← Tributary

M&A & valuation — January 2026

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

169 firms opened this window in the January 2026 SEC roster: 124 deregistered, 27 headcount down, 18 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
CADARET GRANT & CO INC — (SYRACUSE, NY) left the SEC roster (was $7.67B RAUM, 429 reps). IAPD ↗
$7.67B RAUM · 429 reps · 800-288-8601
65
WORLD ADVISORY SERVICES — (LINCROFT, NJ) left the SEC roster (was $1.73B RAUM, 118 reps). IAPD ↗
$1.73B RAUM · 118 reps · 732-758-9300 · buyholdplus.com, http
65
L.M. KOHN & COMPANY — (CINCINNATI, OH) left the SEC roster (was $2.09B RAUM, 63 reps). IAPD ↗
$2.09B RAUM · 63 reps · 513-792-0301 · lmkohn.com
65
CUSO FINANCIAL SERVICES, L.P. — (SAN DIEGO, CA) left the SEC roster (was $5.38B RAUM, 523 reps). IAPD ↗
$5.38B RAUM · 523 reps · 858-530-4400
65
NEXT FINANCIAL GROUP, INC. — (HOUSTON, TX) left the SEC roster (was $3.77B RAUM, 307 reps). IAPD ↗
$3.77B RAUM · 307 reps · 877-876-6398
65
SPC FINANCIAL INC — (ROCKVILLE, MD) left the SEC roster (was $1.39B RAUM, 15 reps). IAPD ↗
$1.39B RAUM · 15 reps · 301-770-6800 · spcfinancial.com
65
COBBLESTONE CAPITAL ADVISORS, LLC — (ROCHESTER, NY) left the SEC roster (was $2.93B RAUM, 23 reps). IAPD ↗
$2.93B RAUM · 23 reps · 585-473-3333 · cobblestonecap.com
65
FNB WEALTH MANAGEMENT — (PITTSBURGH, PA) left the SEC roster (was $6.70B RAUM, 28 reps). IAPD ↗
$6.70B RAUM · 28 reps · 855-688-0001 · fnb-online.com
65
COHO PARTNERS, LTD. — (BERWYN, PA) left the SEC roster (was $2.20B RAUM, 6 reps). IAPD ↗
$2.20B RAUM · 6 reps · 484-318-7575 · cohofunds.com
65
PRISM FINANCIAL GROUP, L.L.C. — (OVERLAND PARK, KS) left the SEC roster (was $1.70B RAUM, 5 reps). IAPD ↗
$1.70B RAUM · 5 reps · 913-345-1444 · prismfg.com
65
PARK PIEDMONT ADVISORS LLC — (CHICAGO, IL) left the SEC roster (was $1.03B RAUM, 5 reps). IAPD ↗
$1.03B RAUM · 5 reps · 312-722-6760
65
PACIFIC PORTFOLIO CONSULTING, LLC — (SEATTLE, WA) left the SEC roster (was $4.79B RAUM, 12 reps). IAPD ↗
$4.79B RAUM · 12 reps · 206-623-6641 · pacific-portfolio.com
65
CAP STRAT — (OAKBROOK TERRACE, IL) left the SEC roster (was $21.29B RAUM, 12 reps). IAPD ↗
$21.29B RAUM · 12 reps · 630-320-5100
65
AVEO CAPITAL PARTNERS, LLC — (ENGLEWOOD, CO) left the SEC roster (was $1.64B RAUM, 21 reps). IAPD ↗
$1.64B RAUM · 21 reps · (303) 552-0945
65
HEMINGTON WEALTH MANAGEMENT — (FALLS CHURCH, VA) left the SEC roster (was $1.06B RAUM, 10 reps). IAPD ↗
$1.06B RAUM · 10 reps · 703-828-2479
65
APEXIUM FINANCIAL LP — (DALLAS, TX) left the SEC roster (was $4.02B RAUM, 10 reps). IAPD ↗
$4.02B RAUM · 10 reps · 212-225-9500
65
FULL SAIL CAPITAL, LLC — (OKLAHOMA CITY, OK) left the SEC roster (was $2.03B RAUM, 10 reps). IAPD ↗
$2.03B RAUM · 10 reps · (405) 286-2100 · fullsailcapital.com
65
STONEGATE INVESTMENT GROUP, LLC — (BIRMINGHAM, AL) left the SEC roster (was $5.67B RAUM, 12 reps). IAPD ↗
$5.67B RAUM · 12 reps · (205) 963-0840 · stonegateig.com
63
HORAN WEALTH MANAGEMENT — (CINCINNATI, OH) left the SEC roster (was $698.2M RAUM, 10 reps). IAPD ↗
$698.2M RAUM · 10 reps · 513-745-0707 · horanwealth.com
63
GLOBAL INVESTMENT ADVISER LC — (NORTH PALM BEACH, FL) left the SEC roster (was $276.4M RAUM, 1 reps). IAPD ↗
$276.4M RAUM · 1 reps · 561-881-9688
63
WFA ASSET MANAGEMENT CORP — (WHITEFISH BAY, WI) left the SEC roster (was $439.3M RAUM, 4 reps). IAPD ↗
$439.3M RAUM · 4 reps · 414-727-8181
63
COURT PLACE ADVISORS LLC — (ELLICOTT CITY, MD) left the SEC roster (was $375.9M RAUM, 4 reps). IAPD ↗
$375.9M RAUM · 4 reps · 410-465-4321 · courtplaceadvisors.com
63
GOODPASTURE GRAY — (location n/a) left the SEC roster (was $311.0M RAUM, 2 reps). IAPD ↗
$311.0M RAUM · 2 reps · (615) 601-3330
63
KAYE CAPITAL MANAGEMENT — (EL SEGUNDO, CA) left the SEC roster (was $743.2M RAUM, 3 reps). IAPD ↗
$743.2M RAUM · 3 reps · 310-207-5293
63
COLLEY ASSET MANAGEMENT, INC. — (SARATOGA SPRINGS, NY) left the SEC roster (was $353.6M RAUM, 1 reps). IAPD ↗
$353.6M RAUM · 1 reps · 518-581-0500 · colleyassetmgmt.com
63
CROWLEY WEALTH MANAGEMENT, INC. — (WILMINGTON, DE) left the SEC roster (was $383.4M RAUM, 4 reps). IAPD ↗
$383.4M RAUM · 4 reps · 302-994-4700 · crowleywealthmanagement.com
63
SHILANSKI & ASSOCIATES, INC. — (ANCHORAGE, AK) left the SEC roster (was $420.3M RAUM, 6 reps). IAPD ↗
$420.3M RAUM · 6 reps · 907-278-1351
63
MOSER WEALTH ADVISORS — (BELLEVUE, WA) left the SEC roster (was $279.0M RAUM, 2 reps). IAPD ↗
$279.0M RAUM · 2 reps · 425-451-1850
63
OJM GROUP, LLC — (CINCINNATI, OH) left the SEC roster (was $803.3M RAUM, 8 reps). IAPD ↗
$803.3M RAUM · 8 reps · 513-791-7525
63
WEST OAK CAPITAL, LLC — (EAGLE, ID) left the SEC roster (was $525.6M RAUM, 4 reps). IAPD ↗
$525.6M RAUM · 4 reps · 208-722-2280 · westoakcap.com
63
HERITAGE FINANCIAL PLANNING — (DALLAS, TX) left the SEC roster (was $315.1M RAUM, 5 reps). IAPD ↗
$315.1M RAUM · 5 reps · 214-446-2100
63
GRYPHON ADVISORS, LLC — (EVANSTON, IL) left the SEC roster (was $533.3M RAUM, 3 reps). IAPD ↗
$533.3M RAUM · 3 reps · 847-424-0465 · gryphonadvisors.net
63
SPECTRUM WEALTH MANAGEMENT, LLC — (IRVINE, CA) left the SEC roster (was $269.5M RAUM, 3 reps). IAPD ↗
$269.5M RAUM · 3 reps · 949-597-0101 · swmadvisors.com
63
NAPA WEALTH MANAGEMENT — (NAPA, CA) left the SEC roster (was $266.7M RAUM, 5 reps). IAPD ↗
$266.7M RAUM · 5 reps · (707) 252-1343 · napawealth.com
63
VERIPAX WEALTH MANAGEMENT, INC. — (FOLSOM, CA) left the SEC roster (was $342.9M RAUM, 3 reps). IAPD ↗
$342.9M RAUM · 3 reps · 916-358-5635 · veripax.net
63
DAY HAGAN ASSET MANAGEMENT — (SARASOTA, FL) left the SEC roster (was $842.8M RAUM, 5 reps). IAPD ↗
$842.8M RAUM · 5 reps · 941-330-1702
63
WISE WEALTH, LLC — (LEE'S SUMMIT, MO) left the SEC roster (was $304.2M RAUM, 7 reps). IAPD ↗
$304.2M RAUM · 7 reps · 816-246-9473
63
PROSPERITY FINANCIAL GROUP, INC. — (SAN RAMON, CA) left the SEC roster (was $358.9M RAUM, 9 reps). IAPD ↗
$358.9M RAUM · 9 reps · 925-314-8500
63
WELA STRATEGIES, INC. — (ATLANTA, GA) left the SEC roster (was $255.5M RAUM, 11 reps). IAPD ↗
$255.5M RAUM · 11 reps · 678-608-0420 · welastrategies.com
63
CLOUD CAPITAL LLC — (location n/a) left the SEC roster (was $410.9M RAUM, 1 reps). IAPD ↗
$410.9M RAUM · 1 reps · 9183141220
63
GITTERMAN WEALTH MANAGEMENT, LLC — (EDISON, NJ) left the SEC roster (was $666.1M RAUM, 8 reps). IAPD ↗
$666.1M RAUM · 8 reps · 848-248-4405 · gittermanasset.com
63
GUIDANCE INVESTMENT ADVISORS, LLC — (ELKHART, IN) left the SEC roster (was $307.6M RAUM, 4 reps). IAPD ↗
$307.6M RAUM · 4 reps · 574-333-2083 · guidancewealth.com
63
LOWE WEALTH ADVISORS, LLC — (COLUMBIA, MD) left the SEC roster (was $460.2M RAUM, 6 reps). IAPD ↗
$460.2M RAUM · 6 reps · 443-766-7160 · lwamedical.com
63
LANE HIPPLE - WEALTH MANAGEMENT GROUP — (MOORESTOWN, NJ) left the SEC roster (was $418.5M RAUM, 5 reps). IAPD ↗
$418.5M RAUM · 5 reps · 856-638-1855
63
PWA FINANCIAL — (NEWTOWN, PA) left the SEC roster (was $267.9M RAUM, 3 reps). IAPD ↗
$267.9M RAUM · 3 reps · (215) 710-0737 · pwafinancial.com
63
OBSIDIAN PERSONAL PLANNING SOLUTIONS, LLC — (ROCKVILLE, MD) left the SEC roster (was $407.2M RAUM, 7 reps). IAPD ↗
$407.2M RAUM · 7 reps · 301-990-4395
63
AMERICAN ASSETS CAPITAL ADVISERS, LLC — (SAN DIEGO, CA) left the SEC roster (was $327.3M RAUM, 3 reps). IAPD ↗
$327.3M RAUM · 3 reps · 858-345-1470 · aacadvisers.com
63
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS — (SCOTTSDALE, AZ) left the SEC roster (was $277.4M RAUM, 16 reps). IAPD ↗
$277.4M RAUM · 16 reps · 602-604-0600
63
JACKSON SQUARE PARTNERS, LLC — (LARKSPUR, CA) left the SEC roster (was $995.1M RAUM, 4 reps). IAPD ↗
$995.1M RAUM · 4 reps · 415 635-0220 · jspartners.com
63
TYLER-STONE WEALTH MANAGEMENT, LLC — (BEACHWOOD, OH) left the SEC roster (was $598.9M RAUM, 19 reps). IAPD ↗
$598.9M RAUM · 19 reps · 216-295-0945
63
SUMMIT WEALTH STRATEGIES — (CHESTERFIELD, MO) left the SEC roster (was $978.7M RAUM, 22 reps). IAPD ↗
$978.7M RAUM · 22 reps · 636-532-0088
63
LOKKEN INVESTMENT GROUP, LLC — (LEWES, DE) left the SEC roster (was $366.5M RAUM, 3 reps). IAPD ↗
$366.5M RAUM · 3 reps · 302-645-6650
63
WELLS TRECASO FINANCIAL GROUP, LLC — (AKRON, OH) left the SEC roster (was $533.3M RAUM, 4 reps). IAPD ↗
$533.3M RAUM · 4 reps · 330-752-1547
63
PROTECTION POINT ADVISORS — (ROSEVILLE, CA) left the SEC roster (was $578.4M RAUM, 13 reps). IAPD ↗
$578.4M RAUM · 13 reps · 916-367-4540 · protectionpointadvisors.com
63
VISHRIA BIRD FINANCIAL GROUP, LLC — (MEMPHIS, TN) left the SEC roster (was $599.7M RAUM, 6 reps). IAPD ↗
$599.7M RAUM · 6 reps · 901-216-1600 · vbfinancialgroup.com
63
HART & PATTERSON FINANCIAL GROUP — (AMHERST, MA) left the SEC roster (was $275.6M RAUM, 2 reps). IAPD ↗
$275.6M RAUM · 2 reps · (413) 253-9454 · hartpatterson.com
63
OLIVER LAGORE VANVALIN INVESTMENT GROUP, INC. — (FLINT, MI) left the SEC roster (was $607.1M RAUM, 14 reps). IAPD ↗
$607.1M RAUM · 14 reps · 810-744-4450
63
BIP ALLIANCE, LLC — (ATLANTA, GA) left the SEC roster (was $328.1M RAUM, 4 reps). IAPD ↗
$328.1M RAUM · 4 reps · 404-495-5230 · bipwealth.com
60
NEW CENTURY FINANCIAL GROUP, LLC — (PRINCETON, NJ) left the SEC roster (was $192.9M RAUM, 14 reps). IAPD ↗
$192.9M RAUM · 14 reps · (609)924-2049 · newcenturygroup.com
60
STEVEN CHARLES CAPITAL LTD — (ROCHESTER, NY) left the SEC roster (was $125.0M RAUM, 2 reps). IAPD ↗
$125.0M RAUM · 2 reps · 585-325-1870 · stevencharlescapital.com
60
BRETON CO — (MEDFORD, NJ) left the SEC roster (was $134.0M RAUM, 2 reps). IAPD ↗
$134.0M RAUM · 2 reps · 609-654-1212
60
GARLAND CAPITAL MANAGEMENT INC — (BELLEVUE, WA) left the SEC roster (was $178.7M RAUM, 2 reps). IAPD ↗
$178.7M RAUM · 2 reps · 425-646-7366 · garlandcapital.com
60
MORNINGSTAR INVESTMENT SERVICES LLC — (CHICAGO, IL) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 312-696-6000
60
FINANCIAL STRATEGIES INVESTMENT ADVISOR SERVICES, INC. — (BETHEL, CT) left the SEC roster (was $103.9M RAUM, 4 reps). IAPD ↗
$103.9M RAUM · 4 reps · 203-798-9873 · fsias.com
60
BROWN WEALTH MANAGEMENT, LLC — (EDEN PRAIRIE, MN) left the SEC roster (was $199.5M RAUM, 2 reps). IAPD ↗
$199.5M RAUM · 2 reps · 952-303-6715 · brownwealth.com
60
SHORELINE WEALTH ADVISORS — (NEW CASTLE, IN) left the SEC roster (was $245.0M RAUM, 6 reps). IAPD ↗
$245.0M RAUM · 6 reps · 765-593-2487
60
KAHLER FINANCIAL GROUP, INC. — (RAPID CITY, SD) left the SEC roster (was $173.9M RAUM, 7 reps). IAPD ↗
$173.9M RAUM · 7 reps · 605-343-1400
60
BILKEYKATZ INVESTMENT CONSULTANTS — (PITTSBURGH, PA) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · 412-803-9900 · bilkeykatz.com
60
SAGEVIEW PRIVATE CLIENT GROUP, LLC — (NEWPORT BEACH, CA) left the SEC roster (was $0 RAUM, 6 reps). IAPD ↗
$0 RAUM · 6 reps · 949-955-1395
60
PARKS CAPITAL — (PITTSFORD, NY) left the SEC roster (was $82.9M RAUM, 2 reps). IAPD ↗
$82.9M RAUM · 2 reps · 585-248-5700
60
EAGLESTONE WEALTH ADVISORS, INC. — (ROCKVILLE, MD) left the SEC roster (was $197.7M RAUM, 5 reps). IAPD ↗
$197.7M RAUM · 5 reps · 301-924-2160 · estwa.com
60
LIVE OAK FAMILY OFFICES LLC — (ST. PETERSBURG, FL) left the SEC roster (was $158.3M RAUM, 2 reps). IAPD ↗
$158.3M RAUM · 2 reps · 727-576-1245 · lofollc.com
60
KOBO WEALTH CONSERVANCY — (HONOLULU, HI) left the SEC roster (was $155.4M RAUM, 2 reps). IAPD ↗
$155.4M RAUM · 2 reps · 808-546-1001 · kobowealth.com
60
A.T. LLOYD'S, INC — (SEATTLE, WA) left the SEC roster (was $118.6M RAUM, 1 reps). IAPD ↗
$118.6M RAUM · 1 reps · 206-443-6214 · atlloydinc.com
60
GRAND STRATEGY CAPITAL, LLC — (CHARLOTTESVILLE, VA) left the SEC roster (was $137.7M RAUM, 3 reps). IAPD ↗
$137.7M RAUM · 3 reps · 434-202-0238 · gscapllc.com
60
ARISTOTLE CREDIT PARTNERS, LLC — (LOS ANGELES, CA) left the SEC roster (was $81.1M RAUM, 2 reps). IAPD ↗
$81.1M RAUM · 2 reps · 949-681-2100
60
ACCREDITED WEALTH MANAGEMENT LLC — (LOUISVILLE, KY) left the SEC roster (was $158.9M RAUM, 3 reps). IAPD ↗
$158.9M RAUM · 3 reps · 502-290-1905 · accreditedwm.com
60
PUISSANCE CAPITAL MANAGEMENT LP — (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 · 212-878-3702 · puissancecapital.com
60
BROWN FINANCIAL MANAGEMENT GROUP, LLC — (LATHAM, NY) left the SEC roster (was $56.8M RAUM, 1 reps). IAPD ↗
$56.8M RAUM · 1 reps · 518-464-9974 · thomasjbrown.com
60
TOUCHSTONE CAPITAL, INC. — (PITTSBURGH, PA) left the SEC roster (was $101.9M RAUM, 4 reps). IAPD ↗
$101.9M RAUM · 4 reps · (724) 933-8388 · touchstonecapital.com
60
NORTHSTAR FINANCIAL MANAGEMENT, INC. — (MOSCOW, ID) left the SEC roster (was $119.4M RAUM, 3 reps). IAPD ↗
$119.4M RAUM · 3 reps · (208)810-4938
60
BRENTON POINT WEALTH ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $27.7M RAUM, 4 reps). IAPD ↗
$27.7M RAUM · 4 reps · 212-451-1400 · brentonpoint.com
60
1858 WEALTH MANAGEMENT, LLC — (AKRON, OH) left the SEC roster (was $207.4M RAUM, 2 reps). IAPD ↗
$207.4M RAUM · 2 reps · (234) 678-5183 · 1858wm.com
60
FORTHRIGHT PARTNERS LLC — (ATLANTA, GA) left the SEC roster (was $136.5M RAUM, 2 reps). IAPD ↗
$136.5M RAUM · 2 reps · 404-596-4550 · forthrightinvestments.com
60
CONSTITUTION WEALTH LLC — (location n/a) left the SEC roster (was $53.5M RAUM, 6 reps). IAPD ↗
$53.5M RAUM · 6 reps · 866-463-1776 · gab.com
60
BLUE HERON INFRASTRUCTURE — (location n/a) left the SEC roster (was $43.7M RAUM, 1 reps). IAPD ↗
$43.7M RAUM · 1 reps · 781-729-0962 · blueheroninfrastructure.com
60
ALLIO ADVISORS — (SEATTLE, WA) left the SEC roster (was $556,892 RAUM, 1 reps). IAPD ↗
$556,892 RAUM · 1 reps · 888-969-4932 · alliocapital.com
60
KORZO FINANCIAL LLC — (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 415-449-5555
60
PLENTY FINANCIAL RIA, LLC — (SAN FRANCISCO, CA) left the SEC roster (was $6.2M RAUM, 1 reps). IAPD ↗
$6.2M RAUM · 1 reps · 628-333-3863
60
16ROCK ASSET MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $66.9M RAUM, 1 reps). IAPD ↗
$66.9M RAUM · 1 reps · 212-332-1600 · 16rock.com
60
ATHENA ADVISORY — (AUSTIN, TX) left the SEC roster (was $2,000 RAUM, 1 reps). IAPD ↗
$2,000 RAUM · 1 reps · (773) 814-6337 · advicebyathena.com
60
EDLY ADVISORS — (WHITE PLAINS, NY) left the SEC roster (was $19.8M RAUM, 2 reps). IAPD ↗
$19.8M RAUM · 2 reps · (914) 785-8344 · edly.co
60
PRAESTANTIA CAPITAL, LLC — (SAN ANTONIO, TX) left the SEC roster — its 120-day provisional registration did not convert (was $1.8M RAUM, 1 reps). IAPD ↗
$1.8M RAUM · 1 reps · 210-852-7206 · praestantia-capital.com
60
GRACE ADVISORS LLC — (WILMINGTON, DE) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 0 reps). IAPD ↗
$0 RAUM · 0 reps · 212-540-4295 · grace.money
60
DESERT SKY ADVISORY, LLC — (PORTLAND, OR) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 503-635-5244
60
HARPER GLOBAL GROUP — (SAN FRANCISCO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 415-397-6200 · harperglobalgroup.com
55
ACORN FINANCIAL ADVISORY SERVICES, INC. — shrank from 17 to 11 advisory reps. IAPD ↗
$1.23B RAUM · 11 reps · (703) 293-3100 · olddominionira.com
55
STONEX ADVISORS INC. — shrank from 233 to 220 advisory reps. IAPD ↗
$5.09B RAUM · 220 reps · 800-292-2411
55
GPS WEALTH STRATEGIES GROUP, LLC — shrank from 26 to 5 advisory reps. IAPD ↗
$1.42B RAUM · 5 reps · 7204145412 · aspenwealthinc.com
53
CHRISTOPHER WEIL & CO INC — shrank from 10 to 7 advisory reps. IAPD ↗
$896.2M RAUM · 7 reps · 858-724-6040 · cweil.com
53
WEALTH ADVISORS NETWORK, INC. — shrank from 11 to 8 advisory reps. IAPD ↗
$300.3M RAUM · 8 reps · 402-463-6769 · wealthadvisorsnetwork.net
53
OBJECTIVE CAPITAL MANAGEMENT, LLC — shrank from 8 to 4 advisory reps. IAPD ↗
$304.7M RAUM · 4 reps · 216-468-1231 · ocmwealth.com
50
GOLDMAN SACHS & CO. LLC — reported RAUM down 51% ($233.16B -> $114.90B). IAPD ↗
$114.90B RAUM · 2318 reps · 212-902-1000
50
WESTERN ASSET MANAGEMENT COMPANY — reported RAUM down 38% ($298.75B -> $184.99B). IAPD ↗
$184.99B RAUM · 82 reps · 626-844-9400
50
TEMPLETON INVESTMENT COUNSEL, LLC — reported RAUM down 28% ($6.40B -> $4.61B). IAPD ↗
$4.61B RAUM · 17 reps · (954) 527-7500
50
MOTLEY FOOL WEALTH MANAGEMENT, LLC — reported RAUM down 27% ($2.18B -> $1.60B). IAPD ↗
$1.60B RAUM · 28 reps · 844-408-4390
50
HECKMAN FINANCIAL & INSURANCE SERVICES, INC. — shrank from 4 to 2 advisory reps. IAPD ↗
$114.4M RAUM · 2 reps · 408-297-9800 · worrylesswealth.com
50
NED DAVIS RESEARCH, INC. — shrank from 59 to 44 advisory reps. IAPD ↗
$2.2M RAUM · 44 reps · 941-412-2300
50
HERITAGE WEALTH MANAGEMENT GROUP, LTD — shrank from 5 to 3 advisory reps. IAPD ↗
$124.1M RAUM · 3 reps · 757-321-3725 EXT. 205 · hwmgroup.com
45
CANDIDE GROUP — reported RAUM down 28% ($174.7M -> $125.3M). IAPD ↗
$125.3M RAUM · 7 reps · (510) 761-8150
55
EMSO ASSET MANAGEMENT US LLC — (GREENWICH, CT) left the SEC roster (was $4.42B RAUM, 6 reps). IAPD ↗institutional
$4.42B RAUM · 6 reps · 212-307-8905 · emso.com
53
BRYCE POINT CAPITAL LLC — (SCARSDALE, NY) left the SEC roster (was $713.1M RAUM, 2 reps). IAPD ↗institutional
$713.1M RAUM · 2 reps · 646-450-0445
50
KOLL BREN SCHREIBER REALTY ADVISORS, INC. — (NEWPORT BEACH, CA) left the SEC roster (was $128,212 RAUM, 3 reps). IAPD ↗institutional
$128,212 RAUM · 3 reps · 949-417-6500
50
ALPHA ASSET CONSULTING LLC — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 303-321-3837
50
ALTEGRIS ADVISORS, LLC — (SAN JUAN CAPISTRANO, CA) left the SEC roster (was $149.6M RAUM, 1 reps). IAPD ↗institutional
$149.6M RAUM · 1 reps · 858-459-7040
50
RIVULET CAPITAL, LLC — (SUMMIT, NJ) left the SEC roster (was $1.84B RAUM, 8 reps). IAPD ↗fund
$1.84B RAUM · 8 reps · 212-756-8700 · rivuletcap.com
50
CAPITAL UNITED, LLC — (HILLSBORO, OR) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · (424) 279-8308 · capunited.com
50
ELMTREE FUNDS, LLC — (ST. LOUIS, MO) left the SEC roster (was $7.23B RAUM, 18 reps). IAPD ↗fund
$7.23B RAUM · 18 reps · (314) 828-4200 · elmtreefunds.com
50
CANDLESTICK CAPITAL MANAGEMENT LP — (GREENWICH, CT) left the SEC roster (was $5.16B RAUM, 30 reps). IAPD ↗fund
$5.16B RAUM · 30 reps · 203-889-4340
50
GOALSETTER GOLD — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 1 800 746 9193 · goalsetter.co
50
EISLER CAPITAL (US) LLC — (NEW YORK, NY) left the SEC roster (was $33.00B RAUM, 63 reps). IAPD ↗fund
$33.00B RAUM · 63 reps · +1 332 455 0400
50
LEDGER ILS MANAGERS, LLC — (NEW YORK, NY) left the SEC roster (was $32.1M RAUM, 2 reps). IAPD ↗institutional
$32.1M RAUM · 2 reps · 510-590-2868
50
RUDOI S.R.L. — (location n/a) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 415-226-7037 · rudoisrl.com
50
STRIVE ADVISORY, LLC — (DALLAS, TX) left the SEC roster (was $0 RAUM, 5 reps). IAPD ↗institutional
$0 RAUM · 5 reps · 855-427-7360 · strive.com
50
PINEGROVE OPPORTUNITY PARTNERS LLC — (SAN FRANCISCO, CA) left the SEC roster (was $1.18B RAUM, 8 reps). IAPD ↗fund
$1.18B RAUM · 8 reps · 626-676-0710 · pinegrovecp.com
50
ARCTRUST ADVISORS LLC — (CLIFTON, NJ) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 9 reps). IAPD ↗institutional
$0 RAUM · 9 reps · 973-249-1000
48
INDABA CAPITAL MANAGEMENT, L.P. — (SAN FRANCISCO, CA) left the SEC roster (was $736.8M RAUM, 7 reps). IAPD ↗fund
$736.8M RAUM · 7 reps · 415-680-1030 · indabacapital.com
48
APPIAN WAY ASSET MANAGEMENT LP — (NEW YORK, NY) left the SEC roster (was $795.2M RAUM, 7 reps). IAPD ↗fund
$795.2M RAUM · 7 reps · 212-931-1173 · appianasset.com
48
KBIT MANAGEMENT LTD. — (location n/a) left the SEC roster (was $306.1M RAUM, 13 reps). IAPD ↗fund
$306.1M RAUM · 13 reps · 775-902-2099
48
FIRMAMENT CAP ADVISORS, LLC — (NEW YORK, NY) left the SEC roster (was $277.8M RAUM, 18 reps). IAPD ↗fund
$277.8M RAUM · 18 reps · 212-956-1061
45
IRVING PLACE CAPITAL MANAGEMENT, L.P. — (NEW YORK, NY) left the SEC roster (was $113.9M RAUM, 8 reps). IAPD ↗fund
$113.9M RAUM · 8 reps · 212-551-4500 · irvingplacecapital.com
45
LAP LATIN AMERICAN PARTNERS — (WASHINGTON, DC) left the SEC roster (was $156.7M RAUM, 9 reps). IAPD ↗fund
$156.7M RAUM · 9 reps · +1 (202) 530-3180 · latinamericanpartners.com
45
OMPHALOS PARTNERS, LLC — (MARYVILLE, TN) left the SEC roster (was $45.0M RAUM, 2 reps). IAPD ↗fund
$45.0M RAUM · 2 reps · 865-740-0764
45
MIDWAY WEALTH PARTNERS, LLC — (ARLINGTON HEIGHTS, IL) left the SEC roster (was $165.9M RAUM, 4 reps). IAPD ↗fund
$165.9M RAUM · 4 reps · (847) 787-1144 · midwaywp.com
45
SKKY PARTNERS, LP — (BOSTON, MA) left the SEC roster (was $114.4M RAUM, 7 reps). IAPD ↗fund
$114.4M RAUM · 7 reps · 857-274-0383 · skky.com
45
IMPAX ASSET MANAGEMENT LLC — shrank from 36 to 30 advisory reps. IAPD ↗institutional
$8.94B RAUM · 30 reps · 603-431-8022 · impaxam.com
45
FLEXPATH STRATEGIES — shrank from 12 to 5 advisory reps. IAPD ↗institutional
$2.70B RAUM · 5 reps · 949-418-6030 · flexpathstrategies.com
40
FLEXPATH STRATEGIES — reported RAUM down 97% ($79.85B -> $2.70B). IAPD ↗institutional
$2.70B RAUM · 5 reps · 949-418-6030 · flexpathstrategies.com
40
K2/D&S MANAGEMENT CO., L.L.C. — shrank from 15 to 10 advisory reps. IAPD ↗fund
$6.53B RAUM · 10 reps · 203-348-5252 · k2advisors.com
40
SIXTH STREET ADVISERS, LLC — shrank from 344 to 339 advisory reps. IAPD ↗fund
$79.98B RAUM · 339 reps · 469-621-3001
40
PINEGROVE ADVISER LLC — shrank from 1219 to 12 advisory reps. IAPD ↗fund
$2.05B RAUM · 12 reps · 626-676-0710 · pinegrove.vc
40
POST ROAD GROUP LLC — shrank from 20 to 6 advisory reps. IAPD ↗fund
$1.04B RAUM · 6 reps · 203-518-8460
40
NVERSES CAPITAL, LLC — shrank from 6 to 2 advisory reps. IAPD ↗institutional
$99.5M RAUM · 2 reps · 732-742-7703 · nversescapital.com
40
LORD ABBETT FIF ADVISOR LLC — shrank from 264 to 191 advisory reps. IAPD ↗institutional
$190.4M RAUM · 191 reps · 201-827-2000 · lordabbett.com
40
LORD ABBETT CLO MANAGEMENT LP — shrank from 264 to 191 advisory reps. IAPD ↗institutional
$0 RAUM · 191 reps · 201-827-2000
38
THACKERAY PARTNERS — shrank from 21 to 11 advisory reps. IAPD ↗fund
$555.3M RAUM · 11 reps · 214-360-7830 · thackeraypartners.com
38
LOTUS — shrank from 15 to 5 advisory reps. IAPD ↗fund
$262.0M RAUM · 5 reps · 628-212-8533 · lotusmgmt.co
35
K2/D&S MANAGEMENT CO., L.L.C. — reported RAUM down 31% ($9.44B -> $6.53B). IAPD ↗fund
$6.53B RAUM · 10 reps · 203-348-5252 · k2advisors.com
35
POST ROAD GROUP LLC — reported RAUM down 46% ($1.94B -> $1.04B). IAPD ↗fund
$1.04B RAUM · 6 reps · 203-518-8460
35
21SHARES US LLC — reported RAUM down 90% ($36.3M -> $3.7M). IAPD ↗institutional
$3.7M RAUM · 10 reps · 646-370-6016
35
MACQUARIE INVESTMENT MANAGEMENT AUSTRIA KAPITALANLAGE AG — (VIENNA, Austria) left the SEC roster (was $12.27B RAUM, 12 reps). IAPD ↗foreign
$12.27B RAUM · 12 reps · 43 676 3030 961 · macquarie.at
35
ALBRIGHT CAPITAL MANAGEMENT LP — shrank from 9 to 6 advisory reps. IAPD ↗fund
$73.0M RAUM · 6 reps · 202-370-3500 · albrightcapital.com
30
ALBRIGHT CAPITAL MANAGEMENT LP — reported RAUM down 51% ($147.7M -> $73.0M). IAPD ↗fund
$73.0M RAUM · 6 reps · 202-370-3500 · albrightcapital.com
30
CATHAY CAPITAL NA, LLC — reported RAUM down 35% ($104.8M -> $68.5M). IAPD ↗fund
$68.5M RAUM · 4 reps · 212-858-9020 · cathaycapital.com
30
QUIENA INVERSIONES — (CIUDAD DE BUENOS AIRES, Argentina) left the SEC roster (was $8.2M RAUM, 1 reps). IAPD ↗foreign
$8.2M RAUM · 1 reps · +5491126596489 · quiena.com
30
HIGHER PARK LIMITED — (LONDON, United Kingdom) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 10 reps). IAPD ↗foreign
$0 RAUM · 10 reps · +44 0203 763 3815 · higherpark.co
25
CREDIT SUISSE ASSET MANAGEMENT LIMITED — shrank from 2 to 0 advisory reps. IAPD ↗foreign
$9.74B RAUM · 0 reps · +44 20 7888 8888 · ubs.com
25
CLEARBRIDGE INVESTMENT MANAGEMENT LIMITED — shrank from 35 to 16 advisory reps. IAPD ↗foreign
$9.89B RAUM · 16 reps · 44 131 229 5252
25
IMPAX ASSET MANAGEMENT, LTD. — shrank from 58 to 53 advisory reps. IAPD ↗foreign
$25.84B RAUM · 53 reps · 011 44 20 3912 3000 · impaxam.com
25
IMPAX ASSET MANAGEMENT — shrank from 58 to 53 advisory reps. IAPD ↗foreign
$2.00B RAUM · 53 reps · +44 (0)20 3912 3000
25
CORONATION INTERNATIONAL LIMITED — shrank from 6 to 4 advisory reps. IAPD ↗foreign
$4.31B RAUM · 4 reps · +442073898840 · coronation.com
20
WESTERN ASSET MANAGEMENT COMPANY LIMITED — reported RAUM down 40% ($33.56B -> $20.09B). IAPD ↗foreign
$20.09B RAUM · 16 reps · 011-44-20-7422-3000
20
FRANKLIN TEMPLETON INVESTMENTS CORP. — reported RAUM down 41% ($21.59B -> $12.77B). IAPD ↗foreign
$12.77B RAUM · 28 reps · 416-957-6000 · franklintempleton.ca
20
TEMPLETON ASSET MANAGEMENT LTD. — reported RAUM down 33% ($35.63B -> $24.05B). IAPD ↗foreign
$24.05B RAUM · 39 reps · 65-6241-0777 · franklintempleton.com.sg
20
WESTERN ASSET MANAGEMENT COMPANY PTE LTD — reported RAUM down 30% ($3.99B -> $2.80B). IAPD ↗foreign
$2.80B RAUM · 5 reps · 65-6428-3600
20
IMPAX ASSET MANAGEMENT, LTD. — reported RAUM down 36% ($40.55B -> $25.84B). IAPD ↗foreign
$25.84B RAUM · 53 reps · 011 44 20 3912 3000 · impaxam.com
20
COMGEST ASSET MANAGEMENT INTERNATIONAL LIMITED — reported RAUM down 29% ($19.36B -> $13.66B). IAPD ↗foreign
$13.66B RAUM · 4 reps · +353 1 631 0100
20
NATWEALTH MANAGEMENT — shrank from 118 to 109 advisory reps. IAPD ↗foreign
$115.0M RAUM · 109 reps · 833-946-1589 · nbfwm.ca
15
SETIA PARTNERS LIMITED — reported RAUM down 97% ($280.0M -> $8.8M). IAPD ↗foreign
$8.8M RAUM · 2 reps · 852 3461 9479

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.