← Tributary

M&A & valuation — March 2025

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

192 firms opened this window in the March 2025 SEC roster: 77 deregistered, 72 headcount down, 43 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
PRIO WEALTH LP — (BOSTON, MA) left the SEC roster (was $3.74B RAUM, 14 reps). IAPD ↗
$3.74B RAUM · 14 reps · 617-224-1900 · priowealth.com
65
FINANCIAL PLANNING AND INFORMATION SERVICES, INC. — (DE PERE, WI) left the SEC roster (was $1.08B RAUM, 10 reps). IAPD ↗
$1.08B RAUM · 10 reps · 920-336-0863 · thefinplangroup.com
65
KOWAL INVESTMENT GROUP, LLC — (BROOKFIELD, WI) left the SEC roster (was $1.11B RAUM, 11 reps). IAPD ↗
$1.11B RAUM · 11 reps · (262) 522-4040
65
EAGLE RIDGE INVESTMENT MANAGEMENT LLC — (STAMFORD, CT) left the SEC roster (was $1.16B RAUM, 7 reps). IAPD ↗
$1.16B RAUM · 7 reps · 203-227-4515
65
EPIQ CAPITAL GROUP, LLC — (SAN FRANCISCO, CA) left the SEC roster (was $4.94B RAUM, 32 reps). IAPD ↗
$4.94B RAUM · 32 reps · 415-433-3747 · epiqcg.com
65
TRINITYPOINT WEALTH, LLC — (MILFORD, CT) left the SEC roster (was $1.42B RAUM, 10 reps). IAPD ↗
$1.42B RAUM · 10 reps · (203) 693-8525
63
WILLS FINANCIAL GROUP — (RICHMOND, VA) left the SEC roster (was $333.3M RAUM, 4 reps). IAPD ↗
$333.3M RAUM · 4 reps · 804-330-3100 · willsfg.com
63
PLANNING CAPITAL MANAGEMENT CORP. — (PAOLI, PA) left the SEC roster (was $313.3M RAUM, 5 reps). IAPD ↗
$313.3M RAUM · 5 reps · 215-709-5100 · planningcapital.com
63
MILLENNIUM ADVISORY SERVICES, INC. — (GLEN ALLEN, VA) left the SEC roster (was $707.5M RAUM, 18 reps). IAPD ↗
$707.5M RAUM · 18 reps · 804-346-1040 · hubinternational.com
63
BIECHELE ROYCE ADVISORS, INC. — (FISHERS, IN) left the SEC roster (was $659.8M RAUM, 8 reps). IAPD ↗
$659.8M RAUM · 8 reps · 317-913-7000 · biechele-royce.com
63
FERNWOOD INVESTMENT MANAGEMENT, LLC — (QUINCY, MA) left the SEC roster (was $435.7M RAUM, 4 reps). IAPD ↗
$435.7M RAUM · 4 reps · 617-376-4750 · fernwoodinvestment.com
63
CASSADY SCHILLER WEALTH MANAGEMENT, LLC — (CINCINNATI, OH) left the SEC roster (was $517.4M RAUM, 8 reps). IAPD ↗
$517.4M RAUM · 8 reps · 513-483-6652 · cassadyschillerwealth.com
63
HOMAN WEALTH ADVISORS, LLC — (OMAHA, NE) left the SEC roster (was $271.1M RAUM, 4 reps). IAPD ↗
$271.1M RAUM · 4 reps · 402-763-6401 · homanwealthadvisors.com
63
ARTEMIS FINANCIAL ADVISORS — (BOSTON, MA) left the SEC roster (was $313.1M RAUM, 4 reps). IAPD ↗
$313.1M RAUM · 4 reps · 617-542-2420
63
NS CAPITAL, LLC — (STAMFORD, CT) left the SEC roster (was $296.7M RAUM, 4 reps). IAPD ↗
$296.7M RAUM · 4 reps · 866-676-6002
63
GATEWAY ADVISORY, LLC — (WESTFIELD, NJ) left the SEC roster (was $743.7M RAUM, 4 reps). IAPD ↗
$743.7M RAUM · 4 reps · 908-233-8100 · gatewayadvisory.com
63
XO WEALTH MANAGEMENT — (DALLAS, TX) left the SEC roster (was $707.8M RAUM, 7 reps). IAPD ↗
$707.8M RAUM · 7 reps · 972-335-8000 · xowealth.com
63
LIFEPRO ASSET MANAGEMENT — (SAN DIEGO, CA) left the SEC roster (was $311.3M RAUM, 40 reps). IAPD ↗
$311.3M RAUM · 40 reps · (888) 543-3776
63
ENTRUST WEALTH ADVISORS, LLC — (SAN DIEGO, CA) left the SEC roster (was $367.5M RAUM, 4 reps). IAPD ↗
$367.5M RAUM · 4 reps · (858) 257-4646 · entrustwealthadvisors.com
63
PLATTE RIVER WEALTH ADVISORS, LLC — (LOUISVILLE, CO) left the SEC roster (was $544.3M RAUM, 3 reps). IAPD ↗
$544.3M RAUM · 3 reps · 720-738-9010 · platteriverwa.com
63
WAVELAND FAMILY OFFICE, LLC — (DEERFIELD, IL) left the SEC roster (was $359.0M RAUM, 1 reps). IAPD ↗
$359.0M RAUM · 1 reps · (847) 874-8210
60
HELLMAN JORDAN MANAGEMENT CO INC — (QUINCY, MA) left the SEC roster (was $95.1M RAUM, 4 reps). IAPD ↗
$95.1M RAUM · 4 reps · (617) 261-9800 · hellmanjordan.com
60
CAPITAL PORTFOLIO MANAGEMENT L.L.C. — (TOPEKA, KS) left the SEC roster (was $175.2M RAUM, 3 reps). IAPD ↗
$175.2M RAUM · 3 reps · 785-271-5555 · cpm-llc.com
60
AXIOM ADVISORY, LLC — (SAN DIEGO, CA) left the SEC roster (was $224.1M RAUM, 2 reps). IAPD ↗
$224.1M RAUM · 2 reps · (800) 836-4792
60
YOUNG WEALTH MANAGEMENT — (DAVIS, CA) left the SEC roster (was $116.6M RAUM, 2 reps). IAPD ↗
$116.6M RAUM · 2 reps · 530-231-5152
60
TRITON FINANCIAL GROUP, INC. — (MARLBOROUGH, MA) left the SEC roster (was $237.2M RAUM, 1 reps). IAPD ↗
$237.2M RAUM · 1 reps · 508-480-8383 · tritonfinancialgroup.com
60
GRUPP FINANCIAL LLC — (JACKSON, WY) left the SEC roster (was $81.7M RAUM, 3 reps). IAPD ↗
$81.7M RAUM · 3 reps · 1.307.200.6579 · gruppfinancial.com
60
STOEVER GLASS WEALTH MANAGEMENT, INC. — (NEW YORK, NY) left the SEC roster (was $247.9M RAUM, 7 reps). IAPD ↗
$247.9M RAUM · 7 reps · 212-952-1910
60
SPRINGTIDE PARTNERS — (CHICAGO, IL) left the SEC roster (was $42.1M RAUM, 2 reps). IAPD ↗
$42.1M RAUM · 2 reps · (312)620-6362
60
BAJA WEALTH ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $72.6M RAUM, 6 reps). IAPD ↗
$72.6M RAUM · 6 reps · 212-850-4260 · bwa-mx.com
60
CLERKIE ADVISORY LLC — (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 650-646-9662 · clerkie.io
60
MARYGOLD & CO. ADVISORY SERVICES, LLC — (WALNUT CREEK, CA) left the SEC roster (was $30,725 RAUM, 1 reps). IAPD ↗
$30,725 RAUM · 1 reps · 9252979465
60
DAKORE WEALTH MANAGEMENT, LLC — (PALM BEACH GARDENS, FL) left the SEC roster (was $76.6M RAUM, 1 reps). IAPD ↗
$76.6M RAUM · 1 reps · (561) 774-8101 · dakorewealth.com
60
STEWARD INC. — (WASHINGTON, DC) left the SEC roster (was $46.4M RAUM, 1 reps). IAPD ↗
$46.4M RAUM · 1 reps · 917-547-3227
60
ZSENIA INVESTMENTS INC. — (location n/a) left the SEC roster (was $10.9M RAUM, 1 reps). IAPD ↗
$10.9M RAUM · 1 reps · 929-327-5485 · zseniainv.com
60
AVERA CAPITAL WEALTH MANAGEMENT — (GRAND JUNCTION, CO) left the SEC roster (was $132.7M RAUM, 2 reps). IAPD ↗
$132.7M RAUM · 2 reps · 970-361-3874 · averacap.com
60
MRP CURRENCY, LLC — (ALPHARETTA, GA) left the SEC roster (was $193,512 RAUM, 1 reps). IAPD ↗
$193,512 RAUM · 1 reps · 404-274-7851
60
CIG ASSET MANAGEMENT — (LANSING, MI) left the SEC roster — its 120-day provisional registration did not convert (was $10.0M RAUM, 1 reps). IAPD ↗
$10.0M RAUM · 1 reps · 517-802-8085
60
MFO INVESTMENTS — (BIRMINGHAM, MI) left the SEC roster (was $243.5M RAUM, 9 reps). IAPD ↗
$243.5M RAUM · 9 reps · (248) 406-4900
60
QUAM, KELSEY — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 15032698850 · kelseyquam.carrd.co
60
LAKE WATER ADVISORY, LLC — (location n/a) left the SEC roster (was $40.0M RAUM, 1 reps). IAPD ↗
$40.0M RAUM · 1 reps · 315-730-7432 · lakewatercap.com
60
GFG SOLUTIONS — (ORLANDO, FL) left the SEC roster (was $151.1M RAUM, 6 reps). IAPD ↗
$151.1M RAUM · 6 reps · (407) 627-0091 · gfgsolutions.com
60
CIRO CAPITAL LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $58.6M RAUM, 1 reps). IAPD ↗
$58.6M RAUM · 1 reps · 646-785-6201
60
PELICAN INVESTS — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (347) 450-1767 · pelicaninvests.com
60
OSSIA IM — (MIAMI, FL) left the SEC roster — its 120-day provisional registration did not convert (was $52.0M RAUM, 1 reps). IAPD ↗
$52.0M RAUM · 1 reps · 305-923-7212
60
TRILLIONS CAPITAL — (WARMINSTER, PA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · 267-784-1718 · trillions.cc
60
SANKOTA CAPITAL LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $26.0M RAUM, 2 reps). IAPD ↗
$26.0M RAUM · 2 reps · 312-392-2222
60
WILLOW CREEK CAPITAL MANAGEMENT, INC. — (MISSOULA, MT) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · 406-830-3286 · raymondjames.com
55
NORTHERN TRUST SECURITIES, INC — shrank from 70 to 62 advisory reps. IAPD ↗
$1.28B RAUM · 62 reps · 312-557-2000 · northerntrust.com
55
REINHART PARTNERS, LLC — shrank from 11 to 6 advisory reps. IAPD ↗
$1.91B RAUM · 6 reps · 262-241-2020 · reinhartpartners.com
55
FIRST HEARTLAND CONSULTANTS, INC. — shrank from 95 to 83 advisory reps. IAPD ↗
$1.77B RAUM · 83 reps · 636-625-0900 · firstheartland.com
55
THE MILWAUKEE COMPANY — shrank from 7 to 4 advisory reps. IAPD ↗
$1.14B RAUM · 4 reps · 262-238-6980
55
FOUNDERS FINANCIAL SECURITIES, LLC — shrank from 97 to 92 advisory reps. IAPD ↗
$3.32B RAUM · 92 reps · 410-308-9988 · brooksfinancial.com
55
BROOKSTONE CAPITAL MANAGEMENT LLC — shrank from 324 to 319 advisory reps. IAPD ↗
$10.41B RAUM · 319 reps · 630-653-1400 · brookstonecm.com
55
ARCHFORD CAPITAL STRATEGIES, LLC — shrank from 10 to 8 advisory reps. IAPD ↗
$1.28B RAUM · 8 reps · 618-416-7085
55
CANAL CAPITAL MANAGEMENT, LLC — shrank from 7 to 5 advisory reps. IAPD ↗
$1.08B RAUM · 5 reps · 804-325-1450 · canalcapitalmanagement.com
55
WEALTHPLAN PARTNERS — shrank from 29 to 24 advisory reps. IAPD ↗
$1.27B RAUM · 24 reps · 402-691-0200
55
JEFFERIES INVESTMENT ADVISERS LLC — shrank from 109 to 100 advisory reps. IAPD ↗
$3.40B RAUM · 100 reps · 212-284-2300 · jefferies.com
53
HARVEST INVESTMENT CONSULTANTS LLC — shrank from 9 to 4 advisory reps. IAPD ↗
$491.6M RAUM · 4 reps · 410-561-9040
53
PILLAR FINANCIAL ADVISORS, LLC — shrank from 5 to 3 advisory reps. IAPD ↗
$313.8M RAUM · 3 reps · 502-384-3890 · pillar.net
53
WEST BRANCH CAPITAL LLC — shrank from 6 to 4 advisory reps. IAPD ↗
$630.9M RAUM · 4 reps · 833-888-0534; 413-256-1225
53
WISE WEALTH, LLC — shrank from 10 to 7 advisory reps. IAPD ↗
$304.2M RAUM · 7 reps · 816-246-9473
53
A & I WEALTH MANAGEMENT — shrank from 13 to 9 advisory reps. IAPD ↗
$463.9M RAUM · 9 reps · 303-690-5070 · gotaxfreebook.com
53
SHOREPOINT CAPITAL PARTNERS LLC — shrank from 7 to 5 advisory reps. IAPD ↗
$800.5M RAUM · 5 reps · 781-341-7250
53
FORTUNE WEALTH MANAGEMENT, LLC — shrank from 4 to 2 advisory reps. IAPD ↗
$343.5M RAUM · 2 reps · 972-716-8002 · fortunewealthmanagement.com
53
AIFAM GROUP LLC — shrank from 8 to 6 advisory reps. IAPD ↗
$349.4M RAUM · 6 reps · 212-682-6100 · aifaminc.com
53
SAGEGUARD FINANCIAL GROUP, LLC — shrank from 13 to 6 advisory reps. IAPD ↗
$607.7M RAUM · 6 reps · (615) 859-4567
53
SELECTIVE WEALTH MANAGEMENT, INC. — shrank from 10 to 8 advisory reps. IAPD ↗
$441.7M RAUM · 8 reps · 434-515-1517
53
WATERWAY WEALTH MANAGEMENT, L.L.C. — shrank from 4 to 2 advisory reps. IAPD ↗
$552.8M RAUM · 2 reps · 281-363-0000 · waterwaywealth.com
53
SUMMIT FINANCIAL — shrank from 8 to 6 advisory reps. IAPD ↗
$255.0M RAUM · 6 reps · 410-584-9600 · sumfi.com
53
CLG LLC — shrank from 25 to 20 advisory reps. IAPD ↗
$953.8M RAUM · 20 reps · (310) 329-5150 · clgwm.com
53
TEMPUS WEALTH PLANNING, LLC — shrank from 10 to 8 advisory reps. IAPD ↗
$506.5M RAUM · 8 reps · 949-393-2525 · tempuswp.com
53
PENOBSCOT FINANCIAL ADVISORS — shrank from 9 to 6 advisory reps. IAPD ↗
$434.5M RAUM · 6 reps · (207) 990-1901
53
CAPSTONE WEALTH ADVISORS, LLC — shrank from 11 to 2 advisory reps. IAPD ↗
$720.9M RAUM · 2 reps · 503-967-1980 · capstonewealthadvisors.com
53
LAKE STREET — shrank from 9 to 6 advisory reps. IAPD ↗
$961.8M RAUM · 6 reps · 312-766 7040 · clarity-fg.com
53
OXINAS PARTNERS WEALTH MANAGEMENT — shrank from 8 to 6 advisory reps. IAPD ↗
$344.6M RAUM · 6 reps · (812) 725-8649
53
INVESTMENT PLANNING ADVISORS — shrank from 6 to 4 advisory reps. IAPD ↗
$334.1M RAUM · 4 reps · 770-205-4394 · investplanadvise.com
53
SAFEGUARD WEALTH MANAGEMENT — shrank from 7 to 4 advisory reps. IAPD ↗
$601.0M RAUM · 4 reps · 920-544-0576 · safeguardinvest.com
53
FIVE OCEANS ADVISORS — shrank from 6 to 4 advisory reps. IAPD ↗
$408.1M RAUM · 4 reps · (310) 507-9180
53
PROALTUS USA — shrank from 7 to 3 advisory reps. IAPD ↗
$505.8M RAUM · 3 reps · (857) 334-1921 · proaltus.us
53
CLARENDON PRIVATE LLC — shrank from 7 to 4 advisory reps. IAPD ↗
$344.3M RAUM · 4 reps · (617) 927 7999
53
ROSSBY FINANCIAL, LLC — shrank from 8 to 2 advisory reps. IAPD ↗
$358.6M RAUM · 2 reps · 321-209-0111
53
THE SALVETTI GROUP — shrank from 6 to 4 advisory reps. IAPD ↗
$607.2M RAUM · 4 reps · 916-414-8282 · thesalvettigroup.com
50
WEALTHPLAN PARTNERS — reported RAUM down 30% ($1.81B -> $1.27B). IAPD ↗
$1.27B RAUM · 24 reps · 402-691-0200
50
UMB FINANCIAL SERVICES, INC. — shrank from 58 to 51 advisory reps. IAPD ↗
$3.1M RAUM · 51 reps · 816-842-2222 · umb.com
50
VALLEY FINANCIAL MANAGEMENT, INC. — shrank from 35 to 5 advisory reps. IAPD ↗
$55,000 RAUM · 5 reps · 212-407-4362
50
PINNACLE ASSET MANAGEMENT GROUP, CORPORATION (INC.) — shrank from 4 to 2 advisory reps. IAPD ↗
$131.5M RAUM · 2 reps · 318-221-7526 · planwithpamg.com
50
HAUSSMANN FINANCIAL INC. — shrank from 7 to 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 949-250-4973
50
NOVUS ADVISORS — shrank from 5 to 3 advisory reps. IAPD ↗
$202.9M RAUM · 3 reps · 864-272-3579 · novusadvisors.com
50
ADVISORY INVESTOR SERVICES LLC — shrank from 9 to 5 advisory reps. IAPD ↗
$153.7M RAUM · 5 reps · 786-462-6044 · advisoryinvestorservices.com
50
HARDING WEALTH, INC. — shrank from 4 to 2 advisory reps. IAPD ↗
$162.1M RAUM · 2 reps · (602) 610-9545
50
BAYBRIDGE CAPITAL GROUP, LLC — shrank from 4 to 2 advisory reps. IAPD ↗
$162.2M RAUM · 2 reps · (888) 440-2224 · baybridgecg.com
50
ELEVATE CAPITAL ADVISORS — shrank from 6 to 4 advisory reps. IAPD ↗
$156.5M RAUM · 4 reps · 970-328-7526
50
WESTVIEW INVESTMENT ADVISORS — shrank from 5 to 3 advisory reps. IAPD ↗
$196.8M RAUM · 3 reps · 802-489-5342
50
COPE CONNELLY — shrank from 4 to 2 advisory reps. IAPD ↗
$244.9M RAUM · 2 reps · (888) 336-8402 · govconwealth.com
50
SCG ASSET MANAGEMENT LLC — shrank from 7 to 5 advisory reps. IAPD ↗
$135.9M RAUM · 5 reps · 312-784-3952 · scgamllc.com
50
INCOMPASS FINANCIAL PARTNERS, LLC — shrank from 4 to 2 advisory reps. IAPD ↗
$164.2M RAUM · 2 reps · 770-971-9141 · incompassfp.com
50
CLARITY FINANCIAL ADVISORS LLC — shrank from 4 to 2 advisory reps. IAPD ↗
$99.9M RAUM · 2 reps · (816) 786-5031 · theclarityfinancial.com
50
STIRLING FINANCIAL GROUP — shrank from 3 to 1 advisory reps. IAPD ↗
$152.4M RAUM · 1 reps · 619-435-1210 · stirlingfinancialgroup.com
50
BLUE JEAN FINANCIAL LLC — shrank from 9 to 7 advisory reps. IAPD ↗
$94.7M RAUM · 7 reps · (518) 406-8488 · bluejeanfinancial.com
48
BLUE OAK CAPITAL LLC — reported RAUM down 49% ($556.7M -> $285.4M). IAPD ↗
$285.4M RAUM · 1 reps · 650-251-9595 · blueoak.net
48
HAHN CAPITAL MANAGEMENT, LLC — reported RAUM down 35% ($800.0M -> $521.0M). IAPD ↗
$521.0M RAUM · 5 reps · 415-394-6512 · hahncap.com
48
JOHN F SUBY WEALTH MANAGEMENT LLC — reported RAUM down 79% ($2.01B -> $427.5M). IAPD ↗
$427.5M RAUM · 3 reps · 608-273-3100
45
VALLEY FINANCIAL MANAGEMENT, INC. — reported RAUM down 100% ($334.9M -> $55,000). IAPD ↗
$55,000 RAUM · 5 reps · 212-407-4362
45
SAUBERAN & COMPANY, LLC — reported RAUM down 78% ($26.4M -> $5.8M). IAPD ↗
$5.8M RAUM · 1 reps · 716-439-1265 · sauberanandcompany.com
45
PROFIT INVESTMENTS — reported RAUM down 27% ($180.3M -> $132.0M). IAPD ↗
$132.0M RAUM · 2 reps · 301-650-0059
45
PENSION PLANNING SOLUTIONS, INC. — reported RAUM down 91% ($133.8M -> $12.0M). IAPD ↗
$12.0M RAUM · 1 reps · 336-389-9922 · pensionplanningsolutions.com
45
WIN TEAM ADVISORY SERVICES — reported RAUM down 61% ($143.0M -> $56.5M). IAPD ↗
$56.5M RAUM · 3 reps · 949-336-7300 · win-team.org
45
CPR INVESTMENTS INC — reported RAUM down 28% ($295.2M -> $213.3M). IAPD ↗
$213.3M RAUM · 28 reps · 800-213-1164
45
WATTS CAPITAL PARTNERS LLC — reported RAUM down 27% ($100.0M -> $72.9M). IAPD ↗
$72.9M RAUM · 5 reps · 212-735-8921
45
DENALI WEALTH MANAGEMENT, INC. — reported RAUM down 29% ($256.5M -> $183.0M). IAPD ↗
$183.0M RAUM · 4 reps · 414-978-0020 · denaliwm.com
45
OAR FINANCIAL — reported RAUM down 76% ($466.0M -> $112.6M). IAPD ↗
$112.6M RAUM · 4 reps · 833-662-6346 · oarfinancial.com
45
OCTANT QUANTITATIVE INVESTMENT MANAGEMENT LLC — reported RAUM down 30% ($156.5M -> $110.0M). IAPD ↗
$110.0M RAUM · 2 reps · 307-201-6275 · octantqim.com
45
BROWNING CAPITAL MANAGEMENT LLC — reported RAUM down 44% ($167.7M -> $93.8M). IAPD ↗
$93.8M RAUM · 2 reps · 949-439-7457 · browningcm.com
45
TOUCHSTONE CAPITAL, INC. — reported RAUM down 30% ($146.4M -> $101.9M). IAPD ↗
$101.9M RAUM · 3 reps · (724) 933-8388 · touchstonecapital.com
45
ST. JAMES INVESTMENT ADVISORS, LLC — reported RAUM down 32% ($68.7M -> $46.5M). IAPD ↗
$46.5M RAUM · 4 reps · (631) 979-6520 · stjamesia.com
45
STEVARD LLC — reported RAUM down 68% ($130.6M -> $41.9M). IAPD ↗
$41.9M RAUM · 2 reps · 773-275-3262
45
ACM — reported RAUM down 29% ($301.4M -> $212.8M). IAPD ↗
$212.8M RAUM · 2 reps · 612-217-1143 · asymmetriccap.com
45
NINEPOINTTWO CAPITAL LLC — reported RAUM down 73% ($623.5M -> $167.1M). IAPD ↗
$167.1M RAUM · 2 reps · 323-486-3600
45
CAPITAL DESIGN PRIVATE WEALTH LLC — reported RAUM down 34% ($131.8M -> $86.4M). IAPD ↗
$86.4M RAUM · 2 reps · 603-610-8290 · capitaldesignpw.com
45
LUMIDA WEALTH MANAGEMENT LLC — reported RAUM down 34% ($124.9M -> $83.1M). IAPD ↗
$83.1M RAUM · 1 reps · (833) 512-5111 · podcasts.google.com
45
7TWO — reported RAUM down 63% ($386.3M -> $142.3M). IAPD ↗
$142.3M RAUM · 4 reps · (720) 477-7274 · 7two.co
55
CHERRY HILL MORTGAGE MANAGEMENT, LLC — (FARMINGDALE, NJ) left the SEC roster (was $1.39B RAUM, 5 reps). IAPD ↗institutional
$1.39B RAUM · 5 reps · 856-380-9970
50
TITANIUM EXPLORATION PARTNERS LLC — (FORT WORTH, TX) left the SEC roster (was $114.4M RAUM, 3 reps). IAPD ↗institutional
$114.4M RAUM · 3 reps · 214-751-8900 · titaniumep.com
50
BLOCKTOWER CAPITAL ADVISORS LP — (MIAMI, FL) left the SEC roster (was $1.69B RAUM, 17 reps). IAPD ↗fund
$1.69B RAUM · 17 reps · (203) 989-3661
50
INDYFIN LLC — (DALLAS, TX) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · (972) 878-9522 · indyfin-llc.com
50
PGIA — (CHICAGO, IL) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 312-702-0696 · perpetual.com
50
PLATO'S PHILOSOPHY, LLC — (VENTURA, CA) left the SEC roster (was $39.4M RAUM, 1 reps). IAPD ↗institutional
$39.4M RAUM · 1 reps · 805-888-2024 · stockhack.com
50
ETHOS ESG INVESTMENTS LLC — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 650-360-6020 · ethosesginvestments.com
50
SOLARIA MANAGEMENT LP — (CHATHAM, NJ) left the SEC roster (was $90.2M RAUM, 1 reps). IAPD ↗institutional
$90.2M RAUM · 1 reps · 516-492-5804
50
COAR HILL ASSET MANAGEMENT PARTNERS LP — (NORWALK, CT) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 203-764-2117 · coarhill.com
50
OCTANE INVESTMENTS INC. — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 212-885-0747 · octane.nyc
50
P74 BIO LP — (ALLSTON, MA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 862-754-2216
50
COVE CAPITAL LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 650-436-9522
50
MARCELLUS INTERNATIONAL INVESTMENT MANAGERS 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 · 9172540868
48
ASCRIBE MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $252.4M RAUM, 4 reps). IAPD ↗fund
$252.4M RAUM · 4 reps · 212-476-8000 · american-securities.com
48
PRIVET FUND MANAGEMENT LLC — (ATLANTA, GA) left the SEC roster (was $352.1M RAUM, 5 reps). IAPD ↗fund
$352.1M RAUM · 5 reps · 404-419-2670 · privetfund.com
48
CALIXTO GLOBAL INVESTORS, LP — (CORAL GABLES, FL) left the SEC roster (was $488.8M RAUM, 5 reps). IAPD ↗fund
$488.8M RAUM · 5 reps · 305-602-3421
48
ROCKTOP PARTNERS, LLC — (IRVING, TX) left the SEC roster (was $260.5M RAUM, 16 reps). IAPD ↗fund
$260.5M RAUM · 16 reps · 844-456-6316 · rocktoppartners.com
48
ENDURANCE ENGINEERING MANAGEMENT LP — (location n/a) left the SEC roster (was $333.0M RAUM, 3 reps). IAPD ↗fund
$333.0M RAUM · 3 reps · 310-282-5826
45
HIGHLAND CAPITAL MANAGEMENT, L.P. — (DALLAS, TX) left the SEC roster (was $126.7M RAUM, 6 reps). IAPD ↗fund
$126.7M RAUM · 6 reps · 972-628-4100 · highlandcapital.com
45
AZG CAPITAL — (MIAMI, FL) left the SEC roster (was $7.8M RAUM, 2 reps). IAPD ↗fund
$7.8M RAUM · 2 reps · 786 866 3700
45
WINDSAIL CAPITAL GROUP, LLC — (BOSTON, MA) left the SEC roster (was $196.3M RAUM, 4 reps). IAPD ↗fund
$196.3M RAUM · 4 reps · 617-423-6061 · windsailcapital.com
45
MELODY CAPITAL PARTNERS, LP — (NEW YORK, NY) left the SEC roster (was $227.0M RAUM, 3 reps). IAPD ↗fund
$227.0M RAUM · 3 reps · 2125838660 · melody.com
45
MARTIN CAPITAL ADVISORS, LLC — (DESTIN, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 0 reps). IAPD ↗fund
$0 RAUM · 0 reps · 501-213-6070
45
SADDLE POINT MANAGEMENT, L.P. — (NEW YORK, NY) left the SEC roster (was $73.2M RAUM, 4 reps). IAPD ↗fund
$73.2M RAUM · 4 reps · 212-951-1223
45
FORTINBRAS ENTERPRISES LP — (NEW YORK, NY) left the SEC roster (was $122.8M RAUM, 4 reps). IAPD ↗fund
$122.8M RAUM · 4 reps · (646) 993-5321 · fortinbras.com
45
OLIVE STREET INVESTMENT ADVISERS, LLC — shrank from 246 to 218 advisory reps. IAPD ↗institutional
$169.54B RAUM · 218 reps · 314-515-2000
43
AFC MANAGEMENT, LLC — shrank from 8 to 6 advisory reps. IAPD ↗institutional
$366.6M RAUM · 6 reps · 561-510-2390 · advancedflowercapital.com
43
LORD ABBETT PRIVATE CREDIT ADVISOR LLC — shrank from 264 to 188 advisory reps. IAPD ↗institutional
$320.2M RAUM · 188 reps · 201-827-2000 · lordabbett.com
40
GE INVESTMENT MANAGEMENT — reported RAUM down 47% ($45.75B -> $24.42B). IAPD ↗institutional
$24.42B RAUM · 8 reps · 203-229-8923
40
LEUCADIA ASSET MANAGEMENT LLC — shrank from 21 to 16 advisory reps. IAPD ↗fund
$4.04B RAUM · 16 reps · 212-284-2300
40
JEFFERIES RESEARCH SERVICES LLC — shrank from 248 to 221 advisory reps. IAPD ↗institutional
$0 RAUM · 221 reps · 212-284-2300 · jefferies.com
40
P3 ASSET MANAGEMENT — shrank from 7 to 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 253-470-4977 · p3am.com
38
FAI CAPITAL MANAGEMENT — reported RAUM down 30% ($1.27B -> $883.9M). IAPD ↗institutional
$883.9M RAUM · 3 reps · 813-874-6621
38
QUADRATIC CAPITAL MANAGEMENT LLC — reported RAUM down 53% ($990.2M -> $469.0M). IAPD ↗institutional
$469.0M RAUM · 2 reps · 203-340-2943 · ivoletf.com
38
RIVERSIDE PARTNERS, LLC — shrank from 20 to 16 advisory reps. IAPD ↗fund
$973.2M RAUM · 16 reps · 617-351-2800
38
ESO MANAGEMENT SERVICES LLC — shrank from 18 to 5 advisory reps. IAPD ↗fund
$390.6M RAUM · 5 reps · 650-262-6670 · employeestockoptions.com
35
FPR PARTNERS LLC — reported RAUM down 50% ($2.03B -> $1.01B). IAPD ↗fund
$1.01B RAUM · 4 reps · 415-284-8888 · fprpartners.com
35
TIMBERLINK LLC — reported RAUM down 99% ($85.0M -> $821,466). IAPD ↗institutional
$821,466 RAUM · 2 reps · 678-638-6184 · timberlink.net
35
WARRINGTON ASSET MANAGEMENT LLC — reported RAUM down 36% ($271.7M -> $174.5M). IAPD ↗institutional
$174.5M RAUM · 3 reps · 214-230-2100 · warringtonasset.com
35
PEAKLINE PARTNERS, LLC — reported RAUM down 61% ($5.81B -> $2.27B). IAPD ↗fund
$2.27B RAUM · 10 reps · 312-429-2400 · peakline.com
35
LEATHERBACK ASSET MANAGEMENT, LLC — reported RAUM down 26% ($61.9M -> $45.7M). IAPD ↗institutional
$45.7M RAUM · 1 reps · 561-389-5809 · leatherbackam.com
35
PEO PARTNERS, LLC — reported RAUM down 59% ($34.7M -> $14.3M). IAPD ↗institutional
$14.3M RAUM · 6 reps · 646-993-6350 · peo-partners.com
35
GUARDIAN CAPITAL ADVISORS LP — (TORONTO ONTARIO, Canada) left the SEC roster (was $2.45B RAUM, 19 reps). IAPD ↗foreign
$2.45B RAUM · 19 reps · 416-364-8341 · guardiancapital.com
35
PRINCIPAL ORIGIN — (LONDON, United Kingdom) left the SEC roster (was $4.61B RAUM, 5 reps). IAPD ↗foreign
$4.61B RAUM · 5 reps · +44 207 812 8500 · originam.com
35
WMS PARTNERS, LLC — shrank from 45 to 0 advisory reps. IAPD ↗fund
$8.5M RAUM · 0 reps · 410-337-7575
35
NANTUCKET MULTI MANAGERS, LLC — shrank from 4 to 2 advisory reps. IAPD ↗fund
$244.3M RAUM · 2 reps · 248-723-9286
35
ORBIS INVESTMENT MANAGEMENT (U.S.), L.P. — shrank from 9 to 7 advisory reps. IAPD ↗fund
$192.9M RAUM · 7 reps · +1 415 489 3600 · orbis.com
35
RVX ASSET MANAGEMENT LLC — shrank from 5 to 2 advisory reps. IAPD ↗fund
$100.1M RAUM · 2 reps · 305-363-6847 · rvx-am.com
35
GRIZZLY CAPITAL MANAGEMENT LP — shrank from 7 to 5 advisory reps. IAPD ↗fund
$38.6M RAUM · 5 reps · 585-201-2154
35
SLG CAPITAL MANAGEMENT LLC — shrank from 20 to 15 advisory reps. IAPD ↗fund
$100.3M RAUM · 15 reps · 212-594-2700
35
STROBE VENTURES — shrank from 5 to 3 advisory reps. IAPD ↗fund
$235.3M RAUM · 3 reps · (315) 202 1002 · strobe.fund
33
LATTICE CAPITAL MANAGEMENT LLC — reported RAUM down 29% ($755.2M -> $539.8M). IAPD ↗fund
$539.8M RAUM · 5 reps · 425 828-4300 · latticecm.com
33
CANARAS CAPITAL MANAGEMENT, LLC — reported RAUM down 28% ($1.31B -> $937.0M). IAPD ↗fund
$937.0M RAUM · 11 reps · 212-372-7444
33
ALTA FUNDAMENTAL ADVISERS LLC — reported RAUM down 51% ($1.35B -> $659.6M). IAPD ↗fund
$659.6M RAUM · 4 reps · 212-319-1778
33
HOLLIS PARK PARTNERS LP — reported RAUM down 85% ($1.82B -> $275.7M). IAPD ↗fund
$275.7M RAUM · 4 reps · 212-205-8100
30
WMS PARTNERS, LLC — reported RAUM down 100% ($5.66B -> $8.5M). IAPD ↗fund
$8.5M RAUM · 0 reps · 410-337-7575
30
MCM ADVISERS, LP — reported RAUM down 26% ($166.6M -> $122.9M). IAPD ↗fund
$122.9M RAUM · 2 reps · 925-631-9100
30
MISSION VALUE PARTNERS, LLC — reported RAUM down 27% ($317.6M -> $231.3M). IAPD ↗fund
$231.3M RAUM · 3 reps · 707-750-3337
30
RVX ASSET MANAGEMENT LLC — reported RAUM down 46% ($184.7M -> $100.1M). IAPD ↗fund
$100.1M RAUM · 2 reps · 305-363-6847 · rvx-am.com
30
EXOS ASSET MANAGEMENT LLC — reported RAUM down 44% ($177.6M -> $99.5M). IAPD ↗fund
$99.5M RAUM · 12 reps · (646) 814-0996 · exosfinancial.com
30
TIBERIUS ASSET MANAGEMENT AG — (ZUG, Switzerland) left the SEC roster (was $10.0M RAUM, 3 reps). IAPD ↗foreign
$10.0M RAUM · 3 reps · +41 41 56 000 81 · tiberiusgroup.com
30
RHICON CURRENCY MANAGEMENT PTE LTD — (SINGAPORE, Singapore) left the SEC roster (was $221.1M RAUM, 4 reps). IAPD ↗foreign
$221.1M RAUM · 4 reps · 65 6327 2218 · rhicon.com
25
TOBAM — shrank from 17 to 12 advisory reps. IAPD ↗foreign
$1.24B RAUM · 12 reps · 33 1 53 23 41 51
25
GLADSTONE PARTNERS — shrank from 10 to 8 advisory reps. IAPD ↗foreign
$1.87B RAUM · 8 reps · +44 207 408 4771 · gladstone-management.com
23
BG INVESTMENT SERVICES, INC. — shrank from 5 to 2 advisory reps. IAPD ↗foreign
$439.9M RAUM · 2 reps · 671-472-5490 · asctrust.com
20
TOBAM — reported RAUM down 65% ($3.52B -> $1.24B). IAPD ↗foreign
$1.24B RAUM · 12 reps · 33 1 53 23 41 51
20
AGF INVESTMENTS — shrank from 7 to 5 advisory reps. IAPD ↗foreign
$21.6M RAUM · 5 reps · 416-367-1900 · agf.com
20
NEO-CRITERION CAPITAL LIMITED — shrank from 7 to 5 advisory reps. IAPD ↗foreign
$32.4M RAUM · 5 reps · +65 96632931 · neo-criterion.com
20
ORMONDE USA LLC — shrank from 3 to 1 advisory reps. IAPD ↗foreign
$93.7M RAUM · 1 reps · +44 20 4524 3210 · ormondepartners.com
15
AGF INVESTMENTS — reported RAUM down 96% ($570.5M -> $21.6M). IAPD ↗foreign
$21.6M RAUM · 5 reps · 416-367-1900 · agf.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.