← Tributary

M&A & valuation — May 2024

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

87 firms opened this window in the May 2024 SEC roster: 57 deregistered, 17 headcount down, 13 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
CETERA ADVISORS LLC — (GREENWOOD VILLAGE, IL) left the SEC roster (was $21.99B RAUM, 997 reps). IAPD ↗
$21.99B RAUM · 997 reps · 310-257-7880 · cetera.com
65
UBS HEDGE FUND SOLUTIONS — (STAMFORD, CT) left the SEC roster (was $39.19B RAUM, 73 reps). IAPD ↗
$39.19B RAUM · 73 reps · 203-719-1428 · ubs.com
65
STONECASTLE CASH MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $7.08B RAUM, 11 reps). IAPD ↗
$7.08B RAUM · 11 reps · 212-354-6500 · icm.stonecastle.com
63
RAINSBERGER WEALTH ADVISORS — (COLORADO SPRINGS, CO) left the SEC roster (was $355.7M RAUM, 4 reps). IAPD ↗
$355.7M RAUM · 4 reps · 719-328-1944 · rwapartners.com
63
SPOUTING ROCK ASSET MANAGEMENT, LLC — (BRYN MAWR, PA) left the SEC roster (was $455.0M RAUM, 13 reps). IAPD ↗
$455.0M RAUM · 13 reps · 610-788-2128 · spoutingrock.us
63
THE J. ARNOLD WEALTH MANAGEMENT CO., LLC — (YOUNGSTOWN, OH) left the SEC roster (was $255.3M RAUM, 2 reps). IAPD ↗
$255.3M RAUM · 2 reps · 330-965-9890 · jarnoldwealth.com
60
FRIESS ASSOCIATES, LLC — (GREENVILLE, DE) left the SEC roster (was $181.9M RAUM, 7 reps). IAPD ↗
$181.9M RAUM · 7 reps · 302-656-3017 · friess.com
60
ACCESS INVESTMENT ADVISORS INC — (MANITOWOC, WI) left the SEC roster (was $217.9M RAUM, 3 reps). IAPD ↗
$217.9M RAUM · 3 reps · 920.683.9901 · access95.com
60
THIRD STREET ADVISORS, LLC — (GENEVA, IL) left the SEC roster (was $95.6M RAUM, 4 reps). IAPD ↗
$95.6M RAUM · 4 reps · 630-513-8815
60
EXPERIENTIAL WEALTH, INC. — (CABIN JOHN, MD) left the SEC roster (was $164.2M RAUM, 2 reps). IAPD ↗
$164.2M RAUM · 2 reps · 703-847-4380 · experientialwealth.com
60
PIERMONT WEALTH MANAGEMENT INC. — (MELVILLE, NY) left the SEC roster (was $221.4M RAUM, 1 reps). IAPD ↗
$221.4M RAUM · 1 reps · 631-454-1585
60
LANDMARK CAPITAL INC. — (OAK BROOK, IL) left the SEC roster (was $1.7M RAUM, 2 reps). IAPD ↗
$1.7M RAUM · 2 reps · 630-990-1800 · landmarkcpi.com
60
EISEN FINANCIAL SERVICES, INC. — (location n/a) left the SEC roster (was $34.1M RAUM, 1 reps). IAPD ↗
$34.1M RAUM · 1 reps · 845-534-1075
60
TORSHEN CAPITAL MANAGEMENT, LLC — (CHICAGO, IL) left the SEC roster (was $34.1M RAUM, 3 reps). IAPD ↗
$34.1M RAUM · 3 reps · 312-274-0200
60
ALEXANDER CAPITAL ADVISORS, LLC — (NEW CANAAN, CT) left the SEC roster (was $75.5M RAUM, 1 reps). IAPD ↗
$75.5M RAUM · 1 reps · 203-966-7707 · alexcapadv.com
60
LIGHTHOUSE FINANCIAL — (WILMINGTON, DE) left the SEC roster (was $100.6M RAUM, 3 reps). IAPD ↗
$100.6M RAUM · 3 reps · 302-351-5660 · mylighthousefinancial.com
60
HOLIFIELD FINANCIAL ADVISORY SERVICES/PROSPER FINANCIAL ADVISERS — (SAINT PETERSBURG, FL) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 727-823-3801
60
JHH WEALTH, LLC — (GREENVILLE, SC) left the SEC roster (was $41.0M RAUM, 4 reps). IAPD ↗
$41.0M RAUM · 4 reps · 704-332-2032
60
EJL ASSET MANAGEMENT, LLC — (location n/a) left the SEC roster (was $36.2M RAUM, 1 reps). IAPD ↗
$36.2M RAUM · 1 reps · 240-505-1090
60
WAYPOINT ASSET MANAGEMENT LLC — (BOCA RATON, FL) left the SEC roster (was $141.3M RAUM, 1 reps). IAPD ↗
$141.3M RAUM · 1 reps · 203-658-7001 · waypointassetmanagement.com
60
BREAN ASSET MANAGEMENT, LLC — (SUMMIT, NJ) left the SEC roster (was $215.1M RAUM, 5 reps). IAPD ↗
$215.1M RAUM · 5 reps · 212-702-6677
60
TROTT BROOK FINANCIAL — (ANOKA, MN) left the SEC roster (was $81.0M RAUM, 1 reps). IAPD ↗
$81.0M RAUM · 1 reps · (763) 213-1000
60
CAVAN CAPITAL MANAGEMENT LLC — (NAPLES, FL) left the SEC roster (was $12.8M RAUM, 2 reps). IAPD ↗
$12.8M RAUM · 2 reps · 312-961-4820 · cavancapitalllc.com
60
WEALTH MANAGEMENT SOLUTIONS, LLC — (NEWPORT BEACH, CA) left the SEC roster (was $37.2M RAUM, 1 reps). IAPD ↗
$37.2M RAUM · 1 reps · 949-475-9700 · wms-llc.com
60
FOLLOW RIA — (SAN FRANCISCO, CA) left the SEC roster (was $31,345 RAUM, 1 reps). IAPD ↗
$31,345 RAUM · 1 reps · 707- 563-1896 · follow.co
60
ENVESTNET EMBEDDED ADVISORY, INC. — (CHICAGO, IL) left the SEC roster (was $10,415 RAUM, 10 reps). IAPD ↗
$10,415 RAUM · 10 reps · 312-827-2800 · envestnet.com
60
THE FIRM INCORPORATED — (location n/a) left the SEC roster (was $135.0M RAUM, 1 reps). IAPD ↗
$135.0M RAUM · 1 reps · 720-936-7300
60
COHERENCE FINANCE INC. — (CHICAGO, IL) left the SEC roster (was $12,000 RAUM, 2 reps). IAPD ↗
$12,000 RAUM · 2 reps · 7082779131
60
WEALTH MORE ENTERPRISE, INC. — (PHILADELPHIA, PA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 888-303-6361 · getwealthmore.com
60
ANCHORCOVE PARTNERS — (location n/a) left the SEC roster (was $44.6M RAUM, 1 reps). IAPD ↗
$44.6M RAUM · 1 reps · (516) 606-1733 · acpwp.com
60
VOURA — (location n/a) left the SEC roster (was $134,277 RAUM, 1 reps). IAPD ↗
$134,277 RAUM · 1 reps · 317-213-0395
60
PLENTINA FINANCIAL INC. — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (650) 796 6722 · plentinafinancial.com
60
FPG WEALTH — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $35.7M RAUM, 1 reps). IAPD ↗
$35.7M RAUM · 1 reps · 847-668-7950
60
INTER&CO US ADVISORS LLC — (MIAMI, FL) left the SEC roster (was $0 RAUM, 6 reps). IAPD ↗
$0 RAUM · 6 reps · 888-305-7264 · inter.co
60
GENESIS FINANCIAL GROUP, LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 2012642575
60
OFF-ZERO FINANCIAL, LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 512-956-7270 · offzerofinancial.com
60
LIGHT LANE MANAGEMENT — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 714-328-0538
55
NBC SECURITIES, INC. — shrank from 75 to 39 advisory reps. IAPD ↗
$1.70B RAUM · 39 reps · 800-521-9390 · nbcsecurities.com
55
DAVIDSON INVESTMENT ADVISORS, INC. — shrank from 13 to 10 advisory reps. IAPD ↗
$4.50B RAUM · 10 reps · 406-727-6111 · dadco.com
55
OVERBROOK MANAGEMENT CORPORATION — shrank from 5 to 3 advisory reps. IAPD ↗
$1.23B RAUM · 3 reps · 212-661-8710 · overbrook.com
53
FCF ADVISORS LLC — shrank from 5 to 3 advisory reps. IAPD ↗
$558.9M RAUM · 3 reps · 212-217-2597
53
INVESTMENT RESEARCH PARTNERS — shrank from 6 to 4 advisory reps. IAPD ↗
$300.8M RAUM · 4 reps · 814-966-7206
50
WELLINGTON CONSULTING SERVICES INC — reported RAUM down 30% ($1.69B -> $1.18B). IAPD ↗
$1.18B RAUM · 9 reps · 877-836-1993 · wellington401k.com
50
CHICAGO INVESTMENT ADVISORY COUNCIL, INC. — shrank from 7 to 5 advisory reps. IAPD ↗
$160.0M RAUM · 5 reps · 630-444-1410 · ciacinc.com
50
BAER WEALTH MANAGEMENT — shrank from 4 to 2 advisory reps. IAPD ↗
$249.7M RAUM · 2 reps · 770-984-2312
50
TRIUMPH WEALTH ADVISORS, INC. — shrank from 15 to 4 advisory reps. IAPD ↗
$28.1M RAUM · 4 reps · 770-924-9322 · triumphwealthadvisors.com
50
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC — shrank from 6 to 4 advisory reps. IAPD ↗
$116.6M RAUM · 4 reps · 475-241-6966
50
ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM) — shrank from 8 to 5 advisory reps. IAPD ↗
$164.8M RAUM · 5 reps · (310) 795-0622
45
THE ETF STORE, INC. — reported RAUM down 43% ($259.6M -> $147.8M). IAPD ↗
$147.8M RAUM · 8 reps · 877-365-3837
45
GKFO, LLC — reported RAUM down 95% ($612.7M -> $29.1M). IAPD ↗
$29.1M RAUM · 10 reps · 610-341-3900 · gkfo.net
45
TRIUMPH WEALTH ADVISORS, INC. — reported RAUM down 33% ($41.7M -> $28.1M). IAPD ↗
$28.1M RAUM · 4 reps · 770-924-9322 · triumphwealthadvisors.com
45
REVERE WEALTH MANAGEMENT LLC — reported RAUM down 41% ($129.1M -> $76.8M). IAPD ↗
$76.8M RAUM · 5 reps · 212-688-2350 · reveresecurities.com
45
EMERGE CAPITAL MANAGEMENT — reported RAUM down 69% ($368.0M -> $112.8M). IAPD ↗
$112.8M RAUM · 6 reps · 716-970-4512
45
G.P. LEACH SECURITIES LLC — reported RAUM down 100% ($282.9M -> $345,000). IAPD ↗
$345,000 RAUM · 1 reps · (817) 939-9809 · gpleach.com
55
SAND GROVE CAPITAL MANAGEMENT — (NEW YORK, NY) left the SEC roster (was $3.02B RAUM, 1 reps). IAPD ↗institutional
$3.02B RAUM · 1 reps · 646-751-8318 · sandgrovecapital.com
53
THE PATTERSON CAPITAL CORPORATION — (LOS ANGELES, CA) left the SEC roster (was $978.4M RAUM, 3 reps). IAPD ↗institutional
$978.4M RAUM · 3 reps · 310-556-2496 · pattersoncapital.com
50
GSAM STABLE VALUE, LLC — (BURLINGTON, VT) left the SEC roster (was $55.40B RAUM, 6 reps). IAPD ↗fund
$55.40B RAUM · 6 reps · 212-902-1000 · gsam.com
50
UBS OCONNOR LLC — (CHICAGO, IL) left the SEC roster (was $13.77B RAUM, 58 reps). IAPD ↗fund
$13.77B RAUM · 58 reps · 312-525-6000 · ubs.com
50
STEWART ASSET MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $19.0M RAUM, 0 reps). IAPD ↗institutional
$19.0M RAUM · 0 reps · 212-759-7551 · stewartassetmgmt.com
50
SUMMIT VIEW CAPITAL ADVISORS — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 720-608-1211 · sumstrat.com
50
HENNII INVESTMENT ADVISORY SERVICES — (location n/a) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 646-683-8907 · hennii.com
50
SPRING GROWTH PARTNERS LLC — (location n/a) left the SEC roster (was $85.0M RAUM, 1 reps). IAPD ↗institutional
$85.0M RAUM · 1 reps · 240-460-4674
50
FOREST HILL STRATEGIC VALUE ADVISERS, LLC — (LITTLE ROCK, AR) left the SEC roster (was $119.9M RAUM, 4 reps). IAPD ↗institutional
$119.9M RAUM · 4 reps · 501-663-4491 · foresthillcap.com
50
AGNC INVESTMENT MANAGEMENT, LLC — (BETHESDA, MD) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 9 reps). IAPD ↗institutional
$0 RAUM · 9 reps · 301-968-9315
50
FLEXPAC, LLC — (SOLANA BEACH, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 917-746-9356
48
AUTONOMY CAPITAL — (location n/a) left the SEC roster (was $701.3M RAUM, 1 reps). IAPD ↗fund
$701.3M RAUM · 1 reps · 212-796-1900
45
LUMINA FUND MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $7.0M RAUM, 2 reps). IAPD ↗fund
$7.0M RAUM · 2 reps · 212-918-4645 · luminafund.com
45
TPB WEALTH ADVISORS, LLC — (SAN ANTONIO, TX) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗fund
$0 RAUM · 0 reps · 210-424-8710 · tpbwealthadvisors.com
45
FINANCE OF AMERICA CAPITAL MANAGEMENT LLC — (ST. PAUL, MN) left the SEC roster (was $500,000 RAUM, 0 reps). IAPD ↗fund
$500,000 RAUM · 0 reps · (651) 412-2042
45
ANQUA MANAGEMENT LLC — (location n/a) left the SEC roster (was $211.3M RAUM, 4 reps). IAPD ↗fund
$211.3M RAUM · 4 reps · 212-808-7423
45
JUPITER ASSET MANAGEMENT US LLC — (DENVER, CO) left the SEC roster (was $20.9M RAUM, 1 reps). IAPD ↗fund
$20.9M RAUM · 1 reps · 1 720 2551933
45
VESPERMARE CAPITAL LP — (NEW YORK, NY) left the SEC roster (was $119.9M RAUM, 3 reps). IAPD ↗fund
$119.9M RAUM · 3 reps · 646-201-5920
45
COLLECTIVE RETIREMENT SOLUTIONS LLC — (BRYN MAWR, PA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · (610) 639-6333 · collectiveretire.com
45
PACIFIC FINANCIAL GROUP, LLC — shrank from 8 to 0 advisory reps. IAPD ↗institutional
$3.09B RAUM · 0 reps · 4254517722 · tpfg.com
40
OLD IRONSIDES ENERGY, LLC — shrank from 8 to 6 advisory reps. IAPD ↗fund
$1.42B RAUM · 6 reps · 617-366-2030 · oldironsidesenergy.com
40
TSPI, LP — shrank from 30 to 13 advisory reps. IAPD ↗fund
$2.38B RAUM · 13 reps · (212) 625-5700
38
CONSILIUM INVESTMENT MANAGEMENT LLC — shrank from 4 to 1 advisory reps. IAPD ↗fund
$472.3M RAUM · 1 reps · 954-315-9380
35
GAVEKAL CAPITAL LIMITED — (WAN CHAI, Hong Kong) left the SEC roster (was $1.06B RAUM, 7 reps). IAPD ↗foreign
$1.06B RAUM · 7 reps · 852-2869-8363 · gavekal-capital.com
35
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC — shrank from 20 to 6 advisory reps. IAPD ↗fund
$190.8M RAUM · 6 reps · 757-623-3676 · wstcm.com
35
JLP ASSET MANAGEMENT, LLC — shrank from 9 to 5 advisory reps. IAPD ↗fund
$212.1M RAUM · 5 reps · 212-578-1650 · jlpasset.com
33
SUMMER STREET CAPITAL PARTNERS, LLC — reported RAUM down 56% ($586.1M -> $255.1M). IAPD ↗fund
$255.1M RAUM · 5 reps · 716-566-2900 · summerstreetcapital.com
33
DISRUPTIVE TECHNOLOGY ADVISERS LLC — reported RAUM down 28% ($959.2M -> $690.2M). IAPD ↗fund
$690.2M RAUM · 10 reps · (424) 205-6850 · disruptive.tech
30
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC — reported RAUM down 97% ($5.50B -> $190.8M). IAPD ↗fund
$190.8M RAUM · 6 reps · 757-623-3676 · wstcm.com
30
THAYER GP VI LLC — reported RAUM down 73% ($202.2M -> $55.1M). IAPD ↗fund
$55.1M RAUM · 4 reps · 212-417-7000
30
JLP ASSET MANAGEMENT, LLC — reported RAUM down 48% ($409.9M -> $212.1M). IAPD ↗fund
$212.1M RAUM · 5 reps · 212-578-1650 · jlpasset.com
30
NORBURY PARTNERS LP — reported RAUM down 40% ($123.1M -> $73.8M). IAPD ↗fund
$73.8M RAUM · 3 reps · 646-460-4601 · norburypartners.com
20
FIL INVESTMENTS (JAPAN) LIMITED — shrank from 52 to 39 advisory reps. IAPD ↗foreign
$0 RAUM · 39 reps · 00813-4560-6000

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.