Compliance — February 2025
Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).
706 firms opened this window in the February 2025 SEC roster: 360 state expansion, 110 new registration, 70 disclosure added, 55 headcount up, 47 pending approved, 34 custody started, 11 aum crossed 1b, 10 private funds started, 8 reorganization, 1 acquisition.
98
CAP SIX ADVISORS — (HOUSTON, TX) is newly SEC-registered with $279.4M RAUM and 3 advisory reps. IAPD ↗
95
GCM GROSVENOR L.P. — filed an Item 4A succession naming GCM CUSTOMIZED FUND INVESTMENT GROUP, L.P. (CRD 169155) — one firm absorbed the other. IAPD ↗
95
HOFFMANN HERMANSON — (DENVER, CO) is newly SEC-registered with $148.0M RAUM and 2 advisory reps. IAPD ↗
95
HARDING FINANCIAL GROUP, LLC. — (WESTERVILLE, OH) is newly SEC-registered with $138.5M RAUM and 1 advisory reps. IAPD ↗
95
WALLENDER, TIMOTHY JOSEPH — (MANHATTAN BEACH, CA) is newly SEC-registered with $114.9M RAUM and 0 advisory reps. IAPD ↗
95
ALEXANDER CAPITAL ADVISORS, LLC — (NEW CANAAN, CT) is newly SEC-registered with $100.2M RAUM and 1 advisory reps. IAPD ↗
95
FIDELIS FINANCIAL PLANNING, LLC — (SAINT CHARLES, MO) is newly SEC-registered with $140.0M RAUM and 2 advisory reps. IAPD ↗
95
FINLEY WEALTH ADVISORS — (ESTERO, FL) is newly SEC-registered with $114.6M RAUM and 3 advisory reps. IAPD ↗
95
STEMBROOK ASSET MANAGEMENT, LLC — (RED BANK, NJ) is newly SEC-registered with $129.3M RAUM and 2 advisory reps. IAPD ↗
95
SULLIVAN INVESTMENTS GROUP, LLC — (location n/a) is newly SEC-registered with $127.5M RAUM and 2 advisory reps. IAPD ↗
95
A J FELDMAN FINANCIAL, LLC — (location n/a) is newly SEC-registered with $111.4M RAUM and 1 advisory reps. IAPD ↗
95
PINNACLE STRATEGIC WEALTH MANAGEMENT, LLC. — (KING OF PRUSSIA, PA) is newly SEC-registered with $122.2M RAUM and 2 advisory reps. IAPD ↗
95
BARNETT CAPITAL ADVISORS LLC — (MIAMI, FL) is newly SEC-registered with $121.9M RAUM and 2 advisory reps. IAPD ↗
95
DONALIES FINANCIAL PLANNING, LLC — (WASHINGTON, DC) is newly SEC-registered with $100.1M RAUM and 1 advisory reps. IAPD ↗
95
JGC TAX & WEALTH MANAGEMENT — (SALEM, OR) is newly SEC-registered with $110.0M RAUM and 3 advisory reps. IAPD ↗
95
PROFUSION FINANCIAL — (ST. LOUIS, MO) is newly SEC-registered with $124.9M RAUM and 2 advisory reps. IAPD ↗
95
LIFE STRATEGIES, INC. — (LA JOLLA, CA) is newly SEC-registered with $112.0M RAUM and 1 advisory reps. IAPD ↗
95
RUGGIERO INVESTMENTS — (WEST PALM BEACH, FL) is newly SEC-registered with $114.0M RAUM and 3 advisory reps. IAPD ↗
95
ANKERSTAR WEALTH, LLC — (ROUND ROCK, TX) is newly SEC-registered with $109.9M RAUM and 6 advisory reps. IAPD ↗
95
CAPITAL CITY WEALTH MANAGEMENT, INC. — (BISMARCK, ND) is newly SEC-registered with $126.0M RAUM and 2 advisory reps. IAPD ↗
95
S. WILLIAMS CAPITAL, LLC — (NEW YORK, NY) is newly SEC-registered with $25.2M RAUM and 1 advisory reps. IAPD ↗
95
HANKE & CO. WEALTH MANAGEMENT, LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $145.4M RAUM and 2 advisory reps. IAPD ↗
95
HADDONFIELD FINANCIAL PLANNING LLC — (HADDONFIELD, NJ) is newly SEC-registered with $104.9M RAUM and 3 advisory reps. IAPD ↗
95
RESOLUTE CAPITAL, LLC — (GREENVILLE, SC) is newly SEC-registered with $180.9M RAUM and 7 advisory reps. IAPD ↗
95
U.S.A. FINANCIAL & TAX SERVICES, LLC — (GLASTONBURY, CT) is newly SEC-registered with $118.5M RAUM and 2 advisory reps. IAPD ↗
95
PERSONALIZED FINANCIAL SOLUTIONS LLC — (CLEARWATER, FL) is newly SEC-registered with $109.3M RAUM and 1 advisory reps. IAPD ↗
95
EVOLUTION WEALTH MANAGEMENT INC. — (FORT MYERS, FL) is newly SEC-registered with $111.3M RAUM and 3 advisory reps. IAPD ↗
95
NGP FINANCIAL PLANNING, LLC — (location n/a) is newly SEC-registered with $111.7M RAUM and 1 advisory reps. IAPD ↗
95
NEIL JESANI WEALTH MANAGEMENT — (SUNRISE, FL) is newly SEC-registered with $102.5M RAUM and 3 advisory reps. IAPD ↗
95
INTRINSIC VALUE CAPITAL, LLC — (LITTLE ROCK, AR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ROBINHOOD ASSET MANAGEMENT — (MENLO PARK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
GENESIS FINANCIAL GROUP, LLC — (MAHWAH, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
THOUGHTFUL MONEY LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
RETIREMENT PORTFOLIOS, LLC — (LAWRENCE, KS) is newly SEC-registered with $153.0M RAUM and 1 advisory reps. IAPD ↗
95
BXM WEALTH LLC — (ENGLEWOOD, CO) is newly SEC-registered with $107.6M RAUM and 3 advisory reps. IAPD ↗
95
SHRIER WEALTH MANAGEMENT, LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
SARVER VROOMAN WEALTH ADVISORS LLC — (KANSAS CITY, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
STOCKPILE INVESTMENT ADVISORS, INC. — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BERMAN MCALEER — (TIMONIUM, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 11 advisory reps. IAPD ↗
95
LEGACY WEALTH PARTNERS, LLC — (LAKEWOOD, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
95
CHURCHILL FINANCIAL ADVISORS, LLC — (LOUISVILLE, KY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
FORESEE WEALTH ADVISORS — (BELLEVUE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ALONGSIDE, LLC — (AUSTIN, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
BLUE CURVE ADVISORY, LLC — (TOWSON, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
HENDERSON BROTHERS FINANCIAL PARTNERS LLC — (PITTSBURGH, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 22 advisory reps. IAPD ↗
95
THREE ARCH WEALTH MANAGEMENT LLC — (IRVINE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
LRZ CAPITAL LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
LINCOLNBRIDGE FINANCIAL PLANNING, LLC — (OGLESBY, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
WILLOW CREEK CAPITAL MANAGEMENT, INC. — (MISSOULA, MT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
SLK PRIVATE WEALTH MANAGEMENT, LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
FIVE ELEVEN FAMILY OFFICE LLC — (GARDEN CITY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
REDWOOD FAMILY WEALTH LLC — (ADDISON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
HOOT WEALTH LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
SUNSET ADVISERS, LLC — (SALT LAKE CITY, UT) is newly SEC-registered with $1,000 RAUM and 1 advisory reps. IAPD ↗
95
MOOLA COPILOT LLC — (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SENECA PRIVATE WEALTH, LLC — (LOS ANGELES, CA) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗
95
THE BYCOFF GROUP LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
WGI DM, LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
95
CLARION WEALTH MANAGEMENT PARTNERS — (FAIRFAX, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
SMARTHARVEST PORTFOLIOS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ARIA WEALTH PARTNERS — (CHARLOTTESVILLE, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ELEVATED FINANCIAL GROUP — (INDIANAPOLIS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
PARADIGM ADVISOR GROUP, LLC — (BRIDGEWATER, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
STRIVE RETIREMENT GROUP — (DAYTONA BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
LATHROP INVESTMENT MANAGEMENT COMPANY — (LITTLE ROCK, AR) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
THE QUICK GROUP LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
PARTHENON LLC — crossed $1B in regulatory AUM ($993.9M -> $1.12B). IAPD ↗
85
IMA ADVISORY SERVICES, INC. — crossed $1B in regulatory AUM ($911.6M -> $2.66B). IAPD ↗
85
KEB WEALTH ADVISORS — crossed $1B in regulatory AUM ($933.4M -> $1.06B). IAPD ↗
85
HEMINGTON WEALTH MANAGEMENT — crossed $1B in regulatory AUM ($894.4M -> $1.06B). IAPD ↗
85
ONE WEALTH MAP, LLC — crossed $1B in regulatory AUM ($230.0M -> $1.10B). IAPD ↗
85
ONE DAY IN JULY LLC — crossed $1B in regulatory AUM ($797.7M -> $1.09B). IAPD ↗
85
MILAGRE WEALTH MANAGEMENT, INC. — crossed $1B in regulatory AUM ($83.8M -> $11.45B). IAPD ↗
85
CHEMISTRY WEALTH MANAGEMENT LLC — crossed $1B in regulatory AUM ($846.8M -> $1.03B). IAPD ↗
85
FIDELIS CAPITAL — crossed $1B in regulatory AUM ($917.2M -> $1.68B). IAPD ↗
85
RBC CAPITAL MARKETS, LLC — grew from 2042 to 5680 advisory reps. IAPD ↗
85
GCM GROSVENOR L.P. — grew from 84 to 159 advisory reps. IAPD ↗
85
ARAX ADVISORY PARTNERS — grew from 15 to 38 advisory reps. IAPD ↗
85
TD PRIVATE CLIENT WEALTH LLC — grew from 284 to 464 advisory reps. IAPD ↗
85
SOUND INCOME STRATEGIES, LLC — grew from 96 to 111 advisory reps. IAPD ↗
85
BISON WEALTH, LLC — grew from 33 to 66 advisory reps. IAPD ↗
83
WE FAMILY OFFICES — grew from 22 to 35 advisory reps. IAPD ↗
83
VICTORY FINANCIAL — grew from 12 to 34 advisory reps. IAPD ↗
82
IMA ADVISORY SERVICES, INC. — grew from 19 to 31 advisory reps. IAPD ↗
80
COLDSTREAM WEALTH MANAGEMENT — grew from 141 to 151 advisory reps. IAPD ↗
79
EARNED WEALTH ADVISORS, LLC — grew from 11 to 20 advisory reps. IAPD ↗
78
EPOCH INVESTMENT PARTNERS, INC. — grew from 133 to 141 advisory reps. IAPD ↗
77
SANCTUARY ADVISORS, LLC — grew from 324 to 331 advisory reps. IAPD ↗
75
PANDI, LLC — 's provisional registration is now fully approved. IAPD ↗
75
INTELLUS ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
75
RAMIREZ ASSET MANAGEMENT, INC. — now reports 5 private fund(s) ($382.2M gross). IAPD ↗
75
CHARTWELL INVESTMENT PARTNERS, LLC — now reports 1 private fund(s) ($525,786 gross). IAPD ↗
74
HEADLAND CAPITAL — grew from 3 to 9 advisory reps. IAPD ↗
73
VIRTUS ADVISERS, LLC — grew from 2 to 7 advisory reps. IAPD ↗
73
IGNITE PLANNERS LLC — grew from 31 to 36 advisory reps. IAPD ↗
73
HEADLAND CAPITAL — 's provisional registration is now fully approved. IAPD ↗
73
UNITING WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
73
VIRTUS WEALTH SOLUTIONS — 's provisional registration is now fully approved. IAPD ↗
73
OXFORD WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
73
LECLAIR WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
73
STONE TEMPLE PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
73
MORANGIE MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
73
MATAURO, LLC — 's provisional registration is now fully approved. IAPD ↗
73
TFR CAPITAL — 's provisional registration is now fully approved. IAPD ↗
73
AMERICAN FUNDSTARS — now reports 1 private fund(s) ($35.0M gross). IAPD ↗
73
MORANGIE MANAGEMENT LLC — now reports 2 private fund(s) ($14.0M gross). IAPD ↗
72
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC — grew from 5 to 7 advisory reps. IAPD ↗
72
INTELLUS ADVISORS, LLC — grew from 5 to 7 advisory reps. IAPD ↗
71
SCALA CAPITAL LLC — grew from 3 to 6 advisory reps. IAPD ↗
71
TRANSATLANTIQUE PRIVATE WEALTH LLC — grew from 7 to 10 advisory reps. IAPD ↗
71
AVAII WEALTH MANAGEMENT, LLC — grew from 7 to 10 advisory reps. IAPD ↗
71
AMERICAN FUNDSTARS — grew from 6 to 9 advisory reps. IAPD ↗
71
IMPACT CAPITAL PARTNERS LLC — grew from 2 to 5 advisory reps. IAPD ↗
70
AMERITAS INVESTMENT PARTNERS, INC. — now reports custody of client assets ($1.24B). IAPD ↗
70
INTELLUS ADVISORS, LLC — now reports custody of client assets ($24.5M). IAPD ↗
70
MASON & ASSOCIATES, INC. — grew from 5 to 7 advisory reps. IAPD ↗
70
VERDE CAPITAL MANAGEMENT, INC. — grew from 9 to 11 advisory reps. IAPD ↗
70
ETESIAN WEALTH ADVISORS, INC. — grew from 4 to 6 advisory reps. IAPD ↗
70
RCM WEALTH ADVISORS — grew from 9 to 11 advisory reps. IAPD ↗
70
MBE WEALTH MANAGEMENT, LLC — grew from 8 to 10 advisory reps. IAPD ↗
70
KEY CAPITAL MANAGEMENT, INC. — grew from 5 to 7 advisory reps. IAPD ↗
70
MID-AMERICAN WEALTH ADVISORY GROUP — grew from 4 to 6 advisory reps. IAPD ↗
70
KEYSTONE PRIVATE WEALTH — grew from 9 to 11 advisory reps. IAPD ↗
70
WEALTH EFFECTS — grew from 7 to 9 advisory reps. IAPD ↗
70
HASENBERG FINANCIAL GROUP — grew from 3 to 5 advisory reps. IAPD ↗
70
INTEGRITY WEALTH LLC — grew from 3 to 5 advisory reps. IAPD ↗
70
MORANGIE MANAGEMENT LLC — grew from 2 to 4 advisory reps. IAPD ↗
70
EL MENUDO CUENTA LLC — 's provisional registration is now fully approved. IAPD ↗
70
BARNES DENNIG PRIVATE WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
QUANTCA FINANCIAL — 's provisional registration is now fully approved. IAPD ↗
70
MAYNERICH FINANCIAL — 's provisional registration is now fully approved. IAPD ↗
70
HARBORFRONT FINANCIAL GROUP — 's provisional registration is now fully approved. IAPD ↗
70
BIRCH FINANCIAL GROUP — 's provisional registration is now fully approved. IAPD ↗
70
KAI WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
70
OCM PRIVATE WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
70
LINEPOINT PARTNERS & CO. — 's provisional registration is now fully approved. IAPD ↗
70
VINCENT WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
HARBORVIEW ASSET MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
70
ELLIS FINANCIAL PLANNING — 's provisional registration is now fully approved. IAPD ↗
70
ECHELON GROUP — 's provisional registration is now fully approved. IAPD ↗
70
STRIVE FINANCIAL GROUP, LLC — 's provisional registration is now fully approved. IAPD ↗
70
OCM PRIVATE WEALTH, LLC — now reports 1 private fund(s) ($8.0M gross). IAPD ↗
70
LINEPOINT PARTNERS & CO. — now reports 5 private fund(s) ($41.7M gross). IAPD ↗
69
TIMOTHY FINANCIAL COUNSEL, INC. — grew from 14 to 18 advisory reps. IAPD ↗
68
NICHOLSON MEYER CAPITAL MANAGEMENT, INC. — now reports custody of client assets ($211.8M). IAPD ↗
68
WAGNER LOFTIN INVESTMENT SERVICES LLC — now reports custody of client assets ($1.1M). IAPD ↗
68
CHATHAM WEALTH MANAGEMENT — now reports custody of client assets ($192.1M). IAPD ↗
68
GUARDIAN WEALTH STRATEGIES, LLC — now reports custody of client assets ($100.0M). IAPD ↗
68
VIRTUS ADVISERS, LLC — now reports custody of client assets ($161.9M). IAPD ↗
68
VISTA INVESTMENT PARTNERS LLC — now reports custody of client assets ($40.8M). IAPD ↗
68
NIA IMPACT CAPITAL — now reports custody of client assets ($92.5M). IAPD ↗
68
MEREDITH WEALTH PLANNING — now reports custody of client assets ($73.3M). IAPD ↗
68
ADAMSBROWN WEALTH CONSULTANTS LLC — now reports custody of client assets ($492.6M). IAPD ↗
68
IMPACT CAPITAL PARTNERS LLC — now reports custody of client assets ($1.3M). IAPD ↗
68
HS WEALTH PARTNERS — now reports custody of client assets ($16.0M). IAPD ↗
68
INTEGRITY WEALTH LLC — now reports custody of client assets ($125.0M). IAPD ↗
68
HEADLAND CAPITAL — now reports custody of client assets ($2.6M). IAPD ↗
68
LECLAIR WEALTH PARTNERS — now reports custody of client assets ($30,846). IAPD ↗
68
MATAURO, LLC — now reports custody of client assets ($1.1M). IAPD ↗
68
TFR CAPITAL — now reports custody of client assets ($17.0M). IAPD ↗
68
ORCHARD ADVISORS — grew from 2 to 5 advisory reps. IAPD ↗
68
MISSION FINANCIAL GROUP, LLC — grew from 2 to 5 advisory reps. IAPD ↗
68
OXENFREE FINANCIAL — grew from 5 to 8 advisory reps. IAPD ↗
67
SECURE PLANNING — grew from 4 to 6 advisory reps. IAPD ↗
67
PRIVATE FINANCIAL COUNSELING — grew from 1 to 3 advisory reps. IAPD ↗
67
AIO FINANCIAL, LLC — grew from 1 to 3 advisory reps. IAPD ↗
67
THE DALA GROUP, LLC — grew from 3 to 5 advisory reps. IAPD ↗
65
A4 WEALTH ADVISORS LLC — now reports custody of client assets ($2.9M). IAPD ↗
65
KOKUA CAPITAL MANAGEMENT — now reports custody of client assets ($60.9M). IAPD ↗
65
GARNETT INVESTMENT STRATEGIES — now reports custody of client assets ($88.8M). IAPD ↗
65
ROLEK RETIREMENT PLANNING — now reports custody of client assets ($51.9M). IAPD ↗
65
THE ARANDA GROUP ADVISORS, LLC — now reports custody of client assets ($188.5M). IAPD ↗
65
RICHR MONEY LLC — now reports custody of client assets ($186,052). IAPD ↗
65
ARRIEN INVESTMENTS, INC. — now reports custody of client assets ($7.8M). IAPD ↗
65
BURR FINANCIAL SERVICES, LLC — now reports custody of client assets ($65.8M). IAPD ↗
65
INMAN JAGER WEALTH MANAGEMENT, LLC — now reports custody of client assets ($217,000). IAPD ↗
65
OSPREY PRIVATE WEALTH LLC — now reports custody of client assets ($266.0M). IAPD ↗
65
CANTATA WEALTH MANAGEMENT, LLC — now reports custody of client assets ($43.4M). IAPD ↗
65
ELLIS FINANCIAL PLANNING — now reports custody of client assets ($53.0M). IAPD ↗
65
HARVESTWISE WEALTH PLANNING — now reports custody of client assets ($23.6M). IAPD ↗
65
ECHELON GROUP — now reports custody of client assets ($6.3M). IAPD ↗
55
ESI FINANCIAL ADVISORS — 's Item 11 disclosure-reporting entries rose by 7 (13 -> 20). IAPD ↗
55
JANNEY MONTGOMERY SCOTT LLC — 's Item 11 disclosure-reporting entries rose by 2 (55 -> 57). IAPD ↗
55
RAYMOND JAMES & ASSOCIATES, INC. — 's Item 11 disclosure-reporting entries rose by 2 (173 -> 175). IAPD ↗
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 2 (163 -> 165). IAPD ↗
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 4 (330 -> 334). IAPD ↗
55
CITIGROUP GLOBAL MARKETS INC. — 's Item 11 disclosure-reporting entries rose by 1 (202 -> 203). IAPD ↗
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED — 's Item 11 disclosure-reporting entries rose by 3 (505 -> 508). IAPD ↗
55
INDEPENDENT FINANCIAL GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 1 (8 -> 9). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (321 -> 322). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 5 (652 -> 657). IAPD ↗
55
CUSO FINANCIAL SERVICES, L.P. — 's Item 11 disclosure-reporting entries rose by 2 (10 -> 12). IAPD ↗
55
NEXT FINANCIAL GROUP, INC. — 's Item 11 disclosure-reporting entries rose by 2 (33 -> 35). IAPD ↗
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 3 (122 -> 125). IAPD ↗
55
CETERA INVESTMENT ADVISERS LLC — 's Item 11 disclosure-reporting entries rose by 4 (46 -> 50). IAPD ↗
55
DIMENSIONAL FUND ADVISORS LP — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 3 (122 -> 125). IAPD ↗
55
NFC INVESTMENTS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
55
SEACREST WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
55
KESTRA PRIVATE WEALTH SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 2 (18 -> 20). IAPD ↗
55
CANTOR FITZGERALD INVESTMENT ADVISORS — 's Item 11 disclosure-reporting entries rose by 5 (0 -> 5). IAPD ↗
55
JANNEY CAPITAL MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 2 (19 -> 21). IAPD ↗
55
SMITH GROUP ASSET MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 5 (0 -> 5). IAPD ↗
55
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC — notice-filed in AK, AL, AR, CA, CT, DC, DE, FL, GA, HI, IA, 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, VT, WA, WI, WV. IAPD ↗
55
55
FORT WASHINGTON INVESTMENT ADVISORS INC — notice-filed in DC, ND, NH, RI, SD, VT. IAPD ↗
55
INTELLICENTS INVESTMENT SOLUTIONS INC — notice-filed in CT, DC, GA, ID, IN, MA, MD, ME, MS, MT, NC, NV, PA, SC, UT, VA, VT, WY. IAPD ↗
55
IMA ADVISORY SERVICES, INC. — notice-filed in MT, NJ, NY, SC, TN, VA. IAPD ↗
55
COASTAL BRIDGE ADVISORS — notice-filed in AZ, MD, ME, NC, PA, RI, SC, TN, WA. IAPD ↗
55
TFO FAMILY OFFICE PARTNERS — notice-filed in HI, IA, ID, IN, KS, KY, MI, ND, OH, UT. IAPD ↗
55
KOVITZ INVESTMENT GROUP PARTNERS, LLC — notice-filed in AL, AR, CA, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, WA, WI, WV. IAPD ↗
55
ARKADIOS WEALTH ADVISORS — notice-filed in AK, CT, DC, IN, KS, KY, MA, MS, ND, NE, NM, OK, RI, SD, VT, WV. IAPD ↗
55
BISON WEALTH, LLC — notice-filed in CO, CT, NE, NH, WI. IAPD ↗
55
BERGER FINANCIAL GROUP — notice-filed in AL, KS, KY, NV, PA, UT. IAPD ↗
55
HOMRICH BERG — notice-filed in DE, HI, IA, ME, ND, OK, PR, VT, WY. IAPD ↗
55
FIDELIS CAPITAL — notice-filed in AR, DE, IL, LA, NJ, OH, PA, SC, TN, WA, WI. IAPD ↗
53
RPG FAMILY WEALTH ADVISORY, LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
53
BCI SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 3 (39 -> 42). IAPD ↗
53
ACCEL WEALTH MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
53
25 FINANCIAL — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
VICTORY FINANCIAL — 's Item 11 disclosure-reporting entries rose by 6 (0 -> 6). IAPD ↗
53
CITY NATIONAL SECURITIES, INC. — notice-filed in MD, NJ, OR, TN. IAPD ↗
53
FLAGSTAR ADVISORS, INC. — notice-filed in AK, AL, AR, CA, CT, DC, DE, FL, GA, HI, IA, 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. IAPD ↗
53
HUDSON ADVISOR SERVICES, INC. — notice-filed in CA, CT, FL, MA, MD, ME, NH, NY, TX, VT, WV. IAPD ↗
53
EARNED WEALTH ADVISORS, LLC — notice-filed in CO, KS, NY, PA. IAPD ↗
53
CHRISTY CAPITAL MANAGEMENT, INC. — notice-filed in AL, CA, FL, GA, LA, MS, NC, SC, TN, TX, VA. IAPD ↗
53
QUADCAP WEALTH MANAGEMENT, LLC — notice-filed in CO, GA, MI, NY, SC, VI, WA. IAPD ↗
53
SUMMIT GLOBAL INVESTMENTS, LLC — notice-filed in AK, AR, MD, MT. IAPD ↗
53
XO WEALTH MANAGEMENT — notice-filed in AR, CA, FL, GA, IL, LA, NY, OK, SC, TX. IAPD ↗
53
VESTWELL ADVISORS LLC — notice-filed in AK, AL, AR, CA, CT, DC, DE, FL, GA, HI, IA, 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. IAPD ↗
53
HORST & GRABEN WEALTH MANAGEMENT, LLC — notice-filed in AK, NM, NY, PA, VA. IAPD ↗
53
AMERICANA PARTNERS, LLC — notice-filed in AK, NV, OR, VA. IAPD ↗
53
WEALTHPLAN INVESTMENT MANAGEMENT LLC — notice-filed in DC, LA, MA, NM, NV, NY, OR, SC, VA, WA, WI, WY. IAPD ↗
53
HEADLAND CAPITAL — notice-filed in GA, KY, NC, OH, TX. IAPD ↗
53
MATAURO, LLC — notice-filed in CA, CO, CT, DC, GA, IL, LA, MA, MD, NH, PA, VA, WA. IAPD ↗
51
SMITHBRIDGE ASSET MANAGEMENT, INC. — notice-filed in SC, UT, WI, WV. IAPD ↗
51
PCA INVESTMENT ADVISORY SERVICES, INC. — notice-filed in AZ, LA, MI. IAPD ↗
51
CUTLER INVESTMENT GROUP — notice-filed in CO, HI, LA. IAPD ↗
51
ARAX ADVISORY PARTNERS — notice-filed in KS, MT, TN. IAPD ↗
51
CANNELL & SPEARS LLC — notice-filed in OH, OR, SC. IAPD ↗
51
PINNACLE INVESTMENTS, LLC — notice-filed in AR, IN, UT. IAPD ↗
51
ELM WEALTH — notice-filed in DC, MI, SC. IAPD ↗
51
MONERE WEALTH MANAGEMENT, INC. — notice-filed in AR, CO, MO, VA. IAPD ↗
51
IGNITE PLANNERS LLC — notice-filed in AR, CO, MO, WY. IAPD ↗
50
FEDERAL PREP ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
50
RE-ENVISION WEALTH — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
50
ZERO DAY CAPITAL ENTERPRISES LLC — 's Item 11 disclosure-reporting entries rose by 5 (0 -> 5). IAPD ↗
50
SAXONY CAPITAL MANAGEMENT, LLC — notice-filed in CA, CT, LA, MI, MN, NC, NE, OH, OK, PA, TX. IAPD ↗
50
401K GENERATION — notice-filed in DC, HI, IA, KS, ME, WY. IAPD ↗
50
MODERN CAPITAL GROUP LLC — notice-filed in CA, LA, MN, NY, TX. IAPD ↗
50
GUNCHEON FINANCIAL, LLC — notice-filed in CA, IL, KS, MI, MO. IAPD ↗
50
STEP ADVISERS, LLC — notice-filed in AK, AL, AR, CA, CT, DC, DE, FL, GA, HI, IA, 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, SD, TN, TX, UT, VA, VT, WA, WI, WV. IAPD ↗
50
ATEGENOS CAPITAL, LLC — notice-filed in AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, 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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY. IAPD ↗
50
LIFEGOAL WEALTH ADVISORS LLC — notice-filed in CO, CT, GA, IL, MA, MD, MN, NC, NJ, NV, OR, SC, VA, WA. IAPD ↗
50
50
ADVISIFI LLC — notice-filed in AK, AL, AR, AZ, CO, CT, DC, DE, HI, ID, IL, IN, KS, KY, LA, MA, MD, ME, MO, MS, MT, ND, NH, NJ, NM, NV, OH, OR, PA, PR, RI, SC, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
50
APEX INVESTMENT GROUP — notice-filed in CT, FL, LA, ME, NC, NH, NY, RI, TX, VT. IAPD ↗
49
ANDREW GARRETT, INC. — notice-filed in NV, PR, WY. IAPD ↗
49
FAS WEALTH PARTNERS, INC. — notice-filed in IN, NV. IAPD ↗
49
ADVISORNET WEALTH PARTNERS — notice-filed in AL, LA. IAPD ↗
49
ASPIRIANT, LLC — notice-filed in DE, RI. IAPD ↗
49
VECTORGLOBAL IAG, INC. — notice-filed in NC, VI. IAPD ↗
49
ASCENT WEALTH PARTNERS, LLC — notice-filed in GA, SC. IAPD ↗
49
CANAL CAPITAL MANAGEMENT, LLC — notice-filed in GA, SC. IAPD ↗
49
BORDEAUX WEALTH ADVISORS — notice-filed in CO, TN. IAPD ↗
49
RIVERSEDGE ADVISORS — notice-filed in DC, NC, NY. IAPD ↗
49
WEDMONT PRIVATE CAPITAL — notice-filed in GA, MN. IAPD ↗
49
PANDI, LLC — notice-filed in MO, TX. IAPD ↗
49
PCM ENCORE, LLC — notice-filed in FL, TX. IAPD ↗
48
WEALTHBUILDERS INVESTMENTS — notice-filed in CA, FL, LA, TX. IAPD ↗
48
CROAK CAPITAL — notice-filed in CA, CO, NC, WA. IAPD ↗
48
PODELL FINANCIAL GROUP LLC — notice-filed in FL, MA, NY, TX. IAPD ↗
48
ALTITUDE CAPITAL MANAGEMENT LLC — notice-filed in CA, MI, NJ, SC. IAPD ↗
48
ASHTON THOMAS ADVISORS LLC — notice-filed in AR, FL, NY, TX. IAPD ↗
48
CATOCTIN RIDGE WEALTH PARTNER — notice-filed in FL, PA, TX, VA. IAPD ↗
47
ASSOCIATED INVESTMENT SERVICES, INC. — notice-filed in CO, TN. IAPD ↗
47
HUNTER ASSOCIATES LLC — notice-filed in UT. IAPD ↗
47
FIRST CITIZENS INVESTOR SERVICES, INC. — notice-filed in LA. IAPD ↗
47
HALBERT HARGROVE — notice-filed in NC. IAPD ↗
47
SHARKEY HOWES & JAVER INC — notice-filed in MO, VA. IAPD ↗
47
GCM GROSVENOR L.P. — notice-filed in NC. IAPD ↗
47
FINANCIAL INSIGHTS — notice-filed in MT, NE. IAPD ↗
47
BRIDGEWATER ADVISORS INC. — notice-filed in ME. IAPD ↗
47
OBERMEYER WEALTH PARTNERS — notice-filed in KY. IAPD ↗
47
SLOY, DAHL & HOLST, LLC — notice-filed in NV. IAPD ↗
47
SPRINKLE FINANCIAL CONSULTANTS LLC — notice-filed in OK, WA. IAPD ↗
47
5T WEALTH, LLC — notice-filed in NV, OR. IAPD ↗
47
MISSION WEALTH MANAGEMENT, LP — notice-filed in VT. IAPD ↗
47
RATHER & KITTRELL, INC. — notice-filed in AL. IAPD ↗
47
CHANEY CAPITAL MANAGEMENT INC. — notice-filed in MI, MT. IAPD ↗
47
FINANCIAL & TAX ARCHITECTS, LLC — notice-filed in IA, WV. IAPD ↗
47
AA FINANCIAL ADVISORS, LLC — notice-filed in MD, OR. IAPD ↗
47
CHARTER OAK CAPITAL MANAGEMENT — notice-filed in WA. IAPD ↗
47
GREAT VALLEY ADVISOR GROUP, INC. — notice-filed in AL. IAPD ↗
47
THAMES FINANCIAL MANAGEMENT — notice-filed in PA, WA. IAPD ↗
47
APRIO WEALTH MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
47
WEALTHCREST FINANCIAL SERVICES, LLC — notice-filed in CA, CO. IAPD ↗
47
WESTEND ADVISORS, LLC — notice-filed in CO. IAPD ↗
47
PROSPERITY - AN EISNERAMPER COMPANY — notice-filed in OH. IAPD ↗
47
WEST FINANCIAL SERVICES, INC. — notice-filed in LA. IAPD ↗
47
WEST FINANCIAL ADVISORS, L.L.C. — notice-filed in AZ, CA. IAPD ↗
47
REGISTER FINANCIAL ADVISORS, LLC — notice-filed in MA, TN. IAPD ↗
47
PORTFOLIO WEALTH ADVISORS — notice-filed in NV, WA. IAPD ↗
47
ALDRICH WEALTH LP — notice-filed in MI. IAPD ↗
47
SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC — notice-filed in AZ, OR. IAPD ↗
47
KEENER FINANCIAL PLANNING — notice-filed in NY, VA. IAPD ↗
47
PRAETORIAN GUARD, A DIVISION OF PRAETORIAN WEALTH MANAGEMENT,INC — notice-filed in GA, NV. IAPD ↗
47
STRATEGIC INVESTMENT ADVISORS, LLC — notice-filed in SC. IAPD ↗
47
RCM WEALTH ADVISORS — notice-filed in MA, NH. IAPD ↗
47
FLAGSHIP HARBOR ADVISORS, LLC — notice-filed in KS. IAPD ↗
47
TRAJAN WEALTH, L.L.C. — notice-filed in IN. IAPD ↗
47
THREE BELL CAPITAL LLC — notice-filed in FL. IAPD ↗
47
SAVOIE CAPITAL LLC — notice-filed in IL. IAPD ↗
47
NORTHROCK PARTNERS, LLC — notice-filed in ME. IAPD ↗
47
GOLDEN STATE WEALTH MANAGEMENT, LLC — notice-filed in NC. IAPD ↗
47
IFG ADVISORY, LLC — notice-filed in OK. IAPD ↗
47
RITHOLTZ WEALTH MANAGEMENT — notice-filed in WV. IAPD ↗
47
VIRTUS ADVISERS, LLC — notice-filed in CA, CT. IAPD ↗
47
HEMINGTON WEALTH MANAGEMENT — notice-filed in MI. IAPD ↗
47
FINANCIAL COACH — notice-filed in NH, TX. IAPD ↗
47
CYPRESS CAPITAL, LLC — notice-filed in MO, SC. IAPD ↗
47
ONE WEALTH MAP, LLC — notice-filed in NE. IAPD ↗
47
ELLENBECKER INVESTMENT GROUP — notice-filed in KY. IAPD ↗
47
ALPHACORE CAPITAL LLC — notice-filed in KS. IAPD ↗
47
DELAP WEALTH ADVISORY, LLC — notice-filed in ID, NH. IAPD ↗
47
ROOT FINANCIAL PARTNERS — notice-filed in KY, NE. IAPD ↗
47
CAPITA FINANCIAL NETWORK, LLC — notice-filed in NJ. IAPD ↗
47
ATTICUS WEALTH MANAGEMENT — notice-filed in NH, NJ. IAPD ↗
47
GRAVES LIGHT LENHART — notice-filed in TX. IAPD ↗
47
TRANSCEND CAPITAL ADVISORS, LLC — notice-filed in RI. IAPD ↗
47
EMERALD ADVISORS, LLC — notice-filed in MD, MI. IAPD ↗
47
GUARDIAN WEALTH ADVISORS, LLC — notice-filed in NE. IAPD ↗
47
TRIAGEN WEALTH MANAGEMENT LLC — notice-filed in ID, WA. IAPD ↗
47
THE HIGH NET WORTH ADVISORY GROUP, LLC — notice-filed in IN, OK. IAPD ↗
47
RISKBRIDGE ADVISORS, LLC — notice-filed in MA, OH. IAPD ↗
47
GAMMA INVESTING LLC — notice-filed in NY. IAPD ↗
47
25 FINANCIAL — notice-filed in NM, WI. IAPD ↗
47
SIERRA SUMMIT ADVISORS LLC — notice-filed in CA, WI. IAPD ↗
47
ALTES CAPITAL, LLC — notice-filed in TX. IAPD ↗
47
MOREY & QUINN WEALTH PARTNERS — notice-filed in LA, VA. IAPD ↗
47
LECLAIR WEALTH PARTNERS — notice-filed in MI, TX. IAPD ↗
46
FINANCIAL PLANNING SERVICES — notice-filed in FL, IL, MI. IAPD ↗
46
KOKUA CAPITAL MANAGEMENT — notice-filed in CA, FL, HI. IAPD ↗
46
KEYSTONE FINANCIAL SERVICES, LLC — notice-filed in AZ, MN, NY. IAPD ↗
46
VALOR FINANCIAL SERVICES, LLC — notice-filed in FL, NY, PA. IAPD ↗
46
GLOBAL INVESTMENT ADVISORY — notice-filed in DC, MS, OH. IAPD ↗
46
ELLIS FINANCIAL PLANNING — notice-filed in KY, NY, TX. IAPD ↗
45
RANDOLPH CO INC — notice-filed in KY. IAPD ↗
45
RAMSAY STATTMAN VELA & PRICE INC — notice-filed in CA. IAPD ↗
45
M. KRAUS & COMPANY — notice-filed in NE. IAPD ↗
45
MERIDIAN INVESTMENT ADVISORS, INC. — notice-filed in LA. IAPD ↗
45
SEABRIDGE INVESTMENT ADVISORS LLC — notice-filed in RI. IAPD ↗
45
REA WEALTH MANAGEMENT — notice-filed in MI. IAPD ↗
45
PORTLAND GLOBAL ADVISORS LLC — notice-filed in RI. IAPD ↗
45
GABLES CAPITAL MANAGEMENT, INC. — notice-filed in NY. IAPD ↗
45
MONETARY MANAGEMENT GROUP INC — notice-filed in CA. IAPD ↗
45
AMB WEALTH, LLC — notice-filed in DE. IAPD ↗
45
FAMILY INVESTMENT CENTER — notice-filed in GA. IAPD ↗
45
WEALTH ADVISORS NETWORK, INC. — notice-filed in TX. IAPD ↗
45
SNIDER FINANCIAL GROUP — notice-filed in MO. IAPD ↗
45
BERKELEY, INC — notice-filed in OR. IAPD ↗
45
MARATHON CAPITAL MANAGEMENT — notice-filed in SC. IAPD ↗
45
WESTEND CAPITAL MANAGEMENT, LLC. — notice-filed in FL. IAPD ↗
45
CAPSTONE CAPITAL WEALTH ADVISORS — notice-filed in IN. IAPD ↗
45
WISE PLANNING, INC. — notice-filed in CO. IAPD ↗
45
WISDOM FINANCIAL SERVICES, L.L.C. — notice-filed in MI. IAPD ↗
45
NVEST FINANCIAL, LLC — notice-filed in NC. IAPD ↗
45
BIONDO INVESTMENT ADVISORS LLC — notice-filed in NE. IAPD ↗
45
LUCAS GROUP FINANCIAL PLANNERS, INC. — notice-filed in TX. IAPD ↗
45
TWELE CAPITAL MANAGEMENT, INC. — notice-filed in TX. IAPD ↗
45
WAYPOINT WEALTH PARTNERS — notice-filed in FL. IAPD ↗
45
WATTS GWILLIAM & COMPANY, LLC — notice-filed in VA. IAPD ↗
45
POEHLING CAPITAL MANAGEMENT, INC. — notice-filed in IL. IAPD ↗
45
PROSTATIS FINANCIAL ADVISORS GROUP — notice-filed in IN. IAPD ↗
45
CAPITAL MARKETS IQ, LLC — notice-filed in UT. IAPD ↗
45
FCF ADVISORS LLC — notice-filed in FL. IAPD ↗
45
STRATEGIC ASSET MANAGEMENT GROUP ADVISORS — notice-filed in TX. IAPD ↗
45
ALTERNA WEALTH MANAGEMENT, INC. — notice-filed in AZ. IAPD ↗
45
TIMBER CREEK CAPITAL MANAGEMENT, LLC — notice-filed in RI. IAPD ↗
45
PRINCETON GLOBAL ASSET MANAGEMENT LLC — notice-filed in NC. IAPD ↗
45
CAPITAL INSIGHT PARTNERS, LLC — notice-filed in TN. IAPD ↗
45
CENTRAL TRUST BANK — notice-filed in TX. IAPD ↗
45
EVOADVISERS — notice-filed in CO. IAPD ↗
45
FORT SHERIDAN ADVISORS LLC — notice-filed in PA. IAPD ↗
45
SHOREPOINT CAPITAL PARTNERS LLC — notice-filed in TX. IAPD ↗
45
HARDIN CAPITAL PARTNERS, LLC — notice-filed in FL. IAPD ↗
45
PROVIDENCE WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
45
EMPIRICAL ASSET MANAGEMENT, LLC — notice-filed in MN. IAPD ↗
45
KINGDOM FINANCIAL GROUP, LLC — notice-filed in MI. IAPD ↗
45
ALPHA SOLUTIONS INVESTMENT ADVISORS — notice-filed in TX. IAPD ↗
45
MOUNTAIN CAPITAL INVESTMENT ADVISORS INC — notice-filed in IL. IAPD ↗
45
MILLS WEALTH ADVISORS, LLC — notice-filed in MN. IAPD ↗
45
INVESTOR FAN — notice-filed in UT. IAPD ↗
45
FSA INVESTMENT GROUP, LLC — notice-filed in WA. IAPD ↗
45
WEALTHSTAR ADVISORS, LLC — notice-filed in CT. IAPD ↗
45
STRATEGIC WEALTH INVESTMENT GROUP, LLC — notice-filed in IA. IAPD ↗
45
AM INVESTMENT STRATEGIES, LLC — notice-filed in PA. IAPD ↗
45
GUARDIAN WEALTH STRATEGIES, LLC — notice-filed in CA. IAPD ↗
45
QBOX FIDUCIARY SOLUTIONS, LLC — notice-filed in NC. IAPD ↗
45
RIVERPOINT WEALTH MANAGEMENT — notice-filed in MI. IAPD ↗
45
LIQUID STRATEGIES, LLC — notice-filed in TX. IAPD ↗
45
OMNIA FAMILY WEALTH, LLC — notice-filed in NJ. IAPD ↗
45
G&S CAPITAL LLC — notice-filed in SC. IAPD ↗
45
WEALTH WATCH ADVISORS, INC — notice-filed in AR. IAPD ↗
45
WEALTH ADVISORS NW — notice-filed in CO. IAPD ↗
45
ACCEL WEALTH MANAGEMENT — notice-filed in MI. IAPD ↗
45
FINANCIAL SERVICES OF AMERICA ADVISORS — notice-filed in IN. IAPD ↗
45
INDEPENDENT WEALTH NETWORK, INC. — notice-filed in ND. IAPD ↗
45
CREATIVE CAPITAL MANAGEMENT INVESTMENTS LLC — notice-filed in VA. IAPD ↗
45
DYNAMIC FINANCIAL GROUP — notice-filed in TN. IAPD ↗
45
FINANCIAL STRATEGIES GROUP, INC — notice-filed in NV. IAPD ↗
45
KPP ADVISORY SERVICES LLC — notice-filed in PA. IAPD ↗
45
UNCOMMON CENTS INVESTING — notice-filed in IL. IAPD ↗
45
PCG WEALTH MANAGEMENT — notice-filed in IA. IAPD ↗
45
TURNING POINT FINANCIAL — notice-filed in OH. IAPD ↗
45
CRESTMONT PRIVATE WEALTH LLC — notice-filed in NM. IAPD ↗
45
MIDWEST HERITAGE FINANCIAL ADVISORS — notice-filed in KS. IAPD ↗
45
SHOREHAVEN WEALTH PARTNERS, LLC — notice-filed in VA. IAPD ↗
45
INSTRUMENTAL WEALTH, LLC — notice-filed in CO. IAPD ↗
45
RETIREMENT PLANNING SOLUTIONS, LLC — notice-filed in CA. IAPD ↗
45
POWER WEALTH MANAGEMENT — notice-filed in VA. IAPD ↗
45
BROOKWOOD INVESTMENT GROUP — notice-filed in TX. IAPD ↗
45
COVE PRIVATE WEALTH, LLC — notice-filed in FL. IAPD ↗
45
ALLEY COMPANY — notice-filed in AZ. IAPD ↗
45
CENTURION WEALTH MANAGEMENT — notice-filed in WV. IAPD ↗
45
PORTFOLIO DESIGN LABS, LLC — notice-filed in LA. IAPD ↗
45
BUCK WEALTH STRATEGIES, LLC — notice-filed in MD. IAPD ↗
45
JOCELYN INVESTMENT MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
45
ROCKLINE WEALTH MANAGEMENT LLC — notice-filed in DE. IAPD ↗
45
SECOND LINE CAPITAL, LLC — notice-filed in OK. IAPD ↗
45
ELEVATUS WEALTH MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
45
TRAVEKA WEALTH, LLC — notice-filed in AZ. IAPD ↗
45
PARKWOODS WEALTH PARTNERS, LLC — notice-filed in TN. IAPD ↗
45
MORANGIE MANAGEMENT LLC — notice-filed in NH. IAPD ↗
45
TFR CAPITAL — notice-filed in CO. IAPD ↗
44
R. F. LAFFERTY & CO., INC. — notice-filed in TN, TX. IAPD ↗
44
HERBERT J. SIMS CAPITAL MANAGEMENT, INC. — notice-filed in LA, NH. IAPD ↗
44
CAP PARTNERS, LLC — notice-filed in AL, VT. IAPD ↗
44
BOWERS WEALTH MANAGEMENT, INC. — notice-filed in MA, OH. IAPD ↗
44
KIKER WEALTH MANAGEMENT, LLC — notice-filed in OH, VA. IAPD ↗
44
SEABORN FINANCIAL, LLC — notice-filed in MD, WA. IAPD ↗
44
SEVERIN INVESTMENTS LLC — notice-filed in AR, TN. IAPD ↗
44
DAVIMAN FINANCIAL, LLC — notice-filed in NV, TX. IAPD ↗
44
HOFFMAN CAPITAL ADVISORS LLC — notice-filed in FL, NC. IAPD ↗
44
INVEST CAPITAL PARTNERS — notice-filed in MN, SC. IAPD ↗
44
ACRYLIC FINANCIAL, INC. — notice-filed in NC, NY. IAPD ↗
44
ATWOOD FINANCIAL PLANNING LLC — notice-filed in NE, NH. IAPD ↗
44
PANORAMIC INVESTMENT ADVISORS — notice-filed in LA, OR. IAPD ↗
44
SIMPLIFIED WEALTH MANAGEMENT — notice-filed in NE, NH. IAPD ↗
44
TRANQUILLI FINANCIAL ADVISOR, LLC — notice-filed in LA, WI. IAPD ↗
44
ABLE WEALTH MANAGEMENT LLC — notice-filed in CA, FL. IAPD ↗
44
FUTURE YOU WEALTH — notice-filed in FL, PA. IAPD ↗
44
ADVISOR SHARE WEALTH MANAGEMENT, LLC — notice-filed in NY, OH. IAPD ↗
44
MISSION FINANCIAL GROUP, LLC — notice-filed in NV, NY. IAPD ↗
44
CONSTITUTION WEALTH LLC — notice-filed in CO, KS. IAPD ↗
44
THEPARTNERS WEALTH MANAGEMENT — notice-filed in MI, WA. IAPD ↗
44
FORTHRIGHT CAPITAL ADVISORY — notice-filed in MO, NE. IAPD ↗
44
TRIAD WEALTH PARTNERS, LLC — notice-filed in CT, VA. IAPD ↗
43
42
M. E. ALLISON & CO., INC. — notice-filed in NM. IAPD ↗
42
LARIMER CAPITAL CORPORATION — notice-filed in DC. IAPD ↗
42
DMK ADVISOR GROUP, INC. — notice-filed in ME. IAPD ↗
42
KAISER WEALTH MANAGEMENT — notice-filed in AZ. IAPD ↗
42
FINANCIAL STRATEGIES, INC. — notice-filed in TX. IAPD ↗
42
ELTEKON ADVISORS, LLC. — notice-filed in CA. IAPD ↗
42
BENNINGTON FINANCIAL PLANNING GROUP — notice-filed in NC. IAPD ↗
42
GILBERT CAPITAL GROUP — notice-filed in TX. IAPD ↗
42
PINNACLE WEALTH ADVISORS — notice-filed in NE. IAPD ↗
42
DBS INVESTMENT ADVISERS, LLC — notice-filed in GA. IAPD ↗
42
BARTLEY FINANCIAL ADVISORS, LLC — notice-filed in NY. IAPD ↗
42
ECONOLOGICS FINANCIAL ADVISORS — notice-filed in AR. IAPD ↗
42
PENBROOK MANAGEMENT LLC — notice-filed in FL. IAPD ↗
42
FEDERMANN FINANCIAL ADVISORS INC. — notice-filed in NH. IAPD ↗
42
GORDON ASSET MANAGEMENT LLC — notice-filed in FL. IAPD ↗
42
ELM3 FINANCIAL GROUP, LLC — notice-filed in MD. IAPD ↗
42
BAY CAPITAL ADVISORS, LLC — notice-filed in NH. IAPD ↗
42
CHICAGO INVESTMENT ADVISORY GROUP — notice-filed in NE. IAPD ↗
42
ORCA INVESTMENT MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
42
LIFETIME WEALTH MANAGEMENT P.C. — notice-filed in PR. IAPD ↗
42
STONE ISLAND FINANCIAL PLANNING — notice-filed in NE. IAPD ↗
42
WELLS GLOBAL INVESTMENT ADVISERS LLC — notice-filed in GA. IAPD ↗
42
CHELSEA ADVISORY SERVICES, INC — notice-filed in IL. IAPD ↗
42
ABERNATHY GROUP II LLC — notice-filed in NJ. IAPD ↗
42
SANKALA GROUP LLC — notice-filed in MT. IAPD ↗
42
PIEDMONT WEALTH MANAGEMENT — notice-filed in NH. IAPD ↗
42
SERVO WEALTH MANAGEMENT LLC — notice-filed in NY. IAPD ↗
42
PARSONEX ADVISORY SERVICES, INC. — notice-filed in KY. IAPD ↗
42
BARRETT WEALTH CONNECTION LLC — notice-filed in TX. IAPD ↗
42
EFINANCIAL ALLIANCE, LLC — notice-filed in TX. IAPD ↗
42
HILEY HUNT WEALTH MANAGEMENT, INC. — notice-filed in MN. IAPD ↗
42
PORTLAND PRIVATE WEALTH MANAGEMENT, INC. — notice-filed in NH. IAPD ↗
42
BROADVIEW WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
42
LAKE ROAD ADVISORS, LLC — notice-filed in NH. IAPD ↗
42
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC — notice-filed in GA. IAPD ↗
42
GARNETT INVESTMENT STRATEGIES — notice-filed in TX. IAPD ↗
42
ATLATL ADVISERS — notice-filed in AZ. IAPD ↗
42
ELEVATE CAPITAL ADVISORS — notice-filed in NV. IAPD ↗
42
SIEBERT ADVISORNXT, LLC. — notice-filed in MN. IAPD ↗
42
FORTRESS PRIVATE LEDGER, LLC — notice-filed in UT. IAPD ↗
42
TREEHOUSE WEALTH ADVISORS — notice-filed in OR. IAPD ↗
42
WEALTHGUARD ADVISORS, INC. — notice-filed in FL. IAPD ↗
42
VAN CLEMENS WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
42
NEW MILLENNIUM GROUP — notice-filed in WA. IAPD ↗
42
GOLDEN WEALTH MANAGEMENT — notice-filed in NC. IAPD ↗
42
BLACK KNIGHT WEALTH MANAGEMENT, LLC — notice-filed in KS. IAPD ↗
42
1858 WEALTH MANAGEMENT, LLC — notice-filed in LA. IAPD ↗
42
MSP WEALTH MANAGEMENT, LLC — notice-filed in WA. IAPD ↗
42
SECFI ADVISORY LIMITED — notice-filed in NJ. IAPD ↗
42
GOALFUSION WEALTH MANAGEMENT — notice-filed in NE. IAPD ↗
42
MARYGOLD & CO. ADVISORY SERVICES, LLC — notice-filed in CA. IAPD ↗
42
CARROLL INVESTORS, INC. — notice-filed in NY. IAPD ↗
42
REDSTONE WEALTH MANAGEMENT, LLC — notice-filed in NE. IAPD ↗
42
BOYD CAPITAL — notice-filed in TX. IAPD ↗
42
CHILDFREE WEALTH — notice-filed in CT. IAPD ↗
42
THE WEALTH BOUTIQUE — notice-filed in TX. IAPD ↗
42
SCHERER FINANCIAL ADVISORY SERVICES, LLC — notice-filed in MA. IAPD ↗
42
CROSSGRAIN FAMILY INVESTMENTS, LLC — notice-filed in OH. IAPD ↗
42
IA NETWORK, LLC — notice-filed in TN. IAPD ↗
42
FRANKLY FINANCES — notice-filed in CA. IAPD ↗
42
ARRIEN INVESTMENTS, INC. — notice-filed in NE. IAPD ↗
42
AMERITY WEALTH MANAGEMENT, LLC — notice-filed in AZ. IAPD ↗
42
VIRTUS FINANCIAL PARTNERS — notice-filed in IL. IAPD ↗
42
MAGNOLIA PRIVATE WEALTH, LLC — notice-filed in NM. IAPD ↗
42
JOSS BROWN WEALTH ADVISORS — notice-filed in NC. IAPD ↗
42
ACCELERATE RETIREMENT — notice-filed in WA. IAPD ↗
42
MDRN CAPITAL — notice-filed in MA. IAPD ↗
42
INTENTIONAL WEALTH STRATEGIES — notice-filed in AZ. IAPD ↗
42
COASTAL WEALTH MANAGEMENT — notice-filed in CT. IAPD ↗
42
ZERO DAY CAPITAL ENTERPRISES LLC — notice-filed in NC. IAPD ↗
42
SLO MONEY MANAGERS — notice-filed in TX. IAPD ↗
42
HARBORFRONT FINANCIAL GROUP — notice-filed in IN. IAPD ↗
42
GFG SOLUTIONS — notice-filed in NJ. IAPD ↗
42
OCM PRIVATE WEALTH, LLC — notice-filed in TX. IAPD ↗
42
PITCAIRN WEALTH ADVISORS LLC — notice-filed in TX. IAPD ↗
42
BASTION FIDUCIARY — notice-filed in MD. IAPD ↗
42
JW NOVA WEALTH PARTNERS — notice-filed in NJ. IAPD ↗
40
BAY CAPITAL ADVISORS, LLC — filed an Item 4A succession naming BAY CAPITAL ADVISORS, LLC (CRD 140796) — an entity change, not a deal. IAPD ↗
40
CABLE CAR CAPITAL, LP — filed an Item 4A succession naming CABLE CAR CAPITAL LLC (CRD 169234) — an entity change, not a deal. IAPD ↗
40
KENNEDY WEALTH & TAX MANAGEMENT, LLC — filed an Item 4A succession naming KENNEDY WEALTH AND TAX MANAGEMENT, INC. (CRD 172394) — an entity change, not a deal. IAPD ↗
40
DOLAN CAPITAL ADVISORS, LLC — filed an Item 4A succession naming DOLAN FAMILY, INC. (CRD 269886) — an entity change, not a deal. IAPD ↗
40
MISSION FINANCIAL GROUP, LLC — filed an Item 4A succession naming MISSION FINANCIAL GROUP, LLC (CRD 311876) — an entity change, not a deal. IAPD ↗
85
SARMAYA PARTNERS, LLC — (SAN ANTONIO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
ICAPITAL FUND ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps. IAPD ↗institutional
85
ISHARA INVESTMENTS LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $28.0M RAUM and 2 advisory reps. IAPD ↗institutional
85
HIGHLINE ASSET MANAGEMENT, LLC — (SHERMAN OAKS, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
I SQUARED CAPITAL REGISTERED ADVISOR LLC — (MIAMI, FL) is newly SEC-registered with $0 RAUM and 196 advisory reps. IAPD ↗institutional
85
CORINTHIA GLOBAL MANAGEMENT — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
HKW MANAGEMENT, LLC — (INDIANAPOLIS, IN) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
HUNTER PRIVATE CAPITAL ADVISORS, LLC — (PITTSBURGH, PA) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
NEWMILE CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
SUMMITTX CAPITAL, L.P. — (FORT WORTH, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 39 advisory reps. IAPD ↗institutional
85
ANCALA PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
BALANCE CASH MANAGEMENT INC. — (SAN FRANCISCO, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
85
TESSELLIS CAPITAL MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
NIGHT SQUARED LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗institutional
85
ELDRIDGE GP1 ADVISERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 20 advisory reps. IAPD ↗institutional
85
EYRE STREET CAPITAL — (WASHINGTON, DC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
SENIORS HOUSING FUND MANAGER LLC — (TOLEDO, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps. IAPD ↗institutional
85
GROWTH LENDING LLC — (ROSWELL, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
WEDBUSH FUND ADVISERS, LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
WESTMARK WEALTH MANAGEMENT — (PHOENIX, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
85
VALEO VENTURES — (location n/a) is newly SEC-registered with $126.8M RAUM and 2 advisory reps. IAPD ↗institutional
85
RANGE ROCK CAPITAL — (WELLESLEY, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
STROBE VENTURES — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
SQ CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
NASSAU CORAMERICA LLC — (EL SEGUNDO, CA) is newly SEC-registered (provisional 120-day approval) with $3.30B RAUM and 6 advisory reps. IAPD ↗fund
83
PROEM ADVISORS LLC — (DALLAS, TX) is newly SEC-registered with $259.2M RAUM and 3 advisory reps. IAPD ↗fund
83
WASATCH EQUITY PARTNERS — (LOGAN, UT) is newly SEC-registered with $311.5M RAUM and 5 advisory reps. IAPD ↗fund
83
ION PACIFIC, INC. — (VENICE, CA) is newly SEC-registered with $446.0M RAUM and 3 advisory reps. IAPD ↗fund
83
MOONTOWER ASSET MANAGEMENT LP — (AUSTIN, TX) is newly SEC-registered with $400.2M RAUM and 8 advisory reps. IAPD ↗fund
83
WAYPOINT CAPITAL PARTNERS, LLC — (STAMFORD, CT) is newly SEC-registered with $256.5M RAUM and 6 advisory reps. IAPD ↗fund
80
GOODLANDER INVESTMENT MANAGEMENT, LLC — (DALLAS, TX) is newly SEC-registered with $248.9M RAUM and 3 advisory reps. IAPD ↗fund
80
HOPLON ASSET MANAGEMENT, L.P. — (GREENWICH, CT) is newly SEC-registered with $126.3M RAUM and 5 advisory reps. IAPD ↗fund
80
WASATCH INVESTMENT FUND MANAGER, LLC — (LOGAN, UT) is newly SEC-registered with $167.2M RAUM and 1 advisory reps. IAPD ↗fund
80
CONGRUENCE CAPITAL, PB LLC — (LOS ANGELES, CA) is newly SEC-registered with $94.4M RAUM and 3 advisory reps. IAPD ↗fund
80
ATHIR CAPITAL LP — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗fund
80
NOVAWAVE CAPITAL — (PALO ALTO, CA) is newly SEC-registered with $80.0M RAUM and 7 advisory reps. IAPD ↗fund
80
THE CATALYST GROUP, INC. — (HOUSTON, TX) is newly SEC-registered with $227.4M RAUM and 4 advisory reps. IAPD ↗fund
80
RITHM CAPITAL ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗fund
75
70
LOUISBOURG INVESTMENTS — (DIEPPE, NEW BRUNSWICK, Canada) is newly SEC-registered with $1.82B RAUM and 12 advisory reps. IAPD ↗foreign
68
KINGS COURT CAPITAL PTE. LTD — (SINGAPORE, SINGAPORE, Singapore) is newly SEC-registered with $420.2M RAUM and 5 advisory reps. IAPD ↗foreign
65
INUKSHUK CAPITAL MANAGEMENT — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $73.9M RAUM and 2 advisory reps. IAPD ↗foreign
65
DELTROIT ASSET MANAGEMENT (UK) LLP — (LONDON, United Kingdom) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗foreign
65
65
63
63
FIELDVIEW CAPITAL MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
63
63
MANTEIO SCALABLE TECHNOLOGIES LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
60
60
60
60
60
59
58
58
58
58
57
57
56
56
55
55
55
55
55
55
55
55
53
53
45
THE VARIABLE ANNUITY LIFE INSURANCE COMPANY — 's Item 11 disclosure-reporting entries rose by 2 (44 -> 46). IAPD ↗institutional
45
APOLLO INVESTMENT MANAGEMENT, L.P. — 's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗institutional
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 3 (122 -> 125). IAPD ↗institutional
45
APOLLO CREDIT MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗institutional
45
APOLLO REAL ESTATE FUND ADVISER, LLC — 's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗institutional
45
FS/KKR ADVISOR, LLC — 's Item 11 disclosure-reporting entries rose by 4 (3 -> 7). IAPD ↗institutional
45
KKR REGISTERED ADVISOR LLC — 's Item 11 disclosure-reporting entries rose by 4 (3 -> 7). IAPD ↗institutional
45
SILVER POINT SPECIALTY CREDIT FUND MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗institutional
45
43
BMO CAPITAL MARKETS CORP. — 's Item 11 disclosure-reporting entries rose by 3 (34 -> 37). IAPD ↗institutional
43
APOLLO CAPITAL CREDIT ADVISER, LLC — 's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗institutional
43
ALPINVEST PRIVATE EQUITY INVESTMENT MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
43
APOLLO MANAGER, LLC — 's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗institutional
40
40
40
APOLLO CAPITAL MANAGEMENT, L.P. — 's Item 11 disclosure-reporting entries rose by 3 (5 -> 8). IAPD ↗fund
40
KOHLBERG KRAVIS ROBERTS & CO. L.P. — 's Item 11 disclosure-reporting entries rose by 7 (3 -> 10). IAPD ↗fund
40
KKR CREDIT ADVISORS (US) LLC — 's Item 11 disclosure-reporting entries rose by 4 (3 -> 7). IAPD ↗fund
40
40
GLOBAL INFRASTRUCTURE MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 13 (3 -> 16). IAPD ↗fund
40
40
CARLYLE GLOBAL CREDIT INVESTMENT MANAGEMENT L.L.C. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
40
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 1 (128 -> 129). IAPD ↗institutional
40
40
APOLLO S3 RIC MANAGEMENT, L.P. — 's Item 11 disclosure-reporting entries rose by 3 (2 -> 5). IAPD ↗institutional
40
40
40
38
38
KUDU INVESTMENT HOLDINGS, LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
38
GREENHAVEN ROAD INVESTMENT MANAGEMENT, LP — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗fund
38
38
38
37
37
37
35
35
CAXTON ASSOCIATES (USA) LLC — filed an Item 4A succession naming CAXTON ASSOCIATES LP (CRD 132823) — an entity change, not a deal. IAPD ↗institutional
35
35
32
32
32
32
32
32
32
32
32
32
32
32
30
SHOREVIEW INDUSTRIES II, LLC — filed an Item 4A succession naming SHOREVIEW INDUSTRIES II, LLC (CRD 156686) — an entity change, not a deal. IAPD ↗fund
30
30
27
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 3 (122 -> 125). IAPD ↗foreign
25
CIBC ASSET MANAGEMENT INC. — 's Item 11 disclosure-reporting entries rose by 3 (12 -> 15). IAPD ↗foreign
25
DIMENSIONAL FUND ADVISORS LTD — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗foreign
25
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (121 -> 124). IAPD ↗foreign
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (123 -> 126). IAPD ↗foreign
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (123 -> 126). IAPD ↗foreign
25
25
KKR CREDIT ADVISORS (SINGAPORE) PTE. LTD. — 's Item 11 disclosure-reporting entries rose by 4 (3 -> 7). IAPD ↗foreign
19
19
17
14
14
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.