CRM — November 2024
CRM vendors and the consultants who implement them (Salesforce FSC, Wealthbox, Redtail, Practifi).
354 firms opened this window in the November 2024 SEC roster: 109 new office, 95 new registration, 48 pending approved, 32 headcount up, 32 aum up, 24 rename, 8 planning started, 5 aum crossed 500m, 1 acquisition.
100
PROVENIO CAPITAL — (NEWPORT BEACH, CA) is newly SEC-registered with $1.64B RAUM and 6 advisory reps. IAPD ↗
95
DENALI ADVISORS, LLC — filed an Item 4A succession naming MCKINLEY CAPITAL MANAGEMENT, LLC (CRD 106173) — one firm absorbed the other. IAPD ↗
95
H. C. DENISON CO. — (SHEBOYGAN, WI) is newly SEC-registered with $101.4M RAUM and 4 advisory reps. IAPD ↗
95
GLOBAL BROKERAGE SERVICES, INC. — (HUNT VALLEY, MD) is newly SEC-registered with $117.8M RAUM and 5 advisory reps. IAPD ↗
95
WEALTHKARE.COM, INC. — (MOUNT UNION, PA) is newly SEC-registered with $106.2M RAUM and 6 advisory reps. IAPD ↗
95
OXFORD CAPITAL MANAGEMENT — (RICHM0ND, VA) is newly SEC-registered with $125.0M RAUM and 2 advisory reps. IAPD ↗
95
SUPERIOR PLANNING, LLC — (SAN DIEGO, CA) is newly SEC-registered with $105.4M RAUM and 5 advisory reps. IAPD ↗
95
COMPASS INVESTMENT ADVISERS, LLC — (PORTLAND, OR) is newly SEC-registered with $101.3M RAUM and 2 advisory reps. IAPD ↗
95
FAIRWAY FINANCIAL, LLC — (CASSELBERRY, FL) is newly SEC-registered with $122.4M RAUM and 2 advisory reps. IAPD ↗
95
PACIFIC COAST INVESTMENT ADVISORS, LLC — (WEST LINN, OR) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
95
MUNTZ FINANCIAL, LLC — (DOYLESTOWN, PA) is newly SEC-registered with $154.8M RAUM and 2 advisory reps. IAPD ↗
95
METANOIA FINANCIAL, LLC — (location n/a) is newly SEC-registered with $117.9M RAUM and 1 advisory reps. IAPD ↗
95
DIRECTIONAL ASSET MANAGEMENT, LLC — (ARLINGTON HEIGHTS, IL) is newly SEC-registered with $119.8M RAUM and 1 advisory reps. IAPD ↗
95
1650 WEALTH MANAGEMENT, LLC — (LIGHTHOUSE POINT, FL) is newly SEC-registered with $111.0M RAUM and 1 advisory reps. IAPD ↗
95
GALLAGHER WEALTH MANAGEMENT — (DANVILLE, CA) is newly SEC-registered with $105.3M RAUM and 1 advisory reps. IAPD ↗
95
SHADOWRIDGE ASSET MANAGEMENT, LLC — (AUSTIN, TX) is newly SEC-registered with $108.5M RAUM and 6 advisory reps. IAPD ↗
95
APPIAN WAY FINANCIAL — (PASADENA, CA) is newly SEC-registered with $121.2M RAUM and 1 advisory reps. IAPD ↗
95
BLACK BARN FINANCIAL, LLC — (AUSTIN, TX) is newly SEC-registered with $110.1M RAUM and 4 advisory reps. IAPD ↗
95
BREAKWATER FINANCIAL, LLC — (NEEDHAM, MA) is newly SEC-registered with $106.5M RAUM and 1 advisory reps. IAPD ↗
95
MIDDLETON & COMPANY — (VANCOUVER, WA) is newly SEC-registered with $114.9M RAUM and 2 advisory reps. IAPD ↗
95
WAVE WEALTH MANAGEMENT, LLC — (FRISCO, TX) is newly SEC-registered with $108.3M RAUM and 1 advisory reps. IAPD ↗
95
CRAFT ASSET MANAGEMENT — (TAMPA, FL) is newly SEC-registered with $83.5M RAUM and 7 advisory reps. IAPD ↗
95
CAPITAL ACHIEVEMENTS, LLC — (location n/a) is newly SEC-registered with $129.3M RAUM and 1 advisory reps. IAPD ↗
95
RETIREMITTEN FINANCIAL LLC — (MILFORD, MI) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
95
RIVERBEND WEALTH MANAGEMENT, LLC — (MYRTLE BEACH, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MIDWEST FINANCIAL NETWORK, LLC — (TINLEY PARK, IL) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
95
DELAWARE WEALTH PLANNERS — (WILMINGTON, DE) is newly SEC-registered with $103.2M RAUM and 3 advisory reps. IAPD ↗
95
GLOBAL INVESTMENT ADVISORY — (MCDONOUGH, GA) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
PRINCETON VALUE PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered with $25.9M RAUM and 2 advisory reps. IAPD ↗
95
DOWNSHIFT FINANCIAL — (location n/a) is newly SEC-registered with $102.8M RAUM and 2 advisory reps. IAPD ↗
95
TABLEAUX WEALTH — (location n/a) is newly SEC-registered with $109.3M RAUM and 3 advisory reps. IAPD ↗
95
SPLIT CREEK LLC DBA SPLIT CREEK CAPITAL LLC — (location n/a) is newly SEC-registered with $109.9M RAUM and 1 advisory reps. IAPD ↗
95
PALM WEALTH PARTNERS — (BOCA RATON, FL) is newly SEC-registered with $104.9M RAUM and 7 advisory reps. IAPD ↗
95
95
SPARTAN WEALTH MANAGEMENT — (BINGHAM FARMS, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
BIRCH FINANCIAL GROUP — (KEENE, NH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
TRILLIONS CAPITAL — (WARMINSTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
ALKEME INVESTMENTS LLC — (SCOTTSDALE, AZ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
ALTON ROAD CAPITAL, LP — (VERO BEACH, FL) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
95
RIA GLOBAL RESEARCH, LLC — (HOUSTON, TX) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
PLUM POINTE WEALTH MANAGEMENT — (PROVIDENCE, RI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
QUANTOR CAPITAL LLC — (HOUSTON, TX) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
95
1808 CAPITAL PARTNERS — (GREENSBORO, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
STONEHAVEN WEALTH & TAX SOLUTIONS — (APPLETON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
HARBORVIEW ASSET MANAGEMENT LLC — (GIG HARBOR, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
FPNAVIGATORS — (MAPLE GROVE, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MAAT INVESTMENT GROUP GMBH — (location n/a) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
COMMONWEALTH CONTINUUM ADVISORS — (WALTHAM, MA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
THE LIFE WEALTH GROUP — (WINTER GARDEN, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
LOOMIS CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SMITH WYND CAPITAL LLC — (FRANKLIN, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
CAPITAL AREA PLANNING GROUP — (WASHINGTON, DC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BEACON CAPITAL ADVISORY GROUP — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
CATOCTIN RIDGE WEALTH PARTNER — (THURMONT, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PCM ENCORE, LLC — (ASPEN, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
HARVESTWISE WEALTH PLANNING — (ESCONDIDO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
GRP FINANCIAL SERVICES, LLC — (FARMINGDALE, ME) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
ECHELON GROUP — (BOISE, ID) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
PENSERRA WEALTH MANAGEMENT — (ORINDA, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
THECE WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WEALTH INTELLIGENCE, LLC — (COLUMBUS, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
TRITONPOINT PARTNERS, LLC — (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PITCAIRN WEALTH ADVISORS LLC — (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
STRIVE FINANCIAL GROUP, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
GOETZKE CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
WAVERLY ADVISORS, LLC — grew from 92 to 119 advisory reps. IAPD ↗
85
PROSPERITY - AN EISNERAMPER COMPANY — grew from 31 to 46 advisory reps. IAPD ↗
85
FIRST COMMAND ADVISORY SERVICES — grew from 1050 to 1155 advisory reps. IAPD ↗
85
THE BALDWIN GROUP WEALTH ADVISORS, LLC — grew from 17 to 43 advisory reps. IAPD ↗
81
FORTIS CAPITAL ADVISORS, LLC — grew from 24 to 37 advisory reps. IAPD ↗
80
THE CAPROCK GROUP, LLC — now offers financial planning (Item 5G(1)). IAPD ↗
79
WEALTHFRONT ADVISERS LLC — grew from 11 to 20 advisory reps. IAPD ↗
78
ASTORIA PORTFOLIO ADVISORS LLC — now offers financial planning (Item 5G(1)). IAPD ↗
78
BRADY MARTZ WEALTH SOLUTIONS, LLC — now offers financial planning (Item 5G(1)). IAPD ↗
75
PROSPERITY - AN EISNERAMPER COMPANY — reported RAUM up 173% ($1.07B -> $2.91B). IAPD ↗
75
THE CAPROCK GROUP, LLC — grew from 30 to 35 advisory reps. IAPD ↗
75
A&M PRIVATE WEALTH PARTNERS, LLC — grew from 1 to 11 advisory reps. IAPD ↗
75
INVESTMENT CONSULTING SERVICES, LLC — now offers financial planning (Item 5G(1)). IAPD ↗
75
SUCCESS WEALTH MANAGEMENT LLC — now offers financial planning (Item 5G(1)). IAPD ↗
75
PLATO'S PHILOSOPHY, LLC — now offers financial planning (Item 5G(1)). IAPD ↗
75
AURELIUS FAMILY OFFICE, LLC — now offers financial planning (Item 5G(1)). IAPD ↗
75
ACCELERATE RETIREMENT — now offers financial planning (Item 5G(1)). IAPD ↗
74
SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC — grew from 17 to 21 advisory reps. IAPD ↗
74
VESTGEN ADVISORS, LLC — grew from 7 to 13 advisory reps. IAPD ↗
73
TAYLOR HOFFMAN CAPITAL MANAGEMENT — reported RAUM up 1971% ($18.8M -> $388.7M). IAPD ↗
73
BBVA GLOBAL WEALTH ADVISORS, INC. — reported RAUM up 79% ($222.8M -> $399.0M). IAPD ↗
73
GREAT HILL CAPITAL, LLC — reported RAUM up 243% ($99.5M -> $341.0M). IAPD ↗
73
SPC FINANCIAL INC — grew from 14 to 17 advisory reps. IAPD ↗
73
RELATION WEALTH MANAGEMENT, INC. — 's provisional registration is now fully approved. IAPD ↗
73
CRUX WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
BRADY MARTZ WEALTH SOLUTIONS, LLC — 's provisional registration is now fully approved. IAPD ↗
72
CAYSIDE PARTNERS — reported RAUM up 73% ($162.5M -> $281.8M). IAPD ↗
71
DISCIPLINE WEALTH SOLUTIONS, INC. — grew from 8 to 14 advisory reps. IAPD ↗
71
BBVA GLOBAL WEALTH ADVISORS, INC. — grew from 14 to 17 advisory reps. IAPD ↗
70
ALEXANDER INVESTMENT SERVICES CO. — crossed $500M in regulatory AUM ($488.7M -> $592.8M). IAPD ↗
70
MAIA WEALTH — crossed $500M in regulatory AUM ($392.5M -> $669.5M). IAPD ↗
70
FORTIS CAPITAL ADVISORS, LLC — crossed $500M in regulatory AUM ($331.8M -> $630.6M). IAPD ↗
70
QUANTIFY FUNDS — reported RAUM up 1779999900% ($2 -> $35.6M). IAPD ↗
70
INTEGRATED INVESTMENT CONSULTANTS, LLC — grew from 7 to 9 advisory reps. IAPD ↗
70
ALTA WEALTH ADVISORS LLC — grew from 6 to 8 advisory reps. IAPD ↗
70
SMITH THORNTON ADVISORS, LLC — grew from 4 to 6 advisory reps. IAPD ↗
70
FORTITUDE FAMILY OFFICE — grew from 9 to 11 advisory reps. IAPD ↗
70
ZERO DAY CAPITAL ENTERPRISES LLC — grew from 1 to 6 advisory reps. IAPD ↗
70
ALPHA VEE ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
BLUEWATER WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
FORMULATE FINANCIAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
LITTLE RIVER CAPITAL PARTNERS, LP — 's provisional registration is now fully approved. IAPD ↗
70
BLUE JEAN FINANCIAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
TORO WEST CAPITAL ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
LFG WEALTH PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
STORYONE FAMILY OFFICE — 's provisional registration is now fully approved. IAPD ↗
70
BELMONT PRIVATE WEALTH — 's provisional registration is now fully approved. IAPD ↗
70
A&M PRIVATE WEALTH PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
DA WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
SLO MONEY MANAGERS — 's provisional registration is now fully approved. IAPD ↗
70
WALTON FINANCIAL — 's provisional registration is now fully approved. IAPD ↗
70
KONZA GLOBAL WEALTH GROUP — 's provisional registration is now fully approved. IAPD ↗
70
LEE-KELLEHER WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
ROMEN CAPITAL — 's provisional registration is now fully approved. IAPD ↗
70
TOTAL WEALTH SERVICES, LLC — 's provisional registration is now fully approved. IAPD ↗
70
OWL CREEK WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
70
BOYER FINANCIAL SERVICES, INC. — 's provisional registration is now fully approved. IAPD ↗
70
GENEVA FINANCIAL GROUP — 's provisional registration is now fully approved. IAPD ↗
70
BENTHAM WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
RAINIER FAMILY WEALTH, INC. — 's provisional registration is now fully approved. IAPD ↗
70
BREAKTHRU ADVISORY SERVICES, LLC — 's provisional registration is now fully approved. IAPD ↗
70
LEGACY CAPITAL — 's provisional registration is now fully approved. IAPD ↗
69
THE BALDWIN GROUP WEALTH ADVISORS, LLC — reported RAUM up 48% ($3.24B -> $4.81B). IAPD ↗
69
LIFEGOAL WEALTH ADVISORS LLC — reported RAUM up 71% ($82.0M -> $140.0M). IAPD ↗
68
PLATO'S PHILOSOPHY, LLC — grew from 1 to 4 advisory reps. IAPD ↗
67
THE CAPROCK GROUP, LLC — reported RAUM up 35% ($6.92B -> $9.36B). IAPD ↗
67
QUINT INVESTMENTS AND INSURANCE — grew from 6 to 8 advisory reps. IAPD ↗
67
CANDIDE GROUP — grew from 5 to 7 advisory reps. IAPD ↗
67
FORONJY FINANCIAL — grew from 2 to 4 advisory reps. IAPD ↗
66
GBM WEALTH MANAGEMENT, INC. — reported RAUM up 59% ($128.4M -> $203.6M). IAPD ↗
66
IMPERIAL CAPITAL PARTNERS — reported RAUM up 31% ($5.35B -> $6.98B). IAPD ↗
65
FIRST COMMAND ADVISORY SERVICES — reported RAUM up 26% ($17.48B -> $22.09B). IAPD ↗
64
WESTERN FINANCIAL CORPORATION — reported RAUM up 31% ($200.3M -> $261.4M). IAPD ↗
64
JAMES T. BORELLO & CO. — reported RAUM up 32% ($323.7M -> $427.4M). IAPD ↗
63
FIRST DALLAS SECURITIES, INC. — reported RAUM up 27% ($234.3M -> $297.3M). IAPD ↗
63
FCF ADVISORS LLC — reported RAUM up 26% ($558.9M -> $705.7M). IAPD ↗
63
FORTITUDE FAMILY OFFICE — reported RAUM up 27% ($505.2M -> $640.9M). IAPD ↗
62
MUNAKATA ASSOCIATES LLC — reported RAUM up 39% ($45.9M -> $63.6M). IAPD ↗
62
RE-ENVISION WEALTH — reported RAUM up 39% ($90.2M -> $125.8M). IAPD ↗
61
CASSADY WEALTH & RETIREMENT PLANNING L.L.C. — reported RAUM up 34% ($105.1M -> $140.5M). IAPD ↗
60
MIAI, INC. — reported RAUM up 29% ($146.6M -> $189.4M). IAPD ↗
60
IMG WEALTH MANAGEMENT, INC. — reported RAUM up 25% ($119.9M -> $150.3M). IAPD ↗
60
PALADIN FINANCIAL — reported RAUM up 26% ($113.0M -> $142.4M). IAPD ↗
60
DOUBLE DUTY MONEY MANAGEMENT LLC — reported RAUM up 27% ($34.1M -> $43.2M). IAPD ↗
60
AMERISERV WEALTH ADVISORS INC — WEST CHESTER CAPITAL ADVISORS INC is now doing business as . IAPD ↗
60
JACKSON THORNTON WEALTH MANAGEMENT, LLC — JACKSON THORNTON ASSET MANAGEMENT, LLC is now doing business as . IAPD ↗
60
SELLWOOD INVESTMENT PARTNERS LLC — SELLWOOD CONSULTING LLC is now doing business as . IAPD ↗
60
THE BALDWIN GROUP WEALTH ADVISORS, LLC — BURNHAM GIBSON WEALTH ADVISORS, LLC is now doing business as . IAPD ↗
58
ARGYLE CAPITAL MANAGEMENT, LLC — ARGYLE CAPITAL MANAGEMENT INC is now doing business as . IAPD ↗
58
SIERRA INVESTMENT MANAGEMENT, LLC — SIERRA INVESTMENT MANAGEMENT INC is now doing business as . IAPD ↗
58
ELEVATION WEALTH PARTNERS, LLC — ZRC WEALTH MANAGEMENT, LLC is now doing business as . IAPD ↗
58
ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC. — ALVARIUM INVESTMENT ADVISORS (US), INC. is now doing business as . IAPD ↗
58
ROTHSCHILD WEALTH LLC — SENTINUS, LLC is now doing business as . IAPD ↗
58
1836 ASSET MANAGEMENT, LLC — GREY ROCK ASSET MANAGEMENT, LLC is now doing business as . IAPD ↗
58
VESTGEN ADVISORS, LLC — WEALTH MANAGEMENT GROUP, L.L.C. is now doing business as . IAPD ↗
55
SANFORD C. BERNSTEIN & CO., LLC — added office(s): 22 -> 23 additional locations. IAPD ↗
55
YHB INVESTMENT ADVISORS INC — added office(s): 0 -> 3 additional locations. IAPD ↗
55
WESCOTT FINANCIAL ADVISORY GROUP LLC — added office(s): 3 -> 6 additional locations. IAPD ↗
55
MATTER FAMILY OFFICE — added office(s): 2 -> 3 additional locations. IAPD ↗
55
SJS INVESTMENT SERVICES — added office(s): 2 -> 3 additional locations. IAPD ↗
55
LEAVELL INVESTMENT MANAGEMENT, INC. — added office(s): 4 -> 5 additional locations. IAPD ↗
55
ALLIANCEBERNSTEIN L.P. — added office(s): 53 -> 54 additional locations. IAPD ↗
55
VALLEY WEALTH MANAGERS, INC. — added office(s): 11 -> 12 additional locations. IAPD ↗
55
GRIMES & COMPANY, INC. — added office(s): 19 -> 25 additional locations. IAPD ↗
55
WAVERLY ADVISORS, LLC — added office(s): 18 -> 25 additional locations. IAPD ↗
55
THE CAPROCK GROUP, LLC — added office(s): 4 -> 8 additional locations. IAPD ↗
55
CARY STREET PARTNERS — added office(s): 16 -> 17 additional locations. IAPD ↗
55
AUXANO ADVISORS — added office(s): 0 -> 1 additional locations. IAPD ↗
55
CAPITAL ADVISORS, LTD., LLC — added office(s): 0 -> 10 additional locations. IAPD ↗
55
APELLA WEALTH — added office(s): 15 -> 16 additional locations. IAPD ↗
55
INSPIRE INVESTING, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
55
AB PRIVATE CREDIT INVESTORS LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
55
FIRST COMMAND ADVISORY SERVICES — added office(s): 176 -> 186 additional locations. IAPD ↗
55
ONEASCENT FINANCIAL SERVICES LLC — added office(s): 30 -> 31 additional locations. IAPD ↗
55
THE FIDUCIARY ALLIANCE — added office(s): 14 -> 15 additional locations. IAPD ↗
55
EVERSOURCE WEALTH ADVISORS, LLC — added office(s): 22 -> 23 additional locations. IAPD ↗
55
ALERA INVESTMENT ADVISORS, LLC — added office(s): 10 -> 12 additional locations. IAPD ↗
55
EVOKE ADVISORS — added office(s): 2 -> 3 additional locations. IAPD ↗
55
IEQ CAPITAL, LLC — added office(s): 10 -> 14 additional locations. IAPD ↗
55
JOURNEY STRATEGIC WEALTH LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
55
THE BALDWIN GROUP WEALTH ADVISORS, LLC — added office(s): 1 -> 5 additional locations. IAPD ↗
55
BLEAKLEY FINANCIAL GROUP, LLC — added office(s): 19 -> 21 additional locations. IAPD ↗
55
CONCURRENT INVESTMENT ADVISORS, LLC — added office(s): 38 -> 39 additional locations. IAPD ↗
55
TITLEIST ASSET MANAGEMENT, LLC — added office(s): 10 -> 11 additional locations. IAPD ↗
55
CASTELLANO & ASSOCIATES — ARNOLD CASTELLANO AND ASSOCIATES, LLC is now doing business as . IAPD ↗
55
GRIFFIN BLACK, LLC — GRIFFIN BLACK, INC. is now doing business as . IAPD ↗
55
ONE WEALTH MAP, LLC — H&H RETIREMENT DESIGN AND MANAGEMENT INC is now doing business as . IAPD ↗
55
ATLATL ADVISERS — LLC is now doing business as ATLATL ADVISERS. IAPD ↗
53
PVG ASSET MANAGEMENT CORP — added office(s): 0 -> 2 additional locations. IAPD ↗
53
WILLIAM MACK & ASSOCIATES INC — added office(s): 25 -> 26 additional locations. IAPD ↗
53
PENN DAVIS MCFARLAND INC — added office(s): 0 -> 1 additional locations. IAPD ↗
53
LEELYN SMITH, LLC — added office(s): 5 -> 6 additional locations. IAPD ↗
53
MUSTARD SEED WEALTH MANAGEMENT — added office(s): 4 -> 5 additional locations. IAPD ↗
53
NORTHSTAR FINANCIAL COMPANIES, INC. — added office(s): 1 -> 2 additional locations. IAPD ↗
53
AA FINANCIAL ADVISORS, LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
53
INTERACTIVE FINANCIAL ADVISORS — added office(s): 21 -> 22 additional locations. IAPD ↗
53
UNITED CAPITAL MANAGEMENT OF KANSAS, INC. — added office(s): 7 -> 8 additional locations. IAPD ↗
53
OAKWELL PRIVATE WEALTH MANAGEMENT — added office(s): 1 -> 2 additional locations. IAPD ↗
53
FOUNDERS FINANCIAL ALLIANCE, LLC — added office(s): 14 -> 15 additional locations. IAPD ↗
53
INSIGHT FOLIOS — added office(s): 10 -> 11 additional locations. IAPD ↗
53
BMSS WESSON WEALTH SOLUTIONS — added office(s): 2 -> 5 additional locations. IAPD ↗
53
LEXAURUM ADVISORS — added office(s): 19 -> 20 additional locations. IAPD ↗
53
WHITAKER-MYERS WEALTH MANAGERS, LTD. — added office(s): 23 -> 24 additional locations. IAPD ↗
53
LONGVIEW FINANCIAL ADVISORS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
53
TRUVESTMENTS CAPITAL LLC — added office(s): 10 -> 12 additional locations. IAPD ↗
53
INSPIRE ADVISORS, LLC — added office(s): 29 -> 30 additional locations. IAPD ↗
53
VERUM PARTNERS LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
53
CONVERGENCE FINANCIAL — added office(s): 6 -> 8 additional locations. IAPD ↗
53
FIVE OCEANS ADVISORS — added office(s): 1 -> 2 additional locations. IAPD ↗
53
FORTIS CAPITAL ADVISORS, LLC — added office(s): 20 -> 32 additional locations. IAPD ↗
53
FOCUSED ALPHA, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
53
CARR FINANCIAL GROUP — added office(s): 0 -> 3 additional locations. IAPD ↗
53
VESTGEN ADVISORS, LLC — added office(s): 1 -> 5 additional locations. IAPD ↗
53
KOOMAN & ASSOCIATES — added office(s): 0 -> 2 additional locations. IAPD ↗
53
WEALTHSPRING — added office(s): 4 -> 8 additional locations. IAPD ↗
53
HAMPSHIRE FAMILY OFFICE — added office(s): 0 -> 1 additional locations. IAPD ↗
53
TWIN PEAKS WEALTH ADVISORS — added office(s): 9 -> 10 additional locations. IAPD ↗
53
PORTSIDE WEALTH GROUP, LLC — added office(s): 28 -> 33 additional locations. IAPD ↗
53
RELATION WEALTH MANAGEMENT, INC. — added office(s): 1 -> 2 additional locations. IAPD ↗
50
HAWKINS INVESTMENT COUNSEL, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
50
MARMO FINANCIAL GROUP, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
50
COLLAR CAPITAL MANAGEMENT, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
50
TENCAP WEALTH COACHING — added office(s): 9 -> 10 additional locations. IAPD ↗
50
LAKE TAHOE WEALTH MANAGEMENT, INC. — added office(s): 2 -> 3 additional locations. IAPD ↗
50
HGI CAPITAL MANAGEMENT, LLC. — added office(s): 2 -> 3 additional locations. IAPD ↗
50
GRUPP FINANCIAL LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
50
QUINT INVESTMENTS AND INSURANCE — added office(s): 0 -> 1 additional locations. IAPD ↗
50
INVARIANT INVESTMENT MANAGEMENT — added office(s): 3 -> 4 additional locations. IAPD ↗
50
APTUS FINANCIAL, LLC — added office(s): 6 -> 9 additional locations. IAPD ↗
50
LAKE ROAD ADVISORS, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
50
ARES FINANCIAL CONSULTING LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
50
MICHAEL TRAXLER WEALTH MANAGEMENT, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
50
MODEL WEALTH — added office(s): 0 -> 1 additional locations. IAPD ↗
50
XANTOS LABS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
50
WINTERS FINANCIAL GROUP, INC. — added office(s): 1 -> 2 additional locations. IAPD ↗
50
ASSUREDPARTNERS INVESTMENT ADVISORS — added office(s): 14 -> 15 additional locations. IAPD ↗
50
WINCAP FINANCIAL LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
50
DISCIPLINE WEALTH SOLUTIONS, INC. — added office(s): 5 -> 11 additional locations. IAPD ↗
50
THE WEALTH BOUTIQUE — added office(s): 2 -> 3 additional locations. IAPD ↗
50
CLOUD CAPITAL — added office(s): 1 -> 2 additional locations. IAPD ↗
50
LUMIERE FINANCIAL — added office(s): 1 -> 4 additional locations. IAPD ↗
50
ONEASCENT FAMILY OFFICES — added office(s): 3 -> 4 additional locations. IAPD ↗
50
SLP WEALTH — added office(s): 15 -> 16 additional locations. IAPD ↗
50
HASENBERG FINANCIAL GROUP — added office(s): 0 -> 1 additional locations. IAPD ↗
50
ALPHA VEE ADVISORS — added office(s): 0 -> 1 additional locations. IAPD ↗
50
ALTITUDE CAPITAL MANAGEMENT LLC — added office(s): 3 -> 6 additional locations. IAPD ↗
50
INTEGRITY WEALTH LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
50
PARK SQUARE FINANCIAL GROUP LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
50
PEAK WEALTH MANAGEMENT — added office(s): 0 -> 1 additional locations. IAPD ↗
85
TRINITY VENTURES — (location n/a) is newly SEC-registered with $1.29B RAUM and 4 advisory reps. IAPD ↗fund
85
SENTINEL FUND ADVISORS, INC. — (NEW YORK, NY) is newly SEC-registered with $3.18B RAUM and 56 advisory reps. IAPD ↗fund
85
ATOMIC VAULTS ADVISORS LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
COAR HILL ASSET MANAGEMENT PARTNERS LP — (NORWALK, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
MILITIA INVESTMENTS, LLC — (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
P74 BIO LP — (ALLSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
KAI WEALTH LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
IMPACT INVESTMENTS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
MW ADVISOR, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 95 advisory reps. IAPD ↗institutional
85
TCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLC — (LOS ANGELES, CA) is newly SEC-registered with $0 RAUM and 72 advisory reps. IAPD ↗institutional
85
24A CAPITAL MANAGEMENT LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
COVE CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
NESTYIELD ETFS — (DOWNEY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
ILS ADVISORY SERVICES, LLC — (NASHVILLE, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
TWO PARKS CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
VERCAP MANAGEMENT LLC — (LOS ANGELES, CA) is newly SEC-registered with $1.16B RAUM and 5 advisory reps. IAPD ↗fund
85
WEBS INVESTMENTS INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
BELLTOWER PARTNERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
83
DXD CAPITAL — (ALBUQUERQUE, NM) is newly SEC-registered with $258.9M RAUM and 14 advisory reps. IAPD ↗fund
83
80
PEO PARTNERS, LLC — (NEW YORK, NY) is newly SEC-registered with $34.7M RAUM and 5 advisory reps. IAPD ↗fund
80
ELTURA CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $7.3M RAUM and 4 advisory reps. IAPD ↗fund
80
DJA CAPITAL MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $24.7M RAUM and 1 advisory reps. IAPD ↗fund
80
MACCABI CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered with $600,000 RAUM and 1 advisory reps. IAPD ↗fund
80
BRIGHAM ROYALTIES MANAGEMENT, LLC — (AUSTIN, TX) is newly SEC-registered with $187.1M RAUM and 8 advisory reps. IAPD ↗fund
70
LINGOTTO INVESTMENT MANAGEMENT LLP — (LONDON, United Kingdom) is newly SEC-registered with $6.63B RAUM and 12 advisory reps. IAPD ↗foreign
69
65
SARGASSO PARTNERS LLP — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
MARNOA PRIVATE WEALTH COUNSEL LTD. — (WATERLOO,ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
65
ROC PARTNERS (US) LLC — (SYDNEY NSW, Australia) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗foreign
65
ALFA ALGORITHMS HK LIMITED — (TSIM SHA TSUI, KOWLOON, Hong Kong) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
65
POLYNOMIAL PARTNERS LLC — (SINGAPORE, Singapore) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗foreign
65
GE VERNOVA INVESTMENT ADVISERS, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
65
FISHER RETIREMENT SOLUTIONS LLC — 's provisional registration is now fully approved. IAPD ↗institutional
64
64
63
MAIN CAPITAL PARTNERS NORTH AMERICA LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
ANDALUSIAN CREDIT PARTNERS, LLC — crossed $500M in regulatory AUM ($940,916 -> $513.7M). IAPD ↗institutional
60
60
60
60
60
60
60
60
60
SWP INVESTMENT MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
59
58
58
58
58
57
55
55
55
55
55
55
55
55
53
52
50
PGIM MULTI-ASSET SOLUTIONS LLC — PGIM PORTFOLIO ADVISORY is now doing business as . IAPD ↗institutional
48
45
45
45
CHICAGO ATLANTIC BDC ADVISERS, LLC — SILVER SPIKE CAPITAL is now doing business as . IAPD ↗institutional
43
THORNBURG BOW RIVER ADVISERS, LLC. — BOW RIVER CREDIT ADVISERS, LLC. is now doing business as . IAPD ↗fund
40
40
40
40
40
FIRST INFRASTRUCTURE CAPITAL ADVISORS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗fund
40
40
40
40
40
40
40
40
QUARTUS INVESTMENT ADVISORS LLC — ARCIS CAPITAL INVESTMENT ADVISORS LLC is now doing business as . IAPD ↗fund
40
OPTO INVESTMENT MANAGEMENT, LLC — LONSDALE INVESTMENT MANAGEMENT, LLC is now doing business as . IAPD ↗fund
38
38
38
38
35
20
PORTLAND HILL ASSET MANAGEMENT LIMITED — added office(s): 0 -> 1 additional locations. IAPD ↗foreign
20
20
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.