Compliance — August 2024
Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).
578 firms opened this window in the August 2024 SEC roster: 232 state expansion, 179 new registration, 51 pending approved, 37 disclosure added, 27 headcount up, 22 custody started, 15 private funds started, 7 reorganization, 6 aum crossed 1b, 2 wrap program started.
100
HIGHMORE CAPITAL, LLC — (NEW YORK, NY) is newly SEC-registered with $2.66B RAUM and 3 advisory reps. IAPD ↗
98
BOSTONPREMIER WEALTH — (HANOVER, MA) is newly SEC-registered with $322.4M RAUM and 5 advisory reps. IAPD ↗
98
OASIS WEALTH PLANNING ADVISORS — (location n/a) is newly SEC-registered with $254.4M RAUM and 5 advisory reps. IAPD ↗
95
AMERICAN INVESTMENT ADVISORS INC — (MADISON, WI) is newly SEC-registered with $114.0M RAUM and 2 advisory reps. IAPD ↗
95
STEWARDSHIP CAPITAL — (INDEPENDENCE, MO) is newly SEC-registered with $136.3M RAUM and 3 advisory reps. IAPD ↗
95
PEAK INVESTMENT ADVISORS, INC. — (COLORADO SPRINGS, CO) is newly SEC-registered with $130.5M RAUM and 1 advisory reps. IAPD ↗
95
TREGER & ASSOCIATES — (location n/a) is newly SEC-registered with $130.0M RAUM and 2 advisory reps. IAPD ↗
95
DESMOND WEALTH MANAGEMENT, INC. — (WALNUT CREEK, CA) is newly SEC-registered with $103.2M RAUM and 2 advisory reps. IAPD ↗
95
J M BROWN FINANCIAL PARTNERS — (TULSA, OK) is newly SEC-registered with $120.0M RAUM and 4 advisory reps. IAPD ↗
95
SULLIVAN FINANCIAL, LLC — (ESSEX, CT) is newly SEC-registered with $103.8M RAUM and 2 advisory reps. IAPD ↗
95
SONAS FINANCIAL GROUP, INC. — (KANSAS CITY, MO) is newly SEC-registered with $116.9M RAUM and 2 advisory reps. IAPD ↗
95
BROUSSARD FINANCIAL GROUP, LLC — (KAPLAN, LA) is newly SEC-registered with $100.4M RAUM and 1 advisory reps. IAPD ↗
95
COMPASS FINANCIAL GROUP, INC. — (DUBLIN, OH) is newly SEC-registered with $114.8M RAUM and 2 advisory reps. IAPD ↗
95
HULL WEALTH MANAGEMENT — (MURFREESBORO, TN) is newly SEC-registered with $128.0M RAUM and 2 advisory reps. IAPD ↗
95
OFC WEALTH MANAGEMENT — (location n/a) is newly SEC-registered with $122.2M RAUM and 2 advisory reps. IAPD ↗
95
CFS WEALTH MANAGEMENT — (MACON, GA) is newly SEC-registered with $135.6M RAUM and 3 advisory reps. IAPD ↗
95
TOWNSEND FINANCIAL PLANNING — (MT. STERLING, KY) is newly SEC-registered with $116.0M RAUM and 3 advisory reps. IAPD ↗
95
AQUA CAPITAL ADVISORS — (LOS ANGELES, CA) is newly SEC-registered with $120.1M RAUM and 2 advisory reps. IAPD ↗
95
PATHWAYS WEALTH MANAGEMENT, INC. — (location n/a) is newly SEC-registered with $124.8M RAUM and 2 advisory reps. IAPD ↗
95
ARBOR INVESTMENT MANAGEMENT — (ANN ARBOR, MI) is newly SEC-registered with $122.0M RAUM and 2 advisory reps. IAPD ↗
95
THE DOWLING GROUP WEALTH MANAGEMENT — (GREENWICH, CT) is newly SEC-registered with $139.7M RAUM and 3 advisory reps. IAPD ↗
95
WAYPOINTS FINANCIAL — (SEBRING, FL) is newly SEC-registered with $114.7M RAUM and 3 advisory reps. IAPD ↗
95
SIMA WEALTH PARTNERS, LLC — (NORTH CHESTERFIELD, VA) is newly SEC-registered with $135.7M RAUM and 5 advisory reps. IAPD ↗
95
QUANTUM LEAP CAPITAL, LLC — (SOUTH BURLINGTON, VT) is newly SEC-registered with $105.0M RAUM and 3 advisory reps. IAPD ↗
95
GREENWICH ADVISORS, LLC — (location n/a) is newly SEC-registered with $160.9M RAUM and 2 advisory reps. IAPD ↗
95
PINAFORE WEALTH COUNSEL INC. — (DURHAM, NC) is newly SEC-registered with $128.7M RAUM and 2 advisory reps. IAPD ↗
95
SOUNDHAVEN CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered with $120.4M RAUM and 1 advisory reps. IAPD ↗
95
ARBOR FINANCIAL — (ANN ARBOR, MI) is newly SEC-registered with $167.2M RAUM and 1 advisory reps. IAPD ↗
95
FIT WEALTH MANAGEMENT — (ENGLEWOOD, CO) is newly SEC-registered with $101.0M RAUM and 3 advisory reps. IAPD ↗
95
BYRON PLACE CAPITAL MANAGEMENT, LLC — (METUCHEN, NJ) is newly SEC-registered with $28.8M RAUM and 1 advisory reps. IAPD ↗
95
MARSH WEALTH MANAGEMENT, LLC — (KNOXVILLE, TN) is newly SEC-registered with $138.5M RAUM and 2 advisory reps. IAPD ↗
95
DUET ADVISORY SERVICES LLC — (BINGHAM FARMS, MI) is newly SEC-registered with $239.4M RAUM and 2 advisory reps. IAPD ↗
95
INTEGRATED PLANNING & WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $68.1M RAUM and 3 advisory reps. IAPD ↗
95
DAVIS WEALTH ADVISORS — (SALEM, NH) is newly SEC-registered with $135.8M RAUM and 3 advisory reps. IAPD ↗
95
WALL STREET FINANCIAL GROUP, INC. — (CARLINVILLE, IL) is newly SEC-registered with $115.6M RAUM and 3 advisory reps. IAPD ↗
95
THE ADVISORS GROUP — (LUBBOCK, TX) is newly SEC-registered with $109.8M RAUM and 2 advisory reps. IAPD ↗
95
FAMILY LEGACY PLANNING — (BENTONVILLE, AR) is newly SEC-registered with $112.1M RAUM and 3 advisory reps. IAPD ↗
95
APPLE TREE ASSET MANAGEMENT, LLC — (FORT WAYNE, IN) is newly SEC-registered with $115.1M RAUM and 6 advisory reps. IAPD ↗
95
BENCHMARK WEALTH MANAGEMENT — (BLUE ASH, OH) is newly SEC-registered with $120.6M RAUM and 3 advisory reps. IAPD ↗
95
ODYSSEY CAPITAL ADVISORS INC. — (BALA CYNWYD, PA) is newly SEC-registered with $122.1M RAUM and 3 advisory reps. IAPD ↗
95
HILTON HEAD CAPITAL PARTNERS, LLC — (HILTON HEAD ISLAND, SC) is newly SEC-registered with $228.2M RAUM and 2 advisory reps. IAPD ↗
95
MAVEN CAPITAL PARTNERS, LLC — (ATLANTA, GA) is newly SEC-registered with $107.3M RAUM and 4 advisory reps. IAPD ↗
95
ASTRA VENTURES — (location n/a) is newly SEC-registered with $128.4M RAUM and 2 advisory reps. IAPD ↗
95
MANUKA FINANCIAL — (location n/a) is newly SEC-registered with $109.2M RAUM and 1 advisory reps. IAPD ↗
95
RIVER'S EDGE — (BEAVER, PA) is newly SEC-registered with $102.3M RAUM and 3 advisory reps. IAPD ↗
95
BERGEN PARK CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
95
DAYTONA STREET CAPITAL — (SAINT LOUIS, MO) is newly SEC-registered with $141.6M RAUM and 4 advisory reps. IAPD ↗
95
BFI WEALTH SOLUTIONS, LLC — (DALLAS, TX) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗
95
MONTHIE WEALTH ADVISORS — (LATHAM, NY) is newly SEC-registered with $29.4M RAUM and 2 advisory reps. IAPD ↗
95
SAVVLY ADVISOR — (BOULDER, CO) is newly SEC-registered (provisional 120-day approval) with $75,208 RAUM and 1 advisory reps. IAPD ↗
95
SOLANO WEALTH MANAGEMENT — (FAIRFIELD, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
MDRN CAPITAL — (ANNAPOLIS, MD) is newly SEC-registered with $101.6M RAUM and 7 advisory reps. IAPD ↗
95
STONE WALL FINANCIAL GROUP LLC — (SAN ANTONIO, TX) is newly SEC-registered with $1.4M RAUM and 1 advisory reps. IAPD ↗
95
EL CASTILLO INVESTMENTS — (location n/a) is newly SEC-registered with $50,000 RAUM and 1 advisory reps. IAPD ↗
95
BARNES DENNIG PRIVATE WEALTH MANAGEMENT, LLC — (CINCINNATI, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
ASHTON THOMAS ADVISORS LLC — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ALLEGIANT WEALTH ADVISORS, LLC — (TULSA, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
95
RBT WEALTH LLC — (NEWBURGH, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
CONCURRENT ASSET MANAGEMENT, LLC — (TAMPA, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
BLUE JEAN FINANCIAL LLC — (ALBANY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
95
THE ENSEMBLE TEAM — (SEATTLE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
CALIBER WEALTH MANAGEMENT, LLC — (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗
95
EMPOWER PRIVATE WEALTH — (SARASOTA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
DA WEALTH ADVISORS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
STURMAN WEALTH ADVISORS — (CHARLOTTESVILLE, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MOMENTUM WEALTH PLANNING — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
PRESCOTT TAX AND WEALTH MANAGEMENT — (SAN JUAN CAPISTRANO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
HAMPTON ROCK WEALTH MANAGEMENT — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BRIDGE GENERATIONS WEALTH MANAGEMENT — (SOUTH MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
AGP FRANKLIN, LLC — (FRANKLIN, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
95
PANDORA WEALTH, INC. — (OAKBROOK TERRACE, IL) is newly SEC-registered with $205.1M RAUM and 3 advisory reps. IAPD ↗
95
PREMIER PRIVATE WEALTH MANAGEMENT, LLC — (PALM HARBOR, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
GENEVA FINANCIAL GROUP — (JACKSON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
AVIATOR WEALTH GROUP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
KEYVANTAGE WEALTH ADVISORS — (BETHLEHEM, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
TRUEHAVEN CAPITAL — (BRADENTON, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
DEFINED PURPOSE CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WAYVE CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $146.0M RAUM and 3 advisory reps. IAPD ↗
95
SEAL COVE CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SERENUS WEALTH ADVISORS, LLC — (SANTA MONICA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BENTHAM WEALTH ADVISORS — (WILLIAMSVILLE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MASTER RIA, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MOSTT INC. — (SHERMAN OAKS, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MAY HILL CAPITAL, LLC — (COHASSET, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
WAVVEST WEALTH — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ARGENTARII, LLC — (CINCINNATI, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
SYRIOS WEALTH MANAGEMENT GROUP — (LA JOLLA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
IFC ADVISORS LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
95
DEGREEN PRIVATE WEALTH, LLC — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
NN INVESTMENT ADVISORY, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WEALTHPOINT FINANCIAL LLC — (CRAMERTON, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
MAXX WEALTH ADVISORS — (BOCA RATON, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
J. L. BAINBRIDGE & CO., INC. — crossed $1B in regulatory AUM ($963.5M -> $1.11B). IAPD ↗
85
FALCON WEALTH PLANNING, INC. — crossed $1B in regulatory AUM ($825.8M -> $1.02B). IAPD ↗
85
SEASONS OF ADVICE WEALTH MANAGEMENT — crossed $1B in regulatory AUM ($931.8M -> $1.03B). IAPD ↗
85
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC — grew from 0 to 615 advisory reps. IAPD ↗
85
THE COLONY GROUP, LLC — grew from 315 to 630 advisory reps. IAPD ↗
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC — grew from 99 to 122 advisory reps. IAPD ↗
80
WELLTH ADVISORY SERVICES, LLC — grew from 1 to 67 advisory reps. IAPD ↗
78
ASHTON THOMAS PRIVATE WEALTH — grew from 47 to 55 advisory reps. IAPD ↗
75
CONCURRENT INVESTMENT ADVISORS, LLC — grew from 118 to 123 advisory reps. IAPD ↗
75
BRIDGES INVESTMENT MANAGEMENT INC — now reports 1 private fund(s) ($10.1M gross). IAPD ↗
73
THE PINES WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
73
MASTER'S WEALTH MANAGEMENT INC. — 's provisional registration is now fully approved. IAPD ↗
73
FIRESIDE CAPITAL ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
FAIRVOY PRIVATE WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
73
CARNEGIE LAKE ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
73
RATSON ADVISORY LLC — 's provisional registration is now fully approved. IAPD ↗
73
AURDAN CAPITAL MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
73
FELLOWSHIP FINANCIAL PLANNING — 's provisional registration is now fully approved. IAPD ↗
73
ALTERI WEALTH — 's provisional registration is now fully approved. IAPD ↗
73
ONE WEALTH CAPITAL MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
73
IRON FINANCIAL LLC — now reports 1 private fund(s) ($4.3M gross). IAPD ↗
72
QP GLOBAL FAMILY OFFICES, LLC — grew from 6 to 8 advisory reps. IAPD ↗
72
BRIDGEPORT FINANCIAL SOLUTIONS — grew from 0 to 7 advisory reps. IAPD ↗
71
THE MARSHALL FINANCIAL GROUP LLC — grew from 5 to 8 advisory reps. IAPD ↗
70
SMITH SHELLNUT WILSON — now reports custody of client assets ($530.4M). IAPD ↗
70
ALM FIRST FINANCIAL ADVISORS LLC — now reports custody of client assets ($25.0M). IAPD ↗
70
CAHABA WEALTH MANAGEMENT, INC. — now reports custody of client assets ($366.4M). IAPD ↗
70
DENT WEALTH ADVISORS — grew from 2 to 4 advisory reps. IAPD ↗
70
PENOBSCOT FINANCIAL ADVISORS — grew from 7 to 9 advisory reps. IAPD ↗
70
SAVVY LABS INC — 's provisional registration is now fully approved. IAPD ↗
70
WILIAN SECURITIES, LLC — 's provisional registration is now fully approved. IAPD ↗
70
STIRLING FINANCIAL GROUP — 's provisional registration is now fully approved. IAPD ↗
70
LORD AND RICHARDS — 's provisional registration is now fully approved. IAPD ↗
70
TRUST INVESTMENT ADVISORS WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
ANCHOR WEALTH MANAGEMENT GROUP LLC — 's provisional registration is now fully approved. IAPD ↗
70
DEMETER TACTICAL INVESTMENTS CORP. — 's provisional registration is now fully approved. IAPD ↗
70
CATALYST WEALTH MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
70
INMAN JAGER WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
ROCKBRIDGE CAPITAL MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
FCIG WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
EXPRESSIVE WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
70
CRUSONIA WEALTH ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
70
MERKKURI WEALTH ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
70
FULL FINANCIAL INC. — 's provisional registration is now fully approved. IAPD ↗
70
BRANDYWINE ASSET MANAGEMENT — now reports 1 private fund(s) ($80.0M gross). IAPD ↗
68
TAYLOR FRIGON CAPITAL MANAGEMENT LLC — now reports custody of client assets ($75.4M). IAPD ↗
68
POWER WEALTH MANAGEMENT — now reports custody of client assets ($67.4M). IAPD ↗
68
COMMONWEALTH FINANCIAL SERVICES — now reports custody of client assets ($149.3M). IAPD ↗
68
FIRESIDE CAPITAL ADVISORS — now reports custody of client assets ($34.2M). IAPD ↗
68
ALTERI WEALTH — now reports custody of client assets ($650,000). IAPD ↗
68
SMARTPATH ADVISORS — grew from 8 to 11 advisory reps. IAPD ↗
68
SAVVY LABS INC — grew from 8 to 11 advisory reps. IAPD ↗
68
MARIDEA WEALTH MANAGEMENT — grew from 4 to 7 advisory reps. IAPD ↗
67
HIGHLAND INVESTMENT ADVISORS LLC — grew from 8 to 10 advisory reps. IAPD ↗
67
STIRLING FINANCIAL GROUP — grew from 1 to 3 advisory reps. IAPD ↗
67
ROCKBRIDGE CAPITAL MANAGEMENT — grew from 1 to 3 advisory reps. IAPD ↗
67
KILTER GROUP — grew from 2 to 4 advisory reps. IAPD ↗
65
FARRELL FINANCIAL — now reports custody of client assets ($4.1M). IAPD ↗
65
ANCHOR WEALTH MANAGEMENT GROUP LLC — now reports custody of client assets ($20.2M). IAPD ↗
65
WEAVER C. BARKSDALE & ASSOCIATES, INC. — began participating in a wrap-fee program. IAPD ↗
63
MASTER'S WEALTH MANAGEMENT INC. — began participating in a wrap-fee program. IAPD ↗
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 1 (158 -> 159). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (647 -> 648). IAPD ↗
55
RBC CAPITAL MARKETS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (228 -> 229). IAPD ↗
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 3 (103 -> 106). IAPD ↗
55
WELLINGTON MANAGEMENT COMPANY LLP — 's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
55
ONEDIGITAL INVESTMENT ADVISORS — 's Item 11 disclosure-reporting entries rose by 5 (7 -> 12). IAPD ↗
55
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (24 -> 26). IAPD ↗
55
VOYA INVESTMENT MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (4 -> 5). IAPD ↗
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 3 (103 -> 106). IAPD ↗
55
MORGAN STANLEY — 's Item 11 disclosure-reporting entries rose by 1 (242 -> 243). IAPD ↗
55
INTEGRATED ADVISORS NETWORK LLC — 's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
55
GROVE POINT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗
55
AMERITAS ADVISORY SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 2 (24 -> 26). IAPD ↗
55
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS — notice-filed in AR, HI, IA, ID, KS, MO, MS, MT, ND, NM, PR, RI, SD. IAPD ↗
55
M FINANCIAL ASSET MANAGEMENT, INC. — notice-filed in CT, IA, IL, LA, MI, NC, NJ, NY. IAPD ↗
55
DIVERSIFY ADVISORY SERVICES, LLC — notice-filed in AR, CT, DC, GA, IA, ID, IN, KS, KY, LA, MA, MD, ME, MI, MN, MS, NC, NE, NH, NM, NV, OH, OK, RI, SD, TN, VT, WA, WI, WV, WY. IAPD ↗
53
BNA WEALTH — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
PVG ASSET MANAGEMENT CORP — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
CONCORDE ASSET MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (13 -> 15). IAPD ↗
53
KINGDOM FINANCIAL GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
53
KINGDON CAPITAL MANAGEMENT, L.L.C. — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
GOLDEN STATE EQUITY PARTNERS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
53
CARNEGIE LAKE ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
ONE WEALTH CAPITAL MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
DENALI ADVISORS, LLC — notice-filed in AK, AL, AR, AZ, CO, CT, DC, DE, FL, GA, HI, IA, ID, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY. IAPD ↗
53
DT INVESTMENT PARTNERS, LLC — notice-filed in LA, NC, NJ, NY. IAPD ↗
53
BRASS TAX WEALTH MANAGEMENT — notice-filed in AZ, CA, KY, NC, TN. IAPD ↗
53
CONVERGENCE FINANCIAL — notice-filed in AZ, IA, NE, NY, PA, VA. IAPD ↗
53
SMART WEALTH, LLC — notice-filed in IN, KY, MD, NV, OH, VA. IAPD ↗
53
VANTAGE FINANCIAL PARTNERS, LLC — notice-filed in CO, GA, IN, KY, PA, WV. IAPD ↗
53
CENTURION WEALTH MANAGEMENT — notice-filed in CA, CT, DC, FL, LA, MA, MD, NC, NH, NJ, NY, TN. IAPD ↗
53
CONCURRENT INVESTMENT ADVISORS, LLC — notice-filed in DE, RI, SD, WY. IAPD ↗
53
UNITED ADVISOR GROUP — notice-filed in AR, AZ, GA, LA, NY, OK, PA, VA. IAPD ↗
53
THE PINES WEALTH MANAGEMENT, LLC — notice-filed in CA, MD, NH, NJ, TX, VA. IAPD ↗
53
EAGLE WEALTH MANAGEMENT GROUP INC. — notice-filed in AZ, GA, NV, PA, SC, TX. IAPD ↗
53
FAIRVOY PRIVATE WEALTH, LLC — notice-filed in FL, GA, LA, MS, NH, NY, TN, TX. IAPD ↗
53
DIVERSIFY WEALTH MANAGEMENT, LLC — notice-filed in AK, AL, AR, CA, CT, DC, GA, HI, IA, ID, IL, IN, KS, KY, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NH, NJ, NM, NV, NY, OH, OK, OR, RI, SC, SD, TN, VT, WI, WV, WY. IAPD ↗
53
FELLOWSHIP FINANCIAL PLANNING — notice-filed in AZ, CA, FL, MT, OR, TX. IAPD ↗
51
AVIOR WEALTH MANAGEMENT, LLC — notice-filed in MA, MT, PA. IAPD ↗
51
WR WEALTH PLANNERS LLC — notice-filed in CA, SC, TN, WI. IAPD ↗
51
CARRICK LANE LLC — notice-filed in AZ, DE, MI. IAPD ↗
50
MUTUAL OF OMAHA INVESTOR SERVICES, INC. — 's Item 11 disclosure-reporting entries rose by 2 (31 -> 33). IAPD ↗
50
MASTERWORKS ADVISERS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
50
GLENORCHY CAPITAL LIMITED — notice-filed in HI, MN, MO, OR, TN, WA. IAPD ↗
50
TREASURY INTERACTIVE INVESTMENT ADVISERS LLC — notice-filed in AK, AL, AR, CT, HI, ID, KY, MO, MT, NV, VT, WV. IAPD ↗
50
DEMETER TACTICAL INVESTMENTS CORP. — notice-filed in FL, IN, LA, MD, NC, OH, TX, VA, WI. IAPD ↗
50
ROCKBRIDGE CAPITAL MANAGEMENT — notice-filed in CA, DC, FL, GA, HI, MD, SC. IAPD ↗
50
WELLTH ADVISORY SERVICES, LLC — notice-filed in CO, CT, DC, KS, LA, MA, ME, MO, MS, NE, NH, PA, UT, WV. IAPD ↗
49
PLAN GROUP FINANCIAL, INC. — notice-filed in AZ, GA, NC. IAPD ↗
49
THE RETIREMENT PLANNING GROUP, LLC — notice-filed in NJ, NY. IAPD ↗
49
TIEDEMANN ADVISORS, LLC — notice-filed in IL, MN. IAPD ↗
49
KINGDOM FINANCIAL GROUP, LLC — notice-filed in FL, MO, SC. IAPD ↗
49
GREENUP STREET WEALTH MANAGEMENT LLC — notice-filed in GA, KY, OR. IAPD ↗
49
SMITH THORNTON ADVISORS, LLC — notice-filed in FL, GA, TN. IAPD ↗
49
ARMSTRONG ADVISORY GROUP INC. — notice-filed in LA, MN. IAPD ↗
48
917 ADVISORY SERVICES LLC — notice-filed in CA, ID, MT, OR. IAPD ↗
47
CANTERBURY CONSULTING INCORPORATED — notice-filed in CO. IAPD ↗
47
PRIVATE MANAGEMENT GROUP INC — notice-filed in AL. IAPD ↗
47
WINGATE WEALTH ADVISORS, INC. — notice-filed in MD. IAPD ↗
47
BARROW HANLEY GLOBAL INVESTORS — notice-filed in HI. IAPD ↗
47
VANTAGE FINANCIAL GROUP, INC. — notice-filed in OR, VA. IAPD ↗
47
F L PUTNAM INVESTMENT MANAGEMENT CO. — notice-filed in LA. IAPD ↗
47
ONEDIGITAL INVESTMENT ADVISORS — notice-filed in VI. IAPD ↗
47
WINDWARD CAPITAL MANAGEMENT CO — notice-filed in AZ. IAPD ↗
47
MSA FINANCIAL — notice-filed in WA. IAPD ↗
47
J. L. BAINBRIDGE & CO., INC. — notice-filed in IN. IAPD ↗
47
NORTHWEST CAPITAL MANAGEMENT INC. — notice-filed in TX. IAPD ↗
47
MANCHESTER CAPITAL MANAGEMENT LLC — notice-filed in NY. IAPD ↗
47
FINANCIAL SECURITY ADVISORY INC — notice-filed in DC. IAPD ↗
47
BENIN MANAGEMENT CORP — notice-filed in PA, SC. IAPD ↗
47
FINANCIAL & TAX ARCHITECTS, LLC — notice-filed in AL, IN. IAPD ↗
47
AVIDIAN WEALTH SOLUTIONS — notice-filed in IL. IAPD ↗
47
ESSEX FINANCIAL SERVICES, INC. — notice-filed in LA. IAPD ↗
47
MJP WEALTH ADVISORS — notice-filed in OH. IAPD ↗
47
SUMMITRY, LLC — notice-filed in MO. IAPD ↗
47
STAIRWAY PARTNERS, LLC — notice-filed in CO. IAPD ↗
47
J.J. BURNS & COMPANY — notice-filed in GA, NC. IAPD ↗
47
CLINTON INVESTMENT MANAGEMENT, LLC — notice-filed in DE. IAPD ↗
47
INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC — notice-filed in AZ, GA. IAPD ↗
47
CORE CAPITAL MANAGEMENT AND RESEARCH INC. — notice-filed in MN. IAPD ↗
47
MALAGA COVE CAPITAL, LLC — notice-filed in AZ, NH. IAPD ↗
47
SOVEREIGN INVESTMENT ADVISORS LLC — notice-filed in NE. IAPD ↗
47
MODERA WEALTH MANAGEMENT, LLC — notice-filed in VT. IAPD ↗
47
PROSPERITY CAPITAL ADVISORS — notice-filed in SD. IAPD ↗
47
EAST ROCK CAPITAL, LLC — notice-filed in FL. IAPD ↗
47
CLARO ADVISORS, LLC — notice-filed in VT. IAPD ↗
47
TRUE PRIVATE WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
47
B.O.S.S. RETIREMENT ADVISORS, LLC — notice-filed in OK, VT. IAPD ↗
47
GLOBAL RETIREMENT PARTNERS LLC — notice-filed in VI. IAPD ↗
47
FORT PITT CAPITAL GROUP, LLC — notice-filed in AL. IAPD ↗
47
KOVITZ INVESTMENT GROUP PARTNERS, LLC — notice-filed in SD. IAPD ↗
47
REQUISITE CAPITAL MANAGEMENT LLC — notice-filed in AZ. IAPD ↗
47
BOGART WEALTH, LLC — notice-filed in WA. IAPD ↗
47
VANGUARD PERSONALIZED INDEXING MANAGEMENT — notice-filed in IL. IAPD ↗
47
PENOBSCOT FINANCIAL ADVISORS — notice-filed in NC, PA. IAPD ↗
47
VENTURE VISIONARY PARTNERS LLC — notice-filed in WA. IAPD ↗
47
VON BORSTEL & ASSOCIATES — notice-filed in CO, ID. IAPD ↗
47
SONORA INVESTMENT MANAGEMENT — notice-filed in LA. IAPD ↗
47
PRIVATE WEALTH ASSET MANAGEMENT — notice-filed in MN. IAPD ↗
47
PREMIER PATH WEALTH PARTNERS, LLC — notice-filed in GA, NC. IAPD ↗
47
SYNTRINSIC LLC — notice-filed in VA. IAPD ↗
46
RELATION WEALTH MANAGEMENT, INC. — notice-filed in AR, NC, TX. IAPD ↗
45
RODGERS & ASSOCIATES — filed an Item 4A succession naming RODGERS & ASSOCIATES (CRD 121700) — an entity change, not a deal. IAPD ↗
45
TOBIAS FINANCIAL ADVISORS — notice-filed in MA. IAPD ↗
45
EXCHANGE CAPITAL MANAGEMENT INC — notice-filed in CO. IAPD ↗
45
BURT WEALTH ADVISORS — notice-filed in NH. IAPD ↗
45
SIGNET FINANCIAL MANAGEMENT, LLC — notice-filed in AZ. IAPD ↗
45
NIGHT OWL CAPITAL MANAGEMENT, LLC — notice-filed in LA. IAPD ↗
45
WFA ASSET MANAGEMENT CORP — notice-filed in AZ. IAPD ↗
45
ASSET ADVISORY GROUP, INC. — notice-filed in TX. IAPD ↗
45
FRAZIER FINANCIAL ADVISORS, LLC — notice-filed in WA. IAPD ↗
45
SK WEALTH MANAGEMENT, LLC — notice-filed in NY. IAPD ↗
45
EVANS CAPITAL MANAGEMENT ASSOCIATES — notice-filed in TX. IAPD ↗
45
MILLENNIUM ADVISORY SERVICES, INC. — notice-filed in DC. IAPD ↗
45
WRIGHT ASSOCIATES — notice-filed in NY. IAPD ↗
45
QUANTUM FINANCIAL SERVICES INC. — notice-filed in CA. IAPD ↗
45
DOPKINS WEALTH MANAGEMENT, LLC — notice-filed in MA. IAPD ↗
45
JEFFREY N. MEHLER, CFP LLC — notice-filed in NJ. IAPD ↗
45
THE INSTITUTE — notice-filed in TN. IAPD ↗
45
GENERATION CAPITAL MANAGEMENT LLC — notice-filed in OH. IAPD ↗
45
PERENNIAL ADVISORS GROUP, LLC — notice-filed in ME. IAPD ↗
45
WATTS GWILLIAM & COMPANY, LLC — notice-filed in NC. IAPD ↗
45
CL WEALTH MANAGEMENT LLC — notice-filed in ME. IAPD ↗
45
ARCHER INVESTMENT CORPORATION — notice-filed in HI. IAPD ↗
45
EDGE FINANCIAL ADVISORS, LLC — notice-filed in CA. IAPD ↗
45
STONE HOUSE INVESTMENT MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
45
CEDAR MOUNTAIN ADVISORS, LLC — notice-filed in WI. IAPD ↗
45
PEIRCE CAPITAL MANAGEMENT, LLC — notice-filed in NH. IAPD ↗
45
BAYSHORE WEALTH ADVISORS — notice-filed in TX. IAPD ↗
45
CAPE INVESTMENT ADVISORY, INC. — notice-filed in UT. IAPD ↗
45
CMH WEALTH MANAGEMENT, LLC — notice-filed in PA. IAPD ↗
45
LATITUDE ADVISORS, LLC — notice-filed in WI. IAPD ↗
45
CHERRY TREE WEALTH MANAGEMENT, LLC — notice-filed in MI. IAPD ↗
45
STRATEGIC INVESTMENT ADVISORS, LLC — notice-filed in NV. IAPD ↗
45
FINANCIAL CONCEPTS — notice-filed in IL. IAPD ↗
45
UNITED CAPITAL MANAGEMENT OF KANSAS, INC. — notice-filed in WI. IAPD ↗
45
SOLOMON API LLC — notice-filed in IL. IAPD ↗
45
OAK GROVE CAPITAL, LLC — notice-filed in NJ. IAPD ↗
45
OCCIDENTAL ASSET MANAGEMENT, LLC — notice-filed in VA. IAPD ↗
45
JPS FINANCIAL, LLC — notice-filed in TX. IAPD ↗
45
BLUEPRINT INVESTMENT PARTNERS LLC — notice-filed in TX. IAPD ↗
45
GEOMETRIC WEALTH ADVISORS, LLC — notice-filed in NC. IAPD ↗
45
FIDUCIARY FINANCIAL ADVISORS — notice-filed in MD. IAPD ↗
45
KEELER & NADLER FAMILY WEALTH — notice-filed in NC. IAPD ↗
45
LINEWEAVER WEALTH ADVISORS — notice-filed in NC. IAPD ↗
45
MIDWEST FINANCIAL GROUP LLC — notice-filed in IL. IAPD ↗
45
GIBBS WEALTH MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
45
HILLTOP WEALTH ADVISORS, LLC — notice-filed in GA. IAPD ↗
45
PLUM STREET ADVISORS, LLC — notice-filed in SC. IAPD ↗
45
CLARK ASSET MANAGEMENT, LLC — notice-filed in TN. IAPD ↗
45
SFG WEALTH MANAGEMENT — notice-filed in OH. IAPD ↗
45
O'KEEFE STEVENS ADVISORY, INC. — notice-filed in DC. IAPD ↗
45
LITTLE HOUSE CAPITAL, LLC — notice-filed in DE. IAPD ↗
45
CENTURA WEALTH ADVISORY — notice-filed in PA. IAPD ↗
45
MEADOW CREEK WEALTH ADVISORS, LLC — notice-filed in LA. IAPD ↗
45
WEALTHSPRING CAPITAL LLC — notice-filed in IL. IAPD ↗
45
MADISON PARTNERS — notice-filed in TN. IAPD ↗
45
VELA INVESTMENT MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
45
ATTESSA CAPITAL LLC — notice-filed in CA. IAPD ↗
45
INTERCHANGE CAPITAL PARTNERS — notice-filed in MA. IAPD ↗
45
RETIREMENT PLANNING SOLUTIONS, LLC — notice-filed in SC. IAPD ↗
45
UNIQUE WEALTH, LLC — notice-filed in NJ. IAPD ↗
45
GOLDEN STATE ASSET MANAGEMENT — notice-filed in WY. IAPD ↗
45
KOOMAN & ASSOCIATES — notice-filed in SC. IAPD ↗
45
UPTICK PARTNERS, LLC — notice-filed in AL. IAPD ↗
45
FIDUCIARY BENEFITS GROUP — notice-filed in ID. IAPD ↗
45
DRUCKER WEALTH — notice-filed in LA. IAPD ↗
45
AURDAN CAPITAL MANAGEMENT, LLC — notice-filed in NJ. IAPD ↗
44
SMITH ASSET MANAGEMENT CO., LLC — notice-filed in NC, TN. IAPD ↗
44
SOUTHEAST FINANCIAL GROUP — notice-filed in IL, MA. IAPD ↗
44
ASSUREDPARTNERS INVESTMENT ADVISORS — notice-filed in MO, UT. IAPD ↗
44
ENVISION FINANCIAL LLC — notice-filed in FL, IL. IAPD ↗
44
DISCIPLINE WEALTH SOLUTIONS, INC. — notice-filed in NJ, NY. IAPD ↗
44
EARNED WEALTH — notice-filed in LA, VA. IAPD ↗
44
FUNDIFY ADVISORS LLC — notice-filed in CA, FL. IAPD ↗
44
WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC — notice-filed in FL, MA. IAPD ↗
44
POSITION WEALTH — notice-filed in AZ, NV. IAPD ↗
44
ACCELERATE RETIREMENT — notice-filed in FL, OR. IAPD ↗
44
WEALTHCARE CAPITAL PARTNERS, LLC — notice-filed in IA, VA. IAPD ↗
43
FINANCIAL COUNCIL, LLC — filed an Item 4A succession naming FINANCIAL COUNCIL, LLC (CRD 110748) — an entity change, not a deal. IAPD ↗
42
NORTHLAND ASSET MANAGEMENT — notice-filed in VT. IAPD ↗
42
GARDEY FINANCIAL ADVISORS INC — notice-filed in MA. IAPD ↗
42
FLYING POINT FINANCIAL, INC. — notice-filed in SC. IAPD ↗
42
MWA FINANCIAL SERVICES, INC. — notice-filed in CT. IAPD ↗
42
CLARITY ASSET MANAGEMENT, INC. — notice-filed in NE. IAPD ↗
42
TURLOFF FINANCIAL CONSULTING INC. — notice-filed in TX. IAPD ↗
42
MICHAEL J. PORRO & CO. FINANCIAL ADVISOR INC — notice-filed in FL. IAPD ↗
42
ECONOLOGICS FINANCIAL ADVISORS — notice-filed in WA. IAPD ↗
42
FINLEY FINANCIAL, LLC — notice-filed in NV. IAPD ↗
42
TURNER FINANCIAL GROUP, INC. — notice-filed in DE. IAPD ↗
42
GUNDERSON CAPITAL MANAGEMENT — notice-filed in NY. IAPD ↗
42
HIGHLAND INVESTMENT ADVISORS LLC — notice-filed in TX. IAPD ↗
42
YANNI & ASSOCIATES INVESTMENT ADVISORS, LLC — notice-filed in CA. IAPD ↗
42
FREESTATE ADVISORS LLC — notice-filed in AZ. IAPD ↗
42
MAIN STREET INVESTMENT ADVISORS, LLC — notice-filed in CA. IAPD ↗
42
ELE ADVISORY SERVICES, INC — notice-filed in SC. IAPD ↗
42
BREAKWATER INVESTMENT MANAGEMENT — notice-filed in VA. IAPD ↗
42
PHYSICIAN WEALTH SOLUTIONS — notice-filed in TN. IAPD ↗
42
WELCY CAPITAL ADVISORS LLC — notice-filed in NJ. IAPD ↗
42
ALLOS INVESTMENT ADVISORS, LLC — notice-filed in AR. IAPD ↗
42
WAYPOINT WEALTH MANAGEMENT — notice-filed in VA. IAPD ↗
42
WEALTHTRAK ADVISORS — notice-filed in SC. IAPD ↗
42
LANDMARK WEALTH ADVISORS, LLC — notice-filed in TX. IAPD ↗
42
YES WEALTH MANAGEMENT — notice-filed in MI. IAPD ↗
42
MARSHALL INVESTMENT MANAGEMENT, LLC — notice-filed in PA. IAPD ↗
42
CITY CENTER ADVISORS, LLC — notice-filed in NV. IAPD ↗
42
GOODSTEIN WEALTH MANAGEMENT LLC — notice-filed in WA. IAPD ↗
42
DUNHAM LANE CAPITAL PARTNERS LLC — notice-filed in CT. IAPD ↗
42
RETIREWISE TAX AND WEALTH ADVISORS, INC. — notice-filed in NE. IAPD ↗
42
SIEBERT ADVISORNXT, LLC. — notice-filed in IA. IAPD ↗
42
CEDAR SPRING ADVISORS, LLC — notice-filed in NJ. IAPD ↗
42
BROOKLYN FI, LLC — notice-filed in MT. IAPD ↗
42
ORBA WEALTH ADVISORS, LLC — notice-filed in WY. IAPD ↗
42
MERITED WEALTH, LLC — notice-filed in WI. IAPD ↗
42
KAUFMAN ROSSIN WEALTH, LLC — notice-filed in TX. IAPD ↗
42
AEGIS WEALTH MANAGEMENT, INC. — notice-filed in HI. IAPD ↗
42
TAYLOR SECURITIES SERVICES, INC. — notice-filed in TX. IAPD ↗
42
SMARTPATH ADVISORS — notice-filed in IN. IAPD ↗
42
QUILITY FINANCIAL ADVISORS — notice-filed in TN. IAPD ↗
42
YEARWOOD YOUNG ADVISORS — notice-filed in NH. IAPD ↗
42
NEW AMSTERDAM WEALTH PLANNING — notice-filed in NJ. IAPD ↗
42
INTEGRATED QUANTITATIVE INVESTMENTS LLC — notice-filed in MD. IAPD ↗
42
CITY DIFFERENT INVESTMENTS — notice-filed in NY. IAPD ↗
42
ADOLOS ASSET MANAGEMENT — notice-filed in TX. IAPD ↗
42
BLUEPRINT FINANCIAL ADVISORS — notice-filed in PA. IAPD ↗
42
WEALTHTECH PARTNERS LLC — notice-filed in GA. IAPD ↗
42
WILLIAMSON LEGACY GROUP, LLC — notice-filed in CO. IAPD ↗
42
CAPITAL AND PLANNING, LLC — notice-filed in TN. IAPD ↗
42
BURR FINANCIAL SERVICES, LLC — notice-filed in WA. IAPD ↗
42
VIRTUS FINANCIAL PARTNERS — notice-filed in MN. IAPD ↗
42
CORNERSTONE ADVISORS LLC — notice-filed in GA. IAPD ↗
42
BBVA GLOBAL WEALTH ADVISORS, INC. — notice-filed in NY. IAPD ↗
42
NEW HORIZONS WEALTH MANAGEMENT — notice-filed in NH. IAPD ↗
42
210 FINANCIAL — notice-filed in LA. IAPD ↗
42
STONEPATH WEALTH MANAGEMENT — notice-filed in CO. IAPD ↗
42
CATALYST WEALTH MANAGEMENT LLC — notice-filed in PA. IAPD ↗
42
EPOGEE CAPITAL MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
42
BRADY MARTZ WEALTH SOLUTIONS, LLC — notice-filed in IA. IAPD ↗
40
MICHAEL J. PORRO & CO. FINANCIAL ADVISOR INC — filed an Item 4A succession naming MICHAEL J. PORRO & CO. FINANCIAL ADVISORS, LLC (CRD 125584) — an entity change, not a deal. IAPD ↗
40
FINLEY FINANCIAL, LLC — filed an Item 4A succession naming FINLEY FINANCIAL, LLC (CRD 131442) — an entity change, not a deal. IAPD ↗
40
INVEST CAPITAL PARTNERS — filed an Item 4A succession naming INVEST CAPITAL PARTNERS (CRD 287987) — an entity change, not a deal. IAPD ↗
40
CODEX CAPITAL ASSET MANAGEMENT, L.L.C. — filed an Item 4A succession naming CODEX CAPITAL, L.L.C. (CRD 309373) — an entity change, not a deal. IAPD ↗
88
HST VENTURES, LLC — (PARK CITY, UT) is newly SEC-registered with $286.1M RAUM and 3 advisory reps. IAPD ↗institutional
85
CAIS ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
NEOS PARTNERS, LP — (SAN DIEGO, CA) is newly SEC-registered with $1.06B RAUM and 16 advisory reps. IAPD ↗fund
85
ATLAS CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
VISDOM INVESTMENT GROUP LLC — (WESTPORT, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
BOOSTER ASSET MANAGEMENT, LLC — (WHEATON, IL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
IRTH CAPITAL MANAGEMENT, LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
AVATAR CAPITAL MANAGEMENT LLC — (SEATTLE, WA) is newly SEC-registered with $162.6M RAUM and 3 advisory reps. IAPD ↗institutional
85
PERMIRA CREDIT LLC — (MENLO PARK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗institutional
85
ECOBRIDGE CAPITAL MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
INVIDIA CAPITAL MANAGEMENT, L.P. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
3A PARTNERS, LLC — (COLUMBUS, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
GLADE ARCH CAPITAL LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
ACRISURE CAPITAL ADVISERS, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
RAVEN CREDIT CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $1.23B RAUM and 13 advisory reps. IAPD ↗fund
85
WEST BASIN CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
HERITAGE HOLDING — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps. IAPD ↗institutional
85
TRADERS A.I., INC. — (FAIRFAX, VA) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
WHITEBARK INVESTORS — (INCLINE VILLAGE, NV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
AGILE INVESTMENT MANAGEMENT, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
83
TOPLINE CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $375.0M RAUM and 1 advisory reps. IAPD ↗fund
83
TURNSPIRE CAPITAL PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered with $473.3M RAUM and 7 advisory reps. IAPD ↗fund
83
ZANBATO ADVISORS LLC — (MOUNTAIN VIEW, CA) is newly SEC-registered with $335.2M RAUM and 3 advisory reps. IAPD ↗fund
83
GODSPEED CAPITAL MANAGEMENT LP — (location n/a) is newly SEC-registered with $455.5M RAUM and 6 advisory reps. IAPD ↗fund
83
ENTRYPOINT CAPITAL, LLC — (NEW YORK, NY) is newly SEC-registered with $437.0M RAUM and 5 advisory reps. IAPD ↗fund
83
CITY CAPITAL VENTURES, LLC — (CHICAGO, IL) is newly SEC-registered with $286.1M RAUM and 8 advisory reps. IAPD ↗fund
83
PONDERA HOLDINGS LLC — (CHICAGO, IL) is newly SEC-registered with $268.3M RAUM and 4 advisory reps. IAPD ↗fund
83
CENTER CAPITAL PARTNERS LLC — (BEVERLY HILLS, CA) is newly SEC-registered with $324.6M RAUM and 6 advisory reps. IAPD ↗fund
83
ARKVIEW CAPITAL, L.P. — (STAMFORD, CT) is newly SEC-registered with $277.3M RAUM and 3 advisory reps. IAPD ↗fund
83
SEA CLIFF PARTNERS MANAGEMENT, LP — (SAN FRANCISCO, CA) is newly SEC-registered with $310.7M RAUM and 6 advisory reps. IAPD ↗fund
83
THURSTON ADVISORS — (VERO BEACH, FL) is newly SEC-registered with $315.9M RAUM and 9 advisory reps. IAPD ↗fund
83
FIRST PRINCIPLES GROUP — (location n/a) is newly SEC-registered with $340.2M RAUM and 2 advisory reps. IAPD ↗fund
83
CONNELLY CAPITAL MANAGEMENT LLC — (GUAYNABO, PR) is newly SEC-registered with $587.2M RAUM and 2 advisory reps. IAPD ↗fund
83
83
SOURCE CAPITAL, LLC — (ATLANTA, GA) is newly SEC-registered with $285.1M RAUM and 11 advisory reps. IAPD ↗fund
83
3 BOOMERANG CAPITAL, LP — (GREENWICH, CT) is newly SEC-registered with $376.3M RAUM and 8 advisory reps. IAPD ↗fund
83
BANNER CAPITAL MANAGEMENT, LLC — (LEHI, UT) is newly SEC-registered with $415.5M RAUM and 6 advisory reps. IAPD ↗fund
83
SPRINGCOAST CAPITAL PARTNERS, L.P. — (NEW YORK, NY) is newly SEC-registered with $713.8M RAUM and 8 advisory reps. IAPD ↗fund
83
OTRO CAPITAL — (NEW YORK, NY) is newly SEC-registered with $276.9M RAUM and 6 advisory reps. IAPD ↗fund
83
CYTIUM INVESTMENT MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $467.0M RAUM and 3 advisory reps. IAPD ↗fund
83
GUMSHOE CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $342.2M RAUM and 4 advisory reps. IAPD ↗fund
83
ONE FUNDS, LLC — (COLORADO SPRINGS, CO) is newly SEC-registered with $350.4M RAUM and 13 advisory reps. IAPD ↗fund
80
GREENSTONE PARTNERS, LLC — (LARKSPUR, CA) is newly SEC-registered with $219.7M RAUM and 2 advisory reps. IAPD ↗fund
80
RANGELEY CAPITAL, LLC — (NEW CANAAN, CT) is newly SEC-registered with $196.9M RAUM and 3 advisory reps. IAPD ↗fund
80
KP MANAGEMENT LLC — (location n/a) is newly SEC-registered with $206.4M RAUM and 2 advisory reps. IAPD ↗fund
80
ENGLISH CAPITAL MANAGEMENT LLC — (BLOOMFIELD HILLS, MI) is newly SEC-registered with $201.5M RAUM and 2 advisory reps. IAPD ↗fund
80
SYGNUS CAPITAL PR LLC — (GUAYNABO, PR) is newly SEC-registered with $118.0M RAUM and 3 advisory reps. IAPD ↗fund
80
BURNHAM STERLING ASSET MANAGEMENT LLC — (COS COB, CT) is newly SEC-registered with $200.0M RAUM and 4 advisory reps. IAPD ↗fund
80
CAPRIA VENTURES LLC — (SEATTLE, WA) is newly SEC-registered with $156.0M RAUM and 8 advisory reps. IAPD ↗fund
80
WHITE HAT CAPITAL PARTNERS LP — (NEW YORK, NY) is newly SEC-registered with $165.1M RAUM and 4 advisory reps. IAPD ↗fund
80
TECA PARTNERS, LP — (AUSTIN, TX) is newly SEC-registered with $173.1M RAUM and 2 advisory reps. IAPD ↗fund
80
TONKA CAPITAL PARTNERS, LLC — (MINNETONKA, MN) is newly SEC-registered with $132.4M RAUM and 3 advisory reps. IAPD ↗fund
80
AUTHENTIC VENTURES INVESTMENT MANAGER, LLC — (OAKLAND, CA) is newly SEC-registered with $151.2M RAUM and 3 advisory reps. IAPD ↗fund
80
INDEPENDENT ACCESS PARTNERS, LLC — (HUNT VALLEY, MD) is newly SEC-registered with $196.5M RAUM and 3 advisory reps. IAPD ↗fund
80
NATURAL CAPITAL — (NORTH LITTLE ROCK, AR) is newly SEC-registered with $217.0M RAUM and 10 advisory reps. IAPD ↗fund
80
CANDELO CAPITAL MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $214.4M RAUM and 4 advisory reps. IAPD ↗fund
80
LB PARTNERS LLC — (CHARLOTTESVILLE, VA) is newly SEC-registered with $190.3M RAUM and 1 advisory reps. IAPD ↗fund
80
POWER INNOVATION PARTNERS, L.P. — (NEW YORK, NY) is newly SEC-registered with $239.3M RAUM and 6 advisory reps. IAPD ↗fund
80
ARDAN EQUITY PARTNERS, LLC — (MIAMI, FL) is newly SEC-registered with $160.3M RAUM and 3 advisory reps. IAPD ↗fund
80
BLUEPRINT LOCAL LLC — (location n/a) is newly SEC-registered with $173.4M RAUM and 4 advisory reps. IAPD ↗fund
80
CROSS RAPIDS CAPITAL LP — (NEW YORK, NY) is newly SEC-registered with $225.7M RAUM and 5 advisory reps. IAPD ↗fund
80
ORVIETO PARTNERS, L.P. — (BOSTON, MA) is newly SEC-registered with $172.8M RAUM and 3 advisory reps. IAPD ↗fund
80
5TH CENTURY PARTNERS — (CHICAGO, IL) is newly SEC-registered with $241.7M RAUM and 11 advisory reps. IAPD ↗fund
80
EDEN GLOBAL ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered with $226.0M RAUM and 10 advisory reps. IAPD ↗fund
80
CUREWELL CAPITAL MANAGEMENT, LLC — (LOS ANGELES, CA) is newly SEC-registered with $173.5M RAUM and 4 advisory reps. IAPD ↗fund
80
14B CAPITAL MANAGEMENT LP — (location n/a) is newly SEC-registered with $203.1M RAUM and 2 advisory reps. IAPD ↗fund
80
TRM ADVISORS LP — (SOUTHFIELD, MI) is newly SEC-registered with $166.0M RAUM and 7 advisory reps. IAPD ↗fund
80
COASTAL INVESTMENT COMPANY, LLC — (WINTER PARK, FL) is newly SEC-registered with $161.3M RAUM and 7 advisory reps. IAPD ↗fund
80
GROVE MOUNTAIN PARTNERS, LLC — (ATLANTA, GA) is newly SEC-registered with $181.5M RAUM and 6 advisory reps. IAPD ↗fund
80
EQUITABLE PROSPERITY MANAGER LLC — (ARLINGTON, VA) is newly SEC-registered with $173.5M RAUM and 8 advisory reps. IAPD ↗fund
80
GROWTH BEVERAGE GROUP, LP — (CHICAGO, IL) is newly SEC-registered with $190.6M RAUM and 8 advisory reps. IAPD ↗fund
80
ALBERT BRIDGE CAPITAL — (NAPLES, FL) is newly SEC-registered with $105.4M RAUM and 3 advisory reps. IAPD ↗fund
80
SADDLE POINT MANAGEMENT, L.P. — (NEW YORK, NY) is newly SEC-registered with $73.2M RAUM and 4 advisory reps. IAPD ↗fund
80
SRT GROUP LLC — (WEST PALM BEACH, FL) is newly SEC-registered with $58.0M RAUM and 6 advisory reps. IAPD ↗fund
80
FORTINBRAS ENTERPRISES LP — (NEW YORK, NY) is newly SEC-registered with $122.8M RAUM and 4 advisory reps. IAPD ↗fund
80
KINTAYL CAPITAL LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗fund
80
SONE CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗fund
80
CORIGLIANO INVESTMENT ADVISERS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $11.7M RAUM and 2 advisory reps. IAPD ↗fund
75
MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC — crossed $1B in regulatory AUM ($644.7M -> $7.73B). IAPD ↗institutional
75
MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC — grew from 10 to 41 advisory reps. IAPD ↗institutional
70
70
70
70
EIGHTEEN48 PARTNERS — (LONDON, United Kingdom) is newly SEC-registered with $1.86B RAUM and 18 advisory reps. IAPD ↗foreign
70
TENSAI HOLDING COMPANY, LLC — (LONDON, United Kingdom) is newly SEC-registered with $9.33B RAUM and 37 advisory reps. IAPD ↗foreign
68
HEWARD INVESTMENT MANAGEMENT INC. — (MONTREAL, QUEBEC, Canada) is newly SEC-registered with $445.5M RAUM and 6 advisory reps. IAPD ↗foreign
65
65
PENSIONBEE — (LONDON, United Kingdom) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
65
MODEL SIX OPERATIONS INC. — (VANCOUVER, BC, Canada) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
63
LANDMARK INVESTMENT PARTNERS, L.P. — 's provisional registration is now fully approved. IAPD ↗institutional
62
60
60
60
GID MULTIFAMILY INVESTMENT MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗fund
60
APOLLO S3 RIC MANAGEMENT, L.P. — 's provisional registration is now fully approved. IAPD ↗institutional
60
BROOKFIELD ASSET MANAGEMENT CREDIT AND INSURANCE SOLUTIONS — now reports 1 private fund(s) ($0 gross). IAPD ↗fund
60
58
58
58
58
58
58
58
58
POSITIVE SELECTION INVESTMENT MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗fund
58
58
58
55
55
55
55
55
55
55
55
55
55
55
55
55
MERCER ADVISORS PRIVATE ASSET MANAGEMENT, INC. — now reports 2 private fund(s) ($31.8M gross). IAPD ↗fund
55
55
53
53
50
50
50
50
50
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 3 (103 -> 106). IAPD ↗institutional
45
ALLIANCE PARTNERS LLC — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗institutional
45
TAULA CAPITAL MANAGEMENT (UK) LLP — 's provisional registration is now fully approved. IAPD ↗foreign
45
TAULA CAPITAL MANAGEMENT (US) LLC — 's provisional registration is now fully approved. IAPD ↗foreign
45
45
TAULA CAPITAL MANAGEMENT (JERSEY) LIMITED — 's provisional registration is now fully approved. IAPD ↗foreign
45
45
TAULA CAPITAL MANAGEMENT (JERSEY) LIMITED — now reports 1 private fund(s) ($75.87B gross). IAPD ↗foreign
44
42
40
40
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 3 (663 -> 666). IAPD ↗institutional
40
40
40
WELLINGTON ALTERNATIVE INVESTMENTS — 's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗fund
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 4 (112 -> 116). IAPD ↗institutional
40
39
37
36
35
PORTLAND HILL ASSET MANAGEMENT LIMITED — now reports custody of client assets ($63.2M). IAPD ↗foreign
35
32
32
32
32
32
30
27
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 3 (103 -> 106). IAPD ↗foreign
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (102 -> 105). IAPD ↗foreign
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (104 -> 107). IAPD ↗foreign
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (104 -> 107). IAPD ↗foreign
25
WELLINGTON MANAGEMENT JAPAN PTE LTD — 's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗foreign
25
WELLINGTON MANAGEMENT HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗foreign
15
ALATUS CAPITAL LLC — filed an Item 4A succession naming ALATUS CAPITAL LTD (CRD 281625) — an entity change, not a deal. IAPD ↗foreign
15
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.