Custodian — December 2024
Custodians courting new and breakaway RIAs (Schwab, Fidelity, Altruist, Axos, TradePMR).
130 firms opened this window in the December 2024 SEC roster: 96 new registration, 32 custody started, 2 aum crossed 1b.
98
KERBEROS CAPITAL MANAGEMENT LLC — (CHICAGO, IL) is newly SEC-registered with $270.0M RAUM and 4 advisory reps. IAPD ↗
95
MCMAHAN CAPITAL MANAGEMENT — (CARMEL, IN) is newly SEC-registered with $112.5M RAUM and 2 advisory reps. IAPD ↗
95
LEATHE & ASSOCIATES, LLC — (location n/a) is newly SEC-registered with $122.8M RAUM and 1 advisory reps. IAPD ↗
95
LIFEPLAN FINANCIAL, LLC — (MANKATO, MN) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
95
INTEGRAL FINANCIAL PLANNING LLC — (location n/a) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
95
S HARRIS FINANCIAL GROUP, LLC — (SAN ANTONIO, TX) is newly SEC-registered with $218.7M RAUM and 7 advisory reps. IAPD ↗
95
O'CONNOR WEALTH MANAGEMENT, INC. — (MONROVIA, CA) is newly SEC-registered with $153.7M RAUM and 2 advisory reps. IAPD ↗
95
DOWNING STREET WEALTH MANAGEMENT LLC — (GREENWOOD VILLAGE, CO) is newly SEC-registered with $152.1M RAUM and 2 advisory reps. IAPD ↗
95
BAUMAN WEALTH ADVISORS — (LAS VEGAS, NV) is newly SEC-registered with $104.7M RAUM and 4 advisory reps. IAPD ↗
95
REH WEALTH ADVISORS LLC — (RALEIGH, NC) is newly SEC-registered with $106.2M RAUM and 1 advisory reps. IAPD ↗
95
KAGAN COCOZZA ASSET MANAGEMENT — (location n/a) is newly SEC-registered with $130.6M RAUM and 2 advisory reps. IAPD ↗
95
GUARDIAN CAPITAL, LLC — (WEXFORD, PA) is newly SEC-registered with $105.9M RAUM and 3 advisory reps. IAPD ↗
95
SEABORN FINANCIAL, LLC — (location n/a) is newly SEC-registered with $107.2M RAUM and 1 advisory reps. IAPD ↗
95
LAVA WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $30.5M RAUM and 1 advisory reps. IAPD ↗
95
OCTO CAPITAL, LLC — (BINGHAM FARMS, MI) is newly SEC-registered with $133.9M RAUM and 1 advisory reps. IAPD ↗
95
BROADVIEW WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $109.0M RAUM and 1 advisory reps. IAPD ↗
95
STONE STEPS FINANCIAL, LLC — (ENCINITAS, CA) is newly SEC-registered with $105.0M RAUM and 3 advisory reps. IAPD ↗
95
FINANCIAL AURORA, LLC. — (AUSTIN, TX) is newly SEC-registered with $105.0M RAUM and 1 advisory reps. IAPD ↗
95
GUNCHEON FINANCIAL, LLC — (location n/a) is newly SEC-registered with $108.2M RAUM and 4 advisory reps. IAPD ↗
95
COPIA WEALTH MANAGEMENT — (BEND, OR) is newly SEC-registered with $119.6M RAUM and 4 advisory reps. IAPD ↗
95
SOUTH COVE FINANCIAL, LLC — (location n/a) is newly SEC-registered with $130.0M RAUM and 3 advisory reps. IAPD ↗
95
AFFINITY WEALTH LLC — (CANTON, OH) is newly SEC-registered with $155.4M RAUM and 1 advisory reps. IAPD ↗
95
INTELLIGENT INVESTING — (location n/a) is newly SEC-registered with $108.5M RAUM and 1 advisory reps. IAPD ↗
95
CMG FINANCIAL CONSULTING — (location n/a) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
95
RICHMOND QUANTITATIVE ADVISORS, LLC — (location n/a) is newly SEC-registered with $19.9M RAUM and 2 advisory reps. IAPD ↗
95
KW WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered with $100.3M RAUM and 1 advisory reps. IAPD ↗
95
BRIGHTER FINANCIAL CAPITAL MANAGEMENT, LLC — (RESTON, VA) is newly SEC-registered with $112.1M RAUM and 2 advisory reps. IAPD ↗
95
BLUEDOOR PRIVATE WEALTH, LLC — (BEVERLY, MA) is newly SEC-registered with $102.7M RAUM and 1 advisory reps. IAPD ↗
95
WHEELS UP WEALTH, INC. — (BENICIA, CA) is newly SEC-registered with $104.0M RAUM and 3 advisory reps. IAPD ↗
95
STARK WEALTH MANAGEMENT LLC — (BETHLEHEM, PA) is newly SEC-registered with $131.7M RAUM and 1 advisory reps. IAPD ↗
95
TOBERMAN BECKER WEALTH, LLC — (ST. LOUIS, MO) is newly SEC-registered with $101.6M RAUM and 2 advisory reps. IAPD ↗
95
EMETH VALUE CAPITAL, LLC — (NEW ORLEANS, LA) is newly SEC-registered with $119.5M RAUM and 1 advisory reps. IAPD ↗
95
SIGNAL TREE FINANCIAL PARTNERS LLC — (COPLEY, OH) is newly SEC-registered with $134.7M RAUM and 3 advisory reps. IAPD ↗
95
CHARIS LEGACY PARTNERS — (BRYAN, TX) is newly SEC-registered with $102.4M RAUM and 1 advisory reps. IAPD ↗
95
OMNI FINANCIAL LLC — (MADISON, WI) is newly SEC-registered with $106.0M RAUM and 1 advisory reps. IAPD ↗
95
LT ADVISORS LLC — (location n/a) is newly SEC-registered with $42.6M RAUM and 1 advisory reps. IAPD ↗
95
CAPITAL SQUARED FINANCIAL LLC — (ROCKVILLE, MD) is newly SEC-registered with $108.6M RAUM and 2 advisory reps. IAPD ↗
95
DLK INVESTMENT ADVISORS, LLC — (MERCER ISLAND, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MARICOPA CAPITAL PARTNERS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
AIML TRADING PARTNERS — (COLD SPRING HARBOR, NY) is newly SEC-registered with $35.0M RAUM and 1 advisory reps. IAPD ↗
95
WHITWELL ADVISORS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $55.4M RAUM and 3 advisory reps. IAPD ↗
95
ARCHLIGHT WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
MESSINA WEALTH MANAGEMENT, LLC — (SPRING HILL, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
INDIVISIBLE PARTNERS — (CLEARWATER, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
HOLISTIC WEALTH ADVISORS — (CLIFTON PARK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
HENDERSON FINANCIAL GROUP LLC — (VIRGINIA BEACH, VA) is newly SEC-registered with $105.5M RAUM and 3 advisory reps. IAPD ↗
95
INFLECTION CAPITAL MANAGEMENT, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
GEN INVEST LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CANDLESTICK AI — (NUTLEY, NJ) is newly SEC-registered with $1,000 RAUM and 2 advisory reps. IAPD ↗
95
MDT FINANCIAL ADVISORS — (WEBSTER, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
INVESTABLE — (DAYTON, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
VALOIR WEALTH LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CHICAGO OAKBROOK FINANCIAL GROUP — (OAK BROOK, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
GBG WEALTH MANAGEMENT LLC — (LONE TREE, CO) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
GPS INVESTMENTS — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
PRESIDIO WEALTH MANAGEMENT — (MIDVALE, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BASTION FIDUCIARY — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
DICK ADVISORY GROUP — (TEWKSBURY, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CLARION CALL CAPITAL — (NEW YORK, NY) is newly SEC-registered with $54.3M RAUM and 1 advisory reps. IAPD ↗
95
GLOBAL TRUST WEALTH MANAGEMENT LLC — (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
SANKOTA CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $26.0M RAUM and 2 advisory reps. IAPD ↗
95
IGW ADVISORY INVESTMENT MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
APEX INVESTMENT GROUP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
AERIE ADVISORY GROUP LLC — (GIG HARBOR, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PIEDMONT WEALTH ADVISORY — (RESTON, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
85
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC — crossed $1B in regulatory AUM ($854.3M -> $1.12B). IAPD ↗
70
SERENUS WEALTH ADVISORS, LLC — now reports custody of client assets ($316.3M). IAPD ↗
70
IFC ADVISORS LLC — now reports custody of client assets ($31.7M). IAPD ↗
68
UHLER VERTICH WHITE ADVISORS — now reports custody of client assets ($640,000). IAPD ↗
68
JACKSON WEALTH MANAGEMENT, LLC — now reports custody of client assets ($820.9M). IAPD ↗
68
STEADMONT ADVISORS, LLC — now reports custody of client assets ($63.1M). IAPD ↗
68
BRIDGE GENERATIONS WEALTH MANAGEMENT — now reports custody of client assets ($113.6M). IAPD ↗
68
KEYVANTAGE WEALTH ADVISORS — now reports custody of client assets ($250.8M). IAPD ↗
68
BEARING POINT CAPITAL — now reports custody of client assets ($10.4M). IAPD ↗
68
PRASAD WEALTH PARTNERS — now reports custody of client assets ($75.4M). IAPD ↗
68
CURA WEALTH ADVISORS, LLC — now reports custody of client assets ($13). IAPD ↗
65
THOMPSON DAVIS ASSET MANAGEMENT — now reports custody of client assets ($5.8M). IAPD ↗
65
WEALTH MANAGEMENT CORPORATION — now reports custody of client assets ($29.8M). IAPD ↗
65
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT — now reports custody of client assets ($45.4M). IAPD ↗
65
LEWIS ASSET MANAGEMENT — now reports custody of client assets ($82.3M). IAPD ↗
65
QP WEALTH MANAGEMENT, LLC — now reports custody of client assets ($39.1M). IAPD ↗
65
E6 PORTFOLIOS — now reports custody of client assets ($26.8M). IAPD ↗
65
ROCKBRIDGE CAPITAL MANAGEMENT — now reports custody of client assets ($68.0M). IAPD ↗
65
MOMENTUM WEALTH PLANNING — now reports custody of client assets ($72.9M). IAPD ↗
65
TERRAFIRMA WEALTH PARTNERS — now reports custody of client assets ($62.9M). IAPD ↗
65
PLANWISER FINANCIAL — now reports custody of client assets ($90.7M). IAPD ↗
65
DEGREEN PRIVATE WEALTH, LLC — now reports custody of client assets ($35.1M). IAPD ↗
65
YANDELL INVESTMENTS, LLC — now reports custody of client assets ($35.0M). IAPD ↗
90
BC PARTNERS PE L.P. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $33.34B RAUM and 30 advisory reps. IAPD ↗institutional
85
SIMA RETIREMENT SOLUTIONS, LLC — (NORTH CHESTERFIELD, VA) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
GLOBAL STRATEGIC RISK MANAGEMENT, LLC — (PROVIDENCE, RI) is newly SEC-registered with $1.52B RAUM and 7 advisory reps. IAPD ↗fund
85
KATE CAPITAL LLC — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
COASTAL EQUITY MANAGEMENT, LLC — (PENSACOLA, FL) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
85
HARBOURVEST REGISTERED ADVISERS — (BOSTON, MA) is newly SEC-registered with $0 RAUM and 293 advisory reps. IAPD ↗institutional
85
M83 INVESTMENT GROUP, LLC — (CALABASAS, CA) is newly SEC-registered with $112.4M RAUM and 4 advisory reps. IAPD ↗institutional
85
MRBL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
CAPRA IBEX CREDIT OPPORTUNITIES, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
LORD ABBETT FIF ADVISOR LLC — (JERSEY CITY, NJ) is newly SEC-registered with $0 RAUM and 264 advisory reps. IAPD ↗institutional
85
FLAGSHIP INVESTMENT MANAGEMENT LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
85
85
MARCELLUS INTERNATIONAL INVESTMENT MANAGERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
PSP RESEARCH LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
ERIC M FLANAGAN TRADING, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
KING RIDGE CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
BAYHUNT CAPITAL LLC — (MILL VALLEY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
KARL KAPITAL — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
PAINSWICK CAPITAL MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
FORTUNA FUNDS, LLC — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
NEXTGEN EMP — (COLUMBUS, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
83
MCP ADVISERS, LLC — (ATLANTA, GA) is newly SEC-registered with $400.0M RAUM and 1 advisory reps. IAPD ↗fund
80
HC2 CAPITAL, LLC — (DALLAS, TX) is newly SEC-registered with $195.1M RAUM and 4 advisory reps. IAPD ↗fund
80
GRIZZLY CAPITAL MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $40.8M RAUM and 7 advisory reps. IAPD ↗fund
80
TCW PT MANAGEMENT COMPANY LLC — (LOS ANGELES, CA) is newly SEC-registered with $0 RAUM and 28 advisory reps. IAPD ↗fund
80
ABF INVESTMENT MANAGEMENT, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗fund
75
70
AVIVA INVESTORS CANADA INC. — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $8.25B RAUM and 5 advisory reps. IAPD ↗foreign
68
GUARDIAN PARTNERS INC. — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $388.2M RAUM and 8 advisory reps. IAPD ↗foreign
65
HIGHER PARK LIMITED — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗foreign
60
ARINI CAPITAL MANAGEMENT US LLC — now reports custody of client assets ($22.05B). IAPD ↗institutional
55
55
POLYMER CAPITAL MANAGEMENT (US), LLC — now reports custody of client assets ($260.8M). IAPD ↗institutional
55
LORD ABBETT PRIVATE CREDIT ADVISOR LLC — now reports custody of client assets ($38.0M). IAPD ↗institutional
53
50
50
50
40
35
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.