Marketing & brand — July 2025
Websites, brand, content, and lead-gen for advisors (FMG, Snappy Kraken, agencies).
462 firms opened this window in the July 2025 SEC roster: 216 state expansion, 128 new registration, 39 website changed, 37 disclosure added, 26 relocation, 16 rename.
98
AIS PLANNING — (ST. CLOUD, MN) is newly SEC-registered with $485.1M RAUM and 9 advisory reps. IAPD ↗
95
V.M. MANNING & CO., INC. — (GREENVILLE, SC) is newly SEC-registered with $115.5M RAUM and 2 advisory reps. IAPD ↗
95
1ST DISCOUNT BROKERAGE, INC. — (LAKE WORTH, FL) is newly SEC-registered with $108.1M RAUM and 9 advisory reps. IAPD ↗
95
HOROWITZ & COMPANY, INC. — (FORT LAUDERDALE, FL) is newly SEC-registered with $145.4M RAUM and 2 advisory reps. IAPD ↗
95
LITTLEFIELD ASSET MANAGEMENT, INC. — (location n/a) is newly SEC-registered with $124.2M RAUM and 1 advisory reps. IAPD ↗
95
HUTCHINSON FINANCIAL ADVISORS, INC — (GLEN ALLEN, VA) is newly SEC-registered with $120.9M RAUM and 1 advisory reps. IAPD ↗
95
COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC — (location n/a) is newly SEC-registered with $162.6M RAUM and 1 advisory reps. IAPD ↗
95
SPYGLASS INVESTMENT MANAGEMENT — (TERRE HAUTE, IN) is newly SEC-registered with $140.0M RAUM and 3 advisory reps. IAPD ↗
95
PHILADELPHIA INVESTMENT PARTNERS, LLC — (VOORHEES, NJ) is newly SEC-registered with $140.8M RAUM and 3 advisory reps. IAPD ↗
95
CAPITAL FINANCIAL, LLC — (OLNEY, MD) is newly SEC-registered with $140.8M RAUM and 1 advisory reps. IAPD ↗
95
SHEA FINANCIAL ADVISORS — (location n/a) is newly SEC-registered with $116.5M RAUM and 2 advisory reps. IAPD ↗
95
LORETTA NOLAN ASSOCIATES, LLC — (OLD GREENWICH, CT) is newly SEC-registered with $121.6M RAUM and 1 advisory reps. IAPD ↗
95
STAWNYCHY FINANCIAL SERVICES, INC. — (KINNELON, NJ) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
95
TC FINANCIAL MANAGEMENT, CO INC. — (MARGATE CITY, NJ) is newly SEC-registered with $123.6M RAUM and 2 advisory reps. IAPD ↗
95
CORNERSTONE FINANCIAL GROUP,LLC — (OMAHA, NE) is newly SEC-registered with $247.0M RAUM and 5 advisory reps. IAPD ↗
95
MCCORMACK FINANCIAL PLANNING INC. — (ATLANTA, GA) is newly SEC-registered with $103.0M RAUM and 3 advisory reps. IAPD ↗
95
CORNERSTONE SECURITIES LLC — (OVERLAND PARK, KS) is newly SEC-registered with $175.0M RAUM and 10 advisory reps. IAPD ↗
95
POULOS ADVISORS, INC. — (SOUTH BURLINGTON, VT) is newly SEC-registered with $133.3M RAUM and 2 advisory reps. IAPD ↗
95
DOUGHERTY INVESTMENT ADVISORS — (SPRING HILL, FL) is newly SEC-registered with $113.9M RAUM and 4 advisory reps. IAPD ↗
95
WISCONSIN WEALTH ADVISORS, LLC — (SUN PRAIRIE, WI) is newly SEC-registered with $114.2M RAUM and 3 advisory reps. IAPD ↗
95
NATURAL BRIDGES FINANCIAL ADVISORS — (SANTA CRUZ, CA) is newly SEC-registered with $106.3M RAUM and 2 advisory reps. IAPD ↗
95
DICCIANNI FINANCIAL GROUP, INC. — (EAST NORRITON, PA) is newly SEC-registered with $111.2M RAUM and 2 advisory reps. IAPD ↗
95
ST. CLAIR FINANCIAL — (ROSEVILLE, CA) is newly SEC-registered with $118.5M RAUM and 1 advisory reps. IAPD ↗
95
LANSDOWNE WEALTH MANAGEMENT, LLC — (MYSTIC, CT) is newly SEC-registered with $214.1M RAUM and 6 advisory reps. IAPD ↗
95
CORE WEALTH ADVISORS — (INDIANAPOLIS, IN) is newly SEC-registered with $124.6M RAUM and 3 advisory reps. IAPD ↗
95
LIBERTAS WEALTH MANAGEMENT GROUP, INC. — (COLUMBUS, OH) is newly SEC-registered with $123.9M RAUM and 1 advisory reps. IAPD ↗
95
WALLICK INVESTMENTS, LLC — (COLUMBIA, SC) is newly SEC-registered with $112.4M RAUM and 2 advisory reps. IAPD ↗
95
MCDONNELL CAPITAL MANAGEMENT — (FRANKFORT, IL) is newly SEC-registered with $132.7M RAUM and 2 advisory reps. IAPD ↗
95
CARDINAL RETIREMENT PLANNING, INC. — (location n/a) is newly SEC-registered with $111.0M RAUM and 3 advisory reps. IAPD ↗
95
SUSTAINVEST ASSET MANAGEMENT, LLC — (LINWOOD, NJ) is newly SEC-registered with $114.0M RAUM and 1 advisory reps. IAPD ↗
95
VISION FINANCIAL MANAGEMENT, LLC — (CUYAHOGA FALLS, OH) is newly SEC-registered with $120.0M RAUM and 2 advisory reps. IAPD ↗
95
LEWIS FINANCIAL, LLC — (SAN LUIS OBISPO, CA) is newly SEC-registered with $108.1M RAUM and 3 advisory reps. IAPD ↗
95
KERR WEALTH MANAGEMENT — (FRESNO, CA) is newly SEC-registered with $110.1M RAUM and 4 advisory reps. IAPD ↗
95
HARRIS CONSULTING — (ROSWELL, GA) is newly SEC-registered with $117.4M RAUM and 2 advisory reps. IAPD ↗
95
DELTA ACCUMULATION, LLC — (SAUSALITO, CA) is newly SEC-registered with $210.0M RAUM and 3 advisory reps. IAPD ↗
95
CIRRUS CAPITAL LLC — (BIRMINGHAM, MI) is newly SEC-registered with $124.3M RAUM and 3 advisory reps. IAPD ↗
95
PROCORE ADVISORS, LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $110.9M RAUM and 5 advisory reps. IAPD ↗
95
COLLECTIVE WEALTH ADVISORS LLC — (COPPELL, TX) is newly SEC-registered with $139.8M RAUM and 5 advisory reps. IAPD ↗
95
MORRISSEY WEALTH MANAGEMENT LLC — (NORTH HAVEN, CT) is newly SEC-registered with $135.6M RAUM and 2 advisory reps. IAPD ↗
95
BOLDIN ADVISORS — (MILL VALLEY, CA) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗
95
GREEN & DECKERT LLC — (LUBBOCK, TX) is newly SEC-registered with $113.0M RAUM and 2 advisory reps. IAPD ↗
95
BLUE POINT FINANCIAL, INC. — (SCARBOROUGH, ME) is newly SEC-registered with $113.3M RAUM and 2 advisory reps. IAPD ↗
95
FOUNDRY FINANCIAL LLC — (LOS ANGELES, CA) is newly SEC-registered with $104.7M RAUM and 3 advisory reps. IAPD ↗
95
SAGE WEALTH PLANNING — (GEORGETOWN, TX) is newly SEC-registered with $113.7M RAUM and 2 advisory reps. IAPD ↗
95
TAMALPAIS ASSET MANAGEMENT — (LARKSPUR, CA) is newly SEC-registered with $209.5M RAUM and 5 advisory reps. IAPD ↗
95
GOLDFARB FINANCIAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $119.7M RAUM and 1 advisory reps. IAPD ↗
95
ILLUMINATE WEALTH MANAGEMENT — (BARRINGTON, IL) is newly SEC-registered with $120.1M RAUM and 1 advisory reps. IAPD ↗
95
ALLIANCE PRIVATE WEALTH, LLC — (NORTH READING, MA) is newly SEC-registered with $102.3M RAUM and 3 advisory reps. IAPD ↗
95
TRIPLETAIL WEALTH MANAGEMENT — (ORLANDO, FL) is newly SEC-registered with $109.8M RAUM and 3 advisory reps. IAPD ↗
95
FOG CITY ADVISORS, LLC — (ALBANY, CA) is newly SEC-registered with $122.6M RAUM and 2 advisory reps. IAPD ↗
95
THE ZILLENNIAL ADVISORS — (location n/a) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗
95
BLUESTONE PRIVATE WEALTH, LLC — (location n/a) is newly SEC-registered with $147.9M RAUM and 2 advisory reps. IAPD ↗
95
PONTA WEALTH PARTNERS, LLC — (WINTER PARK, FL) is newly SEC-registered with $102.2M RAUM and 1 advisory reps. IAPD ↗
95
ABUNDANT WEALTH MANAGEMENT LLC — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MOR WEALTH MANAGEMENT, LLC — (PHILADELPHIA, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BQS FINANCIAL ADVISORS, LLC — (NEW YORK, NY) is newly SEC-registered with $108.0M RAUM and 1 advisory reps. IAPD ↗
95
ELKWATER CAPITAL — (NEW YORK, NY) is newly SEC-registered with $32.9M RAUM and 1 advisory reps. IAPD ↗
95
RARE WOLF CAPITAL LLC — (BELLEVUE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
A & L PERSONAL BUSINESS MANAGEMENT, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BEACON ADVISORS — (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
COPPERLINE WEALTH MANAGEMENT & PLANNING, LLC — (CODY, WY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
TICINO WEALTH — (MISSION VIEJO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
GRACE ADVISORS LLC — (WILMINGTON, DE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
BZ WEALTH ADVISORS, LLC — (LITTLETON, CO) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
LEGEND CAPITAL — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
QUANT ALPHA LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ASSET ONE WEALTH MANAGEMENT, LLC — (BELLEVUE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
JUNO FINANCIAL GROUP LLC — (RICHMOND, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
SUCCESSION FINANCIAL, INC — (MCKINNEY, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BORABOND, LLC — (FRAMINGHAM, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
GEMINI PORTFOLIO MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PW ADVISORS — (TALLAHASSEE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
PINCUS CAPITAL MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
RBS WEALTH MANAGEMENT — (ALTO, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MERITIS WEALTH MANAGEMENT, INC. — (POTOMAC, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MAXQ ASSET MANAGEMENT LLC — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PEARL PLANNING — (DEXTER, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
PARK STATE ASSET MANAGEMENT LLC — (BEVERLY, MA) is newly SEC-registered with $206.6M RAUM and 3 advisory reps. IAPD ↗
95
ODYSSEY GROUP WEALTH ADVISORS — (LANCASTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SPIEGELMAN WEALTH MANAGEMENT LLC — (WALNUT CREEK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MILESTONE FINANCIAL ASSOCIATES, LLC — (MACUNGIE, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
FINANCIAL JUSTUS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TORREY-PAYNE WEALTH MANAGEMENT — (PASADENA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CHARMARLINE WEALTH MANAGEMENT — (LYNCHBURG, VA) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
95
NAPIER FINANCIAL — (BRAINTREE, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
SHERPA CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
HERITAGE GROVE WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $110.5M RAUM and 1 advisory reps. IAPD ↗
95
INNOVATIVE ASSET ADVISORS GROUP — (SHELTON, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SPREADWISE LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SUMMITPOINT CAPITAL MANAGEMENT — (LITTLETON, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BLUESTAR WEALTH MANAGEMENT — (LAKE MARY, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ROSCI LAMB, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
60
SENTINEL PENSION ADVISORS, LLC. — SENTINEL PENSION ADVISORS INC is now doing business as . IAPD ↗
60
GREAT VALLEY ADVISOR GROUP, LLC — GREAT VALLEY ADVISOR GROUP, INC. is now doing business as . IAPD ↗
60
FOSTER VICTOR — WEALTH ADVISORS is now doing business as FOSTER VICTOR. IAPD ↗
60
BRYN MAWR TRUST ADVISORS, LLC — BRYN MAWR CAPITAL MANAGEMENT, LLC is now doing business as . IAPD ↗
60
ALTHUM ADVISORS LLC — LXG WEALTH ADVISORY LLC is now doing business as . IAPD ↗
55
STIFEL, NICOLAUS & COMPANY, INCORPORATED — 's Item 11 disclosure-reporting entries rose by 1 (158 -> 159). IAPD ↗
55
WEDBUSH SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 1 (106 -> 107). IAPD ↗
55
CITIGROUP GLOBAL MARKETS INC. — 's Item 11 disclosure-reporting entries rose by 1 (171 -> 172). IAPD ↗
55
WELLS FARGO ADVISORS — 's Item 11 disclosure-reporting entries rose by 1 (643 -> 644). IAPD ↗
55
RBC CAPITAL MARKETS, LLC — 's Item 11 disclosure-reporting entries rose by 1 (223 -> 224). IAPD ↗
55
SILVER OAK SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 1 (6 -> 7). IAPD ↗
55
SANFORD C. BERNSTEIN & CO., LLC — 's Item 11 disclosure-reporting entries rose by 1 (27 -> 28). IAPD ↗
55
DWS INVESTMENT MANAGEMENT AMERICAS, INC. — 's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗
55
JOHN HANCOCK INVESTMENT MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (14 -> 15). IAPD ↗
55
RREEF AMERICA L.L.C. — 's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗
55
KOSS-OLINGER CONSULTING, LLC. — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
55
ARAX ADVISORY PARTNERS — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
55
GFS ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (3 -> 5). IAPD ↗
55
BTG PACTUAL ASSET MANAGEMENT US , LLC — 's Item 11 disclosure-reporting entries rose by 1 (1 -> 2). IAPD ↗
55
WE FINANCIAL GROUP — OUI FINANCIAL is now doing business as . IAPD ↗
55
CENTERFIN CAPITAL — CENTERFIN is now doing business as . IAPD ↗
55
CENTRICA WEALTH MANAGEMENT — ACTIVA FINANCIAL is now doing business as . IAPD ↗
55
SIMON QUICK ADVISORS, LLC — notice-filed in AZ, NV, OR, WA, WI. IAPD ↗
55
FOCUSED WEALTH MANAGEMENT, INC. — notice-filed in DE, MO, NE, NH, TN. IAPD ↗
55
ASSUREDPARTNERS INVESTMENT ADVISORS — notice-filed in AR, DC, ND, NH, NM, OK, RI, SD, VT. IAPD ↗
55
IMPACT PARTNERSHIP WEALTH, LLC — notice-filed in ID, MS, MT, NH, RI, SD, VT, WI. IAPD ↗
53
AB CUSTOM ALTERNATIVE SOLUTIONS LLC — 's Item 11 disclosure-reporting entries rose by 1 (10 -> 11). IAPD ↗
53
SECURE ASSET MANAGEMENT, L.L.C. — 's Item 11 disclosure-reporting entries rose by 1 (3 -> 4). IAPD ↗
53
TACTIVE ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 5 (0 -> 5). IAPD ↗
53
NINETY ONE NORTH AMERICA, INC. — notice-filed in IN, MN, MS, NE. IAPD ↗
53
ARC ADVISORY LLC — notice-filed in AZ, CO, CT, DC, FL, GA, IA, IL, KS, MA, MD, ME, MI, MN, MO, NC, NE, NH, NJ, NV, OH, OR, PA, PR, TN, TX, UT, VA, WA, WY. IAPD ↗
53
INDIVISIBLE PARTNERS — notice-filed in AL, CA, CO, LA, SC, VA. IAPD ↗
51
HAROLD DAVIDSON & ASSOCIATES INC — notice-filed in AZ, FL, NV, NY. IAPD ↗
51
MONTIS FINANCIAL, LLC — notice-filed in LA, MI, OH. IAPD ↗
51
CENTURA WEALTH ADVISORY — notice-filed in GA, ID, NY, OR. IAPD ↗
51
JOURNEY STRATEGIC WEALTH LLC — notice-filed in LA, PA, SD. IAPD ↗
50
HERBERT J. SIMS CAPITAL MANAGEMENT, INC. — 's Item 11 disclosure-reporting entries rose by 1 (5 -> 6). IAPD ↗
50
PACIFIC COAST INVESTMENT ADVISORS, LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗
50
CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT, LLC — 's Item 11 disclosure-reporting entries rose by 1 (0 -> 1). IAPD ↗
50
GLOBAL PREDICTIONS INC — 's Item 11 disclosure-reporting entries rose by 4 (0 -> 4). IAPD ↗
50
THE PACIFIC FINANCIAL GROUP, INC. — moved its main office from BELLEVUE, WA to NASHVILLE, TN. IAPD ↗
50
CEREDEX VALUE ADVISORS LLC — moved its main office from ORLANDO, FL to WINTER PARK, FL. IAPD ↗
50
FOCUS PARTNERS WEALTH, LLC — moved its main office from BOSTON, MA to ST. LOUIS, MO. IAPD ↗
50
SANDERS & SCOTT, CHFC — notice-filed in AL, FL, LA, SC, TX. IAPD ↗
50
CABIN ADVISORS, LLC — notice-filed in AK, AR, AZ, CO, FL, GA, ID, IL, LA, MD, MI, MN, MO, NC, ND, NE, NJ, NM, NY, OR, PA, PR, SC, VA, WA, WY. IAPD ↗
50
MDRN CAPITAL — notice-filed in MT, NM, OR, SC, TN. IAPD ↗
50
WYZE WEALTH ADVISORS, LLC — notice-filed in FL, NC, OH, TX, VA. IAPD ↗
50
W&S ADVISORY SERVICES, LLC — notice-filed in FL, MS, NC, PA, SC, TX, VA. IAPD ↗
50
STEINBERGANNA WEALTH MANAGEMENT LLC — notice-filed in CT, FL, MA, NC, NJ, TX. IAPD ↗
49
PARAGON CAPITAL MANAGEMENT — notice-filed in NE, VA. IAPD ↗
49
KORNITZER CAPITAL MANAGEMENT, INC. — notice-filed in IA, UT. IAPD ↗
49
ANCHOR INVESTMENT MANAGEMENT — notice-filed in CA, LA. IAPD ↗
49
FOUNTAINHEAD ADVISORS — notice-filed in ID, OR. IAPD ↗
49
GOVERNMENT PORTFOLIO ADVISORS LLC — notice-filed in MO, UT. IAPD ↗
49
FORTIS GROUP ADVISORS LLC — notice-filed in IA, SD, TN. IAPD ↗
49
CX INSTITUTIONAL, LLC — notice-filed in NV, UT. IAPD ↗
49
MATTERN WEALTH MANAGEMENT LLC — notice-filed in CT, NY, OK. IAPD ↗
49
BROOKWOOD INVESTMENT GROUP — notice-filed in KS, MO. IAPD ↗
49
SLK PRIVATE WEALTH MANAGEMENT, LLC — notice-filed in NH, VA. IAPD ↗
48
MORGAN DEMPSEY CAPITAL MANAGEMENT LLC — moved its main office from MENOMONEE FALLS, WI to MILWAUKEE, WI. IAPD ↗
48
INVESTMENT ADVISORY GROUP LLC — moved its main office from HANOVER, MA to SARASOTA, FL. IAPD ↗
48
FOUNDERS CAPITAL MANAGEMENT, LLC — moved its main office from EAST HARTFORD, CT to HARTFORD, CT. IAPD ↗
48
M1 CAPITAL MANAGEMENT LLC — moved its main office from BLOOMFIELD HILLS, MI to TROY, MI. IAPD ↗
48
KING WEALTH MANAGEMENT GROUP, LLC — moved its main office from NAPLES, FL to SARATOGA SPRINGS, NY. IAPD ↗
48
UNIQUE WEALTH, LLC — moved its main office from CLEARWATER, FL to TAMPA, FL. IAPD ↗
48
PATHWAYS WEALTH MANAGEMENT, INC. — notice-filed in FL, IN, KY, WV. IAPD ↗
48
BLUE JEAN FINANCIAL LLC — notice-filed in FL, MN, NC, PA. IAPD ↗
47
SEARLE & CO. — notice-filed in AL, TN. IAPD ↗
47
SUNBELT SECURITIES — notice-filed in AK. IAPD ↗
47
TFC FINANCIAL MANAGEMENT INC — notice-filed in NC. IAPD ↗
47
BEDEL FINANCIAL CONSULTING INC — notice-filed in WI. IAPD ↗
47
EAGLE CAPITAL MANAGEMENT LLC — notice-filed in IA. IAPD ↗
47
HUDSON VALLEY INVESTMENT ADVISORS, INC. — notice-filed in WA. IAPD ↗
47
BEESE FULMER PRIVATE WEALTH MANAGEMENT — notice-filed in TN. IAPD ↗
47
NEWSOUTH CAPITAL MANAGEMENT INC — notice-filed in WI. IAPD ↗
47
AMERICAN CAPITAL MANAGEMENT INC — notice-filed in DE. IAPD ↗
47
JSF FINANCIAL, LLC — notice-filed in PA. IAPD ↗
47
CALLAHAN ADVISORS, LLC — notice-filed in CO. IAPD ↗
47
DISCIPLINED INVESTORS, L.L.C. — notice-filed in FL, LA. IAPD ↗
47
GIBRALTAR CAPITAL MANAGEMENT, INC. — notice-filed in FL, LA. IAPD ↗
47
VALEO FINANCIAL ADVISORS, LLC — notice-filed in HI. IAPD ↗
47
APRIO WEALTH MANAGEMENT, LLC — notice-filed in CO. IAPD ↗
47
MJP WEALTH ADVISORS — notice-filed in AZ. IAPD ↗
47
BASSO CAPITAL MANAGEMENT, L.P. — notice-filed in CA. IAPD ↗
47
FREESTONE CAPITAL MANAGEMENT, LLC — notice-filed in KS. IAPD ↗
47
MAINLINE WEST FUND MANAGER LLC — notice-filed in OK. IAPD ↗
47
STRATEGIC WEALTH PARTNERS, LTD. — notice-filed in PR. IAPD ↗
47
STILLWATER CAPITAL ADVISORS, LLC — notice-filed in SC. IAPD ↗
47
ASHTON THOMAS PRIVATE WEALTH — notice-filed in IA. IAPD ↗
47
VERITY ASSET MANAGEMENT — notice-filed in VT. IAPD ↗
47
ISC ADVISORS, INC. — notice-filed in IN. IAPD ↗
47
MBM WEALTH CONSULTANTS, LLC — notice-filed in WA, WI. IAPD ↗
47
BEACON FINANCIAL ADVISORY LLC — notice-filed in KY, UT. IAPD ↗
47
BOSTONPREMIER WEALTH — notice-filed in CA, NJ. IAPD ↗
47
ABOUND WEALTH MANAGEMENT, LLC — notice-filed in KY. IAPD ↗
47
EVERSOURCE WEALTH ADVISORS, LLC — notice-filed in KY. IAPD ↗
47
SLATESTONE WEALTH LLC — notice-filed in PA. IAPD ↗
47
JORDAN PARK GROUP LLC — notice-filed in MA. IAPD ↗
47
CAPITA FINANCIAL NETWORK, LLC — notice-filed in TN. IAPD ↗
47
WESTWOOD WEALTH MANAGEMENT — notice-filed in LA, NV. IAPD ↗
47
LEGACY CAPITAL WEALTH PARTNERS, LLC — notice-filed in MO. IAPD ↗
47
THURSTON SPRINGER ADVISORS — notice-filed in DE. IAPD ↗
47
WEDMONT PRIVATE CAPITAL — notice-filed in WI. IAPD ↗
47
SYNERGY INVESTMENT MANAGEMENT LLC — notice-filed in NH, NY. IAPD ↗
47
TRIAGEN WEALTH MANAGEMENT LLC — notice-filed in NH, NY. IAPD ↗
47
WEALTHPLAN INVESTMENT MANAGEMENT LLC — notice-filed in MT. IAPD ↗
47
MARIPAU WEALTH MANAGEMENT LLC — notice-filed in NC, NH. IAPD ↗
47
GATEWAY WEALTH PARTNERS, LLC — notice-filed in NM. IAPD ↗
47
INTELLUS ADVISORS, LLC — notice-filed in AZ. IAPD ↗
47
BERMAN MCALEER — notice-filed in AZ. IAPD ↗
46
ORCA INVESTMENT MANAGEMENT, LLC — notice-filed in AZ, CO, KY. IAPD ↗
46
DYNAMIC WEALTH ADVISORS — notice-filed in FL, IN, WA. IAPD ↗
46
YOUR FINANCIAL PHARMACIST — notice-filed in KY, NE, NH. IAPD ↗
46
AWH FINANCIAL, LLC — notice-filed in HI, KS, SC. IAPD ↗
46
INTEGRATED PLANNING & WEALTH MANAGEMENT, LLC — notice-filed in CA, HI, PA. IAPD ↗
46
SUNBEAM CAPITAL MANAGEMENT, LLC — notice-filed in LA, NY, TX. IAPD ↗
46
DOMAIN MONEY ADVISORS, LLC — notice-filed in MA, MI, MO. IAPD ↗
46
THE QUICK GROUP LLC — notice-filed in FL, NJ, TX. IAPD ↗
46
PERSIMMON CAPITAL MANAGEMENT — notice-filed in CA, CO, WI. IAPD ↗
45
COPPERLEAF CAPITAL, LLC — moved its main office from RALEIGH, NC to CONCORD, NC. IAPD ↗
45
VALUES FIRST ADVISORS, INC. — moved its main office from GRAY, TN to JOHNSON CITY, TN. IAPD ↗
45
COVE STREET CAPITAL, LLC — moved its main office from EL SEGUNDO, CA to HERMOSA BEACH, CA. IAPD ↗
45
DUTCH ASSET CORPORATION — moved its main office from ALBANY, NY to SELKIRK, NY. IAPD ↗
45
THINKING BIG FINANCIAL — moved its main office from NEW YORK, NY to BROOKLYN, NY. IAPD ↗
45
VERUS FINANCIAL GROUP — moved its main office from HOUSTON, TX to SUGAR LAND, TX. IAPD ↗
45
MAREST CAPITAL, LLC — moved its main office from TARZANA, CA to ENCINO, CA. IAPD ↗
45
TRUEHAVEN CAPITAL — moved its main office from BRADENTON, FL to FRANKLIN, TN. IAPD ↗
45
MESSINA WEALTH MANAGEMENT, LLC — moved its main office from SPRING HILL, FL to DALLAS, TX. IAPD ↗
45
AMERICAN INVESTORS CO — notice-filed in VA. IAPD ↗
45
APC FINANCIAL PLANNING — notice-filed in MA. IAPD ↗
45
WEALTH MANAGEMENT RESOURCES, INC. — notice-filed in ME. IAPD ↗
45
CLARITI WEALTH ADVISORS — notice-filed in SC. IAPD ↗
45
ATLAS CAPITAL MANAGEMENT CORP — notice-filed in AZ. IAPD ↗
45
PARK PLACE CAPITAL CORPORATION — notice-filed in SC. IAPD ↗
45
LINCOLN CAPITAL CORPORATION — notice-filed in NC. IAPD ↗
45
NOESIS CAPITAL MANAGEMENT CORP — notice-filed in KS. IAPD ↗
45
THE CAPITAL MANAGEMENT CORPORATION — notice-filed in GA. IAPD ↗
45
GALLACHER CAPITAL MANAGEMENT, LLC — notice-filed in MN. IAPD ↗
45
FINANCIAL SECURITY MANAGEMENT, INC — notice-filed in MT. IAPD ↗
45
FINANCIAL MANAGEMENT STRATEGIES, INC. — notice-filed in NY. IAPD ↗
45
HIXON ZUERCHER CAPITAL MANAGEMENT — notice-filed in MI. IAPD ↗
45
GRADIENT WEALTH MANAGEMENT — notice-filed in ND. IAPD ↗
45
GOEPPER BURKHARDT LLC — notice-filed in TN. IAPD ↗
45
ETF PORTFOLIO PARTNERS, INC. — notice-filed in NC. IAPD ↗
45
CALIFORNIA CAPITAL MANAGEMENT — notice-filed in NC. IAPD ↗
45
FORUM PRIVATE CLIENT GROUP — notice-filed in MI. IAPD ↗
45
REAP FINANCIAL GROUP, LLC — notice-filed in CO. IAPD ↗
45
PARK, MILLER, LLC — notice-filed in AZ. IAPD ↗
45
LANTERN WEALTH ADVISORS, LLC — notice-filed in VA. IAPD ↗
45
PEDDOCK CAPITAL ADVISORS, LLC — notice-filed in NH. IAPD ↗
45
UNITED FINANCIAL PLANNING GROUP LLC — notice-filed in CT. IAPD ↗
45
MONTE FINANCIAL GROUP, LLC — notice-filed in NJ. IAPD ↗
45
GLOBAL VIEW CAPITAL MANAGEMENT LLC — notice-filed in NJ. IAPD ↗
45
ROTHSCHILD CAPITAL PARTNERS — notice-filed in VA. IAPD ↗
45
FSA INVESTMENT GROUP, LLC — notice-filed in NV. IAPD ↗
45
MOSAIC ADVISORS — notice-filed in NV. IAPD ↗
45
LAKE TAHOE WEALTH MANAGEMENT, INC. — notice-filed in MN. IAPD ↗
45
GEOMETRIC WEALTH ADVISORS, LLC — notice-filed in PA. IAPD ↗
45
ROSE CAPITAL ADVISORS, LLC — notice-filed in CT. IAPD ↗
45
NOVAPOINT CAPITAL LLC — notice-filed in VA. IAPD ↗
45
PROFESSIONAL FINANCIAL ADVISORS, LLC — notice-filed in LA. IAPD ↗
45
LEADING EDGE FINANCIAL PLANNING LLC — notice-filed in MD. IAPD ↗
45
GREAT OAK CAPITAL PARTNERS, LLC — notice-filed in CT. IAPD ↗
45
GIBBS WEALTH MANAGEMENT, LLC — notice-filed in WV. IAPD ↗
45
VERMILLION WEALTH MANAGEMENT INC. — notice-filed in TX. IAPD ↗
45
ISTO ADVISORS, LLC — notice-filed in NY. IAPD ↗
45
OASIS WEALTH PLANNING ADVISORS — notice-filed in SC. IAPD ↗
45
XYPN INVEST — notice-filed in OR. IAPD ↗
45
STRATA WEALTH ADVISORS, LLC — notice-filed in MT. IAPD ↗
45
WHITAKER-MYERS WEALTH MANAGERS, LTD. — notice-filed in OR. IAPD ↗
45
PLAN A WEALTH, LLC — notice-filed in CA. IAPD ↗
45
PCG WEALTH MANAGEMENT — notice-filed in MI. IAPD ↗
45
BROOKLYN FI, LLC — notice-filed in OH. IAPD ↗
45
LAKE STREET — notice-filed in MN. IAPD ↗
45
TRUEWEALTH ADVISORS, LLC — notice-filed in VA. IAPD ↗
45
RANCH CAPITAL ADVISORS INC. — notice-filed in NH. IAPD ↗
45
BROWN | MILLER WEALTH MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
45
GRAYSTONE PARTNERS WEALTH MANAGEMENT, LLC — notice-filed in FL. IAPD ↗
45
626 FINANCIAL, LLC — notice-filed in OR. IAPD ↗
45
SERENITY INVESTMENT ADVISORS — notice-filed in NM. IAPD ↗
45
ADAMSBROWN WEALTH CONSULTANTS LLC — notice-filed in CA. IAPD ↗
45
EDGEROCK WEALTH MANAGEMENT — notice-filed in LA. IAPD ↗
45
ARGONAUTICA PRIVATE WEALTH MANAGEMENT, INC — notice-filed in NC. IAPD ↗
45
PORTFOLIO DESIGN LABS, LLC — notice-filed in KS. IAPD ↗
45
ZENITH WEALTH ADVISORS — notice-filed in CO. IAPD ↗
45
JOYCE WEALTH MANAGEMENT, LLC — notice-filed in GA. IAPD ↗
45
MARIDEA WEALTH MANAGEMENT — notice-filed in IL. IAPD ↗
45
TRIAD WEALTH PARTNERS, LLC — notice-filed in MT. IAPD ↗
45
CURIO WEALTH, LLC — notice-filed in CA. IAPD ↗
45
PITCAIRN WEALTH ADVISORS LLC — notice-filed in FL. IAPD ↗
44
STERLING WEALTH ADVISORS, INC. — notice-filed in NC, TN. IAPD ↗
44
CORE PLANNING — notice-filed in AR, WA. IAPD ↗
44
O'CONNOR FINANCIAL GROUP LLC — notice-filed in FL, NE. IAPD ↗
44
TOPTIER WEALTH MANAGEMENT — notice-filed in IL, MN. IAPD ↗
44
WINCAP FINANCIAL LLC — notice-filed in CO, NJ. IAPD ↗
42
COORDINATED CAPITAL SECURITIES, INC. — notice-filed in OR. IAPD ↗
42
WESTPARK CAPITAL, INC. — notice-filed in MS. IAPD ↗
42
CAROLINA FINANCIAL ADVISORS, INC. — notice-filed in CO. IAPD ↗
42
RMG ADVISORS — notice-filed in NY. IAPD ↗
42
PACIFIC COAST INVESTMENT ADVISORS, LLC — notice-filed in WA. IAPD ↗
42
SECURE INVESTMENT MANAGEMENT, LLC — notice-filed in UT. IAPD ↗
42
SCHWALLIER WEALTH MANAGEMENT — notice-filed in NE. IAPD ↗
42
MARMO FINANCIAL GROUP, LLC — notice-filed in LA. IAPD ↗
42
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC — notice-filed in VA. IAPD ↗
42
GLOBAL VALUE INVESTMENT CORPORATION — notice-filed in WV. IAPD ↗
42
GUARDIAN ASSET ADVISORS, LLC — notice-filed in WV. IAPD ↗
42
FINANCIAL ELEMENTS, INC — notice-filed in WA. IAPD ↗
42
RGA INVESTMENT ADVISORS, LLC — notice-filed in FL. IAPD ↗
42
THE DOWLING GROUP WEALTH MANAGEMENT — notice-filed in WA. IAPD ↗
42
ONE ADVISORY PARTNERS, LLC — notice-filed in NC. IAPD ↗
42
RETIREMENT STRATEGIES, LTD. — notice-filed in CA. IAPD ↗
42
LAUGHLIN FINANCIAL LLC — notice-filed in IL. IAPD ↗
42
RUTHERFORD INVESTMENT MANAGEMENT — notice-filed in ID. IAPD ↗
42
REDWOOD INVESTMENT GROUP, INC — notice-filed in ID. IAPD ↗
42
SIMS INVESTMENT MANAGEMENT LLC — notice-filed in TN. IAPD ↗
42
ANKERSTAR WEALTH, LLC — notice-filed in NH. IAPD ↗
42
WEATHERHELM CAPITAL MANAGEMENT LLC — notice-filed in TX. IAPD ↗
42
GATES PASS ADVISORS, LLC — notice-filed in TX. IAPD ↗
42
FIRST AMERICAN ASSET ADVISORY, LLC — notice-filed in TX. IAPD ↗
42
17 CAPITAL PARTNERS, LLC — notice-filed in MI. IAPD ↗
42
BUCKET LIST WEALTH MANAGEMENT, LLC — notice-filed in NH. IAPD ↗
42
ALLARIA ASSET MANAGEMENT, LLC — notice-filed in SC. IAPD ↗
42
RHEECO, INC. — notice-filed in NH. IAPD ↗
42
STRATTON CAPITAL INVESTMENT ADVISORY LLC — notice-filed in TX. IAPD ↗
42
CORNERSTONE WEALTH ADVISORS, INC. — notice-filed in SC. IAPD ↗
42
FREEDOM FAMILY OFFICE, LLC — notice-filed in AZ. IAPD ↗
42
TARGET ROCK WEALTH MANAGEMENT, LLC — notice-filed in CT. IAPD ↗
42
INVESTMENT ADVISOR GROUP — notice-filed in DE. IAPD ↗
42
GREAT RIVER FINANCIAL — notice-filed in NH. IAPD ↗
42
AXIM PLANNING & WEALTH — notice-filed in ID. IAPD ↗
42
RETIREMENT FINANCIAL GROUP, LLC — notice-filed in PA. IAPD ↗
42
PRINCIPLED ADVISORS, INC. — notice-filed in FL. IAPD ↗
42
MEMBERS WEALTH LLC — notice-filed in NY. IAPD ↗
42
GENERATIONAL PRIVATE WEALTH — notice-filed in VA. IAPD ↗
42
NINE30 ADVISORS LLC — notice-filed in VA. IAPD ↗
42
RIGDEN CAPITAL STRATEGIES — notice-filed in PA. IAPD ↗
42
FJELL CAPITAL — notice-filed in MN. IAPD ↗
42
ALTITUDE CAPITAL MANAGEMENT LLC — notice-filed in DE. IAPD ↗
42
XXI WEALTH, LLC — notice-filed in TX. IAPD ↗
42
TRUEHAVEN CAPITAL — notice-filed in TN. IAPD ↗
42
STATERA WEALTH MANAGEMENT — notice-filed in TX. IAPD ↗
42
ARIA WEALTH PARTNERS — notice-filed in TX. IAPD ↗
42
CONNECTIVE WEALTH PARTNERS, LLC — notice-filed in OR. IAPD ↗
42
LYONS CAPITAL GROUP — notice-filed in TX. IAPD ↗
30
CONSOLIDATED PORTFOLIO REVIEW CORP — changed its website from wwww.financialresourcesinc.com to delanceywealth.com. IAPD ↗
30
BASSO CAPITAL MANAGEMENT, L.P. — changed its website from bassocap.com to bassofamilyoffice.com. IAPD ↗
30
L & S ADVISORS, INC — changed its website from lsadvisor.com to lsadvisors.com. IAPD ↗
30
OCEAN PARK ASSET MANAGEMENT, LLC — changed its website from sierramutualfunds.com to oceanparkam.com. IAPD ↗
30
VERUS CAPITAL PARTNERS, LLC — changed its website from geiserwealth.com to azeagleaz.com. IAPD ↗
30
FOURSTAR WEALTH ADVISORS, LLC — changed its website from timeto.planyourexitstrategy.com to financialadvisorsworkshop.com. IAPD ↗
30
JOHNSON BRUNETTI — changed its website from retire.johnsonbrunetti.com to listentojoel.com. IAPD ↗
30
INVST, LLC — changed its website from levinefinancial.net to 401khack.org. IAPD ↗
30
EVERSOURCE WEALTH ADVISORS, LLC — changed its website from cornerstone360advisors.com to centerpointstrategies.com. IAPD ↗
30
THE ASCENT GROUP, LLC — changed its website from tagwm.com to aleragroup.com. IAPD ↗
30
ALTHUM ADVISORS LLC — changed its website from lxgmfo.com to althumadvisors.com. IAPD ↗
28
AMERANT INVESTMENTS, INC. — changed its website from amerantinvestments.com to amerantinvestments.marstone.com. IAPD ↗
28
KEATING FINANCIAL ADVISORY SERVICES — changed its website from purposefulwealthadvisors.com to keatingkc.com. IAPD ↗
28
REAP FINANCIAL GROUP, LLC — changed its website from taxfreedomsummit.com to reapfinancial.com. IAPD ↗
28
BUSKA WEALTH MANAGEMENT, LLC — changed its website from retirewithbuska.com to buskabook.com. IAPD ↗
28
BLUE WATER ASSET MANAGEMENT — changed its website from bluewaterassetmanagement.com to redfieldfinancialgroup.com. IAPD ↗
28
KPP ADVISORY SERVICES LLC — changed its website from money411.info to kpp-lpl.com. IAPD ↗
28
INDIVISIBLE PARTNERS — changed its website from indivisible.com to linkedin.company. IAPD ↗
25
LITTLEJOHN FINANCIAL SERVICES INC — changed its website from blubrry.com to pinterest.com. IAPD ↗
25
TAVERIK CAPITAL, LLC — changed its website from wcmglobalwealth.com to taverik.com. IAPD ↗
25
WEALTHTRAK ADVISORS — changed its website from wealthtrakcm.com to weathtrkadvisors.com. IAPD ↗
25
KEELEY-TETON ADVISORS, LLC — changed its website from keeleyteton.com to tetonadv.com. IAPD ↗
25
CABIN ADVISORS, LLC — changed its website from financialarchitects.com to aycockwealthmanagement.com. IAPD ↗
25
CORDINGLEY & PARKINSON WEALTH MANAGEMENT — changed its website from cpwealthmanagement.com to sandcreekcap.com. IAPD ↗
25
DEMETER TACTICAL INVESTMENTS CORP. — changed its website from demeter-funds.com to demetertacticalinvestments.com. IAPD ↗
25
BRAVE NEW WEALTH — changed its website from bravenewwealth.com to bravenewwealthwm.com. IAPD ↗
88
NEW WAVE LOANS RESIDENTIAL, LLC — (NORTH MIAMI BEACH, FL) is newly SEC-registered with $680.4M RAUM and 2 advisory reps. IAPD ↗institutional
85
"THE PILOT'S ADVISOR," LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
PCM MANAGEMENT ADVISOR, LLC — (CHAGRIN FALLS, OH) is newly SEC-registered with $7.64B RAUM and 23 advisory reps. IAPD ↗fund
85
CARO INVESTORS — (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
85
GROWTH LENDING GP LLC — (ROSWELL, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
KOMPASS KAPITAL ADVISORS, LLC — (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
CAMBERLINE CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
OUTLIER GLOBAL MANAGEMENT — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
MATRIX CAPITAL PARTNERS, LLC — (WESTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
TRAILS EDGE CAPITAL PARTNERS, LP — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
SUPERSTATE ADVISERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
DRONA PARTNERS CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
CANTOR OCS ASSET MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
KINGSBRIDGE INVESTMENT PARTNERS LLC — (LAS VEGAS, NV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
TURAS CAPITAL MANAGEMENT — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
MOTUM CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
GRIFFIN GLOBAL ASSET MANAGEMENT — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
ARIXA MANAGEMENT, LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 20 advisory reps. IAPD ↗institutional
83
PRELUDE GROWTH PARTNERS MANAGEMENT COMPANY, LLC — (NEW YORK, NY) is newly SEC-registered with $589.8M RAUM and 9 advisory reps. IAPD ↗fund
83
RIVERSPAN PARTNERS LP — (CHICAGO, IL) is newly SEC-registered with $312.3M RAUM and 8 advisory reps. IAPD ↗fund
83
CLEARLIST CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $434.1M RAUM and 2 advisory reps. IAPD ↗fund
80
CHECKETTS PARTNERS INVESTMENT MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $122.1M RAUM and 2 advisory reps. IAPD ↗fund
80
TOCCATA CAPITAL — (location n/a) is newly SEC-registered with $50.0M RAUM and 1 advisory reps. IAPD ↗fund
80
80
XCELLERANT VENTURES, LLC — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $25.5M RAUM and 6 advisory reps. IAPD ↗fund
80
LOCK 8 PARTNERS — (NEW YORK, NY) is newly SEC-registered with $196.4M RAUM and 7 advisory reps. IAPD ↗fund
80
TORQUE ASSET MANAGEMENT LLC — (location n/a) is newly SEC-registered with $216.6M RAUM and 3 advisory reps. IAPD ↗fund
80
TABERNACLE EQUITY MANAGEMENT LLC — (SOUTHLAKE, TX) is newly SEC-registered with $48.8M RAUM and 4 advisory reps. IAPD ↗fund
80
O ASSET MANAGEMENT LLC — (FAIRPORT, NY) is newly SEC-registered (provisional 120-day approval) with $16.0M RAUM and 10 advisory reps. IAPD ↗fund
65
WEALTH MANAGEMENT GROUP AG — (ZURICH, Switzerland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
VIRGO DIGITAL ASSET MANAGEMENT INC. — (NORTH YORK, Canada) is newly SEC-registered with $9.9M RAUM and 2 advisory reps. IAPD ↗foreign
65
MOMA INTERNATIONAL — (PORTO ALEGRE, RIO GRANDE DO SUL, Brazil) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
CAPSIGMA INVESTMENT PARTNERS LTDA — (SAO PAULO, SP, Brazil) is newly SEC-registered with $19.3M RAUM and 5 advisory reps. IAPD ↗foreign
50
48
TALOS EURISKO ASSET MANAGEMENT LP — TALOS ASSET MANAGEMENT LP is now doing business as . IAPD ↗institutional
45
JOHN HANCOCK VARIABLE TRUST ADVISERS LLC — 's Item 11 disclosure-reporting entries rose by 1 (15 -> 16). IAPD ↗institutional
45
DBX ADVISORS LLC — 's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗institutional
45
COMPASS GROUP MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 3 (0 -> 3). IAPD ↗institutional
45
FIC PARTNERS MANAGEMENT, LP — FIRST INFRASTRUCTURE CAPITAL ADVISORS, LLC is now doing business as . IAPD ↗fund
45
FLEXPATH STRATEGIES — notice-filed in DC, DE, FL, GA, IA, ID, IL, IN, KS, LA, MA, MD, MI, MN, MO, NC, NE, NJ, NM, NV, NY, OH, OK, PA, UT, WA, WI. IAPD ↗institutional
43
40
DEUTSCHE BANK SECURITIES INC. — 's Item 11 disclosure-reporting entries rose by 2 (701 -> 703). IAPD ↗institutional
40
ALLIANCEBERNSTEIN HOLDING L.P. — 's Item 11 disclosure-reporting entries rose by 1 (12 -> 13). IAPD ↗institutional
40
ALLIANCEBERNSTEIN CORPORATION — 's Item 11 disclosure-reporting entries rose by 1 (10 -> 11). IAPD ↗institutional
40
BOFA SECURITIES, INC. — 's Item 11 disclosure-reporting entries rose by 1 (133 -> 134). IAPD ↗institutional
40
AB BROADLY SYNDICATED LOAN MANAGER LLC — 's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗fund
40
ALTIUM INVESTMENT STRATEGIES LLC — 's Item 11 disclosure-reporting entries rose by 2 (0 -> 2). IAPD ↗institutional
40
PACIFIC FINANCIAL GROUP, LLC — moved its main office from BELLEVUE, WA to NASHVILLE, TN. IAPD ↗institutional
38
GARNET CREDIT MANAGEMENT LLC — 's Item 11 disclosure-reporting entries rose by 1 (4 -> 5). IAPD ↗fund
37
35
CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC — 's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗fund
35
FIVE ARROWS MANAGERS NORTH AMERICA LLC — moved its main office from LOS ANGELES, CA to MANHATTAN BEACH, CA. IAPD ↗fund
35
CAPINSIGHTS PARTNERS, LLC — moved its main office from GREENSBORO, NC to GREENWICH, CT. IAPD ↗institutional
35
WEDBUSH FUND ADVISERS, LLC — moved its main office from LOS ANGELES, CA to PASADENA, CA. IAPD ↗institutional
34
33
33
32
32
32
32
32
30
30
25
DWS INTERNATIONAL GMBH — 's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗foreign
25
DWS INVESTMENTS AUSTRALIA LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (136 -> 138). IAPD ↗foreign
25
DWS ALTERNATIVES GLOBAL LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (140 -> 142). IAPD ↗foreign
25
DWS INVESTMENTS HONG KONG LIMITED — 's Item 11 disclosure-reporting entries rose by 2 (137 -> 139). IAPD ↗foreign
25
ICICI ASSET MANAGEMENT — 's Item 11 disclosure-reporting entries rose by 1 (11 -> 12). IAPD ↗foreign
25
25
HUDSON HOUSE CAPITAL INCORPORATED — H.G. STRUDWICK & COMPANY is now doing business as . IAPD ↗foreign
23
21
20
20
PTMA INVESTMENT ADVISORS — changed its website from publictrustadvisors.com to wyomingclass.com. IAPD ↗institutional
18
CEDERBERG CAPITAL ASIA LIMITED — moved its main office from HONG KONG, KOWLOON, to TSIM SHA TSUI, KOWLOON, . IAPD ↗foreign
17
17
15
15
TENNENBAUM CAPITAL PARTNERS, LLC — changed its website from mp.weixin.qq.com to mbank.95559.com.cn. IAPD ↗fund
15
PINE RIVER CAPITAL MANAGEMENT L.P. — changed its website from pinerivercapital.com to prcm.com. IAPD ↗fund
15
RIDGEWOOD ENERGY CORPORATION — changed its website from ridgewoodenergy1.weebly.com to flickr.com. IAPD ↗fund
15
FIC PARTNERS MANAGEMENT, LP — changed its website from firstinfrastructurecapital.com to ficfund.com. IAPD ↗fund
15
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC — changed its website from ishares.com to m.zhangle.com. IAPD ↗fund
13
PASSPORT CAPITAL, LLC — changed its website from nimblepartners.vc to passportcapital.com. IAPD ↗fund
13
12
1
CARDINAL POINT WEALTH MANAGEMENT — changed its website from cardinalpoint-capital.com to sportsmgt.cardinalpointwealth.com. IAPD ↗foreign
1
ATB CAPITAL MARKETS USA INC. — changed its website from atbcapitalmarkets.com to atbcm.atb.com. IAPD ↗foreign
1
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. — changed its website from kotakglobal.com to kotak-international.com. IAPD ↗foreign
1
1
HUDSON HOUSE CAPITAL INCORPORATED — changed its website from hgstrudwick.com to hudsonhousecapital.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.