Compliance — February 2024
Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).
663 firms opened this window in the February 2024 SEC roster: 348 state expansion, 92 new registration, 54 pending approved, 51 headcount up, 43 disclosure added, 33 custody started, 15 aum crossed 1b, 14 private funds started, 11 reorganization, 1 acquisition, 1 wrap program started.
98
NORTHSTAR FIDUCIARY PARTNERS, LLC — (location n/a) is newly SEC-registered with $451.7M RAUM and 3 advisory reps. IAPD ↗
98
FC WEALTH SOLUTIONS LLC — (WESTERVILLE, OH) is newly SEC-registered with $326.0M RAUM and 3 advisory reps. IAPD ↗
95
CANNELL & SPEARS LLC — filed an Item 4A succession naming CANNELL & CO. (CRD 106326) — one firm absorbed the other. IAPD ↗
95
THE FOUNDRY FINANCIAL GROUP, INC. — (LACONIA, NH) is newly SEC-registered with $198.8M RAUM and 8 advisory reps. IAPD ↗
95
SEVEN HILLS FINANCIAL, LLC — (TALLAHASSEE, FL) is newly SEC-registered with $109.2M RAUM and 4 advisory reps. IAPD ↗
95
EMBARK WEALTH MANAGEMENT, LLC — (TEMPE, AZ) is newly SEC-registered with $38.8M RAUM and 3 advisory reps. IAPD ↗
95
STASH WEALTH, LLC — (NEW YORK, NY) is newly SEC-registered with $39.5M RAUM and 3 advisory reps. IAPD ↗
95
CFG RETIREMENT — (EDINA, MN) is newly SEC-registered with $100.8M RAUM and 3 advisory reps. IAPD ↗
95
ANGELUS INVESTMENT CONSULTING, INC. — (CORAL GABLES, FL) is newly SEC-registered with $179.7M RAUM and 2 advisory reps. IAPD ↗
95
FOUR FINANCIAL MANAGEMENT — (ANN ARBOR, MI) is newly SEC-registered with $114.6M RAUM and 6 advisory reps. IAPD ↗
95
ADVANCED PORTFOLIO STRATEGIES — (TORRANCE, CA) is newly SEC-registered with $118.2M RAUM and 4 advisory reps. IAPD ↗
95
MILLENNIAL WEALTH — (location n/a) is newly SEC-registered with $145.6M RAUM and 3 advisory reps. IAPD ↗
95
REVOLUTION CAPITAL, LLC — (OMAHA, NE) is newly SEC-registered with $136.7M RAUM and 3 advisory reps. IAPD ↗
95
ECIO, INC. — (MADISON, WI) is newly SEC-registered with $131.1M RAUM and 4 advisory reps. IAPD ↗
95
BROADWEALTH LLC — (location n/a) is newly SEC-registered with $123.4M RAUM and 1 advisory reps. IAPD ↗
95
FORT STREET ASSET MANAGEMENT LLC — (HONOLULU, HI) is newly SEC-registered with $126.0M RAUM and 2 advisory reps. IAPD ↗
95
ATTESSA CAPITAL LLC — (TUCSON, AZ) is newly SEC-registered with $108.3M RAUM and 8 advisory reps. IAPD ↗
95
U.S. CHERRY LLC — (ST. PETERSBURG, FL) is newly SEC-registered with $5.2M RAUM and 2 advisory reps. IAPD ↗
95
KELSEY FINANCIAL, LLC — (MOORPARK, CA) is newly SEC-registered with $124.6M RAUM and 7 advisory reps. IAPD ↗
95
STRADA FINANCIAL GROUP LLC — (FAIRVIEW, OR) is newly SEC-registered with $107.9M RAUM and 1 advisory reps. IAPD ↗
95
PINE HARBOR WEALTH MANAGEMENT LLC — (SILVER SPRING, MD) is newly SEC-registered with $158.7M RAUM and 2 advisory reps. IAPD ↗
95
FRANKLY FINANCES — (location n/a) is newly SEC-registered with $124.9M RAUM and 1 advisory reps. IAPD ↗
95
CYGNUS CAPITAL ADVISERS, LLC — (ATLANTA, GA) is newly SEC-registered with $47.5M RAUM and 2 advisory reps. IAPD ↗
95
MARIDEA WEALTH MANAGEMENT — (BROOKLYN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
HYJC CAPITAL OF WNY — (LAKEVILLE, NY) is newly SEC-registered with $41.7M RAUM and 2 advisory reps. IAPD ↗
95
ALPHA-LAB ASSET MANAGEMENT INC. — (location n/a) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
PERIDOT INVESTMENT RESEARCH INC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
INTER&CO US ADVISORS LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
LOCKWOOD WEALTH STRATEGIES, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ROI ADVISORY — (SAN FRANCISCO, CA) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗
95
MINDORO CAPITAL PARTNERS LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
TRANEL INTELLIGENT INVESTING, LLC — (LIBERTYVILLE, IL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
EDLY ADVISORS — (NEW YORK, NY) is newly SEC-registered with $39.0M RAUM and 3 advisory reps. IAPD ↗
95
OFF-ZERO FINANCIAL, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
INDEPENDENT WEALTH ADVISORS, LLC — (CARY, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
STEADMONT ADVISORS, LLC — (VESTAVIA HILLS, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
SEVENTWO, LLC — (GREENWOOD VILLAGE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
CORAL REEF ADVISORS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
GREYKASELL WEALTH STRATEGIES, INC. — (DANVILLE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
POTENTIA WEALTH — (SAN JOSE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
FORZA INVESTMENT GROUP, LP — (SUMMIT, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
POMONA WEALTH MANAGEMENT, LLC — (RICHLAND, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
NOLET WEALTH MANAGEMENT, LLC — (FORT WORTH, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
INVESTING ONLINE LLC — (SANTA MONICA, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
EMBARCADERO CAPITAL ADVISORS — (LAGUNA HILLS, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
SOLOMON CAPITAL PARTNERS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SOLIST WEALTH MANAGEMENT — (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
TIEMPO CAPITAL PARTNERS — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MARINER WEALTH ADVISORS — (OVERLAND PARK, KS) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗
95
SOVRAN ADVISORS, LLC — (LA MESA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WELCH FINANCIAL PLANNING, LLC — (BOULDER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
FG ADVISORY SERVICES, LLC. — (BRIARCLIFF MANOR, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
HAAS FINANCIAL, INC. — (SANIBEL, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PROMETHIUM ADVISORS, LLC — (BETHESDA, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BLUE SKY CAPITAL CONSULTANTS GROUP, INC. — (POWAY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
CIRO CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
LIGHT LANE MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
EAST29TH CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
WINDWARD CAPITAL MANAGEMENT CO — crossed $1B in regulatory AUM ($940.0M -> $1.18B). IAPD ↗
85
CONNORS INVESTOR SERVICES INC — crossed $1B in regulatory AUM ($968.3M -> $1.05B). IAPD ↗
85
MSA FINANCIAL — crossed $1B in regulatory AUM ($870.4M -> $1.00B). IAPD ↗
85
THE PLANNING CENTER, INC. — crossed $1B in regulatory AUM ($946.6M -> $1.09B). IAPD ↗
85
MIDWEST FINANCIAL PARTNERS — crossed $1B in regulatory AUM ($873.5M -> $1.10B). IAPD ↗
85
CLASS VI FAMILY OFFICE, LLC — crossed $1B in regulatory AUM ($958.6M -> $1.01B). IAPD ↗
85
GPS WEALTH STRATEGIES GROUP, LLC — crossed $1B in regulatory AUM ($879.9M -> $1.07B). IAPD ↗
85
CORNERSTONE WEALTH STRATEGIES, INC. — crossed $1B in regulatory AUM ($770.3M -> $1.01B). IAPD ↗
85
FIRST TRUST DIRECT INDEXING — crossed $1B in regulatory AUM ($990.1M -> $1.42B). IAPD ↗
85
BARLOW WEALTH PARTNERS, LLC — crossed $1B in regulatory AUM ($890.2M -> $1.01B). IAPD ↗
85
RBC CAPITAL MARKETS, LLC — grew from 2024 to 2042 advisory reps. IAPD ↗
85
WAVERLY ADVISORS, LLC — grew from 46 to 69 advisory reps. IAPD ↗
85
CITY NATIONAL ROCHDALE — grew from 100 to 129 advisory reps. IAPD ↗
85
CURI RMB CAPITAL, LLC — grew from 49 to 66 advisory reps. IAPD ↗
85
SOUND INCOME STRATEGIES, LLC — grew from 73 to 95 advisory reps. IAPD ↗
85
FIRST COMMAND ADVISORY SERVICES — grew from 947 to 1050 advisory reps. IAPD ↗
80
CANNELL & SPEARS LLC — grew from 9 to 19 advisory reps. IAPD ↗
79
CAPITAL INVESTMENT ADVISORS, LLC — grew from 34 to 43 advisory reps. IAPD ↗
78
TRIVIUM POINT ADVISORY, LLC — grew from 4 to 14 advisory reps. IAPD ↗
77
POTOMAC FUND MANAGEMENT — grew from 17 to 24 advisory reps. IAPD ↗
76
FLAGSHIP HARBOR ADVISORS, LLC — grew from 52 to 58 advisory reps. IAPD ↗
75
STIRLINGSHIRE INVESTMENTS — grew from 1 to 11 advisory reps. IAPD ↗
75
DIVERSIFY ADVISORY SERVICES, LLC — 's provisional registration is now fully approved. IAPD ↗
75
MAIRS & POWER — now reports 1 private fund(s) ($19.2M gross). IAPD ↗
73
LINDBERG & RIPPLE — grew from 4 to 12 advisory reps. IAPD ↗
73
ALIGNMENT FINANCIAL GROUP — 's provisional registration is now fully approved. IAPD ↗
73
LEGACY WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
ATLANTIC EDGE PRIVATE WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
73
ABOUND FINANCIAL — 's provisional registration is now fully approved. IAPD ↗
73
MB GEN WEALTH — 's provisional registration is now fully approved. IAPD ↗
73
LEGACY EDGE ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
SIERRA SUMMIT ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
72
BLOOM ADVISORS — grew from 8 to 10 advisory reps. IAPD ↗
72
NICHOLAS CO INC — grew from 6 to 8 advisory reps. IAPD ↗
71
GREAT LAKES RETIREMENT, INC. — grew from 10 to 13 advisory reps. IAPD ↗
71
REDWOOD PRIVATE WEALTH — grew from 50 to 56 advisory reps. IAPD ↗
70
RAYMOND JAMES INVESTMENT MANAGEMENT — now reports custody of client assets ($142.8M). IAPD ↗
70
CORNERSTONE WEALTH PLANNING — grew from 5 to 7 advisory reps. IAPD ↗
70
VERMILLION WEALTH MANAGEMENT INC. — grew from 3 to 5 advisory reps. IAPD ↗
70
HURLOW WEALTH MANAGEMENT GROUP, INC. — grew from 6 to 8 advisory reps. IAPD ↗
70
MILESTONE FINANCIAL PLANNING, LLC — grew from 8 to 10 advisory reps. IAPD ↗
70
FIVE OCEANS ADVISORS — grew from 4 to 6 advisory reps. IAPD ↗
70
CHEMISTRY WEALTH MANAGEMENT LLC — grew from 4 to 6 advisory reps. IAPD ↗
70
COMPASS FINANCIAL ADVISORY SERVICES, LLC — grew from 2 to 4 advisory reps. IAPD ↗
70
SIERRA SUMMIT ADVISORS LLC — grew from 1 to 3 advisory reps. IAPD ↗
70
JENNINGS & ASSOCIATES FINANCIAL ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
TIER ONE WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
ATFS ADVISERS — 's provisional registration is now fully approved. IAPD ↗
70
BPM WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
UNIFIED INVESTMENT MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
TRIAD WEALTH PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
TIDE COVE CAPITAL PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
70
FINANCIAL MANAGEMENT ASSOCIATES, LLC — 's provisional registration is now fully approved. IAPD ↗
70
FREEDOM FINANCIAL PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
70
TREASURY INTERACTIVE INVESTMENT ADVISERS LLC — 's provisional registration is now fully approved. IAPD ↗
70
HERON FINANCE — 's provisional registration is now fully approved. IAPD ↗
70
NEXT LEVEL WEALTH PLANNING, LLC — 's provisional registration is now fully approved. IAPD ↗
70
INTENTIONAL WEALTH STRATEGIES — 's provisional registration is now fully approved. IAPD ↗
70
ORCHID ADVISORY — 's provisional registration is now fully approved. IAPD ↗
70
STIRLINGSHIRE INVESTMENTS — 's provisional registration is now fully approved. IAPD ↗
70
COASTAL WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
STONE RIDGE ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
PRAIRIEVIEW WEALTH PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
JN PRIVATE WEALTH MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
70
VISTA INVESTMENT PARTNERS — 's provisional registration is now fully approved. IAPD ↗
70
MAIN ADVISORY, INC. — 's provisional registration is now fully approved. IAPD ↗
70
BARE WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
NEW HORIZONS WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
LMPG WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
ASEMPA WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
CAPITAL A WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
ASTRA WEALTH PARTNERS — now reports 1 private fund(s) ($425,127 gross). IAPD ↗
70
KNOWN WEALTH LLC — now reports 1 private fund(s) ($11.0M gross). IAPD ↗
70
COTTONWOOD CAPITAL ADVISORS — now reports 1 private fund(s) ($4.5M gross). IAPD ↗
69
PROXY WEALTH ADVISORS LLC — grew from 5 to 9 advisory reps. IAPD ↗
68
INVESTMENT PARTNERS LTD — now reports custody of client assets ($181.6M). IAPD ↗
68
EAGLE ROCK INVESTMENT COMPANY, LLC — now reports custody of client assets ($16.4M). IAPD ↗
68
EAGLE WEALTH STRATEGIES — now reports custody of client assets ($37.4M). IAPD ↗
68
SIERRA SUMMIT ADVISORS LLC — now reports custody of client assets ($425.0M). IAPD ↗
68
DOMAIN MONEY ADVISORS, LLC — grew from 2 to 5 advisory reps. IAPD ↗
67
CANTY FINANCIAL MANAGEMENT, INC. — grew from 3 to 5 advisory reps. IAPD ↗
67
MUTUAL TRUST ASSET MGMT., INC. — grew from 10 to 12 advisory reps. IAPD ↗
67
REDWOOD FINANCIAL PLANNING, LLC — grew from 3 to 5 advisory reps. IAPD ↗
67
SUCCESS WEALTH MANAGEMENT LLC — grew from 10 to 12 advisory reps. IAPD ↗
67
QP WEALTH MANAGEMENT, LLC — grew from 2 to 4 advisory reps. IAPD ↗
67
WESTVIEW INVESTMENT ADVISORS — grew from 3 to 5 advisory reps. IAPD ↗
67
BEACON WEALTHCARE LLC — grew from 3 to 5 advisory reps. IAPD ↗
67
ASCEND INTERPLAY, LLC — grew from 3 to 5 advisory reps. IAPD ↗
67
ALTITUDE CAPITAL MANAGEMENT LLC — grew from 1 to 3 advisory reps. IAPD ↗
65
SRM ADVISORS — now reports custody of client assets ($25.4M). IAPD ↗
65
PILE WEALTH MANAGEMENT — now reports custody of client assets ($15.1M). IAPD ↗
65
FREESTATE ADVISORS LLC — now reports custody of client assets ($34.8M). IAPD ↗
65
RAMSEY HILL ASSET MANAGEMENT LLC — now reports custody of client assets ($53.8M). IAPD ↗
65
CONCEPTUAL FINANCIAL ADVISORS, LLC — now reports custody of client assets ($93.0M). IAPD ↗
65
TENON FINANCIAL — now reports custody of client assets ($88.6M). IAPD ↗
65
GROWSTRONG WEALTH STRATEGIES — now reports custody of client assets ($2.2M). IAPD ↗
65
NETWORTH ADVISORS, LLC — now reports custody of client assets ($380,000). IAPD ↗
65
BLOM & HOWELL FINANCIAL PLANNING, INC. — now reports custody of client assets ($88.8M). IAPD ↗
65
CROSSGRAIN FAMILY INVESTMENTS, LLC — now reports custody of client assets ($38.0M). IAPD ↗
65
ASTRA WEALTH PARTNERS — now reports custody of client assets ($850,254). IAPD ↗
65
VLB CAPITAL — now reports custody of client assets. IAPD ↗
65
OXENFREE FINANCIAL — now reports custody of client assets ($53.6M). IAPD ↗
65
FREEDOM FINANCIAL PARTNERS LLC — now reports custody of client assets ($55.2M). IAPD ↗
65
PRAIRIEVIEW WEALTH PARTNERS, LLC — now reports custody of client assets ($29.7M). IAPD ↗
65
VISTA INVESTMENT PARTNERS — now reports custody of client assets ($36.9M). IAPD ↗
65
BARE WEALTH ADVISORS — now reports custody of client assets ($156.3M). IAPD ↗
65
NEW HORIZONS WEALTH MANAGEMENT — now reports custody of client assets ($14.5M). IAPD ↗
60
ATEGENOS CAPITAL, LLC — began participating in a wrap-fee program. IAPD ↗
55
RAYMOND JAMES & ASSOCIATES, INC. — 's Item 11 disclosure-reporting entries rose by 20 (131 -> 151). IAPD ↗
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 1 (323 -> 324). IAPD ↗
55
VALIC FINANCIAL ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (51 -> 53). IAPD ↗
55
CITY NATIONAL SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 2 (35 -> 37). IAPD ↗
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 1 (95 -> 96). IAPD ↗
55
JOHN HANCOCK INVESTMENT MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (17 -> 18). IAPD ↗
55
MANULIFE INVESTMENT MANAGEMENT (US) LLC — 's Item 11 disclosure-reporting entries rose by 1 (20 -> 21). IAPD ↗
55
PUTNAM INVESTMENT MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 3 (4 -> 7). IAPD ↗
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 1 (95 -> 96). IAPD ↗
55
EAGLE STRATEGIES LLC — 's Item 11 disclosure-reporting entries rose by 2 (67 -> 69). IAPD ↗
55
U.S. BANCORP ASSET MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 6 (37 -> 43). IAPD ↗
55
CITY NATIONAL ROCHDALE — 's Item 11 disclosure-reporting entries rose by 4 (5 -> 9). IAPD ↗
55
KESTRA PRIVATE WEALTH SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 2 (16 -> 18). IAPD ↗
55
GLADSTONE WEALTH PARTNERS — 's Item 11 disclosure-reporting entries rose by 5 (10 -> 15). IAPD ↗
55
KESTRA ADVISORY SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 5 (24 -> 29). IAPD ↗
55
CICCARELLI ADVISORY SERVICES INC — notice-filed in AK, AR, DC, MS, OK. IAPD ↗
55
WAVERLY ADVISORS, LLC — notice-filed in AR, CT, IL, KS, MD, ME, MI, MN, NE, NJ, NV, NY, OR, WI. IAPD ↗
55
CANNELL & SPEARS LLC — notice-filed in AZ, CO, DC, DE, GA, ID, IL, MD, ME, MN, NC, NM, PA, RI, TN, TX, VA, VT, WA. IAPD ↗
55
CAPITAL INVESTMENT ADVISORS, LLC — notice-filed in DC, ME, ND, VI, WY. IAPD ↗
55
COMPOUND PLANNING — notice-filed in AL, AR, CT, DE, HI, IA, ID, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NC, ND, NE, NM, RI, SC, SD, VI, VT, WI, WV, WY. IAPD ↗
55
BEACON TRUST — notice-filed in AR, CO, IL, LA, NM, OH, SC. IAPD ↗
55
53
CREDIT SUISSE SECURITIES (USA) LLC — 's Item 11 disclosure-reporting entries rose by 3 (461 -> 464). IAPD ↗
53
BRITE ADVISORS USA, INC. — 's Item 11 disclosure-reporting entries rose by 1 (4 -> 5). IAPD ↗
53
SCHWARTZ & CO. — notice-filed in GA, IN, NH, NV. IAPD ↗
53
ASHTON THOMAS SECURITIES, LLC — notice-filed in DC, ID, IL, LA, OK, VI. IAPD ↗
53
COZAD ASSET MANAGEMENT INC — notice-filed in GA, IA, NJ, OR. IAPD ↗
53
LEFAVI WEALTH MANAGEMENT — notice-filed in AZ, CA, NH, OR, TX, UT, WY. IAPD ↗
53
PORTFOLIO STRATEGIES INC NY — notice-filed in CO, CT, MA, MI, TX. IAPD ↗
53
TWO WEST CAPITAL ADVISORS LLC — notice-filed in IA, LA, MA, OK. IAPD ↗
53
CANNELL CAPITAL LLC — notice-filed in CA, FL, NJ, NY, PA, TN, TX. IAPD ↗
53
FUSE PARTNERS, LLC — notice-filed in AZ, CA, FL, IA, IL, KS, LA, MI, MN, MO, MT, ND, NE, OH, SD, TN, TX, VA, WI. IAPD ↗
53
SYMPHONY FINANCIAL, LTD. CO. — notice-filed in AR, AZ, HI, IL, MN, NV, SC. IAPD ↗
53
LEGACY WEALTH MANAGEMENT, LLC — notice-filed in AK, AL, IN, KY, OK, RI, SD, WY. IAPD ↗
53
SPINNAKER INVESTMENT GROUP, LLC — notice-filed in CO, ID, IL, NC, NH, TN, VA. IAPD ↗
53
GPS WEALTH STRATEGIES GROUP, LLC — notice-filed in LA, MT, NH, NJ. IAPD ↗
53
BISON ADVISORS — notice-filed in NY, OH, UT, WA. IAPD ↗
53
BELLWETHER WEALTH — notice-filed in GA, MN, NC, PA, TN. IAPD ↗
53
INSPIRE ADVISORS, LLC — notice-filed in MS, NJ, NM, SD, UT, VT, WV. IAPD ↗
53
MILESTONE ASSET MANAGEMENT, LLC — notice-filed in DE, FL, NC, NY, OH, TX, VA. IAPD ↗
53
STRATEGIC ADVOCATES, LLC — notice-filed in AK, AL, AZ, IA, IN, MI, MT, NY, OH, OK, SC, TN, WY. IAPD ↗
53
TITLEIST ASSET MANAGEMENT, LLC — notice-filed in IN, LA, MA, MO, NC, NE, NJ. IAPD ↗
53
ABOUND FINANCIAL — notice-filed in AZ, ID, NH, NV, OR, TX, WA. IAPD ↗
51
DIVERSIFIED, LLC — notice-filed in CT, WA, WI. IAPD ↗
51
ISC FINANCIAL ADVISORS — notice-filed in NJ, SC, WV. IAPD ↗
51
MIDWEST FINANCIAL PARTNERS — notice-filed in GA, MI, PA. IAPD ↗
51
MADISON PARTNERS — notice-filed in AZ, CA, SC, WA. IAPD ↗
51
ONYX BRIDGE WEALTH GROUP LLC — notice-filed in CO, DC, MD, TN. IAPD ↗
50
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 1 (654 -> 655). IAPD ↗
50
MONACO CAPITAL MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
50
SYMPHONIC FINANCIAL ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (5 -> 7). IAPD ↗
50
ELAN WEALTH MANAGEMENT, L.L.C. — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
50
FAIRSCALE CAPITAL, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
50
SUCCESS WEALTH MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗
50
KEENAN FINANCIAL — notice-filed in AZ, GA, MN, NE, NJ, SC, VA. IAPD ↗
50
EAGLEBROOK ADVISORS — notice-filed in AZ, CA, CT, FL, GA, HI, IL, KS, LA, MA, MD, MI, MO, NC, NE, NJ, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, WI. IAPD ↗
50
FIFTH THIRD WEALTH ADVISORS LLC — notice-filed in AK, AR, DC, HI, IA, ID, KS, ME, MI, MO, MS, MT, ND, NE, OR, SD, TN, VA, WV, WY. IAPD ↗
50
ATFS ADVISERS — notice-filed in AL, CO, CT, FL, GA, IL, LA, MA, MI, NJ, NY, OH, PA, TN, TX, WI. IAPD ↗
50
BROADSTREET GLOBAL ADVISORS, INC. — notice-filed in CT, IN, NJ, PA, WA. IAPD ↗
50
TREASURY INTERACTIVE INVESTMENT ADVISERS LLC — notice-filed in AZ, IA, KS, MD, ME, NJ, NM, OK, SC, TN, UT, WI. IAPD ↗
50
VISTA INVESTMENT PARTNERS — notice-filed in CO, FL, IL, OH, TN, TX. IAPD ↗
49
HUNTER ASSOCIATES LLC — notice-filed in CT, IN, ME. IAPD ↗
49
MIDDLETON & COMPANY INC. — notice-filed in NC, NJ, SC. IAPD ↗
49
DIVERSIFIED MANAGEMENT INC — notice-filed in CO, NY. IAPD ↗
49
MERIDIAN INVESTMENT ADVISORS, INC. — notice-filed in GA, KY, TX. IAPD ↗
49
LBMC INVESTMENT ADVISORS, LLC — notice-filed in NC, NM. IAPD ↗
49
FAS WEALTH PARTNERS, INC. — notice-filed in NH, TN. IAPD ↗
49
WISDOM FINANCIAL SERVICES, L.L.C. — notice-filed in MN, NH, TN. IAPD ↗
49
EXENCIAL WEALTH ADVISORS — notice-filed in HI, MS. IAPD ↗
49
CLEARWATER CAPITAL PARTNERS — notice-filed in DC, MO. IAPD ↗
49
TOTAL CLARITY WEALTH MANAGEMENT, INC — notice-filed in AL, MN, NC. IAPD ↗
49
ELSER FINANCIAL PLANNING, INC. — notice-filed in CO, GA. IAPD ↗
49
GATEWAY INVESTMENT ADVISERS, LLC — notice-filed in MA, OH. IAPD ↗
49
BAY COLONY ADVISORS — notice-filed in KS, NV, UT. IAPD ↗
49
EMPIRICAL WEALTH MANAGEMENT — notice-filed in SC, WY. IAPD ↗
49
ASHTON THOMAS PRIVATE WEALTH — notice-filed in CT, NJ. IAPD ↗
49
LEGACY FINANCIAL GROUP — notice-filed in OR, VA, WA. IAPD ↗
49
PRENTICE WEALTH MANAGEMENT LLC — notice-filed in CA, CO, NE. IAPD ↗
49
PCG WEALTH MANAGEMENT — notice-filed in AR, SC, TN. IAPD ↗
49
DAKOTA WEALTH, LLC — notice-filed in DC, NV. IAPD ↗
49
SUMMIT FINANCIAL, LLC — notice-filed in MS, ND. IAPD ↗
49
KEYSTONE PRIVATE WEALTH — notice-filed in CO, GA, SC. IAPD ↗
49
BROWN | MILLER WEALTH MANAGEMENT, LLC — notice-filed in LA, VT, WV. IAPD ↗
49
FIORI FINANCIAL GROUP — notice-filed in MD, NJ, TX. IAPD ↗
49
ARMSTRONG ADVISORY GROUP INC. — notice-filed in IN, UT. IAPD ↗
49
DIVERSIFY ADVISORY SERVICES, LLC — notice-filed in AL, NY. IAPD ↗
48
SENTINEL CAPITAL SOLUTIONS — notice-filed in FL, PA, TN, TX. IAPD ↗
48
CHILDFREE WEALTH — notice-filed in AZ, MD, NC, OR. IAPD ↗
48
PRAIRIEVIEW WEALTH PARTNERS, LLC — notice-filed in FL, IN, TX, WI. IAPD ↗
48
NEW HORIZONS WEALTH MANAGEMENT — notice-filed in FL, NY, PA, WA. IAPD ↗
47
HARBOUR INVESTMENTS, INC. — notice-filed in PR. IAPD ↗
47
FIRST CITIZENS INVESTOR SERVICES, INC. — notice-filed in MA. IAPD ↗
47
MIDWESTERN SECURITIES TRADING CO.,LLC — notice-filed in AR. IAPD ↗
47
CITY NATIONAL SECURITIES, INC. — notice-filed in GA. IAPD ↗
47
SIGMA INVESTMENT COUNSELORS — notice-filed in NY. IAPD ↗
47
CONNORS INVESTOR SERVICES INC — notice-filed in MA. IAPD ↗
47
EVERHART ADVISORS — notice-filed in MN. IAPD ↗
47
MERITAGE PORTFOLIO MANAGEMENT, INC. — notice-filed in GA. IAPD ↗
47
PERSONAL INVESTMENT MANAGEMENT INC — notice-filed in CO, ID. IAPD ↗
47
COMMUNITY CAPITAL MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
47
FORTE CAPITAL LLC — notice-filed in WI. IAPD ↗
47
BMO FAMILY OFFICE, LLC — notice-filed in CO. IAPD ↗
47
KARPUS INVESTMENT MANAGEMENT — notice-filed in ME. IAPD ↗
47
CONSOLIDATED PLANNING CORPORATION — notice-filed in MD. IAPD ↗
47
MASON INVESTMENT ADVISORY SERVICES INC — notice-filed in AL. IAPD ↗
47
ADVISORNET WEALTH PARTNERS — notice-filed in LA. IAPD ↗
47
PINION WEALTH MANAGEMENT, LLC — notice-filed in IN, LA. IAPD ↗
47
BERKELEY, INC — notice-filed in LA, TX. IAPD ↗
47
SANDERSON WEALTH MANAGEMENT, LLC — notice-filed in MO, NC. IAPD ↗
47
CUTLER INVESTMENT COUNSEL, LLC — notice-filed in FL. IAPD ↗
47
SMITH SALLEY WEALTH MANAGEMENT — notice-filed in LA. IAPD ↗
47
PERIGON WEALTH MANAGEMENT, LLC — notice-filed in VT. IAPD ↗
47
WALDRON PRIVATE WEALTH — notice-filed in RI. IAPD ↗
47
SRS CAPITAL ADVISORS, INC. — notice-filed in LA. IAPD ↗
47
GRADIENT INVESTMENTS, LLC — notice-filed in VT. IAPD ↗
47
CALLAN CAPITAL, LLC — notice-filed in TN. IAPD ↗
47
ASSETBUILDER, INC. — notice-filed in MS, NM. IAPD ↗
47
MELIA WEALTH LLC — notice-filed in LA, MO. IAPD ↗
47
ADVISORY SERVICES NETWORK — notice-filed in WV. IAPD ↗
47
FORT SHERIDAN ADVISORS LLC — notice-filed in NY, TX. IAPD ↗
47
MORIN PRIVATE CLIENT GROUP, LLC — notice-filed in CA, WA. IAPD ↗
47
PROSPERITY CAPITAL ADVISORS — notice-filed in UT. IAPD ↗
47
RETIREMENT PLANNERS OF AMERICA — notice-filed in WY. IAPD ↗
47
VERNAL POINT ADVISORS, LLC — notice-filed in GA. IAPD ↗
47
THE PORTFOLIO STRATEGY GROUP, LLC — notice-filed in CO. IAPD ↗
47
RITHOLTZ WEALTH MANAGEMENT — notice-filed in DE. IAPD ↗
47
CLEAR INVESTMENT RESEARCH, LLC — notice-filed in NH. IAPD ↗
47
GRATUS CAPITAL, LLC — notice-filed in IA. IAPD ↗
47
FIRST NATIONAL ADVISERS, LLC — notice-filed in NJ. IAPD ↗
47
FORT PITT CAPITAL GROUP, LLC — notice-filed in MN. IAPD ↗
47
ETHIC INC. — notice-filed in NE. IAPD ↗
47
LIFEGUIDE FINANCIAL ADVISORS, LLC — notice-filed in FL, MD. IAPD ↗
47
TCP ASSET MANAGEMENT, LLC — notice-filed in MA, MO. IAPD ↗
47
WHITAKER-MYERS WEALTH MANAGERS, LTD. — notice-filed in NM, WA. IAPD ↗
47
ARKADIOS WEALTH ADVISORS — notice-filed in NH. IAPD ↗
47
FULL SAIL CAPITAL, LLC — notice-filed in NE. IAPD ↗
47
CHICAGO CAPITAL, LLC — notice-filed in GA. IAPD ↗
47
CRITERION CAPITAL ADVISORS LLC — notice-filed in AL, NC. IAPD ↗
47
THURSTON SPRINGER ADVISORS — notice-filed in WA. IAPD ↗
47
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC — notice-filed in TN, WA. IAPD ↗
47
RESOLUTE PARTNERS GROUP — notice-filed in NY. IAPD ↗
47
OCTAVIA WEALTH ADVISORS LLC — notice-filed in MO. IAPD ↗
47
WEALTH MANAGEMENT PARTNERS, LLC — notice-filed in PA, VA. IAPD ↗
47
BOS ASSET MANAGEMENT, LLC — notice-filed in SC, UT. IAPD ↗
47
NEW REPUBLIC PARTNERS — notice-filed in VA. IAPD ↗
47
CONFLUENCE FINANCIAL PARTNERS — notice-filed in NH. IAPD ↗
47
CONCURRENT INVESTMENT ADVISORS, LLC — notice-filed in NY. IAPD ↗
47
CATALYTIC WEALTH MANAGEMENT — notice-filed in WA. IAPD ↗
46
STRATEGY FINANCIAL GROUP — notice-filed in FL, NV, WI. IAPD ↗
46
CSP FINANCIAL GROUP LLC — notice-filed in NJ, PA, WA. IAPD ↗
46
INCOMPASS FINANCIAL PARTNERS, LLC — notice-filed in AL, NE, SC. IAPD ↗
46
HIBERNIA WEALTH PARTNERS, LLC — notice-filed in CO, GA, NH. IAPD ↗
46
LINDBERG & RIPPLE — notice-filed in NH, PA, SC. IAPD ↗
46
MIDWAY WEALTH PARTNERS, LLC — notice-filed in KY, NE, SC. IAPD ↗
46
BPM WEALTH ADVISORS, LLC — notice-filed in KS, OH, UT. IAPD ↗
46
COVINGTONALSINA — notice-filed in CA, LA, NY. IAPD ↗
46
STONEBRIDGE FINANCIAL GROUP, LLC — notice-filed in LA, NJ, TX. IAPD ↗
46
ALTITUDE CAPITAL MANAGEMENT LLC — notice-filed in ME, NC, PA. IAPD ↗
45
INCOME RESEARCH + MANAGEMENT — filed an Item 4A succession naming INCOME RESEARCH + MANAGEMENT (CRD 104863) — an entity change, not a deal. IAPD ↗
45
FIRST NATIONAL ADVISORS LLC — filed an Item 4A succession naming FIRST NATIONAL CORPORATION (CRD 120859) — an entity change, not a deal. IAPD ↗
45
RETIREMENT PLANNERS OF AMERICA — filed an Item 4A succession naming RETIREMENT PLANNERS OF AMERICA (CRD 157222) — an entity change, not a deal. IAPD ↗
45
ANDREW GARRETT, INC. — notice-filed in DE. IAPD ↗
45
CASCADE INVESTMENT GROUP, INC. — notice-filed in IL. IAPD ↗
45
THE JUNK INVESTMENT GROUP — notice-filed in NH. IAPD ↗
45
HSC WEALTH ADVISORS — notice-filed in NE. IAPD ↗
45
PERRYMAN FINANCIAL ADVISORY, INC. — notice-filed in IL. IAPD ↗
45
HANSON & DOREMUS INVESTMENT MANAGEMENT — notice-filed in ME. IAPD ↗
45
BARD FINANCIAL SERVICES, INC. — notice-filed in LA. IAPD ↗
45
GREENWOOD GEARHART INC. — notice-filed in NC. IAPD ↗
45
HAUSSMANN FINANCIAL INC. — notice-filed in OK. IAPD ↗
45
SHAKESPEARE WEALTH MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
45
INTREPID FINANCIAL PLANNING GROUP, LLC — notice-filed in NY. IAPD ↗
45
ADVISORS MANAGEMENT GROUP INC — notice-filed in MT. IAPD ↗
45
AMB WEALTH, LLC — notice-filed in WA. IAPD ↗
45
LEGACY FINANCIAL ADVISORS CORPORATION — notice-filed in IL. IAPD ↗
45
PHOENIX WEALTH ADVISORS INC. — notice-filed in PA. IAPD ↗
45
AA FINANCIAL ADVISORS, LLC — notice-filed in IN. IAPD ↗
45
BERNARDI ASSET MANAGEMENT, LLC — notice-filed in IN. IAPD ↗
45
MPS-LORIA FINANCIAL PLANNERS,LLC — notice-filed in MI. IAPD ↗
45
MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY — notice-filed in TX. IAPD ↗
45
HENNION & WALSH ASSET MANAGEMENT, INC. — notice-filed in IN. IAPD ↗
45
TANGLEWOOD LEGACY ADVISORS, LLC — notice-filed in LA. IAPD ↗
45
PERSIUM ADVISORS, LLC — notice-filed in AL. IAPD ↗
45
DUPREE FINANCIAL GROUP, LLC — notice-filed in AZ. IAPD ↗
45
NORTHEAST PLANNING ASSOCIATES, INC. — notice-filed in RI. IAPD ↗
45
CENTRIC WEALTH MANAGEMENT, LLC — notice-filed in OH. IAPD ↗
45
THE LEGACY FINANCIAL GROUP, INC. — notice-filed in NE. IAPD ↗
45
GENERATIONAL WEALTH ADVISORS — notice-filed in LA. IAPD ↗
45
NEPSIS, INC. — notice-filed in LA. IAPD ↗
45
HOLCOMBE FINANCIAL, INC. — notice-filed in CO. IAPD ↗
45
REIK & CO., LLC — notice-filed in OH. IAPD ↗
45
REGISTER FINANCIAL ADVISORS, LLC — notice-filed in PA. IAPD ↗
45
WORTHPOINTE — notice-filed in OK. IAPD ↗
45
PORTFOLIO MEDICS, LLC — notice-filed in WI. IAPD ↗
45
TIMBER CREEK CAPITAL MANAGEMENT, LLC — notice-filed in NY. IAPD ↗
45
INTEGRAL WEALTH MANAGEMENT — notice-filed in OR. IAPD ↗
45
A & I WEALTH MANAGEMENT — notice-filed in MI. IAPD ↗
45
SENECA FINANCIAL ADVISORS LLC — notice-filed in CT. IAPD ↗
45
MOSS, LUSE & WOMBLE, LLC — notice-filed in PA. IAPD ↗
45
BLACK CORAL FINANCIAL ADVISORS, LLC — notice-filed in VA. IAPD ↗
45
OLD PEAK FINANCE — notice-filed in NY. IAPD ↗
45
ACT WEALTH MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
45
GLOBAL VIEW CAPITAL MANAGEMENT LLC — notice-filed in VT. IAPD ↗
45
MILLS WEALTH ADVISORS, LLC — notice-filed in AZ. IAPD ↗
45
HIGHMARK WEALTH MANAGEMENT LLC — notice-filed in CA. IAPD ↗
45
CORNERSTONE WEALTH PLANNING — notice-filed in FL. IAPD ↗
45
WORTH ASSET MANAGEMENT — notice-filed in LA. IAPD ↗
45
OCCIDENTAL ASSET MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
45
NAVIGATE PRIVATE WEALTH, LLC — notice-filed in GA. IAPD ↗
45
FIDUCIARY FINANCIAL ADVISORS — notice-filed in MN. IAPD ↗
45
ROSE CAPITAL ADVISORS, LLC — notice-filed in AZ. IAPD ↗
45
ZURAW FINANCIAL ADVISORS, LLC — notice-filed in NE. IAPD ↗
45
CALIBER WEALTH MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
45
FALCON WEALTH PLANNING, INC. — notice-filed in LA. IAPD ↗
45
ALIGN IMPACT, LLC — notice-filed in FL. IAPD ↗
45
S.E.E.D. PLANNING GROUP, LLC — notice-filed in MA. IAPD ↗
45
OAK ROOT LLC — notice-filed in HI. IAPD ↗
45
CLARITY CAPITAL ADVISORS, LLC — notice-filed in NY. IAPD ↗
45
ALMANACK INVESTMENT PARTNERS — notice-filed in AZ. IAPD ↗
45
PERENNIAL FINANCIAL SERVICES — notice-filed in MN. IAPD ↗
45
LIBRA WEALTH LLC — notice-filed in CO. IAPD ↗
45
LIFEWORKS ADVISORS, LLC — notice-filed in TN. IAPD ↗
45
AUCTUS ADVISORS LLC — notice-filed in FL. IAPD ↗
45
HILLTOP WEALTH SOLUTIONS — notice-filed in NC. IAPD ↗
45
SOVEREIGN FINANCIAL GROUP, INC. — notice-filed in UT. IAPD ↗
45
COUNCIL OAK WEALTH ADVISORS — notice-filed in NH. IAPD ↗
45
MACH-1 FINANCIAL GROUP, LLC — notice-filed in MN. IAPD ↗
45
GRAVES LIGHT LENHART — notice-filed in SC. IAPD ↗
45
ASIO CAPITAL LLC — notice-filed in NY. IAPD ↗
45
TALON PRIVATE WEALTH, LLC — notice-filed in IA. IAPD ↗
45
WOOD TARVER FINANCIAL — notice-filed in OR. IAPD ↗
45
CROWN WEALTH GROUP LLC — notice-filed in GA. IAPD ↗
45
SAGE ADVISORS, LLC — notice-filed in NC. IAPD ↗
45
VERACITY CAPITAL LLC — notice-filed in PA. IAPD ↗
45
EMERALD ADVISORS, LLC — notice-filed in GA. IAPD ↗
45
CFM WEALTH PARTNERS LLC — notice-filed in FL. IAPD ↗
45
TACTIVE ADVISORS, LLC — notice-filed in CT. IAPD ↗
45
SITTNER & NELSON, LLC — notice-filed in NV. IAPD ↗
45
ORG PARTNERS — notice-filed in MS. IAPD ↗
45
JMK & ASSOCIATES, LLC — notice-filed in NH. IAPD ↗
45
VON BERGE WEALTH MANAGEMENT GROUP, LLC — notice-filed in NY. IAPD ↗
45
HERR INVESTMENT GROUP LLC — notice-filed in FL. IAPD ↗
45
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC — notice-filed in GA. IAPD ↗
45
TFB ADVISORS, LLC — notice-filed in WY. IAPD ↗
45
TWIN PEAKS WEALTH ADVISORS — notice-filed in LA. IAPD ↗
44
LINDER FINANCIAL SERVICES, INC. — notice-filed in FL, SC. IAPD ↗
44
MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC — notice-filed in FL, NY. IAPD ↗
44
TIMOTHY FINANCIAL COUNSEL, INC. — notice-filed in HI, MA. IAPD ↗
44
ECONOLOGICS FINANCIAL ADVISORS — notice-filed in AL, NV. IAPD ↗
44
BOYLE CAPITAL — notice-filed in IL, VA. IAPD ↗
44
DAVIES FINANCIAL ADVISORS, INC. — notice-filed in NV, WA. IAPD ↗
44
TEEPLE SNYDER NEWSOME WEALTH MANAGEMENT — notice-filed in NH, TX. IAPD ↗
44
COORDINATED FINANCIAL SERVICES, INC. — notice-filed in CA, FL. IAPD ↗
44
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC — notice-filed in FL, IL. IAPD ↗
44
SAGE STONE WEALTH MANAGEMENT LLC — notice-filed in MA, NY. IAPD ↗
44
VITAL WEALTH MANAGEMENT, LLC — notice-filed in FL, TX. IAPD ↗
44
VALUE INVESTMENT PROFESSIONALS, LLC — notice-filed in LA, TX. IAPD ↗
44
GIBBS WEALTH MANAGEMENT, LLC — notice-filed in AZ, NJ. IAPD ↗
44
PLUM STREET ADVISORS, LLC — notice-filed in GA, PA. IAPD ↗
44
KENNON-GREEN & CO. — notice-filed in NH, OH. IAPD ↗
44
CERTIOR FINANCIAL GROUP, LLC — notice-filed in LA, MA. IAPD ↗
44
INVEST CAPITAL PARTNERS — notice-filed in IL, VA. IAPD ↗
44
PALADIN FINANCIAL — notice-filed in IA, SD. IAPD ↗
44
PROVIDENT FINANCIAL PLANNING, LLC — notice-filed in AZ, GA. IAPD ↗
44
BEST INVEST — notice-filed in CO, NC. IAPD ↗
44
FIVE TALENTS FINANCIAL MANAGEMENT GROUP LLC — notice-filed in KS, NE. IAPD ↗
44
FORTIS CAPITAL ADVISORS, LLC — notice-filed in IL, MI. IAPD ↗
44
HAMILTON CAPITAL PARTNERS, LLC — notice-filed in FL, IN. IAPD ↗
44
FIVE PINE WEALTH — notice-filed in OR, TX. IAPD ↗
44
PROACTIVE WEALTH STRATEGIES, LLC — notice-filed in CA, MD. IAPD ↗
44
STEWARD ADVISORS GROUP, LLC — notice-filed in AZ, WA. IAPD ↗
44
BUCK WEALTH STRATEGIES, LLC — notice-filed in AZ, UT. IAPD ↗
44
ACTS FINANCIAL ADVISORS — notice-filed in MD, TX. IAPD ↗
44
STIRLINGSHIRE INVESTMENTS — notice-filed in IL, OH. IAPD ↗
44
LORD AND RICHARDS — notice-filed in FL, NE. IAPD ↗
43
ASHTON THOMAS SECURITIES, LLC — filed an Item 4A succession naming ASHTON THOMAS SECURITIES, LLC (CRD 16629) — an entity change, not a deal. IAPD ↗
43
HUGHES FINANCIAL SERVICES, LLC — filed an Item 4A succession naming HUGHES FINANCIAL SERVICES, LLC (CRD 173195) — an entity change, not a deal. IAPD ↗
42
NESTLERODE & LOY, INC. — notice-filed in TX. IAPD ↗
42
W&S BROKERAGE SERVICES, INC. — notice-filed in DE. IAPD ↗
42
COORDINATED CAPITAL SECURITIES, INC. — notice-filed in TN. IAPD ↗
42
DMK ADVISOR GROUP, INC. — notice-filed in SC. IAPD ↗
42
INTRINSIC WEALTH COUNSEL, INC. — notice-filed in WA. IAPD ↗
42
NICHOLSON MEYER CAPITAL MANAGEMENT, INC. — notice-filed in CA. IAPD ↗
42
CND FINANCIAL — notice-filed in FL. IAPD ↗
42
HORIZON INVESTMENT SERVICES, LLC. — notice-filed in WI. IAPD ↗
42
ADDIS & HILL, INCORPORATED — notice-filed in TX. IAPD ↗
42
PATRICK MAURO INVESTMENT ADVISOR, INC. — notice-filed in VA. IAPD ↗
42
WOODFIELD FINANCIAL ADVISORS, INC. — notice-filed in AZ. IAPD ↗
42
CREW CAPITAL MANAGEMENT, LTD. — notice-filed in TN. IAPD ↗
42
BROADWATER CAPITAL MANAGEMENT LLC — notice-filed in FL. IAPD ↗
42
WERLINICH ASSET MANAGEMENT, L.L.C. — notice-filed in TX. IAPD ↗
42
INDEPENDENT FINANCIAL ADVISORS — notice-filed in TX. IAPD ↗
42
HORIZONS WEALTH MANAGEMENT — notice-filed in TX. IAPD ↗
42
NEWMAN LADD CAPITAL ADVISORS, LLC. — notice-filed in TX. IAPD ↗
42
TABR CAPITAL MANAGEMENT, LLC — notice-filed in NY. IAPD ↗
42
WESTPARK WEALTH ADVISORS, INC. — notice-filed in TN. IAPD ↗
42
HOLLAND ADVISORY SERVICES, INC. — notice-filed in NH. IAPD ↗
42
CENTENNIAL WEALTH ADVISORY, LLC — notice-filed in LA. IAPD ↗
42
PATHWORKS FINANCIAL, INC. — notice-filed in KS. IAPD ↗
42
DAI WEALTH, LLC — notice-filed in PA. IAPD ↗
42
GUARDIAN WEALTH ADVISORS, LLC — notice-filed in AZ. IAPD ↗
42
CAUBLE & HARRE WEALTH MANAGEMENT, INC. — notice-filed in FL. IAPD ↗
42
TURNER CAPITAL INVESTMENTS, LLC — notice-filed in CT. IAPD ↗
42
ILLUMINATION WEALTH MANAGEMENT — notice-filed in NH. IAPD ↗
42
CLEARBROOK INVESTMENT SOLUTIONS LLC — notice-filed in NY. IAPD ↗
42
LONGBOARD ASSET MANAGEMENT — notice-filed in FL. IAPD ↗
42
TILIA FIDUCIARY PARTNERS, INC. — notice-filed in NE. IAPD ↗
42
BLUESTEM FINANCIAL ADVISORS, LLC — notice-filed in TX. IAPD ↗
42
FAIRSCALE CAPITAL, LLC — notice-filed in FL. IAPD ↗
42
360 FINANCIAL PARTNERS, LLC — notice-filed in NC. IAPD ↗
42
SUMMIT GROUP RETIREMENT PLANNERS, INC. — notice-filed in AL. IAPD ↗
42
WEALTHCARE ASSET MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
42
HENDERSHOTT WEALTH MANAGEMENT, LLC — notice-filed in ID. IAPD ↗
42
MATHIS WEALTH MANAGEMENT — notice-filed in VA. IAPD ↗
42
DIVERSIFI CAPITAL LLC — notice-filed in NH. IAPD ↗
42
EQUITA FINANCIAL NETWORK, INC. — notice-filed in MA. IAPD ↗
42
YOUR FINANCIAL PHARMACIST PLANNING — notice-filed in CO. IAPD ↗
42
ARNOLD AND MOTE WEALTH MANAGEMENT — notice-filed in IL. IAPD ↗
42
JERICHO FINANCIAL — notice-filed in NH. IAPD ↗
42
ATWOOD FINANCIAL PLANNING LLC — notice-filed in IA. IAPD ↗
42
PLANMEMBER ASSET MANAGEMENT CORPORATION — notice-filed in IL. IAPD ↗
42
PLEASANT STREET WEALTH ADVISORS, LLC — notice-filed in NJ. IAPD ↗
42
FIDELIS WEALTH ADVISORS — notice-filed in WY. IAPD ↗
42
ROCKPORT WEALTH ADVISORS — notice-filed in SC. IAPD ↗
42
NORTHAVENUE LLC — notice-filed in TX. IAPD ↗
42
PROXY WEALTH ADVISORS LLC — notice-filed in AZ. IAPD ↗
42
NEW MILLENNIUM GROUP — notice-filed in CA. IAPD ↗
42
AEGIS WEALTH MANAGEMENT, INC. — notice-filed in CT. IAPD ↗
42
COOPER CAPITAL GROUP — notice-filed in NY. IAPD ↗
42
SWAN CAPITAL — notice-filed in NC. IAPD ↗
42
HF ADVISORY GROUP, LLC — notice-filed in DC. IAPD ↗
42
PACIFIC POINT ADVISORS, LLC — notice-filed in TX. IAPD ↗
42
ILLUMINE INVESTMENT MANAGEMENT, LLC — notice-filed in ID. IAPD ↗
42
BRIGHT ANGEL ADVISORS LLC — notice-filed in FL. IAPD ↗
42
CREDENTIALED WEALTH ADVISORS, LLC — notice-filed in AZ. IAPD ↗
42
CHB INVESTMENT GROUP, LLC — notice-filed in NY. IAPD ↗
42
INTEGRITY FINANCIAL ADVISORS, LLC — notice-filed in CO. IAPD ↗
42
ALPHA OMEGA FINANCIAL, INC. — notice-filed in FL. IAPD ↗
42
CLARENDON PRIVATE LLC — notice-filed in RI. IAPD ↗
42
SCHAMBERGER, GREYLAK & UTTERBACK WEALTH MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
42
JOEL ADAMS AND ASSOCIATES INC. — notice-filed in NY. IAPD ↗
42
KNOWN WEALTH LLC — notice-filed in OR. IAPD ↗
42
RM INVESTMENT STRATEGIES, LLC — notice-filed in FL. IAPD ↗
42
PEBBLE FINANCE — notice-filed in NY. IAPD ↗
42
VIRTUS FINANCIAL PARTNERS — notice-filed in WI. IAPD ↗
42
ROSSBY FINANCIAL, LLC — notice-filed in CA. IAPD ↗
42
ACCELERATE RETIREMENT — notice-filed in GA. IAPD ↗
42
QUANTUM PORTFOLIO MANAGEMENT — notice-filed in TX. IAPD ↗
42
FOGUTH WEALTH MANAGEMENT, LLC. — notice-filed in OH. IAPD ↗
42
GRATUS WEALTH ADVISORS LLC — notice-filed in NH. IAPD ↗
42
CAPITAL A WEALTH MANAGEMENT — notice-filed in FL. IAPD ↗
40
WMS ADVISORS, LLC — filed an Item 4A succession naming WMS ADVISORS, LLC (CRD 122224) — an entity change, not a deal. IAPD ↗
40
RADIUS WEALTH MANAGEMENT, INC. — filed an Item 4A succession naming RADIUS WEALTH MANAGEMENT LLC (CRD 168159) — an entity change, not a deal. IAPD ↗
40
SIEBERT ADVISORNXT, LLC. — filed an Item 4A succession naming SIEBERT ADVISORNXT, INC. (CRD 288572) — an entity change, not a deal. IAPD ↗
85
SOUND CAPITAL SOLUTIONS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
BERNSTEIN INSTITUTIONAL SERVICES LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 85 advisory reps. IAPD ↗institutional
85
HELIX PARTNERS MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
KULTURA CAPITAL MANAGEMENT LP — (PARK CITY, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
VISDOM INVESTMENT GROUP LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
OBRA FUND MANAGEMENT, LLC — (AUSTIN, TX) is newly SEC-registered with $0 RAUM and 15 advisory reps. IAPD ↗institutional
85
SECURITIES CAPITAL PARTNERS MANAGEMENT COMPANY, LLC — (RALEIGH, NC) is newly SEC-registered with $178.5M RAUM and 4 advisory reps. IAPD ↗institutional
85
AGNC INVESTMENT MANAGEMENT, LLC — (BETHESDA, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗institutional
85
GRAVIMARK LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
FINIAT, LLC — (MOUNT DORA, FL) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
KRANE CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
VENNLIGHT CAPITAL MANAGEMENT, LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
VISTA CREDIT PARTNERS, L.P. — (NEW YORK, NY) is newly SEC-registered with $10.20B RAUM and 28 advisory reps. IAPD ↗fund
85
85
ATLANTIC UNION MUNICIPAL ADVISORS, INC — (GLEN ALLEN, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
LYKOS GLOBAL MANAGEMENT, LP — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
TRIANGLE INVESTMENT MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
85
SWIFT CREEK PARTNERS — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
85
GENESIA INVESTMENTS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
80
DFN MANAGEMENT LLC. — (TAMPA, FL) is newly SEC-registered with $146.5M RAUM and 3 advisory reps. IAPD ↗fund
80
FUND ASSET MANAGERS — (RENO, NV) is newly SEC-registered with $8.0M RAUM and 6 advisory reps. IAPD ↗fund
80
GROUP RMC INVESTMENT ADVISOR LLC — (NEW YORK, NY) is newly SEC-registered with $28.4M RAUM and 2 advisory reps. IAPD ↗fund
80
GLOBAL DELTA CAPITAL, LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
80
EXCOLERE EQUITY PARTNERS, LLC — (LOS ANGELES, CA) is newly SEC-registered with $190.0M RAUM and 7 advisory reps. IAPD ↗fund
80
NORTH SHIELD CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $53.3M RAUM and 4 advisory reps. IAPD ↗fund
80
COLLECTIVE RETIREMENT SOLUTIONS LLC — (BRYN MAWR, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
80
TOWN LANE MANAGEMENT LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
80
NEW HYDE PARK ASSET MANAGEMENT LLC — (WHEATON, IL) is newly SEC-registered (provisional 120-day approval) with $21.8M RAUM and 10 advisory reps. IAPD ↗fund
80
BLKBRD ASSET MANAGEMENT — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
75
75
NEOS INVESTMENT MANAGEMENT, LLC — crossed $1B in regulatory AUM ($857.6M -> $1.36B). IAPD ↗institutional
75
INNOCAP INVESTMENT ADVISERS, LLC. — crossed $1B in regulatory AUM ($872.8M -> $1.40B). IAPD ↗institutional
70
70
70
65
ATB CAPITAL MARKETS USA INC. — (CALGARY, ALBERTA, Canada) is newly SEC-registered with $0 RAUM and 17 advisory reps. IAPD ↗foreign
65
BEACON HILL WEALTH MANAGEMENT LTD — (VICTORIA, BC, Canada) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
65
MCA CROSS BORDER CAPITAL INC. — (MONTRÉAL, Canada) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
65
KENSYS LTD — (LONDON, United Kingdom) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
63
63
63
63
WHEELER RETIREMENT PLANS LLC — 's provisional registration is now fully approved. IAPD ↗institutional
61
60
60
60
LANGAR INVESTMENT MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
COLLER PRIVATE MARKET SECONDARIES ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
59
58
58
58
58
55
55
55
55
55
55
55
55
55
55
55
55
55
55
55
55
55
55
55
54
53
53
53
50
CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC — now reports custody of client assets ($334.0M). IAPD ↗fund
50
50
50
50
46
45
JOHN HANCOCK VARIABLE TRUST ADVISERS LLC — 's Item 11 disclosure-reporting entries rose by 2 (18 -> 20). IAPD ↗institutional
45
SUNAMERICA ASSET MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (18 -> 20). IAPD ↗institutional
45
PFM ASSET MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 6 (37 -> 43). IAPD ↗institutional
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 1 (95 -> 96). IAPD ↗institutional
45
SEGANTII CAPITAL MANAGEMENT (USA) LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗institutional
45
45
43
42
40
INNOCAP GLOBAL INVESTMENT MANAGEMENT (IRELAND) LTD — now reports custody of client assets ($1.71B). IAPD ↗foreign
40
40
PANAGORA ASSET MANAGEMENT INC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
40
40
THE PUTNAM ADVISORY COMPANY, LLC — 's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗fund
40
39
38
37
37
37
37
36
35
35
34
34
32
32
32
30
DFW CAPITAL MANAGEMENT, LLC — filed an Item 4A succession naming DFW MANAGEMENT CORPORATION (CRD 157337) — an entity change, not a deal. IAPD ↗fund
30
ALTAROCK PARTNERS LP — filed an Item 4A succession naming ALTAROCK PARTNERS, LLC (CRD 161005) — an entity change, not a deal. IAPD ↗fund
30
28
MKH CAPITAL PARTNERS LP — filed an Item 4A succession naming MKH CAPITAL PARTNERS LP (CRD 314020) — an entity change, not a deal. IAPD ↗fund
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 1 (96 -> 97). IAPD ↗foreign
25
HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗foreign
25
CIBC ASSET MANAGEMENT INC. — 's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗foreign
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (94 -> 96). IAPD ↗foreign
25
INVESCO ASSET MANAGEMENT LTD. — 's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗foreign
25
CREDIT SUISSE ASSET MANAGEMENT LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (61 -> 64). IAPD ↗foreign
25
PUTNAM INVESTMENTS LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗foreign
25
MANULIFE INVESTMENT MANAGEMENT (NORTH AMERICA) LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (12 -> 13). IAPD ↗foreign
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (95 -> 96). IAPD ↗foreign
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (94 -> 95). IAPD ↗foreign
21
19
17
12
12
Free page: firm, event, phone, website. The paid feed adds every window as CSV, filters by state and AUM band, and alerts the day the roster drops. Data: SEC Form ADV monthly roster; confirm on IAPD before acting.