← Tributary

Compliance — October 2024

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

531 firms opened this window in the October 2024 SEC roster: 205 state expansion, 115 new registration, 53 disclosure added, 52 headcount up, 49 pending approved, 31 custody started, 10 aum crossed 1b, 9 private funds started, 5 reorganization, 2 wrap program started.

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

98
FORM WEALTH ADVISORS, LLC — (LAKE GENEVA, WI) is newly SEC-registered with $925.8M RAUM and 7 advisory reps. IAPD ↗
$925.8M RAUM · 7 reps · 262-686-3005
95
HILLSPRING FINANCIAL, INC. — (SURPRISE, AZ) is newly SEC-registered with $169.2M RAUM and 2 advisory reps. IAPD ↗
$169.2M RAUM · 2 reps · 623-583-6141 · hillspringfinancial.com
95
GIBSON FINANCIAL SOLUTIONS, INC. — (ELLSWORTH, ME) is newly SEC-registered with $122.2M RAUM and 1 advisory reps. IAPD ↗
$122.2M RAUM · 1 reps · 207-667-9993 · gibsonfinancialsolutions.com
95
GCI FINANCIAL GROUP — (MENDHAM, NJ) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
$101.1M RAUM · 2 reps · 973-543-2133 · gcifinancialgroup.com
95
FINANCIAL LEGACY MANAGEMENT, NC. — (LITTLE ROCK, AR) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 501-224-7526 · financiallegacymanagement.com
95
WHITE OAK FINANCIAL MANAGEMENT, INC — (ASHEVILLE, NC) is newly SEC-registered with $105.6M RAUM and 3 advisory reps. IAPD ↗
$105.6M RAUM · 3 reps · 828-274-7844
95
DDO ADVISORY SERVICES, LLC — (RHINEBECK, NY) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
$34.8M RAUM · 1 reps · 646-234-4881 · ddoadvisory.com
95
ARTHUR STEIN FINANCIAL, LLC — (BETHESDA, MD) is newly SEC-registered with $109.7M RAUM and 3 advisory reps. IAPD ↗
$109.7M RAUM · 3 reps · 301-377-9407 · arthursteinfinancial.com
95
PENSERRA GLOBAL INVESTORS LLC — (ORINDA, CA) is newly SEC-registered with $1.0M RAUM and 10 advisory reps. IAPD ↗
$1.0M RAUM · 10 reps · 800-456-8850 · penserra.com
95
SHERMAN WEALTH MANAGEMENT LLC — (GAITHERSBURG, MD) is newly SEC-registered with $112.2M RAUM and 3 advisory reps. IAPD ↗
$112.2M RAUM · 3 reps · (240) 428-1622
95
NOBSCOT INVESTMENT MANAGEMENT LLC — (WELLESLEY, MA) is newly SEC-registered with $129.9M RAUM and 1 advisory reps. IAPD ↗
$129.9M RAUM · 1 reps · 781-237-2700 · nobscotinvest.com
95
FOGARTY WEALTH MANAGEMENT, INC. — (MISSOURI CITY, TX) is newly SEC-registered with $110.0M RAUM and 1 advisory reps. IAPD ↗
$110.0M RAUM · 1 reps · 281-403-1818 · fogartywm.com
95
OUTBOUND FINANCIAL — (BOULDER, CO) is newly SEC-registered with $100.1M RAUM and 1 advisory reps. IAPD ↗
$100.1M RAUM · 1 reps · (720) 642-9701 · outboundfinancial.com
95
RISEMINT — (EVERGREEN, CO) is newly SEC-registered with $106.5M RAUM and 5 advisory reps. IAPD ↗
$106.5M RAUM · 5 reps · (888) 998-3254
95
PLANVEST FINANCIAL, INC. — (GAITHERSBURG, MD) is newly SEC-registered with $110.9M RAUM and 5 advisory reps. IAPD ↗
$110.9M RAUM · 5 reps · (301) 977-7123
95
BRINDLE & BAY FINANCIAL ADVISORS, LLC — (FRISCO, TX) is newly SEC-registered with $100.5M RAUM and 2 advisory reps. IAPD ↗
$100.5M RAUM · 2 reps · 214-988-9178 · brindleandbay.com
95
ROCHESTER WEALTH STRATEGIES, LLC — (ROCHESTER, MI) is newly SEC-registered with $121.4M RAUM and 4 advisory reps. IAPD ↗
$121.4M RAUM · 4 reps · (248) 434-6550
95
KISSLING FINANCIAL SERVICES, LLC — (NEW CASTLE, PA) is newly SEC-registered with $104.3M RAUM and 1 advisory reps. IAPD ↗
$104.3M RAUM · 1 reps · 724-667-1617 · kisslingfinancial.com
95
DIRECTIONAL ADVISORS — (location n/a) is newly SEC-registered with $114.0M RAUM and 1 advisory reps. IAPD ↗
$114.0M RAUM · 1 reps · 214-714-5520 · quora.com
95
AHARA ADVISORS — (JERSEY CITY, NJ) is newly SEC-registered with $110.8M RAUM and 2 advisory reps. IAPD ↗
$110.8M RAUM · 2 reps · 412-908-0844
95
MINT ASSET MANAGEMENT LLC — (HOBOKEN, NJ) is newly SEC-registered with $43.9M RAUM and 3 advisory reps. IAPD ↗
$43.9M RAUM · 3 reps · 908-777-1717 · mintassetmanagement.com
95
WINCAP FINANCIAL LLC — (BOSTON, MA) is newly SEC-registered with $124.2M RAUM and 2 advisory reps. IAPD ↗
$124.2M RAUM · 2 reps · (617) 590-3250 · wincapfinancial.com
95
10ELMS LLP — (location n/a) is newly SEC-registered with $103.4M RAUM and 2 advisory reps. IAPD ↗
$103.4M RAUM · 2 reps · 918-812-7998 · 10elms.com
95
ECHO FINANCIAL ADVISORS, LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 330-703-7644
95
NAUTA CAPITAL LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 510-912-2352
95
QUANTCA FINANCIAL — (DOVER, DE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 3023215022 · quantca.com
95
COVE — (SANTA CLARA, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 651-442-9483 · usecove.com
95
PANDI, LLC — (LEAWOOD, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · (913) 406-9929 · pandikc.com
95
WEALTH2B — (PONCE, PR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 1 (205) 953-6526 · wealth2b.com
95
MAYNERICH FINANCIAL — (VIRDEN, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 217-965-5796
95
HARBORFRONT FINANCIAL GROUP — (LUDINGTON, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 231-843-1516
95
GFG SOLUTIONS — (ORLANDO, FL) is newly SEC-registered with $151.1M RAUM and 6 advisory reps. IAPD ↗
$151.1M RAUM · 6 reps · (407) 627-0091 · gfgsolutions.com
95
FOUNTAINHEAD MULTI-FAMILY OFFICE, LLC — (NEW CANAAN, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 917-617-7149
95
WEALTHPRIME — (SAN JOSE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 8557746340 · wealthprime.com
95
ARCH OTC LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 954-261-3960 · arch.finance
95
PARK SQUARE FINANCIAL GROUP LLC — (ROSWELL, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 770-641-1401
95
HEADLAND CAPITAL — (MT. PLEASANT, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 843-388-4300 · headland.capital
95
OCM PRIVATE WEALTH, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 216-456-1515 · ocmprivatewealth.com
95
UNITING WEALTH PARTNERS — (MISSION, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 479-903-7111 · unitingwealthpartners.com
95
NAVISTA WEALTH MANAGEMENT, INC. — (MINNEAPOLIS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 612-315-2400
95
PATEL CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 609-841-9305 · patelcapitalmgmt.com
95
PERSPECTIVE WEALTH ADVISORS — (LOVELAND, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 970-732-7975
95
LINEPOINT PARTNERS & CO. — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 323-886-3635
95
YANDELL INVESTMENTS, LLC — (ORLANDO, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 407-898-5777
95
SAGEWATER WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $2.0M RAUM and 2 advisory reps. IAPD ↗
$2.0M RAUM · 2 reps · 310-574-2866
95
HUNTER KEITH INDUSTRIES, INC. — (WAYZATA, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (612) 204-0405
95
MOMENT PARTNERS, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 415-395-22523
95
OXFORD WEALTH MANAGEMENT — (LINDON, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 801-369-1429 · oxfordwealthmgt.com
95
VINCENT WEALTH ADVISORS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (617) 458-2593
95
UPSKILL WEALTH MANAGEMENT, LLC — (CORTLAND, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 315-882-1770 · upskillwm.com
95
OLDFIELD WEALTH PARTNERS — (BANGOR, ME) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 207-573-3001 · oldfieldwealth.com
95
ELEVATE CAPITAL GROUP, LLC — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 949-577-2578 · elevatefinsvcs.com
95
THE WELLINGTON GRP LLC — (INDIANAPOLIS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 317-846-5055 · wellingtonwealthstrategies.com
95
LECLAIR WEALTH PARTNERS — (DUBLIN, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 888-277-5704 · leclairwealthpartners.com
95
STONE TEMPLE PARTNERS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 917-837-4617
95
INTELLUS ADVISORS, LLC — (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 239-649-3600 · intellusadvisors.com
95
COLLABORATIVE PORTFOLIO MANAGEMENT — (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $120.7M RAUM and 3 advisory reps. IAPD ↗
$120.7M RAUM · 3 reps · 816-471-5556
95
MORANGIE MANAGEMENT LLC — (MARSHFIELD, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 908-285-6686 · morangiemanagement.com
95
CEDRUS — (LITTLETON, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 303-710-2708
95
MATAURO, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 14 advisory reps. IAPD ↗
$0 RAUM · 14 reps · 845-273-6211 · matauro.com
95
BRAMBLE WEALTH PLANNING — (CINCINNATI, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 513-977-8646
95
TFR CAPITAL — (PLANO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 800-765-0397
95
VAQUITA SUN, INC. — (FORT LAUDERDALE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 954-620-9900
85
LVM CAPITAL MANAGEMENT LTD — crossed $1B in regulatory AUM ($974.6M -> $1.18B). IAPD ↗
$1.18B RAUM · 7 reps · 269-321-8120 · lvmcapital.com
85
VISE AI ADVISORS — crossed $1B in regulatory AUM ($637.9M -> $1.07B). IAPD ↗
$1.07B RAUM · 17 reps · 201-375-3969
85
GAMMA INVESTING LLC — crossed $1B in regulatory AUM ($705.4M -> $1.01B). IAPD ↗
$1.01B RAUM · 5 reps · 888-585-1755 · gammainvesting.com
85
WEALTHSPIRE ADVISORS — grew from 140 to 160 advisory reps. IAPD ↗
$21.69B RAUM · 160 reps · (212) 973-1200
85
PRIVATE ADVISOR GROUP, LLC — grew from 721 to 742 advisory reps. IAPD ↗
$35.29B RAUM · 742 reps · 973-538-7010
85
THE COLONY GROUP, LLC — grew from 660 to 688 advisory reps. IAPD ↗
$21.47B RAUM · 688 reps · 617-723-8200 · debrabrede.com
85
THURSTON SPRINGER ADVISORS — grew from 51 to 68 advisory reps. IAPD ↗
$3.96B RAUM · 68 reps · 317.581.4000 · conservationwm.com
80
CAPITAL RESEARCH AND MANAGEMENT COMPANY — grew from 362 to 372 advisory reps. IAPD ↗
$3315.36B RAUM · 372 reps · 213-486-9200 · icanretire.com
80
STIRLINGSHIRE INVESTMENTS — grew from 11 to 28 advisory reps. IAPD ↗
$69.2M RAUM · 28 reps · 877-600-7026
76
MOORS & CABOT, INC — grew from 67 to 73 advisory reps. IAPD ↗
$3.09B RAUM · 73 reps · 800-426-0501
76
NEW YORK LIFE INVESTMENT MANAGEMENT LLC — grew from 14 to 20 advisory reps. IAPD ↗
$109.07B RAUM · 20 reps · 888-474-7725 · reddit.com
75
SANCTUARY ADVISORS, LLC — grew from 319 to 324 advisory reps. IAPD ↗
$22.02B RAUM · 324 reps · 317-975-7729
75
CONFLUENCE FINANCIAL PARTNERS — grew from 29 to 34 advisory reps. IAPD ↗
$3.06B RAUM · 34 reps · 724-271-8801
75
CONCURRENT INVESTMENT ADVISORS, LLC — grew from 126 to 131 advisory reps. IAPD ↗
$6.26B RAUM · 131 reps · (813) 575-2652 · stamperwealth.com
75
CANNELL & SPEARS LLC — now reports 2 private fund(s) ($10.0M gross). IAPD ↗
$5.86B RAUM · 19 reps · 212-752-5255 · thebeehivefund.com
74
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC — grew from 8 to 14 advisory reps. IAPD ↗
$563.8M RAUM · 14 reps · 719-478-7036
73
WOLF GROUP CAPITAL ADVISORS — grew from 6 to 11 advisory reps. IAPD ↗
$526.8M RAUM · 11 reps · (703) 652-6255
73
SOLANO WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
$343.9M RAUM · 4 reps · (707) 435-8400 · solanowealth.com
73
503 CAPITAL PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
$382.0M RAUM · 10 reps · 913-279-0177 · 503capitalpartners.com
73
VERIDAN WEALTH — 's provisional registration is now fully approved. IAPD ↗
$288.9M RAUM · 4 reps · 503-946-9733 · veridanwealth.com
73
PARR MCKNIGHT WEALTH MANAGEMENT GROUP — 's provisional registration is now fully approved. IAPD ↗
$949.2M RAUM · 7 reps · 612-324-0235 · parrmcknightwmg.com
73
BRISTOL WEALTH GROUP — 's provisional registration is now fully approved. IAPD ↗
$754.4M RAUM · 5 reps · (508) 738-6248 · bristolcountysavings.com
73
ALLEGIANT WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
$393.1M RAUM · 1 reps · (918) 623-4500 · allegiantwealth.com
73
IMPACT RETIREMENT ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$625.7M RAUM · 2 reps · 507-581-6131
73
SOUTHERN EQUITY ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
$389.2M RAUM · 2 reps · 877-240-9233 · southernequity.com
73
CARRERA CAPITAL ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$617.3M RAUM · 6 reps · 248-362-5009
73
TOPSAIL WEALTH MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
$875.7M RAUM · 3 reps · 980-308-9901 · topsailwealthmanagement.com
73
GUILBAULT CAPITAL — 's provisional registration is now fully approved. IAPD ↗
$313.0M RAUM · 1 reps · 504-612-9250 · guilbaultcapital.com
73
PANORAMIC CAPITAL PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
$263.2M RAUM · 2 reps · 503-937-7420 · panoramiccp.com
73
FOUNDERS GROVE WEALTH PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
$423.2M RAUM · 2 reps · (804) 910-0001 · fgwp.com
73
PARKWOODS WEALTH PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
$403.5M RAUM · 3 reps · 315-757-1100 · parkwoodswealth.com
73
SOUTHERN EQUITY ADVISORS LLC — now reports 6 private fund(s) ($179.6M gross). IAPD ↗
$389.2M RAUM · 2 reps · 877-240-9233 · southernequity.com
71
LAZARI CAPITAL MANAGEMENT, INC. — grew from 5 to 8 advisory reps. IAPD ↗
$471.1M RAUM · 8 reps · 818-264-0610 · lazaricapital.com
70
CAPITAL RESEARCH AND MANAGEMENT COMPANY — now reports custody of client assets ($13.94B). IAPD ↗
$3315.36B RAUM · 372 reps · 213-486-9200 · icanretire.com
70
INNOVIA WEALTH, LLC — now reports custody of client assets ($1.11B). IAPD ↗
$2.23B RAUM · 18 reps · 616-719-5007
70
AARON WEALTH ADVISORS — now reports custody of client assets. IAPD ↗
$1.95B RAUM · 9 reps · 312-506-5780 · aaronwealth.com
70
TSFG, LLC — grew from 9 to 11 advisory reps. IAPD ↗
$649.1M RAUM · 11 reps · 847-735-7100
70
GOLDSTONE FINANCIAL GROUP, LLC — grew from 10 to 12 advisory reps. IAPD ↗
$662.4M RAUM · 12 reps · 630-620-9300 · goldstonefinancialgroup.net
70
WEALTH DIMENSIONS FAMILY OFFICE, INC — grew from 9 to 11 advisory reps. IAPD ↗
$583.8M RAUM · 11 reps · (513) 945-1030
70
SYNERGY INVESTMENT MANAGEMENT LLC — grew from 5 to 10 advisory reps. IAPD ↗
$101.6M RAUM · 10 reps · 321-203-4458
70
DISCIPLINE WEALTH SOLUTIONS, INC. — grew from 3 to 8 advisory reps. IAPD ↗
$93.0M RAUM · 8 reps · 864-322-6046 · stahlneckergroup.com
70
TOPSAIL WEALTH MANAGEMENT LLC — grew from 1 to 3 advisory reps. IAPD ↗
$875.7M RAUM · 3 reps · 980-308-9901 · topsailwealthmanagement.com
70
WEALTH MORE ENTERPRISE, INC. — 's provisional registration is now fully approved. IAPD ↗
$115,332 RAUM · 6 reps · 888-303-6361 · hellowealthmore.com
70
TRUVIUS — 's provisional registration is now fully approved. IAPD ↗
$37,574 RAUM · 2 reps · 617-518-5423 · truvius.io
70
CAVALCADE CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
$138.0M RAUM · 1 reps · 212-287-7727 · cavalcade.capital
70
SPHINX INVESTMENTS LLC — 's provisional registration is now fully approved. IAPD ↗
$12.6M RAUM · 1 reps · 833-247-7833 · sphinx.com
70
1015 CAPITAL PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
$101.7M RAUM · 2 reps · 610-574-7036 · 1015capitalpartners.com
70
MINDORO CAPITAL PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
$100.2M RAUM · 6 reps · (617) 214-2313 · mindoro.com
70
FIRST FINANCIAL SERVICES, LLC — 's provisional registration is now fully approved. IAPD ↗
$103.9M RAUM · 4 reps · 501-666-0302 · firstfinservices.com
70
FUTUREMONEY RIA — 's provisional registration is now fully approved. IAPD ↗
$9,500 RAUM · 1 reps · 603-812-0108
70
WHALE — 's provisional registration is now fully approved. IAPD ↗
$229,407 RAUM · 1 reps · 8884887104 · getwhale.co
70
BASSAM WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
$192.2M RAUM · 1 reps · (561) 231-5642 · bassamwealthmanagement.com
70
KETRON FINANCIAL LLC — 's provisional registration is now fully approved. IAPD ↗
$109.5M RAUM · 2 reps · 415-892-0928
70
INTEGRITY WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
$238.8M RAUM · 3 reps · (541) 650-6061 · integritywealthnw.com
70
PACIFIC WEALTH ADVISORY SERVICES LLC — 's provisional registration is now fully approved. IAPD ↗
$101.9M RAUM · 1 reps · 925-838-7567
70
GULFSTREAM ASSET MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
$34.4M RAUM · 1 reps · 786-512-1989
70
BONA FIDE WEALTH — 's provisional registration is now fully approved. IAPD ↗
$100.9M RAUM · 1 reps · 512-636-5747 · bonafide-wealth.com
70
THE KIECKHEFER GROUP — 's provisional registration is now fully approved. IAPD ↗
$168.0M RAUM · 2 reps · 4147043826 · kieckhefergroup.com
70
DOUGLASS INVESTMENT GROUP — 's provisional registration is now fully approved. IAPD ↗
$162.0M RAUM · 2 reps · 316-854-8495 · douglassgroup.net
70
ZERO DAY CAPITAL ENTERPRISES LLC — 's provisional registration is now fully approved. IAPD ↗
$35.0M RAUM · 1 reps · (617) 800-0388
70
OSPREY PRIVATE WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
$158.8M RAUM · 1 reps · 646-445-5107
70
OUTRUNNER CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗
$172.0M RAUM · 3 reps · 512-649-3192 · outrunnercapital.com
70
917 ADVISORY SERVICES LLC — 's provisional registration is now fully approved. IAPD ↗
$113.9M RAUM · 2 reps · 509-328-5627 · johnschram.com
70
ROUTE 20 PRIVATE WEALTH INC. — 's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 2 reps · 561-843-4678 · route20wealth.com
70
DESERT ROSE CAPITAL MANAGEMENT, INC. — now reports 1 private fund(s) ($24.6M gross). IAPD ↗
$79.6M RAUM · 8 reps · 208 297-2710
70
OUTRUNNER CAPITAL, LLC — now reports 1 private fund(s) ($7.3M gross). IAPD ↗
$172.0M RAUM · 3 reps · 512-649-3192 · outrunnercapital.com
69
WEALTH MORE ENTERPRISE, INC. — grew from 2 to 6 advisory reps. IAPD ↗
$115,332 RAUM · 6 reps · 888-303-6361 · hellowealthmore.com
68
HORAN WEALTH MANAGEMENT — now reports custody of client assets ($293.1M). IAPD ↗
$545.2M RAUM · 10 reps · 513-745-0707
68
HORAN CAPITAL ADVISORS, LLC — now reports custody of client assets ($302.0M). IAPD ↗
$533.6M RAUM · 5 reps · 513-745-0707
68
C.J. LAWRENCE — now reports custody of client assets ($378.7M). IAPD ↗
$484.5M RAUM · 3 reps · 1-877-466-1783 · cjlawrence.com
68
KEUDELL MORRISON WEALTH MANAGEMENT, LLC — now reports custody of client assets ($459.9M). IAPD ↗
$724.0M RAUM · 6 reps · (971) 209-4500 · kmwm.com
68
MOTIVE WEALTH ADVISORS, LLC — now reports custody of client assets ($16.4M). IAPD ↗
$279.3M RAUM · 2 reps · 248-987-5731 · motivewealth.com
68
VERIDAN WEALTH — now reports custody of client assets ($101.2M). IAPD ↗
$288.9M RAUM · 4 reps · 503-946-9733 · veridanwealth.com
68
SOUTHERN EQUITY ADVISORS LLC — now reports custody of client assets ($389.2M). IAPD ↗
$389.2M RAUM · 2 reps · 877-240-9233 · southernequity.com
68
TOPSAIL WEALTH MANAGEMENT LLC — now reports custody of client assets ($454.2M). IAPD ↗
$875.7M RAUM · 3 reps · 980-308-9901 · topsailwealthmanagement.com
68
GUILBAULT CAPITAL — now reports custody of client assets ($17.6M). IAPD ↗
$313.0M RAUM · 1 reps · 504-612-9250 · guilbaultcapital.com
68
PANORAMIC CAPITAL PARTNERS LLC — now reports custody of client assets ($802,815). IAPD ↗
$263.2M RAUM · 2 reps · 503-937-7420 · panoramiccp.com
68
MINDORO CAPITAL PARTNERS LLC — grew from 3 to 6 advisory reps. IAPD ↗
$100.2M RAUM · 6 reps · (617) 214-2313 · mindoro.com
67
HENDERSHOTT WEALTH MANAGEMENT, LLC — grew from 3 to 5 advisory reps. IAPD ↗
$169.3M RAUM · 5 reps · 877-743-6500 · hilaryhendershottwealthmanagement.com
67
SAS FINANCIAL ADVISORS, LLC. — grew from 3 to 5 advisory reps. IAPD ↗
$133.7M RAUM · 5 reps · 415-277-5955 · sasadvisors.com
67
WISDOM CAPITAL ASSET MANAGEMENT, LLC — grew from 1 to 3 advisory reps. IAPD ↗
$52.8M RAUM · 3 reps · (646) 450-3794 · wisdom-cap.com
67
PRESTIGE WEALTHWIDE, LLC — grew from 3 to 5 advisory reps. IAPD ↗
$207.7M RAUM · 5 reps · 720-449-3656
67
MARIDEA WEALTH MANAGEMENT — grew from 7 to 9 advisory reps. IAPD ↗
$25.2M RAUM · 9 reps · 269-598-0939 · marideawealth.com
67
LEGACY CAPITAL — grew from 1 to 3 advisory reps. IAPD ↗
$181.5M RAUM · 3 reps · (281) 595-1996 · lead-a-legacy.com
65
BENCHMARK CAPITAL GROUP LTD. — now reports custody of client assets ($6.0M). IAPD ↗
$149.5M RAUM · 3 reps · 815-777-0600 · benchmarkcapitalgroup.com
65
NOVA WEALTH MANAGEMENT, INC. — now reports custody of client assets ($1.0M). IAPD ↗
$152.2M RAUM · 5 reps · 239-444-1794 · novawealthmanagement.com
65
WEALTHYX — now reports custody of client assets ($74.1M). IAPD ↗
$74.1M RAUM · 1 reps · 888-952-7482 · saveday.com
65
MILLENNIAL WEALTH — now reports custody of client assets ($125.0M). IAPD ↗
$145.6M RAUM · 3 reps · (206) 207-8426 · millennialwealthllc.com
65
RETIREMENT WEALTH SOLUTIONS LLC — now reports custody of client assets ($39.3M). IAPD ↗
$140.7M RAUM · 2 reps · 715-384-5481 · retirementwealthsolutions.com
65
LAKE WATER ADVISORY, LLC — now reports custody of client assets ($40.0M). IAPD ↗
$40.0M RAUM · 1 reps · 315-730-7432 · lakewatercap.com
65
SOLIST WEALTH MANAGEMENT — now reports custody of client assets. IAPD ↗
$0 RAUM · 2 reps · 813-493-3833 · solistfinancial.com
65
OUTRUNNER CAPITAL, LLC — now reports custody of client assets ($7.3M). IAPD ↗
$172.0M RAUM · 3 reps · 512-649-3192 · outrunnercapital.com
63
NAMCOA — began participating in a wrap-fee program. IAPD ↗
$277.7M RAUM · 17 reps · (239) 593-5525 · flretire.com
63
FIDUCIARY FINANCIAL ADVISORS — began participating in a wrap-fee program. IAPD ↗
$555.4M RAUM · 22 reps · 6166223062
55
J.P. MORGAN SECURITIES LLC — 's Item 11 disclosure-reporting entries rose by 1 (237 -> 238). IAPD ↗
$249.73B RAUM · 7426 reps · 800-999-2000
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 1 (107 -> 108). IAPD ↗
$692.25B RAUM · 21219 reps · 314-515-2000 · vimeo.com
55
GOLDMAN SACHS & CO. LLC — 's Item 11 disclosure-reporting entries rose by 2 (759 -> 761). IAPD ↗
$222.74B RAUM · 2406 reps · 212-902-1000
55
RAYMOND JAMES & ASSOCIATES, INC. — 's Item 11 disclosure-reporting entries rose by 4 (177 -> 181). IAPD ↗
$350.04B RAUM · 5254 reps · 727-567-1000
55
AMERIPRISE FINANCIAL SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 2 (239 -> 241). IAPD ↗
$479.79B RAUM · 12518 reps · 612-671-3131
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 3 (286 -> 289). IAPD ↗
$463.48B RAUM · 27045 reps · 704-733-3300
55
CITIGROUP GLOBAL MARKETS INC. — 's Item 11 disclosure-reporting entries rose by 4 (197 -> 201). IAPD ↗
$40.52B RAUM · 4880 reps · 212-816-6000 · privatebank.citibank.com
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED — 's Item 11 disclosure-reporting entries rose by 13 (480 -> 493). IAPD ↗
$1271.59B RAUM · 26251 reps · 800-637-7455
55
PRIMERICA ADVISORS — 's Item 11 disclosure-reporting entries rose by 4 (24 -> 28). IAPD ↗
$8.46B RAUM · 3560 reps · 833-786-0550
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (320 -> 321). IAPD ↗
$154.19B RAUM · 1978 reps · 314-875-3000 · stories.wf.com
55
FIRST HORIZON ADVISORS, INC — 's Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗
$12.36B RAUM · 180 reps · 1-800-213-3702 · firsthorizon.com
55
OSAIC WEALTH, INC. — 's Item 11 disclosure-reporting entries rose by 2 (63 -> 65). IAPD ↗
$94.56B RAUM · 4397 reps · 800-821-5100 · strategicallianceinc.com
55
WESTERN INTERNATIONAL SECURITIES — 's Item 11 disclosure-reporting entries rose by 6 (19 -> 25). IAPD ↗
$3.69B RAUM · 245 reps · (888) 793-7717 · joinwestern.com
55
VALIC FINANCIAL ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (48 -> 50). IAPD ↗
$25.25B RAUM · 1289 reps · 866-544-4968 · corebridgefinancial.com
55
THE PACIFIC FINANCIAL GROUP, INC. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$3.73B RAUM · 22 reps · 425 451-7722
55
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST — 's Item 11 disclosure-reporting entries rose by 4 (3 -> 7). IAPD ↗
$190.96B RAUM · 168 reps · 215-255-2300 · macquarieim.com
55
CETERA INVESTMENT ADVISERS LLC — 's Item 11 disclosure-reporting entries rose by 3 (38 -> 41). IAPD ↗
$104.47B RAUM · 5928 reps · 310-257-7880
55
OAKTREE CAPITAL MANAGEMENT, L.P. — 's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗
$161.48B RAUM · 277 reps · 213-830-6300
55
FIRST TRUST ADVISORS LP — 's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
$210.88B RAUM · 95 reps · 630-765-8000
55
APERIO GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 2 (10 -> 12). IAPD ↗
$80.21B RAUM · 73 reps · 415-339-4300 · aperiogroup.com
55
FOCUS FINANCIAL — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$5.39B RAUM · 121 reps · 651-631-8166
55
PNC INVESTMENTS — 's Item 11 disclosure-reporting entries rose by 4 (18 -> 22). IAPD ↗
$23.90B RAUM · 778 reps · 800-762-6111 · pnc.com
55
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (28 -> 30). IAPD ↗
$87.37B RAUM · 3274 reps · 641-472-5100
55
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 3 (51 -> 54). IAPD ↗
$1.69B RAUM · 118 reps · 407-254-1500
55
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC — 's Item 11 disclosure-reporting entries rose by 1 (41 -> 42). IAPD ↗
$275.43B RAUM · 5773 reps · 727-567-3020
55
MORGAN STANLEY — 's Item 11 disclosure-reporting entries rose by 3 (243 -> 246). IAPD ↗
$1402.43B RAUM · 13000 reps · 914-225-5510 · morganstanley.com
55
RICHARD BERNSTEIN ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$5.24B RAUM · 8 reps · 212-692-4000
55
TD PRIVATE CLIENT WEALTH LLC — 's Item 11 disclosure-reporting entries rose by 1 (19 -> 20). IAPD ↗
$4.82B RAUM · 284 reps · 877-703-9896 · td.com
55
INTEGRATED ADVISORS NETWORK LLC — 's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗
$4.21B RAUM · 82 reps · 855-729-4222
55
SPIDERROCK ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (3 -> 5). IAPD ↗
$4.85B RAUM · 10 reps · (312) 847-0300 · spiderrockadvisors.com
55
KESTRA ADVISORY SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 4 (29 -> 33). IAPD ↗
$48.32B RAUM · 1266 reps · 8445537872
55
FIRST TRUST DIRECT INDEXING — 's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
$1.42B RAUM · 3 reps · 617-752-6010
55
JOHNSON INVESTMENT COUNSEL, INC. — notice-filed in AK, HI, KS, MS, NV, RI, VT. IAPD ↗
$18.61B RAUM · 79 reps · 513-661-3100 · johnsonmutualfunds.com
55
MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC — notice-filed in CA, CT, DC, FL, GA, MA, ME, NH, OK, PA, SC, TX, WA, WI. IAPD ↗
$1.66B RAUM · 4 reps · 704-743-3335 · miracenter.com
55
JAFFE TILCHIN INVESTMENT PARTNERS, LLC — notice-filed in AL, CO, DC, MD, NJ, NV, UT. IAPD ↗
$1.47B RAUM · 27 reps · 813-963-2500 · jaffetilchin.com
55
SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC — notice-filed in DE, KS, MD, MI, NC, PA, SC. IAPD ↗
$4.02B RAUM · 17 reps · 317-975-5033
55
PRIVATE WEALTH ASSET MANAGEMENT — notice-filed in AZ, CA, CO, FL, IL, LA, NH, SC, TN, WY. IAPD ↗
$1.61B RAUM · 20 reps · 402-227-4208
55
MODERN WEALTH MANAGEMENT, LLC — notice-filed in CT, DC, DE, ID, KY, LA, MA, OR, WA. IAPD ↗
$2.07B RAUM · 36 reps · 913-393-1000 · midwestfinancial.us
53
SANTORI & PETERS — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$330.3M RAUM · 4 reps · 412-373-6904
53
DROMS STRAUSS WEALTH MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$676.2M RAUM · 6 reps · 314-862-9100 · droms-strauss.com
53
STRATEGY ASSET MANAGERS L.L.C. — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$631.0M RAUM · 6 reps · 626-657-0559
53
NPA ASSET MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 5 (4 -> 9). IAPD ↗
$882.6M RAUM · 53 reps · 201-476-0029 · nationwideplanning.com
53
TUCKER ASSET MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 4 (7 -> 11). IAPD ↗
$476.5M RAUM · 78 reps · 303-734-1234 · tuckeram.com
53
PROSPERITY - AN EISNERAMPER COMPANY — notice-filed in AL, AZ, MI, NV. IAPD ↗
$1.07B RAUM · 31 reps · 410-363-7211
53
FIRST TRUST DIRECT INDEXING — notice-filed in DE, OK, OR, RI. IAPD ↗
$1.42B RAUM · 3 reps · 617-752-6010
53
CARRICK LANE LLC — notice-filed in KY, LA, RI, TN. IAPD ↗
$1.44B RAUM · 5 reps · 212-433-8450 · carricklane.com
53
EVERNEST FINANCIAL ADVISORS — notice-filed in CA, CT, FL, IL, NJ, NY, TX, VA, WA. IAPD ↗
$484.8M RAUM · 4 reps · 317-556-1015 · evernestfa.com
53
PARR MCKNIGHT WEALTH MANAGEMENT GROUP — notice-filed in CA, CO, FL, IL, MA, TX, WA, WI. IAPD ↗
$949.2M RAUM · 7 reps · 612-324-0235 · parrmcknightwmg.com
53
BRISTOL WEALTH GROUP — notice-filed in FL, ME, NH, NY, RI, TX, VA, VT. IAPD ↗
$754.4M RAUM · 5 reps · (508) 738-6248 · bristolcountysavings.com
53
CARRERA CAPITAL ADVISORS — notice-filed in CA, FL, GA, IL, MD, NC, NY, OH, OK, TX, VA, WA. IAPD ↗
$617.3M RAUM · 6 reps · 248-362-5009
53
TOPSAIL WEALTH MANAGEMENT LLC — notice-filed in CT, GA, IL, MA, NE, OH. IAPD ↗
$875.7M RAUM · 3 reps · 980-308-9901 · topsailwealthmanagement.com
53
PARKWOODS WEALTH PARTNERS, LLC — notice-filed in CA, FL, MD, NC, NH, SC, TX, VA. IAPD ↗
$403.5M RAUM · 3 reps · 315-757-1100 · parkwoodswealth.com
51
JACOBSON & SCHMITT ADVISORS, LLC — notice-filed in GA, MI, NC, VA. IAPD ↗
$461.2M RAUM · 11 reps · (608) 662-7500
51
GENTRUST — notice-filed in IL, MA, VT. IAPD ↗
$4.06B RAUM · 15 reps · 305-677-6688 · gentrustwm.com
51
BRASS TAX WEALTH MANAGEMENT — notice-filed in IL, NY, PA, SC. IAPD ↗
$674.3M RAUM · 12 reps · 513-605-3394 · brasstaxwealth.com
51
CX INSTITUTIONAL, LLC — notice-filed in MS, MT, OR. IAPD ↗
$2.39B RAUM · 47 reps · 260-927-1830
50
LIFEMARK SECURITIES CORP. — 's Item 11 disclosure-reporting entries rose by 7 (12 -> 19). IAPD ↗
$246.1M RAUM · 86 reps · 585-424-5672 · lifemark.com
50
FOUR POINTS ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗
$30.6M RAUM · 5 reps · 646-300-6129 · 4pointsadvisors.com
50
WEALTHYX — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$74.1M RAUM · 1 reps · 888-952-7482 · saveday.com
50
TRIBRIDGE PARTNERS FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$0 RAUM · 8 reps · 240-422-8799
50
CURA WEALTH ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$0 RAUM · 2 reps · 312-608-8806 · curawealth.com
50
WEALTHYX — notice-filed in DE, KS, ME, NE, NH, VA, VT, WI, WV. IAPD ↗
$74.1M RAUM · 1 reps · 888-952-7482 · saveday.com
50
GOLDEN RESERVE RETIREMENT, LLC — notice-filed in AL, IL, KS, MO, NE, NH, NJ, OK, OR. IAPD ↗
$201.1M RAUM · 6 reps · 855-456-4777
50
SYNERGY INVESTMENT MANAGEMENT LLC — notice-filed in CA, GA, MD, MI, SC, TN, VA. IAPD ↗
$101.6M RAUM · 10 reps · 321-203-4458
50
FUNDIFY ADVISORS LLC — notice-filed in AL, HI, MI, MN, MS, NH, OH, SC, TN, UT, VA, WA, WI. IAPD ↗
$0 RAUM · 3 reps · 512-645-1010 · fundify.com
50
WEALTH MORE ENTERPRISE, INC. — notice-filed in AZ, CA, CO, GA, IL, LA, NE, NH, NV. IAPD ↗
$115,332 RAUM · 6 reps · 888-303-6361 · hellowealthmore.com
50
WEALTHCARE CAPITAL PARTNERS, LLC — notice-filed in DC, FL, LA, NC, NE, OH, SC, TX, WA. IAPD ↗
$160.6M RAUM · 8 reps · 804.644.4711
50
ZERO DAY CAPITAL ENTERPRISES LLC — notice-filed in AZ, KS, NM, NV, TX, WA. IAPD ↗
$35.0M RAUM · 1 reps · (617) 800-0388
50
LIFELONG WEALTH ADVISORS, INC. — notice-filed in AZ, CA, FL, IL, MI, NC, OH, SD, TX, WA. IAPD ↗
$0 RAUM · 8 reps · 651-444-6500
49
SATURNA CAPITAL CORPORATION — notice-filed in DC, NJ. IAPD ↗
$8.39B RAUM · 15 reps · 360-734-9900
49
BALDWIN WEALTH PARTNERS, LLC — notice-filed in IN, MT. IAPD ↗
$2.28B RAUM · 12 reps · (508) 748-0800 · baldwinbrothersinc.com
49
CLARFELD — notice-filed in MN, NV. IAPD ↗
$9.52B RAUM · 160 reps · 914-846-0100
49
BEAIRD HARRIS — notice-filed in AR, LA. IAPD ↗
$1.67B RAUM · 13 reps · 972-503-1040
49
KIELY WEALTH ADVISORY GROUP, INC. — notice-filed in GA, MD, PA. IAPD ↗
$515.0M RAUM · 3 reps · 252-439-1888 · thekielygroup.com
49
GREENWOOD GEARHART INC. — notice-filed in NH, OH. IAPD ↗
$1.11B RAUM · 8 reps · 479-521-5353 · greenwoodgearhart.com
49
IRONWOOD INVESTMENT COUNSEL, LLC — notice-filed in FL, WI. IAPD ↗
$1.40B RAUM · 13 reps · 480-609-4700
49
CAPITAL WEALTH PLANNING, LLC — notice-filed in CA, CT. IAPD ↗
$9.24B RAUM · 4 reps · 239-593-2100
49
PETTINGA FINANCIAL ADVISORS, LLC — notice-filed in CA, MN. IAPD ↗
$1.00B RAUM · 7 reps · 812-436-4000
49
TVAMP, LLC — notice-filed in MI, OH, SC. IAPD ↗
$677.0M RAUM · 19 reps · 865-226-9982
49
HUB INVESTMENT ADVISORS, INC — notice-filed in ND, NM. IAPD ↗
$1.51B RAUM · 6 reps · 402-964-5400
49
VESTOR CAPITAL, LLC — notice-filed in NJ, SC. IAPD ↗
$1.77B RAUM · 21 reps · 312-641-2400
49
PERENNIAL FINANCIAL SERVICES — notice-filed in NE, PA. IAPD ↗
$1.48B RAUM · 32 reps · 310-445-2504
49
DAKOTA WEALTH, LLC — notice-filed in IA, WY. IAPD ↗
$6.12B RAUM · 54 reps · (561) 774-8101 · persimmoncapitalmanagement.sharefile.com
48
MURPHY WEALTH MANAGEMENT GROUP — notice-filed in GA, MA, NH, SC. IAPD ↗
$177.4M RAUM · 2 reps · 845-226-1200
48
FORTRESS PRIVATE LEDGER, LLC — notice-filed in DC, GA, NV, TN. IAPD ↗
$200.7M RAUM · 15 reps · 919-322-2761 · fortressretirementplanadvisors.com
48
DISCIPLINE WEALTH SOLUTIONS, INC. — notice-filed in CA, MI, MN, VA. IAPD ↗
$93.0M RAUM · 8 reps · 864-322-6046 · stahlneckergroup.com
48
INTEGRITY WEALTH LLC — notice-filed in CA, NM, TX, WA. IAPD ↗
$238.8M RAUM · 3 reps · (541) 650-6061 · integritywealthnw.com
47
WATERS, PARKERSON & CO., LLC — notice-filed in SC. IAPD ↗
$2.49B RAUM · 6 reps · 504-581-2022 · watersparkerson.com
47
HOLLENCREST CAPITAL MANAGEMENT — notice-filed in WA. IAPD ↗
$2.37B RAUM · 18 reps · 949-737-7700 · hollencrest.com
47
FINANCIAL SYNERGIES — notice-filed in CT. IAPD ↗
$1.29B RAUM · 14 reps · 713-623-6600
47
EVERHART ADVISORS — notice-filed in OR. IAPD ↗
$1.45B RAUM · 22 reps · 614-717-9705
47
LITMAN GREGORY WEALTH MANAGEMENT, LLC — notice-filed in KS. IAPD ↗
$2.41B RAUM · 8 reps · 415-461-8999
47
TANGLEWOOD TOTAL WEALTH MANAGEMENT, INC. — notice-filed in AR. IAPD ↗
$1.31B RAUM · 4 reps · 713-840-8880 · tanglewoodwealth.com
47
PLANNING ALTERNATIVES LTD — notice-filed in AZ. IAPD ↗
$1.16B RAUM · 9 reps · 248-645-1520
47
WESTCHESTER CAPITAL MANAGEMENT INC — notice-filed in CO, MO. IAPD ↗
$502.7M RAUM · 3 reps · 402-392-2418 · westchestercapital.com
47
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP — notice-filed in NH. IAPD ↗
$2.56B RAUM · 9 reps · 480-890-8088 · stokerostler.com
47
MISSION WEALTH MANAGEMENT, LP — notice-filed in OK. IAPD ↗
$7.07B RAUM · 72 reps · 805-882-2360
47
JSF FINANCIAL, LLC — notice-filed in GA. IAPD ↗
$1.47B RAUM · 14 reps · 323-866-0833
47
THE PLANNING CENTER, INC. — notice-filed in VA. IAPD ↗
$1.09B RAUM · 10 reps · 309-797-4030
47
ABSOLUTE CAPITAL MANAGEMENT, LLC — notice-filed in MS, WI. IAPD ↗
$400.6M RAUM · 2 reps · 412-388-1600
47
WEALTHSTREAM ADVISORS, INC. — notice-filed in MI. IAPD ↗
$1.35B RAUM · 12 reps · (212) 971-9241 · wealthstreamadvisors.com
47
CERTUITY, LLC — notice-filed in MD. IAPD ↗
$3.96B RAUM · 16 reps · 561-693-3255 · certuity.com
47
SMITH ANGLIN FINANCIAL, LLC — notice-filed in AK. IAPD ↗
$1.57B RAUM · 16 reps · (972) 267-1244
47
SGL INVESTMENT ADVISORS, INC. — notice-filed in CO, CT. IAPD ↗
$351.3M RAUM · 7 reps · 406-721-0999 · sglinvestmentadvisors.com
47
FORT POINT CAPITAL PARTNERS LLC — notice-filed in PA. IAPD ↗
$1.49B RAUM · 16 reps · (415) 449-0570 · fortpointcap.com
47
ROCKY MOUNTAIN ADVISERS, LLC — notice-filed in NE. IAPD ↗
$2.57B RAUM · 4 reps · 785-823-3097 · investrma.com
47
TELOS CAPITAL MANAGEMENT, INC. — notice-filed in VA. IAPD ↗
$1.25B RAUM · 7 reps · (858) 271-6350
47
PROSPERITY CAPITAL ADVISORS — notice-filed in KS. IAPD ↗
$2.25B RAUM · 104 reps · 888-240-0064
47
FIELDER CAPITAL GROUP LLC — notice-filed in NC, NJ. IAPD ↗
$834.6M RAUM · 3 reps · 212-918-4860 · vimeo.com
47
ALPHA CUBED INVESTMENTS, LLC — notice-filed in TN. IAPD ↗
$2.49B RAUM · 25 reps · (800) 701-2457
47
MUTUAL ADVISORS, LLC — notice-filed in RI. IAPD ↗
$6.95B RAUM · 132 reps · 307-439-6357 · barberfinancialgroup.com
47
GYL FINANCIAL SYNERGIES, LLC — notice-filed in TN. IAPD ↗
$6.07B RAUM · 42 reps · 844-248-9998 · focusfinancialpartners.com
47
NIA IMPACT CAPITAL — notice-filed in ID, LA. IAPD ↗
$433.3M RAUM · 4 reps · 510-319-9221 · niaimpactadvisors.com
47
STEPHENS GROUP ASSET MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
$1.14B RAUM · 4 reps · 501-246-7500 · sgassetmgt.com
47
TRIVIUM POINT ADVISORY, LLC — notice-filed in GA, TN. IAPD ↗
$716.2M RAUM · 14 reps · (203) 221-3085
47
ALTA WEALTH ADVISORS LLC — notice-filed in CO, ME. IAPD ↗
$400.2M RAUM · 6 reps · 781-404-6909 · altawealthadvisors.com
47
MAG CAP — notice-filed in CA. IAPD ↗
$1.15B RAUM · 13 reps · 601-362-5872
47
BISON ADVISORS — notice-filed in MA. IAPD ↗
$1.16B RAUM · 33 reps · (706) 376 - 4882 · armisadvisers.com
47
AUSTIN PRIVATE WEALTH, LLC — notice-filed in ID. IAPD ↗
$1.06B RAUM · 20 reps · (512) 886-4114
47
MADISON PARTNERS — notice-filed in ID, NV. IAPD ↗
$559.0M RAUM · 9 reps · 608-210-1021
47
JOURNEY STRATEGIC WEALTH LLC — notice-filed in OH. IAPD ↗
$3.07B RAUM · 12 reps · (201) 905-0070 · journeysw.com
47
MORAN WEALTH MANAGEMENT, LLC — notice-filed in NE. IAPD ↗
$4.27B RAUM · 26 reps · 239-920-4440
46
PHYSICIAN WEALTH SOLUTIONS — notice-filed in CA, MA, MD. IAPD ↗
$230.7M RAUM · 1 reps · 404-386-7641
46
VICTRIX INVESTMENT ADVISORS — notice-filed in CA, CO, NY. IAPD ↗
$180.6M RAUM · 6 reps · 772-320-9658
46
MARIDEA WEALTH MANAGEMENT — notice-filed in LA, NE, WV. IAPD ↗
$25.2M RAUM · 9 reps · 269-598-0939 · marideawealth.com
46
TREASURY INTERACTIVE INVESTMENT ADVISERS LLC — notice-filed in DE, RI, WY. IAPD ↗
$0 RAUM · 2 reps · 6466853046 · treasury.app
46
WEALTHPOINT ADVISORS — notice-filed in FL, PA, SC. IAPD ↗
$0 RAUM · 4 reps · 704-675-5300 · wealthpointadvisorsnc.com
45
MUTUAL ADVISORS, LLC — filed an Item 4A succession naming MUTUAL ADVISORS, LLC (CRD 167658) — an entity change, not a deal. IAPD ↗
$6.95B RAUM · 132 reps · 307-439-6357 · barberfinancialgroup.com
45
FINANCIAL SERVICES ADVISORY — notice-filed in GA. IAPD ↗
$693.7M RAUM · 9 reps · 301-949-7300 · fsainvest.com
45
BRAND ASSET MANAGEMENT GROUP, INC. — notice-filed in AZ. IAPD ↗
$834.0M RAUM · 10 reps · 636-532-7333
45
ROOF EIDAM MAYCOCK PERALTA LLC — notice-filed in LA. IAPD ↗
$693.1M RAUM · 4 reps · 415-788-4600 · rempadvisors.com
45
VERUS FINANCIAL PARTNERS — notice-filed in WA. IAPD ↗
$920.8M RAUM · 11 reps · 804-592-3465 · verusfp.com
45
DROMS STRAUSS WEALTH MANAGEMENT — notice-filed in GA. IAPD ↗
$676.2M RAUM · 6 reps · 314-862-9100 · droms-strauss.com
45
AVISEN ADVISORS, LLC — notice-filed in TX. IAPD ↗
$305.4M RAUM · 9 reps · 916-480-2747
45
FINANCIAL SECURITY MANAGEMENT, INC — notice-filed in KS. IAPD ↗
$439.4M RAUM · 5 reps · 303-988-1411 · fsm-inc.com
45
CAMBRIDGE FINANCIAL GROUP, LLC — notice-filed in TX. IAPD ↗
$468.7M RAUM · 5 reps · 520-531-0550 · cambridgefinancialgroup.com
45
DICKMEYER BOYCE FINANCIAL MANAGEMENT, INC — notice-filed in TX. IAPD ↗
$322.6M RAUM · 7 reps · 260-436-2051 · dickmeyerboyce.com
45
COLTON GROOME FINANCIAL ADVISORS, LLC — notice-filed in VA. IAPD ↗
$350.8M RAUM · 9 reps · 828-252-1816 · coltongroome.com
45
WATTS GWILLIAM & COMPANY, LLC — notice-filed in PA. IAPD ↗
$604.6M RAUM · 7 reps · 480-889-8998 · wattsgwilliam.com
45
EAGLECLAW CAPITAL MANAGEMENT LLC — notice-filed in GA. IAPD ↗
$665.6M RAUM · 3 reps · 617-314-0213 · eagleclawcapital.com
45
TRADEWINDS CAPITAL MANAGEMENT, LLC — notice-filed in NC. IAPD ↗
$523.7M RAUM · 7 reps · 360-715-9000
45
CAPITAL WEALTH MANAGEMENT, LLC — notice-filed in CA. IAPD ↗
$858.0M RAUM · 8 reps · (401) 885-1060
45
PACIFIC CAPITAL — notice-filed in LA. IAPD ↗
$661.2M RAUM · 5 reps · 844-777-8777 · pacificcapital.com
45
FINANCIAL PLANNING SOLUTIONS, LLC — notice-filed in FL. IAPD ↗
$283.6M RAUM · 5 reps · 617-630-4978 · elderplan.com
45
OCCIDENTAL ASSET MANAGEMENT, LLC — notice-filed in WI. IAPD ↗
$625.5M RAUM · 10 reps · 650-344-1600 · yourmentalwealthadvisors.com
45
SANCHEZ WEALTH MANAGEMENT GROUP, LLC — notice-filed in OR. IAPD ↗
$342.2M RAUM · 2 reps · 904-281-9261 · sanchezwealth.com
45
BIRCHWOOD FINANCIAL PARTNERS, INC. — notice-filed in IA. IAPD ↗
$716.8M RAUM · 9 reps · 952-885-9088
45
LAZARI CAPITAL MANAGEMENT, INC. — notice-filed in CT. IAPD ↗
$471.1M RAUM · 8 reps · 818-264-0610 · lazaricapital.com
45
BLUE WATER ASSET MANAGEMENT — notice-filed in TN. IAPD ↗
$334.7M RAUM · 7 reps · 616-447-1600 · bluewaterassetmanagement.com
45
EQUITA FINANCIAL NETWORK, INC. — notice-filed in CT. IAPD ↗
$283.1M RAUM · 13 reps · 800.604.0176
45
STERLING INVESTMENT COUNSEL, LLC — notice-filed in CT. IAPD ↗
$656.8M RAUM · 8 reps · (716) 783-7054 · sterinv.com
45
LEXAURUM ADVISORS — notice-filed in CO. IAPD ↗
$784.2M RAUM · 31 reps · 913-261-9316 · tdcwealthmgmt.com
45
SPG ADVISORS LLC — notice-filed in CO. IAPD ↗
$401.0M RAUM · 7 reps · 425-821-9442
45
FINANCIAL STRATEGIES GROUP, INC — notice-filed in AZ. IAPD ↗
$468.6M RAUM · 6 reps · (800) 804-0420
45
FAMILYWEALTH — notice-filed in AR. IAPD ↗
$316.3M RAUM · 12 reps · (866) 746-3743
45
ELLSWORTH ADVISORS, LLC — notice-filed in GA. IAPD ↗
$913.6M RAUM · 10 reps · (234) 200-0703 · advisorclient.com
45
ASPIRE CAPITAL ADVISORS LLC — notice-filed in UT. IAPD ↗
$817.7M RAUM · 11 reps · (206) 939-5615 · investwithaspire.com
45
MAYFAIR ADVISORY GROUP, LLC — notice-filed in TN. IAPD ↗
$604.4M RAUM · 3 reps · (205) 395-6970
45
ALAETHES WEALTH, LLC — notice-filed in NH. IAPD ↗
$385.9M RAUM · 3 reps · 858-735-9685 · alaethes.com
45
FORTRESS WEALTH GROUP — notice-filed in TN. IAPD ↗
$294.7M RAUM · 6 reps · 407-999-8998
45
TACTIVE ADVISORS, LLC — notice-filed in WI. IAPD ↗
$405.8M RAUM · 0 reps · 855-282-2848 · pcliftonfinancial.com
45
ATLANTIC PRIVATE WEALTH, LLC — notice-filed in FL. IAPD ↗
$689.7M RAUM · 3 reps · 919-968-2977 · atlanticpwa.com
45
WEST MICHIGAN ADVISORS, LLC — notice-filed in WI. IAPD ↗
$494.8M RAUM · 11 reps · (616) 820-1040
45
APOLLON FINANCIAL, LLC — notice-filed in PA. IAPD ↗
$482.3M RAUM · 7 reps · 843-579-0018 · apollonfinancial.com
45
NOBLE WEALTH MANAGEMENT P.B.C. — notice-filed in UT. IAPD ↗
$329.6M RAUM · 4 reps · 303-325-3061 · mynoblewealth.com
45
UPTICK PARTNERS, LLC — notice-filed in FL. IAPD ↗
$398.6M RAUM · 6 reps · (936) 800-0800 · holisticplanning.com
45
GUILBAULT CAPITAL — notice-filed in TX. IAPD ↗
$313.0M RAUM · 1 reps · 504-612-9250 · guilbaultcapital.com
45
PANORAMIC CAPITAL PARTNERS LLC — notice-filed in MT. IAPD ↗
$263.2M RAUM · 2 reps · 503-937-7420 · panoramiccp.com
44
CLOSED-END FUND ADVISORS — notice-filed in GA, LA. IAPD ↗
$159.0M RAUM · 2 reps · 804-288-2482 · cefadvisors.com
44
MBIA CAPITAL ADVISORS — notice-filed in IN, TX. IAPD ↗
$135.2M RAUM · 3 reps · 513-324-2201
44
DESERT ROSE CAPITAL MANAGEMENT, INC. — notice-filed in GA, NM. IAPD ↗
$79.6M RAUM · 8 reps · 208 297-2710
44
HENDERSHOTT WEALTH MANAGEMENT, LLC — notice-filed in GA, OR. IAPD ↗
$169.3M RAUM · 5 reps · 877-743-6500 · hilaryhendershottwealthmanagement.com
44
IAMS WEALTH MANAGEMENT, LLC — notice-filed in LA, NY. IAPD ↗
$213.2M RAUM · 56 reps · (888)255-7670 · iamswm.com
44
SUCCESS WEALTH MANAGEMENT LLC — notice-filed in KY, TN. IAPD ↗
$40.1M RAUM · 14 reps · 724-934-8128
44
EKO — notice-filed in CO, KS. IAPD ↗
$3.8M RAUM · 1 reps · (917)7449432
44
ARK WEALTH MANAGEMENT — notice-filed in CA, FL. IAPD ↗
$144.6M RAUM · 1 reps · 512-660-5703
44
SPARTA WEALTH PARTNERS — notice-filed in AZ, CA. IAPD ↗
$219.5M RAUM · 4 reps · 704-575-1148
44
MISSION HILLS FINANCIAL ADVISORY LLC — notice-filed in NE, TX. IAPD ↗
$157.5M RAUM · 3 reps · 619-294-9420 · missionhillsfinancial.com
44
MKT AND ASSOCIATES LLC — notice-filed in FL, WI. IAPD ↗
$113.0M RAUM · 1 reps · 253-252-2359
44
BINGHAM PRIVATE WEALTH, LLC — notice-filed in NE, TX. IAPD ↗
$180.9M RAUM · 2 reps · 415-426-5652 · binghamprivate.com
44
A&M PRIVATE WEALTH PARTNERS, LLC — notice-filed in GA, NY. IAPD ↗
$0 RAUM · 1 reps · 561-437-6738
42
WESBANCO SECURITIES, INC. — notice-filed in CO. IAPD ↗
$132.7M RAUM · 23 reps · 8003683369
42
NETWORTH ASSET MANAGEMENT, INC — notice-filed in NJ. IAPD ↗
$105.8M RAUM · 3 reps · 352 268 2080 · nwam.net
42
MOS CAPITAL, INC. — notice-filed in GA. IAPD ↗
$183.4M RAUM · 2 reps · 757-222-3710 · moscapital.com
42
CALLAHAN CAPITAL MANAGEMENT — notice-filed in LA. IAPD ↗
$179.6M RAUM · 4 reps · 970-870-8750 · callahancapital.com
42
THE FOUNDRY FINANCIAL GROUP, INC. — notice-filed in FL. IAPD ↗
$198.8M RAUM · 8 reps · 603-528-5171
42
STOLZ & ASSOCIATES, PS — notice-filed in CA. IAPD ↗
$199.4M RAUM · 5 reps · (253) 272-3441
42
INDEPENDENT WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
$161.7M RAUM · 3 reps · 231-929-1086
42
DRAWBRIDGE CAPITAL — notice-filed in LA. IAPD ↗
$162.3M RAUM · 9 reps · 918-493-4190 · drawbridge.capital
42
DAVIES FINANCIAL ADVISORS, INC. — notice-filed in NE. IAPD ↗
$165.3M RAUM · 4 reps · 951-677-3960
42
INTEGRATED WEALTH MANAGEMENT, INC. — notice-filed in FL. IAPD ↗
$139.2M RAUM · 4 reps · 330-896-1644 · iwmgameplan.com
42
INSIGHT FINANCIAL SERVICES — notice-filed in OK. IAPD ↗
$173.6M RAUM · 5 reps · 913-402-2020
42
FAMILYWEALTH ASSET MANAGEMENT — notice-filed in AR. IAPD ↗
$175.1M RAUM · 4 reps · 214-624-1185 · familywealth.us
42
LANDMARK WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
$108.3M RAUM · 2 reps · 801-295-8700 · landmarkwa.com
42
BRIGHT WEALTH MANAGEMENT, LLC — notice-filed in VA. IAPD ↗
$160.0M RAUM · 5 reps · (972) 410-6623
42
MONSON WEALTH MANAGEMENT, INC. — notice-filed in ID. IAPD ↗
$115.4M RAUM · 1 reps · 509-628-1358
42
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
$116.6M RAUM · 4 reps · 475-241-6966
42
SIMMONS CAPITAL GROUP — notice-filed in NJ. IAPD ↗
$211.5M RAUM · 4 reps · (518) 406-5624 · simmonscapitalgroup.com
42
Q3 ADVISORS, LLC — notice-filed in OK. IAPD ↗
$0 RAUM · 7 reps · 720-730-9892
42
RIDGELINE WEALTH ADVISORS, LLC. — notice-filed in TN. IAPD ↗
$117.7M RAUM · 3 reps · 919-782-0494 · ridgelinewealthadvisors.com
42
BLACKTOWER FINANCIAL MANAGEMENT (US) LLC — notice-filed in IN. IAPD ↗
$183.2M RAUM · 31 reps · 1-407-362-7753
42
WILDES FINANCIAL STRATEGIES, INC — notice-filed in GA. IAPD ↗
$105.4M RAUM · 2 reps · 843-485-4371
42
MINDFUL WEALTH LLC — notice-filed in LA. IAPD ↗
$132.9M RAUM · 1 reps · 312-953-9900 · mindfulwealthllc.com
42
BOURKE WEALTH MANAGEMENT — notice-filed in MD. IAPD ↗
$115.9M RAUM · 4 reps · (805) 966-2122
42
CAPITAL DESIGN PRIVATE WEALTH LLC — notice-filed in SC. IAPD ↗
$131.8M RAUM · 3 reps · 603-610-8290 · capitaldesignpw.com
42
ECIO, INC. — notice-filed in PA. IAPD ↗
$146.0M RAUM · 4 reps · 608-535-8317 · getecio.com
42
RIDGELINE WEALTH PLANNING LLC — notice-filed in KY. IAPD ↗
$147.4M RAUM · 3 reps · (937)-739-3744
42
FOREFRONT — notice-filed in NC. IAPD ↗
$118.2M RAUM · 7 reps · 512-617-1984
42
WINTER & ASSOCIATES, INC. — notice-filed in NE. IAPD ↗
$116.2M RAUM · 3 reps · (651) 414-5000
42
ABICH FINANCIAL WEALTH MANAGEMENT, LLC — notice-filed in TN. IAPD ↗
$150.1M RAUM · 4 reps · (571) 577-9968
42
PROSPERITY ADVISORY GROUP LLC — notice-filed in TX. IAPD ↗
$196.8M RAUM · 2 reps · (585) 381-5900 · prosperityadv.com
42
BULMAN WEALTH GROUP — notice-filed in ID. IAPD ↗
$148.2M RAUM · 5 reps · 916-458-8199 · bulmanwealth.com
42
THEPARTNERS WEALTH MANAGEMENT — notice-filed in CO. IAPD ↗
$172.5M RAUM · 7 reps · 800-324-3010 · centralcoastfm.com
42
EARNED WEALTH — notice-filed in PA. IAPD ↗
$106.6M RAUM · 7 reps · (914) 417-4556
42
RETIREMENT WEALTH SOLUTIONS LLC — notice-filed in NH. IAPD ↗
$140.7M RAUM · 2 reps · 715-384-5481 · retirementwealthsolutions.com
42
THE CLIFFORD GROUP LLC — notice-filed in FL. IAPD ↗
$166.3M RAUM · 2 reps · (617) 600-2083 · thecliffordgrp.com
42
BIG SKY WEALTH ADVISORS, LLC — notice-filed in TX. IAPD ↗
$107.8M RAUM · 1 reps · 406-315-2627 · bigskywealthadvisors.com
42
VIRTUS FINANCIAL PARTNERS — notice-filed in AR. IAPD ↗
$77.6M RAUM · 3 reps · 4072678445
42
MEMBERS WEALTH LLC — notice-filed in TX. IAPD ↗
$119.3M RAUM · 3 reps · 267-367-5453 · memberswealthllc.com
42
ATFS ADVISERS — notice-filed in VA. IAPD ↗
$13,408 RAUM · 3 reps · 805-557-8713
42
ROSSBY FINANCIAL, LLC — notice-filed in NH. IAPD ↗
$107.3M RAUM · 8 reps · 321-209-0111
42
COUNTERWEIGHT PRIVATE WEALTH — notice-filed in FL. IAPD ↗
$137.0M RAUM · 2 reps · 919-726-6124
42
STONEPATH WEALTH MANAGEMENT — notice-filed in TN. IAPD ↗
$178.0M RAUM · 7 reps · (231) 668-6999
42
WHALE — notice-filed in NY. IAPD ↗
$229,407 RAUM · 1 reps · 8884887104 · getwhale.co
42
SLO MONEY MANAGERS — notice-filed in LA. IAPD ↗
$0 RAUM · 1 reps · (949) 466-7519 · slomoneymanagers.com
42
HAMPTON ROCK WEALTH MANAGEMENT — notice-filed in CO. IAPD ↗
$0 RAUM · 1 reps · 512-256-9272
42
LEGACY CAPITAL — notice-filed in CO. IAPD ↗
$181.5M RAUM · 3 reps · (281) 595-1996 · lead-a-legacy.com
42
MARTINSEN WEALTH MANAGEMENT — notice-filed in TX. IAPD ↗
$0 RAUM · 6 reps · 480-550-6556
40
LIFE PLANNING ADVISORS LLC — filed an Item 4A succession naming SIERRA WEALTH GROUP, LLC (CRD 151292) — an entity change, not a deal. IAPD ↗
$133.3M RAUM · 4 reps · 760-918-0304 · lifeplanningadvisors.com
40
UPSTART WEALTH MANAGEMENT, LLC — filed an Item 4A succession naming UPSTART WEALTH MANAGEMENT, LLC (CRD 173728) — an entity change, not a deal. IAPD ↗
$248.0M RAUM · 4 reps · (415) 549-0646
40
CURA WEALTH ADVISORS, LLC — filed an Item 4A succession naming CURA WEALTH ADVISORS, LLC (CRD 332511) — an entity change, not a deal. IAPD ↗
$0 RAUM · 2 reps · 312-608-8806 · curawealth.com
85
CARVAL CLO MANAGEMENT LLC — (MINNEAPOLIS, MN) is newly SEC-registered with $4.92B RAUM and 1 advisory reps. IAPD ↗fund
$4.92B RAUM · 1 reps · 952-444-4780 · abcarval.com
85
CALPA ADVISORS LLC — (KIRKLAND, WA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 425-495-5504
85
TWO SIGMA REAL ESTATE, LP — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗institutional
$0 RAUM · 12 reps · (212) 625-5700
85
MAG 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 · 817-421-3823
85
MISSION INVESTMENT ADVISORS LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 1-800-683-8529
85
BAYPOINTE PARTNERS, LLC — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 516-381-5246
85
ACCEL MANAGEMENT CO. L.L.C — (PALO ALTO, CA) is newly SEC-registered with $29.94B RAUM and 44 advisory reps. IAPD ↗fund
$29.94B RAUM · 44 reps · 650-614-4800 · accel.com
85
GUGGENHEIM PRIVATE INVESTMENTS, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · 1-212-739-0700 · guggenheiminvestments.com
85
INFINITY CREDIT ADVISORY, LLC — (ATLANTA, GA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 404-458-4448
85
FPLF MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗institutional
$0 RAUM · 15 reps · 212-798-6100
85
NIOBRARA CAPITAL PARTNERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-650-2169 · niobraracap.com
85
CARO INVESTORS — (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · (301) 241- 8680 · caroinvestors.com
85
FUNDSTRAT CAPITAL — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 212-293-7136 · fundstratcapital.com
85
TEMA ETFS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 332-287-2270 · tremaetfs.com
85
CREDIT BRIDGE ADVISORS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 786-505-4412 · creditbridge.com
85
AVATHON CAPITAL MANAGEMENT LP — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
$0 RAUM · 7 reps · 312-351-2301 · avathoncapital.com
85
HAUSSMANN 1864 CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 212-278-6000
85
FIN FINANCIAL LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-545-7427 · finnyai.com
85
FIRST TRYON ADVISORS — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 704-926-2453
85
VARIADIC LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
$0 RAUM · 8 reps · 646-384-8680 · variadic.com
85
AXXES ADVISORS I LLC — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 786-885-4821 · axxescapital.com
85
10X CAPITAL PARTNERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 212-220-7218
85
SCI CAPITAL PARTNERS 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 · 424-316-2061
85
LORD ABBETT PRIVATE CREDIT ADVISOR LLC — (JERSEY CITY, NJ) is newly SEC-registered with $0 RAUM and 264 advisory reps. IAPD ↗institutional
$0 RAUM · 264 reps · 201-827-2000 · lordabbett.com
85
THIRD POINT PRIVATE CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 41 advisory reps. IAPD ↗institutional
$0 RAUM · 41 reps · 212-715-3880
85
TALOS ASSET MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (646) 849-6758 · talosfunds.com
85
BOW RIVER CREDIT ADVISERS, LLC. — (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 303-861-8466 · bowrivercapital.com
85
MANTEIO SCALABLE TECHNOLOGIES LLC — (JERSEY CITY, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 917-736-9209
83
FIO ADVISORS LP — (NEW YORK, NY) is newly SEC-registered with $445.8M RAUM and 3 advisory reps. IAPD ↗fund
$445.8M RAUM · 3 reps · 646-467-8050 · foundationcredit.com
83
BLACK DRAGON CAPITAL INVESTMENT MANAGEMENT, INC — (location n/a) is newly SEC-registered with $452.7M RAUM and 12 advisory reps. IAPD ↗fund
$452.7M RAUM · 12 reps · 305-539-9415 · blackdragoncap.com
83
DYNASTY EQUITY PARTNERS MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $343.6M RAUM and 9 advisory reps. IAPD ↗fund
$343.6M RAUM · 9 reps · 212-970-9850
83
ROSCOMMON ANALYTICS LLC — (NEW YORK, NY) is newly SEC-registered with $753.8M RAUM and 45 advisory reps. IAPD ↗fund
$753.8M RAUM · 45 reps · 212-850-8860
80
LYNWOOD PRICE CAPITAL MANAGEMENT LP — (AUSTIN, TX) is newly SEC-registered with $36.0M RAUM and 2 advisory reps. IAPD ↗fund
$36.0M RAUM · 2 reps · 512-521-0075
80
CHRISTOPHER & CO., LLC — (AUSTIN, TX) is newly SEC-registered with $196.1M RAUM and 3 advisory reps. IAPD ↗fund
$196.1M RAUM · 3 reps · 512-785-9710 · astoconsumer.com
80
NORTH SHIELD CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $54.7M RAUM and 4 advisory reps. IAPD ↗fund
$54.7M RAUM · 4 reps · 917-546-2079
80
CORDOBA CAPITAL PARTNERS, LLC — (NEW YORK, NY) is newly SEC-registered with $55.3M RAUM and 6 advisory reps. IAPD ↗fund
$55.3M RAUM · 6 reps · 917-746-4806 · cordobacapital.co
80
SOUNDCORE CAPITAL PARTNERS, LP — (NEW YORK, NY) is newly SEC-registered with $187.5M RAUM and 12 advisory reps. IAPD ↗fund
$187.5M RAUM · 12 reps · 212-812-1180
80
GENERAL INNOVATION CAPITAL, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗fund
$0 RAUM · 6 reps · 917-816-1744 · generalinnovation.com
80
PERRYRIDGE CAPITAL LP — (GREENWICH, CT) is newly SEC-registered with $128.7M RAUM and 3 advisory reps. IAPD ↗fund
$128.7M RAUM · 3 reps · (203) 489-6554
80
FIVESPAN PARTNERS, LP — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
$0 RAUM · 5 reps · (415) 318-7900 · fivespan.com
80
WHITE ROCK RESOURCES HOLDINGS, LLC — (PLANO, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗fund
$0 RAUM · 3 reps · 2149811400 · whiterock-resources.com
80
NINE LEFT CAPITAL LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
$0 RAUM · 3 reps · 212-202-3010 · nineleftcapital.com
80
ALAMOS CAPITAL, LLC — (TUCSON, AZ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗fund
$0 RAUM · 1 reps · 520-664-2001
80
LINCOLN ENERGY HOLDINGS LLC — (ENGLEWOOD, CO) is newly SEC-registered with $126.9M RAUM and 7 advisory reps. IAPD ↗fund
$126.9M RAUM · 7 reps · 720-909-6608 · delrioroyalty.com
80
RUSHMONT CAPITAL MANAGEMENT — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
$0 RAUM · 3 reps · 1-212-680-4980
75
INVESTCORP INVESTMENT SOLUTIONS LLC — crossed $1B in regulatory AUM ($356.0M -> $1.11B). IAPD ↗institutional
$1.11B RAUM · 3 reps · 212-599-4700
70
OMNI BRIDGEWAY MANAGEMENT (USA) LLC — crossed $1B in regulatory AUM ($882.8M -> $1.95B). IAPD ↗fund
$1.95B RAUM · 31 reps · 212-488-5331 · omnibridgeway.com
70
ISAM FUNDS (USA) LLC — crossed $1B in regulatory AUM ($259.7M -> $2.11B). IAPD ↗fund
$2.11B RAUM · 4 reps · +1 212 561 1200 · isamfunds.com
70
CAPITAL CLIENT GROUP, INC. — grew from 494 to 655 advisory reps. IAPD ↗institutional
$0 RAUM · 655 reps · 213-486-9200
70
LIGHTHOUSE INVESTMENT PARTNERS, LLC — grew from 124 to 171 advisory reps. IAPD ↗fund
$74.15B RAUM · 171 reps · 561-741-0820
70
GAUGE CAPITAL — grew from 35 to 61 advisory reps. IAPD ↗fund
$3.34B RAUM · 61 reps · 682-334-5800
70
JAIN GLOBAL LLC — grew from 35 to 103 advisory reps. IAPD ↗fund
$5.91B RAUM · 103 reps · 212-671-4011 · jainglobal.com
68
REGENTS GATE CAPITAL LLP — (LONDON, United Kingdom) is newly SEC-registered with $783.1M RAUM and 4 advisory reps. IAPD ↗foreign
$783.1M RAUM · 4 reps · 02038394680 · regentsgatecapital.com
68
SCOTT CAPITAL PARTNERS — (LONDON, United Kingdom) is newly SEC-registered with $689.5M RAUM and 6 advisory reps. IAPD ↗foreign
$689.5M RAUM · 6 reps · 442045742828 · scottcp.com
68
NAVI INTL-ADMINISTRADORA E GESTORA DE RECURSOS FINANCEIROS LTDA. — (SAO PAULO, Brazil) is newly SEC-registered with $587.0M RAUM and 4 advisory reps. IAPD ↗foreign
$587.0M RAUM · 4 reps · 55 21 3590 2410 · navi.com.br
67
CF PRIVATE EQUITY, INC. — grew from 30 to 42 advisory reps. IAPD ↗fund
$15.25B RAUM · 42 reps · 203-563-5000 · commonfund.org
65
NINE MASTS CAPITAL ADVISERS LLC — (HONG KONG, Hong Kong) is newly SEC-registered with $100.0M RAUM and 1 advisory reps. IAPD ↗foreign
$100.0M RAUM · 1 reps · 85228689973 · ninemasts.com
65
SARTORIAL WEALTH (USA) INC. — (MISSISSAUGA, ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 647-998-9705
65
ARCHER PORTFOLIO MANAGEMENT INC. — (MONTREAL, QUEBEC, Canada) is newly SEC-registered with $190.4M RAUM and 2 advisory reps. IAPD ↗foreign
$190.4M RAUM · 2 reps · 514-395-2151 · archer.ca
65
BRICKWOOD ASSET MANAGEMENT — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · 0 204-603-3122
65
MERIDIEM CAPITAL PARTNERS LP — 's provisional registration is now fully approved. IAPD ↗institutional
$1.26B RAUM · 10 reps · (469) 317-2120 · meridiemcapital.com
65
VENERABLE INVESTMENT ADVISERS, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$9.71B RAUM · 2 reps · 610-249-2916
65
BLUE OWL INSURANCE SOLUTIONS — 's provisional registration is now fully approved. IAPD ↗institutional
$20.77B RAUM · 30 reps · (212) 419-3000
63
FISHER RETIREMENT SOLUTIONS LLC — grew from 1 to 4 advisory reps. IAPD ↗institutional
$4.90B RAUM · 4 reps · 650-350-5254
63
AGILE INVESTMENT MANAGEMENT, LLC — grew from 1 to 6 advisory reps. IAPD ↗institutional
$540.0M RAUM · 6 reps · 917-969-8982
63
WHITEBARK INVESTORS — 's provisional registration is now fully approved. IAPD ↗institutional
$333.3M RAUM · 4 reps · 212-468-5131
63
AGILE INVESTMENT MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$540.0M RAUM · 6 reps · 917-969-8982
62
BRIGHAM MANAGEMENT, LLC — grew from 9 to 18 advisory reps. IAPD ↗fund
$855.7M RAUM · 18 reps · 512-871-1001 · brighamexploration.com
61
WHITEBARK INVESTORS — grew from 1 to 4 advisory reps. IAPD ↗institutional
$333.3M RAUM · 4 reps · 212-468-5131
60
PALISADE INFRASTRUCTURE — grew from 2 to 4 advisory reps. IAPD ↗institutional
$354.4M RAUM · 4 reps · (914) 886 7452 · palisadeinfrastructure.com
60
MAIN CAPITAL PARTNERS NORTH AMERICA LLC — grew from 4 to 6 advisory reps. IAPD ↗institutional
$370.8M RAUM · 6 reps · 617-207-4175
60
ACADIA INFRASTRUCTURE CAPITAL LP — 's provisional registration is now fully approved. IAPD ↗institutional
$107.4M RAUM · 9 reps · 6464992075 · acadiainfrastructure.com
60
TWIN OAK ETF COMPANY — 's provisional registration is now fully approved. IAPD ↗institutional
$10.2M RAUM · 2 reps · 617-402-5495
60
ORG PARTNERS ASSET MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 1 reps · 214-440-3909
60
JAIN GLOBAL LLC — now reports 1 private fund(s) ($5.91B gross). IAPD ↗fund
$5.91B RAUM · 103 reps · 212-671-4011 · jainglobal.com
59
NASSAU GLOBAL CREDIT LLC — grew from 14 to 18 advisory reps. IAPD ↗fund
$8.39B RAUM · 18 reps · (646) 630-8376 · ngc.nfg.com
58
WHITEBARK INVESTORS — now reports custody of client assets. IAPD ↗institutional
$333.3M RAUM · 4 reps · 212-468-5131
58
RCF ASSET MANAGEMENT GROUP 3, LLC — grew from 2 to 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · (310) 598-7070 · rangesummit.com
58
RSC INDUSTRIAL ASSET MANAGEMENT GROUP 2, LLC — grew from 2 to 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 310-598-7073 · rangesummit.com
58
RCF ASSET MANAGEMENT GROUP 4, LLC — grew from 2 to 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 310-598-7070 · rangesummit.com
58
KIAN CAPITAL PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗fund
$263.3M RAUM · 15 reps · 704-943-2500
58
AIP CAPITAL ADVISORS LLC — now reports 1 private fund(s) ($240.0M gross). IAPD ↗fund
$365.0M RAUM · 7 reps · 203-487-8200 · aipcapital.com
58
ANNAPURNA CAPITAL MANAGEMENT LP — now reports 2 private fund(s) ($267.2M gross). IAPD ↗fund
$267.2M RAUM · 4 reps · 561-328-2235 · annapurnacm.com
55
BRONTE CAPITAL — crossed $1B in regulatory AUM ($970.1M -> $1.18B). IAPD ↗foreign
$1.18B RAUM · 10 reps · + 61 2 9389 3293 · brontecapital.com
55
SANTA LUCIA ASSET MANAGEMENT PTE. LTD. — crossed $1B in regulatory AUM ($927.6M -> $1.09B). IAPD ↗foreign
$1.09B RAUM · 6 reps · 00-65-6513-4104 · slam.com.sg
55
ISAM FUNDS (UK) LIMITED — crossed $1B in regulatory AUM ($259.7M -> $2.11B). IAPD ↗foreign
$2.11B RAUM · 35 reps · 44 207 258 9940 · isamfunds.com
55
AIKYA INVESTMENT MANAGEMENT LIMITED — crossed $1B in regulatory AUM ($172.2M -> $1.58B). IAPD ↗foreign
$1.58B RAUM · 11 reps · +44 20 3965 4392 · aikya.co.uk
55
GAUGE CAPITAL — now reports custody of client assets ($3.34B). IAPD ↗fund
$3.34B RAUM · 61 reps · 682-334-5800
55
DEEPCURRENTS INVESTMENT GROUP LLC — now reports custody of client assets ($4.46B). IAPD ↗fund
$3.16B RAUM · 5 reps · 646-350-4621 · deepcurrentsinvestment.com
55
JAIN GLOBAL LLC — now reports custody of client assets ($6.51B). IAPD ↗fund
$5.91B RAUM · 103 reps · 212-671-4011 · jainglobal.com
55
SUNRISE MANAGER LLC — now reports custody of client assets ($115.0M). IAPD ↗institutional
$115.0M RAUM · 6 reps · 561-510-3315 · sunriserealtytrust.com
55
IFM INVESTORS PTY LTD — grew from 114 to 189 advisory reps. IAPD ↗foreign
$143.91B RAUM · 189 reps · 61 1300 651 607
55
CCS PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗fund
$105.9M RAUM · 6 reps · 212 224-9400 · ccs-partners.com
55
CAPZONE MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗fund
$208.0M RAUM · 2 reps · 646-580-3195
55
SCIENCE & TECHNOLOGY PARTNERS, L.P. — 's provisional registration is now fully approved. IAPD ↗fund
$227.3M RAUM · 3 reps · 212-306-2600 · sandtpartners.com
55
SLG CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗fund
$25.0M RAUM · 20 reps · 212-594-2700
55
PF ADVISORS LLC — now reports 1 private fund(s) ($0 gross). IAPD ↗fund
$0 RAUM · 1 reps · 720-751-4795 · petrofunders.com
55
SCIENCE & TECHNOLOGY PARTNERS, L.P. — now reports 1 private fund(s) ($227.3M gross). IAPD ↗fund
$227.3M RAUM · 3 reps · 212-306-2600 · sandtpartners.com
53
KENT LAKE PR LLC — now reports custody of client assets ($285.5M). IAPD ↗fund
$496.5M RAUM · 5 reps · 415-799-2720
53
BRIGHAM MANAGEMENT, LLC — now reports custody of client assets ($1.71B). IAPD ↗fund
$855.7M RAUM · 18 reps · 512-871-1001 · brighamexploration.com
53
ANNAPURNA CAPITAL MANAGEMENT LP — now reports custody of client assets ($534.4M). IAPD ↗fund
$267.2M RAUM · 4 reps · 561-328-2235 · annapurnacm.com
53
GREE CAPITAL PARTNERS, LLC — grew from 4 to 7 advisory reps. IAPD ↗fund
$172.1M RAUM · 7 reps · 415-302-1431 · gfrfund.com
53
RSC ASSET MANAGEMENT GROUP, LLC — grew from 2 to 5 advisory reps. IAPD ↗fund
$155.3M RAUM · 5 reps · (310) 598-7073 · rangesummit.com
52
POLUS CAPITAL MANAGEMENT LIMITED — grew from 23 to 35 advisory reps. IAPD ↗foreign
$4.28B RAUM · 35 reps · 44-20-7259-4800 · poluscapital.com
52
SCIENCE & TECHNOLOGY PARTNERS, L.P. — grew from 1 to 3 advisory reps. IAPD ↗fund
$227.3M RAUM · 3 reps · 212-306-2600 · sandtpartners.com
50
OT MANAGEMENT, LLC — now reports custody of client assets ($208.3M). IAPD ↗fund
$208.3M RAUM · 3 reps · 617-462-3524 · olivetreecapital.com
50
SCIENCE & TECHNOLOGY PARTNERS, L.P. — now reports custody of client assets ($454.5M). IAPD ↗fund
$227.3M RAUM · 3 reps · 212-306-2600 · sandtpartners.com
45
THE VARIABLE ANNUITY LIFE INSURANCE COMPANY — 's Item 11 disclosure-reporting entries rose by 2 (42 -> 44). IAPD ↗institutional
$31.71B RAUM · 6 reps · 713-522-1111
45
VEST FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗institutional
$24.38B RAUM · 10 reps · 855-979-6060
45
GRAND ALLIANCE ASSET MANAGEMENT LTD. — grew from 22 to 27 advisory reps. IAPD ↗foreign
$2.21B RAUM · 27 reps · (852) 3852 6351 · gaamhk.com
45
FISHER RETIREMENT SOLUTIONS LLC — notice-filed in AK, AL, AR, AZ, CO, CT, DC, 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, RI, SC, TN, VA, WI, WV, WY. IAPD ↗institutional
$4.90B RAUM · 4 reps · 650-350-5254
44
IVYROCK ASSET MANAGEMENT (HK) LIMITED — grew from 3 to 7 advisory reps. IAPD ↗foreign
$1.02B RAUM · 7 reps · +852 2620 0482
43
BMO CAPITAL MARKETS CORP. — 's Item 11 disclosure-reporting entries rose by 3 (31 -> 34). IAPD ↗institutional
$796.4M RAUM · 25 reps · (212) 605-1504 · bmocm.com
43
NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC. — 's Item 11 disclosure-reporting entries rose by 1 (9 -> 10). IAPD ↗institutional
$884.0M RAUM · 2 reps · 212-318-9300
42
AIKYA INVESTMENT MANAGEMENT LIMITED — grew from 9 to 11 advisory reps. IAPD ↗foreign
$1.58B RAUM · 11 reps · +44 20 3965 4392 · aikya.co.uk
41
SIMPLIFY ASSET MANAGEMENT INC. — notice-filed in AZ, FL, PA. IAPD ↗institutional
$4.66B RAUM · 13 reps · 646-585-0476 · simplify.us
40
BMO ASSET MANAGEMENT CORP. — 's Item 11 disclosure-reporting entries rose by 2 (6 -> 8). IAPD ↗fund
$4.25B RAUM · 4 reps · 312-461-4002
40
GLAZER CAPITAL, LLC. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$2.46B RAUM · 18 reps · 212-808-7304
40
ADAGE CAPITAL MANAGEMENT, L.P. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$51.96B RAUM · 35 reps · 617-867-2800 · adagecapital.com
40
TZP MANAGEMENT ASSOCIATES, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$2.40B RAUM · 50 reps · 212-398-0300
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 8 (116 -> 124). IAPD ↗institutional
$0 RAUM · 314 reps · 646-743-2734 · bankofamerica.com
40
FPA REAL ESTATE ADVISERS GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
$5.66B RAUM · 15 reps · 949-399-2500 · fpamf.com
40
KING RIVER CAPITAL MANAGEMENT PTY LTD — grew from 8 to 10 advisory reps. IAPD ↗foreign
$425.6M RAUM · 10 reps · 61 417 637 684
37
PIPER SANDLER & CO. — notice-filed in CO. IAPD ↗institutional
$1.58B RAUM · 24 reps · 612-303-6000 · pipersandler.com
35
NEWFRONT RETIREMENT SERVICES, INC. — notice-filed in SC. IAPD ↗institutional
$366.8M RAUM · 20 reps · 415-754-3635 · newfront.com
34
TOWERS WATSON INVESTMENT SERVICES, INC. — notice-filed in KY, TN. IAPD ↗fund
$51.37B RAUM · 201 reps · 312-288-7700 · wtwco.com
34
COMMONFUND OCIO, INC. — notice-filed in NC, WA. IAPD ↗fund
$20.19B RAUM · 31 reps · 203-563-5000
34
LIGHTHOUSE INVESTMENT PARTNERS, LLC — notice-filed in AZ, MA. IAPD ↗fund
$74.15B RAUM · 171 reps · 561-741-0820
32
CAPITAL CLIENT GROUP, INC. — notice-filed in FL. IAPD ↗institutional
$0 RAUM · 655 reps · 213-486-9200
32
CAPSTONE INVESTMENT ADVISORS, LLC — notice-filed in MD. IAPD ↗fund
$69.25B RAUM · 108 reps · 212-232-1420
32
JOHCM (USA) INC — notice-filed in DE. IAPD ↗fund
$10.23B RAUM · 31 reps · 617-993-0701
32
GLOBAL BETA ADVISORS — notice-filed in NJ. IAPD ↗institutional
$20.8M RAUM · 2 reps · 215-531-8234
32
RCF ASSET MANAGEMENT GROUP 3, LLC — notice-filed in IN. IAPD ↗institutional
$0 RAUM · 5 reps · (310) 598-7070 · rangesummit.com
32
RSC INDUSTRIAL ASSET MANAGEMENT GROUP 2, LLC — notice-filed in IN. IAPD ↗institutional
$0 RAUM · 5 reps · 310-598-7073 · rangesummit.com
32
CORIENT IA LLC — notice-filed in OH. IAPD ↗fund
$4.60B RAUM · 45 reps · (786) 530-4306
32
RCF ASSET MANAGEMENT GROUP 4, LLC — notice-filed in IN. IAPD ↗institutional
$0 RAUM · 5 reps · 310-598-7070 · rangesummit.com
32
MEKETA CAPITAL, LLC — notice-filed in NC. IAPD ↗institutional
$100,000 RAUM · 6 reps · 720-697-1010 · meketacapital.com
30
DEEPWATER ASSET MANAGEMENT, LLC — notice-filed in PA. IAPD ↗fund
$333.0M RAUM · 5 reps · 612-424-1393
27
CHANGE GLOBAL INVESTMENT, LLC — notice-filed in NY. IAPD ↗fund
$208.0M RAUM · 6 reps · 360-844-5826 · changegi.com
27
RSC ASSET MANAGEMENT GROUP, LLC — notice-filed in IN. IAPD ↗fund
$155.3M RAUM · 5 reps · (310) 598-7073 · rangesummit.com
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (111 -> 113). IAPD ↗foreign
$3.45B RAUM · 20 reps · 852-2203-8888
25
ASTEROZOA MANAGEMENT — filed an Item 4A succession naming ASTEROZOA MANAGEMENT (CRD 316870) — an entity change, not a deal. IAPD ↗fund
$106.0M RAUM · 3 reps · 858-692-8461 · asterozoacapital.com
17
MASECO PRIVATE WEALTH — notice-filed in MD. IAPD ↗foreign
$3.27B RAUM · 23 reps · +44 20 7043 0455 · instagram.com\masecopw

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.