Compliance — December 2024
Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).
535 firms opened this window in the December 2024 SEC roster: 283 state expansion, 96 new registration, 40 disclosure added, 34 pending approved, 32 custody started, 28 headcount up, 11 private funds started, 5 reorganization, 4 wrap program started, 2 aum crossed 1b.
98
KERBEROS CAPITAL MANAGEMENT LLC — (CHICAGO, IL) is newly SEC-registered with $270.0M RAUM and 4 advisory reps. IAPD ↗
95
MCMAHAN CAPITAL MANAGEMENT — (CARMEL, IN) is newly SEC-registered with $112.5M RAUM and 2 advisory reps. IAPD ↗
95
LEATHE & ASSOCIATES, LLC — (location n/a) is newly SEC-registered with $122.8M RAUM and 1 advisory reps. IAPD ↗
95
LIFEPLAN FINANCIAL, LLC — (MANKATO, MN) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
95
INTEGRAL FINANCIAL PLANNING LLC — (location n/a) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
95
S HARRIS FINANCIAL GROUP, LLC — (SAN ANTONIO, TX) is newly SEC-registered with $218.7M RAUM and 7 advisory reps. IAPD ↗
95
O'CONNOR WEALTH MANAGEMENT, INC. — (MONROVIA, CA) is newly SEC-registered with $153.7M RAUM and 2 advisory reps. IAPD ↗
95
DOWNING STREET WEALTH MANAGEMENT LLC — (GREENWOOD VILLAGE, CO) is newly SEC-registered with $152.1M RAUM and 2 advisory reps. IAPD ↗
95
BAUMAN WEALTH ADVISORS — (LAS VEGAS, NV) is newly SEC-registered with $104.7M RAUM and 4 advisory reps. IAPD ↗
95
REH WEALTH ADVISORS LLC — (RALEIGH, NC) is newly SEC-registered with $106.2M RAUM and 1 advisory reps. IAPD ↗
95
KAGAN COCOZZA ASSET MANAGEMENT — (location n/a) is newly SEC-registered with $130.6M RAUM and 2 advisory reps. IAPD ↗
95
GUARDIAN CAPITAL, LLC — (WEXFORD, PA) is newly SEC-registered with $105.9M RAUM and 3 advisory reps. IAPD ↗
95
SEABORN FINANCIAL, LLC — (location n/a) is newly SEC-registered with $107.2M RAUM and 1 advisory reps. IAPD ↗
95
LAVA WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $30.5M RAUM and 1 advisory reps. IAPD ↗
95
OCTO CAPITAL, LLC — (BINGHAM FARMS, MI) is newly SEC-registered with $133.9M RAUM and 1 advisory reps. IAPD ↗
95
BROADVIEW WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $109.0M RAUM and 1 advisory reps. IAPD ↗
95
STONE STEPS FINANCIAL, LLC — (ENCINITAS, CA) is newly SEC-registered with $105.0M RAUM and 3 advisory reps. IAPD ↗
95
FINANCIAL AURORA, LLC. — (AUSTIN, TX) is newly SEC-registered with $105.0M RAUM and 1 advisory reps. IAPD ↗
95
GUNCHEON FINANCIAL, LLC — (location n/a) is newly SEC-registered with $108.2M RAUM and 4 advisory reps. IAPD ↗
95
COPIA WEALTH MANAGEMENT — (BEND, OR) is newly SEC-registered with $119.6M RAUM and 4 advisory reps. IAPD ↗
95
SOUTH COVE FINANCIAL, LLC — (location n/a) is newly SEC-registered with $130.0M RAUM and 3 advisory reps. IAPD ↗
95
AFFINITY WEALTH LLC — (CANTON, OH) is newly SEC-registered with $155.4M RAUM and 1 advisory reps. IAPD ↗
95
INTELLIGENT INVESTING — (location n/a) is newly SEC-registered with $108.5M RAUM and 1 advisory reps. IAPD ↗
95
CMG FINANCIAL CONSULTING — (location n/a) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
95
RICHMOND QUANTITATIVE ADVISORS, LLC — (location n/a) is newly SEC-registered with $19.9M RAUM and 2 advisory reps. IAPD ↗
95
KW WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered with $100.3M RAUM and 1 advisory reps. IAPD ↗
95
BRIGHTER FINANCIAL CAPITAL MANAGEMENT, LLC — (RESTON, VA) is newly SEC-registered with $112.1M RAUM and 2 advisory reps. IAPD ↗
95
BLUEDOOR PRIVATE WEALTH, LLC — (BEVERLY, MA) is newly SEC-registered with $102.7M RAUM and 1 advisory reps. IAPD ↗
95
WHEELS UP WEALTH, INC. — (BENICIA, CA) is newly SEC-registered with $104.0M RAUM and 3 advisory reps. IAPD ↗
95
STARK WEALTH MANAGEMENT LLC — (BETHLEHEM, PA) is newly SEC-registered with $131.7M RAUM and 1 advisory reps. IAPD ↗
95
TOBERMAN BECKER WEALTH, LLC — (ST. LOUIS, MO) is newly SEC-registered with $101.6M RAUM and 2 advisory reps. IAPD ↗
95
EMETH VALUE CAPITAL, LLC — (NEW ORLEANS, LA) is newly SEC-registered with $119.5M RAUM and 1 advisory reps. IAPD ↗
95
SIGNAL TREE FINANCIAL PARTNERS LLC — (COPLEY, OH) is newly SEC-registered with $134.7M RAUM and 3 advisory reps. IAPD ↗
95
CHARIS LEGACY PARTNERS — (BRYAN, TX) is newly SEC-registered with $102.4M RAUM and 1 advisory reps. IAPD ↗
95
OMNI FINANCIAL LLC — (MADISON, WI) is newly SEC-registered with $106.0M RAUM and 1 advisory reps. IAPD ↗
95
LT ADVISORS LLC — (location n/a) is newly SEC-registered with $42.6M RAUM and 1 advisory reps. IAPD ↗
95
CAPITAL SQUARED FINANCIAL LLC — (ROCKVILLE, MD) is newly SEC-registered with $108.6M RAUM and 2 advisory reps. IAPD ↗
95
DLK INVESTMENT ADVISORS, LLC — (MERCER ISLAND, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MARICOPA CAPITAL PARTNERS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
AIML TRADING PARTNERS — (COLD SPRING HARBOR, NY) is newly SEC-registered with $35.0M RAUM and 1 advisory reps. IAPD ↗
95
WHITWELL ADVISORS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $55.4M RAUM and 3 advisory reps. IAPD ↗
95
ARCHLIGHT WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
MESSINA WEALTH MANAGEMENT, LLC — (SPRING HILL, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
INDIVISIBLE PARTNERS — (CLEARWATER, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
HOLISTIC WEALTH ADVISORS — (CLIFTON PARK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
HENDERSON FINANCIAL GROUP LLC — (VIRGINIA BEACH, VA) is newly SEC-registered with $105.5M RAUM and 3 advisory reps. IAPD ↗
95
INFLECTION CAPITAL MANAGEMENT, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
GEN INVEST LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CANDLESTICK AI — (NUTLEY, NJ) is newly SEC-registered with $1,000 RAUM and 2 advisory reps. IAPD ↗
95
MDT FINANCIAL ADVISORS — (WEBSTER, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
INVESTABLE — (DAYTON, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
VALOIR WEALTH LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CHICAGO OAKBROOK FINANCIAL GROUP — (OAK BROOK, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
GBG WEALTH MANAGEMENT LLC — (LONE TREE, CO) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
GPS INVESTMENTS — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
PRESIDIO WEALTH MANAGEMENT — (MIDVALE, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BASTION FIDUCIARY — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
DICK ADVISORY GROUP — (TEWKSBURY, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CLARION CALL CAPITAL — (NEW YORK, NY) is newly SEC-registered with $54.3M RAUM and 1 advisory reps. IAPD ↗
95
GLOBAL TRUST WEALTH MANAGEMENT LLC — (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
SANKOTA CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $26.0M RAUM and 2 advisory reps. IAPD ↗
95
IGW ADVISORY INVESTMENT MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
APEX INVESTMENT GROUP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
AERIE ADVISORY GROUP LLC — (GIG HARBOR, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PIEDMONT WEALTH ADVISORY — (RESTON, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
85
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC — crossed $1B in regulatory AUM ($854.3M -> $1.12B). IAPD ↗
85
STATE FARM INVESTMENT MANAGEMENT CORP. — grew from 22 to 110 advisory reps. IAPD ↗
85
WAVERLY ADVISORS, LLC — grew from 119 to 139 advisory reps. IAPD ↗
85
VANDERBILT ADVISORY SERVICES — grew from 107 to 124 advisory reps. IAPD ↗
85
THE COLONY GROUP, LLC — grew from 688 to 730 advisory reps. IAPD ↗
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC — grew from 138 to 184 advisory reps. IAPD ↗
80
BAHL & GAYNOR INC — grew from 36 to 46 advisory reps. IAPD ↗
75
VESTGEN ADVISORS, LLC — grew from 13 to 20 advisory reps. IAPD ↗
75
CALIBER WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
75
SERENUS WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
75
IFC ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
73
SERENUS WEALTH ADVISORS, LLC — grew from 1 to 4 advisory reps. IAPD ↗
73
BRIDGE GENERATIONS WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
73
BEARING POINT CAPITAL — 's provisional registration is now fully approved. IAPD ↗
73
MAY HILL CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗
73
ARGENTARII, LLC — 's provisional registration is now fully approved. IAPD ↗
73
SYRIOS WEALTH MANAGEMENT GROUP — 's provisional registration is now fully approved. IAPD ↗
73
CURA WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
72
RVW WEALTH LLC — grew from 10 to 12 advisory reps. IAPD ↗
72
HOOPOE ADVISORS — grew from 5 to 9 advisory reps. IAPD ↗
72
UNITING WEALTH PARTNERS — grew from 0 to 7 advisory reps. IAPD ↗
70
SERENUS WEALTH ADVISORS, LLC — now reports custody of client assets ($316.3M). IAPD ↗
70
IFC ADVISORS LLC — now reports custody of client assets ($31.7M). IAPD ↗
70
MIDWEST HERITAGE FINANCIAL ADVISORS — grew from 2 to 4 advisory reps. IAPD ↗
70
KEYVANTAGE WEALTH ADVISORS — grew from 2 to 4 advisory reps. IAPD ↗
70
VISDOM INVESTMENT GROUP LLC — 's provisional registration is now fully approved. IAPD ↗
70
MURPHY & MULLICK CAPITAL MANAGEMENT CORP — 's provisional registration is now fully approved. IAPD ↗
70
PROSPERA CAPITAL MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
GREENPORTFOLIO INC. — 's provisional registration is now fully approved. IAPD ↗
70
STURMAN WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
MOMENTUM WEALTH PLANNING — 's provisional registration is now fully approved. IAPD ↗
70
HAMPTON ROCK WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
BLUEHEEL LLC — 's provisional registration is now fully approved. IAPD ↗
70
PREMIER PRIVATE WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
WAVVEST WEALTH — 's provisional registration is now fully approved. IAPD ↗
70
PARK SQUARE FINANCIAL GROUP LLC — 's provisional registration is now fully approved. IAPD ↗
70
ADVISIFI LLC — 's provisional registration is now fully approved. IAPD ↗
70
BEACON CAPITAL ADVISORY GROUP — 's provisional registration is now fully approved. IAPD ↗
70
ROUTE 20 PRIVATE WEALTH INC. — now reports 1 private fund(s) ($5.3M gross). IAPD ↗
69
TURNER FINANCIAL GROUP, INC. — grew from 4 to 8 advisory reps. IAPD ↗
68
UHLER VERTICH WHITE ADVISORS — now reports custody of client assets ($640,000). IAPD ↗
68
JACKSON WEALTH MANAGEMENT, LLC — now reports custody of client assets ($820.9M). IAPD ↗
68
STEADMONT ADVISORS, LLC — now reports custody of client assets ($63.1M). IAPD ↗
68
BRIDGE GENERATIONS WEALTH MANAGEMENT — now reports custody of client assets ($113.6M). IAPD ↗
68
KEYVANTAGE WEALTH ADVISORS — now reports custody of client assets ($250.8M). IAPD ↗
68
BEARING POINT CAPITAL — now reports custody of client assets ($10.4M). IAPD ↗
68
PRASAD WEALTH PARTNERS — now reports custody of client assets ($75.4M). IAPD ↗
68
CURA WEALTH ADVISORS, LLC — now reports custody of client assets ($13). IAPD ↗
68
THECE WEALTH MANAGEMENT — grew from 1 to 4 advisory reps. IAPD ↗
67
NORTON CAPITAL MANAGEMENT, INC. — grew from 2 to 4 advisory reps. IAPD ↗
67
VISION RETIREMENT — grew from 3 to 5 advisory reps. IAPD ↗
67
ROUTE 20 PRIVATE WEALTH INC. — grew from 2 to 4 advisory reps. IAPD ↗
65
THOMPSON DAVIS ASSET MANAGEMENT — now reports custody of client assets ($5.8M). IAPD ↗
65
WEALTH MANAGEMENT CORPORATION — now reports custody of client assets ($29.8M). IAPD ↗
65
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT — now reports custody of client assets ($45.4M). IAPD ↗
65
LEWIS ASSET MANAGEMENT — now reports custody of client assets ($82.3M). IAPD ↗
65
QP WEALTH MANAGEMENT, LLC — now reports custody of client assets ($39.1M). IAPD ↗
65
E6 PORTFOLIOS — now reports custody of client assets ($26.8M). IAPD ↗
65
ROCKBRIDGE CAPITAL MANAGEMENT — now reports custody of client assets ($68.0M). IAPD ↗
65
MOMENTUM WEALTH PLANNING — now reports custody of client assets ($72.9M). IAPD ↗
65
TERRAFIRMA WEALTH PARTNERS — now reports custody of client assets ($62.9M). IAPD ↗
65
PLANWISER FINANCIAL — now reports custody of client assets ($90.7M). IAPD ↗
65
DEGREEN PRIVATE WEALTH, LLC — now reports custody of client assets ($35.1M). IAPD ↗
65
YANDELL INVESTMENTS, LLC — now reports custody of client assets ($35.0M). IAPD ↗
65
STATE FARM INVESTMENT MANAGEMENT CORP. — began participating in a wrap-fee program. IAPD ↗
65
THE COLONY GROUP, LLC — began participating in a wrap-fee program. IAPD ↗
63
REFRAME WEALTH, LLC — began participating in a wrap-fee program. IAPD ↗
60
CATOCTIN RIDGE WEALTH PARTNER — began participating in a wrap-fee program. IAPD ↗
55
J.P. MORGAN SECURITIES LLC — 's Item 11 disclosure-reporting entries rose by 9 (238 -> 247). IAPD ↗
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 3 (109 -> 112). IAPD ↗
55
GOLDMAN SACHS & CO. LLC — 's Item 11 disclosure-reporting entries rose by 2 (763 -> 765). IAPD ↗
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 1 (162 -> 163). IAPD ↗
55
AMERIPRISE FINANCIAL SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 1 (241 -> 242). IAPD ↗
55
CITIGROUP GLOBAL MARKETS INC. — 's Item 11 disclosure-reporting entries rose by 1 (201 -> 202). IAPD ↗
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED — 's Item 11 disclosure-reporting entries rose by 3 (498 -> 501). IAPD ↗
55
PRIMERICA ADVISORS — 's Item 11 disclosure-reporting entries rose by 3 (28 -> 31). IAPD ↗
55
CAPITOL SECURITIES MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 2 (13 -> 15). IAPD ↗
55
OSAIC WEALTH, INC. — 's Item 11 disclosure-reporting entries rose by 3 (65 -> 68). IAPD ↗
55
INVESCO ADVISERS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (7 -> 9). IAPD ↗
55
THE AYCO COMPANY, L.P. — 's Item 11 disclosure-reporting entries rose by 1 (29 -> 30). IAPD ↗
55
J.P. MORGAN INVESTMENT MANAGEMENT INC. — 's Item 11 disclosure-reporting entries rose by 6 (23 -> 29). IAPD ↗
55
J.P. MORGAN PRIVATE INVESTMENTS INC. — 's Item 11 disclosure-reporting entries rose by 3 (14 -> 17). IAPD ↗
55
EPOCH INVESTMENT PARTNERS, INC. — 's Item 11 disclosure-reporting entries rose by 4 (4 -> 8). IAPD ↗
55
INVESCO MANAGED ACCOUNTS, LLC — 's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗
55
TD PRIVATE CLIENT WEALTH LLC — 's Item 11 disclosure-reporting entries rose by 16 (21 -> 37). IAPD ↗
55
OSAIC ADVISORY SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 4 (7 -> 11). IAPD ↗
55
BTG PACTUAL ASSET MANAGEMENT US , LLC — notice-filed in AK, AL, AR, AZ, CA, CO, DC, DE, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, NC, ND, NE, NH, NJ, NM, NV, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WI, WV, WY. IAPD ↗
55
CWA ASSET MANAGEMENT GROUP — notice-filed in AK, AR, DC, HI, ID, KS, KY, ME, MS, MT, NM, NV, OK, OR, RI, SD, VI, WA, WY. IAPD ↗
55
PRINCIPLE WEALTH — notice-filed in GA, MD, MI, SC, TN. IAPD ↗
55
IFC ADVISORS LLC — notice-filed in AZ, CO, FL, LA, NE, NV, NY, SC, TX. IAPD ↗
53
CONCORDE ASSET MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (15 -> 16). IAPD ↗
53
COPPELL ADVISORY SOLUTIONS LLC — 's Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗
53
AZ APICE CAPITAL MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
53
HOWARD BAILEY SECURITIES, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
53
HEDONOVA ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
53
FOSTER GROUP, INC. — notice-filed in CT, NY, OR, VT. IAPD ↗
53
JOURNEY ADVISORY GROUP, LLC — notice-filed in CO, NY, PA, SC. IAPD ↗
53
CREEKMUR ASSET MANAGEMENT, LLC — notice-filed in GA, IA, KY, NV, NY, OK, PA, SC, WA, WI. IAPD ↗
53
KEYVANTAGE WEALTH ADVISORS — notice-filed in FL, NJ, NY, SC, TX, UT. IAPD ↗
53
BEARING POINT CAPITAL — notice-filed in AZ, CA, FL, IL, NY, TX. IAPD ↗
51
PATTEN AND PATTEN, INC. — notice-filed in KS, UT, VT. IAPD ↗
51
ASPEN CAPITAL MANAGEMENT, LLC — notice-filed in MT, NC, NE. IAPD ↗
51
STRATEGIC INVESTMENT ADVISORS, LLC — notice-filed in IN, NC, WI. IAPD ↗
51
LIBERTY WEALTH MANAGEMENT, LLC — notice-filed in GA, IN, UT. IAPD ↗
51
CONFLUENCE FINANCIAL PARTNERS — notice-filed in CO, DC, WA. IAPD ↗
51
SYRIOS WEALTH MANAGEMENT GROUP — notice-filed in AZ, FL, NV, TX. IAPD ↗
50
HUDSON COMPANIES — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
50
FORTRESS PRIVATE LEDGER, LLC — notice-filed in AZ, MD, MS, NH, OK. IAPD ↗
50
VISDOM INVESTMENT GROUP LLC — notice-filed in FL, MD, MI, NE, TX, WI. IAPD ↗
50
MOSTT INC. — notice-filed in AK, AL, AR, AZ, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
49
CITY NATIONAL SECURITIES, INC. — notice-filed in DE, VA. IAPD ↗
49
RBF WEALTH ADVISORS — notice-filed in NE, OR, SC. IAPD ↗
49
MONTEREY PRIVATE WEALTH, INC. — notice-filed in NC, VA. IAPD ↗
49
NVEST FINANCIAL, LLC — notice-filed in CA, CT, LA. IAPD ↗
49
L & S ADVISORS, INC — notice-filed in MI, OR. IAPD ↗
49
ADVOCACY WEALTH MANAGEMENT, LLC — notice-filed in IN, KS. IAPD ↗
49
BIP WEALTH, LLC — notice-filed in ID, MD. IAPD ↗
49
JACOBI CAPITAL MANAGEMENT, LLC — notice-filed in IL, ME. IAPD ↗
49
BALTIMORE-WASHINGTON FINANCIAL ADVISORS — notice-filed in MA, TN. IAPD ↗
49
RMR WEALTH BUILDERS, INC. — notice-filed in LA, NE. IAPD ↗
49
FOURSTAR WEALTH ADVISORS, LLC — notice-filed in KY, TN. IAPD ↗
49
TWELVE POINTS WEALTH MANAGEMENT — notice-filed in IL, PA. IAPD ↗
49
ALTUS WEALTH GROUP, LLC — notice-filed in HI, NY, OR. IAPD ↗
49
HORIZON FINANCIAL — notice-filed in MD, NH, VA. IAPD ↗
49
SOLLINDA CAPITAL MANAGEMENT LLC — notice-filed in AR, PR, SC. IAPD ↗
49
MAY HILL CAPITAL, LLC — notice-filed in NH, NY, TX. IAPD ↗
48
LAW & ASSOCIATES INC — notice-filed in CO, DE, NH, SC. IAPD ↗
48
KEENAN FINANCIAL — notice-filed in AL, ID, KY, WY. IAPD ↗
48
PREMIER PRIVATE WEALTH MANAGEMENT, LLC — notice-filed in GA, NC, PA, TX. IAPD ↗
47
MIDWESTERN SECURITIES TRADING CO.,LLC — notice-filed in HI. IAPD ↗
47
PRIVATE MANAGEMENT GROUP INC — notice-filed in WI. IAPD ↗
47
CONDOR CAPITAL WEALTH MANAGEMENT — notice-filed in DC. IAPD ↗
47
FINANCIAL CONSULATE — notice-filed in DC, NE. IAPD ↗
47
NORTHSTAR ASSET MANAGEMENT INC — notice-filed in NE, PA. IAPD ↗
47
SJS INVESTMENT SERVICES — notice-filed in NE. IAPD ↗
47
BEAIRD HARRIS — notice-filed in NV. IAPD ↗
47
PROFESSIONAL PLANNING GROUP — notice-filed in VA. IAPD ↗
47
LASALLE ST. INVESTMENT ADVISORS, L.L.C. — notice-filed in HI. IAPD ↗
47
PLANNING ALTERNATIVES LTD — notice-filed in OR. IAPD ↗
47
COOPER MCMANUS — notice-filed in NM. IAPD ↗
47
ARGENT ADVISORS, INC. — notice-filed in NC. IAPD ↗
47
PINION WEALTH MANAGEMENT, LLC — notice-filed in MS, WY. IAPD ↗
47
SAGE FINANCIAL GROUP INC. — notice-filed in MI. IAPD ↗
47
FINANCIAL SYMMETRY INC. — notice-filed in IL. IAPD ↗
47
PINKERTON RETIREMENT SPECIALISTS, LLC — notice-filed in HI. IAPD ↗
47
STRATEGIC WEALTH MANAGEMENT GROUP — notice-filed in CO, PA. IAPD ↗
47
APRIO WEALTH MANAGEMENT, LLC — notice-filed in AL. IAPD ↗
47
STRATEGIC FAMILY WEALTH COUNSELORS, L.L.C. — notice-filed in DC. IAPD ↗
47
MCF ADVISORS, LLC — notice-filed in AR. IAPD ↗
47
FLAGSHIP WEALTH ADVISORS, LLC. — notice-filed in RI, VT. IAPD ↗
47
PROSPERITY - AN EISNERAMPER COMPANY — notice-filed in IN. IAPD ↗
47
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC — notice-filed in NC, TN. IAPD ↗
47
REDMOND ASSET MANAGEMENT, LLC — notice-filed in CO, GA. IAPD ↗
47
THE HOERNER PLANNING GROUP, LLC — notice-filed in NE. IAPD ↗
47
CLEARWATER CAPITAL PARTNERS — notice-filed in NH. IAPD ↗
47
CALLAN CAPITAL, LLC — notice-filed in NV. IAPD ↗
47
BENEFIT FINANCIAL SERVICES GROUP — notice-filed in NE. IAPD ↗
47
SENDERO WEALTH MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
47
ALTERNA WEALTH MANAGEMENT, INC. — notice-filed in AR, IA. IAPD ↗
47
TELOS CAPITAL MANAGEMENT, INC. — notice-filed in TN. IAPD ↗
47
DYNAMIC WEALTH ADVISORS — notice-filed in AR. IAPD ↗
47
GLASSMAN WEALTH SERVICES, LLC — notice-filed in NH. IAPD ↗
47
TRINITY PORTFOLIO ADVISORS, LLC — notice-filed in CA, LA. IAPD ↗
47
JOEL ISAACSON & CO., LLC — notice-filed in IL. IAPD ↗
47
SUNESIS ADVISORS, LLC — notice-filed in NH. IAPD ↗
47
ALPHA CUBED INVESTMENTS, LLC — notice-filed in OK. IAPD ↗
47
THREE BELL CAPITAL LLC — notice-filed in MN. IAPD ↗
47
CLARO ADVISORS, LLC — notice-filed in OH. IAPD ↗
47
INTEGRATED FINANCIAL STRATEGIES, LLC — notice-filed in PA, VA. IAPD ↗
47
GOLDEN STATE WEALTH MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
47
ARROWROOT FAMILY OFFICE, LLC — notice-filed in AZ, CO. IAPD ↗
47
MONECO ADVISORS — notice-filed in OR. IAPD ↗
47
WATERFRONT WEALTH INC. — notice-filed in NC, SC. IAPD ↗
47
KOVITZ INVESTMENT GROUP PARTNERS, LLC — notice-filed in WV. IAPD ↗
47
MOODY, LYNN, LIEBERSON & WALKER, LLC — notice-filed in LA. IAPD ↗
47
THE FIDUCIARY ALLIANCE — notice-filed in AR. IAPD ↗
47
WINTHROP WEALTH — notice-filed in TN. IAPD ↗
47
ETON ADVISORS — notice-filed in VA. IAPD ↗
47
ROOT FINANCIAL PARTNERS — notice-filed in AR, OH. IAPD ↗
47
WEALTH ALLIANCE ADVISORY GROUP, LLC — notice-filed in ID, NE. IAPD ↗
47
CAPITA FINANCIAL NETWORK, LLC — notice-filed in IA. IAPD ↗
47
CANOPY WEALTH MANAGEMENT — notice-filed in NH. IAPD ↗
47
RESONANT CAPITAL ADVISORS, LLC — notice-filed in NY. IAPD ↗
47
FINDEC WEALTH SERVICES, INC. — notice-filed in ID, NE. IAPD ↗
47
PORTFOLIO DESIGN LABS, LLC — notice-filed in WA, WI. IAPD ↗
47
BUCK WEALTH STRATEGIES, LLC — notice-filed in KS, MO. IAPD ↗
47
BRISTOL WEALTH GROUP — notice-filed in CT, SC. IAPD ↗
47
CURA WEALTH ADVISORS, LLC — notice-filed in NH, WI. IAPD ↗
46
HAROLD DANCE INVESTMENTS — notice-filed in CA, NV, TX. IAPD ↗
46
NICHOLSON MEYER CAPITAL MANAGEMENT, INC. — notice-filed in FL, IA, VT. IAPD ↗
46
COMPASS PLANNING ASSOCIATES, INC. — notice-filed in CT, ME, NV. IAPD ↗
46
FSC WEALTH ADVISORS, LLC — notice-filed in CA, MD, RI. IAPD ↗
46
THE PILLAR STRATEGIES — notice-filed in NH, PA, TX. IAPD ↗
46
TABLEAUX WEALTH — notice-filed in CA, CT, NH. IAPD ↗
46
MURPHY & MULLICK CAPITAL MANAGEMENT CORP — notice-filed in MA, NC, TN. IAPD ↗
45
HORNOR, TOWNSEND & KENT, LLC — filed an Item 4A succession naming HORNOR, TOWNSEND & KENT, LLC (CRD 4031) — an entity change, not a deal. IAPD ↗
45
GUIDELINE INVESTMENTS, LLC — filed an Item 4A succession naming GUIDELINE, INC. (CRD 281515) — an entity change, not a deal. IAPD ↗
45
PECAUT WEALTH MANAGEMENT — notice-filed in TX. IAPD ↗
45
U. S. BOSTON CAPITAL CORPORATION — notice-filed in NC. IAPD ↗
45
CASCADE INVESTMENT GROUP, INC. — notice-filed in AL. IAPD ↗
45
INTRINSIC WEALTH COUNSEL, INC. — notice-filed in FL. IAPD ↗
45
DOVER PARTNERS INC — notice-filed in LA. IAPD ↗
45
NORTHWEST FINANCIAL SERVICES INC — notice-filed in KY. IAPD ↗
45
WHITENER CAPITAL MANAGEMENT, INC — notice-filed in LA. IAPD ↗
45
HALL CAPITAL MANAGEMENT COMPANY, INC. — notice-filed in NC. IAPD ↗
45
LOMBARD ADVISERS INCORPORATED — notice-filed in WV. IAPD ↗
45
KAYDAN WEALTH MANAGEMENT, INC. — notice-filed in LA. IAPD ↗
45
PORTLAND GLOBAL ADVISORS LLC — notice-filed in WA. IAPD ↗
45
CHARLES FISH INVESTMENTS, INC. — notice-filed in SC. IAPD ↗
45
COMPREHENSIVE FINANCIAL PLANNING, INC. — notice-filed in TX. IAPD ↗
45
BENIN MANAGEMENT CORP — notice-filed in MD. IAPD ↗
45
INTEGRIS WEALTH MANAGEMENT, LLC — notice-filed in ID. IAPD ↗
45
ASSET PLANNING, INC — notice-filed in TX. IAPD ↗
45
SPRINKLE FINANCIAL CONSULTANTS LLC — notice-filed in NE. IAPD ↗
45
CAMARDA WEALTH ADVISORY GROUP — notice-filed in MA. IAPD ↗
45
PARSONS CAPITAL MANAGEMENT, LLC — notice-filed in LA. IAPD ↗
45
LOUNTZIS ASSET MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
45
CONFIDENCE WEALTH MANAGEMENT, LLC — notice-filed in MI. IAPD ↗
45
PERSIUM ADVISORS, LLC — notice-filed in NY. IAPD ↗
45
ETF PORTFOLIO PARTNERS, INC. — notice-filed in NE. IAPD ↗
45
RIVERVIEW CAPITAL ADVISERS LLC — notice-filed in TX. IAPD ↗
45
PUBLIC SAFETY FINANCIAL/GALLOWAY — notice-filed in AL. IAPD ↗
45
PETERSON WEALTH ADVISORS, LLC — notice-filed in VA. IAPD ↗
45
IRONVIEW CAPITAL MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
45
MINICHMACGREGOR WEALTH MANAGEMENT, LLC — notice-filed in MA. IAPD ↗
45
BLUEPRINT INVESTING LLC — notice-filed in WA. IAPD ↗
45
ALLSQUARE WEALTH MANAGEMENT, LLC — notice-filed in AZ. IAPD ↗
45
CREAND MANAGEMENT — notice-filed in PR. IAPD ↗
45
FINANCIAL CONCEPTS — notice-filed in OH. IAPD ↗
45
UNITED CAPITAL MANAGEMENT OF KANSAS, INC. — notice-filed in AZ. IAPD ↗
45
WALLER FINANCIAL PLANNING GROUP, INC. — notice-filed in SC. IAPD ↗
45
MONUMENT WEALTH MANAGEMENT — notice-filed in SC. IAPD ↗
45
FIDELIS IM — notice-filed in NE. IAPD ↗
45
LANE HIPPLE - WEALTH MANAGEMENT GROUP — notice-filed in DE. IAPD ↗
45
ELMWOOD WEALTH MANAGEMENT — notice-filed in TX. IAPD ↗
45
ADKINS SEALE CAPITAL MANAGEMENT LLC — notice-filed in AL. IAPD ↗
45
OCCIDENTAL ASSET MANAGEMENT, LLC — notice-filed in DE. IAPD ↗
45
ONE WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
45
B.O.S.S. RETIREMENT ADVISORS, LLC — notice-filed in MO. IAPD ↗
45
OAK HARVEST INVESTMENT SERVICES — notice-filed in NJ. IAPD ↗
45
INSIGHT FOLIOS — notice-filed in PA. IAPD ↗
45
LEADING EDGE FINANCIAL PLANNING LLC — notice-filed in KY. IAPD ↗
45
HACKMAN FINANCIAL GROUP — notice-filed in IN. IAPD ↗
45
R2 WEALTH MANAGEMENT PARTNERS — notice-filed in WI. IAPD ↗
45
MGO PRIVATE WEALTH, LLC — notice-filed in NY. IAPD ↗
45
CENTRAL FAMILY ADVISORS, LLC — notice-filed in TX. IAPD ↗
45
PACIFIC SUN FINANCIAL CORP — notice-filed in FL. IAPD ↗
45
KADES & CHEIFETZ, LLC — notice-filed in MA. IAPD ↗
45
GOODMAN ADVISORY GROUP, LLC — notice-filed in CT. IAPD ↗
45
STONE OAK WEALTH MANAGEMENT, LLC — notice-filed in NM. IAPD ↗
45
BRIO FINANCIAL GROUP — notice-filed in VA. IAPD ↗
45
SHADE TREE ADVISORS LLC — notice-filed in NJ. IAPD ↗
45
KELLY FINANCIAL SERVICES LLC — notice-filed in VA. IAPD ↗
45
SOCHA FINANCIAL GROUP, LLC — notice-filed in TN. IAPD ↗
45
INSPIRE ADVISORS, LLC — notice-filed in CT. IAPD ↗
45
RANCH CAPITAL ADVISORS INC. — notice-filed in TN. IAPD ↗
45
MID-AMERICAN WEALTH ADVISORY GROUP — notice-filed in FL. IAPD ↗
45
CONVERGENCE FINANCIAL — notice-filed in AR. IAPD ↗
45
MATTERN WEALTH MANAGEMENT LLC — notice-filed in NE. IAPD ↗
45
ALAETHES WEALTH, LLC — notice-filed in TX. IAPD ↗
45
AEGIS FINANCIAL — notice-filed in AZ. IAPD ↗
45
EMERALD ADVISORS, LLC — notice-filed in NE. IAPD ↗
45
MADISON PARTNERS — notice-filed in IA. IAPD ↗
45
GRAYSTONE PARTNERS WEALTH MANAGEMENT, LLC — notice-filed in UT. IAPD ↗
45
ONYX BRIDGE WEALTH GROUP LLC — notice-filed in IN. IAPD ↗
45
CANVAS WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
45
ALPHA FINANCIAL PARTNERS LLC — notice-filed in IL. IAPD ↗
45
ELK RIVER WEALTH MANAGEMENT LLC — notice-filed in MO. IAPD ↗
45
INTERCHANGE CAPITAL PARTNERS — notice-filed in CA. IAPD ↗
45
FORTIS CAPITAL ADVISORS, LLC — notice-filed in MS. IAPD ↗
45
REFRAME WEALTH, LLC — notice-filed in NY. IAPD ↗
45
IMPACT PARTNERSHIP WEALTH, LLC — notice-filed in AL. IAPD ↗
45
WEALTH EFFECTS — notice-filed in VI. IAPD ↗
45
GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC — notice-filed in NM. IAPD ↗
45
BREAKWATER CAPITAL GROUP — notice-filed in CT. IAPD ↗
45
GEARHART & ASSOCIATES — notice-filed in NY. IAPD ↗
45
HEDONOVA ADVISORS LLC — notice-filed in MA. IAPD ↗
45
VICTORY FINANCIAL — notice-filed in CA. IAPD ↗
45
MASTER'S WEALTH MANAGEMENT INC. — notice-filed in TX. IAPD ↗
45
IMPACT CAPITAL PARTNERS LLC — notice-filed in LA. IAPD ↗
44
FORTERIS WEALTH MANAGEMENT, INC. — notice-filed in CA, NH. IAPD ↗
44
SWISHER FINANCIAL CONCEPTS, INC. — notice-filed in MI, NC. IAPD ↗
44
RUTHERFORD ASSET PLANNING, INC. — notice-filed in LA, TX. IAPD ↗
44
COLOMB INVESTMENT MANAGEMENT COMPANY, LLC — notice-filed in IN, ME. IAPD ↗
44
BROWN FINANCIAL ADVISORS, LLC — notice-filed in OK, SC. IAPD ↗
44
ADVOCATE INVESTING SERVICES — notice-filed in CO, PA. IAPD ↗
44
SEYMOUR ASSET MANAGEMENT LLC — notice-filed in ME, NC. IAPD ↗
44
PALATINE HILL WEALTH MANAGEMENT — notice-filed in CA, FL. IAPD ↗
44
AMARA FINANCIAL, LLC — notice-filed in OR, WA. IAPD ↗
44
AVAIL INVESTMENT PARTNERS, LLC — notice-filed in TX, VA. IAPD ↗
44
BALLAST ROCK PRIVATE WEALTH — notice-filed in CT, LA. IAPD ↗
44
NINE30 ADVISORS LLC — notice-filed in AR, TX. IAPD ↗
44
MAYNERICH FINANCIAL — notice-filed in AZ, FL. IAPD ↗
44
PARK SQUARE FINANCIAL GROUP LLC — notice-filed in NJ, PA. IAPD ↗
44
UNITING WEALTH PARTNERS — notice-filed in LA, NE. IAPD ↗
44
BEACON CAPITAL ADVISORY GROUP — notice-filed in AK, NY. IAPD ↗
42
B.B. GRAHAM & COMPANY, INC. — notice-filed in KS. IAPD ↗
42
MWA FINANCIAL SERVICES, INC. — notice-filed in HI. IAPD ↗
42
SAGE INVESTMENT COUNSEL — notice-filed in NE. IAPD ↗
42
GIBSON FINANCIAL SOLUTIONS, INC. — notice-filed in FL. IAPD ↗
42
JAMES RIVER ASSET MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
42
DBS INVESTMENT ADVISERS, LLC — notice-filed in NJ. IAPD ↗
42
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT — notice-filed in CA. IAPD ↗
42
LIGHTHOUSE FINANCIAL MANAGEMENT, LLC — notice-filed in NY. IAPD ↗
42
T.T.G. FINANCIAL, INC. — notice-filed in TX. IAPD ↗
42
HURLEY CAPITAL, LLC — notice-filed in NH. IAPD ↗
42
NORTHSTAR FINANCIAL PLANNERS, INC. — notice-filed in IL. IAPD ↗
42
PARKWORTH WEALTH MANAGEMENT, INC. — notice-filed in NY. IAPD ↗
42
PACIFICA WEALTH ADVISORS, INC. — notice-filed in TN. IAPD ↗
42
WATERSTONE WEALTH ADVISORS, LLC — notice-filed in NY. IAPD ↗
42
ZYNERGY RETIREMENT PLANNING — notice-filed in PA. IAPD ↗
42
GLOBAL VALUE INVESTMENT CORPORATION — notice-filed in PA. IAPD ↗
42
CAP PARTNERS, LLC — notice-filed in LA. IAPD ↗
42
FINANCIAL INSTITUTION SERVICES, LLC — notice-filed in MN. IAPD ↗
42
KEY GROUP MANAGEMENT, INC. — notice-filed in MA. IAPD ↗
42
PRAKASH INVESTMENT ADVISORS LLC — notice-filed in LA. IAPD ↗
42
REITZ CAPITAL ADVISORS LLC — notice-filed in TX. IAPD ↗
42
RIVERTREE ADVISORS, LLC — notice-filed in TX. IAPD ↗
42
POWERS ADVISORY GROUP, LLC — notice-filed in NE. IAPD ↗
42
SIGHTLINE WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
42
CYR FINANCIAL INC. — notice-filed in NE. IAPD ↗
42
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC — notice-filed in NC. IAPD ↗
42
ROOTED PLANNING GROUP — notice-filed in GA. IAPD ↗
42
PRATO CAPITAL MANAGEMENT — notice-filed in NH. IAPD ↗
42
ANDERSON FINANCIAL STRATEGIES, LLC — notice-filed in NE. IAPD ↗
42
FENIX TRADING — notice-filed in FL. IAPD ↗
42
BIG INVESTMENT SERVICES — notice-filed in FL. IAPD ↗
42
STRONGTOWER WEALTH MANAGEMENT, PLC — notice-filed in NE. IAPD ↗
42
SHORE POINT ADVISORS, LLC — notice-filed in PA. IAPD ↗
42
AVANT FINANCIAL ADVISORS — notice-filed in LA. IAPD ↗
42
CAPITAL WEALTH ALLIANCE, LLC — notice-filed in MN. IAPD ↗
42
CAVU WEALTH MANAGEMENT — notice-filed in LA. IAPD ↗
42
AEGIS WEALTH MANAGEMENT, INC. — notice-filed in KS. IAPD ↗
42
WICKHAM FINANCIAL & INSURANCE SERVICES — notice-filed in FL. IAPD ↗
42
THE HERBST GROUP, LLC — notice-filed in TX. IAPD ↗
42
GOALFUSION WEALTH MANAGEMENT — notice-filed in CA. IAPD ↗
42
MARIPAU WEALTH MANAGEMENT LLC — notice-filed in TN. IAPD ↗
42
1230 ADVISORS, LLC — notice-filed in FL. IAPD ↗
42
GOLDEN ROAD ADVISORS LLC — notice-filed in NY. IAPD ↗
42
103 ADVISORY GROUP — notice-filed in FL. IAPD ↗
42
DISCIPLINE WEALTH SOLUTIONS, INC. — notice-filed in AZ. IAPD ↗
42
THE WEALTH BOUTIQUE — notice-filed in NY. IAPD ↗
42
HELIANTH INVESTMENT MANAGEMENT LLC — notice-filed in NY. IAPD ↗
42
BASE WEALTH MANAGEMENT — notice-filed in NH. IAPD ↗
42
TRUEDGE ASSET MANAGEMENT LLC — notice-filed in AZ. IAPD ↗
42
HERITAGE OAK WEALTH ADVISORS — notice-filed in TX. IAPD ↗
42
ROSSBY FINANCIAL, LLC — notice-filed in IN. IAPD ↗
42
ACCELERATE RETIREMENT — notice-filed in MI. IAPD ↗
42
MDRN CAPITAL — notice-filed in NE. IAPD ↗
42
TRIAD WEALTH PARTNERS, LLC — notice-filed in NJ. IAPD ↗
42
DELARME WEALTH MANAGEMENT, INC. — notice-filed in MO. IAPD ↗
42
EDEN INTELLIGENCE FINANCIAL — notice-filed in CA. IAPD ↗
42
LINCOLN PARK CAPITAL LLC — notice-filed in CO. IAPD ↗
42
MERKKURI WEALTH ADVISORS LLC — notice-filed in CA. IAPD ↗
42
SYNTHETICFI LLC — notice-filed in FL. IAPD ↗
42
ROXBURY FINANCIAL — notice-filed in SC. IAPD ↗
42
RHL GROUP, LLC — notice-filed in CA. IAPD ↗
42
ZERO DAY CAPITAL ENTERPRISES LLC — notice-filed in FL. IAPD ↗
42
RAINIER FAMILY WEALTH, INC. — notice-filed in TX. IAPD ↗
42
CANTATA WEALTH MANAGEMENT, LLC — notice-filed in LA. IAPD ↗
42
PCM ENCORE, LLC — notice-filed in VA. IAPD ↗
90
BC PARTNERS PE L.P. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $33.34B RAUM and 30 advisory reps. IAPD ↗institutional
85
SIMA RETIREMENT SOLUTIONS, LLC — (NORTH CHESTERFIELD, VA) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
GLOBAL STRATEGIC RISK MANAGEMENT, LLC — (PROVIDENCE, RI) is newly SEC-registered with $1.52B RAUM and 7 advisory reps. IAPD ↗fund
85
KATE CAPITAL LLC — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
COASTAL EQUITY MANAGEMENT, LLC — (PENSACOLA, FL) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
85
HARBOURVEST REGISTERED ADVISERS — (BOSTON, MA) is newly SEC-registered with $0 RAUM and 293 advisory reps. IAPD ↗institutional
85
M83 INVESTMENT GROUP, LLC — (CALABASAS, CA) is newly SEC-registered with $112.4M RAUM and 4 advisory reps. IAPD ↗institutional
85
MRBL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
CAPRA IBEX CREDIT OPPORTUNITIES, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
LORD ABBETT FIF ADVISOR LLC — (JERSEY CITY, NJ) is newly SEC-registered with $0 RAUM and 264 advisory reps. IAPD ↗institutional
85
FLAGSHIP INVESTMENT MANAGEMENT LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
85
85
MARCELLUS INTERNATIONAL INVESTMENT MANAGERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
PSP RESEARCH LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
ERIC M FLANAGAN TRADING, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
KING RIDGE CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
BAYHUNT CAPITAL LLC — (MILL VALLEY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
KARL KAPITAL — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
PAINSWICK CAPITAL MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
FORTUNA FUNDS, LLC — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
NEXTGEN EMP — (COLUMBUS, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
83
MCP ADVISERS, LLC — (ATLANTA, GA) is newly SEC-registered with $400.0M RAUM and 1 advisory reps. IAPD ↗fund
80
HC2 CAPITAL, LLC — (DALLAS, TX) is newly SEC-registered with $195.1M RAUM and 4 advisory reps. IAPD ↗fund
80
GRIZZLY CAPITAL MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $40.8M RAUM and 7 advisory reps. IAPD ↗fund
80
TCW PT MANAGEMENT COMPANY LLC — (LOS ANGELES, CA) is newly SEC-registered with $0 RAUM and 28 advisory reps. IAPD ↗fund
80
ABF INVESTMENT MANAGEMENT, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗fund
75
70
AVIVA INVESTORS CANADA INC. — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $8.25B RAUM and 5 advisory reps. IAPD ↗foreign
68
GUARDIAN PARTNERS INC. — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $388.2M RAUM and 8 advisory reps. IAPD ↗foreign
65
HIGHER PARK LIMITED — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗foreign
65
ARINI CAPITAL MANAGEMENT US LLC — 's provisional registration is now fully approved. IAPD ↗institutional
62
60
ARINI CAPITAL MANAGEMENT US LLC — now reports custody of client assets ($22.05B). IAPD ↗institutional
60
60
60
60
60
60
60
58
58
56
55
55
POLYMER CAPITAL MANAGEMENT (US), LLC — now reports custody of client assets ($260.8M). IAPD ↗institutional
55
LORD ABBETT PRIVATE CREDIT ADVISOR LLC — now reports custody of client assets ($38.0M). IAPD ↗institutional
55
55
55
55
55
55
55
55
55
55
55
55
55
54
53
53
52
50
50
50
45
INVESCO INVESTMENT ADVISERS LLC — 's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗institutional
45
WISDOMTREE ASSET MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗institutional
45
40
40
INVESCO SENIOR SECURED MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗fund
40
GATES CAPITAL MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
40
40
40
ELLIOTT INVESTMENT MANAGEMENT L.P. — 's Item 11 disclosure-reporting entries rose by 1 (8 -> 9). IAPD ↗fund
40
40
FPLF MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗institutional
40
39
38
INVESCO PRIVATE CAPITAL, INC. — 's Item 11 disclosure-reporting entries rose by 3 (12 -> 15). IAPD ↗fund
38
38
37
35
35
35
ICON INFRASTRUCTURE NORTH AMERICA INC. — filed an Item 4A succession naming ICON INFRASTRUCTURE NORTH AMERICA INC. (CRD 306800) — an entity change, not a deal. IAPD ↗institutional
32
32
32
32
30
PENN MUTUAL ASSET MANAGEMENT, LLC — filed an Item 4A succession naming PENN MUTUAL ASSET MANAGEMENT, LLC (CRD 107518) — an entity change, not a deal. IAPD ↗fund
30
28
KENT LAKE PR LLC — filed an Item 4A succession naming KENT LAKE PR LLC (CRD 299642) — an entity change, not a deal. IAPD ↗fund
27
27
25
CIBC ASSET MANAGEMENT INC. — 's Item 11 disclosure-reporting entries rose by 4 (8 -> 12). IAPD ↗foreign
12
12
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.