Custodian — July 2026
Custodians courting new and breakaway RIAs (Schwab, Fidelity, Altruist, Axos, TradePMR).
176 firms opened this window in the July 2026 SEC roster: 137 new registration, 26 custody started, 13 aum crossed 1b.
98
TINGEY FINANCIAL GROUP INC. — (location n/a) is newly SEC-registered with $257.0M RAUM and 3 advisory reps. IAPD ↗
98
ARG PRIVATE WEALTH, LLC — (CINCINNATI, OH) is newly SEC-registered with $280.0M RAUM and 2 advisory reps. IAPD ↗
95
BRIDGEVIEW CAPITAL ADVISORS, INC. — (EL DORADO HILLS, CA) is newly SEC-registered with $114.1M RAUM and 2 advisory reps. IAPD ↗
95
SAFE HARBOR RETIREMENT PLANNERS — (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
95
HAYKIN, MICHAEL — (location n/a) is newly SEC-registered with $124.5M RAUM and 2 advisory reps. IAPD ↗
95
THE GARDNER GROUP — (DALLAS, TX) is newly SEC-registered with $125.3M RAUM and 1 advisory reps. IAPD ↗
95
LYNCH INVESTMENT PLANNING, LLC — (NEWTOWN SQUARE, PA) is newly SEC-registered with $143.3M RAUM and 3 advisory reps. IAPD ↗
95
WEST FINANCIAL STRATEGIES, INC. — (SANFORD, NC) is newly SEC-registered with $121.0M RAUM and 2 advisory reps. IAPD ↗
95
SOUTHEAST FINANCIAL ADVISORS — (GREENVILLE, SC) is newly SEC-registered with $133.0M RAUM and 2 advisory reps. IAPD ↗
95
INTEGRATED INVESTMENT STRATEGIES,INC. — (CARMEL, IN) is newly SEC-registered with $104.5M RAUM and 3 advisory reps. IAPD ↗
95
PRIVATE LANE CAPITAL, LLC — (location n/a) is newly SEC-registered with $144.1M RAUM and 1 advisory reps. IAPD ↗
95
FIVE MILE RIVER INVESTMENT MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
95
CONDON WEALTH MANAGEMENT, INC. — (PLYMOUTH, MA) is newly SEC-registered with $122.1M RAUM and 2 advisory reps. IAPD ↗
95
HARBOR LIGHT PLANNING — (location n/a) is newly SEC-registered with $111.1M RAUM and 1 advisory reps. IAPD ↗
95
S&F INVESTMENT ADVISORS — (ENCINO, CA) is newly SEC-registered with $106.4M RAUM and 1 advisory reps. IAPD ↗
95
VAN WINKLE WEALTH MANAGEMENT GROUP LLC — (NEWARK, OH) is newly SEC-registered with $120.8M RAUM and 1 advisory reps. IAPD ↗
95
LEGACY FINANCIAL SERVICES GROUP, INC. — (TRAVERSE CITY, MI) is newly SEC-registered with $122.8M RAUM and 2 advisory reps. IAPD ↗
95
SIP FINANCIAL SERVICES — (GLENVILLE, NY) is newly SEC-registered with $28.2M RAUM and 1 advisory reps. IAPD ↗
95
JORDAN FINANCIAL LIFE PLANNING — (KENOSHA, WI) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
95
FUERST FINANCIAL GROUP, INC. — (CHATTANOOGA, TN) is newly SEC-registered with $100.9M RAUM and 2 advisory reps. IAPD ↗
95
DALY INVESTMENT MANAGEMENT, LLC — (MOUNT PROSPECT, IL) is newly SEC-registered with $123.5M RAUM and 1 advisory reps. IAPD ↗
95
INTEGRA WEALTH — (CHATTANOOGA, TN) is newly SEC-registered with $116.5M RAUM and 1 advisory reps. IAPD ↗
95
DW INVESTMENT SOLUTIONS, INC. — (location n/a) is newly SEC-registered with $111.4M RAUM and 2 advisory reps. IAPD ↗
95
MONTELLO WEALTH MANAGEMENT, INC. — (PALM BEACH GARDENS, FL) is newly SEC-registered with $108.4M RAUM and 1 advisory reps. IAPD ↗
95
PACIFIC FINANCIAL ADVISORS — (BELLEVUE, WA) is newly SEC-registered with $110.2M RAUM and 5 advisory reps. IAPD ↗
95
MAGGI INVESTMENT SERVICES, LLC — (OLDMAR, FL) is newly SEC-registered with $154.0M RAUM and 3 advisory reps. IAPD ↗
95
EAGLE CAPITAL ADVISORS, LLC — (MIDDLEBURY, CT) is newly SEC-registered with $103.0M RAUM and 2 advisory reps. IAPD ↗
95
SULZBERGER CAPITAL ADVISORS, INC. — (MIAMI, FL) is newly SEC-registered with $117.1M RAUM and 2 advisory reps. IAPD ↗
95
MIDDLE STREET CAPITAL, LLC — (NEWFIELDS, NH) is newly SEC-registered with $132.1M RAUM and 1 advisory reps. IAPD ↗
95
RJ PATTERSON GROUP — (SAN DIEGO, CA) is newly SEC-registered with $142.4M RAUM and 2 advisory reps. IAPD ↗
95
PACIFIC SPECIALTY INVESTMENT GROUP, LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $123.2M RAUM and 2 advisory reps. IAPD ↗
95
TQM WEALTH PARTNERS — (MARBLEHEAD, MA) is newly SEC-registered with $123.7M RAUM and 3 advisory reps. IAPD ↗
95
SOUTH TEXAS CAPITAL ADVISORS, LLC — (NEW BRAUNFELS, TX) is newly SEC-registered with $167.2M RAUM and 2 advisory reps. IAPD ↗
95
GREENLEAF FINANCIAL NETWORK, LLC — (location n/a) is newly SEC-registered with $123.7M RAUM and 11 advisory reps. IAPD ↗
95
FORESIGHT WEALTH ADVISORS — (SKOKIE, IL) is newly SEC-registered with $121.2M RAUM and 1 advisory reps. IAPD ↗
95
ORCHARD CITY WEALTH MANAGEMENT, LLC — (LOS GATOS, CA) is newly SEC-registered with $116.1M RAUM and 1 advisory reps. IAPD ↗
95
SAN FRANCISCO WEALTH PLANNING LLC — (location n/a) is newly SEC-registered with $112.3M RAUM and 2 advisory reps. IAPD ↗
95
ALO FINANCIAL PLANNING — (MOUNT PROSPECT, IL) is newly SEC-registered with $120.9M RAUM and 2 advisory reps. IAPD ↗
95
GLASSBEAD CAPITAL MANAGEMENT LLC — (MIAMI BEACH, FL) is newly SEC-registered with $140.3M RAUM and 1 advisory reps. IAPD ↗
95
ROSS WEALTH ADVISORS, LLC — (COLUMBUS, OH) is newly SEC-registered with $139.7M RAUM and 2 advisory reps. IAPD ↗
95
VERAZ ADVISORS — (SAN RAMON, CA) is newly SEC-registered with $109.6M RAUM and 3 advisory reps. IAPD ↗
95
A BETTER WAY FINANCIAL, LLC — (ALLENTOWN, PA) is newly SEC-registered with $109.0M RAUM and 5 advisory reps. IAPD ↗
95
MK3 WEALTH LLC — (CHERRY HILL, NJ) is newly SEC-registered with $113.1M RAUM and 3 advisory reps. IAPD ↗
95
SIERRA MANAGEMENT GROUP — (RENO, NV) is newly SEC-registered with $127.1M RAUM and 2 advisory reps. IAPD ↗
95
LUNA CAPITAL MANAGEMENT, LLC — (BURLINGAME, CA) is newly SEC-registered with $116.4M RAUM and 2 advisory reps. IAPD ↗
95
NORTHBROOK FINANCIAL — (BALTIMORE, MD) is newly SEC-registered with $108.8M RAUM and 2 advisory reps. IAPD ↗
95
WESTPOINT WEALTH MANAGEMENT, LLC — (BEREA, OH) is newly SEC-registered with $106.0M RAUM and 9 advisory reps. IAPD ↗
95
ONTRACK WEALTH MANAGEMENT — (CANTON, MI) is newly SEC-registered with $112.4M RAUM and 2 advisory reps. IAPD ↗
95
WRIGHT WEALTH LLC — (ATLANTA, GA) is newly SEC-registered with $188.5M RAUM and 6 advisory reps. IAPD ↗
95
DIVERSIFIED PLANNING STRATEGIES ADVISORS LLC — (ROSELAND, NJ) is newly SEC-registered with $154.4M RAUM and 4 advisory reps. IAPD ↗
95
FINISH WELL RIA LLC — (COLUMBUS, OH) is newly SEC-registered with $109.0M RAUM and 2 advisory reps. IAPD ↗
95
QUORUS INC. — (WESTPORT, CT) is newly SEC-registered with $148.2M RAUM and 3 advisory reps. IAPD ↗
95
SPORTSOLOGY CAPITAL PARTNERS — (NEW YORK, NY) is newly SEC-registered with $156.4M RAUM and 6 advisory reps. IAPD ↗
95
DOUBLE EAGLE WEALTH MANAGEMENT LLC — (DALLAS, TX) is newly SEC-registered with $108.6M RAUM and 1 advisory reps. IAPD ↗
95
FINDICIA, INC. — (RALEIGH, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
WEALTH FOUNDATIONS PARTNERS, LLC — (SALT LAKE CITY, UT) is newly SEC-registered with $110.5M RAUM and 10 advisory reps. IAPD ↗
95
TOP PRIVATE WEALTH — (GLASTONBURY, CT) is newly SEC-registered with $106.5M RAUM and 2 advisory reps. IAPD ↗
95
INFINITY TAX & FINANCIAL PLANNING — (HUNTSVILLE, AL) is newly SEC-registered with $100.0M RAUM and 5 advisory reps. IAPD ↗
95
VISIONX WEALTH PARTNERS — (FORT DODGE, IA) is newly SEC-registered with $110.2M RAUM and 1 advisory reps. IAPD ↗
95
TRADEUP WEALTH MANAGEMENT, INC. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
PILOTAI WEALTH — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ALDER POINT CAPITAL MANAGEMENT LLC — (LAFAYETTE, CO) is newly SEC-registered with $121.3M RAUM and 6 advisory reps. IAPD ↗
95
95
ASAL INVEST — (ARLINGTON, VA) is newly SEC-registered with $270 RAUM and 2 advisory reps. IAPD ↗
95
ALPHATRUST ADVISORS — (PHOENIX, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ROI FINANCIAL PLANNING — (CLARKSVILLE, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
CAPITAL FINANCIAL PLANNERS LLC — (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
TOGETHER WEALTH GROUP LLC — (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
KEYSTONE FINANCIAL RESOURCES, LLC — (BRENTWOOD, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
BEACON COAST PARTNERS, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
NAPLES PRIVATE CAPITAL, LLC — (MOORESVILLE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
OVERWATCH CAPITAL ADVISORS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
DVB PRIVATE WEALTH — (HARRISBURG, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
LIFEWISE WEALTH ADVISORS — (CHAMPAIGN, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
HAFELE INVESTMENTS — (LOUISVILLE, KY) is newly SEC-registered (provisional 120-day approval) with $57.7M RAUM and 3 advisory reps. IAPD ↗
95
STAR WEALTH MANAGEMENT CORPORATION — (BINGHAM FARMS, MI) is newly SEC-registered with $156.5M RAUM and 1 advisory reps. IAPD ↗
95
N10° WEALTH — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
VENEROSO WEALTH MANAGEMENT — (WOODBURY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CASTLE WEALTH GROUP — (MOORESVILLE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MARTIN & COMPANY — (VALENCIA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
N10° ASSETS — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
BROADSIDE WEALTH — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
FUTUREIT INC. — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
WHITEROCK WEALTH DESIGN, LLC — (FAYETTEVILLE, AR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
95
HOFMAN WEALTH MANAGEMENT — (CHESTERFIELD, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
VECTIS CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
BREITER WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MERIDIAN WEALTH GROUP — (DADE CITY, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ELLIS WEALTH ADVISORS, LLC — (MADISON, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ANCHOR & OAK WEALTH ADVISORS, LLC — (MARCO ISLAND, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
STEFFENS FINANCIAL CORP — (BYRAM TOWNSHIP, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
755 FINANCIAL — (WOODSTOCK, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
POLSON WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TRUELINE WEALTH GROUP, LLC — (HATTIESBURG, MS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
SCHEELER FINANCIAL GROUP — (WEST CHESTER, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
STACKSTONE WEALTH, LLC — (DUBUQUE, IA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 18 advisory reps. IAPD ↗
95
ROTHSCHILD FINANCIAL PARTNERS, LLC — (OAK BROOK, IL) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
HERITAGE HAUS WEALTH PARTNERS LLC — (NEW BRAUNFELS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
PFS SIGNATURE WEALTH — (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
85
SB ADVISORY, LLC — crossed $1B in regulatory AUM ($404.8M -> $1.10B). IAPD ↗
85
MIRADOR CAPITAL PARTNERS — crossed $1B in regulatory AUM ($934.3M -> $1.01B). IAPD ↗
85
ARCA WEALTH, LLC — crossed $1B in regulatory AUM ($588.0M -> $1.27B). IAPD ↗
85
PARKWOODS WEALTH PARTNERS, LLC — crossed $1B in regulatory AUM ($961.9M -> $1.79B). IAPD ↗
70
PRIME CAPITAL FINANCIAL — now reports custody of client assets ($1.0M). IAPD ↗
70
VISE AI ADVISORS — now reports custody of client assets ($24.2M). IAPD ↗
68
LOTUSGROUP ADVISORS — now reports custody of client assets ($12.2M). IAPD ↗
68
CERRO PACIFIC WEALTH ADVISORS, LLC — now reports custody of client assets ($343.0M). IAPD ↗
68
TYLER STREET CAPITAL — now reports custody of client assets ($310.1M). IAPD ↗
68
TAILORED WEALTH SOLUTIONS — now reports custody of client assets ($53.5M). IAPD ↗
68
UNION STRATEGIC ADVISORS — now reports custody of client assets ($131.1M). IAPD ↗
68
MDT FINANCIAL ADVISORS, LLC — now reports custody of client assets ($14.1M). IAPD ↗
68
GIBERT WEALTH MANAGEMENT — now reports custody of client assets ($23.9M). IAPD ↗
65
INTEGRITY WEALTH MANAGEMENT, LLC — now reports custody of client assets ($16.7M). IAPD ↗
65
MONTGOMERY CAPITAL ADVISORS LLC — now reports custody of client assets ($130.1M). IAPD ↗
65
SEABORN FINANCIAL, LLC — now reports custody of client assets ($93.1M). IAPD ↗
65
BRANDYWINE ASSET MANAGEMENT — now reports custody of client assets ($11.0M). IAPD ↗
65
PASSIVE MANAGEMENT LLC — now reports custody of client assets ($22.6M). IAPD ↗
65
FUNDAMENTAL INVESTMENT SERVICES, LLC — now reports custody of client assets ($12.2M). IAPD ↗
65
ASA ASSET MANAGEMENT LLC — now reports custody of client assets ($2.3M). IAPD ↗
65
COUNTRYSIDE FINANCIAL LLC — now reports custody of client assets ($57.3M). IAPD ↗
65
FORWARD WEALTH — now reports custody of client assets ($51.1M). IAPD ↗
65
ACORN ASSET MANAGEMENT LLC — now reports custody of client assets ($6.6M). IAPD ↗
65
VERA LAKE CAPITAL, LLC — now reports custody of client assets. IAPD ↗
85
DRIVE CAPITAL LLC — (COLUMBUS, OH) is newly SEC-registered with $4.38B RAUM and 13 advisory reps. IAPD ↗fund
85
MORNINGSIDE ASSET MANAGEMENT — (WILMINGTON, DE) is newly SEC-registered with $135.6M RAUM and 4 advisory reps. IAPD ↗institutional
85
ANTARCTICA SAF PARTNERS, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 13 advisory reps. IAPD ↗institutional
85
APPLIED ACADEMICS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 13 advisory reps. IAPD ↗institutional
85
BLOCKBRIDGE INVESTMENTS LLC — (MINNEAPOLIS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
CENTRICUS INVESTMENT ADVISORS (US) LLC — (BEVERLY HILLS, CA) is newly SEC-registered with $1.02B RAUM and 15 advisory reps. IAPD ↗fund
85
VISTA POINT ASSET MANAGEMENT LLC — (IRVINE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
MONROE CAPITAL ASSET FINANCE ADVISORS, LLC — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
AQUALIS PARTNERS LLC — (DARIEN, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
AMBER ROAD INVESTORS LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
RAMP ADVISORY LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
APPLESEED ADVISORY, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗institutional
85
CCAVENTUS GLOBAL CREDIT MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
85
PROSHARE INVESTMENT MANAGEMENT LLC — (BETHESDA, MD) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
ARCHIV CAPITAL MANAGEMENT LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
83
WARWICK GROUP II, INC. — (location n/a) is newly SEC-registered with $369.8M RAUM and 1 advisory reps. IAPD ↗fund
83
SAGE RESIDENTIAL MANAGEMENT LLC — (MORRISTOWN, NJ) is newly SEC-registered with $444.1M RAUM and 2 advisory reps. IAPD ↗fund
83
MILLENNIA GLOBAL INVESTORS, LLC — (NEW YORK, NY) is newly SEC-registered with $516.0M RAUM and 3 advisory reps. IAPD ↗fund
80
MORK CAPITAL MANAGEMENT — (HEALDSBURG, CA) is newly SEC-registered with $157.4M RAUM and 1 advisory reps. IAPD ↗fund
80
EMPIRICAL CAPITAL MANAGEMENT, LLC — (HENDERSONVILLE, TN) is newly SEC-registered with $152.7M RAUM and 3 advisory reps. IAPD ↗fund
80
MKT CAPITAL LLC — (location n/a) is newly SEC-registered with $158.2M RAUM and 3 advisory reps. IAPD ↗fund
80
ARROW CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $174.8M RAUM and 1 advisory reps. IAPD ↗fund
80
PEREA CAPITAL — (HOUSTON, TX) is newly SEC-registered with $164.2M RAUM and 1 advisory reps. IAPD ↗fund
80
SLOY DAHL & HOLST HOLDINGS, INC — (VANCOUVER, WA) is newly SEC-registered with $186.6M RAUM and 3 advisory reps. IAPD ↗fund
80
SCENIC MANAGEMENT LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $144.6M RAUM and 2 advisory reps. IAPD ↗fund
80
INTERCAPITAL — (AUSTIN, TX) is newly SEC-registered with $198.7M RAUM and 1 advisory reps. IAPD ↗fund
80
1 MAIN CAPITAL MANAGEMENT, LLC — (WESTPORT, CT) is newly SEC-registered with $80.5M RAUM and 2 advisory reps. IAPD ↗fund
80
SHIKHARA INVESTMENT MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $226.9M RAUM and 2 advisory reps. IAPD ↗fund
80
BALLAST EQUITY PARTNERS MANAGEMENT COMPANY, LLC — (PROVIDENCE, RI) is newly SEC-registered with $111.9M RAUM and 4 advisory reps. IAPD ↗fund
80
TUCKER'S FARM — (FRAMINGHAM, MA) is newly SEC-registered with $217.0M RAUM and 12 advisory reps. IAPD ↗fund
80
GIDEON CAPITAL, LLC — (LOS ANGELES, CA) is newly SEC-registered with $229.0M RAUM and 0 advisory reps. IAPD ↗fund
80
TIDE ROCK LEVERAGECO MANAGER, LLC — (SOLANA BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 11 advisory reps. IAPD ↗fund
80
UPP MANAGEMENT, LP — (HOUSTON, TX) is newly SEC-registered with $0 RAUM and 9 advisory reps. IAPD ↗fund
75
NOMURA ASSET MANAGEMENT U.S.A. INC. — crossed $1B in regulatory AUM ($576.3M -> $1.01B). IAPD ↗institutional
75
COLLER PRIVATE MARKET SECONDARIES ADVISORS, LLC — crossed $1B in regulatory AUM ($594.2M -> $1.85B). IAPD ↗institutional
70
70
70
CAXTON ASSOCIATES LLP — (LONDON, United Kingdom) is newly SEC-registered with $71.56B RAUM and 55 advisory reps. IAPD ↗foreign
65
JUNGLE ROCK CAPITAL — (LONDON, United Kingdom) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
65
VT PARTNERS AG — (FREIENBACH, SCHWYZ, Switzerland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
APT WEALTH USA PTY LTD — (SYDNEY, NEW SOUTH WALES, Australia) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
55
55
55
55
55
55
53
MACQUARIE ASSET MANAGEMENT CREDIT ADVISERS US, LLC — now reports custody of client assets ($355.3M). IAPD ↗fund
53
50
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.