← Tributary

Compliance — May 2025

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

218 firms opened this window in the May 2025 SEC roster: 93 state expansion, 72 new registration, 27 disclosure added, 10 custody started, 7 pending approved, 6 headcount up, 3 private funds started.

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

100
ARIS INVESTING — (DEERFIELD, IL) is newly SEC-registered with $1.12B RAUM and 3 advisory reps. IAPD ↗
$1.12B RAUM · 3 reps · 3129102502 · arisinvesting.com
98
PROFESSIONAL FINANCIAL MANAGEMENT, INC. — (BOZEMAN, MT) is newly SEC-registered with $265.3M RAUM and 2 advisory reps. IAPD ↗
$265.3M RAUM · 2 reps · 406-587-1604
95
NEEDHAM ADVISORY CORPORATION — (NORTH ANDOVER, MA) is newly SEC-registered with $100.2M RAUM and 2 advisory reps. IAPD ↗
$100.2M RAUM · 2 reps · 978 681-8821
95
KALTBAUM CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
$118.0M RAUM · 1 reps · 407-514-3180 · garykaltbaum.com
95
BURT ASSET MANAGEMENT, INC. — (location n/a) is newly SEC-registered with $106.8M RAUM and 1 advisory reps. IAPD ↗
$106.8M RAUM · 1 reps · 770-475-3701
95
EAST COAST WEALTH MANAGEMENT, INC. — (FLORHAM PARK, NJ) is newly SEC-registered with $124.8M RAUM and 2 advisory reps. IAPD ↗
$124.8M RAUM · 2 reps · 973-396-8626 · eastcoastwealth.com
95
DOUCET ASSET MANAGEMENT, LLC — (NEW ORLEANS, LA) is newly SEC-registered with $132.6M RAUM and 2 advisory reps. IAPD ↗
$132.6M RAUM · 2 reps · 205-414-9788 · doucetcapital.com
95
WOLF FINANCIAL ADVISORS LLC — (PEKIN, IL) is newly SEC-registered with $111.5M RAUM and 1 advisory reps. IAPD ↗
$111.5M RAUM · 1 reps · 309-346-1106
95
ALPHA WEALTH FUNDS, LLC — (PARK CITY, UT) is newly SEC-registered with $118.5M RAUM and 7 advisory reps. IAPD ↗
$118.5M RAUM · 7 reps · 435-269-4100 · alphawealthfunds.com
95
WATKINSON CAPITAL ADVISORS LLC — (BERWYN, PA) is newly SEC-registered with $125.0M RAUM and 3 advisory reps. IAPD ↗
$125.0M RAUM · 3 reps · 484-588-0120 · watkinsoncap.com
95
KDM WEALTH MANAGEMENT INC. — (GENEVA, IL) is newly SEC-registered with $101.1M RAUM and 3 advisory reps. IAPD ↗
$101.1M RAUM · 3 reps · (630) 232-9097
95
JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC — (FLORHAM PARK, NJ) is newly SEC-registered with $127.2M RAUM and 16 advisory reps. IAPD ↗
$127.2M RAUM · 16 reps · 888-467-3636 · jeffreymatthews.com
95
CLEMENT STREET CAPITAL LLC — (DOWNERS GROVE, IL) is newly SEC-registered with $129.3M RAUM and 2 advisory reps. IAPD ↗
$129.3M RAUM · 2 reps · 630-701-9359 · clementstreetcapital.com
95
THINAGEE INVESTMENTS INC. — (CHEVY CHASE, MD) is newly SEC-registered with $210.0M RAUM and 1 advisory reps. IAPD ↗
$210.0M RAUM · 1 reps · 240-235-1846 · thinagee.com
95
BLUEPRINT WEALTH MANAGEMENT — (location n/a) is newly SEC-registered with $120.3M RAUM and 1 advisory reps. IAPD ↗
$120.3M RAUM · 1 reps · 678-807-4007 · blueprintyourwealth.com
95
STOLZER ROTHSCHILD LEVY LLC — (BASKING RIDGE, NJ) is newly SEC-registered with $145.2M RAUM and 2 advisory reps. IAPD ↗
$145.2M RAUM · 2 reps · 7324812200 · srlam.com
95
NYE WEALTH MANAGEMENT LLC — (HUDSON, OH) is newly SEC-registered with $106.8M RAUM and 1 advisory reps. IAPD ↗
$106.8M RAUM · 1 reps · (330) 656-0007
95
SEVEN HILLS CAPITAL ADVISORS — (CINCINNATI, OH) is newly SEC-registered with $113.4M RAUM and 1 advisory reps. IAPD ↗
$113.4M RAUM · 1 reps · 513-515-3135
95
MIDWESTERN FINANCIAL GROUP — (IOWA CITY, IA) is newly SEC-registered with $139.3M RAUM and 3 advisory reps. IAPD ↗
$139.3M RAUM · 3 reps · 319-499-1620
95
T.R.U.E. COASTAL CAPITAL, LLC — (SAVANNAH, GA) is newly SEC-registered with $109.2M RAUM and 2 advisory reps. IAPD ↗
$109.2M RAUM · 2 reps · 912-234-3657 · coastalcapmgmt.com
95
BALLAST POINT FINANCIAL PLANNING, LLC — (BURLINGAME, CA) is newly SEC-registered with $130.3M RAUM and 4 advisory reps. IAPD ↗
$130.3M RAUM · 4 reps · 650-636-7526
95
GREENWAY FINANCIAL, LLC — (FARMINGTON HILLS, MI) is newly SEC-registered with $137.8M RAUM and 3 advisory reps. IAPD ↗
$137.8M RAUM · 3 reps · 248-851-2727
95
PRESTON INVESTMENTS — (KINGMAN, AZ) is newly SEC-registered with $146.3M RAUM and 3 advisory reps. IAPD ↗
$146.3M RAUM · 3 reps · 928-757-1600 · prestoninvestments.com
95
FORTITUDE PRIVATE WEALTH — (CARMEL, IN) is newly SEC-registered with $102.8M RAUM and 1 advisory reps. IAPD ↗
$102.8M RAUM · 1 reps · 317-819-8550
95
CLEAR RETIREMENT ADVICE LLC — (SAN MATEO, CA) is newly SEC-registered with $108.2M RAUM and 1 advisory reps. IAPD ↗
$108.2M RAUM · 1 reps · 650-446-5440 · clearretirementadvice.com
95
BLUEBIRD WEALTH MANAGEMENT LLC — (MEDFIELD, MA) is newly SEC-registered with $136.8M RAUM and 4 advisory reps. IAPD ↗
$136.8M RAUM · 4 reps · (508) 359-4349
95
SPARK FINANCIAL ADVISORS — (RICHMOND, VA) is newly SEC-registered with $115.8M RAUM and 4 advisory reps. IAPD ↗
$115.8M RAUM · 4 reps · 804-451-1210
95
HICKORY WEALTH MANAGEMENT, LLC — (SPRINGFIELD, MO) is newly SEC-registered with $107.2M RAUM and 2 advisory reps. IAPD ↗
$107.2M RAUM · 2 reps · (417) 306-9891
95
HAYES WEALTH ADVISORS, LLC — (location n/a) is newly SEC-registered with $102.1M RAUM and 2 advisory reps. IAPD ↗
$102.1M RAUM · 2 reps · (404) 905-7489 · hayeswealthadvisors.com
95
KENNONDALE CAPITAL MANAGEMENT — (RICHMOND, VA) is newly SEC-registered with $100.4M RAUM and 2 advisory reps. IAPD ↗
$100.4M RAUM · 2 reps · (804) 350-3368 · kennondale.com
95
CASSILLY FINANCIAL — (SEVERNA PARK, MD) is newly SEC-registered with $103.2M RAUM and 1 advisory reps. IAPD ↗
$103.2M RAUM · 1 reps · 410-793-5210 · cassillyfinancial.com
95
FARNAM FINANCIAL — (PHOENIX, AZ) is newly SEC-registered with $122.1M RAUM and 2 advisory reps. IAPD ↗
$122.1M RAUM · 2 reps · (602) 603-4000 · farnamfinancial.com
95
VERTIS WEALTH, LLC — (KALAMAZOO, MI) is newly SEC-registered with $115.1M RAUM and 6 advisory reps. IAPD ↗
$115.1M RAUM · 6 reps · 774-874-3686 · vertiswealth.com
95
CORNERSTONE WEALTH ADVISORS, INC. — (CARLSBAD, CA) is newly SEC-registered with $110.2M RAUM and 4 advisory reps. IAPD ↗
$110.2M RAUM · 4 reps · 760-476-1376 · cwainvestors.com
95
SILICON BEACH WEALTH, LLC — (MARINA DEL REY, CA) is newly SEC-registered with $143.8M RAUM and 3 advisory reps. IAPD ↗
$143.8M RAUM · 3 reps · (424) 272-1638 · siliconbeachwealth.com
95
VILGA FINANCIAL PLANNING LLC — (location n/a) is newly SEC-registered with $124.7M RAUM and 1 advisory reps. IAPD ↗
$124.7M RAUM · 1 reps · (201) 300-6097 · vilga.com
95
SERVATUS CAPITAL — (NAPLES, FL) is newly SEC-registered with $109.7M RAUM and 2 advisory reps. IAPD ↗
$109.7M RAUM · 2 reps · 314-750-1167
95
AXIOM WEALTH STRATEGIES, LLC — (BEND, OR) is newly SEC-registered with $100.1M RAUM and 3 advisory reps. IAPD ↗
$100.1M RAUM · 3 reps · 541-389-7777
95
JACKSON & ASSOCIATES, INC. — (ALBUQUERQUE, NM) is newly SEC-registered with $119.8M RAUM and 2 advisory reps. IAPD ↗
$119.8M RAUM · 2 reps · 505-944-8404 · jacksonrfw.com
95
CROSS BORDER FINANCIAL PLANNING USA LLC — (PHILADELPHIA, PA) is newly SEC-registered with $114.7M RAUM and 3 advisory reps. IAPD ↗
$114.7M RAUM · 3 reps · 267-946-1099
95
JANSEN WEALTH MANAGEMENT LLC — (ALTOONA, WI) is newly SEC-registered with $104.7M RAUM and 2 advisory reps. IAPD ↗
$104.7M RAUM · 2 reps · 715-481-0499
95
STONECREEK PRIVATE WEALTH, LLC — (location n/a) is newly SEC-registered with $163.1M RAUM and 1 advisory reps. IAPD ↗
$163.1M RAUM · 1 reps · 214-415-6726 · stonecreekpw.com
95
INFINITY ADVISORY GROUP — (PORTAGE, MI) is newly SEC-registered with $102.7M RAUM and 3 advisory reps. IAPD ↗
$102.7M RAUM · 3 reps · 269-888-2301 · infinity-advisory.com
95
BLUE FINANCIAL — (CHARLOTTE, NC) is newly SEC-registered with $100.4M RAUM and 3 advisory reps. IAPD ↗
$100.4M RAUM · 3 reps · 7043021141
95
HUFFMAN & ROSS WEALTH MANAGEMENT LLC — (MORGANTOWN, WV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 304-241-4478
95
THE BREIT GROUP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (704) 502-6069 · thebreitgroup.com
95
HOLISTIC FINANCE LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 808-746-7774 · holisticfinance.com
95
SESTANTE WEALTH MANAGEMENT, LLC — (CORONADO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 619-268-6279 · sestantecapital.com
95
EAGLE'S NEST ADVISORS, LLC — (MELVILLE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 646-627-6030
95
TENZING FINANCIAL LLC — (WILLIAMSBURG, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 617-800-0388 · tenzingfinancial.us
95
MARBLE WEALTH, LLC — (MONTGOMERY, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · (334) 679-4800 · marblewealth.com
95
BERNICKE WEALTH MANAGEMENT — (ALTOONA, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 715-832-1173
95
SONOMA FAMILY WEALTH — (SANTA ROSA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 707-490-8842
95
WLTH CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 602-228-1417
95
M3 WEALTH MANAGEMENT — (NORTH ROYALTON, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 440-652-6370 · m3wealthmanagement.com
95
STEINBERGANNA WEALTH MANAGEMENT LLC — (HUNTINGTON, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 631-271-6160 · steinberganna.com
95
TMB CAPITAL PARTNERS, LLC — (LITTLE ROCK, AR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 501-671-1140 · tmbcapitalpartners.com
95
PENDULUM WEALTH PARTNERS — (ITASCA, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · (617) 800-0388 · pendulum.partners
95
STRONG RETIREMENT SOLUTIONS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 360-566-2264
80
ARKOS GLOBAL ADVISORS, LLC — grew from 4 to 14 advisory reps. IAPD ↗
$1.11B RAUM · 14 reps · (346) 352-2360
75
MEYER HANDELMAN COMPANY LLC — now reports 1 private fund(s) ($5.7M gross). IAPD ↗
$2.92B RAUM · 7 reps · 914-939-4060
75
SARGENT INVESTMENT GROUP — now reports 1 private fund(s) ($0 gross). IAPD ↗
$1.28B RAUM · 12 reps · (202) 580-6400
74
STRATEGIC WEALTH GROUP — grew from 20 to 24 advisory reps. IAPD ↗
$1.04B RAUM · 24 reps · 952-843-4944
73
LEGACY WEALTH PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
$563.9M RAUM · 8 reps · 720-552-8287 · lwp-llc.com
73
WILKERSON ADVISORY GROUP LLC — 's provisional registration is now fully approved. IAPD ↗
$271.9M RAUM · 4 reps · 573 400 6101 · wilkersonadvisorygroup.com
73
PHILOSMITH CAPITAL CORPORATION — now reports 1 private fund(s) ($37.4M gross). IAPD ↗
$365.3M RAUM · 6 reps · 203-348-7365 · philosmith.com
70
GALLAGHER FIDUCIARY ADVISORS, LLC — now reports custody of client assets ($309.4M). IAPD ↗
$180.61B RAUM · 160 reps · 212-330-1011 · ajg.com
70
ADVISORY ALPHA, LLC — now reports custody of client assets ($132.0M). IAPD ↗
$3.47B RAUM · 57 reps · 866-530-1400 · advisoryalpha.com
70
TRUE WEALTH DESIGN, LLC — grew from 5 to 7 advisory reps. IAPD ↗
$424.8M RAUM · 7 reps · (330) 777-0688
70
MARKETRIDERS — grew from 2 to 4 advisory reps. IAPD ↗
$485.6M RAUM · 4 reps · (866) 990-3837 · power.sogotrade.com
70
ATHENA ADVISORY — 's provisional registration is now fully approved. IAPD ↗
$2,000 RAUM · 1 reps · (773) 814-6337 · advicebyathena.com
70
CHURCHILL FINANCIAL ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
$243.8M RAUM · 3 reps · 502-895-3535 · churchillfa.com
70
FORESEE WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$118.7M RAUM · 2 reps · 425-943-6875 · foreseewealth.com
70
CAPSTONE RIA — 's provisional registration is now fully approved. IAPD ↗
$198.9M RAUM · 1 reps · 877-739-6007 · capstoneria.com
70
TRUMAN WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$142.1M RAUM · 3 reps · 573-227-2077 · trumanwealthadvisors.com
68
LEGACY WEALTH PARTNERS, LLC — now reports custody of client assets ($6.7M). IAPD ↗
$563.9M RAUM · 8 reps · 720-552-8287 · lwp-llc.com
68
WILKERSON ADVISORY GROUP LLC — now reports custody of client assets ($57,400). IAPD ↗
$271.9M RAUM · 4 reps · 573 400 6101 · wilkersonadvisorygroup.com
67
ALCYON WEALTH ADVISORS, LLC — grew from 1 to 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (330) 797-4088
65
BLUE WATER CAPITAL MANAGEMENT, LLC — now reports custody of client assets ($244,000). IAPD ↗
$140.6M RAUM · 3 reps · 919-589-2528 · bluewaterportfolios.com
65
NEW DIMENSIONS WEALTH MANAGEMENT, L.L.C. — now reports custody of client assets ($79.3M). IAPD ↗
$153.6M RAUM · 2 reps · 972-972-8565
65
MARSH WEALTH MANAGEMENT, LLC — now reports custody of client assets ($24.4M). IAPD ↗
$168.4M RAUM · 2 reps · 865-622-2162
65
GREAT HILL ADVISORY — now reports custody of client assets ($300,000). IAPD ↗
$178.4M RAUM · 3 reps · 516-500-1248 · baysidetaxandwealth.com
65
MESSINA WEALTH MANAGEMENT, LLC — now reports custody of client assets. IAPD ↗
$60.9M RAUM · 2 reps · 214-205-2066 · messinawealthmanagement.com
65
TRUMAN WEALTH ADVISORS — now reports custody of client assets ($39.8M). IAPD ↗
$142.1M RAUM · 3 reps · 573-227-2077 · trumanwealthadvisors.com
55
ESI FINANCIAL ADVISORS — 's Item 11 disclosure-reporting entries rose by 3 (18 -> 21). IAPD ↗
$2.45B RAUM · 430 reps · 800-344-7437 · equity-services.com
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (125 -> 127). IAPD ↗
$193.11B RAUM · 92 reps · 212-454-4500
55
VANGUARD ADVISERS, INC. — 's Item 11 disclosure-reporting entries rose by 14 (39 -> 53). IAPD ↗
$300.43B RAUM · 1567 reps · 610-669-1000
55
ALLIANCEBERNSTEIN L.P. — 's Item 11 disclosure-reporting entries rose by 1 (10 -> 11). IAPD ↗
$709.16B RAUM · 871 reps · 615-622-0000
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 2 (125 -> 127). IAPD ↗
$29.47B RAUM · 135 reps · 312-537-7000
55
ASHTON THOMAS PRIVATE WEALTH — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$4.05B RAUM · 35 reps · 602-732-4745
55
FOUNDATIONS INVESTMENT ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (6 -> 8). IAPD ↗
$7.18B RAUM · 229 reps · 480-626-2979 · fiwealth.com
55
GLOBAL STRATEGIC NEXTGEN OCIO — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$1.45B RAUM · 4 reps · 480-935-2210
55
VANGUARD PERSONALIZED INDEXING MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 14 (37 -> 51). IAPD ↗
$7.26B RAUM · 4 reps · 844-317-5190
53
DUNCKER STREETT & CO. — 's Item 11 disclosure-reporting entries rose by 3 (4 -> 7). IAPD ↗
$665.0M RAUM · 3 reps · 314-726-2600 · dunckerstreett.com
53
DEW WEALTH MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$361.9M RAUM · 20 reps · 480-614-9119
53
ALTRUIST FINANCIAL ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$328.3M RAUM · 1 reps · 269-857-2743 · altruistfa.com
53
LODESTONE WEALTH MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$306.2M RAUM · 3 reps · 509-413-2386 · lodestonewm.com
53
CONSOLIDATED PLANNING CORPORATION — notice-filed in CT, MS, WV, WY. IAPD ↗
$2.10B RAUM · 24 reps · 404-879-3000 · cpcadvisors.com
53
ETHOS FINANCIAL GROUP, LLC — notice-filed in AL, AZ, CT, MI. IAPD ↗
$1.58B RAUM · 27 reps · 484-889-7270 · ethosfg.com
53
WILKERSON ADVISORY GROUP LLC — notice-filed in AR, AZ, CO, FL, IL, KS, LA, OH, TN, TX, WI. IAPD ↗
$271.9M RAUM · 4 reps · 573 400 6101 · wilkersonadvisorygroup.com
51
NORTHSIDE CAPITAL MANAGEMENT LLC — notice-filed in NH, NY, PA. IAPD ↗
$5.82B RAUM · 7 reps · 541-387-2080 · northsidecap.com
51
OAK HARVEST INVESTMENT SERVICES — notice-filed in MD, MO, MT, NV. IAPD ↗
$940.8M RAUM · 22 reps · 281-822-1350
51
CAPITA FINANCIAL NETWORK, LLC — notice-filed in LA, NH, NM. IAPD ↗
$1.85B RAUM · 22 reps · 801-566-5058
50
GRADIENT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗
$218.6M RAUM · 169 reps · 877-885-0508 · thefinancialhq.com
50
GUARDIAN CAPITAL, LLC — 's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
$102.6M RAUM · 4 reps · 724-934-3050 · guardiancapitalllc.com
50
PACIFIC WEALTH ADVISORY SERVICES LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$98.7M RAUM · 1 reps · 925-838-7566 · pacificwealthadvisory.net
50
TFP MANAGEMENT, LLC — notice-filed in AL, CO, FL, GA, MN, NE, TX, WI. IAPD ↗
$217.7M RAUM · 3 reps · 563-359-8783 · truefinancialpartners.com
50
ARGO WEALTH ADVISORY, LLC — notice-filed in CA, DE, FL, LA, MD, NC, NH, NV, SC. IAPD ↗
$0 RAUM · 2 reps · 703-966-6671 · argowealthadvisory.com
50
STEADTRUST — notice-filed in DE, NH, NJ, NY, WY. IAPD ↗
$0 RAUM · 1 reps · 972-876-8422
49
INSIGHT FOLIOS — notice-filed in AL, LA, UT. IAPD ↗
$341.4M RAUM · 15 reps · (704) 529-9500 · dursocapital.com
49
FORTEM FINANCIAL GROUP, LLC — notice-filed in IL, OR, UT. IAPD ↗
$528.5M RAUM · 6 reps · 760-206-8500
49
WEST WEALTH GROUP, LLC — notice-filed in CT, NY, UT. IAPD ↗
$472.1M RAUM · 9 reps · 949-682-9105
48
LIGHTSQUARE WEALTH MANAGEMENT, LLC — notice-filed in FL, GA, MD, NY. IAPD ↗
$131.4M RAUM · 2 reps · 248-641-3540 · lightsquarewealth.com
47
BALDWIN WEALTH PARTNERS, LLC — notice-filed in NJ. IAPD ↗
$2.51B RAUM · 14 reps · (508) 748-0800 · baldwin-llc.com
47
FINANCIAL SYNERGIES — notice-filed in NJ. IAPD ↗
$1.57B RAUM · 15 reps · 713-623-6600
47
PINNACLE ADVISORS — notice-filed in GA. IAPD ↗
$1.94B RAUM · 19 reps · 419-526-5226 · pinnacleadvisors.com
47
DESTINATION WEALTH MANAGEMENT — notice-filed in CT. IAPD ↗
$4.15B RAUM · 34 reps · 925-935-2900 · destinationwm.com
47
FINANCIAL MANAGEMENT NETWORK INC — notice-filed in NY. IAPD ↗
$1.80B RAUM · 21 reps · 949-455-0300 · fmnbenefits.com
47
AFFIANCE FINANCIAL LLC — notice-filed in IN. IAPD ↗
$1.15B RAUM · 10 reps · 952-544-9818 · affiancefinancial.com
47
PINKERTON WEALTH PARTNERS — notice-filed in KS. IAPD ↗
$1.25B RAUM · 17 reps · 800-634-2008
47
INVESTMARK ADVISORY GROUP LLC — notice-filed in CA, DE. IAPD ↗
$812.2M RAUM · 10 reps · 203-953-3777 · investmark.net
47
GREAT VALLEY ADVISOR GROUP, INC. — notice-filed in PR. IAPD ↗
$9.73B RAUM · 191 reps · 302-483-7200 · knightwealthmanagement.com
47
GRAYPOINT LLC — notice-filed in RI. IAPD ↗
$4.65B RAUM · 36 reps · (518) 641-6860 · graypointllc.com
47
LJI WEALTH MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
$1.07B RAUM · 13 reps · 317-466-9702 · ljiwm.com
47
ROUNDVIEW CAPITAL, LLC — notice-filed in TN. IAPD ↗
$1.88B RAUM · 5 reps · 609-688-9500 · roundviewcapital.com
47
PROSPERITY CAPITAL ADVISORS — notice-filed in OK. IAPD ↗
$3.68B RAUM · 102 reps · 888-240-0064
47
JAG CAPITAL MANAGEMENT LLC — notice-filed in KS. IAPD ↗
$1.70B RAUM · 14 reps · 314-997-1277
47
MONTIS FINANCIAL, LLC — notice-filed in PA. IAPD ↗
$1.01B RAUM · 17 reps · 781-541-5057 · montisfinancial.com
47
VANTAGE POINT WEALTH MANAGEMENT — notice-filed in NV, SD. IAPD ↗
$277.4M RAUM · 15 reps · (763) 587-7120 · vpwealthmgmt.com
47
FLORIDA FINANCIAL ADVISORS, LLC — notice-filed in AK, ME. IAPD ↗
$317.8M RAUM · 457 reps · (813) 333-1683
47
CHICAGO CAPITAL, LLC — notice-filed in ID. IAPD ↗
$4.48B RAUM · 13 reps · 312-429-2333
47
LIBERTY ONE INVESTMENT MANAGEMENT — notice-filed in DE. IAPD ↗
$2.38B RAUM · 19 reps · 847-680-9255 · libertyoneim.com
47
NEXT LEVEL PRIVATE LLC — notice-filed in IL. IAPD ↗
$1.05B RAUM · 8 reps · (914) 431-5255
47
SMITH GROUP ASSET MANAGEMENT, LLC — notice-filed in AK. IAPD ↗
$1.71B RAUM · 8 reps · 214-880-4600 · smithasset.com
47
IMPACT PARTNERSHIP WEALTH, LLC — notice-filed in KY. IAPD ↗
$1.68B RAUM · 72 reps · 800-380-5040
47
THEPARTNERS WEALTH MANAGEMENT — notice-filed in NJ, OH. IAPD ↗
$454.5M RAUM · 19 reps · 800-324-3010 · twsfinancialplanning.com
47
MIDLAND WEALTH MANAGEMENT — notice-filed in NY. IAPD ↗
$2.93B RAUM · 19 reps · 312-660-6516
47
NAVISTA WEALTH MANAGEMENT, INC. — notice-filed in AZ, NY. IAPD ↗
$632.6M RAUM · 3 reps · 612-315-2400 · navistawealth.com
46
PR WEALTH MANAGEMENT GROUP — notice-filed in MN, UT, WI. IAPD ↗
$142.0M RAUM · 4 reps · 309-792-8291
46
HENDERSON BROTHERS FINANCIAL PARTNERS LLC — notice-filed in NH, OH, WV. IAPD ↗
$0 RAUM · 22 reps · 412-261-3333 · hendersonbrothersfinancialpartners.com
45
CAPITAL INVESTMENT COUNSEL INC — notice-filed in IL. IAPD ↗
$889.4M RAUM · 4 reps · 919-831-2370 · capital-invest.com
45
MPM WEALTH ADVISORS — notice-filed in NH. IAPD ↗
$888.9M RAUM · 20 reps · 419-861-1400
45
IRON FINANCIAL LLC — notice-filed in NJ. IAPD ↗
$472.1M RAUM · 9 reps · 847-715-3200 · ironfinancial.com
45
AVALON CAPITAL MANAGEMENT — notice-filed in NV. IAPD ↗
$487.4M RAUM · 3 reps · 650-306-1500 · avaloncapital.com
45
GS INVESTMENT INC — notice-filed in MD. IAPD ↗
$270.9M RAUM · 3 reps · 612-371-0590 · gsinvestments.com
45
BRIGHT FINANCIAL ADVISORS, INC. — notice-filed in NY. IAPD ↗
$570.1M RAUM · 2 reps · 269-373-2700 · brightfinancialadvisors.com
45
BOLTWOOD CAPITAL MANAGEMENT — notice-filed in MT. IAPD ↗
$380.6M RAUM · 2 reps · 415-433-1550 · boltwoodcap.com
45
JMF CAPSTONE WEALTH MANAGEMENT — notice-filed in GA. IAPD ↗
$362.7M RAUM · 8 reps · 205-345-8440 · jmfcapstone.com
45
WEBSTERROGERS FINANCIAL ADVISORS, LLC — notice-filed in GA. IAPD ↗
$371.8M RAUM · 7 reps · 843-665-6321 · wrfasc.com
45
MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY — notice-filed in NC. IAPD ↗
$340.4M RAUM · 4 reps · 717-790-9001 · investwithmosaic.com
45
INTERACTIVE FINANCIAL ADVISORS — notice-filed in OR. IAPD ↗
$337.8M RAUM · 37 reps · 630-472-1300
45
HENNION & WALSH ASSET MANAGEMENT, INC. — notice-filed in NV. IAPD ↗
$590.1M RAUM · 11 reps · 973-299-8989 · hennionandwalsh.com
45
ADIRONDACK CAPITAL ADVISORS, LLC — notice-filed in PA. IAPD ↗
$350.1M RAUM · 4 reps · 315-434-5597 · adirondackadvisors.com
45
SARA-BAY FINANCIAL CORP. — notice-filed in GA. IAPD ↗
$318.3M RAUM · 3 reps · 941-371-8027 · sara-bay.com
45
PERSPECTIVE WEALTH PARTNERS, LLC — notice-filed in LA. IAPD ↗
$707.3M RAUM · 6 reps · 208-429-0960 · perspectivewealth.com
45
TLWM FINANCIAL — notice-filed in OH. IAPD ↗
$577.3M RAUM · 10 reps · 1-877-348-8822 · tlwmadvisor.com
45
TRINITY LEGACY PARTNERS, LLC — notice-filed in IN. IAPD ↗
$460.4M RAUM · 7 reps · 713-999-8053 · trinitylegacy.com
45
OCCIDENTAL ASSET MANAGEMENT, LLC — notice-filed in PR. IAPD ↗
$796.1M RAUM · 10 reps · 650-344-1600 · ymwadvisors.com
45
DELAP WEALTH ADVISORY, LLC — notice-filed in UT. IAPD ↗
$819.9M RAUM · 5 reps · (503) 697-4118 · delapwa.com
45
BALBOA WEALTH PARTNERS, INC. — notice-filed in CT. IAPD ↗
$804.8M RAUM · 23 reps · 949-445-1465
45
BMSS WESSON WEALTH SOLUTIONS — notice-filed in MD. IAPD ↗
$577.1M RAUM · 6 reps · 205-982-5555 · bmsswesson.com
45
OASIS WEALTH PLANNING ADVISORS — notice-filed in MA. IAPD ↗
$267.8M RAUM · 6 reps · (615) 933-3314 · oasiswealthplanning.com
45
ALLRED HARRIS WEALTH MANAGEMENT. — notice-filed in NC. IAPD ↗
$452.4M RAUM · 4 reps · 844-965-7695 · allredcapitalmanagement.com
45
KEY CLIENT FIDUCIARY ADVISORS, LLC — notice-filed in AZ. IAPD ↗
$782.0M RAUM · 10 reps · 973-244-4142 · keyclientfa.com
45
PENSION & WEALTH MANAGEMENT ADVISORS — notice-filed in IL. IAPD ↗
$452.2M RAUM · 5 reps · 781-810-0800 · pensionwealth.com
45
GALAPAGOS ADVISORY LLC — notice-filed in TX. IAPD ↗
$274.9M RAUM · 4 reps · 3055155878 · galapagoscapital.us
45
STONEBROOK PRIVATE LLC — notice-filed in NE. IAPD ↗
$794.2M RAUM · 4 reps · (248) 349-3027 · stonebrookprivate.com
45
INDIVISIBLE PARTNERS — notice-filed in NJ. IAPD ↗
$298.6M RAUM · 3 reps · 732-306-5490 · indivisible.com
45
SHRIER WEALTH MANAGEMENT, LLC — notice-filed in MA. IAPD ↗
$323.2M RAUM · 3 reps · 310-201-0200 · shrierwealth.com
44
GRANTVEST FINANCIAL GROUP LLC — notice-filed in CA, DE. IAPD ↗
$170.0M RAUM · 5 reps · (732) 970-6659 · grantvest.com
44
WINTER & ASSOCIATES, INC. — notice-filed in CA, TX. IAPD ↗
$147.5M RAUM · 4 reps · (651) 414-5000
44
CONSTITUTION WEALTH LLC — notice-filed in AZ, IN. IAPD ↗
$53.5M RAUM · 6 reps · 866-463-1776 · gab.com
44
CRUSONIA WEALTH ADVISORS LLC — notice-filed in PA, WI. IAPD ↗
$161.3M RAUM · 4 reps · 303-810-6366
44
REDWOOD FAMILY WEALTH LLC — notice-filed in LA, NY. IAPD ↗
$221.7M RAUM · 3 reps · 469-965-4001 · redwoodfamilywealth.com
44
EXCELSIOR ADVISOR NETWORK LLC — notice-filed in LA, OH. IAPD ↗
$109.5M RAUM · 4 reps · 773-331-4692 · excelsioradvisor.com
42
CREWS & ASSOCIATES, INC. — notice-filed in VA. IAPD ↗
$149.4M RAUM · 20 reps · 501-907-2000 · crewsfs.com
42
GUNN & COMPANY INVESTMENT MANAGEMENT, INC. — notice-filed in TX. IAPD ↗
$194.5M RAUM · 2 reps · 904-296-2025 · gunncoim.com
42
ANDREW HILL INVESTMENT ADVISORS, INC. — notice-filed in NY. IAPD ↗
$222.3M RAUM · 2 reps · 239-450-3999
42
ONE ADVISORY PARTNERS, LLC — notice-filed in CO. IAPD ↗
$243.3M RAUM · 4 reps · 913-663-2376 · oneadvisorypartners.com
42
FSR WEALTH STRATEGIES — notice-filed in TX. IAPD ↗
$237.1M RAUM · 9 reps · 630-993-8200 · fsrwealth.com
42
LFN ADVISORS INC. — notice-filed in PA. IAPD ↗
$15.7M RAUM · 3 reps · 616-589-4004 · legacyfinancialnetwork.net
42
RELEVE FINANCIAL GROUP — notice-filed in FL. IAPD ↗
$222.8M RAUM · 5 reps · 612-801-0556
42
EPIC WEALTH MANAGEMENT, LLC — notice-filed in AL. IAPD ↗
$112.3M RAUM · 4 reps · 405-257-0301 · epicwmg.com
42
RM FINANCIAL SERVICES, LLC — notice-filed in NC. IAPD ↗
$221.1M RAUM · 3 reps · (207) 781-7637 · rmfsllc.com
42
IRONOAK WEALTH — notice-filed in CA. IAPD ↗
$106.0M RAUM · 5 reps · 737-271-9421
42
GRAVER CAPITAL MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
$122.0M RAUM · 2 reps · 614-499-2500 · gravercapmgmt.com
42
WAYSTONE ADVISORS LLC — notice-filed in NY. IAPD ↗
$136.1M RAUM · 4 reps · (425) 484-0045
42
CATALYST WEALTH MANAGEMENT LLC — notice-filed in WI. IAPD ↗
$47.7M RAUM · 14 reps · 832-657-7735 · catalystfg.com
42
AGP FRANKLIN, LLC — notice-filed in WA. IAPD ↗
$195.2M RAUM · 2 reps · 615-778-9842 · aspengroveassetmanagement.com
42
CHURCHILL FINANCIAL ADVISORS, LLC — notice-filed in WI. IAPD ↗
$243.8M RAUM · 3 reps · 502-895-3535 · churchillfa.com
42
CATOCTIN RIDGE WEALTH PARTNER — notice-filed in DC. IAPD ↗
$102.3M RAUM · 2 reps · 301-304-6004
85
LIGHTSPEED VENTURE PARTNERS — (MENLO PARK, CA) is newly SEC-registered with $31.19B RAUM and 129 advisory reps. IAPD ↗fund
$31.19B RAUM · 129 reps · 650-234-8300 · lsvp.com
85
LONGHORN CAPITAL PARTNERS, L.P. — (FORT WORTH, TX) is newly SEC-registered (provisional 120-day approval) with $16.0M RAUM and 2 advisory reps. IAPD ↗institutional
$16.0M RAUM · 2 reps · 646-207-1743
85
VARCOV CO. — (GLASTONBURY, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 203-543-9165 · varcov.com
85
MAPLE PARK CAPITAL — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 214-302-5550
85
MARKETS INFRASTRUCTURE PARTNERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 646 513 5976 · marketsinfrastructure.com
85
LANE42 — (SANTA MONICA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · (212) 970-5740 · lane42.com
83
MAKARORA — (NEW YORK, NY) is newly SEC-registered with $353.3M RAUM and 13 advisory reps. IAPD ↗fund
$353.3M RAUM · 13 reps · 646-647-4133 · makarora-lp.com
83
SPRUCE STREET CAPITAL LP — (NEW YORK, NY) is newly SEC-registered with $293.0M RAUM and 2 advisory reps. IAPD ↗fund
$293.0M RAUM · 2 reps · (646) 416-9712
83
MILITIA CAPITAL MANAGEMENT, LLC — (LAS VEGAS, NV) is newly SEC-registered with $370.2M RAUM and 1 advisory reps. IAPD ↗fund
$370.2M RAUM · 1 reps · 1-213-444-9705
80
CONTINENTAL ADVISORS LLC — (location n/a) is newly SEC-registered with $157.0M RAUM and 2 advisory reps. IAPD ↗fund
$157.0M RAUM · 2 reps · 312-560-7520
80
POPLAR POINT CAPITAL MANAGEMENT LLC — (BURLINGAME, CA) is newly SEC-registered with $103.9M RAUM and 1 advisory reps. IAPD ↗fund
$103.9M RAUM · 1 reps · 650 239 9049
80
LEXINGTON CAPITAL MANAGEMENT LP — (LAKEWOOD, NJ) is newly SEC-registered with $123.9M RAUM and 7 advisory reps. IAPD ↗fund
$123.9M RAUM · 7 reps · 732-666-0414
80
TEMERITY STRATEGIC PARTNERS — (CHICAGO, IL) is newly SEC-registered with $180.0M RAUM and 8 advisory reps. IAPD ↗fund
$180.0M RAUM · 8 reps · 312-827-7102 · temeritystrategic.com
70
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC — grew from 0 to 15 advisory reps. IAPD ↗institutional
$0 RAUM · 15 reps · 866-950-4644
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (125 -> 127). IAPD ↗institutional
$24.91B RAUM · 11 reps · 212-454-4500
40
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 2 (689 -> 691). IAPD ↗institutional
$0 RAUM · 146 reps · 212-250-2500 · db.com
40
VANGUARD GROUP INC — 's Item 11 disclosure-reporting entries rose by 14 (47 -> 61). IAPD ↗fund
$10246.60B RAUM · 330 reps · 610-669-1000
40
VANGUARD GLOBAL ADVISERS, LLC — 's Item 11 disclosure-reporting entries rose by 14 (47 -> 61). IAPD ↗fund
$491.43B RAUM · 84 reps · 610-669-1000
40
BERNSTEIN INSTITUTIONAL SERVICES LLC — 's Item 11 disclosure-reporting entries rose by 1 (77 -> 78). IAPD ↗institutional
$0 RAUM · 90 reps · 9173448600 · autonomous.com
32
CAPITAL CLIENT GROUP, INC. — notice-filed in VA. IAPD ↗institutional
$0 RAUM · 655 reps · 213-486-9200 · pro.capitalgroup.com
32
PHASE 3 CAPITAL MANAGEMENT LLC — notice-filed in FL. IAPD ↗fund
$2.80B RAUM · 4 reps · 312-858-3800 · p3cm.com
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 2 (125 -> 127). IAPD ↗foreign
$178.52B RAUM · 71 reps · 49 69 910 12371 · rreefpropertytrust.com
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (124 -> 126). IAPD ↗foreign
$1.44B RAUM · 8 reps · 011 612 8258 1234 · dws.com
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (126 -> 128). IAPD ↗foreign
$16.60B RAUM · 88 reps · 44 207 547 5344
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (125 -> 127). IAPD ↗foreign
$2.41B RAUM · 16 reps · 852-2203-8888 · etf.dws.com
25
VANGUARD ASSET MANAGEMENT, LIMITED — 's Item 11 disclosure-reporting entries rose by 14 (44 -> 58). IAPD ↗foreign
$482.96B RAUM · 73 reps · 44 203 7535600 · vanguardinvestor.co.uk
25
VANGUARD INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 14 (44 -> 58). IAPD ↗foreign
$92.43B RAUM · 55 reps · 61 3 8888 3888 · vanguard.com.au

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.