← Tributary

M&A & valuation — February 2025

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

129 firms opened this window in the February 2025 SEC roster: 88 deregistered, 24 headcount down, 17 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
WINTRUST INVESTMENTS — (CHICAGO, IL) left the SEC roster (was $14.42B RAUM, 147 reps). IAPD ↗
$14.42B RAUM · 147 reps · 312-431-1700 · fcbadvisors.com
65
OSAIC FS, INC. — (FORT WAYNE, IN) left the SEC roster (was $4.48B RAUM, 337 reps). IAPD ↗
$4.48B RAUM · 337 reps · 800-237-3813 · lfg.com
65
OSAIC FA, INC. — (FORT WAYNE, IN) left the SEC roster (was $37.13B RAUM, 940 reps). IAPD ↗
$37.13B RAUM · 940 reps · 800-237-3813
65
GCM CUSTOMIZED FUND INVESTMENT GROUP, L.P. — (NEW YORK, NY) left the SEC roster (was $47.87B RAUM, 75 reps). IAPD ↗
$47.87B RAUM · 75 reps · 646-362-3700 · gcmgrosvenor.com
65
PEGASUS PARTNERS — (MEQUON, WI) left the SEC roster (was $3.09B RAUM, 10 reps). IAPD ↗
$3.09B RAUM · 10 reps · 262-478-9009
65
PROVENIO CAPITAL — (NEWPORT BEACH, CA) left the SEC roster (was $1.62B RAUM, 6 reps). IAPD ↗
$1.62B RAUM · 6 reps · 949-301-9060
65
SYNTRINSIC LLC — (DENVER, CO) left the SEC roster (was $1.75B RAUM, 12 reps). IAPD ↗
$1.75B RAUM · 12 reps · 303-296-7100
63
WHITEROCK WEALTH MANAGEMENT CO. — (DALLAS, TX) left the SEC roster (was $255.3M RAUM, 3 reps). IAPD ↗
$255.3M RAUM · 3 reps · 214-691-4451 · whiterockwm.com
63
SASCO CAPITAL INC — (FAIRFIELD, CT) left the SEC roster (was $911.1M RAUM, 8 reps). IAPD ↗
$911.1M RAUM · 8 reps · 203-254-6800 · sascocap.com
63
GARRISON ASSET MANAGEMENT, LLC — (FAYETTEVILLE, AR) left the SEC roster (was $314.2M RAUM, 2 reps). IAPD ↗
$314.2M RAUM · 2 reps · 479-587-1045 · garrisonconnect.com
63
CARDINAL CAPITAL MANAGEMENT, L.L.C. — (GREENWICH, CT) left the SEC roster (was $386.3M RAUM, 7 reps). IAPD ↗
$386.3M RAUM · 7 reps · 203-863-8990 · cardcap.com
63
HBC FINANCIAL SERVICES, PLLC — (SEATTLE, WA) left the SEC roster (was $447.0M RAUM, 4 reps). IAPD ↗
$447.0M RAUM · 4 reps · 206-548-5000 · advisercpa.com
63
BOGDANOVICH WEALTH MANAGEMENT PLLC — (EDMONDS, WA) left the SEC roster (was $270.9M RAUM, 1 reps). IAPD ↗
$270.9M RAUM · 1 reps · 206-522-4478 · bogdanovichwm.com
63
TRINITY FINANCIAL PARTNERS II, LLC — (BERWYN, PA) left the SEC roster (was $441.9M RAUM, 3 reps). IAPD ↗
$441.9M RAUM · 3 reps · 610-687-8040 · trinityfinancialpartners.com
63
THE HUMPHREYS GROUP — (SAN FRANCISCO, CA) left the SEC roster (was $283.6M RAUM, 3 reps). IAPD ↗
$283.6M RAUM · 3 reps · 415-928-0401 · humphreysgroup.com
63
WAYPOINT CAPITAL ADVISORS, LLC — (MINNEAPOLIS, MN) left the SEC roster (was $949.9M RAUM, 8 reps). IAPD ↗
$949.9M RAUM · 8 reps · (612) 438-2470 · waypointcapitaladvisors.com
63
CONCENTRIC WEALTH MANAGEMENT LLC — (LAFAYETTE, CA) left the SEC roster (was $601.3M RAUM, 3 reps). IAPD ↗
$601.3M RAUM · 3 reps · 925-962-1100 · concentric-wealth.com
63
WEALTHPOINT ADVISORS LLC — (INDIANAPOLIS, IN) left the SEC roster (was $303.7M RAUM, 4 reps). IAPD ↗
$303.7M RAUM · 4 reps · 317-818-1040 · wealthpointadv.com
63
ASPIRE WEALTH MANAGEMENT CORPORATION — (WALTHAM, MA) left the SEC roster (was $379.5M RAUM, 3 reps). IAPD ↗
$379.5M RAUM · 3 reps · (617) 245-8500 · aspirewm.com
63
KADES & CHEIFETZ, LLC — (BERWYN, PA) left the SEC roster (was $407.2M RAUM, 2 reps). IAPD ↗
$407.2M RAUM · 2 reps · 610-834-1487 · kadescheifetz.com
63
ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLC — (NEW CUMBERLAND, PA) left the SEC roster (was $409.3M RAUM, 6 reps). IAPD ↗
$409.3M RAUM · 6 reps · 717-403-6030 · zimllc.com
63
SWEET FINANCIAL PARTNERS, LLC — (FAIRMONT, MN) left the SEC roster (was $779.2M RAUM, 4 reps). IAPD ↗
$779.2M RAUM · 4 reps · 507-235-5587
63
NORTHWEST INVESTMENT COUNSELORS — (LAKE OSWEGO, OR) left the SEC roster (was $591.8M RAUM, 5 reps). IAPD ↗
$591.8M RAUM · 5 reps · 800-685-7884
60
THE WINDMILL GROUP, INC. — (SOMERS, NY) left the SEC roster (was $32.1M RAUM, 3 reps). IAPD ↗
$32.1M RAUM · 3 reps · (914) 277-2700
60
STRATIGRAPHIC ASSET MANAGEMENT, INC. — (location n/a) left the SEC roster (was $160.0M RAUM, 1 reps). IAPD ↗
$160.0M RAUM · 1 reps · 305-447-0300 · stratigraphic.com
60
MUELLER FINANCIAL SOLUTIONS CO. — (CANON CITY, CO) left the SEC roster (was $155.7M RAUM, 2 reps). IAPD ↗
$155.7M RAUM · 2 reps · (719) 275-1651 · themuellercompanies.com
60
BEVERLY INVESTMENT ADVISORS LLC — (BEVERLY HILLS, CA) left the SEC roster (was $95.6M RAUM, 1 reps). IAPD ↗
$95.6M RAUM · 1 reps · 310-246-1200 · beverlyadvisors.com
60
MISSION HILLS FINANCIAL — (SAN DIEGO, CA) left the SEC roster (was $152.7M RAUM, 3 reps). IAPD ↗
$152.7M RAUM · 3 reps · 619-294-9420 · missionhillsfinancial.com
60
PAYANT WEALTH MANAGEMENT GROUP — (SUN CITY CENTER, FL) left the SEC roster (was $235.6M RAUM, 5 reps). IAPD ↗
$235.6M RAUM · 5 reps · 813-633-7333
60
GASSMAN FINANCIAL GROUP — (JERICHO, NY) left the SEC roster (was $50.1M RAUM, 1 reps). IAPD ↗
$50.1M RAUM · 1 reps · 631-482-7460
60
PALADINI FINANCIAL ADVISORS, LLC — (ARLINGTON, TX) left the SEC roster (was $168.9M RAUM, 4 reps). IAPD ↗
$168.9M RAUM · 4 reps · 817-704-7788 · paladinifinancial.com
60
CASTLE ROCK INVESTMENT COMPANY — (CASTLE ROCK, CO) left the SEC roster (was $72.1M RAUM, 1 reps). IAPD ↗
$72.1M RAUM · 1 reps · 303-725-7086
60
HARVEST VOLATILITY MANAGEMENT, LLC — (NORWALK, CT) left the SEC roster (was $216.6M RAUM, 5 reps). IAPD ↗
$216.6M RAUM · 5 reps · 203-307-0600 · harvestvolatilitymanagement.com
60
ATLANTIS ASSET MANAGEMENT, LLC — (location n/a) left the SEC roster (was $16.2M RAUM, 3 reps). IAPD ↗
$16.2M RAUM · 3 reps · 212-945-8501 · atlantisasset.com
60
GATHER FINANCIAL PLANNING — (FALMOUTH, ME) left the SEC roster (was $148.4M RAUM, 4 reps). IAPD ↗
$148.4M RAUM · 4 reps · 207-781-3500 · gatherfinancialplanning.com
60
MILESTONE WEALTH, LLC — (BUFFALO, NY) left the SEC roster (was $102.9M RAUM, 1 reps). IAPD ↗
$102.9M RAUM · 1 reps · 716-626-2556
60
MISSION TRAILS FINANCIAL — (SAN DIEGO, CA) left the SEC roster (was $168.0M RAUM, 4 reps). IAPD ↗
$168.0M RAUM · 4 reps · (619) 419-0238 · missiontf.com
60
STONEPOINT CAPITAL, LLC — (NASHVILLE, TN) left the SEC roster (was $154.9M RAUM, 1 reps). IAPD ↗
$154.9M RAUM · 1 reps · 615-807-0678 · stonepointcap.com
60
SAVICKI CAPITAL, LLC — (NEW HARTFORD, NY) left the SEC roster (was $51.0M RAUM, 2 reps). IAPD ↗
$51.0M RAUM · 2 reps · 315-624-9013
60
COUNCILOR, BUCHANAN & MITCHELL, P. C. (CBM) — (BETHESDA, MD) left the SEC roster (was $0 RAUM, 6 reps). IAPD ↗
$0 RAUM · 6 reps · (301) 986-0600 · cbmcpa.com
60
VINCERE WEALTH MANAGEMENT, LLC — (INDIANAPOLIS, IN) left the SEC roster (was $62.0M RAUM, 5 reps). IAPD ↗
$62.0M RAUM · 5 reps · (415) 579-0219 · vincerewealth.com
60
FOCUS FINANCIAL ADVISORS — (ROCKFORD, IL) left the SEC roster (was $127.4M RAUM, 1 reps). IAPD ↗
$127.4M RAUM · 1 reps · 815-633-8844 · focusfinancialadvisors.com
60
IFB WEALTH MANAGEMENT LLC — (MIAMI, FL) left the SEC roster (was $108.9M RAUM, 7 reps). IAPD ↗
$108.9M RAUM · 7 reps · 305-329-1520 · ifbwealth.com
60
TRUCLARITY WEALTH ADVISORS — (BEACHWOOD, OH) left the SEC roster (was $100.5M RAUM, 1 reps). IAPD ↗
$100.5M RAUM · 1 reps · 216-619-8412
60
INVSTR FINANCIAL LLC — (LAREDO, TX) left the SEC roster (was $1.1M RAUM, 2 reps). IAPD ↗
$1.1M RAUM · 2 reps · 8334468787 · invstr.com
60
RETIREMENT SPECIALTY GROUP, INC. — (COOKEVILLE, TN) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 931-738-4733 · investmentpreacher.com
60
OPTIMIZE ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $581,110 RAUM, 1 reps). IAPD ↗
$581,110 RAUM · 1 reps · 347-878-7930
60
EARNED WEALTH — (NEW YORK, NY) left the SEC roster (was $106.6M RAUM, 7 reps). IAPD ↗
$106.6M RAUM · 7 reps · (914) 417-4556 · earnedwealth.com
60
INTREPID WEALTH PARTNERS, LLC — (location n/a) left the SEC roster (was $42.0M RAUM, 2 reps). IAPD ↗
$42.0M RAUM · 2 reps · 8554978737
60
XILLION — (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (415) 322-0670 · xillionapp.com
60
ROI ADVISORY — (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · 415-294-0545 · getroi.app
60
HAAS FINANCIAL, INC. — (SANIBEL, FL) left the SEC roster — its 120-day provisional registration did not convert (was $75.2M RAUM, 1 reps). IAPD ↗
$75.2M RAUM · 1 reps · (651) 328-8070 · davidhaasfinancial.com
60
FOUNTAINHEAD MULTI-FAMILY OFFICE, LLC — (NEW CANAAN, CT) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · 917-617-7149
60
VINTRIS WEALTH MANAGEMENT — (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 · 203-231-0496 · vintriswealth.com
60
VAQUITA SUN, INC. — (FORT LAUDERDALE, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 954-620-9900
60
MDT FINANCIAL ADVISORS — (WEBSTER, TX) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 281-938-1111
60
DICK ADVISORY GROUP — (TEWKSBURY, MA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 978-851-4411
55
CITY NATIONAL SECURITIES, INC. — shrank from 47 to 37 advisory reps. IAPD ↗
$1.59B RAUM · 37 reps · 310-888-6400 · cnr.com
55
VIRTUS CAPITAL ADVISERS, LLC — shrank from 8 to 0 advisory reps. IAPD ↗
$1.45B RAUM · 0 reps · 800-248-7971
55
BMO FAMILY OFFICE, LLC — shrank from 75 to 65 advisory reps. IAPD ↗
$8.13B RAUM · 65 reps · (650) 210-5042
55
FACET — shrank from 86 to 58 advisory reps. IAPD ↗
$3.87B RAUM · 58 reps · (443)376-6222
55
BRAINVEST WEALTH MANAGEMENT LLC — shrank from 5 to 2 advisory reps. IAPD ↗
$1.28B RAUM · 2 reps · 305-224-8834 · brainvest.com
53
BCR WEALTH STRATEGIES — shrank from 11 to 7 advisory reps. IAPD ↗
$404.5M RAUM · 7 reps · 205-298-1234
53
ELLIOTT COVE CAPITAL MANAGEMENT — shrank from 10 to 8 advisory reps. IAPD ↗
$307.8M RAUM · 8 reps · 206-267-2683
53
GLOBAL TRUST — shrank from 8 to 5 advisory reps. IAPD ↗
$440.5M RAUM · 5 reps · 561-472-0191
53
QP GLOBAL FAMILY OFFICES, LLC — shrank from 8 to 5 advisory reps. IAPD ↗
$964.0M RAUM · 5 reps · 646-828-8883
53
BLUE ROCK FINANCIAL GROUP — shrank from 6 to 3 advisory reps. IAPD ↗
$335.0M RAUM · 3 reps · (302) 752-6637
53
CFM WEALTH PARTNERS LLC — shrank from 3 to 1 advisory reps. IAPD ↗
$760.9M RAUM · 1 reps · (512) 366-3925 · cfmwealth.com
50
VIRTUS CAPITAL ADVISERS, LLC — reported RAUM down 82% ($7.97B -> $1.45B). IAPD ↗
$1.45B RAUM · 0 reps · 800-248-7971
50
HS MANAGEMENT PARTNERS, LLC — reported RAUM down 35% ($2.37B -> $1.55B). IAPD ↗
$1.55B RAUM · 7 reps · 212-888-0060 · hsmanage.com
50
CHARLESTON FINANCIAL ADVISORS, LLC — shrank from 4 to 2 advisory reps. IAPD ↗
$210.7M RAUM · 2 reps · 843-722-3331 · charlestonfinancial.net
50
WEALTHTRUST ASSET MANAGEMENT, LLC — shrank from 7 to 5 advisory reps. IAPD ↗
$180.0M RAUM · 5 reps · 850-460-8444 · canyoncreekc.com
50
BARNES DENNIG PRIVATE WEALTH MANAGEMENT, LLC — shrank from 6 to 3 advisory reps. IAPD ↗
$103.3M RAUM · 3 reps · (513) 241-8313 · barnesdennigprivatewealth.com
50
CATALYST WEALTH MANAGEMENT LLC — shrank from 18 to 14 advisory reps. IAPD ↗
$20.6M RAUM · 14 reps · 832-657-7735 · catalystfg.com
50
KAI WEALTH LLC — shrank from 4 to 2 advisory reps. IAPD ↗
$108.0M RAUM · 2 reps · 312-605-8020
48
VIRTUS ADVISERS, LLC — reported RAUM down 63% ($1.55B -> $567.1M). IAPD ↗
$567.1M RAUM · 7 reps · 800-248-7971
48
QP GLOBAL FAMILY OFFICES, LLC — reported RAUM down 35% ($1.48B -> $964.0M). IAPD ↗
$964.0M RAUM · 5 reps · 646-828-8883
45
DORIAN EASON ASSET MANAGEMENT, LLC — reported RAUM down 52% ($446.0M -> $214.9M). IAPD ↗
$214.9M RAUM · 2 reps · 901-755-2075
45
CANNON BEACH FINANCIAL ADVISORS — reported RAUM down 32% ($259.5M -> $175.9M). IAPD ↗
$175.9M RAUM · 2 reps · 888-839-9399
45
GASBER FINANCIAL ADVISORS, INC — reported RAUM down 35% ($247.3M -> $159.9M). IAPD ↗
$159.9M RAUM · 2 reps · 916-985-2594 · gasberfinancial.com
45
RPM ADVISORS, LLC — reported RAUM down 33% ($223.2M -> $149.4M). IAPD ↗
$149.4M RAUM · 1 reps · 701-205-1594
45
VOLARIS CAPITAL MANAGEMENT LLC — reported RAUM down 50% ($455.1M -> $229.2M). IAPD ↗
$229.2M RAUM · 3 reps · 973-985-7128 · volariscapital.com
45
EMERGENT FINANCIAL SERVICES, LLC. — reported RAUM down 90% ($1.11B -> $110.4M). IAPD ↗
$110.4M RAUM · 4 reps · 434-260-1690 · emergentfs.com
55
ZEGA FINANCIAL, LLC — (PALM BEACH GARDENS, FL) left the SEC roster (was $4.55B RAUM, 14 reps). IAPD ↗institutional
$4.55B RAUM · 14 reps · 800-380-9342 · zegafinancial.com
55
KEY GROUP HOLDINGS (USA) INC — (DALLAS, TX) left the SEC roster (was $4.33B RAUM, 10 reps). IAPD ↗institutional
$4.33B RAUM · 10 reps · 1-214-461-0528
53
PIPER SANDLER FINANCE MANAGEMENT, LLC — (MINNEAPOLIS, MN) left the SEC roster (was $290.0M RAUM, 6 reps). IAPD ↗institutional
$290.0M RAUM · 6 reps · 612-303-6000
50
EIDE BAILLY ADVISORS, LLC — (SIOUX FALLS, SD) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 605-339-1999
50
KGH LTD — (location n/a) left the SEC roster (was $4.33B RAUM, 1 reps). IAPD ↗fund
$4.33B RAUM · 1 reps · 214-461-0528
50
AVIVA INVESTORS AMERICAS — (CHICAGO, IL) left the SEC roster (was $59.1M RAUM, 0 reps). IAPD ↗institutional
$59.1M RAUM · 0 reps · 312-873-5800
50
ALLFINANCIAL PARTNERS II, LLC — (BOCA RATON, FL) left the SEC roster (was $66.3M RAUM, 1 reps). IAPD ↗institutional
$66.3M RAUM · 1 reps · 561-430-5317
50
SEVEN EIGHT CAPITAL, LP — (NEW YORK, NY) left the SEC roster (was $1.35B RAUM, 6 reps). IAPD ↗fund
$1.35B RAUM · 6 reps · 646-513-4350
50
IPI PARTNERS, LLC — (CHICAGO, IL) left the SEC roster (was $9.61B RAUM, 40 reps). IAPD ↗fund
$9.61B RAUM · 40 reps · 312-796-2200 · ipipartners.com
50
RONDURE GLOBAL ADVISORS, LLC — (SALT LAKE CITY, UT) left the SEC roster (was $196.9M RAUM, 3 reps). IAPD ↗institutional
$196.9M RAUM · 3 reps · 801-736-8550 · rondureglobal.com
50
COPPER PLACE GLOBAL CAPITAL LLC — (CLYDE HILL, WA) left the SEC roster (was $24.4M RAUM, 2 reps). IAPD ↗institutional
$24.4M RAUM · 2 reps · 206-743-5907
50
VARIADIC LLC — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 8 reps). IAPD ↗institutional
$0 RAUM · 8 reps · 646-384-8680 · variadic.com
50
10X CAPITAL PARTNERS — (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 · 212-220-7218
50
24A CAPITAL MANAGEMENT LLC — (HOUSTON, TX) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 713-398-9354 · 24acapital.com
48
AMERICAN INFRASTRUCTURE FUNDS, LLC — (FOSTER CITY, CA) left the SEC roster (was $296.3M RAUM, 6 reps). IAPD ↗fund
$296.3M RAUM · 6 reps · 650-854-6000
48
GHOST TREE CAPITAL — (NEW YORK, NY) left the SEC roster (was $360.0M RAUM, 5 reps). IAPD ↗fund
$360.0M RAUM · 5 reps · 646-779-0120
48
ISOMER PARTNERS LP — (NEW YORK, NY) left the SEC roster (was $270.0M RAUM, 2 reps). IAPD ↗fund
$270.0M RAUM · 2 reps · 212-257-4132 · isomerpartners.com
48
WEWORK CAPITAL ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $484.8M RAUM, 4 reps). IAPD ↗fund
$484.8M RAUM · 4 reps · 917-693-5456
45
KELLNER MANAGEMENT, LP — (location n/a) left the SEC roster (was $88.0M RAUM, 3 reps). IAPD ↗fund
$88.0M RAUM · 3 reps · 212 350-0200 · kellnercap.com
45
KSTONE PARTNERS LLC — (location n/a) left the SEC roster (was $30.7M RAUM, 3 reps). IAPD ↗fund
$30.7M RAUM · 3 reps · 914-689-4800 · kstonepartners.com
45
THOMA CRESSEY BRAVO, INC. — (CHICAGO, IL) left the SEC roster (was $4.8M RAUM, 4 reps). IAPD ↗fund
$4.8M RAUM · 4 reps · 312-254-3300 · tcb.com
45
SAGE ROCK CAPITAL MANAGEMENT LP — (NEW YORK, NY) left the SEC roster (was $86.5M RAUM, 2 reps). IAPD ↗fund
$86.5M RAUM · 2 reps · 212-257-4859 · tx3sagerock.com
45
GREENWICH IVY CAPITAL LLC — (location n/a) left the SEC roster (was $26.8M RAUM, 1 reps). IAPD ↗fund
$26.8M RAUM · 1 reps · 646-360-0204 · greenwichivy.com
45
FLOW STATE INVESTMENTS, LP — (CHICAGO, IL) left the SEC roster (was $188.4M RAUM, 11 reps). IAPD ↗fund
$188.4M RAUM · 11 reps · 773-938-9600 · flowstateinvestments.com
45
BOSTON OMAHA ASSET MANAGEMENT — (OMAHA, NE) left the SEC roster (was $127.1M RAUM, 9 reps). IAPD ↗fund
$127.1M RAUM · 9 reps · 402-509-8456 · bostonomahaam.com
45
NORTH SHIELD CAPITAL LLC — (NEW YORK, NY) left the SEC roster (was $54.7M RAUM, 4 reps). IAPD ↗fund
$54.7M RAUM · 4 reps · 917-546-2079
45
CAXTON ASSOCIATES (USA) LLC — shrank from 62 to 12 advisory reps. IAPD ↗institutional
$4.18B RAUM · 12 reps · 212 593-7700 · caxton.com
40
ALAN BILLER AND ASSOCIATES — reported RAUM down 28% ($82.64B -> $59.35B). IAPD ↗institutional
$59.35B RAUM · 25 reps · 650-328-7283 · alanbiller.com
40
CAXTON ASSOCIATES (USA) LLC — reported RAUM down 84% ($25.58B -> $4.18B). IAPD ↗institutional
$4.18B RAUM · 12 reps · 212 593-7700 · caxton.com
40
VIRTUS ALTERNATIVE INVESTMENT ADVISERS, LLC — reported RAUM down 34% ($3.09B -> $2.03B). IAPD ↗institutional
$2.03B RAUM · 0 reps · 800-248-7971
40
DOCK STREET CAPITAL MANAGEMENT LLC — reported RAUM down 43% ($2.35B -> $1.33B). IAPD ↗institutional
$1.33B RAUM · 2 reps · 212-457-8258 · dockstreetcap.com
40
MATRIX CAPITAL MANAGEMENT COMPANY, LP — shrank from 17 to 10 advisory reps. IAPD ↗fund
$12.09B RAUM · 10 reps · 781-522-4007
40
TAIYO PACIFIC PARTNERS L.P. — shrank from 25 to 20 advisory reps. IAPD ↗fund
$1.72B RAUM · 20 reps · 425-896-5300 · taiyofunds.com
40
2XIDEAS — shrank from 4 to 2 advisory reps. IAPD ↗institutional
$79.3M RAUM · 2 reps · 929-577-6260
38
1505 CAPITAL LLC — reported RAUM down 65% ($1.63B -> $566.6M). IAPD ↗institutional
$566.6M RAUM · 4 reps · 646-978-5329 · midwestholding.com
38
SHERMAN PORTFOLIOS, LLC — reported RAUM down 73% ($1.60B -> $434.0M). IAPD ↗institutional
$434.0M RAUM · 4 reps · 800-634-2008 · shermanportfolios.com
35
VALHUM ASSET MANAGEMENT, LLC — reported RAUM down 38% ($160.0M -> $100.0M). IAPD ↗institutional
$100.0M RAUM · 1 reps · 203-554-1180 · valhum.com
35
PUTNAM INVESTMENTS LIMITED — (LONDON, United Kingdom) left the SEC roster (was $3.00B RAUM, 11 reps). IAPD ↗foreign
$3.00B RAUM · 11 reps · 011-44-20-7907-8200 · putnam.com
33
LAKEMORE PARTNERS (UK) LIMITED — (LONDON, United Kingdom) left the SEC roster (was $384.1M RAUM, 8 reps). IAPD ↗foreign
$384.1M RAUM · 8 reps · +44 203 981 2810
30
KENRICH PARTNERS PTE LTD — (SINGAPORE, Singapore) left the SEC roster (was $47.9M RAUM, 3 reps). IAPD ↗foreign
$47.9M RAUM · 3 reps · 65 6874 7700
30
ENVERUS INTELLIGENCE RESEARCH, INC. — (CALGARY, Canada) left the SEC roster (was $0 RAUM, 65 reps). IAPD ↗foreign
$0 RAUM · 65 reps · 403-294-9111 · rseg.com
30
NUTSHELL ASSET MANAGEMENT LIMITED — (SEVENOAKS, United Kingdom) left the SEC roster (was $165.0M RAUM, 2 reps). IAPD ↗foreign
$165.0M RAUM · 2 reps · +44 (0)20 78560520 · nutshellam.com
25
JARISLOWSKY FRASER LTD — shrank from 73 to 62 advisory reps. IAPD ↗foreign
$38.23B RAUM · 62 reps · 514-842-2727
25
BMO PRIVATE INVESTMENT COUNSEL INC. — shrank from 125 to 120 advisory reps. IAPD ↗foreign
$35.76B RAUM · 120 reps · 416 359-5001 · bmo.com
25
RBC GLOBAL ASSET MANAGEMENT (UK) LIMITED — shrank from 145 to 136 advisory reps. IAPD ↗foreign
$137.80B RAUM · 136 reps · 44 207 389 3700
20
SIZEMORE CAPITAL MANAGEMENT, LLC — shrank from 6 to 2 advisory reps. IAPD ↗foreign
$115.7M RAUM · 2 reps · (214) 265-6597 · blueorbitcapital.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.