Compliance — July 2026
Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).
570 firms opened this window in the July 2026 SEC roster: 240 state expansion, 137 new registration, 60 headcount up, 42 disclosure added, 31 pending approved, 26 custody started, 13 aum crossed 1b, 13 private funds started, 5 wrap program started, 3 reorganization.
98
TINGEY FINANCIAL GROUP INC. — (location n/a) is newly SEC-registered with $257.0M RAUM and 3 advisory reps. IAPD ↗
98
ARG PRIVATE WEALTH, LLC — (CINCINNATI, OH) is newly SEC-registered with $280.0M RAUM and 2 advisory reps. IAPD ↗
95
BRIDGEVIEW CAPITAL ADVISORS, INC. — (EL DORADO HILLS, CA) is newly SEC-registered with $114.1M RAUM and 2 advisory reps. IAPD ↗
95
SAFE HARBOR RETIREMENT PLANNERS — (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
95
HAYKIN, MICHAEL — (location n/a) is newly SEC-registered with $124.5M RAUM and 2 advisory reps. IAPD ↗
95
THE GARDNER GROUP — (DALLAS, TX) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
95
LYNCH INVESTMENT PLANNING, LLC — (NEWTOWN SQUARE, PA) is newly SEC-registered with $143.3M RAUM and 3 advisory reps. IAPD ↗
95
WEST FINANCIAL STRATEGIES, INC. — (SANFORD, NC) is newly SEC-registered with $121.0M RAUM and 2 advisory reps. IAPD ↗
95
SOUTHEAST FINANCIAL ADVISORS — (GREENVILLE, SC) is newly SEC-registered with $133.0M RAUM and 2 advisory reps. IAPD ↗
95
INTEGRATED INVESTMENT STRATEGIES,INC. — (CARMEL, IN) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
95
PRIVATE LANE CAPITAL, LLC — (location n/a) is newly SEC-registered with $144.1M RAUM and 1 advisory reps. IAPD ↗
95
FIVE MILE RIVER INVESTMENT MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
95
CONDON WEALTH MANAGEMENT, INC. — (PLYMOUTH, MA) is newly SEC-registered with $122.1M RAUM and 2 advisory reps. IAPD ↗
95
HARBOR LIGHT PLANNING — (location n/a) is newly SEC-registered with $111.1M RAUM and 1 advisory reps. IAPD ↗
95
S&F INVESTMENT ADVISORS — (ENCINO, CA) is newly SEC-registered with $106.4M RAUM and 1 advisory reps. IAPD ↗
95
VAN WINKLE WEALTH MANAGEMENT GROUP LLC — (NEWARK, OH) is newly SEC-registered with $120.8M RAUM and 1 advisory reps. IAPD ↗
95
LEGACY FINANCIAL SERVICES GROUP, INC. — (TRAVERSE CITY, MI) is newly SEC-registered with $122.8M RAUM and 2 advisory reps. IAPD ↗
95
SIP FINANCIAL SERVICES — (GLENVILLE, NY) is newly SEC-registered with $28.2M RAUM and 1 advisory reps. IAPD ↗
95
JORDAN FINANCIAL LIFE PLANNING — (KENOSHA, WI) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
95
FUERST FINANCIAL GROUP, INC. — (CHATTANOOGA, TN) is newly SEC-registered with $100.9M RAUM and 2 advisory reps. IAPD ↗
95
DALY INVESTMENT MANAGEMENT, LLC — (MOUNT PROSPECT, IL) is newly SEC-registered with $123.5M RAUM and 1 advisory reps. IAPD ↗
95
INTEGRA WEALTH — (CHATTANOOGA, TN) is newly SEC-registered with $116.5M RAUM and 1 advisory reps. IAPD ↗
95
DW INVESTMENT SOLUTIONS, INC. — (location n/a) is newly SEC-registered with $111.4M RAUM and 2 advisory reps. IAPD ↗
95
MONTELLO WEALTH MANAGEMENT, INC. — (PALM BEACH GARDENS, FL) is newly SEC-registered with $108.4M RAUM and 1 advisory reps. IAPD ↗
95
PACIFIC FINANCIAL ADVISORS — (BELLEVUE, WA) is newly SEC-registered with $110.2M RAUM and 5 advisory reps. IAPD ↗
95
MAGGI INVESTMENT SERVICES, LLC — (OLDMAR, FL) is newly SEC-registered with $154.0M RAUM and 3 advisory reps. IAPD ↗
95
EAGLE CAPITAL ADVISORS, LLC — (MIDDLEBURY, CT) is newly SEC-registered with $103.0M RAUM and 2 advisory reps. IAPD ↗
95
SULZBERGER CAPITAL ADVISORS, INC. — (MIAMI, FL) is newly SEC-registered with $117.1M RAUM and 2 advisory reps. IAPD ↗
95
MIDDLE STREET CAPITAL, LLC — (NEWFIELDS, NH) is newly SEC-registered with $132.1M RAUM and 1 advisory reps. IAPD ↗
95
RJ PATTERSON GROUP — (SAN DIEGO, CA) is newly SEC-registered with $142.4M RAUM and 2 advisory reps. IAPD ↗
95
PACIFIC SPECIALTY INVESTMENT GROUP, LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $123.2M RAUM and 2 advisory reps. IAPD ↗
95
TQM WEALTH PARTNERS — (MARBLEHEAD, MA) is newly SEC-registered with $123.7M RAUM and 3 advisory reps. IAPD ↗
95
SOUTH TEXAS CAPITAL ADVISORS, LLC — (NEW BRAUNFELS, TX) is newly SEC-registered with $167.2M RAUM and 2 advisory reps. IAPD ↗
95
GREENLEAF FINANCIAL NETWORK, LLC — (location n/a) is newly SEC-registered with $123.7M RAUM and 11 advisory reps. IAPD ↗
95
FORESIGHT WEALTH ADVISORS — (SKOKIE, IL) is newly SEC-registered with $121.2M RAUM and 1 advisory reps. IAPD ↗
95
ORCHARD CITY WEALTH MANAGEMENT, LLC — (LOS GATOS, CA) is newly SEC-registered with $116.1M RAUM and 1 advisory reps. IAPD ↗
95
SAN FRANCISCO WEALTH PLANNING LLC — (location n/a) is newly SEC-registered with $112.3M RAUM and 2 advisory reps. IAPD ↗
95
ALO FINANCIAL PLANNING — (MOUNT PROSPECT, IL) is newly SEC-registered with $120.9M RAUM and 2 advisory reps. IAPD ↗
95
GLASSBEAD CAPITAL MANAGEMENT LLC — (MIAMI BEACH, FL) is newly SEC-registered with $140.3M RAUM and 1 advisory reps. IAPD ↗
95
ROSS WEALTH ADVISORS, LLC — (COLUMBUS, OH) is newly SEC-registered with $139.7M RAUM and 2 advisory reps. IAPD ↗
95
VERAZ ADVISORS — (SAN RAMON, CA) is newly SEC-registered with $109.6M RAUM and 3 advisory reps. IAPD ↗
95
A BETTER WAY FINANCIAL, LLC — (ALLENTOWN, PA) is newly SEC-registered with $109.0M RAUM and 5 advisory reps. IAPD ↗
95
MK3 WEALTH LLC — (CHERRY HILL, NJ) is newly SEC-registered with $113.1M RAUM and 3 advisory reps. IAPD ↗
95
SIERRA MANAGEMENT GROUP — (RENO, NV) is newly SEC-registered with $127.1M RAUM and 2 advisory reps. IAPD ↗
95
LUNA CAPITAL MANAGEMENT, LLC — (BURLINGAME, CA) is newly SEC-registered with $116.4M RAUM and 2 advisory reps. IAPD ↗
95
NORTHBROOK FINANCIAL — (BALTIMORE, MD) is newly SEC-registered with $108.8M RAUM and 2 advisory reps. IAPD ↗
95
WESTPOINT WEALTH MANAGEMENT, LLC — (BEREA, OH) is newly SEC-registered with $106.0M RAUM and 9 advisory reps. IAPD ↗
95
ONTRACK WEALTH MANAGEMENT — (CANTON, MI) is newly SEC-registered with $112.4M RAUM and 2 advisory reps. IAPD ↗
95
WRIGHT WEALTH LLC — (ATLANTA, GA) is newly SEC-registered with $188.5M RAUM and 6 advisory reps. IAPD ↗
95
DIVERSIFIED PLANNING STRATEGIES ADVISORS LLC — (ROSELAND, NJ) is newly SEC-registered with $154.4M RAUM and 4 advisory reps. IAPD ↗
95
FINISH WELL RIA LLC — (COLUMBUS, OH) is newly SEC-registered with $109.0M RAUM and 2 advisory reps. IAPD ↗
95
QUORUS INC. — (WESTPORT, CT) is newly SEC-registered with $148.2M RAUM and 3 advisory reps. IAPD ↗
95
SPORTSOLOGY CAPITAL PARTNERS — (NEW YORK, NY) is newly SEC-registered with $156.4M RAUM and 6 advisory reps. IAPD ↗
95
DOUBLE EAGLE WEALTH MANAGEMENT LLC — (DALLAS, TX) is newly SEC-registered with $108.6M RAUM and 1 advisory reps. IAPD ↗
95
FINDICIA, INC. — (RALEIGH, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
WEALTH FOUNDATIONS PARTNERS, LLC — (SALT LAKE CITY, UT) is newly SEC-registered with $110.5M RAUM and 10 advisory reps. IAPD ↗
95
TOP PRIVATE WEALTH — (GLASTONBURY, CT) is newly SEC-registered with $106.5M RAUM and 2 advisory reps. IAPD ↗
95
INFINITY TAX & FINANCIAL PLANNING — (HUNTSVILLE, AL) is newly SEC-registered with $100.0M RAUM and 5 advisory reps. IAPD ↗
95
VISIONX WEALTH PARTNERS — (FORT DODGE, IA) is newly SEC-registered with $110.2M RAUM and 1 advisory reps. IAPD ↗
95
TRADEUP WEALTH MANAGEMENT, INC. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
PILOTAI WEALTH — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ALDER POINT CAPITAL MANAGEMENT LLC — (LAFAYETTE, CO) is newly SEC-registered with $121.3M RAUM and 6 advisory reps. IAPD ↗
95
95
ASAL INVEST — (ARLINGTON, VA) is newly SEC-registered with $270 RAUM and 2 advisory reps. IAPD ↗
95
ALPHATRUST ADVISORS — (PHOENIX, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ROI FINANCIAL PLANNING — (CLARKSVILLE, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
CAPITAL FINANCIAL PLANNERS LLC — (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
TOGETHER WEALTH GROUP LLC — (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
KEYSTONE FINANCIAL RESOURCES, LLC — (BRENTWOOD, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
BEACON COAST PARTNERS, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
NAPLES PRIVATE CAPITAL, LLC — (MOORESVILLE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
OVERWATCH CAPITAL ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
DVB PRIVATE WEALTH — (HARRISBURG, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
LIFEWISE WEALTH ADVISORS — (CHAMPAIGN, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
HAFELE INVESTMENTS — (LOUISVILLE, KY) is newly SEC-registered (provisional 120-day approval) with $57.7M RAUM and 3 advisory reps. IAPD ↗
95
STAR WEALTH MANAGEMENT CORPORATION — (BINGHAM FARMS, MI) is newly SEC-registered with $156.5M RAUM and 1 advisory reps. IAPD ↗
95
N10° WEALTH — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
VENEROSO WEALTH MANAGEMENT — (WOODBURY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CASTLE WEALTH GROUP — (MOORESVILLE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MARTIN & COMPANY — (VALENCIA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
N10° ASSETS — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
BROADSIDE WEALTH — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
FUTUREIT INC. — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
WHITEROCK WEALTH DESIGN, LLC — (FAYETTEVILLE, AR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
95
HOFMAN WEALTH MANAGEMENT — (CHESTERFIELD, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
VECTIS CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
BREITER WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MERIDIAN WEALTH GROUP — (DADE CITY, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ELLIS WEALTH ADVISORS, LLC — (MADISON, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ANCHOR & OAK WEALTH ADVISORS, LLC — (MARCO ISLAND, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
STEFFENS FINANCIAL CORP — (BYRAM TOWNSHIP, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
755 FINANCIAL — (WOODSTOCK, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
POLSON WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TRUELINE WEALTH GROUP, LLC — (HATTIESBURG, MS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
SCHEELER FINANCIAL GROUP — (WEST CHESTER, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
STACKSTONE WEALTH, LLC — (DUBUQUE, IA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 18 advisory reps. IAPD ↗
95
ROTHSCHILD FINANCIAL PARTNERS, LLC — (OAK BROOK, IL) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
HERITAGE HAUS WEALTH PARTNERS LLC — (NEW BRAUNFELS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
PFS SIGNATURE WEALTH — (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
85
SB ADVISORY, LLC — crossed $1B in regulatory AUM ($404.8M -> $1.10B). IAPD ↗
85
MIRADOR CAPITAL PARTNERS — crossed $1B in regulatory AUM ($934.3M -> $1.01B). IAPD ↗
85
ARCA WEALTH, LLC — crossed $1B in regulatory AUM ($588.0M -> $1.27B). IAPD ↗
85
PARKWOODS WEALTH PARTNERS, LLC — crossed $1B in regulatory AUM ($961.9M -> $1.79B). IAPD ↗
85
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST — grew from 157 to 219 advisory reps. IAPD ↗
85
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. — grew from 99 to 116 advisory reps. IAPD ↗
85
KEEL POINT, LLC — grew from 39 to 54 advisory reps. IAPD ↗
85
ARAX ADVISORY PARTNERS — grew from 55 to 140 advisory reps. IAPD ↗
85
ELEVATION POINT WEALTH PARTNERS, LLC — grew from 38 to 54 advisory reps. IAPD ↗
85
STEPSTONE GROUP LP — grew from 193 to 209 advisory reps. IAPD ↗
85
BLUESPRING WEALTH MANAGEMENT, LLC — grew from 14 to 31 advisory reps. IAPD ↗
85
KINTRA WEALTH, LLC — grew from 28 to 43 advisory reps. IAPD ↗
80
MACQUARIE WEALTH ADVISERS, LLC — grew from 14 to 24 advisory reps. IAPD ↗
80
BBVA GLOBAL WEALTH ADVISORS, INC. — grew from 29 to 39 advisory reps. IAPD ↗
77
PARKWOODS WEALTH PARTNERS, LLC — grew from 14 to 21 advisory reps. IAPD ↗
76
MEEDER PUBLIC FUNDS, INC. — grew from 52 to 58 advisory reps. IAPD ↗
76
SANCTUARY ADVISORS, LLC — grew from 390 to 396 advisory reps. IAPD ↗
75
ARCA WEALTH, LLC — grew from 6 to 11 advisory reps. IAPD ↗
75
GRYPHON WEALTH — 's provisional registration is now fully approved. IAPD ↗
75
VISE AI ADVISORS — now reports 1 private fund(s) ($24.2M gross). IAPD ↗
74
ADDICUS ADVISORY, LLC — grew from 12 to 21 advisory reps. IAPD ↗
73
CROSSMARK GLOBAL INVESTMENTS, INC. — grew from 11 to 14 advisory reps. IAPD ↗
73
PRAIRIE WEALTH ADVISORS, INC. — grew from 4 to 9 advisory reps. IAPD ↗
73
JET WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
RAIL-SPLITTER CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
73
LEO WEALTH AMERICAS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
ROCKWALL WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
73
TYLER STREET CAPITAL — 's provisional registration is now fully approved. IAPD ↗
73
TAILORED WEALTH SOLUTIONS — 's provisional registration is now fully approved. IAPD ↗
73
HOMAGE WEALTH GROUP LLC — 's provisional registration is now fully approved. IAPD ↗
73
MDT FINANCIAL ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
GIBERT WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
72
ASSET STRATEGY CONSULTANTS LLC — grew from 9 to 11 advisory reps. IAPD ↗
72
PCM ENCORE, LLC — grew from 6 to 8 advisory reps. IAPD ↗
71
PRAIRIE ADVISORY, LLC — grew from 6 to 9 advisory reps. IAPD ↗
71
MDT FINANCIAL ADVISORS, LLC — grew from 2 to 5 advisory reps. IAPD ↗
70
PRIME CAPITAL FINANCIAL — now reports custody of client assets ($1.0M). IAPD ↗
70
VISE AI ADVISORS — now reports custody of client assets ($24.2M). IAPD ↗
70
WOMACK WEALTH MANAGEMENT, INC. — grew from 5 to 7 advisory reps. IAPD ↗
70
HILLTOP WEALTH ADVISORS, LLC — grew from 8 to 10 advisory reps. IAPD ↗
70
IVESTA CORP — 's provisional registration is now fully approved. IAPD ↗
70
VOSS WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
HAZLETT WEALTH MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
70
CENTRUS FINANCIAL STRATEGIES — 's provisional registration is now fully approved. IAPD ↗
70
GUDORF FINANCIAL GROUP, LLC — 's provisional registration is now fully approved. IAPD ↗
70
HAIRE WEALTH MANAGEMENT, INC. — 's provisional registration is now fully approved. IAPD ↗
70
VANDALIA WEALTH — 's provisional registration is now fully approved. IAPD ↗
70
CAPSTONE WEALTH MANAGEMENT GROUP, INC. — 's provisional registration is now fully approved. IAPD ↗
70
COAST ADVISORY LLC — 's provisional registration is now fully approved. IAPD ↗
70
SOULENCE WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
VELARIS WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
VERA LAKE CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗
70
GERVAIS CAPITAL MANAGEMENT, LLC — now reports 1 private fund(s) ($739,752 gross). IAPD ↗
70
PRIVATE FINANCIAL MANAGEMENT LLC — now reports 2 private fund(s) ($1.9M gross). IAPD ↗
70
ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM) — now reports 1 private fund(s) ($1.1M gross). IAPD ↗
69
FIDUCIARY CAPITAL MANAGEMENT LLC — grew from 6 to 10 advisory reps. IAPD ↗
68
LOTUSGROUP ADVISORS — now reports custody of client assets ($12.2M). IAPD ↗
68
CERRO PACIFIC WEALTH ADVISORS, LLC — now reports custody of client assets ($343.0M). IAPD ↗
68
TYLER STREET CAPITAL — now reports custody of client assets ($310.1M). IAPD ↗
68
TAILORED WEALTH SOLUTIONS — now reports custody of client assets ($53.5M). IAPD ↗
68
UNION STRATEGIC ADVISORS — now reports custody of client assets ($131.1M). IAPD ↗
68
MDT FINANCIAL ADVISORS, LLC — now reports custody of client assets ($14.1M). IAPD ↗
68
GIBERT WEALTH MANAGEMENT — now reports custody of client assets ($23.9M). IAPD ↗
68
LANDOLT SECURITIES, INC. — grew from 10 to 13 advisory reps. IAPD ↗
68
PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY — grew from 1 to 4 advisory reps. IAPD ↗
67
ALPHA WEALTH FUNDS, LLC — grew from 9 to 11 advisory reps. IAPD ↗
67
BLUE LINE CAPITAL — grew from 5 to 7 advisory reps. IAPD ↗
67
DBA BIG MONEY RETIREMENT AND BIG RETIREMENT — grew from 7 to 9 advisory reps. IAPD ↗
67
EAGLE'S CREST ADVISORS, LLC — grew from 1 to 3 advisory reps. IAPD ↗
67
CHARLESBRIDGE ADVISORS — grew from 2 to 4 advisory reps. IAPD ↗
65
INTEGRITY WEALTH MANAGEMENT, LLC — now reports custody of client assets ($16.7M). IAPD ↗
65
MONTGOMERY CAPITAL ADVISORS LLC — now reports custody of client assets ($130.1M). IAPD ↗
65
SEABORN FINANCIAL, LLC — now reports custody of client assets ($93.1M). IAPD ↗
65
BRANDYWINE ASSET MANAGEMENT — now reports custody of client assets ($11.0M). IAPD ↗
65
PASSIVE MANAGEMENT LLC — now reports custody of client assets ($22.6M). IAPD ↗
65
FUNDAMENTAL INVESTMENT SERVICES, LLC — now reports custody of client assets ($12.2M). IAPD ↗
65
ASA ASSET MANAGEMENT LLC — now reports custody of client assets ($2.3M). IAPD ↗
65
COUNTRYSIDE FINANCIAL LLC — now reports custody of client assets ($57.3M). IAPD ↗
65
FORWARD WEALTH — now reports custody of client assets ($51.1M). IAPD ↗
65
ACORN ASSET MANAGEMENT LLC — now reports custody of client assets ($6.6M). IAPD ↗
65
VERA LAKE CAPITAL, LLC — now reports custody of client assets. IAPD ↗
65
MEEDER PUBLIC FUNDS, INC. — began participating in a wrap-fee program. IAPD ↗
63
MATTSON FINANCIAL SERVICES, LLC — began participating in a wrap-fee program. IAPD ↗
60
INTEGRATED WEALTH ADVISORS, LLC — began participating in a wrap-fee program. IAPD ↗
60
ACME JACK WEALTH MANAGEMENT — began participating in a wrap-fee program. IAPD ↗
60
COUNTRYSIDE FINANCIAL LLC — began participating in a wrap-fee program. IAPD ↗
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 7 (290 -> 297). IAPD ↗
55
GOLDMAN SACHS & CO. LLC — 's Item 11 disclosure-reporting entries rose by 1 (770 -> 771). IAPD ↗
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 5 (205 -> 210). IAPD ↗
55
AMERIPRISE FINANCIAL SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 2 (241 -> 243). IAPD ↗
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 4 (372 -> 376). IAPD ↗
55
NBC SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗
55
RBC CAPITAL MARKETS, LLC — 's Item 11 disclosure-reporting entries rose by 7 (152 -> 159). IAPD ↗
55
GOLDMAN SACHS WEALTH SERVICES, L.P. — 's Item 11 disclosure-reporting entries rose by 1 (30 -> 31). IAPD ↗
55
CIBC PRIVATE WEALTH ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 1 (12 -> 13). IAPD ↗
55
SPIRE WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (15 -> 16). IAPD ↗
55
ARAX ADVISORY PARTNERS — 's Item 11 disclosure-reporting entries rose by 2 (6 -> 8). IAPD ↗
55
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (79 -> 81). IAPD ↗
55
KEY INVESTMENT SERVICES LLC — 's Item 11 disclosure-reporting entries rose by 8 (11 -> 19). IAPD ↗
55
MORGAN STANLEY — 's Item 11 disclosure-reporting entries rose by 1 (226 -> 227). IAPD ↗
55
FOUNDATIONS INVESTMENT ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (11 -> 13). IAPD ↗
55
AE WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (29 -> 31). IAPD ↗
55
KESTRA ADVISORY SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 1 (24 -> 25). IAPD ↗
55
MACERATIO LLC — 's Item 11 disclosure-reporting entries rose by 2 (6 -> 8). IAPD ↗
55
ARAX ADVISORY PARTNERS — notice-filed in AK, DE, KY, ME, MS, SD, VI, VT, WV. IAPD ↗
55
EMPIRICAL WEALTH MANAGEMENT — notice-filed in AL, IA, MS, ND, NE, OK, RI, SD, VT, WV. IAPD ↗
55
BLUESPRING WEALTH MANAGEMENT, LLC — notice-filed in HI, KY, LA, NV, OH, PA, VA, WA. IAPD ↗
55
ELWOOD & GOETZ — notice-filed in AL, MD, NY, UT, WA. IAPD ↗
55
NINETY ONE NORTH AMERICA, INC. — notice-filed in AK, AR, IA, ID, IL, KS, KY, ME, MO, MT, ND, OK, OR, PR, RI, SD, UT, VI, VT, WI, WV, WY. IAPD ↗
55
KINTRA WEALTH, LLC — notice-filed in AZ, CA, CT, DC, DE, IL, IN, KY, MD, ME, SC, TN, VA, WA, WV. IAPD ↗
53
HILLTOP WEALTH ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
GREENSPRING ADVISORS, LLC — notice-filed in AZ, CO, MI, TN. IAPD ↗
53
KINGSVIEW WEALTH MANAGEMENT, LLC — notice-filed in AK, ME, ND, RI. IAPD ↗
53
ROOT FINANCIAL PARTNERS — notice-filed in AL, IA, MT, NM. IAPD ↗
53
PARKWOODS WEALTH PARTNERS, LLC — notice-filed in LA, MN, UT, WI. IAPD ↗
53
JET WEALTH ADVISORS — notice-filed in CO, FL, IL, IN, MI, TX. IAPD ↗
53
XCELSIOR ADVISOR PARTNERS LLC — notice-filed in IN, MO, NC, TN, UT, VA, WA, WY. IAPD ↗
51
PRINCIPLED WEALTH ADVISORS, LLC — notice-filed in LA, OH, PA, TX. IAPD ↗
51
L & S ADVISORS, INC — notice-filed in GA, OH, UT. IAPD ↗
51
INSIGNEO ADVISORY SERVICES, LLC — notice-filed in DC, IA, NM. IAPD ↗
51
PERFORMANCE WEALTH — notice-filed in CT, HI, OR. IAPD ↗
51
ENCOMPASS MORE ASSET MANAGEMENT LLC — notice-filed in ND, RI, SD, VI. IAPD ↗
51
SPIREPOINT PRIVATE CLIENT, LLC — notice-filed in CA, MI, VT. IAPD ↗
50
SUPREME ALLIANCE LLC — 's Item 11 disclosure-reporting entries rose by 4 (2 -> 6). IAPD ↗
50
APERTURE ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
50
BLUEVINE ADVISORY LLC — notice-filed in AZ, CO, CT, DE, FL, GA, IL, IN, KY, LA, MA, MD, MI, MN, MO, NC, NE, NH, NV, NY, OH, OR, PA, SC, TN, TX, UT, VA, WA, WI. IAPD ↗
50
ELEVATE FINANCIAL PLANNING AND WEALTH MANAGEMENT — notice-filed in AZ, KS, MD, MI, MO, NY, OH, WV. IAPD ↗
50
EMVISION CAPITAL ADVISORS, LLC — notice-filed in FL, IL, IN, MI, NC, NE, OR, PA, SC, TN, TX, VA, WV. IAPD ↗
50
50
WEALTHIE ADVISORS — notice-filed in AZ, CT, FL, ID, IL, KS, LA, MI, NC, NE, NH, NJ, NV, OH, OR, TX. IAPD ↗
50
VANDALIA WEALTH — notice-filed in CO, FL, GA, MD, SC, TN. IAPD ↗
50
FIDUCIARY CAPITAL MANAGEMENT LLC — notice-filed in CO, CT, GA, IL, LA, MN. IAPD ↗
50
COINBASE ADVISORS — notice-filed in AK, AL, AR, AZ, CA, CO, 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 ↗
49
ASHTON THOMAS SECURITIES, LLC — notice-filed in KY, NM. IAPD ↗
49
SJS INVESTMENT SERVICES — notice-filed in LA, OR. IAPD ↗
49
WATTS GWILLIAM & COMPANY, LLC — notice-filed in OH, OR. IAPD ↗
49
MCDONOUGH CAPITAL MANAGEMENT, INC. — notice-filed in MD, NH, VA. IAPD ↗
49
OCCIDENTAL ASSET MANAGEMENT, LLC — notice-filed in MA, MO. IAPD ↗
49
INTEGRATED ADVISORS NETWORK LLC — notice-filed in NE, PR. IAPD ↗
49
THE WEALTH CONSULTING GROUP — notice-filed in VI, WV. IAPD ↗
49
EQUITY WEALTH PARTNERS, LLC — notice-filed in CA, MN, OH. IAPD ↗
49
SOLLINDA CAPITAL MANAGEMENT LLC — notice-filed in AZ, KY. IAPD ↗
49
UNITING WEALTH PARTNERS — notice-filed in GA, MN, NM. IAPD ↗
49
LAUREL OAK WEALTH MANAGEMENT, LLC — notice-filed in AZ, OH. IAPD ↗
49
MDT FINANCIAL ADVISORS, LLC — notice-filed in CA, CO, LA. IAPD ↗
49
GIBERT WEALTH MANAGEMENT — notice-filed in GA, LA, SC. IAPD ↗
47
COORDINATED FINANCIAL PLANNING CORP — notice-filed in GA, NH. IAPD ↗
47
FINANCIAL SYNERGIES — notice-filed in VA. IAPD ↗
47
PINNACLE ADVISORS — notice-filed in PA. IAPD ↗
47
LORING, WOLCOTT & COOLIDGE FIDUCIARY ADVISORS, LLP — notice-filed in NJ. IAPD ↗
47
CJM WEALTH ADVISERS, LTD. — notice-filed in UT. IAPD ↗
47
COLONIAL TRUST ADVISORS, INC. — notice-filed in LA. IAPD ↗
47
PINKERTON WEALTH PARTNERS — notice-filed in TN. IAPD ↗
47
KEEL POINT, LLC — notice-filed in PR. IAPD ↗
47
PERIGON WEALTH MANAGEMENT, LLC — notice-filed in VT. IAPD ↗
47
EHRENKRANZ PARTNERS L.P. — notice-filed in CO. IAPD ↗
47
PROSPERITY - AN EISNERAMPER COMPANY — notice-filed in OK. IAPD ↗
47
PARAGON FINANCIAL ADVISORS — notice-filed in LA. IAPD ↗
47
DEAN CAPITAL MANAGEMENT — notice-filed in UT. IAPD ↗
47
JACOBI CAPITAL MANAGEMENT, LLC — notice-filed in NE. IAPD ↗
47
PEDDOCK CAPITAL ADVISORS, LLC — notice-filed in FL, NY. IAPD ↗
47
KILEY JUERGENS WEALTH MANAGEMENT, LLC — notice-filed in GA. IAPD ↗
47
RIA ADVISORY GROUP, LLC — notice-filed in IN, MS. IAPD ↗
47
RIVER STREET ADVISORS, LLC — notice-filed in AZ, CO. IAPD ↗
47
PETTINGA FINANCIAL ADVISORS, LLC — notice-filed in WI. IAPD ↗
47
SUMMIT GLOBAL INVESTMENTS, LLC — notice-filed in RI. IAPD ↗
47
FINANCIAL CONCEPTS — notice-filed in AK. IAPD ↗
47
THREE BELL CAPITAL LLC — notice-filed in VT. IAPD ↗
47
CLARO ADVISORS INC. — notice-filed in CO. IAPD ↗
47
TVAMP, LLC — notice-filed in IA. IAPD ↗
47
FOUNDATION WEALTH MANAGEMENT, LLC — notice-filed in NH, TX. IAPD ↗
47
ARMSTRONG DIXON — notice-filed in DE, OR. IAPD ↗
47
EVERGREEN WEALTH — notice-filed in IN. IAPD ↗
47
JIM SAULNIER & ASSOCIATES, LLC — notice-filed in MN, NE. IAPD ↗
47
JOURNEY ADVISORY GROUP, LLC — notice-filed in WV. IAPD ↗
47
RIVER WEALTH ADVISORS LLC — notice-filed in CT. IAPD ↗
47
ALTUS WEALTH GROUP, LLC — notice-filed in SC, TN. IAPD ↗
47
GRYPHON FINANCIAL PARTNERS — notice-filed in WI. IAPD ↗
47
VALLEY WEALTH STRATEGIES, LLC — notice-filed in NH. IAPD ↗
47
BRIO FINANCIAL GROUP — notice-filed in NV. IAPD ↗
47
LEGACY CAPITAL WEALTH PARTNERS, LLC — notice-filed in NE. IAPD ↗
47
TANDEM FINANCIAL, LLC — notice-filed in VI, WI. IAPD ↗
47
VAN CLEMENS WEALTH MANAGEMENT, LLC — notice-filed in AZ, PA. IAPD ↗
47
ECIO, INC. — notice-filed in MA, MD. IAPD ↗
47
MADISON PARTNERS — notice-filed in MI. IAPD ↗
47
OCTAVIA WEALTH ADVISORS LLC — notice-filed in WI. IAPD ↗
47
ASPIRE GROWTH PARTNERS LLC — notice-filed in NH. IAPD ↗
47
GATEWAY WEALTH PARTNERS, LLC — notice-filed in ND. IAPD ↗
47
FCIG WEALTH MANAGEMENT, LLC — notice-filed in RI, SC. IAPD ↗
47
PARR MCKNIGHT WEALTH MANAGEMENT GROUP — notice-filed in TN. IAPD ↗
47
ETZ ADVISORY LLC — notice-filed in NY. IAPD ↗
47
PEARL PLANNING — notice-filed in CO, GA. IAPD ↗
47
STONEBRIDGE FINANCIAL GROUP, LLC — notice-filed in PA. IAPD ↗
47
TAILORED WEALTH SOLUTIONS — notice-filed in FL, MA. IAPD ↗
46
FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO. — notice-filed in CO, NY, TX. IAPD ↗
46
RIGHTOAK ASSET MANAGEMENT, LLC — notice-filed in CO, ID, WI. IAPD ↗
45
FFT WEALTH MANAGEMENT — filed an Item 4A succession naming FFT WEALTH MANAGEMENT (CRD 151225) — an entity change, not a deal. IAPD ↗
45
LGL PARTNERS, LLC — filed an Item 4A succession naming LGL PARTNERS, LLC (CRD 289784) — an entity change, not a deal. IAPD ↗
45
ASCENSION CAPITAL ADVISORS, INC. — notice-filed in CO. IAPD ↗
45
OBRIEN GREENE & CO INC — notice-filed in NH. IAPD ↗
45
DETTERBECK WEALTH MANAGEMENT — notice-filed in CO. IAPD ↗
45
MADRONA FINANCIAL & CPAS — notice-filed in HI. IAPD ↗
45
BATES FINANCIAL ADVISORS, INC. — notice-filed in CT. IAPD ↗
45
EATON-CAMBRIDGE INC. — notice-filed in FL. IAPD ↗
45
ACCORDANT ADVISORY GROUP, INC. — notice-filed in NH. IAPD ↗
45
AMERICAN WEALTH MANAGEMENT — notice-filed in GA. IAPD ↗
45
ALPHA FINANCIAL ADVISORS, LLC — notice-filed in CT. IAPD ↗
45
SAXONY CAPITAL MANAGEMENT, LLC — notice-filed in WI. IAPD ↗
45
DOPKINS WEALTH MANAGEMENT, LLC — notice-filed in NC. IAPD ↗
45
CORNERSTONE WEALTH ADVISORS, INC. — notice-filed in OR. IAPD ↗
45
WISER WEALTH MANAGEMENT, INC — notice-filed in KY. IAPD ↗
45
FAMILY WEALTH ADVISORY GROUP, LLC — notice-filed in IL. IAPD ↗
45
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE — notice-filed in OH. IAPD ↗
45
WEAVER CAPITAL MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
45
BROADLEAF PARTNERS, LLC — notice-filed in MI. IAPD ↗
45
FREEDOM DAY SOLUTIONS, LLC — notice-filed in OR. IAPD ↗
45
HENRICKSON NAUTA WEALTH ADVISORS, INC. — notice-filed in OH. IAPD ↗
45
IRONWOOD FINANCIAL, LLC — notice-filed in OR. IAPD ↗
45
TOWERCREST CAPITAL MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
45
LIFESTEPS FINANCIAL — notice-filed in KS. IAPD ↗
45
BLACKHAWK CAPITAL PARTNERS, LLC — notice-filed in MN. IAPD ↗
45
STONEMARK WEALTH MANAGEMENT — notice-filed in LA. IAPD ↗
45
SOLOMON API LLC — notice-filed in LA. IAPD ↗
45
OMEGA FINANCIAL GROUP, LLC — notice-filed in NV. IAPD ↗
45
STRATEGIC INCOME GROUP LLC — notice-filed in FL. IAPD ↗
45
GENESEE CAPITAL ADVISORS, LLC — notice-filed in LA. IAPD ↗
45
VANTAGE POINT WEALTH MANAGEMENT — notice-filed in OR. IAPD ↗
45
ACORN WEALTH ADVISORS, LLC — notice-filed in OH. IAPD ↗
45
COLUMBIA ADVISORY PARTNERS, LLC — notice-filed in MI. IAPD ↗
45
PROFESSIONAL FINANCIAL ADVISORS, LLC — notice-filed in OH. IAPD ↗
45
QUARTZ PARTNERS INVESTMENT MANAGEMENT — notice-filed in OR. IAPD ↗
45
CORE WEALTH ADVISORS, INC. — notice-filed in LA. IAPD ↗
45
BLUE WATER ASSET MANAGEMENT — notice-filed in CA. IAPD ↗
45
THRIVE CAPITAL MANAGEMENT, LLC — notice-filed in CT. IAPD ↗
45
COMPTON WEALTH ADVISORY GROUP, LLC — notice-filed in NE. IAPD ↗
45
LIFEGUIDE FINANCIAL ADVISORS, LLC — notice-filed in NY. IAPD ↗
45
XYPN INVEST — notice-filed in AZ. IAPD ↗
45
MILLENNIAL WEALTH — notice-filed in TN. IAPD ↗
45
PCG WEALTH MANAGEMENT — notice-filed in VA. IAPD ↗
45
GRANT PRIVATE WEALTH MANAGEMENT — notice-filed in VA. IAPD ↗
45
REGENT PEAK WEALTH ADVISORS, LLC — notice-filed in NJ. IAPD ↗
45
BLUEDOOR PRIVATE WEALTH, LLC — notice-filed in CA. IAPD ↗
45
IAM ADVISORY LLC — notice-filed in LA. IAPD ↗
45
ALPHA CAPITAL FAMILY OFFICE, LLC — notice-filed in FL. IAPD ↗
45
TRU INDEPENDENCE ASSET MANAGEMENT 2, LLC — notice-filed in CO. IAPD ↗
45
CORNERSTONE PORTFOLIO RESEARCH — notice-filed in WA. IAPD ↗
45
OLIVEIRA WEALTH — notice-filed in AZ. IAPD ↗
45
LEES MONSOUR GROUP — notice-filed in AK. IAPD ↗
45
J.R. PRUNIER CAPITAL MANAGEMENT LLC — notice-filed in WA. IAPD ↗
45
MARIDEA WEALTH MANAGEMENT — notice-filed in OH. IAPD ↗
45
ACCELERATE RETIREMENT — notice-filed in CT. IAPD ↗
45
TIDEMARK, LLC — notice-filed in NC. IAPD ↗
45
STONEPATH WEALTH MANAGEMENT — notice-filed in SC. IAPD ↗
45
PROSPERA CAPITAL MANAGEMENT, LLC — notice-filed in DC. IAPD ↗
45
BRADY MARTZ WEALTH SOLUTIONS, LLC — notice-filed in NE. IAPD ↗
45
ALTERI WEALTH — notice-filed in HI. IAPD ↗
45
OUTRUNNER CAPITAL, LLC — notice-filed in LA. IAPD ↗
45
LEE, KELLEHER & KLEIN WEALTH MANAGEMENT — notice-filed in DE. IAPD ↗
45
HEADLAND CAPITAL — notice-filed in MD. IAPD ↗
45
GLR PARTNERS — notice-filed in TX. IAPD ↗
45
CEDAR COVE WEALTH PARTNERS — notice-filed in TX. IAPD ↗
45
CANBY FINANCIAL ADVISORS — notice-filed in TX. IAPD ↗
44
ASHWOOD ADVISORS — notice-filed in RI, SC. IAPD ↗
44
BROADHURST FINANCIAL ADVISORS, INC. — notice-filed in MD, TX. IAPD ↗
44
QUANTUM FINANCIAL PARTNERS LLC — notice-filed in CA, FL. IAPD ↗
44
FLIGHT LINE FINANCIAL, LLC — notice-filed in MN, SC. IAPD ↗
44
BOLDIN ADVISORS — notice-filed in DC, DE. IAPD ↗
44
ARCH GLOBAL ADVISORS, LLC — notice-filed in CA, OH. IAPD ↗
44
MILLSTONE FINANCIAL GROUP — notice-filed in NH, PA. IAPD ↗
44
API FINANCIAL ADVISORS, LLC — notice-filed in LA, NH. IAPD ↗
44
ABUNDO WEALTH — notice-filed in ID, LA. IAPD ↗
44
WINCAP FINANCIAL LLC — notice-filed in CT, OH. IAPD ↗
44
ALIANZA CORP. INVESTMENT ADVISOR — notice-filed in NY, TX. IAPD ↗
44
CREATIVE INVESTMENT GROUP — notice-filed in IN, NY. IAPD ↗
44
ALLVET FINANCIAL — notice-filed in NE, WA. IAPD ↗
44
STILLWATER PRIVATE WEALTH — notice-filed in FL, NY. IAPD ↗
44
ALTRUIST ADVISORS LLC — notice-filed in OR, TX. IAPD ↗
42
COORDINATED CAPITAL SECURITIES, INC. — notice-filed in NY. IAPD ↗
42
WESTPARK CAPITAL, INC. — notice-filed in SC. IAPD ↗
42
SUPREME ALLIANCE LLC — notice-filed in ME. IAPD ↗
42
WARD & ASSOCIATES — notice-filed in TX. IAPD ↗
42
PEGASUS GROUP, LLC — notice-filed in FL. IAPD ↗
42
PRUNEYARD FINANCIAL GROUP, INC. — notice-filed in TX. IAPD ↗
42
QUALITY FINANCIAL CONCEPTS — notice-filed in NC. IAPD ↗
42
COLMAN KNIGHT ADVISORY GROUP, LLC — notice-filed in MD. IAPD ↗
42
CORNERSTONE FINANCIAL — notice-filed in TX. IAPD ↗
42
PERSONAL ASSET STRATEGIES, INC. — notice-filed in MA. IAPD ↗
42
SALVINI FINANCIAL PLANNING — notice-filed in FL. IAPD ↗
42
NGC FINANCIAL, LLC — notice-filed in TX. IAPD ↗
42
FINANCIAL ACTION, INC. — notice-filed in OK. IAPD ↗
42
SECURE INVESTMENT MANAGEMENT, LLC — notice-filed in NM. IAPD ↗
42
DES MOINES INVESTMENTS, LLC — notice-filed in HI. IAPD ↗
42
BELLINGHAM CAPITAL — notice-filed in IA. IAPD ↗
42
CAPSTONE WEALTH PARTNERS — notice-filed in PA. IAPD ↗
42
SIMPLYRIA ADVISOR NETWORK — notice-filed in MN. IAPD ↗
42
FULCRUM WEALTH MANAGEMENT — notice-filed in CT. IAPD ↗
42
NOSURIS, INC. — notice-filed in TN. IAPD ↗
42
TRANSGLOBAL ADVISORY, LLC — notice-filed in FL. IAPD ↗
42
SHELTER WEALTH STRATEGIES, LLC — notice-filed in AL. IAPD ↗
42
MODERNIST FINANCIAL, LLC — notice-filed in NH. IAPD ↗
42
PERISSOS PRIVATE WEALTH MANAGEMENT — notice-filed in WA. IAPD ↗
42
KASTEL CAPITAL ADVISORS, LLC — notice-filed in NH. IAPD ↗
42
ADDICUS ADVISORY, LLC — notice-filed in NE. IAPD ↗
42
ARNOLD AND MOTE WEALTH MANAGEMENT — notice-filed in LA. IAPD ↗
42
Q3 ADVISORS, LLC — notice-filed in WI. IAPD ↗
42
AFFINITY WEALTH LLC — notice-filed in TX. IAPD ↗
42
GREENWAY WEALTH ADVISORS, LLC — notice-filed in CA. IAPD ↗
42
BLUE JAY FINANCIAL GROUP, LLC — notice-filed in TX. IAPD ↗
42
COOKSEN WEALTH, LLC — notice-filed in VA. IAPD ↗
42
PARABLE WEALTH ADVISORS — notice-filed in TX. IAPD ↗
42
SECFI ADVISORY LIMITED — notice-filed in MO. IAPD ↗
42
WEALTH ENGAGEMENT — notice-filed in LA. IAPD ↗
42
PELICAN INVESTMENT ADVISORS, LLC — notice-filed in NM. IAPD ↗
42
JOURNEY RETIREMENT PLANNING AND INVESTMENT MANAGEMENT, LLC — notice-filed in AZ. IAPD ↗
42
COMPASS PRIVATE WEALTH GROUP LLC — notice-filed in TX. IAPD ↗
42
DBA BIG MONEY RETIREMENT AND BIG RETIREMENT — notice-filed in NC. IAPD ↗
42
PERCENT ADVISORS LLC — notice-filed in PA. IAPD ↗
42
BIG SKY WEALTH ADVISORS, LLC — notice-filed in CA. IAPD ↗
42
PEARL WEALTH GROUP — notice-filed in TN. IAPD ↗
42
RIVERTREE WEALTH — notice-filed in IL. IAPD ↗
42
ZERO DAY CAPITAL ENTERPRISES LLC — notice-filed in SC. IAPD ↗
42
WALTON FINANCIAL — notice-filed in MS. IAPD ↗
42
MARTINSEN WEALTH MANAGEMENT — notice-filed in OR. IAPD ↗
42
RILEY S. CROSBIE ADVISORY, LLC — notice-filed in TX. IAPD ↗
42
ANGELES FAMILY OFFICE — notice-filed in TX. IAPD ↗
42
GEVERS WEALTH MANAGEMENT — notice-filed in TX. IAPD ↗
42
2201 CAPITAL, LLC — notice-filed in NY. IAPD ↗
42
FACTORY CAPITAL LLC — notice-filed in GA. IAPD ↗
42
QUEST WEALTH SOLUTIONS, INC. — notice-filed in TX. IAPD ↗
85
DRIVE CAPITAL LLC — (COLUMBUS, OH) is newly SEC-registered with $4.38B RAUM and 13 advisory reps. IAPD ↗fund
85
MORNINGSIDE ASSET MANAGEMENT — (WILMINGTON, DE) is newly SEC-registered with $135.6M RAUM and 4 advisory reps. IAPD ↗institutional
85
ANTARCTICA SAF PARTNERS, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 13 advisory reps. IAPD ↗institutional
85
APPLIED ACADEMICS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 13 advisory reps. IAPD ↗institutional
85
BLOCKBRIDGE INVESTMENTS LLC — (MINNEAPOLIS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
CENTRICUS INVESTMENT ADVISORS (US) LLC — (BEVERLY HILLS, CA) is newly SEC-registered with $1.02B RAUM and 15 advisory reps. IAPD ↗fund
85
VISTA POINT ASSET MANAGEMENT LLC — (IRVINE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
MONROE CAPITAL ASSET FINANCE ADVISORS, LLC — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
AQUALIS PARTNERS LLC — (DARIEN, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
AMBER ROAD INVESTORS LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
RAMP ADVISORY LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
APPLESEED ADVISORY, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗institutional
85
CCAVENTUS GLOBAL CREDIT MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
85
PROSHARE INVESTMENT MANAGEMENT LLC — (BETHESDA, MD) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
ARCHIV CAPITAL MANAGEMENT LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
83
WARWICK GROUP II, INC. — (location n/a) is newly SEC-registered with $369.8M RAUM and 1 advisory reps. IAPD ↗fund
83
SAGE RESIDENTIAL MANAGEMENT LLC — (MORRISTOWN, NJ) is newly SEC-registered with $444.1M RAUM and 2 advisory reps. IAPD ↗fund
83
MILLENNIA GLOBAL INVESTORS, LLC — (NEW YORK, NY) is newly SEC-registered with $516.0M RAUM and 3 advisory reps. IAPD ↗fund
80
MORK CAPITAL MANAGEMENT — (HEALDSBURG, CA) is newly SEC-registered with $157.4M RAUM and 1 advisory reps. IAPD ↗fund
80
EMPIRICAL CAPITAL MANAGEMENT, LLC — (HENDERSONVILLE, TN) is newly SEC-registered with $152.7M RAUM and 3 advisory reps. IAPD ↗fund
80
MKT CAPITAL LLC — (location n/a) is newly SEC-registered with $158.2M RAUM and 3 advisory reps. IAPD ↗fund
80
ARROW CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $174.8M RAUM and 1 advisory reps. IAPD ↗fund
80
PEREA CAPITAL — (HOUSTON, TX) is newly SEC-registered with $164.2M RAUM and 1 advisory reps. IAPD ↗fund
80
SLOY DAHL & HOLST HOLDINGS, INC — (VANCOUVER, WA) is newly SEC-registered with $186.6M RAUM and 3 advisory reps. IAPD ↗fund
80
SCENIC MANAGEMENT LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $144.6M RAUM and 2 advisory reps. IAPD ↗fund
80
INTERCAPITAL — (AUSTIN, TX) is newly SEC-registered with $198.7M RAUM and 1 advisory reps. IAPD ↗fund
80
1 MAIN CAPITAL MANAGEMENT, LLC — (WESTPORT, CT) is newly SEC-registered with $80.5M RAUM and 2 advisory reps. IAPD ↗fund
80
SHIKHARA INVESTMENT MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $226.9M RAUM and 2 advisory reps. IAPD ↗fund
80
BALLAST EQUITY PARTNERS MANAGEMENT COMPANY, LLC — (PROVIDENCE, RI) is newly SEC-registered with $111.9M RAUM and 4 advisory reps. IAPD ↗fund
80
TUCKER'S FARM — (FRAMINGHAM, MA) is newly SEC-registered with $217.0M RAUM and 12 advisory reps. IAPD ↗fund
80
GIDEON CAPITAL, LLC — (LOS ANGELES, CA) is newly SEC-registered with $229.0M RAUM and 0 advisory reps. IAPD ↗fund
80
TIDE ROCK LEVERAGECO MANAGER, LLC — (SOLANA BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 11 advisory reps. IAPD ↗fund
80
UPP MANAGEMENT, LP — (HOUSTON, TX) is newly SEC-registered with $0 RAUM and 9 advisory reps. IAPD ↗fund
75
NOMURA ASSET MANAGEMENT U.S.A. INC. — crossed $1B in regulatory AUM ($576.3M -> $1.01B). IAPD ↗institutional
75
COLLER PRIVATE MARKET SECONDARIES ADVISORS, LLC — crossed $1B in regulatory AUM ($594.2M -> $1.85B). IAPD ↗institutional
70
70
70
70
70
70
CAXTON ASSOCIATES LLP — (LONDON, United Kingdom) is newly SEC-registered with $71.56B RAUM and 55 advisory reps. IAPD ↗foreign
68
66
65
65
JUNGLE ROCK CAPITAL — (LONDON, United Kingdom) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
65
VT PARTNERS AG — (FREIENBACH, SCHWYZ, Switzerland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
APT WEALTH USA PTY LTD — (SYDNEY, NEW SOUTH WALES, Australia) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
64
63
63
CRESALTA INVESTMENT MANAGEMENT, INC. — 's provisional registration is now fully approved. IAPD ↗institutional
62
60
OPTIMAL TAX ASSET MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗institutional
60
58
58
58
MACQUARIE ASSET MANAGEMENT CREDIT ADVISERS US, LLC — now reports 3 private fund(s) ($355.3M gross). IAPD ↗fund
56
55
55
55
55
55
55
55
55
55
ARGO MANAGEMENT AND RESEARCH COMPANY, LLC — 's provisional registration is now fully approved. IAPD ↗fund
55
55
55
55
53
MACQUARIE ASSET MANAGEMENT CREDIT ADVISERS US, LLC — now reports custody of client assets ($355.3M). IAPD ↗fund
53
52
50
50
49
SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED — grew from 204 to 213 advisory reps. IAPD ↗foreign
48
48
STEPSTONE GROUP EUROPE ALTERNATIVE INVESTMENTS LIMITED — grew from 35 to 43 advisory reps. IAPD ↗foreign
47
46
46
46
46
45
INNOVATOR CAPITAL MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (28 -> 30). IAPD ↗institutional
45
45
45
45
AGF INVESTMENTS — notice-filed in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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 ↗institutional
44
44
43
HORIZON TECHNOLOGY FINANCE — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗institutional
43
43
41
40
TENNENBAUM CAPITAL PARTNERS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (28 -> 30). IAPD ↗fund
40
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLC — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗institutional
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 3 (144 -> 147). IAPD ↗institutional
40
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (27 -> 29). IAPD ↗fund
40
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY II, LLC — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗institutional
40
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗institutional
40
40
40
38
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY IV, LLC — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗fund
38
BAIRD CAPITAL MANAGEMENT COMPANY, LLC — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗fund
37
37
35
35
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗fund
35
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY V, LLC — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗fund
35
MERCER INVESTMENT SOLUTIONS LLC — filed an Item 4A succession naming SECOR INVESTMENT MANAGEMENT, LP (CRD 155919) — an entity change, not a deal. IAPD ↗institutional
34
32
32
32
32
32
25
WESTERN ASSET MANAGEMENT COMPANY LIMITED — 's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗foreign
25
WESTERN ASSET MANAGEMENT COMPANY PTE LTD — 's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗foreign
25
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. — 's Item 11 disclosure-reporting entries rose by 1 (17 -> 18). IAPD ↗foreign
25
KOTAK ALTERNATE ASSET MANAGERS LIMITED — 's Item 11 disclosure-reporting entries rose by 8 (12 -> 20). IAPD ↗foreign
23
20
MOTILAL OSWAL CAPITAL LIMITED — 's Item 11 disclosure-reporting entries rose by 18 (9 -> 27). IAPD ↗foreign
20
DRAGON CAPITAL MANAGEMENT (HK) LIMITED — 's Item 11 disclosure-reporting entries rose by 7 (0 -> 7). IAPD ↗foreign
20
19
19
18
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.