← Tributary

Compliance — June 2024

Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).

480 firms opened this window in the June 2024 SEC roster: 229 state expansion, 139 new registration, 37 disclosure added, 24 pending approved, 22 custody started, 19 headcount up, 6 private funds started, 3 aum crossed 1b, 1 wrap program started.

Months: October 2026 · September 2026 · August 2026 · July 2026 · June 2026 · May 2026 · April 2026 · March 2026 · February 2026 · January 2026 · December 2025 · August 2025 · July 2025 · June 2025 · May 2025 · April 2025 · March 2025 · February 2025 · January 2025 · December 2024 · November 2024 · October 2024 · September 2024 · August 2024 · July 2024 · June 2024 · May 2024 · April 2024 · March 2024 · February 2024

100
TIDE CYCLE RESOURCES LLC — (PORTSMOUTH, NH) is newly SEC-registered with $1.40B RAUM and 1 advisory reps. IAPD ↗
$1.40B RAUM · 1 reps · 207-752-3154
95
LONG ISLAND FINANCIAL GROUP, INC — (location n/a) is newly SEC-registered with $36.5M RAUM and 1 advisory reps. IAPD ↗
$36.5M RAUM · 1 reps · 516-741-1966
95
NEWPORT INVESTMENT ADVISORS INC — (BEACHWOOD, OH) is newly SEC-registered with $114.8M RAUM and 2 advisory reps. IAPD ↗
$114.8M RAUM · 2 reps · 216-514-5151 · 1800newport.com
95
ADVANTAGE INVESTING, INC. — (CHESAPEAKE, VA) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
$102.2M RAUM · 2 reps · 757-547-8257 · advantageinvesting.com
95
ARNOLD CASTELLANO AND ASSOCIATES, LLC — (SHREVEPORT, LA) is newly SEC-registered with $113.7M RAUM and 3 advisory reps. IAPD ↗
$113.7M RAUM · 3 reps · 318-683-1040 · todaycpa.com
95
APPALACHIAN CAPITAL MANAGEMENT — (ST. CLAIRSVILLE, OH) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
$132.4M RAUM · 1 reps · 740-695-3434 · appcapitalmgt.com
95
CHALLENGER WEALTH MANAGEMENT — (ALISO VIEJO, CA) is newly SEC-registered with $177.3M RAUM and 1 advisory reps. IAPD ↗
$177.3M RAUM · 1 reps · (949) 754-0464
95
BLUE WATER CAPITAL MANAGEMENT, LLC — (APEX, NC) is newly SEC-registered with $128.0M RAUM and 3 advisory reps. IAPD ↗
$128.0M RAUM · 3 reps · 919-589-2528 · bluewaterportfolios.com
95
MCCARTHY WEALTH & TAX ADVISORS — (SPRINGBORO, OH) is newly SEC-registered with $133.2M RAUM and 3 advisory reps. IAPD ↗
$133.2M RAUM · 3 reps · 937-748-4765 · mccarthywealth.com
95
FR FINANCIAL ADVISORS LLC — (CORAL SPRINGS, FL) is newly SEC-registered with $109.5M RAUM and 2 advisory reps. IAPD ↗
$109.5M RAUM · 2 reps · 954-755-0222 · fradv.com
95
SNOWBALL WEALTH MANAGEMENT — (BOULDER, CO) is newly SEC-registered with $123.5M RAUM and 3 advisory reps. IAPD ↗
$123.5M RAUM · 3 reps · 303-666-6292 · snowballwm.com
95
PERIOPE, LC — (ST. GEORGE, UT) is newly SEC-registered with $124.9M RAUM and 2 advisory reps. IAPD ↗
$124.9M RAUM · 2 reps · 435-634-9008 · periope.com
95
CYPRESS ASSET MANAGEMENT, INC. — (location n/a) is newly SEC-registered with $134.7M RAUM and 2 advisory reps. IAPD ↗
$134.7M RAUM · 2 reps · 309-679-9146 · betterwaywealth.com
95
BLOCK WEALTH MANAGEMENT, INC — (location n/a) is newly SEC-registered with $127.5M RAUM and 1 advisory reps. IAPD ↗
$127.5M RAUM · 1 reps · (760) 796-5550
95
HAVEN CAPITAL GROUP — (WESTLAKE VILLAGE, CA) is newly SEC-registered with $118.9M RAUM and 1 advisory reps. IAPD ↗
$118.9M RAUM · 1 reps · 805-963-9050 · havencapitalgroup.com
95
TNT ASSET MANAGEMENT, LLC — (ROUND ROCK, TX) is newly SEC-registered with $122.3M RAUM and 4 advisory reps. IAPD ↗
$122.3M RAUM · 4 reps · 512 255-1600 · tntfinancial.com
95
HALL CAPITAL, LLC — (PASADENA, CA) is newly SEC-registered with $107.3M RAUM and 1 advisory reps. IAPD ↗
$107.3M RAUM · 1 reps · 626-578-5700 · hallcapitalmanagement.com
95
HINCHLEY ADVISORY GROUP, LLC — (CENTENNIAL, CO) is newly SEC-registered with $124.7M RAUM and 1 advisory reps. IAPD ↗
$124.7M RAUM · 1 reps · 303-284-8081 · hinchleyandco.com
95
PALLER FINANCIAL SERVICES, INC. — (CENTENNIAL, CO) is newly SEC-registered with $126.0M RAUM and 2 advisory reps. IAPD ↗
$126.0M RAUM · 2 reps · 303-858-0045 · pallerfinancial.com
95
INVESTORS MOSAIC — (location n/a) is newly SEC-registered with $119.5M RAUM and 2 advisory reps. IAPD ↗
$119.5M RAUM · 2 reps · (617) 272-0006 · investorsmosaic.com
95
FULCRUM WEALTH ADVISORS, LLC — (BELLEVUE, WA) is newly SEC-registered with $105.7M RAUM and 3 advisory reps. IAPD ↗
$105.7M RAUM · 3 reps · 425-250-6280
95
HIPPOCRATIC FINANCIAL ADVISORS — (WESTLAKE VILLAGE, CA) is newly SEC-registered with $123.0M RAUM and 4 advisory reps. IAPD ↗
$123.0M RAUM · 4 reps · 866-447-2380 · hippocraticfa.com
95
CHUNG WU INVESTMENT GROUP, LLC — (SUGAR LAND, TX) is newly SEC-registered with $110.4M RAUM and 2 advisory reps. IAPD ↗
$110.4M RAUM · 2 reps · (281) 203-0069 · cw-investmentgroup.com
95
HORSE COVE PARTNERS LLC — (ATLANTA, GA) is newly SEC-registered with $102.0M RAUM and 4 advisory reps. IAPD ↗
$102.0M RAUM · 4 reps · 678-905-5723
95
FUTURE PERFECT PLANNING, LLC — (location n/a) is newly SEC-registered with $25.2M RAUM and 1 advisory reps. IAPD ↗
$25.2M RAUM · 1 reps · 646-543-8065 · futureperfect.nyc
95
DOLAN CAPITAL ADVISORS, INC. — (CHARLOTTE, NC) is newly SEC-registered with $127.2M RAUM and 2 advisory reps. IAPD ↗
$127.2M RAUM · 2 reps · (704) 887-4969
95
TFG FINANCIAL ADVISORS, LLC — (NORTH PALM BEACH, FL) is newly SEC-registered with $111.9M RAUM and 4 advisory reps. IAPD ↗
$111.9M RAUM · 4 reps · (561) 209-1120 · tfgfa.com
95
TAURUM RETIREMENT PARTNERS, LLC — (MESA, AZ) is newly SEC-registered with $113.8M RAUM and 2 advisory reps. IAPD ↗
$113.8M RAUM · 2 reps · 480-626-2501
95
MEDICUS WEALTH PLANNING, INC. — (DRAPER, UT) is newly SEC-registered with $100.9M RAUM and 4 advisory reps. IAPD ↗
$100.9M RAUM · 4 reps · 801-994-4777
95
RIDGELINE WEALTH ADVISORS, LLC. — (RALEIGH, NC) is newly SEC-registered with $117.7M RAUM and 3 advisory reps. IAPD ↗
$117.7M RAUM · 3 reps · 919-782-0494 · ridgelinewealthadvisors.com
95
BUCKET LIST WEALTH MANAGEMENT, LLC — (THE VILLAGES, FL) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
$104.5M RAUM · 3 reps · 352-307-8652 · bucketlistwealth.com
95
KAIZEN RETIREMENT PLAN ADVISORS, LLC — (location n/a) is newly SEC-registered with $130.9M RAUM and 1 advisory reps. IAPD ↗
$130.9M RAUM · 1 reps · 508-850-6401 · kaizenrpa.com
95
BALLINA CAPITAL, LLC — (location n/a) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
$111.9M RAUM · 1 reps · 424-835-2744 · ballinacapital.us
95
CALDER FINANCIAL LLC — (location n/a) is newly SEC-registered with $109.8M RAUM and 1 advisory reps. IAPD ↗
$109.8M RAUM · 1 reps · 610-458-8373 · calderfinancial.net
95
SCHOLAR FINANCIAL ADVISING, LLC — (location n/a) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · (336) 360-6833 · scholarfinancialadvising.com
95
INDEPENDENCE WEALTH ADVISORS, LLC — (INDEPENDENCE, OH) is newly SEC-registered with $127.9M RAUM and 5 advisory reps. IAPD ↗
$127.9M RAUM · 5 reps · 216-268-3888 · iwadirect.com
95
THE WEALTHPLAN LLC — (GREAT NECK, NY) is newly SEC-registered with $62.8M RAUM and 1 advisory reps. IAPD ↗
$62.8M RAUM · 1 reps · 516-400-7111
95
OAK CREEK PRIVATE WEALTH MANAGEMENT LLC — (TULSA, OK) is newly SEC-registered with $2.9M RAUM and 1 advisory reps. IAPD ↗
$2.9M RAUM · 1 reps · 704-904-5721 · oakcreekwealth.com
95
SAGACE WEALTH MANAGEMENT — (ST. PETERSBURG, FL) is newly SEC-registered with $100.4M RAUM and 6 advisory reps. IAPD ↗
$100.4M RAUM · 6 reps · (727) 493-9700
95
UNITY WEALTH PARTNERS — (ORANGE, CA) is newly SEC-registered with $7.8M RAUM and 3 advisory reps. IAPD ↗
$7.8M RAUM · 3 reps · (949) 688-0928 · unitywealthpartners.com
95
WINNOW WEALTH, LLC — (WACO, TX) is newly SEC-registered with $101.0M RAUM and 3 advisory reps. IAPD ↗
$101.0M RAUM · 3 reps · 254-776-8400 · winnowwealth.com
95
PEAK RETIREMENT PLANNING, INC. — (COLUMBUS, OH) is newly SEC-registered with $106.0M RAUM and 6 advisory reps. IAPD ↗
$106.0M RAUM · 6 reps · (614) 500-4121 · peakretirementplanning.com
95
SECOND SUMMIT WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · (415)-275-2442
95
ATHENA WEALTH MANAGEMENT, LLC — (INCLINE VILLAGE, NV) is newly SEC-registered with $107.7M RAUM and 1 advisory reps. IAPD ↗
$107.7M RAUM · 1 reps · (408) 684-3705 · athenawm.com
95
BIG SKY WEALTH ADVISORS, LLC — (GREAT FALLS, MT) is newly SEC-registered with $107.8M RAUM and 1 advisory reps. IAPD ↗
$107.8M RAUM · 1 reps · 406-315-2627 · bigskywealthadvisors.com
95
OUTWING PRIVATE WEALTH MANAGEMENT — (SANTA BARBARA, CA) is newly SEC-registered with $163.3M RAUM and 1 advisory reps. IAPD ↗
$163.3M RAUM · 1 reps · (805) 880-9464 · outwingwealth.com
95
PATHWAY PARTNERS WEALTH ADVISORS, LLC — (AMHERST, NY) is newly SEC-registered with $34.3M RAUM and 5 advisory reps. IAPD ↗
$34.3M RAUM · 5 reps · 716-929-6010 · pathwaypartnerswa.com
95
WEALTH MORE ENTERPRISE, INC. — (PHILADELPHIA, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 888-303-6361 · getwealthmore.com
95
TRIBRIDGE PARTNERS FINANCIAL LLC — (COLUMBIA, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 240-422-8799
95
CAPITAL IP INVESTMENT PARTNERS LP — (location n/a) is newly SEC-registered with $194.3M RAUM and 4 advisory reps. IAPD ↗
$194.3M RAUM · 4 reps · 1-646-287-8753 · capitalip.com
95
TRUVIUS — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 617-518-5423
95
CAVALCADE CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 212-287-7727 · cavalcade.capital
95
503 CAPITAL PARTNERS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 913-276-7433
95
MOKAN WEALTH MANAGEMENT — (OVERLAND PARK, KS) is newly SEC-registered with $110.4M RAUM and 1 advisory reps. IAPD ↗
$110.4M RAUM · 1 reps · 913-257-3991 · mokanwealth.com
95
ELYXIUM WEALTH LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 415-264-0468 · elyfo.com
95
DLK INSTITUTIONAL PARTNERS — (MERCER ISLAND, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 206.203.0010
95
VERIDAN WEALTH — (WEST LINN, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 503-946-9733 · veridanwealth.com
95
AXIUS ADVISORS LLC — (SAINT CHARLES, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 636-493-9600
95
PARR MCKNIGHT WEALTH MANAGEMENT GROUP — (MINNEAPOLIS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 612-324-0235 · parrmcknightwmg.com
95
WHALE — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 3122484797 · getwhale.co
95
BRISTOL WEALTH GROUP — (TAUNTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 508-738-6248 · bristolcountysavings.com
95
ZEGA INVESTMENTS — (PALM BEACH GARDENS, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · 800.380.9342
95
UPSTREAM LIFE WEALTH MANAGEMENT LLC — (OXFORD, MS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 6628011029
95
IMPACT RETIREMENT ADVISORS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 507-581-6131
95
BINGHAM PRIVATE WEALTH, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 415-426-5652 · binghamprivate.com
95
HS WEALTH PARTNERS — (ALBUQUERQUE, NM) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 505-717-1680 · hswealthpartners.com
95
FULFILLED — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 1-416-303-4942 · fulfilledwealth.co
95
BASSAM WEALTH MANAGEMENT, LLC — (PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (561) 231-5642 · bassamwealthmanagement.com
95
CRUX WEALTH ADVISORS — (LONG BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 16 advisory reps. IAPD ↗
$0 RAUM · 16 reps · 562.735.3875
95
KETRON FINANCIAL LLC — (NOVATO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 415-892-0928 · ketronfinancial.com
95
INTEGRITY WEALTH LLC — (EUGENE, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (541) 650-6061 · integritywealthnw.com
95
EPOGEE CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 9788867388
95
LONGVIEW FINANCIAL PARTNERS — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 2039131621
95
CARRERA CAPITAL ADVISORS — (TROY, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 248-362-5009
95
PACIFIC FINANCIAL ADVISORY SERVICES — (DANVILLE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 925-838-7567
95
GULFSTREAM ASSET MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 786-512-1989
95
BONA FIDE WEALTH — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 512-636-5747 · bonafide-wealth.com
95
FORMULATE FINANCIAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 5612690330
95
TOPSAIL WEALTH MANAGEMENT LLC — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 980-308-9901 · topsailwealthmanagement.com
95
ALTERI WEALTH — (WESTLAKE VILLAGE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 805-809-0400 · alteriwealth.com
95
THE KIECKHEFER GROUP — (MEQUON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 4147043826
95
GUILBAULT CAPITAL — (METAIRIE, LA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 504-849-6677
95
BLUE BEAR FINANCIAL, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (407) 625-7598
95
ZERO DAY CAPITAL ENTERPRISES LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (617) 800-0388
95
LAFISE GLOBAL ADVISORS LLC — (MIAMI, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 305-374-6001
95
OSPREY PRIVATE WEALTH LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 646-445-5107
95
SWP INVESTMENT MANAGEMENT LLC — (INDEPENDENCE, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 216-800-9000
95
LFG WEALTH PARTNERS, LLC — (ELIZABETHTOWN, KY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 877-573-2043
95
WIMER INVESTMENT MANAGEMENT — (SCOTCH PLAINS, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 7327639237
95
PANORAMIC CAPITAL PARTNERS LLC — (LAKE OSWEGO, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 503-937-7420 · panoramiccp.com
95
FOUNDERS GROVE WEALTH PARTNERS, LLC — (RICHMOND, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (804) 910-0001
95
OUTRUNNER CAPITAL, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 512-917-5389
95
ONE WEALTH CAPITAL MANAGEMENT, LLC — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 855-663-9584 · onewealthmgmt.com
85
L & S ADVISORS, INC — crossed $1B in regulatory AUM ($830.5M -> $1.01B). IAPD ↗
$1.01B RAUM · 15 reps · 310-893-6060 · lsadvisor.com
85
UBS ASSET MANAGEMENT (AMERICAS) LLC — grew from 216 to 411 advisory reps. IAPD ↗
$477.86B RAUM · 411 reps · 212-821-3000 · ubs.com
85
BLACKROCK INVESTMENT MANAGEMENT, LLC — grew from 0 to 536 advisory reps. IAPD ↗
$458.19B RAUM · 536 reps · 609 282 2000 · douyin.com
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC — grew from 74 to 99 advisory reps. IAPD ↗
$11.29B RAUM · 99 reps · 312-334-7300 · kovitz.com
75
SEGALL BRYANT & HAMILL — grew from 46 to 51 advisory reps. IAPD ↗
$17.21B RAUM · 51 reps · 1-800-836-4265
75
FORZA INVESTMENT GROUP, LP — 's provisional registration is now fully approved. IAPD ↗
$1.36B RAUM · 6 reps · 973-315-5394
74
STONEBRIDGE FINANCIAL GROUP, LLC — grew from 13 to 17 advisory reps. IAPD ↗
$1.58B RAUM · 17 reps · 717-736-7007
73
STEADMONT ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
$308.1M RAUM · 4 reps · (205) 721-7005 · steadmontadvisors.com
73
HAVEN PRIVATE — 's provisional registration is now fully approved. IAPD ↗
$319.7M RAUM · 4 reps · 321-329-8674 · havenprivate.com
73
POTENTIA WEALTH — 's provisional registration is now fully approved. IAPD ↗
$309.9M RAUM · 6 reps · 408-288-7886
73
TIEMPO CAPITAL PARTNERS — 's provisional registration is now fully approved. IAPD ↗
$264.5M RAUM · 2 reps · 954-849-3099
73
PROMETHIUM — 's provisional registration is now fully approved. IAPD ↗
$281.9M RAUM · 2 reps · 202-978-2519 · promethiumadvisors.com
73
SPENCE ASSET MANAGEMENT — now reports 1 private fund(s) ($2.1M gross). IAPD ↗
$623.3M RAUM · 7 reps · 575-556-8500 · ww-capital.com
73
FLOWER CITY CAPITAL LLC — now reports 1 private fund(s) ($4.6M gross). IAPD ↗
$270.8M RAUM · 2 reps · 585-236-8501
73
EQ WEALTH MANAGEMENT — now reports 1 private fund(s) ($24.3M gross). IAPD ↗
$593.7M RAUM · 6 reps · 425-434-1000
70
UBS ASSET MANAGEMENT (AMERICAS) LLC — now reports custody of client assets ($219.47B). IAPD ↗
$477.86B RAUM · 411 reps · 212-821-3000 · ubs.com
70
PETERSON WEALTH SERVICES INC. — grew from 3 to 5 advisory reps. IAPD ↗
$394.0M RAUM · 5 reps · 801-475-4002
70
TC43 LLC — grew from 1 to 6 advisory reps. IAPD ↗
$66.7M RAUM · 6 reps · 917-363-7217
70
ALTITUDE CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 3 reps · 515-207-3310 · altitudecm.com
70
TC43 LLC — 's provisional registration is now fully approved. IAPD ↗
$66.7M RAUM · 6 reps · 917-363-7217
70
WELCH FINANCIAL PLANNING, LLC — 's provisional registration is now fully approved. IAPD ↗
$123.9M RAUM · 2 reps · 303-939-8766
70
BLUE SKY CAPITAL CONSULTANTS GROUP, INC. — 's provisional registration is now fully approved. IAPD ↗
$193.4M RAUM · 3 reps · 858-513-8445
70
FRIDAY FINANCIAL — 's provisional registration is now fully approved. IAPD ↗
$129.1M RAUM · 4 reps · (563) 552-7526
70
HOLOS INTEGRATED WEALTH — 's provisional registration is now fully approved. IAPD ↗
$167.0M RAUM · 2 reps · 484-893-4599
70
MINDSET WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
$205.7M RAUM · 4 reps · 317-348-4655 · mindsetwealthmanagement.com
70
TC43 LLC — now reports 1 private fund(s) ($10.8M gross). IAPD ↗
$66.7M RAUM · 6 reps · 917-363-7217
68
CLARITY CAPITAL PARTNERS — now reports custody of client assets ($254.6M). IAPD ↗
$371.4M RAUM · 11 reps · 800-805-7526 · claritycapitalllc.com
68
CANDACE SHIRA ASSOCIATES, LLC — now reports custody of client assets ($86.5M). IAPD ↗
$367.4M RAUM · 3 reps · 585-249-1550 · candaceshira.com
68
CURRAN FINANCIAL PARTNERS, LLC — now reports custody of client assets ($189.2M). IAPD ↗
$472.7M RAUM · 10 reps · (843) 300-1182
68
FIORI FINANCIAL GROUP — now reports custody of client assets. IAPD ↗
$385.3M RAUM · 5 reps · 954-763-2600
68
SUPREME ALLIANCE LLC — grew from 10 to 13 advisory reps. IAPD ↗
$11.1M RAUM · 13 reps · 561-460-2870 · supremealliancellc.com
68
BOSUN ASSET MANAGEMENT, LLC — grew from 5 to 8 advisory reps. IAPD ↗
$247.6M RAUM · 8 reps · 707-402-9922 · bosunam.com
68
BULMAN WEALTH GROUP — grew from 2 to 5 advisory reps. IAPD ↗
$148.2M RAUM · 5 reps · 916-458-8199 · bulmanwealth.com
67
THE PROSPERITY PEOPLE — grew from 1 to 3 advisory reps. IAPD ↗
$127.1M RAUM · 3 reps · 859-331-7755 · theprosperitypeople.com
67
TRU INDEPENDENCE ASSET MANAGEMENT 2 — grew from 2 to 4 advisory reps. IAPD ↗
$117.2M RAUM · 4 reps · 971-371-3444 · relywealth.us
67
SEVENTWO, LLC — grew from 3 to 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · (617) 800-0388
67
GATEPASS CAPITAL, LLC — grew from 1 to 3 advisory reps. IAPD ↗
$103.2M RAUM · 3 reps · 833-428-3727 · gatepass.capital
65
TYNER CAPITAL MANAGEMENT INVESTMENT COUNSEL, INC. — now reports custody of client assets ($57.9M). IAPD ↗
$210.2M RAUM · 1 reps · 423-886-2625
65
WEALTH ANALYTICS PARTNERS, LLC — now reports custody of client assets ($126.3M). IAPD ↗
$237.7M RAUM · 5 reps · 858-794-2100
65
PROFICIENT WEALTH COUNSELORS, LLC — now reports custody of client assets ($2.3M). IAPD ↗
$106.2M RAUM · 1 reps · 781-278-9488 · proficientwealth.com
65
BEERS KIGHT FINANCIAL ADVISORS, LLC — now reports custody of client assets ($26.0M). IAPD ↗
$172.3M RAUM · 2 reps · 803-787-0003
65
PUSHKIN ADVISORY GROUP, LLC — now reports custody of client assets ($32.3M). IAPD ↗
$36.7M RAUM · 1 reps · 315-269-2828
65
TRADEWAY — now reports custody of client assets ($68.4M). IAPD ↗
$68.4M RAUM · 17 reps · 877-777-0703 · tradeway.com
65
CATALYST WEALTH MANAGEMENT — now reports custody of client assets ($71.7M). IAPD ↗
$71.7M RAUM · 1 reps · 773-774-2600 · catalystwealthmgmt.com
65
CENTRAL WEALTH MANAGEMENT LLC — now reports custody of client assets ($45.3M). IAPD ↗
$101.3M RAUM · 1 reps · 608-841-1555 · centralwealthmanagement.com
65
FUNDIFY ADVISORS LLC — now reports custody of client assets. IAPD ↗
$0 RAUM · 3 reps · 512-645-1010 · fundify.com
65
BURR FINANCIAL SERVICES, LLC — now reports custody of client assets ($55.9M). IAPD ↗
$118.5M RAUM · 3 reps · 925-676-6007
65
EMBARCADERO CAPITAL ADVISORS — now reports custody of client assets ($7.0M). IAPD ↗
$40.0M RAUM · 2 reps · 949-371-9796 · embarcaderocapitaladvisors.com
65
SOLOMON CAPITAL PARTNERS LLC — now reports custody of client assets. IAPD ↗
$0 RAUM · 1 reps · 248-875-5700
65
BLACK POINT WEALTH MANAGEMENT — now reports custody of client assets ($41.0M). IAPD ↗
$187.5M RAUM · 2 reps · 239-306-6300
65
TC43 LLC — now reports custody of client assets ($21.5M). IAPD ↗
$66.7M RAUM · 6 reps · 917-363-7217
65
GATEPASS CAPITAL, LLC — now reports custody of client assets ($44.5M). IAPD ↗
$103.2M RAUM · 3 reps · 833-428-3727 · gatepass.capital
65
FRIDAY FINANCIAL — now reports custody of client assets ($44.0M). IAPD ↗
$129.1M RAUM · 4 reps · (563) 552-7526
55
OPPENHEIMER & CO. INC. — 's Item 11 disclosure-reporting entries rose by 1 (102 -> 103). IAPD ↗
$27.45B RAUM · 1126 reps · 212-668-8000 · oppenheimer.com
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 2 (102 -> 104). IAPD ↗
$692.25B RAUM · 21219 reps · 314-515-2000 · vimeo.com
55
GOLDMAN SACHS & CO. LLC — 's Item 11 disclosure-reporting entries rose by 1 (757 -> 758). IAPD ↗
$222.74B RAUM · 2406 reps · 212-902-1000
55
HILLTOP SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 1 (90 -> 91). IAPD ↗
$1.87B RAUM · 113 reps · 214-859-1800 · advisor.hilltopsecurities.com
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED — 's Item 11 disclosure-reporting entries rose by 3 (481 -> 484). IAPD ↗
$1271.59B RAUM · 26251 reps · 800-637-7455
55
COMMONWEALTH FINANCIAL NETWORK — 's Item 11 disclosure-reporting entries rose by 1 (12 -> 13). IAPD ↗
$177.03B RAUM · 3000 reps · 781-736-0700
55
STIFEL INDEPENDENT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗
$3.56B RAUM · 127 reps · 314-342-4051 · clientfirst-financial.com
55
RBC CAPITAL MARKETS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (226 -> 228). IAPD ↗
$201.26B RAUM · 2042 reps · 212-858-7000 · us.rbcwealthmanagement.com
55
VALIC FINANCIAL ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (46 -> 48). IAPD ↗
$25.25B RAUM · 1289 reps · 866-544-4968 · corebridgefinancial.com
55
MANULIFE INVESTMENT MANAGEMENT (US) LLC — 's Item 11 disclosure-reporting entries rose by 1 (18 -> 19). IAPD ↗
$188.78B RAUM · 138 reps · 617-375-1500
55
VANGUARD ADVISERS, INC. — 's Item 11 disclosure-reporting entries rose by 1 (14 -> 15). IAPD ↗
$333.07B RAUM · 1558 reps · 610-669-1000
55
UBS ASSET MANAGEMENT (AMERICAS) LLC — 's Item 11 disclosure-reporting entries rose by 51 (62 -> 113). IAPD ↗
$477.86B RAUM · 411 reps · 212-821-3000 · ubs.com
55
EAGLE STRATEGIES LLC — 's Item 11 disclosure-reporting entries rose by 2 (55 -> 57). IAPD ↗
$20.36B RAUM · 1982 reps · (888) 695-3245
55
PNC INVESTMENTS — 's Item 11 disclosure-reporting entries rose by 10 (8 -> 18). IAPD ↗
$23.90B RAUM · 778 reps · 800-762-6111 · pnc.com
55
AE WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 3 (56 -> 59). IAPD ↗
$27.08B RAUM · 449 reps · 866-363-9595 · joinaewealth.com
55
FORT WASHINGTON INVESTMENT ADVISORS INC — notice-filed in AL, AR, IA, MN, MS, MT, NV, OK, OR, SC. IAPD ↗
$79.46B RAUM · 94 reps · 513-361-7600 · ohiocapitalfund.com
55
CARRICK LANE LLC — notice-filed in CO, CT, MA, MD, MO, NC, NV, OK, PA, SC, VA. IAPD ↗
$1.44B RAUM · 5 reps · 212-433-8450
53
PRESTIGE WEALTH MANAGEMENT GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$498.5M RAUM · 4 reps · 908-782-0001
53
CREAND MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$508.3M RAUM · 17 reps · 305-358-8844 · creditandorragroup.com
53
CREDICORP CAPITAL ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (3 -> 5). IAPD ↗
$694.6M RAUM · 7 reps · 305-455-0975 · credicorpcapitalinvest.com
53
BLACKSTON FINANCIAL ADVISORY GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$252.5M RAUM · 4 reps · 352-633-9046
53
SAVVY — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$401.3M RAUM · 10 reps · 833-745-6789
53
STRATEGIC WEALTH PARTNERS, LTD. — notice-filed in IA, MI, MS, NE. IAPD ↗
$1.08B RAUM · 22 reps · (216) 800-9000 · swpconnect.com
53
STRATEGIC WEALTH INVESTMENT GROUP, LLC — notice-filed in AK, AL, MT, NH, NJ. IAPD ↗
$900.8M RAUM · 27 reps · 502-412-3354 · atasteofretirement.com
53
KOVITZ INVESTMENT GROUP PARTNERS, LLC — notice-filed in AL, AR, OK, WY. IAPD ↗
$11.29B RAUM · 99 reps · 312-334-7300 · kovitz.com
53
HUMANKIND INVESTMENTS — notice-filed in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
$396.1M RAUM · 5 reps · 646-838-4352
53
THE NORDEN GROUP LLC — notice-filed in AL, AR, HI, IL, IN, MA, MO, NC, NM, PA, VA. IAPD ↗
$987.2M RAUM · 12 reps · 801-331-5511 · thenordengroup.com
53
STEADMONT ADVISORS, LLC — notice-filed in FL, GA, LA, NE, SC, TN, TX. IAPD ↗
$308.1M RAUM · 4 reps · (205) 721-7005 · steadmontadvisors.com
51
THE CAPROCK GROUP, LLC — notice-filed in MI, NY, SC. IAPD ↗
$6.92B RAUM · 30 reps · (208) 368-9600
51
COMPASS FINANCIAL GROUP, INC — notice-filed in GA, IL, OK, WI. IAPD ↗
$995.0M RAUM · 7 reps · 605-338-7150 · compassfin.net
51
AVEO CAPITAL PARTNERS, LLC — notice-filed in NJ, SC, TN. IAPD ↗
$1.51B RAUM · 22 reps · (303) 552-0945
51
TFO FAMILY OFFICE PARTNERS — notice-filed in LA, NE, NH. IAPD ↗
$3.82B RAUM · 40 reps · 602-466-2611 · tfolifeacademy.com
51
BISON WEALTH, LLC — notice-filed in CO, MO, NE. IAPD ↗
$1.61B RAUM · 34 reps · 404-841-2224 · bisonwealth.com
51
BLACKSTON FINANCIAL ADVISORY GROUP, LLC — notice-filed in IN, MA, MN, WI. IAPD ↗
$252.5M RAUM · 4 reps · 352-633-9046
51
MODERN WEALTH MANAGEMENT, LLC — notice-filed in MD, NJ, PA. IAPD ↗
$2.07B RAUM · 36 reps · 913-393-1000
50
INSIGHT SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 2 (5 -> 7). IAPD ↗
$126.7M RAUM · 10 reps · 224-632-4700 · insightamericas.net
50
SUPREME ALLIANCE LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$11.1M RAUM · 13 reps · 561-460-2870 · supremealliancellc.com
50
DES MOINES INVESTMENTS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$170.0M RAUM · 2 reps · 515-777-1149 · investdsmi.com
50
MONEX ASSET MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 2 (8 -> 10). IAPD ↗
$200.9M RAUM · 14 reps · 713-877-8234 · monexsec.com
50
PLANVISION, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$0 RAUM · 3 reps · (612) 965-4286 · planvisionmn.com
50
PHASE LINE CAPITAL, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$34.0M RAUM · 2 reps · 404-806-9505 · phaselinecapital.com
50
VISTA INVESTMENT PARTNERS — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$249.6M RAUM · 4 reps · 765-962-5153 · vistainvestment.net
50
CRAMER & RAUCHEGGER, INC. — notice-filed in CA, GA, NC, NY, SC. IAPD ↗
$152.0M RAUM · 2 reps · 407-645-4433 · cramerandrauchegger.com
50
ATLANTIC WEALTH PARTNERS, LLC — notice-filed in DC, GA, NC, NY, PA. IAPD ↗
$227.7M RAUM · 3 reps · 561-632-0566 · atlanticwp.com
50
EVERGREEN MONEY ADVISORS — notice-filed in AK, AL, AR, AZ, CA, CO, CT, DC, DE, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
$102.8M RAUM · 12 reps · 844-383-3874 · evergreenmoney.com
50
NECTARINE — notice-filed in CT, DC, GA, NJ, WA, WI. IAPD ↗
$0 RAUM · 19 reps · (858) 779-0115
50
STIRLINGSHIRE INVESTMENTS — notice-filed in AK, AL, AR, CO, CT, DC, DE, HI, IA, ID, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, ND, NE, NH, NJ, NM, NV, OK, OR, PR, RI, SC, SD, TN, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
$37.0M RAUM · 11 reps · 877-600-7026
50
GFG SOLUTIONS — notice-filed in CA, DE, MI, TN, TX. IAPD ↗
$151.1M RAUM · 6 reps · (407) 627-0091 · gfgsolutions.com
50
ALTITUDE CAPITAL MANAGEMENT LLC — notice-filed in AZ, GA, IN, NV, OR, VA, WA, WI. IAPD ↗
$0 RAUM · 3 reps · 515-207-3310 · altitudecm.com
50
INMAN JAGER WEALTH MANAGEMENT — notice-filed in AL, FL, IL, LA, TX. IAPD ↗
$0 RAUM · 2 reps · (601) 602-3571 · inmanjagerwm.com
50
RESHAPE WEALTH — notice-filed in CA, CO, CT, FL, MA, NY, TX. IAPD ↗
$0 RAUM · 1 reps · 646-626-7902
49
NORTHSIDE CAPITAL MANAGEMENT LLC — notice-filed in FL, TX. IAPD ↗
$5.29B RAUM · 6 reps · 541-387-2080 · northsidecap.com
49
AVISO WEALTH MANAGEMENT — notice-filed in MI, NC, OH. IAPD ↗
$401.7M RAUM · 9 reps · 877-633-1210 · avisowealthmanagement.com
49
JACKSON, GRANT INVESTMENT ADVISERS, INC. — notice-filed in CO, NC, WA. IAPD ↗
$462.1M RAUM · 5 reps · 203-322-1198 · jacksongrant.us
49
IMA ADVISORY SERVICES, INC. — notice-filed in GA, MA, UT. IAPD ↗
$911.6M RAUM · 19 reps · 316-266-6574
49
UNITED ADVISORS AMERICA — notice-filed in AZ, CA, WA. IAPD ↗
$260.2M RAUM · 26 reps · 877-443-0610
49
ROTHSCHILD CAPITAL PARTNERS — notice-filed in DC, FL, NJ. IAPD ↗
$351.3M RAUM · 5 reps · 212-931-5303 · rothcap.com
49
WEALTH MANAGEMENT ADVISORS, LLC — notice-filed in CO, IL, VA. IAPD ↗
$465.3M RAUM · 6 reps · 864-236-4706 · wagnerwealthmanagement.com
49
EQUITA FINANCIAL NETWORK, INC. — notice-filed in CO, NM, NY. IAPD ↗
$283.1M RAUM · 8 reps · 800.604.0176
49
PORTFOLIO DESIGN LABS, LLC — notice-filed in AZ, IL, NJ. IAPD ↗
$276.2M RAUM · 1 reps · 310-755-0411
49
PETREDIS INVESTMENT ADVISORS — notice-filed in MA, SC. IAPD ↗
$1.11B RAUM · 5 reps · 878-231-4300 · petredisia.com
49
GOLDEN STATE EQUITY PARTNERS, LLC — notice-filed in NY, OH, TN. IAPD ↗
$743.7M RAUM · 24 reps · 866-273-1563 · schneider-wealth.com
49
CATALYTIC WEALTH MANAGEMENT — notice-filed in NY, VT. IAPD ↗
$1.71B RAUM · 15 reps · 617-234-7000 · catalyticwealth.com
49
HAVEN PRIVATE — notice-filed in LA, OH, TX. IAPD ↗
$319.7M RAUM · 4 reps · 321-329-8674 · havenprivate.com
48
ACCELERATE RETIREMENT — notice-filed in CO, MA, NM, NY. IAPD ↗
$104.0M RAUM · 18 reps · 888-439-7071
48
MAIN ADVISORY, INC. — notice-filed in LA, SC, TX, WV. IAPD ↗
$116.1M RAUM · 2 reps · 617-800-0388 · mainadvisory.com
48
MINDSET WEALTH MANAGEMENT, LLC — notice-filed in CO, IL, LA, TX. IAPD ↗
$205.7M RAUM · 4 reps · 317-348-4655 · mindsetwealthmanagement.com
47
SUNBELT SECURITIES — notice-filed in MT. IAPD ↗
$1.91B RAUM · 48 reps · 713-965-9510 · hbpartnersllc.com
47
TIMUCUAN ASSET MANAGEMENT INC — notice-filed in CO. IAPD ↗
$3.31B RAUM · 7 reps · 904-356-1739
47
RETIREMENT INVESTMENT ADVISORS INC — notice-filed in OR. IAPD ↗
$1.11B RAUM · 8 reps · 405-842-3443 · theretirementpath.com
47
BOK FINANCIAL PRIVATE WEALTH, INC. — notice-filed in NV. IAPD ↗
$2.82B RAUM · 16 reps · 303-539-0100 · bokfinancialprivatewealth.com
47
TCI WEALTH ADVISORS, INC. — notice-filed in LA. IAPD ↗
$4.09B RAUM · 28 reps · 520-733-1477
47
ALTFEST PERSONAL WEALTH MANAGEMENT — notice-filed in NV. IAPD ↗
$1.58B RAUM · 19 reps · 212-406-0850
47
MONTEREY PRIVATE WEALTH, INC. — notice-filed in MI. IAPD ↗
$1.01B RAUM · 8 reps · (831) 372-3426
47
SEQUOIA FINANCIAL GROUP, L.L.C. — notice-filed in VI. IAPD ↗
$17.87B RAUM · 143 reps · 330-375-9480
47
MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC — notice-filed in VA. IAPD ↗
$1.66B RAUM · 4 reps · 704-743-3335 · miracenter.com
47
J.DEREK LEWIS & ASSOCIATES, INC. — notice-filed in WI. IAPD ↗
$1.46B RAUM · 10 reps · 949-752-9096
47
NADLER FINANCIAL GROUP, INC. — notice-filed in VA. IAPD ↗
$1.61B RAUM · 13 reps · 847-940-4040 · nadlerfinancial.com
47
RETIREMENT PLAN ADVISORS, LLC — notice-filed in CA. IAPD ↗
$1.47B RAUM · 43 reps · 312-701-1100 · retirementplanadvisors.com
47
THE RETIREMENT PLANNING GROUP, LLC — notice-filed in HI. IAPD ↗
$2.01B RAUM · 19 reps · 913-498-8898
47
GREENSPRING ADVISORS, LLC — notice-filed in ME. IAPD ↗
$6.90B RAUM · 27 reps · 443-564-4600
47
HEADWATER INVESTMENT CONSULTING,INC. — notice-filed in NH, TX. IAPD ↗
$396.7M RAUM · 5 reps · 503-565-2100
47
CLEARWATER CAPITAL PARTNERS — notice-filed in ID. IAPD ↗
$1.23B RAUM · 12 reps · 847-841-8650
47
ARISTA WEALTH MANAGEMENT, LLC — notice-filed in FL, TN. IAPD ↗
$621.2M RAUM · 7 reps · 702-309-9970 · aristawealth.com
47
CORNERSTONE ADVISORY — notice-filed in MI. IAPD ↗
$1.74B RAUM · 8 reps · 410-468-1693 · cornerstoneadvisory.com
47
MERIT FINANCIAL ADVISORS — notice-filed in VI. IAPD ↗
$7.25B RAUM · 117 reps · 678-867-7050
47
HARFST AND ASSOCIATES, INC. — notice-filed in FL, NH. IAPD ↗
$629.5M RAUM · 3 reps · 307-218-5667 · harfstandassociates.com
47
FIRST FINANCIAL COACHING, INC. — notice-filed in DE, PA. IAPD ↗
$254.7M RAUM · 8 reps · 586-463-1880 · firstfinancialcoach.com
47
RED DOOR WEALTH MANAGEMENT, LLC — notice-filed in AZ. IAPD ↗
$1.79B RAUM · 8 reps · 901-681-0018
47
CWA ASSET MANAGEMENT GROUP — notice-filed in PR. IAPD ↗
$2.53B RAUM · 28 reps · 239-434-7434
47
WILDCAT CAPITAL MANAGEMENT, LLC — notice-filed in NY. IAPD ↗
$3.55B RAUM · 15 reps · 212-468-5100
47
GOLDEN STATE WEALTH MANAGEMENT, LLC — notice-filed in HI. IAPD ↗
$1.69B RAUM · 51 reps · 866.273.1563 · fagowealth.com
47
THRIVE WEALTH MANAGEMENT, LLC — notice-filed in GA. IAPD ↗
$1.09B RAUM · 13 reps · 215-376-5530 · thrivewealth.com
47
FOURSTAR WEALTH ADVISORS, LLC — notice-filed in MI. IAPD ↗
$1.02B RAUM · 39 reps · (312) 667-1750 · main.advisoryoptionsforcpas.com
47
COOK WEALTH, LLC — notice-filed in NH, PA. IAPD ↗
$475.0M RAUM · 10 reps · (919) 784-9100 · cookwealth.com
47
SOUND INCOME STRATEGIES, LLC — notice-filed in AK. IAPD ↗
$3.00B RAUM · 96 reps · 954-487-1860 · eissmanwealth.com
47
PFG ADVISORS — notice-filed in AK. IAPD ↗
$2.33B RAUM · 99 reps · (800) 405-8850 · calcoastcu.org
47
SUMMIT TRAIL ADVISORS, LLC — notice-filed in CO. IAPD ↗
$17.65B RAUM · 28 reps · 212-812-7010
47
GIBBS WEALTH MANAGEMENT, LLC — notice-filed in AL, NV. IAPD ↗
$391.4M RAUM · 10 reps · 678-694-8770
47
BALBOA WEALTH PARTNERS, INC. — notice-filed in NE, VA. IAPD ↗
$661.0M RAUM · 21 reps · 949-445-1465
47
SUMMIT WEALTH STRATEGIES — notice-filed in NC, SC. IAPD ↗
$790.5M RAUM · 19 reps · 636-532-0088
47
CLEAR ROCK ADVISORS, LLC — notice-filed in CA, LA. IAPD ↗
$429.9M RAUM · 6 reps · 830-315-2555
47
FORGE FINANCIAL — notice-filed in IA. IAPD ↗
$1.01B RAUM · 11 reps · 405-340-1600
47
HAYS FINANCIAL GROUP, LLC — notice-filed in FL. IAPD ↗
$5.10B RAUM · 4 reps · (612) 373-9863
47
UX WEALTH PARTNERS LLC — notice-filed in TX. IAPD ↗
$1.50B RAUM · 4 reps · 720-797-8357
47
BURNHAM GIBSON WEALTH ADVISORS, LLC — notice-filed in HI. IAPD ↗
$3.24B RAUM · 17 reps · 949-833-5700 · burnhamgibson.com
47
GATEWAY WEALTH PARTNERS, LLC — notice-filed in DE, VA. IAPD ↗
$891.6M RAUM · 51 reps · (920) 731-9293 · integratedwealthpartners.com
47
ACORN CREEK CAPITAL LLC — notice-filed in FL, GA. IAPD ↗
$421.3M RAUM · 3 reps · 970-818-4820 · acorncreekcapital.com
47
STONEBRIDGE FINANCIAL GROUP, LLC — notice-filed in IL. IAPD ↗
$1.58B RAUM · 17 reps · 717-736-7007
47
TIDEMARK, LLC — notice-filed in FL, NH. IAPD ↗
$250.5M RAUM · 6 reps · 888-791-0197
47
PROMETHIUM — notice-filed in NY, VA. IAPD ↗
$281.9M RAUM · 2 reps · 202-978-2519 · promethiumadvisors.com
46
TRU INDEPENDENCE ASSET MANAGEMENT 2 — notice-filed in IA, TN, TX. IAPD ↗
$117.2M RAUM · 4 reps · 971-371-3444 · relywealth.us
46
ASSUREDPARTNERS INVESTMENT ADVISORS — notice-filed in AL, MS, TN. IAPD ↗
$179.0M RAUM · 15 reps · 407-708-0050 · apadvisors.com
46
FAITH INVESTOR SERVICES — notice-filed in CO, IL, NE. IAPD ↗
$110.3M RAUM · 5 reps · (214) 462-7244
46
DISCIPLINE WEALTH SOLUTIONS, INC. — notice-filed in GA, MA, NC. IAPD ↗
$93.0M RAUM · 3 reps · 864-322-6046 · stahlneckergroup.com
46
NICHOLSON WEALTH MANAGEMENT GROUP, LLC — notice-filed in FL, NC, TX. IAPD ↗
$226.3M RAUM · 3 reps · 843-790-2625
46
210 FINANCIAL — notice-filed in FL, IN, NY. IAPD ↗
$116.8M RAUM · 3 reps · 309-263-1333
46
HAAS FINANCIAL, INC. — notice-filed in AZ, MN, TX. IAPD ↗
$75.2M RAUM · 1 reps · (651) 328-8070 · davidhaasfinancial.com
46
FRIDAY FINANCIAL — notice-filed in IL, TX, WI. IAPD ↗
$129.1M RAUM · 4 reps · (563) 552-7526
46
TAIKO PRIVATE WEALTH — notice-filed in CA, FL, WI. IAPD ↗
$0 RAUM · 2 reps · 3123004781
45
BCG SECURITIES, INC. — notice-filed in AK. IAPD ↗
$685.8M RAUM · 30 reps · 856-393-1950 · michaelrochonchou.com
45
ARCADIA INVESTMENT MANAGEMENT CORP — notice-filed in CA. IAPD ↗
$586.1M RAUM · 3 reps · 269/349-0800 · arcimc.com
45
RUGGAARD & ASSOCIATES — notice-filed in LA. IAPD ↗
$312.2M RAUM · 6 reps · (330) 487-5888 · ruggaard.net
45
THE L. WARNER COMPANIES, INC — notice-filed in MA. IAPD ↗
$657.4M RAUM · 12 reps · 410-252-0808 · lwarner.com
45
LEGEND FINANCIAL ADVISORS INC — notice-filed in NJ. IAPD ↗
$308.5M RAUM · 4 reps · 412-635-9210 · legend-financial.com
45
THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC. — notice-filed in NY. IAPD ↗
$278.8M RAUM · 3 reps · 401-453-5558 · retirementplanningco.com
45
INVESTMENT MANAGEMENT ASSOCIATES — notice-filed in NE. IAPD ↗
$515.4M RAUM · 2 reps · 303-796-8333
45
MARINER INSTITUTIONAL, LLC — notice-filed in KY. IAPD ↗
$976.6M RAUM · 89 reps · 844-442-6326
45
DEW WEALTH MANAGEMENT — notice-filed in PA. IAPD ↗
$293.9M RAUM · 21 reps · 480-614-9119
45
EATON-CAMBRIDGE INC. — notice-filed in NC. IAPD ↗
$319.9M RAUM · 4 reps · (480) 385-7399 · eatoncambridge.com
45
WRIGHT ASSOCIATES — notice-filed in MD. IAPD ↗
$305.6M RAUM · 4 reps · 412-854-2100 · kswrightassociates.com
45
MCCLARREN FINANCIAL ADVISORS — notice-filed in LA. IAPD ↗
$341.8M RAUM · 7 reps · 814-235-1940 · mcclarren.com
45
CONFIDENCE WEALTH MANAGEMENT, LLC — notice-filed in AL. IAPD ↗
$267.1M RAUM · 11 reps · 310-824-1000
45
PARK PIEDMONT ADVISORS LLC — notice-filed in OH. IAPD ↗
$862.0M RAUM · 7 reps · 312-722-6760
45
LBJ FAMILY WEALTH ADVISORS, LTD. — notice-filed in CO. IAPD ↗
$318.6M RAUM · 2 reps · 512-457-5000 · lbjadvisors.com
45
EVEREST FINANCIAL GROUP — notice-filed in PA. IAPD ↗
$828.9M RAUM · 14 reps · 763-923-7525 · everestfg.us
45
PUBLIC SAFETY FINANCIAL/GALLOWAY — notice-filed in NC. IAPD ↗
$792.7M RAUM · 27 reps · 480-325-8668
45
HENRICKSON NAUTA WEALTH ADVISORS, INC. — notice-filed in NY. IAPD ↗
$528.4M RAUM · 6 reps · 616-361-9308 · hnwealthadvisors.com
45
MERIT FINANCIAL PARTNERS LLC — notice-filed in PA. IAPD ↗
$257.1M RAUM · 6 reps · 718-898-0871 · meritfinancialpartners.com
45
COPPERWYND FINANCIAL — notice-filed in AK. IAPD ↗
$530.6M RAUM · 5 reps · 480-348-2100
45
MKD WEALTH COACHES, LLC — notice-filed in LA. IAPD ↗
$359.8M RAUM · 4 reps · 248-418-5100 · mkdwealthcoach.com
45
TRADEWINDS CAPITAL MANAGEMENT, LLC — notice-filed in WI. IAPD ↗
$523.7M RAUM · 7 reps · 360-715-9000
45
RDA FINANCIAL NETWORK — notice-filed in VI. IAPD ↗
$493.7M RAUM · 18 reps · 888-300-4975
45
DLK INVESTMENT MANAGEMENT — notice-filed in UT. IAPD ↗
$348.3M RAUM · 6 reps · 858.433.3200 · dlkinvest.com
45
NIKULSKI FINANCIAL, INC. — notice-filed in FL. IAPD ↗
$305.5M RAUM · 4 reps · 563-344-0118
45
SB ADVISORY, LLC — notice-filed in MS. IAPD ↗
$285.9M RAUM · 29 reps · 404-704-0406 · pnwadvisory.com
45
AVIER WEALTH ADVISORS — notice-filed in AK. IAPD ↗
$786.0M RAUM · 14 reps · 425-467-1011 · avieradvisors.com
45
FSA INVESTMENT GROUP, LLC — notice-filed in GA. IAPD ↗
$598.2M RAUM · 8 reps · (850) 696-1550
45
INVEX ADVISORS LLC — notice-filed in TX. IAPD ↗
$534.7M RAUM · 6 reps · 786-425-1717
45
WEALTHSTAR ADVISORS, LLC — notice-filed in MA. IAPD ↗
$671.5M RAUM · 10 reps · 972-372-2935
45
INTEGRATED FINANCIAL STRATEGIES, LLC — notice-filed in NE. IAPD ↗
$397.7M RAUM · 6 reps · 704-643-5000 · ifsinvest.com
45
MBE WEALTH MANAGEMENT, LLC — notice-filed in NE. IAPD ↗
$725.5M RAUM · 8 reps · 608-372-5521 · mbewealth.com
45
GARRISON POINT CAPITAL, LLC — notice-filed in UT. IAPD ↗
$485.2M RAUM · 3 reps · 415-887-1410 · garpc.com
45
OCCIDENTAL ASSET MANAGEMENT, LLC — notice-filed in VI. IAPD ↗
$625.5M RAUM · 10 reps · 650-344-1600 · yourmentalwealthadvisors.com
45
MBM WEALTH CONSULTANTS, LLC — notice-filed in VA. IAPD ↗
$335.0M RAUM · 6 reps · (636) 274-6262
45
FIDUCIARY FINANCIAL ADVISORS — notice-filed in GA. IAPD ↗
$555.4M RAUM · 22 reps · 6166223062
45
ATON FINANCIAL LLC — notice-filed in TX. IAPD ↗
$428.9M RAUM · 7 reps · 787-725-6070 · atonfinancial.com
45
THE MAIN STREET GROUP — notice-filed in SC. IAPD ↗
$324.9M RAUM · 9 reps · 804-270-4470
45
AURORA PRIVATE WEALTH, INC. — notice-filed in MI. IAPD ↗
$363.3M RAUM · 20 reps · 973-394-0404
45
VERMILLION WEALTH MANAGEMENT INC. — notice-filed in AZ. IAPD ↗
$307.9M RAUM · 4 reps · 651-480-4601 · vermillionwealthmanagement.com
45
TCP ASSET MANAGEMENT, LLC — notice-filed in NV. IAPD ↗
$641.8M RAUM · 16 reps · 614-761-9378 · tcpasset.com
45
STONE OAK WEALTH MANAGEMENT, LLC — notice-filed in LA. IAPD ↗
$302.3M RAUM · 7 reps · 210-339-2707
45
LIFEWORKS ADVISORS, LLC — notice-filed in MT. IAPD ↗
$421.8M RAUM · 24 reps · (616) 200-6512
45
WEALTH ADVISORY SOLUTIONS, LLC — notice-filed in MI. IAPD ↗
$535.4M RAUM · 11 reps · 317-559-0688
45
WIDMANN FINANCIAL SERVICES — notice-filed in SC. IAPD ↗
$341.5M RAUM · 10 reps · 301-262-2919 · widmannfinancial.com
45
SOVEREIGN FINANCIAL GROUP, INC. — notice-filed in AZ. IAPD ↗
$716.9M RAUM · 16 reps · (888) 765-8180 · sfgroupinc.com
45
COUNCIL OAK WEALTH ADVISORS — notice-filed in CO. IAPD ↗
$391.0M RAUM · 5 reps · 918-984-9110 · counciloakinvestments.com
45
SANDBOX FINANCIAL PARTNERS, LLC — notice-filed in MI. IAPD ↗
$463.7M RAUM · 5 reps · (301) 214-4190 · sandboxfp.com
45
CROWN WEALTH GROUP LLC — notice-filed in AZ. IAPD ↗
$257.2M RAUM · 7 reps · (704)360-3995 · crownwealthgroup.com
45
COREPATH WEALTH PARTNERS LLC — notice-filed in OR. IAPD ↗
$348.2M RAUM · 6 reps · (480) 448-0334 · corepathwealthpartners.com
45
JACKSON SQUARE CAPITAL, LLC — notice-filed in MA. IAPD ↗
$393.7M RAUM · 5 reps · 415-854-5011 · jacksonsquarecap.com
45
CARTER FINANCIAL GROUP, INC. — notice-filed in TN. IAPD ↗
$291.0M RAUM · 4 reps · 847-713-2700
45
SIGNAL ADVISORS WEALTH, LLC — notice-filed in NE. IAPD ↗
$465.3M RAUM · 5 reps · 1-866-774-4625
45
MADISON PARTNERS — notice-filed in LA. IAPD ↗
$559.0M RAUM · 9 reps · 608-210-1021
45
QUANTUM PRIVATE WEALTH, LLC — notice-filed in MN. IAPD ↗
$307.8M RAUM · 1 reps · 954-880-1400 · quantumprivatewealth.com
45
TACTIVE ADVISORS, LLC — notice-filed in NY. IAPD ↗
$405.8M RAUM · 1 reps · 855-282-2848 · pcliftonfinancial.com
45
FORTIS CAPITAL ADVISORS, LLC — notice-filed in MO. IAPD ↗
$331.8M RAUM · 24 reps · (775) 446-4208 · fortiscapitaladvisors.com
45
EDGEROCK WEALTH MANAGEMENT — notice-filed in FL. IAPD ↗
$325.1M RAUM · 9 reps · 303.780.7350
45
GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC — notice-filed in NV. IAPD ↗
$290.5M RAUM · 7 reps · 720-420-4870 · gwsa.us
45
CLARENDON PRIVATE LLC — notice-filed in NY. IAPD ↗
$328.6M RAUM · 7 reps · (617) 927 7999 · clarendonprivate.com
45
SAVVY — notice-filed in IA. IAPD ↗
$401.3M RAUM · 10 reps · 833-745-6789
45
RESOLUTE WEALTH STRATEGIES, LLC — notice-filed in CO. IAPD ↗
$259.2M RAUM · 4 reps · 601-952-8850 · theresoluteadvisor.com
45
49 FINANCIAL — notice-filed in KS. IAPD ↗
$566.2M RAUM · 74 reps · 214-563-1190
45
TRUENORTH WEALTH & IMPACT, LLC — notice-filed in LA. IAPD ↗
$426.1M RAUM · 2 reps · 417-434-9400 · findtruenorth.com
45
EQ WEALTH ADVISORS — notice-filed in FL. IAPD ↗
$470.4M RAUM · 5 reps · 214-389-6750 · eqwealthadv.com
45
LINDBERG & RIPPLE — notice-filed in TX. IAPD ↗
$932.9M RAUM · 12 reps · 561-323-2265
45
FREEDOM FIDUCIARIES LLC — notice-filed in WA. IAPD ↗
$263.8M RAUM · 3 reps · 208-900-4331
45
VICTORY FINANCIAL — notice-filed in IL. IAPD ↗
$288.8M RAUM · 12 reps · (512) 763-7671 · victoryfinancialgroup.com
45
SPIREPOINT PRIVATE CLIENT, LLC — notice-filed in PA. IAPD ↗
$934.1M RAUM · 5 reps · 772-316-1271 · spirepointpc.com
44
QUINT CAPITAL MANAGEMENT — notice-filed in CA, LA. IAPD ↗
$146.5M RAUM · 15 reps · 212-682-5090 · quintcapital.com
44
ELEVAGE PARTNERS, LLC — notice-filed in ID, OH. IAPD ↗
$143.8M RAUM · 5 reps · (800) 725-1622 · elevagepartners.com
44
ELYSIUM WEALTH MANAGEMENT, LLC — notice-filed in CA, ID. IAPD ↗
$116.0M RAUM · 6 reps · 801-735-8407 · ut.myelysium.com
44
KAPSTONE FINANCIAL ADVISORS LLC — notice-filed in NE, NH. IAPD ↗
$204.8M RAUM · 3 reps · (937) 751-1000 · kapstoneadvisors.com
44
OXFORD WEALTH GROUP, LLC — notice-filed in GA, PA. IAPD ↗
$198.9M RAUM · 7 reps · 407-495-2004
44
HASENBERG FINANCIAL GROUP — notice-filed in CO, FL. IAPD ↗
$199.6M RAUM · 3 reps · 715-839-6566 · hasenberginc.com
42
W&S BROKERAGE SERVICES, INC. — notice-filed in WA. IAPD ↗
$122.9M RAUM · 73 reps · 800-257-2135
42
HORACE MANN INVESTORS, INC. — notice-filed in WA. IAPD ↗
$62.1M RAUM · 63 reps · 217-789-2500
42
FINANCIAL CONCEPTS UNLIMITED, INC. — notice-filed in MS. IAPD ↗
$154.1M RAUM · 3 reps · 866-444-5122 · fcuinc.com
42
SPRENG CAPITAL MANAGEMENT, INC. — notice-filed in MI. IAPD ↗
$219.7M RAUM · 2 reps · 419-563-0084 · sprengcapital.com
42
SAXONY CAPITAL MANAGEMENT, LLC — notice-filed in GA. IAPD ↗
$239.3M RAUM · 0 reps · 314-963-9336 · saxonycapitalmanagement.com
42
CREW CAPITAL MANAGEMENT, LTD. — notice-filed in MT. IAPD ↗
$183.1M RAUM · 7 reps · 513-618-6460 · crewcapital.com
42
C.W. O'CONNER WEALTH ADVISORS, INC. — notice-filed in SC. IAPD ↗
$214.7M RAUM · 2 reps · 770-368-9919 · cwoconner.com
42
MINERVA PLANNING GROUP — notice-filed in NC. IAPD ↗
$160.6M RAUM · 2 reps · 404-816-6688
42
FOUR QUADRANT WEALTH ADVISORS, INC. — notice-filed in IL. IAPD ↗
$134.9M RAUM · 6 reps · 877-441-5144
42
DAVIES FINANCIAL ADVISORS, INC. — notice-filed in TN. IAPD ↗
$165.3M RAUM · 4 reps · 951-677-3960
42
INDEPENDENCE WEALTH ADVISORS INC. — notice-filed in NC. IAPD ↗
$202.4M RAUM · 1 reps · 703-752-6000
42
GUARDIAN ASSET ADVISORS, LLC — notice-filed in DE. IAPD ↗
$200.5M RAUM · 7 reps · 717-691-3003 · sentinelintegratedplanning.com
42
ARCHER INVESTMENT MANAGEMENT — notice-filed in NY. IAPD ↗
$229.6M RAUM · 2 reps · 800-840-5946 · archerim.com
42
LUESINK STENSTROM FINANCIAL — notice-filed in NJ. IAPD ↗
$70.5M RAUM · 2 reps · 212-405-1609 · luesinkstenstrom.com
42
LEGACY ADVISORY SERVICES, LLC — notice-filed in FL. IAPD ↗
$131.9M RAUM · 3 reps · 610-524-6801 · legacyadvisorypa.com
42
INTEGRITY INVESTMENT ADVISORS — notice-filed in CA. IAPD ↗
$104.5M RAUM · 2 reps · 303-549-4720
42
SAGE STONE WEALTH MANAGEMENT LLC — notice-filed in ID. IAPD ↗
$198.7M RAUM · 2 reps · 858-412-6404 · sagestonewealth.com
42
INTERWEALTH MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
$209.8M RAUM · 4 reps · 480-397-2691 · interwealthmgt.com
42
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC — notice-filed in NH. IAPD ↗
$120.8M RAUM · 25 reps · 212-687-5650 · alexandercapitalwealthmanagement.com
42
FAIRSCALE CAPITAL, LLC — notice-filed in TX. IAPD ↗
$132.5M RAUM · 3 reps · 603-318-7337
42
RUTHERFORD INVESTMENT MANAGEMENT — notice-filed in CA. IAPD ↗
$173.4M RAUM · 4 reps · 503-452-1210 · rutherfordinvestment.com
42
KOTYS WEALTH PROFESSIONALS — notice-filed in CA. IAPD ↗
$223.4M RAUM · 4 reps · 219-465-6924
42
HENDERSHOTT WEALTH MANAGEMENT, LLC — notice-filed in PR. IAPD ↗
$169.3M RAUM · 3 reps · 408-769-3005 · hilaryhendershottwealthmanagement.com
42
SIMMONS CAPITAL GROUP — notice-filed in SC. IAPD ↗
$211.5M RAUM · 4 reps · (518) 406-5624 · simmonscapitalgroup.com
42
PROTA FINANCIAL — notice-filed in NE. IAPD ↗
$182.0M RAUM · 12 reps · 713-568-8171
42
THINKING BIG FINANCIAL — notice-filed in CA. IAPD ↗
$60.1M RAUM · 2 reps · (973) 224-1145
42
BOERUM HILL FINANCIAL ADVISORS LLC — notice-filed in NH. IAPD ↗
$28.3M RAUM · 1 reps · (516) 695-1610
42
MILLENNIAL WEALTH — notice-filed in PA. IAPD ↗
$145.6M RAUM · 3 reps · (206) 207-8426
42
VAN CLEMENS WEALTH MANAGEMENT, LLC — notice-filed in MD. IAPD ↗
$105.9M RAUM · 16 reps · 612-758-9140 · vanclemens.com
42
CAPITAL WEALTH ALLIANCE, LLC — notice-filed in NH. IAPD ↗
$235.5M RAUM · 4 reps · 480-948-7590 · capitalwealthalliance.com
42
FUTURE YOU WEALTH — notice-filed in CT. IAPD ↗
$101.0M RAUM · 3 reps · (917) 397-6531 · futureyouwealth.com
42
TENON FINANCIAL — notice-filed in NH. IAPD ↗
$130.9M RAUM · 2 reps · 732-902-0066 · tenonfinancial.com
42
STONEKEEP INVESTMENTS, LLC — notice-filed in NM. IAPD ↗
$137.8M RAUM · 2 reps · 615-975-3635 · stonekeepinvestments.com
42
DAVID JAMES FINANCIAL — notice-filed in LA. IAPD ↗
$96.6M RAUM · 3 reps · 319 535-4525 · lanefamilywm.com
42
KUHN & COMPANY INVESTMENT COUNSEL, LLC — notice-filed in IN. IAPD ↗
$131.2M RAUM · 3 reps · 630-416-7700
42
ADVISOR SHARE WEALTH MANAGEMENT — notice-filed in PA. IAPD ↗
$48.0M RAUM · 22 reps · 866-232-3251 · aswealthmanagement.com
42
COLORADO WEALTH GROUP LLC — notice-filed in KY. IAPD ↗
$175.8M RAUM · 9 reps · 720-729-2500 · coloradowealthgroup.com
42
15 EQUITY — notice-filed in NC. IAPD ↗
$116.4M RAUM · 3 reps · 805-456-4426 · 15equity.com
42
BLOM & HOWELL FINANCIAL PLANNING, INC. — notice-filed in CO. IAPD ↗
$127.4M RAUM · 3 reps · 209-857-5207
42
BULMAN WEALTH GROUP — notice-filed in TN. IAPD ↗
$148.2M RAUM · 5 reps · 916-458-8199 · bulmanwealth.com
42
ALPHA OMEGA FINANCIAL — notice-filed in DE. IAPD ↗
$139.3M RAUM · 1 reps · 410-592-8936
42
BLUEPRINT FINANCIAL ADVISORS — notice-filed in GA. IAPD ↗
$132.5M RAUM · 14 reps · 336-609-7522 · buildyourblueprint.com
42
COVE PRIVATE WEALTH, LLC — notice-filed in TX. IAPD ↗
$200.2M RAUM · 1 reps · 516-588-1123 · coveprivatewealth.com
42
STRADA FINANCIAL GROUP LLC — notice-filed in AZ. IAPD ↗
$100.3M RAUM · 1 reps · 503-667-5355
42
OLA INVIERTE, LLC — notice-filed in CA. IAPD ↗
$0 RAUM · 1 reps · 4159969267 · olainvierte.com
42
FUNDIFY ADVISORS LLC — notice-filed in MO. IAPD ↗
$0 RAUM · 3 reps · 512-645-1010 · fundify.com
42
TITAN CAPITAL MANAGEMENT — notice-filed in AZ. IAPD ↗
$100.9M RAUM · 2 reps · (209) 529-3089 · titanmanagers.com
42
STEWARD ADVISORS GROUP, LLC — notice-filed in SC. IAPD ↗
$35.5M RAUM · 6 reps · (888) 225-3350 · stewardadvisorsgroup.com
42
MARIDEA WEALTH MANAGEMENT — notice-filed in CA. IAPD ↗
$0 RAUM · 4 reps · 269-598-0939 · marideawealth.com
42
E6 PORTFOLIOS — notice-filed in TX. IAPD ↗
$4.8M RAUM · 3 reps · 801-545-8706
42
COVINGTONALSINA — notice-filed in SC. IAPD ↗
$148.9M RAUM · 4 reps · 410-457-7165
42
AZURA PARTNERS US LLC — notice-filed in FL. IAPD ↗
$25.0M RAUM · 2 reps · 347-249-2369 · azura.com
42
MINDORO CAPITAL PARTNERS LLC — notice-filed in VA. IAPD ↗
$0 RAUM · 3 reps · (617) 214-2313 · mindoro.com
42
SEVENTWO, LLC — notice-filed in UT. IAPD ↗
$0 RAUM · 5 reps · (617) 800-0388
42
WEALTHCARE CAPITAL PARTNERS, LLC — notice-filed in MD. IAPD ↗
$0 RAUM · 1 reps · 804.644.4711
88
BRYCE POINT CAPITAL LLC — (SCARSDALE, NY) is newly SEC-registered with $318.3M RAUM and 1 advisory reps. IAPD ↗institutional
$318.3M RAUM · 1 reps · 646-450-0445
85
PEGASUS TECH VENTURES, INC. — (SAN JOSE, CA) is newly SEC-registered with $2.15B RAUM and 28 advisory reps. IAPD ↗fund
$2.15B RAUM · 28 reps · 408-645-5532
85
RCF ASSET MANAGEMENT GROUP 3, LLC — (STUDIO CITY, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · (310) 598-7070 · rangesummit.com
85
MERIDIEM CAPITAL PARTNERS LP — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗institutional
$0 RAUM · 10 reps · (214) 477-4886 · meridiemcapital.com
85
RSC INDUSTRIAL ASSET MANAGEMENT GROUP 2, LLC — (STUDIO CITY, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 310-598-7073 · rangesummit.com
85
ACADIA INFRASTRUCTURE CAPITAL LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗institutional
$0 RAUM · 9 reps · 6464992075 · acadiainfrastructure.com
85
RCF ASSET MANAGEMENT GROUP 4, LLC — (STUDIO CITY, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 310-598-7070 · rangesummit.com
85
KIAN CAPITAL PARTNERS, LLC — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗institutional
$0 RAUM · 15 reps · 704-943-2500
85
GEMCORP CAPITAL ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 1-646-979-8494
85
TRITON PACIFIC HEALTHCARE PARTNERS, LLC — (SAN JUAN CAPISTRANO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 804-893-3712
85
PELICAN INVESTS — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · (347) 450-1767 · pelicaninvests.com
85
CCS CREDIT SOLUTIONS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 212 224-9400 · ccs-partners.com
85
MAIN CAPITAL PARTNERS NORTH AMERICA LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $41.0M RAUM and 4 advisory reps. IAPD ↗institutional
$41.0M RAUM · 4 reps · 617-207-4175
85
POP VENTURE ADVISERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-693-2798
85
BOXER CAPITAL MANAGEMENT, LLC — (SAN DIEGO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 858.400.3115
85
CION GROSVENOR MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 646-253-8235 · cioninvestments.com
85
JAIN GLOBAL LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 35 advisory reps. IAPD ↗institutional
$0 RAUM · 35 reps · 212-671-4147 · jainglobal.com
85
GREENPORTFOLIO INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-719-0206 · greenportfolio.com
85
MOUNTAIN POINT CREDIT MANAGEMENT LLC — (GREENWICH, CT) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 203-900-5855
85
BDT & MSD BDC MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 189 advisory reps. IAPD ↗institutional
$0 RAUM · 189 reps · 212-303-1650 · bdtmsd.com
85
SUNRISE MANAGER LLC — (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 561-510-3315 · sunriserealtytrust.com
85
SOUTHERN EQUITY ADVISORS LLC — (ST. THOMAS, VI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 877-240-9233 · southernequity.com
85
AGENTSMYTH ADVISORS — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-826-9949 · agentsmyth.com
85
FISHER RETIREMENT SOLUTIONS LLC — (PLANO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 650-350-5254
85
SCIENCE & TECHNOLOGY PARTNERS, L.P. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 212-306-2600 · sandtpartners.com
85
ANNAPURNA CAPITAL MANAGEMENT LP — (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 561-232-6104
85
3FOURTEEN & SMI ADVISORY SERVICES, LLC — (COLUMBUS, IN) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 800-796-4975
85
BLUE OWL INSURANCE SOLUTIONS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 30 advisory reps. IAPD ↗institutional
$0 RAUM · 30 reps · (212) 419-3000
85
PROSPECT CREDIT REIT ADVISOR, LLC — (WEST PALM BEACH, FL) is newly SEC-registered with $0 RAUM and 50 advisory reps. IAPD ↗institutional
$0 RAUM · 50 reps · 561-285-4044
85
AGL US DL MANAGEMENT LLC. — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 32 advisory reps. IAPD ↗institutional
$0 RAUM · 32 reps · 212-973-8600
85
D2 ASSET MANAGEMENT — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 646-729-8315
83
ADIT VENTURES MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $318.4M RAUM and 2 advisory reps. IAPD ↗fund
$318.4M RAUM · 2 reps · 646-840-4944 · aditventures.com
83
RK CAPITAL MANAGEMENT, LLC — (WESTON, FL) is newly SEC-registered with $691.8M RAUM and 9 advisory reps. IAPD ↗fund
$691.8M RAUM · 9 reps · 561-408-1711 · rkcapl.com
83
1248 PARTNERS, LLC — (KANSAS CITY, MO) is newly SEC-registered with $258.0M RAUM and 2 advisory reps. IAPD ↗fund
$258.0M RAUM · 2 reps · 9139045500 · 1248partners.com
83
CLARITAS CAPITAL — (NASHVILLE, TN) is newly SEC-registered with $729.6M RAUM and 5 advisory reps. IAPD ↗fund
$729.6M RAUM · 5 reps · 615-690-7179 · claritascapital.com
83
AVANT MANAGEMENT LLC — (DENVER, CO) is newly SEC-registered with $331.6M RAUM and 8 advisory reps. IAPD ↗fund
$331.6M RAUM · 8 reps · 720-746-5053
83
CENTURY PARK CAPITAL PARTNERS — (EL SEGUNDO, CA) is newly SEC-registered with $273.6M RAUM and 8 advisory reps. IAPD ↗fund
$273.6M RAUM · 8 reps · 310-867-2210 · centuryparkcapital.com
80
KAZAZIAN ASSET MANAGEMENT, LLC — (FORT LAUDERDALE, FL) is newly SEC-registered with $189.8M RAUM and 2 advisory reps. IAPD ↗fund
$189.8M RAUM · 2 reps · 201-390-9585 · kazaziancapital.com
80
TRYPERION HOLDINGS LLC — (BEVERLY HILLS, CA) is newly SEC-registered with $111.6M RAUM and 7 advisory reps. IAPD ↗fund
$111.6M RAUM · 7 reps · 310-421-1033 · tryperion.com
80
A.P. GILFOYLE & CO., L.P. — (NEW YORK, NY) is newly SEC-registered with $1.9M RAUM and 2 advisory reps. IAPD ↗fund
$1.9M RAUM · 2 reps · 212-529-4550 · apgilfoyle.com
80
DV CAPITAL ADVISORS, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $109.2M RAUM and 3 advisory reps. IAPD ↗fund
$109.2M RAUM · 3 reps · 312-663-7111
80
GENERAL INNOVATION CAPITAL, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗fund
$0 RAUM · 6 reps · 917-816-1744 · generalinnovation.com
80
SLG CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 20 advisory reps. IAPD ↗fund
$0 RAUM · 20 reps · 212-594-2700
70
MARSHALL WACE NORTH AMERICA L.P. — grew from 60 to 89 advisory reps. IAPD ↗fund
$28.56B RAUM · 89 reps · 212-235-2800
65
MODUM ASSET MANAGEMENT LLC — (MEXICO CITY, Mexico) is newly SEC-registered with $50.6M RAUM and 4 advisory reps. IAPD ↗foreign
$50.6M RAUM · 4 reps · (332) 223-4025 · modumam.com
65
SVN GLOBAL — (SAO PAULO, Brazil) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 55 (11) 99379-4848
65
I2 WEALTH - CROSS BORDER PLANNING — (MONTREAL, QUEBEC, Canada) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 1 438 462 7872
63
LINGOTTO US LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$654.0M RAUM · 1 reps · 1 332-287-8999 · lingotto.com
61
MTC WEALTH MANAGEMENT — grew from 3 to 6 advisory reps. IAPD ↗institutional
$313.6M RAUM · 6 reps · 888-727-9191 · mtcwealthmanagement.com
60
ENGINEERS GATE MANAGER LP — grew from 60 to 65 advisory reps. IAPD ↗fund
$10.05B RAUM · 65 reps · 646-757-2800
60
SOUND CAPITAL SOLUTIONS LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$45.5M RAUM · 5 reps · 630-853-3300 · soundcapitalsolutions.com
60
HELIX PARTNERS MANAGEMENT LP — 's provisional registration is now fully approved. IAPD ↗fund
$1.15B RAUM · 7 reps · 212-379-4949
60
FREESTONE GROVE PARTNERS LP — 's provisional registration is now fully approved. IAPD ↗fund
$5.99B RAUM · 53 reps · 4159074024 · fgrovep.com
60
TOWN LANE MANAGEMENT LP — 's provisional registration is now fully approved. IAPD ↗fund
$1.32B RAUM · 7 reps · 212-404-7904 · townlane.com
60
GRAVIMARK LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$26.0M RAUM · 2 reps · 914-268-8685
60
VENNLIGHT CAPITAL MANAGEMENT, LP — 's provisional registration is now fully approved. IAPD ↗institutional
$104.3M RAUM · 3 reps · 203-935-3203
60
ATLANTIC UNION MUNICIPAL ADVISORS, INC — 's provisional registration is now fully approved. IAPD ↗institutional
$195.4M RAUM · 4 reps · 804-802-4955X6055
60
EVEN HERD LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$47.8M RAUM · 1 reps · 405-939-6339 · evenherd.com
59
TOWN LANE MANAGEMENT LP — grew from 3 to 7 advisory reps. IAPD ↗fund
$1.32B RAUM · 7 reps · 212-404-7904 · townlane.com
58
1876 PARTNERS, LP — 's provisional registration is now fully approved. IAPD ↗fund
$252.5M RAUM · 5 reps · 281-545-7805
55
SPROTT ASSET MANAGEMENT LP — crossed $1B in regulatory AUM ($792.1M -> $1.42B). IAPD ↗foreign
$1.42B RAUM · 10 reps · 416-943-8099
55
MUDITA MANAGEMENT — crossed $1B in regulatory AUM ($771.8M -> $1.12B). IAPD ↗foreign
$1.12B RAUM · 4 reps · +44 20 3848 7530 · muditamanagement.com
55
HIGHCREST CAPITAL, LLC — grew from 8 to 10 advisory reps. IAPD ↗fund
$666.7M RAUM · 10 reps · 830-214-2770 · highcrestcapital.com
55
TRIANGLE INVESTMENT MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗fund
$128.0M RAUM · 8 reps · 646-346-8871
55
TRIANGLE INVESTMENT MANAGEMENT, LLC — now reports 2 private fund(s) ($128.0M gross). IAPD ↗fund
$128.0M RAUM · 8 reps · 646-346-8871
50
TRIANGLE INVESTMENT MANAGEMENT, LLC — now reports custody of client assets ($256.0M). IAPD ↗fund
$128.0M RAUM · 8 reps · 646-346-8871
50
ZOE FINANCIAL, INC. — began participating in a wrap-fee program. IAPD ↗institutional
$0 RAUM · 2 reps · 646-680-9244 · zoefin.com
45
SUNAMERICA ASSET MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (20 -> 22). IAPD ↗institutional
$57.90B RAUM · 12 reps · 201-324-6300 · corebridgefinancial.com
45
SEGANTII CAPITAL MANAGEMENT (USA) LLC — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗institutional
$11.10B RAUM · 12 reps · +1 212 818 8900
43
BMO CAPITAL MARKETS CORP. — 's Item 11 disclosure-reporting entries rose by 1 (30 -> 31). IAPD ↗institutional
$796.4M RAUM · 25 reps · (212) 605-1504 · bmocm.com
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 10 (95 -> 105). IAPD ↗institutional
$0 RAUM · 314 reps · 646-743-2734 · bankofamerica.com
40
E2P — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$1.70B RAUM · 13 reps · 312-872-0030
40
PEARLSTONE ALTERNATIVE (UK) LLP — now reports 1 private fund(s) ($67.4M gross). IAPD ↗foreign
$156.0M RAUM · 4 reps · 0203 148 2256
38
HARREN EQUITY PARTNERS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$799.1M RAUM · 7 reps · 434-245-5800 · harrenequity.com
38
MARSHALL WACE NORTH AMERICA L.P. — notice-filed in CA, MA, PA, TX. IAPD ↗fund
$28.56B RAUM · 89 reps · 212-235-2800
37
HSBC GLOBAL ASSET MANAGEMENT (USA) INC. — notice-filed in FL. IAPD ↗institutional
$150.50B RAUM · 60 reps · 212-525-1066 · assetmanagement.us.hsbc.com
35
AECOM CAPITAL REAL ESTATE, LLC — notice-filed in TX. IAPD ↗institutional
$580.7M RAUM · 1 reps · 213-593-8100
32
COREBRIDGE INSTITUTIONAL INVESTMENTS (U.S.), LLC — notice-filed in NJ. IAPD ↗fund
$139.89B RAUM · 299 reps · 212-458-6082 · corebridgefinancial.com
32
59 NORTH CAPITAL MANAGEMENT, LP — notice-filed in TX. IAPD ↗fund
$2.47B RAUM · 4 reps · (713) 955-4809
30
CHICAGO ATLANTIC ADVISERS, LLC — notice-filed in WI. IAPD ↗fund
$679.1M RAUM · 36 reps · 312-809-7002 · chicagoatlantic.com
25
INVESCO HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗foreign
$25.98B RAUM · 83 reps · 852 3128 6000
25
MANULIFE INVESTMENT MANAGEMENT (NORTH AMERICA) LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (10 -> 11). IAPD ↗foreign
$19.94B RAUM · 26 reps · 416-524-9687
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (101 -> 102). IAPD ↗foreign
$16.10B RAUM · 76 reps · 44 207 547 5344
25
INVESCO ASSET MANAGEMENT (INDIA) PVT. LTD. — 's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗foreign
$6.38B RAUM · 18 reps · 91 22 6731 0000 · invescomutualfund.com

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.