← Tributary

M&A & valuation — February 2024

RIA acquirers, investment bankers, valuation firms, and lenders.

115 firms opened this window in the February 2024 SEC roster: 72 deregistered, 28 headcount down, 15 aum down.

Months: October 2026 · September 2026 · August 2026 · July 2026 · June 2026 · May 2026 · April 2026 · March 2026 · February 2026 · January 2026 · December 2025 · August 2025 · July 2025 · June 2025 · May 2025 · April 2025 · March 2025 · February 2025 · January 2025 · December 2024 · November 2024 · October 2024 · September 2024 · August 2024 · July 2024 · June 2024 · May 2024 · April 2024 · March 2024 · February 2024

65
WOODBURY FINANCIAL SERVICES, INC. — (OAKDALE, MN) left the SEC roster (was $19.28B RAUM, 1373 reps). IAPD ↗
65
RESOURCE CONSULTING GROUP — (ORLANDO, FL) left the SEC roster (was $2.32B RAUM, 16 reps). IAPD ↗
65
MADISON WEALTH MANAGEMENT — (CINCINNATI, OH) left the SEC roster (was $1.12B RAUM, 12 reps). IAPD ↗
65
CHAMPION CAPITAL RESEARCH, INC. — (HOUSTON, TX) left the SEC roster (was $1.28B RAUM, 3 reps). IAPD ↗
65
TRUVVO PARTNERS LLC — (NEW YORK, NY) left the SEC roster (was $3.80B RAUM, 9 reps). IAPD ↗
65
AJ WEALTH — (NEW YORK, NY) left the SEC roster (was $2.37B RAUM, 14 reps). IAPD ↗
63
LANDMARK FINANCIAL ADVISORS, LLC — (BOWLING GREEN, KY) left the SEC roster (was $503.7M RAUM, 6 reps). IAPD ↗
63
SUTTON WEALTH ADVISORS, INC. — (TAMPA, FL) left the SEC roster (was $392.7M RAUM, 3 reps). IAPD ↗
63
CAPITAL POINT FINANCIAL GROUP, LTD. — (GLENVIEW, IL) left the SEC roster (was $312.6M RAUM, 10 reps). IAPD ↗
63
WEALTHONE, LLC — (ALBANY, NY) left the SEC roster (was $382.2M RAUM, 11 reps). IAPD ↗
63
TRAVERSO CHAMBERS PRIVATE WEALTH MANAGEMENT, LLC — (SANTA ROSA, CA) left the SEC roster (was $452.3M RAUM, 4 reps). IAPD ↗
60
MACALLASTER PITFIELD MACKAY INC. — (location n/a) left the SEC roster (was $168.7M RAUM, 1 reps). IAPD ↗
60
ARMSTRONG SHAW ASSOCIATES INC. — (WILTON, CT) left the SEC roster (was $109.3M RAUM, 2 reps). IAPD ↗
60
CAPITAL FINANCIAL SERVICES LLC — (CLIFTON PARK, NY) left the SEC roster (was $127.6M RAUM, 2 reps). IAPD ↗
60
PROFITSCORE CAPITAL MANAGEMENT, INC. — (EAGLE, ID) left the SEC roster (was $70.2M RAUM, 4 reps). IAPD ↗
60
ASSET MANAGEMENT RESOURCES, LLC — (HYANNIS, MA) left the SEC roster (was $220.7M RAUM, 6 reps). IAPD ↗
60
ALIGN INVESTMENT MANAGEMENT, LLC — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
60
HARVEST ASSET GROUP, LLC — (PORTLAND, ME) left the SEC roster (was $107.3M RAUM, 2 reps). IAPD ↗
60
WALSH FINANCIAL CONSULTING — (location n/a) left the SEC roster (was $211.0M RAUM, 0 reps). IAPD ↗
60
TEN CAPITAL ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $113.5M RAUM, 1 reps). IAPD ↗
60
JCN FINANCIAL & TAX ADVISORY GROUP, LLC — (BATON ROUGE, LA) left the SEC roster (was $83.2M RAUM, 2 reps). IAPD ↗
60
CRESCENDO ASSET MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $184.5M RAUM, 5 reps). IAPD ↗
60
ACHIEVE WEALTH PARTNERS LLC — (ROCHESTER, NY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
60
SCIENTIFIC INVESTMENT MANAGEMENT — (BOSTON, MA) left the SEC roster (was $349,891 RAUM, 1 reps). IAPD ↗
60
TILT INVESTMENT MANAGEMENT — (location n/a) left the SEC roster (was $154.4M RAUM, 5 reps). IAPD ↗
60
NICHE INVESTMENT ADVISORS LLC — (KING OF PRUSSIA, PA) left the SEC roster — its 120-day provisional registration did not convert (was $25.2M RAUM, 1 reps). IAPD ↗
60
LEVO ADVISER, LLC — (location n/a) left the SEC roster (was $405,800 RAUM, 1 reps). IAPD ↗
60
WEALTH SQUARE INC. — (MIAMI, FL) left the SEC roster (was $500 RAUM, 1 reps). IAPD ↗
60
GENIE AI LLC — (BROOKLINE, MA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
60
TEJO FINANCIAL ADVISORY — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
60
MAYBE FINANCE, INC. — (BIRMINGHAM, AL) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
60
PARABLA, LLC — (OAK RIDGE, NC) left the SEC roster (was $17.8M RAUM, 1 reps). IAPD ↗
60
PREDICATE INVESTMENT ADVISORS — (SCOTTSDALE, AZ) left the SEC roster — its 120-day provisional registration did not convert (was $20.2M RAUM, 1 reps). IAPD ↗
60
PARTI PRIS INVESTMENT PARTNERS, INC. — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
60
957 ADVISORS LLC — (WEST HOLLYWOOD, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
60
WEALTHLYNK, INC. — (FALLBROOK, CA) left the SEC roster — its 120-day provisional registration did not convert (was $32.3M RAUM, 1 reps). IAPD ↗
55
ROMANO WEALTH MANAGEMENT — shrank from 10 to 7 advisory reps. IAPD ↗
$1.24B RAUM · 7 reps · 847-866-7700 · romanowealth.com
55
MOUNTAIN PACIFIC INVESTMENT ADVISERS, LLC — shrank from 5 to 3 advisory reps. IAPD ↗
$1.68B RAUM · 3 reps · 208-336-1422 · mountain-pacific.com
55
THE PLANNING CENTER, INC. — shrank from 13 to 10 advisory reps. IAPD ↗
$1.09B RAUM · 10 reps · 309-797-4030
55
BPS CAPITAL MANAGEMENT, INC. — shrank from 6 to 4 advisory reps. IAPD ↗
$3.77B RAUM · 4 reps · 952-893-0177 · bpscapital.com
55
EPOCH INVESTMENT PARTNERS, INC. — shrank from 142 to 133 advisory reps. IAPD ↗
$34.28B RAUM · 133 reps · 212-303-7200
55
TD PRIVATE CLIENT WEALTH LLC — shrank from 299 to 284 advisory reps. IAPD ↗
$12.26B RAUM · 284 reps · 877-703-9896 · td.com
55
SANCTUARY ADVISORS, LLC — shrank from 307 to 302 advisory reps. IAPD ↗
$16.22B RAUM · 302 reps · 317-975-7729 · burnhamharborpw.com
55
FACET — shrank from 109 to 98 advisory reps. IAPD ↗
$2.54B RAUM · 98 reps · (443)376-6222
53
BERNZOTT CAPITAL ADVISORS — shrank from 5 to 3 advisory reps. IAPD ↗
$682.0M RAUM · 3 reps · 800-856-2646 · bernzott.com
53
BIRINYI ASSOCIATES, INC. — shrank from 4 to 2 advisory reps. IAPD ↗
$348.6M RAUM · 2 reps · 203-341-0833
53
BRITE ADVISORS USA, INC. — shrank from 9 to 7 advisory reps. IAPD ↗
$468.1M RAUM · 7 reps · 646-449-7253
53
NAVIGATE PRIVATE WEALTH, LLC — shrank from 11 to 7 advisory reps. IAPD ↗
$395.2M RAUM · 7 reps · 801-676-4588
53
ONE DAY IN JULY LLC — shrank from 12 to 9 advisory reps. IAPD ↗
$797.7M RAUM · 9 reps · (802) 503-8280 · eventbrite.com
53
INSIGHT WEALTH STRATEGIES, LLC — shrank from 10 to 8 advisory reps. IAPD ↗
$851.8M RAUM · 8 reps · 925-659-8020
53
NORTHSTAR ADVISORY GROUP, LLC — shrank from 4 to 2 advisory reps. IAPD ↗
$253.1M RAUM · 2 reps · 833-226-0400 · thenorthstaradvisorygroup.com
53
SINGER WEALTH ADVISORS LLC — shrank from 12 to 9 advisory reps. IAPD ↗
$424.6M RAUM · 9 reps · 561-998-9985
53
ABOUND FINANCIAL — shrank from 4 to 2 advisory reps. IAPD ↗
$352.4M RAUM · 2 reps · 916-846-7780
50
GENESIS WEALTH ADVISORS, LLC — shrank from 8 to 6 advisory reps. IAPD ↗
$177.0M RAUM · 6 reps · 781-344-1023
50
ONE ADVISORY PARTNERS, LLC — shrank from 6 to 4 advisory reps. IAPD ↗
$203.1M RAUM · 4 reps · 913-663-2376 · oneadvisorypartners.com
50
SIEBERT ADVISORNXT, LLC. — shrank from 29 to 24 advisory reps. IAPD ↗
$212.6M RAUM · 24 reps · 800-872-0444 · siebertnxt.com
50
LANDING POINT FINANCIAL GROUP, LLC — shrank from 6 to 4 advisory reps. IAPD ↗
$230.1M RAUM · 4 reps · 440-361-7227 · landingpointfinancialgroup.com
50
HIBERNIA WEALTH PARTNERS, LLC — shrank from 6 to 4 advisory reps. IAPD ↗
$219.2M RAUM · 4 reps · 225-778-7972 · hiberniawealth.com
50
WATERSTONE FINANCIAL ADVISORY LLC — shrank from 6 to 3 advisory reps. IAPD ↗
$170.0M RAUM · 3 reps · 239-288-0977
50
NEW HORIZONS WEALTH MANAGEMENT — shrank from 4 to 2 advisory reps. IAPD ↗
$151.1M RAUM · 2 reps · 973-540-1066 · enjoymore30s.com
48
DENT WEALTH ADVISORS — reported RAUM down 29% ($386.6M -> $275.8M). IAPD ↗
$275.8M RAUM · 2 reps · 225-922-9955
48
OLD SLIP REGISTERED INVESTMENT ADVISORS, LLC — reported RAUM down 49% ($665.0M -> $341.0M). IAPD ↗
$341.0M RAUM · 2 reps · 212.256.1334 · oldslipcap.com
45
ALEXANDER CAPITAL ADVISORS, LLC — reported RAUM down 38% ($121.9M -> $75.5M). IAPD ↗
$75.5M RAUM · 1 reps · 203-966-7707 · alexcapadv.com
45
GLASSMAN WEALTH MANAGEMENT LLC — reported RAUM down 26% ($55.2M -> $40.7M). IAPD ↗
$40.7M RAUM · 1 reps · 914-629-3694
45
PREMIUM 72 CAPITAL — reported RAUM down 86% ($70.5M -> $10.0M). IAPD ↗
$10.0M RAUM · 2 reps · 281-591-7777
45
ASSUREDPARTNERS INVESTMENT ADVISORS — reported RAUM down 52% ($372.0M -> $179.0M). IAPD ↗
$179.0M RAUM · 15 reps · 407-708-0050 · apadvisors.com
45
RETIREMENT SPECIALTY GROUP, INC. — reported RAUM down 36% ($41.6M -> $26.8M). IAPD ↗
$26.8M RAUM · 2 reps · 931-738-4733 · investmentpreacher.com
45
WEALTH MANAGEMENT SOLUTIONS, LLC — reported RAUM down 70% ($123.6M -> $37.2M). IAPD ↗
$37.2M RAUM · 1 reps · 949-475-9700 · wms-llc.com
55
HIGHMARK CAPITAL MANAGEMENT, INC. — (SAN FRANCISCO, CA) left the SEC roster (was $8.66B RAUM, 30 reps). IAPD ↗institutional
55
GREYFELL CAPITAL MANAGEMENT — (TAMPA, FL) left the SEC roster (was $1.00B RAUM, 5 reps). IAPD ↗institutional
53
KEPPLER ASSET MANAGEMENT INC. — (NEW YORK, NY) left the SEC roster (was $462.5M RAUM, 6 reps). IAPD ↗institutional
53
NOVANT ASSET MANAGEMENT, LLC — (WINSTON-SALEM, NC) left the SEC roster (was $945.8M RAUM, 6 reps). IAPD ↗institutional
53
VOLTRADE LP — (MIAMI, FL) left the SEC roster (was $425.0M RAUM, 2 reps). IAPD ↗institutional
53
JOCASSEE QUANTITATIVE, LLC — (CHARLOTTESVILLE, VA) left the SEC roster (was $605.6M RAUM, 7 reps). IAPD ↗institutional
50
CASTLE CREEK STRATEGIES, LLC — (location n/a) left the SEC roster (was $1.37B RAUM, 3 reps). IAPD ↗fund
50
AQUILINE HOLDINGS LLC — (NEW YORK, NY) left the SEC roster (was $9.57B RAUM, 50 reps). IAPD ↗fund
50
EQUBOT INC. — (SAN FRANCISCO, CA) left the SEC roster (was $117.3M RAUM, 3 reps). IAPD ↗institutional
50
MAN SOLUTIONS (USA) LLC — (NEW YORK, NY) left the SEC roster (was $116.6M RAUM, 4 reps). IAPD ↗institutional
50
THEMATIC INVESTMENTS, LLC — (OVERLAND PARK, KS) left the SEC roster (was $8.7M RAUM, 1 reps). IAPD ↗institutional
50
YOTTA RIA, LLC — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
50
THE ENERGY & MINERALS GROUP ADVISORS, LLC — (NAPLES, FL) left the SEC roster (was $2.8M RAUM, 3 reps). IAPD ↗institutional
50
IH2 ADVISORS & COMPANY — (WILMINGTON, DE) left the SEC roster (was $2.5M RAUM, 1 reps). IAPD ↗institutional
50
SUPERSTATE INC. — (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
50
HGC MANAGER, LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
50
MOBILIZE CAPITAL PARTNERS, LP — (STAMFORD, CT) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗institutional
50
BEREAN PORTFOLIOS, LLC — (ROLLA, MO) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
48
NORTH FOURTH ASSET MANAGEMENT, LP — (ENGLEWOOD CLIFFS, NJ) left the SEC roster (was $436.4M RAUM, 5 reps). IAPD ↗fund
48
KCL CAPITAL, L.P. — (NEW YORK, NY) left the SEC roster (was $948.6M RAUM, 11 reps). IAPD ↗fund
45
SIERRA GLOBAL MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $145.4M RAUM, 4 reps). IAPD ↗fund
45
BISHOP ROCK CAPITAL, L.P. — (NEW YORK, NY) left the SEC roster (was $135.0M RAUM, 3 reps). IAPD ↗fund
45
CORETRUST INVESTMENT MANAGEMENT LLC — (LOS ANGELES, CA) left the SEC roster (was $121.8M RAUM, 11 reps). IAPD ↗fund
45
SAFKHET CAPITAL MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $25.7M RAUM, 2 reps). IAPD ↗fund
45
SOUTH STREET CAPITAL MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $92.0M RAUM, 5 reps). IAPD ↗fund
45
AXXES DIRECT ADVISORS LLC — (CORAL GABLES, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗fund
40
DOCK STREET CAPITAL MANAGEMENT LLC — reported RAUM down 38% ($3.78B -> $2.35B). IAPD ↗institutional
$2.35B RAUM · 2 reps · 212-457-8258 · dockstreetcap.com
40
CAPRA IBEX ADVISORS LLC — shrank from 9 to 6 advisory reps. IAPD ↗institutional
$65.9M RAUM · 6 reps · 646-968-9241 · capraibex.com
40
ATLANTIC STREET CAPITAL MANAGEMENT, LLC — shrank from 16 to 12 advisory reps. IAPD ↗fund
$2.55B RAUM · 12 reps · 203-428-3150
40
BLUE ROCK ADVISORS, LLC — shrank from 6 to 3 advisory reps. IAPD ↗fund
$1.22B RAUM · 3 reps · (952) 229-8700 · blue-rock.com
35
ANCHORAGE CAPITAL GROUP, L.L.C. — reported RAUM down 76% ($25.97B -> $6.25B). IAPD ↗fund
$6.25B RAUM · 45 reps · 212-432-4600
35
CAPRA IBEX ADVISORS LLC — reported RAUM down 99% ($7.74B -> $65.9M). IAPD ↗institutional
$65.9M RAUM · 6 reps · 646-968-9241 · capraibex.com
35
BLUE ROCK ADVISORS, LLC — reported RAUM down 54% ($2.67B -> $1.22B). IAPD ↗fund
$1.22B RAUM · 3 reps · (952) 229-8700 · blue-rock.com
35
LEATHERBACK ASSET MANAGEMENT, LLC — reported RAUM down 45% ($111.9M -> $61.9M). IAPD ↗institutional
$61.9M RAUM · 1 reps · 561-389-5809 · leatherbackam.com
35
LAB QUANTITATIVE STRATEGIES, LLC — reported RAUM down 43% ($2.75B -> $1.58B). IAPD ↗fund
$1.58B RAUM · 13 reps · 720-826-0771 · lab-qs.com
35
COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITED — (LONDON, United Kingdom) left the SEC roster (was $2.88B RAUM, 3 reps). IAPD ↗foreign
35
WELLINGTON MANAGEMENT INTERNATIONAL LTD — (LONDON, United Kingdom) left the SEC roster (was $101.26B RAUM, 140 reps). IAPD ↗foreign
35
WELLINGTON MANAGEMENT SINGAPORE PTE LTD — (SINGAPORE, Singapore) left the SEC roster (was $29.45B RAUM, 39 reps). IAPD ↗foreign
35
INTESA SANPAOLO WEALTH MANAGEMENT — (LUXEMBOURG, Luxembourg) left the SEC roster (was $4.49B RAUM, 46 reps). IAPD ↗foreign
33
FORSTRONG GLOBAL ASSET MANAGEMENT INC. — (TORONTO, ONTARIO, Canada) left the SEC roster (was $397.3M RAUM, 7 reps). IAPD ↗foreign
33
REGAL PARTNERS LIMITED — (SYDNEY, NSW, Australia) left the SEC roster (was $944.3M RAUM, 9 reps). IAPD ↗foreign
30
AGFE — (LONDON, United Kingdom) left the SEC roster (was $0 RAUM, 19 reps). IAPD ↗foreign
30
LLOYD GEORGE MANAGEMENT (HK) LIMITED — (HONG KONG, Hong Kong) left the SEC roster (was $51.9M RAUM, 3 reps). IAPD ↗foreign
30
ATLAS SQUARE PARTNERS LLP — (LONDON, United Kingdom) left the SEC roster (was $189.3M RAUM, 1 reps). IAPD ↗foreign
30
DELPHIA — (TORONTO, ONTARIO, Canada) left the SEC roster (was $187.1M RAUM, 21 reps). IAPD ↗foreign
20
ARCHWAY PRIVATE WEALTH LLC — shrank from 4 to 2 advisory reps. IAPD ↗foreign
$5.2M RAUM · 2 reps · 407-567-0095 · archwayprivatewealth.us
15
KEYQUANT — reported RAUM down 66% ($113.4M -> $39.1M). IAPD ↗foreign
$39.1M RAUM · 2 reps · 33-1-84-13-83.00 · keyquant.com

Free page: firm, event, phone, website. The paid feed adds every window as CSV, filters by state and AUM band, and alerts the day the roster drops. Data: SEC Form ADV monthly roster; confirm on IAPD before acting.