← Tributary

Custodian — September 2024

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

140 firms opened this window in the September 2024 SEC roster: 116 new registration, 22 custody started, 2 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
DIVERSIFIED, LLC — (WILMINGTON, DE) is newly SEC-registered with $1.55B RAUM and 25 advisory reps. IAPD ↗
$1.55B RAUM · 25 reps · 302-765-3500 · pinterest.com
100
CAUSEY PUBLIC FINANCE — (location n/a) is newly SEC-registered with $1.37B RAUM and 10 advisory reps. IAPD ↗
$1.37B RAUM · 10 reps · 303-518-3825 · causeypf.com
98
COHALO — (SNOQUALMIE, WA) is newly SEC-registered with $838.2M RAUM and 1 advisory reps. IAPD ↗
$838.2M RAUM · 1 reps · 833-426-4256 · cohalo.com
95
LPL ENTERPRISE, LLC — (FORT MILL, SC) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗
$0 RAUM · 12 reps · 704-733-3300 · lpl.com
95
ALPINE WEALTH ADVISORS, LLC — (DENVER, CO) is newly SEC-registered with $102.5M RAUM and 1 advisory reps. IAPD ↗
$102.5M RAUM · 1 reps · 7203186634 · alpinewealthadvisors.com
95
LANE BROTHERS INVESTMENT COUNSEL — (PRESCOTT, AZ) is newly SEC-registered with $162.3M RAUM and 4 advisory reps. IAPD ↗
$162.3M RAUM · 4 reps · 928-776-8870 · lanebrothers.com
95
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT — (HANOVER, NH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
$104.6M RAUM · 1 reps · 603-643-1415
95
LEXINGTON INVESTMENT CONSULTING, LLC — (NASHVILLE, TN) is newly SEC-registered with $120.4M RAUM and 2 advisory reps. IAPD ↗
$120.4M RAUM · 2 reps · 615-492-1011 · lex-life.com
95
ALJEN ASSET MANAGEMENT LLC — (CEDAR KNOLLS, NJ) is newly SEC-registered with $126.5M RAUM and 1 advisory reps. IAPD ↗
$126.5M RAUM · 1 reps · 973-316-1212
95
INVESTOLOGY INC. — (RESTON, VA) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
$138.0M RAUM · 3 reps · 703-429-1975 · investologyinc.net
95
FRISCO FINANCIAL PLANNING — (location n/a) is newly SEC-registered with $109.8M RAUM and 1 advisory reps. IAPD ↗
$109.8M RAUM · 1 reps · 469-248-6237 · friscofinancialplanning.com
95
SERVANT FINANCIAL, LTD. — (location n/a) is newly SEC-registered with $116.5M RAUM and 1 advisory reps. IAPD ↗
$116.5M RAUM · 1 reps · 630-264-0127 · servantfinancial.com
95
GRANITE CAPITAL — (OAKLAND, CA) is newly SEC-registered with $215.3M RAUM and 2 advisory reps. IAPD ↗
$215.3M RAUM · 2 reps · 510-336-9120 · granitecapitalllc.com
95
BROAD REACH CAPITAL LLC — (RALEIGH, NC) is newly SEC-registered with $110.7M RAUM and 2 advisory reps. IAPD ↗
$110.7M RAUM · 2 reps · 919-309-1406 · broadreachpartnersllc.com
95
COTE FINANCIAL MANAGEMENT — (location n/a) is newly SEC-registered with $120.0M RAUM and 1 advisory reps. IAPD ↗
$120.0M RAUM · 1 reps · 978-767-9501 · cotefinancialservices.com
95
STRATEGIC PORTFOLIO SOLUTIONS, LLC — (DALLAS, TX) is newly SEC-registered with $101.8M RAUM and 5 advisory reps. IAPD ↗
$101.8M RAUM · 5 reps · (214) 446-4910
95
SERVO WEALTH MANAGEMENT LLC — (OKLAHOMA CITY, OK) is newly SEC-registered with $130.5M RAUM and 1 advisory reps. IAPD ↗
$130.5M RAUM · 1 reps · (405) 384-5132 · servowealth.com
95
PARRISH CAPITAL, LLC — (KENNESAW, GA) is newly SEC-registered with $112.3M RAUM and 2 advisory reps. IAPD ↗
$112.3M RAUM · 2 reps · (800) 618-1940 · parrishcapital.com
95
WOMACK FINANCIAL LLC — (DALLAS, TX) is newly SEC-registered with $110.5M RAUM and 2 advisory reps. IAPD ↗
$110.5M RAUM · 2 reps · 214-843-0070 · womackfinancial.com
95
FPFOCO — (FORT COLLINS, CO) is newly SEC-registered with $101.5M RAUM and 3 advisory reps. IAPD ↗
$101.5M RAUM · 3 reps · 970-225-0504
95
L&S INVESTMENT ADVISORS, LLC — (MIAMI, FL) is newly SEC-registered with $130.6M RAUM and 5 advisory reps. IAPD ↗
$130.6M RAUM · 5 reps · 786-241-7000 · ls.finance
95
VANWEELDEN WEALTH MANAGEMENT, LLC — (WEST CHESTER TOWNSHIP, OH) is newly SEC-registered with $104.0M RAUM and 2 advisory reps. IAPD ↗
$104.0M RAUM · 2 reps · (513) 942-8961 · vanweeldengroup.com
95
MALVERN CAPITAL MANAGEMENT — (MALVERN, PA) is newly SEC-registered with $223.4M RAUM and 4 advisory reps. IAPD ↗
$223.4M RAUM · 4 reps · 610-979-1462 · malverncap.com
95
GRANT PRIVATE WEALTH MANAGEMENT — (PLEASANTON, CA) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
$105.8M RAUM · 3 reps · 925-378-5000
95
MACERATIO LLC — (MIAMI, FL) is newly SEC-registered with $129.4M RAUM and 2 advisory reps. IAPD ↗
$129.4M RAUM · 2 reps · 305-398-9010
95
ATX FINANCIAL PLANNING, LLC — (AUSTIN, TX) is newly SEC-registered with $107.7M RAUM and 2 advisory reps. IAPD ↗
$107.7M RAUM · 2 reps · 512-693-4040 · atxfinancialplanning.com
95
PMG FAMILY OFFICE, LLC — (PLANO, TX) is newly SEC-registered with $109.6M RAUM and 1 advisory reps. IAPD ↗
$109.6M RAUM · 1 reps · 214-550-8790
95
X ADVISORS, LLC — (SANTA MARIA, CA) is newly SEC-registered with $117.8M RAUM and 6 advisory reps. IAPD ↗
$117.8M RAUM · 6 reps · 805-465-9232 · xadvisors.co
95
REAL TALK CAPITAL, LLC — (FRANKLIN, TN) is newly SEC-registered with $102.6M RAUM and 4 advisory reps. IAPD ↗
$102.6M RAUM · 4 reps · 833-856-2088 · realtalkcapital.com
95
SCRATCH CAPITAL — (BOISE, ID) is newly SEC-registered with $114.6M RAUM and 3 advisory reps. IAPD ↗
$114.6M RAUM · 3 reps · 208-901-8018 · scratch-capital.com
95
FLATROCK WEALTH PARTNERS LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $115.2M RAUM and 2 advisory reps. IAPD ↗
$115.2M RAUM · 2 reps · (949) 687-2615 · flatrockwealth.com
95
BROOKLINE WEALTH, LLC — (AUSTIN, TX) is newly SEC-registered with $128.6M RAUM and 1 advisory reps. IAPD ↗
$128.6M RAUM · 1 reps · 512-222-9169 · brooklinewealth.com
95
UNIFY FINANCIAL ADVISORS — (CLEARWATER, FL) is newly SEC-registered with $116.3M RAUM and 2 advisory reps. IAPD ↗
$116.3M RAUM · 2 reps · 727-306-0299 · unifyfa.com
95
WAGNER WEALTH MANAGEMENT, CORP. — (SUGARLOAF, PA) is newly SEC-registered with $100.8M RAUM and 2 advisory reps. IAPD ↗
$100.8M RAUM · 2 reps · 570-987-6244 · wwmcorp.com
95
CLOUT CAPITAL — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 561-931-8430 · cloutcapital.com
95
LIFEGOAL WEALTH ADVISORS LLC — (location n/a) is newly SEC-registered with $82.0M RAUM and 3 advisory reps. IAPD ↗
$82.0M RAUM · 3 reps · 607-434-0742 · lifegoalwealthadvisors.com
95
EL MENUDO CUENTA LLC — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 786-845-6878 · elmenudocuenta.com
95
MURPHY & MULLICK CAPITAL MANAGEMENT CORP — (SMITHTOWN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 631-257-0080 · murphyfinancialgrp.com
95
KMT WEALTH MANAGEMENT, LLC — (EL SEGUNDO, CA) is newly SEC-registered with $133.9M RAUM and 1 advisory reps. IAPD ↗
$133.9M RAUM · 1 reps · 773-895-8962 · kmtwealth.com
95
RHL GROUP, LLC — (HOLLY, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 248-634-7720 · rhlgroup.us
95
XXI WEALTH, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (312) 300-2670
95
CASTLE ROCK ADVISORS LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 22 advisory reps. IAPD ↗
$0 RAUM · 22 reps · 617-227-0050
95
STEELE STREET CAPITAL LLC — (KITTERY, ME) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 207-475-0060
95
TERRAFIRMA WEALTH PARTNERS — (WALNUT CREEK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 925-639-4592 · terrafirmawealth.com
95
SLO MONEY MANAGERS — (ATASCADERO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (949) 466-7519 · slomoneymanagers.com
95
ALECTRA WEALTH 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 · 859-402-1460 · qtrfamilycapital.com
95
PLANWISER FINANCIAL — (COLORADO SPRINGS, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 719-822-0808 · planwiser.com
95
MFP FINANCIAL SERVICES — (SAFETY HARBOR, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 727-443-3300 · mfpfinancial.com
95
BLUEHEEL LLC — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 214-559-9972
95
LIFELONG WEALTH ADVISORS, INC. — (ARDEN HILLS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 651-444-6500
95
DECODE FINANCE LLC — (PALO ALTO, CA) is newly SEC-registered with $1,000 RAUM and 1 advisory reps. IAPD ↗
$1,000 RAUM · 1 reps · 408-500-8242 · decode.finance
95
BEARING POINT CAPITAL — (BLOOMINGTON, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 952-800-6301 · bearingpointcap.com
95
DSG CAPITAL ADVISORS, LLC — (EDINA, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · (612) 515-9900 · dsgcapitaladvisors.com
95
RAINIER FAMILY WEALTH, INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 253-973-7744
95
MOREY & QUINN WEALTH PARTNERS — (OMAHA, NE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (402) 502-9900 · moreyandquinn.com
95
BREAKTHRU ADVISORY SERVICES, LLC — (MUSKEGO, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 262 977-9907 · breakthruadvisoryservices.com
95
OLD BRIDGE WEALTH, INC — (SYOSSET, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 347-723-8943 · oldbridgewealth.com
95
LEGACY CAPITAL — (THE WOODLANDS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (281) 595-1996
95
CORRALES & CO. — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (202) 580-2068
95
BURLING WEALTH PARTNERS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 1-312-825-0601 · burlingwealthpartners.com
95
ELEVATE PLANNERS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 347-506-6061 · lvtplanners.com
95
MANNA WEALTH MANAGEMENT — (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 305-306-7107 · mannawealthmanagement.com
95
FORONJY FINANCIAL — (SANTA BARBARA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 805-543-1033 · foronjyfinancial.com
95
SERENITY CAPITAL ADVISORS INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 585-662-8111 · serenitycapadvisors.com
95
PEAK WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 518-441-2285
95
TIDECREST WEALTH MANAGEMENT, LLC — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 949-244-7910
95
TRUE WEALTH GROUP — (BEND, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 5037994008 · mytruewealthgroup.com
95
MARTINSEN WEALTH MANAGEMENT — (TEMPE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 480-550-6556 · martinsenwealth.com
95
TRADEWELL SECURITIES, LLC — (FORT WAYNE, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 260-490-2084 · tradewelltax.com
95
LIBERTY SQUARE WEALTH PARTNERS LLC — (BETHLEHEM, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (610) 865-5803 · libertysquarewealth.com
95
ADVISIFI LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-553-3553 · advisifi.co
95
LIFT ASSET MANAGEMENT — (ENGLEWOOD, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 303-887-1729
95
PRASAD WEALTH PARTNERS — (INDEPENDENCE, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 216-313-9999 · prasadwealth.com
95
CURA WEALTH ADVISORS, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 312-608-8806 · curawealth.com
95
CANTATA WEALTH MANAGEMENT, LLC — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 844-226-8282 · cantatawealth.com
95
VIRTUS WEALTH SOLUTIONS — (CRANFORD, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 908-967-6360 · virtuswealthsolutions.com
95
ROUTE 20 PRIVATE WEALTH INC. — (FORT LAUDERDALE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 561-843-4678 · route20wealth.com
95
AVENTURA PRIVATE WEALTH, LLC — (AVENTURA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 305-610-7218
85
CAPITAL CREEK PARTNERS — crossed $1B in regulatory AUM ($680.7M -> $1.20B). IAPD ↗
$1.20B RAUM · 13 reps · 512-316-3397 · capitalcreek.com
70
WORLD INVESTMENT ADVISORS, LLC — now reports custody of client assets ($1.04B). IAPD ↗
$37.76B RAUM · 166 reps · 888-201-5488
68
ASPEN INVESTMENT MANAGEMENT INC. — now reports custody of client assets ($124.8M). IAPD ↗
$257.1M RAUM · 4 reps · 616-361-2500 · aspenim.com
68
PRIVATE WEALTH ADVISORS — now reports custody of client assets ($324.1M). IAPD ↗
$352.8M RAUM · 2 reps · 559-451-3463 · pwa.net
68
503 CAPITAL PARTNERS, LLC — now reports custody of client assets ($471.5M). IAPD ↗
$382.0M RAUM · 10 reps · 913-279-0177 · 503capitalpartners.com
68
ELYXIUM WEALTH LLC — now reports custody of client assets ($46.4M). IAPD ↗
$260.4M RAUM · 4 reps · 415-264-0468 · elyxwealth.com
68
PLATFORM WEALTH ADVISORS — now reports custody of client assets ($201.4M). IAPD ↗
$295.1M RAUM · 6 reps · (385) 243-0553 · platformadvise.com
68
BIP ALLIANCE, LLC — now reports custody of client assets ($56.3M). IAPD ↗
$280.7M RAUM · 4 reps · 404-495-5230
65
DB & C ADVISORS, LLC — now reports custody of client assets ($5.9M). IAPD ↗
$189.1M RAUM · 7 reps · 616-355-3455 · dbc-advisors.com
65
WAYPOINTS FINANCIAL — now reports custody of client assets ($56.8M). IAPD ↗
$114.7M RAUM · 3 reps · 863-402-5650 · waypointsfinancial.com
65
LAUGHLIN FINANCIAL LLC — now reports custody of client assets ($140.3M). IAPD ↗
$140.3M RAUM · 1 reps · 812-552-2113 · laughlinfinancial.com
65
STEEL TOWER INVESTMENTS — now reports custody of client assets. IAPD ↗
$115.6M RAUM · 4 reps · 412-586-2060 · upswia.com
65
EVERSPIRE — now reports custody of client assets ($30.8M). IAPD ↗
$156.2M RAUM · 15 reps · 801-545-8706 · synchronywealth.com
65
COLARION — now reports custody of client assets ($7.8M). IAPD ↗
$125.9M RAUM · 4 reps · 205 410 9443
65
33 CAPITAL MANAGEMENT LLC — now reports custody of client assets ($2.4M). IAPD ↗
$103.3M RAUM · 4 reps · 203-391-9340 · 33capitalmanagement.com
65
MKT AND ASSOCIATES LLC — now reports custody of client assets ($45.0M). IAPD ↗
$113.0M RAUM · 1 reps · 253-252-2359
65
OSSIA IM — now reports custody of client assets. IAPD ↗
$52.0M RAUM · 1 reps · 305-923-7212
65
DOUGLASS INVESTMENT GROUP — now reports custody of client assets ($1.5M). IAPD ↗
$162.0M RAUM · 2 reps · 316-854-8495 · douglassgroup.net
85
GARDEN INVESTMENTS — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · (203) 242-8370
85
STARTINVEST FINANCIAL LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 424-303-3666
85
CORYELL INVESTMENT MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 646-907-5632 · coryell.com
85
UNIFI ASSET MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 212-351-5601 · unifiam.com
85
ARINI CAPITAL MANAGEMENT US LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 332-225-3450 · arini.com
85
BRYANT PARK FUNDING CLO MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 44 advisory reps. IAPD ↗institutional
$0 RAUM · 44 reps · 212-500-3000
85
VISTASHARES — (location n/a) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 917-319-4683 · vistashares.com
85
WISDOM FIXED INCOME MANAGEMENT — (DALLAS, TX) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 214-871-5200
85
RAVEN MUSIC PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 13 advisory reps. IAPD ↗institutional
$0 RAUM · 13 reps · 212-966-7926 · ravencm.com
85
X CAPITAL ADVISORS 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 · 201-502-7070
85
COMPOSITION CAPITAL LP — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
$0 RAUM · 7 reps · 949-244-6836
85
GQG PRIVATE CAPITAL SOLUTIONS LLC — (TACOMA, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
$0 RAUM · 7 reps · 754-218-5500
85
STONE POINT CREDIT INCOME ADVISER LLC — (GREENWICH, CT) is newly SEC-registered with $0 RAUM and 39 advisory reps. IAPD ↗institutional
$0 RAUM · 39 reps · 203-862-2900 · stonepoint.com
85
PROTOCOL VC LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 415-370-5155 · protocol.vc
85
FORMA CASHMERE — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 310-904-9331 · thecashmerefund.com
85
FIELDVIEW CAPITAL MANAGEMENT, LLC — (NILES, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps. IAPD ↗institutional
$0 RAUM · 12 reps · 312-420-2441
85
ANANYM CAPITAL MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 347-974-1040 · ananymcapital.com
85
INVESTATURE — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 917-836-8653 · investature.biz
85
FOURTH SAIL CAPITAL US LP — (location n/a) is newly SEC-registered with $1.51B RAUM and 2 advisory reps. IAPD ↗fund
$1.51B RAUM · 2 reps · 646-355-2764 · fourthsailcap.com
85
INTELLIGENT ALPHA LLC — (MINNEAPOLIS, MN) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 215-469-1717 · intelligentalpha.co
83
KHROM CAPITAL MANAGEMENT — (MIAMI, FL) is newly SEC-registered with $389.6M RAUM and 3 advisory reps. IAPD ↗fund
$389.6M RAUM · 3 reps · 6464366643 · khromcapital.com
83
HUNTER STREET PARTNERS, LP — (WAYZATA, MN) is newly SEC-registered with $279.7M RAUM and 5 advisory reps. IAPD ↗fund
$279.7M RAUM · 5 reps · 612-404-3100 · hunterst.com
83
SCIENTECH RESEARCH LLC — (JERSEY CITY, NJ) is newly SEC-registered with $439.7M RAUM and 4 advisory reps. IAPD ↗fund
$439.7M RAUM · 4 reps · 201-292-3789
83
BY CRYPTO MANAGEMENT, LLC — (LITTLE ROCK, AR) is newly SEC-registered with $747.4M RAUM and 8 advisory reps. IAPD ↗fund
$747.4M RAUM · 8 reps · 917-561-4905
83
SYMBIOSIS CAPITAL PARTNERS, LLC — (BENTONVILLE, AR) is newly SEC-registered with $278.8M RAUM and 6 advisory reps. IAPD ↗fund
$278.8M RAUM · 6 reps · 4793786655
80
13D MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $176.0M RAUM and 5 advisory reps. IAPD ↗fund
$176.0M RAUM · 5 reps · 212-223-2282 · 13dmanagement.com
80
HIGHBURY PARK LLC — (location n/a) is newly SEC-registered with $155.1M RAUM and 1 advisory reps. IAPD ↗fund
$155.1M RAUM · 1 reps · 401-651-1059
80
BRAESWOOD CARBON MANAGEMENT, LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $185.9M RAUM and 3 advisory reps. IAPD ↗fund
$185.9M RAUM · 3 reps · 415-325-2523 · braeswoodcarbon.com
80
REMORA CAPITAL PARTNERS — (NASHVILLE, TN) is newly SEC-registered with $245.0M RAUM and 3 advisory reps. IAPD ↗fund
$245.0M RAUM · 3 reps · 615-380-1095 · remoracap.com
80
FLOW STATE INVESTMENTS, LP — (CHICAGO, IL) is newly SEC-registered with $188.4M RAUM and 11 advisory reps. IAPD ↗fund
$188.4M RAUM · 11 reps · 773-938-9600 · flowstateinvestments.com
80
CONTINUIM EQUITY PARTNERS, LP — (PITTSBURGH, PA) is newly SEC-registered with $167.3M RAUM and 13 advisory reps. IAPD ↗fund
$167.3M RAUM · 13 reps · 412-586-7651
80
DIGITAL ASSET MANAGEMENT — (PHOENIX, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
$0 RAUM · 1 reps · 6029101254 · damx.us
80
PINE VALLEY CAPITAL PARTNERS LLC — (AUSTIN, TX) is newly SEC-registered with $238.1M RAUM and 4 advisory reps. IAPD ↗fund
$238.1M RAUM · 4 reps · 713-417-4441 · pvcapitalpartners.com
80
QUADRATURE US INC. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 80 advisory reps. IAPD ↗fund
$0 RAUM · 80 reps · 646-224-7425 · quadrature.ai
70
CQS (US), LLC — crossed $1B in regulatory AUM ($894.6M -> $3.55B). IAPD ↗fund
$3.55B RAUM · 12 reps · 212-259-2900 · cqscapital.com
65
TRINETRA INVESTMENT MANAGEMENT LLP — (LONDON, United Kingdom) is newly SEC-registered with $224.0M RAUM and 4 advisory reps. IAPD ↗foreign
$224.0M RAUM · 4 reps · +44 20 3908 8900 · trinetra-im.com
65
NUTSHELL ASSET MANAGEMENT LIMITED — (SEVENOAKS, United Kingdom) is newly SEC-registered with $165.0M RAUM and 2 advisory reps. IAPD ↗foreign
$165.0M RAUM · 2 reps · +44 (0)20 78560520 · nutshellam.com
65
ARINI CAPITAL MANAGEMENT LIMITED — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 26 advisory reps. IAPD ↗foreign
$0 RAUM · 26 reps · +44 (0) 204 571 0034 · arini.com
65
ROSEN GROUP PRIVATE WEALTH MANAGEMENT, LLC — (POINTE-CLAIRE. QC, Canada) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 514-782-5966
60
DURATION CAPITAL PARTNERS LLC — now reports custody of client assets ($6.67B). IAPD ↗institutional
$3.34B RAUM · 14 reps · (646) 303-7130 · durationcapitalpartners.com
50
ARAVALLI CAPITAL MANAGEMENT LP — now reports custody of client assets ($213.0M). IAPD ↗fund
$106.5M RAUM · 4 reps · 212-680-4950 · aravallicap.com
50
EMBLEM GROUP, L.P. — now reports custody of client assets ($383.9M). IAPD ↗fund
$191.9M RAUM · 4 reps · 781-208-2409 · emblem.investments
50
CCS PARTNERS LLC — now reports custody of client assets ($211.7M). IAPD ↗fund
$105.9M RAUM · 6 reps · 212 224-9400 · ccs-partners.com
50
5C ADVISOR — now reports custody of client assets ($50.0M). IAPD ↗fund
$25.0M RAUM · 3 reps · 212-516-3171 · 5cinvest.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.