Compliance — May 2026
Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).
604 firms opened this window in the May 2026 SEC roster: 229 state expansion, 206 new registration, 43 disclosure added, 42 pending approved, 37 headcount up, 24 custody started, 10 aum crossed 1b, 7 private funds started, 5 wrap program started, 1 reorganization.
100
MESON QUANTITATIVE MANAGEMENT LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $1.09B RAUM and 11 advisory reps. IAPD ↗
98
MWA INVESTMENTS, LLC — (WHITE STONE, VA) is newly SEC-registered with $250.4M RAUM and 1 advisory reps. IAPD ↗
95
RJJ PASADENA SECURITIES, INC. — (HENDERSON, NV) is newly SEC-registered with $110.3M RAUM and 2 advisory reps. IAPD ↗
95
WORTH FINANCIAL GROUP INC. — (DALLAS, TX) is newly SEC-registered with $122.8M RAUM and 5 advisory reps. IAPD ↗
95
POTOMAC INVESTMENT COMPANY — (location n/a) is newly SEC-registered with $107.0M RAUM and 2 advisory reps. IAPD ↗
95
ALAMO CAPITAL — (WALNUT CREEK, CA) is newly SEC-registered with $103.6M RAUM and 2 advisory reps. IAPD ↗
95
ABENS FINANCIAL SERVICES INC — (EDINA, MN) is newly SEC-registered with $120.1M RAUM and 3 advisory reps. IAPD ↗
95
KINNAMON & ASSOCIATES LTD II — (BARRINGTON, IL) is newly SEC-registered with $117.6M RAUM and 2 advisory reps. IAPD ↗
95
JAFFE ASSET MANAGEMENT LLC — (BEVERLY HILLS, CA) is newly SEC-registered with $116.2M RAUM and 1 advisory reps. IAPD ↗
95
CFG WEALTH MANAGEMENT SERVICES INC — (INDIANAPOLIS, IN) is newly SEC-registered with $110.2M RAUM and 2 advisory reps. IAPD ↗
95
LEE-WAY FINANCIAL SERVICES, INC — (HATTIESBURG, MS) is newly SEC-registered with $132.1M RAUM and 1 advisory reps. IAPD ↗
95
PORTFOLIO ADVISORY GROUP, INC. — (ALEXANDRIA, VA) is newly SEC-registered with $115.8M RAUM and 2 advisory reps. IAPD ↗
95
HULSEY CAPITAL MANAGEMENT, INC. — (HEBER SPRINGS, AR) is newly SEC-registered with $113.2M RAUM and 1 advisory reps. IAPD ↗
95
WYNN CAPITAL MANAGEMENT, LLC — (SANTA CRUZ, CA) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
95
ODA AND COMPANY, INC. — (MEDINA, OH) is newly SEC-registered with $125.6M RAUM and 1 advisory reps. IAPD ↗
95
SERA CAPITAL MANAGEMENT, LLC — (ANNAPOLIS, MD) is newly SEC-registered with $114.3M RAUM and 5 advisory reps. IAPD ↗
95
S.C. THOMAS & ASSOCIATES, CPA, LLC — (MEDINA, OH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
95
INTEGRATED INVESTMENT STRATEGIES,INC. — (CARMEL, IN) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
95
PATHFINDER ADVISORY, INC. — (ROCKFORD, IL) is newly SEC-registered with $121.4M RAUM and 3 advisory reps. IAPD ↗
95
ROCKY HILL ADVISORS INC. — (PEABODY, MA) is newly SEC-registered with $102.4M RAUM and 1 advisory reps. IAPD ↗
95
RECHTER WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $133.5M RAUM and 2 advisory reps. IAPD ↗
95
CORNERSTONE FINANCIAL — (ATLANTA, GA) is newly SEC-registered with $118.0M RAUM and 3 advisory reps. IAPD ↗
95
BLUE GRANITE CAPITAL, LLC — (CHARLESTON, SC) is newly SEC-registered with $108.8M RAUM and 3 advisory reps. IAPD ↗
95
ALPHA FINANCIAL MANAGEMENT, INC. — (SAVANNAH, GA) is newly SEC-registered with $109.4M RAUM and 3 advisory reps. IAPD ↗
95
ASHWOOD ADVISORS — (MEDFIELD, MA) is newly SEC-registered with $126.9M RAUM and 2 advisory reps. IAPD ↗
95
FINANCIAL EMPOWERMENT LLC — (BURNSVILLE, MN) is newly SEC-registered with $126.4M RAUM and 2 advisory reps. IAPD ↗
95
RALL CAPITAL MANAGEMENT, INC. — (ROCKLEDGE, FL) is newly SEC-registered with $122.7M RAUM and 2 advisory reps. IAPD ↗
95
CHAPPELWOOD FINANCIAL SERVICES — (EDMOND, OK) is newly SEC-registered with $113.1M RAUM and 3 advisory reps. IAPD ↗
95
SALVINI FINANCIAL PLANNING — (location n/a) is newly SEC-registered with $116.2M RAUM and 1 advisory reps. IAPD ↗
95
FINANCIAL ACTION, INC. — (MONUMENT, CO) is newly SEC-registered with $100.3M RAUM and 4 advisory reps. IAPD ↗
95
WILLIAMS AND SCHILLER WEALTH MANAGEMENT, LLC — (SANDPOINT, ID) is newly SEC-registered with $120.7M RAUM and 2 advisory reps. IAPD ↗
95
SCHUYLKILL FINANCIAL, LLC — (WYOMISSING, PA) is newly SEC-registered with $123.6M RAUM and 2 advisory reps. IAPD ↗
95
PEGASUS FINANCIAL GROUP LLC — (CHANTILLY, VA) is newly SEC-registered with $122.3M RAUM and 3 advisory reps. IAPD ↗
95
PEBBLE VALLEY WEALTH MANAGEMENT — (WESTERN SPRINGS, IL) is newly SEC-registered with $129.5M RAUM and 2 advisory reps. IAPD ↗
95
AMERICAN WEALTH ADVISORS, LLC — (JOHNS CREEK, GA) is newly SEC-registered with $120.2M RAUM and 2 advisory reps. IAPD ↗
95
TRIAD INVESTMENT MANAGEMENT, LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $119.5M RAUM and 2 advisory reps. IAPD ↗
95
MTR FINANCIAL SERVICES, LLC — (KINGWOOD, TX) is newly SEC-registered with $119.9M RAUM and 1 advisory reps. IAPD ↗
95
COMMENCEMENT FINANCIAL PLANNING LLC — (location n/a) is newly SEC-registered with $121.7M RAUM and 1 advisory reps. IAPD ↗
95
LINCOLN DOUGLAS INVESTMENTS, LLC — (MOUNT VERNON, OH) is newly SEC-registered with $130.5M RAUM and 8 advisory reps. IAPD ↗
95
TWEET MANAGEMENT SERVICES, INC. — (LA MESA, CA) is newly SEC-registered with $120.5M RAUM and 1 advisory reps. IAPD ↗
95
WAX ASSET MANAGEMENT LLC — (location n/a) is newly SEC-registered with $181.2M RAUM and 1 advisory reps. IAPD ↗
95
RYAN POAGE & CO. — (KANSAS CITY, MO) is newly SEC-registered with $114.2M RAUM and 3 advisory reps. IAPD ↗
95
SETARCOS WEALTH ADVISORS LLC — (PHILADELPHIA, PA) is newly SEC-registered with $111.7M RAUM and 2 advisory reps. IAPD ↗
95
GOLDBERG FINANCIAL ADVISORS, LLC — (EL SEGUNDO, CA) is newly SEC-registered with $120.3M RAUM and 1 advisory reps. IAPD ↗
95
COMPASS RETIREMENT, LLC — (location n/a) is newly SEC-registered with $105.1M RAUM and 1 advisory reps. IAPD ↗
95
MIDWEST FINANCIAL ASSOCIATES, INC. — (ROCKFORD, IL) is newly SEC-registered with $123.9M RAUM and 1 advisory reps. IAPD ↗
95
NOSURIS, INC. — (LYNBROOK, NY) is newly SEC-registered with $95.0M RAUM and 2 advisory reps. IAPD ↗
95
COGENT INDEPENDENT ADVISORS, INC. — (location n/a) is newly SEC-registered with $112.4M RAUM and 1 advisory reps. IAPD ↗
95
BEYOND WEALTH — (OVERLAND PARK, KS) is newly SEC-registered with $122.5M RAUM and 3 advisory reps. IAPD ↗
95
NPM CONSULTING, LLC — (location n/a) is newly SEC-registered with $116.1M RAUM and 1 advisory reps. IAPD ↗
95
GIRA & GIRA INVESTMENT ADVISORS LLC — (HARRISONBURG, VA) is newly SEC-registered with $121.4M RAUM and 2 advisory reps. IAPD ↗
95
LAMINAR WEALTH LLC — (CLAYTON, MO) is newly SEC-registered with $131.8M RAUM and 2 advisory reps. IAPD ↗
95
STREAMSONG ADVISORS, LLC — (GRAND RAPIDS, MI) is newly SEC-registered with $124.4M RAUM and 4 advisory reps. IAPD ↗
95
PRECEDENT FINANCIAL STRATEGIES — (INDIANAPOLIS, IN) is newly SEC-registered with $111.5M RAUM and 1 advisory reps. IAPD ↗
95
TEN PEAKS PARTNERS L.L.C. — (CLAYTON, MO) is newly SEC-registered with $108.6M RAUM and 1 advisory reps. IAPD ↗
95
MOSAIC FI LLC — (LINCOLNSHIRE, IL) is newly SEC-registered with $112.8M RAUM and 2 advisory reps. IAPD ↗
95
BOSTON PORTFOLIO ADVISERS — (BOSTON, MA) is newly SEC-registered with $121.5M RAUM and 2 advisory reps. IAPD ↗
95
LAUREATE WEALTH MANAGEMENT, LLC — (GLEN ELLYN, IL) is newly SEC-registered with $121.9M RAUM and 4 advisory reps. IAPD ↗
95
COX & COOK WEALTH ADVISORS — (DUBLIN, OH) is newly SEC-registered with $119.5M RAUM and 2 advisory reps. IAPD ↗
95
BALANCED WEALTH MANAGEMENT, LLC. — (EAST GREENWICH, RI) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
95
WGS MANAGEMENT SERVICES, INC — (ROCHESTER, NY) is newly SEC-registered with $41.6M RAUM and 1 advisory reps. IAPD ↗
95
EDEN ADVISORY SERVICES, LLC — (ALBANY, NY) is newly SEC-registered with $27.8M RAUM and 2 advisory reps. IAPD ↗
95
LEACH, BICKMORE & WEISS WEALTH MANAGEMENT, LLC — (MADISON, WI) is newly SEC-registered with $115.3M RAUM and 1 advisory reps. IAPD ↗
95
EVIDENT FINANCIAL — (ERIE, PA) is newly SEC-registered with $149.7M RAUM and 3 advisory reps. IAPD ↗
95
VENTURE FORTH FINANCIAL — (location n/a) is newly SEC-registered with $105.0M RAUM and 1 advisory reps. IAPD ↗
95
PATHWAY WEALTH MANAGEMENT, LLC — (DALLAS, TX) is newly SEC-registered with $116.0M RAUM and 1 advisory reps. IAPD ↗
95
TRUE ABUNDANCE ADVISORS — (location n/a) is newly SEC-registered with $32.0M RAUM and 1 advisory reps. IAPD ↗
95
PALOMAR ADVISORS INC. — (location n/a) is newly SEC-registered with $101.3M RAUM and 2 advisory reps. IAPD ↗
95
MARIVA GLOBAL ASSET MANAGEMENT, LLC — (MIAMI, FL) is newly SEC-registered with $129.0M RAUM and 2 advisory reps. IAPD ↗
95
MILE WEALTH MANAGEMENT — (IRVINE, CA) is newly SEC-registered with $120.1M RAUM and 1 advisory reps. IAPD ↗
95
LEVENSON WEALTH LLC — (location n/a) is newly SEC-registered with $111.0M RAUM and 2 advisory reps. IAPD ↗
95
HUNT WEALTH MANAGEMENT — (CONCORD, CA) is newly SEC-registered with $110.0M RAUM and 2 advisory reps. IAPD ↗
95
SULLIVAN INVESTMENT MANAGEMENT LLC — (WISCONSIN RAPIDS, WI) is newly SEC-registered with $111.8M RAUM and 1 advisory reps. IAPD ↗
95
CRYSTAL COVE ASSET MANAGEMENT — (NEWPORT BEACH, CA) is newly SEC-registered with $135.2M RAUM and 2 advisory reps. IAPD ↗
95
RIHO PARTNERS, LLC — (location n/a) is newly SEC-registered with $182.2M RAUM and 1 advisory reps. IAPD ↗
95
URS ADVISORY — (JUPITER, FL) is newly SEC-registered with $158.8M RAUM and 2 advisory reps. IAPD ↗
95
TROTT BROOK FINANCIAL — (ANOKA, MN) is newly SEC-registered with $120.5M RAUM and 1 advisory reps. IAPD ↗
95
TITAN INVESTMENT MANAGEMENT LLC — (INDIANAPOLIS, IN) is newly SEC-registered with $123.9M RAUM and 4 advisory reps. IAPD ↗
95
MILBORN ADVISORS, LTD — (MILWAUKEE, WI) is newly SEC-registered with $107.7M RAUM and 2 advisory reps. IAPD ↗
95
LIFELONG WEALTH MANAGEMENT GROUP, LLC — (LAKE OSWEGO, OR) is newly SEC-registered with $121.7M RAUM and 2 advisory reps. IAPD ↗
95
SAN BLAS ADVISORY, INC. — (ATLANTA, GA) is newly SEC-registered with $218.9M RAUM and 9 advisory reps. IAPD ↗
95
O.F.O. PARTNERS, LLC — (HINGHAM, MA) is newly SEC-registered with $110.0M RAUM and 1 advisory reps. IAPD ↗
95
SETTIAN CAPITAL LP — (SAINT AUGUSTINE, FL) is newly SEC-registered with $156.5M RAUM and 1 advisory reps. IAPD ↗
95
STOIC POINT CAPITAL MANAGEMENT LLC — (PALO ALTO, CA) is newly SEC-registered with $119.5M RAUM and 2 advisory reps. IAPD ↗
95
WEBSTER STREET INVESTMENT ADVISORS LLC — (location n/a) is newly SEC-registered with $113.7M RAUM and 2 advisory reps. IAPD ↗
95
AJAX CAPITAL LLC — (location n/a) is newly SEC-registered with $114.6M RAUM and 1 advisory reps. IAPD ↗
95
MANA FINANCIAL LIFE DESIGN — (location n/a) is newly SEC-registered with $106.1M RAUM and 3 advisory reps. IAPD ↗
95
NOBLE WEALTH PARTNERS — (DENVER, CO) is newly SEC-registered with $118.5M RAUM and 2 advisory reps. IAPD ↗
95
SEQUENTIS CAPITAL LLC — (BOSTON, MA) is newly SEC-registered with $101.5M RAUM and 3 advisory reps. IAPD ↗
95
TRAILS EDGE WEALTH ADVISERS, LLC — (location n/a) is newly SEC-registered with $153.7M RAUM and 1 advisory reps. IAPD ↗
95
STERLING BRIDGE FINANCIAL GROUP LLC — (PALM HARBOR, FL) is newly SEC-registered with $131.1M RAUM and 4 advisory reps. IAPD ↗
95
MD WEALTH ADVISORS INC — (CRANFORD, NJ) is newly SEC-registered with $105.2M RAUM and 1 advisory reps. IAPD ↗
95
BURKE WEALTH MANAGEMENT, LLC — (HOUSTON, TX) is newly SEC-registered with $95.2M RAUM and 3 advisory reps. IAPD ↗
95
ADVOCACY FINANCIAL LLC — (COVINGTON, LA) is newly SEC-registered with $103.4M RAUM and 2 advisory reps. IAPD ↗
95
GENEROUSWEALTH, LLC — (SUMMERVILLE, SC) is newly SEC-registered with $110.4M RAUM and 2 advisory reps. IAPD ↗
95
ARK WEALTH ADVISORS, LLC — (YORBA LINDA, CA) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
95
PARAGON INVESTING, LLC — (location n/a) is newly SEC-registered with $138.2M RAUM and 3 advisory reps. IAPD ↗
95
LARSON WILLIAMS WEALTH ADVISORS, LLC — (CEDAR CITY, UT) is newly SEC-registered with $140.0M RAUM and 2 advisory reps. IAPD ↗
95
SOUTH SHORE INVESTMENT SERVICES LLC — (NORWELL, MA) is newly SEC-registered with $117.9M RAUM and 2 advisory reps. IAPD ↗
95
THINK DIFFERENT FINANCIAL PLANNING — (location n/a) is newly SEC-registered with $141.5M RAUM and 1 advisory reps. IAPD ↗
95
SOLYCO WEALTH LLC — (BIRMINGHAM, MI) is newly SEC-registered with $116.2M RAUM and 5 advisory reps. IAPD ↗
95
BRANDON HILL WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $48.4M RAUM and 1 advisory reps. IAPD ↗
95
RETIRE READY WEALTH MANAGEMENT — (RADNOR, PA) is newly SEC-registered with $100.1M RAUM and 1 advisory reps. IAPD ↗
95
PEAK FINANCIAL PLANNING — (CANOGA PARK, CA) is newly SEC-registered with $93.0M RAUM and 4 advisory reps. IAPD ↗
95
WHITE OAK WEALTH PARTNERS — (RALEIGH, NC) is newly SEC-registered with $110.5M RAUM and 1 advisory reps. IAPD ↗
95
VIRTUS FINANCIAL GROUP — (OLIVETTE, MO) is newly SEC-registered with $119.4M RAUM and 5 advisory reps. IAPD ↗
95
BENSON WEALTH MANAGEMENT, INC. — (location n/a) is newly SEC-registered with $116.0M RAUM and 2 advisory reps. IAPD ↗
95
WHARTON WEALTH PLANNING, LLC — (NEW YORK, NY) is newly SEC-registered with $30.7M RAUM and 1 advisory reps. IAPD ↗
95
WINCHESTER ASSET MANAGEMENT, LLC — (CHICAGO, IL) is newly SEC-registered with $154.0M RAUM and 2 advisory reps. IAPD ↗
95
BRIGHT LAKE WEALTH MANAGEMENT, LLC — (ROSEVILLE, CA) is newly SEC-registered with $103.6M RAUM and 4 advisory reps. IAPD ↗
95
FINANCES FOR REAL LIFE — (LOMPOC, CA) is newly SEC-registered with $108.6M RAUM and 2 advisory reps. IAPD ↗
95
ACCESS CAPITAL, LLC — (WICHITA, KS) is newly SEC-registered with $105.6M RAUM and 1 advisory reps. IAPD ↗
95
TOTAL WEALTH SOLUTIONS — (LOS ALTOS, CA) is newly SEC-registered with $148.0M RAUM and 1 advisory reps. IAPD ↗
95
MENDOZA PRIVATE WEALTH — (MIAMI, FL) is newly SEC-registered with $101.4M RAUM and 1 advisory reps. IAPD ↗
95
PORT CAPITAL MANAGEMENT — (MASSAPEQUA, NY) is newly SEC-registered with $29.8M RAUM and 1 advisory reps. IAPD ↗
95
QUANTITATIVE FINANCIAL STRATEGIES — (location n/a) is newly SEC-registered with $156.2M RAUM and 2 advisory reps. IAPD ↗
95
K2 WEALTH MANAGEMENT LLC — (CHICAGO, IL) is newly SEC-registered with $120.0M RAUM and 3 advisory reps. IAPD ↗
95
IKALON ADVISORS LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MGFS PRIVATE WEALTH, LLC — (location n/a) is newly SEC-registered with $116.7M RAUM and 2 advisory reps. IAPD ↗
95
SPRINGLAKE FINANCIAL PARTNERS — (location n/a) is newly SEC-registered with $104.8M RAUM and 2 advisory reps. IAPD ↗
95
WHEALTHY EMPOWERMENT NETWORK — (location n/a) is newly SEC-registered with $107.8M RAUM and 2 advisory reps. IAPD ↗
95
VIP WEALTH ADVISORS — (DECATUR, GA) is newly SEC-registered with $126.1M RAUM and 1 advisory reps. IAPD ↗
95
US FINANCIAL PLANNERS, LLC — (ASHEVILLE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
95
NEXTMOVE CAPITAL INC. — (location n/a) is newly SEC-registered with $190 RAUM and 1 advisory reps. IAPD ↗
95
KEYSTONE BITCOIN — (PITTSBURGH, PA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
VOSS WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SAVILE PRIVATE WEALTH LLC — (SHERIDAN, WY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SAGEWOOD CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
R.I.T. WEALTH ADVISORS — (SAN LUIS OBISPO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ARKA CAPITAL A.M. LTD — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
OXFORD HARRIMAN PRIVATE WEALTH MANAGEMENT — (INDIANAPOLIS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CULTIVATE WEALTH PARTNERS — (BROOMFIELD, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
DOW FAMILY OFFICE ADVISORY, LLC — (LAKEWOOD RANCH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
JQL WEALTH — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BODEN WEALTH — (LEMOYNE, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
LAS OLAS CAPITAL WEALTH LLC — (FORT LAUDERDALE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
SOONER PRIVATE FINANCIAL LLC — (SALEM, NH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
REA FINANCIAL — (ORLANDO, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TELOS PARTNERS LLC — (AVON, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
TAO PRIVATE WEALTH, LLC — (TULSA, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MEADOWCREST WEALTH MANAGEMENT — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
GREG JENNINGS, LLC — (DEWITT, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
AMALTASH ADVISORS — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
JM FINANCIAL PRIVATE WEALTH, INC. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
LIONHUNTER CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SAHARA INVESTMENT GROUP — (LAS VEGAS, NV) is newly SEC-registered (provisional 120-day approval) with $52.6M RAUM and 5 advisory reps. IAPD ↗
95
FAIRLEAD STRATEGIES LLC — (GREENWICH, CT) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
CAMBIER CAPITAL, LLC — (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
FACTORPOINT PLANNING, LLC — (PITTSFORD, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
FACTORY CAPITAL — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
HYCO RIVER INVESTMENTS, INCORPORATED — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
PRAIRIE VIEW WEALTH PARTNERS LLC — (SIOUX FALLS, SD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
STONE OAK CAPITAL LLC — (ROCHESTER, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
UPSTATE ADVISERS INC — (PITTSFORD, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
GIBERT WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
QUEEQUEG & MUNGER, LLC — (FESTUS, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
QUEST WEALTH SOLUTIONS, INC. — (MANSFIELD, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ADAMS ADVISORY SERVICES, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
CAPITAL INVESTMENT COUNSEL INC — crossed $1B in regulatory AUM ($889.4M -> $1.02B). IAPD ↗
85
WILLIAM MACK & ASSOCIATES INC — crossed $1B in regulatory AUM ($820.4M -> $1.03B). IAPD ↗
85
JOHN MOORE & ASSOCIATES INC — crossed $1B in regulatory AUM ($970.2M -> $1.03B). IAPD ↗
85
ARQ WEALTH ADVISORS, LLC — crossed $1B in regulatory AUM ($844.3M -> $1.11B). IAPD ↗
85
SEQUENT ASSET MANAGEMENT, LLC — crossed $1B in regulatory AUM ($972.7M -> $1.06B). IAPD ↗
85
ENCLAVE ADVISORS, LLC — crossed $1B in regulatory AUM ($983.1M -> $1.10B). IAPD ↗
85
WEALTHSPIRE ADVISORS — grew from 195 to 220 advisory reps. IAPD ↗
85
ONEDIGITAL — grew from 333 to 367 advisory reps. IAPD ↗
80
LYNX INVESTMENT ADVISORY, LLC — grew from 0 to 10 advisory reps. IAPD ↗
77
VESTWELL ADVISORS LLC — grew from 23 to 30 advisory reps. IAPD ↗
76
SANCTUARY ADVISORS, LLC — grew from 380 to 386 advisory reps. IAPD ↗
75
PLANCORP, LLC — grew from 43 to 48 advisory reps. IAPD ↗
75
TRIBUTARY CAPITAL MANAGEMENT, LLC — grew from 8 to 13 advisory reps. IAPD ↗
75
THEPARTNERS WEALTH MANAGEMENT — grew from 31 to 36 advisory reps. IAPD ↗
75
HOBE MOUNTAIN CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
74
LINDEN THOMAS ADVISORY SERVICES, LLC — grew from 4 to 8 advisory reps. IAPD ↗
73
SECURE INVESTMENT MANAGEMENT, LLC — grew from 12 to 20 advisory reps. IAPD ↗
73
ARQ WEALTH ADVISORS, LLC — grew from 6 to 9 advisory reps. IAPD ↗
73
BESPOKE ADVISORY — grew from 4 to 9 advisory reps. IAPD ↗
73
ARSENAL CAPITAL ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
73
AHAKISTA CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
73
STOREN FINANCIAL — 's provisional registration is now fully approved. IAPD ↗
73
STONEBRIDGE FINANCIAL GROUP — 's provisional registration is now fully approved. IAPD ↗
73
REVEL WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
73
LRZ CAPITAL LLC — now reports 2 private fund(s) ($369.8M gross). IAPD ↗
72
KIMELMAN & BAIRD, LLC — grew from 4 to 6 advisory reps. IAPD ↗
72
MARK ASSET MANAGEMENT LP — grew from 5 to 7 advisory reps. IAPD ↗
72
JOHN MOORE & ASSOCIATES INC — grew from 7 to 9 advisory reps. IAPD ↗
72
STONECREST ADVISORS, INC. — grew from 20 to 24 advisory reps. IAPD ↗
72
PENSION & WEALTH MANAGEMENT ADVISORS — grew from 5 to 9 advisory reps. IAPD ↗
71
FLOWER CITY CAPITAL LLC — grew from 3 to 6 advisory reps. IAPD ↗
71
WEST RIDGE ADVISORS — grew from 10 to 13 advisory reps. IAPD ↗
71
SAND CREEK CAPITAL, LLC — grew from 5 to 8 advisory reps. IAPD ↗
70
DESTINATION WEALTH MANAGEMENT — now reports custody of client assets ($371.2M). IAPD ↗
70
NORTH PIER FIDUCIARY MANAGEMENT, LLC — now reports custody of client assets ($8.6M). IAPD ↗
70
RED OAK FINANCIAL GROUP — now reports custody of client assets ($197.8M). IAPD ↗
70
MIDLAND WEALTH MANAGEMENT — now reports custody of client assets ($3.10B). IAPD ↗
70
RYAN INVESTMENTS — grew from 2 to 4 advisory reps. IAPD ↗
70
FAITH INVESTOR SERVICES — grew from 4 to 6 advisory reps. IAPD ↗
70
FIDUCIARY CAPITAL MANAGEMENT LLC — grew from 1 to 6 advisory reps. IAPD ↗
70
CLOUT CAPITAL — 's provisional registration is now fully approved. IAPD ↗
70
LINCOLN PARK CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
IGW ADVISORY INVESTMENT MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
70
INGOT FINANCE — 's provisional registration is now fully approved. IAPD ↗
70
SIMCO FINANCIAL — 's provisional registration is now fully approved. IAPD ↗
70
RISE NORTH CAPITAL INVESTMENT ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
SAUL WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
LEO WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
SAVILE CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
70
COLAB CAPITAL — 's provisional registration is now fully approved. IAPD ↗
70
MANHATTAN WEALTH MANAGEMENT GROUP — 's provisional registration is now fully approved. IAPD ↗
70
R2 WEALTH MANAGEMENT PARTNERS — 's provisional registration is now fully approved. IAPD ↗
70
YOUR IA, LLC — 's provisional registration is now fully approved. IAPD ↗
70
MARY & PIP — 's provisional registration is now fully approved. IAPD ↗
70
BRIGHT ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
PULLIAM FAMILY OFFICE, LLC — 's provisional registration is now fully approved. IAPD ↗
70
IMPERITY WEALTH ALLIANCE LLC — 's provisional registration is now fully approved. IAPD ↗
70
MFT WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
TECTONIC CAPITAL ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
L&S PRIVATE WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
70
PIEDMONT WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
SL CAPITAL — now reports 1 private fund(s) ($7.4M gross). IAPD ↗
69
IBN ADVISORY SERVICES, INC. — grew from 4 to 8 advisory reps. IAPD ↗
68
WESTWIND CAPITAL — now reports custody of client assets ($216.9M). IAPD ↗
68
GLASS WEALTH MANAGEMENT CO., LLC — now reports custody of client assets ($60.8M). IAPD ↗
68
BRIGHT WEALTH MANAGEMENT, LLC — now reports custody of client assets ($69.8M). IAPD ↗
68
NATIONAL WEALTH MANAGEMENT GROUP, LLC — now reports custody of client assets ($935,150). IAPD ↗
68
FAITH INVESTOR SERVICES — now reports custody of client assets ($52,085). IAPD ↗
68
GENERATIONAL PRIVATE WEALTH — now reports custody of client assets ($184.1M). IAPD ↗
68
RAINIER FAMILY WEALTH, INC. — now reports custody of client assets ($308.7M). IAPD ↗
68
STONEBRIDGE FINANCIAL GROUP — now reports custody of client assets ($75.7M). IAPD ↗
68
REVEL WEALTH MANAGEMENT — now reports custody of client assets ($3.0M). IAPD ↗
68
MADISON GLOBAL ADVISORS LLC — grew from 5 to 8 advisory reps. IAPD ↗
67
OLDFIELD WEALTH PARTNERS — grew from 1 to 3 advisory reps. IAPD ↗
67
IGW ADVISORY INVESTMENT MANAGEMENT LLC — grew from 2 to 4 advisory reps. IAPD ↗
65
MEYER GATES FINANCIAL ADVISORS, INC — now reports custody of client assets ($30.5M). IAPD ↗
65
GOLDEN K PLANS AND WEALTH MANAGEMENT A DBA OF GOLDEN K WEALTH MG — now reports custody of client assets ($2.5M). IAPD ↗
65
SUMMIT WEALTH MANAGEMENT GROUP, INC. — now reports custody of client assets ($14.4M). IAPD ↗
65
COLUCCI WEALTH MANAGEMENT LLC — now reports custody of client assets ($80.8M). IAPD ↗
65
MADSON WEALTH ADVISORS INC. — now reports custody of client assets ($4.0M). IAPD ↗
65
PULLIAM FAMILY OFFICE, LLC — now reports custody of client assets ($345,898). IAPD ↗
65
IMPERITY WEALTH ALLIANCE LLC — now reports custody of client assets ($6.1M). IAPD ↗
65
SCHULZ FINANCIAL GROUP — now reports custody of client assets ($325,042). IAPD ↗
65
KIN STEWARDS LLC — now reports custody of client assets. IAPD ↗
65
WEALTHSPIRE ADVISORS — began participating in a wrap-fee program. IAPD ↗
63
CAPITAL INVESTMENT ADVISORS — began participating in a wrap-fee program. IAPD ↗
63
ALMANACK INVESTMENT PARTNERS — began participating in a wrap-fee program. IAPD ↗
60
WILLOW PARTNER ADVISORS, LLC — began participating in a wrap-fee program. IAPD ↗
60
IMPERITY WEALTH ALLIANCE LLC — began participating in a wrap-fee program. IAPD ↗
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 8 (276 -> 284). IAPD ↗
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 4 (199 -> 203). IAPD ↗
55
AMERIPRISE FINANCIAL SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 1 (242 -> 243). IAPD ↗
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 14 (352 -> 366). IAPD ↗
55
ROBERT W. BAIRD & CO. INCORPORATED — 's Item 11 disclosure-reporting entries rose by 1 (25 -> 26). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 4 (644 -> 648). IAPD ↗
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 3 (130 -> 133). IAPD ↗
55
ONEDIGITAL — 's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 3 (130 -> 133). IAPD ↗
55
HIGHTOWER ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗
55
CARNEGIE INVESTMENT COUNSEL — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
RICHARD BERNSTEIN ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
55
FOCUS PARTNERS WEALTH, LLC — 's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗
55
ALLY INVEST ADVISORS — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
55
GIBBS WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (3 -> 5). IAPD ↗
55
KESTRA ADVISORY SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 2 (22 -> 24). IAPD ↗
55
CALYDON CAPITAL, LLC — 's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
55
EASTERLY INVESTMENT PARTNERS LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
MORAN WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
55
CONCURRENT INVESTMENT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
UNITED ADVISOR GROUP — 's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
55
THE RETIREMENT PLANNING GROUP, LLC — notice-filed in AL, DC, DE, MS, MT, ND, NH, VT, WV. IAPD ↗
55
ARQ WEALTH ADVISORS, LLC — notice-filed in ID, IN, MA, MI, NV. IAPD ↗
55
APOLLON FINANCIAL, LLC — notice-filed in DC, DE, LA, MA, NE, TN. IAPD ↗
55
COREVISION FINANCIAL GROUP — notice-filed in AL, AR, MI, NC, VA. IAPD ↗
53
PVG ASSET MANAGEMENT CORP — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
53
PHYSICIAN FAMILY FINANCIAL ADVISORS INC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
53
NORTH PIER FIDUCIARY MANAGEMENT, LLC — notice-filed in CA, NV, TX, UT. IAPD ↗
53
MOMENTUM ADVISORS — notice-filed in GA, LA, MA, NC, PA, TX. IAPD ↗
53
CLARK ASSET MANAGEMENT, LLC — notice-filed in HI, NE, OR, SC. IAPD ↗
53
GADDIS PREMIER WEALTH ADVISORS LLC — notice-filed in AR, CA, GA, MN, MO. IAPD ↗
53
ALPHA ZERO LLC — notice-filed in CA, GA, LA, NC, OH, VA, WA. IAPD ↗
53
SAND CREEK CAPITAL, LLC — notice-filed in CA, GA, LA, MT, NH, WA. IAPD ↗
53
STONEBRIDGE FINANCIAL GROUP — notice-filed in AZ, CO, CT, FL, GA, IL, IN, MA, MI, MO, NC, NJ, NV, NY, OR, PA, TN, TX, UT, VA, WA. IAPD ↗
51
WESCOTT FINANCIAL ADVISORY GROUP LLC — notice-filed in IL, SC, WA. IAPD ↗
51
ALTUS WEALTH MANAGEMENT, LLC — notice-filed in FL, NY, TN, TX. IAPD ↗
51
KINTRA WEALTH, LLC — notice-filed in GA, MA, MI. IAPD ↗
50
IBN FINANCIAL SERVICES, INC — 's Item 11 disclosure-reporting entries rose by 2 (9 -> 11). IAPD ↗
50
SAUBERAN & COMPANY, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
50
LAIDLAW WEALTH MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
50
ZERO DAY CAPITAL ENTERPRISES LLC — 's Item 11 disclosure-reporting entries rose by 3 (4 -> 7). IAPD ↗
50
AXIOM INVESTMENT MANAGEMENT LLC — notice-filed in AZ, DE, NM, NV, SD, WI. IAPD ↗
50
M1 ADVISORY — 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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
50
UHY WEALTH MANAGEMENT RIA LLC — notice-filed in AK, AL, AR, AZ, CA, CO, CT, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, 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
ASCENT ADVISORS — notice-filed in CA, FL, IL, NE, TX, WA. IAPD ↗
50
RISE NORTH CAPITAL INVESTMENT ADVISORS — notice-filed in GA, ME, MN, NC, NE, NY, OH, RI, SC, TN, UT, WI. IAPD ↗
50
PARROT FINANCE, INC. — notice-filed in AK, AL, AR, AZ, 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, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
50
PRAIRIE ADVISORY, LLC — notice-filed in CA, FL, LA, MO, NE. IAPD ↗
50
FIDUCIARY CAPITAL MANAGEMENT LLC — notice-filed in ID, IN, NC, OH, PR, UT. IAPD ↗
49
BRIGHTON SECURITIES CORP. — notice-filed in DE, VT, WI. IAPD ↗
49
PINNACLE ADVISORS — notice-filed in LA, MA. IAPD ↗
49
PROVIDENT TRUST COMPANY — notice-filed in NC, NY. IAPD ↗
49
TRIBUTARY CAPITAL MANAGEMENT, LLC — notice-filed in KS, MO. IAPD ↗
49
ANNEX WEALTH MANAGEMENT, LLC — notice-filed in AR, WY. IAPD ↗
49
TREBUCHET CONSULTING, LLC — notice-filed in LA, WA. IAPD ↗
49
KEY CAPITAL MANAGEMENT, INC. — notice-filed in CO, IN, MI. IAPD ↗
49
HEIRLOOM WEALTH MANAGEMENT LLC — notice-filed in LA, WI. IAPD ↗
49
ASPIRE CAPITAL ADVISORS LLC — notice-filed in MD, NJ. IAPD ↗
49
ACCRETIVE WEALTH PARTNERS, LLC — notice-filed in MA, NC, VA. IAPD ↗
49
KWB WEALTH — notice-filed in MO, NC. IAPD ↗
49
AMERICANA PARTNERS, LLC — notice-filed in DE, PA. IAPD ↗
49
MADISON PARTNERS — notice-filed in CT, GA. IAPD ↗
49
BLUEPRINT FINANCIAL ADVISORS — notice-filed in CO, ID, UT. IAPD ↗
49
ENTREWEALTH — notice-filed in IA, MI, NJ. IAPD ↗
49
REVEL WEALTH MANAGEMENT — notice-filed in CA, NY, TX. IAPD ↗
48
KEENAN FINANCIAL — notice-filed in DC, KS, MO, MS. IAPD ↗
48
CASTLE ISLAND WEALTH — notice-filed in CA, LA, NE, NY. IAPD ↗
48
PROXY WEALTH ADVISORS LLC — notice-filed in MS, OH, OK, TN. IAPD ↗
47
LINCOLN INVESTMENT — notice-filed in WY. IAPD ↗
47
ASSOCIATED INVESTMENT SERVICES, INC. — notice-filed in NH. IAPD ↗
47
PACKERLAND BROKERAGE SERVICES, INC. — notice-filed in PR. IAPD ↗
47
RMC INVESTMENT ADVISORS — notice-filed in NJ. IAPD ↗
47
PRIVATE MANAGEMENT GROUP INC — notice-filed in AL. IAPD ↗
47
SIGMA INVESTMENT COUNSELORS — notice-filed in NJ. IAPD ↗
47
DOMINION PORTFOLIO MANAGEMENT, INC. — notice-filed in KY, SC. IAPD ↗
47
J.W.BURNS & COMPANY, INC. — notice-filed in AZ. IAPD ↗
47
ECLECTIC ASSOCIATES, INC. — notice-filed in NY. IAPD ↗
47
XPONANCE LLC — notice-filed in CA. IAPD ↗
47
LYNX INVESTMENT ADVISORY, LLC — notice-filed in NH. IAPD ↗
47
PLANTE MORAN FINANCIAL ADVISORS — notice-filed in NM. IAPD ↗
47
NORTH STAR INVESTMENT MANAGEMENT CORPORATION — notice-filed in LA. IAPD ↗
47
PINKERTON WEALTH PARTNERS — notice-filed in NE. IAPD ↗
47
TFO WEALTH PARTNERS — notice-filed in HI. IAPD ↗
47
VALEO FINANCIAL ADVISORS, LLC — notice-filed in ID. IAPD ↗
47
ROCKWOOD WEALTH MANAGEMENT, LLC — notice-filed in GA. IAPD ↗
47
HIGHTOWER ADVISORS, LLC — notice-filed in VI. IAPD ↗
47
C2 PRIVATE WEALTH — notice-filed in OR. IAPD ↗
47
RED DOOR WEALTH MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
47
PETTINGA FINANCIAL ADVISORS, LLC — notice-filed in SC. IAPD ↗
47
CAPITAL WEALTH MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
47
THREE BELL CAPITAL LLC — notice-filed in NV. IAPD ↗
47
SAVOIE CAPITAL LLC — notice-filed in IL. IAPD ↗
47
OAKTREE ADVISORS LLC — notice-filed in NJ, SC. IAPD ↗
47
OCCIDENTAL ASSET MANAGEMENT, LLC — notice-filed in CT. IAPD ↗
47
DRIVE WEALTH ADVISERS — notice-filed in NC. IAPD ↗
47
ALMANACK INVESTMENT PARTNERS — notice-filed in DE, TN. IAPD ↗
47
STANCE CAPITAL LLC — notice-filed in DC, MD. IAPD ↗
47
SEPIO CAPITAL, LP — notice-filed in AR. IAPD ↗
47
PARKSIDE INVESTMENTS, LLC — notice-filed in GA. IAPD ↗
47
BRENDEL FINANCIAL ADVISORS LLC — notice-filed in CT, RI. IAPD ↗
47
KPP ADVISORY SERVICES LLC — notice-filed in NV. IAPD ↗
47
HIGH PROBABILITY ADVISORS, LLC — notice-filed in MA. IAPD ↗
47
BRIO FINANCIAL GROUP — notice-filed in PA. IAPD ↗
47
ROOT FINANCIAL PARTNERS — notice-filed in UT. IAPD ↗
47
VAN CLEMENS WEALTH MANAGEMENT, LLC — notice-filed in AR, MO. IAPD ↗
47
MACH-1 FINANCIAL GROUP, LLC — notice-filed in GA, KY. IAPD ↗
47
EVOKE ADVISORS — notice-filed in NH. IAPD ↗
47
ECIO, INC. — notice-filed in CO, NY. IAPD ↗
47
LOFTIN WEALTH PARTNERS — notice-filed in IL, VA. IAPD ↗
47
GREAT WATERS FINANCIAL — notice-filed in IL. IAPD ↗
47
MARIPAU WEALTH MANAGEMENT LLC — notice-filed in AZ, PA. IAPD ↗
47
TFB ADVISORS, LLC — notice-filed in LA, MD. IAPD ↗
47
BUCK WEALTH STRATEGIES, LLC — notice-filed in NH. IAPD ↗
47
ATLANTIC EDGE PRIVATE WEALTH MANAGEMENT — notice-filed in NC, TX. IAPD ↗
47
KAI WEALTH LLC — notice-filed in AZ, TX. IAPD ↗
47
ECHELON GROUP — notice-filed in OR, WA. IAPD ↗
47
THRYVE WEALTH MANAGEMENT — notice-filed in HI, WA. IAPD ↗
46
INTERCAROLINA FINANCIAL SERVICES, INC. — notice-filed in IL, VA, WA. IAPD ↗
46
NAVIGO WEALTH MANAGEMENT, LLC — notice-filed in AL, LA, OK. IAPD ↗
46
SECOND HALF FINANCIAL PARTNERS, LLC — notice-filed in LA, NH, TN. IAPD ↗
46
PENSERRA WEALTH MANAGEMENT — notice-filed in AZ, MI, WA. IAPD ↗
45
UNITED BROKERAGE SERVICES INC — notice-filed in TN. IAPD ↗
45
PLANNED SOLUTIONS, INC. — notice-filed in CO. IAPD ↗
45
PVG ASSET MANAGEMENT CORP — notice-filed in IN. IAPD ↗
45
MWA FINANCIAL SERVICES, INC. — notice-filed in RI. IAPD ↗
45
KANE COMPANY WEALTH MANAGEMENT, INC. — notice-filed in CA. IAPD ↗
45
EATON-CAMBRIDGE INC. — notice-filed in NY. IAPD ↗
45
IFC PERSONAL MONEY MANAGERS, INC. — notice-filed in LA. IAPD ↗
45
FRISCH FINANCIAL GROUP, INC. — notice-filed in OK. IAPD ↗
45
HOGANTAYLOR WEALTH — notice-filed in MO. IAPD ↗
45
CAPITAL TRUST ADVISORS — notice-filed in NH. IAPD ↗
45
ATWATER MALICK — notice-filed in NH. IAPD ↗
45
GUIDESTREAM FINANCIAL, INC. — notice-filed in NE. IAPD ↗
45
LATITUDE ADVISORS, LLC — notice-filed in WA. IAPD ↗
45
MINICHMACGREGOR WEALTH MANAGEMENT, LLC — notice-filed in PA. IAPD ↗
45
CORE PLANNING — notice-filed in MD. IAPD ↗
45
OLD PEAK FINANCE — notice-filed in MA. IAPD ↗
45
SEQUENT PLANNING, LLC — notice-filed in AR. IAPD ↗
45
PACIFIC CAPITAL ASSOCIATES — notice-filed in AZ. IAPD ↗
45
MD FINANCIAL ADVISORS / VESTMENT FINANCIAL — notice-filed in MI. IAPD ↗
45
MBM WEALTH CONSULTANTS, LLC — notice-filed in IA. IAPD ↗
45
ONE DEGREE ADVISORS, INC. — notice-filed in FL. IAPD ↗
45
WRENNE FINANCIAL PLANNING LLC — notice-filed in KS. IAPD ↗
45
LONG ISLAND WEALTH MANAGEMENT, INC. — notice-filed in TX. IAPD ↗
45
BLUE WATER ASSET MANAGEMENT — notice-filed in OH. IAPD ↗
45
LEADING EDGE FINANCIAL PLANNING LLC — notice-filed in OH. IAPD ↗
45
GREAT OAK CAPITAL PARTNERS, LLC — notice-filed in CA. IAPD ↗
45
WYNN CAPITAL — notice-filed in VA. IAPD ↗
45
DUDLEY CAPITAL MANAGEMENT LLC — notice-filed in NH. IAPD ↗
45
COPLEY FINANCIAL GROUP, INC. — notice-filed in CT. IAPD ↗
45
MILESTONE FINANCIAL PLANNING, LLC — notice-filed in NY. IAPD ↗
45
SUNBURST FINANCIAL GROUP, LLC — notice-filed in PA. IAPD ↗
45
RELEVE FINANCIAL GROUP — notice-filed in NJ. IAPD ↗
45
IAMS WEALTH MANAGEMENT, LLC — notice-filed in AR. IAPD ↗
45
ELITE FINANCIAL, INC. — notice-filed in HI. IAPD ↗
45
VILLAGE WEALTH ADVISORS — notice-filed in KS. IAPD ↗
45
KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC. — notice-filed in NH. IAPD ↗
45
BLUEDOOR PRIVATE WEALTH, LLC — notice-filed in OR. IAPD ↗
45
CAYSIDE PARTNERS — notice-filed in TX. IAPD ↗
45
RETIRE AGILE — notice-filed in CO. IAPD ↗
45
NAVIGATE 401K, LLC — notice-filed in TN. IAPD ↗
45
ROSEMEYER MANAGEMENT GROUP — notice-filed in MT. IAPD ↗
45
GREENUP STREET WEALTH MANAGEMENT LLC — notice-filed in AK. IAPD ↗
45
WEST WEALTH GROUP, LLC — notice-filed in TN. IAPD ↗
45
PACE FINANCIAL ADVISORS — notice-filed in NC. IAPD ↗
45
AMERITY WEALTH MANAGEMENT, LLC — notice-filed in MN. IAPD ↗
45
ENCOMPASS MORE ASSET MANAGEMENT LLC — notice-filed in IA. IAPD ↗
45
SEVEN MILE ADVISORY LLC — notice-filed in MA. IAPD ↗
45
SYKON CAPITAL LLC — notice-filed in SC. IAPD ↗
45
ABOUND FINANCIAL — notice-filed in IN. IAPD ↗
45
RELATION WEALTH MANAGEMENT, INC. — notice-filed in FL. IAPD ↗
45
MOREY & QUINN WEALTH PARTNERS — notice-filed in IL. IAPD ↗
45
PRASAD WEALTH PARTNERS — notice-filed in LA. IAPD ↗
45
INFLECTION CAPITAL MANAGEMENT, LLC — notice-filed in OR. IAPD ↗
45
XCELSIOR ADVISOR PARTNERS LLC — notice-filed in MN. IAPD ↗
45
ASSET ONE WEALTH MANAGEMENT, LLC — notice-filed in CA. IAPD ↗
45
LIVET WEALTH, LLC — notice-filed in NV. IAPD ↗
44
PENSERRA GLOBAL INVESTORS LLC — notice-filed in AZ, MI. IAPD ↗
44
BAYNTREE WEALTH ADVISORS, LLC — notice-filed in IL, MD. IAPD ↗
44
AUREUM WEALTH MANAGEMENT, LLC — notice-filed in CA, PA. IAPD ↗
44
CYR FINANCIAL INC. — notice-filed in CA, NH. IAPD ↗
44
ETHOS CAPITAL MANAGEMENT, INC. — notice-filed in SC, TX. IAPD ↗
44
KAIYO WEALTH LLC — notice-filed in AZ, ID. IAPD ↗
44
DOMAIN MONEY ADVISORS, LLC — notice-filed in MT, VT. IAPD ↗
44
CROSSOVER CAPITAL — notice-filed in FL, NY. IAPD ↗
44
ZERO DAY CAPITAL ENTERPRISES LLC — notice-filed in NV, OR. IAPD ↗
44
YOUR IA, LLC — notice-filed in NJ, SC. IAPD ↗
44
VANDALIA WEALTH — notice-filed in PA, TX. IAPD ↗
42
FINANCIAL MANAGEMENT, INC. — notice-filed in TN. IAPD ↗
42
MILLENNIUM CAPITAL ADVISORS, LLC — notice-filed in NH. IAPD ↗
42
ADVISOR FINANCIAL SERVICES, INC. — notice-filed in FL. IAPD ↗
42
PHASE III ADVISORY SERVICES, LTD — notice-filed in GA. IAPD ↗
42
PASNAU INVESTMENT MANAGEMENT, INC. — notice-filed in NY. IAPD ↗
42
KEYSTONE FINANCIAL GROUP, INC. — notice-filed in AL. IAPD ↗
42
FINANCIAL SOLUTIONS ASSOCIATES — notice-filed in VA. IAPD ↗
42
MOORE FINANCIAL ADVISORS, LTD. — notice-filed in NH. IAPD ↗
42
WALLENDER, TIMOTHY JOSEPH — notice-filed in TX. IAPD ↗
42
SECURE INVESTMENT MANAGEMENT, LLC — notice-filed in NY. IAPD ↗
42
FORTRESS FINANCIAL SOLUTIONS, LLC — notice-filed in NY. IAPD ↗
42
KEEN CAPITAL, LTD — notice-filed in FL. IAPD ↗
42
SUMMA GLOBAL ADVISORS, LLC — notice-filed in NY. IAPD ↗
42
QUEST 10 WEALTH BUILDERS, INC. — notice-filed in PA. IAPD ↗
42
OAKMONT ADVISORY GROUP, LLC — notice-filed in LA. IAPD ↗
42
TIMMONS WEALTH MANAGEMENT — notice-filed in CA. IAPD ↗
42
MEIXLER INVESTMENT MANAGEMENT, LTD. — notice-filed in CO. IAPD ↗
42
COASTAL WEALTH ADVISORS, LLC — notice-filed in TN. IAPD ↗
42
BLACKRIDGE ASSET MANAGEMENT, LLC — notice-filed in WV. IAPD ↗
42
APTUS FINANCIAL, LLC — notice-filed in AZ. IAPD ↗
42
FLORENCE CAPITAL ADVISORS, LLC — notice-filed in DE. IAPD ↗
42
SYMPHONY WEALTH MANAGEMENT — notice-filed in MO. IAPD ↗
42
Q3 ADVISORS, LLC — notice-filed in SD. IAPD ↗
42
CARMANDALIAN FINANCIAL GROUP, LLC — notice-filed in AZ. IAPD ↗
42
BOLDIN ADVISORS — notice-filed in NM. IAPD ↗
42
CWM ADVISORY, LLC — notice-filed in FL. IAPD ↗
42
THREE SIXTY WEALTH MANAGEMENT, LLC — notice-filed in NJ. IAPD ↗
42
ABUNDO WEALTH — notice-filed in MT. IAPD ↗
42
FORM PROSPERITY WEALTH ADVISORS, LLC — notice-filed in LA. IAPD ↗
42
WINTER & ASSOCIATES, INC. — notice-filed in WI. IAPD ↗
42
DALE Q. RICE INVESTMENT MANAGEMENT — notice-filed in NV. IAPD ↗
42
NETWORTH ADVISORS, LLC — notice-filed in FL. IAPD ↗
42
NORTHSTAR INVESTMENT ADVISORY LLC — notice-filed in AK. IAPD ↗
42
SCHERER FINANCIAL ADVISORY SERVICES, LLC — notice-filed in NH. IAPD ↗
42
SOLID POINT WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
42
BLAKELY WALTERS WEALTH MANAGEMENT — notice-filed in NC. IAPD ↗
42
CAIRN FINANCIAL PLANNING — notice-filed in TX. IAPD ↗
42
WAYSTONE ADVISORS LLC — notice-filed in NJ. IAPD ↗
42
POINT NEMO CAPITAL, LLC — notice-filed in VA. IAPD ↗
42
INNOVATIVE FAMILY OFFICE LLC — notice-filed in FL. IAPD ↗
42
EAGLE'S CREST ADVISORS, LLC — notice-filed in FL. IAPD ↗
42
SLEDGE AND COMPANY WEALTH ADVISORS — notice-filed in TX. IAPD ↗
42
SAVILE CAPITAL MANAGEMENT LLC — notice-filed in PR. IAPD ↗
42
TUTTLE WEALTH PARTNERS LLC — notice-filed in NY. IAPD ↗
42
PULLIAM FAMILY OFFICE, LLC — notice-filed in TX. IAPD ↗
42
ADVISORY SOLUTIONS GROUP — notice-filed in NJ. IAPD ↗
42
EXCEPTIONAL WEALTH & FAMILY OFFICE — notice-filed in CA. IAPD ↗
40
PROTOCOL WEALTH, LLC — filed an Item 4A succession naming PROTOCOL WEALTH, LLC (CRD 335298) — an entity change, not a deal. IAPD ↗
85
FULCRUM EQUITY PARTNERS, INC. — (ATLANTA, GA) is newly SEC-registered with $1.16B RAUM and 16 advisory reps. IAPD ↗fund
85
EVERKEY FINANCIAL LLC — (KATY, TX) is newly SEC-registered with $10.6M RAUM and 1 advisory reps. IAPD ↗institutional
85
PLH FAMILY OFFICE, LLC — (GARDEN CITY, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
FAMILY OFFICE INVESTMENT ADVISORY LLC — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
85
GCM GROSVENOR WEALTH L.P. — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 166 advisory reps. IAPD ↗institutional
85
GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗institutional
85
WORTH CHARTING LLC — (NEW YORK, NY) is newly SEC-registered with $2.5M RAUM and 2 advisory reps. IAPD ↗institutional
85
FOURNORTH CAPITAL LLC — (WEST CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
GLD ADVISORS, LLC — (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
COOLABAH INVESTMENT MANAGEMENT (USA) INC — (MIAMI, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
HARBOURVEST REGISTERED ADVISERS II — (BOSTON, MA) is newly SEC-registered with $0 RAUM and 296 advisory reps. IAPD ↗institutional
85
VANGUARD ALTERNATIVE ASSETS ADVISER, LLC — (MALVERN, PA) is newly SEC-registered with $0 RAUM and 25 advisory reps. IAPD ↗institutional
85
SKYLAR CAPITAL MANAGEMENT LP — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
WILLIAM RAVEIS - MORAN WEALTH MANAGEMENT, LLC — (NAPLES, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
BANCREEK CAPITAL STRATEGIES, LLC — (SANTA MONICA, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
DX ADVISORS LLC — (LAS VEGAS, NV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
83
OCA VENTURES, LLC — (CHICAGO, IL) is newly SEC-registered with $316.4M RAUM and 15 advisory reps. IAPD ↗fund
83
SCIENS WATER — (NEW YORK, NY) is newly SEC-registered with $743.5M RAUM and 9 advisory reps. IAPD ↗fund
83
THE O.H.I.O. FUND — (CLEVELAND, OH) is newly SEC-registered with $474.6M RAUM and 4 advisory reps. IAPD ↗fund
83
LEGEIS CAPITAL ADVISORS, LLC — (GREAT NECK, NY) is newly SEC-registered with $497.4M RAUM and 1 advisory reps. IAPD ↗fund
83
VRM PENZINI CAPITAL L.L.C. — (SAN JUAN, PR) is newly SEC-registered with $269.2M RAUM and 3 advisory reps. IAPD ↗fund
83
ERA GLOBAL TECHNOLOGIES — (NEW YORK, NY) is newly SEC-registered with $259.9M RAUM and 2 advisory reps. IAPD ↗fund
83
MAGARIAN CAPITAL MANAGEMENT, LLC — (SAN ANTONIO, TX) is newly SEC-registered with $259.7M RAUM and 1 advisory reps. IAPD ↗fund
80
WEBER CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered with $120.2M RAUM and 1 advisory reps. IAPD ↗fund
80
GLC INVESTMENT ADVISORS, LLC — (location n/a) is newly SEC-registered with $245.9M RAUM and 1 advisory reps. IAPD ↗fund
80
MAP FUNDS MANAGEMENT, LLC — (MARBLEHEAD, MA) is newly SEC-registered with $25.8M RAUM and 1 advisory reps. IAPD ↗fund
80
KITTYHAWK VENTURES, LLC — (LOS ANGELES, CA) is newly SEC-registered with $184.0M RAUM and 1 advisory reps. IAPD ↗fund
80
ROPPEL CAPITAL MANAGEMENT LLC — (PARK RIDGE, IL) is newly SEC-registered with $231.5M RAUM and 2 advisory reps. IAPD ↗fund
80
IG BETTER FUTURE MANAGEMENT, LLC — (MENLO PARK, CA) is newly SEC-registered with $128.3M RAUM and 4 advisory reps. IAPD ↗fund
80
GRAPHENE CAPITAL MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $238.1M RAUM and 9 advisory reps. IAPD ↗fund
80
FLATIRON FUND MANAGEMENT LP — (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $27.3M RAUM and 2 advisory reps. IAPD ↗fund
80
CHANGE FORCES — (PORTOLA VALLEY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
80
ACCESS REAL ESTATE, LLC — (LOUISVILLE, KY) is newly SEC-registered with $63.4M RAUM and 1 advisory reps. IAPD ↗fund
80
ARÈNE CAPITAL MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $13.0M RAUM and 4 advisory reps. IAPD ↗fund
80
SOUTHPAW CP MANAGER LP — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
80
MBX INVESTORS LLC — (FARMINGTON HILLS, MI) is newly SEC-registered with $224.6M RAUM and 2 advisory reps. IAPD ↗fund
80
A.G.P. ASSET MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $144.5M RAUM and 2 advisory reps. IAPD ↗fund
80
CALLODINE STRATEGIC CREDIT FUND III MANAGEMENT, LLC — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗fund
80
DS2 CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
80
ACCUMULATOR OPERATIONS LLC — (CORAL GABLES, FL) is newly SEC-registered with $148.4M RAUM and 8 advisory reps. IAPD ↗fund
80
CLEVELAND CAPITAL MANAGEMENT, L.L.C. — (ROCKY RIVER, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗fund
75
75
75
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS — grew from 75 to 153 advisory reps. IAPD ↗institutional
70
68
EDGEWORTH CAPITAL PTY LTD — (BONDI JUNCTION, NEW SOUTH WALES, Australia) is newly SEC-registered with $330.9M RAUM and 2 advisory reps. IAPD ↗foreign
68
TIMEFOLIO ASSET MANAGEMENT SINGAPORE PTE. LTD. — (SINGAPORE, SINGAPORE, Singapore) is newly SEC-registered with $965.9M RAUM and 5 advisory reps. IAPD ↗foreign
65
ARTHSCIENCE CAPITAL — (MUMBAI, MAHARASHTRA, India) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
65
ALERA MANAGEMENT PARTNERS — (BUENOS AIRES, Argentina) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
63
61
60
60
60
60
HURRICANE ADVISOR SOLUTIONS — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
60
58
58
58
58
58
58
56
55
SCHRODER WEALTH MANAGEMENT (US) LIMITED — crossed $1B in regulatory AUM ($922.4M -> $1.40B). IAPD ↗foreign
55
55
55
55
GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC — now reports 3 private fund(s) ($155.4M gross). IAPD ↗fund
53
53
52
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 3 (130 -> 133). IAPD ↗institutional
45
INNOVATOR CAPITAL MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 28 (0 -> 28). IAPD ↗institutional
44
43
42
40
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 2 (708 -> 710). IAPD ↗institutional
40
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP — 's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗fund
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 1 (143 -> 144). IAPD ↗institutional
40
AXXES ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
40
AXXES ADVISORS I LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
40
INFINITE GIVING ADVISORY SERVICES, INC. — notice-filed in CT, DE, IA, MD, MI, MN, NV, OH, TN. IAPD ↗institutional
38
JGB CAPITAL MANAGEMENT L.P. — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
37
37
37
37
35
PHORCYS CAPITAL PARTNERS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗fund
35
35
35
34
34
32
32
30
30
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 3 (130 -> 133). IAPD ↗foreign
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (129 -> 132). IAPD ↗foreign
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (146 -> 149). IAPD ↗foreign
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 3 (132 -> 135). IAPD ↗foreign
25
SAMSUNG ASSET MANAGEMENT COMPANY, LTD. — 's Item 11 disclosure-reporting entries rose by 1 (22 -> 23). IAPD ↗foreign
25
PETERCAM INSTITUTIONAL ASSET MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 4 (19 -> 23). IAPD ↗foreign
23
12
Free page: firm, event, phone, website. The paid feed adds every window as CSV, filters by state and AUM band, and alerts the day the roster drops. Data: SEC Form ADV monthly roster; confirm on IAPD before acting.