Compliance — July 2025
Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).
513 firms opened this window in the July 2025 SEC roster: 216 state expansion, 128 new registration, 52 headcount up, 37 disclosure added, 32 pending approved, 29 custody started, 12 private funds started, 3 wrap program started, 3 aum crossed 1b, 1 reorganization.
98
AIS PLANNING — (ST. CLOUD, MN) is newly SEC-registered with $485.1M RAUM and 9 advisory reps. IAPD ↗
95
V.M. MANNING & CO., INC. — (GREENVILLE, SC) is newly SEC-registered with $115.5M RAUM and 2 advisory reps. IAPD ↗
95
1ST DISCOUNT BROKERAGE, INC. — (LAKE WORTH, FL) is newly SEC-registered with $108.1M RAUM and 9 advisory reps. IAPD ↗
95
HOROWITZ & COMPANY, INC. — (FORT LAUDERDALE, FL) is newly SEC-registered with $145.4M RAUM and 2 advisory reps. IAPD ↗
95
LITTLEFIELD ASSET MANAGEMENT, INC. — (location n/a) is newly SEC-registered with $124.2M RAUM and 1 advisory reps. IAPD ↗
95
HUTCHINSON FINANCIAL ADVISORS, INC — (GLEN ALLEN, VA) is newly SEC-registered with $120.9M RAUM and 1 advisory reps. IAPD ↗
95
COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC — (location n/a) is newly SEC-registered with $162.6M RAUM and 1 advisory reps. IAPD ↗
95
SPYGLASS INVESTMENT MANAGEMENT — (TERRE HAUTE, IN) is newly SEC-registered with $140.0M RAUM and 3 advisory reps. IAPD ↗
95
PHILADELPHIA INVESTMENT PARTNERS, LLC — (VOORHEES, NJ) is newly SEC-registered with $140.8M RAUM and 3 advisory reps. IAPD ↗
95
CAPITAL FINANCIAL, LLC — (OLNEY, MD) is newly SEC-registered with $140.8M RAUM and 1 advisory reps. IAPD ↗
95
SHEA FINANCIAL ADVISORS — (location n/a) is newly SEC-registered with $116.5M RAUM and 2 advisory reps. IAPD ↗
95
LORETTA NOLAN ASSOCIATES, LLC — (OLD GREENWICH, CT) is newly SEC-registered with $121.6M RAUM and 1 advisory reps. IAPD ↗
95
STAWNYCHY FINANCIAL SERVICES, INC. — (KINNELON, NJ) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
95
TC FINANCIAL MANAGEMENT, CO INC. — (MARGATE CITY, NJ) is newly SEC-registered with $123.6M RAUM and 2 advisory reps. IAPD ↗
95
CORNERSTONE FINANCIAL GROUP,LLC — (OMAHA, NE) is newly SEC-registered with $247.0M RAUM and 5 advisory reps. IAPD ↗
95
MCCORMACK FINANCIAL PLANNING INC. — (ATLANTA, GA) is newly SEC-registered with $103.0M RAUM and 3 advisory reps. IAPD ↗
95
CORNERSTONE SECURITIES LLC — (OVERLAND PARK, KS) is newly SEC-registered with $175.0M RAUM and 10 advisory reps. IAPD ↗
95
POULOS ADVISORS, INC. — (SOUTH BURLINGTON, VT) is newly SEC-registered with $133.3M RAUM and 2 advisory reps. IAPD ↗
95
DOUGHERTY INVESTMENT ADVISORS — (SPRING HILL, FL) is newly SEC-registered with $113.9M RAUM and 4 advisory reps. IAPD ↗
95
WISCONSIN WEALTH ADVISORS, LLC — (SUN PRAIRIE, WI) is newly SEC-registered with $114.2M RAUM and 3 advisory reps. IAPD ↗
95
NATURAL BRIDGES FINANCIAL ADVISORS — (SANTA CRUZ, CA) is newly SEC-registered with $106.3M RAUM and 2 advisory reps. IAPD ↗
95
DICCIANNI FINANCIAL GROUP, INC. — (EAST NORRITON, PA) is newly SEC-registered with $111.2M RAUM and 2 advisory reps. IAPD ↗
95
ST. CLAIR FINANCIAL — (ROSEVILLE, CA) is newly SEC-registered with $118.5M RAUM and 1 advisory reps. IAPD ↗
95
LANSDOWNE WEALTH MANAGEMENT, LLC — (MYSTIC, CT) is newly SEC-registered with $214.1M RAUM and 6 advisory reps. IAPD ↗
95
CORE WEALTH ADVISORS — (INDIANAPOLIS, IN) is newly SEC-registered with $124.6M RAUM and 3 advisory reps. IAPD ↗
95
LIBERTAS WEALTH MANAGEMENT GROUP, INC. — (COLUMBUS, OH) is newly SEC-registered with $123.9M RAUM and 1 advisory reps. IAPD ↗
95
WALLICK INVESTMENTS, LLC — (COLUMBIA, SC) is newly SEC-registered with $112.4M RAUM and 2 advisory reps. IAPD ↗
95
MCDONNELL CAPITAL MANAGEMENT — (FRANKFORT, IL) is newly SEC-registered with $132.7M RAUM and 2 advisory reps. IAPD ↗
95
CARDINAL RETIREMENT PLANNING, INC. — (location n/a) is newly SEC-registered with $111.0M RAUM and 3 advisory reps. IAPD ↗
95
SUSTAINVEST ASSET MANAGEMENT, LLC — (LINWOOD, NJ) is newly SEC-registered with $114.0M RAUM and 1 advisory reps. IAPD ↗
95
VISION FINANCIAL MANAGEMENT, LLC — (CUYAHOGA FALLS, OH) is newly SEC-registered with $120.0M RAUM and 2 advisory reps. IAPD ↗
95
LEWIS FINANCIAL, LLC — (SAN LUIS OBISPO, CA) is newly SEC-registered with $108.1M RAUM and 3 advisory reps. IAPD ↗
95
KERR WEALTH MANAGEMENT — (FRESNO, CA) is newly SEC-registered with $110.1M RAUM and 4 advisory reps. IAPD ↗
95
HARRIS CONSULTING — (ROSWELL, GA) is newly SEC-registered with $117.4M RAUM and 2 advisory reps. IAPD ↗
95
DELTA ACCUMULATION, LLC — (SAUSALITO, CA) is newly SEC-registered with $210.0M RAUM and 3 advisory reps. IAPD ↗
95
CIRRUS CAPITAL LLC — (BIRMINGHAM, MI) is newly SEC-registered with $124.3M RAUM and 3 advisory reps. IAPD ↗
95
PROCORE ADVISORS, LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $110.9M RAUM and 5 advisory reps. IAPD ↗
95
COLLECTIVE WEALTH ADVISORS LLC — (COPPELL, TX) is newly SEC-registered with $139.8M RAUM and 5 advisory reps. IAPD ↗
95
MORRISSEY WEALTH MANAGEMENT LLC — (NORTH HAVEN, CT) is newly SEC-registered with $135.6M RAUM and 2 advisory reps. IAPD ↗
95
BOLDIN ADVISORS — (MILL VALLEY, CA) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗
95
GREEN & DECKERT LLC — (LUBBOCK, TX) is newly SEC-registered with $113.0M RAUM and 2 advisory reps. IAPD ↗
95
BLUE POINT FINANCIAL, INC. — (SCARBOROUGH, ME) is newly SEC-registered with $113.3M RAUM and 2 advisory reps. IAPD ↗
95
FOUNDRY FINANCIAL LLC — (LOS ANGELES, CA) is newly SEC-registered with $104.7M RAUM and 3 advisory reps. IAPD ↗
95
SAGE WEALTH PLANNING — (GEORGETOWN, TX) is newly SEC-registered with $113.7M RAUM and 2 advisory reps. IAPD ↗
95
TAMALPAIS ASSET MANAGEMENT — (LARKSPUR, CA) is newly SEC-registered with $209.5M RAUM and 5 advisory reps. IAPD ↗
95
GOLDFARB FINANCIAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $119.7M RAUM and 1 advisory reps. IAPD ↗
95
ILLUMINATE WEALTH MANAGEMENT — (BARRINGTON, IL) is newly SEC-registered with $120.1M RAUM and 1 advisory reps. IAPD ↗
95
ALLIANCE PRIVATE WEALTH, LLC — (NORTH READING, MA) is newly SEC-registered with $102.3M RAUM and 3 advisory reps. IAPD ↗
95
TRIPLETAIL WEALTH MANAGEMENT — (ORLANDO, FL) is newly SEC-registered with $109.8M RAUM and 3 advisory reps. IAPD ↗
95
FOG CITY ADVISORS, LLC — (ALBANY, CA) is newly SEC-registered with $122.6M RAUM and 2 advisory reps. IAPD ↗
95
THE ZILLENNIAL ADVISORS — (location n/a) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗
95
BLUESTONE PRIVATE WEALTH, LLC — (location n/a) is newly SEC-registered with $147.9M RAUM and 2 advisory reps. IAPD ↗
95
PONTA WEALTH PARTNERS, LLC — (WINTER PARK, FL) is newly SEC-registered with $102.2M RAUM and 1 advisory reps. IAPD ↗
95
ABUNDANT WEALTH MANAGEMENT LLC — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MOR WEALTH MANAGEMENT, LLC — (PHILADELPHIA, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BQS FINANCIAL ADVISORS, LLC — (NEW YORK, NY) is newly SEC-registered with $108.0M RAUM and 1 advisory reps. IAPD ↗
95
ELKWATER CAPITAL — (NEW YORK, NY) is newly SEC-registered with $32.9M RAUM and 1 advisory reps. IAPD ↗
95
RARE WOLF CAPITAL LLC — (BELLEVUE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
A & L PERSONAL BUSINESS MANAGEMENT, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BEACON ADVISORS — (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
COPPERLINE WEALTH MANAGEMENT & PLANNING, LLC — (CODY, WY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
TICINO WEALTH — (MISSION VIEJO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
GRACE ADVISORS LLC — (WILMINGTON, DE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
BZ WEALTH ADVISORS, LLC — (LITTLETON, CO) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
LEGEND CAPITAL — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
QUANT ALPHA LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ASSET ONE WEALTH MANAGEMENT, LLC — (BELLEVUE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
JUNO FINANCIAL GROUP LLC — (RICHMOND, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
SUCCESSION FINANCIAL, INC — (MCKINNEY, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BORABOND, LLC — (FRAMINGHAM, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
GEMINI PORTFOLIO MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PW ADVISORS — (TALLAHASSEE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
PINCUS CAPITAL MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
RBS WEALTH MANAGEMENT — (ALTO, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MERITIS WEALTH MANAGEMENT, INC. — (POTOMAC, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MAXQ ASSET MANAGEMENT LLC — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PEARL PLANNING — (DEXTER, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
PARK STATE ASSET MANAGEMENT LLC — (BEVERLY, MA) is newly SEC-registered with $206.6M RAUM and 3 advisory reps. IAPD ↗
95
ODYSSEY GROUP WEALTH ADVISORS — (LANCASTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SPIEGELMAN WEALTH MANAGEMENT LLC — (WALNUT CREEK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MILESTONE FINANCIAL ASSOCIATES, LLC — (MACUNGIE, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
FINANCIAL JUSTUS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TORREY-PAYNE WEALTH MANAGEMENT — (PASADENA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CHARMARLINE WEALTH MANAGEMENT — (LYNCHBURG, VA) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
95
NAPIER FINANCIAL — (BRAINTREE, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
SHERPA CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
HERITAGE GROVE WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $110.5M RAUM and 1 advisory reps. IAPD ↗
95
INNOVATIVE ASSET ADVISORS GROUP — (SHELTON, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SPREADWISE LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SUMMITPOINT CAPITAL MANAGEMENT — (LITTLETON, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BLUESTAR WEALTH MANAGEMENT — (LAKE MARY, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ROSCI LAMB, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
COLDSTREAM WEALTH MANAGEMENT — grew from 141 to 165 advisory reps. IAPD ↗
85
STEPSTONE GROUP LP — grew from 164 to 193 advisory reps. IAPD ↗
85
FOCUS PARTNERS WEALTH, LLC — grew from 945 to 980 advisory reps. IAPD ↗
84
ARAX ADVISORY PARTNERS — grew from 38 to 52 advisory reps. IAPD ↗
78
NINETY ONE NORTH AMERICA, INC. — grew from 29 to 37 advisory reps. IAPD ↗
76
CONCURRENT INVESTMENT ADVISORS, LLC — grew from 137 to 143 advisory reps. IAPD ↗
76
OASIS ADVISORS — grew from 11 to 22 advisory reps. IAPD ↗
75
TOCQUEVILLE ASSET MANAGEMENT LP — grew from 36 to 41 advisory reps. IAPD ↗
75
LUTHER KING CAPITAL MANAGEMENT CORPORATION — grew from 67 to 72 advisory reps. IAPD ↗
75
ACORN FINANCIAL ADVISORY SERVICES, INC. — grew from 12 to 17 advisory reps. IAPD ↗
75
SANCTUARY ADVISORS, LLC — grew from 345 to 350 advisory reps. IAPD ↗
75
BERMAN MCALEER — 's provisional registration is now fully approved. IAPD ↗
73
MADISON ADVISORY SERVICES, INC. — grew from 11 to 16 advisory reps. IAPD ↗
73
BLUE DIAMOND CAPITAL INVESTMENT ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
COQUINA PRIVATE WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
BASECAMP WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
STEADTRUST — 's provisional registration is now fully approved. IAPD ↗
73
PERMANENT CAPITAL MANAGEMENT, LP — now reports 1 private fund(s) ($2.5M gross). IAPD ↗
73
BLUE DIAMOND CAPITAL INVESTMENT ADVISORS — now reports 8 private fund(s) ($68.1M gross). IAPD ↗
72
THE WEALTH ALLIANCE, LLC — grew from 9 to 11 advisory reps. IAPD ↗
72
WEDMONT PRIVATE CAPITAL — grew from 5 to 7 advisory reps. IAPD ↗
72
STEADTRUST — grew from 5 to 9 advisory reps. IAPD ↗
70
ASCENSION CAPITAL ADVISORS, INC. — grew from 5 to 7 advisory reps. IAPD ↗
70
WEAVER CAPITAL MANAGEMENT, LLC — grew from 1 to 3 advisory reps. IAPD ↗
70
RIGDEN CAPITAL STRATEGIES — 's provisional registration is now fully approved. IAPD ↗
70
HONEOYE FALLS CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
STATERA WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
MATTERS CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
ARGO WEALTH ADVISORY, LLC — 's provisional registration is now fully approved. IAPD ↗
70
SYNERGY CAPITAL — 's provisional registration is now fully approved. IAPD ↗
70
THE QUICK GROUP LLC — 's provisional registration is now fully approved. IAPD ↗
70
STORGATE, LLC — 's provisional registration is now fully approved. IAPD ↗
70
AGMAN CAPITAL — 's provisional registration is now fully approved. IAPD ↗
70
ALTERIS CAPITAL PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
ROOTED FINANCIAL GROUP, LLC — 's provisional registration is now fully approved. IAPD ↗
70
FORS FINANCIAL — 's provisional registration is now fully approved. IAPD ↗
70
GARRISON MURPHY WEALTH MANAGEMENT, LLC — now reports 2 private fund(s) ($13.3M gross). IAPD ↗
68
HAMEL ASSOCIATES,INC. — now reports custody of client assets ($33.7M). IAPD ↗
68
CHELSEA MANAGEMENT COMPANY — now reports custody of client assets ($1.4M). IAPD ↗
68
PREMIER WEALTH ADVISORS, LLC — now reports custody of client assets ($363,839). IAPD ↗
68
TONY WALKER FINANCIAL — now reports custody of client assets ($128.5M). IAPD ↗
68
UNITED ADVISORS AMERICA — now reports custody of client assets ($3.2M). IAPD ↗
68
HORIZON WEALTH MANAGEMENT — now reports custody of client assets ($272.0M). IAPD ↗
68
COQUINA PRIVATE WEALTH ADVISORS — now reports custody of client assets ($5.8M). IAPD ↗
68
BASECAMP WEALTH ADVISORS, LLC — now reports custody of client assets ($103.4M). IAPD ↗
68
PLAGENS & TAYLOR WEALTH MANAGEMENT — now reports custody of client assets ($60.8M). IAPD ↗
67
ZENITH WEALTH PARTNERS — grew from 6 to 8 advisory reps. IAPD ↗
65
JOHN T. MCCARTHY, LLC — now reports custody of client assets. IAPD ↗
65
SANDERS & SCOTT, CHFC — now reports custody of client assets ($44.4M). IAPD ↗
65
RM SINCERBEAUX CAPITAL MANAGEMENT, LLC. — now reports custody of client assets ($6.6M). IAPD ↗
65
PARAMOUNT ASSOCIATES WEALTH MANAGEMENT — now reports custody of client assets ($500,000). IAPD ↗
65
VESTED FINANCIAL PLANNING, LLC — now reports custody of client assets ($28.2M). IAPD ↗
65
GOLDENSTONE WEALTH MANAGEMENT — now reports custody of client assets ($62.0M). IAPD ↗
65
BOYER FINANCIAL SERVICES, INC. — now reports custody of client assets ($108.9M). IAPD ↗
65
B.SIDE INVESTMENTS LLC — now reports custody of client assets ($2.5M). IAPD ↗
65
THE QUICK GROUP LLC — now reports custody of client assets ($7.3M). IAPD ↗
65
LIGHTCAP FINANCIAL GROUP, LLC — now reports custody of client assets ($229,325). IAPD ↗
65
BARZIDEH & NADEAU WEALTH MANAGEMENT LLC — now reports custody of client assets ($12.5M). IAPD ↗
65
PELICAN FINANCIAL PLANNING AND WEALTH, PLLC — now reports custody of client assets. IAPD ↗
65
FORS FINANCIAL — now reports custody of client assets ($14.8M). IAPD ↗
65
TOCQUEVILLE ASSET MANAGEMENT LP — began participating in a wrap-fee program. IAPD ↗
63
WILLOW GROVE ADVISORS, LLC — began participating in a wrap-fee program. IAPD ↗
60
AXOS INVEST, INC — began participating in a wrap-fee program. IAPD ↗
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 1 (158 -> 159). IAPD ↗
55
WEDBUSH SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 1 (106 -> 107). IAPD ↗
55
CITIGROUP GLOBAL MARKETS INC. — 's Item 11 disclosure-reporting entries rose by 1 (171 -> 172). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (643 -> 644). IAPD ↗
55
RBC CAPITAL MARKETS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (223 -> 224). IAPD ↗
55
SILVER OAK SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗
55
SANFORD C. BERNSTEIN & CO., LLC — 's Item 11 disclosure-reporting entries rose by 1 (27 -> 28). IAPD ↗
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗
55
JOHN HANCOCK INVESTMENT MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (14 -> 15). IAPD ↗
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗
55
KOSS-OLINGER CONSULTING, LLC. — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
ARAX ADVISORY PARTNERS — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
55
GFS ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (3 -> 5). IAPD ↗
55
BTG PACTUAL ASSET MANAGEMENT US , LLC — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
55
SIMON QUICK ADVISORS, LLC — notice-filed in AZ, NV, OR, WA, WI. IAPD ↗
55
FOCUSED WEALTH MANAGEMENT, INC. — notice-filed in DE, MO, NE, NH, TN. IAPD ↗
55
ASSUREDPARTNERS INVESTMENT ADVISORS — notice-filed in AR, DC, ND, NH, NM, OK, RI, SD, VT. IAPD ↗
55
IMPACT PARTNERSHIP WEALTH, LLC — notice-filed in ID, MS, MT, NH, RI, SD, VT, WI. IAPD ↗
53
AB CUSTOM ALTERNATIVE SOLUTIONS LLC — 's Item 11 disclosure-reporting entries rose by 1 (10 -> 11). IAPD ↗
53
SECURE ASSET MANAGEMENT, L.L.C. — 's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
53
TACTIVE ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 5 (0 -> 5). IAPD ↗
53
NINETY ONE NORTH AMERICA, INC. — notice-filed in IN, MN, MS, NE. IAPD ↗
53
ARC ADVISORY LLC — notice-filed in AZ, CO, CT, DC, FL, GA, IA, IL, KS, MA, MD, ME, MI, MN, MO, NC, NE, NH, NJ, NV, OH, OR, PA, PR, TN, TX, UT, VA, WA, WY. IAPD ↗
53
INDIVISIBLE PARTNERS — notice-filed in AL, CA, CO, LA, SC, VA. IAPD ↗
51
HAROLD DAVIDSON & ASSOCIATES INC — notice-filed in AZ, FL, NV, NY. IAPD ↗
51
MONTIS FINANCIAL, LLC — notice-filed in LA, MI, OH. IAPD ↗
51
CENTURA WEALTH ADVISORY — notice-filed in GA, ID, NY, OR. IAPD ↗
51
JOURNEY STRATEGIC WEALTH LLC — notice-filed in LA, PA, SD. IAPD ↗
50
HERBERT J. SIMS CAPITAL MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗
50
PACIFIC COAST INVESTMENT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
50
CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
50
GLOBAL PREDICTIONS INC — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
50
SANDERS & SCOTT, CHFC — notice-filed in AL, FL, LA, SC, TX. IAPD ↗
50
CABIN ADVISORS, LLC — notice-filed in AK, AR, AZ, CO, FL, GA, ID, IL, LA, MD, MI, MN, MO, NC, ND, NE, NJ, NM, NY, OR, PA, PR, SC, VA, WA, WY. IAPD ↗
50
MDRN CAPITAL — notice-filed in MT, NM, OR, SC, TN. IAPD ↗
50
WYZE WEALTH ADVISORS, LLC — notice-filed in FL, NC, OH, TX, VA. IAPD ↗
50
W&S ADVISORY SERVICES, LLC — notice-filed in FL, MS, NC, PA, SC, TX, VA. IAPD ↗
50
STEINBERGANNA WEALTH MANAGEMENT LLC — notice-filed in CT, FL, MA, NC, NJ, TX. IAPD ↗
49
PARAGON CAPITAL MANAGEMENT — notice-filed in NE, VA. IAPD ↗
49
KORNITZER CAPITAL MANAGEMENT, INC. — notice-filed in IA, UT. IAPD ↗
49
ANCHOR INVESTMENT MANAGEMENT — notice-filed in CA, LA. IAPD ↗
49
FOUNTAINHEAD ADVISORS — notice-filed in ID, OR. IAPD ↗
49
GOVERNMENT PORTFOLIO ADVISORS LLC — notice-filed in MO, UT. IAPD ↗
49
FORTIS GROUP ADVISORS LLC — notice-filed in IA, SD, TN. IAPD ↗
49
CX INSTITUTIONAL, LLC — notice-filed in NV, UT. IAPD ↗
49
MATTERN WEALTH MANAGEMENT LLC — notice-filed in CT, NY, OK. IAPD ↗
49
BROOKWOOD INVESTMENT GROUP — notice-filed in KS, MO. IAPD ↗
49
SLK PRIVATE WEALTH MANAGEMENT, LLC — notice-filed in NH, VA. IAPD ↗
48
PATHWAYS WEALTH MANAGEMENT, INC. — notice-filed in FL, IN, KY, WV. IAPD ↗
48
BLUE JEAN FINANCIAL LLC — notice-filed in FL, MN, NC, PA. IAPD ↗
47
SEARLE & CO. — notice-filed in AL, TN. IAPD ↗
47
SUNBELT SECURITIES — notice-filed in AK. IAPD ↗
47
TFC FINANCIAL MANAGEMENT INC — notice-filed in NC. IAPD ↗
47
BEDEL FINANCIAL CONSULTING INC — notice-filed in WI. IAPD ↗
47
EAGLE CAPITAL MANAGEMENT LLC — notice-filed in IA. IAPD ↗
47
HUDSON VALLEY INVESTMENT ADVISORS, INC. — notice-filed in WA. IAPD ↗
47
BEESE FULMER PRIVATE WEALTH MANAGEMENT — notice-filed in TN. IAPD ↗
47
NEWSOUTH CAPITAL MANAGEMENT INC — notice-filed in WI. IAPD ↗
47
AMERICAN CAPITAL MANAGEMENT INC — notice-filed in DE. IAPD ↗
47
JSF FINANCIAL, LLC — notice-filed in PA. IAPD ↗
47
CALLAHAN ADVISORS, LLC — notice-filed in CO. IAPD ↗
47
DISCIPLINED INVESTORS, L.L.C. — notice-filed in FL, LA. IAPD ↗
47
GIBRALTAR CAPITAL MANAGEMENT, INC. — notice-filed in FL, LA. IAPD ↗
47
VALEO FINANCIAL ADVISORS, LLC — notice-filed in HI. IAPD ↗
47
APRIO WEALTH MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
47
MJP WEALTH ADVISORS — notice-filed in AZ. IAPD ↗
47
BASSO CAPITAL MANAGEMENT, L.P. — notice-filed in CA. IAPD ↗
47
FREESTONE CAPITAL MANAGEMENT, LLC — notice-filed in KS. IAPD ↗
47
MAINLINE WEST FUND MANAGER LLC — notice-filed in OK. IAPD ↗
47
STRATEGIC WEALTH PARTNERS, LTD. — notice-filed in PR. IAPD ↗
47
STILLWATER CAPITAL ADVISORS, LLC — notice-filed in SC. IAPD ↗
47
ASHTON THOMAS PRIVATE WEALTH — notice-filed in IA. IAPD ↗
47
VERITY ASSET MANAGEMENT — notice-filed in VT. IAPD ↗
47
ISC ADVISORS, INC. — notice-filed in IN. IAPD ↗
47
MBM WEALTH CONSULTANTS, LLC — notice-filed in WA, WI. IAPD ↗
47
BEACON FINANCIAL ADVISORY LLC — notice-filed in KY, UT. IAPD ↗
47
BOSTONPREMIER WEALTH — notice-filed in CA, NJ. IAPD ↗
47
ABOUND WEALTH MANAGEMENT, LLC — notice-filed in KY. IAPD ↗
47
EVERSOURCE WEALTH ADVISORS, LLC — notice-filed in KY. IAPD ↗
47
SLATESTONE WEALTH LLC — notice-filed in PA. IAPD ↗
47
JORDAN PARK GROUP LLC — notice-filed in MA. IAPD ↗
47
CAPITA FINANCIAL NETWORK, LLC — notice-filed in TN. IAPD ↗
47
WESTWOOD WEALTH MANAGEMENT — notice-filed in LA, NV. IAPD ↗
47
LEGACY CAPITAL WEALTH PARTNERS, LLC — notice-filed in MO. IAPD ↗
47
THURSTON SPRINGER ADVISORS — notice-filed in DE. IAPD ↗
47
WEDMONT PRIVATE CAPITAL — notice-filed in WI. IAPD ↗
47
SYNERGY INVESTMENT MANAGEMENT LLC — notice-filed in NH, NY. IAPD ↗
47
TRIAGEN WEALTH MANAGEMENT LLC — notice-filed in NH, NY. IAPD ↗
47
WEALTHPLAN INVESTMENT MANAGEMENT LLC — notice-filed in MT. IAPD ↗
47
MARIPAU WEALTH MANAGEMENT LLC — notice-filed in NC, NH. IAPD ↗
47
GATEWAY WEALTH PARTNERS, LLC — notice-filed in NM. IAPD ↗
47
INTELLUS ADVISORS, LLC — notice-filed in AZ. IAPD ↗
47
BERMAN MCALEER — notice-filed in AZ. IAPD ↗
46
ORCA INVESTMENT MANAGEMENT, LLC — notice-filed in AZ, CO, KY. IAPD ↗
46
DYNAMIC WEALTH ADVISORS — notice-filed in FL, IN, WA. IAPD ↗
46
YOUR FINANCIAL PHARMACIST — notice-filed in KY, NE, NH. IAPD ↗
46
AWH FINANCIAL, LLC — notice-filed in HI, KS, SC. IAPD ↗
46
INTEGRATED PLANNING & WEALTH MANAGEMENT, LLC — notice-filed in CA, HI, PA. IAPD ↗
46
SUNBEAM CAPITAL MANAGEMENT, LLC — notice-filed in LA, NY, TX. IAPD ↗
46
DOMAIN MONEY ADVISORS, LLC — notice-filed in MA, MI, MO. IAPD ↗
46
THE QUICK GROUP LLC — notice-filed in FL, NJ, TX. IAPD ↗
46
PERSIMMON CAPITAL MANAGEMENT — notice-filed in CA, CO, WI. IAPD ↗
45
AMERICAN INVESTORS CO — notice-filed in VA. IAPD ↗
45
APC FINANCIAL PLANNING — notice-filed in MA. IAPD ↗
45
WEALTH MANAGEMENT RESOURCES, INC. — notice-filed in ME. IAPD ↗
45
CLARITI WEALTH ADVISORS — notice-filed in SC. IAPD ↗
45
ATLAS CAPITAL MANAGEMENT CORP — notice-filed in AZ. IAPD ↗
45
PARK PLACE CAPITAL CORPORATION — notice-filed in SC. IAPD ↗
45
LINCOLN CAPITAL CORPORATION — notice-filed in NC. IAPD ↗
45
NOESIS CAPITAL MANAGEMENT CORP — notice-filed in KS. IAPD ↗
45
THE CAPITAL MANAGEMENT CORPORATION — notice-filed in GA. IAPD ↗
45
GALLACHER CAPITAL MANAGEMENT, LLC — notice-filed in MN. IAPD ↗
45
FINANCIAL SECURITY MANAGEMENT, INC — notice-filed in MT. IAPD ↗
45
FINANCIAL MANAGEMENT STRATEGIES, INC. — notice-filed in NY. IAPD ↗
45
HIXON ZUERCHER CAPITAL MANAGEMENT — notice-filed in MI. IAPD ↗
45
GRADIENT WEALTH MANAGEMENT — notice-filed in ND. IAPD ↗
45
GOEPPER BURKHARDT LLC — notice-filed in TN. IAPD ↗
45
ETF PORTFOLIO PARTNERS, INC. — notice-filed in NC. IAPD ↗
45
CALIFORNIA CAPITAL MANAGEMENT — notice-filed in NC. IAPD ↗
45
FORUM PRIVATE CLIENT GROUP — notice-filed in MI. IAPD ↗
45
REAP FINANCIAL GROUP, LLC — notice-filed in CO. IAPD ↗
45
PARK, MILLER, LLC — notice-filed in AZ. IAPD ↗
45
LANTERN WEALTH ADVISORS, LLC — notice-filed in VA. IAPD ↗
45
PEDDOCK CAPITAL ADVISORS, LLC — notice-filed in NH. IAPD ↗
45
UNITED FINANCIAL PLANNING GROUP LLC — notice-filed in CT. IAPD ↗
45
MONTE FINANCIAL GROUP, LLC — notice-filed in NJ. IAPD ↗
45
GLOBAL VIEW CAPITAL MANAGEMENT LLC — notice-filed in NJ. IAPD ↗
45
ROTHSCHILD CAPITAL PARTNERS — notice-filed in VA. IAPD ↗
45
FSA INVESTMENT GROUP, LLC — notice-filed in NV. IAPD ↗
45
MOSAIC ADVISORS — notice-filed in NV. IAPD ↗
45
LAKE TAHOE WEALTH MANAGEMENT, INC. — notice-filed in MN. IAPD ↗
45
GEOMETRIC WEALTH ADVISORS, LLC — notice-filed in PA. IAPD ↗
45
ROSE CAPITAL ADVISORS, LLC — notice-filed in CT. IAPD ↗
45
NOVAPOINT CAPITAL LLC — notice-filed in VA. IAPD ↗
45
PROFESSIONAL FINANCIAL ADVISORS, LLC — notice-filed in LA. IAPD ↗
45
LEADING EDGE FINANCIAL PLANNING LLC — notice-filed in MD. IAPD ↗
45
GREAT OAK CAPITAL PARTNERS, LLC — notice-filed in CT. IAPD ↗
45
GIBBS WEALTH MANAGEMENT, LLC — notice-filed in WV. IAPD ↗
45
VERMILLION WEALTH MANAGEMENT INC. — notice-filed in TX. IAPD ↗
45
ISTO ADVISORS, LLC — notice-filed in NY. IAPD ↗
45
OASIS WEALTH PLANNING ADVISORS — notice-filed in SC. IAPD ↗
45
XYPN INVEST — notice-filed in OR. IAPD ↗
45
STRATA WEALTH ADVISORS, LLC — notice-filed in MT. IAPD ↗
45
WHITAKER-MYERS WEALTH MANAGERS, LTD. — notice-filed in OR. IAPD ↗
45
PLAN A WEALTH, LLC — notice-filed in CA. IAPD ↗
45
PCG WEALTH MANAGEMENT — notice-filed in MI. IAPD ↗
45
BROOKLYN FI, LLC — notice-filed in OH. IAPD ↗
45
LAKE STREET — notice-filed in MN. IAPD ↗
45
TRUEWEALTH ADVISORS, LLC — notice-filed in VA. IAPD ↗
45
RANCH CAPITAL ADVISORS INC. — notice-filed in NH. IAPD ↗
45
BROWN | MILLER WEALTH MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
45
GRAYSTONE PARTNERS WEALTH MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
45
626 FINANCIAL, LLC — notice-filed in OR. IAPD ↗
45
SERENITY INVESTMENT ADVISORS — notice-filed in NM. IAPD ↗
45
ADAMSBROWN WEALTH CONSULTANTS LLC — notice-filed in CA. IAPD ↗
45
EDGEROCK WEALTH MANAGEMENT — notice-filed in LA. IAPD ↗
45
ARGONAUTICA PRIVATE WEALTH MANAGEMENT, INC — notice-filed in NC. IAPD ↗
45
PORTFOLIO DESIGN LABS, LLC — notice-filed in KS. IAPD ↗
45
ZENITH WEALTH ADVISORS — notice-filed in CO. IAPD ↗
45
JOYCE WEALTH MANAGEMENT, LLC — notice-filed in GA. IAPD ↗
45
MARIDEA WEALTH MANAGEMENT — notice-filed in IL. IAPD ↗
45
TRIAD WEALTH PARTNERS, LLC — notice-filed in MT. IAPD ↗
45
CURIO WEALTH, LLC — notice-filed in CA. IAPD ↗
45
PITCAIRN WEALTH ADVISORS LLC — notice-filed in FL. IAPD ↗
44
STERLING WEALTH ADVISORS, INC. — notice-filed in NC, TN. IAPD ↗
44
CORE PLANNING — notice-filed in AR, WA. IAPD ↗
44
O'CONNOR FINANCIAL GROUP LLC — notice-filed in FL, NE. IAPD ↗
44
TOPTIER WEALTH MANAGEMENT — notice-filed in IL, MN. IAPD ↗
44
WINCAP FINANCIAL LLC — notice-filed in CO, NJ. IAPD ↗
43
INVESTMENT ADVISORY GROUP LLC — filed an Item 4A succession naming INVESTMENT ADVISORY GROUP LLC (CRD 109445) — an entity change, not a deal. IAPD ↗
42
COORDINATED CAPITAL SECURITIES, INC. — notice-filed in OR. IAPD ↗
42
WESTPARK CAPITAL, INC. — notice-filed in MS. IAPD ↗
42
CAROLINA FINANCIAL ADVISORS, INC. — notice-filed in CO. IAPD ↗
42
RMG ADVISORS — notice-filed in NY. IAPD ↗
42
PACIFIC COAST INVESTMENT ADVISORS, LLC — notice-filed in WA. IAPD ↗
42
SECURE INVESTMENT MANAGEMENT, LLC — notice-filed in UT. IAPD ↗
42
SCHWALLIER WEALTH MANAGEMENT — notice-filed in NE. IAPD ↗
42
MARMO FINANCIAL GROUP, LLC — notice-filed in LA. IAPD ↗
42
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC — notice-filed in VA. IAPD ↗
42
GLOBAL VALUE INVESTMENT CORPORATION — notice-filed in WV. IAPD ↗
42
GUARDIAN ASSET ADVISORS, LLC — notice-filed in WV. IAPD ↗
42
FINANCIAL ELEMENTS, INC — notice-filed in WA. IAPD ↗
42
RGA INVESTMENT ADVISORS, LLC — notice-filed in FL. IAPD ↗
42
THE DOWLING GROUP WEALTH MANAGEMENT — notice-filed in WA. IAPD ↗
42
ONE ADVISORY PARTNERS, LLC — notice-filed in NC. IAPD ↗
42
RETIREMENT STRATEGIES, LTD. — notice-filed in CA. IAPD ↗
42
LAUGHLIN FINANCIAL LLC — notice-filed in IL. IAPD ↗
42
RUTHERFORD INVESTMENT MANAGEMENT — notice-filed in ID. IAPD ↗
42
REDWOOD INVESTMENT GROUP, INC — notice-filed in ID. IAPD ↗
42
SIMS INVESTMENT MANAGEMENT LLC — notice-filed in TN. IAPD ↗
42
ANKERSTAR WEALTH, LLC — notice-filed in NH. IAPD ↗
42
WEATHERHELM CAPITAL MANAGEMENT LLC — notice-filed in TX. IAPD ↗
42
GATES PASS ADVISORS, LLC — notice-filed in TX. IAPD ↗
42
FIRST AMERICAN ASSET ADVISORY, LLC — notice-filed in TX. IAPD ↗
42
17 CAPITAL PARTNERS, LLC — notice-filed in MI. IAPD ↗
42
BUCKET LIST WEALTH MANAGEMENT, LLC — notice-filed in NH. IAPD ↗
42
ALLARIA ASSET MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
42
RHEECO, INC. — notice-filed in NH. IAPD ↗
42
STRATTON CAPITAL INVESTMENT ADVISORY LLC — notice-filed in TX. IAPD ↗
42
CORNERSTONE WEALTH ADVISORS, INC. — notice-filed in SC. IAPD ↗
42
FREEDOM FAMILY OFFICE, LLC — notice-filed in AZ. IAPD ↗
42
TARGET ROCK WEALTH MANAGEMENT, LLC — notice-filed in CT. IAPD ↗
42
INVESTMENT ADVISOR GROUP — notice-filed in DE. IAPD ↗
42
GREAT RIVER FINANCIAL — notice-filed in NH. IAPD ↗
42
AXIM PLANNING & WEALTH — notice-filed in ID. IAPD ↗
42
RETIREMENT FINANCIAL GROUP, LLC — notice-filed in PA. IAPD ↗
42
PRINCIPLED ADVISORS, INC. — notice-filed in FL. IAPD ↗
42
MEMBERS WEALTH LLC — notice-filed in NY. IAPD ↗
42
GENERATIONAL PRIVATE WEALTH — notice-filed in VA. IAPD ↗
42
NINE30 ADVISORS LLC — notice-filed in VA. IAPD ↗
42
RIGDEN CAPITAL STRATEGIES — notice-filed in PA. IAPD ↗
42
FJELL CAPITAL — notice-filed in MN. IAPD ↗
42
ALTITUDE CAPITAL MANAGEMENT LLC — notice-filed in DE. IAPD ↗
42
XXI WEALTH, LLC — notice-filed in TX. IAPD ↗
42
TRUEHAVEN CAPITAL — notice-filed in TN. IAPD ↗
42
STATERA WEALTH MANAGEMENT — notice-filed in TX. IAPD ↗
42
ARIA WEALTH PARTNERS — notice-filed in TX. IAPD ↗
42
CONNECTIVE WEALTH PARTNERS, LLC — notice-filed in OR. IAPD ↗
42
LYONS CAPITAL GROUP — notice-filed in TX. IAPD ↗
88
NEW WAVE LOANS RESIDENTIAL, LLC — (NORTH MIAMI BEACH, FL) is newly SEC-registered with $680.4M RAUM and 2 advisory reps. IAPD ↗institutional
85
"THE PILOT'S ADVISOR," LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
PCM MANAGEMENT ADVISOR, LLC — (CHAGRIN FALLS, OH) is newly SEC-registered with $7.64B RAUM and 23 advisory reps. IAPD ↗fund
85
CARO INVESTORS — (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
85
GROWTH LENDING GP LLC — (ROSWELL, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
KOMPASS KAPITAL ADVISORS, LLC — (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
CAMBERLINE CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
OUTLIER GLOBAL MANAGEMENT — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
MATRIX CAPITAL PARTNERS, LLC — (WESTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
TRAILS EDGE CAPITAL PARTNERS, LP — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
SUPERSTATE ADVISERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
DRONA PARTNERS CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
CANTOR OCS ASSET MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
KINGSBRIDGE INVESTMENT PARTNERS LLC — (LAS VEGAS, NV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
TURAS CAPITAL MANAGEMENT — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
MOTUM CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
GRIFFIN GLOBAL ASSET MANAGEMENT — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
ARIXA MANAGEMENT, LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 20 advisory reps. IAPD ↗institutional
83
PRELUDE GROWTH PARTNERS MANAGEMENT COMPANY, LLC — (NEW YORK, NY) is newly SEC-registered with $589.8M RAUM and 9 advisory reps. IAPD ↗fund
83
RIVERSPAN PARTNERS LP — (CHICAGO, IL) is newly SEC-registered with $312.3M RAUM and 8 advisory reps. IAPD ↗fund
83
CLEARLIST CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $434.1M RAUM and 2 advisory reps. IAPD ↗fund
80
CHECKETTS PARTNERS INVESTMENT MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $122.1M RAUM and 2 advisory reps. IAPD ↗fund
80
TOCCATA CAPITAL — (location n/a) is newly SEC-registered with $50.0M RAUM and 1 advisory reps. IAPD ↗fund
80
80
XCELLERANT VENTURES, LLC — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $25.5M RAUM and 6 advisory reps. IAPD ↗fund
80
LOCK 8 PARTNERS — (NEW YORK, NY) is newly SEC-registered with $196.4M RAUM and 7 advisory reps. IAPD ↗fund
80
TORQUE ASSET MANAGEMENT LLC — (location n/a) is newly SEC-registered with $216.6M RAUM and 3 advisory reps. IAPD ↗fund
80
TABERNACLE EQUITY MANAGEMENT LLC — (SOUTHLAKE, TX) is newly SEC-registered with $48.8M RAUM and 4 advisory reps. IAPD ↗fund
80
O ASSET MANAGEMENT LLC — (FAIRPORT, NY) is newly SEC-registered (provisional 120-day approval) with $16.0M RAUM and 10 advisory reps. IAPD ↗fund
75
70
70
70
70
65
WEALTH MANAGEMENT GROUP AG — (ZURICH, Switzerland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
VIRGO DIGITAL ASSET MANAGEMENT INC. — (NORTH YORK, Canada) is newly SEC-registered with $9.9M RAUM and 2 advisory reps. IAPD ↗foreign
65
MOMA INTERNATIONAL — (PORTO ALEGRE, RIO GRANDE DO SUL, Brazil) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
CAPSIGMA INVESTMENT PARTNERS LTDA — (SAO PAULO, SP, Brazil) is newly SEC-registered with $19.3M RAUM and 5 advisory reps. IAPD ↗foreign
63
63
CC CAPITAL INSURANCE ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗institutional
62
61
61
60
60
RECKONER CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
ALTIUM INVESTMENT STRATEGIES LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
60
ARROW INVESTMENT MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
THREE FIFTY EIGHT INVESTMENT GROUP, LLC — 's provisional registration is now fully approved. IAPD ↗fund
60
60
59
58
58
58
58
58
57
56
56
55
55
THREE FIFTY EIGHT INVESTMENT GROUP, LLC — now reports custody of client assets ($25.00B). IAPD ↗fund
55
55
55
55
53
53
52
52
51
51
50
50
49
48
47
46
45
JOHN HANCOCK VARIABLE TRUST ADVISERS LLC — 's Item 11 disclosure-reporting entries rose by 1 (15 -> 16). IAPD ↗institutional
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗institutional
45
COMPASS GROUP MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
45
45
45
45
VALUEQUEST INVESTMENT ADVISORS PRIVATE LTD — now reports 1 private fund(s) ($22.1M gross). IAPD ↗foreign
45
45
FLEXPATH STRATEGIES — notice-filed in DC, DE, FL, GA, IA, ID, IL, IN, KS, LA, MA, MD, MI, MN, MO, NC, NE, NJ, NM, NV, NY, OH, OK, PA, UT, WA, WI. IAPD ↗institutional
44
44
44
43
43
42
40
40
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 2 (701 -> 703). IAPD ↗institutional
40
ALLIANCEBERNSTEIN HOLDING L.P. — 's Item 11 disclosure-reporting entries rose by 1 (12 -> 13). IAPD ↗institutional
40
ALLIANCEBERNSTEIN CORPORATION — 's Item 11 disclosure-reporting entries rose by 1 (10 -> 11). IAPD ↗institutional
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 1 (133 -> 134). IAPD ↗institutional
40
AB BROADLY SYNDICATED LOAN MANAGER LLC — 's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗fund
40
ALTIUM INVESTMENT STRATEGIES LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗institutional
40
40
40
38
38
38
GARNET CREDIT MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (4 -> 5). IAPD ↗fund
37
35
CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC — 's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗fund
34
32
32
32
32
32
30
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗foreign
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (136 -> 138). IAPD ↗foreign
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (140 -> 142). IAPD ↗foreign
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗foreign
25
ICICI ASSET MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗foreign
23
21
17
17
15
12
Free page: firm, event, phone, website. The paid feed adds every window as CSV, filters by state and AUM band, and alerts the day the roster drops. Data: SEC Form ADV monthly roster; confirm on IAPD before acting.