Compliance — February 2026
Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).
749 firms opened this window in the February 2026 SEC roster: 386 state expansion, 157 new registration, 62 headcount up, 46 pending approved, 33 custody started, 21 disclosure added, 16 aum crossed 1b, 15 reorganization, 11 private funds started, 2 wrap program started.
100
FS DIGITAL INFRASTRUCTURE ADVISOR, LLC — (PHILADELPHIA, PA) is newly SEC-registered with $1.70B RAUM and 2 advisory reps. IAPD ↗
100
ESL NEWCO I, LLC — (PITTSFORD, NY) is newly SEC-registered with $4.81B RAUM and 15 advisory reps. IAPD ↗
98
OLDFATHER FINANCIAL SERVICES — (KEARNEY, NE) is newly SEC-registered with $541.5M RAUM and 4 advisory reps. IAPD ↗
95
A. J. PERRY & CO. — (TOWSON, MD) is newly SEC-registered with $109.0M RAUM and 1 advisory reps. IAPD ↗
95
FINANCIAL MOUNTAIN INC — (BOULDER, CO) is newly SEC-registered with $111.3M RAUM and 2 advisory reps. IAPD ↗
95
SILER WEALTH MANAGEMENT — (LONGWOOD, FL) is newly SEC-registered with $168.9M RAUM and 5 advisory reps. IAPD ↗
95
RITTMANN CAPITAL MANAGEMENT CO — (MORAGA, CA) is newly SEC-registered with $142.4M RAUM and 1 advisory reps. IAPD ↗
95
POWERS INVESTMENT ADVISORY CORPORATION — (location n/a) is newly SEC-registered with $111.6M RAUM and 2 advisory reps. IAPD ↗
95
HFG ADVISORS — (GREENWOOD VILLAGE, CO) is newly SEC-registered with $108.8M RAUM and 5 advisory reps. IAPD ↗
95
L.J. BREY, INC. — (location n/a) is newly SEC-registered with $113.3M RAUM and 1 advisory reps. IAPD ↗
95
APPLE & ASSOCIATES — (GRASS VALLEY, CA) is newly SEC-registered with $138.1M RAUM and 3 advisory reps. IAPD ↗
95
SCHLOSSER FINANCIAL SERVICES, INC. — (location n/a) is newly SEC-registered with $108.0M RAUM and 1 advisory reps. IAPD ↗
95
CS ADVISORS INC. — (BOCA RATON, FL) is newly SEC-registered with $117.1M RAUM and 3 advisory reps. IAPD ↗
95
ALPHA PLANNING AND FINANCIAL SERVICES, INC. — (SOLON, OH) is newly SEC-registered with $108.9M RAUM and 2 advisory reps. IAPD ↗
95
KB FINANCIAL ADVISORS LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $111.7M RAUM and 3 advisory reps. IAPD ↗
95
BLUE HAVEN CAPITAL, LLC — (GENEVA, IL) is newly SEC-registered with $108.0M RAUM and 2 advisory reps. IAPD ↗
95
KAIROS CAPITAL MANAGEMENT, LLC — (BELLEVUE, WA) is newly SEC-registered with $106.1M RAUM and 1 advisory reps. IAPD ↗
95
PROFESSIONAL FINANCIAL MANAGEMENT, INC. — (APPLETON, WI) is newly SEC-registered with $103.2M RAUM and 3 advisory reps. IAPD ↗
95
95
APPLIED FINANCIAL WISDOM — (RAPID CITY, SD) is newly SEC-registered with $130.0M RAUM and 1 advisory reps. IAPD ↗
95
TRAIL FINANCIAL PLANNING LLC — (BELLINGHAM, WA) is newly SEC-registered with $103.9M RAUM and 3 advisory reps. IAPD ↗
95
U.S. PRIVATE WEALTH, LLC — (PALM BEACH GARDENS, FL) is newly SEC-registered with $173.7M RAUM and 3 advisory reps. IAPD ↗
95
YAHARA WEALTH MANAGEMENT LLC — (MADISON, WI) is newly SEC-registered with $107.5M RAUM and 2 advisory reps. IAPD ↗
95
GUIDE ADVISORS, INC. — (BOTHELL, WA) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗
95
OLYMPUS PEAKS FINANCIAL, LLC — (SANDY, UT) is newly SEC-registered with $141.4M RAUM and 1 advisory reps. IAPD ↗
95
CARDINAL ADVISERS LLC — (location n/a) is newly SEC-registered with $118.5M RAUM and 1 advisory reps. IAPD ↗
95
WEALTH COMPASS FINANCIAL, INC. — (CARLSBAD, CA) is newly SEC-registered with $105.8M RAUM and 2 advisory reps. IAPD ↗
95
EXPAND FINANCIAL GROUP, LLC — (location n/a) is newly SEC-registered with $106.8M RAUM and 6 advisory reps. IAPD ↗
95
BSG ADVISERS — (APEX, NC) is newly SEC-registered with $134.8M RAUM and 6 advisory reps. IAPD ↗
95
ABRAHAM & CO., INC. — (location n/a) is newly SEC-registered with $111.0M RAUM and 5 advisory reps. IAPD ↗
95
21PEAKS CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $618,799 RAUM and 5 advisory reps. IAPD ↗
95
HAMPEL INVESTMENT ADVISORS — (location n/a) is newly SEC-registered with $110.2M RAUM and 1 advisory reps. IAPD ↗
95
THAYER FINANCIAL, L.L.C. — (HICKORY, NC) is newly SEC-registered with $103.5M RAUM and 2 advisory reps. IAPD ↗
95
SOARING INVESTMENT MANAGEMENT, LLC — (PORTLAND, OR) is newly SEC-registered with $111.5M RAUM and 3 advisory reps. IAPD ↗
95
FITZWILLIAMS WEALTH MANAGEMENT INC. — (CHESAPEAKE, VA) is newly SEC-registered with $113.9M RAUM and 4 advisory reps. IAPD ↗
95
INTEGRATED WEALTH ADVISORS, LLC — (BELLEVUE, WA) is newly SEC-registered with $121.7M RAUM and 2 advisory reps. IAPD ↗
95
ABUNDANT WEALTH PARTNERS, LLC — (SANTA BARBARA, CA) is newly SEC-registered with $103.2M RAUM and 2 advisory reps. IAPD ↗
95
BEACON ASSOCIATES WEALTH MANAGEMENT, LLC — (MAUMEE, OH) is newly SEC-registered with $100.8M RAUM and 3 advisory reps. IAPD ↗
95
BURGESS INVESTMENT GROUP, LLC — (GREENVILLE, SC) is newly SEC-registered with $109.0M RAUM and 5 advisory reps. IAPD ↗
95
SUNDIAL WEALTH LLC — (BOCA RATON, FL) is newly SEC-registered with $125.8M RAUM and 1 advisory reps. IAPD ↗
95
O'DONNELL WEALTH MANAGEMENT — (CODY, WY) is newly SEC-registered with $106.0M RAUM and 4 advisory reps. IAPD ↗
95
SEASIDE WEALTH ADVISORS LLC — (WILMINGTON, NC) is newly SEC-registered with $102.6M RAUM and 3 advisory reps. IAPD ↗
95
NEXT STEP FINANCIAL PLANNING, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WURZ FINANCIAL SERVICES, LLC — (HOLLAND, OH) is newly SEC-registered with $117.0M RAUM and 2 advisory reps. IAPD ↗
95
ELEVATE PLANNERS — (location n/a) is newly SEC-registered with $25.9M RAUM and 1 advisory reps. IAPD ↗
95
RELIANCE WEALTH MANAGEMENT — (SAN ANTONIO, TX) is newly SEC-registered with $125.9M RAUM and 6 advisory reps. IAPD ↗
95
INTEGRITY ROAD WEALTH PARTNERS LLC — (HOUSTON, TX) is newly SEC-registered with $126.0M RAUM and 3 advisory reps. IAPD ↗
95
TAURUS FINANCIAL — (JERSEY CITY, NJ) is newly SEC-registered with $106.4M RAUM and 2 advisory reps. IAPD ↗
95
DEEP BLUE CAPITAL — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PRIVATE WEALTH CONSULTING, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
IVESTA CORP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MAUNEY-PITT FINANCIAL MANAGEMENT, INC. — (SHELBY, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
LCV MANAGEMENT, LP — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
PEAK ALTITUDE PARTNERS, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
WILLIAMS ASSET MANAGEMENT — (COLUMBIA, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
ARBORSTONE FINANCIAL, LLC — (ANDOVER, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
NIGHT OWL CAPITAL CANADA, LLC — (GREENWICH, CT) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗
95
ANGELES FAMILY OFFICE — (SANTA MONICA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
HOBE MOUNTAIN CAPITAL MANAGEMENT LLC — (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MADSON WEALTH ADVISORS INC. — (SANTA ROSA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BRIGHT ADVISORS — (GREENWOOD VILLAGE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CHARTERED WEALTH PARTNERS, LP — (BEVERLY HILLS, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
KRM FINANCIAL PLANNING & WEALTH MANAGEMENT, LLC — (ST. CHARLES, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MAGELLAN PLANNING GROUP — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
OCEAN PATH ADVISORS, LLC — (MANHATTAN BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
GUIDED WEALTH, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
SEMINARIO ASSET MANAGEMENT LLC — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
95
COHEN CAPITAL — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
DREAMS INVESTMENT SOLUTIONS — (SARASOTA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SCALAR FIELD — (location n/a) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
JC CAPITAL ADVISORS GROUP LLC — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ORIZON ANALYTICS — (SHERIDAN, WY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
THIRTEEN TWENTY-TWO ADVISORS — (FORT WORTH, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
IRONHORN ADVISORS LLC — (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BLUE HERON CAPITAL — (ENGLEWOOD, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
CENTRUS FINANCIAL STRATEGIES — (ORLANDO, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
SCHULZ FINANCIAL GROUP — (TUCSON, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
GUARDANT WEALTH ADVISORS — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
STILLWATER PRIVATE WEALTH — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TENET WEALTH PARTNERS, LLC — (CHAMPAIGN, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
GUDORF FINANCIAL GROUP, LLC — (DAYTON, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ADVISORY SOLUTIONS GROUP — (PLYMOUTH, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
L&S PRIVATE WEALTH, LLC — (OKLAHOMA CITY, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WEALTHIE ADVISORS — (BROOKLYN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
CHAMBERLAIN LANE CAPITAL, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MANEY WEALTH — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
GEVERS WEALTH MANAGEMENT — (ISSAQUAH, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
KIN STEWARDS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
FORTIFY FINANCIAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
STONEBRIDGE FINANCIAL GROUP — (SAN RAFAEL, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
RANDOLPH CO INC — crossed $1B in regulatory AUM ($940.9M -> $1.08B). IAPD ↗
85
FINANCIAL CONSULATE — crossed $1B in regulatory AUM ($930.0M -> $1.10B). IAPD ↗
85
FPL CAPITAL MANAGEMENT, LLC — crossed $1B in regulatory AUM ($885.2M -> $1.08B). IAPD ↗
85
WHALEROCK POINT PARTNERS, LLC — crossed $1B in regulatory AUM ($757.4M -> $1.04B). IAPD ↗
85
KING WEALTH MANAGEMENT GROUP, LLC — crossed $1B in regulatory AUM ($931.3M -> $1.08B). IAPD ↗
85
RPG INVESTMENT ADVISORY, LLC — crossed $1B in regulatory AUM ($858.5M -> $1.04B). IAPD ↗
85
WEST PACES ADVISORS, INC. — crossed $1B in regulatory AUM ($927.9M -> $1.01B). IAPD ↗
85
AERODIGM WEALTH LLC — crossed $1B in regulatory AUM ($819.9M -> $1.46B). IAPD ↗
85
BALBOA WEALTH PARTNERS, INC. — crossed $1B in regulatory AUM ($804.8M -> $1.04B). IAPD ↗
85
OBSIDIAN CIO, LLC — crossed $1B in regulatory AUM ($964.5M -> $1.28B). IAPD ↗
85
ASCENTIS INDEPENDENT ADVISORS, LLC — crossed $1B in regulatory AUM ($880.4M -> $1.65B). IAPD ↗
85
GREAT HILL CAPITAL, LLC — crossed $1B in regulatory AUM ($631.8M -> $1.01B). IAPD ↗
85
INDIVISIBLE PARTNERS — crossed $1B in regulatory AUM ($421.3M -> $1.55B). IAPD ↗
85
MATAURO, LLC — crossed $1B in regulatory AUM ($703.1M -> $1.05B). IAPD ↗
85
RBC CAPITAL MARKETS, LLC — grew from 5680 to 5908 advisory reps. IAPD ↗
85
RBC SECURITIES, INC. — grew from 37 to 124 advisory reps. IAPD ↗
85
TD PRIVATE CLIENT WEALTH LLC — grew from 464 to 482 advisory reps. IAPD ↗
85
SOUND INCOME STRATEGIES, LLC — grew from 111 to 134 advisory reps. IAPD ↗
85
PINEBRIDGE INVESTMENTS LLC — grew from 5 to 115 advisory reps. IAPD ↗
85
ROOT FINANCIAL PARTNERS — grew from 35 to 59 advisory reps. IAPD ↗
83
FINANCIAL & TAX ARCHITECTS, LLC — grew from 24 to 40 advisory reps. IAPD ↗
82
RBC ROCHDALE, LLC — grew from 126 to 138 advisory reps. IAPD ↗
80
BMO FAMILY OFFICE, LLC — grew from 65 to 75 advisory reps. IAPD ↗
80
EMERALD INVESTMENT ADVISERS, LLC — grew from 2 to 12 advisory reps. IAPD ↗
78
ANNEX WEALTH MANAGEMENT, LLC — grew from 66 to 74 advisory reps. IAPD ↗
76
MJP WEALTH ADVISORS — grew from 6 to 12 advisory reps. IAPD ↗
75
STONEBRIDGE FINANCIAL GROUP, LLC — 's provisional registration is now fully approved. IAPD ↗
75
BROWN BROTHERS HARRIMAN CREDIT PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
75
WEALTHPLAN INVESTMENT MANAGEMENT LLC — now reports 1 private fund(s) ($0 gross). IAPD ↗
75
EVOLVE PRIVATE WEALTH, LLC — now reports 1 private fund(s) ($0 gross). IAPD ↗
75
BROWN BROTHERS HARRIMAN CREDIT PARTNERS, LLC — now reports 8 private fund(s) ($3.62B gross). IAPD ↗
74
AZZAD ASSET MANAGEMENT, INC. — grew from 8 to 12 advisory reps. IAPD ↗
73
NEXUS ONE FINANCIAL ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
73
ASPENRIDGE WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
LIVET WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
73
CLEAR WAVE WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
72
BOYUM WEALTH ARCHITECTS LLC — grew from 5 to 9 advisory reps. IAPD ↗
72
OPAL WEALTH ADVISORS, LLC — grew from 7 to 9 advisory reps. IAPD ↗
72
EDGEROCK WEALTH MANAGEMENT — grew from 9 to 13 advisory reps. IAPD ↗
72
EVOLVE PRIVATE WEALTH, LLC — grew from 8 to 10 advisory reps. IAPD ↗
71
NORTHERN FINANCIAL ADVISORS, INC — grew from 6 to 9 advisory reps. IAPD ↗
71
VALUES ADDED FINANCIAL — grew from 6 to 9 advisory reps. IAPD ↗
70
PINEBRIDGE INVESTMENTS LLC — now reports custody of client assets ($7.42B). IAPD ↗
70
EVOLVE PRIVATE WEALTH, LLC — now reports custody of client assets ($467.0M). IAPD ↗
70
DIASTOLE WEALTH MANAGEMENT — grew from 7 to 9 advisory reps. IAPD ↗
70
GLOBAL TRUST — grew from 5 to 7 advisory reps. IAPD ↗
70
PRAETORIAN GUARD, A DIVISION OF PRAETORIAN WEALTH MANAGEMENT,INC — grew from 6 to 8 advisory reps. IAPD ↗
70
DB & C ADVISORS, LLC — grew from 7 to 9 advisory reps. IAPD ↗
70
LANDMARK WEALTH MANAGEMENT, LLC — grew from 4 to 6 advisory reps. IAPD ↗
70
COSTON, MCISAAC & SHEA FINANCIAL ADVISORS — grew from 9 to 11 advisory reps. IAPD ↗
70
LONGTAIL ALPHA, LLC — grew from 4 to 6 advisory reps. IAPD ↗
70
CANOPY 360 WEALTH, LLC — grew from 6 to 8 advisory reps. IAPD ↗
70
PREPARED RETIREMENT INSTITUTE LLC — grew from 2 to 4 advisory reps. IAPD ↗
70
CORVUS WEALTH ADVISORS LLC — grew from 8 to 10 advisory reps. IAPD ↗
70
GENERATIONAL PRIVATE WEALTH — grew from 1 to 3 advisory reps. IAPD ↗
70
MOKAN WEALTH MANAGEMENT — grew from 1 to 3 advisory reps. IAPD ↗
70
SSB&T WEALTH MANAGEMENT, LLC — grew from 1 to 3 advisory reps. IAPD ↗
70
VERTRIX WEALTH MANAGEMENT, LLC — grew from 2 to 7 advisory reps. IAPD ↗
70
HERMITAGE WEALTH — 's provisional registration is now fully approved. IAPD ↗
70
MPM ADVISORS GROUP LLC — 's provisional registration is now fully approved. IAPD ↗
70
FREEDOM ASSET MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
COPPERLINE WEALTH MANAGEMENT & PLANNING — 's provisional registration is now fully approved. IAPD ↗
70
ALIGN ADVISOR GROUP, LLC — 's provisional registration is now fully approved. IAPD ↗
70
PROVIDENCE LEGACY ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
70
CADIA PRIVATE CLIENT LLC — 's provisional registration is now fully approved. IAPD ↗
70
LUEDTKE & ASSOCIATES — 's provisional registration is now fully approved. IAPD ↗
70
CANE CAPITAL PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
CLARITY RETIREMENT & WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
70
CONTANGO WEALTH MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
70
EMVISION CAPITAL ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
LIFTPOINT FAMILY WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
DESTINY FAMILY OFFICE — 's provisional registration is now fully approved. IAPD ↗
70
SKYWARD TRADING LLC — 's provisional registration is now fully approved. IAPD ↗
70
XCEPTION FAMILY OFFICE — 's provisional registration is now fully approved. IAPD ↗
70
HYPHEN WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
PARROT FINANCE, INC. — 's provisional registration is now fully approved. IAPD ↗
70
EQV ADVISORY, LLC — 's provisional registration is now fully approved. IAPD ↗
70
ENDURE CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗
70
HIGHBROOK CAPITAL PARTNERS — 's provisional registration is now fully approved. IAPD ↗
70
ACP INVESTMENT MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
69
CSI GROUP ADVISORS, LLC — grew from 1 to 5 advisory reps. IAPD ↗
68
NORTHERN FINANCIAL ADVISORS, INC — now reports custody of client assets ($90.4M). IAPD ↗
68
KEYSTONE GLOBAL PARTNERS LLC — now reports custody of client assets ($273.5M). IAPD ↗
68
CODE WAECHTER LLC — now reports custody of client assets ($81.5M). IAPD ↗
68
MID-AMERICAN WEALTH ADVISORY GROUP — now reports custody of client assets ($83.0M). IAPD ↗
68
VERACITY CAPITAL LLC — now reports custody of client assets ($110.9M). IAPD ↗
68
SCHMIDT FINANCIAL MANAGEMENT — now reports custody of client assets ($89.5M). IAPD ↗
68
FPNAVIGATORS — now reports custody of client assets ($22.1M). IAPD ↗
68
SCHLEGEL DUNN LLC — now reports custody of client assets ($13.6M). IAPD ↗
68
FIVE CORNERS FINANCIAL SERVICES — now reports custody of client assets ($41). IAPD ↗
68
CRESCENT CITY RETIREMENT GROUP — grew from 1 to 4 advisory reps. IAPD ↗
68
STRATEGIC ASSET MANAGEMENT LLC. — grew from 7 to 10 advisory reps. IAPD ↗
68
FINANCIAL INDEPENDENCE ADVISORS, LLC — grew from 5 to 8 advisory reps. IAPD ↗
67
ASPIREAN WEALTH, LLC — grew from 4 to 6 advisory reps. IAPD ↗
67
ICON FINANCIAL SERVICES LLC — grew from 1 to 3 advisory reps. IAPD ↗
67
FREEDOM FAMILY OFFICE, LLC — grew from 3 to 5 advisory reps. IAPD ↗
67
SHEPHERD WEALTH MANAGEMENT — grew from 2 to 4 advisory reps. IAPD ↗
67
WILIAN SECURITIES, LLC — grew from 5 to 7 advisory reps. IAPD ↗
67
CLARITY FINANCIAL ADVISORS LLC — grew from 2 to 4 advisory reps. IAPD ↗
67
HOLISTIC FINANCE LLC — grew from 2 to 4 advisory reps. IAPD ↗
67
ASA ASSET MANAGEMENT LLC — grew from 6 to 8 advisory reps. IAPD ↗
65
DEL-SETTE CAPITAL MANAGEMENT, LLC — now reports custody of client assets ($78.5M). IAPD ↗
65
PEAK WEALTH MANAGEMENT LLC — now reports custody of client assets ($26.5M). IAPD ↗
65
BAYBRIDGE CAPITAL GROUP, LLC — now reports custody of client assets ($65.7M). IAPD ↗
65
PASSPORT WEALTH MANAGEMENT — now reports custody of client assets ($17.6M). IAPD ↗
65
ELYSIUM WEALTH MANAGEMENT, LLC — now reports custody of client assets ($107.2M). IAPD ↗
65
GRP RETIREMENT PLANNING — now reports custody of client assets ($74.4M). IAPD ↗
65
STRIVE RETIREMENT GROUP — now reports custody of client assets ($1.5M). IAPD ↗
65
RIVER CRESCENT ADVISORS, LLC — now reports custody of client assets ($102). IAPD ↗
65
KINGDOM LEGACY ADVISORS — now reports custody of client assets ($8.7M). IAPD ↗
65
MPM ADVISORS GROUP LLC — now reports custody of client assets ($8.7M). IAPD ↗
65
CLOVER LEAF FINANCIAL LLC — now reports custody of client assets ($1.1M). IAPD ↗
65
BORABOND, LLC — now reports custody of client assets ($83,085). IAPD ↗
65
ALTURA WEALTH ADVISORS — now reports custody of client assets ($2.5M). IAPD ↗
65
EQV ADVISORY, LLC — now reports custody of client assets ($2.3M). IAPD ↗
65
PACIFIC POINT WEALTH MANAGEMENT — now reports custody of client assets. IAPD ↗
65
ACP INVESTMENT MANAGEMENT — now reports custody of client assets ($418,168). IAPD ↗
65
EMERALD INVESTMENT ADVISERS, LLC — began participating in a wrap-fee program. IAPD ↗
55
OPPENHEIMER & CO. INC. — 's Item 11 disclosure-reporting entries rose by 3 (100 -> 103). IAPD ↗
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 1 (263 -> 264). IAPD ↗
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 16 (210 -> 226). IAPD ↗
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 8 (326 -> 334). IAPD ↗
55
CITIGROUP GLOBAL MARKETS INC. — 's Item 11 disclosure-reporting entries rose by 1 (176 -> 177). IAPD ↗
55
A.G.P / ALLIANCE GLOBAL PARTNERS — 's Item 11 disclosure-reporting entries rose by 3 (10 -> 13). IAPD ↗
55
PRIMERICA ADVISORS — 's Item 11 disclosure-reporting entries rose by 4 (41 -> 45). IAPD ↗
55
PARTHENON LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 3 (79 -> 82). IAPD ↗
55
ALPHASTAR CAPITAL MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗
55
THE PATRIOT FINANCIAL GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
PINEBRIDGE INVESTMENTS LLC — 's Item 11 disclosure-reporting entries rose by 6 (0 -> 6). IAPD ↗
55
OPPENHEIMER ASSET MANAGEMENT — notice-filed in AK, AL, AR, CA, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV. IAPD ↗
55
GREAT LAKES ADVISORS, LLC — notice-filed in AK, AL, AR, CA, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV. IAPD ↗
55
JFG FAMILY OFFICE — notice-filed in CA, DC, FL, LA, SD. IAPD ↗
55
ARAX ADVISORY PARTNERS — notice-filed in AR, CT, HI, IN, MD, ND, NV, RI. IAPD ↗
55
WATERLOO CAPITAL — notice-filed in AZ, CT, FL, ID, IL, IN, KS, KY, MI, MN, MO, NH, NJ, NM, OK, SC, TN, WA, WI. IAPD ↗
55
SELECT MONEY MANAGEMENT, INC. — notice-filed in AK, AL, CA, CO, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, MA, MD, MI, MN, MO, MS, MT, NC, ND, NE, NH, NM, NV, NY, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV. IAPD ↗
55
LEXAURUM ADVISORS — notice-filed in AL, IN, KY, MA, NJ, NY, TN. IAPD ↗
55
VESTGEN ADVISORS, LLC — notice-filed in AL, CT, DC, DE, KY, MA, NM, NV, OK, OR, VA, WA. IAPD ↗
55
BROWN BROTHERS HARRIMAN CREDIT PARTNERS, LLC — notice-filed in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY. IAPD ↗
53
CHILTON CAPITAL MANAGEMENT LLC — notice-filed in AZ, GA, MA, TN. IAPD ↗
53
CORBYN INVESTMENT MANAGEMENT INC — notice-filed in KS, ME, MS, OH, SC, WY. IAPD ↗
53
DORSEY, WRIGHT & ASSOCIATES, LLC — notice-filed in AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
53
HARTLINE INVESTMENT CORPORATION — notice-filed in CA, FL, GA, IL, IN, MI, NC, NH, NY, PA, TX, WA, WV. IAPD ↗
53
UHLMANN INVESTMENT MANAGEMENT, L.L.C. — notice-filed in AK, DC, KS, NE, NJ, VA. IAPD ↗
53
DEMPSEY LORD SMITH, LLC — notice-filed in AL, AR, CA, FL, GA, MD, MS, NC, NV, OH, SC, TN, TX. IAPD ↗
53
OAK WEALTH ADVISORS LLC — notice-filed in CA, NC, NE, OH, TN, WA. IAPD ↗
53
EVERMONT WEALTH — notice-filed in FL, ID, NV, TN, UT. IAPD ↗
53
DENVER PWM, LLC — notice-filed in AL, CT, HI, NJ, SC, VA. IAPD ↗
53
WARREN STREET WEALTH ADVISORS, LLC — notice-filed in CA, NE, NV, NY, TX, WA. IAPD ↗
53
SHARIAPORTFOLIO, INC. — notice-filed in CA, CO, FL, GA, IL, IN, KY, LA, MA, MD, MI, MN, MO, NC, NJ, NY, OH, PA, TN, TX, VA, WA, WI. IAPD ↗
53
MERKLE RETIREMENT PLANNING — notice-filed in AZ, CA, FL, IL, MN, MO, NC, NE, TX, WI. IAPD ↗
53
PENSION & WEALTH MANAGEMENT ADVISORS — notice-filed in CA, CO, CT, FL, IL, IN, MA, NH, NY, RI, TX. IAPD ↗
53
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC — notice-filed in AL, AR, HI, IA, IL, OK. IAPD ↗
53
FIAT WEALTH MANAGEMENT — notice-filed in AZ, CO, FL, MO, ND, NE, NY, SD, TX. IAPD ↗
53
LYON WEALTH ADVISORS — notice-filed in AL, CO, GA, TN, VA. IAPD ↗
53
GREAT HILL CAPITAL, LLC — notice-filed in AL, CA, FL, TX. IAPD ↗
53
PURSUIT WEALTH STRATEGIES, LLC — notice-filed in CA, FL, LA, MD, NH, NJ, SC, TX, VA. IAPD ↗
51
CUMBERLAND ADVISORS — notice-filed in ND, VI, VT. IAPD ↗
51
ADVISORNET WEALTH PARTNERS — notice-filed in ID, ME, NV. IAPD ↗
51
KELLEHER FINANCIAL ADVISORS, LLC — notice-filed in MO, MT, WA. IAPD ↗
51
WEST PACES ADVISORS, INC. — notice-filed in NY, SC, TN. IAPD ↗
51
HELIUM ADVISORS LLC — notice-filed in CA, NY, TX, WA. IAPD ↗
51
INSIGNEO ADVISORY SERVICES, LLC — notice-filed in ID, MT, UT. IAPD ↗
51
COLONIAL RIVER WEALTH MANAGEMENT LLC — notice-filed in PA, TN, UT, WA. IAPD ↗
51
BULL HARBOR CAPITAL LLC. — notice-filed in DC, KY, WI, WY. IAPD ↗
51
SUMMIT WEALTH GROUP — notice-filed in FL, ME, PA. IAPD ↗
50
SPECTRUM ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
50
4WEALTH ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
50
WESTBOURNE INVESTMENTS, INC. — notice-filed in DC, MD, NC, TX, VA. IAPD ↗
50
KCD FINANCIAL, INC. — notice-filed in GA, IN, MO, NY, PA. IAPD ↗
50
LYONS WEALTH MANAGEMENT — notice-filed in CA, FL, IL, MN, NE, NH, TX. IAPD ↗
50
REVALUE LLC — notice-filed in CA, MA, MD, MI, NC, NY, PA, TX. IAPD ↗
50
APO FINANCIAL SERVICES, LLC — notice-filed in FL, MI, TN, TX, UT. IAPD ↗
50
SAGE INVESTMENT ADVISERS LLC — notice-filed in AZ, CA, NH, NJ, PA. IAPD ↗
50
ABUNDO WEALTH — notice-filed in AZ, CA, DC, FL, GA, IL, IN, MA, MD, MI, MN, MO, NC, NE, NH, NJ, NV, NY, OH, OR, PA, SD, TX, UT, VA, WA, WI. IAPD ↗
50
CHILDFREE WEALTH — notice-filed in AL, AR, DC, DE, HI, IA, ID, IN, KS, KY, ME, MI, MN, MO, MT, ND, NJ, NM, NV, OK, RI, SC, SD, UT, VT, WI, WV, WY. IAPD ↗
50
724 CAPITAL, LLC — notice-filed in CA, FL, GA, IL, IN, MI, NC, OH, OR, PA, PR, TN, TX, VA, WA, WI. IAPD ↗
50
CLARITY FINANCIAL ADVISORS LLC — notice-filed in AL, AR, CT, GA, IL, KS, KY, MO, NE, NJ, NM, PR. IAPD ↗
50
WEALTH MORE ENTERPRISE, INC. — notice-filed in CA, FL, GA, IL, LA, NC, NE, NH, NJ, NV, NY, PA, TN, TX. IAPD ↗
50
W&S ADVISORY SERVICES, LLC — notice-filed in AL, AZ, CA, IL, IN, ME, MI, NJ, WV. IAPD ↗
50
R2 WEALTH MANAGEMENT PARTNERS — notice-filed in AZ, CA, CO, FL, IL, MO, NC, NV, WI. IAPD ↗
50
PEREON WEALTH LLC — notice-filed in CA, CT, FL, NJ, PA, TX, UT. IAPD ↗
49
GREENWOOD GEARHART, LLC — notice-filed in GA, KS. IAPD ↗
49
TRUE NORTH ADVISORS, LLC — notice-filed in NJ, TN. IAPD ↗
49
CHANEY CAPITAL MANAGEMENT INC. — notice-filed in GA, ID, TN. IAPD ↗
49
WESTEND CAPITAL MANAGEMENT, LLC. — notice-filed in LA, NM, NY. IAPD ↗
49
CHATTERTON & ASSOCIATES — notice-filed in AL, CO. IAPD ↗
49
UNITED WEALTH MANAGEMENT, LLC — notice-filed in GA, NH, SC. IAPD ↗
49
LJI WEALTH MANAGEMENT, LLC — notice-filed in AZ, NE. IAPD ↗
49
STRAIGHT PATH WEALTH MANAGEMENT — notice-filed in CA, GA, SC. IAPD ↗
49
VECTOR WEALTH MANAGEMENT — notice-filed in OR, SC. IAPD ↗
49
CGC FINANCIAL SERVICES — notice-filed in MN, MT, WI. IAPD ↗
49
MRAZ AND ASSOCIATES — notice-filed in CO, ID, WA. IAPD ↗
49
SILVERLAKE WEALTH MANAGEMENT LLC — notice-filed in OH, PA, RI. IAPD ↗
49
VISION RETIREMENT — notice-filed in AZ, VA, WA. IAPD ↗
49
IAMS WEALTH MANAGEMENT, LLC — notice-filed in ID, MA, MD. IAPD ↗
49
IEQ CAPITAL, LLC — notice-filed in IA, OH. IAPD ↗
49
MILESTONE ASSET MANAGEMENT, LLC — notice-filed in CA, DC, KY. IAPD ↗
49
SCHAMBERGER, GREYLAK & UTTERBACK WEALTH MANAGEMENT, LLC — notice-filed in FL, IA, IN. IAPD ↗
49
PARKWOODS WEALTH PARTNERS, LLC — notice-filed in AZ, GA, OR. IAPD ↗
48
DES MOINES INVESTMENTS, LLC — notice-filed in AZ, CA, FL, NE. IAPD ↗
48
ENTREWEALTH — notice-filed in MA, NY, OK, SC. IAPD ↗
48
M3 WEALTH MANAGEMENT — notice-filed in FL, NC, SC, TX. IAPD ↗
47
FINANCIAL DESIGNS CORPORATION — notice-filed in LA, NE. IAPD ↗
47
ASHTON THOMAS SECURITIES, LLC — notice-filed in MT. IAPD ↗
47
GIRARD ADVISORY SERVICES, LLC — notice-filed in NH. IAPD ↗
47
PRIVATE MANAGEMENT GROUP INC — notice-filed in LA. IAPD ↗
47
COZAD ASSET MANAGEMENT INC — notice-filed in ID. IAPD ↗
47
OBERWEIS ASSET MANAGEMENT INC — notice-filed in LA. IAPD ↗
47
BEDEL FINANCIAL CONSULTING INC — notice-filed in NY. IAPD ↗
47
KLINGENSTEIN FIELDS ADVISORS — notice-filed in NE. IAPD ↗
47
DIVERSIFIED MANAGEMENT INC — notice-filed in MD. IAPD ↗
47
INTELLICENTS INVESTMENT SOLUTIONS INC — notice-filed in LA. IAPD ↗
47
NORTHSIDE CAPITAL MANAGEMENT LLC — notice-filed in SC. IAPD ↗
47
SEAMOUNT FINANCIAL GROUP INC — notice-filed in NE, OR. IAPD ↗
47
HAMILTON CAPITAL — notice-filed in MT. IAPD ↗
47
LASALLE ST. INVESTMENT ADVISORS, L.L.C. — notice-filed in WY. IAPD ↗
47
PROVIDENT TRUST COMPANY — notice-filed in GA. IAPD ↗
47
MARINER INSTITUTIONAL, LLC — notice-filed in MA. IAPD ↗
47
PATRIOT INVESTMENT MANAGEMENT GROUP INC — notice-filed in MA. IAPD ↗
47
FAMILY INVESTMENT CENTER — notice-filed in UT, WI. IAPD ↗
47
GREENWOOD CAPITAL ASSOCIATES, LLC — notice-filed in TN. IAPD ↗
47
MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC — notice-filed in NC, SC. IAPD ↗
47
WILLIS JOHNSON & ASSOCIATES, INC. — notice-filed in IL. IAPD ↗
47
RKL PRIVATE WEALTH — notice-filed in CT. IAPD ↗
47
FINANCIAL PLANS & STRATEGIES, INC. — notice-filed in IL, MI. IAPD ↗
47
HENNION & WALSH ASSET MANAGEMENT, INC. — notice-filed in LA, MS. IAPD ↗
47
AVIDIAN WEALTH SOLUTIONS — notice-filed in AL. IAPD ↗
47
APRIO WEALTH MANAGEMENT, LLC — notice-filed in OH. IAPD ↗
47
ANNEX WEALTH MANAGEMENT, LLC — notice-filed in AK. IAPD ↗
47
CERTUITY, LLC — notice-filed in NV. IAPD ↗
47
BROOK CAPITAL — notice-filed in CT, NE. IAPD ↗
47
WEST FINANCIAL ADVISORS, L.L.C. — notice-filed in FL, IL. IAPD ↗
47
PINNACLE INVESTMENTS, LLC — notice-filed in WV. IAPD ↗
47
MAINSTREET ADVISORS — notice-filed in NC. IAPD ↗
47
FORT POINT CAPITAL PARTNERS LLC — notice-filed in PR. IAPD ↗
47
AGW CAPITAL ADVISORS — notice-filed in LA. IAPD ↗
47
RIA ADVISORY GROUP, LLC — notice-filed in KS, ND. IAPD ↗
47
RED DOOR WEALTH MANAGEMENT, LLC — notice-filed in WA. IAPD ↗
47
CAPITAL WEALTH MANAGEMENT, LLC — notice-filed in VT. IAPD ↗
47
USADVISORS WEALTH MANAGEMENT, LLC — notice-filed in CT, NV. IAPD ↗
47
KING WEALTH MANAGEMENT GROUP, LLC — notice-filed in ME. IAPD ↗
47
CLARO ADVISORS INC. — notice-filed in MD. IAPD ↗
47
CANAL CAPITAL MANAGEMENT, LLC — notice-filed in NY. IAPD ↗
47
BAKER TILLY WEALTH MANAGEMENT, LLC — notice-filed in NC. IAPD ↗
47
TRU INDEPENDENCE ASSET MANAGEMENT, LLC — notice-filed in CA, WA. IAPD ↗
47
SYMPHONY FINANCIAL, LTD. CO. — notice-filed in NJ. IAPD ↗
47
LINEWEAVER WEALTH ADVISORS — notice-filed in CO, GA. IAPD ↗
47
BENTOAK CAPITAL — notice-filed in AR, NM. IAPD ↗
47
ELLENBECKER INVESTMENT GROUP — notice-filed in OR. IAPD ↗
47
TRED AVON FAMILY WEALTH, LLC — notice-filed in NY, TX. IAPD ↗
47
ALMANACK INVESTMENT PARTNERS — notice-filed in IL, KY. IAPD ↗
47
BRILLIANT ADVICE, LLC — notice-filed in CA, PA. IAPD ↗
47
ALTRAVUE CAPITAL, LLC — notice-filed in NV. IAPD ↗
47
SGH WEALTH MANAGEMENT — notice-filed in OR, WI. IAPD ↗
47
DENVER WEALTH MANAGEMENT, INC. — notice-filed in LA, TN. IAPD ↗
47
THE FIDUCIARY ALLIANCE — notice-filed in IN. IAPD ↗
47
PINEBRIDGE INVESTMENTS LLC — notice-filed in PA. IAPD ↗
47
INVEST CAPITAL PARTNERS — notice-filed in NC, VA. IAPD ↗
47
MARIN BAY WEALTH ADVISORS, LLC — notice-filed in CO, NH. IAPD ↗
47
GRAVES LIGHT LENHART — notice-filed in PA. IAPD ↗
47
CARTER FINANCIAL GROUP, INC. — notice-filed in IA, MI. IAPD ↗
47
HAWKE FINANCIAL GROUP — notice-filed in AZ, TX. IAPD ↗
47
CONVERGENCE FINANCIAL — notice-filed in MI, NH. IAPD ↗
47
LIBERTY ONE INVESTMENT MANAGEMENT — notice-filed in MN. IAPD ↗
47
KERA CAPITAL PARTNERS — notice-filed in NJ. IAPD ↗
47
ARS WEALTH ADVISORS — notice-filed in ND. IAPD ↗
47
BADGLEY PHELPS WEALTH MANAGERS — notice-filed in UT. IAPD ↗
47
CHEMISTRY WEALTH MANAGEMENT LLC — notice-filed in CO. IAPD ↗
47
QUANTUM FINANCIAL ADVISORS, LLC — notice-filed in IN. IAPD ↗
47
BUCK WEALTH STRATEGIES, LLC — notice-filed in LA, OK. IAPD ↗
47
BPM WEALTH ADVISORS, LLC — notice-filed in ME, WI. IAPD ↗
47
FOGUTH WEALTH MANAGEMENT, LLC. — notice-filed in GA, NY. IAPD ↗
47
CLEAR WAVE WEALTH MANAGEMENT, LLC — notice-filed in CA, FL. IAPD ↗
47
EMERALD INVESTMENT ADVISERS, LLC — notice-filed in MO. IAPD ↗
46
TRIDENT ADVISORS INC — notice-filed in CT, FL, NJ. IAPD ↗
46
TANDEM WEALTH ADVISORS — notice-filed in GA, MT, SC. IAPD ↗
46
MCCARLEY & COOK FINANCIAL PLANNERS — notice-filed in FL, KY, TX. IAPD ↗
46
BEST LIFE INFINITY, LLC — notice-filed in MN, OR, SC. IAPD ↗
46
BELL CITY WEALTH, INC. — notice-filed in IN, KY, TX. IAPD ↗
46
META WEALTH ADVISORY — notice-filed in FL, PA, VA. IAPD ↗
46
STOREN FINANCIAL — notice-filed in CO, FL, TX. IAPD ↗
46
NORTHILL AIMS, LLC — notice-filed in CA, FL, GA. IAPD ↗
45
LEGACY WEALTH MANAGEMENT INC — filed an Item 4A succession naming LEGACY WEALTH MANAGEMENT INC (CRD 108619) — an entity change, not a deal. IAPD ↗
45
XPONANCE LLC — filed an Item 4A succession naming XPONANCE, INC. (CRD 111126) — an entity change, not a deal. IAPD ↗
45
TOLLESON PRIVATE WEALTH MANAGEMENT — filed an Item 4A succession naming TOLLESON PRIVATE WEALTH MANAGEMENT (CRD 111838) — an entity change, not a deal. IAPD ↗
45
EJF CAPITAL LP — filed an Item 4A succession naming EJF CAPITAL LP (CRD 138854) — an entity change, not a deal. IAPD ↗
45
AERODIGM WEALTH LLC — filed an Item 4A succession naming DELAP WEALTH ADVISORY, LLC (CRD 282312) — an entity change, not a deal. IAPD ↗
45
MARTEL WEALTH ADVISORS, LLC — filed an Item 4A succession naming MARTEL WEALTH ADVISORS INC (CRD 296896) — an entity change, not a deal. IAPD ↗
45
BCG SECURITIES, INC. — notice-filed in OK. IAPD ↗
45
WEALTH MANAGEMENT RESOURCES, INC. — notice-filed in SC. IAPD ↗
45
GREATMARK INVESTMENT PARTNERS, INC. — notice-filed in NC. IAPD ↗
45
KENNEY INVESTMENTS INC — notice-filed in IL. IAPD ↗
45
DOMINION PORTFOLIO MANAGEMENT, INC. — notice-filed in WA. IAPD ↗
45
WHELAN FINANCIAL — notice-filed in MA. IAPD ↗
45
MCLEAN ASSET MANAGEMENT CORP. — notice-filed in SC. IAPD ↗
45
KEIDAN FINANCIAL CONSULTANTS LLC — notice-filed in NC. IAPD ↗
45
ENDOWMENT WEALTH MANAGEMENT, INC. — notice-filed in AZ. IAPD ↗
45
FINANCIAL CONNECTIONS GROUP, INC. — notice-filed in PA. IAPD ↗
45
HORIZON INVESTMENT SERVICES, LLC. — notice-filed in NJ. IAPD ↗
45
FAMILY CAPITAL MANAGEMENT — notice-filed in IN. IAPD ↗
45
STERNECK CAPITAL MANAGEMENT LLC — notice-filed in CA. IAPD ↗
45
GERALD BAKER FINANCIAL GROUP, L.L.C.DBA BAKER FINANCIAL SERVICES — notice-filed in LA. IAPD ↗
45
BW & ASSOCIATES, INC. — notice-filed in FL. IAPD ↗
45
CARSON ADVISORY GROUP — notice-filed in NH. IAPD ↗
45
NORTHERN FINANCIAL ADVISORS, INC — notice-filed in NC. IAPD ↗
45
KLAAS FINANCIAL ASSET ADVISORS, LLC. — notice-filed in MD. IAPD ↗
45
PURKISS CAPITAL ADVISORS, LLC — notice-filed in SC. IAPD ↗
45
EXCHANGE PLACE ADVISORS, LLC — notice-filed in CA. IAPD ↗
45
WISER WEALTH MANAGEMENT, INC — notice-filed in MN. IAPD ↗
45
SEASCAPE CAPITAL MANAGEMENT,LLC — notice-filed in TX. IAPD ↗
45
PERSIUM ADVISORS, LLC — notice-filed in NC. IAPD ↗
45
POEHLING CAPITAL MANAGEMENT, INC. — notice-filed in CA. IAPD ↗
45
MARYLAND CAPITAL ADVISORS, INC. — notice-filed in PA. IAPD ↗
45
CENTENNIAL WEALTH ADVISORY, LLC — notice-filed in OH. IAPD ↗
45
PATHWORKS FINANCIAL, INC. — notice-filed in TX. IAPD ↗
45
SAMALIN WEALTH — notice-filed in SC. IAPD ↗
45
KEATING FINANCIAL ADVISORY SERVICES — notice-filed in TN. IAPD ↗
45
CAUBLE & HARRE WEALTH MANAGEMENT, INC. — notice-filed in CA. IAPD ↗
45
BOWERS WEALTH MANAGEMENT, INC. — notice-filed in LA. IAPD ↗
45
RED LIGHTHOUSE INVESTMENT MANAGEMENT, LLC — notice-filed in CT. IAPD ↗
45
KEENER FINANCIAL PLANNING — notice-filed in OK. IAPD ↗
45
PRAETORIAN GUARD, A DIVISION OF PRAETORIAN WEALTH MANAGEMENT,INC — notice-filed in OH. IAPD ↗
45
A & I WEALTH MANAGEMENT — notice-filed in WA. IAPD ↗
45
CHRISTY CAPITAL MANAGEMENT, INC. — notice-filed in IN. IAPD ↗
45
EVOADVISERS — notice-filed in FL. IAPD ↗
45
MONTE FINANCIAL GROUP, LLC — notice-filed in VT. IAPD ↗
45
VERGEPOINTE WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
45
QUAD-CITIES INVESTMENT GROUP, LLC — notice-filed in NH. IAPD ↗
45
SKINNER, COPPER & EHMEN WEALTH MANAGEMENT, LLC — notice-filed in IN. IAPD ↗
45
POST OAK PRIVATE WEALTH ADVISORS — notice-filed in NM. IAPD ↗
45
AMJ FINANCIAL WEALTH MANAGEMENT LLC — notice-filed in NH. IAPD ↗
45
HILEY HUNT WEALTH MANAGEMENT, INC. — notice-filed in SD. IAPD ↗
45
KKM FINANCIAL LLC — notice-filed in IL. IAPD ↗
45
CANDACE SHIRA ASSOCIATES, LLC — notice-filed in CT. IAPD ↗
45
VANTAGE POINT WEALTH MANAGEMENT — notice-filed in MT. IAPD ↗
45
MFA WEALTH SERVICES — notice-filed in SC. IAPD ↗
45
ACORN WEALTH ADVISORS, LLC — notice-filed in TN. IAPD ↗
45
WEALTH WATCH ADVISORS, INC — notice-filed in NE. IAPD ↗
45
CORE WEALTH ADVISORS, INC. — notice-filed in VA. IAPD ↗
45
ELEVATED CAPITAL ADVISORS, LLC — notice-filed in NC. IAPD ↗
45
FLOWER CITY CAPITAL LLC — notice-filed in MD. IAPD ↗
45
LATKO WEALTH MANAGEMENT, LTD. — notice-filed in VA. IAPD ↗
45
GOLDEN RESERVE RETIREMENT, LLC — notice-filed in DC. IAPD ↗
45
SUNBURST FINANCIAL GROUP, LLC — notice-filed in VA. IAPD ↗
45
ALPHA CAPITAL MANAGEMENT GROUP LLC — notice-filed in SC. IAPD ↗
45
INDEPENDENT WEALTH NETWORK, INC. — notice-filed in MS. IAPD ↗
45
BENCHMARK FINANCIAL WEALTH ADVISORS LLC — notice-filed in NH. IAPD ↗
45
LIFEWORKS ADVISORS, LLC — notice-filed in NJ. IAPD ↗
45
ASTORIA PORTFOLIO ADVISORS LLC — notice-filed in CO. IAPD ↗
45
VALUES ADDED FINANCIAL — notice-filed in GA. IAPD ↗
45
M PREMIER PARTNERS — notice-filed in KY. IAPD ↗
45
AUCTUS ADVISORS LLC — notice-filed in MN. IAPD ↗
45
CHICORY WEALTH — notice-filed in OR. IAPD ↗
45
EQ WEALTH MANAGEMENT — notice-filed in MA. IAPD ↗
45
MORTON BROWN FAMILY WEALTH LLC — notice-filed in NH. IAPD ↗
45
FIDELIS WEALTH ADVISORS — notice-filed in WY. IAPD ↗
45
VAN CLEMENS WEALTH MANAGEMENT, LLC — notice-filed in MI. IAPD ↗
45
ASIO CAPITAL LLC — notice-filed in IN. IAPD ↗
45
HOHIMER WEALTH MANAGEMENT, LLC — notice-filed in ID. IAPD ↗
45
VERACITY CAPITAL LLC — notice-filed in SC. IAPD ↗
45
EMERALD ADVISORS, LLC — notice-filed in OH. IAPD ↗
45
GRAYSTONE PARTNERS WEALTH MANAGEMENT, LLC — notice-filed in MT. IAPD ↗
45
MIDWEST HERITAGE FINANCIAL ADVISORS — notice-filed in AZ. IAPD ↗
45
THREE CORD TRUE WEALTH MANAGEMENT, LLC — notice-filed in AZ. IAPD ↗
45
FCG INVESTMENT COMPANY — notice-filed in SC. IAPD ↗
45
VALOR FINANCIAL SERVICES, LLC — notice-filed in LA. IAPD ↗
45
CORVUS WEALTH ADVISORS LLC — notice-filed in WA. IAPD ↗
45
STONECREST WEALTH MANAGEMENT, INC — notice-filed in CO. IAPD ↗
45
POINTOAK RETIREMENT ADVISORS — notice-filed in TX. IAPD ↗
45
DISCIPLINE WEALTH SOLUTIONS, INC. — notice-filed in TN. IAPD ↗
45
GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC — notice-filed in NC. IAPD ↗
45
25 FINANCIAL — notice-filed in NH. IAPD ↗
45
BREAKWATER CAPITAL GROUP — notice-filed in CA. IAPD ↗
45
AURELIUS FAMILY OFFICE, LLC — notice-filed in WA. IAPD ↗
45
MARIDEA WEALTH MANAGEMENT — notice-filed in NM. IAPD ↗
45
MOKAN WEALTH MANAGEMENT — notice-filed in FL. IAPD ↗
45
DRUCKER WEALTH — notice-filed in UT. IAPD ↗
45
WYZE WEALTH ADVISORS, LLC — notice-filed in WV. IAPD ↗
45
LECLAIR WEALTH PARTNERS — notice-filed in NY. IAPD ↗
45
TFR CAPITAL — notice-filed in OK. IAPD ↗
45
SANTA BARBARA MANAGEMENT — notice-filed in NY. IAPD ↗
45
ASSET ONE WEALTH MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
44
ACCORDANT ADVISORY GROUP, INC. — notice-filed in CA, GA. IAPD ↗
44
COMPASS PLANNING ASSOCIATES, INC. — notice-filed in MD, PA. IAPD ↗
44
FINER WEALTH MANAGEMENT, INC. — notice-filed in CA, PA. IAPD ↗
44
SKLOFF FINANCIAL GROUP — notice-filed in GA, WI. IAPD ↗
44
WHITE OAK FINANCIAL MANAGEMENT, INC — notice-filed in LA, TN. IAPD ↗
44
FORTRESS FINANCIAL SOLUTIONS, LLC — notice-filed in FL, NH. IAPD ↗
44
SMB FINANCIAL SERVICES, INC. — notice-filed in CA, NH. IAPD ↗
44
FIDUCIARY FINANCIAL PARTNERS, LLC — notice-filed in FL, MA. IAPD ↗
44
GREENWICH ADVISORS, LLC — notice-filed in AZ, NH. IAPD ↗
44
FULCRUM WEALTH ADVISORS, LLC — notice-filed in NY, TX. IAPD ↗
44
NOVA WEALTH MANAGEMENT, INC. — notice-filed in GA, PA. IAPD ↗
44
EXCEED ADVISORY LLC — notice-filed in NY, WI. IAPD ↗
44
VINE CAPITAL MANAGEMENT, LLC — notice-filed in AZ, WA. IAPD ↗
44
MIDWESTERN FINANCIAL GROUP — notice-filed in IL, TX. IAPD ↗
44
DAVIS, DAVIS AND CONOVER WEALTH MANAGEMENT, LLC — notice-filed in KY, MS. IAPD ↗
44
UPPER LEFT WEALTH MANAGEMENT, LLC — notice-filed in CO, MA. IAPD ↗
44
FOUNDRY FINANCIAL LLC — notice-filed in CT, NV. IAPD ↗
44
GUNDER WEALTH MANAGEMENT, LLC — notice-filed in IL, TX. IAPD ↗
44
FREEDOM FAMILY OFFICE, LLC — notice-filed in NV, VA. IAPD ↗
44
COPPER BEECH FINANCIAL GROUP, LLC — notice-filed in FL, TX. IAPD ↗
44
VALTRION CAPITAL MANAGEMENT, LLC — notice-filed in AK, AR. IAPD ↗
44
PALM WEALTH PARTNERS — notice-filed in CA, NY. IAPD ↗
44
FCIG WEALTH MANAGEMENT, LLC — notice-filed in FL, TX. IAPD ↗
44
PROSPER PRIVATE WEALTH — notice-filed in CA, NH. IAPD ↗
44
HOLISTIC FINANCE LLC — notice-filed in FL, MO. IAPD ↗
43
HAMEL ASSOCIATES,INC. — filed an Item 4A succession naming HAMEL ASSOCIATES,INC. (CRD 107128) — an entity change, not a deal. IAPD ↗
43
PARK PLACE CAPITAL CORPORATION — filed an Item 4A succession naming PARK PLACE CAPITAL CORPORATION (CRD 107952) — an entity change, not a deal. IAPD ↗
43
E & G ADVISORS, LLC — filed an Item 4A succession naming E & G ADVISORS, LP (CRD 130550) — an entity change, not a deal. IAPD ↗
42
COORDINATED CAPITAL SECURITIES, INC. — notice-filed in TN. IAPD ↗
42
QUINT CAPITAL MANAGEMENT — notice-filed in TN. IAPD ↗
42
WESTPARK CAPITAL, INC. — notice-filed in NV. IAPD ↗
42
OAK TREE INVESTMENT ADVISORS — notice-filed in FL. IAPD ↗
42
MIAI, INC. — notice-filed in NC. IAPD ↗
42
STONEFIELD INVESTMENT ADVISORY, INC. — notice-filed in NE. IAPD ↗
42
3RD CREEK INVESTMENTS — notice-filed in FL. IAPD ↗
42
PLATT INVESTMENT COUNSEL, LLC — notice-filed in NC. IAPD ↗
42
WESTHAMPTON CAPITAL — notice-filed in SC. IAPD ↗
42
SENSIBLE PORTFOLIOS, LLC — notice-filed in NY. IAPD ↗
42
M.K. BROWN WEALTH ADVISORY — notice-filed in TX. IAPD ↗
42
INTEGRITY WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
42
PROSPECT FINANCIAL GROUP LLC — notice-filed in PA. IAPD ↗
42
ROYAL PALMS CAPITAL, LLC — notice-filed in MT. IAPD ↗
42
HACKETT FINANCIAL GROUP, LLC — notice-filed in CO. IAPD ↗
42
HARBOR ASSET PLANNING, INC. — notice-filed in GA. IAPD ↗
42
ALLIANCE INVESTMENT MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
42
REVERE ASSET — notice-filed in NY. IAPD ↗
42
NICH CAPITAL PARTNERS, INC. — notice-filed in NC. IAPD ↗
42
EASTSOUND CAPITAL ADVISORS, LLC — notice-filed in FL. IAPD ↗
42
BLUEPRINT WEALTH MANAGEMENT — notice-filed in FL. IAPD ↗
42
FSR WEALTH STRATEGIES — notice-filed in NH. IAPD ↗
42
BPP WEALTH SOLUTIONS, LLC — notice-filed in CA. IAPD ↗
42
VCP FINANCIAL LLC — notice-filed in NH. IAPD ↗
42
PARADY WEALTH MANAGEMENT — notice-filed in IA. IAPD ↗
42
BLAIR HALL ADVISORS, LLC — notice-filed in TX. IAPD ↗
42
BLACK BARN FINANCIAL, LLC — notice-filed in CA. IAPD ↗
42
MUTUAL TRUST ADVISORY GROUP — notice-filed in SC. IAPD ↗
42
SHERMAN WEALTH MANAGEMENT LLC — notice-filed in IL. IAPD ↗
42
PROSPERITEA PLANNING — notice-filed in NH. IAPD ↗
42
Q3 ADVISORS, LLC — notice-filed in UT. IAPD ↗
42
ACRYLIC FINANCIAL, INC. — notice-filed in WI. IAPD ↗
42
CEDAR SPRING ADVISORS, LLC — notice-filed in VA. IAPD ↗
42
CRAFT WEALTH SERVICES — notice-filed in AR. IAPD ↗
42
SAPPHIRE BLUE INVESTMENT PARTNERS — notice-filed in IL. IAPD ↗
42
BURNE FINANCIAL CONCEPTS, LLC — notice-filed in MA. IAPD ↗
42
BLUE JAY FINANCIAL GROUP, LLC — notice-filed in IN. IAPD ↗
42
BEST INVEST — notice-filed in AZ. IAPD ↗
42
TRANQUILLI FINANCIAL ADVISOR, LLC — notice-filed in KS. IAPD ↗
42
ODYSSEY CAPITAL ADVISORS INC. — notice-filed in GA. IAPD ↗
42
BIG SIOUX WEALTH MANAGEMENT — notice-filed in IA. IAPD ↗
42
LEXINGTON HILL PARTNERS, LLC — notice-filed in VA. IAPD ↗
42
BLUEDOOR PRIVATE WEALTH, LLC — notice-filed in OH. IAPD ↗
42
HUDSON CAPITAL ADVISORY, INC. — notice-filed in CT. IAPD ↗
42
GLENORCHY CAPITAL LIMITED — notice-filed in ME. IAPD ↗
42
OPTIMA CAPITAL MANAGEMENT — notice-filed in NY. IAPD ↗
42
MSP WEALTH MANAGEMENT, LLC — notice-filed in ID. IAPD ↗
42
REFLECTION ASSET MANAGEMENT — notice-filed in CA. IAPD ↗
42
CORAL WEALTH MANAGEMENT, LLC — notice-filed in NH. IAPD ↗
42
QUINCY WELLS ADVISORS, LLC — notice-filed in VI. IAPD ↗
42
GLOVER PARK WEALTH MANAGEMENT, LLC — notice-filed in LA. IAPD ↗
42
DRIVEN INVESTMENTS LLC — notice-filed in MS. IAPD ↗
42
GRANTVEST FINANCIAL GROUP LLC — notice-filed in SC. IAPD ↗
42
WEALTH ENGAGEMENT — notice-filed in NY. IAPD ↗
42
KINETIC WEALTH INVESTMENT ADVISORS, LLC — notice-filed in FL. IAPD ↗
42
MAIDEN COVE CAPITAL — notice-filed in FL. IAPD ↗
42
SHEPHERD WEALTH MANAGEMENT — notice-filed in TX. IAPD ↗
42
PATH DIGITAL ADVISORS, LLC — notice-filed in IL. IAPD ↗
42
ETHOS CAPITAL MANAGEMENT, INC. — notice-filed in FL. IAPD ↗
42
FAMILY FINANCIAL — notice-filed in SC. IAPD ↗
42
TSG ALPHA PARTNERS, LLC — notice-filed in UT. IAPD ↗
42
STEWARD ADVISORS GROUP, LLC — notice-filed in CA. IAPD ↗
42
FORTHRIGHT CAPITAL ADVISORY — notice-filed in IA. IAPD ↗
42
HYJC CAPITAL OF WNY — notice-filed in FL. IAPD ↗
42
ACCELERATE RETIREMENT — notice-filed in TN. IAPD ↗
42
COBBLESTONE ASSET MANAGEMENT — notice-filed in CO. IAPD ↗
42
WEST INVEST — notice-filed in MT. IAPD ↗
42
COASTAL WEALTH MANAGEMENT — notice-filed in CA. IAPD ↗
42
ROCKBRIDGE CAPITAL MANAGEMENT — notice-filed in TX. IAPD ↗
42
BLUE JEAN FINANCIAL LLC — notice-filed in OK. IAPD ↗
42
ZERO DAY CAPITAL ENTERPRISES LLC — notice-filed in IA. IAPD ↗
42
STURMAN WEALTH ADVISORS — notice-filed in LA. IAPD ↗
42
MAKE THE MEMORY FINANCIAL PLANNING — notice-filed in MA. IAPD ↗
42
PLANWISER FINANCIAL — notice-filed in MA. IAPD ↗
42
BXM WEALTH LLC — notice-filed in TX. IAPD ↗
42
BEACON CAPITAL ADVISORY GROUP — notice-filed in FL. IAPD ↗
42
TRITONPOINT PARTNERS, LLC — notice-filed in NY. IAPD ↗
42
IDEAL RETIREMENT SOLUTIONS — notice-filed in TX. IAPD ↗
42
CEDARWOOD WEALTH — notice-filed in OK. IAPD ↗
42
THRYVE WEALTH MANAGEMENT — notice-filed in NH. IAPD ↗
42
GRANITE ISLANDS PRIVATE WEALTH, LLC — notice-filed in NY. IAPD ↗
42
SHERPA CAPITAL MANAGEMENT — notice-filed in NJ. IAPD ↗
42
SAUL WEALTH ADVISORS, LLC — notice-filed in NC. IAPD ↗
42
MANHATTAN WEALTH MANAGEMENT GROUP — notice-filed in TX. IAPD ↗
42
ENDURE CAPITAL, LLC — notice-filed in MA. IAPD ↗
42
BAYTRUST WEALTH MANAGEMENT, LLC — notice-filed in IN. IAPD ↗
42
HAZLETT WEALTH MANAGEMENT LLC — notice-filed in WA. IAPD ↗
42
MFT WEALTH MANAGEMENT — notice-filed in TX. IAPD ↗
42
VERTRIX WEALTH MANAGEMENT, LLC — notice-filed in TN. IAPD ↗
40
ROYAL PALMS CAPITAL, LLC — filed an Item 4A succession naming ROYAL PALMS CAPITAL, LLC (CRD 135304) — an entity change, not a deal. IAPD ↗
40
NIERENBERG INVESTMENT MANAGEMENT COMPANY, LLC — filed an Item 4A succession naming NIERENBERG INVESTMENT MANAGEMENT COMPANY, INC. (CRD 155416) — an entity change, not a deal. IAPD ↗
40
CALIXTO GLOBAL PARTNERS LLC — filed an Item 4A succession naming CALIXTO GLOBAL INVESTORS, LP (CRD 171687) — an entity change, not a deal. IAPD ↗
88
HUNTERS MOON CAPITAL (US) LP — (location n/a) is newly SEC-registered with $808.3M RAUM and 2 advisory reps. IAPD ↗institutional
85
FTV CAPITAL — (SAN FRANCISCO, CA) is newly SEC-registered with $11.86B RAUM and 66 advisory reps. IAPD ↗fund
85
EIGHT PARTNERS VC, LLC — (AUSTIN, TX) is newly SEC-registered with $10.79B RAUM and 27 advisory reps. IAPD ↗fund
85
SILVER ROCK CAPITAL PARTNERS — (NEW YORK, NY) is newly SEC-registered with $6.83B RAUM and 7 advisory reps. IAPD ↗fund
85
POP VENTURE ADVISERS LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
PAN CAPITAL MANAGEMENT LP — (HOUSTON, TX) is newly SEC-registered with $3.08B RAUM and 30 advisory reps. IAPD ↗fund
85
EXCORDE CAPITAL LLC — (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 19 advisory reps. IAPD ↗institutional
85
SERONE CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
ALKA PARTNERS, LLC — (FARMERS BRANCH, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
BROOKWOOD ADVISORS, LLC — (BEVERLY, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
TILLMAN INVESTMENT MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
85
INLAND ADVISORY SERVICES, LLC — (OAK BROOK, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
FRANKLIN TEMPLETON PRIVATE MARKETS ADVISER, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
ROBINHOOD VENTURES — (MENLO PARK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
85
NAYANA INVESTMENT MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
85
ITC ADVISORY SERVICES, LLC — (IRVINE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
85
HARK CAPITAL ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered with $1.05B RAUM and 9 advisory reps. IAPD ↗fund
85
ORANGE AVENUE ADVISORS LLC — (ORLANDO, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
DAWSON PARTNERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 58 advisory reps. IAPD ↗institutional
85
ULTRA CAPITAL MANAGEMENT LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
CONSTITUTION CAPITAL HORIZON ADVISOR, LP — (ANDOVER, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 25 advisory reps. IAPD ↗institutional
85
MOORSTONE, L.P. — (NEW YORK, NY) is newly SEC-registered with $2.18B RAUM and 4 advisory reps. IAPD ↗fund
85
GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
I/O STRATEGIES LLC — (BOULDER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
SNOWBALL ADVISORS, LLC — (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
DOXARA CAPITAL LP — (JACKSONVILLE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
COVE VIEW INVESTMENT PARTNERS, LLC — (OLD GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
PC3 PARTNERS, LLC — (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
RIVERWEST INVESTMENT MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
GENSEN ASSET MANAGEMENT INC. — (location n/a) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
VERDARA PPP LLC — (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
FATHOM POINT CAPITAL LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
LOON LAKE CAPITAL MANAGEMENT LP — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
QUANT ALPHA DECISIONS LLC — (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
CHRONOMETER PARTNERS LP — (PITTSBURGH, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
SIRENIA CAPITAL MANAGEMENT LP — (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
83
OAKUM BAY CAPITAL, LLC — (location n/a) is newly SEC-registered with $372.0M RAUM and 1 advisory reps. IAPD ↗fund
83
ALPHA PARTNERS MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $404.7M RAUM and 10 advisory reps. IAPD ↗fund
83
BGV VC MANAGEMENT LLC — (MENLO PARK, CA) is newly SEC-registered with $408.9M RAUM and 5 advisory reps. IAPD ↗fund
83
THE AMBRUS GROUP LLC — (TAMPA, FL) is newly SEC-registered with $430.6M RAUM and 3 advisory reps. IAPD ↗fund
83
AUGMENT ADVISORS, LLC — (AUSTIN, TX) is newly SEC-registered with $342.6M RAUM and 1 advisory reps. IAPD ↗fund
83
EFM INVESTMENTS & ADVISORY LLC — (PORTLAND, OR) is newly SEC-registered with $653.2M RAUM and 5 advisory reps. IAPD ↗fund
80
CENTRALIS CAPITAL LLC — (PRAIRIE VILLAGE, KS) is newly SEC-registered with $60.3M RAUM and 1 advisory reps. IAPD ↗fund
80
WACONA CAPITAL, LLC — (CHARLOTTESVILLE, VA) is newly SEC-registered with $194.1M RAUM and 4 advisory reps. IAPD ↗fund
80
SILVER POINT PRIVATE CREDIT FUND MANAGEMENT, LLC — (GREENWICH, CT) is newly SEC-registered with $206.0M RAUM and 117 advisory reps. IAPD ↗fund
80
HAVEN CAPITAL ADVISORS, LLC — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $5.4M RAUM and 1 advisory reps. IAPD ↗fund
80
AGILITY EQUITY PARTNERS — (PITTSBURGH, PA) is newly SEC-registered with $173.1M RAUM and 6 advisory reps. IAPD ↗fund
80
RAIL SPLITTER CAPITAL ADVISERS, LLC — (CHICAGO, IL) is newly SEC-registered with $72.1M RAUM and 3 advisory reps. IAPD ↗fund
80
ARGO MANAGEMENT AND RESEARCH COMPANY, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗fund
80
TYPHON ADVISORS, LLC — (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $10.0M RAUM and 1 advisory reps. IAPD ↗fund
80
JONES HILL CAPITAL LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗fund
80
TRADITIONAL DIGITAL — (location n/a) is newly SEC-registered with $108.2M RAUM and 1 advisory reps. IAPD ↗fund
80
IDYLLIC PARTNERS MANAGER, LP — (SLEEPY HOLLOW, NY) is newly SEC-registered with $85.0M RAUM and 1 advisory reps. IAPD ↗fund
70
70
GUINNESS GLOBAL INVESTORS — (LONDON, United Kingdom) is newly SEC-registered with $11.43B RAUM and 35 advisory reps. IAPD ↗foreign
70
INFRARED CAPITAL PARTNERS LIMITED — (LONDON, United Kingdom) is newly SEC-registered with $14.30B RAUM and 53 advisory reps. IAPD ↗foreign
70
SPARX ASSET MANAGEMENT KOREA CO., LTD. — (SEOUL, Korea, South) is newly SEC-registered with $1.09B RAUM and 8 advisory reps. IAPD ↗foreign
68
68
ENTREPRENEUR FIRST INVESTMENT MANAGER LLP — (LONDON, United Kingdom) is newly SEC-registered with $750.7M RAUM and 3 advisory reps. IAPD ↗foreign
68
VENREX INVESTMENT MANAGEMENT LLP — (LONDON, United Kingdom) is newly SEC-registered with $541.0M RAUM and 6 advisory reps. IAPD ↗foreign
67
65
LIBERTY ATLANTIC ADVISORS — (FLORENCE, Italy) is newly SEC-registered with $185.8M RAUM and 4 advisory reps. IAPD ↗foreign
65
HARWOOD PRIVATE EQUITY LLP — (LONDON, United Kingdom) is newly SEC-registered with $52.9M RAUM and 5 advisory reps. IAPD ↗foreign
65
PAMALICAN ASSET MANAGEMENT LIMITED — (HONG KONG, Hong Kong) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗foreign
65
AMALIA PARTNER AG — (ZURICH, Switzerland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
HEXIS CAPITAL MANAGEMENT — (SEVENOAKS, KENT, United Kingdom) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
DELTA CAPITAL — (SANTANA DE PARNAÍBA, SÃO PAULO, Brazil) is newly SEC-registered with $1.9M RAUM and 2 advisory reps. IAPD ↗foreign
63
63
63
63
BRIGHTSIDE CAPITAL PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗institutional
62
62
62
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. — grew from 3 to 5 advisory reps. IAPD ↗institutional
60
60
60
60
60
60
58
58
58
58
58
58
58
58
57
SWISS RE INSURANCE-LINKED INVESTMENT ADVISORS CORPORATION — grew from 6 to 8 advisory reps. IAPD ↗fund
55
BMO NESBITT BURNS SECURITIES LTD. — crossed $1B in regulatory AUM ($932.0M -> $1.20B). IAPD ↗foreign
55
55
55
55
55
55
55
55
55
55
55
55
55
53
53
52
52
50
50
50
50
45
AST INVESTMENT SERVICES, INC. — 's Item 11 disclosure-reporting entries rose by 1 (31 -> 32). IAPD ↗institutional
45
VEST FINANCIAL LLC — notice-filed in AK, AL, AR, CT, DC, DE, FL, GA, HI, IA, ID, IN, KS, KY, LA, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NV, NY, OH, OK, OR, PA, RI, SD, TX, UT, VT, WA, WI, WV, WY. IAPD ↗institutional
41
41
40
PRUCO SECURITIES, LLC — 's Item 11 disclosure-reporting entries rose by 1 (37 -> 38). IAPD ↗institutional
40
INDUSTRY VENTURES, L.L.C. — 's Item 11 disclosure-reporting entries rose by 25 (0 -> 25). IAPD ↗fund
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 1 (141 -> 142). IAPD ↗institutional
40
38
MIRI CAPITAL MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
38
37
37
35
NLG CAPITAL, INC. — filed an Item 4A succession naming NLG CAPITAL, INC. (CRD 109396) — an entity change, not a deal. IAPD ↗institutional
35
34
32
32
32
32
32
27
25
25
23
BASELINE WEALTH MANAGEMENT LTD. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗foreign
19
19
17
17
13
BG INVESTMENT SERVICES, LLC — filed an Item 4A succession naming BG INVESTMENT SERVICES, INC. (CRD 281716) — an entity change, not a deal. IAPD ↗foreign
12
10
RADIX FINANCIAL, LLC — filed an Item 4A succession naming RADIX FINANCIAL, LLC (CRD 171159) — an entity change, not a deal. IAPD ↗foreign
Free page: firm, event, phone, website. The paid feed adds every window as CSV, filters by state and AUM band, and alerts the day the roster drops. Data: SEC Form ADV monthly roster; confirm on IAPD before acting.