Marketing & brand — July 2024
Websites, brand, content, and lead-gen for advisors (FMG, Snappy Kraken, agencies).
389 firms opened this window in the July 2024 SEC roster: 184 state expansion, 92 new registration, 36 disclosure added, 27 website changed, 26 relocation, 24 rename.
98
CAUSEY WEALTH LLC — (location n/a) is newly SEC-registered with $292.5M RAUM and 6 advisory reps. IAPD ↗
95
STEVE LYNCH WEALTH MANAGEMENT — (ALBUQUERQUE, NM) is newly SEC-registered with $133.7M RAUM and 4 advisory reps. IAPD ↗
95
CONWAY FINANCIAL GROUP, LLC — (CHESTERFIELD, MO) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
95
FINANCIAL ADVISORY SERVICES — (SALT LAKE CITY, UT) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
95
AWR INVESTMENT MANAGEMENT, LLC — (SAN RAFAEL, CA) is newly SEC-registered with $115.8M RAUM and 1 advisory reps. IAPD ↗
95
SENSIBLE PORTFOLIOS, LLC — (location n/a) is newly SEC-registered with $156.5M RAUM and 2 advisory reps. IAPD ↗
95
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC — (LISLE, IL) is newly SEC-registered with $110.2M RAUM and 15 advisory reps. IAPD ↗
95
MZ CAPITAL, LLC — (location n/a) is newly SEC-registered with $132.4M RAUM and 2 advisory reps. IAPD ↗
95
NEWPORT WEALTH ADVISORS, INC. — (NEWPORT BEACH, CA) is newly SEC-registered with $140.4M RAUM and 7 advisory reps. IAPD ↗
95
COLOMB INVESTMENT MANAGEMENT COMPANY, LLC — (METAIRIE, LA) is newly SEC-registered with $1.6M RAUM and 4 advisory reps. IAPD ↗
95
PRINCE ASSET MANAGEMENT, INC. — (SARASOTA, FL) is newly SEC-registered with $112.4M RAUM and 2 advisory reps. IAPD ↗
95
WILLIAMS WEALTH MANAGEMENT GROUP, INC. — (BRADENTON, FL) is newly SEC-registered with $148.0M RAUM and 2 advisory reps. IAPD ↗
95
PINGORA PARTNERS LLC — (DALLAS, TX) is newly SEC-registered with $135.7M RAUM and 1 advisory reps. IAPD ↗
95
RYDAR EQUITIES, INC. — (WEATHERFORD, TX) is newly SEC-registered with $112.0M RAUM and 2 advisory reps. IAPD ↗
95
WELCY CAPITAL ADVISORS LLC — (MIAMI, FL) is newly SEC-registered with $150.6M RAUM and 3 advisory reps. IAPD ↗
95
KOOB WEALTH MANAGEMENT, LLC — (WHITE BEAR TOWNSHIP, MN) is newly SEC-registered with $125.8M RAUM and 2 advisory reps. IAPD ↗
95
HUMBLE CAPITAL MANAGEMENT LLC — (HONOLULU, HI) is newly SEC-registered with $115.6M RAUM and 2 advisory reps. IAPD ↗
95
BARRETT WEALTH CONNECTION LLC — (SPRING GROVE, IL) is newly SEC-registered with $123.9M RAUM and 2 advisory reps. IAPD ↗
95
RBF CAPITAL MANAGEMENT, INC. — (SARASOTA, FL) is newly SEC-registered with $107.1M RAUM and 1 advisory reps. IAPD ↗
95
TENCAP WEALTH COACHING — (SOUTH JORDAN, UT) is newly SEC-registered with $0 RAUM and 10 advisory reps. IAPD ↗
95
STEEL TOWER INVESTMENTS — (PITTSBURGH, PA) is newly SEC-registered with $115.6M RAUM and 4 advisory reps. IAPD ↗
95
MCBEATH FINANCIAL GROUP — (NORMAL, IL) is newly SEC-registered with $160.2M RAUM and 5 advisory reps. IAPD ↗
95
BRIGHT WEALTH MANAGEMENT, LLC — (LEWISVILLE, TX) is newly SEC-registered with $160.0M RAUM and 5 advisory reps. IAPD ↗
95
BOON CAPITAL ADVISORS LLC — (NORTHBROOK, IL) is newly SEC-registered with $146.9M RAUM and 1 advisory reps. IAPD ↗
95
CATALYST WEALTH ADVISORS LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
95
DANIEL KRUG & ASSOCIATES — (CLARKSTON, MI) is newly SEC-registered with $116.6M RAUM and 2 advisory reps. IAPD ↗
95
GERVAIS CAPITAL MANAGEMENT, LLC — (WILSON, WY) is newly SEC-registered with $116.1M RAUM and 1 advisory reps. IAPD ↗
95
FIDUCIARY WEALTH GROUP, LLC — (CENTERVILLE, OH) is newly SEC-registered with $110.7M RAUM and 2 advisory reps. IAPD ↗
95
ENGLEBERT FINANCIAL ADVISERS, LLC — (ALLENTOWN, PA) is newly SEC-registered with $125.2M RAUM and 2 advisory reps. IAPD ↗
95
JRB CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered with $130.7M RAUM and 1 advisory reps. IAPD ↗
95
WEALTHSPAN INVESTMENT MANAGEMENT, LLC — (GRAND RAPIDS, MI) is newly SEC-registered with $7.2M RAUM and 2 advisory reps. IAPD ↗
95
MAIDEN COVE CAPITAL — (CAPE ELIZABETH, ME) is newly SEC-registered with $109.9M RAUM and 1 advisory reps. IAPD ↗
95
HDA WEALTH MANAGEMENT, LLC — (POLAND, OH) is newly SEC-registered with $102.1M RAUM and 2 advisory reps. IAPD ↗
95
INTENTIONAL FUNDS — (PRINCETON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BRAZOS WEALTH ADVISORS LLC — (IOWA PARK, TX) is newly SEC-registered with $111.7M RAUM and 2 advisory reps. IAPD ↗
95
CORNERSTONE ADVISORS LLC — (FAYETTEVILLE, AR) is newly SEC-registered with $182.6M RAUM and 7 advisory reps. IAPD ↗
95
ALPHA VEE ADVISORS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
RELATION WEALTH MANAGEMENT, INC. — (TULSA, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
ASG ADVISORY, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PROSPERA CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
HARMONY WEALTH PARTNERS — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BRADY MARTZ WEALTH SOLUTIONS, LLC — (GRAND FORKS, ND) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
DOUGLASS INVESTMENT GROUP — (WICHITA, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
TORO WEST CAPITAL ADVISORS — (LOUISVILLE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
STORYONE FAMILY OFFICE — (LEAWOOD, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BELMONT PRIVATE WEALTH — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
917 ADVISORY SERVICES LLC — (SPOKANE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
A&M PRIVATE WEALTH PARTNERS, LLC — (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PARKWOODS WEALTH PARTNERS, LLC — (SYRACUSE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
HIGHROAD WEALTH ADVISORS, LLC — (COOS BAY, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
95
NEWERA WEALTH — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MUNIFI, LLC — (HERMOSA BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WALTON FINANCIAL — (BIRMINGHAM, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MAKE THE MEMORY FINANCIAL PLANNING — (location n/a) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
KONZA GLOBAL WEALTH GROUP — (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
LEE-KELLEHER WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ROMEN CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TOTAL WEALTH SERVICES, LLC — (WESTLAKE VILLAGE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
OWL CREEK WEALTH PARTNERS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BOYER FINANCIAL SERVICES, INC. — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
60
OSAIC FS, INC. — LINCOLN FINANCIAL SECURITIES CORPORATION is now doing business as . IAPD ↗
60
OSAIC FA, INC. — LINCOLN FINANCIAL ADVISORS CORPORATION is now doing business as . IAPD ↗
60
WORLD ADVISORY SERVICES — TFS ADVISORY SERVICES is now doing business as . IAPD ↗
60
BNY ADVISORS — BNY MELLON ADVISORS, INC. is now doing business as . IAPD ↗
60
GRIES FINANCIAL PARTNERS — GRIES FINANCIAL LLC is now doing business as . IAPD ↗
60
FORVIS MAZARS WEALTH ADVISORS, LLC — FORVIS WEALTH ADVISORS, LLC is now doing business as . IAPD ↗
60
WEALTHSPIRE ADVISORS — GM ADVISORY GROUP, LLC is now doing business as . IAPD ↗
58
WESTWIND CAPITAL — SPENCE ASSET MANAGEMENT is now doing business as . IAPD ↗
58
DLK INVESTMENT MANAGEMENT, LLC — DLK INVESTMENT MANAGEMENT is now doing business as . IAPD ↗
58
PATHVIEW WEALTH ADVISORS — ROWLING & ASSOCIATES LLC is now doing business as . IAPD ↗
58
LRI INVESTMENTS — LINDBERG & RIPPLE is now doing business as . IAPD ↗
55
J.P. MORGAN SECURITIES LLC — 's Item 11 disclosure-reporting entries rose by 3 (223 -> 226). IAPD ↗
55
GOLDMAN SACHS & CO. LLC — 's Item 11 disclosure-reporting entries rose by 1 (758 -> 759). IAPD ↗
55
RAYMOND JAMES & ASSOCIATES, INC. — 's Item 11 disclosure-reporting entries rose by 2 (173 -> 175). IAPD ↗
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 1 (157 -> 158). IAPD ↗
55
PRUDENTIAL FINANCIAL PLANNING SERVICES — 's Item 11 disclosure-reporting entries rose by 3 (44 -> 47). IAPD ↗
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED — 's Item 11 disclosure-reporting entries rose by 7 (484 -> 491). IAPD ↗
55
ROBERT W. BAIRD & CO. INCORPORATED — 's Item 11 disclosure-reporting entries rose by 1 (36 -> 37). IAPD ↗
55
THRIVENT INVESTMENT MANAGEMENT INC. — 's Item 11 disclosure-reporting entries rose by 2 (20 -> 22). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (646 -> 647). IAPD ↗
55
OSAIC WEALTH, INC. — 's Item 11 disclosure-reporting entries rose by 11 (52 -> 63). IAPD ↗
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (101 -> 103). IAPD ↗
55
JOHN HANCOCK INVESTMENT MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (15 -> 16). IAPD ↗
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 2 (101 -> 103). IAPD ↗
55
KEY INVESTMENT SERVICES LLC — 's Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗
55
WEALTH MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 1 (2 -> 3). IAPD ↗
55
LION STREET ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
55
ATMOS ADVISORY, LLC — GPWM LLC is now doing business as . IAPD ↗
55
PARAMOUNT ASSOCIATES WEALTH MANAGEMENT — PARAMOUNT ASSOCIATES, LLC is now doing business as . IAPD ↗
55
AURA FINANCE, INC. — AURA FINANCE is now doing business as . IAPD ↗
55
CARRY ADVISORS LLC — OCHO INVESTMENT ADVISORS, LLC is now doing business as . IAPD ↗
55
WEALTH STRATEGIES GROUP — TRAVIS ALLEN INC. DBA is now doing business as WEALTH STRATEGIES GROUP. IAPD ↗
55
DLK INVESTMENT ADVISORS, LLC — DLK INSTITUTIONAL PARTNERS is now doing business as . IAPD ↗
55
NINETY ONE NORTH AMERICA, INC. — notice-filed in CO, DE, HI, NV, SD, TN, WA. IAPD ↗
55
TCG ADVISORS, LLC A HUB INTERNATIONAL COMPANY — notice-filed in AK, DE, ID, KY, ME, MT, ND, NH, NJ, RI, SC, UT, VI, WI, WV, WY. IAPD ↗
53
GIBBS WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
53
LEGACY FINANCIAL ADVISORS, INC. — notice-filed in AZ, NC, TN, WI. IAPD ↗
53
ADAPT WEALTH ADVISORS, LLC — notice-filed in FL, NC, SC, TX, VA. IAPD ↗
51
SECOND HALF FINANCIAL PARTNERS, LLC — notice-filed in GA, NC, OH, VA. IAPD ↗
51
FIDUCIARY FINANCIAL ADVISORS — notice-filed in LA, NJ, SC, WA. IAPD ↗
51
GIBBS WEALTH MANAGEMENT, LLC — notice-filed in CT, HI, LA, OR. IAPD ↗
51
THURSTON SPRINGER ADVISORS — notice-filed in LA, NM, OK. IAPD ↗
50
THE PUTNEY FINANCIAL GROUP LLC — 's Item 11 disclosure-reporting entries rose by 3 (5 -> 8). IAPD ↗
50
ADAMS FINANCIAL CONCEPTS, LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
50
SCHWAB WEALTH ADVISORY, INC. — 's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
50
FINANCIAL MANAGEMENT ASSOCIATES, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
50
OSAIC WEALTH, INC. — moved its main office from JERSEY CITY, NJ to SCOTTSDALE, AZ. IAPD ↗
50
TRANSAMERICA RETIREMENT ADVISORS, LLC — moved its main office from ST PAUL, MN to CEDAR RAPIDS, IA. IAPD ↗
50
KORNITZER CAPITAL MANAGEMENT, INC. — moved its main office from SHAWNEE MISSION, KS to MISSION, KS. IAPD ↗
50
REDWOOD INVESTMENTS, LLC — moved its main office from NEWTON, MA to BOSTON, MA. IAPD ↗
50
BRIDGEPORT FINANCIAL SOLUTIONS — notice-filed in AK, HI, IN, KS, KY, ME, MI, MN, MO, NE, NH, NJ, OH, RI, SC, TN, UT, VA, VT, WV. IAPD ↗
50
CORNERSTONE ALTERNATIVES — notice-filed in CA, CO, FL, IL, MA, MD, MN, NC, NH, NJ, NY, OR, PA. IAPD ↗
49
INVESTMENT ADVISORY GROUP LLC — notice-filed in CO, OH, TN. IAPD ↗
49
BEAM WEALTH ADVISORS, INC. — notice-filed in ID, NV, OR. IAPD ↗
49
GRIES FINANCIAL PARTNERS — notice-filed in PA, TN. IAPD ↗
49
CERITY PARTNERS OCIO LLC — notice-filed in CO, TX. IAPD ↗
49
PROSPERITY CAPITAL ADVISORS — notice-filed in NM, WI. IAPD ↗
49
PALLAS CAPITAL ADVISORS, LLC — notice-filed in MI, VT. IAPD ↗
49
HERITAGE WEALTH ADVISORS — notice-filed in MA, NC, ND. IAPD ↗
49
BEAUMONT FINANCIAL PARTNERS — notice-filed in NE, NM. IAPD ↗
49
ATLAS LEGACY ADVISORS LLC — notice-filed in FL, NJ, TX. IAPD ↗
48
WINANS INVESTMENTS — moved its main office from NOVATO, CA to LAS VEGAS, NV. IAPD ↗
48
CHELSEA MANAGEMENT COMPANY — moved its main office from LOS ANGELES, CA to WOODLAND HILLS, CA. IAPD ↗
48
FAI ADVISORS, INC. — moved its main office from NOVI, MI to FARMINGTON HILLS, MI. IAPD ↗
48
PRIVATE WEALTH SOLUTIONS, LLC — moved its main office from WOODLAND HILLS, CA to CALABASAS, CA. IAPD ↗
48
BEACON BRIDGE WEALTH PARTNERS, LLC — moved its main office from CONSHOHOCKEN, PA to LOWER GWYNEDD, PA. IAPD ↗
47
POTOMAC FUND MANAGEMENT — notice-filed in MT. IAPD ↗
47
PLANCORP, LLC — notice-filed in OR. IAPD ↗
47
CORDA INVESTMENT MANAGEMENT, LLC — notice-filed in IA. IAPD ↗
47
RETIREMENT INCOME SOLUTIONS, INC. — notice-filed in IN. IAPD ↗
47
ARGENT ADVISORS, INC. — notice-filed in VA. IAPD ↗
47
VERITY INVESTMENT PARTNERS — notice-filed in LA, WI. IAPD ↗
47
THE CAPROCK GROUP, LLC — notice-filed in WI. IAPD ↗
47
SUMMITRY, LLC — notice-filed in GA. IAPD ↗
47
WEALTHSTREAM ADVISORS, INC. — notice-filed in DC. IAPD ↗
47
PERIGON WEALTH MANAGEMENT, LLC — notice-filed in WV. IAPD ↗
47
WEST FINANCIAL SERVICES, INC. — notice-filed in AZ. IAPD ↗
47
AGW CAPITAL ADVISORS — notice-filed in NC. IAPD ↗
47
HHM WEALTH ADVISORS, LLC — notice-filed in WI. IAPD ↗
47
BALLENTINE PARTNERS — notice-filed in UT. IAPD ↗
47
FOUNTAINHEAD ADVISORS — notice-filed in CT, NC. IAPD ↗
47
GOLDEN STATE WEALTH MANAGEMENT, LLC — notice-filed in MO. IAPD ↗
47
OCCIDENTAL ASSET MANAGEMENT, LLC — notice-filed in MS, TN. IAPD ↗
47
ALPHACORE CAPITAL LLC — notice-filed in WI. IAPD ↗
47
SUMMIT TRAIL ADVISORS, LLC — notice-filed in MN. IAPD ↗
47
BEACON TRUST — notice-filed in WI. IAPD ↗
47
FIRST PACIFIC FINANCIAL, INC. — notice-filed in HI. IAPD ↗
47
THE FIDUCIARY ALLIANCE — notice-filed in ID. IAPD ↗
47
TFG ADVISORS — notice-filed in MD, OH. IAPD ↗
47
JGP WEALTH MANAGEMENT, LLC — notice-filed in UT. IAPD ↗
47
ASPIRE CAPITAL ADVISORS LLC — notice-filed in MT, WI. IAPD ↗
47
RIVERSEDGE ADVISORS — notice-filed in SC, VA. IAPD ↗
47
LIBERTY ONE INVESTMENT MANAGEMENT — notice-filed in MO. IAPD ↗
47
ARMSTRONG ADVISORY GROUP INC. — notice-filed in MO. IAPD ↗
47
DAYMARK WEALTH PARTNERS, LLC — notice-filed in ID. IAPD ↗
47
GOLDEN STATE EQUITY PARTNERS, LLC — notice-filed in KS, SC. IAPD ↗
47
CHANNEL WEALTH, LLC — notice-filed in MA, NC. IAPD ↗
47
ROCKLINE WEALTH MANAGEMENT LLC — notice-filed in MA, NC. IAPD ↗
47
LCP INSTITUTIONAL, LLC — notice-filed in MS. IAPD ↗
47
ASTRA WEALTH MANAGEMENT GROUP — notice-filed in AR. IAPD ↗
47
SYNTRINSIC LLC — notice-filed in TN. IAPD ↗
47
LEGACY EDGE ADVISORS — notice-filed in CO, NC. IAPD ↗
46
COORDINATED CAPITAL SECURITIES, INC. — notice-filed in MI, NV, PA. IAPD ↗
46
SUPREME ALLIANCE LLC — notice-filed in AR, MI, NE. IAPD ↗
46
MERIDIAN FINANCIAL, LLC — notice-filed in CT, FL, TX. IAPD ↗
46
ZYNERGY RETIREMENT PLANNING — notice-filed in FL, NC, TX. IAPD ↗
46
DYNAMIC WEALTH ADVISORS — notice-filed in IL, OR, UT. IAPD ↗
46
INVEST CAPITAL PARTNERS — notice-filed in AL, AZ, NC. IAPD ↗
46
FOURTH DIMENSION WEALTH, LLC — notice-filed in CA, VA, VT. IAPD ↗
46
SUSTAINABLE ADVISORS ALLIANCE LLC — notice-filed in MI, MN, PA. IAPD ↗
45
EQUITY ADVISORS OF KENTUCKY INC — moved its main office from WADDY, KY to LEXINGTON, KY. IAPD ↗
45
WH CORNERSTONE INVESTMENTS INC. — moved its main office from KINGSTON, MA to DUXBURY, MA. IAPD ↗
45
ASPIRE ADVISORS, LLC — moved its main office from PURCHASE, NY to NORTH WHITE PLAINS, NY. IAPD ↗
45
BULL OAK CAPITAL, LLC — moved its main office from SAN DIEGO, CA to RANCHO SANTA FE, CA. IAPD ↗
45
THE PROFESSIONAL FINANCIAL COMPANY LLC — moved its main office from PLEASANT GROVE, UT to OREM, UT. IAPD ↗
45
BROWNLEE WEALTH MANAGEMENT — moved its main office from HOUSTON, TX to THE WOODLANDS, TX. IAPD ↗
45
INVSTR FINANCIAL LLC — moved its main office from SAN ANTONIO, TX to LAREDO, TX. IAPD ↗
45
PROSPERITY WEALTH PLANNING LLC — moved its main office from LONG BEACH, CA to IRVINE, CA. IAPD ↗
45
CURBSTONE FINANCIAL MANAGEMENT CORP. — notice-filed in TX. IAPD ↗
45
PACKERLAND BROKERAGE SERVICES, INC. — notice-filed in CT. IAPD ↗
45
BRUNI J V & CO — notice-filed in NC. IAPD ↗
45
GRANT STREET ASSET MANAGEMENT INC — notice-filed in TX. IAPD ↗
45
WHITEGATE INVESTMENT COUNSELORS, INC. — notice-filed in TX. IAPD ↗
45
SK WEALTH MANAGEMENT, LLC — notice-filed in CA. IAPD ↗
45
WEALTH MANAGEMENT ASSOCIATES, INC. — notice-filed in TX. IAPD ↗
45
NORTHSTAR FINANCIAL COMPANIES, INC. — notice-filed in NJ. IAPD ↗
45
ROBOTTI & COMPANY ADVISORS, LLC — notice-filed in OR. IAPD ↗
45
FINANCIAL PERSPECTIVES — notice-filed in GA. IAPD ↗
45
CEDAR MOUNTAIN ADVISORS, LLC — notice-filed in NH. IAPD ↗
45
TOTAL CLARITY WEALTH MANAGEMENT, INC — notice-filed in MA. IAPD ↗
45
BIGELOW INVESTMENT ADVISORS, LLC — notice-filed in LA. IAPD ↗
45
SECURE ASSET MANAGEMENT, L.L.C. — notice-filed in ME. IAPD ↗
45
REAP FINANCIAL GROUP, LLC — notice-filed in CA. IAPD ↗
45
SGL INVESTMENT ADVISORS, INC. — notice-filed in FL. IAPD ↗
45
THE MARSHALL FINANCIAL GROUP LLC — notice-filed in IL. IAPD ↗
45
PARK, MILLER, LLC — notice-filed in NV. IAPD ↗
45
ARQ WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
45
BECK CAPITAL MANAGEMENT LLC — notice-filed in FL. IAPD ↗
45
HARDIN CAPITAL PARTNERS, LLC — notice-filed in NH. IAPD ↗
45
INVESTOR FAN — notice-filed in HI. IAPD ↗
45
BENCHMARK WEALTH MANAGEMENT, LLC — notice-filed in ME. IAPD ↗
45
THE JOSEPH GROUP CAPITAL MANAGEMENT — notice-filed in CO. IAPD ↗
45
FI3 FINANCIAL ADVISORS, LLC — notice-filed in OH. IAPD ↗
45
MBM WEALTH CONSULTANTS, LLC — notice-filed in NC. IAPD ↗
45
TRANSATLANTIQUE PRIVATE WEALTH LLC — notice-filed in NJ. IAPD ↗
45
OMNIA FAMILY WEALTH, LLC — notice-filed in TX. IAPD ↗
45
WEST PACES ADVISORS, INC. — notice-filed in NE. IAPD ↗
45
S.E.E.D. PLANNING GROUP, LLC — notice-filed in CA. IAPD ↗
45
EQUITA FINANCIAL NETWORK, INC. — notice-filed in OH. IAPD ↗
45
BRIGHT FUTURES WEALTH MANAGEMENT, LLC — notice-filed in TN. IAPD ↗
45
GOALVEST ADVISORY LLC — notice-filed in KS. IAPD ↗
45
PREMIER WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
45
WHITAKER-MYERS WEALTH MANAGERS, LTD. — notice-filed in IA. IAPD ↗
45
INDEPENDENT WEALTH NETWORK, INC. — notice-filed in NJ. IAPD ↗
45
LIFEWORKS ADVISORS, LLC — notice-filed in UT. IAPD ↗
45
CHESME CAPITAL MANAGEMENT — notice-filed in TX. IAPD ↗
45
SHARP FINANCIAL — notice-filed in TX. IAPD ↗
45
KPP ADVISORY SERVICES LLC — notice-filed in AK. IAPD ↗
45
BRIO FINANCIAL GROUP — notice-filed in NH. IAPD ↗
45
EQ WEALTH MANAGEMENT — notice-filed in NY. IAPD ↗
45
KELLY FINANCIAL SERVICES LLC — notice-filed in SC. IAPD ↗
45
JEPPSON WEALTH MANAGEMENT, LLC — notice-filed in WA. IAPD ↗
45
MADISON PARTNERS — notice-filed in NC. IAPD ↗
45
TACTIVE ADVISORS, LLC — notice-filed in NM. IAPD ↗
45
RIDGECREST WEALTH PARTNERS, LLC — notice-filed in CO. IAPD ↗
45
ENDEAVOR PRIVATE WEALTH, INC. — notice-filed in TN. IAPD ↗
45
EMPOWER FINANCIAL ADVISORY, LLC — notice-filed in NC. IAPD ↗
45
TRIFECTA CAPITAL ADVISORS, LLC — notice-filed in SC. IAPD ↗
45
LRI INVESTMENTS — notice-filed in OR. IAPD ↗
45
CRAFT&SAGE WEALTH — notice-filed in NC. IAPD ↗
45
SIERRA SUMMIT ADVISORS LLC — notice-filed in TX. IAPD ↗
45
EVERNEST FINANCIAL ADVISORS — notice-filed in KY. IAPD ↗
44
B.B. GRAHAM & COMPANY, INC. — notice-filed in RI, UT. IAPD ↗
44
DICK RIVERA & ASSOCIATES — notice-filed in AL, TN. IAPD ↗
44
KIKER WEALTH MANAGEMENT, LLC — notice-filed in AZ, PA. IAPD ↗
44
STRINGER ASSET MANAGEMENT, LLC — notice-filed in FL, PA. IAPD ↗
44
VCP FINANCIAL LLC — notice-filed in LA, NH. IAPD ↗
44
WATERSTONE FINANCIAL ADVISORY LLC — notice-filed in IL, TN. IAPD ↗
44
CRUSONIA WEALTH ADVISORS LLC — notice-filed in CA, FL. IAPD ↗
42
DMK ADVISOR GROUP, INC. — notice-filed in VA. IAPD ↗
42
FINANCIAL COUNSELING ASSOCIATES, INC — notice-filed in FL. IAPD ↗
42
GASSMAN FINANCIAL GROUP — notice-filed in FL. IAPD ↗
42
BALLENTINE CAPITAL ADVISORS, INC. — notice-filed in GA. IAPD ↗
42
KEEN CAPITAL, LTD — notice-filed in TX. IAPD ↗
42
VALUES FIRST ADVISORS, INC. — notice-filed in AL. IAPD ↗
42
FELLOWSHIP FINANCIAL GROUP — notice-filed in NC. IAPD ↗
42
SAGE STONE WEALTH MANAGEMENT LLC — notice-filed in WA. IAPD ↗
42
PEAPOD LANE CAPITAL LLC — notice-filed in TX. IAPD ↗
42
PARSONEX ADVISORY SERVICES, INC. — notice-filed in MT. IAPD ↗
42
HAHN FINANCIAL GROUP — notice-filed in NM. IAPD ↗
42
FUTURE PERFECT PLANNING, LLC — notice-filed in TX. IAPD ↗
42
11 FINANCIAL — notice-filed in AZ. IAPD ↗
42
SIGHTLINE WEALTH ADVISORS, LLC — notice-filed in MA. IAPD ↗
42
TFG FINANCIAL ADVISORS, LLC — notice-filed in NY. IAPD ↗
42
ROOTED PLANNING GROUP — notice-filed in CT. IAPD ↗
42
COMMONWEALTH RETIREMENT INVESTMENTS LLC — notice-filed in TX. IAPD ↗
42
HESEN & HASLAM — notice-filed in ID. IAPD ↗
42
OAK STREET INVESTMENTS — notice-filed in TX. IAPD ↗
42
ANDERSON FINANCIAL STRATEGIES, LLC — notice-filed in FL. IAPD ↗
42
PGI WEALTH MANAGEMENT — notice-filed in VA. IAPD ↗
42
COOKSEN WEALTH, LLC — notice-filed in CO. IAPD ↗
42
ZENITH WEALTH PARTNERS — notice-filed in OH. IAPD ↗
42
PARKER FINANCIAL ADVISORS LLC — notice-filed in FL. IAPD ↗
42
HF ADVISORY GROUP, LLC — notice-filed in ID. IAPD ↗
42
CITY DIFFERENT INVESTMENTS — notice-filed in KS. IAPD ↗
42
ELYSIUM WEALTH MANAGEMENT, LLC — notice-filed in CT. IAPD ↗
42
AURELIUS FAMILY OFFICE, LLC — notice-filed in TN. IAPD ↗
42
ROSSBY FINANCIAL, LLC — notice-filed in OH. IAPD ↗
42
PODELL FINANCIAL GROUP LLC — notice-filed in CA. IAPD ↗
42
ALPINE HILL ADVISORS LLC — notice-filed in NY. IAPD ↗
42
CAPTAR PRIVATE WEALTH — notice-filed in FL. IAPD ↗
42
GAINLINE FINANCIAL PARTNERS, LLC — notice-filed in MD. IAPD ↗
42
FOGUTH WEALTH MANAGEMENT, LLC. — notice-filed in SC. IAPD ↗
42
DIGITAL WEALTH PARTNERS — notice-filed in CT. IAPD ↗
42
CAPITAL A WEALTH MANAGEMENT — notice-filed in NY. IAPD ↗
42
STONEPATH WEALTH MANAGEMENT — notice-filed in NC. IAPD ↗
42
BROADSTREET FAMILY OFFICE LLC — notice-filed in NJ. IAPD ↗
42
CATALYST WEALTH MANAGEMENT LLC — notice-filed in MI. IAPD ↗
42
FCIG WEALTH MANAGEMENT, LLC — notice-filed in NH. IAPD ↗
42
KILTER GROUP — notice-filed in AZ. IAPD ↗
42
ZERO DAY CAPITAL ENTERPRISES LLC — notice-filed in NC. IAPD ↗
30
NBT CAPITAL MANAGEMENT, INC. — changed its website from nbtcapm.com to navigateretirement.com. IAPD ↗
30
CONWAY INVESTMENT SOLUTIONS — changed its website from conwayir.com to conwayis.com. IAPD ↗
30
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS — changed its website from billsydor.com to atlwm.com. IAPD ↗
30
GUARDIAN WEALTH ADVISORS, LLC — changed its website from guardian-wa.com to silowealth.com. IAPD ↗
28
EVEREST FINANCIAL GROUP — changed its website from everestfg.us to sincerefinancial.com. IAPD ↗
28
STRATEGIC INVESTMENT ADVISORS, LLC — changed its website from seniorplanningadvisors.com to retirementplanningedu.com. IAPD ↗
28
GOLDSTONE FINANCIAL GROUP, LLC — changed its website from pinterest.com to goldstonefinancialgroup.net. IAPD ↗
28
RIDGEVIEW ASSET MANAGEMENT PARTNERS, LLC — changed its website from ridgeviewasset.com to smore.com. IAPD ↗
28
KPP ADVISORY SERVICES LLC — changed its website from kpp-lpl.com to money411.info. IAPD ↗
28
BELLWETHER WEALTH — changed its website from bellww.com to vimeo.com. IAPD ↗
28
TRANSCE3ND LLC — changed its website from transcendim.com to e3wealth.com. IAPD ↗
28
GOLDEN STATE EQUITY PARTNERS, LLC — changed its website from schneider-wealth.com to vector3wealth.com. IAPD ↗
25
SUMMIT FINANCIAL WORKING WITH PEOPLE YOU TRUST — changed its website from workingwithpeopleyoutrust.com to misocialsecurity.com. IAPD ↗
25
CASTLE ISLAND WEALTH — changed its website from seahuntercapital.com to castleislandwealth.com. IAPD ↗
25
BROWNLEE WEALTH MANAGEMENT — changed its website from bwmplanning.com to brownleewealthmanagement.com. IAPD ↗
25
ELYSIUM WEALTH MANAGEMENT, LLC — changed its website from ut.myelysium.com to saltwealthpartners.com. IAPD ↗
25
SPECIALIZED RETIREMENT CONSULTANTS LLC — changed its website from specializedretire.com to usa4o1k.tech. IAPD ↗
25
BROADSTREET FAMILY OFFICE LLC — changed its website from broadstreetglobaladvisors.com to broadstreetfamilyoffice.com. IAPD ↗
25
CORNERSTONE ALTERNATIVES — changed its website from 506investorgroup.com to cornerstonealternatives.com. IAPD ↗
90
RCM GA MANAGER LLC — (NEW YORK, NY) is newly SEC-registered with $1.24B RAUM and 20 advisory reps. IAPD ↗institutional
85
PRECIDIAN FUNDS LLC — (NEWTOWN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
EAST BEACH ASSET MANAGEMENT, LLC — (LOS ANGELES, CA) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗institutional
85
NORTHAMPTON CAPITAL PARTNERS — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
85
CONNETIC VENTURES — (COVINGTON, KY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
S2G VENTURES — (CHICAGO, IL) is newly SEC-registered with $2.57B RAUM and 45 advisory reps. IAPD ↗fund
85
TWIN OAK ETF COMPANY — (NATICK, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
MFG PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
VENERABLE INVESTMENT ADVISERS, LLC — (WEST CHESTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
85
LITTLE RIVER CAPITAL PARTNERS, LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
PL3 CAPITAL LP — (SUNNY ISLES BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
RIPPLE EFFECT ASSET MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
SOPHRON CAPITAL MANAGEMENT — (SUMMIT, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
GLADE CAPITAL MANAGEMENT LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
DIADEMA PARTNERS LP — (MORRISTOWN, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
OCTANE INVESTMENTS INC. — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
83
POSITIVE SELECTION INVESTMENT MANAGEMENT, LLC — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $500.0M RAUM and 2 advisory reps. IAPD ↗fund
80
PANORAMIC CAPITAL, LLC — (LARKSPUR, CA) is newly SEC-registered with $209.9M RAUM and 3 advisory reps. IAPD ↗fund
80
FACTORIAL PARTNERS, LLC — (MT. KISCO, NY) is newly SEC-registered with $177.9M RAUM and 1 advisory reps. IAPD ↗fund
80
BREACH INLET CAPITAL MANAGEMENT, LLC — (MT. PLEASANT, SC) is newly SEC-registered with $135.9M RAUM and 2 advisory reps. IAPD ↗fund
80
SAF ADVISORS LLC — (location n/a) is newly SEC-registered with $121.4M RAUM and 2 advisory reps. IAPD ↗fund
80
SEMANTEON CAPITAL MANAGEMENT, LP — (NEWTON, MA) is newly SEC-registered with $195.0M RAUM and 2 advisory reps. IAPD ↗fund
80
BH3 FUND ADVISORS, LLC — (FORT LAUDERDALE, FL) is newly SEC-registered with $175.5M RAUM and 8 advisory reps. IAPD ↗fund
80
CARR'S HILL PARTNERS — (NEW ORLEANS, LA) is newly SEC-registered with $177.1M RAUM and 6 advisory reps. IAPD ↗fund
80
CF CAPITAL LLC — (location n/a) is newly SEC-registered with $118.5M RAUM and 1 advisory reps. IAPD ↗fund
80
WALK-ON CAPITAL, LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $90.0M RAUM and 3 advisory reps. IAPD ↗fund
80
ASCENDANCE ASSET MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
68
TREZ CAPITAL FUND MANAGEMENT LIMITED PARTNERSHIP — (VANCOUVER, BC, Canada) is newly SEC-registered with $415.7M RAUM and 6 advisory reps. IAPD ↗foreign
65
ETNA CAPITAL — (HONG KONG, Hong Kong) is newly SEC-registered with $20.4M RAUM and 3 advisory reps. IAPD ↗foreign
48
NORTHMARQ FUND MANAGEMENT, LLC — MORRISON STREET CAPITAL, LLC is now doing business as . IAPD ↗institutional
45
JOHN HANCOCK VARIABLE TRUST ADVISERS LLC — 's Item 11 disclosure-reporting entries rose by 1 (17 -> 18). IAPD ↗institutional
45
AST INVESTMENT SERVICES, INC. — 's Item 11 disclosure-reporting entries rose by 3 (30 -> 33). IAPD ↗institutional
45
CATALYST CAPITAL ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 4 (11 -> 15). IAPD ↗institutional
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (101 -> 103). IAPD ↗institutional
45
PRUDENTIAL SELECT STRATEGIES LLC — 's Item 11 disclosure-reporting entries rose by 3 (26 -> 29). IAPD ↗institutional
45
45
AMERICAFIRST WEALTH MANAGEMENT, INC. — DSS WEALTH MANAGEMENT, INC. is now doing business as . IAPD ↗institutional
43
43
43
MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC — notice-filed in CO, LA, MO, NC, NY, PA, PR. IAPD ↗institutional
40
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 2 (661 -> 663). IAPD ↗institutional
40
MANULIFE INVESTMENT MANAGEMENT TIMBERLAND AND AGRICULTURE INC — 's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗fund
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 7 (105 -> 112). IAPD ↗institutional
39
38
CREDIT SUISSE SECURITIES (USA) LLC — 's Item 11 disclosure-reporting entries rose by 1 (460 -> 461). IAPD ↗fund
38
INDUSTRIAL DEVELOPMENT FUNDING LLC — moved its main office from MIAMI, FL to MIAMI BEACH, FL. IAPD ↗institutional
37
35
ANGELES EQUITY PARTNERS, LLC — moved its main office from SANTA MONICA, CA to LOS ANGELES, CA. IAPD ↗fund
35
FINANCEHQ LLC — moved its main office from SAN FRANCISCO, CA to CORAL GABLES, FL. IAPD ↗institutional
35
CANAL ROAD CAPITAL, LLC — moved its main office from MIAMI BEACH, FL to MIAMI, FL. IAPD ↗institutional
35
FISAI US MANAGEMENT LLC — moved its main office from MALIBU, CA to LOS ANGELES, CA. IAPD ↗institutional
34
34
34
33
SEGRA CAPITAL MANAGEMENT, LLC — moved its main office from WEST PALM BEACH, FL to PALM BEACH, FL. IAPD ↗fund
33
LIQUID CAPITAL MANAGEMENT LLC — moved its main office from SAN RAFAEL, CA to LOS ANGELES, CA. IAPD ↗fund
32
29
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 2 (101 -> 103). IAPD ↗foreign
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (100 -> 102). IAPD ↗foreign
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (102 -> 104). IAPD ↗foreign
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (102 -> 104). IAPD ↗foreign
25
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. — 's Item 11 disclosure-reporting entries rose by 4 (15 -> 19). IAPD ↗foreign
25
25
20
GENERAL INDUSTRIAL PARTNERS LLP — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗foreign
20
20
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC — changed its website from nomura.com to nomuracapitalmanagement.com. IAPD ↗institutional
17
13
13
12
10
1
1
1
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. — changed its website from kotakamc.sg to kotakglobal.com. IAPD ↗foreign
1
MOTILAL OSWAL CAPITAL LIMITED — changed its website from motilaloswalcapital.com to motilaloswalmf.com. IAPD ↗foreign
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.