Compliance — June 2026
Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).
543 firms opened this window in the June 2026 SEC roster: 219 state expansion, 154 new registration, 48 disclosure added, 47 pending approved, 25 headcount up, 24 custody started, 11 private funds started, 9 aum crossed 1b, 5 reorganization, 1 wrap program started.
98
PROFITS PLUS CAPITAL MANAGEMENT, LLC — (NAMPA, ID) is newly SEC-registered with $258.1M RAUM and 1 advisory reps. IAPD ↗
98
PRINCIPLED WEALTH ADVISORS, LLC — (COVINGTON, KY) is newly SEC-registered with $252.1M RAUM and 2 advisory reps. IAPD ↗
98
AG DILLON ASSET MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $262.0M RAUM and 1 advisory reps. IAPD ↗
98
VISTAMARK INVESTMENTS — (HINSDALE, IL) is newly SEC-registered with $317.2M RAUM and 4 advisory reps. IAPD ↗
98
REMEDIUM CAPITAL PARTNERS — (WEST PALM BEACH, FL) is newly SEC-registered with $319.0M RAUM and 1 advisory reps. IAPD ↗
98
BULLETPROOF CAPITAL, LLC — (CHICAGO, IL) is newly SEC-registered with $575.8M RAUM and 4 advisory reps. IAPD ↗
98
DAHER CAPITAL GROUP, LLC — (JUPITER, FL) is newly SEC-registered with $490.0M RAUM and 0 advisory reps. IAPD ↗
95
J K R & COMPANY, INC. — (VAN NUYS, CA) is newly SEC-registered with $136.3M RAUM and 5 advisory reps. IAPD ↗
95
DEMERS FINANCIAL PLANNING — (COLUMBUS, OH) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
95
PAVLIC INVESTMENT ADVISORS, INC. — (DELAFIELD, WI) is newly SEC-registered with $108.8M RAUM and 2 advisory reps. IAPD ↗
95
TABER ASSET MANAGEMENT L.L.C. — (location n/a) is newly SEC-registered with $110.0M RAUM and 3 advisory reps. IAPD ↗
95
QUALITY FINANCIAL CONCEPTS — (MARYVILLE, TN) is newly SEC-registered with $128.8M RAUM and 2 advisory reps. IAPD ↗
95
CW SECURITIES, LLC — (KNOXVILLE, TN) is newly SEC-registered with $113.5M RAUM and 1 advisory reps. IAPD ↗
95
NAYLOR & COMPANY — (location n/a) is newly SEC-registered with $103.4M RAUM and 4 advisory reps. IAPD ↗
95
KANOS CAPITAL MANAGEMENT, LLC — (HOUSTON, TX) is newly SEC-registered with $133.2M RAUM and 1 advisory reps. IAPD ↗
95
HARLOW CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered with $132.9M RAUM and 1 advisory reps. IAPD ↗
95
BRACKENWOOD CAPITAL MANAGEMENT, LLC — (BAINBRIDGE ISLAND, WA) is newly SEC-registered with $126.6M RAUM and 2 advisory reps. IAPD ↗
95
LANG & BECKER, INC. — (WASHINGTON, MO) is newly SEC-registered with $123.2M RAUM and 2 advisory reps. IAPD ↗
95
BLUE SKY INVESTMENT PARTNERS, INC. — (EVANSTON, IL) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
95
SUPERIOR FINANCIAL, LLC — (ROCHESTER, MN) is newly SEC-registered with $112.2M RAUM and 1 advisory reps. IAPD ↗
95
FRUGE' CAPITAL ADVISORS, LLC (FORMERLY OXFORD INVESTMENT ADV) — (OXFORD, MS) is newly SEC-registered with $141.2M RAUM and 2 advisory reps. IAPD ↗
95
CROSSPOINT CAPITAL MANAGEMENT — (ORINDA, CA) is newly SEC-registered with $118.0M RAUM and 2 advisory reps. IAPD ↗
95
EBERT CAPITAL MANAGEMENT INC. — (EUREKA, CA) is newly SEC-registered with $116.3M RAUM and 1 advisory reps. IAPD ↗
95
RWR INVESTMENTS LLC — (DALLAS, TX) is newly SEC-registered with $170.9M RAUM and 1 advisory reps. IAPD ↗
95
PATHFINDER PLANNING AND INVESTMENTS — (MISSOULA, MT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
QUABBIN ADVISORS — (AMHERST, MA) is newly SEC-registered with $109.8M RAUM and 1 advisory reps. IAPD ↗
95
CRAVENS BROTHERS PRIVATE WEALTH MANAGEMENT LLC — (DALLAS, TX) is newly SEC-registered with $139.3M RAUM and 2 advisory reps. IAPD ↗
95
MAR WEALTH MANAGEMENT SERVICES, LLC — (WEST PALM BEACH, FL) is newly SEC-registered with $125.1M RAUM and 3 advisory reps. IAPD ↗
95
BEYOND YOUR HAMMOCK LLC — (BOSTON, MA) is newly SEC-registered with $115.4M RAUM and 2 advisory reps. IAPD ↗
95
WISDOM WEALTH INVESTMENT ADVISORS LLC — (PHOENIX, AZ) is newly SEC-registered with $138.8M RAUM and 2 advisory reps. IAPD ↗
95
MILLENNIAL WEALTH ADVISORS — (location n/a) is newly SEC-registered with $146.0M RAUM and 2 advisory reps. IAPD ↗
95
J. L. PERKINS WEALTH MANAGEMENT, LLC — (MACON, GA) is newly SEC-registered with $142.2M RAUM and 2 advisory reps. IAPD ↗
95
CATUM ADVISORY GROUP, LLC. — (WILTON, CT) is newly SEC-registered with $128.6M RAUM and 2 advisory reps. IAPD ↗
95
WEALTHNEST CAPITAL INC. — (STATEN ISLAND, NY) is newly SEC-registered with $34.9M RAUM and 2 advisory reps. IAPD ↗
95
ONE LIFE FINANCIAL GROUP, INC. — (location n/a) is newly SEC-registered with $118.0M RAUM and 3 advisory reps. IAPD ↗
95
MCKINLEY FINANCIAL — (BROOKVILLE, PA) is newly SEC-registered with $117.2M RAUM and 4 advisory reps. IAPD ↗
95
TRINITY NECHES — (location n/a) is newly SEC-registered with $120.4M RAUM and 2 advisory reps. IAPD ↗
95
BSC CAPITAL PARTNERS, LLC — (WEST DES MOINES, IA) is newly SEC-registered with $125.8M RAUM and 3 advisory reps. IAPD ↗
95
LEDER FIDUCIARY CAPITAL LLC — (BELLAIRE, TX) is newly SEC-registered with $120.6M RAUM and 1 advisory reps. IAPD ↗
95
TIDAL CREEK CAPITAL ADVISORS — (BLUFFTON, SC) is newly SEC-registered with $126.0M RAUM and 4 advisory reps. IAPD ↗
95
RETIREMENT SOLUTIONS GROUP — (FRANKLIN, TN) is newly SEC-registered with $159.6M RAUM and 3 advisory reps. IAPD ↗
95
GLASS LAKES CAPITAL MANAGEMENT LLC — (OVERLAND PARK, KS) is newly SEC-registered with $178.3M RAUM and 2 advisory reps. IAPD ↗
95
GOLDMAN WEALTH MANAGEMENT — (SAN DIEGO, CA) is newly SEC-registered with $120.0M RAUM and 1 advisory reps. IAPD ↗
95
FIRST LIGHT WEALTH ADVISORS, LLC — (LITTLE FALLS, NJ) is newly SEC-registered with $116.3M RAUM and 2 advisory reps. IAPD ↗
95
APPROACH CAPITAL LLC — (location n/a) is newly SEC-registered with $100.0M RAUM and 1 advisory reps. IAPD ↗
95
PEARL WEALTH LLC — (location n/a) is newly SEC-registered with $129.9M RAUM and 1 advisory reps. IAPD ↗
95
GREENLINE WEALTH MANAGEMENT — (BOCA RATON, FL) is newly SEC-registered with $117.0M RAUM and 6 advisory reps. IAPD ↗
95
UYANA PARTNERS LLC — (MIAMI, FL) is newly SEC-registered with $115.0M RAUM and 6 advisory reps. IAPD ↗
95
COLUMBUS STREET WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $144.5M RAUM and 1 advisory reps. IAPD ↗
95
TOLLEY FINANCIAL GROUP, LLC — (RALEIGH, NC) is newly SEC-registered with $121.9M RAUM and 1 advisory reps. IAPD ↗
95
FAMILY WEALTH PARTNERS LLC — (MEDFORD, NJ) is newly SEC-registered with $130.9M RAUM and 2 advisory reps. IAPD ↗
95
TEMPLER WEALTH MANAGEMENT, LLC — (VIENNA, VA) is newly SEC-registered with $102.9M RAUM and 1 advisory reps. IAPD ↗
95
IM WEALTH PARTNERS — (BLUE BELL, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
TIDWELL WEALTH MANAGEMENT LLC — (ROCKLIN, CA) is newly SEC-registered with $116.7M RAUM and 3 advisory reps. IAPD ↗
95
BERGAMOT ASSET MANAGEMENT LP — (PRINCETON, NJ) is newly SEC-registered with $106.5M RAUM and 3 advisory reps. IAPD ↗
95
VANTAGE FINANCIAL GROUP — (AUBURN, CA) is newly SEC-registered with $118.6M RAUM and 4 advisory reps. IAPD ↗
95
RILEX CAPITAL LLC — (MANASQUAN, NJ) is newly SEC-registered with $124.3M RAUM and 1 advisory reps. IAPD ↗
95
JACKSON WEALTH MANAGEMENT, LLC — (CASTLE ROCK, CO) is newly SEC-registered with $107.0M RAUM and 1 advisory reps. IAPD ↗
95
MAINE ADVISORY ASSOCIATES — (FALMOUTH, ME) is newly SEC-registered with $116.5M RAUM and 2 advisory reps. IAPD ↗
95
PARAMOUNT WEALTH ADVISORS — (BUFFALO, NY) is newly SEC-registered with $37.6M RAUM and 2 advisory reps. IAPD ↗
95
DARK HORSE ADVISORS LLC — (location n/a) is newly SEC-registered with $181.7M RAUM and 5 advisory reps. IAPD ↗
95
PELICAN INVESTMENT ADVISORS, LLC — (BATON ROUGE, LA) is newly SEC-registered with $128.5M RAUM and 10 advisory reps. IAPD ↗
95
PERCENT ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered with $70.0M RAUM and 2 advisory reps. IAPD ↗
95
WOLFSTONE WEALTH — (location n/a) is newly SEC-registered with $110.3M RAUM and 1 advisory reps. IAPD ↗
95
PANTELES ADVISORS — (ARGYLE, TX) is newly SEC-registered with $108.2M RAUM and 4 advisory reps. IAPD ↗
95
MOMENT ADVISORS, LLC — (NEW YORK, NY) is newly SEC-registered with $56.3M RAUM and 3 advisory reps. IAPD ↗
95
ENSIGN ADVISORY PARTNERS LLC — (GILBERT, AZ) is newly SEC-registered with $101.0M RAUM and 3 advisory reps. IAPD ↗
95
SANCTUARY FINANCIAL PLANNING, LLC — (location n/a) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
95
TAX & INVESTMENT ADVISORS — (NEWBURYPORT, MA) is newly SEC-registered with $101.5M RAUM and 1 advisory reps. IAPD ↗
95
CASTFIRM ADVISORS LLC — (GARDEN CITY, NY) is newly SEC-registered with $30.0M RAUM and 3 advisory reps. IAPD ↗
95
VALLEY WEALTH MANAGEMENT — (OSHKOSH, WI) is newly SEC-registered with $111.5M RAUM and 1 advisory reps. IAPD ↗
95
CIRO CAPITAL LLC — (JERSEY CITY, NJ) is newly SEC-registered with $117.4M RAUM and 2 advisory reps. IAPD ↗
95
IHS WEALTH MANAGEMENT LLC — (OYSTER BAY, NY) is newly SEC-registered with $39.4M RAUM and 2 advisory reps. IAPD ↗
95
SIGNIFICANCE CAPITAL MANAGEMENT LLC — (MILWAUKEE, WI) is newly SEC-registered with $3.8M RAUM and 2 advisory reps. IAPD ↗
95
ONE-UP FINANCIAL — (ERIE, PA) is newly SEC-registered with $107.5M RAUM and 9 advisory reps. IAPD ↗
95
ALLVET FINANCIAL — (location n/a) is newly SEC-registered with $1.3M RAUM and 2 advisory reps. IAPD ↗
95
RILEY S. CROSBIE ADVISORY, LLC — (LOGAN, UT) is newly SEC-registered with $118.9M RAUM and 3 advisory reps. IAPD ↗
95
JACK CREEK PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
SHARPE ADVISORS, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
DORIAN INVESTMENT ADVISORY LLC — (MEMPHIS, TN) is newly SEC-registered with $102.6M RAUM and 1 advisory reps. IAPD ↗
95
YOSHI ADVISORY — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
CROWNSTONE ADVISORY & INVESTMENT CORP — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
AI STOCK PROPHET, LLC — (AKRON, OH) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
INTEGROUS WEALTH STRATEGIES — (HAMILTON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BRIDGECREEK FINANCIAL GROUP — (TULSA, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ALTRUIST ADVISORS LLC — (CULVER CITY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
AURANSER INC. — (FORT MILL, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
95
CUSTOM WEALTH MANAGEMENT — (PLYMOUTH, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BAY POINTE WEALTH, LLC — (NEW BALTIMORE, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
WHITE HAWK WEALTH MANAGEMENT — (BROOMFIELD, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MACRO QUANT PRIVATE WEALTH, LLC — (TORRANCE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
VERITAS WEALTH MANAGEMENT — (NORTH KINGSTOWN, RI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BLUE HORIZON EQUITY, INC. — (PITTSFORD, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 45 advisory reps. IAPD ↗
95
CHARLESBRIDGE ADVISORS — (DEDHAM, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
CHILDRESS & CO LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
NOW ASSET MANAGEMENT LLC — (PURCHASE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
IRM MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
GENOA WEALTH, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
UNIFIED RETIREMENT PLANNING GROUP — (BRIARCLIFF MANOR, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TREASURE VALLEY FINANCIAL PLANNING — (MERIDIAN, ID) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
95
COSMOS WEALTH, LLC — (LA JOLLA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
SILVER BIRCH FINANCIAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
NEARSIDE ADVISORS, LLC — (INDIANAPOLIS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ALIUS CAPITAL PARTNERS — (AVENTURA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
INTENTGEN FINANCIAL PARTNERS — (NAPERVILLE, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
NETWORK CAPITAL — (KALISPELL, MT) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
NORTHWIND FINANCIAL LLC — (BEND, OR) is newly SEC-registered (provisional 120-day approval) with $105.4M RAUM and 2 advisory reps. IAPD ↗
95
CLAIRALPHA ADVISORS LLC — (RICHARDSON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
3D ADVISOR GROUP, INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
OMAZ HOLDCO, LLC — (WOODY CREEK, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ZAI TECHNOLOGIES LLC — (THOUSAND OAKS, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
NEXT UP WEALTH ADVISORS, LLC — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
LUCENT FINANCIAL — (BELGRADE, MT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CLEARVIEW FAMILY WEALTH, LLC — (PEABODY, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TUTELA ADVISORY GROUP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MARDIN CAPITAL GROUP — (RYE, NH) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
RIPL WEALTH — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
95
COINBASE ADVISORS — (STAMFORD, CT) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
VALEN PRIVATE CAPITAL, LLC. — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
DIGNUM ET JUSTUM — (SAINT AUGUSTINE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
KUTUMB INVESTMENTS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
85
WORLD EQUITY GROUP, INC. — crossed $1B in regulatory AUM ($944.8M -> $1.00B). IAPD ↗
83
ADVISORY SOLUTIONS GROUP — grew from 4 to 33 advisory reps. IAPD ↗
80
UMB PRIVATE WEALTH MANAGEMENT, LLC — grew from 1 to 41 advisory reps. IAPD ↗
76
BLACKRIDGE ASSET MANAGEMENT, LLC — grew from 59 to 67 advisory reps. IAPD ↗
75
COHEN CAPITAL — 's provisional registration is now fully approved. IAPD ↗
75
EVANSON FINANCIAL, LLC DBA EVANSON ASSET MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
75
HOOD RIVER CAPITAL MANAGEMENT LLC — now reports 1 private fund(s) ($10.7M gross). IAPD ↗
75
PREMIER PATH WEALTH PARTNERS, LLC — now reports 1 private fund(s) ($0 gross). IAPD ↗
74
EVANSON FINANCIAL, LLC DBA EVANSON ASSET MANAGEMENT — grew from 4 to 8 advisory reps. IAPD ↗
73
KINETIC INVESTMENT MANAGEMENT, INC. — grew from 24 to 29 advisory reps. IAPD ↗
73
TBG-BEDFORD GROUP LLC — grew from 1 to 9 advisory reps. IAPD ↗
73
WILLOW CREEK CAPITAL MANAGEMENT, INC. — 's provisional registration is now fully approved. IAPD ↗
73
PRIVATE WEALTH CONSULTING, LLC — 's provisional registration is now fully approved. IAPD ↗
73
MAUNEY-PITT FINANCIAL MANAGEMENT, INC. — 's provisional registration is now fully approved. IAPD ↗
73
WILLIAMS ASSET MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
73
ARBORSTONE FINANCIAL, LLC — 's provisional registration is now fully approved. IAPD ↗
73
OCEAN PATH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
ADVISORY SOLUTIONS GROUP — 's provisional registration is now fully approved. IAPD ↗
73
HESMER WEALTH MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
72
COHEN CAPITAL — grew from 5 to 7 advisory reps. IAPD ↗
71
ALPHA ZERO LLC — grew from 8 to 11 advisory reps. IAPD ↗
70
HOOD RIVER CAPITAL MANAGEMENT LLC — now reports custody of client assets ($10.7M). IAPD ↗
70
ADVUS FINANCIAL PARTNERS, LLC — now reports custody of client assets ($10.1M). IAPD ↗
70
COHEN CAPITAL — now reports custody of client assets ($735.3M). IAPD ↗
70
GRYPHON WEALTH — now reports custody of client assets ($408.3M). IAPD ↗
70
LONESTAR REGISTERED INVESTMENT ADVISORS, PLLC — grew from 9 to 11 advisory reps. IAPD ↗
70
ARCADIA WEALTH MANAGEMENT, LLC — grew from 9 to 11 advisory reps. IAPD ↗
70
H. L. ORMOND & COMPANY, LLC — grew from 2 to 4 advisory reps. IAPD ↗
70
RELATION WEALTH MANAGEMENT, INC. — grew from 5 to 7 advisory reps. IAPD ↗
70
AUTONOMOUS WEALTH MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
70
PEAK ALTITUDE PARTNERS, LP — 's provisional registration is now fully approved. IAPD ↗
70
ANGELES FAMILY OFFICE — 's provisional registration is now fully approved. IAPD ↗
70
MADSON WEALTH ADVISORS INC. — 's provisional registration is now fully approved. IAPD ↗
70
ENDOWE ADVISORY LLC — 's provisional registration is now fully approved. IAPD ↗
70
KRM FINANCIAL PLANNING & WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
GUIDED WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
70
PFLUEGER WEALTH — 's provisional registration is now fully approved. IAPD ↗
70
VALOREM LLC — 's provisional registration is now fully approved. IAPD ↗
70
THIRTEEN TWENTY-TWO ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
IRONHORN ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
70
SCHULZ FINANCIAL GROUP — 's provisional registration is now fully approved. IAPD ↗
70
GUARDANT WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
STILLWATER PRIVATE WEALTH — 's provisional registration is now fully approved. IAPD ↗
70
TENET WEALTH PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
CHAMBERLAIN LANE CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗
70
CAVU WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
LANE GENERATIONAL LLC — now reports 1 private fund(s) ($0 gross). IAPD ↗
70
PEAK ALTITUDE PARTNERS, LP — now reports 1 private fund(s) ($4.2M gross). IAPD ↗
68
PETERSON WEALTH MANAGEMENT, LLC — now reports custody of client assets ($3.1M). IAPD ↗
68
1808 CAPITAL PARTNERS — now reports custody of client assets ($65.1M). IAPD ↗
67
SHAFFER CAPITAL — grew from 2 to 4 advisory reps. IAPD ↗
67
A4 WEALTH ADVISORS LLC — grew from 6 to 8 advisory reps. IAPD ↗
67
FOUNDRY FINANCIAL LLC — grew from 5 to 7 advisory reps. IAPD ↗
67
VINCIMUS CAPITAL, LLC — grew from 2 to 4 advisory reps. IAPD ↗
67
BAM WEALTH MANAGEMENT LLC — grew from 7 to 9 advisory reps. IAPD ↗
67
HAMPTON ROCK WEALTH MANAGEMENT — grew from 5 to 7 advisory reps. IAPD ↗
67
STILLWATER PRIVATE WEALTH — grew from 2 to 4 advisory reps. IAPD ↗
65
PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY — now reports custody of client assets. IAPD ↗
65
OAK STREET ADVISORS — now reports custody of client assets ($54.8M). IAPD ↗
65
HIGHPASS ASSET MANAGEMENT LLC — now reports custody of client assets ($5.1M). IAPD ↗
65
COX & COOK WEALTH ADVISORS — now reports custody of client assets ($119.5M). IAPD ↗
65
MEDICUS WEALTH PLANNING, INC. — now reports custody of client assets ($53.4M). IAPD ↗
65
PEAK ALTITUDE PARTNERS, LP — now reports custody of client assets. IAPD ↗
65
ANGELES FAMILY OFFICE — now reports custody of client assets ($9.8M). IAPD ↗
65
STILLWATER PRIVATE WEALTH — now reports custody of client assets ($37.0M). IAPD ↗
65
PROPEL PRIVATE WEALTH LLC — now reports custody of client assets ($320,968). IAPD ↗
65
EVOLUTION VISION WEALTH MANAGEMENT — now reports custody of client assets ($65.4M). IAPD ↗
60
MARY & PIP — began participating in a wrap-fee program. IAPD ↗
55
J.P. MORGAN SECURITIES LLC — 's Item 11 disclosure-reporting entries rose by 1 (162 -> 163). IAPD ↗
55
BNY MELLON SECURITIES CORPORATION — 's Item 11 disclosure-reporting entries rose by 6 (19 -> 25). IAPD ↗
55
OPPENHEIMER & CO. INC. — 's Item 11 disclosure-reporting entries rose by 1 (103 -> 104). IAPD ↗
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 6 (284 -> 290). IAPD ↗
55
FIFTH THIRD SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 2 (8 -> 10). IAPD ↗
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 2 (203 -> 205). IAPD ↗
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 6 (366 -> 372). IAPD ↗
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED — 's Item 11 disclosure-reporting entries rose by 6 (470 -> 476). IAPD ↗
55
NORTHERN TRUST SECURITIES, INC — 's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 2 (648 -> 650). IAPD ↗
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (133 -> 135). IAPD ↗
55
MPM WEALTH ADVISORS — 's Item 11 disclosure-reporting entries rose by 3 (1 -> 4). IAPD ↗
55
NORTHERN TRUST INVESTMENTS, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 5 (6 -> 11). IAPD ↗
55
OAK RIDGE INVESTMENTS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
GOLDMAN SACHS ASSET MANAGEMENT, L.P. — 's Item 11 disclosure-reporting entries rose by 2 (33 -> 35). IAPD ↗
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 2 (133 -> 135). IAPD ↗
55
HARVEY INVESTMENT COMPANY, LLC — 's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗
55
CAPITAL RESEARCH AND MANAGEMENT COMPANY — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
55
DELTA ASSET MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗
55
CAPITAL BANK AND TRUST COMPANY — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
GRANT TANI BARASH & ALTMAN, LLC — 's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗
55
LINDEN THOMAS ADVISORY SERVICES, LLC — notice-filed in AZ, CO, KY, MA, PA. IAPD ↗
55
ASCENTIS INDEPENDENT ADVISORS, LLC — notice-filed in AL, IN, KY, LA, MD, NE, VT, WV. IAPD ↗
53
DUNCKER STREETT & CO. — 's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗
53
MWA FINANCIAL SERVICES, INC. — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
53
ARISTIDES CAPITAL LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
53
BRILLIANT ADVICE, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
CORE PLANNING — notice-filed in CO, DC, IA, IN, LA, MA, MS, NH, OH, WV. IAPD ↗
53
BUSKA WEALTH MANAGEMENT, LLC — notice-filed in CA, IL, MI, MN, NH, TN, TX. IAPD ↗
53
GRANITE BAY WEALTH MANAGEMENT, LLC — notice-filed in DC, LA, MD, MI, NJ, PA, VA. IAPD ↗
53
WEALTHCARE CAPITAL PARTNERS, LLC — notice-filed in CA, NJ, NM, TN, WV. IAPD ↗
53
ARBORSTONE FINANCIAL, LLC — notice-filed in AZ, CA, FL, ME, NY, SC, VA. IAPD ↗
53
JC CAPITAL ADVISORS GROUP LLC — notice-filed in AZ, CO, GA, IA, KS, MD, ME, MI, MN, NC, NJ, NM, NV, OH, OR, PA, SC, WI, WV. IAPD ↗
53
ADVISORY SOLUTIONS GROUP — notice-filed in AK, AL, AR, CT, DC, DE, GA, HI, IA, ID, IN, KY, LA, MD, ME, MI, MO, MS, MT, ND, NH, NM, NV, OK, PA, RI, SD, TN, UT, VA, VT, WI, WV, WY. IAPD ↗
51
THE RETIREMENT PLANNING GROUP, LLC — notice-filed in AK, ME, WY. IAPD ↗
51
KILEY JUERGENS WEALTH MANAGEMENT, LLC — notice-filed in MI, NE, UT. IAPD ↗
50
VISION INVESTMENT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (13 -> 15). IAPD ↗
50
PENBROOK MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
50
BAUMAN WEALTH ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
50
SCHWAB WEALTH ADVISORY, INC. — 's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
50
PROVIDENCE FINANCIAL AND INSURANCES, INC. — notice-filed in AZ, CO, FL, NE, NH, NV, TN, TX. IAPD ↗
50
INSIGHT FINANCIAL SERVICES — notice-filed in AZ, CA, IA, IL, NC, OH. IAPD ↗
50
CORNERSTONE ADVISORS LLC — notice-filed in AL, CO, FL, ID, KS, MO, MS, MT, TN, WY. IAPD ↗
50
KRAKEN ADVISER LLC — notice-filed in AK, AL, AR, AZ, CA, CO, CT, DC, DE, 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
VANDALIA WEALTH — notice-filed in CA, IN, MI, NJ, NY, OH, VA. IAPD ↗
49
EVERHART ADVISORS — notice-filed in ID, UT. IAPD ↗
49
SMITH ASSET MANAGEMENT CO., LLC — notice-filed in CA, IN, MT. IAPD ↗
49
LONGVIEW WEALTH MANAGEMENT — notice-filed in OK, UT. IAPD ↗
49
GALVIN, GAUSTAD & STEIN, LLC — notice-filed in MI, TN. IAPD ↗
49
SIGNAL ADVISORS WEALTH, LLC — notice-filed in DE, GA. IAPD ↗
49
MADISON PARTNERS — notice-filed in VT, WV. IAPD ↗
49
DISCIPLINE WEALTH SOLUTIONS, INC. — notice-filed in AR, KS, MT. IAPD ↗
49
SYNTEGRA PRIVATE WEALTH GROUP LLC — notice-filed in UT, VA. IAPD ↗
49
PCM ENCORE, LLC — notice-filed in IL, NJ. IAPD ↗
49
TRITONPOINT PARTNERS, LLC — notice-filed in IN, NJ, TX. IAPD ↗
47
SHELTON CAPITAL MANAGEMENT — notice-filed in OH. IAPD ↗
47
PLANCORP, LLC — notice-filed in UT. IAPD ↗
47
CJM WEALTH ADVISERS, LTD. — notice-filed in WV. IAPD ↗
47
CALIFORNIA FINANCIAL ADVISORS — notice-filed in IL. IAPD ↗
47
WELCH & FORBES LLC — notice-filed in LA. IAPD ↗
47
SAGE FINANCIAL GROUP INC. — notice-filed in LA. IAPD ↗
47
FINANCIAL SYMMETRY INC. — notice-filed in MA. IAPD ↗
47
SAX WEALTH ADVISORS, LLC — notice-filed in TN. IAPD ↗
47
SAXONY CAPITAL MANAGEMENT, LLC — notice-filed in NH, OR. IAPD ↗
47
MIDWEST CAPITAL ADVISORS, LLC — notice-filed in TX. IAPD ↗
47
KLINGMAN AND ASSOCIATES, LLC — notice-filed in OH. IAPD ↗
47
ABACUS WEALTH PARTNERS — notice-filed in SD. IAPD ↗
47
MCF ADVISORS, LLC — notice-filed in KS. IAPD ↗
47
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE — notice-filed in FL, IA. IAPD ↗
47
OMNISTAR FINANCIAL GROUP, INC. — notice-filed in MA, VA. IAPD ↗
47
CLEARWATER CAPITAL PARTNERS — notice-filed in MA. IAPD ↗
47
CMH WEALTH MANAGEMENT, LLC — notice-filed in IL, MD. IAPD ↗
47
INTEGRITY INVESTMENT ADVISORS — notice-filed in NC, WA. IAPD ↗
47
NAPLES GLOBAL ADVISORS — notice-filed in CA. IAPD ↗
47
DE GROOTE FINANCIAL GROUP, LLC — notice-filed in UT. IAPD ↗
47
WRENNE FINANCIAL PLANNING LLC — notice-filed in NE, NJ. IAPD ↗
47
SUMMIT TRAIL ADVISORS, LLC — notice-filed in DC. IAPD ↗
47
BALBOA WEALTH PARTNERS, INC. — notice-filed in GA. IAPD ↗
47
INTEGRITY ADVISORY SOLUTIONS — notice-filed in RI. IAPD ↗
47
VALUEWEALTH SERVICES, LLC — notice-filed in CO, IL. IAPD ↗
47
SERENITY INVESTMENT ADVISORS — notice-filed in GA, PA. IAPD ↗
47
NAVITER WEALTH, LLC — notice-filed in KY. IAPD ↗
47
MOMENT PRIVATE WEALTH — notice-filed in IL, LA. IAPD ↗
47
ALLIANCE WEALTH ADVISORS, LLC — notice-filed in AK, VA. IAPD ↗
47
PEAK RETIREMENT PLANNING, INC. — notice-filed in NV, TN. IAPD ↗
47
OPAL CAPITAL LLC — notice-filed in MD, VA. IAPD ↗
47
COREVISION FINANCIAL GROUP — notice-filed in NH. IAPD ↗
47
BBVA GLOBAL WEALTH ADVISORS, INC. — notice-filed in DE. IAPD ↗
47
WAVVEST WEALTH — notice-filed in CA, OH. IAPD ↗
47
PRASAD WEALTH PARTNERS — notice-filed in AZ, MA. IAPD ↗
47
ELEVATED FINANCIAL GROUP — notice-filed in NJ, NY. IAPD ↗
46
SETARCOS WEALTH ADVISORS LLC — notice-filed in CA, GA, TX. IAPD ↗
46
BOLDIN ADVISORS — notice-filed in ID, ME, UT. IAPD ↗
46
SOLYCO WEALTH LLC — notice-filed in IL, MD, NC. IAPD ↗
46
DOMAIN MONEY ADVISORS, LLC — notice-filed in KS, KY, NH. IAPD ↗
46
KUCHARO WEALTH — notice-filed in IL, KY, NE. IAPD ↗
45
DIAMOND HILL CAPITAL MANAGEMENT INC — filed an Item 4A succession naming DIAMOND HILL CAPITAL MANAGEMENT INC (CRD 110638) — an entity change, not a deal. IAPD ↗
45
ACORN FINANCIAL ADVISORY SERVICES, INC. — filed an Item 4A succession naming ACORN FINANCIAL ADVISORY SERVICES, INC. (CRD 116763) — an entity change, not a deal. IAPD ↗
45
WESTERN FINANCIAL CORPORATION — notice-filed in NV. IAPD ↗
45
WEALTH MANAGEMENT RESOURCES, INC. — notice-filed in NJ. IAPD ↗
45
SEARCY FINANCIAL SERVICES, INC. — notice-filed in ID. IAPD ↗
45
M.Z. KARK & ASSOCIATES, INC — notice-filed in PA. IAPD ↗
45
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC — notice-filed in IN. IAPD ↗
45
HORIZON INVESTMENT SERVICES, LLC. — notice-filed in NY. IAPD ↗
45
INVESTMENT MANAGEMENT ASSOCIATES — notice-filed in CT. IAPD ↗
45
INTREPID FINANCIAL PLANNING GROUP, LLC — notice-filed in GA. IAPD ↗
45
MADDEN ADVISORY SERVICES, INC. — notice-filed in TN. IAPD ↗
45
FINANCIAL SECURITY MANAGEMENT, INC — notice-filed in MO. IAPD ↗
45
MACRO ADVISORS, INC. — notice-filed in DE. IAPD ↗
45
ABSOLUTE CAPITAL MANAGEMENT, LLC — notice-filed in NV. IAPD ↗
45
PURKISS CAPITAL ADVISORS, LLC — notice-filed in GA. IAPD ↗
45
CRAVENS & COMPANY WEALTH MANAGEMENT — notice-filed in FL. IAPD ↗
45
NORTHEAST PLANNING ASSOCIATES, INC. — notice-filed in CT. IAPD ↗
45
PHOCAS FINANCIAL CORPORATION — notice-filed in FL. IAPD ↗
45
BIGELOW INVESTMENT ADVISORS, LLC — notice-filed in VA. IAPD ↗
45
SCHEAR INVESTMENT ADVISERS, LLC — notice-filed in KY. IAPD ↗
45
LANTERN WEALTH ADVISORS, LLC — notice-filed in UT. IAPD ↗
45
ILLUMINATION WEALTH MANAGEMENT — notice-filed in VA. IAPD ↗
45
VISIONARY HORIZONS, LLC — notice-filed in NY. IAPD ↗
45
FIRST FINANCIAL COACHING, INC. — notice-filed in MD. IAPD ↗
45
LIFESTEPS FINANCIAL — notice-filed in AL. IAPD ↗
45
KIKER WEALTH MANAGEMENT, LLC — notice-filed in MN. IAPD ↗
45
COVENANT WEALTH ADVISORS — notice-filed in MA. IAPD ↗
45
SEQUENT PLANNING, LLC — notice-filed in RI. IAPD ↗
45
MKT ADVISORS LLC — notice-filed in TN. IAPD ↗
45
EPIQ PARTNERS, LLC — notice-filed in TX. IAPD ↗
45
ELMWOOD WEALTH MANAGEMENT — notice-filed in WA. IAPD ↗
45
CADENT CAPITAL ADVISORS, LLC — notice-filed in TN. IAPD ↗
45
G&S CAPITAL LLC — notice-filed in VA. IAPD ↗
45
UPSTART WEALTH MANAGEMENT, LLC — notice-filed in CT. IAPD ↗
45
QUARTZ PARTNERS INVESTMENT MANAGEMENT — notice-filed in NJ. IAPD ↗
45
SIGHTLINE WEALTH ADVISORS, LLC — notice-filed in VA. IAPD ↗
45
GRANITE HARBOR ADVISORS, INC. — notice-filed in WI. IAPD ↗
45
FORTHRIGHT WEALTH MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
45
MIRAMONTES CAPITAL, LLC — notice-filed in NY. IAPD ↗
45
CASTLEVIEW PARTNERS, LLC — notice-filed in UT. IAPD ↗
45
FWG INVESTMENTS, LLC — notice-filed in MS. IAPD ↗
45
RUNNING OAK CAPITAL LLC — notice-filed in CA. IAPD ↗
45
LIFEWORKS ADVISORS, LLC — notice-filed in NV. IAPD ↗
45
LONGVIEW FINANCIAL ADVISORS, LLC — notice-filed in VA. IAPD ↗
45
MORTON BROWN FAMILY WEALTH LLC — notice-filed in CA. IAPD ↗
45
VAN CLEMENS WEALTH MANAGEMENT, LLC — notice-filed in GA. IAPD ↗
45
FERGUSON SHAPIRO LLC — notice-filed in SC. IAPD ↗
45
ACCRETIVE WEALTH PARTNERS, LLC — notice-filed in NH. IAPD ↗
45
OPES WEALTH MANAGEMENT, LLC — notice-filed in VA. IAPD ↗
45
ECIO, INC. — notice-filed in VA. IAPD ↗
45
HOXTON WEALTH — notice-filed in ME. IAPD ↗
45
AMARA FINANCIAL, LLC — notice-filed in MA. IAPD ↗
45
THE INVICTUS COLLECTIVE, LLC — notice-filed in MA. IAPD ↗
45
MISSION FINANCIAL GROUP, LLC — notice-filed in MI. IAPD ↗
45
WILON WEALTH MANAGEMENT — notice-filed in SD. IAPD ↗
45
FAITH INVESTOR SERVICES — notice-filed in MN. IAPD ↗
45
H. L. ORMOND & COMPANY, LLC — notice-filed in GA. IAPD ↗
45
EMPOWER FINANCIAL ADVISORY, LLC — notice-filed in PA. IAPD ↗
45
FYRA CAPITAL MANAGEMENT — notice-filed in KS. IAPD ↗
45
NOBLE FAMILY WEALTH — notice-filed in CO. IAPD ↗
45
GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC — notice-filed in GA. IAPD ↗
45
TRUEWEALTH FINANCIAL PARTNERS — notice-filed in WI. IAPD ↗
45
BLODGETT WEALTH ADVISORS, LLC — notice-filed in ID. IAPD ↗
45
STEVENS CAPITAL PARTNERS — notice-filed in LA. IAPD ↗
45
PORTFOLIO DESIGN LABS, LLC — notice-filed in OR. IAPD ↗
45
UNIVERSAL FINANCIAL ADVISORS, LLC — notice-filed in VA. IAPD ↗
45
OXFORD WEALTH GROUP, LLC — notice-filed in AL. IAPD ↗
45
CENTRAL PINE CAPITAL, LLC — notice-filed in FL. IAPD ↗
45
IDB LIDO WEALTH, LLC — notice-filed in TX. IAPD ↗
45
DODDS WEALTH, LLC — notice-filed in GA. IAPD ↗
45
EVEXIA WEALTH, LLC — notice-filed in TN. IAPD ↗
45
MDRN CAPITAL — notice-filed in KY. IAPD ↗
45
LIFEGOAL INVESTMENTS, LLC — notice-filed in PA. IAPD ↗
45
RELATION WEALTH MANAGEMENT, INC. — notice-filed in CO. IAPD ↗
45
PARKWOODS WEALTH PARTNERS, LLC — notice-filed in WA. IAPD ↗
45
BERNICKE WEALTH MANAGEMENT — notice-filed in CO. IAPD ↗
45
TMB CAPITAL PARTNERS, LLC — notice-filed in NY. IAPD ↗
44
COLE WEALTH MANAGEMENT, LLC — notice-filed in ID, WA. IAPD ↗
44
LAUREATE WEALTH MANAGEMENT, LLC — notice-filed in MN, TN. IAPD ↗
44
MPI WEALTH MANAGEMENT LLC — notice-filed in FL, TX. IAPD ↗
44
CITY DIFFERENT INVESTMENTS — notice-filed in FL, OR. IAPD ↗
44
VANQUOUR LLC — notice-filed in CT, FL. IAPD ↗
44
ARTA FINANCE — notice-filed in DE, SD. IAPD ↗
44
CAPITAL AND PLANNING, LLC — notice-filed in MO, WA. IAPD ↗
44
PELTOMA CAPITAL PARTNERS — notice-filed in NC, OR. IAPD ↗
44
HORIZON WEALTH — notice-filed in CA, WY. IAPD ↗
44
DOW FAMILY OFFICE ADVISORY, LLC — notice-filed in CT, NJ. IAPD ↗
42
CONTINENTAL INVESTORS SERVICES, INC. — notice-filed in SD. IAPD ↗
42
SECURE PLANNING — notice-filed in AZ. IAPD ↗
42
SIGNIA CAPITAL MANAGEMENT — notice-filed in TX. IAPD ↗
42
RMG ADVISORS — notice-filed in WA. IAPD ↗
42
KCD FINANCIAL, INC. — notice-filed in AL. IAPD ↗
42
KENSINGTON FINANCIAL GROUP, INC. — notice-filed in SC. IAPD ↗
42
STEWARDSHIP FINANCIAL PLANNING — notice-filed in TX. IAPD ↗
42
ALPHA PLANNING AND FINANCIAL SERVICES, INC. — notice-filed in TX. IAPD ↗
42
MCM WEALTH — notice-filed in NJ. IAPD ↗
42
WRIGHT PRIVATE ASSET MANAGEMENT LLC — notice-filed in TN. IAPD ↗
42
CAMPBELL FINANCIAL PARTNERS, LLC — notice-filed in TX. IAPD ↗
42
J. FREEMAN & ASSOCIATES — notice-filed in NH. IAPD ↗
42
ORCA INVESTMENT MANAGEMENT, LLC — notice-filed in NY. IAPD ↗
42
VANNOY ADVISORY GROUP, INC. — notice-filed in WA. IAPD ↗
42
ALLOS INVESTMENT ADVISORS, LLC — notice-filed in ID. IAPD ↗
42
BALANCED ROCK INVESTMENT ADVISORS — notice-filed in NY. IAPD ↗
42
HIPPOCRATIC FINANCIAL ADVISORS — notice-filed in NY. IAPD ↗
42
PACIFIC EXCEL WEALTH ADVISORS, INC. — notice-filed in TX. IAPD ↗
42
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC — notice-filed in RI. IAPD ↗
42
EPIC ADVISORY SERVICES CORP — notice-filed in SD. IAPD ↗
42
ALVIN CLAY FINANCIAL ADVISORS, LLC — notice-filed in NJ. IAPD ↗
42
HELIUM ADVISORS LLC — notice-filed in GA. IAPD ↗
42
COMPASS RETIREMENT GROUP LLC — notice-filed in KS. IAPD ↗
42
TESSARA WEALTH — notice-filed in OH. IAPD ↗
42
SEEDSAFE FINANCIAL LLC — notice-filed in NY. IAPD ↗
42
PMG WEALTH MANAGEMENT — notice-filed in NH. IAPD ↗
42
ELEVATE CAPITAL ADVISORS — notice-filed in NV. IAPD ↗
42
ACRYLIC FINANCIAL, INC. — notice-filed in NJ. IAPD ↗
42
BONFIRE FINANCIAL, LLC — notice-filed in MN. IAPD ↗
42
SAN BLAS ADVISORY, INC. — notice-filed in PR. IAPD ↗
42
SCHOLAR FINANCIAL ADVISING, LLC — notice-filed in CT. IAPD ↗
42
ODYSSEY CAPITAL ADVISORS INC. — notice-filed in TN. IAPD ↗
42
INFINITY FINANCIAL SERVICES ADVISORY — notice-filed in PR. IAPD ↗
42
ALGORITHMIC INVESTMENT MODELS — notice-filed in VI. IAPD ↗
42
ILLUMINATE WEALTH MANAGEMENT — notice-filed in VA. IAPD ↗
42
BLOM & HOWELL FINANCIAL PLANNING, INC. — notice-filed in IL. IAPD ↗
42
CHARIS LEGACY PARTNERS — notice-filed in AZ. IAPD ↗
42
HEISTEN WRENN PRIVATE WEALTH, LLC — notice-filed in LA. IAPD ↗
42
PEAK FINANCIAL PLANNING — notice-filed in UT. IAPD ↗
42
VINCIMUS CAPITAL, LLC — notice-filed in WA. IAPD ↗
42
TOTAL WEALTH SOLUTIONS — notice-filed in TX. IAPD ↗
42
POINT NEMO CAPITAL, LLC — notice-filed in LA. IAPD ↗
42
RIVERTREE WEALTH — notice-filed in VA. IAPD ↗
42
QUANTITATIVE FINANCIAL STRATEGIES — notice-filed in TX. IAPD ↗
42
VAN DIEST CAPITAL — notice-filed in MO. IAPD ↗
42
RISE NORTH CAPITAL INVESTMENT ADVISORS — notice-filed in KS. IAPD ↗
42
CYNOSURE PORTFOLIO ADVISORS LLC — notice-filed in CA. IAPD ↗
42
MUSAFFA LLC — notice-filed in NJ. IAPD ↗
42
MCKINNEY CAPITAL MANAGEMENT — notice-filed in MI. IAPD ↗
42
BAYTRUST WEALTH MANAGEMENT, LLC — notice-filed in CA. IAPD ↗
42
CHAMBERLAIN LANE CAPITAL, LLC — notice-filed in TX. IAPD ↗
42
SOONER PRIVATE FINANCIAL LLC — notice-filed in MA. IAPD ↗
42
GREG JENNINGS, LLC — notice-filed in TX. IAPD ↗
40
BERLA INVESTMENT CONSULTING — filed an Item 4A succession naming BERLA INVESTMENT CONSULTING (CRD 112847) — an entity change, not a deal. IAPD ↗
85
SMBC ASSET MANAGEMENT, INC. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
MONROE CAPITAL REAL ESTATE CREDIT ADVISORS, LLC — (CHICAGO, IL) is newly SEC-registered with $140.2M RAUM and 5 advisory reps. IAPD ↗institutional
85
FORVM GLOBAL INVESTMENTS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
MERIT CAPITAL PARTNERS VI, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 16 advisory reps. IAPD ↗institutional
85
AMBROSE CAPITAL ADVISORS, LLC — (INDIANAPOLIS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗institutional
85
ORION PARTNERS, LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
MERAKI CAPITAL PARTNERS LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
EF PORTFOLIO — (SACRAMENTO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
ROCKFORD TOWER ASSET MANAGEMENT, L.L.C. — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 99 advisory reps. IAPD ↗institutional
83
CULTIVATION CAPITAL, LLC — (ST. LOUIS, MO) is newly SEC-registered with $416.4M RAUM and 1 advisory reps. IAPD ↗fund
83
MERRITT POINT PARTNERS LLC — (OAKLAND, CA) is newly SEC-registered with $636.1M RAUM and 3 advisory reps. IAPD ↗fund
83
PAVAKI CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $410.1M RAUM and 2 advisory reps. IAPD ↗fund
83
GRAND CENTRAL MUSIC — (location n/a) is newly SEC-registered with $287.6M RAUM and 4 advisory reps. IAPD ↗fund
83
THE CONNOR GROUP FUND MANAGER, LLC — (MIAMISBURG, OH) is newly SEC-registered with $494.3M RAUM and 2 advisory reps. IAPD ↗fund
80
TRELLUS MANAGEMENT COMPANY, LLC — (DELRAY BEACH, FL) is newly SEC-registered with $156.3M RAUM and 2 advisory reps. IAPD ↗fund
80
QUALIVIAN INVESTMENT PARTNERS — (location n/a) is newly SEC-registered with $2.8M RAUM and 1 advisory reps. IAPD ↗fund
80
MEDICI CAPITAL LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $215.8M RAUM and 1 advisory reps. IAPD ↗fund
80
BLUHAUS CAPITAL MANAGEMENT LLC — (GUAYNABO, PR) is newly SEC-registered with $230.8M RAUM and 3 advisory reps. IAPD ↗fund
80
OVERLAY MANAGEMENT, LLC — (ALPHARETTA, GA) is newly SEC-registered with $168.6M RAUM and 8 advisory reps. IAPD ↗fund
80
GLOBAL VENTURE MANAGEMENT LLC — (SAN JUAN, PR) is newly SEC-registered with $130.0M RAUM and 1 advisory reps. IAPD ↗fund
80
HAYBEACH CAPITAL MANAGEMENT, LLC — (RYE, NY) is newly SEC-registered with $172.8M RAUM and 4 advisory reps. IAPD ↗fund
80
80
42 AM, LLC — (NEW YORK, NY) is newly SEC-registered with $51.9M RAUM and 5 advisory reps. IAPD ↗fund
80
PARK ROAD PARTNERS LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
75
75
INTERMEDE GLOBAL PARTNERS INC — crossed $1B in regulatory AUM ($369.7M -> $2.14B). IAPD ↗institutional
75
75
73
70
70
70
70
CARNELIAN ASSET MANAGEMENT & ADVISORS PRIVATE LIMITED — (MUMBAI, MAHARASHTRA, India) is newly SEC-registered with $1.50B RAUM and 4 advisory reps. IAPD ↗foreign
70
KRISTAL.AI — (SINGAPORE, Singapore) is newly SEC-registered with $1.27B RAUM and 15 advisory reps. IAPD ↗foreign
65
ALPHA INNOVATIONS LTD. — (HAMILTON, Bermuda) is newly SEC-registered with $231.5M RAUM and 8 advisory reps. IAPD ↗foreign
65
GOLDSTANDARD WEALTH — (MUMBAI, India) is newly SEC-registered with $64.6M RAUM and 12 advisory reps. IAPD ↗foreign
65
KYNANCE COVE CAPITAL LLP — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
KALEIDO CAPITAL PARTNERS LIMITED — (HONG KONG, Hong Kong) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗foreign
64
63
63
INLAND ADVISORY SERVICES, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
63
63
63
RIVERWEST INVESTMENT MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
63
62
60
FERGHANA INVESTMENT PARTNERS, LP — 's provisional registration is now fully approved. IAPD ↗institutional
60
SERONE CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
60
60
58
58
58
58
58
58
58
58
55
55
55
55
55
55
GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗fund
55
55
55
CLEVELAND CAPITAL MANAGEMENT, L.L.C. — 's provisional registration is now fully approved. IAPD ↗fund
55
55
53
50
50
ARGO MANAGEMENT AND RESEARCH COMPANY, LLC — now reports custody of client assets ($38.5M). IAPD ↗fund
50
50
46
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (133 -> 135). IAPD ↗institutional
40
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 2 (710 -> 712). IAPD ↗institutional
40
CAPITAL CLIENT GROUP, INC. — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗institutional
40
CAPITAL INTERNATIONAL, INC. — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗fund
40
CAPITAL RESEARCH COMPANY — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗institutional
40
40
40
MADISON AVENUE SOLUTIONS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗fund
40
INFINITE GIVING ADVISORY SERVICES, INC. — notice-filed in ID, KY, MO, NJ, NM, OR, SC, UT. IAPD ↗institutional
40
38
37
37
37
35
SOUNDWATCH CAPITAL, LLC — filed an Item 4A succession naming SOUNDWATCH CAPITAL, LLC (CRD 173151) — an entity change, not a deal. IAPD ↗institutional
35
32
32
32
30
30
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 2 (133 -> 135). IAPD ↗foreign
25
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL — 's Item 11 disclosure-reporting entries rose by 2 (29 -> 31). IAPD ↗foreign
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (132 -> 134). IAPD ↗foreign
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (149 -> 151). IAPD ↗foreign
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (135 -> 137). IAPD ↗foreign
25
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. — 's Item 11 disclosure-reporting entries rose by 2 (33 -> 35). IAPD ↗foreign
25
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (33 -> 35). IAPD ↗foreign
25
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. — 's Item 11 disclosure-reporting entries rose by 2 (33 -> 35). IAPD ↗foreign
21
17
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.