← Tributary

Custodian — October 2024

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

156 firms opened this window in the October 2024 SEC roster: 115 new registration, 31 custody started, 10 aum crossed 1b.

Months: October 2026 · September 2026 · August 2026 · July 2026 · June 2026 · May 2026 · April 2026 · March 2026 · February 2026 · January 2026 · December 2025 · August 2025 · July 2025 · June 2025 · May 2025 · April 2025 · March 2025 · February 2025 · January 2025 · December 2024 · November 2024 · October 2024 · September 2024 · August 2024 · July 2024 · June 2024 · May 2024 · April 2024 · March 2024 · February 2024

98
FORM WEALTH ADVISORS, LLC — (LAKE GENEVA, WI) is newly SEC-registered with $925.8M RAUM and 7 advisory reps. IAPD ↗
$925.8M RAUM · 7 reps · 262-686-3005
95
HILLSPRING FINANCIAL, INC. — (SURPRISE, AZ) is newly SEC-registered with $169.2M RAUM and 2 advisory reps. IAPD ↗
$169.2M RAUM · 2 reps · 623-583-6141 · hillspringfinancial.com
95
GIBSON FINANCIAL SOLUTIONS, INC. — (ELLSWORTH, ME) is newly SEC-registered with $122.2M RAUM and 1 advisory reps. IAPD ↗
$122.2M RAUM · 1 reps · 207-667-9993 · gibsonfinancialsolutions.com
95
GCI FINANCIAL GROUP — (MENDHAM, NJ) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
$101.1M RAUM · 2 reps · 973-543-2133 · gcifinancialgroup.com
95
FINANCIAL LEGACY MANAGEMENT, NC. — (LITTLE ROCK, AR) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
$119.0M RAUM · 2 reps · 501-224-7526 · financiallegacymanagement.com
95
WHITE OAK FINANCIAL MANAGEMENT, INC — (ASHEVILLE, NC) is newly SEC-registered with $105.6M RAUM and 3 advisory reps. IAPD ↗
$105.6M RAUM · 3 reps · 828-274-7844
95
DDO ADVISORY SERVICES, LLC — (RHINEBECK, NY) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
$34.8M RAUM · 1 reps · 646-234-4881 · ddoadvisory.com
95
ARTHUR STEIN FINANCIAL, LLC — (BETHESDA, MD) is newly SEC-registered with $109.7M RAUM and 3 advisory reps. IAPD ↗
$109.7M RAUM · 3 reps · 301-377-9407 · arthursteinfinancial.com
95
PENSERRA GLOBAL INVESTORS LLC — (ORINDA, CA) is newly SEC-registered with $1.0M RAUM and 10 advisory reps. IAPD ↗
$1.0M RAUM · 10 reps · 800-456-8850 · penserra.com
95
SHERMAN WEALTH MANAGEMENT LLC — (GAITHERSBURG, MD) is newly SEC-registered with $112.2M RAUM and 3 advisory reps. IAPD ↗
$112.2M RAUM · 3 reps · (240) 428-1622
95
NOBSCOT INVESTMENT MANAGEMENT LLC — (WELLESLEY, MA) is newly SEC-registered with $129.9M RAUM and 1 advisory reps. IAPD ↗
$129.9M RAUM · 1 reps · 781-237-2700 · nobscotinvest.com
95
FOGARTY WEALTH MANAGEMENT, INC. — (MISSOURI CITY, TX) is newly SEC-registered with $110.0M RAUM and 1 advisory reps. IAPD ↗
$110.0M RAUM · 1 reps · 281-403-1818 · fogartywm.com
95
OUTBOUND FINANCIAL — (BOULDER, CO) is newly SEC-registered with $100.1M RAUM and 1 advisory reps. IAPD ↗
$100.1M RAUM · 1 reps · (720) 642-9701 · outboundfinancial.com
95
RISEMINT — (EVERGREEN, CO) is newly SEC-registered with $106.5M RAUM and 5 advisory reps. IAPD ↗
$106.5M RAUM · 5 reps · (888) 998-3254
95
PLANVEST FINANCIAL, INC. — (GAITHERSBURG, MD) is newly SEC-registered with $110.9M RAUM and 5 advisory reps. IAPD ↗
$110.9M RAUM · 5 reps · (301) 977-7123
95
BRINDLE & BAY FINANCIAL ADVISORS, LLC — (FRISCO, TX) is newly SEC-registered with $100.5M RAUM and 2 advisory reps. IAPD ↗
$100.5M RAUM · 2 reps · 214-988-9178 · brindleandbay.com
95
ROCHESTER WEALTH STRATEGIES, LLC — (ROCHESTER, MI) is newly SEC-registered with $121.4M RAUM and 4 advisory reps. IAPD ↗
$121.4M RAUM · 4 reps · (248) 434-6550
95
KISSLING FINANCIAL SERVICES, LLC — (NEW CASTLE, PA) is newly SEC-registered with $104.3M RAUM and 1 advisory reps. IAPD ↗
$104.3M RAUM · 1 reps · 724-667-1617 · kisslingfinancial.com
95
DIRECTIONAL ADVISORS — (location n/a) is newly SEC-registered with $114.0M RAUM and 1 advisory reps. IAPD ↗
$114.0M RAUM · 1 reps · 214-714-5520 · quora.com
95
AHARA ADVISORS — (JERSEY CITY, NJ) is newly SEC-registered with $110.8M RAUM and 2 advisory reps. IAPD ↗
$110.8M RAUM · 2 reps · 412-908-0844
95
MINT ASSET MANAGEMENT LLC — (HOBOKEN, NJ) is newly SEC-registered with $43.9M RAUM and 3 advisory reps. IAPD ↗
$43.9M RAUM · 3 reps · 908-777-1717 · mintassetmanagement.com
95
WINCAP FINANCIAL LLC — (BOSTON, MA) is newly SEC-registered with $124.2M RAUM and 2 advisory reps. IAPD ↗
$124.2M RAUM · 2 reps · (617) 590-3250 · wincapfinancial.com
95
10ELMS LLP — (location n/a) is newly SEC-registered with $103.4M RAUM and 2 advisory reps. IAPD ↗
$103.4M RAUM · 2 reps · 918-812-7998 · 10elms.com
95
ECHO FINANCIAL ADVISORS, LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 330-703-7644
95
NAUTA CAPITAL LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 510-912-2352
95
QUANTCA FINANCIAL — (DOVER, DE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 3023215022 · quantca.com
95
COVE — (SANTA CLARA, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 651-442-9483 · usecove.com
95
PANDI, LLC — (LEAWOOD, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · (913) 406-9929 · pandikc.com
95
WEALTH2B — (PONCE, PR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 1 (205) 953-6526 · wealth2b.com
95
MAYNERICH FINANCIAL — (VIRDEN, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 217-965-5796
95
HARBORFRONT FINANCIAL GROUP — (LUDINGTON, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 231-843-1516
95
GFG SOLUTIONS — (ORLANDO, FL) is newly SEC-registered with $151.1M RAUM and 6 advisory reps. IAPD ↗
$151.1M RAUM · 6 reps · (407) 627-0091 · gfgsolutions.com
95
FOUNTAINHEAD MULTI-FAMILY OFFICE, LLC — (NEW CANAAN, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 917-617-7149
95
WEALTHPRIME — (SAN JOSE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 8557746340 · wealthprime.com
95
ARCH OTC LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 954-261-3960 · arch.finance
95
PARK SQUARE FINANCIAL GROUP LLC — (ROSWELL, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 770-641-1401
95
HEADLAND CAPITAL — (MT. PLEASANT, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 843-388-4300 · headland.capital
95
OCM PRIVATE WEALTH, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 216-456-1515 · ocmprivatewealth.com
95
UNITING WEALTH PARTNERS — (MISSION, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 479-903-7111 · unitingwealthpartners.com
95
NAVISTA WEALTH MANAGEMENT, INC. — (MINNEAPOLIS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 612-315-2400
95
PATEL CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 609-841-9305 · patelcapitalmgmt.com
95
PERSPECTIVE WEALTH ADVISORS — (LOVELAND, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 970-732-7975
95
LINEPOINT PARTNERS & CO. — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 323-886-3635
95
YANDELL INVESTMENTS, LLC — (ORLANDO, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 407-898-5777
95
SAGEWATER WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $2.0M RAUM and 2 advisory reps. IAPD ↗
$2.0M RAUM · 2 reps · 310-574-2866
95
HUNTER KEITH INDUSTRIES, INC. — (WAYZATA, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (612) 204-0405
95
MOMENT PARTNERS, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 415-395-22523
95
OXFORD WEALTH MANAGEMENT — (LINDON, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 801-369-1429 · oxfordwealthmgt.com
95
VINCENT WEALTH ADVISORS, 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) 458-2593
95
UPSKILL WEALTH MANAGEMENT, LLC — (CORTLAND, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 315-882-1770 · upskillwm.com
95
OLDFIELD WEALTH PARTNERS — (BANGOR, ME) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 207-573-3001 · oldfieldwealth.com
95
ELEVATE CAPITAL GROUP, LLC — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 949-577-2578 · elevatefinsvcs.com
95
THE WELLINGTON GRP LLC — (INDIANAPOLIS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 317-846-5055 · wellingtonwealthstrategies.com
95
LECLAIR WEALTH PARTNERS — (DUBLIN, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 888-277-5704 · leclairwealthpartners.com
95
STONE TEMPLE PARTNERS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 917-837-4617
95
INTELLUS ADVISORS, LLC — (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 239-649-3600 · intellusadvisors.com
95
COLLABORATIVE PORTFOLIO MANAGEMENT — (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $120.7M RAUM and 3 advisory reps. IAPD ↗
$120.7M RAUM · 3 reps · 816-471-5556
95
MORANGIE MANAGEMENT LLC — (MARSHFIELD, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 908-285-6686 · morangiemanagement.com
95
CEDRUS — (LITTLETON, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 303-710-2708
95
MATAURO, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 14 advisory reps. IAPD ↗
$0 RAUM · 14 reps · 845-273-6211 · matauro.com
95
BRAMBLE WEALTH PLANNING — (CINCINNATI, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 513-977-8646
95
TFR CAPITAL — (PLANO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 800-765-0397
95
VAQUITA SUN, INC. — (FORT LAUDERDALE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 954-620-9900
85
LVM CAPITAL MANAGEMENT LTD — crossed $1B in regulatory AUM ($974.6M -> $1.18B). IAPD ↗
$1.18B RAUM · 7 reps · 269-321-8120 · lvmcapital.com
85
VISE AI ADVISORS — crossed $1B in regulatory AUM ($637.9M -> $1.07B). IAPD ↗
$1.07B RAUM · 17 reps · 201-375-3969
85
GAMMA INVESTING LLC — crossed $1B in regulatory AUM ($705.4M -> $1.01B). IAPD ↗
$1.01B RAUM · 5 reps · 888-585-1755 · gammainvesting.com
70
CAPITAL RESEARCH AND MANAGEMENT COMPANY — now reports custody of client assets ($13.94B). IAPD ↗
$3315.36B RAUM · 372 reps · 213-486-9200 · icanretire.com
70
INNOVIA WEALTH, LLC — now reports custody of client assets ($1.11B). IAPD ↗
$2.23B RAUM · 18 reps · 616-719-5007
70
AARON WEALTH ADVISORS — now reports custody of client assets. IAPD ↗
$1.95B RAUM · 9 reps · 312-506-5780 · aaronwealth.com
68
HORAN WEALTH MANAGEMENT — now reports custody of client assets ($293.1M). IAPD ↗
$545.2M RAUM · 10 reps · 513-745-0707
68
HORAN CAPITAL ADVISORS, LLC — now reports custody of client assets ($302.0M). IAPD ↗
$533.6M RAUM · 5 reps · 513-745-0707
68
C.J. LAWRENCE — now reports custody of client assets ($378.7M). IAPD ↗
$484.5M RAUM · 3 reps · 1-877-466-1783 · cjlawrence.com
68
KEUDELL MORRISON WEALTH MANAGEMENT, LLC — now reports custody of client assets ($459.9M). IAPD ↗
$724.0M RAUM · 6 reps · (971) 209-4500 · kmwm.com
68
MOTIVE WEALTH ADVISORS, LLC — now reports custody of client assets ($16.4M). IAPD ↗
$279.3M RAUM · 2 reps · 248-987-5731 · motivewealth.com
68
VERIDAN WEALTH — now reports custody of client assets ($101.2M). IAPD ↗
$288.9M RAUM · 4 reps · 503-946-9733 · veridanwealth.com
68
SOUTHERN EQUITY ADVISORS LLC — now reports custody of client assets ($389.2M). IAPD ↗
$389.2M RAUM · 2 reps · 877-240-9233 · southernequity.com
68
TOPSAIL WEALTH MANAGEMENT LLC — now reports custody of client assets ($454.2M). IAPD ↗
$875.7M RAUM · 3 reps · 980-308-9901 · topsailwealthmanagement.com
68
GUILBAULT CAPITAL — now reports custody of client assets ($17.6M). IAPD ↗
$313.0M RAUM · 1 reps · 504-612-9250 · guilbaultcapital.com
68
PANORAMIC CAPITAL PARTNERS LLC — now reports custody of client assets ($802,815). IAPD ↗
$263.2M RAUM · 2 reps · 503-937-7420 · panoramiccp.com
65
BENCHMARK CAPITAL GROUP LTD. — now reports custody of client assets ($6.0M). IAPD ↗
$149.5M RAUM · 3 reps · 815-777-0600 · benchmarkcapitalgroup.com
65
NOVA WEALTH MANAGEMENT, INC. — now reports custody of client assets ($1.0M). IAPD ↗
$152.2M RAUM · 5 reps · 239-444-1794 · novawealthmanagement.com
65
WEALTHYX — now reports custody of client assets ($74.1M). IAPD ↗
$74.1M RAUM · 1 reps · 888-952-7482 · saveday.com
65
MILLENNIAL WEALTH — now reports custody of client assets ($125.0M). IAPD ↗
$145.6M RAUM · 3 reps · (206) 207-8426 · millennialwealthllc.com
65
RETIREMENT WEALTH SOLUTIONS LLC — now reports custody of client assets ($39.3M). IAPD ↗
$140.7M RAUM · 2 reps · 715-384-5481 · retirementwealthsolutions.com
65
LAKE WATER ADVISORY, LLC — now reports custody of client assets ($40.0M). IAPD ↗
$40.0M RAUM · 1 reps · 315-730-7432 · lakewatercap.com
65
SOLIST WEALTH MANAGEMENT — now reports custody of client assets. IAPD ↗
$0 RAUM · 2 reps · 813-493-3833 · solistfinancial.com
65
OUTRUNNER CAPITAL, LLC — now reports custody of client assets ($7.3M). IAPD ↗
$172.0M RAUM · 3 reps · 512-649-3192 · outrunnercapital.com
85
CARVAL CLO MANAGEMENT LLC — (MINNEAPOLIS, MN) is newly SEC-registered with $4.92B RAUM and 1 advisory reps. IAPD ↗fund
$4.92B RAUM · 1 reps · 952-444-4780 · abcarval.com
85
CALPA ADVISORS LLC — (KIRKLAND, WA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 425-495-5504
85
TWO SIGMA REAL ESTATE, LP — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗institutional
$0 RAUM · 12 reps · (212) 625-5700
85
MAG 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 · 817-421-3823
85
MISSION INVESTMENT ADVISORS LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 1-800-683-8529
85
BAYPOINTE PARTNERS, LLC — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 516-381-5246
85
ACCEL MANAGEMENT CO. L.L.C — (PALO ALTO, CA) is newly SEC-registered with $29.94B RAUM and 44 advisory reps. IAPD ↗fund
$29.94B RAUM · 44 reps · 650-614-4800 · accel.com
85
GUGGENHEIM PRIVATE INVESTMENTS, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · 1-212-739-0700 · guggenheiminvestments.com
85
INFINITY CREDIT ADVISORY, LLC — (ATLANTA, GA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 404-458-4448
85
FPLF MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗institutional
$0 RAUM · 15 reps · 212-798-6100
85
NIOBRARA CAPITAL PARTNERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-650-2169 · niobraracap.com
85
CARO INVESTORS — (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · (301) 241- 8680 · caroinvestors.com
85
FUNDSTRAT CAPITAL — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 212-293-7136 · fundstratcapital.com
85
TEMA ETFS 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 · 332-287-2270 · tremaetfs.com
85
CREDIT BRIDGE ADVISORS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 786-505-4412 · creditbridge.com
85
AVATHON CAPITAL MANAGEMENT LP — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
$0 RAUM · 7 reps · 312-351-2301 · avathoncapital.com
85
HAUSSMANN 1864 CAPITAL MANAGEMENT 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 · 212-278-6000
85
FIN FINANCIAL LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 917-545-7427 · finnyai.com
85
FIRST TRYON ADVISORS — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 704-926-2453
85
VARIADIC LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
$0 RAUM · 8 reps · 646-384-8680 · variadic.com
85
AXXES ADVISORS I LLC — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 786-885-4821 · axxescapital.com
85
10X CAPITAL PARTNERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 212-220-7218
85
SCI CAPITAL PARTNERS 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 · 424-316-2061
85
LORD ABBETT PRIVATE CREDIT ADVISOR LLC — (JERSEY CITY, NJ) is newly SEC-registered with $0 RAUM and 264 advisory reps. IAPD ↗institutional
$0 RAUM · 264 reps · 201-827-2000 · lordabbett.com
85
THIRD POINT PRIVATE CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 41 advisory reps. IAPD ↗institutional
$0 RAUM · 41 reps · 212-715-3880
85
TALOS ASSET MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (646) 849-6758 · talosfunds.com
85
BOW RIVER CREDIT ADVISERS, LLC. — (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 303-861-8466 · bowrivercapital.com
85
MANTEIO SCALABLE TECHNOLOGIES LLC — (JERSEY CITY, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 917-736-9209
83
FIO ADVISORS LP — (NEW YORK, NY) is newly SEC-registered with $445.8M RAUM and 3 advisory reps. IAPD ↗fund
$445.8M RAUM · 3 reps · 646-467-8050 · foundationcredit.com
83
BLACK DRAGON CAPITAL INVESTMENT MANAGEMENT, INC — (location n/a) is newly SEC-registered with $452.7M RAUM and 12 advisory reps. IAPD ↗fund
$452.7M RAUM · 12 reps · 305-539-9415 · blackdragoncap.com
83
DYNASTY EQUITY PARTNERS MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $343.6M RAUM and 9 advisory reps. IAPD ↗fund
$343.6M RAUM · 9 reps · 212-970-9850
83
ROSCOMMON ANALYTICS LLC — (NEW YORK, NY) is newly SEC-registered with $753.8M RAUM and 45 advisory reps. IAPD ↗fund
$753.8M RAUM · 45 reps · 212-850-8860
80
LYNWOOD PRICE CAPITAL MANAGEMENT LP — (AUSTIN, TX) is newly SEC-registered with $36.0M RAUM and 2 advisory reps. IAPD ↗fund
$36.0M RAUM · 2 reps · 512-521-0075
80
CHRISTOPHER & CO., LLC — (AUSTIN, TX) is newly SEC-registered with $196.1M RAUM and 3 advisory reps. IAPD ↗fund
$196.1M RAUM · 3 reps · 512-785-9710 · astoconsumer.com
80
NORTH SHIELD CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $54.7M RAUM and 4 advisory reps. IAPD ↗fund
$54.7M RAUM · 4 reps · 917-546-2079
80
CORDOBA CAPITAL PARTNERS, LLC — (NEW YORK, NY) is newly SEC-registered with $55.3M RAUM and 6 advisory reps. IAPD ↗fund
$55.3M RAUM · 6 reps · 917-746-4806 · cordobacapital.co
80
SOUNDCORE CAPITAL PARTNERS, LP — (NEW YORK, NY) is newly SEC-registered with $187.5M RAUM and 12 advisory reps. IAPD ↗fund
$187.5M RAUM · 12 reps · 212-812-1180
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
PERRYRIDGE CAPITAL LP — (GREENWICH, CT) is newly SEC-registered with $128.7M RAUM and 3 advisory reps. IAPD ↗fund
$128.7M RAUM · 3 reps · (203) 489-6554
80
FIVESPAN PARTNERS, LP — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
$0 RAUM · 5 reps · (415) 318-7900 · fivespan.com
80
WHITE ROCK RESOURCES HOLDINGS, LLC — (PLANO, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗fund
$0 RAUM · 3 reps · 2149811400 · whiterock-resources.com
80
NINE LEFT CAPITAL LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
$0 RAUM · 3 reps · 212-202-3010 · nineleftcapital.com
80
ALAMOS CAPITAL, LLC — (TUCSON, AZ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗fund
$0 RAUM · 1 reps · 520-664-2001
80
LINCOLN ENERGY HOLDINGS LLC — (ENGLEWOOD, CO) is newly SEC-registered with $126.9M RAUM and 7 advisory reps. IAPD ↗fund
$126.9M RAUM · 7 reps · 720-909-6608 · delrioroyalty.com
80
RUSHMONT CAPITAL MANAGEMENT — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
$0 RAUM · 3 reps · 1-212-680-4980
75
INVESTCORP INVESTMENT SOLUTIONS LLC — crossed $1B in regulatory AUM ($356.0M -> $1.11B). IAPD ↗institutional
$1.11B RAUM · 3 reps · 212-599-4700
70
OMNI BRIDGEWAY MANAGEMENT (USA) LLC — crossed $1B in regulatory AUM ($882.8M -> $1.95B). IAPD ↗fund
$1.95B RAUM · 31 reps · 212-488-5331 · omnibridgeway.com
70
ISAM FUNDS (USA) LLC — crossed $1B in regulatory AUM ($259.7M -> $2.11B). IAPD ↗fund
$2.11B RAUM · 4 reps · +1 212 561 1200 · isamfunds.com
68
REGENTS GATE CAPITAL LLP — (LONDON, United Kingdom) is newly SEC-registered with $783.1M RAUM and 4 advisory reps. IAPD ↗foreign
$783.1M RAUM · 4 reps · 02038394680 · regentsgatecapital.com
68
SCOTT CAPITAL PARTNERS — (LONDON, United Kingdom) is newly SEC-registered with $689.5M RAUM and 6 advisory reps. IAPD ↗foreign
$689.5M RAUM · 6 reps · 442045742828 · scottcp.com
68
NAVI INTL-ADMINISTRADORA E GESTORA DE RECURSOS FINANCEIROS LTDA. — (SAO PAULO, Brazil) is newly SEC-registered with $587.0M RAUM and 4 advisory reps. IAPD ↗foreign
$587.0M RAUM · 4 reps · 55 21 3590 2410 · navi.com.br
65
NINE MASTS CAPITAL ADVISERS LLC — (HONG KONG, Hong Kong) is newly SEC-registered with $100.0M RAUM and 1 advisory reps. IAPD ↗foreign
$100.0M RAUM · 1 reps · 85228689973 · ninemasts.com
65
SARTORIAL WEALTH (USA) INC. — (MISSISSAUGA, ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 647-998-9705
65
ARCHER PORTFOLIO MANAGEMENT INC. — (MONTREAL, QUEBEC, Canada) is newly SEC-registered with $190.4M RAUM and 2 advisory reps. IAPD ↗foreign
$190.4M RAUM · 2 reps · 514-395-2151 · archer.ca
65
BRICKWOOD ASSET MANAGEMENT — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · 0 204-603-3122
58
WHITEBARK INVESTORS — now reports custody of client assets. IAPD ↗institutional
$333.3M RAUM · 4 reps · 212-468-5131
55
BRONTE CAPITAL — crossed $1B in regulatory AUM ($970.1M -> $1.18B). IAPD ↗foreign
$1.18B RAUM · 10 reps · + 61 2 9389 3293 · brontecapital.com
55
SANTA LUCIA ASSET MANAGEMENT PTE. LTD. — crossed $1B in regulatory AUM ($927.6M -> $1.09B). IAPD ↗foreign
$1.09B RAUM · 6 reps · 00-65-6513-4104 · slam.com.sg
55
ISAM FUNDS (UK) LIMITED — crossed $1B in regulatory AUM ($259.7M -> $2.11B). IAPD ↗foreign
$2.11B RAUM · 35 reps · 44 207 258 9940 · isamfunds.com
55
AIKYA INVESTMENT MANAGEMENT LIMITED — crossed $1B in regulatory AUM ($172.2M -> $1.58B). IAPD ↗foreign
$1.58B RAUM · 11 reps · +44 20 3965 4392 · aikya.co.uk
55
GAUGE CAPITAL — now reports custody of client assets ($3.34B). IAPD ↗fund
$3.34B RAUM · 61 reps · 682-334-5800
55
DEEPCURRENTS INVESTMENT GROUP LLC — now reports custody of client assets ($4.46B). IAPD ↗fund
$3.16B RAUM · 5 reps · 646-350-4621 · deepcurrentsinvestment.com
55
JAIN GLOBAL LLC — now reports custody of client assets ($6.51B). IAPD ↗fund
$5.91B RAUM · 103 reps · 212-671-4011 · jainglobal.com
55
SUNRISE MANAGER LLC — now reports custody of client assets ($115.0M). IAPD ↗institutional
$115.0M RAUM · 6 reps · 561-510-3315 · sunriserealtytrust.com
53
KENT LAKE PR LLC — now reports custody of client assets ($285.5M). IAPD ↗fund
$496.5M RAUM · 5 reps · 415-799-2720
53
BRIGHAM MANAGEMENT, LLC — now reports custody of client assets ($1.71B). IAPD ↗fund
$855.7M RAUM · 18 reps · 512-871-1001 · brighamexploration.com
53
ANNAPURNA CAPITAL MANAGEMENT LP — now reports custody of client assets ($534.4M). IAPD ↗fund
$267.2M RAUM · 4 reps · 561-328-2235 · annapurnacm.com
50
OT MANAGEMENT, LLC — now reports custody of client assets ($208.3M). IAPD ↗fund
$208.3M RAUM · 3 reps · 617-462-3524 · olivetreecapital.com
50
SCIENCE & TECHNOLOGY PARTNERS, L.P. — now reports custody of client assets ($454.5M). IAPD ↗fund
$227.3M RAUM · 3 reps · 212-306-2600 · sandtpartners.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.