← Tributary

Custodian — June 2024

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

164 firms opened this window in the June 2024 SEC roster: 139 new registration, 22 custody started, 3 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

100
TIDE CYCLE RESOURCES LLC — (PORTSMOUTH, NH) is newly SEC-registered with $1.40B RAUM and 1 advisory reps. IAPD ↗
$1.40B RAUM · 1 reps · 207-752-3154
95
LONG ISLAND FINANCIAL GROUP, INC — (location n/a) is newly SEC-registered with $36.5M RAUM and 1 advisory reps. IAPD ↗
$36.5M RAUM · 1 reps · 516-741-1966
95
NEWPORT INVESTMENT ADVISORS INC — (BEACHWOOD, OH) is newly SEC-registered with $114.8M RAUM and 2 advisory reps. IAPD ↗
$114.8M RAUM · 2 reps · 216-514-5151 · 1800newport.com
95
ADVANTAGE INVESTING, INC. — (CHESAPEAKE, VA) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
$102.2M RAUM · 2 reps · 757-547-8257 · advantageinvesting.com
95
ARNOLD CASTELLANO AND ASSOCIATES, LLC — (SHREVEPORT, LA) is newly SEC-registered with $113.7M RAUM and 3 advisory reps. IAPD ↗
$113.7M RAUM · 3 reps · 318-683-1040 · todaycpa.com
95
APPALACHIAN CAPITAL MANAGEMENT — (ST. CLAIRSVILLE, OH) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
$132.4M RAUM · 1 reps · 740-695-3434 · appcapitalmgt.com
95
CHALLENGER WEALTH MANAGEMENT — (ALISO VIEJO, CA) is newly SEC-registered with $177.3M RAUM and 1 advisory reps. IAPD ↗
$177.3M RAUM · 1 reps · (949) 754-0464
95
BLUE WATER CAPITAL MANAGEMENT, LLC — (APEX, NC) is newly SEC-registered with $128.0M RAUM and 3 advisory reps. IAPD ↗
$128.0M RAUM · 3 reps · 919-589-2528 · bluewaterportfolios.com
95
MCCARTHY WEALTH & TAX ADVISORS — (SPRINGBORO, OH) is newly SEC-registered with $133.2M RAUM and 3 advisory reps. IAPD ↗
$133.2M RAUM · 3 reps · 937-748-4765 · mccarthywealth.com
95
FR FINANCIAL ADVISORS LLC — (CORAL SPRINGS, FL) is newly SEC-registered with $109.5M RAUM and 2 advisory reps. IAPD ↗
$109.5M RAUM · 2 reps · 954-755-0222 · fradv.com
95
SNOWBALL WEALTH MANAGEMENT — (BOULDER, CO) is newly SEC-registered with $123.5M RAUM and 3 advisory reps. IAPD ↗
$123.5M RAUM · 3 reps · 303-666-6292 · snowballwm.com
95
PERIOPE, LC — (ST. GEORGE, UT) is newly SEC-registered with $124.9M RAUM and 2 advisory reps. IAPD ↗
$124.9M RAUM · 2 reps · 435-634-9008 · periope.com
95
CYPRESS ASSET MANAGEMENT, INC. — (location n/a) is newly SEC-registered with $134.7M RAUM and 2 advisory reps. IAPD ↗
$134.7M RAUM · 2 reps · 309-679-9146 · betterwaywealth.com
95
BLOCK WEALTH MANAGEMENT, INC — (location n/a) is newly SEC-registered with $127.5M RAUM and 1 advisory reps. IAPD ↗
$127.5M RAUM · 1 reps · (760) 796-5550
95
HAVEN CAPITAL GROUP — (WESTLAKE VILLAGE, CA) is newly SEC-registered with $118.9M RAUM and 1 advisory reps. IAPD ↗
$118.9M RAUM · 1 reps · 805-963-9050 · havencapitalgroup.com
95
TNT ASSET MANAGEMENT, LLC — (ROUND ROCK, TX) is newly SEC-registered with $122.3M RAUM and 4 advisory reps. IAPD ↗
$122.3M RAUM · 4 reps · 512 255-1600 · tntfinancial.com
95
HALL CAPITAL, LLC — (PASADENA, CA) is newly SEC-registered with $107.3M RAUM and 1 advisory reps. IAPD ↗
$107.3M RAUM · 1 reps · 626-578-5700 · hallcapitalmanagement.com
95
HINCHLEY ADVISORY GROUP, LLC — (CENTENNIAL, CO) is newly SEC-registered with $124.7M RAUM and 1 advisory reps. IAPD ↗
$124.7M RAUM · 1 reps · 303-284-8081 · hinchleyandco.com
95
PALLER FINANCIAL SERVICES, INC. — (CENTENNIAL, CO) is newly SEC-registered with $126.0M RAUM and 2 advisory reps. IAPD ↗
$126.0M RAUM · 2 reps · 303-858-0045 · pallerfinancial.com
95
INVESTORS MOSAIC — (location n/a) is newly SEC-registered with $119.5M RAUM and 2 advisory reps. IAPD ↗
$119.5M RAUM · 2 reps · (617) 272-0006 · investorsmosaic.com
95
FULCRUM WEALTH ADVISORS, LLC — (BELLEVUE, WA) is newly SEC-registered with $105.7M RAUM and 3 advisory reps. IAPD ↗
$105.7M RAUM · 3 reps · 425-250-6280
95
HIPPOCRATIC FINANCIAL ADVISORS — (WESTLAKE VILLAGE, CA) is newly SEC-registered with $123.0M RAUM and 4 advisory reps. IAPD ↗
$123.0M RAUM · 4 reps · 866-447-2380 · hippocraticfa.com
95
CHUNG WU INVESTMENT GROUP, LLC — (SUGAR LAND, TX) is newly SEC-registered with $110.4M RAUM and 2 advisory reps. IAPD ↗
$110.4M RAUM · 2 reps · (281) 203-0069 · cw-investmentgroup.com
95
HORSE COVE PARTNERS LLC — (ATLANTA, GA) is newly SEC-registered with $102.0M RAUM and 4 advisory reps. IAPD ↗
$102.0M RAUM · 4 reps · 678-905-5723
95
FUTURE PERFECT PLANNING, LLC — (location n/a) is newly SEC-registered with $25.2M RAUM and 1 advisory reps. IAPD ↗
$25.2M RAUM · 1 reps · 646-543-8065 · futureperfect.nyc
95
DOLAN CAPITAL ADVISORS, INC. — (CHARLOTTE, NC) is newly SEC-registered with $127.2M RAUM and 2 advisory reps. IAPD ↗
$127.2M RAUM · 2 reps · (704) 887-4969
95
TFG FINANCIAL ADVISORS, LLC — (NORTH PALM BEACH, FL) is newly SEC-registered with $111.9M RAUM and 4 advisory reps. IAPD ↗
$111.9M RAUM · 4 reps · (561) 209-1120 · tfgfa.com
95
TAURUM RETIREMENT PARTNERS, LLC — (MESA, AZ) is newly SEC-registered with $113.8M RAUM and 2 advisory reps. IAPD ↗
$113.8M RAUM · 2 reps · 480-626-2501
95
MEDICUS WEALTH PLANNING, INC. — (DRAPER, UT) is newly SEC-registered with $100.9M RAUM and 4 advisory reps. IAPD ↗
$100.9M RAUM · 4 reps · 801-994-4777
95
RIDGELINE WEALTH ADVISORS, LLC. — (RALEIGH, NC) is newly SEC-registered with $117.7M RAUM and 3 advisory reps. IAPD ↗
$117.7M RAUM · 3 reps · 919-782-0494 · ridgelinewealthadvisors.com
95
BUCKET LIST WEALTH MANAGEMENT, LLC — (THE VILLAGES, FL) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
$104.5M RAUM · 3 reps · 352-307-8652 · bucketlistwealth.com
95
KAIZEN RETIREMENT PLAN ADVISORS, LLC — (location n/a) is newly SEC-registered with $130.9M RAUM and 1 advisory reps. IAPD ↗
$130.9M RAUM · 1 reps · 508-850-6401 · kaizenrpa.com
95
BALLINA CAPITAL, LLC — (location n/a) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
$111.9M RAUM · 1 reps · 424-835-2744 · ballinacapital.us
95
CALDER FINANCIAL LLC — (location n/a) is newly SEC-registered with $109.8M RAUM and 1 advisory reps. IAPD ↗
$109.8M RAUM · 1 reps · 610-458-8373 · calderfinancial.net
95
SCHOLAR FINANCIAL ADVISING, LLC — (location n/a) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · (336) 360-6833 · scholarfinancialadvising.com
95
INDEPENDENCE WEALTH ADVISORS, LLC — (INDEPENDENCE, OH) is newly SEC-registered with $127.9M RAUM and 5 advisory reps. IAPD ↗
$127.9M RAUM · 5 reps · 216-268-3888 · iwadirect.com
95
THE WEALTHPLAN LLC — (GREAT NECK, NY) is newly SEC-registered with $62.8M RAUM and 1 advisory reps. IAPD ↗
$62.8M RAUM · 1 reps · 516-400-7111
95
OAK CREEK PRIVATE WEALTH MANAGEMENT LLC — (TULSA, OK) is newly SEC-registered with $2.9M RAUM and 1 advisory reps. IAPD ↗
$2.9M RAUM · 1 reps · 704-904-5721 · oakcreekwealth.com
95
SAGACE WEALTH MANAGEMENT — (ST. PETERSBURG, FL) is newly SEC-registered with $100.4M RAUM and 6 advisory reps. IAPD ↗
$100.4M RAUM · 6 reps · (727) 493-9700
95
UNITY WEALTH PARTNERS — (ORANGE, CA) is newly SEC-registered with $7.8M RAUM and 3 advisory reps. IAPD ↗
$7.8M RAUM · 3 reps · (949) 688-0928 · unitywealthpartners.com
95
WINNOW WEALTH, LLC — (WACO, TX) is newly SEC-registered with $101.0M RAUM and 3 advisory reps. IAPD ↗
$101.0M RAUM · 3 reps · 254-776-8400 · winnowwealth.com
95
PEAK RETIREMENT PLANNING, INC. — (COLUMBUS, OH) is newly SEC-registered with $106.0M RAUM and 6 advisory reps. IAPD ↗
$106.0M RAUM · 6 reps · (614) 500-4121 · peakretirementplanning.com
95
SECOND SUMMIT WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · (415)-275-2442
95
ATHENA WEALTH MANAGEMENT, LLC — (INCLINE VILLAGE, NV) is newly SEC-registered with $107.7M RAUM and 1 advisory reps. IAPD ↗
$107.7M RAUM · 1 reps · (408) 684-3705 · athenawm.com
95
BIG SKY WEALTH ADVISORS, LLC — (GREAT FALLS, MT) is newly SEC-registered with $107.8M RAUM and 1 advisory reps. IAPD ↗
$107.8M RAUM · 1 reps · 406-315-2627 · bigskywealthadvisors.com
95
OUTWING PRIVATE WEALTH MANAGEMENT — (SANTA BARBARA, CA) is newly SEC-registered with $163.3M RAUM and 1 advisory reps. IAPD ↗
$163.3M RAUM · 1 reps · (805) 880-9464 · outwingwealth.com
95
PATHWAY PARTNERS WEALTH ADVISORS, LLC — (AMHERST, NY) is newly SEC-registered with $34.3M RAUM and 5 advisory reps. IAPD ↗
$34.3M RAUM · 5 reps · 716-929-6010 · pathwaypartnerswa.com
95
WEALTH MORE ENTERPRISE, INC. — (PHILADELPHIA, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 888-303-6361 · getwealthmore.com
95
TRIBRIDGE PARTNERS FINANCIAL LLC — (COLUMBIA, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 240-422-8799
95
CAPITAL IP INVESTMENT PARTNERS LP — (location n/a) is newly SEC-registered with $194.3M RAUM and 4 advisory reps. IAPD ↗
$194.3M RAUM · 4 reps · 1-646-287-8753 · capitalip.com
95
TRUVIUS — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 617-518-5423
95
CAVALCADE CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 212-287-7727 · cavalcade.capital
95
503 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 · 913-276-7433
95
MOKAN WEALTH MANAGEMENT — (OVERLAND PARK, KS) is newly SEC-registered with $110.4M RAUM and 1 advisory reps. IAPD ↗
$110.4M RAUM · 1 reps · 913-257-3991 · mokanwealth.com
95
ELYXIUM WEALTH LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 415-264-0468 · elyfo.com
95
DLK INSTITUTIONAL PARTNERS — (MERCER ISLAND, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 206.203.0010
95
VERIDAN WEALTH — (WEST LINN, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 503-946-9733 · veridanwealth.com
95
AXIUS ADVISORS LLC — (SAINT CHARLES, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 636-493-9600
95
PARR MCKNIGHT WEALTH MANAGEMENT GROUP — (MINNEAPOLIS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 612-324-0235 · parrmcknightwmg.com
95
WHALE — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 3122484797 · getwhale.co
95
BRISTOL WEALTH GROUP — (TAUNTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 508-738-6248 · bristolcountysavings.com
95
ZEGA INVESTMENTS — (PALM BEACH GARDENS, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · 800.380.9342
95
UPSTREAM LIFE WEALTH MANAGEMENT LLC — (OXFORD, MS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 6628011029
95
IMPACT RETIREMENT ADVISORS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 507-581-6131
95
BINGHAM PRIVATE WEALTH, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 415-426-5652 · binghamprivate.com
95
HS WEALTH PARTNERS — (ALBUQUERQUE, NM) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 505-717-1680 · hswealthpartners.com
95
FULFILLED — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 1-416-303-4942 · fulfilledwealth.co
95
BASSAM WEALTH MANAGEMENT, LLC — (PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (561) 231-5642 · bassamwealthmanagement.com
95
CRUX WEALTH ADVISORS — (LONG BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 16 advisory reps. IAPD ↗
$0 RAUM · 16 reps · 562.735.3875
95
KETRON FINANCIAL LLC — (NOVATO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 415-892-0928 · ketronfinancial.com
95
INTEGRITY WEALTH LLC — (EUGENE, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (541) 650-6061 · integritywealthnw.com
95
EPOGEE CAPITAL 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 · 9788867388
95
LONGVIEW FINANCIAL PARTNERS — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 2039131621
95
CARRERA CAPITAL ADVISORS — (TROY, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 248-362-5009
95
PACIFIC FINANCIAL ADVISORY SERVICES — (DANVILLE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 925-838-7567
95
GULFSTREAM ASSET MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 786-512-1989
95
BONA FIDE WEALTH — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 512-636-5747 · bonafide-wealth.com
95
FORMULATE 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 · 5612690330
95
TOPSAIL WEALTH MANAGEMENT LLC — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 980-308-9901 · topsailwealthmanagement.com
95
ALTERI WEALTH — (WESTLAKE VILLAGE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 805-809-0400 · alteriwealth.com
95
THE KIECKHEFER GROUP — (MEQUON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 4147043826
95
GUILBAULT CAPITAL — (METAIRIE, LA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 504-849-6677
95
BLUE BEAR 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 · (407) 625-7598
95
ZERO DAY CAPITAL ENTERPRISES LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (617) 800-0388
95
LAFISE GLOBAL ADVISORS LLC — (MIAMI, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 305-374-6001
95
OSPREY PRIVATE WEALTH LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 646-445-5107
95
SWP INVESTMENT MANAGEMENT LLC — (INDEPENDENCE, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 216-800-9000
95
LFG WEALTH PARTNERS, LLC — (ELIZABETHTOWN, KY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 877-573-2043
95
WIMER INVESTMENT MANAGEMENT — (SCOTCH PLAINS, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 7327639237
95
PANORAMIC CAPITAL PARTNERS LLC — (LAKE OSWEGO, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 503-937-7420 · panoramiccp.com
95
FOUNDERS GROVE WEALTH PARTNERS, LLC — (RICHMOND, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (804) 910-0001
95
OUTRUNNER 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 · 512-917-5389
95
ONE WEALTH CAPITAL MANAGEMENT, LLC — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 855-663-9584 · onewealthmgmt.com
85
L & S ADVISORS, INC — crossed $1B in regulatory AUM ($830.5M -> $1.01B). IAPD ↗
$1.01B RAUM · 15 reps · 310-893-6060 · lsadvisor.com
70
UBS ASSET MANAGEMENT (AMERICAS) LLC — now reports custody of client assets ($219.47B). IAPD ↗
$477.86B RAUM · 411 reps · 212-821-3000 · ubs.com
68
CLARITY CAPITAL PARTNERS — now reports custody of client assets ($254.6M). IAPD ↗
$371.4M RAUM · 11 reps · 800-805-7526 · claritycapitalllc.com
68
CANDACE SHIRA ASSOCIATES, LLC — now reports custody of client assets ($86.5M). IAPD ↗
$367.4M RAUM · 3 reps · 585-249-1550 · candaceshira.com
68
CURRAN FINANCIAL PARTNERS, LLC — now reports custody of client assets ($189.2M). IAPD ↗
$472.7M RAUM · 10 reps · (843) 300-1182
68
FIORI FINANCIAL GROUP — now reports custody of client assets. IAPD ↗
$385.3M RAUM · 5 reps · 954-763-2600
65
TYNER CAPITAL MANAGEMENT INVESTMENT COUNSEL, INC. — now reports custody of client assets ($57.9M). IAPD ↗
$210.2M RAUM · 1 reps · 423-886-2625
65
WEALTH ANALYTICS PARTNERS, LLC — now reports custody of client assets ($126.3M). IAPD ↗
$237.7M RAUM · 5 reps · 858-794-2100
65
PROFICIENT WEALTH COUNSELORS, LLC — now reports custody of client assets ($2.3M). IAPD ↗
$106.2M RAUM · 1 reps · 781-278-9488 · proficientwealth.com
65
BEERS KIGHT FINANCIAL ADVISORS, LLC — now reports custody of client assets ($26.0M). IAPD ↗
$172.3M RAUM · 2 reps · 803-787-0003
65
PUSHKIN ADVISORY GROUP, LLC — now reports custody of client assets ($32.3M). IAPD ↗
$36.7M RAUM · 1 reps · 315-269-2828
65
TRADEWAY — now reports custody of client assets ($68.4M). IAPD ↗
$68.4M RAUM · 17 reps · 877-777-0703 · tradeway.com
65
CATALYST WEALTH MANAGEMENT — now reports custody of client assets ($71.7M). IAPD ↗
$71.7M RAUM · 1 reps · 773-774-2600 · catalystwealthmgmt.com
65
CENTRAL WEALTH MANAGEMENT LLC — now reports custody of client assets ($45.3M). IAPD ↗
$101.3M RAUM · 1 reps · 608-841-1555 · centralwealthmanagement.com
65
FUNDIFY ADVISORS LLC — now reports custody of client assets. IAPD ↗
$0 RAUM · 3 reps · 512-645-1010 · fundify.com
65
BURR FINANCIAL SERVICES, LLC — now reports custody of client assets ($55.9M). IAPD ↗
$118.5M RAUM · 3 reps · 925-676-6007
65
EMBARCADERO CAPITAL ADVISORS — now reports custody of client assets ($7.0M). IAPD ↗
$40.0M RAUM · 2 reps · 949-371-9796 · embarcaderocapitaladvisors.com
65
SOLOMON CAPITAL PARTNERS LLC — now reports custody of client assets. IAPD ↗
$0 RAUM · 1 reps · 248-875-5700
65
BLACK POINT WEALTH MANAGEMENT — now reports custody of client assets ($41.0M). IAPD ↗
$187.5M RAUM · 2 reps · 239-306-6300
65
TC43 LLC — now reports custody of client assets ($21.5M). IAPD ↗
$66.7M RAUM · 6 reps · 917-363-7217
65
GATEPASS CAPITAL, LLC — now reports custody of client assets ($44.5M). IAPD ↗
$103.2M RAUM · 3 reps · 833-428-3727 · gatepass.capital
65
FRIDAY FINANCIAL — now reports custody of client assets ($44.0M). IAPD ↗
$129.1M RAUM · 4 reps · (563) 552-7526
88
BRYCE POINT CAPITAL LLC — (SCARSDALE, NY) is newly SEC-registered with $318.3M RAUM and 1 advisory reps. IAPD ↗institutional
$318.3M RAUM · 1 reps · 646-450-0445
85
PEGASUS TECH VENTURES, INC. — (SAN JOSE, CA) is newly SEC-registered with $2.15B RAUM and 28 advisory reps. IAPD ↗fund
$2.15B RAUM · 28 reps · 408-645-5532
85
RCF ASSET MANAGEMENT GROUP 3, LLC — (STUDIO CITY, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · (310) 598-7070 · rangesummit.com
85
MERIDIEM CAPITAL PARTNERS LP — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗institutional
$0 RAUM · 10 reps · (214) 477-4886 · meridiemcapital.com
85
RSC INDUSTRIAL ASSET MANAGEMENT GROUP 2, LLC — (STUDIO CITY, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 310-598-7073 · rangesummit.com
85
ACADIA INFRASTRUCTURE CAPITAL LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗institutional
$0 RAUM · 9 reps · 6464992075 · acadiainfrastructure.com
85
RCF ASSET MANAGEMENT GROUP 4, LLC — (STUDIO CITY, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 310-598-7070 · rangesummit.com
85
KIAN CAPITAL PARTNERS, LLC — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗institutional
$0 RAUM · 15 reps · 704-943-2500
85
GEMCORP CAPITAL ADVISORS 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 · 1-646-979-8494
85
TRITON PACIFIC HEALTHCARE PARTNERS, LLC — (SAN JUAN CAPISTRANO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 804-893-3712
85
PELICAN INVESTS — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · (347) 450-1767 · pelicaninvests.com
85
CCS CREDIT SOLUTIONS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 212 224-9400 · ccs-partners.com
85
MAIN CAPITAL PARTNERS NORTH AMERICA LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $41.0M RAUM and 4 advisory reps. IAPD ↗institutional
$41.0M RAUM · 4 reps · 617-207-4175
85
POP VENTURE ADVISERS 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 · 917-693-2798
85
BOXER CAPITAL MANAGEMENT, LLC — (SAN DIEGO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 858.400.3115
85
CION GROSVENOR MANAGEMENT, 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 · 646-253-8235 · cioninvestments.com
85
JAIN GLOBAL LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 35 advisory reps. IAPD ↗institutional
$0 RAUM · 35 reps · 212-671-4147 · jainglobal.com
85
GREENPORTFOLIO INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-719-0206 · greenportfolio.com
85
MOUNTAIN POINT CREDIT MANAGEMENT LLC — (GREENWICH, CT) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 203-900-5855
85
BDT & MSD BDC MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 189 advisory reps. IAPD ↗institutional
$0 RAUM · 189 reps · 212-303-1650 · bdtmsd.com
85
SUNRISE MANAGER LLC — (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 561-510-3315 · sunriserealtytrust.com
85
SOUTHERN EQUITY ADVISORS LLC — (ST. THOMAS, VI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 877-240-9233 · southernequity.com
85
AGENTSMYTH ADVISORS — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-826-9949 · agentsmyth.com
85
FISHER RETIREMENT SOLUTIONS LLC — (PLANO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 650-350-5254
85
SCIENCE & TECHNOLOGY PARTNERS, L.P. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 212-306-2600 · sandtpartners.com
85
ANNAPURNA CAPITAL MANAGEMENT LP — (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 · 561-232-6104
85
3FOURTEEN & SMI ADVISORY SERVICES, LLC — (COLUMBUS, IN) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 800-796-4975
85
BLUE OWL INSURANCE SOLUTIONS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 30 advisory reps. IAPD ↗institutional
$0 RAUM · 30 reps · (212) 419-3000
85
PROSPECT CREDIT REIT ADVISOR, LLC — (WEST PALM BEACH, FL) is newly SEC-registered with $0 RAUM and 50 advisory reps. IAPD ↗institutional
$0 RAUM · 50 reps · 561-285-4044
85
AGL US DL MANAGEMENT LLC. — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 32 advisory reps. IAPD ↗institutional
$0 RAUM · 32 reps · 212-973-8600
85
D2 ASSET MANAGEMENT — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 646-729-8315
83
ADIT VENTURES MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $318.4M RAUM and 2 advisory reps. IAPD ↗fund
$318.4M RAUM · 2 reps · 646-840-4944 · aditventures.com
83
RK CAPITAL MANAGEMENT, LLC — (WESTON, FL) is newly SEC-registered with $691.8M RAUM and 9 advisory reps. IAPD ↗fund
$691.8M RAUM · 9 reps · 561-408-1711 · rkcapl.com
83
1248 PARTNERS, LLC — (KANSAS CITY, MO) is newly SEC-registered with $258.0M RAUM and 2 advisory reps. IAPD ↗fund
$258.0M RAUM · 2 reps · 9139045500 · 1248partners.com
83
CLARITAS CAPITAL — (NASHVILLE, TN) is newly SEC-registered with $729.6M RAUM and 5 advisory reps. IAPD ↗fund
$729.6M RAUM · 5 reps · 615-690-7179 · claritascapital.com
83
AVANT MANAGEMENT LLC — (DENVER, CO) is newly SEC-registered with $331.6M RAUM and 8 advisory reps. IAPD ↗fund
$331.6M RAUM · 8 reps · 720-746-5053
83
CENTURY PARK CAPITAL PARTNERS — (EL SEGUNDO, CA) is newly SEC-registered with $273.6M RAUM and 8 advisory reps. IAPD ↗fund
$273.6M RAUM · 8 reps · 310-867-2210 · centuryparkcapital.com
80
KAZAZIAN ASSET MANAGEMENT, LLC — (FORT LAUDERDALE, FL) is newly SEC-registered with $189.8M RAUM and 2 advisory reps. IAPD ↗fund
$189.8M RAUM · 2 reps · 201-390-9585 · kazaziancapital.com
80
TRYPERION HOLDINGS LLC — (BEVERLY HILLS, CA) is newly SEC-registered with $111.6M RAUM and 7 advisory reps. IAPD ↗fund
$111.6M RAUM · 7 reps · 310-421-1033 · tryperion.com
80
A.P. GILFOYLE & CO., L.P. — (NEW YORK, NY) is newly SEC-registered with $1.9M RAUM and 2 advisory reps. IAPD ↗fund
$1.9M RAUM · 2 reps · 212-529-4550 · apgilfoyle.com
80
DV CAPITAL ADVISORS, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $109.2M RAUM and 3 advisory reps. IAPD ↗fund
$109.2M RAUM · 3 reps · 312-663-7111
80
GENERAL INNOVATION CAPITAL, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗fund
$0 RAUM · 6 reps · 917-816-1744 · generalinnovation.com
80
SLG CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 20 advisory reps. IAPD ↗fund
$0 RAUM · 20 reps · 212-594-2700
65
MODUM ASSET MANAGEMENT LLC — (MEXICO CITY, Mexico) is newly SEC-registered with $50.6M RAUM and 4 advisory reps. IAPD ↗foreign
$50.6M RAUM · 4 reps · (332) 223-4025 · modumam.com
65
SVN GLOBAL — (SAO PAULO, Brazil) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 55 (11) 99379-4848
65
I2 WEALTH - CROSS BORDER PLANNING — (MONTREAL, QUEBEC, Canada) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 1 438 462 7872
55
SPROTT ASSET MANAGEMENT LP — crossed $1B in regulatory AUM ($792.1M -> $1.42B). IAPD ↗foreign
$1.42B RAUM · 10 reps · 416-943-8099
55
MUDITA MANAGEMENT — crossed $1B in regulatory AUM ($771.8M -> $1.12B). IAPD ↗foreign
$1.12B RAUM · 4 reps · +44 20 3848 7530 · muditamanagement.com
50
TRIANGLE INVESTMENT MANAGEMENT, LLC — now reports custody of client assets ($256.0M). IAPD ↗fund
$128.0M RAUM · 8 reps · 646-346-8871

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.