Compliance — November 2024
Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).
639 firms opened this window in the November 2024 SEC roster: 277 state expansion, 123 disclosure added, 95 new registration, 48 pending approved, 34 custody started, 32 headcount up, 13 private funds started, 8 aum crossed 1b, 5 wrap program started, 3 reorganization, 1 acquisition.
100
PROVENIO CAPITAL — (NEWPORT BEACH, CA) is newly SEC-registered with $1.64B RAUM and 6 advisory reps. IAPD ↗
95
DENALI ADVISORS, LLC — filed an Item 4A succession naming MCKINLEY CAPITAL MANAGEMENT, LLC (CRD 106173) — one firm absorbed the other. IAPD ↗
95
H. C. DENISON CO. — (SHEBOYGAN, WI) is newly SEC-registered with $101.4M RAUM and 4 advisory reps. IAPD ↗
95
GLOBAL BROKERAGE SERVICES, INC. — (HUNT VALLEY, MD) is newly SEC-registered with $117.8M RAUM and 5 advisory reps. IAPD ↗
95
WEALTHKARE.COM, INC. — (MOUNT UNION, PA) is newly SEC-registered with $106.2M RAUM and 6 advisory reps. IAPD ↗
95
OXFORD CAPITAL MANAGEMENT — (RICHM0ND, VA) is newly SEC-registered with $125.0M RAUM and 2 advisory reps. IAPD ↗
95
SUPERIOR PLANNING, LLC — (SAN DIEGO, CA) is newly SEC-registered with $105.4M RAUM and 5 advisory reps. IAPD ↗
95
COMPASS INVESTMENT ADVISERS, LLC — (PORTLAND, OR) is newly SEC-registered with $101.3M RAUM and 2 advisory reps. IAPD ↗
95
FAIRWAY FINANCIAL, LLC — (CASSELBERRY, FL) is newly SEC-registered with $122.4M RAUM and 2 advisory reps. IAPD ↗
95
PACIFIC COAST INVESTMENT ADVISORS, LLC — (WEST LINN, OR) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
95
MUNTZ FINANCIAL, LLC — (DOYLESTOWN, PA) is newly SEC-registered with $154.8M RAUM and 2 advisory reps. IAPD ↗
95
METANOIA FINANCIAL, LLC — (location n/a) is newly SEC-registered with $117.9M RAUM and 1 advisory reps. IAPD ↗
95
DIRECTIONAL ASSET MANAGEMENT, LLC — (ARLINGTON HEIGHTS, IL) is newly SEC-registered with $119.8M RAUM and 1 advisory reps. IAPD ↗
95
1650 WEALTH MANAGEMENT, LLC — (LIGHTHOUSE POINT, FL) is newly SEC-registered with $111.0M RAUM and 1 advisory reps. IAPD ↗
95
GALLAGHER WEALTH MANAGEMENT — (DANVILLE, CA) is newly SEC-registered with $105.3M RAUM and 1 advisory reps. IAPD ↗
95
SHADOWRIDGE ASSET MANAGEMENT, LLC — (AUSTIN, TX) is newly SEC-registered with $108.5M RAUM and 6 advisory reps. IAPD ↗
95
APPIAN WAY FINANCIAL — (PASADENA, CA) is newly SEC-registered with $121.2M RAUM and 1 advisory reps. IAPD ↗
95
BLACK BARN FINANCIAL, LLC — (AUSTIN, TX) is newly SEC-registered with $110.1M RAUM and 4 advisory reps. IAPD ↗
95
BREAKWATER FINANCIAL, LLC — (NEEDHAM, MA) is newly SEC-registered with $106.5M RAUM and 1 advisory reps. IAPD ↗
95
MIDDLETON & COMPANY — (VANCOUVER, WA) is newly SEC-registered with $114.9M RAUM and 2 advisory reps. IAPD ↗
95
WAVE WEALTH MANAGEMENT, LLC — (FRISCO, TX) is newly SEC-registered with $108.3M RAUM and 1 advisory reps. IAPD ↗
95
CRAFT ASSET MANAGEMENT — (TAMPA, FL) is newly SEC-registered with $83.5M RAUM and 7 advisory reps. IAPD ↗
95
CAPITAL ACHIEVEMENTS, LLC — (location n/a) is newly SEC-registered with $129.3M RAUM and 1 advisory reps. IAPD ↗
95
RETIREMITTEN FINANCIAL LLC — (MILFORD, MI) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
95
RIVERBEND WEALTH MANAGEMENT, LLC — (MYRTLE BEACH, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MIDWEST FINANCIAL NETWORK, LLC — (TINLEY PARK, IL) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
95
DELAWARE WEALTH PLANNERS — (WILMINGTON, DE) is newly SEC-registered with $103.2M RAUM and 3 advisory reps. IAPD ↗
95
GLOBAL INVESTMENT ADVISORY — (MCDONOUGH, GA) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
PRINCETON VALUE PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered with $25.9M RAUM and 2 advisory reps. IAPD ↗
95
DOWNSHIFT FINANCIAL — (location n/a) is newly SEC-registered with $102.8M RAUM and 2 advisory reps. IAPD ↗
95
TABLEAUX WEALTH — (location n/a) is newly SEC-registered with $109.3M RAUM and 3 advisory reps. IAPD ↗
95
SPLIT CREEK LLC DBA SPLIT CREEK CAPITAL LLC — (location n/a) is newly SEC-registered with $109.9M RAUM and 1 advisory reps. IAPD ↗
95
PALM WEALTH PARTNERS — (BOCA RATON, FL) is newly SEC-registered with $104.9M RAUM and 7 advisory reps. IAPD ↗
95
95
SPARTAN WEALTH MANAGEMENT — (BINGHAM FARMS, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
BIRCH FINANCIAL GROUP — (KEENE, NH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
TRILLIONS CAPITAL — (WARMINSTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
ALKEME INVESTMENTS LLC — (SCOTTSDALE, AZ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
ALTON ROAD CAPITAL, LP — (VERO BEACH, FL) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
95
RIA GLOBAL RESEARCH, LLC — (HOUSTON, TX) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
PLUM POINTE WEALTH MANAGEMENT — (PROVIDENCE, RI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
QUANTOR CAPITAL LLC — (HOUSTON, TX) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
95
1808 CAPITAL PARTNERS — (GREENSBORO, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
STONEHAVEN WEALTH & TAX SOLUTIONS — (APPLETON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
HARBORVIEW ASSET MANAGEMENT LLC — (GIG HARBOR, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
FPNAVIGATORS — (MAPLE GROVE, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MAAT INVESTMENT GROUP GMBH — (location n/a) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
COMMONWEALTH CONTINUUM ADVISORS — (WALTHAM, MA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
THE LIFE WEALTH GROUP — (WINTER GARDEN, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
LOOMIS CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SMITH WYND CAPITAL LLC — (FRANKLIN, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
CAPITAL AREA PLANNING GROUP — (WASHINGTON, DC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BEACON CAPITAL ADVISORY GROUP — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
CATOCTIN RIDGE WEALTH PARTNER — (THURMONT, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PCM ENCORE, LLC — (ASPEN, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
HARVESTWISE WEALTH PLANNING — (ESCONDIDO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
GRP FINANCIAL SERVICES, LLC — (FARMINGDALE, ME) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
ECHELON GROUP — (BOISE, ID) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
PENSERRA WEALTH MANAGEMENT — (ORINDA, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
THECE WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WEALTH INTELLIGENCE, LLC — (COLUMBUS, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
TRITONPOINT PARTNERS, LLC — (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PITCAIRN WEALTH ADVISORS LLC — (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
STRIVE FINANCIAL GROUP, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
GOETZKE CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
HODGES CAPITAL MANAGEMENT INC — crossed $1B in regulatory AUM ($969.2M -> $1.09B). IAPD ↗
85
DENALI ADVISORS, LLC — crossed $1B in regulatory AUM ($493.4M -> $1.20B). IAPD ↗
85
PINNACLE INVESTMENTS, LLC — crossed $1B in regulatory AUM ($964.9M -> $1.07B). IAPD ↗
85
STRATEGIC INVESTMENT ADVISORS, LLC — crossed $1B in regulatory AUM ($947.1M -> $1.12B). IAPD ↗
85
SOVRAN ADVISORS, LLC — crossed $1B in regulatory AUM ($841.6M -> $1.17B). IAPD ↗
85
WAVERLY ADVISORS, LLC — grew from 92 to 119 advisory reps. IAPD ↗
85
PROSPERITY - AN EISNERAMPER COMPANY — grew from 31 to 46 advisory reps. IAPD ↗
85
FIRST COMMAND ADVISORY SERVICES — grew from 1050 to 1155 advisory reps. IAPD ↗
85
THE BALDWIN GROUP WEALTH ADVISORS, LLC — grew from 17 to 43 advisory reps. IAPD ↗
81
FORTIS CAPITAL ADVISORS, LLC — grew from 24 to 37 advisory reps. IAPD ↗
79
WEALTHFRONT ADVISERS LLC — grew from 11 to 20 advisory reps. IAPD ↗
75
THE CAPROCK GROUP, LLC — grew from 30 to 35 advisory reps. IAPD ↗
75
A&M PRIVATE WEALTH PARTNERS, LLC — grew from 1 to 11 advisory reps. IAPD ↗
75
DENALI ADVISORS, LLC — now reports 1 private fund(s) ($144.3M gross). IAPD ↗
74
SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC — grew from 17 to 21 advisory reps. IAPD ↗
74
VESTGEN ADVISORS, LLC — grew from 7 to 13 advisory reps. IAPD ↗
73
SPC FINANCIAL INC — grew from 14 to 17 advisory reps. IAPD ↗
73
RELATION WEALTH MANAGEMENT, INC. — 's provisional registration is now fully approved. IAPD ↗
73
CRUX WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
BRADY MARTZ WEALTH SOLUTIONS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
OLIVER LUXXE ASSETS LLC — now reports 3 private fund(s) ($33.0M gross). IAPD ↗
71
DISCIPLINE WEALTH SOLUTIONS, INC. — grew from 8 to 14 advisory reps. IAPD ↗
71
BBVA GLOBAL WEALTH ADVISORS, INC. — grew from 14 to 17 advisory reps. IAPD ↗
70
PATTEN AND PATTEN, INC. — now reports custody of client assets ($523.5M). IAPD ↗
70
DENALI ADVISORS, LLC — now reports custody of client assets ($127.5M). IAPD ↗
70
ALLWORTH FINANCIAL, L.P. — now reports custody of client assets ($26.1M). IAPD ↗
70
OCEAN PARK ASSET MANAGEMENT, LLC — now reports custody of client assets ($43.6M). IAPD ↗
70
INTEGRATED INVESTMENT CONSULTANTS, LLC — grew from 7 to 9 advisory reps. IAPD ↗
70
ALTA WEALTH ADVISORS LLC — grew from 6 to 8 advisory reps. IAPD ↗
70
SMITH THORNTON ADVISORS, LLC — grew from 4 to 6 advisory reps. IAPD ↗
70
FORTITUDE FAMILY OFFICE — grew from 9 to 11 advisory reps. IAPD ↗
70
ZERO DAY CAPITAL ENTERPRISES LLC — grew from 1 to 6 advisory reps. IAPD ↗
70
ALPHA VEE ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
BLUEWATER WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
FORMULATE FINANCIAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
LITTLE RIVER CAPITAL PARTNERS, LP — 's provisional registration is now fully approved. IAPD ↗
70
BLUE JEAN FINANCIAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
TORO WEST CAPITAL ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
LFG WEALTH PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
STORYONE FAMILY OFFICE — 's provisional registration is now fully approved. IAPD ↗
70
BELMONT PRIVATE WEALTH — 's provisional registration is now fully approved. IAPD ↗
70
A&M PRIVATE WEALTH PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
DA WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
SLO MONEY MANAGERS — 's provisional registration is now fully approved. IAPD ↗
70
WALTON FINANCIAL — 's provisional registration is now fully approved. IAPD ↗
70
KONZA GLOBAL WEALTH GROUP — 's provisional registration is now fully approved. IAPD ↗
70
LEE-KELLEHER WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
ROMEN CAPITAL — 's provisional registration is now fully approved. IAPD ↗
70
TOTAL WEALTH SERVICES, LLC — 's provisional registration is now fully approved. IAPD ↗
70
OWL CREEK WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
70
BOYER FINANCIAL SERVICES, INC. — 's provisional registration is now fully approved. IAPD ↗
70
GENEVA FINANCIAL GROUP — 's provisional registration is now fully approved. IAPD ↗
70
BENTHAM WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
RAINIER FAMILY WEALTH, INC. — 's provisional registration is now fully approved. IAPD ↗
70
BREAKTHRU ADVISORY SERVICES, LLC — 's provisional registration is now fully approved. IAPD ↗
70
LEGACY CAPITAL — 's provisional registration is now fully approved. IAPD ↗
70
GALLIOTT CAPITAL ADVISORS, LLC — now reports 5 private fund(s) ($33.6M gross). IAPD ↗
70
CHAPEL BRIDGE WEALTH ADVISORS — now reports 1 private fund(s) ($2.3M gross). IAPD ↗
70
BROADSTREET GLOBAL ADVISORS, INC. — now reports 1 private fund(s) ($0 gross). IAPD ↗
68
U.S. FINANCIAL ADVISORS — now reports custody of client assets ($10.8M). IAPD ↗
68
BLACK DIAMOND FINANCIAL, LLC — now reports custody of client assets ($890,000). IAPD ↗
68
TOWERCREST CAPITAL MANAGEMENT, LLC — now reports custody of client assets ($4.3M). IAPD ↗
68
RED TORTOISE — now reports custody of client assets ($63.0M). IAPD ↗
68
BRUTON CHISNELL ADVISORS, LLC — now reports custody of client assets ($56.9M). IAPD ↗
68
EDGEROCK WEALTH MANAGEMENT — now reports custody of client assets ($58.0M). IAPD ↗
68
WATERSHED PRIVATE WEALTH LLC — now reports custody of client assets ($122.2M). IAPD ↗
68
PERMANENT CAPITAL MANAGEMENT, LP — now reports custody of client assets ($33.5M). IAPD ↗
68
PLATO'S PHILOSOPHY, LLC — grew from 1 to 4 advisory reps. IAPD ↗
67
QUINT INVESTMENTS AND INSURANCE — grew from 6 to 8 advisory reps. IAPD ↗
67
CANDIDE GROUP — grew from 5 to 7 advisory reps. IAPD ↗
67
FORONJY FINANCIAL — grew from 2 to 4 advisory reps. IAPD ↗
65
AURORA INVESTMENT COUNSEL — now reports custody of client assets ($30.0M). IAPD ↗
65
HORTER INVESTMENT MANAGEMENT, LLC — now reports custody of client assets ($59.7M). IAPD ↗
65
CREW CAPITAL MANAGEMENT, LTD. — now reports custody of client assets ($39.5M). IAPD ↗
65
THINKING BIG FINANCIAL — now reports custody of client assets ($18.4M). IAPD ↗
65
MUNAKATA ASSOCIATES LLC — now reports custody of client assets ($53.6M). IAPD ↗
65
NEW AMSTERDAM WEALTH PLANNING — now reports custody of client assets ($44.4M). IAPD ↗
65
SURIENCE PRIVATE WEALTH LLC — now reports custody of client assets ($42.1M). IAPD ↗
65
BULMAN WEALTH GROUP — now reports custody of client assets ($24.2M). IAPD ↗
65
TWIN CITY PRIVATE WEALTH, LLC — now reports custody of client assets ($117.0M). IAPD ↗
65
NEWERA WEALTH — now reports custody of client assets ($7.9M). IAPD ↗
65
WALTON FINANCIAL — now reports custody of client assets ($36.9M). IAPD ↗
65
DENALI ADVISORS, LLC — began participating in a wrap-fee program. IAPD ↗
65
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC — began participating in a wrap-fee program. IAPD ↗
65
OCEAN PARK ASSET MANAGEMENT, LLC — began participating in a wrap-fee program. IAPD ↗
60
CENTENNIAL ADVISORS, LLC — began participating in a wrap-fee program. IAPD ↗
60
HARBORFRONT FINANCIAL GROUP — began participating in a wrap-fee program. IAPD ↗
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 1 (108 -> 109). IAPD ↗
55
GOLDMAN SACHS & CO. LLC — 's Item 11 disclosure-reporting entries rose by 2 (761 -> 763). IAPD ↗
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 3 (159 -> 162). IAPD ↗
55
VOYA FINANCIAL ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 1 (53 -> 54). IAPD ↗
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 42 (289 -> 331). IAPD ↗
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED — 's Item 11 disclosure-reporting entries rose by 5 (493 -> 498). IAPD ↗
55
INDEPENDENT FINANCIAL GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗
55
MML INVESTORS SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 2 (72 -> 74). IAPD ↗
55
THRIVENT INVESTMENT MANAGEMENT INC. — 's Item 11 disclosure-reporting entries rose by 3 (23 -> 26). IAPD ↗
55
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER — 's Item 11 disclosure-reporting entries rose by 2 (12 -> 14). IAPD ↗
55
VALIC FINANCIAL ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 4 (50 -> 54). IAPD ↗
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 10 (112 -> 122). IAPD ↗
55
HIGHLAND ASSOCIATES INC — 's Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗
55
INVESCO ADVISERS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (5 -> 7). IAPD ↗
55
FINANCIAL SYNERGIES — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
55
BLACKROCK ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 3 (23 -> 26). IAPD ↗
55
BLACKROCK FINANCIAL MANAGEMENT, INC — 's Item 11 disclosure-reporting entries rose by 3 (35 -> 38). IAPD ↗
55
GOLDMAN SACHS ASSET MANAGEMENT, L.P. — 's Item 11 disclosure-reporting entries rose by 3 (30 -> 33). IAPD ↗
55
ABACUS PLANNING GROUP, INC. — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
55
BLACKROCK CAPITAL MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 3 (26 -> 29). IAPD ↗
55
BLACKROCK INVESTMENT MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 3 (22 -> 25). IAPD ↗
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 10 (112 -> 122). IAPD ↗
55
CIBC PRIVATE WEALTH ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 4 (8 -> 12). IAPD ↗
55
DENALI ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
55
MASON INVESTMENT ADVISORY SERVICES INC — 's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗
55
AZZAD ASSET MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
55
THRIVENT FINANCIAL FOR LUTHERANS — 's Item 11 disclosure-reporting entries rose by 3 (5 -> 8). IAPD ↗
55
NEUBERGER BERMAN INVESTMENT ADVISERS LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
STONEBRIDGE ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
55
BULLTICK WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
55
NB ALTERNATIVES ADVISERS LLC — 's Item 11 disclosure-reporting entries rose by 1 (4 -> 5). IAPD ↗
55
INVESCO MANAGED ACCOUNTS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
55
FOCUSED WEALTH MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
55
TD PRIVATE CLIENT WEALTH LLC — 's Item 11 disclosure-reporting entries rose by 1 (20 -> 21). IAPD ↗
55
INSPIRE INVESTING, LLC — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
55
FOUNDATIONS INVESTMENT ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗
55
GQG PARTNERS — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
55
ATOM INVESTORS LP — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
CCM INVESTMENT ADVISERS, LLC — notice-filed in MD, MI, NE, NH, NJ. IAPD ↗
55
IRONWOOD INVESTMENT COUNSEL, LLC — notice-filed in ID, IN, MN, MO, NJ, OH, OK, PA, VT. IAPD ↗
55
OCEAN PARK ASSET MANAGEMENT, LLC — notice-filed in CO, FL, LA, NH, NV, NY, OR, TX, VA, WI. IAPD ↗
55
THE BALDWIN GROUP WEALTH ADVISORS, LLC — notice-filed in AL, DC, DE, GA, IL, IN, LA, MA, MD, NH, NJ, NV, NY, OH, OR, PA, SC, TN, VA, WI. IAPD ↗
53
G. A. REPPLE & COMPANY — 's Item 11 disclosure-reporting entries rose by 6 (9 -> 15). IAPD ↗
53
HUTCHINSON CAPITAL MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
TRUST ADVISORY GROUP LTD — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
53
SB ADVISORY, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
53
MANSKE WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
GREYTOWN ADVISORS — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
53
WEALTH WATCH ADVISORS, INC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
OAK HARVEST INVESTMENT SERVICES — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
KANEN WEALTH MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
53
TACTIVE ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 21 (0 -> 21). IAPD ↗
53
AURORA PRIVATE WEALTH, INC. — notice-filed in KY, NH, NV, TN, VT, WA, WI. IAPD ↗
53
EVERSOURCE WEALTH ADVISORS, LLC — notice-filed in CT, DE, NH, WV. IAPD ↗
53
ROOT FINANCIAL PARTNERS — notice-filed in GA, IL, MD, NC, NJ, OR, PA, SC, WA. IAPD ↗
53
MAIA WEALTH — notice-filed in AL, AR, MO, OK, SC. IAPD ↗
53
FORM WEALTH ADVISORS, LLC — notice-filed in AZ, CA, CO, FL, IL, MN, NC, NE, TX, WA. IAPD ↗
53
SIGNATURE EQUITY PARTNERS, LLC — notice-filed in AZ, CA, FL, IL, LA, MD, MO, NC, OK, SC. IAPD ↗
51
MIO PARTNERS, INC. — notice-filed in ME, OR, WY. IAPD ↗
51
GREENWOOD GEARHART INC. — notice-filed in AL, DC, NY. IAPD ↗
51
MARINER INSTITUTIONAL, LLC — notice-filed in AZ, KS, MO, NE. IAPD ↗
51
SANDERSON WEALTH MANAGEMENT, LLC — notice-filed in CT, ME, NJ. IAPD ↗
51
KEENER FINANCIAL PLANNING — notice-filed in AZ, CA, GA, NH. IAPD ↗
51
CHEVIOT VALUE MANAGEMENT, LLC — notice-filed in CO, FL, MA, NM. IAPD ↗
51
FORTIS CAPITAL ADVISORS, LLC — notice-filed in AR, LA, NE, WA. IAPD ↗
51
BRADY MARTZ WEALTH SOLUTIONS, LLC — notice-filed in AZ, FL, MT, TX. IAPD ↗
50
MUTUAL OF OMAHA INVESTOR SERVICES, INC. — 's Item 11 disclosure-reporting entries rose by 1 (33 -> 34). IAPD ↗
50
LPL ENTERPRISE, LLC — 's Item 11 disclosure-reporting entries rose by 42 (10 -> 52). IAPD ↗
50
THE KOCEN FINANCIAL GROUP, INC. — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
50
MUTUAL TRUST ASSET MGMT., INC. — 's Item 11 disclosure-reporting entries rose by 5 (1 -> 6). IAPD ↗
50
PROFESSIONAL FINANCIAL — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
50
PARTNERS CAPITAL SERVICES, INC. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
50
HARVEST VOLATILITY MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
50
RETIREMENT SPECIALTY GROUP, INC. — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
50
CALLAHAN FINANCIAL PLANNING — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
50
APERTURE ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
50
COASTAL WEALTH MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
50
CIRO CAPITAL LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
50
CLAY NORTHAM WEALTH MANAGEMENT — notice-filed in FL, GA, NV, TN, WA. IAPD ↗
50
365 WEALTH MANAGEMENT GROUP — notice-filed in FL, IN, KY, SC, VA. IAPD ↗
50
PLENTY FINANCIAL RIA, LLC — notice-filed in CO, IL, MA, OR, VA. IAPD ↗
50
MURPHY & MULLICK CAPITAL MANAGEMENT CORP — notice-filed in IL, MN, NJ, OH, PA. IAPD ↗
50
PLANWISER FINANCIAL — notice-filed in CA, FL, NE, TX, VA. IAPD ↗
50
MOREY & QUINN WEALTH PARTNERS — notice-filed in AZ, CO, FL, IA, MN, MO, SD, TX. IAPD ↗
50
INTELLUS ADVISORS, LLC — notice-filed in AK, AL, CA, CO, CT, GA, IL, IN, LA, MA, MD, MI, NC, NE, NH, NJ, NV, NY, OH, PA, SC, TN, TX, VA. IAPD ↗
49
SLOY, DAHL & HOLST, LLC — notice-filed in AZ, NE. IAPD ↗
49
WAVERLY ADVISORS, LLC — notice-filed in MT, WV. IAPD ↗
49
SHIRA RIDGE WEALTH MANAGEMENT — notice-filed in NV, OR, WA. IAPD ↗
49
MIRACLE MILE ADVISORS, LLC — notice-filed in DC, ID. IAPD ↗
49
REGATTA CAPITAL GROUP, LLC — notice-filed in CT, HI. IAPD ↗
49
SUNPOINTE INVESTMENTS — notice-filed in CA, KS, NC. IAPD ↗
49
FOSTER VICTOR WEALTH ADVISORS — notice-filed in CA, IL. IAPD ↗
49
ADERO PARTNERS, LLC — notice-filed in MA, OH. IAPD ↗
49
STEPHENS CONSULTING, LLC — notice-filed in MN, OR, SC. IAPD ↗
49
TAYLOR HOFFMAN CAPITAL MANAGEMENT — notice-filed in NC, SC, TN. IAPD ↗
49
MODERN WEALTH MANAGEMENT, LLC — notice-filed in MT, WV. IAPD ↗
49
PORTSIDE WEALTH GROUP, LLC — notice-filed in IA, KY, MT. IAPD ↗
48
COMPREHENSIVE CAPITAL MANAGEMENT, INC. — notice-filed in HI, IA, IN, MA. IAPD ↗
48
ENCOMPASS MORE ASSET MANAGEMENT LLC — notice-filed in DC, HI, ID, NH. IAPD ↗
47
ROMANO WEALTH MANAGEMENT — notice-filed in LA. IAPD ↗
47
SPC FINANCIAL INC — notice-filed in TN. IAPD ↗
47
COZAD ASSET MANAGEMENT INC — notice-filed in KS. IAPD ↗
47
POTOMAC FUND MANAGEMENT — notice-filed in NJ. IAPD ↗
47
SNYDER WEALTH GROUP — notice-filed in CA, MA. IAPD ↗
47
STACK FINANCIAL MANAGEMENT INC — notice-filed in IA. IAPD ↗
47
PINNACLE ADVISORS — notice-filed in MO. IAPD ↗
47
EVERETT HARRIS & CO — notice-filed in VA. IAPD ↗
47
CONNORS INVESTOR SERVICES INC — notice-filed in NM. IAPD ↗
47
ABACUS PLANNING GROUP, INC. — notice-filed in GA. IAPD ↗
47
GEMMER ASSET MANAGEMENT LLC — notice-filed in LA. IAPD ↗
47
REDW WEALTH LLC — notice-filed in TN. IAPD ↗
47
FORTE CAPITAL LLC — notice-filed in RI. IAPD ↗
47
OBERMEYER WOOD INVESTMENT COUNSEL, LLLP — notice-filed in TN. IAPD ↗
47
DESTINATION WEALTH MANAGEMENT — notice-filed in NM. IAPD ↗
47
NEXT CAPITAL MANAGEMENT LLC — notice-filed in DE. IAPD ↗
47
CONSOLIDATED PLANNING CORPORATION — notice-filed in MT. IAPD ↗
47
ECLECTIC ASSOCIATES, INC. — notice-filed in TN. IAPD ↗
47
MASON INVESTMENT ADVISORY SERVICES INC — notice-filed in IA. IAPD ↗
47
ASPEN INVESTMENT MANAGEMENT INC. — notice-filed in LA, NH. IAPD ↗
47
PARSONS CAPITAL MANAGEMENT, LLC — notice-filed in AZ, GA. IAPD ↗
47
WHITNEY & COMPANY — notice-filed in LA. IAPD ↗
47
NORTH STAR INVESTMENT MANAGEMENT CORPORATION — notice-filed in MT. IAPD ↗
47
MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC — notice-filed in CA, NH. IAPD ↗
47
PHOENIX WEALTH ADVISORS INC. — notice-filed in DC, IL. IAPD ↗
47
INVESTMENT MANAGEMENT GROUP — notice-filed in NH. IAPD ↗
47
SEVEN SPRINGS WEALTH GROUP — notice-filed in GA, MS. IAPD ↗
47
COMPREHENSIVE FINANCIAL CONSULTANTS INSTITUTIONAL, INC. — notice-filed in CA, VA. IAPD ↗
47
CANNON FINANCIAL STRATEGISTS, INC. — notice-filed in VA. IAPD ↗
47
GENERAL ATLANTIC SERVICE COMPANY, L.P. — notice-filed in TX. IAPD ↗
47
GELLER ADVISORS LLC — notice-filed in VA. IAPD ↗
47
STONE HOUSE INVESTMENT MANAGEMENT, LLC — notice-filed in VA, WI. IAPD ↗
47
COPPERWYND FINANCIAL — notice-filed in FL, NC. IAPD ↗
47
CAPE INVESTMENT ADVISORY, INC. — notice-filed in DC, WV. IAPD ↗
47
HHM WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
47
CAPITAL ADVISORS, LTD., LLC — notice-filed in LA. IAPD ↗
47
CWA ASSET MANAGEMENT GROUP — notice-filed in DE. IAPD ↗
47
ALPHA CUBED INVESTMENTS, LLC — notice-filed in PA. IAPD ↗
47
TFO FAMILY OFFICE PARTNERS — notice-filed in MA. IAPD ↗
47
CONCENTRUM WEALTH MANAGEMENT — notice-filed in NC, NV. IAPD ↗
47
TL PRIVATE WEALTH — notice-filed in GA, NH. IAPD ↗
47
KEYSTONE FINANCIAL GROUP, LLC — notice-filed in PA. IAPD ↗
47
ONE DEGREE ADVISORS, INC. — notice-filed in ID, IL. IAPD ↗
47
LEXAURUM ADVISORS — notice-filed in AK, GA. IAPD ↗
47
WADDELL & ASSOCIATES, LLC — notice-filed in HI. IAPD ↗
47
BOGART WEALTH, LLC — notice-filed in MS. IAPD ↗
47
THE FIDUCIARY ALLIANCE — notice-filed in WA. IAPD ↗
47
RELIANT WEALTH PLANNING, LLC — notice-filed in MI, NE. IAPD ↗
47
GLOBAL FINANCIAL PRIVATE CLIENT — notice-filed in CA, LA. IAPD ↗
47
HEIRLOOM WEALTH MANAGEMENT LLC — notice-filed in NV, WA. IAPD ↗
47
TRINITYPOINT WEALTH, LLC — notice-filed in MD. IAPD ↗
47
ELLSWORTH ADVISORS, LLC — notice-filed in AL, MI. IAPD ↗
47
SOUND VIEW WEALTH ADVISORS GROUP, LLC — notice-filed in OH. IAPD ↗
47
CONVERGENCE FINANCIAL — notice-filed in IN, SC. IAPD ↗
47
VANCE WEALTH — notice-filed in NV, OR. IAPD ↗
47
ENZI WEALTH — notice-filed in CA, VA. IAPD ↗
47
SYNTEGRA PRIVATE WEALTH GROUP LLC — notice-filed in IN. IAPD ↗
47
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC — notice-filed in NC, NE. IAPD ↗
46
T&T CAPITAL MANAGEMENT — notice-filed in MO, OR, TN. IAPD ↗
46
GLENORCHY CAPITAL LIMITED — notice-filed in NM, PA, WI. IAPD ↗
46
ZERO DAY CAPITAL ENTERPRISES LLC — notice-filed in ID, NJ, UT. IAPD ↗
46
BENTHAM WEALTH ADVISORS — notice-filed in CA, FL, NH. IAPD ↗
46
UNITING WEALTH PARTNERS — notice-filed in AR, KS, TX. IAPD ↗
45
BCG SECURITIES, INC. — notice-filed in MT. IAPD ↗
45
SEARLE & CO. — notice-filed in TX. IAPD ↗
45
CAPITAL CONSULTING & ASSET MANAGEMENT — notice-filed in CO. IAPD ↗
45
PJS INVESTMENT MANAGEMENT — notice-filed in MN. IAPD ↗
45
CAMBRIDGE ADVISORS INC — notice-filed in OH. IAPD ↗
45
PVG ASSET MANAGEMENT CORP — notice-filed in NY. IAPD ↗
45
TRUSTMONT ADVISORY GROUP, INC. — notice-filed in KY. IAPD ↗
45
OAK RIDGE INVESTMENTS, LLC — notice-filed in WY. IAPD ↗
45
TGS FINANCIAL ADVISORS — notice-filed in DE. IAPD ↗
45
WILLIAM MACK & ASSOCIATES INC — notice-filed in RI. IAPD ↗
45
FINANCIAL SERVICE GROUP INC — notice-filed in NC. IAPD ↗
45
A. N. CULBERTSON & COMPANY, INC. — notice-filed in ME. IAPD ↗
45
JOHN E. SESTINA AND COMPANY — notice-filed in NH. IAPD ↗
45
MISSIONSQUARE RETIREMENT — notice-filed in PR. IAPD ↗
45
REZNY WEALTH MANAGEMENT, INC. — notice-filed in TX. IAPD ↗
45
ASSET MANAGEMENT GROUP, INC. — notice-filed in NC. IAPD ↗
45
RUDNEY ASSOCIATES — notice-filed in LA. IAPD ↗
45
PENN DAVIS MCFARLAND INC — notice-filed in FL. IAPD ↗
45
EVANS CAPITAL MANAGEMENT ASSOCIATES — notice-filed in FL. IAPD ↗
45
NOESIS CAPITAL MANAGEMENT CORP — notice-filed in IL. IAPD ↗
45
EXCALIBUR MANAGEMENT CORP — notice-filed in IL. IAPD ↗
45
FIRST FIDUCIARY INVESTMENT COUNSEL INC — notice-filed in IN. IAPD ↗
45
DOCK STREET ASSET MANAGEMENT INC — notice-filed in CO. IAPD ↗
45
SEM WEALTH MANAGEMENT — notice-filed in AL. IAPD ↗
45
BLUESKY WEALTH ADVISORS, LLC — notice-filed in MI. IAPD ↗
45
MELD FINANCIAL, INC. — notice-filed in CA. IAPD ↗
45
WRIGHT ASSOCIATES — notice-filed in CA. IAPD ↗
45
MCCLARREN FINANCIAL ADVISORS — notice-filed in NY. IAPD ↗
45
INTERACTIVE FINANCIAL ADVISORS — notice-filed in ID. IAPD ↗
45
BARON SILVER STEVENS FINANCIAL ADVISORS, LLC — notice-filed in TN. IAPD ↗
45
CONFIDENCE WEALTH MANAGEMENT, LLC — notice-filed in NC. IAPD ↗
45
TRINITY FINANCIAL ADVISORS LLC — notice-filed in TX. IAPD ↗
45
CENTRIC WEALTH MANAGEMENT, LLC — notice-filed in NY. IAPD ↗
45
BROADLEAF PARTNERS, LLC — notice-filed in NY. IAPD ↗
45
PORTFOLIO MEDICS, LLC — notice-filed in MD. IAPD ↗
45
DENTIST ADVISORS — notice-filed in KY. IAPD ↗
45
STILLWATER CAPITAL ADVISORS, LLC — notice-filed in CT. IAPD ↗
45
ETESIAN WEALTH ADVISORS, INC. — notice-filed in TX. IAPD ↗
45
LIFESTEPS FINANCIAL — notice-filed in MO. IAPD ↗
45
COVENANT WEALTH ADVISORS — notice-filed in LA. IAPD ↗
45
AVALAN, LLC — notice-filed in FL. IAPD ↗
45
UNITED CAPITAL MANAGEMENT OF KANSAS, INC. — notice-filed in TN. IAPD ↗
45
GLOBAL VIEW CAPITAL MANAGEMENT LLC — notice-filed in MS. IAPD ↗
45
STUDIO INVESTMENT MANAGEMENT — notice-filed in AZ. IAPD ↗
45
LANDMARK WEALTH MANAGEMENT, LLC — notice-filed in NH. IAPD ↗
45
AVIER WEALTH ADVISORS — notice-filed in NV. IAPD ↗
45
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. — notice-filed in CO. IAPD ↗
45
FI3 FINANCIAL ADVISORS, LLC — notice-filed in IL. IAPD ↗
45
TRU INDEPENDENCE ASSET MANAGEMENT, LLC — notice-filed in MA. IAPD ↗
45
CAPITAL PLANNING, LLC — notice-filed in MT. IAPD ↗
45
CADENT CAPITAL ADVISORS, LLC — notice-filed in FL. IAPD ↗
45
MEASURED WEALTH PRIVATE CLIENT GROUP, LLC — notice-filed in RI. IAPD ↗
45
FLOURISH WEALTH MANAGEMENT INC. — notice-filed in TX. IAPD ↗
45
DENVER PWM, LLC — notice-filed in OR. IAPD ↗
45
HUGHES FINANCIAL SERVICES, LLC — notice-filed in DE. IAPD ↗
45
INSIGHT FOLIOS — notice-filed in CO. IAPD ↗
45
RUBICON ADVISORS — notice-filed in IL. IAPD ↗
45
THE MAIN STREET GROUP — notice-filed in AZ. IAPD ↗
45
D.B. ROOT & COMPANY, LLC — notice-filed in MI. IAPD ↗
45
GOLDSTONE FINANCIAL GROUP, LLC — notice-filed in MI. IAPD ↗
45
PROVENCE WEALTH MANAGEMENT GROUP — notice-filed in ID. IAPD ↗
45
ELEMENT POINTE FAMILY OFFICE — notice-filed in CT. IAPD ↗
45
BMSS WESSON WEALTH SOLUTIONS — notice-filed in LA. IAPD ↗
45
LEBENTHAL GLOBAL ADVISORS, LLC — notice-filed in AZ. IAPD ↗
45
WOODSTOCK WEALTH MANAGEMENT, INC. — notice-filed in MI. IAPD ↗
45
PSI ADVISORS, LLC — notice-filed in AL. IAPD ↗
45
TRUVESTMENTS CAPITAL LLC — notice-filed in WA. IAPD ↗
45
SOVEREIGN FINANCIAL GROUP, INC. — notice-filed in OH. IAPD ↗
45
ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLC — notice-filed in TN. IAPD ↗
45
KEY CLIENT FIDUCIARY ADVISORS, LLC — notice-filed in MI. IAPD ↗
45
WEALTHBRIDGE CAPITAL MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
45
HOWARD WEALTH MANAGEMENT, LLC — notice-filed in OH. IAPD ↗
45
BEACON HARBOR WEALTH ADVISORS — notice-filed in GA. IAPD ↗
45
VERUM PARTNERS LLC — notice-filed in NY. IAPD ↗
45
DST WEALTH MANAGEMENT LLC — notice-filed in ME. IAPD ↗
45
FIVE OCEANS ADVISORS — notice-filed in FL. IAPD ↗
45
PENSION & WEALTH MANAGEMENT ADVISORS — notice-filed in IN. IAPD ↗
45
REGIMEN WEALTH, LLC — notice-filed in VA. IAPD ↗
45
WEALTHPLAN INVESTMENT MANAGEMENT LLC — notice-filed in CT. IAPD ↗
45
LAVELLE CAPITAL — notice-filed in TX. IAPD ↗
45
VESTGEN ADVISORS, LLC — notice-filed in NC. IAPD ↗
45
HOXTON PLANNING & MANAGEMENT, LLC — notice-filed in NC. IAPD ↗
45
WEALTH SCIENCE ADVISORS LLC — notice-filed in SC. IAPD ↗
45
BEACON BRIDGE WEALTH PARTNERS, LLC — notice-filed in NY. IAPD ↗
45
ETHOS FINANCIAL GROUP, LLC — notice-filed in UT. IAPD ↗
45
JESSUP WEALTH MANAGEMENT — notice-filed in NC. IAPD ↗
45
DODDS WEALTH, LLC — notice-filed in NC. IAPD ↗
45
ARCHWAY WEALTH MANAGEMENT, LLC — notice-filed in NJ. IAPD ↗
45
FAIRVOY PRIVATE WEALTH, LLC — notice-filed in NC. IAPD ↗
45
RELATION WEALTH MANAGEMENT, INC. — notice-filed in KS. IAPD ↗
44
U. S. BOSTON CAPITAL CORPORATION — notice-filed in FL, NH. IAPD ↗
44
B.B. GRAHAM & COMPANY, INC. — notice-filed in MI, SC. IAPD ↗
44
TIMOTHY FINANCIAL COUNSEL, INC. — notice-filed in GA, TN. IAPD ↗
44
GAMMA ASSET MANAGEMENT LLC — notice-filed in FL, NY. IAPD ↗
44
B.A. SCHROCK WEALTH MANAGEMENT — notice-filed in NH, OK. IAPD ↗
44
EVERSTAR ASSET MANAGEMENT, LLC — notice-filed in NJ, NY. IAPD ↗
44
THEPARTNERS WEALTH MANAGEMENT — notice-filed in NM, UT. IAPD ↗
44
CLOUD CAPITAL — notice-filed in CO, FL. IAPD ↗
44
ALTITUDE CAPITAL MANAGEMENT LLC — notice-filed in IL, TN. IAPD ↗
44
BLUE JEAN FINANCIAL LLC — notice-filed in NH, VT. IAPD ↗
44
A&M PRIVATE WEALTH PARTNERS, LLC — notice-filed in CA, TX. IAPD ↗
44
OWL CREEK WEALTH PARTNERS — notice-filed in LA, TX. IAPD ↗
43
ARGYLE CAPITAL MANAGEMENT, LLC — filed an Item 4A succession naming ARGYLE CAPITAL MANAGEMENT INC (CRD 106576) — an entity change, not a deal. IAPD ↗
43
GR FINANCIAL GROUP, LLC — filed an Item 4A succession naming GR FINANCIAL GROUP, LLC (CRD 172370) — an entity change, not a deal. IAPD ↗
43
HIGHLINE WEALTH PARTNERS — filed an Item 4A succession naming HIGHLINE WEALTH PARTNERS (CRD 284712) — an entity change, not a deal. IAPD ↗
42
W&S BROKERAGE SERVICES, INC. — notice-filed in NJ. IAPD ↗
42
SUPREME ALLIANCE LLC — notice-filed in LA. IAPD ↗
42
RACHOR INVESTMENT ADVISORY SERVICES, LLC — notice-filed in NY. IAPD ↗
42
GOODPASTURE GRAY — notice-filed in NM. IAPD ↗
42
ELDERADO FINANCIAL, INC — notice-filed in AZ. IAPD ↗
42
HERGENROEDER FINANCIAL ADVISORS, INC. — notice-filed in LA. IAPD ↗
42
SAVANT INVESTMENT ADVISERS, INC. — notice-filed in FL. IAPD ↗
42
INVESCO, LLC — notice-filed in WI. IAPD ↗
42
REGAL ADVISORY SERVICES, INC. — notice-filed in MN. IAPD ↗
42
SUMMIT FINANCIAL WORKING WITH PEOPLE YOU TRUST — notice-filed in CA. IAPD ↗
42
BARDEN CAPITAL MANAGEMENT, INC. — notice-filed in NE. IAPD ↗
42
VALUES FIRST ADVISORS, INC. — notice-filed in AR. IAPD ↗
42
ARBOR FINANCIAL SERVICES, LLC — notice-filed in WI. IAPD ↗
42
THIRD SIGMA INVESTMENT ADVISORS LLC — notice-filed in MI. IAPD ↗
42
MBIA CAPITAL ADVISORS — notice-filed in CO. IAPD ↗
42
HORIZON FINANCIAL SERVICES, LLC — notice-filed in TX. IAPD ↗
42
PARSONEX ADVISORY SERVICES, INC. — notice-filed in WA. IAPD ↗
42
CHRISTIAN FINANCIAL ADVISORS — notice-filed in WA. IAPD ↗
42
LAGUNA WEALTH ADVISORS, LLC — notice-filed in FL. IAPD ↗
42
CATALYST FINANCIAL NW CORPORATION — notice-filed in FL. IAPD ↗
42
MY WEALTH MANAGEMENT, INC — notice-filed in TX. IAPD ↗
42
BLUEPRINT WEALTH MANAGEMENT — notice-filed in VA. IAPD ↗
42
STANGIER WEALTH MANAGEMENT — notice-filed in CA. IAPD ↗
42
LAUFER WEALTH MANAGEMENT, LLC — notice-filed in CA. IAPD ↗
42
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC — notice-filed in NH. IAPD ↗
42
CYR FINANCIAL INC. — notice-filed in TX. IAPD ↗
42
LAKE ROAD ADVISORS, LLC — notice-filed in WA. IAPD ↗
42
KAIZEN RETIREMENT PLAN ADVISORS, LLC — notice-filed in ME. IAPD ↗
42
TWIN GRYPHON ADVISORS LLC — notice-filed in NH. IAPD ↗
42
Q CAPITAL SOLUTIONS — notice-filed in KY. IAPD ↗
42
ORIGIN INVESTMENT ADVISORY LLC — notice-filed in NV. IAPD ↗
42
HALLETT ADVISORS — notice-filed in LA. IAPD ↗
42
HEGARTY ADVISORS, LLC — notice-filed in TX. IAPD ↗
42
GREAT POINT ADVISORS, LLC — notice-filed in UT. IAPD ↗
42
ADVISOR SHARE WEALTH MANAGEMENT — notice-filed in MO. IAPD ↗
42
WINTERS FINANCIAL GROUP, INC. — notice-filed in NV. IAPD ↗
42
COLORADO WEALTH GROUP LLC — notice-filed in VA. IAPD ↗
42
MILLER AVENUE ADVISORS LLC — notice-filed in LA. IAPD ↗
42
PASSIVE MANAGEMENT LLC — notice-filed in CT. IAPD ↗
42
WINCAP FINANCIAL LLC — notice-filed in TX. IAPD ↗
42
DISCIPLINE WEALTH SOLUTIONS, INC. — notice-filed in NM. IAPD ↗
42
THE WEALTH BOUTIQUE — notice-filed in GA. IAPD ↗
42
ENTREWEALTH — notice-filed in GA. IAPD ↗
42
TRUE VISION FINANCIAL ADVISORS — notice-filed in LA. IAPD ↗
42
FOGUTH WEALTH MANAGEMENT, LLC. — notice-filed in AZ. IAPD ↗
42
COUNTERWEIGHT PRIVATE WEALTH — notice-filed in TX. IAPD ↗
42
PRAIRIEVIEW WEALTH PARTNERS, LLC — notice-filed in OH. IAPD ↗
42
CAPITAL A WEALTH MANAGEMENT — notice-filed in LA. IAPD ↗
42
ALPHA VEE ADVISORS — notice-filed in FL. IAPD ↗
42
ROUTE 20 PRIVATE WEALTH INC. — notice-filed in OR. IAPD ↗
85
TRINITY VENTURES — (location n/a) is newly SEC-registered with $1.29B RAUM and 4 advisory reps. IAPD ↗fund
85
SENTINEL FUND ADVISORS, INC. — (NEW YORK, NY) is newly SEC-registered with $3.18B RAUM and 56 advisory reps. IAPD ↗fund
85
ATOMIC VAULTS ADVISORS LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
COAR HILL ASSET MANAGEMENT PARTNERS LP — (NORWALK, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
MILITIA INVESTMENTS, LLC — (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
P74 BIO LP — (ALLSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
KAI WEALTH LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
IMPACT INVESTMENTS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
MW ADVISOR, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 95 advisory reps. IAPD ↗institutional
85
TCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLC — (LOS ANGELES, CA) is newly SEC-registered with $0 RAUM and 72 advisory reps. IAPD ↗institutional
85
24A CAPITAL MANAGEMENT LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
COVE CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
NESTYIELD ETFS — (DOWNEY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
ILS ADVISORY SERVICES, LLC — (NASHVILLE, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
TWO PARKS CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
VERCAP MANAGEMENT LLC — (LOS ANGELES, CA) is newly SEC-registered with $1.16B RAUM and 5 advisory reps. IAPD ↗fund
85
WEBS INVESTMENTS INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
BELLTOWER PARTNERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
83
DXD CAPITAL — (ALBUQUERQUE, NM) is newly SEC-registered with $258.9M RAUM and 14 advisory reps. IAPD ↗fund
83
80
PEO PARTNERS, LLC — (NEW YORK, NY) is newly SEC-registered with $34.7M RAUM and 5 advisory reps. IAPD ↗fund
80
ELTURA CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $7.3M RAUM and 4 advisory reps. IAPD ↗fund
80
DJA CAPITAL MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $24.7M RAUM and 1 advisory reps. IAPD ↗fund
80
MACCABI CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered with $600,000 RAUM and 1 advisory reps. IAPD ↗fund
80
BRIGHAM ROYALTIES MANAGEMENT, LLC — (AUSTIN, TX) is newly SEC-registered with $187.1M RAUM and 8 advisory reps. IAPD ↗fund
75
TUTTLE CAPITAL MANAGEMENT, LLC — crossed $1B in regulatory AUM ($680.9M -> $1.64B). IAPD ↗institutional
75
STANDPOINT ASSET MANAGEMENT, LLC — crossed $1B in regulatory AUM ($804.3M -> $1.05B). IAPD ↗institutional
70
70
LINGOTTO INVESTMENT MANAGEMENT LLP — (LONDON, United Kingdom) is newly SEC-registered with $6.63B RAUM and 12 advisory reps. IAPD ↗foreign
69
65
SARGASSO PARTNERS LLP — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
MARNOA PRIVATE WEALTH COUNSEL LTD. — (WATERLOO,ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
65
ROC PARTNERS (US) LLC — (SYDNEY NSW, Australia) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗foreign
65
ALFA ALGORITHMS HK LIMITED — (TSIM SHA TSUI, KOWLOON, Hong Kong) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
65
POLYNOMIAL PARTNERS LLC — (SINGAPORE, Singapore) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗foreign
65
GE VERNOVA INVESTMENT ADVISERS, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
65
FISHER RETIREMENT SOLUTIONS LLC — 's provisional registration is now fully approved. IAPD ↗institutional
64
64
63
MAIN CAPITAL PARTNERS NORTH AMERICA LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
60
60
60
60
SWP INVESTMENT MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
60
60
59
58
58
58
58
58
58
57
55
55
55
55
55
55
55
55
55
55
55
55
55
55
55
53
53
53
50
50
50
50
45
PIPER SANDLER & CO. — 's Item 11 disclosure-reporting entries rose by 3 (6 -> 9). IAPD ↗institutional
45
STATE FARM INVESTMENT MANAGEMENT CORP. — 's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗institutional
45
INVESCO INVESTMENT ADVISERS LLC — 's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗institutional
45
BLACKROCK FUND ADVISORS — 's Item 11 disclosure-reporting entries rose by 3 (22 -> 25). IAPD ↗institutional
45
SUNAMERICA ASSET MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 4 (22 -> 26). IAPD ↗institutional
45
REGIONS INVESTMENT MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 8 (31 -> 39). IAPD ↗institutional
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 10 (112 -> 122). IAPD ↗institutional
45
KAUFMAN HALL INVESTMENT MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
40
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 10 (672 -> 682). IAPD ↗institutional
40
NEUBERGER BERMAN BD LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗institutional
40
NOMURA SECURITIES INTERNATIONAL, INC. — 's Item 11 disclosure-reporting entries rose by 1 (130 -> 131). IAPD ↗institutional
40
INVESCO SENIOR SECURED MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 2 (6 -> 8). IAPD ↗fund
40
BLACKROCK REALTY ADVISORS INC — 's Item 11 disclosure-reporting entries rose by 3 (20 -> 23). IAPD ↗fund
40
TENNENBAUM CAPITAL PARTNERS, LLC — 's Item 11 disclosure-reporting entries rose by 3 (26 -> 29). IAPD ↗fund
40
MARATHON ASSET MANAGEMENT, L.P. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
40
40
40
40
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 4 (124 -> 128). IAPD ↗institutional
40
NEUBERGER BERMAN LOAN ADVISERS LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
40
BLACKROCK ALTERNATIVES MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 3 (22 -> 25). IAPD ↗fund
40
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 3 (25 -> 28). IAPD ↗fund
40
40
NEUBERGER BERMAN LOAN ADVISERS II LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
40
40
BRYANT PARK FUNDING CLO MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
40
GQG PRIVATE CAPITAL SOLUTIONS LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
40
EVENTIDE ASSET MANAGEMENT, LLC — notice-filed in AL, AR, AZ, CA, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, MD, ME, MI, MN, MO, MS, MT, ND, NJ, NM, NV, NY, OH, OK, OR, PR, RI, SC, SD, TN, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗fund
40
ASPIRE STRATEGIST PORTFOLIOS LLC — notice-filed in AK, AL, AR, AZ, CA, CO, CT, DC, DE, HI, IA, ID, KS, LA, MA, MD, ME, MN, MO, MS, MT, ND, NE, NH, NM, NV, OK, OR, PA, PR, RI, SD, TX, UT, VA, VI, VT, WA, WI, WY. IAPD ↗institutional
39
38
INVESCO PRIVATE CAPITAL, INC. — 's Item 11 disclosure-reporting entries rose by 2 (10 -> 12). IAPD ↗fund
38
38
38
COLONY CAPITAL INVESTMENT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗fund
38
38
38
38
BLACK DRAGON CAPITAL INVESTMENT MANAGEMENT, INC — 's Item 11 disclosure-reporting entries rose by 2 (3 -> 5). IAPD ↗fund
38
NEUBERGER BERMAN LOAN ADVISERS IV LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
38
THORNBURG BOW RIVER ADVISERS, LLC. — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
37
37
35
35
WAYZATA INVESTMENT PARTNERS LLC — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗fund
35
35
35
32
32
32
32
32
30
30
30
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 10 (112 -> 122). IAPD ↗foreign
25
CIBC ASSET MANAGEMENT INC. — 's Item 11 disclosure-reporting entries rose by 4 (4 -> 8). IAPD ↗foreign
25
BLACKROCK INTERNATIONAL LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (22 -> 25). IAPD ↗foreign
25
JARISLOWSKY FRASER LTD — 's Item 11 disclosure-reporting entries rose by 4 (12 -> 16). IAPD ↗foreign
25
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL — 's Item 11 disclosure-reporting entries rose by 3 (26 -> 29). IAPD ↗foreign
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 10 (111 -> 121). IAPD ↗foreign
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 10 (113 -> 123). IAPD ↗foreign
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 10 (113 -> 123). IAPD ↗foreign
25
NEUBERGER BERMAN ASIA LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
25
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG — 's Item 11 disclosure-reporting entries rose by 3 (22 -> 25). IAPD ↗foreign
25
NEUBERGER BERMAN EUROPE LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
25
ABRDN INVESTMENTS LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
25
BLACKROCK (SINGAPORE) LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (22 -> 25). IAPD ↗foreign
25
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (22 -> 25). IAPD ↗foreign
25
NEUBERGER BERMAN SINGAPORE PTE. LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
25
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. — 's Item 11 disclosure-reporting entries rose by 3 (30 -> 33). IAPD ↗foreign
25
NEUBERGER BERMAN CANADA ULC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
25
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (30 -> 33). IAPD ↗foreign
25
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. — 's Item 11 disclosure-reporting entries rose by 3 (30 -> 33). IAPD ↗foreign
23
1832 ASSET MANAGEMENT U.S. INC. — 's Item 11 disclosure-reporting entries rose by 4 (12 -> 16). IAPD ↗foreign
20
12
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.