M&A & valuation — March 2026
RIA acquirers, investment bankers, valuation firms, and lenders.
154 firms opened this window in the March 2026 SEC roster: 60 headcount down, 53 deregistered, 41 aum down.
65
LITMAN GREGORY WEALTH MANAGEMENT, LLC — (LARKSPUR, CA) left the SEC roster (was $2.68B RAUM, 8 reps). IAPD ↗
65
SOUTHSTATE ADVISORY, INC. — (COLUMBIA, SC) left the SEC roster (was $3.78B RAUM, 11 reps). IAPD ↗
65
BREEDS HILL CAPITAL LLC — (BOSTON, MA) left the SEC roster (was $2.24B RAUM, 4 reps). IAPD ↗
65
THE CLARIUS GROUP, LLC — (SEATTLE, WA) left the SEC roster (was $4.68B RAUM, 15 reps). IAPD ↗
63
WESTPORT ASSET MANAGEMENT INC — (SOUTHPORT, CT) left the SEC roster (was $396.8M RAUM, 2 reps). IAPD ↗
63
BARD FINANCIAL SERVICES, INC. — (BRANFORD, CT) left the SEC roster (was $639.4M RAUM, 3 reps). IAPD ↗
63
OLDFATHER FINANCIAL SERVICES LLC — (KEARNEY, NE) left the SEC roster (was $459.0M RAUM, 4 reps). IAPD ↗
63
BRIDGE CREEK CAPITAL MANAGEMENT LLC — (WEST BARNSTABLE, MA) left the SEC roster (was $470.6M RAUM, 3 reps). IAPD ↗
63
PORTICO WEALTH ADVISORS, LLC — (LARKSPUR, CA) left the SEC roster (was $264.0M RAUM, 2 reps). IAPD ↗
63
DENT WEALTH ADVISORS — (BATON ROUGE, LA) left the SEC roster (was $338.4M RAUM, 3 reps). IAPD ↗
63
STONE RUN CAPITAL, LLC — (NEW YORK, NY) left the SEC roster (was $335.0M RAUM, 4 reps). IAPD ↗
63
POLLOCK INVESTMENT ADVISORS, LLC — (ANN ARBOR, MI) left the SEC roster (was $335.5M RAUM, 3 reps). IAPD ↗
63
AZ APICE CAPITAL MANAGEMENT LLC — (MIAMI, FL) left the SEC roster (was $375.8M RAUM, 2 reps). IAPD ↗
63
PALO ALTO WEALTH ADVISORS, LLC — (PALO ALTO, CA) left the SEC roster (was $770.4M RAUM, 4 reps). IAPD ↗
63
AEGIS FINANCIAL — (OSHKOSH, WI) left the SEC roster (was $419.0M RAUM, 6 reps). IAPD ↗
63
PREMIER PRIVATE WEALTH, LLC — (FRANKLIN, TN) left the SEC roster (was $263.5M RAUM, 3 reps). IAPD ↗
63
BRB FINANZ USA — (location n/a) left the SEC roster (was $261.0M RAUM, 2 reps). IAPD ↗
60
KEMPNER CAPITAL MANAGEMENT, INC. — (GALVESTON, TX) left the SEC roster (was $218.3M RAUM, 2 reps). IAPD ↗
60
N.D. PITMAN & COMPANY, INC. — (MOBILE, AL) left the SEC roster (was $160.4M RAUM, 2 reps). IAPD ↗
60
FINANCIAL ABUNDANCE, INC. — (STATE COLLEGE, PA) left the SEC roster (was $232.9M RAUM, 3 reps). IAPD ↗
60
OAKVIEW CAPITAL MANAGEMENT, L.P. — (DALLAS, TX) left the SEC roster (was $29.6M RAUM, 1 reps). IAPD ↗
60
INVESTMENTHUNTER WEALTH SERVICES — (location n/a) left the SEC roster (was $138.0M RAUM, 1 reps). IAPD ↗
60
PIEDMONT WEALTH MANAGEMENT — (CULPEPER, VA) left the SEC roster (was $128.4M RAUM, 2 reps). IAPD ↗
60
QSV EQUITY INVESTORS LLC — (location n/a) left the SEC roster (was $113.3M RAUM, 3 reps). IAPD ↗
60
TRINARY CAPITAL, LLC — (location n/a) left the SEC roster (was $3.5M RAUM, 5 reps). IAPD ↗
60
SAGE ADVISORS LLC — (location n/a) left the SEC roster (was $198.1M RAUM, 4 reps). IAPD ↗
60
KNOWN WEALTH LLC — (NEW YORK, NY) left the SEC roster (was $104.9M RAUM, 5 reps). IAPD ↗
60
SMART PORTFOLIO — (BREA, CA) left the SEC roster (was $44.1M RAUM, 1 reps). IAPD ↗
60
WEALTHPRIME — (SAN JOSE, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
60
ALTURA PRIVATE CAPITAL, LLC — (MIAMI, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
60
VALOIR WEALTH LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $44.1M RAUM, 1 reps). IAPD ↗
60
TIAA WEALTH MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
60
YARASH GLOBAL SOLUTIONS INC. — (GLENDALE, CA) left the SEC roster — its 120-day provisional registration did not convert (was $18.0M RAUM, 1 reps). IAPD ↗
60
ACHIEVE RETIREMENT & WEALTH MANAGEMENT, LLC — (RIDGEFIELD, CT) left the SEC roster — its 120-day provisional registration did not convert (was $64.4M RAUM, 1 reps). IAPD ↗
55
LINSCOMB WEALTH, INC. — shrank from 31 to 25 advisory reps. IAPD ↗
55
GUYASUTA INVESTMENT ADVISORS, INCORPORATED — shrank from 10 to 8 advisory reps. IAPD ↗
55
FINANCIAL INTEGRITY ADVISORS, LLC — shrank from 3 to 1 advisory reps. IAPD ↗
55
ARAX ADVISORY PARTNERS — shrank from 61 to 55 advisory reps. IAPD ↗
55
LONGVIEW WEALTH MANAGEMENT — shrank from 24 to 13 advisory reps. IAPD ↗
55
FOCUS PARTNERS WEALTH, LLC — shrank from 1090 to 1025 advisory reps. IAPD ↗
55
CANAL CAPITAL MANAGEMENT, LLC — shrank from 10 to 6 advisory reps. IAPD ↗
55
NORTHCOAST ASSET MANAGEMENT LLC — shrank from 181 to 28 advisory reps. IAPD ↗
55
KWB WEALTH — shrank from 11 to 8 advisory reps. IAPD ↗
55
ASSUREDPARTNERS INVESTMENT ADVISORS — shrank from 46 to 38 advisory reps. IAPD ↗
53
BLUE BARN WEALTH — shrank from 9 to 6 advisory reps. IAPD ↗
53
ASPYRE WEALTH PARTNERS — shrank from 11 to 8 advisory reps. IAPD ↗
53
AMERICAN RETIREMENT PLANNING GROUP INC — shrank from 4 to 2 advisory reps. IAPD ↗
53
WESTCO ADVISORY SERVICES, INC. — shrank from 7 to 5 advisory reps. IAPD ↗
53
ELLIOTT COVE CAPITAL MANAGEMENT — shrank from 8 to 4 advisory reps. IAPD ↗
53
ELEVATION WEALTH PARTNERS, LLC — shrank from 7 to 5 advisory reps. IAPD ↗
53
MERCURY INVESTMENT GROUP — shrank from 5 to 3 advisory reps. IAPD ↗
53
CENTRIC WEALTH MANAGEMENT, LLC — shrank from 10 to 8 advisory reps. IAPD ↗
53
ODER INVESTMENT MANAGEMENT, LLC — shrank from 6 to 4 advisory reps. IAPD ↗
53
STRATEGIC INVESTMENT SOLUTIONS, INC. — shrank from 12 to 9 advisory reps. IAPD ↗
53
SECURED RETIREMENT ADVISORS, LLC — shrank from 6 to 4 advisory reps. IAPD ↗
53
TENCAP WEALTH COACHING — shrank from 9 to 7 advisory reps. IAPD ↗
53
TRU INDEPENDENCE ASSET MANAGEMENT, LLC — shrank from 11 to 8 advisory reps. IAPD ↗
53
THE RETIREMENT GUYS FORMULA — shrank from 10 to 7 advisory reps. IAPD ↗
53
ARBOR TRUST WEALTH ADVISORS, LLC — shrank from 5 to 3 advisory reps. IAPD ↗
53
WARREN STREET WEALTH ADVISORS, LLC — shrank from 10 to 7 advisory reps. IAPD ↗
53
CLAYTON FINANCIAL GROUP, LLC — shrank from 8 to 3 advisory reps. IAPD ↗
53
PRIVATE WEALTH SOLUTIONS, LLC — shrank from 4 to 2 advisory reps. IAPD ↗
53
RIVERSEDGE ADVISORS — shrank from 12 to 9 advisory reps. IAPD ↗
53
SCHORN WEALTH — shrank from 8 to 5 advisory reps. IAPD ↗
50
CLARKSTON CAPITAL PARTNERS, LLC — reported RAUM down 43% ($6.77B -> $3.87B). IAPD ↗
50
NORTHCOAST ASSET MANAGEMENT LLC — reported RAUM down 84% ($31.73B -> $4.97B). IAPD ↗
50
LADD CAPITAL MANAGEMENT LLC — shrank from 2 to 0 advisory reps. IAPD ↗
50
STATETRUST CAPITAL, LLC. — shrank from 6 to 2 advisory reps. IAPD ↗
50
KEEN CAPITAL, LTD — shrank from 5 to 3 advisory reps. IAPD ↗
50
KINGSBURY CAPITAL INVESTMENT ADVISORS LLC — shrank from 8 to 6 advisory reps. IAPD ↗
50
SECOND HALF FINANCIAL PARTNERS, LLC — shrank from 5 to 3 advisory reps. IAPD ↗
50
WE ALLIANCE WEALTH ADVISORS, INC. — shrank from 6 to 4 advisory reps. IAPD ↗
50
NAVIGATION WEALTH MANAGEMENT — shrank from 10 to 8 advisory reps. IAPD ↗
50
DEAN WEALTH PARTNERS, LLC — shrank from 3 to 1 advisory reps. IAPD ↗
50
NORTHSTAR INVESTMENT ADVISORY LLC — shrank from 12 to 9 advisory reps. IAPD ↗
50
PARK SQUARE FINANCIAL GROUP LLC — shrank from 6 to 4 advisory reps. IAPD ↗
48
BLUE BARN WEALTH — reported RAUM down 39% ($521.4M -> $317.1M). IAPD ↗
48
GEN FINANCIAL MANAGEMENT INC. — reported RAUM down 33% ($496.5M -> $331.8M). IAPD ↗
48
RJA ASSET MANAGEMENT LLC — reported RAUM down 41% ($992.5M -> $588.9M). IAPD ↗
48
BLACK CORAL FINANCIAL ADVISORS, LLC — reported RAUM down 46% ($936.0M -> $504.4M). IAPD ↗
48
CLAYTON FINANCIAL GROUP, LLC — reported RAUM down 54% ($1.74B -> $793.8M). IAPD ↗
48
CLEVELAND WEALTH, LLC — reported RAUM down 50% ($1.01B -> $506.6M). IAPD ↗
48
ALTERI WEALTH — reported RAUM down 27% ($771.3M -> $566.1M). IAPD ↗
45
BROOKER WEALTH MANAGEMENT — reported RAUM down 77% ($592.4M -> $136.4M). IAPD ↗
45
INTEGRA FINANCIAL, INC. — reported RAUM down 32% ($181.0M -> $123.4M). IAPD ↗
45
HODGE FINANCIAL SERVICES, LLC — reported RAUM down 52% ($41.1M -> $19.7M). IAPD ↗
45
IUR CAPITAL, LLC — reported RAUM down 92% ($61.0M -> $4.7M). IAPD ↗
45
RS ASSET MANAGEMENT, LLC — reported RAUM down 29% ($150.2M -> $107.2M). IAPD ↗
45
SECOND HALF FINANCIAL PARTNERS, LLC — reported RAUM down 65% ($364.1M -> $128.0M). IAPD ↗
45
JULEX CAPITAL MANAGEMENT — reported RAUM down 27% ($335.7M -> $246.7M). IAPD ↗
45
BROWNING CAPITAL MANAGEMENT LLC — reported RAUM down 56% ($93.8M -> $41.6M). IAPD ↗
45
LUMINIST CAPITAL, LLC — reported RAUM down 26% ($140.7M -> $104.6M). IAPD ↗
45
STERLING FINANCIAL GROUP, INC. — reported RAUM down 96% ($406.6M -> $16.1M). IAPD ↗
45
B3 WEALTH STRATEGIES — reported RAUM down 92% ($455.7M -> $35.8M). IAPD ↗
45
CONCERT INVESTMENT ADVISORY LLC — reported RAUM down 28% ($126.8M -> $91.1M). IAPD ↗
45
EXOS ASSET MANAGEMENT LLC — reported RAUM down 98% ($99.5M -> $1.9M). IAPD ↗
45
RED SWAN PRIVATE CLIENT — reported RAUM down 93% ($2.44B -> $165.3M). IAPD ↗
45
KAILIX ADVISORS LLC — reported RAUM down 45% ($217.5M -> $119.0M). IAPD ↗
45
DILLOW WEALTH MANAGEMENT LLC — reported RAUM down 52% ($221.0M -> $106.3M). IAPD ↗
45
STRATEGIC ADVOCATES, LLC — reported RAUM down 92% ($433.8M -> $33.7M). IAPD ↗
45
GUGGENHEIM PRIVATE INVESTMENTS, LLC — reported RAUM down 93% ($2.90B -> $216.2M). IAPD ↗
55
ALPHAENGINE GLOBAL INVESTMENT SOLUTION LLC — (PLANO, TX) left the SEC roster (was $1.37B RAUM, 4 reps). IAPD ↗institutional
55
PACIFIC OAK CAPITAL ADVISORS, LLC — (COSTA MESA, CA) left the SEC roster (was $3.20B RAUM, 9 reps). IAPD ↗institutional
50
EMERGING CAPITAL PARTNERS — (WASHINGTON, DC) left the SEC roster (was $1.06B RAUM, 5 reps). IAPD ↗fund
50
TWO SIGMA INVESTOR SOLUTIONS, LP — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
50
CB INTERNATIONAL BANK LLC — (SAN JUAN, PR) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
50
GROWTH LENDING GP LLC — (ROSWELL, GA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
50
BLUE OWL REAL ASSETS ADVISORS LLC — (CHICAGO, IL) left the SEC roster (was $0 RAUM, 110 reps). IAPD ↗institutional
48
45
MILLENNIUM TVP MANAGEMENT CO., LLC — (CROSS RIVER, NY) left the SEC roster (was $157.5M RAUM, 5 reps). IAPD ↗fund
45
PANDION ASSET MANAGEMENT, LP — (HOUSTON, TX) left the SEC roster (was $90.1M RAUM, 2 reps). IAPD ↗fund
45
PALISADES MANAGEMENT, LLC — (LOS ANGELES, CA) left the SEC roster (was $166.3M RAUM, 3 reps). IAPD ↗fund
45
GRANITE BRIDGE PARTNERS LLC — (NEW YORK, NY) left the SEC roster (was $89.8M RAUM, 6 reps). IAPD ↗fund
45
RIP ROAD CAPITAL PARTNERS LP — (BOSTON, MA) left the SEC roster (was $116.8M RAUM, 2 reps). IAPD ↗fund
45
DELTA CAPITAL PARTNERS MANAGEMENT LLC — (CHICAGO, IL) left the SEC roster (was $90.1M RAUM, 5 reps). IAPD ↗fund
45
FRACTAL CAPITAL MANAGEMENT LLC — (location n/a) left the SEC roster (was $7.1M RAUM, 2 reps). IAPD ↗fund
45
BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT — shrank from 44 to 25 advisory reps. IAPD ↗institutional
45
45
45
40
BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT — reported RAUM down 71% ($24.92B -> $7.15B). IAPD ↗institutional
40
40
40
40
38
38
38
38
38
35
35
35
GOOSE HOLLOW CAPITAL MANAGEMENT LLC — reported RAUM down 29% ($57.6M -> $41.0M). IAPD ↗institutional
35
LARRAINVIAL ASSET MANAGEMENT — (SANTIAGO, REGION METROPOLITANA, Chile) left the SEC roster (was $2.29B RAUM, 49 reps). IAPD ↗foreign
35
33
33
33
33
33
33
30
30
ANDURAND CAPITAL MANAGEMENT LLP — (LONDON, GREATER LONDON, United Kingdom) left the SEC roster (was $186.4M RAUM, 12 reps). IAPD ↗foreign
25
23
20
20
18
15
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.