← Tributary

Custodian — June 2026

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

187 firms opened this window in the June 2026 SEC roster: 154 new registration, 24 custody started, 9 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
PROFITS PLUS CAPITAL MANAGEMENT, LLC — (NAMPA, ID) is newly SEC-registered with $258.1M RAUM and 1 advisory reps. IAPD ↗
$258.1M RAUM · 1 reps · 208-468-3600
98
PRINCIPLED WEALTH ADVISORS, LLC — (COVINGTON, KY) is newly SEC-registered with $252.1M RAUM and 2 advisory reps. IAPD ↗
$252.1M RAUM · 2 reps · 859-957-2737 · principledwealth.net
98
AG DILLON ASSET MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $262.0M RAUM and 1 advisory reps. IAPD ↗
$262.0M RAUM · 1 reps · +1 347 642 2640 · agdillon.com
98
VISTAMARK INVESTMENTS — (HINSDALE, IL) is newly SEC-registered with $317.2M RAUM and 4 advisory reps. IAPD ↗
$317.2M RAUM · 4 reps · 312-498-5703 · vistamarkllc.com
98
REMEDIUM CAPITAL PARTNERS — (WEST PALM BEACH, FL) is newly SEC-registered with $319.0M RAUM and 1 advisory reps. IAPD ↗
$319.0M RAUM · 1 reps · 305.851.6223 · remediumcp.com
98
BULLETPROOF CAPITAL, LLC — (CHICAGO, IL) is newly SEC-registered with $575.8M RAUM and 4 advisory reps. IAPD ↗
$575.8M RAUM · 4 reps · 847-922-7460 · bulletproof-capital.com
98
DAHER CAPITAL GROUP, LLC — (JUPITER, FL) is newly SEC-registered with $490.0M RAUM and 0 advisory reps. IAPD ↗
$490.0M RAUM · 0 reps · 561-422-0160
95
J K R & COMPANY, INC. — (VAN NUYS, CA) is newly SEC-registered with $136.3M RAUM and 5 advisory reps. IAPD ↗
$136.3M RAUM · 5 reps · 818-781-7721 · jkrco.com
95
DEMERS FINANCIAL PLANNING — (COLUMBUS, OH) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
$125.3M RAUM · 1 reps · 614-451-4505
95
PAVLIC INVESTMENT ADVISORS, INC. — (DELAFIELD, WI) is newly SEC-registered with $108.8M RAUM and 2 advisory reps. IAPD ↗
$108.8M RAUM · 2 reps · 262-646-4300
95
TABER ASSET MANAGEMENT L.L.C. — (location n/a) is newly SEC-registered with $110.0M RAUM and 3 advisory reps. IAPD ↗
$110.0M RAUM · 3 reps · 515-557-1860
95
QUALITY FINANCIAL CONCEPTS — (MARYVILLE, TN) is newly SEC-registered with $128.8M RAUM and 2 advisory reps. IAPD ↗
$128.8M RAUM · 2 reps · 865-984-3550
95
CW SECURITIES, LLC — (KNOXVILLE, TN) is newly SEC-registered with $113.5M RAUM and 1 advisory reps. IAPD ↗
$113.5M RAUM · 1 reps · 865 690-9886
95
NAYLOR & COMPANY — (location n/a) is newly SEC-registered with $103.4M RAUM and 4 advisory reps. IAPD ↗
$103.4M RAUM · 4 reps · 415-741-7280 · naylorinvest.com
95
KANOS CAPITAL MANAGEMENT, LLC — (HOUSTON, TX) is newly SEC-registered with $133.2M RAUM and 1 advisory reps. IAPD ↗
$133.2M RAUM · 1 reps · 713-807-0200 · kanoscapital.com
95
HARLOW CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered with $132.9M RAUM and 1 advisory reps. IAPD ↗
$132.9M RAUM · 1 reps · 214 754 0800 · harlow-capital.com
95
BRACKENWOOD CAPITAL MANAGEMENT, LLC — (BAINBRIDGE ISLAND, WA) is newly SEC-registered with $126.6M RAUM and 2 advisory reps. IAPD ↗
$126.6M RAUM · 2 reps · 206.446.0157 · bcmportfolios.com
95
LANG & BECKER, INC. — (WASHINGTON, MO) is newly SEC-registered with $123.2M RAUM and 2 advisory reps. IAPD ↗
$123.2M RAUM · 2 reps · 636-390-8339
95
BLUE SKY INVESTMENT PARTNERS, INC. — (EVANSTON, IL) is newly SEC-registered with $118.0M RAUM and 1 advisory reps. IAPD ↗
$118.0M RAUM · 1 reps · 847-864-5070 · blueskyinvestments.net
95
SUPERIOR FINANCIAL, LLC — (ROCHESTER, MN) is newly SEC-registered with $112.2M RAUM and 1 advisory reps. IAPD ↗
$112.2M RAUM · 1 reps · 507-316-0160 · superiorfinancialllc.com
95
FRUGE' CAPITAL ADVISORS, LLC (FORMERLY OXFORD INVESTMENT ADV) — (OXFORD, MS) is newly SEC-registered with $141.2M RAUM and 2 advisory reps. IAPD ↗
$141.2M RAUM · 2 reps · 662-550-4554 · frugecapital.com
95
CROSSPOINT CAPITAL MANAGEMENT — (ORINDA, CA) is newly SEC-registered with $118.0M RAUM and 2 advisory reps. IAPD ↗
$118.0M RAUM · 2 reps · 415-949-1443
95
EBERT CAPITAL MANAGEMENT INC. — (EUREKA, CA) is newly SEC-registered with $116.3M RAUM and 1 advisory reps. IAPD ↗
$116.3M RAUM · 1 reps · 707-407-3813 · ebertcapital.com
95
RWR INVESTMENTS LLC — (DALLAS, TX) is newly SEC-registered with $170.9M RAUM and 1 advisory reps. IAPD ↗
$170.9M RAUM · 1 reps · 214.308.1970
95
PATHFINDER PLANNING AND INVESTMENTS — (MISSOULA, MT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 406-541-3733
95
QUABBIN ADVISORS — (AMHERST, MA) is newly SEC-registered with $109.8M RAUM and 1 advisory reps. IAPD ↗
$109.8M RAUM · 1 reps · 413-313-5037 · quabbinadvisors.com
95
CRAVENS BROTHERS PRIVATE WEALTH MANAGEMENT LLC — (DALLAS, TX) is newly SEC-registered with $139.3M RAUM and 2 advisory reps. IAPD ↗
$139.3M RAUM · 2 reps · (214) 234-9503 · cravensbrothers.com
95
MAR WEALTH MANAGEMENT SERVICES, LLC — (WEST PALM BEACH, FL) is newly SEC-registered with $125.1M RAUM and 3 advisory reps. IAPD ↗
$125.1M RAUM · 3 reps · 800-708-6285 · marwealthmanagement.com
95
BEYOND YOUR HAMMOCK LLC — (BOSTON, MA) is newly SEC-registered with $115.4M RAUM and 2 advisory reps. IAPD ↗
$115.4M RAUM · 2 reps · 617-446-3841 · beyondyourhammock.com
95
WISDOM WEALTH INVESTMENT ADVISORS LLC — (PHOENIX, AZ) is newly SEC-registered with $138.8M RAUM and 2 advisory reps. IAPD ↗
$138.8M RAUM · 2 reps · (602) 494-4100 · wisdomwealth.solutions
95
MILLENNIAL WEALTH ADVISORS — (location n/a) is newly SEC-registered with $146.0M RAUM and 2 advisory reps. IAPD ↗
$146.0M RAUM · 2 reps · 312-637-1850
95
J. L. PERKINS WEALTH MANAGEMENT, LLC — (MACON, GA) is newly SEC-registered with $142.2M RAUM and 2 advisory reps. IAPD ↗
$142.2M RAUM · 2 reps · 478-254-3550 · myretirementclarity.com
95
CATUM ADVISORY GROUP, LLC. — (WILTON, CT) is newly SEC-registered with $128.6M RAUM and 2 advisory reps. IAPD ↗
$128.6M RAUM · 2 reps · (203) 344-7770
95
WEALTHNEST CAPITAL INC. — (STATEN ISLAND, NY) is newly SEC-registered with $34.9M RAUM and 2 advisory reps. IAPD ↗
$34.9M RAUM · 2 reps · 929-699-8020
95
ONE LIFE FINANCIAL GROUP, INC. — (location n/a) is newly SEC-registered with $118.0M RAUM and 3 advisory reps. IAPD ↗
$118.0M RAUM · 3 reps · 763-251-8040 · onelifefg.com
95
MCKINLEY FINANCIAL — (BROOKVILLE, PA) is newly SEC-registered with $117.2M RAUM and 4 advisory reps. IAPD ↗
$117.2M RAUM · 4 reps · 814-849-8586 · mckinleyfin.com
95
TRINITY NECHES — (location n/a) is newly SEC-registered with $120.4M RAUM and 2 advisory reps. IAPD ↗
$120.4M RAUM · 2 reps · 713-248-8129
95
BSC CAPITAL PARTNERS, LLC — (WEST DES MOINES, IA) is newly SEC-registered with $125.8M RAUM and 3 advisory reps. IAPD ↗
$125.8M RAUM · 3 reps · 515-225-1185 · bsccapital.com
95
LEDER FIDUCIARY CAPITAL LLC — (BELLAIRE, TX) is newly SEC-registered with $120.6M RAUM and 1 advisory reps. IAPD ↗
$120.6M RAUM · 1 reps · 713-870-9516 · lederfidcap.com
95
TIDAL CREEK CAPITAL ADVISORS — (BLUFFTON, SC) is newly SEC-registered with $126.0M RAUM and 4 advisory reps. IAPD ↗
$126.0M RAUM · 4 reps · 843-540-1149 · tidalcreekinvestments.com
95
RETIREMENT SOLUTIONS GROUP — (FRANKLIN, TN) is newly SEC-registered with $159.6M RAUM and 3 advisory reps. IAPD ↗
$159.6M RAUM · 3 reps · 615-467-6300 · rsginfo.com
95
GLASS LAKES CAPITAL MANAGEMENT LLC — (OVERLAND PARK, KS) is newly SEC-registered with $178.3M RAUM and 2 advisory reps. IAPD ↗
$178.3M RAUM · 2 reps · 913-647-9555 · glasslakesadvisors.com
95
GOLDMAN WEALTH MANAGEMENT — (SAN DIEGO, CA) is newly SEC-registered with $120.0M RAUM and 1 advisory reps. IAPD ↗
$120.0M RAUM · 1 reps · 858-361-3698
95
FIRST LIGHT WEALTH ADVISORS, LLC — (LITTLE FALLS, NJ) is newly SEC-registered with $116.3M RAUM and 2 advisory reps. IAPD ↗
$116.3M RAUM · 2 reps · 973-435-4520 · firstlightwa.com
95
APPROACH CAPITAL LLC — (location n/a) is newly SEC-registered with $100.0M RAUM and 1 advisory reps. IAPD ↗
$100.0M RAUM · 1 reps · (480) 993-9733 · approachcp.com
95
PEARL WEALTH LLC — (location n/a) is newly SEC-registered with $129.9M RAUM and 1 advisory reps. IAPD ↗
$129.9M RAUM · 1 reps · 303-250-0036 · pearlwealth.net
95
GREENLINE WEALTH MANAGEMENT — (BOCA RATON, FL) is newly SEC-registered with $117.0M RAUM and 6 advisory reps. IAPD ↗
$117.0M RAUM · 6 reps · 561-405-6609
95
UYANA PARTNERS LLC — (MIAMI, FL) is newly SEC-registered with $115.0M RAUM and 6 advisory reps. IAPD ↗
$115.0M RAUM · 6 reps · 786-238-4314
95
COLUMBUS STREET WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $144.5M RAUM and 1 advisory reps. IAPD ↗
$144.5M RAUM · 1 reps · 614-662-4250 · columbusstreetfin.com
95
TOLLEY FINANCIAL GROUP, LLC — (RALEIGH, NC) is newly SEC-registered with $121.9M RAUM and 1 advisory reps. IAPD ↗
$121.9M RAUM · 1 reps · 919-747-9698 · tolleyfinancialgroup.com
95
FAMILY WEALTH PARTNERS LLC — (MEDFORD, NJ) is newly SEC-registered with $130.9M RAUM and 2 advisory reps. IAPD ↗
$130.9M RAUM · 2 reps · 609 975-8389
95
TEMPLER WEALTH MANAGEMENT, LLC — (VIENNA, VA) is newly SEC-registered with $102.9M RAUM and 1 advisory reps. IAPD ↗
$102.9M RAUM · 1 reps · 703-927-4126
95
IM WEALTH PARTNERS — (BLUE BELL, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 610-650-1848 · imwealthpartners.com
95
TIDWELL WEALTH MANAGEMENT LLC — (ROCKLIN, CA) is newly SEC-registered with $116.7M RAUM and 3 advisory reps. IAPD ↗
$116.7M RAUM · 3 reps · 916-784-1818
95
BERGAMOT ASSET MANAGEMENT LP — (PRINCETON, NJ) is newly SEC-registered with $106.5M RAUM and 3 advisory reps. IAPD ↗
$106.5M RAUM · 3 reps · 609-917-7900 · bergamotam.com
95
VANTAGE FINANCIAL GROUP — (AUBURN, CA) is newly SEC-registered with $118.6M RAUM and 4 advisory reps. IAPD ↗
$118.6M RAUM · 4 reps · 530-906-1948
95
RILEX CAPITAL LLC — (MANASQUAN, NJ) is newly SEC-registered with $124.3M RAUM and 1 advisory reps. IAPD ↗
$124.3M RAUM · 1 reps · 732 223-5600 · mccoadvisors.com
95
JACKSON WEALTH MANAGEMENT, LLC — (CASTLE ROCK, CO) is newly SEC-registered with $107.0M RAUM and 1 advisory reps. IAPD ↗
$107.0M RAUM · 1 reps · 303-808-5229
95
MAINE ADVISORY ASSOCIATES — (FALMOUTH, ME) is newly SEC-registered with $116.5M RAUM and 2 advisory reps. IAPD ↗
$116.5M RAUM · 2 reps · 207-778-2250 · maineadvisory.com
95
PARAMOUNT WEALTH ADVISORS — (BUFFALO, NY) is newly SEC-registered with $37.6M RAUM and 2 advisory reps. IAPD ↗
$37.6M RAUM · 2 reps · 716-712-0127
95
DARK HORSE ADVISORS LLC — (location n/a) is newly SEC-registered with $181.7M RAUM and 5 advisory reps. IAPD ↗
$181.7M RAUM · 5 reps · (858) 200-0616 · pw.darkhorse.cpa
95
PELICAN INVESTMENT ADVISORS, LLC — (BATON ROUGE, LA) is newly SEC-registered with $128.5M RAUM and 10 advisory reps. IAPD ↗
$128.5M RAUM · 10 reps · 225-293-9283 · pelicanadvisory.com
95
PERCENT ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered with $70.0M RAUM and 2 advisory reps. IAPD ↗
$70.0M RAUM · 2 reps · 646-876-5141 · percent.com
95
WOLFSTONE WEALTH — (location n/a) is newly SEC-registered with $110.3M RAUM and 1 advisory reps. IAPD ↗
$110.3M RAUM · 1 reps · 630-640-3582 · wolfstonewealth.com
95
PANTELES ADVISORS — (ARGYLE, TX) is newly SEC-registered with $108.2M RAUM and 4 advisory reps. IAPD ↗
$108.2M RAUM · 4 reps · (940) 239-8042
95
MOMENT ADVISORS, LLC — (NEW YORK, NY) is newly SEC-registered with $56.3M RAUM and 3 advisory reps. IAPD ↗
$56.3M RAUM · 3 reps · (551) 775-2340 · moment.com
95
ENSIGN ADVISORY PARTNERS LLC — (GILBERT, AZ) is newly SEC-registered with $101.0M RAUM and 3 advisory reps. IAPD ↗
$101.0M RAUM · 3 reps · 480-626-5855
95
SANCTUARY FINANCIAL PLANNING, LLC — (location n/a) is newly SEC-registered with $102.2M RAUM and 2 advisory reps. IAPD ↗
$102.2M RAUM · 2 reps · (704) 705-8773 · sanctuaryfp.com
95
TAX & INVESTMENT ADVISORS — (NEWBURYPORT, MA) is newly SEC-registered with $101.5M RAUM and 1 advisory reps. IAPD ↗
$101.5M RAUM · 1 reps · (978) 255-1128
95
CASTFIRM ADVISORS LLC — (GARDEN CITY, NY) is newly SEC-registered with $30.0M RAUM and 3 advisory reps. IAPD ↗
$30.0M RAUM · 3 reps · (516) 888-9986
95
VALLEY WEALTH MANAGEMENT — (OSHKOSH, WI) is newly SEC-registered with $111.5M RAUM and 1 advisory reps. IAPD ↗
$111.5M RAUM · 1 reps · 920-966-9520
95
CIRO CAPITAL LLC — (JERSEY CITY, NJ) is newly SEC-registered with $117.4M RAUM and 2 advisory reps. IAPD ↗
$117.4M RAUM · 2 reps · 646-785-6201 · cirocapital.com
95
IHS WEALTH MANAGEMENT LLC — (OYSTER BAY, NY) is newly SEC-registered with $39.4M RAUM and 2 advisory reps. IAPD ↗
$39.4M RAUM · 2 reps · 516-314-0514 · ihswealth.com
95
SIGNIFICANCE CAPITAL MANAGEMENT LLC — (MILWAUKEE, WI) is newly SEC-registered with $3.8M RAUM and 2 advisory reps. IAPD ↗
$3.8M RAUM · 2 reps · 414--293-3926 · significancecapital.com
95
ONE-UP FINANCIAL — (ERIE, PA) is newly SEC-registered with $107.5M RAUM and 9 advisory reps. IAPD ↗
$107.5M RAUM · 9 reps · 814-325-2699 · oneupfinancial.com
95
ALLVET FINANCIAL — (location n/a) is newly SEC-registered with $1.3M RAUM and 2 advisory reps. IAPD ↗
$1.3M RAUM · 2 reps · (804) 201-4615
95
RILEY S. CROSBIE ADVISORY, LLC — (LOGAN, UT) is newly SEC-registered with $118.9M RAUM and 3 advisory reps. IAPD ↗
$118.9M RAUM · 3 reps · 435-752-5558
95
JACK CREEK PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 212-518-3717
95
SHARPE ADVISORS, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 908-455-0600
95
DORIAN INVESTMENT ADVISORY LLC — (MEMPHIS, TN) is newly SEC-registered with $102.6M RAUM and 1 advisory reps. IAPD ↗
$102.6M RAUM · 1 reps · 901-482-8444
95
YOSHI ADVISORY — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (877) 665-7734
95
CROWNSTONE ADVISORY & INVESTMENT CORP — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 858-444-5933 · crownstoneinvestmentadvisory.com
95
AI STOCK PROPHET, LLC — (AKRON, OH) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 786-292-8649 · aistockprophet.com
95
INTEGROUS WEALTH STRATEGIES — (HAMILTON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 609-586-9308 · infinancial.com
95
BRIDGECREEK FINANCIAL GROUP — (TULSA, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 918-392-1990 · bridgecreekfinancial.com
95
ALTRUIST ADVISORS LLC — (CULVER CITY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 202 494 0435 · altruist.com
95
AURANSER INC. — (FORT MILL, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 888-311-9964 · auranser.com
95
AXXETS WM — (AVENTURA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 305 405-9000 · axxets.com
95
CUSTOM WEALTH MANAGEMENT — (PLYMOUTH, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 734-844-3400 · custom-wm.com
95
BAY POINTE WEALTH, LLC — (NEW BALTIMORE, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (810) 734-0754
95
WHITE HAWK WEALTH MANAGEMENT — (BROOMFIELD, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 303-800-0620 · whitehawkwealth.com
95
MACRO QUANT PRIVATE WEALTH, LLC — (TORRANCE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (310) 269-0869 · mqprivatewealth.com
95
VERITAS WEALTH MANAGEMENT — (NORTH KINGSTOWN, RI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (401) 296-3606 · veritaswealthri.com
95
BLUE HORIZON EQUITY, INC. — (PITTSFORD, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 45 advisory reps. IAPD ↗
$0 RAUM · 45 reps · 1 585 641 7900 · itppartners.com
95
CHARLESBRIDGE ADVISORS — (DEDHAM, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (781) 682-3299
95
CHILDRESS & CO LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 307-734-7141
95
NOW ASSET MANAGEMENT LLC — (PURCHASE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · +1-914-901-1040
95
IRM MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 203-788-4371
95
GENOA WEALTH, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 985- 869-6070
95
UNIFIED RETIREMENT PLANNING GROUP — (BRIARCLIFF MANOR, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 914 432-5800 · myurpg.com
95
TREASURE VALLEY FINANCIAL PLANNING — (MERIDIAN, ID) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 208-789-0888
95
COSMOS WEALTH, LLC — (LA JOLLA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 8582903300 · cosmoswealth.com
95
SILVER BIRCH FINANCIAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 802-238-7591 · silverbirchfinancial.com
95
NEARSIDE ADVISORS, LLC — (INDIANAPOLIS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 317-610-6650
95
ALIUS CAPITAL PARTNERS — (AVENTURA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 3054955440 · aliuscp.com
95
INTENTGEN FINANCIAL PARTNERS — (NAPERVILLE, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
$0 RAUM · 6 reps · 630-821-6990 · intentgen.com
95
NETWORK CAPITAL — (KALISPELL, MT) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (406) 416-4620 · networkcap.us
95
NORTHWIND FINANCIAL LLC — (BEND, OR) is newly SEC-registered (provisional 120-day approval) with $105.4M RAUM and 2 advisory reps. IAPD ↗
$105.4M RAUM · 2 reps · 541-318-7871 · northwindfinancial.com
95
RAIJIN AI — (ALPHARETTA, GA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 6785594058 · raijinai.com
95
CLAIRALPHA ADVISORS LLC — (RICHARDSON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 713 364 3839 · clairalpha.com
95
3D ADVISOR GROUP, INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (508) 808-1423 · 3dadvisorgroup.com
95
OMAZ HOLDCO, LLC — (WOODY CREEK, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 443 334 5070
95
ZAI TECHNOLOGIES LLC — (THOUSAND OAKS, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 4245421838
95
NEXT UP WEALTH ADVISORS, LLC — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 480-450-7407 · nextupwealthadvisors.com
95
LUCENT FINANCIAL — (BELGRADE, MT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 406-750-3515 · lucent-financial.com
95
CLEARVIEW FAMILY WEALTH, LLC — (PEABODY, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (978) 717-0077 · clearviewfw.com
95
TUTELA ADVISORY GROUP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 609-200-4333
95
MARDIN CAPITAL GROUP — (RYE, NH) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (603) 766-4700 · mardincapitalgroup.com
95
RIPL WEALTH — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 619 933 1211
95
SCWM, LLC — (PORTLAND, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 503-635-5244
95
COINBASE ADVISORS — (STAMFORD, CT) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 203-489 -1450 · coinbase.com
95
VALEN PRIVATE CAPITAL, LLC. — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 971-371-3450 · valenpc.com
95
DIGNUM ET JUSTUM — (SAINT AUGUSTINE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (904) 680-2848 · dej-investments.com
95
KUTUMB INVESTMENTS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (717) 495-6791 · kutumbinvestments.com
85
WORLD EQUITY GROUP, INC. — crossed $1B in regulatory AUM ($944.8M -> $1.00B). IAPD ↗
$1.00B RAUM · 52 reps · 847-342-1700 · worldequitygroup.com
70
HOOD RIVER CAPITAL MANAGEMENT LLC — now reports custody of client assets ($10.7M). IAPD ↗
$9.45B RAUM · 20 reps · 561-484-5699
70
ADVUS FINANCIAL PARTNERS, LLC — now reports custody of client assets ($10.1M). IAPD ↗
$3.97B RAUM · 10 reps · 407-585-1160 · vimeo.com
70
COHEN CAPITAL — now reports custody of client assets ($735.3M). IAPD ↗
$1.10B RAUM · 7 reps · (312) 477-3155 · coheninvest.com
70
GRYPHON WEALTH — now reports custody of client assets ($408.3M). IAPD ↗
$3.24B RAUM · 6 reps · 904-450-5330
68
PETERSON WEALTH MANAGEMENT, LLC — now reports custody of client assets ($3.1M). IAPD ↗
$251.1M RAUM · 3 reps · 775-673-1100
68
1808 CAPITAL PARTNERS — now reports custody of client assets ($65.1M). IAPD ↗
$644.6M RAUM · 4 reps · 336-814-9800 · 1808capital.com
65
PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY — now reports custody of client assets. IAPD ↗
$87.5M RAUM · 1 reps · 800-404-6693 · pacificglobal.us
65
OAK STREET ADVISORS — now reports custody of client assets ($54.8M). IAPD ↗
$126.2M RAUM · 2 reps · 843-946-9868 · oakadvisors.com
65
HIGHPASS ASSET MANAGEMENT LLC — now reports custody of client assets ($5.1M). IAPD ↗
$218.2M RAUM · 2 reps · 303-357-4602 · highpassasset.com
65
COX & COOK WEALTH ADVISORS — now reports custody of client assets ($119.5M). IAPD ↗
$119.5M RAUM · 2 reps · 614-764-2366 · plans2retire.com
65
MEDICUS WEALTH PLANNING, INC. — now reports custody of client assets ($53.4M). IAPD ↗
$160.8M RAUM · 4 reps · 801-994-4777
65
PEAK ALTITUDE PARTNERS, LP — now reports custody of client assets. IAPD ↗
$68.1M RAUM · 4 reps · 212-970-6451 · peakalts.com
65
ANGELES FAMILY OFFICE — now reports custody of client assets ($9.8M). IAPD ↗
$182.0M RAUM · 2 reps · 310-393-6300
65
STILLWATER PRIVATE WEALTH — now reports custody of client assets ($37.0M). IAPD ↗
$176.8M RAUM · 4 reps · 6102910232 · swprivatewealth.com
65
PROPEL PRIVATE WEALTH LLC — now reports custody of client assets ($320,968). IAPD ↗
$2.8M RAUM · 1 reps · (424) 222-5767 · propelprivatewealth.com
65
EVOLUTION VISION WEALTH MANAGEMENT — now reports custody of client assets ($65.4M). IAPD ↗
$65.4M RAUM · 2 reps · (800) 810-5410 · evolutionvisionwm.com
85
SMBC ASSET MANAGEMENT, INC. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 212-418-3030
85
MONROE CAPITAL REAL ESTATE CREDIT ADVISORS, LLC — (CHICAGO, IL) is newly SEC-registered with $140.2M RAUM and 5 advisory reps. IAPD ↗institutional
$140.2M RAUM · 5 reps · 312-258-8300
85
FORVM GLOBAL INVESTMENTS 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 · 212-713-1680 EXT 3 · forvmglobal.com
85
MERIT CAPITAL PARTNERS VI, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 16 advisory reps. IAPD ↗institutional
$0 RAUM · 16 reps · 312-592-6111 · meritcapital.com
85
AMBROSE CAPITAL ADVISORS, LLC — (INDIANAPOLIS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗institutional
$0 RAUM · 15 reps · 1 317-573-4600 · ambrosepg.com
85
ORION PARTNERS, LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 3107952188
85
MERAKI CAPITAL PARTNERS LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 332-249-4944 · meraki-cap.com
85
EF PORTFOLIO — (SACRAMENTO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 669-326-7221 · efportfolio.com
85
ROCKFORD TOWER ASSET MANAGEMENT, L.L.C. — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 99 advisory reps. IAPD ↗institutional
$0 RAUM · 99 reps · 212-812-3100 · kingstreet.com
83
CULTIVATION CAPITAL, LLC — (ST. LOUIS, MO) is newly SEC-registered with $416.4M RAUM and 1 advisory reps. IAPD ↗fund
$416.4M RAUM · 1 reps · 314-216-2051 · cultivationcapital.com
83
MERRITT POINT PARTNERS LLC — (OAKLAND, CA) is newly SEC-registered with $636.1M RAUM and 3 advisory reps. IAPD ↗fund
$636.1M RAUM · 3 reps · (510) 244-0170
83
PAVAKI CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $410.1M RAUM and 2 advisory reps. IAPD ↗fund
$410.1M RAUM · 2 reps · 719-542-7223
83
GRAND CENTRAL MUSIC — (location n/a) is newly SEC-registered with $287.6M RAUM and 4 advisory reps. IAPD ↗fund
$287.6M RAUM · 4 reps · (323) 409-9576
83
THE CONNOR GROUP FUND MANAGER, LLC — (MIAMISBURG, OH) is newly SEC-registered with $494.3M RAUM and 2 advisory reps. IAPD ↗fund
$494.3M RAUM · 2 reps · 937 434 3095
80
TRELLUS MANAGEMENT COMPANY, LLC — (DELRAY BEACH, FL) is newly SEC-registered with $156.3M RAUM and 2 advisory reps. IAPD ↗fund
$156.3M RAUM · 2 reps · 646-561-2620
80
QUALIVIAN INVESTMENT PARTNERS — (location n/a) is newly SEC-registered with $2.8M RAUM and 1 advisory reps. IAPD ↗fund
$2.8M RAUM · 1 reps · 617-970-9583
80
MEDICI CAPITAL LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $215.8M RAUM and 1 advisory reps. IAPD ↗fund
$215.8M RAUM · 1 reps · (949) 706-1455 · soundcloud.com
80
BLUHAUS CAPITAL MANAGEMENT LLC — (GUAYNABO, PR) is newly SEC-registered with $230.8M RAUM and 3 advisory reps. IAPD ↗fund
$230.8M RAUM · 3 reps · 787-708-6747
80
OVERLAY MANAGEMENT, LLC — (ALPHARETTA, GA) is newly SEC-registered with $168.6M RAUM and 8 advisory reps. IAPD ↗fund
$168.6M RAUM · 8 reps · 770-415-0596 · overlaycapital.com
80
GLOBAL VENTURE MANAGEMENT LLC — (SAN JUAN, PR) is newly SEC-registered with $130.0M RAUM and 1 advisory reps. IAPD ↗fund
$130.0M RAUM · 1 reps · 5166501451 · globalventuremanagement.com
80
HAYBEACH CAPITAL MANAGEMENT, LLC — (RYE, NY) is newly SEC-registered with $172.8M RAUM and 4 advisory reps. IAPD ↗fund
$172.8M RAUM · 4 reps · 646-846-9100 · haybeach.com
80
AI FUNDS — (SAUSALITO, CA) is newly SEC-registered with $2.1M RAUM and 2 advisory reps. IAPD ↗fund
$2.1M RAUM · 2 reps · 510-400-4495
80
42 AM, LLC — (NEW YORK, NY) is newly SEC-registered with $51.9M RAUM and 5 advisory reps. IAPD ↗fund
$51.9M RAUM · 5 reps · (212) 516-6345 · 42am.com
80
PARK ROAD PARTNERS LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
$0 RAUM · 5 reps · 203-437-0692 · parkrd.com
75
SOUNDWATCH CAPITAL, LLC — crossed $1B in regulatory AUM ($958.2M -> $1.02B). IAPD ↗institutional
$1.02B RAUM · 4 reps · 646-442-9655 · soundwatchfunds.com
75
INTERMEDE GLOBAL PARTNERS INC — crossed $1B in regulatory AUM ($369.7M -> $2.14B). IAPD ↗institutional
$2.14B RAUM · 4 reps · 1 (415)9693370 · intermede.co.uk
75
TWIN OAK ETF COMPANY — crossed $1B in regulatory AUM ($566.1M -> $1.06B). IAPD ↗institutional
$1.06B RAUM · 3 reps · 617-402-5495 · twinoaketfs.com
75
1932 INVESTMENT MANAGEMENT — crossed $1B in regulatory AUM ($788.0M -> $4.60B). IAPD ↗institutional
$4.60B RAUM · 5 reps · 800-355-2583
70
ELEQUIN CAPITAL, LP — crossed $1B in regulatory AUM ($520.2M -> $2.07B). IAPD ↗fund
$2.07B RAUM · 13 reps · 929.226.2115 · elequincapital.com
70
ARCHITECT CAPITAL CORP. — crossed $1B in regulatory AUM ($695.6M -> $1.23B). IAPD ↗fund
$1.23B RAUM · 6 reps · 650-769-7630 · architect.com
70
MARKETS INFRASTRUCTURE PARTNERS — crossed $1B in regulatory AUM ($535.0M -> $1.11B). IAPD ↗fund
$1.11B RAUM · 4 reps · (646) 464-0315 · marketsinfrastructure.com
70
CARNELIAN ASSET MANAGEMENT & ADVISORS PRIVATE LIMITED — (MUMBAI, MAHARASHTRA, India) is newly SEC-registered with $1.50B RAUM and 4 advisory reps. IAPD ↗foreign
$1.50B RAUM · 4 reps · +919892038960 · carneliancapital.co.in
70
KRISTAL.AI — (SINGAPORE, Singapore) is newly SEC-registered with $1.27B RAUM and 15 advisory reps. IAPD ↗foreign
$1.27B RAUM · 15 reps · 65 97872429 · kristal.ai
65
ALPHA INNOVATIONS LTD. — (HAMILTON, Bermuda) is newly SEC-registered with $231.5M RAUM and 8 advisory reps. IAPD ↗foreign
$231.5M RAUM · 8 reps · 441.531.1180 · alphainnovations.io
65
GOLDSTANDARD WEALTH — (MUMBAI, India) is newly SEC-registered with $64.6M RAUM and 12 advisory reps. IAPD ↗foreign
$64.6M RAUM · 12 reps · +91 2243367000 · thegoldstandard.in
65
KYNANCE COVE CAPITAL 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 · +442046469274
65
KALEIDO CAPITAL PARTNERS LIMITED — (HONG KONG, Hong Kong) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗foreign
$0 RAUM · 4 reps · +852-3595-0905 · kaleido-cap.com
58
BROOKWOOD ADVISORS, LLC — now reports custody of client assets ($964.5M). IAPD ↗institutional
$964.5M RAUM · 3 reps · 978-720-7500
55
CORDIANT CAPITAL INC. — crossed $1B in regulatory AUM ($61.9M -> $2.77B). IAPD ↗foreign
$2.77B RAUM · 9 reps · 1-514-286-1142 · cordiantcap.com
55
MARKETS INFRASTRUCTURE PARTNERS — now reports custody of client assets ($80.8M). IAPD ↗fund
$1.11B RAUM · 4 reps · (646) 464-0315 · marketsinfrastructure.com
55
SIRENIA CAPITAL MANAGEMENT LP — now reports custody of client assets ($198.1M). IAPD ↗fund
$4.26B RAUM · 10 reps · 212-516-4765
53
LIGHT ARC CAPITAL MANAGEMENT LLC — now reports custody of client assets ($398.8M). IAPD ↗fund
$324.1M RAUM · 4 reps · 475-385-2289 · lightarccm.com
50
THORNBURG BOW RIVER ADVISERS, LLC. — now reports custody of client assets ($448.3M). IAPD ↗fund
$224.2M RAUM · 7 reps · 303-861-8466
50
ARGO MANAGEMENT AND RESEARCH COMPANY, LLC — now reports custody of client assets ($38.5M). IAPD ↗fund
$200.6M RAUM · 2 reps · 646-584-5514 · argomrc.com
50
COVE VIEW INVESTMENT PARTNERS, LLC — now reports custody of client assets ($255.7M). IAPD ↗fund
$127.8M RAUM · 2 reps · (516) 456-4468 · coveviewinvestmentpartners.com
50
PC3 PARTNERS, LLC — now reports custody of client assets ($312.1M). IAPD ↗fund
$156.0M RAUM · 3 reps · 305-686-5900 · pc3partners.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.