← Tributary

Custodian — October 2026

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

163 firms opened this window in the October 2026 SEC roster: 134 new registration, 21 custody started, 8 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

100
WILLOW RUN ADVISORS — (NEW YORK, NY) is newly SEC-registered with $2.20B RAUM and 5 advisory reps. IAPD ↗
$2.20B RAUM · 5 reps · 646-600-8059
95
HERNDON PLANT OAKLEY LTD — (CORPUS CHRISTI, TX) is newly SEC-registered with $155.4M RAUM and 2 advisory reps. IAPD ↗
$155.4M RAUM · 2 reps · 361-888-7611 · hpo.com
95
JOHNSTON INVESTMENT COUNSEL, LTD. — (PEORIA, IL) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗
$125.0M RAUM · 1 reps · 309-674-3330
95
PTS BROKERAGE, LLC — (MT. LAUREL, NJ) is newly SEC-registered with $131.7M RAUM and 14 advisory reps. IAPD ↗
$131.7M RAUM · 14 reps · 856-802-9400 · ptsbrokerage.com
95
TIDMORE RETIREMENT PLANNING SPECIALISTS — (BEACHWOOD, OH) is newly SEC-registered with $112.9M RAUM and 2 advisory reps. IAPD ↗
$112.9M RAUM · 2 reps · 440-498-1396
95
LEGACY PARTNERS FINANCIAL GROUP, LLC — (WOODSTOCK, GA) is newly SEC-registered with $107.6M RAUM and 10 advisory reps. IAPD ↗
$107.6M RAUM · 10 reps · 678 388-2233 · mylpfg.com
95
TRAVER FINANCIAL CONSULTING NETWORK PA — (LAKEWOOD RANCH, FL) is newly SEC-registered with $121.7M RAUM and 1 advisory reps. IAPD ↗
$121.7M RAUM · 1 reps · 917-576-0308
95
LIVE OAK FAMILY OFFICES LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (614) 266-8192 · lofollc.com
95
MURRAY SECURITIES, INC. — (TYLER, TX) is newly SEC-registered with $116.6M RAUM and 1 advisory reps. IAPD ↗
$116.6M RAUM · 1 reps · 903-561-5588 · murraysecuritiesinc.com
95
CROSSPOINT CAPITAL MANAGEMENT — (ORINDA, CA) is newly SEC-registered with $117.0M RAUM and 2 advisory reps. IAPD ↗
$117.0M RAUM · 2 reps · 415-949-1443
95
EAGLE FINANCIAL ADVISORS, LLC — (FRISCO, TX) is newly SEC-registered with $113.1M RAUM and 9 advisory reps. IAPD ↗
$113.1M RAUM · 9 reps · 800-994-1317 · eaglefinancialadvisors.net
95
KUHN WEALTH MANAGEMENT INC. — (SCHAUMBURG, IL) is newly SEC-registered with $150.8M RAUM and 3 advisory reps. IAPD ↗
$150.8M RAUM · 3 reps · (847) 607-4976 · kuhnwealth.com
95
KROEGER FINANCIAL PARTNERS — (GRASS VALLEY, CA) is newly SEC-registered with $111.1M RAUM and 2 advisory reps. IAPD ↗
$111.1M RAUM · 2 reps · 530-478-9734 · kroegerfinancial.com
95
CRAFTED FINANCE, LLC — (location n/a) is newly SEC-registered with $102.9M RAUM and 1 advisory reps. IAPD ↗
$102.9M RAUM · 1 reps · (650) 336-0598
95
CS TOMASI WEALTH MANAGEMENT — (COSTA MESA, CA) is newly SEC-registered with $110.3M RAUM and 6 advisory reps. IAPD ↗
$110.3M RAUM · 6 reps · (562) 494-4668
95
ASK CAPITAL INVESTMENT MANAGERS — (AMARILLO, TX) is newly SEC-registered with $110.4M RAUM and 2 advisory reps. IAPD ↗
$110.4M RAUM · 2 reps · 806-322-7526
95
BURLINGAME WEALTH MANAGEMENT, LLC — (BURLINGAME, CA) is newly SEC-registered with $129.4M RAUM and 1 advisory reps. IAPD ↗
$129.4M RAUM · 1 reps · 6505972400 · burlingamewealth.com
95
EXOS ASSET MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $682,181 RAUM and 8 advisory reps. IAPD ↗
$682,181 RAUM · 8 reps · (646) 814-0996
95
BLUE ANCHOR WEALTH ADVISORS, LLC — (KETCHIKAN, AK) is newly SEC-registered with $144.2M RAUM and 6 advisory reps. IAPD ↗
$144.2M RAUM · 6 reps · (907) 225-6110 · blueanchorwealth.com
95
ENDEAVOR ADVISORS LLC — (PHOENIX, AZ) is newly SEC-registered with $114.4M RAUM and 4 advisory reps. IAPD ↗
$114.4M RAUM · 4 reps · 480-550-8316 · endeavoradvisorsllc.com
95
DIVERSIFIED WEALTH ADVISORS, LLC — (KANSAS CITY, MO) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
$138.0M RAUM · 3 reps · 816-984-8620 · diversifiedsolutionsllc.com
95
ALMEGA WEALTH MANAGEMENT — (SCOTTSDALE, AZ) is newly SEC-registered with $134.3M RAUM and 4 advisory reps. IAPD ↗
$134.3M RAUM · 4 reps · 480-770-4700
95
WILLIS TOWERS WATSON SECURITIES, LLC — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 516-375-0126 · viaretirement.com
95
KNECHT CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $116.0M RAUM and 1 advisory reps. IAPD ↗
$116.0M RAUM · 1 reps · 707-947-3040 · knechtcapital.com
95
GREEN OCEAN GLOBAL ADVISORS LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $114.8M RAUM and 4 advisory reps. IAPD ↗
$114.8M RAUM · 4 reps · (206) 686-1594
95
LEONARD ADVISORY GROUP LLC — (SAINT JOSEPH, MI) is newly SEC-registered with $114.1M RAUM and 3 advisory reps. IAPD ↗
$114.1M RAUM · 3 reps · 269-588-1362
95
WEALTH STRATEGIES GROUP — (NEWPORT BEACH, CA) is newly SEC-registered with $102.9M RAUM and 2 advisory reps. IAPD ↗
$102.9M RAUM · 2 reps · 888-848-4144
95
WEALTHLYNK, INC. — (FALLBROOK, CA) is newly SEC-registered with $112.0M RAUM and 1 advisory reps. IAPD ↗
$112.0M RAUM · 1 reps · 760-621-4471 · wealthlynk.com
95
BETTER FINANCIAL SERVICES, LLC — (FEDERAL WAY, WA) is newly SEC-registered with $110.8M RAUM and 2 advisory reps. IAPD ↗
$110.8M RAUM · 2 reps · 206-234-7516 · gotobfs.com
95
BIG ROCK ADVISORS LLC — (SAG HARBOR, NY) is newly SEC-registered with $27.8M RAUM and 3 advisory reps. IAPD ↗
$27.8M RAUM · 3 reps · 631-725-0300 · bigrockadvisorsllc.com
95
PELICAN ADVISORY LLC — (COVINGTON, LA) is newly SEC-registered with $119.0M RAUM and 4 advisory reps. IAPD ↗
$119.0M RAUM · 4 reps · 985-237-4033 · pelicanfo.com
95
DANTES OUTLOOK — (location n/a) is newly SEC-registered with $26.0M RAUM and 1 advisory reps. IAPD ↗
$26.0M RAUM · 1 reps · 917-714-5339 · dantesoutlook.com
95
INTEGRATED WEALTH SOLUTIONS, LLC — (YORK, PA) is newly SEC-registered with $114.0M RAUM and 8 advisory reps. IAPD ↗
$114.0M RAUM · 8 reps · 717313-2220 · buildffwealth.com
95
EXPONENT WEALTH LLC — (OREM, UT) is newly SEC-registered with $110.4M RAUM and 6 advisory reps. IAPD ↗
$110.4M RAUM · 6 reps · (801) 459-1190 · exponentwealth.com
95
PORTFOLIO ADVISORY PARTNERS — (NORTH BRUNSWICK, NJ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-412-0732 · portfolioadvisorypartners.com
95
AEGIS GUILD CAPITAL, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 717-478-3646
95
CAMERON SIGNATURE WEALTH ADVISORS LLC — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 704-519-2592
95
POINT ONE PRIVATE WEALTH — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 615-659-5000 · pointoneprivatewealth.com
95
PROFESSIONAL PLANNING & WEALTH — (GREENVILLE, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 864-626-4380
95
WELLS CAPITAL ADVISORS LLC — (LAS VEGAS, NV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 7025341090 · wellscapitalgroup.com
95
AQR FLEX MANAGEMENT, LLC — (GREENWICH, CT) is newly SEC-registered with $0 RAUM and 291 advisory reps. IAPD ↗
$0 RAUM · 291 reps · (203) 742-3600
95
MADISON LASALLE ADVISERS LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 312-909-3007
95
PLETTENBERG CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $50.5M RAUM and 1 advisory reps. IAPD ↗
$50.5M RAUM · 1 reps · 267-574-2319 · plettenbergcapital.com
95
CROBOEARN — (location n/a) is newly SEC-registered with $10,000 RAUM and 2 advisory reps. IAPD ↗
$10,000 RAUM · 2 reps · 4846096415 · croboearn.com
95
COINEDLY LLC — (DOVER, DE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 980-416-2310 · coinedly.com
95
CMK PARTNERS, LLC — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (630) 697-1981
95
VAN SOLDAT WEALTH LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · +55 43 99199 8900 · vansoldat.com
95
ALIGNED WEALTH ADVISORS, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 305-702-3030 · alignedwealth.com
95
APEIRON WEALTH SERVICE — (ASTORIA, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 646-564-3511 · awealths.com
95
VESSEL WEALTH PARTNERS — (MENDOTA HEIGHTS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 651-895-0182 · vesselwp.com
95
ZOOP ALPHA ADVISORS — (MESA, AZ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 941-232-1837
95
STRIBLING-WHALEN FINANCIAL GROUP — (GAINESVILLE, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 678-989-0048
95
STAX LABS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 7035997991
95
MAPLE GROVE WEALTH — (FRANKLIN, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 615-560-6583 · maplegrovewealth.com
95
STRATEGENCE CAPITAL LLC — (VAN WERT, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · 646-395-3900
95
ZERO LABS INC. — (SAN FRANCISCO, CA) is newly SEC-registered with $100,000 RAUM and 1 advisory reps. IAPD ↗
$100,000 RAUM · 1 reps · 650-761-1821 · zero.tax
95
BELLERIVE 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 · 305-465-1741
95
FORTUNA PRIVATE WEALTH MANAGEMENT CORP. — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 786-631-7103 · fortunapwm.com
95
RIA GROUP, LLC — (DES MOINES, IA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 641-680-1190
95
FATHOM ADVISORS LLC — (MINNEAPOLIS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · 763-367-7980 · fathom-advisors.com
95
LAFAYETTE SQUARE FINANCIAL ADVISORS, INC. — (WALNUT CREEK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 925-284-7950 · lsqfa.com
95
GEIGER GROUP 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 · 703-855-3990
95
BORIA WEALTH MANAGEMENT, LTD — (WAYZATA, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 952-994-8657
95
IME VISVA — (location n/a) is newly SEC-registered with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · +919036476667 · imevisva.com
95
OPIMA CAPITAL MANAGEMENT, LLC — (OCOEE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 407-612-7602 · opimacapital.com
95
HOLM & BAUCOM WEALTH ADVISORS, LLC — (VICTORIA, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (361) 894-8717 · holmbaucomwealth.com
95
RISE PRIVATE WEALTH MANAGEMENT — (BEDFORD, NH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 50 advisory reps. IAPD ↗
$0 RAUM · 50 reps · 603-457-7001 · riseprivatewealthmanagement.com
95
SOMERSET ADVISORY, LLC — (BIRMINGHAM, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 888.501.2607
95
ROUND TABLE ADVISORS, LLC — (CHATTANOOGA, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · (423) 510-8889
95
EAST FRANKLIN CAPITAL — (WILMINGTON, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 919-360-2537
95
AQUIUM LEGACY PARTNERS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 216-400-0052 EXT 800
95
AI PORTFOLIOS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 314-703-0408 · aiportfolios.com
95
DIMAIO PRIVATE WEALTH, LLC — (CHESTER, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 908-540-4141
95
STELVIO PRIVATE WEALTH — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 925-306-4600
95
DAN THORNSBERRY CAPITAL ADVISORS, LLC — (BELLEAIR BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 614 530 5185
95
CREATED WEALTH ADVISORY — (VENICE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 310-424-4011 · createdwealth.com
95
5280 ASSOCIATES — (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · 303-730-1951 · 5280associates.com
95
NOVERA WEALTH, INC. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (646) 535-4323
95
HEIRMONT WEALTH MANAGEMENT — (UNIONDALE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 516-206-2215 · heirmontwealth.com
95
FINANCIAL CELEBRATIONS — (VACAVILLE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 7074467623 · financialcelebrations.com
95
NEXTREG ADVISORS LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 7863160577 · nextreg.ai
95
CLEARWATER FINANCIAL PLANNING — (LEWISTON, ID) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 208-746-3270 · clearwaterfinancialplanning.net
95
BCM FIXED INCOME — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 404-668-9190 · bcmfi.com
95
PERSONAL WEALTH STRATEGIES — (HAMILTON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 908 209-5500
95
OMNIMINT ADVISORS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 3018757031
95
LELAND 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 · 650-232-2023
95
EVEROAK WEALTH CO — (COLORADO SPRINGS, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
$0 RAUM · 9 reps · 719-300-6700 · everoakwealth.com
95
BROOKSTONE WEALTH MANAGEMENT, INC. — (OXFORD, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 508-987-0700 · brookstonewealthmanagement.com
95
VOCARE WEALTH ADVISORS — (RESTON, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (571) 529-6205 · vocarewealthadvisors.com
85
THE PACIFIC CENTER FOR FINANCIAL SERVICES — crossed $1B in regulatory AUM ($960.6M -> $1.10B). IAPD ↗
$1.10B RAUM · 5 reps · (925) 838-7700
85
SUMMA CORP. — crossed $1B in regulatory AUM ($587.2M -> $1.59B). IAPD ↗
$1.59B RAUM · 3 reps · 281-362-9977 · summa-wealth.com
85
M1 ADVISORY — crossed $1B in regulatory AUM ($633,573 -> $1.48B). IAPD ↗
$1.48B RAUM · 0 reps · 312-600-2883 · m1.com
85
MARQUETTE WEALTH MANAGEMENT — crossed $1B in regulatory AUM ($871.6M -> $1.07B). IAPD ↗
$1.07B RAUM · 4 reps · 612-661-3770
85
RANGE ADVISORY, LLC — crossed $1B in regulatory AUM ($653.9M -> $1.39B). IAPD ↗
$1.39B RAUM · 18 reps · (703) 261-4126
85
MARIDEA WEALTH MANAGEMENT — crossed $1B in regulatory AUM ($958.7M -> $1.97B). IAPD ↗
$1.97B RAUM · 26 reps · 347-289-5227
85
XCELSIOR ADVISOR PARTNERS LLC — crossed $1B in regulatory AUM ($650.7M -> $2.51B). IAPD ↗
$2.51B RAUM · 22 reps · 480-866-8616 · xcelsiorpartners.com
70
LRI INVESTMENTS — now reports custody of client assets ($999,900). IAPD ↗
$2.78B RAUM · 31 reps · 561-323-2265
68
THE JENKINS GROUP — now reports custody of client assets ($111.3M). IAPD ↗
$270.1M RAUM · 3 reps · 229-883-8028
68
GREEN RIDGE WEALTH PLANNING LLC — now reports custody of client assets ($5.4M). IAPD ↗
$389.6M RAUM · 5 reps · 973-554-1770
68
AUDENT GLOBAL ASSET MANAGEMENT, LLC — now reports custody of client assets ($256.0M). IAPD ↗
$452.3M RAUM · 3 reps · 310-388-3818 · audentcap.com
68
LAVELLE CAPITAL — now reports custody of client assets ($119.0M). IAPD ↗
$508.2M RAUM · 2 reps · 415-501-9987
68
LRZ CAPITAL LLC — now reports custody of client assets ($7.7M). IAPD ↗
$500.8M RAUM · 4 reps · 305-615-0215 · lrzcapital.com
68
PRAIRIE ADVISORY, LLC — now reports custody of client assets ($145.2M). IAPD ↗
$554.3M RAUM · 9 reps · 913-963-1054 · prairieadvisoryllc.com
68
INTENTGEN FINANCIAL PARTNERS — now reports custody of client assets ($358.6M). IAPD ↗
$756.6M RAUM · 6 reps · 630-821-6990 · intentgen.com
68
345 INVESTMENT ADVISORY, LLC — now reports custody of client assets ($27.2M). IAPD ↗
$295.1M RAUM · 6 reps · 480-624-5650
68
BROADSIDE WEALTH — now reports custody of client assets ($25.0M). IAPD ↗
$874.5M RAUM · 4 reps · 628-218-5315
65
RJJ PASADENA SECURITIES, INC. — now reports custody of client assets ($38.9M). IAPD ↗
$115.2M RAUM · 2 reps · 626-792-1244
65
MARATHON STRATEGIC ADVISORS, LLC — now reports custody of client assets ($117.6M). IAPD ↗
$182.7M RAUM · 1 reps · 740-282-5198 · mstrategic.com
65
DAVIS CAPITAL ADVISORS, LLC — now reports custody of client assets ($619,426). IAPD ↗
$46.9M RAUM · 1 reps · 212-796-8440 · daviscapitaladvisors.com
65
REA FINANCIAL — now reports custody of client assets ($54.8M). IAPD ↗
$54.8M RAUM · 1 reps · 407-787-9700
65
SCHONFELD WEALTH MANAGEMENT, LLC — now reports custody of client assets ($5.4M). IAPD ↗
$132.9M RAUM · 2 reps · 718-963-9700 · schonfeldwm.com
65
STEFFENS FINANCIAL CORP — now reports custody of client assets ($4.0M). IAPD ↗
$162.0M RAUM · 3 reps · 973-786-3696 · steffensfinancial.com
88
HILCO INVESTMENT ADVISORS, LLC — (NORTHBROOK, IL) is newly SEC-registered with $313.1M RAUM and 44 advisory reps. IAPD ↗institutional
$313.1M RAUM · 44 reps · 847-509-1100
88
FUNDSMITH PARTNERS US LLC — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $435.3M RAUM and 4 advisory reps. IAPD ↗institutional
$435.3M RAUM · 4 reps · 203-594-1863
85
COLLABORATIVE FUND MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $1.84B RAUM and 16 advisory reps. IAPD ↗fund
$1.84B RAUM · 16 reps · 917-275-7559
85
FMAC MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 212-798-6100 · fortress.com
85
FORVM GLOBAL INVESTMENTS 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 · 212-713-1680 EXT 3 · forvmglobal.com
85
BYREFORGE MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 917-439-8781 · byreforge.com
85
CC USA 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 · 646 649 9323
85
BOARDWALK INVESTMENT GROUP LP — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 305-549-5190 · boardwalkig.com
85
KARE MANAGER HOLDINGS, L.P. — (BOCA RATON, FL) is newly SEC-registered with $19.82B RAUM and 85 advisory reps. IAPD ↗fund
$19.82B RAUM · 85 reps · (561) 300-6200
85
TECHBRIDGE INVESTMENT LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 7077857755
85
OLD MISSION ASSET MANAGEMENT LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $34.13B RAUM and 91 advisory reps. IAPD ↗fund
$34.13B RAUM · 91 reps · 312-260-3038
85
CAMBIAL PARTNERS LP — (NEW YORK, NY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 929-367-0926
85
MILEMARKER INVESTMENT SOLUTIONS, LLC — (LINCOLN, NE) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 402-476-8844
85
INVISCID — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 646-535-0822 · inviscid.capital
85
INTEGRATED MANAGEMENT SYSTEMS CAPITAL MANAGEMENT LLC — (EAST ORANGE, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 852 3611-0130 · imscapitalmanagement.com
85
MFO HEALTHCARE PARTNERS — (BOCA RATON, FL) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗institutional
$0 RAUM · 6 reps · 954-289-0987 · mfohealthcarepartners.com
85
SR ABF ADVISORS LP — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 25 advisory reps. IAPD ↗institutional
$0 RAUM · 25 reps · 212-790-0000
85
ARK CAPITAL INVESTMENTS LLC — (ST PETERSBURG, FL) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 727-810-8160
85
NEL MEZZO 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 · 917-533-4661
85
ISTARI CAPITAL MANAGEMENT LP — (SANTA MONICA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 424-200-6640
85
MANIFOLD INVESTMENT PARTNERS LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 3125432211 · manifoldpartners.com
85
LORUM ADVISORY LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · +43 676 7658461 · lorum.com
85
LR3 PARTNERS — (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 267-467-5102 · lr3partners.com
85
BLUEROCK ETF ADVISOR, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · (212) 843-1601
85
24A CAPITAL MANAGEMENT LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 713-398-9354 · 24acapital.com
83
COEFFICIENT CAPITAL — (NEW YORK, NY) is newly SEC-registered with $734.6M RAUM and 7 advisory reps. IAPD ↗fund
$734.6M RAUM · 7 reps · 212-653-0046 · coefficientcap.com
83
COMMONWEALTH ASSET MANAGEMENT LP — (LOS ANGELES, CA) is newly SEC-registered with $295.7M RAUM and 3 advisory reps. IAPD ↗fund
$295.7M RAUM · 3 reps · 424-363-0170
83
ISLANDER CAPITAL PARTNERS, L.P. — (SAN FRANCISCO, CA) is newly SEC-registered with $345.0M RAUM and 3 advisory reps. IAPD ↗fund
$345.0M RAUM · 3 reps · 415-636-5470
83
GATSBY MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $921.9M RAUM and 1 advisory reps. IAPD ↗fund
$921.9M RAUM · 1 reps · 818-618-0569 · gatsbyinc.co
83
OLIVE PARTNERS MANAGEMENT — (PALO ALTO, CA) is newly SEC-registered with $465.2M RAUM and 6 advisory reps. IAPD ↗fund
$465.2M RAUM · 6 reps · (650) 665-7252 · olivepartners.co
83
ARC CAPITAL PARTNERS — (LOS ANGELES, CA) is newly SEC-registered with $862.5M RAUM and 12 advisory reps. IAPD ↗fund
$862.5M RAUM · 12 reps · (310) 954-9060 · arccapitalpartners.com
83
MAYBOURNE PARTNERS MANAGEMENT LP — (location n/a) is newly SEC-registered with $500.0M RAUM and 1 advisory reps. IAPD ↗fund
$500.0M RAUM · 1 reps · 469-623-0314
80
ACUTA CAPITAL PARTNERS, LLC — (REDWOOD CITY, CA) is newly SEC-registered with $172.5M RAUM and 3 advisory reps. IAPD ↗fund
$172.5M RAUM · 3 reps · 650-486-0508 · acutacapital.com
80
RIVONIA ROAD CAPITAL LLC — (SANTA MONICA, CA) is newly SEC-registered with $246.0M RAUM and 8 advisory reps. IAPD ↗fund
$246.0M RAUM · 8 reps · 310-579-0890
80
BLUE ORCA, LLC — (AUSTIN, TX) is newly SEC-registered with $232.2M RAUM and 5 advisory reps. IAPD ↗fund
$232.2M RAUM · 5 reps · 512-934-4736
80
CARLO CAPITAL — (location n/a) is newly SEC-registered with $100.2M RAUM and 1 advisory reps. IAPD ↗fund
$100.2M RAUM · 1 reps · 970-763-8837
70
COVALIS CAPITAL LLP — (LONDON, United Kingdom) is newly SEC-registered with $4.79B RAUM and 17 advisory reps. IAPD ↗foreign
$4.79B RAUM · 17 reps · +44 204 520 5285
68
SAGEONE INVESTMENT MANAGERS LLP — (PUNE, India) is newly SEC-registered with $690.9M RAUM and 2 advisory reps. IAPD ↗foreign
$690.9M RAUM · 2 reps · +91 20 69095000
65
NWEALTH INC — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 312-940-7874 · nsave.com
65
ARCTOS CAPITAL PARTNERS AG — (ZURICH, Switzerland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 41 78 619 42 29 · arctoscp.com
65
ULLMAN INVESTMENT COUNSEL LLC — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 8 advisory reps. IAPD ↗foreign
$0 RAUM · 8 reps · 877-226-2256 · ullmaninvestmentcounsel.com
65
KYNANCE COVE CAPITAL LLC — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · +44 20 4646 9274
65
LARRAINVIAL US IA LLC — (SANTIAGO, Chile) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗foreign
$0 RAUM · 7 reps · +56223398686
65
NPW USA — (OAKVILLE, ONTARIO, Canada) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗foreign
$0 RAUM · 5 reps · 905.845.9090 · nourprivatewealth.com
65
AWEALTH INTERNATIONAL AG — (ZOLLIKON, ZH, Switzerland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · +41448882005 · awealth-international.com
55
VERECAN CAPITAL MANAGEMENT INC. — crossed $1B in regulatory AUM ($692.7M -> $1.49B). IAPD ↗foreign
$1.49B RAUM · 18 reps · 902-477-4471 · verecan.com
53
PEGASUS CAPITAL ADVISORS, L.P. — now reports custody of client assets ($283.5M). IAPD ↗fund
$315.5M RAUM · 7 reps · 203-869-4400
53
MERAKI CAPITAL PARTNERS LP — now reports custody of client assets ($584.5M). IAPD ↗fund
$584.5M RAUM · 5 reps · 332-249-4944 · meraki-cap.com
50
AMBROSE CAPITAL ADVISORS, LLC — now reports custody of client assets ($228.2M). IAPD ↗fund
$228.2M RAUM · 15 reps · 1 317-573-4600 · ambrosepg.com
50
AMBER ROAD INVESTORS LP — now reports custody of client assets ($214.1M). IAPD ↗fund
$107.0M RAUM · 4 reps · 917-819-5512 · ar-investors.com
38
KALEIDO CAPITAL PARTNERS LIMITED — now reports custody of client assets ($47.4M). IAPD ↗foreign
$270.0M RAUM · 4 reps · +852-3595-0905 · kaleido-cap.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.