Compliance — May 2024
Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).
616 firms opened this window in the May 2024 SEC roster: 303 state expansion, 165 new registration, 52 disclosure added, 33 headcount up, 23 pending approved, 18 custody started, 7 private funds started, 6 aum crossed 1b, 5 reorganization, 4 wrap program started.
98
LAFISE SECURITIES CORPORATION — (MIAMI, FL) is newly SEC-registered with $736.0M RAUM and 1 advisory reps. IAPD ↗
98
LETSON INVESTMENT MANAGEMENT, INC. — (location n/a) is newly SEC-registered with $261.5M RAUM and 2 advisory reps. IAPD ↗
98
FOUNDER FAMILY FINANCIAL, LLC — (location n/a) is newly SEC-registered with $270.8M RAUM and 1 advisory reps. IAPD ↗
98
CLEARWELL ADVISORS, LLC — (TAMPA, FL) is newly SEC-registered with $362.1M RAUM and 6 advisory reps. IAPD ↗
98
FREEDOM FIDUCIARIES LLC — (BOISE, ID) is newly SEC-registered with $263.8M RAUM and 2 advisory reps. IAPD ↗
98
SELBY LANE CAPITAL, LLC — (MENLO PARK, CA) is newly SEC-registered with $276.4M RAUM and 5 advisory reps. IAPD ↗
95
HAROLD DANCE INVESTMENTS — (LOGAN, UT) is newly SEC-registered with $119.0M RAUM and 7 advisory reps. IAPD ↗
95
U. S. BOSTON CAPITAL CORPORATION — (LINCOLN, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
NETWORTH ASSET MANAGEMENT, INC — (location n/a) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
95
RDM CAPITAL ASSOCIATES INC — (RED BANK, NJ) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
95
COOK FINANCIAL DESIGNS, INC. — (VIRGINIA BEACH, VA) is newly SEC-registered with $115.0M RAUM and 1 advisory reps. IAPD ↗
95
WHITE & COMPANY FINANCIAL PLANNING, INC. — (SUNNYSIDE, WA) is newly SEC-registered with $115.5M RAUM and 5 advisory reps. IAPD ↗
95
CARMICHAEL CREEL INVESTMENTS — (FRANKLIN, TN) is newly SEC-registered with $113.0M RAUM and 2 advisory reps. IAPD ↗
95
THE WEALTH ADVANTAGE GROUP, INC. — (COLUMBUS, OH) is newly SEC-registered with $125.5M RAUM and 2 advisory reps. IAPD ↗
95
MEYER GATES FINANCIAL ADVISORS, INC — (WEST CHESTER, OH) is newly SEC-registered with $142.0M RAUM and 6 advisory reps. IAPD ↗
95
FINANCIAL DISCOVERY — (ATLANTA, GA) is newly SEC-registered with $100.6M RAUM and 3 advisory reps. IAPD ↗
95
MICHAEL J. PORRO & CO. FINANCIAL ADVISORS, LLC — (OLD TAPPAN, NJ) is newly SEC-registered with $119.6M RAUM and 2 advisory reps. IAPD ↗
95
SANDERS & SCOTT, CHFC — (WATKINSVILLE, GA) is newly SEC-registered with $119.1M RAUM and 2 advisory reps. IAPD ↗
95
PALISADES INVESTMENT PARTNERS, LLC — (EL SEGUNDO, CA) is newly SEC-registered with $117.5M RAUM and 1 advisory reps. IAPD ↗
95
PIVOT POINT ADVISORS, LLC — (BELLAIRE, TX) is newly SEC-registered with $120.6M RAUM and 2 advisory reps. IAPD ↗
95
THE PRACTICAL PLANNER — (GROTON, MA) is newly SEC-registered with $108.9M RAUM and 2 advisory reps. IAPD ↗
95
CLARION ADVISORS INC. — (AUBURN, CA) is newly SEC-registered with $105.5M RAUM and 2 advisory reps. IAPD ↗
95
HAWKINS INVESTMENT COUNSEL, LLC — (location n/a) is newly SEC-registered with $124.3M RAUM and 1 advisory reps. IAPD ↗
95
INDEPENDENT PROGRESSIVE ADVISORS, LLC — (PORTLAND, OR) is newly SEC-registered with $104.3M RAUM and 2 advisory reps. IAPD ↗
95
CORNERSTONE FINANCIAL MANAGEMENT LLC — (BURLINGTON, MA) is newly SEC-registered with $113.9M RAUM and 3 advisory reps. IAPD ↗
95
ROOKWOOD WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $126.3M RAUM and 1 advisory reps. IAPD ↗
95
CORNERSTONE WEALTH PARTNERS, LLC — (OKEMOS, MI) is newly SEC-registered with $0 RAUM and 8 advisory reps. IAPD ↗
95
HIGH POINT WEALTH MANAGEMENT, LLC — (CHESTER, NJ) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
95
COLTON WEALTH MANAGEMENT — (ARCADIA, CA) is newly SEC-registered with $107.2M RAUM and 2 advisory reps. IAPD ↗
95
COLLAR CAPITAL MANAGEMENT, LLC — (APPLETON, WI) is newly SEC-registered with $113.5M RAUM and 2 advisory reps. IAPD ↗
95
LANIER FINANCIAL GROUP LLC — (ATHENS, GA) is newly SEC-registered with $127.8M RAUM and 5 advisory reps. IAPD ↗
95
BALANCED ASSET STRATEGIES, LTD. — (LA GRANGE, IL) is newly SEC-registered with $121.7M RAUM and 2 advisory reps. IAPD ↗
95
MBIA CAPITAL ADVISORS — (CINCINNATI, OH) is newly SEC-registered with $135.2M RAUM and 3 advisory reps. IAPD ↗
95
MOUNTAIN VIEW STRATEGIC WEALTH, LLC — (HOPEWELL JUNCTION, NY) is newly SEC-registered with $42.6M RAUM and 1 advisory reps. IAPD ↗
95
SANKALA GROUP LLC — (location n/a) is newly SEC-registered with $105.2M RAUM and 3 advisory reps. IAPD ↗
95
INKWELL CAPITAL — (location n/a) is newly SEC-registered with $110.7M RAUM and 2 advisory reps. IAPD ↗
95
FORTY THREE EIGHTEEN ADVISORS, LLC — (BENTONVILLE, AR) is newly SEC-registered with $105.7M RAUM and 1 advisory reps. IAPD ↗
95
T&T CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered with $131.4M RAUM and 4 advisory reps. IAPD ↗
95
FOUR TREE ISLAND ADVISORY LLC — (PORTSMOUTH, NH) is newly SEC-registered with $122.5M RAUM and 1 advisory reps. IAPD ↗
95
PEAPOD LANE CAPITAL LLC — (BEDFORD HILLS, NY) is newly SEC-registered with $63.5M RAUM and 2 advisory reps. IAPD ↗
95
PRAKASH INVESTMENT ADVISORS LLC — (location n/a) is newly SEC-registered with $120.8M RAUM and 1 advisory reps. IAPD ↗
95
SUMMER CREEK WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $34.3M RAUM and 1 advisory reps. IAPD ↗
95
TIMMONS WEALTH MANAGEMENT — (ATTLEBORO, MA) is newly SEC-registered with $114.8M RAUM and 1 advisory reps. IAPD ↗
95
LANDMARK WEALTH ADVISORS, LLC — (FARMINGTON, UT) is newly SEC-registered with $108.3M RAUM and 2 advisory reps. IAPD ↗
95
OAKTREE ADVISORS LLC — (COOPERSBURG, PA) is newly SEC-registered with $116.2M RAUM and 3 advisory reps. IAPD ↗
95
MAGELLAN FINANCIAL SOLUTIONS LLC — (WARWICK, NY) is newly SEC-registered with $26.7M RAUM and 1 advisory reps. IAPD ↗
95
ERISA ADVISERS, INC. — (BRENTWOOD, TN) is newly SEC-registered with $145.6M RAUM and 1 advisory reps. IAPD ↗
95
BROWN CAPITAL MANAGEMENT, LLC — (LITTLE ROCK, AR) is newly SEC-registered with $131.2M RAUM and 3 advisory reps. IAPD ↗
95
PERISSOS PRIVATE WEALTH MANAGEMENT — (BETHANY, OK) is newly SEC-registered with $141.7M RAUM and 3 advisory reps. IAPD ↗
95
EASTGATE CAPITAL ADVISORS LLC — (WINNETKA, IL) is newly SEC-registered with $132.5M RAUM and 3 advisory reps. IAPD ↗
95
FLOYD FINANCIAL GROUP LLC — (SPRINGFIELD, MO) is newly SEC-registered with $118.3M RAUM and 2 advisory reps. IAPD ↗
95
GUIDE WEALTH MANAGEMENT — (location n/a) is newly SEC-registered with $27.2M RAUM and 1 advisory reps. IAPD ↗
95
CLARITY FINANCIAL PLANNERS — (CLAYTON, MO) is newly SEC-registered with $111.2M RAUM and 1 advisory reps. IAPD ↗
95
COOMBS WEALTH ADVISORY, LLC — (BLUE BELL, PA) is newly SEC-registered with $145.3M RAUM and 2 advisory reps. IAPD ↗
95
BOUNTIFUL INVESTMENT MANAGEMENT LLC — (RUMFORD, RI) is newly SEC-registered with $106.1M RAUM and 3 advisory reps. IAPD ↗
95
SILICON PRIVATE WEALTH, LLC — (location n/a) is newly SEC-registered with $117.3M RAUM and 4 advisory reps. IAPD ↗
95
RETIREWISE TAX AND WEALTH ADVISORS, INC. — (TOPEKA, KS) is newly SEC-registered with $115.3M RAUM and 5 advisory reps. IAPD ↗
95
SAFE HARBOR WEALTH ADVISORS, LLC — (DUBLIN, OH) is newly SEC-registered with $101.6M RAUM and 3 advisory reps. IAPD ↗
95
DAVIMAN FINANCIAL, LLC — (location n/a) is newly SEC-registered with $103.6M RAUM and 2 advisory reps. IAPD ↗
95
STRATEGIC WEALTH ADVISORS GROUP, INC. — (UTICA, MI) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
95
ANTONELLI FINANCIAL ADVISORS, LLC — (GROSSE POINTE, MI) is newly SEC-registered with $139.3M RAUM and 3 advisory reps. IAPD ↗
95
RING MOUNTAIN CAPITAL, LLC — (TIBURON, CA) is newly SEC-registered with $138.2M RAUM and 1 advisory reps. IAPD ↗
95
BOERUM HILL FINANCIAL ADVISORS LLC — (BROOKLYN, NY) is newly SEC-registered with $28.3M RAUM and 1 advisory reps. IAPD ↗
95
DAVIDSON KAHN CAPITAL MANAGEMENT, LLC — (SHERMAN OAKS, CA) is newly SEC-registered with $103.3M RAUM and 3 advisory reps. IAPD ↗
95
TWIN GRYPHON ADVISORS LLC — (MARSHFIELD, MA) is newly SEC-registered with $107.9M RAUM and 1 advisory reps. IAPD ↗
95
VAN CLEMENS WEALTH MANAGEMENT, LLC — (MINNEAPOLIS, MN) is newly SEC-registered with $105.9M RAUM and 16 advisory reps. IAPD ↗
95
LEATHERBACK INVESTMENTS LLC — (LAKEWOOD, NJ) is newly SEC-registered with $139.7M RAUM and 2 advisory reps. IAPD ↗
95
WHITE SAND WEALTH MANAGEMENT — (LIBERTY, MO) is newly SEC-registered with $111.3M RAUM and 3 advisory reps. IAPD ↗
95
VISTA CIMA WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered with $103.2M RAUM and 3 advisory reps. IAPD ↗
95
PEERLESS WEALTH — (COLUMBUS, OH) is newly SEC-registered with $87.8M RAUM and 2 advisory reps. IAPD ↗
95
SYNERGY INVESTMENT MANAGEMENT LLC — (ALTAMONTE SPRINGS, FL) is newly SEC-registered with $101.6M RAUM and 5 advisory reps. IAPD ↗
95
JK PRIVATE WEALTH, LLC — (GLASTONBURY, CT) is newly SEC-registered with $107.3M RAUM and 1 advisory reps. IAPD ↗
95
CAYSIDE PARTNERS — (JUPITER, FL) is newly SEC-registered with $162.5M RAUM and 4 advisory reps. IAPD ↗
95
RIDGELINE WEALTH PLANNING LLC — (CENTERVILLE, OH) is newly SEC-registered with $147.4M RAUM and 2 advisory reps. IAPD ↗
95
MANER WEALTH — (LANSING, MI) is newly SEC-registered with $172.7M RAUM and 5 advisory reps. IAPD ↗
95
TRUMIX ADVISORS — (BLOOMINGTON, MN) is newly SEC-registered with $112.3M RAUM and 2 advisory reps. IAPD ↗
95
GRANTVEST FINANCIAL GROUP LLC — (MATAWAN, NJ) is newly SEC-registered with $107.0M RAUM and 4 advisory reps. IAPD ↗
95
INTENTIONAL RETIREMENT, LLC — (OMAHA, NE) is newly SEC-registered with $110.0M RAUM and 1 advisory reps. IAPD ↗
95
ELITE RETIREMENT GROUP — (PLOVER, WI) is newly SEC-registered with $115.2M RAUM and 4 advisory reps. IAPD ↗
95
TARGET ROCK WEALTH MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $44.5M RAUM and 2 advisory reps. IAPD ↗
95
PRIVATE FINANCIAL MANAGEMENT LLC — (location n/a) is newly SEC-registered with $105.5M RAUM and 1 advisory reps. IAPD ↗
95
MILLER AVENUE ADVISORS LLC — (MILL VALLEY, CA) is newly SEC-registered with $123.2M RAUM and 3 advisory reps. IAPD ↗
95
PASSIVE MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $25.7M RAUM and 1 advisory reps. IAPD ↗
95
VERUS FINANCIAL GROUP — (HOUSTON, TX) is newly SEC-registered with $100.7M RAUM and 5 advisory reps. IAPD ↗
95
LIBERTY ONE WEALTH ADVISORS — (PHILADELPHIA, PA) is newly SEC-registered with $104.7M RAUM and 4 advisory reps. IAPD ↗
95
TWIN CITY PRIVATE WEALTH, LLC — (WINSTON-SALEM, NC) is newly SEC-registered with $110.9M RAUM and 3 advisory reps. IAPD ↗
95
RPR FINANCIAL — (OVERLAND PARK, KS) is newly SEC-registered with $118.5M RAUM and 3 advisory reps. IAPD ↗
95
THE WEALTH BOUTIQUE — (CHESTER, NJ) is newly SEC-registered with $100.2M RAUM and 7 advisory reps. IAPD ↗
95
ENTREWEALTH — (AUSTIN, TX) is newly SEC-registered with $174.7M RAUM and 4 advisory reps. IAPD ↗
95
NUCLO WEALTH — (HOUSTON, TX) is newly SEC-registered with $185.0M RAUM and 3 advisory reps. IAPD ↗
95
ONESOURCE WEALTH MANAGEMENT — (GRANITE BAY, CA) is newly SEC-registered with $100.0M RAUM and 2 advisory reps. IAPD ↗
95
CROWN POINT WEALTH ADVISORS — (HOOD RIVER, OR) is newly SEC-registered with $111.0M RAUM and 3 advisory reps. IAPD ↗
95
ENTRUST INVESTMENT SERVICES, INC — (CAMPBELL, CA) is newly SEC-registered with $91.6M RAUM and 2 advisory reps. IAPD ↗
95
ATLAS INVESTMENT ADVISORS — (ALPHARETTA, GA) is newly SEC-registered with $100.7M RAUM and 2 advisory reps. IAPD ↗
95
MOMENT ADVISORS, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
WYZE WEALTH ADVISORS, LLC — (CANONSBURG, PA) is newly SEC-registered with $219.0M RAUM and 1 advisory reps. IAPD ↗
95
CATALYST WEALTH MANAGEMENT LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗
95
FAIRVOY PRIVATE WEALTH, LLC — (BIRMINGHAM, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
FUTUREMONEY RIA — (MANCHESTER, NH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
95
LINCOLN PARK CAPITAL LLC — (OLEAN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ACME JACK WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SYNTHETICFI LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
FUNDAMENTAL INVESTMENT SERVICES, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
FINFARE ADVISORS — (IRVINE, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
ARC ADVISORY LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
95
VERIDIAN PRIVATE WEALTH MANAGEMENT — (WARRENVILLE, IL) is newly SEC-registered with $100.0M RAUM and 1 advisory reps. IAPD ↗
95
MURPHY CLARKE WILLIAMS & STONE LLC — (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
WEALTHCARE CAPITAL PARTNERS, LLC — (WEST CHESTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
NAPLES WEALTH PLANNING — (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps. IAPD ↗
95
KILTER GROUP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BERLIN WEALTH GROUP ADVISORS — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
SMART STEPS WEALTH MANAGEMENT LLC — (ST. LOUIS, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
OVERLOCK CAPITAL LLC — (WASHINGTON, DC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
BIP ALLIANCE, LLC — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
WELLTH ADVISORY SERVICES, LLC — (SHOREWOOD, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ROXBURY FINANCIAL — (MOUNT ARLINGTON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
FULL FINANCIAL INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $110.0M RAUM and 2 advisory reps. IAPD ↗
95
RESHAPE, LLC — (JERSEY CITY, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SUMMITAS INVESTMENT MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MONOLITH HOLDINGS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ORG WEALTH PARTNERS — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
MONTEREY PRIVATE WEALTH, INC. — crossed $1B in regulatory AUM ($965.9M -> $1.01B). IAPD ↗
85
PINKERTON RETIREMENT SPECIALISTS, LLC — crossed $1B in regulatory AUM ($945.7M -> $1.02B). IAPD ↗
85
REVOLVE WEALTH PARTNERS, LLC — crossed $1B in regulatory AUM ($837.6M -> $1.04B). IAPD ↗
85
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS — grew from 60 to 80 advisory reps. IAPD ↗
85
THE COLONY GROUP, LLC — grew from 255 to 285 advisory reps. IAPD ↗
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC — grew from 52 to 74 advisory reps. IAPD ↗
85
F/M INVESTMENTS LLC — grew from 8 to 35 advisory reps. IAPD ↗
83
CONSOLIDATED PLANNING CORPORATION — grew from 9 to 22 advisory reps. IAPD ↗
83
SOVRAN ADVISORS, LLC — grew from 2 to 45 advisory reps. IAPD ↗
78
WAVERLY ADVISORS, LLC — grew from 84 to 92 advisory reps. IAPD ↗
78
SANCTUARY ADVISORS, LLC — grew from 309 to 317 advisory reps. IAPD ↗
78
CONCURRENT INVESTMENT ADVISORS, LLC — grew from 106 to 114 advisory reps. IAPD ↗
77
IHT WEALTH MANAGEMENT LLC — grew from 139 to 146 advisory reps. IAPD ↗
75
FORZA INVESTMENT GROUP, LP — now reports 7 private fund(s) ($1.36B gross). IAPD ↗
73
EMBREE FINANCIAL GROUP — grew from 10 to 13 advisory reps. IAPD ↗
73
LINDBERG & RIPPLE — 's provisional registration is now fully approved. IAPD ↗
73
DRUCKER WEALTH — 's provisional registration is now fully approved. IAPD ↗
73
GREYKASELL WEALTH STRATEGIES, INC. — 's provisional registration is now fully approved. IAPD ↗
72
ST. BERNARD FINANCIAL SERVICES, INC. — grew from 23 to 30 advisory reps. IAPD ↗
72
CROSSINGBRIDGE ADVISORS, LLC — grew from 7 to 9 advisory reps. IAPD ↗
71
SINGER WEALTH ADVISORS LLC — grew from 9 to 12 advisory reps. IAPD ↗
70
BLUE BARN WEALTH — grew from 4 to 6 advisory reps. IAPD ↗
70
CAPSTONE CAPITAL WEALTH ADVISORS — grew from 2 to 4 advisory reps. IAPD ↗
70
RIVERVIEW CAPITAL ADVISERS LLC — grew from 4 to 6 advisory reps. IAPD ↗
70
TACTIVE ADVISORS, LLC — grew from 1 to 3 advisory reps. IAPD ↗
70
AZURA PARTNERS US LLC — 's provisional registration is now fully approved. IAPD ↗
70
RASP WEALTH SOLUTIONS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
LONGEVITY CAPITAL MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
INDEPENDENT WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
ALLIED PRIVATE WEALTH — 's provisional registration is now fully approved. IAPD ↗
70
STONEPATH WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
POMONA WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
69
CARDEA CAPITAL ADVISORS, LLC — grew from 5 to 9 advisory reps. IAPD ↗
68
FAIRHAVEN FINANCIAL ADVISORY CORPORATION — now reports custody of client assets ($111.9M). IAPD ↗
68
EUDAIMONIA PARTNERS, LLC — now reports custody of client assets ($1.8M). IAPD ↗
68
TOWER WEALTH PARTNERS — now reports custody of client assets ($5.0M). IAPD ↗
68
GREYKASELL WEALTH STRATEGIES, INC. — now reports custody of client assets ($291.2M). IAPD ↗
67
TRINITY INVESTMENT MANAGEMENT, LLC — grew from 4 to 6 advisory reps. IAPD ↗
67
LPF ADVISORS, LLC — grew from 3 to 5 advisory reps. IAPD ↗
67
WASHINGTON AVENUE ADVISORS — grew from 4 to 6 advisory reps. IAPD ↗
65
WINDLE WEALTH — now reports custody of client assets ($24.6M). IAPD ↗
65
TEACH PLAN RETIRE, AEL WEALTH MANAGEMENT — now reports custody of client assets ($77.3M). IAPD ↗
65
DEFINED FINANCIAL PLANNING LLC — now reports custody of client assets ($12.0M). IAPD ↗
65
STRUCTURAL SOLUTIONS LLC — now reports custody of client assets ($99.0M). IAPD ↗
65
NICHOLSON WEALTH MANAGEMENT GROUP, LLC — now reports custody of client assets ($2.6M). IAPD ↗
65
LASHLEY WEALTH MANAGEMENT — now reports custody of client assets. IAPD ↗
65
DELARME WEALTH MANAGEMENT, INC. — now reports custody of client assets ($5.3M). IAPD ↗
65
MENDOZA PRIVATE WEALTH — now reports custody of client assets. IAPD ↗
65
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS — began participating in a wrap-fee program. IAPD ↗
60
WINTER & ASSOCIATES, INC. — began participating in a wrap-fee program. IAPD ↗
60
THEPARTNERS WEALTH MANAGEMENT — began participating in a wrap-fee program. IAPD ↗
60
HERON FINANCE — began participating in a wrap-fee program. IAPD ↗
55
OPPENHEIMER & CO. INC. — 's Item 11 disclosure-reporting entries rose by 5 (97 -> 102). IAPD ↗
55
RAYMOND JAMES & ASSOCIATES, INC. — 's Item 11 disclosure-reporting entries rose by 6 (167 -> 173). IAPD ↗
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 1 (156 -> 157). IAPD ↗
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 1 (324 -> 325). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (319 -> 320). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 2 (646 -> 648). IAPD ↗
55
OSAIC WEALTH, INC. — 's Item 11 disclosure-reporting entries rose by 11 (41 -> 52). IAPD ↗
55
STIFEL INDEPENDENT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗
55
VALIC FINANCIAL ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 1 (45 -> 46). IAPD ↗
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 1 (100 -> 101). IAPD ↗
55
BLACKROCK ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (39 -> 40). IAPD ↗
55
BLACKROCK FINANCIAL MANAGEMENT, INC — 's Item 11 disclosure-reporting entries rose by 1 (52 -> 53). IAPD ↗
55
BLACKROCK CAPITAL MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 1 (42 -> 43). IAPD ↗
55
BLACKROCK INVESTMENT MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (38 -> 39). IAPD ↗
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 1 (100 -> 101). IAPD ↗
55
APERIO GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 1 (9 -> 10). IAPD ↗
55
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (26 -> 28). IAPD ↗
55
INSIGHT INVESTMENT — 's Item 11 disclosure-reporting entries rose by 8 (9 -> 17). IAPD ↗
55
CAPITAL ANALYSTS — 's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗
55
ARBOR POINT ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
SCARBOROUGH CAPITAL MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
OSAIC ADVISORY SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗
55
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS — notice-filed in AL, DE, KY, ME, NE, NV, OK, UT. IAPD ↗
55
EMBREE FINANCIAL GROUP — notice-filed in AZ, CA, CO, CT, FL, IN, MI, NC, NH, NJ, NY, OH, PA, TN, TX, VA, WA, WI. IAPD ↗
55
TRAJAN WEALTH, L.L.C. — notice-filed in AR, HI, IA, MN, MT, NC, PA, SC, WI. IAPD ↗
55
GOLDEN STATE WEALTH MANAGEMENT, LLC — notice-filed in CT, MA, MN, OH, WI, WY. IAPD ↗
55
ONEASCENT FINANCIAL SERVICES LLC — notice-filed in AR, KS, KY, MD, ME, ND, SD. IAPD ↗
55
FIRST TRUST DIRECT INDEXING — notice-filed in AZ, GA, MD, ME, MI, MN, NE. IAPD ↗
55
CONCURRENT INVESTMENT ADVISORS, LLC — notice-filed in AZ, CT, IA, ID, MA, MO, MS, MT, NE, NH, NV, OH, PA, UT, WV. IAPD ↗
53
RENAISSANCE INVESTMENT GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
53
SINGER WEALTH ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
SOVRAN ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
HUDSON ADVISOR SERVICES, INC. — notice-filed in CO, MA, ME, TX, WV. IAPD ↗
53
CORNERCAP INVESTMENT COUNSEL INC — notice-filed in KY, MN, NV, OH. IAPD ↗
53
DAVIDSON INVESTMENT ADVISORS, INC. — notice-filed in CT, KY, ME, MI. IAPD ↗
53
SAGEGUARD FINANCIAL GROUP, LLC — notice-filed in FL, KY, LA, MI, MO, MS, NC, NH, OH, PA. IAPD ↗
53
TENNESSEE VALLEY ASSET MANAGEMENT PARTNERS, LLC — notice-filed in AL, CA, CO, IL, IN, KY. IAPD ↗
53
PARK EDGE ADVISORS, LLC — notice-filed in FL, MI, NC, PR, TX. IAPD ↗
53
SOLLINDA CAPITAL MANAGEMENT LLC — notice-filed in AL, MA, MD, MI, NE, NH, NJ, OH, TN, VA. IAPD ↗
51
CONRAD SIEGEL INVESTMENT ADVISORS — notice-filed in GA, NJ, VA. IAPD ↗
51
ONEASCENT WEALTH MANAGEMENT — notice-filed in CO, MD, OH, WV. IAPD ↗
51
FIDELIS CAPITAL — notice-filed in CO, GA, MO, NH. IAPD ↗
50
BRADESCO GLOBAL ADVISORS — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
50
PREMIUM 72 CAPITAL — 's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
50
ST. BERNARD FINANCIAL SERVICES, INC. — notice-filed in KY, NJ, NV, SC, VT, WI. IAPD ↗
50
KLEIN PAVLIS & PEASLEY FINANCIAL, INC. — notice-filed in FL, GA, SC, UT, VA. IAPD ↗
50
KEY CAPITAL MANAGEMENT, INC. — notice-filed in AL, AZ, FL, KY, NC, OH. IAPD ↗
50
KEENAN FINANCIAL — notice-filed in AR, DE, HI, IN, ME, NM, NV, OH, OR, UT, WI, WV. IAPD ↗
50
ROSSBY FINANCIAL, LLC — notice-filed in AZ, DC, ID, IL, LA, NY. IAPD ↗
49
OBERMEYER WOOD INVESTMENT COUNSEL, LLLP — notice-filed in ID, NC. IAPD ↗
49
SS&H FINANCIAL ADVISORS, INC. — notice-filed in FL, IL, MT. IAPD ↗
49
REDHAWK WEALTH ADVISORS, INC. — notice-filed in DE, NJ. IAPD ↗
49
ACTIVEST WEALTH MANAGEMENT, LLC — notice-filed in DE, MA, NJ. IAPD ↗
49
JOHNSON BRUNETTI — notice-filed in MD, NV. IAPD ↗
49
SIGNATURE WEALTH MANAGEMENT GROUP LLC — notice-filed in IL, LA, SC. IAPD ↗
49
WATERSHED PRIVATE WEALTH LLC — notice-filed in FL, IN, TX. IAPD ↗
49
FINANCIAL NETWORK WEALTH ADVISORS LLC — notice-filed in CO, ID, VA. IAPD ↗
49
IMPRINT WEALTH LLC — notice-filed in CA, PA, TX. IAPD ↗
49
SYNTEGRA PRIVATE WEALTH GROUP LLC — notice-filed in DC, KY. IAPD ↗
48
ASSUREDPARTNERS INVESTMENT ADVISORS — notice-filed in AK, ID, MT, WY. IAPD ↗
48
MERKKURI WEALTH ADVISORS LLC — notice-filed in FL, NJ, PA, TX. IAPD ↗
47
LINCOLN INVESTMENT — notice-filed in PR. IAPD ↗
47
RICHARDS MERRILL WEALTH MANAGEMENT — notice-filed in FL, MT. IAPD ↗
47
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC — notice-filed in ND, NJ. IAPD ↗
47
HOWE AND RUSLING, INC. — notice-filed in HI. IAPD ↗
47
TFC FINANCIAL MANAGEMENT INC — notice-filed in MD. IAPD ↗
47
XPYRIA INVESTMENT ADVISORS, INC. — notice-filed in OH, WV. IAPD ↗
47
EVERHART ADVISORS — notice-filed in AL. IAPD ↗
47
BLUE BARN WEALTH — notice-filed in AZ, FL. IAPD ↗
47
MASLOW WEALTH ADVISORS — notice-filed in NJ. IAPD ↗
47
GARCIA HAMILTON & ASSOCIATES LP — notice-filed in UT. IAPD ↗
47
JMG FINANCIAL GROUP LTD — notice-filed in ID. IAPD ↗
47
DESTINATION WEALTH MANAGEMENT — notice-filed in SC. IAPD ↗
47
NOESIS CAPITAL MANAGEMENT CORP — notice-filed in MS, NM. IAPD ↗
47
MASON INVESTMENT ADVISORY SERVICES INC — notice-filed in LA. IAPD ↗
47
COOPER MCMANUS — notice-filed in KS. IAPD ↗
47
JOEL R. MOGY INVESTMENT COUNSEL INC. — notice-filed in CT. IAPD ↗
47
BOUCHEY FINANCIAL GROUP LTD — notice-filed in PA. IAPD ↗
47
PATRIOT INVESTMENT MANAGEMENT GROUP INC — notice-filed in IL. IAPD ↗
47
BOSTON FINANCIAL MANAGEMENT LLC — notice-filed in NE. IAPD ↗
47
WAVERLY ADVISORS, LLC — notice-filed in IA. IAPD ↗
47
AMERAUDI ASSET MANAGEMENT, INC. — notice-filed in IL. IAPD ↗
47
J.DEREK LEWIS & ASSOCIATES, INC. — notice-filed in WY. IAPD ↗
47
IFC PERSONAL MONEY MANAGERS, INC. — notice-filed in SC, VA. IAPD ↗
47
BARON SILVER STEVENS FINANCIAL ADVISORS, LLC — notice-filed in CA, SC. IAPD ↗
47
WEALTHCREST FINANCIAL SERVICES, LLC — notice-filed in GA, PA. IAPD ↗
47
RAFFA INVESTMENT ADVISERS — notice-filed in PA. IAPD ↗
47
CORNERSTONE ADVISORY — notice-filed in GA. IAPD ↗
47
TOTAL CLARITY WEALTH MANAGEMENT, INC — notice-filed in MI, NV. IAPD ↗
47
EXETER FINANCIAL, LLC — notice-filed in FL, VA. IAPD ↗
47
BENEFIT FINANCIAL SERVICES GROUP — notice-filed in CT. IAPD ↗
47
THE MARSHALL FINANCIAL GROUP LLC — notice-filed in AZ, SC. IAPD ↗
47
SEACREST WEALTH MANAGEMENT, LLC — notice-filed in NM. IAPD ↗
47
MILLER TABAK ASSET MANAGEMENT — notice-filed in ME. IAPD ↗
47
JOSEPH P. LUCIA & ASSOCIATES, LLC — notice-filed in NC, SC. IAPD ↗
47
CONGRESS PARK CAPITAL LLC — notice-filed in NC, PA. IAPD ↗
47
SOLTIS INVESTMENT ADVISORS, LLC — notice-filed in WY. IAPD ↗
47
LEGACY FINANCIAL ADVISORS, INC. — notice-filed in CO. IAPD ↗
47
PACIFIC CAPITAL — notice-filed in AZ, FL. IAPD ↗
47
CAPITAL ANALYSTS — notice-filed in PR. IAPD ↗
47
INTEGRATED FINANCIAL STRATEGIES, LLC — notice-filed in NH, NJ. IAPD ↗
47
VESTOR CAPITAL, LLC — notice-filed in VA. IAPD ↗
47
COMPASS ION ADVISORS, LLC — notice-filed in MI. IAPD ↗
47
CONCENTRUM WEALTH MANAGEMENT — notice-filed in AK, CO. IAPD ↗
47
HORIZON WEALTH MANAGEMENT — notice-filed in GA, MN. IAPD ↗
47
FIDUCIARY FINANCIAL ADVISORS — notice-filed in MA, VA. IAPD ↗
47
HUGHES FINANCIAL SERVICES, LLC — notice-filed in CA, NH. IAPD ↗
47
OAK HARVEST INVESTMENT SERVICES — notice-filed in CT, NE. IAPD ↗
47
GRATUS CAPITAL, LLC — notice-filed in AR. IAPD ↗
47
CREWE ADVISORS — notice-filed in MI. IAPD ↗
47
GREAT OAK CAPITAL PARTNERS, LLC — notice-filed in ME, VA. IAPD ↗
47
PARADIGM WEALTH ADVISORY LLC — notice-filed in GA, TN. IAPD ↗
47
EUDAIMONIA PARTNERS, LLC — notice-filed in AR, WA. IAPD ↗
47
PROCYON ADVISORS, LLC — notice-filed in MI. IAPD ↗
47
CAPITA FINANCIAL NETWORK, LLC — notice-filed in VA. IAPD ↗
47
CHICAGO CAPITAL, LLC — notice-filed in OR. IAPD ↗
47
SOVEREIGN FINANCIAL GROUP, INC. — notice-filed in IL, RI. IAPD ↗
47
SARGENT INVESTMENT GROUP — notice-filed in OR. IAPD ↗
47
WEALTHSPAN PARTNERS, LLC — notice-filed in CO, LA. IAPD ↗
47
CANOPY WEALTH MANAGEMENT — notice-filed in UT. IAPD ↗
47
OCTAVIA WEALTH ADVISORS LLC — notice-filed in RI. IAPD ↗
47
QUENT CAPITAL, LLC — notice-filed in LA. IAPD ↗
47
VANCE WEALTH — notice-filed in CO, WA. IAPD ↗
47
RETIREMENT PLANNING SOLUTIONS, LLC — notice-filed in CO, NC. IAPD ↗
47
KERA CAPITAL PARTNERS — notice-filed in LA, WA. IAPD ↗
47
CEDRUS LLC — notice-filed in NY, OR. IAPD ↗
47
NEXT LEVEL PRIVATE LLC — notice-filed in CO, GA. IAPD ↗
47
SINGER WEALTH ADVISORS LLC — notice-filed in MA, VA. IAPD ↗
47
DAYMARK WEALTH PARTNERS, LLC — notice-filed in GA. IAPD ↗
47
GOLDEN STATE EQUITY PARTNERS, LLC — notice-filed in GA, IL. IAPD ↗
47
INVENIO WEALTH PARTNERS, LLC — notice-filed in OH, TX. IAPD ↗
47
ELEVATUS WEALTH MANAGEMENT, LLC — notice-filed in CT, MD. IAPD ↗
47
STONEBRIDGE FINANCIAL GROUP, LLC — notice-filed in MA. IAPD ↗
47
STABLEPOINT PARTNERS, LLC — notice-filed in DC, NC. IAPD ↗
46
CREEKSIDE CAPITAL, INC. — notice-filed in FL, GA, SC. IAPD ↗
46
RIDGE CAPITAL MANAGEMENT, LLC — notice-filed in MI, NJ, TX. IAPD ↗
46
REVERE WEALTH MANAGEMENT LLC — notice-filed in MI, NJ, TX. IAPD ↗
46
AMERITY WEALTH MANAGEMENT, LLC — notice-filed in IL, NJ, SC. IAPD ↗
46
ONEASCENT FAMILY OFFICES — notice-filed in CO, FL, OH. IAPD ↗
45
UBS ASSET MANAGEMENT (AMERICAS) LLC — filed an Item 4A succession naming UBS ASSET MANAGEMENT (AMERICAS) INC. (CRD 106838) — an entity change, not a deal. IAPD ↗
45
PACKERLAND BROKERAGE SERVICES, INC. — notice-filed in AK. IAPD ↗
45
BRUNI J V & CO — notice-filed in NM. IAPD ↗
45
BRIGHT FINANCIAL ADVISORS, INC. — notice-filed in ND. IAPD ↗
45
STEPP & ROTHWELL INC — notice-filed in WA. IAPD ↗
45
LCM CAPITAL MANAGEMENT INC — notice-filed in IA. IAPD ↗
45
HUNTLEIGH ADVISORS, INC. — notice-filed in MI. IAPD ↗
45
STRATEGIC PLANNING GROUP — notice-filed in TN. IAPD ↗
45
DEW WEALTH MANAGEMENT — notice-filed in NC. IAPD ↗
45
JACOBSEN CAPITAL MANAGEMENT — notice-filed in NV. IAPD ↗
45
LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C. — notice-filed in VA. IAPD ↗
45
ALEXANDER LABRUNERIE & CO., INC. — notice-filed in NH. IAPD ↗
45
MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC — notice-filed in LA. IAPD ↗
45
FINANCIAL AVENGERS, INC. — notice-filed in MA. IAPD ↗
45
WEALTH ADVISORS GROUP — notice-filed in AZ. IAPD ↗
45
SIGNET INVESTMENT ADVISORY GROUP, INC. — notice-filed in GA. IAPD ↗
45
PURKISS CAPITAL ADVISORS, LLC — notice-filed in NC. IAPD ↗
45
GEM ASSET MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
45
WISER WEALTH MANAGEMENT, INC — notice-filed in LA. IAPD ↗
45
CONFIDENCE WEALTH MANAGEMENT, LLC — notice-filed in NJ. IAPD ↗
45
CORNERSTONE FINANCIAL PLANNING, LLC — notice-filed in MD. IAPD ↗
45
UHLER VERTICH WHITE ADVISORS — notice-filed in LA. IAPD ↗
45
FINANCIAL PERSPECTIVES — notice-filed in TN. IAPD ↗
45
STRATEGIC ASSET MANAGEMENT GROUP ADVISORS — notice-filed in CA. IAPD ↗
45
ALHAMBRA INVESTMENT MANAGEMENT LLC — notice-filed in NE. IAPD ↗
45
SAMALIN WEALTH — notice-filed in NE. IAPD ↗
45
ROBINSWOOD FINANCIAL — notice-filed in FL. IAPD ↗
45
VISIONARY HORIZONS, LLC — notice-filed in NC. IAPD ↗
45
BUTTONWOOD FINANCIAL GROUP, LLC — notice-filed in VT. IAPD ↗
45
M3 ADVISORY GROUP, LLC — notice-filed in CO. IAPD ↗
45
VERITY ASSET MANAGEMENT — notice-filed in OK. IAPD ↗
45
MKT ADVISORS LLC — notice-filed in NH. IAPD ↗
45
MBE WEALTH MANAGEMENT, LLC — notice-filed in NC. IAPD ↗
45
OCCIDENTAL ASSET MANAGEMENT, LLC — notice-filed in PA. IAPD ↗
45
ASSETGRADE, LLC — notice-filed in CT. IAPD ↗
45
COOK WEALTH, LLC — notice-filed in GA. IAPD ↗
45
ONE WEALTH ADVISORS, LLC — notice-filed in NV. IAPD ↗
45
CYPRESS CAPITAL, LLC — notice-filed in KS. IAPD ↗
45
WEALTH WATCH ADVISORS, INC — notice-filed in MS. IAPD ↗
45
PANDOWEALTH. LLC — notice-filed in KS. IAPD ↗
45
SUNPOINTE INVESTMENTS — notice-filed in NY. IAPD ↗
45
LEBENTHAL GLOBAL ADVISORS, LLC — notice-filed in DE. IAPD ↗
45
LIFEGUIDE FINANCIAL ADVISORS, LLC — notice-filed in OH. IAPD ↗
45
STRATA WEALTH ADVISORS, LLC — notice-filed in IL. IAPD ↗
45
TCP ASSET MANAGEMENT, LLC — notice-filed in MI. IAPD ↗
45
WHITAKER-MYERS WEALTH MANAGERS, LTD. — notice-filed in NJ. IAPD ↗
45
INDEPENDENT WEALTH NETWORK, INC. — notice-filed in AR. IAPD ↗
45
EARLY MCCLINTIC & MCMILLAN, LLC — notice-filed in CA. IAPD ↗
45
CYPRESS CAPITAL ADVISORS, LLC — notice-filed in CA. IAPD ↗
45
SAGE RHINO CAPITAL LLC — notice-filed in TN. IAPD ↗
45
ROOT FINANCIAL PARTNERS — notice-filed in TN. IAPD ↗
45
WEALTHCARE INVESTMENT PARTNERS LLC — notice-filed in NY. IAPD ↗
45
ALLRED CAPITAL MANAGEMENT, LLC — notice-filed in OK. IAPD ↗
45
HASSELL WEALTH MANAGEMENT — notice-filed in NH. IAPD ↗
45
MACH-1 FINANCIAL GROUP, LLC — notice-filed in KY. IAPD ↗
45
TRUEWEALTH ADVISORS, LLC — notice-filed in NE. IAPD ↗
45
SIGNAL ADVISORS WEALTH, LLC — notice-filed in TN. IAPD ↗
45
COLLECTIVE FAMILY OFFICE, LLC — notice-filed in NY. IAPD ↗
45
INVESTMENT RESEARCH PARTNERS — notice-filed in NY. IAPD ↗
45
IAM ADVISORY LLC — notice-filed in AZ. IAPD ↗
45
TRIAGEN WEALTH MANAGEMENT LLC — notice-filed in IL. IAPD ↗
45
JACKSONVILLE WEALTH MANAGEMENT — notice-filed in MN. IAPD ↗
45
FOCUSED ALPHA, LLC — notice-filed in AZ. IAPD ↗
45
PROSPECT FINANCIAL SERVICES LLC — notice-filed in SC. IAPD ↗
45
ALLIANCE WEALTH ADVISORS, LLC — notice-filed in WA. IAPD ↗
45
POWER WEALTH MANAGEMENT — notice-filed in SC. IAPD ↗
45
TRANSCE3ND LLC — notice-filed in MN. IAPD ↗
45
CORA CAPITAL ADVISORS — notice-filed in NE. IAPD ↗
45
JESSUP WEALTH MANAGEMENT — notice-filed in LA. IAPD ↗
45
UNITED ADVISOR GROUP — notice-filed in ID. IAPD ↗
45
GILLILAND JETER WEALTH MANAGEMENT, LLC — notice-filed in CA. IAPD ↗
45
VICTORY FINANCIAL — notice-filed in HI. IAPD ↗
45
LEGACY EDGE ADVISORS — notice-filed in MD. IAPD ↗
45
FIRST TRUST INVESTMENT SOLUTIONS L.P. — notice-filed in AK. IAPD ↗
45
TRAVEKA WEALTH, LLC — notice-filed in TX. IAPD ↗
45
DIVERSIFY WEALTH MANAGEMENT, LLC — notice-filed in DE. IAPD ↗
44
PHASE III ADVISORY SERVICES, LTD — notice-filed in CA, NC. IAPD ↗
44
ARROYO INVESTMENT GROUP, LLC — notice-filed in AZ, CO. IAPD ↗
44
BAER WEALTH MANAGEMENT — notice-filed in NH, TX. IAPD ↗
44
SUMMIT WEALTH GROUP, LLC — notice-filed in CO, NH. IAPD ↗
44
HUDSON CAPITAL ADVISORY, INC. — notice-filed in MD, WV. IAPD ↗
44
RIGHTHAND CAPITAL, LLC — notice-filed in DE, NV. IAPD ↗
44
CHIRON CAPITAL MANAGEMENT, LLC — notice-filed in NC, PA. IAPD ↗
44
CSP FINANCIAL GROUP LLC — notice-filed in IL, WI. IAPD ↗
44
STONEPATH WEALTH MANAGEMENT — notice-filed in CA, KY. IAPD ↗
44
CRUSONIA WEALTH ADVISORS LLC — notice-filed in NE, NY. IAPD ↗
42
R. F. LAFFERTY & CO., INC. — notice-filed in KY. IAPD ↗
42
CONTINENTAL INVESTORS SERVICES, INC. — notice-filed in CO. IAPD ↗
42
WESBANCO SECURITIES, INC. — notice-filed in AZ. IAPD ↗
42
MWA FINANCIAL SERVICES, INC. — notice-filed in MA. IAPD ↗
42
DIVERSIFIED ASSET MANAGEMENT, INC. — notice-filed in TX. IAPD ↗
42
RADEMACHER FINANCIAL, INC. — notice-filed in CA. IAPD ↗
42
CAPITAL IDEAS — notice-filed in ID. IAPD ↗
42
KANE COMPANY WEALTH MANAGEMENT PC — notice-filed in NE. IAPD ↗
42
THE RENN WEALTH MANAGEMENT GROUP, INC. — notice-filed in NC. IAPD ↗
42
GORDON ASSET MANAGEMENT, LLC — notice-filed in WI. IAPD ↗
42
MACRO ADVISORS, INC. — notice-filed in CT. IAPD ↗
42
TACONIC ADVISORS — notice-filed in TX. IAPD ↗
42
BYRNE ASSET MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
42
MINERVA PLANNING GROUP — notice-filed in NH. IAPD ↗
42
KCD FINANCIAL, INC. — notice-filed in KY. IAPD ↗
42
NORRIS FINANCIAL GROUP, LLC — notice-filed in TN. IAPD ↗
42
ANSON ANALYTICS — notice-filed in LA. IAPD ↗
42
MERIDIAN CAPITAL MANAGEMENT GROUP, INC. — notice-filed in FL. IAPD ↗
42
DORMAN FINANCIAL MANAGEMENT, P.A. — notice-filed in SC. IAPD ↗
42
ANDREW HILL INVESTMENT ADVISORS, INC. — notice-filed in NH. IAPD ↗
42
TRUEMAN BROWN — notice-filed in WI. IAPD ↗
42
GLOBAL VALUE INVESTMENT CORPORATION — notice-filed in WA. IAPD ↗
42
FLAVIN FINANCIAL SERVICES, INC. — notice-filed in NH. IAPD ↗
42
TONY WALKER FINANCIAL — notice-filed in NC. IAPD ↗
42
ARCHER INVESTMENT MANAGEMENT — notice-filed in ID. IAPD ↗
42
ASSET STRATEGY RETIREMENT PLAN CONSULTANTS, LLC — notice-filed in NH. IAPD ↗
42
NEWBURY CAPITAL MANAGEMENT, LLC — notice-filed in WA. IAPD ↗
42
RGA INVESTMENT ADVISORS, LLC — notice-filed in CO. IAPD ↗
42
INTEGRITY WEALTH MANAGEMENT, INC. — notice-filed in AZ. IAPD ↗
42
GUIDESTREAM FINANCIAL, INC. — notice-filed in WI. IAPD ↗
42
CERITY PARTNERS OCIO LLC — notice-filed in NY. IAPD ↗
42
BANKPLUS WEALTH ADVISORS — notice-filed in FL. IAPD ↗
42
DELPHINUS FINANCIAL ADVISORS, LLC — notice-filed in NH. IAPD ↗
42
FRANGO FINANCIAL — notice-filed in SC. IAPD ↗
42
KIKER WEALTH MANAGEMENT, LLC — notice-filed in CA. IAPD ↗
42
STONEBRIDGE FINANCIAL PLANNING GROUP, LLC — notice-filed in NC. IAPD ↗
42
AGATE PASS INVESTMENT, LLC — notice-filed in CA. IAPD ↗
42
GOLDEN BAY ADVISORS LLC — notice-filed in FL. IAPD ↗
42
CONCEPTUAL FINANCIAL ADVISORS, LLC — notice-filed in FL. IAPD ↗
42
HANSEN & ASSOCIATES FINANCIAL GROUP INC. — notice-filed in CO. IAPD ↗
42
GRUPP FINANCIAL LLC — notice-filed in NV. IAPD ↗
42
WEALTH TEAMS ALLIANCE — notice-filed in MN. IAPD ↗
42
SIMS INVESTMENT MANAGEMENT LLC — notice-filed in PA. IAPD ↗
42
HAHN FINANCIAL GROUP — notice-filed in AK. IAPD ↗
42
ROCKET DOLLAR ADVISOR, INC. — notice-filed in NV. IAPD ↗
42
F5 FINANCIAL PLANNING, L.L.C. — notice-filed in SC. IAPD ↗
42
TACTIVEST, LLC — notice-filed in WA. IAPD ↗
42
ECON WEALTH MANAGEMENT — notice-filed in FL. IAPD ↗
42
PARROTT WEALTH MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
42
PROTA FINANCIAL — notice-filed in WA. IAPD ↗
42
ROLEK RETIREMENT PLANNING — notice-filed in TX. IAPD ↗
42
SHOREPATH CAPITAL MANAGEMENT LLC — notice-filed in UT. IAPD ↗
42
CASTLE ISLAND WEALTH — notice-filed in TX. IAPD ↗
42
SIEBERT ADVISORNXT, LLC. — notice-filed in OR. IAPD ↗
42
GO WEALTH MANAGEMENT — notice-filed in AZ. IAPD ↗
42
VILLAGE WEALTH ADVISORS — notice-filed in NJ. IAPD ↗
42
LYTLE INVESTMENTS — notice-filed in NC. IAPD ↗
42
LPF ADVISORS, LLC — notice-filed in MA. IAPD ↗
42
SUCCESS WEALTH MANAGEMENT LLC — notice-filed in LA. IAPD ↗
42
GOLDEN WEALTH MANAGEMENT — notice-filed in NJ. IAPD ↗
42
ZENITH WEALTH PARTNERS — notice-filed in NC. IAPD ↗
42
FIRST GROWTH CAPITAL LLC — notice-filed in PA. IAPD ↗
42
GREAT POINT ADVISORS, LLC — notice-filed in PA. IAPD ↗
42
CARDEA CAPITAL ADVISORS, LLC — notice-filed in AZ. IAPD ↗
42
PARKVIEW ASSET MANAGEMENT, INC. — notice-filed in FL. IAPD ↗
42
ADVISOR SHARE WEALTH MANAGEMENT — notice-filed in GA. IAPD ↗
42
PTM WEALTH MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
42
HF ADVISORY GROUP, LLC — notice-filed in NM. IAPD ↗
42
VISTA FINANCE, LLC — notice-filed in CO. IAPD ↗
42
JOURNEY RETIREMENT PLANNING AND INVESTMENT MANAGEMENT, LLC — notice-filed in MT. IAPD ↗
42
PIN WEALTH — notice-filed in FL. IAPD ↗
42
SK ADVISOR NETWORK, LLC — notice-filed in WA. IAPD ↗
42
SGROI WEALTH — notice-filed in NH. IAPD ↗
42
COBBLESTONE ASSET MANAGEMENT — notice-filed in CA. IAPD ↗
42
CROSSOVER CAPITAL — notice-filed in TX. IAPD ↗
42
BBVA GLOBAL WEALTH ADVISORS, INC. — notice-filed in TX. IAPD ↗
42
44 NORTH CAPITAL, LLC — notice-filed in MA. IAPD ↗
42
RASP WEALTH SOLUTIONS, LLC — notice-filed in CO. IAPD ↗
42
EDLY ADVISORS — notice-filed in MT. IAPD ↗
42
POMONA WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
42
BROADSTREET FAMILY OFFICE LLC — notice-filed in SC. IAPD ↗
42
IMPACT CAPITAL PARTNERS LLC — notice-filed in TN. IAPD ↗
42
ADVANTAGE RETIREMENT GROUP — notice-filed in NH. IAPD ↗
42
SALUS FINANCIAL ADVISORS — notice-filed in AZ. IAPD ↗
40
INTENTIONAL WEALTH STRATEGIES — filed an Item 4A succession naming INTENTIONAL WEALTH STRATEGIES (CRD 327743) — an entity change, not a deal. IAPD ↗
85
OPTIMIZED INVESTMENT PARTNERS, LLC — (location n/a) is newly SEC-registered with $140.0M RAUM and 2 advisory reps. IAPD ↗institutional
85
SPHINX INVESTMENTS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
HARVEST GROWTH CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
ACRE CAPITAL ADVISORS, LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
5CLP ADVISOR — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
BAR POINT MANAGEMENT LIMITED PARTNERSHIP — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
CHURCHILL PCIF ADVISOR LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 66 advisory reps. IAPD ↗institutional
85
EMBLEM GROUP, L.P. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
DURATION CAPITAL PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
SHIKHARA INVESTMENT MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
MIDBRIDGE ADVISORS LP — (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps. IAPD ↗institutional
85
85
PACIFIC COAST FIDUCIARY LLC — (SHERMAN OAKS, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
INDAGO CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
POLEN CAPITAL CLO MANAGEMENT, LLC — (WALTHAM, MA) is newly SEC-registered with $0 RAUM and 24 advisory reps. IAPD ↗institutional
85
5C ADVISOR — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
TREMBLANT CAPITAL GROUP — (WEST PALM BEACH, FL) is newly SEC-registered with $0 RAUM and 9 advisory reps. IAPD ↗institutional
85
TALLVINE PARTNERS MANAGEMENT LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
PARADOXIOM CAPITAL — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
ORG PARTNERS ASSET MANAGEMENT — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
83
ADAR1 CAPITAL MANAGEMENT, LLC — (AUSTIN, TX) is newly SEC-registered with $507.8M RAUM and 6 advisory reps. IAPD ↗fund
83
ELEQUIN CAPITAL, LP — (NEW YORK, NY) is newly SEC-registered with $353.4M RAUM and 10 advisory reps. IAPD ↗fund
83
ALTERNATIVE CAPITAL FUND MANAGEMENT LLC — (location n/a) is newly SEC-registered with $393.7M RAUM and 7 advisory reps. IAPD ↗fund
83
CAYMUS EQUITY PARTNERS, LLC — (ATLANTA, GA) is newly SEC-registered with $308.5M RAUM and 5 advisory reps. IAPD ↗fund
83
SETPOINT MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $299.9M RAUM and 5 advisory reps. IAPD ↗fund
80
COPPERPLATE CAPITAL LLC — (MENLO PARK, CA) is newly SEC-registered with $158.0M RAUM and 2 advisory reps. IAPD ↗fund
80
CAPITAL UNITED, LLC — (HILLSBORO, OR) is newly SEC-registered with $159.3M RAUM and 0 advisory reps. IAPD ↗fund
80
CASTLEARK ALTERNATIVES, LLC — (CHICAGO, IL) is newly SEC-registered with $9.2M RAUM and 5 advisory reps. IAPD ↗fund
80
REB CAPITAL MANAGEMENT, LLC — (DALLAS, TX) is newly SEC-registered with $174.5M RAUM and 2 advisory reps. IAPD ↗fund
80
FINDELL CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $191.0M RAUM and 2 advisory reps. IAPD ↗fund
80
MAC ALPHA CAPITAL MANAGEMENT, LP — (TAMPA, FL) is newly SEC-registered with $107.4M RAUM and 4 advisory reps. IAPD ↗fund
80
IVY LANE CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $161.0M RAUM and 1 advisory reps. IAPD ↗fund
80
SEMINAL FOOD AND NUTRITION INVESTMENTS, LLC — (WAYNE, PA) is newly SEC-registered with $167.5M RAUM and 3 advisory reps. IAPD ↗fund
80
1 ROUNDTABLE PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered with $28.5M RAUM and 10 advisory reps. IAPD ↗fund
80
ARCHITECT EQUITY — (EL SEGUNDO, CA) is newly SEC-registered with $102.2M RAUM and 17 advisory reps. IAPD ↗fund
80
SLW MANAGEMENT COMPANY — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
80
BEAR CREEK FUND ADVISORS LLC — (DENVER, CO) is newly SEC-registered with $0 RAUM and 8 advisory reps. IAPD ↗fund
80
CAPZONE MANAGEMENT LLC — (NORWALK, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗fund
80
AGELLUS CAPITAL, LLC — (CLAYTON, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗fund
80
AVENTINE CAPITAL MANAGEMENT LLC — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗fund
70
70
70
70
66
65
FLAMEBACK CAPITAL USA, INC — (BENGALURU, KARNATAKA, India) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
BENNBRIDGE LTD — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗foreign
64
63
60
CONSTELLATION INVESTMENTS, INC. — now reports custody of client assets ($6.54B). IAPD ↗institutional
60
60
60
60
60
60
RIVER1 ASSET MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
60
60
58
58
58
58
55
55
55
55
55
55
55
55
55
55
55
53
50
45
BLACKROCK FUND ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (37 -> 38). IAPD ↗institutional
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 1 (100 -> 101). IAPD ↗institutional
41
40
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 1 (660 -> 661). IAPD ↗institutional
40
BLACKROCK REALTY ADVISORS INC — 's Item 11 disclosure-reporting entries rose by 1 (36 -> 37). IAPD ↗fund
40
TENNENBAUM CAPITAL PARTNERS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (41 -> 42). IAPD ↗fund
40
40
BALYASNY ASSET MANAGEMENT L.P. — 's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗fund
40
BLACKROCK ALTERNATIVES MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (38 -> 39). IAPD ↗fund
40
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (41 -> 42). IAPD ↗fund
40
BERNSTEIN INSTITUTIONAL SERVICES LLC — 's Item 11 disclosure-reporting entries rose by 39 (4 -> 43). IAPD ↗institutional
39
38
GOANNA CAPITAL MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗fund
38
PINEGROVE CAPITAL PARTNERS LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗fund
37
35
35
34
32
32
32
32
30
FAIRVIEW CAPITAL PARTNERS, INC. — filed an Item 4A succession naming FAIRVIEW CAPITAL PARTNERS, INC. (CRD 161258) — an entity change, not a deal. IAPD ↗fund
30
30
28
THE MAGNOLIA GROUP, LLC — filed an Item 4A succession naming THE MAGNOLIA GROUP, LLC (CRD 171102) — an entity change, not a deal. IAPD ↗fund
27
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 1 (100 -> 101). IAPD ↗foreign
25
HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (12 -> 13). IAPD ↗foreign
25
BLACKROCK INTERNATIONAL LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (38 -> 39). IAPD ↗foreign
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (99 -> 100). IAPD ↗foreign
25
25
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED — 's Item 11 disclosure-reporting entries rose by 4 (3 -> 7). IAPD ↗foreign
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (101 -> 102). IAPD ↗foreign
25
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG — 's Item 11 disclosure-reporting entries rose by 1 (38 -> 39). IAPD ↗foreign
25
BLACKROCK (SINGAPORE) LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (39 -> 40). IAPD ↗foreign
25
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (38 -> 39). IAPD ↗foreign
25
STRATOS TECHNOLOGIES CAPITAL MANAGEMENT LLC — filed an Item 4A succession naming STRATOS TECHNOLOGIES CAPITAL MANAGEMENT LLC (CRD 311846) — an entity change, not a deal. IAPD ↗fund
23
BMO NESBITT BURNS SECURITIES LTD. — 's Item 11 disclosure-reporting entries rose by 2 (10 -> 12). IAPD ↗foreign
14
14
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.