← Tributary

Compliance — October 2026

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

579 firms opened this window in the October 2026 SEC roster: 285 state expansion, 134 new registration, 41 disclosure added, 39 headcount up, 33 pending approved, 21 custody started, 10 private funds started, 8 aum crossed 1b, 6 wrap program started, 1 acquisition, 1 reorganization.

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
WILLOW RUN ADVISORS — (NEW YORK, NY) is newly SEC-registered with $2.20B RAUM and 5 advisory reps. IAPD ↗
$2.20B RAUM · 5 reps · 646-600-8059
95
HERNDON PLANT OAKLEY LTD — (CORPUS CHRISTI, TX) is newly SEC-registered with $155.4M RAUM and 2 advisory reps. IAPD ↗
$155.4M RAUM · 2 reps · 361-888-7611 · hpo.com
95
JOHNSTON INVESTMENT COUNSEL, LTD. — (PEORIA, IL) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗
$125.0M RAUM · 1 reps · 309-674-3330
95
PTS BROKERAGE, LLC — (MT. LAUREL, NJ) is newly SEC-registered with $131.7M RAUM and 14 advisory reps. IAPD ↗
$131.7M RAUM · 14 reps · 856-802-9400 · ptsbrokerage.com
95
TIDMORE RETIREMENT PLANNING SPECIALISTS — (BEACHWOOD, OH) is newly SEC-registered with $112.9M RAUM and 2 advisory reps. IAPD ↗
$112.9M RAUM · 2 reps · 440-498-1396
95
LEGACY PARTNERS FINANCIAL GROUP, LLC — (WOODSTOCK, GA) is newly SEC-registered with $107.6M RAUM and 10 advisory reps. IAPD ↗
$107.6M RAUM · 10 reps · 678 388-2233 · mylpfg.com
95
TRAVER FINANCIAL CONSULTING NETWORK PA — (LAKEWOOD RANCH, FL) is newly SEC-registered with $121.7M RAUM and 1 advisory reps. IAPD ↗
$121.7M RAUM · 1 reps · 917-576-0308
95
LIVE OAK FAMILY OFFICES LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (614) 266-8192 · lofollc.com
95
MURRAY SECURITIES, INC. — (TYLER, TX) is newly SEC-registered with $116.6M RAUM and 1 advisory reps. IAPD ↗
$116.6M RAUM · 1 reps · 903-561-5588 · murraysecuritiesinc.com
95
CROSSPOINT CAPITAL MANAGEMENT — (ORINDA, CA) is newly SEC-registered with $117.0M RAUM and 2 advisory reps. IAPD ↗
$117.0M RAUM · 2 reps · 415-949-1443
95
EAGLE FINANCIAL ADVISORS, LLC — (FRISCO, TX) is newly SEC-registered with $113.1M RAUM and 9 advisory reps. IAPD ↗
$113.1M RAUM · 9 reps · 800-994-1317 · eaglefinancialadvisors.net
95
KUHN WEALTH MANAGEMENT INC. — (SCHAUMBURG, IL) is newly SEC-registered with $150.8M RAUM and 3 advisory reps. IAPD ↗
$150.8M RAUM · 3 reps · (847) 607-4976 · kuhnwealth.com
95
KROEGER FINANCIAL PARTNERS — (GRASS VALLEY, CA) is newly SEC-registered with $111.1M RAUM and 2 advisory reps. IAPD ↗
$111.1M RAUM · 2 reps · 530-478-9734 · kroegerfinancial.com
95
CRAFTED FINANCE, LLC — (location n/a) is newly SEC-registered with $102.9M RAUM and 1 advisory reps. IAPD ↗
$102.9M RAUM · 1 reps · (650) 336-0598
95
CS TOMASI WEALTH MANAGEMENT — (COSTA MESA, CA) is newly SEC-registered with $110.3M RAUM and 6 advisory reps. IAPD ↗
$110.3M RAUM · 6 reps · (562) 494-4668
95
ASK CAPITAL INVESTMENT MANAGERS — (AMARILLO, TX) is newly SEC-registered with $110.4M RAUM and 2 advisory reps. IAPD ↗
$110.4M RAUM · 2 reps · 806-322-7526
95
BURLINGAME WEALTH MANAGEMENT, LLC — (BURLINGAME, CA) is newly SEC-registered with $129.4M RAUM and 1 advisory reps. IAPD ↗
$129.4M RAUM · 1 reps · 6505972400 · burlingamewealth.com
95
EXOS ASSET MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $682,181 RAUM and 8 advisory reps. IAPD ↗
$682,181 RAUM · 8 reps · (646) 814-0996
95
BLUE ANCHOR WEALTH ADVISORS, LLC — (KETCHIKAN, AK) is newly SEC-registered with $144.2M RAUM and 6 advisory reps. IAPD ↗
$144.2M RAUM · 6 reps · (907) 225-6110 · blueanchorwealth.com
95
ENDEAVOR ADVISORS LLC — (PHOENIX, AZ) is newly SEC-registered with $114.4M RAUM and 4 advisory reps. IAPD ↗
$114.4M RAUM · 4 reps · 480-550-8316 · endeavoradvisorsllc.com
95
DIVERSIFIED WEALTH ADVISORS, LLC — (KANSAS CITY, MO) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
$138.0M RAUM · 3 reps · 816-984-8620 · diversifiedsolutionsllc.com
95
ALMEGA WEALTH MANAGEMENT — (SCOTTSDALE, AZ) is newly SEC-registered with $134.3M RAUM and 4 advisory reps. IAPD ↗
$134.3M RAUM · 4 reps · 480-770-4700
95
WILLIS TOWERS WATSON SECURITIES, LLC — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 516-375-0126 · viaretirement.com
95
KNECHT CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $116.0M RAUM and 1 advisory reps. IAPD ↗
$116.0M RAUM · 1 reps · 707-947-3040 · knechtcapital.com
95
GREEN OCEAN GLOBAL ADVISORS LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $114.8M RAUM and 4 advisory reps. IAPD ↗
$114.8M RAUM · 4 reps · (206) 686-1594
95
LEONARD ADVISORY GROUP LLC — (SAINT JOSEPH, MI) is newly SEC-registered with $114.1M RAUM and 3 advisory reps. IAPD ↗
$114.1M RAUM · 3 reps · 269-588-1362
95
WEALTH STRATEGIES GROUP — (NEWPORT BEACH, CA) is newly SEC-registered with $102.9M RAUM and 2 advisory reps. IAPD ↗
$102.9M RAUM · 2 reps · 888-848-4144
95
WEALTHLYNK, INC. — (FALLBROOK, CA) is newly SEC-registered with $112.0M RAUM and 1 advisory reps. IAPD ↗
$112.0M RAUM · 1 reps · 760-621-4471 · wealthlynk.com
95
BETTER FINANCIAL SERVICES, LLC — (FEDERAL WAY, WA) is newly SEC-registered with $110.8M RAUM and 2 advisory reps. IAPD ↗
$110.8M RAUM · 2 reps · 206-234-7516 · gotobfs.com
95
BIG ROCK ADVISORS LLC — (SAG HARBOR, NY) is newly SEC-registered with $27.8M RAUM and 3 advisory reps. IAPD ↗
$27.8M RAUM · 3 reps · 631-725-0300 · bigrockadvisorsllc.com
95
PELICAN ADVISORY LLC — (COVINGTON, LA) is newly SEC-registered with $119.0M RAUM and 4 advisory reps. IAPD ↗
$119.0M RAUM · 4 reps · 985-237-4033 · pelicanfo.com
95
DANTES OUTLOOK — (location n/a) is newly SEC-registered with $26.0M RAUM and 1 advisory reps. IAPD ↗
$26.0M RAUM · 1 reps · 917-714-5339 · dantesoutlook.com
95
INTEGRATED WEALTH SOLUTIONS, LLC — (YORK, PA) is newly SEC-registered with $114.0M RAUM and 8 advisory reps. IAPD ↗
$114.0M RAUM · 8 reps · 717313-2220 · buildffwealth.com
95
EXPONENT WEALTH LLC — (OREM, UT) is newly SEC-registered with $110.4M RAUM and 6 advisory reps. IAPD ↗
$110.4M RAUM · 6 reps · (801) 459-1190 · exponentwealth.com
95
PORTFOLIO ADVISORY PARTNERS — (NORTH BRUNSWICK, NJ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-412-0732 · portfolioadvisorypartners.com
95
AEGIS GUILD CAPITAL, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 717-478-3646
95
CAMERON SIGNATURE WEALTH ADVISORS LLC — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 704-519-2592
95
POINT ONE PRIVATE WEALTH — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 615-659-5000 · pointoneprivatewealth.com
95
PROFESSIONAL PLANNING & WEALTH — (GREENVILLE, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 864-626-4380
95
WELLS CAPITAL ADVISORS LLC — (LAS VEGAS, NV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 7025341090 · wellscapitalgroup.com
95
AQR FLEX MANAGEMENT, LLC — (GREENWICH, CT) is newly SEC-registered with $0 RAUM and 291 advisory reps. IAPD ↗
$0 RAUM · 291 reps · (203) 742-3600
95
MADISON LASALLE ADVISERS LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 312-909-3007
95
PLETTENBERG CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $50.5M RAUM and 1 advisory reps. IAPD ↗
$50.5M RAUM · 1 reps · 267-574-2319 · plettenbergcapital.com
95
CROBOEARN — (location n/a) is newly SEC-registered with $10,000 RAUM and 2 advisory reps. IAPD ↗
$10,000 RAUM · 2 reps · 4846096415 · croboearn.com
95
COINEDLY LLC — (DOVER, DE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 980-416-2310 · coinedly.com
95
CMK PARTNERS, LLC — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (630) 697-1981
95
VAN SOLDAT WEALTH LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · +55 43 99199 8900 · vansoldat.com
95
ALIGNED WEALTH ADVISORS, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 305-702-3030 · alignedwealth.com
95
APEIRON WEALTH SERVICE — (ASTORIA, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 646-564-3511 · awealths.com
95
VESSEL WEALTH PARTNERS — (MENDOTA HEIGHTS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 651-895-0182 · vesselwp.com
95
ZOOP ALPHA ADVISORS — (MESA, AZ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 941-232-1837
95
STRIBLING-WHALEN FINANCIAL GROUP — (GAINESVILLE, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 678-989-0048
95
STAX LABS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 7035997991
95
MAPLE GROVE WEALTH — (FRANKLIN, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 615-560-6583 · maplegrovewealth.com
95
STRATEGENCE CAPITAL LLC — (VAN WERT, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · 646-395-3900
95
ZERO LABS INC. — (SAN FRANCISCO, CA) is newly SEC-registered with $100,000 RAUM and 1 advisory reps. IAPD ↗
$100,000 RAUM · 1 reps · 650-761-1821 · zero.tax
95
BELLERIVE CAPITAL, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 305-465-1741
95
FORTUNA PRIVATE WEALTH MANAGEMENT CORP. — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 786-631-7103 · fortunapwm.com
95
RIA GROUP, LLC — (DES MOINES, IA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 641-680-1190
95
FATHOM ADVISORS LLC — (MINNEAPOLIS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · 763-367-7980 · fathom-advisors.com
95
LAFAYETTE SQUARE FINANCIAL ADVISORS, INC. — (WALNUT CREEK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 925-284-7950 · lsqfa.com
95
GEIGER GROUP WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 703-855-3990
95
BORIA WEALTH MANAGEMENT, LTD — (WAYZATA, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 952-994-8657
95
IME VISVA — (location n/a) is newly SEC-registered with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · +919036476667 · imevisva.com
95
OPIMA CAPITAL MANAGEMENT, LLC — (OCOEE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 407-612-7602 · opimacapital.com
95
HOLM & BAUCOM WEALTH ADVISORS, LLC — (VICTORIA, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (361) 894-8717 · holmbaucomwealth.com
95
RISE PRIVATE WEALTH MANAGEMENT — (BEDFORD, NH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 50 advisory reps. IAPD ↗
$0 RAUM · 50 reps · 603-457-7001 · riseprivatewealthmanagement.com
95
SOMERSET ADVISORY, LLC — (BIRMINGHAM, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 888.501.2607
95
ROUND TABLE ADVISORS, LLC — (CHATTANOOGA, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · (423) 510-8889
95
EAST FRANKLIN CAPITAL — (WILMINGTON, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 919-360-2537
95
AQUIUM LEGACY PARTNERS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 216-400-0052 EXT 800
95
AI PORTFOLIOS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 314-703-0408 · aiportfolios.com
95
DIMAIO PRIVATE WEALTH, LLC — (CHESTER, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 908-540-4141
95
STELVIO PRIVATE WEALTH — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 925-306-4600
95
DAN THORNSBERRY CAPITAL ADVISORS, LLC — (BELLEAIR BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 614 530 5185
95
CREATED WEALTH ADVISORY — (VENICE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 310-424-4011 · createdwealth.com
95
5280 ASSOCIATES — (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 303-730-1951 · 5280associates.com
95
NOVERA WEALTH, INC. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (646) 535-4323
95
HEIRMONT WEALTH MANAGEMENT — (UNIONDALE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 516-206-2215 · heirmontwealth.com
95
FINANCIAL CELEBRATIONS — (VACAVILLE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 7074467623 · financialcelebrations.com
95
NEXTREG ADVISORS LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 7863160577 · nextreg.ai
95
CLEARWATER FINANCIAL PLANNING — (LEWISTON, ID) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 208-746-3270 · clearwaterfinancialplanning.net
95
BCM FIXED INCOME — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 404-668-9190 · bcmfi.com
95
PERSONAL WEALTH STRATEGIES — (HAMILTON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 908 209-5500
95
OMNIMINT 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 · 3018757031
95
LELAND WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 650-232-2023
95
EVEROAK WEALTH CO — (COLORADO SPRINGS, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · 719-300-6700 · everoakwealth.com
95
BROOKSTONE WEALTH MANAGEMENT, INC. — (OXFORD, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 508-987-0700 · brookstonewealthmanagement.com
95
VOCARE WEALTH ADVISORS — (RESTON, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (571) 529-6205 · vocarewealthadvisors.com
85
THE PACIFIC CENTER FOR FINANCIAL SERVICES — crossed $1B in regulatory AUM ($960.6M -> $1.10B). IAPD ↗
$1.10B RAUM · 5 reps · (925) 838-7700
85
SUMMA CORP. — crossed $1B in regulatory AUM ($587.2M -> $1.59B). IAPD ↗
$1.59B RAUM · 3 reps · 281-362-9977 · summa-wealth.com
85
M1 ADVISORY — crossed $1B in regulatory AUM ($633,573 -> $1.48B). IAPD ↗
$1.48B RAUM · 0 reps · 312-600-2883 · m1.com
85
MARQUETTE WEALTH MANAGEMENT — crossed $1B in regulatory AUM ($871.6M -> $1.07B). IAPD ↗
$1.07B RAUM · 4 reps · 612-661-3770
85
RANGE ADVISORY, LLC — crossed $1B in regulatory AUM ($653.9M -> $1.39B). IAPD ↗
$1.39B RAUM · 18 reps · (703) 261-4126
85
MARIDEA WEALTH MANAGEMENT — crossed $1B in regulatory AUM ($958.7M -> $1.97B). IAPD ↗
$1.97B RAUM · 26 reps · 347-289-5227
85
XCELSIOR ADVISOR PARTNERS LLC — crossed $1B in regulatory AUM ($650.7M -> $2.51B). IAPD ↗
$2.51B RAUM · 22 reps · 480-866-8616 · xcelsiorpartners.com
85
WEDBUSH SECURITIES INC. — grew from 202 to 288 advisory reps. IAPD ↗
$6.75B RAUM · 288 reps · 213-688-8000 · wedbush.com
85
CAPITAL RESEARCH AND MANAGEMENT COMPANY — grew from 393 to 411 advisory reps. IAPD ↗
$4320.75B RAUM · 411 reps · 213-486-9200 · retirementsolutions.financialtrans.com
85
PRIVATE ADVISOR GROUP, LLC — grew from 670 to 885 advisory reps. IAPD ↗
$57.70B RAUM · 885 reps · 973-538-7010
81
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. — grew from 96 to 107 advisory reps. IAPD ↗
$48.37B RAUM · 107 reps · 213-486-9200
79
XCELSIOR ADVISOR PARTNERS LLC — grew from 13 to 22 advisory reps. IAPD ↗
$2.51B RAUM · 22 reps · 480-866-8616 · xcelsiorpartners.com
75
SIGNATURE EQUITY PARTNERS, LLC — grew from 25 to 32 advisory reps. IAPD ↗
$688.1M RAUM · 32 reps · 614-846-6000 · midwestretirementconsultants.net
75
SHARPE ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
$1.23B RAUM · 4 reps · 908-455-0600
75
CROWNSTONE ADVISORY & INVESTMENT CORP — 's provisional registration is now fully approved. IAPD ↗
$3.00B RAUM · 1 reps · 858-444-5933 · crownstoneinvestmentadvisory.com
74
WPWEALTH LLP — grew from 14 to 18 advisory reps. IAPD ↗
$1.17B RAUM · 18 reps · 817-259-9100
73
345 INVESTMENT ADVISORY, LLC — grew from 1 to 6 advisory reps. IAPD ↗
$295.1M RAUM · 6 reps · 480-624-5650
73
BLUE HORIZON EQUITY, INC. — 's provisional registration is now fully approved. IAPD ↗
$745.9M RAUM · 45 reps · 1 585 641 7900 · abelwealthmanagement.com
73
GENOA WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
$376.7M RAUM · 2 reps · 985- 869-6070 · genoawealth.com
73
TREASURE VALLEY FINANCIAL PLANNING — 's provisional registration is now fully approved. IAPD ↗
$336.0M RAUM · 7 reps · 208-789-0888 · treasurevalleyplanning.com
73
LIFEWISE WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$491.9M RAUM · 6 reps · 217 351 8755 · lifewisewealth.com
73
INTENTGEN FINANCIAL PARTNERS — 's provisional registration is now fully approved. IAPD ↗
$756.6M RAUM · 6 reps · 630-821-6990 · intentgen.com
73
345 INVESTMENT ADVISORY, LLC — 's provisional registration is now fully approved. IAPD ↗
$295.1M RAUM · 6 reps · 480-624-5650
73
BROADSIDE WEALTH — 's provisional registration is now fully approved. IAPD ↗
$874.5M RAUM · 4 reps · 628-218-5315
73
QUINT CAPITAL MANAGEMENT — now reports 1 private fund(s) ($1.5M gross). IAPD ↗
$875.0M RAUM · 9 reps · 212-682-5090
73
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC — now reports 1 private fund(s) ($25.0M gross). IAPD ↗
$706.0M RAUM · 10 reps · 212-417-8247 · empiream.com
73
CAYSIDE PARTNERS — now reports 1 private fund(s) ($3.0M gross). IAPD ↗
$438.0M RAUM · 4 reps · 561-768-9621
72
CLARK ASSET MANAGEMENT, LLC — grew from 6 to 8 advisory reps. IAPD ↗
$1.32B RAUM · 8 reps · 603-237-1341
72
SHARPE ADVISORS, LLC — grew from 2 to 4 advisory reps. IAPD ↗
$1.23B RAUM · 4 reps · 908-455-0600
71
STRATEGIC PLANNING GROUP — grew from 5 to 8 advisory reps. IAPD ↗
$910.3M RAUM · 8 reps · 801-627-2200 · spgutah.com
71
AVIVAR CAPITAL, LLC — grew from 13 to 16 advisory reps. IAPD ↗
$362.1M RAUM · 16 reps · 818-681-6833
71
SKYBOUND WEALTH USA — grew from 6 to 12 advisory reps. IAPD ↗
$166.5M RAUM · 12 reps · 1-346-845-0001
71
BROADSIDE WEALTH — grew from 1 to 4 advisory reps. IAPD ↗
$874.5M RAUM · 4 reps · 628-218-5315
71
EHG WEALTH MANAGEMENT — grew from 4 to 10 advisory reps. IAPD ↗
$0 RAUM · 10 reps · 3176232007
70
LRI INVESTMENTS — now reports custody of client assets ($999,900). IAPD ↗
$2.78B RAUM · 31 reps · 561-323-2265
70
GRANT STREET ASSET MANAGEMENT INC — grew from 6 to 8 advisory reps. IAPD ↗
$768.9M RAUM · 8 reps · 412-257-8060
70
PRECISE INVESTMENT MANAGEMENT, INC. — grew from 4 to 6 advisory reps. IAPD ↗
$349.2M RAUM · 6 reps · 702-906-0940
70
WEALTH MANAGEMENT CPAS, LLC — grew from 5 to 7 advisory reps. IAPD ↗
$329.2M RAUM · 7 reps · 801-272-4357 · wealthcpas.com
70
GFG SOLUTIONS — grew from 4 to 6 advisory reps. IAPD ↗
$306.6M RAUM · 6 reps · 407-627-0091 · gfgsolutions.com
70
WAVVEST WEALTH — grew from 3 to 5 advisory reps. IAPD ↗
$339.9M RAUM · 5 reps · 630-699-8602
70
IM WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
$123.9M RAUM · 8 reps · 610-650-1848 · imwealthpartners.com
70
ASCENT ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$110.8M RAUM · 8 reps · 952-444-3100
70
HOLON WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
$124.0M RAUM · 1 reps · (541) 200-0975
70
FAMILY OFFICE INVESTMENT ADVISORY LLC — 's provisional registration is now fully approved. IAPD ↗
$220.0M RAUM · 3 reps · (800) 447-7090
70
STERLING LABS — 's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 4 reps · 3479242009 · sterlinglabs.co
70
R.I.T. WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$235.4M RAUM · 1 reps · (949) 340-1701 · ritwealth.com
70
ANCHR TECHNOLOGIES RIA LLC — 's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 2 reps · (646) 543-4771
70
ALTRUIST ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
$190.0M RAUM · 6 reps · 202 494 0435 · altruist.com
70
CHARLESBRIDGE ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$108.5M RAUM · 4 reps · (781) 682-3299
70
HYCO RIVER INVESTMENTS, INCORPORATED — 's provisional registration is now fully approved. IAPD ↗
$168.6M RAUM · 2 reps · 703-338-9419 · hycoinvestments.com
70
KEYSTONE FINANCIAL RESOURCES, LLC — 's provisional registration is now fully approved. IAPD ↗
$178.5M RAUM · 4 reps · 707-932-5849 · keystonewealtalliance.com
70
UNIFIED RETIREMENT PLANNING GROUP — 's provisional registration is now fully approved. IAPD ↗
$197.0M RAUM · 1 reps · 914 432-5800 · myurpg.com
70
COSMOS WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
$191.5M RAUM · 2 reps · 8582903300 · cosmoswealth.com
70
NORTHWIND FINANCIAL LLC — 's provisional registration is now fully approved. IAPD ↗
$142.2M RAUM · 2 reps · 541-318-7871 · northwindfinancial.com
70
3D ADVISOR GROUP, INC. — 's provisional registration is now fully approved. IAPD ↗
$194.3M RAUM · 2 reps · (508) 808-1423 · 3dadvisorgroup.com
70
MILLER WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
$100.4M RAUM · 1 reps · 480-613-7400
70
SCHONFELD WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
$132.9M RAUM · 2 reps · 718-963-9700 · schonfeldwm.com
70
HERITAGE HAUS WEALTH PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
$241.1M RAUM · 3 reps · 830-316-3590 · heritagehauswealth.com
69
ALTRUIST ADVISORS LLC — grew from 2 to 6 advisory reps. IAPD ↗
$190.0M RAUM · 6 reps · 202 494 0435 · altruist.com
68
THE JENKINS GROUP — now reports custody of client assets ($111.3M). IAPD ↗
$270.1M RAUM · 3 reps · 229-883-8028
68
GREEN RIDGE WEALTH PLANNING LLC — now reports custody of client assets ($5.4M). IAPD ↗
$389.6M RAUM · 5 reps · 973-554-1770
68
AUDENT GLOBAL ASSET MANAGEMENT, LLC — now reports custody of client assets ($256.0M). IAPD ↗
$452.3M RAUM · 3 reps · 310-388-3818 · audentcap.com
68
LAVELLE CAPITAL — now reports custody of client assets ($119.0M). IAPD ↗
$508.2M RAUM · 2 reps · 415-501-9987
68
LRZ CAPITAL LLC — now reports custody of client assets ($7.7M). IAPD ↗
$500.8M RAUM · 4 reps · 305-615-0215 · lrzcapital.com
68
PRAIRIE ADVISORY, LLC — now reports custody of client assets ($145.2M). IAPD ↗
$554.3M RAUM · 9 reps · 913-963-1054 · prairieadvisoryllc.com
68
INTENTGEN FINANCIAL PARTNERS — now reports custody of client assets ($358.6M). IAPD ↗
$756.6M RAUM · 6 reps · 630-821-6990 · intentgen.com
68
345 INVESTMENT ADVISORY, LLC — now reports custody of client assets ($27.2M). IAPD ↗
$295.1M RAUM · 6 reps · 480-624-5650
68
BROADSIDE WEALTH — now reports custody of client assets ($25.0M). IAPD ↗
$874.5M RAUM · 4 reps · 628-218-5315
68
FOUNDRY FINANCIAL LLC — grew from 7 to 10 advisory reps. IAPD ↗
$232.6M RAUM · 10 reps · (213) 802-8662 · foundryfinancial.org
67
A BETTER WAY FINANCIAL, LLC — grew from 3 to 5 advisory reps. IAPD ↗
$109.0M RAUM · 5 reps · 610-440-1700
67
KOEHLER ASSET MANAGEMENT — grew from 2 to 4 advisory reps. IAPD ↗
$111.0M RAUM · 4 reps · 631-332-2310
65
RJJ PASADENA SECURITIES, INC. — now reports custody of client assets ($38.9M). IAPD ↗
$115.2M RAUM · 2 reps · 626-792-1244
65
MARATHON STRATEGIC ADVISORS, LLC — now reports custody of client assets ($117.6M). IAPD ↗
$182.7M RAUM · 1 reps · 740-282-5198 · mstrategic.com
65
DAVIS CAPITAL ADVISORS, LLC — now reports custody of client assets ($619,426). IAPD ↗
$46.9M RAUM · 1 reps · 212-796-8440 · daviscapitaladvisors.com
65
REA FINANCIAL — now reports custody of client assets ($54.8M). IAPD ↗
$54.8M RAUM · 1 reps · 407-787-9700
65
SCHONFELD WEALTH MANAGEMENT, LLC — now reports custody of client assets ($5.4M). IAPD ↗
$132.9M RAUM · 2 reps · 718-963-9700 · schonfeldwm.com
65
STEFFENS FINANCIAL CORP — now reports custody of client assets ($4.0M). IAPD ↗
$162.0M RAUM · 3 reps · 973-786-3696 · steffensfinancial.com
60
BLACKRIDGE ASSET MANAGEMENT, LLC — began participating in a wrap-fee program. IAPD ↗
$216.7M RAUM · 66 reps · 561-641-5050 · peakbrokerageservices.com
60
COMPLETE WEALTH MANAGEMENT, LLC — began participating in a wrap-fee program. IAPD ↗
$132.5M RAUM · 2 reps · 940-382-9300
60
STORGATE, LLC — began participating in a wrap-fee program. IAPD ↗
$184.5M RAUM · 4 reps · (214) 434-1015 · storgate.com
60
STEFFENS FINANCIAL CORP — began participating in a wrap-fee program. IAPD ↗
$162.0M RAUM · 3 reps · 973-786-3696 · steffensfinancial.com
60
AUTHENTIC WEALTH PARTNERS LLC — began participating in a wrap-fee program. IAPD ↗
$0 RAUM · 1 reps · (703) 986-8164 · authenticwealthpartners.com
55
J.P. MORGAN SECURITIES LLC — 's Item 11 disclosure-reporting entries rose by 1 (164 -> 165). IAPD ↗
$429.69B RAUM · 8479 reps · 800-999-2000 · wealthpartners.jpmorgan.com
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 5 (301 -> 306). IAPD ↗
$1013.61B RAUM · 20304 reps · 314-515-2000 · bridgebuildermutualfunds.com
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 2 (212 -> 214). IAPD ↗
$197.53B RAUM · 3079 reps · 314-342-2000 · moxonwealthmanagement.com
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 1 (380 -> 381). IAPD ↗
$819.12B RAUM · 36280 reps · 704-733-3300
55
INDEPENDENT FINANCIAL GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 4 (8 -> 12). IAPD ↗
$12.93B RAUM · 476 reps · 858-436-3180 · ifgsd.com
55
PRIMERICA ADVISORS — 's Item 11 disclosure-reporting entries rose by 5 (52 -> 57). IAPD ↗
$15.54B RAUM · 3959 reps · 833-786-0550 · landmark.primerica.com
55
MML INVESTORS SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 2 (76 -> 78). IAPD ↗
$115.64B RAUM · 4961 reps · (413) 226-0000 · mmlinvestors.com
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 6 (648 -> 654). IAPD ↗
$671.42B RAUM · 7957 reps · 314-875-3000 · wellsfargoadvisors.com
55
MADISON AVENUE SECURITIES, LLC — 's Item 11 disclosure-reporting entries rose by 1 (17 -> 18). IAPD ↗
$2.02B RAUM · 81 reps · 888-627-7323 · mas-bd.com
55
RBC CAPITAL MARKETS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (163 -> 164). IAPD ↗
$310.43B RAUM · 5908 reps · 212-858-7000 · us.rbcwealthmanagement.com
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (135 -> 137). IAPD ↗
$199.66B RAUM · 91 reps · 212-454-4500 · dws.com
55
NAVELLIER & ASSOCIATES INC — 's Item 11 disclosure-reporting entries rose by 5 (4 -> 9). IAPD ↗
$1.31B RAUM · 2 reps · 775-785-2300 · navellier.com
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 2 (135 -> 137). IAPD ↗
$34.34B RAUM · 132 reps · 312-537-7000
55
BROOKFIELD PUBLIC SECURITIES GROUP LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
$66.46B RAUM · 41 reps · 212-417-7000 · publicsecurities.brookfield.com
55
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 7 (80 -> 87). IAPD ↗
$138.69B RAUM · 3496 reps · 641-472-5100 · cambridgestronger.com
55
BTG PACTUAL ASSET MANAGEMENT US , LLC — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$30.11B RAUM · 108 reps · 212-293-4600
55
MODERA WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
$17.68B RAUM · 106 reps · (201) 768-4600 · moderawealth.com
55
THURSTON SPRINGER ADVISORS — 's Item 11 disclosure-reporting entries rose by 15 (0 -> 15). IAPD ↗
$6.01B RAUM · 86 reps · 317.581.4000 · thurstonspringer.com
55
J.J. BURNS & COMPANY — notice-filed in AZ, LA, MD, TN, VA. IAPD ↗
$1.25B RAUM · 8 reps · 631-390-0500
55
XCELSIOR ADVISOR PARTNERS LLC — notice-filed in AL, DE, KS, MD, NM, OR, SC. IAPD ↗
$2.51B RAUM · 22 reps · 480-866-8616 · xcelsiorpartners.com
53
CREAND MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 7 (1 -> 8). IAPD ↗
$506.6M RAUM · 14 reps · 305-358-8844 · creand.us
53
J. HAGAN CAPITAL, INC. — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$341.8M RAUM · 6 reps · (502) 690-5635
53
ZOE FINANCIAL, INC. — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
$283.5M RAUM · 2 reps · 646-680-9244
53
FLORIDA FINANCIAL ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$456.1M RAUM · 667 reps · (813) 333-1683
53
MCGOWAN GROUP ASSET MANAGEMENT, INC. — notice-filed in MO, NC, TN, WA. IAPD ↗
$1.08B RAUM · 5 reps · 214-720-4400
53
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC — notice-filed in AL, AR, IL, MI, NC, NY, OR, SC, WA. IAPD ↗
$931.8M RAUM · 31 reps · 913-295-9500
51
STALEY CAPITAL ADVISERS INC — notice-filed in CO, OH, VA. IAPD ↗
$3.11B RAUM · 10 reps · 412-394-1292
51
SMITH SALLEY WEALTH MANAGEMENT — notice-filed in CO, IL, PA. IAPD ↗
$2.89B RAUM · 15 reps · 336-379-7556 · smith-salley.com
51
BECK BODE LLC — notice-filed in IN, NV, TN, WA. IAPD ↗
$666.4M RAUM · 16 reps · 617-209-2224
51
INLIGHT WEALTH — notice-filed in MI, NJ, SC, WA. IAPD ↗
$843.3M RAUM · 3 reps · 404-551-2808
51
VESTGEN ADVISORS, LLC — notice-filed in ME, NE, VT. IAPD ↗
$6.67B RAUM · 58 reps · 312-237-4446
51
PARKWOODS WEALTH PARTNERS, LLC — notice-filed in CO, IL, MI. IAPD ↗
$1.79B RAUM · 24 reps · (877) 278-2716 · parkwoods.com
51
LIFEWISE WEALTH ADVISORS — notice-filed in FL, IN, MO, TX. IAPD ↗
$491.9M RAUM · 6 reps · 217 351 8755 · lifewisewealth.com
50
MUTUAL OF OMAHA INVESTOR SERVICES, INC. — 's Item 11 disclosure-reporting entries rose by 2 (27 -> 29). IAPD ↗
$32.0M RAUM · 285 reps · 402-351-3102 · mutualofomaha.com
50
CHARLES SCHWAB & CO., INC. — 's Item 11 disclosure-reporting entries rose by 1 (20 -> 21). IAPD ↗
$0 RAUM · 4127 reps · 415-667-7000
50
PROFICIENT WEALTH COUNSELORS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
$146.9M RAUM · 1 reps · 781-278-9488 · proficientwealth.com
50
BLACKRIDGE ASSET MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 6 (2 -> 8). IAPD ↗
$216.7M RAUM · 66 reps · 561-641-5050 · peakbrokerageservices.com
50
A BETTER WAY FINANCIAL, LLC — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
$109.0M RAUM · 5 reps · 610-440-1700
50
ALDEBARAN CAPITAL — 's Item 11 disclosure-reporting entries rose by 6 (0 -> 6). IAPD ↗
$0 RAUM · 2 reps · (504) 258-7110 · aldebarancapital.net
50
WEALTHRAMP, INC. — notice-filed in AK, AL, AR, AZ, CO, CT, DC, DE, FL, GA, HI, IA, ID, IN, KS, KY, MD, ME, MI, MN, MO, MS, MT, NC, ND, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, UT, VA, VT, WI, WV, WY. IAPD ↗
$0 RAUM · 2 reps · (877) 260-9545 · wealthramp.com
50
KINGDOM LEGACY ADVISORS — notice-filed in AZ, CA, FL, LA, NE, TX. IAPD ↗
$196.5M RAUM · 1 reps · (952) 697-2225 · kingdomlegacyadv.com
50
BUCKS CAPITAL ADVISERS — notice-filed in FL, IL, NJ, NY, TX. IAPD ↗
$0 RAUM · 1 reps · 267-907-6650 · buckscap.com
50
HERITAGE HAUS WEALTH PARTNERS LLC — notice-filed in AZ, FL, LA, NE, OH, OK, TN, VA. IAPD ↗
$241.1M RAUM · 3 reps · 830-316-3590 · heritagehauswealth.com
50
MOMENTUM WEALTH MANAGEMENT — notice-filed in ID, NH, NV, TX, WA. IAPD ↗
$0 RAUM · 6 reps · 8016554898 · retiremomentum.com
49
TOBIAS FINANCIAL ADVISORS — notice-filed in NC, PA. IAPD ↗
$1.19B RAUM · 9 reps · 954-424-1660
49
PRIME BUCHHOLZ LLC — notice-filed in MD, PA. IAPD ↗
$14.07B RAUM · 69 reps · 603-433-1143 · primebuchholz.com
49
SJS INVESTMENT SERVICES — notice-filed in NH, VA. IAPD ↗
$2.94B RAUM · 22 reps · 419-885-2626 · sjsinvest.com
49
PURE FINANCIAL ADVISORS, LLC — notice-filed in DE, SD. IAPD ↗
$11.05B RAUM · 76 reps · 866-876-7873 · easiretirement.com
49
AUXANO ADVISORS — notice-filed in CO, MT. IAPD ↗
$1.78B RAUM · 8 reps · (425) 889-1261 · auxanoadvisors.com
49
PROFICIO CAPITAL PARTNERS LLC — notice-filed in ID, LA. IAPD ↗
$8.17B RAUM · 11 reps · 617-340-8425 · proficiocap.com
49
PROWELL FINANCIAL MANAGEMENT, LLC — notice-filed in NE, VI. IAPD ↗
$6.86B RAUM · 3 reps · 484-359-4057 · prowell-financial.com
49
ABOUND WEALTH MANAGEMENT, LLC — notice-filed in CO, IA. IAPD ↗
$1.95B RAUM · 26 reps · 615-226-3667
49
CENTURA WEALTH ADVISORY — notice-filed in OH, TN. IAPD ↗
$1.20B RAUM · 19 reps · 858-771-9500
49
GREAT DIAMOND PARTNERS, LLC — notice-filed in CA, NC, WA. IAPD ↗
$804.1M RAUM · 7 reps · 207-274-2500
49
KERA CAPITAL PARTNERS — notice-filed in HI, NV. IAPD ↗
$1.36B RAUM · 8 reps · 408-668-2201
49
QUOTIENT WEALTH PARTNERS, LLC — notice-filed in IL, MI. IAPD ↗
$4.91B RAUM · 29 reps · (469) 912-2522
49
WAVVEST WEALTH — notice-filed in FL, IN, TX. IAPD ↗
$339.9M RAUM · 5 reps · 630-699-8602
49
PIEDMONT WEALTH ADVISORY — notice-filed in NH, OH, TX. IAPD ↗
$353.7M RAUM · 3 reps · (571) 313-5125 · piedmontwealthadvisory.com
49
MERAMEC FINANCIAL PLANNERS, LLC — notice-filed in NH, TX. IAPD ↗
$1.13B RAUM · 7 reps · 314-579-3295
49
BEACON COAST PARTNERS, LLC — notice-filed in NH, TX. IAPD ↗
$2.28B RAUM · 4 reps · (415) 426-7520 · beaconcoastpartners.com
48
RETIREMITTEN FINANCIAL LLC — notice-filed in NJ, OR, VA, WI. IAPD ↗
$213.8M RAUM · 4 reps · 248-935-0470 · retiremitten.com
48
DOMAIN MONEY ADVISORS, LLC — notice-filed in AL, AR, ME, NM. IAPD ↗
$43.3M RAUM · 14 reps · 646-970-6926 · reddit.com
48
WHALE — notice-filed in AL, HI, MS, RI. IAPD ↗
$2.5M RAUM · 2 reps · 8884887104 · getwhale.co
48
PENSERRA WEALTH MANAGEMENT — notice-filed in FL, MA, PA, TX. IAPD ↗
$2.5M RAUM · 1 reps · 4157179276 · penserrawealth.com
47
A.G.P / ALLIANCE GLOBAL PARTNERS — notice-filed in VI. IAPD ↗
$2.95B RAUM · 144 reps · 800-727-7922 · agplowcountry.com
47
NBT CAPITAL MANAGEMENT, INC. — notice-filed in AZ. IAPD ↗
$1.61B RAUM · 6 reps · 607-584-4141 · clevelandhauswirth.com
47
BALDWIN WEALTH PARTNERS, LLC — notice-filed in CO. IAPD ↗
$2.33B RAUM · 14 reps · (508) 748-0800 · baldwinbrothersinc.com
47
THE HARBOR GROUP, INC. — notice-filed in CO. IAPD ↗
$2.00B RAUM · 9 reps · 603-668-0634
47
EAGLE CAPITAL MANAGEMENT LLC — notice-filed in SD. IAPD ↗
$35.80B RAUM · 12 reps · 212-293-4040 · eaglecap.com
47
JNBA FINANCIAL ADVISORS, LLC — notice-filed in NC. IAPD ↗
$2.01B RAUM · 31 reps · 952-844-0995
47
CONNORS INVESTOR SERVICES INC — notice-filed in WA. IAPD ↗
$1.28B RAUM · 10 reps · 610-376-7418
47
EAGLE GLOBAL ADVISORS LLC — notice-filed in AL. IAPD ↗
$3.10B RAUM · 11 reps · 713-952-3550
47
EUBEL BRADY & SUTTMAN — notice-filed in CO. IAPD ↗
$2.07B RAUM · 23 reps · 937-291-1223
47
AFFINITY INVESTMENT ADVISORS, LLC — notice-filed in NV. IAPD ↗
$1.16B RAUM · 4 reps · 949-660-6373
47
KNIGHTSBRIDGE WEALTH MANAGEMENT — notice-filed in NH. IAPD ↗
$1.12B RAUM · 10 reps · 949-644-4444 · knightsb.com
47
CICCARELLI ADVISORY SERVICES INC — notice-filed in NE. IAPD ↗
$1.59B RAUM · 13 reps · 239-262-6577
47
ARBOR INVESTMENT ADVISORS — notice-filed in PA. IAPD ↗
$1.29B RAUM · 4 reps · 336-777-1677 · arborinvest.com
47
TOLLESON PRIVATE WEALTH MANAGEMENT — notice-filed in TN. IAPD ↗
$9.26B RAUM · 73 reps · 214-252-3250
47
MCMORGAN & COMPANY LLC — notice-filed in FL. IAPD ↗
$7.61B RAUM · 14 reps · 415-788-9300 · mcmorgan.com
47
FOCUS FINANCIAL — notice-filed in HI. IAPD ↗
$6.82B RAUM · 114 reps · 651-631-8166 · focusfinancial.com
47
KANAWHA CAPITAL MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
$1.84B RAUM · 4 reps · 804-359-3900 · kancap.com
47
PINKERTON WEALTH PARTNERS — notice-filed in GA. IAPD ↗
$1.44B RAUM · 16 reps · 800-634-2008 · woottonfinancial.com
47
SAXONY CAPITAL MANAGEMENT, LLC — notice-filed in MD, VA. IAPD ↗
$367.9M RAUM · 0 reps · 314-963-9336
47
THOMPSON INVESTMENT MANAGEMENT, INC. — notice-filed in AZ. IAPD ↗
$3.08B RAUM · 6 reps · 608-827-5700 · thompsonim.com
47
WATERLOO CAPITAL — notice-filed in VA. IAPD ↗
$2.26B RAUM · 44 reps · 512-777-5900 · hapinvestments.com
47
IFRAH FINANCIAL SERVICES, INC. — notice-filed in NE, NY. IAPD ↗
$489.1M RAUM · 9 reps · 501-821-7733 · ifrahfinancial.com
47
CORNERSTONE ADVISORY — notice-filed in SD. IAPD ↗
$2.25B RAUM · 9 reps · 410-468-1693 · cornerstoneadvisory.com
47
ARGOS WEALTH ADVISORS LLC — notice-filed in AZ. IAPD ↗
$1.04B RAUM · 10 reps · 707-633-9063 · argoswealth.com
47
AVIANCE CAPITAL PARTNERS LLC — notice-filed in CO. IAPD ↗
$1.13B RAUM · 6 reps · 239-598-4747
47
ALPHA OMEGA WEALTH MANAGEMENT, LLC — notice-filed in IL. IAPD ↗
$1.02B RAUM · 9 reps · 804-955-1600
47
FINANCIAL PLANNING HAWAII, INC. — notice-filed in CA, NY. IAPD ↗
$382.4M RAUM · 3 reps · 808-564-0654
47
MATISSE CAPITAL — notice-filed in TX. IAPD ↗
$1.63B RAUM · 10 reps · 503-210-3000
47
MODERA WEALTH MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
$17.68B RAUM · 106 reps · (201) 768-4600 · moderawealth.com
47
ASPEN GROVE CAPITAL, LLC — notice-filed in NY. IAPD ↗
$6.67B RAUM · 12 reps · 970-688-4188 · aspengrovellc.com
47
NOVEM GROUP — notice-filed in MO. IAPD ↗
$1.72B RAUM · 50 reps · 585-348-9525 · novemgroup.com
47
CAPSTONE INVESTMENT GROUP — notice-filed in FL, NC. IAPD ↗
$342.7M RAUM · 8 reps · 360-570-9888 · wisdomanddiscipline.com
47
TVAMP, LLC — notice-filed in UT. IAPD ↗
$1.19B RAUM · 24 reps · 865-226-9982
47
COMPASS ION ADVISORS, LLC — notice-filed in CO. IAPD ↗
$1.59B RAUM · 15 reps · (610) 228-2200 · ionadv.com
47
RIVER WEALTH ADVISORS LLC — notice-filed in LA. IAPD ↗
$1.47B RAUM · 9 reps · 717-888-9830
47
MIRAMONTES CAPITAL, LLC — notice-filed in GA, OR. IAPD ↗
$396.9M RAUM · 8 reps · 1-800-460-1595
47
HILLTOP WEALTH ADVISORS, LLC — notice-filed in CA, MA. IAPD ↗
$635.5M RAUM · 11 reps · (919) 401-1500
47
BOGART WEALTH, LLC — notice-filed in CO. IAPD ↗
$3.19B RAUM · 29 reps · (703) 570-8651
47
ONE DAY IN JULY LLC — notice-filed in NC. IAPD ↗
$1.36B RAUM · 13 reps · (802) 503-8280
47
ISTO ADVISORS, LLC — notice-filed in MN. IAPD ↗
$1.06B RAUM · 19 reps · 248-458-1100 · istoadvisors.com
47
GRYPHON FINANCIAL PARTNERS — notice-filed in NH. IAPD ↗
$2.44B RAUM · 15 reps · 614-929-2880
47
BRIO FINANCIAL GROUP — notice-filed in MA. IAPD ↗
$1.06B RAUM · 13 reps · 415-623-2450 · briofg.com
47
ROBERTSON STEPHENS — notice-filed in WI. IAPD ↗
$8.76B RAUM · 67 reps · 415-500-6810
47
CAPITA FINANCIAL NETWORK, LLC — notice-filed in KS. IAPD ↗
$2.32B RAUM · 22 reps · 801-566-5058 · capitafinancial.com
47
AARON WEALTH ADVISORS — notice-filed in FL. IAPD ↗
$4.29B RAUM · 9 reps · 312-506-5780 · aaronwealth.com
47
CATALYST FINANCIAL PARTNERS — notice-filed in IL. IAPD ↗
$1.72B RAUM · 6 reps · 617-239-8101
47
BURKHOLDER WEALTH MANAGEMENT — notice-filed in CO, KS. IAPD ↗
$379.9M RAUM · 6 reps · 918-727-7100
47
THE AMERIFLEX GROUP — notice-filed in AL. IAPD ↗
$9.66B RAUM · 181 reps · (702) 987-9730 · ameriflex.com
47
PLATFORM TECHNOLOGY PARTNERS — notice-filed in MA. IAPD ↗
$1.23B RAUM · 9 reps · 212-444-2362 · neprivatewealth.com
47
MADISON PARTNERS — notice-filed in VA. IAPD ↗
$1.30B RAUM · 17 reps · 608-210-1021 · themadisonpartners.com
47
FORTIS CAPITAL ADVISORS, LLC — notice-filed in ID. IAPD ↗
$1.62B RAUM · 57 reps · (913) 222-8862 · fortiscapitaladvisors.com
47
COGENTBLUE — notice-filed in MA, TX. IAPD ↗
$606.0M RAUM · 4 reps · 865-309-5892 · cogentbluewealth.com
47
IMPERIAL FUND ASSET MANAGEMENT LLC — notice-filed in TX. IAPD ↗
$6.84B RAUM · 2 reps · (855) 226-5200
47
SOLLINDA CAPITAL MANAGEMENT LLC — notice-filed in MN. IAPD ↗
$1.02B RAUM · 15 reps · 8446621211
47
EVERPAR ADVISORS LLC — notice-filed in CO, FL. IAPD ↗
$587.8M RAUM · 9 reps · 918-221-9290
47
SYKON CAPITAL LLC — notice-filed in LA, NH. IAPD ↗
$350.1M RAUM · 6 reps · 914-898-3694 · sykoncapital.com
47
BBVA GLOBAL WEALTH ADVISORS, INC. — notice-filed in NJ. IAPD ↗
$1.36B RAUM · 39 reps · 3052057752 · bbvaglobalwealthadvisors.com
47
SOVRAN ADVISORS, LLC — notice-filed in DC. IAPD ↗
$1.87B RAUM · 60 reps · 619-281-9890
47
PARR MCKNIGHT WEALTH MANAGEMENT GROUP — notice-filed in NY. IAPD ↗
$1.07B RAUM · 10 reps · 612-324-0240 · parrmcknightwmg.com
47
PCM ENCORE, LLC — notice-filed in MA. IAPD ↗
$2.05B RAUM · 9 reps · 425-214-1755 · encoreinvestment.com
47
CROWNSTONE ADVISORY & INVESTMENT CORP — notice-filed in NY. IAPD ↗
$3.00B RAUM · 1 reps · 858-444-5933 · crownstoneinvestmentadvisory.com
47
INTENTGEN FINANCIAL PARTNERS — notice-filed in AL, IA. IAPD ↗
$756.6M RAUM · 6 reps · 630-821-6990 · intentgen.com
46
HOLISTIC FINANCE LLC — notice-filed in IL, MA, TN. IAPD ↗
$14.2M RAUM · 3 reps · 808-746-7774 · holisticfinance.com
46
SANDLOT PRIVATE WEALTH LLC — notice-filed in CO, CT, TX. IAPD ↗
$305,047 RAUM · 3 reps · 801 428 7744 · sandlotwealth.com
46
BISON WEALTH MANAGEMENT, LLC — notice-filed in NY, TX, VA. IAPD ↗
$131.0M RAUM · 3 reps · 216-270-4425 · bisonllc.com
46
DVB PRIVATE WEALTH — notice-filed in FL, LA, MD. IAPD ↗
$225.7M RAUM · 4 reps · 7176526901
45
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM — notice-filed in UT. IAPD ↗
$300.0M RAUM · 6 reps · 509-747-9144 · alliantsecurities.com
45
ALLIANCE ADVISORY & SECURITIES, LLC — notice-filed in NE. IAPD ↗
$687.4M RAUM · 14 reps · 805-371-8020 · aewealth.com
45
B.B. GRAHAM & COMPANY, INC. — notice-filed in AR. IAPD ↗
$321.7M RAUM · 32 reps · (714) 628-5200 · bbgraham.com
45
CLAYTON WEALTH PARTNERS — notice-filed in TN. IAPD ↗
$909.8M RAUM · 8 reps · 785-232-3266
45
MENDEL MONEY MANAGEMENT INC — notice-filed in CO. IAPD ↗
$317.1M RAUM · 4 reps · (847) 564-0970
45
CORNERSTONE WEALTH MANAGEMENT — notice-filed in IL. IAPD ↗
$628.7M RAUM · 4 reps · 440-899-4000 · fee-onlyadvisor.com
45
SEAMOUNT FINANCIAL GROUP INC — notice-filed in NC. IAPD ↗
$745.2M RAUM · 6 reps · 719-471-1171 · seamountfinancial.com
45
MEIRA WEALTH — notice-filed in CO. IAPD ↗
$317.8M RAUM · 5 reps · 305-670-4440 · meirawealth.com
45
STERLING FINANCIAL PLANNING INC — notice-filed in CO. IAPD ↗
$760.8M RAUM · 8 reps · 973-729-1234 · sterlingadvice.com
45
FERGUSON-JOHNSON WEALTH MANAGEMENT, INC. — notice-filed in NC. IAPD ↗
$316.4M RAUM · 2 reps · 301-670-0994 · mymoneymanager.com
45
THE KARRAS COMPANY, INC. — notice-filed in NE. IAPD ↗
$372.9M RAUM · 4 reps · 801-825-3000 · thekarrascompany.com
45
NOESIS CAPITAL MANAGEMENT CORP — notice-filed in DC. IAPD ↗
$876.9M RAUM · 7 reps · 561-999-9888
45
ABBOT FINANCIAL MANAGEMENT, INC — notice-filed in TX. IAPD ↗
$358.9M RAUM · 3 reps · (978) 688-9010 · abbotfm.com
45
DEW WEALTH MANAGEMENT — notice-filed in OH. IAPD ↗
$464.7M RAUM · 24 reps · 480-614-9119
45
BENEDICT FINANCIAL ADVISORS, INC. — notice-filed in NE. IAPD ↗
$529.4M RAUM · 5 reps · 770-671-8228
45
LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C. — notice-filed in SC. IAPD ↗
$958.1M RAUM · 9 reps · 509-972-3686
45
SNIDER FINANCIAL GROUP — notice-filed in MI. IAPD ↗
$549.7M RAUM · 8 reps · 425-453-7080
45
COX CAPITAL MANAGEMENT LLC — notice-filed in NJ. IAPD ↗
$361.0M RAUM · 4 reps · 978-475-3325
45
EAGLECLAW CAPITAL MANAGEMENT LLC — notice-filed in IL. IAPD ↗
$896.2M RAUM · 5 reps · 617-314-0213 · eagleclawcapital.com
45
ALLODIUM INVESTMENT CONSULTANTS, LLC — notice-filed in IL. IAPD ↗
$576.8M RAUM · 4 reps · 612-230-3700 · allodium.com
45
LIGHTHOUSE FINANCIAL — notice-filed in TX. IAPD ↗
$755.6M RAUM · 1 reps · 727-490-5797 · lighthousefinancial.info
45
5TH STREET ADVISORS, LLC — notice-filed in NC. IAPD ↗
$524.5M RAUM · 5 reps · 203-327-1212 · 5thstreetadvisors.com
45
HENRICKSON NAUTA WEALTH ADVISORS, INC. — notice-filed in CO. IAPD ↗
$998.5M RAUM · 10 reps · 616-361-9308 · hnwealthadvisors.com
45
PATHWAYS ADVISORY GROUP, INC. — notice-filed in WA. IAPD ↗
$388.5M RAUM · 5 reps · 559-431-4700
45
PARKER FINANCIAL LLC — notice-filed in OR. IAPD ↗
$272.0M RAUM · 3 reps · 360-337-2701
45
ARCHER INVESTMENT MANAGEMENT — notice-filed in LA. IAPD ↗
$370.8M RAUM · 4 reps · (512) 887-8651 · archerim.com
45
THE ITHAKA GROUP, LLC — notice-filed in CO. IAPD ↗
$572.1M RAUM · 4 reps · 240-395-5000 · ithakagroup.com
45
MEMBERS ADVISORY GROUP, LLC — notice-filed in CO. IAPD ↗
$443.2M RAUM · 4 reps · (716) 632-4066 · membersadvgrp.com
45
LIFESTEPS FINANCIAL — notice-filed in AZ. IAPD ↗
$442.7M RAUM · 3 reps · 909-267-3770
45
KIKER WEALTH MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
$395.1M RAUM · 4 reps · 706-253-7285 · kikerwealth.com
45
CORE PLANNING — notice-filed in VI. IAPD ↗
$525.0M RAUM · 61 reps · 636-734-7507 · flamesfp.com
45
DB & C ADVISORS, LLC — notice-filed in FL. IAPD ↗
$252.2M RAUM · 9 reps · 616-355-3455 · dbc-advisors.com
45
CLARITY WEALTH ADVISORS — notice-filed in NY. IAPD ↗
$732.9M RAUM · 2 reps · 408-560-3220 · claritywealthadvisors.com
45
BLACKHAWK CAPITAL PARTNERS, LLC — notice-filed in NE. IAPD ↗
$452.0M RAUM · 6 reps · 262-242-4487
45
MRAZ AND ASSOCIATES — notice-filed in OR. IAPD ↗
$917.5M RAUM · 5 reps · (209) 593-5870 · mrazandassociates.com
45
LANDMARK WEALTH MANAGEMENT, LLC — notice-filed in NJ. IAPD ↗
$442.0M RAUM · 6 reps · 888-342-6436
45
HILEY HUNT WEALTH MANAGEMENT, INC. — notice-filed in NH. IAPD ↗
$289.6M RAUM · 3 reps · 402-504-9347
45
THE RETIREMENT GUYS FORMULA — notice-filed in NE. IAPD ↗
$276.9M RAUM · 7 reps · 419-842-0550
45
MD FINANCIAL ADVISORS / VESTMENT FINANCIAL — notice-filed in CO. IAPD ↗
$304.3M RAUM · 11 reps · (888) 256-6855 · music.amazon.com
45
ONE DEGREE ADVISORS, INC. — notice-filed in VA. IAPD ↗
$489.0M RAUM · 6 reps · 619-282-3288
45
WRENNE FINANCIAL PLANNING LLC — notice-filed in SC. IAPD ↗
$297.9M RAUM · 6 reps · 859-538-6044
45
RUEDI WEALTH MANAGEMENT, INC. — notice-filed in MA. IAPD ↗
$498.0M RAUM · 5 reps · 217-356-1400
45
LONG ISLAND WEALTH MANAGEMENT, INC. — notice-filed in AZ. IAPD ↗
$291.7M RAUM · 1 reps · 516-238-7629 · liwealth.com
45
SAGE PRIVATE WEALTH GROUP, LLC — notice-filed in TN. IAPD ↗
$440.8M RAUM · 3 reps · 630-933-0000
45
RUBICON ADVISORS — notice-filed in RI. IAPD ↗
$420.7M RAUM · 19 reps · 530-223-5357
45
THE MAIN STREET GROUP — notice-filed in DE. IAPD ↗
$515.3M RAUM · 8 reps · 804-270-4470 · themainstreetgroup.com
45
KINETIC INVESTMENT MANAGEMENT, INC. — notice-filed in SC. IAPD ↗
$450.9M RAUM · 31 reps · (800) 711-4818 · kineticfinancial.com
45
LIFEGUIDE FINANCIAL ADVISORS, LLC — notice-filed in NC. IAPD ↗
$562.9M RAUM · 16 reps · (717) 796-1700 · lifeplan.lifeguidefa.com
45
CROSS FINANCIAL ADVISORS — notice-filed in NJ. IAPD ↗
$481.8M RAUM · 11 reps · (503) 430-0563 · crossfinancialmgmt.com
45
ASTORIA PORTFOLIO ADVISORS LLC — notice-filed in WA. IAPD ↗
$977.6M RAUM · 9 reps · 212-381-6185
45
ALTIORA FINANCIAL GROUP, LLC — notice-filed in CO. IAPD ↗
$981.7M RAUM · 1 reps · 513-652-5776 · altiora.com
45
BROOKLYN FI, LLC — notice-filed in DE. IAPD ↗
$563.1M RAUM · 10 reps · (332) 296-1660
45
VAN CLEMENS WEALTH MANAGEMENT, LLC — notice-filed in NJ. IAPD ↗
$470.4M RAUM · 24 reps · 612-758-9140 · vanclemens.com
45
FIRST NEBRASKA FINANCIAL SERVICES — notice-filed in NH. IAPD ↗
$458.0M RAUM · 3 reps · (308) 534-1322 · firstnebraskafinancial.com
45
GAMMA ASSET MANAGEMENT LLC — notice-filed in CA. IAPD ↗
$424.8M RAUM · 8 reps · 787-957-3260 · gammaam.com
45
ECIO, INC. — notice-filed in LA. IAPD ↗
$395.6M RAUM · 4 reps · 608-291-4646
45
GETTINGS BUSCH WEALTH MANAGEMENT — notice-filed in CO. IAPD ↗
$541.5M RAUM · 8 reps · 765-742-7366
45
RIDGELINE WEALTH PLANNING LLC — notice-filed in SC. IAPD ↗
$259.6M RAUM · 5 reps · (937)-739-3744 · ridgelinewealthplanning.com
45
ADVISOR SHARE WEALTH MANAGEMENT, LLC — notice-filed in NM. IAPD ↗
$376.9M RAUM · 41 reps · 866-232-3251 · advisorsharewm.com
45
PEAK RETIREMENT PLANNING, INC. — notice-filed in KY. IAPD ↗
$631.0M RAUM · 16 reps · (614) 500-4121
45
ALPHA ZERO LLC — notice-filed in IN. IAPD ↗
$269.8M RAUM · 10 reps · (561) 576-2599 · alphazerowealth.com
45
GUTIERREZ WEALTH ADVISORY, LLC — notice-filed in NY. IAPD ↗
$329.3M RAUM · 4 reps · (501) 451-6900
45
BEACON BRIDGE WEALTH PARTNERS, LLC — notice-filed in SC. IAPD ↗
$426.6M RAUM · 6 reps · 484-533-6600
45
OCTOGONE NA — notice-filed in TX. IAPD ↗
$469.7M RAUM · 3 reps · 305-677-9559 · octogone.ch
45
TWIN PEAKS WEALTH ADVISORS — notice-filed in IL. IAPD ↗
$584.8M RAUM · 9 reps · (650) 200-0308
45
ROCKLINE WEALTH MANAGEMENT LLC — notice-filed in PA. IAPD ↗
$749.6M RAUM · 4 reps · 516-605-1624
45
PRECEDENT WEALTH PARTNERS, LLC — notice-filed in LA. IAPD ↗
$685.0M RAUM · 5 reps · (713)244-6450 · precedentwealth.com
45
KICKSTAND WEALTH ADVISORS — notice-filed in WA. IAPD ↗
$633.5M RAUM · 5 reps · 585-382-8600
45
SIGNATURE EQUITY PARTNERS, LLC — notice-filed in NH. IAPD ↗
$688.1M RAUM · 32 reps · 614-846-6000 · midwestretirementconsultants.net
45
TIDEMARK, LLC — notice-filed in NE. IAPD ↗
$462.5M RAUM · 8 reps · 888-791-0197 · tidemarkfp.com
45
VISTA INVESTMENT PARTNERS — notice-filed in LA. IAPD ↗
$383.1M RAUM · 6 reps · 765-962-5153 · vistainvestment.net
45
ONE WEALTH CAPITAL MANAGEMENT, LLC — notice-filed in WI. IAPD ↗
$306.8M RAUM · 5 reps · 855-663-9584
45
MOREY & QUINN WEALTH PARTNERS — notice-filed in CO. IAPD ↗
$373.4M RAUM · 3 reps · (402) 502-9900
45
ARENA PRIVATE WEALTH — notice-filed in NC. IAPD ↗
$404.7M RAUM · 8 reps · 312-798-9045
45
STONE TEMPLE PARTNERS LLC — notice-filed in TN. IAPD ↗
$668.7M RAUM · 8 reps · (203) 253-1823 · stpartners.co
45
LRZ CAPITAL LLC — notice-filed in CA. IAPD ↗
$500.8M RAUM · 4 reps · 305-615-0215 · lrzcapital.com
45
SANTA BARBARA MANAGEMENT — notice-filed in CO. IAPD ↗
$530.2M RAUM · 17 reps · 734-604-9891
45
WARNER WEALTH — notice-filed in GA. IAPD ↗
$458.5M RAUM · 7 reps · 203-929-2727
45
NERDWALLET WEALTH PARTNERS, LLC — notice-filed in IN. IAPD ↗
$262.8M RAUM · 11 reps · 917-275-7821
45
BLUE HORIZON EQUITY, INC. — notice-filed in IN. IAPD ↗
$745.9M RAUM · 45 reps · 1 585 641 7900 · abelwealthmanagement.com
45
BROADSIDE WEALTH — notice-filed in NY. IAPD ↗
$874.5M RAUM · 4 reps · 628-218-5315
44
APPLIED CAPITAL — notice-filed in NJ, WI. IAPD ↗
$157.4M RAUM · 2 reps · 561-690-9955 · appliedcapitalllc.com
44
FINANCIAL ACTION, INC. — notice-filed in AZ, NE. IAPD ↗
$100.3M RAUM · 4 reps · 719-357-7189 · faiinv.com
44
ABRIDGE PARTNERS, LLC — notice-filed in CA, LA. IAPD ↗
$124.0M RAUM · 2 reps · (601) 718-0000 · abridgepartners.com
44
A4 WEALTH ADVISORS LLC — notice-filed in CA, PA. IAPD ↗
$213.7M RAUM · 7 reps · 704-509-1141 · a4cfp.com
44
SIMPLYRIA ADVISOR NETWORK — notice-filed in MS, OH. IAPD ↗
$214.9M RAUM · 25 reps · 810-355-1325 · simplyria.com
44
HIPPOCRATIC FINANCIAL ADVISORS — notice-filed in OR, VT. IAPD ↗
$229.0M RAUM · 5 reps · 866-447-2380 · hippocratic.com
44
GUIDE ADVISORS, INC. — notice-filed in MA, NC. IAPD ↗
$0 RAUM · 5 reps · 206-486-2477
44
SEAGULL LANE ASSET MANAGEMENT LLC — notice-filed in AZ, TX. IAPD ↗
$207.9M RAUM · 2 reps · 714-960-2316 · bairdwalker.com
44
PLAN CONFIDENCE CORPORATION — notice-filed in MD, SC. IAPD ↗
$0 RAUM · 1 reps · 312-373-0772
44
SKYBOUND WEALTH USA — notice-filed in MO, NE. IAPD ↗
$166.5M RAUM · 12 reps · 1-346-845-0001
44
DBA BIG MONEY RETIREMENT AND BIG RETIREMENT — notice-filed in FL, TN. IAPD ↗
$147.1M RAUM · 10 reps · 864-920-3155 · bigmoneyretirement.com
44
TAILWINDS WEALTH, LLC — notice-filed in TN, WI. IAPD ↗
$192.7M RAUM · 7 reps · 651-243-0535 · tailwindswealth.com
44
BLUE BEAR FINANCIAL, LLC — notice-filed in CA, TX. IAPD ↗
$147.4M RAUM · 3 reps · 843-654-1377
44
WALDO.AI, INC. — notice-filed in CA, FL. IAPD ↗
$0 RAUM · 2 reps · 203 722 5218 · waldo.finance
44
ENDURING WEALTH MANAGEMENT, LLC — notice-filed in LA, TX. IAPD ↗
$205.0M RAUM · 1 reps · 208-409-0147 · enduringwealthmanagement.com
44
TELOS PARTNERS LLC — notice-filed in NY, SC. IAPD ↗
$139.5M RAUM · 4 reps · (646)907-9424 · teloswealthpartners.com
42
BENJAMIN SECURITIES, INC. — notice-filed in TX. IAPD ↗
$39.5M RAUM · 3 reps · 516-931-1090 · benjaminsecurities.com
42
INDEPENDENCE CAPITAL CO., INC. — notice-filed in NV. IAPD ↗
$118.7M RAUM · 25 reps · 440-888-7000 · indcap.com
42
ST. LOUIS FINANCIAL PLANNERS ASSET MANAGEMENT, LLC — notice-filed in TN. IAPD ↗
$234.0M RAUM · 2 reps · 636-532-3900
42
KELLEY INVESTMENTS — notice-filed in IA. IAPD ↗
$238.0M RAUM · 3 reps · 858-350-1010 · kelleyinvestments.com
42
STRICKLAND DAVIS ADVISORS LLC — notice-filed in TX. IAPD ↗
$121.3M RAUM · 3 reps · 770-977-6892
42
MINERVA PLANNING GROUP — notice-filed in OH. IAPD ↗
$236.9M RAUM · 4 reps · 404-816-6688
42
DRAWBRIDGE CAPITAL — notice-filed in VA. IAPD ↗
$224.6M RAUM · 6 reps · 918-493-4190 · drawbridge.capital
42
FINANCIAL LEGACY MANAGEMENT, NC. — notice-filed in LA. IAPD ↗
$153.1M RAUM · 2 reps · 501-224-7526 · financiallegacymanagement.com
42
QUANTUM FINANCIAL PARTNERS LLC — notice-filed in CO. IAPD ↗
$148.6M RAUM · 7 reps · 913-538-5753 · quantumfinancialpartners.com
42
THE ADVISORY FIRM — notice-filed in TX. IAPD ↗
$126.4M RAUM · 1 reps · 678-566-3711 · theadvisoryfirm.net
42
FOREST ASSET MANAGEMENT LLC — notice-filed in FL. IAPD ↗
$230.7M RAUM · 3 reps · 708-447-7086
42
PEAK AMERICAN INVESTMENT ADVISORS, INC. — notice-filed in LA. IAPD ↗
$162.1M RAUM · 10 reps · 972-212-9292
42
BLUE SKY INVESTMENT PARTNERS, INC. — notice-filed in TX. IAPD ↗
$118.0M RAUM · 1 reps · 847-864-5070 · blueskyinvestments.net
42
INNOVATIVE ADVISORY GROUP — notice-filed in TN. IAPD ↗
$194.0M RAUM · 8 reps · 781-577-2782
42
ELE ADVISORY SERVICES, INC — notice-filed in MT. IAPD ↗
$136.5M RAUM · 13 reps · 248-356-6555 · elewealth.com
42
GOUWS CAPITAL LLC — notice-filed in VA. IAPD ↗
$209.9M RAUM · 2 reps · 704-944-3233 · gouwscapital.com
42
OCTOBER WEALTH ADVISORS, INC — notice-filed in CO. IAPD ↗
$141.6M RAUM · 2 reps · 479-452-0996 · octwealth.com
42
HAPPINESS IN RETIREMENT — notice-filed in CT. IAPD ↗
$192.5M RAUM · 5 reps · 518-793-3851
42
SIMA WEALTH PARTNERS, LLC — notice-filed in TX. IAPD ↗
$156.7M RAUM · 4 reps · 804-285-5700 · simafinancialgroup.com
42
TRUADVISORS — notice-filed in MA. IAPD ↗
$132.7M RAUM · 4 reps · (813) 212-4000 · truadvisors.com
42
ATWATER WEALTH MANAGEMENT, INC. — notice-filed in TX. IAPD ↗
$248.2M RAUM · 2 reps · 617-723-1439 · atwaterwealth.com
42
CITY CENTER ADVISORS, LLC — notice-filed in OK. IAPD ↗
$187.1M RAUM · 7 reps · 888-267-1321
42
TRADEMARK CAPITAL MANAGEMENT INC. — notice-filed in AZ. IAPD ↗
$150.8M RAUM · 4 reps · 706-534-2351
42
EDEN ADVISORY SERVICES, LLC — notice-filed in FL. IAPD ↗
$27.8M RAUM · 3 reps · (518) 203-8833 · edenasc.com
42
BRAVE EAGLE WEALTH MANAGEMENT — notice-filed in FL. IAPD ↗
$101.0M RAUM · 1 reps · 212-918-4746 · braveeaglewealth.com
42
VENTURE FORTH FINANCIAL — notice-filed in NH. IAPD ↗
$105.0M RAUM · 1 reps · 415-308-8438 · ventureforthfinancial.com
42
ENCOMPASS ADVISORY SERVICES, LLC — notice-filed in IL. IAPD ↗
$121.3M RAUM · 7 reps · 281-371-6300
42
SAS FINANCIAL ADVISORS, LLC. — notice-filed in NY. IAPD ↗
$167.0M RAUM · 5 reps · 415-277-5955 · sasadvisors.com
42
ELEVATE CAPITAL ADVISORS — notice-filed in NJ. IAPD ↗
$183.3M RAUM · 5 reps · 970-328-7526
42
CMG FINANCIAL CONSULTING — notice-filed in SC. IAPD ↗
$149.6M RAUM · 2 reps · (877) 695-8004
42
COLUMBIA RIVER FINANCIAL GROUP — notice-filed in FL. IAPD ↗
$194.8M RAUM · 4 reps · 3603353350
42
PROSPERO WEALTH, LLC — notice-filed in NJ. IAPD ↗
$110.6M RAUM · 7 reps · 971-716-1991
42
TRAILS EDGE WEALTH ADVISERS, LLC — notice-filed in NC. IAPD ↗
$153.7M RAUM · 1 reps · 847-682-0105 · trailswealth.com.
42
KENNONDALE CAPITAL MANAGEMENT — notice-filed in NC. IAPD ↗
$141.9M RAUM · 3 reps · (804) 350-3368 · kennondale.com
42
CB CAPITAL LLC — notice-filed in NH. IAPD ↗
$124.5M RAUM · 1 reps · (401) 768-3361 · cbcapitalllc.com
42
ABUNDO WEALTH — notice-filed in SC. IAPD ↗
$0 RAUM · 13 reps · 612-502-5806
42
GUIDED CAPITAL WEALTH MANAGEMENT, LLC — notice-filed in NY. IAPD ↗
$249.2M RAUM · 4 reps · 832-975-0710 · guidedcapitalwealth.com
42
CSP FINANCIAL GROUP LLC — notice-filed in HI. IAPD ↗
$150.6M RAUM · 21 reps · 480-600-9626 · cspfgllc.com
42
ELEMENT SQUARED PRIVATE WEALTH — notice-filed in SC. IAPD ↗
$203.5M RAUM · 6 reps · 612-325-5920 · elementsquared.com
42
FITZWILLIAMS WEALTH MANAGEMENT INC. — notice-filed in TN. IAPD ↗
$123.5M RAUM · 6 reps · 757-961-0700 · fitzwilliamsfinancial.com
42
CROSS BORDER FINANCIAL PLANNING USA LLC — notice-filed in WA. IAPD ↗
$147.2M RAUM · 3 reps · 267-946-1099
42
WHARTON WEALTH PLANNING, LLC — notice-filed in NJ. IAPD ↗
$36.9M RAUM · 1 reps · 646-450-7021 · whartonwealthplanning.com
42
WRIGHT WEALTH LLC — notice-filed in NH. IAPD ↗
$188.5M RAUM · 7 reps · 4703731044
42
TRIO WEALTH MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
$134.0M RAUM · 3 reps · (703) 459-9171
42
DBD RETIREMENT AND FINANCIAL SERVICES — notice-filed in PA. IAPD ↗
$133.7M RAUM · 1 reps · 703-791-5955 · dbdfinancial.com
42
NIM WEALTH SOLUTIONS — notice-filed in TX. IAPD ↗
$116.8M RAUM · 4 reps · 888 322 2009 · nimretirementgroup.com
42
ELEVATED PRIVATE WEALTH — notice-filed in TX. IAPD ↗
$122.7M RAUM · 4 reps · 715-797-3358
42
CONNECTIVE WEALTH PARTNERS, LLC — notice-filed in RI. IAPD ↗
$77.6M RAUM · 10 reps · (603) 498-1854 · connectivewealth.ai
42
FREEDOM ASSET MANAGEMENT — notice-filed in TX. IAPD ↗
$142.0M RAUM · 1 reps · 5096066676 · freedomasset.net
42
ALLVET FINANCIAL — notice-filed in NH. IAPD ↗
$1.3M RAUM · 2 reps · (804) 201-4615
42
RIGHTOAK ASSET MANAGEMENT, LLC — notice-filed in OR. IAPD ↗
$111.9M RAUM · 6 reps · 517-306-4884 · revard.money
42
POWERHOUSE FINANCIAL ADVISORS, INC. — notice-filed in CO. IAPD ↗
$108.2M RAUM · 1 reps · 775-266-8867
42
INTERCHANGE ADVISERS LLC — notice-filed in TN. IAPD ↗
$0 RAUM · 4 reps · 855-468-7934 · interchange.com
42
FIDUCIARY CAPITAL MANAGEMENT LLC — notice-filed in VA. IAPD ↗
$149.8M RAUM · 10 reps · 503 515 1313 · fiduciarycm.com
42
ROTHSCHILD FINANCIAL PARTNERS, LLC — notice-filed in AZ. IAPD ↗
$0 RAUM · 2 reps · 630-448-5711
42
CARAZO WEALTH MANAGEMENT — notice-filed in TX. IAPD ↗
$0 RAUM · 2 reps · 504-833-2281 · carazowealth.com
42
EHG WEALTH MANAGEMENT — notice-filed in GA. IAPD ↗
$0 RAUM · 10 reps · 3176232007
42
DITTO & POWERS, LLC — notice-filed in MA. IAPD ↗
$0 RAUM · 1 reps · 410-371-8705
42
HUDSON & ASSOCIATES WEALTH MANAGEMENT LLC — notice-filed in TX. IAPD ↗
$0 RAUM · 1 reps · 918-394-1966
42
COVA PRIVATE WEALTH LLC — notice-filed in FL. IAPD ↗
$0 RAUM · 7 reps · 631-831-9669
42
SOLID STATE WEALTH ADVISORY GROUP — notice-filed in MT. IAPD ↗
$0 RAUM · 1 reps · 8587747947 · solidstatewealthadvisorygroup.com
88
HILCO INVESTMENT ADVISORS, LLC — (NORTHBROOK, IL) is newly SEC-registered with $313.1M RAUM and 44 advisory reps. IAPD ↗institutional
$313.1M RAUM · 44 reps · 847-509-1100
88
FUNDSMITH PARTNERS US LLC — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $435.3M RAUM and 4 advisory reps. IAPD ↗institutional
$435.3M RAUM · 4 reps · 203-594-1863
85
COLLABORATIVE FUND MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $1.84B RAUM and 16 advisory reps. IAPD ↗fund
$1.84B RAUM · 16 reps · 917-275-7559
85
FMAC MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 212-798-6100 · fortress.com
85
FORVM GLOBAL INVESTMENTS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 212-713-1680 EXT 3 · forvmglobal.com
85
BYREFORGE MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 917-439-8781 · byreforge.com
85
CC USA LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 646 649 9323
85
BOARDWALK INVESTMENT GROUP LP — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 305-549-5190 · boardwalkig.com
85
KARE MANAGER HOLDINGS, L.P. — (BOCA RATON, FL) is newly SEC-registered with $19.82B RAUM and 85 advisory reps. IAPD ↗fund
$19.82B RAUM · 85 reps · (561) 300-6200
85
TECHBRIDGE INVESTMENT LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 7077857755
85
OLD MISSION ASSET MANAGEMENT LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $34.13B RAUM and 91 advisory reps. IAPD ↗fund
$34.13B RAUM · 91 reps · 312-260-3038
85
CAMBIAL PARTNERS LP — (NEW YORK, NY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 929-367-0926
85
MILEMARKER INVESTMENT SOLUTIONS, LLC — (LINCOLN, NE) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 402-476-8844
85
INVISCID — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 646-535-0822 · inviscid.capital
85
INTEGRATED MANAGEMENT SYSTEMS CAPITAL MANAGEMENT LLC — (EAST ORANGE, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 852 3611-0130 · imscapitalmanagement.com
85
MFO HEALTHCARE PARTNERS — (BOCA RATON, FL) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 954-289-0987 · mfohealthcarepartners.com
85
SR ABF ADVISORS LP — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 25 advisory reps. IAPD ↗institutional
$0 RAUM · 25 reps · 212-790-0000
85
ARK CAPITAL INVESTMENTS LLC — (ST PETERSBURG, FL) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 727-810-8160
85
NEL MEZZO LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-533-4661
85
ISTARI CAPITAL MANAGEMENT LP — (SANTA MONICA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 424-200-6640
85
MANIFOLD INVESTMENT PARTNERS LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 3125432211 · manifoldpartners.com
85
LORUM ADVISORY LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · +43 676 7658461 · lorum.com
85
LR3 PARTNERS — (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 267-467-5102 · lr3partners.com
85
BLUEROCK ETF ADVISOR, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · (212) 843-1601
85
24A CAPITAL MANAGEMENT LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 713-398-9354 · 24acapital.com
83
COEFFICIENT CAPITAL — (NEW YORK, NY) is newly SEC-registered with $734.6M RAUM and 7 advisory reps. IAPD ↗fund
$734.6M RAUM · 7 reps · 212-653-0046 · coefficientcap.com
83
COMMONWEALTH ASSET MANAGEMENT LP — (LOS ANGELES, CA) is newly SEC-registered with $295.7M RAUM and 3 advisory reps. IAPD ↗fund
$295.7M RAUM · 3 reps · 424-363-0170
83
ISLANDER CAPITAL PARTNERS, L.P. — (SAN FRANCISCO, CA) is newly SEC-registered with $345.0M RAUM and 3 advisory reps. IAPD ↗fund
$345.0M RAUM · 3 reps · 415-636-5470
83
GATSBY MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $921.9M RAUM and 1 advisory reps. IAPD ↗fund
$921.9M RAUM · 1 reps · 818-618-0569 · gatsbyinc.co
83
OLIVE PARTNERS MANAGEMENT — (PALO ALTO, CA) is newly SEC-registered with $465.2M RAUM and 6 advisory reps. IAPD ↗fund
$465.2M RAUM · 6 reps · (650) 665-7252 · olivepartners.co
83
ARC CAPITAL PARTNERS — (LOS ANGELES, CA) is newly SEC-registered with $862.5M RAUM and 12 advisory reps. IAPD ↗fund
$862.5M RAUM · 12 reps · (310) 954-9060 · arccapitalpartners.com
83
MAYBOURNE PARTNERS MANAGEMENT LP — (location n/a) is newly SEC-registered with $500.0M RAUM and 1 advisory reps. IAPD ↗fund
$500.0M RAUM · 1 reps · 469-623-0314
80
FLEXSTONE PARTNERS, LLC — filed an Item 4A succession naming GLOUSTON CAPITAL PARTNERS, LLC (CRD 133792) — one firm absorbed the other. IAPD ↗fund
$7.20B RAUM · 21 reps · 212-703-0300
80
ACUTA CAPITAL PARTNERS, LLC — (REDWOOD CITY, CA) is newly SEC-registered with $172.5M RAUM and 3 advisory reps. IAPD ↗fund
$172.5M RAUM · 3 reps · 650-486-0508 · acutacapital.com
80
RIVONIA ROAD CAPITAL LLC — (SANTA MONICA, CA) is newly SEC-registered with $246.0M RAUM and 8 advisory reps. IAPD ↗fund
$246.0M RAUM · 8 reps · 310-579-0890
80
BLUE ORCA, LLC — (AUSTIN, TX) is newly SEC-registered with $232.2M RAUM and 5 advisory reps. IAPD ↗fund
$232.2M RAUM · 5 reps · 512-934-4736
80
CARLO CAPITAL — (location n/a) is newly SEC-registered with $100.2M RAUM and 1 advisory reps. IAPD ↗fund
$100.2M RAUM · 1 reps · 970-763-8837
75
EURAZEO NORTH AMERICA, INC. — grew from 10 to 32 advisory reps. IAPD ↗institutional
$1.61B RAUM · 32 reps · 2126106060
70
COVALIS CAPITAL LLP — (LONDON, United Kingdom) is newly SEC-registered with $4.79B RAUM and 17 advisory reps. IAPD ↗foreign
$4.79B RAUM · 17 reps · +44 204 520 5285
68
SAGEONE INVESTMENT MANAGERS LLP — (PUNE, India) is newly SEC-registered with $690.9M RAUM and 2 advisory reps. IAPD ↗foreign
$690.9M RAUM · 2 reps · +91 20 69095000
67
FLEXSTONE PARTNERS, LLC — grew from 9 to 21 advisory reps. IAPD ↗fund
$7.20B RAUM · 21 reps · 212-703-0300
65
NWEALTH INC — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 312-940-7874 · nsave.com
65
ARCTOS CAPITAL PARTNERS AG — (ZURICH, Switzerland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 41 78 619 42 29 · arctoscp.com
65
ULLMAN INVESTMENT COUNSEL LLC — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 8 advisory reps. IAPD ↗foreign
$0 RAUM · 8 reps · 877-226-2256 · ullmaninvestmentcounsel.com
65
KYNANCE COVE CAPITAL LLC — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · +44 20 4646 9274
65
LARRAINVIAL US IA LLC — (SANTIAGO, Chile) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗foreign
$0 RAUM · 7 reps · +56223398686
65
NPW USA — (OAKVILLE, ONTARIO, Canada) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗foreign
$0 RAUM · 5 reps · 905.845.9090 · nourprivatewealth.com
65
AWEALTH INTERNATIONAL AG — (ZOLLIKON, ZH, Switzerland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · +41448882005 · awealth-international.com
63
KUTUMB INVESTMENTS LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$250.0M RAUM · 3 reps · 212-970-5590 · kutumbinvestments.com
62
SMBC ASSET MANAGEMENT, INC. — grew from 3 to 10 advisory reps. IAPD ↗institutional
$199.8M RAUM · 10 reps · 212-418-3030
61
CF PRIVATE EQUITY, INC. — grew from 38 to 44 advisory reps. IAPD ↗fund
$17.53B RAUM · 44 reps · 203-563-5000 · cfprivateequity.com
60
CAPITAL RESEARCH COMPANY — grew from 118 to 123 advisory reps. IAPD ↗institutional
$0 RAUM · 123 reps · 213-486-9200 · capitalgroup.com
60
SMBC ASSET MANAGEMENT, INC. — 's provisional registration is now fully approved. IAPD ↗institutional
$199.8M RAUM · 10 reps · 212-418-3030
60
FOURNORTH CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$117.7M RAUM · 2 reps · 215-217-2360
59
MARCYPEN CAPITAL PARTNERS LLC — grew from 13 to 17 advisory reps. IAPD ↗fund
$1.12B RAUM · 17 reps · 424-421-6040 · marcypen.com
58
PARK ROAD PARTNERS LP — 's provisional registration is now fully approved. IAPD ↗fund
$691.3M RAUM · 6 reps · 203-437-0692 · parkrd.com
58
MERAKI CAPITAL PARTNERS LP — 's provisional registration is now fully approved. IAPD ↗fund
$584.5M RAUM · 5 reps · 332-249-4944 · meraki-cap.com
58
ANCIENT MANAGEMENT LP D/B/A ANCIENT — now reports 1 private fund(s) ($187.4M gross). IAPD ↗fund
$838.6M RAUM · 5 reps · 212-813-1610 · ancientlp.com
58
MERAKI CAPITAL PARTNERS LP — now reports 1 private fund(s) ($584.5M gross). IAPD ↗fund
$584.5M RAUM · 5 reps · 332-249-4944 · meraki-cap.com
55
VERECAN CAPITAL MANAGEMENT INC. — crossed $1B in regulatory AUM ($692.7M -> $1.49B). IAPD ↗foreign
$1.49B RAUM · 18 reps · 902-477-4471 · verecan.com
55
IFM INVESTORS PTY LTD — grew from 183 to 277 advisory reps. IAPD ↗foreign
$202.97B RAUM · 277 reps · 61 1300 651 607
55
AMBROSE CAPITAL ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗fund
$228.2M RAUM · 15 reps · 1 317-573-4600 · ambrosepg.com
55
AMBROSE CAPITAL ADVISORS, LLC — now reports 1 private fund(s) ($228.2M gross). IAPD ↗fund
$228.2M RAUM · 15 reps · 1 317-573-4600 · ambrosepg.com
55
AMBER ROAD INVESTORS LP — now reports 1 private fund(s) ($107.0M gross). IAPD ↗fund
$107.0M RAUM · 4 reps · 917-819-5512 · ar-investors.com
53
PEGASUS CAPITAL ADVISORS, L.P. — now reports custody of client assets ($283.5M). IAPD ↗fund
$315.5M RAUM · 7 reps · 203-869-4400
53
MERAKI CAPITAL PARTNERS LP — now reports custody of client assets ($584.5M). IAPD ↗fund
$584.5M RAUM · 5 reps · 332-249-4944 · meraki-cap.com
53
AMBER ROAD INVESTORS LP — grew from 1 to 4 advisory reps. IAPD ↗fund
$107.0M RAUM · 4 reps · 917-819-5512 · ar-investors.com
50
AMBROSE CAPITAL ADVISORS, LLC — now reports custody of client assets ($228.2M). IAPD ↗fund
$228.2M RAUM · 15 reps · 1 317-573-4600 · ambrosepg.com
50
AMBER ROAD INVESTORS LP — now reports custody of client assets ($214.1M). IAPD ↗fund
$107.0M RAUM · 4 reps · 917-819-5512 · ar-investors.com
49
ISAM FUNDS (UK) LIMITED — grew from 44 to 53 advisory reps. IAPD ↗foreign
$5.95B RAUM · 53 reps · 44 207 258 9940 · isam.com
46
ASHMORE INVESTMENT MANAGEMENT LTD — grew from 44 to 50 advisory reps. IAPD ↗foreign
$47.36B RAUM · 50 reps · +44(0)20-3077-6000
46
ANTIPODES PARTNERS LIMITED — grew from 60 to 66 advisory reps. IAPD ↗foreign
$14.63B RAUM · 66 reps · +612 8970 7718
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (135 -> 137). IAPD ↗institutional
$28.99B RAUM · 10 reps · 212-454-4500
45
MML INVESTMENT ADVISERS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (12 -> 14). IAPD ↗institutional
$24.55B RAUM · 11 reps · 413-744-1000
45
COUNTERPOINTE INVESTMENT MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 2 (12 -> 14). IAPD ↗institutional
$1.05B RAUM · 22 reps · 855-431-4400
45
H.A.M.L — now reports 1 private fund(s) ($3.3M gross). IAPD ↗foreign
$9.67B RAUM · 14 reps · 1300 497 374 · hyperion.com.au
44
ABBEY CAPITAL LIMITED — grew from 19 to 23 advisory reps. IAPD ↗foreign
$7.58B RAUM · 23 reps · 00-353-1-8280400
44
UG INVESTMENT ADVISERS LTD. — grew from 12 to 16 advisory reps. IAPD ↗foreign
$3.51B RAUM · 16 reps · 886-9-2042-9057 · ugfunds.com
43
RESOLUTION CAPITAL LIMITED — grew from 15 to 18 advisory reps. IAPD ↗foreign
$8.40B RAUM · 18 reps · 61 2 8258 9188 · rescap.com
43
AUGUST GROUP — now reports 1 private fund(s) ($12.3M gross). IAPD ↗foreign
$740.3M RAUM · 3 reps · 438-792-5161
43
KALEIDO CAPITAL PARTNERS LIMITED — now reports 1 private fund(s) ($47.4M gross). IAPD ↗foreign
$270.0M RAUM · 4 reps · +852-3595-0905 · kaleido-cap.com
42
Q WEALTH USA INC. — grew from 4 to 11 advisory reps. IAPD ↗foreign
$0 RAUM · 11 reps · 1-833-793-2584
40
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 2 (712 -> 714). IAPD ↗institutional
$0 RAUM · 134 reps · 212-250-2500 · db.com
40
INSTITUTIONAL SHAREHOLDER SERVICES INC. — 's Item 11 disclosure-reporting entries rose by 2 (2 -> 4). IAPD ↗institutional
$0 RAUM · 1762 reps · 301-556-0500
40
CAPITAL CLIENT GROUP, INC. — notice-filed in AL, AR, DC, DE, IA, LA, ME, MS, MT, ND, NE, NM, NV, OK, OR, SC, SD, UT, VT, WV, WY. IAPD ↗institutional
$0 RAUM · 693 reps · 213-486-9200 · retirementsolutions.financialtrans.com
40
CHOREO PARTNER ALLIANCE, LLC — notice-filed in AK, AL, AR, AZ, DE, HI, ID, KS, ME, MO, MS, MT, ND, NE, NH, NJ, NM, OH, OK, OR, PR, RI, TN, UT, VI, VT, WY. IAPD ↗institutional
$0 RAUM · 5 reps · 888-312-8467 · choreoadvisors.com
40
RAMP ADVISORY LLC — notice-filed in AK, AL, AR, AZ, CA, 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, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY. IAPD ↗institutional
$0 RAUM · 4 reps · 8552067283 · ramp.com
38
KALEIDO CAPITAL PARTNERS LIMITED — now reports custody of client assets ($47.4M). IAPD ↗foreign
$270.0M RAUM · 4 reps · +852-3595-0905 · kaleido-cap.com
38
EPOCH CAPITAL, US — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗fund
$978.5M RAUM · 6 reps · 347-754-4874
37
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS — notice-filed in IA. IAPD ↗institutional
$40.25B RAUM · 153 reps · 212-850-4260
35
HATTERAS INVESTMENT PARTNERS, LP — 's Item 11 disclosure-reporting entries rose by 1 (7 -> 8). IAPD ↗fund
$114.8M RAUM · 2 reps · 919-846-2324 · hatterasinvestmentpartners.com
35
MONARCH PLAN ADVISORS — notice-filed in PA. IAPD ↗institutional
$792.6M RAUM · 5 reps · (818) 444-0376
35
FIRST LIGHT RETIREMENT, LLC — notice-filed in MN. IAPD ↗institutional
$843.7M RAUM · 2 reps · 858-692-1283 · firstlightretirement.com
35
OPTIMIZED INVESTMENT PARTNERS, LLC — notice-filed in WA. IAPD ↗institutional
$722.0M RAUM · 2 reps · 858-335-1141 · optimizedip.com
35
ASHMORE INVESTMENT MANAGEMENT LTD — began participating in a wrap-fee program. IAPD ↗foreign
$47.36B RAUM · 50 reps · +44(0)20-3077-6000
34
LIGHTHOUSE INVESTMENT PARTNERS, LLC — notice-filed in CT, MD. IAPD ↗fund
$107.45B RAUM · 203 reps · 561-741-0820 · northrockllc.com
32
PBMARES WEALTH MANAGEMENT LLC — notice-filed in VA. IAPD ↗institutional
$0 RAUM · 1 reps · 703-385-8577
32
ARGA INVESTMENT MANAGEMENT, LP — notice-filed in FL. IAPD ↗fund
$24.57B RAUM · 25 reps · 645-229-5501
32
COLUMBIA CAPITAL — notice-filed in CA. IAPD ↗fund
$13.84B RAUM · 25 reps · 703-519-2000 · colcap.com
32
JOHCM (USA) INC — notice-filed in TX. IAPD ↗fund
$8.91B RAUM · 25 reps · 617-993-0701 · johcm.com
32
MARINER WEALTH — notice-filed in MD. IAPD ↗institutional
$0 RAUM · 65 reps · 913-904-5700 · mariner.com
32
STG PARTNERS, LLC — notice-filed in NY. IAPD ↗fund
$13.43B RAUM · 87 reps · 650-935-9500 · stgpartners.com
32
JUSTICE SETTLEMENT CONSULTING INC. — notice-filed in TN. IAPD ↗institutional
$0 RAUM · 1 reps · 925-786-1548
30
COLUMBIA CAPITAL — filed an Item 4A succession naming COLUMBIA CAPITAL (CRD 159616) — an entity change, not a deal. IAPD ↗fund
$13.84B RAUM · 25 reps · 703-519-2000 · colcap.com
30
SYMPHONY TECHNOLOGY GROUP, LLC — notice-filed in NY. IAPD ↗fund
$307.3M RAUM · 88 reps · 650-935-9500
27
WARDROOM PARTNERS — notice-filed in MD. IAPD ↗fund
$205.6M RAUM · 3 reps · 917-691-8007
27
1 MAIN CAPITAL MANAGEMENT, LLC — notice-filed in FL. IAPD ↗fund
$118.7M RAUM · 2 reps · 305-710-8509 · 1maincapital.com
27
BALLAST EQUITY PARTNERS MANAGEMENT COMPANY, LLC — notice-filed in NY. IAPD ↗fund
$111.9M RAUM · 4 reps · 401-484-0675
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 2 (135 -> 137). IAPD ↗foreign
$228.87B RAUM · 80 reps · 49 69 910 12371
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (134 -> 136). IAPD ↗foreign
$1.90B RAUM · 8 reps · 011 612 8258 1234 · dws.com
25
1832 ASSET MANAGEMENT U.S. INC. — 's Item 11 disclosure-reporting entries rose by 1 (17 -> 18). IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986 · jflglobal.com
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (151 -> 153). IAPD ↗foreign
$24.51B RAUM · 89 reps · 44 207 547 5344
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗foreign
$5.10B RAUM · 17 reps · 852-2203-8888 · etf.dws.com
25
BMO NESBITT BURNS SECURITIES LTD. — 's Item 11 disclosure-reporting entries rose by 2 (12 -> 14). IAPD ↗foreign
$1.20B RAUM · 216 reps · 416-624-5509 · uswealth.bmo.com
21
RAYMOND JAMES (USA) LTD — notice-filed in SC, UT, WI. IAPD ↗foreign
$1.99B RAUM · 145 reps · 877-570-7558 · rjlu.com
18
NATWEALTH MANAGEMENT — notice-filed in MI, NJ, PA, TN. IAPD ↗foreign
$115.0M RAUM · 109 reps · 833-946-1589 · nbfwm.ca
17
PRIME QUADRANT — notice-filed in NC, OH. IAPD ↗foreign
$849.3M RAUM · 3 reps · 212-365-7400
17
TAULA CAPITAL MANAGEMENT (US) LLC — notice-filed in VA. IAPD ↗foreign
$210.93B RAUM · 13 reps · 44-20-4570-2067 · taulacapital.com
16
DELTA CAPITAL — notice-filed in CA, FL, TX. IAPD ↗foreign
$11.1M RAUM · 2 reps · 2107990214 · deltacapitalpro.com
12
BLUE3 INVESTMENTS LLC — notice-filed in MD. IAPD ↗foreign
$0 RAUM · 2 reps · +55 11 4858-3040 · blue3investments.com

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.