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M&A & valuation — October 2024

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

87 firms opened this window in the October 2024 SEC roster: 51 deregistered, 20 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
NEW PARAGON, LLC — (SHAKER HEIGHTS, OH) left the SEC roster (was $1.00B RAUM, 10 reps). IAPD ↗
$1.00B RAUM · 10 reps · 216-491-3990 · paragonadvisors.net
65
WEALTHSPIRE ADVISORS — (SAN RAFAEL, CA) left the SEC roster (was $2.82B RAUM, 21 reps). IAPD ↗
$2.82B RAUM · 21 reps · 415-526-2900 · wealthspire.com
65
REGIS MANAGEMENT COMPANY, LLC — (MENLO PARK, CA) left the SEC roster (was $1.35B RAUM, 6 reps). IAPD ↗
$1.35B RAUM · 6 reps · 650-838-1030 · regisllc.com
65
IFAM CAPITAL — (FORT COLLINS, CO) left the SEC roster (was $1.71B RAUM, 6 reps). IAPD ↗
$1.71B RAUM · 6 reps · 970-530-5021
65
ICA GROUP WEALTH MANAGEMENT, LLC — (DENVER, CO) left the SEC roster (was $1.16B RAUM, 45 reps). IAPD ↗
$1.16B RAUM · 45 reps · 720-758-8000 · dunniganfinancial.com
63
KARPAS STRATEGIES LLC — (LITCHFIELD, CT) left the SEC roster (was $401.2M RAUM, 2 reps). IAPD ↗
$401.2M RAUM · 2 reps · 212-223-7280 · karpasstrategies.com
63
CAUSEY DEMGEN & MOORE P.C. — (DENVER, CO) left the SEC roster (was $436.0M RAUM, 9 reps). IAPD ↗
$436.0M RAUM · 9 reps · 303-296-2229 · cdmcpa.com
63
FMF&E WEALTH MANAGEMENT, LLC — (SYRACUSE, NY) left the SEC roster (was $357.6M RAUM, 3 reps). IAPD ↗
$357.6M RAUM · 3 reps · 315-472-7045 · fmfewealthmgt.com
63
WALPOLE FINANCIAL ADVISORS, LLC — (GOLETA, CA) left the SEC roster (was $280.5M RAUM, 6 reps). IAPD ↗
$280.5M RAUM · 6 reps · 805-845-6587 · walpoleadvisors.com
63
SLOAN INVESTMENT MANAGEMENT, L.L.C. — (DALLAS, TX) left the SEC roster (was $716.2M RAUM, 3 reps). IAPD ↗
$716.2M RAUM · 3 reps · 214-720-7500 · sloanim.com
63
FIDUCIARY WEALTH MANAGEMENT, LLC — (RESTON, VA) left the SEC roster (was $451.6M RAUM, 4 reps). IAPD ↗
$451.6M RAUM · 4 reps · 703-242-1231
63
HERR INVESTMENT GROUP LLC — (location n/a) left the SEC roster (was $747.6M RAUM, 4 reps). IAPD ↗
$747.6M RAUM · 4 reps · 312-971-7800 · herrinvest.com
60
RUBICON WEALTH MANAGEMENT, LLC — (BLUE BELL, PA) left the SEC roster (was $231.1M RAUM, 1 reps). IAPD ↗
$231.1M RAUM · 1 reps · 610-668-4615 · rubiconwealth.com
60
TREGER & ASSOCIATES — (location n/a) left the SEC roster (was $130.0M RAUM, 2 reps). IAPD ↗
$130.0M RAUM · 2 reps · 540-464-1418
60
WUNDERLICH CAPITAL MANAGEMENT — (MEMPHIS, TN) left the SEC roster (was $231.4M RAUM, 1 reps). IAPD ↗
$231.4M RAUM · 1 reps · 901-251-1343
60
HOFFMAN & ASSOCIATES FINANCIAL & ESTATE ADVISORS, INC. — (VENTURA, CA) left the SEC roster (was $25.1M RAUM, 2 reps). IAPD ↗
$25.1M RAUM · 2 reps · 805-648-5300 · hoffmanwm.com
60
BOSTON MOUNTAIN MONEY MANAGEMENT, INC. — (BENTONVILLE, AR) left the SEC roster (was $196.4M RAUM, 2 reps). IAPD ↗
$196.4M RAUM · 2 reps · (479) 657-6940 · bostonmmm.com
60
BFG WEALTH — (EDMOND, OK) left the SEC roster (was $182.4M RAUM, 3 reps). IAPD ↗
$182.4M RAUM · 3 reps · 405-341-9245 · bfgwealth.net
60
PUSHKIN ADVISORY GROUP, LLC — (location n/a) left the SEC roster (was $36.7M RAUM, 1 reps). IAPD ↗
$36.7M RAUM · 1 reps · 315-269-2828
60
PARROTT WEALTH MANAGEMENT, LLC — (location n/a) left the SEC roster (was $184.5M RAUM, 2 reps). IAPD ↗
$184.5M RAUM · 2 reps · 719-440-2662 · parrottwealth.com
60
PLEASANT STREET WEALTH ADVISORS, LLC — (location n/a) left the SEC roster (was $113.4M RAUM, 2 reps). IAPD ↗
$113.4M RAUM · 2 reps · (978) 732-3115
60
PHASE LINE CAPITAL, LLC — (ATLANTA, GA) left the SEC roster (was $34.0M RAUM, 2 reps). IAPD ↗
$34.0M RAUM · 2 reps · 404-806-9505 · phaselinecapital.com
60
ENVEL — (BOSTON, MA) left the SEC roster (was $35,868 RAUM, 0 reps). IAPD ↗
$35,868 RAUM · 0 reps · (202) 374-8391 · envel.ai
60
LION TRADING — (BOALSBURG, PA) left the SEC roster (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · 814-280-6319 · ltpro.co
60
PROXY INTERNATIONAL — (NEW YORK, NY) left the SEC roster (was $26.4M RAUM, 1 reps). IAPD ↗
$26.4M RAUM · 1 reps · 646-328-9856
60
MEASURED — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · (323) 788-8474 · measuredhq.com
60
SHARE — (location n/a) left the SEC roster (was $200,000 RAUM, 1 reps). IAPD ↗
$200,000 RAUM · 1 reps · (914) 677-1039 · tryshare.app
60
WEALTH STRATEGIES GROUP — (NEWPORT BEACH, CA) left the SEC roster — its 120-day provisional registration did not convert (was $16.3M RAUM, 2 reps). IAPD ↗
$16.3M RAUM · 2 reps · 888-848-4144
60
LASHLEY WEALTH MANAGEMENT — (SARASOTA, FL) left the SEC roster — its 120-day provisional registration did not convert (was $61.8M RAUM, 1 reps). IAPD ↗
$61.8M RAUM · 1 reps · 913 338-2400
60
MENDOZA PRIVATE WEALTH — (MIAMI, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 305-503-5133 · mendozaprivatewealth.com
60
YIELD WEALTH LTD. — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 770.823.7211
60
UPSTREAM LIFE WEALTH MANAGEMENT LLC — (OXFORD, MS) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 6628011029
60
MONOLITH HOLDINGS, 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 · 347-276-8518
60
PRESCOTT TAX AND WEALTH MANAGEMENT — (SAN JUAN CAPISTRANO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 949-248-9815 · prescott500.com
55
WEDBUSH SECURITIES INC. — shrank from 227 to 214 advisory reps. IAPD ↗
$5.74B RAUM · 214 reps · 213-688-8000
55
A.G.P / ALLIANCE GLOBAL PARTNERS — shrank from 163 to 149 advisory reps. IAPD ↗
$1.69B RAUM · 149 reps · 800-727-7922 · allianceg.com
55
PLANTE MORAN FINANCIAL ADVISORS — shrank from 139 to 132 advisory reps. IAPD ↗
$20.53B RAUM · 132 reps · 248-352-2500 · wealth.plantemoran.com
55
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. — shrank from 65 to 60 advisory reps. IAPD ↗
$38.34B RAUM · 60 reps · 213-486-9200
53
APEX FINANCIAL ADVISORS, INC — shrank from 4 to 2 advisory reps. IAPD ↗
$537.9M RAUM · 2 reps · 215-493-1900
53
INTELLIGENCE DRIVEN ADVISERS, LLC — shrank from 16 to 12 advisory reps. IAPD ↗
$977.9M RAUM · 12 reps · (888) 401-2083 · plus.google.com
53
SWEET FINANCIAL PARTNERS, LLC — shrank from 6 to 4 advisory reps. IAPD ↗
$779.2M RAUM · 4 reps · 507-235-5587
50
FELDMAN, INGARDONA & CO — reported RAUM down 43% ($2.64B -> $1.51B). IAPD ↗
$1.51B RAUM · 6 reps · 630-663-1800 · feldmaningardona.com
50
TD PRIVATE CLIENT WEALTH LLC — reported RAUM down 61% ($12.26B -> $4.82B). IAPD ↗
$4.82B RAUM · 284 reps · 877-703-9896 · td.com
50
ERNST & YOUNG INVESTMENT ADVISERS LLP — shrank from 190 to 160 advisory reps. IAPD ↗
$0 RAUM · 160 reps · 800-273-0588 · ey.com
50
ONEWEALTH — shrank from 6 to 2 advisory reps. IAPD ↗
$127.8M RAUM · 2 reps · (561) 289-8105 · investmentadvisoryservices.com
45
DESERT ROSE CAPITAL MANAGEMENT, INC. — reported RAUM down 32% ($117.2M -> $79.6M). IAPD ↗
$79.6M RAUM · 8 reps · 208 297-2710
45
ONEWEALTH — reported RAUM down 63% ($343.8M -> $127.8M). IAPD ↗
$127.8M RAUM · 2 reps · (561) 289-8105 · investmentadvisoryservices.com
45
ZEST — reported RAUM down 40% ($170.9M -> $102.7M). IAPD ↗
$102.7M RAUM · 1 reps · 305-376-0317
50
CORNERSTONE CAPITAL CORP. — (NEW YORK, NY) left the SEC roster (was $82.7M RAUM, 1 reps). IAPD ↗institutional
$82.7M RAUM · 1 reps · 212-641-3200
50
ROSEMOUNT CAPITAL LLC — (NEW YORK, NY) left the SEC roster (was $82.7M RAUM, 1 reps). IAPD ↗institutional
$82.7M RAUM · 1 reps · 212-641-3200
50
FOUR WOOD CAPITAL ADVISORS — (MONTCLAIR, NJ) left the SEC roster (was $125.0M RAUM, 0 reps). IAPD ↗institutional
$125.0M RAUM · 0 reps · 212-300-7006 · fourwoodcapital.com
50
NGC CAPITAL MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $2.24B RAUM, 8 reps). IAPD ↗fund
$2.24B RAUM · 8 reps · (646) 630-8376 · ngc.nfg.com
50
DUALITY GROUP — (MIAMI, FL) left the SEC roster (was $1.36B RAUM, 9 reps). IAPD ↗fund
$1.36B RAUM · 9 reps · 646-690-9960 · dualitygroup.com
50
SHIKHARA INVESTMENT MANAGEMENT LP — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 646-809-5433 · shikhara.com
50
POP VENTURE ADVISERS 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 · 917-693-2798
48
NEW FALMOUTH, LLC — (SHAKER HEIGHTS, OH) left the SEC roster (was $519.1M RAUM, 0 reps). IAPD ↗fund
$519.1M RAUM · 0 reps · 216-491-3990 · corient.com
48
AMHERST ADVISORY & MANAGEMENT LLC — (AUSTIN, TX) left the SEC roster (was $418.8M RAUM, 1 reps). IAPD ↗fund
$418.8M RAUM · 1 reps · 512-342-3080
48
B-29 ADVISORS, LLC — (ADDISON, TX) left the SEC roster (was $348.1M RAUM, 5 reps). IAPD ↗fund
$348.1M RAUM · 5 reps · (940) 612-5341
48
SAHANA CAPITAL MANAGEMENT LP — (GREENWICH, CT) left the SEC roster (was $708.8M RAUM, 4 reps). IAPD ↗fund
$708.8M RAUM · 4 reps · (203) 489-7092 · sahanacapital.com
45
1623 CAPITAL LLC — (ALEXANDRIA, VA) left the SEC roster (was $202.2M RAUM, 2 reps). IAPD ↗fund
$202.2M RAUM · 2 reps · 703-832-8232
45
MCP ADVISERS, LLC — (ATLANTA, GA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · 404-239-2222
45
A.P. GILFOYLE MANAGEMENT & RESEARCH COMPANY, L.L.C. — (NEW YORK, NY) left the SEC roster (was $1.9M RAUM, 2 reps). IAPD ↗fund
$1.9M RAUM · 2 reps · 212-529-4550 · apgilfoyle.com
43
PLANTE MORAN REAL ESTATE INVESTMENT ADVISORS — shrank from 11 to 8 advisory reps. IAPD ↗institutional
$268.1M RAUM · 8 reps · (248) 603-5001 · pmreia.com
40
U.S. GLOBAL INVESTORS, INC. — reported RAUM down 34% ($2.37B -> $1.56B). IAPD ↗institutional
$1.56B RAUM · 6 reps · 210-308-1234 · usfunds.com
40
QIC — shrank from 22 to 16 advisory reps. IAPD ↗fund
$6.30B RAUM · 16 reps · 212-224-8900 · qic.com
40
PARADICE INVESTMENT MANAGEMENT LLC — shrank from 9 to 5 advisory reps. IAPD ↗fund
$1.40B RAUM · 5 reps · 720-751-2100 · paradice.com
40
LEDGER ILS MANAGERS, LLC — shrank from 4 to 2 advisory reps. IAPD ↗institutional
$102.1M RAUM · 2 reps · 202-365-3175
38
FRONTEGRA ASSET MANAGEMENT INC — reported RAUM down 39% ($716.8M -> $439.7M). IAPD ↗institutional
$439.7M RAUM · 3 reps · 847-509-9860
35
AQUILA INVESTMENT MANAGEMENT LLC — reported RAUM down 73% ($615.9M -> $166.4M). IAPD ↗institutional
$166.4M RAUM · 4 reps · 212-697-6666 · aquilafunds.com
35
FRANKLIN PARK — reported RAUM down 56% ($19.70B -> $8.63B). IAPD ↗fund
$8.63B RAUM · 29 reps · 610-822-0500 · franklinparkllc.com
35
PARADICE INVESTMENT MANAGEMENT LLC — reported RAUM down 51% ($2.86B -> $1.40B). IAPD ↗fund
$1.40B RAUM · 5 reps · 720-751-2100 · paradice.com
35
LEDGER ILS MANAGERS, LLC — reported RAUM down 67% ($309.4M -> $102.1M). IAPD ↗institutional
$102.1M RAUM · 2 reps · 202-365-3175
35
2XIDEAS — reported RAUM down 68% ($253.1M -> $80.7M). IAPD ↗institutional
$80.7M RAUM · 4 reps · 929 577 6260
35
ONEX CANADA ASSET MANAGEMENT INC. — (TORONTO ON, Canada) left the SEC roster (was $2.19B RAUM, 16 reps). IAPD ↗foreign
$2.19B RAUM · 16 reps · 416-681-6000 · onex.com
35
INNOCAP INVESTMENT MANAGEMENT INC. — (MONTREAL, Canada) left the SEC roster (was $2.59B RAUM, 6 reps). IAPD ↗foreign
$2.59B RAUM · 6 reps · 514-412-1052 · innocap.com
35
CREDIT VALUE PARTNERS, LLC — shrank from 6 to 2 advisory reps. IAPD ↗fund
$161.5M RAUM · 2 reps · 203-893-4700
30
CREDIT VALUE PARTNERS, LLC — reported RAUM down 39% ($263.9M -> $161.5M). IAPD ↗fund
$161.5M RAUM · 2 reps · 203-893-4700
30
SCOTT INVESTMENT PARTNERS — (HENLEY-ON-THAMES, United Kingdom) left the SEC roster (was $51.8M RAUM, 4 reps). IAPD ↗foreign
$51.8M RAUM · 4 reps · +44 (0) 1491 412 172 · scottinvestment.com
25
PLATINUM ASSET MANAGEMENT — shrank from 34 to 27 advisory reps. IAPD ↗foreign
$8.45B RAUM · 27 reps · 61 2 9255 7576 · platinum.com.au
25
QIC INVESTMENTS NO. 1 PTY LTD — shrank from 34 to 26 advisory reps. IAPD ↗foreign
$5.13B RAUM · 26 reps · 011-617-3360-3922
25
CALEDONIA (PRIVATE) INVESTMENTS PTY LIMITED — shrank from 13 to 10 advisory reps. IAPD ↗foreign
$8.51B RAUM · 10 reps · 011-612-92557600 · caledoniafund.com
25
ANTIPODES PARTNERS LIMITED — shrank from 36 to 31 advisory reps. IAPD ↗foreign
$6.30B RAUM · 31 reps · +612 8970 7718 · antipodespartners.com
25
COOLABAH CAPITAL INSTITUTIONAL INVESTMENTS PTY LIMITED — shrank from 40 to 27 advisory reps. IAPD ↗foreign
$6.80B RAUM · 27 reps · 4402080668340 · coolabahcapital.com
23
BRILLIANCE ASSET MANAGEMENT LIMITED — shrank from 6 to 4 advisory reps. IAPD ↗foreign
$686.6M RAUM · 4 reps · +852 38502633 · brilliancecap.com
20
QIC INVESTMENTS NO. 1 PTY LTD — reported RAUM down 38% ($8.23B -> $5.13B). IAPD ↗foreign
$5.13B RAUM · 26 reps · 011-617-3360-3922
20
ARDEA INVESTMENT MANAGEMENT — reported RAUM down 37% ($15.02B -> $9.47B). IAPD ↗foreign
$9.47B RAUM · 24 reps · 61 2 9994 7000 · ardea.com.au
18
BRILLIANCE ASSET MANAGEMENT LIMITED — reported RAUM down 34% ($1.03B -> $686.6M). IAPD ↗foreign
$686.6M RAUM · 4 reps · +852 38502633 · brilliancecap.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.