← Tributary

Custodian — February 2024

Custodians courting new and breakaway RIAs (Schwab, Fidelity, Altruist, Axos, TradePMR).

140 firms opened this window in the February 2024 SEC roster: 92 new registration, 33 custody started, 15 aum crossed 1b.

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

98
NORTHSTAR FIDUCIARY PARTNERS, LLC — (location n/a) is newly SEC-registered with $451.7M RAUM and 3 advisory reps. IAPD ↗
$451.7M RAUM · 3 reps · 216-409-5496 · nsfpllc.com
98
FC WEALTH SOLUTIONS LLC — (WESTERVILLE, OH) is newly SEC-registered with $326.0M RAUM and 3 advisory reps. IAPD ↗
$326.0M RAUM · 3 reps · (614) 212-1015
95
THE FOUNDRY FINANCIAL GROUP, INC. — (LACONIA, NH) is newly SEC-registered with $198.8M RAUM and 8 advisory reps. IAPD ↗
$198.8M RAUM · 8 reps · 603-528-5171
95
SEVEN HILLS FINANCIAL, LLC — (TALLAHASSEE, FL) is newly SEC-registered with $109.2M RAUM and 4 advisory reps. IAPD ↗
$109.2M RAUM · 4 reps · 850-219-6699
95
EMBARK WEALTH MANAGEMENT, LLC — (TEMPE, AZ) is newly SEC-registered with $38.8M RAUM and 3 advisory reps. IAPD ↗
$38.8M RAUM · 3 reps · (888) 433-8881 · embarkwealth.com
95
STASH WEALTH, LLC — (NEW YORK, NY) is newly SEC-registered with $39.5M RAUM and 3 advisory reps. IAPD ↗
$39.5M RAUM · 3 reps · 212-913-9904 · stashwealth.com
95
CFG RETIREMENT — (EDINA, MN) is newly SEC-registered with $100.8M RAUM and 3 advisory reps. IAPD ↗
$100.8M RAUM · 3 reps · 952-657-7470
95
ANGELUS INVESTMENT CONSULTING, INC. — (CORAL GABLES, FL) is newly SEC-registered with $179.7M RAUM and 2 advisory reps. IAPD ↗
$179.7M RAUM · 2 reps · 305-928-1551 · angelusinvestment.com
95
FOUR FINANCIAL MANAGEMENT — (ANN ARBOR, MI) is newly SEC-registered with $114.6M RAUM and 6 advisory reps. IAPD ↗
$114.6M RAUM · 6 reps · 734-272-4322
95
COLARION — (BIRMINGHAM, AL) is newly SEC-registered with $125.9M RAUM and 4 advisory reps. IAPD ↗
$125.9M RAUM · 4 reps · 205 410 9443 · colarionpartners.com
95
ADVANCED PORTFOLIO STRATEGIES — (TORRANCE, CA) is newly SEC-registered with $118.2M RAUM and 4 advisory reps. IAPD ↗
$118.2M RAUM · 4 reps · (310) 776-5948
95
MILLENNIAL WEALTH — (location n/a) is newly SEC-registered with $145.6M RAUM and 3 advisory reps. IAPD ↗
$145.6M RAUM · 3 reps · (206) 207-8426
95
REVOLUTION CAPITAL, LLC — (OMAHA, NE) is newly SEC-registered with $136.7M RAUM and 3 advisory reps. IAPD ↗
$136.7M RAUM · 3 reps · 402-933-3371 · revgroupllc.com
95
ECIO, INC. — (MADISON, WI) is newly SEC-registered with $131.1M RAUM and 4 advisory reps. IAPD ↗
$131.1M RAUM · 4 reps · 608-535-8317 · getecio.com
95
BROADWEALTH LLC — (location n/a) is newly SEC-registered with $123.4M RAUM and 1 advisory reps. IAPD ↗
$123.4M RAUM · 1 reps · 617-549-1990 · broadwealthllc.com
95
FORT STREET ASSET MANAGEMENT LLC — (HONOLULU, HI) is newly SEC-registered with $126.0M RAUM and 2 advisory reps. IAPD ↗
$126.0M RAUM · 2 reps · 808-265-1000 · fortstreetam.com
95
ATTESSA CAPITAL LLC — (TUCSON, AZ) is newly SEC-registered with $108.3M RAUM and 8 advisory reps. IAPD ↗
$108.3M RAUM · 8 reps · 520-600-3064 · attessacapital.com
95
U.S. CHERRY LLC — (ST. PETERSBURG, FL) is newly SEC-registered with $5.2M RAUM and 2 advisory reps. IAPD ↗
$5.2M RAUM · 2 reps · 3053395318
95
KELSEY FINANCIAL, LLC — (MOORPARK, CA) is newly SEC-registered with $124.6M RAUM and 7 advisory reps. IAPD ↗
$124.6M RAUM · 7 reps · 833-453-5739 · kelseyfinancial.net
95
STRADA FINANCIAL GROUP LLC — (FAIRVIEW, OR) is newly SEC-registered with $107.9M RAUM and 1 advisory reps. IAPD ↗
$107.9M RAUM · 1 reps · 503-667-5355
95
PINE HARBOR WEALTH MANAGEMENT LLC — (SILVER SPRING, MD) is newly SEC-registered with $158.7M RAUM and 2 advisory reps. IAPD ↗
$158.7M RAUM · 2 reps · 240-200-4950
95
FRANKLY FINANCES — (location n/a) is newly SEC-registered with $124.9M RAUM and 1 advisory reps. IAPD ↗
$124.9M RAUM · 1 reps · 786-897-5035 · franklyfinances.com
95
CYGNUS CAPITAL ADVISERS, LLC — (ATLANTA, GA) is newly SEC-registered with $47.5M RAUM and 2 advisory reps. IAPD ↗
$47.5M RAUM · 2 reps · 404-443-4762 · cygnuscapital.com
95
MARIDEA WEALTH MANAGEMENT — (BROOKLYN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 269-598-0939
95
HYJC CAPITAL OF WNY — (LAKEVILLE, NY) is newly SEC-registered with $41.7M RAUM and 2 advisory reps. IAPD ↗
$41.7M RAUM · 2 reps · 585-261-4435 · hywealthmanagement.com
95
ALPHA-LAB ASSET MANAGEMENT INC. — (location n/a) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 514-548-3456
95
PERIDOT INVESTMENT RESEARCH INC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (480) 665-7706 · peridotfunds.com
95
INTER&CO US ADVISORS LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 888-305-7264 · inter.co
95
LOCKWOOD WEALTH STRATEGIES, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (346) 487-8700 · lockwoodws.com
95
ROI ADVISORY — (SAN FRANCISCO, CA) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 415-294-0545 · getroi.app
95
MINDORO CAPITAL PARTNERS LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (617) 214-2313 · mindoro.com
95
TRANEL INTELLIGENT INVESTING, LLC — (LIBERTYVILLE, IL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 847-680-9073 · tranelintelligentinvesting.com
95
EDLY ADVISORS — (NEW YORK, NY) is newly SEC-registered with $39.0M RAUM and 3 advisory reps. IAPD ↗
$39.0M RAUM · 3 reps · (914) 775-8299
95
OFF-ZERO FINANCIAL, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 512-956-7270 · offzerofinancial.com
95
INDEPENDENT WEALTH ADVISORS, LLC — (CARY, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 919-749-7596
95
STEADMONT ADVISORS, LLC — (VESTAVIA HILLS, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · (205) 721-7005
95
SEVENTWO, LLC — (GREENWOOD VILLAGE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (617) 800-0388
95
CORAL REEF ADVISORS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 312-218-7031
95
GREYKASELL WEALTH STRATEGIES, INC. — (DANVILLE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 925-263-9275 · greykasell.com
95
POTENTIA WEALTH — (SAN JOSE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 408-288-7886
95
FORZA INVESTMENT GROUP, LP — (SUMMIT, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 973-315-5394
95
POMONA WEALTH MANAGEMENT, LLC — (RICHLAND, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 509-643-6028 · pomonawm.com
95
FINVEST — (SAN FRANCISCO, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 607-216-5443 · getfinvest.com
95
NOLET WEALTH MANAGEMENT, LLC — (FORT WORTH, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 817-350-4342
95
INVESTING ONLINE LLC — (SANTA MONICA, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 310-818-3740 · investing-online.com
95
EMBARCADERO CAPITAL ADVISORS — (LAGUNA HILLS, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 949-371-9796 · embarcaderocapitaladvisors.com
95
SOLOMON CAPITAL PARTNERS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 248-875-5700
95
SOLIST WEALTH MANAGEMENT — (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 813-493-3833 · solistfinancial.com
95
TIEMPO CAPITAL PARTNERS — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 954-849-3099
95
MARINER WEALTH ADVISORS — (OVERLAND PARK, KS) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 913-904-5700 · marinerwealthadvisors.com
95
SOVRAN ADVISORS, LLC — (LA MESA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 619-246-1172
95
WELCH FINANCIAL PLANNING, LLC — (BOULDER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 303-939-8766
95
FG ADVISORY SERVICES, LLC. — (BRIARCLIFF MANOR, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 646-609-2225 EXT. 6
95
HAAS FINANCIAL, INC. — (SANIBEL, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (651) 328-8070 · davidhaasfinancial.com
95
PROMETHIUM ADVISORS, LLC — (BETHESDA, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 202-978-2519 · promethiumadvisors.com
95
BLUE SKY CAPITAL CONSULTANTS GROUP, INC. — (POWAY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 858-513-8445
95
CIRO CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 646-785-6201 · cirocapital.com
95
LIGHT LANE MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 714-328-0538
95
EAST29TH CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 973-714-4182
85
WINDWARD CAPITAL MANAGEMENT CO — crossed $1B in regulatory AUM ($940.0M -> $1.18B). IAPD ↗
$1.18B RAUM · 4 reps · 310-893-3000 · windwardcapital.com
85
CONNORS INVESTOR SERVICES INC — crossed $1B in regulatory AUM ($968.3M -> $1.05B). IAPD ↗
$1.05B RAUM · 9 reps · 610-376-7418
85
MSA FINANCIAL — crossed $1B in regulatory AUM ($870.4M -> $1.00B). IAPD ↗
$1.00B RAUM · 8 reps · 781-843-3500
85
THE PLANNING CENTER, INC. — crossed $1B in regulatory AUM ($946.6M -> $1.09B). IAPD ↗
$1.09B RAUM · 10 reps · 309-797-4030
85
MIDWEST FINANCIAL PARTNERS — crossed $1B in regulatory AUM ($873.5M -> $1.10B). IAPD ↗
$1.10B RAUM · 6 reps · 320-251-3752
85
CLASS VI FAMILY OFFICE, LLC — crossed $1B in regulatory AUM ($958.6M -> $1.01B). IAPD ↗
$1.01B RAUM · 6 reps · 303-243-5619 · classvipartners.com
85
GPS WEALTH STRATEGIES GROUP, LLC — crossed $1B in regulatory AUM ($879.9M -> $1.07B). IAPD ↗
$1.07B RAUM · 21 reps · 7204145412 · lizwindisch.com
85
CORNERSTONE WEALTH STRATEGIES, INC. — crossed $1B in regulatory AUM ($770.3M -> $1.01B). IAPD ↗
$1.01B RAUM · 10 reps · 509-396-0588
85
FIRST TRUST DIRECT INDEXING — crossed $1B in regulatory AUM ($990.1M -> $1.42B). IAPD ↗
$1.42B RAUM · 8 reps · 617-752-6010
85
BARLOW WEALTH PARTNERS, LLC — crossed $1B in regulatory AUM ($890.2M -> $1.01B). IAPD ↗
$1.01B RAUM · 5 reps · (502) 308-4270 · barlowwealth.com
70
RAYMOND JAMES INVESTMENT MANAGEMENT — now reports custody of client assets ($142.8M). IAPD ↗
$15.58B RAUM · 2 reps · 800-521-1195 · carillontower.com
70
FACET — now reports custody of client assets ($2.54B). IAPD ↗
$2.54B RAUM · 98 reps · (443)376-6222
68
INVESTMENT PARTNERS LTD — now reports custody of client assets ($181.6M). IAPD ↗
$646.1M RAUM · 11 reps · 330-308-9707 · invp.com
68
EAGLE ROCK INVESTMENT COMPANY, LLC — now reports custody of client assets ($16.4M). IAPD ↗
$527.8M RAUM · 2 reps · (404) 480-8578 · eaglerockinvest.com
68
EAGLE WEALTH STRATEGIES — now reports custody of client assets ($37.4M). IAPD ↗
$498.3M RAUM · 8 reps · 856-845-4005 · eaglewealthstrategies.com
68
SIERRA SUMMIT ADVISORS LLC — now reports custody of client assets ($425.0M). IAPD ↗
$425.0M RAUM · 3 reps · 847-652-5070 · sierrasummitadvisors.com
65
SRM ADVISORS — now reports custody of client assets ($25.4M). IAPD ↗
$158.1M RAUM · 2 reps · 503-244-8905 · srmadvisors.com
65
PILE WEALTH MANAGEMENT — now reports custody of client assets ($15.1M). IAPD ↗
$136.4M RAUM · 4 reps · 317-269-3454 · pilewealth.com
65
FREESTATE ADVISORS LLC — now reports custody of client assets ($34.8M). IAPD ↗
$134.8M RAUM · 8 reps · 913-890-2065
65
RAMSEY HILL ASSET MANAGEMENT LLC — now reports custody of client assets ($53.8M). IAPD ↗
$101.1M RAUM · 1 reps · 651 207-4385
65
CONCEPTUAL FINANCIAL ADVISORS, LLC — now reports custody of client assets ($93.0M). IAPD ↗
$138.3M RAUM · 3 reps · 920-731-9500 · ontrackadvisor.com
65
TENON FINANCIAL — now reports custody of client assets ($88.6M). IAPD ↗
$130.9M RAUM · 2 reps · 732-902-0066 · tenonfinancial.com
65
GROWSTRONG WEALTH STRATEGIES — now reports custody of client assets ($2.2M). IAPD ↗
$94.9M RAUM · 10 reps · 866-535-2774 · growstrongwealth.com
65
NETWORTH ADVISORS, LLC — now reports custody of client assets ($380,000). IAPD ↗
$125.6M RAUM · 6 reps · 724-746-3585
65
BLOM & HOWELL FINANCIAL PLANNING, INC. — now reports custody of client assets ($88.8M). IAPD ↗
$127.4M RAUM · 3 reps · 209-857-5207
65
CROSSGRAIN FAMILY INVESTMENTS, LLC — now reports custody of client assets ($38.0M). IAPD ↗
$143.1M RAUM · 2 reps · 804-217-2561
65
ASTRA WEALTH PARTNERS — now reports custody of client assets ($850,254). IAPD ↗
$162.1M RAUM · 4 reps · 800-805-8740 · feeonlynetwork.com
65
VLB CAPITAL — now reports custody of client assets. IAPD ↗
$0 RAUM · 1 reps · 3058504543
65
OXENFREE FINANCIAL — now reports custody of client assets ($53.6M). IAPD ↗
$120.7M RAUM · 5 reps · 321-722-7882 · oxenfreefinancial.com
65
FREEDOM FINANCIAL PARTNERS LLC — now reports custody of client assets ($55.2M). IAPD ↗
$242.0M RAUM · 3 reps · 651-797-3532 · ffpforme.com
65
PRAIRIEVIEW WEALTH PARTNERS, LLC — now reports custody of client assets ($29.7M). IAPD ↗
$134.9M RAUM · 2 reps · 708-326-4750
65
VISTA INVESTMENT PARTNERS — now reports custody of client assets ($36.9M). IAPD ↗
$249.6M RAUM · 4 reps · 765-962-5153
65
BARE WEALTH ADVISORS — now reports custody of client assets ($156.3M). IAPD ↗
$193.4M RAUM · 8 reps · 717-407-5200 · barewealthadvisors.com
65
NEW HORIZONS WEALTH MANAGEMENT — now reports custody of client assets ($14.5M). IAPD ↗
$151.1M RAUM · 2 reps · 973-540-1066 · enjoymore30s.com
85
SOUND CAPITAL SOLUTIONS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 630-853-3300 · soundcapitalsolutions.com
85
BERNSTEIN INSTITUTIONAL SERVICES LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 85 advisory reps. IAPD ↗institutional
$0 RAUM · 85 reps · 212-969-1000 · bernsteinresearch.com
85
HELIX PARTNERS MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 2127084520
85
KULTURA CAPITAL MANAGEMENT LP — (PARK CITY, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 858-298-4888 · kulturacap.com
85
VISDOM INVESTMENT GROUP 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 · (203) 803-7222
85
OBRA FUND MANAGEMENT, LLC — (AUSTIN, TX) is newly SEC-registered with $0 RAUM and 15 advisory reps. IAPD ↗institutional
$0 RAUM · 15 reps · 5129618265
85
SECURITIES CAPITAL PARTNERS MANAGEMENT COMPANY, LLC — (RALEIGH, NC) is newly SEC-registered with $178.5M RAUM and 4 advisory reps. IAPD ↗institutional
$178.5M RAUM · 4 reps · 407-476-2500
85
AGNC INVESTMENT MANAGEMENT, LLC — (BETHESDA, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗institutional
$0 RAUM · 9 reps · 301-968-9315
85
GRAVIMARK 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 · 914-268-8685
85
FINIAT, LLC — (MOUNT DORA, FL) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 352-729-2739
85
KRANE CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 212-933-0393
85
VENNLIGHT CAPITAL MANAGEMENT, LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 203-935-3203
85
VISTA CREDIT PARTNERS, L.P. — (NEW YORK, NY) is newly SEC-registered with $10.20B RAUM and 28 advisory reps. IAPD ↗fund
$10.20B RAUM · 28 reps · 212-804-9100 · vistacreditpartners.com
85
TC43 LLC — (PELHAM, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-363-7217
85
ATLANTIC UNION MUNICIPAL ADVISORS, INC — (GLEN ALLEN, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 804-802-4955X6055
85
LYKOS GLOBAL MANAGEMENT, LP — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 203-902-4008 · lykosglobal.com
85
TRIANGLE INVESTMENT MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
$0 RAUM · 8 reps · 646-346-8871
85
SWIFT CREEK PARTNERS — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
$0 RAUM · 8 reps · 214-692-4200
85
GENESIA INVESTMENTS 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 · 206-930-3822 · genesiainvestments.com
80
DFN MANAGEMENT LLC. — (TAMPA, FL) is newly SEC-registered with $146.5M RAUM and 3 advisory reps. IAPD ↗fund
$146.5M RAUM · 3 reps · (866) 296-4420
80
FUND ASSET MANAGERS — (RENO, NV) is newly SEC-registered with $8.0M RAUM and 6 advisory reps. IAPD ↗fund
$8.0M RAUM · 6 reps · 203-629-3300
80
GROUP RMC INVESTMENT ADVISOR LLC — (NEW YORK, NY) is newly SEC-registered with $28.4M RAUM and 2 advisory reps. IAPD ↗fund
$28.4M RAUM · 2 reps · 917-503-9730
80
GLOBAL DELTA CAPITAL, LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
$0 RAUM · 5 reps · 617-430-5460 · globaldeltacapital.com
80
EXCOLERE EQUITY PARTNERS, LLC — (LOS ANGELES, CA) is newly SEC-registered with $190.0M RAUM and 7 advisory reps. IAPD ↗fund
$190.0M RAUM · 7 reps · 310-867-2758 · excolerepartners.com
80
NORTH SHIELD CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $53.3M RAUM and 4 advisory reps. IAPD ↗fund
$53.3M RAUM · 4 reps · 917-546-2079
80
COLLECTIVE RETIREMENT SOLUTIONS LLC — (BRYN MAWR, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
$0 RAUM · 1 reps · (610) 639-6333 · collectiveretire.com
80
TOWN LANE MANAGEMENT LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
$0 RAUM · 3 reps · 212-404-7904 · townlane.com
80
NEW HYDE PARK ASSET MANAGEMENT LLC — (WHEATON, IL) is newly SEC-registered (provisional 120-day approval) with $21.8M RAUM and 10 advisory reps. IAPD ↗fund
$21.8M RAUM · 10 reps · 312-375-4903 · nhpaf.com
80
BLKBRD ASSET MANAGEMENT — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
$0 RAUM · 1 reps · -6707
75
FAI CAPITAL MANAGEMENT — crossed $1B in regulatory AUM ($914.8M -> $1.27B). IAPD ↗institutional
$1.27B RAUM · 3 reps · 813-874-6621
75
NEOS INVESTMENT MANAGEMENT, LLC — crossed $1B in regulatory AUM ($857.6M -> $1.36B). IAPD ↗institutional
$1.36B RAUM · 3 reps · 203-298-7300 · neosfunds.com
75
INNOCAP INVESTMENT ADVISERS, LLC. — crossed $1B in regulatory AUM ($872.8M -> $1.40B). IAPD ↗institutional
$1.40B RAUM · 3 reps · 646-289-5726 · innocap.com
70
JVP MANAGEMENT — crossed $1B in regulatory AUM ($911.0M -> $2.39B). IAPD ↗fund
$2.39B RAUM · 8 reps · 214-392-5737
70
BURKEHILL GLOBAL MANAGEMENT, LP — crossed $1B in regulatory AUM ($373.1M -> $1.16B). IAPD ↗fund
$1.16B RAUM · 4 reps · 2124906760
65
ATB CAPITAL MARKETS USA INC. — (CALGARY, ALBERTA, Canada) is newly SEC-registered with $0 RAUM and 17 advisory reps. IAPD ↗foreign
$0 RAUM · 17 reps · 403-539-8600 · atbcapitalmarkets.com
65
BEACON HILL WEALTH MANAGEMENT LTD — (VICTORIA, BC, Canada) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · 778-433-1314
65
MCA CROSS BORDER CAPITAL INC. — (MONTRÉAL, Canada) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · 1-877-839-7111
65
KENSYS LTD — (LONDON, United Kingdom) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · +44 207 126 8430 · one-up.io
55
APC ASSET DEVELOPMENT I, LP — now reports custody of client assets ($120.6M). IAPD ↗fund
$2.30B RAUM · 25 reps · (844) 597-3886
53
CONSTELLATION WEALTH CAPITAL — now reports custody of client assets ($213.3M). IAPD ↗fund
$540.1M RAUM · 14 reps · 202-600-5100 · constellationwealthcapital.com
53
APC ASSET DEVELOPMENT II, LP — now reports custody of client assets ($27.5M). IAPD ↗fund
$562.7M RAUM · 25 reps · 844-597-3886
50
CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC — now reports custody of client assets ($334.0M). IAPD ↗fund
$175.9M RAUM · 2 reps · 646-794-8800
50
GENERATE CAPITAL ADVISORS, PB LLC — now reports custody of client assets ($200.0M). IAPD ↗fund
$100.0M RAUM · 74 reps · 415-360-3063
50
SKKY PARTNERS, LP — now reports custody of client assets ($230.6M). IAPD ↗fund
$115.3M RAUM · 5 reps · 917-797-8729 · skky.com
50
SALLYPORT PARTNERS — now reports custody of client assets ($200.8M). IAPD ↗fund
$100.4M RAUM · 4 reps · 281-423-0260 · sallyportinvestments.com
40
INNOCAP GLOBAL INVESTMENT MANAGEMENT (IRELAND) LTD — now reports custody of client assets ($1.71B). IAPD ↗foreign
$40.24B RAUM · 6 reps · +353 1660 1542 · innocap.com
40
ONE QUEEN CAPITAL INC. — now reports custody of client assets. IAPD ↗foreign
$8.55B RAUM · 5 reps · 416-603-2116

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.