Custodian — January 2025
Custodians courting new and breakaway RIAs (Schwab, Fidelity, Altruist, Axos, TradePMR).
102 firms opened this window in the January 2025 SEC roster: 70 new registration, 25 custody started, 7 aum crossed 1b.
98
CURRY WEBB WEALTH MANAGEMENT LLC — (INDIANAPOLIS, IN) is newly SEC-registered with $293.8M RAUM and 4 advisory reps. IAPD ↗
95
BLUE CHIP MONEY MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $41.5M RAUM and 1 advisory reps. IAPD ↗
95
BERKELEY ADVISORS, INC. — (ATLANTA, GA) is newly SEC-registered with $102.0M RAUM and 2 advisory reps. IAPD ↗
95
GLADWYN FINANCIAL ADVISORS, INC. — (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
95
HEALTHVIEW ASSET MANAGEMENT, INC. — (PITTSBURGH, PA) is newly SEC-registered with $100.4M RAUM and 3 advisory reps. IAPD ↗
95
FORTRESS FINANCIAL SOLUTIONS, LLC — (TUCSON, AZ) is newly SEC-registered with $117.9M RAUM and 6 advisory reps. IAPD ↗
95
PALISADE WEALTH MANAGEMENT — (DRAPER, UT) is newly SEC-registered with $116.0M RAUM and 3 advisory reps. IAPD ↗
95
AVENTUS INVESTMENT ADVISORS, INC. — (CORNELIUS, NC) is newly SEC-registered with $118.5M RAUM and 2 advisory reps. IAPD ↗
95
BLAIR HALL ADVISORS, LLC — (location n/a) is newly SEC-registered with $110.9M RAUM and 2 advisory reps. IAPD ↗
95
GARNETT INVESTMENT STRATEGIES — (BEATRICE, NE) is newly SEC-registered with $122.9M RAUM and 2 advisory reps. IAPD ↗
95
BRILLIANT ADVICE, LLC — (CINCINNATI, OH) is newly SEC-registered with $133.7M RAUM and 2 advisory reps. IAPD ↗
95
TEPP WEALTH MANAGEMENT — (WESTFIELD, NJ) is newly SEC-registered with $149.2M RAUM and 2 advisory reps. IAPD ↗
95
CLF ASSET MANAGEMENT, INC. — (MADISON, WI) is newly SEC-registered with $105.9M RAUM and 5 advisory reps. IAPD ↗
95
UNIFIED WEALTH MANAGEMENT LLC — (OLDSMAR, FL) is newly SEC-registered with $106.5M RAUM and 2 advisory reps. IAPD ↗
95
UNITED VALUE CAPITAL, LLC — (location n/a) is newly SEC-registered with $129.0M RAUM and 1 advisory reps. IAPD ↗
95
GUNDER WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $103.1M RAUM and 2 advisory reps. IAPD ↗
95
COMPREHENSIVE FINANCIAL CONSULTANTS — (CICERO, IN) is newly SEC-registered with $140.3M RAUM and 2 advisory reps. IAPD ↗
95
CURTIS WEALTH MANAGEMENT LLC — (HENDERSON, NV) is newly SEC-registered with $144.9M RAUM and 2 advisory reps. IAPD ↗
95
SHEPHERD WEALTH MANAGEMENT — (CINCINNATI, OH) is newly SEC-registered with $101.6M RAUM and 2 advisory reps. IAPD ↗
95
KERUSSO CAPITAL MANAGEMENT, LLC — (WINSTON-SALEM, NC) is newly SEC-registered with $163.1M RAUM and 2 advisory reps. IAPD ↗
95
BRICKSTONE ADVISORS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
RBG WEALTH ADVISORS LLC — (MEMPHIS, TN) is newly SEC-registered with $103.0M RAUM and 3 advisory reps. IAPD ↗
95
HALLSTATT ADVISORS L.P. — (NEW YORK, NY) is newly SEC-registered with $67.3M RAUM and 1 advisory reps. IAPD ↗
95
WALLEM ASSOCIATES, INC. — (LOVES PARK, IL) is newly SEC-registered with $107.0M RAUM and 2 advisory reps. IAPD ↗
95
TREND TRADE PRO, LLC — (PASADENA, CA) is newly SEC-registered with $182.3M RAUM and 1 advisory reps. IAPD ↗
95
PARADIGM INSTITUTIONAL INVESTORS — (DALLAS, TX) is newly SEC-registered with $189.5M RAUM and 1 advisory reps. IAPD ↗
95
VINEYARD WEALTH GROUP, LLC — (WEST TISBURY, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BEATRICE ADVISORS LP — (NEW YORK, NY) is newly SEC-registered with $64.7M RAUM and 2 advisory reps. IAPD ↗
95
VINTRIS WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
EVERY SECURITIES LLC — (SACRAMENTO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SINDIA CAPITAL ADVISERS, LLC — (SOMERS POINT, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
HEWELL FINANCIAL GROUP, INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
JW NOVA WEALTH PARTNERS — (NEWTOWN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
REVV CAPITAL, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MON CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
VIAQUEST ADVISORS LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MORA FINANCIAL — (SANTA ANA, CA) is newly SEC-registered with $500,000 RAUM and 1 advisory reps. IAPD ↗
95
ALIGN FINANCIAL ADVISORS, LLC — (MCKINNEY, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
B.SIDE INVESTMENTS LLC — (DORAL, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CREATIVE INVESTMENT GROUP — (NASHVILLE, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BROOKSIDE STRATEGY AND CONSULTING — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
LUNIN-PACK PLANNING AND ADVICE, LLC — (COLD SPRING, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SELBY WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
85
MISSIONSQUARE RETIREMENT — crossed $1B in regulatory AUM ($668.2M -> $6.11B). IAPD ↗
85
SOFI WEALTH LLC — crossed $1B in regulatory AUM ($943.5M -> $1.37B). IAPD ↗
85
CHEQUERS FINANCIAL MANAGEMENT LLC — crossed $1B in regulatory AUM ($812.0M -> $1.01B). IAPD ↗
85
NEW AGE ALPHA — crossed $1B in regulatory AUM ($195.9M -> $2.67B). IAPD ↗
85
MADISON PARTNERS — crossed $1B in regulatory AUM ($559.0M -> $1.09B). IAPD ↗
70
CALIFORNIA FINANCIAL ADVISORS — now reports custody of client assets ($1.43B). IAPD ↗
70
LORD, ABBETT & CO. LLC — now reports custody of client assets ($73.6M). IAPD ↗
70
HIGHPOINT PLANNING PARTNERS — now reports custody of client assets ($1.82B). IAPD ↗
70
PANDI, LLC — now reports custody of client assets ($2.5M). IAPD ↗
68
GOOD HARBOR ADVISORS, INC. — now reports custody of client assets ($48.8M). IAPD ↗
68
OCCIDENTAL ASSET MANAGEMENT, LLC — now reports custody of client assets ($152.3M). IAPD ↗
68
EAGLE BAY FAMILY OFFICE — now reports custody of client assets ($142.5M). IAPD ↗
68
INNEALTA CAPITAL — now reports custody of client assets ($11.2M). IAPD ↗
68
FOCUSED ALPHA, LLC — now reports custody of client assets ($132.0M). IAPD ↗
68
TIEMPO CAPITAL PARTNERS — now reports custody of client assets ($46,000). IAPD ↗
68
CASTLE ROCK ADVISORS LLC — now reports custody of client assets ($230.6M). IAPD ↗
68
MFP FINANCIAL SERVICES, LLC — now reports custody of client assets ($65.4M). IAPD ↗
68
LIFELONG WEALTH ADVISORS, INC. — now reports custody of client assets ($450.1M). IAPD ↗
68
MOREY & QUINN WEALTH PARTNERS — now reports custody of client assets ($500,000). IAPD ↗
68
BURLING WEALTH PARTNERS — now reports custody of client assets ($72.1M). IAPD ↗
68
VIRTUS WEALTH SOLUTIONS — now reports custody of client assets ($46.4M). IAPD ↗
65
GAMMA ASSET MANAGEMENT LLC — now reports custody of client assets ($59.8M). IAPD ↗
65
BROADSTREET GLOBAL ADVISORS, INC. — now reports custody of client assets ($6.2M). IAPD ↗
65
PERSPECTIVE WEALTH ADVISORS — now reports custody of client assets ($2.6M). IAPD ↗
85
BRIGHT PORTFOLIOS, LLC — (LEE'S SUMMIT, MO) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
HARMONT FIXED INCOME, LLC — (location n/a) is newly SEC-registered with $125.1M RAUM and 1 advisory reps. IAPD ↗institutional
85
POP VENTURE ADVISERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
NEW CATALYST — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
ZACKS INTELLIGENCE LLC — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗institutional
85
IDIRECT PRIVATE CREDIT ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗institutional
85
SARDIS GROUP, LLC — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
RECKONER CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
ELMIND CAPITAL LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
1823 PARTNERS (US) LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
85
TACTICAL ROTATION MANAGEMENT, LLC — (FOREST HILLS, NY) is newly SEC-registered with $65.5M RAUM and 1 advisory reps. IAPD ↗institutional
85
CIFC PRIVATE CREDIT MANAGEMENT LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 100 advisory reps. IAPD ↗institutional
85
LORD ABBETT CLO MANAGEMENT LP — (JERSEY CITY, NJ) is newly SEC-registered with $0 RAUM and 264 advisory reps. IAPD ↗institutional
83
SOCOTRA MANAGEMENT, INC. — (SACRAMENTO, CA) is newly SEC-registered with $408.2M RAUM and 3 advisory reps. IAPD ↗fund
83
MIZZEN MANAGEMENT LLC — (STAMFORD, CT) is newly SEC-registered with $354.3M RAUM and 10 advisory reps. IAPD ↗fund
80
CYPRESS POINT INVESTMENT MANAGEMENT LP — (MILL VALLEY, CA) is newly SEC-registered (provisional 120-day approval) with $77.4M RAUM and 4 advisory reps. IAPD ↗fund
80
PROSSER CREEK ASSET MANAGEMENT LLC — (CORTE MADERA, CA) is newly SEC-registered (provisional 120-day approval) with $41.1M RAUM and 1 advisory reps. IAPD ↗fund
80
RAVENSWOOD PARTNERS LP — (MCLEAN, VA) is newly SEC-registered with $162.6M RAUM and 3 advisory reps. IAPD ↗fund
80
LONG ANGLE MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $234.9M RAUM and 2 advisory reps. IAPD ↗fund
75
ALLIANT RETIREMENT CONSULTING — crossed $1B in regulatory AUM ($144.0M -> $3.62B). IAPD ↗institutional
70
70
GFI INVESTMENT COUNSEL — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $1.65B RAUM and 7 advisory reps. IAPD ↗foreign
68
68
ARROW CAPITAL PTY LTD — (SYDNEY NSW, Australia) is newly SEC-registered with $749.5M RAUM and 2 advisory reps. IAPD ↗foreign
65
TOTUS ALPHA MANAGEMENT PTY LTD — (SYDNEY, NSW, Australia) is newly SEC-registered with $189.4M RAUM and 3 advisory reps. IAPD ↗foreign
65
SENGU CAPITAL LIMITED — (HONG KONG, Hong Kong) is newly SEC-registered with $135.0M RAUM and 2 advisory reps. IAPD ↗foreign
65
65
OPTIMIZE WEALTH MANAGEMENT — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
58
55
53
50
50
ARTESIAN CAPITAL MANAGEMENT (DELAWARE) LP — now reports custody of client assets ($1.4M). IAPD ↗fund
40
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.