Custodian — July 2024
Custodians courting new and breakaway RIAs (Schwab, Fidelity, Altruist, Axos, TradePMR).
118 firms opened this window in the July 2024 SEC roster: 92 new registration, 18 custody started, 8 aum crossed 1b.
98
CAUSEY WEALTH LLC — (location n/a) is newly SEC-registered with $292.5M RAUM and 6 advisory reps. IAPD ↗
95
STEVE LYNCH WEALTH MANAGEMENT — (ALBUQUERQUE, NM) is newly SEC-registered with $133.7M RAUM and 4 advisory reps. IAPD ↗
95
CONWAY FINANCIAL GROUP, LLC — (CHESTERFIELD, MO) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
95
FINANCIAL ADVISORY SERVICES — (SALT LAKE CITY, UT) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
95
AWR INVESTMENT MANAGEMENT, LLC — (SAN RAFAEL, CA) is newly SEC-registered with $115.8M RAUM and 1 advisory reps. IAPD ↗
95
SENSIBLE PORTFOLIOS, LLC — (location n/a) is newly SEC-registered with $156.5M RAUM and 2 advisory reps. IAPD ↗
95
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC — (LISLE, IL) is newly SEC-registered with $110.2M RAUM and 15 advisory reps. IAPD ↗
95
MZ CAPITAL, LLC — (location n/a) is newly SEC-registered with $132.4M RAUM and 2 advisory reps. IAPD ↗
95
NEWPORT WEALTH ADVISORS, INC. — (NEWPORT BEACH, CA) is newly SEC-registered with $140.4M RAUM and 7 advisory reps. IAPD ↗
95
COLOMB INVESTMENT MANAGEMENT COMPANY, LLC — (METAIRIE, LA) is newly SEC-registered with $1.6M RAUM and 4 advisory reps. IAPD ↗
95
PRINCE ASSET MANAGEMENT, INC. — (SARASOTA, FL) is newly SEC-registered with $112.4M RAUM and 2 advisory reps. IAPD ↗
95
WILLIAMS WEALTH MANAGEMENT GROUP, INC. — (BRADENTON, FL) is newly SEC-registered with $148.0M RAUM and 2 advisory reps. IAPD ↗
95
PINGORA PARTNERS LLC — (DALLAS, TX) is newly SEC-registered with $135.7M RAUM and 1 advisory reps. IAPD ↗
95
RYDAR EQUITIES, INC. — (WEATHERFORD, TX) is newly SEC-registered with $112.0M RAUM and 2 advisory reps. IAPD ↗
95
WELCY CAPITAL ADVISORS LLC — (MIAMI, FL) is newly SEC-registered with $150.6M RAUM and 3 advisory reps. IAPD ↗
95
KOOB WEALTH MANAGEMENT, LLC — (WHITE BEAR TOWNSHIP, MN) is newly SEC-registered with $125.8M RAUM and 2 advisory reps. IAPD ↗
95
HUMBLE CAPITAL MANAGEMENT LLC — (HONOLULU, HI) is newly SEC-registered with $115.6M RAUM and 2 advisory reps. IAPD ↗
95
BARRETT WEALTH CONNECTION LLC — (SPRING GROVE, IL) is newly SEC-registered with $123.9M RAUM and 2 advisory reps. IAPD ↗
95
RBF CAPITAL MANAGEMENT, INC. — (SARASOTA, FL) is newly SEC-registered with $107.1M RAUM and 1 advisory reps. IAPD ↗
95
TENCAP WEALTH COACHING — (SOUTH JORDAN, UT) is newly SEC-registered with $0 RAUM and 10 advisory reps. IAPD ↗
95
STEEL TOWER INVESTMENTS — (PITTSBURGH, PA) is newly SEC-registered with $115.6M RAUM and 4 advisory reps. IAPD ↗
95
MCBEATH FINANCIAL GROUP — (NORMAL, IL) is newly SEC-registered with $160.2M RAUM and 5 advisory reps. IAPD ↗
95
BRIGHT WEALTH MANAGEMENT, LLC — (LEWISVILLE, TX) is newly SEC-registered with $160.0M RAUM and 5 advisory reps. IAPD ↗
95
BOON CAPITAL ADVISORS LLC — (NORTHBROOK, IL) is newly SEC-registered with $146.9M RAUM and 1 advisory reps. IAPD ↗
95
CATALYST WEALTH ADVISORS LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
95
DANIEL KRUG & ASSOCIATES — (CLARKSTON, MI) is newly SEC-registered with $116.6M RAUM and 2 advisory reps. IAPD ↗
95
GERVAIS CAPITAL MANAGEMENT, LLC — (WILSON, WY) is newly SEC-registered with $116.1M RAUM and 1 advisory reps. IAPD ↗
95
FIDUCIARY WEALTH GROUP, LLC — (CENTERVILLE, OH) is newly SEC-registered with $110.7M RAUM and 2 advisory reps. IAPD ↗
95
ENGLEBERT FINANCIAL ADVISERS, LLC — (ALLENTOWN, PA) is newly SEC-registered with $125.2M RAUM and 2 advisory reps. IAPD ↗
95
JRB CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered with $130.7M RAUM and 1 advisory reps. IAPD ↗
95
WEALTHSPAN INVESTMENT MANAGEMENT, LLC — (GRAND RAPIDS, MI) is newly SEC-registered with $7.2M RAUM and 2 advisory reps. IAPD ↗
95
MAIDEN COVE CAPITAL — (CAPE ELIZABETH, ME) is newly SEC-registered with $109.9M RAUM and 1 advisory reps. IAPD ↗
95
HDA WEALTH MANAGEMENT, LLC — (POLAND, OH) is newly SEC-registered with $102.1M RAUM and 2 advisory reps. IAPD ↗
95
INTENTIONAL FUNDS — (PRINCETON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BRAZOS WEALTH ADVISORS LLC — (IOWA PARK, TX) is newly SEC-registered with $111.7M RAUM and 2 advisory reps. IAPD ↗
95
CORNERSTONE ADVISORS LLC — (FAYETTEVILLE, AR) is newly SEC-registered with $182.6M RAUM and 7 advisory reps. IAPD ↗
95
ALPHA VEE ADVISORS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
RELATION WEALTH MANAGEMENT, INC. — (TULSA, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
ASG ADVISORY, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PROSPERA CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
HARMONY WEALTH PARTNERS — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BRADY MARTZ WEALTH SOLUTIONS, LLC — (GRAND FORKS, ND) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
DOUGLASS INVESTMENT GROUP — (WICHITA, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
TORO WEST CAPITAL ADVISORS — (LOUISVILLE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
STORYONE FAMILY OFFICE — (LEAWOOD, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BELMONT PRIVATE WEALTH — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
917 ADVISORY SERVICES LLC — (SPOKANE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
A&M PRIVATE WEALTH PARTNERS, LLC — (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PARKWOODS WEALTH PARTNERS, LLC — (SYRACUSE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
HIGHROAD WEALTH ADVISORS, LLC — (COOS BAY, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
95
NEWERA WEALTH — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MUNIFI, LLC — (HERMOSA BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WALTON FINANCIAL — (BIRMINGHAM, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MAKE THE MEMORY FINANCIAL PLANNING — (location n/a) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
KONZA GLOBAL WEALTH GROUP — (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
LEE-KELLEHER WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ROMEN CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TOTAL WEALTH SERVICES, LLC — (WESTLAKE VILLAGE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
OWL CREEK WEALTH PARTNERS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BOYER FINANCIAL SERVICES, INC. — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
85
WOODSTOCK CORPORATION — crossed $1B in regulatory AUM ($921.7M -> $1.12B). IAPD ↗
85
MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC. — crossed $1B in regulatory AUM ($951.2M -> $1.16B). IAPD ↗
70
CERITY PARTNERS OCIO LLC — now reports custody of client assets ($14.93B). IAPD ↗
70
TCG ADVISORS, LLC A HUB INTERNATIONAL COMPANY — now reports custody of client assets ($3.18B). IAPD ↗
68
COHEN CAPITAL MANAGEMENT INC — now reports custody of client assets ($68.6M). IAPD ↗
68
NORTHSTAR FINANCIAL COMPANIES, INC. — now reports custody of client assets ($14.0M). IAPD ↗
68
TWO PRIME LLC — now reports custody of client assets ($250.0M). IAPD ↗
65
THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC — now reports custody of client assets ($15.3M). IAPD ↗
65
APERTURE ADVISORS LLC — now reports custody of client assets. IAPD ↗
65
CORAL REEF ADVISORS LLC — now reports custody of client assets ($105.3M). IAPD ↗
65
CIRO CAPITAL LLC — now reports custody of client assets ($58.6M). IAPD ↗
65
RDG CAPITAL MANAGEMENT LLC — now reports custody of client assets ($626,665). IAPD ↗
65
SALUS FINANCIAL ADVISORS — now reports custody of client assets ($6.6M). IAPD ↗
90
RCM GA MANAGER LLC — (NEW YORK, NY) is newly SEC-registered with $1.24B RAUM and 20 advisory reps. IAPD ↗institutional
85
PRECIDIAN FUNDS LLC — (NEWTOWN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
EAST BEACH ASSET MANAGEMENT, LLC — (LOS ANGELES, CA) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗institutional
85
NORTHAMPTON CAPITAL PARTNERS — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
85
CONNETIC VENTURES — (COVINGTON, KY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
S2G VENTURES — (CHICAGO, IL) is newly SEC-registered with $2.57B RAUM and 45 advisory reps. IAPD ↗fund
85
TWIN OAK ETF COMPANY — (NATICK, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
MFG PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
VENERABLE INVESTMENT ADVISERS, LLC — (WEST CHESTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
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LITTLE RIVER CAPITAL PARTNERS, LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
PL3 CAPITAL LP — (SUNNY ISLES BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
RIPPLE EFFECT ASSET MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
SOPHRON CAPITAL MANAGEMENT — (SUMMIT, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
GLADE CAPITAL MANAGEMENT LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
DIADEMA PARTNERS LP — (MORRISTOWN, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
OCTANE INVESTMENTS INC. — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
83
POSITIVE SELECTION INVESTMENT MANAGEMENT, LLC — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $500.0M RAUM and 2 advisory reps. IAPD ↗fund
80
PANORAMIC CAPITAL, LLC — (LARKSPUR, CA) is newly SEC-registered with $209.9M RAUM and 3 advisory reps. IAPD ↗fund
80
FACTORIAL PARTNERS, LLC — (MT. KISCO, NY) is newly SEC-registered with $177.9M RAUM and 1 advisory reps. IAPD ↗fund
80
BREACH INLET CAPITAL MANAGEMENT, LLC — (MT. PLEASANT, SC) is newly SEC-registered with $135.9M RAUM and 2 advisory reps. IAPD ↗fund
80
SAF ADVISORS LLC — (location n/a) is newly SEC-registered with $121.4M RAUM and 2 advisory reps. IAPD ↗fund
80
SEMANTEON CAPITAL MANAGEMENT, LP — (NEWTON, MA) is newly SEC-registered with $195.0M RAUM and 2 advisory reps. IAPD ↗fund
80
BH3 FUND ADVISORS, LLC — (FORT LAUDERDALE, FL) is newly SEC-registered with $175.5M RAUM and 8 advisory reps. IAPD ↗fund
80
CARR'S HILL PARTNERS — (NEW ORLEANS, LA) is newly SEC-registered with $177.1M RAUM and 6 advisory reps. IAPD ↗fund
80
CF CAPITAL LLC — (location n/a) is newly SEC-registered with $118.5M RAUM and 1 advisory reps. IAPD ↗fund
80
WALK-ON CAPITAL, LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $90.0M RAUM and 3 advisory reps. IAPD ↗fund
80
ASCENDANCE ASSET MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
75
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68
TREZ CAPITAL FUND MANAGEMENT LIMITED PARTNERSHIP — (VANCOUVER, BC, Canada) is newly SEC-registered with $415.7M RAUM and 6 advisory reps. IAPD ↗foreign
65
ETNA CAPITAL — (HONG KONG, Hong Kong) is newly SEC-registered with $20.4M RAUM and 3 advisory reps. IAPD ↗foreign
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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.