Marketing & brand — October 2024
Websites, brand, content, and lead-gen for advisors (FMG, Snappy Kraken, agencies).
458 firms opened this window in the October 2024 SEC roster: 205 state expansion, 115 new registration, 53 disclosure added, 43 relocation, 27 website changed, 15 rename.
98
FORM WEALTH ADVISORS, LLC — (LAKE GENEVA, WI) is newly SEC-registered with $925.8M RAUM and 7 advisory reps. IAPD ↗
95
HILLSPRING FINANCIAL, INC. — (SURPRISE, AZ) is newly SEC-registered with $169.2M RAUM and 2 advisory reps. IAPD ↗
95
GIBSON FINANCIAL SOLUTIONS, INC. — (ELLSWORTH, ME) is newly SEC-registered with $122.2M RAUM and 1 advisory reps. IAPD ↗
95
GCI FINANCIAL GROUP — (MENDHAM, NJ) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
95
FINANCIAL LEGACY MANAGEMENT, NC. — (LITTLE ROCK, AR) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
95
WHITE OAK FINANCIAL MANAGEMENT, INC — (ASHEVILLE, NC) is newly SEC-registered with $105.6M RAUM and 3 advisory reps. IAPD ↗
95
DDO ADVISORY SERVICES, LLC — (RHINEBECK, NY) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
95
ARTHUR STEIN FINANCIAL, LLC — (BETHESDA, MD) is newly SEC-registered with $109.7M RAUM and 3 advisory reps. IAPD ↗
95
PENSERRA GLOBAL INVESTORS LLC — (ORINDA, CA) is newly SEC-registered with $1.0M RAUM and 10 advisory reps. IAPD ↗
95
SHERMAN WEALTH MANAGEMENT LLC — (GAITHERSBURG, MD) is newly SEC-registered with $112.2M RAUM and 3 advisory reps. IAPD ↗
95
NOBSCOT INVESTMENT MANAGEMENT LLC — (WELLESLEY, MA) is newly SEC-registered with $129.9M RAUM and 1 advisory reps. IAPD ↗
95
FOGARTY WEALTH MANAGEMENT, INC. — (MISSOURI CITY, TX) is newly SEC-registered with $110.0M RAUM and 1 advisory reps. IAPD ↗
95
OUTBOUND FINANCIAL — (BOULDER, CO) is newly SEC-registered with $100.1M RAUM and 1 advisory reps. IAPD ↗
95
PLANVEST FINANCIAL, INC. — (GAITHERSBURG, MD) is newly SEC-registered with $110.9M RAUM and 5 advisory reps. IAPD ↗
95
BRINDLE & BAY FINANCIAL ADVISORS, LLC — (FRISCO, TX) is newly SEC-registered with $100.5M RAUM and 2 advisory reps. IAPD ↗
95
ROCHESTER WEALTH STRATEGIES, LLC — (ROCHESTER, MI) is newly SEC-registered with $121.4M RAUM and 4 advisory reps. IAPD ↗
95
KISSLING FINANCIAL SERVICES, LLC — (NEW CASTLE, PA) is newly SEC-registered with $104.3M RAUM and 1 advisory reps. IAPD ↗
95
DIRECTIONAL ADVISORS — (location n/a) is newly SEC-registered with $114.0M RAUM and 1 advisory reps. IAPD ↗
95
AHARA ADVISORS — (JERSEY CITY, NJ) is newly SEC-registered with $110.8M RAUM and 2 advisory reps. IAPD ↗
95
MINT ASSET MANAGEMENT LLC — (HOBOKEN, NJ) is newly SEC-registered with $43.9M RAUM and 3 advisory reps. IAPD ↗
95
WINCAP FINANCIAL LLC — (BOSTON, MA) is newly SEC-registered with $124.2M RAUM and 2 advisory reps. IAPD ↗
95
10ELMS LLP — (location n/a) is newly SEC-registered with $103.4M RAUM and 2 advisory reps. IAPD ↗
95
ECHO FINANCIAL ADVISORS, LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
NAUTA CAPITAL LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
QUANTCA FINANCIAL — (DOVER, DE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PANDI, LLC — (LEAWOOD, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
95
MAYNERICH FINANCIAL — (VIRDEN, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
HARBORFRONT FINANCIAL GROUP — (LUDINGTON, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
GFG SOLUTIONS — (ORLANDO, FL) is newly SEC-registered with $151.1M RAUM and 6 advisory reps. IAPD ↗
95
FOUNTAINHEAD MULTI-FAMILY OFFICE, LLC — (NEW CANAAN, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
WEALTHPRIME — (SAN JOSE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ARCH OTC LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
PARK SQUARE FINANCIAL GROUP LLC — (ROSWELL, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
HEADLAND CAPITAL — (MT. PLEASANT, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
OCM PRIVATE WEALTH, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
UNITING WEALTH PARTNERS — (MISSION, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
NAVISTA WEALTH MANAGEMENT, INC. — (MINNEAPOLIS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
PATEL CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PERSPECTIVE WEALTH ADVISORS — (LOVELAND, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
LINEPOINT PARTNERS & CO. — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
YANDELL INVESTMENTS, LLC — (ORLANDO, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SAGEWATER WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $2.0M RAUM and 2 advisory reps. IAPD ↗
95
HUNTER KEITH INDUSTRIES, INC. — (WAYZATA, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MOMENT PARTNERS, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
OXFORD WEALTH MANAGEMENT — (LINDON, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
VINCENT WEALTH ADVISORS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
UPSKILL WEALTH MANAGEMENT, LLC — (CORTLAND, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
OLDFIELD WEALTH PARTNERS — (BANGOR, ME) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ELEVATE CAPITAL GROUP, LLC — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
THE WELLINGTON GRP LLC — (INDIANAPOLIS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
LECLAIR WEALTH PARTNERS — (DUBLIN, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
STONE TEMPLE PARTNERS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
INTELLUS ADVISORS, LLC — (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
COLLABORATIVE PORTFOLIO MANAGEMENT — (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $120.7M RAUM and 3 advisory reps. IAPD ↗
95
MORANGIE MANAGEMENT LLC — (MARSHFIELD, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
95
MATAURO, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 14 advisory reps. IAPD ↗
95
BRAMBLE WEALTH PLANNING — (CINCINNATI, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
TFR CAPITAL — (PLANO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
VAQUITA SUN, INC. — (FORT LAUDERDALE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
60
BALDWIN WEALTH PARTNERS, LLC — BALDWIN BROTHERS LLC is now doing business as . IAPD ↗
60
CFM ADVISORS INC — CCG INVESTMENTS is now doing business as . IAPD ↗
58
MKD WEALTH — COACHES, LLC is now doing business as MKD WEALTH. IAPD ↗
55
J.P. MORGAN SECURITIES LLC — 's Item 11 disclosure-reporting entries rose by 1 (237 -> 238). IAPD ↗
55
EDWARD JONES — 's Item 11 disclosure-reporting entries rose by 1 (107 -> 108). IAPD ↗
55
GOLDMAN SACHS & CO. LLC — 's Item 11 disclosure-reporting entries rose by 2 (759 -> 761). IAPD ↗
55
RAYMOND JAMES & ASSOCIATES, INC. — 's Item 11 disclosure-reporting entries rose by 4 (177 -> 181). IAPD ↗
55
AMERIPRISE FINANCIAL SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 2 (239 -> 241). IAPD ↗
55
LPL FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 3 (286 -> 289). IAPD ↗
55
CITIGROUP GLOBAL MARKETS INC. — 's Item 11 disclosure-reporting entries rose by 4 (197 -> 201). IAPD ↗
55
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED — 's Item 11 disclosure-reporting entries rose by 13 (480 -> 493). IAPD ↗
55
PRIMERICA ADVISORS — 's Item 11 disclosure-reporting entries rose by 4 (24 -> 28). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (320 -> 321). IAPD ↗
55
FIRST HORIZON ADVISORS, INC — 's Item 11 disclosure-reporting entries rose by 3 (8 -> 11). IAPD ↗
55
OSAIC WEALTH, INC. — 's Item 11 disclosure-reporting entries rose by 2 (63 -> 65). IAPD ↗
55
WESTERN INTERNATIONAL SECURITIES — 's Item 11 disclosure-reporting entries rose by 6 (19 -> 25). IAPD ↗
55
VALIC FINANCIAL ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (48 -> 50). IAPD ↗
55
THE PACIFIC FINANCIAL GROUP, INC. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
55
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST — 's Item 11 disclosure-reporting entries rose by 4 (3 -> 7). IAPD ↗
55
CETERA INVESTMENT ADVISERS LLC — 's Item 11 disclosure-reporting entries rose by 3 (38 -> 41). IAPD ↗
55
OAKTREE CAPITAL MANAGEMENT, L.P. — 's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗
55
FIRST TRUST ADVISORS LP — 's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
55
APERIO GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 2 (10 -> 12). IAPD ↗
55
FOCUS FINANCIAL — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗
55
PNC INVESTMENTS — 's Item 11 disclosure-reporting entries rose by 4 (18 -> 22). IAPD ↗
55
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (28 -> 30). IAPD ↗
55
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 3 (51 -> 54). IAPD ↗
55
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC — 's Item 11 disclosure-reporting entries rose by 1 (41 -> 42). IAPD ↗
55
MORGAN STANLEY — 's Item 11 disclosure-reporting entries rose by 3 (243 -> 246). IAPD ↗
55
RICHARD BERNSTEIN ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
55
TD PRIVATE CLIENT WEALTH LLC — 's Item 11 disclosure-reporting entries rose by 1 (19 -> 20). IAPD ↗
55
INTEGRATED ADVISORS NETWORK LLC — 's Item 11 disclosure-reporting entries rose by 3 (3 -> 6). IAPD ↗
55
SPIDERROCK ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (3 -> 5). IAPD ↗
55
KESTRA ADVISORY SERVICES, LLC — 's Item 11 disclosure-reporting entries rose by 4 (29 -> 33). IAPD ↗
55
FIRST TRUST DIRECT INDEXING — 's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗
55
LIFE PLANNING ADVISORS LLC — SIERRA WEALTH GROUP, LLC is now doing business as . IAPD ↗
55
VALIDEX GLOBAL INVESTING — VALIDUS GLOBAL INVESTING is now doing business as . IAPD ↗
55
GUERRA WEALTH ADVISORS — GUERRA ADVISORY SERVICES is now doing business as . IAPD ↗
55
PLAYBOOK ADVISER — PLAYBOOK is now doing business as . IAPD ↗
55
STAR WEALTH ADVISORS — MAXX WEALTH ADVISORS is now doing business as . IAPD ↗
55
JOHNSON INVESTMENT COUNSEL, INC. — notice-filed in AK, HI, KS, MS, NV, RI, VT. IAPD ↗
55
MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC — notice-filed in CA, CT, DC, FL, GA, MA, ME, NH, OK, PA, SC, TX, WA, WI. IAPD ↗
55
JAFFE TILCHIN INVESTMENT PARTNERS, LLC — notice-filed in AL, CO, DC, MD, NJ, NV, UT. IAPD ↗
55
SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC — notice-filed in DE, KS, MD, MI, NC, PA, SC. IAPD ↗
55
PRIVATE WEALTH ASSET MANAGEMENT — notice-filed in AZ, CA, CO, FL, IL, LA, NH, SC, TN, WY. IAPD ↗
55
MODERN WEALTH MANAGEMENT, LLC — notice-filed in CT, DC, DE, ID, KY, LA, MA, OR, WA. IAPD ↗
53
SANTORI & PETERS — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
DROMS STRAUSS WEALTH MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
53
STRATEGY ASSET MANAGERS L.L.C. — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
53
NPA ASSET MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 5 (4 -> 9). IAPD ↗
53
TUCKER ASSET MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 4 (7 -> 11). IAPD ↗
53
PROSPERITY - AN EISNERAMPER COMPANY — notice-filed in AL, AZ, MI, NV. IAPD ↗
53
FIRST TRUST DIRECT INDEXING — notice-filed in DE, OK, OR, RI. IAPD ↗
53
CARRICK LANE LLC — notice-filed in KY, LA, RI, TN. IAPD ↗
53
EVERNEST FINANCIAL ADVISORS — notice-filed in CA, CT, FL, IL, NJ, NY, TX, VA, WA. IAPD ↗
53
PARR MCKNIGHT WEALTH MANAGEMENT GROUP — notice-filed in CA, CO, FL, IL, MA, TX, WA, WI. IAPD ↗
53
BRISTOL WEALTH GROUP — notice-filed in FL, ME, NH, NY, RI, TX, VA, VT. IAPD ↗
53
CARRERA CAPITAL ADVISORS — notice-filed in CA, FL, GA, IL, MD, NC, NY, OH, OK, TX, VA, WA. IAPD ↗
53
TOPSAIL WEALTH MANAGEMENT LLC — notice-filed in CT, GA, IL, MA, NE, OH. IAPD ↗
53
PARKWOODS WEALTH PARTNERS, LLC — notice-filed in CA, FL, MD, NC, NH, SC, TX, VA. IAPD ↗
51
JACOBSON & SCHMITT ADVISORS, LLC — notice-filed in GA, MI, NC, VA. IAPD ↗
51
BRASS TAX WEALTH MANAGEMENT — notice-filed in IL, NY, PA, SC. IAPD ↗
51
CX INSTITUTIONAL, LLC — notice-filed in MS, MT, OR. IAPD ↗
50
LIFEMARK SECURITIES CORP. — 's Item 11 disclosure-reporting entries rose by 7 (12 -> 19). IAPD ↗
50
FOUR POINTS ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗
50
TRIBRIDGE PARTNERS FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
50
CURA WEALTH ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
50
FIRST PACIFIC ADVISORS, LP — moved its main office from LOS ANGELES, CA to EL SEGUNDO, CA. IAPD ↗
50
GLADSTONE WEALTH PARTNERS — moved its main office from BOCA RATON, FL to PALM BEACH GARDENS, FL. IAPD ↗
50
GOLDEN RESERVE RETIREMENT, LLC — notice-filed in AL, IL, KS, MO, NE, NH, NJ, OK, OR. IAPD ↗
50
SYNERGY INVESTMENT MANAGEMENT LLC — notice-filed in CA, GA, MD, MI, SC, TN, VA. IAPD ↗
50
FUNDIFY ADVISORS LLC — notice-filed in AL, HI, MI, MN, MS, NH, OH, SC, TN, UT, VA, WA, WI. IAPD ↗
50
WEALTH MORE ENTERPRISE, INC. — notice-filed in AZ, CA, CO, GA, IL, LA, NE, NH, NV. IAPD ↗
50
WEALTHCARE CAPITAL PARTNERS, LLC — notice-filed in DC, FL, LA, NC, NE, OH, SC, TX, WA. IAPD ↗
50
ZERO DAY CAPITAL ENTERPRISES LLC — notice-filed in AZ, KS, NM, NV, TX, WA. IAPD ↗
50
LIFELONG WEALTH ADVISORS, INC. — notice-filed in AZ, CA, FL, IL, MI, NC, OH, SD, TX, WA. IAPD ↗
49
SATURNA CAPITAL CORPORATION — notice-filed in DC, NJ. IAPD ↗
49
BALDWIN WEALTH PARTNERS, LLC — notice-filed in IN, MT. IAPD ↗
49
BEAIRD HARRIS — notice-filed in AR, LA. IAPD ↗
49
KIELY WEALTH ADVISORY GROUP, INC. — notice-filed in GA, MD, PA. IAPD ↗
49
GREENWOOD GEARHART INC. — notice-filed in NH, OH. IAPD ↗
49
IRONWOOD INVESTMENT COUNSEL, LLC — notice-filed in FL, WI. IAPD ↗
49
CAPITAL WEALTH PLANNING, LLC — notice-filed in CA, CT. IAPD ↗
49
PETTINGA FINANCIAL ADVISORS, LLC — notice-filed in CA, MN. IAPD ↗
49
TVAMP, LLC — notice-filed in MI, OH, SC. IAPD ↗
49
HUB INVESTMENT ADVISORS, INC — notice-filed in ND, NM. IAPD ↗
49
VESTOR CAPITAL, LLC — notice-filed in NJ, SC. IAPD ↗
49
PERENNIAL FINANCIAL SERVICES — notice-filed in NE, PA. IAPD ↗
49
DAKOTA WEALTH, LLC — notice-filed in IA, WY. IAPD ↗
48
SANTORI & PETERS — moved its main office from MONROEVILLE, PA to CANONSBURG, PA. IAPD ↗
48
TRUST ADVISORY GROUP LTD — moved its main office from READING, MA to BIRMINGHAM, AL. IAPD ↗
48
WHITE PINE CAPITAL LLC — moved its main office from GOLDEN VALLEY, MN to BLOOMINGTON, MN. IAPD ↗
48
IMA ADVISORY SERVICES, INC. — moved its main office from WICHITA, KS to DENVER, CO. IAPD ↗
48
ROBINSON SMITH WEALTH ADVISORS, LLC — moved its main office from PORTLAND, ME to SOUTH PORTLAND, ME. IAPD ↗
48
MINNEAPOLIS PORTFOLIO MANAGEMENT GROUP, LLC — moved its main office from MINNEAPOLIS, MN to WAYZATA, MN. IAPD ↗
48
REGIS METRO ASSOCIATES, INC. — moved its main office from LOS ANGELES, CA to SAN FRANCISCO, CA. IAPD ↗
48
AUOUR INVESTMENTS LLC — moved its main office from WENHAM, MA to WOBURN, MA. IAPD ↗
48
CATALYST PRIVATE WEALTH, LLC — moved its main office from SAN FRANCISCO, CA to SAN MATEO, CA. IAPD ↗
48
BR CAPITAL — moved its main office from MIAMI, FL to CORAL GABLES, FL. IAPD ↗
48
MURPHY WEALTH MANAGEMENT GROUP — notice-filed in GA, MA, NH, SC. IAPD ↗
48
FORTRESS PRIVATE LEDGER, LLC — notice-filed in DC, GA, NV, TN. IAPD ↗
48
DISCIPLINE WEALTH SOLUTIONS, INC. — notice-filed in CA, MI, MN, VA. IAPD ↗
48
INTEGRITY WEALTH LLC — notice-filed in CA, NM, TX, WA. IAPD ↗
47
WATERS, PARKERSON & CO., LLC — notice-filed in SC. IAPD ↗
47
HOLLENCREST CAPITAL MANAGEMENT — notice-filed in WA. IAPD ↗
47
FINANCIAL SYNERGIES — notice-filed in CT. IAPD ↗
47
EVERHART ADVISORS — notice-filed in OR. IAPD ↗
47
LITMAN GREGORY WEALTH MANAGEMENT, LLC — notice-filed in KS. IAPD ↗
47
TANGLEWOOD TOTAL WEALTH MANAGEMENT, INC. — notice-filed in AR. IAPD ↗
47
PLANNING ALTERNATIVES LTD — notice-filed in AZ. IAPD ↗
47
WESTCHESTER CAPITAL MANAGEMENT INC — notice-filed in CO, MO. IAPD ↗
47
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP — notice-filed in NH. IAPD ↗
47
MISSION WEALTH MANAGEMENT, LP — notice-filed in OK. IAPD ↗
47
JSF FINANCIAL, LLC — notice-filed in GA. IAPD ↗
47
THE PLANNING CENTER, INC. — notice-filed in VA. IAPD ↗
47
ABSOLUTE CAPITAL MANAGEMENT, LLC — notice-filed in MS, WI. IAPD ↗
47
WEALTHSTREAM ADVISORS, INC. — notice-filed in MI. IAPD ↗
47
CERTUITY, LLC — notice-filed in MD. IAPD ↗
47
SMITH ANGLIN FINANCIAL, LLC — notice-filed in AK. IAPD ↗
47
SGL INVESTMENT ADVISORS, INC. — notice-filed in CO, CT. IAPD ↗
47
FORT POINT CAPITAL PARTNERS LLC — notice-filed in PA. IAPD ↗
47
ROCKY MOUNTAIN ADVISERS, LLC — notice-filed in NE. IAPD ↗
47
TELOS CAPITAL MANAGEMENT, INC. — notice-filed in VA. IAPD ↗
47
PROSPERITY CAPITAL ADVISORS — notice-filed in KS. IAPD ↗
47
FIELDER CAPITAL GROUP LLC — notice-filed in NC, NJ. IAPD ↗
47
ALPHA CUBED INVESTMENTS, LLC — notice-filed in TN. IAPD ↗
47
MUTUAL ADVISORS, LLC — notice-filed in RI. IAPD ↗
47
GYL FINANCIAL SYNERGIES, LLC — notice-filed in TN. IAPD ↗
47
NIA IMPACT CAPITAL — notice-filed in ID, LA. IAPD ↗
47
STEPHENS GROUP ASSET MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
47
TRIVIUM POINT ADVISORY, LLC — notice-filed in GA, TN. IAPD ↗
47
ALTA WEALTH ADVISORS LLC — notice-filed in CO, ME. IAPD ↗
47
BISON ADVISORS — notice-filed in MA. IAPD ↗
47
AUSTIN PRIVATE WEALTH, LLC — notice-filed in ID. IAPD ↗
47
MADISON PARTNERS — notice-filed in ID, NV. IAPD ↗
47
JOURNEY STRATEGIC WEALTH LLC — notice-filed in OH. IAPD ↗
47
MORAN WEALTH MANAGEMENT, LLC — notice-filed in NE. IAPD ↗
46
PHYSICIAN WEALTH SOLUTIONS — notice-filed in CA, MA, MD. IAPD ↗
46
VICTRIX INVESTMENT ADVISORS — notice-filed in CA, CO, NY. IAPD ↗
46
MARIDEA WEALTH MANAGEMENT — notice-filed in LA, NE, WV. IAPD ↗
46
TREASURY INTERACTIVE INVESTMENT ADVISERS LLC — notice-filed in DE, RI, WY. IAPD ↗
46
WEALTHPOINT ADVISORS — notice-filed in FL, PA, SC. IAPD ↗
45
BENJAMIN SECURITIES, INC. — moved its main office from PENSACOLA, FL to ALBANY, NY. IAPD ↗
45
PRING TURNER — moved its main office from WALNUT CREEK, CA to ALAMO, CA. IAPD ↗
45
WILLIAMS FINANCIAL, LLC — moved its main office from BENNINGTON, VT to NORTH BENNINGTON, VT. IAPD ↗
45
VANNOY ADVISORY GROUP, INC. — moved its main office from ROUND ROCK, TX to AUSTIN, TX. IAPD ↗
45
BAKER & YOEST INVESTMENT ADVISERS, INC. — moved its main office from NORTHFIELD, IL to DEERFIELD, IL. IAPD ↗
45
KEYSTONE GLOBAL PARTNERS LLC — moved its main office from NEW YORK, NY to DENVER, CO. IAPD ↗
45
BOARDWALK FINANCIAL STRATEGIES LLC — moved its main office from DELAFIELD, WI to HARTLAND, WI. IAPD ↗
45
NEWBRIDGE WEALTH MANAGEMENT — moved its main office from BERWYN, PA to BRYN MAWR, PA. IAPD ↗
45
FIT WEALTH MANAGEMENT — moved its main office from ENGLEWOOD, CO to CENTENNIAL, CO. IAPD ↗
45
CAPSTONE WEALTH MANAGEMENT GROUP, LLC — moved its main office from CLARKS GREEN, PA to DUNMORE, PA. IAPD ↗
45
SMITH & WYATT — moved its main office from BRYAN, TX to COLLEGE STATION, TX. IAPD ↗
45
INVICTA ADVISORS LLC — moved its main office from MONROEVILLE, PA to OAKMONT, PA. IAPD ↗
45
INTEGRITY FINANCIAL ADVISORS, LLC — moved its main office from WENHAM, MA to WOBURN, MA. IAPD ↗
45
REGENTS PARTNERS, LLC — moved its main office from SALT LAKE CITY, UT to SAN JUAN, PR. IAPD ↗
45
KORZO FINANCIAL LLC — moved its main office from PALO ALTO, CA to SAN FRANCISCO, CA. IAPD ↗
45
INVESTING ONLINE LLC — moved its main office from SANTA MONICA, CA to LOS ANGELES, CA. IAPD ↗
45
MKT AND ASSOCIATES LLC — moved its main office from FEDERAL WAY, WA to TACOMA, WA. IAPD ↗
45
TRUEHAVEN CAPITAL — moved its main office from ST PETERSBURG, FL to BRADENTON, FL. IAPD ↗
45
FINANCIAL SERVICES ADVISORY — notice-filed in GA. IAPD ↗
45
BRAND ASSET MANAGEMENT GROUP, INC. — notice-filed in AZ. IAPD ↗
45
ROOF EIDAM MAYCOCK PERALTA LLC — notice-filed in LA. IAPD ↗
45
VERUS FINANCIAL PARTNERS — notice-filed in WA. IAPD ↗
45
DROMS STRAUSS WEALTH MANAGEMENT — notice-filed in GA. IAPD ↗
45
AVISEN ADVISORS, LLC — notice-filed in TX. IAPD ↗
45
FINANCIAL SECURITY MANAGEMENT, INC — notice-filed in KS. IAPD ↗
45
CAMBRIDGE FINANCIAL GROUP, LLC — notice-filed in TX. IAPD ↗
45
DICKMEYER BOYCE FINANCIAL MANAGEMENT, INC — notice-filed in TX. IAPD ↗
45
COLTON GROOME FINANCIAL ADVISORS, LLC — notice-filed in VA. IAPD ↗
45
WATTS GWILLIAM & COMPANY, LLC — notice-filed in PA. IAPD ↗
45
EAGLECLAW CAPITAL MANAGEMENT LLC — notice-filed in GA. IAPD ↗
45
TRADEWINDS CAPITAL MANAGEMENT, LLC — notice-filed in NC. IAPD ↗
45
CAPITAL WEALTH MANAGEMENT, LLC — notice-filed in CA. IAPD ↗
45
PACIFIC CAPITAL — notice-filed in LA. IAPD ↗
45
FINANCIAL PLANNING SOLUTIONS, LLC — notice-filed in FL. IAPD ↗
45
OCCIDENTAL ASSET MANAGEMENT, LLC — notice-filed in WI. IAPD ↗
45
SANCHEZ WEALTH MANAGEMENT GROUP, LLC — notice-filed in OR. IAPD ↗
45
BIRCHWOOD FINANCIAL PARTNERS, INC. — notice-filed in IA. IAPD ↗
45
LAZARI CAPITAL MANAGEMENT, INC. — notice-filed in CT. IAPD ↗
45
BLUE WATER ASSET MANAGEMENT — notice-filed in TN. IAPD ↗
45
EQUITA FINANCIAL NETWORK, INC. — notice-filed in CT. IAPD ↗
45
STERLING INVESTMENT COUNSEL, LLC — notice-filed in CT. IAPD ↗
45
LEXAURUM ADVISORS — notice-filed in CO. IAPD ↗
45
SPG ADVISORS LLC — notice-filed in CO. IAPD ↗
45
FINANCIAL STRATEGIES GROUP, INC — notice-filed in AZ. IAPD ↗
45
FAMILYWEALTH — notice-filed in AR. IAPD ↗
45
ELLSWORTH ADVISORS, LLC — notice-filed in GA. IAPD ↗
45
ASPIRE CAPITAL ADVISORS LLC — notice-filed in UT. IAPD ↗
45
MAYFAIR ADVISORY GROUP, LLC — notice-filed in TN. IAPD ↗
45
ALAETHES WEALTH, LLC — notice-filed in NH. IAPD ↗
45
FORTRESS WEALTH GROUP — notice-filed in TN. IAPD ↗
45
TACTIVE ADVISORS, LLC — notice-filed in WI. IAPD ↗
45
ATLANTIC PRIVATE WEALTH, LLC — notice-filed in FL. IAPD ↗
45
WEST MICHIGAN ADVISORS, LLC — notice-filed in WI. IAPD ↗
45
APOLLON FINANCIAL, LLC — notice-filed in PA. IAPD ↗
45
NOBLE WEALTH MANAGEMENT P.B.C. — notice-filed in UT. IAPD ↗
45
UPTICK PARTNERS, LLC — notice-filed in FL. IAPD ↗
45
GUILBAULT CAPITAL — notice-filed in TX. IAPD ↗
45
PANORAMIC CAPITAL PARTNERS LLC — notice-filed in MT. IAPD ↗
44
CLOSED-END FUND ADVISORS — notice-filed in GA, LA. IAPD ↗
44
MBIA CAPITAL ADVISORS — notice-filed in IN, TX. IAPD ↗
44
DESERT ROSE CAPITAL MANAGEMENT, INC. — notice-filed in GA, NM. IAPD ↗
44
HENDERSHOTT WEALTH MANAGEMENT, LLC — notice-filed in GA, OR. IAPD ↗
44
IAMS WEALTH MANAGEMENT, LLC — notice-filed in LA, NY. IAPD ↗
44
SUCCESS WEALTH MANAGEMENT LLC — notice-filed in KY, TN. IAPD ↗
44
ARK WEALTH MANAGEMENT — notice-filed in CA, FL. IAPD ↗
44
SPARTA WEALTH PARTNERS — notice-filed in AZ, CA. IAPD ↗
44
MISSION HILLS FINANCIAL ADVISORY LLC — notice-filed in NE, TX. IAPD ↗
44
MKT AND ASSOCIATES LLC — notice-filed in FL, WI. IAPD ↗
44
BINGHAM PRIVATE WEALTH, LLC — notice-filed in NE, TX. IAPD ↗
44
A&M PRIVATE WEALTH PARTNERS, LLC — notice-filed in GA, NY. IAPD ↗
42
WESBANCO SECURITIES, INC. — notice-filed in CO. IAPD ↗
42
NETWORTH ASSET MANAGEMENT, INC — notice-filed in NJ. IAPD ↗
42
MOS CAPITAL, INC. — notice-filed in GA. IAPD ↗
42
CALLAHAN CAPITAL MANAGEMENT — notice-filed in LA. IAPD ↗
42
THE FOUNDRY FINANCIAL GROUP, INC. — notice-filed in FL. IAPD ↗
42
STOLZ & ASSOCIATES, PS — notice-filed in CA. IAPD ↗
42
INDEPENDENT WEALTH MANAGEMENT, LLC — notice-filed in TX. IAPD ↗
42
DRAWBRIDGE CAPITAL — notice-filed in LA. IAPD ↗
42
DAVIES FINANCIAL ADVISORS, INC. — notice-filed in NE. IAPD ↗
42
INTEGRATED WEALTH MANAGEMENT, INC. — notice-filed in FL. IAPD ↗
42
INSIGHT FINANCIAL SERVICES — notice-filed in OK. IAPD ↗
42
FAMILYWEALTH ASSET MANAGEMENT — notice-filed in AR. IAPD ↗
42
LANDMARK WEALTH ADVISORS, LLC — notice-filed in NH. IAPD ↗
42
BRIGHT WEALTH MANAGEMENT, LLC — notice-filed in VA. IAPD ↗
42
MONSON WEALTH MANAGEMENT, INC. — notice-filed in ID. IAPD ↗
42
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
42
SIMMONS CAPITAL GROUP — notice-filed in NJ. IAPD ↗
42
Q3 ADVISORS, LLC — notice-filed in OK. IAPD ↗
42
RIDGELINE WEALTH ADVISORS, LLC. — notice-filed in TN. IAPD ↗
42
BLACKTOWER FINANCIAL MANAGEMENT (US) LLC — notice-filed in IN. IAPD ↗
42
WILDES FINANCIAL STRATEGIES, INC — notice-filed in GA. IAPD ↗
42
MINDFUL WEALTH LLC — notice-filed in LA. IAPD ↗
42
BOURKE WEALTH MANAGEMENT — notice-filed in MD. IAPD ↗
42
CAPITAL DESIGN PRIVATE WEALTH LLC — notice-filed in SC. IAPD ↗
42
ECIO, INC. — notice-filed in PA. IAPD ↗
42
RIDGELINE WEALTH PLANNING LLC — notice-filed in KY. IAPD ↗
42
WINTER & ASSOCIATES, INC. — notice-filed in NE. IAPD ↗
42
ABICH FINANCIAL WEALTH MANAGEMENT, LLC — notice-filed in TN. IAPD ↗
42
PROSPERITY ADVISORY GROUP LLC — notice-filed in TX. IAPD ↗
42
BULMAN WEALTH GROUP — notice-filed in ID. IAPD ↗
42
THEPARTNERS WEALTH MANAGEMENT — notice-filed in CO. IAPD ↗
42
EARNED WEALTH — notice-filed in PA. IAPD ↗
42
RETIREMENT WEALTH SOLUTIONS LLC — notice-filed in NH. IAPD ↗
42
THE CLIFFORD GROUP LLC — notice-filed in FL. IAPD ↗
42
BIG SKY WEALTH ADVISORS, LLC — notice-filed in TX. IAPD ↗
42
VIRTUS FINANCIAL PARTNERS — notice-filed in AR. IAPD ↗
42
MEMBERS WEALTH LLC — notice-filed in TX. IAPD ↗
42
ATFS ADVISERS — notice-filed in VA. IAPD ↗
42
ROSSBY FINANCIAL, LLC — notice-filed in NH. IAPD ↗
42
COUNTERWEIGHT PRIVATE WEALTH — notice-filed in FL. IAPD ↗
42
STONEPATH WEALTH MANAGEMENT — notice-filed in TN. IAPD ↗
42
SLO MONEY MANAGERS — notice-filed in LA. IAPD ↗
42
HAMPTON ROCK WEALTH MANAGEMENT — notice-filed in CO. IAPD ↗
42
LEGACY CAPITAL — notice-filed in CO. IAPD ↗
42
MARTINSEN WEALTH MANAGEMENT — notice-filed in TX. IAPD ↗
30
CFM ADVISORS INC — changed its website from ccg1800.com to cfmadvisorsinc.com. IAPD ↗
30
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS — changed its website from atlwm.com to billsydor.com. IAPD ↗
30
BISON ADVISORS — changed its website from thehollowaypartnership.com to armisadvisers.com. IAPD ↗
30
CW ADVISORS, LLC — changed its website from congresswealth.com to cwadvisorsgroup.com. IAPD ↗
30
NFJ INVESTMENT GROUP, LLC — changed its website from nfjinv.com to virtus.com. IAPD ↗
30
MODERN WEALTH MANAGEMENT, LLC — changed its website from modwm.com to midwestfinancial.us. IAPD ↗
28
COMPASS CAPITAL CORPORATION — changed its website from compasscapital.co to compassfinancialservicesgroup.com. IAPD ↗
28
SAGE CAPITAL ADVISORS, LLC — changed its website from retirementpowerplay.buzzsprout.com to sage-cap.com. IAPD ↗
28
BLUEPOINTE CAPITAL MANAGEMENT, LLC — changed its website from bluepointecapital.com to bluepointeventures.com. IAPD ↗
28
MKD WEALTH — changed its website from mkdwealthcoach.com to mkdwealth.com. IAPD ↗
28
MASCOMA WEALTH MANAGEMENT — changed its website from mascomabank.com to mascoma.bank. IAPD ↗
28
NIA IMPACT CAPITAL — changed its website from niaimpactcapital.com to niaimpactadvisors.com. IAPD ↗
28
ELLSWORTH ADVISORS, LLC — changed its website from login.orionadvisor.com to advisorclient.com. IAPD ↗
25
CLOSED-END FUND ADVISORS — changed its website from cefuniverse.com to cefadvisors.com. IAPD ↗
25
TRICAPITAL WEALTH MANAGEMENT, INC. — changed its website from tricapitalwealthmanagement.com to tricapitaladviosr.com. IAPD ↗
25
VIA IV INVESTMENTS, LLC — changed its website from viaiv.com to thehollandportfolios.com. IAPD ↗
25
LIFE PLANNING ADVISORS LLC — changed its website from sierrawg.com to lifeplanningadvisors.com. IAPD ↗
25
724 CAPITAL, LLC — changed its website from cigfinancialservices.com to 724cap.com. IAPD ↗
25
WEALTH MORE ENTERPRISE, INC. — changed its website from getwealthmore.com to hellowealthmore.com. IAPD ↗
85
CARVAL CLO MANAGEMENT LLC — (MINNEAPOLIS, MN) is newly SEC-registered with $4.92B RAUM and 1 advisory reps. IAPD ↗fund
85
CALPA ADVISORS LLC — (KIRKLAND, WA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
TWO SIGMA REAL ESTATE, LP — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗institutional
85
MAG ADVISORS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
MISSION INVESTMENT ADVISORS LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
BAYPOINTE PARTNERS, LLC — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
ACCEL MANAGEMENT CO. L.L.C — (PALO ALTO, CA) is newly SEC-registered with $29.94B RAUM and 44 advisory reps. IAPD ↗fund
85
GUGGENHEIM PRIVATE INVESTMENTS, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗institutional
85
INFINITY CREDIT ADVISORY, LLC — (ATLANTA, GA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
FPLF MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗institutional
85
NIOBRARA CAPITAL PARTNERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
CARO INVESTORS — (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
FUNDSTRAT CAPITAL — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
TEMA ETFS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
CREDIT BRIDGE ADVISORS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
AVATHON CAPITAL MANAGEMENT LP — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
85
HAUSSMANN 1864 CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
FIN FINANCIAL LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
FIRST TRYON ADVISORS — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
VARIADIC LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
85
AXXES ADVISORS I LLC — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
10X CAPITAL PARTNERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
SCI CAPITAL PARTNERS LP — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
85
LORD ABBETT PRIVATE CREDIT ADVISOR LLC — (JERSEY CITY, NJ) is newly SEC-registered with $0 RAUM and 264 advisory reps. IAPD ↗institutional
85
THIRD POINT PRIVATE CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 41 advisory reps. IAPD ↗institutional
85
TALOS ASSET MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
BOW RIVER CREDIT ADVISERS, LLC. — (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
MANTEIO SCALABLE TECHNOLOGIES LLC — (JERSEY CITY, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
83
FIO ADVISORS LP — (NEW YORK, NY) is newly SEC-registered with $445.8M RAUM and 3 advisory reps. IAPD ↗fund
83
BLACK DRAGON CAPITAL INVESTMENT MANAGEMENT, INC — (location n/a) is newly SEC-registered with $452.7M RAUM and 12 advisory reps. IAPD ↗fund
83
DYNASTY EQUITY PARTNERS MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $343.6M RAUM and 9 advisory reps. IAPD ↗fund
83
ROSCOMMON ANALYTICS LLC — (NEW YORK, NY) is newly SEC-registered with $753.8M RAUM and 45 advisory reps. IAPD ↗fund
80
LYNWOOD PRICE CAPITAL MANAGEMENT LP — (AUSTIN, TX) is newly SEC-registered with $36.0M RAUM and 2 advisory reps. IAPD ↗fund
80
CHRISTOPHER & CO., LLC — (AUSTIN, TX) is newly SEC-registered with $196.1M RAUM and 3 advisory reps. IAPD ↗fund
80
NORTH SHIELD CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $54.7M RAUM and 4 advisory reps. IAPD ↗fund
80
CORDOBA CAPITAL PARTNERS, LLC — (NEW YORK, NY) is newly SEC-registered with $55.3M RAUM and 6 advisory reps. IAPD ↗fund
80
SOUNDCORE CAPITAL PARTNERS, LP — (NEW YORK, NY) is newly SEC-registered with $187.5M RAUM and 12 advisory reps. IAPD ↗fund
80
GENERAL INNOVATION CAPITAL, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗fund
80
PERRYRIDGE CAPITAL LP — (GREENWICH, CT) is newly SEC-registered with $128.7M RAUM and 3 advisory reps. IAPD ↗fund
80
FIVESPAN PARTNERS, LP — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
80
WHITE ROCK RESOURCES HOLDINGS, LLC — (PLANO, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗fund
80
NINE LEFT CAPITAL LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
80
ALAMOS CAPITAL, LLC — (TUCSON, AZ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗fund
80
LINCOLN ENERGY HOLDINGS LLC — (ENGLEWOOD, CO) is newly SEC-registered with $126.9M RAUM and 7 advisory reps. IAPD ↗fund
80
RUSHMONT CAPITAL MANAGEMENT — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
68
REGENTS GATE CAPITAL LLP — (LONDON, United Kingdom) is newly SEC-registered with $783.1M RAUM and 4 advisory reps. IAPD ↗foreign
68
SCOTT CAPITAL PARTNERS — (LONDON, United Kingdom) is newly SEC-registered with $689.5M RAUM and 6 advisory reps. IAPD ↗foreign
68
NAVI INTL-ADMINISTRADORA E GESTORA DE RECURSOS FINANCEIROS LTDA. — (SAO PAULO, Brazil) is newly SEC-registered with $587.0M RAUM and 4 advisory reps. IAPD ↗foreign
65
NINE MASTS CAPITAL ADVISERS LLC — (HONG KONG, Hong Kong) is newly SEC-registered with $100.0M RAUM and 1 advisory reps. IAPD ↗foreign
65
SARTORIAL WEALTH (USA) INC. — (MISSISSAUGA, ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
ARCHER PORTFOLIO MANAGEMENT INC. — (MONTREAL, QUEBEC, Canada) is newly SEC-registered with $190.4M RAUM and 2 advisory reps. IAPD ↗foreign
65
BRICKWOOD ASSET MANAGEMENT — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗foreign
48
MACQUARIE ASSET MANAGEMENT CREDIT ADVISERS US, LLC — MACQUARIE PRIVATE DEBT ASSET MANAGEMENT, LLC is now doing business as . IAPD ↗institutional
45
THE VARIABLE ANNUITY LIFE INSURANCE COMPANY — 's Item 11 disclosure-reporting entries rose by 2 (42 -> 44). IAPD ↗institutional
45
VEST FINANCIAL LLC — 's Item 11 disclosure-reporting entries rose by 2 (1 -> 3). IAPD ↗institutional
45
FISHER RETIREMENT SOLUTIONS LLC — notice-filed in AK, AL, AR, AZ, CO, CT, DC, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TN, VA, WI, WV, WY. IAPD ↗institutional
43
BMO CAPITAL MARKETS CORP. — 's Item 11 disclosure-reporting entries rose by 3 (31 -> 34). IAPD ↗institutional
43
NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC. — 's Item 11 disclosure-reporting entries rose by 1 (9 -> 10). IAPD ↗institutional
43
41
40
40
40
ADAGE CAPITAL MANAGEMENT, L.P. — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
40
TZP MANAGEMENT ASSOCIATES, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗fund
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 8 (116 -> 124). IAPD ↗institutional
40
FPA REAL ESTATE ADVISERS GROUP, LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗fund
40
SIMPLIFY ASSET MANAGEMENT INC. — moved its main office from NEW YORK, NY to LAS VEGAS, NV. IAPD ↗institutional
40
38
FRONTEGRA ASSET MANAGEMENT INC — moved its main office from NORTHBROOK, IL to WESTMONT, IL. IAPD ↗institutional
37
35
FRONTIER PARTNERS, INC. — moved its main office from NORTHBROOK, IL to WESTMONT, IL. IAPD ↗institutional
35
EAB INVESTMENT GROUP, LLC — moved its main office from PHILADELPHIA, PA to BALA CYNWYD, PA. IAPD ↗institutional
35
GLOBAL BETA ADVISORS — moved its main office from NORTH WALES, PA to WEST CHESTER, PA. IAPD ↗institutional
35
EASTERLY EAB RISK SOLUTIONS LLC — moved its main office from PHILADELPHIA, PA to BALA CYNWYD, PA. IAPD ↗institutional
35
35
34
34
34
33
JADE MOUNTAIN PARTNERS, LLC — moved its main office from NEW YORK, NY to WHITE PLAINS, NY. IAPD ↗fund
32
32
32
32
32
32
32
32
32
30
EXCOLERE EQUITY PARTNERS, LLC — moved its main office from LOS ANGELES, CA to SANTA MONICA, CA. IAPD ↗fund
30
EAAA PTE. LIMITED — EDELWEISS ALTERNATIVE ASSET ADVISORS PTE LIMITED is now doing business as . IAPD ↗foreign
30
30
27
27
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (111 -> 113). IAPD ↗foreign
25
NAVALFA ACTIVOS ALTERNATIVOS — ALVEO WEALTH MANAGEMENT, LLC is now doing business as . IAPD ↗foreign
20
20
VALLEY VIEW CONSULTING LLC — changed its website from valleyviewconsulting.net to valleyviewconsultingllc.com. IAPD ↗institutional
20
20
TPG RE FINANCE TRUST MANAGEMENT, L.P. — changed its website from tpg.com to tpgrefinance.com. IAPD ↗institutional
18
17
15
15
15
1
CALEDONIA (PRIVATE) INVESTMENTS PTY LIMITED — changed its website from caledonia.com.au to caledoniafund.com. IAPD ↗foreign
1
T VENTURES MANAGEMENT CO, LTD. — changed its website from telstraventures.com to ti.vc. 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.