← Tributary

Custodian — November 2024

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

137 firms opened this window in the November 2024 SEC roster: 95 new registration, 34 custody started, 8 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
PROVENIO CAPITAL — (NEWPORT BEACH, CA) is newly SEC-registered with $1.64B RAUM and 6 advisory reps. IAPD ↗
$1.64B RAUM · 6 reps · (949) 301-9060
95
H. C. DENISON CO. — (SHEBOYGAN, WI) is newly SEC-registered with $101.4M RAUM and 4 advisory reps. IAPD ↗
$101.4M RAUM · 4 reps · 920 457-9451 · hcdenison.com
95
GLOBAL BROKERAGE SERVICES, INC. — (HUNT VALLEY, MD) is newly SEC-registered with $117.8M RAUM and 5 advisory reps. IAPD ↗
$117.8M RAUM · 5 reps · 410-785-4990 · globalbrokers.net
95
WEALTHKARE.COM, INC. — (MOUNT UNION, PA) is newly SEC-registered with $106.2M RAUM and 6 advisory reps. IAPD ↗
$106.2M RAUM · 6 reps · 814-542-5433 · unlockretirement.seminarsoncall.com
95
OXFORD CAPITAL MANAGEMENT — (RICHM0ND, VA) is newly SEC-registered with $125.0M RAUM and 2 advisory reps. IAPD ↗
$125.0M RAUM · 2 reps · 804-282-2356
95
SUPERIOR PLANNING, LLC — (SAN DIEGO, CA) is newly SEC-registered with $105.4M RAUM and 5 advisory reps. IAPD ↗
$105.4M RAUM · 5 reps · 858-546-1046
95
COMPASS INVESTMENT ADVISERS, LLC — (PORTLAND, OR) is newly SEC-registered with $101.3M RAUM and 2 advisory reps. IAPD ↗
$101.3M RAUM · 2 reps · 503-473-8422 · compassadv.net
95
FAIRWAY FINANCIAL, LLC — (CASSELBERRY, FL) is newly SEC-registered with $122.4M RAUM and 2 advisory reps. IAPD ↗
$122.4M RAUM · 2 reps · 407-628-0850
95
PACIFIC COAST INVESTMENT ADVISORS, LLC — (WEST LINN, OR) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
$113.9M RAUM · 1 reps · 503-968-2500 · pacificcoastia.com
95
MUNTZ FINANCIAL, LLC — (DOYLESTOWN, PA) is newly SEC-registered with $154.8M RAUM and 2 advisory reps. IAPD ↗
$154.8M RAUM · 2 reps · 215-262-6909 · muntzfinancial.com
95
METANOIA FINANCIAL, LLC — (location n/a) is newly SEC-registered with $117.9M RAUM and 1 advisory reps. IAPD ↗
$117.9M RAUM · 1 reps · 267-367-6077
95
DIRECTIONAL ASSET MANAGEMENT, LLC — (ARLINGTON HEIGHTS, IL) is newly SEC-registered with $119.8M RAUM and 1 advisory reps. IAPD ↗
$119.8M RAUM · 1 reps · 847-749-2312
95
1650 WEALTH MANAGEMENT, LLC — (LIGHTHOUSE POINT, FL) is newly SEC-registered with $111.0M RAUM and 1 advisory reps. IAPD ↗
$111.0M RAUM · 1 reps · 800-658-9560
95
GALLAGHER WEALTH MANAGEMENT — (DANVILLE, CA) is newly SEC-registered with $105.3M RAUM and 1 advisory reps. IAPD ↗
$105.3M RAUM · 1 reps · 925-831-3043 · gallagherwealth.com
95
SHADOWRIDGE ASSET MANAGEMENT, LLC — (AUSTIN, TX) is newly SEC-registered with $108.5M RAUM and 6 advisory reps. IAPD ↗
$108.5M RAUM · 6 reps · 888-434-1427
95
APPIAN WAY FINANCIAL — (PASADENA, CA) is newly SEC-registered with $121.2M RAUM and 1 advisory reps. IAPD ↗
$121.2M RAUM · 1 reps · (626) 210-2660
95
BLACK BARN FINANCIAL, LLC — (AUSTIN, TX) is newly SEC-registered with $110.1M RAUM and 4 advisory reps. IAPD ↗
$110.1M RAUM · 4 reps · (512) 368-9179
95
BREAKWATER FINANCIAL, LLC — (NEEDHAM, MA) is newly SEC-registered with $106.5M RAUM and 1 advisory reps. IAPD ↗
$106.5M RAUM · 1 reps · 617-849-8019
95
MIDDLETON & COMPANY — (VANCOUVER, WA) is newly SEC-registered with $114.9M RAUM and 2 advisory reps. IAPD ↗
$114.9M RAUM · 2 reps · (360) 524-3517
95
WAVE WEALTH MANAGEMENT, LLC — (FRISCO, TX) is newly SEC-registered with $108.3M RAUM and 1 advisory reps. IAPD ↗
$108.3M RAUM · 1 reps · (972) 954-4100
95
CRAFT ASSET MANAGEMENT — (TAMPA, FL) is newly SEC-registered with $83.5M RAUM and 7 advisory reps. IAPD ↗
$83.5M RAUM · 7 reps · 813-337-7747
95
CAPITAL ACHIEVEMENTS, LLC — (location n/a) is newly SEC-registered with $129.3M RAUM and 1 advisory reps. IAPD ↗
$129.3M RAUM · 1 reps · 512-399-3541 · capitalachievements.com
95
RETIREMITTEN FINANCIAL LLC — (MILFORD, MI) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
$108.7M RAUM · 3 reps · 248-935-0470 · retiremitten.com
95
RIVERBEND WEALTH MANAGEMENT, LLC — (MYRTLE BEACH, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (843) 970-1049 · riverbendwealthmanagement.com
95
MIDWEST FINANCIAL NETWORK, LLC — (TINLEY PARK, IL) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
$105.8M RAUM · 3 reps · 708-670-3083 · midwfinancial.com
95
DELAWARE WEALTH PLANNERS — (WILMINGTON, DE) is newly SEC-registered with $103.2M RAUM and 3 advisory reps. IAPD ↗
$103.2M RAUM · 3 reps · 302-254-2400
95
GLOBAL INVESTMENT ADVISORY — (MCDONOUGH, GA) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (678) 583-1120
95
PRINCETON VALUE PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered with $25.9M RAUM and 2 advisory reps. IAPD ↗
$25.9M RAUM · 2 reps · 6095716687 · princetonvp.com
95
DOWNSHIFT FINANCIAL — (location n/a) is newly SEC-registered with $102.8M RAUM and 2 advisory reps. IAPD ↗
$102.8M RAUM · 2 reps · (720) 515-0564
95
TABLEAUX WEALTH — (location n/a) is newly SEC-registered with $109.3M RAUM and 3 advisory reps. IAPD ↗
$109.3M RAUM · 3 reps · 413-264-2400 · tableauxwealth.com
95
SPLIT CREEK LLC DBA SPLIT CREEK CAPITAL LLC — (location n/a) is newly SEC-registered with $109.9M RAUM and 1 advisory reps. IAPD ↗
$109.9M RAUM · 1 reps · 434-414-1477
95
PALM WEALTH PARTNERS — (BOCA RATON, FL) is newly SEC-registered with $104.9M RAUM and 7 advisory reps. IAPD ↗
$104.9M RAUM · 7 reps · (954) 632-2555 · palmwealthpartners.com
95
ARBALPHA — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 786-374-2620
95
SPARTAN WEALTH MANAGEMENT — (BINGHAM FARMS, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 248-297-6600 · spartanwealth.com
95
BIRCH FINANCIAL GROUP — (KEENE, NH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 603-338-3838
95
TRILLIONS CAPITAL — (WARMINSTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 267-784-1718 · trillions.cc
95
ALKEME INVESTMENTS LLC — (SCOTTSDALE, AZ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (480)588-0825
95
ALTON ROAD CAPITAL, LP — (VERO BEACH, FL) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
$34.8M RAUM · 1 reps · 203-247-2194
95
RIA GLOBAL RESEARCH, LLC — (HOUSTON, TX) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 281-501-1791 · simpleadvisor.com
95
PLUM POINTE WEALTH MANAGEMENT — (PROVIDENCE, RI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 401-228-8258
95
QUANTOR CAPITAL LLC — (HOUSTON, TX) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
$125.2M RAUM · 3 reps · 281-565-0355 · quantorcapital.com
95
1808 CAPITAL PARTNERS — (GREENSBORO, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 336-814-9800 · raymondjames.com
95
STONEHAVEN WEALTH & TAX SOLUTIONS — (APPLETON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 920-882-0427 · stonehavenwealth.com
95
HARBORVIEW ASSET MANAGEMENT LLC — (GIG HARBOR, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 253-432-1001
95
FPNAVIGATORS — (MAPLE GROVE, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 763-265-4450
95
MAAT INVESTMENT GROUP GMBH — (location n/a) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · +49 17662308161 · maatinvest.com
95
COMMONWEALTH CONTINUUM ADVISORS — (WALTHAM, MA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 833-959-0118 · continuumria.com
95
THE LIFE WEALTH GROUP — (WINTER GARDEN, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 407-299-4129 · thelifewealthgroup.com
95
LOOMIS 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 · 203-249-6431 · loomiscapitalmanagement.com
95
SMITH WYND CAPITAL LLC — (FRANKLIN, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (615) 794-8881 · smithwynd.com
95
CAPITAL AREA PLANNING GROUP — (WASHINGTON, DC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 202-916-5624
95
BEACON CAPITAL ADVISORY GROUP — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 877-801-2322
95
CATOCTIN RIDGE WEALTH PARTNER — (THURMONT, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 301-304-6004
95
PCM ENCORE, LLC — (ASPEN, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 360-708-3173
95
HARVESTWISE WEALTH PLANNING — (ESCONDIDO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 858-788-1920 · harvestwisewealth.com
95
GRP FINANCIAL SERVICES, LLC — (FARMINGDALE, ME) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · (207) 622-4494 · grplans.com
95
ECHELON GROUP — (BOISE, ID) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 208-345-9944 · echelongroup.com
95
PENSERRA WEALTH MANAGEMENT — (ORINDA, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 4157179276 · penserrawealth.com
95
THECE 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 · 435-899-0172
95
WEALTH INTELLIGENCE, LLC — (COLUMBUS, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 706-571-2100 · wealthintel.com
95
TRITONPOINT PARTNERS, LLC — (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 301-799-9001
95
PITCAIRN WEALTH ADVISORS LLC — (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 215-881-6144 · pitcairn.com
95
STRIVE FINANCIAL GROUP, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · (317) 590-0146
95
GOETZKE CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (608) 332-8434
85
HODGES CAPITAL MANAGEMENT INC — crossed $1B in regulatory AUM ($969.2M -> $1.09B). IAPD ↗
$1.09B RAUM · 10 reps · 888-878-4426
85
DENALI ADVISORS, LLC — crossed $1B in regulatory AUM ($493.4M -> $1.20B). IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
85
PINNACLE INVESTMENTS, LLC — crossed $1B in regulatory AUM ($964.9M -> $1.07B). IAPD ↗
$1.07B RAUM · 51 reps · 315-251-1101 · pinnacleinvestments.com
85
STRATEGIC INVESTMENT ADVISORS, LLC — crossed $1B in regulatory AUM ($947.1M -> $1.12B). IAPD ↗
$1.12B RAUM · 12 reps · 248-567-6688 · retirementplanningedu.com
85
SOVRAN ADVISORS, LLC — crossed $1B in regulatory AUM ($841.6M -> $1.17B). IAPD ↗
$1.17B RAUM · 43 reps · 619-281-9890 · sovranadvisors.com
70
PATTEN AND PATTEN, INC. — now reports custody of client assets ($523.5M). IAPD ↗
$1.93B RAUM · 4 reps · 423.756.3480 · patteninc.com
70
DENALI ADVISORS, LLC — now reports custody of client assets ($127.5M). IAPD ↗
$1.20B RAUM · 10 reps · 858-558-3600
70
ALLWORTH FINANCIAL, L.P. — now reports custody of client assets ($26.1M). IAPD ↗
$19.31B RAUM · 156 reps · 916-482-2196
70
OCEAN PARK ASSET MANAGEMENT, LLC — now reports custody of client assets ($43.6M). IAPD ↗
$4.72B RAUM · 9 reps · 310-452-1887 · sierramutualfunds.com
68
U.S. FINANCIAL ADVISORS — now reports custody of client assets ($10.8M). IAPD ↗
$348.6M RAUM · 8 reps · 781-849-9200 · napierfinancial.com
68
BLACK DIAMOND FINANCIAL, LLC — now reports custody of client assets ($890,000). IAPD ↗
$701.4M RAUM · 9 reps · 443-841-7772 · blackdfinancial.com
68
TOWERCREST CAPITAL MANAGEMENT, LLC — now reports custody of client assets ($4.3M). IAPD ↗
$633.0M RAUM · 1 reps · 215-809-2000
68
RED TORTOISE — now reports custody of client assets ($63.0M). IAPD ↗
$357.5M RAUM · 4 reps · (833) 666-1200
68
BRUTON CHISNELL ADVISORS, LLC — now reports custody of client assets ($56.9M). IAPD ↗
$644.5M RAUM · 3 reps · 610-518-3900 · bcadvisors.com
68
EDGEROCK WEALTH MANAGEMENT — now reports custody of client assets ($58.0M). IAPD ↗
$325.1M RAUM · 9 reps · 303.780.7350
68
WATERSHED PRIVATE WEALTH LLC — now reports custody of client assets ($122.2M). IAPD ↗
$263.4M RAUM · 3 reps · 630.645.3848
68
PERMANENT CAPITAL MANAGEMENT, LP — now reports custody of client assets ($33.5M). IAPD ↗
$365.1M RAUM · 1 reps · 312-961-8251 · permanent-capital.com
65
AURORA INVESTMENT COUNSEL — now reports custody of client assets ($30.0M). IAPD ↗
$219.3M RAUM · 3 reps · 770.226.5323 · aurora-invest.com
65
HORTER INVESTMENT MANAGEMENT, LLC — now reports custody of client assets ($59.7M). IAPD ↗
$214.1M RAUM · 32 reps · 513-984-9933
65
CREW CAPITAL MANAGEMENT, LTD. — now reports custody of client assets ($39.5M). IAPD ↗
$183.1M RAUM · 7 reps · 513-245-2620 · crewcapital.com
65
THINKING BIG FINANCIAL — now reports custody of client assets ($18.4M). IAPD ↗
$60.1M RAUM · 2 reps · (973) 224-1145
65
MUNAKATA ASSOCIATES LLC — now reports custody of client assets ($53.6M). IAPD ↗
$63.6M RAUM · 1 reps · 914-310-9863
65
NEW AMSTERDAM WEALTH PLANNING — now reports custody of client assets ($44.4M). IAPD ↗
$44.4M RAUM · 1 reps · 917-647-5698
65
SURIENCE PRIVATE WEALTH LLC — now reports custody of client assets ($42.1M). IAPD ↗
$111.4M RAUM · 1 reps · (509) 853-1597 · surience.com
65
BULMAN WEALTH GROUP — now reports custody of client assets ($24.2M). IAPD ↗
$148.2M RAUM · 5 reps · 916-458-8199 · bulmanwealth.com
65
TWIN CITY PRIVATE WEALTH, LLC — now reports custody of client assets ($117.0M). IAPD ↗
$110.9M RAUM · 3 reps · 336-930-9494 · twincitywealth.com
65
NEWERA WEALTH — now reports custody of client assets ($7.9M). IAPD ↗
$7.9M RAUM · 1 reps · 786-577-9396
65
WALTON FINANCIAL — now reports custody of client assets ($36.9M). IAPD ↗
$147.9M RAUM · 2 reps · (205) 871-0154 · waltonfin.com
85
TRINITY VENTURES — (location n/a) is newly SEC-registered with $1.29B RAUM and 4 advisory reps. IAPD ↗fund
$1.29B RAUM · 4 reps · 650-854-9500 · trinityventures.com
85
SENTINEL FUND ADVISORS, INC. — (NEW YORK, NY) is newly SEC-registered with $3.18B RAUM and 56 advisory reps. IAPD ↗fund
$3.18B RAUM · 56 reps · 212-408-2900
85
ATOMIC VAULTS 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 · 203-535-2052
85
COAR HILL ASSET MANAGEMENT PARTNERS LP — (NORWALK, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 203-764-2117 · coarhill.com
85
MILITIA INVESTMENTS, LLC — (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 773-442-2294
85
P74 BIO LP — (ALLSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 862-754-2216
85
KAI WEALTH LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 312-605-8020
85
IMPACT INVESTMENTS 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 · 212-957-7600
85
MW ADVISOR, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 95 advisory reps. IAPD ↗institutional
$0 RAUM · 95 reps · 212-500-3000
85
TCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLC — (LOS ANGELES, CA) is newly SEC-registered with $0 RAUM and 72 advisory reps. IAPD ↗institutional
$0 RAUM · 72 reps · 213-244-0000 · tcw.com
85
24A CAPITAL MANAGEMENT LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 713-398-9354 · 24acapital.com
85
COVE CAPITAL 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 · 650-436-9522
85
NESTYIELD ETFS — (DOWNEY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 866-475-5050 · nestyield.com
85
ILS ADVISORY SERVICES, LLC — (NASHVILLE, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 804-399-0344
85
TWO PARKS CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 1-212-207-6820
85
VERCAP MANAGEMENT LLC — (LOS ANGELES, CA) is newly SEC-registered with $1.16B RAUM and 5 advisory reps. IAPD ↗fund
$1.16B RAUM · 5 reps · 469-564-4800 · vercapmgmt.com
85
WEBS INVESTMENTS INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 1-630-235-1507
85
BELLTOWER PARTNERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 212-960-8042
83
DXD CAPITAL — (ALBUQUERQUE, NM) is newly SEC-registered with $258.9M RAUM and 14 advisory reps. IAPD ↗fund
$258.9M RAUM · 14 reps · 505-633-4190 · dxd.capital
83
AFBI LP — (MIAMI BEACH, FL) is newly SEC-registered with $981.3M RAUM and 9 advisory reps. IAPD ↗fund
$981.3M RAUM · 9 reps · 917-865-5747
80
PEO PARTNERS, LLC — (NEW YORK, NY) is newly SEC-registered with $34.7M RAUM and 5 advisory reps. IAPD ↗fund
$34.7M RAUM · 5 reps · 646-993-6350 · peo-partners.com
80
ELTURA CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $7.3M RAUM and 4 advisory reps. IAPD ↗fund
$7.3M RAUM · 4 reps · 201-394-6273 · eltura.com
80
DJA CAPITAL MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $24.7M RAUM and 1 advisory reps. IAPD ↗fund
$24.7M RAUM · 1 reps · 646-693-4166
80
MACCABI CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered with $600,000 RAUM and 1 advisory reps. IAPD ↗fund
$600,000 RAUM · 1 reps · 1-833-770-3863 · maccabicapital.com
80
BRIGHAM ROYALTIES MANAGEMENT, LLC — (AUSTIN, TX) is newly SEC-registered with $187.1M RAUM and 8 advisory reps. IAPD ↗fund
$187.1M RAUM · 8 reps · 512-220-1235
75
TUTTLE CAPITAL MANAGEMENT, LLC — crossed $1B in regulatory AUM ($680.9M -> $1.64B). IAPD ↗institutional
$1.64B RAUM · 4 reps · 888-723-2821 · tuttlecap.com
75
STANDPOINT ASSET MANAGEMENT, LLC — crossed $1B in regulatory AUM ($804.3M -> $1.05B). IAPD ↗institutional
$1.05B RAUM · 6 reps · (602) 688-2918 · standpointfunds.com
70
MARCYPEN CAPITAL PARTNERS LLC — crossed $1B in regulatory AUM ($386.1M -> $1.06B). IAPD ↗fund
$1.06B RAUM · 14 reps · 424-421-6040 · marcypen.com
70
LINGOTTO INVESTMENT MANAGEMENT LLP — (LONDON, United Kingdom) is newly SEC-registered with $6.63B RAUM and 12 advisory reps. IAPD ↗foreign
$6.63B RAUM · 12 reps · +44(0) 2037819349 · lingotto.com
65
SARGASSO PARTNERS LLP — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · +44 7900 501 478
65
MARNOA PRIVATE WEALTH COUNSEL LTD. — (WATERLOO,ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 519-707-0049 · marnoa.ca
65
ROC PARTNERS (US) LLC — (SYDNEY NSW, Australia) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗foreign
$0 RAUM · 0 reps · 61290991900 · rocp.com
65
ALFA ALGORITHMS HK LIMITED — (TSIM SHA TSUI, KOWLOON, Hong Kong) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · 972-54-6983288
65
POLYNOMIAL PARTNERS LLC — (SINGAPORE, Singapore) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · +65 84051084
58
ANDALUSIAN CREDIT PARTNERS, LLC — now reports custody of client assets ($1.8M). IAPD ↗institutional
$513.7M RAUM · 10 reps · 646-989-4070 · andalusian.com
55
ATL ADVISOR LP — now reports custody of client assets ($2.79B). IAPD ↗fund
$1.39B RAUM · 9 reps · 212-497-1381 · atlpartners.com
55
HELIX PARTNERS MANAGEMENT LP — now reports custody of client assets ($3.16B). IAPD ↗fund
$1.58B RAUM · 7 reps · 212-379-4949
55
BOXER CAPITAL MANAGEMENT, LLC — now reports custody of client assets ($2.54B). IAPD ↗fund
$2.54B RAUM · 10 reps · 858.400.3115 · boxercap.com
55
D2 ASSET MANAGEMENT — now reports custody of client assets ($2.00B). IAPD ↗fund
$1.00B RAUM · 2 reps · 646-729-8315
53
MFG PARTNERS LLC — now reports custody of client assets ($825.5M). IAPD ↗fund
$412.8M RAUM · 6 reps · 212-651-4615
53
THORNBURG BOW RIVER ADVISERS, LLC. — now reports custody of client assets ($340.9M). IAPD ↗fund
$340.9M RAUM · 6 reps · 303-861-8466 · thornburg.com
50
NORTHAMPTON CAPITAL PARTNERS — now reports custody of client assets. IAPD ↗fund
$125.0M RAUM · 9 reps · 914-309-1746
50
RIPPLE EFFECT ASSET MANAGEMENT LP — now reports custody of client assets ($168.1M). IAPD ↗fund
$165.4M RAUM · 3 reps · 917-319-8088 · rippleeffectasset.com
50
GLADE CAPITAL MANAGEMENT LP — now reports custody of client assets ($55.2M). IAPD ↗fund
$27.6M RAUM · 1 reps · 561-246-6330
50
DIADEMA PARTNERS LP — now reports custody of client assets ($153.6M). IAPD ↗fund
$143.7M RAUM · 3 reps · 646-979-8432 · diademapartnerslp.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.