Compliance — September 2026
Compliance platforms, consultants, archiving, and cyber (Hadrius, Greenboard, Smartria, COMPLY).
587 firms opened this window in the September 2026 SEC roster: 249 state expansion, 207 new registration, 45 pending approved, 22 headcount up, 21 custody started, 16 disclosure added, 10 private funds started, 8 aum crossed 1b, 5 reorganization, 2 acquisition, 2 wrap program started.
98
FLORIDA ATLANTIC SECURITIES CORP. — (MIAMI, FL) is newly SEC-registered with $590.0M RAUM and 4 advisory reps. IAPD ↗
98
PEARSON FINANCIAL SERVICES — (DENNIS, MA) is newly SEC-registered with $885.0M RAUM and 3 advisory reps. IAPD ↗
95
VENTURI PRIVATE WEALTH — filed an Item 4A succession naming THE CAPROCK GROUP, LLC (CRD 124272) — one firm absorbed the other. IAPD ↗
95
FIRST GEORGETOWN SECURITIES, INC — (ALEXANDRIA, VA) is newly SEC-registered with $115.7M RAUM and 2 advisory reps. IAPD ↗
95
INDEPENDENCE CAPITAL CO., INC. — (PARMA, OH) is newly SEC-registered with $118.7M RAUM and 25 advisory reps. IAPD ↗
95
SCOFIELD & COMPANY, LLC — (FAIRLAWN, OH) is newly SEC-registered with $113.6M RAUM and 3 advisory reps. IAPD ↗
95
PETERSON INVESTMENT MANAGEMENT INC — (location n/a) is newly SEC-registered with $146.1M RAUM and 2 advisory reps. IAPD ↗
95
HOWLAND AND ASSOCIATES, LLC — (ST PETERSBURG, FL) is newly SEC-registered with $138.7M RAUM and 4 advisory reps. IAPD ↗
95
CAPITOL WEALTH MANAGEMENT, INC. — (MCLEAN, VA) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
95
MILNE FINANCIAL PLANNING, INC. — (SAINT JOHNSBURY, VT) is newly SEC-registered with $111.3M RAUM and 1 advisory reps. IAPD ↗
95
BLUE CHIP FINANCIAL ADVISORS, LLC — (EAST PROVIDENCE, RI) is newly SEC-registered with $104.1M RAUM and 5 advisory reps. IAPD ↗
95
THE MARIN GROUP INC. — (ATLANTA, GA) is newly SEC-registered with $128.1M RAUM and 2 advisory reps. IAPD ↗
95
SALTBOX FINANCIAL LLC — (PORTSMOUTH, NH) is newly SEC-registered with $104.6M RAUM and 3 advisory reps. IAPD ↗
95
HEATON FINANCIAL, PC — (CEDAR CITY, UT) is newly SEC-registered with $140.1M RAUM and 2 advisory reps. IAPD ↗
95
INDEX FINANCIAL ADVISORS LLC — (location n/a) is newly SEC-registered with $125.6M RAUM and 1 advisory reps. IAPD ↗
95
IMBER FINANCIAL GROUP, LLC — (ANN ARBOR, MI) is newly SEC-registered with $106.0M RAUM and 4 advisory reps. IAPD ↗
95
KMF INVESTMENTS MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $146.0M RAUM and 4 advisory reps. IAPD ↗
95
NORTH COMPASS FINANCIAL ADVISORS, LLC — (GRAND RAPIDS, MN) is newly SEC-registered with $146.0M RAUM and 3 advisory reps. IAPD ↗
95
BRIGHTON WEALTH MANAGEMENT, INC. — (COTTONWOOD HEIGHTS, UT) is newly SEC-registered with $131.9M RAUM and 1 advisory reps. IAPD ↗
95
FAIRWAY INVESTMENT GROUP, LLC — (EAST LANSING, MI) is newly SEC-registered with $107.1M RAUM and 26 advisory reps. IAPD ↗
95
INFINITY 8 INVESTMENTS, LLC — (CUPERTINO, CA) is newly SEC-registered with $123.9M RAUM and 1 advisory reps. IAPD ↗
95
O'CONNOR CAPITAL ADVISORY, LLC — (SCOTTSDALE, AZ) is newly SEC-registered with $112.1M RAUM and 1 advisory reps. IAPD ↗
95
AXIA WEALTH MANAGEMENT INC — (BEND, OR) is newly SEC-registered with $148.0M RAUM and 3 advisory reps. IAPD ↗
95
INTEGRA WEALTH ADVISORS, LLC — (HOUSTON, TX) is newly SEC-registered with $117.3M RAUM and 2 advisory reps. IAPD ↗
95
MEDIATE FINANCIAL INVESTMENT ADVISORY SERVICES, LLC — (CANFIELD, OH) is newly SEC-registered with $106.4M RAUM and 3 advisory reps. IAPD ↗
95
HILPAN MOXIE WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $100.4M RAUM and 1 advisory reps. IAPD ↗
95
SAWYER CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered with $124.9M RAUM and 1 advisory reps. IAPD ↗
95
COBALT FINANCIAL PARTNERS LLC — (location n/a) is newly SEC-registered with $108.1M RAUM and 1 advisory reps. IAPD ↗
95
THREE OAKS WEALTH — (GOLD RIVER, CA) is newly SEC-registered with $100.0M RAUM and 2 advisory reps. IAPD ↗
95
ARCWOOD FINANCIAL, LLC — (PHOENIX, AZ) is newly SEC-registered with $186.6M RAUM and 3 advisory reps. IAPD ↗
95
SEAGULL LANE ASSET MANAGEMENT LLC — (HUNTINGTON BEACH, CA) is newly SEC-registered with $207.9M RAUM and 2 advisory reps. IAPD ↗
95
ROBERT CHARLES CAPITAL MANAGEMENT — (GRAND RAPIDS, MI) is newly SEC-registered with $110.3M RAUM and 1 advisory reps. IAPD ↗
95
PATINA WEALTH — (location n/a) is newly SEC-registered with $129.2M RAUM and 2 advisory reps. IAPD ↗
95
EDEN CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
95
AFS WEALTH MANAGEMENT, LLC — (FARMINGTON HILLS, MI) is newly SEC-registered with $118.0M RAUM and 2 advisory reps. IAPD ↗
95
SABRE ASSET MANAGEMENT LLC — (PEPPER PIKE, OH) is newly SEC-registered with $127.3M RAUM and 1 advisory reps. IAPD ↗
95
STRONG INVESTMENT MANAGEMENT, LLC — (CANTON, OH) is newly SEC-registered with $111.9M RAUM and 3 advisory reps. IAPD ↗
95
CAPITAL WEALTH, LLC — (LEHI, UT) is newly SEC-registered with $116.0M RAUM and 2 advisory reps. IAPD ↗
95
ENGAGE WEALTH ADVISORS, LLC — (OVERLAND PARK, KS) is newly SEC-registered with $112.1M RAUM and 3 advisory reps. IAPD ↗
95
SNYDER ASSET MANAGEMENT, LLC — (HUNT VALLEY, MD) is newly SEC-registered with $112.3M RAUM and 1 advisory reps. IAPD ↗
95
WESFAIR ADVISORY GROUP, INC. — (CHAPPAQUA, NY) is newly SEC-registered with $30.3M RAUM and 2 advisory reps. IAPD ↗
95
RCPLANNERS — (location n/a) is newly SEC-registered with $112.1M RAUM and 4 advisory reps. IAPD ↗
95
HAWS FINANCIAL PLANNING LLC — (SIERRA VISTA, AZ) is newly SEC-registered with $105.0M RAUM and 3 advisory reps. IAPD ↗
95
CB CAPITAL LLC — (NORTH SMITHFIELD, RI) is newly SEC-registered with $124.5M RAUM and 1 advisory reps. IAPD ↗
95
ETORO USA ADVISERS INC. — (HOBOKEN, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
ENDURANCE FINANCIAL PLANNING, LLC — (MCALLEN, TX) is newly SEC-registered with $101.8M RAUM and 4 advisory reps. IAPD ↗
95
TWIN RIVERS WEALTH MANAGEMENT — (SACRAMENTO, CA) is newly SEC-registered with $121.5M RAUM and 4 advisory reps. IAPD ↗
95
MESCHEL WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered with $107.5M RAUM and 2 advisory reps. IAPD ↗
95
ENGAGE WEALTH GROUP, LLC — (NORTHFIELD, IL) is newly SEC-registered with $119.5M RAUM and 2 advisory reps. IAPD ↗
95
GIVING TREE WEALTH ADVISORS — (SAN RAMON, CA) is newly SEC-registered with $138.0M RAUM and 2 advisory reps. IAPD ↗
95
UPLEVEL WEALTH — (PORTLAND, OR) is newly SEC-registered with $131.4M RAUM and 2 advisory reps. IAPD ↗
95
EQUINOX FINANCIAL ADVISORS, INC. — (MANCHESTER CENTER, VT) is newly SEC-registered with $110.9M RAUM and 1 advisory reps. IAPD ↗
95
ARCAP PARTNERS LLC — (PLAINVIEW, NY) is newly SEC-registered with $40.5M RAUM and 2 advisory reps. IAPD ↗
95
CAREGEN WEALTH MANAGEMENT — (SAN MATEO, CA) is newly SEC-registered with $109.9M RAUM and 1 advisory reps. IAPD ↗
95
MYTIMEEQUITY — (PLANO, TX) is newly SEC-registered with $184.0M RAUM and 3 advisory reps. IAPD ↗
95
SWAD WEALTH MANAGEMENT LLC — (SANTA ROSA, CA) is newly SEC-registered with $111.1M RAUM and 2 advisory reps. IAPD ↗
95
REDFISH CAPITAL — (CYPRESS, TX) is newly SEC-registered with $119.0M RAUM and 4 advisory reps. IAPD ↗
95
OAKLEIGH WEALTH SERVICES — (CROZET, VA) is newly SEC-registered with $102.5M RAUM and 2 advisory reps. IAPD ↗
95
CANTATA WEALTH MANAGEMENT, LLC — (CORAL GABLES, FL) is newly SEC-registered with $101.1M RAUM and 3 advisory reps. IAPD ↗
95
INVESTLINC WEALTH SERVICES — (BREA, CA) is newly SEC-registered with $115.6M RAUM and 2 advisory reps. IAPD ↗
95
ACACIA GROVE WEALTH MANAGEMENT — (SCHENECTADY, NY) is newly SEC-registered with $41.6M RAUM and 1 advisory reps. IAPD ↗
95
BACK BAY FINANCIAL PLANNING & INVESTMENTS — (BETHANY BEACH, DE) is newly SEC-registered with $120.5M RAUM and 2 advisory reps. IAPD ↗
95
SFUMATO CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $51.3M RAUM and 2 advisory reps. IAPD ↗
95
POWERHOUSE FINANCIAL ADVISORS, INC. — (MINDEN, NV) is newly SEC-registered with $108.2M RAUM and 1 advisory reps. IAPD ↗
95
INTERCHANGE ADVISERS LLC — (VANCOUVER, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
REGIMENT CAPITAL ADVISORS, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ALTURA PRIVATE WEALTH LLC — (CENTERVILLE, UT) is newly SEC-registered with $129.1M RAUM and 4 advisory reps. IAPD ↗
95
GALLATIN RIVER CAPITAL LLC — (LITTLETON, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
95
BUCKS CAPITAL ADVISERS — (NEWTOWN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MIFEL CAPITAL PARTNERS LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
REGFI USA, LLC — (MIAMI, FL) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
SUISSA PRIVATE WEALTH — (BETHESDA, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
AURA INVESTMENTS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CARAZO WEALTH MANAGEMENT — (METAIRIE, LA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
NEURALVEST LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
SWISS FINANCE PRIVATE WEALTH MANAGEMENT LLC — (SOUTHBURY, CT) is newly SEC-registered with $101.2M RAUM and 1 advisory reps. IAPD ↗
95
OWNIT TECHNOLOGIES LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ALPINE ADVISORY PARTNERS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PALUS ADVISORY LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
HOAINVEST LLC — (IRVINE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 11 advisory reps. IAPD ↗
95
DITTO & POWERS, LLC — (COCKEYSVILLE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
INTENTIONAL WEALTH PLANNING — (BRENTWOOD, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
GSP FINANCIAL — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
STRUCTURE WEALTH MANAGEMENT, LLC — (TAMPA, FL) is newly SEC-registered with $165.7M RAUM and 2 advisory reps. IAPD ↗
95
COVA PRIVATE WEALTH LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
95
COINAGE APP — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
RBG CAPITAL LLC — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
1977 WEALTH, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ALDER CAPITAL — (SAN DIEGO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
WRIGHT FINANCIAL — (ROCKLAND, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TWIN BRIDGES ADVISORY — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WESTMONT ADVISORY, LLC — (FLOWER MOUND, TX) is newly SEC-registered with $100.0M RAUM and 2 advisory reps. IAPD ↗
95
MOMENTUM WEALTH MANAGEMENT — (OREM, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
SUM ZERO WEALTH — (ST. PETERSBURG, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
SOLID STATE WEALTH ADVISORY GROUP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TRIVERA WEALTH MANAGEMENT, LLC — (TUCSON, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CXL CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
FOSTER FINANCIAL SERVICES, LLC — (FORT WAYNE, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
GENERATIONAL FINANCIAL PARTNERS, LLC — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
ALISIO CAPITAL PARTNERS LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
IRON HORSE ASSET MANAGEMENT LLC — (NEENAH, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SCSC ADVISORS, LLC — (RANCHO SANTA FE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
CROSSLIGHT GLOBAL INVESTMENT PARTNERS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
AMPLE WEALTH PARTNERS LLC — (ORLANDO, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TWENTY FOUR WEALTH — (DARIEN, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
WEALTHRISE — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ETHOS INVESTMENT ADVISORY GROUP LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ASCENTIO CAPITAL, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WATCH HILL FINANCIAL INC — (RICHMOND, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
RIDGE ROAD WEALTH MANAGEMENT, LLC — (NEW ORLEANS, LA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
SAVLAN WEALTH PARTNERS — (NEW CITY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
AUTHENTIC WEALTH PARTNERS LLC — (CULPEPER, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ALDEBARAN CAPITAL — (BROOKLYN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
90
IQVESTMENT, LLC — filed an Item 4A succession naming MARSTONE LLC (CRD 164810) — one firm absorbed the other. IAPD ↗
85
OLIVER LUXXE ASSETS LLC — crossed $1B in regulatory AUM ($981.9M -> $1.00B). IAPD ↗
85
XYPN SAPPHIRE — crossed $1B in regulatory AUM ($881.5M -> $1.25B). IAPD ↗
85
FAITHWARD CAPITAL — crossed $1B in regulatory AUM ($922.7M -> $1.18B). IAPD ↗
85
BOS ASSET MANAGEMENT, LLC — crossed $1B in regulatory AUM ($933.2M -> $1.03B). IAPD ↗
85
FOGUTH WEALTH MANAGEMENT, LLC. — crossed $1B in regulatory AUM ($825.1M -> $1.07B). IAPD ↗
85
ELYXIUM WEALTH LLC — crossed $1B in regulatory AUM ($819.0M -> $1.39B). IAPD ↗
77
RUBINBROWN ADVISORS LLC — grew from 21 to 28 advisory reps. IAPD ↗
75
EVERTERN WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
75
CAMBIAR INVESTORS, LLC — now reports 1 private fund(s) ($318.0M gross). IAPD ↗
75
WALDRON PRIVATE WEALTH — now reports 1 private fund(s) ($0 gross). IAPD ↗
74
BLEICHROEDER LP — grew from 6 to 10 advisory reps. IAPD ↗
73
IKALON ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
73
15 WEALTH ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
73
PRAIRIE ADVISORY, LLC — 's provisional registration is now fully approved. IAPD ↗
73
LAS OLAS CAPITAL WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
73
SHAH WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
FACTORPOINT PLANNING, LLC — 's provisional registration is now fully approved. IAPD ↗
73
TBG-BEDFORD GROUP LLC — 's provisional registration is now fully approved. IAPD ↗
73
N10° WEALTH — 's provisional registration is now fully approved. IAPD ↗
73
VENEROSO WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
73
N10° ASSETS — 's provisional registration is now fully approved. IAPD ↗
73
MARDIN CAPITAL GROUP — 's provisional registration is now fully approved. IAPD ↗
73
VALEN PRIVATE CAPITAL, LLC. — 's provisional registration is now fully approved. IAPD ↗
73
LIBERTY FORGE LLC — 's provisional registration is now fully approved. IAPD ↗
73
FOUNDER FAMILY FINANCIAL, LLC — now reports 3 private fund(s) ($1.6M gross). IAPD ↗
72
ARQ WEALTH ADVISORS, LLC — grew from 9 to 11 advisory reps. IAPD ↗
71
TAMALPAIS ASSET MANAGEMENT — grew from 4 to 7 advisory reps. IAPD ↗
71
EMPOWER WEALTH MANAGEMENT — grew from 5 to 8 advisory reps. IAPD ↗
71
DESIGNED WEALTH USA LTD. — grew from 1 to 7 advisory reps. IAPD ↗
71
SILVER BIRCH FINANCIAL LLC — grew from 1 to 4 advisory reps. IAPD ↗
70
CAMBIAR INVESTORS, LLC — now reports custody of client assets ($636.1M). IAPD ↗
70
ARQ WEALTH ADVISORS, LLC — now reports custody of client assets ($739.0M). IAPD ↗
70
BAKER TILLY WEALTH MANAGEMENT, LLC — now reports custody of client assets ($117.7M). IAPD ↗
70
NEWEDGE ADVISORS — now reports custody of client assets ($14.80B). IAPD ↗
70
MACDOUGALL FINANCIAL COUNSELING — grew from 2 to 4 advisory reps. IAPD ↗
70
PATHFINDER PLANNING AND INVESTMENTS — 's provisional registration is now fully approved. IAPD ↗
70
SAVILE PRIVATE WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
70
WLT PARTNERS — 's provisional registration is now fully approved. IAPD ↗
70
CULTIVATE WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
70
JQL WEALTH — 's provisional registration is now fully approved. IAPD ↗
70
CMG WEALTH ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
70
CUSTOM WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
TAO PRIVATE WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
70
AWAKEN WEALTH PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
70
WHITE HAWK WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
VERITAS WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
SAHARA INVESTMENT GROUP — 's provisional registration is now fully approved. IAPD ↗
70
CHILDRESS & CO LLC — 's provisional registration is now fully approved. IAPD ↗
70
CAMBIER CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗
70
FACTORY CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
PRAIRIE VIEW WEALTH PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
70
NOW ASSET MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
70
QUEST WEALTH SOLUTIONS, INC. — 's provisional registration is now fully approved. IAPD ↗
70
NEARSIDE ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
NEXT UP WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
AHARA ADVISORS — now reports 1 private fund(s) ($2.9M gross). IAPD ↗
70
MUSEUM MILE FUNDS LLC — now reports 1 private fund(s) ($0 gross). IAPD ↗
70
CHILDRESS & CO LLC — now reports 2 private fund(s) ($58.9M gross). IAPD ↗
68
NEW ENGLAND RESEARCH & MANAGEMENT, INC. — now reports custody of client assets ($210.7M). IAPD ↗
68
CL WEALTH MANAGEMENT LLC — now reports custody of client assets ($369.6M). IAPD ↗
68
THREE BEARINGS FIDUCIARY ADVISORS, INC. — now reports custody of client assets ($321.0M). IAPD ↗
68
O'BRIEN INVESTMENT MANAGEMENT, LLC — now reports custody of client assets ($132.0M). IAPD ↗
68
SANDS CAPITAL HORIZONS, LLC — now reports custody of client assets ($346.7M). IAPD ↗
68
N10° WEALTH — now reports custody of client assets ($1.3M). IAPD ↗
68
WHITEROCK WEALTH DESIGN, LLC — now reports custody of client assets ($150.6M). IAPD ↗
68
VALEN PRIVATE CAPITAL, LLC. — now reports custody of client assets ($121.7M). IAPD ↗
67
PACIFIC EXCEL WEALTH ADVISORS, INC. — grew from 1 to 3 advisory reps. IAPD ↗
67
LUEDTKE & ASSOCIATES LLC — grew from 1 to 3 advisory reps. IAPD ↗
67
MANHATTAN WEALTH MANAGEMENT GROUP — grew from 1 to 3 advisory reps. IAPD ↗
67
CMG WEALTH ADVISORS LLC — grew from 1 to 3 advisory reps. IAPD ↗
65
INTERACTIVE FINANCIAL ADVISORS — now reports custody of client assets ($234.8M). IAPD ↗
65
COHESION WEALTH MANAGEMENT, LLC — now reports custody of client assets ($20.1M). IAPD ↗
65
INTELLICAPITAL ADVISORS LLC — now reports custody of client assets ($9.2M). IAPD ↗
65
SCHAMBERGER, GREYLAK & UTTERBACK WEALTH MANAGEMENT, LLC — now reports custody of client assets ($71.6M). IAPD ↗
65
VIRTUS FINANCIAL PARTNERS — now reports custody of client assets ($35.2M). IAPD ↗
65
LUEDTKE & ASSOCIATES LLC — now reports custody of client assets ($63.6M). IAPD ↗
65
NEARSIDE ADVISORS, LLC — now reports custody of client assets ($10.3M). IAPD ↗
60
GUDORF FINANCIAL GROUP, LLC — began participating in a wrap-fee program. IAPD ↗
60
CMG WEALTH ADVISORS LLC — began participating in a wrap-fee program. IAPD ↗
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 2 (210 -> 212). IAPD ↗
55
UBS FINANCIAL SERVICES INC. — 's Item 11 disclosure-reporting entries rose by 3 (1081 -> 1084). IAPD ↗
55
OSAIC WEALTH, INC. — 's Item 11 disclosure-reporting entries rose by 10 (116 -> 126). IAPD ↗
55
RBC CAPITAL MARKETS, LLC — 's Item 11 disclosure-reporting entries rose by 4 (159 -> 163). IAPD ↗
55
VANGUARD ADVISERS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (114 -> 116). IAPD ↗
55
HARVEY INVESTMENT COMPANY, LLC — 's Item 11 disclosure-reporting entries rose by 1 (8 -> 9). IAPD ↗
55
INTEGRATED ADVISORS NETWORK LLC — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗
55
SIMPLIFY ASSET MANAGEMENT INC. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
55
TANARA WEALTH MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
APRIO WEALTH MANAGEMENT, LLC — notice-filed in AR, DC, MO, NE, NH, NM, OK, OR. IAPD ↗
55
GRYPHON WEALTH — notice-filed in CA, GA, MA, NC, NJ, NY, TX, VA. IAPD ↗
55
TANARA WEALTH MANAGEMENT LLC — notice-filed in CA, ID, NV, OR, TX, WA. IAPD ↗
53
MCF ADVISORS, LLC — notice-filed in LA, MN, NE, NH. IAPD ↗
53
PRIVATE ADVISORY — notice-filed in GA, NV, TN, WY. IAPD ↗
53
GOVERNMENT PORTFOLIO ADVISORS LLC — notice-filed in CO, OH, SD, WI. IAPD ↗
53
GR FINANCIAL GROUP, LLC — notice-filed in FL, MI, SC, VA. IAPD ↗
53
IMZ ADVISORY INC. — notice-filed in CA, GA, NE, NJ, NY, PA, SC, WA, WI. IAPD ↗
53
DRUCKER WEALTH — notice-filed in CT, FL, GA, MA, MN, NC, PA, VA. IAPD ↗
53
GFG SOLUTIONS — notice-filed in IN, KY, LA, MO, NE, NH, VA. IAPD ↗
53
BODEN WEALTH — notice-filed in FL, IN, MD, NJ, SC, VA. IAPD ↗
51
DRIEHAUS CAPITAL MANAGEMENT LLC — notice-filed in ID, TN, WY. IAPD ↗
51
STEELE CAPITAL MANAGEMENT, INC. — notice-filed in LA, NH, RI. IAPD ↗
51
UNITED ADVISORS AMERICA — notice-filed in CT, MA, ME, NH. IAPD ↗
51
ARQ WEALTH ADVISORS, LLC — notice-filed in NC, OR, TN. IAPD ↗
51
XYPN SAPPHIRE — notice-filed in NH, NJ, TN. IAPD ↗
51
WINTHROP WEALTH — notice-filed in DC, LA, MD. IAPD ↗
51
ROOT FINANCIAL PARTNERS — notice-filed in MS, RI, WV. IAPD ↗
51
WEALTHPLAN INVESTMENT MANAGEMENT LLC — notice-filed in GA, OH, OK. IAPD ↗
50
MUTUAL OF OMAHA INVESTOR SERVICES, INC. — 's Item 11 disclosure-reporting entries rose by 2 (25 -> 27). IAPD ↗
50
UNION CAPITAL COMPANY — 's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
50
WALLICK INVESTMENTS, LLC — notice-filed in IN, NY, PA, WA, WI. IAPD ↗
50
FOUNDRY FINANCIAL LLC — notice-filed in CO, MI, NE, NJ, NY, PA. IAPD ↗
49
DONALDSON CAPITAL MANAGEMENT LLC — notice-filed in MS, NV. IAPD ↗
49
HERITAGE INVESTORS MANAGEMENT CORP — notice-filed in AZ, VT. IAPD ↗
49
FORVIS MAZARS WEALTH ADVISORS, LLC — notice-filed in DE, NM. IAPD ↗
49
RUBINBROWN ADVISORS LLC — notice-filed in CT, MD. IAPD ↗
49
SAX WEALTH ADVISORS, LLC — notice-filed in MN, NM. IAPD ↗
49
WILLIS JOHNSON WEALTH — notice-filed in AL, CO. IAPD ↗
49
JDL ADVISERS — notice-filed in IL, MN. IAPD ↗
49
FAI CAPITAL MANAGEMENT — notice-filed in CA, LA, TN. IAPD ↗
49
CAPITA FINANCIAL NETWORK, LLC — notice-filed in IN, WI. IAPD ↗
49
RESURGENT ADVISORS — notice-filed in AL, LA, SC. IAPD ↗
49
CYNDEO WEALTH PARTNERS — notice-filed in PA, WI. IAPD ↗
49
ARG PRIVATE WEALTH, LLC — notice-filed in AL, KY, OK. IAPD ↗
49
MARATHON FINANCIAL GROUP — notice-filed in CA, GA, ME. IAPD ↗
49
N10° WEALTH — notice-filed in CA, FL, NJ. IAPD ↗
49
N10° ASSETS — notice-filed in CA, FL, NJ. IAPD ↗
47
ALLEGHENY FINANCIAL GROUP — notice-filed in CO. IAPD ↗
47
MANCHESTER FINANCIAL INC — notice-filed in NC. IAPD ↗
47
WILMINGTON TRUST INVESTMENT ADVISORS, INC. — notice-filed in NJ. IAPD ↗
47
INVESTMENT CONSULTING GROUP INC — notice-filed in NY. IAPD ↗
47
CHECK CAPITAL MANAGEMENT INC — notice-filed in CO. IAPD ↗
47
WILLIAM MACK & ASSOCIATES INC — notice-filed in MA. IAPD ↗
47
ENTRUST GLOBAL PARTNERS LLC — notice-filed in PR. IAPD ↗
47
FBB CAPITAL PARTNERS — notice-filed in CO. IAPD ↗
47
SUMMIT FINANCIAL STRATEGIES INC — notice-filed in CO. IAPD ↗
47
NEW ENGLAND RESEARCH & MANAGEMENT, INC. — notice-filed in CA, NY. IAPD ↗
47
THE WELCH GROUP, LLC — notice-filed in CO. IAPD ↗
47
BOULAY WEALTH — notice-filed in NC. IAPD ↗
47
RATHER & KITTRELL, INC. — notice-filed in CO. IAPD ↗
47
VAN HULZEN FINANCIAL ADVISORS — notice-filed in SC. IAPD ↗
47
NADLER FINANCIAL GROUP, INC. — notice-filed in CO. IAPD ↗
47
THE CAPROCK GROUP, LLC — notice-filed in OK. IAPD ↗
47
GENERATION CAPITAL MANAGEMENT LLC — notice-filed in MA. IAPD ↗
47
THOMPSON INVESTMENT MANAGEMENT, INC. — notice-filed in CA. IAPD ↗
47
INVESTOLOGY INC. — notice-filed in NC, PA. IAPD ↗
47
BAKERAVENUE — notice-filed in MN. IAPD ↗
47
PROSPERITY - AN EISNERAMPER COMPANY — notice-filed in MO. IAPD ↗
47
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC — notice-filed in VA. IAPD ↗
47
JFS WEALTH ADVISORS, LLC — notice-filed in CO. IAPD ↗
47
LJI WEALTH MANAGEMENT, LLC — notice-filed in AL. IAPD ↗
47
GLASSMAN WEALTH SERVICES, LLC — notice-filed in SC. IAPD ↗
47
CAPITAL ADVISORS, LTD., LLC — notice-filed in CO. IAPD ↗
47
TWO WEST CAPITAL ADVISORS LLC — notice-filed in CO. IAPD ↗
47
CHEVIOT VALUE MANAGEMENT, LLC — notice-filed in KY. IAPD ↗
47
THRIVE WEALTH MANAGEMENT, LLC — notice-filed in NE. IAPD ↗
47
TWELVE POINTS WEALTH MANAGEMENT — notice-filed in CO. IAPD ↗
47
B.O.S.S. RETIREMENT ADVISORS, LLC — notice-filed in CO. IAPD ↗
47
JOURNEY ADVISORY GROUP, LLC — notice-filed in TN. IAPD ↗
47
WATERFRONT WEALTH INC. — notice-filed in CO. IAPD ↗
47
RIVER WEALTH ADVISORS LLC — notice-filed in CO. IAPD ↗
47
NAVIGATE WEALTH MANAGEMENT, LLC — notice-filed in FL, GA. IAPD ↗
47
ALPHACORE CAPITAL LLC — notice-filed in WV. IAPD ↗
47
ARCA WEALTH, LLC — notice-filed in GA. IAPD ↗
47
HURLOW WEALTH MANAGEMENT GROUP, INC. — notice-filed in CO, WI. IAPD ↗
47
STERLING INVESTMENT COUNSEL, LLC — notice-filed in CO. IAPD ↗
47
ABOUND WEALTH MANAGEMENT, LLC — notice-filed in MS. IAPD ↗
47
PERENNIAL FINANCIAL SERVICES — notice-filed in MA. IAPD ↗
47
ETON ADVISORS — notice-filed in DC. IAPD ↗
47
PRINCIPLE WEALTH — notice-filed in IL. IAPD ↗
47
CHICAGO CAPITAL, LLC — notice-filed in MT. IAPD ↗
47
SIGNAL ADVISORS WEALTH, LLC — notice-filed in MO. IAPD ↗
47
SIMPLIFY ASSET MANAGEMENT INC. — notice-filed in MA. IAPD ↗
47
BOS ASSET MANAGEMENT, LLC — notice-filed in TN. IAPD ↗
47
MOMENT PRIVATE WEALTH — notice-filed in AZ, NC. IAPD ↗
47
HILL ISLAND FINANCIAL LLC — notice-filed in AZ, IN. IAPD ↗
47
UNIVERSAL FINANCIAL ADVISORS, LLC — notice-filed in CA, NC. IAPD ↗
47
VESTGEN ADVISORS, LLC — notice-filed in HI. IAPD ↗
47
ELYXIUM WEALTH LLC — notice-filed in WA. IAPD ↗
47
PANDI, LLC — notice-filed in IL. IAPD ↗
47
CALIBER WEALTH MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
47
ALCYON WEALTH PARTNERS — notice-filed in CO, LA. IAPD ↗
47
ACTIV8 FAMILY OFFICE LLC — notice-filed in PA. IAPD ↗
46
SAVILE PRIVATE WEALTH LLC — notice-filed in FL, PR, TX. IAPD ↗
45
GREYCOURT & CO., INC. — filed an Item 4A succession naming GREYCOURT & CO., INC. (CRD 111936) — an entity change, not a deal. IAPD ↗
45
FINACCESS ADVISORS LLC — filed an Item 4A succession naming FINACCESS GLOBAL WEALTH & ASSET MANAGEMENT, LLC (CRD 150697) — an entity change, not a deal. IAPD ↗
45
FALCON WEALTH PLANNING, INC. — filed an Item 4A succession naming FALCON WEALTH PLANNING, INC. (CRD 174092) — an entity change, not a deal. IAPD ↗
45
W&S BROKERAGE SERVICES, INC. — notice-filed in HI. IAPD ↗
45
FIDUCIARY ADVISORS, LLC — notice-filed in OH. IAPD ↗
45
MACDOUGALL FINANCIAL COUNSELING — notice-filed in MA. IAPD ↗
45
RBF WEALTH ADVISORS — notice-filed in CO. IAPD ↗
45
THE ARKANSAS FINANCIAL GROUP, INC. — notice-filed in CO. IAPD ↗
45
NICHOLSON MEYER CAPITAL MANAGEMENT, INC. — notice-filed in CO. IAPD ↗
45
M. KRAUS & COMPANY — notice-filed in CA. IAPD ↗
45
AMERICA FIRST INVESTMENT ADVISORS LLC — notice-filed in NH. IAPD ↗
45
BNB WEALTH MANGAGEMENT, LLC — notice-filed in TN. IAPD ↗
45
AMERICAN RETIREMENT PLANNING GROUP INC — notice-filed in IA. IAPD ↗
45
TRINITY WEALTH ADVISORS LLC — notice-filed in CO. IAPD ↗
45
WISCONSIN CAPITAL MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
45
S&A FINANCIAL SERVICES, INC. — notice-filed in CO. IAPD ↗
45
HEFFERNAN ADVISORY, INC. — notice-filed in NY. IAPD ↗
45
DIVERSIFIED FINANCIAL ADVISORS, LLC — notice-filed in KS. IAPD ↗
45
CHESAPEAKE FINANCIAL ADVISORS — notice-filed in NY. IAPD ↗
45
SAXONY CAPITAL MANAGEMENT, LLC — notice-filed in IA. IAPD ↗
45
MADER & SHANNON WEALTH MANAGEMENT — notice-filed in CA. IAPD ↗
45
RFM FINANCIAL SOLUTIONS, LLC — notice-filed in TX. IAPD ↗
45
HENNION & WALSH ASSET MANAGEMENT, INC. — notice-filed in MO. IAPD ↗
45
HOPWOOD FINANCIAL SERVICES, INC. — notice-filed in CO. IAPD ↗
45
CORNERSTONE FINANCIAL PLANNING, LLC — notice-filed in NY. IAPD ↗
45
RIVERSTONE ADVISORS, LLC — notice-filed in PA. IAPD ↗
45
ODER INVESTMENT MANAGEMENT, LLC — notice-filed in NH. IAPD ↗
45
HOLLAND ADVISORY SERVICES, INC. — notice-filed in SC. IAPD ↗
45
TORREY GROWTH & INCOME ADVISORS, LLC — notice-filed in WA. IAPD ↗
45
JACOBSON & SCHMITT ADVISORS, LLC — notice-filed in OR. IAPD ↗
45
MILLER FINANCIAL SERVICES LLC — notice-filed in NE. IAPD ↗
45
PARKER FINANCIAL LLC — notice-filed in FL. IAPD ↗
45
SLAGLE FINANCIAL, LLC. — notice-filed in CO. IAPD ↗
45
CAISSA WEALTH STRATEGIES — notice-filed in IL. IAPD ↗
45
GUIDESTREAM FINANCIAL, INC. — notice-filed in CO. IAPD ↗
45
RCM WEALTH ADVISORS — notice-filed in NC. IAPD ↗
45
PATHWAYS WEALTH MANAGEMENT, INC. — notice-filed in TN. IAPD ↗
45
THE GENWEALTH GROUP, INC. — notice-filed in TX. IAPD ↗
45
ALPHA SOLUTIONS INVESTMENT ADVISORS — notice-filed in NV. IAPD ↗
45
UNITED CAPITAL MANAGEMENT OF KANSAS, INC. — notice-filed in NC. IAPD ↗
45
FORMIDABLE ASSET MANAGEMENT, LLC — notice-filed in NJ. IAPD ↗
45
FISCAL WISDOM WEALTH MANAGEMENT LLC — notice-filed in SC. IAPD ↗
45
NAVIGOE, LLC — notice-filed in NV. IAPD ↗
45
BROWN EDWARDS WEALTH STRATEGIES — notice-filed in NC. IAPD ↗
45
ADK WEALTH ADVISORY GROUP — notice-filed in CO. IAPD ↗
45
MIDWEST FINANCIAL GROUP LLC — notice-filed in CO. IAPD ↗
45
BETTERWEALTH LLC — notice-filed in WA. IAPD ↗
45
HACKMAN FINANCIAL GROUP — notice-filed in TX. IAPD ↗
45
BRICKLEY WEALTH MANAGEMENT — notice-filed in TX. IAPD ↗
45
FIRST OAK WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
45
IMPACT INVESTORS — notice-filed in NM. IAPD ↗
45
DAVIDSON KAHN CAPITAL MANAGEMENT, LLC — notice-filed in DC. IAPD ↗
45
TANDEM FINANCIAL, LLC — notice-filed in VA. IAPD ↗
45
WEALTHCARE INVESTMENT PARTNERS LLC — notice-filed in PA. IAPD ↗
45
GK WEALTH MANAGEMENT LLC — notice-filed in NE. IAPD ↗
45
COUNCIL OAK WEALTH ADVISORS — notice-filed in GA. IAPD ↗
45
LANTZ FINANCIAL LLC — notice-filed in CO. IAPD ↗
45
WEALTHBRIDGE CAPITAL MANAGEMENT, LLC — notice-filed in NH. IAPD ↗
45
CASTLE COAST WEALTH, LLC — notice-filed in ID. IAPD ↗
45
LOGAN PARK WEALTH MANAGEMENT — notice-filed in NY. IAPD ↗
45
EMERALD ADVISORS, LLC — notice-filed in VA. IAPD ↗
45
BLACK KNIGHT WEALTH MANAGEMENT, LLC — notice-filed in MA. IAPD ↗
45
CANVAS WEALTH ADVISORS, LLC — notice-filed in CO. IAPD ↗
45
626 FINANCIAL, LLC — notice-filed in NC. IAPD ↗
45
NORTHCAPE WEALTH MANAGEMENT — notice-filed in LA. IAPD ↗
45
ALLIANCE WEALTH ADVISORS, LLC — notice-filed in FL. IAPD ↗
45
FORTRESS FINANCIAL GROUP, LLC — notice-filed in ND. IAPD ↗
45
EQUITY WEALTH PARTNERS, LLC — notice-filed in CO. IAPD ↗
45
SPARTA WEALTH PARTNERS — notice-filed in MA. IAPD ↗
45
CONQUIS FINANCIAL LLC — notice-filed in NH. IAPD ↗
45
KOOMAN & ASSOCIATES — notice-filed in LA. IAPD ↗
45
OUTWING PRIVATE WEALTH MANAGEMENT — notice-filed in FL. IAPD ↗
45
CRAFT & SAGE WEALTH — notice-filed in CO. IAPD ↗
45
MARIDEA WEALTH MANAGEMENT — notice-filed in PA. IAPD ↗
45
KICKSTAND WEALTH ADVISORS — notice-filed in PA. IAPD ↗
45
CURIO WEALTH, LLC — notice-filed in CO. IAPD ↗
45
FRIDAY FINANCIAL — notice-filed in FL. IAPD ↗
45
INTEGRITY WEALTH LLC — notice-filed in AZ. IAPD ↗
45
LEGACY CAPITAL — notice-filed in AR. IAPD ↗
45
UNITING WEALTH PARTNERS — notice-filed in PA. IAPD ↗
45
THREE ARCH WEALTH MANAGEMENT LLC — notice-filed in ID. IAPD ↗
45
BROADVIEW WEALTH PARTNERS — notice-filed in NH. IAPD ↗
45
LAS OLAS CAPITAL WEALTH LLC — notice-filed in MA. IAPD ↗
45
WHITEROCK WEALTH DESIGN, LLC — notice-filed in NE. IAPD ↗
44
FAMA FIDUCIARY WEALTH LLC — notice-filed in FL, MO. IAPD ↗
44
KCD FINANCIAL, INC. — notice-filed in AR, UT. IAPD ↗
44
PALADIN PARTNERS — notice-filed in NH, TX. IAPD ↗
44
SEEDSAFE FINANCIAL LLC — notice-filed in FL, NH. IAPD ↗
44
ADVANCED WEALTH MANAGEMENT — notice-filed in NH, TX. IAPD ↗
44
YOUR IA, LLC — notice-filed in OH, PA. IAPD ↗
44
CMG WEALTH ADVISORS LLC — notice-filed in IL, TX. IAPD ↗
44
BISON WEALTH MANAGEMENT, LLC — notice-filed in FL, SC. IAPD ↗
44
VERITAS WEALTH MANAGEMENT — notice-filed in IL, SC. IAPD ↗
43
SMART MONEY GROUP, LLC — filed an Item 4A succession naming SMART MONEY GROUP, LLC (CRD 284187) — an entity change, not a deal. IAPD ↗
42
R. F. LAFFERTY & CO., INC. — notice-filed in ME. IAPD ↗
42
POTOMAC INVESTMENT COMPANY — notice-filed in NY. IAPD ↗
42
LYON CAPITAL MANAGEMENT, LLC — notice-filed in LA. IAPD ↗
42
WILLIAM B. WALKUP & ASSOCIATES, INC. — notice-filed in IL. IAPD ↗
42
MCM WEALTH — notice-filed in PA. IAPD ↗
42
ORTELIUS CAPITAL PARTNERS — notice-filed in MA. IAPD ↗
42
SKLOFF FINANCIAL GROUP — notice-filed in AZ. IAPD ↗
42
FOREST ASSET MANAGEMENT LLC — notice-filed in TX. IAPD ↗
42
BAY CAPITAL ADVISORS, LLC — notice-filed in NC. IAPD ↗
42
SECURE INVESTMENT MANAGEMENT, LLC — notice-filed in LA. IAPD ↗
42
AMERICAN WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
42
ADVANTAGE INVESTMENT MANAGEMENT — notice-filed in NY. IAPD ↗
42
CORNERSTONE WEALTH PARTNERS, LLC — notice-filed in WI. IAPD ↗
42
INNOVATIVE ADVISORY GROUP — notice-filed in MT. IAPD ↗
42
INTEGRITY WEALTH MANAGEMENT, INC. — notice-filed in CA. IAPD ↗
42
CHELSEA ADVISORY SERVICES, INC — notice-filed in GA. IAPD ↗
42
BELLINGHAM CAPITAL — notice-filed in ID. IAPD ↗
42
THE ARCHER CONSULTING GROUP, LLC — notice-filed in ID. IAPD ↗
42
LEXINGTON AVENUE CAPITAL MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
42
HAHN FINANCIAL GROUP — notice-filed in WY. IAPD ↗
42
DYNAMIC WEALTH ADVISORS — notice-filed in CO. IAPD ↗
42
PARADY WEALTH MANAGEMENT — notice-filed in OH. IAPD ↗
42
BALANCED WEALTH MANAGEMENT, LLC. — notice-filed in NH. IAPD ↗
42
KERR WEALTH MANAGEMENT — notice-filed in OH. IAPD ↗
42
GUIDE ADVISORS, INC. — notice-filed in MO. IAPD ↗
42
GREENLEAF FINANCIAL NETWORK, LLC — notice-filed in CO. IAPD ↗
42
Q3 ADVISORS, LLC — notice-filed in MO. IAPD ↗
42
PIERSON WEALTH MANAGEMENT — notice-filed in TN. IAPD ↗
42
FAMILY LEGACY PLANNING — notice-filed in MO. IAPD ↗
42
BOLDIN ADVISORS — notice-filed in AK. IAPD ↗
42
SAN BLAS ADVISORY, INC. — notice-filed in LA. IAPD ↗
42
FOUNDRY WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
42
MANZIL INVESTMENT ADVISORS, LLC — notice-filed in MI. IAPD ↗
42
SOCIAL INVESTMENT MANAGERS AND ADVISORS, LLC — notice-filed in NJ. IAPD ↗
42
JACKSON WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
42
PARAGON INVESTING, LLC — notice-filed in NV. IAPD ↗
42
FAIRFAX GLOBAL INVESTMENT MANAGEMENT LLC — notice-filed in LA. IAPD ↗
42
SOLYCO WEALTH LLC — notice-filed in KS. IAPD ↗
42
BUCHANAN WEALTH MANAGEMENT — notice-filed in PA. IAPD ↗
42
MOORE WEALTH — notice-filed in UT. IAPD ↗
42
KUCHARO WEALTH — notice-filed in PA. IAPD ↗
42
ZERO DAY CAPITAL ENTERPRISES LLC — notice-filed in CO. IAPD ↗
42
SANDRO WEALTH MANAGEMENT LLC — notice-filed in CO. IAPD ↗
42
IGW ADVISORY INVESTMENT MANAGEMENT LLC — notice-filed in CA. IAPD ↗
42
DESIGNED WEALTH USA LTD. — notice-filed in CA. IAPD ↗
42
COUNTRYSIDE FINANCIAL LLC — notice-filed in FL. IAPD ↗
42
3ROOTS WEALTH PARTNERS LLC — notice-filed in MI. IAPD ↗
42
PRISM PLANNING AND SOLUTIONS GROUP — notice-filed in IL. IAPD ↗
42
FARRCREST CAPITAL LLC — notice-filed in VA. IAPD ↗
42
BAY POINTE FINANCIAL — notice-filed in MO. IAPD ↗
42
AWAKEN WEALTH PARTNERS LLC — notice-filed in FL. IAPD ↗
42
3D ADVISOR GROUP, INC. — notice-filed in NH. IAPD ↗
42
ROTHSCHILD FINANCIAL PARTNERS, LLC — notice-filed in CO. IAPD ↗
88
NUMERIXS INVESTMENT TECHNOLOGIES INC — (CHANDLER, AZ) is newly SEC-registered with $400.0M RAUM and 3 advisory reps. IAPD ↗institutional
88
ACCESS FIDUCIARY SERVICES, LLC — (location n/a) is newly SEC-registered with $466.2M RAUM and 1 advisory reps. IAPD ↗institutional
85
ALPHAENGINE GLOBAL INVESTMENT SOLUTION LLC — (PLANO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
PSG CREDIT GP, LLC — (COLUMBIA, MD) is newly SEC-registered with $190.9M RAUM and 18 advisory reps. IAPD ↗institutional
85
WNDRCO CAPITAL MANAGEMENT LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $1.05B RAUM and 14 advisory reps. IAPD ↗fund
85
INVISION MANAGEMENT, INC. — (CHICAGO, IL) is newly SEC-registered with $1.34B RAUM and 26 advisory reps. IAPD ↗fund
85
ACCESS VENTURES — (NEW YORK, NY) is newly SEC-registered with $1.88B RAUM and 3 advisory reps. IAPD ↗fund
85
EXCORDE CAPITAL LLC — (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 19 advisory reps. IAPD ↗institutional
85
CORRUM CAPITAL MANAGEMENT LLC — (CHARLOTTE, NC) is newly SEC-registered with $1.39B RAUM and 10 advisory reps. IAPD ↗fund
85
ULTRA CAPITAL MANAGEMENT LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
CONSTITUTION CAPITAL HORIZON ADVISOR, LP — (ANDOVER, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 25 advisory reps. IAPD ↗institutional
85
WEST RIM II UGP, LLC — (LEHI, UT) is newly SEC-registered with $1.77B RAUM and 20 advisory reps. IAPD ↗fund
85
JUSTICE SETTLEMENT CONSULTING INC. — (CASPER, WY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
MML CAPITAL PARTNERS NY, LLC — (NEW YORK CITY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
CHARLTON MANAGEMENT, LLC — (CLAWSON, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
LONGNOOK ETF LLC — (location n/a) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
CHAMPION CAPITAL LLC — (GREENWOOD, CO) is newly SEC-registered (provisional 120-day approval) with $100,000 RAUM and 2 advisory reps. IAPD ↗institutional
85
CLEARLAKE CAPITAL RIC MANAGEMENT, LLC — (SANTA MONICA, CA) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
UDY ROAD HOLDINGS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
EVERLONG CAPITAL FUND MANAGEMENT, LP — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
BRITE AVENUE CAPITAL LP — (SCARSDALE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
WELTHY ADVISERS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
WISDOMTREE VENTURES MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗institutional
85
PEAK NINE CAPITAL ADVISORS, LLC — (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
NAVIAN INVESTMENT MANAGEMENT — (CINCINNATI, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
83
CRUX CAPITAL LTD — (DALLAS, TX) is newly SEC-registered with $427.6M RAUM and 8 advisory reps. IAPD ↗fund
83
ACP VENTURE CAPITAL MANAGEMENT FUND LLC — (HAUPPAUGE, NY) is newly SEC-registered with $785.7M RAUM and 1 advisory reps. IAPD ↗fund
83
3B1 PARTNERS, LLC — (NEW YORK, NY) is newly SEC-registered with $391.6M RAUM and 4 advisory reps. IAPD ↗fund
83
3SPOKE MANAGEMENT, LLC — (IRVINE, CA) is newly SEC-registered with $254.3M RAUM and 5 advisory reps. IAPD ↗fund
83
UNLESS MANAGEMENT LP — (BOULDER, CO) is newly SEC-registered with $252.7M RAUM and 4 advisory reps. IAPD ↗fund
83
CERTUM GROUP — (NEWARK, NJ) is newly SEC-registered with $275.6M RAUM and 16 advisory reps. IAPD ↗fund
83
CHAMPION HILL LABS, LLC — (location n/a) is newly SEC-registered with $289.1M RAUM and 2 advisory reps. IAPD ↗fund
83
LEVEL VENTURES MANAGEMENT LLC — (SUNNY ISLES BEACH, FL) is newly SEC-registered with $310.9M RAUM and 2 advisory reps. IAPD ↗fund
83
ADVAITA CAPITAL LLC — (BOSTON, MA) is newly SEC-registered with $315.7M RAUM and 3 advisory reps. IAPD ↗fund
83
MONARCH COLLECTIVE — (location n/a) is newly SEC-registered with $252.0M RAUM and 4 advisory reps. IAPD ↗fund
83
BREYTA CAPITAL PARTNERS — (BROOKLYN, NY) is newly SEC-registered with $377.6M RAUM and 4 advisory reps. IAPD ↗fund
83
NEW VINTAGE PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered with $281.5M RAUM and 4 advisory reps. IAPD ↗fund
83
N.L.C. LLC — (BOCA RATON, FL) is newly SEC-registered with $286.1M RAUM and 2 advisory reps. IAPD ↗fund
83
PONTEM INVESTMENT MANAGEMENT COMPANY — (HOUSTON, TX) is newly SEC-registered with $279.1M RAUM and 6 advisory reps. IAPD ↗fund
83
NEMAN VENTURES LLC — (location n/a) is newly SEC-registered with $853.7M RAUM and 1 advisory reps. IAPD ↗fund
83
SWAN INVESTMENT PARTNERS — (OLD GREENWICH, CT) is newly SEC-registered with $334.2M RAUM and 4 advisory reps. IAPD ↗fund
83
MARATHON MANAGEMENT PARTNERS LLC — (BEVERLY HILLS, CA) is newly SEC-registered with $340.0M RAUM and 5 advisory reps. IAPD ↗fund
83
SHENANDOAH ENERGY MANAGEMENT, LLC — (HIGHLANDS RANCH, CO) is newly SEC-registered with $253.9M RAUM and 3 advisory reps. IAPD ↗fund
83
154 PARTNERS INVESTMENT MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $438.1M RAUM and 12 advisory reps. IAPD ↗fund
83
DOMINARI IM LLC — (NEW YORK, NY) is newly SEC-registered with $302.4M RAUM and 2 advisory reps. IAPD ↗fund
83
SQUADRON CAPITAL MANAGEMENT LLC — (OAK BROOK, IL) is newly SEC-registered with $385.7M RAUM and 3 advisory reps. IAPD ↗fund
83
NOVO HOLDINGS US INVESTMENT ADVISOR, INC. — (BOSTON, MA) is newly SEC-registered with $338.6M RAUM and 15 advisory reps. IAPD ↗fund
83
SEVEN FLEET CAPITAL MANAGEMENT LP — (location n/a) is newly SEC-registered with $434.6M RAUM and 3 advisory reps. IAPD ↗fund
83
CSR CAPITAL — (DALLAS, TX) is newly SEC-registered with $268.7M RAUM and 6 advisory reps. IAPD ↗fund
83
AMERICAN VENTURES IM LLC — (PALM BEACH GARDENS, FL) is newly SEC-registered with $835.2M RAUM and 2 advisory reps. IAPD ↗fund
83
PELICAN CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered with $347.8M RAUM and 2 advisory reps. IAPD ↗fund
83
BROAD REACH RETAIL PARTNERS LLC — (MILLERSVILLE, MD) is newly SEC-registered with $309.0M RAUM and 4 advisory reps. IAPD ↗fund
83
LEH III MANAGEMENT LLC — (ENGLEWOOD, CO) is newly SEC-registered with $335.9M RAUM and 7 advisory reps. IAPD ↗fund
83
CANYON ABF MANAGER LLC — (DALLAS, TX) is newly SEC-registered with $300.0M RAUM and 14 advisory reps. IAPD ↗fund
80
KVP CAPITAL ADVISORS, LP — (location n/a) is newly SEC-registered with $220.9M RAUM and 2 advisory reps. IAPD ↗fund
80
ARMATUS CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $241.0M RAUM and 2 advisory reps. IAPD ↗fund
80
SUN MOUNTAIN PARTNERS, LLC — (location n/a) is newly SEC-registered with $187.2M RAUM and 1 advisory reps. IAPD ↗fund
80
MARA RIVER CAPITAL MANAGEMENT, LP — (CORAL GABLES, FL) is newly SEC-registered with $217.7M RAUM and 3 advisory reps. IAPD ↗fund
80
LAS OLAS VENTURE CAPITAL — (FORT LAUDERDALE, FL) is newly SEC-registered with $231.2M RAUM and 6 advisory reps. IAPD ↗fund
80
HMC CAPITAL US — (NEW YORK, NY) is newly SEC-registered with $174.7M RAUM and 2 advisory reps. IAPD ↗fund
80
ALTURA CAPITAL — (CORAL GABLES, FL) is newly SEC-registered with $159.5M RAUM and 10 advisory reps. IAPD ↗fund
80
PARATAXIS CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $83.7M RAUM and 3 advisory reps. IAPD ↗fund
80
THE NEWCASTLE NETWORK LP — (WELLESLEY, MA) is newly SEC-registered with $222.8M RAUM and 7 advisory reps. IAPD ↗fund
80
MISSION TRAIL CAPITAL MANAGEMENT, LLC — (AUSTIN, TX) is newly SEC-registered with $214.5M RAUM and 3 advisory reps. IAPD ↗fund
80
SNOW PEAK CAPITAL, LLC — (BROOMFIELD, CO) is newly SEC-registered with $174.3M RAUM and 7 advisory reps. IAPD ↗fund
80
INVESTX ASSET MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $206.8M RAUM and 16 advisory reps. IAPD ↗fund
80
CYPRESS RIDGE CAPITAL, L.P. — (NEW YORK, NY) is newly SEC-registered with $194.1M RAUM and 6 advisory reps. IAPD ↗fund
80
EXPECT EQUITY LLC — (PIKESVILLE, MD) is newly SEC-registered with $167.2M RAUM and 4 advisory reps. IAPD ↗fund
80
BALANCE CAPITAL PARTNERS L.P. — (MIAMI, FL) is newly SEC-registered with $195.7M RAUM and 2 advisory reps. IAPD ↗fund
80
ERIE STREET GROWTH PARTNERS — (CHICAGO, IL) is newly SEC-registered with $221.2M RAUM and 2 advisory reps. IAPD ↗fund
80
ROUND2 INVESTMENT PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered with $196.4M RAUM and 2 advisory reps. IAPD ↗fund
80
SORYN IP CAPITAL MANAGEMENT — (MILLBURN, NJ) is newly SEC-registered with $168.1M RAUM and 3 advisory reps. IAPD ↗fund
80
KONEKTIS CAPITAL — (NEW YORK, NY) is newly SEC-registered with $149.8M RAUM and 2 advisory reps. IAPD ↗fund
80
HIGHLAND RIM CAPITAL, L.P. — (NASHVILLE, TN) is newly SEC-registered with $209.7M RAUM and 7 advisory reps. IAPD ↗fund
80
COVALENCE INVESTMENT PARTNERS, L.P. — (HOUSTON, TX) is newly SEC-registered with $238.4M RAUM and 7 advisory reps. IAPD ↗fund
80
F3 PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered with $204.6M RAUM and 5 advisory reps. IAPD ↗fund
80
CONIFER INFRASTRUCTURE PARTNERS — (SEWICKLEY, PA) is newly SEC-registered with $164.8M RAUM and 6 advisory reps. IAPD ↗fund
80
CLARA VISTA MANAGEMENT COMPANY LLC — (NEW YORK, NY) is newly SEC-registered with $169.4M RAUM and 3 advisory reps. IAPD ↗fund
80
WINGMAN GROWTH PARTNERS — (GREENWICH, CT) is newly SEC-registered with $167.2M RAUM and 6 advisory reps. IAPD ↗fund
80
CLEANHILL PARTNERS — (NEW YORK, NY) is newly SEC-registered with $184.4M RAUM and 5 advisory reps. IAPD ↗fund
80
80
NDH OPPORTUNITY LLC — (location n/a) is newly SEC-registered with $235.4M RAUM and 1 advisory reps. IAPD ↗fund
80
SILVERCAP PARTNERS — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
80
VICTORYARC HOLDINGS LP — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $41.2M RAUM and 2 advisory reps. IAPD ↗fund
80
LENDISTRY CAPITAL PARTNERS, LLC — (LOS ANGELES, CA) is newly SEC-registered with $213.4M RAUM and 5 advisory reps. IAPD ↗fund
70
70
QUAERO CAPITAL SA — (GENEVA, Switzerland) is newly SEC-registered with $3.21B RAUM and 22 advisory reps. IAPD ↗foreign
70
COVALIS (GIBRALTAR) LIMITED — (MIDTOWN, QUEENSWAY, Gibraltar) is newly SEC-registered with $4.76B RAUM and 1 advisory reps. IAPD ↗foreign
70
CINVEN LIMITED — (LONDON, United Kingdom) is newly SEC-registered with $42.71B RAUM and 100 advisory reps. IAPD ↗foreign
70
AQUAMARINE FINANCIAL (CAYMAN) LTD — (GRAND CAYMAN, Cayman Islands) is newly SEC-registered with $5.76B RAUM and 2 advisory reps. IAPD ↗foreign
68
BANYAN TREE ADVISORS PVT. LTD. — (BANGALORE, India) is newly SEC-registered with $561.5M RAUM and 21 advisory reps. IAPD ↗foreign
67
66
65
JUBARTE ASSET MANAGEMENT LTDA. — (SAO PAULO, SAO PAULO, Brazil) is newly SEC-registered with $57.0M RAUM and 4 advisory reps. IAPD ↗foreign
65
WORLDLINE CAPITAL PTE. LTD. — (HONG KONG, Hong Kong) is newly SEC-registered with $24.1M RAUM and 3 advisory reps. IAPD ↗foreign
65
MERCOR INVESTMENT — (SAN ANDRES CHOLULA, PUEBLA, Mexico) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
65
GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
62
62
62
60
60
AJAX HEALTH MANAGEMENT COMPANY, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
58
THE OPERATORS FUND INVESTMENT MANAGEMENT, L.P. — 's provisional registration is now fully approved. IAPD ↗fund
58
58
58
58
58
58
58
57
55
55
55
55
53
53
43
40
NOMURA SECURITIES INTERNATIONAL, INC. — 's Item 11 disclosure-reporting entries rose by 2 (131 -> 133). IAPD ↗institutional
40
40
INSTITUTIONAL SHAREHOLDER SERVICES INC. — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗institutional
40
MADISON AVENUE SOLUTIONS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (8 -> 9). IAPD ↗fund
37
36
35
34
32
32
32
30
TRIBE CAPITAL — filed an Item 4A succession naming TRIBE CAPITAL (CRD 304697) — an entity change, not a deal. IAPD ↗fund
29
25
UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD — 's Item 11 disclosure-reporting entries rose by 2 (58 -> 60). IAPD ↗foreign
25
MASECO PRIVATE WEALTH — notice-filed in AK, AL, AR, DE, ID, IN, KS, KY, MN, MO, MS, MT, ND, NE, NM, OK, OR, PR, SD, VI, WV, WY. IAPD ↗foreign
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.