← Tributary

M&A & valuation — November 2024

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

129 firms opened this window in the November 2024 SEC roster: 108 deregistered, 11 aum down, 10 headcount 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
GEORGE MCKELVEY CO., LLC — (MANASQUAN, NJ) left the SEC roster (was $1.05B RAUM, 9 reps). IAPD ↗
$1.05B RAUM · 9 reps · 732-449-5323 · georgemckelvey.com
65
ROOSEVELT INVESTMENTS — (NEW YORK, NY) left the SEC roster (was $2.69B RAUM, 6 reps). IAPD ↗
$2.69B RAUM · 6 reps · 646-452-6700 · rooseveltinvestments.com
65
HALPERN FINANCIAL, INC. — (ASHBURN, VA) left the SEC roster (was $1.10B RAUM, 7 reps). IAPD ↗
$1.10B RAUM · 7 reps · 240.268.1000
65
AMERICAN PORTFOLIOS ADVISORS, INC — (HOLBROOK, NY) left the SEC roster (was $13.08B RAUM, 600 reps). IAPD ↗
$13.08B RAUM · 600 reps · 631-439-4600 X156
65
ROCATON INVESTMENT ADVISORS — (NORWALK, CT) left the SEC roster (was $12.98B RAUM, 20 reps). IAPD ↗
$12.98B RAUM · 20 reps · 203-621-1700
65
INDEXIQ ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $10.44B RAUM, 6 reps). IAPD ↗
$10.44B RAUM · 6 reps · (888) 474-7725 · newyorklifeinvestments.com
65
FINTRUST CAPITAL ADVISORS, LLC — (GREENVILLE, SC) left the SEC roster (was $1.74B RAUM, 26 reps). IAPD ↗
$1.74B RAUM · 26 reps · 864-288-2849
65
FORESIGHT WEALTH MANAGEMENT, LLC — (DRAPER, UT) left the SEC roster (was $1.35B RAUM, 21 reps). IAPD ↗
$1.35B RAUM · 21 reps · 801-462-2200 · regentsparkadvisors.com
65
THE CAPITAL GROUP INVESTMENT ADVISORY SERVICES, LLC — (BETHESDA, MD) left the SEC roster (was $1.18B RAUM, 17 reps). IAPD ↗
$1.18B RAUM · 17 reps · (301) 214-7666 · capgroupfinancial.com
65
ABBREA CAPITAL, LLC — (GREENBRAE, CA) left the SEC roster (was $1.19B RAUM, 4 reps). IAPD ↗
$1.19B RAUM · 4 reps · (415) 894-0077 · abbrea.com
65
WEALTHSOURCE® — (SAN LUIS OBISPO, CA) left the SEC roster (was $2.12B RAUM, 42 reps). IAPD ↗
$2.12B RAUM · 42 reps · 805-546-1000
63
MARKSTON INTERNATIONAL LLC — (WHITE PLAINS, NY) left the SEC roster (was $861.8M RAUM, 4 reps). IAPD ↗
$861.8M RAUM · 4 reps · 914-761-4700 · markston.com
63
PHILLIPS CAPITAL ADVISORS, INC. — (OKLAHOMA CITY, OK) left the SEC roster (was $588.6M RAUM, 15 reps). IAPD ↗
$588.6M RAUM · 15 reps · 405-943-9433 · phillipsinvestments.com
63
KENSHO CAPITAL LLC — (location n/a) left the SEC roster (was $335.5M RAUM, 1 reps). IAPD ↗
$335.5M RAUM · 1 reps · 510-495-1514 · kenshocapital.net
63
DIVERGENT WEALTH ADVISORS, LLC — (SOUTH JORDAN, UT) left the SEC roster (was $617.4M RAUM, 12 reps). IAPD ↗
$617.4M RAUM · 12 reps · 385-237-4000
63
JOSLIN CAPITAL ADVISORS LLC — (REDMOND, WA) left the SEC roster (was $450.3M RAUM, 3 reps). IAPD ↗
$450.3M RAUM · 3 reps · (425) 688-0555 · joslincapital.com
63
TAYLOR HOFFMAN WEALTH MANAGEMENT, LLC — (RICHMOND, VA) left the SEC roster (was $304.3M RAUM, 4 reps). IAPD ↗
$304.3M RAUM · 4 reps · (804) 964-2500
63
PEOPLE'S UNITED ADVISORS, INC. — (BRIDGEPORT, CT) left the SEC roster (was $845.2M RAUM, 27 reps). IAPD ↗
$845.2M RAUM · 27 reps · 646-971-2505
63
HYPERION PARTNERS, LLC — (BERWYN, PA) left the SEC roster (was $354.4M RAUM, 3 reps). IAPD ↗
$354.4M RAUM · 3 reps · (484) 584-4708 · hyperionpartnersllc.com
60
LINDNER CAPITAL ADVISORS, INC. — (ATLANTA, GA) left the SEC roster (was $147.0M RAUM, 4 reps). IAPD ↗
$147.0M RAUM · 4 reps · 770-977-7779
60
RLC BUSINESS SERVICES, INC. — (NAPLES, FL) left the SEC roster (was $75.5M RAUM, 1 reps). IAPD ↗
$75.5M RAUM · 1 reps · 239-280-1900
60
KEMP FINANCIAL MANAGEMENT, LLC — (FULLERTON, CA) left the SEC roster (was $230.0M RAUM, 3 reps). IAPD ↗
$230.0M RAUM · 3 reps · 714-257-0800 · kempfm.com
60
INVESTMENT MANAGEMENT ADVISORS, INC. — (NEW YORK, NY) left the SEC roster (was $56.8M RAUM, 1 reps). IAPD ↗
$56.8M RAUM · 1 reps · 212-741-0200 · prudentportfolios.com
60
FIDUCIARY CAPITAL ADVISORS INC — (location n/a) left the SEC roster (was $111.5M RAUM, 2 reps). IAPD ↗
$111.5M RAUM · 2 reps · 908-419-9459
60
COBEY JACOBSON & GORDON INC — (PASADENA, CA) left the SEC roster (was $99.4M RAUM, 1 reps). IAPD ↗
$99.4M RAUM · 1 reps · 626-584-3000
60
GCI INVESTORS — (HOUSTON, TX) left the SEC roster (was $5.0M RAUM, 2 reps). IAPD ↗
$5.0M RAUM · 2 reps · 8324920314
60
CAMBRIDGE FINANCIAL ADVISORS, LLC — (SALIDA, CO) left the SEC roster (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · 719-539-1040 · cambridgefinancialadvisors.com
60
COMPASS ADVISORY PARTNERS LLC — (COOKEVILLE, TN) left the SEC roster (was $0 RAUM, 10 reps). IAPD ↗
$0 RAUM · 10 reps · 931-400-0012 · fidelisfinancialstrategies.com
60
WIMMER CONSULTING, LLC — (IRVING, TX) left the SEC roster (was $105.9M RAUM, 2 reps). IAPD ↗
$105.9M RAUM · 2 reps · 214-219-7762
60
KAY QUINN FINANCIAL, LLC — (NASHVILLE, TN) left the SEC roster (was $123.0M RAUM, 1 reps). IAPD ↗
$123.0M RAUM · 1 reps · 615-297-3434 · kayquinnfinancial.com
60
STONEHURST MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $20.9M RAUM, 1 reps). IAPD ↗
$20.9M RAUM · 1 reps · 212-993-7071 · stonehurst.net
60
CAPITAL GROWTH & SHELTER, INC. — (location n/a) left the SEC roster (was $33.3M RAUM, 1 reps). IAPD ↗
$33.3M RAUM · 1 reps · 518-399-3372 · capitalgrowthonline.com
60
CONFIDENTIAL PLANNING I, LLC — (EAST SYRACUSE, NY) left the SEC roster (was $53.8M RAUM, 8 reps). IAPD ↗
$53.8M RAUM · 8 reps · 315-251-1101 · cpcfs.com
60
BOLAN CAPITAL MANAGEMENT, LLC — (CINCINNATI, OH) left the SEC roster (was $238.7M RAUM, 2 reps). IAPD ↗
$238.7M RAUM · 2 reps · 513-624-7070 · bolancapital.com
60
NUKU — (BAINBRIDGE ISLAND, WA) left the SEC roster (was $3.2M RAUM, 1 reps). IAPD ↗
$3.2M RAUM · 1 reps · 206-596-2110 · nuku.com
60
WORTH CONSIDERING, INC. — (ROCHESTER, NY) left the SEC roster (was $55.1M RAUM, 1 reps). IAPD ↗
$55.1M RAUM · 1 reps · 585-389-6197 · worthconsidering.com
60
INVERDALE CAPITAL MANAGEMENT, LLC — (DALLAS, TX) left the SEC roster (was $81.8M RAUM, 2 reps). IAPD ↗
$81.8M RAUM · 2 reps · 214.871.2900 · inverdalecapital.com
60
CAFG WEALTH MANAGEMENT, INC. — (NORTH BARRINGTON, IL) left the SEC roster (was $225.2M RAUM, 2 reps). IAPD ↗
$225.2M RAUM · 2 reps · 847-991-1099
60
ODIN CAPITAL MANAGEMENT — (location n/a) left the SEC roster (was $249.9M RAUM, 4 reps). IAPD ↗
$249.9M RAUM · 4 reps · 203 252 1304
60
SORTINO ADVISORY PARTNERS, LLC — (LOUISVILLE, KY) left the SEC roster (was $211.6M RAUM, 2 reps). IAPD ↗
$211.6M RAUM · 2 reps · (502) 371-9850 · sortinoadvisory.com
60
NEWE WEALTH MANAGEMENT LLC — (location n/a) left the SEC roster (was $13,142 RAUM, 1 reps). IAPD ↗
$13,142 RAUM · 1 reps · (408) 966-2807
60
PEAK FINANCIAL SERVICES, INC. — (NORTHBOROUGH, MA) left the SEC roster (was $150.5M RAUM, 1 reps). IAPD ↗
$150.5M RAUM · 1 reps · 508-351-9775
60
CATALYST WEALTH MANAGEMENT — (NORTHBROOK, IL) left the SEC roster (was $71.7M RAUM, 1 reps). IAPD ↗
$71.7M RAUM · 1 reps · 773-774-2600 · catalystwealthmgmt.com
60
SMARTMONEY.CO, LLC — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 510-396-2953 · smartmoney.co
60
E*HEDGE SECURITIES, INC. — (MIAMI, FL) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 800-407-3577 · ehedgesecurities.com
60
GOBE WEALTH MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $243,447 RAUM, 3 reps). IAPD ↗
$243,447 RAUM · 3 reps · 646-293-0913 · gobewealth.com
60
MATRIX ADVISORY — (location n/a) left the SEC roster (was $28.0M RAUM, 1 reps). IAPD ↗
$28.0M RAUM · 1 reps · 9174992939
60
PARKRIDGE|JCAM — (PIKESVILLE, MD) left the SEC roster (was $6.8M RAUM, 1 reps). IAPD ↗
$6.8M RAUM · 1 reps · 410-205-7967 · parkridgeco.com
60
ROCK CREEK WEALTH PLANNERS AND ADVISORS LLC — (SILVER SPRING, MD) left the SEC roster (was $50.2M RAUM, 2 reps). IAPD ↗
$50.2M RAUM · 2 reps · 202-899-1400 · rockcreekwealth.com
60
BKS RETIREMENT SERVICES — (TAMPA, FL) left the SEC roster (was $0 RAUM, 8 reps). IAPD ↗
$0 RAUM · 8 reps · 727-723-3676
60
WEALTHUP — (SAN FRANCISCO, CA) left the SEC roster (was $1,496 RAUM, 1 reps). IAPD ↗
$1,496 RAUM · 1 reps · 415-861-9461 · personaladviser.com
60
HERCULES INVESTMENTS — (LOS ANGELES, CA) left the SEC roster (was $33.2M RAUM, 1 reps). IAPD ↗
$33.2M RAUM · 1 reps · 800 729 0417
60
COMMUNITY CURE INC — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 917-763-7729 · mycommunitycure.com
60
QUANTITATIVE VALUE TECHNOLOGIES — (location n/a) left the SEC roster (was $172.6M RAUM, 2 reps). IAPD ↗
$172.6M RAUM · 2 reps · 913-214-5000
60
CERTEZA FUND ADVISORS LLC — (PROVIDENCE, UT) left the SEC roster (was $20.2M RAUM, 1 reps). IAPD ↗
$20.2M RAUM · 1 reps · 435-760-0923
60
DNDRO INC. — (VANCOUVER, WA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 206-707-8960 · dndro.com
60
WEALTH STACK — (AUSTIN, TX) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 737-444-9614
60
PLAYBOOK ADVISER — (SAN FRANCISCO, CA) left the SEC roster (was $2.2M RAUM, 3 reps). IAPD ↗
$2.2M RAUM · 3 reps · 415-805-2040
60
NAMTAF ADVISORS, LLC — (location n/a) left the SEC roster (was $159.3M RAUM, 1 reps). IAPD ↗
$159.3M RAUM · 1 reps · (314) 973-5059
60
BMO DIRECT INVEST INC. — (CHICAGO, IL) left the SEC roster (was $4.7M RAUM, 0 reps). IAPD ↗
$4.7M RAUM · 0 reps · 877-685-9057 · bmo.com
60
WALKER — (DOVER, DE) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 925-503-4551 · walkrfinance.com
60
DIGITAL FUNDS LLC — (ST. PETERSBURG, FL) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 808-723-4144
60
MARTIN CLAUDE, MATTHEW — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 5045595092 · matthewmartin.tech
60
MAYA ADVISORS, L.L.C. — (PALO ALTO, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (707) 438-6292 · getmaya.com
60
HORIZON FINANCIAL — (SEWARD, NE) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 5 reps). IAPD ↗
$0 RAUM · 5 reps · 402-643-4557
60
KEYTRENDS INVESTMENTS LLC — (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 · 757-816-1296 · keytrendsinvestments.com
60
INTENTIONAL FUNDS — (PRINCETON, NJ) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 917-776-7237 · intentionalfunds.com
60
VAM GROUP, LLC — (SEWICKLEY, PA) left the SEC roster (was $81.4M RAUM, 2 reps). IAPD ↗
$81.4M RAUM · 2 reps · 724-940-5400 · vescioassetmgt.com
60
VANCE FUNDS LIMITED — (CLEVELAND, OH) left the SEC roster — its 120-day provisional registration did not convert (was $378,778 RAUM, 1 reps). IAPD ↗
$378,778 RAUM · 1 reps · (513) 289-9434
60
SLICESPACE — (MT. LAUREL, NJ) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · (856) 874-6935 · slicespace.com
60
M26 CAPITAL — (LAUDERDALE LAKES, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 305-720-8856
60
TRANEL INTELLIGENT INVESTING, LLC — (LIBERTYVILLE, IL) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 847-680-9073 · tranelintelligentinvesting.com
60
ONE CAPITAL PARTNERS LLC — (WESTLAKE VILLAGE, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 805-409-8150 · www.ocmfunding.com
60
ASG ADVISORY, 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 · 773-837-9648
60
PORT CAPITAL MANAGEMENT — (MASSAPEQUA, NY) left the SEC roster — its 120-day provisional registration did not convert (was $8.4M RAUM, 1 reps). IAPD ↗
$8.4M RAUM · 1 reps · 212-597-2249 · portcapitalmgmt.com
55
REDW WEALTH LLC — shrank from 14 to 9 advisory reps. IAPD ↗
$1.00B RAUM · 9 reps · 505-998-3200
53
CPR INVESTMENTS INC — shrank from 35 to 29 advisory reps. IAPD ↗
$295.2M RAUM · 29 reps · 800-213-1164
53
COVE STREET CAPITAL, LLC — shrank from 4 to 2 advisory reps. IAPD ↗
$364.0M RAUM · 2 reps · 424-221-5897 · covestreetcapital.com
50
BULLTICK WEALTH MANAGEMENT, LLC — reported RAUM down 38% ($2.59B -> $1.60B). IAPD ↗
$1.60B RAUM · 20 reps · 305-533-1541 · bulltick.com
50
BRS FINANCIAL LLC — shrank from 7 to 5 advisory reps. IAPD ↗
$72.6M RAUM · 5 reps · 877-588-3217 · brsconsulting.com
50
IFS GROUP — shrank from 14 to 7 advisory reps. IAPD ↗
$200.0M RAUM · 7 reps · 717-766-1144 · ifsgroup1.com
48
HAMPSHIRE FAMILY OFFICE — reported RAUM down 53% ($1.81B -> $843.7M). IAPD ↗
$843.7M RAUM · 5 reps · 212-365-7624 · hampshirefamilyoffice.com
45
S. R. SCHILL & ASSOCIATES, INC. — reported RAUM down 44% ($243.4M -> $136.4M). IAPD ↗
$136.4M RAUM · 3 reps · 206-275-2700
45
ATRATO ASSET MANAGEMENT LLC — reported RAUM down 37% ($83.0M -> $52.4M). IAPD ↗
$52.4M RAUM · 1 reps · (505) 310-1783
45
BRS FINANCIAL LLC — reported RAUM down 64% ($200.3M -> $72.6M). IAPD ↗
$72.6M RAUM · 5 reps · 877-588-3217 · brsconsulting.com
45
LOGIX INVESTMENTS LLC — reported RAUM down 42% ($205.9M -> $118.6M). IAPD ↗
$118.6M RAUM · 5 reps · 216-861-1148 · logixinvestment.com
45
CALLAHAN FINANCIAL PLANNING — reported RAUM down 60% ($248.3M -> $100.4M). IAPD ↗
$100.4M RAUM · 5 reps · (800) 991-5195 · callahanfp.com
55
PFM ASSET MANAGEMENT LLC — (HARRISBURG, PA) left the SEC roster (was $176.88B RAUM, 215 reps). IAPD ↗institutional
$176.88B RAUM · 215 reps · 717-231-6200 · pfmam.com
55
EDGEHILL ENDOWMENT PARTNERS — (NEW HAVEN, CT) left the SEC roster (was $2.18B RAUM, 11 reps). IAPD ↗institutional
$2.18B RAUM · 11 reps · 203-654-3552 · edgehillendowment.com
55
MONTAGU US ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $4.40B RAUM, 1 reps). IAPD ↗institutional
$4.40B RAUM · 1 reps · 16465687321 · montagu.com
53
TOUCHDOWN VENTURES INC. — (PHILADELPHIA, PA) left the SEC roster (was $458.5M RAUM, 65 reps). IAPD ↗institutional
$458.5M RAUM · 65 reps · 856-431-3535 · touchdownvc.com
53
PEARL RIVER CAPITAL, LLC — (NILES, MI) left the SEC roster (was $719.1M RAUM, 9 reps). IAPD ↗institutional
$719.1M RAUM · 9 reps · 269-479-1493 · prcquant.com
50
VANTAGE ADVISORS, LLC — (location n/a) left the SEC roster (was $19.7M RAUM, 1 reps). IAPD ↗institutional
$19.7M RAUM · 1 reps · 317-590-4404
50
SHASTA VENTURES — (location n/a) left the SEC roster (was $2.02B RAUM, 4 reps). IAPD ↗fund
$2.02B RAUM · 4 reps · 650-543-1700 · shasta.vc
50
PIVOTALPATH (AMERICAS) LLC — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 212-257-4860
50
FOUNTAINHEAD RETIREMENT SERVICES — (WARREN, NJ) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 732-346-1900
50
OATH ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 212-430-2100
50
MIX CAPITAL LTD — (NEWPORT BEACH, CA) left the SEC roster (was $0 RAUM, 45 reps). IAPD ↗institutional
$0 RAUM · 45 reps · 870-860-8877
50
AE ADVISORS — (location n/a) left the SEC roster (was $100.0M RAUM, 1 reps). IAPD ↗institutional
$100.0M RAUM · 1 reps · 239-710-4529
50
HAVEN ASSET MANAGEMENT (INTERVAL FUNDS) LLC — (GREENWICH, CT) left the SEC roster (was $16.4M RAUM, 2 reps). IAPD ↗institutional
$16.4M RAUM · 2 reps · 203-302-1700
50
QUBE CAPITAL SOLUTIONS, LLC — (location n/a) left the SEC roster (was $62.8M RAUM, 1 reps). IAPD ↗institutional
$62.8M RAUM · 1 reps · 4754670067 · qube-cs.com
50
ACRISURE CAPITAL 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 · 616-541-6752
48
SQN INVESTORS LP — (MENLO PARK, CA) left the SEC roster (was $279.1M RAUM, 4 reps). IAPD ↗fund
$279.1M RAUM · 4 reps · 650-489-9100 · sqninvestors.com
48
YIELD CAPITAL PARTNERS LLC — (MONTECITO, CA) left the SEC roster (was $267.2M RAUM, 1 reps). IAPD ↗fund
$267.2M RAUM · 1 reps · 212-883-3333 · yieldcapitalpartners.com
48
ECM U.S. INC. — (COHASSET, MA) left the SEC roster (was $455.6M RAUM, 1 reps). IAPD ↗fund
$455.6M RAUM · 1 reps · 781-383-6600
48
SAX CAPITAL LLC — (WASHINGTON, DC) left the SEC roster (was $769.5M RAUM, 4 reps). IAPD ↗fund
$769.5M RAUM · 4 reps · (202) 729-9729 · saxcapital.co
48
COWBIRD CAPITAL LP — (NEW YORK, NY) left the SEC roster (was $355.5M RAUM, 3 reps). IAPD ↗fund
$355.5M RAUM · 3 reps · 212-350-8803 · cowbirdcapital.com
45
TOURADJI CAPITAL MANAGEMENT LP — (BOCA RATON, FL) left the SEC roster (was $52.1M RAUM, 1 reps). IAPD ↗fund
$52.1M RAUM · 1 reps · 212-984-8888 · touradji.com
45
STRATEGOS CAPITAL MANAGEMENT, LLC — (WAYNE, PA) left the SEC roster (was $21.6M RAUM, 3 reps). IAPD ↗fund
$21.6M RAUM · 3 reps · 215-701-9610 · strategoscm.com
45
STRIDE CAPITAL GROUP, LP — (WESTPORT, CT) left the SEC roster (was $96.6M RAUM, 3 reps). IAPD ↗fund
$96.6M RAUM · 3 reps · 203-569-8920 · stridecapital.com
45
MARKETFIELD ASSET MANAGEMENT LLC — (location n/a) left the SEC roster (was $154.0M RAUM, 3 reps). IAPD ↗fund
$154.0M RAUM · 3 reps · 212-514-2350 · marketfieldfund.com
45
JLP ASSET MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $212.1M RAUM, 5 reps). IAPD ↗fund
$212.1M RAUM · 5 reps · 212-578-1650 · jlpasset.com
45
JASPER ASSET MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $7.6M RAUM, 2 reps). IAPD ↗fund
$7.6M RAUM · 2 reps · 6466926003
45
HIGH HURDLE CAPITAL LLC — (NEW YORK, NY) left the SEC roster (was $96.6M RAUM, 2 reps). IAPD ↗fund
$96.6M RAUM · 2 reps · 212-388-5976
45
PARK AVENUE INSTITUTIONAL ADVISERS LLC — shrank from 55 to 23 advisory reps. IAPD ↗institutional
$74.86B RAUM · 23 reps · 212-919-2517
43
CORNERCAP INVESTMENT COUNSEL INC — shrank from 14 to 3 advisory reps. IAPD ↗institutional
$347.0M RAUM · 3 reps · 404.870.0700 · cornercapfunds.com
40
AQUILA INVESTMENT MANAGEMENT LLC — shrank from 4 to 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · 212-697-6666 · aquilafunds.com
40
MIDCAP FINANCIAL SERVICES CAPITAL MANAGEMENT, LLC — shrank from 124 to 69 advisory reps. IAPD ↗fund
$8.22B RAUM · 69 reps · 301-760-7600
38
CORNERCAP INVESTMENT COUNSEL INC — reported RAUM down 71% ($1.21B -> $347.0M). IAPD ↗institutional
$347.0M RAUM · 3 reps · 404.870.0700 · cornercapfunds.com
38
VINE INVESTMENT ADVISORS, LP — shrank from 7 to 1 advisory reps. IAPD ↗fund
$928.4M RAUM · 1 reps · 917-512-7051
35
ECOFIN ADVISORS LIMITED — (LONDON, United Kingdom) left the SEC roster (was $1.38B RAUM, 9 reps). IAPD ↗foreign
$1.38B RAUM · 9 reps · 44-207-451-2929 · ecofininvest.com
35
PGIM WADHWANI LLP — (LONDON, United Kingdom) left the SEC roster (was $1.60B RAUM, 25 reps). IAPD ↗foreign
$1.60B RAUM · 25 reps · 44 (0) 20 7663 3400
35
UNIGESTION (UK) LTD — (LONDON, United Kingdom) left the SEC roster (was $1.50B RAUM, 12 reps). IAPD ↗foreign
$1.50B RAUM · 12 reps · +44 (0) 20 7529 5200
33
FCO ADVISORS LP — reported RAUM down 44% ($1.40B -> $791.3M). IAPD ↗fund
$791.3M RAUM · 6 reps · 646-467-8050 · foundationcredit.com
30
WAYZATA INVESTMENT PARTNERS LLC — reported RAUM down 51% ($376.0M -> $183.8M). IAPD ↗fund
$183.8M RAUM · 5 reps · 952-345-0700 · wayzatainvestmentpartners.com
30
GULLANE CAPITAL, LLC — reported RAUM down 28% ($260.7M -> $186.5M). IAPD ↗fund
$186.5M RAUM · 1 reps · 901-766-1969
30
IMARA ASSET MANAGEMENT LIMITED — (ROAD TOWN, TORTOLA, British Virgin Islands) left the SEC roster (was $42.8M RAUM, 2 reps). IAPD ↗foreign
$42.8M RAUM · 2 reps · +230 2631490 · imara.com
30
MAUND AND JONES INVESTMENTS LLC — (CASTRIES, Saint Lucia) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗foreign
$0 RAUM · 2 reps · 1 (302) 261-2821
30
NEWLANDS INVESTMENT MANAGEMENT PTE LTD. — (SINGAPORE, Singapore) left the SEC roster (was $41.3M RAUM, 3 reps). IAPD ↗foreign
$41.3M RAUM · 3 reps · +65 6221 3931 · newlandsim.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.