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M&A & valuation — June 2024

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

72 firms opened this window in the June 2024 SEC roster: 50 deregistered, 12 headcount down, 10 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
CREDIT SUISSE ASSET MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $59.89B RAUM, 64 reps). IAPD ↗
$59.89B RAUM · 64 reps · 212-325-2000 · credit-suisse.com
65
ML&R WEALTH MANAGEMENT LLC — (AUSTIN, TX) left the SEC roster (was $1.79B RAUM, 8 reps). IAPD ↗
$1.79B RAUM · 8 reps · 512-275-2700
65
ZCM — (CHICAGO, IL) left the SEC roster (was $6.61B RAUM, 28 reps). IAPD ↗
$6.61B RAUM · 28 reps · 312-368-1442
63
HARBOR FINANCIAL GROUP, INC. — (BOULDER, CO) left the SEC roster (was $316.4M RAUM, 3 reps). IAPD ↗
$316.4M RAUM · 3 reps · 303-939-8788
63
SOUNDMARK WEALTH MANAGEMENT, LLC — (KIRKLAND, WA) left the SEC roster (was $411.0M RAUM, 5 reps). IAPD ↗
$411.0M RAUM · 5 reps · 425-820-1769
63
CLEARLOGIC FINANCIAL, INC. — (RESTON, VA) left the SEC roster (was $425.2M RAUM, 6 reps). IAPD ↗
$425.2M RAUM · 6 reps · 703-476-3521 · clearlogicfinancial.com
63
FULLEN FINANCIAL GROUP, INC. — (COLUMBUS, OH) left the SEC roster (was $282.0M RAUM, 4 reps). IAPD ↗
$282.0M RAUM · 4 reps · 614-372-5430 · fullenfinancial.com
63
EFP ADVISORS — (JACKSON, MS) left the SEC roster (was $282.8M RAUM, 3 reps). IAPD ↗
$282.8M RAUM · 3 reps · 601-206-0006
63
3D/L CAPITAL MANAGEMENT, LLC — (HARTFORD, CT) left the SEC roster (was $574.1M RAUM, 10 reps). IAPD ↗
$574.1M RAUM · 10 reps · 860-291-1998 · sterlinggroupat3d.com
60
BASE MANAGEMENT CO — (TOWSON, MD) left the SEC roster (was $79.6M RAUM, 1 reps). IAPD ↗
$79.6M RAUM · 1 reps · 410-583-4828 · basemanagement.com
60
LEE FINANCIAL GROUP HAWAII, INC. — (HONOLULU, HI) left the SEC roster (was $226.3M RAUM, 7 reps). IAPD ↗
$226.3M RAUM · 7 reps · 808-988-8088 · leehawaii.com
60
SUNBRIDGE MANAGEMENT, INC. — (AMHERST, NY) left the SEC roster (was $34.0M RAUM, 1 reps). IAPD ↗
$34.0M RAUM · 1 reps · 716-626-0307 · sunbridge.biz
60
SYMPHONIC FINANCIAL ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $125.2M RAUM, 4 reps). IAPD ↗
$125.2M RAUM · 4 reps · 212-702-3500
60
WEALTH LEGACY INSTITUTE, INC. — (DENVER, CO) left the SEC roster (was $197.4M RAUM, 3 reps). IAPD ↗
$197.4M RAUM · 3 reps · 303-753-7578 · wealthlegacyinstitute.com
60
EQUISTAR WEALTH MANAGEMENT LLC — (AUSTIN, TX) left the SEC roster (was $165.6M RAUM, 2 reps). IAPD ↗
$165.6M RAUM · 2 reps · 512-250-2277 · eswealth.com
60
KOBO RETIREMENT STRATEGIES — (PASADENA, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 626-578-0816 · krsfiduciary.com
60
NEXUS CAPITAL, LLC — (PITTSFORD, NY) left the SEC roster (was $11.9M RAUM, 1 reps). IAPD ↗
$11.9M RAUM · 1 reps · 585-348-9090 · nexuscapitalco.com
60
FISHER FINANCIAL ADVISORS LLC — (HANOVER, NH) left the SEC roster (was $180.0M RAUM, 2 reps). IAPD ↗
$180.0M RAUM · 2 reps · 603-643-4448 · fisherfinancialadvisors.com
60
WEST POTOMAC CAPITAL LLC — (ARLINGTON, VA) left the SEC roster (was $5.3M RAUM, 3 reps). IAPD ↗
$5.3M RAUM · 3 reps · 703-850-5533 · westpotomaccap.com
60
XIGGIT FINANCIAL — (PALO ALTO, CA) left the SEC roster (was $58,000 RAUM, 1 reps). IAPD ↗
$58,000 RAUM · 1 reps · 650-417-5980 · xiggitfinancial.com
60
MEDICI — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 516-721-1580 · medici.ai
60
SPIKE INVEST — (TYSONS, VA) left the SEC roster (was $25,000 RAUM, 1 reps). IAPD ↗
$25,000 RAUM · 1 reps · 646-684-7449
60
DAVID KEMP BATTLE CORP. — (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 · 828-335-7495 · xdiversify.wpcomstaging.com
60
VAMA OAK WEALTH, LLC — (NEWTOWN, PA) left the SEC roster — its 120-day provisional registration did not convert (was $37.1M RAUM, 2 reps). IAPD ↗
$37.1M RAUM · 2 reps · 215-809-2011
60
KMT WEALTH MANAGEMENT, LLC — (EL SEGUNDO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 773-895-8962 · kmtwealth.com
55
ZACKS INVESTMENT MANAGEMENT, INC. — shrank from 15 to 11 advisory reps. IAPD ↗
$10.56B RAUM · 11 reps · 312-265-9266 · zacksandassociates.com
53
MWM GROUP LLC — shrank from 5 to 1 advisory reps. IAPD ↗
$306.3M RAUM · 1 reps · 718-696-4000
53
TRU INDEPENDENCE ASSET MANAGEMENT, LLC — shrank from 9 to 7 advisory reps. IAPD ↗
$557.2M RAUM · 7 reps · (971) 371-3444 · yellowwoodwealth.com
53
TACTIVE ADVISORS, LLC — shrank from 3 to 1 advisory reps. IAPD ↗
$405.8M RAUM · 1 reps · 855-282-2848 · pcliftonfinancial.com
50
CARDINAL CAPITAL MANAGEMENT, L.L.C. — reported RAUM down 35% ($2.27B -> $1.47B). IAPD ↗
$1.47B RAUM · 7 reps · 203-863-8990 · cardcap.com
50
MUTUAL TRUST ASSET MGMT., INC. — shrank from 12 to 9 advisory reps. IAPD ↗
$241.4M RAUM · 9 reps · 727-799-9922
50
OPUS FINANCIAL SOLUTIONS LLC — shrank from 4 to 2 advisory reps. IAPD ↗
$151.1M RAUM · 2 reps · 331-777-5449
50
CROSS BORDER WEALTH, LLC — shrank from 7 to 5 advisory reps. IAPD ↗
$100.0M RAUM · 5 reps · 646-688-5333 · crossborder-wealth.com
50
CAPITOL FAMILY OFFICE, INC. — shrank from 4 to 2 advisory reps. IAPD ↗
$134.1M RAUM · 2 reps · (503) 897-0236 · capitolcfo.com
45
INNOVIS ASSET MANAGEMENT LLC — reported RAUM down 99% ($345.8M -> $1.8M). IAPD ↗
$1.8M RAUM · 1 reps · 858-414-3929
55
CIPHER CAPITAL LP — (NEW YORK, NY) left the SEC roster (was $1.30B RAUM, 5 reps). IAPD ↗institutional
$1.30B RAUM · 5 reps · 646-416-6009 · ciphercap.com
53
XANTHOS CAPITAL MANAGEMENT LP — (WELLINGTON, FL) left the SEC roster (was $300.0M RAUM, 4 reps). IAPD ↗institutional
$300.0M RAUM · 4 reps · 561-783-3590 · xanthoscap.com
50
SOCIAL CAPITAL — (MENLO PARK, CA) left the SEC roster (was $1.49B RAUM, 7 reps). IAPD ↗fund
$1.49B RAUM · 7 reps · (650) 521-9007 · socialcapital.com
50
CNL STRATEGIC ASSET MANAGEMENT, LLC — (ORLANDO, FL) left the SEC roster (was $4.4M RAUM, 2 reps). IAPD ↗institutional
$4.4M RAUM · 2 reps · 407-650-1000
50
VATIC INVESTMENTS — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 646-202-1494 · vaticlabs.ai
50
SAGOL ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $34.3M RAUM, 1 reps). IAPD ↗institutional
$34.3M RAUM · 1 reps · 8459451208
50
KULTURA CAPITAL MANAGEMENT LP — (PARK CITY, UT) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 5 reps). IAPD ↗institutional
$0 RAUM · 5 reps · 858-298-4888 · kulturacap.com
50
VISDOM INVESTMENT GROUP LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · (203) 803-7222
50
RESOLUTE MANAGER LP — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 202-223-7394
48
MFP INVESTORS LLC — (NEW YORK, NY) left the SEC roster (was $487.0M RAUM, 4 reps). IAPD ↗fund
$487.0M RAUM · 4 reps · 212 752-7280
48
NARA CAPITAL, LP — (FAIRFIELD, NJ) left the SEC roster (was $419.1M RAUM, 3 reps). IAPD ↗fund
$419.1M RAUM · 3 reps · (212) 256-8470
48
ZENYATTA CAPITAL MANAGEMENT LP — (FAIRFIELD, CT) left the SEC roster (was $295.8M RAUM, 4 reps). IAPD ↗fund
$295.8M RAUM · 4 reps · 203-292-2800 · zenyattacapital.com
45
CENTURY BRIDGE PARTNERS MANAGEMENT, LLC — (DALLAS, TX) left the SEC roster (was $13.0M RAUM, 8 reps). IAPD ↗fund
$13.0M RAUM · 8 reps · 817-437-9760 · centurybridge.com
45
SPEYSIDE FUND ADVISERS LLC — (SOUTHFIELD, MI) left the SEC roster (was $77.6M RAUM, 4 reps). IAPD ↗fund
$77.6M RAUM · 4 reps · 855-233-5695 · speysideequity.com
45
KIG INVESTMENT MANAGEMENT, LLC — (KEY BISCAYNE, FL) left the SEC roster (was $86.5M RAUM, 2 reps). IAPD ↗fund
$86.5M RAUM · 2 reps · 617-938-3443 · kigip.com
45
SOUTH HARBOR MANAGEMENT LLC — (PORTSMOUTH, NH) left the SEC roster (was $55.7M RAUM, 1 reps). IAPD ↗fund
$55.7M RAUM · 1 reps · 603-407-0559
45
NORTH SHIELD CAPITAL LLC — (NEW YORK, NY) left the SEC roster (was $53.3M RAUM, 4 reps). IAPD ↗fund
$53.3M RAUM · 4 reps · 917-546-2079
45
NEW HYDE PARK ASSET MANAGEMENT LLC — (WHEATON, IL) left the SEC roster — its 120-day provisional registration did not convert (was $21.8M RAUM, 10 reps). IAPD ↗fund
$21.8M RAUM · 10 reps · 312-375-4903 · nhpaf.com
45
BLKBRD ASSET MANAGEMENT — (GREENWICH, CT) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · -6707
43
AECOM CAPITAL REAL ESTATE, LLC — shrank from 7 to 1 advisory reps. IAPD ↗institutional
$580.7M RAUM · 1 reps · 213-593-8100
40
SAROFIM REALTY ADVISORS LLC — shrank from 6 to 4 advisory reps. IAPD ↗fund
$1.89B RAUM · 4 reps · 713-654-4484 · sraco.com
40
VOLT EQUITY LLC — shrank from 3 to 1 advisory reps. IAPD ↗institutional
$4.8M RAUM · 1 reps · 415-993-8658
40
PLATO'S PHILOSOPHY, LLC — shrank from 5 to 1 advisory reps. IAPD ↗institutional
$39.4M RAUM · 1 reps · 805-888-2384 · stockhack.com
35
OBP CAPITAL — reported RAUM down 34% ($117.5M -> $77.4M). IAPD ↗institutional
$77.4M RAUM · 2 reps · 252-984-3808
35
TACTICAL GLOBAL MANAGEMENT LIMITED — (BRISBANE, Australia) left the SEC roster (was $9.15B RAUM, 4 reps). IAPD ↗foreign
$9.15B RAUM · 4 reps · +61 7 3239 2777
35
SOMERSET CAPITAL MANAGEMENT LLP — (LONDON, United Kingdom) left the SEC roster (was $4.24B RAUM, 15 reps). IAPD ↗foreign
$4.24B RAUM · 15 reps · 44 207 259 1300 · somersetcm.com
33
LIJARO ASSET MANAGEMENT — (LONDON, United Kingdom) left the SEC roster (was $801.1M RAUM, 4 reps). IAPD ↗foreign
$801.1M RAUM · 4 reps · +44 207 963 1762 · lijaro.com
30
R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC. — reported RAUM down 43% ($64.2M -> $36.5M). IAPD ↗fund
$36.5M RAUM · 10 reps · 212-245-0400 · niederhoffer.com
30
HEP PARTNERS LLC — reported RAUM down 32% ($327.4M -> $221.4M). IAPD ↗fund
$221.4M RAUM · 6 reps · 214-615-2300 · hicksholdings.com
30
PRAESIDIAN CAPITAL MANAGEMENT II, LLC — reported RAUM down 27% ($193.9M -> $140.6M). IAPD ↗fund
$140.6M RAUM · 7 reps · 212-520-2600 · praesidian.com
30
NIKKO ASSET MANAGEMENT HONG KONG LIMITED — (HONG KONG, Hong Kong) left the SEC roster (was $35.5M RAUM, 2 reps). IAPD ↗foreign
$35.5M RAUM · 2 reps · -6988 · nikkoam.com.hk
30
TIMESWELL ROBO ADVISORS — (BEIJING, China) left the SEC roster (was $2,166 RAUM, 2 reps). IAPD ↗foreign
$2,166 RAUM · 2 reps · 8610-85900378 · timeswelladvisor.com
30
ORACLE ALPHA INC — (TORONTO, Canada) left the SEC roster (was $172.9M RAUM, 6 reps). IAPD ↗foreign
$172.9M RAUM · 6 reps · 212-537-6299
20
ZADIG ASSET MANAGEMENT S.A. — reported RAUM down 42% ($2.27B -> $1.31B). IAPD ↗foreign
$1.31B RAUM · 2 reps · -8596 · zadigfunds.com
20
SAND GROVE CAPITAL MANAGEMENT LLP — reported RAUM down 29% ($3.59B -> $2.56B). IAPD ↗foreign
$2.56B RAUM · 10 reps · 44 20 3770 8610 · sandgrovecapital.com
18
NEWGEN ASSET MANAGEMENT LIMITED — reported RAUM down 33% ($781.0M -> $522.6M). IAPD ↗foreign
$522.6M RAUM · 8 reps · 416-941-9112
15
MONTERONE PARTNERS LLP — reported RAUM down 26% ($335.1M -> $246.7M). IAPD ↗foreign
$246.7M RAUM · 4 reps · 44 (0) 203 763 5403 · monteronepartners.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.