← Tributary

Compliance — September 2024

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

543 firms opened this window in the September 2024 SEC roster: 242 state expansion, 116 new registration, 65 disclosure added, 41 pending approved, 33 headcount up, 22 custody started, 13 private funds started, 6 wrap program started, 3 reorganization, 2 aum crossed 1b.

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

100
DIVERSIFIED, LLC — (WILMINGTON, DE) is newly SEC-registered with $1.55B RAUM and 25 advisory reps. IAPD ↗
$1.55B RAUM · 25 reps · 302-765-3500 · pinterest.com
100
CAUSEY PUBLIC FINANCE — (location n/a) is newly SEC-registered with $1.37B RAUM and 10 advisory reps. IAPD ↗
$1.37B RAUM · 10 reps · 303-518-3825 · causeypf.com
98
COHALO — (SNOQUALMIE, WA) is newly SEC-registered with $838.2M RAUM and 1 advisory reps. IAPD ↗
$838.2M RAUM · 1 reps · 833-426-4256 · cohalo.com
95
LPL ENTERPRISE, LLC — (FORT MILL, SC) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗
$0 RAUM · 12 reps · 704-733-3300 · lpl.com
95
ALPINE WEALTH ADVISORS, LLC — (DENVER, CO) is newly SEC-registered with $102.5M RAUM and 1 advisory reps. IAPD ↗
$102.5M RAUM · 1 reps · 7203186634 · alpinewealthadvisors.com
95
LANE BROTHERS INVESTMENT COUNSEL — (PRESCOTT, AZ) is newly SEC-registered with $162.3M RAUM and 4 advisory reps. IAPD ↗
$162.3M RAUM · 4 reps · 928-776-8870 · lanebrothers.com
95
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT — (HANOVER, NH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · 603-643-1415
95
LEXINGTON INVESTMENT CONSULTING, LLC — (NASHVILLE, TN) is newly SEC-registered with $120.4M RAUM and 2 advisory reps. IAPD ↗
$120.4M RAUM · 2 reps · 615-492-1011 · lex-life.com
95
ALJEN ASSET MANAGEMENT LLC — (CEDAR KNOLLS, NJ) is newly SEC-registered with $126.5M RAUM and 1 advisory reps. IAPD ↗
$126.5M RAUM · 1 reps · 973-316-1212
95
INVESTOLOGY INC. — (RESTON, VA) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
$138.0M RAUM · 3 reps · 703-429-1975 · investologyinc.net
95
FRISCO FINANCIAL PLANNING — (location n/a) is newly SEC-registered with $109.8M RAUM and 1 advisory reps. IAPD ↗
$109.8M RAUM · 1 reps · 469-248-6237 · friscofinancialplanning.com
95
SERVANT FINANCIAL, LTD. — (location n/a) is newly SEC-registered with $116.5M RAUM and 1 advisory reps. IAPD ↗
$116.5M RAUM · 1 reps · 630-264-0127 · servantfinancial.com
95
GRANITE CAPITAL — (OAKLAND, CA) is newly SEC-registered with $215.3M RAUM and 2 advisory reps. IAPD ↗
$215.3M RAUM · 2 reps · 510-336-9120 · granitecapitalllc.com
95
BROAD REACH CAPITAL LLC — (RALEIGH, NC) is newly SEC-registered with $110.7M RAUM and 2 advisory reps. IAPD ↗
$110.7M RAUM · 2 reps · 919-309-1406 · broadreachpartnersllc.com
95
COTE FINANCIAL MANAGEMENT — (location n/a) is newly SEC-registered with $120.0M RAUM and 1 advisory reps. IAPD ↗
$120.0M RAUM · 1 reps · 978-767-9501 · cotefinancialservices.com
95
STRATEGIC PORTFOLIO SOLUTIONS, LLC — (DALLAS, TX) is newly SEC-registered with $101.8M RAUM and 5 advisory reps. IAPD ↗
$101.8M RAUM · 5 reps · (214) 446-4910
95
SERVO WEALTH MANAGEMENT LLC — (OKLAHOMA CITY, OK) is newly SEC-registered with $130.5M RAUM and 1 advisory reps. IAPD ↗
$130.5M RAUM · 1 reps · (405) 384-5132 · servowealth.com
95
PARRISH CAPITAL, LLC — (KENNESAW, GA) is newly SEC-registered with $112.3M RAUM and 2 advisory reps. IAPD ↗
$112.3M RAUM · 2 reps · (800) 618-1940 · parrishcapital.com
95
WOMACK FINANCIAL LLC — (DALLAS, TX) is newly SEC-registered with $110.5M RAUM and 2 advisory reps. IAPD ↗
$110.5M RAUM · 2 reps · 214-843-0070 · womackfinancial.com
95
FPFOCO — (FORT COLLINS, CO) is newly SEC-registered with $101.5M RAUM and 3 advisory reps. IAPD ↗
$101.5M RAUM · 3 reps · 970-225-0504
95
L&S INVESTMENT ADVISORS, LLC — (MIAMI, FL) is newly SEC-registered with $130.6M RAUM and 5 advisory reps. IAPD ↗
$130.6M RAUM · 5 reps · 786-241-7000 · ls.finance
95
VANWEELDEN WEALTH MANAGEMENT, LLC — (WEST CHESTER TOWNSHIP, OH) is newly SEC-registered with $104.0M RAUM and 2 advisory reps. IAPD ↗
$104.0M RAUM · 2 reps · (513) 942-8961 · vanweeldengroup.com
95
MALVERN CAPITAL MANAGEMENT — (MALVERN, PA) is newly SEC-registered with $223.4M RAUM and 4 advisory reps. IAPD ↗
$223.4M RAUM · 4 reps · 610-979-1462 · malverncap.com
95
GRANT PRIVATE WEALTH MANAGEMENT — (PLEASANTON, CA) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
$105.8M RAUM · 3 reps · 925-378-5000
95
MACERATIO LLC — (MIAMI, FL) is newly SEC-registered with $129.4M RAUM and 2 advisory reps. IAPD ↗
$129.4M RAUM · 2 reps · 305-398-9010
95
ATX FINANCIAL PLANNING, LLC — (AUSTIN, TX) is newly SEC-registered with $107.7M RAUM and 2 advisory reps. IAPD ↗
$107.7M RAUM · 2 reps · 512-693-4040 · atxfinancialplanning.com
95
PMG FAMILY OFFICE, LLC — (PLANO, TX) is newly SEC-registered with $109.6M RAUM and 1 advisory reps. IAPD ↗
$109.6M RAUM · 1 reps · 214-550-8790
95
X ADVISORS, LLC — (SANTA MARIA, CA) is newly SEC-registered with $117.8M RAUM and 6 advisory reps. IAPD ↗
$117.8M RAUM · 6 reps · 805-465-9232 · xadvisors.co
95
REAL TALK CAPITAL, LLC — (FRANKLIN, TN) is newly SEC-registered with $102.6M RAUM and 4 advisory reps. IAPD ↗
$102.6M RAUM · 4 reps · 833-856-2088 · realtalkcapital.com
95
SCRATCH CAPITAL — (BOISE, ID) is newly SEC-registered with $114.6M RAUM and 3 advisory reps. IAPD ↗
$114.6M RAUM · 3 reps · 208-901-8018 · scratch-capital.com
95
FLATROCK WEALTH PARTNERS LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $115.2M RAUM and 2 advisory reps. IAPD ↗
$115.2M RAUM · 2 reps · (949) 687-2615 · flatrockwealth.com
95
BROOKLINE WEALTH, LLC — (AUSTIN, TX) is newly SEC-registered with $128.6M RAUM and 1 advisory reps. IAPD ↗
$128.6M RAUM · 1 reps · 512-222-9169 · brooklinewealth.com
95
UNIFY FINANCIAL ADVISORS — (CLEARWATER, FL) is newly SEC-registered with $116.3M RAUM and 2 advisory reps. IAPD ↗
$116.3M RAUM · 2 reps · 727-306-0299 · unifyfa.com
95
WAGNER WEALTH MANAGEMENT, CORP. — (SUGARLOAF, PA) is newly SEC-registered with $100.8M RAUM and 2 advisory reps. IAPD ↗
$100.8M RAUM · 2 reps · 570-987-6244 · wwmcorp.com
95
CLOUT CAPITAL — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 561-931-8430 · cloutcapital.com
95
LIFEGOAL WEALTH ADVISORS LLC — (location n/a) is newly SEC-registered with $82.0M RAUM and 3 advisory reps. IAPD ↗
$82.0M RAUM · 3 reps · 607-434-0742 · lifegoalwealthadvisors.com
95
EL MENUDO CUENTA LLC — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 786-845-6878 · elmenudocuenta.com
95
MURPHY & MULLICK CAPITAL MANAGEMENT CORP — (SMITHTOWN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 631-257-0080 · murphyfinancialgrp.com
95
KMT WEALTH MANAGEMENT, LLC — (EL SEGUNDO, CA) is newly SEC-registered with $133.9M RAUM and 1 advisory reps. IAPD ↗
$133.9M RAUM · 1 reps · 773-895-8962 · kmtwealth.com
95
RHL GROUP, LLC — (HOLLY, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 248-634-7720 · rhlgroup.us
95
XXI WEALTH, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (312) 300-2670
95
CASTLE ROCK ADVISORS LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 22 advisory reps. IAPD ↗
$0 RAUM · 22 reps · 617-227-0050
95
STEELE STREET CAPITAL LLC — (KITTERY, ME) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 207-475-0060
95
TERRAFIRMA WEALTH PARTNERS — (WALNUT CREEK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 925-639-4592 · terrafirmawealth.com
95
SLO MONEY MANAGERS — (ATASCADERO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (949) 466-7519 · slomoneymanagers.com
95
ALECTRA WEALTH ADVISORS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 859-402-1460 · qtrfamilycapital.com
95
PLANWISER FINANCIAL — (COLORADO SPRINGS, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 719-822-0808 · planwiser.com
95
MFP FINANCIAL SERVICES — (SAFETY HARBOR, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 727-443-3300 · mfpfinancial.com
95
BLUEHEEL LLC — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 214-559-9972
95
LIFELONG WEALTH ADVISORS, INC. — (ARDEN HILLS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 651-444-6500
95
DECODE FINANCE LLC — (PALO ALTO, CA) is newly SEC-registered with $1,000 RAUM and 1 advisory reps. IAPD ↗
$1,000 RAUM · 1 reps · 408-500-8242 · decode.finance
95
BEARING POINT CAPITAL — (BLOOMINGTON, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 952-800-6301 · bearingpointcap.com
95
DSG CAPITAL ADVISORS, LLC — (EDINA, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · (612) 515-9900 · dsgcapitaladvisors.com
95
RAINIER FAMILY WEALTH, INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 253-973-7744
95
MOREY & QUINN WEALTH PARTNERS — (OMAHA, NE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (402) 502-9900 · moreyandquinn.com
95
BREAKTHRU ADVISORY SERVICES, LLC — (MUSKEGO, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 262 977-9907 · breakthruadvisoryservices.com
95
OLD BRIDGE WEALTH, INC — (SYOSSET, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 347-723-8943 · oldbridgewealth.com
95
LEGACY CAPITAL — (THE WOODLANDS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (281) 595-1996
95
CORRALES & CO. — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (202) 580-2068
95
BURLING 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 · 1-312-825-0601 · burlingwealthpartners.com
95
ELEVATE PLANNERS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 347-506-6061 · lvtplanners.com
95
MANNA WEALTH MANAGEMENT — (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 305-306-7107 · mannawealthmanagement.com
95
FORONJY FINANCIAL — (SANTA BARBARA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 805-543-1033 · foronjyfinancial.com
95
SERENITY CAPITAL ADVISORS INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 585-662-8111 · serenitycapadvisors.com
95
PEAK WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 518-441-2285
95
TIDECREST WEALTH MANAGEMENT, LLC — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 949-244-7910
95
TRUE WEALTH GROUP — (BEND, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 5037994008 · mytruewealthgroup.com
95
MARTINSEN WEALTH MANAGEMENT — (TEMPE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 480-550-6556 · martinsenwealth.com
95
TRADEWELL SECURITIES, LLC — (FORT WAYNE, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 260-490-2084 · tradewelltax.com
95
LIBERTY SQUARE WEALTH PARTNERS LLC — (BETHLEHEM, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (610) 865-5803 · libertysquarewealth.com
95
ADVISIFI LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-553-3553 · advisifi.co
95
LIFT ASSET MANAGEMENT — (ENGLEWOOD, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 303-887-1729
95
PRASAD WEALTH PARTNERS — (INDEPENDENCE, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 216-313-9999 · prasadwealth.com
95
CURA WEALTH ADVISORS, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 312-608-8806 · curawealth.com
95
CANTATA WEALTH MANAGEMENT, LLC — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 844-226-8282 · cantatawealth.com
95
VIRTUS WEALTH SOLUTIONS — (CRANFORD, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 908-967-6360 · virtuswealthsolutions.com
95
ROUTE 20 PRIVATE WEALTH INC. — (FORT LAUDERDALE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 561-843-4678 · route20wealth.com
95
AVENTURA PRIVATE WEALTH, LLC — (AVENTURA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 305-610-7218
85
CAPITAL CREEK PARTNERS — crossed $1B in regulatory AUM ($680.7M -> $1.20B). IAPD ↗
$1.20B RAUM · 13 reps · 512-316-3397 · capitalcreek.com
85
COLDSTREAM WEALTH MANAGEMENT — grew from 125 to 141 advisory reps. IAPD ↗
$9.66B RAUM · 141 reps · 425-283-1600
85
THE COLONY GROUP, LLC — grew from 630 to 660 advisory reps. IAPD ↗
$21.47B RAUM · 660 reps · 617-723-8200
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC — grew from 122 to 138 advisory reps. IAPD ↗
$11.29B RAUM · 138 reps · 312-334-7300
77
503 CAPITAL PARTNERS, LLC — grew from 1 to 10 advisory reps. IAPD ↗
$382.0M RAUM · 10 reps · 913-279-0177 · 503capitalpartners.com
76
ORBA WEALTH ADVISORS, LLC — grew from 8 to 16 advisory reps. IAPD ↗
$257.1M RAUM · 16 reps · (312) 670-6262
76
TRB WEALTH MANAGEMENT, LLC — grew from 8 to 14 advisory reps. IAPD ↗
$1.19B RAUM · 14 reps · 832-810-3565 · trb.bank
75
BOULAY FINANCIAL ADVISORS, LLC — grew from 22 to 27 advisory reps. IAPD ↗
$2.13B RAUM · 27 reps · 952-893-9320
75
SANCTUARY ADVISORS, LLC — grew from 314 to 319 advisory reps. IAPD ↗
$22.02B RAUM · 319 reps · 317-975-7729
75
WELLTH ADVISORY SERVICES, LLC — 's provisional registration is now fully approved. IAPD ↗
$21.91B RAUM · 67 reps · 866-777-4015 · srpretire.com
73
EQUITA FINANCIAL NETWORK, INC. — grew from 8 to 13 advisory reps. IAPD ↗
$283.1M RAUM · 13 reps · 800.604.0176
73
ELYXIUM WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
$260.4M RAUM · 4 reps · 415-264-0468 · elyxwealth.com
73
SOVRAN ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
$841.6M RAUM · 45 reps · 619-281-9890 · sovranadvisors.com
73
NAPLES WEALTH PLANNING — 's provisional registration is now fully approved. IAPD ↗
$466.7M RAUM · 12 reps · 239-330-4183 · napleswealthplanning.com
73
ZEGA INVESTMENTS — 's provisional registration is now fully approved. IAPD ↗
$508.1M RAUM · 9 reps · 800.380.9342
73
BIP ALLIANCE, LLC — 's provisional registration is now fully approved. IAPD ↗
$280.7M RAUM · 4 reps · 404-495-5230
73
HS WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
$366.5M RAUM · 3 reps · 505-717-1680 · hswealthpartners.com
73
WELLINGTON WEALTH STRATEGIES, LLC — now reports 1 private fund(s) ($10.0M gross). IAPD ↗
$289.6M RAUM · 15 reps · 317-789-8800 · twealth.com
73
503 CAPITAL PARTNERS, LLC — now reports 5 private fund(s) ($233.6M gross). IAPD ↗
$382.0M RAUM · 10 reps · 913-279-0177 · 503capitalpartners.com
72
WEALTHCARE CAPITAL PARTNERS, LLC — grew from 1 to 8 advisory reps. IAPD ↗
$160.6M RAUM · 8 reps · 804.644.4711
71
INVESTOR FAN — grew from 7 to 10 advisory reps. IAPD ↗
$255.4M RAUM · 10 reps · 425-372-7517 · thewaytoinvest.com
71
WHITAKER-MYERS WEALTH MANAGERS, LTD. — grew from 10 to 13 advisory reps. IAPD ↗
$513.0M RAUM · 13 reps · (330) 345-5000 · whitaker-myers.com
70
WORLD INVESTMENT ADVISORS, LLC — now reports custody of client assets ($1.04B). IAPD ↗
$37.76B RAUM · 166 reps · 888-201-5488
70
FAMILY LEGACY, INC. — grew from 10 to 12 advisory reps. IAPD ↗
$300.1M RAUM · 12 reps · (864) 233-0808 · familylegacyinc.com
70
LAUREL WEALTH ADVISORS, LLC — grew from 4 to 6 advisory reps. IAPD ↗
$860.4M RAUM · 6 reps · 704-927-4379
70
HENRICKSON NAUTA WEALTH ADVISORS, INC. — grew from 6 to 8 advisory reps. IAPD ↗
$702.7M RAUM · 8 reps · 616-361-9308 · hnwealthadvisors.com
70
INTEGRAL WEALTH MANAGEMENT — grew from 3 to 5 advisory reps. IAPD ↗
$497.1M RAUM · 5 reps · 209-633-3101
70
OASIS WEALTH PLANNING ADVISORS — grew from 5 to 7 advisory reps. IAPD ↗
$254.4M RAUM · 7 reps · (615) 933-3314 · oasiswealthplanning.com
70
FORTITUDE FAMILY OFFICE — grew from 7 to 9 advisory reps. IAPD ↗
$505.2M RAUM · 9 reps · (602) 834-0089
70
EIGHT 31 FINANCIAL, LLC — grew from 2 to 4 advisory reps. IAPD ↗
$350.5M RAUM · 4 reps · 432-282-0251
70
TC43 LLC — grew from 6 to 8 advisory reps. IAPD ↗
$311.7M RAUM · 8 reps · 917-363-7217
70
U. S. BOSTON CAPITAL CORPORATION — 's provisional registration is now fully approved. IAPD ↗
$131.1M RAUM · 1 reps · 781-259-1144 · usboston.com
70
DIGITAL WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 2 reps · 307-214-0780
70
GATEPASS CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗
$103.2M RAUM · 3 reps · 833-428-3727 · gatepass.capital
70
MKT AND ASSOCIATES LLC — 's provisional registration is now fully approved. IAPD ↗
$113.0M RAUM · 1 reps · 253-252-2359
70
IWEALTH — 's provisional registration is now fully approved. IAPD ↗
$191.8M RAUM · 4 reps · 507-835-9111
70
ACME JACK WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
$173.1M RAUM · 1 reps · 3308023036
70
FUNDAMENTAL INVESTMENT SERVICES, LLC — 's provisional registration is now fully approved. IAPD ↗
$33.8M RAUM · 1 reps · 1-917-495-9582
70
ARC ADVISORY LLC — 's provisional registration is now fully approved. IAPD ↗
$108.2M RAUM · 9 reps · (510) 213-8085 · joinarc.com
70
MURPHY CLARKE WILLIAMS & STONE LLC — 's provisional registration is now fully approved. IAPD ↗
$130.7M RAUM · 2 reps · (305) 954-1521 · mcwstone.com
70
WEALTHCARE CAPITAL PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
$160.6M RAUM · 8 reps · 804.644.4711
70
KILTER GROUP — 's provisional registration is now fully approved. IAPD ↗
$181.3M RAUM · 4 reps · 646-438-6557 · kiltergroup.com
70
OVERLOCK CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
$115.2M RAUM · 3 reps · 202-670-2574 · overlockcapital.com
70
BINGHAM PRIVATE WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
$180.9M RAUM · 2 reps · 415-426-5652 · binghamprivate.com
70
SUMMITAS INVESTMENT MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
$127.0M RAUM · 1 reps · 254-275-5326
70
ORG WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
$247.9M RAUM · 1 reps · 214-440-3909
70
WIMER INVESTMENT MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
$55.0M RAUM · 1 reps · 7327639237
70
HIGHROAD WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
$131.0M RAUM · 2 reps · 541-266-7623 · highroadwa.com
70
TRUEHAVEN CAPITAL — 's provisional registration is now fully approved. IAPD ↗
$100.3M RAUM · 1 reps · 210-260-8668 · truehaven.net
70
ACCELERATED WEALTH ADVISORS LLC — now reports 1 private fund(s) ($15.5M gross). IAPD ↗
$216.9M RAUM · 4 reps · 719-466-5631
70
BLACK TORO LLC — now reports 1 private fund(s) ($3.0M gross). IAPD ↗
$229.1M RAUM · 2 reps · 786 753-7009 · blacktoro.us
70
33 CAPITAL MANAGEMENT LLC — now reports 1 private fund(s) ($2.5M gross). IAPD ↗
$103.3M RAUM · 4 reps · 203-391-9340 · 33capitalmanagement.com
70
FUNDAMENTAL INVESTMENT SERVICES, LLC — now reports 2 private fund(s) ($33.8M gross). IAPD ↗
$33.8M RAUM · 1 reps · 1-917-495-9582
70
TRUEHAVEN CAPITAL — now reports 3 private fund(s) ($11.6M gross). IAPD ↗
$100.3M RAUM · 1 reps · 210-260-8668 · truehaven.net
69
XYPN INVEST — grew from 10 to 14 advisory reps. IAPD ↗
$133.3M RAUM · 14 reps · (360) 301-7579 · newleaffinancialguidance.com
68
ASPEN INVESTMENT MANAGEMENT INC. — now reports custody of client assets ($124.8M). IAPD ↗
$257.1M RAUM · 4 reps · 616-361-2500 · aspenim.com
68
PRIVATE WEALTH ADVISORS — now reports custody of client assets ($324.1M). IAPD ↗
$352.8M RAUM · 2 reps · 559-451-3463 · pwa.net
68
503 CAPITAL PARTNERS, LLC — now reports custody of client assets ($471.5M). IAPD ↗
$382.0M RAUM · 10 reps · 913-279-0177 · 503capitalpartners.com
68
ELYXIUM WEALTH LLC — now reports custody of client assets ($46.4M). IAPD ↗
$260.4M RAUM · 4 reps · 415-264-0468 · elyxwealth.com
68
PLATFORM WEALTH ADVISORS — now reports custody of client assets ($201.4M). IAPD ↗
$295.1M RAUM · 6 reps · (385) 243-0553 · platformadvise.com
68
BIP ALLIANCE, LLC — now reports custody of client assets ($56.3M). IAPD ↗
$280.7M RAUM · 4 reps · 404-495-5230
68
TEEPLE SNYDER NEWSOME WEALTH MANAGEMENT — grew from 9 to 12 advisory reps. IAPD ↗
$169.5M RAUM · 12 reps · 317-350-4255 · tsnwealth.com
68
MORALIS TECHNOLOGIES, LLC — grew from 7 to 10 advisory reps. IAPD ↗
$17.2M RAUM · 10 reps · 833-730-3700 · aquinaswealth.com
67
COLE WEALTH MANAGEMENT, LLC — grew from 3 to 5 advisory reps. IAPD ↗
$143.1M RAUM · 5 reps · 480-275-6354 · colewealthmanagement.com
67
WYZE WEALTH ADVISORS, LLC — grew from 1 to 3 advisory reps. IAPD ↗
$219.0M RAUM · 3 reps · 724-747-6451 · wyzewealthadvisors.com
65
DB & C ADVISORS, LLC — now reports custody of client assets ($5.9M). IAPD ↗
$189.1M RAUM · 7 reps · 616-355-3455 · dbc-advisors.com
65
WAYPOINTS FINANCIAL — now reports custody of client assets ($56.8M). IAPD ↗
$114.7M RAUM · 3 reps · 863-402-5650 · waypointsfinancial.com
65
LAUGHLIN FINANCIAL LLC — now reports custody of client assets ($140.3M). IAPD ↗
$140.3M RAUM · 1 reps · 812-552-2113 · laughlinfinancial.com
65
STEEL TOWER INVESTMENTS — now reports custody of client assets. IAPD ↗
$115.6M RAUM · 4 reps · 412-586-2060 · upswia.com
65
EVERSPIRE — now reports custody of client assets ($30.8M). IAPD ↗
$156.2M RAUM · 15 reps · 801-545-8706 · synchronywealth.com
65
COLARION — now reports custody of client assets ($7.8M). IAPD ↗
$125.9M RAUM · 4 reps · 205 410 9443
65
33 CAPITAL MANAGEMENT LLC — now reports custody of client assets ($2.4M). IAPD ↗
$103.3M RAUM · 4 reps · 203-391-9340 · 33capitalmanagement.com
65
MKT AND ASSOCIATES LLC — now reports custody of client assets ($45.0M). IAPD ↗
$113.0M RAUM · 1 reps · 253-252-2359
65
OSSIA IM — now reports custody of client assets. IAPD ↗
$52.0M RAUM · 1 reps · 305-923-7212
65
DOUGLASS INVESTMENT GROUP — now reports custody of client assets ($1.5M). IAPD ↗
$162.0M RAUM · 2 reps · 316-854-8495 · douglassgroup.net
63
MAGNETIC NORTH ADVISORS — began participating in a wrap-fee program. IAPD ↗
$404.0M RAUM · 6 reps · 763-543-3803
63
ZEGA INVESTMENTS — began participating in a wrap-fee program. IAPD ↗
$508.1M RAUM · 9 reps · 800.380.9342
60
ROBINSON VALUE MANAGEMENT, LTD. — began participating in a wrap-fee program. IAPD ↗
$173.3M RAUM · 4 reps · 210-490-2545 · skepticalinvestor.com
60
GUGGENHEIM WEALTH SOLUTIONS, LLC — began participating in a wrap-fee program. IAPD ↗
$0 RAUM · 0 reps · 310-576-1270 · guggenheimpartners.com
60
ORG WEALTH PARTNERS — began participating in a wrap-fee program. IAPD ↗
$247.9M RAUM · 1 reps · 214-440-3909
60
AGP FRANKLIN, LLC — began participating in a wrap-fee program. IAPD ↗
$0 RAUM · 3 reps · 615-778-9842 · aspengroveassetmanagement.com
55
J.P. MORGAN SECURITIES LLC — 's Item 11 disclosure-reporting entries rose by 11 (226 -> 237). IAPD ↗
$249.73B RAUM · 7426 reps · 800-999-2000
55
BNY MELLON SECURITIES CORPORATION — 's Item 11 disclosure-reporting entries rose by 6 (14 -> 20). IAPD ↗
$6.12B RAUM · 94 reps · 212-635-8827 · bnymellon.com
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 3 (104 -> 107). IAPD ↗
$692.25B RAUM · 21219 reps · 314-515-2000 · vimeo.com
55
RAYMOND JAMES & ASSOCIATES, INC. — 's Item 11 disclosure-reporting entries rose by 2 (175 -> 177). IAPD ↗
$350.04B RAUM · 5254 reps · 727-567-1000
55
HILLTOP SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 3 (91 -> 94). IAPD ↗
$1.87B RAUM · 113 reps · 214-859-1800 · advisor.hilltopsecurities.com
55
AMERIPRISE FINANCIAL SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 4 (235 -> 239). IAPD ↗
$479.79B RAUM · 12518 reps · 612-671-3131
55
CITIGROUP GLOBAL MARKETS INC. — 's Item 11 disclosure-reporting entries rose by 1 (196 -> 197). IAPD ↗
$40.52B RAUM · 4880 reps · 212-816-6000 · citibankonline.com
55
CADARET GRANT & CO INC — 's Item 11 disclosure-reporting entries rose by 3 (40 -> 43). IAPD ↗
$6.87B RAUM · 489 reps · 800-288-8601
55
MOMENTUM INDEPENDENT NETWORK INC. — 's Item 11 disclosure-reporting entries rose by 3 (96 -> 99). IAPD ↗
$1.12B RAUM · 139 reps · 214-859-1800 · jeffneisler.com
55
THRIVENT INVESTMENT MANAGEMENT INC. — 's Item 11 disclosure-reporting entries rose by 1 (22 -> 23). IAPD ↗
$14.81B RAUM · 2509 reps · 800-847-4836 · thrivent.com
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (648 -> 649). IAPD ↗
$558.46B RAUM · 8623 reps · 314-875-3000 · wellsfargoclearingservicesllc.com
55
ADVICE AND PLANNING SERVICES — 's Item 11 disclosure-reporting entries rose by 1 (35 -> 36). IAPD ↗
$32.68B RAUM · 1115 reps · 212-490-9000
55
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER — 's Item 11 disclosure-reporting entries rose by 2 (10 -> 12). IAPD ↗
$9.33B RAUM · 484 reps · 480-991-0225
55
RBC CAPITAL MARKETS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (229 -> 230). IAPD ↗
$201.26B RAUM · 2042 reps · 212-858-7000 · us.rbcwealthmanagement.com
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 6 (106 -> 112). IAPD ↗
$173.04B RAUM · 206 reps · 212-454-4500
55
TIAA KASPICK, LLC — 's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗
$8.09B RAUM · 16 reps · 650-585-4100 · kaspick.com
55
F L PUTNAM INVESTMENT MANAGEMENT CO. — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
$6.17B RAUM · 60 reps · 800-344-3435
55
BLACKROCK ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (40 -> 41). IAPD ↗
$869.68B RAUM · 156 reps · 212 810 5300
55
BLACKROCK FINANCIAL MANAGEMENT, INC — 's Item 11 disclosure-reporting entries rose by 1 (53 -> 54). IAPD ↗
$1288.50B RAUM · 1038 reps · 212 810 5300
55
BLACKROCK CAPITAL MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 1 (43 -> 44). IAPD ↗
$110.92B RAUM · 154 reps · 302 797 2000 · ishares.com
55
BLACKROCK INVESTMENT MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (39 -> 40). IAPD ↗
$458.19B RAUM · 536 reps · 609 282 2000
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 6 (106 -> 112). IAPD ↗
$31.83B RAUM · 138 reps · 312-537-7000
55
MAI CAPITAL MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$19.71B RAUM · 137 reps · (216) 920-4800 · mai.capital
55
SOWELL MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 3 (13 -> 16). IAPD ↗
$3.33B RAUM · 84 reps · 501-219-2434
55
EPOCH INVESTMENT PARTNERS, INC. — 's Item 11 disclosure-reporting entries rose by 3 (1 -> 4). IAPD ↗
$34.28B RAUM · 133 reps · 212-303-7200
55
OSAIC ADVISORY SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗
$4.94B RAUM · 141 reps · 866-580-8219 · morgancapitalsolutions.com
55
TRUIST ADVISORY SERVICES, INC. — 's Item 11 disclosure-reporting entries rose by 4 (48 -> 52). IAPD ↗
$61.37B RAUM · 2105 reps · 404-813-7713 · truist.com
55
SCS — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$1.29B RAUM · 20 reps · 425-452-1222 · northwestscs.com
55
THE RETIREMENT PLANNING GROUP, LLC — notice-filed in CT, ID, MA, NV, UT, VA. IAPD ↗
$2.31B RAUM · 19 reps · 913-498-8898
55
CRESSET ASSET MANAGEMENT, LLC — notice-filed in AL, AR, DE, HI, ID, KS, KY, ME, MS, ND, NM, RI, VT, WV. IAPD ↗
$52.51B RAUM · 133 reps · 312-429-2400 · cressetpartners.com
55
CW ADVISORS, LLC — notice-filed in AK, AL, AR, HI, IA, ID, KS, MS, MT, ND, OK, SD, WV, WY. IAPD ↗
$6.92B RAUM · 38 reps · (617) 428-7600 · congresswealth.com
55
QUOTIENT WEALTH PARTNERS, LLC — notice-filed in AL, AR, AZ, LA, MT, NE, NH, NM, OH, PA, TN, UT, VA. IAPD ↗
$3.12B RAUM · 21 reps · (972) 807-0003
53
KEY CLIENT FIDUCIARY ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (4 -> 5). IAPD ↗
$636.1M RAUM · 10 reps · 973-244-4142 · keyclientfa.com
53
DST WEALTH MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$405.2M RAUM · 5 reps · 760-340-1448
53
COGENTBLUE — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$625.8M RAUM · 4 reps · 865-309-5892 · cogentbluewealth.com
53
MUTUAL ADVISORS, LLC — notice-filed in DC, MS, VT, WV. IAPD ↗
$6.95B RAUM · 132 reps · 307-439-6357 · mutual.group
53
JOURNEY STRATEGIC WEALTH LLC — notice-filed in GA, ID, KY, MI. IAPD ↗
$3.07B RAUM · 12 reps · (201) 905-0070 · journeysw.com
53
PROSPERA PRIVATE WEALTH, LLC — notice-filed in CO, FL, KS, LA, MO, NY, WA. IAPD ↗
$470.1M RAUM · 3 reps · (405) 253-6080 · prosperaprivatewealth.com
53
BUCK WEALTH STRATEGIES, LLC — notice-filed in AK, ID, IL, MI, MT, NE, SD, VA, WY. IAPD ↗
$299.9M RAUM · 20 reps · 888-210-6567
53
BEAUMONT FINANCIAL PARTNERS — notice-filed in CO, MI, VA, WA. IAPD ↗
$2.96B RAUM · 15 reps · 781-400-2800
53
ZEGA INVESTMENTS — notice-filed in AL, AR, AZ, CA, CO, CT, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, NC, NE, NH, NJ, NM, NV, NY, OH, OK, SC, TN, TX, UT, VA, WA, WI. IAPD ↗
$508.1M RAUM · 9 reps · 800.380.9342
53
ALTERI WEALTH — notice-filed in AZ, DE, FL, TX, WA. IAPD ↗
$656.6M RAUM · 3 reps · 805-809-0400 · alteriwealth.com
51
MOUNT YALE INVESTMENT ADVISORS, LLC — notice-filed in AL, IN, RI. IAPD ↗
$2.19B RAUM · 20 reps · 303-382-2880
51
EXPAND FINANCIAL, LLC — notice-filed in CT, DC, ID. IAPD ↗
$1.40B RAUM · 3 reps · 720-387-8158 · expandfinancial.com
51
FORTEM FINANCIAL GROUP, LLC — notice-filed in CO, FL, ID, WI. IAPD ↗
$438.1M RAUM · 5 reps · 760-206-8500
51
TRIVIUM POINT ADVISORY, LLC — notice-filed in MD, NC, PA, VA. IAPD ↗
$716.2M RAUM · 14 reps · (203) 221-3085
51
CYNDEO WEALTH PARTNERS — notice-filed in AZ, IL, WA. IAPD ↗
$2.00B RAUM · 11 reps · (727) 472-3700 · cyndeowp.com
51
CEDRUS LLC — notice-filed in ID, MN, SC, TN. IAPD ↗
$651.1M RAUM · 17 reps · 720-724-2170 · cedrusfinancial.com
51
TRANSCE3ND LLC — notice-filed in LA, OH, OK, WI. IAPD ↗
$313.2M RAUM · 28 reps · 512-268-9220 · e3wealth.com
51
DAYMARK WEALTH PARTNERS, LLC — notice-filed in MN, NJ, TN. IAPD ↗
$2.50B RAUM · 16 reps · 513-838-2520
50
BTS ASSET MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 4 (4 -> 8). IAPD ↗
$208.5M RAUM · 4 reps · 781-863-2545 · btsmanagement.com
50
NICHOLAS WEALTH MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 15 (0 -> 15). IAPD ↗
$203.1M RAUM · 6 reps · 404-890-5606
50
PLEASANT STREET WEALTH ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$113.4M RAUM · 2 reps · (978) 732-3115
50
FG ADVISORY SERVICES, LLC. — 's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗
$0 RAUM · 0 reps · 646-609-2225 EXT. 6
50
TURNER FINANCIAL GROUP, INC. — notice-filed in AZ, NJ, PA, SC, VA. IAPD ↗
$115.7M RAUM · 4 reps · 850-995-1797 · seelan.com
50
GUGGENHEIM WEALTH SOLUTIONS, LLC — notice-filed in AK, AL, AR, AZ, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
$0 RAUM · 0 reps · 310-576-1270 · guggenheimpartners.com
50
PATH DIGITAL ADVISORS, LLC — notice-filed in AK, AL, AR, AZ, CA, 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, UT, VI, VT, WA, WI, WV, WY. IAPD ↗
$380,000 RAUM · 2 reps · 872.272.0483 · pathcrypto.com
50
FUNDIFY ADVISORS LLC — notice-filed in CO, GA, IL, LA, MD, NC, NE, NJ, NY, PA. IAPD ↗
$0 RAUM · 3 reps · 512-645-1010 · fundify.com
50
ROSSBY FINANCIAL, LLC — notice-filed in CO, DE, MA, NJ, NM, OR, WA. IAPD ↗
$107.3M RAUM · 8 reps · 321-209-0111
50
WEALTH MORE ENTERPRISE, INC. — notice-filed in FL, NC, NJ, NY, TX. IAPD ↗
$0 RAUM · 2 reps · 888-303-6361 · getwealthmore.com
50
MDRN CAPITAL — notice-filed in AZ, CO, DE, GA, IL, NH, NJ, NY, WA. IAPD ↗
$101.6M RAUM · 7 reps · 410-533-9966
50
TRIAD WEALTH PARTNERS, LLC — notice-filed in CO, MA, RI, SC, UT. IAPD ↗
$153.4M RAUM · 5 reps · 785-830-0000
50
DIGITAL WEALTH PARTNERS — notice-filed in CA, DC, GA, IN, LA, NC, NE, NH, NY, PA, SD, VI, WY. IAPD ↗
$0 RAUM · 2 reps · 307-214-0780
50
AGP FRANKLIN, LLC — notice-filed in AL, FL, GA, LA, MS, TX. IAPD ↗
$0 RAUM · 3 reps · 615-778-9842 · aspengroveassetmanagement.com
49
COLDSTREAM WEALTH MANAGEMENT — notice-filed in MN, NH. IAPD ↗
$9.66B RAUM · 141 reps · 425-283-1600
49
BOULAY FINANCIAL ADVISORS, LLC — notice-filed in OR, VA. IAPD ↗
$2.13B RAUM · 27 reps · 952-893-9320
49
CHATTERTON & ASSOCIATES — notice-filed in VA, WA. IAPD ↗
$1.05B RAUM · 9 reps · 714-572-2050 · chattertoninc.com
49
ELSER FINANCIAL PLANNING, INC. — notice-filed in LA, NE. IAPD ↗
$2.06B RAUM · 10 reps · 317-731-5615 · elserfp.com
49
OCCIDENTAL ASSET MANAGEMENT, LLC — notice-filed in AK, AR, MI. IAPD ↗
$625.5M RAUM · 10 reps · 650-344-1600 · yourmentalwealthadvisors.com
49
RIVER WEALTH ADVISORS LLC — notice-filed in SC, TN. IAPD ↗
$1.06B RAUM · 7 reps · 717-888-9830 · riverwealthadvisors.com
49
KOVITZ INVESTMENT GROUP PARTNERS, LLC — notice-filed in HI, ID. IAPD ↗
$11.29B RAUM · 138 reps · 312-334-7300
49
WHITAKER-MYERS WEALTH MANAGERS, LTD. — notice-filed in AR, CO, NE. IAPD ↗
$513.0M RAUM · 13 reps · (330) 345-5000 · whitaker-myers.com
49
CONVERGENCE FINANCIAL — notice-filed in NC, TN, UT. IAPD ↗
$422.4M RAUM · 13 reps · (573) 818-2264
49
PERFORMANCE WEALTH — notice-filed in LA, NY. IAPD ↗
$2.55B RAUM · 9 reps · (630) 686-5655
49
NAPLES WEALTH PLANNING — notice-filed in MO, NY, OH. IAPD ↗
$466.7M RAUM · 12 reps · 239-330-4183 · napleswealthplanning.com
48
KIKER WEALTH MANAGEMENT, LLC — notice-filed in IL, MD, MI, NY. IAPD ↗
$161.5M RAUM · 3 reps · 706-253-7285
47
RETIREMENT RESOURCES INVESTMENT CORPORATION — notice-filed in TX. IAPD ↗
$1.67B RAUM · 2 reps · 978-536-9000 · retirewithmore.com
47
FINANCIAL SYNERGIES — notice-filed in NC. IAPD ↗
$1.29B RAUM · 14 reps · 713-623-6600
47
PARSONS CAPITAL MANAGEMENT INC — notice-filed in NC. IAPD ↗
$1.88B RAUM · 11 reps · 401-521-2440 · parsonscapital.com
47
INGHAM RETIREMENT GROUP — notice-filed in PA. IAPD ↗
$2.06B RAUM · 10 reps · 305-671-2200 · ingham.com
47
FORT WASHINGTON INVESTMENT ADVISORS INC — notice-filed in KS. IAPD ↗
$79.46B RAUM · 94 reps · 513-361-7600 · ohiocapitalfund.com
47
THE ADVISORY GROUP OF SAN FRANCISCO, LLC — notice-filed in OH, VA. IAPD ↗
$831.4M RAUM · 4 reps · 415-977-1200
47
GKV CAPITAL MANAGEMENT CO INC — notice-filed in NV, TX. IAPD ↗
$260.5M RAUM · 2 reps · 925-627-8680 · gkvcapital.com
47
MANAGED ASSET PORTFOLIOS, LLC — notice-filed in NV. IAPD ↗
$1.09B RAUM · 5 reps · 248-601-6677
47
SUMMIT FINANCIAL STRATEGIES INC — notice-filed in IN. IAPD ↗
$1.78B RAUM · 27 reps · 614-885-1115 · summitfin.com
47
FINANCIAL SECURITY ADVISORY INC — notice-filed in MI. IAPD ↗
$1.32B RAUM · 45 reps · 757-431-1414 · gofsg.com
47
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP — notice-filed in MD. IAPD ↗
$2.56B RAUM · 9 reps · 480-890-8088 · stokerostler.com
47
STEIGERWALD, GORDON & KOCH - WEALTH ADVISORS — notice-filed in OK. IAPD ↗
$1.05B RAUM · 7 reps · 703-777-8826
47
BOUCHEY FINANCIAL GROUP LTD — notice-filed in MI. IAPD ↗
$1.16B RAUM · 19 reps · 518-720-3333 · boucheyfinancial.com
47
MAIN STREET RESEARCH LLC — notice-filed in DC. IAPD ↗
$1.82B RAUM · 11 reps · 415-289-1010
47
CHARTER OAK CAPITAL MANAGEMENT — notice-filed in MD. IAPD ↗
$1.11B RAUM · 13 reps · 800-646-5720 · charteroakcm.com
47
PINKERTON RETIREMENT SPECIALISTS, LLC — notice-filed in MO. IAPD ↗
$1.02B RAUM · 12 reps · 800-634-2008 · pinkertonretirement.com
47
ABSOLUTE CAPITAL MANAGEMENT, LLC — notice-filed in AL, OK. IAPD ↗
$351.5M RAUM · 2 reps · 412-388-1600
47
INVESTMENT MANAGEMENT GROUP — notice-filed in ID. IAPD ↗
$4.78B RAUM · 23 reps · 406-655-3960
47
GREAT VALLEY ADVISOR GROUP, INC. — notice-filed in ND. IAPD ↗
$7.34B RAUM · 154 reps · 302-483-7200 · omarcujar-lpl.com
47
PERIGON WEALTH MANAGEMENT, LLC — notice-filed in WI. IAPD ↗
$6.94B RAUM · 77 reps · (877) 977-2555
47
NAMCOA — notice-filed in OK, VA. IAPD ↗
$277.7M RAUM · 17 reps · (239) 593-5525 · flretire.com
47
GELLER ADVISORS LLC — notice-filed in AK. IAPD ↗
$5.91B RAUM · 15 reps · (212) 583-6001
47
CALLAN CAPITAL, LLC — notice-filed in IL. IAPD ↗
$1.88B RAUM · 7 reps · 858-551-3800
47
PEACHTREE INVESTMENT PARTNERS, LLC — notice-filed in TN, VA. IAPD ↗
$265.0M RAUM · 2 reps · 404-226-2728 · peachtreeinvestmentpartners.com
47
MIRACLE MILE ADVISORS, LLC — notice-filed in GA. IAPD ↗
$4.90B RAUM · 41 reps · (310) 246-1243
47
INTEGRAL WEALTH MANAGEMENT — notice-filed in NC, NV. IAPD ↗
$497.1M RAUM · 5 reps · 209-633-3101
47
NORTHWEST ASSET MANAGEMENT — notice-filed in OK. IAPD ↗
$3.27B RAUM · 48 reps · 206-838-3680 · farrellwealthgroup.com
47
ROSEMAN WAGNER WEALTH MANAGEMENT — notice-filed in WY. IAPD ↗
$1.11B RAUM · 5 reps · (916) 652-1525 · rosemanwagner.com
47
THREE BELL CAPITAL LLC — notice-filed in AZ. IAPD ↗
$3.25B RAUM · 11 reps · 650-843-9836
47
ELM PARTNERS MANAGEMENT LLC — notice-filed in NC. IAPD ↗
$1.50B RAUM · 3 reps · (888) 676-3148
47
GOLDEN STATE WEALTH MANAGEMENT, LLC — notice-filed in GA. IAPD ↗
$1.69B RAUM · 51 reps · 866.273.1563 · teamgoldenstate.com
47
JOURNEY ADVISORY GROUP, LLC — notice-filed in IL. IAPD ↗
$1.02B RAUM · 11 reps · 859-888-0356
47
GLOBAL RETIREMENT PARTNERS LLC — notice-filed in WY. IAPD ↗
$140.72B RAUM · 493 reps · 415-526-2753 · grpfinancial.com
47
WORLD INVESTMENT ADVISORS, LLC — notice-filed in PR. IAPD ↗
$37.76B RAUM · 166 reps · 888-201-5488
47
FORT PITT CAPITAL GROUP, LLC — notice-filed in ID. IAPD ↗
$5.16B RAUM · 47 reps · 412-921-1822 · focusfinancialpartners.com
47
ACUMEN WEALTH ADVISORS, LLC — notice-filed in CO, PA. IAPD ↗
$427.3M RAUM · 10 reps · 423-825-4796 · acumenwealth.com
47
MERIDIAN WEALTH ADVISORS, LLC — notice-filed in NM. IAPD ↗
$1.22B RAUM · 8 reps · 512-717-5580
47
ONEASCENT FINANCIAL SERVICES LLC — notice-filed in MT. IAPD ↗
$1.79B RAUM · 39 reps · 205-313-9142
47
CBIZ INVESTMENT ADVISORY SERVICES, LLC — notice-filed in NH. IAPD ↗
$8.86B RAUM · 86 reps · 216-447-9000
47
KEELEY-TETON ADVISORS, LLC — notice-filed in CA, MD. IAPD ↗
$888.8M RAUM · 11 reps · (312) 786-5000 · keeleyteton.com
47
JORDAN PARK GROUP LLC — notice-filed in IL. IAPD ↗
$15.41B RAUM · 86 reps · (415) 417-3000 · jordanpark.com
47
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC — notice-filed in CO, VA. IAPD ↗
$501.2M RAUM · 10 reps · 913-295-9500
47
KINGSWOOD WEALTH ADVISORS, LLC — notice-filed in NE. IAPD ↗
$1.04B RAUM · 73 reps · 800-535-6981 · kingswoodus.com
47
STEPHENS GROUP ASSET MANAGEMENT, LLC — notice-filed in OK. IAPD ↗
$1.14B RAUM · 4 reps · 501-246-7500 · sgassetmgt.com
47
ETON ADVISORS — notice-filed in PA. IAPD ↗
$1.96B RAUM · 5 reps · 919-442-1550
47
CAPITA FINANCIAL NETWORK, LLC — notice-filed in NY. IAPD ↗
$1.46B RAUM · 18 reps · 801-566-5058 · capitaonline.com
47
ALTIORA FINANCIAL GROUP, LLC — notice-filed in VA, WI. IAPD ↗
$758.5M RAUM · 1 reps · 513-652-5776 · altiora.com
47
BRIDGEWEALTH ADVISORY GROUP, LLC — notice-filed in ID, WA. IAPD ↗
$530.1M RAUM · 3 reps · (559) 432-6100 · bridgewealth.com
47
LIGHTHOUSE WEALTH STRATEGIES, LLC — notice-filed in ID, MT. IAPD ↗
$636.6M RAUM · 11 reps · 253-948-3725 · lighthousegigharbor.com
47
REMBERT PENDLETON JACKSON — notice-filed in IL. IAPD ↗
$2.12B RAUM · 13 reps · 703-821-6655
47
OCTAVIA WEALTH ADVISORS LLC — notice-filed in MN. IAPD ↗
$1.44B RAUM · 28 reps · (513) 762-7701
47
MAYFLOWER ADVISORS — notice-filed in WV. IAPD ↗
$4.69B RAUM · 21 reps · 617-259-1767 · mayfloweradvisors.com
47
ORG PARTNERS — notice-filed in DC, VA. IAPD ↗
$983.9M RAUM · 16 reps · 260-469-9173
47
SOLLINDA CAPITAL MANAGEMENT LLC — notice-filed in CA, TX. IAPD ↗
$916.8M RAUM · 9 reps · 828-455-4264 · sollinda.com
47
ABLE FINANCIAL GROUP, LLC — notice-filed in IL, NY. IAPD ↗
$467.4M RAUM · 7 reps · 480-258-6104 · ablefinancialgroup.com
47
SYNTRINSIC LLC — notice-filed in CA. IAPD ↗
$1.75B RAUM · 12 reps · 303-296-7100
47
PLATFORM WEALTH ADVISORS — notice-filed in LA, OR. IAPD ↗
$295.1M RAUM · 6 reps · (385) 243-0553 · platformadvise.com
46
WEALTHCARE ASSET MANAGEMENT, LLC — notice-filed in AR, IL, KS. IAPD ↗
$131.5M RAUM · 3 reps · 417-865-0936 · wealthcareassetmanagement.com
46
XYPN INVEST — notice-filed in FL, PA, WI. IAPD ↗
$133.3M RAUM · 14 reps · (360) 301-7579 · newleaffinancialguidance.com
46
REGENTS PARTNERS, LLC — notice-filed in AZ, ID, PR. IAPD ↗
$217.0M RAUM · 5 reps · (925) 261-8330 · regentsparkadvisors.com
46
PACIFIC WEALTH ADVISORY SERVICES LLC — notice-filed in AZ, ID, TX. IAPD ↗
$0 RAUM · 1 reps · 925-838-7567
45
AULL & MONROE — notice-filed in LA. IAPD ↗
$329.7M RAUM · 1 reps · (251) 342-3339 · aullmonroe.com
45
FRAZIER FINANCIAL ADVISORS, LLC — notice-filed in TN. IAPD ↗
$767.9M RAUM · 14 reps · 614-793-8297
45
PORTFOLIO STRATEGIES INC NY — notice-filed in LA. IAPD ↗
$723.7M RAUM · 3 reps · 201-571-4100 · psiinvest.com
45
HALL CAPITAL MANAGEMENT COMPANY, INC. — notice-filed in SC. IAPD ↗
$342.7M RAUM · 3 reps · (401) 245-0049
45
LEVEL FINANCIAL ADVISORS, INC. — notice-filed in NH. IAPD ↗
$620.8M RAUM · 8 reps · 716-634-6113 · levelfa.com
45
EXCALIBUR MANAGEMENT CORP — notice-filed in AZ. IAPD ↗
$606.4M RAUM · 8 reps · (617) 916-9669 · excalmgmt.com
45
INVESTMENT MANAGEMENT ASSOCIATES — notice-filed in AZ. IAPD ↗
$515.4M RAUM · 2 reps · 303-796-8333 · investor.fm
45
IAS WEALTH MANAGEMENT, INC. — notice-filed in IN. IAPD ↗
$447.5M RAUM · 4 reps · 281-364-0606 · iaswealth.com
45
DINUZZO PRIVATE WEALTH, INC. — notice-filed in VA. IAPD ↗
$946.5M RAUM · 8 reps · 724-728-6564
45
ACCESS WEALTH — notice-filed in SC. IAPD ↗
$404.0M RAUM · 6 reps · 973-740-2400 · access-wealth.com
45
CALLAHAN ADVISORS, LLC — notice-filed in OK. IAPD ↗
$932.9M RAUM · 6 reps · 713-572-3366
45
MARQUIS WEALTH MANAGEMENT GROUP — notice-filed in LA. IAPD ↗
$361.1M RAUM · 6 reps · 239-454-1117 · marquiswealthgroup.com
45
FINANCIAL & TAX ARCHITECTS, LLC — notice-filed in SC. IAPD ↗
$409.9M RAUM · 23 reps · 314-858-1122 · scoutfinancialgroup.com
45
ROBLE, BELKO AND COMPANY, INC. — notice-filed in MD. IAPD ↗
$953.2M RAUM · 7 reps · (724) 935-4990
45
WAYPOINT WEALTH PARTNERS — notice-filed in CO. IAPD ↗
$935.8M RAUM · 6 reps · 877-768-4802 · waypointwp.com
45
HEADINVEST — notice-filed in PA. IAPD ↗
$897.6M RAUM · 8 reps · 207-773-5333 · headinvest.com
45
SAMALIN WEALTH — notice-filed in MD. IAPD ↗
$364.5M RAUM · 8 reps · 914-666-6600 · samalinwealth.com
45
SGL INVESTMENT ADVISORS, INC. — notice-filed in MD. IAPD ↗
$292.4M RAUM · 6 reps · 406-721-0999 · sglinvestmentadvisors.com
45
CAPITAL INSIGHT PARTNERS, LLC — notice-filed in FL. IAPD ↗
$737.0M RAUM · 6 reps · 480-295-7070 · cipinvest.com
45
KEENER FINANCIAL PLANNING — notice-filed in PA. IAPD ↗
$293.7M RAUM · 9 reps · 817-993-0401 · keenermoney.com
45
COORDINATED FINANCIAL SERVICES, INC. — notice-filed in MN. IAPD ↗
$318.1M RAUM · 3 reps · 303-770-5401 · lifetime-capital.com
45
SB ADVISORY, LLC — notice-filed in ND. IAPD ↗
$285.9M RAUM · 29 reps · 404-704-0406 · pnwadvisory.com
45
WELLSPRING FINANCIAL PARTNERS — notice-filed in VA. IAPD ↗
$832.9M RAUM · 4 reps · 520-327-1019
45
SHEPHERD FINANCIAL PARTNERS, LLC — notice-filed in NC. IAPD ↗
$975.4M RAUM · 8 reps · (781) 756-1804
45
CONCENTUS WEALTH ADVISORS — notice-filed in LA. IAPD ↗
$799.9M RAUM · 7 reps · (610) 994-9190 · vimeo.com
45
G&S CAPITAL LLC — notice-filed in IN. IAPD ↗
$338.0M RAUM · 4 reps · 303-773-8000 · gandscapital.com
45
CATALINA CAPITAL GROUP, LLC — notice-filed in WA. IAPD ↗
$629.6M RAUM · 5 reps · 310-540-5544
45
INSIGHT FOLIOS — notice-filed in WI. IAPD ↗
$279.0M RAUM · 15 reps · (704) 529-9500
45
THE GLEASON GROUP, INC. — notice-filed in HI. IAPD ↗
$785.4M RAUM · 5 reps · (502) 882-7300
45
DEDORA CAPITAL, INC. — notice-filed in PA. IAPD ↗
$424.7M RAUM · 4 reps · 707-253-0681
45
AVIVAR CAPITAL, LLC — notice-filed in NM. IAPD ↗
$443.2M RAUM · 19 reps · 818-681-6833
45
EQUITA FINANCIAL NETWORK, INC. — notice-filed in VA. IAPD ↗
$283.1M RAUM · 13 reps · 800.604.0176
45
GREAT OAK CAPITAL PARTNERS, LLC — notice-filed in PA. IAPD ↗
$320.5M RAUM · 4 reps · (508) 230-7100
45
GIBBS WEALTH MANAGEMENT, LLC — notice-filed in UT. IAPD ↗
$391.4M RAUM · 10 reps · 678-694-8770
45
COMPTON WEALTH ADVISORY GROUP, LLC — notice-filed in FL. IAPD ↗
$637.2M RAUM · 3 reps · 757-351-0741 · comptonwealth.com
45
BALBOA WEALTH PARTNERS, INC. — notice-filed in PA. IAPD ↗
$776.0M RAUM · 21 reps · 949-445-1465
45
OLIO FINANCIAL PLANNING — notice-filed in KS. IAPD ↗
$412.7M RAUM · 7 reps · 703.459.9299
45
GLEN EAGLE ADVISORS, LLC — notice-filed in NH. IAPD ↗
$714.2M RAUM · 17 reps · 609-631-8231
45
OASIS WEALTH PLANNING ADVISORS — notice-filed in NC. IAPD ↗
$254.4M RAUM · 7 reps · (615) 933-3314 · oasiswealthplanning.com
45
CYPRESS CAPITAL ADVISORS, LLC — notice-filed in MA. IAPD ↗
$323.6M RAUM · 4 reps · 615-467-6075 · musicrowwealthmanagement.com
45
OXINAS PARTNERS WEALTH MANAGEMENT — notice-filed in GA. IAPD ↗
$297.0M RAUM · 8 reps · (812) 725-8649
45
ELLSWORTH ADVISORS, LLC — notice-filed in CO. IAPD ↗
$913.6M RAUM · 10 reps · (234) 200-0703 · login.orionadvisor.com
45
LOGAN PARK WEALTH MANAGEMENT — notice-filed in MA. IAPD ↗
$315.1M RAUM · 3 reps · (612) 315-2105 · lpwm.com
45
SOCHA FINANCIAL GROUP, LLC — notice-filed in OH. IAPD ↗
$354.3M RAUM · 5 reps · 607-962-0605 · nsocha.com
45
TSG ADVICE PARTNERS, LLC — notice-filed in TN. IAPD ↗
$613.3M RAUM · 10 reps · (614) 697-2750
45
JACKSONVILLE WEALTH MANAGEMENT — notice-filed in VA. IAPD ↗
$340.2M RAUM · 5 reps · 904-923-7526 · jaxwealth.com
45
TOWER WEALTH PARTNERS — notice-filed in IN. IAPD ↗
$307.9M RAUM · 3 reps · (570) 524-7200
45
WEST MICHIGAN ADVISORS, LLC — notice-filed in TN. IAPD ↗
$494.8M RAUM · 11 reps · (616) 820-1040
45
EDGEROCK WEALTH MANAGEMENT — notice-filed in NH. IAPD ↗
$325.1M RAUM · 9 reps · 303.780.7350
45
SMITH THORNTON ADVISORS, LLC — notice-filed in TX. IAPD ↗
$735.4M RAUM · 4 reps · 256-715-7715 · smiththornton.com
45
NEXT LEVEL PRIVATE LLC — notice-filed in SC. IAPD ↗
$810.7M RAUM · 7 reps · (914) 431-5255
45
TWO PRIME LLC — notice-filed in NC. IAPD ↗
$250.0M RAUM · 5 reps · 480-290-4951 · twoprime.io
45
ULLMANN WEALTH PARTNERS — notice-filed in LA. IAPD ↗
$877.1M RAUM · 6 reps · 904-280-3700
45
PORTFOLIO DESIGN LABS, LLC — notice-filed in NH. IAPD ↗
$276.2M RAUM · 1 reps · 310-755-0411
45
CORA CAPITAL ADVISORS — notice-filed in CO. IAPD ↗
$513.0M RAUM · 7 reps · 856-513-8600
45
PRESILIUM PRIVATE WEALTH, LLC — notice-filed in MD. IAPD ↗
$442.9M RAUM · 3 reps · 215-982-4140 · presiliumpw.com
45
GOLDEN STATE EQUITY PARTNERS, LLC — notice-filed in NJ. IAPD ↗
$743.7M RAUM · 24 reps · 866-273-1563 · vector3wealth.com
45
FREEDOM FIDUCIARIES LLC — notice-filed in CA. IAPD ↗
$331.6M RAUM · 3 reps · 208-900-4331
45
TWIN PEAKS WEALTH ADVISORS — notice-filed in AZ. IAPD ↗
$318.5M RAUM · 7 reps · (650) 200-0308 · twinpwa.com
45
BALANCED WEALTH GROUP LLC — notice-filed in PA. IAPD ↗
$341.5M RAUM · 7 reps · (440) 871-6501
45
CURIO WEALTH, LLC — notice-filed in WI. IAPD ↗
$330.7M RAUM · 6 reps · 410-449-2599 · curiowealth.com
44
SUCCESSFUL MONEY STRATEGIES INC — notice-filed in NY, TX. IAPD ↗
$174.9M RAUM · 1 reps · (508) 730-2300
44
FINANCIAL LIFE PLANNERS — notice-filed in FL, PA. IAPD ↗
$133.0M RAUM · 3 reps · 480-477-8530
44
RLB FINANCIAL — notice-filed in NY, WA. IAPD ↗
$128.0M RAUM · 3 reps · 866-686-8097 · rlbfinancial.com
44
MODERN CAPITAL GROUP LLC — notice-filed in CO, TX. IAPD ↗
$30.1M RAUM · 1 reps · 212-531-5600 · modern.net
44
NAVIGATION WEALTH MANAGEMENT — notice-filed in CA, NM. IAPD ↗
$140.0M RAUM · 10 reps · 970-672-1236
44
TENON FINANCIAL — notice-filed in IL, MA. IAPD ↗
$130.9M RAUM · 2 reps · 732-902-0066 · tenonfinancial.com
44
SYNERGY INVESTMENT MANAGEMENT LLC — notice-filed in NC, NJ. IAPD ↗
$101.6M RAUM · 5 reps · 321-203-4458 · synergywealthalliance.com
44
WEALTHSPAN INVESTMENT MANAGEMENT, LLC — notice-filed in FL, SC. IAPD ↗
$7.2M RAUM · 3 reps · 616-655-1696
44
THEPARTNERS WEALTH MANAGEMENT — notice-filed in AZ, NV. IAPD ↗
$172.5M RAUM · 7 reps · 800-324-3010 · centralcoastfm.com
42
WEALTH ASSET MANAGERS — notice-filed in WY. IAPD ↗
$242.5M RAUM · 9 reps · 509-838-1313 · nelson-securities.com
42
SUPREME ALLIANCE LLC — notice-filed in OK. IAPD ↗
$11.1M RAUM · 13 reps · 561-460-2870 · supremealliancellc.com
42
BOYD FINANCIAL STRATEGIES, INC. — notice-filed in NH. IAPD ↗
$109.5M RAUM · 2 reps · (508) 754-3226 · boydstrategy.com
42
ROBERT STEPHEN CAPITAL MANAGEMENT LLC — notice-filed in FL. IAPD ↗
$224.0M RAUM · 3 reps · 918-481-6262 · robertstephen.net
42
SAXONY CAPITAL MANAGEMENT, LLC — notice-filed in MA. IAPD ↗
$239.3M RAUM · 0 reps · 314-963-9336 · saxonycapitalmanagement.com
42
ROTH ASSET MANAGEMENT, INC. — notice-filed in TX. IAPD ↗
$132.0M RAUM · 1 reps · 206-780-5550
42
ANSON ANALYTICS — notice-filed in MN. IAPD ↗
$203.7M RAUM · 3 reps · 678-216-0795
42
SAGEVIEW PRIVATE CLIENT GROUP, LLC — notice-filed in TX. IAPD ↗
$0 RAUM · 5 reps · 949-955-1395
42
HOLLAND ADVISORY SERVICES, INC. — notice-filed in PA. IAPD ↗
$232.5M RAUM · 7 reps · 386-671-7526
42
TOWNSEND FINANCIAL PLANNING — notice-filed in FL. IAPD ↗
$116.0M RAUM · 3 reps · 859-498-2020
42
GLOBAL VALUE INVESTMENT CORPORATION — notice-filed in CO. IAPD ↗
$171.1M RAUM · 6 reps · 262-478-0640
42
BEACON WEALTH CONSULTANTS, INC. — notice-filed in MI. IAPD ↗
$203.8M RAUM · 12 reps · 540-345-3891 · lightpointportfoliosolutions.com
42
WORTH ADVISORS — notice-filed in CO. IAPD ↗
$179.3M RAUM · 11 reps · 704-731-0121 · coachnetworth.com
42
TOTAL WEALTH PLANNING AND MANAGEMENT, INC. — notice-filed in AK. IAPD ↗
$178.3M RAUM · 9 reps · (866) 568-0003
42
MD FINANCIAL / VESTMENT FINANCIAL — notice-filed in AZ. IAPD ↗
$213.4M RAUM · 4 reps · 888-256-6855
42
UCAP AMERICAS — notice-filed in LA. IAPD ↗
$165.4M RAUM · 7 reps · 646-809-3600 · ucapamericas.com
42
11 FINANCIAL — notice-filed in NH. IAPD ↗
$12.4M RAUM · 6 reps · (936) 899-5629
42
PERISSOS PRIVATE WEALTH MANAGEMENT — notice-filed in NE. IAPD ↗
$141.7M RAUM · 3 reps · 405-212-9690
42
CONNECTED WEALTH SOLUTIONS, LLC — notice-filed in WA. IAPD ↗
$145.5M RAUM · 2 reps · (541) 963-7800 · connectedwealthllc.com
42
ARBOR FINANCIAL — notice-filed in TX. IAPD ↗
$167.2M RAUM · 1 reps · 734-761-6626 · arborfinancial.com
42
NICHOLAS WEALTH MANAGEMENT — notice-filed in AZ. IAPD ↗
$203.1M RAUM · 6 reps · 404-890-5606
42
FOUR FINANCIAL MANAGEMENT — notice-filed in NC. IAPD ↗
$119.8M RAUM · 6 reps · 734-272-4322
42
SLOAN ADVISORY GROUP, INC. — notice-filed in OR. IAPD ↗
$50.9M RAUM · 1 reps · 888-978-8880 · sloanadvisorygroup.com
42
GIBSON WEALTH ADVISORS, LLC — notice-filed in LA. IAPD ↗
$140.1M RAUM · 2 reps · 214-347-7475 · gibsonwealthadvisors.com
42
ANTONELLI FINANCIAL ADVISORS, LLC — notice-filed in IL. IAPD ↗
$139.3M RAUM · 3 reps · 313-290-2602 · antonelliadvisors.com
42
SIEBERT ADVISORNXT, LLC. — notice-filed in KS. IAPD ↗
$212.6M RAUM · 24 reps · 800-872-0444 · siebertnxt.com
42
FLORIDA FINANCIAL ADVISORS, LLC — notice-filed in HI. IAPD ↗
$199.0M RAUM · 294 reps · (813) 333-1683
42
PRISM PLANNING PARTNERS — notice-filed in FL. IAPD ↗
$163.9M RAUM · 3 reps · (847) 250-9870
42
OUTFITTER FINANCIAL — notice-filed in WA. IAPD ↗
$145.6M RAUM · 2 reps · 978-865-3787
42
BIG INVESTMENT SERVICES — notice-filed in NH. IAPD ↗
$238.6M RAUM · 1 reps · 302-734-7526
42
RCS FINANCIAL PLANNING, LLC — notice-filed in NC. IAPD ↗
$198.8M RAUM · 3 reps · 410-224-0097 · rcsplanning.com
42
LIBRETTO — notice-filed in LA. IAPD ↗
$0 RAUM · 3 reps · (424) 290-1308
42
FIDELIS WEALTH ADVISORS — notice-filed in MN. IAPD ↗
$192.9M RAUM · 4 reps · 303-800-4683
42
VAN CLEMENS WEALTH MANAGEMENT, LLC — notice-filed in MA. IAPD ↗
$105.9M RAUM · 16 reps · 612-758-9140 · vanclemens.com
42
SCHOLAR FINANCIAL ADVISING, LLC — notice-filed in NE. IAPD ↗
$0 RAUM · 7 reps · (336) 360-6833 · scholarfinancialadvising.com
42
CAVU WEALTH MANAGEMENT — notice-filed in FL. IAPD ↗
$114.5M RAUM · 8 reps · 858-360-7800 · cavuwealthmanagement.com
42
BIRCH WEALTH MANAGEMENT — notice-filed in FL. IAPD ↗
$38.3M RAUM · 1 reps · 315-795-2005
42
ECHO45 ADVISORS LLC — notice-filed in AZ. IAPD ↗
$167.8M RAUM · 5 reps · 877-432-4645 · echo45advisors.com
42
ADVISOR SHARE WEALTH MANAGEMENT — notice-filed in KS. IAPD ↗
$48.0M RAUM · 22 reps · 866-232-3251 · aswealthmanagement.com
42
SOUTHCOL ADVISORS — notice-filed in ID. IAPD ↗
$126.9M RAUM · 4 reps · 239-228-8747
42
FOREFRONT — notice-filed in NJ. IAPD ↗
$118.2M RAUM · 7 reps · 512-617-1984
42
TALISMAN WEALTH ADVISORS, LLC — notice-filed in NC. IAPD ↗
$192.1M RAUM · 2 reps · (908) 519-8120 · talismanwealthadvisors.com
42
GOLDEN ROAD ADVISORS LLC — notice-filed in NJ. IAPD ↗
$143.2M RAUM · 3 reps · 813-491-1593 · goldenroadadvisors.com
42
ELEVATION WEALTH MANAGEMENT — notice-filed in MA. IAPD ↗
$113.4M RAUM · 2 reps · 952-905-3042
42
ENTREWEALTH — notice-filed in MO. IAPD ↗
$174.7M RAUM · 4 reps · 512-240-2244 · jeffsocha.com
42
PEAK RETIREMENT PLANNING, INC. — notice-filed in NC. IAPD ↗
$106.0M RAUM · 6 reps · (614) 500-4121 · peakretirementplanning.com
42
IPSEN ADVISOR GROUP — notice-filed in AZ. IAPD ↗
$192.0M RAUM · 2 reps · (501) 614-4700 · ipsenadvisorgroup.com
42
ENCOMPASS MORE ASSET MANAGEMENT LLC — notice-filed in WI. IAPD ↗
$228.5M RAUM · 43 reps · 925-272-8850 · encompassmore.com
42
ONEASCENT FAMILY OFFICES — notice-filed in SC. IAPD ↗
$93.8M RAUM · 2 reps · (205) 313-9142 · sovereignfamilyoffice.co
42
BULL HARBOR CAPITAL LLC. — notice-filed in IN. IAPD ↗
$173.9M RAUM · 16 reps · 804-965-5408 · bullharborcapital.com
42
DECISIONMAP WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
$177.4M RAUM · 3 reps · (703) 520-1160 · decisionmap.com
42
JB WEALTH ADVISORS LLC — notice-filed in AZ. IAPD ↗
$11.2M RAUM · 2 reps · 615-560-8268
42
FRIDAY FINANCIAL — notice-filed in LA. IAPD ↗
$129.1M RAUM · 4 reps · (563) 552-7526
42
EXPRESSIVE WEALTH LLC — notice-filed in TX. IAPD ↗
$120.0M RAUM · 6 reps · 847-595-8812 · expressivewealth.com
42
BASSAM WEALTH MANAGEMENT, LLC — notice-filed in VA. IAPD ↗
$0 RAUM · 1 reps · (561) 231-5642 · bassamwealthmanagement.com
42
SUMMITAS INVESTMENT MANAGEMENT LLC — notice-filed in OK. IAPD ↗
$127.0M RAUM · 1 reps · 254-275-5326
42
NEWERA WEALTH — notice-filed in TX. IAPD ↗
$0 RAUM · 1 reps · 786 788-5199
42
GENEVA FINANCIAL GROUP — notice-filed in NY. IAPD ↗
$0 RAUM · 1 reps · 732-719-4101
40
CHESAPEAKE FINANCIAL PLANNING — filed an Item 4A succession naming CHESAPEAKE FINANCIAL PLANNING (CRD 283715) — an entity change, not a deal. IAPD ↗
$0 RAUM · 2 reps · 410-974-0410 · chesapeake-financial.com
85
GARDEN INVESTMENTS — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · (203) 242-8370
85
STARTINVEST FINANCIAL LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 424-303-3666
85
CORYELL INVESTMENT MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 646-907-5632 · coryell.com
85
UNIFI ASSET MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 212-351-5601 · unifiam.com
85
ARINI CAPITAL MANAGEMENT US LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 332-225-3450 · arini.com
85
BRYANT PARK FUNDING CLO MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 44 advisory reps. IAPD ↗institutional
$0 RAUM · 44 reps · 212-500-3000
85
VISTASHARES — (location n/a) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 917-319-4683 · vistashares.com
85
WISDOM FIXED INCOME MANAGEMENT — (DALLAS, TX) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 214-871-5200
85
RAVEN MUSIC PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 13 advisory reps. IAPD ↗institutional
$0 RAUM · 13 reps · 212-966-7926 · ravencm.com
85
X CAPITAL ADVISORS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 201-502-7070
85
COMPOSITION CAPITAL LP — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
$0 RAUM · 7 reps · 949-244-6836
85
GQG PRIVATE CAPITAL SOLUTIONS LLC — (TACOMA, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
$0 RAUM · 7 reps · 754-218-5500
85
STONE POINT CREDIT INCOME ADVISER LLC — (GREENWICH, CT) is newly SEC-registered with $0 RAUM and 39 advisory reps. IAPD ↗institutional
$0 RAUM · 39 reps · 203-862-2900 · stonepoint.com
85
PROTOCOL VC LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 415-370-5155 · protocol.vc
85
FORMA CASHMERE — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 310-904-9331 · thecashmerefund.com
85
FIELDVIEW CAPITAL MANAGEMENT, LLC — (NILES, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps. IAPD ↗institutional
$0 RAUM · 12 reps · 312-420-2441
85
ANANYM CAPITAL MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 347-974-1040 · ananymcapital.com
85
INVESTATURE — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 917-836-8653 · investature.biz
85
FOURTH SAIL CAPITAL US LP — (location n/a) is newly SEC-registered with $1.51B RAUM and 2 advisory reps. IAPD ↗fund
$1.51B RAUM · 2 reps · 646-355-2764 · fourthsailcap.com
85
INTELLIGENT ALPHA LLC — (MINNEAPOLIS, MN) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 215-469-1717 · intelligentalpha.co
83
KHROM CAPITAL MANAGEMENT — (MIAMI, FL) is newly SEC-registered with $389.6M RAUM and 3 advisory reps. IAPD ↗fund
$389.6M RAUM · 3 reps · 6464366643 · khromcapital.com
83
HUNTER STREET PARTNERS, LP — (WAYZATA, MN) is newly SEC-registered with $279.7M RAUM and 5 advisory reps. IAPD ↗fund
$279.7M RAUM · 5 reps · 612-404-3100 · hunterst.com
83
SCIENTECH RESEARCH LLC — (JERSEY CITY, NJ) is newly SEC-registered with $439.7M RAUM and 4 advisory reps. IAPD ↗fund
$439.7M RAUM · 4 reps · 201-292-3789
83
BY CRYPTO MANAGEMENT, LLC — (LITTLE ROCK, AR) is newly SEC-registered with $747.4M RAUM and 8 advisory reps. IAPD ↗fund
$747.4M RAUM · 8 reps · 917-561-4905
83
SYMBIOSIS CAPITAL PARTNERS, LLC — (BENTONVILLE, AR) is newly SEC-registered with $278.8M RAUM and 6 advisory reps. IAPD ↗fund
$278.8M RAUM · 6 reps · 4793786655
80
13D MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $176.0M RAUM and 5 advisory reps. IAPD ↗fund
$176.0M RAUM · 5 reps · 212-223-2282 · 13dmanagement.com
80
HIGHBURY PARK LLC — (location n/a) is newly SEC-registered with $155.1M RAUM and 1 advisory reps. IAPD ↗fund
$155.1M RAUM · 1 reps · 401-651-1059
80
BRAESWOOD CARBON MANAGEMENT, LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $185.9M RAUM and 3 advisory reps. IAPD ↗fund
$185.9M RAUM · 3 reps · 415-325-2523 · braeswoodcarbon.com
80
REMORA CAPITAL PARTNERS — (NASHVILLE, TN) is newly SEC-registered with $245.0M RAUM and 3 advisory reps. IAPD ↗fund
$245.0M RAUM · 3 reps · 615-380-1095 · remoracap.com
80
FLOW STATE INVESTMENTS, LP — (CHICAGO, IL) is newly SEC-registered with $188.4M RAUM and 11 advisory reps. IAPD ↗fund
$188.4M RAUM · 11 reps · 773-938-9600 · flowstateinvestments.com
80
CONTINUIM EQUITY PARTNERS, LP — (PITTSBURGH, PA) is newly SEC-registered with $167.3M RAUM and 13 advisory reps. IAPD ↗fund
$167.3M RAUM · 13 reps · 412-586-7651
80
DIGITAL ASSET MANAGEMENT — (PHOENIX, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
$0 RAUM · 1 reps · 6029101254 · damx.us
80
PINE VALLEY CAPITAL PARTNERS LLC — (AUSTIN, TX) is newly SEC-registered with $238.1M RAUM and 4 advisory reps. IAPD ↗fund
$238.1M RAUM · 4 reps · 713-417-4441 · pvcapitalpartners.com
80
QUADRATURE US INC. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 80 advisory reps. IAPD ↗fund
$0 RAUM · 80 reps · 646-224-7425 · quadrature.ai
72
DURATION CAPITAL PARTNERS LLC — grew from 2 to 14 advisory reps. IAPD ↗institutional
$3.34B RAUM · 14 reps · (646) 303-7130 · durationcapitalpartners.com
70
CQS (US), LLC — crossed $1B in regulatory AUM ($894.6M -> $3.55B). IAPD ↗fund
$3.55B RAUM · 12 reps · 212-259-2900 · cqscapital.com
65
DIAMETER PRINCIPAL FINANCE LLC — grew from 39 to 46 advisory reps. IAPD ↗institutional
$622.9M RAUM · 46 reps · 212-665-1400 · diametercap.com
65
TRINETRA INVESTMENT MANAGEMENT LLP — (LONDON, United Kingdom) is newly SEC-registered with $224.0M RAUM and 4 advisory reps. IAPD ↗foreign
$224.0M RAUM · 4 reps · +44 20 3908 8900 · trinetra-im.com
65
NUTSHELL ASSET MANAGEMENT LIMITED — (SEVENOAKS, United Kingdom) is newly SEC-registered with $165.0M RAUM and 2 advisory reps. IAPD ↗foreign
$165.0M RAUM · 2 reps · +44 (0)20 78560520 · nutshellam.com
65
ARINI CAPITAL MANAGEMENT LIMITED — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 26 advisory reps. IAPD ↗foreign
$0 RAUM · 26 reps · +44 (0) 204 571 0034 · arini.com
65
ROSEN GROUP PRIVATE WEALTH MANAGEMENT, LLC — (POINTE-CLAIRE. QC, Canada) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 514-782-5966
65
DURATION CAPITAL PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$3.34B RAUM · 14 reps · (646) 303-7130 · durationcapitalpartners.com
63
SIMPLIFY ASSET MANAGEMENT INC. — grew from 10 to 13 advisory reps. IAPD ↗institutional
$4.66B RAUM · 13 reps · 646-585-0476 · simplify.us
63
TALLVINE PARTNERS MANAGEMENT LP — 's provisional registration is now fully approved. IAPD ↗institutional
$250.0M RAUM · 4 reps · 786-475-3890
63
PARADOXIOM CAPITAL — 's provisional registration is now fully approved. IAPD ↗institutional
$446.1M RAUM · 3 reps · 267-975-4728
63
PL3 CAPITAL LP — 's provisional registration is now fully approved. IAPD ↗institutional
$300.7M RAUM · 1 reps · 917-484-0819
63
SOPHRON CAPITAL MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗institutional
$251.7M RAUM · 2 reps · 212-970-9451
62
SIXTH STREET ADVISERS, LLC — grew from 277 to 284 advisory reps. IAPD ↗fund
$70.98B RAUM · 284 reps · 469-621-3001
61
DIAMETER CAPITAL PARTNERS LP — grew from 50 to 56 advisory reps. IAPD ↗fund
$18.31B RAUM · 56 reps · 212-655-1400 · diametercap.com
60
DURATION CAPITAL PARTNERS LLC — now reports custody of client assets ($6.67B). IAPD ↗institutional
$3.34B RAUM · 14 reps · (646) 303-7130 · durationcapitalpartners.com
60
5CLP ADVISOR — 's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 3 reps · 212-516-3171 · 5cinvest.com
60
SLW MANAGEMENT COMPANY — 's provisional registration is now fully approved. IAPD ↗fund
$1.32B RAUM · 8 reps · 415-851-9870 · slw.vc
60
MIDBRIDGE ADVISORS LP — 's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 12 reps · 303-454-5453
60
CION GROSVENOR MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 2 reps · 646-253-8235 · cioninvestments.com
60
INDAGO CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$199.9M RAUM · 4 reps · 212-680-4970
60
FINANCEBUZZ — 's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 5 reps · 443-326-1434 · financebuzz.com
58
AGELLUS CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗fund
$410.0M RAUM · 5 reps · 314-408-5600
58
KIAN CAPITAL PARTNERS, LLC — now reports 2 private fund(s) ($263.3M gross). IAPD ↗fund
$263.3M RAUM · 15 reps · 704-943-2500
56
AGELLUS CAPITAL, LLC — grew from 2 to 5 advisory reps. IAPD ↗fund
$410.0M RAUM · 5 reps · 314-408-5600
55
EMBLEM GROUP, L.P. — 's provisional registration is now fully approved. IAPD ↗fund
$191.9M RAUM · 4 reps · 781-208-2409 · emblem.investments
55
TRITON PACIFIC HEALTHCARE PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗fund
$233.4M RAUM · 5 reps · 804-893-3712
55
DV CAPITAL ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗fund
$109.2M RAUM · 3 reps · 312-663-7111
55
5C ADVISOR — 's provisional registration is now fully approved. IAPD ↗fund
$25.0M RAUM · 3 reps · 212-516-3171 · 5cinvest.com
55
FISAI US MANAGEMENT LLC — now reports 1 private fund(s) ($235.9M gross). IAPD ↗fund
$235.9M RAUM · 2 reps · 310-916-9537 · fisai.com
55
EMBLEM GROUP, L.P. — now reports 3 private fund(s) ($191.9M gross). IAPD ↗fund
$191.9M RAUM · 4 reps · 781-208-2409 · emblem.investments
55
TRITON PACIFIC HEALTHCARE PARTNERS, LLC — now reports 5 private fund(s) ($233.4M gross). IAPD ↗fund
$233.4M RAUM · 5 reps · 804-893-3712
55
CCS PARTNERS LLC — now reports 1 private fund(s) ($105.9M gross). IAPD ↗fund
$105.9M RAUM · 6 reps · 212 224-9400 · ccs-partners.com
55
5C ADVISOR — now reports 1 private fund(s) ($25.0M gross). IAPD ↗fund
$25.0M RAUM · 3 reps · 212-516-3171 · 5cinvest.com
52
EMBLEM GROUP, L.P. — grew from 2 to 4 advisory reps. IAPD ↗fund
$191.9M RAUM · 4 reps · 781-208-2409 · emblem.investments
50
ARAVALLI CAPITAL MANAGEMENT LP — now reports custody of client assets ($213.0M). IAPD ↗fund
$106.5M RAUM · 4 reps · 212-680-4950 · aravallicap.com
50
EMBLEM GROUP, L.P. — now reports custody of client assets ($383.9M). IAPD ↗fund
$191.9M RAUM · 4 reps · 781-208-2409 · emblem.investments
50
CCS PARTNERS LLC — now reports custody of client assets ($211.7M). IAPD ↗fund
$105.9M RAUM · 6 reps · 212 224-9400 · ccs-partners.com
50
5C ADVISOR — now reports custody of client assets ($50.0M). IAPD ↗fund
$25.0M RAUM · 3 reps · 212-516-3171 · 5cinvest.com
45
PIPER SANDLER & CO. — 's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗institutional
$1.58B RAUM · 24 reps · 612-303-6000 · pipersandler.com
45
BLACKROCK FUND ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (38 -> 39). IAPD ↗institutional
$3047.29B RAUM · 283 reps · 415 670 2000 · douyin.com
45
TIAA-CREF TUITION FINANCING, INC. — 's Item 11 disclosure-reporting entries rose by 1 (4 -> 5). IAPD ↗institutional
$43.09B RAUM · 3 reps · 212-916-4724
45
HILLTOP SECURITIES ASSET MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
$27.23B RAUM · 12 reps · 214-953-4000 · hilltopsecurities.com
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 6 (106 -> 112). IAPD ↗institutional
$20.04B RAUM · 11 reps · 212-454-4500
45
SOUND POINT COMMERCIAL REAL ESTATE FINANCE LLC — 's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗institutional
$2.42B RAUM · 15 reps · 212-895-2280
45
VEST FINANCIAL LLC — notice-filed in AZ, CA, IL, MA, MD, SC. IAPD ↗institutional
$24.38B RAUM · 10 reps · 855-979-6060
43
NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC. — 's Item 11 disclosure-reporting entries rose by 1 (8 -> 9). IAPD ↗institutional
$884.0M RAUM · 2 reps · 212-318-9300
40
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 6 (666 -> 672). IAPD ↗institutional
$0 RAUM · 149 reps · 212-250-2500 · dbresearch.com
40
BNY MELLON INVESTMENT ADVISER, INC. — 's Item 11 disclosure-reporting entries rose by 3 (16 -> 19). IAPD ↗fund
$339.70B RAUM · 23 reps · 212-635-8827 · bnymellonim.com
40
BLACKROCK REALTY ADVISORS INC — 's Item 11 disclosure-reporting entries rose by 1 (37 -> 38). IAPD ↗fund
$2.14B RAUM · 61 reps · 212 810 5300
40
TENNENBAUM CAPITAL PARTNERS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (42 -> 43). IAPD ↗fund
$6.09B RAUM · 19 reps · 310 566 1000 · douyin.com
40
SOUND POINT LUNA LLC — 's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗fund
$13.80B RAUM · 9 reps · 212-895-2280 · soundpointcap.com
40
P. SCHOENFELD ASSET MANAGEMENT LP — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$1.82B RAUM · 12 reps · 212-649-9500 · psam.com
40
OBRA CAPITAL MANAGEMENT, LLC. — 's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗fund
$2.68B RAUM · 54 reps · 512-961-8265 · obra.com
40
SOUND POINT CAPITAL MANAGEMENT, LP — 's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗fund
$38.38B RAUM · 76 reps · (212) 895-2280 · soundpointcap.com
40
BLACKROCK ALTERNATIVES MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (39 -> 40). IAPD ↗fund
$14.60B RAUM · 16 reps · 212 810 5300
40
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (42 -> 43). IAPD ↗fund
$50.71B RAUM · 26 reps · 302 797 2000
40
SOUND POINT CLO C-MOA, LLC — 's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗fund
$4.49B RAUM · 15 reps · 212-895-2280
40
SOUND POINT MERIDIAN MANAGEMENT COMPANY LLC — 's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗institutional
$2 RAUM · 4 reps · 212-895-2280 · soundpointcap.com
40
SUMITOMO MITSUI DS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. — grew from 9 to 11 advisory reps. IAPD ↗foreign
$632.0M RAUM · 11 reps · 65 6297 6811 · asia.smd-am.com
40
GREENPORTFOLIO INC. — notice-filed in AK, LA, NE, TN, TX. IAPD ↗institutional
$0 RAUM · 1 reps · 917-719-0206 · greenportfolio.com
38
GFO ADVISORY SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗fund
$257.0M RAUM · 0 reps · 203-661-6616
37
SIMPLIFY ASSET MANAGEMENT INC. — notice-filed in NH. IAPD ↗institutional
$4.66B RAUM · 13 reps · 646-585-0476 · simplify.us
35
SVOF/MM, LLC — 's Item 11 disclosure-reporting entries rose by 1 (42 -> 43). IAPD ↗fund
$203.5M RAUM · 19 reps · 310 566 1000
34
CAPITAL CLIENT GROUP, INC. — notice-filed in IL, NY. IAPD ↗institutional
$0 RAUM · 494 reps · 213-486-9200
32
USI SECURITIES, INC. — notice-filed in WI. IAPD ↗institutional
$0 RAUM · 19 reps · 860-652-3239
32
DYNAMIC BETA INVESTMENTS LLC — notice-filed in CT. IAPD ↗fund
$2.65B RAUM · 3 reps · 646-837-7030 · dbi.co
32
KENNEDY LEWIS MANAGEMENT LP — notice-filed in PA. IAPD ↗fund
$8.97B RAUM · 38 reps · 212-782-3480
32
GHISALLO CAPITAL MANAGEMENT LLC — notice-filed in MA. IAPD ↗fund
$2.79B RAUM · 19 reps · 617-502-5735 · ghisallo.com
32
DATALIGN — notice-filed in VI. IAPD ↗institutional
$0 RAUM · 0 reps · 781-228-5678
32
MIDBRIDGE ADVISORS LP — notice-filed in NY. IAPD ↗institutional
$0 RAUM · 12 reps · 303-454-5453
30
KENT LAKE CAPITAL LLC — notice-filed in PR. IAPD ↗fund
$496.5M RAUM · 5 reps · 415-799-2720
29
CACHE ADVISORS LLC — notice-filed in IA, NY. IAPD ↗fund
$32.0M RAUM · 1 reps · 408-409-4296 · usecache.com
28
GREAT ELM CAPITAL MANAGEMENT, LLC — filed an Item 4A succession naming GREAT ELM CAPITAL MANAGEMENT, INC. (CRD 284304) — an entity change, not a deal. IAPD ↗fund
$288.4M RAUM · 8 reps · 561-214-7901 · greatelmgroup.com
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 6 (106 -> 112). IAPD ↗foreign
$44.97B RAUM · 75 reps · 49 69 910 12371
25
HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (13 -> 14). IAPD ↗foreign
$87.57B RAUM · 98 reps · 852-2284-1111
25
BLACKROCK INTERNATIONAL LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (39 -> 40). IAPD ↗foreign
$48.14B RAUM · 27 reps · 44 131 4727200
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 6 (105 -> 111). 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 6 (107 -> 113). 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 4 (107 -> 111). IAPD ↗foreign
$3.45B RAUM · 20 reps · 852-2203-8888
25
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG — 's Item 11 disclosure-reporting entries rose by 1 (39 -> 40). IAPD ↗foreign
$1.27B RAUM · 19 reps · 41 44 297 7373
25
BLACKROCK (SINGAPORE) LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (40 -> 41). IAPD ↗foreign
$50.66B RAUM · 99 reps · 65 6411 3000
25
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (39 -> 40). IAPD ↗foreign
$96.93B RAUM · 102 reps · 852 3903 2800
25
A.P. GILFOYLE MANAGEMENT & RESEARCH COMPANY, L.L.C. — filed an Item 4A succession naming A.P. GILFOYLE & CO., L.P. (CRD 329643) — an entity change, not a deal. IAPD ↗fund
$1.9M RAUM · 2 reps · 212-529-4550 · apgilfoyle.com

Free page: firm, event, phone, website. The paid feed adds every window as CSV, filters by state and AUM band, and alerts the day the roster drops. Data: SEC Form ADV monthly roster; confirm on IAPD before acting.