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M&A & valuation — September 2024

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

69 firms opened this window in the September 2024 SEC roster: 53 deregistered, 10 headcount down, 6 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
TRIAD ADVISORS, LLC — (ATLANTA, GA) left the SEC roster (was $1.11B RAUM, 89 reps). IAPD ↗
$1.11B RAUM · 89 reps · 800-720-4003 · mc2wealthsolutions.com
65
ARNERICH MASSENA, INC. — (PORTLAND, OR) left the SEC roster (was $1.73B RAUM, 9 reps). IAPD ↗
$1.73B RAUM · 9 reps · 503-239-0475 · am-a.com
65
STRATEGIC WEALTH PARTNERS — (DEERFIELD, IL) left the SEC roster (was $3.48B RAUM, 22 reps). IAPD ↗
$3.48B RAUM · 22 reps · (224) 632-1600
65
HIGHMORE GROUP — (NEW YORK, NY) left the SEC roster (was $2.83B RAUM, 6 reps). IAPD ↗
$2.83B RAUM · 6 reps · 212-255-2221
65
RELATIVE VALUE PARTNERS, LLC — (NORTHBROOK, IL) left the SEC roster (was $2.57B RAUM, 16 reps). IAPD ↗
$2.57B RAUM · 16 reps · 847-513-6300 · rvpllc.com
65
CORNERSTONE WEALTH STRATEGIES, INC. — (KENNEWICK, WA) left the SEC roster (was $1.01B RAUM, 10 reps). IAPD ↗
$1.01B RAUM · 10 reps · 509-396-0588
63
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC — (PORTLAND, OR) left the SEC roster (was $990.9M RAUM, 471 reps). IAPD ↗
$990.9M RAUM · 471 reps · 971-353-7800 · dcarbiener.stewardpartnersis.com
63
TRANSITIONS WEALTH MANAGEMENT, LLC — (DENVER, CO) left the SEC roster (was $478.4M RAUM, 5 reps). IAPD ↗
$478.4M RAUM · 5 reps · 303-221-4867 · transitionswm.com
63
GREYLIN INVESTMENT MANAGEMENT — (location n/a) left the SEC roster (was $641.7M RAUM, 1 reps). IAPD ↗
$641.7M RAUM · 1 reps · 540-661-0191
63
FINANCIAL MANAGEMENT SERVICES — (location n/a) left the SEC roster (was $280.3M RAUM, 1 reps). IAPD ↗
$280.3M RAUM · 1 reps · 214-505-1170 · financialmgmtsvcs.com
63
SCHMIDT FINANCIAL GROUP, INC. — (KIRKLAND, WA) left the SEC roster (was $475.2M RAUM, 3 reps). IAPD ↗
$475.2M RAUM · 3 reps · 425-893-9195 · schmidtadvantage.com
63
W.P. STEWART ASSET MANAGEMENT LTD. — (NASHVILLE, TN) left the SEC roster (was $266.0M RAUM, 0 reps). IAPD ↗
$266.0M RAUM · 0 reps · 615-622-0000
63
VANTAGE FINANCIAL PARTNERS LIMITED — (ARLINGTON HEIGHTS, IL) left the SEC roster (was $572.4M RAUM, 9 reps). IAPD ↗
$572.4M RAUM · 9 reps · 847-590-9191
63
DERBEND ASSET MANAGEMENT — (PEACHTREE CITY, GA) left the SEC roster (was $290.1M RAUM, 4 reps). IAPD ↗
$290.1M RAUM · 4 reps · 770-631-4007
63
SOCIUS FAMILY OFFICE, LLC — (FORT LAUDERDALE, FL) left the SEC roster (was $915.0M RAUM, 7 reps). IAPD ↗
$915.0M RAUM · 7 reps · 561-404-0484 · socius.com
63
BYRON FINANCIAL, LLC — (CHARLOTTE, NC) left the SEC roster (was $600.2M RAUM, 2 reps). IAPD ↗
$600.2M RAUM · 2 reps · 704-442-4402 · byronfin.com
63
FINANCIAL LIFE FOCUS, LLC — (PHILADELPHIA, PA) left the SEC roster (was $379.4M RAUM, 7 reps). IAPD ↗
$379.4M RAUM · 7 reps · (973) 533-0666 · financial-lifefocus.com
63
RAIN CAPITAL MANAGEMENT — (LAKE OSWEGO, OR) left the SEC roster (was $379.0M RAUM, 3 reps). IAPD ↗
$379.0M RAUM · 3 reps · 503-822-1700 · raincapital.com
63
SOLANO WEALTH MANAGEMENT, INC. — (FAIRFIELD, CA) left the SEC roster (was $322.3M RAUM, 4 reps). IAPD ↗
$322.3M RAUM · 4 reps · 707-435-8400 · solanowealth.com
63
WEALTH MANAGEMENT SOLUTIONS — (EXTON, PA) left the SEC roster (was $388.9M RAUM, 4 reps). IAPD ↗
$388.9M RAUM · 4 reps · 610-524-7031 · wmsplan.com
63
EMFO, LLC — (WESTON, FL) left the SEC roster (was $501.7M RAUM, 7 reps). IAPD ↗
$501.7M RAUM · 7 reps · 954-385-9624 · emeraldfamilyoffice.com
63
RATIO WEALTH GROUP LLC — (DENVER, CO) left the SEC roster (was $577.2M RAUM, 6 reps). IAPD ↗
$577.2M RAUM · 6 reps · 720-420-4863 · ratiowealthgroup.com
63
TMD WEALTH MANAGEMENT — (SCOTTSDALE, AZ) left the SEC roster (was $780.8M RAUM, 6 reps). IAPD ↗
$780.8M RAUM · 6 reps · 602-279-2020
60
CANON CAPITAL INVESTMENT ADVISORY — (HARLEYSVILLE, PA) left the SEC roster (was $210.5M RAUM, 7 reps). IAPD ↗
$210.5M RAUM · 7 reps · 215-723-4881 · canoncapital.com
60
LEGACY ASSET MANAGEMENT, INC. — (HOUSTON, TX) left the SEC roster (was $161.7M RAUM, 3 reps). IAPD ↗
$161.7M RAUM · 3 reps · 713-355-7171
60
TLS ADVISORY SERVICES, INC. — (TOWSON, MD) left the SEC roster (was $154.6M RAUM, 0 reps). IAPD ↗
$154.6M RAUM · 0 reps · 410-825-1295 · tlsadvisoryservices.com
60
JASMIJN CAPITAL MANAGEMENT, LLC — (HIGHLAND, UT) left the SEC roster (was $69.9M RAUM, 2 reps). IAPD ↗
$69.9M RAUM · 2 reps · 303-991-6409 · agiliswealth.com
60
ADAMS FINANCIAL CONCEPTS, LLC — (SEATTLE, WA) left the SEC roster (was $60.4M RAUM, 2 reps). IAPD ↗
$60.4M RAUM · 2 reps · 206-903-1019 · adamsfinancialconcepts.com
60
COLUMN CAPITAL ADVISORS, LLC — (INDIANAPOLIS, IN) left the SEC roster (was $0 RAUM, 22 reps). IAPD ↗
$0 RAUM · 22 reps · 317-663-6500
60
VUEFOLIO, INC — (location n/a) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 650-813-9624 · vuefolio.com
60
ACUITY WEALTH MANAGEMENT ADVISORS — (LEXINGTON, KY) left the SEC roster (was $101.4M RAUM, 1 reps). IAPD ↗
$101.4M RAUM · 1 reps · 859-492-7405
60
MARTORELL CAPITAL PARTNERS, LLC — (GREENWICH, CT) left the SEC roster (was $18.0M RAUM, 1 reps). IAPD ↗
$18.0M RAUM · 1 reps · 619-708-2752 · martorellcapitalpartners.com
60
WESTFIELD FINANCIAL PLANNING — (WESTFIELD, NJ) left the SEC roster (was $190.8M RAUM, 2 reps). IAPD ↗
$190.8M RAUM · 2 reps · 908-379-2706 · twitter.com.markfswinglecfp
60
RETURN ADVISORS INC — (location n/a) left the SEC roster (was $49.0M RAUM, 1 reps). IAPD ↗
$49.0M RAUM · 1 reps · 917-495-5376
60
VERIDIEN GLOBAL INVESTORS LLC — (DARIEN, CT) left the SEC roster (was $23.2M RAUM, 3 reps). IAPD ↗
$23.2M RAUM · 3 reps · 888-318-0133 · veridienglobalinvestors.com
60
HIGHLANDS INVESTMENT 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 · 786 910-6009 · wm-advisors.com
60
SEMLER ADVISING — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 6097423254 · semleradvising.com
60
DLK INVESTMENT ADVISORS, LLC — (MERCER ISLAND, WA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · 206.203.0010
60
CORAL REEF ADVISORS LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $52.7M RAUM, 2 reps). IAPD ↗
$52.7M RAUM · 2 reps · 904-582-5449
60
EMBARCADERO CAPITAL ADVISORS — (LAGUNA HILLS, CA) left the SEC roster — its 120-day provisional registration did not convert (was $40.0M RAUM, 2 reps). IAPD ↗
$40.0M RAUM · 2 reps · 949-371-9796 · embarcaderocapitaladvisors.com
60
CONSTANT — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 332-900-7227 · useconstant.com
53
MITCHELL CAPITAL MANAGEMENT CO — shrank from 8 to 6 advisory reps. IAPD ↗
$762.7M RAUM · 6 reps · 913-428-3222 · mitchcap.com
53
ALPHAQ ADVISORS — shrank from 6 to 2 advisory reps. IAPD ↗
$332.5M RAUM · 2 reps · 407-982-4550 · alphaqadvisors.com
53
TRUE WEALTH DESIGN, LLC — shrank from 9 to 7 advisory reps. IAPD ↗
$561.1M RAUM · 7 reps · (330) 777-0688
53
EATON FINANCIAL GROUP — shrank from 9 to 2 advisory reps. IAPD ↗
$432.8M RAUM · 2 reps · 954-575-9323
53
RICHMOND INVESTMENT SERVICES LLC — shrank from 22 to 11 advisory reps. IAPD ↗
$365.8M RAUM · 11 reps · 262-242-4200
50
ORIGIN INVESTMENT ADVISORY LLC — shrank from 72 to 52 advisory reps. IAPD ↗
$896,331 RAUM · 52 reps · 6172273825 · useorigin.com
45
ACCELERATED WEALTH ADVISORS LLC — reported RAUM down 29% ($303.8M -> $216.9M). IAPD ↗
$216.9M RAUM · 4 reps · 719-466-5631
45
PRECISE INVESTMENT MANAGEMENT, INC. — reported RAUM down 40% ($114.2M -> $69.0M). IAPD ↗
$69.0M RAUM · 4 reps · 702-906-0940
45
BESPOKE ADVISORY — reported RAUM down 70% ($372.6M -> $111.0M). IAPD ↗
$111.0M RAUM · 4 reps · 877-777-6845 · bespokeadvisory.io
55
ABRDN ETFS ADVISORS LLC — (PHILADELPHIA, PA) left the SEC roster (was $1.04B RAUM, 2 reps). IAPD ↗institutional
$1.04B RAUM · 2 reps · 215-405-5700 · abrdn.com
55
SEGANTII CAPITAL MANAGEMENT (USA) LLC — (NEW YORK CITY, NY) left the SEC roster (was $11.10B RAUM, 12 reps). IAPD ↗institutional
$11.10B RAUM · 12 reps · +1 212 818 8900
53
YOUR OCIO — (SANTA MONICA, CA) left the SEC roster (was $315.1M RAUM, 1 reps). IAPD ↗institutional
$315.1M RAUM · 1 reps · 310-471-0640
50
HCAP ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $128.9M RAUM, 4 reps). IAPD ↗institutional
$128.9M RAUM · 4 reps · 212-906-3589 · harvestcapitalcredit.com
50
SUBVERSIVE CAPITAL ADVISOR LLC — (location n/a) left the SEC roster (was $31.1M RAUM, 2 reps). IAPD ↗institutional
$31.1M RAUM · 2 reps · 212-461-4825
50
BAR POINT MANAGEMENT LIMITED PARTNERSHIP — (BOSTON, MA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗institutional
$0 RAUM · 3 reps · 617-466-7749
50
GLADE ARCH CAPITAL LP — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗institutional
$0 RAUM · 3 reps · 646-948-1900 · gladearchlp.com
48
V3 CAPITAL MANAGEMENT, L.P. — (WHITE PLAINS, NY) left the SEC roster (was $639.4M RAUM, 4 reps). IAPD ↗fund
$639.4M RAUM · 4 reps · 212-421-7548 · v3capmgmt.com
48
COMMONWEALTH ASSET MANAGEMENT LP — (LOS ANGELES, CA) left the SEC roster (was $911.6M RAUM, 6 reps). IAPD ↗fund
$911.6M RAUM · 6 reps · 424-363-0170 · cwamgroup.com
48
PHAEACIAN PARTNERS LLC — (EL SEGUNDO, CA) left the SEC roster (was $640.6M RAUM, 6 reps). IAPD ↗fund
$640.6M RAUM · 6 reps · 203-604-1550 · phaeacianpartners.com
45
BHZ CAPITAL MANAGEMENT, LP — (SAN JOSE, CA) left the SEC roster (was $153.0M RAUM, 4 reps). IAPD ↗fund
$153.0M RAUM · 4 reps · 408-998-5438 · bhzcapital.com
45
ASCENDANCE ASSET MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗fund
$0 RAUM · 3 reps · 646-206-4119
43
AQUILA INVESTMENT MANAGEMENT LLC — shrank from 10 to 5 advisory reps. IAPD ↗institutional
$615.9M RAUM · 5 reps · 212-697-6666 · aquilafunds.com
40
GOLDBERG LINDSAY & CO. LLC — shrank from 41 to 34 advisory reps. IAPD ↗fund
$9.41B RAUM · 34 reps · 212-651-1100 · lindsaygoldbergllc.com
40
PGIA — shrank from 3 to 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · 312-702-0696 · perpetual.com
38
AQUILA INVESTMENT MANAGEMENT LLC — reported RAUM down 70% ($2.09B -> $615.9M). IAPD ↗institutional
$615.9M RAUM · 5 reps · 212-697-6666 · aquilafunds.com
38
TORONADO PARTNERS LLC — shrank from 5 to 1 advisory reps. IAPD ↗fund
$335.9M RAUM · 1 reps · 415-969-8681
18
KEEL CAPITAL AB — reported RAUM down 29% ($713.6M -> $503.4M). IAPD ↗foreign
$503.4M RAUM · 6 reps · 46 84122245 · keelcapital.se
15
XY INVESTMENTS — reported RAUM down 70% ($107.0M -> $31.9M). IAPD ↗foreign
$31.9M RAUM · 1 reps · +852 3511 6033 · xy-inv.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.