← Tributary

Custodian — January 2026

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

145 firms opened this window in the January 2026 SEC roster: 115 new registration, 23 custody started, 7 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
TACTICA LLC — (location n/a) is newly SEC-registered with $418.0M RAUM and 1 advisory reps. IAPD ↗
$418.0M RAUM · 1 reps · 787-585-8095
98
PROSPERITY FINANCIAL GROUP, INC. — (SAN RAMON, CA) is newly SEC-registered with $358.9M RAUM and 9 advisory reps. IAPD ↗
$358.9M RAUM · 9 reps · 925-314-8500 · 401kprosperityfg.com
95
SYCAMORE INVESTMENT CONSULTING SERVICES, LLC — (MADISON, WI) is newly SEC-registered with $159.6M RAUM and 2 advisory reps. IAPD ↗
$159.6M RAUM · 2 reps · 608-827-6414
95
INTEGRITY WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $105.4M RAUM and 3 advisory reps. IAPD ↗
$105.4M RAUM · 3 reps · 513-289-2625 · iwmcfp.net
95
BELLEAIR WEALTH MANAGEMENT, LLC — (BELLEAIR BLUFFS, FL) is newly SEC-registered with $113.0M RAUM and 5 advisory reps. IAPD ↗
$113.0M RAUM · 5 reps · 727-586-5655
95
A SLING & A STONE, INCORPORATED — (BURNET, TX) is newly SEC-registered with $105.2M RAUM and 2 advisory reps. IAPD ↗
$105.2M RAUM · 2 reps · 512-553-5151 · investorsadv.com
95
ARM FINANCIAL LLC — (location n/a) is newly SEC-registered with $45.1M RAUM and 1 advisory reps. IAPD ↗
$45.1M RAUM · 1 reps · 617-520-4044 · indexplus.co
95
GENESIS ADVISORS, LLC — (FISHERS, IN) is newly SEC-registered with $120.6M RAUM and 4 advisory reps. IAPD ↗
$120.6M RAUM · 4 reps · 317-577-6900 · genesisadvisors.net
95
ESMEB INC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 703-340-8011 · waterfallwealth.ai
95
FINANCIAL AVENUES — (location n/a) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
$127.7M RAUM · 2 reps · 913-735-7283 · myfinancialavenues.com
95
FORTITUDE WEALTH MANAGEMENT — (MURFREESBORO, TN) is newly SEC-registered with $103.0M RAUM and 1 advisory reps. IAPD ↗
$103.0M RAUM · 1 reps · 615-878-2134 · jasonquallscfp.com
95
SIGNAL RIDGE CAPITAL PARTNERS, LLC — (FRAMINGHAM, MA) is newly SEC-registered with $110.6M RAUM and 4 advisory reps. IAPD ↗
$110.6M RAUM · 4 reps · 617-607-3222
95
VERSATILE CAPITAL MANAGEMENT L.L.C. — (CHICAGO, IL) is newly SEC-registered with $114.2M RAUM and 2 advisory reps. IAPD ↗
$114.2M RAUM · 2 reps · 312-981-9848
95
BRIA CAPITAL GROUP, LLC — (WESLEY CHAPEL, FL) is newly SEC-registered with $113.4M RAUM and 3 advisory reps. IAPD ↗
$113.4M RAUM · 3 reps · 813-448-1122
95
LDN WEALTH, LLC — (ORLANDO, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (407) 567 1945
95
WEALTHRISE FINANCIAL PLANNING, LLC — (CARLSBAD, CA) is newly SEC-registered with $124.2M RAUM and 2 advisory reps. IAPD ↗
$124.2M RAUM · 2 reps · (760) 508-0368
95
IMPACT FIDUCIARY LLC — (PASADENA, CA) is newly SEC-registered with $116.0M RAUM and 2 advisory reps. IAPD ↗
$116.0M RAUM · 2 reps · 323-615-1427
95
PROSPERO WEALTH, LLC — (location n/a) is newly SEC-registered with $100.3M RAUM and 7 advisory reps. IAPD ↗
$100.3M RAUM · 7 reps · 971-716-1991
95
CENTRAL WEALTH MANAGEMENT LLC — (MADISON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 608-841-1555
95
BLUE JAY FINANCIAL GROUP, LLC — (DEFIANCE, OH) is newly SEC-registered with $107.1M RAUM and 2 advisory reps. IAPD ↗
$107.1M RAUM · 2 reps · 419-785-4525
95
MODERN FINANCIAL PLANNING — (GEORGETOWN, TX) is newly SEC-registered with $110.0M RAUM and 2 advisory reps. IAPD ↗
$110.0M RAUM · 2 reps · (510) 519-7009 · modernfp.com
95
MD WEALTH MANAGEMENT, LLC — (CHELSEA, MI) is newly SEC-registered with $105.9M RAUM and 2 advisory reps. IAPD ↗
$105.9M RAUM · 2 reps · 734-433-9600 · mdwmllc.com
95
OMNITRUST WEALTH MANAGEMENT, INC. — (JACKSONVILLE, FL) is newly SEC-registered with $106.1M RAUM and 1 advisory reps. IAPD ↗
$106.1M RAUM · 1 reps · 904-619-4351
95
FINAMEX ASSET MANAGEMENT, LLC — (HOUSTON, TX) is newly SEC-registered with $104.0M RAUM and 4 advisory reps. IAPD ↗
$104.0M RAUM · 4 reps · 713-589-7121
95
MUSE CAPITAL MANAGEMENT LLC — (SANTA MONICA, CA) is newly SEC-registered with $103.8M RAUM and 1 advisory reps. IAPD ↗
$103.8M RAUM · 1 reps · 908-752-1002 · musecap.com
95
CALEO CAPITAL N.A. LLC — (PONTE VEDRA, FL) is newly SEC-registered with $100.8M RAUM and 4 advisory reps. IAPD ↗
$100.8M RAUM · 4 reps · 609 838 1245 · caleocapital-usa.com
95
WMK INVESTMENT PARTNERS — (location n/a) is newly SEC-registered with $129.3M RAUM and 4 advisory reps. IAPD ↗
$129.3M RAUM · 4 reps · (818) 804-1508 · wmkinvestmentpartners.com
95
COPPERWOOD FINANCIAL — (BURR RIDGE, IL) is newly SEC-registered with $108.4M RAUM and 3 advisory reps. IAPD ↗
$108.4M RAUM · 3 reps · 630-581-8998
95
SMP FINANCIAL PLANNING, LLC — (location n/a) is newly SEC-registered with $64.4M RAUM and 2 advisory reps. IAPD ↗
$64.4M RAUM · 2 reps · (202) 450-0784 · smpfinancialplanning.com
95
BICE WEALTH MANAGEMENT LLC — (MIAMI, FL) is newly SEC-registered with $147.7M RAUM and 2 advisory reps. IAPD ↗
$147.7M RAUM · 2 reps · 786-266-4597
95
ARSENAL CAPITAL ADVISORS LLC — (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 610-564-9134 · arsenalcapitaladvisors.com
95
SWIFTWATER CAPITAL — (location n/a) is newly SEC-registered with $169.7M RAUM and 1 advisory reps. IAPD ↗
$169.7M RAUM · 1 reps · 971-453-0130 · swiftwater.capital
95
PRIVATE CLIENT ADVISOR GROUP, LLC — (PALM CITY, FL) is newly SEC-registered with $110.2M RAUM and 5 advisory reps. IAPD ↗
$110.2M RAUM · 5 reps · 516-241-3934 · privateclientadvisor.net
95
APRICITY FINANCIAL, LLC — (location n/a) is newly SEC-registered with $108.8M RAUM and 4 advisory reps. IAPD ↗
$108.8M RAUM · 4 reps · 855-449-7100 · apricity-advisors.com
95
KINGWOOD INVESTMENT GROUP — (KINGWOOD, TX) is newly SEC-registered with $120.1M RAUM and 4 advisory reps. IAPD ↗
$120.1M RAUM · 4 reps · 281-359-7900 · thekig.com
95
BLUE BEAR FINANCIAL, LLC — (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
$141.9M RAUM · 1 reps · (843) 654-1388
95
XENA FINANCIAL PLANNING, LLC — (PORTLAND, OR) is newly SEC-registered with $100.2M RAUM and 2 advisory reps. IAPD ↗
$100.2M RAUM · 2 reps · (503) 714-7357 · xenafp.com
95
IGW ADVISORY INVESTMENT MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 646-717-4509 · igwadvisory.com
95
WILLOW CREEK CAPITAL MANAGEMENT, INC. — (MISSOULA, MT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 406-830-3286 · raymondjames.com
95
ERA FINANCIAL ADVISORS — (COVINA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 530-208-9249
95
INGOT FINANCE — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 702 326 5885
95
ASCENT ADVISORS — (MANKATO, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 952-444-3100
95
RISE NORTH CAPITAL INVESTMENT ADVISORS — (BRAINTREE, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 13 advisory reps. IAPD ↗
$0 RAUM · 13 reps · (781) 519-6969
95
OMEN ADVISORY, LLC — (location n/a) is newly SEC-registered with $36,000 RAUM and 1 advisory reps. IAPD ↗
$36,000 RAUM · 1 reps · 330-583-4914
95
SAVILE CAPITAL MANAGEMENT LLC — (SHERIDAN, WY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 307-655-1008
95
ACTIV8 FAMILY OFFICE LLC — (MCLEAN, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 978-870-0255 · activ8familyoffice.com
95
FERGHANA INVESTMENT PARTNERS, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (212) 763-4823 · ferghanaip.com
95
ASK DOLLY — (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 720-432-6841 · askdolly.com
95
AHAKISTA CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 212-698-0706
95
8FIGURES — (DOVER, DE) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 4158897717
95
CLERA — (COSTA MESA, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · +1 (661) 889-7456 · askclera.com
95
501 NORTH, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · (212) 887-7777
95
SENTINEL ADVISORY GROUP, LLC — (MIDDLETON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 608-579-9350
95
COLAB CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 415-317-5100 · colab-capital.com
95
PARADIGM GLOBAL INVESTORS — (DALLAS, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 774-836-6011 · paradigmglobalinvestors.com
95
HIGHBROOK CAPITAL PARTNERS — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 205-383-7962
95
R2 WEALTH MANAGEMENT PARTNERS — (LINCOLN, NE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 402-489-9375
95
EMBERVEST — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 301-523-8456 · embervest.com
95
ENDOWE ADVISORY LLC — (SAN JOSE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 650-469-3120 · endowe.com
95
BAYTRUST WEALTH MANAGEMENT, LLC — (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 813-820-0069 · baytrust.com
95
NAMSOFT ADVISORS, LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 425-736-6508 · runplutus.com
95
PULLIAM FAMILY OFFICE, LLC — (CRESTED BUTTE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 972-947-9400 · pulliamfamilyoffice.com
95
FFO INVESTMENTS LLC — (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · (302) 584-3415 · thefractionalfamilyoffice.com
95
WASHINGTON PARK CAPITAL MANAGEMENT, LLC — (PORTLAND, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 503-222-9917 · waparkadvisors.com
95
IMPERITY WEALTH ALLIANCE LLC — (MELVILLE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 14 advisory reps. IAPD ↗
$0 RAUM · 14 reps · 800-203-2702 · acsadvisory.com
95
VALOREM LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-837-8846 · valoremwealth.com
95
MILLER FINANCIAL SERVICES, INC. — (SAN JUAN CAPISTRANO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 949-218-9419 · millerfinancialservicesinc.com
95
MODELL CAPITAL MANAGEMENT LLC — (ROCHESTER, MI) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (248) 723-8000
95
PARKSIDE FAMILY OFFICE LLC — (EDMONDS, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 425-238-4356
95
CATTON CAPITAL PARTNERS, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 415-234-0470 · cattoncapital.com
95
NORTHILL AIMS, LLC — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (972) 480-6202
95
MFT 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 · 617-800-7922 · mftwealth.net
95
LANCASTER — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 917-859-2815 · lancaster.am
95
STEPHEN SMITH FINANCIAL INC. — (SCHAUMBURG, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 847-337-1022
95
HV CAPITAL MANAGEMENT — (MONTGOMERY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 845-655-4826 · hvcapitalmanagement.com
95
SPENDVEST — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 775-636-2906
95
VERTRIX WEALTH MANAGEMENT, LLC — (TROY, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (248) 602 0555 · vertrixwm.com
95
TECTONIC CAPITAL ADVISORS, LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (713) 250-4200
95
OASYS 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 · 617-608-8702 · oasyswealth.com
70
GC WEALTH MANAGEMENT RIA, LLC — now reports custody of client assets ($1.93B). IAPD ↗
$2.15B RAUM · 17 reps · 617-234-7000
70
TRINITY STRATEGIC WEALTH — now reports custody of client assets ($3.2M). IAPD ↗
$1.52B RAUM · 16 reps · 918-492-2150 · trinitystrategicwealth.com
68
TOWER VIEW WEALTH MANAGEMENT LLC — now reports custody of client assets ($3.1M). IAPD ↗
$281.9M RAUM · 2 reps · 414-253-4096
68
DAI WEALTH, LLC — now reports custody of client assets ($32.8M). IAPD ↗
$267.4M RAUM · 32 reps · 404-531-7080 · goodcounselwealth.com
68
MONEX ASSET MANAGEMENT, INC. — now reports custody of client assets ($10.9M). IAPD ↗
$556.8M RAUM · 14 reps · 713-877-8234 · monexsec.com
68
PACIFIC CAPITAL — now reports custody of client assets ($292.6M). IAPD ↗
$654.7M RAUM · 6 reps · 844-777-8777 · pacificcapital.com
68
Q CAPITAL SOLUTIONS — now reports custody of client assets ($13.0M). IAPD ↗
$255.7M RAUM · 1 reps · 732-600-5557 · qcapitalsolutions.com
68
ARGO WEALTH ADVISORY, LLC — now reports custody of client assets ($9.4M). IAPD ↗
$256.2M RAUM · 2 reps · 703-914-3830 · argowealthadvisory.com
68
PATHFINDER WEALTH CONSULTING — now reports custody of client assets ($201.1M). IAPD ↗
$847.4M RAUM · 9 reps · (910) 793-0616
68
CLEAR TRAIL ADVISORS, LLC — now reports custody of client assets ($260.2M). IAPD ↗
$797.1M RAUM · 4 reps · (713) 893-9870
65
THE FOUNDRY FINANCIAL GROUP, INC. — now reports custody of client assets ($6.2M). IAPD ↗
$250.0M RAUM · 6 reps · 603-528-5171
65
LIVELSBERGER FINANCIAL ADVISORY — now reports custody of client assets. IAPD ↗
$160.9M RAUM · 1 reps · 419-289-7165 · livelsbergerfinancial.com
65
STAR CAPITAL INC. — now reports custody of client assets ($12.7M). IAPD ↗
$143.5M RAUM · 6 reps · 651-444-1116
65
CONNECTICUT CAPITAL MANAGEMENT GROUP, LLC — now reports custody of client assets ($43.0M). IAPD ↗
$222.7M RAUM · 4 reps · 203-877-1520
65
GRANITE ISLANDS PRIVATE WEALTH, LLC — now reports custody of client assets ($87.6M). IAPD ↗
$228.1M RAUM · 4 reps · 203-889-3899 · graniteislands.com
88
PARK LANE ADVISORS, LLC — (BIRMINGHAM, AL) is newly SEC-registered with $553.5M RAUM and 4 advisory reps. IAPD ↗institutional
$553.5M RAUM · 4 reps · 205-383-8782 · tenet-partners.com
85
INFINITE GIVING ADVISORY SERVICES, INC. — (ATLANTA, GA) is newly SEC-registered with $100.1M RAUM and 2 advisory reps. IAPD ↗institutional
$100.1M RAUM · 2 reps · (888) 926-4483
85
INTER US MANAGEMENT, LLC — (MIAMI, FL) is newly SEC-registered with $77.8M RAUM and 5 advisory reps. IAPD ↗institutional
$77.8M RAUM · 5 reps · 786-671-3506
85
FELIS ADVANTAGE, LP — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (617) 702-7450
85
ARGO INFRASTRUCTURE MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 13 advisory reps. IAPD ↗institutional
$0 RAUM · 13 reps · 212-521 5096
85
WILLIS ASSET FINANCE MANAGEMENT LLC — (COCONUT CREEK, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · (561) 349-9989
85
EMERGING CAPITAL PARTNERS — (WASHINGTON, DC) is newly SEC-registered with $1.06B RAUM and 5 advisory reps. IAPD ↗fund
$1.06B RAUM · 5 reps · 2022806200 · ecpinvestments.com
85
NINTH AVENUE CAPITAL, LP — (KANSAS CITY, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
$0 RAUM · 7 reps · (816) 427-8758 · ninthavenuecapital.com
85
COMVEST PE ADVISORS, LLC — (WEST PALM BEACH, FL) is newly SEC-registered with $2.16B RAUM and 23 advisory reps. IAPD ↗fund
$2.16B RAUM · 23 reps · 561-727-2000
85
OTTER ROCK ADVISORS LP — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 415-830-0509 · otterrocklp.com
85
AUREON MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 917-767-3845
85
MRE MANAGEMENT, LLC — (ANNAPOLIS, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 443-808-1491 · mre-capital.com
85
PARK SQUARE CAPITAL USA LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $20.75B RAUM and 53 advisory reps. IAPD ↗fund
$20.75B RAUM · 53 reps · 1-646-681-4905
85
OLD BARN CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $105.3M RAUM and 1 advisory reps. IAPD ↗institutional
$105.3M RAUM · 1 reps · 717-329-7970
85
BIRCHWOOD CREEK CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · 973-224-0169
85
ELMTREE FUNDS, LLC — (ST. LOUIS, MO) is newly SEC-registered with $7.51B RAUM and 18 advisory reps. IAPD ↗fund
$7.51B RAUM · 18 reps · (314) 828-4200 · elmtreefunds.com
85
VAULT FIDUCIARY 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 · 845-304-4858
85
PRELUDE INVESTMENT SERVICES — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 707-394-8355 · prelude.ai
85
TAMARISK CAPITAL MANAGEMENT — (HOLLAND, MI) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 616-820-1040
85
DHM PARTNERS LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 508-776-0094
85
OAKLAWN CAPITAL MANAGEMENT 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 · 646-370-0416
85
AVICENE — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 646-734-2620
85
SHOTEN CAPITAL LP — (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 512-265-3800 · shotencapital.com
83
FUTURE POSITIVE — (NEW YORK, NY) is newly SEC-registered with $255.7M RAUM and 3 advisory reps. IAPD ↗fund
$255.7M RAUM · 3 reps · 646-867-9160 · futurepositive.com
83
MOZAYYX MANAGEMENT LLC — (AUSTIN, TX) is newly SEC-registered with $530.6M RAUM and 2 advisory reps. IAPD ↗fund
$530.6M RAUM · 2 reps · 512-522-9690 · mozayyx.com
80
ARDINALL INVESTMENT MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $36.2M RAUM and 2 advisory reps. IAPD ↗fund
$36.2M RAUM · 2 reps · (212) 203-1210 · ardinall.com
80
DELLORA INVESTMENTS LP — (GREENWICH, CT) is newly SEC-registered with $95.3M RAUM and 3 advisory reps. IAPD ↗fund
$95.3M RAUM · 3 reps · 203-632-6341 · dellora.com
80
THE COPIA GROUP — (CHICAGO, IL) is newly SEC-registered with $118.9M RAUM and 6 advisory reps. IAPD ↗fund
$118.9M RAUM · 6 reps · 312-564-8521 · copiagroupllc.com
80
BULLET VENTURES MANAGEMENT LTD — (location n/a) is newly SEC-registered with $13.6M RAUM and 2 advisory reps. IAPD ↗fund
$13.6M RAUM · 2 reps · 972547693060
75
RCM GA MANAGER LLC — crossed $1B in regulatory AUM ($977.3M -> $1.27B). IAPD ↗institutional
$1.27B RAUM · 10 reps · 212-850-7770 · rithmcap.com
70
LEXINGTON ADVISORS LLC — crossed $1B in regulatory AUM ($243.3M -> $2.66B). IAPD ↗fund
$2.66B RAUM · 165 reps · 212-754-0411
70
PINEGROVE ADVISER LLC — crossed $1B in regulatory AUM ($816.0M -> $2.05B). IAPD ↗fund
$2.05B RAUM · 12 reps · 626-676-0710 · pinegrove.vc
70
ADVANTAGE CAPITAL — crossed $1B in regulatory AUM ($789.9M -> $1.29B). IAPD ↗fund
$1.29B RAUM · 95 reps · 504-522-4850
70
ZANBATO ADVISORS LLC — crossed $1B in regulatory AUM ($506.9M -> $2.08B). IAPD ↗fund
$2.08B RAUM · 3 reps · 866-926-2286 · zanbato.com
70
LORD ABBETT PRIVATE CREDIT ADVISOR LLC — crossed $1B in regulatory AUM ($844.7M -> $1.28B). IAPD ↗fund
$1.28B RAUM · 191 reps · 201-827-2000 · lordabbett.com
70
LIFE CYCLE INVESTMENT PARTNERS LIMITED — (LONDON, United Kingdom) is newly SEC-registered with $17.30B RAUM and 8 advisory reps. IAPD ↗foreign
$17.30B RAUM · 8 reps · 44-20-4591-8446 · lcip.com
68
PASCAL INVESTMENT ADVISERS SA — (GENEVA, Switzerland) is newly SEC-registered with $874.3M RAUM and 4 advisory reps. IAPD ↗foreign
$874.3M RAUM · 4 reps · 41227187400 · pascaladvisers.com
65
VULPES INVESTMENT MANAGEMENT PRIVATE LIMITED — (SINGAPORE, Singapore) is newly SEC-registered with $157.5M RAUM and 3 advisory reps. IAPD ↗foreign
$157.5M RAUM · 3 reps · +65 6538 1998 · vulpesinvest.com
65
AFRICA MUTUAL GLOBAL INVESTMENT MANAGEMENT INC — (ACCRA, Ghana) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 1 (857) 756-0377
65
ACTIVEALPHA INVESTMENT ADVISORS — (MUMBAI, MAHARASHTRA, India) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗foreign
$0 RAUM · 6 reps · +91 999 666 9999 · activealphagroup.com
65
ROVIA ADVISORS LLC — (BANGALORE, KAMATAKA, India) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 917710041211
65
BULLGROUND — (CIUDAD DE MÉXICO, Mexico) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · +52 55 3120 7257 · bullground.mx
55
1832 ASSET MANAGEMENT U.S. INC. — crossed $1B in regulatory AUM ($922.3M -> $1.43B). IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
55
LORD ABBETT FIF ADVISOR LLC — now reports custody of client assets ($13.9M). IAPD ↗institutional
$190.4M RAUM · 191 reps · 201-827-2000 · lordabbett.com
55
AVANTYR CAPITAL PARTNERS, LP — now reports custody of client assets ($5.96B). IAPD ↗fund
$2.98B RAUM · 11 reps · 212-970-5700 · avantyrcapital.com
53
ANGELLIST ASSET MANAGEMENT, LLC — now reports custody of client assets ($578.6M). IAPD ↗fund
$297.6M RAUM · 7 reps · 206-880-1869 · angellistmgmt.com
53
LOTUS — now reports custody of client assets ($262.0M). IAPD ↗fund
$262.0M RAUM · 5 reps · 628-212-8533 · lotusmgmt.co
53
COVARA CAPITAL, LLC — now reports custody of client assets ($402.0M). IAPD ↗fund
$402.0M RAUM · 4 reps · 212-970-6690
53
DEFILADE CAPITAL MANAGEMENT, L.P. — now reports custody of client assets ($1.29B). IAPD ↗fund
$644.1M RAUM · 5 reps · 415 849 9478 · defcap.com
40
1832 ASSET MANAGEMENT U.S. INC. — now reports custody of client assets ($761.3M). IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
38
BFI INFINITY LTD. — now reports custody of client assets ($53.8M). IAPD ↗foreign
$610.1M RAUM · 15 reps · +41 58 806 2210

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.