← Tributary

Compliance — January 2026

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

498 firms opened this window in the January 2026 SEC roster: 212 state expansion, 115 new registration, 45 pending approved, 43 headcount up, 33 disclosure added, 23 custody started, 11 private funds started, 7 aum crossed 1b, 5 reorganization, 4 wrap program started.

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

98
TACTICA LLC — (location n/a) is newly SEC-registered with $418.0M RAUM and 1 advisory reps. IAPD ↗
$418.0M RAUM · 1 reps · 787-585-8095
98
PROSPERITY FINANCIAL GROUP, INC. — (SAN RAMON, CA) is newly SEC-registered with $358.9M RAUM and 9 advisory reps. IAPD ↗
$358.9M RAUM · 9 reps · 925-314-8500 · 401kprosperityfg.com
95
SYCAMORE INVESTMENT CONSULTING SERVICES, LLC — (MADISON, WI) is newly SEC-registered with $159.6M RAUM and 2 advisory reps. IAPD ↗
$159.6M RAUM · 2 reps · 608-827-6414
95
INTEGRITY WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $105.4M RAUM and 3 advisory reps. IAPD ↗
$105.4M RAUM · 3 reps · 513-289-2625 · iwmcfp.net
95
BELLEAIR WEALTH MANAGEMENT, LLC — (BELLEAIR BLUFFS, FL) is newly SEC-registered with $113.0M RAUM and 5 advisory reps. IAPD ↗
$113.0M RAUM · 5 reps · 727-586-5655
95
A SLING & A STONE, INCORPORATED — (BURNET, TX) is newly SEC-registered with $105.2M RAUM and 2 advisory reps. IAPD ↗
$105.2M RAUM · 2 reps · 512-553-5151 · investorsadv.com
95
ARM FINANCIAL LLC — (location n/a) is newly SEC-registered with $45.1M RAUM and 1 advisory reps. IAPD ↗
$45.1M RAUM · 1 reps · 617-520-4044 · indexplus.co
95
GENESIS ADVISORS, LLC — (FISHERS, IN) is newly SEC-registered with $120.6M RAUM and 4 advisory reps. IAPD ↗
$120.6M RAUM · 4 reps · 317-577-6900 · genesisadvisors.net
95
ESMEB INC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 703-340-8011 · waterfallwealth.ai
95
FINANCIAL AVENUES — (location n/a) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
$127.7M RAUM · 2 reps · 913-735-7283 · myfinancialavenues.com
95
FORTITUDE WEALTH MANAGEMENT — (MURFREESBORO, TN) is newly SEC-registered with $103.0M RAUM and 1 advisory reps. IAPD ↗
$103.0M RAUM · 1 reps · 615-878-2134 · jasonquallscfp.com
95
SIGNAL RIDGE CAPITAL PARTNERS, LLC — (FRAMINGHAM, MA) is newly SEC-registered with $110.6M RAUM and 4 advisory reps. IAPD ↗
$110.6M RAUM · 4 reps · 617-607-3222
95
VERSATILE CAPITAL MANAGEMENT L.L.C. — (CHICAGO, IL) is newly SEC-registered with $114.2M RAUM and 2 advisory reps. IAPD ↗
$114.2M RAUM · 2 reps · 312-981-9848
95
BRIA CAPITAL GROUP, LLC — (WESLEY CHAPEL, FL) is newly SEC-registered with $113.4M RAUM and 3 advisory reps. IAPD ↗
$113.4M RAUM · 3 reps · 813-448-1122
95
LDN WEALTH, LLC — (ORLANDO, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (407) 567 1945
95
WEALTHRISE FINANCIAL PLANNING, LLC — (CARLSBAD, CA) is newly SEC-registered with $124.2M RAUM and 2 advisory reps. IAPD ↗
$124.2M RAUM · 2 reps · (760) 508-0368
95
IMPACT FIDUCIARY LLC — (PASADENA, CA) is newly SEC-registered with $116.0M RAUM and 2 advisory reps. IAPD ↗
$116.0M RAUM · 2 reps · 323-615-1427
95
PROSPERO WEALTH, LLC — (location n/a) is newly SEC-registered with $100.3M RAUM and 7 advisory reps. IAPD ↗
$100.3M RAUM · 7 reps · 971-716-1991
95
CENTRAL WEALTH MANAGEMENT LLC — (MADISON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 608-841-1555
95
BLUE JAY FINANCIAL GROUP, LLC — (DEFIANCE, OH) is newly SEC-registered with $107.1M RAUM and 2 advisory reps. IAPD ↗
$107.1M RAUM · 2 reps · 419-785-4525
95
MODERN FINANCIAL PLANNING — (GEORGETOWN, TX) is newly SEC-registered with $110.0M RAUM and 2 advisory reps. IAPD ↗
$110.0M RAUM · 2 reps · (510) 519-7009 · modernfp.com
95
MD WEALTH MANAGEMENT, LLC — (CHELSEA, MI) is newly SEC-registered with $105.9M RAUM and 2 advisory reps. IAPD ↗
$105.9M RAUM · 2 reps · 734-433-9600 · mdwmllc.com
95
OMNITRUST WEALTH MANAGEMENT, INC. — (JACKSONVILLE, FL) is newly SEC-registered with $106.1M RAUM and 1 advisory reps. IAPD ↗
$106.1M RAUM · 1 reps · 904-619-4351
95
FINAMEX ASSET MANAGEMENT, LLC — (HOUSTON, TX) is newly SEC-registered with $104.0M RAUM and 4 advisory reps. IAPD ↗
$104.0M RAUM · 4 reps · 713-589-7121
95
MUSE CAPITAL MANAGEMENT LLC — (SANTA MONICA, CA) is newly SEC-registered with $103.8M RAUM and 1 advisory reps. IAPD ↗
$103.8M RAUM · 1 reps · 908-752-1002 · musecap.com
95
CALEO CAPITAL N.A. LLC — (PONTE VEDRA, FL) is newly SEC-registered with $100.8M RAUM and 4 advisory reps. IAPD ↗
$100.8M RAUM · 4 reps · 609 838 1245 · caleocapital-usa.com
95
WMK INVESTMENT PARTNERS — (location n/a) is newly SEC-registered with $129.3M RAUM and 4 advisory reps. IAPD ↗
$129.3M RAUM · 4 reps · (818) 804-1508 · wmkinvestmentpartners.com
95
COPPERWOOD FINANCIAL — (BURR RIDGE, IL) is newly SEC-registered with $108.4M RAUM and 3 advisory reps. IAPD ↗
$108.4M RAUM · 3 reps · 630-581-8998
95
SMP FINANCIAL PLANNING, LLC — (location n/a) is newly SEC-registered with $64.4M RAUM and 2 advisory reps. IAPD ↗
$64.4M RAUM · 2 reps · (202) 450-0784 · smpfinancialplanning.com
95
BICE WEALTH MANAGEMENT LLC — (MIAMI, FL) is newly SEC-registered with $147.7M RAUM and 2 advisory reps. IAPD ↗
$147.7M RAUM · 2 reps · 786-266-4597
95
ARSENAL CAPITAL ADVISORS LLC — (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 610-564-9134 · arsenalcapitaladvisors.com
95
SWIFTWATER CAPITAL — (location n/a) is newly SEC-registered with $169.7M RAUM and 1 advisory reps. IAPD ↗
$169.7M RAUM · 1 reps · 971-453-0130 · swiftwater.capital
95
PRIVATE CLIENT ADVISOR GROUP, LLC — (PALM CITY, FL) is newly SEC-registered with $110.2M RAUM and 5 advisory reps. IAPD ↗
$110.2M RAUM · 5 reps · 516-241-3934 · privateclientadvisor.net
95
APRICITY FINANCIAL, LLC — (location n/a) is newly SEC-registered with $108.8M RAUM and 4 advisory reps. IAPD ↗
$108.8M RAUM · 4 reps · 855-449-7100 · apricity-advisors.com
95
KINGWOOD INVESTMENT GROUP — (KINGWOOD, TX) is newly SEC-registered with $120.1M RAUM and 4 advisory reps. IAPD ↗
$120.1M RAUM · 4 reps · 281-359-7900 · thekig.com
95
BLUE BEAR FINANCIAL, LLC — (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
$141.9M RAUM · 1 reps · (843) 654-1388
95
XENA FINANCIAL PLANNING, LLC — (PORTLAND, OR) is newly SEC-registered with $100.2M RAUM and 2 advisory reps. IAPD ↗
$100.2M RAUM · 2 reps · (503) 714-7357 · xenafp.com
95
IGW ADVISORY INVESTMENT MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 646-717-4509 · igwadvisory.com
95
WILLOW CREEK CAPITAL MANAGEMENT, INC. — (MISSOULA, MT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 406-830-3286 · raymondjames.com
95
ERA FINANCIAL ADVISORS — (COVINA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 530-208-9249
95
INGOT FINANCE — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 702 326 5885
95
ASCENT ADVISORS — (MANKATO, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 952-444-3100
95
RISE NORTH CAPITAL INVESTMENT ADVISORS — (BRAINTREE, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 13 advisory reps. IAPD ↗
$0 RAUM · 13 reps · (781) 519-6969
95
OMEN ADVISORY, LLC — (location n/a) is newly SEC-registered with $36,000 RAUM and 1 advisory reps. IAPD ↗
$36,000 RAUM · 1 reps · 330-583-4914
95
SAVILE CAPITAL MANAGEMENT LLC — (SHERIDAN, WY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 307-655-1008
95
ACTIV8 FAMILY OFFICE LLC — (MCLEAN, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 978-870-0255 · activ8familyoffice.com
95
FERGHANA INVESTMENT PARTNERS, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (212) 763-4823 · ferghanaip.com
95
ASK DOLLY — (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 720-432-6841 · askdolly.com
95
AHAKISTA CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 212-698-0706
95
8FIGURES — (DOVER, DE) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 4158897717
95
CLERA — (COSTA MESA, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · +1 (661) 889-7456 · askclera.com
95
501 NORTH, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · (212) 887-7777
95
SENTINEL ADVISORY GROUP, LLC — (MIDDLETON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 608-579-9350
95
COLAB CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 415-317-5100 · colab-capital.com
95
PARADIGM GLOBAL INVESTORS — (DALLAS, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 774-836-6011 · paradigmglobalinvestors.com
95
HIGHBROOK CAPITAL PARTNERS — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 205-383-7962
95
R2 WEALTH MANAGEMENT PARTNERS — (LINCOLN, NE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 402-489-9375
95
EMBERVEST — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 301-523-8456 · embervest.com
95
ENDOWE ADVISORY LLC — (SAN JOSE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 650-469-3120 · endowe.com
95
BAYTRUST WEALTH MANAGEMENT, LLC — (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 813-820-0069 · baytrust.com
95
NAMSOFT ADVISORS, LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 425-736-6508 · runplutus.com
95
PULLIAM FAMILY OFFICE, LLC — (CRESTED BUTTE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 972-947-9400 · pulliamfamilyoffice.com
95
FFO INVESTMENTS LLC — (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · (302) 584-3415 · thefractionalfamilyoffice.com
95
WASHINGTON PARK CAPITAL MANAGEMENT, LLC — (PORTLAND, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 503-222-9917 · waparkadvisors.com
95
IMPERITY WEALTH ALLIANCE LLC — (MELVILLE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 14 advisory reps. IAPD ↗
$0 RAUM · 14 reps · 800-203-2702 · acsadvisory.com
95
VALOREM LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-837-8846 · valoremwealth.com
95
MILLER FINANCIAL SERVICES, INC. — (SAN JUAN CAPISTRANO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 949-218-9419 · millerfinancialservicesinc.com
95
MODELL CAPITAL MANAGEMENT LLC — (ROCHESTER, MI) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (248) 723-8000
95
PARKSIDE FAMILY OFFICE LLC — (EDMONDS, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 425-238-4356
95
CATTON CAPITAL PARTNERS, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 415-234-0470 · cattoncapital.com
95
NORTHILL AIMS, LLC — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (972) 480-6202
95
MFT WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 617-800-7922 · mftwealth.net
95
LANCASTER — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 917-859-2815 · lancaster.am
95
STEPHEN SMITH FINANCIAL INC. — (SCHAUMBURG, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 847-337-1022
95
HV CAPITAL MANAGEMENT — (MONTGOMERY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 845-655-4826 · hvcapitalmanagement.com
95
SPENDVEST — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 775-636-2906
95
VERTRIX WEALTH MANAGEMENT, LLC — (TROY, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (248) 602 0555 · vertrixwm.com
95
TECTONIC CAPITAL ADVISORS, LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (713) 250-4200
95
OASYS WEALTH, INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 617-608-8702 · oasyswealth.com
85
RAYMOND JAMES & ASSOCIATES, INC. — grew from 5537 to 5683 advisory reps. IAPD ↗
$500.96B RAUM · 5683 reps · 727-567-1000
85
FRANKLIN ADVISERS, INC. — grew from 254 to 272 advisory reps. IAPD ↗
$509.45B RAUM · 272 reps · (650) 312-3000
85
PUTNAM INVESTMENT MANAGEMENT, LLC — grew from 51 to 72 advisory reps. IAPD ↗
$117.24B RAUM · 72 reps · 617-292-1000
85
LNW — grew from 58 to 93 advisory reps. IAPD ↗
$12.23B RAUM · 93 reps · 206-464-5100
85
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC — grew from 5720 to 6024 advisory reps. IAPD ↗
$390.04B RAUM · 6024 reps · 727-567-3020
84
WESTERN ASSET MANAGEMENT COMPANY — grew from 68 to 82 advisory reps. IAPD ↗
$184.99B RAUM · 82 reps · 626-844-9400
82
PRIVATE CAPITAL MANAGEMENT, LLC — grew from 13 to 25 advisory reps. IAPD ↗
$1.54B RAUM · 25 reps · 303-370-0055 · pcm-inc.com
79
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC — grew from 47 to 56 advisory reps. IAPD ↗
$65.44B RAUM · 56 reps · 215-609-3500
79
CLEARBRIDGE INVESTMENTS, LLC — grew from 62 to 71 advisory reps. IAPD ↗
$184.81B RAUM · 71 reps · 212-805-2000
78
EARNED WEALTH ADVISORS, LLC — grew from 20 to 28 advisory reps. IAPD ↗
$1.92B RAUM · 28 reps · 925.939.2500
78
BEACON GLOBAL ADVISOR NETWORK, LLC — grew from 50 to 60 advisory reps. IAPD ↗
$396.9M RAUM · 60 reps · 888-679-6474 · bganetwork.com
77
FRANKLIN MUTUAL ADVISERS, LLC — grew from 30 to 37 advisory reps. IAPD ↗
$42.59B RAUM · 37 reps · (973) 912-2000 · franklintempleton.com
77
WAVERLY ADVISORS, LLC — grew from 190 to 197 advisory reps. IAPD ↗
$28.26B RAUM · 197 reps · 205-871-3334 · waverly-advisors.com
77
QUARTZ PARTNERS INVESTMENT MANAGEMENT — grew from 13 to 22 advisory reps. IAPD ↗
$397.8M RAUM · 22 reps · 800-433-0422 · eticofinancial.com
76
O'SHAUGHNESSY ASSET MANAGEMENT, LLC — grew from 47 to 53 advisory reps. IAPD ↗
$19.78B RAUM · 53 reps · 203-975-3333 · canvas.osam.com
76
AWH FINANCIAL, LLC — grew from 50 to 61 advisory reps. IAPD ↗
$0 RAUM · 61 reps · 610-660-4283
76
PRIME CAPITAL FINANCIAL — grew from 239 to 245 advisory reps. IAPD ↗
$30.11B RAUM · 245 reps · (800) 493-6226 · info.pciawealth.com
75
MADISON PARTNERS — grew from 12 to 17 advisory reps. IAPD ↗
$1.30B RAUM · 17 reps · 608-210-1021
75
L 1 GLOBAL WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
$2.81B RAUM · 3 reps · 305-848-3411
75
TRINITY STRATEGIC WEALTH — 's provisional registration is now fully approved. IAPD ↗
$1.52B RAUM · 16 reps · 918-492-2150 · trinitystrategicwealth.com
73
SAGEGUARD FINANCIAL GROUP, LLC — grew from 7 to 12 advisory reps. IAPD ↗
$607.7M RAUM · 12 reps · (615) 859-4567
73
RAYMOND JAMES INVESTMENT MANAGEMENT — grew from 2 to 5 advisory reps. IAPD ↗
$16.86B RAUM · 5 reps · 800-521-1195 · carillontower.com
73
CEDAR COVE WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
$431.7M RAUM · 10 reps · 952-358-3456 · cedarcovewealth.com
73
PATHFINDER WEALTH CONSULTING — 's provisional registration is now fully approved. IAPD ↗
$847.4M RAUM · 9 reps · (910) 793-0616
73
ELEVATE WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
$319.4M RAUM · 3 reps · 307 461-5550 · elevateasset.com
73
MACCO FINANCIAL GROUP, INC. — 's provisional registration is now fully approved. IAPD ↗
$261.9M RAUM · 4 reps · (920) 617-6830 · maccofinancial.com
73
KTF INVESTMENTS, LLC — 's provisional registration is now fully approved. IAPD ↗
$691.8M RAUM · 3 reps · 513-618-4498 · ktfinvestments.com
73
COLLABORATIVE CAPITAL ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
$381.9M RAUM · 2 reps · 646-933-5730 · collaborativecapitaladvisors.com
73
CLEAR TRAIL ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
$797.1M RAUM · 4 reps · (713) 893-9870
73
MARATHON FINANCIAL GROUP — 's provisional registration is now fully approved. IAPD ↗
$289.1M RAUM · 4 reps · 857-201-3420 · meetmarathon.com
73
COLLABORATIVE CAPITAL ADVISORS LLC — now reports 1 private fund(s) ($5.0M gross). IAPD ↗
$381.9M RAUM · 2 reps · 646-933-5730 · collaborativecapitaladvisors.com
72
QUANTUM FINANCIAL PLANNING SERVICES, INC. — grew from 9 to 13 advisory reps. IAPD ↗
$727.2M RAUM · 13 reps · 509-328-6653
72
ELM WEALTH — grew from 5 to 7 advisory reps. IAPD ↗
$2.02B RAUM · 7 reps · (888) 676-3148
71
AZIMUT INVESTMENT ADVISORS LLC — grew from 5 to 8 advisory reps. IAPD ↗
$639.1M RAUM · 8 reps · 786 866 3700
70
GC WEALTH MANAGEMENT RIA, LLC — now reports custody of client assets ($1.93B). IAPD ↗
$2.15B RAUM · 17 reps · 617-234-7000
70
TRINITY STRATEGIC WEALTH — now reports custody of client assets ($3.2M). IAPD ↗
$1.52B RAUM · 16 reps · 918-492-2150 · trinitystrategicwealth.com
70
HUTCHINSON CAPITAL MANAGEMENT — grew from 3 to 5 advisory reps. IAPD ↗
$883.3M RAUM · 5 reps · 415-464-5650
70
4:8 FINANCIAL — grew from 1 to 3 advisory reps. IAPD ↗
$301.3M RAUM · 3 reps · 503-266-4848 · 48financial.com
70
FUNDIFY ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
$65,051 RAUM · 3 reps · 512-645-1010 · fundify.com
70
MAVROS CAPITAL MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
$32.1M RAUM · 3 reps · (424) 522-2524 · mavrosgroup.com
70
SERENITY CAPITAL ADVISORS INC. — 's provisional registration is now fully approved. IAPD ↗
$63.2M RAUM · 1 reps · 1-877-975-3383 · serenitycapadvisors.com
70
AFT US CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
$216 RAUM · 0 reps · 213-454-0601 · aspireapp.com
70
CRECER — 's provisional registration is now fully approved. IAPD ↗
$1,892 RAUM · 2 reps · 888-855-0874 · crecer.app
70
GRANITE ISLANDS PRIVATE WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
$228.1M RAUM · 4 reps · 203-889-3899 · graniteislands.com
70
CROSSGEN WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
$212.2M RAUM · 3 reps · 252-262-7301 · crossgenwealth.com
70
FIVANCIAL ADVISORS, INC. — 's provisional registration is now fully approved. IAPD ↗
$512 RAUM · 1 reps · 855-568-3275 · banksocial.io
70
INTER ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 6 reps · 888-305-7264 · inter.co
70
KUBENCE — 's provisional registration is now fully approved. IAPD ↗
$650,000 RAUM · 4 reps · 650-308-8398 · kubence.com
70
ENCORE WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$108.0M RAUM · 3 reps · 320-288-4084
70
ARDEN GLOBAL FAMILY OFFICES — 's provisional registration is now fully approved. IAPD ↗
$103.6M RAUM · 1 reps · 650-680-8160
70
COUNTRYSIDE FINANCIAL LLC — 's provisional registration is now fully approved. IAPD ↗
$62.7M RAUM · 3 reps · 716-256-1330
70
ROTHWELL INVESTMENT ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$188.7M RAUM · 2 reps · 978-387-9997 · maitlandfinancialgroup.com
70
AVRIO WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
$26.1M RAUM · 3 reps · (646) 825-3957 · avriowealth.com
70
BLACK WALNUT WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
$129.0M RAUM · 1 reps · 231-421-7711 · blackwalnutwm.com
70
LEGACY ROAD FAMILY OFFICES — 's provisional registration is now fully approved. IAPD ↗
$121.4M RAUM · 1 reps · 917-626-1042
70
MARATHON WEALTH PARTNERS, INC — 's provisional registration is now fully approved. IAPD ↗
$137.4M RAUM · 1 reps · 512-587-6259 · marathonwealthpartners.com
70
TRITONPOINT CAPITAL, LLC — now reports 1 private fund(s) ($23.0M gross). IAPD ↗
$112.2M RAUM · 3 reps · 301-799-9001
68
TOWER VIEW WEALTH MANAGEMENT LLC — now reports custody of client assets ($3.1M). IAPD ↗
$281.9M RAUM · 2 reps · 414-253-4096
68
DAI WEALTH, LLC — now reports custody of client assets ($32.8M). IAPD ↗
$267.4M RAUM · 32 reps · 404-531-7080 · goodcounselwealth.com
68
MONEX ASSET MANAGEMENT, INC. — now reports custody of client assets ($10.9M). IAPD ↗
$556.8M RAUM · 14 reps · 713-877-8234 · monexsec.com
68
PACIFIC CAPITAL — now reports custody of client assets ($292.6M). IAPD ↗
$654.7M RAUM · 6 reps · 844-777-8777 · pacificcapital.com
68
Q CAPITAL SOLUTIONS — now reports custody of client assets ($13.0M). IAPD ↗
$255.7M RAUM · 1 reps · 732-600-5557 · qcapitalsolutions.com
68
ARGO WEALTH ADVISORY, LLC — now reports custody of client assets ($9.4M). IAPD ↗
$256.2M RAUM · 2 reps · 703-914-3830 · argowealthadvisory.com
68
PATHFINDER WEALTH CONSULTING — now reports custody of client assets ($201.1M). IAPD ↗
$847.4M RAUM · 9 reps · (910) 793-0616
68
CLEAR TRAIL ADVISORS, LLC — now reports custody of client assets ($260.2M). IAPD ↗
$797.1M RAUM · 4 reps · (713) 893-9870
68
CONNECTIVE WEALTH PARTNERS, LLC — grew from 7 to 10 advisory reps. IAPD ↗
$36.7M RAUM · 10 reps · (603) 498-1854
67
CAPSTONE INVESTMENT GROUP — grew from 6 to 8 advisory reps. IAPD ↗
$152.4M RAUM · 8 reps · 360-570-9888 · wisdomanddiscipline.com
67
PACIFIC POINT WEALTH MANAGEMENT — grew from 2 to 4 advisory reps. IAPD ↗
$6.5M RAUM · 4 reps · (858)-248-7054
67
STEELHEAD WEALTH MANAGEMENT — grew from 1 to 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (804) 548-0781 · steelheadwealth.com
65
THE FOUNDRY FINANCIAL GROUP, INC. — now reports custody of client assets ($6.2M). IAPD ↗
$250.0M RAUM · 6 reps · 603-528-5171
65
LIVELSBERGER FINANCIAL ADVISORY — now reports custody of client assets. IAPD ↗
$160.9M RAUM · 1 reps · 419-289-7165 · livelsbergerfinancial.com
65
STAR CAPITAL INC. — now reports custody of client assets ($12.7M). IAPD ↗
$143.5M RAUM · 6 reps · 651-444-1116
65
CONNECTICUT CAPITAL MANAGEMENT GROUP, LLC — now reports custody of client assets ($43.0M). IAPD ↗
$222.7M RAUM · 4 reps · 203-877-1520
65
GRANITE ISLANDS PRIVATE WEALTH, LLC — now reports custody of client assets ($87.6M). IAPD ↗
$228.1M RAUM · 4 reps · 203-889-3899 · graniteislands.com
63
CAMBIENT FAMILY OFFICE, LLC — began participating in a wrap-fee program. IAPD ↗
$668.8M RAUM · 3 reps · (616) 330-2270 · cambient.com
60
FAMILY WEALTH PLANNING PARTNERS — began participating in a wrap-fee program. IAPD ↗
$202.3M RAUM · 4 reps · 502-200-5210 · fwppartners.com
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 4 (259 -> 263). IAPD ↗
$824.99B RAUM · 22226 reps · 314-515-2000
55
GOLDMAN SACHS & CO. LLC — 's Item 11 disclosure-reporting entries rose by 1 (766 -> 767). IAPD ↗
$114.90B RAUM · 2318 reps · 212-902-1000
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 9 (201 -> 210). IAPD ↗
$171.21B RAUM · 3045 reps · 314-342-2000 · goldmancomfort.com
55
CITIGROUP GLOBAL MARKETS INC. — 's Item 11 disclosure-reporting entries rose by 1 (175 -> 176). IAPD ↗
$46.87B RAUM · 4267 reps · 212-816-6000 · citi.com
55
RBC CAPITAL MARKETS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (224 -> 225). IAPD ↗
$259.96B RAUM · 5680 reps · 212-858-7000 · us.rbcwealthmanagement.com
55
M HOLDINGS SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 3 (5 -> 8). IAPD ↗
$4.08B RAUM · 222 reps · 800-656-6960 · mfin.com
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 1 (142 -> 143). IAPD ↗
$193.11B RAUM · 92 reps · 212-454-4500
55
VANGUARD ADVISERS, INC. — 's Item 11 disclosure-reporting entries rose by 8 (106 -> 114). IAPD ↗
$300.43B RAUM · 1567 reps · 610-669-1000
55
FIRST TRUST ADVISORS LP — 's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
$256.33B RAUM · 125 reps · 630-765-8000
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 1 (142 -> 143). IAPD ↗
$29.47B RAUM · 135 reps · 312-537-7000
55
SAGEVIEW ADVISORY GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 3 (1 -> 4). IAPD ↗
$238.55B RAUM · 133 reps · 800-814-8742
55
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (77 -> 79). IAPD ↗
$102.41B RAUM · 3327 reps · 641-472-5100
55
M FINANCIAL ASSET MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$1.50B RAUM · 5 reps · 503-232-6960 · mfinwealth.com
55
INTEGRITY ALLIANCE, LLC — 's Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗
$2.41B RAUM · 164 reps · 877-886-1939 · integritywealth.com
55
KOVACK ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (16 -> 18). IAPD ↗
$5.53B RAUM · 305 reps · 954-782-4771
55
VECTORGLOBAL IAG, INC. — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$1.69B RAUM · 25 reps · 305-350-3350 · vectorglobaliag.com
55
VANGUARD PERSONALIZED INDEXING MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 8 (102 -> 110). IAPD ↗
$7.26B RAUM · 4 reps · 844-317-5190
55
VICTORY CAPITAL MANAGEMENT INC. — notice-filed in MT, ND, NM, PR, SD, VI, WV, WY. IAPD ↗
$152.29B RAUM · 135 reps · 877-660-4400 · vcm.com
55
LNW — notice-filed in AK, AZ, ID, MI, MN. IAPD ↗
$12.23B RAUM · 93 reps · 206-464-5100
55
ARCHFORD CAPITAL STRATEGIES, LLC — notice-filed in CA, KY, NC, OH, TN. IAPD ↗
$1.28B RAUM · 8 reps · 618-416-7085
55
PROCYON — notice-filed in AL, IN, KS, MN, MO, MT, NM, NV, WI, WV. IAPD ↗
$7.77B RAUM · 34 reps · (475) 232-2704
55
PINE GROVE FINANCIAL GROUP — notice-filed in AZ, CA, CO, FL, IA, IL, MD, NC, OH, PA, SC, WA, WI. IAPD ↗
$1.48B RAUM · 15 reps · 651 714 0323
55
CALIBER WEALTH MANAGEMENT, LLC — notice-filed in CT, GA, IA, MN, WA. IAPD ↗
$1.17B RAUM · 15 reps · 913-303-3920
55
STONEBRIDGE FINANCIAL GROUP, LLC — notice-filed in AZ, CA, CO, FL, ID, IL, LA, NE, NH, TX. IAPD ↗
$2.35B RAUM · 7 reps · 617-800-0388 · stonebridgefin.com
53
PUREFI WEALTH, LLC — 's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗
$262.5M RAUM · 5 reps · (617) 488-9320
53
ELM WEALTH — notice-filed in AZ, GA, NV, WI. IAPD ↗
$2.02B RAUM · 7 reps · (888) 676-3148
51
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC — notice-filed in DC, PA, UT, VT. IAPD ↗
$668.6M RAUM · 32 reps · 763-923-2270 · oakridgefinancial.com
51
PROVIDENT INVESTMENT MANAGEMENT, INC. — notice-filed in NE, NH, OR. IAPD ↗
$1.23B RAUM · 6 reps · 248-380-1700 · investprovident.com
51
RAMIREZ ASSET MANAGEMENT, INC. — notice-filed in LA, MN, NE. IAPD ↗
$12.27B RAUM · 21 reps · 212-248-0500
51
TRUE NORTH ADVISORS, LLC — notice-filed in CT, NY, WA. IAPD ↗
$4.48B RAUM · 28 reps · 214-360-7300
51
GALVIN, GAUSTAD & STEIN, LLC — notice-filed in MA, MD, SC. IAPD ↗
$1.22B RAUM · 17 reps · 480-776-1445 · ggsadvisors.com
51
REDWOOD WEALTH MANAGEMENT, LLC — notice-filed in IL, NJ, TN, VA. IAPD ↗
$493.0M RAUM · 3 reps · 888-552-1905 · redwoodwealth.com
51
GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC. — notice-filed in MA, NE, OH, TN. IAPD ↗
$529.1M RAUM · 11 reps · 866-405-1031 · askglobalwealth.com
51
RELIANT WEALTH PLANNING, LLC — notice-filed in AK, AL, NM, WA. IAPD ↗
$520.6M RAUM · 5 reps · 502-398-5050 · reliantwealthplanning.com
51
LONG RUN WEALTH ADVISORS, LLC — notice-filed in CO, MA, ME, NJ. IAPD ↗
$514.2M RAUM · 7 reps · 518-523-8050
51
ASTRA WEALTH MANAGEMENT GROUP — notice-filed in AZ, KS, UT. IAPD ↗
$1.30B RAUM · 10 reps · 972-464-1571
51
JW NOVA WEALTH PARTNERS — notice-filed in AZ, MA, MD, NY. IAPD ↗
$307.9M RAUM · 3 reps · 267-753-7067
50
SKYVIEW PINNACLE — 's Item 11 disclosure-reporting entries rose by 5 (0 -> 5). IAPD ↗
$0 RAUM · 2 reps · 656-245-3491 · skyviewpinnacle.com
50
OATH PLANNING, LLC — notice-filed in CA, CT, IN, KS, KY, ME, MI, MO, MS, PA, SC, UT, VA, WI. IAPD ↗
$200.6M RAUM · 5 reps · 918-200-9094
50
REGENTS PARTNERS, LLC — notice-filed in CO, FL, IL, WA, WY. IAPD ↗
$165.5M RAUM · 5 reps · (925) 261-8330 · regentsparkadvisors.com
49
AMERICAN WEALTH MANAGEMENT, INC. — notice-filed in LA, NE, TN. IAPD ↗
$309.9M RAUM · 10 reps · 770-392-8741 · awminc.biz
49
FACTOR WEALTH MANAGEMENT — notice-filed in MD, NH, WI. IAPD ↗
$630.1M RAUM · 4 reps · (312) 644-5040 · factorwealth.com
49
POTOMAC — notice-filed in AR, MN. IAPD ↗
$2.41B RAUM · 25 reps · (301) 901-3466 · potomac.com
49
ASSET PRESERVATION ADVISORS, LLC — notice-filed in ID, SD. IAPD ↗
$10.65B RAUM · 21 reps · 404-261-1333 · assetpreservationadvisors.com
49
EAGLE GLOBAL ADVISORS LLC — notice-filed in MS, NC. IAPD ↗
$2.46B RAUM · 10 reps · 713-952-3550
49
UNITED ASSET STRATEGIES INC. — notice-filed in LA, NV. IAPD ↗
$1.84B RAUM · 21 reps · 516-222-0021 · unitedasset.com
49
COLDSTREAM WEALTH MANAGEMENT — notice-filed in LA, NJ. IAPD ↗
$12.44B RAUM · 165 reps · 425-283-1600
49
COX CAPITAL MANAGEMENT LLC — notice-filed in CA, GA, NC. IAPD ↗
$328.7M RAUM · 4 reps · 978-475-3325
49
MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC — notice-filed in LA, OH. IAPD ↗
$1.37B RAUM · 8 reps · 800-344-4038 · miracenter.com
49
FINANCIAL & TAX ARCHITECTS, LLC — notice-filed in NE, VT, WI. IAPD ↗
$443.0M RAUM · 24 reps · 314-858-1122 · scoutfinancialgroup.com
49
COLTON GROOME FINANCIAL ADVISORS, LLC — notice-filed in NH, TN, TX. IAPD ↗
$444.0M RAUM · 12 reps · 828-252-1816 · coltongroome.com
49
PRIVATE CAPITAL MANAGEMENT, LLC — notice-filed in GA, SC. IAPD ↗
$1.54B RAUM · 25 reps · 303-370-0055 · pcm-inc.com
49
FLOWER CITY CAPITAL LLC — notice-filed in CO, MA, VA. IAPD ↗
$333.6M RAUM · 2 reps · 585-236-8501
49
LIBERTY WEALTH MANAGEMENT, LLC — notice-filed in MD, SC. IAPD ↗
$1.47B RAUM · 18 reps · 510-658-1880
49
NIA IMPACT CAPITAL — notice-filed in MI, NE, RI. IAPD ↗
$525.7M RAUM · 4 reps · 510-319-9221 · niaimpactadvisors.com
49
CAPITA FINANCIAL NETWORK, LLC — notice-filed in PA, SD. IAPD ↗
$1.85B RAUM · 22 reps · 801-566-5058
49
RESONANT CAPITAL ADVISORS, LLC — notice-filed in AZ, OR. IAPD ↗
$2.22B RAUM · 14 reps · (608)-733-6220
49
SYNERGY INVESTMENT MANAGEMENT LLC — notice-filed in AZ, IL, OH. IAPD ↗
$461.2M RAUM · 9 reps · 321-203-4458 · synergywealthalliance.com
49
HAYS FINANCIAL GROUP, LLC — notice-filed in LA, NH. IAPD ↗
$6.09B RAUM · 4 reps · (612) 373-9863
49
STEINBERGANNA WEALTH MANAGEMENT LLC — notice-filed in CA, NH, SC. IAPD ↗
$320.9M RAUM · 2 reps · 631-271-6160 · steinberganna.com
49
CLEAR TRAIL ADVISORS, LLC — notice-filed in GA, LA, OK. IAPD ↗
$797.1M RAUM · 4 reps · (713) 893-9870
48
CROSS BORDER WEALTH, LLC — notice-filed in DC, MD, OH, WA. IAPD ↗
$138.8M RAUM · 7 reps · 646-688-5333
48
COVINGTONALSINA — notice-filed in CO, DC, NC, TN. IAPD ↗
$189.3M RAUM · 5 reps · (904) 449-7326
48
EXCELSIOR ADVISOR NETWORK LLC — notice-filed in FL, MI, PA, WI. IAPD ↗
$150.0M RAUM · 4 reps · 303-351-6436 · bvprivatewealth.com
48
COASTLINE COMPLETE WEALTH LLC — notice-filed in FL, LA, NC, TX. IAPD ↗
$0 RAUM · 2 reps · 843-379-1300 · coastlinecw.com
47
CAMPBELL NEWMAN ASSET MANAGEMENT INC — notice-filed in CT. IAPD ↗
$1.29B RAUM · 3 reps · 414-908-6670 · campbellnewman.com
47
BEAIRD HARRIS — notice-filed in WA. IAPD ↗
$1.91B RAUM · 13 reps · 972-503-1040
47
SYM FINANCIAL ADVISORS — notice-filed in WI. IAPD ↗
$4.88B RAUM · 41 reps · 800-888-7968
47
JACOBS & COMPANY, LLC — notice-filed in AZ. IAPD ↗
$1.10B RAUM · 3 reps · 415-777-1617
47
THE L. WARNER COMPANIES, INC — notice-filed in CT, DE. IAPD ↗
$744.6M RAUM · 12 reps · 410-252-0808 · lwarner.com
47
EMBREE FINANCIAL GROUP — notice-filed in KS. IAPD ↗
$2.28B RAUM · 14 reps · 312-527-5565
47
JAMES INVESTMENT RESEARCH INC — notice-filed in TN. IAPD ↗
$1.21B RAUM · 8 reps · 937-426-7640
47
DAVIDSON INVESTMENT ADVISORS, INC. — notice-filed in SD. IAPD ↗
$5.20B RAUM · 13 reps · 406-727-6111 · caprinbonds.com
47
VISTA CAPITAL PARTNERS, INC. — notice-filed in NY. IAPD ↗
$2.72B RAUM · 19 reps · 503-772-9500
47
QUANTUM FINANCIAL PLANNING SERVICES, INC. — notice-filed in FL, NV. IAPD ↗
$727.2M RAUM · 13 reps · 509-328-6653
47
APRIO WEALTH MANAGEMENT, LLC — notice-filed in WI. IAPD ↗
$2.64B RAUM · 24 reps · 404-892-9651 · wealth.aprio.com
47
CERTUITY, LLC — notice-filed in GA. IAPD ↗
$3.10B RAUM · 10 reps · 561-693-3255 · certuity.com
47
VERSANT CAPITAL MANAGEMENT, INC. — notice-filed in FL. IAPD ↗
$1.24B RAUM · 13 reps · 602-635-3760 · tamethemoneymonkey.com
47
FINANCIAL PERSPECTIVES — notice-filed in SD. IAPD ↗
$1.00B RAUM · 14 reps · 763-553-7779 · fpwealth.com
47
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC — notice-filed in IA. IAPD ↗
$1.13B RAUM · 7 reps · (408) 217-2000 · wrpwealth.com
47
RESTON WEALTH MANAGEMENT — notice-filed in DC, SC. IAPD ↗
$477.1M RAUM · 4 reps · 703-481-2280 · financialfieldnotes.com
47
KRILOGY — notice-filed in DC. IAPD ↗
$4.95B RAUM · 56 reps · 314-884-2800
47
TELOS CAPITAL MANAGEMENT, INC. — notice-filed in MO. IAPD ↗
$1.42B RAUM · 7 reps · (858) 271-6350
47
C2 PRIVATE WEALTH — notice-filed in PA. IAPD ↗
$1.18B RAUM · 11 reps · 248-567-6688 · retirementplanningedu.com
47
EMPIRICAL WEALTH MANAGEMENT — notice-filed in TN. IAPD ↗
$6.70B RAUM · 53 reps · 206-923-3474
47
TWO WEST CAPITAL ADVISORS LLC — notice-filed in CA. IAPD ↗
$3.24B RAUM · 14 reps · 913-825-1722 · stewartadvisory.com
47
BLUE WATER WEALTH — notice-filed in CO, RI. IAPD ↗
$384.2M RAUM · 11 reps · 503-296-8700 · bluewaterwealth.com
47
STRATEGIC WEALTH INVESTMENT GROUP, LLC — notice-filed in NY. IAPD ↗
$1.11B RAUM · 41 reps · 502-412-3354
47
COMPASS ION ADVISORS, LLC — notice-filed in OH. IAPD ↗
$1.33B RAUM · 15 reps · (610) 228-2200 · ionadv.com
47
THRIVE WEALTH MANAGEMENT, LLC — notice-filed in MI. IAPD ↗
$1.32B RAUM · 12 reps · 215-376-5530 · thrivewealth.com
47
BEACON FINANCIAL ADVISORY LLC — notice-filed in MD, TN. IAPD ↗
$677.6M RAUM · 13 reps · 216-910-1850
47
INSIGNEO ADVISORY SERVICES, LLC — notice-filed in MI. IAPD ↗
$3.61B RAUM · 188 reps · 305.373.9000 · insigneo.com
47
REVOLVE WEALTH PARTNERS, LLC — notice-filed in IL. IAPD ↗
$1.18B RAUM · 13 reps · 201-373-2163
47
KELLY FINANCIAL SERVICES LLC — notice-filed in CT, VT. IAPD ↗
$506.5M RAUM · 5 reps · 781-849-3090 · kellyfinancial.org
47
INSPIRE ADVISORS, LLC — notice-filed in AK. IAPD ↗
$1.03B RAUM · 46 reps · 877-859-6383 · inspireadvisors.com
47
WEDMONT PRIVATE CAPITAL — notice-filed in MO. IAPD ↗
$2.37B RAUM · 10 reps · 6108858200
47
GAMMA INVESTING LLC — notice-filed in CO. IAPD ↗
$1.42B RAUM · 6 reps · 888-585-1755 · gammainvesting.com
47
THEPARTNERS WEALTH MANAGEMENT — notice-filed in MA, MD. IAPD ↗
$454.5M RAUM · 32 reps · 800-324-3010 · trivam.com
47
SAVVY — notice-filed in UT. IAPD ↗
$1.30B RAUM · 52 reps · 833-745-6789 · savvywealth.com
47
ROSSBY FINANCIAL, LLC — notice-filed in AK, IA. IAPD ↗
$358.6M RAUM · 2 reps · 321-209-0111
47
PORTSIDE WEALTH GROUP, LLC — notice-filed in NH. IAPD ↗
$1.13B RAUM · 42 reps · 385-412-1222 · frontieradvisorgroup.com
47
WARNER WEALTH — notice-filed in NC, SC. IAPD ↗
$362.8M RAUM · 5 reps · 203-929-2727 · warnerwealthct.com
47
COLLABORATIVE CAPITAL ADVISORS LLC — notice-filed in MA, OK. IAPD ↗
$381.9M RAUM · 2 reps · 646-933-5730 · collaborativecapitaladvisors.com
46
TWENTY TWENTY INVESTMENT ADVISORS, LLC — notice-filed in CA, MT, OR. IAPD ↗
$123.4M RAUM · 3 reps · 509-892-3512
46
LIGHTSQUARE WEALTH MANAGEMENT, LLC — notice-filed in AL, IL, VI. IAPD ↗
$131.4M RAUM · 2 reps · 248-641-3540 · lightsquarewealth.com
46
WISER ADVISOR GROUP — notice-filed in FL, SD, UT. IAPD ↗
$115.1M RAUM · 2 reps · 480-500-9055
45
GREENWOOD GEARHART, LLC — filed an Item 4A succession naming GREENWOOD GEARHART INC. (CRD 110379) — an entity change, not a deal. IAPD ↗
$1.64B RAUM · 11 reps · 479-521-5353
45
FUTURE CAPITAL — filed an Item 4A succession naming FUTURE CAPITAL (CRD 119081) — an entity change, not a deal. IAPD ↗
$1.03B RAUM · 2 reps · 423-648-1876 · futurecapital.com
45
FIRST KENTUCKY SECURITIES CORP — notice-filed in VA. IAPD ↗
$566.0M RAUM · 16 reps · 502-893-7288 · firstky.com
45
CALDWELL SUTTER CAPITAL, INC. — notice-filed in FL. IAPD ↗
$605.7M RAUM · 5 reps · 415-962-2526 · cald.com
45
SHARKEY HOWES & JAVER INC — notice-filed in NE. IAPD ↗
$917.0M RAUM · 9 reps · 303-639-5100
45
COOPERATIVE FUNERAL FUND INC — notice-filed in CO. IAPD ↗
$710.7M RAUM · 2 reps · 800-336-1102 · cffinc.com
45
LEGEND FINANCIAL ADVISORS INC — notice-filed in NH. IAPD ↗
$335.4M RAUM · 3 reps · 412-635-9210 · legend-financial.com
45
CHESAPEAKE ASSET MANAGEMENT LLC — notice-filed in NE. IAPD ↗
$721.3M RAUM · 5 reps · 212-218-4040 · chesman.com
45
YUKON WEALTH MANAGEMENT, INC. — notice-filed in LA. IAPD ↗
$392.0M RAUM · 2 reps · 913-681-9200 · yukoncm.com
45
STUART INVESTMENT ADVISORS, INC. — notice-filed in CO. IAPD ↗
$515.2M RAUM · 2 reps · 512-478-2275
45
LEELYN SMITH, LLC — notice-filed in MI. IAPD ↗
$722.2M RAUM · 20 reps · 630-232-8995
45
NEW ENGLAND RESEARCH & MANAGEMENT, INC. — notice-filed in LA. IAPD ↗
$285.2M RAUM · 3 reps · 312-212-1704 · nerminc.com
45
EXCALIBUR MANAGEMENT CORP — notice-filed in TX. IAPD ↗
$657.0M RAUM · 7 reps · (617) 916-9669 · excalmgmt.com
45
BOURNE LENT ASSET MANAGAMENT, INC. — notice-filed in CA. IAPD ↗
$303.2M RAUM · 3 reps · 845-855-1590 · bournelent.com
45
RAINEY & RANDALL WEALTH ADVISORS, INC. — notice-filed in TN. IAPD ↗
$820.4M RAUM · 4 reps · 727-344-7711 · raineyrandall.com
45
FAITHWARD ADVISORS, LLC — notice-filed in OR. IAPD ↗
$906.0M RAUM · 14 reps · 717-560-8300
45
FREEGULLIVER, LLC — notice-filed in NY. IAPD ↗
$798.1M RAUM · 8 reps · 504-899-0300 · freegulliver.com
45
COSTELLO ASSET MANAGEMENT, INC. — notice-filed in NH. IAPD ↗
$347.9M RAUM · 4 reps · 215 856 9290 · costelloassetmanagement.com
45
ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, LLC — notice-filed in OH. IAPD ↗
$464.3M RAUM · 3 reps · 516-887-4433
45
KORHORN FINANCIAL GROUP — notice-filed in SC. IAPD ↗
$934.5M RAUM · 41 reps · 574-247-5898
45
NAMCOA — notice-filed in MA. IAPD ↗
$312.3M RAUM · 16 reps · (239) 593-5525 · namcoa.com
45
CAPITAL TRUST ADVISORS — notice-filed in NV. IAPD ↗
$356.8M RAUM · 4 reps · (415) 399-9100 · capitaltrustadvisors.com
45
HOLLAND ADVISORY SERVICES, INC. — notice-filed in NY. IAPD ↗
$263.5M RAUM · 11 reps · 386-671-7526
45
WEALTHVIEW CAPITAL, LLC — notice-filed in OH. IAPD ↗
$286.8M RAUM · 2 reps · 601-981-4040
45
SLAGLE FINANCIAL, LLC. — notice-filed in SC. IAPD ↗
$315.0M RAUM · 7 reps · 618-692-1657
45
IRONWOOD FINANCIAL, LLC — notice-filed in FL. IAPD ↗
$574.9M RAUM · 6 reps · 520-318-4600 · ironwoodfinancial.com
45
BUTTONWOOD FINANCIAL GROUP, LLC — notice-filed in ND. IAPD ↗
$696.8M RAUM · 7 reps · 816-285-9000
45
ALTUS WEALTH MANAGEMENT, LLC — notice-filed in CA. IAPD ↗
$359.3M RAUM · 4 reps · 859-815-8566 · altuswm.com
45
SENSIBLE MONEY, LLC — notice-filed in NE. IAPD ↗
$603.7M RAUM · 11 reps · 480-719-7290 · sensiblemoney.com
45
INVESTOR FAN — notice-filed in NY. IAPD ↗
$427.7M RAUM · 13 reps · 425-372-7517 · panfili-financial.com
45
MB, LEVIS & ASSOCIATES,LLC — notice-filed in NY. IAPD ↗
$374.8M RAUM · 3 reps · 610-419-9690 · mblevis.com
45
TREBUCHET CONSULTING, LLC — notice-filed in NE. IAPD ↗
$921.4M RAUM · 7 reps · 412-388-0715 · trebuchetconsulting.com
45
GEOMETRIC WEALTH ADVISORS, LLC — notice-filed in MD. IAPD ↗
$971.6M RAUM · 9 reps · (973) 525-4901
45
WEALTH WATCH ADVISORS, INC — notice-filed in KS. IAPD ↗
$473.7M RAUM · 47 reps · 855-822-3708 · altuswealthstrategies.com
45
AUSTIN WEALTH MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
$766.4M RAUM · 10 reps · 512-467-2000
45
ADK WEALTH ADVISORY GROUP — notice-filed in AR. IAPD ↗
$685.7M RAUM · 6 reps · (314) 878-1489 · discoverindependence.com
45
STERLING INVESTMENT COUNSEL, LLC — notice-filed in NJ. IAPD ↗
$819.3M RAUM · 9 reps · (716) 783-7054 · sterinv.com
45
FLORIDA FINANCIAL ADVISORS, LLC — notice-filed in WY. IAPD ↗
$317.8M RAUM · 457 reps · (813) 333-1683
45
INTEGRITY ADVISORY SOLUTIONS — notice-filed in WV. IAPD ↗
$512.3M RAUM · 90 reps · (214) 919-2165 · integritywealthsolutions.com
45
STAGE HARBOR FINANCIAL — notice-filed in GA. IAPD ↗
$972.9M RAUM · 7 reps · (781) 934-3130
45
ERGAWEALTH ADVISORS, INC. — notice-filed in SC. IAPD ↗
$316.7M RAUM · 4 reps · (630) 320-2078 · ergawealth.com
45
SOVEREIGN FINANCIAL GROUP, INC. — notice-filed in TN. IAPD ↗
$882.7M RAUM · 17 reps · (888) 765-8180
45
OXINAS PARTNERS WEALTH MANAGEMENT — notice-filed in NJ. IAPD ↗
$344.6M RAUM · 6 reps · (812) 725-8649
45
IVC WEALTH ADVISORS LLC — notice-filed in LA. IAPD ↗
$405.2M RAUM · 7 reps · (215)-392-6631
45
OPTIVISE ADVISORY SERVICES LLC — notice-filed in MO. IAPD ↗
$267.4M RAUM · 22 reps · 855-378-1806
45
EIGER WEALTH MANAGEMENT, LLC — notice-filed in AZ. IAPD ↗
$322.1M RAUM · 3 reps · 858-769-0100
45
FINANCIAL FORUM, INC. — notice-filed in FL. IAPD ↗
$276.0M RAUM · 3 reps · 509 458 5373 · financialforum.io
45
ONEASCENT WEALTH MANAGEMENT — notice-filed in VA. IAPD ↗
$431.7M RAUM · 9 reps · 205-313-9142 · oneascentwealth.com
45
RETIREMENT PLANNING SOLUTIONS, LLC — notice-filed in MD. IAPD ↗
$376.8M RAUM · 11 reps · 502-499-5668
45
NOBLE FAMILY WEALTH — notice-filed in LA. IAPD ↗
$400.6M RAUM · 4 reps · 727-674-1462 · noblefamilywealth.com
45
COVE PRIVATE WEALTH, LLC — notice-filed in CT. IAPD ↗
$269.9M RAUM · 2 reps · 516-588-1123 · coveprivatewealth.com
45
PINE HARBOR WEALTH MANAGEMENT LLC — notice-filed in IL. IAPD ↗
$444.8M RAUM · 1 reps · 703-589-9100 · pineharborwealth.com
45
TRANSCE3ND LLC — notice-filed in UT. IAPD ↗
$362.0M RAUM · 39 reps · 512-268-9220 · transcendim.com
45
SPARTA WEALTH PARTNERS — notice-filed in LA. IAPD ↗
$265.4M RAUM · 5 reps · 704-575-1148
45
BUCK WEALTH STRATEGIES, LLC — notice-filed in AR. IAPD ↗
$565.4M RAUM · 20 reps · 888-210-6567
45
VICTORY FINANCIAL — notice-filed in KS. IAPD ↗
$687.6M RAUM · 34 reps · (512) 763-7671 · l5wealthplanning.com
45
MKT AND ASSOCIATES LLC — notice-filed in NC. IAPD ↗
$275.5M RAUM · 1 reps · 253-252-2359 · mktandassociates.com
45
HENDERSON BROTHERS FINANCIAL PARTNERS LLC — notice-filed in NE. IAPD ↗
$327.3M RAUM · 22 reps · 412-261-3333 · hendersonbrothersfinancialpartners.com
45
OAKWORTH ASSET MANAGEMENT, LLC — notice-filed in MS. IAPD ↗
$757.4M RAUM · 15 reps · 205-263-4700 · oakworth.com
45
PENDULUM WEALTH PARTNERS — notice-filed in FL. IAPD ↗
$254.4M RAUM · 9 reps · 630-861-6143 · pendulum.partners
44
NESTLERODE & LOY, INC. — notice-filed in FL, MD. IAPD ↗
$199.1M RAUM · 2 reps · 814-238-6249 · nestlerode.com
44
BLUEPRINT FINANCIAL ADVISORS — notice-filed in MA, VT. IAPD ↗
$201.5M RAUM · 17 reps · 844-200-2568 · bluegrasscapadv.com
43
ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, LLC — filed an Item 4A succession naming ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, INC. (CRD 126685) — an entity change, not a deal. IAPD ↗
$464.3M RAUM · 3 reps · 516-887-4433
42
CLAREMONT FINANCIAL GROUP,INC. — notice-filed in IL. IAPD ↗
$119.0M RAUM · 2 reps · 909-624-9200 · claremontfinancial.com
42
STEWARDSHIP PARTNERS INVESTMENT COUNSEL, INC. — notice-filed in MI. IAPD ↗
$73.2M RAUM · 3 reps · 1-800-930-6949 · stewardshippartners.com
42
CALVERT WEALTH MANAGEMENT, INC. — notice-filed in SC. IAPD ↗
$167.5M RAUM · 3 reps · 301-812-1550 · calvertwealth.com
42
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE — notice-filed in OR. IAPD ↗
$192.1M RAUM · 7 reps · 858-546-1046 · superiorplanning.com
42
WATERSTONE WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
$150.0M RAUM · 1 reps · 732-873-0433
42
WRIGHT PRIVATE ASSET MANAGEMENT LLC — notice-filed in CO. IAPD ↗
$62.4M RAUM · 8 reps · 203-783-4400 · wrightpam.com
42
FORTUNE FINANCIAL ADVISORS, LLC — notice-filed in FL. IAPD ↗
$202.4M RAUM · 5 reps · 913-393-0038 · fortunefinancialadvisors.com
42
WISCONSIN WEALTH ADVISORS, LLC — notice-filed in TX. IAPD ↗
$114.2M RAUM · 3 reps · 608-837-9099 · wiwealthadvisors.com
42
A4 WEALTH ADVISORS LLC — notice-filed in VA. IAPD ↗
$190.0M RAUM · 6 reps · 704-509-1141
42
CAPSTONE INVESTMENT GROUP — notice-filed in NE. IAPD ↗
$152.4M RAUM · 8 reps · 360-570-9888 · wisdomanddiscipline.com
42
WALLICK INVESTMENTS, LLC — notice-filed in GA. IAPD ↗
$112.4M RAUM · 1 reps · 803-699-9400 · wallickinvestments.com
42
MYECFO — notice-filed in WA. IAPD ↗
$211.3M RAUM · 9 reps · 6502314609 · myecfo.com
42
STASH WEALTH, LLC — notice-filed in MD. IAPD ↗
$41.1M RAUM · 2 reps · 212-913-9904 · stashwealth.com
42
LEGACY WEALTH MANAGEMENT INC. — notice-filed in LA. IAPD ↗
$223.4M RAUM · 3 reps · 877-650-4738
42
EMERGENT WEALTH ADVISORS, LLC — notice-filed in TN. IAPD ↗
$241.2M RAUM · 3 reps · 716-828-8390 · emergentwa.com
42
CITY CENTER ADVISORS, LLC — notice-filed in NH. IAPD ↗
$132.4M RAUM · 7 reps · 888-267-1321
42
HARVEST CAPITAL ASSETS, LLC — notice-filed in TX. IAPD ↗
$67.0M RAUM · 3 reps · (716)-597-8372
42
AWH FINANCIAL, LLC — notice-filed in OK. IAPD ↗
$0 RAUM · 61 reps · 610-660-4283
42
STONEBRIDGE WEALTH MANAGEMENT LLC — notice-filed in FL. IAPD ↗
$232.1M RAUM · 3 reps · (630) 230-1830
42
HIGGINS & SCHMIDT WEALTH STRATEGIES LLC — notice-filed in CA. IAPD ↗
$215.1M RAUM · 3 reps · (720) 287-0918 · hdwscolorado.com
42
FSAM LLC — notice-filed in TX. IAPD ↗
$112.9M RAUM · 8 reps · 770-777-9373 · fssec.com
42
KANANI ADVISORY GROUP INC. — notice-filed in NY. IAPD ↗
$201.5M RAUM · 4 reps · (949) 502-7001 · kananiadvisorygroup.com
42
PALADIN FINANCIAL — notice-filed in FL. IAPD ↗
$182.5M RAUM · 7 reps · 651-842-8406 · paladingivesback.com
42
NRG WEALTH MANAGEMENT — notice-filed in WA. IAPD ↗
$193.3M RAUM · 4 reps · (520) 818-7822 · navigationretirement.com
42
SCHOLAR FINANCIAL ADVISING, LLC — notice-filed in TN. IAPD ↗
$0 RAUM · 5 reps · (336) 360-6833
42
REFLECTION ASSET MANAGEMENT — notice-filed in CO. IAPD ↗
$164.9M RAUM · 1 reps · 617-584-4042
42
ALIGN FINANCIAL, LLC — notice-filed in VA. IAPD ↗
$101.5M RAUM · 1 reps · 218-336-2506 · align.financial
42
TRUE BLUE FINANCIAL, LLC — notice-filed in FL. IAPD ↗
$193.7M RAUM · 4 reps · (269) 982-2710
42
GRAVER CAPITAL MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
$122.0M RAUM · 2 reps · 614-499-2500
42
WINNOW WEALTH, LLC — notice-filed in ND. IAPD ↗
$123.0M RAUM · 5 reps · 254-776-8400 · winnowwealth.com
42
CLOUD CAPITAL — notice-filed in AZ. IAPD ↗
$189.9M RAUM · 4 reps · 8007954303 · cloudcapital.us
42
TABLEAUX WEALTH — notice-filed in TX. IAPD ↗
$154.3M RAUM · 5 reps · 413-264-2400
42
NEIL JESANI WEALTH MANAGEMENT — notice-filed in MN. IAPD ↗
$125.9M RAUM · 4 reps · (954) 800-0460
42
VIVID WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
$234.7M RAUM · 3 reps · (515) 480-7593
42
WAGNER WEALTH MANAGEMENT, CORP. — notice-filed in VA. IAPD ↗
$104.7M RAUM · 2 reps · 570-987-6244 · wwmcorp.com
42
ACCELERATE RETIREMENT — notice-filed in MS. IAPD ↗
$242.8M RAUM · 31 reps · 888-439-7071
42
MAVROS CAPITAL MANAGEMENT, LLC — notice-filed in NY. IAPD ↗
$32.1M RAUM · 3 reps · (424) 522-2524 · mavrosgroup.com
42
AVISE FINANCIAL — notice-filed in AZ. IAPD ↗
$125.9M RAUM · 4 reps · 310-807-5778
42
SYNTHETICFI LLC — notice-filed in ME. IAPD ↗
$153.2M RAUM · 2 reps · (628) 600-2699 · syntheticfi.com
42
LFG WEALTH PARTNERS, LLC — notice-filed in IL. IAPD ↗
$112.0M RAUM · 7 reps · 877-573-2043
42
CORRALES & CO. — notice-filed in GA. IAPD ↗
$167.5M RAUM · 5 reps · (239) 421-5359
42
TRITONPOINT PARTNERS, LLC — notice-filed in FL. IAPD ↗
$110.3M RAUM · 4 reps · 301-799-9001
42
TRITONPOINT CAPITAL, LLC — notice-filed in DE. IAPD ↗
$112.2M RAUM · 3 reps · 301-799-9001
42
INNOVATIVE ASSET ADVISORS GROUP — notice-filed in NH. IAPD ↗
$134.5M RAUM · 4 reps · 203-444-3599 · innovativeaag.com
88
PARK LANE ADVISORS, LLC — (BIRMINGHAM, AL) is newly SEC-registered with $553.5M RAUM and 4 advisory reps. IAPD ↗institutional
$553.5M RAUM · 4 reps · 205-383-8782 · tenet-partners.com
85
INFINITE GIVING ADVISORY SERVICES, INC. — (ATLANTA, GA) is newly SEC-registered with $100.1M RAUM and 2 advisory reps. IAPD ↗institutional
$100.1M RAUM · 2 reps · (888) 926-4483
85
INTER US MANAGEMENT, LLC — (MIAMI, FL) is newly SEC-registered with $77.8M RAUM and 5 advisory reps. IAPD ↗institutional
$77.8M RAUM · 5 reps · 786-671-3506
85
FELIS ADVANTAGE, LP — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (617) 702-7450
85
ARGO INFRASTRUCTURE MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 13 advisory reps. IAPD ↗institutional
$0 RAUM · 13 reps · 212-521 5096
85
WILLIS ASSET FINANCE MANAGEMENT LLC — (COCONUT CREEK, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · (561) 349-9989
85
EMERGING CAPITAL PARTNERS — (WASHINGTON, DC) is newly SEC-registered with $1.06B RAUM and 5 advisory reps. IAPD ↗fund
$1.06B RAUM · 5 reps · 2022806200 · ecpinvestments.com
85
NINTH AVENUE CAPITAL, LP — (KANSAS CITY, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
$0 RAUM · 7 reps · (816) 427-8758 · ninthavenuecapital.com
85
COMVEST PE ADVISORS, LLC — (WEST PALM BEACH, FL) is newly SEC-registered with $2.16B RAUM and 23 advisory reps. IAPD ↗fund
$2.16B RAUM · 23 reps · 561-727-2000
85
OTTER ROCK ADVISORS LP — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 415-830-0509 · otterrocklp.com
85
AUREON MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 917-767-3845
85
MRE MANAGEMENT, LLC — (ANNAPOLIS, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 443-808-1491 · mre-capital.com
85
PARK SQUARE CAPITAL USA LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $20.75B RAUM and 53 advisory reps. IAPD ↗fund
$20.75B RAUM · 53 reps · 1-646-681-4905
85
OLD BARN CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $105.3M RAUM and 1 advisory reps. IAPD ↗institutional
$105.3M RAUM · 1 reps · 717-329-7970
85
BIRCHWOOD CREEK CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · 973-224-0169
85
ELMTREE FUNDS, LLC — (ST. LOUIS, MO) is newly SEC-registered with $7.51B RAUM and 18 advisory reps. IAPD ↗fund
$7.51B RAUM · 18 reps · (314) 828-4200 · elmtreefunds.com
85
VAULT FIDUCIARY LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 845-304-4858
85
PRELUDE INVESTMENT SERVICES — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 707-394-8355 · prelude.ai
85
TAMARISK CAPITAL MANAGEMENT — (HOLLAND, MI) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 616-820-1040
85
DHM PARTNERS LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 508-776-0094
85
OAKLAWN CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 646-370-0416
85
AVICENE — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 646-734-2620
85
SHOTEN CAPITAL LP — (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 512-265-3800 · shotencapital.com
83
FUTURE POSITIVE — (NEW YORK, NY) is newly SEC-registered with $255.7M RAUM and 3 advisory reps. IAPD ↗fund
$255.7M RAUM · 3 reps · 646-867-9160 · futurepositive.com
83
MOZAYYX MANAGEMENT LLC — (AUSTIN, TX) is newly SEC-registered with $530.6M RAUM and 2 advisory reps. IAPD ↗fund
$530.6M RAUM · 2 reps · 512-522-9690 · mozayyx.com
80
ARDINALL INVESTMENT MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $36.2M RAUM and 2 advisory reps. IAPD ↗fund
$36.2M RAUM · 2 reps · (212) 203-1210 · ardinall.com
80
DELLORA INVESTMENTS LP — (GREENWICH, CT) is newly SEC-registered with $95.3M RAUM and 3 advisory reps. IAPD ↗fund
$95.3M RAUM · 3 reps · 203-632-6341 · dellora.com
80
THE COPIA GROUP — (CHICAGO, IL) is newly SEC-registered with $118.9M RAUM and 6 advisory reps. IAPD ↗fund
$118.9M RAUM · 6 reps · 312-564-8521 · copiagroupllc.com
80
BULLET VENTURES MANAGEMENT LTD — (location n/a) is newly SEC-registered with $13.6M RAUM and 2 advisory reps. IAPD ↗fund
$13.6M RAUM · 2 reps · 972547693060
75
RCM GA MANAGER LLC — crossed $1B in regulatory AUM ($977.3M -> $1.27B). IAPD ↗institutional
$1.27B RAUM · 10 reps · 212-850-7770 · rithmcap.com
70
LEXINGTON ADVISORS LLC — crossed $1B in regulatory AUM ($243.3M -> $2.66B). IAPD ↗fund
$2.66B RAUM · 165 reps · 212-754-0411
70
PINEGROVE ADVISER LLC — crossed $1B in regulatory AUM ($816.0M -> $2.05B). IAPD ↗fund
$2.05B RAUM · 12 reps · 626-676-0710 · pinegrove.vc
70
ADVANTAGE CAPITAL — crossed $1B in regulatory AUM ($789.9M -> $1.29B). IAPD ↗fund
$1.29B RAUM · 95 reps · 504-522-4850
70
ZANBATO ADVISORS LLC — crossed $1B in regulatory AUM ($506.9M -> $2.08B). IAPD ↗fund
$2.08B RAUM · 3 reps · 866-926-2286 · zanbato.com
70
LORD ABBETT PRIVATE CREDIT ADVISOR LLC — crossed $1B in regulatory AUM ($844.7M -> $1.28B). IAPD ↗fund
$1.28B RAUM · 191 reps · 201-827-2000 · lordabbett.com
70
LIFE CYCLE INVESTMENT PARTNERS LIMITED — (LONDON, United Kingdom) is newly SEC-registered with $17.30B RAUM and 8 advisory reps. IAPD ↗foreign
$17.30B RAUM · 8 reps · 44-20-4591-8446 · lcip.com
68
LEXINGTON ADVISORS LLC — grew from 152 to 165 advisory reps. IAPD ↗fund
$2.66B RAUM · 165 reps · 212-754-0411
68
LEXINGTON PARTNERS L.P. — grew from 152 to 165 advisory reps. IAPD ↗fund
$79.27B RAUM · 165 reps · 212-754-0411 · lexingtonpartners.com
68
PASCAL INVESTMENT ADVISERS SA — (GENEVA, Switzerland) is newly SEC-registered with $874.3M RAUM and 4 advisory reps. IAPD ↗foreign
$874.3M RAUM · 4 reps · 41227187400 · pascaladvisers.com
65
VULPES INVESTMENT MANAGEMENT PRIVATE LIMITED — (SINGAPORE, Singapore) is newly SEC-registered with $157.5M RAUM and 3 advisory reps. IAPD ↗foreign
$157.5M RAUM · 3 reps · +65 6538 1998 · vulpesinvest.com
65
AFRICA MUTUAL GLOBAL INVESTMENT MANAGEMENT INC — (ACCRA, Ghana) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 1 (857) 756-0377
65
ACTIVEALPHA INVESTMENT ADVISORS — (MUMBAI, MAHARASHTRA, India) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗foreign
$0 RAUM · 6 reps · +91 999 666 9999 · activealphagroup.com
65
ROVIA ADVISORS LLC — (BANGALORE, KAMATAKA, India) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 917710041211
65
BULLGROUND — (CIUDAD DE MÉXICO, Mexico) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · +52 55 3120 7257 · bullground.mx
63
CANDER ASSET MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗institutional
$775.7M RAUM · 3 reps · 917-541-5410
62
MOTLEY FOOL ASSET MANAGEMENT — grew from 10 to 12 advisory reps. IAPD ↗institutional
$2.60B RAUM · 12 reps · 703-302-1100
60
CANDER ASSET MANAGEMENT — grew from 1 to 3 advisory reps. IAPD ↗institutional
$775.7M RAUM · 3 reps · 917-541-5410
60
AUTILUS PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$101.0M RAUM · 2 reps · 1-310-759-8160
60
NVERSES CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$99.5M RAUM · 2 reps · 732-742-7703 · nversescapital.com
60
MANISPACE CAPITAL — 's provisional registration is now fully approved. IAPD ↗institutional
$26.1M RAUM · 1 reps · 609-712-6527
60
DIAMETER DCF ADVISOR LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 57 reps · 212-655-1400 · diametercap.com
60
TCG STRATEGIC INCOME ADVISOR LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 4 reps · 561-530-3313 · tcgsx.com
60
LOGIQ CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 1 reps · 848-230-4523
60
AVANTYR CAPITAL PARTNERS, LP — now reports 1 private fund(s) ($2.98B gross). IAPD ↗fund
$2.98B RAUM · 11 reps · 212-970-5700 · avantyrcapital.com
59
ABL WEALTH ADVISORS, LLC — grew from 1 to 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 407-358-3332 · abacusgm.com
59
KR CAPITAL LP — grew from 7 to 11 advisory reps. IAPD ↗institutional
$0 RAUM · 11 reps · 212-317-0409 · krlp.com
58
BLUEARC CAPITAL MANAGEMENT — grew from 4 to 7 advisory reps. IAPD ↗fund
$2.44B RAUM · 7 reps · 404-419-6130 · bluearccapital.com
58
ANGELLIST ASSET MANAGEMENT, LLC — grew from 2 to 7 advisory reps. IAPD ↗fund
$297.6M RAUM · 7 reps · 206-880-1869 · angellistmgmt.com
58
SADDLE POINT MANAGEMENT, L.P. — 's provisional registration is now fully approved. IAPD ↗fund
$857.6M RAUM · 3 reps · 212-951-1223
58
PRITZKER ALTERNATIVE STRATEGIES — 's provisional registration is now fully approved. IAPD ↗fund
$333.6M RAUM · 6 reps · 312-447-6087 · pritzker-pas.com
58
AWANI CAPITAL MANAGEMENT LP — 's provisional registration is now fully approved. IAPD ↗fund
$259.0M RAUM · 4 reps · (301) 798-5797
58
LOTUS — 's provisional registration is now fully approved. IAPD ↗fund
$262.0M RAUM · 5 reps · 628-212-8533 · lotusmgmt.co
58
APHIAS CAPITAL, L.P. — 's provisional registration is now fully approved. IAPD ↗fund
$350.0M RAUM · 11 reps · 415-320-1644 · aphias.com
58
LOTUS — now reports 1 private fund(s) ($262.0M gross). IAPD ↗fund
$262.0M RAUM · 5 reps · 628-212-8533 · lotusmgmt.co
58
COVARA CAPITAL, LLC — now reports 1 private fund(s) ($402.0M gross). IAPD ↗fund
$402.0M RAUM · 4 reps · 212-970-6690
58
DEFILADE CAPITAL MANAGEMENT, L.P. — now reports 1 private fund(s) ($644.1M gross). IAPD ↗fund
$644.1M RAUM · 5 reps · 415 849 9478 · defcap.com
55
1832 ASSET MANAGEMENT U.S. INC. — crossed $1B in regulatory AUM ($922.3M -> $1.43B). IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
55
LORD ABBETT FIF ADVISOR LLC — now reports custody of client assets ($13.9M). IAPD ↗institutional
$190.4M RAUM · 191 reps · 201-827-2000 · lordabbett.com
55
AVANTYR CAPITAL PARTNERS, LP — now reports custody of client assets ($5.96B). IAPD ↗fund
$2.98B RAUM · 11 reps · 212-970-5700 · avantyrcapital.com
55
RAYMOND JAMES (USA) LTD — grew from 125 to 145 advisory reps. IAPD ↗foreign
$1.99B RAUM · 145 reps · 877-570-7558 · rjlu.com
55
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED — grew from 49 to 71 advisory reps. IAPD ↗foreign
$40.52B RAUM · 71 reps · 00442070738500 · franklintempleton.ro
55
1832 ASSET MANAGEMENT U.S. INC. — grew from 77 to 113 advisory reps. IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
55
LEON CAPITAL MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗fund
$184.6M RAUM · 14 reps · 214-865-8082 · leoncapitalmanagement.com
55
ENCORE GLOBAL MANAGEMENT LP — 's provisional registration is now fully approved. IAPD ↗fund
$112.5M RAUM · 2 reps · (713) 933-3838 · encoregm.com
55
MALT PARTNERS MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗fund
$36.5M RAUM · 2 reps · 646-450-5521
55
FOXPATH CAPITAL PARTNERS LP — now reports 1 private fund(s) ($50.0M gross). IAPD ↗fund
$50.0M RAUM · 4 reps · (212) 970-6490
55
SQUARE NINE CAPITAL, LP — now reports 1 private fund(s) ($93.8M gross). IAPD ↗fund
$181.5M RAUM · 5 reps · 818-254-7459
55
ENCORE GLOBAL MANAGEMENT LP — now reports 1 private fund(s) ($112.5M gross). IAPD ↗fund
$112.5M RAUM · 2 reps · (713) 933-3838 · encoregm.com
55
MALT PARTNERS MANAGEMENT LLC — now reports 2 private fund(s) ($59.1M gross). IAPD ↗fund
$36.5M RAUM · 2 reps · 646-450-5521
53
ANGELLIST ASSET MANAGEMENT, LLC — now reports custody of client assets ($578.6M). IAPD ↗fund
$297.6M RAUM · 7 reps · 206-880-1869 · angellistmgmt.com
53
LOTUS — now reports custody of client assets ($262.0M). IAPD ↗fund
$262.0M RAUM · 5 reps · 628-212-8533 · lotusmgmt.co
53
COVARA CAPITAL, LLC — now reports custody of client assets ($402.0M). IAPD ↗fund
$402.0M RAUM · 4 reps · 212-970-6690
53
DEFILADE CAPITAL MANAGEMENT, L.P. — now reports custody of client assets ($1.29B). IAPD ↗fund
$644.1M RAUM · 5 reps · 415 849 9478 · defcap.com
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 1 (142 -> 143). IAPD ↗institutional
$24.91B RAUM · 11 reps · 212-454-4500
45
VEST FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗institutional
$39.30B RAUM · 12 reps · 855-979-6060
45
1832 ASSET MANAGEMENT U.S. INC. — now reports 1 private fund(s) ($25.9M gross). IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
45
IMPAX ASSET MANAGEMENT LLC — notice-filed in CA, CO, CT, FL, IL, MA, MD, ME, NY. IAPD ↗institutional
$8.94B RAUM · 30 reps · 603-431-8022 · impaxam.com
43
CARDINAL CAPITAL MANAGEMENT, INC. — grew from 13 to 16 advisory reps. IAPD ↗foreign
$4.02B RAUM · 16 reps · 1-800-310-4664
40
1832 ASSET MANAGEMENT U.S. INC. — now reports custody of client assets ($761.3M). IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
40
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 2 (706 -> 708). IAPD ↗institutional
$0 RAUM · 146 reps · 212-250-2500 · dbresearch.com
40
VANGUARD GROUP INC — 's Item 11 disclosure-reporting entries rose by 8 (112 -> 120). IAPD ↗fund
$10246.60B RAUM · 330 reps · 610-669-1000
40
VANGUARD GLOBAL ADVISERS, LLC — 's Item 11 disclosure-reporting entries rose by 8 (109 -> 117). IAPD ↗fund
$491.43B RAUM · 84 reps · 610-669-1000 · vanguardoffshore.com
40
VANGUARD CAPITAL MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 18 (86 -> 104). IAPD ↗institutional
$0 RAUM · 2 reps · 610-669-1000
40
VANGUARD PORTFOLIO MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 18 (86 -> 104). IAPD ↗institutional
$0 RAUM · 1 reps · 610-669-1000
40
DUNHILL FINANCIAL — grew from 9 to 11 advisory reps. IAPD ↗foreign
$322.9M RAUM · 11 reps · +1 561 685 2381 · dunhillfinancial.com
40
JEFFERIES CREDIT PARTNERS EUROPE LIMITED — 's provisional registration is now fully approved. IAPD ↗foreign
$199.6M RAUM · 8 reps · +44 20 7029 8223
40
PRIMARY — 's provisional registration is now fully approved. IAPD ↗foreign
$0 RAUM · 3 reps · +61423411856 · primary.tech
38
BFI INFINITY LTD. — now reports custody of client assets ($53.8M). IAPD ↗foreign
$610.1M RAUM · 15 reps · +41 58 806 2210
37
STRATEGIC SWISS ADVISORS AG — grew from 1 to 3 advisory reps. IAPD ↗foreign
$46.5M RAUM · 3 reps · +41 58 680 64 10 · strategic-swiss-advisors.com
37
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS — notice-filed in MD. IAPD ↗institutional
$18.95B RAUM · 68 reps · 212-850-4260
36
GREYLOCK PEAK INVESTMENTS, LLC — notice-filed in AL, MD, WY. IAPD ↗institutional
$0 RAUM · 1 reps · 646-822-1269 · greylockpeak.com
35
1832 ASSET MANAGEMENT U.S. INC. — began participating in a wrap-fee program. IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
35
CLEARBRIDGE INVESTMENT MANAGEMENT LIMITED — began participating in a wrap-fee program. IAPD ↗foreign
$9.89B RAUM · 16 reps · 44 131 229 5252
34
COLLABORATIVE FUND ADVISORS — notice-filed in CT, IL. IAPD ↗institutional
$39.0M RAUM · 7 reps · 203-629-3300 · anydrusfunds.com
32
TWO SIGMA INVESTOR SOLUTIONS, LP — notice-filed in GA. IAPD ↗institutional
$0 RAUM · 2 reps · (212) 625-5700
32
OXFORD FINANCE ADVISORS, LLC — notice-filed in GA. IAPD ↗fund
$1.60B RAUM · 76 reps · 703-519-4900
32
MODERN CAPITAL MANAGEMENT, CO. — notice-filed in ME. IAPD ↗institutional
$100.8M RAUM · 4 reps · 843-892-0244 · moderncap.com
32
IH2 ADVISORS & COMPANY — notice-filed in CA. IAPD ↗institutional
$105.0M RAUM · 2 reps · 302-345-6404
32
BUFFERLABS — notice-filed in WA. IAPD ↗institutional
$0 RAUM · 2 reps · 253-777-8784 · bufferlabsetfs.com
30
MAGELLAN INVESTMENT PARTNERS NORTH AMERICA, INC. — filed an Item 4A succession naming FRONTEGRA ASSET MANAGEMENT INC (CRD 107420) — an entity change, not a deal. IAPD ↗institutional
$119.3M RAUM · 3 reps · 847-509-9860 · us.magellaninvestmentpartners.com
30
NEWPORT INVESTMENT MANAGEMENT, LLC — notice-filed in NC. IAPD ↗fund
$582.6M RAUM · 12 reps · 312-724-7031 · investors.newportcapitalptrs.com
30
GULLANE CAPITAL, LLC — notice-filed in FL. IAPD ↗fund
$320.9M RAUM · 1 reps · 901-766-1969 · gullanecapital-irm.investorflow.com
27
RAND CAPITAL MANAGEMENT — notice-filed in GA. IAPD ↗fund
$154.0M RAUM · 7 reps · 617-880-7494 · randcapital.com
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 1 (142 -> 143). IAPD ↗foreign
$178.52B RAUM · 71 reps · 49 69 910 12371
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (141 -> 142). IAPD ↗foreign
$1.44B RAUM · 8 reps · 011 612 8258 1234 · dws.com
25
WESTERN ASSET MANAGEMENT COMPANY LIMITED — 's Item 11 disclosure-reporting entries rose by 5 (0 -> 5). IAPD ↗foreign
$20.09B RAUM · 16 reps · 011-44-20-7422-3000
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (145 -> 146). IAPD ↗foreign
$16.60B RAUM · 88 reps · 44 207 547 5344
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (142 -> 143). IAPD ↗foreign
$2.41B RAUM · 16 reps · 852-2203-8888 · etf.dws.com
25
WESTERN ASSET MANAGEMENT COMPANY PTE LTD — 's Item 11 disclosure-reporting entries rose by 5 (0 -> 5). IAPD ↗foreign
$2.80B RAUM · 5 reps · 65-6428-3600
25
WESTERN ASSET MANAGEMENT COMPANY LTD — 's Item 11 disclosure-reporting entries rose by 5 (0 -> 5). IAPD ↗foreign
$2.58B RAUM · 3 reps · 011-81-3-4520-4300
25
SQUARE NINE CAPITAL, LP — filed an Item 4A succession naming SQUARE NINE CAPITAL, LP (CRD 336297) — an entity change, not a deal. IAPD ↗fund
$181.5M RAUM · 5 reps · 818-254-7459
25
1832 ASSET MANAGEMENT U.S. INC. — notice-filed in DE, HI, MS, MT, VA. IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
25
IMPAX ASSET MANAGEMENT, LTD. — notice-filed in CO, FL, MA, MD, ME, NH. IAPD ↗foreign
$25.84B RAUM · 53 reps · 011 44 20 3912 3000 · impaxam.com
21
THE FORUM FINANCE GROUP SA — notice-filed in FL, NY, TX. IAPD ↗foreign
$2.21B RAUM · 19 reps · +41 22 552 83 00 · business.google.com
19
RATHBONES — notice-filed in IL, LA. IAPD ↗foreign
$67.01B RAUM · 512 reps · +44-151 236 6666
19
MASECO PRIVATE WEALTH — notice-filed in IA, NV. IAPD ↗foreign
$3.83B RAUM · 24 reps · +44 20 7043 0455
17
CARDINAL CAPITAL MANAGEMENT, INC. — notice-filed in NY. IAPD ↗foreign
$4.02B RAUM · 16 reps · 1-800-310-4664
17
KAISER PARTNER FINANCIAL ADVISORS LTD. — notice-filed in NV, TN. IAPD ↗foreign
$981.7M RAUM · 5 reps · +41 44 752 51 52
15
BFI INFINITY LTD. — notice-filed in VA. IAPD ↗foreign
$610.1M RAUM · 15 reps · +41 58 806 2210
12
NORTHFRONT FINANCIAL USA INC — notice-filed in TX. IAPD ↗foreign
$9.8M RAUM · 1 reps · 403-571-8960

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.