← Tributary

Custodian — March 2024

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

191 firms opened this window in the March 2024 SEC roster: 76 custody started, 75 new registration, 40 aum crossed 1b.

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98
NORTHSTAR ASSET MANAGEMENT COMPANY, LLC — (BLUE BELL, PA) is newly SEC-registered with $567.8M RAUM and 2 advisory reps. IAPD ↗
$567.8M RAUM · 2 reps · 484-342-4200 · northstarmgt.com
98
DIVERSIFY WEALTH MANAGEMENT, LLC — (SANDY, UT) is newly SEC-registered with $458.1M RAUM and 24 advisory reps. IAPD ↗
$458.1M RAUM · 24 reps · 801-838-9999 · caliberwealthmanagement.com
95
SYNDICATED CAPITAL, INC. — (DIAMOND BAR, CA) is newly SEC-registered with $109.6M RAUM and 9 advisory reps. IAPD ↗
$109.6M RAUM · 9 reps · 310-751-7098 · syndicatedcapital.com
95
CAMBRIDGE FINANCIAL ADVISORS, LLC — (SALIDA, CO) is newly SEC-registered with $111.2M RAUM and 3 advisory reps. IAPD ↗
$111.2M RAUM · 3 reps · 719-539-1040 · cambridgefinancialadvisors.com
95
GORDON ASSET MANAGEMENT LLC — (AUSTIN, TX) is newly SEC-registered with $108.3M RAUM and 2 advisory reps. IAPD ↗
$108.3M RAUM · 2 reps · 512-482-9600 · gordonasset.com
95
DAVIS FINANCIAL MANAGEMENT, INC. — (LEAWOOD, KS) is newly SEC-registered with $109.8M RAUM and 1 advisory reps. IAPD ↗
$109.8M RAUM · 1 reps · (913) 890-7279 · davisfinancialmanagement.com
95
HARBOR ASSET PLANNING, INC. — (location n/a) is newly SEC-registered with $125.6M RAUM and 1 advisory reps. IAPD ↗
$125.6M RAUM · 1 reps · 617-489-0324 · harborassetplanning.com
95
BAUTIS FINANCIAL, LLC — (MONTCLAIR, NJ) is newly SEC-registered with $122.0M RAUM and 3 advisory reps. IAPD ↗
$122.0M RAUM · 3 reps · 862-205-5800
95
LOGIC WEALTH MANAGEMENT, LLC — (PASADENA, CA) is newly SEC-registered with $122.5M RAUM and 8 advisory reps. IAPD ↗
$122.5M RAUM · 8 reps · (626) 757-4323 · logicwm.com
95
TRUE LIVING FINANCIAL — (SARATOGA SPRINGS, NY) is newly SEC-registered with $30.6M RAUM and 1 advisory reps. IAPD ↗
$30.6M RAUM · 1 reps · 518-364-7899 · truelivingfinancial.com
95
MCCULLEY FINANCIAL GROUP, LLC — (WESTCHESTER, IL) is newly SEC-registered with $125.2M RAUM and 1 advisory reps. IAPD ↗
$125.2M RAUM · 1 reps · 312-219-9000
95
PIEDMONT WEALTH MANAGEMENT — (CULPEPER, VA) is newly SEC-registered with $102.4M RAUM and 2 advisory reps. IAPD ↗
$102.4M RAUM · 2 reps · 540-317-5372 · piedmontwm.com
95
6TH STREET ADVISORS, LLC — (DAPHNE, AL) is newly SEC-registered with $110.7M RAUM and 2 advisory reps. IAPD ↗
$110.7M RAUM · 2 reps · 251-621-8688 · 6thstreetadvisors.com
95
MONTGOMERY FINANCIAL — (OCEAN CITY, MD) is newly SEC-registered with $112.9M RAUM and 4 advisory reps. IAPD ↗
$112.9M RAUM · 4 reps · 410-208-1004 · mfswealth.com
95
ABBINGTON INVESTMENT GROUP, LLC — (WESTPORT, CT) is newly SEC-registered with $108.6M RAUM and 3 advisory reps. IAPD ↗
$108.6M RAUM · 3 reps · 202-320-7242 · abbingtongroup.com
95
ATLATL ADVISERS — (MADISON, WI) is newly SEC-registered with $123.1M RAUM and 4 advisory reps. IAPD ↗
$123.1M RAUM · 4 reps · (608) 351-4500
95
Q3 ADVISORS, LLC — (location n/a) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 9366892294
95
ROLEK RETIREMENT PLANNING — (BERWYN, PA) is newly SEC-registered with $108.1M RAUM and 1 advisory reps. IAPD ↗
$108.1M RAUM · 1 reps · (267) 427-5667
95
SHOREPATH CAPITAL MANAGEMENT LLC — (EVANSTON, IL) is newly SEC-registered with $112.4M RAUM and 1 advisory reps. IAPD ↗
$112.4M RAUM · 1 reps · 312-357-4080 · shorepathcap.com
95
AVANT FINANCIAL ADVISORS — (location n/a) is newly SEC-registered with $126.6M RAUM and 2 advisory reps. IAPD ↗
$126.6M RAUM · 2 reps · 512-910-2467
95
MERITED WEALTH, LLC — (NORTH BAY VILLAGE, FL) is newly SEC-registered with $105.7M RAUM and 3 advisory reps. IAPD ↗
$105.7M RAUM · 3 reps · 305.722.0091 · meritedwealth.com
95
HOFF PRIVATE WEALTH — (WAUSAU, WI) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
$107.1M RAUM · 3 reps · 715-841-0405 · hoffwealth.com
95
CHIPSER WEALTH MANAGEMENT, LLC — (DESTIN, FL) is newly SEC-registered with $106.2M RAUM and 2 advisory reps. IAPD ↗
$106.2M RAUM · 2 reps · (850) 424-6330 · chipserwealthmanagement.com
95
SKYVIEW FINANCIAL GROUP, LLC — (PONTE VEDRA BEACH, FL) is newly SEC-registered with $103.0M RAUM and 2 advisory reps. IAPD ↗
$103.0M RAUM · 2 reps · (888) 406-0444 · skyviewfg.com
95
FRONT PORCH FINANCIAL ADVISORY — (CHARLOTTE, NC) is newly SEC-registered with $123.4M RAUM and 1 advisory reps. IAPD ↗
$123.4M RAUM · 1 reps · 980-428-2297 · frontporchfa.com
95
MOMENT PRIVATE WEALTH — (SAINT LOUIS, MO) is newly SEC-registered with $112.1M RAUM and 3 advisory reps. IAPD ↗
$112.1M RAUM · 3 reps · (636) 591-1050 · momentprivatewealth.com
95
INTRINSIC VALUE CAPITAL ADVISORS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 5015297011
95
RETIREMENT WEALTH SOLUTIONS LLC — (MARSHFIELD, WI) is newly SEC-registered with $140.7M RAUM and 2 advisory reps. IAPD ↗
$140.7M RAUM · 2 reps · 715-384-5481
95
PIANO WEALTH MANAGEMENT — (VICTOR, NY) is newly SEC-registered with $37.2M RAUM and 1 advisory reps. IAPD ↗
$37.2M RAUM · 1 reps · (585) 204-0001
95
GRAETZ WEALTH — (JENISON, MI) is newly SEC-registered with $107.8M RAUM and 3 advisory reps. IAPD ↗
$107.8M RAUM · 3 reps · 616-226-8867 · graetzwealth.com
95
KINGSMAN WEALTH MANAGEMENT — (PENSACOLA, FL) is newly SEC-registered with $120.2M RAUM and 2 advisory reps. IAPD ↗
$120.2M RAUM · 2 reps · 817-308-3111 · kingsmanwealth.com
95
GALAPAGOS ADVISORY LLC — (MIAMI, FL) is newly SEC-registered with $106.6M RAUM and 2 advisory reps. IAPD ↗
$106.6M RAUM · 2 reps · 3055155878 · galapagos-advisory.com
95
ABRA CAPITAL MANAGEMENT, LP — (SAN FRANCISCO, CA) is newly SEC-registered with $102.5M RAUM and 4 advisory reps. IAPD ↗
$102.5M RAUM · 4 reps · 707-340-3722
95
BBVA GLOBAL WEALTH ADVISORS, INC. — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 434-242-0068 · bbvaglobalwealthadvisors.com
95
EDEN INTELLIGENCE FINANCIAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 206-747-0960
95
IFS GROUP — (MECHANICSBURG, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 717-766-1144 · ifsgroup1.com
95
DRUCKER WEALTH — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · (212) 681-0460
95
MÉTIER CAPITAL, LLC — (location n/a) is newly SEC-registered with $53.0M RAUM and 2 advisory reps. IAPD ↗
$53.0M RAUM · 2 reps · (585) 469-6973 · metier-capital.com
95
TORREN MANAGEMENT, LLC — (SAN DIEGO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 619-990-2132
95
FIRST FINANCIAL SERVICES, LLC — (LITTLE ROCK, AR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 479-271-9952 · firstfinservices.com
95
GATEPASS CAPITAL, LLC — (INDEPENDENCE, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-572-3539 · gatepass.capital
95
ADAPT WEALTH ADVISORS, LLC — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 404-594-5559 · adaptwealthadvisors.com
95
BROADSTREET FAMILY OFFICE LLC — (SOMERS, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (914) 427-8036 · broadstreetglobaladvisors.com
95
IMPACT CAPITAL PARTNERS LLC — (GREENWOOD VILLAGE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 303-886-6186 · impactcapitalpartners.com
95
DOUBLE FINANCE INC. — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 415-366-3893 · double.finance
95
ADVANTAGE RETIREMENT GROUP — (FORT MYERS, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 239-561-1155 · advantageretirementgroup.com
95
CARNEGIE WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 818-679-2724
95
FRIDAY FINANCIAL — (DUBUQUE, IA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (563) 552-7526
95
RDG CAPITAL MANAGEMENT LLC — (ROCHESTER, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 585-673-2690 · rdgcapitalmanagement.com
95
235 WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 303-886-3322 · 235wealth.com
95
SALUS FINANCIAL ADVISORS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 612-747-9420 · salusfinancialadvisors.com
95
ATLAS LEGACY ADVISORS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 310-789-5566
95
MKT AND ASSOCIATES LLC — (CAVE CREEK, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 916-214-7912
95
CONSTANT — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 332-900-7227 · useconstant.com
95
OSSIA IM — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 305-923-7212
95
EXPRESSIVE WEALTH LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 773-248-1000 · expressivewealth.com
95
SILVER LAKE CAPITAL PARTNERS — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 972-701-2040
85
ANDERSON HOAGLAND & CO — crossed $1B in regulatory AUM ($921.5M -> $1.06B). IAPD ↗
$1.06B RAUM · 6 reps · 314-726-2107 · ahco.com
85
HENRY H. ARMSTRONG ASSOCIATES, INC. — crossed $1B in regulatory AUM ($903.0M -> $1.06B). IAPD ↗
$1.06B RAUM · 3 reps · 412-471-1551 · henryarmstrong.com
85
SHEETS SMITH WEALTH MANAGEMENT — crossed $1B in regulatory AUM ($965.1M -> $1.07B). IAPD ↗
$1.07B RAUM · 10 reps · 336-765-2020 · sheetssmith.com
85
JANICZEK WEALTH MANAGEMENT — crossed $1B in regulatory AUM ($972.5M -> $1.12B). IAPD ↗
$1.12B RAUM · 5 reps · 303-721-7000 · janiczek.com
85
GRASSI INVESTMENT MANAGEMENT, LLC — crossed $1B in regulatory AUM ($928.1M -> $1.11B). IAPD ↗
$1.11B RAUM · 4 reps · 650-934-0770 · grassiinvest.com
85
HALPERN FINANCIAL, INC. — crossed $1B in regulatory AUM ($828.8M -> $1.10B). IAPD ↗
$1.10B RAUM · 7 reps · 240.268.1000
85
STEWART & PATTEN CO LLC — crossed $1B in regulatory AUM ($935.4M -> $1.03B). IAPD ↗
$1.03B RAUM · 5 reps · 415-421-4932 · stewartandpatten.com
85
PETERSEN HASTINGS WEALTH ADVISORS, INC. — crossed $1B in regulatory AUM ($927.1M -> $1.12B). IAPD ↗
$1.12B RAUM · 15 reps · 509-735-0484 · petersenhastings.com
85
ECLECTIC ASSOCIATES, INC. — crossed $1B in regulatory AUM ($923.4M -> $1.05B). IAPD ↗
$1.05B RAUM · 9 reps · 714-738-0220
85
FINANCIAL PLAN, INC. — crossed $1B in regulatory AUM ($845.1M -> $1.05B). IAPD ↗
$1.05B RAUM · 10 reps · 360-714-1234
85
PBMARES WEALTH MANAGEMENT LLC — crossed $1B in regulatory AUM ($971.4M -> $1.14B). IAPD ↗
$1.14B RAUM · 14 reps · 757.229.7180
85
MARYLAND FINANCIAL GROUP, INC. — crossed $1B in regulatory AUM ($976.0M -> $1.11B). IAPD ↗
$1.11B RAUM · 37 reps · 301-251-8550 · barnettwealthadvisors.com
85
MJP WEALTH ADVISORS — crossed $1B in regulatory AUM ($853.4M -> $1.06B). IAPD ↗
$1.06B RAUM · 11 reps · 860-677-7755
85
WATERLOO CAPITAL — crossed $1B in regulatory AUM ($745.5M -> $1.30B). IAPD ↗
$1.30B RAUM · 29 reps · 512-777-5900
85
PROSPERITY - AN EISNERAMPER COMPANY — crossed $1B in regulatory AUM ($406.8M -> $1.07B). IAPD ↗
$1.07B RAUM · 31 reps · 410-363-7211
85
TRIANGLE WEALTH MANAGEMENT — crossed $1B in regulatory AUM ($967.8M -> $1.11B). IAPD ↗
$1.11B RAUM · 9 reps · 919-838-3221
85
INSPIRION WEALTH ADVISORS, LLC — crossed $1B in regulatory AUM ($915.3M -> $1.08B). IAPD ↗
$1.08B RAUM · 9 reps · 847-918-9100 · inspirionwealth.com
85
COMPASS ION ADVISORS, LLC — crossed $1B in regulatory AUM ($767.1M -> $1.09B). IAPD ↗
$1.09B RAUM · 13 reps · (610) 228-2200
85
LAKE HILL CAPITAL MANAGEMENT, LLC — crossed $1B in regulatory AUM ($881.9M -> $1.38B). IAPD ↗
$1.38B RAUM · 2 reps · 212-792-6671
85
ALLY INVEST ADVISORS — crossed $1B in regulatory AUM ($986.7M -> $1.13B). IAPD ↗
$1.13B RAUM · 12 reps · 855-880-2559 · ally.com
85
ISTHMUS PARTNERS, LLC — crossed $1B in regulatory AUM ($977.3M -> $1.11B). IAPD ↗
$1.11B RAUM · 9 reps · 608-729-0949
85
TOTAL WEALTH PLANNING, LLC — crossed $1B in regulatory AUM ($866.1M -> $1.06B). IAPD ↗
$1.06B RAUM · 16 reps · 513-984-6696
85
SHP WEALTH MANAGEMENT, LLC — crossed $1B in regulatory AUM ($905.7M -> $1.10B). IAPD ↗
$1.10B RAUM · 24 reps · 508-746-2400
85
KINGS PATH PARTNERS LLC — crossed $1B in regulatory AUM ($981.3M -> $1.06B). IAPD ↗
$1.06B RAUM · 4 reps · (832) 500-3101 · kingspath.com
85
ABOUND WEALTH MANAGEMENT, LLC — crossed $1B in regulatory AUM ($787.2M -> $1.07B). IAPD ↗
$1.07B RAUM · 24 reps · 615-226-3667
85
LIBERTY WEALTH MANAGEMENT, LLC — crossed $1B in regulatory AUM ($986.6M -> $1.22B). IAPD ↗
$1.22B RAUM · 18 reps · 510-658-1880
85
OPEROSE ADVISORS LLC — crossed $1B in regulatory AUM ($805.7M -> $1.25B). IAPD ↗
$1.25B RAUM · 7 reps · 414-209-3280
85
MERIDIAN WEALTH PARTNERS, LLC — crossed $1B in regulatory AUM ($905.6M -> $1.12B). IAPD ↗
$1.12B RAUM · 9 reps · 610-272-4700
85
JGP WEALTH MANAGEMENT, LLC — crossed $1B in regulatory AUM ($888.9M -> $1.08B). IAPD ↗
$1.08B RAUM · 12 reps · 503-446-6450
85
LAKE STREET — crossed $1B in regulatory AUM ($796.4M -> $1.00B). IAPD ↗
$1.00B RAUM · 9 reps · 312-766 7040 · clarity-fg.com
85
MARTEL WEALTH ADVISORS INC — crossed $1B in regulatory AUM ($897.2M -> $1.08B). IAPD ↗
$1.08B RAUM · 11 reps · 360-694-9940
85
HEARTWOOD WEALTH ADVISORS, LLC — crossed $1B in regulatory AUM ($982.8M -> $1.13B). IAPD ↗
$1.13B RAUM · 7 reps · 804-269-8711 · heartwoodva.com
85
DAYMARK WEALTH PARTNERS, LLC — crossed $1B in regulatory AUM ($907.8M -> $2.50B). IAPD ↗
$2.50B RAUM · 16 reps · 513-838-2520
85
SYNTEGRA PRIVATE WEALTH GROUP LLC — crossed $1B in regulatory AUM ($813.8M -> $1.02B). IAPD ↗
$1.02B RAUM · 12 reps · 314-802-7232
70
LAKE HILL CAPITAL MANAGEMENT, LLC — now reports custody of client assets ($25.3M). IAPD ↗
$1.38B RAUM · 2 reps · 212-792-6671
70
DAYMARK WEALTH PARTNERS, LLC — now reports custody of client assets ($1.29B). IAPD ↗
$2.50B RAUM · 16 reps · 513-838-2520
70
SYON CAPITAL LLC — now reports custody of client assets ($257.0M). IAPD ↗
$1.42B RAUM · 5 reps · 415-520-7966 · syoncap.com
70
G10 LLC — now reports custody of client assets ($4.33B). IAPD ↗
$4.33B RAUM · 12 reps · 443-541-2440 · kwiadvisory.com
70
TRITONPOINT WEALTH, LLC — now reports custody of client assets ($371.9M). IAPD ↗
$1.33B RAUM · 6 reps · (301) 799-9001 · tritonpointwealth.com
68
MMHP INVESTMENT ADVISORS — now reports custody of client assets ($377.4M). IAPD ↗
$377.4M RAUM · 2 reps · 229-228-1822 · mmhpinvest.com
68
PLANNING CAPITAL MANAGEMENT CORP. — now reports custody of client assets ($34.3M). IAPD ↗
$313.3M RAUM · 5 reps · 215-709-5100 · planningcapital.com
68
SARD WEALTH MANAGMENT GROUP, LLC — now reports custody of client assets ($11.4M). IAPD ↗
$334.9M RAUM · 1 reps · 404-843-4483 · sardwealth.com
68
EDGE FINANCIAL ADVISORS, LLC — now reports custody of client assets ($10.8M). IAPD ↗
$362.4M RAUM · 6 reps · 630-221-1000
68
ARISTA WEALTH MANAGEMENT, LLC — now reports custody of client assets ($257.7M). IAPD ↗
$621.2M RAUM · 5 reps · 702-309-9970
68
MILLER FINANCIAL SERVICES LLC — now reports custody of client assets ($95.0M). IAPD ↗
$328.0M RAUM · 3 reps · 269-781-5129 · millerfinancialplanning.com
68
JOSEPH P. LUCIA & ASSOCIATES, LLC — now reports custody of client assets ($63.8M). IAPD ↗
$310.3M RAUM · 3 reps · 914-352-6600 · luciaandassociates.net
68
STRATEGIC INVESTMENT ADVISORS, LLC — now reports custody of client assets ($11.9M). IAPD ↗
$947.1M RAUM · 10 reps · 248-567-6688 · seniorplanningadvisors.com
68
BALLAST, INC. — now reports custody of client assets ($6.5M). IAPD ↗
$543.9M RAUM · 6 reps · 859-226-0625
68
XCEL WEALTH MANAGEMENT, LLC — now reports custody of client assets ($343.4M). IAPD ↗
$343.4M RAUM · 3 reps · 386-872-3440 · xcelwealth.com
68
CORE WEALTH MANAGEMENT, INC. — now reports custody of client assets ($288.0M). IAPD ↗
$288.0M RAUM · 3 reps · 561-491-0231 · core-wm.com
68
PRAIRIE WEALTH ADVISORS, INC. — now reports custody of client assets. IAPD ↗
$438.4M RAUM · 3 reps · 402-505-6810 · prairiewealthadvisors.com
68
PEAK WEALTH MANAGEMENT, LLC — now reports custody of client assets ($280.0M). IAPD ↗
$280.0M RAUM · 3 reps · 734-681-7575
68
BALLAST ADVISORS, LLC — now reports custody of client assets ($239.6M). IAPD ↗
$512.5M RAUM · 5 reps · (651) 478-4644 · ballastadvisors.com
68
UNCOMMON CENTS INVESTING — now reports custody of client assets ($7.3M). IAPD ↗
$358.0M RAUM · 3 reps · 608-563-2437 · uncommoncentsinvesting.com
68
WEALTHSPRING CAPITAL LLC — now reports custody of client assets ($4.0M). IAPD ↗
$503.4M RAUM · 3 reps · 914-419-2207 · wealthspringcapital.com
68
CREEKMUR ASSET MANAGEMENT, LLC — now reports custody of client assets ($1.8M). IAPD ↗
$410.6M RAUM · 10 reps · 309-925-2043
68
SAXON FINANCIAL GROUP — now reports custody of client assets ($226,147). IAPD ↗
$535.0M RAUM · 13 reps · 713-425-5340 · saxonfinancialgroup.com
68
COGENTBLUE — now reports custody of client assets ($508.7M). IAPD ↗
$625.8M RAUM · 4 reps · 865-309-5892 · cogentbluewealth.com
68
TRIFECTA CAPITAL ADVISORS, LLC — now reports custody of client assets ($357.8M). IAPD ↗
$567.6M RAUM · 1 reps · 1-847-495-2464 · trifectacapitaladvisors.com
68
AB2 CAPITAL PARTNERS LLC — now reports custody of client assets ($200,000). IAPD ↗
$947.9M RAUM · 1 reps · (954) 802-8328
68
NEW INSIGHT WEALTH ADVISORS — now reports custody of client assets ($141.2M). IAPD ↗
$258.3M RAUM · 3 reps · 925-236-2525 · newinsightwealth.com
68
BALANCED WEALTH GROUP LLC — now reports custody of client assets ($12.0M). IAPD ↗
$341.5M RAUM · 7 reps · (440) 871-6501 · choosebalance.com
68
TRAVEKA WEALTH, LLC — now reports custody of client assets ($94.6M). IAPD ↗
$531.3M RAUM · 2 reps · (650) 397-2225 · travekawealth.com
65
OCEAN PARK ASSET MANAGEMENT, INC. — now reports custody of client assets ($25.6M). IAPD ↗
$146.8M RAUM · 8 reps · 310-452-1887
65
FARROW FINANCIAL INC — now reports custody of client assets ($58.3M). IAPD ↗
$227.9M RAUM · 1 reps · 802-728-4287 · farrowfinancial.com
65
CARMEL CAPITAL MANAGEMENT L.L.C. — now reports custody of client assets ($9.6M). IAPD ↗
$246.3M RAUM · 6 reps · 831-625-1375 · carmelcapital.com
65
WMS ADVISORS, LLC — now reports custody of client assets ($84.9M). IAPD ↗
$196.1M RAUM · 5 reps · 301-294-7804
65
WASHBURN CAPITAL MANAGEMENT INC. — now reports custody of client assets ($18.5M). IAPD ↗
$198.1M RAUM · 3 reps · 772 564-7291 · washburncapital.com
65
MINERVA PLANNING GROUP — now reports custody of client assets ($1.9M). IAPD ↗
$160.6M RAUM · 2 reps · 404-816-6688
65
NABITY-JENSEN INVESTMENT MANAGEMENT, INC. — now reports custody of client assets ($113.1M). IAPD ↗
$206.1M RAUM · 2 reps · 402-391-1021 · nabityjensen.com
65
THE PRIVATE INVESTMENT GROUP, INC. — now reports custody of client assets ($42.6M). IAPD ↗
$147.8M RAUM · 2 reps · 937-434-0500 · tpiginc.com
65
GALLERIA FINANCIAL ADVISORS, LLC — now reports custody of client assets ($40.5M). IAPD ↗
$181.6M RAUM · 2 reps · 770-790-3714
65
CHARLESTON FINANCIAL ADVISORS, LLC — now reports custody of client assets ($61.0M). IAPD ↗
$210.7M RAUM · 4 reps · 843-722-3331 · charlestonfinancial.net
65
BALLENTINE CAPITAL ADVISORS, INC. — now reports custody of client assets ($131.2M). IAPD ↗
$231.9M RAUM · 3 reps · 864-322-6046
65
WISNIEWSKI WEALTH MANAGEMENT — now reports custody of client assets ($165.0M). IAPD ↗
$159.6M RAUM · 2 reps · (972) 965-8261 · wi-wm.com
65
CHELSEA ADVISORY SERVICES, INC — now reports custody of client assets ($101.0M). IAPD ↗
$101.0M RAUM · 19 reps · 718-967-8400 · chfs.com
65
FINSYM PARTNERS, LLC — now reports custody of client assets ($1.7M). IAPD ↗
$136.2M RAUM · 2 reps · 206-510-9234 · finsymllc.com
65
TFS ADVISORS, LLC — now reports custody of client assets ($3.3M). IAPD ↗
$121.4M RAUM · 2 reps · (425) 776-0446 · tfsadvisors.com
65
PETERSON FINANCIAL GROUP, INC. — now reports custody of client assets ($1.2M). IAPD ↗
$190.4M RAUM · 2 reps · 515-226-1500 · petersonfg.com
65
FLORENCE CAPITAL ADVISORS, LLC — now reports custody of client assets ($5.1M). IAPD ↗
$117.0M RAUM · 1 reps · (212) 202-3296 · florencecapital.com
65
PFG PRIVATE WEALTH MANAGEMENT, LLC — now reports custody of client assets ($3.1M). IAPD ↗
$203.7M RAUM · 6 reps · 813-286-7776
65
IOWA WEALTH MANAGEMENT, LLC — now reports custody of client assets ($1.0M). IAPD ↗
$112.2M RAUM · 2 reps · 515-225-1924
65
4J WEALTH MANAGEMENT, LLC — now reports custody of client assets ($28.7M). IAPD ↗
$245.0M RAUM · 3 reps · (703) 566-9573
65
BROADWEALTH LLC — now reports custody of client assets ($35.6M). IAPD ↗
$132.8M RAUM · 1 reps · 617-549-1990
65
1858 WEALTH MANAGEMENT, LLC — now reports custody of client assets ($67.5M). IAPD ↗
$171.9M RAUM · 2 reps · (234) 678-5183 · 1858wm.com
65
BLACK HORSE WEALTH MANAGEMENT — now reports custody of client assets ($8.0M). IAPD ↗
$138.4M RAUM · 1 reps · 408-316-6364 · blackhorsewealth.com
65
SYNERGY FG — now reports custody of client assets ($11.9M). IAPD ↗
$220.1M RAUM · 4 reps · 888-734-2006 X3
65
COLORADO WEALTH GROUP LLC — now reports custody of client assets ($5.2M). IAPD ↗
$175.8M RAUM · 9 reps · 720-729-2500 · coloradowealthgroup.com
65
LSB WEALTH MANAGEMENT — now reports custody of client assets ($62.2M). IAPD ↗
$231.8M RAUM · 7 reps · 515-327-9922 · mylsbcapital.com
65
GILPIN WEALTH MANAGEMENT LLC — now reports custody of client assets ($884,092). IAPD ↗
$171.2M RAUM · 4 reps · 720-893-2800 · gilpinwealth.com
65
NAUTILUS WEALTH ADVISORS — now reports custody of client assets ($3.1M). IAPD ↗
$107.6M RAUM · 1 reps · (321) 724-1888 · nautiluswealthadvisors.com
65
ALLIANCE WEALTH MANAGEMENT PARTNERS LLC — now reports custody of client assets ($19.2M). IAPD ↗
$184.3M RAUM · 6 reps · (865) 862-5956 · secwealthmanagement.com
65
DISCIPLINE WEALTH SOLUTIONS, INC. — now reports custody of client assets ($144,588). IAPD ↗
$93.0M RAUM · 2 reps · 864-322-6046 · disciplinewealth.com
65
INTREPID WEALTH PARTNERS, LLC — now reports custody of client assets ($35.1M). IAPD ↗
$35.1M RAUM · 2 reps · 8554978737 · tribeofluxury.com
65
DAUS FINANCIAL GROUP, LLC — now reports custody of client assets ($60.6M). IAPD ↗
$154.1M RAUM · 3 reps · (269) 321-7472 · dausfinancial.com
65
HIGHLANDS INVESTMENT MANAGEMENT — now reports custody of client assets. IAPD ↗
$0 RAUM · 1 reps · 305 319-1411 · wm-advisors.com
65
AUA PRIVATE WEALTH ADVISORS, LLC — now reports custody of client assets ($47.5M). IAPD ↗
$98.2M RAUM · 3 reps · (484) 965-0991
65
ELEVATION WEALTH PARTNERS LLC — now reports custody of client assets ($54.2M). IAPD ↗
$160.8M RAUM · 2 reps · (561) 491-0518 · elevationwealthpartners.net
65
ALCALA MULTI FAMILY OFFICE — now reports custody of client assets. IAPD ↗
$0 RAUM · 3 reps · (646) 559-0560
65
CARLIN WEALTH MANAGEMENT GROUP, LLC — now reports custody of client assets ($7.0M). IAPD ↗
$150.2M RAUM · 1 reps · 737-414-6565 · carlinwealthmanagementgroup.com
65
ENSPIRE WEALTH MANAGEMENT, LLC — now reports custody of client assets ($74.5M). IAPD ↗
$95.9M RAUM · 2 reps · (707) 525-1099 · enspirewealth.com
65
ECHELONS CAPITAL, LLC — now reports custody of client assets ($10.1M). IAPD ↗
$129.9M RAUM · 1 reps · 706-372-4218
65
SALIENT WEALTH PLANNING — now reports custody of client assets ($166.0M). IAPD ↗
$166.0M RAUM · 2 reps · 858-768-0094 · salientwealthplanning.com
65
DECISIONMAP WEALTH MANAGEMENT, LLC — now reports custody of client assets ($14.7M). IAPD ↗
$177.4M RAUM · 3 reps · (703) 520-1160 · decisionmap.com
85
SR ALTERNATIVE CREDIT, LLC — (DARIEN, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 203-656-3004
85
LONGEVITY WEALTH ADVISORS, LLC — (ORLANDO, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 407-358-3332 · ablwealth.com
85
SIMPLIFY EQLS LLC — (NEW YORK, NY) is newly SEC-registered with $114.3M RAUM and 10 advisory reps. IAPD ↗institutional
$114.3M RAUM · 10 reps · 646-585-0476
85
MESIROW RE-IA, INC. — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 312-595-6000 · mesirowfinancial.com
85
BUENA CAPITAL ADVISORS LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 8005357096 · buenacapital.com
85
EAGLE POINT DEFENSIVE INCOME MANAGEMENT LLC — (GREENWICH, CT) is newly SEC-registered with $0 RAUM and 20 advisory reps. IAPD ↗institutional
$0 RAUM · 20 reps · 203-340-8500
85
DUNN CAPITAL MANAGEMENT — (STUART, FL) is newly SEC-registered with $162.8M RAUM and 6 advisory reps. IAPD ↗institutional
$162.8M RAUM · 6 reps · 772-286-4777 · dunncapital.com
85
CURAFIN ADVISORS — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 480-284-7080 · curafinadvisors.com
85
PEAKSHARES LLC — (TAMPA, FL) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 704-281-0028
85
LANDMARK INVESTMENT PARTNERS, L.P. — (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 949-648-4878
85
BELL PARTNERS — (GREENSBORO, NC) is newly SEC-registered with $5.72B RAUM and 65 advisory reps. IAPD ↗fund
$5.72B RAUM · 65 reps · 336-232-1900 · bellpartnersinc.com
85
COPPER PLACE GLOBAL CAPITAL LLC — (CLYDE HILL, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 206-743-5907
85
ONEX CREDIT ADVISOR, LLC — (ENGLEWOOD CLIFFS, NJ) is newly SEC-registered with $0 RAUM and 55 advisory reps. IAPD ↗institutional
$0 RAUM · 55 reps · (201) 541-2121 · onex.com
83
BRIDGE NET LEASE FUND MANAGER LLC — (SANDY, UT) is newly SEC-registered with $699.9M RAUM and 12 advisory reps. IAPD ↗fund
$699.9M RAUM · 12 reps · 801-716-1463 · bridgeig.com
80
FORMAN CAPITAL, LLC — (BOYNTON BEACH, FL) is newly SEC-registered with $123.7M RAUM and 8 advisory reps. IAPD ↗fund
$123.7M RAUM · 8 reps · 561-588-0132 · formancap.com
75
HOLBROOK HOLDINGS, INC. — crossed $1B in regulatory AUM ($954.7M -> $1.55B). IAPD ↗institutional
$1.55B RAUM · 2 reps · 678-400-3980 · holbrookholdings.com
75
BAYESIAN CAPITAL MANAGEMENT, LP — crossed $1B in regulatory AUM ($812.3M -> $1.09B). IAPD ↗institutional
$1.09B RAUM · 1 reps · (718) 332-4567 · bayesian.capital
75
IRONSHORE FINANCIAL — crossed $1B in regulatory AUM ($930.5M -> $1.10B). IAPD ↗institutional
$1.10B RAUM · 1 reps · 937-872-4015 · ironshorefinancial.com
75
DB ADVISORY AMERICA, LIMITED(LTD) — crossed $1B in regulatory AUM ($882.0M -> $1.20B). IAPD ↗institutional
$1.20B RAUM · 2 reps · 917-261-798
70
GREENBRIER PARTNERS CAPITAL MANAGEMENT, LLC — crossed $1B in regulatory AUM ($694.5M -> $1.03B). IAPD ↗fund
$1.03B RAUM · 3 reps · 214-720-2060
70
ENTROPY TECHNOLOGIES, LP — crossed $1B in regulatory AUM ($974.7M -> $1.13B). IAPD ↗fund
$1.13B RAUM · 2 reps · 646-706-5703
70
ALKEN ASSET MANAGEMENT LTD — (LONDON, United Kingdom) is newly SEC-registered with $1.74B RAUM and 14 advisory reps. IAPD ↗foreign
$1.74B RAUM · 14 reps · -545 · alken-am.com
65
HOOVEST CAPITAL MANAGEMENT — (WEST VANCOUVER, Canada) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 604-229-2788
65
UTI ASSET MANAGEMENT COMPANY LIMITED — (MUMBAI, MAHARASHTRA, India) is newly SEC-registered with $0 RAUM and 48 advisory reps. IAPD ↗foreign
$0 RAUM · 48 reps · 91 022 6678 6686 · utimf.com
58
AMBER INFRASTRUCTURE INVESTMENT ADVISOR LLC — now reports custody of client assets ($284.2M). IAPD ↗institutional
$284.2M RAUM · 11 reps · 332-233-9292 · amberinfrastructure.com
55
JEFFERIES FINANCE LLC — now reports custody of client assets ($104.5M). IAPD ↗fund
$16.41B RAUM · 50 reps · 212-284-3474 · apexcreditpartners.com
55
TRILL IMPACT ADVISORY INC. — now reports custody of client assets. IAPD ↗institutional
$80.3M RAUM · 2 reps · 917-733-5510
50
BIRNAM OAK ADVISORS, LP — now reports custody of client assets ($169.5M). IAPD ↗fund
$169.5M RAUM · 3 reps · 212-970-5800
50
KRF FUND MANAGER, LLC — now reports custody of client assets ($460.0M). IAPD ↗fund
$230.0M RAUM · 2 reps · 212-202-1730
38
AUGUST CAPITAL — now reports custody of client assets ($36.4M). IAPD ↗foreign
$515.9M RAUM · 3 reps · 438-792-5161 · augustgroup.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.