← Tributary

Compliance — August 2025

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

526 firms opened this window in the August 2025 SEC roster: 236 state expansion, 182 new registration, 29 disclosure added, 27 headcount up, 25 custody started, 14 private funds started, 5 wrap program started, 4 aum crossed 1b, 4 reorganization.

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

95
MONEY MANAGERS INC — (SAN ANTONIO, TX) is newly SEC-registered with $123.2M RAUM and 4 advisory reps. IAPD ↗
$123.2M RAUM · 4 reps · (210)349-9494 · moneymanagersinctx.com
95
DEWITT CAPITAL MANAGEMENT — (COLLEGEVILLE, PA) is newly SEC-registered with $110.9M RAUM and 3 advisory reps. IAPD ↗
$110.9M RAUM · 3 reps · 610-910-9110 · dewittcm.com
95
ANDERSON GRIGGS INVESTMENTS — (ROCK HILL, SC) is newly SEC-registered with $120.3M RAUM and 3 advisory reps. IAPD ↗
$120.3M RAUM · 3 reps · 803-324-5044 · andersongriggs.com
95
MILLENIA FINANCIAL PARTNERS, LLC — (location n/a) is newly SEC-registered with $115.8M RAUM and 1 advisory reps. IAPD ↗
$115.8M RAUM · 1 reps · 908-268-5550
95
FORTUNE FINANCIAL GROUP, INC. — (GLEN ELLYN, IL) is newly SEC-registered with $107.0M RAUM and 3 advisory reps. IAPD ↗
$107.0M RAUM · 3 reps · 630-942-9007 · fortunefinancialgroup.com
95
THE STEWARDSHIP CENTER, INC. — (location n/a) is newly SEC-registered with $135.1M RAUM and 2 advisory reps. IAPD ↗
$135.1M RAUM · 2 reps · 800-528-6191 · thestewardshipcenter.com
95
JJSA ADVISORS, LTD. — (VIRGINIA BEACH, VA) is newly SEC-registered with $127.9M RAUM and 2 advisory reps. IAPD ↗
$127.9M RAUM · 2 reps · 757-473-0004 · jjsadvisors.com
95
MARATHON STRATEGIC ADVISORS, LLC — (PITTSBURGH, PA) is newly SEC-registered with $130.4M RAUM and 1 advisory reps. IAPD ↗
$130.4M RAUM · 1 reps · 740-282-5198 · mstrategic.com
95
FORREST FINANCIAL SERVICES — (WINDSOR HEIGHTS, IA) is newly SEC-registered with $127.0M RAUM and 2 advisory reps. IAPD ↗
$127.0M RAUM · 2 reps · (515) 277-3495 · forrestfinancialservices.com
95
THE JENKINS GROUP — (ALBANY, GA) is newly SEC-registered with $220.7M RAUM and 3 advisory reps. IAPD ↗
$220.7M RAUM · 3 reps · 229-883-8028
95
NEW ENGLAND SCHOONER, INC. — (PEABODY, MA) is newly SEC-registered with $130.8M RAUM and 4 advisory reps. IAPD ↗
$130.8M RAUM · 4 reps · 978-977-4757 · neschooner.com
95
FIVE SEASONS FINANCIAL PLANNING LLC — (SALT LAKE CITY, UT) is newly SEC-registered with $109.3M RAUM and 1 advisory reps. IAPD ↗
$109.3M RAUM · 1 reps · 801-272-0902 · fiveseasonsfinancialplanning.com
95
ARGENT WEALTH MANAGEMENT, INC. — (ROUND ROCK, TX) is newly SEC-registered with $137.8M RAUM and 2 advisory reps. IAPD ↗
$137.8M RAUM · 2 reps · 512-238-6883 · awmtx.com
95
LIBERTY ASSET MANAGEMENT — (ALLENTOWN, PA) is newly SEC-registered with $106.2M RAUM and 5 advisory reps. IAPD ↗
$106.2M RAUM · 5 reps · 610 398-7333
95
PEAK AMERICAN INVESTMENT ADVISORS, INC. — (PLANO, TX) is newly SEC-registered with $100.4M RAUM and 11 advisory reps. IAPD ↗
$100.4M RAUM · 11 reps · 800-513-3243 · peakamericanfinancial.com
95
MASONBORO ADVISORS — (WILMINGTON, NC) is newly SEC-registered with $155.9M RAUM and 7 advisory reps. IAPD ↗
$155.9M RAUM · 7 reps · 910-742-0509 · thecortrogersproject.com
95
SIDOXIA CAPITAL MANAGEMENT, LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $126.7M RAUM and 2 advisory reps. IAPD ↗
$126.7M RAUM · 2 reps · 949-258-4322 · sidoxia.com
95
THE SHERRY GROUP, INC. — (MOUNTAIN HOME, AR) is newly SEC-registered with $111.9M RAUM and 3 advisory reps. IAPD ↗
$111.9M RAUM · 3 reps · 870-425-8252
95
STRUCTURED WEALTH MANAGEMENT, INC. — (TOLEDO, OH) is newly SEC-registered with $169.0M RAUM and 2 advisory reps. IAPD ↗
$169.0M RAUM · 2 reps · 419-517-1227 · structuredplan.com
95
CRESCENT CITY RETIREMENT GROUP — (METAIRIE, LA) is newly SEC-registered with $109.0M RAUM and 1 advisory reps. IAPD ↗
$109.0M RAUM · 1 reps · 504-828-2171 · theretirementkeys.com
95
SKYLINE FINANCIAL NORTHWEST — (PORTLAND, OR) is newly SEC-registered with $111.3M RAUM and 2 advisory reps. IAPD ↗
$111.3M RAUM · 2 reps · 888-739-7369 · skylinefinancialnw.com
95
THE CARROLL GROUP, INC. — (location n/a) is newly SEC-registered with $133.7M RAUM and 1 advisory reps. IAPD ↗
$133.7M RAUM · 1 reps · 404-285-5811
95
AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC — (CRYSTAL LAKE, IL) is newly SEC-registered with $115.9M RAUM and 4 advisory reps. IAPD ↗
$115.9M RAUM · 4 reps · 815-479-9024
95
GROSS DOMESTIC PRODUCT, INC — (location n/a) is newly SEC-registered with $119.7M RAUM and 1 advisory reps. IAPD ↗
$119.7M RAUM · 1 reps · 310-341-2890
95
ASCENDOR WEALTH, LLC — (WILMINGTON, NC) is newly SEC-registered with $116.8M RAUM and 5 advisory reps. IAPD ↗
$116.8M RAUM · 5 reps · 910-790-0122
95
BISON INVESTMENT ADVISORS, LLC — (THE WOODLANDS, TX) is newly SEC-registered with $140.1M RAUM and 2 advisory reps. IAPD ↗
$140.1M RAUM · 2 reps · 281-665-3616 · bisoninvestmentadvisors.com
95
ICOM ADVISORS, LLC — (location n/a) is newly SEC-registered with $123.4M RAUM and 4 advisory reps. IAPD ↗
$123.4M RAUM · 4 reps · 985-373-3504 · icom.hostedbybread.com
95
TKC WEALTH MANAGEMENT LLC — (DALLAS, TX) is newly SEC-registered with $121.8M RAUM and 5 advisory reps. IAPD ↗
$121.8M RAUM · 5 reps · 214-389-2000 · tkcadvisors.com
95
MCGUIRE CAPITAL ADVISORS, INC. — (BETHANY, OK) is newly SEC-registered with $116.1M RAUM and 4 advisory reps. IAPD ↗
$116.1M RAUM · 4 reps · 405-378-2233 · mcguirecap.com
95
STRATFI — (WILMINGTON, DE) is newly SEC-registered with $104.5M RAUM and 2 advisory reps. IAPD ↗
$104.5M RAUM · 2 reps · 302-884-6742
95
PUREWATER CAPITAL, LLC — (FORT WORTH, TX) is newly SEC-registered with $111.6M RAUM and 3 advisory reps. IAPD ↗
$111.6M RAUM · 3 reps · (817) 416-8680
95
NORTHERN LIGHTS ADVISORS, INC. — (SEATTLE, WA) is newly SEC-registered with $131.7M RAUM and 3 advisory reps. IAPD ↗
$131.7M RAUM · 3 reps · 206-203-6638
95
ARBOR WEALTH MANAGEMENT, LLC — (TEMPE, AZ) is newly SEC-registered with $107.3M RAUM and 2 advisory reps. IAPD ↗
$107.3M RAUM · 2 reps · 480-818-8300
95
PACIFIC EXCEL WEALTH ADVISORS, INC. — (WALNUT CREEK, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (925) 464-7445 · pacificexcel.com
95
BRIDGE FINANCIAL PLANNING, LLC — (location n/a) is newly SEC-registered with $93.3M RAUM and 2 advisory reps. IAPD ↗
$93.3M RAUM · 2 reps · 423-933-2722
95
ARK ROYAL WEALTH MANAGEMENT LLC — (RALEIGH, NC) is newly SEC-registered with $139.3M RAUM and 3 advisory reps. IAPD ↗
$139.3M RAUM · 3 reps · 919-710-8665
95
RENAISSANCE ADVISORS — (RIDGELAND, MS) is newly SEC-registered with $147.6M RAUM and 2 advisory reps. IAPD ↗
$147.6M RAUM · 2 reps · 601-714-1034 · renadv.com
95
SONNET, LLC — (SPRING, TX) is newly SEC-registered with $117.5M RAUM and 4 advisory reps. IAPD ↗
$117.5M RAUM · 4 reps · 281-404-4346 · sonnetinvest.com
95
BIREME CAPITAL, LLC — (ROCKVILLE, MD) is newly SEC-registered with $168.4M RAUM and 2 advisory reps. IAPD ↗
$168.4M RAUM · 2 reps · (813) 603-2615
95
GRANADA WEALTH MANAGEMENT, LLC — (DAVIDSON, NC) is newly SEC-registered with $151.1M RAUM and 1 advisory reps. IAPD ↗
$151.1M RAUM · 1 reps · 888-928-9728 · granadawm.com
95
ANTIGRAVITY INVESTMENTS — (location n/a) is newly SEC-registered with $520,030 RAUM and 2 advisory reps. IAPD ↗
$520,030 RAUM · 2 reps · 650-273-6362
95
SECURE WEALTH, INC. — (BOCA RATON, FL) is newly SEC-registered with $113.0M RAUM and 3 advisory reps. IAPD ↗
$113.0M RAUM · 3 reps · 561-340-2667
95
OLIVE STREET CAPITAL PARTNERS LLC — (LOS ANGELES, CA) is newly SEC-registered with $145.3M RAUM and 1 advisory reps. IAPD ↗
$145.3M RAUM · 1 reps · 3105041101
95
LEXINGTON HILL PARTNERS, LLC — (DALLAS, TX) is newly SEC-registered with $170.7M RAUM and 5 advisory reps. IAPD ↗
$170.7M RAUM · 5 reps · 214-225-1891 · lexingtonhillpartners.com
95
LEGACY FINANCIAL ADVISORS — (location n/a) is newly SEC-registered with $115.8M RAUM and 3 advisory reps. IAPD ↗
$115.8M RAUM · 3 reps · 912-634-8338 · legacyfallc.com
95
TRUE BLUE FINANCIAL, LLC — (STEVENSVILLE, MI) is newly SEC-registered with $193.7M RAUM and 4 advisory reps. IAPD ↗
$193.7M RAUM · 4 reps · (269) 982-2710
95
STRATEGIC ADVISORY PARTNERS — (GREENSBORO, NC) is newly SEC-registered with $124.3M RAUM and 3 advisory reps. IAPD ↗
$124.3M RAUM · 3 reps · 336-790-2560 · strategicadvisorypartners.com
95
M2G VENTURES LLC — (FORT WORTH, TX) is newly SEC-registered with $156.2M RAUM and 15 advisory reps. IAPD ↗
$156.2M RAUM · 15 reps · 817-898-8515
95
LYON WEALTH ADVISORS — (CHARLOTTE, NC) is newly SEC-registered with $198.4M RAUM and 3 advisory reps. IAPD ↗
$198.4M RAUM · 3 reps · 704-424-9780
95
MICA CREEK CAPITAL LLC — (STEAMBOAT SPRINGS, CO) is newly SEC-registered with $169.8M RAUM and 2 advisory reps. IAPD ↗
$169.8M RAUM · 2 reps · 917-399-0058
95
BUENWEALTH — (MIAMI, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (786) 702 0078 · buenbit.onelink.me
95
STONEBRIAR WEALTH, LLC — (LEHI, UT) is newly SEC-registered with $100.0M RAUM and 4 advisory reps. IAPD ↗
$100.0M RAUM · 4 reps · 385-314-3300 · stonebriarwealthadvisors.com
95
RIDGEGATE ADVISORS, LLC — (ENGLEWOOD, CO) is newly SEC-registered with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 303-791-2253 · ridgegatefinancial.com
95
LEGACY WEALTH ADVISOR LLC — (LYNCHBURG, VA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (434) 266-8044
95
SHARP WEALTH MANAGEMENT — (SPRINGFIELD, MO) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 417-990-5412 · sharpwm.com
95
OAKWORTH ASSET MANAGEMENT, LLC — (BIRMINGHAM, AL) is newly SEC-registered with $0 RAUM and 15 advisory reps. IAPD ↗
$0 RAUM · 15 reps · 205-263-4700
95
CRECER — (location n/a) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 415-295-2054
95
CEDAR COVE WEALTH PARTNERS — (BLOOMINGTON, MN) is newly SEC-registered with $0 RAUM and 11 advisory reps. IAPD ↗
$0 RAUM · 11 reps · 952-358-3456 · cedarcovewealth.com
95
CROSSGEN WEALTH LLC — (GREENVILLE, NC) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 919-669-4355 · crossgenwealth.com
95
INTEGRATIVE PLANNING, INC. — (CORNELIUS, NC) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (704) 947-8444
95
SENSTOMI — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 773-520-5952 · senstomi.com
95
TRITONPOINT CAPITAL, LLC — (CHEVY CHASE, MD) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 301-799-9001
95
INTER ADVISORS LLC — (MIAMI, FL) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 888-305-7264 · inter.co
95
KUBENCE — (location n/a) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 650-308-8398 · kubence.com
95
ACHIEVE RETIREMENT & WEALTH MANAGEMENT, LLC — (RIDGEFIELD, CT) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (203) 642-6781
95
CIO CAPITAL GROUP LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 212-609-2087 · ciocapitalgroup.com
95
HANOVER SQUARE WEALTH ADVISORS LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 336-444-2680 · hanoversquarewa.com
95
PRIVATE WEALTH CONSULTING, LLC — (location n/a) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · (816) 888-9888
95
SIMCO FINANCIAL — (CANANDAIGUA, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (585) 750-2818 · simcoservices.com
95
ELEVATE WEALTH MANAGEMENT — (SHERIDAN, WY) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 307 461-5550 · elevateasset.com
95
WALDO.AI, INC. — (NEW HAVEN, CT) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 203 722 5218 · waldo.finance
95
Z3 CAPITAL PARTNERS — (RICHMOND, VA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 804-256-1770 · z3capital.com
95
LAUREL OAK WEALTH MANAGEMENT, LLC — (MARLTON, NJ) is newly SEC-registered with $0 RAUM and 11 advisory reps. IAPD ↗
$0 RAUM · 11 reps · 856-797-0200
95
1330 ADVISORS, LLC — (ST. PETERSBURG, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 813-758-1430
95
ROY INVESTMENT ADVISORS — (LANCASTER, PA) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 717-278-3122
95
MEADOWBROOK ADVISORS LLC — (MARSHFIELD, MA) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (617) 800-0388
95
MONSON WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 801-822-7977 · monsonwealth.com
95
N FINANCIAL PLANS — (HUNTINGTON, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 631-629-1794
95
ALLOCATOR SOLUTIONS, LLC — (ST LOUIS, MO) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 314 882-9442
95
NERD WALLET WEALTH PARTNERS — (NEW YORK, NY) is newly SEC-registered with $213.4M RAUM and 4 advisory reps. IAPD ↗
$213.4M RAUM · 4 reps · 917-723-1273 · nerdwalletwealthpartners.com
95
MAVS WEALTH MANAGEMENT GROUP, LLC — (ST. PETERSBURG, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 561-543-4340 · mavswealthgroup.com
95
SKM WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 203-518-0329
95
MACCO FINANCIAL GROUP, INC. — (GREEN BAY, WI) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · (920) 617-6830 · maccofinancial.com
95
STONE LOFT WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (610) 812-9867
95
ARDEN GLOBAL FAMILY OFFICES LLC — (PALO ALTO, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 650-680-8160
95
ASCENSION ADVISORS — (SCOTTSDALE, AZ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 415-716-1666 · ascensionadvisors.com
95
DUCERE WEALTH MANAGEMENT — (NEWPORT BEACH, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 714-393-0959
95
TALKABOUTHEALTH DBA ADVIZMO — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-710-1927
95
ROTHWELL INVESTMENT ADVISORS — (SALEM, MA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 978-387-9997 · maitlandfinancialgroup.com
95
ENDURING WEALTH MANAGEMENT, LLC — (MERIDIAN, ID) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 208-409-0147 · enduringwealthmanagement.com
95
ARAGON FAMILY OFFICE LLC — (HOMEWOOD, AL) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 719-244-4814
95
LEGACY ROAD LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-626-1042
85
COMPASS FINANCIAL GROUP, INC — crossed $1B in regulatory AUM ($995.0M -> $1.23B). IAPD ↗
$1.23B RAUM · 7 reps · 605-338-7150 · compassfin.net
85
ROOSEVELT CAPITAL MANAGEMENT LLC — crossed $1B in regulatory AUM ($306.5M -> $1.31B). IAPD ↗
$1.31B RAUM · 2 reps · 214-871-2666
85
KERA CAPITAL PARTNERS — crossed $1B in regulatory AUM ($808.1M -> $1.07B). IAPD ↗
$1.07B RAUM · 8 reps · 408-668-2201 · keracapital.com
85
A&M PRIVATE WEALTH PARTNERS, LLC — crossed $1B in regulatory AUM ($760.6M -> $1.57B). IAPD ↗
$1.57B RAUM · 15 reps · 561-268-0900 · ampwp.com
85
FOCUS PARTNERS WEALTH, LLC — grew from 980 to 1050 advisory reps. IAPD ↗
$95.89B RAUM · 1050 reps · (314) 725-0455
82
ONEPOINT BFG WEALTH PARTNERS — grew from 84 to 96 advisory reps. IAPD ↗
$12.13B RAUM · 96 reps · (973) 575-4180 · bleakley.com
79
APELLA WEALTH — grew from 44 to 53 advisory reps. IAPD ↗
$4.71B RAUM · 53 reps · 860.785.2260
77
GAMCO ASSET MANAGEMENT INC. — grew from 39 to 46 advisory reps. IAPD ↗
$11.47B RAUM · 46 reps · 914-921-5000
75
THEPARTNERS WEALTH MANAGEMENT — grew from 22 to 29 advisory reps. IAPD ↗
$454.5M RAUM · 29 reps · 800-324-3010 · oceanpointefg.com
73
SINGER WEALTH ADVISORS LLC — grew from 11 to 16 advisory reps. IAPD ↗
$668.7M RAUM · 16 reps · 561-998-9985 · singerwealth.com
73
DIGITAL WEALTH PARTNERS — grew from 2 to 7 advisory reps. IAPD ↗
$368.0M RAUM · 7 reps · 307-396-0295 · digitalwealthpartners.net
73
SIGNIFY WEALTH LLC — now reports 1 private fund(s) ($915,000 gross). IAPD ↗
$283.7M RAUM · 4 reps · 314-222-0295
73
DIGITAL WEALTH PARTNERS — now reports 2 private fund(s) ($90.2M gross). IAPD ↗
$368.0M RAUM · 7 reps · 307-396-0295 · digitalwealthpartners.net
72
SANTA BARBARA MANAGEMENT — grew from 2 to 6 advisory reps. IAPD ↗
$259.2M RAUM · 6 reps · 734-604-9891 · santabarbaramanagement.com
71
JOURNEY WEALTH MANAGEMENT — grew from 14 to 17 advisory reps. IAPD ↗
$940.7M RAUM · 17 reps · 216-468-1333 · fsmwealthadvisors.com
70
COMPASS CAPITAL MANAGEMENT INC — now reports custody of client assets ($3.7M). IAPD ↗
$2.54B RAUM · 10 reps · 612-338-4051
70
COMPASS FINANCIAL GROUP, INC — now reports custody of client assets ($580.9M). IAPD ↗
$1.23B RAUM · 7 reps · 605-338-7150 · compassfin.net
70
LARCH CAPITAL PARTNERS LLC — now reports custody of client assets ($580.0M). IAPD ↗
$1.67B RAUM · 6 reps · (786) 677-4120 · larchcapitalpartners.com
70
HORAN WEALTH, LLC — now reports custody of client assets ($286.1M). IAPD ↗
$1.45B RAUM · 22 reps · 513-745-0707 · horanwealth.com
70
SUMMIT WEALTH GROUP — now reports custody of client assets ($953.1M). IAPD ↗
$1.35B RAUM · 27 reps · 7196334033 · summitwealthgroup.com
70
CADENT CAPITAL ADVISORS, LLC — grew from 8 to 10 advisory reps. IAPD ↗
$651.0M RAUM · 10 reps · 918-935-3450 · cadcapital.com
70
HOHIMER WEALTH MANAGEMENT, LLC — grew from 8 to 10 advisory reps. IAPD ↗
$993.7M RAUM · 10 reps · 206-709-5955
70
ASA ASSET MANAGEMENT LLC — grew from 1 to 6 advisory reps. IAPD ↗
$32.5M RAUM · 6 reps · 646-727-4151
70
QUANTUM LEAP CAPITAL, LLC — now reports 1 private fund(s) ($3.0M gross). IAPD ↗
$113.5M RAUM · 3 reps · (802) 448-2882
70
ATLAS — now reports 1 private fund(s) ($0 gross). IAPD ↗
$121.3M RAUM · 5 reps · 805-557-8713
69
HAMPTON ROCK WEALTH MANAGEMENT — grew from 1 to 5 advisory reps. IAPD ↗
$142.1M RAUM · 5 reps · 512-256-9272 · hamptonrock.com
68
ASSET CONSULTING GROUP, LLC — now reports custody of client assets ($589.5M). IAPD ↗
$781.7M RAUM · 32 reps · 314-862-4848 · guggenheimpartners.com
68
PHILIP VONGONTARD, CFA, LLC — now reports custody of client assets ($3.0M). IAPD ↗
$312.9M RAUM · 1 reps · 314-569-2677
68
TED BUCHAN & COMPANY — now reports custody of client assets ($2.3M). IAPD ↗
$347.3M RAUM · 2 reps · 858-605-0686 · tedbuchan.com
68
CALDWELL ADVISORS, LLC — now reports custody of client assets ($104.4M). IAPD ↗
$339.1M RAUM · 5 reps · 615-370-8988
68
ROYAL OAK FINANCIAL GROUP — now reports custody of client assets ($263.0M). IAPD ↗
$263.0M RAUM · 0 reps · 614-842-6090 · royaloakfinancialgroup.com
68
OUTWING PRIVATE WEALTH MANAGEMENT — now reports custody of client assets ($15.1M). IAPD ↗
$302.3M RAUM · 1 reps · (805) 880-9464 · outwingwealth.com
68
SANTA BARBARA MANAGEMENT — now reports custody of client assets ($27.8M). IAPD ↗
$259.2M RAUM · 6 reps · 734-604-9891 · santabarbaramanagement.com
68
CAMBIENT FAMILY OFFICE, LLC — now reports custody of client assets ($668.8M). IAPD ↗
$668.8M RAUM · 3 reps · (616) 330-2270
68
GFG SOLUTIONS — grew from 6 to 9 advisory reps. IAPD ↗
$228.6M RAUM · 9 reps · (412) 740-7930
67
STOREHOUSE FINANCIAL LLC — grew from 3 to 5 advisory reps. IAPD ↗
$207.9M RAUM · 5 reps · 877-305-3233 · storehousefinancial.com
67
FARNAM FINANCIAL — grew from 2 to 4 advisory reps. IAPD ↗
$122.1M RAUM · 4 reps · (602) 603-4000 · farnamfinancial.com
67
PCB CAPITAL LLC — grew from 1 to 3 advisory reps. IAPD ↗
$122.5M RAUM · 3 reps · (732) 634-3620 · pcbfinancial.com
67
PUBLIC ADVISORS LLC — grew from 1 to 3 advisory reps. IAPD ↗
$8.8M RAUM · 3 reps · 212-401-6946 · public.com
67
NEW HORIZONS WEALTH MANAGEMENT — grew from 2 to 4 advisory reps. IAPD ↗
$187.1M RAUM · 4 reps · 973-540-1066 · enjoymore30s.com
67
AGP FRANKLIN, LLC — grew from 2 to 4 advisory reps. IAPD ↗
$195.2M RAUM · 4 reps · 615-778-9842 · aspengroveassetmanagement.com
67
BRAYPARK WEALTH MANAGEMENT — grew from 1 to 3 advisory reps. IAPD ↗
$24.6M RAUM · 3 reps · 714-420-9277 · brayparkwealth.com
65
GIBRALTAR WEALTH MANAGEMENT, LLC — now reports custody of client assets ($23.8M). IAPD ↗
$176.5M RAUM · 4 reps · 215-956-5154 · gibraltarwealth.com
65
MWS CAPITAL CONSULTANTS LLC — now reports custody of client assets ($246,149). IAPD ↗
$157.1M RAUM · 3 reps · 773-412-4302 · mwscapital.com
65
RYDAR EQUITIES, INC. — now reports custody of client assets ($143.0M). IAPD ↗
$150.0M RAUM · 2 reps · 432-634-8673 · rydarequities.com
65
PEAK RETIREMENT PLANNING, INC. — now reports custody of client assets ($242.5M). IAPD ↗
$242.5M RAUM · 13 reps · (614) 500-4121 · peakretirementplanning.com
65
RARE WOLF CAPITAL LLC — now reports custody of client assets ($123.1M). IAPD ↗
$158.4M RAUM · 1 reps · 206-659-8704 · rarewolfcapital.com
65
ELEVATED PRIVATE WEALTH — now reports custody of client assets ($23.3M). IAPD ↗
$108.6M RAUM · 4 reps · 715-797-3358 · elevatedprivatewealth.com
63
FAI ADVISORS, INC. — began participating in a wrap-fee program. IAPD ↗
$301.2M RAUM · 5 reps · 248-482-3600 · financialarch.com
63
LIGHTHOUSE WEALTH STRATEGIES, LLC — began participating in a wrap-fee program. IAPD ↗
$713.5M RAUM · 11 reps · 253-948-3725 · lighthousegigharbor.com
63
MOREY & QUINN WEALTH PARTNERS — began participating in a wrap-fee program. IAPD ↗
$328.1M RAUM · 3 reps · (402) 502-9900 · moreyandquinn.com
60
QUANTUM LEAP CAPITAL, LLC — began participating in a wrap-fee program. IAPD ↗
$113.5M RAUM · 3 reps · (802) 448-2882
60
PROPER WEALTH — began participating in a wrap-fee program. IAPD ↗
$0 RAUM · 4 reps · (850) 972-9725
55
J.P. MORGAN SECURITIES LLC — 's Item 11 disclosure-reporting entries rose by 1 (186 -> 187). IAPD ↗
$352.61B RAUM · 8097 reps · 800-999-2000
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 4 (215 -> 219). IAPD ↗
$824.99B RAUM · 22226 reps · 314-515-2000 · edwardjones.ca
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 2 (343 -> 345). IAPD ↗
$618.92B RAUM · 28347 reps · 704-733-3300
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (644 -> 645). IAPD ↗
$606.04B RAUM · 8410 reps · 314-875-3000
55
CENTAURUS FINANCIAL, INC. — 's Item 11 disclosure-reporting entries rose by 3 (23 -> 26). IAPD ↗
$7.34B RAUM · 375 reps · 714-456-1790 · centaurusfinancial.com
55
MANULIFE INVESTMENT MANAGEMENT (US) LLC — 's Item 11 disclosure-reporting entries rose by 1 (18 -> 19). IAPD ↗
$201.36B RAUM · 144 reps · 617-375-1500 · manulifeim.com
55
VANGUARD ADVISERS, INC. — 's Item 11 disclosure-reporting entries rose by 11 (68 -> 79). IAPD ↗
$300.43B RAUM · 1567 reps · 610-669-1000
55
SAGEVIEW ADVISORY GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
$238.55B RAUM · 133 reps · 800-814-8742
55
AVIDIAN WEALTH SOLUTIONS — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$3.99B RAUM · 32 reps · 281-822-8800 · retirementsurvivalguide.com
55
PNC INVESTMENTS — 's Item 11 disclosure-reporting entries rose by 1 (22 -> 23). IAPD ↗
$26.53B RAUM · 818 reps · 800-762-6111
55
VANGUARD PERSONALIZED INDEXING MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 12 (65 -> 77). IAPD ↗
$7.26B RAUM · 4 reps · 844-317-5190
55
FARTHER — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$7.52B RAUM · 250 reps · 628-246-8004
55
ALLEN CAPITAL GROUP, LLC — notice-filed in IN, LA, SC, TN, WY. IAPD ↗
$1.22B RAUM · 20 reps · 308-385-1500 · allencapgroup.com
53
SECURE ASSET MANAGEMENT, L.L.C. — 's Item 11 disclosure-reporting entries rose by 1 (4 -> 5). IAPD ↗
$890.0M RAUM · 52 reps · 248-414-1562 · re-transition.com
53
1808 CAPITAL PARTNERS — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$651.0M RAUM · 4 reps · 336-814-9800 · 1808capital.com
53
ELEVATED FINANCIAL GROUP — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$399.3M RAUM · 4 reps · 317-533-7721 · elevatedfg.com
53
KIKER WEALTH MANAGEMENT, LLC — notice-filed in AL, MO, NE, NM, OR, WA. IAPD ↗
$268.6M RAUM · 3 reps · 706-253-7285
53
IMPACT PARTNERSHIP WEALTH, LLC — notice-filed in AK, ME, ND, WY. IAPD ↗
$1.68B RAUM · 72 reps · 800-380-5040
53
SHERMAN PORTFOLIOS, LLC — notice-filed in AK, AZ, CA, CO, GA, HI, IA, IL, IN, MA, MI, NC, NE, NV, OH, OK, OR, PA, TN, TX, UT, WA. IAPD ↗
$581.6M RAUM · 3 reps · 800-634-2008 · shermanportfolios.com
53
DIGITAL WEALTH PARTNERS — notice-filed in AK, AZ, DE, MT, ND. IAPD ↗
$368.0M RAUM · 7 reps · 307-396-0295 · digitalwealthpartners.net
53
BALANCE WEALTH — notice-filed in AZ, MD, NC, NH, NY, PA, SC, TN, VA. IAPD ↗
$348.4M RAUM · 8 reps · (800) 551-7787 · balancewealth.com
51
PROVIDENT TRUST COMPANY — notice-filed in CO, CT, WA. IAPD ↗
$6.62B RAUM · 2 reps · 262-521-2300 · provtrust.com
51
FAITHWARD ADVISORS, LLC — notice-filed in KY, MI, MO, NH. IAPD ↗
$906.0M RAUM · 14 reps · 717-560-8300
51
BAKERAVENUE — notice-filed in NM, OH, TN. IAPD ↗
$3.77B RAUM · 29 reps · 415-986-1110 · bakerave.com
51
COASTAL BRIDGE ADVISORS — notice-filed in IL, MN, VT. IAPD ↗
$4.60B RAUM · 22 reps · 203-683-1530
51
ONE WEALTH MAP, LLC — notice-filed in IN, TN, UT. IAPD ↗
$1.10B RAUM · 5 reps · 702-470-2660 · hhtba.net
51
CORNERSTONE PLANNING GROUP — notice-filed in ME, OH, SC, VA. IAPD ↗
$650.0M RAUM · 15 reps · 973-487-3220 · cspgllc.com
50
DIRECTIONAL ASSET MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$117.9M RAUM · 1 reps · 847-749-2312
50
ZERO DAY CAPITAL ENTERPRISES LLC — 's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗
$38.2M RAUM · 15 reps · 702 271 3265 · zerodaycapital.com
50
DMK ADVISOR GROUP, INC. — notice-filed in IL, IN, MA, NC, ND, NJ. IAPD ↗
$84.5M RAUM · 28 reps · 813-996-6100 · dmkadvisorgroup.com
50
PEAK RETIREMENT PLANNING, INC. — notice-filed in CO, GA, IL, MI, NY, PA. IAPD ↗
$242.5M RAUM · 13 reps · (614) 500-4121 · peakretirementplanning.com
49
ALLEN WEALTH MANAGEMENT, LLC — notice-filed in MS, NE, OH. IAPD ↗
$553.9M RAUM · 3 reps · 828-268-9693 · allenwealthmanagement.com
49
CHERRY CREEK FAMILY OFFICES — notice-filed in IL, NC. IAPD ↗
$1.73B RAUM · 4 reps · 303-862-9550 · ccfo.com
49
TRUE PRIVATE WEALTH ADVISORS, LLC — notice-filed in AK, SC. IAPD ↗
$1.26B RAUM · 20 reps · 503-400-3311
49
B.O.S.S. RETIREMENT ADVISORS, LLC — notice-filed in IL, WI. IAPD ↗
$1.06B RAUM · 41 reps · 801-990-5055 · getmorewithboss.com
49
THURSTON SPRINGER ADVISORS — notice-filed in AZ, OR. IAPD ↗
$3.96B RAUM · 68 reps · 317.581.4000 · cohen-cap.com
49
RETIREMENT PLANNING SOLUTIONS, LLC — notice-filed in GA, NH, PA. IAPD ↗
$376.8M RAUM · 11 reps · 502-499-5668 · retirementplanningsolutions.com
49
TRIFECTA CAPITAL ADVISORS, LLC — notice-filed in CO, MI, NY. IAPD ↗
$712.2M RAUM · 3 reps · 1-847-495-2464
49
THREE ARCH WEALTH MANAGEMENT LLC — notice-filed in NE, OR, TX. IAPD ↗
$503.0M RAUM · 4 reps · (949) 400-7107 · threearchwealth.com
48
WHALEN FINANCIAL — notice-filed in DE, HI, KS, WI. IAPD ↗
$192.3M RAUM · 5 reps · 702-878-3900
48
LEGEND CAPITAL — notice-filed in CA, FL, NC, OR. IAPD ↗
$221.7M RAUM · 2 reps · (212) 606-2326 · legendcap.com
47
POPULAR SECURITIES, LLC — notice-filed in CO. IAPD ↗
$2.26B RAUM · 41 reps · 787-758-7400 · popular.com
47
GODSEY & GIBB WEALTH MANAGEMENT — notice-filed in MN. IAPD ↗
$1.40B RAUM · 11 reps · 804-285-7333 · godseyandgibb.com
47
PINNACLE ADVISORS — notice-filed in TN. IAPD ↗
$1.94B RAUM · 19 reps · 419-526-5226 · pinnacleadvisors.com
47
MASLOW WEALTH ADVISORS — notice-filed in OR. IAPD ↗
$2.07B RAUM · 15 reps · 512-610-6930
47
COMPASS CAPITAL MANAGEMENT INC — notice-filed in OK. IAPD ↗
$2.54B RAUM · 10 reps · 612-338-4051
47
PLANNING ALTERNATIVES LTD — notice-filed in VA. IAPD ↗
$1.28B RAUM · 11 reps · 248-645-1520
47
TLG ADVISORS, INC. — notice-filed in PR. IAPD ↗
$1.95B RAUM · 147 reps · 888-371-0013
47
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP — notice-filed in NE. IAPD ↗
$3.10B RAUM · 9 reps · 480-890-8088 · stokerostler.com
47
BOUCHEY FINANCIAL GROUP LTD — notice-filed in NC. IAPD ↗
$1.40B RAUM · 10 reps · 518-720-3333 · boucheyfinancial.com
47
ADVISORNET WEALTH PARTNERS — notice-filed in ND. IAPD ↗
$2.34B RAUM · 74 reps · 612-347-8600
47
PBMARES WEALTH MANAGEMENT LLC — notice-filed in MA. IAPD ↗
$1.30B RAUM · 14 reps · 757.229.7180
47
NORTH STAR INVESTMENT MANAGEMENT CORPORATION — notice-filed in MN. IAPD ↗
$2.28B RAUM · 15 reps · 312-580-0900
47
KANAWHA CAPITAL MANAGEMENT, LLC — notice-filed in WA. IAPD ↗
$1.64B RAUM · 4 reps · 804-359-3900 · kancap.com
47
SAX WEALTH ADVISORS, LLC — notice-filed in MO. IAPD ↗
$2.44B RAUM · 24 reps · 973-859-2199
47
J.DEREK LEWIS & ASSOCIATES, INC. — notice-filed in NM. IAPD ↗
$1.78B RAUM · 11 reps · 949-752-9096
47
HERITAGE FINANCIAL SERVICES — notice-filed in MI. IAPD ↗
$2.99B RAUM · 23 reps · 781-255-0214
47
SCHNEIDER DOWNS WEALTH MANAGEMENT ADVISORS, LP — notice-filed in LA. IAPD ↗
$2.91B RAUM · 21 reps · 412-697-5200 · schneiderdowns.com
47
VERSANT CAPITAL MANAGEMENT, INC. — notice-filed in VA. IAPD ↗
$1.24B RAUM · 13 reps · 602-635-3760
47
CEDAR MOUNTAIN ADVISORS, LLC — notice-filed in NV. IAPD ↗
$1.06B RAUM · 6 reps · 503-224-6868 · cmapdx.com
47
CORNERSTONE ADVISORY — notice-filed in WA. IAPD ↗
$2.01B RAUM · 8 reps · 410-468-1693 · cornerstoneadvisory.com
47
WALLINGTON ASSET MANAGEMENT — notice-filed in CA. IAPD ↗
$1.15B RAUM · 9 reps · 317-575-8670 · wallingtonasset.com
47
MAINSTREET ADVISORS — notice-filed in WI. IAPD ↗
$5.41B RAUM · 6 reps · 312-223-0270 · mainstreetadv.com
47
KEENER FINANCIAL PLANNING — notice-filed in AR, IL. IAPD ↗
$362.8M RAUM · 9 reps · 817-993-0401 · objectivefinancialplanning.com
47
KRILOGY — notice-filed in MI. IAPD ↗
$3.54B RAUM · 56 reps · 314-884-2800 · krilogy.com
47
ARIN RISK ADVISORS LLC — notice-filed in IL. IAPD ↗
$4.97B RAUM · 4 reps · 610.822.3400
47
CGC FINANCIAL SERVICES — notice-filed in NV, TN. IAPD ↗
$737.3M RAUM · 4 reps · 503-670-1958 · cgcfinancialservices.com
47
COMPASS FINANCIAL MANAGEMENT LLC — notice-filed in UT, WA. IAPD ↗
$519.0M RAUM · 27 reps · 813-831-5168 · compassfmllc.com
47
NOVEM GROUP — notice-filed in TN. IAPD ↗
$1.41B RAUM · 50 reps · 585-348-9525 · novemgroup.com
47
BAKER TILLY WEALTH MANAGEMENT, LLC — notice-filed in TN. IAPD ↗
$4.60B RAUM · 15 reps · 833-761-0673 · bakertilly.com
47
NORTHROCK PARTNERS, LLC — notice-filed in KS. IAPD ↗
$6.60B RAUM · 50 reps · (612) 367-8800 · northrockberkeley.com
47
APELLA WEALTH — notice-filed in IA. IAPD ↗
$4.71B RAUM · 53 reps · 860.785.2260
47
JOURNEY ADVISORY GROUP, LLC — notice-filed in MI. IAPD ↗
$1.47B RAUM · 13 reps · 859-888-0356
47
FIRST PACIFIC FINANCIAL, INC. — notice-filed in OH. IAPD ↗
$1.51B RAUM · 18 reps · (360) 254-2585
47
ROOT FINANCIAL PARTNERS — notice-filed in ME. IAPD ↗
$1.11B RAUM · 35 reps · (760) 452-0720
47
HILTON HEAD CAPITAL PARTNERS, LLC — notice-filed in IL, NH. IAPD ↗
$253.8M RAUM · 4 reps · 843-790-7573
47
KWB WEALTH — notice-filed in GA. IAPD ↗
$1.01B RAUM · 10 reps · 909-307-8220 · kwbwealth.com
47
AEGIS FINANCIAL — notice-filed in LA, TX. IAPD ↗
$419.0M RAUM · 5 reps · 920-233-4650 · aegis4me.com
47
REMBERT PENDLETON JACKSON — notice-filed in MI. IAPD ↗
$2.38B RAUM · 13 reps · 703-821-6655
47
MILAGRE WEALTH MANAGEMENT, INC. — notice-filed in NH. IAPD ↗
$11.45B RAUM · 1 reps · 914-437-8066 · milagrewealth.com
47
THEPARTNERS WEALTH MANAGEMENT — notice-filed in CT, ID. IAPD ↗
$454.5M RAUM · 29 reps · 800-324-3010 · oceanpointefg.com
47
ULLMANN WEALTH PARTNERS — notice-filed in NY. IAPD ↗
$1.07B RAUM · 7 reps · 904-280-3700 · ullmannwealthpartners.com
47
MIDLAND WEALTH MANAGEMENT — notice-filed in TX. IAPD ↗
$2.93B RAUM · 19 reps · 312-660-6516
47
PROSPERA CAPITAL MANAGEMENT, LLC — notice-filed in MA, TN. IAPD ↗
$337.3M RAUM · 2 reps · 480-648-9369 · deterswealthmanagement.com
47
INDIVISIBLE PARTNERS — notice-filed in GA, MO. IAPD ↗
$421.3M RAUM · 3 reps · 732-306-5490 · linkedin.company
46
EKO — notice-filed in FL, MN, WI. IAPD ↗
$10.1M RAUM · 1 reps · (917)7449432
46
GFG SOLUTIONS — notice-filed in GA, NC, OH. IAPD ↗
$228.6M RAUM · 9 reps · (412) 740-7930
46
SANCHEZ GAUNT CAPITAL MANAGEMENT, LLC — notice-filed in MT, OR, WA. IAPD ↗
$0 RAUM · 2 reps · 775-800-1801 · sanchezgaunt.com
45
WESTERN FINANCIAL CORPORATION — notice-filed in ID. IAPD ↗
$282.5M RAUM · 2 reps · 619-544-0260
45
SIGNAL SECURITIES, INC. — notice-filed in TN. IAPD ↗
$599.2M RAUM · 24 reps · 817-877-4256 · mikemoynihanadvisor.com
45
CULLEN INVESTMENT GROUP — notice-filed in NC. IAPD ↗
$795.5M RAUM · 6 reps · 337-237-8000 · cullenonline.com
45
UAS ASSET MANAGEMENT — notice-filed in ME. IAPD ↗
$449.9M RAUM · 5 reps · 212-983-5822 · uasam.com
45
TOBIAS FINANCIAL ADVISORS — notice-filed in GA. IAPD ↗
$892.2M RAUM · 8 reps · 954-424-1660
45
WHELAN FINANCIAL — notice-filed in IL. IAPD ↗
$674.6M RAUM · 7 reps · 559-228-8002 · whelanfinancial.com
45
RUGGAARD & ASSOCIATES — notice-filed in AZ. IAPD ↗
$346.9M RAUM · 6 reps · (330) 487-5888
45
HALL CAPITAL MANAGEMENT COMPANY, INC. — notice-filed in VA. IAPD ↗
$368.9M RAUM · 3 reps · (401) 245-0049 · hallcapitalmgmt.com
45
ENDOWMENT WEALTH MANAGEMENT, INC. — notice-filed in TN. IAPD ↗
$427.6M RAUM · 9 reps · 920-785-6010 · endowmentwm.com
45
SUMMIT ASSET MANAGEMENT LLC — notice-filed in SC. IAPD ↗
$938.9M RAUM · 6 reps · 901-729-8100 · summitassetmanagement.com
45
ABBOT FINANCIAL MANAGEMENT, INC — notice-filed in NC. IAPD ↗
$273.9M RAUM · 3 reps · (978) 688-9010 · abbotfm.com
45
TILLER PRIVATE WEALTH, INC. — notice-filed in TN. IAPD ↗
$646.3M RAUM · 6 reps · (610) 954-9940
45
DETTERBECK WEALTH MANAGEMENT — notice-filed in LA. IAPD ↗
$252.1M RAUM · 3 reps · 847-934-6262
45
ADVISORS MANAGEMENT GROUP INC — notice-filed in TN. IAPD ↗
$712.6M RAUM · 12 reps · 608-782-0200 · advisorsmanagement.com
45
CAMBRIDGE FINANCIAL GROUP, LLC — notice-filed in HI. IAPD ↗
$538.9M RAUM · 6 reps · 520-531-0550 · cambridgefinancialgroup.com
45
DIVERSIFIED FINANCIAL ADVISORS, LLC — notice-filed in MN. IAPD ↗
$512.2M RAUM · 3 reps · 800-307-0376 · diversifiedfa.com
45
HENNION & WALSH ASSET MANAGEMENT, INC. — notice-filed in AR. IAPD ↗
$590.1M RAUM · 11 reps · 973-299-8989 · hennionandwalsh.com
45
ETF PORTFOLIO PARTNERS, INC. — notice-filed in LA. IAPD ↗
$369.0M RAUM · 3 reps · 913-851-1100 · etfpp.com
45
HOGANTAYLOR WEALTH — notice-filed in CA. IAPD ↗
$496.8M RAUM · 6 reps · 918.388.2690 · hogantaylorwealth.com
45
PROVIDENT WEALTH MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
$696.6M RAUM · 6 reps · 615-656-4050
45
NORTHEAST PLANNING ASSOCIATES, INC. — notice-filed in PA. IAPD ↗
$327.7M RAUM · 63 reps · (603) 471-0900 · paulhbrock.com
45
WATTS GWILLIAM & COMPANY, LLC — notice-filed in NY. IAPD ↗
$818.9M RAUM · 6 reps · 480-889-8998 · wattsgwilliam.com
45
BOYLE CAPITAL — notice-filed in NC. IAPD ↗
$298.3M RAUM · 4 reps · 515-327-1870 · boylecapital.com
45
NAMCOA — notice-filed in IN. IAPD ↗
$312.3M RAUM · 16 reps · (239) 593-5525 · dstnews.org
45
VECTORS ASSET MANAGEMENT — notice-filed in FL. IAPD ↗
$844.5M RAUM · 4 reps · 212-431-0857 · vectorsresearch.com
45
ALHAMBRA INVESTMENT MANAGEMENT LLC — notice-filed in IL. IAPD ↗
$278.6M RAUM · 6 reps · 305-233-3772 · alhambrapartners.com
45
MKD WEALTH — notice-filed in IL. IAPD ↗
$425.8M RAUM · 5 reps · 248-418-5100
45
HARFST AND ASSOCIATES, INC. — notice-filed in NV. IAPD ↗
$721.7M RAUM · 4 reps · 307-218-5667 · harfstandassociates.com
45
VISIONARY HORIZONS, LLC — notice-filed in SC. IAPD ↗
$291.4M RAUM · 13 reps · 865-675-8496 · visionaryhorizons.com
45
NIKULSKI FINANCIAL, INC. — notice-filed in TN. IAPD ↗
$370.5M RAUM · 5 reps · 563-344-0118
45
S HARRIS FINANCIAL GROUP, LLC — notice-filed in NE. IAPD ↗
$351.9M RAUM · 5 reps · 210-547-3450
45
SCALA CAPITAL LLC — notice-filed in CO. IAPD ↗
$306.6M RAUM · 7 reps · 305-539-3850 · scala-capital.com
45
USADVISORS WEALTH MANAGEMENT, LLC — notice-filed in ND. IAPD ↗
$488.1M RAUM · 14 reps · 952-829-0000 · usadvisorswealth.com
45
ASPEN WEALTH MANAGEMENT — notice-filed in CO. IAPD ↗
$509.6M RAUM · 6 reps · 817-546-6353 · aspenwealthmgmt.com
45
STRATEGY FINANCIAL GROUP — notice-filed in UT. IAPD ↗
$279.9M RAUM · 5 reps · 602-343-9301 · calvingoetz.com
45
BETA WEALTH GROUP, INC — notice-filed in MA. IAPD ↗
$429.0M RAUM · 4 reps · 858-207-3377
45
AM INVESTMENT STRATEGIES, LLC — notice-filed in NC. IAPD ↗
$709.9M RAUM · 2 reps · 423-486-1888
45
WINDROCK WEALTH MANAGEMENT — notice-filed in MI. IAPD ↗
$290.6M RAUM · 3 reps · 312-650-9593 · windrockwealth.com
45
FULLCIRCLE WEALTH LLC — notice-filed in NH. IAPD ↗
$393.5M RAUM · 4 reps · 972-480-6200 · fullcircle-wealth.com
45
GRADIENT CAPITAL ADVISORS, LLC — notice-filed in NY. IAPD ↗
$637.5M RAUM · 6 reps · 619-255-0700 · gradientcapital.com
45
NOVA R WEALTH, INC. — notice-filed in IL. IAPD ↗
$412.0M RAUM · 5 reps · (913) 225-9201
45
CADENT CAPITAL ADVISORS, LLC — notice-filed in KS. IAPD ↗
$651.0M RAUM · 10 reps · 918-935-3450 · cadcapital.com
45
CLG LLC — notice-filed in MI. IAPD ↗
$953.8M RAUM · 20 reps · (310) 329-5150 · clgwm.com
45
BMSS WESSON WEALTH SOLUTIONS — notice-filed in TN. IAPD ↗
$577.1M RAUM · 6 reps · 205-982-5555 · bmsswesson.com
45
LEBENTHAL GLOBAL ADVISORS, LLC — notice-filed in MI. IAPD ↗
$820.0M RAUM · 24 reps · 516-785-1800
45
XYPN INVEST — notice-filed in AL. IAPD ↗
$321.0M RAUM · 29 reps · (360) 301-7579
45
INDEPENDENT WEALTH NETWORK, INC. — notice-filed in SD. IAPD ↗
$422.6M RAUM · 25 reps · 515-461-5123 · prescottfinancialadvisor.net
45
TALON PRIVATE WEALTH, LLC — notice-filed in PR. IAPD ↗
$876.9M RAUM · 8 reps · (352) 751-3200 · guardingyournestegg.com
45
TRUFP — notice-filed in TX. IAPD ↗
$334.1M RAUM · 4 reps · 770-205-4394 · investplanadvise.com
45
HOHIMER WEALTH MANAGEMENT, LLC — notice-filed in NV. IAPD ↗
$993.7M RAUM · 10 reps · 206-709-5955
45
KEYSTONE PRIVATE WEALTH — notice-filed in LA. IAPD ↗
$692.1M RAUM · 11 reps · (760) 818-7020
45
SCHORN WEALTH — notice-filed in VA. IAPD ↗
$367.8M RAUM · 8 reps · 610 399-1500 · schorn.net
45
HORIZON FINANCIAL — notice-filed in MA. IAPD ↗
$455.8M RAUM · 11 reps · 585-334-3600 · horizonfinancial.net
45
REGIMEN WEALTH, LLC — notice-filed in AL. IAPD ↗
$330.7M RAUM · 4 reps · 770-738-8200
45
SYNERGY FG — notice-filed in NC. IAPD ↗
$274.3M RAUM · 3 reps · 888-734-2006 X3
45
COGENTBLUE — notice-filed in MS. IAPD ↗
$566.0M RAUM · 3 reps · 865-309-5892 · cogentbluewealth.com
45
BRADY FAMILY WEALTH, LLC — notice-filed in FL. IAPD ↗
$306.4M RAUM · 3 reps · (314) 919-9151
45
VANTAGE FINANCIAL PARTNERS, LLC — notice-filed in AL. IAPD ↗
$810.7M RAUM · 12 reps · 262-439-8587 · vantagefinancialwi.com
45
SPARTA WEALTH PARTNERS — notice-filed in TX. IAPD ↗
$265.4M RAUM · 5 reps · 704-575-1148
45
RANSOM ADVISORY — notice-filed in FL. IAPD ↗
$265.5M RAUM · 1 reps · (401) 601-0185
45
APOLLON FINANCIAL, LLC — notice-filed in NH. IAPD ↗
$890.4M RAUM · 13 reps · 843-579-0018 · apollonfinancial.com
45
TWIN PEAKS WEALTH ADVISORS — notice-filed in NV. IAPD ↗
$410.4M RAUM · 9 reps · (650) 200-0308
45
UPTICK PARTNERS, LLC — notice-filed in NY. IAPD ↗
$688.1M RAUM · 7 reps · (936) 800-0800
45
BLUESTEM WEALTH PARTNERS, LLC — notice-filed in ND. IAPD ↗
$968.0M RAUM · 33 reps · 612-464-0372
45
ROSSBY FINANCIAL, LLC — notice-filed in ME. IAPD ↗
$358.6M RAUM · 2 reps · 321-209-0111
45
SELBY LANE CAPITAL, LLC — notice-filed in VA. IAPD ↗
$318.1M RAUM · 4 reps · 650-463-9511 · selbylane.com
45
MARIDEA WEALTH MANAGEMENT — notice-filed in CO. IAPD ↗
$469.2M RAUM · 15 reps · 347-289-5227 · hartshornegroup.com
45
ADVANTAGE RETIREMENT GROUP — notice-filed in MI. IAPD ↗
$518.3M RAUM · 4 reps · 239-561-1155 · advantageretirementgroup.com
45
BRADY MARTZ WEALTH SOLUTIONS, LLC — notice-filed in CT. IAPD ↗
$599.4M RAUM · 4 reps · 701-223-1717
45
LIFELONG WEALTH ADVISORS, INC. — notice-filed in NE. IAPD ↗
$615.1M RAUM · 8 reps · 651-444-6500
45
PRASAD WEALTH PARTNERS — notice-filed in PA. IAPD ↗
$486.0M RAUM · 5 reps · 216-313-9999 · prasadwealth.com
45
PITCAIRN — notice-filed in CA. IAPD ↗
$775.8M RAUM · 2 reps · 215-881-6144 · pitcairn.com
45
MARTIN, JAVAN VON — notice-filed in NE. IAPD ↗
$407.8M RAUM · 1 reps · 717-336-9229
44
LARIMER CAPITAL CORPORATION — notice-filed in MA, PA. IAPD ↗
$156.2M RAUM · 3 reps · 303-573-5511
44
FINANCIAL TRUST ASSET MANAGEMENT CHARTERED — notice-filed in GA, MA. IAPD ↗
$115.3M RAUM · 4 reps · 561-391-8188 · financialtrust.net
44
SCHULMERICH & ASSOCIATES ASSET MANAGEMENT, LLC — notice-filed in CA, WA. IAPD ↗
$118.0M RAUM · 2 reps · 503-672-7750 · schulmerichandassoc.com
44
BOLDIN ADVISORS — notice-filed in MO, NH. IAPD ↗
$0 RAUM · 6 reps · 415-462-5665 · newretirementadvisors.com
44
CIMARRON WEALTH MANAGEMENT, INC. — notice-filed in ID, WA. IAPD ↗
$230.5M RAUM · 5 reps · 970-249-9882
44
TENON FINANCIAL — notice-filed in FL, PA. IAPD ↗
$208.3M RAUM · 3 reps · 732-902-0066 · tenonfinancial.com
44
OPTIMA CAPITAL MANAGEMENT — notice-filed in NE, NH. IAPD ↗
$116.5M RAUM · 4 reps · 480-757-9052
44
IA NETWORK, LLC — notice-filed in CO, IN. IAPD ↗
$183.5M RAUM · 4 reps · 704-272-1211
44
ECHELONS CAPITAL, LLC — notice-filed in IL, LA. IAPD ↗
$127.1M RAUM · 1 reps · 706-372-4218 · echelonscapital.com
44
NEW HORIZONS WEALTH MANAGEMENT — notice-filed in NC, TX. IAPD ↗
$187.1M RAUM · 4 reps · 973-540-1066 · enjoymore30s.com
44
ALTITUDE CAPITAL MANAGEMENT LLC — notice-filed in AR, OH. IAPD ↗
$49.4M RAUM · 16 reps · 515-207-3310 · altitudecm.com
44
EXPRESSIVE WEALTH LLC — notice-filed in AL, NY. IAPD ↗
$131.1M RAUM · 7 reps · 847-595-8812 · expressivewealth.com
44
CURTIS CAPITAL ADVISORS — notice-filed in MO, TX. IAPD ↗
$125.5M RAUM · 2 reps · 913-344-5443
44
LFG WEALTH PARTNERS, LLC — notice-filed in NH, TX. IAPD ↗
$112.0M RAUM · 7 reps · 877-573-2043
44
THE BREIT GROUP — notice-filed in NY, TX. IAPD ↗
$102.2M RAUM · 1 reps · (704) 502-6069 · thebreitgroup.com
44
GREENSTONE BELT WEALTH ADVISORS, LLC — notice-filed in CA, TX. IAPD ↗
$0 RAUM · 2 reps · 312-952-6550
44
BELLINGRATH WEALTH MANAGEMENT, L.L.C. — notice-filed in MS, TX. IAPD ↗
$0 RAUM · 4 reps · 646-395-3900 · bellingrathwealth.com
43
VELTRIA ADVISORS CORP. — filed an Item 4A succession naming ASB CONSULTORES, LLC (CRD 189514) — an entity change, not a deal. IAPD ↗
$900.6M RAUM · 1 reps · (305) 318-7172
42
AMUNI FINANCIAL, INC. — notice-filed in NH. IAPD ↗
$159.7M RAUM · 11 reps · 727-825-0522 · amuni.com
42
GEORGE M. HILLER COMPANIES, LLC — notice-filed in LA. IAPD ↗
$170.2M RAUM · 5 reps · 404-365-0222 · georgehiller.com
42
OVERRIDGE WEALTH ADVISORS — notice-filed in CO. IAPD ↗
$238.2M RAUM · 7 reps · 817-738-1451
42
ELM3 FINANCIAL GROUP, LLC — notice-filed in TN. IAPD ↗
$159.1M RAUM · 2 reps · 678-297-9500
42
FINLEY WEALTH ADVISORS — notice-filed in FL. IAPD ↗
$119.5M RAUM · 2 reps · 239-267-7500 · mywealthadvisor.com
42
BAUMAN WEALTH ADVISORS — notice-filed in AZ. IAPD ↗
$118.3M RAUM · 5 reps · 702-897-9997
42
INTEGRITY INVESTMENT ADVISORS — notice-filed in AZ. IAPD ↗
$168.0M RAUM · 2 reps · 303-549-4720
42
REDWOOD FINANCIAL NETWORK — notice-filed in PA. IAPD ↗
$226.0M RAUM · 8 reps · 440-287-5020 · redwoodfn.com
42
CASCADE WEALTH ADVISORS, INC — notice-filed in LA. IAPD ↗
$162.5M RAUM · 3 reps · 509-886-8866 · cascade-wealth.com
42
RBF CAPITAL MANAGEMENT, INC. — notice-filed in NE. IAPD ↗
$138.1M RAUM · 1 reps · 941-870-1944
42
HILEY HUNT WEALTH MANAGEMENT, INC. — notice-filed in KS. IAPD ↗
$241.7M RAUM · 3 reps · 402-504-9347
42
NORTHLANDING FINANCIAL PARTNERS, LLC — notice-filed in NH. IAPD ↗
$129.3M RAUM · 2 reps · (585) 497-5000
42
MRP CAPITAL INVESTMENTS, LLC — notice-filed in NC. IAPD ↗
$201.1M RAUM · 3 reps · 404-274-7851
42
MD FINANCIAL ADVISORS / VESTMENT FINANCIAL — notice-filed in MD. IAPD ↗
$243.2M RAUM · 11 reps · (888) 256-6855
42
INVARIANT INVESTMENT MANAGEMENT — notice-filed in KY. IAPD ↗
$135.9M RAUM · 6 reps · (717) 317-9006 · invariantinvestments.com
42
LFN ADVISORS INC. — notice-filed in NY. IAPD ↗
$15.7M RAUM · 3 reps · 616-589-4004
42
MHS ADVISORY SERVICES, LLC — notice-filed in TX. IAPD ↗
$238.5M RAUM · 7 reps · 952-541-9201 · mhscos.com
42
CITY CENTER ADVISORS, LLC — notice-filed in WI. IAPD ↗
$132.4M RAUM · 6 reps · 888-267-1321
42
BRILLIANT ADVICE, LLC — notice-filed in TX. IAPD ↗
$204.4M RAUM · 2 reps · 513-703-2100 · brilliantadvice.net
42
C2C WEALTH MANAGEMENT, LLC — notice-filed in NV. IAPD ↗
$165.3M RAUM · 1 reps · (646) 222-7440 · c2cwealth.com
42
Q3 ADVISORS, LLC — notice-filed in NV. IAPD ↗
$0 RAUM · 12 reps · 720-730-9892
42
GREAT PATH PLANNING — notice-filed in NC. IAPD ↗
$144.3M RAUM · 2 reps · 845-397-7284 · greatpath.com
42
KANANI ADVISORY GROUP INC. — notice-filed in VA. IAPD ↗
$201.5M RAUM · 4 reps · (949) 502-7001 · kananiadvisorygroup.com
42
BRIXTON CAPITAL WEALTH ADVISORS, LLC — notice-filed in AZ. IAPD ↗
$176.7M RAUM · 4 reps · 516-222-5300 · brixtonwealth.com
42
MILLENNIAL WEALTH — notice-filed in OR. IAPD ↗
$203.7M RAUM · 3 reps · (206) 207-8426
42
JOURNEY BEYOND WEALTH — notice-filed in UT. IAPD ↗
$226.1M RAUM · 4 reps · 678-331-7900
42
EMCEE INVEST — notice-filed in FL. IAPD ↗
$0 RAUM · 2 reps · (201) 366-2224
42
PROXY WEALTH ADVISORS LLC — notice-filed in IN. IAPD ↗
$90.0M RAUM · 11 reps · 646-289-5075 · proxywealth.com
42
CAVU WEALTH MANAGEMENT — notice-filed in HI. IAPD ↗
$175.0M RAUM · 7 reps · 858-360-7800 · cavuwealthmanagement.com
42
KENNONDALE CAPITAL MANAGEMENT — notice-filed in KY. IAPD ↗
$100.4M RAUM · 3 reps · (804) 350-3368 · kennondale.com
42
MOULTON WEALTH MANAGEMENT, INC — notice-filed in NH. IAPD ↗
$144.0M RAUM · 3 reps · 509-922-3110 · moultonwealth.com
42
WESTVIEW INVESTMENT ADVISORS — notice-filed in TX. IAPD ↗
$196.8M RAUM · 3 reps · 802-489-5342
42
FREEDOM FAMILY OFFICE, LLC — notice-filed in LA. IAPD ↗
$143.5M RAUM · 3 reps · (855) 540-0400 · talktofreedom.com
42
TOBERMAN BECKER WEALTH, LLC — notice-filed in NH. IAPD ↗
$115.1M RAUM · 2 reps · (314) 783-9860
42
CABIN ADVISORS, LLC — notice-filed in WI. IAPD ↗
$133.6M RAUM · 14 reps · 913-933-3351 · financialarchitects.com
42
THE CLIFFORD GROUP LLC — notice-filed in NC. IAPD ↗
$204.2M RAUM · 3 reps · (617) 600-2083 · thecliffordgrp.com
42
ALPHA ZERO LLC — notice-filed in OR. IAPD ↗
$183.2M RAUM · 7 reps · (561) 576-2599 · alphazerowealth.com
42
RETIREMENT FINANCIAL GROUP, LLC — notice-filed in MA. IAPD ↗
$153.3M RAUM · 3 reps · 409-908-4160
42
HERITAGE ASSET MANAGEMENT, LLC — notice-filed in AL. IAPD ↗
$130.0M RAUM · 2 reps · 816-348-2060 · heritage-kc.com
42
MAGNOLIA PRIVATE WEALTH, LLC — notice-filed in TX. IAPD ↗
$225.7M RAUM · 4 reps · 5714771375 · magnoliapw.com
42
WISER ADVISOR GROUP — notice-filed in WY. IAPD ↗
$115.1M RAUM · 2 reps · 480-500-9055
42
BACKBONE PLANNING PARTNERS LLC — notice-filed in ID. IAPD ↗
$91.5M RAUM · 2 reps · 702569716 · backboneplanning.com
42
MATRIARCH WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
$176.1M RAUM · 2 reps · (973)979-7609 · matriarchwm.com
42
LIFEGOAL WEALTH ADVISORS LLC — notice-filed in AZ. IAPD ↗
$175.0M RAUM · 3 reps · 607-434-0742
42
SOUND ADVISORY — notice-filed in NH. IAPD ↗
$69.9M RAUM · 6 reps · (208)254-0142
42
MISSION HILLS FINANCIAL ADVISORY LLC — notice-filed in AZ. IAPD ↗
$208.7M RAUM · 3 reps · 619-294-9420 · missionhillsfinancial.com
42
KILTER GROUP — notice-filed in MD. IAPD ↗
$202.1M RAUM · 4 reps · 646-438-6557 · kiltergroup.com
42
BERLIN WEALTH GROUP ADVISORS — notice-filed in DC. IAPD ↗
$1.4M RAUM · 3 reps · +1 310 696 3704 · berlin-wealthadvisors.com
42
ZERO DAY CAPITAL ENTERPRISES LLC — notice-filed in MI. IAPD ↗
$38.2M RAUM · 15 reps · 702 271 3265 · zerodaycapital.com
42
ABUNDANT WEALTH MANAGEMENT LLC — notice-filed in MA. IAPD ↗
$0 RAUM · 2 reps · 203-661-3441 · abundant-wealth.com
42
WEALTHPRIME — notice-filed in AR. IAPD ↗
$0 RAUM · 2 reps · 8557746340 · wealthprime.com
42
BIRCH FINANCIAL GROUP — notice-filed in CA. IAPD ↗
$221.3M RAUM · 2 reps · 603-338-3838 · birchfinancialgroup.com
42
CHURCHILL FINANCIAL ADVISORS, LLC — notice-filed in NM. IAPD ↗
$243.8M RAUM · 3 reps · 502-895-3535 · churchillfa.com
42
FLFS ADVISORY LLC — notice-filed in NH. IAPD ↗
$142.2M RAUM · 3 reps · 646-395-3900
42
HOLISTIC FINANCE LLC — notice-filed in PA. IAPD ↗
$0 RAUM · 2 reps · 808-746-7774 · holisticfinance.com
42
ASA ASSET MANAGEMENT LLC — notice-filed in FL. IAPD ↗
$32.5M RAUM · 6 reps · 646-727-4151
42
PIVOT CAPITAL PARTNERS LLC — notice-filed in AL. IAPD ↗
$0 RAUM · 2 reps · 888-585-9981 · pivotcapitalllc.com
42
SAMARA CAPITAL — notice-filed in TX. IAPD ↗
$0 RAUM · 3 reps · 503-741-2167 · samara-capital.com
42
SPREADWISE LLC — notice-filed in TX. IAPD ↗
$0 RAUM · 1 reps · 561-779-1764
40
WWM ADVISORY INC. — filed an Item 4A succession naming JEFFREY CHARLES LLOYD WOLMAN (CRD 133611) — an entity change, not a deal. IAPD ↗
$230.1M RAUM · 2 reps · 310-234-1992
40
PRAKASH INVESTMENT ADVISORS LLC — filed an Item 4A succession naming PRAKASH INVESTMENT ADVISORS LLC (CRD 163994) — an entity change, not a deal. IAPD ↗
$130.3M RAUM · 1 reps · (978) 273-9747
40
COVINGTONALSINA — filed an Item 4A succession naming COVINGTONALSINA (CRD 326810) — an entity change, not a deal. IAPD ↗
$189.3M RAUM · 3 reps · 410-457-7165
90
WITT LAKE ASSET MANAGEMENT LLC — (STAMFORD, CT) is newly SEC-registered with $1.11B RAUM and 1 advisory reps. IAPD ↗institutional
$1.11B RAUM · 1 reps · 203-487-8200 · wittlakeam.com
88
CANOPY CAPITAL GROUP — (WINCHESTER, MA) is newly SEC-registered with $482.9M RAUM and 3 advisory reps. IAPD ↗institutional
$482.9M RAUM · 3 reps · 781-222-3972 · canopycapital.com
85
AUTILUS PARTNERS LLC — (SANTA MONICA, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 1-310-759-8160
85
RENWAVE KORE, LLC — (GREENWICH, CT) is newly SEC-registered with $1.22B RAUM and 10 advisory reps. IAPD ↗fund
$1.22B RAUM · 10 reps · 203-905-9236 · renwavekore.com
85
3A PARTNERS, LLC — (COLUMBUS, OH) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 614-406-8192 · 3apartners.com
85
PRITZKER ALTERNATIVE STRATEGIES — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 312-447-6087 · pritzker-pas.com
85
VF ADVISORS, LLC — (LOUISVILLE, KY) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 502-208-2125 · whiskeycapitalfinance.com
85
MANISPACE CAPITAL — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 609-712-6527
85
LINCOLN CAPITAL ADVISERS LLC — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 312-345-8780 · lpc.com
85
AWANI CAPITAL MANAGEMENT, LLC — (FULTON, MD) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · (301) 798-5797
85
LIONSHARES LLC — (BROOKLYN, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-267-9033 · lionsharesetf.com
85
APHIAS CAPITAL, L.P. — (SAN FRANCISCO, CA) is newly SEC-registered with $0 RAUM and 8 advisory reps. IAPD ↗institutional
$0 RAUM · 8 reps · 628-682-5672 · aphias.com
85
YORKVILLE AMERICA EQUITIES, LLC — (MOUNTAINSIDE, NJ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 201.985.8300
85
QUOTIENT WEALTH ASSET MANAGEMENT — (DALLAS, TX) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 469-912-2522
85
TCG STRATEGIC INCOME ADVISOR LLC — (WEST PALM BEACH, FL) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 561-530-3313 · tcgsx.com
85
EMERY PARTNERS, LLC — (BOSTON, MA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 508-863-6672 · emerypartnersllc.com
85
BLUE OWL REAL ASSETS ADVISORS LLC — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 110 advisory reps. IAPD ↗institutional
$0 RAUM · 110 reps · 212-419-3000 · blueowlproducts.com
85
VERBENA VALUE LP — (WESTPORT, CT) is newly SEC-registered with $0 RAUM and 9 advisory reps. IAPD ↗institutional
$0 RAUM · 9 reps · 203-920-0611
85
FUSION QUANT TECHNOLOGIES — (MIAMI, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 773-872-1148 · moneyskool.com
85
EXTANT CAPITAL LLC — (ALBANY, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-595-6087 · extant-capital.com
85
WINTERBIRD PARTNERS LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · (617) 807-0183 · winterbirdpartners.com
83
ARBA CREDIT MANAGEMENT, L.P. — (CONSHOHOCKEN, PA) is newly SEC-registered with $309.1M RAUM and 7 advisory reps. IAPD ↗fund
$309.1M RAUM · 7 reps · 484-598-2755 · arbacredit.com
83
GAP ASSET MANAGEMENT, LLC — (SOUTH BEND, IN) is newly SEC-registered with $269.6M RAUM and 11 advisory reps. IAPD ↗fund
$269.6M RAUM · 11 reps · 574-485-2146 · graham-allen.com
83
HARRADEN CIRCLE INVESTMENTS, LLC — (NEW YORK, NY) is newly SEC-registered with $451.8M RAUM and 5 advisory reps. IAPD ↗fund
$451.8M RAUM · 5 reps · (212) 832-0112 · harradencircle.com
83
GARDEN CITY MANAGEMENT, LLC — (CHARLOTTE, NC) is newly SEC-registered with $286.3M RAUM and 4 advisory reps. IAPD ↗fund
$286.3M RAUM · 4 reps · 404-383-9233 · gardencityequity.com
83
AIGA CAPITAL PARTNERS LLC — (JERSEY CITY, NJ) is newly SEC-registered with $251.2M RAUM and 6 advisory reps. IAPD ↗fund
$251.2M RAUM · 6 reps · 646-248-1250 · plexussolutions.services
83
BLUE OPAL CAPITAL, LLC — (NEW YORK, NY) is newly SEC-registered with $321.9M RAUM and 3 advisory reps. IAPD ↗fund
$321.9M RAUM · 3 reps · (917) 576-1825 · blueopalcapital.com
83
OLD HICKORY PARTNERS MANAGEMENT, LP — (AUSTIN, TX) is newly SEC-registered with $310.8M RAUM and 6 advisory reps. IAPD ↗fund
$310.8M RAUM · 6 reps · 512-579-4073
83
KBIT MANAGEMENT LTD. — (location n/a) is newly SEC-registered with $306.1M RAUM and 13 advisory reps. IAPD ↗fund
$306.1M RAUM · 13 reps · 775-902-2099
83
ALIGNMENT GROWTH — (NEW YORK, NY) is newly SEC-registered with $391.0M RAUM and 8 advisory reps. IAPD ↗fund
$391.0M RAUM · 8 reps · 646-844-5585 X101 · alignmentgrowth.com
83
PATHFINDER 360 MANAGEMENTCO, LLC — (MINNETONKA, MN) is newly SEC-registered with $326.5M RAUM and 1 advisory reps. IAPD ↗fund
$326.5M RAUM · 1 reps · 612-308-5187 · pathfinderco.com
83
UNITY PARTNERS — (DALLAS, TX) is newly SEC-registered with $291.5M RAUM and 14 advisory reps. IAPD ↗fund
$291.5M RAUM · 14 reps · 314-210-9702 · unitypartnerslp.com
83
REDEFINE VENTURES LLC — (BOULDER, CO) is newly SEC-registered with $469.4M RAUM and 1 advisory reps. IAPD ↗fund
$469.4M RAUM · 1 reps · 310-877-9808 · redefineventures.com
83
THE BRYDON GROUP — (WASHINGTON, D.C., DC) is newly SEC-registered with $314.9M RAUM and 12 advisory reps. IAPD ↗fund
$314.9M RAUM · 12 reps · 202-990-7605 · brydon.com
83
MAESTRIA PARTNERS LLC — (ATLANTA, GA) is newly SEC-registered with $267.5M RAUM and 1 advisory reps. IAPD ↗fund
$267.5M RAUM · 1 reps · 317-460-2929 · maestriapartners.com
83
BAYHAWK CAPITAL LP — (BOSTON, MA) is newly SEC-registered with $570.5M RAUM and 10 advisory reps. IAPD ↗fund
$570.5M RAUM · 10 reps · 202-494-2362
83
BROADWING CAPITAL MANAGEMENT LLC — (DALLAS, TX) is newly SEC-registered with $422.2M RAUM and 9 advisory reps. IAPD ↗fund
$422.2M RAUM · 9 reps · 972-503-9776
83
TRIBUNE INVESTMENT GROUP — (NEW YORK, NY) is newly SEC-registered with $367.8M RAUM and 6 advisory reps. IAPD ↗fund
$367.8M RAUM · 6 reps · 212-301-7652 · tribunelp.com
83
LONGUEVUE MANAGEMENT COMPANY LLC — (METAIRIE, LA) is newly SEC-registered with $802.0M RAUM and 18 advisory reps. IAPD ↗fund
$802.0M RAUM · 18 reps · 504-293-3600 · lvcpartners.com
83
FOREWORD CAPITAL, LP — (SAN FRANCISCO, CA) is newly SEC-registered with $351.7M RAUM and 5 advisory reps. IAPD ↗fund
$351.7M RAUM · 5 reps · 310-985-4149 · forewordcap.com
83
COGENUITY PARTNERS, LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $553.8M RAUM and 10 advisory reps. IAPD ↗fund
$553.8M RAUM · 10 reps · 628-204-6610 · cogenuity.com
80
BUCKHORN RESOURCES, LP — (HOUSTON, TX) is newly SEC-registered with $248.7M RAUM and 6 advisory reps. IAPD ↗fund
$248.7M RAUM · 6 reps · 281-930-6030
80
BRX GLOBAL — (GREENWICH, CT) is newly SEC-registered with $208.0M RAUM and 2 advisory reps. IAPD ↗fund
$208.0M RAUM · 2 reps · (203) 971-0751
80
BAUM CAPITAL PARTNERS MANAGEMENT, LLC — (KANSAS CITY, MO) is newly SEC-registered with $222.2M RAUM and 7 advisory reps. IAPD ↗fund
$222.2M RAUM · 7 reps · 816-283-5200 · baumpartners.com
80
SEVEN SIX CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $182.8M RAUM and 3 advisory reps. IAPD ↗fund
$182.8M RAUM · 3 reps · 212-230-9844 · sevensixcapital.com
80
BRIXEY & MEYER CAPITAL LLC — (CINCINNATI, OH) is newly SEC-registered with $161.5M RAUM and 12 advisory reps. IAPD ↗fund
$161.5M RAUM · 12 reps · 513-762-2210 · brixeyandmeyercapital.com
80
EMMETT INVESTMENT MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered with $188.3M RAUM and 3 advisory reps. IAPD ↗fund
$188.3M RAUM · 3 reps · (646) 766-8251 · emmettpartners.com
80
MAVEN EQUITY PARTNERS, LLC — (LARKSPUR, CA) is newly SEC-registered with $190.0M RAUM and 2 advisory reps. IAPD ↗fund
$190.0M RAUM · 2 reps · 415-203-8494 · mavenequitypartners.com
80
BD INVESTMENT PARTNERS, LLC — (RALEIGH, NC) is newly SEC-registered with $169.5M RAUM and 8 advisory reps. IAPD ↗fund
$169.5M RAUM · 8 reps · 919-609-7395 · bdipartners.com
80
FRONTLINE HEALTHCARE PARTNERS — (CHARLESTON, SC) is newly SEC-registered with $161.3M RAUM and 7 advisory reps. IAPD ↗fund
$161.3M RAUM · 7 reps · 854-500-9780 · frontlinehcp.com
80
YIELDPOINT — (NEW YORK, NY) is newly SEC-registered with $170.4M RAUM and 2 advisory reps. IAPD ↗fund
$170.4M RAUM · 2 reps · 646-493-3623
80
NIHON GLOBAL GROWTH PARTNERS MANAGEMENT, INC. — (NEW YORK, NY) is newly SEC-registered with $201.8M RAUM and 3 advisory reps. IAPD ↗fund
$201.8M RAUM · 3 reps · 929-265-0618 · nhggp.com
80
INTERALPEN PARTNERS, LLC — (OMAHA, NE) is newly SEC-registered with $208.0M RAUM and 8 advisory reps. IAPD ↗fund
$208.0M RAUM · 8 reps · 402-933-1223 · interalpenpartners.com
80
ARIA GROWTH PARTNERS LP — (NEW YORK, NY) is newly SEC-registered with $247.6M RAUM and 5 advisory reps. IAPD ↗fund
$247.6M RAUM · 5 reps · 2123909752
80
STONETREE INVESTMENT PARTNERS LLC — (DALLAS, TX) is newly SEC-registered with $193.0M RAUM and 5 advisory reps. IAPD ↗fund
$193.0M RAUM · 5 reps · 214-226-2665 · stonetreeinvest.com
80
CROSSLAYER CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered with $216.2M RAUM and 3 advisory reps. IAPD ↗fund
$216.2M RAUM · 3 reps · 415-797-1670 X100
80
SYNCRACY OPERATIONAL MANAGEMENT LLC — (location n/a) is newly SEC-registered with $193.1M RAUM and 4 advisory reps. IAPD ↗fund
$193.1M RAUM · 4 reps · 805-341-2023 · syncracy.io
80
TRIDENT MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $150.4M RAUM and 8 advisory reps. IAPD ↗fund
$150.4M RAUM · 8 reps · 917-781-4811 · trident.co
80
ROOM40 CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $209.0M RAUM and 5 advisory reps. IAPD ↗fund
$209.0M RAUM · 5 reps · 646-690-2810 · room40.capital
80
XPV MANAGEMENT LLC — (BEL AIR, CA) is newly SEC-registered with $144.4M RAUM and 14 advisory reps. IAPD ↗fund
$144.4M RAUM · 14 reps · 626-616-2017
80
WOVENEARTH VENTURES, LLC — (PALO ALTO, CA) is newly SEC-registered with $221.5M RAUM and 8 advisory reps. IAPD ↗fund
$221.5M RAUM · 8 reps · 650-683-1382
80
IVY EVERGREEN, LLC — (CHARLESTON, SC) is newly SEC-registered with $166.0M RAUM and 6 advisory reps. IAPD ↗fund
$166.0M RAUM · 6 reps · 843-606-6014 · ivyassetgroup.com
80
AVILA REAL ESTATE CAPITAL — (CORTE MADERA, CA) is newly SEC-registered with $226.7M RAUM and 20 advisory reps. IAPD ↗fund
$226.7M RAUM · 20 reps · 415-561-0600 · avilacapllc.com
80
SENTINEL GLOBAL — (SAN FRANCISCO, CA) is newly SEC-registered with $210.6M RAUM and 8 advisory reps. IAPD ↗fund
$210.6M RAUM · 8 reps · 707-652-3754 · sentinelglobal.xyz
80
LEONID CAPITAL PARTNERS, LLC — (HUNTINGTON BEACH, CA) is newly SEC-registered with $169.4M RAUM and 10 advisory reps. IAPD ↗fund
$169.4M RAUM · 10 reps · 562-548-0005 · leonidcp.com
80
THIRD GEAR CAPITAL MANAGEMENT LP — (HOUSTON, TX) is newly SEC-registered with $13.3M RAUM and 2 advisory reps. IAPD ↗fund
$13.3M RAUM · 2 reps · 346-440-0719 · thirdgearinvestments.com
80
KULTURA CAPITAL MANAGEMENT LP — (PARK CITY, UT) is newly SEC-registered with $119.4M RAUM and 4 advisory reps. IAPD ↗fund
$119.4M RAUM · 4 reps · 248-228-2875 · kulturacap.com
80
SAOTHAIR CAPITAL PARTNERS — (WAYNE, PA) is newly SEC-registered with $163.3M RAUM and 5 advisory reps. IAPD ↗fund
$163.3M RAUM · 5 reps · 484-658-3100
80
OWLHOUSE CAPITAL LP — (NEW YORK, NY) is newly SEC-registered with $184.9M RAUM and 2 advisory reps. IAPD ↗fund
$184.9M RAUM · 2 reps · 332-245-4051
80
O15 CAPITAL PARTNERS, LLC — (ATLANTA, GA) is newly SEC-registered with $242.3M RAUM and 7 advisory reps. IAPD ↗fund
$242.3M RAUM · 7 reps · 404-333-8579 · o15.com
80
SUNSTONE ASSET MANAGEMENT — (NEW YORK, NY) is newly SEC-registered with $181.2M RAUM and 3 advisory reps. IAPD ↗fund
$181.2M RAUM · 3 reps · 212-554-3110 · sunstoneam.com
80
BLKBRD ASSET MANAGEMENT — (OLD GREENWICH, CT) is newly SEC-registered with $174.9M RAUM and 4 advisory reps. IAPD ↗fund
$174.9M RAUM · 4 reps · 203-547-3771
80
TRIAVERA CAPITAL LLC — (LARKSPUR, CA) is newly SEC-registered with $198.7M RAUM and 1 advisory reps. IAPD ↗fund
$198.7M RAUM · 1 reps · 628-345-4922
80
AMPERSAND CAPITAL GROUP, L.P. — (BURLINGAME, CA) is newly SEC-registered with $176.7M RAUM and 1 advisory reps. IAPD ↗fund
$176.7M RAUM · 1 reps · 650-292-1700
80
SADDLE POINT MANAGEMENT, L.P. — (NEW YORK, NY) is newly SEC-registered with $6.6M RAUM and 3 advisory reps. IAPD ↗fund
$6.6M RAUM · 3 reps · 212-951-1223
80
SUPERBLOOM PARTNERS — (VENICE, CA) is newly SEC-registered with $238.7M RAUM and 6 advisory reps. IAPD ↗fund
$238.7M RAUM · 6 reps · 310-614-7198 · superbloompartners.com
80
LITFUND — (MILL VALLEY, CA) is newly SEC-registered with $214.8M RAUM and 3 advisory reps. IAPD ↗fund
$214.8M RAUM · 3 reps · (415) 720-2613 · lit-fund.com
80
SADDLEROCK CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $155.9M RAUM and 3 advisory reps. IAPD ↗fund
$155.9M RAUM · 3 reps · 917-842-7451 · saddlerockcap.com
80
NORTHSANDS CAPITAL — (location n/a) is newly SEC-registered with $203.8M RAUM and 3 advisory reps. IAPD ↗fund
$203.8M RAUM · 3 reps · 772-356-9305
80
LEON CAPITAL MANAGEMENT, LLC — (DALLAS, TX) is newly SEC-registered with $60.5M RAUM and 17 advisory reps. IAPD ↗fund
$60.5M RAUM · 17 reps · 214-865-8082 · leoncapitalmanagement.com
80
MRWM CAPITAL MANAGEMENT, LLC — (NASHVILLE, TN) is newly SEC-registered with $7.3M RAUM and 3 advisory reps. IAPD ↗fund
$7.3M RAUM · 3 reps · 615-647-5882 · musicrowwealthmanagement.com
80
MARQUEE CAPITAL ADVISORS — (CHICAGO, IL) is newly SEC-registered with $95.5M RAUM and 5 advisory reps. IAPD ↗fund
$95.5M RAUM · 5 reps · (773) 404-2827 · marqueecapitaladvisors.com
70
VITTORIA AND PARTNERS LLP — (LONDON, United Kingdom) is newly SEC-registered with $3.65B RAUM and 2 advisory reps. IAPD ↗foreign
$3.65B RAUM · 2 reps · 442030393201 · vittoriapartners.com
70
EAST CAPITAL — (STOCKHOLM, Sweden) is newly SEC-registered with $3.17B RAUM and 22 advisory reps. IAPD ↗foreign
$3.17B RAUM · 22 reps · +46 8 505 97 777 · eastcapital.com
68
TIND ASSET MANAGEMENT — (OSLO, Norway) is newly SEC-registered with $319.0M RAUM and 2 advisory reps. IAPD ↗foreign
$319.0M RAUM · 2 reps · 47-970-44-440 · tindam.com
65
ORIGEM INTERNATIONAL ADVISORY LLC — (PORTO ALEGRE, RIO GRANDE DO SUL, Brazil) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 555131094001
65
442 CAPITAL PTY LTD — (SOUTH MELBOURNE, Australia) is newly SEC-registered with $150.0M RAUM and 2 advisory reps. IAPD ↗foreign
$150.0M RAUM · 2 reps · 0400 581 801 · 442capital.com.au
65
BLUE3 INVESTMENTS LLC — (SAO PAULO, Brazil) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · +55 11 4858-3040
65
PROTIUM CAPITAL LIMITED — (HONG KONG, Hong Kong) is newly SEC-registered with $210.0M RAUM and 4 advisory reps. IAPD ↗foreign
$210.0M RAUM · 4 reps · 852 2168 0790
65
CLARITY CROSS BORDER PLANNING — (EDMONTON, ALBERTA, Canada) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 1-800-914-6577 · claritycrossborder.com
63
EVERVIEW PARTNERS, L.P. — grew from 1 to 11 advisory reps. IAPD ↗fund
$926.4M RAUM · 11 reps · (212)242-5800 · everviewcap.com
61
SMA CAPITAL LLC — grew from 4 to 7 advisory reps. IAPD ↗institutional
$314.4M RAUM · 7 reps · (860) 839-0074 · smacap.com
60
BLACK LAKE INVESTMENTS LLC — grew from 1 to 3 advisory reps. IAPD ↗institutional
$800.8M RAUM · 3 reps · 215.913.2782 · blacklakeinvestments.com
60
SAVA CAPITAL LLC — now reports 1 private fund(s) ($0 gross). IAPD ↗fund
$1.00B RAUM · 1 reps · 914-924-4988
58
HKW MANAGEMENT, LLC — grew from 2 to 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 317-590-7401
58
MW ADVISOR, LLC — now reports 1 private fund(s) ($260.2M gross). IAPD ↗fund
$260.2M RAUM · 19 reps · 212-500-3000
58
EVERVIEW PARTNERS, L.P. — now reports 4 private fund(s) ($926.4M gross). IAPD ↗fund
$926.4M RAUM · 11 reps · (212)242-5800 · everviewcap.com
58
SUPERSTATE ADVISERS LLC — now reports 2 private fund(s) ($295.3M gross). IAPD ↗fund
$295.3M RAUM · 5 reps · 201-497-4991 · superstate.co
55
VESTED FINANCE — now reports 2 private fund(s) ($1.2M gross). IAPD ↗fund
$0 RAUM · 7 reps · 310-895-3927
55
WAYSTONE ASSET MANAGEMENT (USA) LLC — now reports 1 private fund(s) ($131.0M gross). IAPD ↗fund
$131.0M RAUM · 4 reps · 312-724-9036 · waystone.com
55
SECONDMARKET FINANCIAL, LLC — now reports 7 private fund(s) ($29.9M gross). IAPD ↗fund
$29.9M RAUM · 3 reps · 646-968-7000 · vimeo.com
55
FREMEN CAPITAL — now reports 1 private fund(s) ($146.4M gross). IAPD ↗fund
$146.4M RAUM · 1 reps · 203-442-5712
55
SIMPLEADVISORY LLC — now reports 4 private fund(s) ($46.2M gross). IAPD ↗fund
$46.2M RAUM · 2 reps · 516-464-5500 · simpleciti.com
53
SILTSTONE CAPITAL, LLC — now reports custody of client assets ($326.5M). IAPD ↗fund
$326.5M RAUM · 8 reps · 713-375-9200
53
MW ADVISOR, LLC — now reports custody of client assets ($260.2M). IAPD ↗fund
$260.2M RAUM · 19 reps · 212-500-3000
53
EVERVIEW PARTNERS, L.P. — now reports custody of client assets ($1.85B). IAPD ↗fund
$926.4M RAUM · 11 reps · (212)242-5800 · everviewcap.com
53
SUPERSTATE ADVISERS LLC — now reports custody of client assets ($295.3M). IAPD ↗fund
$295.3M RAUM · 5 reps · 201-497-4991 · superstate.co
52
CENTERSTAR ASSET MANAGEMENT, LLC — grew from 5 to 7 advisory reps. IAPD ↗fund
$115.1M RAUM · 7 reps · 312-256-9627 · centerstaram.com
52
SECONDMARKET FINANCIAL, LLC — grew from 1 to 3 advisory reps. IAPD ↗fund
$29.9M RAUM · 3 reps · 646-968-7000 · vimeo.com
50
FREMEN CAPITAL — now reports custody of client assets ($146.4M). IAPD ↗fund
$146.4M RAUM · 1 reps · 203-442-5712
45
THE VARIABLE ANNUITY LIFE INSURANCE COMPANY — 's Item 11 disclosure-reporting entries rose by 26 (38 -> 64). IAPD ↗institutional
$31.78B RAUM · 6 reps · 713-522-1111
45
COMPASS GROUP MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 2 (3 -> 5). IAPD ↗institutional
$4.05B RAUM · 15 reps · 203.221.1703 · compassdiversified.com
45
HPS ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 11 (0 -> 11). IAPD ↗institutional
$17.64B RAUM · 346 reps · 212-287-6767
45
JUPITER ASSET MANAGEMENT LIMITED — now reports 3 private fund(s) ($40.0M gross). IAPD ↗foreign
$46.19B RAUM · 117 reps · 44 20 3817 1000
40
JUPITER ASSET MANAGEMENT LIMITED — now reports custody of client assets ($10,000). IAPD ↗foreign
$46.19B RAUM · 117 reps · 44 20 3817 1000
40
VANGUARD GROUP INC — 's Item 11 disclosure-reporting entries rose by 12 (75 -> 87). IAPD ↗fund
$10246.60B RAUM · 330 reps · 610-669-1000
40
AXA INVESTMENT MANAGERS US INC — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗fund
$76.66B RAUM · 109 reps · 203-983-4200
40
QVT FINANCIAL LP — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗fund
$1.75B RAUM · 8 reps · (212) 705-8888 · qvt.com
40
W CAPITAL PARTNERS — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗fund
$2.37B RAUM · 11 reps · 212-561-5240
40
VANGUARD GLOBAL ADVISERS, LLC — 's Item 11 disclosure-reporting entries rose by 12 (75 -> 87). IAPD ↗fund
$491.43B RAUM · 84 reps · 610-669-1000 · vanguardoffshore.com
40
HPS INVESTMENT PARTNERS, LLC — 's Item 11 disclosure-reporting entries rose by 11 (0 -> 11). IAPD ↗fund
$155.79B RAUM · 346 reps · 212-287-6767
39
SMA CAPITAL LLC — notice-filed in HI, IL, NY. IAPD ↗institutional
$314.4M RAUM · 7 reps · (860) 839-0074 · smacap.com
38
PENDER CAPITAL MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 4 (2 -> 6). IAPD ↗fund
$505.8M RAUM · 13 reps · 214-988-9914
38
BORDERLESS MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$435.0M RAUM · 15 reps · 650-412-9447 · borderlesscapital.io
35
ACADEMY ASSET MANAGEMENT — notice-filed in AL. IAPD ↗institutional
$598.4M RAUM · 3 reps · 646-341-6869
34
NERDWALLET ADVISORY — notice-filed in ND, VT. IAPD ↗institutional
$0 RAUM · 1 reps · 415-549-8913 · nerdwalletplanning.quinnadvisor.com
32
CAPITAL CLIENT GROUP, INC. — notice-filed in CT. IAPD ↗institutional
$0 RAUM · 655 reps · 213-486-9200
32
BRIDGEWATER ASSOCIATES, LP — notice-filed in CA. IAPD ↗fund
$136.49B RAUM · 254 reps · 203-226-3030
32
INFINITY CAPITAL ADVISORS, LLC — notice-filed in NY. IAPD ↗fund
$1.35B RAUM · 3 reps · 404-458-4448
32
HKW MANAGEMENT, LLC — notice-filed in TX. IAPD ↗institutional
$0 RAUM · 5 reps · 317-590-7401
30
HAMMOND, KENNEDY, WHITNEY & COMPANY, INC. — notice-filed in TX. IAPD ↗fund
$660.6M RAUM · 7 reps · 317-590-7401
30
AGIS MANAGEMENT LLC — notice-filed in DC. IAPD ↗fund
$588.1M RAUM · 16 reps · 617-350-9894 · agiscapital.com
30
GREYBULL ADVISORS, LLC — notice-filed in NC. IAPD ↗fund
$310.8M RAUM · 6 reps · (307) 364-6400
30
6TH MAN VENTURES, LLC — notice-filed in CT. IAPD ↗fund
$376.6M RAUM · 5 reps · 646-321-9580 · 6thman.ventures
30
CLEARLIST CAPITAL LLC — notice-filed in DE. IAPD ↗fund
$434.1M RAUM · 2 reps · 212-207-1370 · clearlist.com
30
MW ADVISOR, LLC — notice-filed in DE. IAPD ↗fund
$260.2M RAUM · 19 reps · 212-500-3000
25
GLOBAL ALPHA CAPITAL MANAGEMENT LTD. — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
$6.03B RAUM · 22 reps · 514-287-0110 · cclgroup.com
15
SSA WEALTH ADVISORS — notice-filed in CA. IAPD ↗foreign
$675.1M RAUM · 6 reps · +41 44 206 60 40 · ssa-wa.com
15
BMO NESBITT BURNS SECURITIES LTD. — notice-filed in LA. IAPD ↗foreign
$932.0M RAUM · 199 reps · 416-359-4000 · uswealth.bmo.com
12
WELLINGTON-ALTUS USA INC. — notice-filed in LA. IAPD ↗foreign
$126.9M RAUM · 69 reps · 888-315-8729

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.