← Tributary

M&A & valuation — July 2024

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

106 firms opened this window in the July 2024 SEC roster: 66 deregistered, 24 headcount down, 16 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
FOURTH STREET PERFORMANCE PARTNERS, INC. — (COVINGTON, KY) left the SEC roster (was $4.83B RAUM, 10 reps). IAPD ↗
$4.83B RAUM · 10 reps · 859-491-5556 · fourthst.com
65
SECURITIES AMERICA ADVISORS, INC. — (LA VISTA, NE) left the SEC roster (was $40.42B RAUM, 2025 reps). IAPD ↗
$40.42B RAUM · 2025 reps · 402-399-9111 · synfintax.com
65
IRON CAPITAL ADVISORS INC. — (ATLANTA, GA) left the SEC roster (was $5.22B RAUM, 3 reps). IAPD ↗
$5.22B RAUM · 3 reps · 404-564-9850 · ironcapitaladvisors.com
63
DEL MONTE GROUP, LLC — (location n/a) left the SEC roster (was $307.6M RAUM, 2 reps). IAPD ↗
$307.6M RAUM · 2 reps · 925-736-6410
63
PRUDEO PARTNERS, LLC — (WEST COLUMBIA, SC) left the SEC roster (was $412.9M RAUM, 4 reps). IAPD ↗
$412.9M RAUM · 4 reps · 803-739-6311
63
VAN LEEUWEN & COMPANY, LLC — (PRINCETON, NJ) left the SEC roster (was $308.6M RAUM, 4 reps). IAPD ↗
$308.6M RAUM · 4 reps · 609-580-0088
63
GLOVISTA INVESTMENTS LLC — (JERSEY CITY, NJ) left the SEC roster (was $328.5M RAUM, 2 reps). IAPD ↗
$328.5M RAUM · 2 reps · 212-336-1540
63
COHANZICK MANAGEMENT LLC — (PLEASANTVILLE, NY) left the SEC roster (was $880.6M RAUM, 3 reps). IAPD ↗
$880.6M RAUM · 3 reps · 914-741-9600
63
BENEDETTI, GUCER & ASSOCIATES — (ATLANTA, GA) left the SEC roster (was $572.3M RAUM, 13 reps). IAPD ↗
$572.3M RAUM · 13 reps · 404-602-0034
63
FIRESIDE CAPITAL ADVISORS INC. — (DALLAS, TX) left the SEC roster (was $262.3M RAUM, 2 reps). IAPD ↗
$262.3M RAUM · 2 reps · 469-357-6370 · firesidecapital.com
60
PAINTER, SMITH AND AMBERG INC. — (REDLANDS, CA) left the SEC roster (was $115.7M RAUM, 4 reps). IAPD ↗
$115.7M RAUM · 4 reps · 909-557-2800
60
SARATOGA WEALTH ADVISORS, LLC — (SARATOGA SPRINGS, NY) left the SEC roster (was $93.0M RAUM, 1 reps). IAPD ↗
$93.0M RAUM · 1 reps · 518-587-7147 · saratogawealth.com
60
THREE POINTS FINANCIAL, INC. — (COLORADO SPRINGS, CO) left the SEC roster (was $119.2M RAUM, 1 reps). IAPD ↗
$119.2M RAUM · 1 reps · 719-495-7163
60
MGM LLC — (ALBUQUERQUE, NM) left the SEC roster (was $144.7M RAUM, 3 reps). IAPD ↗
$144.7M RAUM · 3 reps · 505-346-3434 · thehgroup.com
60
YORKVILLE CAPITAL MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $12.8M RAUM, 1 reps). IAPD ↗
$12.8M RAUM · 1 reps · 212-755-1970
60
SAGA PARTNERS LLC — (location n/a) left the SEC roster (was $15.2M RAUM, 1 reps). IAPD ↗
$15.2M RAUM · 1 reps · 480-678-2950 · sagapartners.com
60
BROADCORE INVESTMENTS LP — (location n/a) left the SEC roster (was $13.0M RAUM, 2 reps). IAPD ↗
$13.0M RAUM · 2 reps · 646-535-6900
60
PURSINO ADVISORY GROUP LLC — (GARDEN CITY, NY) left the SEC roster (was $19.4M RAUM, 1 reps). IAPD ↗
$19.4M RAUM · 1 reps · 516-240-8088 · pursino.com
60
PATHFINDER WEALTH ADVISORS LLC — (MAYFIELD HEIGHTS, OH) left the SEC roster (was $69.9M RAUM, 1 reps). IAPD ↗
$69.9M RAUM · 1 reps · 216-533-0463 · pathfinderwealthadvisors.com
60
GALTERE INC. — (PRESTON, MN) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 212-598-1837 · galtere.com
60
KEATING WEALTH MANAGEMENT, LLC — (DENVER, CO) left the SEC roster (was $202.7M RAUM, 1 reps). IAPD ↗
$202.7M RAUM · 1 reps · (720) 408-5250
60
WEALTH PLANNING AND DESIGN LLC — (SARASOTA, FL) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 941-361-1484 · wealthplanninganddesign.com
60
KARNER BLUE CAPITAL, LLC — (location n/a) left the SEC roster (was $72,791 RAUM, 2 reps). IAPD ↗
$72,791 RAUM · 2 reps · 833-527-6372
60
TRUADVICE LLC — (SARASOTA, FL) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗
$0 RAUM · 0 reps · 9414135390 · truadvicellc.com
60
ARS INVESTMENT ADVISORS, INC. — (KAYSVILLE, UT) left the SEC roster (was $107.4M RAUM, 5 reps). IAPD ↗
$107.4M RAUM · 5 reps · 385-249-5651 · advancedretirementstrategies.com
60
ATLAS FIDUCIARY FINANCIAL, LLC — (SARASOTA, FL) left the SEC roster (was $231.2M RAUM, 5 reps). IAPD ↗
$231.2M RAUM · 5 reps · (941) 879-9290 · atlasfiduciary.com
60
ASPIRE WEALTH MANAGEMENT — (OVERLAND PARK, KS) left the SEC roster (was $96.6M RAUM, 1 reps). IAPD ↗
$96.6M RAUM · 1 reps · 913-322-3500
60
CARDEA CAPITAL GROUP, INC. — (ATLANTA, GA) left the SEC roster (was $22.4M RAUM, 2 reps). IAPD ↗
$22.4M RAUM · 2 reps · 770-977-7779 · cardeacapitalgroup.com
60
BRIGHTON SECURITIES CAPITAL MANAGEMENT, INC. — (ROCHESTER, NY) left the SEC roster (was $195.0M RAUM, 2 reps). IAPD ↗
$195.0M RAUM · 2 reps · 585-473-3590 · brightonsecurities.com
60
GIRAFFE INVEST — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $14,297 RAUM, 1 reps). IAPD ↗
$14,297 RAUM · 1 reps · 860-878-7180
60
INTRINSIC VALUE CAPITAL ADVISORS, LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 0 reps). IAPD ↗
$0 RAUM · 0 reps · 5015297011
60
PATTERN — (location n/a) left the SEC roster (was $27,682 RAUM, 1 reps). IAPD ↗
$27,682 RAUM · 1 reps · 503-201-1375 · patternfi.com
60
ALTAR ROCK — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $3.1M RAUM, 5 reps). IAPD ↗
$3.1M RAUM · 5 reps · 917 226 0565 · altarrockwealth.com
60
RETIREWELL PLANS — (MELVILLE, NY) left the SEC roster (was $34.3M RAUM, 1 reps). IAPD ↗
$34.3M RAUM · 1 reps · 631-559-3404
60
LOCKWOOD WEALTH STRATEGIES, LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $41.3M RAUM, 1 reps). IAPD ↗
$41.3M RAUM · 1 reps · (346) 487-8700 · lockwoodws.com
55
GRIES FINANCIAL PARTNERS — shrank from 13 to 10 advisory reps. IAPD ↗
$1.28B RAUM · 10 reps · 216-861-1148 · gries.com
55
COHO PARTNERS, LTD. — shrank from 10 to 8 advisory reps. IAPD ↗
$4.56B RAUM · 8 reps · 484-318-7575 · cohofunds.com
55
BAKER TILLY WEALTH MANAGEMENT, LLC — shrank from 22 to 16 advisory reps. IAPD ↗
$4.41B RAUM · 16 reps · 833-761-0673 · bakertilly.com
55
NINETY ONE NORTH AMERICA, INC. — shrank from 44 to 29 advisory reps. IAPD ↗
$39.54B RAUM · 29 reps · 1 917 206 5179 · ninetyone.com
53
AMERICAN INVESTORS CO — shrank from 37 to 32 advisory reps. IAPD ↗
$616.9M RAUM · 32 reps · 925-866-2882 · americaninvestorsco.com
53
TMD WEALTH MANAGEMENT — shrank from 8 to 6 advisory reps. IAPD ↗
$780.8M RAUM · 6 reps · 602-279-2020
53
SINGER WEALTH ADVISORS LLC — shrank from 12 to 9 advisory reps. IAPD ↗
$424.6M RAUM · 9 reps · 561-998-9985
50
FINANCIAL COUNSELING ASSOCIATES, INC — shrank from 4 to 2 advisory reps. IAPD ↗
$107.2M RAUM · 2 reps · 720-272-4419 · fca-inc.com
48
CARDINAL CAPITAL MANAGEMENT, L.L.C. — reported RAUM down 74% ($1.47B -> $386.3M). IAPD ↗
$386.3M RAUM · 7 reps · 203-863-8990 · cardcap.com
45
COORDINATED CAPITAL SECURITIES, INC. — reported RAUM down 37% ($232.5M -> $145.7M). IAPD ↗
$145.7M RAUM · 20 reps · 608-221-4545
45
FINANCIAL COUNSELING ASSOCIATES, INC — reported RAUM down 63% ($293.0M -> $107.2M). IAPD ↗
$107.2M RAUM · 2 reps · 720-272-4419 · fca-inc.com
45
WATTS CAPITAL PARTNERS LLC — reported RAUM down 76% ($423.9M -> $100.0M). IAPD ↗
$100.0M RAUM · 5 reps · 212-735-8921 · wattscapital.com
45
ATLANTIS ASSET MANAGEMENT, LLC — reported RAUM down 35% ($25.0M -> $16.2M). IAPD ↗
$16.2M RAUM · 2 reps · 212-945-8501 · atlantisasset.com
45
FLEISHER, MARTIN — reported RAUM down 87% ($1.15B -> $147.4M). IAPD ↗
$147.4M RAUM · 1 reps · 212-767-7307
45
SOUND & SECURE ADVISORS LLC — reported RAUM down 36% ($46.7M -> $30.0M). IAPD ↗
$30.0M RAUM · 1 reps · (516) 536-1438
55
DARWIN ASSET MANAGEMENT, LLC — (TAMPA, FL) left the SEC roster (was $1.01B RAUM, 3 reps). IAPD ↗institutional
$1.01B RAUM · 3 reps · 813-579-4074 · investwithdarwin.com
53
ALTITUDE CREST PARTNERS INC. — (STAMFORD, CT) left the SEC roster (was $256.0M RAUM, 4 reps). IAPD ↗institutional
$256.0M RAUM · 4 reps · 203-359-5620
53
TOSCAFUND US LTD. — (NEW YORK, NY) left the SEC roster (was $433.0M RAUM, 1 reps). IAPD ↗institutional
$433.0M RAUM · 1 reps · +1 203 983 3203
50
PRIMA CAPITAL ADVISORS — (SCARSDALE, NY) left the SEC roster (was $9.53B RAUM, 7 reps). IAPD ↗fund
$9.53B RAUM · 7 reps · 914-725-9380 · primaadvisors.com
50
ZEBRA CAPITAL MANAGEMENT, LLC — (STAMFORD, CT) left the SEC roster (was $3.2M RAUM, 6 reps). IAPD ↗institutional
$3.2M RAUM · 6 reps · 203-701-5900 · zebracapital.com
50
ZEBRA ADVISORS, LLC — (STAMFORD, CT) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 203-701-5900 · zebracapital.com
50
ALPHA CENTAURI WEALTH MANAGEMENT INC. — (ANAHEIM, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 714-456-1790
50
ADVOCATE CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $1.8M RAUM, 3 reps). IAPD ↗institutional
$1.8M RAUM · 3 reps · 2127058516 · advocatecapmgt.com
50
TERRA FUND ADVISORS, LLC — (NEW YORK, NY) left the SEC roster (was $23.6M RAUM, 0 reps). IAPD ↗institutional
$23.6M RAUM · 0 reps · 212-753-5100 · tcp-us.com
50
KUVARE ASSET MANAGEMENT — (ROSEMONT, IL) left the SEC roster (was $27.58B RAUM, 41 reps). IAPD ↗fund
$27.58B RAUM · 41 reps · 312-682-6389 · kuvareassetmanagement.com
50
GLOVISTA INVESTMENTS ASSET MANAGEMENT LLC — (JERSEY CITY, NJ) left the SEC roster (was $151.0M RAUM, 2 reps). IAPD ↗institutional
$151.0M RAUM · 2 reps · 212-336-1540 · glovista.net
50
KAIJU ETF ADVISORS — (RED BANK, NJ) left the SEC roster (was $3.9M RAUM, 7 reps). IAPD ↗institutional
$3.9M RAUM · 7 reps · +41 79 603 78 53 · kaiju.ai
50
MAMMOTH ADVISORS, LLC — (FORT WAYNE, IN) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · (260) 413-9184
50
VGI PARTNERS, INC. — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 2129374700
50
FOX INVESTMENTS MANAGEMENT LP — (location n/a) left the SEC roster (was $2.00B RAUM, 1 reps). IAPD ↗fund
$2.00B RAUM · 1 reps · (415) 416-2093
50
ARC LUMINOUS MANAGEMENT COMPANY LLC — (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 · 332-266-7344 · luminouscapitalinc.com
50
MISSION INVESTMENT ADVISORS LLC — (SAN FRANCISCO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 1-800-683-8529
50
S2G — (CHICAGO, IL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 50 reps). IAPD ↗institutional
$0 RAUM · 50 reps · 773-720-8271
48
PACIFIC CURRENT GROUP — (TACOMA, WA) left the SEC roster (was $403.6M RAUM, 2 reps). IAPD ↗fund
$403.6M RAUM · 2 reps · 253-238-0417
48
DIRECT LENDING INVESTMENTS, LLC — (GLENDALE, CA) left the SEC roster (was $866.3M RAUM, 7 reps). IAPD ↗fund
$866.3M RAUM · 7 reps · 213-234-1770 · dirlend.com
45
GARRISON INVESTMENT GROUP LP — (NEW YORK, NY) left the SEC roster (was $195.4M RAUM, 2 reps). IAPD ↗fund
$195.4M RAUM · 2 reps · 1-646-662-6004
45
CENTURY PARK CAPITAL PARTNERS — (EL SEGUNDO, CA) left the SEC roster (was $239.5M RAUM, 8 reps). IAPD ↗fund
$239.5M RAUM · 8 reps · 310-867-2210 · centuryparkcapital.com
45
SOFI CAPITAL ADVISORS LLC — (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗fund
$0 RAUM · 0 reps · 855-525-7634
45
COOPER INVESTMENT PARTNERS LLC — (FAIRFIELD, CT) left the SEC roster (was $241.6M RAUM, 1 reps). IAPD ↗fund
$241.6M RAUM · 1 reps · 415-310-0744 · cooperinvest.net
45
ONE01 CAPITAL, L.P. — (BURLINGAME, CA) left the SEC roster (was $165.8M RAUM, 4 reps). IAPD ↗fund
$165.8M RAUM · 4 reps · 628-800-4456 · one01cap.com
45
GTS ASSET MANAGEMENT LP — (NEW YORK, NY) left the SEC roster (was $74.9M RAUM, 3 reps). IAPD ↗fund
$74.9M RAUM · 3 reps · 212-715-2830 · gtsx.com
45
DAIWA ASSET MANAGEMENT (AMERICA) LTD — shrank from 8 to 6 advisory reps. IAPD ↗institutional
$2.10B RAUM · 6 reps · 212-612-6250
45
LUMENT INVESTMENT MANAGEMENT, LLC — shrank from 53 to 42 advisory reps. IAPD ↗institutional
$2.13B RAUM · 42 reps · 212-317-5700
40
FISAI US MANAGEMENT LLC — shrank from 4 to 2 advisory reps. IAPD ↗institutional
$227.7M RAUM · 2 reps · 310-906-9537 · fisai.com
38
POLAR CAPITAL (AMERICA) CORPORATION — reported RAUM down 35% ($706.4M -> $456.6M). IAPD ↗institutional
$456.6M RAUM · 3 reps · 203-604-1550 · polarcapital.co.uk
35
HAMILTON LANE — reported RAUM down 85% ($856.99B -> $124.41B). IAPD ↗fund
$124.41B RAUM · 225 reps · 610-934-2222
35
LIONTRUST INVESTMENT PARTNERS LLP — (LONDON, United Kingdom) left the SEC roster (was $36.36B RAUM, 58 reps). IAPD ↗foreign
$36.36B RAUM · 58 reps · 442074121752
33
ARLON ADVISOR LLC — reported RAUM down 34% ($1.45B -> $955.4M). IAPD ↗fund
$955.4M RAUM · 22 reps · 212-207-5200
33
ESTUARY CAPITAL MANAGEMENT LP — reported RAUM down 27% ($573.0M -> $418.2M). IAPD ↗fund
$418.2M RAUM · 11 reps · 612-895-5515
30
LOMBARD — reported RAUM down 26% ($304.6M -> $224.0M). IAPD ↗fund
$224.0M RAUM · 6 reps · 415-397-5900 · lombardinvestments.com
30
ABSOLUTE RETURN STRATEGIES LTD. — (GEORGE TOWN, GRAND CAYMAN, Cayman Islands) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗foreign
$0 RAUM · 2 reps · 447572056270 · ars-alpha.com
30
KALENJIN ADVISORY LTD. — (TORONTO, Canada) left the SEC roster (was $550,000 RAUM, 1 reps). IAPD ↗foreign
$550,000 RAUM · 1 reps · 647-388-2977 · kalenjin-advisory.com
30
ALQUITY INVESTMENT MANAGEMENT LTD. — (LONDON, United Kingdom) left the SEC roster (was $115.0M RAUM, 5 reps). IAPD ↗foreign
$115.0M RAUM · 5 reps · +44(0) 207 5577 7850
30
GMG PRIVATE COUNSEL ULC — (TORONTO, ONTARIO, Canada) left the SEC roster (was $192.6M RAUM, 3 reps). IAPD ↗foreign
$192.6M RAUM · 3 reps · 416-861-1998
25
NIKKO ASSET MANAGEMENT CO LTD — shrank from 140 to 130 advisory reps. IAPD ↗foreign
$222.46B RAUM · 130 reps · 81-3-6447-6000 · en.nikkoam.com
25
EGERTON CAPITAL (UK) LLP — shrank from 11 to 7 advisory reps. IAPD ↗foreign
$16.05B RAUM · 7 reps · +44(0)2074109090 · egertoncapital.com
25
AVENDUS WEALTH MANAGEMENT PRIVATE LIMITED — shrank from 6 to 4 advisory reps. IAPD ↗foreign
$1.67B RAUM · 4 reps · -7488
25
SECURIS INVESTMENT PARTNERS LLP — shrank from 22 to 17 advisory reps. IAPD ↗foreign
$3.33B RAUM · 17 reps · 44 020 7847 3700
25
BOUSSARD & GAVAUDAN INVESTMENT MANAGEMENT LLP — shrank from 14 to 11 advisory reps. IAPD ↗foreign
$3.70B RAUM · 11 reps · -6310 · boussard-gavaudan.com
25
DUNDAS GLOBAL INVESTORS — shrank from 9 to 7 advisory reps. IAPD ↗foreign
$2.55B RAUM · 7 reps · 44 131 556 2627
25
STEPSTONE GROUP EUROPE ALTERNATIVE INVESTMENTS LIMITED — shrank from 85 to 33 advisory reps. IAPD ↗foreign
$33.01B RAUM · 33 reps · +353 1 536 14 00
25
RUFFER LLP — shrank from 177 to 133 advisory reps. IAPD ↗foreign
$27.09B RAUM · 133 reps · 00 44 20 7963 8100
25
CLEAN ENERGY TRANSITION LLP — shrank from 8 to 5 advisory reps. IAPD ↗foreign
$3.72B RAUM · 5 reps · 442038705963 · cleanenergytransition.com
25
KOTAK ALTERNATE ASSET MANAGERS LIMITED — shrank from 64 to 45 advisory reps. IAPD ↗foreign
$17.65B RAUM · 45 reps · -43360632
23
NW1 PARTNERS — shrank from 14 to 11 advisory reps. IAPD ↗foreign
$450.0M RAUM · 11 reps · 2074481448 · nw1partners.com
23
NW1 PARTNERS — shrank from 14 to 11 advisory reps. IAPD ↗foreign
$477.5M RAUM · 11 reps · 2074481448 · nw1partners.com
23
OLD BRIDGE CAPITAL MANAGEMENT PRIVATE LIMITED — shrank from 6 to 2 advisory reps. IAPD ↗foreign
$337.8M RAUM · 2 reps · 91-22-69459999 · oldbridgecapital.com
20
HIGHCLERE INTERNATIONAL INVESTORS — reported RAUM down 25% ($2.89B -> $2.17B). IAPD ↗foreign
$2.17B RAUM · 12 reps · +44 207-258-9830 · highclereinvestors.com
20
TOSCAFUND ASSET MANAGEMENT — reported RAUM down 32% ($2.05B -> $1.40B). IAPD ↗foreign
$1.40B RAUM · 23 reps · +44 20 7845 6100
18
OSMOSIS INVESTMENT MANAGEMENT US LLC — reported RAUM down 34% ($648.6M -> $426.4M). IAPD ↗foreign
$426.4M RAUM · 21 reps · +44 (0) 203 928 6555
15
SEPHIRA INVESTMENT ADVISORS (UK) LIMITED — reported RAUM down 41% ($113.1M -> $66.8M). IAPD ↗foreign
$66.8M RAUM · 5 reps · 44 (0) 203 598 5419 · sephira-em.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.