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M&A & valuation — August 2024

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

96 firms opened this window in the August 2024 SEC roster: 73 deregistered, 15 headcount down, 8 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
CROWN CAPITAL SECURITIES, L.P. — (ORANGE, CA) left the SEC roster (was $1.22B RAUM, 164 reps). IAPD ↗
$1.22B RAUM · 164 reps · 714-547-9481 · crowncapitalsecurities.com
65
THE FINANCIAL ADVISORY GROUP, LLC — (HOUSTON, TX) left the SEC roster (was $1.24B RAUM, 10 reps). IAPD ↗
$1.24B RAUM · 10 reps · 713-627-7660 · finadvisors.com
65
ATLAS PRIVATE WEALTH MANAGEMENT, LLC — (ALBANY, NY) left the SEC roster (was $1.26B RAUM, 10 reps). IAPD ↗
$1.26B RAUM · 10 reps · (518) 482-5777
65
WACKER WEALTH PARTNERS, LLC — (SAN LUIS OBISPO, CA) left the SEC roster (was $1.14B RAUM, 12 reps). IAPD ↗
$1.14B RAUM · 12 reps · 805-541-1308
65
ENVOI LLC — (MINNEAPOLIS, MN) left the SEC roster (was $2.85B RAUM, 8 reps). IAPD ↗
$2.85B RAUM · 8 reps · 952-358-6260 · envoillc.com
65
ADVANCED RESEARCH INVESTMENT SOLUTIONS, LLC — (LOS ANGELES, CA) left the SEC roster (was $12.87B RAUM, 3 reps). IAPD ↗
$12.87B RAUM · 3 reps · 424-372-1775
65
INTEROCEAN CAPITAL — (NASHVILLE, TN) left the SEC roster (was $5.81B RAUM, 30 reps). IAPD ↗
$5.81B RAUM · 30 reps · 312-648-1720 · focusfinancialpartners.com
65
CONNECTUS WEALTH — (HUNT VALLEY, MD) left the SEC roster (was $8.67B RAUM, 83 reps). IAPD ↗
$8.67B RAUM · 83 reps · 513-832-5463 · connectuswealth.com
63
HIGHLANDER CAPITAL MANAGEMENT LLC — (SHORT HILLS, NJ) left the SEC roster (was $351.8M RAUM, 8 reps). IAPD ↗
$351.8M RAUM · 8 reps · 973-718-3511 · highlandereport.com
63
LAFISE SECURITIES CORPORATION — (MIAMI, FL) left the SEC roster (was $736.0M RAUM, 1 reps). IAPD ↗
$736.0M RAUM · 1 reps · 305-374-6001
63
KLR INVESTMENT ADVISORS, LLC — (PROVIDENCE, RI) left the SEC roster (was $254.5M RAUM, 5 reps). IAPD ↗
$254.5M RAUM · 5 reps · 401-274-2001
63
BROMFIELD SNEIDER WEALTH ADVISORS, INC. — (WESTWOOD, MA) left the SEC roster (was $436.7M RAUM, 2 reps). IAPD ↗
$436.7M RAUM · 2 reps · (617) 252-3400 · bromfieldsneider.com
63
C & J WEALTH ADVISORS — (KNOXVILLE, TN) left the SEC roster (was $269.9M RAUM, 6 reps). IAPD ↗
$269.9M RAUM · 6 reps · 865-481-0385
63
STARFOX FINANCIAL SERVICES, LLC — (THE WOODLANDS, TX) left the SEC roster (was $252.9M RAUM, 3 reps). IAPD ↗
$252.9M RAUM · 3 reps · 281-764-8239
63
CUBIC ASSET MANAGEMENT, LLC — (BOSTON, MA) left the SEC roster (was $679.3M RAUM, 3 reps). IAPD ↗
$679.3M RAUM · 3 reps · 617-456-1373 · cubic-am.com
63
DIVERSIFY WEALTH MANAGEMENT LLC — (OREM, UT) left the SEC roster (was $540.2M RAUM, 24 reps). IAPD ↗
$540.2M RAUM · 24 reps · 801-221-2939 · ljcooper.com
63
THE RETIREMENT GROUP, LLC — (SAN DIEGO, CA) left the SEC roster (was $544.5M RAUM, 20 reps). IAPD ↗
$544.5M RAUM · 20 reps · 800-900-5867
63
RMR WEALTH ADVISORS LLC — (MADISON, WI) left the SEC roster (was $369.3M RAUM, 2 reps). IAPD ↗
$369.3M RAUM · 2 reps · 608-663-7676 · rmradvisors.com
63
CALIBER WEALTH MANAGEMENT, LLC — (OREM, UT) left the SEC roster (was $503.2M RAUM, 5 reps). IAPD ↗
$503.2M RAUM · 5 reps · 385-223-8688
63
RETURN ON INVESTMENT, LLC — (location n/a) left the SEC roster (was $884.8M RAUM, 1 reps). IAPD ↗
$884.8M RAUM · 1 reps · (307) 314-3211
60
FIRSTWAVE FINANCIAL — (SATELLITE BEACH, FL) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · 321-773-7773
60
ASSET STRATEGIES, INC. — (AVON, CT) left the SEC roster (was $140.1M RAUM, 2 reps). IAPD ↗
$140.1M RAUM · 2 reps · 860-673-5500 · assetstrats.com
60
WATTERS FINANCIAL SERVICES, LLC — (PARAMUS, NJ) left the SEC roster (was $178.1M RAUM, 2 reps). IAPD ↗
$178.1M RAUM · 2 reps · (201) 843-0044 · wattersfinancial.com
60
PORTFOLIO DESIGN ADVISORS, INC. — (ENGLEWOOD, CO) left the SEC roster (was $38.9M RAUM, 3 reps). IAPD ↗
$38.9M RAUM · 3 reps · 303-785-8470 · portfoliodesign.us
60
SUNDANCE ADVISORS — (PITTSBURGH, PA) left the SEC roster (was $226.0M RAUM, 2 reps). IAPD ↗
$226.0M RAUM · 2 reps · 412-366-2813
60
KNOWLEDGE LEADERS CAPITAL, LLC — (DENVER, CO) left the SEC roster (was $166.9M RAUM, 3 reps). IAPD ↗
$166.9M RAUM · 3 reps · 303-717-5987
60
INTEGRATED WEALTH ADVISORS, LLC — (WILMINGTON, DE) left the SEC roster (was $107.4M RAUM, 1 reps). IAPD ↗
$107.4M RAUM · 1 reps · (302) 442-4233 · intwealthmgt.com
60
PGP WEALTH SERVICES, LLC — (location n/a) left the SEC roster (was $83.1M RAUM, 1 reps). IAPD ↗
$83.1M RAUM · 1 reps · 818-842-5625 · pgpwealthservices.com
60
TRIUMPH WEALTH ADVISORS, INC. — (WOODSTOCK, GA) left the SEC roster (was $28.1M RAUM, 4 reps). IAPD ↗
$28.1M RAUM · 4 reps · 770-924-9322 · triumphwealthadvisors.com
60
ALTERITY FINANCIAL GROUP, LLC — (BANGOR, ME) left the SEC roster (was $120.9M RAUM, 5 reps). IAPD ↗
$120.9M RAUM · 5 reps · 800-966-7730
60
DFPG INVESTMENTS, LLC — (SANDY, UT) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗
$0 RAUM · 0 reps · 801-838-9999 · globalwealthpartnersinc.com
60
RAY|THEIL WEALTH MANAGEMENT, LLC — (BEAVERCREEK, OH) left the SEC roster (was $220.9M RAUM, 2 reps). IAPD ↗
$220.9M RAUM · 2 reps · 9375317972 · raytheil.com
60
MERLIN ASSET MANAGEMENT — (NEWPORT, RI) left the SEC roster (was $36.3M RAUM, 1 reps). IAPD ↗
$36.3M RAUM · 1 reps · 617 366-2650 · merlinam.com
60
ROCK HOUSE FINANCIAL — (FARMINGTON, UT) left the SEC roster (was $214.9M RAUM, 6 reps). IAPD ↗
$214.9M RAUM · 6 reps · (801) 447-4200
60
HARON CAPITAL MANAGEMENT, LLC — (COCOA BEACH, FL) left the SEC roster (was $42.2M RAUM, 2 reps). IAPD ↗
$42.2M RAUM · 2 reps · 646-965-6700
60
BAY STREET CAPITAL HOLDINGS — (location n/a) left the SEC roster (was $75.9M RAUM, 4 reps). IAPD ↗
$75.9M RAUM · 4 reps · 650-464-8275
60
CAPITAL OPTIONS, INC. — (location n/a) left the SEC roster (was $154.6M RAUM, 1 reps). IAPD ↗
$154.6M RAUM · 1 reps · 828-696-3828 · capital-options-inc.com
60
R CUBED GLOBAL CAPITAL INC. — (BELLEVUE, WA) left the SEC roster (was $25.2M RAUM, 1 reps). IAPD ↗
$25.2M RAUM · 1 reps · 206-743-5907 · rcubedgc.com
60
NEXT FINANCIAL ADVISORS LLC — (SEATTLE, WA) left the SEC roster (was $377,728 RAUM, 0 reps). IAPD ↗
$377,728 RAUM · 0 reps · 202-831-0684
60
PIN WEALTH — (NORTH READING, MA) left the SEC roster (was $83.5M RAUM, 2 reps). IAPD ↗
$83.5M RAUM · 2 reps · 781-239-1187
60
PRECESSION CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $20.8M RAUM, 1 reps). IAPD ↗
$20.8M RAUM · 1 reps · (203) 240-1058
60
INNOVIS ASSET MANAGEMENT LLC — (CHICAGO, IL) left the SEC roster (was $1.8M RAUM, 1 reps). IAPD ↗
$1.8M RAUM · 1 reps · 858-414-3929
60
RIPPLE CAPITAL MANAGEMENT LLC — (ASPEN, CO) left the SEC roster (was $100.0M RAUM, 1 reps). IAPD ↗
$100.0M RAUM · 1 reps · 8088963264 · ripplecap.com
60
ALCALA MULTI FAMILY OFFICE — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (646) 559-0560
60
BLACKWATCH 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 · 630-380-9430
60
235 WEALTH MANAGEMENT, LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $9.1M RAUM, 1 reps). IAPD ↗
$9.1M RAUM · 1 reps · 303-886-3322 · 235wealth.com
60
WEALTHSTONE PRIVATE WEALTH MANAGEMENT, LLC — (SCOTTSDALE, AZ) left the SEC roster — its 120-day provisional registration did not convert (was $19.5M RAUM, 1 reps). IAPD ↗
$19.5M RAUM · 1 reps · 480-973-3560 · wealthstonepwm.com
60
PONTA WEALTH PARTNERS, 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 · 407-234-5343
55
CENTAURUS FINANCIAL, INC. — shrank from 444 to 432 advisory reps. IAPD ↗
$6.28B RAUM · 432 reps · 714-456-1790 · centaurusfinancial.com
55
FACET — shrank from 98 to 86 advisory reps. IAPD ↗
$3.49B RAUM · 86 reps · (443)376-6222
55
FIRST TRUST DIRECT INDEXING — shrank from 6 to 3 advisory reps. IAPD ↗
$1.42B RAUM · 3 reps · 617-752-6010
53
STONERIDGE PMG ADVISORS, LLC — shrank from 6 to 2 advisory reps. IAPD ↗
$981.7M RAUM · 2 reps · 484-254-5400 · srpmga.com
53
DENALI WEALTH MANAGEMENT, INC. — shrank from 6 to 4 advisory reps. IAPD ↗
$256.5M RAUM · 4 reps · 414-978-0020 · denaliwm.com
53
360 FINANCIAL — shrank from 9 to 7 advisory reps. IAPD ↗
$475.4M RAUM · 7 reps · 952-542-8900
50
WEALTHTRUST ASSET MANAGEMENT, LLC — shrank from 8 to 6 advisory reps. IAPD ↗
$180.0M RAUM · 6 reps · 850-460-8444 · canyoncreekc.com
50
ADVANCED PORTFOLIO STRATEGIES — shrank from 5 to 3 advisory reps. IAPD ↗
$127.7M RAUM · 3 reps · (310) 776-5948
45
LOGIX INVESTMENTS LLC — reported RAUM down 45% ($376.3M -> $205.9M). IAPD ↗
$205.9M RAUM · 5 reps · 216-861-1148 · logixsv.com
45
ADVISOR.COM — reported RAUM down 52% ($58.2M -> $27.8M). IAPD ↗
$27.8M RAUM · 1 reps · 888-868-1944 · advisor.com
55
OPUS INVESTMENT MANAGEMENT, INC. — (WORCESTER, MA) left the SEC roster (was $11.39B RAUM, 15 reps). IAPD ↗institutional
$11.39B RAUM · 15 reps · 508-855-6689 · opusinvestment.com
55
COOK STREET CONSULTING, INC. — (GREENWOOD VILLAGE, CO) left the SEC roster (was $7.08B RAUM, 31 reps). IAPD ↗institutional
$7.08B RAUM · 31 reps · 303-333-7770 · cookstreetconsulting.com
50
GSAM STRATEGIST PORTFOLIOS, LLC — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 212-902-1000
50
COLEMAN CAPITAL (US) LLC — (location n/a) left the SEC roster (was $30.0M RAUM, 1 reps). IAPD ↗institutional
$30.0M RAUM · 1 reps · 8439372301
50
NORIAS CAPITAL MANAGEMENT LP — (WEST PALM BEACH, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 27 reps). IAPD ↗institutional
$0 RAUM · 27 reps · 917-440-5835
50
FMI TECHNOLOGIES LLC — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 212-729-8490 · fmitech.net
48
BENNBRIDGE US LLC — (BOSTON, MA) left the SEC roster (was $371.6M RAUM, 1 reps). IAPD ↗fund
$371.6M RAUM · 1 reps · 781-923-6040 · bennbridge.com
48
CAMSHAFT CAPITAL ADVISORS LLC — (MIAMI, FL) left the SEC roster (was $581.1M RAUM, 1 reps). IAPD ↗fund
$581.1M RAUM · 1 reps · +1 (305) 619-1383 · camshaftgroup.com
45
13D MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $176.0M RAUM, 5 reps). IAPD ↗fund
$176.0M RAUM · 5 reps · 212-223-2282 · 13dmanagement.com
45
BACHRACH ASSET MANAGEMENT INC — (ROCKVILLE, MD) left the SEC roster (was $193.6M RAUM, 4 reps). IAPD ↗fund
$193.6M RAUM · 4 reps · 301-365-8880
45
ORTHOGON PARTNERS INVESTMENT MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $161.0M RAUM, 5 reps). IAPD ↗fund
$161.0M RAUM · 5 reps · 212.658.0732 · orthogon.partners
45
HI2 INVESTMENT MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $52.3M RAUM, 1 reps). IAPD ↗fund
$52.3M RAUM · 1 reps · 646-969-6868
45
FAIRWAY AMERICA INVESTMENT ADVISORS, LLC — (PORTLAND, OR) left the SEC roster (was $140.7M RAUM, 17 reps). IAPD ↗fund
$140.7M RAUM · 17 reps · 503.906.9100
45
FARADAY CAPITAL, L.P. — (ROCKLIN, CA) left the SEC roster (was $64.6M RAUM, 3 reps). IAPD ↗fund
$64.6M RAUM · 3 reps · (916) 251 7146 · faradaycap.com
45
INHERENT GROUP, LP — (NEW YORK, NY) left the SEC roster (was $186.8M RAUM, 5 reps). IAPD ↗fund
$186.8M RAUM · 5 reps · 646-494-0202 · inherentgroup.com
45
EGIS CAPITAL PARTNERS LP — (SUMMIT, NJ) left the SEC roster (was $115.0M RAUM, 3 reps). IAPD ↗fund
$115.0M RAUM · 3 reps · 973-994-0606
45
NORBURY PARTNERS LP — (STAMFORD, CT) left the SEC roster (was $73.8M RAUM, 3 reps). IAPD ↗fund
$73.8M RAUM · 3 reps · 646-460-4601 · norburypartners.com
45
CLADRIUS PARTNERS LLC — (MONTVALE, NJ) left the SEC roster (was $211.2M RAUM, 4 reps). IAPD ↗fund
$211.2M RAUM · 4 reps · 646-993-6301 · cladrius.com
45
ARCANO CAPITAL USA, INC. — (NEWPORT BEACH, CA) left the SEC roster (was $29.4M RAUM, 3 reps). IAPD ↗fund
$29.4M RAUM · 3 reps · 714-856-6052
45
GENERAL INNOVATION CAPITAL, LLC — (MIAMI, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 6 reps). IAPD ↗fund
$0 RAUM · 6 reps · 917-816-1744 · generalinnovation.com
43
CHATHAM INVESTMENT ADVISORS, LLC — shrank from 3 to 1 advisory reps. IAPD ↗institutional
$697.9M RAUM · 1 reps · 610-925-3120 · chathamfig.com
43
DRI CAPITAL (US), INC. — shrank from 5 to 3 advisory reps. IAPD ↗institutional
$551.7M RAUM · 3 reps · 908-577-2968
40
SIXTH STREET ADVISERS, LLC — shrank from 282 to 277 advisory reps. IAPD ↗fund
$70.98B RAUM · 277 reps · 469-621-3001
40
WHITE DEER — shrank from 10 to 8 advisory reps. IAPD ↗fund
$1.34B RAUM · 8 reps · 713.581.6900 · whitedeerenergy.com
38
PERRY CAPITAL PARTNERS LLC — reported RAUM down 60% ($980.0M -> $395.0M). IAPD ↗institutional
$395.0M RAUM · 0 reps · 847-668-1560 · perrycapitalpartners.com
38
PERELLA WEINBERG PARTNERS CAPITAL MANAGEMENT LP — shrank from 22 to 1 advisory reps. IAPD ↗fund
$421.0M RAUM · 1 reps · 212-287-3200
35
INSIGHT INVESTMENT — (LONDON, United Kingdom) left the SEC roster (was $3.04B RAUM, 1 reps). IAPD ↗foreign
$3.04B RAUM · 1 reps · +44 20 7163 4000
35
PRIME CAPITAL MANAGEMENT COMPANY LIMITED — (HONG KONG, Hong Kong) left the SEC roster (was $1.02B RAUM, 8 reps). IAPD ↗foreign
$1.02B RAUM · 8 reps · 852-36025100
35
AETOS CAPITAL REAL ESTATE — shrank from 6 to 3 advisory reps. IAPD ↗fund
$215.7M RAUM · 3 reps · +1 (212) 710-3200 · aetoscapitalasia.com
35
ATEGRA CAPITAL MANAGEMENT, LLC — shrank from 7 to 5 advisory reps. IAPD ↗fund
$117.3M RAUM · 5 reps · 703-564-9131 · ategracapital.com
33
PERELLA WEINBERG PARTNERS CAPITAL MANAGEMENT LP — reported RAUM down 97% ($15.40B -> $421.0M). IAPD ↗fund
$421.0M RAUM · 1 reps · 212-287-3200
33
CQS (US), LLC — reported RAUM down 42% ($1.55B -> $894.6M). IAPD ↗fund
$894.6M RAUM · 12 reps · 212-259-2900 · cqscapital.com
33
CP2 LIMITED — (SYDNEY, Australia) left the SEC roster (was $915.3M RAUM, 5 reps). IAPD ↗foreign
$915.3M RAUM · 5 reps · 61 2 8075 4521 · cp2.com
30
WINDHAM CAPITAL MANAGEMENT, LLC — reported RAUM down 69% ($611.9M -> $192.1M). IAPD ↗fund
$192.1M RAUM · 5 reps · 617-419-3900
30
ATEGRA CAPITAL MANAGEMENT, LLC — reported RAUM down 65% ($334.2M -> $117.3M). IAPD ↗fund
$117.3M RAUM · 5 reps · 703-564-9131 · ategracapital.com
30
IMPACT ENGINE — reported RAUM down 29% ($239.0M -> $168.6M). IAPD ↗fund
$168.6M RAUM · 8 reps · 872-228-5197
30
RAYMOND JAMES INVESTMENT COUNSEL LTD. — (VANCOUVER, BRITISH COLUMBIA, Canada) left the SEC roster (was $27.7M RAUM, 13 reps). IAPD ↗foreign
$27.7M RAUM · 13 reps · 6046541526 · raymondjamesinvestmentcounsel.ca
30
TAULA CAPITAL MANAGEMENT (DIFC) LTD — (ST HELIER, Jersey) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗foreign
$0 RAUM · 3 reps · +97 14323 0800

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.