Compliance — March 2025
Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).
939 firms opened this window in the March 2025 SEC roster: 423 state expansion, 147 headcount up, 114 new registration, 86 custody started, 58 aum crossed 1b, 50 disclosure added, 35 pending approved, 15 private funds started, 7 wrap program started, 4 reorganization.
98
WILLS FINANCIAL GROUP, LLC — (RICHMOND, VA) is newly SEC-registered with $362.1M RAUM and 4 advisory reps. IAPD ↗
95
VORPAHL WING SECURITIES, INC. — (SPOKANE, WA) is newly SEC-registered with $107.0M RAUM and 4 advisory reps. IAPD ↗
95
PARAGON ASSET MANAGEMENT INC. — (ORINDA, CA) is newly SEC-registered with $110.7M RAUM and 1 advisory reps. IAPD ↗
95
TRIDENT ADVISORS INC — (DOYLESTOWN, PA) is newly SEC-registered with $100.1M RAUM and 2 advisory reps. IAPD ↗
95
FIRST AND MAIN FINANCIAL — (location n/a) is newly SEC-registered with $142.3M RAUM and 3 advisory reps. IAPD ↗
95
ABEL FINANCIAL MANAGEMENT CO. — (location n/a) is newly SEC-registered with $105.6M RAUM and 2 advisory reps. IAPD ↗
95
TWENTY TWENTY INVESTMENT ADVISORS, LLC — (location n/a) is newly SEC-registered with $123.4M RAUM and 3 advisory reps. IAPD ↗
95
MOORE FINANCIAL ADVISORS, LTD. — (BELMONT, MA) is newly SEC-registered with $108.9M RAUM and 3 advisory reps. IAPD ↗
95
BEANTOWN FINANCIAL ADVISORS LLC — (location n/a) is newly SEC-registered with $137.0M RAUM and 1 advisory reps. IAPD ↗
95
JMH WEALTH MANAGEMENT, LLC — (HANOVER, NH) is newly SEC-registered with $113.7M RAUM and 2 advisory reps. IAPD ↗
95
DECISION INVESTMENTS, INC. — (SAN DIEGO, CA) is newly SEC-registered with $131.8M RAUM and 2 advisory reps. IAPD ↗
95
HUNTER STREET INVESTMENT ADVISORS LLC — (APEX, NC) is newly SEC-registered with $112.0M RAUM and 8 advisory reps. IAPD ↗
95
HEPWORTH EQUITY PARTNERS, LLC — (WOLFEBORO, NH) is newly SEC-registered with $120.0M RAUM and 2 advisory reps. IAPD ↗
95
BANNERSTONE CAPITAL — (WAYZATA, MN) is newly SEC-registered with $141.1M RAUM and 3 advisory reps. IAPD ↗
95
TARHEEL ADVISORS, LLC — (GREENSBORO, NC) is newly SEC-registered with $117.6M RAUM and 2 advisory reps. IAPD ↗
95
SPARROW WEALTH MANAGEMENT — (ORLANDO, FL) is newly SEC-registered with $117.9M RAUM and 1 advisory reps. IAPD ↗
95
CORE PLANNING — (ST. LOUIS, MO) is newly SEC-registered with $62.3M RAUM and 32 advisory reps. IAPD ↗
95
WACKER & ASSOCIATES, INC. — (JACKSON, MN) is newly SEC-registered with $141.7M RAUM and 2 advisory reps. IAPD ↗
95
KASSIRA WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $107.5M RAUM and 2 advisory reps. IAPD ↗
95
ARK ADVISORS LLC — (BLOOMINGTON, IL) is newly SEC-registered with $170.3M RAUM and 2 advisory reps. IAPD ↗
95
THE SHER WEALTH MANAGEMENT GROUP — (NEEDHAM, MA) is newly SEC-registered with $129.6M RAUM and 2 advisory reps. IAPD ↗
95
REVO FINANCIAL, LLC — (location n/a) is newly SEC-registered with $118.6M RAUM and 3 advisory reps. IAPD ↗
95
STRIVUS WEALTH PARTNERS LLC — (JACKSONVILLE BEACH, FL) is newly SEC-registered with $139.3M RAUM and 3 advisory reps. IAPD ↗
95
EMERALD ASSET MANAGEMENT, INC. — (ROCKY MOUNT, NC) is newly SEC-registered with $110.4M RAUM and 1 advisory reps. IAPD ↗
95
RAI WEALTH MANAGEMENT — (PLACENTIA, CA) is newly SEC-registered with $107.7M RAUM and 3 advisory reps. IAPD ↗
95
GA PINCUS FUNDS, LLC — (location n/a) is newly SEC-registered with $57.4M RAUM and 1 advisory reps. IAPD ↗
95
DERIVE WEALTH — (PASADENA, CA) is newly SEC-registered with $112.6M RAUM and 1 advisory reps. IAPD ↗
95
VILLANOVA INVESTMENT MANAGEMENT COMPANY, LLC — (WAYNE, PA) is newly SEC-registered with $124.2M RAUM and 3 advisory reps. IAPD ↗
95
BOLT FINANCIAL GROUP, INC — (WORTHINGTON, OH) is newly SEC-registered with $107.6M RAUM and 4 advisory reps. IAPD ↗
95
LIFEPOINT PLANNING — (SCHAUMBURG, IL) is newly SEC-registered with $118.9M RAUM and 3 advisory reps. IAPD ↗
95
BENCHMARK FINANCIAL, LLC — (GREENVILLE, DE) is newly SEC-registered with $100.3M RAUM and 3 advisory reps. IAPD ↗
95
OUI FINANCIAL — (location n/a) is newly SEC-registered with $101.4M RAUM and 3 advisory reps. IAPD ↗
95
PLUS GROUP WEALTH ADVISORS, LLC — (BELGIUM, WI) is newly SEC-registered with $137.1M RAUM and 3 advisory reps. IAPD ↗
95
WRIGHT WEALTH STRATEGIES, LLC — (SAN LUIS OBISPO, CA) is newly SEC-registered with $127.6M RAUM and 1 advisory reps. IAPD ↗
95
21 WEST WEALTH MANAGEMENT LLC — (TUSTIN, CA) is newly SEC-registered with $106.9M RAUM and 2 advisory reps. IAPD ↗
95
ARBORFI ADVISORS, LLC — (ANN ARBOR, MI) is newly SEC-registered with $114.2M RAUM and 2 advisory reps. IAPD ↗
95
EUDAIMONIA WEALTH — (BUFFALO, NY) is newly SEC-registered with $28.5M RAUM and 1 advisory reps. IAPD ↗
95
OPTIMA CAPITAL MANAGEMENT — (TEMPE, AZ) is newly SEC-registered with $116.5M RAUM and 4 advisory reps. IAPD ↗
95
CORAL WEALTH MANAGEMENT, LLC — (MIAMI, FL) is newly SEC-registered with $104.1M RAUM and 1 advisory reps. IAPD ↗
95
CHESTNUT STREET INVESTMENT COUNSEL, LLC — (LANCASTER, PA) is newly SEC-registered with $104.1M RAUM and 3 advisory reps. IAPD ↗
95
HARBOR HILLS FINANCIAL ADVISORS — (MONTECITO, CA) is newly SEC-registered with $116.0M RAUM and 3 advisory reps. IAPD ↗
95
ALTAMIRA FINANCIAL GROUP, LLC — (SANTA FE, NM) is newly SEC-registered with $115.9M RAUM and 3 advisory reps. IAPD ↗
95
PLAN2THRIVE FINANCIAL — (ELDRIDGE, IA) is newly SEC-registered with $119.3M RAUM and 5 advisory reps. IAPD ↗
95
CALCULATED WEALTH — (MADISON, WI) is newly SEC-registered with $129.0M RAUM and 4 advisory reps. IAPD ↗
95
TSG ALPHA PARTNERS, LLC — (RONKONKOMA, NY) is newly SEC-registered with $74.5M RAUM and 6 advisory reps. IAPD ↗
95
VERUS WEALTH MANAGEMENT — (DE PERE, WI) is newly SEC-registered with $117.6M RAUM and 1 advisory reps. IAPD ↗
95
HOBBS WEALTH MANAGEMENT — (ZIONSVILLE, IN) is newly SEC-registered with $116.5M RAUM and 1 advisory reps. IAPD ↗
95
PLAN TO PROSPER WEALTH MANAGEMENT — (ORMOND BEACH, FL) is newly SEC-registered with $149.1M RAUM and 1 advisory reps. IAPD ↗
95
95
SOUND ADVISORY — (location n/a) is newly SEC-registered with $69.9M RAUM and 5 advisory reps. IAPD ↗
95
AVISE FINANCIAL — (LOS ANGELES, CA) is newly SEC-registered with $125.9M RAUM and 4 advisory reps. IAPD ↗
95
BALANCE WEALTH — (COLUMBUS, OH) is newly SEC-registered with $187.6M RAUM and 4 advisory reps. IAPD ↗
95
AVIATOR'S WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BLUE DIAMOND CAPITAL INVESTMENT ADVISORS — (PROVO, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
ELITE WEALTH MANAGEMENT, INC. — (PLOVER, WI) is newly SEC-registered with $153.4M RAUM and 4 advisory reps. IAPD ↗
95
HONEOYE FALLS CAPITAL LLC — (HONEOYE FALLS, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MADRID WEALTH MANAGEMENT — (ALBUQUERQUE, NM) is newly SEC-registered with $127.3M RAUM and 2 advisory reps. IAPD ↗
95
COQUINA PRIVATE WEALTH ADVISORS — (PORT CHARLOTTE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
PROSPER PRIVATE WEALTH — (MESA, AZ) is newly SEC-registered with $112.7M RAUM and 3 advisory reps. IAPD ↗
95
STATERA WEALTH MANAGEMENT — (ST. GEORGE, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
MATTERS CAPITAL LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
SANTARA WEALTH MANAGEMENT LLC — (SAN DIEGO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
95
PARKWAY WEALTH MANAGEMENT GROUP, LLC — (PLANO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 16 advisory reps. IAPD ↗
95
BASECAMP WEALTH ADVISORS, LLC — (BELLEVUE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
ARGO WEALTH ADVISORY, LLC — (VIENNA, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ANCHOR POINT FINANCIAL — (BAKERSFIELD, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SYNERGY CAPITAL — (FORT COLLINS, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
EXPATRIATE FINANCIAL STRATEGIES LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
ILLUMINATE — (location n/a) is newly SEC-registered (provisional 120-day approval) with $600 RAUM and 1 advisory reps. IAPD ↗
95
CAPSTONE RIA — (BELLINGHAM, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PRESINT ASSET MANAGEMENT, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
STEADTRUST — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BETTEREDGE CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $75.0M RAUM and 1 advisory reps. IAPD ↗
95
NJORD CAPITAL, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PERSIMMON CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ARROW INVESTMENT MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
RIVER CRESCENT ADVISORS, LLC — (SUFFOLK, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
STORGATE, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WILKERSON ADVISORY GROUP LLC — (COLUMBIA, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
TRUMAN WEALTH ADVISORS — (COLUMBIA, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
EXCELSIOR ADVISOR NETWORK LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ANGLIN INVESTMENT PARTNERS, LLC — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
AP INVESTMENT MANAGEMENT — (MOUNTAIN VIEW, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BRANCHES + ROOTS INVESTMENT MANAGEMENT — (SARATOGA SPRINGS, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PRAESTANTIA CAPITAL, LLC — (SAN ANTONIO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
LIGHTCAP FINANCIAL GROUP, LLC — (SAN DIEGO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BRAYPARK WEALTH MANAGEMENT — (COSTA MESA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
ASSOCIATED INVESTMENT SERVICES, INC. — crossed $1B in regulatory AUM ($862.6M -> $1.00B). IAPD ↗
85
FLAGSTAR ADVISORS, INC. — crossed $1B in regulatory AUM ($966.7M -> $1.16B). IAPD ↗
85
ARTHUR M. COHEN & ASSOCIATES LLC — crossed $1B in regulatory AUM ($853.0M -> $1.02B). IAPD ↗
85
TD CAPITAL MANAGEMENT LLC — crossed $1B in regulatory AUM ($971.0M -> $1.09B). IAPD ↗
85
JACOBS & COMPANY, LLC — crossed $1B in regulatory AUM ($994.0M -> $1.10B). IAPD ↗
85
HCM WEALTH ADVISORS — crossed $1B in regulatory AUM ($909.1M -> $1.08B). IAPD ↗
85
AMERICAN FINANCIAL ADVISORS INC — crossed $1B in regulatory AUM ($887.2M -> $1.04B). IAPD ↗
85
COVENANT PARTNERS, LLC — crossed $1B in regulatory AUM ($944.0M -> $1.01B). IAPD ↗
85
CONSOLIDATED PORTFOLIO REVIEW CORP — crossed $1B in regulatory AUM ($905.6M -> $1.29B). IAPD ↗
85
AMB WEALTH, LLC — crossed $1B in regulatory AUM ($848.0M -> $1.01B). IAPD ↗
85
SC&H WEALTH — crossed $1B in regulatory AUM ($908.9M -> $1.13B). IAPD ↗
85
ROBLE, BELKO AND COMPANY, INC. — crossed $1B in regulatory AUM ($953.2M -> $1.08B). IAPD ↗
85
BERKSHIRE MONEY MANAGEMENT, INC. — crossed $1B in regulatory AUM ($903.8M -> $1.08B). IAPD ↗
85
SILICON VALLEY CAPITAL PARTNERS, L.P. — crossed $1B in regulatory AUM ($860.4M -> $1.08B). IAPD ↗
85
BARON SILVER STEVENS FINANCIAL ADVISORS, LLC — crossed $1B in regulatory AUM ($866.2M -> $1.01B). IAPD ↗
85
J.J. BURNS & COMPANY — crossed $1B in regulatory AUM ($885.3M -> $1.07B). IAPD ↗
85
BARTON INVESTMENT MANAGEMENT, LLC — crossed $1B in regulatory AUM ($846.2M -> $1.00B). IAPD ↗
85
LJI WEALTH MANAGEMENT, LLC — crossed $1B in regulatory AUM ($853.2M -> $1.07B). IAPD ↗
85
PRAIRIEVIEW PARTNERS, LLC — crossed $1B in regulatory AUM ($949.0M -> $1.09B). IAPD ↗
85
ALPHA ARCHITECT — crossed $1B in regulatory AUM ($711.7M -> $7.27B). IAPD ↗
85
WELLSPRING FINANCIAL PARTNERS — crossed $1B in regulatory AUM ($832.9M -> $1.02B). IAPD ↗
85
ALLIED INVESTMENT ADVISORS LLC — crossed $1B in regulatory AUM ($911.8M -> $1.13B). IAPD ↗
85
LINDEN GLOBAL STRATEGIES LLC — crossed $1B in regulatory AUM ($746.7M -> $1.31B). IAPD ↗
85
IRONSIDES ASSET ADVISORS, LLC — crossed $1B in regulatory AUM ($827.0M -> $1.26B). IAPD ↗
85
ARCHFORD CAPITAL STRATEGIES, LLC — crossed $1B in regulatory AUM ($971.5M -> $1.28B). IAPD ↗
85
IRONVINE CAPITAL PARTNERS, LLC — crossed $1B in regulatory AUM ($942.6M -> $1.10B). IAPD ↗
85
ONE WEALTH ADVISORS, LLC — crossed $1B in regulatory AUM ($841.6M -> $1.05B). IAPD ↗
85
B.O.S.S. RETIREMENT ADVISORS, LLC — crossed $1B in regulatory AUM ($764.0M -> $1.06B). IAPD ↗
85
AUTUMN LANE ADVISORS, LLC — crossed $1B in regulatory AUM ($968.9M -> $1.06B). IAPD ↗
85
CLEVELAND WEALTH, LLC — crossed $1B in regulatory AUM ($767.8M -> $1.01B). IAPD ↗
85
LEXAURUM ADVISORS — crossed $1B in regulatory AUM ($784.2M -> $1.01B). IAPD ↗
85
STRATEGIC WEALTH GROUP — crossed $1B in regulatory AUM ($932.4M -> $1.04B). IAPD ↗
85
NORTHSTAR FIDUCIARY PARTNERS, LLC — crossed $1B in regulatory AUM ($771.7M -> $1.15B). IAPD ↗
85
HAVEN GLOBAL PARTNERS, LLC — crossed $1B in regulatory AUM ($893.6M -> $1.19B). IAPD ↗
85
PAUL R. RIED FINANCIAL GROUP, LLC — crossed $1B in regulatory AUM ($980.7M -> $1.06B). IAPD ↗
85
ELLSWORTH ADVISORS, LLC — crossed $1B in regulatory AUM ($913.6M -> $1.19B). IAPD ↗
85
CURATED WEALTH PARTNERS, LLC — crossed $1B in regulatory AUM ($966.0M -> $1.45B). IAPD ↗
85
LIVE OAK PRIVATE WEALTH, LLC — crossed $1B in regulatory AUM ($951.6M -> $1.07B). IAPD ↗
85
KWB WEALTH — crossed $1B in regulatory AUM ($853.9M -> $1.01B). IAPD ↗
85
STEPHENS CONSULTING, LLC — crossed $1B in regulatory AUM ($918.4M -> $1.07B). IAPD ↗
85
TRG INVESTMENT ADVISORS, LLC — crossed $1B in regulatory AUM ($913.0M -> $1.11B). IAPD ↗
85
QUANTUM FINANCIAL ADVISORS, LLC — crossed $1B in regulatory AUM ($972.2M -> $1.23B). IAPD ↗
85
AB2 CAPITAL PARTNERS LLC — crossed $1B in regulatory AUM ($947.9M -> $1.02B). IAPD ↗
85
LRI INVESTMENTS — crossed $1B in regulatory AUM ($932.9M -> $1.13B). IAPD ↗
85
THE NORDEN GROUP LLC — crossed $1B in regulatory AUM ($987.2M -> $1.74B). IAPD ↗
85
PORTSIDE WEALTH GROUP, LLC — crossed $1B in regulatory AUM ($884.8M -> $1.13B). IAPD ↗
85
DIVERSIFY WEALTH MANAGEMENT, LLC — crossed $1B in regulatory AUM ($458.1M -> $2.29B). IAPD ↗
85
EDWARD JONES — grew from 21219 to 22226 advisory reps. IAPD ↗
85
AEGIS CAPITAL CORP. — grew from 63 to 90 advisory reps. IAPD ↗
85
CITIZENS SECURITIES, INC. — grew from 380 to 400 advisory reps. IAPD ↗
85
CREATIVE PLANNING — grew from 1210 to 1319 advisory reps. IAPD ↗
85
TRANSAMERICA RETIREMENT ADVISORS, LLC — grew from 126 to 159 advisory reps. IAPD ↗
85
FISHER INVESTMENTS — grew from 1613 to 1869 advisory reps. IAPD ↗
85
SEQUOIA FINANCIAL GROUP, L.L.C. — grew from 144 to 168 advisory reps. IAPD ↗
85
SCS CAPITAL MANAGEMENT LLC — grew from 45 to 78 advisory reps. IAPD ↗
85
MERIT FINANCIAL ADVISORS — grew from 117 to 144 advisory reps. IAPD ↗
85
AVIOR WEALTH MANAGEMENT, LLC — grew from 97 to 113 advisory reps. IAPD ↗
85
FOCUS PARTNERS WEALTH, LLC — grew from 730 to 765 advisory reps. IAPD ↗
85
HOMRICH BERG — grew from 80 to 95 advisory reps. IAPD ↗
85
LRI INVESTMENTS — grew from 12 to 29 advisory reps. IAPD ↗
84
TCI WEALTH ADVISORS, INC. — grew from 27 to 41 advisory reps. IAPD ↗
82
CX INSTITUTIONAL, LLC — grew from 47 to 59 advisory reps. IAPD ↗
81
NORTHROCK PARTNERS, LLC — grew from 39 to 50 advisory reps. IAPD ↗
81
CLEAR CREEK FINANCIAL MANAGEMENT, LLC — grew from 35 to 46 advisory reps. IAPD ↗
80
BROOKSTONE WEALTH ADVISORS, LLC — grew from 225 to 244 advisory reps. IAPD ↗
80
KINGSVIEW WEALTH MANAGEMENT, LLC — grew from 85 to 95 advisory reps. IAPD ↗
79
SAX WEALTH ADVISORS, LLC — grew from 15 to 24 advisory reps. IAPD ↗
79
GOLDEN RESERVE RETIREMENT, LLC — grew from 6 to 17 advisory reps. IAPD ↗
79
THE NORDEN GROUP LLC — grew from 12 to 21 advisory reps. IAPD ↗
78
BRADLEY FOSTER & SARGENT INC — grew from 17 to 25 advisory reps. IAPD ↗
77
CORDA INVESTMENT MANAGEMENT, LLC — grew from 18 to 25 advisory reps. IAPD ↗
76
COOPER MCMANUS — grew from 38 to 44 advisory reps. IAPD ↗
76
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC — grew from 118 to 124 advisory reps. IAPD ↗
76
ELWOOD & GOETZ — grew from 18 to 26 advisory reps. IAPD ↗
76
BANKERS LIFE ADVISORY SERVICES, INC. — grew from 378 to 384 advisory reps. IAPD ↗
76
LIFEWORKS ADVISORS, LLC — grew from 25 to 33 advisory reps. IAPD ↗
76
OCTAVIA WEALTH ADVISORS LLC — grew from 28 to 34 advisory reps. IAPD ↗
75
PINKERTON WEALTH PARTNERS — grew from 12 to 17 advisory reps. IAPD ↗
75
B.O.S.S. RETIREMENT ADVISORS, LLC — grew from 36 to 41 advisory reps. IAPD ↗
75
AWH FINANCIAL, LLC — grew from 34 to 44 advisory reps. IAPD ↗
75
TEAM HEWINS, LLC — grew from 13 to 18 advisory reps. IAPD ↗
75
CORNERSTONE PLANNING GROUP — grew from 8 to 15 advisory reps. IAPD ↗
75
PINE GROVE FINANCIAL GROUP — grew from 8 to 13 advisory reps. IAPD ↗
75
MORAN WEALTH MANAGEMENT, LLC — grew from 26 to 31 advisory reps. IAPD ↗
75
CONCURRENT INVESTMENT ADVISORS, LLC — grew from 132 to 137 advisory reps. IAPD ↗
75
SPARTAN WEALTH MANAGEMENT — grew from 8 to 15 advisory reps. IAPD ↗
75
WGI DM, LLC — 's provisional registration is now fully approved. IAPD ↗
75
MUZINICH & CO., INC. — now reports 1 private fund(s) ($50.1M gross). IAPD ↗
75
NORTHROCK PARTNERS, LLC — now reports 1 private fund(s) ($0 gross). IAPD ↗
75
WGI DM, LLC — now reports 2 private fund(s) ($1.11B gross). IAPD ↗
74
FALCON WEALTH PLANNING, INC. — grew from 18 to 22 advisory reps. IAPD ↗
74
SAGE MOUNTAIN ADVISORS, LLC — grew from 12 to 16 advisory reps. IAPD ↗
74
THE LIFE WEALTH GROUP — grew from 0 to 9 advisory reps. IAPD ↗
73
GREENWOOD GEARHART INC. — grew from 8 to 11 advisory reps. IAPD ↗
73
NADLER FINANCIAL GROUP, INC. — grew from 13 to 16 advisory reps. IAPD ↗
73
ONE WEALTH ADVISORS, LLC — grew from 9 to 12 advisory reps. IAPD ↗
73
MIDWEST FINANCIAL PARTNERS — grew from 6 to 9 advisory reps. IAPD ↗
73
CHICAGO CAPITAL, LLC — grew from 10 to 13 advisory reps. IAPD ↗
73
CANOPY WEALTH MANAGEMENT — grew from 10 to 13 advisory reps. IAPD ↗
73
SPARTAN WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
73
INDIVISIBLE PARTNERS — 's provisional registration is now fully approved. IAPD ↗
73
1808 CAPITAL PARTNERS — 's provisional registration is now fully approved. IAPD ↗
73
FPNAVIGATORS — 's provisional registration is now fully approved. IAPD ↗
73
PITCAIRN WEALTH ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
73
CHICAGO OAKBROOK FINANCIAL GROUP — 's provisional registration is now fully approved. IAPD ↗
73
HEWELL FINANCIAL GROUP, INC. — 's provisional registration is now fully approved. IAPD ↗
73
PIEDMONT WEALTH ADVISORY — 's provisional registration is now fully approved. IAPD ↗
73
DURATION ASSET MANAGEMENT, LLC — now reports 1 private fund(s) ($319.1M gross). IAPD ↗
73
ARGENTARII, LLC — now reports 2 private fund(s) ($9.8M gross). IAPD ↗
72
BROOKER WEALTH MANAGEMENT — grew from 3 to 7 advisory reps. IAPD ↗
72
THE HARBOR GROUP, INC. — grew from 7 to 9 advisory reps. IAPD ↗
72
SHEETS SMITH WEALTH MANAGEMENT — grew from 10 to 12 advisory reps. IAPD ↗
72
KEELER THOMAS MANAGEMENT LLC — grew from 5 to 9 advisory reps. IAPD ↗
72
HOLLAND ADVISORY SERVICES, INC. — grew from 7 to 11 advisory reps. IAPD ↗
72
TRIANGLE WEALTH MANAGEMENT — grew from 9 to 11 advisory reps. IAPD ↗
72
GARDE CAPITAL, INC. — grew from 9 to 11 advisory reps. IAPD ↗
72
WALKNER CONDON FINANCIAL ADVISORS LLC — grew from 9 to 13 advisory reps. IAPD ↗
72
INSPIRE INVESTING, LLC — grew from 2 to 4 advisory reps. IAPD ↗
72
PAUL R. RIED FINANCIAL GROUP, LLC — grew from 7 to 9 advisory reps. IAPD ↗
71
ARCHER INVESTMENT MANAGEMENT — grew from 2 to 5 advisory reps. IAPD ↗
71
MIRAMONTES CAPITAL, LLC — grew from 4 to 7 advisory reps. IAPD ↗
71
FLAGSTONE FINANCIAL MANAGEMENT, LLC — grew from 3 to 6 advisory reps. IAPD ↗
71
PRIVATE WEALTH SOLUTIONS, LLC — grew from 1 to 4 advisory reps. IAPD ↗
71
SANDBOX FINANCIAL PARTNERS, LLC — grew from 5 to 8 advisory reps. IAPD ↗
71
FOURPATH CAPITAL MANAGEMENT, LLC — grew from 3 to 6 advisory reps. IAPD ↗
71
ACORN CREEK CAPITAL LLC — grew from 3 to 6 advisory reps. IAPD ↗
71
EVERPAR ADVISORS LLC — grew from 5 to 8 advisory reps. IAPD ↗
71
ARGENTARII, LLC — grew from 2 to 5 advisory reps. IAPD ↗
70
RAMIREZ ASSET MANAGEMENT, INC. — now reports custody of client assets ($382.2M). IAPD ↗
70
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC — now reports custody of client assets ($5.31B). IAPD ↗
70
PROWELL FINANCIAL MANAGEMENT, LLC — now reports custody of client assets ($6.26B). IAPD ↗
70
AVESTAR CAPITAL, LLC — now reports custody of client assets ($30.6M). IAPD ↗
70
CHICAGO CAPITAL, LLC — now reports custody of client assets ($2.57B). IAPD ↗
70
WGI DM, LLC — now reports custody of client assets ($1.11B). IAPD ↗
70
RICHARDS MERRILL WEALTH MANAGEMENT — grew from 8 to 10 advisory reps. IAPD ↗
70
FIERSTON FINANCIAL GROUP INC — grew from 2 to 4 advisory reps. IAPD ↗
70
WINANS INVESTMENTS — grew from 2 to 4 advisory reps. IAPD ↗
70
PARAGON CAPITAL MANAGEMENT LLC — grew from 6 to 8 advisory reps. IAPD ↗
70
ALPHA CAPITAL MANAGEMENT — grew from 4 to 6 advisory reps. IAPD ↗
70
WORLEY ERHART-GRAVES FINANCIAL ADVISORS, INC. — grew from 9 to 11 advisory reps. IAPD ↗
70
SCOTT MARSH FINANCIAL, LLC — grew from 1 to 6 advisory reps. IAPD ↗
70
WEALTHEDGE INVESTMENT ADVISORS LLC — grew from 4 to 6 advisory reps. IAPD ↗
70
FINANCIAL LIFE ADVISORS — grew from 6 to 8 advisory reps. IAPD ↗
70
KEYES, STANGE & WOOTEN WEALTH MANAGEMENT, LLC — grew from 3 to 5 advisory reps. IAPD ↗
70
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC — grew from 5 to 7 advisory reps. IAPD ↗
70
BALLENTINE CAPITAL ADVISORS, INC. — grew from 3 to 5 advisory reps. IAPD ↗
70
PRECISION FINANCIAL SERVICES — grew from 9 to 11 advisory reps. IAPD ↗
70
FIRST FINANCIAL COACHING, INC. — grew from 8 to 10 advisory reps. IAPD ↗
70
BLACKHAWK CAPITAL PARTNERS, LLC — grew from 6 to 8 advisory reps. IAPD ↗
70
VERDAD ADVISERS, L.P. — grew from 4 to 6 advisory reps. IAPD ↗
70
DIVERSIFI CAPITAL LLC — grew from 7 to 9 advisory reps. IAPD ↗
70
PREMIA GLOBAL ADVISORS, LLC — grew from 1 to 3 advisory reps. IAPD ↗
70
SITRIN CAPITAL MANAGEMENT, LLC — grew from 4 to 6 advisory reps. IAPD ↗
70
MRA ADVISORY GROUP — grew from 6 to 8 advisory reps. IAPD ↗
70
ARKFELD WEALTH STRATEGIES, L.L.C. — grew from 3 to 5 advisory reps. IAPD ↗
70
CORDIS FINANCIAL, LLC — grew from 3 to 5 advisory reps. IAPD ↗
70
WEALTHBRIDGE CAPITAL MANAGEMENT, LLC — grew from 2 to 4 advisory reps. IAPD ↗
70
PROSPERITY PLANNING — grew from 8 to 10 advisory reps. IAPD ↗
70
MY PERSONAL CFO, LLC — grew from 1 to 3 advisory reps. IAPD ↗
70
LEGACY WEALTH MANAGEMENT, LLC — grew from 1 to 3 advisory reps. IAPD ↗
70
BOOKENDS FINANCIAL PLANNING — grew from 3 to 5 advisory reps. IAPD ↗
70
BROWN | MILLER WEALTH MANAGEMENT, LLC — grew from 7 to 9 advisory reps. IAPD ↗
70
RETIREMENT PLANNING GROUP, LLC — grew from 2 to 4 advisory reps. IAPD ↗
70
ROOTED WEALTH ADVISORS — grew from 5 to 7 advisory reps. IAPD ↗
70
ENVISION FINANCIAL LLC — grew from 2 to 4 advisory reps. IAPD ↗
70
SOLIDARITY WEALTH, LLC — grew from 7 to 9 advisory reps. IAPD ↗
70
SINGER WEALTH ADVISORS LLC — grew from 10 to 12 advisory reps. IAPD ↗
70
STONEBROOK PRIVATE LLC — grew from 2 to 4 advisory reps. IAPD ↗
70
TIDEMARK, LLC — grew from 6 to 8 advisory reps. IAPD ↗
70
INDIVISIBLE PARTNERS — grew from 1 to 3 advisory reps. IAPD ↗
70
FPNAVIGATORS — grew from 3 to 5 advisory reps. IAPD ↗
70
LATHROP INVESTMENT MANAGEMENT COMPANY — grew from 2 to 4 advisory reps. IAPD ↗
70
RIVERBEND WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
MUNIFI, LLC — 's provisional registration is now fully approved. IAPD ↗
70
WHITWELL ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
PLUM POINTE WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
STONEHAVEN WEALTH & TAX SOLUTIONS — 's provisional registration is now fully approved. IAPD ↗
70
THE LIFE WEALTH GROUP — 's provisional registration is now fully approved. IAPD ↗
70
LOOMIS CAPITAL MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
CATOCTIN RIDGE WEALTH PARTNER — 's provisional registration is now fully approved. IAPD ↗
70
GEN INVEST LLC — 's provisional registration is now fully approved. IAPD ↗
70
WEALTH INTELLIGENCE, LLC — 's provisional registration is now fully approved. IAPD ↗
70
TRITONPOINT PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
WALLEYE PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
70
PORTUS WEALTH ADVISORS, LLC — now reports 1 private fund(s) ($1.8M gross). IAPD ↗
70
ROCKBRIDGE CAPITAL MANAGEMENT — now reports 1 private fund(s) ($0 gross). IAPD ↗
70
BLUEHEEL LLC — now reports 2 private fund(s) ($134.3M gross). IAPD ↗
68
APC FINANCIAL PLANNING — now reports custody of client assets ($150.8M). IAPD ↗
68
OPTIMUM FINANCIAL SERVICES, LLC — now reports custody of client assets ($4.8M). IAPD ↗
68
TAYLOR FINANCIAL GROUP, INC. — now reports custody of client assets ($250,000). IAPD ↗
68
MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC — now reports custody of client assets ($322.2M). IAPD ↗
68
YOUR RETIREMENT COACH — now reports custody of client assets ($359.5M). IAPD ↗
68
SMITH ASSET MANAGEMENT CO., LLC — now reports custody of client assets ($135.4M). IAPD ↗
68
CAHILL WEALTH MANAGEMENT, LLC — now reports custody of client assets ($67.5M). IAPD ↗
68
IFRAH FINANCIAL SERVICES, INC. — now reports custody of client assets ($88.8M). IAPD ↗
68
FINANCIAL HARVEST WEALTH ADVISORS — now reports custody of client assets ($187.8M). IAPD ↗
68
SENECA FINANCIAL ADVISORS LLC — now reports custody of client assets ($14.4M). IAPD ↗
68
LEGACY FINANCIAL GROUP — now reports custody of client assets ($144.3M). IAPD ↗
68
BOSTON STANDARD WEALTH MANAGEMENT, LLC — now reports custody of client assets ($276.8M). IAPD ↗
68
ASPEN WEALTH MANAGEMENT — now reports custody of client assets ($590,448). IAPD ↗
68
WALKNER CONDON FINANCIAL ADVISORS LLC — now reports custody of client assets ($170.9M). IAPD ↗
68
HERITAGE WEALTH ARCHITECTS, INC. — now reports custody of client assets ($74.8M). IAPD ↗
68
TIM LOONEY INVESTMENTS, LLC — now reports custody of client assets ($7.7M). IAPD ↗
68
SUMMIT INVESTMENT ADVISORY SERVICES — now reports custody of client assets ($35.2M). IAPD ↗
68
UPSTART WEALTH MANAGEMENT, LLC — now reports custody of client assets ($84.8M). IAPD ↗
68
BEACON FINANCIAL PLANNING, INC — now reports custody of client assets ($10.6M). IAPD ↗
68
LATKO WEALTH MANAGEMENT, LTD. — now reports custody of client assets ($29.9M). IAPD ↗
68
INTEGRITY WEALTH SOLUTIONS LLC — now reports custody of client assets ($85.2M). IAPD ↗
68
MY PERSONAL CFO, LLC — now reports custody of client assets ($224.1M). IAPD ↗
68
EIGER WEALTH MANAGEMENT, LLC — now reports custody of client assets ($12.2M). IAPD ↗
68
BROWNLEE WEALTH MANAGEMENT — now reports custody of client assets ($31.2M). IAPD ↗
68
OLISTICO WEALTH, LLC — now reports custody of client assets ($63.9M). IAPD ↗
68
EATON FINANCIAL GROUP — now reports custody of client assets ($121.1M). IAPD ↗
68
PARK EDGE ADVISORS, LLC — now reports custody of client assets ($148.1M). IAPD ↗
68
THE PINES WEALTH MANAGEMENT, LLC — now reports custody of client assets ($287,807). IAPD ↗
68
ABOUND FINANCIAL — now reports custody of client assets ($605). IAPD ↗
68
SPARTAN WEALTH MANAGEMENT — now reports custody of client assets ($64.3M). IAPD ↗
68
MAY HILL CAPITAL, LLC — now reports custody of client assets ($132.4M). IAPD ↗
68
INDIVISIBLE PARTNERS — now reports custody of client assets ($200.9M). IAPD ↗
68
CHICAGO OAKBROOK FINANCIAL GROUP — now reports custody of client assets ($208.5M). IAPD ↗
68
PIEDMONT WEALTH ADVISORY — now reports custody of client assets ($100,000). IAPD ↗
68
LATHROP INVESTMENT MANAGEMENT COMPANY — now reports custody of client assets ($9.0M). IAPD ↗
68
ACCESS SOFTEK ADVISORY SERVICES — grew from 1 to 4 advisory reps. IAPD ↗
68
ELEVATION ADVISORY PARTNERS LLC — grew from 4 to 7 advisory reps. IAPD ↗
68
WINCAP FINANCIAL LLC — grew from 2 to 5 advisory reps. IAPD ↗
68
ZERO DAY CAPITAL ENTERPRISES LLC — grew from 7 to 10 advisory reps. IAPD ↗
68
WHITWELL ADVISORS — grew from 3 to 6 advisory reps. IAPD ↗
67
PORTFOLIO ADVISORS, INC. — grew from 3 to 5 advisory reps. IAPD ↗
67
MARTIN CAPITAL ADVISORS, LLP — grew from 8 to 10 advisory reps. IAPD ↗
67
QCA CAPITAL MANAGEMENT INC — grew from 2 to 4 advisory reps. IAPD ↗
67
BRADESCO GLOBAL ADVISORS — grew from 8 to 10 advisory reps. IAPD ↗
67
JH ADVISORS — grew from 2 to 4 advisory reps. IAPD ↗
67
COMMERCE ADVISORS, LLC — grew from 2 to 4 advisory reps. IAPD ↗
67
ISRAEL INVESTMENT ADVISORS, LLC — grew from 2 to 4 advisory reps. IAPD ↗
67
OAR FINANCIAL — grew from 2 to 4 advisory reps. IAPD ↗
67
COMMONS CAPITAL, LLC — grew from 4 to 6 advisory reps. IAPD ↗
67
FOUR POINTS ADVISORS, LLC — grew from 5 to 7 advisory reps. IAPD ↗
67
CYR FINANCIAL INC. — grew from 4 to 6 advisory reps. IAPD ↗
67
PFG PRIVATE WEALTH MANAGEMENT, LLC — grew from 6 to 8 advisory reps. IAPD ↗
67
GO WEALTH MANAGEMENT — grew from 7 to 9 advisory reps. IAPD ↗
67
DEAN WEALTH PARTNERS, LLC — grew from 1 to 3 advisory reps. IAPD ↗
67
CALDERWOOD FINANCIAL STRATEGIES, INC. — grew from 1 to 3 advisory reps. IAPD ↗
67
WAYSTONE ADVISORS LLC — grew from 2 to 4 advisory reps. IAPD ↗
67
PARK SQUARE FINANCIAL GROUP LLC — grew from 4 to 6 advisory reps. IAPD ↗
65
FOX FINANCIAL SERVICES, INC. — now reports custody of client assets ($1.9M). IAPD ↗
65
GORDIAN ADVISORS, LLC — now reports custody of client assets ($96.2M). IAPD ↗
65
AZNAR FINANCIAL ADVISORS, LLC — now reports custody of client assets ($77.8M). IAPD ↗
65
LIGHTHOUSE FINANCIAL MANAGEMENT, LLC — now reports custody of client assets ($11.9M). IAPD ↗
65
COMPASS FINANCIAL GROUP, INC. — now reports custody of client assets ($21.0M). IAPD ↗
65
PAULO FINANCIAL ADVISORS, LLC — now reports custody of client assets ($5.4M). IAPD ↗
65
BELLWETHER INVESTMENT GROUP, LLC — now reports custody of client assets ($803,785). IAPD ↗
65
GUARDIAN CAPITAL, LLC — now reports custody of client assets. IAPD ↗
65
WORTH ADVISORS — now reports custody of client assets ($28.7M). IAPD ↗
65
WEALTHTRAK ADVISORS — now reports custody of client assets ($61.5M). IAPD ↗
65
CAREY WEALTH MANAGEMENT — now reports custody of client assets ($148.8M). IAPD ↗
65
SVRN ASSET MANAGEMENT, LLC — now reports custody of client assets ($34.5M). IAPD ↗
65
BARKER WEALTH MANAGEMENT, LLC — now reports custody of client assets ($66.8M). IAPD ↗
65
ARBOR FINANCIAL — now reports custody of client assets ($59.0M). IAPD ↗
65
FOUR FINANCIAL MANAGEMENT — now reports custody of client assets ($13.2M). IAPD ↗
65
ELEVATE CAPITAL ADVISORS — now reports custody of client assets ($30.8M). IAPD ↗
65
VALUES ADDED FINANCIAL — now reports custody of client assets ($110.5M). IAPD ↗
65
RESERVOIR WEALTH MANAGEMENT — now reports custody of client assets ($72.2M). IAPD ↗
65
CATALYST INVESTMENT MANAGEMENT LLC — now reports custody of client assets ($54,069). IAPD ↗
65
ELEVATION ADVISORY PARTNERS LLC — now reports custody of client assets ($43.4M). IAPD ↗
65
ALPHA OMEGA FINANCIAL — now reports custody of client assets ($54.6M). IAPD ↗
65
RIVER CITY WEALTH MANAGEMENT — now reports custody of client assets ($56.2M). IAPD ↗
65
EQUITY WEALTH PARTNERS, LLC — now reports custody of client assets ($1.7M). IAPD ↗
65
MONTHIE WEALTH ADVISORS — now reports custody of client assets ($35.4M). IAPD ↗
65
POLARIS INVESTMENT ADVISORS, LLC — now reports custody of client assets ($14.0M). IAPD ↗
65
AIM ADVISORS, LLC — now reports custody of client assets ($36.7M). IAPD ↗
65
BLALOCK WILLIAMS, LLC — now reports custody of client assets ($897,675). IAPD ↗
65
LAKESHORE CAPITAL GROUP, INC. — now reports custody of client assets ($100.3M). IAPD ↗
65
MATRIARCH WEALTH MANAGEMENT, LLC — now reports custody of client assets ($8.9M). IAPD ↗
65
WAYSTONE ADVISORS LLC — now reports custody of client assets ($26.8M). IAPD ↗
65
ROXBURY FINANCIAL — now reports custody of client assets ($48.6M). IAPD ↗
65
BLUE JEAN FINANCIAL LLC — now reports custody of client assets ($7.2M). IAPD ↗
65
BLUEHEEL LLC — now reports custody of client assets ($134.3M). IAPD ↗
65
MARTINSEN WEALTH MANAGEMENT — now reports custody of client assets ($8.6M). IAPD ↗
65
VINCENT WEALTH ADVISORS LLC — now reports custody of client assets ($12.2M). IAPD ↗
65
WEALTH INTELLIGENCE, LLC — now reports custody of client assets ($348,462). IAPD ↗
65
VALOIR WEALTH LLC — now reports custody of client assets ($17.5M). IAPD ↗
65
WALLEYE PARTNERS LLC — now reports custody of client assets ($71.2M). IAPD ↗
65
GLOBAL TRUST WEALTH MANAGEMENT LLC — now reports custody of client assets ($91.1M). IAPD ↗
63
MUSTARD SEED WEALTH MANAGEMENT — began participating in a wrap-fee program. IAPD ↗
63
MRA ADVISORY GROUP — began participating in a wrap-fee program. IAPD ↗
63
STONEBROOK PRIVATE LLC — began participating in a wrap-fee program. IAPD ↗
60
TAGLICH BROTHERS, INC. — began participating in a wrap-fee program. IAPD ↗
60
SIGNATURE FINANCIAL SERVICES, LTD — began participating in a wrap-fee program. IAPD ↗
60
DAVID P. GILLIAM & ASSOCIATES, INC. — began participating in a wrap-fee program. IAPD ↗
60
CXI ADVISORS, LLC — began participating in a wrap-fee program. IAPD ↗
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 98 (112 -> 210). IAPD ↗
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 3 (334 -> 337). IAPD ↗
55
CITIGROUP GLOBAL MARKETS INC. — 's Item 11 disclosure-reporting entries rose by 2 (203 -> 205). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 3 (322 -> 325). IAPD ↗
55
AEGIS CAPITAL CORP. — 's Item 11 disclosure-reporting entries rose by 1 (35 -> 36). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 3 (657 -> 660). IAPD ↗
55
SANTANDER SECURITIES — 's Item 11 disclosure-reporting entries rose by 3 (23 -> 26). IAPD ↗
55
BLACKROCK ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (28 -> 30). IAPD ↗
55
VANGUARD ADVISERS, INC. — 's Item 11 disclosure-reporting entries rose by 5 (12 -> 17). IAPD ↗
55
BLACKROCK FINANCIAL MANAGEMENT, INC — 's Item 11 disclosure-reporting entries rose by 2 (40 -> 42). IAPD ↗
55
TRANSAMERICA RETIREMENT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 4 (1 -> 5). IAPD ↗
55
BLACKROCK CAPITAL MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 2 (31 -> 33). IAPD ↗
55
BLACKROCK INVESTMENT MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (27 -> 29). IAPD ↗
55
WESTERN ASSET MANAGEMENT COMPANY — 's Item 11 disclosure-reporting entries rose by 5 (3 -> 8). IAPD ↗
55
WELLS FARGO INVESTMENT INSTITUTE, INC. — 's Item 11 disclosure-reporting entries rose by 1 (88 -> 89). IAPD ↗
55
VANGUARD PERSONALIZED INDEXING MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 5 (10 -> 15). IAPD ↗
55
LRI INVESTMENTS — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
NORTHERN TRUST SECURITIES, INC — notice-filed in AK, AL, AR, DE, IA, ID, KS, MS, MT, ND, NE, NM, RI, SD, VI, WV, WY. IAPD ↗
55
CITY NATIONAL SECURITIES, INC. — notice-filed in ID, IL, IN, KS, MN, OK, PA, UT. IAPD ↗
55
GUYASUTA INVESTMENT ADVISORS, INCORPORATED — notice-filed in MA, ME, NY, OH, OR. IAPD ↗
55
SAX WEALTH ADVISORS, LLC — notice-filed in CO, DC, GA, IL, ME, OH. IAPD ↗
55
SCS CAPITAL MANAGEMENT LLC — notice-filed in AL, AZ, IN, KY, MS, NM, NV, OK. IAPD ↗
55
TRAJAN WEALTH, L.L.C. — notice-filed in AK, AL, CT, DC, DE, KS, KY, MA, MD, MS, NJ, OH, VT. IAPD ↗
53
WILLIAM HOWARD & CO. FINANCIAL ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
MCRAE CAPITAL MANAGEMENT INC. — notice-filed in CT, NH, UT, VT, WA. IAPD ↗
53
DIVERSIFIED MANAGEMENT INC — notice-filed in GA, MI, NY, OH. IAPD ↗
53
WESTWIND CAPITAL — notice-filed in FL, MA, NC, NE, NV. IAPD ↗
53
HALTER FERGUSON FINANCIAL INC — notice-filed in CO, IL, MI, NJ, TN, WA. IAPD ↗
53
OAKWOOD CAPITAL, INC. — notice-filed in DE, MD, NC, PA, VA. IAPD ↗
53
STRATEGIC FINANCIAL CONCEPTS, LLC — notice-filed in GA, HI, IL, IN, KS, KY, MA, MD, MI, NC, NE, NJ, NV, OH, OR, PA, SC. IAPD ↗
53
WISE WEALTH, LLC — notice-filed in AZ, DC, IL, NC, NY, PA. IAPD ↗
53
SAGEGUARD FINANCIAL GROUP, LLC — notice-filed in AL, AR, CA, CO, IL, IN, MN, NE, NY, OK, SC, SD, VA, WA. IAPD ↗
53
GUERRA WEALTH ADVISORS — notice-filed in CA, GA, LA, NC, NH, NJ, NY, TX. IAPD ↗
53
PAX FINANCIAL GROUP — notice-filed in AL, AZ, MI, MO, SC. IAPD ↗
53
INNOVATIVE WEALTH BUILDING LLC — notice-filed in CO, CT, GA, HI, NH, NJ, OH. IAPD ↗
53
GUIDANCE CAPITAL, INC. — notice-filed in IL, MD, MI, PA, SC. IAPD ↗
53
LRI INVESTMENTS — notice-filed in ID, IL, NJ, VA. IAPD ↗
53
COMMONWEALTH FINANCIAL SERVICES — notice-filed in CA, CO, KY, LA, MI, NY, TN. IAPD ↗
53
PROSPERA CAPITAL MANAGEMENT, LLC — notice-filed in CO, IL, LA, MD, MI, MN, MO, NY, OH, OR, SC, VA, WA. IAPD ↗
53
PRASAD WEALTH PARTNERS — notice-filed in CA, FL, NC, NY, TX. IAPD ↗
53
1808 CAPITAL PARTNERS — notice-filed in CA, FL, SC, TX, VA. IAPD ↗
51
GRIFFIN ASSET MANAGEMENT, LLC — notice-filed in NC, NH, OH, PA. IAPD ↗
51
TD CAPITAL MANAGEMENT LLC — notice-filed in LA, MD, SC. IAPD ↗
51
SC&H WEALTH — notice-filed in LA, NE, SC. IAPD ↗
51
EDGE FINANCIAL ADVISORS, LLC — notice-filed in LA, MI, OR, TX. IAPD ↗
51
REDHAWK WEALTH ADVISORS, INC. — notice-filed in AK, DC, SD. IAPD ↗
51
ALLIED INVESTMENT ADVISORS LLC — notice-filed in AK, ID, TN. IAPD ↗
51
SKINNER, COPPER & EHMEN WEALTH MANAGEMENT, LLC — notice-filed in AZ, MO, SC, TN. IAPD ↗
51
CLAYTON FINANCIAL GROUP, LLC — notice-filed in MN, UT, VA. IAPD ↗
51
WHITAKER-MYERS WEALTH MANAGERS, LTD. — notice-filed in MN, UT, VT, WI. IAPD ↗
51
NEW AGE ALPHA — notice-filed in FL, MA, PA. IAPD ↗
51
RSW INVESTMENTS — notice-filed in DE, MO, WY. IAPD ↗
51
ROSEMEYER MANAGEMENT GROUP — notice-filed in AZ, CA, MN, NE. IAPD ↗
51
SPARTAN WEALTH MANAGEMENT — notice-filed in FL, IL, NC, TX. IAPD ↗
50
CHARLES SCHWAB & CO., INC. — 's Item 11 disclosure-reporting entries rose by 3 (25 -> 28). IAPD ↗
50
THE QUICK GROUP LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
50
VISION RETIREMENT — notice-filed in CA, CO, LA, NC, PA. IAPD ↗
50
AWH FINANCIAL, LLC — notice-filed in DC, MD, VA, WA, WI. IAPD ↗
50
BUCKET LIST WEALTH MANAGEMENT, LLC — notice-filed in MA, NC, NY, PA, VA. IAPD ↗
50
CROSS BORDER WEALTH, LLC — notice-filed in AZ, GA, IL, MI, TN, WI. IAPD ↗
50
OATH PLANNING, LLC — notice-filed in FL, IA, IL, NC, NE, NY, OH. IAPD ↗
50
WFA OF SAN DIEGO — notice-filed in CA, FL, IL, NC, OH, TX, VA. IAPD ↗
50
ELEVATION ADVISORY PARTNERS LLC — notice-filed in AZ, CA, IA, LA, MO, NY, PA. IAPD ↗
50
NORTHSTAR INVESTMENT ADVISORY LLC — notice-filed in AR, DE, KY, MS, RI, WV. IAPD ↗
50
PUBLIC ADVISORS LLC. — notice-filed in AK, AL, AR, AZ, CA, 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, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
50
FUNDIFY ADVISORS LLC — notice-filed in AZ, CT, IA, IN, KS, KY, MA, ME, NM, NV, OK, OR, SD, WV. IAPD ↗
50
DIGITAL WEALTH PARTNERS — notice-filed in AL, AR, FL, HI, IA, ID, IL, KS, KY, MA, MD, ME, MI, MN, MO, MS, NJ, NM, NV, OH, OK, OR, RI, SC, TN, UT, VA, VT, WA, WI, WV. IAPD ↗
50
CATALYST WEALTH MANAGEMENT LLC — notice-filed in AL, CO, DC, KY, MA, NE, NM, TN. IAPD ↗
50
PARK SQUARE FINANCIAL GROUP LLC — notice-filed in FL, MD, NC, SC, TN. IAPD ↗
49
NORTHEAST INVESTMENT MANAGEMENT INC — notice-filed in NJ, OH. IAPD ↗
49
DIXON FINANCIAL SERVICES — notice-filed in AZ, NV, WA. IAPD ↗
49
AMERICAN MONEY MANAGEMENT, LLC — notice-filed in FL, MI, NJ. IAPD ↗
49
J.DEREK LEWIS & ASSOCIATES, INC. — notice-filed in AR, KY. IAPD ↗
49
HENNION & WALSH ASSET MANAGEMENT, INC. — notice-filed in DC, ID, ME. IAPD ↗
49
D'ORAZIO WEALTH ADVISORS — notice-filed in NJ, SC. IAPD ↗
49
HEADWATER INVESTMENT CONSULTING,INC. — notice-filed in AZ, ID, NV. IAPD ↗
49
CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC — notice-filed in CT, IL. IAPD ↗
49
J.J. BURNS & COMPANY — notice-filed in NV, PA. IAPD ↗
49
CALLAN CAPITAL, LLC — notice-filed in MD, MO. IAPD ↗
49
MACROVIEW INVESTMENT MANAGEMENT LLC — notice-filed in NC, NH, OH. IAPD ↗
49
AVEO CAPITAL PARTNERS, LLC — notice-filed in MT, NC. IAPD ↗
49
RADNOR CAPITAL MANAGEMENT, LLC — notice-filed in CA, CO, MD. IAPD ↗
49
INSPIRION WEALTH ADVISORS, LLC — notice-filed in TN, VA. IAPD ↗
49
KERBERROSE WEALTH MANAGEMENT, LLC — notice-filed in IL, KY, LA. IAPD ↗
49
PITZL FINANCIAL — notice-filed in CO, FL, WI. IAPD ↗
49
MIDWEST FINANCIAL PARTNERS — notice-filed in IN, WA. IAPD ↗
49
CLEVELAND WEALTH, LLC — notice-filed in MO, TN. IAPD ↗
49
MOKOSAK ADVISORY GROUP, LLC — notice-filed in AZ, CA, VA. IAPD ↗
49
CHICAGO CAPITAL, LLC — notice-filed in NV, PA. IAPD ↗
49
SAGE MOUNTAIN ADVISORS, LLC — notice-filed in NE, NJ. IAPD ↗
49
TRUWEALTH ADVISORS, LLC — notice-filed in CO, ME. IAPD ↗
49
BERGER FINANCIAL GROUP — notice-filed in AR, CO. IAPD ↗
49
THE WEALTH GROUP - AUSTIN B. COLBY & ASSOCIATES — notice-filed in AZ, CA, VA. IAPD ↗
49
HAMILTON CAPITAL PARTNERS, LLC — notice-filed in AL, IL, NY. IAPD ↗
49
QUANTUM FINANCIAL ADVISORS, LLC — notice-filed in FL, NH. IAPD ↗
49
LEGACY FINANCIAL INDEPENDENT ADVISORS LLC — notice-filed in MA, TN, VA. IAPD ↗
49
THE PINES WEALTH MANAGEMENT, LLC — notice-filed in FL, MI, PA. IAPD ↗
49
ABOUND FINANCIAL — notice-filed in AZ, ID, NC. IAPD ↗
48
LARIMER CAPITAL CORPORATION — notice-filed in IL, SD, TN, WY. IAPD ↗
48
SIGNATURE FINANCIAL SERVICES, LTD — notice-filed in AZ, CA, IN, SC. IAPD ↗
48
FORTRESS FINANCIAL SOLUTIONS, LLC — notice-filed in CA, MD, NC, TX. IAPD ↗
48
SHOREPATH CAPITAL MANAGEMENT LLC — notice-filed in CA, GA, MI, WY. IAPD ↗
48
OLD BRIDGE WEALTH, INC — notice-filed in CT, FL, NJ, TX. IAPD ↗
48
WEALTH INTELLIGENCE, LLC — notice-filed in AL, CO, LA, TX. IAPD ↗
47
TFC FINANCIAL MANAGEMENT INC — notice-filed in RI. IAPD ↗
47
HENRY H. ARMSTRONG ASSOCIATES, INC. — notice-filed in CO. IAPD ↗
47
SHEETS SMITH WEALTH MANAGEMENT — notice-filed in NY. IAPD ↗
47
HUTCHINSON CAPITAL MANAGEMENT — notice-filed in NV, WA. IAPD ↗
47
EVERETT HARRIS & CO — notice-filed in MI. IAPD ↗
47
JACOBS & COMPANY, LLC — notice-filed in CO. IAPD ↗
47
FBB CAPITAL PARTNERS — notice-filed in IL. IAPD ↗
47
COMPASS FINANCIAL SERVICES — notice-filed in FL, MO. IAPD ↗
47
ABUNDANCE WEALTH COUNSELORS, LLC — notice-filed in GA. IAPD ↗
47
ELTEKON ADVISORS, LLC. — notice-filed in CO, NC. IAPD ↗
47
WEBSTERROGERS FINANCIAL ADVISORS, LLC — notice-filed in FL, NC. IAPD ↗
47
DEROY & DEVEREAUX PRIVATE INVESTMENT COUNSEL, INC. — notice-filed in CO. IAPD ↗
47
COSTELLO ASSET MANAGEMENT, INC. — notice-filed in NY, TX. IAPD ↗
47
TFO WEALTH PARTNERS — notice-filed in CO. IAPD ↗
47
VALEO FINANCIAL ADVISORS, LLC — notice-filed in NM. IAPD ↗
47
AVIDIAN WEALTH SOLUTIONS — notice-filed in OH. IAPD ↗
47
GOEPPER BURKHARDT LLC — notice-filed in NC, VA. IAPD ↗
47
SMITH SALLEY WEALTH MANAGEMENT — notice-filed in NJ. IAPD ↗
47
STRATHMORE CAPITAL ADVISORS — notice-filed in GA, MD. IAPD ↗
47
ROCKWOOD WEALTH MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
47
BARTON INVESTMENT MANAGEMENT, LLC — notice-filed in CA. IAPD ↗
47
ELSER FINANCIAL PLANNING, INC. — notice-filed in NC. IAPD ↗
47
PRAIRIEVIEW PARTNERS, LLC — notice-filed in IL. IAPD ↗
47
VERUS CAPITAL PARTNERS, LLC — notice-filed in AL. IAPD ↗
47
EMPIRICAL WEALTH MANAGEMENT — notice-filed in MD. IAPD ↗
47
ALPHA ARCHITECT — notice-filed in NH. IAPD ↗
47
ELWOOD & GOETZ — notice-filed in CA, VA. IAPD ↗
47
SUMMIT GLOBAL INVESTMENTS, LLC — notice-filed in NE. IAPD ↗
47
ALPHASTAR CAPITAL MANAGEMENT — notice-filed in PR. IAPD ↗
47
DILIGENT INVESTORS, LLC — notice-filed in FL, TN. IAPD ↗
47
WELLSPRING FINANCIAL PARTNERS — notice-filed in WI. IAPD ↗
47
HERITAGE WEALTH ARCHITECTS, INC. — notice-filed in NH, TX. IAPD ↗
47
ARCHFORD CAPITAL STRATEGIES, LLC — notice-filed in NJ. IAPD ↗
47
STEWARDSHIP ADVISORY GROUP, LLC — notice-filed in MT, NV. IAPD ↗
47
SUMMIT INVESTMENT ADVISORY SERVICES — notice-filed in MI, NJ. IAPD ↗
47
RMR WEALTH BUILDERS, INC. — notice-filed in WY. IAPD ↗
47
REVISOR WEALTH MANAGEMENT LLC — notice-filed in FL. IAPD ↗
47
CLEAR CREEK FINANCIAL MANAGEMENT, LLC — notice-filed in GA. IAPD ↗
47
ONE WEALTH MAP, LLC — notice-filed in WY. IAPD ↗
47
OAK HARVEST INVESTMENT SERVICES — notice-filed in MI, OR. IAPD ↗
47
MIRADOR CAPITAL PARTNERS — notice-filed in FL, NY. IAPD ↗
47
ALPHACORE CAPITAL LLC — notice-filed in VT. IAPD ↗
47
GAINPLAN LLC — notice-filed in LA, NY. IAPD ↗
47
TOTAL WEALTH PLANNING, LLC — notice-filed in NY. IAPD ↗
47
MIRAMONTES CAPITAL, LLC — notice-filed in ID, WA. IAPD ↗
47
SEASIDE WEALTH MANAGEMENT, INC. — notice-filed in OR, WA. IAPD ↗
47
BANKERS LIFE ADVISORY SERVICES, INC. — notice-filed in AK. IAPD ↗
47
PROWELL FINANCIAL MANAGEMENT, LLC — notice-filed in LA. IAPD ↗
47
BLUESPHERE ADVISORS LLC — notice-filed in LA, NC. IAPD ↗
47
HIGHLINE WEALTH PARTNERS — notice-filed in FL, NE. IAPD ↗
47
TEMPUS WEALTH PLANNING, LLC — notice-filed in NC, OR. IAPD ↗
47
ABOUND WEALTH MANAGEMENT, LLC — notice-filed in CT. IAPD ↗
47
MRA ADVISORY GROUP — notice-filed in CA, VA. IAPD ↗
47
CYPRESS WEALTH SERVICES, LLC — notice-filed in MA, PA. IAPD ↗
47
PRIVATE WEALTH SOLUTIONS, LLC — notice-filed in FL, WA. IAPD ↗
47
FORTIS GROUP ADVISORS LLC — notice-filed in NH, WI. IAPD ↗
47
ORBA WEALTH ADVISORS, LLC — notice-filed in IN, MI. IAPD ↗
47
CANOPY WEALTH MANAGEMENT — notice-filed in NM. IAPD ↗
47
WEDMONT PRIVATE CAPITAL — notice-filed in TN. IAPD ↗
47
OCTAVIA WEALTH ADVISORS LLC — notice-filed in AL. IAPD ↗
47
WEALTH MANAGEMENT PARTNERS, LLC — notice-filed in NV, OR. IAPD ↗
47
INVICTUS PRIVATE WEALTH, LLC — notice-filed in VA. IAPD ↗
47
MORAN WEALTH MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
47
SYON CAPITAL LLC — notice-filed in TX. IAPD ↗
47
ADAPT WEALTH ADVISORS, LLC — notice-filed in CA, LA. IAPD ↗
47
HEADLAND CAPITAL — notice-filed in LA, WV. IAPD ↗
47
FPNAVIGATORS — notice-filed in NE, TX. IAPD ↗
47
PCM ENCORE, LLC — notice-filed in NC. IAPD ↗
46
RACHOR INVESTMENT ADVISORY SERVICES, LLC — notice-filed in MT, NJ, TN. IAPD ↗
46
HWA FINANCIAL GROUP — notice-filed in DE, FL, PA. IAPD ↗
46
KCD FINANCIAL, INC. — notice-filed in ID, LA, VA. IAPD ↗
46
PORTFOLIO DESIGN SERVICES, LLC — notice-filed in CA, MN, TX. IAPD ↗
46
SIMS INVESTMENT MANAGEMENT LLC — notice-filed in GA, IL, MN. IAPD ↗
46
TOUCHSTONE CAPITAL, INC. — notice-filed in AZ, CO, NY. IAPD ↗
46
ACADIA LEGACY GROUP — notice-filed in AZ, CO, ME. IAPD ↗
46
OPTION RESEARCH & TECHNOLOGY SERVICES, LLC — notice-filed in CA, NY, TX. IAPD ↗
46
LCR WEALTH MANAGEMENT LLC — notice-filed in FL, NY, TX. IAPD ↗
46
WINCAP FINANCIAL LLC — notice-filed in FL, NY, RI. IAPD ↗
46
CROWN POINT WEALTH ADVISORS — notice-filed in ID, TX, WA. IAPD ↗
46
GLOBAL TRUST WEALTH MANAGEMENT LLC — notice-filed in CT, NY, TX. IAPD ↗
46
JW NOVA WEALTH PARTNERS — notice-filed in DE, IL, TX. IAPD ↗
45
MILLBURN RIDGEFIELD LLC — filed an Item 4A succession naming MILLBURN RIDGEFIELD CORPORATION (CRD 148870) — an entity change, not a deal. IAPD ↗
45
HORAN WEALTH MANAGEMENT — notice-filed in LA. IAPD ↗
45
CARDEROCK CAPITAL MANAGEMENT, INC. — notice-filed in NY. IAPD ↗
45
THOR WEALTH MANAGEMENT INC — notice-filed in IL. IAPD ↗
45
WILLIAM HOWARD & CO. FINANCIAL ADVISORS, INC. — notice-filed in NY. IAPD ↗
45
FIRST FINANCIAL ADVISORS INC — notice-filed in IN. IAPD ↗
45
BRAND ASSET MANAGEMENT GROUP, INC. — notice-filed in AL. IAPD ↗
45
COMPASS WEALTH MANAGEMENT LLC — notice-filed in MD. IAPD ↗
45
WHELAN FINANCIAL — notice-filed in TX. IAPD ↗
45
FINANCIAL CONNECTIONS GROUP, INC. — notice-filed in WA. IAPD ↗
45
COMPASS FINANCIAL ADVISORS LLC — notice-filed in VA. IAPD ↗
45
LANDMARK WEALTH MANAGEMENT — notice-filed in PA. IAPD ↗
45
JOHN A. WOLFE & ASSOCIATES, INC. — notice-filed in MN. IAPD ↗
45
FAMILY CAPITAL MANAGEMENT — notice-filed in OH. IAPD ↗
45
CAMBRIDGE FINANCIAL GROUP, INC. — notice-filed in WA. IAPD ↗
45
OLDFATHER FINANCIAL SERVICES LLC — notice-filed in TX. IAPD ↗
45
ASTORIA STRATEGIC WEALTH, INC. — notice-filed in RI. IAPD ↗
45
CAMARDA WEALTH ADVISORY GROUP — notice-filed in NH. IAPD ↗
45
DEW WEALTH MANAGEMENT — notice-filed in OR. IAPD ↗
45
HFM INVESTMENT ADVISORS, INC. — notice-filed in NY. IAPD ↗
45
MENGIS CAPITAL MANAGEMENT, INC. — notice-filed in AZ. IAPD ↗
45
AMERANT INVESTMENTS, INC. — notice-filed in NM. IAPD ↗
45
CASCADE INVESTMENT ADVISORS, INC. — notice-filed in TX. IAPD ↗
45
GUARDIAN WEALTH MANAGEMENT, LLC — notice-filed in NH. IAPD ↗
45
RIGGS CAPITAL MANAGEMENT, LLC — notice-filed in GA. IAPD ↗
45
FINANCIAL PLANS & STRATEGIES, INC. — notice-filed in WA. IAPD ↗
45
FAIRHAVEN FINANCIAL ADVISORY CORPORATION — notice-filed in OH. IAPD ↗
45
PURKISS CAPITAL ADVISORS, LLC — notice-filed in MD. IAPD ↗
45
WELA FINANCIAL ADVISORY — notice-filed in GA. IAPD ↗
45
FRISCH FINANCIAL GROUP, INC. — notice-filed in NV. IAPD ↗
45
LIFE PLANNING PARTNERS, INC. — notice-filed in CO. IAPD ↗
45
DUPREE FINANCIAL GROUP, LLC — notice-filed in OH. IAPD ↗
45
WATTS GWILLIAM & COMPANY, LLC — notice-filed in NV. IAPD ↗
45
THE WATCHMAN GROUP, INC. — notice-filed in NH. IAPD ↗
45
ONYX FINANCIAL ADVISORS, LLC — notice-filed in AZ. IAPD ↗
45
SHARPER & GRANITE LLC — notice-filed in OH. IAPD ↗
45
ADVOCATES WEALTH PLANNING — notice-filed in NE. IAPD ↗
45
CONSERVATIVE WEALTH MANAGEMENT LLC — notice-filed in AZ. IAPD ↗
45
GUNDERSON CAPITAL MANAGEMENT — notice-filed in OH. IAPD ↗
45
WARBURTON CAPITAL MANAGEMENT, LLC — notice-filed in TN. IAPD ↗
45
COPPERWYND FINANCIAL — notice-filed in SD. IAPD ↗
45
SFE INVESTMENT COUNSEL INC. — notice-filed in TN. IAPD ↗
45
WELA STRATEGIES, INC. — notice-filed in NE. IAPD ↗
45
ATWATER MALICK — notice-filed in VA. IAPD ↗
45
H FINANCIAL MANAGEMENT — notice-filed in CO. IAPD ↗
45
RALEIGH CAPITAL MANAGEMENT INC. — notice-filed in PA. IAPD ↗
45
PAULSON WEALTH MANAGEMENT INC. — notice-filed in NC. IAPD ↗
45
EASTOVER CAPITAL MANAGEMENT — notice-filed in FL. IAPD ↗
45
ETESIAN WEALTH ADVISORS, INC. — notice-filed in FL. IAPD ↗
45
NORTHWEST WEALTH MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
45
HARDIN CAPITAL PARTNERS, LLC — notice-filed in TN. IAPD ↗
45
BARON WEALTH MANAGEMENT, LLC — notice-filed in OH. IAPD ↗
45
IFS ADVISORS, INC — notice-filed in NC. IAPD ↗
45
KIKER WEALTH MANAGEMENT, LLC — notice-filed in MA. IAPD ↗
45
THE ADVOCATE GROUP, LLC — notice-filed in CO. IAPD ↗
45
MOUNTAIN CAPITAL INVESTMENT ADVISORS INC — notice-filed in IN. IAPD ↗
45
FORTUNE WEALTH MANAGEMENT, LLC — notice-filed in GA. IAPD ↗
45
AYRSHIRE CAPITAL MANAGEMENT LLC — notice-filed in VA. IAPD ↗
45
M1 CAPITAL MANAGEMENT LLC — notice-filed in LA. IAPD ↗
45
PRENTICE WEALTH MANAGEMENT LLC — notice-filed in CT. IAPD ↗
45
SEQUENT PLANNING, LLC — notice-filed in MT. IAPD ↗
45
FSA INVESTMENT GROUP, LLC — notice-filed in AZ. IAPD ↗
45
MALTIN WEALTH MANAGEMENT, INC. — notice-filed in PA. IAPD ↗
45
LANE HIPPLE - WEALTH MANAGEMENT GROUP — notice-filed in NC. IAPD ↗
45
ALJIAN CAPITAL MANAGEMENT — notice-filed in LA. IAPD ↗
45
TRINITY WEALTH MANAGEMENT, LLC — notice-filed in LA. IAPD ↗
45
UPSTART WEALTH MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
45
BEACON FINANCIAL ADVISORY LLC — notice-filed in AZ. IAPD ↗
45
BEACON FINANCIAL PLANNING, INC — notice-filed in LA. IAPD ↗
45
ELEVATED CAPITAL ADVISORS, LLC — notice-filed in NM. IAPD ↗
45
CASTLEVIEW PARTNERS, LLC — notice-filed in NY. IAPD ↗
45
SITRIN CAPITAL MANAGEMENT, LLC — notice-filed in OH. IAPD ↗
45
STERLING INVESTMENT COUNSEL, LLC — notice-filed in IL. IAPD ↗
45
BOND & DEVICK WEALTH PARTNERS — notice-filed in CO. IAPD ↗
45
INTEGRITY WEALTH SOLUTIONS LLC — notice-filed in MO. IAPD ↗
45
ARCADIA WEALTH MANAGEMENT, LLC — notice-filed in VT. IAPD ↗
45
SICART ASSOCIATES, LLC — notice-filed in WI. IAPD ↗
45
LIBRA WEALTH LLC — notice-filed in FL. IAPD ↗
45
LIFEWORKS ADVISORS, LLC — notice-filed in AR. IAPD ↗
45
HIGH PROBABILITY ADVISORS, LLC — notice-filed in NH. IAPD ↗
45
MA PRIVATE WEALTH, LLC — notice-filed in IL. IAPD ↗
45
FORTEM FINANCIAL GROUP, LLC — notice-filed in NH. IAPD ↗
45
INSIGHT WEALTH STRATEGIES, LLC — notice-filed in ID. IAPD ↗
45
ALTA WEALTH ADVISORS LLC — notice-filed in NY. IAPD ↗
45
KEY CLIENT FIDUCIARY ADVISORS, LLC — notice-filed in MD. IAPD ↗
45
KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC. — notice-filed in VA. IAPD ↗
45
RPC PRIVATE WEALTH, LLC — notice-filed in IN. IAPD ↗
45
GAMMA ASSET MANAGEMENT LLC — notice-filed in PA. IAPD ↗
45
DAHRING | CUSMANO AND ASSOCIATES — notice-filed in TX. IAPD ↗
45
COLLECTIVE FAMILY OFFICE, LLC — notice-filed in TX. IAPD ↗
45
KAUFMAN ROSSIN WEALTH, LLC — notice-filed in NC. IAPD ↗
45
LGG FINANCIAL — notice-filed in GA. IAPD ↗
45
EMERALD ADVISORS, LLC — notice-filed in UT. IAPD ↗
45
VAQUERO PRIVATE WEALTH, LTD. — notice-filed in CA. IAPD ↗
45
BROWN | MILLER WEALTH MANAGEMENT, LLC — notice-filed in AZ. IAPD ↗
45
APRICUS WEALTH LLC — notice-filed in VA. IAPD ↗
45
CREEKMUR ASSET MANAGEMENT, LLC — notice-filed in VA. IAPD ↗
45
GREY FOX WEALTH ADVISORS, LLC — notice-filed in MA. IAPD ↗
45
FORTRESS WEALTH GROUP — notice-filed in NH. IAPD ↗
45
JACKSONVILLE WEALTH MANAGEMENT — notice-filed in CA. IAPD ↗
45
CAPITAL ADVISORS WEALTH MANAGEMENT — notice-filed in AL. IAPD ↗
45
DORVAL & CHORNE FINANCIAL ADVISORS — notice-filed in CO. IAPD ↗
45
44 WEALTH MANAGEMENT LLC — notice-filed in KY. IAPD ↗
45
GUIDED CAPITAL WEALTH MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
45
INTEGRATED QUANTITATIVE INVESTMENTS LLC — notice-filed in CT. IAPD ↗
45
CERRO PACIFIC WEALTH ADVISORS, LLC — notice-filed in AZ. IAPD ↗
45
JOHNSON BIXBY — notice-filed in FL. IAPD ↗
45
RETIREMENT PLANNING SOLUTIONS, LLC — notice-filed in MO. IAPD ↗
45
CALLAHAN WEALTH ADVISORY — notice-filed in PA. IAPD ↗
45
MAINSAIL FINANCIAL GROUP — notice-filed in OR. IAPD ↗
45
TERRA WEALTH — notice-filed in MD. IAPD ↗
45
TRUENORTH WEALTH & IMPACT, LLC — notice-filed in IA. IAPD ↗
45
BASE WEALTH MANAGEMENT — notice-filed in TN. IAPD ↗
45
GOLDEN STATE EQUITY PARTNERS, LLC — notice-filed in PA. IAPD ↗
45
PETROS FAMILY WEALTH, LLC — notice-filed in CO. IAPD ↗
45
UPTICK PARTNERS, LLC — notice-filed in OK. IAPD ↗
45
PRIVATE FAMILY WEALTH ADVISORS — notice-filed in TX. IAPD ↗
45
BALANCED WEALTH GROUP LLC — notice-filed in SC. IAPD ↗
45
ELYXIUM WEALTH LLC — notice-filed in MA. IAPD ↗
45
BURLING WEALTH PARTNERS — notice-filed in CA. IAPD ↗
45
PITCAIRN WEALTH ADVISORS LLC — notice-filed in NE. IAPD ↗
45
CHICAGO OAKBROOK FINANCIAL GROUP — notice-filed in TN. IAPD ↗
44
GRAGG FINANCIAL — notice-filed in FL, SC. IAPD ↗
44
SAXONY CAPITAL MANAGEMENT, LLC — notice-filed in AZ, MD. IAPD ↗
44
CLUTTERBUCK CAPITAL MANAGEMENT LLC — notice-filed in FL, NH. IAPD ↗
44
WILKINS MILLER WEALTH MANAGEMENT, LLC — notice-filed in FL, GA. IAPD ↗
44
JOSH ARNOLD INVESTMENT CONSULTANT, LLC — notice-filed in AZ, TX. IAPD ↗
44
PRAKASH INVESTMENT ADVISORS LLC — notice-filed in NH, NV. IAPD ↗
44
MD FINANCIAL / VESTMENT FINANCIAL — notice-filed in NM, SC. IAPD ↗
44
MONTEREY WEALTH — notice-filed in LA, MO. IAPD ↗
44
LUMINIST CAPITAL, LLC — notice-filed in KY, SC. IAPD ↗
44
CROSS STATE FINANCIAL GROUP LLC — notice-filed in MI, NH. IAPD ↗
44
CULTIVATING WEALTH — notice-filed in ME, WA. IAPD ↗
44
XYPN INVEST — notice-filed in IL, ND. IAPD ↗
44
VALUES ADDED FINANCIAL — notice-filed in IL, LA. IAPD ↗
44
ENTREWEALTH — notice-filed in AZ, MN. IAPD ↗
44
INCOMPASS FINANCIAL PARTNERS, LLC — notice-filed in FL, TN. IAPD ↗
44
FARRELL FINANCIAL — notice-filed in FL, MA. IAPD ↗
44
VISTA INVESTMENT PARTNERS — notice-filed in CA, MO. IAPD ↗
44
HENDERSON BROTHERS FINANCIAL PARTNERS LLC — notice-filed in NC, TX. IAPD ↗
43
WEALTHEDGE INVESTMENT ADVISORS LLC — filed an Item 4A succession naming WEALTHEDGE INVESTMENT ADVISORS LLC (CRD 126337) — an entity change, not a deal. IAPD ↗
42
GLOBAL BROKERAGE SERVICES, INC. — notice-filed in GA. IAPD ↗
42
VALLEY FINANCIAL MANAGEMENT, INC. — notice-filed in AL. IAPD ↗
42
WEALTH MANAGEMENT CORPORATION — notice-filed in PA. IAPD ↗
42
KLEIN PAVLIS & PEASLEY FINANCIAL, INC. — notice-filed in LA. IAPD ↗
42
ELDERADO FINANCIAL, INC — notice-filed in OR. IAPD ↗
42
HFH PLANNING INC. — notice-filed in CA. IAPD ↗
42
STATETRUST CAPITAL, LLC. — notice-filed in CA. IAPD ↗
42
COOK FINANCIAL DESIGNS, INC. — notice-filed in MA. IAPD ↗
42
ALPHA ADVISORS, LLC — notice-filed in NC. IAPD ↗
42
CAROLINA FINANCIAL ADVISORS, INC. — notice-filed in FL. IAPD ↗
42
CROSSGATE WEALTH ADVISORS, LLC — notice-filed in NC. IAPD ↗
42
BYRNE ASSET MANAGEMENT, LLC — notice-filed in CA. IAPD ↗
42
ABLES, IANNONE, MOORE & ASSOCIATES, INC. — notice-filed in AL. IAPD ↗
42
BRANDYWINE FINANCIAL GROUP, INC. — notice-filed in TN. IAPD ↗
42
EVEREST WEALTH MANAGEMENT — notice-filed in MO. IAPD ↗
42
PROSPECT FINANCIAL GROUP LLC — notice-filed in CA. IAPD ↗
42
HERBERT J. SIMS CAPITAL MANAGEMENT, INC. — notice-filed in CA. IAPD ↗
42
SEVEN HILLS FINANCIAL, LLC — notice-filed in TX. IAPD ↗
42
FLAVIN FINANCIAL SERVICES, INC. — notice-filed in TX. IAPD ↗
42
VANNOY ADVISORY GROUP, INC. — notice-filed in NV. IAPD ↗
42
ELE ADVISORY SERVICES, INC — notice-filed in IA. IAPD ↗
42
CHELSEA ADVISORY SERVICES, INC — notice-filed in IN. IAPD ↗
42
NERAD + DEPPE WEALTH MANAGEMENT — notice-filed in NH. IAPD ↗
42
INSIGHT WEALTH STRATEGIES, LP — notice-filed in NV. IAPD ↗
42
R. SEEGER WEALTH MANAGEMENT, LTD — notice-filed in FL. IAPD ↗
42
FINSYM PARTNERS, LLC — notice-filed in TX. IAPD ↗
42
GREENBELT INVESTMENT ADVISORS, LLC — notice-filed in CA. IAPD ↗
42
GUARDIAN CAPITAL, LLC — notice-filed in TX. IAPD ↗
42
EMPIRIC INSTITUTIONAL — notice-filed in CA. IAPD ↗
42
TOTAL WEALTH PLANNING AND MANAGEMENT, INC. — notice-filed in NC. IAPD ↗
42
DAVIDOV FINANCIAL COACHING, LLC — notice-filed in FL. IAPD ↗
42
STEADY RETURNS — notice-filed in NY. IAPD ↗
42
DUTCH ASSET CORPORATION — notice-filed in UT. IAPD ↗
42
FOUR POINTS ADVISORS, LLC — notice-filed in NJ. IAPD ↗
42
INSIGHT INVESTMENT COUNSEL — notice-filed in AZ. IAPD ↗
42
CLEAR RIDGE WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
42
ADVISORY INVESTOR SERVICES LLC — notice-filed in TX. IAPD ↗
42
WILLAMETTE FINANCIAL ADVISORS, LLC — notice-filed in TX. IAPD ↗
42
RED MOUNTAIN FINANCIAL PARTNERS — notice-filed in MT. IAPD ↗
42
ADVOCATE INVESTING SERVICES — notice-filed in NC. IAPD ↗
42
BLACKRIDGE ASSET MANAGEMENT, LLC — notice-filed in OK. IAPD ↗
42
WP ASSET MANAGEMENT — notice-filed in NY. IAPD ↗
42
ST. JAMES INVESTMENT ADVISORS, LLC — notice-filed in MD. IAPD ↗
42
SMITH & WYATT — notice-filed in MN. IAPD ↗
42
CAM INVESTOR SOLUTIONS — notice-filed in GA. IAPD ↗
42
NORTHSTAR FINANCIAL MANAGEMENT, INC. — notice-filed in TN. IAPD ↗
42
ELEVATE CAPITAL ADVISORS — notice-filed in FL. IAPD ↗
42
BONFIRE FINANCIAL, LLC — notice-filed in NY. IAPD ↗
42
CENTENNIAL ADVISORS, LLC — notice-filed in FL. IAPD ↗
42
TREEHOUSE WEALTH ADVISORS — notice-filed in WA. IAPD ↗
42
VAN CLEMENS WEALTH MANAGEMENT, LLC — notice-filed in NE. IAPD ↗
42
PROXY WEALTH ADVISORS LLC — notice-filed in NC. IAPD ↗
42
CAVU WEALTH MANAGEMENT — notice-filed in OR. IAPD ↗
42
DAI ADVISORS — notice-filed in TX. IAPD ↗
42
K2 FINANCIAL INC. — notice-filed in HI. IAPD ↗
42
BIRCH WEALTH MANAGEMENT — notice-filed in WA. IAPD ↗
42
NEWBORE WEALTH MANAGEMENT, INC. — notice-filed in AZ. IAPD ↗
42
NINTH ETERNITY ASSET MANAGEMENT LLC — notice-filed in NY. IAPD ↗
42
ADVISOR SHARE WEALTH MANAGEMENT, LLC — notice-filed in UT. IAPD ↗
42
TREASURE INVESTMENT MANAGEMENT, LLC — notice-filed in NY. IAPD ↗
42
CAPITAL FINANCIAL PLANNERS — notice-filed in CA. IAPD ↗
42
INVESTED ADVISORS — notice-filed in NC. IAPD ↗
42
ELYSIUM WEALTH MANAGEMENT, LLC — notice-filed in SD. IAPD ↗
42
CURTIS WEALTH MANAGEMENT LLC — notice-filed in NV. IAPD ↗
42
SURIENCE PRIVATE WEALTH LLC — notice-filed in CA. IAPD ↗
42
HARBOUR WEALTH MANAGEMENT GROUP, INC. — notice-filed in LA. IAPD ↗
42
THEPARTNERS WEALTH MANAGEMENT — notice-filed in PA. IAPD ↗
42
PINNACLE WEALTH MANAGEMENT, LLC — notice-filed in ID. IAPD ↗
42
LIBERTY ONE WEALTH ADVISORS — notice-filed in CA. IAPD ↗
42
ESSENTIAL PARTNERS LLC — notice-filed in CO. IAPD ↗
42
TRUEWEALTH FINANCIAL PARTNERS — notice-filed in AZ. IAPD ↗
42
REAL TALK CAPITAL, LLC — notice-filed in CO. IAPD ↗
42
ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM) — notice-filed in LA. IAPD ↗
42
DAUS FINANCIAL GROUP, LLC — notice-filed in WI. IAPD ↗
42
GENTRY PRIVATE WEALTH — notice-filed in MO. IAPD ↗
42
LUMIDA WEALTH MANAGEMENT LLC — notice-filed in TX. IAPD ↗
42
PRINCIPLED ADVISORS, INC. — notice-filed in MD. IAPD ↗
42
PLENTY FINANCIAL RIA, LLC — notice-filed in NC. IAPD ↗
42
MARIDEA WEALTH MANAGEMENT — notice-filed in OR. IAPD ↗
42
FOUNTAINDALE, LLC — notice-filed in NY. IAPD ↗
42
TREASURY INTERACTIVE INVESTMENT ADVISERS LLC — notice-filed in SD. IAPD ↗
42
SPHINX INVESTMENTS LLC — notice-filed in KS. IAPD ↗
42
EL CASTILLO INVESTMENTS — notice-filed in TX. IAPD ↗
42
BARNES DENNIG PRIVATE WEALTH MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
42
WAYSTONE ADVISORS LLC — notice-filed in MO. IAPD ↗
42
CORNERSTONE ALTERNATIVES — notice-filed in VA. IAPD ↗
42
AGENTSMYTH ADVISORS — notice-filed in TX. IAPD ↗
42
ZERO DAY CAPITAL ENTERPRISES LLC — notice-filed in TX. IAPD ↗
42
KONZA GLOBAL WEALTH GROUP — notice-filed in TX. IAPD ↗
42
GFG SOLUTIONS — notice-filed in CO. IAPD ↗
42
RAINIER FAMILY WEALTH, INC. — notice-filed in FL. IAPD ↗
42
TIDECREST WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
42
BXM WEALTH LLC — notice-filed in CA. IAPD ↗
42
GPS INVESTMENTS — notice-filed in TX. IAPD ↗
42
WALLEYE PARTNERS LLC — notice-filed in IL. IAPD ↗
42
AERIE ADVISORY GROUP LLC — notice-filed in VA. IAPD ↗
40
BRADFORD FINANCIAL SERVICES CORP — filed an Item 4A succession naming BRADFORD FINANCIAL SERVICES, INC. (CRD 133220) — an entity change, not a deal. IAPD ↗
85
CORYELL INVESTMENT MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
THISTLE CREEK CAPITAL, LLC — (LEHI, UT) is newly SEC-registered with $183.6M RAUM and 6 advisory reps. IAPD ↗institutional
85
CARO INVESTORS — (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
DRC INVESTMENT ADVISORS, LLC — (SANTA MONICA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
ADAMS STREET ADVISORS, LLC — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 142 advisory reps. IAPD ↗institutional
85
WILLOW PARTNER ADVISORS, LLC — (PRIDES CROSSING, MA) is newly SEC-registered with $0 RAUM and 10 advisory reps. IAPD ↗institutional
85
ALTIUM INVESTMENT STRATEGIES LLC — (WESLEY CHAPEL, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
THE FAMILY OFFICES GLOBAL VENTURES INC. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
ELDRIDGE SME ADVISERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
85
EVERVIEW PARTNERS, L.P. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
BLUE OWL ALTERNATIVE CREDIT ADVISORS II LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 170 advisory reps. IAPD ↗institutional
85
CC CAPITAL INSURANCE ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
OASIS CAPITAL PARTNERS — (GILBERT, AZ) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
AZORIA CAPITAL, INC. — (WASHINGTON, DC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
83
CROSSBEAM VENTURE PARTNERS — (NEW YORK, NY) is newly SEC-registered with $423.1M RAUM and 3 advisory reps. IAPD ↗fund
83
83
SITUATIONAL AWARENESS LP — (SAN FRANCISCO, CA) is newly SEC-registered with $383.0M RAUM and 2 advisory reps. IAPD ↗fund
80
PUISSANCE CAPITAL MANAGEMENT LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $14.9M RAUM and 1 advisory reps. IAPD ↗fund
80
BLEECKER STREET CAPITAL MANAGEMENT, LLC — (BROOKLYN, NY) is newly SEC-registered with $64.0M RAUM and 3 advisory reps. IAPD ↗fund
80
KUAHIWI MANAGEMENT LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $21.4M RAUM and 4 advisory reps. IAPD ↗fund
75
MORTGAGE INDUSTRY ADVISORY COMPANY — crossed $1B in regulatory AUM ($863.6M -> $1.39B). IAPD ↗institutional
75
SILICON VALLEY RETIREMENT SERVICES, LLC — crossed $1B in regulatory AUM ($944.3M -> $1.14B). IAPD ↗institutional
75
GLACIER PEAK CAPITAL MANAGEMENT, LLC — crossed $1B in regulatory AUM ($774.2M -> $11.17B). IAPD ↗institutional
75
75
HAUSER RETIREMENT SOLUTIONS 2 LLC — crossed $1B in regulatory AUM ($965.7M -> $1.17B). IAPD ↗institutional
75
70
70
70
70
70
70
VALUEQUEST INVESTMENT ADVISORS PRIVATE LTD — (MUMBAI, India) is newly SEC-registered with $2.18B RAUM and 27 advisory reps. IAPD ↗foreign
70
NORTHCAPE CAPITAL — (SYDNEY, NEW SOUTH WALES, Australia) is newly SEC-registered with $9.13B RAUM and 17 advisory reps. IAPD ↗foreign
68
PROMETHEUS WEALTH MANAGEMENT SAM — (MONACO, Monaco) is newly SEC-registered with $950.0M RAUM and 6 advisory reps. IAPD ↗foreign
65
INTEGRATED FINANCIAL PLANNING SERVICES — (HEIDELBERG, Germany) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
65
TANCOOK INVESTMENT MANAGEMENT LIMITED — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗foreign
65
DT INVESTMENT MANAGEMENT IFSC LLP — (GIFT CITY, GANDHI NAGAR, GUJARAT, India) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗foreign
65
62
62
61
61
61
60
60
60
60
60
60
60
HAUSSMANN 1864 CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗fund
60
58
58
58
58
57
57
57
57
55
55
55
55
55
55
55
55
53
53
50
50
50
45
BLACKROCK FUND ADVISORS — 's Item 11 disclosure-reporting entries rose by 2 (27 -> 29). IAPD ↗institutional
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 4 (125 -> 129). IAPD ↗institutional
45
BLACKSTONE CREDIT BDC ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
45
45
40
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 4 (685 -> 689). IAPD ↗institutional
40
40
BLACKROCK REALTY ADVISORS INC — 's Item 11 disclosure-reporting entries rose by 2 (25 -> 27). IAPD ↗fund
40
TENNENBAUM CAPITAL PARTNERS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (31 -> 33). IAPD ↗fund
40
BLACKSTONE MANAGEMENT PARTNERS L.L.C. — 's Item 11 disclosure-reporting entries rose by 3 (6 -> 9). IAPD ↗fund
40
BLACKSTONE ALTERNATIVE CREDIT ADVISORS LP — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
40
BLACKSTONE REAL ESTATE ADVISORS L.P. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
40
KOHLBERG KRAVIS ROBERTS & CO. L.P. — 's Item 11 disclosure-reporting entries rose by 3 (10 -> 13). IAPD ↗fund
40
BLACKSTONE LIQUID CREDIT STRATEGIES LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
40
BLACKSTONE LIQUID CREDIT ADVISORS I LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
40
GLOBAL INFRASTRUCTURE MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (16 -> 17). IAPD ↗fund
40
40
40
VANGUARD GLOBAL ADVISERS, LLC — 's Item 11 disclosure-reporting entries rose by 5 (20 -> 25). IAPD ↗fund
40
BLACKROCK ALTERNATIVES MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (27 -> 29). IAPD ↗fund
40
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (30 -> 32). IAPD ↗fund
40
BLACKSTONE CLO MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
40
ONE INVESTMENT MANAGEMENT US LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗fund
40
40
40
37
37
37
35
32
32
32
32
32
30
27
27
25
BLACKROCK INTERNATIONAL LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (27 -> 29). IAPD ↗foreign
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 4 (124 -> 128). IAPD ↗foreign
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 4 (126 -> 130). IAPD ↗foreign
25
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG — 's Item 11 disclosure-reporting entries rose by 2 (27 -> 29). IAPD ↗foreign
25
BLACKROCK (SINGAPORE) LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (27 -> 29). IAPD ↗foreign
25
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (27 -> 29). IAPD ↗foreign
25
VANGUARD ASSET MANAGEMENT, LIMITED — 's Item 11 disclosure-reporting entries rose by 5 (17 -> 22). IAPD ↗foreign
25
VANGUARD INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 5 (17 -> 22). IAPD ↗foreign
19
12
12
10
SARTORIAL WEALTH INC. — filed an Item 4A succession naming SARTORIAL WEALTH INC. (CRD 329971) — an entity change, not a deal. IAPD ↗foreign
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.