← Tributary

Compliance — August 2026

Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).

563 firms opened this window in the August 2026 SEC roster: 275 state expansion, 159 new registration, 36 disclosure added, 31 pending approved, 25 headcount up, 22 custody started, 9 private funds started, 5 aum crossed 1b, 1 acquisition.

Months: October 2026 · September 2026 · August 2026 · July 2026 · June 2026 · May 2026 · April 2026 · March 2026 · February 2026 · January 2026 · December 2025 · August 2025 · July 2025 · June 2025 · May 2025 · April 2025 · March 2025 · February 2025 · January 2025 · December 2024 · November 2024 · October 2024 · September 2024 · August 2024 · July 2024 · June 2024 · May 2024 · April 2024 · March 2024 · February 2024

100
INGALLS INVESTMENT MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $7.83B RAUM and 50 advisory reps. IAPD ↗
$7.83B RAUM · 50 reps · 2122697800 · ingalls.net
98
THIRD EYE CAPITAL MANAGEMENT, LLC — (MIAMI BEACH, FL) is newly SEC-registered with $291.3M RAUM and 1 advisory reps. IAPD ↗
$291.3M RAUM · 1 reps · (732) 447-3019 · thirdeyecapitalmanagement.com
98
CHARBETH ADVISORY L.L.C. — (location n/a) is newly SEC-registered with $370.0M RAUM and 1 advisory reps. IAPD ↗
$370.0M RAUM · 1 reps · 919-768-3474
95
PALADIN PARTNERS — (HARTLAND, WI) is newly SEC-registered with $198.5M RAUM and 2 advisory reps. IAPD ↗
$198.5M RAUM · 2 reps · 414-367-4675 · paladinpartners.biz
95
WASHINGTON FINANCIAL GROUP, INC. — (OSTERVILLE, MA) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 508-420-8341
95
COLLEEN WEBER CPA, LLC — (CHANHASSEN, MN) is newly SEC-registered with $120.6M RAUM and 2 advisory reps. IAPD ↗
$120.6M RAUM · 2 reps · 952-470-0750 · colleenweber.com
95
NCU INVESTMENT SOLUTIONS — (SMITHFILED, RI) is newly SEC-registered with $107.6M RAUM and 6 advisory reps. IAPD ↗
$107.6M RAUM · 6 reps · 401-228-0100
95
LIFEFOCUS FINANCIAL ADVISORS, LLC — (WALLA WALLA, WA) is newly SEC-registered with $103.5M RAUM and 2 advisory reps. IAPD ↗
$103.5M RAUM · 2 reps · 509-526-4521 · lifefocusadvisors.com
95
THE ADVISORY FIRM — (ALPHARETTA, GA) is newly SEC-registered with $126.4M RAUM and 1 advisory reps. IAPD ↗
$126.4M RAUM · 1 reps · 678-566-3711 · theadvisoryfirm.net
95
GFN CAPITAL MANAGEMENT — (RICHARDSON, TX) is newly SEC-registered with $120.1M RAUM and 4 advisory reps. IAPD ↗
$120.1M RAUM · 4 reps · 972-385-0007 · glazerfinancial.com
95
J.P. CAPITAL MANAGEMENT, INC. — (EUGENE, OR) is newly SEC-registered with $166.6M RAUM and 1 advisory reps. IAPD ↗
$166.6M RAUM · 1 reps · 541-343-2064
95
DC CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $107.0M RAUM and 1 advisory reps. IAPD ↗
$107.0M RAUM · 1 reps · 970-468-1339 · dc-cm.com
95
TRG CAPITAL MANAGEMENT, INC. — (RALEIGH, NC) is newly SEC-registered with $118.2M RAUM and 4 advisory reps. IAPD ↗
$118.2M RAUM · 4 reps · 919-239-4163 · trgcap.com
95
MIDWAY CAPITAL RESEARCH & MANAGEMENT LLC — (CHICAGO, IL) is newly SEC-registered with $110.4M RAUM and 2 advisory reps. IAPD ↗
$110.4M RAUM · 2 reps · (312) 445-8562 · midwaymgt.com
95
MATHIES FINANCIAL PARTNERS — (PUEBLO, CO) is newly SEC-registered with $104.0M RAUM and 4 advisory reps. IAPD ↗
$104.0M RAUM · 4 reps · 719-434-3939 · mathiesfp.com
95
BAS CAPITAL — (location n/a) is newly SEC-registered with $117.0M RAUM and 1 advisory reps. IAPD ↗
$117.0M RAUM · 1 reps · 901-486-9216
95
C.L. SHELDON & COMPANY, LLC — (location n/a) is newly SEC-registered with $110.7M RAUM and 3 advisory reps. IAPD ↗
$110.7M RAUM · 3 reps · 703-542-4000
95
UNDERDOG WEALTH MANAGEMENT, LLC — (MAPLE GROVE, MN) is newly SEC-registered with $111.9M RAUM and 2 advisory reps. IAPD ↗
$111.9M RAUM · 2 reps · 763-497-3000 · underdogwealthmanagement.com
95
COMMON CENTS WEALTH MANAGEMENT, LLC — (PEMBROKE PINES, FL) is newly SEC-registered with $113.7M RAUM and 2 advisory reps. IAPD ↗
$113.7M RAUM · 2 reps · 954-769-0837 · cc-wealth.com
95
COLBURN WEALTH MANAGEMENT, LLC — (GROVE CITY, OH) is newly SEC-registered with $116.2M RAUM and 3 advisory reps. IAPD ↗
$116.2M RAUM · 3 reps · 740.831.4004
95
RIVERSTONE ASSET MANAGEMENT, LLC — (LOUISVILLE, KY) is newly SEC-registered with $103.0M RAUM and 2 advisory reps. IAPD ↗
$103.0M RAUM · 2 reps · 502-882-5580
95
STABILITY PARTNERS ADVISORY GROUP, LLC — (SPRING, TX) is newly SEC-registered with $140.9M RAUM and 3 advisory reps. IAPD ↗
$140.9M RAUM · 3 reps · 832-559-8393 · stabilityfinancialtalk.com
95
MINKO WEALTH — (BROOKLYN, NY) is newly SEC-registered with $119.1M RAUM and 2 advisory reps. IAPD ↗
$119.1M RAUM · 2 reps · 718-748-1700 · minkowealth.com
95
EGSI INVESTMENT MANAGEMENT — (DUBLIN, OH) is newly SEC-registered with $144.7M RAUM and 4 advisory reps. IAPD ↗
$144.7M RAUM · 4 reps · 614-526-4118 · egsifinancial.com
95
JAYCO WEALTH MANAGEMENT — (location n/a) is newly SEC-registered with $107.9M RAUM and 1 advisory reps. IAPD ↗
$107.9M RAUM · 1 reps · 404-731-7592
95
NITOR CAPITAL MANAGEMENT — (ENGLEWOOD CLIFFS, NJ) is newly SEC-registered with $158.6M RAUM and 1 advisory reps. IAPD ↗
$158.6M RAUM · 1 reps · (646) 322-3715 · nitorcapitalmanagement.com
95
FUTURE BRIGHT — (location n/a) is newly SEC-registered with $120.6M RAUM and 3 advisory reps. IAPD ↗
$120.6M RAUM · 3 reps · (701) 306-7631
95
GREENPORT CAPITAL ADVISORS — (MARLBOROUGH, MA) is newly SEC-registered with $119.2M RAUM and 2 advisory reps. IAPD ↗
$119.2M RAUM · 2 reps · 978-393-3090 · greenportca.com
95
FINANCIAL ZEN — (SAN FRANCISCO, CA) is newly SEC-registered with $167.6M RAUM and 2 advisory reps. IAPD ↗
$167.6M RAUM · 2 reps · (415) 792-0345
95
SCHAUER INVESTMENT MANAGEMENT, INC. — (NORTHRIDGE, CA) is newly SEC-registered with $119.7M RAUM and 4 advisory reps. IAPD ↗
$119.7M RAUM · 4 reps · (818) 727-9960
95
ADVANCED WEALTH MANAGEMENT — (SARASOTA, FL) is newly SEC-registered with $110.7M RAUM and 3 advisory reps. IAPD ↗
$110.7M RAUM · 3 reps · 941-451-8512
95
OXFORD PLANNING GROUP, LLC — (WOODSTOCK, MD) is newly SEC-registered with $112.9M RAUM and 3 advisory reps. IAPD ↗
$112.9M RAUM · 3 reps · 410-995-8711 · oxfordplanning.com
95
ARROW WEALTH ADVISORS — (AUBURN, CA) is newly SEC-registered with $121.2M RAUM and 2 advisory reps. IAPD ↗
$121.2M RAUM · 2 reps · 210-541-9967
95
56 CAPITAL PARTNERS, LTD — (COLORADO SPRINGS, CO) is newly SEC-registered with $113.3M RAUM and 2 advisory reps. IAPD ↗
$113.3M RAUM · 2 reps · 719-418-3773
95
RIVER RAISIN INVESTMENT PARTNERS, INC. — (MONROE, MI) is newly SEC-registered with $163.5M RAUM and 2 advisory reps. IAPD ↗
$163.5M RAUM · 2 reps · (734) 241-5771
95
PINETREE ADVISORS CORP. — (MIAMI, FL) is newly SEC-registered with $120.0M RAUM and 2 advisory reps. IAPD ↗
$120.0M RAUM · 2 reps · 305-510-8772 · pinetreeadvisors.us
95
SINGER WEALTH MANAGEMENT — (location n/a) is newly SEC-registered with $119.0M RAUM and 3 advisory reps. IAPD ↗
$119.0M RAUM · 3 reps · 206-300-7464
95
ALLPOINT FINANCIAL GROUP — (PETALUMA, CA) is newly SEC-registered with $116.8M RAUM and 4 advisory reps. IAPD ↗
$116.8M RAUM · 4 reps · 707-303-7000 · allpointfg.com
95
OPULUS — (DOYLESTOWN, PA) is newly SEC-registered with $104.9M RAUM and 2 advisory reps. IAPD ↗
$104.9M RAUM · 2 reps · 215-859-8095
95
OLD VINE CAPITAL — (location n/a) is newly SEC-registered with $167.0M RAUM and 1 advisory reps. IAPD ↗
$167.0M RAUM · 1 reps · 415-990-1420
95
EXPERIENCE YOUR WEALTH, LLC — (location n/a) is newly SEC-registered with $105.3M RAUM and 2 advisory reps. IAPD ↗
$105.3M RAUM · 2 reps · (401) 227-7881
95
JPS ADVISORS LLC — (location n/a) is newly SEC-registered with $26.6M RAUM and 1 advisory reps. IAPD ↗
$26.6M RAUM · 1 reps · (646) 458-1574 · jps-advisors.com
95
CORINTHIAN WEALTH MANAGEMENT — (SAN JOSE, CA) is newly SEC-registered with $131.7M RAUM and 3 advisory reps. IAPD ↗
$131.7M RAUM · 3 reps · 408-995-0915
95
PVA FINANCIAL, LLC — (location n/a) is newly SEC-registered with $136.9M RAUM and 1 advisory reps. IAPD ↗
$136.9M RAUM · 1 reps · 773-825-9090
95
STILLWATER CAPITAL MANAGEMENT — (CARMEL-BY-THE-SEA, CA) is newly SEC-registered with $102.5M RAUM and 2 advisory reps. IAPD ↗
$102.5M RAUM · 2 reps · 831-877-1095
95
REDEEM WEALTH MANAGEMENT — (GILBERT, AZ) is newly SEC-registered with $118.6M RAUM and 3 advisory reps. IAPD ↗
$118.6M RAUM · 3 reps · 480-680-7975
95
KI CAPITAL WEALTH MANAGEMENT US LLC — (MIAMI, FL) is newly SEC-registered with $145.9M RAUM and 3 advisory reps. IAPD ↗
$145.9M RAUM · 3 reps · 520-710-0826
95
CJC WEALTH MANAGEMENT — (location n/a) is newly SEC-registered with $121.9M RAUM and 4 advisory reps. IAPD ↗
$121.9M RAUM · 4 reps · 301-761-3880
95
FULLY FINANCIAL — (ATHENS, GA) is newly SEC-registered with $111.1M RAUM and 2 advisory reps. IAPD ↗
$111.1M RAUM · 2 reps · (706) 389-8426 · fullyfin.com
95
SOLIST FINANCIAL — (TAMPA, FL) is newly SEC-registered with $130.1M RAUM and 1 advisory reps. IAPD ↗
$130.1M RAUM · 1 reps · 8132943737
95
KUKUI TREE CAPITAL MANAGEMENT LLC — (PALO ALTO, CA) is newly SEC-registered with $105.2M RAUM and 1 advisory reps. IAPD ↗
$105.2M RAUM · 1 reps · 650-434-0488 · kukuitreecapital.com
95
FREEDOM VALUE PARTNERS, LLC — (location n/a) is newly SEC-registered with $119.1M RAUM and 2 advisory reps. IAPD ↗
$119.1M RAUM · 2 reps · 913-558-2054
95
WEALTH SCRIPT ADVISORS — (SAN FRANCISCO, CA) is newly SEC-registered with $121.4M RAUM and 1 advisory reps. IAPD ↗
$121.4M RAUM · 1 reps · (415)300-0610 · mywealthscript.com
95
UNSTOPPABLE ASSET — (PHOENIX, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 8603680224 · unstoppableasset.com
95
AETERNITAS INVESTMENT MANAGEMENT, LLC — (YARDLEY, PA) is newly SEC-registered with $172.5M RAUM and 2 advisory reps. IAPD ↗
$172.5M RAUM · 2 reps · 2673947872 · aeternitasinvest.com
95
BISON WEALTH MANAGEMENT, LLC — (LYNDHURST, OH) is newly SEC-registered with $131.0M RAUM and 3 advisory reps. IAPD ↗
$131.0M RAUM · 3 reps · 216-270-4425 · bisonllc.com
95
INOVO WEALTH ARCHITECTS — (UNION, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 973 567-7526
95
SKYLAR WEALTH MANAGEMENT, LLC — (PASADENA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 213-836-9100 · skylarwealth.com
95
GOALPOST WEALTH MANAGEMENT, LLC — (RADNOR, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 610-293-7390
95
ASTRAVIA FAMILY WEALTH OFFICE LLC — (EL SEGUNDO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 310-275-5059
95
MILLER WEALTH MANAGEMENT — (GILBERT, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 480-613-7400
95
COMMUNITY CAPITAL ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 877 296 5657
95
QUASAR — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 332-262-3228
95
RAC STRATEGIC PARTNERS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (786) 496-2338
95
LYNCH FINANCIAL ADVISORS, INC — (ROSEVILLE, CA) is newly SEC-registered with $108.6M RAUM and 3 advisory reps. IAPD ↗
$108.6M RAUM · 3 reps · 916-772-3103 · lynchfinancialadvisors.com
95
GOLDEN RATIO WEALTH MANAGEMENT LLC — (RADNOR, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (610) 293-7310
95
EYRA — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · +1 248 376 1480
95
BARTHOLOMEW & COMPANY WEALTH MANAGEMENT, LLC — (WORCESTER, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 508-753-8807
95
EARLYBIRD ADVISORS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 302-750-5989 · investearlybird.com
95
FINANCIAL POTENTIAL WEALTH MANAGEMENT — (GAINESVILLE, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 770-287-8718 · yourfinancialpotential.com
95
VELARA WEALTH MANAGEMENT INC. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 2129671428 · velarawealth.com
95
PUBLIC SAFETY FINANCIAL GROUP, LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 832-200-3418
95
WICK — (UNION CITY, NJ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 2015789203
95
EAST WEST WEALTH ADVISORS LLC — (PASADENA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 888-928-8189
95
EDYN — (PHILADELPHIA, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 8564484685 · growedyn.com
95
EHG WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · (717) 947-8555
95
PELORUS CAPITAL MANAGEMENT, LLC — (IRVINE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 717-902-2727 · peloruscapital.net
95
OLDE RALEIGH FINANCIAL GROUP — (RALEIGH, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 919-861-8212
95
HIRST FINANCIAL INDEPENDENCE PLANNING, INC. — (FALL RIVER, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (508) 636-3595 · hirstfip.com
95
ALLEN FINANCIAL PARTNERS — (PRESCOTT, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 602-677-7546 · allenfinancialpartners.com
95
LANGAN FINANCIAL GROUP — (CAMP HILL, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 717-288-1880 · langanfinancialgroup.com
95
STEWARDWELL LLC — (FRANKLIN, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · (615) 538-6110 · stewardwellwp.com
95
KAHN ASSET MANAGEMENT — (LOS ANGELES, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 310-480-6709
95
MAN ADVISERS LLC — (BOSTON, MA) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · +1 617-897-7800 · man.com
95
VECTOR3 WEALTH MANAGEMENT — (SAN DIEGO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (858) 771-4700 · vector3wealth.com
95
W.B. EDWARDS & CO. — (KNOXVILLE, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (865) 999-2032
95
MY ADVISORS US LLC — (TUSTIN, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 9493441208 · myadvisors.us
95
WALTON CREEK INVESTMENT ADVISORS — (TULSA, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 918-394-1966
95
LIBERTY FORGE LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · (617) 239-9340 · civicfinancial.com
95
NAPLES WEALTH ADVISORS, LLC — (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 239-325-1811 · napleswa.com
95
MIDFIELD PRIVATE WEALTH, LLC — (WHITE PLAINS, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-992-7618
93
ROSE CAPITAL ADVISORS, LLC — filed an Item 4A succession naming PREMIA GLOBAL ADVISORS, LLC (CRD 282426) — one firm absorbed the other. IAPD ↗
$608.3M RAUM · 9 reps · 305-534-7673
85
RIVERBEND CAPITAL ADVISORS, LLC — crossed $1B in regulatory AUM ($964.8M -> $1.10B). IAPD ↗
$1.10B RAUM · 3 reps · 312-948-5100 · riverbendcapitaladvisors.com
85
BLUEPRINT FINANCIAL ADVISORS — crossed $1B in regulatory AUM ($966.6M -> $1.41B). IAPD ↗
$1.41B RAUM · 39 reps · 844-200-2568 · komaracap.com
85
AERIE ADVISORY GROUP LLC — crossed $1B in regulatory AUM ($618.1M -> $2.52B). IAPD ↗
$2.52B RAUM · 5 reps · (253) 857-1616
85
SAGE TRADING COLLECTIVE — crossed $1B in regulatory AUM ($505.0M -> $1.22B). IAPD ↗
$1.22B RAUM · 2 reps · 419-350-8981 · sagetradingcollective.com
85
CENTAURUS FINANCIAL, INC. — grew from 375 to 426 advisory reps. IAPD ↗
$9.74B RAUM · 426 reps · 714-456-1790 · centaurusfinancial.com
85
MISSION WEALTH MANAGEMENT, LP — grew from 117 to 135 advisory reps. IAPD ↗
$17.00B RAUM · 135 reps · 805-882-2360
85
ARAX ADVISORY PARTNERS — grew from 140 to 167 advisory reps. IAPD ↗
$26.52B RAUM · 167 reps · 646-777-1823 · swsllc.com
85
BLUESPRING WEALTH MANAGEMENT, LLC — grew from 31 to 47 advisory reps. IAPD ↗
$5.43B RAUM · 47 reps · 737-443-2122 · bluespringwealthcalifornia.com
85
RFG ADVISORY, LLC — grew from 162 to 178 advisory reps. IAPD ↗
$7.97B RAUM · 178 reps · 205-397-2450
85
FACET — grew from 55 to 77 advisory reps. IAPD ↗
$7.60B RAUM · 77 reps · (443)376-6222 · reddit.com
81
BLUEPRINT FINANCIAL ADVISORS — grew from 28 to 39 advisory reps. IAPD ↗
$1.41B RAUM · 39 reps · 844-200-2568 · komaracap.com
80
CITIZENS PRIVATE WEALTH — grew from 204 to 214 advisory reps. IAPD ↗
$16.63B RAUM · 214 reps · 914-846-0100 · citizensbank.com
76
ETHOS FINANCIAL GROUP, LLC — grew from 27 to 33 advisory reps. IAPD ↗
$2.14B RAUM · 33 reps · 610-822-5246
75
TANARA WEALTH MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
$1.09B RAUM · 5 reps · 801-653-0564 · tanarawm.com
74
DIGITAL ASCENSION GROUP - WEALTH — grew from 17 to 23 advisory reps. IAPD ↗
$555.1M RAUM · 23 reps · 307-396-0295
73
15 WEALTH ADVISORS LLC — grew from 7 to 12 advisory reps. IAPD ↗
$481.5M RAUM · 12 reps · 847-735-7103 · 15wealth.com
73
WEALTH INTELLIGENTLY NAVIGATED, LLC — grew from 2 to 7 advisory reps. IAPD ↗
$532.9M RAUM · 7 reps · (864) 375-4031
73
SAGEPOINT CAPITAL PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
$888.3M RAUM · 3 reps · (615) 413-4340 · sagepointcp.com
73
ARKA CAPITAL A.M. LTD — 's provisional registration is now fully approved. IAPD ↗
$263.8M RAUM · 1 reps · +9 72 54 433 2642
73
EXCEPTIONAL WEALTH & FAMILY OFFICE — 's provisional registration is now fully approved. IAPD ↗
$292.2M RAUM · 5 reps · 719-715-4179
73
UNION STRATEGIC ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$371.6M RAUM · 3 reps · 513-699-5200 · unionstrategic.com
73
MOSAIC WEALTH MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
$285.0M RAUM · 2 reps · 812-333-3275
73
BRIDGECREEK FINANCIAL GROUP — 's provisional registration is now fully approved. IAPD ↗
$649.9M RAUM · 2 reps · 918-392-1990 · bridgecreekfinancial.com
73
WOODLAND WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
$711.9M RAUM · 2 reps · 330-416-5509 · woodlandwealthpartners.com
73
LIONHUNTER CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
$266.8M RAUM · 1 reps · 212-602-0686
73
TRILLIUM WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
$544.6M RAUM · 7 reps · 321-295-8492 · trillium-wealth.com
72
AERIE ADVISORY GROUP LLC — grew from 3 to 5 advisory reps. IAPD ↗
$2.52B RAUM · 5 reps · (253) 857-1616
71
THE SUM — grew from 7 to 10 advisory reps. IAPD ↗
$551.4M RAUM · 10 reps · 281-940-4859
71
SINGER WEALTH ADVISORS LLC — grew from 15 to 18 advisory reps. IAPD ↗
$910.6M RAUM · 18 reps · 561-998-9985
71
EXCEPTIONAL WEALTH & FAMILY OFFICE — grew from 2 to 5 advisory reps. IAPD ↗
$292.2M RAUM · 5 reps · 719-715-4179
70
MATTER FAMILY OFFICE — now reports custody of client assets ($2.41B). IAPD ↗
$3.81B RAUM · 40 reps · 314-862-5190 · matterfamilyoffice.com
70
FIRST HEARTLAND CONSULTANTS, INC. — now reports custody of client assets ($1.15B). IAPD ↗
$2.09B RAUM · 88 reps · 636-625-0900 · firstheartland.com
70
GIBBS WEALTH MANAGEMENT, LLC — now reports custody of client assets. IAPD ↗
$1.06B RAUM · 59 reps · 678-694-8770 · cosaintadvisors.com
70
LAKE STREET — now reports custody of client assets ($201.2M). IAPD ↗
$1.16B RAUM · 6 reps · 312-766 7040 · clarity-fg.com
70
EVERTERN WEALTH, LLC — now reports custody of client assets ($247.8M). IAPD ↗
$1.56B RAUM · 2 reps · 239-508-7700 · everternwealth.com
70
SAND CREEK CAPITAL, LLC — grew from 8 to 10 advisory reps. IAPD ↗
$471.2M RAUM · 10 reps · 208-356-9022 · centennialwealthmanagement.com
70
SAGEPOINT CAPITAL PARTNERS LLC — grew from 1 to 3 advisory reps. IAPD ↗
$888.3M RAUM · 3 reps · (615) 413-4340 · sagepointcp.com
70
GREEN CAPITAL PRIVATE WEALTH — 's provisional registration is now fully approved. IAPD ↗
$150.0M RAUM · 2 reps · 8006150794 · gcprivatewealth.com
70
COMMERCIAL TRUST FINANCIAL SERVICES — 's provisional registration is now fully approved. IAPD ↗
$204.1M RAUM · 5 reps · 660-248-2223 · commercialtrustfs.com
70
VESTIE — 's provisional registration is now fully approved. IAPD ↗
$125 RAUM · 1 reps · 903-910-3003
70
LILLIANO CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
$167.9M RAUM · 1 reps · 480-678-0411 · lillianocapital.com
70
FORWARD WEALTH — 's provisional registration is now fully approved. IAPD ↗
$111.1M RAUM · 8 reps · 720-739-3930 · fwd-wealth.com
70
PRISM PLANNING AND SOLUTIONS GROUP — 's provisional registration is now fully approved. IAPD ↗
$157.0M RAUM · 3 reps · (914) 831-3050 · ppsgrp.com
70
WEALTHIE ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$27,322 RAUM · 2 reps · (718) 550-1401 · bewealthie.com
70
LEMNIS CAPITAL — 's provisional registration is now fully approved. IAPD ↗
$97.9M RAUM · 13 reps · 972-928-6196
70
KOEHLER ASSET MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
$111.0M RAUM · 2 reps · 631-332-2310
70
ROSENBERG WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$231.0M RAUM · 2 reps · (248) 325-5500 · rwealthadvisors.com
70
FIDUCIARY CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
$149.8M RAUM · 10 reps · 503 515 1313 · fiduciarycm.com
70
AXXETS WM — 's provisional registration is now fully approved. IAPD ↗
$101.3M RAUM · 1 reps · 305 405-9000 · axxets.com
70
FARRCREST CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
$110.5M RAUM · 1 reps · 2027537700 · farrcrest.com
70
TELOS PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
$139.5M RAUM · 3 reps · (646)907-9424 · teloswealthpartners.com
70
BAY POINTE FINANCIAL — 's provisional registration is now fully approved. IAPD ↗
$115.9M RAUM · 2 reps · (586) 273-6007 X1
70
2201 CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗
$40.0M RAUM · 2 reps · 201-446-2992
70
STONE OAK CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
$33.7M RAUM · 2 reps · 585-695-5588 · stoneoakcap.com
70
UPSTATE ADVISERS INC — 's provisional registration is now fully approved. IAPD ↗
$34.1M RAUM · 1 reps · 5852099788 · upstateadvisers.com
70
LEACH, BICKMORE & WEISS WEALTH MANAGEMENT, LLC — now reports 1 private fund(s) ($0 gross). IAPD ↗
$115.3M RAUM · 1 reps · 608-286-1321
70
ONE OAK — now reports 1 private fund(s) ($1.1M gross). IAPD ↗
$110.4M RAUM · 3 reps · (302) 754-1625 · investonewell.com
70
ARDEN GLOBAL FAMILY OFFICES — now reports 2 private fund(s) ($8.7M gross). IAPD ↗
$146.0M RAUM · 2 reps · 650-808-0875
69
URS ADVISORY — grew from 2 to 6 advisory reps. IAPD ↗
$200.3M RAUM · 6 reps · 561-594-0100 · ursadvisory.com
68
FINANCIAL PLANS & STRATEGIES, INC. — now reports custody of client assets ($40.1M). IAPD ↗
$610.6M RAUM · 5 reps · 317-882-7675 · finplans.com
68
PACIFIC WEALTH STRATEGIES GROUP, INC. — now reports custody of client assets ($78.9M). IAPD ↗
$253.2M RAUM · 3 reps · 805-966-7775 · pwsg.net
68
AP WEALTH MANAGEMENT — now reports custody of client assets ($104.8M). IAPD ↗
$339.6M RAUM · 5 reps · 706-364-4281
68
MFA WEALTH SERVICES — now reports custody of client assets ($584.2M). IAPD ↗
$310.0M RAUM · 3 reps · 833-496-5474 · mfaws.com
68
EXCEPTIONAL WEALTH & FAMILY OFFICE — now reports custody of client assets ($43.3M). IAPD ↗
$292.2M RAUM · 5 reps · 719-715-4179
68
TRILLIUM WEALTH LLC — now reports custody of client assets ($50.9M). IAPD ↗
$544.6M RAUM · 7 reps · 321-295-8492 · trillium-wealth.com
68
PEAK FINANCIAL PLANNING — grew from 4 to 7 advisory reps. IAPD ↗
$93.0M RAUM · 7 reps · (818) 600-6099 · thepeakfp.com
67
TRINITY INVESTMENT MANAGEMENT, LLC — grew from 2 to 4 advisory reps. IAPD ↗
$126.2M RAUM · 4 reps · 817-874-2700 · trinity-invest.com
67
INSIGHT FINANCIAL SERVICES — grew from 6 to 8 advisory reps. IAPD ↗
$213.8M RAUM · 8 reps · 913-402-2020 · ifsadvisors.com
65
WISDOM INDEX ADVISORS — now reports custody of client assets ($27.4M). IAPD ↗
$221.3M RAUM · 1 reps · 972-931-0063 · wisdomindex.com
65
FINANCIAL DESIGN STUDIO, INC. — now reports custody of client assets ($41.7M). IAPD ↗
$105.5M RAUM · 3 reps · (847) 238-8050
65
TUMOLO WEALTH MANAGEMENT LLC — now reports custody of client assets ($13.1M). IAPD ↗
$134.0M RAUM · 4 reps · (860) 650-3005 · tumolofinancial.com
65
SEMINARIO ASSET MANAGEMENT LLC — now reports custody of client assets. IAPD ↗
$0 RAUM · 4 reps · 786-292-0512
65
STERLING LEGACY ADVISORS INC. — now reports custody of client assets. IAPD ↗
$0 RAUM · 2 reps · 201-655-2022
65
ROSENBERG WEALTH ADVISORS — now reports custody of client assets ($201.5M). IAPD ↗
$231.0M RAUM · 2 reps · (248) 325-5500 · rwealthadvisors.com
55
J.P. MORGAN SECURITIES LLC — 's Item 11 disclosure-reporting entries rose by 1 (163 -> 164). IAPD ↗
$429.69B RAUM · 8479 reps · 800-999-2000 · wealthpartners.jpmorgan.com
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 4 (297 -> 301). IAPD ↗
$1013.61B RAUM · 20304 reps · 314-515-2000 · bridgebuildermutualfunds.edwardjones.com
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 4 (376 -> 380). IAPD ↗
$819.12B RAUM · 36280 reps · 704-733-3300
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED — 's Item 11 disclosure-reporting entries rose by 3 (476 -> 479). IAPD ↗
$1781.57B RAUM · 25721 reps · 800-637-7455
55
PRIMERICA ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (51 -> 52). IAPD ↗
$15.54B RAUM · 3959 reps · 833-786-0550 · landmark.primerica.com
55
CENTAURUS FINANCIAL, INC. — 's Item 11 disclosure-reporting entries rose by 1 (26 -> 27). IAPD ↗
$9.74B RAUM · 426 reps · 714-456-1790 · centaurusfinancial.com
55
HIGHLAND ASSOCIATES INC — 's Item 11 disclosure-reporting entries rose by 2 (11 -> 13). IAPD ↗
$20.99B RAUM · 18 reps · 205-933-8664
55
NEPC, LLC — 's Item 11 disclosure-reporting entries rose by 4 (4 -> 8). IAPD ↗
$152.72B RAUM · 132 reps · 617-374-1300
55
EMPOWER ADVISORY GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗
$195.43B RAUM · 6138 reps · 866-575-4977 · empower.com
55
DELTA ASSET MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (8 -> 9). IAPD ↗
$1.53B RAUM · 6 reps · 901-767-4791
55
NORTHEAST FINANCIAL GROUP, INC. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$1.44B RAUM · 1 reps · 570-688-9898
55
HIGHTOWER ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (8 -> 9). IAPD ↗
$198.58B RAUM · 953 reps · 312-962-3800 · cogneticcapital.com
55
MERCER GLOBAL ADVISORS INC. — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$84.40B RAUM · 632 reps · (888) 885-8101 · vintagefs.com
55
PRECISION FIDUCIARY PARTNERS, LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$24.08B RAUM · 8 reps · (512) 879-1505 · mesirowfinancial.com
55
THE MATHER GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$13.45B RAUM · 97 reps · 888-537-1080
55
VANGUARD PERSONALIZED INDEXING MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 2 (110 -> 112). IAPD ↗
$11.35B RAUM · 6 reps · 844-317-5190
55
CORIENT — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$165.25B RAUM · 620 reps · (305) 735-2020
55
PKS ADVISORY SERVICES, LLC — notice-filed in AK, HI, IA, KS, KY, ME, MO, MT, ND, NE, NV, WY. IAPD ↗
$1.09B RAUM · 36 reps · (518) 426-5791 · woehlerfinancialgroup.com
55
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC — notice-filed in IN, KY, MI, MT, NC, NM. IAPD ↗
$9.55B RAUM · 7 reps · 800-458-6589 · stephensimg.com
55
COASTAL BRIDGE ADVISORS — notice-filed in AL, AR, DC, HI, ID, IN, KY, MI, MO, MS, MT, OH, UT. IAPD ↗
$5.02B RAUM · 25 reps · 203-683-1530 · focusfinancialpartners.com
55
LEGACY FINANCIAL ADVISORS, INC. — notice-filed in GA, LA, NY, OR, WA. IAPD ↗
$1.52B RAUM · 12 reps · 859-655-5225 · legacyfinancialadvisors.com
55
EVERTERN WEALTH, LLC — notice-filed in CO, IL, MA, MI, NH, NJ, NY, OH, WI. IAPD ↗
$1.56B RAUM · 2 reps · 239-508-7700 · everternwealth.com
53
AXIOM ASSET MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 10 (7 -> 17). IAPD ↗
$899.6M RAUM · 5 reps · 610-688-0050 · axiomasset.com
53
FLORIDA FINANCIAL ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$456.1M RAUM · 667 reps · (813) 333-1683
53
SECURA FINANCIAL — notice-filed in AK, AZ, FL, NE, NH, NM, NV, NY, TX. IAPD ↗
$319.9M RAUM · 9 reps · 714-704-6616 · securawm.com
53
TRAYNOR CAPITAL MANAGEMENT — notice-filed in ME, MT, RI, WV. IAPD ↗
$2.42B RAUM · 6 reps · 610-993-9050 · traynorcapital.com
53
GATEWAY INVESTMENT ADVISERS, LLC — notice-filed in LA, MO, OR, VA. IAPD ↗
$11.59B RAUM · 10 reps · 513-719-1100
53
TRINITY PORTFOLIO ADVISORS, LLC — notice-filed in AZ, GA, KY, NE, NH. IAPD ↗
$530.5M RAUM · 9 reps · 817-416-7227 · trinityportfolio.com
53
BLUESPRING WEALTH MANAGEMENT, LLC — notice-filed in GA, MI, MO, NJ. IAPD ↗
$5.43B RAUM · 47 reps · 737-443-2122 · bluespringwealthcalifornia.com
53
PROCYON — notice-filed in IA, ID, NE, UT. IAPD ↗
$9.20B RAUM · 49 reps · (475) 232-2704
53
KWB WEALTH — notice-filed in OH, SC, TN, VA. IAPD ↗
$1.23B RAUM · 8 reps · 909-307-8220
53
ASSET ONE WEALTH MANAGEMENT, LLC — notice-filed in AK, AZ, CO, GA, HI, ID, LA, MD, MI, MO, NC, NH, NV, NY, TN, TX, VA. IAPD ↗
$982.5M RAUM · 9 reps · (425) 504-8200 · assetone.com
53
15 WEALTH ADVISORS LLC — notice-filed in IA, MN, MO, NC, NY, TN, VA. IAPD ↗
$481.5M RAUM · 12 reps · 847-735-7103 · 15wealth.com
53
SAGE TRADING COLLECTIVE — notice-filed in CA, MD, NJ, VA. IAPD ↗
$1.22B RAUM · 2 reps · 419-350-8981 · sagetradingcollective.com
53
AUGUST WEALTH ADVISORS LLC — notice-filed in LA, MA, NH, NJ, NY, TX. IAPD ↗
$436.6M RAUM · 4 reps · (800) 985-9477 · augustwealthadvisors.com
51
BALLENTINE PARTNERS — notice-filed in HI, MD, SC. IAPD ↗
$15.32B RAUM · 87 reps · 781-314-1300
51
SUMMIT INVESTMENT ADVISORY SERVICES — notice-filed in GA, IA, IL, OR. IAPD ↗
$745.8M RAUM · 8 reps · (651) 490-2939
51
GIBBS WEALTH MANAGEMENT, LLC — notice-filed in NH, WA, WY. IAPD ↗
$1.06B RAUM · 59 reps · 678-694-8770 · cosaintadvisors.com
51
LAKE STREET — notice-filed in MD, VA, WA. IAPD ↗
$1.16B RAUM · 6 reps · 312-766 7040 · clarity-fg.com
51
BLUEPRINT FINANCIAL ADVISORS — notice-filed in AK, WA, WY. IAPD ↗
$1.41B RAUM · 39 reps · 844-200-2568 · komaracap.com
51
PARKWOODS WEALTH PARTNERS, LLC — notice-filed in HI, ID, NJ. IAPD ↗
$1.79B RAUM · 21 reps · (877) 278-2716 · parkwoods.com
51
SUMMIT WEALTH GROUP — notice-filed in MT, NV, UT. IAPD ↗
$2.31B RAUM · 29 reps · 7196334033
51
WOODLAND WEALTH PARTNERS — notice-filed in FL, IL, MA, NY. IAPD ↗
$711.9M RAUM · 2 reps · 330-416-5509 · woodlandwealthpartners.com
50
STATETRUST CAPITAL, LLC. — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$93.7M RAUM · 2 reps · 305-921-8101 · statetrust.com
50
COMPASS RETIREMENT GROUP LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$111.9M RAUM · 7 reps · 314-373-1598 · crsretirement.com
50
MASTERWORKS ADVISERS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (4 -> 6). IAPD ↗
$8.1M RAUM · 13 reps · 203-518-5172 · masterworks.com
50
NINE30 ADVISORS LLC — notice-filed in AL, CT, IN, KY, MA, MD, MN, MO, NC, NE, NJ, PA, SC, TN, WA. IAPD ↗
$654,553 RAUM · 2 reps · (650) 391-4391 · nine30.com
50
ENRICH FINANCE LLC — notice-filed in AZ, FL, IL, MA, MD, PA, TX, VA. IAPD ↗
$0 RAUM · 1 reps · 415-949-7080 · enrichfinance.com
50
ALTRUIST ADVISORS LLC — 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, PA, PR, RI, SC, SD, TN, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗
$0 RAUM · 2 reps · 202 494 0435 · altruist.com
50
TBG-BEDFORD GROUP LLC — notice-filed in AR, AZ, CO, NC, VA. IAPD ↗
$0 RAUM · 9 reps · (314) 957-5737
50
STACKSTONE WEALTH, LLC — notice-filed in CO, FL, MN, MO, NE, NH, TX. IAPD ↗
$0 RAUM · 18 reps · 563-552-7000
49
FRAZIER FINANCIAL ADVISORS, LLC — notice-filed in GA, MO. IAPD ↗
$1.16B RAUM · 15 reps · 614-793-8297
49
LASALLE ST. INVESTMENT ADVISORS, L.L.C. — notice-filed in ND, SD. IAPD ↗
$5.74B RAUM · 146 reps · 630-600-0500
49
DOCK STREET ASSET MANAGEMENT INC — notice-filed in OH, PA. IAPD ↗
$1.11B RAUM · 4 reps · 203-532-9470 · dockstreet.com
49
BURTON ENRIGHT WELCH — notice-filed in GA, NV. IAPD ↗
$1.55B RAUM · 11 reps · (925) 932-8010 · bewinvest.com
49
PATHWAY FINANCIAL ADVISORS, LLC — notice-filed in AZ, NC. IAPD ↗
$1.65B RAUM · 7 reps · 802-660-7086
49
CETERA PLANNING PARTNERS — notice-filed in NM, RI. IAPD ↗
$4.16B RAUM · 33 reps · 913-498-8898
49
CORE PLANNING — notice-filed in HI, RI, WY. IAPD ↗
$525.0M RAUM · 61 reps · 636-734-7507 · flamesfp.com
49
ASCENT WEALTH PARTNERS, LLC — notice-filed in CT, LA. IAPD ↗
$1.52B RAUM · 15 reps · 315-624-7300 · ascentwealthpartners.com
49
VAN CLEMENS WEALTH MANAGEMENT, LLC — notice-filed in FL, IA, OH. IAPD ↗
$470.4M RAUM · 24 reps · 612-758-9140 · vanclemens.com
49
MATTERN CAPITAL MANAGEMENT, LLC — notice-filed in IL, NE. IAPD ↗
$1.07B RAUM · 7 reps · 720-710-2934
49
JEPPSON WEALTH MANAGEMENT, LLC — notice-filed in AL, NC, TN. IAPD ↗
$763.2M RAUM · 6 reps · 424-456-3111 · jeppson-wealth.com
49
BELZBERG & CO. — notice-filed in CA, TX. IAPD ↗
$2.33B RAUM · 14 reps · 212-390-9768
49
ULLMANN WEALTH PARTNERS — notice-filed in OH, PA. IAPD ↗
$1.25B RAUM · 7 reps · 904-280-3700 · ullmannwealthpartners.com
49
AERIE ADVISORY GROUP LLC — notice-filed in CA, TX. IAPD ↗
$2.52B RAUM · 5 reps · (253) 857-1616
49
OPENARC CORPORATE ADVISORY, LLC — notice-filed in ND, SD. IAPD ↗
$10.09B RAUM · 80 reps · 844-648-6001
48
FRUITFUL — notice-filed in AR, HI, IN, NV. IAPD ↗
$25.2M RAUM · 17 reps · 833-784-8050
48
ATLAS — notice-filed in KY, MD, NE, SC. IAPD ↗
$153.9M RAUM · 5 reps · 805-557-8713
47
MOORS & CABOT, INC — notice-filed in MS. IAPD ↗
$3.44B RAUM · 85 reps · 800-426-0501
47
WEITZEL FINANCIAL SERVICES, INC. — notice-filed in NE, SD. IAPD ↗
$327.8M RAUM · 4 reps · 563-583-6020 · weitzelfinancial.com
47
PRIVATE MANAGEMENT GROUP INC — notice-filed in MT. IAPD ↗
$4.90B RAUM · 21 reps · 949-752-7500 · privatemanagementgroup.com
47
LEE FINANCIAL COMPANY, LLC — notice-filed in AZ. IAPD ↗
$1.68B RAUM · 22 reps · 972-960-1001
47
DAVID VAUGHAN INVESTMENTS, LLC — notice-filed in KS. IAPD ↗
$5.33B RAUM · 48 reps · 309-685-0033
47
DONALDSON CAPITAL MANAGEMENT LLC — notice-filed in MA. IAPD ↗
$3.46B RAUM · 36 reps · 812-421-3211
47
MATTER FAMILY OFFICE — notice-filed in NC. IAPD ↗
$3.81B RAUM · 40 reps · 314-862-5190 · matterfamilyoffice.com
47
SFMG WEALTH ADVISORS — notice-filed in GA. IAPD ↗
$2.96B RAUM · 16 reps · 972-960-6460 · sfmg.com
47
HANSON & DOREMUS INVESTMENT MANAGEMENT — notice-filed in CT. IAPD ↗
$1.06B RAUM · 10 reps · 802-658-2668 · hansondoremus.com
47
J. L. BAINBRIDGE & CO., INC. — notice-filed in DE. IAPD ↗
$1.37B RAUM · 6 reps · 941-365-3435
47
MANAGED ASSET PORTFOLIOS, LLC — notice-filed in MT. IAPD ↗
$1.27B RAUM · 6 reps · 248-601-6677
47
THE WELCH GROUP, LLC — notice-filed in KY. IAPD ↗
$3.68B RAUM · 26 reps · 205-879-5001 · welchgroup.com
47
ADVICEONE ADVISORY SERVICES, LLC — notice-filed in ID. IAPD ↗
$2.05B RAUM · 14 reps · 860-659-4900
47
IAS WEALTH MANAGEMENT, INC. — notice-filed in CO, TN. IAPD ↗
$588.5M RAUM · 5 reps · 281-364-0606 · iaswealth.com
47
MISSION WEALTH MANAGEMENT, LP — notice-filed in AR. IAPD ↗
$17.00B RAUM · 135 reps · 805-882-2360
47
JSF FINANCIAL, LLC — notice-filed in OR. IAPD ↗
$1.97B RAUM · 13 reps · 323-866-0833 · jsffinancial.com
47
MAROTTA WEALTH MANAGEMENT, INC. — notice-filed in AZ, WI. IAPD ↗
$686.0M RAUM · 12 reps · 434-244-0000 · emarotta.com
47
LUTZ FINANCIAL — notice-filed in WA. IAPD ↗
$3.19B RAUM · 15 reps · 402-827-2300
47
NADLER FINANCIAL GROUP, INC. — notice-filed in GA. IAPD ↗
$2.18B RAUM · 18 reps · 847-940-4040 · nadlerfinancial.com
47
RETIREMENT PLAN ADVISORS, LLC — notice-filed in SC. IAPD ↗
$3.54B RAUM · 47 reps · 312-701-1100 · retirementplanadvisors.com
47
HEDEKER WEALTH LLC — notice-filed in IN, PA. IAPD ↗
$595.1M RAUM · 2 reps · 847-913-5594
47
ABACUS WEALTH PARTNERS — notice-filed in MN. IAPD ↗
$3.58B RAUM · 37 reps · 888-422-2287 · doneby60.com
47
WATTS GWILLIAM & COMPANY, LLC — notice-filed in TN. IAPD ↗
$1.03B RAUM · 6 reps · 480-889-8998 · wattsgwilliam.com
47
CENTRIC WEALTH MANAGEMENT, LLC — notice-filed in MA, WA. IAPD ↗
$792.9M RAUM · 8 reps · 312-429-6100 · faroadvisory.com
47
HAMMOND ILES WEALTH ADVISORS — notice-filed in MD, NJ. IAPD ↗
$474.9M RAUM · 5 reps · 860-258-2600
47
PINNACLE INVESTMENTS, LLC — notice-filed in MT. IAPD ↗
$1.29B RAUM · 55 reps · 315-251-1101
47
JAFFE TILCHIN INVESTMENT PARTNERS, LLC — notice-filed in AZ. IAPD ↗
$2.45B RAUM · 36 reps · 813-963-2500 · jaffetilchin.com
47
HARVEST FINANCIAL ADVISORS, LLC — notice-filed in CA, TN. IAPD ↗
$671.0M RAUM · 5 reps · 513-779-3030 · harvestadvisors.com
47
KEENER FINANCIAL PLANNING — notice-filed in MO, NE. IAPD ↗
$479.0M RAUM · 10 reps · 817-993-0401 · keenerfinancialplanning.com
47
NORTHWEST WEALTH MANAGEMENT, LLC — notice-filed in WI. IAPD ↗
$1.03B RAUM · 14 reps · 877-207-0994
47
RED DOOR WEALTH MANAGEMENT, LLC — notice-filed in MN. IAPD ↗
$3.09B RAUM · 10 reps · 901-681-0018
47
MOUNTAIN CAPITAL INVESTMENT ADVISORS INC — notice-filed in AL, SD. IAPD ↗
$929.1M RAUM · 15 reps · 720-500-0050 · mountaincapital.us
47
REBALANCE LLC — notice-filed in UT. IAPD ↗
$1.93B RAUM · 7 reps · 650-396-3900
47
OAK CITY INVESTMENT CONSULTING — notice-filed in LA. IAPD ↗
$1.43B RAUM · 3 reps · 919-844-6450 · oakcityinvestmentconsulting.com
47
B.O.S.S. RETIREMENT ADVISORS, LLC — notice-filed in TN. IAPD ↗
$1.38B RAUM · 49 reps · 801-990-5055
47
SUMMIT FINANCIAL WEALTH ADVISORS — notice-filed in NC. IAPD ↗
$1.80B RAUM · 17 reps · 337-232-1141
47
LINEWEAVER WEALTH ADVISORS — notice-filed in NH. IAPD ↗
$1.08B RAUM · 7 reps · 216-520-1711 · ohioretire.com
47
ALPHACORE CAPITAL LLC — notice-filed in MO. IAPD ↗
$9.03B RAUM · 69 reps · 858-875-4100 · alphacore.com
47
AERODIGM WEALTH LLC — notice-filed in FL. IAPD ↗
$1.46B RAUM · 5 reps · (503) 697-4118 · delapwa.com
47
AE WEALTH MANAGEMENT, LLC — notice-filed in PR. IAPD ↗
$49.84B RAUM · 448 reps · 866-363-9595
47
VESTWELL ADVISORS LLC — notice-filed in CO. IAPD ↗
$1.03B RAUM · 30 reps · 917-979-5358
47
MERIDIAN WEALTH PARTNERS, LLC — notice-filed in NH. IAPD ↗
$1.37B RAUM · 11 reps · 610-272-4700
47
CAPITA FINANCIAL NETWORK, LLC — notice-filed in KY. IAPD ↗
$2.32B RAUM · 22 reps · 801-566-5058
47
TEAM HEWINS, LLC — notice-filed in NC. IAPD ↗
$3.97B RAUM · 21 reps · 650-620-3040
47
SALOMON AND LUDWIN — notice-filed in SC. IAPD ↗
$1.34B RAUM · 6 reps · 804-592-4999
47
PASADENA PRIVATE WEALTH, LLC — notice-filed in FL. IAPD ↗
$1.62B RAUM · 8 reps · 626-993-9300 · pasadenaprivatewealth.com
47
BRANDYWINE OAK PRIVATE WEALTH LLC — notice-filed in RI. IAPD ↗
$1.57B RAUM · 10 reps · (484) 785-0050
47
ACCURATE WEALTH MANAGEMENT, LLC — notice-filed in WV. IAPD ↗
$1.71B RAUM · 47 reps · 813-994-0984 · providentwealthllc.com
47
PALLAS CAPITAL ADVISORS, LLC — notice-filed in NE. IAPD ↗
$4.31B RAUM · 23 reps · (781) 971-5052 · pallascapitaladvisors.com
47
CONFLUENCE FINANCIAL PARTNERS — notice-filed in ME. IAPD ↗
$6.84B RAUM · 38 reps · 724-271-8801 · confluencefp.com
47
VESTGEN ADVISORS, LLC — notice-filed in MT. IAPD ↗
$6.67B RAUM · 58 reps · 312-237-4446 · vestgen.com
47
GOLDSTEIN ADVISORS, LLC — notice-filed in NE. IAPD ↗
$1.08B RAUM · 10 reps · 608-831-3230
47
SYNTEGRA PRIVATE WEALTH GROUP LLC — notice-filed in MA. IAPD ↗
$1.39B RAUM · 13 reps · 314-802-7232
47
UPTICK PARTNERS, LLC — notice-filed in IN. IAPD ↗
$1.06B RAUM · 25 reps · (936) 800-0800
47
MODERN WEALTH MANAGEMENT, LLC — notice-filed in PR. IAPD ↗
$10.90B RAUM · 102 reps · 913-393-1000 · cjis.online
47
ROSSBY FINANCIAL, LLC — notice-filed in TN, VT. IAPD ↗
$854.8M RAUM · 2 reps · 321-209-0111
47
COREVISION FINANCIAL GROUP — notice-filed in LA. IAPD ↗
$1.15B RAUM · 6 reps · 317-398-8200
47
TRIAD WEALTH PARTNERS, LLC — notice-filed in OK. IAPD ↗
$1.53B RAUM · 33 reps · 785-830-0000 · vwpwealth.com
47
KAUFMAN HALL INVESTMENT MANAGEMENT — notice-filed in DE. IAPD ↗
$2.82B RAUM · 7 reps · 224-7243809 · khim.com
47
BLUE SKY CAPITAL CONSULTANTS GROUP, INC. — notice-filed in CO, VA. IAPD ↗
$306.3M RAUM · 7 reps · 858-513-8445
47
DIVERSIFIED, LLC — notice-filed in VT. IAPD ↗
$2.79B RAUM · 34 reps · 302-765-3500
47
BEARING POINT CAPITAL — notice-filed in NH. IAPD ↗
$1.11B RAUM · 4 reps · 952-800-6301 · bearingpointcap.com
47
BASECAMP WEALTH ADVISORS, LLC — notice-filed in ID. IAPD ↗
$1.08B RAUM · 4 reps · 425-553-0031 · basecampwealthadvisors.com
47
VANTUS WEALTH — notice-filed in IL, SC. IAPD ↗
$439.8M RAUM · 5 reps · 844-682-6887
47
TRINITY STRATEGIC WEALTH — notice-filed in VA. IAPD ↗
$1.54B RAUM · 16 reps · 918-492-2150 · trinitystrategicwealth.com
46
DIVERSIFIED PLANNING STRATEGIES ADVISORS LLC — notice-filed in FL, NY, PA. IAPD ↗
$154.4M RAUM · 4 reps · 973-226-6000
46
VERITAS WEALTH MANAGEMENT — notice-filed in FL, MA, TX. IAPD ↗
$0 RAUM · 2 reps · (401) 296-3606 · veritaswealthri.com
46
SCHEELER FINANCIAL GROUP — notice-filed in FL, KY, TX. IAPD ↗
$0 RAUM · 2 reps · 513-939-5164 · scheelerfinancialgroup.com
45
CORNERSTONE WEALTH MANAGEMENT — notice-filed in AZ. IAPD ↗
$628.7M RAUM · 4 reps · 440-899-4000 · fee-onlyadvisor.com
45
GRANT STREET ASSET MANAGEMENT INC — notice-filed in AR. IAPD ↗
$768.9M RAUM · 6 reps · 412-257-8060
45
DHJJ FINANCIAL ADVISORS — notice-filed in CA. IAPD ↗
$623.4M RAUM · 8 reps · 630-420-1360 · dhjjfinancial.com
45
REDW WEALTH LLC — notice-filed in SC. IAPD ↗
$869.2M RAUM · 9 reps · 505-998-3200
45
REZNY WEALTH MANAGEMENT, INC. — notice-filed in NC. IAPD ↗
$576.0M RAUM · 2 reps · 800-618-8577 · reznywealth.com
45
EVANS CAPITAL MANAGEMENT ASSOCIATES — notice-filed in IL. IAPD ↗
$682.6M RAUM · 3 reps · 425-455-0501 · rlevansco.com
45
THE WEALTH CONSERVANCY, INC. — notice-filed in CA. IAPD ↗
$260.0M RAUM · 3 reps · 303-444-1919
45
THE CAPITAL MANAGEMENT CORPORATION — notice-filed in MD. IAPD ↗
$825.6M RAUM · 7 reps · 804-270-4000 · cmcva.com
45
ASTORIA STRATEGIC WEALTH, INC. — notice-filed in CA. IAPD ↗
$482.5M RAUM · 7 reps · 888.321.7374
45
HEFFERNAN ADVISORY, INC. — notice-filed in WA. IAPD ↗
$409.6M RAUM · 5 reps · 928-774-9598
45
MENGIS CAPITAL MANAGEMENT, INC. — notice-filed in NH. IAPD ↗
$903.5M RAUM · 6 reps · 503-916-0776 · mengiscapital.com
45
STRATEGIC WEALTH MANAGEMENT GROUP — notice-filed in LA. IAPD ↗
$832.9M RAUM · 5 reps · 212-489-0100 · swmgrp.com
45
FINER WEALTH MANAGEMENT, INC. — notice-filed in CO. IAPD ↗
$305.8M RAUM · 2 reps · 978-740-1011 · finer.com
45
WILSEY ASSET MANAGEMENT INCORPORATED — notice-filed in GA. IAPD ↗
$768.5M RAUM · 2 reps · 858-224-0004
45
SENESCHAL FAMILY OFFICE — notice-filed in AZ. IAPD ↗
$301.3M RAUM · 3 reps · (253) 460-3430 · seneschalfamilyoffice.com
45
BOYLE CAPITAL — notice-filed in IL. IAPD ↗
$342.0M RAUM · 4 reps · 515-327-1870
45
STONE HOUSE INVESTMENT MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
$841.7M RAUM · 17 reps · (570) 836-7020
45
TOTAL CLARITY WEALTH MANAGEMENT, INC — notice-filed in VA. IAPD ↗
$755.4M RAUM · 20 reps · 630-762-9352
45
SGL INVESTMENT ADVISORS, INC. — notice-filed in WY. IAPD ↗
$391.6M RAUM · 6 reps · 406-721-0999 · sglinvestmentadvisors.com
45
WOMACK WEALTH MANAGEMENT, INC. — notice-filed in OR. IAPD ↗
$406.9M RAUM · 7 reps · 310-684-3868 · womackwealthmanagement.com
45
GUIDESTREAM FINANCIAL, INC. — notice-filed in VA. IAPD ↗
$263.5M RAUM · 5 reps · (517) 750-2727 · guidestreamfinancial.com
45
BLUEPRINT INVESTING LLC — notice-filed in MT. IAPD ↗
$436.3M RAUM · 2 reps · 415-963-9815 · blueprintinvest.com
45
BALLAST, INC. — notice-filed in VA. IAPD ↗
$751.5M RAUM · 8 reps · 859-226-0625 · ballastplan.com
45
HARDIN CAPITAL PARTNERS, LLC — notice-filed in GA. IAPD ↗
$447.8M RAUM · 1 reps · 864-252-4200 · hardincapitalpartners.com
45
TILIA FIDUCIARY PARTNERS, INC. — notice-filed in CA. IAPD ↗
$403.7M RAUM · 6 reps · 910-679-4093 · tiliapartners.com
45
BLUE WATER WEALTH — notice-filed in NV. IAPD ↗
$472.8M RAUM · 12 reps · 503-296-8700 · bluewaterwealth.com
45
HC ADVISORS LLC — notice-filed in NC. IAPD ↗
$500.2M RAUM · 6 reps · 404-705-4593 · hc-adv.com
45
SWMG, LLC — notice-filed in CA. IAPD ↗
$430.4M RAUM · 5 reps · 817-210-3444
45
KOTYS WEALTH PROFESSIONALS — notice-filed in FL. IAPD ↗
$308.0M RAUM · 4 reps · 219-465-6924 · kotyswealthpro.com
45
JIM SAULNIER & ASSOCIATES, LLC — notice-filed in IA. IAPD ↗
$286.4M RAUM · 3 reps · 970-530-0556 · jimhelps.com
45
WRENNE FINANCIAL PLANNING LLC — notice-filed in NV. IAPD ↗
$297.9M RAUM · 6 reps · 859-538-6044
45
HUGHES FINANCIAL SERVICES, LLC — notice-filed in LA. IAPD ↗
$759.8M RAUM · 6 reps · 703-669-3660 · h4fs.com
45
STABLEFORD CAPITAL LLC — notice-filed in WI. IAPD ↗
$305.3M RAUM · 3 reps · 480-493-2300 · stablefordcapital.com
45
RUBICON ADVISORS — notice-filed in FL. IAPD ↗
$420.7M RAUM · 19 reps · 530-223-5357
45
EQUITA FINANCIAL NETWORK, INC. — notice-filed in NJ. IAPD ↗
$391.0M RAUM · 15 reps · 800.604.0176
45
ALTMAN ADVISORS — notice-filed in GA. IAPD ↗
$483.4M RAUM · 7 reps · (312) 759-7801 · altmanadvisors.com
45
CURRAN FINANCIAL PARTNERS, LLC — notice-filed in NJ. IAPD ↗
$749.4M RAUM · 10 reps · (843) 300-1182
45
CLEVELAND WEALTH, LLC — notice-filed in LA. IAPD ↗
$506.6M RAUM · 3 reps · (216) 810-5900
45
HURLOW WEALTH MANAGEMENT GROUP, INC. — notice-filed in IL. IAPD ↗
$794.4M RAUM · 10 reps · (812) 333-4726 · hurlowwealth.com
45
RUNNING OAK CAPITAL LLC — notice-filed in ME. IAPD ↗
$874.7M RAUM · 2 reps · 919-656-3712 · runningoak.com
45
ALL TERRAIN FINANCIAL ADVISORS — notice-filed in CO. IAPD ↗
$379.2M RAUM · 4 reps · 612-216-3501 · alltfa.com
45
ALLIUM FINANCIAL ADVISORS, LLC — notice-filed in GA. IAPD ↗
$733.5M RAUM · 4 reps · 877-487-6860 · alliumfinancial.com
45
ROYAL OAK FINANCIAL ADVISORS, LLC — notice-filed in OH. IAPD ↗
$366.1M RAUM · 7 reps · 248-709-6134
45
CHICORY WEALTH — notice-filed in CT. IAPD ↗
$840.4M RAUM · 12 reps · (404) 294-5917
45
THE DALA GROUP, LLC — notice-filed in TN. IAPD ↗
$265.2M RAUM · 7 reps · 847-485-0248
45
TANDEM FINANCIAL, LLC — notice-filed in NM. IAPD ↗
$541.8M RAUM · 6 reps · (720) 845-5700 · tandem-financial.com
45
FINANCIAL TRANSPARENCY — notice-filed in WA. IAPD ↗
$322.3M RAUM · 16 reps · (336) 715-3300 · financialtransparencyllc.com
45
HOWARD WEALTH MANAGEMENT, LLC — notice-filed in NC. IAPD ↗
$397.0M RAUM · 2 reps · 203-421-8339
45
OPTIVISE ADVISORY SERVICES LLC — notice-filed in WA. IAPD ↗
$287.9M RAUM · 22 reps · 855-378-1806 · optiviseria.com
45
KAUFMAN ROSSIN WEALTH, LLC — notice-filed in NY. IAPD ↗
$506.7M RAUM · 7 reps · 305-646-6071 · kaufmanrossinwealth.com
45
TRUNORTH ADVISORS — notice-filed in NY. IAPD ↗
$300.8M RAUM · 8 reps · (864) 800-1831
45
LEGACY WEALTH MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
$458.6M RAUM · 3 reps · 601-499-1970 · mylegacy.ms
45
CANVAS WEALTH ADVISORS, LLC — notice-filed in FL. IAPD ↗
$929.2M RAUM · 10 reps · 913-991-8471 · canvaswealthadvisors.com
45
CMG WEALTH MANAGEMENT — notice-filed in GA. IAPD ↗
$379.4M RAUM · 5 reps · 469-729-7084
45
RETIRE AGILE — notice-filed in NC. IAPD ↗
$433.7M RAUM · 5 reps · 218-336-2506
45
ATLANTIC PRIVATE WEALTH, LLC — notice-filed in MD. IAPD ↗
$894.0M RAUM · 4 reps · 919-968-2977 · atlanticpwa.com
45
COGENTBLUE — notice-filed in PA. IAPD ↗
$606.0M RAUM · 4 reps · 865-309-5892 · cogentbluewealth.com
45
POWER WEALTH MANAGEMENT — notice-filed in NE. IAPD ↗
$429.9M RAUM · 6 reps · 404-889-8919
45
WEST WEALTH GROUP, LLC — notice-filed in IL. IAPD ↗
$616.7M RAUM · 13 reps · 949-682-9105 · yelp.com
45
LEES MONSOUR GROUP — notice-filed in AR. IAPD ↗
$681.2M RAUM · 3 reps · (318) 506-8635 · leesmonsourgroup.com
45
PRESILIUM PRIVATE WEALTH, LLC — notice-filed in IL. IAPD ↗
$671.7M RAUM · 3 reps · 215-982-4140 · presiliumpw.com
45
AURELIUS FAMILY OFFICE, LLC — notice-filed in AR. IAPD ↗
$315.3M RAUM · 1 reps · 603-413-6060
45
INVENIO WEALTH PARTNERS, LLC — notice-filed in CA. IAPD ↗
$364.0M RAUM · 2 reps · 971-371-3450 · inveniowealth.com
45
THE SALVETTI GROUP — notice-filed in NV. IAPD ↗
$633.7M RAUM · 4 reps · 916-414-8282 · thesalvettigroup.com
45
WATERSTONE FINANCIAL ADVISORY LLC — notice-filed in NY. IAPD ↗
$262.5M RAUM · 3 reps · 239-288-0977 · waterstonefs.com
45
MDRN CAPITAL — notice-filed in IA. IAPD ↗
$338.6M RAUM · 22 reps · 410-533-9966 · go.aaroncirksena.com
45
RELATION WEALTH MANAGEMENT, INC. — notice-filed in CA. IAPD ↗
$541.2M RAUM · 7 reps · (918) 999-9138 · relationwealth.com
45
MINDSET WEALTH MANAGEMENT, LLC — notice-filed in PA. IAPD ↗
$445.5M RAUM · 4 reps · 317-348-4655 · mindsetwealthmanagement.com
45
BIRCH FINANCIAL GROUP — notice-filed in VA. IAPD ↗
$264.7M RAUM · 2 reps · 603-338-3838
45
ARENA PRIVATE WEALTH — notice-filed in CA. IAPD ↗
$404.7M RAUM · 8 reps · 312-798-9045
45
PRASAD WEALTH PARTNERS — notice-filed in MD. IAPD ↗
$572.1M RAUM · 5 reps · 216-313-9999
45
XCELSIOR ADVISOR PARTNERS LLC — notice-filed in IA. IAPD ↗
$650.7M RAUM · 13 reps · 480-866-8616 · xcelsiorpartners.com
45
CAMBIENT FAMILY OFFICE, LLC — notice-filed in FL. IAPD ↗
$857.9M RAUM · 3 reps · (616) 330-2270 · cambient.com
45
PROSPERITY FINANCIAL GROUP, INC. — notice-filed in IL. IAPD ↗
$503.0M RAUM · 8 reps · 925-314-8500 · 401kprosperityfg.com
45
EXCEPTIONAL WEALTH & FAMILY OFFICE — notice-filed in FL. IAPD ↗
$292.2M RAUM · 5 reps · 719-715-4179
44
CONTINENTAL INVESTORS SERVICES, INC. — notice-filed in MT, NC. IAPD ↗
$196.8M RAUM · 8 reps · 360-423-5110 · cisinvest.com
44
GLOBAL FINANCIAL PLANNING GROUP, LLC — notice-filed in IL, OH. IAPD ↗
$135.3M RAUM · 2 reps · 248-643-4820 · gfpgroup.com
44
WATER VALLEY INVESTMENT ADVISORS, INC. — notice-filed in CA, NE. IAPD ↗
$157.2M RAUM · 3 reps · 712-395-0764 · wviainc.com
44
ELE ADVISORY SERVICES, INC — notice-filed in ID, KY. IAPD ↗
$136.5M RAUM · 12 reps · 248-356-6555 · elewealth.com
44
CAPSTONE INVESTMENT GROUP — notice-filed in GA, MI. IAPD ↗
$176.4M RAUM · 8 reps · 360-570-9888 · wisdomanddiscipline.com
44
ARNOLD AND MOTE WEALTH MANAGEMENT — notice-filed in CA, MN. IAPD ↗
$168.2M RAUM · 5 reps · 319-393-4020
44
WMK INVESTMENT PARTNERS — notice-filed in AZ, CA. IAPD ↗
$211.0M RAUM · 4 reps · (818) 804-1508 · wmkinvestmentpartners.com
44
INTELLICAPITAL ADVISORS LLC — notice-filed in GA, TX. IAPD ↗
$118.9M RAUM · 2 reps · 866-438-1958 · opensea.io
44
POSITION WEALTH — notice-filed in NJ, PA. IAPD ↗
$242.1M RAUM · 3 reps · 281-968-2780
44
PROTOCOL WEALTH, LLC — notice-filed in FL, NY. IAPD ↗
$127.1M RAUM · 3 reps · 720-439-9055 · protocolwealth.io
44
YOUR IA, LLC — notice-filed in KY, NY. IAPD ↗
$106.6M RAUM · 15 reps · 800-823-0489 · youria.com
44
OXFORD HARRIMAN PRIVATE WEALTH MANAGEMENT — notice-filed in MI, TX. IAPD ↗
$0 RAUM · 1 reps · 317-581-4003 · ohcpwm.com
44
ANCHOR & OAK WEALTH ADVISORS, LLC — notice-filed in CA, DC. IAPD ↗
$0 RAUM · 3 reps · 516-662-2546
42
GLOBAL BROKERAGE SERVICES, INC. — notice-filed in DE. IAPD ↗
$137.3M RAUM · 5 reps · 410-785-4990 · globalbrokers.net
42
CONCORDE FINANCIAL RESOURCES — notice-filed in VA. IAPD ↗
$231.0M RAUM · 2 reps · 336-838-4100 · concordefinancialresources.com
42
KAPUSTA FINANCIAL GROUP — notice-filed in TX. IAPD ↗
$199.6M RAUM · 3 reps · 412-851-1400 · kapustafinancial.com
42
INGRAM ADVISORY SERVICES, LLC — notice-filed in OH. IAPD ↗
$109.3M RAUM · 2 reps · 863-326-9833 · ingramfinancialgroup.com
42
BENCHMARK CAPITAL GROUP LTD. — notice-filed in WI. IAPD ↗
$173.6M RAUM · 2 reps · 815-777-0600 · benchmarkcapitalgroup.com
42
BARTLEY FINANCIAL ADVISORS, LLC — notice-filed in MD. IAPD ↗
$151.6M RAUM · 1 reps · 603-625-9900 · truthsocial.com
42
CIOVACCO CAPITAL MANAGEMENT — notice-filed in AL. IAPD ↗
$217.3M RAUM · 1 reps · 678-362-7698 · ccmmarketmodel.com
42
AJF CAPITAL MANAGEMENT, INC. — notice-filed in CO. IAPD ↗
$178.5M RAUM · 4 reps · 212-779-0789
42
KCD FINANCIAL, INC. — notice-filed in ME. IAPD ↗
$202.1M RAUM · 27 reps · 920-347-3400 · kcdfinancial.com
42
CONDON WEALTH MANAGEMENT, INC. — notice-filed in NH. IAPD ↗
$122.1M RAUM · 2 reps · 508-746-7763
42
PROSPECT FINANCIAL GROUP LLC — notice-filed in IL. IAPD ↗
$204.4M RAUM · 2 reps · (703) 852-9673 · prospect-group.com
42
SERVANT FINANCIAL, LTD. — notice-filed in MI. IAPD ↗
$143.6M RAUM · 1 reps · 630-264-0127
42
KENSINGTON FINANCIAL ADVISORS LLC — notice-filed in NY. IAPD ↗
$159.9M RAUM · 2 reps · 201-201-0439 · kfinadvisors.com
42
HONU WEALTH MANAGEMENT — notice-filed in OR. IAPD ↗
$161.8M RAUM · 4 reps · (650) 917-3400
42
VALUES FIRST ADVISORS, INC. — notice-filed in NH. IAPD ↗
$215.4M RAUM · 9 reps · 877-832-3847 · valuesfirst.com
42
CHELSEA ADVISORY SERVICES, INC — notice-filed in AL. IAPD ↗
$147.4M RAUM · 25 reps · 718-967-8400 · chfs.com
42
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC — notice-filed in UT. IAPD ↗
$238.1M RAUM · 35 reps · 212-687-5650 · axiows.com
42
FULCRUM WEALTH MANAGEMENT — notice-filed in KY. IAPD ↗
$192.8M RAUM · 3 reps · 888-304-6942 · fulcrumeq.com
42
CAPSTONE WEALTH MANAGEMENT CORP. — notice-filed in CA. IAPD ↗
$109.4M RAUM · 3 reps · (866) 596-9886 · careformywealth.com
42
STASH WEALTH, LLC — notice-filed in PA. IAPD ↗
$51.7M RAUM · 3 reps · 212-913-9904 · stashwealth.com
42
FULCRUM WEALTH ADVISORS, LLC — notice-filed in IL. IAPD ↗
$208.0M RAUM · 2 reps · 425-250-6280
42
PARADY WEALTH MANAGEMENT — notice-filed in NJ. IAPD ↗
$145.7M RAUM · 5 reps · 352-674-3911
42
WISDOM WEALTH STRATEGIES — notice-filed in AZ. IAPD ↗
$190.5M RAUM · 2 reps · 720-314-8009
42
SOPHIS INVESTMENTS LLC — notice-filed in NE. IAPD ↗
$129.9M RAUM · 5 reps · 212-572-6360 · sophis.co
42
FORTUNE 45, LLC. — notice-filed in MS. IAPD ↗
$237.7M RAUM · 3 reps · 225-614-9599 · fortune45.com
42
INTEGRAS PARTNERS, LLC — notice-filed in NC. IAPD ↗
$244.8M RAUM · 3 reps · 404-941-2800
42
TRADEMARK CAPITAL MANAGEMENT INC. — notice-filed in MD. IAPD ↗
$150.8M RAUM · 4 reps · 706-534-2351
42
THE LIFE GROUP FINANCIAL SERVICES — notice-filed in MD. IAPD ↗
$146.2M RAUM · 4 reps · 563-587-7840 · thelifegroupllc.com
42
RED MOUNTAIN FINANCIAL, LLC — notice-filed in WY. IAPD ↗
$184.4M RAUM · 1 reps · 970-658-0946 · redmountainfinancial.com
42
SHERMAN WEALTH MANAGEMENT LLC — notice-filed in CO. IAPD ↗
$160.3M RAUM · 3 reps · (240) 428-1622
42
M WEALTH MANAGEMENT, LLC — notice-filed in LA. IAPD ↗
$177.6M RAUM · 3 reps · 855-635-2763
42
TIDEHAVEN WEALTH, LLC — notice-filed in GA. IAPD ↗
$125.0M RAUM · 2 reps · 843-284-8040
42
DAVIS WEALTH ADVISORS — notice-filed in TX. IAPD ↗
$197.1M RAUM · 5 reps · 603-836-3477
42
RETIREMENT SOLUTIONS GROUP — notice-filed in TX. IAPD ↗
$159.6M RAUM · 3 reps · 615-467-6300 · rsginfo.com
42
BRINDLE & BAY FINANCIAL ADVISORS, LLC — notice-filed in WI. IAPD ↗
$184.8M RAUM · 3 reps · 214-988-9178 · brindleandbay.com
42
FORTIFY WEALTH, INC. — notice-filed in PA. IAPD ↗
$115.0M RAUM · 3 reps · 314-726-0055 · fortifywealth.com
42
ABUNDO WEALTH — notice-filed in CT. IAPD ↗
$0 RAUM · 13 reps · 612-502-5806
42
CORAL WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
$124.3M RAUM · 1 reps · 305-671-3914 · coralwm.com
42
CLARIVOR — notice-filed in FL. IAPD ↗
$4.4M RAUM · 1 reps · 212-810-1187
42
MAINE ADVISORY ASSOCIATES — notice-filed in TX. IAPD ↗
$116.5M RAUM · 2 reps · 207-778-2250 · maineadvisory.com
42
MINT ASSET MANAGEMENT LLC — notice-filed in PA. IAPD ↗
$64.5M RAUM · 4 reps · 908-777-1717 · mintassetmanagement.com
42
LIBERTY ONE WEALTH ADVISORS — notice-filed in MA. IAPD ↗
$178.4M RAUM · 5 reps · 215-776-4918 · libertyonewealth.com
42
PEAK FINANCIAL PLANNING — notice-filed in AZ. IAPD ↗
$93.0M RAUM · 7 reps · (818) 600-6099 · thepeakfp.com
42
DBA BIG MONEY RETIREMENT AND BIG RETIREMENT — notice-filed in GA. IAPD ↗
$147.1M RAUM · 9 reps · 864-920-3155 · bigmoneyretirement.com
42
SOLID POINT WEALTH ADVISORS, LLC — notice-filed in FL. IAPD ↗
$119.7M RAUM · 5 reps · 518-681-0107 · solidpointwealth.com
42
VIRTUS FINANCIAL PARTNERS — notice-filed in MI. IAPD ↗
$152.5M RAUM · 3 reps · 407-267-8445
42
44 NORTH CAPITAL, LLC — notice-filed in NH. IAPD ↗
$125.1M RAUM · 2 reps · 802-300-0614 · 44ncap.com
42
PROMETHIUM — notice-filed in FL. IAPD ↗
$235.3M RAUM · 4 reps · 202-978-2519 · promethiumadvisors.com
42
TUMOLO WEALTH MANAGEMENT LLC — notice-filed in NH. IAPD ↗
$134.0M RAUM · 4 reps · (860) 650-3005 · tumolofinancial.com
42
PLANWISER FINANCIAL — notice-filed in AR. IAPD ↗
$169.1M RAUM · 2 reps · 719-822-0808
42
WHITWELL ADVISORS — notice-filed in SC. IAPD ↗
$116.8M RAUM · 6 reps · 512-766-7775 · linktr.ee
42
INFINITY TAX & FINANCIAL PLANNING — notice-filed in TN. IAPD ↗
$100.0M RAUM · 4 reps · 256-527-4214
42
BEACON CAPITAL ADVISORY GROUP — notice-filed in TX. IAPD ↗
$223.5M RAUM · 2 reps · 877-801-2322
42
INTEGRITY ROAD WEALTH PARTNERS LLC — notice-filed in NH. IAPD ↗
$126.0M RAUM · 3 reps · 832-585-8699 · integrityroadwealth.com
42
ALLVET FINANCIAL — notice-filed in PA. IAPD ↗
$1.3M RAUM · 2 reps · (804) 201-4615
42
GRANITE ISLANDS PRIVATE WEALTH, LLC — notice-filed in NH. IAPD ↗
$229.9M RAUM · 4 reps · 203-889-3890 · graniteislands.com
42
FORWARD WEALTH — notice-filed in TX. IAPD ↗
$111.1M RAUM · 8 reps · 720-739-3930 · fwd-wealth.com
42
FIDUCIARY CAPITAL MANAGEMENT LLC — notice-filed in MI. IAPD ↗
$149.8M RAUM · 10 reps · 503 515 1313 · fiduciarycm.com
42
3D ADVISOR GROUP, INC. — notice-filed in TX. IAPD ↗
$0 RAUM · 2 reps · (508) 808-1423 · 3dadvisorgroup.com
88
ASSET GROWTH SOLUTIONS, LLC — (SCOTTSDALE, AZ) is newly SEC-registered with $702.7M RAUM and 4 advisory reps. IAPD ↗institutional
$702.7M RAUM · 4 reps · 480-660-9770 · assetgrowthsolutions.net
88
NEOSTELLAR ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered with $433.3M RAUM and 9 advisory reps. IAPD ↗institutional
$433.3M RAUM · 9 reps · 212-931-6331
85
SCOTIA PARTNERS, LLC — (location n/a) is newly SEC-registered with $110.7M RAUM and 1 advisory reps. IAPD ↗institutional
$110.7M RAUM · 1 reps · (484)932-8560 · scotiapartners.com
85
GREEN HORIZON PARTNERS CAPITAL LLC — (location n/a) is newly SEC-registered with $159.6M RAUM and 2 advisory reps. IAPD ↗institutional
$159.6M RAUM · 2 reps · 917-365-4031
85
BLUE OWL REAL ASSETS ADVISORS LLC — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 140 advisory reps. IAPD ↗institutional
$0 RAUM · 140 reps · 212-419-3000
85
STRATEGIQ FUNDS, INC. — (SAN ANTONIO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 720-203-5632
85
SUMITOMO MITSUI TRUST ASSET MANAGEMENT AMERICAS, INC. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 212-258-1080
85
CAMBWICK US LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · +447751317440
85
SOLSTICE GUARD CAPITAL — (ST. CHARLES, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 636-573-1236
85
VOXEL CAPITAL PARTNERS LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 917 751 0273 · voxelcap.com
85
LEGGETT VENTURES — (HOUSTON, TX) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 832-804-8301 · leggettventures.com
85
COBBLERS COVE CAPITAL LP — (CHARLESTON, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 310-699-0444
85
FUTURECORP ASSET MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 2135249594 · futurecorp.vc
85
IRISH CREEK CAPITAL — (CAMDEN, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 703-716-3305
85
POLOIDAL CAPITAL 9D ADVISORS LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 786-224-6890 · poloidalcapital.com
85
SLR SECURED LENDING PARTNERS, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 34 advisory reps. IAPD ↗institutional
$0 RAUM · 34 reps · 212-993-1670
85
ARIAM GLOBAL INC. — (SAN DIEGO, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 858 218 6268 · ariamglobal.com
85
3A CAPITAL, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 516-410-3463
85
THIRD HARBOR — (COLD SPRING HARBOR, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (917) 535-9360
85
OPTOS REAL ESTATE CREDIT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 212-308-7700
85
THOREAU MANAGEMENT PARTNERS, LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 502-592-5555
85
EMXETF — (location n/a) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 415-533-2249 · emqqglobaletfs.com
83
NORTH RUN CAPITAL, LP — (BOSTON, MA) is newly SEC-registered with $334.5M RAUM and 3 advisory reps. IAPD ↗fund
$334.5M RAUM · 3 reps · 617-310-6130 · northruncapital.com
83
COMPOUND ADVISORS, LLC — (NEW YORK, NY) is newly SEC-registered with $732.3M RAUM and 6 advisory reps. IAPD ↗fund
$732.3M RAUM · 6 reps · 917-664-4297 · compound.vc
83
MULTIPLIER CAPITAL, LLC — (WASHINGTON, DC) is newly SEC-registered with $503.0M RAUM and 14 advisory reps. IAPD ↗fund
$503.0M RAUM · 14 reps · 240-345-1005 · multipliercapital.com
83
MARNELL MANAGEMENT LLC — (FARMINGTON HILLS, MI) is newly SEC-registered with $306.1M RAUM and 1 advisory reps. IAPD ↗fund
$306.1M RAUM · 1 reps · 248-579-4531 · marnellmanagement.com
83
MINK BROOK ASSET MANAGEMENT LLC — (location n/a) is newly SEC-registered with $280.7M RAUM and 1 advisory reps. IAPD ↗fund
$280.7M RAUM · 1 reps · 314-323-0752
83
WELLSPRING GBL, LLC — (NEW YORK, NY) is newly SEC-registered with $300.5M RAUM and 4 advisory reps. IAPD ↗fund
$300.5M RAUM · 4 reps · 212-869-2647 · wellspringgbl.com
83
SECURITIZE CAPITAL LLC — (MIAMI, FL) is newly SEC-registered with $530.2M RAUM and 1 advisory reps. IAPD ↗fund
$530.2M RAUM · 1 reps · 415-745-3030 · securitize.io
83
GRIDLINE — (ATLANTA, GA) is newly SEC-registered with $332.1M RAUM and 5 advisory reps. IAPD ↗fund
$332.1M RAUM · 5 reps · 4706326887
83
TCP MANAGEMENT LLC — (ATLANTA, GA) is newly SEC-registered with $463.5M RAUM and 7 advisory reps. IAPD ↗fund
$463.5M RAUM · 7 reps · 706-231-1204
83
NEXT HORIZON CAPITAL — (SAN FRANCISCO, CA) is newly SEC-registered with $505.8M RAUM and 5 advisory reps. IAPD ↗fund
$505.8M RAUM · 5 reps · 415-271-6410 · nexthorizoncap.com
83
DEFINITION CAPITAL — (NEW YORK, NY) is newly SEC-registered with $791.9M RAUM and 2 advisory reps. IAPD ↗fund
$791.9M RAUM · 2 reps · 917-382-1141 · definitioncap.com
83
TRANSITION EQUITY PARTNERS, LLC — (CHICAGO, IL) is newly SEC-registered with $501.8M RAUM and 8 advisory reps. IAPD ↗fund
$501.8M RAUM · 8 reps · 773-805-2463
83
ISLAND GREEN CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered with $416.9M RAUM and 4 advisory reps. IAPD ↗fund
$416.9M RAUM · 4 reps · 310-975-0265 · islandgreencapital.com
83
DAYAH CAPITAL LLC — (STAMFORD, CT) is newly SEC-registered with $264.8M RAUM and 5 advisory reps. IAPD ↗fund
$264.8M RAUM · 5 reps · 848-206-0010 · dayahcapital.com
83
MAXWELL STREET CAPITAL PARTNERS, LP — (EVANSTON, IL) is newly SEC-registered with $284.3M RAUM and 8 advisory reps. IAPD ↗fund
$284.3M RAUM · 8 reps · (888) 608-8674 · maxwellstreetcap.com
83
COTULLA HOLDINGS LLC — (location n/a) is newly SEC-registered with $432.5M RAUM and 1 advisory reps. IAPD ↗fund
$432.5M RAUM · 1 reps · 757-490-3151
83
NEXTBIO CAPITAL MANAGEMENT LP — (AUSTIN, TX) is newly SEC-registered with $305.2M RAUM and 4 advisory reps. IAPD ↗fund
$305.2M RAUM · 4 reps · 650-501-0882 · nextbiocapital.com
83
EMERGENT STRATEGIC PARTNERS, LLC — (location n/a) is newly SEC-registered with $598.7M RAUM and 1 advisory reps. IAPD ↗fund
$598.7M RAUM · 1 reps · 310-310-1092
83
FUSION CAPITAL — (LOS ANGELES, CA) is newly SEC-registered with $461.4M RAUM and 9 advisory reps. IAPD ↗fund
$461.4M RAUM · 9 reps · 949-842-9308 · fcpartners.com
83
POINT 41 CAPITAL PARTNERS, L.P. — (COS COB, CT) is newly SEC-registered with $562.9M RAUM and 8 advisory reps. IAPD ↗fund
$562.9M RAUM · 8 reps · 310-968-6614 · point41capital.com
83
GDEV MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $459.7M RAUM and 9 advisory reps. IAPD ↗fund
$459.7M RAUM · 9 reps · 646-381-8784 · gdevmgmt.com
83
PALM PEAK CAPITAL, LLC — (BOCA RATON, FL) is newly SEC-registered with $400.8M RAUM and 7 advisory reps. IAPD ↗fund
$400.8M RAUM · 7 reps · 561-941-6355
83
RARE CAPITAL MANAGEMENT, LLC — (NASHVILLE, TN) is newly SEC-registered with $333.6M RAUM and 4 advisory reps. IAPD ↗fund
$333.6M RAUM · 4 reps · (651) 315-6610 · rarecap.com
80
STONEPINE CAPITAL MANAGEMENT, LLC — (BEND, OR) is newly SEC-registered with $181.0M RAUM and 3 advisory reps. IAPD ↗fund
$181.0M RAUM · 3 reps · 541-647-5673 · stonepinecap.com
80
BUTLER HALL CAPITAL LLC — (LOS ANGELES, CA) is newly SEC-registered with $218.3M RAUM and 2 advisory reps. IAPD ↗fund
$218.3M RAUM · 2 reps · (424) 644-6009
80
EGIS CAPITAL PARTNERS LP — (SUMMIT, NJ) is newly SEC-registered with $160.8M RAUM and 3 advisory reps. IAPD ↗fund
$160.8M RAUM · 3 reps · 973-994-0606 · egiscapitalpartners.com
80
CLAYMORE CAPITAL PARTNERS — (CINCINNATI, OH) is newly SEC-registered with $183.9M RAUM and 5 advisory reps. IAPD ↗fund
$183.9M RAUM · 5 reps · 513-762-7615
80
ESSENTIA FUND ADVISORS, LLC — (location n/a) is newly SEC-registered with $173.4M RAUM and 3 advisory reps. IAPD ↗fund
$173.4M RAUM · 3 reps · 775-351-9439 · essentia-capital.com
80
TWIN LIONS MANAGEMENT — (STAMFORD, CT) is newly SEC-registered with $215.9M RAUM and 2 advisory reps. IAPD ↗fund
$215.9M RAUM · 2 reps · (212) 203-4428 · twinlionsmgmt.com
80
INCISION CAPITAL MANAGEMENT LP — (SAN FRANCISCO, CA) is newly SEC-registered with $220.3M RAUM and 2 advisory reps. IAPD ↗fund
$220.3M RAUM · 2 reps · 415-374-0503 · incisioncapital.com
80
H SQUARED MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $151.9M RAUM and 4 advisory reps. IAPD ↗fund
$151.9M RAUM · 4 reps · 212-796-4956
80
WINFOREST PARTNERS — (location n/a) is newly SEC-registered with $201.4M RAUM and 5 advisory reps. IAPD ↗fund
$201.4M RAUM · 5 reps · 3129525245
80
COUNTER GLOBAL, L.P. — (SANTA MONICA, CA) is newly SEC-registered with $172.7M RAUM and 2 advisory reps. IAPD ↗fund
$172.7M RAUM · 2 reps · 310-339-5858 · counter-global.com
80
RIDGELINE CAPITAL MANAGEMENT, LLC — (MEMPHIS, TN) is newly SEC-registered with $228.3M RAUM and 3 advisory reps. IAPD ↗fund
$228.3M RAUM · 3 reps · 202-670-2550 · ridgeline.vc
80
SPICE EXPEDITIONS, LP — (WESTPORT, CT) is newly SEC-registered with $195.9M RAUM and 3 advisory reps. IAPD ↗fund
$195.9M RAUM · 3 reps · 203-450-9909 · spice.vc
80
PATH CAPITAL PARTNERS, LLC — (NORTH MIAMI BEACH, FL) is newly SEC-registered with $169.0M RAUM and 2 advisory reps. IAPD ↗fund
$169.0M RAUM · 2 reps · 305-808-6140
80
BLUELINE CAPITAL — (SAN FRANCISCO, CA) is newly SEC-registered with $240.4M RAUM and 7 advisory reps. IAPD ↗fund
$240.4M RAUM · 7 reps · 415-569-2762 · bluelinelp.com
80
RISING POINT CAPITAL — (CHICAGO, IL) is newly SEC-registered with $219.6M RAUM and 8 advisory reps. IAPD ↗fund
$219.6M RAUM · 8 reps · 312-479-8582 · risingpointcapital.com
80
SHADOWBOX LOGISTICS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
$0 RAUM · 5 reps · 415-238-2850 · shadowboxlogistics.com
80
CALLODINE BDC ADVISOR, LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗fund
$0 RAUM · 10 reps · 617 588 3312
80
LRH CAPITAL ADVISING LLC — (DALLAS, TX) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗fund
$113.9M RAUM · 1 reps · 2146801261
75
RADIANX CAPITAL, LLC — crossed $1B in regulatory AUM ($953.6M -> $1.02B). IAPD ↗institutional
$1.02B RAUM · 3 reps · 6464033807 · radianxcapital.com
70
HIIVE ADVISORS INC. — (VANCOUVER, Canada) is newly SEC-registered with $1.13B RAUM and 3 advisory reps. IAPD ↗foreign
$1.13B RAUM · 3 reps · 604-200-2405 · hiive.com
68
RAVENSTONE CAPITAL MANAGEMENT INC. — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $370.9M RAUM and 2 advisory reps. IAPD ↗foreign
$370.9M RAUM · 2 reps · 416-322-2067 · ravenstonecapital.ca
68
HEADWAY WEALTH — (DURHAM, United Kingdom) is newly SEC-registered with $301.0M RAUM and 2 advisory reps. IAPD ↗foreign
$301.0M RAUM · 2 reps · 00442033935920 · headwaywealth.com
65
BEARBULL INVESTMENTS — (DUBLIN 2, Ireland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · (510)-736-4710
65
BIASAFE SECURITIES USA CORP — (MONTREAL, QC, Canada) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 438-373-7501 · biasafe.ai
63
DX ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$753.3M RAUM · 4 reps · 415-639-9966
60
THE MOLPUS WOODLANDS GROUP, LLC — grew from 18 to 23 advisory reps. IAPD ↗fund
$1.83B RAUM · 23 reps · 601-948-8733
60
FRANKLIN ADVISORY SERVICES, LLC — now reports 6 private fund(s) ($49.3M gross). IAPD ↗fund
$14.07B RAUM · 2 reps · (650) 312-3000 · franklintempletonoffshore.com
58
DS2 CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗fund
$250.6M RAUM · 5 reps · 704-210-8560 · ds2capital.com
58
AUTILUS PARTNERS LLC — now reports 5 private fund(s) ($403.3M gross). IAPD ↗fund
$413.8M RAUM · 2 reps · 1-310-759-8160
58
THE OPERATORS FUND INVESTMENT MANAGEMENT, L.P. — now reports 1 private fund(s) ($303.0M gross). IAPD ↗fund
$303.0M RAUM · 4 reps · (914) 361-5146 · operatorsfund.com
58
MERIT CAPITAL PARTNERS VI, LLC — now reports 3 private fund(s) ($448.2M gross). IAPD ↗fund
$448.2M RAUM · 16 reps · 312-592-6111 · meritcapital.com
55
FRANKLIN ADVISORY SERVICES, LLC — now reports custody of client assets ($26.09B). IAPD ↗fund
$14.07B RAUM · 2 reps · (650) 312-3000 · franklintempletonoffshore.com
55
THE OPERATORS FUND INVESTMENT MANAGEMENT, L.P. — grew from 2 to 4 advisory reps. IAPD ↗fund
$303.0M RAUM · 4 reps · (914) 361-5146 · operatorsfund.com
55
ETERNAL CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗fund
$42.7M RAUM · 5 reps · 305-915-8805 · eternalcapitalgroup.com
55
37SPRUCE INVESTMENT PARTNERS, LLC — now reports 1 private fund(s) ($150.0M gross). IAPD ↗fund
$150.0M RAUM · 4 reps · 203-961-3113 · 37spruce.com
53
THE OPERATORS FUND INVESTMENT MANAGEMENT, L.P. — now reports custody of client assets ($303.0M). IAPD ↗fund
$303.0M RAUM · 4 reps · (914) 361-5146 · operatorsfund.com
53
DS2 CAPITAL LLC — now reports custody of client assets ($250.6M). IAPD ↗fund
$250.6M RAUM · 5 reps · 704-210-8560 · ds2capital.com
53
MERIT CAPITAL PARTNERS VI, LLC — now reports custody of client assets ($389.6M). IAPD ↗fund
$448.2M RAUM · 16 reps · 312-592-6111 · meritcapital.com
45
THE VARIABLE ANNUITY LIFE INSURANCE COMPANY — 's Item 11 disclosure-reporting entries rose by 1 (66 -> 67). IAPD ↗institutional
$32.94B RAUM · 5 reps · 713-522-1111
45
VANGUARD GROUP INC — 's Item 11 disclosure-reporting entries rose by 2 (120 -> 122). IAPD ↗institutional
$11092.67B RAUM · 19 reps · 610-669-1000 · vanguardjobs.com
45
VANGUARD GLOBAL ADVISERS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (117 -> 119). IAPD ↗institutional
$249.66B RAUM · 314 reps · 610-669-1000 · vanguardoffshore.com
45
VANGUARD CAPITAL MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (104 -> 106). IAPD ↗institutional
$8436.18B RAUM · 235 reps · 610-669-1000
45
VANGUARD PORTFOLIO MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (104 -> 106). IAPD ↗institutional
$2656.48B RAUM · 105 reps · 610-669-1000
45
MORRISON US, LLC — now reports 1 private fund(s) ($105.5M gross). IAPD ↗foreign
$32.53B RAUM · 14 reps · 3479526718
43
AVENDUS WEALTH MANAGEMENT PRIVATE LIMITED — grew from 3 to 6 advisory reps. IAPD ↗foreign
$2.00B RAUM · 6 reps · +91-22-6648-0909
40
MORRISON US, LLC — now reports custody of client assets ($211.0M). IAPD ↗foreign
$32.53B RAUM · 14 reps · 3479526718
40
BENEFIT STREET PARTNERS L.L.C. — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗fund
$28.32B RAUM · 110 reps · 212-588-6770
40
TPG CAPITAL ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗fund
$140.57B RAUM · 410 reps · 817-871-4000
40
BERENBERG ASSET MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗institutional
$34.8M RAUM · 17 reps · 646-949-9000
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 1 (147 -> 148). IAPD ↗institutional
$0 RAUM · 317 reps · 646-743-2734 · bankofamerica.com
40
TIKEHAU CAPITAL NORTH AMERICA LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$6.16B RAUM · 38 reps · 212-922-3734 · tikehaustarinfra.com
40
VANGUARD ALTERNATIVE ASSETS ADVISER, LLC — 's Item 11 disclosure-reporting entries rose by 4 (104 -> 108). IAPD ↗institutional
$0 RAUM · 25 reps · 610-669-1000
39
NEWFRONT RETIREMENT SERVICES, INC. — notice-filed in GA, PA. IAPD ↗institutional
$1.04B RAUM · 26 reps · 415-754-3635
38
CANARAS CAPITAL MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
$561.0M RAUM · 8 reps · 212-372-7444
38
D. E. SHAW & CO., L.P. — notice-filed in CA, CO, KS, MA. IAPD ↗fund
$213.36B RAUM · 526 reps · 212-478-0000
37
NEWFOUND RESEARCH LLC — notice-filed in OH. IAPD ↗institutional
$1.11B RAUM · 1 reps · (617) 531-9773 · blog.thinknewfound.com
37
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS — notice-filed in PR. IAPD ↗institutional
$40.25B RAUM · 153 reps · 212-850-4260
37
ROBINSON CAPITAL MANAGEMENT, LLC — notice-filed in AZ. IAPD ↗institutional
$1.54B RAUM · 7 reps · 313-821-7000
34
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. — notice-filed in CA, CO. IAPD ↗fund
$33.37B RAUM · 45 reps · 212-478-0000 · deshaw.com
34
VERDARA PPP LLC — notice-filed in MA, WI. IAPD ↗institutional
$0 RAUM · 1 reps · 813-395-9515
32
LOS ANGELES CAPITAL MANAGEMENT LLC — notice-filed in RI. IAPD ↗fund
$40.58B RAUM · 46 reps · 310-479-9998 · lacapm.com
32
VEGA CAPITAL PARTNERS LLC — notice-filed in SC. IAPD ↗institutional
$100,000 RAUM · 2 reps · (347) 405-2881
30
CHICAGO ATLANTIC ADVISERS, LLC — notice-filed in MI. IAPD ↗fund
$970.3M RAUM · 30 reps · 312-625-9295
25
RATHBONES — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
$135.09B RAUM · 725 reps · +44-151 236 6666 · rathbones.com
25
MASECO PRIVATE WEALTH — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗foreign
$4.96B RAUM · 24 reps · +44 20 7043 0455 · spotify.link
15
BG INVESTMENT SERVICES, LLC — notice-filed in MA. IAPD ↗foreign
$868.5M RAUM · 5 reps · 671-472-5490 · asctrust.com
12
THE ANALYST — notice-filed in CA. IAPD ↗foreign
$0 RAUM · 10 reps · +44 207 498 6593 · theanalyst.co.uk
12
WISE MONEY ISRAEL — notice-filed in MO. IAPD ↗foreign
$94.9M RAUM · 2 reps · +972-79-6984545
12
LIBERTY ATLANTIC ADVISORS — notice-filed in NV. IAPD ↗foreign
$185.8M RAUM · 4 reps · (720) 655-7510

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.