← Tributary

M&A & valuation — January 2025

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

167 firms opened this window in the January 2025 SEC roster: 134 deregistered, 28 headcount down, 5 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
AGILI, P.C. — (RICHMOND, VA) left the SEC roster (was $1.10B RAUM, 11 reps). IAPD ↗
$1.10B RAUM · 11 reps · 804-358-2702 · agilipersonalcfo.com
65
CRESTONE ASSET MANAGEMENT LLC — (BOULDER, CO) left the SEC roster (was $3.62B RAUM, 28 reps). IAPD ↗
$3.62B RAUM · 28 reps · 303-442-4447 · crestoneinvestmentski.com
65
STEWART & PATTEN CO LLC — (LAFAYETTE, CA) left the SEC roster (was $1.03B RAUM, 5 reps). IAPD ↗
$1.03B RAUM · 5 reps · 415-421-4932 · stewartandpatten.com
65
STEWART CAPITAL ADVISORS, LLC — (INDIANA, PA) left the SEC roster (was $1.09B RAUM, 4 reps). IAPD ↗
$1.09B RAUM · 4 reps · 724-465-3458 · stewartcap.com
65
GRATUS CAPITAL, LLC — (ATLANTA, GA) left the SEC roster (was $2.74B RAUM, 26 reps). IAPD ↗
$2.74B RAUM · 26 reps · 404-961-6000
65
FORT PITT CAPITAL GROUP, LLC — (PITTSBURGH, PA) left the SEC roster (was $5.16B RAUM, 47 reps). IAPD ↗
$5.16B RAUM · 47 reps · 412-921-1822 · focusfinancialpartners.com
65
PETSO FINANCIAL CONSULTANTS LLC — (BOISE, ID) left the SEC roster (was $1.19B RAUM, 5 reps). IAPD ↗
$1.19B RAUM · 5 reps · 208-853-2000 · petsofinancial.com
65
GYL FINANCIAL SYNERGIES, LLC — (WEST HARTFORD, CT) left the SEC roster (was $6.07B RAUM, 42 reps). IAPD ↗
$6.07B RAUM · 42 reps · 844-248-9998 · focusfinancialpartners.com
65
CEDAR BROOK GROUP — (CLEVELAND, OH) left the SEC roster (was $1.72B RAUM, 18 reps). IAPD ↗
$1.72B RAUM · 18 reps · 440-683-9200 · msfaonline.com
65
9258 WEALTH MANAGEMENT, LLC — (BLUE ASH, OH) left the SEC roster (was $1.03B RAUM, 10 reps). IAPD ↗
$1.03B RAUM · 10 reps · 513-791-9258
65
FIRST TRUST DIRECT INDEXING — (BOSTON, MA) left the SEC roster (was $1.42B RAUM, 3 reps). IAPD ↗
$1.42B RAUM · 3 reps · 617-752-6010
65
REGIS MANAGEMENT, A MERCER ADVISORS COMPANY — (DENVER, CO) left the SEC roster (was $2.87B RAUM, 6 reps). IAPD ↗
$2.87B RAUM · 6 reps · 650-838-1030
63
CARMICHAEL HILL & ASSOCIATES INC — (GAITHERSBURG, MD) left the SEC roster (was $342.9M RAUM, 5 reps). IAPD ↗
$342.9M RAUM · 5 reps · 301-217-9300
63
WEALTHSPIRE ADVISORS — (MIDLOTHIAN, VA) left the SEC roster (was $518.1M RAUM, 4 reps). IAPD ↗
$518.1M RAUM · 4 reps · 804-323-1886
63
XPYRIA INVESTMENT ADVISORS, INC. — (PITTSBURGH, PA) left the SEC roster (was $823.3M RAUM, 8 reps). IAPD ↗
$823.3M RAUM · 8 reps · 412-232-3310 · xpyriainvest.com
63
ARBOR CAPITAL MANAGEMENT CORP — (AMHERST, NY) left the SEC roster (was $934.2M RAUM, 5 reps). IAPD ↗
$934.2M RAUM · 5 reps · 716-446-9111 · arborcapitalmgt.com
63
MCSHANE PARTNERS — (CHARLOTTE, NC) left the SEC roster (was $709.0M RAUM, 8 reps). IAPD ↗
$709.0M RAUM · 8 reps · 980-585-3390 · rinehartwealthmanagement.com
63
CENTERPOINT WEALTH MANAGEMENT, LLC — (ZIONSVILLE, IN) left the SEC roster (was $287.9M RAUM, 3 reps). IAPD ↗
$287.9M RAUM · 3 reps · (317) 973-7700 · centerpointwm.com
63
SALING, SIMMS, ASSOCIATES INC. — (COLUMBUS, OH) left the SEC roster (was $296.7M RAUM, 4 reps). IAPD ↗
$296.7M RAUM · 4 reps · 614-841-1881 · salingsimms.com
63
GREENWICH INVESTMENT MANAGEMENT, INC. — (NORWALK, CT) left the SEC roster (was $592.7M RAUM, 4 reps). IAPD ↗
$592.7M RAUM · 4 reps · 203-930-7200 · greenwichinvestmentmgt.com
63
BRIDGE ADVISORY LLC — (PASADENA, CA) left the SEC roster (was $452.6M RAUM, 18 reps). IAPD ↗
$452.6M RAUM · 18 reps · 626-798-4453 · bridgeadvisory.com
63
PILLAR WEALTH ADVISORS, LLC — (location n/a) left the SEC roster (was $296.2M RAUM, 5 reps). IAPD ↗
$296.2M RAUM · 5 reps · 302-409-3500 · pillarwealthadvisors.com
63
PRUDENT STREET FINANCIAL ADVISORS, LLC — (BRENTWOOD, TN) left the SEC roster (was $302.7M RAUM, 5 reps). IAPD ↗
$302.7M RAUM · 5 reps · 615-523-0660 · prudentstreet.com
63
SOURCE FINANCIAL ADVISORS, LLC — (NEW YORK, NY) left the SEC roster (was $519.5M RAUM, 1 reps). IAPD ↗
$519.5M RAUM · 1 reps · 212-273-0400
63
EDMONDS DUNCAN REGISTERED INVESTMENT ADVISORS, LLC — (LAWRENCE, KS) left the SEC roster (was $440.5M RAUM, 4 reps). IAPD ↗
$440.5M RAUM · 4 reps · (785) 856-2222 · edmondsduncan.com
63
CIC WEALTH, LLC — (ROCKVILLE, MD) left the SEC roster (was $658.8M RAUM, 11 reps). IAPD ↗
$658.8M RAUM · 11 reps · 301.816.4683
63
LEVY WEALTH MANAGEMENT GROUP — (PHILADELPHIA, PA) left the SEC roster (was $943.4M RAUM, 7 reps). IAPD ↗
$943.4M RAUM · 7 reps · 215-875-8720 · levywealth.com
63
WEALTHGATE FAMILY OFFICE LLC — (BOULDER, CO) left the SEC roster (was $472.8M RAUM, 7 reps). IAPD ↗
$472.8M RAUM · 7 reps · (303) 351-2380
63
TRUE NORTH FINANCIAL — (BILLINGS, MT) left the SEC roster (was $357.4M RAUM, 4 reps). IAPD ↗
$357.4M RAUM · 4 reps · 406-294-5000 · planwithtruenorth.com
63
FIRST TRUST INVESTMENT SOLUTIONS L.P. — (NAPLES, FL) left the SEC roster (was $518.1M RAUM, 7 reps). IAPD ↗
$518.1M RAUM · 7 reps · (239) 219-0550 · ftsma.com
60
CURTIS & BISSONETTE INC — (LAKE PLACID, NY) left the SEC roster (was $47.4M RAUM, 1 reps). IAPD ↗
$47.4M RAUM · 1 reps · 518-523-2443 · curtisandbissonette.com
60
OCEAN PARK ASSET MANAGEMENT, INC. — (SANTA MONICA, CA) left the SEC roster (was $146.8M RAUM, 8 reps). IAPD ↗
$146.8M RAUM · 8 reps · 310-452-1887
60
STONEBRIDGE CAPITAL MANAGEMENT — (PARAMUS, NJ) left the SEC roster (was $197.8M RAUM, 2 reps). IAPD ↗
$197.8M RAUM · 2 reps · 973-244-9696 · sbcm.net
60
FALCON CAPITAL MANAGEMENT INC — (WILTON, CT) left the SEC roster (was $97.2M RAUM, 1 reps). IAPD ↗
$97.2M RAUM · 1 reps · 203-834-1404 · falconcap.com
60
C. G. HUGHES COMPANY, LLC — (BAY SHORE, NY) left the SEC roster (was $35.6M RAUM, 1 reps). IAPD ↗
$35.6M RAUM · 1 reps · 631-665-7881
60
OREGON PACIFIC FINANCIAL ADVISORS INC — (MEDFORD, OR) left the SEC roster (was $157.1M RAUM, 6 reps). IAPD ↗
$157.1M RAUM · 6 reps · 541-772-1116
60
ALL SEASON FINANCIAL ADVISORS, INC. — (DENVER, CO) left the SEC roster (was $164.3M RAUM, 1 reps). IAPD ↗
$164.3M RAUM · 1 reps · 303-837-1187
60
WILEN INVESTMENT MANAGEMENT CORP. — (location n/a) left the SEC roster (was $169.0M RAUM, 1 reps). IAPD ↗
$169.0M RAUM · 1 reps · 1-239-676-8281
60
DUNTON AMMON GRESHAM JR — (WHITE STONE, VA) left the SEC roster (was $214.2M RAUM, 0 reps). IAPD ↗
$214.2M RAUM · 0 reps · 804-435-4000
60
ROUMELL ASSET MANAGEMENT, LLC — (location n/a) left the SEC roster (was $95.4M RAUM, 3 reps). IAPD ↗
$95.4M RAUM · 3 reps · 301-656-8500 · roumellasset.com
60
JMA FINANCIAL ADVISORS, INC. — (IRVING, TX) left the SEC roster (was $105.7M RAUM, 2 reps). IAPD ↗
$105.7M RAUM · 2 reps · 972-541-1121
60
WIXON ADVISORS, INC. — (MAPLE GROVE, MN) left the SEC roster (was $108.6M RAUM, 2 reps). IAPD ↗
$108.6M RAUM · 2 reps · 763-543-1819
60
GORDON ASSET MANAGEMENT, LLC — (DURHAM, NC) left the SEC roster (was $199.4M RAUM, 5 reps). IAPD ↗
$199.4M RAUM · 5 reps · 919-313-6650
60
ATLANTIC FINANCIAL SERVICES, INC. — (TOWSON, MD) left the SEC roster (was $140.7M RAUM, 2 reps). IAPD ↗
$140.7M RAUM · 2 reps · 410-296-0470
60
MERCADIEN ASSET MANAGEMENT, LLC — (HAMILTON, NJ) left the SEC roster (was $243.0M RAUM, 5 reps). IAPD ↗
$243.0M RAUM · 5 reps · 609-689-9700
60
FINANCIAL SOLUTIONS, INC. — (TULSA, OK) left the SEC roster (was $74.5M RAUM, 2 reps). IAPD ↗
$74.5M RAUM · 2 reps · 918-585-5858
60
ROTH ASSET MANAGEMENT, INC. — (location n/a) left the SEC roster (was $132.0M RAUM, 1 reps). IAPD ↗
$132.0M RAUM · 1 reps · 206-780-5550
60
JLFRANKLIN WEALTH PLANNING — (SAN RAFAEL, CA) left the SEC roster (was $201.4M RAUM, 2 reps). IAPD ↗
$201.4M RAUM · 2 reps · (415) 925-3400 · jlfwealth.com
60
ASCENSION ASSET MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $200.1M RAUM, 2 reps). IAPD ↗
$200.1M RAUM · 2 reps · 212-935-0782
60
FINANCIAL NAVIGATORS INC. — (location n/a) left the SEC roster (was $182.2M RAUM, 6 reps). IAPD ↗
$182.2M RAUM · 6 reps · 978-952-6800
60
AVERY WEALTH, INC. — (JACKSON, MI) left the SEC roster (was $201.7M RAUM, 3 reps). IAPD ↗
$201.7M RAUM · 3 reps · 517-783-1695 · averywealth.com
60
EJM WEALTH MANAGEMENT, LLC — (location n/a) left the SEC roster (was $125.1M RAUM, 1 reps). IAPD ↗
$125.1M RAUM · 1 reps · 847-894-3371
60
SOUTHEAST FINANCIAL GROUP — (RALEIGH, NC) left the SEC roster (was $177.8M RAUM, 3 reps). IAPD ↗
$177.8M RAUM · 3 reps · 919-544-0500 · sefgroup.com
60
STEP CHANGE ADVISORS, LLC — (SAINT LOUIS, MO) left the SEC roster (was $110.7M RAUM, 1 reps). IAPD ↗
$110.7M RAUM · 1 reps · 314-517-6845 · stepchangeadvisors.com
60
CUSTOM PORTFOLIO GROUP — (ENGLEWOOD, CO) left the SEC roster (was $175.6M RAUM, 1 reps). IAPD ↗
$175.6M RAUM · 1 reps · 720.259.5113 · custompg.com
60
BRS FINANCIAL LLC — (LITTLE ROCK, AR) left the SEC roster (was $72.6M RAUM, 5 reps). IAPD ↗
$72.6M RAUM · 5 reps · 877-588-3217 · brsconsulting.com
60
THE KINNEY GROUP, LLC — (PASADENA, CA) left the SEC roster (was $92.7M RAUM, 1 reps). IAPD ↗
$92.7M RAUM · 1 reps · (626) 796-1860 · kinneygroupwm.com
60
SPORTS & ENTERTAINMENT INVESTMENT ADVISERS, LLC — (MONTEBELLO, NY) left the SEC roster (was $18.9M RAUM, 3 reps). IAPD ↗
$18.9M RAUM · 3 reps · 845-369-9422 · seinvestmentadvisers.com
60
BRIDGEMARK WEALTH MANAGEMENT — (ROCKVILLE, MD) left the SEC roster (was $216.3M RAUM, 3 reps). IAPD ↗
$216.3M RAUM · 3 reps · (301) 850-0680 · bridgemarkwealth.com
60
CHARLESTON INVESTMENT ADVISORS, LLC — (MT. PLEASANT, SC) left the SEC roster (was $140.5M RAUM, 2 reps). IAPD ↗
$140.5M RAUM · 2 reps · (843) 763-4499 · charlestoninvestmentadvisors.com
60
FNZ ADVISERS LLC — (NEW YORK, NY) left the SEC roster (was $61.0M RAUM, 1 reps). IAPD ↗
$61.0M RAUM · 1 reps · 646-946-1614 · fnz.com
60
WEALTHDRIVE ADVISORY LLC — (RUSTBURG, VA) left the SEC roster (was $25.0M RAUM, 1 reps). IAPD ↗
$25.0M RAUM · 1 reps · 434-444-4250 · wealthdriveadvisory.com
60
AFS FINANCIAL GROUP, LLC — (BETHESDA, MD) left the SEC roster (was $244.9M RAUM, 4 reps). IAPD ↗
$244.9M RAUM · 4 reps · (301) 951-2642
60
180 DEGREE CAPITAL CORP. — (MONTCLAIR, NJ) left the SEC roster (was $60.8M RAUM, 3 reps). IAPD ↗
$60.8M RAUM · 3 reps · 973-746-4500 · ir.180degreecapital.com
60
OWLFI — (LENEXA, KS) left the SEC roster (was $125.1M RAUM, 8 reps). IAPD ↗
$125.1M RAUM · 8 reps · 913-441-8380 · owlfi.com
60
QUANTS COMPETE — (BRENTWOOD, TN) left the SEC roster (was $1.8M RAUM, 1 reps). IAPD ↗
$1.8M RAUM · 1 reps · (510) 788-0774
60
HEDGEHOG ADVISERS, LLC — (SAN FRANCISCO, CA) left the SEC roster (was $534,799 RAUM, 1 reps). IAPD ↗
$534,799 RAUM · 1 reps · 949-354-4184 · hedgehogadvisers.com
60
CIRCULAR — (location n/a) left the SEC roster (was $1.8M RAUM, 1 reps). IAPD ↗
$1.8M RAUM · 1 reps · 954-205-2149 · circularwealthadvisors.com
60
KEY WEALTH ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $9.3M RAUM, 1 reps). IAPD ↗
$9.3M RAUM · 1 reps · (256) 715-9611
60
WALKTHROUGH — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 5044284071 · walkthrough.co
60
PEBBLE FINANCE — (LEXINGTON, MA) left the SEC roster (was $38,670 RAUM, 0 reps). IAPD ↗
$38,670 RAUM · 0 reps · 203-249-0473 · pebble.finance
60
AUA PRIVATE WEALTH ADVISORS, LLC — (WEST CONSHOHOCKEN, PA) left the SEC roster (was $98.2M RAUM, 3 reps). IAPD ↗
$98.2M RAUM · 3 reps · (484) 965-0991
60
MOMENT ADVISORS, LLC — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · (551) 775-2340
60
ARCH INDICES INVESTMENT ADVISORS — (location n/a) left the SEC roster (was $530,000 RAUM, 2 reps). IAPD ↗
$530,000 RAUM · 2 reps · 646-389-2422
60
HOLDINGS — (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 888-806-1639 · holdings.io
60
PERIDOT INVESTMENT RESEARCH INC — (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 · (480) 665-7706 · peridotfunds.com
60
SOLOMON CAPITAL 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 · 248-875-5700
60
CARNEGIE WEALTH MANAGEMENT LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $41.5M RAUM, 2 reps). IAPD ↗
$41.5M RAUM · 2 reps · 818-679-2724
60
FINFARE ADVISORS — (IRVINE, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 888-281-3273 · invest.finfare.com
60
VERIDIAN PRIVATE WEALTH MANAGEMENT — (WARRENVILLE, IL) left the SEC roster (was $100.0M RAUM, 1 reps). IAPD ↗
$100.0M RAUM · 1 reps · 815-814-2763 · veridian-wealth.com
60
OVERLOCK CAPITAL LLC — (WASHINGTON, DC) left the SEC roster (was $115.2M RAUM, 3 reps). IAPD ↗
$115.2M RAUM · 3 reps · 202-670-2574 · overlockcapital.com
60
HARMONY WEALTH PARTNERS — (BOSTON, MA) left the SEC roster — its 120-day provisional registration did not convert (was $48.1M RAUM, 2 reps). IAPD ↗
$48.1M RAUM · 2 reps · (617) 359-0438 · harmonywealth.com
60
RBT WEALTH LLC — (NEWBURGH, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · 845-567-9000
60
NN INVESTMENT ADVISORY, LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $4.2M RAUM, 1 reps). IAPD ↗
$4.2M RAUM · 1 reps · 917-673-2324 · nninvestmentadvisory.com
60
ELEVATE PLANNERS — (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 · 347-506-6061 · lvtplanners.com
60
STAR WEALTH ADVISORS — (BOCA RATON, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 561-427-2424
60
SERENITY CAPITAL ADVISORS INC. — (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 · 585-662-8111 · serenitycapadvisors.com
60
PATEL CAPITAL MANAGEMENT — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $7.0M RAUM, 1 reps). IAPD ↗
$7.0M RAUM · 1 reps · 415-867-4301 · patelcapitalmgmt.com
60
CEDRUS — (LITTLETON, CO) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 303-710-2708
60
THECE WEALTH MANAGEMENT — (NEWPORT BEACH, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · (949) 775-5115 · thece.com
55
L.M. KOHN & COMPANY — shrank from 70 to 63 advisory reps. IAPD ↗
$2.09B RAUM · 63 reps · 513-792-0301 · lmkohn.com
55
PUTNAM INVESTMENT MANAGEMENT, LLC — shrank from 165 to 51 advisory reps. IAPD ↗
$85.21B RAUM · 51 reps · 617-292-1000
55
LORD, ABBETT & CO. LLC — shrank from 264 to 188 advisory reps. IAPD ↗
$238.76B RAUM · 188 reps · 201-827-2000
55
WESTERN ASSET MANAGEMENT COMPANY — shrank from 114 to 68 advisory reps. IAPD ↗
$298.75B RAUM · 68 reps · 626-844-9400
55
EAGLE ASSET MANAGEMENT INC — shrank from 54 to 44 advisory reps. IAPD ↗
$58.48B RAUM · 44 reps · 727-573-2453
55
CLEARBRIDGE INVESTMENTS, LLC — shrank from 79 to 62 advisory reps. IAPD ↗
$180.79B RAUM · 62 reps · 212-805-2000 · stitcher.com
55
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC — shrank from 5773 to 5720 advisory reps. IAPD ↗
$344.87B RAUM · 5720 reps · 727-567-3020
55
STONEX ADVISORS INC. — shrank from 242 to 233 advisory reps. IAPD ↗
$4.52B RAUM · 233 reps · 800-292-2411
53
HOLCOMBE FINANCIAL, INC. — shrank from 3 to 1 advisory reps. IAPD ↗
$347.1M RAUM · 1 reps · 404-257-3317
53
BRITE ADVISORS USA, INC. — shrank from 6 to 0 advisory reps. IAPD ↗
$468.1M RAUM · 0 reps · 646-449-7253
53
CAPASSO PLANNING PARTNERS LLC — shrank from 10 to 6 advisory reps. IAPD ↗
$332.8M RAUM · 6 reps · 843-608-8487 · capassoplanningpartners.com
50
THE FOUNDRY FINANCIAL GROUP, INC. — shrank from 8 to 5 advisory reps. IAPD ↗
$207.9M RAUM · 5 reps · 603-528-5171
50
OAKMONT WEALTH ADVISORY, LLC — shrank from 5 to 2 advisory reps. IAPD ↗
$96.2M RAUM · 2 reps · 443-741-9101 · whiteoakwealthmanagement.com
50
CARDEA CAPITAL ADVISORS, LLC — shrank from 9 to 7 advisory reps. IAPD ↗
$147.5M RAUM · 7 reps · 770-977-7779
50
COPE CONNELLY — shrank from 6 to 4 advisory reps. IAPD ↗
$244.9M RAUM · 4 reps · (888) 336-8402 · govconwealth.com
45
OAKMONT WEALTH ADVISORY, LLC — reported RAUM down 67% ($288.1M -> $96.2M). IAPD ↗
$96.2M RAUM · 2 reps · 443-741-9101 · whiteoakwealthmanagement.com
45
ARTA FINANCE — reported RAUM down 56% ($134.9M -> $59.1M). IAPD ↗
$59.1M RAUM · 18 reps · 650-318-3898
55
ALBION INVESTORS LLC — (NEW YORK, NY) left the SEC roster (was $1.46B RAUM, 7 reps). IAPD ↗institutional
$1.46B RAUM · 7 reps · 212-277-7533 · albioninvestors.com
55
RANGER GLOBAL REAL ESTATE ADVISORS, LLC — (NEW YORK, NY) left the SEC roster (was $1.33B RAUM, 6 reps). IAPD ↗institutional
$1.33B RAUM · 6 reps · 8663230555
55
BLUE WATER FINANCIAL TECHNOLOGIES LLC — (DEEPHAVEN, MN) left the SEC roster (was $6.64B RAUM, 4 reps). IAPD ↗institutional
$6.64B RAUM · 4 reps · 866-217-0246 · bluewater-fintech.com
53
NSI RETAIL ADVISORS, LLC — (WARRENDALE, PA) left the SEC roster (was $702.9M RAUM, 4 reps). IAPD ↗institutional
$702.9M RAUM · 4 reps · 412-566-1234
50
WBG ADVISORS LLC — (location n/a) left the SEC roster (was $101.8M RAUM, 1 reps). IAPD ↗institutional
$101.8M RAUM · 1 reps · 203-227-3738
50
RCG LONGVIEW — (NEW YORK, NY) left the SEC roster (was $1.14B RAUM, 12 reps). IAPD ↗fund
$1.14B RAUM · 12 reps · 212-356-9200 · rcglongview.com
50
SYNTAX ADVISORS, LLC — (NEW YORK, NY) left the SEC roster (was $126.3M RAUM, 5 reps). IAPD ↗institutional
$126.3M RAUM · 5 reps · (212) 880-0200
50
CIRCULARIS PARTNERS LP — (THE WOODLANDS, TX) left the SEC roster (was $123.4M RAUM, 2 reps). IAPD ↗institutional
$123.4M RAUM · 2 reps · 713-503-0891 · circularis.com
50
FEDERATED INTERNATIONAL SECURITIES CORP. — (PITTSBURGH, PA) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · (412) 288-1900
50
LIFESCI FUND MANAGEMENT — (NEW YORK, NY) left the SEC roster (was $103.2M RAUM, 1 reps). IAPD ↗institutional
$103.2M RAUM · 1 reps · 646-597-6987 · lifescifunds.com
50
PHORCYS INVESTMENT ADVISORS, LLC — (GUAYNABO, PR) left the SEC roster (was $1.24B RAUM, 1 reps). IAPD ↗fund
$1.24B RAUM · 1 reps · 787-979-2163
50
TYPHON CAPITAL MANAGEMENT, LLC — (MIAMI BEACH, FL) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 312-836-1180
50
ACRISURE ASSET & WEALTH MANAGEMENT, LLC — (GRAND RAPIDS, MI) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 616-541-6752
50
MAG ADVISORS LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 817-421-3823
50
STARTINVEST FINANCIAL LLC — (LOS ANGELES, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 424-303-3666
50
WEST BASIN CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 646-494-3862 · westbasincapital.com
50
CARO INVESTORS — (CHEVY CHASE, MD) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · (301) 241- 8680 · caroinvestors.com
48
QCM CAYMAN, LTD. — (HOUSTON, TX) left the SEC roster (was $270.4M RAUM, 13 reps). IAPD ↗fund
$270.4M RAUM · 13 reps · 713-333-5440 · quantlab.com
48
RK CAPITAL MANAGEMENT, LLC — (DENVER, CO) left the SEC roster (was $549.0M RAUM, 6 reps). IAPD ↗fund
$549.0M RAUM · 6 reps · 303-394-0101 · rkcap.com
48
TACONIC PARTNERS — (NEW YORK, NY) left the SEC roster (was $431.5M RAUM, 27 reps). IAPD ↗fund
$431.5M RAUM · 27 reps · 212-220-9945 · taconicpartners.com
48
KEY SQUARE GROUP LP — (STAMFORD, CT) left the SEC roster (was $557.0M RAUM, 5 reps). IAPD ↗fund
$557.0M RAUM · 5 reps · 212-624-0550 · keysq.com
48
PIPER SANDLER ADVISORS LLC — (MINNEAPOLIS, MN) left the SEC roster (was $364.6M RAUM, 7 reps). IAPD ↗fund
$364.6M RAUM · 7 reps · 800-333-6000
48
MKH CAPITAL PARTNERS LP — (MIAMI, FL) left the SEC roster (was $265.0M RAUM, 6 reps). IAPD ↗fund
$265.0M RAUM · 6 reps · 305-901-6050 · mkhpartners.com
45
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC — (NORFOLK, VA) left the SEC roster (was $190.8M RAUM, 6 reps). IAPD ↗fund
$190.8M RAUM · 6 reps · 757-623-3676 · wstcm.com
45
WINDHAM CAPITAL MANAGEMENT, LLC — (CAMBRIDGE, MA) left the SEC roster (was $192.1M RAUM, 5 reps). IAPD ↗fund
$192.1M RAUM · 5 reps · 617-419-3900
45
FCCI CONSULTING, LLC — (location n/a) left the SEC roster (was $170.8M RAUM, 2 reps). IAPD ↗fund
$170.8M RAUM · 2 reps · 516-765-7400
45
QUANTLAB CAPITAL MANAGEMENT, LLC — (HOUSTON, TX) left the SEC roster (was $16.3M RAUM, 13 reps). IAPD ↗fund
$16.3M RAUM · 13 reps · 713-333-5440 · quantlab.com
45
RESOLUTION RECOVERY PARTNERS MANAGER, LLC — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗fund
$0 RAUM · 2 reps · (212) 829-4952 · cantor.com
45
LUFKIN ADVISORS, LLC — (location n/a) left the SEC roster (was $115.8M RAUM, 0 reps). IAPD ↗fund
$115.8M RAUM · 0 reps · 650-573-1187 · lufkinadvisors.com
45
THAYER GP VI LLC — (NEW YORK, NY) left the SEC roster (was $55.1M RAUM, 4 reps). IAPD ↗fund
$55.1M RAUM · 4 reps · 212-417-7000
45
MERIT FUND ADVISORS — (BIRMINGHAM, AL) left the SEC roster (was $188.6M RAUM, 13 reps). IAPD ↗fund
$188.6M RAUM · 13 reps · (205) 313-4809
45
BANGTAIL MANAGEMENT, LP — (STEAMBOAT SPRINGS, CO) left the SEC roster (was $156.7M RAUM, 8 reps). IAPD ↗fund
$156.7M RAUM · 8 reps · 970-457-4340
45
PACIFIC GENERAL — (NEW YORK, NY) left the SEC roster (was $25.0M RAUM, 5 reps). IAPD ↗fund
$25.0M RAUM · 5 reps · 646-470-7631
45
BLUE BEACH CAPITAL — (location n/a) left the SEC roster (was $141.8M RAUM, 1 reps). IAPD ↗fund
$141.8M RAUM · 1 reps · 787-647-7123 · bluebeachcap.com
45
DIGITAL ASSET MANAGEMENT — (PHOENIX, AZ) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · 6029101254 · damx.us
45
CLARIVEST ASSET MANAGEMENT LLC — shrank from 14 to 10 advisory reps. IAPD ↗institutional
$2.55B RAUM · 10 reps · 858-480-2440 · clarivest.com
43
TREMONT REALTY CAPITAL LLC — shrank from 24 to 18 advisory reps. IAPD ↗institutional
$751.6M RAUM · 18 reps · 617-867-0700 · tremontcapital.com
43
FIELDVIEW CAPITAL MANAGEMENT, LLC — shrank from 12 to 8 advisory reps. IAPD ↗institutional
$671.3M RAUM · 8 reps · 269-479-1493
40
PRUCO SECURITIES, LLC — shrank from 2700 to 116 advisory reps. IAPD ↗institutional
$0 RAUM · 116 reps · 973-802-6000 · prudential.com
40
CLARION PARTNERS — shrank from 189 to 177 advisory reps. IAPD ↗fund
$73.35B RAUM · 177 reps · 212-883-2500 · clarionpartners.com
40
K2/D&S MANAGEMENT CO., L.L.C. — shrank from 21 to 15 advisory reps. IAPD ↗fund
$9.44B RAUM · 15 reps · 203-348-5252 · k2advisors.com
40
WALTON STREET CAPITAL, L.L.C. — shrank from 77 to 60 advisory reps. IAPD ↗fund
$11.75B RAUM · 60 reps · 312-915-2800
40
PLATO'S PHILOSOPHY, LLC — shrank from 4 to 1 advisory reps. IAPD ↗institutional
$39.4M RAUM · 1 reps · 805-888-2024 · stockhack.com
35
THE PUTNAM ADVISORY COMPANY, LLC — reported RAUM down 37% ($65.64B -> $41.47B). IAPD ↗fund
$41.47B RAUM · 6 reps · 617-292-1000
35
ZEAL ASSET MANAGEMENT LIMITED — (HONG KONG, Hong Kong) left the SEC roster (was $1.22B RAUM, 17 reps). IAPD ↗foreign
$1.22B RAUM · 17 reps · 85236269700 · zealasset.com
35
INVESCO ASSET MANAGEMENT (INDIA) PVT. LTD. — (MUMBAI, MAHARASHTRA, India) left the SEC roster (was $10.25B RAUM, 21 reps). IAPD ↗foreign
$10.25B RAUM · 21 reps · 91 22 6731 0000 · invescomutualfund.com
35
EIGHTEEN48 PARTNERS — (LONDON, United Kingdom) left the SEC roster (was $1.86B RAUM, 18 reps). IAPD ↗foreign
$1.86B RAUM · 18 reps · +44 (0) 20 3670 1855 · eighteen48.com
33
LGIM INTERNATIONAL LTD — (LONDON, United Kingdom) left the SEC roster (was $983.5M RAUM, 74 reps). IAPD ↗foreign
$983.5M RAUM · 74 reps · +44 203 124 3942
33
CRYSTAL ASSET MANAGEMENT AG — (PFAEFFIKON, Switzerland) left the SEC roster (was $299.2M RAUM, 3 reps). IAPD ↗foreign
$299.2M RAUM · 3 reps · +41 44 389 11 22 · cr-am.ch
33
HEWARD INVESTMENT MANAGEMENT INC. — (MONTREAL, QUEBEC, Canada) left the SEC roster (was $445.5M RAUM, 6 reps). IAPD ↗foreign
$445.5M RAUM · 6 reps · 514-985-5757 · heward.com
30
HARBINGER CAPITAL PARTNERS LLC — reported RAUM down 60% ($336.4M -> $134.2M). IAPD ↗fund
$134.2M RAUM · 1 reps · 212-518-4177 · harbingercapital.com
30
REEF INVESTMENT MANAGEMENT LLC — reported RAUM down 63% ($303.1M -> $113.4M). IAPD ↗fund
$113.4M RAUM · 1 reps · 801-216-8850 · reefim.com
30
DELTEC INVESTMENT ADVISERS LIMITED — (NASSAU, Bahamas, The) left the SEC roster (was $20.1M RAUM, 2 reps). IAPD ↗foreign
$20.1M RAUM · 2 reps · 1-242-302-4100
30
ALVENTO CAPITAL PARTNERS LLP — (LONDON, United Kingdom) left the SEC roster (was $202.3M RAUM, 3 reps). IAPD ↗foreign
$202.3M RAUM · 3 reps · +44 203 696 6030 · alventocap.com
30
COMPOSER TECHNOLOGIES — (TORONTO, ONTARIO, Canada) left the SEC roster (was $46.7M RAUM, 1 reps). IAPD ↗foreign
$46.7M RAUM · 1 reps · (647) 254-3904 · investcomposer.com
25
WESTERN ASSET MANAGEMENT COMPANY LIMITED — shrank from 22 to 14 advisory reps. IAPD ↗foreign
$33.56B RAUM · 14 reps · 011-44-20-7422-3000
25
MARTIN CURRIE INC — shrank from 33 to 0 advisory reps. IAPD ↗foreign
$7.31B RAUM · 0 reps · 44 131 229 5252
25
CARDINAL CAPITAL MANAGEMENT, INC. — shrank from 29 to 13 advisory reps. IAPD ↗foreign
$3.59B RAUM · 13 reps · 1-800-310-4664
25
WESTERN ASSET MANAGEMENT COMPANY PTE LTD — shrank from 7 to 5 advisory reps. IAPD ↗foreign
$3.99B RAUM · 5 reps · 65-6428-3600
25
WESTERN ASSET MANAGEMENT COMPANY LTD — shrank from 6 to 3 advisory reps. IAPD ↗foreign
$3.04B RAUM · 3 reps · 011-81-3-4520-4300

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.