← Tributary

Compliance — July 2024

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

429 firms opened this window in the July 2024 SEC roster: 184 state expansion, 92 new registration, 49 headcount up, 36 disclosure added, 21 pending approved, 18 custody started, 14 private funds started, 8 aum crossed 1b, 4 wrap program started, 3 reorganization.

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

98
CAUSEY WEALTH LLC — (location n/a) is newly SEC-registered with $292.5M RAUM and 6 advisory reps. IAPD ↗
$292.5M RAUM · 6 reps · 303-709-0298 · causeywealth.com
95
STEVE LYNCH WEALTH MANAGEMENT — (ALBUQUERQUE, NM) is newly SEC-registered with $133.7M RAUM and 4 advisory reps. IAPD ↗
$133.7M RAUM · 4 reps · 505-881-7526 · stevelynchwealth.com
95
CONWAY FINANCIAL GROUP, LLC — (CHESTERFIELD, MO) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
$105.1M RAUM · 2 reps · (314) 579-9157 · conwayfinancialgroup.com
95
FINANCIAL ADVISORY SERVICES — (SALT LAKE CITY, UT) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
$124.0M RAUM · 1 reps · 801-532-1200
95
AWR INVESTMENT MANAGEMENT, LLC — (SAN RAFAEL, CA) is newly SEC-registered with $115.8M RAUM and 1 advisory reps. IAPD ↗
$115.8M RAUM · 1 reps · (415) 457-9415 · awrinvestmentmanagement.com
95
SENSIBLE PORTFOLIOS, LLC — (location n/a) is newly SEC-registered with $156.5M RAUM and 2 advisory reps. IAPD ↗
$156.5M RAUM · 2 reps · 775-323-1488 · sensibleportfolios.com
95
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC — (LISLE, IL) is newly SEC-registered with $110.2M RAUM and 15 advisory reps. IAPD ↗
$110.2M RAUM · 15 reps · 630-241-1122 · chicagomanagement.com
95
WMGNA — (FARMINGTON, CT) is newly SEC-registered with $191.4M RAUM and 3 advisory reps. IAPD ↗
$191.4M RAUM · 3 reps · 860-679-5255
95
MZ CAPITAL, LLC — (location n/a) is newly SEC-registered with $132.4M RAUM and 2 advisory reps. IAPD ↗
$132.4M RAUM · 2 reps · 301-452-4220
95
NEWPORT WEALTH ADVISORS, INC. — (NEWPORT BEACH, CA) is newly SEC-registered with $140.4M RAUM and 7 advisory reps. IAPD ↗
$140.4M RAUM · 7 reps · (877) 692-7227 · rpbacademy.com
95
COLOMB INVESTMENT MANAGEMENT COMPANY, LLC — (METAIRIE, LA) is newly SEC-registered with $1.6M RAUM and 4 advisory reps. IAPD ↗
$1.6M RAUM · 4 reps · 504-520-8050 · colombim.com
95
PRINCE ASSET MANAGEMENT, INC. — (SARASOTA, FL) is newly SEC-registered with $112.4M RAUM and 2 advisory reps. IAPD ↗
$112.4M RAUM · 2 reps · 941-363-9090 · princeassetmanagement.com
95
WILLIAMS WEALTH MANAGEMENT GROUP, INC. — (BRADENTON, FL) is newly SEC-registered with $148.0M RAUM and 2 advisory reps. IAPD ↗
$148.0M RAUM · 2 reps · 941-756-4500
95
PINGORA PARTNERS LLC — (DALLAS, TX) is newly SEC-registered with $135.7M RAUM and 1 advisory reps. IAPD ↗
$135.7M RAUM · 1 reps · 307-739-8686
95
RYDAR EQUITIES, INC. — (WEATHERFORD, TX) is newly SEC-registered with $112.0M RAUM and 2 advisory reps. IAPD ↗
$112.0M RAUM · 2 reps · 432-634-8673 · rydarequities.com
95
WELCY CAPITAL ADVISORS LLC — (MIAMI, FL) is newly SEC-registered with $150.6M RAUM and 3 advisory reps. IAPD ↗
$150.6M RAUM · 3 reps · 786.353.0036 · welcycap.com
95
KOOB WEALTH MANAGEMENT, LLC — (WHITE BEAR TOWNSHIP, MN) is newly SEC-registered with $125.8M RAUM and 2 advisory reps. IAPD ↗
$125.8M RAUM · 2 reps · 651-330-4996 · koobwealthmanagement.com
95
HUMBLE CAPITAL MANAGEMENT LLC — (HONOLULU, HI) is newly SEC-registered with $115.6M RAUM and 2 advisory reps. IAPD ↗
$115.6M RAUM · 2 reps · 808-387-0191 · humblecapital.com
95
BARRETT WEALTH CONNECTION LLC — (SPRING GROVE, IL) is newly SEC-registered with $123.9M RAUM and 2 advisory reps. IAPD ↗
$123.9M RAUM · 2 reps · 815-529-7527 · barrettwealthconnection.com
95
RBF CAPITAL MANAGEMENT, INC. — (SARASOTA, FL) is newly SEC-registered with $107.1M RAUM and 1 advisory reps. IAPD ↗
$107.1M RAUM · 1 reps · 941-870-1944
95
TENCAP WEALTH COACHING — (SOUTH JORDAN, UT) is newly SEC-registered with $0 RAUM and 10 advisory reps. IAPD ↗
$0 RAUM · 10 reps · 801-337-5032
95
STEEL TOWER INVESTMENTS — (PITTSBURGH, PA) is newly SEC-registered with $115.6M RAUM and 4 advisory reps. IAPD ↗
$115.6M RAUM · 4 reps · 412-586-2060 · upswia.com
95
MCBEATH FINANCIAL GROUP — (NORMAL, IL) is newly SEC-registered with $160.2M RAUM and 5 advisory reps. IAPD ↗
$160.2M RAUM · 5 reps · 309-808-2224
95
BRIGHT WEALTH MANAGEMENT, LLC — (LEWISVILLE, TX) is newly SEC-registered with $160.0M RAUM and 5 advisory reps. IAPD ↗
$160.0M RAUM · 5 reps · (972) 410-6623
95
BOON CAPITAL ADVISORS LLC — (NORTHBROOK, IL) is newly SEC-registered with $146.9M RAUM and 1 advisory reps. IAPD ↗
$146.9M RAUM · 1 reps · 224-326-2044
95
CATALYST WEALTH ADVISORS LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
$132.4M RAUM · 1 reps · (949) 357-2390 · catalystwealthllc.com
95
DANIEL KRUG & ASSOCIATES — (CLARKSTON, MI) is newly SEC-registered with $116.6M RAUM and 2 advisory reps. IAPD ↗
$116.6M RAUM · 2 reps · 248-625-2788 · mydkna.com
95
GERVAIS CAPITAL MANAGEMENT, LLC — (WILSON, WY) is newly SEC-registered with $116.1M RAUM and 1 advisory reps. IAPD ↗
$116.1M RAUM · 1 reps · (914) 433-5223 · gervaiscapital.com
95
FIDUCIARY WEALTH GROUP, LLC — (CENTERVILLE, OH) is newly SEC-registered with $110.7M RAUM and 2 advisory reps. IAPD ↗
$110.7M RAUM · 2 reps · 855-560-7171 · fiduciarywealthgroup.com
95
ENGLEBERT FINANCIAL ADVISERS, LLC — (ALLENTOWN, PA) is newly SEC-registered with $125.2M RAUM and 2 advisory reps. IAPD ↗
$125.2M RAUM · 2 reps · 484-350-3301
95
JRB CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered with $130.7M RAUM and 1 advisory reps. IAPD ↗
$130.7M RAUM · 1 reps · 650-644-5480
95
WEALTHSPAN INVESTMENT MANAGEMENT, LLC — (GRAND RAPIDS, MI) is newly SEC-registered with $7.2M RAUM and 2 advisory reps. IAPD ↗
$7.2M RAUM · 2 reps · 616-655-1696
95
MAIDEN COVE CAPITAL — (CAPE ELIZABETH, ME) is newly SEC-registered with $109.9M RAUM and 1 advisory reps. IAPD ↗
$109.9M RAUM · 1 reps · 207-482-3840 · maidencove.com
95
HDA WEALTH MANAGEMENT, LLC — (POLAND, OH) is newly SEC-registered with $102.1M RAUM and 2 advisory reps. IAPD ↗
$102.1M RAUM · 2 reps · 330-980-0741 · hdawealth.com
95
INTENTIONAL FUNDS — (PRINCETON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 917-776-7237 · intentionalfunds.com
95
BRAZOS WEALTH ADVISORS LLC — (IOWA PARK, TX) is newly SEC-registered with $111.7M RAUM and 2 advisory reps. IAPD ↗
$111.7M RAUM · 2 reps · 940-923-5482 · brazoswa.com
95
CORNERSTONE ADVISORS LLC — (FAYETTEVILLE, AR) is newly SEC-registered with $182.6M RAUM and 7 advisory reps. IAPD ↗
$182.6M RAUM · 7 reps · 501-943-7132
95
ALPHA VEE ADVISORS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (617) 212-8691
95
RELATION WEALTH MANAGEMENT, INC. — (TULSA, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 918-295-7410
95
ASG ADVISORY, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 773-837-9648
95
PROSPERA CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 480-235-0769
95
HARMONY WEALTH PARTNERS — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (617) 800-0388 · harmonywealth.com
95
BRADY MARTZ WEALTH SOLUTIONS, LLC — (GRAND FORKS, ND) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 701-223-1717
95
DOUGLASS INVESTMENT GROUP — (WICHITA, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 316-854-8495 · douglassgroup.net
95
TORO WEST CAPITAL ADVISORS — (LOUISVILLE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 720-319-8517 · torowestcapital.com
95
STORYONE FAMILY OFFICE — (LEAWOOD, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 913-663-1800
95
BELMONT PRIVATE WEALTH — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 314-566-9887
95
917 ADVISORY SERVICES LLC — (SPOKANE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 509-328-5627 · johnschram.com
95
A&M PRIVATE WEALTH PARTNERS, LLC — (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 561-437-6738
95
PARKWOODS WEALTH PARTNERS, LLC — (SYRACUSE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 315-757-1100 · parkwoodswealth.com
95
HIGHROAD WEALTH ADVISORS, LLC — (COOS BAY, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 541-266-7623 · highroadwa.com
95
PINVEST — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 305-350-6115
95
NEWERA WEALTH — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 786 788-5199
95
MUNIFI, LLC — (HERMOSA BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 310-729-3421
95
WALTON FINANCIAL — (BIRMINGHAM, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (205) 871-0154 · waltonfin.com
95
MAKE THE MEMORY FINANCIAL PLANNING — (location n/a) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 617-974-4225 · mtmplanning.com
95
KONZA GLOBAL WEALTH GROUP — (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 913-669-4307
95
LEE-KELLEHER WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 301-450-2617 · lkwealthmanagement.com
95
ROMEN CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-613-2887
95
TOTAL WEALTH SERVICES, LLC — (WESTLAKE VILLAGE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 805-304-2886 · totalwealthservices.com
95
OWL CREEK WEALTH PARTNERS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 3038889282
95
BOYER FINANCIAL SERVICES, INC. — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 949-336-4990 · boyerfs.com
85
WOODSTOCK CORPORATION — crossed $1B in regulatory AUM ($921.7M -> $1.12B). IAPD ↗
$1.12B RAUM · 8 reps · 617-227-0600
85
MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC. — crossed $1B in regulatory AUM ($951.2M -> $1.16B). IAPD ↗
$1.16B RAUM · 12 reps · 312-595-6000
85
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST — grew from 144 to 168 advisory reps. IAPD ↗
$190.96B RAUM · 168 reps · 215-255-2300 · macquarieim.com
85
CERITY PARTNERS OCIO LLC — grew from 0 to 21 advisory reps. IAPD ↗
$14.98B RAUM · 21 reps · 212-850-4260 · ceritypartners.com
85
THE COLONY GROUP, LLC — grew from 285 to 315 advisory reps. IAPD ↗
$21.47B RAUM · 315 reps · 617-723-8200 · debrabrede.com
78
RICHMOND INVESTMENT SERVICES LLC — grew from 11 to 21 advisory reps. IAPD ↗
$360.3M RAUM · 21 reps · 262-242-4200
75
PERIGON WEALTH MANAGEMENT, LLC — grew from 72 to 77 advisory reps. IAPD ↗
$6.94B RAUM · 77 reps · (877) 977-2555
75
MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC. — grew from 7 to 12 advisory reps. IAPD ↗
$1.16B RAUM · 12 reps · 312-595-6000
75
A.G.P / ALLIANCE GLOBAL PARTNERS — now reports 1 private fund(s) ($1.0M gross). IAPD ↗
$1.32B RAUM · 163 reps · 800-727-7922 · allianceg.com
75
CERITY PARTNERS OCIO LLC — now reports 2 private fund(s) ($4.28B gross). IAPD ↗
$14.98B RAUM · 21 reps · 212-850-4260 · ceritypartners.com
73
RICHMOND INVESTMENT SERVICES LLC — 's provisional registration is now fully approved. IAPD ↗
$360.3M RAUM · 21 reps · 262-242-4200
73
7TWO — 's provisional registration is now fully approved. IAPD ↗
$377.5M RAUM · 4 reps · (720) 477-7274 · 7two.co
73
IMPACT CAPITAL PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
$437.1M RAUM · 2 reps · 888-304-6722 · impactcapitalpartners.com
73
ADVANTAGE RETIREMENT GROUP — 's provisional registration is now fully approved. IAPD ↗
$459.0M RAUM · 3 reps · 239-561-1155 · advantageretirementgroup.com
73
ATLAS LEGACY ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
$586.1M RAUM · 4 reps · 310-707-1275 · atlaslegacy.com
73
CANVAS WEALTH ADVISORS, LLC — now reports 10 private fund(s) ($302.6M gross). IAPD ↗
$527.2M RAUM · 9 reps · 913-991-8471 · canvaswealthadvisors.com
71
BBVA GLOBAL WEALTH ADVISORS, INC. — grew from 8 to 14 advisory reps. IAPD ↗
$111.1M RAUM · 14 reps · 434-242-0068 · bbvaglobalwealthadvisors.com
70
CERITY PARTNERS OCIO LLC — now reports custody of client assets ($14.93B). IAPD ↗
$14.98B RAUM · 21 reps · 212-850-4260 · ceritypartners.com
70
TCG ADVISORS, LLC A HUB INTERNATIONAL COMPANY — now reports custody of client assets ($3.18B). IAPD ↗
$7.32B RAUM · 50 reps · 512-600-5390
70
NICOLLET INVESTMENT MANAGEMENT, INC. — grew from 5 to 7 advisory reps. IAPD ↗
$477.0M RAUM · 7 reps · 612-915-3033 · nicolletinvest.com
70
MARIDEA WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
$25.2M RAUM · 4 reps · 269-598-0939 · marideawealth.com
70
THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
$100.2M RAUM · 1 reps · 727-734-3334
70
BBVA GLOBAL WEALTH ADVISORS, INC. — 's provisional registration is now fully approved. IAPD ↗
$111.1M RAUM · 14 reps · 434-242-0068 · bbvaglobalwealthadvisors.com
70
IFS GROUP — 's provisional registration is now fully approved. IAPD ↗
$200.0M RAUM · 7 reps · 717-766-1144 · ifsgroup1.com
70
TORREN MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
$147.1M RAUM · 3 reps · 619-649-0700 · torren.com
70
BLACK POINT WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
$187.5M RAUM · 2 reps · 239-306-6300
70
DOUBLE FINANCE INC. — 's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 1 reps · 415-366-3893 · double.finance
70
RDG CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
$55.4M RAUM · 1 reps · 585-673-2690 · rdgcapitalmanagement.com
70
SALUS FINANCIAL ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$166.4M RAUM · 4 reps · 866-999-1655 · salusfinancialadvisors.com
70
SILVER LAKE CAPITAL PARTNERS — 's provisional registration is now fully approved. IAPD ↗
$149.7M RAUM · 3 reps · 972-701-2040
70
CORNERSTONE ALTERNATIVES — 's provisional registration is now fully approved. IAPD ↗
$103.3M RAUM · 2 reps · 315-416-3384 · cornerstonealternatives.com
70
RESHAPE WEALTH — 's provisional registration is now fully approved. IAPD ↗
$150.0M RAUM · 1 reps · 646-626-7902
68
COHEN CAPITAL MANAGEMENT INC — now reports custody of client assets ($68.6M). IAPD ↗
$884.8M RAUM · 4 reps · (415) 927-8011
68
NORTHSTAR FINANCIAL COMPANIES, INC. — now reports custody of client assets ($14.0M). IAPD ↗
$284.6M RAUM · 4 reps · 610-629-6100 · northstarfci.com
68
TWO PRIME LLC — now reports custody of client assets ($250.0M). IAPD ↗
$250.0M RAUM · 5 reps · 480-290-4951 · twoprime.io
68
COMPASS RETIREMENT GROUP LLC — grew from 3 to 6 advisory reps. IAPD ↗
$99.4M RAUM · 6 reps · 314-373-1598 · crsretirement.com
67
INVEST CAPITAL PARTNERS — grew from 5 to 7 advisory reps. IAPD ↗
$144.5M RAUM · 7 reps · 937-557-3200 · mwmrj.com
67
LORD AND RICHARDS — grew from 5 to 7 advisory reps. IAPD ↗
$95.5M RAUM · 7 reps · 720-214-6801
67
TORREN MANAGEMENT, LLC — grew from 1 to 3 advisory reps. IAPD ↗
$147.1M RAUM · 3 reps · 619-649-0700 · torren.com
65
THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC — now reports custody of client assets ($15.3M). IAPD ↗
$100.2M RAUM · 1 reps · 727-734-3334
65
APERTURE ADVISORS LLC — now reports custody of client assets. IAPD ↗
$0 RAUM · 2 reps · 561.203.6803 · apertureadvisors.io
65
CORAL REEF ADVISORS LLC — now reports custody of client assets ($105.3M). IAPD ↗
$52.7M RAUM · 2 reps · 904-582-5449
65
CIRO CAPITAL LLC — now reports custody of client assets ($58.6M). IAPD ↗
$58.6M RAUM · 1 reps · 646-785-6201
65
RDG CAPITAL MANAGEMENT LLC — now reports custody of client assets ($626,665). IAPD ↗
$55.4M RAUM · 1 reps · 585-673-2690 · rdgcapitalmanagement.com
65
SALUS FINANCIAL ADVISORS — now reports custody of client assets ($6.6M). IAPD ↗
$166.4M RAUM · 4 reps · 866-999-1655 · salusfinancialadvisors.com
65
SUNCOAST EQUITY MANAGEMENT, LLC — began participating in a wrap-fee program. IAPD ↗
$1.36B RAUM · 11 reps · (813) 963-0502 · suncoastequity.com
60
COMPASS RETIREMENT GROUP LLC — began participating in a wrap-fee program. IAPD ↗
$99.4M RAUM · 6 reps · 314-373-1598 · crsretirement.com
60
TOPSAIL WEALTH MANAGEMENT LLC — began participating in a wrap-fee program. IAPD ↗
$0 RAUM · 1 reps · 980-308-9901 · topsailwealthmanagement.com
55
J.P. MORGAN SECURITIES LLC — 's Item 11 disclosure-reporting entries rose by 3 (223 -> 226). IAPD ↗
$249.73B RAUM · 7426 reps · 800-999-2000
55
GOLDMAN SACHS & CO. LLC — 's Item 11 disclosure-reporting entries rose by 1 (758 -> 759). IAPD ↗
$222.74B RAUM · 2406 reps · 212-902-1000
55
RAYMOND JAMES & ASSOCIATES, INC. — 's Item 11 disclosure-reporting entries rose by 2 (173 -> 175). IAPD ↗
$350.04B RAUM · 5254 reps · 727-567-1000
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 1 (157 -> 158). IAPD ↗
$149.25B RAUM · 3027 reps · 314-342-2000 · ashlockwealthmanagement.com
55
PRUDENTIAL FINANCIAL PLANNING SERVICES — 's Item 11 disclosure-reporting entries rose by 3 (44 -> 47). IAPD ↗
$16.38B RAUM · 2700 reps · 800-235-7637
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED — 's Item 11 disclosure-reporting entries rose by 7 (484 -> 491). IAPD ↗
$1271.59B RAUM · 26251 reps · 800-637-7455
55
ROBERT W. BAIRD & CO. INCORPORATED — 's Item 11 disclosure-reporting entries rose by 1 (36 -> 37). IAPD ↗
$287.51B RAUM · 2966 reps · 414-765-3500
55
THRIVENT INVESTMENT MANAGEMENT INC. — 's Item 11 disclosure-reporting entries rose by 2 (20 -> 22). IAPD ↗
$14.81B RAUM · 2509 reps · 800-847-4836 · thrivent.com
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (646 -> 647). IAPD ↗
$558.46B RAUM · 8623 reps · 314-875-3000 · stories.wf.com
55
OSAIC WEALTH, INC. — 's Item 11 disclosure-reporting entries rose by 11 (52 -> 63). IAPD ↗
$94.56B RAUM · 4397 reps · 800-821-5100 · worldfinancialadvisors.com
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (101 -> 103). IAPD ↗
$173.04B RAUM · 206 reps · 212-454-4500
55
JOHN HANCOCK INVESTMENT MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (15 -> 16). IAPD ↗
$189.59B RAUM · 34 reps · 617-663-3000
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 2 (101 -> 103). IAPD ↗
$31.83B RAUM · 138 reps · 312-537-7000
55
KEY INVESTMENT SERVICES LLC — 's Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗
$4.19B RAUM · 350 reps · (888) 547-2968 · key.com
55
WEALTH MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
$2.78B RAUM · 48 reps · 402-371-1160 · dashboard.wealthmgmtllc.com
55
LION STREET ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$2.34B RAUM · 141 reps · 512-776-8400 · cowart-group.com
55
NINETY ONE NORTH AMERICA, INC. — notice-filed in CO, DE, HI, NV, SD, TN, WA. IAPD ↗
$39.54B RAUM · 29 reps · 1 917 206 5179 · ninetyone.com
55
TCG ADVISORS, LLC A HUB INTERNATIONAL COMPANY — notice-filed in AK, DE, ID, KY, ME, MT, ND, NH, NJ, RI, SC, UT, VI, WI, WV, WY. IAPD ↗
$7.32B RAUM · 50 reps · 512-600-5390
53
GIBBS WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$391.4M RAUM · 10 reps · 678-694-8770
53
LEGACY FINANCIAL ADVISORS, INC. — notice-filed in AZ, NC, TN, WI. IAPD ↗
$1.13B RAUM · 8 reps · 859-655-5225 · legacyfinancialadvisors.com
53
ADAPT WEALTH ADVISORS, LLC — notice-filed in FL, NC, SC, TX, VA. IAPD ↗
$253.0M RAUM · 5 reps · 404-594-5559 · adaptwealthadvisors.com
51
SECOND HALF FINANCIAL PARTNERS, LLC — notice-filed in GA, NC, OH, VA. IAPD ↗
$284.0M RAUM · 5 reps · 863-385-1101
51
FIDUCIARY FINANCIAL ADVISORS — notice-filed in LA, NJ, SC, WA. IAPD ↗
$555.4M RAUM · 22 reps · 6166223062
51
GIBBS WEALTH MANAGEMENT, LLC — notice-filed in CT, HI, LA, OR. IAPD ↗
$391.4M RAUM · 10 reps · 678-694-8770
51
THURSTON SPRINGER ADVISORS — notice-filed in LA, NM, OK. IAPD ↗
$1.35B RAUM · 51 reps · 317.581.4000 · conservationwm.com
50
THE PUTNEY FINANCIAL GROUP LLC — 's Item 11 disclosure-reporting entries rose by 3 (5 -> 8). IAPD ↗
$177.1M RAUM · 4 reps · 415-460-1990 · putneyfinancial.com
50
ADAMS FINANCIAL CONCEPTS, LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$60.4M RAUM · 2 reps · 206-903-1019 · adamsfinancialconcepts.com
50
SCHWAB WEALTH ADVISORY, INC. — 's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
$0 RAUM · 898 reps · 415-667-7000
50
FINANCIAL MANAGEMENT ASSOCIATES, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$110.1M RAUM · 2 reps · 978-687-2867 · fmallc.com
50
BRIDGEPORT FINANCIAL SOLUTIONS — notice-filed in AK, HI, IN, KS, KY, ME, MI, MN, MO, NE, NH, NJ, OH, RI, SC, TN, UT, VA, VT, WV. IAPD ↗
$0 RAUM · 0 reps · 800-777-6080 · bridgeport.financial.com
50
CORNERSTONE ALTERNATIVES — notice-filed in CA, CO, FL, IL, MA, MD, MN, NC, NH, NJ, NY, OR, PA. IAPD ↗
$103.3M RAUM · 2 reps · 315-416-3384 · cornerstonealternatives.com
50
WHALE — notice-filed in AZ, CA, CO, GA, KY, MA, OH, TX. IAPD ↗
$0 RAUM · 1 reps · 3122484797 · getwhale.co
49
INVESTMENT ADVISORY GROUP LLC — notice-filed in CO, OH, TN. IAPD ↗
$848.2M RAUM · 5 reps · 781-826-1235 · maritimewealthadvisors.com
49
BEAM WEALTH ADVISORS, INC. — notice-filed in ID, NV, OR. IAPD ↗
$577.4M RAUM · 17 reps · 985-893-1440
49
GRIES FINANCIAL PARTNERS — notice-filed in PA, TN. IAPD ↗
$1.28B RAUM · 10 reps · 216-861-1148 · gries.com
49
CERITY PARTNERS OCIO LLC — notice-filed in CO, TX. IAPD ↗
$14.98B RAUM · 21 reps · 212-850-4260 · ceritypartners.com
49
PROSPERITY CAPITAL ADVISORS — notice-filed in NM, WI. IAPD ↗
$2.25B RAUM · 104 reps · 888-240-0064
49
PALLAS CAPITAL ADVISORS, LLC — notice-filed in MI, VT. IAPD ↗
$2.97B RAUM · 24 reps · (781) 971-5052 · pallascapitaladvisors.com
49
HERITAGE WEALTH ADVISORS — notice-filed in MA, NC, ND. IAPD ↗
$496.4M RAUM · 3 reps · 513-440-5475 · yourheritageadvisors.com
49
BEAUMONT FINANCIAL PARTNERS — notice-filed in NE, NM. IAPD ↗
$2.96B RAUM · 15 reps · 781-400-2800
49
ATLAS LEGACY ADVISORS LLC — notice-filed in FL, NJ, TX. IAPD ↗
$586.1M RAUM · 4 reps · 310-707-1275 · atlaslegacy.com
47
POTOMAC FUND MANAGEMENT — notice-filed in MT. IAPD ↗
$1.39B RAUM · 24 reps · (305) 824-2702
47
PLANCORP, LLC — notice-filed in OR. IAPD ↗
$6.48B RAUM · 47 reps · 636-532-7824 · plancorp.com
47
CORDA INVESTMENT MANAGEMENT, LLC — notice-filed in IA. IAPD ↗
$1.56B RAUM · 18 reps · 713-439-0665 · cordamanagement.com
47
RETIREMENT INCOME SOLUTIONS, INC. — notice-filed in IN. IAPD ↗
$2.42B RAUM · 12 reps · 734-769-7727
47
ARGENT ADVISORS, INC. — notice-filed in VA. IAPD ↗
$1.37B RAUM · 13 reps · 318-324-8000 · argentfinanical.com
47
VERITY INVESTMENT PARTNERS — notice-filed in LA, WI. IAPD ↗
$938.8M RAUM · 11 reps · 843-379-6661 · verityvip.com
47
THE CAPROCK GROUP, LLC — notice-filed in WI. IAPD ↗
$6.92B RAUM · 30 reps · (208) 368-9600
47
SUMMITRY, LLC — notice-filed in GA. IAPD ↗
$2.45B RAUM · 19 reps · 650-212-2240 · summitry.com
47
WEALTHSTREAM ADVISORS, INC. — notice-filed in DC. IAPD ↗
$1.35B RAUM · 12 reps · (212) 971-9241 · wealthstreamadvisors.com
47
PERIGON WEALTH MANAGEMENT, LLC — notice-filed in WV. IAPD ↗
$6.94B RAUM · 77 reps · (877) 977-2555
47
WEST FINANCIAL SERVICES, INC. — notice-filed in AZ. IAPD ↗
$2.16B RAUM · 22 reps · 703-847-2500 · westfinancial.com
47
AGW CAPITAL ADVISORS — notice-filed in NC. IAPD ↗
$1.15B RAUM · 9 reps · 813-254-4700
47
HHM WEALTH ADVISORS, LLC — notice-filed in WI. IAPD ↗
$1.07B RAUM · 12 reps · 423-826-1670
47
BALLENTINE PARTNERS — notice-filed in UT. IAPD ↗
$10.77B RAUM · 89 reps · 781-314-1300 · ballentinepartners.com
47
FOUNTAINHEAD ADVISORS — notice-filed in CT, NC. IAPD ↗
$721.6M RAUM · 13 reps · 732-346-1900
47
GOLDEN STATE WEALTH MANAGEMENT, LLC — notice-filed in MO. IAPD ↗
$1.69B RAUM · 51 reps · 866.273.1563 · teamgoldenstate.com
47
OCCIDENTAL ASSET MANAGEMENT, LLC — notice-filed in MS, TN. IAPD ↗
$625.5M RAUM · 10 reps · 650-344-1600 · yourmentalwealthadvisors.com
47
ALPHACORE CAPITAL LLC — notice-filed in WI. IAPD ↗
$2.44B RAUM · 23 reps · 858-875-4100
47
SUMMIT TRAIL ADVISORS, LLC — notice-filed in MN. IAPD ↗
$17.65B RAUM · 28 reps · 212-812-7010
47
BEACON TRUST — notice-filed in WI. IAPD ↗
$4.02B RAUM · 42 reps · 973-377-8090
47
FIRST PACIFIC FINANCIAL, INC. — notice-filed in HI. IAPD ↗
$1.28B RAUM · 16 reps · (360) 254-2585 · fp-financial.com
47
THE FIDUCIARY ALLIANCE — notice-filed in ID. IAPD ↗
$1.23B RAUM · 28 reps · 864-385-7999
47
TFG ADVISORS — notice-filed in MD, OH. IAPD ↗
$372.3M RAUM · 5 reps · 248-724-0090 · tfg-advisors.com
47
JGP WEALTH MANAGEMENT, LLC — notice-filed in UT. IAPD ↗
$1.08B RAUM · 12 reps · 503-446-6450
47
ASPIRE CAPITAL ADVISORS LLC — notice-filed in MT, WI. IAPD ↗
$817.7M RAUM · 11 reps · (206) 939-5615 · investwithaspire.com
47
RIVERSEDGE ADVISORS — notice-filed in SC, VA. IAPD ↗
$594.4M RAUM · 12 reps · 302-573-6864
47
LIBERTY ONE INVESTMENT MANAGEMENT — notice-filed in MO. IAPD ↗
$1.97B RAUM · 18 reps · 847-680-9255 · libertyoneim.com
47
ARMSTRONG ADVISORY GROUP INC. — notice-filed in MO. IAPD ↗
$1.22B RAUM · 10 reps · (781) 433-0001 · armstrongadvisory.com
47
DAYMARK WEALTH PARTNERS, LLC — notice-filed in ID. IAPD ↗
$2.50B RAUM · 16 reps · 513-838-2520
47
GOLDEN STATE EQUITY PARTNERS, LLC — notice-filed in KS, SC. IAPD ↗
$743.7M RAUM · 24 reps · 866-273-1563 · vector3wealth.com
47
CHANNEL WEALTH, LLC — notice-filed in MA, NC. IAPD ↗
$530.5M RAUM · 8 reps · 805-898-0893 · channelwealth.com
47
ROCKLINE WEALTH MANAGEMENT LLC — notice-filed in MA, NC. IAPD ↗
$477.5M RAUM · 5 reps · 516-605-1624
47
LCP INSTITUTIONAL, LLC — notice-filed in MS. IAPD ↗
$1.81B RAUM · 5 reps · 470-326-7920 · lcpi.com
47
ASTRA WEALTH MANAGEMENT GROUP — notice-filed in AR. IAPD ↗
$1.15B RAUM · 10 reps · 972-464-1571
47
SYNTRINSIC LLC — notice-filed in TN. IAPD ↗
$1.75B RAUM · 12 reps · 303-296-7100
47
LEGACY EDGE ADVISORS — notice-filed in CO, NC. IAPD ↗
$627.0M RAUM · 11 reps · 516-447-4200
46
COORDINATED CAPITAL SECURITIES, INC. — notice-filed in MI, NV, PA. IAPD ↗
$145.7M RAUM · 20 reps · 608-221-4545
46
SUPREME ALLIANCE LLC — notice-filed in AR, MI, NE. IAPD ↗
$11.1M RAUM · 13 reps · 561-460-2870 · supremealliancellc.com
46
MERIDIAN FINANCIAL, LLC — notice-filed in CT, FL, TX. IAPD ↗
$230.7M RAUM · 2 reps · (508) 429-2600 · meridianfinancial.net
46
ZYNERGY RETIREMENT PLANNING — notice-filed in FL, NC, TX. IAPD ↗
$131.0M RAUM · 2 reps · 7328229719 · zynergyretirement.com
46
DYNAMIC WEALTH ADVISORS — notice-filed in IL, OR, UT. IAPD ↗
$125.9M RAUM · 3 reps · 623-466-6060 · dynamicwealthmgt.com
46
INVEST CAPITAL PARTNERS — notice-filed in AL, AZ, NC. IAPD ↗
$144.5M RAUM · 7 reps · 937-557-3200 · mwmrj.com
46
FOURTH DIMENSION WEALTH, LLC — notice-filed in CA, VA, VT. IAPD ↗
$218.6M RAUM · 7 reps · 440-664-4045 · 4d-wealth.com
46
SUSTAINABLE ADVISORS ALLIANCE LLC — notice-filed in MI, MN, PA. IAPD ↗
$187.2M RAUM · 6 reps · 918-408-7981 · sustainableadvisorsalliance.com
45
PROVENIO CAPITAL — filed an Item 4A succession naming PROVENIO CAPITAL (CRD 284541) — an entity change, not a deal. IAPD ↗
$1.62B RAUM · 6 reps · 949-301-9060
45
CURBSTONE FINANCIAL MANAGEMENT CORP. — notice-filed in TX. IAPD ↗
$372.0M RAUM · 6 reps · 603-624-8462 · curbstonefinancial.com
45
PACKERLAND BROKERAGE SERVICES, INC. — notice-filed in CT. IAPD ↗
$854.2M RAUM · 144 reps · 920-662-9500
45
BRUNI J V & CO — notice-filed in NC. IAPD ↗
$865.3M RAUM · 3 reps · 719-575-9880 · jvbruni.com
45
GRANT STREET ASSET MANAGEMENT INC — notice-filed in TX. IAPD ↗
$578.7M RAUM · 6 reps · 412-257-8060
45
WHITEGATE INVESTMENT COUNSELORS, INC. — notice-filed in TX. IAPD ↗
$674.0M RAUM · 4 reps · 603-228-5471 · whitegateinvest.com
45
SK WEALTH MANAGEMENT, LLC — notice-filed in CA. IAPD ↗
$429.2M RAUM · 4 reps · 401-331-1575 · skwealth.com
45
WEALTH MANAGEMENT ASSOCIATES, INC. — notice-filed in TX. IAPD ↗
$555.3M RAUM · 16 reps · 856-424-2350 · wealthmanage.net
45
NORTHSTAR FINANCIAL COMPANIES, INC. — notice-filed in NJ. IAPD ↗
$284.6M RAUM · 4 reps · 610-629-6100 · northstarfci.com
45
ROBOTTI & COMPANY ADVISORS, LLC — notice-filed in OR. IAPD ↗
$987.9M RAUM · 14 reps · 212 986-4800
45
FINANCIAL PERSPECTIVES — notice-filed in GA. IAPD ↗
$864.6M RAUM · 13 reps · 763-553-7779 · fpwealth.com
45
CEDAR MOUNTAIN ADVISORS, LLC — notice-filed in NH. IAPD ↗
$870.1M RAUM · 6 reps · 503-224-6868 · cmapdx.com
45
TOTAL CLARITY WEALTH MANAGEMENT, INC — notice-filed in MA. IAPD ↗
$458.0M RAUM · 23 reps · 630-762-9352
45
BIGELOW INVESTMENT ADVISORS, LLC — notice-filed in LA. IAPD ↗
$467.4M RAUM · 4 reps · 207-772-2900 · bigelowadvisors.com
45
SECURE ASSET MANAGEMENT, L.L.C. — notice-filed in ME. IAPD ↗
$599.6M RAUM · 47 reps · 248-414-1562 · re-transition.com
45
REAP FINANCIAL GROUP, LLC — notice-filed in CA. IAPD ↗
$443.5M RAUM · 8 reps · 512-249-7300 · reapprivateclient.com
45
SGL INVESTMENT ADVISORS, INC. — notice-filed in FL. IAPD ↗
$292.4M RAUM · 6 reps · 406-721-0999 · sglinvestmentadvisors.com
45
THE MARSHALL FINANCIAL GROUP LLC — notice-filed in IL. IAPD ↗
$468.7M RAUM · 5 reps · (410) 563-1190
45
PARK, MILLER, LLC — notice-filed in NV. IAPD ↗
$254.2M RAUM · 3 reps · 925-974-3324 · parkmiller.com
45
ARQ WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
$520.1M RAUM · 6 reps · 480-214-9572
45
BECK CAPITAL MANAGEMENT LLC — notice-filed in FL. IAPD ↗
$384.6M RAUM · 6 reps · 512-345-6789
45
HARDIN CAPITAL PARTNERS, LLC — notice-filed in NH. IAPD ↗
$347.9M RAUM · 1 reps · 864-252-4200 · hardincapitalpartners.com
45
INVESTOR FAN — notice-filed in HI. IAPD ↗
$255.4M RAUM · 7 reps · 425-372-7517 · thewaytoinvest.com
45
BENCHMARK WEALTH MANAGEMENT, LLC — notice-filed in ME. IAPD ↗
$362.1M RAUM · 2 reps · (860) 434-6890
45
THE JOSEPH GROUP CAPITAL MANAGEMENT — notice-filed in CO. IAPD ↗
$811.7M RAUM · 14 reps · 614-228-4300
45
FI3 FINANCIAL ADVISORS, LLC — notice-filed in OH. IAPD ↗
$791.7M RAUM · 18 reps · 317-426-8800 · twitter@fi3advisors.com
45
MBM WEALTH CONSULTANTS, LLC — notice-filed in NC. IAPD ↗
$335.0M RAUM · 6 reps · (636) 274-6262
45
TRANSATLANTIQUE PRIVATE WEALTH LLC — notice-filed in NJ. IAPD ↗
$595.3M RAUM · 7 reps · 212 644 4219
45
OMNIA FAMILY WEALTH, LLC — notice-filed in TX. IAPD ↗
$759.7M RAUM · 5 reps · 305-602-9080
45
WEST PACES ADVISORS, INC. — notice-filed in NE. IAPD ↗
$797.8M RAUM · 5 reps · (404) 478-3030
45
S.E.E.D. PLANNING GROUP, LLC — notice-filed in CA. IAPD ↗
$423.0M RAUM · 14 reps · (607) 217-5091
45
EQUITA FINANCIAL NETWORK, INC. — notice-filed in OH. IAPD ↗
$283.1M RAUM · 8 reps · 800.604.0176
45
BRIGHT FUTURES WEALTH MANAGEMENT, LLC — notice-filed in TN. IAPD ↗
$388.4M RAUM · 21 reps · (585) 231-1595
45
GOALVEST ADVISORY LLC — notice-filed in KS. IAPD ↗
$463.4M RAUM · 5 reps · (917) 215-6141
45
PREMIER WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
$414.8M RAUM · 4 reps · (858) 668-0776
45
WHITAKER-MYERS WEALTH MANAGERS, LTD. — notice-filed in IA. IAPD ↗
$513.0M RAUM · 10 reps · (330) 345-5000 · whitaker-myers.com
45
INDEPENDENT WEALTH NETWORK, INC. — notice-filed in NJ. IAPD ↗
$358.3M RAUM · 25 reps · 515-461-5123 · indwealth.net
45
LIFEWORKS ADVISORS, LLC — notice-filed in UT. IAPD ↗
$421.8M RAUM · 25 reps · (616) 200-6512
45
CHESME CAPITAL MANAGEMENT — notice-filed in TX. IAPD ↗
$648.6M RAUM · 3 reps · 517-669-1600 · chesme.com
45
SHARP FINANCIAL — notice-filed in TX. IAPD ↗
$304.7M RAUM · 6 reps · (215) 659-2130
45
KPP ADVISORY SERVICES LLC — notice-filed in AK. IAPD ↗
$880.6M RAUM · 25 reps · 502-394-0400 · money411.info
45
BRIO FINANCIAL GROUP — notice-filed in NH. IAPD ↗
$699.4M RAUM · 11 reps · 415-623-2450
45
EQ WEALTH MANAGEMENT — notice-filed in NY. IAPD ↗
$593.7M RAUM · 6 reps · 425-434-1000
45
KELLY FINANCIAL SERVICES LLC — notice-filed in SC. IAPD ↗
$426.8M RAUM · 4 reps · 781-849-3090 · kellyfinancial.org
45
JEPPSON WEALTH MANAGEMENT, LLC — notice-filed in WA. IAPD ↗
$642.2M RAUM · 5 reps · 424-456-3111 · jeppson-wealth.com
45
MADISON PARTNERS — notice-filed in NC. IAPD ↗
$559.0M RAUM · 9 reps · 608-210-1021
45
TACTIVE ADVISORS, LLC — notice-filed in NM. IAPD ↗
$405.8M RAUM · 1 reps · 855-282-2848 · pcliftonfinancial.com
45
RIDGECREST WEALTH PARTNERS, LLC — notice-filed in CO. IAPD ↗
$542.8M RAUM · 2 reps · 415-260-2616 · ridgecrestwp.com
45
ENDEAVOR PRIVATE WEALTH, INC. — notice-filed in TN. IAPD ↗
$304.3M RAUM · 3 reps · 785-329-2510 · endeavorpw.com
45
EMPOWER FINANCIAL ADVISORY, LLC — notice-filed in NC. IAPD ↗
$411.7M RAUM · 4 reps · (860) 494-2600 · empowerfa.com
45
TRIFECTA CAPITAL ADVISORS, LLC — notice-filed in SC. IAPD ↗
$567.6M RAUM · 1 reps · 1-847-495-2464 · trifectacapitaladvisors.com
45
SAVVY — notice-filed in MI. IAPD ↗
$401.3M RAUM · 10 reps · 833-745-6789
45
LRI INVESTMENTS — notice-filed in OR. IAPD ↗
$932.9M RAUM · 12 reps · 561-323-2265
45
CRAFT&SAGE WEALTH — notice-filed in NC. IAPD ↗
$251.0M RAUM · 7 reps · 816-436-9939 · craftandsage.com
45
SIERRA SUMMIT ADVISORS LLC — notice-filed in TX. IAPD ↗
$425.0M RAUM · 3 reps · 847-652-5070 · sierrasummitadvisors.com
45
EVERNEST FINANCIAL ADVISORS — notice-filed in KY. IAPD ↗
$484.8M RAUM · 4 reps · 317-556-1015 · evernestfa.com
45
7TWO — notice-filed in TX. IAPD ↗
$377.5M RAUM · 4 reps · (720) 477-7274 · 7two.co
44
B.B. GRAHAM & COMPANY, INC. — notice-filed in RI, UT. IAPD ↗
$172.7M RAUM · 27 reps · (714) 628-5200 · bbgraham.com
44
DICK RIVERA & ASSOCIATES — notice-filed in AL, TN. IAPD ↗
$144.2M RAUM · 2 reps · 972-380-9550
44
KIKER WEALTH MANAGEMENT, LLC — notice-filed in AZ, PA. IAPD ↗
$161.5M RAUM · 3 reps · 706-253-7285
44
STRINGER ASSET MANAGEMENT, LLC — notice-filed in FL, PA. IAPD ↗
$47.9M RAUM · 3 reps · 901-800-2956
44
VCP FINANCIAL LLC — notice-filed in LA, NH. IAPD ↗
$99.4M RAUM · 4 reps · 212.328.7876 · lpsfinancial.com
44
WATERSTONE FINANCIAL ADVISORY LLC — notice-filed in IL, TN. IAPD ↗
$181.4M RAUM · 3 reps · 239-288-0977
44
CRUSONIA WEALTH ADVISORS LLC — notice-filed in CA, FL. IAPD ↗
$152.4M RAUM · 2 reps · 303-810-6366 · crusoniawealth.com
43
TORREYANA CAPITAL — filed an Item 4A succession naming TORREYANA CAPITAL (CRD 329075) — an entity change, not a deal. IAPD ↗
$736.0M RAUM · 3 reps · 6198377996
42
DMK ADVISOR GROUP, INC. — notice-filed in VA. IAPD ↗
$80.6M RAUM · 25 reps · 813-996-6100
42
FINANCIAL COUNSELING ASSOCIATES, INC — notice-filed in FL. IAPD ↗
$107.2M RAUM · 2 reps · 720-272-4419 · fca-inc.com
42
GASSMAN FINANCIAL GROUP — notice-filed in FL. IAPD ↗
$50.1M RAUM · 1 reps · 631-482-7460
42
BALLENTINE CAPITAL ADVISORS, INC. — notice-filed in GA. IAPD ↗
$231.9M RAUM · 3 reps · 864-322-6046
42
KEEN CAPITAL, LTD — notice-filed in TX. IAPD ↗
$144.2M RAUM · 3 reps · 803-941-4444 · coreadvisors.com
42
VALUES FIRST ADVISORS, INC. — notice-filed in AL. IAPD ↗
$190.1M RAUM · 9 reps · 877-832-3847 · valuesfirst.com
42
FELLOWSHIP FINANCIAL GROUP — notice-filed in NC. IAPD ↗
$126.0M RAUM · 2 reps · 407-949-5888
42
PACTOLUS — notice-filed in TN. IAPD ↗
$185.8M RAUM · 2 reps · 571-297-6364 · pactolus.com
42
SAGE STONE WEALTH MANAGEMENT LLC — notice-filed in WA. IAPD ↗
$198.7M RAUM · 2 reps · 858-412-6404 · sagestonewealth.com
42
PEAPOD LANE CAPITAL LLC — notice-filed in TX. IAPD ↗
$63.5M RAUM · 2 reps · 212-265-8940
42
PARSONEX ADVISORY SERVICES, INC. — notice-filed in MT. IAPD ↗
$151.6M RAUM · 2 reps · 303-662-8700 · parsonexadvisory.com
42
OPINICUS — notice-filed in TN. IAPD ↗
$216.6M RAUM · 3 reps · (813) 443-4767
42
HAHN FINANCIAL GROUP — notice-filed in NM. IAPD ↗
$122.1M RAUM · 6 reps · 605-275-3600 · hahnfinancialgroup.com
42
FUTURE PERFECT PLANNING, LLC — notice-filed in TX. IAPD ↗
$25.2M RAUM · 1 reps · 646-543-8065 · futureperfect.nyc
42
11 FINANCIAL — notice-filed in AZ. IAPD ↗
$12.4M RAUM · 6 reps · (936) 899-5629
42
SIGHTLINE WEALTH ADVISORS, LLC — notice-filed in MA. IAPD ↗
$242.4M RAUM · 4 reps · (860) 448-0611 · sightlinewa.com
42
TFG FINANCIAL ADVISORS, LLC — notice-filed in NY. IAPD ↗
$111.9M RAUM · 4 reps · (561) 209-1120
42
ROOTED PLANNING GROUP — notice-filed in CT. IAPD ↗
$95.7M RAUM · 5 reps · 607-438-2761
42
COMMONWEALTH RETIREMENT INVESTMENTS LLC — notice-filed in TX. IAPD ↗
$240.4M RAUM · 5 reps · 804-282-1238
42
HESEN & HASLAM — notice-filed in ID. IAPD ↗
$193.9M RAUM · 3 reps · 818-200-1107 · hhretirement.com
42
OAK STREET INVESTMENTS — notice-filed in TX. IAPD ↗
$111.6M RAUM · 1 reps · (720) 515-6822
42
ANDERSON FINANCIAL STRATEGIES, LLC — notice-filed in FL. IAPD ↗
$245.7M RAUM · 4 reps · (855)237-4545
42
PGI WEALTH MANAGEMENT — notice-filed in VA. IAPD ↗
$211.1M RAUM · 7 reps · (888) 493-9022
42
COOKSEN WEALTH, LLC — notice-filed in CO. IAPD ↗
$141.9M RAUM · 3 reps · (832) 592-2554 · cooksenwealth.com
42
ZENITH WEALTH PARTNERS — notice-filed in OH. IAPD ↗
$81.6M RAUM · 7 reps · 248-568-4626
42
PARKER FINANCIAL ADVISORS LLC — notice-filed in FL. IAPD ↗
$174.0M RAUM · 2 reps · 832-476-3495
42
HF ADVISORY GROUP, LLC — notice-filed in ID. IAPD ↗
$189.1M RAUM · 4 reps · (410)-571-1415
42
WEIGELFAM — notice-filed in NE. IAPD ↗
$56.0M RAUM · 1 reps · 646-872-0632
42
CITY DIFFERENT INVESTMENTS — notice-filed in KS. IAPD ↗
$114.6M RAUM · 9 reps · 505-416-4550
42
ELYSIUM WEALTH MANAGEMENT, LLC — notice-filed in CT. IAPD ↗
$116.0M RAUM · 6 reps · 801-735-8407 · saltwealthpartners.com
42
AURELIUS FAMILY OFFICE, LLC — notice-filed in TN. IAPD ↗
$237.3M RAUM · 5 reps · 603-413-6060 · aurelius.net
42
ROSSBY FINANCIAL, LLC — notice-filed in OH. IAPD ↗
$107.3M RAUM · 8 reps · 321-209-0111
42
PODELL FINANCIAL GROUP LLC — notice-filed in CA. IAPD ↗
$140.6M RAUM · 4 reps · 973-227-8001 · podellfinancialgroup.com
42
ALPINE HILL ADVISORS LLC — notice-filed in NY. IAPD ↗
$158.4M RAUM · 2 reps · (203) 429-0406
42
CAPTAR PRIVATE WEALTH — notice-filed in FL. IAPD ↗
$107.0M RAUM · 2 reps · 612-347-8668
42
GAINLINE FINANCIAL PARTNERS, LLC — notice-filed in MD. IAPD ↗
$220.7M RAUM · 5 reps · 720-548-4391 · gainlinefp.com
42
BERILIUM — notice-filed in IL. IAPD ↗
$402,125 RAUM · 1 reps · (640) 300-0475 · berilium.com
42
FOGUTH WEALTH MANAGEMENT, LLC. — notice-filed in SC. IAPD ↗
$237.0M RAUM · 10 reps · (810) 522-5650
42
DIGITAL WEALTH PARTNERS — notice-filed in CT. IAPD ↗
$0 RAUM · 1 reps · 225-200-8880
42
CAPITAL A WEALTH MANAGEMENT — notice-filed in NY. IAPD ↗
$149.2M RAUM · 8 reps · 724-658-4211
42
STONEPATH WEALTH MANAGEMENT — notice-filed in NC. IAPD ↗
$178.0M RAUM · 7 reps · (231) 668-6999
42
BROADSTREET FAMILY OFFICE LLC — notice-filed in NJ. IAPD ↗
$0 RAUM · 1 reps · (914) 427-8036 · broadstreetfamilyoffice.com
42
CATALYST WEALTH MANAGEMENT LLC — notice-filed in MI. IAPD ↗
$0 RAUM · 17 reps · 832-657-7735 · catalystfg.com
42
FCIG WEALTH MANAGEMENT, LLC — notice-filed in NH. IAPD ↗
$0 RAUM · 2 reps · 877-420-5234
42
KILTER GROUP — notice-filed in AZ. IAPD ↗
$0 RAUM · 2 reps · 646-438-6557 · kiltergroup.com
42
ZERO DAY CAPITAL ENTERPRISES LLC — notice-filed in NC. IAPD ↗
$0 RAUM · 1 reps · (617) 800-0388
90
RCM GA MANAGER LLC — (NEW YORK, NY) is newly SEC-registered with $1.24B RAUM and 20 advisory reps. IAPD ↗institutional
$1.24B RAUM · 20 reps · 212-850-7770 · rithmcap.com
85
PRECIDIAN FUNDS LLC — (NEWTOWN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 9087810560 · precidianfunds.com
85
EAST BEACH ASSET MANAGEMENT, LLC — (LOS ANGELES, CA) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗institutional
$125.0M RAUM · 1 reps · 949-779-2590 · eastbeacham.com
85
NORTHAMPTON CAPITAL PARTNERS — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
$0 RAUM · 8 reps · 914-309-1746
85
CONNETIC VENTURES — (COVINGTON, KY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 859-201-6235 · conneticventures.com
85
S2G VENTURES — (CHICAGO, IL) is newly SEC-registered with $2.57B RAUM and 45 advisory reps. IAPD ↗fund
$2.57B RAUM · 45 reps · 630-642-6122
85
TWIN OAK ETF COMPANY — (NATICK, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 617-402-5495
85
MFG PARTNERS 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 · 212-651-4615
85
VENERABLE INVESTMENT ADVISERS, LLC — (WEST CHESTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 610-249-2916
85
PRIVACORE — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 1 800 304 3863 · privacorecapital.com
85
LITTLE RIVER CAPITAL PARTNERS, LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 917-224-7259
85
PL3 CAPITAL LP — (SUNNY ISLES BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-484-0819
85
RIPPLE EFFECT ASSET MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 917-319-8088 · rippleeffectasset.com
85
SOPHRON CAPITAL MANAGEMENT — (SUMMIT, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 404-530-9264
85
GLADE CAPITAL MANAGEMENT LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 561-246-6330
85
DIADEMA PARTNERS LP — (MORRISTOWN, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 646-979-8432 · diademapartnerslp.com
85
OCTANE INVESTMENTS INC. — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 212-885-0747 · octane.nyc
83
POSITIVE SELECTION INVESTMENT MANAGEMENT, LLC — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $500.0M RAUM and 2 advisory reps. IAPD ↗fund
$500.0M RAUM · 2 reps · 203-485-0443 · regeneronventures.com
80
PANORAMIC CAPITAL, LLC — (LARKSPUR, CA) is newly SEC-registered with $209.9M RAUM and 3 advisory reps. IAPD ↗fund
$209.9M RAUM · 3 reps · 415-925-9033
80
FACTORIAL PARTNERS, LLC — (MT. KISCO, NY) is newly SEC-registered with $177.9M RAUM and 1 advisory reps. IAPD ↗fund
$177.9M RAUM · 1 reps · 914-666-6830 · factorialpartnerslp.com
80
BREACH INLET CAPITAL MANAGEMENT, LLC — (MT. PLEASANT, SC) is newly SEC-registered with $135.9M RAUM and 2 advisory reps. IAPD ↗fund
$135.9M RAUM · 2 reps · 615-693-2200 · breachinletcap.com
80
SAF ADVISORS LLC — (location n/a) is newly SEC-registered with $121.4M RAUM and 2 advisory reps. IAPD ↗fund
$121.4M RAUM · 2 reps · 212-202-2800 · subscribeplatform.com
80
SEMANTEON CAPITAL MANAGEMENT, LP — (NEWTON, MA) is newly SEC-registered with $195.0M RAUM and 2 advisory reps. IAPD ↗fund
$195.0M RAUM · 2 reps · 617-213-0162 · semanteon.com
80
BH3 FUND ADVISORS, LLC — (FORT LAUDERDALE, FL) is newly SEC-registered with $175.5M RAUM and 8 advisory reps. IAPD ↗fund
$175.5M RAUM · 8 reps · 954-416-3140 · bh-3.com
80
CARR'S HILL PARTNERS — (NEW ORLEANS, LA) is newly SEC-registered with $177.1M RAUM and 6 advisory reps. IAPD ↗fund
$177.1M RAUM · 6 reps · 504-332-0901 · carrshillpartners.com
80
CF CAPITAL LLC — (location n/a) is newly SEC-registered with $118.5M RAUM and 1 advisory reps. IAPD ↗fund
$118.5M RAUM · 1 reps · 617.423.5984
80
WALK-ON CAPITAL, LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $90.0M RAUM and 3 advisory reps. IAPD ↗fund
$90.0M RAUM · 3 reps · 970-948-2311 · walk-oncapital.com
80
ASCENDANCE ASSET MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
$0 RAUM · 3 reps · 646-206-4119
75
HBC GROUP LLC. — crossed $1B in regulatory AUM ($376.5M -> $1.13B). IAPD ↗institutional
$1.13B RAUM · 1 reps · 239-529-0763
70
VOSS CAPITAL, LP — crossed $1B in regulatory AUM ($937.0M -> $1.22B). IAPD ↗fund
$1.22B RAUM · 5 reps · 832-519-9427
70
STEPSTONE GROUP PRIVATE DEBT LLC — crossed $1B in regulatory AUM ($38.7M -> $2.37B). IAPD ↗fund
$2.37B RAUM · 0 reps · 858-558-9700 · stepstonegroup.com
70
HAMILTON LANE — grew from 190 to 225 advisory reps. IAPD ↗fund
$124.41B RAUM · 225 reps · 610-934-2222
70
MACQUARIE INFRASTRUCTURE PARTNERS — grew from 106 to 123 advisory reps. IAPD ↗fund
$32.55B RAUM · 123 reps · 212-231-1000 · macquarie.com
70
STEPSTONE GROUP REAL ASSETS LP — grew from 59 to 76 advisory reps. IAPD ↗fund
$26.34B RAUM · 76 reps · 858-558-9700
70
MAM AMERICAS, INC. — grew from 89 to 123 advisory reps. IAPD ↗fund
$2.87B RAUM · 123 reps · 212-231-1000 · macquarie.com
68
TREZ CAPITAL FUND MANAGEMENT LIMITED PARTNERSHIP — (VANCOUVER, BC, Canada) is newly SEC-registered with $415.7M RAUM and 6 advisory reps. IAPD ↗foreign
$415.7M RAUM · 6 reps · 604-689-0821 · trezcapital.com
67
STEPSTONE GROUP REAL ESTATE LP — grew from 52 to 64 advisory reps. IAPD ↗fund
$14.18B RAUM · 64 reps · 858-558-9700 · vimeo.com
65
ETNA CAPITAL — (HONG KONG, Hong Kong) is newly SEC-registered with $20.4M RAUM and 3 advisory reps. IAPD ↗foreign
$20.4M RAUM · 3 reps · 85237579745 · etnalabs.co
65
SWIFT CREEK PARTNERS — 's provisional registration is now fully approved. IAPD ↗institutional
$1.85B RAUM · 7 reps · 214-692-4200 · swiftcreekpartners.com
62
NORTHMARQ FUND MANAGEMENT, LLC — grew from 6 to 10 advisory reps. IAPD ↗institutional
$505.2M RAUM · 10 reps · 503-952-0700 · morrisonstreetcapital.com
62
ELDRIDGE ACRE PARTNERS, LP — grew from 1 to 10 advisory reps. IAPD ↗fund
$892.5M RAUM · 10 reps · 213-394-2506 · eldridgeacre.com
60
MACQUARIE PRIVATE DEBT ASSET MANAGEMENT, LLC — grew from 4 to 6 advisory reps. IAPD ↗institutional
$450.0M RAUM · 6 reps · 1 212 231-1000 · macquarie.com
60
CURAFIN ADVISORS — 's provisional registration is now fully approved. IAPD ↗institutional
$229.2M RAUM · 3 reps · 480-284-7080 · curafinadvisors.com
60
COPPER PLACE GLOBAL CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$24.4M RAUM · 2 reps · 206-743-5907
60
STEPSTONE GROUP PRIVATE DEBT LLC — now reports 1 private fund(s) ($1.12B gross). IAPD ↗fund
$2.37B RAUM · 0 reps · 858-558-9700 · stepstonegroup.com
59
FIRST SENTIER INVESTORS (US) LLC — grew from 12 to 21 advisory reps. IAPD ↗fund
$116.4M RAUM · 21 reps · 212-497-9980 · firstsentierinvestors.com
59
NOMURA CAPITAL MANAGEMENT LLC — grew from 5 to 11 advisory reps. IAPD ↗fund
$420.8M RAUM · 11 reps · 212-667-9996 · nomuracapitalmanagement.com
58
MESIROW RE-IA, INC. — 's provisional registration is now fully approved. IAPD ↗fund
$532.4M RAUM · 3 reps · 312-595-6000
58
EMBASSY ASSET MANAGEMENT LP — now reports 1 private fund(s) ($0 gross). IAPD ↗fund
$261.6M RAUM · 0 reps · 862.278.2113 · embassyfunds.com
58
NOMURA CAPITAL MANAGEMENT LLC — now reports 1 private fund(s) ($199.9M gross). IAPD ↗fund
$420.8M RAUM · 11 reps · 212-667-9996 · nomuracapitalmanagement.com
58
MESIROW RE-IA, INC. — now reports 2 private fund(s) ($538.4M gross). IAPD ↗fund
$532.4M RAUM · 3 reps · 312-595-6000
58
ELDRIDGE ACRE PARTNERS, LP — now reports 2 private fund(s) ($0 gross). IAPD ↗fund
$892.5M RAUM · 10 reps · 213-394-2506 · eldridgeacre.com
58
DUNDEE MAESTRO MANAGEMENT, LP — now reports 7 private fund(s) ($641.8M gross). IAPD ↗fund
$641.8M RAUM · 3 reps · 914-815-0896
58
BENCHSTONE CAPITAL MANAGEMENT LP — now reports 1 private fund(s) ($26.5M gross). IAPD ↗fund
$465.5M RAUM · 5 reps · 646-908-6000 · benchstonecapital.com
57
MSR CAPITAL PARTNERS, LLC — grew from 10 to 12 advisory reps. IAPD ↗fund
$3.60B RAUM · 12 reps · 212-336-0650
57
COALESCE CAPITAL MANAGEMENT LLC — grew from 8 to 12 advisory reps. IAPD ↗fund
$961.7M RAUM · 12 reps · (646) 222-5910 · coalescecap.com
56
WINCOVE — grew from 5 to 8 advisory reps. IAPD ↗fund
$262.1M RAUM · 8 reps · (603) 770-9785 · wincove.com
56
POLUS CAPITAL MANAGEMENT (US) INC. — grew from 3 to 6 advisory reps. IAPD ↗fund
$400.0M RAUM · 6 reps · 646-653-2389 · poluscapital.com
55
S.W. MITCHELL CAPITAL LLP — crossed $1B in regulatory AUM ($780.1M -> $1.95B). IAPD ↗foreign
$1.95B RAUM · 2 reps · 020 7290 3588 · swmitchellcapital.com
55
PRYTANIA INVESTMENT ADVISORS LLP — crossed $1B in regulatory AUM ($340.0M -> $1.76B). IAPD ↗foreign
$1.76B RAUM · 6 reps · 020 4570 5514 · prytania.com
55
J. STERN & CO. LLP — crossed $1B in regulatory AUM ($835.0M -> $1.28B). IAPD ↗foreign
$1.28B RAUM · 10 reps · +44(0)20 3478 1800 · jsternco.com
55
FISAI US MANAGEMENT LLC — now reports custody of client assets ($227.7M). IAPD ↗institutional
$227.7M RAUM · 2 reps · 310-906-9537 · fisai.com
55
APAX PARTNERS US, LLC — grew from 76 to 81 advisory reps. IAPD ↗fund
$89.6M RAUM · 81 reps · 212-753-6300 · apax.us.com
55
NIKKO ASSET MANAGEMENT ASIA LIMITED — grew from 51 to 80 advisory reps. IAPD ↗foreign
$10.46B RAUM · 80 reps · 65-6500-5700 · nikkoam.com.sg
55
MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED — grew from 44 to 61 advisory reps. IAPD ↗foreign
$11.09B RAUM · 61 reps · 44 203 037 2000 · macquarieim.com
55
FORESIGHT GROUP LLP — grew from 90 to 150 advisory reps. IAPD ↗foreign
$9.00B RAUM · 150 reps · 44 020 3667 8100 · foresightgroup.eu
55
BENCHSTONE CAPITAL MANAGEMENT LP — grew from 3 to 5 advisory reps. IAPD ↗fund
$465.5M RAUM · 5 reps · 646-908-6000 · benchstonecapital.com
55
FORTWOOD CAPITAL LP — now reports 1 private fund(s) ($93.4M gross). IAPD ↗fund
$204.0M RAUM · 4 reps · 475-303-3380
53
EMBASSY ASSET MANAGEMENT LP — now reports custody of client assets. IAPD ↗fund
$261.6M RAUM · 0 reps · 862.278.2113 · embassyfunds.com
53
MESIROW RE-IA, INC. — now reports custody of client assets ($532.4M). IAPD ↗fund
$532.4M RAUM · 3 reps · 312-595-6000
53
ELDRIDGE ACRE PARTNERS, LP — now reports custody of client assets. IAPD ↗fund
$892.5M RAUM · 10 reps · 213-394-2506 · eldridgeacre.com
53
DUNDEE MAESTRO MANAGEMENT, LP — now reports custody of client assets ($641.8M). IAPD ↗fund
$641.8M RAUM · 3 reps · 914-815-0896
52
AHL PARTNERS LLP — grew from 119 to 131 advisory reps. IAPD ↗foreign
$63.70B RAUM · 131 reps · +44 20 7144 1000 · man.com
50
FORTWOOD CAPITAL LP — now reports custody of client assets ($93.4M). IAPD ↗fund
$204.0M RAUM · 4 reps · 475-303-3380
50
BAILLIE GIFFORD OVERSEAS LTD — grew from 142 to 152 advisory reps. IAPD ↗foreign
$186.63B RAUM · 152 reps · +44 131 275 2000
49
NISSAY ASSET MANAGEMENT CORPORATION — grew from 226 to 235 advisory reps. IAPD ↗foreign
$206.68B RAUM · 235 reps · -9455
48
ROKOS CAPITAL MANAGEMENT LLP — grew from 35 to 43 advisory reps. IAPD ↗foreign
$192.81B RAUM · 43 reps · +44(0)2036689000 · rokoscapital.com
48
HOLLYPORT CAPITAL LLP — grew from 48 to 56 advisory reps. IAPD ↗foreign
$5.28B RAUM · 56 reps · +44 207 478 3970 · hollyportcapital.com
47
LANCASTER INVESTMENT MANAGEMENT LLP — grew from 5 to 12 advisory reps. IAPD ↗foreign
$1.48B RAUM · 12 reps · 011 44 20 7842 1030 · lancasterim.co.uk
47
BUOYANT CAPITAL PRIVATE LIMITED — grew from 36 to 45 advisory reps. IAPD ↗foreign
$410.2M RAUM · 45 reps · +91 22 6931 9994 · buoyantcap.com
46
CHEYNE CAPITAL MANAGEMENT (UK) LLP — grew from 31 to 37 advisory reps. IAPD ↗foreign
$37.85B RAUM · 37 reps · 44 (0) 207 968 7450 · cheynecapital.com
46
ESCHLER ASSET MANAGEMENT LLP — grew from 23 to 31 advisory reps. IAPD ↗foreign
$452.6M RAUM · 31 reps · 447775824595 · eschlerasset.com
45
JOHN HANCOCK VARIABLE TRUST ADVISERS LLC — 's Item 11 disclosure-reporting entries rose by 1 (17 -> 18). IAPD ↗institutional
$65.09B RAUM · 34 reps · 617-663-3000 · johnhancock.com
45
AST INVESTMENT SERVICES, INC. — 's Item 11 disclosure-reporting entries rose by 3 (30 -> 33). IAPD ↗institutional
$105.94B RAUM · 14 reps · 973-802-9908
45
CATALYST CAPITAL ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 4 (11 -> 15). IAPD ↗institutional
$7.91B RAUM · 9 reps · 787-334-1781 · catalystmf.com
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (101 -> 103). IAPD ↗institutional
$20.04B RAUM · 11 reps · 212-454-4500
45
PRUDENTIAL SELECT STRATEGIES LLC — 's Item 11 disclosure-reporting entries rose by 3 (26 -> 29). IAPD ↗institutional
$19.73B RAUM · 36 reps · 973-802-3137
45
MACQUARIE INVESTMENT MANAGEMENT GLOBAL LIMITED — grew from 68 to 73 advisory reps. IAPD ↗foreign
$152.40B RAUM · 73 reps · 612 8232 3333 · macquarieim.com
45
MORRISON US, LLC — grew from 9 to 14 advisory reps. IAPD ↗foreign
$25.69B RAUM · 14 reps · 3479526718
45
MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED — now reports 3 private fund(s) ($999.0M gross). IAPD ↗foreign
$11.09B RAUM · 61 reps · 44 203 037 2000 · macquarieim.com
45
ONE QUEEN CAPITAL INC. — now reports 4 private fund(s) ($8.93B gross). IAPD ↗foreign
$8.93B RAUM · 6 reps · 416-603-2116
44
MASECO PRIVATE WEALTH — grew from 19 to 23 advisory reps. IAPD ↗foreign
$3.27B RAUM · 23 reps · +44 20 7043 0455 · instagram.com\masecopw
44
ICON INFRASTRUCTURE NORTH AMERICA INC. — grew from 10 to 14 advisory reps. IAPD ↗foreign
$1.45B RAUM · 14 reps · 1 929 226 1447 · iconinfrastructure.com
43
BFI INFINITY LTD. — now reports 3 private fund(s) ($46.8M gross). IAPD ↗foreign
$600.8M RAUM · 14 reps · +41 58 806 2210
43
MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC — notice-filed in CO, LA, MO, NC, NY, PA, PR. IAPD ↗institutional
$644.7M RAUM · 10 reps · 971.634.1500 · hyasgroup.com
42
SILCHESTER INTERNATIONAL INVESTORS — grew from 10 to 12 advisory reps. IAPD ↗foreign
$43.28B RAUM · 12 reps · 011-44207-518-7100 · silchester.com
42
HIGHCLERE INTERNATIONAL INVESTORS — grew from 10 to 12 advisory reps. IAPD ↗foreign
$2.17B RAUM · 12 reps · +44 207-258-9830 · highclereinvestors.com
42
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. — grew from 5 to 7 advisory reps. IAPD ↗foreign
$5.24B RAUM · 7 reps · 6563956970 · kotakglobal.com
41
TAVIRA FINANCIAL — grew from 10 to 13 advisory reps. IAPD ↗foreign
$531.3M RAUM · 13 reps · 44 0207 100 5100 · tavira.group
40
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 2 (661 -> 663). IAPD ↗institutional
$0 RAUM · 149 reps · 212-250-2500 · dbresearch.com
40
MANULIFE INVESTMENT MANAGEMENT TIMBERLAND AND AGRICULTURE INC — 's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗fund
$9.47B RAUM · 85 reps · 617-747-1600 · manulifeim.com
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 7 (105 -> 112). IAPD ↗institutional
$0 RAUM · 314 reps · 646-743-2734 · bankofamerica.com
40
UTI ASSET MANAGEMENT COMPANY LIMITED — grew from 48 to 53 advisory reps. IAPD ↗foreign
$0 RAUM · 53 reps · 91 022 6678 6686 · utimf.com
39
NORTHMARQ FUND MANAGEMENT, LLC — notice-filed in CA, FL, MN. IAPD ↗institutional
$505.2M RAUM · 10 reps · 503-952-0700 · morrisonstreetcapital.com
38
CREDIT SUISSE SECURITIES (USA) LLC — 's Item 11 disclosure-reporting entries rose by 1 (460 -> 461). IAPD ↗fund
$805.3M RAUM · 2 reps · (212) 325-2000 · credit-suisse.com
37
PENCE CAPITAL MANAGEMENT, LLC — notice-filed in AR. IAPD ↗institutional
$1.08B RAUM · 12 reps · 949-660-8777 · pencecapital.com
35
GENERAL INDUSTRIAL PARTNERS LLP — now reports custody of client assets ($95.0M). IAPD ↗foreign
$47.5M RAUM · 2 reps · +44 (0) 20 7496 1900 · generalindustrialpartners.com
35
CAPITAL FUND MANAGEMENT S.A. — began participating in a wrap-fee program. IAPD ↗foreign
$10.18B RAUM · 66 reps · +33-1-4949 5949 · cfm.com
34
NXT CAPITAL INVESTMENT ADVISERS, LLC — notice-filed in CT, NY. IAPD ↗fund
$6.60B RAUM · 67 reps · 312-450-8000
34
MARINER WEALTH — notice-filed in IN, OH. IAPD ↗institutional
$0 RAUM · 37 reps · 913-904-5700
34
CHOREO PARTNER ALLIANCE, LLC — notice-filed in GA, IL. IAPD ↗institutional
$0 RAUM · 0 reps · 312-702-1680 · choreoadvisors.com
32
ALBOURNE AMERICA LLC — notice-filed in MA. IAPD ↗institutional
$0 RAUM · 77 reps · 415-489-7200
30
VOSS CAPITAL, LP — filed an Item 4A succession naming VOSS CAPITAL LLC (CRD 158929) — an entity change, not a deal. IAPD ↗fund
$1.22B RAUM · 5 reps · 832-519-9427
29
TITAN FUND MANAGEMENT, LLC — notice-filed in MD, NY. IAPD ↗fund
$228.5M RAUM · 8 reps · 505-998-0163 · titan-development.com
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 2 (101 -> 103). IAPD ↗foreign
$44.97B RAUM · 75 reps · 49 69 910 12371
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (100 -> 102). IAPD ↗foreign
$1.93B RAUM · 8 reps · 011 612 8258 1234 · dws.com
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (102 -> 104). IAPD ↗foreign
$16.10B RAUM · 76 reps · 44 207 547 5344
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (102 -> 104). IAPD ↗foreign
$3.45B RAUM · 20 reps · 852-2203-8888
25
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. — 's Item 11 disclosure-reporting entries rose by 4 (15 -> 19). IAPD ↗foreign
$5.24B RAUM · 7 reps · 6563956970 · kotakglobal.com
25
CARDINAL POINT WEALTH MANAGEMENT — notice-filed in CT, GA, MA, MD, MN, NY, OH, TN. IAPD ↗foreign
$1.58B RAUM · 21 reps · 866-213-2036
20
GENERAL INDUSTRIAL PARTNERS LLP — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
$47.5M RAUM · 2 reps · +44 (0) 20 7496 1900 · generalindustrialpartners.com
17
KOTAK ALTERNATE ASSET MANAGERS LIMITED — notice-filed in CA. IAPD ↗foreign
$17.65B RAUM · 45 reps · -43360632
12
CANACCORD GENUITY WEALTH MANAGEMENT — notice-filed in NJ. IAPD ↗foreign
$92.6M RAUM · 7 reps · 604-643-7300

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.