26.0M RAUM · 1 reps · 917-714-5339 · dantesoutlook.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
INTEGRATED WEALTH SOLUTIONS, LLC (YORK, PA) is newly SEC-registered with $114.0M RAUM and 8 advisory reps. IAPD ↗
$114.0M RAUM · 8 reps · 717313-2220 · buildffwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EXPONENT WEALTH LLC (OREM, UT) is newly SEC-registered with $110.4M RAUM and 6 advisory reps. IAPD ↗
$110.4M RAUM · 6 reps · (801) 459-1190 · exponentwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PORTFOLIO ADVISORY PARTNERS (NORTH BRUNSWICK, NJ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-412-0732 · portfolioadvisorypartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AEGIS GUILD CAPITAL, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 717-478-3646
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CAMERON SIGNATURE WEALTH ADVISORS LLC (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 704-519-2592
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
POINT ONE PRIVATE WEALTH (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 615-659-5000 · pointoneprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PROFESSIONAL PLANNING & WEALTH (GREENVILLE, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 864-626-4380
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
WELLS CAPITAL ADVISORS LLC (LAS VEGAS, NV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 7025341090 · wellscapitalgroup.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AQR FLEX MANAGEMENT, LLC (GREENWICH, CT) is newly SEC-registered with $0 RAUM and 291 advisory reps. IAPD ↗
$0 RAUM · 291 reps · (203) 742-3600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MADISON LASALLE ADVISERS LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 312-909-3007
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PLETTENBERG CAPITAL MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $50.5M RAUM and 1 advisory reps. IAPD ↗
$50.5M RAUM · 1 reps · 267-574-2319 · plettenbergcapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CROBOEARN (location n/a) is newly SEC-registered with $10,000 RAUM and 2 advisory reps. IAPD ↗
$10,000 RAUM · 2 reps · 4846096415 · croboearn.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
COINEDLY LLC (DOVER, DE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 980-416-2310 · coinedly.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CMK PARTNERS, LLC (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (630) 697-1981
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VAN SOLDAT WEALTH LLC (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · +55 43 99199 8900 · vansoldat.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ALIGNED WEALTH ADVISORS, LLC (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 305-702-3030 · alignedwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
APEIRON WEALTH SERVICE (ASTORIA, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 646-564-3511 · awealths.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VESSEL WEALTH PARTNERS (MENDOTA HEIGHTS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 651-895-0182 · vesselwp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ZOOP ALPHA ADVISORS (MESA, AZ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 941-232-1837
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STRIBLING-WHALEN FINANCIAL GROUP (GAINESVILLE, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 678-989-0048
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STAX LABS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 7035997991
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
MAPLE GROVE WEALTH (FRANKLIN, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 615-560-6583 · maplegrovewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STRATEGENCE CAPITAL LLC (VAN WERT, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · 646-395-3900
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ZERO LABS INC. (SAN FRANCISCO, CA) is newly SEC-registered with $100,000 RAUM and 1 advisory reps. IAPD ↗
$100,000 RAUM · 1 reps · 650-761-1821 · zero.tax
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BELLERIVE CAPITAL, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 305-465-1741
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FORTUNA PRIVATE WEALTH MANAGEMENT CORP. (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 786-631-7103 · fortunapwm.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RIA GROUP, LLC (DES MOINES, IA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 641-680-1190
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FATHOM ADVISORS LLC (MINNEAPOLIS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · 763-367-7980 · fathom-advisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LAFAYETTE SQUARE FINANCIAL ADVISORS, INC. (WALNUT CREEK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 925-284-7950 · lsqfa.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
GEIGER GROUP WEALTH MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 703-855-3990
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BORIA WEALTH MANAGEMENT, LTD (WAYZATA, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 952-994-8657
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
IME VISVA (location n/a) is newly SEC-registered with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · +919036476667 · imevisva.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OPIMA CAPITAL MANAGEMENT, LLC (OCOEE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 407-612-7602 · opimacapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HOLM & BAUCOM WEALTH ADVISORS, LLC (VICTORIA, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (361) 894-8717 · holmbaucomwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
RISE PRIVATE WEALTH MANAGEMENT (BEDFORD, NH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 50 advisory reps. IAPD ↗
$0 RAUM · 50 reps · 603-457-7001 · riseprivatewealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
SOMERSET ADVISORY, LLC (BIRMINGHAM, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 888.501.2607
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
ROUND TABLE ADVISORS, LLC (CHATTANOOGA, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · (423) 510-8889
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EAST FRANKLIN CAPITAL (WILMINGTON, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 919-360-2537
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AQUIUM LEGACY PARTNERS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 216-400-0052 EXT 800
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
AI PORTFOLIOS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 314-703-0408 · aiportfolios.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DIMAIO PRIVATE WEALTH, LLC (CHESTER, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 908-540-4141
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
STELVIO PRIVATE WEALTH (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 925-306-4600
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
DAN THORNSBERRY CAPITAL ADVISORS, LLC (BELLEAIR BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 614 530 5185
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CREATED WEALTH ADVISORY (VENICE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 310-424-4011 · createdwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
5280 ASSOCIATES (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 303-730-1951 · 5280associates.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NOVERA WEALTH, INC. (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (646) 535-4323
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
HEIRMONT WEALTH MANAGEMENT (UNIONDALE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 516-206-2215 · heirmontwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
FINANCIAL CELEBRATIONS (VACAVILLE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 7074467623 · financialcelebrations.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
NEXTREG ADVISORS LLC (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 7863160577 · nextreg.ai
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
CLEARWATER FINANCIAL PLANNING (LEWISTON, ID) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 208-746-3270 · clearwaterfinancialplanning.net
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BCM FIXED INCOME (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 404-668-9190 · bcmfi.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
PERSONAL WEALTH STRATEGIES (HAMILTON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 908 209-5500
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
OMNIMINT ADVISORS LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 3018757031
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
LELAND WEALTH MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 650-232-2023
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
EVEROAK WEALTH CO (COLORADO SPRINGS, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · 719-300-6700 · everoakwealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
BROOKSTONE WEALTH MANAGEMENT, INC. (OXFORD, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 508-987-0700 · brookstonewealthmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
95
VOCARE WEALTH ADVISORS (RESTON, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (571) 529-6205 · vocarewealthadvisors.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
88
HILCO INVESTMENT ADVISORS, LLC (NORTHBROOK, IL) is newly SEC-registered with $313.1M RAUM and 44 advisory reps. IAPD ↗institutional
$313.1M RAUM · 44 reps · 847-509-1100
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
88
FUNDSMITH PARTNERS US LLC (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $435.3M RAUM and 4 advisory reps. IAPD ↗institutional
$435.3M RAUM · 4 reps · 203-594-1863
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
COLLABORATIVE FUND MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered with $1.84B RAUM and 16 advisory reps. IAPD ↗fund
$1.84B RAUM · 16 reps · 917-275-7559
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FMAC MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 212-798-6100 · fortress.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
FORVM GLOBAL INVESTMENTS LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 212-713-1680 EXT 3 · forvmglobal.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BYREFORGE MANAGEMENT, LP (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 917-439-8781 · byreforge.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CC USA LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 646 649 9323
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BOARDWALK INVESTMENT GROUP LP (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 305-549-5190 · boardwalkig.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
KARE MANAGER HOLDINGS, L.P. (BOCA RATON, FL) is newly SEC-registered with $19.82B RAUM and 85 advisory reps. IAPD ↗fund
$19.82B RAUM · 85 reps · (561) 300-6200
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
TECHBRIDGE INVESTMENT LP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 7077857755
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
OLD MISSION ASSET MANAGEMENT LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $34.13B RAUM and 91 advisory reps. IAPD ↗fund
$34.13B RAUM · 91 reps · 312-260-3038
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
CAMBIAL PARTNERS LP (NEW YORK, NY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 929-367-0926
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MILEMARKER INVESTMENT SOLUTIONS, LLC (LINCOLN, NE) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 402-476-8844
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
INVISCID (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 646-535-0822 · inviscid.capital
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
INTEGRATED MANAGEMENT SYSTEMS CAPITAL MANAGEMENT LLC (EAST ORANGE, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 852 3611-0130 · imscapitalmanagement.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MFO HEALTHCARE PARTNERS (BOCA RATON, FL) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 954-289-0987 · mfohealthcarepartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
SR ABF ADVISORS LP (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 25 advisory reps. IAPD ↗institutional
$0 RAUM · 25 reps · 212-790-0000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ARK CAPITAL INVESTMENTS LLC (ST PETERSBURG, FL) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 727-810-8160
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
NEL MEZZO 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 · 917-533-4661
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
ISTARI CAPITAL MANAGEMENT LP (SANTA MONICA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 424-200-6640
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
MANIFOLD INVESTMENT PARTNERS LLC (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 3125432211 · manifoldpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
LORUM ADVISORY LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · +43 676 7658461 · lorum.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
LR3 PARTNERS (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 267-467-5102 · lr3partners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
BLUEROCK ETF ADVISOR, LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · (212) 843-1601
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
85
24A CAPITAL MANAGEMENT LLC (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 713-398-9354 · 24acapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
COEFFICIENT CAPITAL (NEW YORK, NY) is newly SEC-registered with $734.6M RAUM and 7 advisory reps. IAPD ↗fund
$734.6M RAUM · 7 reps · 212-653-0046 · coefficientcap.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
COMMONWEALTH ASSET MANAGEMENT LP (LOS ANGELES, CA) is newly SEC-registered with $295.7M RAUM and 3 advisory reps. IAPD ↗fund
$295.7M RAUM · 3 reps · 424-363-0170
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ISLANDER CAPITAL PARTNERS, L.P. (SAN FRANCISCO, CA) is newly SEC-registered with $345.0M RAUM and 3 advisory reps. IAPD ↗fund
$345.0M RAUM · 3 reps · 415-636-5470
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
GATSBY MANAGEMENT, LLC (location n/a) is newly SEC-registered with $921.9M RAUM and 1 advisory reps. IAPD ↗fund
$921.9M RAUM · 1 reps · 818-618-0569 · gatsbyinc.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
OLIVE PARTNERS MANAGEMENT (PALO ALTO, CA) is newly SEC-registered with $465.2M RAUM and 6 advisory reps. IAPD ↗fund
$465.2M RAUM · 6 reps · (650) 665-7252 · olivepartners.co
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
ARC CAPITAL PARTNERS (LOS ANGELES, CA) is newly SEC-registered with $862.5M RAUM and 12 advisory reps. IAPD ↗fund
$862.5M RAUM · 12 reps · (310) 954-9060 · arccapitalpartners.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
83
MAYBOURNE PARTNERS MANAGEMENT LP (location n/a) is newly SEC-registered with $500.0M RAUM and 1 advisory reps. IAPD ↗fund
$500.0M RAUM · 1 reps · 469-623-0314
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
ACUTA CAPITAL PARTNERS, LLC (REDWOOD CITY, CA) is newly SEC-registered with $172.5M RAUM and 3 advisory reps. IAPD ↗fund
$172.5M RAUM · 3 reps · 650-486-0508 · acutacapital.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
RIVONIA ROAD CAPITAL LLC (SANTA MONICA, CA) is newly SEC-registered with $246.0M RAUM and 8 advisory reps. IAPD ↗fund
$246.0M RAUM · 8 reps · 310-579-0890
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
BLUE ORCA, LLC (AUSTIN, TX) is newly SEC-registered with $232.2M RAUM and 5 advisory reps. IAPD ↗fund
$232.2M RAUM · 5 reps · 512-934-4736
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
80
CARLO CAPITAL (location n/a) is newly SEC-registered with $100.2M RAUM and 1 advisory reps. IAPD ↗fund
$100.2M RAUM · 1 reps · 970-763-8837
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
70
COVALIS CAPITAL LLP (LONDON, United Kingdom) is newly SEC-registered with $4.79B RAUM and 17 advisory reps. IAPD ↗foreign
$4.79B RAUM · 17 reps · +44 204 520 5285
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
68
SAGEONE INVESTMENT MANAGERS LLP (PUNE, India) is newly SEC-registered with $690.9M RAUM and 2 advisory reps. IAPD ↗foreign
$690.9M RAUM · 2 reps · +91 20 69095000
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
NWEALTH INC (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 312-940-7874 · nsave.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
ARCTOS CAPITAL PARTNERS AG (ZURICH, Switzerland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 41 78 619 42 29 · arctoscp.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
ULLMAN INVESTMENT COUNSEL LLC (TORONTO, ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 8 advisory reps. IAPD ↗foreign
$0 RAUM · 8 reps · 877-226-2256 · ullmaninvestmentcounsel.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
KYNANCE COVE CAPITAL LLC (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · +44 20 4646 9274
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
LARRAINVIAL US IA LLC (SANTIAGO, Chile) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗foreign
$0 RAUM · 7 reps · +56223398686
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
NPW USA (OAKVILLE, ONTARIO, Canada) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗foreign
$0 RAUM · 5 reps · 905.845.9090 · nourprivatewealth.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
65
AWEALTH INTERNATIONAL AG (ZOLLIKON, ZH, Switzerland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · +41448882005 · awealth-international.com
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
new office — 128 Count of additional offices increased.
55
A.G.P / ALLIANCE GLOBAL PARTNERS added office(s): 17 -> 19 additional locations. IAPD ↗
$2.95B RAUM · 144 reps · 800-727-7922 · agplowcountry.com
Office IT & facilitiesCRMRecruiting & transitions
55
PROSPERA FINANCIAL SERVICES, INC. added office(s): 139 -> 149 additional locations. IAPD ↗
$14.39B RAUM · 211 reps · 972-581-3000
Office IT & facilitiesCRMRecruiting & transitions
55
SATURNA CAPITAL CORPORATION added office(s): 0 -> 1 additional locations. IAPD ↗
$10.48B RAUM · 12 reps · 360-734-9900 · saturna.com
Office IT & facilitiesCRMRecruiting & transitions
55
NBT CAPITAL MANAGEMENT, INC. added office(s): 4 -> 5 additional locations. IAPD ↗
$1.61B RAUM · 6 reps · 607-584-4141 · clevelandhauswirth.com
Office IT & facilitiesCRMRecruiting & transitions
55
MELLON INVESTMENTS CORPORATION added office(s): 3 -> 4 additional locations. IAPD ↗
$873.87B RAUM · 61 reps · 617-248-3682
Office IT & facilitiesCRMRecruiting & transitions
55
LEAVELL INVESTMENT MANAGEMENT, INC. added office(s): 6 -> 7 additional locations. IAPD ↗
$3.40B RAUM · 24 reps · 251-433-3709 · leavellinvestments.com
Office IT & facilitiesCRMRecruiting & transitions
55
BAILARD, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$7.56B RAUM · 42 reps · 650-571-5800
Office IT & facilitiesCRMRecruiting & transitions
55
LVM CAPITAL MANAGEMENT LTD added office(s): 1 -> 2 additional locations. IAPD ↗
$1.56B RAUM · 8 reps · 269-321-8120
Office IT & facilitiesCRMRecruiting & transitions
55
ORLEANS CAPITAL MANAGEMENT CORP added office(s): 5 -> 6 additional locations. IAPD ↗
$2.13B RAUM · 6 reps · 504-592-4680 · orleanscapital.com
Office IT & facilitiesCRMRecruiting & transitions
55
COOPER MCMANUS added office(s): 26 -> 29 additional locations. IAPD ↗
$2.85B RAUM · 50 reps · 800-516-5333 · crossfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
ADVISORS CAPITAL MANAGEMENT, LLC added office(s): 22 -> 23 additional locations. IAPD ↗
$12.20B RAUM · 57 reps · 201-447-3400 · bridgeviewwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
DINUZZO PRIVATE WEALTH, INC. added office(s): 5 -> 6 additional locations. IAPD ↗
$1.18B RAUM · 8 reps · 724-728-6564
Office IT & facilitiesCRMRecruiting & transitions
55
STEEL GROVE CAPITAL ADVISORS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$1.64B RAUM · 7 reps · 901-498-6300 · steelgrove.com
Office IT & facilitiesCRMRecruiting & transitions
55
BAKERAVENUE added office(s): 6 -> 13 additional locations. IAPD ↗
$5.09B RAUM · 29 reps · 415-986-1110 · bakerave.com
Office IT & facilitiesCRMRecruiting & transitions
55
WATERLOO CAPITAL added office(s): 12 -> 13 additional locations. IAPD ↗
$2.26B RAUM · 44 reps · 512-777-5900 · hapinvestments.com
Office IT & facilitiesCRMRecruiting & transitions
55
ELEVATION POINT WEALTH PARTNERS, LLC added office(s): 13 -> 14 additional locations. IAPD ↗
$8.29B RAUM · 54 reps · 303-382-2880
Office IT & facilitiesCRMRecruiting & transitions
55
WPWEALTH LLP added office(s): 7 -> 8 additional locations. IAPD ↗
$1.17B RAUM · 18 reps · 817-259-9100
Office IT & facilitiesCRMRecruiting & transitions
55
MERCER GLOBAL ADVISORS INC. added office(s): 257 -> 268 additional locations. IAPD ↗
$84.40B RAUM · 632 reps · (888) 885-8101 · confluencefa.com
Office IT & facilitiesCRMRecruiting & transitions
55
PRIVATE ADVISOR GROUP, LLC added office(s): 476 -> 569 additional locations. IAPD ↗
$57.70B RAUM · 885 reps · 973-538-7010
Office IT & facilitiesCRMRecruiting & transitions
55
WITHUM WEALTH MANAGEMENT added office(s): 5 -> 6 additional locations. IAPD ↗
$2.34B RAUM · 11 reps · 732-450-0147 · withumwealth.com
Office IT & facilitiesCRMRecruiting & transitions
55
TUTTLE CAPITAL MANAGEMENT, LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$5.50B RAUM · 8 reps · 347-852-0548
Office IT & facilitiesCRMRecruiting & transitions
55
APTUS CAPITAL ADVISORS, LLC added office(s): 16 -> 17 additional locations. IAPD ↗
$14.14B RAUM · 26 reps · 251-517-7198 · aptuscapitaladvisors.com
Office IT & facilitiesCRMRecruiting & transitions
55
DRIVE WEALTH ADVISERS added office(s): 1 -> 2 additional locations. IAPD ↗
$1.50B RAUM · 15 reps · 801-901-6150 · drivewealthadvisers.com
Office IT & facilitiesCRMRecruiting & transitions
55
ARCA WEALTH, LLC added office(s): 5 -> 6 additional locations. IAPD ↗
$1.27B RAUM · 11 reps · 603-610-8881
Office IT & facilitiesCRMRecruiting & transitions
55
MG&A WEALTH added office(s): 1 -> 2 additional locations. IAPD ↗
$1.02B RAUM · 6 reps · 954-289-9000 · meggreen.com
Office IT & facilitiesCRMRecruiting & transitions
55
EVERSOURCE WEALTH ADVISORS, LLC added office(s): 27 -> 38 additional locations. IAPD ↗
$5.10B RAUM · 76 reps · 205-982-5515 · reinholdfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
55
THURSTON SPRINGER ADVISORS added office(s): 20 -> 33 additional locations. IAPD ↗
$6.01B RAUM · 86 reps · 317.581.4000 · thurstonspringer.com
Office IT & facilitiesCRMRecruiting & transitions
55
BISON WEALTH, LLC added office(s): 14 -> 19 additional locations. IAPD ↗
$2.74B RAUM · 65 reps · 404-841-2224 · mc2wealthmgmt.com
Office IT & facilitiesCRMRecruiting & transitions
55
MADISON PARTNERS added office(s): 6 -> 26 additional locations. IAPD ↗
$1.30B RAUM · 17 reps · 608-210-1021 · themadisonpartners.com
Office IT & facilitiesCRMRecruiting & transitions
55
ONEPOINT BFG WEALTH PARTNERS added office(s): 22 -> 23 additional locations. IAPD ↗
$15.13B RAUM · 104 reps · (973) 575-4180
Office IT & facilitiesCRMRecruiting & transitions
55
DAYMARK WEALTH PARTNERS, LLC added office(s): 10 -> 11 additional locations. IAPD ↗
$5.04B RAUM · 21 reps · 513-838-2520 · music.amazon.com
Office IT & facilitiesCRMRecruiting & transitions
55
TITLEIST ASSET MANAGEMENT, LLC added office(s): 15 -> 16 additional locations. IAPD ↗
$2.79B RAUM · 25 reps · 210-826-2424 · blumandwhite.com
Office IT & facilitiesCRMRecruiting & transitions
55
MARIDEA WEALTH MANAGEMENT added office(s): 19 -> 21 additional locations. IAPD ↗
$1.97B RAUM · 26 reps · 347-289-5227
Office IT & facilitiesCRMRecruiting & transitions
55
PCM ENCORE, LLC added office(s): 9 -> 10 additional locations. IAPD ↗
$2.05B RAUM · 9 reps · 425-214-1755 · encoreinvestment.com
Office IT & facilitiesCRMRecruiting & transitions
55
EVERTERN WEALTH, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$1.56B RAUM · 2 reps · 239-508-7700 · everternwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
ALEXANDER INVESTMENT SERVICES CO. added office(s): 1 -> 2 additional locations. IAPD ↗
$576.8M RAUM · 9 reps · 502-459-4414 · aisretirement.com
Office IT & facilitiesCRMRecruiting & transitions
53
WESTERN FINANCIAL CORPORATION added office(s): 1 -> 2 additional locations. IAPD ↗
$414.4M RAUM · 2 reps · 619-544-0260
Office IT & facilitiesCRMRecruiting & transitions
53
AMERICAN WEALTH MANAGEMENT, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$310.0M RAUM · 9 reps · 770-392-8741 · americanwealthmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
53
ROSENBLUM SILVERMAN SUTTON SF INC added office(s): 0 -> 1 additional locations. IAPD ↗
$486.6M RAUM · 3 reps · 415-771-4500 · rssic.com
Office IT & facilitiesCRMRecruiting & transitions
53
LEVEL FINANCIAL ADVISORS, INC. added office(s): 5 -> 6 additional locations. IAPD ↗
$975.2M RAUM · 10 reps · 716-634-6113 · levelfa.com
Office IT & facilitiesCRMRecruiting & transitions
53
FIRSTRUST added office(s): 0 -> 2 additional locations. IAPD ↗
$250.0M RAUM · 5 reps · 386-788-3737 · financialteam.com
Office IT & facilitiesCRMRecruiting & transitions
53
CHANEY CAPITAL MANAGEMENT INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$455.5M RAUM · 6 reps · 425-673-4060 · chaneycapital.com
Office IT & facilitiesCRMRecruiting & transitions
53
SAXONY CAPITAL MANAGEMENT, LLC added office(s): 20 -> 22 additional locations. IAPD ↗
$367.9M RAUM · 0 reps · 314-963-9336
Office IT & facilitiesCRMRecruiting & transitions
53
INVESTOLOGY INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$250.0M RAUM · 3 reps · 703-429-1975 · investologyinc.net
Office IT & facilitiesCRMRecruiting & transitions
53
UNITED WEALTH MANAGEMENT, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$406.6M RAUM · 5 reps · 434-923-8112 · unitedwealthmanagement.com
Office IT & facilitiesCRMRecruiting & transitions
53
CENTENNIAL WEALTH ADVISORY, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$397.1M RAUM · 10 reps · 231-995-9575 · cen-wealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
SOLITUDE FINANCIAL SERVICES, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$363.5M RAUM · 6 reps · (434) 218-2201 · solitudefinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
BANKPLUS WEALTH ADVISORS added office(s): 2 -> 3 additional locations. IAPD ↗
$263.8M RAUM · 14 reps · 601-607-4290 · bankplus.net
Office IT & facilitiesCRMRecruiting & transitions
53
CAPSTONE INVESTMENT GROUP added office(s): 2 -> 3 additional locations. IAPD ↗
$342.7M RAUM · 8 reps · 360-570-9888 · wisdomanddiscipline.com
Office IT & facilitiesCRMRecruiting & transitions
53
SEROS WEALTH PARTNERS added office(s): 0 -> 1 additional locations. IAPD ↗
$359.2M RAUM · 7 reps · 480-967-1155
Office IT & facilitiesCRMRecruiting & transitions
53
O'CONNOR FINANCIAL GROUP LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$275.3M RAUM · 4 reps · (217) 223-0113
Office IT & facilitiesCRMRecruiting & transitions
53
LONG ISLAND WEALTH MANAGEMENT, INC. added office(s): 1 -> 2 additional locations. IAPD ↗
$291.7M RAUM · 1 reps · 516-238-7629 · liwealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
STONE CREEK GROUP, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$250.6M RAUM · 1 reps · 303-226-7370 · stonecreekgroup.com
Office IT & facilitiesCRMRecruiting & transitions
53
PSI ADVISORS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$800.9M RAUM · 12 reps · 813-444-0337 · ericeatonfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
53
BROOKLYN FI, LLC added office(s): 11 -> 16 additional locations. IAPD ↗
$563.1M RAUM · 10 reps · (332) 296-1660
Office IT & facilitiesCRMRecruiting & transitions
53
AVAII WEALTH MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$602.8M RAUM · 10 reps · (920) 214-1212
Office IT & facilitiesCRMRecruiting & transitions
53
VITAL INVESTMENT MANAGEMENT LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$283.9M RAUM · 5 reps · 970-776-3316 · vimadvisor.com
Office IT & facilitiesCRMRecruiting & transitions
53
CREEKMUR ASSET MANAGEMENT, LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$800.0M RAUM · 15 reps · 309-925-2043
Office IT & facilitiesCRMRecruiting & transitions
53
THE INVICTUS COLLECTIVE, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$476.0M RAUM · 3 reps · (866) 636-3468
Office IT & facilitiesCRMRecruiting & transitions
53
WEATHERVANE ASSET MANAGEMENT LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$384.1M RAUM · 2 reps · 516-305-9438
Office IT & facilitiesCRMRecruiting & transitions
53
COGENTBLUE added office(s): 0 -> 1 additional locations. IAPD ↗
$606.0M RAUM · 4 reps · 865-309-5892 · cogentbluewealth.com
Office IT & facilitiesCRMRecruiting & transitions
53
WEST WEALTH GROUP, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$616.7M RAUM · 13 reps · 949-682-9105 · yelp.com
Office IT & facilitiesCRMRecruiting & transitions
53
724 CAPITAL, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$258.9M RAUM · 15 reps · 517-256-4319 · 724cap.com
Office IT & facilitiesCRMRecruiting & transitions
53
WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC added office(s): 4 -> 5 additional locations. IAPD ↗
$342.8M RAUM · 4 reps · 626-689-7181
Office IT & facilitiesCRMRecruiting & transitions
53
ACCELERATE RETIREMENT added office(s): 18 -> 19 additional locations. IAPD ↗
$315.4M RAUM · 31 reps · 888-439-7071 · lbgadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
53
SIGNATURE EQUITY PARTNERS, LLC added office(s): 14 -> 17 additional locations. IAPD ↗
$688.1M RAUM · 32 reps · 614-846-6000 · midwestretirementconsultants.net
Office IT & facilitiesCRMRecruiting & transitions
53
MKT AND ASSOCIATES LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$378.7M RAUM · 3 reps · 253-252-2359 · mktandassociates.com
Office IT & facilitiesCRMRecruiting & transitions
53
ARENA PRIVATE WEALTH added office(s): 7 -> 8 additional locations. IAPD ↗
$404.7M RAUM · 8 reps · 312-798-9045
Office IT & facilitiesCRMRecruiting & transitions
53
BROADVIEW WEALTH PARTNERS added office(s): 0 -> 3 additional locations. IAPD ↗
$304.7M RAUM · 7 reps · 303-323-4293 · broadviewwp.com
Office IT & facilitiesCRMRecruiting & transitions
53
ASSET ONE WEALTH MANAGEMENT, LLC added office(s): 6 -> 8 additional locations. IAPD ↗
$982.5M RAUM · 9 reps · (425) 504-8200 · assetone.com
Office IT & facilitiesCRMRecruiting & transitions
53
ADVISORY SOLUTIONS GROUP added office(s): 13 -> 14 additional locations. IAPD ↗
$408.4M RAUM · 33 reps · 763-417-1700 · meridianwealthalliance.com
Office IT & facilitiesCRMRecruiting & transitions
53
BROADSIDE WEALTH added office(s): 0 -> 1 additional locations. IAPD ↗
$874.5M RAUM · 4 reps · 628-218-5315
Office IT & facilitiesCRMRecruiting & transitions
50
HULSEY CAPITAL MANAGEMENT, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$113.2M RAUM · 1 reps · 501-362-1681
Office IT & facilitiesCRMRecruiting & transitions
50
KELLEY INVESTMENTS added office(s): 0 -> 1 additional locations. IAPD ↗
$238.0M RAUM · 3 reps · 858-350-1010 · kelleyinvestments.com
Office IT & facilitiesCRMRecruiting & transitions
50
BENCHMARK CAPITAL GROUP LTD. added office(s): 1 -> 2 additional locations. IAPD ↗
$173.6M RAUM · 2 reps · 815-777-0600 · benchmarkcapitalgroup.com
Office IT & facilitiesCRMRecruiting & transitions
50
PRIVATE LANE CAPITAL, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$144.1M RAUM · 1 reps · 703-679-7394 · privatelanecapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
MINERVA PLANNING GROUP added office(s): 2 -> 3 additional locations. IAPD ↗
$236.9M RAUM · 4 reps · 404-816-6688
Office IT & facilitiesCRMRecruiting & transitions
50
FMSA added office(s): 5 -> 12 additional locations. IAPD ↗
$216.4M RAUM · 20 reps · 5612892602 · myfmsa.com
Office IT & facilitiesCRMRecruiting & transitions
50
SIMPLYRIA ADVISOR NETWORK added office(s): 11 -> 13 additional locations. IAPD ↗
$214.9M RAUM · 25 reps · 810-355-1325 · simplyria.com
Office IT & facilitiesCRMRecruiting & transitions
50
THE ARCHER CONSULTING GROUP, LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$192.2M RAUM · 2 reps · 985-227-4019 · archerconsulting.com
Office IT & facilitiesCRMRecruiting & transitions
50
HIPPOCRATIC FINANCIAL ADVISORS added office(s): 3 -> 5 additional locations. IAPD ↗
$229.0M RAUM · 5 reps · 866-447-2380 · hippocratic.com
Office IT & facilitiesCRMRecruiting & transitions
50
TRUADVISORS added office(s): 3 -> 4 additional locations. IAPD ↗
$132.7M RAUM · 4 reps · (813) 212-4000 · truadvisors.com
Office IT & facilitiesCRMRecruiting & transitions
50
TRADEMARK CAPITAL MANAGEMENT INC. added office(s): 2 -> 3 additional locations. IAPD ↗
$150.8M RAUM · 4 reps · 706-534-2351
Office IT & facilitiesCRMRecruiting & transitions
50
APTUS FINANCIAL, LLC added office(s): 11 -> 12 additional locations. IAPD ↗
$0 RAUM · 11 reps · 501-907-1993
Office IT & facilitiesCRMRecruiting & transitions
50
SHERMAN WEALTH MANAGEMENT LLC added office(s): 2 -> 3 additional locations. IAPD ↗
$160.3M RAUM · 3 reps · (240) 428-1622
Office IT & facilitiesCRMRecruiting & transitions
50
OREGON PACIFIC WEALTH MANAGEMENT added office(s): 1 -> 2 additional locations. IAPD ↗
$156.3M RAUM · 4 reps · 541-858-0166 · oregonpacificwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
VANGUARD CAPITAL added office(s): 2 -> 3 additional locations. IAPD ↗
$190.4M RAUM · 0 reps · 844-861-7504 · vcapwa.com
Office IT & facilitiesCRMRecruiting & transitions
50
CASTLE ISLAND WEALTH added office(s): 1 -> 2 additional locations. IAPD ↗
$117.2M RAUM · 3 reps · 561-208-3883 · castleislandwealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
COLUMBIA RIVER FINANCIAL GROUP added office(s): 0 -> 1 additional locations. IAPD ↗
$194.8M RAUM · 4 reps · 3603353350
Office IT & facilitiesCRMRecruiting & transitions
50
TRAILS EDGE WEALTH ADVISERS, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$153.7M RAUM · 1 reps · 847-682-0105 · trailswealth.com.
Office IT & facilitiesCRMRecruiting & transitions
50
FOUNDRY FINANCIAL LLC added office(s): 7 -> 10 additional locations. IAPD ↗
$232.6M RAUM · 10 reps · (213) 802-8662 · foundryfinancial.org
Office IT & facilitiesCRMRecruiting & transitions
50
BRIGHTER FINANCIAL CAPITAL MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$135.1M RAUM · 5 reps · 703-796-0957
Office IT & facilitiesCRMRecruiting & transitions
50
MESSMER CAPITAL ADVISORS LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$130.4M RAUM · 2 reps · 740-972-1196 · messmercapital.com
Office IT & facilitiesCRMRecruiting & transitions
50
FOREFRONT added office(s): 4 -> 5 additional locations. IAPD ↗
$239.8M RAUM · 7 reps · 512-617-1984
Office IT & facilitiesCRMRecruiting & transitions
50
GLOVER PARK WEALTH MANAGEMENT, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$144.3M RAUM · 2 reps · (202) 926-3636
Office IT & facilitiesCRMRecruiting & transitions
50
SKY VISION WEALTH MANAGEMENT CORP. added office(s): 0 -> 1 additional locations. IAPD ↗
$101.4M RAUM · 2 reps · 626-437-1436
Office IT & facilitiesCRMRecruiting & transitions
50
DBA BIG MONEY RETIREMENT AND BIG RETIREMENT added office(s): 5 -> 6 additional locations. IAPD ↗
$147.1M RAUM · 10 reps · 864-920-3155 · bigmoneyretirement.com
Office IT & facilitiesCRMRecruiting & transitions
50
WHARTON WEALTH PLANNING, LLC added office(s): 1 -> 2 additional locations. IAPD ↗
$36.9M RAUM · 1 reps · 646-450-7021 · whartonwealthplanning.com
Office IT & facilitiesCRMRecruiting & transitions
50
TAILWINDS WEALTH, LLC added office(s): 0 -> 7 additional locations. IAPD ↗
$192.7M RAUM · 7 reps · 651-243-0535 · tailwindswealth.com
Office IT & facilitiesCRMRecruiting & transitions
50
CLARITY FINANCIAL ADVISORS LLC added office(s): 6 -> 7 additional locations. IAPD ↗
$149.5M RAUM · 6 reps · (816) 786-5031 · theclarityfinancial.com
Office IT & facilitiesCRMRecruiting & transitions
50
ONEWELTH INC added office(s): 1 -> 2 additional locations. IAPD ↗
$101.9M RAUM · 2 reps · 212-750-0718 · onewelth.com
Office IT & facilitiesCRMRecruiting & transitions
50
VISDOM INVESTMENT GROUP LLC added office(s): 1 -> 5 additional locations. IAPD ↗
$53.1M RAUM · 4 reps · 203.429.5633
Office IT & facilitiesCRMRecruiting & transitions
50
STIRLINGSHIRE INVESTMENTS added office(s): 22 -> 24 additional locations. IAPD ↗
$244.6M RAUM · 26 reps · 877-600-7026
Office IT & facilitiesCRMRecruiting & transitions
50
TRIO WEALTH MANAGEMENT, LLC added office(s): 3 -> 4 additional locations. IAPD ↗
$134.0M RAUM · 3 reps · (703) 459-9171
Office IT & facilitiesCRMRecruiting & transitions
50
EAGLE'S CREST ADVISORS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$125.9M RAUM · 3 reps · 646-627-6030
Office IT & facilitiesCRMRecruiting & transitions
50
CONNECTIVE WEALTH PARTNERS, LLC added office(s): 10 -> 12 additional locations. IAPD ↗
$77.6M RAUM · 10 reps · (603) 498-1854 · connectivewealth.ai
Office IT & facilitiesCRMRecruiting & transitions
50
PEAK ALTITUDE PARTNERS, LP added office(s): 3 -> 5 additional locations. IAPD ↗
$68.1M RAUM · 5 reps · 212-970-6451 · peakalts.com
Office IT & facilitiesCRMRecruiting & transitions
50
POWERHOUSE FINANCIAL ADVISORS, INC. added office(s): 0 -> 1 additional locations. IAPD ↗
$108.2M RAUM · 1 reps · 775-266-8867
Office IT & facilitiesCRMRecruiting & transitions
50
SCHONFELD WEALTH MANAGEMENT, LLC added office(s): 0 -> 2 additional locations. IAPD ↗
$132.9M RAUM · 2 reps · 718-963-9700 · schonfeldwm.com
Office IT & facilitiesCRMRecruiting & transitions
50
DITTO & POWERS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · 410-371-8705
Office IT & facilitiesCRMRecruiting & transitions
50
COVA PRIVATE WEALTH LLC added office(s): 0 -> 3 additional locations. IAPD ↗
$0 RAUM · 7 reps · 631-831-9669
Office IT & facilitiesCRMRecruiting & transitions
50
ALDEBARAN CAPITAL added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 2 reps · (504) 258-7110 · aldebarancapital.net
Office IT & facilitiesCRMRecruiting & transitions
45
REX ADVISERS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗institutional
$1.84B RAUM · 5 reps · 305-742-0151
Office IT & facilitiesCRMRecruiting & transitions
43
MONARCH PLAN ADVISORS added office(s): 2 -> 3 additional locations. IAPD ↗institutional
$792.6M RAUM · 5 reps · (818) 444-0376
Office IT & facilitiesCRMRecruiting & transitions
43
OPTIMIZED INVESTMENT PARTNERS, LLC added office(s): 0 -> 2 additional locations. IAPD ↗institutional
$722.0M RAUM · 2 reps · 858-335-1141 · optimizedip.com
Office IT & facilitiesCRMRecruiting & transitions
40
FLEXSTONE PARTNERS, LLC added office(s): 0 -> 1 additional locations. IAPD ↗fund
$7.20B RAUM · 21 reps · 212-703-0300
Office IT & facilitiesCRMRecruiting & transitions
40
ARGA INVESTMENT MANAGEMENT, LP added office(s): 0 -> 1 additional locations. IAPD ↗fund
$24.57B RAUM · 25 reps · 645-229-5501
Office IT & facilitiesCRMRecruiting & transitions
40
BC PARTNERS ADVISORS L.P. added office(s): 0 -> 1 additional locations. IAPD ↗fund
$6.69B RAUM · 46 reps · 212-891-2880
Office IT & facilitiesCRMRecruiting & transitions
40
STG PARTNERS, LLC added office(s): 2 -> 3 additional locations. IAPD ↗fund
$13.43B RAUM · 87 reps · 650-935-9500 · stgpartners.com
Office IT & facilitiesCRMRecruiting & transitions
40
MARCYPEN CAPITAL PARTNERS LLC added office(s): 1 -> 2 additional locations. IAPD ↗fund
$1.12B RAUM · 17 reps · 424-421-6040 · marcypen.com
Office IT & facilitiesCRMRecruiting & transitions
38
SYMPHONY TECHNOLOGY GROUP, LLC added office(s): 2 -> 3 additional locations. IAPD ↗fund
$307.3M RAUM · 88 reps · 650-935-9500
Office IT & facilitiesCRMRecruiting & transitions
25
IFM INVESTORS PTY LTD added office(s): 1 -> 5 additional locations. IAPD ↗foreign
$202.97B RAUM · 277 reps · 61 1300 651 607
Office IT & facilitiesCRMRecruiting & transitions
25
GRAND ALLIANCE ASSET MANAGEMENT LTD. added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$2.56B RAUM · 28 reps · (852) 3852 6351 · gaamhk.com
Office IT & facilitiesCRMRecruiting & transitions
25
TAULA CAPITAL MANAGEMENT (US) LLC added office(s): 2 -> 3 additional locations. IAPD ↗foreign
$210.93B RAUM · 13 reps · 44-20-4570-2067 · taulacapital.com
Office IT & facilitiesCRMRecruiting & transitions
23
SARONA ASSET MANAGEMENT INC. added office(s): 4 -> 5 additional locations. IAPD ↗foreign
$339.2M RAUM · 10 reps · 1-519-883-7557 · emiif.fund
Office IT & facilitiesCRMRecruiting & transitions
20
LEGACY PRIVATE CLIENT SERVICES added office(s): 1 -> 2 additional locations. IAPD ↗foreign
$0 RAUM · 1 reps · 514-782-5966 · legacyprivateclientservices.com
Office IT & facilitiesCRMRecruiting & transitions
20
BLUE3 INVESTMENTS LLC added office(s): 0 -> 2 additional locations. IAPD ↗foreign
$0 RAUM · 2 reps · +55 11 4858-3040 · blue3investments.com
Office IT & facilitiesCRMRecruiting & transitions
20
DELTA CAPITAL added office(s): 1 -> 2 additional locations. IAPD ↗foreign
$11.1M RAUM · 2 reps · 2107990214 · deltacapitalpro.com
Office IT & facilitiesCRMRecruiting & transitions
deregistered — 73 Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
65
INGALLS INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $7.83B RAUM, 50 reps). IAPD ↗
$7.83B RAUM · 50 reps · 212-269-7800 · ingalls.net
Recruiting & transitionsM&A & valuation
65
WESTEND ADVISORS, LLC (CHARLOTTE, NC) left the SEC roster (was $1.87B RAUM, 7 reps). IAPD ↗
$1.87B RAUM · 7 reps · 704-556-9300
Recruiting & transitionsM&A & valuation
65
SACHETTA, LLC (LYNNFIELD, MA) left the SEC roster (was $1.00B RAUM, 10 reps). IAPD ↗
$1.00B RAUM · 10 reps · 781-233-4138
Recruiting & transitionsM&A & valuation
65
STILLWATER CAPITAL ADVISORS, LLC (DEVON, PA) left the SEC roster (was $1.34B RAUM, 4 reps). IAPD ↗
$1.34B RAUM · 4 reps · 610-848-6760 · stillwateradv.com
Recruiting & transitionsM&A & valuation
65
MOTLEY FOOL WEALTH MANAGEMENT, LLC (ALEXANDRIA, VA) left the SEC roster (was $1.60B RAUM, 28 reps). IAPD ↗
$1.60B RAUM · 28 reps · 844-408-4390
Recruiting & transitionsM&A & valuation
65
WEALTHSHIELD PARTNERS, LLC (CARY, NC) left the SEC roster (was $1.27B RAUM, 13 reps). IAPD ↗
$1.27B RAUM · 13 reps · 919-948-4453 · madisonoakswp.com
Recruiting & transitionsM&A & valuation
65
U.S. CAPITAL WEALTH ADVISORS, LLC (HOUSTON, TX) left the SEC roster (was $8.76B RAUM, 71 reps). IAPD ↗
$8.76B RAUM · 71 reps · 713-366-0500
Recruiting & transitionsM&A & valuation
65
EVOKE ADVISORS (LOS ANGELES, CA) left the SEC roster (was $17.29B RAUM, 25 reps). IAPD ↗
$17.29B RAUM · 25 reps · 424-372-1776 · mai.capital.evoke-advisors
Recruiting & transitionsM&A & valuation
65
SAGE TRADING COLLECTIVE (location n/a) left the SEC roster (was $1.22B RAUM, 2 reps). IAPD ↗
$1.22B RAUM · 2 reps · 419-350-8981 · sagetradingcollective.com
Recruiting & transitionsM&A & valuation
63
BRAVE FAMILY ADVISORS (SUMMIT, NJ) left the SEC roster (was $624.3M RAUM, 5 reps). IAPD ↗
$624.3M RAUM · 5 reps · 908-522-8822
Recruiting & transitionsM&A & valuation
63
HIGH FALLS ADVISORS, INC. (ROCHESTER, NY) left the SEC roster (was $694.7M RAUM, 7 reps). IAPD ↗
$694.7M RAUM · 7 reps · 585-935-5300
Recruiting & transitionsM&A & valuation
63
WAGNER LOFTIN INVESTMENT SERVICES LLC (PLEASANT HILL, CA) left the SEC roster (was $396.4M RAUM, 7 reps). IAPD ↗
$396.4M RAUM · 7 reps · 925-930-7176 · wlisinvest.com
Recruiting & transitionsM&A & valuation
63
HARVEST INVESTMENT CONSULTANTS LLC (HUNT VALLEY, MD) left the SEC roster (was $549.0M RAUM, 5 reps). IAPD ↗
$549.0M RAUM · 5 reps · 410-561-9040
Recruiting & transitionsM&A & valuation
63
ARBOR CAPITAL MANAGEMENT INC (ANCHORAGE, AK) left the SEC roster (was $372.5M RAUM, 6 reps). IAPD ↗
$372.5M RAUM · 6 reps · 907-222-7581
Recruiting & transitionsM&A & valuation
63
CAPSTONE WEALTH MANAGEMENT GROUP, LLC (BEND, OR) left the SEC roster (was $266.1M RAUM, 5 reps). IAPD ↗
$266.1M RAUM · 5 reps · 541-330-0266 · capstonewmg.com
Recruiting & transitionsM&A & valuation
63
TRIPPON WEALTH MANAGEMENT GROUP LLC (HOUSTON, TX) left the SEC roster (was $262.3M RAUM, 4 reps). IAPD ↗
$262.3M RAUM · 4 reps · 713-661-1040 · financialadvisorhouston.com
Recruiting & transitionsM&A & valuation
63
NORTHERN CAPITAL RETIREMENT SERVICES, INC. (SPOKANE, WA) left the SEC roster (was $304.2M RAUM, 8 reps). IAPD ↗
$304.2M RAUM · 8 reps · 509-456-2526 · northernwelcome.com
Recruiting & transitionsM&A & valuation
63
CENTRAL FAMILY ADVISORS, LLC (NEW YORK, NY) left the SEC roster (was $608.3M RAUM, 2 reps). IAPD ↗
$608.3M RAUM · 2 reps · 917-993-7115 · cenfam.com
Recruiting & transitionsM&A & valuation
63
SOCHA FINANCIAL GROUP, LLC (CORNING, NY) left the SEC roster (was $430.0M RAUM, 3 reps). IAPD ↗
$430.0M RAUM · 3 reps · 607-962-0605 · sochafinancial.com
Recruiting & transitionsM&A & valuation
63
OPES WEALTH MANAGEMENT, LLC (MENLO PARK, CA) left the SEC roster (was $822.3M RAUM, 5 reps). IAPD ↗
$822.3M RAUM · 5 reps · 408-831-5800
Recruiting & transitionsM&A & valuation
63
IAM ADVISORY LLC (EASTON, PA) left the SEC roster (was $699.4M RAUM, 8 reps). IAPD ↗
$699.4M RAUM · 8 reps · 610-258-3269 · iamadvisoryllc.com
Recruiting & transitionsM&A & valuation
60
COKER & PALMER (JACKSON, MS) left the SEC roster (was $126.3M RAUM, 7 reps). IAPD ↗
$126.3M RAUM · 7 reps · 601-354-0860 · cokerpalmer.com
Recruiting & transitionsM&A & valuation
60
EFS ASSET MANAGEMENT LLC (DALLAS, TX) left the SEC roster (was $70.0M RAUM, 1 reps). IAPD ↗
$70.0M RAUM · 1 reps · 214-550-0914
Recruiting & transitionsM&A & valuation
60
MARIN WEALTH ADVISORS LLC (SAN RAFAEL, CA) left the SEC roster (was $76.1M RAUM, 2 reps). IAPD ↗
$76.1M RAUM · 2 reps · 415-458-5880
Recruiting & transitionsM&A & valuation
60
GENESIS ASSET MANAGEMENT GROUP, INC. (location n/a) left the SEC roster (was $86.6M RAUM, 1 reps). IAPD ↗
$86.6M RAUM · 1 reps · 212-856-9000 · genesisassetmgmt.com
Recruiting & transitionsM&A & valuation
60
GVS FINANCIAL GROUP, INC. (location n/a) left the SEC roster (was $118.0M RAUM, 1 reps). IAPD ↗
$118.0M RAUM · 1 reps · 516-507-7955
Recruiting & transitionsM&A & valuation
60
BILL LOSEY RETIREMENT SOLUTIONS, LLC (location n/a) left the SEC roster (was $39.6M RAUM, 1 reps). IAPD ↗
$39.6M RAUM · 1 reps · 518-708-9925 · billlosey.com
Recruiting & transitionsM&A & valuation
60
MILLARES ASSET MANAGEMENT, LLC (CORAL GABLES, FL) left the SEC roster (was $236.2M RAUM, 3 reps). IAPD ↗
$236.2M RAUM · 3 reps · 305-662-9649 · millares.net
Recruiting & transitionsM&A & valuation
60
FORTY THREE EIGHTEEN ADVISORS, LLC (BENTONVILLE, AR) left the SEC roster (was $167.8M RAUM, 1 reps). IAPD ↗
$167.8M RAUM · 1 reps · 479-254-9400 · 4318advisors.com
Recruiting & transitionsM&A & valuation
60
FINANCIAL PLANNING ASSOCIATES, LLC (WHITE PLAINS, NY) left the SEC roster (was $74.7M RAUM, 1 reps). IAPD ↗
$74.7M RAUM · 1 reps · (914) 997-9229 X13 · fpassociatesllc.com
Recruiting & transitionsM&A & valuation
60
U.S. PRIVATE WEALTH, LLC (PALM BEACH GARDENS, FL) left the SEC roster (was $200.3M RAUM, 3 reps). IAPD ↗
$200.3M RAUM · 3 reps · 561.855.4635
Recruiting & transitionsM&A & valuation
60
BANYAN GLOBAL INVESTMENT ADVISORS, LLC (BOCA RATON, FL) left the SEC roster (was $162.1M RAUM, 2 reps). IAPD ↗
$162.1M RAUM · 2 reps · 561-847-3596 · bgiadvisors.com
Recruiting & transitionsM&A & valuation
60
DAVID P. GILLIAM & ASSOCIATES, INC. (MUNCIE, IN) left the SEC roster (was $186.7M RAUM, 3 reps). IAPD ↗
$186.7M RAUM · 3 reps · 765-281-0012
Recruiting & transitionsM&A & valuation
60
SAPPHIRE BLUE INVESTMENT PARTNERS (FENTON, MI) left the SEC roster (was $200.0M RAUM, 2 reps). IAPD ↗
$200.0M RAUM · 2 reps · 810-714-9456
Recruiting & transitionsM&A & valuation
60
WEALTHPLANS, LLC (FREDERICK, MD) left the SEC roster (was $219.6M RAUM, 1 reps). IAPD ↗
$219.6M RAUM · 1 reps · 301-695-2800
Recruiting & transitionsM&A & valuation
60
PINNACLE WEALTH MANAGEMENT, LLC (ROSEVILLE, CA) left the SEC roster (was $211.1M RAUM, 3 reps). IAPD ↗
$211.1M RAUM · 3 reps · 916-772-0807 · pinnacle-mgmt.com
Recruiting & transitionsM&A & valuation
60
LI ENTERPRISES (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗
$0 RAUM · 0 reps · 510-325-9439 · li-enterprises.net
Recruiting & transitionsM&A & valuation
60
PLUM POINTE WEALTH MANAGEMENT (PROVIDENCE, RI) left the SEC roster (was $104.7M RAUM, 1 reps). IAPD ↗
$104.7M RAUM · 1 reps · 401-228-8258
Recruiting & transitionsM&A & valuation
60
STERLING LEGACY ADVISORS INC. (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 201-655-2022
Recruiting & transitionsM&A & valuation
60
MRP ADVISORS, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $96.1M RAUM, 1 reps). IAPD ↗
$96.1M RAUM · 1 reps · 770-462-4233 · mrpadvisors.com
Recruiting & transitionsM&A & valuation
60
NAPLES PRIVATE CAPITAL, LLC (MOORESVILLE, NC) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 5 reps). IAPD ↗
$0 RAUM · 5 reps · 877-281-8282 · naplesprivatecapital.com
Recruiting & transitionsM&A & valuation
55
JOBS PEAK ADVISORS (location n/a) left the SEC roster (was $73.58B RAUM, 1 reps). IAPD ↗institutional
$73.58B RAUM · 1 reps · 775-781-3656 · jobspeakadvisors.com
Recruiting & transitionsM&A & valuation
50
CAPITAL MANAGEMENT ASSOCIATES INC (NEW YORK, NY) left the SEC roster (was $68.7M RAUM, 3 reps). IAPD ↗institutional
$68.7M RAUM · 3 reps · 212-320-2000 · wellingtonshields.com
Recruiting & transitionsM&A & valuation
50
20 GATES MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $4.97B RAUM, 8 reps). IAPD ↗fund
$4.97B RAUM · 8 reps · 212-295-3790
Recruiting & transitionsM&A & valuation
50
MADISON CAPITAL PARTNERS (CHICAGO, IL) left the SEC roster (was $4.77B RAUM, 6 reps). IAPD ↗fund
$4.77B RAUM · 6 reps · 312-277-0156 · donothaveawebsite.x
Recruiting & transitionsM&A & valuation
50
CORRUM CAPITAL MANAGEMENT (CHARLOTTE, NC) left the SEC roster (was $1.39B RAUM, 10 reps). IAPD ↗fund
$1.39B RAUM · 10 reps · 704-330-7300 · corrumcapital.com
Recruiting & transitionsM&A & valuation
50
TWO CREEKS CAPITAL MANAGEMENT, LP (NEW YORK, NY) left the SEC roster (was $1.88B RAUM, 8 reps). IAPD ↗fund
$1.88B RAUM · 8 reps · 212 373 1240 · twocreekscapital.com
Recruiting & transitionsM&A & valuation
50
SUNRIVER MANAGEMENT LLC (GREENWICH, CT) left the SEC roster (was $1.20B RAUM, 5 reps). IAPD ↗fund
$1.20B RAUM · 5 reps · (203) 900-3900
Recruiting & transitionsM&A & valuation
50
QVR ADVISORS (SAN FRANCISCO, CA) left the SEC roster (was $1.13B RAUM, 5 reps). IAPD ↗fund
$1.13B RAUM · 5 reps · 510-684-8343 · qvradvisors.com
Recruiting & transitionsM&A & valuation
50
THIRDLINE CAPITAL MANAGEMENT LLC (RICHMOND, VA) left the SEC roster (was $64.3M RAUM, 6 reps). IAPD ↗institutional
$64.3M RAUM · 6 reps · 8045646801 · thirdlinecapital.com
Recruiting & transitionsM&A & valuation
50
ATOMIC VAULTS ADVISORS LLC (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 203-535-2052 · atomicvaults.com
Recruiting & transitionsM&A & valuation
50
OAKLAWN CAPITAL MANAGEMENT LLC (location n/a) left the SEC roster (was $153.0M RAUM, 4 reps). IAPD ↗institutional
$153.0M RAUM · 4 reps · 646-370-0416
Recruiting & transitionsM&A & valuation
50
BLOCKBRIDGE INVESTMENTS LLC (MINNEAPOLIS, MN) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 6513793931 · blockbridgeinvesments.com
Recruiting & transitionsM&A & valuation
48
HEARTWOOD FUNDS (NEW YORK, NY) left the SEC roster (was $317.6M RAUM, 1 reps). IAPD ↗fund
$317.6M RAUM · 1 reps · 212-918-4706 · heartwoodfunds.com
Recruiting & transitionsM&A & valuation
48
HARSPRING CAPITAL MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $459.1M RAUM, 3 reps). IAPD ↗fund
$459.1M RAUM · 3 reps · 646-859-5900
Recruiting & transitionsM&A & valuation
48
SPX CAPITAL MANAGEMENT LLC (NEW YORK, NY) left the SEC roster (was $350.0M RAUM, 6 reps). IAPD ↗fund
$350.0M RAUM · 6 reps · (212) 386-5810 · spxcapital.com
Recruiting & transitionsM&A & valuation
48
COLLAB+CURRENCY MANAGEMENT, LLC (location n/a) left the SEC roster (was $332.5M RAUM, 5 reps). IAPD ↗fund
$332.5M RAUM · 5 reps · 914-226-0653
Recruiting & transitionsM&A & valuation
48
INCLUSIVE CAPITAL PARTNERS, L.P. (SAN FRANCISCO, CA) left the SEC roster (was $591.1M RAUM, 3 reps). IAPD ↗fund
$591.1M RAUM · 3 reps · 708-302-0775 · in-cap.com
Recruiting & transitionsM&A & valuation
48
BY CRYPTO MANAGEMENT, LLC (LITTLE ROCK, AR) left the SEC roster (was $712.9M RAUM, 6 reps). IAPD ↗fund
$712.9M RAUM · 6 reps · 917-561-4905 · knowledge.blueyard.com
Recruiting & transitionsM&A & valuation
48
GROUNDED CAPITAL, LLC (MILL VALLEY, CA) left the SEC roster (was $520.0M RAUM, 7 reps). IAPD ↗fund
$520.0M RAUM · 7 reps · 415-692-5760 · groundedcapital.com
Recruiting & transitionsM&A & valuation
48
SOCOTRA MANAGEMENT, INC. (SACRAMENTO, CA) left the SEC roster (was $388.5M RAUM, 4 reps). IAPD ↗fund
$388.5M RAUM · 4 reps · 916-617-2221 · socotracapital.com
Recruiting & transitionsM&A & valuation
45
ARMORY CAPITAL GROUP, LLC (EL SEGUNDO, CA) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗fund
$0 RAUM · 2 reps · 310-643-9100 · armorycapital.com
Recruiting & transitionsM&A & valuation
45
MAZE INVESTMENTS, LLC (LOS ANGELES, CA) left the SEC roster (was $46.1M RAUM, 3 reps). IAPD ↗fund
$46.1M RAUM · 3 reps · (310) 846-8574
Recruiting & transitionsM&A & valuation
45
GRATIA CAPITAL, LLC (LOS ANGELES, CA) left the SEC roster (was $185.8M RAUM, 3 reps). IAPD ↗fund
$185.8M RAUM · 3 reps · 310-733-2500
Recruiting & transitionsM&A & valuation
45
BASELINE PARTNERS LLC (MESA, AZ) left the SEC roster (was $75.3M RAUM, 1 reps). IAPD ↗fund
$75.3M RAUM · 1 reps · 480-336-9730 · baseline-partners.com
Recruiting & transitionsM&A & valuation
45
BARRIER CAPITAL MANAGEMENT, LLC (SAN FRANCISCO, CA) left the SEC roster (was $136.0M RAUM, 1 reps). IAPD ↗fund
$136.0M RAUM · 1 reps · 650-380-1475 · barriercap.com
Recruiting & transitionsM&A & valuation
45
X CUBED CAPITAL MANAGEMENT LLC (MINNEAPOLIS, MN) left the SEC roster (was $184.0M RAUM, 5 reps). IAPD ↗fund
$184.0M RAUM · 5 reps · 612-457-0070
Recruiting & transitionsM&A & valuation
45
OEW INVESTMENT ADVISORS LP (AUSTIN, TX) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗fund
$0 RAUM · 2 reps · 682-427-0250 · oewadvisors.com
Recruiting & transitionsM&A & valuation
33
MISAKI CAPITAL INC. (TOKYO, Japan) left the SEC roster (was $512.1M RAUM, 6 reps). IAPD ↗foreign
$512.1M RAUM · 6 reps · +81-3-6427-7431 · misaki-capital.com
Recruiting & transitionsM&A & valuation
33
CEDERBERG CAPITAL LIMITED (LONDON, United Kingdom) left the SEC roster (was $684.6M RAUM, 2 reps). IAPD ↗foreign
$684.6M RAUM · 2 reps · +44 203 745 1701 · cederbergcap.com
Recruiting & transitionsM&A & valuation
33
CEDERBERG CAPITAL ASIA LIMITED (TSIM SHA TSUI, KOWLOON, Hong Kong) left the SEC roster (was $684.6M RAUM, 3 reps). IAPD ↗foreign
$684.6M RAUM · 3 reps · 90137758 · cederbergcap.com
Recruiting & transitionsM&A & valuation
30
ERGUS ASSET MANAGEMENT LTD. (NASSAU, Bahamas, The) left the SEC roster (was $0 RAUM, 3 reps). IAPD ↗foreign
$0 RAUM · 3 reps · 242-502-7031
Recruiting & transitionsM&A & valuation
30
MOSAIC CAPITAL INC. (GEORGE TOWN, GRAND CAYMAN, Cayman Islands) left the SEC roster (was $75.0M RAUM, 4 reps). IAPD ↗foreign
$75.0M RAUM · 4 reps · 345 546-2622 · msc.xyz
Recruiting & transitionsM&A & valuation
aum up — 46 Regulatory AUM up >=25% since last filing.
75
CAPITAL BANK AND TRUST COMPANY reported RAUM up 80% ($139.29B -> $250.98B). IAPD ↗
$250.98B RAUM · 0 reps · (949) 975-5000
Portfolio / reporting / TAMPCRMFinancial planning software
75
INTELLECTUS PARTNERS, LLC reported RAUM up 90% ($1.57B -> $2.98B). IAPD ↗
$2.98B RAUM · 6 reps · 415-795-7830
Portfolio / reporting / TAMPCRMFinancial planning software
73
CAPSTONE INVESTMENT GROUP reported RAUM up 94% ($176.4M -> $342.7M). IAPD ↗
$342.7M RAUM · 8 reps · 360-570-9888 · wisdomanddiscipline.com
Portfolio / reporting / TAMPCRMFinancial planning software
73
PRECISE INVESTMENT MANAGEMENT, INC. reported RAUM up 87% ($186.3M -> $349.2M). IAPD ↗
$349.2M RAUM · 6 reps · 702-906-0940
Portfolio / reporting / TAMPCRMFinancial planning software
72
NORTHERN CAPITAL MANAGEMENT, INC. reported RAUM up 74% ($526.7M -> $918.2M). IAPD ↗
$918.2M RAUM · 8 reps · 509-456-2526 · northernwelcome.com
Portfolio / reporting / TAMPCRMFinancial planning software
72
THURSTON SPRINGER ADVISORS reported RAUM up 63% ($3.68B -> $6.01B). IAPD ↗
$6.01B RAUM · 86 reps · 317.581.4000 · thurstonspringer.com
Portfolio / reporting / TAMPCRMFinancial planning software
71
PROFICIO CAPITAL PARTNERS LLC reported RAUM up 55% ($5.27B -> $8.17B). IAPD ↗
$8.17B RAUM · 11 reps · 617-340-8425 · proficiocap.com
Portfolio / reporting / TAMPCRMFinancial planning software
70
SKY VISION WEALTH MANAGEMENT CORP. reported RAUM up 92% ($52.8M -> $101.4M). IAPD ↗
$101.4M RAUM · 2 reps · 626-437-1436
Portfolio / reporting / TAMPCRMFinancial planning software
70
EAGLE'S CREST ADVISORS, LLC reported RAUM up 93% ($65.3M -> $125.9M). IAPD ↗
$125.9M RAUM · 3 reps · 646-627-6030
Portfolio / reporting / TAMPCRMFinancial planning software
68
TUTTLE CAPITAL MANAGEMENT, LLC reported RAUM up 41% ($3.91B -> $5.50B). IAPD ↗
$5.50B RAUM · 8 reps · 347-852-0548
Portfolio / reporting / TAMPCRMFinancial planning software
66
PRIVATE ADVISOR GROUP, LLC reported RAUM up 30% ($44.33B -> $57.70B). IAPD ↗
$57.70B RAUM · 885 reps · 973-538-7010
Portfolio / reporting / TAMPCRMFinancial planning software
65
A.G.P / ALLIANCE GLOBAL PARTNERS reported RAUM up 28% ($2.30B -> $2.95B). IAPD ↗
$2.95B RAUM · 144 reps · 800-727-7922 · agplowcountry.com
Portfolio / reporting / TAMPCRMFinancial planning software
65
FORTITUDE FAMILY OFFICE reported RAUM up 27% ($1.00B -> $1.27B). IAPD ↗
$1.27B RAUM · 14 reps · (602) 834-0089
Portfolio / reporting / TAMPCRMFinancial planning software
64
WESTERN FINANCIAL CORPORATION reported RAUM up 34% ($309.2M -> $414.4M). IAPD ↗
$414.4M RAUM · 2 reps · 619-544-0260
Portfolio / reporting / TAMPCRMFinancial planning software
63
INVESTCORP INVESTMENT SOLUTIONS LLC reported RAUM up 70% ($2.79B -> $4.72B). IAPD ↗institutional
$4.72B RAUM · 5 reps · 212-599-4700
Portfolio / reporting / TAMPCRMFinancial planning software
63
WAVVEST WEALTH reported RAUM up 27% ($268.5M -> $339.9M). IAPD ↗
$339.9M RAUM · 5 reps · 630-699-8602
Portfolio / reporting / TAMPCRMFinancial planning software
63
ADVISORENGINE PORTFOLIO SOLUTIONS INC. reported RAUM up 88% ($176.4M -> $331.3M). IAPD ↗institutional
$331.3M RAUM · 1 reps · 888-225-7216 · advisorengine-portfolio-solutions.com
Portfolio / reporting / TAMPCRMFinancial planning software
62
STIRLINGSHIRE INVESTMENTS reported RAUM up 36% ($179.8M -> $244.6M). IAPD ↗
$244.6M RAUM · 26 reps · 877-600-7026
Portfolio / reporting / TAMPCRMFinancial planning software
62
TUTTLE WEALTH PARTNERS LLC reported RAUM up 39% ($75.1M -> $104.2M). IAPD ↗
$104.2M RAUM · 2 reps · (800) 781-1219 · tuttlewealth.com
Portfolio / reporting / TAMPCRMFinancial planning software
62
GUARDANT WEALTH ADVISORS reported RAUM up 37% ($149.3M -> $204.4M). IAPD ↗
$204.4M RAUM · 3 reps · 305-845-7511 · guardantwealthadvisors.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
ISAM FUNDS (USA) LLC reported RAUM up 127% ($2.63B -> $5.95B). IAPD ↗fund
$5.95B RAUM · 3 reps · +1 212 561 1200 · isamfunds.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
CSP FINANCIAL GROUP LLC reported RAUM up 26% ($119.2M -> $150.6M). IAPD ↗
$150.6M RAUM · 21 reps · 480-600-9626 · cspfgllc.com
Portfolio / reporting / TAMPCRMFinancial planning software
60
GRIZZLE INVESTMENT MANAGEMENT LLC reported RAUM up 596% ($4.9M -> $34.2M). IAPD ↗institutional
$34.2M RAUM · 2 reps · (267) 419-7469
Portfolio / reporting / TAMPCRMFinancial planning software
59
JLENS reported RAUM up 56% ($183.3M -> $286.2M). IAPD ↗institutional
$286.2M RAUM · 5 reps · 212-885-7870 · jlensnetwork.org
Portfolio / reporting / TAMPCRMFinancial planning software
57
ADP STRATEGIC PLAN SERVICES, LLC reported RAUM up 36% ($23.78B -> $32.40B). IAPD ↗institutional
$32.40B RAUM · 6 reps · (973) 712-2000 · adpstrategicplanservices.com
Portfolio / reporting / TAMPCRMFinancial planning software
57
LATTIS MANAGEMENT LP reported RAUM up 74% ($210.7M -> $367.2M). IAPD ↗fund
$367.2M RAUM · 5 reps · +1 212 204 1688
Portfolio / reporting / TAMPCRMFinancial planning software
55
U.S. GLOBAL INVESTORS, INC. reported RAUM up 26% ($1.32B -> $1.67B). IAPD ↗institutional
$1.67B RAUM · 7 reps · 210-308-1234 · usfunds.com
Portfolio / reporting / TAMPCRMFinancial planning software
55
OPTIMIZED INVESTMENT PARTNERS, LLC reported RAUM up 38% ($525.0M -> $722.0M). IAPD ↗institutional
$722.0M RAUM · 2 reps · 858-335-1141 · optimizedip.com
Portfolio / reporting / TAMPCRMFinancial planning software
54
ANCIENT MANAGEMENT LP D/B/A ANCIENT reported RAUM up 58% ($531.5M -> $838.6M). IAPD ↗fund
$838.6M RAUM · 5 reps · 212-813-1610 · ancientlp.com
Portfolio / reporting / TAMPCRMFinancial planning software
53
BEDFORD RIDGE CAPITAL reported RAUM up 44% ($2.61B -> $3.76B). IAPD ↗fund
$3.76B RAUM · 3 reps · 312-530-9983 · bedfordridgecapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
53
MOORSTONE, L.P. reported RAUM up 43% ($2.18B -> $3.11B). IAPD ↗fund
$3.11B RAUM · 5 reps · 646-602-4800
Portfolio / reporting / TAMPCRMFinancial planning software
52
MAGELLAN INVESTMENT PARTNERS NORTH AMERICA, INC. reported RAUM up 36% ($119.3M -> $162.2M). IAPD ↗institutional
$162.2M RAUM · 3 reps · 847-509-9860 · us.magellaninvestmentpartners.com
Portfolio / reporting / TAMPCRMFinancial planning software
52
FLEXSTONE PARTNERS, LLC reported RAUM up 36% ($5.30B -> $7.20B). IAPD ↗fund
$7.20B RAUM · 21 reps · 212-703-0300
Portfolio / reporting / TAMPCRMFinancial planning software
50
SPIDER MANAGEMENT COMPANY, LLC reported RAUM up 26% ($6.41B -> $8.11B). IAPD ↗fund
$8.11B RAUM · 9 reps · 804-289-6010 · smc.richmond.edu
Portfolio / reporting / TAMPCRMFinancial planning software
50
HALO INVESTMENT SERVICES, LLC reported RAUM up 25% ($60.0M -> $75.2M). IAPD ↗institutional
$75.2M RAUM · 21 reps · 312-586-2790
Portfolio / reporting / TAMPCRMFinancial planning software
49
1 MAIN CAPITAL MANAGEMENT, LLC reported RAUM up 47% ($80.5M -> $118.7M). IAPD ↗fund
$118.7M RAUM · 2 reps · 305-710-8509 · 1maincapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
45
BRONTE CAPITAL reported RAUM up 102% ($1.15B -> $2.32B). IAPD ↗foreign
$2.32B RAUM · 11 reps · + 61 2 9389 3293
Portfolio / reporting / TAMPCRMFinancial planning software
45
ISAM FUNDS (UK) LIMITED reported RAUM up 127% ($2.63B -> $5.95B). IAPD ↗foreign
$5.95B RAUM · 53 reps · 44 207 258 9940 · isam.com
Portfolio / reporting / TAMPCRMFinancial planning software
45
VINVA INVESTMENT MANAGEMENT reported RAUM up 143% ($17.64B -> $42.90B). IAPD ↗foreign
$42.90B RAUM · 15 reps · +612 8298 4700 · vinva.com
Portfolio / reporting / TAMPCRMFinancial planning software
44
CLARITY INVESTMENT MANAGEMENT INC. reported RAUM up 72% ($1.13B -> $1.94B). IAPD ↗foreign
$1.94B RAUM · 3 reps · 604-200-2405 · clarity.com
Portfolio / reporting / TAMPCRMFinancial planning software
43
LIFE CYCLE INVESTMENT PARTNERS LIMITED reported RAUM up 70% ($17.30B -> $29.38B). IAPD ↗foreign
$29.38B RAUM · 8 reps · 44-20-4591-8446 · lcip.com
Portfolio / reporting / TAMPCRMFinancial planning software
42
PACIFIC ASSET MANAGEMENT reported RAUM up 61% ($12.88B -> $20.69B). IAPD ↗foreign
$20.69B RAUM · 21 reps · +44 203 970 3100
Portfolio / reporting / TAMPCRMFinancial planning software
39
MORANT WRIGHT MANAGEMENT LIMITED reported RAUM up 48% ($7.43B -> $10.99B). IAPD ↗foreign
$10.99B RAUM · 8 reps · 011-44-20-7499-9980 · morantwright.co.uk
Portfolio / reporting / TAMPCRMFinancial planning software
38
GRAND ALLIANCE ASSET MANAGEMENT LTD. reported RAUM up 42% ($1.81B -> $2.56B). IAPD ↗foreign
$2.56B RAUM · 28 reps · (852) 3852 6351 · gaamhk.com
Portfolio / reporting / TAMPCRMFinancial planning software
38
COOLABAH CAPITAL INSTITUTIONAL INVESTMENTS PTY LIMITED reported RAUM up 42% ($9.80B -> $13.92B). IAPD ↗foreign
$13.92B RAUM · 25 reps · 4402080668340 · coolabahcapital.com
Portfolio / reporting / TAMPCRMFinancial planning software
36
IFM INVESTORS PTY LTD reported RAUM up 33% ($152.93B -> $202.97B). IAPD ↗foreign
$202.97B RAUM · 277 reps · 61 1300 651 607
Portfolio / reporting / TAMPCRMFinancial planning software
disclosure added — 41 Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
55
J.P. MORGAN SECURITIES LLC's Item 11 disclosure-reporting entries rose by 1 (164 -> 165). IAPD ↗
$429.69B RAUM · 8479 reps · 800-999-2000 · wealthpartners.jpmorgan.com
ComplianceMarketing & brand
55
EDWARD JONES's Item 11 disclosure-reporting entries rose by 5 (301 -> 306). IAPD ↗
$1013.61B RAUM · 20304 reps · 314-515-2000 · bridgebuildermutualfunds.com
ComplianceMarketing & brand
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 2 (212 -> 214). IAPD ↗
$197.53B RAUM · 3079 reps · 314-342-2000 · moxonwealthmanagement.com
ComplianceMarketing & brand
55
LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 1 (380 -> 381). IAPD ↗
$819.12B RAUM · 36280 reps · 704-733-3300
ComplianceMarketing & brand
55
INDEPENDENT FINANCIAL GROUP, LLC's Item 11 disclosure-reporting entries rose by 4 (8 -> 12). IAPD ↗
$12.93B RAUM · 476 reps · 858-436-3180 · ifgsd.com
ComplianceMarketing & brand
55
PRIMERICA ADVISORS's Item 11 disclosure-reporting entries rose by 5 (52 -> 57). IAPD ↗
$15.54B RAUM · 3959 reps · 833-786-0550 · landmark.primerica.com
ComplianceMarketing & brand
55
MML INVESTORS SERVICES, LLC's Item 11 disclosure-reporting entries rose by 2 (76 -> 78). IAPD ↗
$115.64B RAUM · 4961 reps · (413) 226-0000 · mmlinvestors.com
ComplianceMarketing & brand
55
WELLS FARGO ADVISORS's Item 11 disclosure-reporting entries rose by 6 (648 -> 654). IAPD ↗
$671.42B RAUM · 7957 reps · 314-875-3000 · wellsfargoadvisors.com
ComplianceMarketing & brand
55
MADISON AVENUE SECURITIES, LLC's Item 11 disclosure-reporting entries rose by 1 (17 -> 18). IAPD ↗
$2.02B RAUM · 81 reps · 888-627-7323 · mas-bd.com
ComplianceMarketing & brand
55
RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 1 (163 -> 164). IAPD ↗
$310.43B RAUM · 5908 reps · 212-858-7000 · us.rbcwealthmanagement.com
ComplianceMarketing & brand
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC.'s Item 11 disclosure-reporting entries rose by 2 (135 -> 137). IAPD ↗
$199.66B RAUM · 91 reps · 212-454-4500 · dws.com
ComplianceMarketing & brand
55
NAVELLIER & ASSOCIATES INC's Item 11 disclosure-reporting entries rose by 5 (4 -> 9). IAPD ↗
$1.31B RAUM · 2 reps · 775-785-2300 · navellier.com
ComplianceMarketing & brand
55
RREEF AMERICA L.L.C.'s Item 11 disclosure-reporting entries rose by 2 (135 -> 137). IAPD ↗
$34.34B RAUM · 132 reps · 312-537-7000
ComplianceMarketing & brand
55
BROOKFIELD PUBLIC SECURITIES GROUP LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$66.46B RAUM · 41 reps · 212-417-7000 · publicsecurities.brookfield.com
ComplianceMarketing & brand
55
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.'s Item 11 disclosure-reporting entries rose by 7 (80 -> 87). IAPD ↗
$138.69B RAUM · 3496 reps · 641-472-5100 · cambridgestronger.com
ComplianceMarketing & brand
55
BTG PACTUAL ASSET MANAGEMENT US , LLC's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$30.11B RAUM · 108 reps · 212-293-4600
ComplianceMarketing & brand
55
MODERA WEALTH MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$17.68B RAUM · 106 reps · (201) 768-4600 · moderawealth.com
ComplianceMarketing & brand
55
THURSTON SPRINGER ADVISORS's Item 11 disclosure-reporting entries rose by 15 (0 -> 15). IAPD ↗
$6.01B RAUM · 86 reps · 317.581.4000 · thurstonspringer.com
ComplianceMarketing & brand
53
CREAND MANAGEMENT's Item 11 disclosure-reporting entries rose by 7 (1 -> 8). IAPD ↗
$506.6M RAUM · 14 reps · 305-358-8844 · creand.us
ComplianceMarketing & brand
53
J. HAGAN CAPITAL, INC.'s Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$341.8M RAUM · 6 reps · (502) 690-5635
ComplianceMarketing & brand
53
ZOE FINANCIAL, INC.'s Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
$283.5M RAUM · 2 reps · 646-680-9244
ComplianceMarketing & brand
53
FLORIDA FINANCIAL ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$456.1M RAUM · 667 reps · (813) 333-1683
ComplianceMarketing & brand
50
MUTUAL OF OMAHA INVESTOR SERVICES, INC.'s Item 11 disclosure-reporting entries rose by 2 (27 -> 29). IAPD ↗
$32.0M RAUM · 285 reps · 402-351-3102 · mutualofomaha.com
ComplianceMarketing & brand
50
CHARLES SCHWAB & CO., INC.'s Item 11 disclosure-reporting entries rose by 1 (20 -> 21). IAPD ↗
$0 RAUM · 4127 reps · 415-667-7000
ComplianceMarketing & brand
50
PROFICIENT WEALTH COUNSELORS, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$146.9M RAUM · 1 reps · 781-278-9488 · proficientwealth.com
ComplianceMarketing & brand
50
BLACKRIDGE ASSET MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 6 (2 -> 8). IAPD ↗
$216.7M RAUM · 66 reps · 561-641-5050 · peakbrokerageservices.com
ComplianceMarketing & brand
50
A BETTER WAY FINANCIAL, LLC's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$109.0M RAUM · 5 reps · 610-440-1700
ComplianceMarketing & brand
50
ALDEBARAN CAPITAL's Item 11 disclosure-reporting entries rose by 6 (0 -> 6). IAPD ↗
$0 RAUM · 2 reps · (504) 258-7110 · aldebarancapital.net
ComplianceMarketing & brand
45
DBX ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (135 -> 137). IAPD ↗institutional
$28.99B RAUM · 10 reps · 212-454-4500
ComplianceMarketing & brand
45
MML INVESTMENT ADVISERS, LLC's Item 11 disclosure-reporting entries rose by 2 (12 -> 14). IAPD ↗institutional
$24.55B RAUM · 11 reps · 413-744-1000
ComplianceMarketing & brand
45
COUNTERPOINTE INVESTMENT MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 2 (12 -> 14). IAPD ↗institutional
$1.05B RAUM · 22 reps · 855-431-4400
ComplianceMarketing & brand
40
DEUTSCHE BANK SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 2 (712 -> 714). IAPD ↗institutional
$0 RAUM · 134 reps · 212-250-2500 · db.com
ComplianceMarketing & brand
40
INSTITUTIONAL SHAREHOLDER SERVICES INC.'s Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗institutional
$0 RAUM · 1762 reps · 301-556-0500
ComplianceMarketing & brand
38
EPOCH CAPITAL, US's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗fund
$978.5M RAUM · 6 reps · 347-754-4874
ComplianceMarketing & brand
35
HATTERAS INVESTMENT PARTNERS, LP's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗fund
$114.8M RAUM · 2 reps · 919-846-2324 · hatterasinvestmentpartners.com
ComplianceMarketing & brand
25
DWS INTERNATIONAL GMBH's Item 11 disclosure-reporting entries rose by 2 (135 -> 137). IAPD ↗foreign
$228.87B RAUM · 80 reps · 49 69 910 12371
ComplianceMarketing & brand
25
DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 2 (134 -> 136). IAPD ↗foreign
$1.90B RAUM · 8 reps · 011 612 8258 1234 · dws.com
ComplianceMarketing & brand
25
1832 ASSET MANAGEMENT U.S. INC.'s Item 11 disclosure-reporting entries rose by 1 (17 -> 18). IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986 · jflglobal.com
ComplianceMarketing & brand
25
DWS ALTERNATIVES GLOBAL LIMITED's Item 11 disclosure-reporting entries rose by 2 (151 -> 153). IAPD ↗foreign
$24.51B RAUM · 89 reps · 44 207 547 5344
ComplianceMarketing & brand
25
DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗foreign
$5.10B RAUM · 17 reps · 852-2203-8888 · etf.dws.com
ComplianceMarketing & brand
25
BMO NESBITT BURNS SECURITIES LTD.'s Item 11 disclosure-reporting entries rose by 2 (12 -> 14). IAPD ↗foreign
$1.20B RAUM · 216 reps · 416-624-5509 · uswealth.bmo.com
ComplianceMarketing & brand
headcount up — 39 Advisory representative count grew materially (>=20% or >=5 reps).
85
WEDBUSH SECURITIES INC. grew from 202 to 288 advisory reps. IAPD ↗
$6.75B RAUM · 288 reps · 213-688-8000 · wedbush.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
CAPITAL RESEARCH AND MANAGEMENT COMPANY grew from 393 to 411 advisory reps. IAPD ↗
$4320.75B RAUM · 411 reps · 213-486-9200 · retirementsolutions.financialtrans.com
CRMRecruiting & transitionsComplianceFinancial planning software
85
PRIVATE ADVISOR GROUP, LLC grew from 670 to 885 advisory reps. IAPD ↗
$57.70B RAUM · 885 reps · 973-538-7010
CRMRecruiting & transitionsComplianceFinancial planning software
81
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. grew from 96 to 107 advisory reps. IAPD ↗
$48.37B RAUM · 107 reps · 213-486-9200
CRMRecruiting & transitionsComplianceFinancial planning software
79
XCELSIOR ADVISOR PARTNERS LLC grew from 13 to 22 advisory reps. IAPD ↗
$2.51B RAUM · 22 reps · 480-866-8616 · xcelsiorpartners.com
CRMRecruiting & transitionsComplianceFinancial planning software
75
EURAZEO NORTH AMERICA, INC. grew from 10 to 32 advisory reps. IAPD ↗institutional
$1.61B RAUM · 32 reps · 2126106060
CRMRecruiting & transitionsComplianceFinancial planning software
75
SIGNATURE EQUITY PARTNERS, LLC grew from 25 to 32 advisory reps. IAPD ↗
$688.1M RAUM · 32 reps · 614-846-6000 · midwestretirementconsultants.net
CRMRecruiting & transitionsComplianceFinancial planning software
74
WPWEALTH LLP grew from 14 to 18 advisory reps. IAPD ↗
$1.17B RAUM · 18 reps · 817-259-9100
CRMRecruiting & transitionsComplianceFinancial planning software
73
345 INVESTMENT ADVISORY, LLC grew from 1 to 6 advisory reps. IAPD ↗
$295.1M RAUM · 6 reps · 480-624-5650
CRMRecruiting & transitionsComplianceFinancial planning software
72
CLARK ASSET MANAGEMENT, LLC grew from 6 to 8 advisory reps. IAPD ↗
$1.32B RAUM · 8 reps · 603-237-1341
CRMRecruiting & transitionsComplianceFinancial planning software
72
SHARPE ADVISORS, LLC grew from 2 to 4 advisory reps. IAPD ↗
$1.23B RAUM · 4 reps · 908-455-0600
CRMRecruiting & transitionsComplianceFinancial planning software
71
STRATEGIC PLANNING GROUP grew from 5 to 8 advisory reps. IAPD ↗
$910.3M RAUM · 8 reps · 801-627-2200 · spgutah.com
CRMRecruiting & transitionsComplianceFinancial planning software
71
AVIVAR CAPITAL, LLC grew from 13 to 16 advisory reps. IAPD ↗
$362.1M RAUM · 16 reps · 818-681-6833
CRMRecruiting & transitionsComplianceFinancial planning software
71
SKYBOUND WEALTH USA grew from 6 to 12 advisory reps. IAPD ↗
$166.5M RAUM · 12 reps · 1-346-845-0001
CRMRecruiting & transitionsComplianceFinancial planning software
71
BROADSIDE WEALTH grew from 1 to 4 advisory reps. IAPD ↗
$874.5M RAUM · 4 reps · 628-218-5315
CRMRecruiting & transitionsComplianceFinancial planning software
71
EHG WEALTH MANAGEMENT grew from 4 to 10 advisory reps. IAPD ↗
$0 RAUM · 10 reps · 3176232007
CRMRecruiting & transitionsComplianceFinancial planning software
70
GRANT STREET ASSET MANAGEMENT INC grew from 6 to 8 advisory reps. IAPD ↗
$768.9M RAUM · 8 reps · 412-257-8060
CRMRecruiting & transitionsComplianceFinancial planning software
70
PRECISE INVESTMENT MANAGEMENT, INC. grew from 4 to 6 advisory reps. IAPD ↗
$349.2M RAUM · 6 reps · 702-906-0940
CRMRecruiting & transitionsComplianceFinancial planning software
70
WEALTH MANAGEMENT CPAS, LLC grew from 5 to 7 advisory reps. IAPD ↗
$329.2M RAUM · 7 reps · 801-272-4357 · wealthcpas.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
GFG SOLUTIONS grew from 4 to 6 advisory reps. IAPD ↗
$306.6M RAUM · 6 reps · 407-627-0091 · gfgsolutions.com
CRMRecruiting & transitionsComplianceFinancial planning software
70
WAVVEST WEALTH grew from 3 to 5 advisory reps. IAPD ↗
$339.9M RAUM · 5 reps · 630-699-8602
CRMRecruiting & transitionsComplianceFinancial planning software
69
ALTRUIST ADVISORS LLC grew from 2 to 6 advisory reps. IAPD ↗
$190.0M RAUM · 6 reps · 202 494 0435 · altruist.com
CRMRecruiting & transitionsComplianceFinancial planning software
68
FOUNDRY FINANCIAL LLC grew from 7 to 10 advisory reps. IAPD ↗
$232.6M RAUM · 10 reps · (213) 802-8662 · foundryfinancial.org
CRMRecruiting & transitionsComplianceFinancial planning software
67
FLEXSTONE PARTNERS, LLC grew from 9 to 21 advisory reps. IAPD ↗fund
$7.20B RAUM · 21 reps · 212-703-0300
CRMRecruiting & transitionsComplianceFinancial planning software
67
A BETTER WAY FINANCIAL, LLC grew from 3 to 5 advisory reps. IAPD ↗
$109.0M RAUM · 5 reps · 610-440-1700
CRMRecruiting & transitionsComplianceFinancial planning software
67
KOEHLER ASSET MANAGEMENT grew from 2 to 4 advisory reps. IAPD ↗
$111.0M RAUM · 4 reps · 631-332-2310
CRMRecruiting & transitionsComplianceFinancial planning software
62
SMBC ASSET MANAGEMENT, INC. grew from 3 to 10 advisory reps. IAPD ↗institutional
$199.8M RAUM · 10 reps · 212-418-3030
CRMRecruiting & transitionsComplianceFinancial planning software
61
CF PRIVATE EQUITY, INC. grew from 38 to 44 advisory reps. IAPD ↗fund
$17.53B RAUM · 44 reps · 203-563-5000 · cfprivateequity.com
CRMRecruiting & transitionsComplianceFinancial planning software
60
CAPITAL RESEARCH COMPANY grew from 118 to 123 advisory reps. IAPD ↗institutional
$0 RAUM · 123 reps · 213-486-9200 · capitalgroup.com
CRMRecruiting & transitionsComplianceFinancial planning software
59
MARCYPEN CAPITAL PARTNERS LLC grew from 13 to 17 advisory reps. IAPD ↗fund
$1.12B RAUM · 17 reps · 424-421-6040 · marcypen.com
CRMRecruiting & transitionsComplianceFinancial planning software
55
IFM INVESTORS PTY LTD grew from 183 to 277 advisory reps. IAPD ↗foreign
$202.97B RAUM · 277 reps · 61 1300 651 607
CRMRecruiting & transitionsComplianceFinancial planning software
53
AMBER ROAD INVESTORS LP grew from 1 to 4 advisory reps. IAPD ↗fund
$107.0M RAUM · 4 reps · 917-819-5512 · ar-investors.com
CRMRecruiting & transitionsComplianceFinancial planning software
49
ISAM FUNDS (UK) LIMITED grew from 44 to 53 advisory reps. IAPD ↗foreign
$5.95B RAUM · 53 reps · 44 207 258 9940 · isam.com
CRMRecruiting & transitionsComplianceFinancial planning software
46
ASHMORE INVESTMENT MANAGEMENT LTD grew from 44 to 50 advisory reps. IAPD ↗foreign
$47.36B RAUM · 50 reps · +44(0)20-3077-6000
CRMRecruiting & transitionsComplianceFinancial planning software
46
ANTIPODES PARTNERS LIMITED grew from 60 to 66 advisory reps. IAPD ↗foreign
$14.63B RAUM · 66 reps · +612 8970 7718
CRMRecruiting & transitionsComplianceFinancial planning software
44
ABBEY CAPITAL LIMITED grew from 19 to 23 advisory reps. IAPD ↗foreign
$7.58B RAUM · 23 reps · 00-353-1-8280400
CRMRecruiting & transitionsComplianceFinancial planning software
44
UG INVESTMENT ADVISERS LTD. grew from 12 to 16 advisory reps. IAPD ↗foreign
$3.51B RAUM · 16 reps · 886-9-2042-9057 · ugfunds.com
CRMRecruiting & transitionsComplianceFinancial planning software
43
RESOLUTION CAPITAL LIMITED grew from 15 to 18 advisory reps. IAPD ↗foreign
$8.40B RAUM · 18 reps · 61 2 8258 9188 · rescap.com
CRMRecruiting & transitionsComplianceFinancial planning software
42
Q WEALTH USA INC. grew from 4 to 11 advisory reps. IAPD ↗foreign
$0 RAUM · 11 reps · 1-833-793-2584
CRMRecruiting & transitionsComplianceFinancial planning software
relocation — 35 Main office moved to a different city or state.
50
SUMMA CORP. moved its main office from TOMBALL, TX to THE WOODLANDS, TX. IAPD ↗
$1.59B RAUM · 3 reps · 281-362-9977 · summa-wealth.com
Office IT & facilitiesMarketing & brand
50
MARQUETTE WEALTH MANAGEMENT moved its main office from MINNEAPOLIS, MN to MINNETONKA, MN. IAPD ↗
$1.07B RAUM · 4 reps · 612-661-3770
Office IT & facilitiesMarketing & brand
50
CROWNSTONE ADVISORY & INVESTMENT CORP moved its main office from ATLANTA, GA to NEW YORK, NY. IAPD ↗
$3.00B RAUM · 1 reps · 858-444-5933 · crownstoneinvestmentadvisory.com
Office IT & facilitiesMarketing & brand
48
HAMEL ASSOCIATES,INC. moved its main office from CENTER VALLEY, PA to ALLENTOWN, PA. IAPD ↗
$548.3M RAUM · 5 reps · (835) 282-2820 · hamelassociatesinc.com
Office IT & facilitiesMarketing & brand
48
SMH CAPITAL ADVISORS LLC moved its main office from FORT WORTH, TX to WEATHERFORD, TX. IAPD ↗
$503.1M RAUM · 2 reps · 817-569-7000 · smhca.com
Office IT & facilitiesMarketing & brand
48
DASH INVESTMENTS moved its main office from WOODLAND HILLS, CA to PLANO, TX. IAPD ↗
$681.6M RAUM · 7 reps · 800-549-3227
Office IT & facilitiesMarketing & brand
48
THINAGEE INVESTMENTS INC. moved its main office from CHEVY CHASE, MD to BETHESDA, MD. IAPD ↗
$265.4M RAUM · 1 reps · 240-235-1846 · thinagee.com
Office IT & facilitiesMarketing & brand
48
MEASURED WEALTH PRIVATE CLIENT GROUP, LLC moved its main office from PORTSMOUTH, NH to RYE, NH. IAPD ↗
$528.3M RAUM · 11 reps · 603-431-1444 · measuredwealth.net
Office IT & facilitiesMarketing & brand
48
WOODSIDE WEALTH MANAGEMENT moved its main office from FRAMINGHAM, MA to SUDBURY, MA. IAPD ↗
$266.6M RAUM · 2 reps · 508-655-0210 · woodsidewealth.com
Office IT & facilitiesMarketing & brand
48
MONON WEALTH MANAGEMENT moved its main office from CARMEL, IN to INDIANAPOLIS, IN. IAPD ↗
$546.8M RAUM · 7 reps · (317) 993-3999 · music.amazon.com
Office IT & facilitiesMarketing & brand
48
BRENTVIEW INVESTMENT MANAGEMENT, LLC moved its main office from NORTHFIELD, IL to ROSEMONT, IL. IAPD ↗
$265.7M RAUM · 4 reps · 312-283-4450
Office IT & facilitiesMarketing & brand
48
AUDENT GLOBAL ASSET MANAGEMENT, LLC moved its main office from WEST HOLLYWOOD, CA to BEVERLY HILLS, CA. IAPD ↗
$452.3M RAUM · 3 reps · 310-388-3818 · audentcap.com
Office IT & facilitiesMarketing & brand
48
OWL CREEK WEALTH PARTNERS moved its main office from DENVER, CO to GREENWOOD VILLAGE, CO. IAPD ↗
$602.3M RAUM · 2 reps · 303-409-4409 · owlcreekwealth.com
Office IT & facilitiesMarketing & brand
48
WEALTH INTELLIGENTLY NAVIGATED, LLC moved its main office from SPARTANBURG, SC to GREER, SC. IAPD ↗
$532.9M RAUM · 7 reps · (864) 375-4031
Office IT & facilitiesMarketing & brand
45
SYNDICATED CAPITAL, INC. moved its main office from DIAMOND BAR, CA to BREA, CA. IAPD ↗
$142.0M RAUM · 9 reps · 310-751-7098 · syndicatedcapital.com
Office IT & facilitiesMarketing & brand
45
GROESBECK INVESTMENT MANAGEMENT CORP moved its main office from PARAMUS, NJ to GLEN ROCK, NJ. IAPD ↗
$54.7M RAUM · 1 reps · 201-291-7888 · groesbeckim.com
Office IT & facilitiesMarketing & brand
45
FAMA FIDUCIARY WEALTH LLC moved its main office from ROCHESTER, NY to MANCHESTER, MO. IAPD ↗
$119.0M RAUM · 1 reps · 314-584-5550
Office IT & facilitiesMarketing & brand
45
ALPHA FIDUCIARY moved its main office from SCOTTSDALE, AZ to PHOENIX, AZ. IAPD ↗
$114.0M RAUM · 2 reps · 480-505-4033 · alphafiduciary.com
Office IT & facilitiesMarketing & brand
45
TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC. moved its main office from COSTA MESA, CA to NEWPORT BEACH, CA. IAPD ↗
$148.3M RAUM · 2 reps · 949-878-9400 · familyofficeria.com
Office IT & facilitiesMarketing & brand
45
AGEMY WEALTH ADVISORS, LLC moved its main office from DEVER, CO to DENVER, CO. IAPD ↗
$130.5M RAUM · 3 reps · 203-738-0027
Office IT & facilitiesMarketing & brand
45
RETIREMITTEN FINANCIAL LLC moved its main office from MILFORD, MI to CLARKSTON, MI. IAPD ↗
$213.8M RAUM · 4 reps · 248-935-0470 · retiremitten.com
Office IT & facilitiesMarketing & brand
45
UMB PRIVATE WEALTH MANAGEMENT, LLC moved its main office from KANSAS CITY, MO to OVERLAND PARK, KS. IAPD ↗
$124.7M RAUM · 41 reps · 816-860-7000 · umb.com
Office IT & facilitiesMarketing & brand
35
PBMARES WEALTH MANAGEMENT LLC moved its main office from WILLIAMSBURG, VA to FAIRFAX, VA. IAPD ↗institutional
$0 RAUM · 1 reps · 703-385-8577
Office IT & facilitiesMarketing & brand
35
ARGA INVESTMENT MANAGEMENT, LP moved its main office from STAMFORD, CT to MIAMI, FL. IAPD ↗fund
$24.57B RAUM · 25 reps · 645-229-5501
Office IT & facilitiesMarketing & brand
35
METAURUS ADVISORS LLC moved its main office from HOBOKEN, NJ to WESTPORT, CT. IAPD ↗fund
$1.58B RAUM · 5 reps · (203) 702-7321
Office IT & facilitiesMarketing & brand
35
AFBI LP moved its main office from MIAMI BEACH, FL to NEW YORK, NY. IAPD ↗fund
$2.34B RAUM · 11 reps · 212-970-9250
Office IT & facilitiesMarketing & brand
35
ROC PARTNERS (US) LLC moved its main office from SYDNEY NSW, to NEW YORK, NY. IAPD ↗institutional
$121.1M RAUM · 1 reps · 212-972-5700 · rocp.com
Office IT & facilitiesMarketing & brand
35
LOGIQ CAPITAL LLC moved its main office from ENGLEWOOD, NJ to JERSEY CITY, NJ. IAPD ↗institutional
$0 RAUM · 1 reps · 848-230-4523
Office IT & facilitiesMarketing & brand
35
PORTFOLIO POV moved its main office from SACRAMENTO, CA to SAN FRANCISCO, CA. IAPD ↗institutional
$0 RAUM · 2 reps · 669-326-7221 · portfolio-pov.com
Office IT & facilitiesMarketing & brand
33
TAURUS PRIVATE MARKETS, LLC moved its main office from MALVERN, PA to WAYNE, PA. IAPD ↗fund
$508.7M RAUM · 5 reps · 484-318-8650
Office IT & facilitiesMarketing & brand
33
IG4 CAPITAL ADVISORS US LLC moved its main office from WASHINGTON, DC to NEW YORK, NY. IAPD ↗fund
$321.5M RAUM · 3 reps · +12039715686
Office IT & facilitiesMarketing & brand
30
1 MAIN CAPITAL MANAGEMENT, LLC moved its main office from WESTPORT, CT to AVENTURA, FL. IAPD ↗fund
$118.7M RAUM · 2 reps · 305-710-8509 · 1maincapital.com
Office IT & facilitiesMarketing & brand
30
BALLAST EQUITY PARTNERS MANAGEMENT COMPANY, LLC moved its main office from PROVIDENCE, RI to NEW YORK, NY. IAPD ↗fund
$111.9M RAUM · 4 reps · 401-484-0675
Office IT & facilitiesMarketing & brand
15
DELTA CAPITAL moved its main office from SANTANA DE PARNAÍBA, SÃO PAULO, to SANTANA DE PARNAIBA, . IAPD ↗foreign
$11.1M RAUM · 2 reps · 2107990214 · deltacapitalpro.com
Office IT & facilitiesMarketing & brand
15
APT WEALTH USA PTY LTD moved its main office from SYDNEY, NEW SOUTH WALES, to MELBOURNE VIC, . IAPD ↗foreign
$0 RAUM · 1 reps · +61 3 8779 5254 · aptwealth.com.au
Office IT & facilitiesMarketing & brand
pending approved — 33 120-day provisional registration became a full approval.
75
SHARPE ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗
$1.23B RAUM · 4 reps · 908-455-0600
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
75
CROWNSTONE ADVISORY & INVESTMENT CORP's provisional registration is now fully approved. IAPD ↗
$3.00B RAUM · 1 reps · 858-444-5933 · crownstoneinvestmentadvisory.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
BLUE HORIZON EQUITY, INC.'s provisional registration is now fully approved. IAPD ↗
$745.9M RAUM · 45 reps · 1 585 641 7900 · abelwealthmanagement.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
GENOA WEALTH, LLC's provisional registration is now fully approved. IAPD ↗
$376.7M RAUM · 2 reps · 985- 869-6070 · genoawealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
TREASURE VALLEY FINANCIAL PLANNING's provisional registration is now fully approved. IAPD ↗
$336.0M RAUM · 7 reps · 208-789-0888 · treasurevalleyplanning.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
LIFEWISE WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$491.9M RAUM · 6 reps · 217 351 8755 · lifewisewealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
INTENTGEN FINANCIAL PARTNERS's provisional registration is now fully approved. IAPD ↗
$756.6M RAUM · 6 reps · 630-821-6990 · intentgen.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
345 INVESTMENT ADVISORY, LLC's provisional registration is now fully approved. IAPD ↗
$295.1M RAUM · 6 reps · 480-624-5650
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
73
BROADSIDE WEALTH's provisional registration is now fully approved. IAPD ↗
$874.5M RAUM · 4 reps · 628-218-5315
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
IM WEALTH PARTNERS's provisional registration is now fully approved. IAPD ↗
$123.9M RAUM · 8 reps · 610-650-1848 · imwealthpartners.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ASCENT ADVISORS's provisional registration is now fully approved. IAPD ↗
$110.8M RAUM · 8 reps · 952-444-3100
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
HOLON WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$124.0M RAUM · 1 reps · (541) 200-0975
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
FAMILY OFFICE INVESTMENT ADVISORY LLC's provisional registration is now fully approved. IAPD ↗
$220.0M RAUM · 3 reps · (800) 447-7090
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
STERLING LABS's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 4 reps · 3479242009 · sterlinglabs.co
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
R.I.T. WEALTH ADVISORS's provisional registration is now fully approved. IAPD ↗
$235.4M RAUM · 1 reps · (949) 340-1701 · ritwealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ANCHR TECHNOLOGIES RIA LLC's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 2 reps · (646) 543-4771
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
ALTRUIST ADVISORS LLC's provisional registration is now fully approved. IAPD ↗
$190.0M RAUM · 6 reps · 202 494 0435 · altruist.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
CHARLESBRIDGE ADVISORS's provisional registration is now fully approved. IAPD ↗
$108.5M RAUM · 4 reps · (781) 682-3299
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
HYCO RIVER INVESTMENTS, INCORPORATED's provisional registration is now fully approved. IAPD ↗
$168.6M RAUM · 2 reps · 703-338-9419 · hycoinvestments.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
KEYSTONE FINANCIAL RESOURCES, LLC's provisional registration is now fully approved. IAPD ↗
$178.5M RAUM · 4 reps · 707-932-5849 · keystonewealtalliance.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
UNIFIED RETIREMENT PLANNING GROUP's provisional registration is now fully approved. IAPD ↗
$197.0M RAUM · 1 reps · 914 432-5800 · myurpg.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
COSMOS WEALTH, LLC's provisional registration is now fully approved. IAPD ↗
$191.5M RAUM · 2 reps · 8582903300 · cosmoswealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
NORTHWIND FINANCIAL LLC's provisional registration is now fully approved. IAPD ↗
$142.2M RAUM · 2 reps · 541-318-7871 · northwindfinancial.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
3D ADVISOR GROUP, INC.'s provisional registration is now fully approved. IAPD ↗
$194.3M RAUM · 2 reps · (508) 808-1423 · 3dadvisorgroup.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
MILLER WEALTH MANAGEMENT's provisional registration is now fully approved. IAPD ↗
$100.4M RAUM · 1 reps · 480-613-7400
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
SCHONFELD WEALTH MANAGEMENT, LLC's provisional registration is now fully approved. IAPD ↗
$132.9M RAUM · 2 reps · 718-963-9700 · schonfeldwm.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
HERITAGE HAUS WEALTH PARTNERS LLC's provisional registration is now fully approved. IAPD ↗
$241.1M RAUM · 3 reps · 830-316-3590 · heritagehauswealth.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
63
KUTUMB INVESTMENTS LLC's provisional registration is now fully approved. IAPD ↗institutional
$250.0M RAUM · 3 reps · 212-970-5590 · kutumbinvestments.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
SMBC ASSET MANAGEMENT, INC.'s provisional registration is now fully approved. IAPD ↗institutional
$199.8M RAUM · 10 reps · 212-418-3030
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
FOURNORTH CAPITAL LLC's provisional registration is now fully approved. IAPD ↗institutional
$117.7M RAUM · 2 reps · 215-217-2360
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
PARK ROAD PARTNERS LP's provisional registration is now fully approved. IAPD ↗fund
$691.3M RAUM · 6 reps · 203-437-0692 · parkrd.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
MERAKI CAPITAL PARTNERS LP's provisional registration is now fully approved. IAPD ↗fund
$584.5M RAUM · 5 reps · 332-249-4944 · meraki-cap.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
AMBROSE CAPITAL ADVISORS, LLC's provisional registration is now fully approved. IAPD ↗fund
$228.2M RAUM · 15 reps · 1 317-573-4600 · ambrosepg.com
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
rename — 26 Primary business name changed: rebrand, merger, or ownership change.
60
BOUCHEY FINANCIAL GROUP LTD is now doing business as BOUCHEY FINANCIAL GROUP, LTD.. IAPD ↗
$1.61B RAUM · 11 reps · 518-720-3333 · boucheyfinancial.com
Marketing & brandCRM
60
FALCON WEALTH PLANNING, INC. is now doing business as FALCON WEALTH PLANNING, LLC. IAPD ↗
$1.96B RAUM · 22 reps · 855-963-2526
Marketing & brandCRM
60
STANSBERRY ASSET MANAGEMENT, LLC is now doing business as MERISTEAD WEALTH, LLC. IAPD ↗
$1.29B RAUM · 14 reps · 646-854-4370 · meristead.com
Marketing & brandCRM
58
CAIRN INVESTMENT GROUP is now doing business as CAIRN WEALTH MANAGEMENT. IAPD ↗
$385.0M RAUM · 3 reps · 503-241-4901
Marketing & brandCRM
58
TSG ADVICE PARTNERS, LLC is now doing business as ASENDO WEALTH ADVISORY. IAPD ↗
$866.5M RAUM · 12 reps · (614) 697-2750
Marketing & brandCRM
55
KEYSTONE FINANCIAL GROUP, INC. is now doing business as LARGE AND GILBERT WEALTH ADVISORY. IAPD ↗
$247.4M RAUM · 5 reps · 770-698-9816 · keystonefg.com
Marketing & brandCRM
55
EMSTONE ADVISERS, LLC is now doing business as AJO VISTA, AN EMERALD COMPANY. IAPD ↗
$29.3M RAUM · 1 reps · 717-556-8900 · emstoneadvisers.com
Marketing & brandCRM
55
DEL-SETTE CAPITAL MANAGEMENT, LLC is now doing business as HAPPINESS IN RETIREMENT. IAPD ↗
$192.5M RAUM · 5 reps · 518-793-3851
Marketing & brandCRM
55
BRASIL PLURAL INVESTMENT ADVISOR LLC is now doing business as SIMETRIA ADVISORY GROUP LLC. IAPD ↗
$201.6M RAUM · 14 reps · (305) 860-0770
Marketing & brandCRM
55
DELOS CAPITAL ADVISORS is now doing business as DELOS PRIVATE CLIENT GROUP, LLC. IAPD ↗
$185.6M RAUM · 7 reps · 972-810-1610
Marketing & brandCRM
55
WFA OF SAN DIEGO is now doing business as ZERMATT WEALTH ADVISORS. IAPD ↗
$206.9M RAUM · 2 reps · (619) 491-0225
Marketing & brandCRM
55
HENDERSON FINANCIAL GROUP LLC is now doing business as HARBORPOINT WEALTH PARTNERS. IAPD ↗
$136.4M RAUM · 3 reps · 757-314-4638 · hendersonfg.com
Marketing & brandCRM
55
GREG JENNINGS, LLC is now doing business as IVES HILL WEALTH MANAGEMENT. IAPD ↗
$183.1M RAUM · 2 reps · 315-446-8720
Marketing & brandCRM
55
SPRINGHILL WEALTH MANAGEMENT, LLC is now doing business as SPRINGHILL WEALTH MANAGEMENT. IAPD ↗
$82.0M RAUM · 1 reps · 406-750-3515 · springhillwealth.com
Marketing & brandCRM
55
MIFEL CAPITAL PARTNERS LLC is now doing business as MIFEL WEALTH. IAPD ↗
$0 RAUM · 1 reps · 786 702 0078
Marketing & brandCRM
50
COLLER CAPITAL INC is now doing business as COLLER EQT. IAPD ↗institutional
$11.95B RAUM · 25 reps · 1 212 644 8500 · linkedin.com coller capital
Marketing & brandCRM
50
COLLER PRIVATE MARKET SECONDARIES ADVISORS, LLC is now doing business as COLLER EQT. IAPD ↗institutional
$1.85B RAUM · 0 reps · 212 644 8500 · pwss.collercapital.com
Marketing & brandCRM
45
CAMPBELL GLOBAL is now doing business as J.P. MORGAN NATURAL CAPITAL. IAPD ↗fund
$7.02B RAUM · 31 reps · 503-275-9675
Marketing & brandCRM
45
MSC ADVISER I, LLC is now doing business as MAIN STREET CAPITAL PARTNERS. IAPD ↗fund
$1.73B RAUM · 54 reps · 713-350-6000 · mainstcapital.com
Marketing & brandCRM
45
ARENA INVESTORS, LP is now doing business as CCAVENTUS ASSET MANAGEMENT LP. IAPD ↗fund
$2.99B RAUM · 34 reps · 212-612-3205
Marketing & brandCRM
45
EF PORTFOLIO is now doing business as PORTFOLIO POV. IAPD ↗institutional
$0 RAUM · 2 reps · 669-326-7221 · portfolio-pov.com
Marketing & brandCRM
45
LEGGETT VENTURES is now doing business as LEGGETT CAPITAL PARTNERS. IAPD ↗institutional
$0 RAUM · 1 reps · 832-804-8301 · leggettventures.com
Marketing & brandCRM
43
RIVERSIDE PARTNERS, LLC is now doing business as RS2 HEALTHCARE PARTNERS. IAPD ↗fund
$923.7M RAUM · 13 reps · 617-351-2800
Marketing & brandCRM
43
PALLADIN CONSUMER RETAIL PARTNERS, LLC is now doing business as PALLADIN CONSUMER PARTNERS, LLC. IAPD ↗fund
$457.3M RAUM · 8 reps · 617-585-3800 · palladincapital.com
Marketing & brandCRM
40
KELSON ASSET MANAGEMENT LLC is now doing business as WARDROOM PARTNERS. IAPD ↗fund
$205.6M RAUM · 3 reps · 917-691-8007
Marketing & brandCRM
30
HIIVE ADVISORS INC. is now doing business as CLARITY INVESTMENT MANAGEMENT INC.. IAPD ↗foreign
$1.94B RAUM · 3 reps · 604-200-2405 · clarity.com
Marketing & brandCRM
website changed — 26 Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
30
FRANKLIN MUTUAL ADVISERS, LLC changed its website from franklintempleton.com to njbest.com. IAPD ↗
$42.59B RAUM · 37 reps · (973) 912-2000 · njbest.com
Marketing & brand
30
COOPER MCMANUS changed its website from purmortgroup.com to crossfinancial.com. IAPD ↗
$2.85B RAUM · 50 reps · 800-516-5333 · crossfinancial.com
Marketing & brand
30
REDHAWK WEALTH ADVISORS, INC. changed its website from thewittmangroup.com to redhawkwa.com. IAPD ↗
$1.46B RAUM · 47 reps · 952-835-4295 · redhawkwa.com
Marketing & brand
30
RETIREMENT PLANNERS OF AMERICA changed its website from moneymatters.net to retirementplannersofamerica.com. IAPD ↗
$3.59B RAUM · 26 reps · 469-246-3600 · retirementplannersofamerica.com
Marketing & brand
30
MERISTEAD WEALTH, LLC changed its website from stansberryam.com to meristead.com. IAPD ↗
$1.29B RAUM · 14 reps · 646-854-4370 · meristead.com
Marketing & brand
30
TITLEIST ASSET MANAGEMENT, LLC changed its website from visionbasedplanning.com to blumandwhite.com. IAPD ↗
$2.79B RAUM · 25 reps · 210-826-2424 · blumandwhite.com
Marketing & brand
30
INDIVISIBLE PARTNERS changed its website from linkedin.company to indivisible.com. IAPD ↗
$2.08B RAUM · 13 reps · 732-306-5490 · indivisible.com
Marketing & brand
28
WEALTH ASSET MANAGERS changed its website from nelson-securities.com to nelsonsecurities.com. IAPD ↗
$321.9M RAUM · 9 reps · 509-838-1313 · nelsonsecurities.com
Marketing & brand
28
CAPSTONE INVESTMENT GROUP changed its website from yourcapstone.com to wisdomanddiscipline.com. IAPD ↗
$342.7M RAUM · 8 reps · 360-570-9888 · wisdomanddiscipline.com
Marketing & brand
28
SWAN CAPITAL changed its website from pinterest.com to swan-capital.com. IAPD ↗
$351.4M RAUM · 6 reps · (850) 380-9558 · swan-capital.com
Marketing & brand
28
ACCELERATE RETIREMENT changed its website from accelerateretirement.com to lbgadvisors.com. IAPD ↗
$315.4M RAUM · 31 reps · 888-439-7071 · lbgadvisors.com
Marketing & brand
28
PERMANENT CAPITAL MANAGEMENT, LP changed its website from permanent-capital.com to permcapital.com. IAPD ↗
$768.9M RAUM · 1 reps · 773-343-4697 · permcapital.com
Marketing & brand
28
ADVISORY SOLUTIONS GROUP changed its website from oakandvinewm.com to meridianwealthalliance.com. IAPD ↗
$408.4M RAUM · 33 reps · 763-417-1700 · meridianwealthalliance.com
Marketing & brand
28
BLUE HORIZON EQUITY, INC. changed its website from itppartners.com to abelwealthmanagement.com. IAPD ↗
$745.9M RAUM · 45 reps · 1 585 641 7900 · abelwealthmanagement.com
Marketing & brand
25
SIMPLYRIA ADVISOR NETWORK changed its website from caitlinjohn.com to simplyria.com. IAPD ↗
$214.9M RAUM · 25 reps · 810-355-1325 · simplyria.com
Marketing & brand
25
ELEVATION ADVISORY PARTNERS LLC changed its website from eap-advisors.com to harrisoncapitalmanagement.com. IAPD ↗
$226.0M RAUM · 4 reps · 913-827-4588 · harrisoncapitalmanagement.com
Marketing & brand
25
ALTITUDE CAPITAL MANAGEMENT LLC changed its website from altitudecm.com to 3treesrp.com. IAPD ↗
$103.6M RAUM · 26 reps · 515-207-3310 · 3treesrp.com
Marketing & brand
25
STERLING LABS changed its website from tryterminal.ai to sterlinglabs.co. IAPD ↗
$0 RAUM · 4 reps · 3479242009 · sterlinglabs.co
Marketing & brand
25
SPRINGHILL WEALTH MANAGEMENT changed its website from lucent-financial.com to springhillwealth.com. IAPD ↗
$82.0M RAUM · 1 reps · 406-750-3515 · springhillwealth.com
Marketing & brand
20
RESEARCH AFFILIATES changed its website from researchaffiliates.com to syzygyassetmanagement.com. IAPD ↗institutional
$32.22B RAUM · 15 reps · 949 325 8700 · syzygyassetmanagement.com
Marketing & brand
20
COLLER EQT changed its website from collercapital.com to linkedin.com coller capital. IAPD ↗institutional
$11.95B RAUM · 25 reps · 1 212 644 8500 · linkedin.com coller capital
Marketing & brand
15
PORTFOLIO POV changed its website from efportfolio.com to portfolio-pov.com. IAPD ↗institutional
$0 RAUM · 2 reps · 669-326-7221 · portfolio-pov.com
Marketing & brand
13
INTREPID INVESTMENT MANAGEMENT, LLC changed its website from intrepidfp.com to intrepidim.com. IAPD ↗fund
$336.0M RAUM · 7 reps · 212-279-1996 · intrepidim.com
Marketing & brand
1
TEMPLETON ASSET MANAGEMENT LTD. changed its website from ftinstitutional.com to ftinstitutionalapac.com. IAPD ↗foreign
$24.05B RAUM · 39 reps · 65-6241-0777 · ftinstitutionalapac.com
Marketing & brand
1
FIRST SENTIER INVESTORS (SINGAPORE) changed its website from firstsentierinvestors.com to firstsentiergroup.com. IAPD ↗foreign
$10.84B RAUM · 19 reps · +65 65380008 · firstsentiergroup.com
Marketing & brand
1
CLARITY INVESTMENT MANAGEMENT INC. changed its website from hiive.com to clarity.com. IAPD ↗foreign
$1.94B RAUM · 3 reps · 604-200-2405 · clarity.com
Marketing & brand
custody started — 21 Firm now reports custody of client assets — surprise exams and controls follow.
70
LRI INVESTMENTS now reports custody of client assets ($999,900). IAPD ↗
$2.78B RAUM · 31 reps · 561-323-2265
ComplianceCustodian
68
THE JENKINS GROUP now reports custody of client assets ($111.3M). IAPD ↗
$270.1M RAUM · 3 reps · 229-883-8028
ComplianceCustodian
68
GREEN RIDGE WEALTH PLANNING LLC now reports custody of client assets ($5.4M). IAPD ↗
$389.6M RAUM · 5 reps · 973-554-1770
ComplianceCustodian
68
AUDENT GLOBAL ASSET MANAGEMENT, LLC now reports custody of client assets ($256.0M). IAPD ↗
$452.3M RAUM · 3 reps · 310-388-3818 · audentcap.com
ComplianceCustodian
68
LAVELLE CAPITAL now reports custody of client assets ($119.0M). IAPD ↗
$508.2M RAUM · 2 reps · 415-501-9987
ComplianceCustodian
68
LRZ CAPITAL LLC now reports custody of client assets ($7.7M). IAPD ↗
$500.8M RAUM · 4 reps · 305-615-0215 · lrzcapital.com
ComplianceCustodian
68
PRAIRIE ADVISORY, LLC now reports custody of client assets ($145.2M). IAPD ↗
$554.3M RAUM · 9 reps · 913-963-1054 · prairieadvisoryllc.com
ComplianceCustodian
68
INTENTGEN FINANCIAL PARTNERS now reports custody of client assets ($358.6M). IAPD ↗
$756.6M RAUM · 6 reps · 630-821-6990 · intentgen.com
ComplianceCustodian
68
345 INVESTMENT ADVISORY, LLC now reports custody of client assets ($27.2M). IAPD ↗
$295.1M RAUM · 6 reps · 480-624-5650
ComplianceCustodian
68
BROADSIDE WEALTH now reports custody of client assets ($25.0M). IAPD ↗
$874.5M RAUM · 4 reps · 628-218-5315
ComplianceCustodian
65
RJJ PASADENA SECURITIES, INC. now reports custody of client assets ($38.9M). IAPD ↗
$115.2M RAUM · 2 reps · 626-792-1244
ComplianceCustodian
65
MARATHON STRATEGIC ADVISORS, LLC now reports custody of client assets ($117.6M). IAPD ↗
$182.7M RAUM · 1 reps · 740-282-5198 · mstrategic.com
ComplianceCustodian
65
DAVIS CAPITAL ADVISORS, LLC now reports custody of client assets ($619,426). IAPD ↗
$46.9M RAUM · 1 reps · 212-796-8440 · daviscapitaladvisors.com
ComplianceCustodian
65
REA FINANCIAL now reports custody of client assets ($54.8M). IAPD ↗
$54.8M RAUM · 1 reps · 407-787-9700
ComplianceCustodian
65
SCHONFELD WEALTH MANAGEMENT, LLC now reports custody of client assets ($5.4M). IAPD ↗
$132.9M RAUM · 2 reps · 718-963-9700 · schonfeldwm.com
ComplianceCustodian
65
STEFFENS FINANCIAL CORP now reports custody of client assets ($4.0M). IAPD ↗
$162.0M RAUM · 3 reps · 973-786-3696 · steffensfinancial.com
ComplianceCustodian
53
PEGASUS CAPITAL ADVISORS, L.P. now reports custody of client assets ($283.5M). IAPD ↗fund
$315.5M RAUM · 7 reps · 203-869-4400
ComplianceCustodian
53
MERAKI CAPITAL PARTNERS LP now reports custody of client assets ($584.5M). IAPD ↗fund
$584.5M RAUM · 5 reps · 332-249-4944 · meraki-cap.com
ComplianceCustodian
50
AMBROSE CAPITAL ADVISORS, LLC now reports custody of client assets ($228.2M). IAPD ↗fund
$228.2M RAUM · 15 reps · 1 317-573-4600 · ambrosepg.com
ComplianceCustodian
50
AMBER ROAD INVESTORS LP now reports custody of client assets ($214.1M). IAPD ↗fund
$107.0M RAUM · 4 reps · 917-819-5512 · ar-investors.com
ComplianceCustodian
38
KALEIDO CAPITAL PARTNERS LIMITED now reports custody of client assets ($47.4M). IAPD ↗foreign
$270.0M RAUM · 4 reps · +852-3595-0905 · kaleido-cap.com
ComplianceCustodian
headcount down — 19 Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
55
FINANCIAL SECURITY ADVISORY INC shrank from 43 to 37 advisory reps. IAPD ↗
$1.95B RAUM · 37 reps · 757-431-1414 · gofsg.com
Recruiting & transitionsM&A & valuation
55
TUTTLE CAPITAL MANAGEMENT, LLC shrank from 10 to 8 advisory reps. IAPD ↗
$5.50B RAUM · 8 reps · 347-852-0548
Recruiting & transitionsM&A & valuation
55
EVANSON FINANCIAL, LLC DBA EVANSON ASSET MANAGEMENT shrank from 8 to 4 advisory reps. IAPD ↗
$5.85B RAUM · 4 reps · 831-333-2060 · evansonasset.com
Recruiting & transitionsM&A & valuation
53
QUINT CAPITAL MANAGEMENT shrank from 15 to 9 advisory reps. IAPD ↗
$875.0M RAUM · 9 reps · 212-682-5090
Recruiting & transitionsM&A & valuation
53
EXCEL FINANCIAL, LLC shrank from 7 to 5 advisory reps. IAPD ↗
$404.5M RAUM · 5 reps · (651) 388-6441 · excelfinllc.com
Recruiting & transitionsM&A & valuation
53
J. HAGAN CAPITAL, INC. shrank from 10 to 6 advisory reps. IAPD ↗
$341.8M RAUM · 6 reps · (502) 690-5635
Recruiting & transitionsM&A & valuation
50
URS ADVISORY shrank from 6 to 4 advisory reps. IAPD ↗
$200.3M RAUM · 4 reps · 561-594-0100 · ursadvisory.com
Recruiting & transitionsM&A & valuation
45
RESEARCH AFFILIATES shrank from 29 to 15 advisory reps. IAPD ↗institutional
$32.22B RAUM · 15 reps · 949 325 8700 · syzygyassetmanagement.com
Recruiting & transitionsM&A & valuation
40
CAPITAL CLIENT GROUP, INC. shrank from 699 to 693 advisory reps. IAPD ↗institutional
$0 RAUM · 693 reps · 213-486-9200 · retirementsolutions.financialtrans.com
Recruiting & transitionsM&A & valuation
40
PBMARES WEALTH MANAGEMENT LLC shrank from 14 to 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 703-385-8577
Recruiting & transitionsM&A & valuation
40
ADVANCED PORTFOLIO MANAGEMENT, LLC shrank from 11 to 6 advisory reps. IAPD ↗fund
$2.70B RAUM · 6 reps · 212-838-4700 · apmcap.com
Recruiting & transitionsM&A & valuation
35
AGIS MANAGEMENT LLC shrank from 16 to 12 advisory reps. IAPD ↗fund
$220.2M RAUM · 12 reps · 617-350-9894 · agiscapital.com
Recruiting & transitionsM&A & valuation
35
WEST TOWER GROUP, LLC shrank from 5 to 3 advisory reps. IAPD ↗fund
$146.2M RAUM · 3 reps · (804) 420-8588 · westtowergroup.com
Recruiting & transitionsM&A & valuation
25
CITY OF LONDON INVESTMENT MANAGEMENT COMPANY LIMITED shrank from 26 to 21 advisory reps. IAPD ↗foreign
$8.06B RAUM · 21 reps · 011442077110771 · citlon.co.uk
Recruiting & transitionsM&A & valuation
25
MAGELLAN INVESTMENT PARTNERS shrank from 33 to 26 advisory reps. IAPD ↗foreign
$20.80B RAUM · 26 reps · +61-2-9235-4888 · magellaninvestmentpartners.com
Recruiting & transitionsM&A & valuation
25
PARADICE INVESTMENT MANAGEMENT LLC shrank from 4 to 2 advisory reps. IAPD ↗foreign
$1.43B RAUM · 2 reps · 720-751-2100
Recruiting & transitionsM&A & valuation
25
ATLAS INFRASTRUCTURE shrank from 20 to 16 advisory reps. IAPD ↗foreign
$2.34B RAUM · 16 reps · +44 20 3890 4700
Recruiting & transitionsM&A & valuation
25
H.A.M.L shrank from 18 to 14 advisory reps. IAPD ↗foreign
$9.67B RAUM · 14 reps · 1300 497 374 · hyperion.com.au
Recruiting & transitionsM&A & valuation
23
SARONA ASSET MANAGEMENT INC. shrank from 13 to 10 advisory reps. IAPD ↗foreign
$339.2M RAUM · 10 reps · 1-519-883-7557 · emiif.fund
Recruiting & transitionsM&A & valuation
planning clients up — 14 Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
73
HERITAGE HAUS WEALTH PARTNERS LLC reports 251-500 financial-planning clients, up from 0. IAPD ↗
$241.1M RAUM · 3 reps · 830-316-3590 · heritagehauswealth.com
Financial planning software
72
BAKERAVENUE reports More than 500 financial-planning clients, up from 26-50. IAPD ↗
$5.09B RAUM · 29 reps · 415-986-1110 · bakerave.com
Financial planning software
70
INTEGROUS WEALTH STRATEGIES reports 101-250 financial-planning clients, up from 0. IAPD ↗
$216.2M RAUM · 3 reps · 609-586-9308 · infinancial.com
Financial planning software
67
CAPITAL INVESTMENT ADVISORS reports 101-250 financial-planning clients, up from 11-25. IAPD ↗
$373.6M RAUM · 5 reps · 240-482-4000
Financial planning software
66
FORTITUDE FAMILY OFFICE reports 101-250 financial-planning clients, up from 26-50. IAPD ↗
$1.27B RAUM · 14 reps · (602) 834-0089
Financial planning software
64
WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY reports More than 500 financial-planning clients, up from 101-250. IAPD ↗
$339.2M RAUM · 14 reps · 866-929-3258
Financial planning software
64
BROADSIDE WEALTH reports 11-25 financial-planning clients, up from 0. IAPD ↗
$874.5M RAUM · 4 reps · 628-218-5315
Financial planning software
64
STEFFENS FINANCIAL CORP reports 26-50 financial-planning clients, up from 0. IAPD ↗
$162.0M RAUM · 3 reps · 973-786-3696 · steffensfinancial.com
Financial planning software
63
WEDBUSH SECURITIES INC. reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
$6.75B RAUM · 288 reps · 213-688-8000 · wedbush.com
Financial planning software
63
PROSPERA FINANCIAL SERVICES, INC. reports 26-50 financial-planning clients, up from 11-25. IAPD ↗
$14.39B RAUM · 211 reps · 972-581-3000
Financial planning software
61
ABBOT FINANCIAL MANAGEMENT, INC reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
$358.9M RAUM · 3 reps · (978) 688-9010 · abbotfm.com
Financial planning software
61
SAGE CAPITAL ADVISORS, LLC reports 1-10 financial-planning clients, up from 0. IAPD ↗
$672.8M RAUM · 7 reps · 844-279-7243
Financial planning software
61
BLUE HORIZON EQUITY, INC. reports 1-10 financial-planning clients, up from 0. IAPD ↗
$745.9M RAUM · 45 reps · 1 585 641 7900 · abelwealthmanagement.com
Financial planning software
58
BRIDGEVIEW CAPITAL ADVISORS, INC. reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
$122.2M RAUM · 2 reps · 916-235-6857
Financial planning software
aum down — 12 Regulatory AUM down >=25% since last filing.
48
STEINBERGANNA WEALTH MANAGEMENT LLC reported RAUM down 26% ($496.4M -> $369.4M). IAPD ↗
$369.4M RAUM · 2 reps · 631-271-6160 · steinberganna.com
M&A & valuationRecruiting & transitions
45
INSIGHT SECURITIES, INC. reported RAUM down 95% ($94.2M -> $4.4M). IAPD ↗
$4.4M RAUM · 14 reps · 224-632-4700 · insightamericas.net
M&A & valuationRecruiting & transitions
45
GS INVESTMENT INC reported RAUM down 31% ($276.6M -> $192.2M). IAPD ↗
$192.2M RAUM · 2 reps · 612-371-0590 · gsinvestments.com
M&A & valuationRecruiting & transitions
45
CRESCENT PARK MANAGEMENT, L.P. reported RAUM down 77% ($234.4M -> $53.8M). IAPD ↗
$53.8M RAUM · 1 reps · 650-285-4300 · crespark.com
M&A & valuationRecruiting & transitions
45
BLACKRIDGE ASSET MANAGEMENT, LLC reported RAUM down 41% ($370.3M -> $216.7M). IAPD ↗
$216.7M RAUM · 66 reps · 561-641-5050 · peakbrokerageservices.com
M&A & valuationRecruiting & transitions
45
TRU INDEPENDENCE ASSET MANAGEMENT 2, LLC reported RAUM down 65% ($264.7M -> $92.7M). IAPD ↗
$92.7M RAUM · 3 reps · 971-371-3444 · meritwealth.com
M&A & valuationRecruiting & transitions
35
BRAIDWELL LP reported RAUM down 27% ($4.98B -> $3.63B). IAPD ↗fund
$3.63B RAUM · 19 reps · 866-453-3929 · braidwell.com
M&A & valuationRecruiting & transitions
33
VERSOR INVESTMENTS LP reported RAUM down 46% ($1.34B -> $718.1M). IAPD ↗fund
$718.1M RAUM · 2 reps · 212-626-6508 · versorinvest.com
M&A & valuationRecruiting & transitions
30
AGIS MANAGEMENT LLC reported RAUM down 49% ($428.7M -> $220.2M). IAPD ↗fund
$220.2M RAUM · 12 reps · 617-350-9894 · agiscapital.com
M&A & valuationRecruiting & transitions
20
CALEDONIA (PRIVATE) INVESTMENTS PTY LIMITED reported RAUM down 49% ($10.23B -> $5.25B). IAPD ↗foreign
$5.25B RAUM · 9 reps · 011-612-92557600 · caledoniafund.com
M&A & valuationRecruiting & transitions
20
ARDEA INVESTMENT MANAGEMENT reported RAUM down 45% ($6.30B -> $3.47B). IAPD ↗foreign
$3.47B RAUM · 23 reps · 61 2 9994 7000 · ardea.com.au
M&A & valuationRecruiting & transitions
18
ASSET RISK CONSULTANTS (UK) LIMITED reported RAUM down 31% ($1.37B -> $945.2M). IAPD ↗foreign
$945.2M RAUM · 12 reps · +442046294540 · assetrisk.com
M&A & valuationRecruiting & transitions
private funds started — 10 Firm reports private funds for the first time.
73
QUINT CAPITAL MANAGEMENT now reports 1 private fund(s) ($1.5M gross). IAPD ↗
$875.0M RAUM · 9 reps · 212-682-5090
Fund administrationCompliance
73
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC now reports 1 private fund(s) ($25.0M gross). IAPD ↗
$706.0M RAUM · 10 reps · 212-417-8247 · empiream.com
Fund administrationCompliance
73
CAYSIDE PARTNERS now reports 1 private fund(s) ($3.0M gross). IAPD ↗
$438.0M RAUM · 4 reps · 561-768-9621
Fund administrationCompliance
58
ANCIENT MANAGEMENT LP D/B/A ANCIENT now reports 1 private fund(s) ($187.4M gross). IAPD ↗fund
$838.6M RAUM · 5 reps · 212-813-1610 · ancientlp.com
Fund administrationCompliance
58
MERAKI CAPITAL PARTNERS LP now reports 1 private fund(s) ($584.5M gross). IAPD ↗fund
$584.5M RAUM · 5 reps · 332-249-4944 · meraki-cap.com
Fund administrationCompliance
55
AMBROSE CAPITAL ADVISORS, LLC now reports 1 private fund(s) ($228.2M gross). IAPD ↗fund
$228.2M RAUM · 15 reps · 1 317-573-4600 · ambrosepg.com
Fund administrationCompliance
55
AMBER ROAD INVESTORS LP now reports 1 private fund(s) ($107.0M gross). IAPD ↗fund
$107.0M RAUM · 4 reps · 917-819-5512 · ar-investors.com
Fund administrationCompliance
45
H.A.M.L now reports 1 private fund(s) ($3.3M gross). IAPD ↗foreign
$9.67B RAUM · 14 reps · 1300 497 374 · hyperion.com.au
Fund administrationCompliance
43
AUGUST GROUP now reports 1 private fund(s) ($12.3M gross). IAPD ↗foreign
$740.3M RAUM · 3 reps · 438-792-5161
Fund administrationCompliance
43
KALEIDO CAPITAL PARTNERS LIMITED now reports 1 private fund(s) ($47.4M gross). IAPD ↗foreign
$270.0M RAUM · 4 reps · +852-3595-0905 · kaleido-cap.com
Fund administrationCompliance
aum crossed 1b — 8 Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
85
THE PACIFIC CENTER FOR FINANCIAL SERVICES crossed $1B in regulatory AUM ($960.6M -> $1.10B). IAPD ↗
$1.10B RAUM · 5 reps · (925) 838-7700
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
SUMMA CORP. crossed $1B in regulatory AUM ($587.2M -> $1.59B). IAPD ↗
$1.59B RAUM · 3 reps · 281-362-9977 · summa-wealth.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
M1 ADVISORY crossed $1B in regulatory AUM ($633,573 -> $1.48B). IAPD ↗
$1.48B RAUM · 0 reps · 312-600-2883 · m1.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
MARQUETTE WEALTH MANAGEMENT crossed $1B in regulatory AUM ($871.6M -> $1.07B). IAPD ↗
$1.07B RAUM · 4 reps · 612-661-3770
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
RANGE ADVISORY, LLC crossed $1B in regulatory AUM ($653.9M -> $1.39B). IAPD ↗
$1.39B RAUM · 18 reps · (703) 261-4126
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
MARIDEA WEALTH MANAGEMENT crossed $1B in regulatory AUM ($958.7M -> $1.97B). IAPD ↗
$1.97B RAUM · 26 reps · 347-289-5227
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
XCELSIOR ADVISOR PARTNERS LLC crossed $1B in regulatory AUM ($650.7M -> $2.51B). IAPD ↗
$2.51B RAUM · 22 reps · 480-866-8616 · xcelsiorpartners.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
VERECAN CAPITAL MANAGEMENT INC. crossed $1B in regulatory AUM ($692.7M -> $1.49B). IAPD ↗foreign
$1.49B RAUM · 18 reps · 902-477-4471 · verecan.com
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
aum crossed 500m — 7 Regulatory AUM crossed $500M.
70
ALEXANDER INVESTMENT SERVICES CO. crossed $500M in regulatory AUM ($496.3M -> $576.8M). IAPD ↗
$576.8M RAUM · 9 reps · 502-459-4414 · aisretirement.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
QUINT CAPITAL MANAGEMENT crossed $500M in regulatory AUM ($162.1M -> $875.0M). IAPD ↗
$875.0M RAUM · 9 reps · 212-682-5090
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
HMV WEALTH ADVISORS, LLC crossed $500M in regulatory AUM ($464.8M -> $567.4M). IAPD ↗
$567.4M RAUM · 3 reps · 318-517-6255 · hmvwealth.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
LAVELLE CAPITAL crossed $500M in regulatory AUM ($410.1M -> $508.2M). IAPD ↗
$508.2M RAUM · 2 reps · 415-501-9987
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
SIGNATURE EQUITY PARTNERS, LLC crossed $500M in regulatory AUM ($330.6M -> $688.1M). IAPD ↗
$688.1M RAUM · 32 reps · 614-846-6000 · midwestretirementconsultants.net
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
LRZ CAPITAL LLC crossed $500M in regulatory AUM ($370.0M -> $500.8M). IAPD ↗
$500.8M RAUM · 4 reps · 305-615-0215 · lrzcapital.com
Portfolio / reporting / TAMPCRMIntegration & migration consulting
55
EPOCH CAPITAL, US crossed $500M in regulatory AUM ($366.1M -> $978.5M). IAPD ↗fund
$978.5M RAUM · 6 reps · 347-754-4874
Portfolio / reporting / TAMPCRMIntegration & migration consulting
wrap program started — 6 Firm began participating in a wrap-fee program (Item 5I(1)).
60
BLACKRIDGE ASSET MANAGEMENT, LLC began participating in a wrap-fee program. IAPD ↗
$216.7M RAUM · 66 reps · 561-641-5050 · peakbrokerageservices.com
Portfolio / reporting / TAMPCompliance
60
COMPLETE WEALTH MANAGEMENT, LLC began participating in a wrap-fee program. IAPD ↗
$132.5M RAUM · 2 reps · 940-382-9300
Portfolio / reporting / TAMPCompliance
60
STORGATE, LLC began participating in a wrap-fee program. IAPD ↗
$184.5M RAUM · 4 reps · (214) 434-1015 · storgate.com
Portfolio / reporting / TAMPCompliance
60
STEFFENS FINANCIAL CORP began participating in a wrap-fee program. IAPD ↗
$162.0M RAUM · 3 reps · 973-786-3696 · steffensfinancial.com
Portfolio / reporting / TAMPCompliance
60
AUTHENTIC WEALTH PARTNERS LLC began participating in a wrap-fee program. IAPD ↗
$0 RAUM · 1 reps · (703) 986-8164 · authenticwealthpartners.com
Portfolio / reporting / TAMPCompliance
35
ASHMORE INVESTMENT MANAGEMENT LTD began participating in a wrap-fee program. IAPD ↗foreign
$47.36B RAUM · 50 reps · +44(0)20-3077-6000
Portfolio / reporting / TAMPCompliance
planning started — 5 Firm now reports offering financial planning (Item 5G(1)). They need planning software.
80
TUTTLE CAPITAL MANAGEMENT, LLC now offers financial planning (Item 5G(1)). IAPD ↗
$5.50B RAUM · 8 reps · 347-852-0548
Financial planning softwareCRM
75
SCHWARZ INVESTMENT PARTNERS now offers financial planning (Item 5G(1)). IAPD ↗
$184.9M RAUM · 2 reps · (785) 582-5805 · schwarzinvestmentpartners.com
Financial planning softwareCRM
75
STONE WEALTH PARTNERS LLC now offers financial planning (Item 5G(1)). IAPD ↗
$142.9M RAUM · 6 reps · 337-660-2334 · stone-wealth.com
Financial planning softwareCRM
75
SIMPLEADVISORY LLC now offers financial planning (Item 5G(1)). IAPD ↗
$42.1M RAUM · 2 reps · 516-464-5500 · simpleciti.com
Financial planning softwareCRM
75
FAMILY OFFICE INVESTMENT ADVISORY LLC now offers financial planning (Item 5G(1)). IAPD ↗
$220.0M RAUM · 3 reps · (800) 447-7090
Financial planning softwareCRM
acquisition — 1 Firm filed an Item 4A succession naming another adviser: a merger or acquisition between the two (the filing does not say which way the money went). Integration projects follow.
80
FLEXSTONE PARTNERS, LLC filed an Item 4A succession naming GLOUSTON CAPITAL PARTNERS, LLC (CRD 133792) — one firm absorbed the other. IAPD ↗fund
$7.20B RAUM · 21 reps · 212-703-0300
Integration & migration consultingCRMCompliancePortfolio / reporting / TAMP
reorganization — 1 Item 4A succession where the acquired firm is the same business (entity change, not a deal).
30
COLUMBIA CAPITAL filed an Item 4A succession naming COLUMBIA CAPITAL (CRD 159616) — an entity change, not a deal. IAPD ↗fund
$13.84B RAUM · 25 reps · 703-519-2000 · colcap.com
Integration & migration consultingCompliance

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.