Compliance — March 2026
Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).
776 firms opened this window in the March 2026 SEC roster: 348 state expansion, 109 headcount up, 101 new registration, 96 custody started, 57 aum crossed 1b, 24 pending approved, 23 disclosure added, 9 private funds started, 5 wrap program started, 4 reorganization.
98
FINANCIAL PLANNING HAWAII, INC. — (HONOLULU, HI) is newly SEC-registered with $382.4M RAUM and 3 advisory reps. IAPD ↗
98
ACCESS WEALTH MANAGEMENT, LLC — (LOUISVILLE, KY) is newly SEC-registered with $357.7M RAUM and 3 advisory reps. IAPD ↗
98
GRAVITALIX FINANCIAL — (CORAL SPRINGS, FL) is newly SEC-registered with $542.5M RAUM and 1 advisory reps. IAPD ↗
95
MISSIONSQUARE WEALTH MANAGEMENT — (WASHINGTON, DC) is newly SEC-registered with $0 RAUM and 31 advisory reps. IAPD ↗
95
LANDOLT SECURITIES, INC. — (LAKE BLUFF, IL) is newly SEC-registered with $105.6M RAUM and 10 advisory reps. IAPD ↗
95
DORATO CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered with $138.7M RAUM and 3 advisory reps. IAPD ↗
95
ARCH PARTNERS WEALTH MANAGEMENT, INC. — (WATKINSVILLE, GA) is newly SEC-registered with $109.2M RAUM and 3 advisory reps. IAPD ↗
95
STAIB FINANCIAL PLANNING, LLC — (location n/a) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
95
INNOVATIVE FINANCIAL, LLC — (LAKEWOOD, CO) is newly SEC-registered with $105.3M RAUM and 1 advisory reps. IAPD ↗
95
QUANTUM FINANCIAL PARTNERS LLC — (OVERLAND PARK, KS) is newly SEC-registered with $148.6M RAUM and 6 advisory reps. IAPD ↗
95
PASQUA WEALTH SOLUTIONS — (PALM CITY, FL) is newly SEC-registered with $129.7M RAUM and 1 advisory reps. IAPD ↗
95
J. FREEMAN & ASSOCIATES — (GREENVILLE, SC) is newly SEC-registered with $175.0M RAUM and 1 advisory reps. IAPD ↗
95
POLERO ICE ADVISERS — (location n/a) is newly SEC-registered with $106.0M RAUM and 1 advisory reps. IAPD ↗
95
INVESTMENT & TAX STRATEGIES, INC. — (location n/a) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
95
RCN WEALTH ADVISORS, INC. — (location n/a) is newly SEC-registered with $58.4M RAUM and 1 advisory reps. IAPD ↗
95
FLIGHT LINE FINANCIAL, LLC — (PRINCETON, NJ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
GRAETER WEALTH ADVISORS, LLC — (LOUISVILLE, KY) is newly SEC-registered with $104.9M RAUM and 3 advisory reps. IAPD ↗
95
JCN FINANCIAL & TAX ADVISORY GROUP, LLC — (BATON ROUGE, LA) is newly SEC-registered with $121.6M RAUM and 2 advisory reps. IAPD ↗
95
PUISSANCE CAPITAL MANAGEMENT LP — (location n/a) is newly SEC-registered with $45.0M RAUM and 1 advisory reps. IAPD ↗
95
II TECHNOLOGY, LLC — (AUSTIN, TX) is newly SEC-registered with $40.7M RAUM and 2 advisory reps. IAPD ↗
95
RABENOLD ADVISORS, INC. — (WILLIAMSVILLE, NY) is newly SEC-registered with $32.3M RAUM and 1 advisory reps. IAPD ↗
95
MERIDIAN WEALTH MANAGEMENT — (location n/a) is newly SEC-registered with $117.8M RAUM and 4 advisory reps. IAPD ↗
95
THE FINANCIAL LEGACY GROUP — (CHARLOTTE, NC) is newly SEC-registered with $107.3M RAUM and 2 advisory reps. IAPD ↗
95
M2 CAPITAL ADVISORS — (VALENCIA, CA) is newly SEC-registered with $40.4M RAUM and 6 advisory reps. IAPD ↗
95
SAFEBRIDGE LLC — (location n/a) is newly SEC-registered with $205.3M RAUM and 1 advisory reps. IAPD ↗
95
FAIRCHILD CAPITAL LLC — (PORTLAND, OR) is newly SEC-registered with $102.8M RAUM and 1 advisory reps. IAPD ↗
95
UAK DIVERSIFIED WEALTH ADVISORS — (MINNETONKA, MN) is newly SEC-registered with $113.0M RAUM and 2 advisory reps. IAPD ↗
95
BLUE LINE CAPITAL — (CHICAGO, IL) is newly SEC-registered with $131.9M RAUM and 5 advisory reps. IAPD ↗
95
ARMOUR WEALTH ADVISORS, LLC — (TUMWATER, WA) is newly SEC-registered with $110.4M RAUM and 2 advisory reps. IAPD ↗
95
SEBETIC ADVISORS, LLC — (location n/a) is newly SEC-registered with $94.4M RAUM and 1 advisory reps. IAPD ↗
95
QUANTSTREET CAPITAL — (location n/a) is newly SEC-registered with $192.6M RAUM and 2 advisory reps. IAPD ↗
95
INTELLICAPITAL ADVISORS LLC — (PONTE VEDRA, FL) is newly SEC-registered with $118.9M RAUM and 2 advisory reps. IAPD ↗
95
IDLE HILL ADVISORS LLC — (GREENVILLE, SC) is newly SEC-registered with $103.8M RAUM and 4 advisory reps. IAPD ↗
95
ZENITH ADVISORY GROUP, LLC — (THE VILLAGES, FL) is newly SEC-registered with $115.4M RAUM and 2 advisory reps. IAPD ↗
95
TRAILWISE FINANCIAL PARTNERS, LLC — (GOLDEN, CO) is newly SEC-registered with $144.8M RAUM and 4 advisory reps. IAPD ↗
95
PEARL WEALTH GROUP — (location n/a) is newly SEC-registered with $102.9M RAUM and 2 advisory reps. IAPD ↗
95
POINT NEMO CAPITAL, LLC — (location n/a) is newly SEC-registered with $103.8M RAUM and 3 advisory reps. IAPD ↗
95
34 FINANCIAL, LLC — (ATLANTA, GA) is newly SEC-registered with $101.0M RAUM and 4 advisory reps. IAPD ↗
95
WESTERN RESERVE CAPITAL MANAGEMENT, LLC — (HUDSON, OH) is newly SEC-registered with $120.2M RAUM and 2 advisory reps. IAPD ↗
95
TUMOLO WEALTH MANAGEMENT LLC — (EAST LYME, CT) is newly SEC-registered with $134.0M RAUM and 4 advisory reps. IAPD ↗
95
WEALTH EASE WEALTH MANAGEMENT — (MARSHALL, MI) is newly SEC-registered with $132.2M RAUM and 2 advisory reps. IAPD ↗
95
JET WEALTH ADVISORS — (LA JOLLA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
ADVICE ONLY — (SAN DIEGO, CA) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗
95
GRACE ADVISORS LLC — (WILMINGTON, DE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
MM ADVISORS, LLC — (AUBURN, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
95
RAIL-SPLITTER CAPITAL MANAGEMENT LLC — (WINNETKA, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
95
LEO WEALTH AMERICAS, LLC — (HURST, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 19 advisory reps. IAPD ↗
95
LILLIANO CAPITAL MANAGEMENT LLC — (PHOENIX, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
GALLACHER CAPITAL LLC — (LONE TREE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
PRAIRIE ADVISORY, LLC — (LEAWOOD, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
BERCH CAPITAL LLC — (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $6.6M RAUM and 2 advisory reps. IAPD ↗
95
PIEDMONT PRIVATE WEALTH, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PECUSAVVY FINANCIAL, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BILI FINANCE — (TUCSON, AZ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
GRYPHON WEALTH — (JACKSONVILLE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
PRISM PLANNING AND SOLUTIONS GROUP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
TYLER STREET CAPITAL — (PLYMOUTH, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
LAFAYETTE SQUARE WEALTH, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
VANDALIA WEALTH — (CHARLESTON, WV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 13 advisory reps. IAPD ↗
95
CAPSTONE WEALTH MANAGEMENT GROUP, INC. — (BEND, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
95
STERLING LEGACY ADVISORS INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
95
HESMER WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
COAST ADVISORY LLC — (EAST TROY, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
TAILORED WEALTH SOLUTIONS — (SARATOGA SPRINGS, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
PIEDMONT WEALTH MANAGEMENT — (ALEXANDRIA, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ASAL INVEST — (ARLINGTON, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ISQ CAPITAL — (KING OF PRUSSIA, PA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
MRP LEGACY ADVISORS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SOUND FUTURES — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
HOMAGE WEALTH GROUP LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
85
GRIFFIN ASSET MANAGEMENT, LLC — crossed $1B in regulatory AUM ($969.7M -> $1.05B). IAPD ↗
85
FIERSTON FINANCIAL GROUP INC — crossed $1B in regulatory AUM ($942.6M -> $1.04B). IAPD ↗
85
FINANCIAL ADVISORY CORPORATION — crossed $1B in regulatory AUM ($971.8M -> $1.10B). IAPD ↗
85
SHARKEY HOWES & JAVER INC — crossed $1B in regulatory AUM ($917.0M -> $1.13B). IAPD ↗
85
BRAND ASSET MANAGEMENT GROUP, INC. — crossed $1B in regulatory AUM ($930.4M -> $1.17B). IAPD ↗
85
DIXON FINANCIAL SERVICES — crossed $1B in regulatory AUM ($914.4M -> $1.09B). IAPD ↗
85
J.W.BURNS & COMPANY, INC. — crossed $1B in regulatory AUM ($904.0M -> $1.03B). IAPD ↗
85
HANSON & DOREMUS INVESTMENT MANAGEMENT — crossed $1B in regulatory AUM ($849.6M -> $1.06B). IAPD ↗
85
CARDINAL CAPITAL MANAGEMENT INC — crossed $1B in regulatory AUM ($891.4M -> $1.03B). IAPD ↗
85
HTG INVESTMENT ADVISORS INC — crossed $1B in regulatory AUM ($968.7M -> $1.11B). IAPD ↗
85
JAMISON PRIVATE WEALTH MANAGEMENT, INC. — crossed $1B in regulatory AUM ($851.3M -> $1.05B). IAPD ↗
85
INVESTMENT ADVISORY GROUP LLC — crossed $1B in regulatory AUM ($994.4M -> $1.22B). IAPD ↗
85
BAKER ELLIS ASSET MANAGEMENT LLC — crossed $1B in regulatory AUM ($874.2M -> $1.05B). IAPD ↗
85
RICHARD YOUNG ADVISORS — crossed $1B in regulatory AUM ($972.4M -> $1.20B). IAPD ↗
85
NFSG CORPORATION — crossed $1B in regulatory AUM ($813.5M -> $1.08B). IAPD ↗
85
AZIMUT INVESTMENT ADVISORS LLC — crossed $1B in regulatory AUM ($639.1M -> $1.11B). IAPD ↗
85
SOUTHERN FINANCIAL GROUP, LLC — crossed $1B in regulatory AUM ($936.1M -> $1.05B). IAPD ↗
85
YESKE BUIE INC. — crossed $1B in regulatory AUM ($925.9M -> $1.07B). IAPD ↗
85
SACHETTA, LLC — crossed $1B in regulatory AUM ($884.1M -> $1.00B). IAPD ↗
85
HUDOCK CAPITAL GROUP — crossed $1B in regulatory AUM ($849.1M -> $1.00B). IAPD ↗
85
MCGLONE SUTTNER WEALTH MANAGEMENT, INC. — crossed $1B in regulatory AUM ($816.0M -> $1.01B). IAPD ↗
85
TALBOT FINANCIAL, LLC — crossed $1B in regulatory AUM ($937.5M -> $1.34B). IAPD ↗
85
ARBITER PARTNERS — crossed $1B in regulatory AUM ($778.6M -> $1.25B). IAPD ↗
85
FINANCIAL CONCEPTS — crossed $1B in regulatory AUM ($890.0M -> $1.09B). IAPD ↗
85
CHEVIOT VALUE MANAGEMENT, LLC — crossed $1B in regulatory AUM ($963.3M -> $1.17B). IAPD ↗
85
GUARDIAN WEALTH STRATEGIES, LLC — crossed $1B in regulatory AUM ($944.1M -> $1.14B). IAPD ↗
85
OCCIDENTAL ASSET MANAGEMENT, LLC — crossed $1B in regulatory AUM ($953.4M -> $1.07B). IAPD ↗
85
HORIZON WEALTH MANAGEMENT — crossed $1B in regulatory AUM ($945.8M -> $1.08B). IAPD ↗
85
PANORAMIKA ADVISORS INC. — crossed $1B in regulatory AUM ($947.3M -> $1.05B). IAPD ↗
85
SPINNAKER INVESTMENT GROUP, LLC — crossed $1B in regulatory AUM ($882.0M -> $1.07B). IAPD ↗
85
TCP ASSET MANAGEMENT, LLC — crossed $1B in regulatory AUM ($822.1M -> $1.18B). IAPD ↗
85
CLEARVIEW FINANCIAL PARTNERS — crossed $1B in regulatory AUM ($850.4M -> $1.06B). IAPD ↗
85
ACCEL WEALTH MANAGEMENT — crossed $1B in regulatory AUM ($974.0M -> $1.15B). IAPD ↗
85
CYPRESS WEALTH SERVICES, LLC — crossed $1B in regulatory AUM ($965.5M -> $1.34B). IAPD ↗
85
IGNITE PLANNERS LLC — crossed $1B in regulatory AUM ($941.8M -> $1.14B). IAPD ↗
85
INSIGHT WEALTH STRATEGIES, LLC — crossed $1B in regulatory AUM ($932.0M -> $1.06B). IAPD ↗
85
PROMETHOS CAPITAL, LLC — crossed $1B in regulatory AUM ($875.3M -> $1.27B). IAPD ↗
85
VERUM PARTNERS LLC — crossed $1B in regulatory AUM ($827.6M -> $1.01B). IAPD ↗
85
AIRE ADVISORS, LLC — crossed $1B in regulatory AUM ($905.4M -> $1.01B). IAPD ↗
85
SCOTT CAPITAL ADVISORS, LLC — crossed $1B in regulatory AUM ($968.4M -> $1.13B). IAPD ↗
85
ADAMSBROWN WEALTH CONSULTANTS LLC — crossed $1B in regulatory AUM ($880.9M -> $1.12B). IAPD ↗
85
CAPITAL ADVISORS WEALTH MANAGEMENT — crossed $1B in regulatory AUM ($908.3M -> $1.11B). IAPD ↗
85
THE CLARUS GROUP — crossed $1B in regulatory AUM ($877.3M -> $1.10B). IAPD ↗
85
FOURPATH CAPITAL MANAGEMENT, LLC — crossed $1B in regulatory AUM ($931.1M -> $1.06B). IAPD ↗
85
MEOW ADVISORY, LLC — crossed $1B in regulatory AUM ($856.8M -> $1.38B). IAPD ↗
85
GOLDSTEIN ADVISORS, LLC — crossed $1B in regulatory AUM ($943.4M -> $1.08B). IAPD ↗
85
ROBINHOOD ASSET MANAGEMENT — crossed $1B in regulatory AUM ($158.7M -> $1.52B). IAPD ↗
85
PARR MCKNIGHT WEALTH MANAGEMENT GROUP — crossed $1B in regulatory AUM ($952.4M -> $1.07B). IAPD ↗
85
RATSON ADVISORY LLC — crossed $1B in regulatory AUM ($85.5M -> $2.39B). IAPD ↗
85
SPARTAN WEALTH MANAGEMENT — crossed $1B in regulatory AUM ($406.6M -> $1.48B). IAPD ↗
85
CHICAGO OAKBROOK FINANCIAL GROUP — crossed $1B in regulatory AUM ($907.3M -> $1.21B). IAPD ↗
85
FISHER INVESTMENTS — grew from 1869 to 1948 advisory reps. IAPD ↗
85
ALPHACORE CAPITAL LLC — grew from 42 to 69 advisory reps. IAPD ↗
85
ROBINHOOD ASSET MANAGEMENT — grew from 47 to 138 advisory reps. IAPD ↗
82
PURE FINANCIAL ADVISORS, LLC — grew from 64 to 76 advisory reps. IAPD ↗
81
THE MATHER GROUP, LLC — grew from 86 to 97 advisory reps. IAPD ↗
80
SANCTUARY ADVISORS, LLC — grew from 370 to 380 advisory reps. IAPD ↗
78
NFSG CORPORATION — grew from 66 to 74 advisory reps. IAPD ↗
78
B.O.S.S. RETIREMENT ADVISORS, LLC — grew from 41 to 49 advisory reps. IAPD ↗
77
THE FIDUCIARY ALLIANCE — grew from 38 to 45 advisory reps. IAPD ↗
77
JEFFERIES INVESTMENT ADVISERS LLC — grew from 100 to 107 advisory reps. IAPD ↗
76
COOPER MCMANUS — grew from 44 to 50 advisory reps. IAPD ↗
75
VALMARK ADVISERS, INC. — grew from 275 to 280 advisory reps. IAPD ↗
75
SC&H WEALTH — grew from 15 to 20 advisory reps. IAPD ↗
75
RMR WEALTH BUILDERS, INC. — grew from 44 to 49 advisory reps. IAPD ↗
75
JOHNSON BRUNETTI — grew from 31 to 36 advisory reps. IAPD ↗
75
SEASIDE WEALTH MANAGEMENT, INC. — grew from 4 to 11 advisory reps. IAPD ↗
75
FINANCIAL SERVICES OF AMERICA ADVISORS — grew from 24 to 31 advisory reps. IAPD ↗
75
AMPLIUS WEALTH ADVISORS — grew from 8 to 13 advisory reps. IAPD ↗
75
PARR MCKNIGHT WEALTH MANAGEMENT GROUP — grew from 5 to 10 advisory reps. IAPD ↗
75
ARAX ADVISORY PARTNERS — now reports 5 private fund(s) ($245.0M gross). IAPD ↗
75
NICHOLAS HOFFMAN & COMPANY, LLC — now reports 1 private fund(s) ($25.0M gross). IAPD ↗
74
BEDEL FINANCIAL CONSULTING INC — grew from 15 to 19 advisory reps. IAPD ↗
74
CYPRESS WEALTH SERVICES, LLC — grew from 10 to 14 advisory reps. IAPD ↗
74
HEIRLOOM WEALTH MANAGEMENT LLC — grew from 11 to 17 advisory reps. IAPD ↗
74
VAN CLEMENS WEALTH MANAGEMENT, LLC — grew from 18 to 24 advisory reps. IAPD ↗
74
SPARTAN WEALTH MANAGEMENT — grew from 15 to 19 advisory reps. IAPD ↗
73
CALIFORNIA FINANCIAL ADVISORS — grew from 11 to 14 advisory reps. IAPD ↗
73
NICHOLAS HOFFMAN & COMPANY, LLC — grew from 13 to 16 advisory reps. IAPD ↗
73
ACTIVEST WEALTH MANAGEMENT, LLC — grew from 9 to 12 advisory reps. IAPD ↗
73
ONE ADVISORY PARTNERS, LLC — grew from 4 to 9 advisory reps. IAPD ↗
73
CHEVIOT VALUE MANAGEMENT, LLC — grew from 4 to 7 advisory reps. IAPD ↗
73
ONE DAY IN JULY LLC — grew from 10 to 13 advisory reps. IAPD ↗
73
WEST MICHIGAN ADVISORS — grew from 11 to 16 advisory reps. IAPD ↗
73
AXIUS ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
73
DUCERE WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
73
PURSUIT WEALTH STRATEGIES, LLC — 's provisional registration is now fully approved. IAPD ↗
73
SCHLEGEL DUNN LLC — 's provisional registration is now fully approved. IAPD ↗
73
FIVE CORNERS FINANCIAL SERVICES — 's provisional registration is now fully approved. IAPD ↗
72
NORTHEAST INVESTMENT MANAGEMENT INC — grew from 9 to 11 advisory reps. IAPD ↗
72
SYMMETRY PARTNERS — grew from 3 to 5 advisory reps. IAPD ↗
72
AZIMUT INVESTMENT ADVISORS LLC — grew from 8 to 10 advisory reps. IAPD ↗
72
ARISTA WEALTH MANAGEMENT, LLC — grew from 6 to 8 advisory reps. IAPD ↗
72
CHERRY CREEK FAMILY OFFICES — grew from 4 to 6 advisory reps. IAPD ↗
72
ALLIED INVESTMENT ADVISORS LLC — grew from 9 to 11 advisory reps. IAPD ↗
72
ACCUMULUS CAPITAL MANAGEMENT, LLC — grew from 5 to 7 advisory reps. IAPD ↗
72
NEW MILLENNIUM GROUP — grew from 8 to 12 advisory reps. IAPD ↗
72
HEARTWOOD WEALTH ADVISORS, LLC — grew from 8 to 10 advisory reps. IAPD ↗
72
ALIGN FINANCIAL, LLC — grew from 1 to 5 advisory reps. IAPD ↗
72
STEVENS CAPITAL PARTNERS — grew from 6 to 10 advisory reps. IAPD ↗
72
ASTRA WEALTH MANAGEMENT GROUP — grew from 10 to 12 advisory reps. IAPD ↗
72
ADAPT WEALTH ADVISORS, LLC — grew from 6 to 10 advisory reps. IAPD ↗
71
COVENANT WEALTH ADVISORS — grew from 9 to 12 advisory reps. IAPD ↗
71
SUMMIT INVESTMENT ADVISORY SERVICES — grew from 5 to 8 advisory reps. IAPD ↗
71
CORRECT CAPITAL WEALTH MANAGEMENT, LLC — grew from 5 to 8 advisory reps. IAPD ↗
71
DISCIPLINE WEALTH SOLUTIONS, INC. — grew from 15 to 18 advisory reps. IAPD ↗
71
BLUE SKY CAPITAL CONSULTANTS GROUP, INC. — grew from 4 to 7 advisory reps. IAPD ↗
71
PANORAMIC CAPITAL PARTNERS LLC — grew from 3 to 6 advisory reps. IAPD ↗
71
LIBERTY SQUARE WEALTH PARTNERS LLC — grew from 2 to 5 advisory reps. IAPD ↗
70
SPINNAKER INVESTMENT GROUP, LLC — now reports custody of client assets ($420.7M). IAPD ↗
70
TCP ASSET MANAGEMENT, LLC — now reports custody of client assets ($32.6M). IAPD ↗
70
MODELL CAPITAL MANAGEMENT LLC — now reports custody of client assets ($611.6M). IAPD ↗
70
KERSHNER, GROSSO & CO. — grew from 4 to 6 advisory reps. IAPD ↗
70
KAYDAN WEALTH MANAGEMENT, INC. — grew from 6 to 8 advisory reps. IAPD ↗
70
OVERRIDGE WEALTH ADVISORS — grew from 7 to 9 advisory reps. IAPD ↗
70
ATS WEALTH MANAGEMENT — grew from 2 to 4 advisory reps. IAPD ↗
70
PERSPECTIVE WEALTH PARTNERS, LLC — grew from 6 to 8 advisory reps. IAPD ↗
70
CMH WEALTH MANAGEMENT, LLC — grew from 5 to 7 advisory reps. IAPD ↗
70
BALLAST, INC. — grew from 6 to 8 advisory reps. IAPD ↗
70
TILIA FIDUCIARY PARTNERS, INC. — grew from 4 to 6 advisory reps. IAPD ↗
70
WELLMENT FINANCIAL — grew from 9 to 11 advisory reps. IAPD ↗
70
INNOVA WEALTH PARTNERS, LLC — grew from 4 to 6 advisory reps. IAPD ↗
70
BRIGHT WEALTH MANAGEMENT, LLC — grew from 5 to 7 advisory reps. IAPD ↗
70
JOHNSON & WHITE WEALTH MANAGEMENT LLC — grew from 5 to 7 advisory reps. IAPD ↗
70
KEY CAPITAL MANAGEMENT, INC. — grew from 7 to 9 advisory reps. IAPD ↗
70
SUNPOINTE INVESTMENTS — grew from 9 to 11 advisory reps. IAPD ↗
70
HILLTOP WEALTH ADVISORS, LLC — grew from 7 to 9 advisory reps. IAPD ↗
70
CAPITOL PRIVATE WEALTH GROUP LLC — grew from 5 to 7 advisory reps. IAPD ↗
70
DOMAIN MONEY ADVISORS, LLC — grew from 9 to 14 advisory reps. IAPD ↗
70
CARR FINANCIAL GROUP — grew from 5 to 7 advisory reps. IAPD ↗
70
MOSLEY WEALTH MANAGEMENT, INC. — grew from 8 to 10 advisory reps. IAPD ↗
70
ATLAS FIDUCIARY SERVICES, INC. — grew from 2 to 4 advisory reps. IAPD ↗
70
PETROS FAMILY WEALTH, LLC — grew from 6 to 8 advisory reps. IAPD ↗
70
CAPITAL A WEALTH MANAGEMENT — grew from 9 to 11 advisory reps. IAPD ↗
70
MKT AND ASSOCIATES LLC — grew from 1 to 3 advisory reps. IAPD ↗
70
ROXBURY FINANCIAL — 's provisional registration is now fully approved. IAPD ↗
70
ANCHORED FINANCIAL PLANNING LLC — 's provisional registration is now fully approved. IAPD ↗
70
TALKABOUTHEALTH DBA ADVIZMO — 's provisional registration is now fully approved. IAPD ↗
70
CAGR FINANCE LLC — 's provisional registration is now fully approved. IAPD ↗
70
RIGHTOAK ASSET MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
KRAKEN ADVISER LLC — 's provisional registration is now fully approved. IAPD ↗
70
ALTURA WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
HARVEST - FAITH-BASED INVESTING — 's provisional registration is now fully approved. IAPD ↗
70
HUMILIS INVESTMENT STRATEGIES, LLC — 's provisional registration is now fully approved. IAPD ↗
70
DANIEL INVESTMENT GROUP INC. — 's provisional registration is now fully approved. IAPD ↗
70
LEXINGTON FINANCIAL/LIFE MANAGEMENT, LLC — now reports 2 private fund(s) ($9.5M gross). IAPD ↗
70
GUGGENHEIM PRIVATE INVESTMENTS, LLC — now reports 1 private fund(s) ($200.0M gross). IAPD ↗
69
LEGACY PLANNING ADVISORS, LLC — grew from 4 to 8 advisory reps. IAPD ↗
69
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC — grew from 10 to 14 advisory reps. IAPD ↗
69
ARX PRIVATE WEALTH — grew from 1 to 5 advisory reps. IAPD ↗
68
WHITENER CAPITAL MANAGEMENT, INC — now reports custody of client assets ($59.9M). IAPD ↗
68
PARAGON CAPITAL MANAGEMENT LLC — now reports custody of client assets ($237.2M). IAPD ↗
68
HARBOUR INVESTMENT MANAGEMENT L.L.C. — now reports custody of client assets ($104.5M). IAPD ↗
68
5T WEALTH, LLC — now reports custody of client assets ($2.6M). IAPD ↗
68
COX CAPITAL MANAGEMENT LLC — now reports custody of client assets ($55.1M). IAPD ↗
68
MCCLARREN FINANCIAL ADVISORS — now reports custody of client assets ($6.5M). IAPD ↗
68
HERITAGE WEALTH MANAGEMENT — now reports custody of client assets ($41.5M). IAPD ↗
68
FREEDOM ADVISORY — now reports custody of client assets ($471.1M). IAPD ↗
68
SCULATI WEALTH MANAGEMENT, LLC — now reports custody of client assets ($120.4M). IAPD ↗
68
LONG ISLAND WEALTH MANAGEMENT, INC. — now reports custody of client assets ($63.9M). IAPD ↗
68
SEVENBRIDGE FINANCIAL GROUP, LLC — now reports custody of client assets ($203.5M). IAPD ↗
68
GREENHOUSE WEALTH MANAGEMENT, LLC — now reports custody of client assets ($35.0M). IAPD ↗
68
SLOW CAPITAL, INC. — now reports custody of client assets ($19.5M). IAPD ↗
68
UNCOMMON CENTS INVESTING — now reports custody of client assets ($220.0M). IAPD ↗
68
MAIA WEALTH — now reports custody of client assets ($54.7M). IAPD ↗
68
RIVERSEDGE ADVISORS — now reports custody of client assets ($196.1M). IAPD ↗
68
OATH PLANNING, LLC — now reports custody of client assets ($30.6M). IAPD ↗
68
RHP WEALTH MANAGEMENT — now reports custody of client assets ($155.3M). IAPD ↗
68
DORVAL & CHORNE FINANCIAL ADVISORS — now reports custody of client assets ($8.7M). IAPD ↗
68
STEVENS CAPITAL PARTNERS — now reports custody of client assets ($91.0M). IAPD ↗
68
MOSLEY WEALTH MANAGEMENT, INC. — now reports custody of client assets ($84.1M). IAPD ↗
68
CONSCIOUS WEALTH INVESTMENTS, LLC — now reports custody of client assets ($100,000). IAPD ↗
68
J.R. PRUNIER CAPITAL MANAGEMENT LLC — now reports custody of client assets ($229.2M). IAPD ↗
68
SOLANO WEALTH ADVISORS — now reports custody of client assets ($335.6M). IAPD ↗
68
PETROS FAMILY WEALTH, LLC — now reports custody of client assets ($5.4M). IAPD ↗
68
LUMINVEST WEALTH MANAGEMENT LLC — now reports custody of client assets ($49.2M). IAPD ↗
68
STONEPATH WEALTH MANAGEMENT — now reports custody of client assets ($593,032). IAPD ↗
68
MINDSET WEALTH MANAGEMENT, LLC — now reports custody of client assets ($53.5M). IAPD ↗
68
ALTERI WEALTH — now reports custody of client assets ($15.9M). IAPD ↗
68
LIBERTY SQUARE WEALTH PARTNERS LLC — now reports custody of client assets ($123.8M). IAPD ↗
68
SELBY WEALTH MANAGEMENT — now reports custody of client assets ($224.5M). IAPD ↗
68
MACCO FINANCIAL GROUP, INC. — now reports custody of client assets ($3.4M). IAPD ↗
68
COLLABORATIVE CAPITAL ADVISORS LLC — now reports custody of client assets ($101.8M). IAPD ↗
68
LIVET WEALTH, LLC — now reports custody of client assets ($136.6M). IAPD ↗
68
SENTINEL ADVISORY GROUP, LLC — now reports custody of client assets ($18.1M). IAPD ↗
67
HALBERT WEALTH MANAGEMENT, INC — grew from 2 to 4 advisory reps. IAPD ↗
67
PALLER FINANCIAL SERVICES, INC. — grew from 2 to 4 advisory reps. IAPD ↗
67
WALLICK INVESTMENTS, LLC — grew from 1 to 3 advisory reps. IAPD ↗
67
HIPPOCRATIC FINANCIAL ADVISORS — grew from 3 to 5 advisory reps. IAPD ↗
67
ACUTE INVESTMENT ADVISORY — grew from 2 to 4 advisory reps. IAPD ↗
67
SEEDSAFE FINANCIAL LLC — grew from 2 to 4 advisory reps. IAPD ↗
67
SMITH & WYATT — grew from 6 to 8 advisory reps. IAPD ↗
67
SIMPLIFIED WEALTH MANAGEMENT — grew from 5 to 7 advisory reps. IAPD ↗
67
BIG SIOUX WEALTH MANAGEMENT — grew from 3 to 5 advisory reps. IAPD ↗
67
PULLEN INVESTMENT MANAGEMENT — grew from 2 to 4 advisory reps. IAPD ↗
67
JOURNEY RETIREMENT PLANNING AND INVESTMENT MANAGEMENT, LLC — grew from 3 to 5 advisory reps. IAPD ↗
67
AVISE FINANCIAL — grew from 4 to 6 advisory reps. IAPD ↗
67
BINGHAM PRIVATE WEALTH, LLC — grew from 1 to 3 advisory reps. IAPD ↗
67
MARTINSEN WEALTH MANAGEMENT — grew from 5 to 7 advisory reps. IAPD ↗
67
PRESTIGE WEALTH MANAGEMENT — grew from 3 to 5 advisory reps. IAPD ↗
65
INTEGRA FINANCIAL, INC. — now reports custody of client assets ($48.9M). IAPD ↗
65
ADVANTAGE INVESTING, INC. — now reports custody of client assets ($2.7M). IAPD ↗
65
GOING CPAS AND WEALTH ADVISORS — now reports custody of client assets ($12.3M). IAPD ↗
65
FRAZEE INVESTMENT CONSULTING, INC. — now reports custody of client assets ($14.3M). IAPD ↗
65
RUTHERFORD ASSET PLANNING, INC. — now reports custody of client assets ($66.6M). IAPD ↗
65
SIERRA PACIFIC PRIVATE WEALTH, LLC — now reports custody of client assets ($52.0M). IAPD ↗
65
COMPASS INVESTMENT ADVISERS, LLC — now reports custody of client assets ($2.4M). IAPD ↗
65
MUNDOVAL CAPITAL MANAGEMENT, INC. — now reports custody of client assets ($6.1M). IAPD ↗
65
OFC WEALTH MANAGEMENT — now reports custody of client assets ($170,731). IAPD ↗
65
HARDING FINANCIAL GROUP — now reports custody of client assets ($2.1M). IAPD ↗
65
BAY CAPITAL ADVISORS, LLC — now reports custody of client assets ($91.7M). IAPD ↗
65
SEACREST INVESTMENT MANAGEMENT, LLC — now reports custody of client assets ($17.1M). IAPD ↗
65
LEGACY ADVISORY SERVICES, LLC — now reports custody of client assets ($74.7M). IAPD ↗
65
NATURAL BRIDGES FINANCIAL ADVISORS — now reports custody of client assets ($3.7M). IAPD ↗
65
COLTON WEALTH MANAGEMENT — now reports custody of client assets ($39.5M). IAPD ↗
65
SMB FINANCIAL SERVICES, INC. — now reports custody of client assets ($52.0M). IAPD ↗
65
A J FELDMAN FINANCIAL, LLC — now reports custody of client assets ($22.6M). IAPD ↗
65
NORTH RIDGE — now reports custody of client assets ($63.7M). IAPD ↗
65
BARRETT WEALTH CONNECTION LLC — now reports custody of client assets ($37.3M). IAPD ↗
65
NYE WEALTH MANAGEMENT LLC — now reports custody of client assets ($77.8M). IAPD ↗
65
WATCHSTONE WEALTH MANAGEMENT LLC — now reports custody of client assets ($28,000). IAPD ↗
65
BRIDGE FINANCIAL PLANNING, LLC — now reports custody of client assets ($30.7M). IAPD ↗
65
SEEDSAFE FINANCIAL LLC — now reports custody of client assets ($58.3M). IAPD ↗
65
RMR CAPITAL MANAGEMENT LLC — now reports custody of client assets ($5.7M). IAPD ↗
65
BONFIRE FINANCIAL, LLC — now reports custody of client assets ($27.6M). IAPD ↗
65
NRG WEALTH MANAGEMENT — now reports custody of client assets ($4.9M). IAPD ↗
65
SKY ALPHA ASSET ADVISORS — now reports custody of client assets ($50.0M). IAPD ↗
65
KEYSTONE WEALTH MANAGEMENT — now reports custody of client assets ($7.2M). IAPD ↗
65
WESTVIEW INVESTMENT ADVISORS — now reports custody of client assets ($12.9M). IAPD ↗
65
TEAM WEALTH & TAX ADVISORS — now reports custody of client assets ($52.2M). IAPD ↗
65
REDSTONE WEALTH MANAGEMENT, LLC — now reports custody of client assets ($176). IAPD ↗
65
VENTANA PRIVATE WEALTH LLC — now reports custody of client assets ($19.8M). IAPD ↗
65
SIEBEN WEALTH PLANNING LLC — now reports custody of client assets ($46.2M). IAPD ↗
65
WINCAP FINANCIAL LLC — now reports custody of client assets ($143.9M). IAPD ↗
65
TRADEWINDS WEALTH MANAGEMENT — now reports custody of client assets ($30.2M). IAPD ↗
65
SUNRISE FINANCIAL SERVICES LLC — now reports custody of client assets ($8.4M). IAPD ↗
65
PLAN TO PROSPER WEALTH MANAGEMENT — now reports custody of client assets ($125.1M). IAPD ↗
65
AVISE FINANCIAL — now reports custody of client assets ($31.7M). IAPD ↗
65
SWIFTWATER CAPITAL — now reports custody of client assets ($327,512). IAPD ↗
65
PACIFIC WEALTH ADVISORY SERVICES LLC — now reports custody of client assets ($35.1M). IAPD ↗
65
XENA FINANCIAL PLANNING, LLC — now reports custody of client assets ($22.7M). IAPD ↗
65
HORIZON WEALTH — now reports custody of client assets ($3.1M). IAPD ↗
65
STORMS & ROWDON FINANCIAL SERVICES, INC. — now reports custody of client assets ($1.2M). IAPD ↗
65
LYONS CAPITAL GROUP — now reports custody of client assets ($18.1M). IAPD ↗
65
BELLINGRATH WEALTH MANAGEMENT, L.L.C. — now reports custody of client assets ($20.8M). IAPD ↗
65
SUCCESSION FINANCIAL, INC — now reports custody of client assets ($146.0M). IAPD ↗
65
CADIA PRIVATE CLIENT LLC — now reports custody of client assets ($24.4M). IAPD ↗
65
SKYVIEW PINNACLE — now reports custody of client assets ($12.5M). IAPD ↗
65
DANIEL INVESTMENT GROUP INC. — now reports custody of client assets ($42.9M). IAPD ↗
65
A3 CAPITAL ADVISORS — now reports custody of client assets ($161.8M). IAPD ↗
65
ARAX ADVISORY PARTNERS — began participating in a wrap-fee program. IAPD ↗
63
THE KARRAS COMPANY, INC. — began participating in a wrap-fee program. IAPD ↗
63
REDE WEALTH, LLC — began participating in a wrap-fee program. IAPD ↗
63
TMB CAPITAL PARTNERS, LLC — began participating in a wrap-fee program. IAPD ↗
60
AUTONOMOUS WEALTH MANAGEMENT LLC — began participating in a wrap-fee program. IAPD ↗
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 8 (334 -> 342). IAPD ↗
55
PRIMERICA ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (45 -> 46). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (332 -> 333). IAPD ↗
55
U.S. BANCORP ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 9 (15 -> 24). IAPD ↗
55
THRIVENT INVESTMENT MANAGEMENT INC. — 's Item 11 disclosure-reporting entries rose by 1 (25 -> 26). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (647 -> 648). IAPD ↗
55
OSAIC INSTITUTIONS, INC. — 's Item 11 disclosure-reporting entries rose by 5 (14 -> 19). IAPD ↗
55
BROWN CAPITAL MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
SPIRE WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (14 -> 15). IAPD ↗
55
AZIMUT INVESTMENT ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
55
APOGEM CAPITAL LLC — 's Item 11 disclosure-reporting entries rose by 4 (13 -> 17). IAPD ↗
55
SHELTON CAPITAL MANAGEMENT — notice-filed in AZ, LA, MD, NJ, PA. IAPD ↗
55
BRADLEY FOSTER & SARGENT INC — notice-filed in AR, HI, ID, LA, OK. IAPD ↗
55
DT INVESTMENT PARTNERS, LLC — notice-filed in CA, CT, ME, NH, TX, VA. IAPD ↗
55
THE FIDUCIARY ALLIANCE — notice-filed in CT, IA, KS, KY, MD, ME, MO, MS, NM, OK, PA, WV, WY. IAPD ↗
55
LRI INVESTMENTS — notice-filed in AZ, CO, DC, DE, GA, KS, MI, MN, MO, NM, NV, OH, TN, UT, VT, WA, WI. IAPD ↗
55
SUMMIT WEALTH GROUP — notice-filed in AL, AR, CA, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, MI, MN, MO, NC, NE, NJ, NM, NY, OH, OK, OR, TX, VA, WA, WV, WY. IAPD ↗
55
MODELL CAPITAL MANAGEMENT LLC — notice-filed in AZ, CA, CO, FL, GA, IL, MD, NY. IAPD ↗
53
DALE K. EHRHART, INC. — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
GLASS WEALTH MANAGEMENT CO., LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
THREE MAGNOLIAS FINANCIAL ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
BLACK CORAL FINANCIAL ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
IAMS WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (9 -> 10). IAPD ↗
53
BNA WEALTH — notice-filed in CA, FL, GA, TX, VA. IAPD ↗
53
ABUNDANCE WEALTH COUNSELORS, LLC — notice-filed in CO, CT, OH, TN. IAPD ↗
53
THE RETIREMENT PLANNING GROUP, LLC — notice-filed in MN, PA, SD, WI. IAPD ↗
53
WEST BRANCH CAPITAL LLC — notice-filed in CO, IL, LA, ME, NE, OH, VT, WA. IAPD ↗
53
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC — notice-filed in CO, DE, HI, IN, NC, NH, NV, OR, TN, VT, WA. IAPD ↗
53
COVENANT WEALTH ADVISORS — notice-filed in AZ, DC, GA, NE, NY, PA. IAPD ↗
53
BELL & BROWN WEALTH ADVISORS, LLC — notice-filed in AZ, CO, FL, NE, OR. IAPD ↗
53
180 WEALTH ADVISORS, LLC — notice-filed in NV, NY, TN, WA. IAPD ↗
53
ALIGN FINANCIAL, LLC — notice-filed in CA, GA, MA, NE, NY, OH, OR, WA. IAPD ↗
53
DISCIPLINE WEALTH SOLUTIONS, INC. — notice-filed in AK, AL, CO, KY, ME, MS, NE, NH, NV, OK, OR, UT, VT. IAPD ↗
53
CACHE ADVISORS LLC — notice-filed in AL, AR, AZ, CO, CT, DC, DE, FL, GA, HI, ID, IL, IN, KS, LA, MA, MD, ME, MI, MN, MO, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TN, TX, UT, VA, VI, VT, WA, WI. IAPD ↗
53
EVERNEST FINANCIAL ADVISORS — notice-filed in CO, MD, NC, NE, OH, PA, WI. IAPD ↗
53
4:8 FINANCIAL — notice-filed in AZ, CA, ID, TX, WA. IAPD ↗
51
INTELLICENTS INVESTMENT SOLUTIONS INC — notice-filed in KY, NM, WV. IAPD ↗
51
COOPER MCMANUS — notice-filed in ND, NE, NH. IAPD ↗
51
RICHARD YOUNG ADVISORS — notice-filed in CA, CO, NE. IAPD ↗
51
BCU WEALTH ADVISORS, LLC — notice-filed in NY, OR, SC, VA. IAPD ↗
51
NORTHCOAST ASSET MANAGEMENT LLC — notice-filed in AK, ND, VT. IAPD ↗
51
AMPLIUS WEALTH ADVISORS — notice-filed in AZ, CO, SC. IAPD ↗
51
TRIBRIDGE PARTNERS FINANCIAL LLC — notice-filed in LA, NC, NY. IAPD ↗
50
DESERT ROSE CAPITAL MANAGEMENT, INC. — notice-filed in AL, DC, DE, IL, KS, MD, MI, MO, MT, NH, NJ, NY, OK, SD, WI. IAPD ↗
50
PLANVISION, LLC — notice-filed in AK, DE, ID, MT, RI, VT, WV. IAPD ↗
50
AGEMY WEALTH ADVISORS, LLC — notice-filed in CT, FL, NC, NH, NY, SC. IAPD ↗
50
ORIGIN INVESTMENT ADVISORY LLC — notice-filed in AK, AL, AR, CT, DC, DE, HI, IN, KY, LA, MD, ME, MN, MO, MS, MT, NC, ND, NE, NH, OH, OK, OR, PR, SD, UT, VA, VI, VT, WI, WV, WY. IAPD ↗
50
ELEMENT SQUARED PRIVATE WEALTH — notice-filed in AL, MA, MD, MO, NJ, OR, TN, VA. IAPD ↗
50
CAPITAL SQUARED FINANCIAL LLC — notice-filed in CA, IN, NC, NJ, NY, OR, PA. IAPD ↗
50
50
ZACKS INTELLIGENCE LLC — notice-filed in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY. IAPD ↗
50
ENCORE WEALTH ADVISORS — notice-filed in AZ, IA, IL, KS, ND, OR. IAPD ↗
50
AXIENT INVESTMENT ADVISORS LLC — notice-filed in AR, CA, CO, FL, GA, IA, IN, KY, LA, MA, MN, MS, NC, NE, OH, SC, TN, TX, VA, WA, WI, WV. IAPD ↗
50
RIGHTOAK ASSET MANAGEMENT, LLC — notice-filed in CA, FL, GA, IL, IN, LA, MN, MO, NC, ND, NE, NY, OH, PA, SC, TN. IAPD ↗
50
ADVISORY SOLUTIONS GROUP — notice-filed in AZ, CO, IL, KS, NC, NE, OH, OR, SC, WA. IAPD ↗
49
ROMANO WEALTH MANAGEMENT — notice-filed in MA, PA. IAPD ↗
49
GRIFFIN ASSET MANAGEMENT, LLC — notice-filed in IL, NE. IAPD ↗
49
TCI WEALTH ADVISORS, INC. — notice-filed in KY, VT. IAPD ↗
49
NATURAL INVESTMENTS — notice-filed in IA, ID. IAPD ↗
49
SAX WEALTH ADVISORS, LLC — notice-filed in IN, RI. IAPD ↗
49
NFC INVESTMENTS, LLC — notice-filed in CA, IN. IAPD ↗
49
PIONEER WEALTH MANAGEMENT GROUP — notice-filed in CO, NC, OR. IAPD ↗
49
SECURED RETIREMENT ADVISORS, LLC — notice-filed in CA, IA, OH. IAPD ↗
49
PURE FINANCIAL ADVISORS, LLC — notice-filed in AK, DC. IAPD ↗
49
QUATTRO ADVISORS L.L.C. — notice-filed in MA, WA, WV. IAPD ↗
49
NEWSQUARE CAPITAL, LLC — notice-filed in CO, NH. IAPD ↗
49
12TH STREET ASSET MANAGEMENT — notice-filed in AR, MN, NE. IAPD ↗
49
INNOVA WEALTH PARTNERS, LLC — notice-filed in DE, MI, VA. IAPD ↗
49
COLUMBIA ADVISORY PARTNERS, LLC — notice-filed in ND, NE, SD. IAPD ↗
49
CAPITOL PRIVATE WEALTH GROUP LLC — notice-filed in MA, MN, OH. IAPD ↗
49
SPINNAKER INVESTMENT GROUP, LLC — notice-filed in MA, PA. IAPD ↗
49
TCP ASSET MANAGEMENT, LLC — notice-filed in NM, OK. IAPD ↗
49
DYNAMIC FINANCIAL GROUP — notice-filed in AZ, CO, MI. IAPD ↗
49
VALLEY WEALTH STRATEGIES, LLC — notice-filed in GA, NC. IAPD ↗
49
HEIRLOOM WEALTH MANAGEMENT LLC — notice-filed in IL, NH, PA. IAPD ↗
49
MAIA WEALTH — notice-filed in KY, ME, WY. IAPD ↗
49
ELLSWORTH ADVISORS, LLC — notice-filed in IL, NH. IAPD ↗
49
VENTURE VISIONARY PARTNERS LLC — notice-filed in MN, MT. IAPD ↗
49
FORGE FINANCIAL — notice-filed in IA, MS. IAPD ↗
49
CAPITAL ADVISORS WEALTH MANAGEMENT — notice-filed in AK, MT. IAPD ↗
49
THE BALDWIN GROUP WEALTH ADVISORS, LLC — notice-filed in CT, OK. IAPD ↗
49
49 FINANCIAL — notice-filed in AK, CT, WY. IAPD ↗
49
LUMINVEST WEALTH MANAGEMENT LLC — notice-filed in FL, NH, WA. IAPD ↗
48
PARADY WEALTH MANAGEMENT — notice-filed in MD, MN, SC, TN. IAPD ↗
48
SMARTPATH ADVISORS — notice-filed in IL, MA, MN, NJ. IAPD ↗
47
WATERS, PARKERSON & CO., LLC — notice-filed in WA. IAPD ↗
47
U.S. BANCORP ADVISORS, LLC — notice-filed in PR. IAPD ↗
47
MIDWESTERN SECURITIES TRADING CO.,LLC — notice-filed in MS. IAPD ↗
47
GAGNON SECURITIES, LLC — notice-filed in KS, SD. IAPD ↗
47
NORTHEAST INVESTMENT MANAGEMENT INC — notice-filed in OR. IAPD ↗
47
ANDERSON HOAGLAND & CO — notice-filed in NH. IAPD ↗
47
AUSTIN ASSET — notice-filed in FL. IAPD ↗
47
GODSEY & GIBB WEALTH MANAGEMENT — notice-filed in WI. IAPD ↗
47
FIRST FOUNDATION ADVISORS — notice-filed in KS. IAPD ↗
47
COMPASS WEALTH MANAGEMENT LLC — notice-filed in NJ, TN. IAPD ↗
47
CONNORS INVESTOR SERVICES INC — notice-filed in GA. IAPD ↗
47
DIXON FINANCIAL SERVICES — notice-filed in NY. IAPD ↗
47
J.W.BURNS & COMPANY, INC. — notice-filed in CA. IAPD ↗
47
CLIFFORD SWAN INVESTMENT COUNSELORS — notice-filed in PA. IAPD ↗
47
ENDOWMENT WEALTH MANAGEMENT, INC. — notice-filed in NC, OR. IAPD ↗
47
FAS WEALTH PARTNERS, INC. — notice-filed in ME. IAPD ↗
47
RETURN ON LIFE WEALTH PARTNERS — notice-filed in NY, OR. IAPD ↗
47
DEW WEALTH MANAGEMENT — notice-filed in KS, KY. IAPD ↗
47
COMMON CENTS PLANNING — notice-filed in NC, VA. IAPD ↗
47
SC&H WEALTH — notice-filed in MA. IAPD ↗
47
SYMMETRY PARTNERS — notice-filed in WY. IAPD ↗
47
ROBINSON SMITH WEALTH ADVISORS, LLC — notice-filed in AK, TX. IAPD ↗
47
MULTNOMAH GROUP, INC. — notice-filed in NM. IAPD ↗
47
ARAX ADVISORY PARTNERS — notice-filed in DC. IAPD ↗
47
CORNERSTONE ADVISORY — notice-filed in OK. IAPD ↗
47
WALLINGTON ASSET MANAGEMENT — notice-filed in MD. IAPD ↗
47
ALDRICH WEALTH LP — notice-filed in OH. IAPD ↗
47
TRIANGLE WEALTH MANAGEMENT — notice-filed in MI. IAPD ↗
47
MCGLONE SUTTNER WEALTH MANAGEMENT, INC. — notice-filed in MD. IAPD ↗
47
ASHTON THOMAS PRIVATE WEALTH — notice-filed in OK. IAPD ↗
47
ACT WEALTH MANAGEMENT, LLC — notice-filed in GA, NY. IAPD ↗
47
OXBOW ADVISORS, LLC — notice-filed in IN. IAPD ↗
47
FISCHER INVESTMENT STRATEGIES, LLC — notice-filed in NY, WA. IAPD ↗
47
DILIGENT INVESTORS, LLC — notice-filed in IL, MO. IAPD ↗
47
ALPHA CUBED INVESTMENTS, LLC — notice-filed in AL. IAPD ↗
47
PACIFIC CAPITAL ASSOCIATES — notice-filed in ID, NV. IAPD ↗
47
SEGMENT WEALTH MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
47
OCCIDENTAL ASSET MANAGEMENT, LLC — notice-filed in AL. IAPD ↗
47
JOURNEY ADVISORY GROUP, LLC — notice-filed in LA. IAPD ↗
47
GLOBAL RETIREMENT PARTNERS LLC — notice-filed in PR. IAPD ↗
47
MIDWEST FINANCIAL PARTNERS — notice-filed in ID. IAPD ↗
47
SITRIN CAPITAL MANAGEMENT, LLC — notice-filed in IL, MA. IAPD ↗
47
ARLINGTON FINANCIAL ADVISORS, LLC — notice-filed in MD. IAPD ↗
47
MAIN LINE RETIREMENT ADVISORS, LLC — notice-filed in CO, NY. IAPD ↗
47
ACCEL WEALTH MANAGEMENT — notice-filed in KS. IAPD ↗
47
FINANCIAL SERVICES OF AMERICA ADVISORS — notice-filed in AZ, CO. IAPD ↗
47
CLEAR CREEK ADVISORS — notice-filed in FL, TN. IAPD ↗
47
CYPRESS WEALTH SERVICES, LLC — notice-filed in IA. IAPD ↗
47
JGP WEALTH MANAGEMENT, LLC — notice-filed in NV. IAPD ↗
47
INSIGHT WEALTH STRATEGIES, LLC — notice-filed in OR. IAPD ↗
47
PASADENA PRIVATE WEALTH, LLC — notice-filed in NY. IAPD ↗
47
KWB WEALTH — notice-filed in NY. IAPD ↗
47
HUB INVESTMENT PARTNERS, LLC — notice-filed in PR. IAPD ↗
47
RISE ADVISORS, LLC — notice-filed in IN, ME. IAPD ↗
47
NORTHBRIDGE FINANCIAL GROUP, LLC — notice-filed in CA, TN. IAPD ↗
47
ONE + ONE WEALTH MANAGEMENT, LLC — notice-filed in NC, OH. IAPD ↗
47
PERFORMANCE WEALTH — notice-filed in TN. IAPD ↗
47
MILL CAPITAL MANAGEMENT, LLC — notice-filed in GA. IAPD ↗
47
COVE PRIVATE WEALTH, LLC — notice-filed in NH, NJ. IAPD ↗
47
NORDWAND ADVISORS — notice-filed in NH. IAPD ↗
47
BKM WEALTH MANAGEMENT — notice-filed in CO, IN. IAPD ↗
47
UNITED ADVISOR GROUP — notice-filed in RI. IAPD ↗
47
MDRN CAPITAL — notice-filed in KS, WV. IAPD ↗
47
INDIVISIBLE PARTNERS — notice-filed in MD. IAPD ↗
47
PRASAD WEALTH PARTNERS — notice-filed in IL, MI. IAPD ↗
47
BERMAN MCALEER — notice-filed in NH. IAPD ↗
47
THIRD VIEW PRIVATE WEALTH — notice-filed in NC. IAPD ↗
47
ELEVATE WEALTH MANAGEMENT — notice-filed in NE, PA. IAPD ↗
46
WESTBOURNE INVESTMENTS, INC. — notice-filed in CA, FL, NY. IAPD ↗
46
KCD FINANCIAL, INC. — notice-filed in NJ, NM, NV. IAPD ↗
46
HADDONFIELD FINANCIAL PLANNING LLC — notice-filed in CA, NH, TX. IAPD ↗
46
PLEASANTDALE WEALTH MANAGEMENT, LLC — notice-filed in CT, FL, NY. IAPD ↗
46
O'DONNELL WEALTH MANAGEMENT — notice-filed in LA, NE, NH. IAPD ↗
46
ARBORSTONE FINANCIAL, LLC — notice-filed in IL, NC, NH. IAPD ↗
46
YOUR IA, LLC — notice-filed in ID, IN, TN. IAPD ↗
45
ASPYRE WEALTH PARTNERS — notice-filed in TN. IAPD ↗
45
SOWA FINANCIAL GROUP — notice-filed in TX. IAPD ↗
45
BCM ADVISORS, LLC — notice-filed in FL. IAPD ↗
45
GKV CAPITAL MANAGEMENT CO INC — notice-filed in AZ. IAPD ↗
45
POINT WINDWARD ADVISORS, INC. — notice-filed in NY. IAPD ↗
45
HORIZON INVESTMENT SERVICES, LLC. — notice-filed in WA. IAPD ↗
45
TILLER PRIVATE WEALTH, INC. — notice-filed in NE. IAPD ↗
45
MWA FINANCIAL SERVICES, INC. — notice-filed in DC. IAPD ↗
45
CAMARDA WEALTH ADVISORY GROUP — notice-filed in IL. IAPD ↗
45
ELTEKON ADVISORS, LLC. — notice-filed in GA. IAPD ↗
45
ASHWORTH WEALTH, LLC — notice-filed in ID. IAPD ↗
45
WEALTH MANAGEMENT ASSOCIATES, INC. — notice-filed in AZ. IAPD ↗
45
GUARDIAN WEALTH MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
45
SECURITY FIRST FINANCIAL — notice-filed in GA. IAPD ↗
45
SAXONY CAPITAL MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
45
ELEVATION WEALTH PARTNERS, LLC — notice-filed in NY. IAPD ↗
45
DISCIPLINED EQUITY MANAGEMENT, INC. — notice-filed in TN. IAPD ↗
45
EMERSON EQUITY LLC — notice-filed in KY. IAPD ↗
45
ADG WEALTH MANAGEMENT GROUP, LLC — notice-filed in NC. IAPD ↗
45
CATAWBA RIVER CAPITAL — notice-filed in FL. IAPD ↗
45
OAK ADVISORS, LLC — notice-filed in TX. IAPD ↗
45
WARBURTON CAPITAL MANAGEMENT, LLC — notice-filed in NH. IAPD ↗
45
BIGELOW INVESTMENT ADVISORS, LLC — notice-filed in NJ. IAPD ↗
45
MILLER FINANCIAL SERVICES LLC — notice-filed in TX. IAPD ↗
45
VERDE CAPITAL MANAGEMENT, INC. — notice-filed in NC. IAPD ↗
45
HI-LINE CAPITAL MANAGEMENT, LLC — notice-filed in MT. IAPD ↗
45
RALEIGH CAPITAL MANAGEMENT INC. — notice-filed in VT. IAPD ↗
45
SOLITUDE FINANCIAL SERVICES, INC. — notice-filed in NC. IAPD ↗
45
FINANCIAL INDEPENDENCE, LLC — notice-filed in NC. IAPD ↗
45
IRONWOOD FINANCIAL, LLC — notice-filed in MI. IAPD ↗
45
BILTMORE WEALTH MANAGEMENT, LLC — notice-filed in OH. IAPD ↗
45
UNITED CAPITAL MANAGEMENT OF KANSAS, INC. — notice-filed in GA. IAPD ↗
45
FORTUNE WEALTH MANAGEMENT, LLC — notice-filed in CA. IAPD ↗
45
RED SPRUCE CAPITAL, LLC — notice-filed in MD. IAPD ↗
45
INVESTOR FAN — notice-filed in GA. IAPD ↗
45
OMEGA FINANCIAL GROUP, LLC — notice-filed in CO. IAPD ↗
45
MALTIN WEALTH MANAGEMENT, INC. — notice-filed in NH. IAPD ↗
45
CENTERLINE WEALTH ADVISORS, LLC — notice-filed in TN. IAPD ↗
45
MBE WEALTH MANAGEMENT, LLC — notice-filed in LA. IAPD ↗
45
CORNERSTONE WEALTH PLANNING — notice-filed in GA. IAPD ↗
45
TL PRIVATE WEALTH — notice-filed in CO. IAPD ↗
45
ALLIANCE WEALTH MANAGEMENT GROUP, LLC — notice-filed in MN. IAPD ↗
45
COTTAGE STREET ADVISORS — notice-filed in NC. IAPD ↗
45
KEY CAPITAL MANAGEMENT, INC. — notice-filed in CA. IAPD ↗
45
RUBICON ADVISORS — notice-filed in TN. IAPD ↗
45
HELIUM ADVISORS LLC — notice-filed in PA. IAPD ↗
45
BRILLIANT ADVICE, LLC — notice-filed in NH. IAPD ↗
45
PROSPERITY ADVISERS, LLC — notice-filed in NJ. IAPD ↗
45
HILLTOP WEALTH ADVISORS, LLC — notice-filed in GA. IAPD ↗
45
MILESTONE FINANCIAL PLANNING, LLC — notice-filed in MD. IAPD ↗
45
INTEGRITY WEALTH SOLUTIONS LLC — notice-filed in CA. IAPD ↗
45
ARCADIA WEALTH MANAGEMENT, LLC — notice-filed in ME. IAPD ↗
45
MOKOSAK ADVISORY GROUP, LLC — notice-filed in IN. IAPD ↗
45
SIEBERT ADVISORNXT, LLC. — notice-filed in WY. IAPD ↗
45
FLORIDA FINANCIAL ADVISORS, LLC — notice-filed in VT. IAPD ↗
45
SHARP FINANCIAL — notice-filed in NC. IAPD ↗
45
PRIVATE WEALTH SOLUTIONS, LLC — notice-filed in WA. IAPD ↗
45
DAVIDSON KAHN CAPITAL MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
45
BIG INVESTMENT SERVICES — notice-filed in SC. IAPD ↗
45
VAN CLEMENS WEALTH MANAGEMENT, LLC — notice-filed in KY. IAPD ↗
45
LANTZ FINANCIAL LLC — notice-filed in WA. IAPD ↗
45
OPTIVISE ADVISORY SERVICES LLC — notice-filed in MN. IAPD ↗
45
KEYSTONE PRIVATE WEALTH — notice-filed in IL. IAPD ↗
45
SCHORN WEALTH — notice-filed in AR. IAPD ↗
45
GREEN RIDGE WEALTH PLANNING LLC — notice-filed in CA. IAPD ↗
45
COOPER CAPITAL GROUP — notice-filed in VA. IAPD ↗
45
WMS WEALTH PLANNERS — notice-filed in GA. IAPD ↗
45
PALATINE HILL WEALTH MANAGEMENT — notice-filed in NH. IAPD ↗
45
BUTTONWOOD WEALTH — notice-filed in MD. IAPD ↗
45
GETTINGS BUSCH WEALTH MANAGEMENT — notice-filed in MO. IAPD ↗
45
ROTH FINANCIAL PARTNERS LLC — notice-filed in OH. IAPD ↗
45
STONECREST WEALTH MANAGEMENT, INC — notice-filed in UT. IAPD ↗
45
COGENTBLUE — notice-filed in CO. IAPD ↗
45
NOBLE FAMILY WEALTH — notice-filed in SC. IAPD ↗
45
PROACTIVE WEALTH STRATEGIES, LLC — notice-filed in SC. IAPD ↗
45
CONQUIS FINANCIAL LLC — notice-filed in NY. IAPD ↗
45
DAUS FINANCIAL GROUP, LLC — notice-filed in TX. IAPD ↗
45
EAGLE WEALTH STRATEGIES — notice-filed in NY. IAPD ↗
45
POWER FINANCIAL PARTNERS, LLC — notice-filed in TX. IAPD ↗
45
VICTORY FINANCIAL — notice-filed in OR. IAPD ↗
45
STONEBROOK PRIVATE LLC — notice-filed in VA. IAPD ↗
45
SIGNATURE EQUITY PARTNERS, LLC — notice-filed in GA. IAPD ↗
45
CAPITAL A WEALTH MANAGEMENT — notice-filed in WV. IAPD ↗
45
WYZE WEALTH ADVISORS, LLC — notice-filed in CO. IAPD ↗
45
FRIDAY FINANCIAL — notice-filed in MO. IAPD ↗
45
ASPENRIDGE WEALTH ADVISORS — notice-filed in NE. IAPD ↗
45
SENTINEL ADVISORY GROUP, LLC — notice-filed in MN. IAPD ↗
44
CREW CAPITAL MANAGEMENT, LTD. — notice-filed in CA, SC. IAPD ↗
44
CS ADVISORS INC. — notice-filed in NC, TX. IAPD ↗
44
HUGHES WARREN, INC. — notice-filed in FL, KS. IAPD ↗
44
TORTUGA WEALTH MANAGEMENT — notice-filed in AZ, VA. IAPD ↗
44
REVERE WEALTH MANAGEMENT LLC — notice-filed in NH, VT. IAPD ↗
44
WASHINGTON GROWTH STRATEGIES LLC — notice-filed in MA, MD. IAPD ↗
44
GUIDE ADVISORS, INC. — notice-filed in NE, NH. IAPD ↗
44
SEEDSAFE FINANCIAL LLC — notice-filed in CO, LA. IAPD ↗
44
DAVIS PRIVATE WEALTH, LLC — notice-filed in CA, MS. IAPD ↗
44
INCOMPASS FINANCIAL PARTNERS, LLC — notice-filed in NC, TX. IAPD ↗
44
RIVERTREE WEALTH — notice-filed in CO, MD. IAPD ↗
44
PRESTIGE WEALTH MANAGEMENT — notice-filed in CA, VA. IAPD ↗
44
ENRICH FINANCE LLC — notice-filed in NY, WA. IAPD ↗
44
MANHATTAN WEALTH MANAGEMENT GROUP — notice-filed in FL, NJ. IAPD ↗
43
B.A. ROBERTS FINANCIAL SERVICES, INC. — filed an Item 4A succession naming ROBERTS FINANCIAL SERVICES, LLC (CRD 289856) — an entity change, not a deal. IAPD ↗
43
PINE HARBOR WEALTH MANAGEMENT LLC — filed an Item 4A succession naming PINE HARBOR WEALTH MANAGEMENT LLC (CRD 317352) — an entity change, not a deal. IAPD ↗
42
R. F. LAFFERTY & CO., INC. — notice-filed in SC. IAPD ↗
42
J.V.B. INVESTMENT COMPANY — notice-filed in TX. IAPD ↗
42
VALLEY FINANCIAL MANAGEMENT, INC. — notice-filed in CT. IAPD ↗
42
BROOKER WEALTH MANAGEMENT — notice-filed in OR. IAPD ↗
42
ELDERADO FINANCIAL, INC — notice-filed in IA. IAPD ↗
42
INTEGRA FINANCIAL, INC. — notice-filed in MI. IAPD ↗
42
WALNUT INVESTMENT SERVICES LLC — notice-filed in FL. IAPD ↗
42
AIO FINANCIAL, LLC — notice-filed in NY. IAPD ↗
42
J.K. FINANCIAL, INC. — notice-filed in VA. IAPD ↗
42
SAGE INVESTMENT COUNSEL — notice-filed in TX. IAPD ↗
42
LOCKER FINANCIAL SERVICES, LLC — notice-filed in TX. IAPD ↗
42
STRATEGIC PLANNING GROUP, INC. — notice-filed in RI. IAPD ↗
42
ECONOLOGICS FINANCIAL ADVISORS — notice-filed in MO. IAPD ↗
42
TOWNSEND WEALTH MANAGEMENT — notice-filed in FL. IAPD ↗
42
MICHAEL BRADY & CO., LLC — notice-filed in GA. IAPD ↗
42
ALPHA PLANNING AND FINANCIAL SERVICES, INC. — notice-filed in FL. IAPD ↗
42
EVEREST WEALTH MANAGEMENT — notice-filed in NE. IAPD ↗
42
BALL & COMPANY — notice-filed in OR. IAPD ↗
42
COSEY FINANCIAL SERVICES, INC. — notice-filed in NC. IAPD ↗
42
ALPHAQ ADVISORS — notice-filed in NJ. IAPD ↗
42
NERAD + DEPPE WEALTH MANAGEMENT — notice-filed in FL. IAPD ↗
42
IUR CAPITAL, LLC — notice-filed in FL. IAPD ↗
42
INTEGRITY INVESTMENT ADVISORS — notice-filed in NH. IAPD ↗
42
SENTARA CAPITAL — notice-filed in NE. IAPD ↗
42
SUSTAINVEST ASSET MANAGEMENT, LLC — notice-filed in OR. IAPD ↗
42
INVARIANT INVESTMENT MANAGEMENT — notice-filed in IN. IAPD ↗
42
HIPPOCRATIC FINANCIAL ADVISORS — notice-filed in IL. IAPD ↗
42
WRENNE FINANCIAL PLANNING LLC — notice-filed in MN. IAPD ↗
42
LDN WEALTH, LLC — notice-filed in NH. IAPD ↗
42
COMPASS RETIREMENT GROUP LLC — notice-filed in NC. IAPD ↗
42
HARDING WEALTH, INC. — notice-filed in IL. IAPD ↗
42
GREAT HILL ADVISORY — notice-filed in CA. IAPD ↗
42
Q3 ADVISORS, LLC — notice-filed in TN. IAPD ↗
42
WAGER WEALTH MANAGEMENT AND FINANCIAL PLANNING LLC — notice-filed in NV. IAPD ↗
42
SMITH & WYATT — notice-filed in PA. IAPD ↗
42
COPPER LEAF FINANCIAL, LLC — notice-filed in NY. IAPD ↗
42
URBAN WEALTH MANAGEMENT OR UWM — notice-filed in MD. IAPD ↗
42
ACRYLIC FINANCIAL, INC. — notice-filed in TN. IAPD ↗
42
BONFIRE FINANCIAL, LLC — notice-filed in IL. IAPD ↗
42
SUNBEAM CAPITAL MANAGEMENT, LLC — notice-filed in UT. IAPD ↗
42
SIGNET PRIVATE WEALTH, LLC — notice-filed in CA. IAPD ↗
42
TOPTIER WEALTH MANAGEMENT — notice-filed in NH. IAPD ↗
42
INVERSSO, LLC — notice-filed in TX. IAPD ↗
42
ACCESS SOFTEK ADVISORY SERVICES — notice-filed in MA. IAPD ↗
42
21PEAKS CAPITAL MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
42
PORTUS WEALTH ADVISORS, LLC — notice-filed in PA. IAPD ↗
42
AEGIS WEALTH MANAGEMENT, INC. — notice-filed in MD. IAPD ↗
42
LEGADO WEALTH MANAGEMENT LLC — notice-filed in FL. IAPD ↗
42
FARNAM FINANCIAL — notice-filed in MN. IAPD ↗
42
WINTER & ASSOCIATES, INC. — notice-filed in NY. IAPD ↗
42
VILGA FINANCIAL PLANNING LLC — notice-filed in NC. IAPD ↗
42
NETWORTH ADVISORS, LLC — notice-filed in OH. IAPD ↗
42
CABIN ADVISORS, LLC — notice-filed in NV. IAPD ↗
42
LIGHTEDWAY ADVISORY SERVICES, INC. — notice-filed in FL. IAPD ↗
42
DOWNSHIFT FINANCIAL — notice-filed in FL. IAPD ↗
42
FINANCIAL DESIGNS WEALTH MANAGEMENT — notice-filed in TX. IAPD ↗
42
SIEBEN WEALTH PLANNING LLC — notice-filed in CA. IAPD ↗
42
NORTHSTAR INVESTMENT ADVISORY LLC — notice-filed in WY. IAPD ↗
42
RIDGELINE PRIVATE WEALTH — notice-filed in AK. IAPD ↗
42
OXFORD WEALTH GROUP, LLC — notice-filed in AR. IAPD ↗
42
ARRIEN INVESTMENTS, INC. — notice-filed in NH. IAPD ↗
42
BURR FINANCIAL SERVICES, LLC — notice-filed in LA. IAPD ↗
42
MOORE WEALTH — notice-filed in WV. IAPD ↗
42
HYJC CAPITAL OF WNY — notice-filed in LA. IAPD ↗
42
AVISE FINANCIAL — notice-filed in CO. IAPD ↗
42
SWIFTWATER CAPITAL — notice-filed in WA. IAPD ↗
42
CATALYST WEALTH MANAGEMENT LLC — notice-filed in AK. IAPD ↗
42
HOLOS INTEGRATED WEALTH — notice-filed in WI. IAPD ↗
42
KINGWOOD INVESTMENT GROUP — notice-filed in NY. IAPD ↗
42
KILTER GROUP — notice-filed in KS. IAPD ↗
42
WURZ FINANCIAL SERVICES, LLC — notice-filed in GA. IAPD ↗
42
TRUNORTH FINANCIAL LLC — notice-filed in PA. IAPD ↗
42
PARK SQUARE FINANCIAL GROUP LLC — notice-filed in CO. IAPD ↗
42
MARTINSEN WEALTH MANAGEMENT — notice-filed in VA. IAPD ↗
42
BASTION FIDUCIARY — notice-filed in NY. IAPD ↗
42
HUFFMAN & ROSS WEALTH MANAGEMENT LLC — notice-filed in LA. IAPD ↗
42
HANOVER SQUARE WEALTH ADVISORS LLC — notice-filed in FL. IAPD ↗
42
OMEN ADVISORY, LLC — notice-filed in NY. IAPD ↗
42
HARVEST - FAITH-BASED INVESTING — notice-filed in TX. IAPD ↗
42
STILLWATER PRIVATE WEALTH — notice-filed in SC. IAPD ↗
42
GUDORF FINANCIAL GROUP, LLC — notice-filed in TX. IAPD ↗
40
ONESOURCE WEALTH MANAGEMENT — filed an Item 4A succession naming ONESOURCE WEALTH MANAGEMENT (CRD 319078) — an entity change, not a deal. IAPD ↗
88
DEVELOP CAPITAL PARTNERS, LP. — (PITTSFORD, NY) is newly SEC-registered with $940.0M RAUM and 4 advisory reps. IAPD ↗institutional
85
OWL VENTURES — (SAN FRANCISCO, CA) is newly SEC-registered with $2.27B RAUM and 10 advisory reps. IAPD ↗fund
85
BONACCORD CAPITAL ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered with $4.30B RAUM and 14 advisory reps. IAPD ↗fund
85
S3 CAPITAL ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered with $3.64B RAUM and 15 advisory reps. IAPD ↗fund
85
CIBRA CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
APPLIED QUANTITATIVE INVESTMENTS LLC — (LONE TREE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
TAP CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
ALTA ASSET MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 13 advisory reps. IAPD ↗institutional
85
CRESALTA INVESTMENT MANAGEMENT, INC. — (GREENWOOD VILLAGE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
ONE RIVER VOLATILITY ARBITRAGE LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
85
PARC STREET ADVISORS — (SYOSSET, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
HCIP ADVISORS, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
GRADIENT RIDGE CAPITAL, L.P. — (NORWALK, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
83
STORR GROUP — (WEST PALM BEACH, FL) is newly SEC-registered with $309.5M RAUM and 5 advisory reps. IAPD ↗fund
83
HAMILTON SQUARE PARTNERS MANAGEMENT, LP — (PRINCETON, NJ) is newly SEC-registered with $319.3M RAUM and 5 advisory reps. IAPD ↗fund
80
BUTTONWOOD GROUP ADVISORS LLC — (UNIONDALE, NY) is newly SEC-registered with $240.2M RAUM and 4 advisory reps. IAPD ↗fund
80
WESTBOUND EQUITY MANAGEMENT, LLC — (PALO ALTO, CA) is newly SEC-registered with $146.2M RAUM and 3 advisory reps. IAPD ↗fund
80
BP ASSET MANAGEMENT INC. — (CHARLOTTE, NC) is newly SEC-registered with $155.3M RAUM and 3 advisory reps. IAPD ↗fund
80
CREEK DRIVE MANAGEMENT GROUP LLC — (location n/a) is newly SEC-registered with $154.9M RAUM and 3 advisory reps. IAPD ↗fund
80
ETERNAL CAPITAL, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $17.0M RAUM and 5 advisory reps. IAPD ↗fund
80
SOLYCO CAPITAL LLC — (ROCHESTER, MI) is newly SEC-registered with $219.9M RAUM and 2 advisory reps. IAPD ↗fund
80
CENTURIA CAPITAL PARTNERS LLC — (GUAYNABO, PR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
75
75
NEWFRONT RETIREMENT SERVICES, INC. — crossed $1B in regulatory AUM ($649.3M -> $1.04B). IAPD ↗institutional
75
75
75
ALPINVEST PRIVATE EQUITY INVESTMENT MANAGEMENT, LLC — grew from 106 to 127 advisory reps. IAPD ↗institutional
74
70
70
70
70
MIC CAPITAL MANAGEMENT UK LLP — (LONDON, United Kingdom) is newly SEC-registered with $35.31B RAUM and 78 advisory reps. IAPD ↗foreign
66
65
65
PORTAGE WEALTH INC — (OAKVILLE, Canada) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗foreign
63
63
62
61
60
ADVISORENGINE PORTFOLIO SOLUTIONS INC. — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
OAKLAWN CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
58
58
58
58
58
57
57
55
55
55
55
53
53
53
53
50
45
45
FMR INVESTMENT MANAGEMENT (UK) LIMITED — now reports 4 private fund(s) ($1.87B gross). IAPD ↗foreign
43
40
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 1 (142 -> 143). IAPD ↗institutional
40
39
38
38
37
37
37
36
35
35
MPI INFINITE INVESTORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
34
32
32
32
32
32
32
30
27
25
25
1207 CAPITAL GROUP, LLC — filed an Item 4A succession naming 1207 CAPITAL GROUP, LLC (CRD 162611) — an entity change, not a deal. IAPD ↗fund
20
GREENSKEEPER ASSET MANAGEMENT INC. — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
14
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.